_V$ denotes an average of the field intensities taken inside the film over a given volume enclosing a volume fraction $f$ of molecules. Since our molecular film is homogeneous (and composed of only one type of optically active molecules) we fix $f = 1$. Assuming $\\langle |E_0|^2 \\rangle_V \\langle E_0^2 \\rangle_V \\sim I_\\delta^2$ ($\\delta = \\text{ESC, non ESC}$), the enhancement factor of $\\chi^{(3)}$ is directly related to the enhancement factor for the electric field intensity with $\\eta_{\\chi^3} = \\eta_I^2$. This assumption is reasonable because the complex dielectric constant is dominated by its real part, especially for wavelengths near to the wavelengths of the polaritonic states. The field intensity enhancement factor can be directly evaluated from the simulations shown in Fig. 6 \\cite{36}. For our experimental conditions, the comparison between the results of Fig. 6a, b gives a maximal intensity enhancement $\\eta_I$ distribution along $z$ axis at the lower polariton wavelength. Consider the electric field intensity at 636 nm, the beam size at focal point is much larger than the thickness of the film, thereby the transverse electric field can be regarded as unchanged throughout the pumped unit volume. For the longitudinal electric field intensity, the $I_{\\text{ESC}}$ near the middle of the film is $\\sim 6$, which is much larger than the values of 1 at the two edges, i.e., $\\eta_I$ at the central part of the molecular volume dominates the enhancement of nonlinear susceptibility. Therefore, when taking into account the $I_{\\text{nonESC}}$ value at 636 nm (1.5), $\\eta_I$ is calculated to be $\\sim 4$ at the lower polaritonic wavelength and hence the corresponding $\\eta_{\\chi^3}$ is $\\sim 16$. Furthermore, from the optical Kerr effect by a single beam, intensity-dependent complex nonlinear refractive index $\\tilde{n}_2$ can be described by \\cite{1, 37}\n\n$$\\tilde{n}_2 = \\frac{3}{4n_0 n'_0 \\varepsilon_0 c} \\chi^{(3)}$$ \\hspace{1cm} (2)\n\nwhere $\\tilde{n}_2 = n_2 + i n''_2 = n_2 + i \\frac{c}{2\\omega} \\beta$, here $n_0$ and $n'_0$ are the complex and the real part of the linear refractive index, respectively. $n''_2$ is the imaginary part of the nonlinear refractive index, $\\varepsilon_0$ and $c$ are the permittivity and the light velocity in vacuum. This indicates that $\\tilde{n}_2$ can be enhanced with the same magnitude as $\\chi^{(3)}$ when the electric field intensity is boosted under strong coupling condition. Accordingly, as evaluated above, the enhancement factors of $n_2$ and $\\beta$ are 16 at the lower polaritonic wavelength. In addition, the enhancement of the electric field intensity at the wavelength of lower polariton is obviously larger than that at the upper polaritonic wavelength, which is consistent with the enhancement spectra of both $n_2$ and $\\beta$ in Fig. 2c, d, a trend that confirms that $\\eta_I$ contributes to the\n\n**Fig. 5 Ultrafast response of the coupled system.** Normalized ultrafast transmittance of the ESC system under a 640 nm optical illumination. The gray area shows the pulse intensity profile (in arbitrary unit).\n\n**Fig. 6 Electric field intensity of the samples.** a,b Electric field intensity spectra of molecules outside (a) and inside (b) the FP cavities along $z$ axis.\n\nenhancement of nonlinear coefficients. But remarkably, these 16-times enhancement values remain smaller than the two-orders-of-magnitude enhancement on nonlinear coefficients measured experimentally (Fig. 2c, d). This difference points toward other causes for the observed optical nonlinear enhancement under strong coupling.\n\nAs already stressed above, the data gathered in Fig. 2c, d reveal the signatures of clear resonance enhancements when the frequencies are close to the upper (UP) and lower (LP) polaritonic state energies. In addition, the results in Figs. 3 and 4 exclude (i) that exciton and cavity effects provide the main contribution to such resonance enhancements, and (ii) that weak-coupling conditions could be sufficient in reaching such nonlinear enhancements values. Taken together, these data clearly show that the polaritonic states are responsible for these enhancements. From this, it is then possible to follow a simple nonlinear Lorentzian model for the nonlinear third-order susceptibility involving the two polaritonic states and an excitonic state in the strongly coupled system. This model allows us to write\\(^{38}\\)\n\n\\[\n\\chi_{\\text{ESC}}^{(3)}(\\omega) = \\sum_{k=\\text{UP,LP,ex}} \\left( \\frac{\\omega_k^2}{\\omega_k^2 - \\omega^2 - i\\gamma_k \\omega} \\right) \\tilde{\\chi}_k^{(3)}\n\\]\n\nwhere \\( \\omega_k \\) and \\( \\gamma_k \\) correspond to the frequency and linewidth of upper polariton (\\( k = \\text{UP} \\)), lower polariton (\\( k = \\text{LP} \\)) and exciton (\\( k = \\text{ex} \\)), respectively. \\( \\omega \\) is the frequency of the pump beam and \\( \\tilde{\\chi}_k^{(3)} \\) is the static third-order susceptibilities associated with each excited states involved. Before analyze the dispersive \\( \\chi_{\\text{ESC}}^{(3)} \\) of the strongly coupled system, we should first estimate the value of \\( \\tilde{\\chi}_{\\text{ex}}^{(3)} \\) of the excitonic state from the uncoupled system. For the uncoupled system, only the excitonic resonance contributes to the dispersive nonlinear susceptibility. Since the experimental values of the real and imaginary parts of the third-order nonlinear susceptibility can be estimated from the Z-scan results above based on Eq. (2), \\( \\tilde{\\chi}_{\\text{ex}}^{(3)} \\) is obtained to be \\( (-0.528 - 2.091i) \\times 10^{-17} \\text{m}^2/\\text{V}^2 \\) by best fitting \\( \\chi_{\\text{NonESC}}^{(3)} \\) as presented in Fig. 7a, b. Then, using the measured values of \\( \\omega_{\\text{UP}} \\) (2.25 eV), \\( \\gamma_{\\text{UP}} \\) (0.201 eV), \\( \\omega_{\\text{LP}} \\) (1.95 eV) and \\( \\gamma_{\\text{LP}} \\) (0.141 eV) from the linear absorption spectrum of the coupled system (Fig. 1d), and fitting the best \\( \\chi_k^{(3)} \\) values with \\( \\tilde{\\chi}_{\\text{UP}}^{(3)} = (0.747 - 0.842i) \\times 10^{-17} \\text{m}^2/\\text{V}^2 \\) and \\( \\tilde{\\chi}_{\\text{LP}}^{(3)} = -(2.562 + 3.615i) \\times 10^{-17} \\text{m}^2/\\text{V}^2 \\), the dispersive nonlinear susceptibility of the coupled system can be well fitted, as illustrated in Fig. 7c, d. Furthermore, comparing the calculated dispersive nonlinear susceptibility of the strongly coupled and uncoupled systems, the enhancement of \\( |\\chi^{(3)}| \\) directly yields the spectral dispersive features observed in enhancement of the nonlinear coefficients, as presented with black solid curves in Fig. 2c, d. This indicates that the polariton-induced dispersive \\( \\chi_{\\text{ESC}}^{(3)} \\) also\n\n**Fig. 7 Experimental and fitted nonlinear susceptibilities of the coupled and uncoupled systems.** Experimental and fitted (black curves) absolute values of the third-order susceptibility of the uncoupled (**a**, **b**) and strongly coupled (**c**, **d**) systems. The blue circles in (**a**, **c**) and red circles in (**b**, **d**) represent the imaginary and real parts of the nonlinear susceptibility. The black curves are obtained with the nonlinear Lorentz model given by Eq. (3), and the error bars of each point are calculated from at least three sets of repeated data.\n\ncontributes to the enhancement of the nonlinear optical coefficients. The details of the model can be found in Supplementary Note 6. A microscopic description of the underlying mechanisms is beyond the scope of this work. But we can speculate that, beside the resonance enhancement effect of the dispersive nature of the polaritonic states, the rather high values for the static third-order susceptibilities could be related to the large transition moments associated with the delocalized nature of the polaritonic states, in a similar way as in our previous work on polaritonic states-driven enhanced second-harmonic generation\\textsuperscript{21}.\n\n**Discussion**\n\nSince both the large electric field intensity inside the cavity at the polaritonic wavelengths and the energy dispersion of $\\chi_{ESC}^{(3)}$ at the upper and lower polaritons contribute to the significant increase in the optical nonlinear coefficients, the enhancement factor of $n_2$ and $\\beta$ can be improved if $(\\eta_I)_{UP,LP}$ and $(\\chi_{ESC}^{(3)})_{UP,LP}$ are further increased. From the calculations, the $(\\eta_I)_{UP,LP}$ and $(\\chi_{ESC}^{(3)})_{UP,LP}$ are very sensitive to the quality factor (QF) of the cavity, i.e., strongly increasing with QF. Considering the fact that the QF of the FP cavity is only 12 at 590 nm resonance in our experiments, there is much room to further enhance $(\\eta_I)_{UP,LP}$ and $(\\chi_{ESC}^{(3)})_{UP,LP}$. For instance, distributed Bragg reflectors\\textsuperscript{39,40}, which are usually used in polariton condensation studies, and various nanostructures\\textsuperscript{30} provide possible candidates for high QF cavities. The study of the third-order optical nonlinearity enhancement by exciton-polaritons in this work opens the gates to explore the effect of strong coupling on a series of third-order optical nonlinear phenomena, such as wave mixing, optical modulation and stimulated Raman scattering. In addition, the femtosecond intrinsic response time of the coupled system makes it possible to realize ultrafast optical switching for future applications.\n\nIn summary, we have performed Z-scan measurements on J-aggregate cyanine molecules inside a FP cavity in the ESC regime, and measured an enhancement by two orders of magnitude on both the nonlinear refractive index $n_2$ and nonlinear absorption coefficient $\\beta$ at the lower polaritonic state compared with measurements done outside the cavity. These large nonlinear enhancements are ascribed to both the increase of the electric field intensity inside the cavity and the polaritonic dispersion of the third-order susceptibility. In addition, we also demonstrated an ultrafast response of ~120 fs of the coupled system using cross-correlation measurements. Such ultrafast, large optical nonlinearities in the strongly coupled system presented here offer an efficient way to realize high speed active photonic and optoelectronic devices.\n\n**Methods**\n\n**Sample preparation.** Three groups of samples were prepared for our experiments. The first group on strong-coupling measurements includes two samples. The first sample with molecules enclosed in an optical cavity (ESC sample) that can be strongly coupled to the cavity mode, and the second one without cavity (non-ESC sample), hence only uncoupled molecules exist. For the ESC sample, a 30 nm silver film was sputtered on the quartz window, and an ~146 nm polymer layer (PVA), doped with J-aggregate cyanine molecules TDBC [5,6-Dichloro-2-[5,6-dichloro-1-ethyl-3-(4-sulfobutyl)-benzimidazol-2-ylidene]-propenyl]-1-ethyl-3-(4-sulphobutyl)-benzimidazolium hydroxide, inner salt, sodium salt, Few Chemicals), was spin coated on top of the silver film. Then, another 30 nm silver film was sputtered on top of the polymer to form a FP cavity. The thickness of the polymer film was carefully selected so as to have the cavity resonance and the molecular absorption peak overlapping. For the non-ESC sample, the thickness of the bottom silver film and TDBC-PVA layer are the same with those of the ESC sample, but without the addition of the top silver film (no cavity formed). The TDBC-PVA solution was made by mixing equal amount of 0.5 wt% TDBC water solution and 5 wt% PVA water solution (molar weight 205000, Sigma-Aldrich). The second group on WC experiments also includes two samples. The PVA film doped with a lower concentration of TDBC (made by the mixed solution of equal amount of 0.05 wt% TDBC water solution and 5 wt% PVA water solution), was placed inside and outside the FP cavities to form the weakly coupled and the non-cavity samples. The third group of samples related to non-coupled measurements were made by PVA film without TDBC doping: one sample with a PVA film inside the FP cavity, and the other without the cavity. The thickness of the Ag film and polymer film for the second and third groups of samples are identical to those for the samples in the first group, and the substrates for all the samples are 1 mm thick quartz windows.\n\n**Estimation of optical nonlinear coefficients from Z-scan measurements.** The extraction of the nonlinear absorption coefficient $\\beta$ and nonlinear refractive index $n_2$ is only based here on the open- and closed-aperture transmissive Z-scan traces because the normalized changes in the reflective Z-scan are much smaller than that in the transmitted one for most of the cases, as displayed in Supplementary Fig. 4. In the case of the open aperture, the energy variations within the whole beam profile of the transmitted light were measured. Therefore, modifications in the transmittance only relate to the nonlinear absorption of the sample, being strongest at the focus and smallest far from it. A positive (negative) peak in the normalized transmittance near the focus corresponds to a negative (positive) value of $\\beta$, which indicates reverse saturable absorption (saturable absorption). In the closed-aperture case, only the energy near the center of the transmitted beam is detected. Thus, variations in transmission are associated to both the nonlinear absorption and nonlinear-refraction induced self-focusing and defocusing. A valley-peak signal in closed-aperture Z-scan indicates a positive nonlinear refractive index and a peak-valley profile corresponds to a negative value of $n_2$.\n\nAssuming a circular profile to the incident beam, the normalized transmittance in the Z-scan measurements can be expressed by\n\n$$T = \\frac{(1 - \\alpha L)/(1 - \\alpha_0 L)}{}$$\n\nwhere $\\alpha$ and $\\alpha_0$ are the total and linear absorption coefficients, respectively. $L$ is the sample thickness. The linear absorption coefficient $\\alpha_0$ at different wavelengths can be determined via $\\alpha_0 = 4\\pi n_0 \\kappa/\\lambda$ when the linear refractive index ($n_0$) and the extinction coefficient ($\\kappa$) are obtained from the measured absorption spectra.\n\nConsidering that both the saturation absorption and two-photon absorption contribute to the absorption response in Z-scan measurements, we have\\textsuperscript{41,42}\n\n$$\\alpha(I) = \\frac{\\alpha_0}{1 + I_s/I_e} + \\beta I_e$$\n\nwhere $I_e$ and $I_s$ are excitation intensity and saturable intensity, respectively. $I_e$ is related to the optical intensity at the focus $I_p$, the Rayleigh length $z_0$ of the beam and the sample position $z$ by $I_e(z) = I_p/(1 + z^2/z_0^2)$. According to the expressions above, the normalized transmittance for open aperture can be given by\n\n$$T_{OA} = \\left[1 - \\frac{\\alpha_0 I_e L}{I_e + I_p/(1 + z^2/z_0^2)} - \\frac{\\beta I_e L}{1 + z^2/z_0^2}\\right]/(1 - \\alpha_0 L)$$\n\nFor closed-aperture Z-scan\\textsuperscript{25},\n\n$$T_{CA} = \\left(1 - \\frac{4\\Delta \\Phi z/z_0}{(z^2/z_0^2 + 9)(z^2/z_0^2 + 1)}\\right)$$\n\nwhere $\\Delta \\Phi = 2\\pi n_2 I_e L_{\\text{eff}}/\\lambda$, $L_{\\text{eff}}$ is the effective length, which is associated with the linear absorption coefficient $\\alpha_0$ by $L_{\\text{eff}} = \\frac{1-\\kappa^{-n_0 l}}{\\alpha_0}$. 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Express* **22**, 7249–7260 (2014).\n\n**Acknowledgements**\n\nWe acknowledge support of the International Center for Frontier Research in Chemistry (icFRC, Strasbourg), the ANR Equipe Union (ANR-10-EQPX-52-01), the Labex NIE Projects (ANR-11-LABX-0058 NIE), CSC (ANR-10- LABX-0026 CSC), and USIAS (Grant No. ANR- 10-IDEX-0002-02) within the Investissement d’Avenir program ANR-10-IDEX-0002-02, the ERC (project no 788482 MOLUSC), PlasHybrid (ANR-18-CE30-0014-02) and QuantEra project RoutTe. M.S. acknowledges support from the Marie Skłodowska-Curie actions of the European Commission (project 753228, PlanN).\n\n**Author contributions**\n\nK.W. and T.W.E. conceived the idea; K.W. and K.N. prepared the samples; K.W. conducted all the optical measurements and the corresponding data analysis with the help of M.S.; M.S., T.C., C.G. and K.W. performed the numerical simulations; All authors contributed to discussing and commenting the paper. C.G. and T.W.E. supervised the project.\n\n**Competing interests**\n\nThe authors declare no competing interests.\n\n**Additional information**\n\nSupplementary information The online version contains supplementary material available at https://doi.org/10.1038/s41467-021-21739-7.\n\nCorrespondence and requests for materials should be addressed to C.G. or T.E.\n\nPeer review information *Nature Communications* thanks Eric Van Stryland and the other, anonymous, reviewer(s) for their contribution to the peer review of this work.\n\nReprints and permission information is available at http://www.nature.com/reprints\n\nPublisher’s note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.\n\nOpen Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. 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To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/.\n\n© The Author(s) 2021"}}},{"rowIdx":204785,"cells":{"text":{"kind":"string","value":"Analysis of Fiber Reinforced Plastic Bolted Flange Joints\n\nby\n\nAli KHAZRAIYANVAFADAR\n\nTHESIS PRESENTED TO ÉCOLE DE TECHNOLOGIE SUPÉRIEURE IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY PH.D.\n\nMONTREAL, JULY 22, 2019\n\nÉCOLE DE TECHNOLOGIE SUPÉRIEURE\nUNIVERSITÉ DU QUÉBEC\n\nAli Khazraiyanvafadar, 2019\n\nThis Creative Commons license allows readers to download this work and share it with others as long as the author is credited. The content of this work can’t be modified in any way or used commercially.\n\nBOARD OF EXAMINERS\n\nTHIS THESIS HAS BEEN EVALUATED\n\nBY THE FOLLOWING BOARD OF EXAMINERS\n\nMr. Abdel-Hakim Bouzid, Thesis Supervisor\nDépartement de génie mécanique at École de technologie supérieure\n\nMr. Anh Dung Ngô, Thesis Co-supervisor\nDépartement de génie mécanique at École de technologie supérieure\n\nMrs. Wahid Maref, President of the Board of Examiners\nDépartement de génie de la construction at École de technologie supérieure\n\nMr. Guilbault, Raynald, Member of the jury\nDépartement de génie mécanique at École de technologie supérieure\n\nMr. Pierre Mertiny, External Evaluator\nDépartement de génie mécanique at University of Alberta\n\nTHIS THESIS WAS PRESENTED AND DEFENDED\n\nIN THE PRESENCE OF A BOARD OF EXAMINERS AND PUBLIC\n\nON JUNE 26, 2019\n\nAT ÉCOLE DE TECHNOLOGIE SUPÉRIEURE\n\n“The Moving Finger writes; and, having writ,\nMoves on: nor all thy Piety nor Wit\nShall lure it back to cancel half a Line,\nNor all thy Tears wash out a Word of it.”\n\n........................................................................................................... Omar Khayyam\n\nACKNOWLEDGMENT\n\nAt first and foremost, I owe my gratitude to all those people who have made this dissertation possible and because of whom my graduate experience has been one that I will cherish forever.\n\nMy deepest gratitude is to my advisor Dr. Abdel-Hakim Bouzid and my co-advisor Dr. Anh Dung Ngô. I have been fortunate to have advisors who gave me the freedom to explore on my own and at the same time the guidance to be on the right path. I am grateful for their patience, guidance, inspiration and continuous support throughout my Ph.D. studies.\n\nI would like to express my appreciation to my parents, Maryam and Ahmad for their outstanding support, care, encouragement and guidance throughout my life and specifically during my Ph.D.\n\nWith immense pleasure, I would like to express my gratitude to my wife Golnaz and my brothers Amir and Mo for their help and support.\n\nI also thank my colleagues and friends, in Static and Dynamic Sealing Laboratory for their help and friendship – Mehdi Kazeminia, Amir Hasrak, Ali Oweimer, Rahul Palaniappan, Linbo Zhu, and Mohammad Esouilem.\n\nMy special thanks to all the technicians of the Department of Mechanical Engineering of ÉTS, in particular, Serge Plamondon and Michel Drouin for their collaboration and technical support.\n\nDEDICATION\n\nTo those who devote their lives to the cause of “peace” “equality” and “freedom”\n\nAnalyse de raccords de brides boulons plastiques renforcés de fibres\n\nAli KHAZRAIYAN VAFADAR\n\nRÉSUMÉ\n\nLes composites en plastique renforcé de fibres (FRP) sont largement utilisés dans les domaines des appareils et tuyauterie sous pression. Les assemblages à brides boulonnées en FRP ont connu un développement spectaculaire dans le domaine du transport des fluides dans les systèmes de tuyauterie. Malgré l'utilisation accrue des composites de FRP dans les assemblages à brides boulonnées et la bonne connaissance de ces structures et du comportement de leurs matériaux, la procédure utilisée pour leur conception reste celle adoptée pour les brides métalliques. Cependant, les résultats sont souvent biaisés puisque celle-ci ne prend pas en considération le comportement anisotrope des brides en composites. Par conséquent, il est nécessaire de développer une approche réaliste pour procéder à une évaluation précise de la redistribution des charges dans l'assemblage afin de prédire l'intégrité des brides boulonnés en FRP.\n\nCette thèse présente deux modèles analytiques de brides, un sans collerette et un avec collerette. Ces modèles sont supportés par des modèles numériques par éléments finis et des essais expérimentaux. L'étude traite l'intégrité structurelle et l'étanchéité des assemblages à brides boulonnés en FRP sur la base de l'anisotropie, ainsi qu'une analyse de la flexibilité de tous les éléments de joint, à savoir le joint, les boulons et les brides. Dans les modèles analytiques des brides avec et sans collerette, la bride en composites est subdivisée en trois parties principales, à savoir: l'anneau ou la plaque annulaire, la collerette et la coque cylindrique. L'étude expérimentale, laquelle repose une approche fiable pour évaluer le modèle analytique proposé, a été réalisée sur un banc d'essai (banc d'éclatement de joints HOBT). Le banc d'essai a été modifié pour accommoder les brides NPS 3 en FRP conçu conformément à la section X du code l'ASME. Des modèles numériques 3D avec des éléments à coque anisotrope et des éléments solides ont été réalisés pour comparer et vérifier les résultats obtenus par les approches analytiques et expérimentales.\n\nMalgré l'analyse mathématique rigoureuse et la complexité des brides composite stratifié, la comparaison des résultats a prouvé que les modèles analytiques proposés des brides en FRP avec et sans le moyeu sont efficaces, précis et fiables pour prédire la distribution des contraintes longitudinales et tangentielles dans la bride ainsi que le déplacement radial de la bride. De plus, les résultats ont montré que le modèle FE développé pour les brides en FRP avec et sans moyeu peut reproduire parfaitement le comportement des assemblages à brides boulonnés en FRP.\n\nMots-clef: Plastique renforcé de fibres (FRP), assemblages à brides boulonnées, Composites, Anisotropie, Assemblage avec joint plat\n\nAnalysis of fiber reinforced plastic bolted flange joints\n\nAli KHAZRAIYAN VAFADAR\n\nABSTRACT\n\nFiber Reinforced Plastic (FRP) composites are extensively used in the areas of pressure vessels and piping and FRP bolted flange joints have experienced a spectacular development to provide continuity for the flow of fluid through piping systems. In spite of the increased use of FRP composites in bolted flange joints and the good knowledge of these structures and their material behavior the procedure used for their design is still that of metallic flanges. There is a major concern to appropriately address the anisotropic behavior of composite materials in a flange design. Therefore, it is necessary to make a precise evaluation of the bolt and gasket loads in order to be able to predict the integrity of FRP bolted flange joints.\n\nThis thesis presents two analytical model cases; one with the flange hub and the other one without the flange hub. These models are supported by numerical finite element modeling and experimental test data. The study treats FRP bolted flange joints integrity and leak tightness based on the anisotropy and flexibility analysis of all joint elements including the gasket, bolts, and flanges. In the analytical models for the flange with and without the hub, the composite flanges are subdivided into three major categories, namely: ring flange, hub, and shell. The experimental study was carried out on a well-equipped test bench, used for Hot Blow out test of PTFE gaskets. The rig was modified to accommodate an NPS 3 FRP bolted flange joint designed according to ASME BPV Code Section X. Furthermore, three different numerical models based on 3D anisotropic layered shell and solid element models were conducted to compare and verify the results obtained from analytical and experimental approaches.\n\nIn spite of the rigorous mathematical analysis and complexity of the laminate composite flange, comparing the results proved that the proposed analytical models for FRP flanges with and without the hub, are efficient, accurate and reliable in predicting the longitudinal and tangential stress distributions on the flange surface and radial displacement of the flange. Moreover, the results demonstrated that the FE model which is developed for FRP flanges with and without the hub can depict the true behavior of FRP bolted flange joints.\n\nKeywords: Fiber Reinforced Plastic (FRP), Bolted Flange Joints, Composites, Anisotropy, Full face gasket\n\n# TABLE OF CONTENTS\n\n**INTRODUCTION** ...........................................................................................................1\n\n**CHAPTER 1 LITERATURE REVIEW** ........................................................................7\n\n1.1 Introduction ............................................................................................................7\n\n1.2 Fiber reinforced plastic (FRP) ................................................................................7\n\n 1.2.1 Material Systems (fibers and resins) ..........................................................8\n\n 1.2.2 General Fabrication Techniques ..................................................................10\n\n1.3 Bolted Flanged Joints .............................................................................................12\n\n 1.3.1 Fiber reinforced plastic bolted flange joints ..............................................14\n\n 1.3.2 Design codes and standards for FRP bolted flange joints .......................15\n\n 126.96.36.199 PS 15-69 .................................................................................................15\n\n 188.8.131.52 ASME Boiler and Pressure Vessel Code Section X ............................16\n\n1.4 Analytical studies ...................................................................................................19\n\n 1.4.1 Classical lamination theory ..........................................................................21\n\n1.5 Numerical Finite Element studies .........................................................................24\n\n1.6 Experimental studies ..............................................................................................29\n\n1.7 Conclusion .............................................................................................................32\n\n1.8 Research project objectives ..................................................................................34\n\n**CHAPTER 2 ANALYTICAL MODELING OF FRP BOLTED FLANGE JOINT** ........37\n\n2.1 Introduction ............................................................................................................37\n\n2.2 Analytical model ....................................................................................................38\n\n2.3 Theoretical analysis for FRP bolted flange joints without the hub .....................40\n\n 2.3.1 Analytical model of the shell (Cylinder theory) .......................................41\n\n 2.3.2 Analytical model of the flange ring (ring theory) .....................................47\n\n2.4 Theoretical analysis of FRP bolted flange joints with the hub .............................58\n\n 2.4.1 Analytical model of the hub ........................................................................58\n\n2.5 Axial compatibility: ...............................................................................................63\n\n2.6 Stress calculation ..................................................................................................69\n\n 2.6.1 Hub laminate: .............................................................................................70\n\n 2.6.2 Shell laminate ...............................................................................................71\n\n**CHAPTER 3 NUMERICAL (FINITE ELEMENT) MODELING** ................................75\n\n3.1 Introduction ............................................................................................................75\n\n3.2 Applied loading .....................................................................................................76\n\n 3.2.1 Pretension load on bolts .............................................................................76\n\n 3.2.2 Internal pressure ..........................................................................................79\n\n3.3 Modeling of the gasket ..........................................................................................80\n\n3.4 Boundary conditions ............................................................................................82\n\n3.5 3D solid finite element models ............................................................................83\n\n 3.5.1 Finite element model for the flange with NPS 12 class 150 ....................84\n\n184.108.40.206 Geometry of the flange ................................................................. 85\n220.127.116.11 Lamina properties ........................................................................ 89\n18.104.22.168 Meshing and contacts................................................................. 95\n\n3.5.2 Finite element model for the flange with NPS 3 class 150 ............... 97\n22.214.171.124 Geometry of the flange ................................................................. 97\n126.96.36.199 Mesh of flange and contacts ...................................................... 99\n\n3.5.3 Finite shell element model ANSYS Composite PrepPost (ACP) .......... 99\n188.8.131.52 Lamina properties ........................................................................ 102\n184.108.40.206 Flange laminates ........................................................................ 102\n220.127.116.11 Geometry of the flange ................................................................. 105\n18.104.22.168 Meshing and contacts.................................................................. 106\n\nCHAPTER 4 EXPERIMENTAL SET-UP ......................................................... 109\n4.1 Introduction ........................................................................................... 109\n4.2 Bolted flanged rig .................................................................................. 109\n4.2.1 Bolt load measurement .................................................................... 111\n4.2.2 Displacement and rotation measurements ....................................... 112\n4.2.3 The data acquisition system ............................................................. 113\n4.3 FRP flange set-up .................................................................................. 113\n4.4 Test procedure ....................................................................................... 115\n\nCHAPTER 5 RESULTS AND DISCUSSION .................................................. 117\n5.1 Introduction ........................................................................................... 117\n5.2 Results for the NPS 3 FRP flange .......................................................... 117\n5.2.1 Flange stresses ................................................................................ 118\n5.2.2 Radial displacement ....................................................................... 124\n5.2.3 Gasket contact stress ...................................................................... 125\n5.3 Results for the NPS 12 flange without the hub ..................................... 127\n5.3.1 Flange stresses ................................................................................ 127\n5.3.2 Radial displacement ....................................................................... 132\n5.4 Results for the NPS 12 flange with the hub .......................................... 133\n5.4.1 Flange stresses ................................................................................ 133\n5.4.2 Radial displacement ....................................................................... 139\n\nCONCLUSIONS .......................................................................................... 141\n\nRECOMMENDATIONS ............................................................................... 145\n\nAPPENDIX A Analytical program for frp bolted flange joint ....................... 147\nAPPENDIX B LabVIEW program ................................................................ 155\n\nBIBLIOGRAPHY .......................................................................................... 159\n\n| Table | Description | Page |\n|-------|-----------------------------------------------------------------------------|------|\n| 1-1 | FRP joint standard, PS 15-69 | 16 |\n| 1-2 | Flange and nozzle dimensions, ASME Boiler and Pressure Vessel Code Section X | 18 |\n| 3-1 | Material properties of the bolts | 77 |\n| 3-2 | Bolt stress and bolt force for the NPS 3 and 12 FRP bolted flange joint | 78 |\n| 3-3 | Inside pressure and wall pressure for NPS 3 and 12 FRP flange | 80 |\n| 3-4 | Geometry of the gasket for the flange with NPS 3 and 12 | 82 |\n| 3-5 | Dimensions of the NPS 12 flange with the hub | 87 |\n| 3-6 | Dimensions of the NPS 12 flange without the hub | 88 |\n| 3-7 | Mechanical, physical and elastic properties of the laminates | 90 |\n| 3-8 | Geometry of the NPS 3 flange (ZCL Composite Co.) | 98 |\n\n| Figure | Description | Page |\n|--------|------------------------------------------------------------------------------|------|\n| 1-1 | Contact molding process (Black et al. 1995) | 10 |\n| 1-2 | Filament winding process (Estrada 1997) | 11 |\n| 1-3 | FRP Flanged Joints (Estrada 1997) | 12 |\n| 1-4 | Conventional Metallic Flanged Joints (Estrada 1997) | 13 |\n| 1-5 | Exact model and flange geometry and loading (Estrada, 1997) | 20 |\n| 1-6 | Modeling stub flange (Estrada, 1997) | 21 |\n| 1-7 | Laminate geometry for the tapered laminated shell (Estrada, 1997) | 21 |\n| 1-8 | Loading situation defined in AD-Merkblatt N1 (Kurz et al. 2012) | 22 |\n| 1-9 | Floating type bolted flange connection with GRP flange (Kurz et al. 2012) | 22 |\n| 1-10 | Pipe and ring used in the analytical model (Sun, L. 1995) | 24 |\n| 1-11 | Axisymmetric finite element model (Estrada 1997) | 25 |\n| 1-12 | Three-dimensional finite element model (Estrada 1997) | 25 |\n| 1-13 | Distribution of radial displacement (Estrada 1997) | 26 |\n| 1-14 | Distribution of axial moments (Estrada 1997) | 26 |\n| 1-15 | Results of the FE simulation (elastic equivalent stress) with highly loaded areas (dark) in the loose flange (left) and collar (right) (Kurz and Roos 2012) | 27 |\n| 1-16 | FE model of a bolted flange connection with loose flanges and collars (Kurz and Roos 2012) | 27 |\n| 1-17 | 15-degree section of the flange in the FE model (Sun 1995) | 28 |\n| 1-18 | Flange front face radial stress, Operating (Sun 1995) | 28 |\n| 1-19 | Flange back face tangential stress, Operating (Sun 1995) | 29 |\n\n| Figure | Description | Page |\n|--------|------------------------------------------------------------------------------|------|\n| 1-20 | Test rig for experimental investigations on bolted flange connections DN50 (without displacement transducers) (Kurz and Roos 2012) | 30 |\n| 1-21 | The displacements due to the rotation of the loose flange (Kurz and Roos 2012) | 30 |\n| 1-22 | Comparison of nominal stresses from FE simulation, AD-Merkblatt N1 (Kurz and Roos 2012) | 31 |\n| 1-23 | Dimensions of test vessel (Sun 1995) | 32 |\n| 1-24 | Test Set-Up (Sun 1995) | 32 |\n| 1-25 | Crack in the flange face between the bolts and inside the bolt hole (Dynaflow 2011) | 33 |\n| 1-26 | Crack at hub neck of the flange (Dynaflow 2011) | 33 |\n| 2-1 | Cross-section of FRP flange in (a) initial tightening phase, (b) pressurization phase | 39 |\n| 2-2 | Analytical model of the FRP flange without the hub (a) bolt-up (b) pressurization | 41 |\n| 2-3 | Analytical model of the shell (a) bolt-up and (b) pressurization | 42 |\n| 2-4 | Shell element model | 43 |\n| 2-5 | Analytical model of the ring (a) bolt-up and (b) pressurization | 47 |\n| 2-6 | Analytical model for the FRP flange with the hub (a) bolt-up (b) pressurization | 59 |\n| 2-7 | Analytical model of the hub (a) bolt-up and (b) pressurization | 60 |\n| 2-8 | Axial compatibility of the joint a) hand tightening b) initial pre-tightening (Bolt-up), c) pressurization | 64 |\n| 3-1 | Axial bolt load with special coordinate system | 79 |\n| 3-2 | Inside pressure $p_o$ and wall pressure $p_w$ at pressurization phase | 80 |\n| 3-3 | Gasket compression tests | 81 |\n| 3-4 | Boundary condition for the static model | 83 |\n| 3-5 | Symmetry surfaces of static model | 84 |\n\n| Figure | Description | Page |\n|--------|------------------------------------------------------------------------------|------|\n| 3-6 | Finite element model for the NPS 12 FRP flange without the hub | 85 |\n| 3-7 | Finite element model for the NPS 12 FRP flange with the hub | 86 |\n| 3-8 | Geometry of the NPS 12 flange with the hub | 87 |\n| 3-9 | Geometry of FRP flange with the hub modeled in Catia | 87 |\n| 3-10 | Geometry of the NPS 12 flange without the hub | 88 |\n| 3-11 | Geometry of FRP flange without the hub modeled in Catia | 88 |\n| 3-12 | General laminate for the shell | 91 |\n| 3-13 | General laminate for the ring of the NPS 12 flange without the hub | 92 |\n| 3-14 | General laminate for the hub | 93 |\n| 3-15 | General laminate for the ring of the NPS 12 flange with the hub | 94 |\n| 3-16 | FE mesh model for NPS 12 flange | 95 |\n| 3-17 | Finite element model of the isotropic NPS 3 FRP flange | 96 |\n| 3-18 | Geometry of the NPS 3 flange with the hub | 98 |\n| 3-19 | Geometry of the NPS 3 FRP bolted flange joint in (a) ANSYS and (b) Catia | 99 |\n| 3-20 | FE Mesh model for the NPS 3 FRP bolted flanged joint | 100 |\n| 3-21 | Structure of the numerical model in ANSYS Composite PrepPost (ACP) | 101 |\n| 3-22 | Finite element model for NPS 3 FRP bolted flange joint in ANSYS ACP | 101 |\n| 3-23 | General laminate for the shell | 103 |\n| 3-24 | General laminate for the ring | 103 |\n| 3-25 | General laminate for the hub | 104 |\n| 3-26 | FRP flange laminate in ANSYS ACP | 104 |\n| 3-27 | Geometry of the flange in ANSYS ACP | 105 |\n| 3-28 | Geometry of the flange in ANSYS geometry | 105 |\n\n| Figure | Description | Page |\n|--------|-----------------------------------------------------------------------------|------|\n| 3-29 | Geometry of the bolts and gasket | 106 |\n| 3-30 | FE mesh model for the flange | 106 |\n| 3-31 | FE model mesh for bolts and gasket | 107 |\n| 3-32 | Final FE mesh model for the FRP bolted flange joint | 107 |\n| 4-1 | General configuration of HOBT test rig | 110 |\n| 4-2 | Typical cross section of HOBT fixture (Bouzid, 2015) | 111 |\n| 4-3 | HOBT bolt load measurement system and the bolt-rod assembly | 112 |\n| 4-4 | HOBT displacement measurement system | 113 |\n| 4-6 | Strain gauges attached on FRP flange | 114 |\n| 4-7 | 45° strain rosette aligned with the x-y axes | 115 |\n| 4-8 | Torque sequence (SPEARS, 2014) | 116 |\n| 5-1 | Longitudinal stress distribution at the outside flange surface during bolt-up | 118 |\n| 5-2 | Longitudinal stress distribution at the inside flange surface during bolt-up | 119 |\n| 5-3 | Tangential stress distribution at the outside flange surface during bolt-up | 120 |\n| 5-4 | Tangential stress distribution at the inside flange surface during bolt-up | 120 |\n| 5-5 | Longitudinal stress distribution at the outside flange surface during pressurization | 121 |\n| 5-6 | Longitudinal stress distribution at the inside flange surface during pressurization | 122 |\n| 5-7 | Tangential stress distribution at the outside flange surface during pressurization | 122 |\n| 5-8 | Tangential stress distribution at the inside flange surface during pressurization | 123 |\n| 5-9 | Radial displacement of the flange during bolt-up | 124 |\n\n| Figure | Description | Page |\n|--------|-----------------------------------------------------------------------------|------|\n| 5-10 | Radial displacement of the flange during pressurization | 125 |\n| 5-11 | Distribution of the gasket contact stress as a function of a gasket width | 126 |\n| 5-12 | Longitudinal stress distribution at the outside flange surface during bolt-up| 127 |\n| 5-13 | Longitudinal stress distribution at the inside flange surface during bolt-up| 128 |\n| 5-14 | Tangential stress distribution at the outside flange surface during bolt-up | 129 |\n| 5-15 | Tangential stress distribution at the inside flange surface during bolt-up | 129 |\n| 5-16 | Longitudinal stress distribution at the outside flange surface during pressurization | 130 |\n| 5-17 | Longitudinal stress distribution at the inside flange surface during pressurization | 131 |\n| 5-18 | Tangential stress distribution at the outside flange surface during pressurization | 131 |\n| 5-19 | Tangential stress distribution at the inside flange surface during pressurization | 132 |\n| 5-20 | Radial displacement of the flange during bolt-up and pressurization | 133 |\n| 5-21 | Longitudinal stress distribution at the outside flange surface during bolt-up| 135 |\n| 5-22 | Longitudinal stress distribution at the inside flange surface during bolt-up| 135 |\n| 5-23 | Tangential stress distribution at the outside flange surface during bolt-up | 136 |\n| 5-24 | Tangential stress distribution at the inside flange surface during bolt-up | 136 |\n| 5-25 | Longitudinal stress distribution at the outside flange surface during pressurization | 137 |\n\n| Figure 5-26 | Longitudinal stress distribution at the inside flange surface during pressurization | 137 |\n|------------|----------------------------------------------------------------------------------|-----|\n| Figure 5-27 | Tangential stress distribution at the outside flange surface during pressurization | 138 |\n| Figure 5-28 | Tangential stress distribution at the inside flange surface during pressurization | 139 |\n| Figure 5-29 | Radial displacement of the flange during bolt-up and pressurization | 140 |\n\n| Abbreviation | Description |\n|--------------|-------------|\n| 1D | One dimensions |\n| 2D | Two dimensions |\n| 3D | Three dimensions |\n| ACP (Pre) | ANSYS Composite PrepPost |\n| ACP (Post) | ANSYS Composite PostProcessor |\n| Al | Aluminium |\n| ANSI | American National Standard Institute |\n| ASME | American Society of Mechanical Engineers |\n| B | Bore |\n| Ca | Calcium |\n| DIN | Deutsches Institut Fuer Normung |\n| EPDM | Ethylene Propylene Diene Terpolymer |\n| f | Flange |\n| Fe | Iron |\n| FEM | Finite Element Model |\n| FRP | Fiber Reinforced Plastic |\n| GRFP | Glass Reinforced Fiber Plastic |\n| HOBT | Hot Blowout Test |\n| LVDT | Linear Variable Differential Transformer |\n| Mg | Magnesium |\n| NPS | Nominal Pipe Size |\n\n| Abbreviation | Description |\n|--------------|------------------------------|\n| O | Oxygen |\n| PVP | Pressure Vessel and Piping |\n| PTFE | Polytetrafluoroethylene |\n| Si | Silicium |\n| Ss | Stainless Steel |\n| UV | Ultra-violet |\n\nLIST OF SYMBOLS AND UNITS OF MEASUREMENTS\n\nν Poisson ratio\n\nβ_h Hub constant [mm]\n\nβ_s Shell constant [mm]\n\nε Strain [%]\n\nσ_l Longitudinal Stress [MPa]\n\nσ_{h,l,i}^n Longitudinal stress in the inside hub surface [MPa]\n\nσ_{h,l,o}^n Longitudinal stress in the outside hub surface [MPa]\n\nσ_{h,t,i}^n Tangential stress in the inside hub surface [MPa]\n\nσ_{h,t,o}^n Tangential stress in the outside hub surface [MPa]\n\nσ_{s,l,i}^n Longitudinal stress in the inside shell surface [MPa]\n\nσ_{s,l,o}^n Longitudinal stress in the outside shell surface [MPa]\n\nσ_{s,t,i}^n Tangential stress in the inside shell surface [MPa]\n\nσ_{s,t,o}^n Tangential stress in the outside shell surface [MPa]\n\nσ_r Radial stress [MPa]\n\nσ_t Tangential stress [MPa]\n\nσ_t^f Tensile stress [MPa]\n\nσ_c^r Compressive yield strength [MPa]\n\nσ_{xy} Stress in the xy direction [MPa]\n\nρ Density [kg/m³]\n\nθ Flange rotation [rad]\n\nψ_p^n Rotation of the plate [rad]\n\nψ_h^n Rotation of the hub [rad]\n\n| Symbol | Description |\n|--------|-------------|\n| $\\psi_s^n$ | Rotation of the shell [rad] |\n| $a$ | Constant according to the gasket [MPa] |\n| $A_b$ | Bolt area [mm$^2$] |\n| $A_g$ | Full gasket contact area [mm$^2$] |\n| $A_p$ | Pressure area [mm$^2$] |\n| $A_{h,n}$ | In-plane laminate modulus for the hub [MPA.mm] |\n| $A_{p,n}$ | In-plane laminate modulus for the ring [MPA.mm] |\n| $A_{s,n}$ | In-plane laminate modulus for the shell [MPA.mm] |\n| $A_s$ | Section cut area of the shell [mm$^2$] |\n| $b$ | Effective gasket seating width [mm] |\n| $B_{h,n}$ | Coupling laminate modulus for the hub [MPA.mm$^2$] |\n| $B_{p,n}$ | Coupling laminate modulus for the ring [MPA.mm$^2$] |\n| $B_{s,n}$ | Coupling laminate modulus for the shell [MPA.mm$^2$] |\n| $D_{h,n}$ | Flexural laminate modulus for the hub [MPA.mm$^3$] |\n| $D_{p,n}$ | Flexural laminate modulus for the ring [MPA.mm$^3$] |\n| $D_{s,n}$ | Flexural laminate modulus for the shell [MPA.mm$^3$] |\n| $d_b$ | Diameter of the bolt [mm] |\n| $E$ | Young Modulus [MPa] |\n| $F_{b}^n$ | Bolt force [N] |\n| $F_G^n$ | Gasket force [N] |\n| $G$ | Effective gasket diameter [mm] |\n| $G_b$ | Loading intercept on a tightness curve [MPa] |\n| $G_s$ | Unloading intercept on a tightness curve [MPa] |\n\n| Symbol | Description | Unit |\n|--------|--------------------------------------------------|---------------|\n| $K_b$ | Bolt uniaxial stiffness | N/m |\n| $K_g$ | Gasket uniaxial stiffness | N/m |\n| $m$ | Gasket factor | / |\n| $M_{i}^{n}$ | Discontinuity moment in the initial phase | N |\n| $M_{h}^{n}$ | Discontinuity moment in the hub | N |\n| $M_{s}^{n}$ | Discontinuity moment in the shell | N |\n| $M_r$ | Moment resulting from r | N.mm |\n| $M_\\Theta$ | Moment resulting from $\\Theta$ | N.mm |\n| $N$ | Number of bolts | / |\n| $N_r$ | Stress resultant in the radial direction | N |\n| $N_\\Theta$ | Stress resultant in direction $\\Theta$ | N |\n| $N_{h,i}^{n}$ | Hub longitudinal force | N |\n| $N_{h,t}^{n}$ | Hub Tangential force | N |\n| $N_{s,i}^{n}$ | Shell longitudinal force | N |\n| $N_{s,t}^{n}$ | Shell tangential force | N |\n| $Q_h^{n}$ | Shear force in the hub | N |\n| $Q_s^{n}$ | Shear force in the shell | N |\n| $Q_{rx}$ | Shear force in the plane rx | N |\n| $P_w$ | Longitudinal stress on the wall | MPa |\n| $p_o$ | Internal pressure | MPa |\n| $P_1$ | Hub to cylinder discontinuity force | N/m |\n| $P_2$ | Flange to hub discontinuity force | N/m |\n\n| Symbol | Description | Unit |\n|--------|--------------------------------------------------|--------|\n| r | Radius considered | mm |\n| $r_b$ | Bolt circle | mm |\n| $r_i$ | Inside radius of the flange | mm |\n| $r_o$ | Outside radius of the ring | mm |\n| $S_b$ | Allowable bolt stress at design temperature | MPa |\n| $S_{ya}$ | Theoretical gasket seating stress | MPa |\n| $S_{m0}$ | Minimum operating gasket stress | MPa |\n| $S_{m1}$ | Gasket operating stress | MPa |\n| $S_{m2}$ | Gasket seating stress | MPa |\n| $T_f$ | Melting temperature | °C |\n| $t_h$ | Hub thickness | mm |\n| $t_r$ | Ring thickness | mm |\n| $t_s$ | Shell thickness | mm |\n| $T_{p\\text{min}}$ | Minimum tightness | / |\n| U | Strain energy | J |\n| $u^f$ | Ring radial displacement | mm |\n| $u^n$ | Radial displacement in the initial phase | mm |\n| $u_h^n$ | Hub radial displacement | mm |\n| $u_s^n$ | Shell radial displacement | mm |\n| V | Work done by force | J |\n| $w$ | Axial displacement | mm |\n| $w^f$ | Flange axial displacement | mm |\n| $W_m$ | Design bolt load | N |\n\n| Symbol | Description |\n|--------|-------------|\n| $W_{m1}$ | Operating design bolt load [N] |\n| $W_{m2}$ | Seating design bolt load [N] |\n| $y$ | Gasket design seating stress [MPa] |\n\n**Superscript**\n\n- $i$: Refers to an initial tightening of the bolt condition\n- $f$: Refers to final condition (pressurization)\n- $n$: Refers to the time $n$\n\n**Mass**\n\n- mg: Milligram\n- kg: Kilogram\n\n**Angel**\n\n- Deg: Degree\n- Rad: Radian\n\n**Length/Displacement**\n\n- m: Meter\n- mm: Millimeters\n- cm: Centimeter\n- $\\mu s$: Micro strain\n- in: Inches\n\n**Temperature**\n\n- C: Centigrade\n- F: Fahrenheit\n\n| Time | Unit |\n|--------------|----------|\n| S | Second |\n| H | Hours |\n\n| Pressure/stress | Unit |\n|-----------------|--------------------|\n| MPa | Mega Pascal |\n| GPa | Giga Pascal |\n| Psi | Pounds per Square Inches |\n\nFiber reinforced plastic composites have recently experienced a spectacular development in the areas of pressure vessels and piping. They are used in applications ranging from water and gas services to aeronautical and petrochemical industries. Their special properties have let these composites to take precedence over traditional materials in terms of weight, chemical resistance, resistance to fatigue, low maintenance cost, and even aesthetics. Because of the ability to resist in a corrosive environment, they are extensively used in chemical and petrochemical process plants. Only some type of metallic alloys such as nickel (Ni) molybdenum (Mo) chromium (Cr) alloys can successfully survive in these conditions.\n\nFluid handling and transportation require safe bolted flange assemblies and pressurized equipment. Indeed, the main purpose of a bolted flange joint is to ensure the containment fluid and thus protect the immediate environment against contamination from leakage of harmful fluids or fluid escapes that are nauseating, toxic, and dangerous. In the first case, the loss of such a harmless fluid primarily results in a reduction in the efficiency of the installation, although such joint failure may present hazards such as leakage of steam under pressure. In the second case, the leak does not only represent a decline in the performance of the pressure vessel but also it is dangerous for the environment and humans (Bouzid et al. 2007). Therefore, a proper choice of materials in bolted flange joints for a particular process is an important responsibility of the user and the designer, in terms of compliance with laws, regulations, and standards of calculation. In addition, it is important to note that the performance of bolted flange joints depends on the interaction of the various components of the system and satisfactory performance of joints can only be expected if all the system components work together in harmony.\n\nDespite the increased use of FRP composites in pressurized tanks and piping plants, limited information is available on the mechanical analysis of certain components, especially in bolted flange joints. Even though the ASME BPV Code Section X (American Society of Mechanical\n\nEngineers), ASME RTP-1 as well as other standards such as standard D4024, the British Standard BS 7159 have developed rules for the design, manufacturing techniques and inspection of pressure vessels made of fiber-reinforced plastic, the theories that are used in the analysis of composite flanges are more or less modified versions of the theories used for metallic flanges. But the mechanical behavior of composite materials is different from metallic materials, because of their anisotropy and their inhomogeneity, so that the results obtained in using these design codes cannot explain the significant behavior of composite flanges.\n\nTo investigate the behavior of fiber reinforced plastic bolted flange joints, some research has already been done as shown in Sun's thesis (1995), which is focused on the behavior of FRP flanges by proposing an analytical and numerical study. But it turns out that the analytical results are not in good agreement with the results obtained from the numerical model because of some assumptions that make some errors in the analytical model. Blach et al. (1990) use the laminate theory to propose a method for a stress analysis of fiber reinforced plastic flanged connections with full face gaskets. They used a few assumptions to simplify their proposed method. Although they used rigorous mathematical analysis to describe all the complexity of the laminate materials, their method does not satisfy all the physical constraints associated with such composites. Kurz and Roos (2012), studied the mechanical behavior of floating type bolted flanged connections with glass reinforced plastic flanges, analytically and experimentally. In their study, they divided the flange into two small angular portions and considered as a beam clamped at one end subjected to bending. Thus, the design leads to virtual radial stress which only represents the usage level of the flange. The analytical model that Estrada and Parsons (1997) suggested in their study to describe the circumferential stresses and rotation shows good agreement with the results obtained from finite element simulation and experimentation. Campbell (1990) proposed a new technique to fabricate FRP flange that is the adoption of the one-piece integral flange. His design was based on the metal flange counterpart given by ASME B16.5. Black et al. (1995) suggested a simple design method for FRP flanges with full face gaskets but according to Bouzid (2011) bolts and gasket flexibility as well as the elastic interaction between them are neglected. It is worth noting that in designing\n\nFRP flanges, the impact of temperature on the stress redistribution is not explained like with metal flanges (Nechache and Bouzid 2007).\n\nAn overview of all researches done on FRP bolted flanged joints, shows that most of the proposed analytical models are based on metallic flange design. While, to have an accurate stress analysis in all part of FRP flange joints, it is necessary to choose a reliable method of design which describes the anisotropic behavior of FRP materials. Moreover, according to Czerwinski J (2012), very few papers deal with leak rate measurements in FRP bolted flange joints.\n\nThe elements that influence the behavior of flanges and especially composite flanges in the operating conditions are countless, so it becomes necessary to study comprehensively FRP bolted flange joints to address specific issues related to these elements. This work aims both to study the actual behavior of FRP bolted flange joints and also to evaluate their performance compared with metal flanges in order to provide the possibility of using composite flanges as an alternative to metallic bolted joints with the same geometry. In order to study of FRP bolted flange joints comprehensively, a combination of analytical, experimental and numerical investigation techniques is used.\n\nThe content of this thesis is organized into five chapters. All chapters have been written and presented in a constructive manner for ease of understanding of the reader. The first chapter is dedicated to the literature review and extensive and qualitative reviews of different types of bolted flange joints with particular focus on FRP bolted flange joints. This chapter also presents the properties and the anisotropic character of composite materials and exposes the peculiarity of the study of composite vessels in the domain of bolted flange joints.\n\nChapter 2 outlines the analytical approaches of FRP bolted flange joints. In this chapter, two analytical models were developed to treat FRP bolted joint structural integrity and leak tightness based on anisotropic behavior and taking into account the flexibility analysis of all joint elements including the gasket, bolts, and flanges. Since the analytical study is the essence\n\nof this research, a detailed explanation of the theories and equations for each part of the flange with the highest accuracy is vital. In the analytical models (one for the flange with the hub and one for the flange without the hub), the composite flanges are subdivided into three major categories, namely: ring flange, hub and shell, and the procedure for each part of the flange is described in detail.\n\nThe numerical study of FRP bolted flange joints is elaborated in the third chapter. The presented numerical models of FRP bolted flange joints in this chapter are an attempt to develop and validate the analytical model. The finite element analysis makes it possible to obtain an approximate solution of a physical problem by providing algebraic stiffness equations to solve the problem. This chapter describes the procedure of three different finite element models; a flange with the hub and without the hub and a multilayer shell model using ANSYS Composite PrepPost. Fiber reinforced plastic bolted flange joints of two sizes; NPS 3 class 150 and NPS 12 class 150 flanges are treated. To create and analyzed the finite element models, the program ANSYS® Mechanical 16.02 and the ANSYS Composite PrepPost (ACP) 16.2 were used. The geometry of flanges as well as laminate properties and the stacking sequence of the laminate used in the composite flange are presented in this chapter.\n\nIt was considered necessary to set up a test rig to investigate the real behavior of FRP bolted flange joints and use experimental results to verify and characterize the presented analytical and numerical models in the second and third chapter. Thus, the fourth chapter is dedicated to describe the operational mechanisms of the Hot Blow Out Test Bench (HOBT) and the experimental procedure involved in this characterization study. FRP flange and test rig in this study were developed for the purpose of measuring the parameters related to the analytical and numerical models of this research work.\n\nChapter five is devoted to present the results obtained from the analytical, numerical and experimental analysis of FRP bolted flange joints. In this chapter, discussion and comparison of the results shown in graphs and tables are performed.\n\nFinally, this thesis concludes with a broad conclusion highlighting the main results of the work conducted on FRP bolted flange joints. Furthermore, a few recommendations are suggested for the future works in this research area.\n\nCHAPTER 1\n\nLITERATURE REVIEW\n\n1.1 Introduction\n\nMost of the research conducted on composite bolted flanged joints, especially fiber reinforced plastic flanges, focuses on transferring the knowledge from metallic flange designs to composite flange designs. Since FRP flanges do not behave like isotropic materials (Estrada, 1997), (Hoa, 1991) designers have to rely on criteria based primarily on anisotropic designs and also other methods of analysis. In this chapter, some of the recent research work is reviewed which is one of the sources of instigation of this study objective. To present an extensive review of existing scientific articles and dissertations, this chapter is divided into four subsections:\n\n1- FRP flanges, standards and design codes,\n2- Analytical studies,\n3- Numerical (Finite Element) studies and,\n4- Experimental studies.\n\nThe next part presents a general introduction of FRP bolted flange joints as well as composite materials and the codes and standards of these materials. But before going deeper into these rules, especially those of ASME BPV Code Section X it is necessary to understand the different aspects of FRP bolted flange joints. Then, the existing analytical studies of FRP bolted flange joints are elaborated. The third part of this chapter presents the numerical finite element models used to simulate the behavior of FRP flanges. The fourth part discusses the experimental investigations and test procedures as well as the experimental results.\n\n1.2 Fiber reinforced plastic (FRP)\n\nFiber reinforced plastics are composites made by reinforcing a resin with fibers. Using the Fiber reinforced plastic composite in the pressure vessels need special attention to the\n\nfabrication techniques, design and testing of these structures. Pressure vessels which are made from metallic materials that are normally isotropic and ductile. These vessels are designed by using well-established allowable stresses based on measured tensile and ductility properties (ASME BPV Code Section X). In the form of composite like fiber reinforced plastic, a designer can take advantage of the propitious properties of these materials. In FRP, the strength and stiffness of the composite are provided by the fibers and the resin used as a binder to provide other favorable properties such as corrosion resistance, impact resistance and compressive strength. The anisotropic behavior of FRP material makes this composite separate from isotropic materials like metals. In an anisotropic material, the mechanical properties in each direction are different and it depends on the direction of the fibers. Higher-strength and stiffness to weight ratios is another advantage of FRP composites that make them dominant compared to other materials such as steel. (Blach et al. 1987).\n\nComposites have replaced many traditional materials and provided users with longer-lasting equipment. These products created a history of successful field experience of long-term use of composites under specific conditions. Fiber reinforced plastics laminates may have a modulus of elasticity as low as 6894.76 MPa (1.0 x $10^6$ psi), compared with that of ferrous materials which may be of the order of 20,6842.71 MPa (30 x $10^6$ psi) (ASME BPV Code Section X). This low modulus characteristic requires careful consideration of vessel profile in order to minimize bending and avoid buckling.\n\n### 1.2.1 Material Systems (fibers and resins)\n\nThermoplastic resins are capable of being repeatedly softened and hardened by an increase and decrease of temperature. This change upon heating is mainly a physical rather than a chemical feature (Gendre, L. 2011).\n\nBecause of the lower creep resistance and thermal stability, thermoplastic resins are not used as composite flanges. In general, thermoplastic polymers have higher strains to failure than\n\nthermoset polymers, which may provide better resistance to matrix micro-cracking in a composite laminate. Popular types of thermoplastic resins include:\n\n- Polyvinyl chloride (PVC);\n- Chlorinated polyvinyl chloride (CPVC);\n- Polybutylene (PB);\n- Polyethylene (PE);\n- Polyvinylidene chloride (PVDC);\n- Polyvinylidene fluoride (PVDF);\n\nThermoset plastics, do not flow under the application of heat and pressure. However, when exposed to heat or chemical environments, change into practically infusible and insoluble materials. Thermoset resins are more commonly used with FRP products and exhibit less creep and stress relaxation than thermoplastic polymers. They show superior thermal stability. In the ASME BPV Code, Section X, thermoset resins include:\n\n- Polyesters;\n- Epoxies;\n- Vinyl esters;\n- Phenolics;\n- Furan;\n\nIn the (ASME BPV Code, Section X), reinforcements embedded in a resin matrix are a combination of fibers such as:\n\n- Glass (Type A, E, S, C);\n- Carbon;\n- Graphite;\n- Aramid;\n\nGlass fibers are used in most composite materials as reinforcement in many fields such as constructions, transport, optics, and sports. The reasons for these diverse applications are the\n\nexcellent properties they offer such as tensile strength that is twice as strong as steel, thermal insulation, dimensional stability, and low moisture absorption. Polyester and vinyl ester are corrosion resistance resins that are used in a wide range of pressure vessels such as tanks, pipes, ducting, chemical plant equipment because of these properties. In addition, a relatively low cost of glass fibers, making it competitive with other fibers.\n\n1.2.2 General Fabrication Techniques\n\nThere are several methods or manufacturing process for FRP flange production such as contact molding or hand lay-up, injection molding, filament winding, compression molding, resin transfer molding and centrifugal casting (Rosato et al. 1964). The following methods are mostly used in FRP flange production:\n\nFigure 1-1 Contact molding process (Black et al. 1995)\n\n1- **Contact Molding:**\n\nIn this method, cylindrical sections, heads, and attachments are fabricated by applying reinforcement fibers and resin to a mandrel or mold. System cure is either at room temperature or elevated temperature using a catalyst-promoter system. The contact molding process is depicted in figure 1.1. As shown in the figure each ply is applied one by one, paying attention to ensuring that the recommended orientation is respected and that no air bubbles seep into the resin. The resin is applied with a brush or a gun between each ply.\n\n\n\n1- **Filament Winding**\n\nIn this process, continuous filaments of fiber wetted with the specified resin are wound in a systematic manner under controlled tension and cured on a mandrel or other supporting structure. The filament winding process is shown in figure 1.2. Heads and fittings fabricated by contact-molding methods may be attached with suitable adhesive resins and secondary reinforcement with the cutting of filaments as required. Heads are\n\nintegrally wound and the only openings allowed are those centered on the axis of rotation and are wound into the vessel during fabrication.\n\n1.3 Bolted Flanged Joints\n\nIn order to connect piping systems and pressure vessels containing fluids or gas under pressure, the most reliable way is to use bolted flanged joints. Flanges are used as an alternative to welding or threading different pipelines components and pressure vessels. In addition, bolted flange joints that are the alternative to welding because they can be easily assembled, disassembled, then reassembled when needed for shipping, inspection, maintenance, and replacement (Derenne et al. 2000).\n\nFigure 1-3 FRP Flanged Joints (Estrada 1997)\n\nDue to the leakage in the large-bore threaded pipe and also threading pipe is not reliable and economical, flanged connections are favored over threaded connections. For these reasons, flanges are important components of any piping system. There are two types of the metallic bolted flanged joint shown in Figure. 1.3; integral flange and loose flange.\n\nFigure. 1.4 depicts two varieties of the integral flange geometry. As shown in this figure, raised face flanges are used for the applications at high pressure while flat face flanges are used for low pressures applications. Flat-faced flanges are typically used with full face gaskets and ring gaskets for the flanges with and without the hub respectively.\n\nFigure 1-4 Conventional Metallic Flanged Joints (Estrada 1997)\n\nDue to the greater contact area in the flanges with full face gaskets, they need greater load applied by the bolts to make them sealed. Therefore, to maintain the flanges sealed the gasket should deform plastically to close all the porosities on the flange face. The flange contact occurs inside the bolt circle of the raised face flanges and flat face flanges with ring gaskets. As a result, relatively higher flange rotation occurs when the joint is bolted leading to high bending stresses at the hub-to-cylinder junction.\n\n1.3.1 Fiber reinforced plastic bolted flange joints\n\nThere are commonly two types of flange known as FRP bolted joints:\n\n1- Stub flanges;\n2- Flat face flanges with full face gaskets;\n\nThere are two general fabrication procedures used in the production of contact molded fiber reinforced plastic flanges; the first method is two-piece construction that the flange is laid-up directly onto a piece of pipe or a cylindrical pressure vessel shell. The second one is one-piece construction that the continuous axial glass fibers wetted with resin, made a continuous form of the shell and hub into layers of the flange. It is necessary to mention that the one-piece integral flange eliminates all the problems associated with the bond of the two-piece construction and this method has been used successfully in industry application for almost two decades [Sun et al. 1995].\n\nFRP bolted joints present more difficulties in design and operation than their metallic counterparts. This is because their material properties are more complex and the bolting requirements are different. Although the bolt holes in metallic flanges make a slight material discontinuity problem, drilling the bolt holes in FRP composite flanges can be significant, particularly in filament wound joints. In the composite flanges that are made with the hand lay-up manufacturing technique, this problem is solved by incorporating the holes in the flange during the manufacturing process. The field of application of these vessels varies since they are used in most industrial domains, in particular in the\n\npetrochemical and nuclear industries. It is worth noting that because of their anisotropic behavior, the study of composite flanges is much more complex than for metal flanges.\n\n1.3.2 Design codes and standards for FRP bolted flange joints\n\nThere are two standards for fiber reinforced plastic flange joints:\n\n22.214.171.124 PS 15-69\n\nThe first FRP flange standard from the national bureau of standards voluntary product standard, PS 15-69, appeared in 1969. This standard presents the minimum values of the flange thickness as well as the specifications for bolting system of FRP flanges including all metal washers, nut and bolt heads. In general, PS 15-69 covers some type of FRP flanges such as contact molded flanges and gives guidelines to keep their use in the safe zone with the butt-strap joint recommended as the standard pressure vessel connections. In addition to this standard, ASTM added the specifications for the fabrication techniques (Filament winding and contact molding) of FRP flanges. However, this standard doesn’t cover flange design and only covers the specifications that are based on FRP flange performance. Technically, this standard becomes an updated version of the PS 15-69 standard. But there is a difference between these two standards in being proof tested and is listed in table 1.1. The performance requires to the leakage test for sealing of FRP flange with the 1.5 times higher pressure of the design pressure and test with four times higher pressure of the design pressure period of the one-minute period for rupture strength. On the other hand, the composite material of contact molded flange should be able to resist about two times of recommended bolt torque by the manufacturer, and other flange construction should be able to resist 1.5 times bolt torque without visible signs of damage.\n\nThis standard gives no specification for the gasket and bolting system, instead, it suggests to follow the manufacturer's recommendation. It also mentions that flanges fabricated with different techniques and different manufacturers with identical classification can not be interchangeable because the pressure vessels and piping systems need to get standardized.\n\nTable 1-1 FRP joint standard, PS 15-69\n\n| Nominal Pipe Size (I.D.) | Wall Thickness | Flange Diameter (O.D.) | Flange Thickness | Bolt Circle Diameter | Bolt Hole Diameter | Number of Bolts |\n|--------------------------|---------------|------------------------|------------------|----------------------|--------------------|----------------|\n| 2 | 1/8 | 63/8 | 1/4 | 5 | 7/16 | 4 |\n| 3 | 1/8 | 73/8 | 1/4 | 6 | 7/16 | 4 |\n| 4 | 1/8 | 83/8 | 1/4 | 7 | 7/16 | 4 |\n| 6 | 1/8 | 103/8 | 1/4 | 9 | 7/16 | 8 |\n| 8 | 1/8 | 123/8 | 1/4 | 11 | 7/16 | 8 |\n| 10 | 1/8 | 143/8 | 3/8 | 13 | 7/16 | 12 |\n| 11 | 1/8 | 153/8 | 3/8 | 15 | 7/16 | |\n| 12 | 1/8 | 163/8 | 3/8 | 15 | 7/16 | 12 |\n| 14 | 1/8 | 183/8 | 3/8 | 17 | 7/16 | 12 |\n| 16 | 1/8 | 203/8 | 1/2 | 19 | 7/16 | 16 |\n| 18 | 1/8 | 223/8 | 1/2 | 21 | 7/16 | 16 |\n| 20 | 1/8 | 243/8 | 1/2 | 23 | 7/16 | 20 |\n| 24 | 3/16 | 283/8 | 1/2 | 27 | 7/16 | 20 |\n| 30 | 3/16 | 343/8 | 1/2 | 33 | 7/16 | 28 |\n| 36 | 3/16 | 403/8 | 1/2 | 39 | 7/16 | 32 |\n| 42 | 1/4 | 463/8 | 5/8 | 45 | 7/16 | 36 |\n| 48 | 1/4 | 543/8 | 5/8 | 52 | 9/16 | 44 |\n| 54 | 1/4 | 603/8 | 5/8 | 58 | 9/16 | 44 |\n| 60 | 1/4 | 663/8 | 5/8 | 64 | 9/16 | 52 |\n\n### 126.96.36.199 ASME Boiler and Pressure Vessel Code Section X\n\nASME code section X covers the design rules for FRP pressure vessels and piping systems. In this standard, the pressure vessels are qualified by two class designs:\n\n1. **Class I design** – this method qualifies the design through the destructive test of a prototype.\n\n2. **Class II design** – this method qualifies the design through acceptance testing by non-destructive methods and mandatory design rules.\n\nClass II flange design rules are based on the same mandatory rules as their metallic counterparts. These rules are standard rated flanges and flange design calculations. Standard rated flange design is based on ANSI flanges as the PS 15-69 standard. Not only, the ASME Section X code design calculation of FRP flanges is similar to that of metallic flanges known as Taylor Forge method but it assumes FRP materials to be isotropic as in steel. The only\n\ndifference in design is the allowable stresses which incorporate a higher safety factor. According to the code, the flange design stresses vary depending on the type of stress. Therefore, designing the flange based on hoop strength against internal pressure, the range of design stress may vary from 11.03 MPa (1,600 psi) to 21.37 MPa (3,100 psi). In addition, the design stress for inter-plies shear strength may be as low as 0.69 MPa and also the intermittent loads’ design stress may reach as high as 24.13 MPa (100 psi). Nevertheless, flange design stresses over 24.13 MPa (3,500 psi) are rare. In order to design FRP flanges using these methods, an additional stress check namely the radial stress at the bolt circle is used. Class II design recommended that the maximum pressure for vessels are limited to 0.52 MPa (75 psi) and the maximum inside diameter is limited to 243.84 cm (96 inches).\n\nThe relevant ASME BPV code section X comprises the design rules for fiber reinforced bolted flange joints. The flange and nozzle dimensions in ASME BPV code section X are listed in table 1.2. According to this standard, there are several modulus values in the mechanical properties of FRP material such as hoop tensile modulus, axial tensile modulus, and an axial compressive modulus. It is exceedingly important that the flange designer while designing the flanges in particular FRP flanges takes this into account the anisotropic properties of composite material. Hence, understand the anisotropic behavior of FRP materials would be a proper assumption for a designer. No additional calculations are required when a flange is selected from this standard.\n\nIn some applications of FRP vessels where special joints can be utilized such as downhole tubing, high pressures about hundreds of MPa can be attained. Design pressure is the permissible pressure in the vessel which is the maximum applicable pressure at the laminate of the vessel. In piping systems and pressure vessels of FRP materials, the temperature range is much smaller compared to metallic vessels and piping such as carbon and stainless steels and copper-nickel. Also, the design temperature is less than the interior laminate wall temperature expected under operating conditions for the part considered and is less than $10^\\circ$C, or $1.667^\\circ$C below the glass transition temperature of the resin, whichever is lower.\n\n| | | | | | | | | | | | | | | | | | | | |\n|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|\n| 14 | 21 | 18½ | 1¼ | 2¼ | 1 | 12 | 6 | 3½ | 1½ | 1½ | ¾ | 1½ | ¾ | (1) | (1) | 19½ |\n| 16 | 23½ | 21½ | 1¼ | 2¼ | 1 | 16 | 1 | 3½ | 1¼ | 1½ | ¾ | 1½ | ¾ | (1) | (1) | 19½ |\n| 18 | 25 | 22½ | 1¼ | 2¼ | 1¼ | 16 | 1 | 3½ | 1¼ | 1½ | ¾ | 1½ | ¾ | (1) | (1) | 19½ |\n| 20 | 27½ | 25 | 1¼ | 2¼ | 1¼ | 20 | 1½ | 3½ | 1½ | 1½ | ¾ | 1½ | ¾ | (1) | (1) | 19½ |\n| 24 | 32 | 29½ | 1¼ | 3 | 1¼ | 20 | 1¼ | 3½ | 1½ | 1½ | ¾ | 1½ | ¾ | (1) | (1) | 19½ |\n| 30 | 38½ | 36 | 1¼ | 3 | 1¼ | 28 | 1½ | 3½ | 2½ | 2½ | ¾ | 2½ | ¾ | (1) | (1) | 19½ |\n| 36 | 46 | 42½ | 1¼ | 3½ | 1¼ | 32 | 2 | 3½ | 2½ | 2½ | ¾ | 2½ | ¾ | (1) | (1) | 19½ |\n| 42 | 53 | 49½ | 1¼ | 3½ | 1¼ | 36 | 2½ | 3½ | 2½ | 2½ | ¾ | (1) | (1) | (1) | 19½ |\n| 48 | 59½ | 56 | 1¼ | 3½ | 1¼ | 44 | 2½ | 3½ | 3½ | ¾ | (1) | (1) | (1) | (1) | 19½ |\n\n1.4 Analytical studies\n\nThe analysis of FRP flanges is very complicated and the general solution always goes through a cumbersome computer program. Because of the anisotropic behavior of composite bolted flanges, there is a general use of simplifying assumptions that can sometimes affect the accuracy of the results obtained from the developed model.\n\nEstrada (1997) proposed a model that includes four distinct axisymmetric structural components that are analyzed separately. The exact model and flange geometry and loading is depicted in figure 1.5. He modifies the model for the composite component to account for orthotropic material properties using classical lamination theory. Figure 1.6 illustrates the body diagram of the model, flange geometry and loading. This is the simplest way to analyze this structure because of the complication of the boundary conditions. He performed the analyses on a modified stub flanged joint which is shown in figure 1.7.\n\nThis GFRP (Glass Fiber Reinforced Plastic) joint is a modified version of a typical GFRP joint, the stub flanged joint developed by Estrada et al (1997) to address some problems particular to GFRP joint geometries currently in use. The pipe and the hub are filament wound and form an integral unit. The backing ring is metallic and is used to connect the joint to other members. He analyzed the flange in two parts: the stub and the pipe-hub. He modeled the stub as an isotropic annular plate with an inner ring stiffener and the pipe-hub as two separate orthotropic axisymmetric shells.\n\n**Stub:**\n\nThe stub is analyzed as two distinct linear elastic isotropic components: a ring stiffener and an annular plate. The ring is modeled as a reinforcing ring subjected to an axial moment. In order to reduce the number of unknown parameters, they used the assumption that the ring stiffener thickness is half of the annular plate thickness.\n\nFigure 1-5 Exact model and flange geometry and loading (Estrada, 1997)\n\n**Pipe-hub:**\n\nThe pipe-hub is modeled analytically by dividing into two structural sections which were analyzed separately. These two sections are analyzed using shell theory and the shell with variable thickness theory. The solutions for the two sections were obtained from classical laminated shell theory in terms of parameters that depend on the end conditions for each section. They modeled the cylindrical shell as an axisymmetric laminated shell and the tapered hub as an axisymmetric laminated cylindrical shell of variable thickness. Also, they reduced the strain-displacement relations, kinematic assumptions, equilibrium equations and constitutive law to a single equation.\n\n1.4.1 Classical lamination theory\n\nThe theory of mechanics of composite materials is based on the lamination theory which is the main theory used for the composite materials. In the microscopic scale, a composite is defined as a complex system consisting of matrix and fibers combined to make a monolithic compound. But the definition of composite material in this theory is a material system with enhanced material properties that is made from a combination of chemically distinct materials on the macro-scale bonded together by a distinct interface. This theory mainly used to analyze the composite system which is made in layers and each layer consisting of parallel fibers embedded in a matrix. In order to fabricate a laminate, laminae are stacked in a specified sequence of orientation and this sequence of orientation can allow the designer to meet the demanding mechanical properties of the composite. Lamination theory can be summarized as the development of equations that relate generalized strains to generalized forces through the constitutive law. According to ASTM Standard Specification D5421, the material properties in composites are simplified by the assumption that the properties of fiber and matrix can be combined into an effective transversely isotropic material layer.\n\nSome of the assumptions to simplify the calculations that are stated in this theory:\n\n1. The laminas in a laminate are perfectly bonded together.\n\n2. Each layer is of linear varying thickness. Each lamina has an equal thickness at the large end ($g_1 = n t_1$) and at the small end ($g_0 = n t_0$) and varies linearly along the axial direction.\n\n3. Each lamina acts as a homogeneous transversely isotropic linear elastic system.\n\nKurz and Roos (2012), conducted an analytical and experimental evaluation of the mechanical behavior of floating type bolted flanged connections with glass reinforced plastic flanges that are depicted in figure 1.8. They modeled the bolted flange connection according to AD-Merkblatt N1, shown in figure 1.9. The design is based on bending of a beam clamped at one end. Thus, the design leads to virtual radial stress which only represents the usage level of the flange. Their model describes analytically the circumferential stresses and the rotation and shows a good agreement with the results of the FE simulation and the experimental investigations.\n\nBlach and Hoa (1987), conducted a study on full-face FRP flanged joints. They proposed two design methods which can be used safely for these flanges. The first one is based on the Taylor Forge method (Anonymous, 1979). and the second one is based on the method of composite materials. They conducted a 3D finite element analysis on FRP flanges with full-faced gasket and tried to correlate data obtained from experimental tests. The results obtained from the metallic design methods and the FE modeling of FRP flanges seem to have a good agreement with the experimental results. In their study, some problems of FRP bolted flange joints are discussed, such as a certain amount of convex distortion (pullback) that can be caused in hand lay-up flanges due to uneven curing of the resin. If the distortion is straightened by bolt load alone, there would be excessive stress at the junction of the flange and cylinder.\n\nBlach and Sun (1990), proposed a method for analyzing the stresses of fiber reinforced plastic flanged connections with full face gaskets based on classical laminates theory, shear deformation laminate theory and shell theory for the different components of the flange. This method is simplified by using a few assumptions and is based on rigorous mathematical analysis. Also, this method could not satisfy all of the physical constraints due to the complexity of the laminate problem. They claim that the analytical developed method is much more accurate than that obtained by using any of the greatly simplified customary design method based on metallic flanges. Unfortunately, the proposed method is not suitable for flange designers because the solution requires the use of infinite series expansion.\n\nSun, L. (1995) proposed two methods of stress analysis based on shear deformation laminated theory and classical lamination theory for the full-faced FRP bolted flange joints. In the first method which is based on the classical lamination theory, the transverse shear deformation is neglected. In the second method, the classical lamination theory is applied to the shell but the ring is modeled by using a formulation that accounts for transverse shear deformation. The method appears to represent an improvement over the approach that Waters et al. (1937) used in the derivation of the Taylor forge method, accounting for FRP material properties. As shown in figure 1. 10, in his analytical model, the flange is separated into two parts. The final solution is obtained by applying the boundary conditions and continuity conditions. Due to the poor\n\nmesh elements used in the numerical finite element model, the results obtained from the finite element model and analytical model are not in good agreement.\n\nFigure 1-10 Pipe and ring used in analytical model (Sun, L. 1995)\n\n1.5 Numerical Finite Element studies\n\nEstrada et al. (1997) used a finite element method to validate analytical developed models. Also, it is used to study the leakage behavior and to validate the ASME code formulation for other gasket materials and joint configurations. The analysis was carried out using two and three-dimension axisymmetric finite elements with an orthotropic material model. To perform the analysis, they used a commercial finite element package (ABAQUS). In their analyses, they showed that axisymmetric modeling can be used to analyze critical designs however the analysis did not capture the stress concentration. Figures 1.10 and 1.11 show the three-dimensional and axisymmetric finite element models that were developed in this study.\n\nBecause of using the option that allowed pressure to penetrate the space where contact was lost, it was possible to measure more accurately the leakage in the axisymmetric case than in the three-dimensional case. Finally, they claimed that the results from finite element analysis were in an excellent agreement with the analytical results as shown in figure 1.13 and 1.14.\n\nFigure 1-13 Distribution of radial displacement (Estrada 1997)\n\nFigure 1-14 Distribution of axial moments (Estrada 1997)\n\nKurz and Roos (2012) conducted a simulation using the finite element method to investigate the stresses and strains of an FRP flange. They developed a linear-elastic finite element model for FRP bolted flange joints. In this study, the material behavior was assumed to be linear elastic with an isotropic Young’s modulus of 11 GPa. According to this numerical study, the elastic equivalent stresses were shown for the initial tightening in a segment of the loose flange and the collar (figure 1.14). Under the washer, the material was compressed, resulting in a complex, multi-axial stress state. The FE model of a bolted flange connection with loose flanges and collars are depicted in figure 1.15.\n\nFigure 1-15 Results of the FE simulation (elastic equivalent stress) with highly loaded areas (dark) in the loose flange (left) and collar (right) (Kurz and Roos 2012)\n\nFigure 1-16 FE model of a bolted flange connection with loose flanges and collars (Kurz and Roos 2012)\n\nBlach and Sun (1995) compared the analytical results, with the finite element results of an FRP flanged connection, using 3-D anisotropic layered solid elements. Figure 1.17 depicts 15-degree section of the flange in the FE model. With the ANSYS software, they modeled the composite flange as layered elements. In the FE model, axial symmetry is used to model a 15-degree section of the flange (Figure 1.16). They observed that the results from the finite element method are very close to those of an analytical method. However, issues were reused with many assumptions made in each calculation. They concluded that the two proposed methods are not reliable due to the lack of sufficient experimental verification.\n\n\n\n\n\n1.6 Experimental studies\n\nKurz and Roos (2012) conducted an analytical and experimental evaluation of the mechanical behavior of floating type bolted flanged connections with glass reinforced plastic flanges. In order to analyze the deformation behavior due to creep-relaxation, they developed an instrumented test rig (Figure 1.19) which enabled the reproducing of the real behavior of an FRP bolted flanged joints. During the experimental investigation, the bolt force, the flange rotation, the strains at selected locations of the flange surface, the internal pressure and the temperature were monitored continuously. The test rig was completely vacuum-sealed to measure the leakage tightness of the bolted flange connection using helium mass spectrometry.\n\nThey also tested various gaskets made of rubber (EPDM) and PTFE of the bolted flange connection that was made of glass-fiber reinforced plastic flanges in compliance with DIN EN 13555. The results of an analytical design concept showed good agreement with the experiment results and the finite element simulation.\n\nFigure 1-20 Test rig for experimental investigations on bolted flange connections DN50 (without displacement transducers) (Kurz and Roos 2012)\n\nFollowing the design concept, the material reduction factors that lead to higher allowable bolt forces, can be neglected and therefore that accompanied by increased tightness and operational reliability of the plants.\n\nFinally, they compared the displacements due to the rotation of the loose flange as illustrated in figure 1.20 and showed an excellent agreement between all methods\n\nFigure 1-21 The displacements due to rotation of the loose flange (Kurz and Roos 2012)\n\nSun and Blach (1995) conducted an experimental investigation on FRP bolted flange joints with full-faced gasket. They attempted to demonstrate the effect of flange thickness on the mechanical properties of FRP flanges. Having different thicknesses at its ends, FRP flange was made of glass material and woven roving and was impregnated with the same resin. The polymer matrix is a vinyl ester. The vessel had a veil liner as a corrosive barrier. They used two kinds of 3 mm thick full-faced gasket. One was made of compressed asbestos and the other was made of synthetic rubber. The test parameters were:\n\n- Pressure (kPa) = 0, 138, 276, 414;\n- Bolt load (MPa) = 50, 100, 150;\n- Temperature = Room temperature.\n\nThey conducted several tests at both the bolt-up and operating conditions on a FRP flange joint.\n\nIn order to obtain a smaller flange width, they machined the flange after each test to reduce its outside diameter. They also discussed two analytical models for FRP flange based on Taylor Forge method but no quantitative comparisons were made. In addition, the authors proposed the use of finite element analysis for FRP flanges.\n\n1.7 Conclusion\n\nOver the last decades, a substantial research effort has been dedicated to the study of FRP bolted flange joints and characterization of composite flange behavior in different conditions. In general, a bolted flange joint is designed to connect pressure vessels and equipment without leakage (Nechache and Bouzid 2007). Sealing problems are encountered during operation of process equipment containing fluids when flanges are the convenient method of connection for reasons of fabrication, transportation, assembly, inspection, production and so on. In general, acceptable FRP bolted flange joint design must ensure that:\n\n1. The stress levels in the flange joint are below the strength of the composite material.\n2. The residual gasket load is sufficient to maintain the joint leak-tight.\n\nThe goals in bolted flanged joints are to keep a certain level of tightness and maintain reliability over a long period of time, especially at severe operating conditions such as elevated temperature and fluctuating pressure or when containing corrosive fluids.\n\nFRP materials are increasingly used by the industry because they provide strong resistance to chemical attack and have interesting mechanical properties. They have relatively long-life expectancy; cause less environmental concerns and offer low installation and maintenance costs. These qualities make FRP an attractive material for pressure vessels and piping components. The proper flange geometry should be designed to safely transfer the bolt loads to the gasket without overstressing the flange material. This problem should adequately be addressed to composite joints because of anisotropy behavior of composite materials which is depending on the materials from which FRP bolted flange joint is fabricated.\n\nAlthough the analysis of metal flanges has made enormous progress, the analysis of composite bolted flange joints remains uncomplete and its progress has been slow especially in the analytical domain. It is intuitively recognized that there is a problem of standardization in the manufacturing progress of FRP flanges so that an analytical tool can help improve structural integrity and pressure rating. In addition, the complex behavior of composites requires more efforts made by the authors on the analysis of composite flanges.\n\nAlthough a lot of emphases is put towards studying the material parameters and geometric involved, a complete comprehensive model is not in sight. For example, Sun's thesis (1995), which is focused on the behavior of FRP flanges by proposing an analytical and numerical study, but the results of the analytical part are not reliable due to some errors in his analytical model. In addition, the numerical part can be much better developed and accurate, since the available software allows handling of the problem better than two decades ago. According to the presented literature on FRP bolted flanged joints, it appears that most of the proposed analytical models are based on the metallic design. Any reliable flange design should encompass the anisotropic behavior of FRP materials to determine the load distribution in any part of the flange accurately.\n\n1.8 Research project objectives\n\nThe state of the art presented shows that the amount of research and articles on FRP bolted flange joints based on the anisotropic behavior of the composite flange is rare. Particularly, the number of studies FRP bolted flange joint analytically, numerically and experimentally is very limited. Moreover, the design calculations of composite bolted flanged joints are not adequately covered in the literature. As mentioned earlier, the material properties used in the FRP flange design calculations in ASME BPV Code Section X are those used for steel and the calculations are totally based on those for metallic joints (Taylor Forge method). In their current form, the design calculation procedures based on metallic methodology are not adequate. Some adjustments are required to account for anisotropy, flexibility, rotational limits, bearing stresses of FRP flanges and etc. This study aims to investigate these issues and propose an integrated methodology to analyze theoretically, numerically and experimentally the stresses of FRP bolted flange joints subjected to the real operating condition of initial tightening and pressurization. Therefore, the main objective of this research work is:\n\n- To develop an analytical solution to evaluate stresses and strains in FRP bolted flanged joints considering anisotropic material behavior for FRP flange without the hub.\n - Incorporate the hub in a new proposed analytical model to evaluate stresses and strains of FRP hubbed flanges.\n\nImplement a flexibility analysis in the model to account for the elastic interaction between the different bolted joint components. The current design method considers the flange to be rigid and therefore the force in the bolt do not change with the application of pressure.\n\nDevelop different finite element models using the program ANSYS® Mechanical and ANSYS Composite PrepPost (ACP), for comparison with the analytical results and conduct validation of separate components (flange ring, hub, shell).\n\nConduct experimental testing to validate the analytical and numerical models and compare the parameters such as bolt load, flange rotation, stresses and strains at different locations.\n\nCHAPTER 2\n\nANALYTICAL MODELING OF FRP BOLTED FLANGE JOINT\n\n2.1 Introduction\n\nIn spite of the increased use of FRP composites in bolted flange joints and the good knowledge of these structures and their material behavior, the procedure used for their design is based on that of metallic flanges without any consideration of anisotropy. There is a major concern to appropriately address the anisotropic behavior of composite materials in a flange design. As indicated previously, it is necessary to make a precise evaluation of the load redistribution in order to be able to predict the structural integrity and leak tightness of FRP bolted flange joints.\n\nThis chapter concentrates mainly on the development of an analytical model for the fiber reinforced plastic bolted flanged joints derived from lamination theory for composite materials, taking into account the anisotropic behavior of FRP bolted flanged joints. In order to use the lamination theory in the analysis of FRP flanges especially flanges with the hub, it is necessary to derive some equations from the basic principles.\n\nIn general, composite flanges are subdivided into three major categories, namely: ring flange, hub, and cylinder. This chapter presents an analytical model to treat FRP bolted joints integrity and tightness based on anisotropy and flexibility analysis of all joint elements including the gasket, bolts and flanges and we describe the procedure for each part of the flange in detail.\n\nThe objective of this analytical study is to obtain the equations of the radial displacements and the rotations of the flange as well as the equations giving the radial, longitudinal and hoop stresses at the inside and outside surface of the flange.\n\n2.2 Analytical model\n\nFRP full-faced flanges with gasket having a prolonged surface from the inner edge up to the outer side of the flange, are usually characterized by rigid behavior. The wide surface of the joint requires high stress on the bolts so that this type of flange is mostly used in low pressure applications. In addition, in the full-faced flange joints soft gaskets which do not require a large clamping pressure to ensure tightness are used.\n\nIn developing the analytical model of FRP bolted flange joints, one of the objectives was that the model follows the ASME code design philosophy, bearing always in mind two important factors that are leakage tightness and structural integrity.\n\nThis part presents a theoretical approach based on a model that takes into account the flexibility of the gasket, bolts, and flanges as well as the elastic interaction between the different components of the assembly.\n\nThe analytical model of the bolted joint consists of two phases related to the operating conditions:\n\n- Initial phase or phase i: in this first stage, the bolt-up of the flange is conducted resulting in the initial tightening of the flange. The tightening force compresses the two parts of the flange as well as the gasket and is characterized by a presumably uniform distribution of the contact pressure. Figure 2.1 (a) shows the flange in the initial phase.\n\n- Final phase or phase f: As illustrated in figure 2.1 (b), a pressure is applied on the inside of the vessel or pipe and consequently the flange; The inside pressure also creates a hydrostatic end effect which is represented by an axial stress acting on the flat surfaces at the end of the cylindrical shell.\n\nTo simplify the analytical model of FRP bolted flange joint the following assumptions are made:\n\n• The tightening torque during phase i is applied to the N bolts of the flange equally and simultaneously.\n\n• The tightening force resulting from the force on the N bolts is considered to act on a circle of constant radius of the flange known as the bolt circle radius. This assumption makes it possible to consider the flange as an axisymmetric case that simplifies the analysis.\n\n• A plane of symmetry is considered at the median plane of the joint as shown in figure 2.1 this simplifies the model to study one flange rather than the pair of flanges.\n\nFigure 2-1 Cross-section of FRP flange in (a) initial tightening phase, (b) pressurization phase\n\n2.3 Theoretical analysis for FRP bolted flange joints without the hub\n\nIn order to study FRP bolted flange joints analytically, first, we started to model FRP flange without the hub. FRP bolted flange joint is provided with a gasket that spreads on all its entire flat faces. For this type of flange with a full-face gasket, the centroid of a circular sector of unit width is considered to be the equilibrium pivot of the bolted joint. The model is thus considered symmetrical. The applied loads on each flange depend on the initial load on the bolts, the internal pressure and the reaction of the gasket.\n\nDue to the pre-tightening of the bolts, the gasket is considered to be compressed uniformly in the circumferential direction and the flanges rotate slightly around the gasket reaction diameter. When applying pressure from inside, the two flanges tend to separate from each other and results in the unloading of the gasket as well as an additional increase in the rotation of the flanges. However, in reality, the rotation may appear in both radial and tangential directions depending on the bolt spacing and the applied pressure. It is worth noting that the behavior of such assembly under the operating conditions, depends on many parameters (Bouzid 1994).\n\nThis model consists of three essential mechanical elements, flange, bolts, and gasket. Each element is represented by simple elastic spring of linear stiffness $k_g$, linear stiffness $k_b$, and rotational stiffness $k_f$ for the gasket, bolts, and flange respectively. The solution of the flange is obtained from classical lamination theory. Basic knowledge of lamination theory for composite materials can be found in Ashton (1969) and R.M. Jones (1980).\n\nIn order to study FRP bolted flange joint analytically, a flange without the hub is divided into two distinct parts which are linked together through the edge loads to satisfy equilibrium. Figure 2.2 (a) shows the flange in phase i or bolt-up and figure 2.2 (b) shows the flange in phase f or pressurization. Point 1 in the figure is considered as the junction point between the ring and shell.\n\n2.3.1 Analytical model of the shell (Cylinder theory)\n\nThe cylinder part of the FRP flange is modeled as an axisymmetric laminated shell which is subjected to internal pressure $p_0$ and edge loads $p_w$. The shell is considered as a long cylinder of semi-infinite length i.e. the length is greater than $\\pi/b$. The thin shell theory will apply for cases with a thickness-to-radius ratio less than or equal to 0.1. At the finite end, the shell is...\n\nsubjected to the discontinuity shear force $Q$ and edge moment $M$. The long thin cylinder equations for the displacements, rotation, bending moments, and shearing forces in terms of conditions at any locations $x$ are given by the theory of beams on elastic foundation. The analytical models of the shell in two phases of bolt-up and pressurization are shown in figure 2.3.\n\nAs illustrated in figure 2.3:\n\n$Q_1^i$ and $Q_1^f$ are the shear forces at the junction of the ring and the shell;\n\n$M_1^i$ and $M_1^f$ are the bending moment at the junction of the ring and the shell;\n\n$p_o$ is a pressure on the inside surface of the shell;\n\n$p_w$ is the effect of hydrostatic end pressure on the top surface of the shell;\n\n$N_x$ is the hydrostatic end force;\n\nDue to the axial symmetry that applies to the shell and its loading forces, none of the variables depends on the angle $\\theta$. Consequently, all the partial derivatives with respect to $\\theta$ in the equilibrium equations are equal to zero.\n\nAs shown in figure 2.4 the equilibrium equations for the shell in $x\\theta$ coordinate system can be derived as:\n\n$$N_x = cste \\quad (2.1)$$\n\n$$\\frac{dN_{x\\theta}}{dx} + \\frac{1}{r} \\frac{dM_{x\\theta}}{dx} = 0 \\quad (2.2)$$\n\n$$\\frac{d^2M_S}{dx^2} - \\frac{N_\\theta}{r} = -p_o \\quad (2.3)$$\n\nFigure 2-4 Shell element model\n\nThe relation between the forces and moments resultant and the strains in a thin laminate in \\(xy\\) coordinate system is:\n\n\\[\n\\begin{bmatrix}\nN_x \\\\\nN_y \\\\\nN_{xy} \\\\\nM_x \\\\\nM_y \\\\\nM_{xy}\n\\end{bmatrix} = \n\\begin{bmatrix}\nA_{s,11} & A_{s,12} & A_{s,16} & B_{s,11} & B_{s,12} & B_{s,16} \\\\\nA_{s,12} & A_{s,22} & A_{s,26} & B_{s,12} & B_{s,22} & B_{s,26} \\\\\nA_{s,16} & A_{s,26} & A_{s,66} & B_{s,16} & B_{s,26} & B_{s,66} \\\\\nB_{s,11} & B_{s,12} & B_{s,16} & D_{s,11} & D_{s,12} & D_{s,16} \\\\\nB_{s,12} & B_{s,22} & B_{s,26} & D_{s,12} & D_{s,22} & D_{s,26} \\\\\nB_{s,16} & B_{s,26} & B_{s,66} & D_{s,16} & D_{s,26} & D_{s,66}\n\\end{bmatrix}\n\\begin{bmatrix}\n\\varepsilon^0_x \\\\\n\\varepsilon^0_y \\\\\n\\gamma^0_{xy} \\\\\n\\kappa_x \\\\\n\\kappa_y \\\\\n\\kappa_{xy}\n\\end{bmatrix}\n\\] \n\n(2.4)\n\nwhere: \\(A_{ij}, B_i\\) and \\(D_{ij}\\) are the stiffness coefficients and can be defined as follows:\n\n\\[\nA_{s,ij} = \\sum_{k=1}^{N} (Q_{ij})_k (z_k - z_{k-1})\n\\] \n\n(2.5)\n\n\\[\nB_{s,ij} = \\frac{1}{2} \\sum_{k=1}^{N} (Q_{ij})_k (z_k^2 - z_{k-1}^2)\n\\] \n\n(2.6)\n\n\\[\nD_{s,ij} = \\frac{1}{3} \\sum_{k=1}^{N} (Q_{ij})_k (z_k^3 - z_{k-1}^3)\n\\] \n\n(2.7)\n\nAccording to the symmetrical laminate shell:\n\n\\[\nA_{p,16} = A_{p,26} = 0\n\\]\n\n\\[\nA_{s,16} = 0\n\\]\n\n\\[\nA_{s,26} = 0\n\\]\n\n\\[\n[B] = 0,\n\\]\n\nThe stress resultants are further related to shell displacement:\n\n\\[\nN_x = cste = A_{s,11} \\frac{dw^0}{dx} - A_{s,12} \\frac{u}{r}\n\\] \n\n(2.8)\n\n\\[ N_\\theta = A_{s,12} \\frac{dw^0}{dx} - A_{s,22} \\frac{u}{r} \\] \n(2.9)\n\n\\[ M_x = -D_{s,11} \\frac{d^2 u}{dx^2} \\] \n(2.10)\n\n\\[ M_\\theta = -D_{s,12} \\frac{d^2 u}{dx^2} = -\\frac{D_{s,12}}{D_{s,11}} M_r \\] \n(2.11)\n\n\\[ M_{x\\theta} = -\\frac{D_{s,16}}{D_{s,11}} M_r \\] \n(2.12)\n\nCombining Eqs. (2.8) and (2.9), it is possible to express \\( N_\\theta \\) as a function of:\n\n\\[ N_\\theta = \\frac{u}{r} \\left( A_{s,22} - \\frac{A_{s,12}^2}{A_{s,11}} \\right) + \\frac{A_{s,12}}{A_{s,11}} N_x \\] \n(2.13)\n\nFrom Eqs. (2.10) and (2.13) the following is obtained:\n\n\\[ D_{s,11} \\frac{d^4 u}{dx^4} + \\frac{u}{r^2} \\left( A_{s,22} - \\frac{A_{s,12}^2}{A_{s,11}} \\right) + \\frac{A_{s,12}}{A_{s,11}} \\frac{N_x}{r} = p_o \\] \n(2.14)\n\nThe radial displacement of the shell after integration is given by:\n\n\\[ u = C_1 e^{\\beta_s x} \\cos(\\beta_s x) + C_2 e^{\\beta_s x} \\sin(\\beta_s x) + C_3 e^{-\\beta_s x} \\cos(\\beta_s x) + C_4 e^{-\\beta_s x} \\sin(\\beta_s x) \\] \n(2.15)\n\nwhere\n\n\\[ \\beta_s = \\left[ \\frac{A_{s,22} A_{s,11} - A_{s,12}^2}{4 r_s^2 D_{s,11} A_{s,11}} \\right]^{1/4} \\] \n(2.16)\n\nThe general solution after simplification of Eq. (2.15) is:\n\n\\[ u = e^{\\beta_s x} [C_1 \\cos(\\beta_s x) + C_2 \\sin(\\beta_s x)] + e^{-\\beta_s x} [C_3 \\cos(\\beta_s x) + C_4 \\sin(\\beta_s x)] \\] \n\n(2.17)\n\nThe integral constants \\( C_1, C_2, C_3 \\) and \\( C_4 \\) will be determined from the boundary conditions. Since the cylinder is considered as a long and infinite shell, the displacement of the shell is zero when \\( x \\) tends to infinity.\n\n\\[ \\lim_{x \\to +\\infty} u = 0 \\] \n\n(2.18)\n\nAnd therefore:\n\n\\[ \\lim_{x \\to +\\infty} \\frac{du}{dx} = \\lim_{x \\to +\\infty} \\Theta = 0 \\] \n\n(2.19)\n\nThis will result in:\n\n\\( C_1 = 0 \\) and \\( C_2 = 0 \\).\n\nSubstituting \\( C_1 \\) and \\( C_2 \\) in the Eq. (2.17), we get:\n\n\\[ u = e^{-\\beta_s x} [C_3 \\cos(\\beta_s x) + C_4 \\sin(\\beta_s x)] \\] \n\n(2.20)\n\nThe constants \\( C_3 \\) and \\( C_4 \\) are determined from the compatibility and boundary conditions: At \\( x = 0 \\), then, \\( M = M_j^n \\) and \\( Q = Q_j^n \\).\n\nTherefore, the displacement including the effect of pressure and rotation is given by:\n\n\\[ u = \\frac{1}{2\\beta_s^2 D_{s,11}} e^{-\\beta_s x} [Q_1^n \\cos(\\beta_s x) + \\beta_s M_1^n (\\cos(\\beta_s x) - \\sin(\\beta_s x))] + \\frac{A_{s,11} - \\frac{1}{2} A_{s,12}}{4\\beta_s^2 A_{s,11} D_{s,11}} p_o \\] \n\n(2.21)\n\n\\[ \\psi = \\frac{du}{dx} = \\frac{1}{2\\beta_s^2 D_{s,11}} e^{-\\beta_s x} \\left[ Q_1^u (\\cos(\\beta_s x) - \\sin(\\beta_s x)) + 2\\beta_s M_1^u (\\cos(\\beta_s x)) \\right] \\tag{2.22} \\]\n\n### 2.3.2 Analytical model of the flange ring (ring theory)\n\nFor the analytical analysis of FRP flanges, a number of theories were developed by Black (1994) and Sun (1995) but the theory based on the Kirchhoff-Love hypothesis can better characterize their behavior. In this theory, the transverse shear deformation is neglected and after deformation, the straight lines normal to the middle surface remain straight and undergo no thickness stretching.\n\n\n\nAs shown in this figure:\n\n- \\( F_B^t \\) and \\( F_B^f \\) are the tightening force that applied through the bolts;\n- \\( F_G^t \\) and \\( F_G^f \\) are the forces resulting from compressing the gasket;\n- \\( Q_1^t \\) and \\( Q_1^f \\) are the shear forces at the junction of the ring and the shell;\n\n$M_1^t$ and $M_1^{tf}$ are the bending moment at the junction of the ring and the shell;\n\n$p_o$ is a pressure on the inside surface of the ring;\n\n$N_x$ is the membrane force due to hydrostatic end effect;\n\nThe ring part of the composite flange is considered to be a circular ring subjected to a moment in the tangential direction and ring loads in the radial and axial directions on its free inner edge and balanced by simple support on its outer edge. The analytical model of the ring subjected to bolt-up and pressurization is shown in Figure 2.5. The ring part of the composite flange is considered to be a circular ring subjected to a moment in the tangential direction and ring loads in the radial and axial directions on its free inner edge and balanced by simple support on its outer edge. Therefore, the theory of a thick-walled cylinder must be used to obtain the radial displacement of the ring.\n\nAccording to the theory of thin plates, the transverse displacement $w$ of the ring in the x-direction subjected to a concentrated force can be expressed as follows:\n\n$$w(r) = \\frac{Fr^2}{8\\pi D_{p,11}} \\left( \\ln \\left( \\frac{r}{r_o} \\right) - 1 \\right) - C_2 \\ln \\left( \\frac{r}{r_o} \\right) - \\frac{C_1 r^2}{4} + C_3$$\n\n(2.23)\n\nThe rotation about a tangential axis of the ring is obtained from the derivation with respect to $r$ of $w$:\n\n$$\\psi(r) = \\frac{dw}{dr} = \\frac{Fr}{8\\pi D_{p,11}} \\left( 2 \\ln \\left( \\frac{r}{r_o} \\right) - 1 \\right) - \\frac{C_2}{r} - \\frac{C_1 r}{2}$$\n\n(2.24)\n\nwhere $F$ is the force applied to the ring. The constants $C_1$, $C_2$ and $C_3$ are determined from the following boundary conditions:\n\nat $r = r_l$, \\quad w = 0\n\n(2.25)\n\nat \\( r = r_i \\), \\quad M_r = M_1^n - \\frac{t_f}{2} Q_1^n \\tag{2.26}\n\nat \\( r = r_o \\), \\quad M_r = 0 \\tag{2.27}\n\nwhere n is equal to i for the bolt-up and f for the pressurization.\n\n\\[\nM_r = D_{p,11} \\frac{d^2 w}{dr^2} + \\frac{D_{p,12}}{r} \\frac{dw}{dr} \\tag{2.28}\n\\]\n\nThen the constants are obtained as follows:\n\n\\[\nC_1 = -\\frac{1}{4\\pi D_{p,11}(r_o^2 - r_i^2)(D_{p,11} + D_{p,12})} \\left[ (D_{p,12} - D_{p,11})(r_o^2 - r_i^2)F + 2(D_{p,12} + D_{p,11})r_i^2 \\log \\left( \\frac{r_i}{r_o} \\right) - 8\\pi r_i^2 D_{p,11} \\left( M_1^n - \\frac{t_f}{2} Q_1^n \\right) \\right] \\tag{2.29}\n\\]\n\n\\[\nC_2 = \\frac{r_o^2 r_i^2}{4\\pi D_{p,11}(r_o^2 - r_i^2)(D_{p,11} - D_{p,12})} \\left[ 4\\pi D_{p,11} \\left( M_1^n - \\frac{t_f}{2} Q_1^n \\right) - (D_{p,12} + D_{p,11}) \\log \\left( \\frac{r_i}{r_o} \\right) F \\right] \\tag{2.30}\n\\]\n\n\\[\nC_3 = \\frac{-r_i^2}{16\\pi D_{p,11}(r_o^2 - r_i^2)(D_{p,11}^2 - D_{p,12}^2)} \\left[ (D_{p,12}^2 - 3D_{p,11}^2 + 2D_{p,12}D_{p,11})(r_o^2 - r_i^2)F - 8\\pi r_i^2 (D_{p,11}^2 - D_{p,12}D_{p,11}) \\left( M_1^n - \\frac{t_f}{2} Q_1^n \\right) - 2r_o^2 (D_{p,12}^2 - D_{p,11}^2) \\log \\left( \\frac{r_i}{r_o} \\right) F - 4r_o^2 (D_{p,12}^2 + D_{p,11}^2 + 2D_{p,12}D_{p,11}) \\log^2 \\left( \\frac{r_i}{r_o} \\right) F - 16\\pi r_o^2 (D_{p,11}^2 - D_{p,12}D_{p,11}) \\log \\left( \\frac{r_i}{r_o} \\right) \\left( M_1^n - \\frac{t_f}{2} Q_1^n \\right) \\right] \\tag{2.31}\n\\]\n\nTherefore, substituting for the constant C’s Eq. (2.24) becomes:\n\n\\[\n\\psi(r) = \\frac{dw}{dr} = \\frac{rF}{8\\pi D_{p,11}} \\left( 2 \\log \\left( \\frac{r}{r_o} \\right) - 1 \\right) + \\frac{r}{8\\pi D_{p,11}(r_o^2 - r_i^2)(D_{p,11} + D_{p,12})} \\left( (r_o^2 - r_i^2)(D_{p,12} - D_{p,11})F + 2r_i^2 (D_{p,12} + D_{p,11}) \\log \\left( \\frac{r_i}{r_o} \\right) F - 8\\pi r_i^2 D_{p,11} \\left( M_1^n - \\frac{t_f}{2} Q_1^n \\right) \\right) +\n\\frac{r_o^2 r_i^2}{4\\pi r D_{p,11}(r_o^2 - r_i^2)(D_{p,11} - D_{p,12})} \\left( (D_{p,12} + D_{p,11}) \\log \\left( \\frac{r_i}{r_o} \\right) F - 4\\pi D_{p,11} \\left( M_1^n - \\frac{t_f}{2} Q_1^n \\right) \\right) \\tag{2.32}\n\\]\n\nIn order to obtain the displacement of the flange ring $u$ in the radial direction, the theory of thick-walled cylinder subjected to radial pressure is used. The displacement of the ring in different directions (r, $\\Theta$, and x) according to the classical theory of axisymmetric bending plate are given as follows:\n\n$$u^f(r,x) = u_0^f(r) + x\\psi(r) \\quad (2.33)$$\n\n$$v^f(r,x) = 0 \\quad (2.34)$$\n\n$$w^f(r,x) = w_0^f(r) \\quad (2.35)$$\n\nwhere $u^f, v^f$ and $w^f$ are the ring displacement in the r, $\\theta$ and x respectively. The subscript 0 refers to the midplane displacement of the ring.\n\nThe strain-displacement relationships in a cylindrical coordinate are as follows:\n\n$$\\varepsilon_r = \\frac{\\partial u}{\\partial r} \\quad (2.36)$$\n\n$$\\varepsilon_\\theta = \\frac{1}{r} \\frac{\\partial v}{\\partial \\theta} + \\frac{u}{r} \\quad (2.37)$$\n\n$$\\varepsilon_x = \\frac{\\partial w}{\\partial x} \\quad (2.38)$$\n\n$$\\varepsilon_{rx} = \\frac{1}{2} \\left( \\frac{\\partial u}{\\partial x} + \\frac{\\partial w}{\\partial r} \\right) \\quad (2.39)$$\n\n$$\\varepsilon_{\\theta x} = \\frac{1}{2} \\left( \\frac{\\partial v}{\\partial x} + \\frac{1}{r} \\frac{\\partial w}{\\partial \\theta} \\right) \\quad (2.40)$$\n\n$$\\varepsilon_{r\\theta} = \\frac{1}{2} \\left( \\frac{1}{r} \\frac{\\partial u}{\\partial \\theta} + \\frac{\\partial v}{\\partial r} - \\frac{v}{r} \\right) \\quad (2.41)$$\n\nThe definition of the linear strain tensor is:\n\n$$\\varepsilon_{ij} = \\frac{1}{2} \\left( u_{i,j} + u_{j,i} \\right) \\quad (2.42)$$\n\nAccording to the strain-displacement relation in a cylindrical coordinate system, the strains for these deformations are:\n\n\\[\n\\varepsilon_r = \\frac{du_0^f}{dr} + x \\frac{d\\psi}{dr}\n\\] \n(2.43)\n\n\\[\n\\varepsilon_\\theta = \\frac{u_0^f}{r} + x \\frac{\\psi}{r}\n\\] \n(2.44)\n\n\\[\n\\varepsilon_x = 0\n\\] \n(2.45)\n\n\\[\n\\varepsilon_{rx} = \\frac{1}{2} \\left( \\psi + \\frac{dw_0^f}{dr} \\right)\n\\] \n(2.46)\n\n\\[\n\\varepsilon_{\\theta x} = 0\n\\] \n(2.47)\n\n\\[\n\\varepsilon_{r\\theta} = 0\n\\] \n(2.48)\n\nThe principle of minimum total energy is used, in order to derive the governing equilibrium equations of the classic laminate plate theory. The strain energy for the circular plate is obtained from:\n\n\\[\nU = \\frac{1}{2} \\int_0^{2\\pi} \\int_{r_i}^{r_0} \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} (\\sigma_r \\varepsilon_r + \\sigma_\\theta \\varepsilon_\\theta + \\sigma_x \\varepsilon_x + 2 \\sigma_{r\\theta} \\varepsilon_{r\\theta} + 2 \\sigma_{rx} \\varepsilon_{rx} + 2 \\sigma_{\\theta x} \\varepsilon_{\\theta x}) dx \\, rdr \\, d\\theta\n\\] \n(2.49)\n\nBy integrating the above equation in respect to $\\theta$ and considering only non-zero terms of this equation, the strain energy within the plate becomes:\n\n\\[\nU = \\pi \\int_{r_i}^{r_0} \\left[ \\frac{du_0^f}{dr} \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\sigma_r \\, dx + \\frac{d\\psi}{dr} \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\sigma_x \\, dx + \\frac{u_0^f}{r} \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\sigma_\\theta \\, dx + \\frac{\\psi}{r} \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\sigma_\\theta \\, dx + \\psi \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\sigma_{rx} \\, dx + \\frac{dw_0^f}{dr} \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\sigma_{rx} \\, dx \\right] rdr\n\\] \n(2.50)\n\nThen, the in-plane force resultants are obtained:\n\n\\[ N_r = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\sigma_r \\, dx \\] \\hspace{1cm} (2.51)\n\n\\[ N_\\theta = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\sigma_\\theta \\, dx \\] \\hspace{1cm} (2.52)\n\nThe shear forces are:\n\n\\[ Q_{rx} = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\sigma_{rx} \\, dx \\] \\hspace{1cm} (2.53)\n\nAnd the moments are:\n\n\\[ M_r = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\sigma_r x \\, dx \\] \\hspace{1cm} (2.54)\n\n\\[ M_\\theta = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\sigma_\\theta x \\, dx \\] \\hspace{1cm} (2.55)\n\nBy substituting for the stresses in Eq. (2.50), the strain energy in terms of loads is obtained:\n\n\\[ U = \\pi \\int_{r_1}^{r_0} u_0^f \\left( \\frac{d}{dr} N_r r + N_\\theta \\right) dr + \\pi \\int_{r_1}^{r_0} \\Psi \\left( \\frac{d}{dr} M_r r + M_\\theta \\right) dr + \\pi \\int_{r_1}^{r_0} \\Psi Q_{rx} r dr + \\pi \\int_{r_1}^{r_0} \\frac{d}{dr} w_0^f Q_{rx} r dr \\] \\hspace{1cm} (2.56)\n\nThe work done on the ring by the different loads is given as:\n\n\\[ V = (p_o t 2\\pi r_i) u_A^f + (F_G 2\\pi r_G) w_G^f + (-F_B 2\\pi r_B) w_B^f + (-M_A 2\\pi r_i) \\Psi_A^f \\] \\hspace{1cm} (2.57)\n\nThe work-energy theorem states that the net work done by the forces is equal to the change in its kinetic energy or the energy stored in the form of deformation in the system. Therefore:\n\n\\[ U = V \\] \n\n(2.58)\n\nThis may be written as:\n\n\\[\n\\pi \\int_{r_1}^{r_0} u_0^f \\left( \\frac{d}{dr} N_r r + N_\\theta \\right) dr + \\pi \\int_{r_1}^{r_0} \\psi \\left( \\frac{d}{dr} M_r r + M_\\theta \\right) dr + \\pi \\int_{r_1}^{r_0} \\psi Q_{rx} r dr + \\\\\n\\pi \\int_{r_1}^{r_0} \\frac{d}{dr} w_0^f Q_{rx} r dr = (p_o t \\pi r_i) \\times u_A^f + (F_G 2 \\pi r_G) \\times w_G^f + (-F_B 2 \\pi r_B) \\times w_B^f + (-M_A \\pi r_i) \\times \\psi_A^f\n\\]\n\n(2.59)\n\nThe equations of equilibrium are then obtained:\n\n\\[\n\\delta u_0^f : \\quad N_\\theta - \\frac{d(rN_r)}{dr} = 0\n\\]\n\n(2.60)\n\n\\[\n\\delta \\psi : \\quad M_\\theta + rQ_{rx} - \\frac{d}{dr}(rM_r) = 0\n\\]\n\n(2.61)\n\n\\[\n\\delta w_0^f : \\quad \\frac{d}{dr}(rQ_{rx}) = 0\n\\]\n\n(2.62)\n\nWith the following boundary conditions:\n\nAt \\( r = r_i \\):\n\n\\[\nrN_r = r_i(-p_o t + Q)\n\\]\n\n(2.63)\n\n\\[\nrM_r = r_i(M + \\frac{Qt}{2})\n\\]\n\n(2.64)\n\n\\[\nrQ_{rx} = -r_i F\n\\]\n\n(2.65)\n\nAt \\( r = r_0 \\):\n\n\\[\nN_r = 0\n\\]\n\n(2.66)\n\n\\[\nM_r = 0\n\\]\n\n(2.67)\n\n\\[\nw_0^f = 0\n\\]\n\n(2.68)\n\nBy considering Hooke’s law, we get:\n\n\\[\n\\varepsilon_r = \\frac{1}{E_r} (\\sigma_r - v_r \\sigma_\\theta) \\tag{2.69}\n\\]\n\n\\[\n\\varepsilon_\\theta = \\frac{1}{E_\\theta} (\\sigma_\\theta - v_\\theta \\sigma_r) \\tag{2.70}\n\\]\n\n\\[\n\\varepsilon_{rx} = \\frac{1}{2G_{rx}} \\sigma_{rx} \\tag{2.71}\n\\]\n\nwhere \\(E_r\\) and \\(E_\\theta\\) are Young's modulus in the radial and tangential directions; \\(v_r\\) and \\(v_\\theta\\) are the Poisson coefficients \\((E_r v_\\theta = E_\\theta v_r)\\); \\(G_{rx}\\) is the shear modulus in the plane r-x.\n\nThere as the stresses are obtained by:\n\n\\[\n\\sigma_r = Q_{rr} \\varepsilon_r + Q_{r\\theta} \\varepsilon_\\theta \\tag{2.72}\n\\]\n\n\\[\n\\sigma_\\theta = Q_{r\\theta} \\varepsilon_r + Q_{\\theta\\theta} \\varepsilon_\\theta \\tag{2.73}\n\\]\n\n\\[\n\\sigma_{rx} = Q_{rx} \\varepsilon_{rx} \\tag{2.74}\n\\]\n\nwhere the elastic coefficients \\(Q\\)'s are:\n\n\\[\nQ_{rr} = \\frac{E_r}{1-v_r v_\\theta} \\tag{2.75}\n\\]\n\n\\[\nQ_{r\\theta} = \\frac{E_r v_\\theta}{1-v_r v_\\theta} \\tag{2.76}\n\\]\n\n\\[\nQ_{\\theta\\theta} = \\frac{E_\\theta}{1-v_r v_\\theta} \\tag{2.77}\n\\]\n\n\\[\nQ_{rx} = 2G_{rx} \\tag{2.78}\n\\]\n\nTherefore, the plate forces and moments of Eqs. (2.51) to (2.55) can be expressed in terms of displacement and rotation:\n\n\\[ N_r = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\left[ Q_{rr} \\left( \\frac{du_0^f}{dr} + x \\frac{d\\psi}{dr} \\right) + Q_{r\\theta} \\left( \\frac{u_0^f}{r} + x \\frac{\\psi}{r} \\right) \\right] dx \\tag{2.79} \\]\n\n\\[ N_\\theta = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\left[ Q_{r\\theta} \\left( \\frac{du_0^f}{dr} + x \\frac{d\\psi}{dr} \\right) + Q_{\\theta\\theta} \\left( \\frac{u_0^f}{r} + x \\frac{\\psi}{r} \\right) \\right] dx \\tag{2.80} \\]\n\n\\[ M_r = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\left[ Q_{rr} \\left( \\frac{du_0^f}{dr} + x \\frac{d\\psi}{dr} \\right) + Q_{r\\theta} \\left( \\frac{u_0^f}{r} + x \\frac{\\psi}{r} \\right) \\right] x \\, dx \\tag{2.81} \\]\n\n\\[ M_\\theta = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\left[ Q_{r\\theta} \\left( \\frac{du_0^f}{dr} + x \\frac{d\\psi}{dr} \\right) + Q_{\\theta\\theta} \\left( \\frac{u_0^f}{r} + x \\frac{\\psi}{r} \\right) \\right] x \\, dx \\tag{2.82} \\]\n\n\\[ Q_{rx} = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} \\left[ \\frac{Q_{rx}}{2} \\left( \\psi + \\frac{dw_0^f}{dr} \\right) \\right] dx \\tag{2.83} \\]\n\nThen, these equations can be simplified to:\n\n\\[ N_r = \\frac{du_0^f}{dr} A_{p,11} + \\frac{d\\psi}{dr} B_{p,11} + \\frac{u_0^f}{r} A_{p,12} + \\frac{\\psi}{r} B_{p,12} \\tag{2.84} \\]\n\n\\[ N_\\theta = \\frac{du_0^f}{dr} A_{p,12} + \\frac{d\\psi}{dr} B_{p,12} + \\frac{u_0^f}{r} A_{p,22} + \\frac{\\psi}{r} B_{p,22} \\tag{2.85} \\]\n\n\\[ M_r = \\frac{du_0^f}{dr} B_{p,11} + \\frac{d\\psi}{dr} D_{p,11} + \\frac{u_0^f}{r} B_{p,12} + \\frac{\\psi}{r} D_{p,12} \\tag{2.86} \\]\n\n\\[ M_\\theta = \\frac{du_0^f}{dr} B_{p,12} + \\frac{d\\psi}{dr} D_{p,12} + \\frac{u_0^f}{r} B_{p,22} + \\frac{\\psi}{r} D_{p,22} \\tag{2.87} \\]\n\n\\[ Q_{rx} = \\frac{1}{2} \\left( \\psi + \\frac{dw_0^f}{dr} \\right) A_{p,16} \\tag{2.88} \\]\n\nwhere the stiffness coefficients for the ring are:\n\n\\[ (A_{p,11}, A_{p,12}, A_{p,22}) = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} (Q_{rr}, Q_{r\\theta}, Q_{\\theta\\theta}) \\, dx \\tag{2.89} \\]\n\n\\[ (B_{p,11}, B_{p,12}, B_{p,22}) = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} (Q_{rr}, Q_{r\\theta}, Q_{\\theta\\theta}) \\, x \\, dx \\tag{2.90} \\]\n\n\\[\n(D_{p,11}, D_{p,12}, D_{p,22}) = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} (Q_{rr}, Q_{r\\theta}, Q_{\\theta\\theta}) x^2 dx \\tag{2.91}\n\\]\n\n\\[A_{p,16} = \\int_{-\\frac{t}{2}}^{\\frac{t}{2}} (Q_{rx}) dx \\tag{2.92}\\]\n\nWhen the material properties are symmetrical with respect to the plate mid-plane then:\n\n\\[B_{p,11} = B_{p,12} = B_{p,22} = 0 \\tag{2.93}\\]\n\nThe forces and moments (2.84) to (2.88) can be simplified to:\n\n\\[N_r = \\frac{du_0^f}{dr} A_{rr} + \\frac{u_0^f}{r} A_{r\\theta} \\tag{2.94}\\]\n\n\\[N_\\theta = \\frac{du_0^f}{dr} A_{p,11} + \\frac{u_0^f}{r} A_{p,12} \\tag{2.95}\\]\n\n\\[M_r = \\frac{d\\psi}{dr} D_{p,12} + \\frac{\\psi}{r} D_{p,12} \\tag{2.96}\\]\n\n\\[M_\\theta = \\frac{d\\psi}{dr} D_{p,12} + \\frac{\\psi}{r} D_{p,11} \\tag{2.97}\\]\n\n\\[Q_{rx} = \\frac{1}{2} \\left( \\psi + \\frac{dw_0^f}{dr} \\right) A_{p,16} \\tag{2.98}\\]\n\nNow, the equilibrium Eqs. (2.60), (2.61) and (2.62) can be rearranged as follows:\n\n\\[\\delta u_0^f : r^2 \\frac{d^2 u_0^f}{dr^2} + r \\frac{du_0^f}{dr} - \\frac{A_{p,22}}{A_{p,11}} u_0^f = 0 \\tag{2.99}\\]\n\nWith the following boundary condition:\n\nAt \\(r = r_i, \\ rQ_{rx} = -r_i F \\tag{2.100}\\)\n\nThen\n\n\\[ r \\frac{d^2 \\psi}{dr^2} + \\frac{d\\psi}{dr} - \\frac{D_{p,22}\\psi}{D_{p,11}r} = -\\frac{r_1 F}{D_{p,11}} \\] \n\n(2.101)\n\nHence, equation (2.99) becomes:\n\n\\[ u_0^f = \\frac{(p_0 t - Q)(r_0)^{m_2-1}}{4(A_{p,12} + \\sqrt{A_{p,22}A_{p,11}})\\Delta} r^{m_1} + \\frac{(-p_0 t + Q)(r_0)^{m_1-1}}{4(A_{p,12} - \\sqrt{A_{p,22}A_{p,11}})\\Delta} r^{m_2} \\] \n\n(2.102)\n\nwhere:\n\n\\[ m_1 = \\sqrt{\\frac{A_{p,22}}{A_{p,11}}} \\]\n\n\\[ m_2 = -m_1 \\]\n\n\\[ \\Delta = (2r_o)^{m_1-1}(2r_1)^{m_2-1} - (2r_o)^{m_2-1}(2r_1)^{m_1-1} \\] \n\n(2.103)\n\nIn the case of equivalent elastic properties of the ring in the radial and tangential directions, we get:\n\n\\[ A_{p,22} = A_{p,11} \\]\n\n\\[ m_1 = -m_2 = 1 \\]\n\n\\[ \\Delta = \\frac{r_o^2 - r_1^2}{2r_o^2 r_1^2} \\]\n\nTherefore, the radial displacement of the ring is given by:\n\n\\[ u_0^f(r) = \\frac{(p_0 t - Q)r_o^2}{(A_{p,12} + A_{p,11})(r_o^2 - r_1^2)} \\times r + \\frac{(-p_0 t + Q)r_o^2 r_1^2}{4(A_{p,12} - A_{p,11})(r_o^2 - r_1^2)} \\times \\frac{1}{r} \\] \n\n(2.104)\n\n2.4 Theoretical analysis of FRP bolted flange joints with the hub\n\nThe analytical model of FRP bolted flange joint with the hub is illustrated in figure 2.6. In order to study FRP flange bolted flange joint analytically, a flange with the hub is divided into three distinct parts which are connected to one another. Figure 2.6 (a) shows the flange in phase $n=i$ or bolt-up and figure 2.6 (b) shows the flange in phase $n=f$ or pressurization. Point 1 in the figure is considered as the junction point between the ring and the shell and point 2 is considered as the junction point between hub and shell. It is important to note that the analytical approach for the ring and the shell of the FRP flange with the hub is the same as the model elaborated in section 2.3. Therefore, in this part, the analytical model of only the hub is developed and elaborated in detail based on the beam on elastic foundation theory applied to short thin cylinders. Nevertheless, for reiteration, the theories used for the shell and ring are the theory of the beams on an elastic foundation for long cylinders and the theory of thin plate under bending respectively.\n\nAs mentioned earlier, For FRP flanges with a full-face gasket the centroid of a circular sector of the unit width is considered to be in equilibrium in all directions. To simplify the analysis considerably, the thickness of the hub is assumed to be small compared to the radius, then the mid-surface line of the hub remains almost parallel to that for the shell. It is also fair to assume that the model is considered symmetrical. It is intuitively recognized that the applied loads on each flange depend on the initial load on the bolts, the internal pressure and the reaction of the gasket.\n\n2.4.1 Analytical model of the hub\n\nThe analytical model of the hub can be simplified by a thin cylinder subjected to an axisymmetric loading. Figure 2.7 depicts the analytical model of the hub at bolt-up and pressurization.\n\nFigure 2-6 Analytical model for the FRP flange with the hub (a) bolt-up (b) pressurization\n\nIn this model, the length of the hub is considered short less than $\\pi/\\beta$ and the thickness of the hub to its radius is less than 0.1 such that thin cylinder theory can be used. At the top and bottom surface of the hub, it is subjected to the discontinuity shear force $Q$ and moment $M$ in addition to the hydrostatic end force $N_x$.\n\nAs shown in figure 2.6:\n\n- $Q_1^i$ and $Q_1^f$ are the shear forces at the junction of the ring and the shell;\n- $M_1^i$ and $M_1^f$ are the bending moment at the junction of the ring and the shell;\n- $p_o$ is a pressure on the inside surface of the shell;\n- $N_x$ is the membrane force produced by the hydrostatic end force;\n\nSimilar to the shell analysis, due to the axial symmetry of the hub, none of the variables depends on the angle $\\theta$ and consequently, all the partial derivatives with respect to $\\theta$ are equal to zero.\n\nThe equilibrium equations of the hub can be derived as:\n\n\\[ N_x = \\text{cste} \\] \\hspace{1cm} (2.105)\n\n\\[ \\frac{dN_{x\\theta}}{dx} + \\frac{1}{r} \\frac{dM_{x\\theta}}{dx} = 0 \\] \\hspace{1cm} (2.106)\n\n\\[ \\frac{d^2M_x}{dx^2} - \\frac{N_\\theta}{r} = -p_o \\] \\hspace{1cm} (2.107)\n\nThe relation between the stress resultants and strains are:\n\n\\[\n\\begin{pmatrix}\nN_x \\\\\nN_y \\\\\nN_{xy} \\\\\nM_x \\\\\nM_y \\\\\nM_{xy}\n\\end{pmatrix}\n=\n\\begin{bmatrix}\nA_{h,11} & A_{h,12} & A_{h,16} & B_{h,11} & B_{h,12} & B_{h,16} \\\\\nA_{h,12} & A_{h,22} & A_{h,26} & B_{h,12} & B_{h,22} & B_{h,26} \\\\\nA_{h,16} & A_{h,26} & A_{h,66} & B_{h,16} & B_{h,26} & B_{h,66} \\\\\nB_{h,11} & B_{h,12} & B_{h,16} & D_{h,11} & D_{h,12} & D_{h,16} \\\\\nB_{h,12} & B_{h,22} & B_{h,26} & D_{h,12} & D_{h,22} & D_{h,26} \\\\\nB_{h,16} & B_{h,26} & B_{h,66} & D_{h,16} & D_{h,26} & D_{h,66}\n\\end{bmatrix}\n\\begin{pmatrix}\n\\varepsilon_x^0 \\\\\n\\varepsilon_y^0 \\\\\n\\gamma_{xy}^0 \\\\\nk_x \\\\\nk_y \\\\\nk_{xy}\n\\end{pmatrix}\n\\] \\hspace{1cm} (2.108)\n\nwhere:\n\n\\( A_{ij}, B_i \\) and \\( D_{ij} \\) are the stiffness coefficients and can be defined as follows:\n\n\\[ A_{h,ij} = \\sum_{k=1}^{N} \\left( Q_{ij} \\right)_k (z_k - z_{k-1}) \\] \\hspace{1cm} (2.109)\n\n\\[ B_{h,ij} = \\frac{1}{2} \\sum_{k=1}^{N} \\left( Q_{ij} \\right)_k (z_k^2 - z_{k-1}^2) \\] \\hspace{1cm} (2.110)\n\n\\[ D_{h,ij} = \\frac{1}{3} \\sum_{k=1}^{N} \\left( Q_{ij} \\right)_k (z_k^3 - z_{k-1}^3) \\] \\hspace{1cm} (2.111)\n\nAccording to the symmetrical laminate shell:\n\n\\[ A_{p,16} = A_{p,26} = 0 \\]\n\n\\[ A_{h,16} = 0 \\]\n\\[ A_{h,26} = 0 \\]\n\\[ [B] = 0, \\]\n\nThe forces and moments resultant are further related to the shell displacement:\n\n\\[\nN_x = cste = A_{h,11} \\frac{dw^0}{dx} - A_{h,12} \\frac{u}{r}\n\\] \n(2.112)\n\n\\[\nN_\\theta = A_{h,12} \\frac{dw^0}{dx} - A_{h,22} \\frac{u}{r}\n\\] \n(2.113)\n\n\\[\nM_x = -D_{h,11} \\frac{d^2 u}{dx^2}\n\\] \n(2.114)\n\n\\[\nM_\\theta = -D_{h,12} \\frac{d^2 u}{dx^2} = -\\frac{D_{h,12}}{D_{h,11}} M_r\n\\] \n(2.115)\n\n\\[\nM_{x\\theta} = -\\frac{D_{h,16}}{D_{h,11}} M_r\n\\] \n(2.116)\n\nIt is possible to obtain \\( N_\\theta \\) in term of \\( N_x \\) such that: as:\n\n\\[\nN_\\theta = \\frac{u}{r} \\left( A_{h,22} - \\frac{A_{h,12}^2}{A_{h,11}} \\right) + \\frac{A_{h,12}}{A_{h,11}} N_x\n\\] \n(2.117)\n\nFrom equations (2.114) and (2.117) the following is obtained:\n\n\\[\nD_{h,11} \\frac{d^4 u}{dx^4} + \\frac{u}{r^2} \\left( A_{h,22} - \\frac{A_{h,12}^2}{A_{h,11}} \\right) + \\frac{A_{h,12}}{A_{h,11}} \\frac{N_x}{r} = p_o\n\\] \n(2.118)\n\nThe radial displacement of the shell after integration is:\n\n\\[ u = C_1 e^{\\beta_h x} \\cos(\\beta_h x) + C_2 e^{\\beta_h x} \\sin(\\beta_h x) + C_3 e^{-\\beta_h x} \\cos(\\beta_h x) + C_4 e^{-\\beta_h x} \\sin(\\beta_h x) \\quad (2.119) \\]\n\nThe general solution after simplification of the equation is:\n\n\\[ u = e^{\\beta_h x} [C_1 \\cos(\\beta_h x) + C_2 \\sin(\\beta_h x)] + e^{-\\beta_h x} [C_3 \\cos(\\beta_h x) + C_4 \\sin(\\beta_h x)] \\quad (2.120) \\]\n\nThe rotation \\( \\Theta \\), Moment M and shear forces Q are given as follows:\n\n\\[ \\Theta = \\frac{du}{dx} \\quad (2.121) \\]\n\n\\[ M_x = -D_{11} \\frac{d^2 u}{dx^2} \\quad (2.122) \\]\n\n\\[ Q = \\frac{dM_x}{dx} = -D_{11} \\frac{d^2 w}{dx^2} \\quad (2.123) \\]\n\nThe integral constants \\( C_1, C_2, C_3 \\) and \\( C_4 \\) will be determined from the boundary conditions.\n\nAt \\( x = 0 \\), then \\( M_x = M^n_i \\) and \\( Q = Q^n_f \\)\n\nAt \\( x = l_h \\), then \\( M_x = M^n_j \\) and \\( Q = Q^n_j \\)\n\n### 2.5 Axial compatibility:\n\nThe equations for compatibility requiring continuity of the rotation and radial displacement can be used with the equations of equilibrium to form a system of equations with nine unknowns for the pressurization state. The final bolt load \\( F_B^f \\) for the operating condition can be obtained from the geometric compatibility consideration in the axial direction that is the relation to the nut axial displacement that is equal during initial bolt-up and pressurization. Before applying the internal pressure, the bolt initial force \\( F_B^i \\), which is the required bolt load to satisfy both the requirements of seating and operating conditions, should be previously\n\ndefined and therefore is known. Consequently, our system of equations will be reduced by one unknown.\n\nFigure 2.8 illustrates the compatibility of displacement based on the axial distance traveled by the nut during the tightening process. It is to be noted that this distance is the sum of the displacement of the flange due to the rotation, the elongation of the bolt and the compression of the gasket all in the axial direction.\n\n\n\nThe nut axial displacement corresponding to the actual number of turns necessary to achieve the required preload remains unchanged between the initial pre-tightening state (i) and during the final pressurization state (f). As a matter of fact, this axial displacement does not change from the initial state or bolt-up to any other state including pressure, temperature, bending and creep loading. As shown in figure 2.8 the sum of the axial displacement of all parts of the bolted flange joints is involved. At the junction of the three parts of the flange, the\n\ndisplacements and rotations must be equal, based on the requirement of continuity. Therefore, the compatibility equations are as follows:\n\nThe radial displacements and rotations of the ring are equal to the radial displacements and rotations of the hub at point 1:\n\nInitial pre-tightening state (i)\n\n\\[\n\\psi_{1,p}^i = \\psi_{1,h}^i \\\\\nu_{1,p}^i = u_{1,h}^i\n\\]\n\nFinal pressurization state (f)\n\n\\[\n\\psi_{1,p}^f = \\psi_{1,h}^f \\\\\nu_{1,p}^f = u_{1,h}^f\n\\]\n\nThe radial displacements and rotations of the hub are equal to the radial displacements and rotations of the shell at point 2.\n\nInitial pre-tightening state (i)\n\n\\[\n\\psi_{2,h}^i = \\psi_{2,s}^i \\\\\nu_{2,h}^i = u_{2,s}^i\n\\]\n\nFinal pressurization state (f)\n\n\\[\n\\psi_{2,h}^f = \\psi_{2,s}^f \\\\\nu_{2,h}^f = u_{2,s}^f\n\\]\n\nConsidering the axial equilibrium\n\nInitial pre-tightening state (i)\n\n\\[ F_B^i = F_G^i \\] \n\n(2.132)\n\nFinal pressurization state (f)\n\n\\[ F_B^f = F_G^f + p_o A_p \\] \n\n(2.133)\n\nAnd according to the axial compatibility\n\n\\[ \\sum_{i=1}^{m} w_i^i = \\sum_{i=1}^{m} w_i^f \\] \n\n(2.134)\n\nor\n\n\\[ w_B^i + w_G^i + w_P^i = w_B^f + w_G^f + w_P^f \\] \n\n(2.135)\n\nSubstituting the displacements and rotations into (2.135), the following is obtained:\n\n\\[ \\frac{F_B^i}{K_B} + \\frac{F_G^i}{K_G} + 2(r_B - r_G) \\psi_{1,p}^i = \\frac{F_B^f}{K_B} + \\frac{F_G^f}{K_G} + 2(r_B - r_G) \\psi_{1,p}^f \\] \n\n(2.136)\n\nSubstituting equations (2.133) and (2.134) gives:\n\n\\[ F_B^f \\left( \\frac{1}{K_B} + \\frac{1}{K_G} \\right) = \\left( \\frac{1}{K_B} + \\frac{1}{K_G} \\right) F_B^i + 2(r_B - r_G)(\\psi_{1,p}^i - \\psi_{1,p}^f) + \\frac{A_p}{K_G} p_o \\] \n\n(2.137)\n\nAfter assembling the above equations, a system of 9 unknowns is obtained and it is possible to set these equations in a matrix form to solve for the unknowns.\n\n\\[ [U] = [C] \\backslash [V] \\] \n\n(2.138)\n\nwhere \\([C]\\) is a square matrix and \\([V]\\) is a vector. The matrix \\([U]\\) is a vector the elements of which are the unknowns and are the edges forces and moments, the radial displacements and the rotations of each junction.\n\nThe coefficients matrixes are defined as follows:\n\n\\[\n[C] = \\begin{bmatrix}\n-B_{11} & B_{12} & G_{11} & G_{12} & -1 & 0 & 0 & 0 & 0 \\\\\n2\\rho_h^4 D_{h,11} & 2\\rho_h^4 D_{h,11} & 2\\rho_h^4 D_{h,11} & 2\\rho_h^4 D_{h,11} & 0 & -1 & 0 & 0 & 0 \\\\\n-B_{12} & B_{22} & G_{12} & G_{22} & 0 & 0 & -1 & 0 & 0 \\\\\n2\\rho_h^4 D_{h,11} & 2\\rho_h^4 D_{h,11} & 2\\rho_h^4 D_{h,11} & 2\\rho_h^4 D_{h,11} & 0 & 0 & 0 & -1 & 0 \\\\\n-G_{11} & G_{12} & B_{11} & B_{12} & 0 & 0 & 0 & -1 & 0 \\\\\nG_{12} & -G_{22} & -B_{12} & -B_{22} & 0 & 0 & 0 & 0 & -1 \\\\\n2\\rho_h^4 D_{h,11} & 2\\rho_h^4 D_{h,11} & 2\\rho_h^4 D_{h,11} & 2\\rho_h^4 D_{h,11} & 0 & 0 & 0 & 0 & 0 \\\\\n\\frac{1}{2\\rho_s^4 D_{s,11}} & \\frac{1}{2\\rho_s^4 D_{s,11}} & 0 & 0 & -1 & 0 & 0 & 0 & 0 \\\\\n-1 & -1 & 0 & 0 & 0 & -1 & 0 & 0 & 0 \\\\\n0 & 0 & -(L_{21} - L_{22}) & 0 & 0 & 0 & -1 & \\frac{t_f}{2} & 0 \\\\\n0 & 0 & \\frac{t_f}{2} L_{26} & -L_{26} & 0 & 0 & 0 & -1 & \\frac{r_B - r_G}{2\\pi r_m} L_{27} \\\\\n0 & 0 & 0 & 0 & 0 & 0 & 0 & 2(r_B - r_G) & \\frac{1}{\\kappa_B} + \\frac{1}{\\kappa_G}\n\\end{bmatrix}\n\\]\n\n(2.139)\n\n\\[\n[V] = \\begin{bmatrix}\n-\\frac{A_{h,11} - \\frac{1}{2} A_{h,12}}{4\\rho_h^4 A_{h,11} D_{h,11}} p_o \\\\\n0 \\\\\n-\\frac{A_{h,11} - \\frac{1}{2} A_{h,12}}{4\\rho_h^4 A_{h,11} D_{h,11}} p_o \\\\\n0 \\\\\n-\\frac{A_{s,11} - \\frac{1}{2} A_{s,12}}{4\\rho_s^4 A_{s,11} D_{s,11}} p_o \\\\\n0 \\\\\n-(L_1 - L_2) t_f p_o \\\\\n-(r_G - r_f)(r_G^2 + r_f^2) \\frac{p_o}{4\\pi m} L_{27} \\\\\n\\left(\\frac{1}{\\kappa_S} + \\frac{1}{\\kappa_G}\\right) F_B^f + 2(r_B - r_G) \\psi_f l + \\frac{A_p}{\\kappa_G} p_o\n\\end{bmatrix}\n\\]\n\n(2.140)\n\nTo simplify the derivations the following coefficients are defined:\n\n\\[\nL_{21} = \\frac{-r_I^2}{(r_o^2 - r_I^2)(A_{p,12} + A_{p,11})}\n\\] (2.141)\n\n\\[\nL_{22} = \\frac{-r_I r_o^2}{(r_o^2 - r_I^2)(A_{p,12} - A_{p,11})}\n\\] (2.142)\n\n\\[\nL_{23} = \\frac{r_I - 2r_I \\log\\left(\\frac{r_I}{r_o}\\right)}{8\\pi D_{p,11}}\n\\] (2.143)\n\n\\[\nL_{24} = -\\frac{(r_o^2 r_I + r_I^3)(D_{p,12} - D_{p,11}) + 2r_I^3 \\log\\left(\\frac{r_I}{r_o}\\right)(D_{p,11} + D_{p,12})}{8\\pi D_{p,11}(r_o^2 - r_I^2)(D_{p,11} + D_{p,12})}\n\\] (2.144)\n\n\\[\nL_{25} = \\frac{-r_o^2 r_I \\log\\left(\\frac{r_I}{r_o}\\right)(D_{p,11} + D_{p,12})}{4D_{p,11}\\pi(r_o^2 - r_I^2)(D_{p,11} - D_{p,12})}\n\\] (2.145)\n\n\\[\nL_{26} = L_{21} + L_{22}\n\\] (2.146)\n\n\\[\nL_{27} = L_{23} + L_{24} + L_{25}\n\\] (2.147)\n\nTo obtain the final bolt force \\( F_B^f \\) which depends on the flange parameters as well as the inside pressure, first the unknown vector \\([U^I]\\) has to be solved for the initial bolt-up condition with a known initial bolt force \\( F_B^i \\). The solution gives, in particular, the rotation of the flange in the initial tightening condition that used in the last row in \\([U^f]\\) of the final condition to solve for the bolt force \\( F_B^f \\).\n\n\\[ [U^i] = \\begin{bmatrix} Q_2^i \\\\ M_2^i \\\\ Q_1^i \\\\ M_1^i \\\\ u_2^i \\\\ \\psi_2^i \\\\ u_1^i \\\\ \\psi_1^i \\\\ F_B^i \\end{bmatrix} \\tag{2.148} \\]\n\n\\[ [U^f] = \\begin{bmatrix} Q_2^f \\\\ M_2^f \\\\ Q_1^f \\\\ M_1^f \\\\ u_2^f \\\\ \\psi_2^f \\\\ u_1^f \\\\ \\psi_1^f \\\\ F_B^f \\end{bmatrix} \\tag{2.149} \\]\n\n### 2.6 Stress calculation\n\nTo calculate the stresses and displacements for either the flange with the hub or without the hub, the solution of the two vectors \\( [U^i] \\) and \\( [U^f] \\) is conducted one after the other. The case of the flange without the hub could be treated as one with the hub having the same materials and thickness as the shell. In fact, these results make it possible to calculate the following parameters in the initial n=i and final n=f phases of the bolted flange joint:\n\n- \\( u^n(x) \\) Radial displacement\n- \\( \\psi^n(x) \\) Rotation\n- \\( M^n(x) \\) Bending moment\n- \\( Q^n(x) \\) Shearing force\n- \\( N_l^n(x) \\) Longitudinal force\n- \\( N_t^n(x) \\) Tangential force\n\n$\\sigma_{l,l}^n$ Longitudinal stress inside surface of the flange\n\n$\\sigma_{t,l}^n$ Tangential stress inside surface of the flange\n\n$\\sigma_{l,o}^n$ Longitudinal stress outside the surface of the flange\n\n$\\sigma_{t,o}^n$ Tangential stress outside the surface of the flange\n\n### 2.6.1 Hub laminate:\n\nEquations (2.150) to (2.153) below are used to calculate the displacement and stresses in the hub:\n\n$$F_{11}(\\beta_h x) = \\frac{1}{2} [\\cosh(\\beta_h x) \\sin(\\beta_h x) - \\sinh(\\beta_h x) \\cos(\\beta_h x)] \\quad (2.150)$$\n\n$$F_{12}(\\beta_h x) = \\sin(\\beta_h x) \\sinh(\\beta_h x) \\quad (2.151)$$\n\n$$F_{13}(\\beta_h x) = \\frac{1}{2} [\\cosh(\\beta_h x) \\sin(\\beta_h x) + \\sinh(\\beta_h x) \\cos(\\beta_h x)] \\quad (2.152)$$\n\n$$F_{14}(\\beta_h x) = \\cosh(\\beta_h x) \\cos(\\beta_h x) \\quad (2.153)$$\n\nSubstituting the above equations, the lamina displacement, rotation, moment and shear, and membranes forces in the hub can be determined from the following relations:\n\n$$u_h^n(x) = \\frac{Q_1^n}{2\\beta_h D_{h,11}} F_{11}(\\beta_h x) + \\frac{M_1^n}{2\\beta_h^2 D_{h,11}} F_{12}(\\beta_h x) + \\frac{\\psi_1^n}{\\beta_h} F_{13}(\\beta_h x) + u_1^n F_{14}(\\beta_h x) \\quad (2.154)$$\n\n$$\\psi_h^n(x) = \\beta_h \\left[ \\frac{Q_1^n}{2\\beta_h^2 D_{h,11}} F_{12}(\\beta_h x) + \\frac{M_1^n}{\\beta_h^2 D_{h,11}} F_{13}(\\beta_h x) + \\frac{\\psi_1^n}{\\beta_h} F_{14}(\\beta_h x) - 2u_1^n F_{11}(\\beta_h x) \\right] \\quad (2.155)$$\n\n$$M_h^n(x) = 2\\beta_h^2 D_{h,11} \\left[ \\frac{Q_2^n}{2\\beta_h^3 D_{h,11}} F_{13}(\\beta_h x) + \\frac{M_1^n}{2\\beta_h^2 D_{h,11}} F_{14}(\\beta_h x) - \\frac{\\psi_1^n}{\\beta_h} F_{11}(\\beta_h x) - u_1^n F_{12}(\\beta_h x) \\right] \\quad (2.156)$$\n\n\\[ Q_h^n(x) = 2\\beta_h^3 D_{h,11} \\left[ \\frac{Q_1^n}{2\\beta_h^3 D_{h,11}} F_{14}(\\beta_h x) - \\frac{M_1^n}{\\beta_h^2 D_{h,11}} F_{11}(\\beta_h x) - \\frac{\\psi_1^n}{\\beta_h} F_{12}(\\beta_h x) - 2u_1^n F_{13}(\\beta_h x) \\right] \\tag{2.157} \\]\n\n\\[ N_{h,l}^i(x) = 0 \\quad \\text{and} \\quad N_{h,l}^f(x) = \\frac{p_0 r_h}{2} \\tag{2.158} \\]\n\n\\[ N_{h,t}^n(x) = \\left[ \\frac{u_h^n(x)}{r_h} + \\frac{\\left( A_{h,11} \\frac{A_{h,12}}{2} \\right) p_0}{4\\beta_h^4 A_{h,11} D_{h,11} r_h} \\right] \\left( A_{h,12} - \\frac{A_{h,22}^2}{A_{h,11}} \\right) + \\frac{A_{h,12}}{A_{h,11}} N_{h,t}^n(x) \\tag{2.159} \\]\n\nThe longitudinal and tangential stresses at the inside and outside surface of the hub are given by:\n\n\\[ \\sigma_{h,l,i}^n(x) = \\frac{N_{h,l}^n(x)}{t_h} + \\frac{6M_h^n(x)}{t_h^2} \\tag{2.160} \\]\n\n\\[ \\sigma_{h,l,o}^n(x) = \\frac{N_{h,l}^n(x)}{t_h} - \\frac{6M_h^n(x)}{t_h^2} \\tag{2.161} \\]\n\n\\[ \\sigma_{h,t,i}^n(x) = \\frac{N_{h,t}^n(x)}{t_h} + \\frac{6D_{h,12} M_h^n(x)}{D_{h,11} t_h^2} \\tag{2.162} \\]\n\n\\[ \\sigma_{h,t,o}^n = \\frac{N_{h,t}^n(x)}{t_h} - \\frac{6D_{h,12} M_h^n(x)}{D_{h,11} t_h^2} \\tag{2.163} \\]\n\n### 2.6.2 Shell laminate\n\nEquations (2.164) to (2.167) must be used to calculate the displacement and stresses in the shell:\n\n\\[ f_1(\\beta_s x) = e^{-\\beta_s x} [\\cos(\\beta_s x)] \\tag{2.164} \\]\n\n\\[ f_2(\\beta_s x) = e^{-\\beta_s x} [\\cos(\\beta_s x) - \\sin(\\beta_s x)] \\tag{2.165} \\]\n\n\\[ f_3(\\beta_s x) = e^{-\\beta_s x} [\\cos(\\beta_s x) + \\sin(\\beta_s x)] \\] \n(2.166)\n\n\\[ f_4(\\beta_s x) = e^{-\\beta_s x} [\\sin(\\beta_s x)] \\] \n(2.167)\n\nSubstituting the above equations, the lamina displacement, rotation, moment and shear and membranes forces in the shell can be determined from the following relations:\n\n\\[ u_s^n(x) = \\frac{Q_2^n}{2\\beta_s^3 D_{s,11}} f_1(\\beta_s x) + \\frac{M_2^n}{2\\beta_s^2 D_{s,11}} f_2(\\beta_s x) \\] \n(2.168)\n\n\\[ \\psi_s^n(x) = \\beta_s \\left[ -\\frac{Q_2^n}{2\\beta_s^3 D_{s,11}} f_3(\\beta_s x) - \\frac{M_2^n}{\\beta_s^2 D_{h,11}} f_1(\\beta_s x) \\right] \\] \n(2.169)\n\n\\[ M_s^n(x) = 2\\beta_s^2 D_{s,11} \\left[ \\frac{Q_2^n}{2\\beta_s^3 D_{s,11}} f_4(\\beta_s x) + \\frac{M_2^n}{2\\beta_s^2 D_{s,11}} f_3(\\beta_s x) \\right] \\] \n(2.170)\n\n\\[ Q_s^n(x) = 2\\beta_s^3 D_{s,11} \\left[ \\frac{Q_2^n}{2\\beta_s^3 D_{s,11}} f_2(\\beta_s x) - \\frac{M_2^n}{\\beta_s^2 D_{s,11}} f_4(\\beta_s x) \\right] \\] \n(2.171)\n\n\\[ N_{s,l}^i(x) = 0 \\quad \\text{and} \\quad N_{s,l}^f(x) = \\frac{p_0 r_s}{2} \\] \n(2.172)\n\n\\[ N_{s,t}^n(x) = \\left[ \\frac{u_s^n(x)}{r_s} + \\frac{(A_{s,11} - A_{s,12}) p_0}{4\\beta_s^4 A_{s,11} D_{s,11} r_s} \\right] \\left( A_{s,22} - \\frac{A_{s,12}^2}{A_{s,11}} \\right) + \\frac{A_{s,12}}{A_{s,11}} N_{s,t}^n(x) \\] \n(2.173)\n\nThe longitudinal and tangential stresses at the inside and outside surface of the shell are given by:\n\n\\[ \\sigma_{s,l,i}^n(x) = \\frac{N_{s,l}^n(x)}{t_s} + \\frac{6M_{s}^n(x)}{t_s^2} \\] \n(2.174)\n\n\\[ \\sigma_{s,l,o}^n(x) = \\frac{N_{s,l}^n(x)}{t_s} - \\frac{6M_{s}^n(x)}{t_s^2} \\] \n(2.175)\n\n\\[ \\sigma_{S,t,l}^n(x) = \\frac{N_{S,t}^n(x)}{t_S} + \\frac{6D_{S,12}}{D_{S,11}} \\frac{M_t^n(x)}{t_S^2} \\] \\hspace{1cm} (2.176)\n\n\\[ \\sigma_{S,t,o}^n(x) = \\frac{N_{S,t}^n(x)}{t_S} - \\frac{6D_{S,12}}{D_{S,11}} \\frac{M_S^n(x)}{t_S^2} \\] \\hspace{1cm} (2.177)\n\nCHAPTER 3\n\nNUMERICAL (FINITE ELEMENT) MODELING\n\n3.1 Introduction\n\nTo investigate the behavior of complicated structure like FRP flanges which is difficult to analyze all elements analytically one of the best techniques is the finite element model. FEM is a useful way to provide an acceptable prediction of the behavior of a complex structure. To get the highest accuracy, it requires creating a model with the fine meshing system by means of various elements, that reflects perfectly specifications of the system including the material properties, structures, and the assembly.\n\nThe presented numerical models for FRP bolted flange joints in this chapter are an attempt to validate the analytical model. Besides this, finite element analysis cannot duplicate experimental testing exactly, therefore, the experimental tests have been conducted on FRP bolted joints to validate the results obtained from experimental, analytical and numerical methods. In addition, to validate the analytical model, finite element analysis gives us an indication of the overall behavior and performance of FRP bolted joint.\n\nThis chapter describes the numerical procedure of the 3 different models of Fiber reinforced plastic flanges for two sizes of the flange with NPS 3 class 150 and NPS 12 class 150. To create and analyzed the finite element models, the program ANSYS® Mechanical 16.02 and ANSYS Composite PrepPost (ACP) 16.2 were used.\n\nThe three finite element models considered in this chapter are:\n\n1- Finite element model for the flange without the hub;\n2- Finite element model for the flange with the hub;\n3- Finite element model with ANSYS Composite PrepPost (ACP).\n\nEach finite element model of the bolted joint consists of two phases:\n\n- Initial tightening phase: the first stage is at the flange bolt-up following the initial tightening of the flange. The tightening force compresses the two parts of the flange as well as the gasket and it is represented by a uniform and horizontal distribution of the contact pressure.\n\n- Pressurization phase: A pressure is applied on the inside surface of the flange; the inside pressure also creates a pressure on the flat surfaces at the end of the shell of the flange.\n\n### 3.2 Applied loading\n\nThe loading consists of the hydrostatic end load, internal lateral pressure, and initial bolt forces. The initial gasket seating is provided by the pre-load in the bolts and is referred to as the seating condition. In this case, the gasket deforms filling the irregularities on the flange face in order to make a full contact over its entire surface. The bolt load change during pressurization can be obtained from the compatibility of displacement. In order to study the short-term behavior of FRP bolted joints, the bolt load is assumed to remain constant as in practice, by retightening the bolts, they maintain the required load to prevent leakage. It is worth noting that in the real case, creep and relaxation can happen in the flange and gasket. This issue of load relaxation is complex to consider because of the creep of the resin and woven roving of the composite material, the data of which are not available. In all models, the tightening forces are applied at the same time and they are identical. Therefore, this hypothesis allows us to consider the bolted flange joint model as axisymmetric, and just 1/4 and 1/12 can be modeled for the flange with NPS 3 and NPS 12 respectively.\n\n#### 3.2.1 Pretension load on bolts\n\nIn the FE model, the bolt force is applied as the pre-tension load and then the position is locked in the subsequent stage. The material properties of the bolts are given in table 3.1.\n\nTable 3-1 Material properties of the bolts\n\n| Properties | Value | Unit |\n|-----------------------------|-------|--------|\n| Young Modulus | 210 | GPa |\n| Poisson's ratio | 0.3 | |\n| Tensile yield strength | 250 | MPa |\n| Tensile ultimate strength | 460 | MPa |\n| Density | 7,850 | kg/m³ |\n\nTo get the proper sealing in the bolted flange joints assembly the following conditions must be met:\n\n- Sufficient compression force must be applied to fill the porosities on the face of the flanges.\n- A minimum compression force must be maintained on the joint during the operating condition to ensure the proper sealing of the joint.\n\nIn order to determine the required compressive force to satisfy the above conditions, the following equations are used:\n\n\\[\nW_{m2} = \\pi bGy\n\\] \n\n(3.1)\n\n\\[\nW_{m1} = \\frac{\\pi}{4} G^2 p_0 + 2b\\pi Gmp_0\n\\] \n\n(3.2)\n\nwhere \\( W_{m2} \\) and \\( W_{m1} \\) are the initial tightening bolt force and the operating bolt force respectively.\n\nThe minimum bolt force required to seal the bolted flange joint (\\( W_m \\)) is the maximum force between \\( W_{m2} \\) and \\( W_{m1} \\).\n\nThe pretension load on the bolts is determined from:\n\n\\[ S_b = \\frac{F_b}{A_b} \\] \\hspace{1cm} (3.3)\n\n\\[ A_b = \\pi r_v^2 \\] \\hspace{1cm} (3.4)\n\nwhere \\( S_b \\) is the tightening stress of the bolt, \\( F_b \\) is the bolt force and \\( A_b \\) is the bolt stress area.\n\nAccording to the ASME BPV Code, Sections X, it is possible to calculate the bolt stress area as follow:\n\n\\[ A_b = \\pi \\left[ \\left( \\frac{d_2}{2} + \\frac{d_3}{2} \\right) / 2 \\right]^2 \\] \\hspace{1cm} (3.5)\n\n\\[ d_3 = d_v - 1.2268pt \\]\n\\[ d_2 = d_v - 0.6495pt \\]\n\nThen\n\n\\[ A_b = \\pi \\left[ \\frac{2d_v - 1.8763pt}{4} \\right]^2 \\] \\hspace{1cm} (3.6)\n\nTable 3-2 Bolt stress and bolt force for the NPS 3 and 12 FRP bolted flange joint\n\n| Flange size | \\( A_b \\) (mm\\(^2\\)) | \\( F_b \\) (N) |\n|-------------|----------------------|---------------|\n| NPS 3 | 197.84 | 14580 |\n| NPS 12 | 388.15 | 10000 |\n\nIn ANSYS® Mechanical the torque load is applied through the pre-existing command called “bolt pretension”. To apply the axial bolt load as shown in figure 3.1, a special coordinate system is created at the center of the bolt. Then the bolt load is applied in two steps. In the first step, the pre-tightening bolt force is applied then it is locked to maintain the torque load for the subsequent steps.\n\n3.2.2 Internal pressure\n\nWhen the pre-tightening bolt force is applied to each bolt on the flange, the pressurization phase has begun. The pressure that is applied on the internal surface of the flanges with NPS 3 and 12 is 1.034 MPa (150 Psi) and 0.345 MPa (50 Psi). As shown in figure 3.2 the inside pressure creates a pressure on the top surface of the shell in the flanges. This stress that applies to the end of the flange is equal for both flanges and given by:\n\n\\[ p_w = \\frac{p_o A_p}{A_S} \\] \n\n(3.7)\n\n\\[ A_p = \\pi r_i^2 \\] \n\n(3.8)\n\n\\[ A_S = \\pi (r_i + t_s)^2 - A_p \\] \n\n(3.9)\n\nThen\n\n\\[ p_w = \\frac{p_o r_i^2}{(2r_i + t_s)t_s} \\] \n\n(3.10)\n\nwhere $p_o$ is the inside pressure, $r_f$ is the flange inside radius, $t_s$ is the thickness of the shell, $A_p$ is the inside surface area of the flange and $A_S$ is the cross-section area of the shell. The applied pressure in the flanges with NPS 3 and 12 are listed in table 3.3.\n\n\n\nFigure 3-2 Inside pressure $p_o$ and wall pressure $p_w$ at pressurization phase\n\nTable 3-3 Inside pressure and wall pressure for NPS 3 and 12 FRP flange\n\n| Flange size | $p_o$ (MPa) | $p_w$ (MPa) |\n|-----------------------------|-------------|-------------|\n| NPS 3 | 1.034 | 2.86 |\n| NPS 12 with the hub | 1.034 | 4.27 |\n| NPS 12 without the hub | 0.345 | 1.5 |\n\n### 3.3 Modeling of the gasket\n\nOne of the key factors in successful bolted joint simulation is the modeling of the gasket material. The gasket compression, especially in full-face flanges, has a strong influence on the flange rotation and leakage performance. In full-face flanges, the gasket is compressed...\n\nunevenly and in order to resist the fluid inside pressure, the bolts must be tight enough. In this model, the gasket deforms plastically under the flange surfaces, ensuring full contact over its entire area. The mechanical behavior of the gasket is represented by nonlinear loading and unloading curves obtained from load-displacement tests. Figure 3.3 depicted test data of a Teflon gasket that is used in this study. The geometry of the gasket for NPS 3 and 12 flanges are listed in table 3.4.\n\n\n\n**Figure 3-3 Gasket compression tests**\n\nFour critical steps are likely to occur during gasket compression from the initial tightening to pressurization. In composite flanges using the full-face width, the compression stresses of the joint are zero at the holes of bolts. As depicted in figure 2.8, flange bolt-up is conducted first by hand followed by tightening with a torque ranch where the gasket compression is achieved by a non-uniform distribution of the contact pressure. The flange joint is gradually pressurized and in general, a more pronounce trapezoidal distribution takes place. In this phase, the flange rotates while the inside region of the compressed gasket unloads. Therefore, the contact pressure follows a trapezoidal distribution with a minimum contact pressure at the inner radius.\n\nof the gasket and maximum contact pressure at the outer radius of the gasket. Usually, too much rotation will cause the loosening of the contact pressure at the bolt holes, in which case leakage will occur at this location.\n\nTable 3-4 Geometry of the gasket for the flange with NPS 3 and 12\n\n| Flange size | Inside diameter | Outside diameter | Thickness | Number of holes | Hole diameter | Hole circle |\n|-------------|----------------|------------------|-----------|-----------------|--------------|------------|\n| NPS 12 | 304.8 | 482.6 | 3 | 12 | 25.4 | 431.8 |\n| NPS 3 | 76.2 | 190.5 | 1.59 | 4 | 19.05 | 152.4 |\n\nIn order to simplify the numerical model, the gasket contact pressure distributions are considered to be triangular.\n\n### 3.4 Boundary conditions\n\nBecause of the axisymmetry, the boundary conditions applied to the finite element models are the symmetry conditions to the nodes that belong to both sides of the two axial planes of the flange triangular portion and to those that are in the plane that passes through the middle of the gasket thickness. As depicted in figure 3.4 the axial displacement in the middle of the gasket and the bolt is zero. The nodes of the flange symmetrical plane are free to move in the radial direction while their rotation about any radius is fixed.\n\nSince the flange is symmetrical in nature, the cyclic symmetry is applied at two sides of the cut section as shown in figure 3.5. The axial displacement at the plane that passes through the gasket mid-thickness and cuts the bolts in two parts is constrained; the flange face is expected to compress the gasket over the full face once the bolt load is applied. It is worth noting that the shell length should be long enough to eliminate the edge effects at top. This simplified\n\nmodel limits the CPU requirements and makes the calculations faster. A standard friction model was used to control sliding at the bolt-flange and gasket-flange interfaces. The coefficient of static friction of 0.7 for rough surface and 0.15 for a smoother surface.\n\n\n\n### 3.5 3D solid finite element models\n\nThe numerical Finite element analysis was conducted on 3 different models to compare the results obtained with the developed analytical FRP bolted flange model. The axisymmetric model assembly is made of three parts; the flange, the gasket ring, and the bolt. In the case of an assembly with an identical flange pair, because of symmetry with respect to a plane that passes through the gasket thickness, only one flange including half of the gasket thickness is modeled. To model the flange and bolts, 3D 8-node brick solid element (Solid185) was used. These elements are defined by three degrees of freedom per nodes and support plasticity, large deflection and high strain capabilities. In addition, the contact pairs which consist of contact elements (CONTACT174) and target segment elements (TARGE170) were defined the\n\ninterface between the flange, gasket, and bolts. The volume elements were used to model the existing space between the flange and the bolt. The flanged connection is assumed to be sufficiently far from the end enclosures of the vessel, such that the longitudinal and bending is limited only to its small adjacent portion of the vessel compared to the overall length. In order to conduct a direct comparison between the results obtained from the analytical model and numerical model, the two working conditions, initial pre-tightening (bolt-up) and pressurization, are analyzed.\n\n\n\n### 3.5.1 Finite element model for the flange with NPS 12 class 150\n\nTwo different finite element models of the NPS 12 class 150 and 50 of FRP bolted flanged joint were developed under the software ANSYS® Mechanical 16.02. As shown in figures 3.6 and 3.7, the first model is the flange without the hub and the second one is the flange with the hub. A linear static finite element analysis was performed with these two models. The 3D model includes three parts; the flange, the gasket, and the bolt. In the case of an assembly with an identical flange pair, because of symmetry with respect to a plane that passes through the mid gasket thickness, only one flange including half of the gasket thickness is modeled.\n\n188.8.131.52 Geometry of the flange\n\nFigure 3.8 and 3.10 illustrate the geometric features of the NPS 12 flanges with the hub and without the hub, that are valid for the class 150 and 50 respectively. The flange dimensions (table 3.5) were obtained from the ASME code section X. The thicknesses of the ring, hub, and shell are not definitive in the finite element model, depending on the arrangement of the laminate in each part of the FRP bolted flange joint. The arrangement of the laminate in the flange is elaborated in 184.108.40.206.\n\nThe flanged connection is assumed to be sufficiently far from the end enclosures of the vessel, such that the shear and bending loads are limited only to the small adjacent portion of the shell and do not influence the hub. FRP flanges with and without the hub are designed based on the geometry mentioned above and are drawn in Catia software. The generated models are then transferred directly to ANSYS. Figure 3.9 and 3.11 show the designed flanges with Catia for the NPS 12 FRP flanges.\n\nAccording to the geometry of the flange (table 3.5 and 3.6), the thickness of the ring is equal to FT which is 47.62 mm and 30 mm for the NPS 12 flange with the hub class 150 and the NPS 12 flange without the hub respectively.\n\nFigure 3-8 Geometry of the NPS 12 flange with the hub\n\nTable 3-5 Dimensions of the NPS 12 flange with the hub\n\n| Unit | Inside dia., D | Outside dia., A | Bolt circle, B | Bolt hole dia., C | Dia. spot facing | Bolts size dia. | No. of bolts | Flange and nozzle thickness, 1.034 MPa, 150 Psi |\n|------|----------------|-----------------|----------------|-------------------|-----------------|----------------|-------------|-----------------------------------------------|\n| mm | 304.8 | 482.6 | 431.8 | 25.4 | 57.1 | 22.2 | 12 | FT 47.6 NT 16.9 |\n| in | 12 | 19 | 17 | 1 | 2 ¼ | ¾ | 12 | 1 ¾ ¾ |\n\nFigure 3-9 Geometry of FRP flange with the hub modeled in Catia\n\nFigure 3-10 Geometry of the NPS 12 flange without the hub\n\nTable 3-6 Dimensions of the NPS 12 flange without the hub\n\n| Unit | Inside dia., D | Outside dia., A | Bolt circle, B | Bolt hole dia., C | Dia. spot facing | Bolts size dia. | No. of bolts | Flange and nozzle thickness, |\n|------|----------------|-----------------|----------------|-------------------|-----------------|-----------------|-------------|----------------------------|\n| | | | | | | | | 0.345 MPa, 50 Psi |\n| mm | 300 | 480 | 425 | 19 | 57.1 | 16 | 12 | FT |\n| In | 11.8 | 18.9 | 16.7 | 0.75 | 2.2 | 0.6 | 12 | NT |\n\nFigure 3-11 Geometry of FRP flange without the hub modeled in Catia\n\n220.127.116.11 Lamina properties\n\nFRP flanges that are used in this study are made out of laminates of E-glass fibers as a reinforcement and vinyl-ester as a resin. There are two types of laminates for this composite:\n\n1. Chopped strand mat: This laminate is fabricated by mixing the fibers randomly with the resin. The volume of the fiber in this laminate is 35% and the thickness of this ply is 1 mm.\n\n2. Woven roving: Continuous filaments of fiber wetted with the specified resin applied are wound in a systematic manner under controlled tension and cured on a mandrel or other supporting structure. This laminate is fabricated by interlacing the wetted fibers in a resin, passing in one direction with other fibers at a 90-degree angle to them. The volume of the fiber in this laminate is about 60% and the thickness of this ply is 0.9 mm.\n\nThe elastic, mechanical and physical properties of mat and woven roving plies are given by Hoa (1991) listed in Table 3.7.\n\nIn order to compare the analytical and numerical results of FRP bolted flange joints, the flange is divided into three major parts (ring, hub, and shell) and subsequently, each part has a different thickness and arrangement of plies but they are all composed of a mat and woven roving laminates. It is worth noting that in reality, FRP flange laminates are hand layered-up with midplane symmetry as shown in figure 3.12.\n\nTable 3-7 Mechanical, physical and elastic properties of the laminates\n\n| Properties | M (Chopped strand Mat) | R (Woven roving) | C (C-Glass veil) | Unit |\n|-----------------------------------|-------------------------|------------------|------------------|------|\n| Fiber volume | 30-35 | 50-60 | 10 | % |\n| Density | 1.38 | 1.71 | 1.25 | g/cm³|\n| Thickness | 0.97 | 0.99 | 0.61 | mm |\n| Young's modulus (X direction) | 7929 | 18791 | 4888 | MPa |\n| Young's modulus (Y direction) | 7929 | 18791 | 4888 | MPa |\n| Shear modulus | 2985 | 2654 | 1827 | MPa |\n| Poisson's ratio | 0.34 | 0.15 | 0.34 | |\n| Tensile yield strength (X direction) | 121 | 84 | 73 | MPa |\n| Tensile yield strength (Y direction) | 121 | 84 | 73 | MPa |\n| Compressive yield strength (X direction) | 95 | 66 | 42 | MPa |\n| Compressive yield strength (Y direction) | 95 | 66 | 42 | MPa |\n| Shear strength | 61 | 56 | 27 | MPa |\n\nAs mentioned previously, FRP flange is composed of three parts, ring, hub and shell, and due to different thickness, each part has a different arrangement of plies. There are two types of plies, mat and woven roving and the layer stacking sequence is symmetric for each part of the flange. The material and physical properties of the mat and the woven roving laminate are given in table 3.7. As mentioned before the thickness of the mat and woven roving layers is 0.9 mm and 1 mm respectively. In all FE models, the inner layer of the flange is installed against corrosion and because of its very small thickness, this layer is neglected in the numerical FE model.\n\nFigure 3-12 General laminate for the shell\n\nFigure 3.12 illustrates the general laminates of the shell. The laminate of the shell consists of 18 layers and the thickness of the shell is 17.1 mm.\n\nFor FRP flanges modeled in this study, the following assumptions are made:\n\n- Chopped strand mat and woven roving fabrics that are used in laminates are considered macroscopically homogeneous, elastically linear and orthotropic.\n\n• In all interfaces and junctions, it is assumed that there is perfect adhesion and bonding between layers.\n\n• The fibers are assumed to be evenly distributed and perfectly aligned in the woven roving layers with good adhesion in the fiber-matrix interface.\n\nGeneral laminate and the layer stacking sequence for the hub and ring of the NPS 12 flange with the hub are depicted in figures 3.14 and 3.15. The number of laminas in the hub is 44 and in the ring is 50 with a total thickness of the hub and the ring is 41.8 mm and 47.5 mm respectively.\n\nFigure 3-13 General laminate for the ring of the NPS 12 flange without the hub\n\n| Layer | Description | Thickness |\n|-------|----------------------|-----------|\n| 1 | Mat | 44 |\n| 2 | Woven roving | 43 |\n| 3 | Mat | 42 |\n| 4 | Woven roving | 41 |\n| 5 | Mat | 40 |\n| 6 | Woven roving | 39 |\n| 7 | Mat | 38 |\n| 8 | Woven roving | 37 |\n| 9 | Mat | 36 |\n| 10 | Woven roving | 35 |\n| 11 | Mat | 34 |\n| 12 | Woven roving | 33 |\n| 13 | Mat | 32 |\n| 14 | Woven roving | 31 |\n| 15 | Mat | 30 |\n| 16 | Woven roving | 29 |\n| 17 | Mat | 28 |\n| 18 | Woven roving | 27 |\n| 19 | Mat | 26 |\n| 20 | Woven roving | 25 |\n| 21 | Mat | 24 |\n| 22 | Woven roving | 23 |\n| 23 | Woven roving | 22 |\n| 24 | Mat | 21 |\n| 25 | Woven roving | 20 |\n| 26 | Mat | 19 |\n| 27 | Woven roving | 18 |\n| 28 | Mat | 17 |\n| 29 | Woven roving | 16 |\n| 30 | Mat | 15 |\n| 31 | Woven roving | 14 |\n| 32 | Mat | 13 |\n| 33 | Woven roving | 12 |\n| 34 | Mat | 11 |\n| 35 | Woven roving | 10 |\n| 36 | Mat | 9 |\n| 37 | Woven roving | 8 |\n| 38 | Mat | 7 |\n| 39 | Woven roving | 6 |\n| 40 | Mat | 5 |\n| 41 | Woven roving | 4 |\n| 42 | Mat | 3 |\n| 43 | Woven roving | 2 |\n| 44 | Mat | 1 |\n\nFigure 3-14 General laminate for the hub\n\n| Layer | Material | Thickness |\n|-------|----------------|-----------|\n| 1 | Woven roving | 49 |\n| 2 | Mat | 48 |\n| 3 | Woven roving | 47 |\n| 4 | Mat | 46 |\n| 5 | Woven roving | 45 |\n| 6 | Mat | 44 |\n| 7 | Woven roving | 43 |\n| 8 | Mat | 42 |\n| 9 | Woven roving | 41 |\n| 10 | Mat | 40 |\n| 11 | Woven roving | 39 |\n| 12 | Mat | 38 |\n| 13 | Woven roving | 37 |\n| 14 | Mat | 36 |\n| 15 | Woven roving | 35 |\n| 16 | Mat | 34 |\n| 17 | Woven roving | 33 |\n| 18 | Mat | 32 |\n| 19 | Woven roving | 31 |\n| 20 | Mat | 30 |\n| 21 | Woven roving | 29 |\n| 22 | Mat | 28 |\n| 23 | Woven roving | 27 |\n| 24 | Mat | 26 |\n| 25 | Woven roving | 25 |\n| 26 | Mat | 24 |\n| 27 | Woven roving | 23 |\n| 28 | Mat | 22 |\n| 29 | Woven roving | 21 |\n| 30 | Mat | 20 |\n| 31 | Woven roving | 19 |\n| 32 | Mat | 18 |\n| 33 | Woven roving | 17 |\n| 34 | Mat | 16 |\n| 35 | Woven roving | 15 |\n| 36 | Mat | 14 |\n| 37 | Woven roving | 13 |\n| 38 | Mat | 12 |\n| 39 | Woven roving | 11 |\n| 40 | Mat | 10 |\n| 41 | Woven roving | 9 |\n| 42 | Mat | 8 |\n| 43 | Woven roving | 7 |\n| 44 | Mat | 6 |\n| 45 | Woven roving | 5 |\n| 46 | Mat | 4 |\n| 47 | Woven roving | 3 |\n| 48 | Mat | 2 |\n| 49 | Woven roving | 1 |\n\nFigure 3-15 General laminate for the ring of the NPS 12 flange with the hub\n\n18.104.22.168 Meshing and contacts\n\nIn ANSYS® Mechanical, all parts of the flange are modeled using Solid185 element which is a 3D 8-node element and exhibits quadratic displacement behavior that has three degrees of freedom per node. This type of element supports plasticity, hyper-elasticity, and large deflection. Figure 3.16 shows the mesh of the model for the NPS 12 flange without the hub.\n\n\n\nThe mesh of the gasket is made with SOLID186 elements which are 3D 20-node similar elements to SOLID185. This element exhibits quadratic displacement behavior and has three degrees of freedom per node.\n\nOne of the fundamental building blocks of a good simulation to reproduce the real behavior of the bolted flange joint is employing the correct element of the contact surface in the FE model. In this model, the contact between the bolt and flange ring is to be simulated with a frictional surface having a coefficient of friction of 0.15. As to the other contact between the ring and\n\ngasket a coefficient of friction of 0.7 is used due to the surface roughness. The contact element used in the model is CONTACT174 having eight nodes and used in conjunction 3D target interface surface elements. The element TARGE170 is employed in this case and is associated with CONTACT174 elements.\n\nAs mentioned before in section 3.2.1 the bolt load is applied through the command “pretension”. In the numerical model, the element PRETS179 is involved in the application of bolt load pretension. This type of element can be used in a 2D or 3D model and has one degree of freedom that can be defined in a direction specified by the pretension force.\n\nIn the second step, the pressure on the inside surface of the flange was applied while the bolt pretention varies as a result of the flexibility of the bolted joint. During the pressurization phase, the pretension bolt load is locked to maintain the torque load on the bolts. The SURF154 elements used to simulate the hydrostatic end effect and they are defined by 8 nodes and are specific to surface in 3D FE models.\n\nFigure 3-17 Finite element model of the isotropic NPS 3 FRP flange\n\n3.5.2 Finite element model for the flange with NPS 3 class 150\n\nTwo different finite element models were developed to study the behavior of the NPS 3 class 150 FRP flange joint under the software ANSYS® Mechanical.\n\nThe two FE models considered in the study are:\n\n1- FE model with an isotropic behavior:\n In this model, the material behavior of FRP flange is assumed to be linear elastic with an equivalent isotropic elastic modulus equal to 13927 MPa. The corresponding linear elastic finite element model of the isotropic FRP flange is depicted in Figure. 3.17.\n\n2- FE model with an anisotropic behavior:\n This model was developed to introduce the real anisotropic behavior of FRP flange. This model is basically the same as the previous model. According to the manufacturer drawings the material properties of the composite are listed below:\n\n $E_L = 13445$ MPa\n $E_T = 14686$ MPa.\n $v_L = v_T = 0.28$\n\n $G_{LT} = 25442$ MPa.\n\nwhere $E_L$ and $E_T$ are the young’s moduli in longitudinal and tangential directions, $v_L$ and $v_T$ are the Poisson’s ratio in longitudinal and tangential directions, $G_{LT}$ is the shear moduli in L-T plane.\n\n22.214.171.124 Geometry of the flange\n\nFigure 3.18 and Table 3.8 illustrates the geometry and dimensions of the NPS 3 FRP flange with the hub. As mentioned earlier, the flanged connection is assumed to be sufficiently far from the end enclosures of the vessel, such that the longitudinal and bending has a local effect.\n\nTable 3-8 Geometry of the NPS 3 flange (ZCL Composite Co.)\n\n| Unit | Inside dia., D | Outside dia., A | Bolt circle, B | Bolt hole dia. | Dia. spot facing | Bolts size dia. | No. of bolts | Flange and nozzle thickness, 1.034 MPa, 150 Psi |\n|------|----------------|-----------------|----------------|----------------|------------------|----------------|-------------|-----------------------------------------------|\n| | | | | | | | | FT | Hub TH. | Hub HT. | NT |\n| mm | 76.2 | 190.5 | 152.4 | 19.05 | 36.58 | 15.87 | 4 | 20.65 | 15.42 | 54.33 | 6.35 |\n| in | 3 | 7.5 | 6 | 0.75 | 1.44 | 0.625 | 4 | 0.813 | 0.607 | 2.139 | 0.250 |\n\nThe flange dimensions that are listed in Table 3.8 were obtained from ZCL Dualam Inc. composite flange manufacturing company.\n\nFigure 3-18 Geometry of the NPS 3 flange with the hub\n\nSimilar to the FE model of NPS 12 FRP flange, the geometry of the NPS 3 flange is designed in Catia and transferred to ANSYS using IGES file format. Figure 3.19 depicts the designed NPS 3 FRP flange in Catia and ANSYS workbench.\n\n126.96.36.199 Mesh of flange and contacts\n\nThe FE mesh model of the NPS 3 FRP bolted flanged joint is shown in figure 3.20. The elements used in these models are the same as those used in 188.8.131.52. The flange is modeled using Solid185 elements and the gasket is modelled using Solid186 elements. The contact elements used between flange ring and bolt head and gasket are CONTA174 associated with TARGE170 elements. The element PRETS179 and SURF154 are used to apply the bolt load pretension and hydrostatic end effect.\n\n3.5.3 Finite shell element model ANSYS Composite PrepPost (ACP)\n\nThis model is composed of layered composites represented by shell elements. In this model, the mesh is generated using ANSYS Workbench while the composite layup with fiber orientation and material details were defined in ANSYS Composite PrepPost (ACP). ANSYS Composite PrepPost is an add-on module dedicated to the modeling of layered composite structures and provides all necessary functionalities for the analysis of layered composite\n\nstructures. In order to build a solid model out of shell elements in ACP, the extrusion method was used.\n\n\n\nIn this model, it is necessary to divide the bolted flange joint into two parts. The first part is the flange made from composite material and the rest is the group of parts like the bolts and gasket that are made from none-composite materials. The flange is defined in ANSYS ACP which is linked to the other parts in ANSYS Workbench. In ANSYS ACP, first, the composite fabrics including materials and the thickness of the layers as well as the assembly and element orientation of laminate are defined. Then, the ply sequence for the groups of elements in the composite is defined. Figure 3.21 shows the structure of the numerical model in ANSYS Composite PrepPost (ACP).\n\nAs shown in figure 3.21, in part B or ACP (Pre), the geometry of the flange, as well as the material properties of the laminas and the laminate arrangement and orientation of the flange, are defined. The non-composite parts such as bolts and gasket are modeled in parts D (Geometry) and E (Mechanical model). Then, by connecting parts B and E, the final model is\n\ngenerated in part F (Static structural). Finite element model for NPS 3 FRP bolted flange joint in ANSYS ACP is illustrated as an example in figure 3.22.\n\nFigure 3-21 Structure of the numerical model in ANSYS Composite PrepPost (ACP)\n\nFigure 3-22 Finite element model for NPS 3 FRP bolted flange joint in ANSYS ACP\n\n184.108.40.206 Lamina properties\n\nThere are three types of laminas used in this composite. The elastic, mechanical and physical properties of M for Chopped strand Mat, R for Woven roving and C for C-Glass veil are listed in table 3.7. The properties of Chopped strand Mat and Woven roving laminas are explained in details in 220.127.116.11.\n\nThe third material used in FRP flange composite is C-Glass veil which consists of fibers to reinforce plies and are resistant to corrosion. Thus, because of the high corrosion resistance, this type of ply is installed on the inside or outside surface of the composite flange that is in contact with the corrosive environment to protect the composite flange from chemical damages. The thickness of this ply is very small and has a very low proportion of fibers that is about 10% of carbon. According to Conlinsk, P. (2008), C-Glass veil is followed by two or three layers of chopped strand mat ply to increase the corrosion resistance of the flange.\n\n18.104.22.168 Flange laminates\n\nThe sequence of the layers used in the construction of the NPS 3 FRP flange laminate according to the company (ZCL Dualam Inc.) is as follows:\n\nFlange face sequence: CMM/2(MRMRM)/3(MRM);\n\nHub sequence: CMM/MRMM/3(MRM);\n\nShell sequence: CMM/MRMM.\n\nwhere \\( C = \\) C-Glass veil, \\( M = \\) Chopped strand mat, and \\( R = \\) Woven roving\n\nIt is worth noting that each layer has different material properties in three directions, therefore, the final result is a flange with anisotropy and multilayered composite behavior. The general laminate layouts of all parts of the NPS 3 FRP flange are shown in figures 3.23 to 3.25. The number of plies in the ring is 22 with a thickness of 20.65 mm, the number of plies in the hub is 16 with a thickness of 15.42 mm and the number of plies in the shell is 7 with a thickness of 6.34 mm. Figure 3.25 illustrates FRP flange laminate as modeled in ANSYS ACP.\n\nFigure 3-23 General laminate for the shell\n\nFigure 3-24 General laminate for the ring\n\nFigure 3-25 General laminate for the hub\n\nFigure 3-26 FRP flange laminate in ANSYS ACP\n\n22.214.171.124 Geometry of the flange\n\nThe geometry of the NPS 3 FRP flange is the same as that given in 126.96.36.199. In this model, ANSYS Composite PrepPost (ACP) is used to define layered composites represented by shell elements. The extrusion method is used to build a solid model out of shell elements in ACP environment. Figure 3.27 shows the geometry of the flange model in ANSYS ACP.\n\nAs shown in figure 3.28 the model of FRP flange begins with the shell model and after transferring the model to ANSYS ACP, the laminate is modeled according to the sequence of the layers and their thickness. The geometry of bolts and gasket is then added as shown in figure 3.29. As mentioned earlier the non-composite parts of FRP bolted flange joint are modeled separately.\n\nFigure 3-27 Geometry of the flange in ANSYS ACP\n\nFigure 3-28 Geometry of the flange in ANSYS geometry\n\n188.8.131.52 Meshing and contacts\n\nThe complete FE mesh of the NPS 3 FRP bolted flanged joint is shown in figures 3.30. The elements used in this model are the same as those used in 184.108.40.206. The flange is modeled with ANSYS Composite PrepPost (ACP) using a different type of element layers. Solid185 elements are used for the flange and Solid186 elements are used for the gasket. Contact elements of the type CONTACT174 associated with TARGET170 elements are employed to model the various contact surfaces between flange ring and bolt head and gasket. The element PRETS179 and SURF154 are used to apply bolt load pretension and hydrostatic end effect.\n\nFigure 3-29 Geometry of the bolts and gasket\n\nFigure 3-30 FE mesh model for the flange\n\nFigure 3-31 FE model mesh for bolts and gasket\n\nFigure 3-32 Final FE mesh model for the FRP bolted flange joint\n\nCHAPTER 4\n\nEXPERIMENTAL SET-UP\n\n4.1 Introduction\n\nThe relevant experimental tests used to carry out on real fiber reinforced plastic bolted flanged assemblies designed according to ASME BPV Code Section X as is described in this section. An experimental investigation conducted on a well-equipped test rig is a reliable approach to evaluate the proposed numerical and analytical model for the NPS 3 FRP bolted flange joint. The detailed explanation of the intricate mechanisms of the test bench used in the study of the bolted flange joint behavior with high-level instrumentation is vital.\n\nThe primary purpose of the designed experimental test stand was to measure the real behavior of the composite bolted flange joint. The existing Hot Blow Out Test Bench (HOBT) was adapted and equipped with accurate measurement devices such as strain gauges, LVDTs, thermocouples, and pressure transducers to measure the different parameters of FRP flange. This chapter elaborates the operational mechanisms of the HOBT rig and test procedure involved in this study.\n\n4.2 Bolted flanged rig\n\nThe HOBT test rig shown in figure 4.1, was used throughout the experimental investigation. This test rig is made of ANSI B16.5 NPS 3 Class 150 FRP full-face flanges used with a 1/16 Teflon gasket. The HOBT rig was initially designed and built for the Static and Dynamic Sealing Laboratory to perform hot blowout tests of Teflon gaskets used in with a metallic raised face bolted flange joint configuration. This test rig was modified to accommodate for the analysis of FRP bolted flange joint with full-faced gasket. As depicted in figure 4.1, the general configuration of this test rig is composed of 8 parts to carry out the stress analysis validation of FRP bolted flange joint. These parts are as follows:\n\nA. Proportional integral derivative (PID) controller;\nB. Data acquisition system;\nC. FRP flange with a cap;\nD. Strain gauges attached to the flange surface;\nE. Thermocouples;\nF. Bolt load measurement system;\nG. Pressurization system;\nH. Control panel of the pressurization system and leak detection.\n\nFigure 4-1 General configuration of HOBT test rig\n\nThe bottom flange of the rig is bolted to a solid shaft core that is welded to a supporting base in the form of a pedestal. As shown in fig 4.2 a 2000-Watt cartridge heater is inserted into the metal core to heat up the entire fixture from the inside surface to the outside surface of the flange. There are four thermocouples on the HOBT test rig one of which is connected to a\n\nproportional integral derivative (PID) controller which continuously monitors and controls the temperature. In order to measure the temperature lag between the flange and bolts, one thermocouple is installed one of the bolts. Another thermocouple is installed in the flange to measure the flange temperature at the vicinity of the gasket. There is also a removable insulation cover to reduce heat loss to the outside boundary and provides a uniform thermal distribution to the flange. The test rig includes the flanges made of FRP flanges. The pressurization system of the test rig is designed to apply internal gas pressure of up to 3.447 MPa (500 psi). The test rig is designed in such a way that the gasket load can easily be deduced from the measured bolt load.\n\n\n\n### 4.2.1 Bolt load measurement\n\nThe bolt load measurement system known as the extensometer is shown in figure 4.3. In order to tighten and seal the lower and upper mounting flanges, four UNB 5 / 8-18 (in) ASTM A193 bolts are used. The measurement of the load through the elongation of each bolt is achieved by\n\nthe extensometer which is connected to the ceramic tube and rod. As shown in the figure, the ceramic rod is attached to the steel rod that is inserted into the drilled hole at the center of the bolt. The ceramic rods are connected to a full-bridged strain gauged beam that picks up bolt stretch through a bending mechanism. The reason for using the ceramic rods to measure the bolt load and displacements is to perform the tests at high temperatures. By applying bolt torque, the relative movement between the bolt and the steel rod inside the bolt are picked up by the ceramic rod and tube that put the beam under bending to transmit the deformation to the strain gauges and thereby obtain the bolt force.\n\n\n\n### 4.2.2 Displacement and rotation measurements\n\nThe measurement of the gasket displacement is achieved at two diametrically opposite position using the extensometers that have been described previously. As shown in figure 4.4 there are two ball bearings which are used to transmit the axial compression from the metallic screws to the ceramic rods.\n\n4.2.3 The data acquisition system\n\nThe bolt load, axial displacement of the gasket, temperature, strains and time are measured and recorded through Agilent 34970a data acquisition system, National Instrument and PID controller that are connected to the computer under the LabVIEW program. Therefore, a special LabView program was developed to control and monitor the experiment parameters and record data from the various sensors. Appendix B describes the exposed panel of the LabVIEW to control the HOBT test rig and monitor data.\n\n4.3 FRP flange set-up\n\nTo evaluate the stresses three $45^\\circ$ strain rosettes were loaded to the outside surface of the FRP flange near the critical position of the hub to shell junction. A close view of the strain gauges bonded to the FRP flange is shown in figure 4.6. As shown in this figure, the three strain\n\nrosettes SG1, SG2 and SG3 are used to evaluate the longitudinal and tangential stress for comparison with the analytical and numerical models.\n\nFigure 4.7 depicted the $45^\\circ$ strain rosette aligned with the x-y axes. In order to convert the longitudinal strain from each strain gage into strain expressed in the x-y coordinates, the following equation is used:\n\n$$\\varepsilon_x = \\varepsilon_a$$ \\hspace{1cm} (4.1)\n\n$$\\varepsilon_y = \\varepsilon_c$$ \\hspace{1cm} (4.2)\n\n$$\\varepsilon_{xy} = \\varepsilon_b - \\frac{\\varepsilon_a + \\varepsilon_c}{2}$$ \\hspace{1cm} (4.3)\n\n\n\n4.4 Test procedure\n\nThe test procedure starts by introducing the dimension of FRP flange and gasket in the LabVIEW program along with the test conditions. A 1/16 Teflon full-face gasket is first placed on the top of the bottom flange, then the top flange is mounted on the gasket and is positioned to make sure that the two contact screws are in line with the extensometers to measure displacement. Afterward, the bolts are hand tightened. This point is considered as the zero references for bolt load and gasket displacement.\n\nAfter mounting and verifying the gasket and flange position, the next step is to apply the desired compressive load by tightening the nuts with a torque wrench. An initial bolt load of 3270 lb was applied gradually on each instrumented bolt based on the guidelines provided in the ASME code section X and the manufacturer recommendation. The detailed calculation of bolt load is explained in 2.1.11. Equation 4.4 gives the total bolt load according to the recommended torque for the NPS 3 in. FRP flange.\n\n\\[ T = K \\times P \\times D \\] \n\n(4.4)\n\nwhere: $T =$ tightening torque (in-lbs), $K =$ dynamic coefficient of friction, $P =$ total bolt load / number of bolts (lbf), $D =$ nominal bolt diameter (in).\n\nA special tightening procedure based on the criss-cross pattern was used to apply the required bolt load. The bolt torque sequence order followed is 1, 2, 3, 4 as illustrated in Figure 4.8. After applying the bolts loads, a gas pressure equal to 1.034 MPa (150 psi) is applied to the inside of FRP bolted flange joint through a regulator valve which is controlled by the LabView program.\n\nAll the measuring parameters such as the bolt force, the strains at selected locations of the flange hub surface, the temperature and internal pressure are continuously monitored through the data acquisition system and the LabView program. The room temperature is held constant around t 22° C during the test. It is worth noting that all measuring sensors were calibrated at this temperature.\n\nFigure 4-7 Torque sequence (SPEARS, 2014)\n\nCHAPTER 5\n\nRESULTS AND DISCUSSION\n\n5.1 Introduction\n\nIn order to validate the analytical model developed for FRP bolted flange joints, the stress distribution at the outside and inside surface of the flange as well as its radial displacements are compared to the results obtained from the experimental rig and the numerical finite element model. A MATLAB program was used to code the analytical model equations that were developed in chapter 2. This program and all data used in the analytical study are available in Appendix A.\n\nThis chapter is dedicated to present by the results obtained from the analytical model, the numerical finite element model and the experiments under the two operating conditions of bolt-up (pre-tightening) and pressurization (operating). It treats the three different types of flanges namely the NPS 3 FRP flange class 150, the NPS 12 FRP flange class 50 without the hub and the NPS 12 FRP flange class 150 with the hub. In addition, a comprehensive analysis, a comparison and a discussion of the results are provided.\n\n5.2 Results for the NPS 3 FRP flange\n\nIn this part, the experimental and analytical results of the NPS 3 FRP flange are presented and compared to the numerical results obtained with the three FE models of FRP flange joints with three different approaches; isotropy, anisotropy and shell element anisotropy composite using ANSYS ACP. The analytical results were obtained using the MATLAB program as indicated previously. It should be noted that the experimental results are limited to the stresses related to the outside surface of the flange as the stresses at the internal surfaces could not be measured due to the difficulty in getting the wires out of the flange when the latter was pressurized.\n\n5.2.1 Flange stresses\n\nIn figures 5-1 to 5-4, the longitudinal and tangential stress distributions at bolt-up are shown. Each graph shows five curves; three curves obtained from the different FE models and two other curves representing the experimental and analytical results. As mentioned before, the stresses at the internal surfaces could not be measured during the experimental testing however these stresses are shown in figures 5-2 and 5-4 for the other methods. A similar trend of the distribution of stress along the hub and cylinder between the FE models, analytical model and the experimental result is observed. The anisotropic FE model results are very close to the analytical results and experimental data.\n\n\n\nFigure 5-1 Longitudinal stress distribution at the outside flange surface during bolt-up\n\nThe graphs indicate that the results of the stress distribution at the outside surface of the flange obtained from the analytical model, experimental test and the anisotropic model are in good agreement with each other. Due to the stress concentration at the hub to flange ring junction, there is a significant difference with the average around 46% between ACP model and\n\nanalytical model. As anticipated like metallic bolted joints at bolt-up, the stresses in the cylindrical part of the FRP bolted joints far away from the hub and ring junction due to the lack of the inside pressure are nil.\n\nThe longitudinal and tangential stress distribution at 1.345 MPa inside pressure are shown in figures 5-5 to 5-9. In this case, the distributions of the longitudinal and tangential stresses at the outside surface of the flange during operation (figures 5-5 and 5-7) show a good agreement between the FE model, the analytical model, and the experimental data. A similar trend of the distribution of longitudinal and tangential stresses at the inside surface of the flange between the FE models are observed as indicated in figures 5-6 and 5-8. The graphs show that the FE anisotropic material model is more representative and the results are closer to the experimental data, as the difference observed between the two is less than 6%.\n\nFigure 5-2 Longitudinal stress distribution at the inside flange surface during bolt-up\n\nFigure 5-3 Tangential stress distribution at the outside flange surface during bolt-up\n\nFigure 5-4 Tangential stress distribution at the inside flange surface during bolt-up\n\nIn spite of the fact that the anisotropic and ACP model are in better agreement with the analytical and experimental result compared to isotropic model due to the high-stress concentration at the hub and flange ring junction, it is difficult to make a judgment at this location and such a study is out of the scope of this work. In addition, the difference observed at the ring and hub junction is related to the laminate junctions that realistically cannot be duplicated either by the analytical model or by the ANSYS ACP PrepPost model. It can be noted that in the ACP model, the connection between the hub laminate and ring laminate is difficult to model exactly like the real FRP flange. Consequently, some discrepancies are observed between the results obtained from the ACP model and the other FE models. In fact, the ACP model of the composite flange is not precise as the difficulty to define the exact number of layers used for each flange part, the angle of the fibers in composite and the exact material properties in the different directions of the composite. It is worth noting that because the FRP flange manufacturing processes are hand made and not automated and the manufacturing technique varies from one composite flange size to the other, it is difficult to have defined the exact material properties in the various directions of the flange.\n\nFigure 5-5 Longitudinal stress distribution at the outside flange surface during pressurization\n\nFigure 5-6 Longitudinal stress distribution at the inside flange surface during pressurization\n\nFigure 5-7 Tangential stress distribution at the outside flange surface during pressurization\n\nAlthough in the cylindrical part of the flange, the tangential stress at the inner surface show around 15% difference at the hub to flange ring junction. The difference is even smaller far away from the junction as shown by the stress distribution at the inside and outside surfaces of the flange during pressurization. In general, the graphs show the importance of including material anisotropy in FE models of composite flanges. Comparing the tangential and longitudinal stresses obtained from ACP and other models based on anisotropy the difference is small as compared to the model with isotropic material behavior. Increasing the size of the flange will also lead to a larger result difference. Nevertheless, the importance of including material anisotropy to predict the stresses and strains in composite flanges is acknowledged.\n\nThe results obtained from different finite element models and the experimental test data points to the fact the analytical model is reliable and the methodology used to predict the stresses and strains in bolted flange joint is robust.\n\n5.2.2 Radial displacement\n\nThe radial displacement at the inside radius of the flange for bolt-up and at 1.345 MPa internal pressure is illustrated in figures 5-9 and 5-10. Each graph has four curves; three curves obtained from the three different FE models and one curve is obtained from the proposed analytical model. These figures show that the radial displacements all models follow a similar trend during bolt-up and pressurization. Furthermore, the anisotropic FE model and analytical model are in a good agreement, in particular, in the cylindrical part of the flange. Although the trend is the same, the ACP model tends to underestimate the displacements.\n\nFigure 5-9 Radial displacement of the flange during bolt-up\n\nThe highest difference is around 40% located at shell side when isotropic material properties of the flange are considered. Once again, the anisotropy of composite materials is important to estimate the radial displacement of the FRP flange. The anisotropic analytical developed model based on the laminated composite theory is justified.\n\n5.2.3 Gasket contact stress\n\nIn figure 5-11 the distribution of the gasket contact stress for the three different FE models are shown. In this graph, the gasket contact stress distribution is depicted as a function of the normalized gasket width. As anticipated and like in metallic flange joints, the maximum contact stress occurs at the gasket outside diameter and is caused by flange rotation that produces a higher flange axial displacement at the outer edge of the gasket. In general, the distribution of contact stress depends on two factors; the rotation of the flange and the nonlinear behavior of the gasket.\n\nThe graphs in figure 5-11 indicate that the critical stress occurs at the vicinity of the bolt and it would appear that the gasket stress distribution has a similar trend for all three FE models. However, in comparison with the metallic bolted flange joints (Black, 1994), the contact stresses in the gasket at the bolt location are much higher than those between bolts. This is expected since there is higher flexibility with FRP materials like other composite materials as compared to steel and other ferrous materials.\n\n5.3 Results for the NPS 12 flange without the hub\n\nIn this part, the analytical results are presented and compared to the numerical results obtained from the FE modeling of the NPS 12 FRP bolted flange joint with multilayered composites. Each graph gives compares the analytical to the numerical results. The analytical results are obtained through the MATLAB program for the NPS 12 FRP bolted flange joint the theory of which is detailed in chapter 2.\n\n5.3.1 Flange stresses\n\nLongitudinal and tangential stress distribution at the outside and inside surfaces of the flange for the two conditions of bolt-up and pressurization are illustrated in figures 5-12 to 5-20. From these figures, it can be stated that analytical results are consistently close to the numerical results.\n\nFigure 5-12 Longitudinal stress distribution at the outside flange surface during bolt-up\n\nFigure 5-13 Longitudinal stress distribution at the inside flange surface during bolt-up\n\nAs shown in the figures 5-12 to 5-16, during bolt-up, the stress distribution in the shell far from the flange ring is not significant.\n\nAs can be observed in figures 5-18 and 5-19 there is some slight difference around 14% in the stresses at the junction of the ring and shell. Although in the FE multi-layered composite model the junction of the ring and shell laminates are not adequately bonded together to ensure continuity there is a slight difference in longitudinal and tangential stress distributions between the analytical and numerical models. The stresses near the junction dramatically increased by 43% but the general behavior as a result of discontinuity is picked up by both models. Although the tendency is similar, the FE model lacks accuracy due to the ring and shell laminate bounding discrepancy.\n\nFigure 5-14 Tangential stress distribution at the outside flange surface during bolt-up\n\nFigure 5-15 Tangential stress distribution at the inside flange surface during bolt-up\n\nIn general, the graphs show a good agreement between the results of the analytical model and numerical model; this supports the robustness and accuracy of the proposed analytical model. In fact, the analytical approach and the FE model show the stress increase at the junction of the ring and the shell where the maximum stress concentration exists. Furthermore, a thorough investigation of the distribution of stresses in the specific laminate lay-up of the bolted flange joint with the hub will be conducted and presented in section 5.4.\n\nFigure 5-16 Longitudinal stress distribution at the outside flang surface during pressurization\n\nFigure 5-17 Longitudinal stress distribution at the inside flange surface during pressurization\n\nFigure 5-18 Tangential stress distribution at the outside flange surface during pressurization\n\nFigure 5-19 Tangential stress distribution at the inside flange surface during pressurization\n\n5.3.2 Radial displacement\n\nThe radial displacement of the flange during bolt-up and pressurization are depicted in Figure 5-20. The comparison between the results obtained from the analytical and FE models show a good agreement at all locations along the shell axial length of FRP flange. The difference observed between the analytical and numerical models is less than 9% and 5% during bolt-up and pressurization respectively. Obviously, the good agreement between the two models confirms the accuracy of the analytical approach of FRP bolted flange joint.\n\n5.4 Results for the NPS 12 flange with the hub\n\nIn this section, the results for the NPS 12 class 150 FRP bolted flange joints with the hub are presented. Comparisons of the longitudinal and tangential flange stresses and radial displacement obtained from the analytical and FE models are conducted with special focus on the hub region. FRP flange with the hub requires a more elaborate model that includes the three parts; shell, hub, and ring. The analytical results obtained from the MATLAB program for a bolted flange joint with the hub is available in Appendix A.\n\n5.4.1 Flange stresses\n\nThe longitudinal and tangential stress distributions at the inside and outside surface of the flange at bolt-up are illustrated in Figures 5-21 to 5-24. These figures show clearly that the\n\nanalytical and FE distributions at the inside and outside flange surfaces during bolt-up have the same tendency. In this case, the distributions of the longitudinal and tangential stresses are in a good agreement and the results are in concordance, with a difference of less than 4%. As anticipated during bolt-up, due to the lack of the pressure inside of FRP bolted flange joints, the stresses in the shell far away from the hub and shell junction are nil.\n\nFigures 5-25 to 5-28 present the longitudinal and tangential stress distributions after the application of internal pressure of 1.345 MPa. A similar stress distribution trend along the hub and cylinder length is observed in both the analytical and FE models. However, the FE numerical results show higher stress values at the outside flange surface near the junctions of the hub and the shell and the hub and ring flange (see figure 5-25 and 5-26). In comparing the analytical and numerical results near the junctions of the hub and the ring, the difference observed between the two is around 22% and 18% for the longitudinal stress distribution at the outside and inside flange surface respectively. Such differences are anticipated because these junctions are smoother and the laminates are not interconnected in the FE models. Moreover, the presence of the high local stresses in the composite flanges affects considerably the stress distribution particularly at the outside surface of the hub and shell. Since the material properties vary through the thickness of the composite flanges, there is an even distribution of stresses. Although in the junction of hub and ring, the longitudinal stress at inner and outer surfaces show around 20% maximum difference, the distributions very consistent (figures 5-25 and 5-26).\n\nFigure 5-21 Longitudinal stress distribution at the outside flange surface during bolt-up\n\nFigure 5-22 Longitudinal stress distribution at the inside flange surface during bolt-up\n\nFigure 5-23 Tangential stress distribution at the outside flange surface during bolt-up\n\nFigure 5-24 Tangential stress distribution at the inside flange surface during bolt-up\n\nFigure 5-25 Longitudinal stress distribution at the outside flang surface during pressurization\n\nFigure 5-26 Longitudinal stress distribution at the inside flange surface during pressurization\n\nFigures 5-27 and 5-28 show a relatively good agreement between the analytical and FE models during pressurization with a difference of less than 4% except in the junctions. Nevertheless, while the results of the tangential stresses at the inner and outer flange surface are shown to have the same trend, those at the hub show a slight discrepancy that is acceptable in the design since some simplifications were made at the junctions. Indeed as expected, at the junction of the hub and the shell where the maximum stress concentration exists, the stresses at this location increased drastically by around 92%. This phenomenon also occurs near the hub to the flange ring junction. It is to be noted that considering the small tapered portion of the hub that is not considered in the analytical model, the results would be affected. Nonetheless, the difference is not significant and is acceptable for design purposes.\n\nFigure 5-27 Tangential stress distribution at the outside flange surface during pressurization\n\nFigure 5-28 Tangential stress distribution at the inside flange surface during pressurization\n\n5.4.2 Radial displacement\n\nThe radial displacement results obtained from numerical and analytical models of FRP bolted flange joint with the hub at bolt-up and pressurization are compared in figure 5-29. As shown in the figures, there has not a similar trend but are in good agreement with each other. The difference observed between the analytical and numerical results is less than 3% and 5% during bolt-up and pressurization respectively.\n\nFrom these figures, the radial displacement of the shell is shown to be much higher than the flange ring and hub because these two structures are much stiffer.\n\nFigure 5-29 Radial displacement of the flange during bolt-up and pressurization\n\nCONCLUSIONS\n\nThe ability of FRP materials to resist in harsh and chemical environments and their comparatively high corrosion resistance has made them the best choice in pressure vessels and piping applications related to chemical, water, gas services, nuclear and petrochemical industries. A comprehensive study of the literature on FRP bolted flange joints was carried out. According to the literature, the current procedure used for the design of FRP flanges is a major concern because of their inappropriateness to address the anisotropic behavior of composite materials.\n\nThe main objective of this work was to address this need and develop an accurate analytical model to evaluate the stresses and strains of FRP bolted flange joints taking into consideration the anisotropy of the flange material.\n\nIn order to achieve the main objective of this study, a methodology for the analytical, numerical and experimental study was developed. The study is prominent in dealing with the behavior of FRP bolted flange assembly subjected to internal pressure. To allow verification of results, experimental and FE methods were used as complementary methods to validate the robustness of the developed analytical model.\n\nThe composite flange was divided into three structures, namely the shell, the hub, and the flange ring or plate. The developed analytical model of FRP flange is based on the theory of composite thin cylinders, the theory of thin plates subjected to transverse loading, and the short cylinder theory adapted for composite materials.\n\nThe proposed model was then validated by comparison with the results obtained from experimentation and finite element modeling. The novelty of this analytical model is to treat the integrity and tightness of FRP bolted joint taking into account the anisotropy material behavior and the flexibility of all joint elements including the gasket, bolts, and flanges.\n\nThe analytical approach has been developed for FRP bolted flange joints with and without the hub and is based on classical lamination theory for composites and the elastic interaction between all bolted joint assembly components. The developed analytical model presented in chapter 2 includes the flexibility of all parts of the bolted flange joint in both axial and radial direction. The complex design and geometry of FRP flanges make it difficult to develop general analytical studies for this kind of flange. Despite the complexity and rigorous mathematical analysis of the composite flanges, the developed analytical model successfully and accurately reproduced the real behavior of FRP bolted flange joints during bolt-up (or initial tightening) and pressurization (operating) conditions.\n\nExperimentation and numerical finite element modeling are the two-method used for validation of the proposed analytical model. The experimental tests were conducted on a well-equipped test bench that uses a NPS 3 class 150 FRP flange with a hub. Three different FE models for three different type of FRP flanges were modeled; an NPS 3 class 150 with a hub and an NPS 12 class 150 with and without the hub. The stress analysis and comparison are focused on the radial displacement and the tangential and longitudinal stresses at the inside and outside of the flange surfaces. The FE models were developed based on isotropy and anisotropy behavior of FRP materials and anisotropy shell element model using ANSYS PrepPost (ACP).\n\nThe stresses obtained from strain measurements in the hub and those from FEM considering anisotropy are reasonably well predicted by the analytical model. The maximum differences observed between the analytical model and experimental measurement and FE numerical models are as follows. In the case of NPS 3 class 150 FRP flange with a hub:\n\n- Tangential stress 19%;\n- Longitudinal stress 14%;\n- Radial displacement 6%.\n\nIn the case of NPS 12 FRP flange without the hub:\n\n- Tangential stress 13%;\n- Longitudinal stress 9%;\n\nRadial displacement 5%.\n\nIn the case of NPS 12 FRP flange with the hub:\n\nTangential stress 17%;\nLongitudinal stress 12%;\nRadial displacement 5%.\n\nIn addition, the work points to the fact that the reliability and accuracy of the FE model of FRP bolted flange joints strongly depends on the consideration of the anisotropy behavior of the flange FRP material. The study shows that isotropy material properties underestimate stresses by around 35%. From the results obtained by both numerical FE model and experimental investigation, the proposed analytical model for FRP flanges with and without the hub has proved to be efficient, accurate and reliable in predicting the longitudinal and tangential stress distribution on the flange surface and radial displacement of the flange. Furthermore, it can be deduced that the FE model which is developed for FRP flanges with and without the hub can explain with acceptable accuracy the stress distribution of FRP bolted flange joints even at the hub part of the flange as well as the junction of the ring and the hub where the maximum stress concentration exists.\n\nThe results of this investigation have led to this conclusion that the approach presented in this study provides a formulation consistent with the ASME BPV Code Section X standard, allowing an accurate, reliable and thorough design and evaluation of FRP bolted flange joints. However, additional experimental tests on FRP materials with different properties in the two longitudinal and tangential directions and larger diameter FRP flanges are required to confirm these findings.\n\nRECOMMENDATIONS\n\nAdditional experimental tests on larger diameter FRP flanges and other FRP materials with different properties in the two longitudinal and tangential directions could be conducted to further support and validate the accuracy and robustness of the analytical and numerical models for different FRP flange size.\n\nThe behavior of FRP materials is affected by the harsh environment and by temperature and humidity. Therefore, future work can be directed towards an investigation of FRP bolted flange joints when exposed to elevated temperature and high humidity. That study involves the use of a combination of experimental, analytical and numerical methods to analyze bolted flange joints made of composite materials from integrity and leak tightness standpoints.\n\nAnother major concern of FRP bolted flange joints is their long-term creep-relaxation behavior. The analytical model presented in this thesis could be extended to incorporate load relaxation caused by the creep of the composite flange. The investigation could also include the influence of thermal ratcheting caused by temperature thermal cycling of the composite flange on the bolt load drop.\n\nAnd finally, experimental studies on the leak rates of FRP bolted flange joints at the ambient and high temperature used with different gasket materials would be valuable work in the future. The current study could be extended to a wider range of application that includes polymeric flange joints and in particular those flanges made out of PVC and HDPE since these are increasingly used in domestic gas and water services.\n\nAPPENDIX A\n\nANALYTICAL PROGRAM FOR FRP BOLTED FLANGE JOINT\n\n%-----------------------------------------------%\n% ANALYTICAL PROGRAM FOR FRP BOLTED FLANGE JOINTS %\n% Flange NPS 3 %\n% Flange NPS 12 with the hub %\n% Flange NPS 12 without the hub %\n%-----------------------------------------------%\n\nclc;\nclear;\n\n% Notations\n% h: hub\n% s: shell\n% p: ring/plate\n\n%-----------------------------------------------%\n% Flange NPS 12 with the hub %\n%-----------------------------------------------%\n\nr_go = 241.3; % Outside gasket radius mm\nr_gi = 152.4; % Inside gasket radius mm\nd = 22.7; % bolt diameter\nd_h = 25.4; % bolt hole diameter\np_t = 2; % number of thread per mm\nl_h = 190.5; % hub length _mm_\nl_s = 300; % effective length of the shell _mm_\nr_i = 152.4; % flange/shell inner radius _mm_\nr_o = 241.3; % outer radius of the flange _mm_\nr_b = 215.9; % bolt circle radius _mm_\nt_f = 47.625; % thickness of the flange _mm_\nt_h = 41.8; % equivalent thickness of the hub _mm_\n\nt_s = 17.1; % thickness of the shell _mm_ (c)\nr_h = r_i+t_h/2; % hub mean radius mm_\nr_s = r_i+t_s/2; % inner radius of shell mm\nt_g = 3; % thickness of the gasket _mm\nE_g = 55; % compression modulus of gasket MPa\nl_b = 0.5*t_1.125*d+2*t_f+t_g; % initial bolt length _mm_\nP = 1.034; % internal pressure MPa\nnu_f = 0.2; % Poisson's ratio of flange\nE_b = 21000; % Young's modulus of bolts MPa\nS_b = 175.00; % bolt stress MPa\nn = 12; % Number of bolts\nnu_s = 0.3; % Poisson's ratio of shell\nnu_h = 0.3; % Poisson's ratio of joint element\n\n%---------------------------------------------------------------%\n% Flange NPS 12 without the hub\n%---------------------------------------------------------------%\n\nr_go = 495.3/2; % Outside gasket radius mm\nr_gi = 300/2; % Outside gasket radius mm\nd = 16; % bolt diameter\nd_h = 19; % bolt hole diameter\np_t = 2; % number of thread per mm\nl_h = 114.3; % hub length mm\nl_s = 147.6; % effective length of the shell mm\nr_i = 300/2; % flange/shell inner radius mm\nr_o = 495.3/2; % outer radius of the flange mm\nr_b = 425/2; % bolt circle radius mm\nt_f = 38.1; % thickness of the flange mm\nt_h = 27; % equivalent thickness of the hub mm\n\nt_s = 17; % thickness of the shell mm (c)\nr_h = r_i+t_h/2; % hub mean radius mm\nr_s = r_i+t_s/2; % inner radius of shell mm\nt_g = 3; % thickness of the gasket mm\nE_g = 55; % compression modulus of gasket MPa\nl_b = 0.5*1.125*d+2*t_f+t_g; % initial bolt length mm\np = 0.3450; % internal pressure MPa\nnu_f = 0.2; % Poisson's ratio of flange\nE_B = 210000; % Young's modulus of bolts MPa\nS_b = 175.00; % bolt stress MPa\nn = 12; % Number of bolts\nnu_s = 0.3; % Poisson's ratio of shell\nnu_h = 0.3; % Poisson's ratio of joint element\n\n%---------------------------------------------------------------%\n% Flange NPS 3\n%---------------------------------------------------------------%\n\nr_go = 7.5/2*25.4; % Outside gasket radius mm\nr_gi = 3/2*25.4; % Inside gasket radius mm\nd = 0.625*25.4; % bolt diameter mm\nd_h = 0.75*25.4; % bolt hole diameter mm\np_t = 11*25.4; % number of thread per mm\nl_h = 2.139*25.4; % hub length mm\nl_s = 7.048*25.4; % effective length of the shell mm\nr_i = 3/2*25.4; % flange/shell inner radius mm\nr_o = 7.5/2*25.4; % outer radius of the flange mm\nr_b = 6/2*25.4; % bolt circle radius mm\nt_f = 0.813*25.4; % thickness of the flange mm\nt_h = 0.607*25.4; % equivalent thickness of the hub mm\n\nt_s = 0.25*25.4; % thickness of the shell mm\nr_h = r_i+t_h/2; % hub mean radius mm\nr_s = r_i+t_s/2; % inner radius of shell mm\nt_g = 0.125*25.4; % thickness of the gasket mm\nE_g = 55; % compression modulus of gasket MPa\nl_b = 0.5*1.125*d+2*t_f+t_g; % initial bolt length mm\n\np = 1.034; % internal pressure MPa\nnu_f = 0.2; % Poisson's ratio of flange\nE_b = 210000; % Young's modulus of bolts MPa\nS_b = 175; % bolt stress MPa\nn = 4; % Number of bolts\nnu_s = 0.3; % Poisson's ratio of shell\nnu_h = 0.3; % Poisson's ratio of shell\n\n% -----------------------------------------------\n\n%Laminate Data for NPS 3\n\n% As=[21.5, 21.5, 3.38]*1000;\n% Bs=[0, 0, 0];\n% Ds=[5190, 5190, 825.3]*1000;\n%\n% Ah=[21.5, 21.5, 3.38]*1000;\n% Bh=[0, 0, 0];\n% Dh=[5190, 5190, 825.3]*1000;\n%\n% As=Ah;\n% Ds=Dh;\n%\n% Ap=[39.7, 39.7, 6.09]*1000;\n% Bp=[0, 0, 0];\n% Dp=[29484, 29484, 4615]*1000;\n\n%-----------------------------------------------\n\nA_b = n*pi*(d-0.9382/p_t)^2/4; % Bolt stress area mm^2\nA_br = n*pi*(d-1.22687/p_t)^2/4; % Bolt root area mm^2\nF_b = S_b*A_br; % bolt force _N_\nF_g = F_b; % gasket force _N_\n\nr_g = 2/3*(r_gi^2+r_go^2+r_gi*r_go)/(r_gi+r_go); % effective gasket radius _mm_\nr_g=r_gi+2/3*(r_go-r_gi)/2;\nA_p = pi*r_g^2;\n\nK_b = A_b*E_b/l_b; % bolt uniaxial stiffness _N/mm_\nA_g = pi*(r_go^2-r_gi^2); % gasket are mm^2\nK_g = A_g*E_g/t_g; % gasket uniaxial stiffness _N/m_\n\n%Shell laminate\nbeta_s = ((As(2)*As(1)-(As(3))^2)/(4*r_s^2*Ds(1)*As(1)))^(1/4);\nD_s = Ds(1);\n\n%Hub laminate\nbeta_h = ((Ah(2)*Ah(1)-(Ah(3))^2)/(4*r_h^2*Dh(1)*Ah(1)))^(1/4);\nD_h = Dh(1);\n\nB11=(sinh(2*beta_h*l_h)-sin(2*beta_h*l_h))/(2*((sinh(beta_h*l_h))^2-(sin(beta_h*l_h))^2));\nB12=(cosh(2*beta_h*l_h)-cos(2*beta_h*l_h))/(2*((sinh(beta_h*l_h))^2-(sin(beta_h*l_h))^2));\nB22=(sinh(2*beta_h*l_h)+sin(2*beta_h*l_h))/((sinh(beta_h*l_h))^2-(sin(beta_h*l_h))^2);\n\nG11 = - (cosh(beta_h*l_h) * sin(beta_h*l_h) -\n sinh(beta_h*l_h) * cos(beta_h*l_h)) / ((sinh(beta_h*l_h))^2 -\n (sin(beta_h*l_h))^2);\nG12 = -2 * sinh(beta_h*l_h) * sin(beta_h*l_h) / ((sinh(beta_h*l_h))^2 -\n (sin(beta_h*l_h))^2);\nG22 = 2 * (cosh(beta_h*l_h) * sin(beta_h*l_h) + sinh(beta_h*l_h) * cos(beta_h*l_h)) /\n ((sinh(beta_h*l_h))^2 - (sin(beta_h*l_h))^2);\n\nC_5 = 2;\nC_6 = 0;\nC_7 = 0;\nC_8 = 0;\n\nK = r_o / r_i;\n\nD0 = 2 * (r_o - r_i) / log(K);\nD0 = D0 - (d_h / (pi * 2 * r_b / n) * (D0 - 2 * d / log((2 * r_b + d) / (2 * r_b - d))));\n\nr_m = D0 / 2;\n\n% Plate theory\n\nL2 = (r_i * r_o^2) / ((r_o^2 - r_i^2) * (Ap(3) - Ap(1)));\nL1 = (r_i^3) / ((r_o^2 - r_i^2) * (Ap(3) + Ap(1)));\nL23 = (r_i - 2 * r_i * log(r_i / r_o)) / (8 * Dp(1) * pi);\nL24 = r_i * ((r_o^2 - r_i^2) * (Dp(3) - Dp(1)) + 2 * r_i^2 * log(r_i / r_o) * (Dp(1) + Dp(3))) /\n (8 * Dp(1) * pi * (r_o^2 - r_i^2) * (Dp(1) + Dp(3)));\nL25 = r_o^2 * r_i * log(r_i / r_o) * (Dp(1) + Dp(3)) /\n (4 * Dp(1) * pi * (r_o^2 - r_i^2) * (Dp(1) - Dp(3)));\nL20 = r_i^3 / ((r_o^2 - r_i^2) * (Dp(1) + Dp(3)));\nL22 = r_o^2 * r_i / ((r_o^2 - r_i^2) * (Dp(1) - Dp(3)));\nL26 = L20 + L22;\nL27 = L23 + L24 + L25;\n\nC_9 = 1 / K_b + 1 / K_g;\nC_10 = A_p / K_g;\n\nD = [\n B11 / (2 * beta_h^3 * D_h), B12 / (2 * beta_h^2 * D_h), G11 / (2 * beta_h^3 * D_h), G12 / (2 * beta_h^2 * D_h), -1, 0, 0, 0, 0 ...\n ;\n B12 / (2 * beta_h^2 * D_h), B22 / (2 * beta_h * D_h), G12 / (2 * beta_h^2 * D_h), G22 / (2 * beta_h * D_h), 0, -1, 0, 0, 0 ...\n ;\n G11 / (2 * beta_h^3 * D_h), G12 / (2 * beta_h^2 * D_h), B11 / (2 * beta_h^3 * D_h), B12 / (2 * beta_h^2 * D_h), 0, 0, -1, 0, 0 ...\n ;\n G12 / (2 * beta_h^2 * D_h), -G22 / (2 * beta_h * D_h), -B12 / (2 * beta_h^2 * D_h), -B22 / (2 * beta_h * D_h), 0, 0, 0, -1, 0 ...\n ;\n 1 / (2 * beta_s^3 * D_s), 1 / (2 * beta_s^2 * D_s), 0, 0, -1, 0, 0, 0, 0 ...\n ;\n -1 / (2 * beta_s^2 * D_s), -1 / (beta_s * D_s), 0, 0, 0, -1, 0, 0, 0 ...\n ;\n 0, 0, -(L1 - L2), 0, 0, 0, -1, t_f / 2, 0 ...\n ;\n 0, 0, t_f / 2 * L26, -L26, 0, 0, 0, -1, (r_b - r_g) / (2 * pi * r_m) * L27 ...\n ;\n 0, 0, 0, 0, 0, 0, C_5 * (r_b - r_g), C_9];\n\nU = zeros(9,9);\n\nD(9,:) = 0;\nU(9) = P_b;\nD(9,9) = 1;\n\nCoefficient_Matrix = [D];\n\nResults = Coefficient_Matrix \\ U;\n\n% -----------------------------------------------\n\nP_1(1) = Results(1);\nM_1(1) = Results(2);\nP_2(1) = Results(3);\nM_2(1) = Results(4);\nu_h1(1) = Results(5);\ntheta_h1(1) = Results(6);\nu_h2(1) = Results(7);\nthetaf(1) = Results(8);\nFb_b(1) = Results(9);\n\n% -----------------------------------------------\n\nD(9,8) = C_5 * (r_b - r_g);\nD(9,9) = C_9;\n\nU = [- (Ah(1) - Ah(3)/2) / (4*beta_h^4*Ah(1)*Dh(1)) * p ; 0 ...\n - (Ah(1) - Ah(3)/2) / (4*beta_h^4*Ah(1)*Dh(1)) * p ; 0 ...\n - (As(1) - As(3)/2) / (4*beta_s^4*As(1)*Ds(1)) * p ; 0 ;\n -(L1-L2)*t_f*p ;\n (r_g-r_i)*(r_g^2+r_i^2)*p/(4*r_m)*L27 ...\n ; C_9*F_b + 2*(r_b-r_g)*thetaf(1) + C_10*p - (C_8)];\n\nCoefficient_Matrix = [D];\n\nResults = Coefficient_Matrix \\ U;\n\n% -----------------------------------------------\n\nP_1(2) = Results(1);\nM_1(2) = Results(2);\nP_2(2) = Results(3);\nM_2(2) = Results(4);\nu_h1(2) = Results(5);\ntheta_h1(2) = Results(6);\nu_h2(2) = Results(7);\nthetaf(2) = Results(8);\nFb_b(2) = Results(9);\n\nk=50;\n\n% -----------------------------------------------\n\n% Stress Calculation in the hub part\n% -----------------------------------------------\n\nSlih=zeros(k,2); % Longitudinal stress at the inside surface of the hub [MPa]\nSloh=zeros(k,2); % Longitudinal stress at the outside surface of the hub [MPa]\nStih=zeros(k,2); % Tangential stress at the inside surface of the hub [MPa]\nStoh=zeros(k,2); % Tangential stress at the outside surface of the hub [MPa]\nxh=zeros(k,1);\nu_h2sp=zeros(2,1);\nu_h=zeros(k,2) % Radial displacement [mm]\ntheta_h=zeros(k,2) % Rotation\nMh=zeros(k,2) % Moments [N.mm]\nOh=zeros(k,2) % Shear forces [N]\nNxh=zeros(k,2)\nNth=zeros(k,2)\n\nfor j=1:1:2\n u_h2sp(j)=u_h2(j)-(Ah(1)-Ah(3)/2)/(4*beta_h^4*Ah(1)*Dh(1))*p*(j-1);\n i=0;\n for x = 0:1:h/(k-1):l_h\n i=i+1;\n xhi(i)=x;\n F11= (cosh(beta_h*x) * sin(beta_h*x) - sinh(beta_h*x) * cos(beta_h*x))/2;\n F12= sin(beta_h*x) * sinh(beta_h*x);\n F13= (cosh(beta_h*x) * sin(beta_h*x) + sinh(beta_h*x) * cos(beta_h*x))/2;\n F14= cosh(beta_h*x) * cos(beta_h*x);\n\n u_h(i,j)=P_2(j)/(2*beta_h^3*Dh(1))*F11+ M_2(j)/(2*beta_h^2*Dh(1))*F12+\n thetah(j)/beta_h*F13+u_h2sp(j)*F14;\n % u_h(i,j)=(P_2(j)/(beta_h^3*Dh(1))*F11+ M_2(j)/(beta_h^2*Dh(1))*F12+\n 2*thetah(j)/beta_h*F13+2*u_h2sp(j)*F14);\n theta_h(i,j)=beta_h*(P_2(j)/(2*beta_h^3*Dh(1))*F12+\n 2*M_2(j))/(2*beta_h^2*Dh(1))*F13+thetah(j)/beta_h*F14-2*u_h2sp(j)*F11);\n\n Mh(i,j)=2*beta_h^2*Dh(1)*(P_2(j)/(2*beta_h^3*Dh(1))*F13+M_2(j)/(2*beta_h^2*Dh(1))*F14-thetah(j)/beta_h*F11-u_h2sp(j)*F12);\n Qhi,j)=2*beta_h^3*Dh(1)*(P_2(j)/(2*beta_h^3*Dh(1))*F14-\n 2*M_2(j))/(2*beta_h^2*Dh(1))*F11-thetah(j)/beta_h*F12-2*u_h2sp(j)*F13);\n\n Nxh(i,j)=p*(j-1)*r_h/2;\n Nth(i,j)=(u_h(i,j)+(Ah(1)-Ah(3)/2)/(4*beta_h^4*Ah(1)*Dh(1))*p*(j-1))/r_h(Ah(2)-(Ah(3))^2/Ah(1))+(Ah(3)/Ah(1)*Nxh(i,j));\n Slih(i,j) = Nxh(i,j)/t_h+6*Mh(i,j)/(t_h^2);\n Sloh(i,j) = Nxh(i,j)/t_h-6*Mh(i,j)/(t_h^2);\n Stih(i,j) = Nth(i,j)/t_h+6*Dh(3)/Dh(1)*Mh(i,j)/(t_h^2);\n Stoh(i,j) = Nth(i,j)/t_h-6*Dh(3)/Dh(1)*Mh(i,j)/(t_h^2);\n end\nend\n\n% -----------------------------------------------%\n% Stress Calculation in the shell part\n% -----------------------------------------------%\n\nSlis=zeros(k,2); % Longitudinal stress at inside surface of the shell [MPa]\nSlos=zeros(k,2); % Longitudinal stress at outside surface of the shell [MPa]\nStis=zeros(k,2); % Tangential stress at inside surface of the shell [MPa]\nStos=zeros(k,2); % Tangential stress at outside surface of the shell [MPa]\nxs=zeros(k,1);\nu_s=zeros(k,2) % Radial displacement [mm]\ntheta_s=zeros(k,2) % Rotation\nMs=zeros(k,2) % Moments [N.mm]\nQs=zeros(k,2) % Shear forces [N]\nNx_s=zeros(k,2)\nNts=zeros(k,2)\n\nRs = r_i+t_s/2;\nfor j=1:1:2\ni=0;\nfor x = 0:l_s/(k-1):l_s\n i=i+1;\n xs(i)=x;\n\n f1= exp(-beta_s*x) * cos(beta_s*x);\n f2= exp(-beta_s*x) * (cos(beta_s*x)-sin(beta_s*x));\n f3= exp(-beta_s*x) * (cos(beta_s*x)+sin(beta_s*x));\n f4= exp(-beta_s*x) * sin(beta_s*x);\n\n u_s(i,j)= P_l(j)/(2*beta_s^3*Ds(1))*f1+ M_l(j)/(2*beta_s^2*Ds(1))*f2;\n % u_s(i,j)=(P_l(j)/(beta_s^3*Ds(1))*f1+ M_l(j)/(beta_s^2*Ds(1))*f2);\n theta_s(i,j)= beta_s*(-P_l(j)/(2*beta_s^3*Ds(1))*f3-2*M_l(j)/(2*beta_s^2*Ds(1))*f1);\n\n Ms(i,j)=2*beta_s^2*Ds(1)*(P_l(j)/(2*beta_s^3*Ds(1))*f4+M_l(j)/(2*beta_s^2*Ds(1)))*f3);\n Qs(i,j)=2*beta_s^3*Ds(1)*(P_l(j)/(2*beta_s^3*Ds(1))*f2-2*M_l(j)/(2*beta_s^2*Ds(1))*f4);\n\n Nx_s(i,j)=p*(j-1)*r_s/2;\n Nts(i,j)=(u_s(i,j)+(As(1)-As(3))/2)/(4*beta_s^4*As(1)*Ds(1))*p*(j-1))/r_s*(As(2)-(As(3))^2/As(1))+As(3)/As(1)*Nx_s(i,j);\n Slis(i,j) = Nx_s(i,j)/t_s+6*Ms(i,j)/t_s^2;\n Slos(i,j) = Nx_s(i,j)/t_s-6*Ms(i,j)/t_s^2;\n Stis(i,j) = Nts(i,j)/t_s+6*Ds(3)/Ds(1)*Ms(i,j)/t_s^2;\n Stos(i,j) = Nts(i,j)/t_s-6*Ds(3)/Ds(1)*Ms(i,j)/t_s^2;\nend\nend\n\n% ---------------------------------\n% Stress Calculation in the Flange\n% ---------------------------------\n\nxx=[xh xs+l_h];\n\ni=1;\nSli{i,:}=[Slih{i,:} Slis{i,:}];\nSlo{i,:}=[Sloh{i,:} Slos{i,:}];\nSti{i,:}=[Stih{i,:} Stis{i,:}];\nSto{i,:}=[Stoh{i,:} Stos{i,:}];\n\nfigure(1);\nplot(xx,Sli(1,:), 'b*-',xx,Slo(1,:), 'r-^',xx,Sti(1,:),'m--o',xx,Sto(1,:),'k-.s')\nlegend ('longitudinal inside','longitudinal outside','tangential inside','tangential outside','Location','SouthEast')\nset(findobj(gca,'type','line'),'MarkerSize',5)\ngrid on\ntitle('Variation of stresses with length (Bolt-up)')\nxlabel('axial position from ring, mm')\nylabel('Stress, MPa')\n\ni=2;\nSli{i,:}=[Slih{i,:} Slis{i,:}];\nSlo{i,:}=[Sloh{i,:} Slos{i,:}];\nSti{i,:}=[Stih{i,:} Stis{i,:}];\nSto{i,:}=[Stoh{i,:} Stos{i,:}];\n\nfigure(2);\nplot(xx,Sli(2,:), 'b*-',xx,Slo(2,:), 'r-^',xx,Sti(2,:),'m--o',xx,Sto(2,:),'k-.s')\nlegend ('longitudinal inside','longitudinal outside','tangential inside','tangential outside','Location','SouthEast')\nset(findobj(gca,'type','line'),'MarkerSize',5)\ngrid on\ntitle('Variation of stresses with length (Pressurization)')\nxlabel('axial position from ring, mm')\nylabel('Stress, MPa')\n\nu=[uh us];\n\nfigure(3);\nplot(xx,u(1,:), 'b*-',xx,u(2,:),'r-^')\nlegend ('bolt up','Pressurization','Location','SouthEast')\nset(findobj(gca,'type','line'),'MarkerSize',5)\ngrid on\ntitle('Variation of displacement')\nxlabel('axial position from ring, mm')\nylabel('Displacement, mm')\n\nAPPENDIX B\n\nLabVIEW program\n\nFigure B-1 LabView graphical interface\n\nFigure B-2 LabView graphical interface\n\nFigure B-3 LabView graphical interface\n\nFigure 5-4 LabView graphical interface\n\nFigure 5-5 LabView graphical interface\n\nFigure 5-6 LabView graphical interface\n\nFigure 5-7 VI hierarchy of the developed program\n\nAnonymous, (1979). *Modem Flanges Design*, Taylor Forge Inc., Engineering Department Bulletin No. 502, Chicago.\n\nASME Boiler and Pressure Vessel Code, Sections X, (2016) *Fiberglass Reinforced Plastic Pressure Vessels*. 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Designing with Fiber Reinforced Materials*, Institution of Mechanical Engineers, pp. 7-10.\n\nMackerle J., (2003). *Finite Element Analysis of Fastening and Joining: A Bibliography (1990-2002)*, International Journal of Pressure Vessels and Piping, Volume 80 (4), pp. 253-271.\n\nNational Bureau of Standards Voluntary Product Standard, PS 15-69, Custom Contact Molded Reinforced Polyester, Chemical-Resistant Process Equipment.\n\nNechache A, Bouzid A., (2007). *Creep Analysis of Bolted Flange Joints*, International Journal of Pressure Vessels and Piping 84, 185–194\n\nNechache A., Bouzid A., (2003). *The Determination of the Load Changes in Bolted Gasketed Joints Subjected to Elevated Temperatures*, in Proceedings of the ASME-PVP Conference, PVP2003–1883, Cleveland, Ohio, pp. 139–148.\n\nNassar, S. A., Abboud, A., (2009). *An Improved Stiffness Model for Bolted Joints*. ASME Journal of Mechanical Design, 131 (12), pp. 121001-11.\n\nRoy A. Parisher, Robert A., (2011). *Rhea Pipe Drafting and Design, Chapter 4*, Flange basics.\n\nRudolph S., (2004). *Theory and Analysis of Plates, Classical and Numerical Methods*, Hoboken, NJ: Wiley, 2004, 1024p.\n\nRosato D. V., Grove C. S., (1964). *Filament Winding*, Wiley, New York.\n\nSun L., (1995). *Bolted Flanged Connections Made of Fiber Reinforced Plastic Materials*, Ph.D. Dissertation, Concordia University, Montreal, Canada.\n\nTakaki, T. (2004). *Effects of Flange Rotation on the Sealing Performance of Pipe Flange Connections*, Paper Presented at the Proceedings of the ASME/JSME Pressure Vessels and Piping Conference, San Diego, CA, USA.\n\nTimoshenko, (1930). *Theory of plate and shells*, NY, J. Wiley.\n\nTsai S.W., (1987). *Composite Design. Think composites*, Dayton, Ohio, USA, third edition.\n\nZahavi E., (1993). *A Finite Element Analysis of Flange Connections*, ASME Journal of Pressure Vessel Technology, 115:327-330."}}},{"rowIdx":204786,"cells":{"text":{"kind":"string","value":"\n\n14 April 1944\n\nSUBJECT: Transmittal of Missing Air Crew Report.\n\nTO: Commanding Officer, 451st Bombardment Group (H) APO 520, US Army.\n\n1. Transmitted herewith Missing Air Crew Report of Crew #451-3-23, assigned to this Squadron, reported missing in action as of 12 April 1944 on mission over Zagreb, Yugoslavia.\n\n| RANK | NAME | ASN |\n|--------|--------------------|---------|\n| 2nd Lt | BERGMANN, RAY W. | O-684247|\n| 2nd Lt | CURTMAN, KEITH (WAI)| O-693009|\n| 2nd Lt | BLACKMAN, KENT G. | O-694315|\n| Flt O | BUCHER, GEORGE H. | T-143700|\n| S/Lt | Hirsch, Charles A. | 3243514 |\n| S/Sgt | Lindsay, Elmer T. | 14248710|\n| S/Sgt | Cameron, Maurice R.| 11110693|\n| S/Sgt | Douglas, John R. | 18020016|\n| Sgt | Mackey, Ronald R. | 35843501|\n| Sgt | Gordon, Marvin H. | 15377276|\n\n2. Subject personnel are battle casualties as defined by paragraph 2, Section II, Circular 10, NATUSA, date, 24 January 1944.\n\n3. Battle casualty Report forwarded your headquarters 13 April 1944.\n\nFor the Squadron Commander:\n\n[Signature]\n\n1st Lt., Air Corps,\nAdjutant.\n\n1 incl:\nIncl 1 - MSG Sgt, LT WARD, 2 Crew\n14 Apr 44 w/2 incl (Joint)\n\nU.S. CONFIDENTIAL Equals British CONFIDENTIAL\n\n360.33 Let Ind. C-FM/ars\nHQ 461st Bomb Up (H), A.F.O.C. #520, U.S. Army 24 April 1944.\n\nTO: Commanding General, 49th Wing, A.F.O. #520, U.S. Army.\n\nBattle Casualty report forwarded your headquarters 15 April 1944.\n\nFor the Commanding Officer:\n\nC. E. Campbell Jr.,\nWDP, USA,\nAss't. Adjutant.\n\n1 Incl:\nMAC Rpt., Lt. Bergmann & Crew.\n14 Apr 44 w/2 Inols (quad).\n\n360.33 2nd Ind. C-FM-10\nHEADQUARTERS 49TH BOMB WING (H), APO 520, 26 April 1944.\n\nTO: Commanding General, Fifteenth Air Force, APO 520, U.S. Army.\n\n1 Incl: n/e\n\nAG 360.33 3rd Ind. GF-hm/gow\nHQ, FIFTEENTH AIR FORCE, APO 520, 30 April 1944.\n\nTO: Sg, AFORUSA, APO 524. Attn: Casualty Branch, AGD.\n\n1. Personnel included in attached MAC Report were processed on consolidated HCR No.1-57, dated 20 April 1944, which was forwarded to the 30th MHU 20 April 1944.\n\nFor the Commanding General:\n\nHarold B. Healy,\nMajor, AG,\nAssistant AG.\n\n1 Incl:\nIncl 1 (dup).\n\n| Name | Status | Contact Information |\n|-----------------------|--------|----------------------------------------------------------|\n| 2nd Lt. Ray E. Bowers | POW | Mrs. Margaret Bowers, (Mother) Route Number Three, Box 350, Grants Pass, Oregon. |\n| 2nd Lt. Keith Gurrans | POW | Mrs. Ray E. Gurrans, (Mother) 900 North A Drive, Arkansas City, Kansas. |\n| 2nd Lt. Kent S. Kinloch | POW | Mr. Charles L. Kinloch, (Father) Post Office Box 174, Robinson, Illinois. |\n| Flight Officer George R. Roegge | POW | Mrs. Marie A. Roegge, (Mother) Bettendorf, Iowa. |\n| 2/Lt. Charles A. Hirsch | POW | Mrs. Sally Hirsch, (Mother) Smoker Road, Hempstead, Long Island, New York. |\n| Sgt. James T. Rhodes | POW | Mrs. Joelle N. Rhodes, (wife) Route Number Two, Gander, North Carolina. |\n| 2/Lt. Maurice R. Sasseran | POW | Mrs. Rita Cameron, (wife) 68 Reservoir, North Attleboro, Massachusetts. |\n| 2/Lt. John R. Douglas | POW | Mrs. John A. Douglas, (Father) Route Number One, Chelsea, Oklahoma. |\n| Sgt. Ronald R. Mackay | POW | Mr. and Mrs. Noble Mackay, (Parents) Box 197, Lebanon, Indiana. |\n| Sgt. Marvin H. Gortin | POW | Mrs. Marjorie Gordon, (wife) Bristolville, Ohio. |\n\n| DATE: 4/12/44 1200 | U.S.A. 116 | ME 1375 |\n|-------------------|------------|---------|\n| PLACES: near Kiseljak | 2nd.Lt. CHEFFAN, Keith | 0-691009 |\n| 30 km SW. Sarajevo | 2nd.Lt. BLACKMAN, Kent G. | 0-691315 |\n| TYPE: Liberator | 2nd.Lt. BORRE, George A. | 0-723700 |\n| 725 (HB) 451 Group | 2nd.Lt. BERGHAN, Roy William | 0-642447 captured |\n| BAZE: Nanduria | S/Sgt. HIRSCH, Charles A. | 1242941 |\n| TARGET: Air Force Command South East | S/Sgt. GARRISON, Maurice A. | 11110493 |\n| | S/Sgt. DOUGLAS, John R. | 18320016 |\n| | Sgt. MACKIE, RENEE Ronald R. | 35548911 |\n| | Sgt. SIMMONS, Elmer T. | 11149710 |\n| | Sgt. GORDON, Marvin R. | 13577276 |\n\n| NAME | RANK | SERIAL NUMBER | CAPT'ED | WOUNDED | DEAD | PLACE OF INTERROGATION |\n|---------------|------------|---------------|---------|---------|------|------------------------|\n| CHAPMAN | 2nd Lt. | 0-693008 | captured | | | Bataan Death March |\n| BLACKMAN | 2nd Lt. | 0-684215 | captured | | | same |\n| BORGE | 2nd Lt. | 0-137000 | captured | | | same |\n| BURSHAM | 2nd Lt. | 0-684547 | captured | | | same |\n| HIRSCH | 1st Sgt. | 33428814 | captured | | | Bataan Death March |\n| GAZZANO | 1st Sgt. | 11110893 | captured | | | same |\n| DOUGLAS | 1st Sgt. | 18030016 | captured | | | same |\n| MACKAY | Sgt. | 35548891 | captured | | | same |\n| HUMPHREY | Sgt. | 14149710 | captured | | | same |\n| GORDON | Sgt. | 1537276 | captured | | | same |\n\n**REMARKS:**\nBataan Death March, 25 November 1944, v. 2.\n\nCONFIDENTIAL\n\nSCALE 1:500,000\n\nApproximate position last sighted\n\n41-2410\n\nHVAR\n\nKORCULA\n\nCONFIDENTIAL\n\nBy: NARA NARA Date: 1973\n\nName of crew member: BORGE, George R.\nRank: 2/0\nSerial number: 3-38760\nPosition: Crew (Bomber) 2nd Lt. (Fighter) Bombardier.\n\nDid he bail out? Yes\nWhere? Near Sarajevo, Yugo.\nIf not, why not?\nLast contact or conversation just prior to or at time of loss of plane:\nUninjured and in good shape\nWas he injured? No\nWhere was he when last seen? He was in prison camp (Stalag 7A) April 29, 1945, and in good shape at time of liberation from said camp.\nAny hearsay information: No\nIt is in agreement with the temperament of the men that he would have been one of the ones who left the camp after liberation, to make his way on his own against the advice and orders of ranking officers in charge. However, I have no evidence to this affect.\nSource:\nAny explanation of his fate based in part or wholly on supposition:\nThe above information is entirely supposition. I knew the man well and do not think it at all unlikely.\n\nTotal number of missions of above crew member: One\nDates and destinations if possible: April 12, 1944; destination, somewhere in Yugoslavia, near Sarajevo.\n\nName of crew member: BIRCH, Charles A.\nRank: S/Air\nSerial number: 2568024\nPosition: Crew (Bomber) Flight Engineer (righter): Upper Turret.\n\nDid he bail out? Yes\nWhere? Near Sarajevo, Yugo.\nIf not, why not?\nLast contact or conversation just prior to or at time of loss of plane:\nIn good shape; uninjured.\nWas he injured? No\nWhere was he when last seen? Moosburg Germany, prison camp stalag 7A, at time of liberation, 29 April, 1945.\nAny hearsay information: No\nSource:\nAny explanation of his fate based in part or wholly on supposition:\nNo. He was in good shape at the time of our liberation. I did not see him after this time.\nTotal number of missions of above crew member: One\nDates and destinations if possible: 12 April, 1944; destination, somewhere in Yugo, near Belgrad and Sarajevo.\n\n1. Your name: Keith Curfman \n Rank: 2nd Lt. \n Serial No.: 0-693009\n\n2. Organization: 400Bg Op Commander Eaton \n Rank: Col \n Sqn CO Davis \n Rank: Maj \n (full name) \n (full name)\n\n3. What year: 1944 \n month: April \n day: 12 \n did you go down?\n\n4. What was the mission: Bombing \n target: Merhalling yds. Near Belgrade, Yugoslavia \n time: 12:40 \n altitude: 18,000 \n route scheduled: Direct from Foggia \n route flown: Same\n\n5. Where were you when you left formation? Approximately 30 min in Yugo.\n\n6. Did you bail out? Yes\n\n7. Did other members of crew bail out? Yes, all of them\n\n8. Tell all you know about when, where, how each person in your aircraft for whom no individual questionnaire is attached bailed out. A crew list is attached. Please give facts. If you don't know, say: \"No Knowledge\". All members bailed out. All were uninjured and in good mental shape. Used bomb bays and rear escape hatch. No one injured going out.\n\n9. Where did your aircraft strike the ground? No knowledge\n\n10. What members of your crew were in the aircraft when it struck the ground? (Should cross check with 8 above and individual questionnaires) None\n\n11. Where were they in aircraft?\n\n12. What was their condition?\n\n13. When, where, and in what condition did you last see any members not already described above?\n\n14. Please give any similar information on personnel of any other crew of which you have knowledge. Indicate source of information. I saw all members of the crew at different times in prison camps Stalag Luft 3, and Stalag 7a. They were all uninjured and in good shape with the exception of Page who was our waist gunner. He had been operated on for appendicitis just before our removal from Stalag Luft 3 to Moosburg. I never saw him after that.\n\n(Any additional information may be written on the back)\n\nName of crew member: BOEGE, George R.\nRank: W/0\nSerial number: T-35700\nPosition: Crew (Bomber) Aircraft (fighter): Bombardier.\n\nDid he bail out? Yes\nWhere? NEAR SARAJEVO, YUGOSLAVIA\nIf not, why not?\nLast contact or conversation just prior to or at time of loss of plane: N/A\n\nWas he injured? No\nWhere was he when last seen? ITALY 7-A. MESSERBERG, APRIL 1945.\nAny hearsay information: (PLEASE SIR I DON'T KNOW WHAT IS WRONG. OUR BOMBARDIER AND UPPER TURRET GUNNER WAS IN THE PRISON CAMP WITH ME UNTIL JAN. 25, 1944. I PERSONAL SAW BOTH OF THEM IN APRIL 1945. BOTH WERE RECAPTURED ON APRIL 29, 1945 AT STALAG VII A. I WAS THERE & SAW THEM.)\nSource:\nAny explanation of his fate based in part or wholly on supposition: None\nIT'S FOR SURE I KNOW HE IS IN THE STATES AND ALIVE!\n\nTotal number of missions of above crew member: 146\nDates and destinations if possible: 1944-1945\n\nName of crew member: HIRSCH, Charles A.\nRank: S/Sgt.\nSerial number: 38429514\nPosition: Crew (Bomber) **X** Upper Turret.\n\nDid he bail out? Yes\n\nWhere? NEAR SARAJEVO, YUGOSLAVIA\n\nIf not, why not? L\n\nLast contact or conversation just prior to or at time of loss of plane: NONE\n\nWas he injured? NO\n\nWhere was he when last seen? STABAO T-F, MESSERG GERMANY APRIL 1945\n\nAny hearsay information: NONE\n\nSource:\n\nAny explanation of his fate based in part or wholly on supposition: NONE\n\nAS FAR AS I KNOW HE IS IN THE STATES, YOUR OBLIGENT.\n\nTotal number of missions of above crew member: ONE\n\nDates and destinations if possible:\n\n1. Your name: John R Douglas\n Rank: 5/Star\n Serial No.: 18020016\n\n2. Organization: 451 Gp Commander\n Rank: Sqn CO Davis\n Rank: MAT\n (full name)\n\n3. What year: 1944\n month: April\n day: 12\n did you go down?\n Sec. no.:\n (full name)\n\n4. What was the mission, target, altitude, route scheduled,\n (full name)\n\n5. Where were you when you left formation? I Don't Know!\n\n6. Did you bail out? Yes.\n\n7. Did other members of crew bail out? Yes.\n\n8. Tell all you know about when, where, how each person in your aircraft for whom no individual questionnaire is attached bailed out. A crew list is attached. Please give facts. If you don't know, say: \"No Knowledge\". I DON'T KNOW. I WAS LUCKY OUR TAIL GUNNER WENT OUT FIRST AND I FOLLOWED.\n\n9. Where did your aircraft strike the ground? I Don't Know.\n\n10. What members of your crew were in the aircraft when it struck the ground? (Should cross check with 8 above and individual questionnaires) NONE. WE ALL DIED.\n\n11. Where were they in aircraft?\n\n12. What was their condition?\n\n13. When, where, and in what condition did you last see any members not already described above? I SAW ALL 10 CREW MEMBERS AT 500 FT. IN APRIL 1944. THE WAS DRUNK! HE DIDN'T KNOW.\n\n14. Please give any similar information on personnel of any other crew of which you have knowledge. Indicate source of information.\n\n(Any additional information may be written on the back.)\n\n6-3862, AF\n\nName of crew member: BOEGE, George R.\nRank: WO\nSerial number: T-123700\nPosition: Crew (Bomber) Bombardier.\n\nDid he bail out? Yes\nWhere? Near Sarajevo, Yugoslavia\nIf not, why not?\n\nLast contact or conversation just prior to or at time of loss of plane:\nBoege was sixth to bail out the bomb bay, following Hirsch.\n\nWas he injured? No\nWhere was he when last seen? In prison camp at Stalag VII A, Moosburg, Ger.\n\nAny hearsay information:\nMy latest information is that Boege is discharged and married living in Davenport, Iowa.\n\nSource: Friends of San Antonio District P.O.\nAny explanation of his fate based in part or wholly on supposition:\n\nTotal number of missions of above crew member: One\nDates and destinations if possible:\n\nName of crew member: BIRCH, Charles A.\nRank: 5/Air\nSerial number: 32438614\nPosition: Crew (Bomber) Navigator/Observer Upper Turret.\n\nDid he bail out? Yes\nWhere? Near Sarajevo, Yugoslavia\nIf not, why not?\nLast contact or conversation just prior to or at time of loss of plane:\nI pulled off his flak vest. He was trying to leave the plane.\nWas he injured? No\nWhere was he when last seen? In prison camp at Stalag VII A, Moosburg.\nAny hearsay information: None\n\nSource:\n\nAny explanation of his fate based in part or wholly on supposition: None\n\nTotal number of missions of above crew member: Five\nDates and destinations if possible:\n\n1. Your name: Kent Gordon Blackman Rank: 1st Lt. Serial No.: 0-698345\n\n2. Organization: 457th BG Commander: Edson (P) Rank: Col. Sqn CO: Davis (P) Rank: Major\n\n3. What year: 1944, month: April, day: 12, did you go down?\n\n4. What was the mission: Bombing, target: Ligny, Vosges, target time: 12:45 (Z), altitude: 21,000 feet, route scheduled: Same as scheduled\n\n5. Where were you when you left formation? About one half hour before I.P.\n\n6. Did you bail out? Yes\n\n7. Did other members of crew bail out? Yes\n\n8. Tell all you know about when, where, how each person in your aircraft for whom no individual questionnaire is attached bailed out. A crew list is attached. Please give facts. If you don't know, say: \"No Knowledge\".\n All crew members bailed out safely and in usual emergency order. Nose compartment crew each bailed out the same way because of a faulty nose wheel escape hatch.\n\n9. Where did your aircraft strike the ground? No Knowledge\n\n10. What members of your crew were in the aircraft when it struck the ground? (Should cross check with # above and individual questionnaires) None\n\n11. Where were they in aircraft?\n\n12. What was their condition?\n\n13. When, where, and in what condition did you last see any members not already described above?\n\n14. Please give any similar information on personnel of any other crew of which you have knowledge. Indicate source of information. None\n\n(Any additional information may be written on the back)\n\n8-24-62, AF\n\nName of crew member: BOSSE, George R.\n\nRank: N/A\n\nSerial number: 74890\n\nPosition: Crew (Bomber) 2nd Flight (Fighter): Bombardier.\n\nDid he bail out? Yes\n\nWhere? Near Sajro\n\nIf not, why not?\n\nLast contact or conversation just prior to or at time of loss of plane: Called crew gave order to bailout\n\nWas he injured? No\n\nWhere was he when last seen? At location of prison camp\n\nAny hearsay information:\n\nSource:\n\nAny explanation of his fate based in part or wholly on supposition: Supposed him to be still in captivity\n\nTotal number of missions of above crew member: One\n\nDates and destinations if possible: Tokyo, April 12, '45\n\nName of crew member: SIRGACH, Charles A.\nRank: 2/Lt.\nSerial number: 47-10384\nPosition: Crew (Bomber) or Pilot (Fighter): Upper Turret.\n\nDid he bail out? Yes\nWhere? Near Jagreb\nIf not, why not?\nLast contact or conversation just prior to or at time of loss of plane: 200000\nWas he injured? No\nWhere was he when last seen? At briefing camp\nAny hearsay information:\nSource:\nAny explanation of his fate based in part or wholly on supposition: Singapore\nTotal number of missions of above crew member: 44+\nDates and destinations if possible: Japan April 12 44\n\n6-3961, AF\n\n1. Your name: Longley, Ray W. Rank: 1st Lt. Serial No.: 0-484247\n\n2. Organization: 45th Gp Commander, Col. Smith. Rank: Col. Sqn CO Davis. Rank: Lt. Col.\n\n3. What year: 44 month: April day: 12 did you go down? Yes\n\n4. What was the mission: Target, target time: 1200 altitude: 20,000 route scheduled: 5th Course route flown: 1st Course\n\n5. Where were you when you left formation: 20 min short of target\n\n6. Did you bail out? Yes\n\n7. Did other members of crew bail out? Yes\n\n8. Tell all you know about when, where, how each person in your aircraft for whom no individual questionnaire is attached bailed out. A crew list is attached. Please give facts. If you don't know, say: \"No Knowledge\". They bailed out success fully, landed near the 14th Bomb Group then later landed up in 33rd Camp.\n\n9. Where did your aircraft strike the ground? I believe it flew up first, I don't know what caused the explosion to occur.\n\n10. What members of your crew were in the aircraft when it struck the ground? (Should cross check with 8 above and individual questionnaires) None\n\n11. Where were they in aircraft?\n\n12. What was their condition?\n\n13. When, where, and in what condition did you last see any members not already described above? Shortly after 1200 hrs, second in fair shape.\n\n14. Please give any similar information on personnel of any other crew of which you have knowledge. Indicate source of information. 2nd Gp Lt. Smith, Sgt. 1st Lt. of 1-45th Gp came up with me shortly after their ship shot down at 1200. To our knowledge, all others present.\n\n(Any additional information may be written on the back)\n\n6-3862, AF\n\nMeldung über den Abschuss eines US-amerikanischen Flugzeuges\n\nAbschuss und Zeit: 12.4.44, 12.00\nAbschussort: B. Kieseljar\nFlugzeugtyp: Liberator\nMeldende Dienststelle: Lw. Kdo. Südost\n\nBesatzung:\n\n| Name und Vorname: | Dienstgrad | Erk.-Nr.: | Verbleib: |\n|-------------------|------------|-----------|-----------|\n| GURGAN Keith | 2/Lt. 0-693009 | gef. Stalag-Luft 3 |\n| BLACKMAN Kent G. | 2/Lt. 0-694315 | gef. Stalag-Luft 3 |\n| ROYER George V. | 2/Lt. 0-123700 | gef. dito |\n| BERGMAN Roy William | 2/Lt. 0-684247 | gef. dito |\n| HERSCH Charles A. | S/Sgt. 32429514 | gef. Stalag-Luft 4 |\n| CAMERON Maurice A. | S/Sgt. 11110693 | gef. Stalag-Luft 4 |\n| DOUGLAS John R. | S/Sgt. 18020016 | gef. dito |\n| MACKBY Ronald R. | Sgt. 35548591 | gef. dito |\n| REEDS Elmer T. | Sgt. 14149710 | gef. dito |\n| GORDON Marvin H. | Sgt. 15377276 | gef. dito |\n\nBemerkungen:\nDULAG-LUFT, den 25.11.44, v.S.\n\nS 5837/44 Heidelberg Gutelei.org Druckerei GmbH. V. 44"}}},{"rowIdx":204787,"cells":{"text":{"kind":"string","value":"Memorandum\n\nTo: Mayor and City Council\n\nFrom: Roger Krieger\n\nDate: May 10, 2023\n\nRe: Dalton Creek Plat Approval – File LP 2021-2\n\nFinal approval of the first phase of the Dalton Creek Subdivision submitted by Two Old Boys LLC is before the Council for approval pursuant to DPMC 17.28.040(C)(5), which provides “the City Council shall determine whether conditions imposed when the preliminary plat was approved have been met or bonded and the requirements of state law and this title have been satisfied by the subdivider. And, if the City Council determines that the above conditions have been met and have approved the plat, the mayor shall thereupon cause the original drawing to be sign and transmitted to the County Treasurer’s office”.\n\nAttached for your information is the application packet, final plat drawings, SEPA Determination and staff report, along with a copy of the original Findings of Fact and conditions by the Commission. This information was previously provided in February, 2022, as a status report to you after completion of the appeal period from the previous Planning Commission adoption of the preliminary plat.\n\nThis plat and improvements for Phase 1 have received all the engineering approvals and inspection and testing procedures required by the City during the project development work which has spanned over the past few months since the preliminary plat approval. This plat is complete in form, dedications, restrictions and signature blocks for approval. In addition, all as-built drawings have been received, fees collected and a warranty bond posted for the period of one year by the Contractor as required within the ordinance.\n\nA specific motion of the Council is required to: 1) approve the Dalton Creek Phase 1 Final Plat, that is located in a portion of the SE ¼ of the NW ¼ of Section 11, Township 28 North, Range 42 East, W.M., City of Deer Park, Spokane County, Washington, 2) to accept all easements, dedications, restrictions and rights-of-way as shown, and 3) to accept all improvements completed within the subdivision for continued maintenance by the City of Deer Park.\n\nFINAL PLAT DALTON CREEK ADDITION PHASE 1, LP2021-2\nA PORTION OF THE SE ¼ OF THE NW ¼ OF SECTION 11,\nTOWNSHIP 28 NORTH, RANGE 42 EAST, T.M.\nSTEWART COUNTY, GEORGIA\nNOVEMBER 2022\n\nSECTION 11, TOWN, RANGE\nTOWNSHIP 28, RANGE 42, T.M.\n\nTYPICAL LOT SETBACK DETAIL\n\n| Lot 17 | Street frontage 35'-0\" - common lot (20) |\n|--------|------------------------------------------|\n| Lot 18 | Street frontage 35'-0\" - common lot (20) |\n| Lot 19 | Street frontage 35'-0\" - common lot (20) |\n\nBASE\nLot 17: 35'-0\" - common lot (20)\nLot 18: 35'-0\" - common lot (20)\nLot 19: 35'-0\" - common lot (20)\n\nSECTION INDEX\n\nSUSPENDED CERTIFICATE\n\nIN THE STATE OF GEORGIA, COUNTY OF STEWART, BE IT KNOWN that I, the undersigned, do hereby certify that the above plat is a true and correct plat of the subdivision described in the attached description. The plat is prepared in accordance with the requirements of the Georgia Land Surveying Act and the rules and regulations promulgated thereunder by the Board of Registration of Land Surveyors of the State of Georgia. The plat is approved by the Board of Registration of Land Surveyors of the State of Georgia and is hereby certified to be a true and correct plat of the subdivision described in the attached description.\n\nDated: August 12, 2022\n\nANNIE L. PHILLIPS\nPUBLIC NOTARY\nSTATE OF GEORGIA\nCOUNTY OF STEWART\nMy commission expires: April 16, 2023\n\nRECORDING OF THIS PLAT IS NOT REQUIRED BY LAW. SHEET 1 OF 3\n\nINTERNATIONAL SURVEY GROUP\nP.O. Box 154, Hinesville, Georgia 31310\n(912) 351-4111\n\nFINAL PLAT DALTON CREEK PHASE 1\nSection 11, Town, Range, T.M.\n\nRECORDING OF THIS PLAT IS NOT REQUIRED BY LAW. SHEET 1 OF 3\n\nFINAL PLAT DALTON CREEK ADDITION PHASE 1, LP2021-2\n\nA PORTION OF THE SE 1/4, NE 1/4 OF SECTION 14,\nTOWNSHIP 28 NORTH, RANGE 48 EAST, W.M.,\nSPokane County, Washington, November 2022\n\nPARCEL 28111.0035\n\nFUTURE PHASE\n\nPARCEL 28111.0035\n\nSOUTH COLVILLE ROAD\n60' RIGHT OF WAY\n\nDALTON CREEK ADDITION PHASE 1 LINE TABLE\n\n| Lot | Block | Area (Acres) | Area (Sq. Ft.) |\n|-----|-------|--------------|----------------|\n| | | | |\n\nDALTON CREEK ADDITION PHASE 1 CORNER TABLE\n\n| Corner | Description | Coordinates |\n|--------|-------------|-------------|\n| | | |\n\nLEGEND\n\n- Right of Way\n- Street\n- Building\n- Parking\n- Landscaping\n- Tree Planting\n- Other\n\nSCALE: 1\" = 100'\n\nFINAL PLAT DALTON CREEK PHASE 1\n\nOwner Name: The Old West, LLC\nAddress: 1234 Main St., Spokane, WA 99201\nPhone: (509) 555-1234\nEmail: email@example.com\n\nSurveyor: John Smith, PLS\nDate: November 20, 2022\nScale: 1\" = 100'\nDrawing Number: 28111-0035\nSheet 2 of 3\n\nCopyright © 2022 by The Old West, LLC. All rights reserved.\n\nCity of Deer Park, Washington\n\nOfficial Zoning Map\n\n- Residential 2A (R-2A)\n- Residential 2B (R-2B)\n- Residential 3A (R-3A)\n- Residential 3B (R-3B)\n- Manufactured Home Subdivision (MHS)\n- Manufactured Home Park (MHP)\n- Multi-Family (MF)\n- Central Commercial (CC)\n- Diversified Commercial (CD)\n- Mixed Use (MU)\n- Cemetery (CEM)\n- Business Park (BP)\n- Light Industrial (LI)\n- Public/Quasi-Public (P/Q/P)\n\nUrban Growth Boundary\n\nMunicipal Boundary\n\n1 - Runway Protection Zone\n2 - Inner Safety Zone\n3 - Inner Turning Zone\n4 - Outer Safety Zone\n5 - Sideline Safety Zone\n6 - Traffic Pattern Zone\n\nMap Projection: WA State Plane North, NAD 83-HARN\nMap Produced: July 2018\nTown Net Coverage by Land Use: Residential TA & 2A-N, Commercial Hospital [H], Commercial General Neighborhood [CN], Commercial Recreational [CR], Commercial Recreation [CR]\n\nAs Amended by Ordinance No. 1999-23\nDate of Adoption: September 15, 1999.\n\nAs Amended by Ordinance No. 2004-018\nDate of Adoption: April 16, 2004.\n\nAs Amended by Ordinance No. 2005-019\nDate of Adoption: June 1, 2005.\n\nAs Amended by Ordinance No. 2007-051\nDate of Adoption: August 1, 2007.\n\nAs Amended by Ordinance No. 1\nDate of Adoption: April 16, 2008.\n\nAs Amended by Ordinance No. 2008-050\nDate of Adoption: April 16, 2008.\n\nAs Amended by Ordinance No. 2008-061\nDate of Adoption: July 16, 2008.\n\nAs Amended by Ordinance No. 2009-040\nDate of Adoption: August 5, 2009.\n\nAs Amended by Ordinance No. 2010-038\nDate of Adoption: May 5, 2010.\n\nAs Amended by Ordinance No. 2011-072\nDate of Adoption: October 11, 2011.\n\nAs Amended by Ordinance No. 2012-037\nDate of Adoption: September 13, 2012.\n\nAs Amended by Ordinance No. 2017-074\nDate of Adoption: December 12, 2017.\n\nContact Simonsen on file with CityMeasure\n\nNorthwest County\n\nCITY OF DEER PARK\nDEER PARK MUNICIPAL CODE CHAPTER 17.28\n\nAPPLICATION FOR\nPRELIMINARY LONG SUBDIVISION\n\nDate Received: 13 Aug 2021 File Number: LP 2021-2\nDate Accepted: 6/23/21 By: Sh\nTotal Fees: $1,985 Receipt Number: TR 42990\n\nA. GENERAL INFORMATION\n\nName of Applicant: Two Old Boys LLC % Mecanna Engineering\nMailing Address: 9401 E. Appleway, Spokane Valley, WA 99006\nPhone: 509-954-6604 Fax:\nIf the applicant is not the property owner, include written authorization from the\nowner for the applicant to serve as the owner’s representative.\nName of Legal Owner: Two Old Boys LLC\nMailing Address: 702E. Big Meadows Rd., Chantilly, WA 99003\nPhone: 509-489-6100 Fax:\n\nSite Area of Proposed Project (Acres or Square Feet): 34.39 ACRES\nArea of Adjacent Lands Owned or Controlled: 28112-4099 (3.2AC) 9096 (1.903) 9094 (15AC) 9012 (5AC)\nAssessor’s Parcel Numbers of Proposed Project: 28112-0099, 28111-0095, 28111-0093\nAssessor’s Parcels of Adjacent Lands Owned or Controlled: 28112-4099, 9096, 9094 &’ 9012\nStreet Address of Proposed Project: UNASSIGNED ADDRESS\nComprehensive Plan Designation: MULTI-FAMILY RESIDENTIAL & SINGLE FAMILY RESIDENTIAL R2A\nExisting Zoning: PARCEL 28111-0097 (MU) 28111-0095 (R2A) &’ 28111-0093 (R2A)\nProposed Zoning: NO CHANGE IN ZONING\nExisting Use of Property: Single Family ___; Manufactured Home ___;\nDuplex ___; Multifamily ___; Commercial ___; Industrial ___;\nOther (Describe) OPEN LAND\nProposed Use of Property: Single Family X; Manufactured Home ___;\nDuplex ___; Multifamily ___; Commercial ___; Industrial ___;\nOther (Describe)\nList Previous City Actions Involving This Property: UNKNOWN\n\nB. LEGAL INFORMATION\n\nLocation of Proposed Project: EAST OF SOUTH COLVILLE ROAD TO CITY LIMITS\nSection: 11 Township: 28N Range: 42E\nName of Public Street(s) Providing Access: S. Colville Road\nWidth of Property Fronting on Public Street(s): 658'\n\nLegal Description (attach legal description stamped by Licensed Surveyor and include legal description for entire area to be subdivided on the preliminary long plat):\n\nSEE ATTACHED:\n\nIf you do not hold title to the property, what is your interest in it? YES, OWNER\n\nExplain why you feel the proposed project is warranted: THE LACK OF HOUSING IN THE AREA, AND PROVIDE A SAFE LIVING ENVIRONMENT, AND GREAT PLACE TO LIVE.\n\nWhat impact will the proposed subdivision have on adjacent properties? THIS PROJECT WILL BE A GREAT FIT FOR THE LOCAL AREA, WITH ITS LAYOUT AND AESTHETICS.\n\nWhat measures do you propose to mitigate the project’s impacts on surrounding land uses? THIS PROJECT WILL BE BUILT IN ACCORDANCE WITH THE CITY OF DEER PARK STANDARDS AND ZONING CODES TO MITIGATE THE PROJECT’S IMPACTS.\n\nC. PRELIMINARY LONG PLAT GENERAL INFORMATION\n\nNumber of Lots: 46 lots 86 lots Gross Area: 34.39 ACRES\n\nAverage Lot Size: 8,011 SF 8,591 SF Net Density*: 5.4 LPA (R2A) 3.4 LPA (R2A)\n\nSmallest Lot Size: 7,025 SF 10,000 SF Minimum Frontage: 50' (R2A) 60' (R2A)\n\n* Net Density is lots per acre excluding public street area.\n\nProposed Source of Water: Public System X; Private System ____\n\nOther (Describe) _______________________________________________________\n\nProposed Means of Sewage Disposal: Public System X; Septic Tank and Drainfield ____\n\nOther (Describe) _______________________________________________________\n\nUtility Companies Providing Service to This Project:\n\nElectricity: Austin Phone: CenturyLink\n\nNatural Gas: Austin Other: __________________\n\nDo you (or the legal owner) have any plans for future additions, expansions, or other further activity related to this proposal? Yes X; No ___; If “Yes”, Explain: _____________________________\n\nD. PRELIMINARY LONG PLAT IMPROVEMENT INFORMATION\n\nProposed Street Improvements:\n\n| Area (Sq. Ft.) | Right-of-Way Width (Feet) | Roadway Width (Feet) |\n|----------------|---------------------------|----------------------|\n| Private Driveway | _______ | _______ |\n| Private Street | _______ | _______ |\n| Public Street | 214,013 SQFT 46' | 38' |\n\nDescribe Type of Surface for Each of the Above: 2\" S. COLVILLE RD 60' ROW, ROADWAY 40' 4\" HMA (ASDOT) 2\" ON-SITE STREETS 46' ROW, ROADWAY 38' 3\" HMA CL Y2 PG 64-2-8\n\nEstimated Time Period Expected for Complete Development of the Subdivision: PHASE I SPRING 2022 TO FALL 2022 PHASE II & III UNKNOWN\n\nIs phasing of the finalization of the long plat proposed? Yes: X; No: _____. If “Yes”, show phasing on the preliminary long plat map.\n\nIs dedication of land for public use contemplated (parks, etc.)? Yes: ___; No: X. If \"Yes\", describe:\n\nE. SURVEYOR VERIFICATION\n\nI, the undersigned, a Licensed Land Surveyor, have completed the information requested. The legal description and preliminary plat have been prepared by me, or under my supervision, in accordance with the requirements of the City of Deer Park Zoning and Subdivision regulations and the laws of the State of Washington.\n\nSignature: ___________________________ Date: 08-09-21\nName (Print): Todd J. Emerson\nAddress: 67010 N. TAMARAC LANE\nNINE MILE FALLS, WA 99026\nPhone: 509-710-3200 Registration No.: PLS 38037\n\nF. APPLICANT/PROPERTY OWNER AUTHORIZATION\n\nI, the undersigned, swear or affirm, under penalty of perjury, that the above responses are made truthfully and to the best of my knowledge. I further swear or affirm that I am the owner of record of the area proposed for the long subdivision identified herein or, if not the owner, attached herewith is written permission from the owner authorizing my actions on his/her behalf.\n\nSignature: ___________________________ Date: 6/17/2021\nName (Print): WILLIAM M BATES\nAddress: 702 E BIG MEADOWS\nCHATTANOOGA, WA 99025\nPhone: 509-991-5163\n\nState of Washington )\nSS\nCounty of Spokane )\n\nSigned and sworn or affirmed before me on this 17th day of June, 2021, by William M. Bates\n\nNotary Public in and for the State of Washington\nResiding at: Spokane\nMy Appointment Expires: 8/12/22\n\nToo Old Boys Legal Description:\n\nThe North Half of the Southwest Quarter of the Northeast Quarter AND the South Half of the Northwest Quarter of the Southeast Quarter of the Northeast Quarter AND that portion of the Northeast Quarter of the Southeast Quarter of the Northwest Quarter lying East of Colville (Dalton) Road.\n\nAll in Section 11, Township 28 North, Range 42 East of the Willamette Meridian in Spokane County, Washington.\n\nSubject to and Together with any existing easements, covenants, conditions, rights, reservations, restrictions, or encumbrances of record or in view.\n\nPRELIMINARY PLAT\nTOO OLD BOYS\nIN SECTION 11, T28N R42E, WM\nDEER PARK, WA\n\nSITE DATA TABLE\n| PARCEL NUMBER | 38110007 |\n|---------------|----------|\n| SITE ADDRESS | 6101-6109 FOSTER ST, DEER PARK, WA 98526 |\n| OWNER | TOO OLD BOYS LLC |\n| AGENCY | DEER PARK CITY OF |\n| PROJECT | RESIDENTIAL DEVELOPMENT |\n| ENGINEER | HILLMAN ENGINEERS |\n| OFFICIALS | DEER PARK CITY OF |\n\nPROJECT CONTACTS\nOWNER: TOO OLD BOYS LLC\nCONTACT: TODD J. EMERSON\nPHONE: (206) 701-2320\nEMAIL: firstname.lastname@example.org\n\nLEGAL DESCRIPTION\nThe lots and parcels shown on this plat are subject to the provisions of the City of Deer Park, Washington, and the State of Washington. The plat is for the purpose of subdividing the property described above into individual lots and parcels.\n\nSURVEYOR'S CERTIFICATION\nI, Todd J. Emerson, PLS #3007, hereby certify that the foregoing plat was prepared by me or under my direction in conformance with the Surveying and Recording Act at the request of the City of Deer Park.\n\nPreliminary Plat\nEMERSON SURVEYING\nTODD J. EMERSON, PLS #3007\nDEER PARK, WA 98526\n(206) 701-2320\n\nTypical Lot Setback Detail\nAll setbacks are measured from the centerline of the street or the edge of the lot.\n\nFINDINGS OF FACT, CONCLUSIONS OF LAW, AND DETERMINATION\n\nCITY OF DEER PARK\nTWO OLD BOYS LLC SUBDIVISION PLAT\nAPPLICATION NO. LP 2021-2\n\nIn regards to the findings requirements of Chapter 17.28 of the Deer Park Municipal Code, the Infrastructure Concurrency management regulations of Chapter 17.28 of the Deer Park Municipal Code, and the consistency determinations required in Chapter 19.04 of the Deer Park Municipal Code, the Planning Commission of the City of Deer Park hereby finds and concludes the following with respect to Preliminary Long Plat Application No. LP 2021-2:\n\n1. Application LP 2021-2 was submitted on August 13, 2021, for a subdivision of a portion of land identified as a Replat the N1/2 of the SE1/4 of the NE1/4, and the S1/2 of the NW1/4 of the SE1/4 of the NE1/4 and that portion of the NE1/4 of the SE1/4 of the NW1/4 Lying East of Colville (Dalton) Road, all in Sec. 2, T28N, R42E, W.M., and more particularly identified as Spokane County Tax Parcels 28112.0097, 28111.0095 & 28111.0093. The existing parcel size is approximately 35.14 acres and the proposed subdivision would, (1) create 40 lots of higher density two family residential development, a net density of approximately 5 lots to the acre, with lot size ranging from 8,076 square feet to 11,207 square feet. (2) create 85 lots of low density single family residential development, a net density of approximately 4.5 lots to the acre, with lot size ranging from 10,008 square feet to 11,801 square feet.\n\n2. The proposed development is in conformance with the adopted Comprehensive Plan (including Parks and Recreation Element of the plan) and is identified as Single and Two Family Residential land use and was further specified within the State Environmental Policy Act review checklist. The proposed preliminary plat and uses of the property are in compliance with the land use designation, policies and densities in the comprehensive plan.\n\n3. The proposed development is in conformance with the City’s adopted Zoning Regulations in terms of density and intensity, and other pertinent zoning requirements in that the Multi-family Residential zoning classification proposed parcels have lot areas at or exceeding the minimum required in the MF zone and the Residential 2A zoning classification proposed parcels have lot areas at or exceeding the minimum required in the Residential 2A zone which both allow for single family housing. And as conditioned herein, all proposed parcels will have public street frontage in accordance with the Subdivision and Zoning Titles of Deer Park Municipal Code.\n\n4. The proposed development is located in an undeveloped area that has single family residential land use allowed within the boundaries of the parcels of the subdivision and public notification boundaries. Additional lands to the South are currently undeveloped and are located within jurisdiction of Spokane County and outside the\n\nUrban Growth Boundary of the City and therefore regulated by the County. Lands to the North of the site are currently undeveloped lands with the City of Deer Park and lands to the West are partially developed Residential lands and available for future development.\n\n5. The proposed development is bordered on the West by S. Colville Avenue, and will be the only access route to the development. Full width Frontage improvements to S. Colville Avenue shall be completed with Phase 1 from the current extension of improvements on S. Colville Avenue to the Southern boundary of lots fronting S. Colville Avenue and Southern City Limits line. Full width improvements shall mean improvements as shown on the proposed Preliminary Plat dated 10/18/2021 from Emerson Surveying and titled Colville Road (Collector Street) Roadway Section and shall provide a minimum of 40 feet of traveled width, curbing/gutter and sidewalks along both sides of the street, water and wastewater utility extensions, storm water collection and disposal and street lighting.\n\n6. Recognizing the conditions required herein and the City of Deer Park development standards, appropriate provisions have been made to ensure the public health, safety and general welfare, and therefore, the public use and interest will be served by the proposed Two Old Boys LLC Subdivision Plat, Phases 1, 2, 3 & 4.\n\n7. A threshold determination and environmental review pursuant to RCW 43.21C, the State Environmental Policy Act, was completed and a Mitigated Determination of Nonsignificance (MDNS) was issued on May 17, 2021.\n\n8. The Deer Park Planning Commission held a duly noticed public hearing on the proposed subdivision on January 10, 2022, and closed the hearing and public comment period at the end of the hearing.\n\n9. The subdivision proposal is generally consistent with RCW 58.17, promoting the public health, safety and general welfare in accordance with standards established by the state and the City of Deer Park. The City has considered the provision of adequate public facilities as cited in RCW 58.17.110(2). More specifically:\n a. Public rights-of-way\n b. Potable water\n c. Sanitary wastewater disposal\n d. Storm water drainage\n e. Parks and recreation facilities\n f. Play grounds\n g. Schools and playgrounds\n h. Pedestrian walkways and sidewalks\n\n**DECISION**\n\nBased upon the above noted Findings of Fact and Conclusions, the Planning Commission for the City of Deer Park does hereby determine the following:\n\nPreliminary Long Plat Application Number LP 2021-2 (Two Old Boys LLC Subdivision) is hereby **approved subject to compliance with the following conditions noted below.** Unless otherwise noted, the applicant and/or sponsor, prior to final approval Phase 1\n\nthrough 4, shall accomplish the conditions of approval. This decision is final unless appealed in writing, consistent with adopted appeal procedures.\n\nThe following conditions shall be binding on the “Applicant”, which shall include owner or owners of the property, heirs, assigns and successors:\n\n1. The residential construction and future development of this property shall comply with the Multi-family and Single Family Residential 2A Zoning District. Additionally, if or where easements are provided that are used for pedestrian sidewalks, the minimum setback distance from any back of sidewalk to proposed front of any portion of the buildings or garages where vehicles may be parked shall be 25 feet, to provide clear parking areas for vehicles to not block the public sidewalks.\n\n2. The Final Plat in all 4 phases, shall be designed substantially in conformance with the Preliminary Plat Map of record as identified as Emerson Surveying – Preliminary plat, dated October 18, 2021, and other materials submitted with the application. No increase of density or number of lots shall occur without an application for alteration, completed and approved.\n\n3. The Community Service Director, Planning Director or designee shall review the proposed final plat map and other documents to ensure compliance with the completed findings of fact, conclusions, and conditions of approval.\n\n4. All existing or required easements for access, utilities or other purposes shall be designated and their purpose noted and shown on the face of the final plat map. Written approval of the proposed utility easements by the appropriate utility provider shall be submitted with the final plat map. The Developer is responsible for all necessary utility adjustments, relocations, or improvements as required for completion of the project.\n\n5. The final plat map must contain Street names and addresses as designated by the Planning Department.\n\n6. The final plat maps for phase 1 & 3 adjacent to S. Forest Street, shall have the following notes on the face of the final plat map.\n a. No single family parcels shall be permitted access driveways along any lot frontage of S. Colville Avenue or S. Forest Street.\n\n7. All material used for roadway construction or improvements shall comply with the materials specifications and compaction requirements of the WSDOT manual entitled STANDARD SPECIFICATIONS FOR ROAD, BRIDGE, AND MUNICIPAL CONSTRUCTION (latest edition).\n\n8. The Development shall require erosion and runoff control measures during construction to inhibit erosion and prevent silt and other materials from being\n\ncarried off-site. Further, an approved Construction Stormwater General Permit pursuant to Department of Ecology regulations shall be provided to the City prior to work commencing on the project. The erosion/sedimentation control measures shall be consistent with the current Spokane Regional Stormwater Manual.\n\na. The erosion and runoff control measures shall be approved by the City’s Consultant Engineer and must be in place prior to any clearing, grading or construction.\n\nb. A temporary erosion and sedimentation control (TESC) plan prepared by a Washington State Licensed Engineer shall be prepared and clearly depicted on the construction drawings and shall be maintained during all phases of construction and shall comply with the manufacturer’s specifications for installation.\n\nc. All erosion and runoff measures shall be removed from the site when the site is stabilized and it has been determined by the design engineer that they are no longer necessary.\n\nd. Measures must be taken to avoid the deposition of dirt and mud from unpaved surfaces on paved surfaces. If tracking or spills occur on paved surfaces, measures must be taken immediately to clean the site.\n\ne. Dust emissions during construction and excavation projects must be controlled. This may require the use of water sprays, tarps, sprinklers or suspension of work during certain weather conditions.\n\n9. As part of construction drawings for the overall development and in order to mitigate potential impacts to ground water the developer shall prepare a site-specific geotechnical report identifying in-situ soil conditions, soil transmissivity, subsurface flow paths and related parameters used to demonstrate that downstream properties will not be impacted by increased flow impacts resulting from the construction of proposed improvement on the subject site. Further, prior to final approval of construction documents for the overall development, the Developer shall submit a final stormwater drainage report prepared by a Washington State licensed engineer for review and approval. The report shall address the water quantity, quality and conveyance systems to the detail required by the Consultant City Engineer and in compliance with the Stormwater Management Manual for Eastern Washington and the Spokane Regional Stormwater Manual. The stormwater report and drainage plans shall be approved by the City prior to construction of improvements and Final Plat approval.\n\nFurther, specific attention shall be noted within the report for the existing drainage way(s) traversing the parcel form the North to South of the parcel and drainage onto property within Spokane County. Final review and approval of the drainage plans shall be received prior to submittal of the drainage report and plans to the City and shall further require at the proposed Phases 1, 2 and 3 of the plat, a surety posted for 100% of the estimated construction and inspection costs, prior to approval of the Final Plat of each phase. Specific third-party inspection and testing services shall be procured for any storm water disposal systems proposed onto Spokane County controlled lands by the subdivision’s development sponsor.\n\nand the submittal and approval of a certification package as defined in the Spokane County Standards for Road and Sewer Construction shall be provided prior to final plat approval.\n\nIf stormwater management plans include use of Tract’s within the plat, place the following note on the final plat:\n\nTract(s) as shown on the final plat and part of the drainage conveyance system for the plat contain stormwater drainage systems designed to control runoff originating from streets and other impervious areas within the development. The Drainage Plan for this development was prepared and authorized by Two Old Boys LLC, a copy of which is on file with the City of Deer Park. It shall be the responsibility of the owners of the Tracts as identified on the Final Plat and their successors to hereafter maintain the stormwater drainage system in the originally designed condition by the formation of and ownership by a Subdivision Homeowners’ Association with covenant provisions pertaining to ownership, maintenance and operation of the storm water facilities and tracts in a form approved by the Community Services Director containing a provision identifying the City as a third party beneficiary of the stormwater related provisions.\n\nIf stormwater management plans include use of curb side swales within the plat and located behind or between the sidewalk that is adjacent to the curb, place the following note on the plat:\n\nSwales as provided and shown on the easements within the final plat and are part of the drainage conveyance system for the plat contain stormwater systems designed to control runoff originating from streets and other impervious areas within the development. The Drainage Plan for this development was prepared and authorized by Two Old Boys LLC, a copy of which is on file with the City of Deer Park. It shall be the responsibility of the owners of the Lots containing drainage swales within border easements as identified on the Final Plat and their successors to hereafter maintain the stormwater drainage system in the originally designed condition which includes planted grass and irrigation systems at time of building permit issuance and final issuance of occupancy certificates for the individual permitted parcels.\n\n10. Prior to any construction activity on S. Colville Avenue, or any construction activities on the subject property, a professional engineer, licensed in the State of Washington, shall submit:\n a. A final road and drainage plan for approval by the City of Deer Park and utility providers servicing the area for development. Further, S. Colville Avenue street improvements shall be designed to Collector Street classification within the City system, whereas the remaining streets within the development shall be designed to Local Access classifications.\n b. A wastewater system design shall be provided and constructed to provide service to each lot in this development and shall be connected to the\n\nexisting sanitary sewer system in a manner consistent with adopted city standards. Easements for the collection system to tie into (construction and permanent maintenance) the improvements within the Habitat for Humanity development to the West of S. Colville Avenue shall be provided with plans submittals for approval.\n\nc. A water system design shall be provided and constructed to provide service to each lot in this development and shall be connected to the current termination on S. Colville Avenue and extend to the Southern right of way line of proposed L Street.\n\nThree (3) complete sets of construction documents and specifications for each phase shall be provided to the City and all utility providers for review. Said plans shall show all proposed improvements including roadway grades and contours, street signage (stop, names and no parking), stormwater systems, sanitary sewer, domestic water and fire protection, power, electrical distribution and ornamental street light specifications and layout, natural gas and telecommunication systems and comply with standards adopted by the City of Deer Park.\n\n11. Prior to any construction activity on a city street or within the proposed development, a traffic control plan including potential road closed / detour plan for SR 395, shall be submitted to WSDOT and the City for approval prior to work within the public right-of-way.\n\n12. During construction, the applicant shall comply with the WSDOT manual and City of Deer Park regulations pertaining to construction inspections, including but not limited to:\n\na. Proper construction inspection of all public utility installation of water, wastewater and storm water.\n\nb. Proper construction inspection of all public street improvements, including the compaction of utility trenches and road subgrade, testing of compaction and gradation of base course, and pavement by a qualified licensed testing agency.\n\nc. Prior to placement of any surfacing material on the roadway, it will be the responsibility of the applicant/contractor to provide density test reports certified by a licensed testing agency. All material used for fill shall comply with the materials specifications and compaction requirements of the soils reports.\n\n13. Prior to any construction activity the developer shall provide a construction calendar that addresses all phases of the proposed work. The City shall maintain services of their engineering consultant for full time construction observation for all phases of the construction project, and these service fees shall be deposited to the City by the Developer prior to work commencing, at the fees negotiated between the Consultant Engineer and the City. The applicant shall deposit with the City prior to construction the total amount of dollars as negotiated based on\n\nthe proposed construction calendar plus 15% contingency, and any refunds / charges incurred will be settled prior to approval of the final plat for each phase.\n\n14. Prior to any development work commencing, the Developer shall contact the City to schedule a pre-construction meeting for entities involved with the construction project.\n\n15. As-built plans for all improvements, prepared to City standards shall be submitted to the City prior to final plat approval. In addition, stormwater disposal facilities Operation and Maintenance manuals shall be provided to the City for all facilities developed to control and dispose of water from the public way, and shall be the responsibility of the Plat applicant to provide to homeowner associations or other owners of the Tracts of land proposed for stormwater detention and disposal.\n\n16. A final plat, meeting all requirements of this title shall be submitted to the Community Services Director for approval pursuant to 17.28.030(G) for Phase 1 of the development. Phase 2 through 4 development approval phases shall be based on the completion date of subsequent phases for the overall development.\n\n17. Pursuant to 17.28.040(C), all fees associated with the final plat approval for each phase shall be paid to and/or reimbursed to the City prior to the City processing the final plat approval. These fees shall include, but may not be limited to all fees and costs incurred by the City as a result of the utilization of non-City employee service providers, including engineering fees, legal fees, and any other fees that are incurred by the City to process, consider, examine, evaluate, approve, and uphold the activities of the applicant associated with the application and public improvements constructed pursuant thereto. These fees shall be paid and/or reimbursed to the City in full prior to final approval of each phase of the subdivision. In addition, all final plat fees specifically established on a per lot basis pursuant to City Resolution, all traffic mitigation fees established by the City pursuant to Chapter 10.28 DPMC, and water rights transfer fees established by the City pursuant to Chapter 13.12 DPMC shall be paid prior to final plat approval of each phase of the subdivision.\n\n18. All lots shall be graded to drain in accordance with the building code. In addition, a note shall be placed on the face of the final plat stating:\n\nProperty owners within this plat shall be held responsible for keeping open and maintaining the surface path of natural or man made drainage flow over and across their respective properties. There may exist properties located uphill and adjacent to and within this subdivision which periodically discharge stormwater runoff onto individual lots within this plat. Stormwater runoff from nearby uphill properties should be expected, and during snow melt periods or wet seasons the lots may be subjected to higher amounts of stormwater runoff than what is normally observed or anticipated. Because stormwater runoff from adjacent properties has\n\ndischarged onto this plat prior to development, stormwater runoff will likely continue to do so after the development.\n\n19. Mailbox cluster locations (NBU’s) shall be incorporated into lot development plans and within easements provided on the lots but behind the back of sidewalks for the locations identified with potential conflict. NBU’s locations shall have prior concurrence by the Postal Service Manager for Deer Park, prior to submittal of engineering construction documents for review.\n\n20. A current title insurance policy certificate (dated not more than 30 days prior to the recording date of the final plat) issued by a title company shall be provided, confirming that title of the land is the proposed final plat is vested in the name(s) of the owner(s) who appear on the certificate.\n\n21. A spill prevention and pollution control plan shall be provided to the City of Deer Park prior to any construction activity on the site.\n\n22. Construction activities including the transportation of equipment and materials to the site shall comply with noise ordinance provisions of the City, including working days and holidays. Grading activities shall be performed, where feasible, in a manner which utilizes natural noise barriers adjacent to existing residential areas. Construction equipment shall have adequate mufflers, exhaust systems and spark arrestors, and excavation sites shall be watered on a regular basis and comply with Spokane Regional Clean Air requirements.\n\n23. Building permits may be granted before all improvements are completed if all of the following conditions are met:\n a. No use or occupancy of residences is permitted.\n b. The access roadway is provided with a minimum 6” gravel base course, so placed as to permit an additional 2” of gravel top course to protect the structural integrity of the road base.\n c. The developer assumes all responsibility for damage to improvements during any building phase.\n\n24. The proposed Neighborhood Park area at approximately 1.3 acres is being set aside in an interior area of the proposed development and is being built with the development of Phase 2 and accessed from proposed K and L Streets. A park plan shall be provided with submittal of final engineering documents for Phase 2 that provides play areas and features, water and wastewater service line for a restroom, sidewalks around the perimeter of the areas and along street frontages and a full irrigation system approved by the Parks Maintenance division of the City. The park shall be deeded to the City in fee for natural open space and park purposes in perpetuity and be completed for continued operations and maintenance by the City in conjunction with final platting of Phase 2 of the development.\n\n25. All house plans shall be subject to approval by the Planning Commission or designee and shall be based on current adopted city codes at the time of the building permit application and compliment the neighborhood’s current setting.\n\n26. Timing of improvements and completion of Phases shall be in compliance with the Subdivision ordinance of the City. Extensions for completion of phases may be considered by the Planning Commission, but all phases shall be completed within 10 years or additional application and SEPA reviews shall be required and materials amended to ordinance provisions of the time.\n\n27. The developer shall obtain comprehensive liability insurance, naming the City as additionally insured, for off-site damage to adjoin properties which might result during construction activities, including water flow, earth movements or dust caused by the development activities.\n\nAdopted this 24th day of January 2022\n\nPlanning Commission Chair Person\n\nATTEST:\n\nPlanning Director\n\nCity of Deer Park\nFindings of Fact, Conclusions of Law, and Determination\nRegarding Two Old Boys LLC Long Plat Applications No. LP-2021-2\n\nMITIGATED DETERMINATION OF NONSIGNIFICANCE (MDNS)\n\nDescription of Proposal: McCanna Engineering – Two Old Boys LLC Subdivision LP 2021-2, a subdivision of 34.38 acres into 117 Single Family residential building lots for the purpose of constructing residential buildings per the existing zoning classification of the parcel and including utility infrastructure and off site street improvements.\n\nProponent: Too Old Boys LLC, attn: Bowie McCanna, Project Engineer, McCanna Engineering, 9401 E. Appleway Blvd, Spokane Valley, WA 99206.\n\nLocation of proposal, including street address, if any: The site of this Subdivision is on Tax Parcel numbers 28112.0097, 28111.0095 & 28111.0093, with additional construction work on adjacent parcels 28112.9098, 28111.9096, 28111.9094, and 28112.0094, and that portion of S. Colville Avenue Lying West and North of the proposed subdivision, within a portion of Section 11, Township 28N, Range 42E, W.M. Spokane County, and more generally described as located in the Southerly portion of the City Limits of Deer Park adjacent to S. Colville Avenue and North of the BNSF Railroad line, within the City Limits of Deer Park.\n\nLead Agency: City of Deer Park\n\nThreshold Determination: The lead agency for this proposal has determined that with the mitigation measures identified herein, this proposal would not have a probable and unavoidable significant adverse impact on the environment. An environmental impact statement (EIS) is not required under RCW 43.21C.030(2)(c). This decision was made after review of a completed environmental checklist and other information on file with the lead agency. This information is available to the public on request. However, we have identified impacts by the proposed project that requires mitigation. In addition to the requirement that the development must comply with all City of Deer Park zoning and development regulations, the following conditions of approval of the permit decision apply:\n\n(B)(1) Earth: In order to mitigate for potential earth impacts, the Applicant shall implement Best Management Practices per Department of Ecology for Stormwater Pollution Prevention Controls and to prevent erosion during and after construction. Refer to the Stormwater Manual for Eastern Washington. In addition, placement of excess fill materials for disposal outside the project limits and outside the City Boundary of the City of Deer Park, shall require permitting from Spokane County and shall be provided with submittal of future engineering documents for the project.\n\n(B)(2) Air: In order to mitigate air impacts, the Applicant shall implement dust control measures to reduce fugitive dust emissions during construction both on and off site. A Construction Plan and approval shall be acquired from Spokane Regional Clean Air Agency prior to work commencing.\n\n(B)(3)(b) Ground Water: In order to mitigate for potential impacts to ground water the Applicant shall prepare a final storm water drainage report to accompany final drainage designs for the onsite and offsite basins identified within the initial checklist and drainage analysis and to demonstrate that downstream properties will not be impacted by increased flow impacts resulting from the construction of proposed improvement on the subject site. In addition, any and all approvals by Spokane County for location of storm water systems within the County shall be provided with submittal of future drainage engineering documents. Further, all new drywells and other injection wells must be registered with the Underground Injection Control program (UIC) at the Department of Ecology prior to use and discharge from the well(s) must comply with the ground water quality requirements (non-endangerment standard) at the top of the ground water table.\n\n(B)(14)(16) Transportation / Utilities: In order to mitigate for roadway and utility extensions to be dedicated to City in the future both on site and the off site improvements to S. Colville Avenue, a Professional Engineer (P.E.) licensed in the State of Washington, shall submit road, utility and storm drainage construction plans and a drainage report that conform to the current version of the City of Deer Park Standards, the 2010 and later versions of the Spokane County Road Standards, the 2008 Spokane Regional Stormwater Manual, and all applicable federal, state, and local regulations and laws that are in effect at the time of the plan submittal or at the time of the development permit applications. The final road, utility and storm drainage plans and drainage report shall receive the City Consultant Engineer’s acceptance prior to release of any associated Grading, Building or Right-of-way Permit.\n\nXX This MDNS is issued under WAC 197-11-340(2) and WAC 197-11-350; the lead agency will not act on this proposal for fourteen (14) days from the date below. Written comments must be submitted by June 3, 2021.\n\nResponsible Official:\n\nName: Timothy Verzal\nPosition/Title: Mayor – City of Deer Park\nPhone: (509) 276-8802\nAddress: 316 East Crawford, P.O. Box F, Deer Park, WA. 99006-0228\n\nDate Issued: 5/17/2021 Signature: Timothy Verzal\n\nTo Appeal a Decision – An agency or person may appeal the City’s procedural compliance with WAC Chapter 197-11 (SEPA) for issuance of this MDNS. Appeal of the final MDNS must be made to the Hearing Examiner within 14 days of the date the MDNS is final. The MDNS is final when the City issues the land use permit in the form of subdivision approval.\n\nTO: Deer Park Planning Commission\n\nRE: Two Old Boys LLC - LP 2021-2\n\nTYPE: Planning Commission Approval\n\nPREPARED BY: Roger Krieger\n\nDATED: January 4, 2022\n\nLOCATION: Approximately 1100 S. Colville Avenue\n\nGENERAL INFORMATION\n\nApplicant: Two Old Boys LLC, Attn: Bo McCanna, Project Engineer, McCanna Engineering, Spokane Valley, WA.\n\nStatus of Applicant: Owner – Agent of applicant\n\nParcel Owner: Two Old Boys LLC\n\nRequested Action/Purpose: Approval of Long Plat 2021-2, a Replat the N1/2 of the SE1/4 of the NE1/4, and the S1/2 of the NW1/4 of the SE1/4 of the NE1/4 and that portion of the NE1/4 of the SE1/4 of the NW1/4 Lying East of Colville (Dalton) Road, all in Sec. 2, T28N, R42E, W.M., and more particularly identified as Spokane County Tax Parcels 28112.0097, 28111.0095 & 28111.0093.\n\nSize: 35.14 Acres.\n\nPhysical Characteristics: Land is sloping from NE to SW, with potential drainage way and surface water runoff across the parcel and to be collected and routed through the parcel with drainage facilities and easements to parcels owned by the LLC and located within Spokane County.\n\nDevelopment Characteristics: (1) Subdivision into 40 lots of higher density two family residential development, a net density of approximately 5 lots to the acre, with lot size ranging from 8,076 square feet to 11,207 square feet. (2) Subdivision into 85 lots of low density single family residential development, a net density of approximately 4.5 lots to the acre, with lot size ranging from 10,008 square feet to 11,801 square feet. All lots sized to accommodate single and two family residential dwellings as stated in the State Environmental Review Checklist and permitted within the zoning classifications of the parcel.\n\nTransportation: The proposed subdivision will be accessed from construction of an interior roadway system accessed from S. Colville Avenue and in the future could extend to a Southern Extension of S. Weber Avenue. Overall distribution of traffic is expected to be 15% East using Crawford Avenue, 5% North on US 395, all traffic going South from the site on US 395 is expected to use East H Street and S. Main Street, and all intersections continue to function at a high level of service from traffic generated by the project.\n\nParking: Residential zoning requirements include two off street parking spaces per unit. In addition, traffic mitigation fees to be collected at final plat submission for the plat. The City Street would be limited parking with restrictions during the overnight hours.\n\nExisting Zoning: Residential 2A – Eastern parcels 28111.0093 and .0095. Multifamily Residential – Western parcel 28112.0097.\n\nSurrounding Use/Zoning:\n- North: Developed land, Multi-family and Residential zoned R3A.\n- West: Developed land, residential R3A zoned..\n- South: Undeveloped land, within Spokane County.\n- East: Undeveloped land, zoned Public.\n\nComprehensive Plan Designations: Single Family and Multi-Family Residential.\n\nEnvironmental Documentation: A Mitigated Determination of Nonsignificance for the project was issued May 17, 2021, by the City. Specific mitigation measures were identified within the decision and additional comments received from Washington State Department of Ecology were noted, no other comments were received from review agencies. Mitigation measures are identified within conditions recommended below for approval.\n\n**ANALYSIS**\n\nThe original final application submittals for subdivision were received on August 13, 2021, which included the preliminary application for subdivision along with a Project-State Environmental Policy Act Checklist. Prior to the submittal date and from approximately 2011, staff review comments and responses and/or changes to the plat have been completed as well as completion of a Mitigated Determination of Non-Significance. A result of the reviews and additional discussions with the applicants provided for the re-submittal of all documents for acceptance by the City on August 23,\n\n2021. The SEPA review determination and draft MDNS was submitted to the applicant for concurrence with approval received from the applicant on May 17, 2021 to proceed. The MDNS was published on May 17, 2021, and upon completion of response time, a notice for adoption of the draft MDNS was completed June 3, 2021, starting an appeal time period, and request for subdivision documents to proceed to hearing stages. On October 25, 2021, a Determination of Completeness issued, scheduling the hearing date as December 13, 2021. Unfortunately, the notification periods as required by City Ordinance were not met and notifications not distributed which required a rescheduling of the hearing until January 10, 2022. All required notifications to adjacent parcel owners, sign posting and publication in the newspaper of record have been completed as required by ordinance.\n\nThe parcel of land is located East of S. Forest Avenue at the Southern end of the City Limits of Deer Park, in portions of Section 11, T.28N., R.42E., Willamette Meridian, Spokane County, and as noted above carries the zoning classification of Residential 2A, allowing single family residential structures on a minimum lot size of 10,000 square feet, and Multi-family which can be used for two family residential structures on a minimum lot size of 6,000 square feet.\n\nThe subject parcel has no improvements to the site other than S. Colville Avenue in its current condition of 22 feet of paved width. Improvements planned including those off site include: Roadway construction to match existing S. Colville Avenue, which provides 40 feet of driving surface, curbs, drainage and sidewalks from the current end of the improved street across the frontage of this subdivision, walkways on both sides of the street. Water line extension and crossings from the current terminus of the water main on S. Colville Avenue to the Southern proposed entry road to the subdivision. Wastewater extension across and through lands owned by the Habitat for Humanity Development located to the West of S. Colville Avenue. Utility extensions as required for providers in the area of power, natural gas and communications. In addition, conceptual Offsite Drainage and Stormwater Management Plans have been prepared in response to drainage issues identified by Staff in development meetings. Recognizing the conditions as recommended below and the City of Deer Park development standards, appropriate provisions have been identified to ensure the public health, safety and general welfare, and therefore the public use and interest will be served by the proposed preliminary plat.\n\nA threshold determination and environmental review pursuant to RCW 43.21C, the State Environmental Policy Act, and Chapter 16.04 of the Municipal Code, was completed and a Mitigated Determination of Non-Significance (MDNS) was issued on May 17, 2021.\n\nIf conditions are adopted as noted below, the proposed Preliminary Plat would be in compliance with Chapter 17.28 and Chapter 16 of the Deer Park Municipal Code.\n\nDENSITY: The Zoning Code of the City allows for residential use (single family dwellings) as permitted within the R2A Zone of the City, which allows for lot size of 10,000 square feet, with a minimum of 50 feet of lot frontage along a City Street, except for cul-de-sacs where the frontage is normally measured at the front setback line. The\n\nproposed development is in conformance with the low density residential designation of the Land Use Elements and with current zoning standards of the City. Further, the Zoning Code of the City on the Western most parcels allows for multi-family residential use (including duplex dwellings under provisions of the R3A Zone of the City), Which allows for lot size of 6,000 square feet, with a minimum of 50 feet of lot frontage along a City Street. Additionally, access restrictions to existing City street system, fencing location and rear or secondary street frontage yard requirements for lots fronting any portion of S. Colville Avenue are required to eliminate direct access from the rear or sides of the parcel and will be listed a plat restrictions on the face of the plat.\n\nSTREET / SIDEWALK DEVELOPMENTS: The roadway providing access to the site does not have any current pedestrian facilities, but will be added across the frontage of the parcel of S. Colville Avenue on both sides of the street, concurrent with the first phase of development completed with the plat. The discussion of numbers and placement of sidewalks is specified in section 17.28.050(B)(10) of the Subdivision ordinance. The section requires sidewalks to be placed on both sides of the roadways for the subdivision and at a minimum width of 5 feet. However, the section also allows reduction of the sidewalk width from 5 feet to 3 feet, if clear passing spaces are provided at 200 foot intervals. The street rights of way within the plat will be provided with sidewalks of 5 feet in width on both sides, and also be provided with sidewalks along the existing frontage of S. Colville Avenue concurrent with the phasing plans proposed.\n\nRoadway sections are noted on the plat as specified in section 17.28.050(B)(10) of the subdivision ordinance. The streets within the plat are designated as local access street with right of way widths of 46 feet, and pavement width of 38 feet. S. Colville Avenue will receive improvements along the frontage of the development in Phase 1 and each of the proposed roadway sections are shown on plans sheets 1.\n\nOPEN SPACE / PARKS: A proposed Neighborhood Park area at approximately 1.3 acres is being set aside in an interior area of the proposed development and is being built with the development of Phase 2 and accessed from proposed K and L Streets, and is within the areas identified within the parks plan for green space and development. A park plan is to be provided with submittal of initial engineering documents for Phase 2 that provides play areas and features, restroom and sidewalks around the perimeter of the areas and along street frontages. The park will be completed and dedicated to the City for continued operations and maintenance in conjunction with final platting of Phase 2 of the development.\n\nPOSTAL DELIVERY: The U.S. Postal Service will now only provide mail to residential areas with Neighborhood Box Units (NBU’s). The NBU is a cluster of mailboxes strategically located to serve several home sites. The mailbox clusters must be situated in close proximity to the dwelling units served and they require design approval by both municipal and postal authorities and fit behind the walkways on the City street system.\n\nCOMMISSION PROCESS: The Planning Commission through development of “findings of facts, recommendation and conclusions” has the authority to rule on the\n\nabove and grant a platting variance to the issues raised through the hearing process. Conditions for consideration are:\n\n- The granting of a platting variance will not be detrimental to the public safety, or welfare, or injurious to adjacent property.\n- The tract to be subdivided is of such unusual size and shape or topographical conditions that the strict application of this title will result in undue and substantial hardship to the owner of the property.\n\nWith discussion of the proposed subdivision along with any platting variances that may be raised as noted above, the public hearing process and requirements are met.\n\nNotice of public hearing on the matter were mailed to adjacent parcel owners, signs were installed identifying the land use action and notification in the newspaper of record was completed prior to stated deadlines for notification to the public. In addition, comments were solicited from Fire District #4, Avista Utilities, Qwest, and the Comcast cable TV system. To date only comments on the storm water plans for the subdivision from Spokane County, either through the individual utility mailings or SEPA process have been received.\n\nThe purpose and scope of the public hearing is for the Commission to inquire into the public use and interest proposed to be served by the establishment of the subdivision and dedication, determine if provisions are made for, but not limited to, the public health, safety, and general welfare, for open spaces, drainage ways, streets, alleys, and other public ways, water supplies, sanitary wastes, parks, playgrounds, sites of schools and playgrounds, and shall consider all other relevant facts, including sidewalks, bikeways, and other planning features that assure safe walking and riding conditions for students who walk or ride a bicycle to and from school, and determine whether the public interest will be served by the subdivision and dedication.\n\n**RECOMMENDATION**\n\nDevelopment of Findings of Facts with conditions noted following in support of the request, Commission approval and recommendation to the City Council for adoption at the next meeting of the Commission.\n\n1. All lots shall be graded so that the graded pad areas drain directly to their own street frontage at a 2 percent minimum grade and/or to non-erosive drainage devices on the parcel.\n2. Mailbox cluster locations (NBU’s) shall be incorporated into lot development grading plans and within easements provided on the lots but behind the back of sidewalks.\n3. Storm water drainage facilities shall comply with the Spokane Regional Stormwater manual for the impervious surfaces created, and requirements of Spokane County as it relates to flow of water off-site and onto adjacent parcels within Spokane County.\n4. A wastewater system design shall be constructed to provide service to each lot in this development and shall be connected to the existing sanitary sewer.\n\nsystem located within the Habitat for Humanity owned lands located Westerly of the development site.\n\n5. A water system design shall be constructed to provide service to each lot in this development and shall be connected to the existing water utility mains located North of the boundary of the proposed subdivision. Further extension of water mains within the development and to the Eastern boundary of the future phase shall be completed during the subsequent phase and for the future connection of City water to the East of the proposed subdivision.\n\n6. Construction activities including the transportation of equipment and materials to the site shall comply with noise ordinance provisions of the City, including working days and holidays. Grading activities shall be performed, where feasible, in a manner which utilizes natural noise barriers adjacent to existing residential areas. Construction equipment shall have adequate mufflers, exhaust systems and spark arrestors, and excavation sites shall be watered on a regular basis and comply with Spokane Regional Clean Air requirements.\n\n7. In order to mitigate for potential earth impacts, the Applicant shall implement Best Management Practices per Department of Ecology for Stormwater Pollution Prevention Controls and to prevent erosion during and after construction. Refer to the Stormwater Manual for Eastern Washington.\n\n8. In order to mitigate air impacts, the Applicant shall implement dust control measures to reduce fugitive dust emissions during construction both on and off site. A Construction Plan and approval shall be acquired from Spokane Regional Clean Air Agency prior to work commencing.\n\n9. In order to mitigate for potential impacts to ground water the Applicant shall prepare a site-specific geotechnical report identifying in-situ soil conditions, soil transmissivity, subsurface flow paths and related parameters to use used to demonstrate that downstream properties will not be impacted by increased flow impacts resulting from the construction of proposed improvement on the subject site. Additionally, the report shall identify drywell outflow rates, the infiltration rates, the quantity of fines, drywell compatibility in the swale locations and potential subsurface flow impacts on the proposed homes. Further, all new drywells and other injection wells must be registered with the Underground Injection Control program (UIC) at the Department of Ecology prior to use and discharge from the well(s) must comply with the ground water quality requirements (non-endangerment standard) at the top of the ground water table.\n\n10. In order to mitigate for potential impacts to the water and wastewater system of the City, the developer shall submit plans and profiles of the proposed water and existing sanitary sewer improvements prepared by a registered civil engineer to the City for review and approval.\n\n11. In order to mitigate for roadway and utility extensions to be dedicated to City in the future, a Professional Engineer (P.E.) licensed in the State of Washington, shall submit road, utility and storm drainage construction plans and a drainage report that conform to the current version of the City of Deer Park Standards, the 2010 and later versions of the Spokane County Road Standards, the 2008 Spokane Regional Stormwater Manual and updates, and\n\nall applicable federal, state, and local regulations and laws that are in effect at the time of the plan submittal or at the time of the development permit applications.\n\nThe final road, utility and storm drainage plans and drainage report shall receive the City Consultant Engineer’s acceptance prior to release of any associated Grading, Building or Right-of-way Permit. Roadway improvements for existing and adjacent streets systems to include S. Colville Avenue shall be provided with curbing and drainage improvements to the existing roadway with pedestrian walkways per plan. Offsite improvements to be sequenced with Phase 1 of the development.\n\n12. All City incurred engineering review fees and construction observation costs, and construction costs for streets, utility mains, storm drain systems, utilities and ornamental street light costs for installation shall be provided by the developer at his expense.\n\n13. In order to mitigate and provide for parks and open spaces, the Neighborhood Park space or open space area shall be deeded to the City in fee for natural open space and park purposes in perpetuity, and shall encompass the areas in approximate detail to the Preliminary Plat – Future Park area. All water and wastewater service shall be provided to the tract of land, and shall be provided with improvements noted, including restroom, pathway, play structures, green space with permanent irrigation systems and other features as otherwise advised by a licensed landscape architect and soils engineer and as approved and accepted by the City Maintenance Supervisor.\n\n14. All fees pertaining to subdivisions required by the Municipal Code to be paid prior to approval of the final plat map by the City Council, and shall be based on the fees which are in effect at such respective times.\n\n15. The developer shall provide all necessary on-site easements for public and private utility systems.\n\n16. Development on the parcels shall be in compliance with provisions of the Multi-family (MF and R3A) and Residential 2A requirements of the zoning code. Additionally, if or where easements are provided that might be used for pedestrian sidewalks, the minimum setback distance from any back of sidewalk to proposed front of building shall be 25 feet, to provide clear parking areas for vehicles to not block the sidewalks. Further, specific plat restrictions will be noted on the plat stating no access to the rear or side of any lots fronting S. Colville Avenue and setbacks for fencing or structures shall comply with rear or side yard setback requirements listed within section 18.23.050 Yards and 18.94 Clear View Triangle and Fencing.\n\n17. All house plans shall be subject to approval by the Planning Commission or designee and shall utilize wood, stone, brick and other natural materials to compliment the neighborhood’s current setting.\n\n18. Timing of improvements and completion of Phases shall be in compliance with the Subdivision ordinance of the City. Extensions for completion of phases may be considered by the Planning Commission, but all phases shall\n\nbe completed within 10 years or additional application and SEPA reviews shall be required and materials amended to ordinance provisions of the time.\n\n19. The developer shall obtain comprehensive liability insurance, naming the City as additionally insured, for any off-site damage to adjoining properties which might result during construction activities, including water flow, earth movements or dust caused by the development activities.\n\n**ATTACHMENTS**\n\n1. Two Old Boys Addition Subdivision application 2021-2.\n2. Public Hearing Notice, Vicinity Map & Preliminary Plat Map of Two Old Boys Addition.\n3. City of Deer Park Zoning Map.\n4. City of Deer Park Comprehensive Plan Map – Park Needs.\n5. Mitigated Determination of Nonsignificance"}}},{"rowIdx":204788,"cells":{"text":{"kind":"string","value":"The Bendectin Litigation: A Case Study in the Life Cycle of Mass Torts\n\nJoseph Sanders\n\nFollow this and additional works at: https://repository.uchastings.edu/hastings_law_journal\n\nPart of the Law Commons\n\nRecommended Citation\nJoseph Sanders, The Bendectin Litigation: A Case Study in the Life Cycle of Mass Torts, 43 Hastings L.J. 301 (1992).\nAvailable at: https://repository.uchastings.edu/hastings_law_journal/vol43/iss2/2\n\nThis Article is brought to you for free and open access by the Law Journals at UC Hastings Scholarship Repository. It has been accepted for inclusion in Hastings Law Journal by an authorized editor of UC Hastings Scholarship Repository. For more information, please contact email@example.com.\n\nThe Bendectin Litigation: A Case Study in the Life Cycle of Mass Torts\n\nby\nJOSEPH SANDERS*\n\nTable of Contents\n\nI. Introduction .................................................. 303\nII. Case Congregations ........................................... 305\n A. Beyond the Individual Case ............................. 305\n B. Case Congregations and Mass Torts .................... 307\n C. A Note on Case Studies ................................. 310\nIII. Bendectin Background ...................................... 311\n A. The Firm ............................................... 311\n B. The Drug .............................................. 312\n (1) Thalidomide ....................................... 313\n (2) MER/29 ............................................. 315\n (3) Bendectin .......................................... 317\nIV. The Science ................................................ 321\n A. Background ............................................ 321\n (1) In Vitro Studies ................................... 322\n (2) In Vivo Studies .................................... 322\n (3) Epidemiological Studies ........................... 326\n a. The Primacy of Epidemiology? .................... 328\n b. Causal Inference ................................ 329\n B. The Bendectin Studies ................................ 331\n\n* Professor of Law, University of Houston Law Center; B.A. 1966; J.D. 1969; Ph.D. 1974, Northwestern University. This Article is a revised version of a paper originally given at the Law and Society Meetings in Berkeley, California in June 1990. The research for the Article was supported by the University of Houston Environmental Liability Law Program. The Article would not have been possible without the assistance of the following University of Houston law students who work for the Environmental Law Liability Program: Michael Brown, Bill Robbins, Michael Rose, Lisa Salzman, and especially Terry Salem and Randall Terrell. The Environmental Law Liability Program is indebted to Marion Merrell Dow for its willingness to provide transcripts and other materials from the Bendectin cases. Herbert Kritzer and Michael Rustad also provided valuable materials. I wish to thank W. Glenn Forrester, Marc Galanter, Richard Lempert, Barry Nace, Al Schretter, the student editors of the Hastings Law Journal, and especially Michael Green for helpful comments on earlier drafts.\n\n[301]\n\n| Section | Page |\n|------------------------------------------------------------------------|------|\n| (1) In Vitro Studies | 331 |\n| (2) In Vivo Studies | 333 |\n| (3) Epidemiological Studies | 339 |\n| a. Background | 339 |\n| b. The Evolution of Bendectin's Epidemiological Research | 341 |\n| c. The Increase in Statistical Sophistication and Power | 342 |\n| d. The End of Research | 345 |\n| (4) The Life Cycle of the Bendectin Science | 347 |\n| V. The Law | 348 |\n| A. Mobilization | 349 |\n| (1) The \"First Plaintiff\" Problem | 349 |\n| (2) Merrell's Preventive Efforts | 354 |\n| B. The Caseload and Trial Load | 359 |\n| C. Rationing Law | 362 |\n| (1) Procedural Rationing | 362 |\n| (2) Substantive Rationing | 372 |\n| a. Trial Court Opinions | 372 |\n| b. Appellate Court Opinions | 375 |\n| (i) Oxendine | 379 |\n| (ii) Richardson | 380 |\n| (iii) Brock | 382 |\n| (iv) Ealy | 383 |\n| c. A Defense Bias? | 384 |\n| VI. The Larger Context | 386 |\n| A. Substantive Rationing and the Judge-Jury Relationship | 386 |\n| B. Substantive Rationing in the School Desegregation Cases | 390 |\n| VII. Conclusion: Case Congregations and the Interaction of Macro and Micro Processes | 391 |\n| VIII. Appendices | 394 |\n\nOne precedent creates another. They soon accumulate and constitute law. What yesterday was fact, today is doctrine.\n\nJunius\n\nI. Introduction\n\nIn an important recent article on prodefendant developments in products liability during the late 1980s, James Henderson and Theodore Eisenberg discuss areas of products liability law in which, during the early 1980s, new plaintiff breakthroughs had seemed imminent.\\(^2\\) One of these areas involved \"[t]he imposition of liability on manufacturers of prescription drugs and other toxic substances based solely on epidemiological evidence of causal links between those products and plaintiffs' injuries . . . .\"\\(^3\\) Among the products believed most likely to lead to such a breakthrough was the drug Bendectin, a widely prescribed morning sickness remedy alleged to cause birth defects in the children of mothers who had taken it. Given the sympathetic early reaction of several courts to plaintiffs' presentation of epidemiological proof of causation,\\(^4\\) the expectation that Bendectin cases would produce the next breakthrough for plaintiffs was more than reasonable.\\(^5\\) Yet, as Henderson and Eisenberg note, by the end of the decade early plaintiff victories were replaced by general defeat, \"now mak[ing] it unlikely that Bendectin-related claims have a promising future.\"\\(^6\\)\n\nWhat occurred in the intervening years to lead to this altered assessment? This Article addresses the question through an in-depth examination of the legal and scientific history of Bendectin. While Henderson and Eisenberg use the Bendectin litigation as an example of general trends in products liability law, the cases can be understood at a micro level as well. The failure of the Bendectin cases to usher in a new era of causal proof based solely on statistical data is due as much to factors specific to the drug as it is to large-scale changes in tort law. The Bendectin cases are not simply a random group of otherwise independent\n\n---\n\n1. Dedication to the English Nation, The Letters of Junius [1769-1771], reprinted in Familiar Quotations 1001 (John Bartlett ed., 13th ed. 1955).\n2. James A. Henderson, Jr. & Theodore Eisenberg, The Quiet Revolution in Products Liability: An Empirical Study of Legal Change, 37 UCLA L. Rev. 479 (1990).\n3. Id. at 486.\n4. See, e.g., Oxendine v. Merrell Dow Pharmaceuticals, 506 A.2d 1100, 1107-14 (D.C. 1986) (testimony of expert witness that drug used during pregnancy caused child's birth defects sufficient to carry case to jury where testimony was based on four different types of scientific studies).\n5. Henderson & Eisenberg, supra note 2, at 491.\n6. Id.\n\nproducts liability cases that happen to involve the same drug. Rather, they are a collection of cases that, over time, have interacted in varied ways. Robert Emerson\\textsuperscript{7} and, more recently, Marc Galanter\\textsuperscript{8} have discussed the nature of these interactions. Like other mass torts, the cases concerned with Bendectin are usefully thought of as a unit—the Bendectin Cases. This “congregation” of cases, to use Galanter’s term,\\textsuperscript{9} has a beginning, a middle, and apparently a rapidly approaching end.\n\nThe topic of this Article is the life cycle of the Bendectin Cases. In Part II, I review Emerson’s and Galanter’s thoughts as to how the existence of a congregation affects the way individual cases are processed and resolved. Part III provides some background on Bendectin and its manufacturer, Merrell Dow. The Bendectin litigation, like that of most mass torts, revolves around a body of scientific evidence employed to demonstrate that the product does or does not cause the harm alleged. Part IV surveys the science on Bendectin, examining it from a congregation perspective as well. In Part V the attention turns to the law and legal process surrounding Bendectin. I examine plaintiff and defense efforts to mobilize resources and fight for position in the early stages of the congregation. After presenting an overview of the Bendectin litigation’s life cycle, this Part concludes by discussing how the judiciary procedurally and substantively rations adjudicatory resources to large congregations such as the Bendectin Cases.\n\nThe Article concludes with some general thoughts about the relationship between judicial rationing and case congregations and the ways in which case studies such as this one help us understand the larger trends in tort law uncovered by Henderson and Eisenberg. In the Bendectin Cases, the judiciary has played a much more active role in rationing its resources than anticipated by Galanter. I discuss the factors that compel the judiciary in this direction when it is confronted with congregations of mass tort cases. Efficiency, stability, and consistency become relatively more important as a congregation matures, and the judiciary becomes more willing to intervene in the fact-finding process to achieve these goals. Case congregation analysis also helps explain the trend in products liability cases observed by Henderson and Eisenberg. The micro processes that create incentives for procedural and substantive rationing cumulatively create a macro effect of greater judicial willing-\n\n\\textsuperscript{7} See Robert M. Emerson, Holistic Effects in Social Control Decision-Making, 17 LAW & SOC’Y REV. 425 (1983).\n\n\\textsuperscript{8} See Marc Galanter, Case Congregations and Their Careers, 24 LAW & SOC’Y REV. 371 (1990) [hereinafter Galanter, Case Congregations].\n\n\\textsuperscript{9} Id. at 371.\n\nness to intervene in the trial process, and this in turn tends to generate prodefendant outcomes.\\textsuperscript{10}\n\n\\section*{II. Case Congregations}\n\nIn a common-law system the individual case is usually the primary unit of analysis. In keeping with the doctrine of stare decisis, lawyers strive to differentiate the present case from adverse precedents and align it with favorable ones. The tendency is to view each prior case as standing on its own—a unique combination of law and fact. Likewise, the disposition of each current case is thought to be governed by the idiosyncratic combination of lawyers, jurors, and judges who develop and decide it.\n\nEven when cases are aggregated, it is most frequently according to legal principle or doctrine. Cases are viewed as links in a chain of conceptual development, as pieces in the precedent puzzle. From this perspective, the individual case remains the basic unit of analysis. The case is put into a larger picture as a brick is put into a wall; one discrete entity is combined with others to construct a larger edifice. Because the case is the law's basic unit of analysis and because each case is factually and procedurally distinct, we are easily led to adopt this narrow perspective.\n\nMore often than we might suppose, however, the study of the legal process will benefit from a different perspective. As Emerson has observed, this is most surely true of those circumstances in which the parties themselves do not \"examine and dispose of cases as discrete units, treating each on its own merits independently of the properties and organizational implications of other cases.\"\\textsuperscript{11}\n\n\\subsection*{A. Beyond the Individual Case}\n\nEmerson describes three \"holistic\" frameworks that shape the way legal actors approach each individual case.\\textsuperscript{12} First, there are \"case streams,\" against which individual cases often are assessed by reference to what is \"normal\" for the stream.\\textsuperscript{13} Those who must routinely process similar cases develop typification procedures that help them to channel normal cases into the proper stream and allow them to devote extra attention to abnormal cases.\\textsuperscript{14}\n\n\\begin{itemize}\n \\item[10.] See Henderson & Eisenberg, \\textit{supra} note 2, at 491.\n \\item[11.] Emerson, \\textit{supra} note 7, at 425.\n \\item[12.] \\textit{Id.} at 427.\n \\item[13.] \\textit{Id.} at 426.\n \\item[14.] See generally Richard Lempert \\& Joseph Sanders, \\textit{An Invitation to Law and Social Science} 43-58 (1986) (explaining components of typification process); H. Lau-\n\\end{itemize}\n\nSecond, there are \"caseloads.\" Legal actors are influenced by the number of cases they are required to process. When, as frequently occurs, caseloads overwhelm resources, decisions must be made regarding the time and energy to devote to each case. The focus is not on the individual case, but on the actor's responsibility for an entire caseload. Caseload effects are most apparent when cases that admittedly deserve attention are nevertheless given little or none because other cases are considered more serious.\n\nWhen legal actors on both sides of a case face like caseloads and case streams, as in the criminal courts, they may well move beyond a process of comparison, into active horse-trading of case outcomes. Emerson gives as an example a typical multiple case bargaining session between prosecutor and defense attorney (reported by Feeley):\n\nAfter they have discussed a few, the prosecutor might say rhetorically, \"Jesus, I've already given you three nolles today, do you want me to go out of business?\"... Conversely, the prosecutor might hear a defense attorney plead, \"You've put me through the wringer this morning; give me a break on this one!\"\n\nThird, Emerson notes the holistic effects of sequence and precedent. Cases that are recognized as \"first cases\" will be treated differently from later ones. For example, the first offense a teacher encounters in a school year may be treated more harshly than later infractions because the teacher wants to \"set a precedent\" by making an example of the offender. In this situation the first case is the most important, but this will not always be true. For instance, the legal actors might simply be unaware that a case is first or that the sequence of cases to come will prove important. At some point, however, the parties may recognize\n\n15. Emerson, supra note 7, at 426.\n16. Id.\n17. Id. at 445 (quoting Malcolm Feeley, The Process Is the Punishment: Handling Cases in a Lower Criminal Court 192-93 (1979)).\n18. Id. at 427 (citing Gerald Levy, Ghetto School: Class Warfare in an Elementary School (1970)).\n19. There are situations where only one party may view a case as part of a congregation. A defendant searching for the best case to take up on appeal may view a group of cases as a congregation, while each plaintiff sees its case in isolation. This broader perspective allows the defendant to \"play for rules\" in the appellate process (that is, to obtain a favorable appellate opinion, allowing the party to win future cases). This is one of the advantages Galanter attributes to parties who repeatedly litigate an issue. Marc Galanter, Why the \"Haves\" Come Out\n\nthey are involved in a sequence of cases and that earlier trial verdicts and settlements have important consequences for those coming later.\\textsuperscript{20}\n\nEach of these case aggregations reflects Emerson's basic point that since the work of legal actors sometimes focuses on a larger whole, the individual case is not always the most appropriate unit of analysis.\\textsuperscript{21} In most of the examples discussed by Emerson, each aggregation's individual cases are related to each other only because of the organizational structure of the legal system. They are connected procedurally and structurally, but are factually discrete. In some situations, the connection goes beyond procedure and organization to substance. When this occurs, substance and legal organization interact, creating even stronger relationships among cases.\n\nB. Case Congregations and Mass Torts\n\nOne area in which substantive interrelationships occur involves the mass tort. \"Mass tort\" is a slippery phrase. Here I mean injury to multiple parties allegedly caused by a single product or event. One frequent type of mass tort involves an event such as an airplane crash.\\textsuperscript{22} Perhaps less frequent in number, but often involving many more actual and potential plaintiffs are mass torts involving toxic substances or defective products. These product-caused mass torts include injuries resulting from exposure to substances such as asbestos and Agent Orange,\\textsuperscript{23} as well as injuries caused by products such as the Ford Pinto, Firestone 500 tires, or the Dalkon Shield.\\textsuperscript{24} A third group of product-related mass tort\n\n\\textit{Ahead: Speculations on the Limits of Legal Change}, 9 \\textsc{Law \\& Soc'y Rev}. 95, 98-103 (1974) [hereinafter Galanter, \\textit{Limits of Legal Change}].\n\n\\textsuperscript{20} A failure to recognize early on that a case or set of cases is the first in a large congregation can prove expensive for defendants if they settle the early cases for substantial sums or if they lose at trial; jury verdicts and settlement values of first cases are likely to become the baseline from which all future bargaining begins. This occurred with respect to the asbestos cases. \\textit{See} Francis McGovern, \\textit{Toward a Functional Approach for Managing Complex Litigation}, 53 U. \\textsc{Chi. L. Rev}. 440, 488 (1986). Past judgments are also playing a role in the Dalkon Shield bankruptcy proceedings. Under the Dalkon Shield Claimants' Trust Plan, claimants who elect Option III and show that the Shield caused their injury will be offered settlement amounts based on historic settlement values. 4 \\textsc{Toxics L. Rep. (BNA)} No. 36, at 1034 (Feb. 14, 1990). For a general discussion of this and other ways of establishing the monetary value of cases in mass tort situations see \\textsc{Mark Peterson, New Tools for Reducing Civil Litigation Expenses} (1983).\n\n\\textsuperscript{21} Emerson, \\textit{supra} note 7, at 454.\n\n\\textsuperscript{22} Roger H. Transrud, \\textit{Joinder Alternatives in Mass Tort Litigation}, 70 \\textsc{Cornell L. Rev}. 779, 780-81 (1985) [hereinafter Transrud, \\textit{Joinder Alternatives}].\n\n\\textsuperscript{23} \\textit{Id.}\n\n\\textsuperscript{24} \\textit{See generally} Sandra Kinghorn, Corporate Harm—A Structural Analysis of the Criminogenic Elements of the Corporation (1984) (unpublished Ph.D. dissertation, University of Michigan) (reviewing the history of each of these mass torts).\n\ncases arises from exposure to drugs such as Thalidomide, DES, and Bendectin.\\textsuperscript{25} While there are many differences between these various types of mass torts,\\textsuperscript{26} all are characterized by the fact that their component cases share a single underlying type of harm; further, all the parties to the litigation recognize this fact.\n\nA mass tort is a physical event, but it is also a social construct. The cases are quickly recognized as a group by the parties, the courts, and frequently by the public at large. The term “asbestos cases” or “Dalkon Shield cases” comes to have meaning outside the courthouse as well as within it. Not only are the cases arising from a mass tort connected substantively and procedurally, they have this important additional property: ultimately they share a common legal fate.\\textsuperscript{27}\n\nIn this respect, mass tort cases are an example of what Galanter calls a case congregation; that is, “a group of cases that . . . share common features, that are shaped by a common history, that are subject to shared contingencies, and that lean into a common future.”\\textsuperscript{28} The central observation about case congregations is that they have \\textit{careers}; that over time, the volume and nature of cases change in an orderly fashion according to particular qualities of the congregation.\\textsuperscript{29}\n\nGalanter discusses several general factors that influence case careers. First, there is the volume of underlying activity that gives rise to certain types of cases. For example, the number of selective service cases filed in the federal courts mirrored the progress of the Viet Nam War. As the War ended so did the “draft” cases.\\textsuperscript{30}\n\nSecond, there are several ways in which the legal system itself influences the career of a case congregation, at both an individual and a more holistic level. At the individual case level, early cases can generate \\textit{mobilization} efforts by potential claimants and \\textit{preventive measures} by potential defendants that ultimately alter the volume and the outcome of further suits (sometimes by altering the level of the underlying activity).\\textsuperscript{31} Thus, as Galanter points out, confronted with the ruling in\n\n\\begin{itemize}\n \\item \\textsuperscript{25} Trangsrud, \\textit{Joinder Alternatives}, supra note 22, at 780-81.\n \\item \\textsuperscript{26} For example, toxic tort claims usually seek compensation for chronic injuries and diseases, whereas product claims usually seek recompense for traumatic injuries.\n \\item \\textsuperscript{27} This does not mean, of course, that every case in the congregation has the same outcome. The outcome of an individual case is influenced by, among other factors, where it occurs in the life-cycle and whether it is swept into procedural rationing devices such as class actions.\n \\item \\textsuperscript{28} Galanter, \\textit{Case Congregations}, supra note 8, at 372.\n \\item \\textsuperscript{29} \\textit{Id.} at 373.\n \\item \\textsuperscript{30} \\textit{Id.} at 374 fig. 1.\n \\item \\textsuperscript{31} \\textit{Id.} at 379-84.\n\\end{itemize}\n\nTarasoff v. Regents of the University of California, that under certain circumstances therapists have a duty to protect third parties from violence at the hands of their patients, therapists have responded by \"giving more warnings, initiating more involuntary hospitalizations and taking more notes.\"\n\nOn a more holistic level, the cases begin to interact with and affect each other. When cases become known as a collection, parties begin to share information and to coordinate efforts. These coordination networks are qualitatively different from the mobilization and prevention activities discussed above because they specifically involve intercase activities. Occasionally, coordination becomes institutionalized. For example, information on school desegregation efforts was shared among several special organizations, including the NAACP, the Legal Defense Fund, the Lawyer's Committee for Civil Rights Under Law, and the Harvard Center for Law and Education.\n\nCoordination networks represent one way in which parties may respond to a case congregation. Courts also respond to groups of cases. A fundamental holistic response of the courts is rationing. The most extreme type of rationing is exemplified by worker's compensation statutes, which attempt to close the courts to most work-related injury claims. Less dramatic rationing efforts involve class actions, special masters, and similar devices.\n\nA third holistic effect is depletion. As the easy cases are resolved, a smaller and smaller group of cases, in which it becomes increasingly difficult for plaintiffs to prevail, is left behind. Depletion is most obvious in disasters such as airplane crashes, in which there is a known finite number of victims; but it occurs in other situations as well, especially\n\n32. 13 Cal. 3d 177, 529 P.2d 553, 118 Cal. Rptr. 129 (1974) (depublished), vacated and modified, 17 Cal. 3d 425, 551 P.2d 334, 135 Cal. Rptr. 14 (1976).\n\n33. Galanter, Case Congregations, supra note 8, at 380. See Daniel Givelber et al., Tarasoff, Myth and Reality: An Empirical Study of Private Law in Action, 1984 Wis. L. Rev. 443, 472-83.\n\n34. Marc Galanter, Lawyers' Litigation Networks, (unpublished paper presented to the Conference on the Frontiers of Research on Litigation, University of Wisconsin, Madison, September 20, 1985) [hereinafter Galanter, Litigation Networks].\n\n35. Galanter, Case Congregations, supra note 8, at 387.\n\n36. Mark Chesler et al., Social Science in Court: Mobilizing Experts in the School Desegregation Cases 17-18, n.16 (1988).\n\n37. Galanter, Case Congregations, supra note 8, at 385.\n\n38. See, e.g., Peter Schuck, The Role of Judges in Settling Complex Cases: The Agent Orange Example, 53 U. Chi. L. Rev. 337, 347-48 (1986).\n\n39. Galanter, Case Congregations, supra note 8, at 388.\n\nwhere defendants begin to take preventive measures to thwart future claims.\\textsuperscript{40}\n\nFinally, there are what Galanter calls \\textit{outcome-stabilization} effects.\\textsuperscript{41} Liability determinations and damage awards become more predictable as more and more cases are tried. In the area of mass torts, perhaps the most developed theory of outcome stabilization is Francis McGovern's \"cyclical theory of mass torts.\"\\textsuperscript{42} According to McGovern:\n\nIn the early stages of the cycle, defendants tend to win more cases than plaintiffs because of strategic and informational superiority. If the litigation has any merit, however, plaintiffs will eventually develop successful information and strategies and win an extremely high percentage of the cases tried. Next, the plaintiffs will bring cases for trial that stretch the envelope of viable plaintiffs too far, and defendants will create more effective counterstrategies, resulting in a reduced percentage of plaintiff victories. Eventually, after full aggregation and dissemination of information, crystallization of the law, and thorough development of strategies, there will be a rough equilibrium of trial results. Remaining variations will then be due to jury demographics, attorney caliber, and random events during trials. Although perhaps it is counter-intuitive, settlements will also reflect this equilibrium: the average settlement amount will be virtually identical to the average jury verdict. The variance, however, will be substantially different. Settlements for similarly situated plaintiffs will be extremely similar; verdicts will vary in accordance with idiosyncracies of the trial process.\\textsuperscript{43}\n\nAs this theory suggests, the careers of some case congregations resemble a life cycle. Early on there are a few immature cases. Slowly, a mature and substantial body of litigation develops and a period of relative stability ensues. Finally, there is a period of decline, as depletion and rationing cause the cases to move out of the legal system. This Article examines the life cycle of a particular case congregation: the Bendectin Cases.\n\nC. A Note on Case Studies\n\nBecause this Article explores hypotheses about the careers of case populations through a detailed examination of one particular congregation of mass tort cases, some initial observations about such an enterprise are in order. From one perspective, the case study is an inherently weak form of hypothesis testing. Many unique features of the Bendectin Cases have influenced the way the congregation has developed. It is difficult to\n\n\\textsuperscript{40} \\textit{Id.}\n\\textsuperscript{41} \\textit{Id.} at 389.\n\\textsuperscript{42} \\textit{See} McGovern, \\textit{supra} note 20, at 482.\n\\textsuperscript{43} \\textit{Id.} (footnotes omitted).\n\ndisentangle these idiosyncratic features from the underlying processes. Thus, the analysis of a single congregation of cases, no matter how detailed, cannot alone support acceptance or rejection of general hypotheses about case careers.\n\nFrom another perspective, however, the case study is a particularly useful methodology for examining the careers of case congregations. It forces us to remain close to the evidence, and more importantly, it allows us to adopt the perspective the parties had as they worked toward an understanding of what they had on their hands.\\textsuperscript{44} Case congregations are “cultural categories created by an act of labeling.”\\textsuperscript{45} Unlike the first disciplinary problem of the school year, in which scenario the teacher knows a priori that this is the first of a relatively well defined population of cases, some first mass tort cases arise while yet unlabeled. The process by which the contours of a congregation of cases are defined is crucial to the ultimate development of the congregation. This definitional work cannot be studied easily from a more general point of view. The case study approach offers the opportunity to observe the micro processes through which macro changes in litigation rates occur.\\textsuperscript{46}\n\nIII. Bendectin Background\n\nA. The Firm\\textsuperscript{47}\n\nThe William S. Merrell Company, based in Cincinnati, Ohio, was one of the oldest “ethical” (prescription) pharmaceutical companies in the United States. In 1938 it was acquired as a wholly-owned subsidiary by Vick Chemical, a recently formed Delaware Corporation. Vick’s product line was aimed at the symptomatic relief of the common cold (Vicks Vapo-rub). Fearing a cure for the cold was at hand, it acquired William S. Merrell for its prescription drug line. Bendectin was developed during the time William S. Merrell was a subsidiary of Vicks. In 1960 the Vick Chemical Company changed its name to Richardson-Merrell, Inc. (Vick had been founded by the Richardson family). A few\n\n\\textsuperscript{44}. See generally Barney G. Glaser & Anselm L. Strauss, \\textit{The Discovery of Grounded Theory: Strategies for Qualitative Research} (1967) (arguing for theories “grounded” in the details of particular events).\n\n\\textsuperscript{45}. Galanter, \\textit{Case Congregations}, supra note 8, at 373.\n\n\\textsuperscript{46}. Joseph Sanders, \\textit{The Interplay of Micro and Macro Processes in the Longitudinal Study of the Courts: Beyond the Durkheimian Tradition}, 24 \\textit{LAW \\& SOC’Y REV.} 241, 248-54 (1990).\n\n\\textsuperscript{47}. This history comes from personal correspondence from W. Glenn Forrester, attorney for Marion Merrell Dow, to Joseph Sanders, (Aug. 23, 1990) (on file with author) and from Carol Loomis, \\textit{Richardson-Merrell Unswallows a Pill}, \\textit{FORTUNE}, Jan. 12, 1981, at 54-56.\n\nyears later, the William S. Merrell Company was merged into Richardson-Merrell and ceased to exist as a separate entity.\n\nIn 1981 a new company, Richardson-Vicks, became an independent, publicly held corporation. It received all of Richardson-Merrell's business and assets except its ethical pharmaceutical business. Richardson-Vicks kept such products as Clearasil, NyQuil, Lavoris, and Oil of Olay. All shares of what remained of Richardson-Merrell, including Bendectin, were sold to Dow Chemical Company for $260 million. Dow was apparently the high bidder among a number of potential buyers, including G.D. Searle. At this time, Richardson-Merrell's name was changed to Merrell Dow Pharmaceuticals. In a sense, the 1981 transaction undid Vick's 1938 acquisition of Merrell, as it once again separated the prescription and non-prescription parts of the company. One result of these transactions was to spin off the parts of Richardson-Merrell that were least threatened by litigation, and sell the rest to Dow.\n\nDow Chemical became the parent of a subsidiary with outstanding claims involving a number of products, including Bendectin, Thalidomide, MER/29, DES, and the DPT vaccine. It was Bendectin that presented the most serious threat to the new Merrell Dow. Paul Oreffice, Dow Chemical's chief executive, said the Bendectin suits were a \"sobering negative,\" but were adjusted for in Dow's bid.48 (At the time, Dow itself was embroiled in major products liability litigation involving Agent Orange.)\n\nMost recently, in 1989 Merrell Dow merged with Marion Laboratories and became a wholly-owned subsidiary of Marion. Marion's name was changed to Marion Merrell Dow. Currently, Dow Chemical owns almost 67% of Marion Merrell Dow's stock.\n\nThe checkered corporate history of Merrell has created several different named defendants in the Bendectin litigation. For simplicity, I refer to the defendant as Merrell, the one word that has always been a part of the corporate name of Bendectin's manufacturer.\n\nB. The Drug\n\nBendectin and the Bendectin litigation must be understood in light of two other drugs with which the Merrell Corporation was associated during the time Bendectin was being developed and sold: Thalidomide and MER/29. The obvious harm caused by these two drugs set the stage for allegations that Bendectin, too, was a product that never should have been marketed.\n\n48. Loomis, supra note 47, at 55.\n\n(1) Thalidomide\n\nThalidomide was first synthesized in West Germany in 1953 by Ciba. Because the drug had no pharmacologic effect on laboratory animals, the company discarded it.\\textsuperscript{49} Another West German firm, Chemie Grünenthal, then began to explore its uses. Because the drug's molecular structure suggested it might be useful as a sedative, Grünenthal experimented with it as an anticonvulsive for epileptics. The drug failed to prevent convulsions, but did work as a hypnotic, providing a deep, natural sleep without a hangover. In 1960 the drug was given the trade name Contergan and became the favorite sleeping pill in West Germany, available over the counter to anyone. The drug was combined with other ingredients, including aspirin, to form compounds for colds, coughs, flu, headaches, and asthma. In liquid form it was widely used to sedate children. And as an antiemetic it was used for nausea during pregnancy.\\textsuperscript{50}\n\nThalidomide was marketed around the world, and was usually sold without prescription. Merrell's Canadian branch sold the drug as Kevadon. Merrell obtained rights to market it in the United States under the same trade name and applied for FDA approval in September 1960. Shortly thereafter, the first reports of trouble began to surface in Germany; patients complained of tingling hands, atrophy of the thumb, and other forms of peripheral neuropathy. As a consequence, the drug was made available only by prescription.\\textsuperscript{51} In the summer of 1961 German doctors first observed that an increasing number of babies were being born with arm and leg deformities.\\textsuperscript{52} The full extent of the disaster began to unfold. Ultimately, Thalidomide proved to be one of the most potent human teratogens ever found.\\textsuperscript{53}\n\nIn the United States, large-scale disaster was narrowly averted. The Food Drug and Cosmetic Act of 1938\\textsuperscript{54} required the seller of a new drug\n\n\\begin{itemize}\n\\item[49.] Max Sherman & Steven Strauss, \\textit{Thalidomide: A Twenty-Five Year Perspective}, 41 \\textit{Food Drug Cosm. L.J.} 458, 459 (1986).\n\\item[50.] \\textit{Id.} at 460.\n\\item[51.] \\textit{Id.}\n\\item[52.] \\textit{Id.;} Helen B. Taussig, \\textit{A Study of the German Outbreak of Phocomelia}, 1180 \\textit{JAMA} 1106 (1962).\n\\item[53.] Sherman & Strauss, \\textit{supra} note 49, at 461. A teratogen is \"[a] substance that produces abnormalities in the embryo or fetus by disturbing maternal homeostasis or by acting directly on the fetus in utero.\" \\textit{A Dictionary of Epidemiology} (John M. Last ed., 2d ed 1988)). Sometimes the term is used in a narrower sense to describe substances that produce a disruption during gestation that results in malformation of the fetus. Jennie Kline & Zena Stein, \\textit{Circumstances of Exposure and Reproductive Consequences, in Epidemiology and Health Risk Assessment} 256, 262 (Leon Gordis ed., 1988).\n\\item[54.] 21 U.S.C. §§ 301-392 (1938).\n\\end{itemize}\n\nto present convincing scientific evidence of the drug's safety.\\textsuperscript{55} Merrell presented the existing data and was allowed to begin clinical investigation, but not widespread sale of Thalidomide. Approval might quickly have followed had it not been for the tenacity of Dr. Frances Kelsey, a physician and pharmacologist at the FDA who took notice of the earlier German reports of adverse neuropathic effects. She also noted that the drug was prescribed for morning sickness; from her earlier work with quinine on a malaria project in World War II, she was acutely aware of the pharmacological differences between fetuses and adults.\\textsuperscript{56} She therefore requested more information from Merrell and withheld FDA approval.\\textsuperscript{57}\n\nCircumstances and the FDA saved Merrell from disaster, but just barely.\\textsuperscript{58} Moreover, Merrell did not come away with completely clean hands. While awaiting FDA approval, Merrell had distributed the drug for investigational use. The company engaged in what might charitably be called extremely lax behavior. While Thalidomide was still under review by the FDA, 2,500,000 tablets were distributed and given to nearly 20,000 individuals, including 624 pregnant women.\\textsuperscript{59} Ultimately, at least ten American babies were born with defects attributed to Thalidomide.\\textsuperscript{60}\n\n\\textsuperscript{55} \\textit{Id.} § 355.\n\n\\textsuperscript{56} Sherman & Strauss, \\textit{supra} note 49, at 461.\n\n\\textsuperscript{57} \\textit{Id.} Ironically, the FDA's primary concern was that Thalidomide might cause peripheral neuropathy in adults, not birth defects in infants. One of the most active human teratogens known had produced no teratogenic effects in mice, rats, or hamsters. \\textit{Id.} Teratogenic effects of Thalidomide are observable in monkeys and rabbits, but finding an appropriate animal model is not always an easy task. \\textit{See id.} at 464.\n\n\\textsuperscript{58} Richard E. McFadyen, \\textit{Thalidomide in America: A Brush with Tragedy}, 11 \\textit{CLIO MEDICA} 79 (1976). Sherman and Strauss note that even today a product like Thalidomide might slip through the FDA's safety net. \\textit{Sherman & Strauss, supra} note 49, at 464-65. If a suitable animal model could not be found to indicate the potential for fetal injury, tests on human subjects would not uncover the danger because current regulatory policy excludes women in the first trimester of pregnancy from randomized trials of new drugs. They conclude that \"[u]nder current FDA policy the only way to prevent another thalidomide disaster is to forbid pregnant women from taking any but the most essential medications—a mode of prevention well known and readily applicable before the 1962 regulations were instituted.\" \\textit{Id.} at 465.\n\n\\textsuperscript{59} \\textit{McFadyen, supra} note 58, at 86.\n\n\\textsuperscript{60} Today, the exact way in which Thalidomide affects humans is still not entirely clear. \\textit{Sherman & Strauss, supra} note 49, at 462. Moreover, the birth defects associated with the drug are largely indistinguishable from birth defects arising from other causes. \\textit{Id.; Janet McCredie, Mechanism of the Teratogenic Effect of Thalidomide}, 2 \\textit{MED. HYPOTHESES} 63, 63 (1976). The conclusion that Thalidomide causes these defects rests on the clinical evidence showing an overwhelmingly greater likelihood of defects among children of women who ingested the product in the early weeks after conception. The best estimates of what now is largely an unknowable figure is that if Thalidomide is taken between 35 and 50 days after menstruation, the risk of malformation is over 50%. W. Lenz, \\textit{Malformations Caused by Drugs in Pregnancy}, 112 \\textit{AM. J. DISEASES CHILDREN} 99, 105 (1966); \\textit{Sherman & Strauss, supra} note 49, at 462.\n\nMerrell reached settlements with victims in the United States and Canada ranging from $100,000 to $999,000.\\textsuperscript{61}\n\n(2) MER/29\n\nThe second drug that is important to the Bendectin story is MER/29. Merrell designed MER/29 to reduce the level of cholesterol in the bloodstream. Between 1956 and 1959, tests were conducted on animals (rats, dogs, and monkeys) and humans to explore its therapeutic and toxicologic effects. In June 1959 Merrell applied to the FDA for permission to market the drug. The application was approved in April 1960, and Merrell subsequently promoted MER/29 as the first drug to lower cholesterol safely. In fact, the drug was anything but safe. In December 1961, when the drug had been used by approximately 400,000 individuals, Merrell mailed a letter approved by the FDA to all practicing physicians. This so-called \"Dear Doctor\" letter warned for the first time that MER/29's potential side effects included cataracts, baldness, and severe dermatitis. In April 1962 Merrell voluntarily withdrew the drug from the market. The withdrawal followed an FDA inspection of Merrell's records that revealed the FDA had received incorrect animal data from the firm. The following month, the FDA suspended the new drug application for MER/29 based upon the clinical experience showing its danger to humans.\\textsuperscript{62}\n\nThe following year Merrell, its parent Richardson-Merrell, and three of Merrell's scientists were indicted under the federal False Writing Statute\\textsuperscript{63} for withholding data from the FDA.\\textsuperscript{64} For example: the FDA had not been told that two laboratory dogs had developed cataracts, even though this fact was noted on their autopsy sheets;\\textsuperscript{65} results of tests on monkeys had been altered; and falsified data had been presented to the FDA.\\textsuperscript{66} The defendants, including Dr. Evert van Maanen, Merrell's director of biological sciences, entered nolo contendere pleas. The firms\n\n\\begin{itemize}\n\\item[61.] Gina B. Kolata, \\textit{How Safe is Bendectin?}, 210 SCIENCE 518, 519 (1980). At least one case, McCarrick v. Richardson Merrell, went to trial in Los Angeles. 15 Jury Verdict Weekly No. 38, at 43-44 (Sept. 17, 1971); 14 AM. TRIAL LAW ASS'N NEWSL. 410 (1971). In 1984, over twenty years after they had begun, Merrell settled the last of the Thalidomide cases. Francis J. Flaherty, \\textit{Last Thalidomide Suits Settle to End Legal Era}, NAT'L L.J., July 30, 1984, at 30.\n\\item[62.] Paul Rheingold, \\textit{The MER/29 Story—An Instance of Successful Mass Disaster Litigation}, 56 CAL. L. REV. 116, 117-120 (1968) [hereinafter Rheingold, \\textit{The MER/29 Story}].\n\\item[63.] 18 U.S.C. § 1001 (1963).\n\\item[64.] Rheingold, \\textit{The MER/29 Story}, supra note 62, at 120-21.\n\\item[65.] \\textit{Id.} at 119.\n\\item[66.] \\textit{Id.}; John Braithwaite, \\textit{Corporate Crime in the Pharmaceutical Industry} 60-62 (1984).\n\\end{itemize}\n\n(Merrell and Richardson-Merrell) were fined a statutory maximum of $80,000, and the scientists received suspended sentences.\\textsuperscript{67}\n\nIn part, the defendants' pleas may have been an attempt to limit the use of the criminal trial record in civil suits. Nonetheless, the first civil suits were filed in 1961 and filings continued throughout the decade, peaking in 1964. While MER/29 gave rise to many suits, each alleged injury was relatively minor in comparison to those allegedly caused by Thalidomide and Bendectin. According to one estimate, at least 5000 people were harmed by MER/29, and over 1500 suits eventually were filed.\\textsuperscript{68} Merrell won most of the early cases, in 1964 and 1965, but plaintiffs prevailed in several subsequent cases in 1966 and 1967.\\textsuperscript{69} These plaintiff victories increased the value of untried cases—it is estimated that Merrell ultimately paid over $200 million in damages.\\textsuperscript{70}\n\nThe MER/29 episode gained widespread publicity. Numerous books and articles were written about both the product and the company that developed it. None was complimentary, and many vilified Merrell.\\textsuperscript{71} The company became one of the principal bad guys in an industry of bad guys.\n\nMerrell's experience with these two earlier drugs set the stage for the Bendectin episode. While the litigation surrounding Thalidomide and MER/29 is not legally relevant to the Bendectin litigation, it did make Merrell a likely target for litigation. To employ a criminal law metaphor, Merrell had one prior and on another occasion had been found lurking around the scene of a crime. The MER/29 episode in particular raised questions concerning Merrell's testing program.\\textsuperscript{72} When hints of trouble emerged concerning Bendectin, many in the plaintiff's bar must have concluded that, with respect to this firm, where there was smoke there must be fire.\n\n\\textsuperscript{67} Rheingold, \\textit{supra} note 62, at 121.\n\n\\textsuperscript{68} \\textit{Id.}\n\n\\textsuperscript{69} \\textit{Id.}\n\n\\textsuperscript{70} See Kolata, \\textit{supra} note 61, at 519.\n\n\\textsuperscript{71} E.g., Ralph A. Fine, \\textit{The Great Drug Deception: The Shocking Story of MER/29 and the Folks Who Gave You Thalidomide} (1972); John Fuller, \\textit{200,000,000 Guinea Pigs} (1972); Philip Knightley et al., \\textit{Suffer the Children: The Story of Thalidomide} (1979); Milton Silverman, \\textit{The Drugging of the Americas} (1976); Sanford Ungar, \\textit{Get Away With What You Can, in In the Name of Profit} (Robert Hellbronnner ed., 1973).\n\n\\textsuperscript{72} Braithwaite, \\textit{supra} note 66, at 60-65.\n\n(3) Bendectin\n\nIn 1953 Dr. Raymond Charles Pogge, director of medical research at Merrell, came up with the idea of using pyridoxine (Vitamin B-6) to create an antinausea medicine to combat morning sickness among pregnant women.\\textsuperscript{73} After preliminary discussions with others at Merrell, including Dr. Margaret Higgins Morson and D.B. Bowles, Dr. Pogge proposed a drug made up of three ingredients, each of which had been marketed separately: dicyclomine hydrochloride (an antispasmodic); doxylamine succinate (an antihistamine acting as an antinauseant); and pyridoxine hydrochloride.\\textsuperscript{74} The new drug was named Bendectin. Prior to the Bendectin formulation, each ingredient had been prescribed singly, and each alone had no recorded adverse effect on humans.\n\nBendectin was first marketed in 1956.\\textsuperscript{75} In the United States, it was available only by prescription.\\textsuperscript{76} In 1976, the drug was reformulated to eliminate the first ingredient, dicyclomine hydrochloride, because it was found not to add anything to the efficacy of the formulation.\\textsuperscript{77} The possibility that Bendectin might be a teratogen apparently was first brought to\n\n\\textsuperscript{73} The information regarding Bendectin's creation is taken from the testimony of Dr. Pogge, Trial Transcript at 1513-1532, Richardson v. Richardson-Merrell, 649 F. Supp. 799 (D.D.C. 1986) (No. 83-3505) (deposition testimony of Dr. Pogge), \\textit{aff'd}, 857 F.2d 823 (D.C. Cir. 1988), \\textit{cert denied}, 110 S. Ct 218 (1989), and from the court's opinion in Lynch v. Merrell Nat. Lab., 830 F.2d 1190, 1191 (1st Cir. 1987).\n\n\\textsuperscript{74} Dicyclomine hydrochloride had been marketed under the name Bentyl. Doxylamine succinate had been marketed under the name Decapryn. It is still marketed (though not by Merrell) as Unisom, an over-the-counter sleeping aid. \\textit{In re Richardson-Merrell, Inc. \"Bendectin\" Prods. Liab. Litig.}, 624 F. Supp. 1212, 1230 (S.D. Ohio 1985), \\textit{aff'd sub nom. In re Bendectin Litig.}, 857 F.2d 290 (6th Cir. 1988), \\textit{cert denied}, 488 U.S. 1006 (1989). Pyridoxine is Vitamin B6.\n\n\\textsuperscript{75} Milan Korcok, \\textit{The Bendectin Debate}, 123 CAN. MED. ASS'N J. 922, 923 (1980).\n\n\\textsuperscript{76} \\textit{Id}. Bendectin is also known by the trade names Debendox, Lenotan, and Merbental, and is available in many other countries. \\textit{Id}. In both Canada and Britain the drug was available over the counter, although usually dispensed by prescription. \\textit{Id}.\n\n\\textsuperscript{77} U.S. DEPT' HEALTH, EDUC. & WELFARE, ADVISORY COMM., THE BENDECTIN PEER GROUP REPORT (1975). This finding was based primarily on two studies. The first was a four-way comparison of dicyclomine and doxylamine singly and in combination, versus a placebo in 716 patients. The main effect of dicyclomine alone was greater than the placebo, but not statistically significant. The effect of dicyclomine in the presence of doxylamine showed similar results—a marginal but not statistically significant increase in efficacy when compared to doxylamine alone.\n\nThe second study was a double-blind eight-way comparison of all three ingredients and their combinations with a placebo in 2300 patients. While the study demonstrated the efficacy of three ingredient Bendectin when compared to the placebo, it failed to demonstrate any dicyclomine contribution. Doxylamine again was the major component, demonstrating a significant effect on every response variable including physician assessments of patient nausea, patient self-reports of nausea, eating habits, and daily activities. The study also demonstrated for the first time in double-blind experimental conditions that pyridoxine did have a significant effect on maternal self-reports of nausea when compared with all combinations lacking this\n\npublic attention in 1969. Dr. Donald Paterson, a physician in British Columbia filed a drug evaluation report (\"DER\") with the Canadian Food and Drug Directorate and wrote a letter to the editor of the *Canadian Medical Association Journal* questioning Bendectin's safety.\\(^{78}\\) The same year, Merrell forwarded to the FDA physician reports of limb reductions associated with the use of Bendectin, and physician letters questioning the drug's safety appeared in the *British Medical Journal*.\\(^{79}\\)\n\nQuestions concerning the safety of Bendectin and whether it, like Thalidomide, was a teratogen continued to accumulate; by the mid-1970s, the FDA had on file over ninety physician reports noting defects among children whose mothers had taken Bendectin.\\(^{80}\\) By the end of the decade, personal injury suits had been filed, the first going to trial in January 1980.\\(^{81}\\) In 1980, following a number of reports in the popular press that Bendectin was unsafe\\(^{82}\\) and under pressure from Congress to investigate the drug,\\(^{83}\\) the FDA conducted a two-day hearing as to its teratogenic effect. The FDA's conclusion, based on the report of its Fertility and Maternal Health Drug Advisory Committee, was that \"available data do not demonstrate an association between birth defects and\n\n---\n\n**drug. Pyridoxine also had a marginally significant effect on physician evaluations of nausea ($p=.08$). See also Korcok, supra note 75, at 923.**\n\n78. Thomas H. Bleakley & J. Douglas Peters, *Bendectin, Trial*, May 1980, at 56, 58.\n\n79. Id.\n\n80. Id. Several DERs were published simultaneously in 1978. See Dian Donnai & R. Harris, *Unusual Fetal Malformations After Antiemetics in Early Pregnancy*, 1 BRIT. MED. J. 691 (1978); Kathleen Frith, *Fetal Malformation After Debendox Treatment in Early Pregnancy*, 1 BRIT. MED. J. 925 (1978); S. Mellor, *Fetal Malformation After Debendox Treatment in Early Pregnancy*, 1 BRIT. MED. J. 1055 (1978); C.J.G. Menzies, *Fetal Malformation After Debendox Treatment in Early Pregnancy*, 1 BRIT. MED. J. 925 (1978); Richard W. Smithells & Sheila Sheppard, *Fetal Malformation After Debendox Treatment in Early Pregnancy*, 1 BRIT. MED. J. 1055-56 (1978). But see J.F. Corey & N.M. Newman, *Debendox and Limb Reduction Deformities*, 1 MED. J. AUSTL. 417 (1981) (DER published several years later concluding Debendox had no adverse effects).\n\n81. See Mekdeci v. Merrell Nat'l Lab., 711 F.2d 1510, 1516 (11th Cir. 1983). *Mekdeci* was originally filed in June 1977, well before any other cases. The plaintiff's mother had actively sought a reason for her son's defect and, on the basis of her own research, determined that it was caused by Bendectin. *Id.* *Mekdeci* is discussed in detail infra notes 204-22 and accompanying text.\n\n82. Mark Dowie & Carolyn Marshall, *The Bendectin Cover-Up*, MOTHER JONES, Nov. 1980, at 42; *New Thalidomide-Type Scandal—Experts Reveal... COMMON DRUG CAUSING DEFORMED BABIES*, NAT'L ENQUIRER, Oct. 9, 1979.\n\n83. See, for example, a letter from California Representative Don Edwards to Jere Goyan, FDA commissioner, expressing his \"strongest concern over the FDA's inaction regarding the drug Bendectin.\" The congressman concluded, \"I believe that . . . the substantial amount of new evidence linking Bendectin to fetal malformations mandate [sic] the immediate removal of this harmful drug from the marketplace.\" Letter from Representative Edwards to FDA Commissioner Jere Goyan (May 7, 1980) (on file in the offices of the Environmental Law Liability Program, University of Houston Law Center).\n\nBendectin, . . . but [the drug] should be used only when conservative treatment fails.\"84 The drug was allowed to remain on the market. Nevertheless, in response to the increasing number of lawsuits and the decline in sales caused by negative publicity, Merrell voluntarily withdrew Bendectin from the market in 1983.85 The litigation has continued to the present. Thus far, over 2100 Bendectin claims have been made against Merrell. This figure includes almost 1700 suits brought by children who suffer from a wide variety of birth defects,86 allegedly because their\n\n84. DEP'T HEALTH & HUMAN SVCS. NEWS, Oct. 7, 1980. In response to the question, \"[d]o the animal and human data reviewed by you and presented to you support the conclusion that Bendectin is associated with an increased risk for human birth defects?\" the Advisory Committee answered: \"No, the data presented to date do not demonstrate an association of increased risk for human birth defects with the use of Bendectin. The committee notices with concern two studies that suggest an association between Bendectin and certain anomalies. Therefore, a residual uncertainty regarding a possible relationship does exist.\" FDA, UNEDITED ANSWERS TO QUESTIONS SUBMITTED TO THE FERTILITY AND MATERNAL HEALTH ADVISORY COMMITTEE (Sept. 15, 1980).\n\n85. For a brief history of the circumstances leading up to the drug's withdrawal, from one critical of this result, see David Williams, How Nader Campaign Killed a Beneficial Drug, HUM. EVENTS, January 14, 1984, at 10-11. At the time, the withdrawal met with widespread criticism. An editorial in the Wall Street Journal concluded:\n\n[T]here's something terribly askew with a legal system that cannot distinguish between a thalidomide and a Bendectin. Let us hope that the withdrawal of Bendectin is not a harbinger of other products being driven from the market by legal costs, even when the weight of medical evidence suggests they haven't been at fault.\n\nWALL ST. J., June 15, 1983, at 34. Bendectin's fate has influenced the development of case law in the products liability area. For example, the California Supreme Court cited the withdrawal of Bendectin as one reason why it should reject a design defect analysis in prescription drug cases, declaring instead that all prescription drugs are unavoidably unsafe products as described in comment k of section 402A of the Second Restatement of Torts. Brown v. Superior Ct., 44 Cal. 3d 1049, 1064, 751 P.2d 470, 479, 245 Cal. Rptr. 412, 421 (1988). The court commented:\n\nThe possibility that the cost of insurance and of defending against lawsuits will diminish the availability and increase the price of pharmaceuticals is far from theoretical . . . . For example, according to defendant E.R. Squibb & Sons, Inc., Bendectin, the only antinauseant drug available for pregnant women, was withdrawn from sale in 1983 because the cost of insurance almost equalled the entire income from sale of the drug. Before it was withdrawn, the price of Bendectin increased by over 300 percent.\n\nId. at 1064, 751 P.2d at 479, 245 Cal. Rptr. at 421 (citations omitted).\n\n86. Over 800 claims were disposed of at a single common issues trial in Ohio in 1985 (the Common Issues Trial). The jury in the Common Issues Trial was asked to consider whether Bendectin causes eight different categories of birth defects:\n\n1. Musculoskeletal Defects: Defects in the muscles, bones and cartilage of a child, including limb defects.\n2. Central Nervous System Defects: Defects in the brain, spinal cord and nerves.\n3. Heart Defects: Defects in the heart and circulatory system.\n4. Head Defects: Defects in the head and face.\n5. Respiratory Defects: Defects in the larynx, trachea, bronchi, and lungs.\n6. Gastrointestinal Defects: Defects in the esophagus, stomach, and intestines.\n\nmothers used the drug during pregnancy.\\textsuperscript{87} Because every state presumably has childhood disability provisions in its statute of limitations,\\textsuperscript{88} new suits may be brought into the next century.\\textsuperscript{89}\n\n\\begin{enumerate}\n \\item Genitourinary Defects: Defects in the reproductive organs, kidneys, ureters, urethra, and bladder.\n \\item Death: Includes spontaneous abortions, stillbirths, and neonatal deaths resulting from life-threatening birth defects.\n\\end{enumerate}\n\n\\textit{In re} Richardson-Merrell, Inc., “Bendectin” Prods. Liab. Litig., 624 F. Supp. 1212, 1267, app. D (S.D. Ohio 1985), \\textit{aff’d sub nom. In re Bendectin Litig.}, 857 F.2d 290 (6th Cir. 1988), \\textit{cert. denied}, 488 U.S. 1006 (1989). A report to plaintiffs’ counsel by the lead counsel committee in June 1984 reported the following breakdown of types of injuries represented in the \\textit{Common Issues Trial}:\n\n| Injury Type | Number |\n|--------------------------------------------------|--------|\n| Unilateral Limb Defects Involving the Arm | 71 |\n| Unilateral Limb Defects Involving the Leg | 21 |\n| Bilateral Limb Defects Involving the Arm | 17 |\n| Bilateral Limb Defects Involving the Leg | 25 |\n| Quadrilateral Limb Defects | 18 |\n| Musculoskeletal Defects | 13 |\n| Central Nervous System Defects | 35 |\n| Congenital Heart Defects | 35 |\n| Cleft Lip/Cleft Palate | 17 |\n| Ear and Eye Deformities | 28 |\n| Facial Deformities | 3 |\n| Respiratory Defects | 7 |\n| Gastrointestinal Defects | 13 |\n| Genitourinary Defects | 14 |\n| Deaths | 7 |\n\nMaterials Prepared by Plaintiff’s Lead Counsel Committee for January Meeting with all Plaintiffs’ Counsel with respect to Common Issues of Liability Trial § 8 (June 11, 1984) (on file in the offices of the Environmental Liability Law Program, University of Houston Law Center).\n\nAs the report indicates, although claims have been based upon many types of injuries, the majority involved musculoskeletal defects—specifically limb reductions. As I discuss below, this tendency is much more pronounced when only those individual cases that have gone to trial are examined. \\textit{See infra} notes 318-20 and accompanying text.\n\n\\textsuperscript{87} Letter from Alfred Schretter, attorney for Merrell-Dow, to Sanford Gaines (August 9, 1989) (on file in the offices of the Environmental Law Liability Program, University of Houston Law Center). For nearly identical figures as to the child-plaintiff cases see U.S. GEN. ACCT. OFF., PRODUCT LIABILITY: EXTENT OF “LITIGATION EXPLOSION” IN FEDERAL COURTS QUESTIONED 35 (January 1988) [hereinafter GAO, “LITIGATION EXPLOSION” QUESTIONED].\n\n\\textsuperscript{88} \\textit{E.g.}, TEX. CIV. PRACT. & REM. CODE. ANN. § 16.001 (West 1986 & Supp. 1991).\n\n\\textsuperscript{89} Because of these disability provisions, the Bendectin Cases have a “long tail”: a long period between the time when a product is distributed in the market and the time after which a suit may not be brought. Some have argued that the long tails of many products liability claims have led to an unravelling of insurance markets. \\textit{E.g.}, George L. Priest, \\textit{The Current Insurance Crisis and Modern Tort Law}, 96 YALE L.J. 1521, 1582-90 (1987). Insurance companies have responded to long-tailed risks by being less willing to write “occurrence” policies covering all injuries that occur during a time period. Instead, they have turned to “claims-made” policies that cover only claims made while the policy is in effect. This, in turn, has led the attorneys general of several states to sue a number of insurance companies. \\textit{See} Joseph Sanders & Craig Joyce, “Off to the Races”: The 1980s Tort Crisis and the Law Reform Process, 27 Hous. L. Rev. 207, 215 n. 33 (1990).\n\nWith this background in place, the next two Parts of this Article examine the science and the law surrounding the Bendectin litigation. In each Part, the primary objective is to take a \"life cycle\" perspective. Neither the science nor the law is analyzed as a collection of autonomous studies or cases, but rather as part of a larger, interactive whole. As shall become clear, both the science and the law have been fundamentally altered by their interaction with each other.\n\nIV. The Science\n\nScience is discussed first because it was, in a sense, a leading indicator of what was to happen in the Bendectin trials. To know the science was, to some extent, to be able to predict what would come. On the other hand, the law, especially as reflected in appellate opinions, was a lagging indicator—a reflection of what already had occurred.\n\nA. Background\n\nBendectin was already in the marketplace when Merrell experienced problems with Thalidomide and later with MER/29. In part because Bendectin was comprised of existing drugs, the compound had not undergone substantial testing when introduced.\\textsuperscript{90} At that time, FDA standards did not require testing for teratogenicity, and Merrell did not test Bendectin for teratogenicity until after the Thalidomide disaster in 1961.\\textsuperscript{91} Indeed, the Thalidomide disaster acted as an important catalyst for reformation of the Food and Drug Act.\\textsuperscript{92}\n\nIn the aftermath of that disaster, Merrell began investigating the safety of Bendectin. As is typical, early research involved \\textit{in vitro} and \\textit{in vivo} studies. Later, when questions arose regarding Bendectin's safety,\\textsuperscript{93} new \\textit{in vivo} studies were undertaken, and researchers conducted a series of epidemiological studies assessing Bendectin's effect on human fetuses. Because the relative probative value of various types of data became a determining factor in the Bendectin cases, the next sections provide an overview of each type of research: \\textit{in vitro}, \\textit{in vivo}, and epidemiological.\\textsuperscript{94}\n\n\\textsuperscript{90} Trial transcript at 20-21, Mekdeci v. Merrell Nat'l Lab., No. 77-255 (M.D. Fla. Jan. 30, 1980) (testimony of Dr. Pogge).\n\n\\textsuperscript{91} \\textit{Id.} at 42.\n\n\\textsuperscript{92} \\textit{Id.} at 56-57; Sherman & Strauss, \\textit{supra} note 49, at 463-64.\n\n\\textsuperscript{93} See \\textit{supra} notes 78-83 and accompanying text.\n\n\\textsuperscript{94} In addition to using these three types of studies, toxicologists also draw inferences regarding a drug's effects from its structure. If the molecular structure of a suspect compound is similar to that of a known teratogen, there is some reason to suspect that the compound will have similar effects. C.T.G. King et al., \\textit{Antihistamines and Teratogenicity in the Rat}, 147 J. PHARMACOLOGY & EXPERIMENTAL THERAPEUTICS 391-98 (1965); Michael Green, Expert\n\nFollowing this, I discuss the scientific findings and how they changed as the Bendectin litigation matured.\n\n(1) In Vitro Studies\n\nIn vitro studies expose single cells, organs, or even whole embryos maintained in a culture to some substance and examine the biochemical events.\\textsuperscript{95} Organ cultures of embryonic limb buds are the most frequent subjects of in vitro studies testing for teratogenicity.\\textsuperscript{96} Experiments indicate that embryonic mouse limbs developing in a culture exhibit pathological responses to several teratogens similar to those developing in vivo.\\textsuperscript{97} An important advantage of in vitro studies is cost.\\textsuperscript{98} There also is an as yet unrealized longer term advantage: by using animal and human cell cultures, in vitro studies allow direct comparisons across species of the effects of cell and organ exposure to drugs. Ultimately, such comparisons may enable us to make better cross-species extrapolations of in vivo study results.\\textsuperscript{99} There are, however, many aspects of teratogenicity that cannot be investigated through in vitro studies, and extrapolation to live animals, not to mention humans, is difficult at best.\n\n(2) In Vivo Studies\n\nIn vivo studies examine the effects of a drug on various animal species thought to be similar to humans in their response to certain drugs.\\textsuperscript{100} Different protocols are employed depending on the type(s) of injuries for\n\n\\textsuperscript{95} Stuart Freeman et al., \\textit{Post-Implantation Embryo Culture for Studies of Teratogenesis}, in \\textit{BIOCHEMICAL TOXICOLOGY: A PRACTICAL APPROACH} 83, 102 (K. Snell & B. Mullock eds., 1987).\n\n\\textsuperscript{96} Jeanne Manson et al., \\textit{Teratology Test Methods for Laboratory Animals}, in \\textit{PRINCIPLES AND METHODS OF TOXICOLOGY} 141, 159 (A. Wallace Hayes ed., 1982).\n\n\\textsuperscript{97} \\textit{Id.}\n\n\\textsuperscript{98} One article, which discusses the procedures of in vitro tests for teratogens using rat embryo cell cultures, estimates that one technician can test between 250 and 300 compounds per year. O.P. Flint, \\textit{An In Vitro Test for Teratogens Using Cultures of Rat Embryo Cells}, in \\textit{IN VITRO METHODS IN TOXICOLOGY} 339, 356 (C.K. Atterwill & C.E. Steele eds., 1987).\n\n\\textsuperscript{99} G.B. Leslie & P. Johnson, \\textit{Introduction to IN VITRO METHODS IN TOXICOLOGY}, supra note 98, at 1, 3. See infra notes 106-23 and accompanying text for a discussion of the problems that currently attend extrapolation from in vivo animal testing results to humans.\n\n\\textsuperscript{100} Robert E. Menzer, \\textit{Selection of Animal Models for Data Interpretation}, in \\textit{TOXIC SUBSTANCES AND HUMAN RISK: PRINCIPLES OF DATA INTERPRETATION} 133 (R. Tardiff & J. Rodricks eds., 1987) [hereinafter \\textit{TOXIC SUBSTANCES AND HUMAN RISK}].\n\nwhich one is testing. Today the protocols for teratogenic effects testing are fairly well standardized\\textsuperscript{101} and call for tests on at least two species at two dose levels.\\textsuperscript{102} For each species a minimum N consists of two test groups and one control group, each containing twenty rodents or ten rabbits. Because of the nonnormal distribution of teratological events, nonparametric tests are often employed, with the litter, not the fetus, as the unit of analysis.\\textsuperscript{103} The percentage of fetuses affected within a litter is the basic estimate of statistical effect.\\textsuperscript{104} By the mid-1970s, around the time Bendectin's safety came into question, approximately 2000 chemicals (mostly drugs) had been tested for teratogenic effects. Of those tested, approximately one third had shown some teratogenic effect.\\textsuperscript{105}\n\nPerhaps the central issue with respect to \\textit{in vivo} teratology studies is the degree to which the results can be extrapolated from animals to humans.\\textsuperscript{106} Because many substances produce an adverse effect in only a small percentage of organisms when ingested at a rate similar to that encountered in the environment or prescribed by a physician, it takes a large number of animal subjects to detect a given substance's effects with any reliability. Smaller samples would generate an unacceptably large number of false negatives (failure to detect an effect when it exists). Thus, animals are generally administered high doses of the drug in hopes of maximizing the incidence of effects.\\textsuperscript{107} If there is a positive result,\n\n\\begin{footnotesize}\n\\begin{enumerate}\n\\item See, e.g., Ian Nisbet & Nathan Karch, Chemical Hazards to Human Reproduction 74 (1983); Manson et al., \\textit{supra} note 96, at 141-84, 156-57. Advisory Committee on Protocols for Safety Evaluation: Panel on Reproduction, U. S. Food & Drug Admin., Report on Reproduction Studies in Safety Evaluation of Food Additives and Pesticides Residues, 16 Toxicology & Applied Pharmacology 264 (1970).\n\\item Testing for teratogenicity requires that drugs be administered during the critical period encompassing organogenesis, the time when cells and tissues migrate and associate to form organ rudiments. It is during this period that the fetus is most vulnerable to structural defects. Manson et al., \\textit{supra} note 96, at 143. In humans, organogenesis occurs from the third to the eighth week of fetal development. In rodents, it occurs earlier and lasts for fewer days. \\textit{Id}. For example, organogenesis occurs between days 6 and 15 for rats and between days 6 and 18 for rabbits. Organization for Economic Cooperation & Dev., OECD Short Term and Long Term Toxicology Groups (1979).\n\\item Typical tests are the Mann-Whitney $U$-test for two groups and the Kruskal-Wallis test for comparisons among more than two groups. Manson et al., \\textit{supra} note 96, at 156. For a general discussion of appropriate statistical analyses for toxicological studies see Shayne C. Gad & Carrol S. Weil, Statistics for Toxicologists, in Principles and Methods of Toxicology, \\textit{supra} note 96, at 273.\n\\item Manson et al., \\textit{supra} note 96, at 179.\n\\item James L. Schardein, Drugs as Teratogens 5 (1976).\n\\item World Health Org., Principles and Methods for Evaluating the Toxicity of Chemicals: Part 1, at 35-41 (1978).\n\\item While dose-response effects are generally important in determining the toxicity of drugs, this relationship is quite complex in the case of teratogenic effects. For example, high dose rates may increase fetal death and resorption and thus decrease the number of observed\n\\end{enumerate}\n\\end{footnotesize}\n\ntoxicologists must then extrapolate a predicted incidence at a more realistic lower rate. Unfortunately, there is no single agreed upon extrapolation model for dose-rate effects, and competing models generate widely differing predictions at low response rates.\\textsuperscript{108} Extrapolation is particularly difficult in the case of teratogenic effects.\\textsuperscript{109}\n\nOnce a dose rate extrapolation has been made, a second extrapolation is necessary to adjust across species.\\textsuperscript{110} Again, unfortunately, there is no uniformly accepted formula for the adjustment. Two common formulas respectively compare either the body weight or the surface area of the animal with the corresponding human measurement.\\textsuperscript{111} The use of these different scaling factors can lead to widely divergent estimates of effects on humans.\\textsuperscript{112}\n\nFinally, it is important to emphasize the different role animal studies play when they are used to regulate risk versus when they are used to\n\n\\textsuperscript{108} Howard Latin, \\textit{Good Science, Bad Regulation, and Toxic Risk Assessment}, 5 YALE J. ON REG. 89, 98 (1988). For example, carcinogenic effects often are measured on a dose scale that defines a base dose rate as the dose necessary to produce cancer in 50% of a sample of test animals. David S. Salsburg, \\textit{Statistics and Toxicology: An Overview, in Scientific Considerations in Monitoring and Evaluating Toxicological Research} 123, 127-29 (Edward J. Gralla ed., 1981) [hereinafter \\textit{Scientific Considerations}]. Several statistical models, including log-normal, log-logistic, and single-hit models are used to extrapolate to lower dose rate effects. All of the extrapolation models produce similar estimates when the dose rate is relatively close to 50%, but they produce widely divergent results at low doses. For instance, at a dose that is 1/1000 of the 50% dose, the single-hit model gives an estimated response rate 200 times greater than the log-normal model. OSHA Generic Cancer Policy, 45 Fed. Reg. 5001, 5184-5185 (1980).\n\n\\textsuperscript{109} Hogan and Hoel note that when compared to carcinogenic or mutagenic effects, teratogenic effects are “perhaps the most difficult to address in terms of species extrapolation and quantitative risk assessment.” Michael D. Hogan & David G. Hoel, \\textit{Extrapolation to Man, in Principles and Methods of Toxicology}, \\textit{supra} note 96, at 711, 724. The biologic mechanisms underlying teratogenic responses are poorly understood, partly because the basic unit of the experiment is not really one organism, but two—the mother and her offspring. \\textit{Id}. This greatly increases the difficulty of extrapolating from high to low dose rates.\n\n\\textsuperscript{110} James P. Leape, \\textit{Quantitative Risk Assessment in Regulation of Environmental Carcinogens}, 4 HARV. ENVTL. L. REV. 86, 98-99 (1980). Implicit in these formulas is an assumption that animals and humans respond similarly to the substance.\n\n\\textsuperscript{111} For example, the National Academy of Sciences estimated the incidence of cancer in humans exposed to Saccharin using different formulas to extrapolate from animal data. A body-weight scale predicted 210 cases per million people exposed. A surface-area scale predicted 1200 cases. A third formula using a total lifetime dose conversion scale predicted 5200 cases per million. \\textit{Id}. In general, comparisons between cancer risk estimates based on extrapolations from animal data and actual human epidemiological data indicate that estimates have been accurate for only half the substances examined. See Jack L. Landau & W. Hugh O’Riordan, \\textit{Of Mice and Men: The Admissibility of Animal Studies to Prove Causation in Toxic Tort Litigation}, 25 IDAHO L. REV. 521, 547-548 (1988-89).\n\nprove causation in a tort case. When testing a new drug, the critical question is whether there might be a teratogenic effect in humans even though no effect is detected in test animals.\\textsuperscript{112} (Recall that Thalidomide did not produce effects in rats or hamsters.)\\textsuperscript{113} When we move from the laboratory to the courtroom, however, the question changes subtly. In the courtroom the crucial issue becomes whether a known effect in a test animal is probative of causation in humans. On the first question, a 1980 FDA report indicated that of thirty-eight compounds known to produce human birth defects, all but one have produced a positive result in at least one animal species and 80% are positive in more than one species.\\textsuperscript{114} Thus, the Thalidomide experience notwithstanding, negative \\textit{in vivo} tests on two species are relatively strong evidence that a drug will be safe for humans.\n\nAs to the second question, the answer appears to be that the relationship is weaker and somewhat dependent on the species used to prove causation.\\textsuperscript{115} According to the FDA study, of 165 compounds for which no human teratologic effects had been reported only 28% appeared negative in all animal species tested, and 50% appeared negative in multiple species.\\textsuperscript{116} On the other hand, over 41% of the compounds appeared to be positive in more than one animal species.\\textsuperscript{117} In a species-by-species analysis, the FDA found that a negative response to substances for which human teratologic effects have not been reported was observed only 35% of the time in mice and hamsters, 50% in rats, 70% in rabbits, and 80% in monkeys.\\textsuperscript{118} Compounding the problem of what to make of positive\n\n\\textsuperscript{112}. Because there are no commonly accepted models for extrapolation, one technique is to employ some arbitrary safety factor when scaling up to humans. Hogan & Hoel, \\textit{supra} note 109, at 711-12. For example, one technique for establishing safe doses for humans is to find the maximum dose level that may be administered without causing an observed effect in animals and then multiply this by a safety factor of 100 to determine a \"safe level\" for humans. \\textit{Id.}; Landau & O'Riordan, \\textit{supra} note 111, at 536. There appears to be no theoretical basis for choosing a factor of 100. Landau & O'Riordan, \\textit{supra} note 111, at 536 n.66.\n\n\\textsuperscript{113}. \\textit{See supra} note 57.\n\n\\textsuperscript{114}. Nisbet & Karch, \\textit{supra} note 101, at 98 (citing 45 Fed. Reg. 69, 823). The FDA reports that known or suspected human teratogens produced positive teratologic responses 85% of the time in mice, 80% in rats, 60% in rabbits, 45% in hamsters, and only 30% in monkeys. \\textit{Id.}\n\n\\textsuperscript{115}. \\textit{Id.} at 105.\n\n\\textsuperscript{116}. \\textit{Id.} (citing 45 Fed. Reg. 69, 823)\n\n\\textsuperscript{117}. \\textit{Id.}\n\n\\textsuperscript{118}. \\textit{Id.} For similar results, see Edward J. Calabrese, \\textit{Principles of Animal Extrapolation} 237-38 (1983); Gary P. Carlson, \\textit{Factors Modifying Toxicity}, in \\textit{Toxic Substances and Human Risk}, \\textit{supra} note 100, at 47, 49. These results are subject to an important qualification. It is impossible to be certain that any of the compounds that appear not to be teratogenic or carcinogenic in humans are, in fact, completely without teratogenic or carcinogenic effect. Leape, \\textit{supra} note 110, at 92. A relatively rare human effect may not have\n\nanimal findings is, again, the problem of dosage. At sufficiently high dose levels most, perhaps all, substances are teratogenic in some animals.\\textsuperscript{119} If the question is whether a finding that a substance is teratogenic in mice constitutes strong evidence it is teratogenic in humans, the answer is no.\\textsuperscript{120}\n\nThese limitations on our ability to extrapolate from animal research to humans create what Weinberg has called “trans-scientific” uncertainty: uncertainty concerning an issue that can be put in scientific terms but for which scientific proof is unavailable.\\textsuperscript{121} As Brennan notes, “we accept that animal carcinogens are human carcinogens as a matter of policy; this proposition cannot be proven given our present understanding of carcinogenesis.”\\textsuperscript{122} A similar statement could be made about \\textit{in vivo} studies showing teratogenesis.\\textsuperscript{123}\n\n(3) Epidemiological Studies\n\nA third type of scientific research involves epidemiological studies of human subjects.\\textsuperscript{124} Epidemiological studies compare the incidence of birth defects among those exposed and those not exposed to a drug. There are two general ways of making such comparisons: cohort studies and case-control studies. Cohort studies compare the incidence of de-\n\n\\textsuperscript{119} Bernard A. Schwetz, \\textit{Monitoring Problems in Teratology}, in \\textit{SCIENTIFIC CONSIDERATIONS}, \\textit{supra} note 108, at 180. As one author notes: “Most teratologists accept the principle that any agent can be shown to be teratogenic in an animal providing enough is given at the right time. For instance, both sodium chloride and sucrose have been shown to produce animal teratogenicity.” Thomas H. Shepard, \\textit{Human Teratogenicity}, 33 \\textit{ADVANCES IN PEDIATRICS} 225, 227 (1986).\n\n\\textsuperscript{120} Nevertheless, rodents are particularly attractive candidates for \\textit{in vivo} testing, in part because of their relatively low cost and ease of handling. Bernard L. Oser, \\textit{The Rat as a Model for Human Toxicological Evaluation}, 8 \\textit{J. TOXICOLOGY & ENVTL. HEALTH} 521, 522 (1981).\n\n\\textsuperscript{121} Alvin Weinberg, \\textit{Science and Trans-Science}, 10 \\textit{MINERVA} 209 (1972).\n\n\\textsuperscript{122} Troyen Brennan, \\textit{Helping Courts With Toxic Torts: Some Proposals Regarding Alternative Methods for Presenting and Assessing Scientific Evidence in Common Law Courts}, 51 \\textit{U. PITTS. L. REV.} 1, 23 (1989).\n\n\\textsuperscript{123} One commentator notes that there is often a period between the time when animal studies indicate a substance may be dangerous and the time when epidemiological studies indicate whether it is, in fact, dangerous to humans. Wendy E. Wagner, Note, \\textit{Trans-Science in Torts}, 96 \\textit{YALE L.J.} 428, 432-34 (1986). She proposes that during the interim period liability standards be revised so as to facilitate plaintiff recovery. \\textit{Id.} at 442-49.\n\n\\textsuperscript{124} Still another source of information about a drug’s effects are the previously mentioned DERs filed by physicians when they observe some adverse effect associated with the drug. Though DERs are helpful in bringing potential problems to the attention of the manufacturer and regulators, their usefulness as a source of systematic data on the effects of a drug is severely limited by their anecdotal nature.\n\nfects in groups of persons exposed to the drug to the incidence in groups of persons not exposed.\\textsuperscript{125} Case-control studies match a group of persons who have the defect in question (\"cases\") against another group that does not have it (\"controls\"). The two groups then are compared with regard to the frequency of exposure to the drug.\\textsuperscript{126} Epidemiological studies typically measure risk by using the concepts of \\textit{relative risk},\\textsuperscript{127} \\textit{odds ratio},\\textsuperscript{128} and \\textit{attributable risk}.\\textsuperscript{129}\n\nEpidemiological studies also vary in the way they collect their data—prospectively or retrospectively. All case-control studies are re-\n\n\\textsuperscript{125}. Leon Gordis, \\textit{Estimating Risk and Inferring Causality in Epidemiology, in Epidemiology and Health Risk Assessment}, supra note 53, at 51, 52.\n\n\\textsuperscript{126}. \\textit{Id.}; Michael Dore, \\textit{A Commentary on the Use of Epidemiological Evidence in Demonstrating Cause-In-Fact}, 7 HARV. ENVTL. L. REV. 429, 432 & n.22 (1983).\n\n\\textsuperscript{127}. The relative risk is the risk of defect in exposed individuals divided by the risk of defect in those not exposed. Gordis, \\textit{supra} note 125, at 52. For example, imagine that 20% of mothers in a particular area ingested Bendectin during pregnancy. If we drew a sample and found that of 1000 children whose mothers were exposed to Bendectin, 60 have a defect, while of 4000 children whose mothers were not exposed to Bendectin, 160 have a defect, the relative risk associated with Bendectin ingestion would be \\((a/(a + b)) / (c/(c + d)) = (60/(60 + 940)) / (160/(160 + 3840)) = .06/.04 = 1.5\\).\n\n\\textsuperscript{128}. The odds ratio is the cross-product in a \\(2 \\times 2\\) table. In a cohort study examining exposed and unexposed individuals, it equals the ratio of the odds of injury if the person was exposed, to the odds of injury if the person was not exposed. \\textit{Id.}\n\n\\begin{center}\n\\textbf{Odds Ratio in a Cohort Study}\n\\end{center}\n\n| Injured | Not Injured |\n|---------|-------------|\n| Exposed | a | b |\n| Not Exposed | c | d |\n\n\\[\\frac{a}{b} = \\frac{ad}{bc}\\]\n\n\\textit{Id.} at 53 fig. 5-1. For example, using the data from the preceding note, the odds ratio would be \\(\\frac{ad}{bc} = \\frac{(60 \\times 3840)}{(940 \\times 160)} = 1.53\\).\n\nIn a case-control study comparing a group of cases (people with the injury) to a group of controls (people without the injury), the odds ratio is the ratio of the odds that the cases were exposed to the odds that the controls were exposed. \\textit{Id.} at 52.\n\n\\begin{center}\n\\textbf{Odds Ratio in a Case-Control Study}\n\\end{center}\n\n| CASES | CONTROLS |\n|-------|----------|\n| (Injury) | (No Injury) |\n| History of Exposure | a | b |\n| No History of Exposure | c | d |\n\n\\[\\frac{a}{c} = \\frac{ad}{bc}\\]\n\n\\textit{See id.} at 53 fig. 5-2. Note that cohort and case-control studies differ in how they are conducted, but not in how the odds ratio is computed.\n\nWith case-control studies we know the risks of exposure, but we usually do not know the risk of injury. The odds ratio is a good approximation of relative risk when, with respect to their history of exposure, both the cases and the controls are representative of the population from which they are drawn, and when the disease or defect is rare in the population. \\textit{Id.} at 52, 54 fig. 5-3; see HAROLD KAHN, \\textit{AN INTRODUCTION TO EPIDEMIOLOGIC METHODS} 46 (1983).\n\n\\textsuperscript{129}. Attributable risk is an assessment of the differences in the risks of exposed and unexposed populations. It is calculated by subtracting the level of risk of the unexposed population (the background risk) from the level of risk of the exposed population. Gordis, \\textit{supra} note 125, at 53-54. Thus, if the background risk of contracting cancer is 25% while the risk for those who spend a lifetime employed at a commercial nuclear reactor is 28%, the attributable risk of working at the site is 3%.\n\nrospective; indeed, the term \"retrospective study\" is sometimes used as a synonym for case-control study. Similarly, the term \"prospective study\" is sometimes used as a synonym for cohort study, even though some cohort studies do collect data retrospectively.\\textsuperscript{130} An important limitation of all studies using retrospectively collected data is that the data may be affected by recall bias.\\textsuperscript{131} Mothers who have children with birth defects, for example, are likely to search their pasts carefully, trying to find the cause of their child's injury. Consequently, they are more likely to recall the drugs ingested during pregnancy than are mothers of healthy children. The dangers of bias presumably increase with the passage of time. Researchers employ a number of strategies in an attempt to overcome these dangers.\\textsuperscript{132}\n\na. The Primacy of Epidemiology?\n\nBecause epidemiological studies are done on human subjects, they are sometimes thought to be the preferred evidence of environmental risk.\\textsuperscript{133} As Erdreich notes, at least in situations where the proposed effect of a drug does not have a long latency period, \"descriptive epidemiologic data . . . will settle the uncertainty associated with even the best animal data.\"\\textsuperscript{134} Occasionally, epidemiological evidence has been said to trump all other types of information. Thus, Judge Weinstein, in his opinion granting summary judgment against opt-out plaintiffs in the \\textit{Agent Orange Case}, said the epidemiological studies \"are the only useful studies having any bearing on causation. All the other data supplied by the parties rests on surmise and inapposite extrapolations from animal studies and industrial accidents.\"\\textsuperscript{135}\n\n\\textsuperscript{130}. \\textsc{Kahn}, supra note 128, at 39-40.\n\n\\textsuperscript{131}. Recall bias is but one of many sources of potential bias in epidemiological research. For a useful discussion, see David L. Sackett, \\textit{Bias in Analytic Research}, 32 \\textsc{J. Chronic Diseases} 51, 56 (1979).\n\n\\textsuperscript{132}. In one study of Bendectin, for example, the researchers conducted an in-depth interview with each mother and in most cases corroborated the interview results with exposure information in the mother's obstetric record. Sally Zierler & Kenneth Rothman, \\textit{Congenital Heart Disease in Relation to Maternal Use of Bendectin and Other Drugs in Early Pregnancy}, 313 \\textsc{New Eng. J. Med.} 347, 347-48 (1985).\n\n\\textsuperscript{133}. Michael L. Dourson & Jerry F. Stara, \\textit{Regulatory History and Experimental Support of Uncertainty (Safety) Factors}, 3 \\textsc{Reg. Toxicology \\& Pharmacology} 224, 234 (1983).\n\n\\textsuperscript{134}. Linda Erdreich, \\textit{Combining Animal and Human Data: Resolving Conflicts, Summarizing the Evidence}, in \\textsc{Epidemiology and Health Risk Assessment}, supra note 53, at 197, 198.\n\n\\textsuperscript{135}. \\textit{In re Agent Orange Prod. Liab. Litig.}, 611 F. Supp. 1223, 1231 (E.D.N.Y. 1985), \\textit{aff'd}, 818 F.2d 187 (2d Cir. 1987), \\textit{cert. denied sub nom. Lombardi v. Dow Chem. Co.}, 487 U.S. 1234 (1988).\n\nOn the other hand, epidemiological studies do have limitations. Not infrequently, they contain methodological or data collection shortcomings that undermine their findings. Thus, some experts would disagree with Judge Weinstein's conclusion that he could disregard *in vivo* studies and other types of evidence that contradict epidemiological findings.\\(^{136}\\) Moreover, when epidemiological findings are inconsistent or unclear, the animal studies take on greater importance. Even if an epidemiological study indicates that there is a correlation between a product and a defect, the question remains whether the product caused the problem.\n\nb. Causal Inference\n\nBecause we often may not understand the mechanisms by which a drug causes human injury, epidemiological correlation alone does not constitute proof of causation. Epidemiologists have developed a set of additional criteria to assist in determining whether an injury is the result of exposure to a particular product.\\(^{137}\\)\n\nThe first criterion is temporal order. Cause precedes effect. If the effect came before the cause, there can be no causal relationship. Ambiguity as to causal order undermines the ability to make causal arguments.\n\nSecond, there is the strength of association. The stronger the statistical association (usually measured by relative risk or the odds ratio) and the greater the level of statistical significance (usually measured by a chi square test) the more willing epidemiologists are to attribute a causal relationship.\\(^{138}\\)\n\n\\(^{136}\\). See Erdreich, *supra* note 134, at 198; cf. Peter Schuck, *Agent Orange on Trial: Mass Toxic Disasters in the Courts* 279 (1986); Bert Black & David Lilienfeld, *Epidemiological Proof in Toxic Tort Litigation*, 52 FORDHAM L. REV. 732, 776 (1984); Dore, *supra* note 126, at 436; Kristine L. Hall & Ellen K. Silbergeld, *Reappraising Epidemiology: A Response to Mr. Dore*, 7 HARV. ENVTL. L. REV. 441, 448 (1983); Richard E. Hoffman, *The Use of Epidemiologic Data in the Courts*, 120 AM. J. EPIDEMIOLOGY 190, 192 (1984).\n\n\\(^{137}\\). Mervyn Susser, *Epidemiology, Health and Society: Selected Papers* 69-80 (1987); Erdreich, *supra* note 134, at 203; Thomas H. Shepard, *Human Teratogenicity*, 33 ADVANCES PEDIATR. 225, 230-34 (1986).\n\n\\(^{138}\\). Herein lies the complex question of when it is appropriate to reject the null hypothesis that there is no relationship between the treatment and the effect. For a general statistical discussion of calculating relative risks, chi squares, and confidence intervals see Kahn, *supra* note 128, at 3-10. The literature on the role statistical evidence and statistical significance should play in legal assessments of liability is voluminous. Among the more interesting articles are: Bert Black, *A Unified Theory of Scientific Evidence*, 50 FORDHAM L. REV. 595 (1988); Black & Lilienfeld, *supra* note 136; Harold Ginzberg, *Use and Misuse of Epidemiologic Data in the Courtroom: Defining the Limits of Inferential and Particularistic Evidence in Mass Tort Litigation*, 12 AM. J. L. & MED. 423 (1986); Steve Gold, *Causation in Toxic Torts: Burdens of Proof, Standards of Persuasion, and Statistical Evidence*, 96 YALE L.J. 376 (1986); Ora Fred Harris, Jr., *Toxic Tort Litigation and the Causation Element: Is There Any Hope of*\n\nThe third criterion is the specificity of the relationship. There can be specificity in the causes and in the effects. Perfect specificity is achieved when a cause is a necessary and sufficient condition for one sole effect. If exposure to a certain product leads to a \"signature disease,\" as is the case with asbestosis, causal inferences are easier. But as causes come to have multiple results and as effects come to have multiple sources, causal arguments become indeterminate. Not infrequently, causal hypotheses have been attacked because a cause has multiple effects.\\textsuperscript{139} Almost all epidemiologists agree, however, that while lack of specificity in the effects of a cause may make a causal relationship indeterminate, it does not disprove the existence of such a relationship.\\textsuperscript{140} Similarly, while specificity in the causes of a given effect strengthens the plausibility of a causal relationship the absence of specificity alone does not refute the existence of a causal relationship.\\textsuperscript{141}\n\nFourth, there is consistency on replication. Multiple replications, especially when they use a variety of methods and are done in a variety of circumstances, support causal arguments by diminishing the probability that results are spurious or the product of methodological flaws. Whenever it is impossible to implement an experimental design fully, unmeasured confounding factors threaten the accuracy of the results.\\textsuperscript{142}\n\nFinally, there is the coherence of the evidence. A finding is more likely to support a causal interpretation when it fits within a known body of facts or an existing theoretical framework. One type of coherence is biological plausibility; that is, an understanding of the mechanisms through which a cause may lead to an effect. Another type of coherence that increases the plausibility of a causal relationship is a finding of a dose-response relationship; that is the higher the dose, the greater the response.\\textsuperscript{143}\n\n\\textit{Reconciliation?}, 40 Sw. L.J. 909 (1986); David Kaye, \\textit{Is Proof of Statistical Significance Relevant?}, 61 Wash. L. Rev. 1333 (1986); David Kaye, \\textit{Statistical Significance and the Burden of Persuasion}, \\textit{Law & Contemp. Probs.}, Autumn 1983, at 13; Richard Lempert, \\textit{Statistics in the Courtroom: Building on Rubinfeld}, 85 Colum. L. Rev. 1098 (1985).\n\n\\textsuperscript{139} The best known example of this type of argument involves the correlation between cigarette smoking and disease, because smoking does not cause a specific ailment.\n\n\\textsuperscript{140} Sussler, \\textit{supra} note 137, at 79.\n\n\\textsuperscript{141} Sussler notes that as knowledge accumulates specificity may be improved because we come to a clearer understanding of the differences between previously undifferentiated causes or effects. \\textit{Id.} at 87. For example, as we come to appreciate the differences in the types of asbestos fibers we may be able to make more specific statements about the relationship of these fibers to certain diseases. Moreover, as specificity improves, so may strength of association. Here as elsewhere, the criteria for making causal inferences overlap.\n\n\\textsuperscript{142} See Thomas D. Cook & Donald T. Campbell, \\textit{Quasi-Experimentation: Design & Analysis for Field Settings} 37-94 (1979).\n\n\\textsuperscript{143} Manson et al., \\textit{supra} note 96, at 150. The lack of a linear dose-response relationship\n\nThe history of the Bendectin litigation has been marked by questions concerning the relative probative value of each type of evidence and the causal inferences that can be drawn from statistical correlations.\n\nB. The Bendectin Studies\n\nAgainst this background, the next sections present the Bendectin research. The purpose here is not to determine whether Bendectin is a teratogen; rather, it is to examine the flow of science over the life cycle of the Bendectin litigation. In mass tort cases, the importance of the science cannot be overemphasized. Without *in vitro*, *in vivo* and epidemiological findings, and experts prepared to present them, the plaintiff has no case. In order to understand the litigation, something first must be known about the science. Further, there are two other issues suggested by the idea of a congregation of cases. First, the science, like the law, of a case congregation develops and matures; the science also experiences a life cycle.\\textsuperscript{144} We should expect that the science will be relatively poorly developed in the early stages of litigation, but that over time the mobilization efforts of the parties will produce a richer body of scientific evidence.\n\nThis leads to the second point: We should anticipate that the science itself is influenced by the legal process. As the congregation of cases grows and matures, it creates its own gravity field, attracting and distorting the science that comes near it.\\textsuperscript{145} In turn the science affects the law. Ultimately, science and law interact in complex ways to produce unique patterns of development in various case congregations. In the following three sections, I show how the science developed in the Bendectin Cases.\n\n(1) *In Vitro* Studies\n\nWhile probably all Bendectin cases have contained some testimony on *in vitro* research, the number of studies on point is limited. In a recent letter published in the *Journal of the American Medical Association*, Dr.\n\n\\textsuperscript{144} See Michael Green, \\textit{The Paradox of Statutes of Limitations in Toxic Substances Litigation}, 76 CAL. L. REV. 965, 975 (1988) (arguing that knowledge of the dangerousness of toxic substances generally improves with time).\n\n\\textsuperscript{145} In this regard, Sackett notes that research may be susceptible to what he calls the \"hot stuff bias\": \"When a topic is hot, neither investigators nor editors may be able to resist the temptation to publish additional results, no matter how preliminary or shaky. . . .\" Sackett, \\textit{supra} note 131, at 61. For a period of time in the 1980s, Bendectin was hot stuff. \\textit{See infra} text accompanying notes 198-99.\n\nStuart Newman cites six *in vitro* studies that examine Bendectin or its antihistamine component, two of which were published in 1989.\\textsuperscript{146}\n\nCompared to *in vivo* or epidemiological research, *in vitro* studies are the least accessible to the lay person. Summarizing the findings is difficult. One study that is damaging with respect to Bendectin's safety is by Budroe, Shaddock, and Casciano, who conclude that Doxylamine may be a weak DNA-damaging agent.\\textsuperscript{147} Hassell and Horigan report that Bendectin inhibits limb bud mesenchyme cell differentiation.\\textsuperscript{148} Dr. Newman interprets the other studies as indicating doxylamine also curtails the formation of embryonic cartilage.\\textsuperscript{149} The authors of these studies, however, apparently do not conclude that their research indicates that Bendectin or doxylamine is teratogenic.\\textsuperscript{150} Cumulatively, the evidence suggests that Bendectin's antihistamine component may have some adverse effects on embryonic cell development, but there is relatively little research, and the findings are not clear cut.\n\nThis circumstance is not surprising since the purpose of most of these studies is not to prove or disprove that Bendectin causes specific types of developmental defects in animals or children. Instead, most appear to have a different purpose: to study a group of known teratogens alongside a group of known nonteratogens and determine whether the\n\n\\textsuperscript{146} Stewart A. Newman, \\textit{Bendectin—Birth Defects Controversy}, 264 JAMA 569, 569 (1990) (letter to the editor). As the journal editor noted, Dr. Newman has provided expert advice and testimony (for plaintiffs) in Bendectin cases. For a listing of the *in vitro* studies, see Appendix B.\n\n\\textsuperscript{147} John D. Budroe et al., \\textit{A Study of the Potential Genotoxicity of Methapyrilene and Related Antihistamines using the Hepatocyte/DNA Repair Assay}, 135 MUTATION RES. 131, 136-37 (1984).\n\n\\textsuperscript{148} John R. Hassell & Elizabeth A. Horigan, \\textit{Chondrogenesis: A Model Developmental System for Measuring Teratogenic Potential of Compounds}, 2 TERATOGENESIS, CARCINOGENESIS, AND MUTAGENESIS 325, 331 (1982). Using a unit of measure called the \"teratogenic potential,\" they found Bendectin inhibited cell differentiation at a dose of .05 mg/ml. This dose was approximately 1.5 orders of magnitude smaller than the amount of caffeine necessary to produce a similar effect (2.3 mg/ml). On the other hand, the Bendectin dose was 3.5 orders of magnitude larger than the amount of vitamin A required to produce a similar effect (.000013 mg/ml). \\textit{Id.} at 330. Hassell and Horigan do not express an opinion in the article as to whether Bendectin is dangerous to humans when taken at normal therapeutic doses.\n\n\\textsuperscript{149} Newman, \\textit{supra} note 146, at 569.\n\n\\textsuperscript{150} See, e.g., M. Guntakatta et al., \\textit{Development of a Mouse Embryo Limb Bud Cell Culture System for the Estimation of Chemical Teratogenic Potential}, 4 TERATOGENESIS, CARCINOGENESIS, AND MUTAGENESIS 349, 362 (1984) (\"responses observed for each of these chemicals . . . were statistically insignificant\"); J.Y. Renault et al., \\textit{Limb Bud Cell Culture for In Vitro Teratogen Screening: Validation of an Improved Assessment Method Using 51 Compounds}, 9 TERATOGENESIS, CARCINOGENESIS, AND MUTAGENESIS 83, 88-89 (1989) (\"[i]n contrast with . . . patterns of specific inhibitory activity [produced by two known teratogens], treatment with Doxylamine (succinate), a known nonteratogen, resulted in a concomitant inhibition of proliferation and differentiation . . . signifying nonspecific toxicity\").\n\nprocedure used in the study is in fact able to differentiate the two groups of drugs. If a procedure is able to distinguish known teratogens from known nonteratogens then it will be a better predictor as to whether a new compound will in fact be teratogenic in humans. To return to the distinction developed earlier between studies used to regulate risk versus studies used to prove causation in a tort case, the primary goal of most of these *in vitro* studies appears to have been the development of techniques that will be most helpful in regulating risk.\n\nPerhaps this is why, in comparison to the *in vivo* and epidemiological research discussed below, relatively little Bendectin-specific *in vitro* research has occurred. As a consequence, the *in vitro* data is second best evidence when used in the courtroom to demonstrate that Bendectin is a teratogen.\n\n(2) *In Vivo* Studies\n\nIn the aftermath of the Thalidomide disaster, the first *in vivo* tests of Bendectin were conducted by Merrell employees in 1963, using rabbits and rats. The principal investigator, Dr. Robert Staples, concluded that the study did not reveal teratogenicity. However, he noted some malformations in rabbits given the highest doses, and therefore recommended further research be conducted at higher dose rates. In 1966 and 1967 further tests were done on the individual components of Bendectin by two other Merrell employees, Drs. James Newberne and John Gibson. These results were published in 1968. Since that time there have been surprisingly few published *in vivo* studies designed to explore the teratogenic effect of Bendectin or its constituent ingredients. Table 1\n\n---\n\n151. See supra notes 112-20 and accompanying text.\n\n152. Hagan v. Richardson-Merrell, Inc., 697 F. Supp. 334, 338 (N.D. Ill. 1988). Merrell did not immediately follow up on this recommendation, nor did it submit the findings to the FDA until three years later. This type of behavior on Merrell's part helped fuel speculation by plaintiffs that if they only dug deeply enough, they would find a cover-up. Id.\n\n153. See John P. Gibson et al., Teratology and Reproduction Studies with an Antinauseant, 13 TOXICOLOGY & APPLIED PHARMACOLOGY 439, 441 (1968).\n\n154. Table 1 is found in appendix A. For a listing of the *in vivo* studies, see Appendix C.\n\npresents a summary of the published studies, plus two unpublished ones, in chronological order.\n\nThe table is useful for indicating the development of the literature. The first thing to note is the erratic nature of the research—bursts of activity separated by several years during which no research occurred. In fact, the pattern reflects the regulatory purpose of most *in vivo* studies and, later, the demands of the Bendectin litigation. The early 1967 research represents Merrell's response to Thalidomide. It was followed by a long period of quiet. The mid-1970s work reflects the impact of the epidemiological effectiveness study that found two ingredient Bendectin to be as effective as the three ingredient version. Subsequently, Merrell conducted *in vivo* studies to test the safety of the new formulation on animals. The final and largest wave of studies, from the early 1980s to date, reflects the need for new evidence regarding the drug's safety, driven largely by the interest in and demand for information resulting from the Bendectin litigation.\n\nThe table is somewhat misleading as an indicator of the total volume of animal research. Gibson's 1968 study reported on six separate experiments that had examined the effects of doxylamine succinate, dicyclomine hydrochloride, and three ingredient Bendectin on rats and rabbits. Because these all were done in the same laboratory by Merrell employees, however, they are inherently suspect. Studies 3 and 4 were also done in Merrell's laboratories. They were designed to examine the\n\n---\n\n155. With regard to the number of mothers in experimental and control groups (column 3), it should be noted that the total number of fetuses examined may be much larger depending on the species. For example, in the rat study by Tyl et al., the 116 experimental animals and 53 controls produced a total of 2007 fetuses. Rochelle W. Tyl et al., *Developmental Toxicity Evaluation of Bendectin in CD Rats*, 37 TERATOLOGY 539, 546 (1988). Recall from the earlier discussion that the preferred analysis focuses on the percentage of fetuses within litters that have a defect. *See supra* text accompanying notes 103-104. The relatively greater cost of rabbit and monkey studies is in part a function of the smaller litter sizes of these species.\n\n156. Several additional unpublished studies should be mentioned as well. Merrell conducted a number of studies, most, but not all of which are summarized in Gibson's 1968 article. *See* Gibson, *supra* note 153, at 440. In addition, there are studies by Roll & Matthiaschk (1981), Roll (1982) (testing Bendectin on rats), and McClure (1982) (a small monkey study showing no effect). Tyl et al. *supra* note 155, at 540. Table 1 does not include these studies.\n\n157. *See supra* note 77 and accompanying text.\n\n158. In all these experiments the authors interpreted the results as indicating no effect, although there does appear to be both a higher incidence of contracted tendons in rabbits receiving high doses of Bendectin and a higher incidence of focal hematomas in rats receiving high doses of dicyclomine hydrochloride. Additionally, no statistical analyses are presented for any of this study's findings. Plaintiff's experts have challenged the way those who conducted the study coded certain animals and have claimed that if the data had been coded correctly, these studies would indicate that Bendectin causes birth defects.\n\nteratogenic effects of the two ingredient Bendectin formulation. In addition, studies 6, 7, 9, and 10 were all conducted in a single laboratory at the University of California, Davis by Hendrickx and colleagues. Papers 6 and 7 are, in fact, only abstracts of work in progress that is fully reported in 9 and 10. If Hendrickx's studies are counted as one piece of research, there turn out to be only six separate research projects in the published literature, and one of these (study 5, involving chicken eggs) is only marginally an *in vivo* study.\n\nSeveral of the studies report some relationship between the drug and a teratogenic effect,\\textsuperscript{159} although the authors are generally cautious about attributing causation.\\textsuperscript{160} The research on monkeys concludes that two ingredient Bendectin causes heart defects.\\textsuperscript{161} One rabbit study (study 8) concludes that doxylamine succinate causes limb and skeletal defects.\\textsuperscript{162} The rat studies find, at most, minor teratogenic effects.\\textsuperscript{163} Several studies\n\n\\textsuperscript{159.} See infra app. A, tbl.1, col. 5.\n\n\\textsuperscript{160.} See infra app. A, tbl. 1, col. 9. Their caution is explained by a variety of factors: the relationship is not statistically significant; the defect is one frequently found in the particular strain of animal used; the effect is produced because of the drug's maternal toxicity; or there are other, fortuitous explanations for the result.\n\n\\textsuperscript{161.} The first epidemiological study to show a teratogenic effect in humans also involved heart defects. See infra note 183. The defects exhibited by the monkeys (ventricular septal defects) apparently are temporary. Bendectin causes a delay in the closure of the ventricular septa, but it closes spontaneously by full term. The defect is not detectable in newborn monkeys. A.G. Hendrickx et al., Evaluation of Bendectin Embryotoxicity in Non-Human Primates: Double-Blind Study in Term Cynomolgus Monkeys, 32 TERATOLOGY 191, 194 (1985).\n\n\\textsuperscript{162.} Because the most seriously injured plaintiffs have suffered limb defects, the rabbit studies are particularly relevant to the Bendectin litigation. Dr. McBride, the researcher who found these defects, has been a central expert witness for plaintiffs in these cases. He has also been at the center of considerable controversy, including serious charges of misconduct surrounding research on a different drug, scopolamine. See Andrew Skolnick, Key Witness Against Morning Sickness Drug Faces Scientific Fraud Charges, 26 JAMA 1468, 1468 (1990).\n\n\\textsuperscript{163.} While the Tyl study did show a dose-related skeletal defect (reduced number of ossified caudal vertebral centra), on the basis of an analysis of covariance (\"ANCOVA\"), the authors concluded that this and other fetal defects are best understood as the consequence of reduced fetal body weight. Tyl, supra note 154, at 550-51. In general, the authors interpret the defects detected in this study as the byproduct of maternal and developmental toxicity resulting from the very high doses of Bendectin given to the experimental rats. The lowest dose rate in the study (200 mg/kg/day) is approximately 300 to 600 times the therapeutic dose taken by pregnant women. The highest dose rate was 800mg/kg/day. At this rate, Bendectin caused profound maternal toxicity.\n\nTyl also reports that Roll and Matthiassch conducted an experiment in 1981 finding teratogenic effects (diaphragmatic hernia) in rats; but that Roll was unable to replicate the results in the same laboratory. Id. at 540.\n\nGibson's 1975 study indicates a relationship between Bendectin and dilated kidney pelvis and subcutaneous hematomas. Both are said to be common to the strain of rat used in the study, and the latter defects generally disappear within a few days in newborn rats. John Gibson, Teratology Study With A New Antinauseant Formulation in Rabbits 3 (1975) (unpublished study, on file with author).\n\nfind that high dose rates of Bendectin do produce maternal toxicity, and this in turn injures the fetus.\\textsuperscript{164}\n\nOne would expect that as the Bendectin litigation matured, so too should the quality of the \\textit{in vivo} evidence have improved, allowing the parties and the courts to reach a consensus regarding the drug's teratogenicity. And there is some evidence that the quality of the research did improve over time. Early studies rarely utilized any statistical analysis of experimental results, while later ones employed some rather sophisticated analytic tools.\\textsuperscript{165} Additionally, the sample sizes of the studies have grown, and dose rates have been increased.\\textsuperscript{166} Both of these methodological changes increase a study's ability to detect minor defects. On the other hand, the limited number of \\textit{in vivo} studies, which employed a variety of test animals and tested a variety of component drugs, makes it difficult to draw any conclusions as to whether Bendectin has a specific teratogenic effect on humans.\n\nHow to account for the relatively limited number of \\textit{in vivo} studies, as well as their relatively late appearance? The small number of studies cannot be explained by a direct depletion effect. While Bendectin is no longer available as a prescription drug, it remains available for laboratory studies. Indeed, the most recent research occurred subsequent to Merrell's withdrawal of Bendectin from the market. Nevertheless, the volume of published work is thin. Why?\n\nIn part, the answer is found in the relationship of this research to all Bendectin research and to the ongoing litigation surrounding the product. While \\textit{in vivo} studies in general are cheaper to conduct than epidemiological studies, with respect to a particular drug the relative advantage is lessened. Large scale epidemiological studies can be used to investigate a wide variety of drugs simultaneously. Most of the epidemiological research on Bendectin, for instance, uses data sets collected for more general purposes. Animal studies, by contrast, must focus on the drug in question. Consequently, there has been less interest in mobilizing the resources necessary to conduct Bendectin-specific \\textit{in vivo} experiments.\n\nThis has proven especially true since Bendectin was removed from the market. Further study of the drug is of limited interest to people who are not in some way involved with Bendectin as a legal, as well as scien-\n\n\\textsuperscript{164} See Tyl et al., supra note 155, at 550.\n\n\\textsuperscript{165} See id.\n\n\\textsuperscript{166} Tyl's 1988 rat study involved over 2000 fetuses, some of whose mothers had been exposed to Bendectin at levels nearly three orders of magnitude greater than human therapeutic doses.\n\ntific, issue. In other words, Merrell's decision to remove Bendectin from the market did lessen demand for animal research. This fact is reflected in the sponsorship of the published studies that do exist. Five separate research projects are listed in Table 1 (Gibson, Khera, McBride, Hendrickx, and Tyl). The first (Gibson) was sponsored and conducted by Merrell. The second (Khera) was done to explore the teratogenicity of pyridoxine; it did not directly involve Bendectin. The third (McBride) was independent. Hendrickx's work began independently, but the research reported in the second 1985 article was funded by Merrell.\\textsuperscript{167} Tyl's study, the largest and most sophisticated \\textit{in vivo} study to date, was undertaken by the National Toxicology Program at the specific request of the FDA's Bureau of Drugs.\\textsuperscript{168} Given the fact that Merrell was, by far, more interested in such research than any other entity, its decision to drop Bendectin naturally led to a decrease in animal studies of the drug's teratogenicity.\n\nIf those not involved in the litigation had little interest in new research, neither did the parties themselves have strong incentives to conduct new studies. Once litigation began, Merrell's incentive to continue its own research was substantially diminished. New studies done by Merrell scientists in Merrell laboratories were, from the company's point of view, a lose-lose proposition. If they showed an effect, the studies would be used against the company in subsequent litigation. If they failed to show an effect, their persuasiveness would be seriously limited by the fact that Merrell had conducted them. Any slight technical flaw in the design or execution of the experiment would be exploited by plaintiffs to undermine Merrell's findings.\\textsuperscript{169} A similar analysis would apply to research funded by Merrell, especially if it was conducted by someone who had previously testified on the firm's behalf.\\textsuperscript{170}\n\n\\textsuperscript{167} Hendrickx, \\textit{supra} note 161, at 194.\n\n\\textsuperscript{168} Tyl, \\textit{supra} note 155, at 540.\n\n\\textsuperscript{169} Typically, this has happened with earlier Merrell animal studies. \\textit{See In Re Bendectin Litig.}, 857 F.2d 290, 318 (6th Cir. 1988), \\textit{cert. denied sub nom. Hoffman v. Merrell Dow Pharmaceuticals}, 488 U.S. 1006 (1989). In more recent trials, Merrell has relied much less on its own animal or epidemiological studies, in part because it then does not have to defend them. For example, in \\textit{Hagaman v. Merrell Dow Pharmaceuticals}, No. 84-2202-5, 1987 U.S. Dist. LEXIS 6124 (D. Kan. Jun. 26, 1987), Merrell moved to exclude the videotape deposition of Isalene Smock, whose testimony cast doubt on an early Merrell epidemiological study. The court granted the motion, stating: \"In their brief, plaintiffs indicate that this deposition will be offered because defendant relies heavily upon the Bunde-Bowles study. Defendant has indicated that it does not intend to rely upon the study at trial. Accordingly, the court cannot find any relevance in showing the videotape to the jury.\" \\textit{Id.} at *28.\n\n\\textsuperscript{170} The most noteworthy example of this problem in the Bendectin Cases arose with respect to the epidemiological research done by Professor Richard Smithells for Merrell. Plaintiffs were able to obtain a letter from Professor Smithells to Dr. Mark Hoekenga, an\n\nIn this respect it is interesting to note that while the Hendrickx study, which was funded by Merrell, did involve some risk of an adverse finding, from the firm's perspective it had the benefit that it was conducted by a non-Merrell employee who had previously concluded Bendectin causes heart defects in monkeys. Merrell thus could hope to make effective use of a negative finding in court. Even so, the researchers used a double-blind design so as to minimize the potential that the study might appear biased.\\textsuperscript{171} Even this strategy, however, did not shield Merrell from the suggestion that because they funded the study its results were suspect.\\textsuperscript{172}\n\n\\textsuperscript{171} Hendrickx, \\textit{supra} note 161, at 191.\n\n\\textsuperscript{172} The first Hendricks study had found that when fetuses from three species were sacrificed after approximately two-thirds of their gestation period, those whose mothers had taken Bendectin were more likely than those whose mothers had not to exhibit interventricular septal defect (the membrane separating the two sides of the heart, the septum, is not completely closed). The second study, funded by Merrell, replicated the first study on one species but did not sacrifice the fetuses until normal term. By then there was no apparent effect of Bendectin exposure; apparently the membrane spontaneously closes by term. \\textit{Id.} at 194.\n\nThe following exchange took place between plaintiff's lawyer and plaintiff's expert, Adrian Gross, with respect to the Hendrickx studies:\n\nQ: All right. Let's talk about who pays for some of these things, then, Doctor. Let's look at the Hendrickx study.\n\nA: The first one was done under the sponsorship of the government with a grant from the NIH.\n\nQ: And the second one?\n\nA: That was paid for by Merrell.\n\nQ: Let me show you what's been marked as Exhibit 231. Have you seen this before?\n\nA: I think I have.\n\nQ: Can you tell us what—whose letterhead it's on?\n\nA: Merrell Research Center.\n\nQ: Turn to the second page of that.\n\nA: Yes, I have it.\n\nQ: Is there a reference there to the Hendrickx study?\n\nA: Yes.\n\nQ: Hendrickx monkey study?\n\nA: Right.\n\nQ: The category is what?\n\nA: Defense.\n\nIt is not only the existence of litigation that alters the incentives to conduct *in vivo* research; so too does the existence of a large body of epidemiological data diminish the market for animal research. Inevitably, the direct evidence on human effects provided by the epidemiological evidence diminishes the demand for *in vivo* studies insofar as they are designed to answer the question of whether a drug causes harm to humans. Although there is considerable disagreement about the proper role of *in vivo* studies in answering that question, many would agree they are less probative than epidemiological evidence. As the following discussion shows, the Bendectin litigation and epidemiology eventually interacted in a way that seriously undermined the worth of animal studies. Increasingly, courts simply refused to rely on or even to admit *in vivo* evidence. Considering the declining demand for *in vivo* research, it is not surprising that the supply has been limited.\n\n(3) Epidemiological Studies\n\nThe epidemiological evidence stands at the center of the Bendectin cases. As noted earlier, a number of judges and scientists have argued that a coherent body of epidemiological evidence trumps other information.\\(^{173}\\)\n\na. Background\n\nI have found and examined thirty-nine published epidemiological studies that discuss Bendectin.\\(^{174}\\) Table 2\\(^{175}\\) summarizes these studies.\\(^{176}\\)\n\n---\n\nQ: Defense. How much in thousands— \nA: How much money? \nQ: Is it listed there? Would you read that? \nA: 200 and—excuse me. Let me get my eye helper here. 248.5. \nQ: In thousands? \nA: Yes. \nQ: That's just phase one, though, isn't it, Doctor? \nA: I'm sorry. \nQ: That's just phase one of the study, isn't it? \nA: Yes. Phase two was— \nQ: What about phase two? \nA: $60,000. \nQ: So over $300,000 for defense? \nA: Yes, that's true.\n\nTrial Transcript at 54-55, Havner v. Merrell Dow, Pharmaceuticals, Inc., 41 Prod. Safety & Liab. Rep. (BNA) No. 19, at 1134 (D. Tex. Oct. 11, 1991).\n\n173. See supra notes 133-36 and accompanying text. \n174. These studies were found by reading Bendectin trial transcripts and exhibits, searching for articles on Bendectin in MEDLINE, a CD/ROM index to medical publications and periodicals, and collecting the references cited in each discovered article. \n175. Table 2 is found in appendix A.\n\nIn this section, I briefly discuss the epidemiological findings on Bendectin and then examine how the research changed over time.\n\nWhat do these studies show concerning the teratogenic effects of Bendectin? Needless to say, much of the litigation in this and other drug cases centers on varying interpretations of the epidemiological findings.\\textsuperscript{177} However, as with the \\textit{in vivo} studies, two summary facts are worth reporting: (1) the authors' conclusions about the drug; and (2) whether the study contains any objective indication that Bendectin has adverse effects.\n\nIn no study did the authors clearly conclude that Bendectin does have teratogenic effects. In six studies, the authors report at least one significant correlation between Bendectin and some adverse effect and conclude that while their findings alone are insufficient to support an attribution of causation, one may exist.\\textsuperscript{178} In the remaining thirty-three studies, the authors either draw no conclusion or conclude that there is no statistical relationship.\n\nApart from the author's own conclusions, a second measure of Bendectin's effect is the odds ratio or the relative risk reported in the study.\\textsuperscript{179} For each study, I have attempted to extract the \"most important\" odds ratio or relative risk.\\textsuperscript{180} Either by using the statistic reported\n\n\\textsuperscript{176} Three known studies have been excluded from Table 2. One, M.M. Adams & J. Mulinaro, \\textit{A Case-Control Study of Bendectin and Ventricular Special Defects (Abstract)}, 31 \\textsc{Teratology} 61A (1985), is a brief abstract, and lacks sufficient information to be coded. The authors report that they found three ingredient Bendectin to be correlated with a nonsignificant increased incidence of birth defects, but that the two ingredient version was significantly related to a decrease in defects. No explanation is offered for this seemingly contradictory finding. Another study, Robert L. Brent, \\textit{Bendectin and Interventricular Septal Defects}, 32 \\textsc{Teratology} 317 (1985), does report some data comparing Bendectin sales over time with the number of reported ventricular septal defects. However, this publication is primarily an editorial discussing Hendrickx's monkey studies. A third study, Leslie L. Robinson et al., \\textit{Maternal Drug Use and Risk of Childhood Nonlymphoblastic Leukemia Among Offspring}, 63 \\textsc{Cancer} 1904 (1989), is excluded because it does not concern birth defects. It does report a relative risk of 1.75 associated with the use of Bendectin or other morning sickness medication ($P = 0.06$), and also indicates a significant elevation in risk associated with increased duration of usage. \\textit{Id.} at 1906.\n\n\\textsuperscript{177} In a later paper, I will discuss the ways in which attorneys and experts for both Merrell and plaintiffs interpreted the data.\n\n\\textsuperscript{178} The six studies are numbered 16, 23, 25, 26, 29, and 33 in Table 2. (A list relating the number to a particular database appears in Appendix E.) Eskenazi and Bracken come closest to saying Bendectin is a teratogen. They conclude that \"these data suggest that the material use of Bendectin is strongly associated with the occurrence of pyloric stenosis in the infant. Whether this is a direct causal relationship is unclear.\" Brenda Eskenazi & Michael Bracken, \\textit{Bendectin (Debendox) as a Risk Factor for Pyloric Stenosis}, 144 \\textsc{Am. J. Obstetrics & Gynecology} 919, 924 (1982).\n\n\\textsuperscript{179} For a description of these two measurements, see \\textit{supra} notes 127-28.\n\n\\textsuperscript{180} \"Most important\" is a slippery term. Where the study reports a significant correlaor by calculating an odds ratio based on the raw data published, it was possible to extract one or both measures in twenty-six of the thirty-nine studies. In general, odds ratios and relative risks are not strictly comparable—either with each other or across studies. But one crude type of comparison that can be made is whether the statistic is greater or less than 1. An odds ratio or relative risk greater than one indicates that children whose mothers took Bendectin are more likely to have suffered a defect than those whose mothers did not. An odds ratio or relative risk of less than one indicates the opposite. If Bendectin truly has no effect, given a large number of equally valid studies, half should produce statistics greater than one and half should result in measures of less than one.\\textsuperscript{181} With regard to the twenty-six studies for which I was able to extract a value, in thirteen the most important measure is greater than one and in twelve it is less than one. One study reports a relative risk of exactly one.\\textsuperscript{182}\n\nb. The Evolution of Bendectin's Epidemiological Research\n\nWhile the aggregate findings of the studies are critical to the ultimate disposition of the Bendectin Cases as a group, the key point for this analysis is that the studies, like the case law, evolved over time. In the early years, the epidemiological research tended to parallel the \\textit{in vivo} research. A number of investigations were conducted in the early 1960s, partly in response to the Thalidomide disaster. Then the epidemiological research virtually ceased for a number of years. In the late 1970s, a\n\n\\textsuperscript{181} William L. Hays, \\textit{Statistics for Psychologists} 192-204 (1963).\n\n\\textsuperscript{182} Very similar conclusions were drawn by Sheffield and Batagol in their review of the data. They present either odds ratios or relative risks for a total of 22 case-control and cohort studies. Of these, 11 had ratios below one and 11 had ratios above one. Leslie J. Sheffield & Ron Batagol, \\textit{The Creation of Therapeutic Orphans—Or, What Have We Learnt From the Debendox Fiasco?}, 143 \\textit{Med. J. Austl.} 143, 144 (1985).\n\nMeta-analysis offers a more sophisticated and rigorous method of combining the findings of many studies. \\textit{See generally Frederic M. Wolf, Meta-Analysis: Quantitative Methods for Research Synthesis} (1986). I am aware of only one published meta-analysis of the Bendectin studies. \\textit{See Thomas R. Einarson et al., A Method for Meta-Analysis of Epidemiological Studies}, 22 \\textit{Drug Intelligence & Clinical Pharmacy} 813 (1988). Einarson et al. included 17 studies in a meta-analysis examining whether first-trimester Bendectin ingestion caused any birth defect. The overall odds ratio was calculated to be 1.01, $X^2 = 0.05$, $p = .815$. They also conducted separate meta-analyses for cohort and case control studies. For cohort studies ($N = 12$) the ratio was 0.95, $X^2 = 0.66$, $p = .418$. For case control studies ($N = 5$) the ratio was 1.27, $X^2 = 2.71$, $p = 0.10$. \\textit{Id.} at 820. The authors conclude that these meta-analyses confirm previous subjective analyses that Bendectin is not associated with human teratogenic outcomes. \\textit{Id.} at 822.\n\nnumber of new studies were published, although it is important to note that most of them did not target Bendectin specifically. Rather, they reported the results of broad epidemiological studies of drugs taken during pregnancy, including Bendectin and its constituent ingredients.\n\nA turning point in the epidemiological research occurred in 1979 with the publication of the first article suggesting an association of Bendectin with birth defects.\\textsuperscript{183} The study was important for several reasons: It was published in one of the leading American journals on epidemiology; the analysis was relatively sophisticated; and the senior author, Kenneth Rothman, was a professor in the Department of Epidemiology in the Harvard School of Public Health. With the publication of the Rothman study, Bendectin, like Thalidomide and MER/29 before it, became epidemiologically suspect.\n\nTo demonstrate the importance of the Rothman study, I have coded the thirty-nine studies as either pre- or post-1979; the results are contained in Table 3.\\textsuperscript{184} As the table indicates, prior to 1979 most of the studies focused on teratogenicity in general, not Bendectin in particular. The Rothman finding, plus the emerging litigation concerning Bendectin, generated study after study of this particular drug. With this increased focus came an increase in the sophistication and the power of the studies.\n\nc. The Increase in Statistical Sophistication and Power\n\nTable 4\\textsuperscript{185} indicates that studies rarely reported more than a basic Chi-square statistic prior to 1980, but uniformly began to report more after that date. Most importantly, they began to report confidence intervals for estimates and started to control for other factors through the use of multiple regression techniques, most frequently logistic regression.\\textsuperscript{186}\n\nAs time passed, the \\textit{power} of individual studies also increased. The power of a study is its ability to detect a difference of some given magnitude.\n\nEpidemiological studies, like all statistical analyses, are vulnerable to two types of errors. Type I errors occur if we reject the null hypothesis when in fact it is true. In terms of this discussion, we would conclude Bendectin causes birth defects when in fact it does not. Scientists, being conservative, generally try to minimize Type I errors; that is, they de-\n\n\\textsuperscript{183} See Kenneth Rothman et al., \\textit{Exogenous Hormones and Other Drug Exposures of Children with Congenital Heart Disease}, 109 AM. J. EPIDEMIOLOGY 433, 435 (1979).\n\n\\textsuperscript{184} Table 3 is found in appendix A.\n\n\\textsuperscript{185} Table 4 is found in appendix A.\n\n\\textsuperscript{186} See generally John Aldrich & Forrest Nelson, \\textit{Linear Probability, Logit and Probit Models} (1984).\n\ncline to find a causal relationship unless it is unlikely that the observed results occurred by chance.\n\nTraditionally and typically, the null hypothesis will not be rejected unless the probability that a result occurred by chance is less than one in twenty, or sometimes less than one in one-hundred. The Greek letter Alpha is by custom used to designate this criterion. In other words, if the probability of a result occurring by chance must be less than one in twenty, Alpha must be less than .05.\n\nType II errors occur if we fail to reject the null hypothesis when in fact it is false. In terms of this discussion, we would conclude that Bendectin does not have a teratogenic effect when in fact it does. Science has traditionally been less concerned with this type of error. Nevertheless, we would like to minimize the probability of this error (by custom designated as Beta) as well. From the plaintiff's point of view, reducing Type II errors is at least as important as reducing Type I errors. The probability that we will reject the null hypothesis when some specific alternative hypothesis is true is called the power of the test, and is equal to 1 minus Beta.\n\nGiven some level of Alpha, Beta is a function of several factors, one of the most important being the sample size of treatment and control groups. Ceteris paribus, the larger the sample the lower the Beta value. It is thus worth investigating whether sample sizes increased substantially before or after the Rothman study. However, in examining relative sample size it is necessary to distinguish between cohort and case-control studies. Because the power of a given test is contingent upon the sample size of both the treatment and control groups, case-control studies can achieve low Betas with much smaller samples than can cohort studies. This is the case because birth defects are relatively rare in the population. Thus, cohort studies exploring rare events require a large number of total cases in order to obtain a significant number of individuals who have experienced an injury. Case-control studies begin with a large number of injuries, and thus need far fewer cases.\n\nFor example, assume that some birth defect occurs in 1 out of 1000 cases among children who were not exposed to Bendectin, and that 50% of all prospective mothers take Bendectin during their pregnancy. If we set Alpha at .05, in order to be able to detect a relative risk of 2.0 among the children of Bendectin takers 90% of the time (Beta = .10) we would need an N of 177 in a case-control study, but we would need an N of 31,444 in a cohort study. If we wished to detect a relative risk of 1.2 90% of the time, the case-control N would have to be 2535, while the\n\nCohort study N would be an enormous 576,732 cases.\\textsuperscript{187} Consequently, in examining sample sizes before and after 1979, it is important to distinguish between cohort and case-control studies. Within the Bendectin epidemiological research, was there an increase in Ns in either type of study or a shift from cohort to case-control studies?\n\nThe answer is that, while sample sizes did not change, the types of studies did. There has been a trend toward relatively more case-control studies after 1979 (38% before, 48% after). Moreover, the nature of the case-control studies has changed substantially. I have coded each case-control study for the nature of the cases, that is the type of defect they represented. Early studies adopted a shotgun approach, in which the cases were any type of birth defect. Three of the five case-control studies conducted before 1979 were of this type. After 1979, however, the case-control studies tended to test for specific types of birth defects. Of the ten post-Rothman case-control studies, seven tested whether Bendectin caused one or more specific defects.\\textsuperscript{188} Two looked for congenital heart defects—the type of defect correlated with Bendectin in the Rothman study.\\textsuperscript{189} One looked for pyloric stenosis.\\textsuperscript{190} Four studies examined the\n\n\\textsuperscript{187} On the other hand, if a phenomenon occurs frequently in the population, the relative advantage of case-control studies is essentially eliminated. If a defect occurs in one out of ten cases in the population, using the same assumptions as in the text, we would still need an N of 177 to detect a two-fold increase in relative risk 90% of the time in a case-control study. On the other hand, to have the same probability of detecting this effect in a cohort study we would need an N of only 266, not 31,433. \\textit{KAHN}, \\textit{supra} note 128, at 54.\n\n\\textsuperscript{188} The seven are: Jose Cordero et al., \\textit{Is Bendectin a Teratogen?}, 245 JAMA 2307 (1981); Diana Elbourne et al., \\textit{Debendox Revisited}, 92 BRIT. J. OBSTETRICS & GYNAECOLOGY 780 (1985); J.S. Vivian Golding & J.A. Baldwin, \\textit{Maternal Anti-nauseants and Clefts of Lip and Palate}, 1983 \\textit{HUMAN TOXICOLOGY} 63; Janet McCredie et al., \\textit{Doxylamine/dicyclomine/pyridoxine and Congenital Limb Defects}, 140 MED. J. AUSTL. 525 (1984); Allen Mitchell et al., \\textit{Birth Defects Related to Bendectin Use in Pregnancy: I. Oral Clefts and Cardiac Defects}, 245 JAMA 2311 (1981) [hereinafter Mitchell et al., \\textit{Bendectin I}]; Allen Mitchell et al., \\textit{Birth Defects in Relation to Bendectin Use in Pregnancy: II. Pyloric Stenosis}, 147 AM. J. OBSTETRICS & GYNECOLOGY 737 (1983) [hereinafter Mitchell et al., \\textit{Bendectin II}]; Sally Zierler & Kenneth Rothman, \\textit{Congenital Heart Disease in Relation to Maternal Use of Bendectin and Other Drugs in Early Pregnancy}, 313 NEW ENG. J. MED. 347 (1985).\n\nThe most recent case control study, David J. Erickson, \\textit{Risk Factors for Birth Defects: Data From the Atlanta Birth Defects Case-Control Study}, 43 TERATOLOGY 41, 43-44 (1991), does not report data for specific defects and, therefore, was not counted among the seven that report on specific defects. It should be noted, however, that the author of the study offers to send cross-tabulations reporting the relationship of Bendectin to 92 types of birth defects to anyone who requests the information. \\textit{Id}. at 41.\n\n\\textsuperscript{189} See Mitchell et al., \\textit{Bendectin I}, \\textit{supra} note 188; Zierler & Rothman, \\textit{supra} note 188.\n\n\\textsuperscript{190} This study, by Mitchell et al., failed to replicate the results of the study by Eskenazi et al., in which the authors found a significant correlation between Bendectin and pyloric stenosis. \\textit{See} Mitchell et al., \\textit{Bendectin II}, \\textit{supra} note 188, at 741 (comparing the two studies).\n\neffect of Bendectin use on oral clefts,\\textsuperscript{191} and two looked for limb defects.\\textsuperscript{192}\n\nThis trend toward focused case-control studies makes sense. Known teratogens tend to produce certain types of defects.\\textsuperscript{193} Thus, if Bendectin were a teratogen, it would be unlikely to produce a similar increase in all types of defects. Moreover, these focused studies also allowed for relatively powerful analyses. With case sample sizes ranging from the 90s to over 300\\textsuperscript{194} they were unlikely to miss an effect if exposure created a relative risk of 2 or greater.\\textsuperscript{195}\n\nIn sum, from the mid-1970s to the mid-1980s the quantity and quality of the epidemiological evidence on Bendectin improved dramatically. The research focused on the drug and used increasingly sophisticated methods to control for confounding factors. Specifically, it used a combination of increased sample size, a shift to case-control studies, and a focus on particular types of defects to greatly increase the power of the research. During this period, the probability of making either Type I or Type II errors was significantly reduced.\n\nd. The End of Research\n\nSuddenly, in 1985 with nearly three dozen studies in print, epidemiological research on Bendectin came to a virtual halt.\\textsuperscript{196} As noted earlier, \\textit{in vivo} research experienced a similar, contemporaneous decline.\\textsuperscript{197} Figure 1 shows the number of \\textit{in vivo} and epidemiological studies published each year from the early 1960s to the present.\n\n\\textsuperscript{191} See Cordero et al., \\textit{supra} note 188; Elbourne et al., \\textit{supra} note 188; Golding & Baldwin, \\textit{supra} note 188; Mitchell et al., \\textit{Bendectin I}, \\textit{supra} note 188.\n\n\\textsuperscript{192} See Cordero et al., \\textit{supra} note 188; McCredie et al., \\textit{supra} note 188.\n\n\\textsuperscript{193} Robert Brent, \\textit{Methods of Evaluating the Alleged Teratogenicity of Environmental Agents}, in \\textit{TREATGEN UPDATE: ENVIRONMENTALLY INDUCED BIRTH DEFECT RISKS} 199, 200-01 (John Sever & Robert Brent, eds. 1986); Shepard, \\textit{supra} note 119, at 223.\n\n\\textsuperscript{194} The number of cases—as distinguished from the number of controls—ranged from a low of 93 in Elbourne et al., \\textit{supra} note 188, at 780, to a high of 325 in Mitchell et al., \\textit{Bendectin I}, \\textit{supra} note 188, at 737. The number of controls was usually larger than the number of cases, sometimes substantially so. For example, there were over 3000 controls in the first study by Mitchell et al. \\textit{Id}.\n\n\\textsuperscript{195} The advantage case-control studies have in detecting rare effects is offset, however, by the fact that these studies must match cases and controls based on some criteria. Inevitably there is a question whether the matching failed to control for some confounding factor that explains observed differences between the groups.\n\n\\textsuperscript{196} As far as I know, there is only one post-1985 epidemiologic study (Erickson) specifically focused on Bendectin. That study includes Bendectin among 105 exposure-risk factor variables that have been thought to cause birth defects. Aggregating across all defects, the odds ratio associated with Bendectin is 0.87. Erickson, \\textit{supra} note 188, at 46.\n\n\\textsuperscript{197} See infra app. A, tbl. 1.\n\nThe figure illustrates two phenomena. First, and most important, it clearly shows that the science was driven by the law. The study of Bendectin became a hot topic and substantial resources were mobilized to study it. This mobilization can be understood at several levels. Because Bendectin was a hot topic, articles on the subject were relatively likely to find their way into print.\\textsuperscript{198} Careerist concerns may have caused academics to select topics that would lead to publication in prestigious journals. Moreover, the federal government, through the FDA, encouraged research by offering grants to fund the study of Bendectin's effects. Finally, the Bendectin litigation itself generated research, as parties encouraged and even funded work on Bendectin.\\textsuperscript{199} Legal needs gave shape and direction to the epidemiological study of teratogenic effects. The volume and sophistication of studies focusing specifically on Bendectin was, in large part, the result of the litigation.\n\n\\textsuperscript{198} See Sackett, \\textit{supra} note 131, at 51.\n\n\\textsuperscript{199} Plaintiffs' expert witnesses conducted a number of reanalyses of both the \\textit{in vivo} and epidemiological evidence. See, e.g., Trial Transcript at 965-86, \\textit{In re Richardson-Merrell, Inc. \"Bendectin\" Prods. Liab. Litig.}, 624 F. Supp. 1212 (S.D. Ohio 1985) (MDL No. 486) (testimony of Dr. Swann), \\textit{aff'd sub nom. In re Bendectin Litig.}, 857 F.2d 290 (6th Cir. 1988), \\textit{cert denied}, 488 U.S. 1006 (1989). It does not appear, however, that any of this work was ever published in a refereed journal.\n\nSecond, Figure 1 demonstrates the relatively sudden cessation of studies in the mid-1980s. Galanter's hypotheses about holistic effects can be extended to explain the decline of scientific investigations as well as case congregations. Because Bendectin was removed from the market in 1983, and because its sales had plummeted in the preceding year or two, there eventually were no new data bases to exploit. By withdrawing the product from the market Merrell created an epidemiological depletion effect as well as the intended case depletion effect.\n\nIt would be a mistake, however, to attribute the decline of Bendectin studies entirely to depletion effects. Two other factors were also at work. The scientific community seems to have reached something close to a consensus concerning the drug. While no study can remove all residual uncertainty regarding Bendectin's safety, if the drug is a teratogen, it is a relatively mild one (having effects too subtle to be measured reliably with existing techniques). As a result, many felt that Bendectin had been overstudied. There arose the desire to ration Bendectin studies and save limited resources to study other drugs. As Lewis Holmes notes in an influential essay:\n\nWhile we can always wish for more and better studies, two issues must be borne in mind. First, well-designed and extensive epidemiologic studies are expensive. Where will the funds to support these studies come from in this period of limited funding? Second, in view of the extensive data cited above on Bendectin and the limited data available on many other commonly used drugs one can argue that well-designed studies of other drugs would be of greater value to the public at this time.\\footnote{200}\n\n(4) \\textit{The Life Cycle of the Bendectin Science}\n\nThe preceding analysis of the research regarding Bendectin demonstrates that the science has followed a life cycle of its own. There was a substantial mobilization of resources devoted to the study of Bendectin, much of it apparently in response to the litigation and concomitant political pressure. The quantity and quality of epidemiological research increased dramatically in the 1980s, to the point where people like Holmes concluded that we knew more about the teratogenic potential of this drug.\n\n\\footnote{200}{Lewis B. Holmes, \\textit{Teratogen Update: Bendectin}, 27 \\textsc{Teratology} 277, 280-81 (1983). Holmes, however, cannot be called a completely disinterested observer. In January 1983 Merrell Research Center provided Dr. Holmes with a grant of $147,318 to fund proposed research on \"The Use of Major and Minor Malformations to Evaluate the Putative Teratogenic Effects of Bendectin.\" Letter from J.W. Newberne, Vice President, Drug Safety Assessment at Merrell Research Center, to Ronald W. Lamont-Havers, Deputy to the General Director for Research Policy and Administration, Massachusetts General Hospital (Jan. 27, 1983) (on file with the Houston Environmental Law Liability Program).}\n\nthan nearly any other. The extent of the epidemiological literature stands in contrast to the paucity of *in vivo* studies. In part, this may be understood as a consequence of the fact that there were few if any basic science questions to be answered through the study of Bendectin, and as a legal resource the *in vivo* studies were of increasingly little value in the face of a mounting body of epidemiological evidence. In a sense, epidemiology drove out animal studies.\n\nFinally, in the mid-1980s came the end of new epidemiological studies as well.\\footnote{201} The combination of depletion effects and an emerging scientific consensus that if Bendectin has any teratogenic effects they are virtually undetectable by existing methods together led to the cessation of research. The leading indicator, published scientific articles, had stabilized at an essentially prodefendant conclusion. But while the science was winding down, the law was just getting into full swing. It is to the development of the law in this congregation of cases that this Article now turns.\n\n\\section*{V. The Law}\n\nIn this Part, I focus upon the legal aspects of the Bendectin congregation. The first section examines the early stages of the life cycle, describing plaintiffs' efforts to mobilize resources and the problems the \"first plaintiff\" faces in a mass tort case. It also examines the defendant's efforts to avoid early adverse precedents that would facilitate other plaintiffs' efforts in future cases. Finally, it notes the importance of the battle in the early cases to establish the \"going rate\" for injuries.\n\nThe second section examines the flow of Bendectin filings and trials over time. As we shall see, the number of filings grew through 1985, but then collapsed in the aftermath of a defense victory in the \\textit{Common Issues Trial} in Ohio.\\footnote{202} The number of trials, however, continued to grow over the next two years, but then quickly began to diminish, and today most litigation seems to be behind us. A depletion effect has in fact occurred. As Galanter notes, however, depletion is not simply a product of the underlying rate of injury. It is also a product of the legal experience of a congregation of cases in court.\\footnote{203}\n\n\\begin{footnotesize}\n\\begin{enumerate}\n\\item Only one animal study and two epidemiological studies were published after 1985. \\textit{See infra} app. A, tbls. 1, 2.\n\\item \\textit{In re} Richardson-Merrell, Inc. \"Bendectin\" Prods. Liab. Litig., 624 F. Supp. 1212 (S.D. Ohio 1985), \\textit{aff'd sub nom. In re} Bendectin Litig., 857 F.2d 290 (6th Cir. 1988), \\textit{cert. denied}, 488 U.S. 1006 (1989).\n\\item Galanter, \\textit{Case Congregations}, \\textit{supra} note 8, at 388.\n\\end{enumerate}\n\\end{footnotesize}\n\nThe third section examines this experience. It turns away from the behavior of the parties and concentrates on the behavior of the judiciary. Of primary interest is the judiciary's efforts to ration legal resources. In the Bendectin Cases, the judiciary's efforts have followed a two-part process: first, the use of traditional consolidation devices; and second, the willingness to make and act upon independent determinations regarding the scientific evidence. As we shall see, in attempting to ration resources, the courts are confronted with a dilemma: how are they to maximize judicial efficiency without unduly subverting the interest of individual plaintiffs in a full and fair trial of their lawsuits? Before addressing this thorny problem, I turn to the early stages of Bendectin's legal life cycle.\n\nA. Mobilization\n\nWhen parties begin litigation concerning a new product, they start without scientific or legal resources. The first task is to begin to mobilize these resources. This difficult task falls disproportionately on the \"first plaintiff\" who must connect an injury with a product, find a lawyer who will represent her and then amass sufficient scientific evidence to prove the product causes the injury in question.\n\n(1) The \"First Plaintiff\" Problem\n\nDavid Mekdeci, like many plaintiffs to follow, was born with a limb defect; his consists of malformed and missing fingers and a missing pectoral muscle.\\(^{204}\\) From the beginning, David and his parents faced many aspects of the first plaintiff problem. No lawyer came knocking on the Mekdeci's door asking to take their case. Instead, David's mother, Elizabeth Mekdeci, made extensive efforts to discover possible causes of his defects. After several years of talking to medical experts and reading documents and government studies, she became convinced that one of the drugs she had taken during pregnancy had caused David's injury. Ultimately, she contacted Melvin Belli, a famous San Francisco plaintiff's personal injury lawyer, and persuaded him to take the case. He also referred the Mekdecis to Florida counsel. As the case developed, based on the time of ingestion and other evidence, the Mekdecis and their lawyers focused most of their attention on Bendectin.\\(^{205}\\) A complaint naming Merrell as defendant was filed on behalf of David and his parents in\n\n\\(^{204}\\) This defect is commonly called Poland's Syndrome although plaintiffs' experts have disagreed with this diagnosis.\n\n\\(^{205}\\) Mekdeci v. Merrell Nat'l Lab., 711 F.2d 1510, 1516 (11th Cir. 1983). Shortly before the trial began, Mr. Belli informed the other counsel that he would not personally appear, and left the local attorneys to try the lawsuit. *Id.* at 1516.\n\nJune 1977. In January 1980, approximately five years after David's birth, *Mekdeci v. Merrell Nat'l Lab.* went to trial in United States District Court in Orlando, Florida.\n\nThe trial lasted two months, and after three days of deliberation, the jury reported itself to be \"hopelessly deadlocked.\"206 After receiving further instructions from the court, it returned a verdict awarding the \"plaintiff\" $20,000, the amount the parties had stipulated to as the parent's medical expenses. The jury wrote \"nothing\" as the amount of compensatory damages due David individually.207 The plaintiffs sought a new trial on the damages question only, but the trial judge declared the jury's award to be a compromise verdict and ordered a new trial.208 The jury's uncertainty, reflected in the apparent compromise verdict, also reflects another aspect of the first plaintiff problem: the difficulty of amassing sufficient scientific evidence to prove the case.\n\nCompared to plaintiffs, defendants generally have a substantial early advantage. Their financial resources are much greater. They can hire counsel who are experienced in the defense of defective pharmaceuticals against personal injury claims and who are well connected to governmental agencies. They have ready access to nearly all the safety data concerning their product. All these advantages inured to Merrell's benefit in the *Mekdeci* case. The company committed unlimited resources to Bendectin's defense, hiring Lawrence E. Walsh and the firm of Davis Polk & Wardwell as defense counsel. Moreover, after its experiences with Thalidomide and MER/29, Merrell probably had as much experience as any firm in defending prescription drugs in court.\n\nNotwithstanding these advantages, defendants may be confronted with some first case problems similar to those of the first plaintiff. The defendant, too, must confront the relative lack of evidence and the considerable uncertainty that permeates such early litigation. The defendant's legal staff most likely is not yet organized to mount a defense of the particular product. And if the firm is insured, the case might be turned over to the insurer's counsel who may lack the familiarity with pharma-\n\n---\n\n206. *Id.* at 1515.\n207. *Id.* at 1514.\n208. The Eleventh Circuit Court of Appeals held that the trial court had not abused its discretion in ordering a new trial. *Id.* at 1515. Comments by jurors after the case seem to support this position. The London Times quoted two of the *Mekdeci* jurors as to their feelings about Judge Hoffman's new trial order. One juror, Grover Ashcraft, said \"I resent him (Hoffman) saying that we didn't know what we were doing. He's giving us a black eye.\" Davin Light, *US Judge Orders Debendox Retrial*, *THE SUNDAY TIMES* (London), May 18, 1980, at 8. But another juror, Cora Newtz, agreed with the order. She did not believe the evidence against Bendectin was sufficient: \"All my daughters took Bendectin all the time they were pregnant, and all their children are perfect.\" *Id.*\n\nceutical defense and ease of access to the safety data that the defendant presumably enjoys. In sum, like plaintiffs, defendants do not begin with any particular expertise in litigating the product's safety. Indeed, in the earliest stages of mass tort litigation, the defendants may not even appreciate that they have something out of the ordinary on their hands. The first suit is not necessarily like the teacher's first occasion for sanctioning a wayward student at the beginning of the school year. The parties may not know that this is the first of a large congregation of cases. Bendectin had been on the market for nearly twenty years when litigation began, and at the time of the *Mekdeci* suit it had been nearly a decade since the Thalidomide disaster. It might well not have been immediately obvious to Merrell, upon the initial filing of the *Mekdeci* case, that this was the first of a series of cases.\n\nIn the case of Bendectin, however, Merrell's appreciation that it faced a potential tidal wave of litigation must have come very early on. It recently had experienced the Thalidomide and MER/29 episodes and must have known it was a suspect firm in the eyes of many, especially the plaintiffs' personal injury bar. Perhaps the first clear signal that *Mekdeci* would be the first of many was the hiring of Melvin Belli. Mr. Belli's stock-in-trade is widespread publicity. Even before *Mekdeci* came to trial, he was searching out additional potential clients.\\(^{209}\\) By the time of the trial, the stakes were known to be high. Like the plaintiffs, however, the defendant was hampered by a relative lack of hard evidence on the teratogenicity of Bendectin.\n\nThe trial court's ruling that the first *Mekdeci* verdict was the result of compromise led to a new trial in the Winter of 1981. This time, the result was a jury verdict for the defendant. The plaintiffs appealed, claiming, in part, that they had been afforded inadequate representation by their counsel. The Mekdeci's attorneys had repeatedly attempted to withdraw, apparently for a combination of reasons, including their belief that the case was not strong on the facts, their lack of financial resources, and the difficulty of working with Mrs. Mekdeci.\\(^{210}\\)\n\nAs this history suggests, part of the Mekdecis' problem was that their counsel were poorly prepared and underfinanced. The local attorneys were relatively inexperienced in this type of litigation and knew little about Bendectin. The solution to the Medkecis' first plaintiff problems would have been to invest resources in discovery and experts in order to develop the case.\\(^{211}\\) But the Mekdecis' counsel were always\n\n\\(^{209}\\) See infra note 217.\n\n\\(^{210}\\) *Mekdeci*, 711 F.2d at 1516-19.\n\n\\(^{211}\\) Because of the inevitable costs of discovery and expert witnesses, substantial rebadly undercapitalized. Indeed, funds became so tight that much of the second trial was tried on the record of the first trial, without the benefit of live expert witnesses. Only a last minute infusion of $25,000 from Mr. Belli kept the second trial going.\\textsuperscript{212}\n\nThe Mekdecis repeatedly stated to the trial judge that in spite of these difficulties, they wanted the second trial to go forward with existing counsel. On appeal, however, they argued that the trial court had erred by refusing to grant requests for continuance. Nevertheless, the Fifth Circuit Court of Appeals affirmed the judgment below, leaving the Mekdecis with the cold comfort that if they felt they had been inadequately represented, their remedy was a malpractice suit against their attorneys, not a new Bendectin trial.\\textsuperscript{213}\n\nCounsels' desire to withdraw from the \\textit{Mekdeci} case was not motivated entirely by funding problems and the difficulty of working with Mrs. Mekdeci. They were also drawn by the prospect of \"better\" claims,\\textsuperscript{214} especially claims where the specific causation question\\textsuperscript{215}\n\n\\textsuperscript{212} \\textit{Mekdeci}, 711 F.2d at 1519. The inability of an initial set of plaintiffs' attorneys to fund mass tort litigation has occurred in other cases. In the Agent Orange litigation, the original team of plaintiffs' counsel ran out of funds, and after brief negotiations, a new set of lawyers took control of the plaintiff steering committee by investing $250,000 each in litigation expenses. In total, the second set of attorneys put up almost $1.5 million. John C. Coffee, Jr., \\textit{The Regulation of Entrepreneurial Litigation: Balancing Fairness and Efficiency in the Large Class Action}, 54 U. CHI. L. REV. 877, 901 (1987).\n\n\\textsuperscript{213} \\textit{Mekdeci}, 711 F.2d at 1523.\n\n\\textsuperscript{214} By looking for a \"better\" case than \\textit{Mekdeci}, the lawyers were behaving like \"repeat players,\" thinking of this particular case as only one of many. \\textit{See} Galanter, \\textit{Limits of Legal Change}, supra note 19, at 100. In hindsight, their judgment that this was not the best case to try first appears to have been correct.\n\n\\textsuperscript{215} The cause-in-fact question in many such mass tort situations can be divided into two parts, general and specific causation. General causation addresses the question of whether the substance is capable of causing any injury. Specific causation addresses the question of whether a particular plaintiff's injury was caused by exposure to the drug or product. A substantial number of Bendectin plaintiffs have lost on the specific causation issue because they have been unable to show that the mother took Bendectin during the critical period of fetal development.\n\nThere is, however, a more fundamental specific causation question in the Bendectin cases. If the relative risk of a Bendectin-induced birth defect is shown to be less than 2, then a plaintiff presenting no other causal evidence than the ingestion of Bendectin could be said to have failed to show by a preponderance of the evidence that Bendectin caused the specific birth defect. The specific causation problems posed by toxic tort and mass tort cases have produced a large literature on how the courts ought to deal with this question. \\textit{See} Richard Delgado, \\textit{Beyond Sindell: Relaxation of Cause-In-Fact Rules for Indeterminate Plaintiffs}, 70 CAL. L. REV. 881 (1982); Harris, \\textit{supra} note 138, at 909; Glen O. Robinson, \\textit{Probabilistic Causation}\n\nwould be less troublesome—apparently Mrs. Mekdeci had taken a large number of drugs during pregnancy.\\textsuperscript{216} The lawyers were also drawn to the prospect of more claims and the possibility that they could mobilize a large number of Bendectin cases.\\textsuperscript{217} In this vein, the appellate court in \\textit{Mekdeci} noted:\n\nIn a statement that perhaps shed more light than intended on the attorneys' motivations in the Mekdeci case, [plaintiff's attorney Allen] Eaton recounted numerous problems in the Mekdeci lawsuit and said, \"that being the case, we have a group of people—a group of attorneys who have agreed that, in order to start afresh and develop the issues\n\n\\textit{and Compensation for Tortious Risk}, 14 J. LEGAL STUD. 779 (1985); David Rosenberg, \\textit{The Causal Connection in Mass Exposure Cases: A 'Public Law' Vision of the Tort System},\" 97 HARV. L. REV. 849 (1984); Christopher H. Schroeder, \\textit{Corrective Justice and Liability for Increasing Risk}, 37 UCLA L. REV. 439 (1990); Kenneth W. Simons, \\textit{Corrective Justice and Liability for Risk-Creation: A Comment}, 38 UCLA L. REV. 113 (1990); Ernest J. Weinrib, \\textit{Causation and Wrongdoing}, 63 CHI.-KENT L. REV. 407 (1987). Because courts have usually found for Merrell on the general causation question, except for the \"time of ingestion\" cases, the specific cause issue is not well developed in these cases.\n\n216. Belli was quoted by the London \\textit{Sunday Times} as saying, \"Our client is too demanding and too hard to work with. Her's wasn't that good a case, and we want to get on with the 200 other Debendox cases we are preparing.\" Edward Burke, \\textit{The Brawl Over Bendectin}, NAT'L L.J., Apr. 6, 1981, at 1, 12.\n\n217. An advertisement placed in the \\textit{San Francisco Chronicle} by Melvin Belli in January and February 1980 reads:\n\n\\begin{center}\nBENDECTIN \\\\\nTAKEN \\\\\nFor Morning Sickness \\\\\nCausing Malformed Children \\\\\nWe have a number of these cases and we are trying one now in Federal Court, Florida. We need your help for epidemiological and statistical purposes. If you have any information, please call or write: \\\\\nMelvin M. Belli, Belli Building \\\\\nSan Francisco, CA. 94111 (415) 981-1849\n\\end{center}\n\n\\textit{Id.} at 1. The same article in the \\textit{National Law Journal} quotes Douglas Peters, a lawyer retained by Mrs. Mekdeci to represent her against her previous lawyers, as saying:\n\nHere you had a bunch of lawyers sensing a very big case and sitting down and dividing up the pie before there was any pie to divide. Then after trumpeting the case and gathering in excess of 100 other Bendectin cases, things began to go wrong and everybody scrambled to cut their losses.\n\n\\textit{Id.} at 12.\n\nThe rush to mobilize clients is a recurring feature of many mass tort cases. Similar efforts have been noted in the Agent Orange, Bhopal, Dalkon Shield, and asbestos litigation. \\textit{Coffee, supra} note 212, at 886. As Coffee notes, in each of these situations the normal relationship between client and attorney is reversed. The attorney is no longer the agent of the client. The mass tort plaintiff, even more than the ordinary tort plaintiff, confronts substantial \"agency costs\" that make it very difficult to control plaintiffs' counsel. \\textit{Id.} at 885; John C. Coffee, Jr., \\textit{Rethinking the Class Action: A Policy Primer on Reform}, 62 IND. L.J. 624, 628 (1980). As \\textit{Mekdeci} suggests, this problem is especially acute in the early stages of a mass tort when counsel have particularly strong incentives to behave opportunistically, pursuing their own agendas rather than that of the client.\n\nproperly, that the Koller case in our opinion represents perhaps the cleanest case of all the cases and the clearest one. We have a nurse here who ingested Bendectin, and only Bendectin. She ingested it during the critical period. And little Anne Koller has no arms and she has only a left leg which has a club foot on it. We figure this was a clear case in order to litigate the issues properly.\\textsuperscript{218}\n\nAs the preceding discussion indicates, when a potential mass tort arises, plaintiffs' lawyers quickly organize. Plaintiff litigation networks have played an increasingly important role in mass tort cases.\\textsuperscript{219} Rheingold notes there have been networks in the following areas: Swine Flu; Dalkon Shield; Agent Orange; MER/29; Birth Control Pills; Asbestos; DES; Ford Transmission; and of course, Bendectin.\\textsuperscript{220} Moreover, there is a substantial benefit to being a leader of the litigation network; an advantage that apparently was recognized by counsel for the Mekdecis.\\textsuperscript{221} As Rheingold notes, \"A mere 5% of the recovery in the thousands of cases filed, and to be filed, dance like sugar plums in the heads of lead counsel-to-be.\"\\textsuperscript{222} The Mekdeci case, then, was plagued not only by a lack of prior mobilization, but also by concurrent efforts to mobilize other cases.\n\nFollowing Mekdeci, the next case did not go to trial until three years later, in the spring of 1983.\\textsuperscript{223} Then there was a twenty-one month hiatus before the \\textit{Common Issues Trial}, about which I shall say more below. Over that period of time, lawyers representing plaintiffs made progress toward mobilizing resources and coordinating activities, driven in large part by the coordination of discovery imposed by the federal judiciary under the Multi-District Litigation Act.\\textsuperscript{224}\n\n\\textbf{(2) Merrell's Preventive Efforts}\n\nAfter Mekdeci, only one additional case came to trial on its own without being either swept into the unified multidistrict discovery in\n\n\\textsuperscript{218}. Mekdeci v. Merrell Nat'l Lab., 711 F.2d 1510, 1518 (11th Cir. 1983) (quoting Koller v. Richardson-Merrell, Inc., No. 80-1258 (D.D.C. Jan 25, 1983)). The Mekdecis' counsel asked the Mekdecis to agree to a continuance of their case so that \\textit{Koller} could go to trial first. The Mekdecis refused. Letter from Michael Green to Joseph Sanders (Jan. 5, 1991) (on file with author); Michael D. Green, Bendectin: A Case Study in Mass Toxic Substances Litigation 60 (Oct. 29, 1990) (unpublished manuscript, on file with author).\n\n\\textsuperscript{219}. See Rheingold, \\textit{The MER/29 Story}, supra note 62, at 123; see generally Paul D. Rheingold, \\textit{The Development of Litigation Groups}, 6 AM. J. TRIAL ADVOC. 1 (1982) [hereinafter Rheingold, \\textit{Litigation Groups}].\n\n\\textsuperscript{220}. Rheingold, \\textit{Litigation Groups}, supra note 219, at 14.\n\n\\textsuperscript{221}. See the court's comments in \\textit{Mekdeci}, 711 F.2d at 1516.\n\n\\textsuperscript{222}. Rheingold, \\textit{Litigation Groups}, supra note 219, at 3.\n\n\\textsuperscript{223}. Oxendine v. Merrell Dow Pharmaceuticals, 506 A.2d 1100 (D.C. App. 1986).\n\n\\textsuperscript{224}. 28 U.S.C.A. § 1407 (West Supp. 1991).\n\nOhio or delayed while the Ohio case proceeded. The one other case, *Oxendine v. Merrell Dow Pharmaceuticals*, went to trial in May 1983. The one month *Oxendine* trial resulted in a plaintiff's verdict for $750,000. The trial judge granted judgment n.o.v. (or judgment notwithstanding the verdict) in favor of Merrell, finding the verdict to be against the great weight of the evidence. The District of Columbia Court of Appeals reversed, saying this was an abuse of discretion, and reinstated the verdict. On remand, Merrell filed a motion for a new trial on the ground that one of the plaintiff's experts, Dr. Done, had testified falsely at trial. After an evidentiary hearing, the trial judge granted the motion in February 1988. In August 1989 the District of Columbia Court of Appeals again reversed, ruling that the trial judge erred in granting a new trial and reinstated the original verdict. Defendant's petition for a writ of certiorari was denied in 1990, presumably drawing the case to a close seven years after it was tried. Currently, *Oxendine*\n\n225. 506 A.2d 1100 (D.C. App. 1986).\n\n226. *Id.* at 113. As the comments of one of the Mekdecis' lawyers indicate, see supra text accompanying note 218, in the early years of litigation many plaintiffs' lawyers looked to *Koller* as the best test case, in part because, unlike *Mekdeci*, *Koller* presented no uncertainty as to whether some other drug taken during pregnancy could have caused the injury. But as previously noted, *Mekdeci* was tried first. And in the meantime, *Oxendine* arose quickly. It was filed and resolved within a matter of months. *Koller*, on the other hand, became completely bogged down after the trial judge removed plaintiff's counsel because of allegations (later retracted) by plaintiff's counsel's secretary that the plaintiff had lied in stating she had taken Bendectin, and because counsel had shared with the press several DERs the judge had ruled were inadmissible at trial. *Koller v. Richardson-Merrell Inc.*, 737 F.2d 1038 (D.C. Cir. 1984), vacated, 472 U.S. 424 (1985). Subsequent appeals of the actions took several years, ending in the United States Supreme Court. See id. By the time the issue was resolved, the Bendectin Cases had matured and *Koller* was but a footnote. For a description of these events see David Lauter, *Plaintiffs' Firm Removed From Bendectin Lawsuit*, NAT'L L.J., Jan. 24, 1984, at 4; David Lauter, *Bendectin Trial Disintegrates: Allegations of Misconduct Mar 'Perfect Case,'* NAT'L L.J., Feb. 21, 1983, at 1. In August 1990 the United States Court of Appeals for the District of Columbia affirmed a dismissal of the Kollers' case against Merrell. *Koller v. Richardson-Merrell, Inc.*, 5 Toxics L. Rep. (BNA) No. 16, at 528 (D.C. Cir. Sept. 19, 1990), *cert denied*, 111 S. Ct. 1391 (1991).\n\n227. *Oxendine*, 506 A.2d at 1114.\n\n228. The original trial judge had recused himself subsequent to the reversal of his judgment n.o.v. On remand, a new judge granted the motion for a new trial. *Oxendine v. Merrell Dow Pharmaceuticals*, 563 A.2d 330, 332 (D.C. 1989), *cert. denied*, 110 S. Ct. 1121 (1990).\n\n229. *Id.*\n\n230. As of midsummer 1991, however, the plaintiff had still not been able to collect on the judgment. The District of Columbia Court of Appeals recently held that the trial court may not enter an enforceable and appealable \"final judgment\" on the compensatory damages claim while the question of punitive damages still remains to be tried. *Merrell Dow Pharmaceuticals, Inc. v. Oxendine*, 593 A.2d 1023, 1023 (D.C. 1991).\n\nis one of only three verdicts against Merrell that has not been overturned by a trial or appellate court.\\textsuperscript{231}\n\nMerrell's relentless efforts to overturn the \\textit{Oxendine} verdict were driven in part by its desire to avoid an adverse judgment. But the efforts also reflect the fact that \\textit{Oxendine} does not stand alone, but rather as one of the Bendectin cases. The stakes in these appeals reach far beyond \\textit{Oxendine} itself. Merrell is a \"repeat player\" playing for rules and outcomes in future cases.\\textsuperscript{232} \\textit{Oxendine} blemishes a near-perfect record of defense outcomes. It singlehandedly serves as an incentive for plaintiffs to continue to litigate while acting as an important barrier to Merrell's efforts to obtain summary judgment, directed verdict, or judgment n.o.v. based on collateral estoppel-type arguments in future cases.\\textsuperscript{233} Even if\n\n\\textsuperscript{231} The second is Raynor v. Richardson Merrell, No. 83-3506, 1987 WL 8518, at *1 (D.D.C. Mar. 5, 1987). In \\textit{Raynor}, a jury returned a verdict of $300,000 against Merrell in May 1987. As of November 1991, Merrell's post-trial motions for judgment n.o.v. and a new trial were still pending before the trial judge. Letter from Glenn Forrester to Joseph Sanders (Oct. 19, 1990) (on file with author); Telephone Interview with Barry Nace, Plaintiffs' Attorney in \\textit{Raynor} (Dec. 9, 1991). Given the D.C. Circuit's opinions in \\textit{Richardson v. Richardson-Merrell, Inc.}, 857 F.2d 823 (D.C. Cir. 1988) (discussed infra notes 331-39), and Ealy v. Richardson-Merrell, Inc., 897 F.2d 1159 (D.C. Cir.), \\textit{cert. denied}, 111 S. Ct. 370 (1990), it is difficult to imagine that, absent new evidence as to the teratogenicity of Bendectin, the \\textit{Raynor} verdict can survive an appeal. (\\textit{Ealy} is discussed \\textit{infra} notes 343-45 and accompanying text.)\n\nThe third surviving plaintiffs' verdict is Havner v. Merrell Dow Pharmaceuticals, Inc. 41 Prod. Safety & Liab. Rep. (BNA) No. 19, at 1134 (D. Tex. Oct. 11, 1991). In September 1991 a jury in Corpus Christi, Texas returned a verdict for $3.75 million in compensatory and $30 million in punitive damages. Merrell has announced its intention to appeal. \\textit{Id}. As yet, there is no appellate opinion in the case. \\textit{Id}.\n\nIn addition to these three cases, there is a plaintiff's verdict in Blum v. Merrell Dow Pharmaceuticals, Inc., 560 A.2d 212 (1989), that was overturned by a middle level appellate court in Pennsylvania on the ground that the verdict was returned by an 11 person jury in violation of the Pennsylvania constitution. \\textit{Id}. The Pennsylvania Supreme Court has granted an appeal, 590 A.2d 755 (1991), but as yet, there is no opinion.\n\n\\textsuperscript{232} See Galanter, \\textit{supra} note 19, at 99-100.\n\n\\textsuperscript{233} Collateral estoppel (or issue preclusion) prevents a party from relitigating in a subsequent action one or more issues that have already been adjudicated. For collateral estoppel to apply, an issue practically identical to the issue in the current action must have been fully and fairly litigated in the original action, it must have been actually decided, and it must have been necessary to the outcome of the litigation. 5 \\textsc{Charles A. Wright \\& Arthur R. Miller}, \\textsc{Federal Practice \\& Procedure} § 1225 (2d ed. 1990). All of these criteria are typically met with respect to the general causation issue in the Bendectin cases.\n\nTraditionally, mutuality had to exist for collateral estoppel to apply; that is, both parties had to be bound by the prior decision. However, mutuality is no longer always necessary. In Parklane Hosiery Co. v. Shore, 439 U.S. 322 (1979), the Supreme Court gave qualified approval to offensive, nonmutual estoppel. \\textit{Id}. at 322. Offensive collateral estoppel is used by plaintiffs who attempt to prevent a defendant from denying liability. In at least two cases, \\textit{In re Bendectin Products Liab. Litig.}, 749 F.2d 300, 305 (6th Cir. 1984), and \\textit{Raynor v. Richardson-Merrell, Inc.}, 643 F. Supp. 238 (D.D.C. 1986), Bendectin plaintiffs have attempted to use offensive collateral estoppel (or summary judgment under a collateral estoppel-like analysis) based on \\textit{Oxendine}. In each case the court refused, noting in \\textit{Raynor} that using offensive\n\nmost cases are successfully defended, an occasional plaintiff success will encourage other suits. Even a high batting average may spell doom for the defendant. The General Counsel for one pharmaceutical company is quoted as saying:\n\nEven if we win almost every case against us, the few verdicts we lose engender more suits, and make all the other suits more expensive and more difficult to settle . . . . There has to come a point with a particular product, even a good product, where you say, that's enough, and you get out of the market.\\(^{234}\\)\n\nAs the quote suggests, because *Oxendine* offers some hope for future plaintiff victories, it also influences the settlement value of other cases.\\(^{235}\\) It is clearly in the interest of the defendant to suppress settlement value as much as possible. This is especially true in dealing with a congregation of cases. Evidence from the MER/29\\(^{236}\\) and asbestos cases\\(^{237}\\) suggests that as a congregation matures, the settlement value can steadily increase unless the defendant is uniformly successful. Rheingold reports that for a \"typical MER/29 case\" settlements rose from approximately $25,000 in the early period, to $75,000 in the mid-period, to $125,700 near the end.\\(^{238}\\) Adverse verdicts played an important role in this increase. Merrell won most of the early cases in 1964 and 1965, but plain-\n\ncollateral estoppel would be particularly unfair to the defendant when there were inconsistent jury verdicts outstanding. *Raynor*, 643 F. Supp. at 246.\n\nMerrell, of course, has tried to invoke defensive collateral estoppel in numerous cases. *Parklane*, however, says that collateral estoppel is inappropriate when there is \"a series of cases with inconsistent judgments.\" *Parklane*, 439 U.S. at 330. On the basis of this language, Judge Rubin rejected Merrell's invocation of collateral estoppel in the Michigan Consolidated Trial partly because of the *Oxendine* verdict. *In re Bendectin Products, No. 85-0996, 1986 WL 20466, at *3 (E.D. Mich. May 2, 1986).\n\nEven if *Oxendine* did not exist, Merrell's use of defensive collateral estoppel would still face formidable barriers, as most courts would probably conclude that the plaintiff had not been given a full and fair chance to litigate the issue. *See In re Bendectin Products Liab. Litig.*, 732 F. Supp. 744, 746 (E.D. Mich. 1990). Still, Merrell's chances of obtaining summary judgment based on arguments that echo collateral estoppel would be better were it not for *Oxendine*. *See Lynch v. Merrell-Nat'l Lab.*, 830 F.2d 1190, 1193 (1st Cir. 1987) (defendant not allowed to invoke defensive collateral estoppel where plaintiffs in multidistrict litigation had been allowed to withdraw without forfeiting any rights after discovery and before trial).\n\n\\(^{234}\\) Tamir Lewin, *Pharmaceutical Companies Are Hardest Hit*, N.Y. TIMES, Mar. 10, 1985, § 3, at 1, quoted in Galanter, *supra* note 8, at 381.\n\n\\(^{235}\\) The *Oxendine* verdict must have influenced Merrell's settlement offer in the consolidated multidistrict action in Ohio, discussed *infra* notes 255-300 and accompanying text.\n\n\\(^{236}\\) See Rheingold, *supra* note 62, at 137.\n\n\\(^{237}\\) See Paul Brodeur, *Outrageous Misconduct: The Asbestos Industry on Trial* 265 (1985).\n\n\\(^{238}\\) He defines a \"typical case\" as involving a man under 60 with no earnings loss, only slight medical expenses, and strong medical proof of cataracts and hair and skin change. Rheingold, *The MER/29 Story*, *supra* note 62, at 137.\n\ntiffs won several in 1966 and 1967.\\textsuperscript{239} It seems apparent that these victories increased the value of untried cases.\\textsuperscript{240}\n\nThere is a final reason Merrell continues to fight the \\textit{Oxendine} verdict. They may have come to believe, based on the outcome of more recent cases, that a new trial based on the evidence available at the beginning of the 1990s would result in a judgment for the defense. This circumstance reflects how \\textit{Oxendine}, like \\textit{Mekdeci}, presented Merrell with a “first case” problem. Inevitably, if mass tort cases are tried while science is still developing, early cases will be tried on different, less well developed facts than later ones. Nearly as inevitably, this will benefit one party or the other. In the Bendectin cases, the plaintiffs appear to have had the early advantage. By using every available means to obtain a new trial in \\textit{Oxendine}, the defendant has sought to erase this advantage.\n\n\\textsuperscript{239} As of 1967, 11 cases had gone to trial. \\textit{Id.} at 133. A Westlaw search in Spring 1990, using MER/29 as the search criterion, failed to discover any additional trials that resulted in appellate opinions. The most recent case for which there is an appellate opinion is Martinez-Ferrer v. Richardson-Merrell, Inc., 105 Cal. App. 3d 316, 164 Cal. Rptr. 591 (1980). Not surprisingly, the appeal concerned the statute of limitations. \\textit{Id.} at 318, 164 Cal. Rptr. at 591.\n\n\\textsuperscript{240} Punitive damages also played a role in the settlement value of the MER/29 cases. Because compensatory damages tended to be relatively small and because of Merrell’s failure to disclose information to the FDA, the litigation efforts were driven by the desire to obtain punitive damages. While the plaintiffs were awarded punitives in only three cases (all three of which were reduced or overturned on appeal), these awards drove up the settlement value of other cases. Rheingold, \\textit{The MER/29 Story}, \\textit{supra} note 62, at 138. Rheingold cites two other factors as having influenced the size of MER/29 settlements. First, the earliest cases that went to trial or were settled were those in rural areas and smaller states where the expected value of cases was lower. \\textit{Id.} at 132. Second, there were differences in the quality of plaintiffs’ counsel. Early in the litigation 33 attorneys representing MER/29 plaintiffs formed the MER/29 Group, whose purpose it was to disseminate information about ongoing litigation, to hire expert consultants and to conduct joint preparation of cases, primarily through a shared discovery effort. Eventually 288 attorneys and firms joined the Group. Among the packages of materials distributed by the Group were transcripts of previous trials, key documents that had been discovered from Merrell files, depositions, and a “trial package” with suggested examination questions and examples of motions and briefs used in earlier trials. \\textit{Id.} at 123-24. According to Rheingold, attorneys who were not members of the Group made worse settlements than attorneys who had the advantages of the Group’s resources. \\textit{Id.} at 138. It is worth noting that this effect carries over to the litigated cases; plaintiffs who lost earlier cases were disproportionately represented by attorneys who were not members of the MER/29 Group.\n\nThe MER/29 settlement experience supports McGovern’s “cyclical theory,” \\textit{see supra} note 42, at least in its early stages. Plaintiffs’ counsel slowly developed information and strategies that eventually allowed them to win most litigated cases. Coincidentally, this point was reached at approximately the same time that Merrell’s insurance was exhausted. This caused Merrell to take over its own defense and actively seek settlement of all pending cases. \\textit{Id.} at 140. The number of cases rather quickly declined as depletion effects, accelerated by the statute of limitations, exhausted the number of potential cases. As we shall see, the Bendectin cases had a different fate.\n\nB. The Caseload and Trial Load\n\n*Mekdeci* and *Oxendine* marked the beginning of over a decade of litigation concerning Bendectin. For a while, they appeared to be just the beginning. Filings rose dramatically in the early 1980s, but then collapsed. After the Common Issues Trial. Table 5\\(^{241}\\) presents the Bendectin-related case filings in state and federal courts from 1977 to 1988.\\(^{242}\\)\n\nBendectin trials have followed a pattern similar to case filings. Through December 1991 there had been approximately thirty trials, including two German cases, one Italian case, and several consolidated trials—by far the most important being the *Common Issues Trial* in the Southern District of Ohio which consolidated 818 cases, some involving multiple plaintiffs.\\(^{243}\\) All but a handful of the cases have been tried in the federal courts, most removed there by the defendant under diversity jurisdiction. Table 6\\(^{244}\\) reports on trials by year.\\(^{245}\\)\n\nThere were two trials in 1985, eight in 1986, and eleven in 1987; then the number of trials collapsed. While a few cases are still pending, the stock of active potential cases is disappearing, due, in part, to Merrell's aggressive efforts to bring litigation to a close.\\(^{246}\\)\n\n---\n\n\\(^{241}\\) Table 5 is found in Appendix A.\n\n\\(^{242}\\) GAO, \"LITIGATION EXPLOSION\" QUESTIONED, *supra* note 87, at 35. In the table, any case originally filed in state court, but removed to federal court is counted twice. Between 1977 and 1986 there were 261 such cases. If the double counting is eliminated, there were 1648 filings between 1977 and 1986. Merrell reports that as of mid-1989 there were a total of 1696 child plaintiff cases. *See supra* text accompanying note 86. Between 1974 and 1986 the Bendectin cases constituted approximately 1.7% of the total products liability filings in the federal courts. Marc Galanter, *The Life and Times of the Big Six: The Federal Courts Since the Good Old Days*, 1988 Wis. L. Rev. 921, 941 [hereinafter Galanter, *Life and Times of the Big Six*]. See TERRY DUNGWORTH, *PRODUCT LIABILITY AND THE BUSINESS SECTOR: LITIGATION TRENDS IN FEDERAL COURTS* 41 (1988). By way of comparison, the enormous Asbestos congregation comprised approximately 6.4% of all civil filings in federal courts in 1990. 19 Prod. Safety & Liab. Rep. (BNA) No. 11, at 287 (Mar. 15, 1991).\n\n\\(^{243}\\) The 30 trial figure includes a trial in Corpus Christi, Texas in September 1991 (Havner v. Merrell-Dow Pharmaceuticals, 41 Prod. Safety & Liab. Rep. (BNA) No. 19, at 1134 (D. Tex. Oct. 11, 1991)).\n\n\\(^{244}\\) Table 6 is found in Appendix A.\n\n\\(^{245}\\) The table reports every trial, including retrials of the same case, such as occurred in *Mekdeci*. Because some cases are counted twice, and because some trials are consolidated trials of a number of individual cases, the number does not accurately reflect the number of cases that have actually gone to trial.\n\n\\(^{246}\\) For instance, one of the most important recently-outstanding cases was a multi-plaintiff case in Michigan before Judge Rubin (who had presided over the Ohio *Common Issues Trial*). In October 1989 Merrell filed a motion for summary judgment on the causation question and also filed case-specific motions based on statute of limitations, lack of ingestion, or timing of ingestion defenses in approximately 20 cases. Merrell also moved for discovery sanctions because over half the plaintiffs had failed to respond to discovery requests. While many of these motions were granted, Judge Rubin denied Merrell's motion for a summary judgment\n\nThe key events in Bendectin's trial history are not difficult to spot. The partial success in *Mekdeci* and the plaintiff's verdict in *Oxendine* were followed by a dramatic rise in filings over the next several years. Due to the common discovery procedures discussed below, however, there were no further trials until 1985. The next trial after *Oxendine*, the *Common Issues Trial* in Winter 1985 in the Southern District of Ohio, was the single most important trial in the Bendectin litigation. The case ultimately involved over 800 plaintiffs, and resulted in a defense verdict on the question of whether Bendectin was a teratogen. As a consequence of this verdict, new filings collapsed. However, the number of trials, functioning as a lagging indicator of events, continued to rise for two years before trials also began to decline in frequency. The relationship of filings and trials through the 1980s is presented in Figure 2.\n\n**Figure 2**\n\n*Total Filings and Trials, by Year*\n\n![Graph showing total filings and trials by year]\n\nIn January 1990, Merrell moved for reconsideration of the motion and a hearing was held in March 1990. At that time, Judge Rubin proposed a mini-trial to ascertain whether the testimony proffered by plaintiffs in opposition to the summary judgment motion would be admissible. Transcript of Proceedings at 22-23, *In Re* Bendectin Litig., No. 85-0996, 1986 WL 20465 (E.D. Mich. May 2, 1986) (Hearing on Motion). One possible interpretation of the judge's statements at the hearing is that he was likely to hold the animal studies inadmissible. *See id.* at 3. Within a few weeks of the hearing the remaining plaintiffs agreed to dismiss their cases without prejudice. They have three years to refile. Letter from W. Glenn Forrester, attorney for Marion Merrell Dow, Inc., to Joseph Sanders (Oct. 18, 1990) (on file with author).\n\nThe full extent to which trials can be viewed as lagging indicators in the Bendectin cases is further demonstrated in Figure 3. It presents the number of *in vivo* and epidemiological studies published and the number of trials begun in different time periods from 1962 to 1991. For the period covered in this figure, 94% (47/50) of all *in vivo* and epidemiological studies were published before 80% (24/30) of the trials had begun.\n\n**Figure 3**\n\n*Bendectin Scientific Articles and Trials, by Years*\n\nImportantly, in the Bendectin Cases the declining number of filings and trials has not been primarily a result of the exhaustion of potential claims. A number of leading plaintiffs’ attorneys, including Barry Nace and Thomas Bleakley, took their cases out of the *Common Issues Trial* and were prepared to proceed separately.\\(^{247}\\) In addition, there are many potential plaintiffs who have not entered the fray. Estimates made at the time of the *Common Issues Trial* were that the total number of Bendectin\n\n\\(^{247}\\) In fact, most of the subsequent Bendectin litigation involved these cases. For these cases, the impact of the outcome in the *Common Issues Trial* was indirect. As I shall discuss below, the defense verdict in the *Common Issues Trial* was an important factor in the judicial willingness to direct verdicts and enter judgment n.o.v. in later cases. *See infra* text accompanying note 309-10.\n\nfilings ultimately would be in the 15,000 range. These estimates were based on relatively conservative estimates as to what percentage of potential plaintiffs (children with birth defects whose mothers had taken Bendectin during a critical period of their pregnancy) would in fact raise claims.\\textsuperscript{248} The fact that far fewer cases have been filed is a consequence of the lack of plaintiff success in the cases that have been tried. Fundamentally, the process has been one of judicial rationing of access to the courts, beginning with the discovery and trial in Ohio.\n\nC. Rationing Law\n\nIn the Bendectin Cases, the rationing process has occurred in two stages: first, through the use of traditional procedural techniques to conserve judicial resources; second, through increasingly aggressive judicial management of cases. In the following sections, I discuss these strategies in turn.\n\n(1) Procedural Rationing\n\nFaced with the stunning volume of cases presented by mass torts and the time it would take to try each case separately, commentators have suggested various ways to expedite proceedings through the increased use of mass discovery and mass trials.\\textsuperscript{249} Several devices, including the Multi-District Litigation Act,\\textsuperscript{250} class actions under Rule 23 of the Federal Rules of Civil Procedure (\"Rule 23\"),\\textsuperscript{251} and consolidation of cases for trial under Rule 42 of the Federal Rules of Civil Procedure (\"Rule 42\") have been used in the Bendectin Cases. All of these propos-\n\n\\textsuperscript{248} Report of the Guardian Ad Litem at 6, \\textit{In re \"Bendectin\" prods. Liab. Litig.}, 102 F.R.D. 239 (S.D. Ohio 1984).\n\n\\textsuperscript{249} See Linda S. Mullenix, \\textit{Class Resolution of the Mass-Tort Case: A Proposed Federal Procedure Act}, 64 TEX. L. REV. 1039 (1986); David Rosenberg, \\textit{Class Actions for Mass Torts: Doing Individual Justice by Collective Means}, 62 IND. L.J. 561 (1987); Rosenberg, \\textit{supra} note 215, at 849; Thomas D. Rowe, Jr. & Kenneth D. Sibley, \\textit{Beyond Diversity: Federal Multiparty, Multiforum Jurisdiction}, 135 U. PA. L. REV. 7 (1986); Georgene M. Vairo, \\textit{Multi-Tort Cases: Cause for More Darkness on the Subject, or a New Role for Federal Common Law?}, 54 FORDHAM L. REV. 167 (1985); but see Roger Transgrud, \\textit{Mass Trials in Mass Tort Cases: A Dissent}, 1989 U. ILL. L. REV. 69 [hereinafter Transgrud, \\textit{Mass Trials}].\n\n\\textsuperscript{250} 28 U.S.C. § 1407 (1976); see David F. Herr, \\textit{Multidistrict Litigation: Handling Cases Before the Judicial Panel on Multidistrict Litigation} (1979). For an analysis of the statute's impact on plaintiffs and defendants see Susan Olson, \\textit{Federal Multidistrict Litigation: Its Impact on Litigants}, 13 JUST. SYS. J. 341 (1988-89). In 1989 the MDL Panel reported that since its inception in 1968 it had centralized 17,093 civil actions for pre-trial proceedings. \\textit{ANNUAL REPORT OF THE DIRECTOR OF THE ADMIN. OFFICE OF THE U.S. COURTS, REPORTS OF THE PROCEEDINGS OF THE JUDICIAL CONFERENCE OF THE UNITED STATES} 6-7 (1989).\n\n\\textsuperscript{251} See Mullenix, \\textit{supra} note 249, at 1045-46.\n\nals and devices are justified by their proponents on the basis of the inefficiency and costs involved in single plaintiff litigation.\\textsuperscript{252} Whether or not there in fact are large savings to be gained by using these devices is, to some extent, an open question.\\textsuperscript{253} What is clear is that these devices can save a substantial amount of judicial time, and that judges will explore various procedural devices that allow them to avoid spending months and even years litigating a group of mass tort cases one at a time.\\textsuperscript{254} For example, Judge Rubin, the trial judge in the \\textit{Common Issues Trial}, calculated that the trial of all 1100 then existing Bendectin cases would take 182 judge years.\\textsuperscript{255} Trying even 5% of the cases would consume over nine judge years. It is not surprising, therefore, that the judiciary, especially at the trial court level, searches for ways to ration judicial resources. The Bendectin Cases reflect this phenomenon.\n\nBecause the \\textit{Common Issues Trial} so aptly demonstrates coordination and rationing in mass torts, it is worth discussing in some depth. The trial was the direct result of the consolidation of cases under Rule 42 and the transfer of cases to Ohio under the Multi-District Litigation Act (\"Act\" or \"MDL statute\").\n\nThe Act is a fundamental tool in the federal judiciary's efforts to force coordination on parties. As a byproduct, it facilitates the mobilization of plaintiffs' groups. The MDL statute was enacted in 1968. It calls for the creation of a seven member Judicial Panel on Multi-District Litigation (\"Panel\"). The members are United States District Court or\n\n\\textsuperscript{252}. It has been said that mass tort cases lead to an exponential growth in transaction costs as the number of parties increases. Richard Epstein, \\textit{The Legal and Insurance Dynamics of Mass Tort Litigation}, 13 J. LEGAL STUD. 475, 477 (1984). Whether this is in fact true for all mass torts is debatable. It is distinct from the question whether savings can be realized by consolidating individual cases into larger groupings by way of common discovery or class actions.\n\n\\textsuperscript{253}. For an argument that the savings are not always as large as advertised, see Trangsrud, \\textit{Mass Trials}, supra note 249, at 79. For an effort to set forth a method for assessing the effects of mass procedures, see Mark A. Peterson & Molly Selvin, \\textit{Resolution of Mass Torts: Toward a Framework for Evaluation of Aggregative Procedures} (1988).\n\n\\textsuperscript{254}. Judge Parker's efforts in the Eastern District of Texas to use collateral estoppel and class actions to manage the very large asbestos caseload in that district serve as an example. See Jenkins v. Raymark Indus., 782 F.2d 468, 469 (5th Cir. 1986) (class action); Hardy v. Johns-Manville Sales Corp., 681 F.2d 334, 338 (5th Cir. 1982) (collateral estoppel). For a discussion by a commentator who has been intimately involved with managing mass tort cases, see McGovern, \\textit{supra} note 20, at 442.\n\n\\textsuperscript{255}. \\textit{In re Richardson-Merrell, Inc. \"Bendectin\" Prods. Litig.}, 624 F. Supp. 1212, 1221 n.6. (S.D. Ohio 1985). Judge Rubin's calculation was based on his estimate that the average trial would take 38 days. This figure in turn was based on the average time it had taken to try the four cases (other than the \\textit{Common Issues Trial}) that had been tried at the time Rubin wrote his opinion. \\textit{Id.} at 1221 n.5.\n\nCourt of Appeals judges, no two from the same district. The Panel maintains a permanent staff in Washington and meets monthly. It monitors district court cases that appear to be likely candidates for consolidation. Claims may be consolidated by motion of the Panel itself or by approved motion of a party to a claim. The Panel may issue a consolidation order over the objections of all parties.\\textsuperscript{256} For the Panel to take action, four of the seven members must concur. Civil actions may be consolidated when: (1) they involve one or more common questions of fact, (2) they are pending in different districts, (3) the transfer will be for the convenience of parties and witnesses, and (4) the transfer promotes the just and efficient conduct of the actions.\\textsuperscript{257} Factors to be considered in determining whether consolidation would promote just and efficient conduct of the actions include whether it will prevent duplication of discovery and pretrial conferences and whether it will economize judicial efforts.\\textsuperscript{258}\n\nAs of July 1984, the Panel had used the MDL statute to transfer seventy-eight air disaster cases and seventeen other mass disaster cases.\\textsuperscript{259} It had also transferred nine mass product defect cases, including those involving Bendectin.\\textsuperscript{260} The Act, on its face, provides for the consolidation of \\textit{pre}trial proceedings only. At the end of these proceedings cases \"shall be remanded by the panel . . . to the district from which [they] were transferred\" for trial.\\textsuperscript{261} Notwithstanding this language, both courts and commentators have asserted that transferee courts may conduct a common trial in cases consolidated under the Act.\\textsuperscript{262}\n\nEven as \\textit{Mekdeci} was being tried, the landslide of lawsuits was beginning. In early 1982 the Panel began to assign cases to the Southern District of Ohio. It selected Judge Carl A. Rubin to conduct the consolidated pretrial discovery.\\textsuperscript{263} In May, a central component of the coordi-\n\n\\textsuperscript{256}. \\textit{In re Asbestos & Asbestos Insulation Materials Prods. Liab. Litig.}, 431 F. Supp. 906, 910 (J.P.M.L. 1977).\n\n\\textsuperscript{257}. 28 U.S.C. § 1407(a) (1991).\n\n\\textsuperscript{258}. See Wilson W. Herndon & Ernest R. Higginbotham, \\textit{Complex Multidistrict Litigation—An Overview of 28 U.S.C. Sec. 1407}, 31 \\textit{Baylor L. Rev.} 33, 41, 45 (1979); Transrud, \\textit{Joinder Alternatives}, supra note 22, at 803; Note, \\textit{The Judicial Panel and the Conduct of Multidistrict Litigation}, 87 \\textit{Harv. L. Rev.} 1001 (1974).\n\n\\textsuperscript{259}. Transrud, \\textit{Joinder Alternatives}, supra note 22, at 803-04 nn.138-39.\n\n\\textsuperscript{260}. \\textit{Id.} at 803-04 n.139. Other products involved in transfer orders include an aortic heart valve, multipiece rims, an antibiotic called Cleocin, the Swine Flu vaccine, the Dalkon Shield, plastic insulation, and helicopter engines. \\textit{Id.}\n\n\\textsuperscript{261}. 28 U.S.C. § 1407(a) (1991).\n\n\\textsuperscript{262}. Transrud, \\textit{Joinder Alternatives}, supra note 22, at 803-04 n.139; Richard A. Chesley & Kathleen Woods Kolodgy, Note, \\textit{Mass Exposure Torts: An Efficient Solution to a Complex Problem}, 54 \\textit{U. Cin. L. Rev.} 467, 523-26 (1985).\n\n\\textsuperscript{263}. \\textit{In re Richardson-Merrell, Inc. \"Bendectin\" Prods. Liab. Litig.}, 533 F. Supp. 489, 490 (J.P.M.L. 1982).\n\nnation objective was realized with the appointment by Judge Rubin of five attorneys who would act as lead counsel and coordinate plaintiffs' discovery efforts.\\textsuperscript{264}\n\nWithin the context of the Act, another word for coordination is centralization. In ordinary tort litigation, unaffected by multidistrict consolidation, the very fact that lawsuits are scattered throughout the land is simultaneously one of the main weaknesses and strengths of private litigation. It is a weakness because coordination is difficult, and because some plaintiffs will not have the resources to pursue their claims.\\textsuperscript{265} On the other hand, this diversity is a strength. If it spreads plaintiffs thin, it does the same to the defendants, who must fight on many fronts. Moreover, it spreads the risk. Prosecuting 800 single plaintiff cases instead of one 800 plaintiff case is a type of insurance for plaintiffs as a group. One large case places all of the plaintiffs' eggs in one basket.\\textsuperscript{266}\n\nIn November 1983 Judge Rubin took a large step toward centralization. Proceeding under Rule 42, the judge consolidated all cases that had been filed in Ohio for a common issues trial. Rule 42 is a particularly potent weapon for forcing consolidation because plaintiffs do not have a right to opt out of a common trial as they do under the MDL statute.\\textsuperscript{267} Judge Rubin set a date of March 1, 1985 for all those who did not bring their action in Ohio to choose whether to opt in or opt out of the \\textit{Common Issues Trial}.\\textsuperscript{268} And on June 11, 1984 a jury was empaneled.\\textsuperscript{269}\n\n\\textsuperscript{264}. See \\textit{In re Richardson-Merrell, Inc. \"Bendectin\" Prods. Liab. Litig.}, 624 F. Supp. 1212, 1216 (S.D. Ohio 1985), aff'd sub nom. \\textit{In re Bendectin Litig.}, 857 F.2d 290, 295 (6th Cir. 1988), cert. denied, 488 U.S. 1006 (1989).\n\n\\textsuperscript{265}. The contingent fee can relieve the individual plaintiff of the burden of direct litigation expenses, but the system will operate only when the expected value of a case warrants the costs that must be incurred in pursuing it. For the plaintiff with a less serious injury, such as a minor cleft, it may be impossible to find an attorney willing to pursue the claim if that plaintiff alone has to bear the entire cost of developing the case. Consolidation of discovery proceedings under the Act makes it possible for many plaintiffs to pursue claims that they otherwise could not afford.\n\n\\textsuperscript{266}. In August 1982 Judge Rubin removed the foreign eggs. He ruled that claims by British plaintiffs were barred under the doctrine of forum non conveniens. \\textit{In re Richardson-Merrell, Inc.}, 545 F. Supp. 1130, 1133-36 (S.D. Ohio 1982) (where United Kingdom was alternative forum and prospect of numerous additional actions on behalf of foreign plaintiffs was likely absent dismissal, action was dismissed on forum non-conveniens ground). British plaintiffs had survived an earlier motion by defendant to dismiss on forum non conveniens grounds. \\textit{See Alexander v. Richardson-Merrell Inc.}, 541 F. Supp. 93, 98-99 (S.D.N.Y. 1982). Now, however, no foreign national would be able to pursue a Bendectin case in Federal court.\n\n\\textsuperscript{267}. FED. R. CIV. P. 42(b). \\textit{See Transsrud, Mass Trials}, supra note 249, at 72.\n\n\\textsuperscript{268}. \\textit{See In re Richardson-Merrell, Inc. \"Bendectin\" Prods. Liab. Litig.}, 624 F. Supp. 1212, 1216 (S.D. Ohio 1985).\n\n\\textsuperscript{269}. \\textit{Id.}\n\nOne week later, however, with an eye toward settlement, Judge Rubin issued an order certifying the plaintiffs as a class under Rule 23.\\textsuperscript{270} Merrell made a settlement offer of $120 million and the jury was dismissed.\\textsuperscript{271} Taking into consideration potential future suits, Judge Rubin divided the settlement class into two subclasses, those who had already filed suit by June 18, 1984 and those who had not.\\textsuperscript{272} The class was a “non-opt-out” class. No individual plaintiff would be permitted to opt out and continue private settlement negotiations or proceed to trial.\\textsuperscript{273} Every injured child and parent of a stillborn child exposed to Bendectin would be bound by the settlement agreement.\\textsuperscript{274}\n\nJudge Rubin’s action did not meet with universal acceptance. Many attorneys, including two members of the five-person lead counsel committee, opposed the settlement and therefore objected to the formation of the class.\\textsuperscript{275} After failing to obtain a reversal of the class certification order on direct appeal,\\textsuperscript{276} they sought a writ of mandamus from the Sixth Circuit to vacate the order establishing the class. The court recognized that mandamus is an extreme remedy, but nevertheless granted the writ.\\textsuperscript{277} This ended any hope of settlement.\n\n\\textsuperscript{270} In re “Bendectin” Prods. Liab. Litig., 102 F.R.D. 239, 242 (S.D. Ohio 1984). Rubin found that the class met the four criteria of commonality, typicality, numerosity, and adequacy of representation required by Rule 23. \\textit{Id.} at 241. For the argument that Rule 23 should be used this way in mass tort cases, see Note, \\textit{Class Certification in Mass Accident Cases under Rule 23(b)(I)}, 96 HARV. L. REV. 1143 (1983).\n\n\\textsuperscript{271} In re Bendectin Prods. Liab. Litig., 749 F.2d 300, 306 (6th Cir. 1984). At the time of the settlement offer, pending before Judge Rubin were 253 cases filed in the Southern District of Ohio and 315 transferred by the Panel (in addition roughly 149 actions were pending in state courts). \\textit{Id.} Had the settlement been consummated and distributed pro rata among the existing plaintiffs under Rubin’s jurisdiction, the per case settlement would have been slightly in excess of $200,000.\n\n\\textsuperscript{272} In re “Bendectin” Prods. Liab. Litig., 102 F.R.D. at 242.\n\n\\textsuperscript{273} In re Bendectin Prods. Liab. Litig., 749 F.2d at 302. In addition, the certification order purported to stay all state court discovery proceedings. \\textit{Id.} at 304.\n\n\\textsuperscript{274} These extreme measures reflect the frustration judges feel in trying to work out a settlement in mass tort cases. Some have argued that Judge Weinstein’s summary judgment for defendants in the Agent Orange opt-out opinion reflects similar frustration and was motivated in substantial part by his desire to protect the perceived reasonableness of the settlement agreement between the defendants and the plaintiffs who did not opt out of the class action. See Green, supra note 94, at 65.\n\n\\textsuperscript{275} See Bendectin Pact Creating Furor, NAT’L L.J., July 30, 1984, at 1, 31-33.\n\n\\textsuperscript{276} See Schreier v. Merrell Dow Pharmaceuticals, 745 F.2d 58 (6th Cir. 1984).\n\n\\textsuperscript{277} In re “Bendectin” Products Liab. Litig., 749 F.2d at 303, 307. The court found that Judge Rubin had failed to establish any grounds for certification under either Rule 23(b)(1)(A) (requiring a showing that separate actions would create a risk of inconsistent or varying adjudications) or Rule 23(b)(1)(B) (requiring a showing that there is a risk that a limited fund may exist from which judgments can be satisfied). \\textit{Id.} at 305-06.\n\nActions taken in the early years of a mass tort have the secondary consequence of encouraging or discouraging the filing of new cases. With a product such as Bendectin, for which over thirty million prescriptions had been filled world-wide, it is extraordinarily difficult to estimate the number of potential cases.\\textsuperscript{278} Indeed, in the \\textit{Common Issues Trial}, Judge Rubin solicited the assistance of several experts in order to obtain a reasonable estimate of the number of cases he could ultimately anticipate. The experts found it difficult to make a firm estimate, in part because there was no effective statute of limitations bar to future suits.\\textsuperscript{279} The experts' best guess was that future filings would be in the range of 5700 to 16,800 claims.\\textsuperscript{280} Thus, a settlement with only the existing plaintiffs seemed particularly risky for Merrell. In the asbestos, Dalkon Shield, and DES cases, initial settlements and jury verdicts set the going\n\n\\textsuperscript{278}. Attempts to estimate the number of potential plaintiffs who would meet the two criteria of a birth defect and a mother who ingested Bendectin during pregnancy have produced very large numbers. Judge Rubin noted in the \\textit{Common Issues} opinion that if 30 million pregnant women had taken the drug and the birth defect rate is between 2% and 5% of all births, then by chance (i.e., by causes other than Bendectin), there would be between 600,000 and 1,500,000 potential claimants. \\textit{In re Richardson-Merrell, Inc. \"Bendectin\" Prods. Liab. Litig.}, 624 F. Supp. 1212, 1229 (S.D. Ohio 1985).\n\n\\textsuperscript{279}. For a discussion of why this is so, see \\textit{supra} notes 88-89 and accompanying text.\n\n\\textsuperscript{280}. The experts estimated that there were between 115,000 and 168,000 potential claimants and that 5% to 10% would actually raise claims, creating a range of 5750 to 16,800. \\textit{See Transcript of Proceedings}, at 88-90 (Oct. 31, 1984). \\textit{In re Richardson-Merrell, Inc. \"Bendectin\" Prods. Liab. Litig.}, 624 F. Supp. 1212 (S.D. Ohio 1985) (MDL No. 486). Among the factors involved in a calculation are estimates of the number of injuries and estimates of the number of injured people who will advance claims. The percentage advancing claims is influenced by public knowledge that there is a potential claim, which in turn is influenced by the steps courts and others take in advertising the right to claim.\n\nIn the Dalkon Shield case, for instance, the bankruptcy court made significant efforts to publicize the right to claim. A survey of almost 1000 individuals conducted in 1984 asked whether they had heard of a variety of products (including the Dalkon Shield, Bendectin, asbestos, DES, and super-absorbency tampons), and if so whether they thought the product was hazardous to health. Of those surveyed, 80% thought asbestos was hazardous; 43% thought the Dalkon Shield was. Only 10% or so thought Bendectin was a health hazard, approximately 10% thought it was not a hazard, and 80% either had never heard of Bendectin or did not know if it was hazardous. Herbert M. Kritzer, \\textit{Public Notification Campaigns in Mass Litigation: The Dalkon Shield Case}, 13 JUST. SYS. J. 220, 231 (1988-89). Clearly, in 1984 public awareness of Bendectin was relatively low.\n\nAfter the \\textit{Common Issues Trial}, plaintiffs' lead counsel requested reimbursement for out-of-pocket discovery expenses, which tallied $750,000. Judge Rubin charged two thirds of the costs to the Southern District cases, but also had to set a price for counsel in future cases who might wish to acquire the materials. He set a fee of $600, by estimating that there would be 400 future cases where counsel would use the materials. To date, however, there have not been nearly that many cases, presumably in part because the outcome of the \\textit{Common Issues Trial} had a chilling effect on future litigation. \\textit{See infra} app. A., tbl. 5. Had the outcome been different, there is reason to suspect the expert's estimates would, if anything, have been too low and the number of claims would have run in the thousands, if not tens of thousands.\n\nrate for later cases. It usually does not avail the defendant to argue that it never would have offered so much in earlier cases had it known there would be so many later ones. Nor are existing plaintiffs in any position to offer reliable indemnity against future claims or even unsettled existing claims.\\textsuperscript{281} By forming a non-opt-out class, and establishing a subclass of future suits, for whom some percentage of the $120 million settlement offer would be earmarked, Judge Rubin's proposed settlement insured Merrell against the risk that by settling, it would encourage even more new plaintiffs, who would tend to begin negotiations from the basis of the earlier settlement.\\textsuperscript{282}\n\nThe Sixth Circuit's issuance of the writ of mandamus reflects the constant tension that exists in mass tort cases between the desire to provide individualized justice and the desire to reach for aggregate resolutions. Apparently, the Sixth Circuit felt that this settlement plan leaned too far in favor of efficient, aggregate solutions. The consequence of the Sixth Circuit's decision was that Judge Rubin resumed preparations for a common issues trial on the question of general causation. A second jury was empaneled in February 1985,\\textsuperscript{283} and a new opt-in deadline was set.\\textsuperscript{284} A total of 818 cases were consolidated: 557 cases originally filed in the Southern District of Ohio, and 261 opt-in cases.\\textsuperscript{285} Judge Rubin took the unusual step of trifurcating the case. First, he would try the issue of general causation: does Bendectin cause any defects? He then would try liability issues and, finally, damages issues.\\textsuperscript{286} This strategy\n\n\\begin{itemize}\n \\item \\textsuperscript{281} Transgrud, \\textit{Joinder Alternatives}, supra note 22, at 835.\n \\item \\textsuperscript{282} Frank Woodside III, chief defense counsel in the \\textit{Common Issues} case noted:\n One thing that we have attempted to obtain in settling the cases the way we have settled them is to achieve a degree of finality so that the litigation does not pend for 20 years. Because you involve children, you have litigation that can go on for a long time because you really don't have a statute of limitations.\n\n \\textit{Bendectin Pact Creating Furor}, supra note 275, at 31.\n \\item \\textsuperscript{283} \\textit{In re Richardson-Merrell, Inc. \"Bendectin\" Prods. Liab. Litig.}, 624 F. Supp. 1212, 1217 (S.D. Ohio 1985).\n \\item \\textsuperscript{284} \\textit{In re Richardson-Merrell, Inc.}, 582 F. Supp. 890, 891 (J.P.M.L. 1984).\n \\item \\textsuperscript{285} \\textit{In re Richardson-Merrell, Inc. \"Bendectin\" Prods. Liab. Litig.}, 624 F. Supp. at 1216 n.1. Judge Rubin reports in his later opinion, upholding the jury verdict in this case, that there were an additional 368 cases assigned by the panel that did not opt in or were otherwise disposed of. In total, then, he had jurisdiction over 1186 cases. \\textit{Id.}\n \\item \\textsuperscript{286} The exact nature of the trifurcation and the forum in which each issue would be tried was not clear when the trial began. Apparently the parties never fully considered how to resolve the difficult question of specific causation that might arise if the jury were to find a significant correlation between Bendectin and some birth defect, but a relative risk of injury less than two. In this situation, based on the bare statistical evidence, no plaintiff would be able to show by a preponderance of the evidence that his or her defect had been caused by Bendectin. \\textit{See supra} note 215.\n\n In the event that the jury was to find for the plaintiffs on the causal and liability questions,\n\\end{itemize}\n\nhad the potential for greatly streamlining the case, for if the defendants won on the general causation issue there would be no need to continue the trial.\n\nMoreover, the strategy had the effect of preventing the plaintiffs from trying their entire cause of action at one time, thus denying them the opportunity that exists in unitary trials to bolster a weak case on liability or causation with a strong case on damages.\\textsuperscript{287} The only witnesses permitted to testify at the trial were experts on the chemical composition, toxicology, and epidemiology of Bendectin (ten experts on behalf of the plaintiffs and nine on behalf of the defendants).\\textsuperscript{288} Testimony and evidence pertaining to individual plaintiffs was not permitted.\\textsuperscript{289} Indeed, Judge Rubin would not even allow individual malformed plaintiffs in the courtroom during the trial, on the theory that to do so would inevitably bring the question of damages into the trial as the jury observed the plaintiffs' serious injuries.\\textsuperscript{290}\n\nJudge Rubin proposed a second innovation for this trial. Because of concerns that the complexity of the scientific evidence might be too difficult for the average juror to understand he offered to use either a \"blue ribbon jury\" (persons having the most formal education available in the jury panel) or a \"blue-blue ribbon jury\" (persons knowledgeable in the field). The offer was rejected by plaintiffs, and the case was tried to a jury from the regular jury pool.\\textsuperscript{291}\n\n\\textsuperscript{287} It is partly on this ground that Transsrud objects to the practice of splitting mass trials:\n\n[Trifurcation of issues] is not fair because it robs the jury of its traditional flexibility in tort cases to balance uncertainties in the plaintiff's case on liability against strengths in the plaintiff's case on damages. Trifurcation of issues also inevitably leads to the sterile trial of technical issues related to causation divorced from the fact of the plaintiff's injury and a full account of the defendant's role in the tragedy.\n\nTranssrud, \\textit{Joinder Alternatives}, supra note 22, at 80. Some would disagree with this analysis and argue that all trials should be bifurcated so that the damage question does not contaminate the logically prior liability and causation questions. Recall that the first \\textit{Mekdeci} jury verdict was overturned precisely because it appeared to be a compromise verdict.\n\n\\textsuperscript{288} \\textit{In re Richardson-Merrell, Inc. \"Bendectin\" Prods. Liab. Litig.}, 624 F. Supp. at 1218.\n\n\\textsuperscript{289} \\textit{Id.} at 1228.\n\n\\textsuperscript{290} \\textit{Id.} at 1222-24. On similar grounds, Judge Rubin restricted pretrial discovery to Bendectin and at trial excluded all evidence concerning Thalidomide and MER/29. While Merrell's history with these drugs might go to the issue of liability, it did not go to the question of whether Bendectin caused birth defects. \\textit{Id.} at 1236, 1241, 1249.\n\n\\textsuperscript{291} \\textit{Id.} at 1217.\n\nPerhaps because of the trifurcation of the trial, the jury returned a verdict for the defendants.\\textsuperscript{292} In a lengthy opinion Judge Rubin denied plaintiffs' motion for judgment n.o.v. or a new trial.\\textsuperscript{293} The Sixth Circuit ultimately upheld the verdict over objections that Judge Rubin abused his discretion in, among other things, trifurcating the trial,\\textsuperscript{294} excluding the plaintiffs from the courtroom, and excluding references to Thalidomide and MER/29.\\textsuperscript{295} In April 1985, in light of the jury verdict and Judge Rubin's declaration that he had completed his duty, the Panel remanded the claims of eighty-three plaintiffs who had not opted into the \\textit{Common Issues Trial}.\\textsuperscript{296}\n\nAt a theoretical level, the verdict in the \\textit{Common Issues} case is just another jury verdict, binding on the parties to the case but of no particu-\n\n\\textsuperscript{292} In a laboratory experiment, using a toxic tort trial stimulus, Horowitz and Bordens found that juries hearing a unitary trial were significantly more likely to find for the plaintiff (85%) than were juries that heard bifurcated trials (68%). Irwin A. Horowitz & Kenneth S. Bordens, \\textit{An Experimental Investigation of Procedural Issues in Complex Tort Trials}, 14 \\textit{Law & Hum. Behav}. 269, 277-78 (1990). This tendency was strongest when the bifurcated trial juries heard the general causation testimony first. If these juries did find for the plaintiff, however, their compensatory damages awards were significantly larger. \\textit{Id}.\n\n\\textsuperscript{293} \\textit{See In re Richardson-Merrell, Inc., \"Bendectin\" Prods. Litig}, 624 F. Supp. at 1249.\n\n\\textsuperscript{294} The plaintiffs may have been somewhat prejudiced by the fact that one of the lead counsel had suggested a bifurcated proceeding early in the case. \\textit{Id} at 1249.\n\n\\textsuperscript{295} \\textit{In re Bendectin Litig}, 857 F.2d 290, 314-17, 321-25 (6th Cir. 1988). The appellate process was delayed by litigation concerning whether Judge Rubin had jurisdiction over claims by two foreign nationals who had originally filed in Ohio state court. These plaintiffs alleged that Merrell had violated the Food, Drug and Cosmetic Act, and that this violation constituted a \"rebuttable presumption of negligence.\" Merrell argued that removal to federal court was proper under 28 U.S.C. § 1441 because the allegation raised a federal question. The trial court agreed, but was reversed in Thompson v. Merrell Dow Pharmaceuticals, 766 F.2d 1005, 1006 (6th Cir. 1985). The Sixth Circuit's decision was affirmed by the Supreme Court in a 5-4 opinion. Merrell Dow Pharmaceuticals v. Thompson, 478 U.S. 804, 817 (1986).\n\nThis ruling ultimately affected all Ohio resident plaintiffs. Merrell was a Delaware corporation, but had its principal place of business in Ohio. Therefore it was, for purposes of diversity jurisdiction, a citizen of both states. 28 U.S.C. § 1332(c) (1988). On the basis of the Supreme Court's \\textit{Thompson} decision, Judge Rubin proceeded to remand all cases brought by Ohio residents in Ohio state court that had been removed to his court under 28 U.S.C. § 1441 on the ground that they, too, had stated causes of action based on violations of the FDCA. \\textit{Bendectin Litig}, 857 F.2d at 297. For the same reason, he also dismissed without prejudice all claims brought by Ohio plaintiffs who had originally filed in Ohio federal court. \\textit{Id}.\n\nOn appeal, however, the Sixth Circuit held that only those Ohio plaintiffs (13 cases) who had not attempted to establish federal question jurisdiction through a cause of action based on the violation of the FDCA were entitled to have their claims dismissed without prejudice. \\textit{Id} at 297-98. The remainder, who had claimed federal question jurisdiction under 28 U.S.C. § 1331, were properly in federal court and, therefore, bound by the \\textit{Common Issues} verdict. \\textit{Id}.\n\n\\textsuperscript{296} \\textit{In re Richardson-Merrell, Inc.}, 606 F. Supp. 715, 716 (J.P.M.L. 1985). The court denied remand of six actions and vacated an order to transfer six new cases to Judge Rubin's court. \\textit{Id}.\n\nlar precedential consequence for other parties, not even those plaintiffs who were part of the common pretrial proceedings and then opted out. This theoretical level perceives each case as an isolated event, legally uncontaminated by other suits, and it completely misses the importance of the *Common Issues Trial*. The verdict produced a complete reversal of fortunes for the parties. The claims of over 800 plaintiffs had been dealt a death blow, and remaining plaintiffs now faced what amounted to an adverse finding of fact—subsequent trial and appellate judges referred to the *Common Issues Trial*'s outcome when discussing whether the plaintiffs could prove that Bendectin causes birth defects.\\textsuperscript{297}\n\nThe defendant enjoyed an equally profound reversal of fortunes. From an offer of $120 million to settle the case, it now moved to stay Judge Rubin's dismissal and remand order. The defendant hoped to sweep the board clean by using the *Common Issues Trial* to prevent future plaintiffs from arguing that Bendectin was a teratogen.\\textsuperscript{298} The defense had gone on the offensive.\n\nNevertheless, trial of the Bendectin Cases had barely begun.\\textsuperscript{299} Many of the most seriously injured plaintiffs had opted out of the *Common Issues Trial*.\\textsuperscript{300} The existence of *Oxendine* made it unlikely that the defendant would succeed with any collateral estoppel arguments and also\n\n\\textsuperscript{297} \\textit{E.g.}, Hull v. Merrell-Dow Pharmaceuticals, 700 F. Supp. 28, 29 n.1 (S.D. Fla. 1988).\n\n\\textsuperscript{298} \\textit{In re Richardson-Merrell, Inc. \"Bendectin\" Prods. Liab. Litig.}, slip op. (S.D. Ohio Jan. 6, 1986) (LEXIS, Genfed Library, Dist file).\n\n\\textsuperscript{299} See infra app. A, tbl. 6.\n\n\\textsuperscript{300} Class actions are, in part, a public good. Benefits accrue to members of the group (all plaintiffs) regardless of their individual efforts. Olson notes that in such situations, because those with the most at stake will invest the most in the common good, there is a tendency for the \"exploitation\" of the great by the small.\" \\textsc{Mancur Olson}, \\textit{The Logic of Collective Action: Public Goods and the Theory of Groups} 29 (1968). Members with greater stakes in the outcome (the great) will make larger investments (in, for instance, pretrial discovery) than those with smaller stakes (the small). Those with smaller claims are able to free ride on the investment of those with larger claims.\n\nThis exploitation may occur even if there is no bargaining among plaintiffs. Bargaining may exacerbate this problem. To the degree there are limited assets to be shared, the plaintiffs will compete for shares of the defendant's assets. Here, the large stakes plaintiffs almost certainly will be in a minority, and may well be subjected to efforts by the majority to squeeze the range of recoveries. There will be pressure to hold down the maximum recoveries to raise the minimum recoveries. \\textsc{Coffee}, \\textit{supra} note 212, at 916.\n\nAs a consequence of these processes, it is not surprising that many of the opt outs in mass tort cases are the large stakes players. These include plaintiffs who have the more serious injuries and who have claims that are large enough to justify separate prosecution. They also include plaintiffs' attorneys representing a number of clients who, aggregating across all of their claims, have a large enough pool of claims to justify trying individual cases. Such a division apparently occurred in the Bendectin Cases. As this discussion indicates, mass tort cases present substantial issues of distributive justice. For a set of proposals as to how to manage mass tort cases so as to minimize distributional problems, see \\textit{id.} at 918-30.\n\nindicated that plaintiffs might well succeed in a unitary trial. The judiciary, however, was not to remain passive. As the Bendectin Cases matured, a new type of rationing was about to begin.\n\n(2) Substantive Rationing\n\nThroughout the life cycle of a congregation of cases the judiciary responds to the experts and their evidence. Trial judges are the most closely involved. The majority of their responses occur at the micro level of evidentiary and procedural rulings, permitting or prohibiting various initiatives by the parties.\\textsuperscript{301} Usually, however, the trial judge also must make larger decisions concerning who to permit to testify, what evidence and instructions to give the jury, whether the case ultimately should go to the jury, and if it does, whether the verdict should stand. These more macro judgments are especially likely to be appealed. In the process of justifying or rejecting what has been done below, appellate opinions shape the future direction of a congregation of cases. Like all judicial, and other, decisions within the congregation, appellate opinions are not isolated, atomistic events. They, too, exhibit stages of development and are best understood within the context of the collection of cases. In this section I briefly discuss the trial court opinions and then turn to an analysis of the Bendectin appellate opinions. Here, we examine a different type of rationing, not through the use of procedures to streamline but through the use of substantive decisions to dispose of cases on their merits. As the congregation matures, the courts move from procedural to substantive rationing.\\textsuperscript{302}\n\na. Trial Court Opinions\n\nUsing both Westlaw and Lexis searches, I have uncovered a total of fifty-eight trial court opinions concerning Bendectin, almost all of which\n\n\\textsuperscript{301} I hope to explore these micro decisions in a subsequent paper through an analysis of Bendectin transcripts.\n\n\\textsuperscript{302} This shift suggests an interesting question: Under what circumstances will courts employ substantive rationing? We might hypothesize that courts will resort to substantive rationing only when procedural rationing has failed to achieve the desired result.\n\nFor example, in the mass torts that are precipitated by a single cataclysmic event such as an airplane crash, multidistrict discovery and the consolidation of cases for trial are sufficient to assure reasonably prompt and consistent outcomes within the congregation of cases. In such a scenario, substantive rationing is unnecessary even for the occasional case that escapes the procedural net.\n\nIf this hypothesis is correct, we should expect substantive rationing in relatively few instances. In the final section of this Article, I elaborate on the circumstances in which we should anticipate substantive rationing.\n\nare from federal district courts.\\textsuperscript{303} Table 7\\textsuperscript{304} summarizes the district court opinions.\\textsuperscript{305}\n\nIn the table, I have coded the subject matter of each opinion (column 4) and designated it substantive or nonsubstantive (column 5). The key to the codes is found at the bottom of the table.\\textsuperscript{306} Nonsubstantive opinions involve: discovery motions; motions to bifurcate or trifurcate a trial; questions of federal jurisdiction, statute of limitations, and forum non conveniens; and decisions concerning inclusion or exclusion from the multidistrict proceedings. Substantive opinions involve: questions concerning the admissibility of evidence; motions for summary judgment, directed verdict, or judgment n.o.v.; motions to exclude physicians or pharmacists as defendants; and findings concerning the merits of the plaintiff's case.\n\nDrawn on the basis of information from Table 7, Figure 4 presents two indicators that illustrate how the Bendectin litigation matured over time. For each year between 1982 and 1990 it indicates the percentage of trial court opinions dealing with substantive issues and the percentage of opinions that were \"final\" in the sense that, unless overturned on appeal, the case was to end with that decision. In the early years of litigation, nonsubstantive issues tend to dominate case congregations. In the Bendectin cases, a substantial number of procedural issues arose because of the consolidation of cases in the \\textit{Common Issues Trial}. Additionally, several courts faced venue issues raised by claims of foreign nationals. Presumably, the foreigners and their attorneys preferred to litigate in American courts because they assumed their damage recoveries would be larger here than abroad. After some earlier opinions allowing them a cause of action, the foreign claimants eventually were barred under the doctrine of forum non conveniens.\\textsuperscript{307} Finally, there was the recurring\n\n\\textsuperscript{303} The opinions are from thirty-six different cases and multidistrict rulings of the Joint Panel on Multi-District Litigation (labeled MDL-JPML). Note that two of the cases are consolidated actions (labeled MDL-Ohio and MDL-Michigan).\n\n\\textsuperscript{304} Table 7 is found in Appendix A.\n\n\\textsuperscript{305} Not every Bendectin opinion is included in Table 7. Memorandum opinions, denials or grants of certiorari, and the like are excluded. They are listed in appendices H-I. The table does not include opinions that are neither published nor reported on Westlaw or Lexis.\n\n\\textsuperscript{306} Note that, in the case of summary judgments, directed verdicts, and judgments n.o.v. (codes 4, 5, and 6), where possible I have given the basis of the motion as well. For example, in the fifth case, \\textit{Koller}, the motion for a summary judgment was based on a claim that the plaintiff could not show general causation.\n\n\\textsuperscript{307} A key opinion is Judge Rubin's decision that foreign nationals would be barred from the multidistrict litigation, but that, in return, Merrell would have to consent to being sued in Great Britain. \\textit{In re Richardson-Merrell, Inc.}, 545 F. Supp. 1130, 1135 (S.D. Ohio 1982). Judge Rubin was particularly concerned that allowing foreign nationals to litigate in Ohio would flood the courts with litigants:\n\nissue of federal jurisdiction. Merrell occasionally asked to have a court rule that the joinder of a local physician or pharmacy was done fraudulently solely in order to defeat diversity jurisdiction.\\textsuperscript{308}\n\nIn more recent years an increasing percentage of opinions have dealt with the cases on their merits.\\textsuperscript{309} This progression from nonsubstantive\n\n\\textsuperscript{308} Defendant argues that to allow these foreign plaintiffs access to American courts on the bare nexus that a product was developed and tested in this country, when it was manufactured and sold abroad by a foreign corporation, would flood this country with cases in which its own interest is minimal and the United Kingdom's great. We find this argument highly persuasive from both a practical and theoretical viewpoint.\n\n\\textit{Id.} at 1135.\n\nJudge Rubin's concern over the potential flood of litigants reflects the federal judiciary's ongoing interest in managing mass tort caseloads as efficiently as possible. Here, of course, efficiency is measured from the federal judiciary's perspective. From the point of view of plaintiffs, American attorneys, and Merrell, it would have been more efficient to try all cases in Ohio.\n\n\\textsuperscript{309} \\textit{E.g.,} McFeggan v. Merrell-Dow Pharmaceuticals, 1987 WL 9332, at *1 (N.D. Ill. Apr. 7, 1987); Shelhamer v. Merrell Dow Pharmaceuticals, 1987 WL 10702, at *1 (E.D. Pa. May 11, 1987).\n\n309. 1986 appears to be a slight aberration in this trend. In part, this may be understood as a reaction to the conclusion of the \\textit{Common Issues Trial}. Cases that had been transferred to\n\nto substantive opinions is a key element of the maturation of the congregation of Bendectin cases. By 1987, most nonsubstantive legal questions had been resolved, and cases were being decided on the merits. The fact that fewer and fewer cases addressed procedural questions\\(^{310}\\) also signifies that relatively few new cases were entering the stream and that depletion was underway. Figure 4 indicates that as the percentage of substantive opinions rises in a case congregation, so too does the percentage of final dispositions.\n\nFinally, an examination of the last three or four years of trial court opinions indicates that Merrell's motions for summary judgement, directed verdict, and judgment n.o.v. have increasingly been granted. This trend is, in large part, a response to appellate court opinions concerning Bendectin. It is to those appellate opinions that we now turn.\n\nb. Appellate Court Opinions\n\nI have found a total of thirty-six appellate opinions concerning Bendectin. This figure includes both published opinions and unpublished opinions available on the legal databases. The thirty-six opinions represent twenty-eight cases. Table 8\\(^{311}\\) lists the opinions in chronological order.\\(^{312}\\) As one would expect, the volume of appellate opinions has lagged behind the trial opinions, peaking in 1988.\n\nMost of these opinions did not follow a trial on the merits below, and those that did tend to have come relatively later in the series, again indicating the maturation of the Bendectin congregation.\\(^{313}\\) The early nontrial cases involved one of two issues: jurisdictional questions, or the inclusion of defendants other than Merrell. The jurisdictional questions usually involved foreign national plaintiffs hoping to find an American forum. As noted earlier, all eventually were excluded on forum non conveniens grounds. The non-Merrell defendant cases involved pharmacists or treating physicians against whom there was no specific claim except that they were in the chain of distribution.\n\nThe nontrial opinions of the last two or three years have been much more likely to involve substantive questions. They address questions\n\n---\n\n\\(^{310}\\) From 1988 to the present, only two opinions have not involved motions for summary judgment, directed verdict, or judgment n.o.v.\n\n\\(^{311}\\) Table 8 is found in Appendix A.\n\n\\(^{312}\\) Again, memorandum opinions and the like have been excluded from the table.\n\n\\(^{313}\\) See infra app. A, tbl. 8, col. 3.\n\nsuch as whether the plaintiffs have shown specific causation, whether they have shown by a preponderance of the evidence that Bendectin causes defects, and whether they have presented a qualified expert on the causation issue. Since 1987, all but three of the opinions have been final dispositions, yet another sign of the maturation and impending old age of the Bendectin congregation.\n\nMost of the nontrial opinions are relatively short and deal only with the specific issue under review. The opinions that followed full trials are substantially longer and often review the evidence presented at trial. These opinions reveal more fully the appellate courts' reactions to the body of fact and law that has developed as the congregation of cases has matured. There are nine such opinions. Table 9 presents information about these nine cases. One notable feature of these cases is that all except the Common Issues Trial involved a limb defect injury. While there are epidemiological studies that have found significant correlations between Bendectin and congenital heart defects, pyloric stenosis, and oral clefts, there appears to be no published epidemiological study that has found a statistically significant correlation between Bendectin ingestion and limb defects. Nevertheless, these cases have gone farthest through the appellate process, presumably because they involve the most serious injuries and the largest potential damage awards. Physically, psychologically, and perhaps financially, these tend to be the most devastating injuries for the child and his or her parents. For a contingency fee lawyer, they are the cases most worth pursuing, the cases whose expected value justifies the high costs involved in pursuing recovery.\n\n314. A common example involved plaintiffs with limb deformities who could not show that Bendectin caused their particular injuries because the mother did not ingest the product during the critical period when limb buds were forming.\n\n315. One of these three opinions, Merrell Dow Pharmaceuticals v. Oxendine, 593 A.2d 1023 (D.C. 1991), is not final in the sense that the appellate court has refused to allow the plaintiff to collect compensatory damages until her punitive damages claim has been settled. Id. at 1030.\n\n316. Most trials that have gone to verdict have produced at least one appellate opinion. As far as I can determine, only three of the American trials have not led to an appeal, each having ended in a defense judgment, by either jury verdict, directed verdict, or judgment n.o.v.\n\n317. Table 9 is found in Appendix A.\n\n318. See infra app. A, tbl. 9, at col. 2.\n\n319. There is something especially horrific about a visible limb reduction defect that in some ways sets it apart from other defects. The financial burden created by such defects varies depending on the seriousness of the injury. For seriously deformed children the cost of care can be quite high. For those less seriously injured, however, the out of pocket financial cost may be less than it is for some other injuries, such has heart defects.\n\n320. See Coffee, supra note 212, at 881.\n\nThe more recent trials, those that occurred in 1987-1988, resulted in plaintiffs' verdicts. As noted earlier, however, as of this writing only the Oxendine verdict has survived the entire appellate process.\\textsuperscript{321} In several cases, the trial judge directed the verdict or entered judgment n.o.v. Most remarkably, in recent cases appellate courts have reversed jury verdicts on which the trial judge has entered judgment. Over time, the appellate courts have taken a very aggressive posture toward the Bendectin Cases.\\textsuperscript{322} The following discussion examines this trend within the context of a case congregation analysis.\n\nAll Bendectin cases pose the same general causation issue. Viewing the litigation from the congregation perspective, one would expect that over time the courts would come to a more complete understanding of the facts of the cases. A question to be asked about case congregations is whether, at some point, courts are prepared to act on that understanding and make substantive determinations in individual cases based upon knowledge drawn from the congregation as a whole. With respect to Bendectin, the answer is yes.\n\n\\textsuperscript{321} See supra note 230 and accompanying text.\n\n\\textsuperscript{322} This assertion, especially as it refers to substantive rationing, applies most clearly to appellate opinions following jury verdicts. When ruling on summary judgment motions, appellate courts have exhibited much greater reluctance to cut off plaintiffs' claims based merely on the courts' understanding of the Bendectin science. For example, in DeLuca v. Merrell Dow Pharmaceuticals, Inc., 911 F.2d 941 (3d Cir. 1990), a scientifically sophisticated opinion, the court reversed a summary judgment in favor of Merrell that was based on the trial court's conclusion that the evidence offered by plaintiff's only expert was inadmissible under Federal Rule of Evidence 703 because it was not reasonably relied on by experts in the relevant field. The appellate court objected to the sketchy record upon which this ruling was based:\n\nFollowing Merrell Dow's lead, the district court did not point to specific deficiencies in the data utilized by Dr. Done and while it cited Rule 703, it made no record-supported, factual finding that Dr. Done had relied upon data experts in the field would have considered unreliable . . . . In only two brief sentences of its opinion did the district court address Dr. Done's statistical analysis of the available epidemiological evidence . . . .\n\n. . . . [I]ts cursory ruling that Done's testimony was inadequate under Rule 703 does not comply with the standard set forth in Japanese [Electronics] Products Litigation [723 F.2d 238 (3d Cir. 1983)], as it was not predicated upon a record-supported, factual finding that Done relied upon identified data not regarded as reliable by experts in the field.\n\nId. at 944, 953.\n\nNonetheless, the court noted in conclusion:\n\n[Elven if Dr. Done's epidemiological analysis is found to be admissible, the DeLucas are entitled to get to trial only if the district court is satisfied that this analysis together with any other evidence relevant to the causation issue would permit a jury finding that Amy's birth defects were, when measured against the appropriate burden of proof, caused by her mother's exposure to Bendectin.\n\nId. at 959.\n\nI have analyzed the way each appellate opinion approaches the evidence on Bendectin. In Table 9 each opinion is coded as exhibiting a legalistic, scientific, or legal-scientific approach to the pharmacological and epidemiological evidence presented at trial. An opinion is coded legalistic if it: (1) reviews the jury verdict and trial judge determinations using a set of legal formulas concerning admissible evidence, the burden of proof, judicial discretion, and the allocation of tasks between judge and jury; and (2) does not look behind the statements of qualified experts to assess the merits of the experts' opinions. An opinion is coded scientific when a court adopts an aggressive, proactive posture toward the evidence and the experts who presented it. These scientific opinions exhibit, to varying degrees, three characteristics: (1) the court places weights on the various types of evidence (in vitro, in vivo, or epidemiological); (2) the court examines and makes a substantive assessment of the evidence upon which an expert or set of experts have based their opinions; and (3) as a part of this assessment the court emphasizes formal scientific criteria of probative value, especially peer review and publication in refereed journals.\n\nAs the Bendectin congregation has worked its way through the legal system, opinions have become more scientific, and the courts have\n\n---\n\n323. There is a deeper sense in which an opinion can be \"scientific.\" There is a fundamental difference between the process of explanation engaged in by scientists and the process of attribution. See H.L.A. HART & TONY HONORE, CAUSATION IN THE LAW 68-83 (2d ed. 1985). As Hamilton notes, the search for a causal explanation involves an inquiry into the cause of an unexpected or puzzling effect. The outcome is a causal inference, and the key processing rule is a covariation principle. The process of attribution, on the other hand, involves a determination as to whether some effect can be assigned to a cause such that the cause is liable for sanctions. The outcome is a responsibility judgment and the key processing rule is whether someone \"could have done otherwise.\" V. Lee Hamilton, Intuitive Psychologist or Intuitive Lawyer? Alternative Models of the Attribution Process, 39 J. PERSONALITY & SOC. PSYCHOL. 767, 768 (1980). The opinions I have coded \"scientific\" are not fully scientific in this deeper sense. They still are about the business of attributing responsibility and they sometimes blur the explanation-attribution distinction. It is fair to say, however, that the opinions I have coded \"scientific\" are in fact more scientific in the explanation sense than are most appellate opinions. Scientists, presumably, will feel comfortable with these opinions. Within the legal community, however, they seem to create a sense of unease.\n\n324. More specifically, appellate opinions have become more scientific when they involve a jury verdict for the plaintiff. In cases where the jury found for the defense, the courts have issued relatively legalistic opinions rejecting a number of plaintiffs arguments as to reversible error at trial. One such case is Wilson v. Merrell Dow Pharmaceuticals, 893 F.2d 1149 (10th Cir. 1990). Even in Wilson, however, the court's position was not purely legalistic. In responding to the plaintiff's contention that the trial court erred in denying their motion for judgment n.o.v. or a new trial, the court said:\n\nMerrell Dow presented expert testimony, which was not contradicted by the Wilsons' experts, that of the approximately forty epidemiological studies of Bendectin, none has shown a statistically significant association between ingestion of the drug\n\nshown less willingness to leave factual determinations to the jury.\\textsuperscript{325} Finally, with the development of a body of cases assessing the merits of the evidence, at least one appellate court (and two trial courts ruling on summary judgment motions)\\textsuperscript{326} have reverted to a legalistic analysis, but a legalistic analysis with a twist. In these cases, the courts did not review or assess the evidence. They simply accepted the earlier appellate assessment of the evidence as a matter of law. I have coded these opinions legal-scientific. The following passages demonstrate each of the three types of opinion.\n\n(i) \\textit{Oxendine}\n\nThe clearest example of a legalistic appellate opinion is \\textit{Oxendine}.\\textsuperscript{327} The court in \\textit{Oxendine} reversed the trial judge, who had granted judgment n.o.v. and ordered a new trial on the ground that the jury's verdict for the plaintiff was against the great weight of the evidence. The appellate court relied heavily on \\textit{Ferebee v. Chevron Chemical Co.},\\textsuperscript{328} a case involving the question whether paraquat exposure causes pulmonary fibrosis. It favorably quoted the following passage from that opinion:\n\nJudges, both trial and appellate, have no special competence to resolve the complex and refractory causal issues raised by the attempt to link low level exposure to toxic chemicals with human disease. On questions such as these, which stand at the frontier of current medical and epidemiological inquiry, if experts are willing to testify that such a link exists, it is for the jury to decide whether to credit such testimony.\\textsuperscript{329}\n\n\\textsuperscript{325} Randall Terrell originally drew this pattern to my attention, and I am strongly indebted to his insight.\n\n\\textsuperscript{326} The two are Daubert v. Merrell Dow Pharmaceuticals, 727 F. Supp. 570 (S.D. Cal. 1989), and Turpin v. Merrell Dow Pharmaceuticals, 736 F. Supp. 737 (E.D. Ky. 1990). Still, trial courts have not uniformly accepted the lead of \\textit{Richardson, Brock,} and \\textit{Ealy} by finding as a matter of law that Bendectin is not a teratogen. See, e.g., Barton v. Richardson-Merrell, Inc., No. C85-0028J, 1990 U.S. Dist. LEXIS 8010, at *2 (D. Utah May 31, 1990) (directed verdict affirmed, though court emphasized importance of jury trials in Bendectin cases because of complex factual causation questions).\n\n\\textsuperscript{327} Oxendine v. Merrell-Dow Pharmaceuticals, 518 A.2d 1100 (D.C. 1986).\n\n\\textsuperscript{328} 736 F.2d 1529 (D.C. Cir. 1984).\n\n\\textsuperscript{329} \\textit{Id.} at 1534, quoted in \\textit{Oxendine}, 506 A.2d at 1104.\n\nThe *Oxendine* court concluded its review of the trial with the following observation:\n\nAlthough the trial in this case was long and the evidence complex, the issue before the jury was a straightforward one: did Bendectin cause appellant's birth defects? Expert witnesses testified at length on both sides of that issue. Not surprisingly, their testimony revealed a disagreement as to how the epidemiological and other data should be interpreted. \"The case was thus a classic battle of the experts, a battle in which the jury must decide the victor.\"330\n\nThe *Oxendine* opinion, standing as it does at the beginning of the Bendectin congregation, is a clear example of a legalistic opinion. As the congregation matured, more scientific opinions began to emerge.\n\n(ii) *Richardson*\n\nIf the *Common Issues Trial* is the most important trial in the Bendectin Cases, the most important appellate opinion is *Richardson v. Richardson-Merrell*.331 Unlike *Oxendine*, in *Richardson* the court affirmed a trial court's grant of judgment n.o.v.332 As in all the opinions coded \"scientific,\" the *Richardson* court exhibited an unwillingness to accept expert opinion without examining its scientific underpinnings:333\n\n---\n\n330. *Oxendine*, 506 A.2d at 1110 (quoting *Ferebee*, 736 F.2d at 1535).\n\n331. 857 F.2d 823 (D.C. Cir. 1988).\n\n332. Judge Jackson granted judgment n.o.v. on the basis of Merrell's epidemiological evidence. He concluded, \"the literature on Bendectin, individually and in the aggregate, fails to demonstrate Bendectin's teratogenicity to a scientifically acceptable degree of accuracy.\" *Richardson v. Richardson-Merrell*, 649 F. Supp. 799, 802 (D. Mass. 1986).\n\n333. An early appellate opinion to take a scientific approach to the data is *Lynch v. Merrell-Nat'l Lab.*, 830 F.2d 1190 (1st Cir. 1987). Although *Lynch* did not follow a trial—the trial judge had granted Merrell's motion for summary judgment—it did contain a lengthy discussion of the data. Typical of the opinion was the court's discussion of the proffered testimony of Dr. Shanna Swan:\n\nThe plaintiffs also offered the opinion evidence of Shanna Helen Swan, a holder of a 1963 doctorate in statistics from the University of California at Berkeley. Swan had served from 1969 to 1975 as senior biostatistician in a Kaiser Health contraceptive drug study; been associate professor of mathematics at California State University, Sonoma, from 1974 to 1979; directed between 1979 and 1981 the training program in biostatistics and epidemiology at the School of Public Health of the University of California, Berkeley; and, while remaining in this school, has been since 1981 the chief of the Methodology and Analysis Unit, Epidemiology and Statistics, Department of Health Services of the State of California.\n\nSwan's opinion as to causation was based upon her reanalysis of data collected between 1970 and 1978 by the Metropolitan Atlanta Congenital Defects Program. This data had been previously analyzed by four members of the Center for Disease Control . . . . [T]he researchers found \"weak\" but not causal relationship between the use of Bendectin and amniotic bands and concluded that the study \"excluded\" a risk of limb reduction from the use of Bendectin.\n\nSwan testified in the multi-district litigation in Cincinnati, and the district court here took note of her testimony as it was excerpted by the defendant . . . . ComparThe question whether Bendectin causes limb reduction defects is scientific in nature, and it is to the scientific community that the law must look for the answer. For this reason, expert witnesses are indispensable in a case such as this. But that is not to say that the court's hands are inexorably tied, or that it must accept uncritically any sort of opinion espoused by an expert merely because his credentials render him qualified to testify . . . .\n\nNext, the court distinguished among various types of evidence. *In vitro* and *in vivo* evidence was relegated to no more than a secondary role when compared to epidemiological studies:\n\nThese three types of studies then—chemical, *in vitro*, and *in vivo*—cannot furnish a sufficient foundation for a conclusion that Bendectin caused the birth defects at issue in this case. Studies of this kind, singly or in combination, are not capable of proving causation in human beings in the face of the overwhelming body of contradictory epidemiological evidence. Perhaps mindful of this, the last type of evidence considered by Dr. Done consisted of the epidemiological studies. When such studies are available and relevant, and particularly when they are numerous and span a significant period of time, they assume a very important role in determinations of questions of causation.\n\nThird, the court judged the probative value of evidence, in part by the rules science would use to make such a judgment—whether the results have been published in a refereed journal and whether they have been subjected to peer review: \"Only by recalculating the data was Dr. Done able to obtain what he deems a statistically significant result. Moreover, the studies rejected by Dr. Done had been published in peer-reviewed scientific journals, while Dr. Done has neither published his recalculation nor offered them for peer review.\"\n\nInforming the court's approach to the evidence was its own recognition that *Richardson* did not stand alone, but rather was part of a congregation of cases. On this basis, the court rejected its own previous analysis in *Ferebee* of the proper posture of courts to conflicting scientific evidence:\n\n---\n\n334. *Richardson*, 857 F.2d at 829.\n\n335. *Id.* at 830.\n\n336. *Id.* at 831.\n\nThe Richardsons, however, direct attention to our decision in Ferebee v. Chevron Chemical Co. . . . We think reliance thereon is misplaced here. . . . Ferebee stands for the proposition that courts should be very reluctant to alter a jury's verdict when the causation issue is novel and \"stand[s] at the frontier of current medical and epidemiological inquiry.\" If experts are willing to testify to causation in such situations and their methodology is sound, the jury's verdict should not be disturbed.\n\nThe case before us, however, is not like Ferebee. Indeed, we are at the other end of the spectrum, a great distance from the \"frontier of current medical and epidemiological inquiry.\" And far from a paucity of scientific information on the oft-asserted claim of causal relationship of Bendectin and birth defects, the drug has been extensively studied and a wealth of published epidemiological data has been amassed, none of which has concluded that the drug is teratogenic. Uniquely to this case, the law now has the benefit of twenty years of scientific study, and the published results must be given their just due.\\textsuperscript{337}\n\nIn spite of this language, Richardson might be thought of as an early scientific opinion. The court was not fully confident of its separate analysis of the evidence. It presented a significant excerpt from the testimony of Dr. Done, one of the plaintiffs' key experts, designed to demonstrate that even if the court were to accept plaintiffs' expert testimony at face value, the plaintiffs' experts themselves were unable to conclude that Bendectin more likely than not causes birth defects:\n\nDr. Done himself conceded the import of this literature when he agreed on cross-examination that \"in connection with the animal studies . . . because so many substances are teratogenic in animals, before you can make a conclusion that a substance is teratogenic in humans, you must look to the human data.\" Dr. Done also acknowledged the necessity of a statistically significant association between the drug and its effect in human populations . . .\n\nDr. Done further admitted that no one who has published work on Bendectin has concluded that there is a statistically significant association between Bendectin and limb reduction defects of the type at issue in this case.\\textsuperscript{338}\n\nBased on this analysis of Dr. Done's testimony the court of appeals concluded that his opinion concerning the teratogenicity of Bendectin lacked an adequate foundation and was therefore inadmissible.\\textsuperscript{339}\n\n(iii) Brock\n\nThe court in Brock v. Merrell-Dow Pharmaceuticals\\textsuperscript{340} exhibited no such uncertainty about the reallocation of tasks between judge and jury:\n\n\\textsuperscript{337.} \\textit{Id.} at 831-32 (footnotes omitted) (emphasis in original).\n\\textsuperscript{338.} \\textit{Id.} at 830-31.\n\\textsuperscript{339.} \\textit{Id.} at 831-32.\n\\textsuperscript{340.} 874 F.2d 307 (5th Cir.), \\textit{modified}, 884 F.2d 166 (5th Cir. 1989).\n\nThis case is one of a series of many cases filed against Merrell-Dow by parents of children with birth defects allegedly caused by the ingestion of Bendectin during pregnancy. Academic commentators have dubbed this case and others like it \"mass toxic torts.\" This represents a growing realization among academics, lawyers, and judges that cases such as this present special problems and challenges to traditional ideas regarding the role of the jury as a decision maker.\n\n...\n\nUnder the traditional approach to scientific evidence, courts would not peer beneath the reasoning of medical experts to question their reasoning. Confronted, as we now are, with difficult medical questions, courts must critically evaluate the reasoning process by which the experts connect data to their conclusions in order for courts to consistently and rationally resolve the disputes before them.\\textsuperscript{341}\n\nAs in \\textit{Richardson}, the court was particularly concerned with the fact that \\textit{Brock} was one of a long string of cases. The \\textit{Brock} court, however, added a further justification for a scientific approach to the data. It argued that courts should be more willing to intervene because inconsistent jury verdicts are particularly undesirable in situations where the same facts are tried over and over:\n\nMoreover, in mass torts the same issue is often presented over and over to juries in different cases, and the juries often split both ways on the issue. The effect of this is to create a state of uncertainty among manufacturers contemplating the research and development of new, and potentially lifesaving drugs. Appellate courts, if they take the lead in resolving those questions upon which juries will go both ways, can reduce some of the uncertainty which can tend to produce a sub-optimal amount of new drug development.\\textsuperscript{342}\n\n(iv) \\textit{Ealy}\n\nOnce a body of cases assessing the merits of the evidence has developed, courts may adopt a legalistic analysis that no longer reviews evidence, but accepts earlier appellate assessments of the evidence. The quotation from Junius at the beginning of this essay captures the essence of this phenomenon: \"What yesterday was fact, today is doctrine.\"\\textsuperscript{343} \\textit{Ealy v. Richardson-Merrell},\\textsuperscript{344} is a case in this tradition. In \\textit{Ealy}, as in \\textit{Brock}, the appellate court took the particularly aggressive step of reversing a trial court judgment entered on a plaintiff's verdict. Unlike \\textit{Brock}, however, the \\textit{Ealy} court justified this action not by directly attacking the\n\n\\textsuperscript{341}. \\textit{Id.} at 309-10 (citations omitted).\n\\textsuperscript{342}. \\textit{Id.} at 310.\n\\textsuperscript{343}. \\textit{DEDICATION TO THE ENGLISH NATION}, supra note 1, reprinted in \\textit{FAMILIAR QUOTATIONS} at 1001.\n\\textsuperscript{344}. 897 F.2d 1159 (D.C. Cir.), \\textit{cert. denied}, 111 S. Ct. 370 (1990).\n\nplaintiff’s experts or their evidence but by legalistically arguing that it was following the earlier Richardson opinion:\n\nWe find that this case is squarely within the binding rule articulated in Richardson: an expert opinion that Bendectin is a human teratogen which caused the plaintiff’s birth defects is without scientific foundation under Federal Rule of Evidence 703 in the face of “a wealth of published epidemiological data” to the contrary. Accordingly such expert opinion is inadmissible. Because we discern no material difference between the evidence presented in Richardson and that presented in this case, we reverse the trial court’s denial of the motion for judgment n.o.v.\n\n. . . .\n\nBecause Richardson provides a binding legal precedent governing the admissibility of expert opinion on the ability of Bendectin to cause human birth defects, the Ealys can only avoid that decision by showing that the record here is materially different from that in Richardson. We find no such difference.345\n\nAlthough the language of the opinion appears to hold out the potential that the plaintiffs might present new or additional data to avoid the precedential effect of Richardson, as a practical matter this is impossible. No in vitro or in vivo study will overcome the body of existing epidemiological evidence. And since Bendectin has not been on the market since 1983, there appear to be no significant data sets remaining that could cast new light on its teratogenic effects. As a matter of law, Bendectin does not cause birth defects.\n\nc. A Defense Bias?\n\nThese Bendectin opinions followed in the wake of and were clearly influenced by Judge Weinstein’s similarly “scientific” finding for the defense in the Agent Orange opt-out opinion.346 The Brock case divided the Fifth Circuit along apparently political lines.347 In light of these two circumstances, a natural question is whether what I have called substan-\n\n345. Id. at 1160-62. Daubert v. Merrell Dow Pharmaceuticals, Inc., No. 90-55397, 1991 WL269803 (9th Cir. 1991), was decided too late to be discussed in this article. Daubert is a legal-scientific opinion affirming a summary judgment for the defendant based on the plaintiffs’ inability to show Bendectin caused the plaintiffs’ defects.\n\n346. In re “Agent Orange” Prod. Liab. Litig., 611 F. Supp. 1223 (E.D.N.Y. 1985), aff’d, 811 F.2d 187 (2d Cir. 1987), cert. denied, 487 U.S. 1234 (1988).\n\n347. When the Fifth Circuit ruled en banc against granting a rehearing of the case, the eight judges who voted against a rehearing had been appointed by Presidents Nixon and Reagan, while five of the six judges who dissented had been appointed by President Carter. The other dissenter, Judge Higginbotham, wrote separately, indicating that he would go even farther than the majority in crafting a rule for the judicial scrutiny of expert testimony. John Endicott, Toxic Tort Litigation in the Fifth Circuit: Rulings on the Admissibility of Expert Testimony, 5 Toxics L. Rep. (BNA) No. 10, at 349 (Aug. 8, 1990).\n\ntive rationing is part of a general drift within the federal judiciary toward a more conservative, prodefendant position.\\textsuperscript{348} Such a trend may of course play a role in these opinions, but there is reason to believe that the use of substantive rationing is more than a partisan phenomenon. Within the Bendectin Cases, not all the judges issuing scientific or legal-scientific opinions are known conservatives or Republican appointees. The \\textit{Ealy} opinion, for example, was authored by Judge Mikva, who at one time was a liberal Democratic congressman from Illinois.\n\nMore to the point, perhaps, is the question whether similar decisions will be issued, but favoring plaintiffs rather than defendants. There are reasons to think that such an outcome is unlikely.\\textsuperscript{349} From the plaintiffs' point of view, the Bendectin Cases are an example of an unsuccessful mass tort congregation. The plaintiffs have routinely met with defeat, but because of the large number of separate actions the litigation has continued for several years. \"Successful\" mass tort cases will usually have a different career. In such cases it is frequently the case that by the time the courts have come to a conclusion as to the proper substantive outcome of the congregation, the defendant has been overwhelmed by the litigation. Bankruptcy is a different form of legal rationing—one that supersedes both procedural and substantive judicial rationing. Nevertheless, if substantive rationing is the product of the forces described in this Article, we should expect that on occasion it may be used to the plaintiffs' advantage.\n\nIn this regard it is worth noting a recent effort on the part of two federal district court judges from Ohio and Texas to consolidate all asbestos cases. Among other actions taken, the Ohio judge issued an order setting a hearing date for September 1990 in Cleveland to allow the parties to nearly 60,000 outstanding asbestos claims to address the proposed\n\n\\textsuperscript{348}. See generally Henderson & Eisenberg, supra note 2.\n\n\\textsuperscript{349}. One example, perhaps, is Beshada v. Johns-Manville Prods. Corp., 90 N.J. 191, 447 A.2d 539 (1982), in which the New Jersey Supreme Court ruled that the defendant could not raise a state-of-the-art defense in an asbestos products liability case. The New Jersey court was quickly forced to retreat from this position. See Feldman v. Lederle Lab., 97 N.J. 429, 479 A.2d 374 (1984). In distinguishing \\textit{Beshada}, the court in \\textit{Feldman} stated that, \"[t]he rationale of \\textit{Beshada} is not applicable to this case. We do not overrule \\textit{Beshada}, but restrict \\textit{Beshada} to the circumstances giving rise to its holding.\" \\textit{Id.} at 455, 479 A.2d at 388. One possible interpretation of this statement is that \\textit{Beshada} came after a substantial amount of asbestos litigation in which the defendants had tried and failed to make a state-of-the-art defense. By denying the defendants this line of defense in asbestos cases, the court was engaged in substantive rationing. Such rationing was inappropriate in cases such as \\textit{Feldman} that raised a relatively new factual question: whether defendants could have known that large doses of tetracycline could discolor the teeth of infants and young children. I wish to thank Michael Green for pointing out the relevance of \\textit{Beshada} to the argument in the text.\n\ncertification of a class in the United States District Court for the Eastern District of Texas, which would enable the court to:\n\nDeclare and apply federal common law that establishes as a matter of law that asbestos-containing insulation products capable of producing dust on use, application, or removal are inherently dangerous in accordance with the governmental ban and the findings of all federal agencies that have addressed the question; and that such products were marketed without an adequate warning and were therefore, defective and unreasonably dangerous.\\(^{350}\\)\n\nThe order, issued after a meeting in August 1990 at the Federal Judicial Center, was reviewed and approved by eight other federal judges, including Judge Weinstein who is overseeing the *Manville Personal Injury Settlement Trust*.\\(^{351}\\) This effort would have settled all but the specific causation and damages questions in almost all asbestos litigation. This is additional evidence that the pressures created by a congregation of cases, and not party bias, are the primary forces moving courts toward substantive rationing.\n\n**VI. The Larger Context**\n\nThus far, the argument has focused on the specifics of the Bendectin Cases. In the previous section I discussed a particularly interesting judicial reaction to a case congregation: substantive rationing. In this last section I move beyond the Bendectin Cases to discuss more general circumstances that produce this type of judicial behavior. I conclude with some thoughts on how the judicial response to case congregations may, in turn, affect all tort law.\n\n**A. Substantive Rationing and the Judge-Jury Relationship**\n\nSubstantive rationing as evidenced in the Bendectin Cases, and perhaps soon to be seen in the asbestos cases, is the ultimate form of what Galanter calls an *outcome stabilization* effect.\\(^{352}\\) The effect, however, occurs in a way unanticipated by either Galanter's congregation theory or McGovern's cyclical theory of mass torts.\\(^{353}\\) In their models something like market forces operate over time to bring stability to the caseload and to case outcomes. The uniform outcome imposed through the use of substantive rationing is different.\\(^{354}\\) In large part, this type of outcome stabilization seems to be a reaction to the jury trial as an institution.\n\n\\(^{350}\\) *In re National Asbestos Litigation*, No. 1:90 CV 11,000 (N.D. Ohio Aug. 10, 1990) (consolidation order), quoted in 5 Toxics L. Rep. (BNA) No. 11, at 360-61 (Aug. 15, 1990).\n\n\\(^{351}\\) *Id.* at 361.\n\n\\(^{352}\\) Galanter, *Case Congregations*, supra note 8, at 389-90.\n\n\\(^{353}\\) See McGovern, *supra* note 20, at 482.\n\n\\(^{354}\\) In Calabresi's terms, it is more like specific deterrence—you cannot bring this type of\n\nSubstantive rationing, especially in tort law, reflects distrust of juries and the desire to have clear rules governing the legal consequences of certain facts. It shrinks, as much as possible, the grey area of tort encompassed by the phrase \"a mixed question of law and fact.\" The effort is the judicial equivalent of negligence per se rules, but in the Bendectin Cases the rule is one of no negligence per se. The Bendectin appellate judges who have thus restricted the jury's role are heirs to Holmes' view of the jury and the judge-jury relationship.\\textsuperscript{355} In an 1899 article Holmes commented:\n\nI confess that in my experience I have not found juries specially inspired for the discovery of truth. I have not noticed that they could see further into things or from a saner judgment than a sensible and well trained judge. I have not found them freer from prejudice than an ordinary judge would be . . . . I do not believe that the jury have any historic or a priori right to decide any standard of conduct.\\textsuperscript{356}\n\nAnd in \\textit{The Common Law}, he expressed his hope regarding the ultimate allocation of duties between judge and jury:\n\nWhen a case arises in which the standard of conduct, pure and simple, is submitted to the jury, the explanation is plain. It is that the court, not entertaining any clear views of public policy applicable to the matter, derives the rule to be applied from daily experience, as it has been agreed that the great body of the law of tort has been derived. But the court further feels that it is not itself possessed of sufficient practical experience to lay down the rule intelligently. It conceives that twelve men taken from the practical part of the community can aid its judgment. Therefore it aids its conscience by taking the opinion of the jury.\n\nBut supposing a state of facts often repeated in practice, is it to be imagined that the court is to go on leaving the standard to the jury forever?\\textsuperscript{357}\n\nThe answer for Holmes was no. In the well known case of \\textit{Baltimore & Ohio Railroad v. Goodman}\\textsuperscript{358} he had an opportunity to turn his thoughts into law in the context of a railroad crossing case:\n\nWhen a man goes upon a railroad track he knows that he goes to a place where he will be killed if a train comes upon him before he is clear of the track . . . . In such circumstances it seems to us that if a driver cannot be sure otherwise whether a train is dangerously near he must stop and get out of his vehicle . . . . It is true . . . that the question\n\n\\textsuperscript{355} The following discussion is based upon materials in GEORGE CHRISTIE, CASES AND MATERIALS ON THE LAW OF TORTS 158-64 (1983).\n\n\\textsuperscript{356} Oliver Wendell Holmes, Jr., \\textit{Law in Science and Science in Law}, 12 HARV. L. REV. 443, 459 (1899).\n\n\\textsuperscript{357} OLIVER WENDELL HOLMES, JR., \\textit{THE COMMON LAW} 123 (1881).\n\n\\textsuperscript{358} 275 U.S. 66 (1927).\n\nof due care very generally is left to the jury. But we are dealing with a standard of conduct, and when the standard is clear it should be laid down once for all by the Courts.\\textsuperscript{359}\n\nAs students of tort law know, Holmes' effort to ration substantive law failed. The \"once for all\" rule of stop, look, and listen lasted less than a decade, dismantled by Benjamin Cardozo in \\textit{Pokora v. Wabash Railway Co}.\\textsuperscript{360} In a roughly similar case on the facts, Justice Cardozo declared that\n\nStandards of prudent conduct are declared at times by courts, but they are taken from the facts of life. To get out of a vehicle and reconnoitre is an uncommon precaution, as everyday experience informs us. Besides being uncommon, it is very likely to be futile, and sometimes even dangerous. If the driver leaves his vehicle when he nears a cut or curve, he will learn nothing by getting out about the perils that lurk beyond. By the time he regains his seat and sets his car in motion, the hidden train may be upon him.\n\n...\n\nIllustrations such as these bear witness to the need for caution in framing standards of behavior that amount to rules of law. The need is the more urgent when there is no background of experience out of which the standards have emerged\\textsuperscript{361}\n\nNeedless to say, Holmes and Cardozo were speaking of standards of care, while the Bendectin judges are speaking of the causal question. The Holmes-Cardozo exchange deals with a relatively more normative question, while the Bendectin courts are dealing with a relatively more objective one. They share, however, a concern with which facts can give rise to liability. Like Holmes, the judges in \\textit{Richardson}, \\textit{Brock}, and \\textit{Ealy} concluded that on certain given facts there is no room left within which the jury may operate. \\textit{Pokora}, however, stands as a warning that in a common-law system facts constantly challenge rules. If Holmes had somehow hoped that eventually each fact situation would have its own pigeonhole and that eventually judges, having considered each, would determine whether it was a \"liability\" hole or a \"nonliability\" hole, \\textit{Pokora} suggests that there are too many pigeonholes to make this a practicable enterprise for all of the law of torts.\n\nThe debate about the acceptability of jury verdicts and the judiciary's obligation to intervene continues. Most frequently, it has been debated in situations where the primary evidence of liability is based on laboratory research and epidemiological studies. Charles Nesson, for example, has argued that Judge Weinstein may have erred in taking the\n\n\\textsuperscript{359} \\textit{Id.} at 69-70 (citations omitted).\n\n\\textsuperscript{360} 292 U.S. 98 (1934).\n\n\\textsuperscript{361} \\textit{Id.} at 104.\n\nAgent Orange opt out case from the jury solely on the basis of adverse epidemiological evidence.\\textsuperscript{362} Others have disagreed with this conclusion and have argued that judicial intervention is essential to control verdicts that appear to depart from “rational efforts to reconstruct reality.”\\textsuperscript{363}\n\nFrom a wider perspective the dispute is not about juries per se, but about discretionary fact finding by judge or jury. When judges sit as fact finders they too can arrive at outcomes that depart from rational efforts to reconstruct reality. Note, however, that Holmes couched his thoughts in terms of a learning process. The judge should determine the standard of care, or perhaps find the facts, when nearly identical situations have been confronted repeatedly. According to Holmes, the pressure to ration law in this way is especially strong when the court finds “the jury oscillating to and fro, and will see the necessity of making up its mind for itself.”\\textsuperscript{364} The threat of inconsistent outcomes is always a cost of allowing any case to go to the jury. As Nesson notes, “[t]he force of this consideration depends on one’s assessment of the system’s capacity to rationalize inconsistent verdicts in terms of credibility of witnesses, ability of lawyers, variations among juries, and similar considerations.”\\textsuperscript{365} Such rationalizations may prove to be most difficult where congregations of cases present the same factual question. Inconsistent verdicts by one-shot juries lacking the benefit of the learning process that a congregation of cases provides may seem offensive to a judiciary that, as a collective entity, has tried the same question many times. Therefore, we are especially likely to observe substantive rationing as a congregation matures.\\textsuperscript{366} This is all the more true when the central factual question is\n\n\\textsuperscript{362}. Charles Nesson, \\textit{Agent Orange Meets the Blue Bus: Factfinding at the Frontier of Knowledge}, 66 B.U. L. Rev. 521, 526, 537-58 (1986) [hereinafter Nesson, \\textit{Factfinding at the Frontier}]. In part, Nesson’s concern arises from his distinction between verdicts based on “a determination of what actually happened” and verdicts that are only “statements about the evidence.” Charles Nesson, \\textit{The Evidence or the Event? On Judicial Proof and the Acceptability of Verdicts}, 98 Harv. L. Rev. 1357, 1361 (1985). Under this view, outcomes based solely on epidemiological studies are statements about the evidence and ought not overcome jury verdicts that may be based on a determination of what actually happened.\n\n\\textsuperscript{363}. Ronald J. Allen, \\textit{Rationality, Mythology, and the ‘Acceptability of Verdicts’ Thesis}, 66 B.U. L. Rev. 541, 562 (1986).\n\n\\textsuperscript{364}. Holmes, \\textit{supra} note 357, at 123.\n\n\\textsuperscript{365}. Nesson, \\textit{Factfinding at the Frontier}, \\textit{supra} note 362, at 537. See, e.g., Dempsey v. Addison Crane Co., 247 F. Supp. 584 (D.D.C. 1965). In \\textit{Dempsey}, two plaintiffs injured in the same crane accident had their nonjury cases tried separately and experienced opposite outcomes. In an attempt to explain this outcome, the court was happy to be able to report that “the evidence in the two actions was not the same.” \\textit{See id.} at 589. In Bendectin cases tried since 1985, however, the evidence on the question of general causation has been basically the same.\n\n\\textsuperscript{366}. Concern with inconsistent jury verdicts is part of the reason the trial court in Lynch v. Merrell-Nat’l Lab., 646 F. Supp. 856, 862 (D. Mass. 1986), \\textit{aff’d}, 830 F.2d 1190 (1st Cir.\n\none of general causation, and therefore, by definition, the identical issue is posed time after time. Substantive rationing of law is a response to being repeatedly presented with the same fact pattern and having to determine whether the correct outcome is liability or nonliability. As the following discussion illustrates, this phenomenon is not restricted to the law of torts.\n\nB. Substantive Rationing in the School Desegregation Cases\n\nIn the several cases leading up to *Brown v. Board of Education*,\\(^{367}\\) the Supreme Court ruled in favor of the plaintiffs in large part on the basis of a factual determination that the separate schools being run by the state were not equal.\\(^{368}\\) In the four cases comprising *Brown*, the plaintiffs presented social science testimony designed to prove that separate schools caused psychological harm to black children.\\(^{369}\\) Chief Justice Warren responded to this evidence with the following statement: \"Whatever may have been the extent of psychological knowledge at the time of *Plessy v. Ferguson*, this finding [that state mandated segregation has a tendency to retard the educational and mental development of black children] is amply supported by modern authority.\"\\(^{370}\\)\n\nDefendant school boards, however, continued to attack this factual assertion, arguing that separate may not be worse, educationally or psychologically. In this congregation of cases, as in the Bendectin Cases, the challenge soon fell on deaf ears. Appellate courts refused to hear experts on the issue, rejecting the testimony as a factual attack on *Brown*.\\(^{371}\\) One expert for a school district made the following comment in the face of this substantive rationing by the courts:\n\nThe legal doctrine is cast in concrete, and that's been one of my frustrations. It's as though the evidence is really immaterial . . . . I remember in one case I was talking with the judge from the witness box, and questioning some of the testimony in *Brown*. He asked me, \"Are\n\n\\(^{367}\\) 347 U.S. 483 (1954).\n\n\\(^{368}\\) See Sweatt v. Painter, 339 U.S. 629, 633-34 (1950); McLaurin v. Oklahoma State Regents, 339 U.S. 637, 640-41 (1950); Missouri ex rel. Gaines v. Canada, 305 U.S. 337, 351-52 (1938).\n\n\\(^{369}\\) Richard Kluger, *Simple Justice: The History of Brown v. Board of Education and Black America's Struggle for Equality* 315-45, 480-507, 700-47 (1976).\n\n\\(^{370}\\) *Brown*, 347 U.S. at 494.\n\n\\(^{371}\\) See, e.g., Jackson Mun. Sch. Dist. v. Evers, 357 F.2d 653, 655 (5th Cir. 1966); Stell v. Savannah-Chatham County Bd. Educ., 318 F.2d 425, 427 (5th Cir. 1963), cert. denied sub nom. Gibson v. Harris, 376 U.S. 908 (1964).\n\nyou questioning the facts of Brown?\" And I said \"Yes,\" and he said, \"Well, that's not admissible for you to be doing that.\"372\n\nAgain, of course, the parallel should not be overdrawn. Ultimately, in the school desegregation cases courts simply did not care whether segregated schools psychologically harmed or benefitted minority students. Presumably, in the Bendectin Cases the courts still care whether the drug causes birth defects. But in both situations, the rationing response of the courts must be understood, in part, as a natural consequence of the fact that they were adjudicating cases that came relatively late in a congregation of similar cases. In the school desegregation cases and in the Bendectin Cases, substantive rationing is the ultimate rationing weapon.\n\nVII. Conclusion: Case Congregations and the Interaction of Macro and Micro Processes\n\nThis Article began by noting Henderson and Eisenberg's assertion that all of products liability law is changing in a prodefendant direction and that the Bendectin opinions are an example of this process.373 Their data indicate that the single most important component in increased defense success in products liability cases is an increased ability to win on pretrial motion, a type of judicial rationing.374 Henderson and Eisenberg explicitly leave for a later article their thoughts as to why this \"quiet revolution\" is occurring.375 Implicit in their discussion, however, is the argument that large scale, macro changes are occurring within the law of torts, causing the judiciary to adopt a more prodefendant position.\n\nThis Article's micro level analysis, which attempts to explain case outcomes in terms of the internal dynamics of the Bendectin Cases as a congregation, can be viewed as a rival hypothesis to the thesis that the change in the courts' attitude toward Bendectin suits is to be understood as part of a larger judicial retreat from proplaintiff positions. From this perspective, the future research agenda should include efforts to determine whether what we have observed in the Bendectin Cases is merely a cohort effect (a difference to be found between all products liability cases decided in 1985 and all such cases decided in 1990), as opposed to a history effect (evidencing the maturation of the Bendectin congregation). In this sense, macro and micro explanations may be seen as rival hypotheses for the findings.\n\n372. Chesler et al., supra note 36, at 430.\n373. Henderson & Eisenberg, supra note 2, at 491.\n374. Id. at 531, 548.\n375. Id. at 482.\n\nThere is, however, another more useful perspective, one that integrates rather than divides. Macro research on large scale patterns of change that excludes an analysis of the micro processes that generate those patterns often leads to incomplete, disembodied theories of legal change.\\textsuperscript{376} Theories of micro processes enrich our theories of larger processes by placing them within the context of individual human action.\\textsuperscript{377}\n\nFrom this latter perspective, the present Article suggests that the large-scale change reported by Henderson and Eisenberg can be understood, at least in part, as a product of the growth of mass torts and the micro processes generated within individual congregations of cases. That mass torts have changed the law is now beyond doubt. As noted earlier, they have raised a new set of causal conundrums and forced us to engage in a new round of theorizing about the causal question.\\textsuperscript{378} They have raised new issues with respect to damages.\\textsuperscript{379} By causing growth in some parts of the tort caseload, they have helped precipitate another round of legislative \"tort reform.\"\\textsuperscript{380} They have reinvigorated the search for alternatives to the traditional tort system.\\textsuperscript{381} This Article suggests that they may also have influenced the judiciary's approach to tort law by creating incentives for both procedural and substantive rationing.\\textsuperscript{382}\n\nThe Bendectin Cases alone would not have such an effect, but mass torts in general have become the primary growth area of tort law, constituting an increasingly larger part of the total caseload.\\textsuperscript{383} Their importance in terms of the judicial time they consume is even greater than is suggested by their percentage of the overall caseload. Each mass tort is a\n\n\\textsuperscript{376}. Sanders, \\textit{supra} note 46, at 241.\n\n\\textsuperscript{377}. James Coleman, \\textit{Foundations of Social Theory} 18-23 (1990).\n\n\\textsuperscript{378}. See Rosenberg, \\textit{supra} note 215, at 855-59.\n\n\\textsuperscript{379}. Mark Peterson et al., \\textit{Punitive Damages: Empirical Findings} 5-31 (1987).\n\n\\textsuperscript{380}. Sanders & Joyce, \\textit{supra} note 89, at 212.\n\n\\textsuperscript{381}. See Stephen Sugarman, \\textit{Doing Away With Personal Injury Law} (1989) (surveying contemporary attempts to reform tort law and advancing several new proposals).\n\n\\textsuperscript{382}. The Fifth Circuit, home of \\textit{Brock}, has perhaps been most aggressive in applying substantive rationing to cases that are not part of a congregation. \\textit{See, e.g.}, Christophersen v. Allied Signal Corp., 902 F.2d 362 (5th Cir. 1990), aff'd en banc, 939 F.2d 1106 (5th Cir. 1991). In \\textit{Christophersen}, the Fifth Circuit affirmed the district court's grant of summary judgment for the defendant against a claim that the plaintiff had not been adequately warned of the cancer causing potential of chemicals and other materials used in the manufacture of nickel-cadmium batteries. The district court had granted summary judgment after reviewing the qualifications of plaintiff's sole expert witness and the factual basis of that expert's opinion on causation. \\textit{Id.} at 364.\n\n\\textsuperscript{383}. Galanter, \\textit{Life and Times of the Big Six}, \\textit{supra} note 242, at 937; Deborah Hensler, \\textit{Trends in Tort Litigation: Findings from the Institute for Civil Justice's Research}, 48 Ohio St. L.J. 479, 480-83, 495-96 (1987).\n\ncongregation, subject to similar pressures to ration legal resources.\\textsuperscript{384} Moreover, there are types of cases rarely thought of as mass torts that exhibit some, or even most, of the features of mass torts. Specifically, many products liability design defect cases, another growth area of tort law,\\textsuperscript{385} present the courts with the same problems: repetitive trial of similar facts; substantial consumption of time; and the likelihood of inconsistent jury verdicts.\\textsuperscript{386} These problems are part of the congregational effects that caused \"scientific\" opinions like \\textit{Richardson}, \\textit{Brock}, and \\textit{Ealy} to be written. In the Bendectin Cases, the problems have driven the judiciary to play an even more active role in rationing law than suggested by Galanter's congregation theory. Outcome stabilization has come not through the market forces of litigation but through the central planning of the federal judiciary.\n\nIn sum, this Article confirms the insights of Emerson and Galanter, that the analysis of litigation from a perspective other than that of the individual, atomized case offers us a new and better understanding of case processing and case outcomes. The Bendectin congregation does exhibit many of the features hypothesized by Galanter, and thereby demonstrates the value of this line of analysis. But it holds out the potential to do even more. The analysis of this and other congregations may provide a new window into the way in which, over time, individual decisions of lawyers and judges create fundamental shifts in the common law.\n\n\\textsuperscript{384}. The mass inoculation cases (DTP, Polio, and Swine Flu) provide one example. In these cases, courts became increasingly reluctant to allow cases to go to the jury. \\textit{E.g.}, Johnson v. American Cyanamid Co., 239 Kan. 279, 718 P.2d 1318 (1986) (trial court erred in submitting issue of polio vaccine manufacturer's liability to jury). Ultimately, legislative rationing occurred in the form of the National Childhood Vaccine Injury Act of 1986, 42 U.S.C. §§ 300aa-1 to -34 (1988).\n\n\\textsuperscript{385}. Design defect cases appear to have risen over time as a percentage of all products liability cases. \\textit{Compare} 3 INTERAGENCY TASK FORCE ON PRODUCT LIABILITY, U.S. DEP'T OF COMMERCE, PRODUCT LIABILITY: FINAL REPORT OF THE LEGAL STUDY 84-85 (1977) (reporting that 39% of all products liability cases were design defect cases) \\textit{with} ALLIANCE OF AM. INSURERS, A STUDY OF LARGE PRODUCT LIABILITY CLAIMS CLOSED IN 1985 (1985) (finding that defective design was the applicable theory in 75% of the cases).\n\n\\textsuperscript{386}. Products liability warning defect cases can also result in the repetitive trial of similar facts, with the attendant potential for inconsistent verdicts. In fact, some of the most important mass tort case congregations, such as asbestos and the polio vaccine, are litigated as warning defect cases. For a critique of this approach, see James A. Henderson & Aaron Twerski, \\textit{Doctrinal Collapse in Products Liability: The Empty Shell of Failure to Warn}, 65 N.Y.U. L. REV. 265 (1990). With respect to these and other warning cases, Henderson and Twerski \"urge that judges engage more aggressively in both lawmaking and law-applying.\" \\textit{Id.} at 326.\n\n## Appendix A\n\n### Tables\n\n#### Table 1\n**Bendectin Animal Studies**\n\n| Author | Year (1) | Animal | Exp/Con N (3) | Drug (4) | Effect? (5) | Defect Type (6) | Dose (7) | Dose Resp (8) | Auth Conc. (9) |\n|----------|----------|------------|---------------|----------|-------------|-----------------|----------|----------------|----------------|\n| 1. Gibson| 1968 | Rabbits | 36/13 | Do | No | — | (100) | No | No |\n| | | Rabbits | 22/10 | Di | No | — | (100) | No | No |\n| | | Rabbits | 38/14 | B3 | Yes | Othera | 6 | Yes | No |\n| | | Rats | 88/39 | Do | No | — | (100) | No | No |\n| | | Rats | 90/30 | Di | Yes | Otherb | 10 | No | No |\n| | | Rats | 36/24 | B3 | No | — | (30) | No | No |\n| 2. Khera | 1975 | Rats | 22/10 | Py | No | — | (80) | No | No |\n| 3. Gibson| 1975 | Rats | 45/15 | B2 | Yes | Otherc | 15 | No | No |\n| 4. Gibson| 1975 | Rabbits | 45/15 | B2 | No | — | (150) | No | No |\n| 5. McBride| 1981 | Chicken Eggs | 252/96 | Di | Yes | Otherd | — | Yes | Yes |\n| 6. Hendrickx (8)| 1982 | Monkeys | 12/0 | B2 | Yes | Heart | 7 | ? | Maybe |\n| 7. Hendrickx (9)| 1983 | Monkeys | 20/0 | B2 | Yes | Heart | 7 | ? | Maybe |\n| 8. McBride| 1984 | Rabbits | 48/8 | Do | Yes | Limb, Skeletal Heart | 20 | Yes | Yes |\n| 9. Hendrickx (11)| 1985a | Monkeys | 74/12 | B2 | Yes | — | 7 | No | Yes |\n| 10. Hendrickx (12)| 1985b | Monkeys | 69/21 | B2 | No | — | (13) | No | No |\n| 11. Tyl | 1988 | Rats | 116/53 | B2 | Yes | Skeletal Death | 200 | Yes | No |\n\n**Information Reported (by column number):**\n\n(1) Year in which the research was published.\n\n(2) Animals studied: white rats, rabbits, chicken eggs, or monkeys.\n\n(3) Number of mothers in the experimental and control groups.\n\n(4) Drug tested:\n - Di = dicyclomine hydrochloride\n - Do = doxylamine succinate\n - Py = pyridoxine hydrochloride\n - B2 = two ingredient Bendectin (doxylamine succinate and pyridoxine hydrochloride)\n - B3 = three ingredient Bendectin.\n\n(5) Did the use of the drug appear to be related to some teratogenic effect?\n\n(6) Type of effect: heart, limb, skeletal, death, other (see below).\n\n(7) Minimum dose at which effect was observed. Dosages are expressed in mg/kg/day except in study 3. Where there was no observed effect this column reports (in parentheses) the maximum dose rate in the experiment. For purposes of comparison, the therapeutic dose for pregnant women was 2 to 4 tablets a day, each tablet containing 10mg of each ingredient. The dose for a woman weighing 60kg (132 lbs.) taking 4 tablets per day is .67mg/kg/day per Bendectin ingredient. Unlike the rest of the studies, Study 5—the 1981 McBride Study—involved injecting dicyclomine hydrochloride (or a saline solution for the controls) into Leghorn chicken eggs.\n\n(8) Was there a dose-response relationship?\n\n(9) Author’s conclusion as to whether the drug tested has teratogenic effects?\n\n**Other Effects (Column 6):**\n- a. Contracted tendons.\n- b. Focal hematomas.\n- c. Kidney pelvic dilation, subcutaneous hematomas.\n- d. Gastroschisis, deformed foot, micromelia, encephaly.\n\n## Table 2\n\n**Bendectin Epidemiological Studies**\n\n| First Author | Year | Type of Study* | Focus on Bendectin | Level of Stat. Anal.† | Author's conclus. | Data Base‡ |\n|--------------|------|----------------|--------------------|-----------------------|------------------|------------|\n| 1. Le Vann | 1963 | Cohort | No | 1 | No | 24 |\n| 2. Bunde | 1963 | Cohort | Yes | 1 | No | 9 |\n| 3. Warneke | 1963 | Other | Yes | 1 | No | 27 |\n| 4. GPRG | 1963 | Cohort | No | 2 | No | 10 |\n| 5. Klees | 1964 | Other | Yes | 1 | No | 28 |\n| 6. Farrar | 1964 | Case | No | 2 | No | 23 |\n| 7. Yerushalmy| 1965 | Cohort | No | 2 | No | 6 |\n| 8. Banister | 1970 | Other | No | 1 | No | 25 |\n| 9. Nelson | 1971 | Case | No | 2 | No | 11 |\n| 10. Milkovitch| 1976 | Cohort | No | 3 | No | 6 |\n| 11. Newman | 1977 | Cohort | No | 1 | No | 20 |\n| 12. Shafaro | 1977 | Cohort | Yes | 5 | No | 1 |\n| 13. Greenberg| 1977 | Case | No | 1 | No | 15 |\n| 14. Smith | 1977 | Case | No | 1 | No | 25 |\n| 15. Smithells | 1978 | Cohort | Yes | 1 | No | 17 |\n| 16. Rothman | 1979 | Case | No | 3 | Maybe | 4 |\n| 17. Michaelis| 1980 | Cohort | Yes | 4 | No | 26 |\n| 18. Harron | 1980 | Other | Yes | 1 | No | 12 |\n| 19. Jick | 1981 | Cohort | No | 3 | No | 7 |\n| 20. Fleming | 1981 | Cohort | Yes | 3 | No | 13 |\n| 21. Clarke | 1981 | Case | Yes | 3 | No | 16 |\n| 22. Correy | 1981 | Cohort | Yes | 1 | No | 20 |\n| 23. Cordero | 1981 | Case | Yes | 4 | Maybe | 8 |\n| 24. Mitchell | 1981 | Case | Yes | 3 | No | 3 |\n| 25. Gibson | 1981 | Cohort | Yes | 5 | Maybe | 22 |\n| 26. Eskenazi | 1982 | Case | Yes | 5 | Maybe | 5 |\n| 27. David | 1982 | Other | Yes | 1 | No | 19 |\n| 28. Morelock | 1982 | Cohort | Yes | 4 | No | 2 |\n| 29. Golding | 1983 | Case | Yes | 4 | Maybe | 14 |\n| 30. Aselton | 1983 | Cohort | Yes | 4 | No | 7 |\n| 31. Michaelis| 1983 | Cohort | No | 3 | No | 26 |\n| 32. Mitchell | 1983 | Case | Yes | 4 | No | 3 |\n| 33. Aselton | 1984 | Cohort | Yes | 3 | Maybe | 7 |\n| 34. McCredie | 1984 | Case | Yes | 3 | No | 21 |\n| 35. Zierler | 1985 | Case | Yes | 4 | No | 4 |\n| 36. Elbourne | 1985 | Case | Yes | 4 | No | 18 |\n| 37. Aselton | 1985 | Cohort | No | 3 | No | 7 |\n| 38. Shitono | 1989 | Cohort | Yes | 3 | No | 1 |\n| 39. Erickson | 1991 | Case | No | 4 | No | 8 |\n\n*a.* Type of Study (Column 2):\n- Case = Case-Control study\n- Cohort = Cohort study\n- Other = A study that is neither of the above.\n\n*b.* Levels of Statistical Analysis (Column 4):\n- 1 = None\n- 2 = Chi-square only\n- 3 = Chi square and confidence interval\n- 4 = Chi-square, confidence interval and something additional but no regression analysis.\n- 5 = 3 or 4 plus a multiple regression analysis to control for co-variants.\n\n*c.* For an explanation of databases, see *infra* app. E.\n\nTable 3\nWhether or Not Studies Focus on Bendectin by Whether They Are Published Before 1980 or Later\n\n| Does the Study Focus on Bendectin? | Published Before 1980 | Published 1980 or Later |\n|-----------------------------------|-----------------------|-------------------------|\n| No | 11 (69%) | 4 (17%) |\n| Yes | 5 (31%) | 19 (83%) |\n| Total | 16 (100%) | 23 (100%) |\n\n$X^2 = 10.52, \\ df = 1, \\ p < .01, \\ N = 39$\n\nTable 4\nWhether or Not Studies Report More Than a Chi-Square by Whether They Are Published Before 1980 or Later\n\n| Does the Study Report More Than a Chi-Square? | Published Before 1980 | Published 1980 or Later |\n|-----------------------------------------------|-----------------------|-------------------------|\n| No | 13 (81%) | 3 (13%) |\n| Yes | 3 (19%) | 20 (87%) |\n| Total | 16 (100%) | 23 (100%) |\n\n$X^2 = 18.14, \\ df = 1, \\ p < .001, \\ N = 39.$\n\nTable 5\nBendectin Related Cases Filed in State and Federal Courts, 1977-1988\n\n| Year | State Courts | Federal Courts |\n|------------|--------------|----------------|\n| 1977-79 | 1 | 1 |\n| 1980 | 15 | 22 |\n| 1981 | 32 | 50 |\n| 1982 | 43 | 73 |\n| 1983 | 40 | 171 |\n| 1984 | 151 | 420 |\n| 1985 | 212 | 594 |\n| 1986 | 44 | 40 |\n| 1987-1988 | 20 | 23 |\n\nTable 6\nBendectin Trials, 1980-1991\n\n| Year | Number of Trials |\n|------|------------------|\n| 1980 | 1 |\n| 1981 | 1 |\n| 1982 | 0 |\n| 1983 | 1 |\n| 1984 | 0 |\n| 1985 | 2 |\n| 1986 | 8 |\n| 1987 | 11 |\n| 1988 | 3 |\n| 1989 | 0 |\n| 1990 | 2 |\n| 1991 | 1 |\n| Total| 30 |\n\n## Table 7\n### Trial Court Cases on Bendectin\n\n| Name | Year Pub? | Verdict | Issue | Jury | Proc or Sub? | If motion, mover? | Winner | Final Disposition | Type |\n|---------------|-----------|---------|-------|------|--------------|-------------------|--------|-------------------|------------|\n| Alexander | 1982 | Yes | No | 1, 0a | P | Both | P | N | Several |\n| MDL (JPML) | 1982 | Yes | No | 14 | P | — | — | N | Several |\n| Lake | 1982 | Yes | No | 1 | P | D | P | N | ? |\n| MDL (Ohio) | 1982 | Yes | No | 1b | P | D | D | Y | Several |\n| Koller | 1983 | No | No | 4(10)| S | D | P | N | Limb |\n| MDL (Ohio) | 1983 | Yes | No | 0c | P | P | P | N | Several |\n| MDL (JPML) | 1984 | Yes | No | 14 | P | D | P | N | Several |\n| MDL (Ohio) | 1984 | Yes | No | 0d | P | D | D | N | Several |\n| MDL (JPML) | 1984 | Yes | No | 14 | P | D | P | N | Several |\n| MDL (JPML) | 1985 | Yes | No | 14 | P | — | — | N | Several |\n| MDL (Ohio) | 1985 | Yes | Yes(D)| 6 | S | P | D | Y | Several |\n| MDL (Ohio) | 1985 | No | No | 0e | P | — | — | N | Several |\n| Ramirez | 1985 | No | No | 0f | P | P | D | N | Limb |\n| MDL (Ohio) | 1986 | No | No | 14 | P | D | P | N | Limb |\n| Ramierz | 1986 | Yes | No | 7 | S | D | D | Y | Limb |\n| MDL (Mich) | 1986 | No | No | 13 | S | D | P | N | Several |\n| Heath | 1986 | Yes | No | 0g | S | D | D | Y | Several |\n| Hagaman | 1986 | No | No | 12 | P | D | P | N | ? |\n| Lanzilotti | 1986 | No | Hung | 5(9 & 10) | S | D | P | N | Limb,blind|\n| Raynor | 1986 | Yes | No | 15b | S | Both | D | N | Limb |\n| Will | 1986 | No | Yes(D)| 6 | S | P | D | Y | Limb |\n| Ramirez | 1986 | Yes | No | 4(10)| S | D | P | N | Limb |\n| Lynch | 1986 | Yes | No | 13,10| S | D | D | Y | Congenital|\n| Richardson | 1986 | Yes | Yes(P)| 6 | S | D | D | Y | Limb |\n| Bohrer | 1987 | Yes | No | 0 | P | D | P | N | ? |\n| Whelan | 1987 | Yes | No | 0h | S | D | D | N | ? |\n| Raynor | 1987 | No | No | 0i | P | D | D | N | Limb |\n| Rosen | 1987 | Yes | Yes(D)| 0j | P | P | P | N | Heart |\n| McFeggan | 1987 | No | No | 2k | P | P | P | N | ? |\n| Coyle | 1987 | Yes | No | 7 | S | D | D | Y | Limb |\n| Engel | 1987 | No | No | 8 | S | D | D | Y | Intestine |\n| Shelhamer | 1987 | No | No | 2m | P | P | P | N | ? |\n| Hagaman | 1987 | No | No | 0n | Pe&S | D | Both | N | ? |\n| Rosen | 1987 | Yes | Yes(D)| 6 | S | P | D | Y | Heart |\n| Ealy | 1987 | No | No | 0o | P | D | P | N | ? |\n| Rosen | 1987 | No | Yes(D)| 6p | S | P | D | Y | Heart |\n| Ealy | 1987 | No | Yes(P)| 6 | S | D | P | Y | Limb |\n| Hagaman | 1987 | No | No | 4q | S | D | P | N | ? |\n| Monahan | 1987 | No | No | 4 | S | D | D | Y | Limb |\n| St. Amand | 1988 | Yes | No | 0r | P | D | D | N | Multiple |\n| Hagaman | 1988 | No | No | 12 | P | D | P | N | ? |\n| Bernhardt | 1988 | Yes | No | 4(9) | S | D | D | Y | Limb |\n| Ealy | 1988 | Yes | No | 0 | P | D | — | Y | Limb |\n| Vines | 1988 | No | No | 4s | S | D | D | Y | Limb |\n| Hagen | 1988 | Yes | No | 4 | S | D | Botht | N | Limb |\n| Vines | 1988 | No | No | 4u | S | P | D | Y | Limb |\n| Hull | 1988 | Yes | No | 4(9 & 10) | S | D | D | Y | Limb |\n| Daubert | 1989 | Yes | No | 4(10)| S | D | P | N | Limb |\n| Ambrosini | 1989 | No | No | 4(10)| S | D | D | Y | Limb |\n| Cudarian | 1989 | Yes | No | 4(9) | S | D | D | Y | Spinal |\n| Daubert | 1989 | Yes | No | 4(10)v | S | D | D | Y | Limb |\n| MDL (Mich) | 1990 | Yes | No | 4(10 & 13) | S | D | P | N | Multiple |\n| Turpin | 1990 | Yes | No | 4(10 & 11) | S | D | D | Y | Limb |\n| Longmore | 1990 | Yes | No | 4(10) | S | D | P | N | Limb |\n\nTable 7 (Continued)\n\n| | | | | | | | |\n|---|---|---|---|---|---|---|---|\n| 55. Barton | 1990 | No | Hung | 5(10) | S | D | Y | Limb |\n| 56. DeLuca | 1990 | No | No | 4(10 & 11) | S | D | D | Y | Limb |\n| 57. Whelan | 1990 | No | No | 4(11) | S | D | D | Y | ? |\n| 58. Lee | 1991 | Yes | No | 4(11) | S | D | D | Y | Limb |\n\nIssues (Column 4):\n(0) = Other\n(1) = Forum non conveniens\n(2) = Personal jurisdiction\n(3) = Complaint fails to state a cause of action (Note—this might be one of several causes of action.)\n(4) = Summary Judgment\n(5) = Directed Verdict\n(6) = JNOV/New Trial\n(7) = Dismissal of pharmacist or physician defendant\n(8) = Statute of Limitations\n(9) = Specific causation—timing of ingestion\n(10) = Failure to prove general causation by a preponderance of the evidence\n(11) = Failure to present any qualified expert at trial on the general causation question, summary judgment (this is case 22,30)\n(12) = Motion for bifurcation, trifurcation\n(13) = Collateral Estoppel\n(14) = Transfer of cases in and out of consolidated litigation\n(15) = Multiple\n\nNOTE: Codes written like 4(10) indicate the type of ruling and the reason why that ruling was made; thus, in the example, a summary judgment was granted or denied based on an argument that the plaintiffs had failed to prove general causation.\n\nParticularities of Posture (Column 4 superscript annotations):\na. Request to transfer Ohio location of Merrell.\nb. Declares U.S. courts forum non conveniens for British claimants and others who survived a similar motion in Alexander (I).\nc. Discovery allowed from Merrell companies abroad.\nd. Class certification.\ne. Lead counsel asking for money for discovery materials.\nf. Plaintiffs move to return to state court because Defendant's petition for removal was tardy.\ng. Suit by military personnel against government barred.\nh. Plaintiff moves for offensive collateral estoppel on causation question/loses; Defendant pharmacy moves to dismiss/ wins; Defendant Merrell moves for summary judgment on punitive damages and fraud count/wins.\ni. Defense motion to allow statistical evidence in only if it is statistically significant (.05%) granted.\nj. Quashed deposition.\nk. Motion by Plaintiff to examine notes of a juror after verdict for Defendant.\nl. Plaintiff's motion to remand to state court granted. Defendant claims Plaintiff added pharmacies to destroy complete diversity, and Defendant argues this was done without hope of recovery against them.\nm. Mother's derivate action time barred.\nn. Defendant makes 8 pretrial motions: (1) Exclusion of Thalidomide—denied with caution; (2) inadmissibility of early Jinks' epidemiology studies later repudiated by Jinks in print in JAMA—denied with caution; (3) warning on UNISOM (which has doxylamine) not to be used by pregnant women—denied; (4) admissibility of published epidemiological studies—denied in advance of testimony showing their relevance and probativeness; (5) exclusion of other Bendectin related birth defects—denied; (6) exclusion of DERs and In vitro studies—sustained as to DERs not rat studies; (7) exclusion of deposition on Burde-Bower—sustained as it isn't used by Defendant; and (8) exclusion of evidence on the cessation of bendectin production—sustained.\no. Objection to way jury was selected.\np. Motion to reconsider denial of new trial. Court now allows Plaintiff to photocopy jury notes and examine them further.\nq. Motion by Defendant for summary judgment on punitive damages and fraud claim.\nr. Defense motion to discover mother's medical records—sustained.\ns. No evidence mother ever took Bendectin—25 years before filing suit.\nt. Defendant asks for summary judgment—sustained as to punitive damages, but not as to causation.\nu. Motion to reconsider summary judgment rejected.\nv. This opinion granted defendant a summary judgment in Daubert and Schuller v. Merrell Dow.\n\n### Table 8\n\n**Appellate Cases on Bendectin**\n\n| Name | Year (1) | Trial Below (2) | Issue (3) | Appellant (4) | Winner on Appeal (5) | Final Disposition at This Level (6) |\n|---------------|----------|-----------------|-----------|----------------|-----------------------|-------------------------------------|\n| Mekdeci | 1983 | Yes | — | P | D | No |\n| Albertson | 1983 | No | 3 | P | P | No |\n| Dowling | 1984 | No | 1 | P | D | Yes |\n| Koller | 1984 | No | 9 | D | P | No |\n| MDL (Ohio) | 1984 | No | 9 | — | — | No |\n| Koller | 1985 | No | 9 | D | D | No |\n| L. Thompson | 1985 | No | 2 | P | P | No |\n| Watson | 1985 | No | 1 | P | D | Yes |\n| Oxendine | 1986 | Yes | — | D | P | Yes |\n| L. Thompson | 1986 | No | 1 & 2 | P | D | Yes |\n| Dralle | 1986 | No | 3 | P | P | No |\n| Chambers | 1986 | No | 1 | P | D | Yes |\n| Makripodis | 1987 | No | 4 | P | D | No |\n| Urland | 1987 | No | 5 | P | D | Yes |\n| Lynch | 1987 | No | 7 | P | D | Yes |\n| Chambers | 1988 | No | 1 | P | D | Yes |\n| Coyle | 1988 | No | 4 | P | D | Yes |\n| Dralle | 1988 | No | 3 | P | D | No |\n| Martin | 1988 | No | 6 | P | D | Yes |\n| MDL (Ohio) | 1988 | Yes | — | P | D | Yes |\n| Richardson | 1988 | Yes | — | P | D | Yes |\n| J. Thompson | 1988 | No | 8 | P | D | Yes |\n| Brock | 1989 | Yes | — | D | D | Yes |\n| Coggrove | 1989 | Yes | — | P | D | Yes |\n| Blum | 1989 | Yes | — | D | D | No |\n| Oxendine | 1989 | No | 7 & 8 | D | P | Yes |\n| Vines | 1989 | No | 6 | P | D | Yes |\n| Wilson | 1990 | Yes | — | P | D | Yes |\n| Bernhardt | 1990 | No | 6 | P | D | Yes |\n| Ealy | 1990 | Yes | — | D | D | Yes |\n| Herring | 1990 | No | 9 | P | D | Yes |\n| Obiago | 1990 | No | 6 & 8 | P | D | Yes |\n| DeLuca | 1990 | No | 8 | P | P | No |\n| Coyle | 1991 | No | 4 | P | D | Yes |\n| Ambrosini | 1991 | No | 7 & 8 | P | D | Yes |\n| Oxendine | 1991 | Yes | 9 | D | D | No |\n\n**Issue on Appeal (Column 4):**\n(1) = Forum non conveniens \n(2) = Federal jurisdiction \n(3) = Complaint fails to state a cause of action. *(Note—this might be one of several causes of action.)* \n(4) = Dismissal of pharmacist or physician defendant \n(5) = Statute of Limitations \n(6) = Specific causation—timing of ingestion \n(7) = Failure to prove general causation by a preponderance of the evidence \n(8) = Failure to present any qualified expert at trial on the general causation question, summary judgment (this is case 22,30) \n(9) = Other\n\nTable 9\nAppellate Cases Reviewing a Jury Verdict Below\n(Numbers in parentheses are the number of the case in Table 8)\n\n| Year (1) | Type of Injury (2) | Jury Verdict (3) | Trial Judge (4) | App. Ct. Holding (5) | App. Ct. Orientation (6) |\n|----------|-------------------|------------------|-----------------|----------------------|-------------------------|\n| 1. (1) | Limb Defect | Plaintiff | New Trial | Affirm | Legalistic |\n| 2. (9) | Limb Defect | Plaintiff | JNOV | Reversed & Remanded (verdict reinstated) | Legalistic |\n| 3. (20) | Various | Defense (general causation) | Entered Judgment on Verdict | Affirmed | Legalistic |\n| 4. (21) | Limb Defect | Plaintiff | JNOV | Affirmed | Scientific |\n| 5. (23) | Limb Defect | Plaintiff | Entered Judgment on Verdict | Reversed & Rendered | Scientific |\n| 6. (24) | Limb Defect | Defense | Entered Judgment on Verdict | Affirmed | Legalistic |\n| 7. (25) | Limb Defect | Plaintiff | Entered Judgment on Verdict | Reversed | Legalistic (11 jurors) |\n| 8. (28) | Limb Defect | Defense | Entered Judgment on Verdict | Affirmed | Legalistic |\n| 9. (30) | Limb Defect | Plaintiff | Entered Judgment on Verdict | Reversed Remanded ordering a JNOV | Legal/Scientific |\n\n* = After MDL\n\nAppendix B\n\nIn Vitro Studies Bibliography\n\nJ.D. Budroe et al., *A Study of the Potential Genotoxicity of Methapyrilene and Related Antihistamines Using the Hepatocyte/DNA Repair Assay*, 135 MUTATION RES. 131 (1984).\n\nM. Guntakatta et al., *Development of a Mouse Embryo Limb Bud Cell Culture System for the Estimation of Chemical Teratogenic Potential*, 4 TERATOGENESIS, CARCINOGENESIS, & MUTAGENESIS 349 (1984).\n\nJ.R. Hassell & E.A. Horigan, *Chondrogenesis: A Model Developmental System for Measuring Teratogenic Potential of Compounds*, 2 TERATATOGENESIS, CARCINOGENESIS, & MUTAGENESIS 325 (1982).\n\nS. A. Newman, *Lineage and Pattern in the Developing Vertebrate Limb*, 4 TRENDS GENETICS 329 (1989).\n\nJ.Y. Renault et al., *Limb Bud Cell Culture for In Vitro Teratogen Screening: Validation of an Improved Assessment Method Using 51 Compounds*, 9 TERATOGENESIS, CARCINOGENESIS, & MUTAGENESIS 83 (1989).\n\nL.G. Roberts et al., *Embryo-Maternal Distribution of Basic Compounds in the CD-1 Mouse: Doxylamine and Nicotine*, 97 TOXICOLOGY & APPLIED PHARMACOLOGY 134.\n\nAppendix C\n\nIn Vivo Studies Bibliography\n\n(Numbers in parentheses at the end of each citation refer to the order of the studies in Table 1)\n\nJ.P. Gibson et al., Teratology and Reproduction Studies with an Antinauseant, 13 TERATOLOGY & APPLIED PHARMACOLOGY 439 (1968). (1)\nJohn Gibson, Teratology Study with a New Antinauseant Formulation in Rabbits, Project Report T-75-12 (4), Dep't of Pathology and Toxicology, Merrell-Nat'l Lab. Div. of Richardson-Merrell, Inc. Cincinnati, Ohio. (1975) (unpublished study) (on file with author). (4)\nJohn Gibson, Teratology Study With a New Antinauseant Formulation in Rats, Project Report T-75-13, Dep't of Pathology and Toxicology, Merrell-Nat'l Lab. Div. of Richardson-Merrell, Inc. Cincinnati, Ohio. (1975) (unpublished study) (on file with author). (3)\nA.G. Hendrickx et al., Evaluation of Bendectin Embryotoxicity in Non-human Primates: Double-Blind Study in Cynomolgus Monkeys, 32 TERATOLOGY 191 (1985). (10)\nA.G. Hendrickx et al., Evaluation of Bendectin Embryotoxicity in Non-human Primates: Ventricular Septal Defects in Prenatal Macaques and Baboon, 32 TERATOLOGY 179 (1985). (9)\nA.G. Hendrickx et al., Embryotoxicity Studies on Bendectin in Cynomolgus Monkeys (Macaca Fascicularis) (Abstract), 25 TERATOLOGY 47 (1982). (6)\nA.G. Hendrickx et al., Cardiac Embryotoxicity Studies on Bendectin in Macaques (Abstract), 27 TERATOLOGY 49 (1983). (7)\nK.S. Khera, Teratogenicity Study in Rats Given High Doses of Pyridoxine (Vitamin B6) During Organogenesis, 31 EXPERENTIA 469 (1975). (2)\nW.G. McBride, The Effects of Dicyclomine Hydroxochloride on the Development of the Chick Embryo, 9 IRCS MED. SCI. 471. (1981), Merrell & Co. Studies (1971). (5)\nW.G. McBride, Teratogenic Effect of Doxylamine Succinate in New Zealand White Rabbits, 12 IRCS MED. SCI. 536 (1984). (8)\nR.W. Tyl et al., Developmental Toxicity Evaluation of Bendectin in CD Rats, 37 TERATOLOGY 539 (1988). (11)\n\nAppendix D\nEpidemiological Studies Bibliography\n\n(Numbers in parentheses at the end of each citation refer to the order of the studies in Table 2)\n\nPamela Aselton & Hershel Jick, *Additional Follow-Up of Congenital Limb Disorders in Relation to Bendectin Use*, 250 JAMA 33 (1983). (30)\nPamela Aselton et al., *Pyloric Stenosis and Maternal Bendectin Exposure*, 120 AM. J. EPIDEMIOLOGY 251 (1984). (33)\nPamela Aselton et al., *First-Trimester Drug Use and Congenital Disorders*, 65 OBSTETRICS & GYNECOLOGY 451 (1985). (37)\nPhilip Banister, *Congenital Malformations: Preliminary Report of an Investigation of Reduction Deformities of the Limbs, Triggered by a Pilot Surveillance System*, 103 CAN. MED. ASS'N J. 4466 (1970). (8)\nCarl Bunde & D.M. Bowles, *A Technique for Controlled Survey of Case Records*, 5 CURRENT THERAPEUTIC RES. 245 (1963). (2)\nMichael Clarke & David Clayton, *Safety of Debendox*, LANCET, March 21, 1981, at 659. (21)\nJose Cordero et al., *Is Bendectin a Teratogen?*, 245 JAMA 2307 (1981). (23)\nJ.F. Correy & N.M. Newman, *Debendox and Limb Reduction Deformities*, 1981 MED. J. AUSTL. 417 (1981). (22)\nT.J. David, *Debendox Does Not Cause the Poland Anomaly*, 57 ARCH. DIS. CHILD 479 (1982). (27)\nDiana Elbourne et al., *Debendox Revisited*, 92 BRIT. J. OBSTETRICS & GYNAECOLOGY 780 (1985). (36)\nDavid J. Erickson, *Risk Factors for Birth Defects: Data from the Atlanta Birth Defects Case-Control Study*, 43 TERATOLOGY 41 (1991). (39)\nBrenda Eskenazi & Michael Bracken, *Bendectin (Debendox) As a Risk Factor for Pyloric Stenosis*, 144 AM. J. OBSTETRICS & GYNECOLOGY 919 (1982). (26)\nJ.F. Farrar & I.J. Mackie, *A Survey of Possible Causes of Congenital Malformation*, 2 MED. J. AUSTL. 793 (1964). (6)\nD.M. Fleming et al., *Debendox in Early Pregnancy and Fetal Malformation*, 283 BRIT. MED. J. 99 (1981). (20)\nGeneral Practitioner Research Group, *General Practitioner Clinical Trials: Drugs in Pregnancy Survey*, 191 PRACTITIONER 775 (1963). (4)\n\nG.T. Gibson et al., *Congenital Anomalies in Relation to the Use of Doxylamine/Dicyclomine and Other Antenatal Factors: An Ongoing Prospective Study*, 1981 *Med. J. Austl.* 410 (1981). (25)\n\nJ.S. Golding et al., *Maternal Anti-Nauseants and Clefts of Lip and Palate*, 1983 *Hum. Toxicology* 63 (1983). (29)\n\nG. Greenberg et al., *Maternal Drug Histories and Congenital Abnormalities*, 1977 *Brit. Med. J.* 853 (1977). (13)\n\nD.W.G. Harron et al., *Debendox and Congenital Malformations in Northern Ireland*, 281 *Brit. Med. J.* 1379 (1980). (18)\n\nHershel Jick et al., *First-Trimester Drug Use and Congenital Disorders*, 246 *JAMA* 343 (1981). (19)\n\nE. Klee, *Early Pregnancy Toxicosis Treated with Lenotan*, 44 *Med. Welt* 204 (1964). (5)\n\nL.J. le Vann, *Congenital Abnormalities in Children Born in Alberta During 1961: A Survey and a Hypothesis*, 89 *Can. Med. Ass'n J.* 120 (1963). (1)\n\nJanet McCredie et al., *Doxylamine/Dicyclomine/Pyridoxine and Congenital Limb Defects*, 140 *Med. J. Austl.* 525 (1984). (34)\n\nJ. Michaelis et al., *Teratogene Effekte von Lenotan? (Does Lenotan Have Teratogenic Effects?)*, 23 *Dtsh. Arzt.* 1527 (1980). (17)\n\nJ. H. Michaelis et al., *Prospective Study of Suspected Associations Between Certain Drugs Administered During Early Pregnancy and Congenital Malformations*, 27 *Teratology* 57 (1983). (31)\n\nLucille Milkovich & Bea van den Berg, *An Evaluation of the Teratogenicity of Certain Antinauseant Drugs*, 125 *Am. J. Obstetrics & Gynecology* 244 (1976). (10)\n\nAllen Mitchell et al., *Birth Defects Related to Bendectin Use in Pregnancy: I. Oral Clefts and Cardiac Defects*, 245 *JAMA* 2311 (1981). (24)\n\nAllen Mitchell et al., *Birth Defects in Relation to Bendectin Use in Pregnancy: II. Pyloric Stenosis*, 147 *Am. J. Obstetrics & Gynecology* 737 (1983). (32)\n\nSuzette Morelock et al., *Bendectin and Fetal Development: A Study at Boston City Hospital*, 142 *Am. J. Obstetrics & Gynecology* 209 (1982). (28)\n\nMatilda Nelson & John Forfar, *Associations Between Drugs Administered During Pregnancy and Congenital Abnormalities of the Fetus*, 1971 *Brit. Med. J.* 523 (1971). (9)\n\nN.M. Newman et al., *A Survey of Congenital Abnormalities and Drugs in a Private Practice*, 17 Austl. N.Z. J. Obstetrics & Gynecology 156 (1977). (11)\n\nKenneth Rothman et al., *Exogenous Hormones and Other Drug Exposures of Children with Congenital Heart Disease*, 109 Am. J. Epidemiology 433 (1979). (16)\n\nSamuel Shapiro et al., *Antenatal Exposure to Doxylamine Succinate and Dicyclomine Hydrochloride (Bendectin) in Relation to Congenital Malformations, Perinatal Mortality Rate, Birth Weight, and Intelligence Quotient Score*, 128 Am. J. Obstetrics & Gynecology 480 (1977). (12)\n\nPatricia Shiono & Mark Klebanoff, *Bendectin and Human Congenital Malformations*, 40 Teratology 151 (1989); Erratum 41 Teratology 250 (1990). (38)\n\nS.O. Smith et al., *An Epidemiological Study of Congenital Reductions and Deformities of the Limbs*, 31 Brit. J. Preventive & Soc. Med. 39 (1977). (14)\n\nRichard Smithells & Sheila Sheppard, *Teratogenicity Testing in Humans: A Method Demonstrating Safety of Bendectin*, 17 Teratology 31 (1978). (15)\n\nG. Warneke, *Die Behandlung des Schwangerschaftsverbrechens mit Lenotan (The Treatment of Vomiting in Pregnancy with Lenotan)*, 17 Med. Mschr. 691 (1963). (3)\n\nJ. Yerushalmy & Lucille Milkovich, *Evaluation of the Teratogenic Effect of Meclizine in Man*, 93 Am. J. Obstetrics & Gynecology 553 (1965). (7)\n\nSally Zierler & Kenneth Rothman, *Congenital Heart Disease in Relation to Maternal Use of Bendectin and Other Drugs in Early Pregnancy*, 313 New Eng. J. Med. 347 (1985). (35)\n\nAppendix E\nData Base List\n\nThe number preceding each data base corresponds with the number appearing in Column 6 of Table 2. The numbers in parentheses at the end of each data base reference refer to the number of the study using this database as it appears in Table 2. For example, data base number 1 was used by studies 12 (Shapiro) and 38 (Shiono).\n\nUnited States\n\n1. Collaborative Perinatal Project, 50,282 child pairs from 12 hospitals throughout the United States. (12), (38)\n\n2. Boston City Hospital, 3222 eligible mothers. February 1977 through October 1979. (28)\n\n3. Boston University School of Medicine and Harvard Medical School case control study. Drawn from 22 participating centers in 3 regions: (1) Boston (initiated in March 1976); (2) Pennsylvania (March 1977); and (3) Toronto (January 1979). 1565 malformed infants. (24), (32)\n\n4. Harvard School of Health, Department of Epidemiology. Subjects chosen from all residents of Massachusetts born alive with severe congenital heart disease and with controls randomly selected from all available birth certificates filed with the Massachusetts Division of Health Statistics. (16) (between 1973 and 1985), (35) (between April 1, 1980 and March 31, 1983).\n\n5. John B. Pierce Foundation Laboratory and the Departments of Epidemiology and Public Health and Obstetrics and Gynecology, Yale University School of Medicine. (Mothers of infants from 5 urban hospitals in central Connecticut—between November 18, 1974 and November 17, 1976). (26)\n\n6. Northern California Kaiser Permanent Birth Defects Study (Patients from Kaiser Health Plan—also called Child Health and Developmental Studies (CHDS), 1974 to 1977. (7), (10)\n\n7. Group Health Cooperative of Puget Sound (GHC-PS) (subjects were patients in Seattle). Data put on computer files by the Commission on Professional and Hospital Activities-Professional Activity Study (CPHA-PAS) in Michigan. (19), (30), (33), (37)\n\n8. Metropolitan Atlanta Congenital Defects Program (MACDP) survey of birth defects “since 1967” from hospitals within the 5 central counties of the metropolitan Atlanta area. (23), (39)\n\n9. Merrell Department of Medical Research. 18 groups (21 physicians) from California, Colorado, Illinois, Ohio, Pennsylvania, Ontario, and Quebec. (2)\n\n**United Kingdom**\n\n10. General Practitioners Research Group, patients of physician members in U.K. (4)\n11. University of Edinburgh Department on Child Life and Health, Edinburgh Scotland. (9)\n12. *The Annual Report of the Registrar General (Northern Ireland)*, 1966-1973, and *Health and Personal Social Services Statistics, for Northern Ireland*, 1974-1976. (18)\n13. Birmingham Research Unit of the Royal College of General Practitioners, Birmingham. 22,977 women (14,684 in Scotland and 8293 in England), 620 of whom were Debendox exposed. (20)\n14. *The Oxford Record Linkage Study*. Infants delivered between 1965 and 1974 to women in Oxfordshire and West Berkshire. (29)\n15. The Office of Population Consensus & Surveys (OPCS) pilot study (London). (13)\n16. University of Leicestershire. 40,000 perinatal births in Leicestershire. (21)\n17. University of Leeds. Scan of RX records from Leeds and Liverpool. (15)\n18. *Cardiff Births Survey (CBS)*, (Cardiff and Aberdeen), 86,283 births between 1965 and 1979. (36)\n19. Reported cases of Poland Anomaly in Britain between 1890 and 1977. (27)\n\n**Australia**\n\n20. University of Tasmania, Department of Obstetrics and Gynaecology. All deliveries in Tasmania. (11) (from 1953 to 1975), (22) (from 1975 to 1980).\n21. Infants born alive in New South Wales or the Australian Capital Territory between 1970 and 1981. (34)\n22. Queen Victoria Research Foundation. Patients attending Queen Victoria Hospitals in Adelaide, Australia “since 1975.” (25)\n23. Sutherland District Hospital, Carinbaugh, Australia. Eleven mothers whose babies were abnormal and were born in September and October, 1961 and 98 similarly situated mothers with normal babies. (6)\n\nCanada\n\n24. University of Alberta. 33,874 births in Alberta in 1961. (1)\n\n25. Pilot Surveillance System-Department of National Health and Welfare, Ottawa Ontario, Births in 4 Canadian Provinces (New Brunswick, Alberta, Manitoba, and British Columbia) were surveyed. (8), (14)\n\nGermany\n\n26. DFG Study, 21 hospitals in West Germany. (17), (31)\n\n27. 94 women with emesis gravidarum (nausea in pregnancy). (3)\n\nNot Certain\n\n28. Klee's Study, 30 cases of hypermises gravidum. (5)\n\nAppendix F\nDistrict Court Opinions\n\n(Numbers in parentheses at the end of each citation refer to the order of the cases in Table 7)\n\nAlexander v. Richardson-Merrell, Inc., 541 F. Supp. 93 (S.D.N.Y. 1982). (1)\nAmbrosini v. Richardson-Merrell, Inc., No. 84-3483, 1989 U.S. Dist. LEXIS 8036 (D.D.C. July 12, 1989). (49)\nBarton v. Richardson-Merrell, Inc., No. C85-0028J, 1990 U.S. Dist. LEXIS 8010 (D. Utah, May 31, 1990). (55)\nBernhardt v. Richardson-Merrell, Inc., 723 F. Supp. 1188 (N.D. Miss. 1988), aff'd, 892 F.2d 440 (5th Cir. 1990). (42)\nBohrer v. Merrell Dow Pharmaceuticals, Inc. 122 F.R.D. 217 (D.N.D. 1987). (25)\nCadarian v. Merrell Dow Pharmaceuticals, Inc., 745 F. Supp. 409 (E.D. Mich. 1989). (50)\nCoyle v. Richardson-Merrell, Inc., 15 Phila. 389 (Common Pleas Ct. of Phila., 1987). (30)\nDaubert v. Merrell Dow Pharmaceuticals, Inc., 711 F. Supp. 546 (S.D. Cal. 1989). (48)\nDaubert v. Merrell Dow Pharmaceuticals, Inc., 727 F. Supp. 570 (S.D. Cal. 1989). (51)\nDeLuca v. Merrell Dow Pharmaceuticals, 131 F.R.D. 71 (D.N.J., rev'd, 911 F.2d 941 (3d Cir. 1990). (56)\nEaly v. Richardson-Merrell, Inc., No. 83-3504, 1987 WL 15512 (D.D.C. 1987). (35)\nEaly v. Richardson-Merrell, Inc., No. 83-3504, 1987 WL 18743 (D.D.C. Oct. 1, 1987), rev'd, 897 F.2d 1159 (D.C. Cir.), cert. denied, 111 S. Ct. 370 (1990). (37)\nEaly v. Richardson-Merrell, Inc., No. 83-3504, 1988 WL 64933 (D.D.C. June 13, 1988). (43)\nEngel v. Merrell Dow Pharmaceuticals, Inc., No. CIV-83-1189E, 1987 WL 4769 (W.D.N.Y. Apr. 20, 1987). (31)\nHagaman v. Merrell Dow Pharmaceuticals, Inc., No. 84-2202-S, slip op. (D. Kan. July 1, 1986) (LEXIS, Genfed library, Dist file). (18)\nHagaman v. Merrell Dow Pharmaceuticals, Inc., No. 84-2202-S, 1987 U.S. Dist. LEXIS 6124 (D. Kan. June 26, 1987). (33)\n\nHagaman v. Merrell Dow Pharmaceuticals, Inc., No. 84-2202-S, 1987 U.S. Dist. LEXIS 12184 (D. Kan. Dec. 2, 1987). (38)\n\nHagaman v. Merrell Dow Pharmaceuticals, Inc., No. 84-2202-S, 1988 U.S. Dist. LEXIS 4233 (D. Kan. Apr. 8, 1988). (41)\n\nHagen v. Richardson-Merrell, Inc., 697 F. Supp. 334 (N.D. Ill. 1988). (45)\n\nHeath v. United States, 633 F. Supp. 1340 (E.D. Cal. 1986). (17)\n\nHull v. Merrell Dow Pharmaceuticals, Inc., 700 F. Supp. 28 (S.D. Fla. 1988). (47)\n\n*In re* Richardson-Merrell, Inc. (MDL #486), 533 F. Supp. 489 (J.P.M.L. 1982). (2)\n\n*In re* Richardson-Merrell, Inc. (MDL #486), 545 F. Supp. 1130 (S.D. Ohio 1982), *aff'd sub nom.* Dowling v. Richardson-Merrell, Inc., 727 F.2d 608 (6th Cir. 1984). (4)\n\n*In re* Richardson-Merrell, Inc. (MDL #486), 97 F.R.D. 481 (S.D. Ohio 1983). (6)\n\n*In re* Richardson-Merrell, Inc. (MDL #486), 582 F. Supp. 890 (J.P.M.L. 1984). (7)\n\n*In re* \"Bendectin\" Prods. Liab. Litig. (MDL #486), 102 F.R.D. 239 (S.D. Ohio 1984). (8)\n\n*In re* Richardson-Merrell, Inc. (MDL #486), 588 F. Supp. 1448 (J.P.M.L. 1984). (9)\n\n*In re* Richardson-Merrell, Inc. (MDL #486), 606 F. Supp. 715 (J.P.M.L. 1985). (10)\n\n*In re* Richardson-Merrell, Inc. (MDL #486), 624 F. Supp. 1212 (S.D. Ohio 1985), *aff'd sub nom.* *In re* Bendectin Litig., 857 F.2d 290 (6th Cir. 1988), *cert denied*, 488 U.S. 1006 (1989). (11)\n\n*In re* Richardson-Merrell, Inc. (MDL #486), slip op. (S.D. Ohio Oct. 17, 1985) (LEXIS, Genfed library, Dist file). (12)\n\n*In re* Richardson-Merrell, Inc. (MDL #486), slip op. (S.D. Ohio Jan. 6, 1986) (LEXIS, Genfed library, Dist file). (14)\n\n*In re* Bendectin Cases, No. 85-0996, 1986 WL 20466 (E.D. Mich. May 2, 1986). (16)\n\n*In re* Bendectin Prods. Liab. Litig., 732 F. Supp. 744 (E.D. Mich. 1990). (52)\n\nKoller v. Richardson-Merrell, Inc., No. 80-1258, slip op. (D.D.C. Jan. 25, 1983) (LEXIS, Genfed library, Dist file). (5)\n\nLake v. Richardson-Merrell, Inc., 538 F. Supp. 262 (N.D. Ohio 1982). (3)\n\nLanzilotti v. Merrell Dow Pharmaceuticals, Inc., No. 82-0183, 1986 WL 7832 (E.D. Pa. July 10, 1986). (19)\n\nLee v. Richardson-Merrell, Inc., No. 84-2228GB, 1991 WL 166316 (W.D. Tenn. 1991). (58)\n\nLongmore v. Merrell Dow Pharmaceuticals, Inc., 737 F. Supp. 1117 (D. Idaho 1990). (54)\n\nLynch v. Merrell-Nat'l Lab., 646 F. Supp. 856 (D. Mass. 1986). (23)\n\nMcFeggan v. Merrell Pharmaceuticals, Inc., 1987 U.S. Dist. LEXIS 2784 (N.D. Ill. April 7, 1987). (29)\n\nMonahan v. Merrell-Nat'l Lab., No. 83-3108-WD, 1987 WL 90269 (D. Mass. Dec. 18, 1987).\n\nRamirez v. Richardson-Merrell, Inc., No. 85-1504, slip op. (E.D. Pa. Nov. 27, 1985 (LEXIS, Genfed library, Dist file). (13)\n\nRamirez v. Richardson-Merrell, Inc., 628 F. Supp. 85 (E.D. Pa. 1986). (15)\n\nRamirez v. Richardson-Merrell, Inc., No. 85-1504, slip op. 1986 WL 9724 (E.D. Pa. Sept. 4, 1986). (22)\n\nRaynor v. Richardson-Merrell, Inc., 643 F. Supp. 238 (D.D.C. 1986). (20)\n\nRaynor v. Richardson-Merrell, Inc., No. 83-3506, 1987 WL 8518 (D.D.C. Mar. 5, 1987). (27)\n\nRichardson v. Richardson-Merrell, Inc., 649 F. Supp. 799 (D.D.C. 1986). (24)\n\nRosen v. Richardson-Merrell, Inc., No. 82-0513, 1987 U.S. Dist. LEXIS 2236 (E.D. Pa. Mar. 27, 1987). (28)\n\nRosen v. Richardson-Merrell, Inc., No. 82-0513, 1987 U.S. Dist. LEXIS 6585 (E.D. Pa. July 22, 1987). (34)\n\nRosen v. Richardson-Merrell, Inc., No. 82-0513, 1987 U.S. Dist. LEXIS 7440 (E.D. Pa. Aug. 18, 1987). (36)\n\nDaubert v. Merrell Dow Pharmaceuticals, Inc., 727 F. Supp. 570 (S.D. Cal. 1989). (50b)\n\nSt. Amand v. Merrell Dow Pharmaceuticals, Inc., 140 Misc. 2d 278, 530 N.Y.S.2d 428 (N.Y. Sup. Ct. 1988). (40)\n\nShelhamer v. Merrell Dow Pharmaceuticals, Inc., No. 87-0782, 1987 U.S. Dist. LEXIS 3808 (E.D. Pa. May 11, 1987). (32)\n\nTurpin v. Merrell Dow Pharmaceuticals, Inc., 736 F. Supp. 737 (E.D. Ky. 1990). (53)\n\nVines v. Richardson-Merrell, Inc., No. 86-3228 (RCL), 1988 WL 93454 (D.D.C. Aug. 24, 1988), aff'd, 1989 WL 105491 (D.C. Cir. Aug. 31, 1989). (44)\n\nVines v. Richardson-Merrell, Inc., No. 86-3228 (RCL), 1988 WL 112174 (D.D.C. Oct. 13, 1988). (46)\n\nWhelan v. Merrell Dow Pharmaceuticals, Inc., 117 F.R.D. 299 (D.D.C. 1987). (26)\n\nWhelan v. Merrell Dow Pharmaceuticals, Inc., 1990 WL 130654 (D.D.C. Aug. 30, 1990). (57)\n\nWill v. Richardson-Merrell, Inc., 647 F. Supp. 544 (S.D. Ga. 1986). (21)\n\nAppendix G\nAppellate Court Cases\n\n(Numbers in parentheses at the end of each citation refer to the order of the cases in Table 8)\n\nAlbertson v. Richardson-Merrell, Inc., 441 So.2d 1146 (Fla. Dist. Ct. App. 1983). (2)\n\nAmbrosini v. Labarraque, No. 90-7146, 90-7148, 1991 WL 101512 (D.C. Cir. May 31, 1991). (35)\n\nBernhardt v. Richardson-Merrell, Inc., 892 F.2d 440 (5th Cir. 1990). (29)\n\nBlum v. Merrell Dow Pharmaceuticals, Inc., 385 Pa. Super. 151, 560 A.2d 212 (1989), appeal granted, 590 A.2d 753 (Pa. 1991). (25)\n\nBrock v. Merrell Dow Pharmaceuticals, Inc., 874 F.2d 307 (5th Cir. 1989), modified, 884 F.2d 166 (5th Cir. 1989), cert. denied, 110 S. Ct. 1511 (1990). (23a)\n\nBrock v. Merrell Dow Pharmaceuticals, Inc., 884 F.2d 166 (5th Cir. 1989). (23b)\n\nBrock v. Merrell Dow Pharmaceuticals, Inc., 884 F.2d 167 (5th Cir. 1989). (23c)\n\nChambers v. Merrell Dow Pharmaceuticals, Inc., No. C-850888, slip op. 1986 WL 14901 (Ohio App. Dec. 24, 1986), aff'd, 35 Ohio St. 3d 123, 519 N.E.2d 370 (1988). (12)\n\nChambers v. Merrell Dow Pharmaceuticals, Inc., 35 Ohio St. 3d 123, 519 N.E.2d 370 (1988). (16)\n\nCoyle v. Richardson-Merrell, Inc., 372 Pa. Super. 118, 538 A.2d 1379 (1988). (17)\n\nCoyle v. Richardson-Merrell, Inc., 584 A.2d 1383 (Pa. 1991). (34)\n\nCosgrove v. Merrell Dow Pharmaceuticals, Inc., 117 Idaho 470, 788 P.2d 1293 (1989). (24)\n\nDeLuca v. Merrell Dow Pharmaceuticals, Inc., 911 F.2d 941 (3d Cir. 1990). (33)\n\nDowling v. Richardson-Merrell, Inc., 727 F.2d 608 (6th Cir. 1984). (3)\n\nDralle v. Ruder, 148 Ill. App. 3d 961, 500 N.E.2d 514 (1986), rev'd, 124 Ill. 2d 61, 529 N.E.2d 209 (1988). (11)\n\nDralle v. Ruder, 124 Ill. 2d 61, 529 N.E.2d 209 (1988). (18)\n\nEaly v. Richardson-Merrell, Inc., 897 F.2d 1159 (D.C. Cir. 1990), cert. denied, 111 S. Ct. 370 (1990). (30)\n\nHerring v. Merrell Dow Pharmaceuticals, Inc., 896 F.2d 1383 (D.C. Cir. 1990). (31)\n\n*In re Bendectin Prods. Liab. Litig.*, 749 F.2d 300 (6th Cir. 1984). (5)\n\n*In re Bendectin Litig.*, 857 F.2d 290 (6th Cir. 1988), *cert. denied sub nom.* Hoffman v. Merrell Dow Pharmaceuticals, Inc., 488 U.S. 1006 (1989). (20)\n\nKoller v. Richardson-Merrell, Inc., 737 F.2d 1038 (D.C. Cir. 1984), *vacated*, Richardson-Merrell, Inc. v. Koller, 472 U.S. 424 (1985). (4)\n\nRichardson-Merrell, Inc. v. Koller, 472 U.S. 424 (1985). (6)\n\nLynch v. Merrell-Nat'l Lab., 830 F.2d 1190 (1st Cir. 1987). (15)\n\nMakripodis v. Merrell Dow Pharmaceuticals Inc., 361 Pa. Super. 589, 523 A.2d 374 (1987). (13)\n\nMartin v. Merrell Dow Pharmaceuticals, Inc., 851 F.2d 703 (3d Cir. 1988). (19)\n\nMekdeci v. Merrell Nat'l Lab., 711 F.2d 1510 (11th Cir. 1983). (1)\n\nMerrell Dow Pharmaceuticals v. Oxendine, 593 A.2d 1023 (D.C. App. 1991). (36)\n\nObiago v. Merrell-Nat'l Lab., 560 So. 2d 625 (La. Ct. App. 1990). (32)\n\nOxendine v. Merrell Dow Pharmaceuticals Inc., 506 A.2d 1100 (D.C. App. 1986). (9)\n\nOxendine v. Merrell Dow Pharmaceuticals, Inc., 563 A.2d 330 (D.C. App. 1989), *cert. denied*, 110 S. Ct. 1121 (1990). (26)\n\nRichardson v. Richardson-Merrell, Inc., 857 F.2d 823 (D.C. Cir. 1988), *cert. denied*, 110 S. Ct. 218 (1989). (21)\n\nThompson v. Merrell Dow Pharmaceuticals, Inc., 229 N.J. Super. 230, 551 A.2d 177 (N.J. Super. Ct. App. Div. 1988). (22)\n\nThompson v. Merrell Dow Pharmaceuticals, Inc., 766 F.2d 1005 (6th Cir. 1985), *aff'd*, 478 U.S. 804 (1986). (7)\n\nMerrell Dow Pharmaceuticals, Inc. v. Thompson, 478 U.S. 804 (1986). (10)\n\nUrland v. Merrell Dow Pharmaceuticals, Inc., 822 F.2d 1268 (3d Cir. 1987). (14)\n\nVines v. Richardson-Merrell, Inc., No. 88-7264, 1989 WL 105491 (D.C. Cir. Aug. 31, 1989). (27)\n\nWatson v. Merrell Dow Pharmaceuticals, Inc., 769 F.2d 354 (6th Cir. 1985). (8)\n\nWilson v. Merrell Dow Pharmaceuticals, Inc., 893 F.2d 1149 (10th Cir. 1990). (28)\n\nAppendix H\n\nMemorandum Opinions\n\n(not included in data analysis)\n\nBordick v. Richardson-Merrell, Inc., 853 F.2d 916 (3d Cir. 1988) (table disposition, aff'd).\n\nBrock v. Merrell Dow Pharmaceuticals, Inc., 886 F.2d 1314 (5th Cir. 1989) (table disposition, reh'g en banc denied).\n\nCoyle v. Richardson-Merrell, Inc., 520 Pa. 588, 551 A.2d 215 (1988) (table disposition, appeal granted).\n\nDralle v. Ruder, 505 N.E.2d 352 (Ill. 1987) (table disposition, appeal allowed).\n\nKoller v. Richardson-Merrell, Inc., 469 U.S. 915 (1984) (cert. granted).\n\nKoller v. Richardson-Merrell, Inc., 474 U.S. 808 (1985) (motion of respondents to retax costs denied).\n\nObiago v. Merrell-Nat'l Lab., No. 90-C-1056, (La. June 29, 1990) (writ denied).\n\nOxendine v. Merrell Dow Pharmaceuticals, Inc., 110 S. Ct. 1121 (1990) (cert. denied).\n\nSchreier v. Merrell Dow Pharmaceuticals, Inc., 745 F.2d 58 (6th Cir. 1984) (table disposition, appeal dismissed).\n\nThompson v. Merrell Dow Pharmaceuticals, Inc., 474 U.S. 1004 (1985) (cert. granted).\n\nAppendix I\n\nUnpublished Opinions\n(not included in data analysis)\n\nSummary Judgments Granted to Merrell Dow\n\nDiaz v. Merrell Dow Pharmaceuticals, Inc., No. L-082085 (N.J. Super. Ct. Law Div. April 28, 1989).\nHagle, (November 1989) (summary judgment for defendant on merits).\nLee v. Richardson-Merrell, Inc., No. 84-2228 GB (W.D. Tenn. Jan. 30, 1991).\nMonohan v. Merrell Dow Pharmaceuticals, Inc., No. 83-3108-WD (D. Mass. Dec. 18, 1987) (court relied on Lynch v. Merrell Nat'l Lab.).\n\nSummary Judgments Denied Merrell Dow\n\nDePyper v. Navarro, No. 83-303-467NM (Civ. Ct. Wayne Co., Mich. Mar. 10, 1990), rev'd, No. 116390 (Mich. Ct. App. June 21, 1991).\nMangels v. Richardson-Merrell, Inc., No. R-83-3272 (D. Md. Aug. 17, 1987).\n\nPlaintiff Verdicts (Jury or Judge)\n\nBlum v. Merrell Dow Pharmaceuticals, Inc., No. 1027 (Pa. Ct. C.P. May 12, 1988) (unpublished opinion).\n\nDefendant Verdicts (Jury or Judge)\n\nBityk v. Richardson-Merrell, Inc., No. C-302-225 (Cal. Super. Ct., Los Angeles County 1987).\nBuell, (June 1988) (judgment for defendant on merits).\nButterweck, (Jan. 1986) (W. Germany, judgment for defendant on merits).\nCordova v. Philips-Roxane Laboratories, Inc., No. 432656 (Cal. Super. Ct., Santa Clara County 1985) (appeal withdrawn).\nFrancione, (March 1990) (Italy, judgment for defendant on merits).\nHill v. Merrell Dow Pharmaceuticals, Inc., No. C83-74TB (W.D. Wash. 1988) (appeal withdrawn) (also known as Washington Consolidated).\nKottwitz, (W. Germany, Jan. 1986) (judgment for defendants on merits).\nMaryland Consolidated (Johnson, Kelley, Mangels), (Md. federal court, mistrial, cases dismissed by plaintiffs June 10, 1988).\n\nRudell v. Merrell Dow Pharmaceuticals, Inc., No. 85-0115-CV-W-5 (W.D. Mo. Dec. 16, 1987).\nWiles, (Cal. federal court, Nov. 11, 1987) (defense verdict by judge).\nWilson v. Richardson-Merrell, Inc., No. 85-C-540-E (N.D. Okla. Dec. 14, 1987)."}}},{"rowIdx":204789,"cells":{"text":{"kind":"string","value":"Construction: Beginner’s Guide to Power Supplies\n\nOn Test: the Yaesu FT736R VHF/UHF Multiband Multimode Transceiver\n\nOut of Africa – The Story of A22KZ in Botswana\n\n6 Straight and Level\nAll the latest news, comments and developments on the amateur radio scene\n\n12 DX Diary\nDon Field G3XTT with this month's DX news\n\n14 Fox-Hunting\nKevin Fox with a stirring tale about the sort of DFing nightmares are made of... cows, students and sinister rituals. Beware, gentle reader!\n\n17 Angus McKenzie Tests\nG3OSS looks at the Yaesu FT736R multiband multimode transceiver and the Hokushin HS727VME and HSWX1 dual-band antennas\n\n26 Out of Africa\nAt last, an exclusive account of the A22KZ 50MHz operation from Botswana, by David Saul himself\n\n28 Coming Next Month\nWhat's in store for you\n\n29 Morse Report\nTony Smith G4FAI takes his bimonthly look at the world of dots and dashes\n\n32 Short Wave Listener\nTrevor Morgan continues his hitchhiker's guide to receivers and takes a long, hard look at those amateur bands\n\n34 Power Supplies for Beginners\nJohn and Steven Goodier with a beginner's guide to PSUs and a circuit for a complete 12V 1A power supply\n\n39 Datasheet\nIan Poole looks at speech processors\n\n42 Figure It Out\nTony Smith again, cutting a dash with maths for the non-mathemagician\n\n44 Name, Rank or Serial Number\nAn intriguing tale from John Feeley G4MRB that will add a whole new dimension to catching DX\n\n46 50MHz\nKen Ellis with all the latest developments on 6m\n\n48 On the Beam\nThings are looking up this month, as Glen Ross investigates the microwaves\n\n50 Second-hand\nHugh Allison looks at hum (mains, not bugs)\n\n52 Project Book\nMartyn Williams with the final part of his component code series\n\n53 Free Classified Ads\nThe market for buying and selling\n\nSERVICES\n25 Subscription Order Form\n38 Radio and Electronics World Subscription Order Form\n49 Back Issues Order Form\n55 Free Classified Ad Form\n58 Newsagents Order Form\n58 Advertisers Index\n58 Advertising Rates and Information\n\nRAYCOM MOVE\n\nRay Withers Communications, the well-known dealers in amateur radio equipment, have made some changes to their outfit.\n\nFirstly, as you will see from Ray's advert in our own unrivalled publication, the company name has been shortened to Raycom. Secondly, Raycom has moved to new and luxurious offices. Situated at International House, 963 Wolverhampton Road, Oldbury, West Midlands B69 4RJ, the company is now easily accessible and very central.\n\nRaycom are official Sony dealers, also retailing Uniden, Yaesu and Icom goods (to name but a few). They also stock Butternut aerials, as reviewed by Angus McKenzie recently. Well worth a visit if you're in the West Midlands.\n\nMONEY BACK\n\nOwners of high quality, but now unused equipment that is gathering dust on storage shelves can realise valuable revenue by selling through Carston Electronics.\n\nCarston has established a unique brokerage scheme that offers sellers a rapid means of 'liquidising' the large sums of money that can be tied up in redundant items such as instrumentation, test equipment, computer peripherals, etc.\n\nIn particular, the company is interested in hearing from owners of recent models from brand-name manufacturers. Many companies purchase specialist equipment to fulfil the needs of a project and, when this is completed, place the equipment in storage.\n\nCarston has developed this capability in response to a growing requirement for companies to utilise their capital in the most efficient manner. The company also provides a proven source of fully calibrated and guaranteed equipment.\n\nFor further information, contact: Carston Electronics Ltd, 2-6 Queens Road, Teddington, Middlesex TW11 0LR. Tel: 01-943 4477.\n\nSOLDER OFF\n\nCeka now offers a new antistatic desoldering pump with variable spring action suction.\n\nThe suction power is varied simply by unthreading the pump's nozzle and turning the spring to either the 'soft' or 'strong' suction position. The suction is strong, muffled and recoilless.\n\nThe desoldering pump, number 6103, is made from black antistatic nylon glass plastic. When it reloads, it clears solder through a heat-resistant non-stick carbon fibre tip. It is supplied in individual wallets, with full instructions for use and maintenance, and costs £11.00.\n\nFor further information contact: Ceka Works Limited, Pwllheli, Gwynedd, North Wales LL53 5LH. Tel: (0758) 612254.\n\nPCB CONNECTORS\n\nA new modular BLA/SLA connector system for printed circuit boards made its debut in the UK on the Klippon Stand at the All Electronics Show.\n\nDesigned for various process control systems, the range is available in a single row format from 2 to 24 poles and in a double row format with up to 48 poles. The modules can be built into blocks, can be easily terminated and are designed to be vibration proof.\n\nThe connectors are manufactured in PBTP, have an operational temperature range of 120 degrees centigrade and an 8A current rating.\n\nFor further details, contact: Klippon Electricals, Power Station Road, Sheerness, Kent ME12 3AB. Tel: (0795) 580999.\n\nSTC Electronic Services has introduced the new MK SafeGuard RCB adaptor plug to complement its MK Sentry-socket range.\n\nDesigned to provide immediate mobile earth fault protection by simple insertion into a standard 13A socket, the adaptor features sleeved pins, double pole isolation and a patented safety shutter on live and neutral.\n\nAs an added safety facility, the SafeGuard will trip off if it is removed from the socket or if the power supply is cut. More importantly, it will not automatically restore power to equipment (ie, dangerous tools) following an interruption until the reset button is manually operated.\n\nThe adaptor operates with a 30mA trip current, is fitted with a test button to ensure satisfactory function and features a mechanical indicator for maximum safety. If necessary, two units may be fitted into a twin 13A socket outlet.\n\nFor further information, contact: The Tool Group, STC Electronic Services, Edinburgh Way, Harlow, Essex CM20 2DF. Tel: (0279) 626777.\n\nInstrumex has now introduced the Grundig FG80 PAL/SECAM colour pattern generator for multi-standard testing in both eastern and western formats.\n\nIt can be used in broadcasting, where standard converters are increasingly important, or for video equipment production testing. A useful feature is its output to an external oscilloscope.\n\nThe comprehensive set of video test patterns includes a special moving test pattern to verify still frame, slow motion and time lapse operations when checking video recorders.\n\nThe FG80 can fully test stereo and dual tone functions, as well as the continental video program service (VPS) signal. Four station frequencies can be programmed into memory for rapid recall. The instrument has a logical, uncluttered front panel.\n\nThe FG80 operates over a full RF range of 30 to 870MHz. Its RF output is 40mV EMF (synchronised pulse) into 75Ω.\n\nFurther information can be obtained from: Instrumex, Dorcan House, Meadfield Road, Langley, Berks SL3 8AL. Tel: (0753) 44878.\n\nThe K613 is a fully-protected dimmer/controller kit which handles mains voltages of up to 5A. It is now available from ECW Sales.\n\nThe dimmer is a high-Q device that adjusts the power supplied to a load with minimum hysteresis. This makes it suitable for dimming lights, adjusting ac motor speed and the output of heating elements and many others.\n\nThe K613 assembles into a compact chassis unit that can be incorporated easily into an enclosure. It is fully suppressed and has a triac output, protected against inductive voltage loads.\n\nFor dedicated lighting control, ECW Sales can also supply dimmers that replace conventional wall switches with potentiometer or touch control.\n\nThe K613 is offered at a mail order price of £14.33, including VAT and posting/package.\n\nFor further information, please contact: Electronic and Computer Workshop Ltd, Unit 1, Cromwell Centre, Stepfield, Witham, Essex CM8 3TH. Tel: (0376) 517413.\n\nSTC Instrument Services has introduced the Voltech EL100 and EL300 units, which offer a convenient and flexible means of loading dc power supplies and batteries.\n\nThese 3U-high modules provide a precise constant current load to the power source for the purpose of assessing the electrical performance of the source. Extremely versatile, the EL100 loads powersources up to 100W, 20A whilst the EL300 is rated at 300W, 60A. In addition, each unit has two current ranges enabling accurate setting of low current levels. Both units operate from below 3V to 110V dc—hence covering a very wide selection of applications.\n\nOther features include an easy-to-read green LED display, push-button selectable operating modes with LED indication on the front panel, a current monitor output, which allows interfacing with an oscilloscope or external logger, and remote control facilities.\n\nTotally self-contained, the units incorporate a variable speed dc fan which matches the cooling rate to the power demand—ensuring a long bearing life and high reliability as well as extremely quiet operation.\n\nThe units are very compact and are suitable for standalone bench use or for rack-mounting within Euroracks to form a flexible multi-load test station.\n\nMore details are available from: STC Instrument Services, Dewar House, Central Road, Harlow, Essex CM20 2TA. Tel: (0279) 641641.\n\nRikadenki Mitsui Electronics (UK) has franchised STC Instrument Services to carry the ROX Series of Y-T chart recorders. The agreement initially covers the 1, 2 and 3-pen ranges (types R01, R02 and R03) plus the 4 and 6-pen ranges (R64 and R66).\n\nThe instruments have been developed from the highly successful R20 Series of Rikadenki flat-bed instruments.\n\nContact: STC Instrument Services, Dewar House, Central Road, Harlow, Essex CM20 2TA. Tel: (0279) 641641.\n\nEGA TO WATCH\n\nPanasonic has introduced a new 14in colour display monitor, available from Hero Electronics. The monitor is compatible with IBM PCs or IBM PC compatibles using enhanced graphics adaptors (EGAs).\n\nThe monitor has two modes. Mode 1 gives a horizontal sync frequency of 15.7kHz, a 16 colour display and a resolution of $640 \\times 200$ dots. Mode 2 gives a horizontal frequency of 21.8kHz, 64 colours and a resolution of $640 \\times 350$ dots.\n\nThe monitor is housed in an attractive case. A tilt and swivel stand is an optional extra.\n\nFor more information contact: Hero Electronics Limited, Dunstable Street, Ampthill, Bedfordshire MK45 2JS. Tel: (0525) 405015.\n\nSWITCHING OPTIONS\n\nWavecom's latest SPY-8 RF coaxial switch, available from Anglia Microwaves Ltd, is ideal for designing custom switch matrices in ATE and other microwave equipment. It can be used at frequencies of up to 18GHz and has internal 50 ohm terminations at all open positions.\n\nManufactured to MIL standards, the switch has a guaranteed lifetime of one million cycles per position, without intermittent contact and without insertion loss rising more than 0.1dB.\n\nOptions include TTL logic, BCD decoding, isolated indicator circuits and one of four standard actuation modes: latching, latching-reset, normally-open or normally-failsafe to position '1'.\n\nWavecom quotes a VSWR performance of 1-2.1 at 3GHz, and 1-5.1 at 18GHz with insertion losses of 0.2dB and 0.55dB respectively, while isolation figures are 80 and 60dB.\n\nFurther information from Anglia Microwaves Ltd, Radford Business Centre, Radford Way, Billericay, Essex CM12 0BZ. Tel: (0277) 630000.\n\nGREENWELD CREDIT CARD\n\nGreenweld is now offering an in-store credit card which enables customers to order goods by phone for dispatch the same day. The system offers a choice of an option account or a budget account.\n\nFull details and an application form will be sent on request by contacting: Greenweld, 443J Millbrook Road, Southampton SO1 0HX. Tel: (0703) 772501/783740.\n\nCRYSTALS, FILTERS AND OSCILLATORS\n\nCirkit Distribution has been appointed a UK distributor for Uniden Corporation of Japan, one of the few manufacturers in the world that grows its own crystals so that quality can be controlled right from the raw material stage.\n\nSpecial frequencies and tolerances can be accommodated from 1.0MHz up to 130MHz in a variety of can sizes and mounting styles. Minimum order quantity is 1,000 per batch. Standard frequencies are held in stock.\n\nCrystal filters are available in 2, 4, 6 and 8-pole configurations in a variety of centre frequencies and bandwidths.\n\nFor further information, contact: Cirkit Distribution Ltd, Park Lane, Broxbourne, Hertfordshire EN10 7NQ. Tel: (0992) 444111.\n\nBAND THREE, TWO, ONE!\n\nBand III radio was finally inaugurated on March 1st, in the exotic surroundings of the Roof Gardens in Kensington. Dedicated reporters from this magazine, manfully suffering the champagne and canapés, managed to ask a National Mobile Radio executive a few pertinent questions.\n\nBand III, as you will know, is the frequency band around 200MHz vacated by television when it moved on to new allocations. Effectively, the band has now been divided into three - one for present use, one for future expansion and the last being reserved for new technology.\n\nNMR Ltd have been awarded licences to operate 20 channels in the London region and 19 in both the Birmingham and Manchester regions. It is hoped to cover the country within 18 months, though 'the odd farmer in Auchtermuchty' will probably never be able to take part - you have been warned!\n\nThree million pounds has been pumped into the development and the combined talents of National Radiofone, Storno, BT and Motorola have been utilised to bring the project to fruition.\n\nRepeater systems are 'on the cards'. Calls will be free, with a standing charge of approximately £20 per mobile per month, and potential users can be 'up and running' within three days of asking for the system. Inter-region operating is possible. Both voice and data communications will be available and transmissions will be protected.\n\nOnly one shadow appears on this glittering scene - the threat that TV may ask the DTI to re-allocate these frequencies for its own use. Watch this space for future developments...\n\nLINES AND TIGERS\n\nTiger Antenna Magazine, published quarterly by Ant Products, contains news and comment for radio amateurs, construction projects, pieces of theory and a regular computer program.\n\nAn annual subscription is £3.20, post paid.\n\nFor further information contact: Tiger Antenna Magazine, Foundry Works, Old Great North Road, Ferrybridge, West Yorkshire WF11 8NN. Tel: (0977) 85274.\n\nBarry's birthday\n\nBarry College of Further Education Radio Society is celebrating its 21st birthday and continues its commemorative series of demonstrations and lectures with a video presentation on May 19th, 'JARL DXpedition to China'.\n\nThe club meets on Thursday evenings from 7.30pm onwards at the college annexe along the Barry to Bonvilston Road (A4226), a few hundred yards from the site of Barry Zoo, now the Welsh Hawking Centre. Contact Dr Kevin Johnston GW4BCB, Barry College, Colcot Road, Barry, South Glamorgan CF6 8YJ.\n\nGordon's donation\n\nRemember Roy (Straight & Level, March 1988)? He's the intrepid ex-Scout leader who was going to free-fall in tandem with one of his former Scouts.\n\nAt the time of writing, the event was set to take place on April 2nd or, if it was wet that day, April 9th.\n\nWhat's more, Gordon Crowhurst, the well-known key maker, made and donated a special Morse key so that Roy could send a 21st birthday greeting to his former troop. Well done, Gordon. If you're making a record attempt, it's nice to know you can rely on the equipment.\n\nKey technique\n\nEver fancied attending a master class, the sort where a virtuoso cajoles extra piquancy from a student's rendition? Perhaps not. If you turn up at Kevin Fox's, you'll at least be sure of the right key; then it's just a question of rhythm and tempo.\n\nClass A licence holders will have a chance to improve their CW technique under the expert guidance of local Sheffield HF operators. Class B holders need not be put off; they can practise identifying by phone.\n\nIf you're interested, contact Kevin Fox G4MDQ, on air between 1730 and 1900, Monday to Friday.\n\nNeater repeater\n\nReading and District ARC are holding two meetings, both in the 'White Horse' pub, Emmer Green, Reading.\n\nOn Tuesday, May 10th, David Bryant will speak on satellite reception and on Tuesday, May 24th, Gary Shippton G4CRJ will attempt to avoid hesitation, deviation and mostly, repetition, when he talks, for more than just a minute, all being well, on the 23cm TV repeater GB3HV. All are welcome, and further details are available from the club's honorary secretary, Mike Anthony G4THN, tel: Reading (0734) 774042.\n\nMARS mart\n\nMidland Amateur Radio Society has a rally at Drayton Manor on May 8th, followed by a junk sale and natter night. Surely there's no connection. For more details, phone (021) 357 1924.\n\nConvenience listening\n\nNow that packet soups have dissolved into the background, the latest stir is being created by packet radio. Find out about the UK network at the Verulam Amateur Radio Club on Tuesday, May 24th. Mr M Dennison G3XDV will be giving the talk at 8pm, but please turn up at 7.30pm at the RAF Association Headquarters, New Kent Road, off Marlborough Road, St Albans.\n\nThe club is also holding an activity evening on Tuesday, May 10th. Visitors are welcome at all meetings and further information is available from Hilary G4JKS, tel: St Albans 59318.\n\nEdgware is it?\n\nLost in the landscape or the bandscape? Put your trust in a satellite; you can find out how on May 12th when P Machin will be giving a talk entitled 'Navigation by Satellite' at Edgware and District Radio Society, Watling Community Centre, 145 Orange Hill Road, Burnt Oak, Edgware.\n\nYou might like to retrace your steps on May 20th and 26th, when there will be a straight key evening and an NFD briefing/construction contest respectively. Contact Ian Cope G4IUZ, tel: Hatfield 65707.\n\nWaves and ovations\n\nDorking and District Radio Society could be divided into nodes and antinodes when Tony G4XYC poses the question, 'SWR, does it matter?' It takes place on Tuesday, May 10th at 8.00pm. Further details are available from G4XYC himself, who can also be contacted on Leatherhead 375976. Why not turn up and give him a standing ovation?\n\nSoft soap\n\nThere are days when one wishes for instant mechanical know-how, and today's one of them. Wimbledon and District ARS are having a talk on May 13th, the subject being 'Allard Motor Cars'. Well, we knew they weren't all soft...\n\nThey are continuing an eventful month with a construction contest for the G3PGA Trophy. Hope no-one makes one of them 'ard motor cars!\n\nAll club meetings are held on the second and last Fridays of each month at 7.30pm in St Andrews Church Hall, Herbert Road, Wimbledon SW19. To find out more about the club, contact David Love G4RBQ on (07373) 51559.\n\nBack in time\n\nThe Binstead ARS on the Isle of Wight meet every Monday at 7.30pm. This month, on the first Monday, a talk will be given by Douglas G3KPO on vintage radio and TV. Another club looking at yesteryear!\n\nThe club meets at Dubbers Godshill, IOW, and to find out more about club events you should contact R Griffiths G01SB.\n\nFast on the draw\n\nBlackwood and District ARS is holding a construction competition, pardners, so strap those ol' solderin' irons in them thar holsters, and prepare for the shoot-out at the OK corral - sorry, Oakdale College, actually. Yee hah!\n\nThose soldering irons will really be smouldering, as the entrants try to put together the Maplin Live Wire Detector Kit in the shortest possible time. Entrants are invited to bring friends for moral or vocal support – the more the merrier (and noisier).\n\nEvery entrant will get a copy of the construction details when his or her entry form is received, so hopefully they will all know what they’re doing. Constructors can keep the finished product so that visitors can admire it. Oh well – you could always pretend that it was meant to be a scale model of Spaghetti Junction.\n\nPrizes will be awarded for the fastest constructor overall, the fastest beginner and the fastest club constructors. Unfortunately, each entrant will receive a certificate stating their final position, but you can always Tipp-Ex out the ‘Highly Unrecommended’ and forge a ‘First’.\n\nTo get into the competition send £4 to Terry John GW4XCU at 9 Yew Tree Grove, Woodfieldside, Blackwood, Gwent. Phone Terry on (0495) 222573 for details, and prepare for a showdown!\n\nAll the nice girls\n\nYo, ho, ho and an annual mobile rally at HMS Mercury, near Petersfield in Hampshire. We like the RNARS, they called us a ‘fine magazine’. And they’re a fine body of men – we’d send them a pin-up photo of the Ed, but we’d like to stay friends…\n\nAnyway, back to the Mercury Rally, which will make an excellent family day out and will take place on June 12th. There will be trade stands and stalls.\n\nThe harmonics will be entertained with rides and amusements, exhibitions and demonstrations – there’s even a touch of the Robin Hoods with an exhibition of DIY archery.\n\nAs if this wasn’t enough, there will be vintage steam machines and fire engines, radio controlled model power boats, trains and racing cars. Refreshments will be available and talk-in will be on both 2 metres and 70cm. Too good to miss, this.\n\nViking trip\n\nMay 5th brings the North Wakefield Club out into the open, busy lot that they are. The club’s first meeting is a talk by PC Workman. A cautionary tale, perhaps, with an arresting ending?\n\nThe club goes on the air on May 12th with G4NOK, and then on May 19th comes a real treat. The club is going by coach to the Jorvik Viking Centre in York. A good trip, by Odin, and for a paltry £5. Sounds worth horning in on.\n\nThe last meeting for the month is on May 26th and is the club’s regular monthly meeting. The club meets every Thursday at 8pm in the White Horse Public House, Fall Lane, East Ardsley. To find out more about the club contact Steve G4RCH on Leeds 536633.\n\nHighland fling\n\nAviemore, the jewel of the Cairngorms, is hosting a promotional day for Raynet in Scotland.\n\nMay 1st brings this series of talks from the Freedom Inn in the Aviemore Centre. Anyone who is interested can attend.\n\nThe theme is ‘Emergency – Which Service’ and the first talk will be by the Highland Region Emergency Planning Officer. After lunch there will be talks by members about fire and mountain rescue, then there will be an open forum on Raynet.\n\nAs this Sunday precedes a Bank Holiday, why not make a long weekend of it. There is plenty to keep the family amused – skating, pony trekking, go-karting, curling…yes, our sleuths have checked the centre out and it’s very nice, thank you.\n\nFor further details, contact Eric Garrington GM3RFA QTHR or on Fort William 3833.\n\nWDRG\n\nThe West Devon Repeater Group has appointed a new secretary, Trevor G3ZYY. He tells us that the group is still alive and kicking, and that anyone wanting to join should contact him (QTHR).\n\nMembership only costs £3 per year, for which you get an attractive membership certificate, fact sheet, newsletter and welcoming letter. Sounds too good to miss!\n\nElectrifying!\n\nThe Bournemouth and District RAIBC Group will be operating their annual special event station from the Southern Electricity Museum, Bargates, Christchurch on May 14th/15th this year. Wonder if they’ll talk about current affairs?\n\nThe museum, previously known as the Wedgewood Electrical Collection with the callsign GB2WEC, will now have the new call GB75SEM for this year’s event. The station will be active on HF, VHF and UHF.\n\nVisitors are welcome, and the museum will be open between 10am and 4pm. Talk-in will be available on VHF.\n\nA special colour QSL card will be sent to all contacts via the RSGB Bureau or direct on receipt of an SAE to Bob G6DUN, 40 Fairmile Road, Christchurch, BH23 2LL.\n\nMilligan, Gilligan\n\nOver the sea, now, to Ireland, where the Mid-Ulster Radio Club is flourishing. Their annual Parkanaur radio rally will be held on Sunday, May 15th at the Silverwood Hotel, Lurgan, County Armagh. Being an easy-going crowd, the club’s rally doesn’t start till twelve noon, but it’s bound to be a quality affair.\n\nThe entrance fee is £1 and there will be trade stands, a bring-and-buy stall, RSGB bookstall, QSL bureau and much more. Talk-in will be on S22 FM.\n\nNot only this, but the proceeds will go to the Stanley Eakins Memorial Fund, so the club is hoping for a good turnout. Attend your rally – keep those Irish eyes smiling!\n\nThe Mid-Ulster ARC meets on the second Sunday of each month (except in July and August) at 3pm in the Guide Hall, Castle Hill, Gilford, County Down. There is usually a radio-related talk and everyone is welcome.\n\nTo find out more about the club contact Sam White G1IBIW on (07622) 22855.\n\nClub secretaries please note:\n\nWhen you send details of events for inclusion in this section remember to state the venue, date and time.\n\nAlso a contact address or phone number is useful\n\nTypewritten information is preferred\n\nA FIND TO TREASURE\n\nBritain’s best selling magazine for the metal detecting enthusiast!\n\nDon’t miss the May issue at your newsagents\n\nWEATHER FAX/RTTY/NAVTEX: COMPLETE RECEIVE SYSTEM\n\nOperates with any HF SSB Receiver.\nEasy to use. No computer knowledge needed.\nFully automatic operation. Built in timer and tuning indicator.\n\nGives superbly detailed weather maps, satellite cloud cover printouts, printed weather forecasts, navigation warnings and news bulletins from around the globe.\n\nIncludes FAX-1 demodulator, mains power unit, Epson compatible printer, paper, ribbon and all connecting cables. Nothing more to buy. Just connects to receiver loudspeaker output.\n\nHundreds of FAX-1s already in use world wide by professional and amateur weather forecasters, yachtsmen, aviators and enthusiasts. British designed and manufacturered.\n\nICS Electronics Ltd\nPO Box 2, Arundel,\nWest Sussex. BN18 ONX\nTelephone: 024 365 590. Facsimile: 024 365 575\n\n12 months parts and labour warranty, Price includes VAT at 15%\n\nThere was some excellent propagation on the HF bands during March, even including some openings to the Pacific on 10 metres with strong signals from F00AQ, KH2D, KG6DX and others. Unfortunately, these conditions didn't prevail during the WPX contest and a solar storm on the Saturday really put paid to any decent openings to the west on the higher bands, although stations from the Far East were absolutely pounding in on 20 metres.\n\nAlong with other members of the Chiltern DX Club, I was operating GB4CDX in the contest and we had quite a struggle, despite having an excellent antenna system including a 3-element 40-metre beam and a set of slopers for 80. However, there were many interesting prefixes for the Amateur Radio prefixes award. For example, we worked TXUA, FY91S, TW6A, FJ0A, T07TSE, YM2KC, 9X1BE, etc.\n\nDuring the BARTG Spring RTTY Contest, held over the previous weekend, I was able to make a brief appearance on RTTY. I was surprised at the level of activity, with some stations running serial numbers in excess of 400 by the end of the contest. I noted the following DX (not all worked by me, unfortunately!): 3C1MB, HD5G, ZC4JA, TG9VT, J39BS, HC8GR, AL7BB, 4U1UN and YS1TG.\n\nOutside the contests, S0RASD continued to be very active, as were the various stations associated with the Canadian/Russian Trans-Polar Ski-Trek (particularly VO1SA/UA0, CI8C and CI8CW). Amir 4X6TT turned up as promised from various Pacific Islands. The KH1 DXpedition appeared just before the end of the month, with excellent signals on 20 metres and workable, although weaker, ones on 15 metres.\n\nMy apologies for giving some erroneous information concerning this DXpedition in the March issue. Previous operations from KH1 have been from Canton Island, but this time the operation was from the Baker and Howland Islands, which will count as a new one for the Islands on the Air Award.\n\nAbu Ali\n\nThe A15 callsign used by the recent German DXpedition to Abu Ali led to some raised eyebrows. However, *Qrz DX* has since shed some light on this by way of a letter from Dieter DK9KD.\n\nDieter's letter reads as follows: 'In the past, all kinds of calls were used. We tried to find a way to give this island a callsign like, for example, Spratly. After discussing the matter with DARIC (the German national society) we came up with the as yet unissued called A1.'\n\nWe, the EUDXF, have been given the right by the owner of the island to issue a licence and, in future, we will supply a licence to everyone who likes it, even if he is not going to use it from the island. It will be valid for 5 years and will cost $50. The blocks A14, A15 and A16 will be used. The captain who is responsible for the island and the lighthouse agreed to this solution. The licence will be in such a form that it can be shown in any shack and we hope to use the money from the sale to further DXpeditions all over the world.'\n\nAbu Ali, incidentally, is one of a group of rocks in the entrance to the Red Sea off Djibouti and isn't even shown in most atlases. Its significance is that a lighthouse sits on it and this is jointly administered by several nations with an interest in the area.\n\nDX news\n\nSo let's move on to what is in store. Looking quite some way ahead, the 6-metre DX Society is mounting a DXpedition to Saba Island in the Caribbean from 7-14th July. The callsign will be PJ6M. Although they will be paying particular attention to exploring 6m multi-hop paths to the UK and Europe, they will also be active on the 80 to 10 metre HF bands. K2MUD will be handling the QSLs.\n\nThe following are a couple to look forward to from the Pacific. NZ1Q was due to be active at NZ1Q/KH7 until 3rd May, CW only, 26kHz from the bottom of the various bands. Although KH6JEB/KH7 has operated from Kure Island several times in recent years, this has been almost exclusively on SSB so NZ1Q is likely to find himself very popular. NY6M and KH2F will sign NY6M/AH0 from Saipan from 27-30th May, on 160-10.\n\nDJ5GR is currently active as TU4GR and will be at the Ivory Coast until mid-August. He is mainly active on CW. QSLs will be dealt with on his return to Germany. Rudi was once of the last amateurs to operate from Yemen, signing 4W9GR in the mid-'70s.\n\nGerben PA0GAM, who has recently been very active from the Sudan, was due to visit several rare countries in Africa and Asia between 6th April and 6th June. These will include 9X, A5 and 9N. I can't imagine Gerben getting permission to operate from Bhutan, but he was hoping it would give him the opportunity to find out what the latest situation is regarding amateur radio in that remote kingdom.\n\nGerry 5X5GK is reported to have been forcibly expelled from Uganda, which is unfortunate both for him and for the amateur radio community. Gerry has been the only station regularly active from Uganda in recent years. N5RM/PJ2 should be active from 24th-31st May, including during the CQ WPX CW contest when he will sign PJ0R. SX1RAAG will be active from Greece during the whole of May and June, operated by the Greek national radio club (the RAAG).\n\nWAB enthusiasts should look out for G5LP and others who were due to activate the islands of Sark (30th April-4th May), Herm (5th May) and Alderney (6th May). The callsign was expected to be GUBING and I would suggest checking the usual WAB frequencies (particularly 3760kHz).\n\n*DX News Sheet* recently carried a reminder from G3AEZ that propagation forecasts are broadcast by Radio Australia on Mondays to Saturdays at 0425, 0827, 1627 and 2027. Reception in the UK is particularly good on 7205kHz from 1600 GMT. The morning transmissions are made on 9655, 15395 and 17715kHz.\n\nContests\n\nThe main contesting event of May is the CQ WPX CW contest on the last full weekend of the month (in other words 28/29th May this year). See the March *DX Diary* column for the rules, which are the same as for SSB.\n\nThe Russian CQ-M Contest is another interesting one to look out for this month. This is on 14/15th May, lasting for 24 hours starting at 2100 GMT on the Saturday. This is for both CW and SSB and is always an excellent opportunity to work rare Russian oblasts, as well as countries like JT (one year I worked three Mongolian stations on 20 metres within an hour of the contest starting).\n\nLooking ahead, the All Asia Phone Contest takes place on 18/19th June. This is a full-blown 48-hour affair and the contest exchange is RS plus your age. YL operators are allowed to send OO! If propagation is favourable, this can be a very enjoyable and rewarding contest with lots of interesting Asian DX to be worked.\n\nThis month I have included...\n\nthe UK results from the 1987 CQ WPX SSB Contest. The number of entries was disappointingly low compared with other European countries. I hope more UK stations decided to have a go this year. Congratulations are due especially to GW4BLE, whose 14MHz score was world 7th, and to G4VGO, who came world 4th on 1.8MHz operating as GB8DX. G4JVG also put in a very respectable all-band score of 1,130,220 points, operating as OH0/G4JVG from the Aland Islands.\n\nOperating techniques\n\nI have said quite a lot in the past about the best operating techniques for DX chasing. There is no doubt that the most successful DXers are those who spend much more time listening than transmitting and, if they hear a DX station, make a point of figuring out his operating technique before making their first call. It's probably fair to say that the majority of US and Japanese amateurs put these techniques into practice and operate in a well-disciplined way.\n\nHowever, I continue to be appalled by the operating behaviour of most European DXers. Of course, we all get carried away in the excitement of a pile-up from time to time and occasionally make the mistake of selecting the wrong VFO when the DX station is operating split frequency. Nowadays, though, it seems to be common practice for most Europeans to call and call regardless of whether the DX station is already in QSO or is listening for a particular station or group of stations.\n\nThen there are the 'policemen', who insist on being 'helpful' by sitting on the DX station's frequency in order to tell others to QSY off the channel. Often they make far more QRM than the stations they are trying to move. If all this were not enough, there are others who cause deliberate QRM out of sheer bloody-mindedness, sometimes playing music on the DX station's frequency or putting out a continuous carrier.\n\nIf you chase DX at all, I'm sure you could add several more examples of the way in which this aspect of the hobby seems to have deteriorated in recent years. I'm sure there has always been an element of this kind of behaviour, but perhaps matters have got worse due to the rapid increase in the number of DXers. I imagine much of the bad behaviour is due to sheer frustration at not being able to get through the pile-up. Even a major DXpedition, which might make 20,000 contacts or more, can't completely satisfy the demand, and the lone operator in a remote corner of Africa or wherever finds it even harder to please everybody.\n\nThe advent of new single band DXCC awards can only make matters worse. DXers will not be satisfied with 100 countries per band for their 5-band DXCC, but will want to press on and work every new one they can. What's more, they will also be wanting the QSL cards in order to send them off for the various awards.\n\nI don't see any immediate respite from this kind of pressure. Perhaps things will improve when we get full access to the 18 and 24MHz bands but, if anything, it may be worse because DXers will now want to work a rare station on nine rather than six bands, making it even harder to satisfy everybody.\n\nPretty depressing? Well, maybe. On the other hand, many of us still find DXing the most rewarding aspect of amateur radio, gaining a real sense of achievement when something unusual finds its way into the log. Although the going can get rough at times it isn't always so, particularly for good listeners who latch on to the DX before anyone else realises it's around. If you listen on the HF bands on a weekday you might sometimes be forgiven for thinking that HF amateur radio is dead - the DX is booming in calling CQ and there is not a DXer to be heard.\n\nNo magic remedy, then. If the going gets too rough, call it a day and look around for someone else to call. There will always be another time. And in your own operating, try to set an example to others, even if it means taking a back seat occasionally. Do remember, as well, that life on CW is still generally much more civilised than on SSB and DX stations are beginning to realise that as well.\n\nBooks\n\nIf you want to read more about DX operating techniques, there are several books worth taking a look at. All are American, but available in the UK. One which has received good reviews recently, and which I am currently in the middle of reading, is DX Power, Effective Techniques for Radio Amateurs by Eugene Tilton K5RSG, published by TAB Books in conjunction with the ARRL.\n\nTAB also publish Secrets of Ham Radio DXing by Dave Ingram K4TWJ.\n\nFinally, The Complete DXer by W9KNI, published by Idiom Press, is also a good read. This one is principally aimed at CW DXing, but many of the techniques described are equally applicable to DXing on SSB.\n\nAwards\n\nThis month I have concentrated on a series of Canadian awards issued by the Ontario DX Association.\n\nThe Canadian Provincial Capitals Certificate is an attractive award for which you need to work a station in each of the ten provincial capital cities of Canada: Edmonton (Alberta), Victoria (British Columbia), Fredericton (New Brunswick), St John's (Newfoundland), Halifax (Nova Scotia), Winnipeg (Manitoba), Toronto (Ontario), Quebec City (Quebec), Charlottetown (Prince Edward Island) and Regina (Saskatchewan).\n\nSend certified log data (signed by one executive of your local radio club or two fellow amateurs) to Ron Nickle VE3SF, Awards Manager, 286 Burnett Avenue, Willowdale, Ontario, Canada M2N 1W1. There is a charge of $2 or 10 IRCs.\n\nAnother Canadian award to go for is the Trans-Canada Award. For this one work five stations in each of the 8 Canadian call areas for a total of 40 contacts, plus five stations in Newfoundland or Labrador (VO1 or VO2), plus one VE0 Maritime Mobile station. Of the VE8 contacts, at least one must be with the Yukon (VE8 or VY1) and one with an offshore island of the North-West Territories. The total number of contacts required is 46. The method of application and charge are exactly the same as for the capitals award described above.\n\nFinally, the St Lawrence Seaway Award requires contacts with ten stations along the route of the St Lawrence, including at least one in each of the following areas: Thunder Bay, Greater Toronto, Greater Montreal and Greater Quebec City. The remaining six may be from any municipality located along the route. Again, charges and method of application are as for the previous two awards.\n\nIncidentally, you may see in award details that applications require a GCR list. The term GCR gained acceptance as a standard for awards chasing due to the efforts of K6BX in the 1960s and '70s. GCR stands for General Certification Rule. When applying for an award the applicant is expected to provide a list of the contacts or QSLs required for the award. The GCR is a separate area on the application which contains a statement such as: 'The information and/or QSLs required for this award have been checked and are certified as being correct by the following amateurs'.\n\nAlmost all award sponsors require two (dated) signatures. Some require the signature of a club official. Others will specify an official of an IARU associated club or of the national society. The safest way when applying for awards for which QSL cards are required is to have the application certified by your national HF awards manager who, in the UK, is GW4BKG. That's the lot for this month. Happy DXing.\n\nUK Scores in 1987 CQ WPX SSB Contest\n\n| Category | Station | Score |\n|-------------------|-----------|-----------|\n| All-band | GM4GPN | 301,924 |\n| All-band | GM4WEN | 177,000 |\n| 21MHz | G3VOF | 42,288 |\n| 14MHz | GW4BLE | 3,229,446 |\n| 14MHz | GB6AR (op: G4XKR) | 401,580 |\n| 1.8MHz | GB8DX (op: G4VGO) | 64,256 |\n| 1.8MHz | G3XWZ | 3,182 |\n| Multi-single | GB8AU | 3,080,525 |\n| Multi-single | GB8PX | 261,392 |\n| Multi-single | G4CVK | 85,782 |\n\nFunny how things change isn't it? I mean, when I was but a callow youth we always called it the 'coffee bar'. Nowadays, it's almost universally 'the caff'. Well, coffee bar was good enough in my day and it'll do today as well. At least I know what I mean, even if nobody else does. Ah! Those halcyon days of youth, sitting in the coffee bar drinking ice cold bottled Coke or espresso coffee (frothy coffee, we called it) and the Beatles belting out *Love Me Do* on the juke box. Happy days, indeed.\n\nAnyway, me and Old Cyril were sitting in the coffee bar plotting. We'd completed all the events in the club's programme and had about three weeks to run before the start of the next one. 'Wot abah't a two metre ess ess bee contest?' said Old Cyril, looking at me hopefully. I swivelled my eyes from side to side in consternation, then snatched a quick glance behind me.\n\n'Shush!' I urged him frantically, again sweeping the room with my eyes. I reminded him that we'd had so many two metre SSB contests recently that the club members had sworn to lynch the next person to suggest another.\n\n'Junk sale?'\n'Last month, Cyril.'\n'Home-brew competition?'\n'Remember the last one?' I asked him.\n\nOld Cyril's eyes glazed over as he time-warped back three months to the club's last home-brew competition. We had acquired a new club member who was as keen as mustard, but unfortunately knew next to nothing about the bizarre world of amateur radio. He appeared faithfully, week after week, always dressed in the same clothes. Black three piece suit, white shirt and black tie.\n\nHe came up to me a few weeks before the home-brew competition and asked me what home-brew was all about. I explained to him that it referred to anything you made yourself.\n\nOn the night of the judging, among the various bits of electronic plumbing carefully displayed around the room was a long box-like shape covered with a white cloth and supported at each end by two chairs. The judges, including some very high up bod from the RSGB, were meandering around the room, picking up gadgets, passing a few comments then moving on to the next piece. Finally, they arrived at the shrouded box between the chairs. They stopped, wrinkled their brows then looked around the room for an explanation. Mr 'Black-suit', who'd been watching things closely, calmly walked over to his creation, took hold of a corner of the white cover and, with a nice theatrical gesture, swept it off to reveal... a beautifully polished and gleaming pine coffin, complete with sculptured brass handles.\n\nI had forgotten to mention the word 'radio' when I explained what home-brew was all about. Still, he did win first prize; I think it was the brass handles which finally swung things his way.\n\n'Natter nite?' suggested Old Cyril, returning to the present.\n\n'Nope!' I vetoed.\n\n'Fox-hunt. That's it! We 'aven't 'ad one o' them fer yonks.'\n\n'Fox-hunt?' I queried, puzzled.\n\n'Yeh. That's wot we'll do, we'll 'av a fox-hunt,' said Old Cyril, gleefully.\n\nI'd never heard of a radio fox-hunt before. Visions of woofing dogs, scarlet coats and horses whizzed through my mind. I had remained curiously ignorant about amateur radio fox-hunting. I told Old Cyril that I had no idea about what happened on a fox-hunt, or how to organise one. Then I realised that I had made yet another blunder. Old Cyril grinned delightedly, leaned his elbows on the table, pushed his half full coffee mug away from him and began to light his evil smelling pipe. I recognised all the signs of an impending monologue and leaned back in my chair, resigned to an ear bashing.\n\nAs Old Cyril struggled with his pipe I cast a casual glance around the coffee bar. Seated at a table immediately to my right were four people, three men and a girl. They were students, judging by their avant garde dress and plethora of 'ban everything' patches. Their eyes roamed aimlessly around the room, one of the men was whistling tunelessly through his teeth. But it was very apparent that they were listening very carefully to everything we said.\n\n'Yoo really don' know wot a fox-hunt is?' asked Old Cyril incredulously. Then, without waiting for me to answer, he launched into a description. 'Right! Well, first you choose a fox. That's somebody everybody else has to find. 'e takes off to a secret location armed wiv a transmitter, then, every two or three minutes, he'll transmit on a certain frequency for a fixed time.'\n\nOld Cyril whipped the pipe out of his mouth, narrowed his eyes and stared intently at me, checking that I was following his explanation. I nodded to reassure him and he re-inserted his pipe and continued.\n\n'Everybody leaps into their cars and sets off to find the fox by direction fixing on the fox's radio broadcasts. Yoo 'av to mek a speshul directionamal aerial so's yoo can null out unwanted signals, jus' leaving the one which points to the fox.'\n\nOld Cyril had lost me by this time. I recapped on the highlights, then asked for more details. 'This, er, this directionamal - er, directional aerial baffles me, Cyril. What's it made of?'\n\nOld Cyril smiled secretly at me, gave me a huge conspiratorial wink then tapped the side of his nose with the stem of his pipe.\n\n'Ah! Now that's where success or failure lies,' he said, with a knowing smirk. 'There are stacks of different designs, most of them top secret.' He made a verbal detour to explain the principles of directional aerials, and gradually the fog began to clear away.\n\n'So, You take three bearings on the fox from different locations, plot them on a map and the fox will be where the lines intersect!' I concluded, triumphantly.\n\n'Yes, you've got it,' came the chorus from the students' table. I threw them my world famous withering look.\n\n'Right then! We'll do it,' I stated, with authority.\n\nJust as we got up to leave, one of the students stopped us cold with: 'You should be ashamed of yourselves, using high tech equipment to hunt down and slaughter an innocent animal. I've got some friends who know how to deal with people like you.'\n\nWell! Old Cyril looked at me, and I at him. Our flabbers had never been so gasted. We synchronised Gallic shrugs, nodded our heads sadly and left the coffee bar. How I wish I had paid more attention to the long haired chappie; his pronouncement was to have dire consequences for all of us later on.\n\nHaving taken so long to find an amateur radio club, now that I belonged to one I was determined to enter fully into the spirit of things, and so I joined the club's committee. I put forward the suggestion for the fox-hunt at the very next meeting. To my surprise it was warmly received, so I didn't need the roller skates or the back door held open by Old Cyril after all. However, there was a proviso demanded by the club members. Old Cyril had to be the fox.\n\nI was puzzled by this until a fellow committee member explained all to me\n\nover a double brandy (my favourite drink, should we ever meet) at the committee meeting held to plan the fox-hunt. He related several apocryphal sounding tales of Old Cyril's DFing, finally ending with: 'And then there was the time he DFed the fox's position before the fox had even made his first transmission!'\n\n'Aw, c'mon. You're winding me up,' I complained.\n\n'Nope. S'true!'\n\n'How?'\n\n'Well, the crafty old bugger syphoned all the petrol out of the fox's car, then returned just the one gallon. Having noted the direction the fox set off in, Old Cyril carefully plotted the car's range on a map. Of course, it was quite a simple job to check all the likely areas. Old Cyril simply sat on the side of the road awaiting the arrival of the fox. He was just lighting his pipe as the fox rolled to a halt a few inches away from him.'\n\nWell! I mean, how can you fail to be impressed by such animal cunning? We quickly concluded our committee meeting, supped up and left the pub.\n\nNow, I can only concentrate on one thing at a time, but I concentrate and get involved one hundred per cent. Some people call it going over the top, or at least that's what the club members said as I drew up in my car on the evening of the fox-hunt.\n\nI leaned against the bonnet of my car, flicking an imaginary speck of dust off my scarlet, tailed hunting coat, casually slapping my white blanccoed jodhpurs with my riding crop and inspecting the shine on my knee length patent leather riding boots. 'Cor! Give us a toot on yer 'unting 'orn, John Peel,' said one of the older club members.\n\nI nonchalantly lifted the heavy brass hunting horn to my lips and blew into it. A sound like an old cabbage being swallowed by a waste disposal unit pierced the peaceful calm and silence of the warm summer evening. The club members stared aghast as I donned my hard black riding hat. 'Well, it is supposed to be a fox-hunt,' I explained to all the mouths hanging open as I walked around my car.\n\nWe had arranged for all club members to travel in pairs. For some strange reason I couldn't get anybody to travel with me. I gave another hearty blast on the hunting horn. Two cows in an adjacent field came galloping over, eyes shining bright and huge smiles on their bovine faces. On reaching the fence, their heads flipped from side to side, looking for the bull.\n\nEventually, there were three luckless bodies left without transport. 'Never mind, chaps, you can come with me,' I beamed at them. Sobbing deeply, they got into the car and with me in the back, hanging out of the window and tooting merrily on the hunting horn, we set off in pursuit of the fox.\n\nWe drove up to a small hill and I leaped into action with the dipole and the AGC-less two metre receiver. I waved the dipole around, listened intently to the receiver, then waved the dipole some more. Of course, I was getting about two million nulls. Picking one at random (I wonder where Random is?), I plotted its bearing on the only map I had; a Mercator projection of the whole world! The track of the bearing dissected the North Pole, then dog-legged across Eastern Siberia.\n\nOn looking down the hill to try and align the new map hastily thrust into my hands by my assistants, I noticed quite a crowd had gathered. I never connected the press reports of a scarlet coated satanist waving deer's antlers above his head whilst performing black magic rites with my DFing antics!\n\nBack to the car, and off for the second bearing. We travelled slowly down a country lane, with me hanging out of the car window, dipole in one hand, hunting horn in the other. I blew an occasional toot on the hunting horn, yelling 'Tally-ho!' for added authenticity. Pretty soon a dog appeared behind the car and began trotting after us. Then, from a hole in the hedgerow, another dog appeared. Then another - and another. By the time we had travelled two miles we had collected a pack of about forty dogs, all loping along behind the car.\n\nI was enjoying myself enormously by this time. I tooted on the hunting horn and the dogs woofed in unison. Toot - woof. Toot - woof. It went on for miles. Again we pulled up at the side of the road for a second bearing on the fox. The dogs milled around the car as I busied myself with rig and aerial.\n\nPresently, I heard a sound like distant thunder approaching. I ignored it for a while, but it grew louder and louder.\n\n'Stop mucking about with those coconut shells,' I commanded my assistants. However, I suddenly saw a score of huge horses leaping over a hawthorn hedge, with scarlet coated portly gentlemen in the driving seats. Spotting the car and the dogs, the leading horseman hastily reined in his horse and cantered up to us.\n\n'I say, old chap, which way to the fox?' enquired a bristling moustache seated on a giant bay horse.\n\nI delicately moved out of range of his waistcoat buttons which appeared to be fighting a losing battle to contain his straining stomach. 'Don't know yet, old bean,' I replied. 'I've still got one more bearing to take before I pinpoint his position, then we'll have the blighter!'\n\n'You mean you can pinpoint the fox by waving those two metal pipes around?'\n\nsaid the moustache, enormously impressed.\n\n'Is there any other way?' I riposted, nonchalantly.\n\nAll the scarlet coats, horses and dogs went into a huddle. I could overhear an excited buzz of conversation ripple around them. The horses seemed very impressed.\n\n'OK, We have the blighter! Crossroads - Armageddon Road and Slaughterhouse Lane,' I said, plotting the bearing on the map.\n\n'But this is absolutely fantastic, old boy,' said the moustache.\n\n'Hardly sporting though, Archibald, don't you know?' answered one of the moustache's lieutenants, looking at me down the length of his nose. I shrugged my shoulders. The moustache gave a long toot on his hunting horn, and I replied in kind, on mine.\n\n'Tally-ho!' he said.\n\n'Right on!' said I.\n\nThe horses, dogs, gentlemen and clouds of dust all disappeared up the road. We ambled back to the car, in no hurry now that we'd located the fox's position, but I kept the receiver on, to reassure us we were going in the right direction. Suddenly, the calm, slightly bored voice announcing a callsign and that he was the fox, turned into a panic induced shriek. Muffled bangs and crashes followed by muttered swearing filled the air waves. Then - silence.\n\nWorried about the shouting and the sounds of a desperate struggle which had come over my receiver, I urged our driver to put his foot down and we melted the tarmac in our haste to get to the fox. I knew that we weren't too far away; before the fox's signal had vanished he had three oranges and two cherries on the bargraph LED display.\n\nWe arrived at the brow of a hill which overlooked the crossroads and coasted to a stop. I held the hunting horn three inches away from my lips, frozen into immobility. We each stared with horrified eyes at the debacle confronting us at the foot of the hill. A scene of pure lunacy was being enacted before our very eyes. Army surplussed combat jackets filled with student types were running around the scarlet coated gentlemen on the horses, screaming and shouting abuse at them. They were waving home-made banners, twisting football rattles and generally making as much noise as possible. The horses were bucking and kicking, whilst the portly gentlemen were swiping indiscriminately at each side of their horses with horse whips.\n\nWe drove up to the fringe of the mêlée. Getting out of the car, I heard four student types yelling, 'We've got it! We've got the fox!'\n\nI saw them humping a large sack with something inside kicking and struggling furiously. To my horror, I recognised the four students holding the sack - they were the four people who had sat on my right in the coffee bar. On seeing me, they dropped the sack, which emitted a deep groan as it hit the ground and rolled over a few times. Another group of students rushed up to the sack and began spraying it with deodorants and various perfumes from an atomizer.\n\nThe four students who'd been carrying the sack marched up to me.\n\n'That's 'im. He's the one that organised it all,' said one of the students. A deathly silence greeted this announcement. The students stopped abusing the horsemen and vice versa. They walked over to me and formed a circle around me. I hoisted my hands into the air, in the international signal of 'I surrender'.\n\n'Look chaps, I'll give you a last chance to surrender,' I stuttered, nervously. The horsy types, intrigued, cantered over to join the circle.\n\n'I told you you'd regret using high tech methods for fox-hunting,' said the leader of the hunt saboteurs, pointing her finger to a row of parked cars. I followed her pointing finger and saw six club members standing at the sides of their cars, holding various parts of their amateur radio equipment, staring disconsolately at smashed dials and hacked wires. My heart hit my boots.\n\nI walked over to the still violently struggling sack, reached down and unfastened the string securing it. Out flopped a furious Old Cyril, which produced a gasp of amazement from the student types. I began an explanation of the terrible mistake they had made. Old Cyril, smelling like the perfumery department of Boots, added the odd four letter word at various stages.\n\n'I say, old boy. Could do with a drinky-boos, what?' said the bristling moustache. One of the students produced a six-pack of lager and passed one to the bristling moustache. The temperature lowered somewhat and the hunt saboteurs and horsemen both drifted off into small groups, discussing tactics and yarning about past hunts.\n\nI was left with the six angry amateurs. One produced a shotgun from the boot of his car and, without a word, passed it to Old Cyril. Old Cyril walked over to me, his eyes glowing with satanic intention. He pushed his grinning face into mine. I took several steps backwards - the smell of the perfume was overpowering. Old Cyril pushed past me and walked up to my car. He then quite calmly, and grinning broadly, proceeded to blast the front nearside tyre of my car with the shotgun. This produced a loud cheer from the six rigrless amateurs. Pumping the shotgun, Old Cyril methodically worked his way around my car, blasting the other tyres. Then, without a word to me, they returned to their cars and left.\n\nI stood staring down at my mortally wounded car, a big lump in my throat. I put the hunting horn to my lips for a final toot. As the echoes of the hunting horn were slowly dissipating, a reddish brown shape with a long bushy tail crawled out from beneath my car, slunk over to the discarded sack and rolled itself around on top of it. With a backwards grin at me, the vixen loped off into the gathering darkness. I could have sworn I heard it chuckling in the distance.\n\nIt makes a lot of sense for manufacturers to incorporate modular construction to allow one rig to cover up to four bands not covered by HF transceivers in general.\n\nThis brand new rig from Yaesu is normally supplied with 144 and 430MHz modules, each giving up to a nominal 25W output, but you can add 10W modules for 50 and 1296MHz bands, the latter being covered from 1240 up to 1300MHz. The FT736 provides LSB, USB, narrow or normal FM and CW, a 600Hz Rx filter being available as an optional extra. The rig also includes facilities for data input and output, as well as all the normal external computer control functions for use with packet, AMTOR and RTTY terminals.\n\nThe FT736 resembles both the earlier FT726, which it completely outclasses, and the FT767 HF transceiver, available with plug-in VHF and UHF modules. The FT767 gave a very unsatisfactory performance with the plug-in modules when I reviewed it a year ago, the main problem being the very high synthesizer noise. Let me assure readers straight away that Yaesu appear to have learned their lesson, for the synthesizer in the FT736 is the best Yaesu one yet, outclassing both HF and VHF Yaesu synthesizers so far encountered.\n\nThey have taken a long time to issue this rig, but it is quite clear that the delay has been well worthwhile. They have not only corrected many of the problems in the earlier rigs, but they have introduced some extremely useful and impressive ergonomic features. However, before launching into the rig's facilities and a description of its various functions, we had better have a look at the alternatives available. These need to be thought about in great depth before a rig such as this is contemplated.\n\nAll the eggs in one basket again\n\nThere are three completely different approaches that can be adopted when deciding what to purchase for multimode operation on two or more VHF/UHF bands. The first approach is to lay out a lot of money on the best and most suitable HF transceiver that you can possibly afford, adding transverters to it for each band.\n\nSSB Products are increasing their range of transverters and very shortly they should be introducing their 28/430MHz model, which could run alongside the 28/144MHz one which I reviewed a year or so ago. They do not as yet make a 50MHz one, but RN Electronics should be producing a 28MHz IF version of their successful 144/50MHz one which I reviewed last Christmas. BNOS also promise to introduce some transverters soon.\n\nIf you are fortunate enough to be able to find 50 or 144MHz muTek transverters in good condition second-hand, you will be very lucky indeed, for they offer a superb performance but are no longer made (see Radcom's news pages, March 1988). Under the right circumstances, with careful attention to attenuator settings on the HF rig, the use of external transverters still offers the best possible overall performance, with superb system noise figures and RF input intercept points, so necessary for successful contest and DX operating.\n\nThe second alternative is to select the best multimode monoband rig for each band that is required. The new Icom 575, 275 and 475 models will, presumably, have a 1275 model added eventually for 23cm. The standard of performance of all these rigs is generally good (and somewhat better than the competition so far, other than dedicated transverters), but the cost of having two or more monoband rigs is becoming prohibitive compared with the significantly lower cost of a multiband rig. Incidentally, the Icom IC575 includes 28 as well as 50MHz, but you only get 10W PEP for your money!\n\nThe third alternative is to purchase a rig such as the new FT736, the Trio TS780, a second-hand Yaesu FT726 or the Yaesu FT767 set-up, which I did not recommend. The FT736 under review is quite clearly the best multiband VHF/UHF rig available; its release will almost certainly result in second-hand prices of the older models beginning to fall. The biggest problem, though, is that you have all your eggs in one basket and, if you are as keen as I am and have the four band modules incorporated, you will be QRT on all bands if your rig has to go for a service. It is therefore even more important for you to investigate the efficiency of after sales service given by the dealer of your choice.\n\nTuning methods\n\nYou can access a frequency on the FT736 in several different ways. You can select the required band first, then the mode and tune up and down the band either with the normal VFO tuning knob or in selectable steps. A separate click step rotary can be selected to tune up and down in channels. The main VFO rotates in 10Hz or 100Hz steps at approximately 10 or 100kHz per rev; the click step rotary can be selected to vary...\n\nin 5, 10, 12.5, 15, 20, 25, 30 or 50kHz steps for FM and 2.5 or 5kHz steps on CW/SSB. Once the step size has been selected for a mode on one of the bands, a non-volatile memory retains the selection.\n\nNote that you can select a different stepping rate for different bands; the rates for SSB/CW and FM can be set separately. Selector buttons choose either the main VFO or the click steps. Above the main VFO knob are two more buttons labelled 'up' and 'down'. You can use these for stepping, with the step rate appropriate to the chosen VFO or click step knob. As with the microphone's up and down buttons, you can also use the rig's up and down buttons for starting or stopping a scan.\n\nYou can enter a required frequency directly from the comprehensive keypad on the right-hand side of the front panel. There is provision for altering just one digit of a frequency with this keypad. The keypad is also used for accessing dozens of different functions, including memory selection, programmable search start and stop frequencies and various repeater and dual VFO functions.\n\n**Memory and repeater functions**\n\nThere are 100 basic memories, which can retain frequency, mode and repeater information. In addition, there are separate memories for many different sets of duplex frequencies and specialised split VFO channels. Each band module retains its own information in conjunction with the main microprocessors in the rig, thus allowing different step and repeater shift data to be stored in non-volatile memories for each band.\n\nThe version sold in the UK is the 736R/C1. This also incorporates an automatic repeater shift on each band, which puts the shift in completely automatically when you are on a repeater frequency but takes it out again when you shift to a simplex one. Simplex or repeater shift can, of course, be overruled on a specific frequency.\n\nThere are two call buttons, which allow immediate access to a preselected call frequency. Whereas call 1 accesses just one stored frequency, known as a global call frequency, the call 2 button accesses a different call frequency on each band. You can select either of two VFOs known as A or B, but there is much more to it than this. Each of these VFOs has different stored frequencies and modes on each of the bands, so you could always use VFO A for SSB and B for FM, for example.\n\nIf you select 'satellite' operation, two more frequencies are stored as if there were two more VFOs, the receive and transmit frequencies being memorised independently. A series of satellite memories can also be accessed. You could choose to alter either receive or transmit duplex frequencies whilst transmitting, but there is a facility, which I believe is unique, for altering the two satellite frequencies at the same time, with one going upwards whilst the other is going down in frequency!\n\nThe FT736 can be programmed to go into the priority mode, which allows a required channel to be scanned very briefly whilst you are listening to another frequency.\n\n**VFO to memory and memory to VFO**\n\nA check button allows you to select any required memory and see what frequency is stored in it without affecting normal operation. In this way, you can set a memory up that you know you will want to use shortly or, alternatively, a channel that you will want to store something on. You can at any time store a VFO frequency or frequencies into a memory. The rig also allows you to switch a memorised frequency to the VFO for manipulation, whilst also storing the previous VFO frequency into the memory. This can turn out to be an excellent way to completely louse up a memorised frequency, so one does have to be rather careful!\n\nFor a short while I was baffled that there was no apparent direct memory to VFO facility; it only took a minute or two, however, to realise that there is a perfectly good memory to VFO function. One must simply press the VFO/memory switch over and, following this, immediately depress the VFO to memory button. This worked without any trouble, although I would have preferred a single button to do the job.\n\nOnce you have selected a memory, you\n\ncan select the next one with a frequency stored in it by using the click rotary or up and down buttons.\n\nI found memory access very simple and band change ergonomics excellent.\n\n**Narrower FM channeling**\n\nAn extremely important new feature should be very popular for use on busy bands. Among the mode buttons are two for selecting normal FM or FM narrow. The normal FM IF filter has around 12kHz bandwidth. This in itself gives quite good selectivity, better than all previous Yaesu rigs checked, but if you press FM narrow an 8kHz filter is switched in, giving superb FM selectivity for 12.5kHz channeling.\n\nThe buttons not only change the Rx filters, though, they also change the deviation limiting threshold on Tx between just under 5kHz and just over 2.5kHz. This is undoubtedly a step in the right direction, although the considerable amount of research work that I have carried out for the RSGB's VHF Committee has shown that, for amateur radio purposes, it is not really necessary to reduce deviation to less than around 3 to 3.5kHz peak in order to obtain reasonable adjacent channel clearance.\n\nThe FM filters are of good quality and have quite steep sides, so an average FM transmission peaking at 5kHz deviation will sound distorted on peaks in the narrow position. However, if the transmitting station turns the deviation down somewhat, there is very little loss in system performance with the FT736 switched to narrow. The improvement in selectivity is phenomenal, however, and a strong station operating 12.5kHz off channel should not cause annoying interference unless the station is over deviating. I hope that other manufacturers will follow Yaesu's example here.\n\n**Front panel controls**\n\nSplit concentric rotaries are provided for carrier level/mic gain, audio tone control and squelch (all modes) and Rx audio and RF gains. The mic gain is operative on all modes, which I think is a very great advantage. The RF carrier level also operates on all modes and can be used to reduce the output power or PEP by up to 30dB. Thus, when set fully anti-clockwise, I was able to peak just 25mW quite predictably on SSB, for example. Although I like the idea of an audio tone control, I did note that there was not enough HF output when the control was fully clockwise and reproduction was far too woofy when it was anti-clockwise. I tend to prefer control with a centre indent, which cuts HF one way and LF the other way.\n\nA switch selects three speeds of AGC. I found this a great advantage for SSB, where the medium speed was ideal when many stations were in a net with fairly short overs, but I liked going to slow AGC for longer overs. There was no way to turn AGC off, however, which is a pity.\n\nA five-position satellite switch has to be set to 'off' for normal use, with the remaining four positions being provided for satellite or other duplex operations.\n\nThe 'Rx' position enables the Rx frequency to be selected in the normal way, whilst the 'Tx' position allows one to vary the Tx frequency. In these two positions, the displayed frequency is the relevant one, actual duplex operation being possible once the PTT is pushed in. It is possible to alter just the Rx or Tx frequencies individually, but if you select the next position, 'normal', then both Rx and Tx frequencies can be varied in tandem.\n\nWith the final position, 'reverse', the received frequency goes in the opposite direction to the transmitted one, which can really tie you in the most dreadful knots if you are not concentrating very hard!\n\nIn the satellite mode, FM can be used as well as CW or SSB and separate modes can be chosen for Rx and Tx. There seemed to be almost no desensing at all when I used this facility for FM for 2m/70cm duplex, even when the transmitting and receiving aerials were fairly close to each other.\n\nMini rotaries are provided to adjust vox gain, anti-vox, vox delay and CW keying speed (optional board available to work with an external paddle). A rotary switches the meter to read Rx FM centre zero or S-meter, Tx power output or ALC. In duplex operation, the meter can be switched to read the received signal, if required, by selecting special switched positions.\n\nA large push-button provides 13.8V dc on the centre of the co-ax socket of the\n\nYaesu FT736 Laboratory Measurements\n\n**Receiver Measurements**\n\n- **SSB 12dB sinad sensitivity**\n - 144MHz: $-125.5\\text{dBm (0.12\\mu V)}$\n - 432MHz: $-127\\text{dBm (0.1\\mu V)}$\n\n- **FM normal 12dB sinad**\n - 144MHz: $-123.5\\text{dBm (0.15\\mu V)}$\n - 432MHz: $-124.5\\text{dBm (0.13\\mu V)}$\n\n- **FM normal 12dB sinad, offset 1.5KHz tuning for best**\n - 144MHz: $-124.5\\text{dBm (0.13\\mu V)}$\n - 432MHz: $-125.5\\text{dBm (0.12\\mu V)}$\n\n- **RF input intercept point, 100kHz spacing**\n - 144MHz: $-8\\text{dBm}$\n - 432MHz: $-12.5\\text{dBm}$\n\n- **Reciprocal mixing performance, offset carrier level/SSB noise floor 144MHz**\n - 5kHz: $81\\text{dB ratio}$\n - 10kHz: $90$\n - 20kHz: $97$\n - 50kHz: $109$\n - 100kHz: $116$\n\n- **S-meter**\n - S1: $-113\\text{dBm}$\n - S3: $-110$\n - S5: $-107$\n - S7: $-101$\n - S9: $-93$\n - S9 + 20: $-74$\n - S9 + 40: $-54$\n - S9 + 60: $-35$\n\n- **SSB selectivity bandwidth:**\n - 3dB: $1.9\\text{kHz}$\n - 6dB: $2.4$\n - 40dB: $3.2$\n - 60dB: $4.2$\n - 70dB: $4.2$\n - 80dB: $4.2$\n\n- **FM selectivity normal filter ±12.5KHz**\n - $+11/+16.5\\text{dB}$\n- **normal filter ±25KHz**\n - $+75.5/+76.5\\text{dB}$\n- **narrow filter ±12.5KHz**\n - $+24.5/+26\\text{dB}$\n- **narrow filter ±25KHz**\n - $+77/+77\\text{dB}$\n\n- **FM capture ratio normal filter**\n - $4.1\\text{dB}$\n- **narrow filter**\n - $4.3\\text{dB}$\n\n- **SSB product detector distortion (static test)**\n - FM distortion higher deviations between 3 and 5kHz\n - 1% THD\n - 2.5 to 3%, lower deviations 1 to 1.5%\n\n- **Maximum audio output for 10% THD**\n - 8 ohms: $2.1\\text{W}$\n - 4 ohms: $3.5\\text{W}$\n\n- **Received frequency accuracy after warm up (SSB)**\n - 144MHz: average 20Hz\n - 432MHz: average 70Hz\n\n- **Typical drift over 1 hour from switch on**\n - around 50Hz\n\n**Transmitter Measurements**\n\n- **Power output FM 144MHz**\n - 430 to 439MHz: 26 to 25W across band\n - 23 to 20W\n\n- **Typical SSB two-tone PEP 144MHz**\n - 432MHz: 24W max\n - 20W typically\n\n- **Variable power range ref full power**\n - 0 to $-30\\text{dB (typically 25W to 25W)}$\n\n- **SSB carrier rejection**\n - $-51\\text{dB}$\n- **Alternate SSB rejection 1kHz audio**\n - typically 60dB\n\n- **FM max deviation normal filter 1kHz audio**\n - $4.7\\text{kHz}$\n- **normal filter 600Hz audio**\n - $5\\text{kHz}$\n- **narrow filter 1kHz audio**\n - $2.7\\text{kHz}$\n\n- **Transmitted frequency accuracy after warm up**\n - 144MHz: 10Hz (high)\n - 435MHz: 20Hz (low)\n\n- **Tx response FM ref 1kHz**\n - 100Hz: $-16\\text{dB}$\n - 350Hz: $-3\\text{dB}$\n - 2.6kHz: $-3\\text{dB}$\n - 3.2kHz: $-10\\text{dB}$\n - 4kHz: $-15\\text{dB (all ref 750\\mu s de-emphasis)}$\n\n- **Size (WxHxD with projections)**\n - $368 \\times 129 \\times 286$\n\n- **Weight**\n - $9\\text{kg}$\n\nselected module for masthead pre-amp operation. On Tx, the voltage is instantly withdrawn to disable the masthead pre-amp.\n\nThere is one serious snag, however. Judging by the review sample, this entire facility can only be activated if a special jumper plug supplied is pushed home inside the appropriate module. However, getting at the module to do this is a lengthy and very tiresome job and, since we had very little time to carry out this review, we could not check the operation. I am most surprised that the factory did not despatch the equipment with the jumper plugs in position for each of the modules. If there is any chance that you will require the masthead facility, you should insist on the dealer doing the job for you.\n\nIt would have been so much better if, as in an alternative rig reviewed recently, the masthead drive facility was on a back panel switch.\n\nIncidentally, from my personal experience, I can strongly recommend SSB Products' mastheads for use with this rig, as they have a very fine performance. Take care not to put 13V onto a co-ax lead directly connected to a dummy load or to an antenna system which puts a dc short circuit across the line.\n\nIn addition to mains on/off and Tx/Rx buttons, there are also switches for Tx processor on/off; noise blanker on/off; dial lock; notch filter enable, VFO A or B; split VFO for Rx and Tx in either direction, VFO dial or rotary click steps separate for SSB/CW and FM; CW keyer on/off; 1750Hz auto toneburst on/off; scanner pause on/off and light dim.\n\n**Microprocessor operation**\n\nTo the right of the VFO are all the buttons used to interface with the microprocessors in the rig. Many of the buttons have second functions. The mode buttons (LSB, USB, FM narrow, FM normal, CW narrow and CW normal) have second functions, giving plus or minus repeater shifts or simplex, plus various enabling functions for tone squelch and Yaesu's AQS system, etc.\n\nTwo buttons are provided for QSYing up and down in 1MHz jumps and a split concentric rotary provides notch filter tuning and IF shift, the latter having a centre indent. A rotary is provided for adjustment of CW sidetone level. Three large buttons are used for switching to Tx with continuous toneburst, for selecting the second function of various buttons and for commencing an 'enter' process, eg, a required VFO frequency.\n\nMatrix pad functions include VFO select, memory recall, step rate, memory check, T set, VFO and memory switch round, memory write from VFO, programmed search clarifier on/off, speech enable (speech frequency readout board type FVS-1 is an optional extra), call 1 and call 2, frequency band, reverse repeater and priority channel. Second functions include numbers 1 to 9 and 0, *, 'hash', code and offset. Additional buttons control various AQS functions.\n\nThe front panel display gives frequency with 100Hz resolution, selected memory channel in reserve and all the normal status indications. The S-meter is by the side of the frequency display. The front panel microphone socket has eight pins wired to the normal Yaesu configuration, which is different to Icom and Kenwood. There is also a quarter-inch headphone jack by its side. The rig has a carrying handle on the right cheek and is fitted with four feet underneath, extender feet being provided if you want to use them to raise the front. The loudspeaker is mounted on the top of the cabinet.\n\nShoot the reviewer!\n\nThis rig has the fascinating facility of automatically selecting repeater shift just between 145.6 and 145.8MHz. My wife, Fiona, and I spent a good hour trying to get this function to work, but it would only go into repeater shift under manual control. I telephoned the official Yaesu importers and applied many checks to the rig whilst on the phone to them. They went away and tried their own showroom model and eventually phoned me back to suggest that the set, which had been loaned to me by a very kind and helpful reader, was actually a faulty one. It was suggested that perhaps Yaesu had introduced some strange modifications.\n\nWe looked all the way through the manual to no avail. It was when we were writing this review and had reached the part about the top panel loudspeaker that I asked Fiona what on earth the two tiny rubber bungs were near the front. She didn't think there was anything down there but, on closer examination with a torch, there was a suspicion of two tiny microswitches a good half-inch down.\n\nCloser perusal of the handbook found section 2.2 'top panel switches'. The first one was boring, its job being to reset the microprocessor, but the second switch produced considerable hilarity, for it was provided to switch off the automatic repeater shift function. Fiona eventually found a tiny screwdriver and, after much fiddling, managed to slide the switch over, whereupon the auto repeater function worked perfectly and all was forgiven. I don't feel too much of an idiot, though, and I await SMC's reaction when they too discover this secret switch!\n\nThe rear panel\n\nThe rig can be used either on 240V ac mains (as normally connected, but other mains voltages are available) or 13.8V dc. The ac socket is a standard IEC mains type. The output of the mains PSU feeds out of the rig and back in again to the dc socket, a separate dc power lead being an optional extra. The wiring of the IEC socket is perhaps a little bit 'open to the wind' internally, so do be careful if you have the lid off and are poking around with the mains connected.\n\nSomewhat surprisingly, each module only has the antenna socket connection for the outside world, N type sockets being fitted to the UHF and microwave modules whilst S0239s are provided for the 6m and 2m ones. A five pin 'standby' socket provides solid-state switching pins for separate connection to external linear. It is most unfortunate that these pins were not independent short on Tx open or Rx relay connections, so interfacing will be very awkward for most makes of linear. Another multipin socket is provided as a CAT interface, with serial in and out, squelch on/off and 13.8V being available.\n\nA separate data three contact micro jack is used for computer controlling. A 3.5mm jack socket is fitted for connection to an external speaker and a three-pole quarter inch jack is for a straight or paddle key connection. External PTT can be connected to a phono-type socket. Two large heatsinks occupy most of the space on the back panel.\n\nI have to make the comment that I am very disappointed that no further interfacing is provided, so there is no input for external ALC, no convenient recorder feeds and none of the switching facilities that are fitted to models like the FT767.\n\nErgonomics\n\nAlthough this rig has a great complexity of buttons, they are very sensibly laid out and easy to use. It should not take you too long to get the rig working in most of its modes, but some of the more specialised ones do require you to tuck your head into the instruction book for a while!\n\nI very much liked the operational convenience of having the separate VFO knob and rotary click step control. The VFO runs very smoothly and is heavily knurled, a large finger hole also being fitted with a bearing which allows you to turn the VFO with your finger very rapidly. It is an excellent idea to have switches to select VFO or click steps for each step and the choice of steps is excellent. The up and down buttons above the VFO seem a little superfluous, however, unless you want to commence scanning; most users would probably use the up/down keys on the mic anyway.\n\nI must praise the automatic repeater shift facility very highly. This operates on the 144MHz band only; it would have been very convenient if it could have been user programmable onto the 432MHz band as well, but perhaps this is too much to ask!\n\nMemories were very easy to access and I soon got used to pressing two buttons to gain the memory to VFO function. The latter I feel is a must for any rig of this type these days.\n\nI did not try the AQS system controls but I cannot help but feel that very few people are likely to be interested in using them because of the ludicrous lack of standardisation between all the manufacturers. It seems very childish for the Japanese manufacturers to each go their own way on this. They have done the same for years over the microphone socket pin connections, a constant irritation both to the trade and to amateurs who like fiddling around with mics.\n\nI very much appreciated the facility for decreasing transmitted power by up to 30dB and the carrier level control had quite a smooth action on this. I also liked being able to alter the mic gain for FM as well as SSB. I do not understand why this gain is fixed for FM on so many other rigs, as some users almost eat a microphone.\n\nwhilst others get well back and need much more mic gain.\n\nI think that it is right to put the VOX controls on the front panel for a similar reason, although I do not like VOX on FM. Having three speeds of AGC is a great advantage and accessing the duplex mode with a rotary switch is commendable. I do prefer rotary switches to cyclic button pushing; perhaps Yaesu are now getting more consumer reaction against cyclic operating buttons. Manufacturers will only learn what people like and dislike if users let them know directly. I find that, in practice, it is no good letting shops know, as they often cannot be bothered to pass on the comments, especially if they are very busy at the time.\n\nThe notch filter was very poor indeed, the notch depth being less than 10dB, but I hope this was due to maladjustment rather than a design fault. The noise blanker seemed to be satisfactory.\n\nI was very surprised that various interfacing possibilities were omitted on the actual modules themselves, for this was the obvious place to put external linear control, ALC input (completely omitted on the 736) and a switch to enable a masthead pre-amp on Rx. It would also be handy to have an easily available counter-sunk preset on the module's rear panel to set the maximum output power at a lower level than the factory set one. This would stop fiddlers at portable sites from whipping up the drive to a linear which may only require 10W PEP, for example.\n\n**Subjective trials**\n\nI was impressed by the rig's sensitivity on 70cm SSB and FM but the performance on 2m was not quite so good, although better than some of the competition. The selectivity was outstandingly good on all modes and I did not experience any RF input intermodulation problems until I put the masthead pre-amp on 2m by external control. Transmitted and receive quality were both reasonably good, but some amateurs may find the microphone somewhat coloured in the mid-frequency region. FM reception was excellent and the tonal quality good, but I felt that SSB sounded a little muffled, although the actual bandwidth was ideal as far as the IF filter is concerned.\n\nIt seemed that there was too much audio cut at HF. There did not seem to be quite enough audio power available on the internal speaker and, in making a careful comparison of transient distortion on the 736 against my Kenwood TS940S/muTek on SSB, there seemed to be a slight roughness on peaks on the Yaesu which was not noticeable on the Kenwood. This would not be of concern to many, but was noticed by several friends of mine in my shack during the '73.\n\nThe rig worked well on CW, although the optional narrow CW filter was not supplied on this sample as the friend who loaned it to me is not particularly interested in that mode. Unfortunately, it was not fitted with speech frequency readout, so I could not try this either, and, whilst he was interested in the 6m and 23cm modules, they had not yet arrived at the retailers.\n\n**Brief circuit description**\n\nThe main rig has intermediate frequencies of 13.69MHz and 455kHz. Each module contains its own mixer, fed with the output from its own synthesizer and, whereas the two VHF modules both mix down directly to 13.69MHz, the 70cm UHF module has an extra IF of 47.43MHz. The 23cm module also has an extra intermediate frequency, at 133.91MHz. GaAsFET front ends are provided for the UHF and microwave units, whereas the VHF ones use conventional devices.\n\nThe synthesizer on each module takes its frequency standard from the temperature compensated crystal oscillator in the main rig, this being a very stable one. The RF circuits and PA blocks are all separate for each module. Digital information is provided from the rig's main microprocessor to processors within each module to give the required information for appropriate frequency synthesis.\n\nMuch of the internal construction is in the form of vertically mounted printed circuit boards, many of the interconnections being on plugs and sockets. There is quite a lot of room around for experts to put in their favourite modifications, but I would not advise anyone to fiddle about inside unless they really do know what they are doing! Although the instruction book is reasonably clear, far better than the majority of Kenwood ones, for example, I still feel that amateurs are not given enough information about the circuitry and I am sure that many users of equipment do like to read for themselves all about the principles of circuit design, etc. I remember that most rig manuals of 20 years ago were very much better than they are today.\n\n**Laboratory tests**\n\n*Complete receiver with 144MHz module*\n\nThe front end sensitivity on 144MHz measured well, although not quite as well as that of a first class transverter. The front end intercept point, although measuring quite satisfactorily, was actually about 10dB inferior to the performance of muTek front ends; I remain baffled as to why Japanese designers don't seem to be able to get their front ends right.\n\nTo put it into perspective, though, the FT736 intermodulation performance is much better than many older rigs and you are not likely to have any intermodulation problems unless you are using a masthead preamplifier and have some very strong competition around.\n\nI have to admit to being very surprised to find that Yaesu's synthesizer design is better than they have achieved before - measurements produced some excellent figures for a VHF rig. You can often tell by just listening to a carrier that synthesizer noise is good. Harmonic distortion and noise actually measured at very low levels. Reciprocal mixing performance is important on 144MHz, and it was in this area that I criticised the FT767 144MHz module so strongly.\n\nThe FM sensitivity did not quite come up to expectation, despite being checked several times on different frequencies, but I noted that it was actually around 1dB better if I retuned the oscillator to 1.5kHz off channel. Since the synthesizers were obviously very accurate and SSB frequency accuracy was superb, I have to assume that the discriminator was very slightly out of adjustment.\n\nThe selectivity on SSB was outstandingly good and, in order to get sensible and accurate measurements, I had to use the low noise muTek oscillator. Since the rig only gave frequency to 100Hz resolution, what more can I say other than that the filter is virtually a brick wall at around 4.2KHz bandwidth. The −60, −70 and −80dB bandwidths all measured between 4.2 and 4.3kHz.\n\nWhen I tuned across GB3VHF (I receive it at about 30dB above the level required for S9), the signal suddenly vanished outside the passband. Clean but strong signals seemed to knife out when I tuned away from them and the measurements confirm the excellent subjective impressions. FM narrow and wide filters were both superb, with about the best compromise that I have yet noted on an NBFM rig.\n\nWe noted a 20dB difference between S1 and S9, the S1 indication being at approximately 24dB above the receiver noise floor. The plus 20, 40 and 60dB points were all remarkably accurate to within a dB or two. On FM, the S-meter had only 14dB range between S1 and 9 and, whilst this is not the worst on FM, it is not particularly good, readings above S9 being ridiculous.\n\nAlthough the harmonic distortion, including noise, on SSB was only 1%, two-tone intermodulation well within the filter passband was fairly poor. Third order products at around 3.2% were noted on static tones, considerably higher distortion being seen on medium AGC. This was more apparent on fast than on slow AGC, perhaps showing up the reason for transient distortion heard in the subjective tests. However, the distortion was considered a lot better than on the earlier FT726, and Icom rigs do not seem to measure any better anyway, although Kenwood ones do.\n\nFM distortion with the wide filter was a little high at between 2.5 and 3% at higher deviations. Lower ones were very much cleaner, however, again pointing perhaps to incorrect discriminator adjustment. The maximum audio power output was slightly limited into both 8 and 4 ohms and I would have liked a lot more in a mains rig.\n\nAfter we had measured the FM received response, we understood the reason for a slight plumminess audible on most FM stations; the LF response\n\nwas extended flat to well below 200Hz and even 100Hz was only just over 5dB down. If you contrast this with 3kHz at nearly 7dB down, the roll-off continuing very steeply above this, you will see that the response is not ideal, the plot being taken with the treble control flat out (Plot 1). The ideal response should be flat from around 350Hz to 3kHz with 12 or even 18dB per octave cut outside these limits.\n\nFM capture ratio measured well and quieting was also excellent, especially with the narrow FM filter which, incidentally, gave a marginally better sinad sensitivity than the wider filter did.\n\nFinally, I must commend the incredibly accurate main crystal reference frequency, as the SSB received frequency error was a mere 20Hz after a few minutes warm up, the rig maintaining this minute error for well over an hour without noticeable drift. I would consider an HF rig to be good with this accuracy, but for a VHF one it is incredible.\n\n432MHz module front end\n\nThe 432MHz sensitivity was some 1.5dB better than that of the 144MHz module, first class in fact, just 0.1µV emf/2 being required for 12dB sinad. FM was also very good, but again not quite as good as should have been obtained because the same discriminator problem arose.\n\nThe RF intermodulation distortion performance again measured quite well, and there is not normally the problem on 432MHz that there is on 144MHz. Reciprocal mixing seemed satisfactory, but no actual measurements were taken because of insufficient time.\n\nThe frequency accuracy was superb, an error of just under 70Hz being noted after warm up, this remaining stable for a long time. The front end gain was very similar to that of the 144MHz module and the S9 reading was within 1dB.\n\nTx tests\n\nThe complete transmitter section including the 144MHz module\n\nOn the 144MHz band the FM and CW output powers were around 25W output, with just a very slight rise noted at the very bottom end of the band. On SSB, we could not get more than 24W PEP on two tones if they were of equal level. When the carrier control was set to minimum the power was reduced to only 25mW, a very useful facility.\n\nRF harmonics were at very low levels. The second harmonic, for example, was at −67dB. Although we tried long and hard to find spurii or transmitted images, none were noted on the spectrum analyser, the noise floor being typically at −80dB. I think this is quite remarkable.\n\nThe SSB carrier balance had been quite well set, the carrier being typically at a level of −51dB ref full output. The alternate sideband breakthrough at 1kHz was at −60dB, which is very good indeed.\n\nComing to the two-tone tests of the PA block, I have to express once again my dissatisfaction with modern PA block design. Third order products at −20dB are just not good enough (see Plot 2), nor is the fact that the high order products do not drop below −60dB until they go a long way out. Although results are cleaner at lower output levels (Plot 3), they do not drop rapidly enough. Contrast all these results with the SSB Products transverter, which I reviewed so favourably last year.\n\nIt is not just Yaesu who are fitting PAs that are not really good enough, for I seem to be criticising almost all Japanese PAs these days. It is high time Japanese manufacturers did something about it. Perhaps it is the lack of use of discrete component circuitry which is the problem. Whatever, I do feel it should be given top priority, especially as a rig which is so good in almost every other way is highly likely to be used with good valve linears for contest operation.\n\nThe AF/RF transmitted response plot (Plot 4), taken from mic input at low level to carrier output at a maximum of 2W carrier, is thus well below any ALC action. You can see how very steep the filter skirts are, although the top of the passband has a strange step in it which causes the top octave of speech frequencies within the passband to be transmitted at around half the power given to the lower register below 1kHz. I do not know the reason for this, but it will not help DX readability.\n\nThe peak FM deviation on the normal filter was very accurately set for 25kHz channelling. The maximum possible deviation also fell very rapidly at the HF end to prevent excessive transmitted bandwidth. At 3kHz the maximum possible deviation was just at 2.5kHz, 6dB down on the maximum at lower frequencies. With the narrow filter selected, the maximum possible deviation was reduced to only 2.7kHz at 1kHz audio frequency. I consider that this deviation is too low for an amateur radio service, although about right for a commercial one.\n\nThe actual limiting came in at just above 2.3kHz, incidentally, again on the low side. Reverting to the wider deviation performance, the signal-to-noise ratio was typically around 40dB, this being mainly background hiss. Distortion was below 1.7% for deviations below 3kHz, but above this distortion rose to around 6%. The transmitted response at lower levels was almost ideal, virtually what I recommend for Rx, in actual fact! The response was very well attenuated outside the range 300Hz to 3kHz. The toneburst frequency was accurate and its deviation just about right.\n\nWe noted the transmitted frequency error to be only 60Hz high immediately after switch on and, after some minutes, the error was only 10Hz – quite astonishing accuracy.\n\nThe 432MHz module\n\nFM power tests on this module showed that the output was varying between 23W at the bottom end of the band up to just 20W at 439MHz on FM. As with 144MHz, we could not get quite as much power out with two-tones on SSB, a maximum of around 20W PEP being available. What was very odd in the two-tone plots was that the LSB and USB products were grossly dissimilar. Note in particular the third order of −20dB and −38dB on the 20W PEP plot. There was clearly some cancellation going on, but there is also a pointer to bad circuit layout, possibly even within the PA block itself, which might be outside Yaesu’s direct control.\n\nNote, again, that the high order products do not drop as they should do (Plot 5), although the performance is better at lower levels (Plot 6).\n\nDeviations on FM and SSB performance were noted to be virtually identical on 432MHz, so full tests were not repeated. However, we checked for frequency accuracy and 435MHz FM was only 20Hz low, an SSB carrier being just 70Hz low. The two measurements were taken at around an hour apart, showing how little drift there was.\n\nConclusions\n\nThere is much that is impressive about this new rig and it deserves to be a better seller still than its predecessor, the FT726. I must particularly praise the receiver section, which is among the finest VHF/UHF designs to have come out of Japan. The transmitter section was also satisfactory, apart from the SSB intermodulation performance which I feel is not good enough for contest working if the rig is to be used with a big linear. Perhaps I am being too niggly here, for I have no doubt that its 13.8V dc facility will encourage its use by many portable contest stations who will find the CW narrow filter, IF passband tuning and its many other facilities suitable for contest working.\n\nAlthough I am told the rig is officially priced at £1,450 including VAT, telephone enquiries showed that it can be bought for at least £100 less if you shop around. Sometimes this may be in the form of an inflated trade-in price on an old rig, whilst at other times, if you have enough cheek and very crisp notes in your hand, you might get it from your friendly local retailer. However, don’t try too hard for discount if you want absolutely tip-top after sales service.\n\nIn conclusion, I recommend this rig highly. I think it is very good value for money, considering its facilities and the available options. The speech option will be a boon for blind amateurs. I would particularly like to thank most warmly my friend for so very kindly loaning me this rig immediately after purchasing it and, of course, Fiona, for helping with all the measurements and the word processing.\n\nSome back copies of Angus McKenzie’s reviews are available. For details contact us at the address on page 3\n\nIt is only in recent years that dual-band antennas have been made available to the amateur on the 144 and 432MHz bands, with the exception of a few discones and log aperiodic types. The earliest dual-band mobile antenna that I know of is the Trio-Kenwood MA4000. When I tested this it performed excellently until I absent-mindedly put 100W into it; the feed coil in the base promptly blew up. I learned my lesson and I was very careful with the second sample loaned to me.\n\nI reviewed this antenna in comparison with two other dual-band mobile antennas in the July '87 issue of *Amateur Radio*.\n\nHokushin, distributed by Lowe Electronics, have now introduced two new higher gain models: a mobile, type HS727VME, and the HSWX1, which is referred to in the instructions somewhat amusingly as a 'grand plane' version. The latter is intended for roof mounting and is supplied with various types of bracket for ease of installation.\n\n**The Hokushin HS727VME**\n\nThis mobile dual-bander is supplied with a PL259 plug recessed into the base which screws directly into an SO239 type mag mount or gutter mount socket. It seems that the thread is of the more unusual Japanese metric type rather than the ubiquitous, and older, European type thread, although it did screw onto a normal gutter mount quite adequately.\n\nThe antenna is marginally over 1.5m long from the base to the tip. It includes a matching network in the base and two large two-turn coils approximately one third and two thirds of the way up the antenna, a short joining section being provided in the centre.\n\nThe antenna is effectively a matched 3/4 wave on 144MHz and three 5/8 waves in series on 432MHz, giving considerable gain over a normal 1/4 wave vertical on both bands. As I do not have an antenna measurement range, I can only quote the subjective difference in practice between this antenna and my own MA4000, which I have used for some years.\n\nTests conducted outside my front door were misleading, as differences were varying from none at all up to a whole S point. These were all influenced by the angle of radiation, reflections from local buildings and even my own antenna masts, so it is better to give the subjective impression of a difference of nearly an S point in general use on the open road.\n\nKen G3MSW uses a very similar antenna to the one under review and regularly drives from Essex right across to the M25, near the A1, and agrees that an improvement of nearly an S point over the more usual dual collinear is a fair estimate. 70cm repeaters that are very marginal over the simpler antenna are fairly weak, but quite usable with the triple % on 433MHz FM.\n\nI used the antenna on a long journey from North London to Ipswich and there was definitely an extension of my range on both bands. Furthermore, I was able to hold a QSO with a fixed station for much longer than I would have normally expected. In the past few years I have frequently travelled to the Braintree area, so I do know the terrain fairly well.\n\nBoth Ken and I were a little concerned about the greater than average length of this antenna. When screwed into an elderly gutter mount, in good condition, on the left side of the car, the tip of the antenna brushed several trees. This was less of a problem when used with a mag mount in the centre of the roof.\n\n**A strange problem**\n\nWhen Fiona and I first measured the SWR of the antenna mounted in this way, we obtained figures that were unexpectedly poor on the 432MHz band, although the 144MHz figures were good. I was very surprised at this and wondered if some moisture had got into the lead. So, all of the tests were repeated with a brand new spare lead which we happened to have. Readings were almost identical, so at this point I screwed on a very high quality Bird 50 ohm dummy load to the gutter mount socket end. I was astonished to see a 1.4:1 SWR on the old lead and just over 1.3:1 on the brand new one. Initially, I did not know what to do but, after a hunt, I found a superb quality 934MHz mag mount complete with an SO239 socket.\n\nI can remember remarking at the time of the original review of the 934MHz equipment that the mag mount socket was not really appropriate for such a high frequency.\n\nUpon closer examination, however, I found the construction of the socket of a very high standard and, when the mag mount and lead was tested in the same way, with the dummy load screwed onto it, I was delighted to find virtually no reflected power at all. The SWR tests were then repeated with this mag mount.\n\nThis introduces a subject which is very important: SO239 socket quality with respect to use at UHF. I cannot understand how any professional engineer could ever call the PL259/SO239 pair a 'UHF plug and socket' for, believe it or not, that is the alternative designation for them.\n\nI have never had any problems with an N socket, but time after time PL259s on 145MHz (let alone 432MHz) have caused me difficulties. It took years of grumbling by various equipment reviewers, including myself, to wean the Japanese off SO239 sockets on 432MHz mobile gear. However much I enquired, I could not find one single make of mag mount with an N type socket on it, nor could I find any dual-band antenna available as an option with an N plug on its base, so there is still a long way to go!\n\nIn the meantime, if you are considering a gutter mount, make absolutely sure that the lead supplied with it, including the SO239 socket, is rated for proper use on UHF.\n\n**A superb SWR**\n\nOn the 144MHz band the SWR measured 1.1:1 below 1.5MHz, rising to a mere 1.2:1 at 145.8MHz. This is an excellent performance which should not stress any rig or linear. On the 432MHz band there was almost no reverse power noted in the bottom part of the band; even at 434MHz it was no worse than 1.1:1. SWR gradually increased to a maximum of just 1.4:1 at the 440MHz band edge. This is a commendable performance once again.\n\nThe antenna is rated as taking the full output of a linear up to 125W, which is ideal.\n\n**The Hokushin HSWX1**\n\nThe specification of the base station version is very similar to that of the mobile one previously described, apart from the power rating which is increased to 200W FM.\n\nThe antenna is a vertical white stick, again just over 1.5m in length, but this time with three horizontal radials protruding from the base.\n\nAn SO239 socket is built into the base, around which is a cylindrical metallic shroud, several centimetres long, which acts as a weather-proofing and mounting section. Various clamps and brackets are supplied for use with this section. A coaxial cable and plug feeds through this cylinder and is screwed into the base of the antenna.\n\nAlan Goddard G3NQR installed the antenna at around 10m above ground level, well clear of any metallic obstacles on the roof, using Pope H100 cable through to the shack. Despite the fact that the SWR was, frankly, rather poor on the 432MHz band (averaging around 1.6:1), results were excellent in practice and SWR was quite good on 144MHz.\n\nAlan has had an assortment of vertically polarised antennas on the roof over the years, but was totally convinced that the Hokushin white stick (my name for it, as I am a blind operator!) was far better than any previous antenna that he had used on 432MHz for FM.\n\nWe were both surprised that he could access as many repeaters as I could on the band, some of them at considerable\n\ndistances, as his QTH is not particularly good geographically. He certainly sounded much stronger to me than before on both 2m and 70cm FM.\n\nI well remember the first time we tried the antenna out. We were working duplex on 2m/70cm. Fiona arrived in the shack with a cup of coffee for me, our bearded collie, Ceilidh, in tow. At the same time, Alan's XYL, Lucy, arrived in his shack with Sam, his West Highland White puppy. Ceilidh began to bark and Sam replied, whilst Alan and I sat back and listened to this remarkable canine exchange which they kept up for some minutes.\n\nIncidentally, both dogs do have licences - but these are somewhat less expensive than amateur ones! The extremely strong signals between us over a 16km path were clearly responsible for the superb duplex system quality, which the dogs obviously appreciated.\n\nConclusions\n\nI recommend the mobile Hokushin very highly. It seems that the base station antenna is also an excellent performer, although you may have an SWR problem on 432MHz.\n\nIt is quite plausible that the review sample might have been a poor one for SWR, so I would be interested to hear readers' experiences if they purchase it. The mobile type, HS727VME, costs £37.42 including VAT, whilst the base station version, HSWX1, costs £59.62.\n\nMany thanks to Lowe Electronics for the loan of the review samples, and to Alan and Fiona for helping with the review.\n\nThe Hokushin HS-VK5 vertical 5 band HF antenna was reviewed in the March issue.\n\nIn December, I returned to the UK after two years of teaching and amateur radio activity in Maun, Botswana. On picking up a copy of *Amateur Radio* I was surprised to see just how much interest there had been in my 50MHz activity from Botswana. So I would like to add my own account of amateur radio in A2-land.\n\n**The country**\n\nBotswana is a large country, its area almost three times greater than that of Britain. The population, however, is little more than one million, and most people live in the eastern part of the country. The capital, Gaborone, has a rapidly expanding population and is located in the south-eastern corner of the country, close to the border with South Africa. Much of Botswana is covered by the Kalahari Desert, a vast area of dry savannah which is still largely untouched by man.\n\nThe northern areas of the country contain some of the greatest concentrations of elephants and other game remaining in Africa. In the northwest is the Okovango Delta—a unique aquatic wilderness, which has recently been the subject of a BBC TV series. Close to the Okovango is the village of Maun, the administrative centre of this particular region of Botswana. I was posted here in September 1985 to teach science at Maun secondary school.\n\nThere are very few radio amateurs in Botswana. Most, like myself, are expatriates on short term contracts, and at any time there may only be about a dozen A2 calls active. I had applied for a reciprocal licence before leaving Britain, and was issued with the callsign A22KZ on arrival in Botswana.\n\nI was very fortunate initially, as I was able to buy an FT101ZD from A22AA, who was about to leave the country. I also obtained a 14AVQ ground plane for 40/20/15/10 metres and needed only to find a suitable mast on which to perch it. The answer was growing on the opposite bank of the Thamalakane river, about a mile downstream from the school. My long suffering house-mate helped fell a choice bamboo which, after trimming, was still nearly 15 metres long.\n\n**A malevolent hippo?**\n\nGetting it back to the QTH was tricky: a malevolent hippo dissuaded us from simply floating it across the river and carrying it, so it was loaded precariously on the back of our pick-up and taken the long way back. A bamboo that long bends a lot but, with a system of pulleys and a group of school students, we were able to get it vertical again with the 14AVQ on top. With 8 radials, 12 guys and an 80m dipole to boot, it stayed up—much to our amazement, until the eve of my departure.\n\nWith this HF set-up, powered by the village 240 volt mains, I was able to maintain reliable twice weekly skeds with G3TKN in Portsmouth for two years. We generally used 15m and occasionally had to QSY to 20m, but we found that at 1600Z we could almost guarantee good communications between Portsmouth and Maun.\n\nMy nearest amateur neighbour was Charlie A22CL (VE6ASL). He lives in Etsha, a small and remote village some 200km to the north-west of Maun. Charlie ran his station from 12V batteries, trickle charged by a solar panel. We kept nightly skeds on 80m and often he would have urgent messages regarding the non-arrival of supply trucks, which frequently broke down on the sandy road between Maun and Etsha. Every two weeks or so, Charlie would make the journey into Maun and we would have an eyeball QSO over a Lion (Lion lager, that is).\n\n**50MHz operation**\n\nThe 50MHz story dates back to March 1987. On Sunday mornings I would generally listen to the 'Amateur Radio Mirror' bulletin, broadcast by the Johannesburg branch of the South African Radio League. Excellently presented, it is transmitted simultaneously on 80, 40, 20 and 2 metres. Sometimes I would call in on 40m with a reception report and on one such occasion was heard by Hal Lund ZS6WB, in Pretoria. Hal is a very keen VHFer and is responsible for stirring up much of the VHF interest in South Africa. The October 50MHz transequatorial propagation (TEP) tests were on the horizon; Hal suggested that I was ideally situated to take part and offered to send me the necessary equipment.\n\nThe first 50MHz operation from A2 took place in July 1987, when ZS6BCR and ZS4TX paid a flying visit to Maun one weekend. With ZS6BCR at the controls, they flew from Pretoria with a plane full of 6m, 2m and HF equipment. We managed to unload the aircraft without customs noticing and minutes later, back at the school, ZS6BCR made the first 2m EME contact from A2, with W5UN. The remainder of their visit was devoted to 6m meteor scatter contacts to ZS.\n\nIn September I set up my 50MHz station, with 80 watts from an IC551D and a 4-element yagi on a 9m baby bamboo, rotated manually. Directed south, I was able to copy meteor bursts from the Pretoria beacons and make a few MS contacts with South Africa. But beaming north I heard nothing – until October 2nd.\n\nAt 1527Z on October 2nd, 1987, the silence was broken by the Malta beacon, 9H1SIX, on 50.085MHz. I started calling on 50.110, both CW and SSB, and also on 28.885 SSB. At 1545Z, Costas SV1DH (SZ2DH) in Athens returned my call on 10m. We immediately QSYed to 6m and had a fine sideband QSO, conditions being better there than on 10m. I gave him 5 and 5; he returned 5 and 3. We signed off, but the Malta beacon remained audible until 1900Z.\n\nThroughout this period I had been in contact on 80m with ZS6WB and others who, some 700km further south, had not heard anything on 6m.\n\nOn October 5th the Cyprus beacon, 5B4CY, became audible and SZ2DH and I exchanged 5 and 7 each way. Three days later, on October 8th, the band again opened and I had an SSB contact with 9H1BT. On this occasion my signals were heard by G3JVL, but unfortunately the band closed quickly and I was unaware at the time of this brief opening to the UK.\n\nFor the next four weeks, trans-equatorial propagation on 50MHz occurred daily, almost without exception. I had numerous contacts with SZ2DH, and with 9H1BT, 9H1FL and 9H1CG on Malta, with signal reports as high as 5 and 9 + 30dB. We observed on some occasions loss of propagation, followed by its reappearance an hour later with severe distortion, characteristic of evening TEP.\n\nGeographically, however, the effects of TEP are limited. Maun is located in latitude 20°S, and other stations in the same latitude were having similar experiences.\n\nTo the west, ZS3E in Outjo had many QSOs into Europe and, to the east, Z21FT in Bulawayo was receiving signals but unfortunately was unable to transmit on 50MHz from Zimbabwe. Further south in South Africa, however, openings to Europe were very brief when they did occur and many stations were frustrated at being unable to join in the fun. Similarly, in the northern hemisphere, propagation was limited to areas in the Mediterranean latitudes.\n\nA2 – G on 50MHz\n\nThe highlight of the TEP season occurred on October 22nd when TEP, combined with sporadic-E over Europe, presented a path from Botswana to the UK.\n\nI first heard Eric G2ADR at 1545Z, returning my CQ on CW. Describing the event afterwards in a letter, Eric said that the excitement was almost too much for his ancient heart. It was certainly too much for the fuse in my power line, which inexplicably went high resistance at the critical moment. That fault took several precious minutes to track down, and bemused visitors in the shack at the time didn’t quite understand the cause of my panic!\n\nEventually, with the rig now in pieces on the bench, I was able to complete QSOs with G4HBA, G2ADR, GM4DGT, G1AWP, G4GAI and G3CCH. Signal strengths were no more than S2 and the band was quite noisy with QRM from non-amateur stations. An attempt to work GM4DGT on SSB at 1715 narrowly failed because he was suddenly swamped by a strong FM signal.\n\nThe path to the UK closed down soon after 1715Z, at which time I was able to compare notes with SZ2DH and 9H1CG. Propagation to Europe finally ceased altogether at 1825Z.\n\nAfter this date, TEP openings started to be less frequent and were shorter in duration. On November 10th I heard the CT0OWW beacon for the first time, but was unable to complete a crossband QSO with EA4CCGN. During the third week of November the 9H1SIX and 5B4CY beacons were audible for short periods on most evenings. On November 20th at 1925Z I heard 9H1SIX for the last time, appearing briefly out of the noise and uttering its final dots and dashes. That was the end of TEP in Botswana, and two weeks later I was to dismantle the station.\n\nAbove: David Saul’s QSL cards\n\nQRT\n\nPulling the plugs for the last time and dropping the antennas down is a sad occasion. I have since spoken to other amateurs who have had similar experiences after operating abroad.\n\nI knew that when the bamboo mast crashed to the ground, A22KZ would have gone irrevocably QRT. The event obviously deserved a bit of ceremony. A violent thunderstorm late at night is not the best time to handle masts and aerials, but after a few beers I and a couple of colleagues decided otherwise. Groping around in the wet and dark, I cut all the guys and then set about sawing through the base of the bamboo. Then, while I played the Last Post on the mouth organ, the remainder of the crew tried to push the mast over. A solitary guyline up there in the darkness, or perhaps Divine intervention, we shall never know; but the mast refused to fall. Maybe A22KZ was destined to remain on the air? Eventually, however, with more manpower brought to bear, 14AVQ and all came down out of the night sky—and I was going home.\n\nNEXT MONTH\n\nall the regulars...\n\nDX Diary\nOn the Beam\nSecondhand\nSWL\nStraight and Level\nYour letters and features covering the whole of Amateur Radio\n\nRECEIVER SPECIAL\nHugh Allison has been out and about to discover what is available on the second-hand market for less than £50\n\nPOWER SUPPLIES PART 2\nDon't miss the final instalment of J and S Goodier's beginner's guide\n\nBATTERY TESTER\nThis useful tool from B B Walters fits the bill for most batteries used in amateur hand-helds\n\nDON'T MISS THE JUNE ISSUE\nOn sale 26th MAY\n\nTony Smith G4FAI takes his bimonthly look at the world of dots and dashes\n\nDr Gary Bold ZL1AN and Barry Kirkwood ZL1BN alternate in writing a monthly column, The Morseman, in Break-in, the journal of NZARTS. In the September 1987 issue Gary discusses some interesting aspects of learning Morse by computer. He refers to an innovative computerised teaching system described by WA9VRU in QST, May 1977, which combines two 'beautiful, simple and obvious ideas'. One was the introduction of characters in postponed discrimination order; the other was that the computer should adapt to the human.\n\nPostponed discrimination order means the longest characters are introduced first, as opposed to the more usual start with E, I, T, etc. The idea is to reinforce the need to listen to the whole character before deciding what it is. Plain text gives the learner little chance to practise the more uncommon letters. With postponed discrimination, by the time E is reached the Qs, Zs, Xs, etc, will have been heard so often that they will not cause the usual confusion.\n\nGary says that WA9VRU's is the only adaptive code teaching system he has seen and he would like to know of others, if they exist. 'Adaptive' here means adjusting the teaching to match the learning ability of the student. Gary's version, much worked over, is a program called 'Teach' which sends an audible character at about 12wpm and waits for a response. If you know what it is, you press the appropriate key on the keyboard. If you don't know, and do nothing, the program waits a reasonable time, prints the letter on the screen and sends it again.\n\nAverage response\n\nIf the wrong key is pressed, the character is sent again without comment. The program starts with Qs and goes on to Ys, introducing more as the learner begins to recognise the characters correctly. It continuously averages past response times and waits for a response for twice as long as this average.\n\nIt keeps track of the student's error rate on each character and the average error over all characters in use. All these error rates have to be acceptably low before a new character is introduced. Characters are sent with a non-uniform random probability, so that characters which a student finds difficult (determined from the student's response rate) are sent with a higher probability than those recognised more easily. At the end of a session the program provides information on how the student is progressing.\n\nBarry Kirkwood is a psychologist who is setting up a psychology project for third-year students at Auckland University. They will scientifically investigate the effectiveness of adaptive Morse code teaching software. This is thought to be the first such investigation, but if readers know of any others, please tell me and I will pass the information on.\n\nNow you have passed the test\n\n'The passing of the CW test equips one with but a simple survival kit - just enough to survive a simple CW contact... I firmly believe that this hard-won skill should be developed and extended to whatever limits the individual wishes to set', says Ron Wilson G4NZU in his booklet The Test and After. This booklet takes over where many of the 'teach yourself Morse' books finish.\n\nHe offers guidance on preparing for and taking the test, then goes on to discuss in some detail what happens when you finally get on the air. It is useful for anyone nervous about using CW for the first time as it contains some good advice; for example, it explains how it is better to forget about speed and to concentrate on developing exactness of rhythm, the hallmark of good CW.\n\nRon says that abbreviations can be learnt as easily as anything else - but you have to remember to use them. Originally written for members of his Morse class, the booklet costs £1.50 post paid, available from Ron Wilson, Greythorn Drive, West Bridgford, Nottingham NG2 7GG.\n\nQRP convention\n\nThe fourth Yeovil QRP Convention will be held on Sunday, May 8th. This is always a good Morse day for dedicated QRPerS or for those who want to find out more about low power operating. Both 1930s style and modern QRP rigs will be demonstrated with the call GB2LOW. There will be component stands, a homebrew equipment display, nice refreshments and a natter area.\n\nRob Micklewright G3MYM, always worth listening to, will be talking about 80 metre propagation and I am going to be guest speaker, talking about my favourite subject, the origins of Morse. Further information from Dave Bailey G1MMN, 46 Goldcroft, Yeovil BA21 4DH. Tel: Yeovil 79804.\n\nStraight key evening\n\nEdgware and District Radio Society's annual straight key evening will be held on Friday May 20th, around 3.550MHz. This event is becoming increasingly popular, with participation spreading across the UK and into Europe.\n\nIt is a pleasant evening on the hand key, working at your own pace in a friendly atmosphere. Call CG SKE and look out for GB2SKE, the Edgware Society's own special event station. Afterwards, write to John Bluff G3SJE, 52 Winchester Road, Kenton HA3 9PE, with your views, comments, and nominations for the best 'fist' heard.\n\nGloomy outlook?\n\nEverything seems fine just now, but I still feel that within ten years there will be considerable concern about the future of amateur Morse. I hope I am wrong. I have previously mentioned in this column (Amateur Radio, May 1987) the proposed official abolition of Morse from the maritime bands in the 1990s. This could lead to the eventual abolition of the amateur Morse test.\n\nThere is not enough space in this column to go into what happened when the Morse test was abolished in Spain a few years ago, but the spring 1987 issue of Morsum Magnificat has the original articles which prompted my concern. The annual subscription for MM (4 issues) is £6, but if you just want the spring issue you can get it from me, QTHR, for £1.50.\n\n| UTC | Main frequency | Reserve frequency (if QRM is bad) |\n|-------|----------------|----------------------------------|\n| 0700-0800 | 3.508 | 3.515 |\n| 0800-0900 | 14.080 | 14.094 |\n| 0900-1000 | 3.508 | 3.514 |\n| 1000-1100 | 14.080 | 14.094 |\n| 1100-1200 | 3.508 | 3.514 |\n| 1200-1300 | 14.080 | 14.094 |\n\nThe IC-4GE is the first in a line of new handportables to be announced from ICOM. The small compact style provides easy operating and rugged durability. Other models for 2mtrs and 23cm will be released later this year.\n\nA full 6 watts of RF power is available when using the IC-4GE with the option IC-BP7 nicad pack. The IC-4GE is equipped with a total of 20 memory channels. Each memory can independently memorise frequency, offset direction and frequency.\n\nAll circuits are designed using low power dissipation techniques to create a special power save circuit in the transceiver. The power saver circuit functions if no signal is received or no switch operation is performed for more than 30 seconds. In addition, the power saver circuit can be turned off for packet communications.\n\nTwo different scans, programmed scan and memory scan are provided and in addition memory skip channels can be programmed to skip selected memory channels during memory scanning operating. The squelch monitor function allows you to monitor weak signals without having to adjust the squelch control. The high impact case is splash resistant by the inclusion of rubber gaskets. The IC-4GE is supplied with a IC-BP3 nicad battery pack, flexible antenna, AC wall charger, belt clip and wrist strap. It is compatible with many of the existing accessories for ICOM’s IC-2/4 and IC-02/04 series of handportables.\n\nAlso available for the IC-4GE is a large range of optional accessories including a variety of rechargeable nicad power packs, dry cell battery pack, desk charger, headset and boom mics and new slimline speaker mics. For more information on the IC-4GE or any other ICOM handportable contact your local ICOM dealer or ICOM (UK) LTD.\n\nIcom (UK) Ltd.\nDept AR, Sea Street, Herne Bay, Kent CT6 8LD. Tel: 0227 363859. 24 Hour.\n\nIC-575, 28/50MHz Dual band multimode.\n\nThe ICOM IC-575 base station has been developed to meet the demand for advanced communications for the recently acquired 6m band. Similar in appearance to the IC-275/475 2m and 70cm base stations, the beauty of this new transceiver from ICOM is that it gives you the best of both worlds, 6 & 10m in one compact unit. The IC-575 covers 28-30Mhz and 50-54Mhz.\n\nOperating modes are SSB, CW, AM & FM. Power output is 10 watts (AM 4 watts) with a front panel control to reduce output for QRP operations. A pass band tuning circuit narrows the I.F. passband width, eliminating signal in the passband. A built-in notch filter eliminates beat signals with sharp attenuation characteristics.\n\nSome PLL systems have difficulty meeting the lockup time demands placed on them by new data communications. This is why ICOM developed the DDS (Direct Digital Synthesizer) method. With a lockup time of just 5 msec the DDS method allows the IC-575 to handle data communications such as packet or AMTOR. 99 programmable memories can store frequency, mode, offset frequency and direction. A total of four scanning functions for easy access to a wide range of frequencies, memory scan, programmed scan, selected mode memory scan and lock out scan. The IC-575 has an internal A.C. power supply, but can also be used on 13.8v DC for mobile or portable operation.\n\nOptional accessories available are the UT36 voice synthesizer, the IC-FL83 CW narrow filter, SM7 external loudspeaker, HP2 communication headphones and SM8/SM10 desk microphones. Other transceivers available in this range are: IC-275E 2m multimode 25w, IC-275H 2m multimode 100w, IC-475E 70cm multimode 25w, IC-475H 70cm multimode 75w.\n\nIC-505, 50Mhz Transceiver\n\nThe IC-505 is a 6mtr BAND SSB, CW, FM (Optional) transceiver. It can be used as a portable or like other transceivers of this type as a base station unit. When used with an external 13.8v power supply the 505 gives 10 watts RF output, 3 watts or 0.5 watts on low power is available when using internal batteries. Other features include 5 memories with memory scan, program band scan, dual VFO’s with split operation.\n\nThe easy-to-read LCD readout includes frequency, memory scan and call modes. Full metering of battery condition signal strength and power output is provided. When fitted with the optional EX248 FM unit the IC-505 offers 50Mhz operation at an affordable price.\n\nHelpline: Telephone us free-of-charge on 0800 521145, Mon-Fri 09.00-13.00 and 14.00-17.30. This service is strictly for obtaining information about or ordering Icom equipment. We regret this cannot be used by dealers or for repair enquiries and parts orders, thank you.\n\nDatapost: Despatch on same day whenever possible.\n\nAccess & Barclaycard: Telephone orders taken by our mail order dept, instant credit & interest-free H.P.\n\nAs I mentioned in last month's column, an AM transmission consists of a carrier wave and two sidebands which are produced by the modulation of the carrier wave. The total bandwidth used by an AM signal is unacceptable when you consider the total coverage of the frequencies allocated to amateurs. It would take very few AM signals to completely swamp, say, 40m, so the accepted form of transmission on the amateur bands is single sideband. This uses less bandwidth and results in more power being available from the transmitter.\n\nAlthough the usual receiver is inadequate for resolving such transmissions, there is a way to hear sideband signals using a second receiver. The technique is called zero beating.\n\nTaking your main receiver, you tune it to an amateur signal which sounds distorted. Then you tune the other receiver to around 450kHz lower. With the volume of the second receiver backed off, you should be able to hear the whistle produced by the second receiver as you tune it through the signal of the main one. A little adjustment of the distance between the receivers and you can resolve the sideband signal! It's a bit hit and miss, but it does work.\n\nThe real answer, of course, is to get a receiver with a built-in oscillator that does this automatically - a beat frequency oscillator. There are many receivers on the market that have this facility. They start at under £100 new; less if you buy second-hand.\n\nIt has become standard practice for all transmissions below 10MHz to be on the lower sideband and transmissions above 10MHz to be on the upper sideband. This rule is not mandatory so you can still hear stations working the wrong end. AM transmissions can still be heard on 160m.\n\nThe areas of coverage of the amateur bands are controlled by international agreement, although individual countries have ultimate control over what can or cannot be used by their amateurs, so there are a few differences in the band coverage. However, there are few differences in band usage and, for the most part, all countries have similar rules which have to be observed.\n\nOn the other hand, the band areas where different modes can be used are not strictly controlled and many would like this to be resolved. It is easy to see why.\n\n**Slow-scan**\n\nLet us take SSTV, for instance, which is becoming very popular since the advent of the home computer. The generally accepted area on 20m is around 14230 and SSTV exponents usually stick to this. However, some operators still transmit SSB or even CW on the frequency, quite within their rights, but hardly in the spirit of amateur radio. The same applies to the QRP frequencies which are often overloaded with stations operating high power.\n\nThe 'old hairy' (old hairy what? - Ed) about contests being held in selected bands has never been resolved. Maybe it is time the powers that be took a long look at this side of regulation. Of course, in an ideal world, all operators would stick to the rules, even if they were not mandatory, and there would be less hassle all round.\n\nOK, so having got your sidebands sorted out, and being ready to log all those wonderful exotic stations, where do you look for them?\n\n**160 metres** (or Top Band) can provide some good long-distance listening via multiple skip. The signals are bounced back to earth off the atmospheric E-layer, then bounced back again and so on. Unfortunately, this substantially attenuates the signal and is usually only possible during the hours of darkness. The best times to listen are late at night and early morning, when stations are on opposite sides of the darkness belt.\n\nA very useful aid to determining when it's best to listen for DX is the DX Edge, a device which calculates the best areas to listen for at a given time.\n\nThe problem with Top Band is that it is shared with maritime and other 'official' stations which can be very powerful, making it difficult to copy weak amateur stations.\n\n**80 metres** is generally regarded as the chat band. There are literally hundreds of regular local nets operating virtually all day, every day. Most special event stations spend at least part of their operating time on 80.\n\nAlthough 80m has many of the same problems as Top Band, greater distances are possible, even during daylight hours. There are also commercial and official stations using this band and it is not unusual to be listening to a perfectly clear QSO one minute, only to have it obliterated by a heavy RTTY signal the next.\n\nOne of the variants of band allocations is worth noting in that American stations can use the area from 3.8 to 4.0MHz, so it is worth listening around there late in the evening.\n\n**40 metres** can be a DXer's delight. Only 100kHz wide, it nevertheless attracts many DX operators and, despite being crowded for most of the time, can produce some worthwhile loggings. Although some countries allow amateurs to use up to 7.3MHz, this puts them right amongst the 'heavy mob' of the broadcasting fraternity transmitting from Europe, so it is hard to hear the much weaker hams.\n\n**30 metres** is another band that has to be shared with commercials and others. Like 40, it is a very small allocation, from 10.1 to 10.15MHz. Only Morse and RTTY are officially allowed on this band in the UK, but occasional sideband signals are heard. The area around 10.103 to 10.110 can be very fruitful.\n\n**20 metres** is the 'bread and butter' band. Stations from all over the world can be worked here most of the day. Essentially a daytime band, the darkness line can almost be drawn, logging the stations as the conditions rise and fall. Australian and Asian traffic comes in during the early morning, followed by the Middle East and Africa until lunchtime when the Americans start to appear.\n\nAlthough the band does drop significantly during the winter months, daylight still give some excellent listening and, once summer comes, the band can be alive almost 24 hours a day.\n\n**18 metres** is a new band which is capable of excellent long-distance communications. However, amateurs are slow in taking this band seriously and it is not as well used as it could be. It is worth a listen, as some good DX can be heard.\n\n**15 metres** is another excellent DX band during the day. At periods of low sunspot activity (more about this later), it can go almost completely dead; however, things are currently on the upward trend and stations are beginning to use the band again.\n\n**12 metres** is also new. It could produce the goods when conditions are right. Sunspot levels make a big impact at these frequencies and it remains to be seen whether the band will be used as successfully as the other HF bands.\n\n**10 metres** is the oddball of the HF bands. It is badly affected by sunspot levels, becoming virtually unusable for any distance during the low period, but it is perfectly usable (though not often) for short distance contacts. It is essentially a daytime DX band capable of excellent results during sunspot highs. Even low power communication can take place over dramatic distances.\n\nIt is affected by many of the propagation effects that trouble VHF and a high on 2m can also mean similar conditions on 10m. A two or even three-element beam is perfectly feasible for this band, and converted 27MHz equipment has made this the 'poor man's DX band'.\n\nSo, what about those sunspots? One solar phenomenon is the appearance of the so-called sunspots at the sun's surface. These are dark areas which last anything from a few days to a few weeks. Sunspots occur at intervals of anything from eight to fifteen years, but we usually refer to it as an eleven-year cycle.\n\nDuring periods of high sunspot activity, propagation of radio signals is enhanced by their effects on the ionised layers above the earth. The low end of cycle 21 was reached in 1987 and we are presently experiencing a gradual rise in conditions which should reach a peak around 1995. Radio wise, there's a lot of DXing ahead!\n\nThe wanderer\n\nThe usual thing for new listeners is to wander around a particular band, listening to anything that comes up. The novelty soon wears off and it all gets very boring.\n\nIf you are lucky enough to watch a seasoned DXer or award hunter, you soon pick up tips on how it's done. Most of these experienced chaps have prepared themselves before the current session and have details of any proposed expeditions to areas not regularly heard, any special event stations likely to be on the air and notes about interesting stations other listeners have heard recently.\n\nTuning a band is done slowly and deliberately. Be ready for any slight sound - it might be a new station for the log. Experienced listeners often use many aids, such as filters, but the most important is a good pair of headphones. They don't have to be expensive; just comfortable.\n\nBefore you rush out to find some, let's have a look at the entries submitted by some of our regular contributors. This month has been the busiest ever for the award hunters among our readers, with the regulars being hassled by some newcomers whom we welcome.\n\nWith the upper frequencies now showing signs of life, it is no surprise to see some single band claims coming in. The latest continental awards have created a lot of interest among new listeners, just as intended.\n\nHeading this month's list is Trevor Newstead ILA 098, of Morecambe, who claims a bronze certificate for 15m only. He lists AA4, AB5, A22, CE3, HP1, HZ1, PP7, TK5, VP2, VP8, VK3, YC9, ZY5, SB4, 8P9, 9Y4 and a Chilean special 3G8TAX. Trevor also gained second place in the G-SSB section of the 1987 RSGB SWL contest, during which many of his loggings were made. Congratulations!\n\nPeter Barnes ILA 341 of Blackpool claimed bronze and silver certificates and included 4S7, 5H3, AJ9, KP4, KT5, TI2, VS6, YB7 and ZY4 in his super lists.\n\nErnie Beckett ILA 261 used his new HF125 and end-fed antenna to get into the act with a claim for the bronze award, listing AB2, HH7, T77, VK6, VK3, 6W7, 8P9 and J28.\n\nDavid Davidson ILA 320 of Ayrshire claimed his silver award and mentioned AA4, A71, DU7, FY7, HC8, HH2, HK1, J88, VQ9, XQ5, 4S7, 5W3, 8P9 and 9U5 amongst some of the less usual ones. David used the FRG7 and a GSRV.\n\nDavid Tanswell G6LAU likes doing things a bit differently and still manages to get more prefixes on RTTY than many get on sideband! This time the claim was for 20m only, making it the first 20m all RTTY bronze award. Well done David. Prefixes like 4N7, 5H3, BV0, D44, H18, KL7, P43, S79 and ZP5 are good catches at any time, but on RTTY they've got to be that little bit special.\n\nDarrell Jacobs, now back in the UK, has only a temporary 10ft wire rigged up in his bedroom. However, he has still been pulling them in and offered 5L2, TU2, 5Z4, Z21, TZ0, 7P8, 9J2, KH0, NP4, 9Y4, V34, HC8 and ZD8 towards his bronze for 15m only. Aspecial delight was to log PS7KZ on 21.228 flying at 29,000 feet over Brazil. He was calling and working US stations when Darrell logged him.\n\nAs I stated earlier, the new continental awards got a few newcomers off the ground. Rosemary Whyte ILA 301 took over the station from husband Martyn to get in her first claims for North and South America. This upset Martyn so much, he got his own back by logging furiously until he was able to claim his gold prefix award. Not to be outdone, Rosemary countered with claims for the bronze and silver. Martyn, now feeling decidedly miffed, got in again with a couple more continents. Rosemary led with another continental, then a right cross...no, hang on a minute! Anyway, things are hotting up in Edinburgh and I'm watching for smoke from that direction.\n\nMeanwhile, down in the quiet valley near Pontypridd, Susan Powell ILA 321 has been keeping the broadcast bands under observation. She has now claimed her broadcast award with some very nice loggings including R Discovery (Dominica), KTWR (Guam), SLBC (Sri Lanka), R Atlantica (Peru), HH1 (Honduras), R Mundial (Venezuela), FEBA (Seychelles), SWABC (Namibia) and RRI (Jakarta).\n\nHedley Falkinder ILA 150 of Malton has claimed the first of his continents with help from Soviet amateurs. Hedley is still using the Racal RA17A to good effect!\n\nBrian Pearson ILA 180 also got into the Russians for his claim and managed to dig out 48 oblasts into the bargain (these are the equivalent of our districts and there are over 200).\n\nIan Baxter ILA 322 of Blackburn used his FRG7700 to log more than the 100 stations necessary for his European continental. While mentioning this, contrary to the original rules, claims will be accepted from your own continent but must not include your own country.\n\nDavid Glover ILA 339 (G1VJP) claimed the Broadcast Monitor Award and also had one for his loggings of jamboree stations from the 1987 JOTA. David uses one of the Matsui receivers and says it's excellent value (even more so, now that it's been reduced to £99.99). David is a member of many of the broadcast station monitor clubs and currently spends most of his time with them.\n\nWhile looking for a bit of missing information, I discovered that from January 1st to March 4th I received and replied to 215 letters, not including the award claims, so if you have to wait a day or so for a reply, you know why.\n\nNice to hear from Mike Ribton of Gillingham again. Hi Mike! A good piece of information for users of the Matsui 4099 (also known as the Sangean 803, TMR 7062 etc) might help to improve reception. Connect a length of wire to the earth side of a mini jack plug and insert it into the external aerial socket. This acts as a counterpoise for the whip. Just to prove it works, Mike put in a claim for the bronze prefix award including AAS, AL7, CM7, KP4, KZ8, XI2 and YC8.\n\nStan Porter, out there in Malawi (7Q 001/ILA 062), has now settled nicely into his new QTH and has used his recently acquired certificates to decorate the new shack. Pity he's got to buy real wallpaper for the rest of the house! He's been listening in to the RNARS net on 15m with WA1HMW as net controller. He says they just can't win down there with crops failing, first from drought and then from floods. Even his 4x4 vehicle can't get about! He's hoping to make it to the UK again this year so we may get to have that chat soon. Meanwhile, he's plodding away at the premier prefix award with over 1700 in the log so far!\n\nOne final point: it's just come to my notice that I, and many others, have been led astray for a long time. The problem lies in the coded greetings used on CW, in particular, the code 55. Now, I have always been led to believe this meant 'best of luck' (in the callbook as 'best success'). Well, apparently, during the 1930s, youngsters who were members of the Hitler Youth movement used to sign off HH, meaning 'Heil Hitler'. Realising they were giving the game away, they changed to 55. Apparently, some German stations still regard 55 as an insult! So, if you want to keep on the good side of German contacts, don't sign 55!\n\nWell, that's about it for this month. Next time round, we'll be going further into the realms of amateur band listening and also taking a look at the broadcast side of the hobby. Meanwhile, have a good month and, remember, there's plenty out there to hear, it's just a matter of a little patience and some spare time at the right moment. Good listening!\n\nIf you are the type that likes to experiment with radio and electronics, then sooner or later you will need a power supply. I don't mean one that's big enough to start a car, but a simple low-current regulated supply suitable for powering the average VHF/UHF converter or even a low-power transmitter. The design and construction of power supplies has changed tremendously over the years and, as far as most amateurs are concerned (unless you are a constructor of large linear amplifiers), the days of high-voltage, high-current designs have gone. With the introduction of semiconductors, power supplies started to get smaller and smaller as the supply voltage needed for such circuits became less and less.\n\nWe have now reached the stage where there is a fully protected PSU on a single integrated circuit. The design of such power supplies is reasonably simple and there are many standard circuits to go by. They have a low component count and excellent performance. If you are a keen constructor, you probably know all about voltage regulators, such as the 7805, 7812 and the LM317, but if you are relatively new to radio and electronics, they might be a bit of a mystery.\n\nThe idea of these articles is to introduce the beginner to the most common types of regulator and to show how simple and easy it is to build a fully working, high-performance power supply unit. Various modifications to the standard circuits will be shown and help will be given on how to wire transformers and choose components. A little bit of power supply theory is also dealt with.\n\nRight from the start\n\nPower supply circuits are designed to convert the standard line voltage (usually 240V ac in the UK) down to an isolated dc supply suitable for connecting to a piece of equipment. A basic power supply circuit consists of little more than a transformer, rectifier and smoothing capacitor. Figure 1a shows a block diagram of a typical supply unit. If we take one component at a time, it will give us a chance to discover its job and how it fits into the supply unit.\n\nBox 1 is the transformer and, as its name suggests, its job is to transform the mains voltage down to a usable level. A transformer has two separate halves, one called the primary and the other called the secondary. The mains voltage is applied to the primary side of the transformer and the voltage for the power supply is then taken off the secondary. The value of the secondary voltage depends on the ratio of the number of turns on the secondary side of the transformer and the number of turns on the primary side of the transformer.\n\nIn most cases, the secondary voltage will be much less than the primary voltage—for example, 240V ac on the primary side and only 15V ac on the secondary side, though this need not always happen. A transformer can be made to work in the opposite way; for example, high-power linear amplifiers often use supply lines of many thousands of volts, provided by a transformer which has stepped up the mains supply to about 500 or 800V. This voltage is subsequently rectified, then doubled up by a special circuit.\n\nThe secondary voltage of the transformer is still ac, so the next job is to convert this into a dc form. This is done by using a rectifier, the second box in Figure 1a. Alternating current has two halves, one is positive and the other is negative. In the case of the British mains, the alternating current moves through this 'positive/negative' cycle fifty times a second. The rectifier does something very simple; it 'chops' half of the ac voltage away, thus leaving either a positive or negative supply. The rectifier circuit can be made from one, two or four diodes, or a special element called a bridge rectifier; more about these later.\n\nBox 3 is the final section of our simple power supply. Its job is to smooth the output from the rectifiers. It uses an electrolytic capacitor. Raw dc voltage, supplied from the rectifiers, charges the capacitor. The capacitor then acts like a reservoir; in fact, it is sometimes known as the reservoir capacitor.\n\nWhen a piece of equipment is connected to the supply, voltage constantly drains from the smoothing capacitor. Therefore, between pulses of voltage from the rectifier, the voltage across the capacitor slowly falls. This fall in voltage leaves a small ripple on the dc voltage level. Ripple will affect any equipment connected to the power supply. To reduce the amount of ripple, we make the value of the smoothing capacitor as large as possible. In power supply units designed to provide 20 or 30A, the value of the smoothing capacitors can be as large as 100,000μF (0.1F). In our low-current designs, the value of the smoothing capacitors will be about 1000 to 4000μF.\n\nWe can now move on and look at some practical circuits. Figures 1b to 1d show three simple supply circuits. As can be seen, each consists of a transformer, rectifier and smoothing capacitor.\n\n**Rectifiers**\n\nFigure 1b illustrates half-wave rectification, perhaps the least common type of rectification. Nevertheless, it does have the advantage of using only one rectifier diode and it needs no centre tap on the transformer. The main disadvantage is that it produces a lot of ripple so the output needs considerable smoothing.\n\nFigure 1c uses a type of rectification known as full-wave rectification. The transformer has a centre tap which makes up the negative side of the supply and two diodes supply the raw dc voltage to the smoothing capacitor. This type of supply requires less smoothing, but it does need a transformer with a centre tap.\n\nFigure 1d shows the most common of all rectifier circuits; it uses a type of rectifier known as a bridge rectifier. As can be seen, the diodes are arranged in a bridge configuration with the ac from the transformer entering at one side and raw dc leaving at the other. Again, it uses full-wave rectification and the transformer would increase by 1.5V when off load.\n\nIt is also important to make sure that your transformer can safely supply the maximum amount of current you expect to draw from your supply. There is no point in choosing a 200mA transformer when you expect the PSU to supply 1A or more. If you start to ask your transformer to supply more current than it was designed for, then there will be a considerable voltage drop across the secondary and the transformer will overheat.\n\nAs will be seen later, most transformers have two secondary coils which can be wired in a number of different ways to provide different currents and voltages.\n\n---\n\n**Table 1**\n\n| Type | Output Voltage | Output Current | Input Voltage | Ripple Rejection |\n|--------|----------------|----------------|---------------|------------------|\n| 78L05 | +5V | 100mA | 7 – 30V | 62dB |\n| 78L12 | +12V | 100mA | 14.5 – 35V | 54dB |\n| 78L15 | +15V | 100mA | 17.5 – 35V | 51dB |\n| 78M05 | +5V | 500mA | 7 – 25V | 80dB |\n| 78M12 | +12V | 500mA | 14.5 – 30V | 80dB |\n| 78M15 | +15V | 500mA | 17.5 – 30V | 70dB |\n| 7805 | +5V | 1A | 7 – 25V | 78dB |\n| 7812 | +12V | 1A | 14.5 – 30V | 71dB |\n| 7815 | +15V | 1A | 14.5 – 30V | 70dB |\n| 78S05 | +5V | 2A | 8 – 35V | 54dB |\n| 78S09 | +9V | 2A | 12 – 35V | 47dB |\n| 78S12 | +12V | 2A | 15 – 35V | 47dB |\n| 78S15 | +15V | 2A | 18 – 35V | 46dB |\n\nOutput voltages are ±4%\n\nneeds no centre tap.\n\nThe examples given in Figures 1b to 1d are for positive output lines only. If you were to reverse the diodes, then the output would be negative.\n\n**Smoothing capacitors**\n\nThe two most important facts to know about smoothing capacitors are their working voltage and value. The working voltage must be greater than the off load output voltage of the power supply. The value of the capacitor should be about 1500 to 2000µF per amp, so for a small 1A power supply, a value of about 2000µF should be fine.\n\n**Winding experiment**\n\nIf you have suitable components and a tagboard, then perhaps you would like to have a go at building the circuit shown in Figure 1d. This would be a good chance to prove to yourself how easy it is to build a very simple power supply. It would also give you a chance to experiment with the different windings found on some transformers.\n\nFigure 2 shows the layout of our simple power supply. For this circuit, none of the components are critical. Start by soldering into place the components onto the tagboard. The bridge rectifier is made up of four 1N4001 diodes, but almost any rectifier diodes will do. The value of C1 can be anything from about 220 to 2200µF, but take note to be careful about the working voltage mentioned earlier.\n\nNext, wire the transformer. Almost any mains transformer will do, but have a look at any writing on the secondary side to get some idea of the output voltage. If you are using the type of transformer shown in Figure 2, then wire as shown.\n\nA word of warning here. *Never forget that the mains supply voltage can kill.* After I have wired up the primary side of the transformer I always cover the terminals with insulating tape to stop any chance of an electric shock.\n\nIf you take a look at Figure 3a and Figure 3b, you will see that it is possible to wire up some transformers to provide double the output voltage or double the output current. Figure 3a shows the secondary windings wired in series. In this configuration, the output voltage is doubled but the current rating of the transformer stays the same.\n\nFigure 3b shows the secondary windings wired in parallel. Here, the output voltage remains the same but the transformer now provides double the current.\n\nIt is important to note that on some transformers the primary side is made up of two 120V windings. These must be connected together for safe 240V operation.\n\n**Calculating the output**\n\nIf you take a look back at Figure 1d, you will see that it is possible to calculate the output voltage across C1. For example, if the transformer secondary is 30V, the expected output across the smoothing capacitor is $30V \\times 1.41 = 42.3V$. Remember, this voltage is the full load voltage, so that when the load is removed, the output voltage will rise by a small amount, dependent on the regulation factor of the transformer.\n\nThe combination of transformer, rectifier and capacitor is the basis of most types of power supply. The transformer could be rated at 16.5V, 40A. The bridge would then be rated at about 35A and the smoothing capacitors would have a value of about 60,000µF. Add the extra electronics to get a very nice 13.8V, 30A power supply unit. The extra components are the ones that do all the work in a power supply. In most cases they are responsible for voltage regulation, overvoltage and undervoltage protection and short circuit protection. All we have looked at so far is the conversion part of a PSU. What we need to do now is to take the smoothed dc voltage and turn it into a safe and useful output, suitable for powering all types of equipment.\n\n**Voltage regulators**\n\nMany circuits require an almost constant output voltage, irrespective of the amount of current being taken from the supply. This job is done by a voltage regulator and, over the years, a number of useful components have appeared on the market, making this job very simple indeed.\n\nTake, for example, a transmitter and receiver with a common oscillator and an unregulated power supply. The receiver current consumption is fairly low, so the oscillator and received frequency are relatively stable. As soon as the transmitter is keyed, the current consumption will increase considerably and, because the power supply is not stabilised, the output voltage will drop. This drop in output voltage will cause the oscillator to shift its frequency, making the transmitted signal very unstable. If the transmitter is being used on CW, as the transmitter is keyed on and off an effect known as 'chirp' will result. The solution to this problem is very simple—use a stabilised power supply.\n\nFigure 4 shows a block diagram of a complete stabilised power supply. As you can see, three extra boxes have been added to our original design. The\n\nregulator is the component which controls the output voltage and in most cases this will have a fixed value, eg, 5V, 12V, etc. Overvoltage and undervoltage detectors are usually optional and will be looked at in more detail later. The most common series of voltage regulators you are likely to come across is the 78xx series (xx stands for two other digits which equal the output voltage, eg, the 7805 outputs 5V). The regulators in this series are positive regulators. Negative regulators belong to the 79xx series.\n\nBoth 78 and 79 series regulators (dropping the xx) have three legs: input, output and common. They incorporate features such as current limiting and thermal protection and they are also protected against short circuits. They are fixed voltage regulators, usually having 5, 12 or 15V as their output voltage. Output currents are commonly 100mA, 500mA, 1A, 2A and 5A. Table 1 shows a list of useful specifications for the 78xx series; a much more detailed list can be found on page 401 of the current Maplin Electronics catalogue.\n\nThese regulators also provide considerable ripple rejection; in most cases this can be as much as 70dB or better. This means that a ripple of 1V on the input can be reduced right the way down to 1mV or below.\n\n**A complete PSU**\n\nFigure 5 shows a complete 12V 1A PSU. Notice how few components it contains. The voltage regulator used is a type 7812, but the following circuits are valid for all the other voltage ratings in the 78 series. When using this type of regulator, we must make sure that the unregulated supply on the input of the IC is at least 3V greater than the desired output.\n\nThe circuit in Figure 5 uses a transformer that has two secondary windings of 15V wired in parallel (look back at Figure 3b and you will see that this doubles up the current but keeps the output voltage of the transformer the same); if each winding is rated at 600mA, the total current rating will be 1200mA or 1.2A. It is now possible to work out a value for the unregulated supply. We are using a bridge rectifier to turn the ac into dc and looking back at Figure 1d shows that\n\n\\[ V_{dc} = 1.41 \\times V_{ac} \\]\n\nThe secondary of the transformer is rated at 15V, so\n\n\\[ V_{dc} = 1.41 \\times 15V = 21.15V \\text{ approx.} \\]\n\nIf you look down Table 1, you will see that the input range of a 7812 is between 14.5 and 30V, so an unregulated supply of 21V will be safe to connect to its input.\n\nTo stop them from breaking into oscillation, all 78 series voltage regulators need a capacitor between input and zero volts and a capacitor between output and zero volts. In Figure 5 these capacitors are C2 and C3. The value of both capacitors varies from circuit to circuit and there seem to be no rules for choosing them. I must admit that, in the past, I have put in whichever capacitors have been available and have never had any problems. If you keep the value of C2 between 270nF and about 1µF, and the value of C3 between 1µF and 100µF, then all should work well.\n\n**More voltage**\n\nAll 78 series regulators have a terminal called common, usually connected to zero volts (Figure 5). If a low-value resistor is connected between common and zero volts then the output voltage of the regulator will increase. This is a very useful feature and it means that a fixed-voltage device can be modified to...\n\nprovide a number of different output voltages. All you have to remember is to keep the unregulated supply at least 3V above the wanted output.\n\nFigures 6a and 6b show two methods of increasing the output voltage of a 7812. This configuration holds true for all the positive regulators in the 78 range. If you look at Figure 6a, you will see that a number of resistors have been added to the circuit. R1 provides a small bias current which will help to prevent any voltage drop when drawing higher currents. R2 and R3 vary the quiescent current in the common terminal of the regulator. This in turn will increase the output voltage. As an example, if we replace R2 with a wire link and make R3 a 470R variable resistor then the output voltage of a 7812 will be completely variable from 12 to about 20V.\n\nA different method of increasing the output voltage is shown in Figure 6b. In this circuit, R1 still remains but it now has a value of 4k\\(\\Omega\\). The two other resistors have now been replaced with a zener diode. The output voltage is now equal to the zener voltage plus the regulator voltage. If the zener voltage is 4.3V and the voltage regulator is a 7805 then the output voltage would be about 9.3V – similar to the standard PP3 battery. All this holds true for voltage regulators in the 78 range, but you must keep an eye on the unregulated supply voltage as well as the rectifier and transformer current ratings.\n\n**Layout**\n\nSo far we have had a look at a number of different circuits and modifications which enable us to get a variety of output voltages from standard designs. We will now move on and describe the construction of a very versatile low-current power supply board which you could include in many of your projects. To make the board as complete as possible, we included the rectifier and smoothing capacitors on the main PCB. We also made the board versatile enough to include all the modifications to the standard circuits.\n\nThe layout of the board is shown in Figure 7b. We opted to use four individual diodes, not a bridge rectifier block, to make up the rectifier. The reason for this is that when you start to get up to currents of about 3A, the standard bridge rectifier starts to increase in size, making it difficult to design a suitable PCB layout to fit all types. The spacing for the diodes on the board is quite wide so you should find that a number of different types, ranging from 1A up to about 5A, should fit.\n\nThere is enough room for three smoothing capacitors. Looking through the various component catalogues, I was surprised to find that the largest single-ended electrolytic capacitor sold by Maplin Electronics was only 1000\\(\\mu\\)F at 35V working voltage, STC Electronic Services sell 2200\\(\\mu\\)F rated at 40V and 1000\\(\\mu\\)F rated at both 50 and 63V. There is enough room on the board for three of these, making a total value of about 6600\\(\\mu\\)F depending on the type used. Alternatively, you can replace the single-ended type with one axial electrolytic; values in this range go right up to 4700\\(\\mu\\)F, at 50V. The only problem with this type of capacitor is the size. A 4700\\(\\mu\\)F, 50V electrolytic has a length of about 50mm and a diameter of 25mm. If you plan to use this type then it would be a good idea to increase the length of the PCB to accommodate it.\n\nThe rest of the layout is pretty straightforward. C2 can either be a polyester or metallised polyester film capacitor but, to be honest, any type within the range of 270nF to 1\\(\\mu\\)F will do. C3 can either be a tantalum bead or sub-miniature electrolytic capacitor and, again, the value of this can be between 1\\(\\mu\\)F and 100\\(\\mu\\)F. In the next article we will describe the construction of the board, before discussing R1, R2, R3 and VR1.\n\nDon’t miss the second part of this article in the June issue!\n\nSpeech processing is an integral part of radio communication today. Even though many people do not like the degradation in speech quality brought about by some processors, its value in terms of utilisation of power and signal gain have been proved time and again. In fact, it is possible under some circumstances to achieve gains of up to 8dB by simply using a good RF speech processor.\n\n**AF or RF**\n\nSpeech processors can come in many forms and they can use different methods to process the speech. Some use AF clipping, where the audio is clipped at audio frequencies. Others use RF clipping, where a single sideband signal is clipped. This has the advantage that the distortion products caused by the clipping stage fall outside the passband of the signal and the resultant audio is much cleaner. In addition to clipping, most processors will use some form of frequency tailoring. This all adds to the 'punch' of the signal.\n\n**Useful facility**\n\nAnother facility which can be used in processors is audio gain control. Sometimes they are referred to as compressors and sometimes they are referred to by the name VOGAD, which stands for Voice Operated Gain Adjusting Device. This can be used on its own to maintain the level of modulation and take out variations in the levels of speech. Alternatively, it can be used with a clipper to maintain the level of clipping. This is very useful as it enables a known level of clipping to be used regardless of any variations in the speaker's voice level.\n\nAlthough audio gain controls can be made up fairly easily using discrete components, there are a few integrated circuits on the market which can be used. One such device is the SL6270, one of the Plessey range of communications integrated circuits. It superseded the SL622, which was used very successfully in many transmitters including the G3ZVC transceiver design.\n\n**Basic data**\n\nThe SL6270 comes in both TO8 can and 8-pin dual in-line packages, although the DIL package appears to be more common. It operates from a supply voltage which can lie between 4.5 and 10 volts. This is very convenient when building it into a system, as it is quite possible that a supply of this order will already exist. Finally, it has an overall gain which is typically around 52dB.\n\n**Internal structure**\n\nThe internal structure of the device is given in Figure 2. From this it can be seen that it has two inputs. This is because they are intended for differential use, i.e., the microphone leads are connected to the two inputs and not to one input and ground. Fortunately, it is possible to use it in a single ended mode because this is often more convenient. This is done by connecting the microphone to one input and then connecting the other input to ground via a capacitor. The disadvantage of this is that the differential input impedance of around 300 ohms falls to about 180 ohms.\n\nA basic circuit using the device is shown in Figure 3. Here $R_1$ and $C_1$ set the AGC characteristic. The attack time is controlled by the value of $C_1$, whilst both components affect the decay rate. Then, $C_2$ provides the coupling between the two amplifier stages in the device. The value of the capacitor and an internal 680 ohm resistor govern the low frequency response. However, the tolerance on the internal resistor is quite large and this should be taken into account when making any calculations. The overall gain of the chip is defined by an internal 10k resistor. By placing a capacitor across this, i.e., between pins 7 and 8, the high frequency response can be limited – but, again, beware of the large tolerances spread on the value of the resistor.\n\n**Typical output**\n\nThe output from the device is typically 90mV rms, although this can vary from 55mV up to 140mV. Even so, it is not really enough to drive a pair of back to back diodes into limiting. It is far better to add a further amplifier stage, possibly using a 741. If this is done, it can also be used to limit the frequency response. This is better than using the SL6270, because the components around the 741 will be more clearly defined and so the frequency...\n\nresponse will be more predictable.\n\n**In use**\n\nThe IC performs very well, and it is a very useful device. However, there are a few points which may enable any would-be experimenters to get the best out of it.\n\nThe first is associated with the low input impedance, particularly when it is used in its single ended mode. This is far too low for the majority of microphones in amateur use and, therefore, some form of impedance transformation is required. This is probably best done by using a simple buffer amplifier such as an emitter or source follower. One circuit which has been used quite successfully is shown in Figure 4. It consists of a simple FET source follower.\n\n**Match the input**\n\nIn this circuit, the input impedance is governed by the bias resistor, $R_2$, and the value of this can be chosen to match the required input impedance. It is also possible to include an RF filter at this stage. This prevents any RF which is picked up on the microphone lead from entering the circuit and causing distortion or even oscillation. The component values have been chosen to operate with impedances between about 100k and 600 ohms.\n\nIf problems are encountered even with the filter included, it is possible to add a further stage of filtering. However, it is also worth checking that RF is not getting in by any other means. Further precautions should include placing the filter as close to the input connector as possible, ensuring the case is RF tight, placing filters in supply leads and so forth.\n\n**Problems**\n\nAnother point worth considering is the gain of the IC. This can become a problem if a high output microphone is used. During speech pauses the gain can rise to an extent where the background noise rises to an unacceptable level. If this happens, the gain of the IC can be reduced by simply placing a resistor across pins 7 and 8.\n\nNormally, the gain is controlled by the two internal resistors and is equal to 10k/680 ohms, so by reducing the value of the 10k resistor it can be seen by what proportion the gain can be reduced.\n\n---\n\n**Final comments**\n\nAs the SL6270 is very versatile and easy to use, it has found its way into many speech processor and transmitter designs. At around £3 each, one of these devices may not be as cheap as something like a 741 but it still offers excellent value. In fact, it would probably still work out much cheaper to use a '6270 than build an equivalent circuit from discrete components. On top of this, there is also the enormous amount of time saved in constructing and debugging the circuit, because only a few extra components are used and fewer mistakes are likely to be made.\n\n**Better processors**\n\nEssentially, these ICs enable much better speech processors to be made with only a few extra components and at a little extra cost. Because of this, they are worth considering if any speech processor designs are being contemplated.\n\n---\n\n**Keep up with the latest information – order Amateur Radio at your newsagents**\n\n---\n\n**RADIO AMATEUR LICENCE**\n\nStart training now – No previous knowledge required. Study for 3-6 months. Post Coupon now for free brochure – without obligation:\n\n**Radio & Telecommunications Correspondence School, 12 Moor View Drive, Teignmouth, Devon. 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Post or phone today for your FREE INFORMATION PACK on the course of your choice.\n\n- Electronics\n- Basic Electronic Engineering (City & Guilds)\n- Electrical Engineering\n- Electrical Contracting/installation\n- Course of Interest:\n - Name: ..................................................\n - Address: ...........................................\n - P. Code ............................................\n- Radio, Audio and TV Servicing\n- Radio Amateur Licence Exam (City & Guilds)\n- Car Mechanics\n- Computer Programming\n- GCSE and 'A' level subjects\n\nInternational Correspondence Schools Dept. EF55B, 112/314 High Street, Sutton, Surrey SM1 1PR. Tel: 01-643 9568 or 041-221 2926 (24 hrs.)\n\nTX-3 RTTY/CW/ASCII TRANSCEIVE\nThe high performance, low cost system\n\nSplit-screen, type-ahead operation, receive screen unwrap, 24 large memories, clock, review store, callsign capture, RTTY auto CR/LF, CW software filtering and much more. Needs interface or TU.\n\nBBC-B and Master, CBM64 tape £20, disc £22. Spectrum tape £35, +3 disc £37 inc adapter board (needs interface/TU also). For VIC20 we have our RTTY/CW transceive program. Tape £20.\n\nRX-4 RTTY/CW/SSTV/AMTOR RECEIVE\n\nThis is still a best-selling program and it's easy to see why. Superb performance on all 4 modes, switch modes at a keypress to catch all the action. Text and picture store with dump to screen, printer or tape/disc. An essential piece of software for trawling the bands. Needs interface. BBC-B and Master, CBM64 tape £25, disc £27. VIC20 tape £25. Spectrum tape £40, +3 disc £42 inc adapter board (needs interface also). The Spectrum software-only version (input to EAR socket) is still available, tape £25, +3 disc £27.\n\nTIF1 INTERFACE\n\nPerfect for TX-3 and RX-4, it has 2-stage filters and computer noise reduction for excellent reception. Transmit outputs for MIC, PTT and KEY. Kit £20 (assembled PCB + cables, connectors) or ready-made £40, boxed with all connections. State rig for transceive. Interface available only with TX-3 or RX-4 software.\n\nMORSE TUTOR, LOGBOOK, LOCATOR, RAE MATHS programs also available for BBC-B, Master, CBM64, Spectrum, VIC20.\n\nPrices include VAT and p&p, 1st Class inland, airmail overseas, normally by return. Eire, CI, BFPO deduct 13%.\n\nTechnical Software (AR)\nFron, Upper Llandwrog, Caernarfon LL54 7RF\nTel 0286 881886\n\nMAKING ELECTRONICS C.A.D. AFFORDABLE\n\nZ-Match\n\nSmith Chart Program\nfor IBM PC/XT/AT £130 (ex VAT)\nBBC B £65 (ex VAT)\n\nTakes the drudgery out of Matching problems. Includes many more features than the standard Smith Chart. Full calculation of parameters\n\nPCB DESIGN\nfor IBM PC/XT/AT from £160 (ex VAT)\n\nLow Cost PCB draughting packages\nVery easy to learn and use\nComponent library facilities\n\nWe offer full after-sales support with telephone 'HELP HOTLINE' service. 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(Tel: 01-274 8611)\n\nTO ADVERTISE IN AMATEUR RADIO TELEPHONE MARIAN ON 0277-219876 FOR DETAILS\n\nMathematics are not to everyone's taste, although every radio amateur has to dip into them to some extent simply to pass the RAE. There are some whiz-kids who do everything by maths, and some who write magazine articles which lose most of their readers the moment they reach a formula which appears to be written in Greek, followed by columns of calculations.\n\nThere is no doubt that for those with an aptitude for the subject everything becomes that much easier and, for anyone taking up radio or electronics professionally a good knowledge of mathematics is a necessity.\n\nMany radio amateurs today, however, are involved in the pursuit of a practical hobby, and have no great wish to become involved in too much juggling with figures. Nevertheless, even when working on a practical basis, simple calculations can help save hours of experimentation. They need not be too complicated, and a few are discussed here to illustrate the point. A simple approach has been adopted, and all calculations can be made with a pocket calculator. Mathematicians reaching this point are invited to turn the page and proceed to the next article!\n\n**Dipole antenna lengths**\n\nThe formula to calculate the length of a half-wave wire dipole for HF is usually given as\n\n\\[\nL = \\frac{468}{f}\n\\]\n\nwhere \\( L = \\) length of antenna in feet, and \\( f = \\) frequency required in MHz.\n\nWithout knowing the precise location of the antenna, its height, the presence of nearby objects, trees, buildings etc, it is impossible to provide an accurate formula, and the factor of 468 can only be an approximation. Consequently, the newly erected antenna may well not be resonant at the desired frequency, and subsequent adjustments usually consist of arbitrary alterations until the correct length is found.\n\nA simple reversal of the original formula saves all this. First, the (unwanted) resonant frequency of the antenna is identified by noting the receiver frequency when the lowest SWR is obtained during transmission.\n\nAssume that an 80 metre dipole is required to resonate at 3.650MHz. The usual formula\n\n\\[\nL = \\frac{468}{3.650}\n\\]\n\ngives a length of 128.22 feet, but when erected the antenna is found to resonate at 3.564MHz.\n\nIf the length is equal to the factor divided by the frequency, then the factor is equal to the length multiplied by the frequency. It has been established that the antenna has a frequency of 3.564MHz, and with this information a new factor can be calculated:\n\n\\[\n\\text{Factor} = \\text{length} \\times \\text{frequency}\n\\]\n\\[\n= 128.22 \\times 3.564\n\\]\n\\[\n= 457\n\\]\n\nThe new factor is tailor-made for the particular location, and can now be used to calculate the correct length for the frequency required:\n\n\\[\nL = \\frac{457}{3.650} = 125.2 \\text{ feet}\n\\]\n\n**Coaxial wavelengths**\n\nA half-wavelength, or multiple thereof, is a useful length for coaxial feeders. For any given frequency, the impedance at one end is repeated at the other end. At VHF particularly, the length of feeder between a transmitter and an SWR bridge should be such as to ensure that the bridge indicates the condition at the transmitter output terminal. At all frequencies, it is helpful to have a feeder in multiples of a half-wavelength when experimenting with single band antennas, to ensure that the feeder itself does not act as a transformer and give misleading results to antenna adjustments.\n\nAll measurements of feeder lines refer to the electrical length of the line, taking into account the velocity factor of the cable used, as follows:\n\n\\[\nL = \\frac{492V}{F}\n\\]\n\nwhere \\( L = \\) length of cable in feet\n\\( V = \\) velocity factor of the cable,\nand\n\\( F = \\) frequency in MHz\n\n*Example:* A half-wavelength of coaxial cable with a velocity factor of 0.66, at 144.5MHz\n\n\\[\n= \\frac{492 \\times 0.66}{144.5} = 2.25 \\text{ feet}\n\\]\n\nThe formula for a full wavelength uses a factor of 984, and for a quarter wavelength, often used as an impedance transformer, 246.\n\n**SWR calibration**\n\nAn SWR meter can be calibrated using the formula:\n\n\\[\n\\frac{F+R}{F-R}\n\\]\n\nwhere \\( F = \\) full-scale deflection of the meter,\nand \\( R = \\) meter deflection to the point to be calibrated.\n\nThis enables existing meter scale markings to be modified and used quite easily. If, for example, a scale is marked in tenths of FSD, each point represents 10 and FSD is 100, thus for a mid-scale reading:\n\n\\[\n\\frac{100+50}{100-50} = \\text{an SWR of 3:1}\n\\]\n\nand calculations can be made for other SWR calibrations in like manner.\n\n**Voltage dividers**\n\nExperimenters often find a need to apply one or more voltages to different parts of a circuit. A common way to do this is with a voltage divider: a simple resistor network from the positive to negative line of a power supply. This provides various voltages at the junction(s) of the resistors, as illustrated.\n\nThe formula to obtain the values of the resistors is based on Ohm's law, ie:\n\n\\[\nR1 = \\frac{E-E1}{I1+I2} \\quad \\text{and} \\quad R2 = \\frac{E1}{I2}\n\\]\n\nwhere \\( E = \\) the voltage supply applied to the circuit\n\\( E1 = \\) the load voltage required from the divider\n\\( I1 = \\) the load current required in amps\n\\( I2 = 10\\% \\) (approx) of the load current\n\n*Example:* A circuit is supplied with 12\n\nvolts. A section of the circuit requires a supply of 6 volts at 10mA.\n\n\\[ R_1 = \\frac{12 - 6}{.01 + .001} = 545 \\text{ ohms} \\]\n\n\\[ R_2 = \\frac{6}{.001} = 6000 \\text{ ohms} \\]\n\nFinally, the wattage (W) of the resistors is determined by \\( W = EI \\):\n\n\\[ R_1 = 6 \\times .011 = .066W \\]\n\\[ R_2 = 6 \\times .001 = .006W \\]\n\nIn this instance, \\( \\frac{1}{2}W \\) or smaller resistors will suffice in both cases.\n\n**Dummy loads**\n\nA non-inductive (ie, not wire-wound) resistor provides a good substitute for an antenna for testing a transmitter without radiating a signal. It must, however, present a resistance value matching the output impedance of the transmitter, and be capable of dissipating the full output power.\n\nWith low power (QRP), this presents little problem. A 1 watt transmitter is easily served by a 47 or 56 ohm, 1 watt, carbon resistor.\n\nAn application of a formula learned for the RAE:\n\n\\[\nR = \\frac{1}{\\frac{1}{R_1} + \\frac{1}{R_2} + \\frac{1}{R_3}} \\quad \\text{etc}\n\\]\n\nshows that several resistors connected in parallel will provide a dummy load capable of carrying more power, for example:\n\n\\[ 3 \\times 150 \\text{ ohm, 1W resistors} = \\]\n\n\\[\n\\frac{1}{\\frac{1}{150} + \\frac{1}{150} + \\frac{1}{150}} = 1 \\times \\frac{150}{3} = 50 \\text{ ohms}\n\\]\n\nAs the power route is now divided three ways, and as each resistor can carry 1W, the total dissipation will be 3W. Various permutations are possible using 1 or 2W resistors, eg \\( 11 \\times 560 \\text{ ohm}, 2W \\) resistors would provide 51 ohms at 22W. The ratings of the resistors are for continuous dissipation. Keyed or speech transmissions are not radiating with a continuous duty cycle however, and the rating of a dummy load calculated as shown can probably be doubled, subject to an occasional check that it does not become too hot to touch when in use.\n\nWith powers above QRP level, dummy loads need to be carefully constructed and cased. Details are outside the scope of the present article, but examples can be found in many amateur radio reference books etc.\n\n**Many more**\n\nThere are many more examples, gradually becoming more complicated, but there is no need to think that because maths can be difficult, that it is always difficult – this is not so. The simple calculations illustrated here show that maths can, and should, be used to assist the practical constructor to whatever extent he, or she, is capable of using it.\n\n**Velocity factor of coaxial cables:**\n\nThis depends on the insulating material used for the cable. Popular types with solid polythene dielectric, such as UR43, 57, 67, 76 etc, have a velocity factor of 0.66\n\nThose with a helical membrane, foam, or PTFE dielectric have factors ranging from 0.70 to 0.96 and should be checked against data tables found in various handbooks or other works of reference.\n\nIt was Kevin Fox G4MDQ who pointed it out to me.\n\n'Isn't it strange,' he said, 'how few rigs have names?' He went on to say how those that do seem to be Western rather than Japanese - the KW Atlanta, the TenTec Argosy, the Micron and large numbers of QRP rigs, for example.\n\nIt struck me how strange this was, when you consider that cars from that part of the world are marketed in the West using names - many of which seem odd to us. The Sunny and the Cherry are not the usual macho names associated with cars in our culture. Range Rover or Spitfire sound better to the British ear. Japanese cars still sell well, though, so why are rigs not saddled with names as well? Why are we not boasting about our new Yaesu Peach or Trio Moonshine?\n\nHaving some contacts in Japan, I set out to ask this question. In the search, I stumbled across the answer to one of the great mysteries of amateur radio. Why is it that some rigs are better performers than others of the same model?\n\nThe significance given to numbers in the Orient is greater than in the West. The patterns in which they lie are important and are seen as holding the fortune or luck of the things to which they are attached. Sadly, the success of a rig will sometimes force a number onto the Japanese staff which, although logical from the Western point of view, is laden with ill-luck in their eyes.\n\nAs an example of this, let us consider the triumph of the FT101 and the failure of its two successors the FT One and the FT102. In the West the number one has a special meaning: first and best. In the Orient, one is a number that gains its strength from its place in the pattern of numbers. Thus 101 can be written in the form $1 \\times 0 \\times 1$.\n\nThis pattern accords with the static Yin line in the classic form of oriental fortune telling. A Yin line often has desirable connotations, since words meaning accord, gracefulness and the like are derived from it. This pattern of numbers holds great fortune, and the rig itself is a great success. What then of the FT One? The pattern here is another classic in the fortune telling system: $0 \\times 1 \\times 0$.\n\nThis is the static Yang line, and means the exact opposite of the Yin line. Thus, when casting the luck of the One, the engineers would have been aware that the fortune of the rig was exactly the opposite of the 101!\n\nThis is a hard idea for Westerners to grasp, so let me put it another way. If you...\n\nconsider a one to represent a pillar or support, it is easy to understand that a bridge supported at both ends:\n\nis stronger than a bridge with a single support in the centre:\n\nHaving had this unfortunate number forced onto them by Western sales staff, is it any wonder that the development staff could not find it in their hearts to spend a great deal of time on the One?\n\nThe FT102 also logically follows in the Western number system from the 101, but again the number signifies ill luck. Two in the oriental system is the number of the bird meaning 'Luck which flies away'. So the bridge starts strong:\n\nbut rapidly becomes weak as the luck flies away:\n\nThe experimental three valve final was dumped onto this number to get it out of the laboratory and into a field trial. Since the patient was going to die anyway, it wouldn't hurt to try a new treatment!\n\nThe numbers of value in the oriental system are 8, 3 and 9. The number of luck or good fortune is 8, while in common with Western mystics 3 and 9 (3 times 3) are numbers of worth and strength. One, as I have explained, is an important number which takes its meaning from its combination with other numbers.\n\nPlace is an important aspect of the fortune telling system, the order of luck favouring the centre, then the number to the left of centre and then the right. Thus luck favours number combinations such as 830, 930, 2300 (the 00 counts as 0), and of course 290.\n\nPerhaps, then, we should not wonder that the runaway success of the FT290, and its fellow 690 and 490 rigs, was due to the development team being free to pick a number with good luck attached and to build a rig to match the success the number would bring. The new version of the FT290 still retains this magic number, being the Mark II, and not changing to the less lucky FT291!\n\nEven in the best of rigs, one can find 'Friday afternoon' examples which perform in a disappointing manner.\n\nMany years ago, when Douglas made Vespa motorscooters in this country, they boasted that any bike with a zero at the end of its serial number was subject to extra checks. A single zero warranted a special visual inspection, a double zero a full mechanical inspection, three zeros a complete performance test and 4 zeros, it was claimed, were destruction tested!\n\nThis number magic can apply to rigs as well. Remembering the numbers of strength (3, 8, 9), and the combination 1—any number—1, we must look at the serial number in the oriental manner from right to left. The number fifth from the left holds the fate of the sequence and the second number from the left gives it a value, ie much luck (or ill-luck) or little.\n\nThe numbers at the extreme left and right, it is said, hold the past and future luck of the equipment. Thus, a sequence 390083 with the 9 in fifth place supported by the 8 in second place should bode well and, as the history numbers at each end are both 3, they should indicate a trouble-free life for the equipment.\n\nAn example from life concerns one of my rigs with the number 311023. This has never misbehaved (as indicated by the history numbers) but has never been able to pick out the DX, perhaps due to the poor luck of the numbers in fifth and second places!\n\nThis system only applies, of course, to hand-built rigs, where the human factor can unconsciously affect the fortune as it is built. Computer-built rigs are more robust in this area, and it is then the luck of the robot which must be considered. This is often shown on the inspection slips enclosed with the rig as initials (the human inspector) and a number indicating the robot line. Divination can then proceed as above.\n\nTimes and dates too, carry importance. Certain number sequences are of great cultural significance. With this in mind, I have been careful that this piece is written at one of these meaningful points in the year:\n\nJohn Feeley, 11.55GMT 1.4.88.\n\nThe period under review has not produced any spectacular results; nevertheless conditions have been interesting and the upward trend has continued with some interesting crossband QSOs taking place with DX stations. I am starting the column with some of the DXpeditions planned for the summer season this year.\n\nI am indebted to Harry Schools KA3B for permission to reprint the following information from issue number 7 of his *International 6 Metre Digest*, March 1988.\n\n**DXpedition to St Pierre (FP)**\n\n'I had reported in the February issue of the digest that I had been making tentative plans to operate from the islands of St Pierre and Miquelon during the June VHF contest. So far, things are looking good. My vacation schedule has been approved by my immediate superior at work. The dates I have requested are June 7th to June 14th, which coincide with the VHF contest on 11th/12th.\n\n'The location from which I am planning to operate, the Hotel Robert, is available on these dates. Readers who are familiar with the hotel will know that it has been host to many DXpeditions in the past, especially on the HF bands. The hotel's manager has been enthusiastic about amateur operations and has allowed a New England ham, Ralph Hirsch K1RH, to establish a permanent station on the top floor of the hotel.\n\n'The station consists of a minibeam for 6, 10, 15 and 20 metres, a Butternut vertical for 40, 80 and 160 metres and a 5RV for utility work. Also in place is a MFJ 1500 watt tuner with SWR and power meters, an antenna switch and rotator plus 115/230V ac and 12V dc at 35 amps. All you need to do is bring your rig and you can be on the air within 10 minutes of arrival (anyone interested?). I spoke with Ralph on the telephone and enquired about whether there was room on the roof for additional antennas. He tells me that there is ample space for mounting a 5-element 6-metre beam. I shall therefore bring one along, plus rotator, and leave it there for future expeditions.\n\n'I have applied for a special callsign, FPOSIX, although I am sure I shall be required to sign as FP/KA3B. My operation will concentrate on 6 metres, although I will probably operate on HF as well. The 6 metre operation will run about 100 watts. QSL/SAE's please!\n\n'I have written to Harry about crossband working using 28.885 and his answer will be printed next month in this column.'\n\n**DX briefs from KA3B**\n\nPhillip Delcroix TR8DX is reported as operational on 6 metres with 40 watts output and a 4-element beam. He is active in the evenings and at weekends. Others interested in operating on the band are TR8CA and TR8JLD.\n\n**Falkland Islands (VP8):** Bob VP8BKK will shortly be operating on 6 with a Swan 250.\n\n**Nicaragua (YN):** YN3CC is now operational on 6 with a Yaesu FT620B and a 5-element yagi, which were donated by the Six Metre International Radio Club (SMIRK).\n\n**Zambia:** Bill 9J2WS will be active on 6 from Zambia until the end of 1989, before returning home to Sierra Leone as 9L1WS.\n\n**El Salvador (YS):** In addition to YS1ECB, Marco Diaz YS10D is reported to be active on 6. His address is Box 464, San Salvador, El Salvador.\n\n**Martinique (FM):** Three operators are reported as active on 6 from this small island in the Caribbean (Grid FK94). They are FM3AG, FM3BY and FM3CS. Note that the French Guiana beacon FY7THF on 50.038, which is received in the UK when conditions are favourable, is a good pointer for this area.\n\n**Peru (OA):** From Ray Clark comes word that OA8ABT is active on 6 with 50 watts output. He is using stacked, 5-element yagis.\n\n**Ceuta and Mella (EA):** From this area comes word that EA9ID9 will be starting out on 6 soon.\n\n**Other DX news**\n\nA Gibraltarrian DXpedition is planned to take place between May 31st and June 14th. A letter from G4VXE gave details of the forthcoming 6 metre DXpedition. Tim says that callsigns have not yet been finalised, but will probably be ZB2/G4VXE, etc., rather than full ZB2 callsigns. Operation will begin on May 31st and end on June 14th. The period was chosen for best sporadic-E propagation to the UK.\n\nOperating frequencies will be 50.165 and 50.200, with monitoring on 28.885. See Figure 1 for details of reception of the Gibraltar Beacon in the Scilly Isles by G5KW during May and June 1981. As will be seen from the graph, the band was open for 70MHz operation on May 31st and June 1st. This was when many of us made QSOs on 4 metres. The propagation mode has not been established but we believe it to be enhanced sporadic-E.\n\nJohn G3UUT writes to say that he has received a letter from Jimmy Bruzon ZB2BL. Jimmy is the keeper of the beacon ZB2VHF which, as reported earlier, was damaged by rats. He says that he is hoping to get the beacon Poperational again soon, as he has ordered the spares necessary to mend it. This is good news, as the beacon was a valuable guide for the conditions to the south of us.\n\nI had a telephone call last week from Jimmy in California, saying that his plans for his annual DXpedition this year are not confirmed yet. He believes that he may go to Belize; I hope to give more\n\ninformation on this next month. Jimmy is probably the world's greatest operator of 6 metre DXpeditions and produces a very fine souvenir QSL card, giving full details of equipment and local colour.\n\n**Ascension Island beacons**\n\nIn a news handout from the UK 6 Metre Group, we read that Mike Barry ZD8MB/G4MAB obtained licences for two beacons in the autumn of 1987: ZD8 HF on 2829kHz, with 50 watts output power, and ZD8 VHF on 50032.5kHz, having 50W output power. The necessary permits were issued by the Governor of Ascension Island. The antennas will be a 5-element yagi and a vertical, both available for 6 metre operation; for 10 metres a vertical will be used.\n\nThe same keyer is used for both transmitters, but the appropriate callsign for each beacon is sent, followed by the Ascension Island call, locator II2TB. The keying is synchronous throughout except for the callsign differences, permitting arrival timing comparisons.\n\nSeveral organisations have provided hardware. Yaesu donated the components, South Midland Communications gave random antenna electronics and the keyer PCB is from G4FRE. The beacon was designed, built and tested by G3JVL; funding is by donations from interested members of the UK 6 Metre Group. The 10 metre beacon has been funded by ZD8MB, G4JCC, G3SED and G3JVL.\n\n**UK 6 Metre Group AGM**\n\nThis will be held at the RSGB VHF Convention at Sandown Park on May 2nd. The convention opens at 11.30am and non members are cordially invited to attend but may not vote.\n\n**Aurora during March**\n\nThe magnetic storm on February 21st, which was followed by an intensive aurora on February 21st and 22nd suggested that similar conditions would probably return 27 days later. We were not disappointed! During the first two weeks of March there were several auroral openings, but these were not much in evidence from my QTH in the south-east. Stations further north and in Scotland, however, had some major openings – particularly towards the end of the month. With the solar flux at 132, an A index of 22 on March 29th and stormy geomagnetic conditions forecast as this column is being typed, no doubt more auroral contacts will have taken place by the time this is published.\n\nMike Barry ZD8MB has already been having some good crossband and direct 6 metre QSOs – although, isolated as he is, all QSOs can be considered DX! He is regularly in QSO with Costas SZ2DH and the 9H1 gang, and in crossband contact with OZ2BQ/EA7, EA4CGN, TR8DX and CT1WW. The highlight of the season so far was a crossband QSO on March 25th between EA4CGN on 10 metres and LU7DX on 50.105MHz just before the aurora started up in the UK. Enhanced conditions have been encountered in the past before an aurora.\n\nIn the March issue the captions were omitted from the graphs of the solar flux and sunspot data supplied by Geoffrey Roberts. An updated version has therefore been included this month. As mentioned earlier, the upward trend continues.\n\nAs we move through the summer sporadic-E season to the autumn F2 DX season, next month I shall be including a reprint of the propagation study I made, in the Scilly Isles, of the North Atlantic path with times and details of contacts made. Until next month, 73 and good DX on 6. Ken Ellis G5KW, 18 Joyes Road, Folkestone, Kent CT18 6NX. Tel: (0303) 53267.\n\nIt has been some time since we had a serious look at what is happening on the higher microwave bands. Perhaps the most interesting occurrence is that a number of people are now running private beacon systems on the bands from 10GHz upwards. There are several reasons why beacon facilities are useful. The obvious one is to find out what conditions are over a particular path, a service provided by the official beacon network.\n\nA secondary function is providing a tune-up facility for tweaking up newly-built equipment. Here, the official network is not very helpful if you are located some distance away. The problem is that the gear could be off frequency and as deaf as a post, so you would need to get close to the beacon site to make a start on the lining up job. Because the official beacons are few and far between, this could involve a lot of travelling.\n\n**A good idea**\n\nThe private beacon network which is springing up around the country helps to cut down on your travelling by putting signals into areas which are not well served by the official network. So, how do they operate?\n\nAs you know, an RSGB type beacon has to go through a thorough DTT examination before being granted a licence. This is largely because the unit is going to be installed on a remote site and will be left to run unattended.\n\nThere is, however, nothing to stop anyone transmitting a constant carrier with tone or other modulation from home, provided that the callsigns are transmitted at the stated intervals. This is, after all, exactly the way you run a normal QSO.\n\n**Objections**\n\nSome people have said that efforts should be concentrated on providing more official beacons. The reason given is that because the private ones are not running continually and because the aerial may be pointing in different directions at various times, depending on the user's requirements, it is not possible to use them to keep a check on propagation. This argument misses the whole point of the private beacon system, which is to provide signals and help to get gear up and running when requested.\n\n**Advantages**\n\nIn one sense, the private beacon has a great advantage over the official ones as the operator will be available to respond to your requests via a two metre talkback link. This effectively gives you a duplex QSO, with you on 10GHz and the beacon operator on 144MHz. Any adjustments you make can be immediately reported back to you, making the tweaking progress a lot easier. Many of the home beacons also have full 10GHz transceive operation available, so a final test can be made using full duplex telephone style contacts – the ultimate in luxury.\n\n**Get 'em up**\n\nAs starters you could try the following to get a signal up on the band. In the Glasgow area, try Mark GM4ISM for 10GHz FM and possibly 24GHz FM. In Geordie land, try John G3NWU who can help with 10 and 24GHz FM. In the Midlands you can call me for a signal on 10 FM, 10 SSB or 24GHz FM. For the area south of Birmingham, contact Dave G0DJA who also has 10 and 24 FM available. In the Wolverhampton area the man to get is Glynn G8SWZ, who can also manage 10 and 24 FM.\n\nMoving to the Bristol area, you could ask Roy G3FXL who can manage signals on most bands above 1.3GHz including 10GHz ATV. In the Swindon area you could contact Tim G3KEU for 10 FM, SSB and ATV. In the Sheffield area you could try Peter G3PHO.\n\nIf you live in the South Wales area then Doug GW3ATM, located near Chepstow, would be pleased to help on 10 FM. In the Hitchin area, Harold G3UYM is available for 10GHz FM and, in Reading, you could ask Ian G8KOW for 10GHz FM and SSB and also 24GHz WBFM. Most, but not all, of these operators have a mast-mounted system but they can all get a signal on the band for you with little trouble.\n\n**Contacting them**\n\nAll of them are QTHR and phone numbers are available via directory enquiries. Please bear in mind that you cannot expect a signal at the drop of a hat. Contact the people concerned well in advance to arrange a suitable time to do your tests. All these people are very helpful and very experienced microwave operators – just the sort you need to hold your hand when you are getting started.\n\nThis is by no means a full listing and I would be very pleased to hear from anyone else who is prepared to put up signals.\n\n**Proper ones**\n\nJust to round off the information, the official beacons – working upwards in frequency – are, on 10.1GHz, GB3IOW on the Isle of Wight; on 10.12 GB3ALD on Alderney; on 10.368 we have GB3SCX at Bournemouth, GB3MHX at Ipswich, GB3CEM at Birmingham and GB3AZA at Scarborough. All the preceding beacons are high stability types for SSB use but can also be received as carriers on wideband FM receivers. The FM beacons with nominal 300kHz deviation are all on 10.4GHz. These are GB3GBY at Grimsby, GB3MLE at Emley Moor, north of Sheffield, GB3XGH located at Chester and GB3LEX which is located between Leicester and Loughborough.\n\n**More units coming**\n\nThere is also news of a new 10.4 FM unit to be installed at Blackhill near Glasgow (NGR reference NS 828 647) as soon as all the paperwork is approved. Further news of this one is obtainable from GM4ISM. It is hoped that GB3OHM will have made an appearance from the Birmingham area by the time you read this. Information on this one is from G6KOA. On 21.4GHz you will find GB3ALD and GB3IOW putting out signals.\n\nThese beacons are all fairly reliable, but they do have to be taken out of service for short periods for running repairs and so on. If you want to check the latest status try contacting the RSGB Databox on (0707) 52242 using normal Prestel 1200/75 baud rates. Lots more interesting information for the VHF man is also available from the same source.\n\n**Cumulative results**\n\nLast year's 10GHz cumulatives were well supported in spite of the terrible weather conditions. Any time you want rain, just take a dish aerial up onto a local hill – it rarely fails. The score is the best results from three of the available contest days and the winner was G4EFT with 2554 points from 38 contacts, with a best DX of 219km.\n\nSecond was G8KQW with 2522 points from 35 contacts, the best DX being 163km. The greatest number of contacts was 42, scored by G4EML. On SSB the winner was G8KQW with 1329 points from 16 contacts, the best DX being 153km. This is actually less than he achieved on\n\nwideband FM but, of course, there are a lot less stations around on SSB even though the number is increasing rapidly.\n\nActivity\n\nAs well as the cumulative contests on 10 and 24, there is now a well established idea of using the first Sunday in the month as an activity day. This has promoted a lot of interest and each month sees more people joining in. The Midlands, South Yorkshire and the Lancashire area are particularly busy.\n\nThere is now a well established South Wales microwave group doing a lot of operating from their site at Hay on Wye. In North Wales there have been reports of contacts into Eire and Scotland, where the Glasgow group are getting very well organised. There is also a very active group in the Hull area, although high spots are not easy to find around there.\n\nExpeditions\n\nNews is coming in of a planned trip to Gd-land by G8KQW, possibly in August. He will be taking 10 and 24GHz FM and also 200 milliwatts of 10GHz SSB with him. This may not sound much to a two metre operator, but bear in mind that the average 10 SSB system runs about a third of a milliwatt output and his system is really QRO.\n\nAround the same time we can expect an expedition to the south-west corner of Scotland, possibly with both 10 and 24GHz being carried. Several operators are planning trips up Snowdon; in fact it is getting to the point where a rota system will have to be brought in for this site to stop local QRM from becoming a problem.\n\nSummer holidays\n\nJuly and August are possibilities for an expedition to the south-east of Scotland, from where long distance sea paths into the north of England and East Anglia are being attempted.\n\nThe Belfast Group will be out on most contest days looking for paths into Scotland and North Wales. A new interest in microwaves is appearing on Anglesey and the north-west coast of Wales, plus there is a very active Glasgow group, so the limited success of last year should improve.\n\nMobile\n\nMad though it may sound when you consider that microwaves are a line-of-sight game, a fair amount of work has gone into mobile operating. This is usually achieved using Alford slot aerials mounted on the roof of the car. This type of aerial is intended to give good all round coverage and does an excellent job.\n\nHowever, when doing mobile tests rather than looking for random mobile contacts (What, on 10GHz! - Ed), both cars are following the same route and much better results can be obtained by using the extra gain of a small horn aerial. These are usually mounted inside the rear window of the leading car and inside the windscreen of the following one.\n\nUsing this layout G8OIT and I have managed contacts of up to three miles when, obviously, the cars are not in visual range. Even better results were obtained on the M62 where visual distances in some areas are greater. I have also done some tests on 24GHz FM mobile with G0EDT. So far, they have only provided contacts of less than a mile, although we are sure that this could be easily extended.\n\nUsing SSB mobile on 10GHz has provided some problems due to Doppler shift as the relative speed of the cars has changed. Using the throttle as an RIT control has to be experienced to be believed!\n\nClose-down\n\nNext month we move back to the lower end of the spectrum and perhaps also get an update on the awards that have been issued. If you want information on these, or just want to comment generally, then the QTH is 81 Ringwood Highway, Coventry; or you could use Prestel on 203616941. Good hunting.\n\nThe subject of mains hum is an old favourite from the postbag. It can be a real pain, though it can normally be separated out into three main sources. The easiest of the lot to deal with is heater cathode shorts in valve sets. Hum all the time has got to be limited to the audio stages (this is the most likely cause), the rectifier or the detector, assuming it's coming from the heaters. Heater cathode shorts down the RF/IF/mixer stages normally only show up when you tune in a strong signal.\n\nIn my experience the indirectly heated series heater valves, for example PL, U types etc, are the worst for this problem, though 6.3V'E' series strung in series can play up. The way to check is to heat the valve up (ie put the correct volts up the heater pins) out of the set and AVO the resistance between cathode and heater. Although there should be no conduction, in an audio or rectifier valve you should disregard anything 10kohms or above. You will gather from this that I don't like using the valve tester. I get a belt off it every time I play with the damned thing!\n\nThe old trick of listening to your local oscillator (or, in more advanced receivers, conversion crystal oscillators, etc) is very worthwhile when you are only getting the hum when a signal is tuned in. Any trace of 50Hz and I'd be wopping in a new oscillator bottle. Another good trick, for 6.3 or 12 volt parallel connected heaters only, is to disconnect the heater transformer winding and run the heaters off an external dc supply. If the hum is gone, the heater circuit is your chief suspect.\n\nA bodge way out of heater induced mains hum is the so-called 'hum-dinger' circuit. It is very, very important that you do not try this technique on series connected heaters; you must only do it with parallel connected ones, isolated from chassis heaters. Figure 1 is self-explanatory.\n\n**The HT supplies**\n\nWe are now talking either valve or solid-state equipment, with HT either meaning your hundreds of volts in the valve box or only the 12 volts or what-have-you in your semiconductor wonder-box. If you have a 'scope handy, it's well worth a nose round the 'main' rail, with the 'scope on ac coupling, to see if you have any 'modulation' on it, be it 50 or 100Hz, dependent upon half or full wave rectifying.\n\nOn a 12 volt(ish) system I begin to worry when confronted with more than roughly half a volt's worth of wiggle. Your 300 volt valve heap can probably take 5 to 10 volts of ripple. First move, if confronted with yards of the stuff, is to wop an electrolytic of roughly the same value and voltage as that already fitted straight across the rail. Remember to be careful and to discharge the substitute after use.\n\n**Induction hum**\n\nIf you have been adding new mains transformers and the like, the radiated magnetic field round it can be upsetting other gubbins within the set. Try rotating it through 90° and see if the hum disappears. Another favourite complaint is the mounting screws of the mains transformer not making good contact to the chassis. Try loosening them off and re-tightening.\n\nOne final mains transformer related hum problem can be loose laminations. Not loose enough to physically rattle (this is annoying; cure it with liberal 'coatings' of high temperature lacquer), but loose enough to impair the efficiency of the transformer. Think about it - if the laminations are loose, the magnetic circuit is inefficient. Your 'lost' power, which goes as an increase in the external magnetic field (ie the inefficiency), can induce mains hum into other nearby inductors, principally audio-inter-stage transformers or the 'L' bit of audio filters. Try a clamp on the lams if you suspect this. AG clamp and some scrap wood can sometimes suffice.\n\nMagnetic radiation from transformers can be the cause of 'judder' on the picture of a CRT screen, be it computer, TV, monitor, scope or whatever. I tend to extend the mains transformer leads (well insulated) so that I can run the set from it, but with the transformer physically located well away from the set. With monitors, as often as not, the whole thing runs on 12 volts or thereabouts so it can also be worthwhile running it up from an external supply. If the transformer is the problem, a mu-metal screen can sometimes effect a good cure.\n\n**Yaesu FT720**\n\nThese FM machines come in three variants. The FT720RV is a 10 watt, two metre FM box, the FT720RU is 10 watts on seventy and the FT720RVH is 25 watts on two. The most unusual feature is that the transceiver can be split in half; the control gubbins separates away from the 'RF deck'. It is thus possible to mount the little control box under the smallest dash in a car and put the rest of the set in the boot or under the seat. Control cables come in two or four metre lengths.\n\nThere is also a special combiner box so that you can have one control unit and separate two and seventy RF decks. A point to watch with this family is their extreme sensitivity to VSWR. There is a built-in safety feature whereby any mismatch trips out the transmitter. This is really sensitive - in my view a bit over sensitive. Even a watt 'back' will trip out the ten watt version, so a well matched aerial is essential.\n\nPerformance-wise the quoted figures are 0.32uV for 20dB quieting on two and 0.5uV for the UHF variant. In practice, they all seem to be exactly this, which is reasonable considering the slightly dated design. The Tx side always gives a bit more than stated, typically 12 watts out for the 10 watters, 27 to 30 out of the 25 watt.\n\nPrice-wise, the two metre versions go for £125 for the low power one to about another twenty quid(ish) for the higher one. Last year I only saw two UHF ones sell, one at £135 and the other at £155, so I can offer no definitive price. They are not bad machines.\n\n**Repairing Spectrums**\n\nMy comment in the second-hand computer special recently about dead Spectrums that will only produce multi-coloured flashing squares seems to have touched a very raw nerve indeed. Most of\n\nthe correspondence about this ruefully agrees with my comment that you should never unplug or plug in any accessory to a running Spectrum; that's how those concerned blew theirs up.\n\nFor starters, I think it's only fair to point out that there are several firms about who will repair a dead Spectrum for a fixed price of £15 to £20. The repair isn't a lot of fun, but is relatively inexpensive so this might be worth considering. If all goes against you, you are in for about a tenner's worth of bits.\n\nAssuming you are a sadist, though, open him up and look, with an AVO, at the block of eight memory chips in the bottom left-hand corner. These should have +12, −5 and +5 on them, on pins 8, 1 and 9 respectively. Bet they haven't. Now cut the supply rails to that area (ie cut the tracks) and see if the +12, −5 and +5 comes up. Bet it doesn't.\n\nThe inverter's a gonner. This features a ZTX650 transistor, an etsy bitsy thing that is a lion in sheep's clothing. This tiny, insignificant transistor has the ability to shake two amps or two and a half watts maximum dissipation.\n\nIt also has a gain of 100 min, 300 max, so don't wop in a BC108. The correct transistor is essential and they are cheap (£5 for £1.50), so it's not worth playing games. Well, would I lie to you?\n\nSo now we have a running inverter. The real bad news is that the memory block has to come out, which is soldered in, plus it's double-sided, plated through-holes. Eight sixteen-pin ICs. Yuck. That's one hundred and twenty-eight goes with the solder sucker and solder wick. Super fun! Folklore has it that when a 4116 has not got its full complement of all rails across it, it will die permanently. My experience of this is that it isn't true.\n\nIn a normal dead Spectrum, six out of the eight chips are normally OK. The problem is that you've got to get them all out to check them (rails run under the chips so you cannot keep cutting tracks). The easiest way is to cut all the legs off on the top of the board, then unsolder each leg one at a time until the area is clear. This obviously makes re-use of the memory chips a no-no. Still, 4116s are under a quid a go, so eight new ones aren't going to cost the earth. Incidentally, you weren't going to solder the new chips in, were you? For the extra eighty pence or so it will cost you for a set of IC sockets, I'd advise you to fit them.\n\nI, however, am extremely tight when it comes to parting with money on electronics. I'd rather waste an hour carefully sucking out all the old memory chips so that they come out whole. It's then a case of plugging them one at a time into a socket fed with +5, −5, +12 on the appropriate pins whilst watching the current meters on the power supplies. Any dead 'uns obviously get binned; it's worth remembering that one of them ought to be a short, 'cos that's what took out the inverter.\n\nUnfortunately, the above PSU tests will not find 'dynamically dead' ICs, ie ones that are taking the right sort of current but don't work. Nearly all Spectrums in my experience die with one IC going a dc short and another going dynamically. So in go the seven dc good ones, plus one new one. It might work. If not, replace each chip in turn with a known good one. Sure you could have seven dynamically dead ones, but I've never met this. A 4116 is a 16,384 bit random access read/write memory organised as 16,384 × 1 words. Since the Z80 is an eight-bit machine, it needs all eight bits to 'live'. As a rough guide, we are talking only µA on the −5V rail and 45mA on the +12.\n\n**A common misconception**\n\nQuite a common letter in the postbag is the one from the person who wishes to add a BFO (beat frequency oscillator) to a short wave radio to allow him/her to listen to SSB and CW. What makes me laugh, because I thought the same myself mega years ago, is that the correspondent goes on to say something like, 'The set covers 1.8 to 4.5MHz and I need a BFO to cover that'. Wrong. It needs to tune only across the IF of the set. That's normally 455kHz, maybe 465 or 475, but in your average grotty MW/LW/short wave domestic box it's around there. I'm being rude; your one isn't grotty, of course not.\n\nIf we are talking of only listening up to 10MHz or so, then all the transmissions you are going to bump into are likely to be lower sideband. Above 10MHz, most are upper. A lot of sets don't make 10MHz so you don't even have to tune the BFO. You can set it and forget it.\n\nA BFO can be built for nothing out of an old transistor radio. All the bits are there, in the IF strip. Figure 2 shows the nominal last IF of an average Japanese radio. Copy the circuit diagram of your set, then reconfigure it like the example in Figure 3. If it doesn't oscillate then reverse the collector and +ve connections to the coil.\n\n455kHz IF coils are yellow, mixer to first IF, white is interstage IF and black (ie natural ferrite colour) is the last IF/detector. For this circuit you can use any of them. Should you require a tunable BFO then add a variable across the 'hidden' one in the IF coil, ie from the unused pin to earth. If you are really tight, the variable capacitor in the set could be used with, say, a 10pF in series, or a small variable could be used.\n\nShould you find frequency drift a problem, normally noticeable with a circuit like this only when the battery is getting low, then a 5.6V zener (plus series limiting resistor, of course) should effect a cure.\n\nYou will note that there is no coupling into the set shown. With most transistor radios, merely having the BFO near it will give you enough injection. Should more be required, a couple of pF from the BFO collector to the set's detector should do the trick.\n\nThis month we come to the last part of the series on various coding systems and we concentrate on valves. There are still far more of these in use than is perhaps realised, particularly amongst the growing band of old equipment restorers, so information on the coding systems used will be very helpful.\n\n**American codings**\n\nThese are still readily available and, in fact, are probably the sort you will run into most frequently.\n\nThe point about this system of coding is that, although the code does not appear to be much help in determining what sort of valve you are looking at, you can glean a lot of useful information once you know what to look for. Let us take as an example type number 6V6GT – this is not an exotic callsign, as some may think.\n\n**Detective work**\n\nThe first figure of this code tells us that this valve has a six volt heater. Other numbers you may come up against are 1 (.5), 25, 35, 50 and even as high as 117, all indicating heater volts. The next bit is the ‘V’ and this conveys no information at all.\n\nThe next figure can generally be taken to indicate how many of the base pins are connected and, allowing for the fact that the heater will have two connections, this indicates that there are actually five electrodes in the valve. A fair guess will come up with heater, cathode, grid, screen and anode and this is exactly what we have. The valve is, in fact, a power output tetrode.\n\n**Go faster?**\n\nSo what about the GT bit – is there anything to be gleaned from this? Yes, there is. The ‘G’ tells us that the enclosing envelope is made of glass and the ‘T’ shows that it is of tubular construction rather than the more usual pear shape.\n\nInstead of the ‘G’ you may find an ‘M’ marking; this indicates that the valve is in a metal container. Another marking you may find could be something like 6SK7, the ‘S’ indicating single-ended construction. The 6K7 is a small signal RF pentode with the control grid connected to a cap on the top of the valve. The 6SK7 is exactly the same valve type, but with the control grid connection brought out to one of the pins on the base.\n\n**JAN codes**\n\nAnother American coding you may come across is ‘JAN’. These codes were used by the armed forces and are, in effect, stock numbers from which no useful information can be obtained, unless, of course, you have a stock list.\n\nOne final point on the American coding system, the 12K7 is exactly the same as the 6K7 except for the heater volts; the same applies to all the other type numbers.\n\nOne oddball you may come up against is something that was used in car radios to reduce current drain on the battery. This is a rectifier with a filament rated at zero volts, thus having a 0 as its first code letter. Perhaps you might care to work out how you can get a heater to run on zero volts?\n\n**British types**\n\nIn Britain all manufacturers used an in-house system of type numbers and most tell little or nothing about the valve you are looking at. In the early days, say pre-1939, valve numbering was very simple and a frequency changer with a four volt heater was simply marked FC4. A pentode with ‘straight’ transfer characteristics and a thirteen volt heater was marked SP13 and so on; all very straightforward.\n\nOf the post-war types only those of Mullard manufacture (just about the largest maker, as it happens) actually have a useful coding. The most likely codes you will find are ones like EF39, EL34 and similar markings.\n\n**Making sense**\n\nThe final 39, 34 or whatever is simply a series number and gives no information, but the letters between the two sets of figures indicate exactly what type of valve it is. See Table 1.\n\n| A | Diode |\n|---|-------|\n| B | Diodes |\n| C | Triode |\n| F | Pentode |\n| H | Heptode |\n| L | Tetrode |\n| M | Magic eye |\n| Z | Rectifier |\n\n*Table 1 Valve types*\n\nFrom this it can be deduced that an EBC33 would have a six volt heater and would contain two diodes and a triode in the same envelope. The magic eye may take some explaining. This was a valve with a fluorescent screen mounted at the top. The valve was fixed in the radio cabinet in such a way that you could see the screen, on which was displayed a dark shadow. The size of this shadow varied with the strength of the incoming signal, providing a signal strength indication which was used in much the same way as a modern S meter.\n\nNext month, Martyn Williams starts a new Project Book series.\n\n3CX800 welcome. Calum GM0EWX QTHR.\n\n- SEM Tranzmatch, 80-10m. John G4UBB. Tel: 01-686 7684\n\n- MuTek, SLN145 SB, pre-amp for FT290 Mk1. Fair price paid. Not working unit considered. Tel: (0277) 823146 evenings.\n\n- Trio trntrwv, 140-230, MML 144-100S linear, reasonable price paid. Terry G4OXD, Hitchin. Tel: (0462) 35248 after 6pm.\n\n- Mel type L662 miniaturised comm Rx. J Ball, 17 Theadene Rd, Wallington, Surrey SM6 0TD. Tel: 01-647 9502\n\n- Yaesu freq counter, YC801 to match 101E, must be in good working condx, for which I will pay fair price. Anyone one might be considered at a knock-down price. Please check the shack and help me out. Tel: (07622) 24855 anytime.\n\n- Drake T-AXC and/or KW107 ATU. GM3BKC QTHR. Tel: Falkirk 23533\n\n- KW type 103, combined SWR/RF power meter or type 107 or similar. Must be pwo and sensible price. Bill G0DVW QTHR. Tel: Guildford (0463) 893411\n\n- Mains transformer for NEC CG110E transceiver, or would buy non-worker for spares. A Swainsbury. Tel: 01-460 4134\n\n- Realistic 10-30 hand-held scanner must be in good condition (or thereabouts). Money waiting. Tel: Rik (061) 436 7224\n\n- I have a Yaesu FRG7 and need a manual, has anyody got one, I will pay the postage. I Thomas Street, North Ormsby, Middlesbrough, Cleveland TS3 6JE. Tel: (0642) 230911\n\n- R109 Rx, prefer unmodified your price plus carriage paid. Peter. Tel: (0642) 456327 10am-4pm, or (0805) 543966\n\n- Icom IC402 70cms SSB must be vgc. Cash waiting. Tel: (0926) 498388\n\n- Bird 43 thruline wattmeter inserts. Please ring giving power handling and freq available or similar compatible inserts. Mike B0QJH, 12 Ranmore Ave, Croydon, Surrey CR0 5QA. Tel: 01-654 4444\n\n- Sommerkamp TS700 DX, FT707, FT101, with or without 11 metre conversion. Also general coverage receiver up to £175. I have unused, boxed. Pioneer 50 watt stereo (RPH 4120) valve, £150. Will exchange for any of above, cash adjustment either way or sell for best offer. Please write with details, guaranteed reply any location. Mr N Treece, 126 Bembridge Drive, Alveston, Derent DE5 0UR.\n\n- Trio TR700 Tx/2m Rx/Tx up to £55 plus post, Icom IC240 FM 2m Rx/Tx up to £50, Trio TL120 linear amp, tel: Jim (0202) 518828\n\n- Old telephones, radio books, mags. Radio Times, RAF T1083 transmitter, R1082 Rx, details please. D Byrns G3KPO, 52 West Hill Road, Ryde, IOW PO33 1LN. Tel: Ryde 6790.\n\n- HF transmitter, receiver, FT7, 101, 200, FT77, anything considered up to £200 plus Realistic DX 302, 0 to 30MHz receiver. Also open to offers on receiver. Tel: (0332) 372696, ask for Ian\n\n- Complete HF station required. Must be general coverage on receive (no 'Yaesu equipment please) and have an A1 condition. Buyer will collect. Tel: (0533) 774505\n\n- WW2 German ex-service equipment, parts, literature, for museum purpose – any condition acceptable. Also wanted: WSII W565, W566, T-1190, AD67, 52ER7, 4Q, 5G, RG37, H25 modules, suitcase radio. Will collect, cash or swap. WHY? Rag. Tel: contact 0225 4444. Venables 5, DK-284, Hvide, Denmark. Tel: 010-452 801875\n\n- KW2000B Tx/Rx, must be in good condx, but no objection to repairs on electronics. Would p/e for unused Pye, SSB130, HF Tx/Rx. Cash adjust, also require Command Tx, Command PSU/mod, any items for this installation. Need T1154/R1155 plus cabling and other associated items. Jones type plugs, sockets. Anyone got a BC348 RF Oymonator? Good price given. John, 18 Oaky Balks, Alnwick, Northumberland NE68 2QE. Tel: (0665) 602487\n\n- I will swap a Delta 1 collinear p/pack for 934MHz hand-set, must be in good condition. Andreas Prapapas, 190 From Field, Brighton BN2 2YD. Tel: Brighton 68883\n\n- External VFO for FT102 with at least 2MHz drop. Urgent. Converter for Cobra 148 GTL DX for 45 metre band. State price. Please write or call. Dave Cummins, 23 Mahan Crescent, Blackrock, Co Cork, Eire. Tel: (021) 358396\n\n- Need substitute for 2N6258 used in dc/ac inverter. Any ideas welcome, costs gladly refunded. Mark Tel: 0303 200068\n\n- Headphones for B40 Rx, same as used or issued if poss, or any ex-gvt that would be suitable. Also PSU for HRO Rx. J Edwards, 15 Folly Row, Kingston St Michael, Chippenham, Wilts SN14 6JD\n\n- Have Admiralty Handbook of Wireless Telegraphy, 1938, vols 1 and 2. Measurements in Radio Engineering, 1935, Radio Engineering, 1937. Radio Engineers' Handbook, all by Terence. All boxes as new. Tektronix 465B instruction manual, new. Want Edystone 750, also BC453, in good condition. W E Stedman, 133B Lynton Road, Bermondsey, London SE1 5QX\n\n- Buy or borrow mags relating to AM/FM 10GHz system (published 1986). Subaaz, 4 Southway, Burgess Hill, West Sussex RH15 9ST. Tel: (0446) 2974\n\n- Pye Olympic FM radiotelephone, also manual and extender boards. PF70 pocket phone, code E1. Tel: 01-856 4123, evenings\n\n- Wanted, dead or alive Samurai S16 bits and pieces, part work, design or condition unknown, all accepted, anything whatsoever to do with the S16 machine. Ring now for an instant offer on your items. Serial keyboard for above, any serial keyboard will do, condition not important but must be in working order. 70cm Westminster, must be FM and working, will accept any condition of rig but must be complete & board intact. Would prefer data unit, but no fuse unit is for Packet only, so single channel unit OK, also any 70cm Tx/Rx considered. Xerox 820 computer or similar, any disc-based MS-DOS or CPM machine, condition not important, what have you? Wanted for Packet mailbox 1 level 3 node, Pye A200 E band amp, again condition not important but required in working condition, must work or be modified. FM Westminster, as above, anything considered. WHY? Would swap my TS700G, ST5MC or TNC220 for anything above. Ring and surprise me. Simon GM4PCM. Tel: (0505) 29363\n\n**Amateur RADIO SMALL ADS**\n\n**RF DEVICES AT ROCK BOTTOM PRICES!**\nNobody beats us!\n\nOver 30,000 RF devices at low prices\n\n**REPLACEMENT RF TRANSISTORS**\n- MRF454 HF/SSB 80W £24.50\n- MFR450 HF/SSB 50W £11.60\n- MRF238 VHF/FM 25W £12.80\n- MRF475 HF/SSB 20W £3.25\n- 2SC1969 HF/SSB 18W £2.75\n- 2SC2209 SA37 VHF 16W £2.00\n- 2SC1947 VHF 3.5W £7.60\n- 2SC1946A VHF 32W £15.30\n- BLW60R HF/VHF 50W (Special) £7.50\n\n**REPLACEMENT RF POWER MODULES**\n- M57704/SAU3 UHF 15W £39.20\n- M57712/37 SAU7 VHF/FM 23W £39.50\n- M57713/SAU8 VHF/SSB 15W £39.00\n- M57716/SAU1 UHF/SSB 15W £39.00\n- M57718/SAU4 UHF/SSB 15W £49.50\n- M57719 VHF/PMR 15W £31.20\n- M57723 VHF/SSB 20W £47.50\n\n24v ni-cad battery contains twenty XD type cells, used condition, some cells may be faulty .................................................. £12.00\nSpring tension gauges, set of 3, 0-4 ounce, 0-16 ounce, 0-6lb ........................................... £8.00\nEx Vulcan bomber hitch and roll assembly, contains gears, shafts, bearings etc ........................................... £15.00\nRange and bearing marker unit, contains bevel gears, servos, shafts etc .................. £15.00\nRadar drive unit, contains 2 ex 24v motors, gears, components etc .......................... £15.00\nEddystone type 770R VHF receiver, 19-155 MHz .......................................................... £120.00\nType R210 receiver 2-15 MHz, complete with plug and headphones .......................... £55.00\nITT UHF TX-RX base station ......................... £40.00\nITT 149 MHz VHF transmitter ...................... £40.00\nCollins R390A receiver, poor condition .......................................................... £150.00\nRing for details\nReadyphone 100 watt, LIN, amplifier, complete with ATU ........................................... £75.00\n\n*Prices include postage and packing*\n\n**JAYCEE ELECTRONICS LTD**\nJOHN GM3OPW\n20 Woodside Way, Glenrothes,\nFife KY7 5DP\nTel: 0592 756962\nOpen: Tues-Sat 9-5\nQuality secondhand equipment in stock. Full range of TRIO goodies. Jaybeam – Microwave Modules – LAR.\n\n**AGRIMOTORS**\nMERTON CB AND RADIO CENTRE\nMERTON GARAGE AND POST OFFICE, MERTON.\nNr OAKHAMPTON DEVON EX22 3DZ\nOPEN 6 DAYS 9-5 LUNCH 1-2pm\nEARLY CLOSING THURSDAY 1.00pm\n(SUNDAYS BY APPOINTMENT)\nSPECIALIST IN 934 MHz\nSUPPLIERS OF ALL 2M AND 50M EQUIPMENT\nAMATEUR ACCESSORIES CATERED FOR\n08053 200\n\n**ALAN HOOKER ELECTONICS**\n42 Nethernall Road\nDoncaster\nTel: 0302 25690\nLarge stocks of electronic components\n\nVoucher removed\n\nplease mention AMATEUR RADIO when replying to any advertisement\n\nMAY 1988\n\n## DISPLAY AD RATES\n\n| depth mm x width mm | ad space | 1 issue | 3 issues | 6 issues | 12 issues |\n|---------------------|--------------|-----------|-----------|-----------|-----------|\n| 61 x 90 | ¼ page | £86.00 | £252.00 | £575.00 | £53.00 |\n| 128 x 90 or 61 x 186| ½ page | £115.00 | £345.00 | £795.00 | £72.00 |\n| 128 x 186 or 263 x 90| ½ page | £225.00 | £675.00 | £1,500.00 | £180.00 |\n| 263 x 186 | 1 page | £430.00 | £1,290.00 | £2,850.00 | £345.00 |\n| 263 x 394 | double page | £830.00 | £2,490.00 | £5,400.00 | £660.00 |\n\n## COLOUR AD RATES\n\n| depth mm x width mm | ad space | 1 issue | 3 issues | 6 issues | 12 issues |\n|---------------------|--------------|-----------|-----------|-----------|-----------|\n| 128 x 186 or 263 x 90| ½ page | £200.00 | £600.00 | £1,275.00 | £245.00 |\n| 263 x 186 | 1 page | £360.00 | £1,080.00 | £2,400.00 | £470.00 |\n| 263 x 394 | double page | £1,130.00 | £3,390.00 | £7,010.00 | £900.00 |\n\n## SPECIAL POSITIONS\n\n- Covers: 10% extra\n- Bleed: 15% extra\n- Facing Matter: 10% extra (Bleed area = 307 x 220)\n\n## DEADLINES\n\n| Issue | colour & mono proof ad | mono no proof & small ad | mono artwork | on sale thurs |\n|-------|------------------------|--------------------------|--------------|---------------|\n| May 88| 31 Mar 88 | 6 Apr 88 | 8 Apr 88 | 28 Apr 88 |\n| Jun 88| 30 Mar 88 | 4 May 88 | 6 May 88 | 26 May 88 |\n| July 88| 2 Jun 88 | 3 June 88 | 10 Jun 88 | 28 Jun 88 |\n| Aug 88| 30 Jun 88 | 6 Jul 88 | 8 Jul 88 | 26 Jul 88 |\n\n*Dates affected by public holidays*\n\n## CONDITIONS & INFORMATION\n\n### SERIES RATES\n\nSeries rates also apply when larger or additional space to the same size is taken.\n\nAn ad of at least the minimum space must appear in consecutive issues to qualify for series rates. Previous copies will automatically be repeated if no further copy is received.\n\nA hold ad is acceptable for maintaining your series rate. An ad will not automatically be inserted if no further copy is received.\n\nDisplay Ad and Small Ad series rate contracts are not interchangeable.\n\nIf series rate contract is cancelled, the advertiser will be liable to pay the unearned series discount already taken.\n\n### COPY\n\nExcept for County Guides copy may be changed monthly.\n\nNo additional charges for typesetting or illustrations (except for colour separations).\n\nFor illustrations just send photograph or artwork. Colour Ad rates do not include the cost of separations Printed – web offset.\n\n### PAYMENT\n\nAbove rates exclude VAT.\n\nAll single issue and ad rate accepted on a prepayment basis only, unless an account is held.\n\nAccounts will be opened for series rate advertisers who have not placed an order within 3 months.\n\nAccounts are strictly net and must be settled by the 1st day of the month following publication.\n\nOverseas payments by International Money Order or Bankers Cheque.\n\n### FURTHER INFORMATION CONTACT\n\nAmateur Radio, Sovereign House, Brentwood, Essex CM14 4SE (0277) 219876\n\nCommission to approved advertising agencies is 10%.\n\n### CONDITIONS\n\n10% discount if advertising in both Amateur Radio and Radio World or Radio World.\n\nA voucher copy will be sent to Display and Colour advertisers only.\n\nAll advertisements subject to our standard conditions, available on request.\n\n## ADVERTISERS INDEX\n\n- Aerial Techniques ........................................... 49\n- J Bull .................................................................. 59\n- SRW Communications ............................................ 16\n- PM Components .................................................. 4,5\n- Computer Appreciation .......................................... 45\n- ICS Electronics .................................................. 11\n- RN Electronics ................................................... 43\n- ICOM .................................................................. 30,31\n- ICS International ................................................ 40\n- Number One Systems ............................................. 41\n- Radio & Telecommunications .................................. 40\n- Suma Designs ...................................................... 43\n- Technical Software ............................................... 41\n- Victor Communications ......................................... 16\n- Waters & Stanton ................................................ 60\n- R Withers .......................................................... 2\n\n**ALINCO DUAL BANDER**\n\n- 2m/70cm\n- 25 Watts output\n- Full duplex operation\n- 21 Memories\n- 2 Call channels\n- Priority channel\n- Dual VFO’s\n- 12.5 & 25kHz steps\n- Memory Scan\n- Programme Scan\n- Memory Skip\n\n**ALD-24E**\n\n£449 inc vat\n\nThis transceiver could transform your operating habits! It contains completely separate 2m and 70cms transceivers, permitting full duplex operation. To the un-initiated, this means you can transmit on 2m whilst receiving on 70cms, or vice versa. The built-in duplexer means a single antenna socket with a full 25 watts output on both bands. Measuring only 5.5”x2”x6.5” it is the ideal mobile rig. Its comprehensive memory and scanning facilities provide rapid access to both simplex and repeater channels on 2m & 70cms. Using the dual VFO’s you can instantly switch between 2m & 70cm and the single knob tuning provides simple and quick frequency selection. The large LCD readout incorporates an S-meter and is back lighted. If you are looking for a completely self contained 2m & 70cm station, then look no further. At this price it has to be a bargain. For further details of this amazing transceiver, send today for the full colour brochure.\n\n---\n\n**OUR FAMOUS FREQUENCY MANUALS!**\n\n**UK LISTENERS CONFIDENTIAL FREQUENCY LIST 5th EDITION**\n\nThis publication has now sold well over 3500 copies since it was advertised only a few months ago. Now the recent updated version is selling even better. No self respecting listener would be without a copy. If you enjoy exploring the short wave bands then this publication will add to your enjoyment. It covers the hf spectrum from 2 to 30 mhz and gives details of transmissions outside the amateur bands. Specially designed for the UK and European listener it sets out in a very easy way a comprehensive list of hundreds of interesting transmissions that will keep you occupied for days on end! Only a fraction of the cost of other similar publications it contains details of Civil, Military, Embassy, Press and News agencies. Many listings have time schedules included together with comprehensive RTTY details. It tells you the frequencies used by civil and military aircraft whilst flying the Atlantic, when and where to pick up the press bulletins, long distance marine traffic etc and much more. Send today for your copy of this worthwhile publication.\n\n**NEW 1988 EDITION £6.95 p&p 90p**\n\n**4th EDITION VHF-UHF AIRBAND FREQUENCY LIST**\n\nThis frequency manual is without doubt the most comprehensive list of VHF/UHF aircraft listings available in the UK. Of vital importance to the airband enthusiast or indeed any keen VHF/UHF listener it sets out in a very easy to follow manner full details of a whole host of stations. Every known UK airfield frequencies, etc. Included are Civil, RAF, USAF, MOD, Naval fields on both VHF and UHF bands. There are also air to air frequencies, the Red Arrows frequency, and much more! Send today for your copy and find out just how much you have been missing!\n\n£5.95 p&p 90p\n\n**THE COMPLETE UHF-VHF FREQUENCY GUIDE 26-2000 mHz**\n\nNew 1988 Edition. Many listeners have asked for a guide to the wide VHF/UHF spectrum and to meet this demand we have now published this frequency manual. It covers the range 26 to 2000 mHz and has been specially prepared for the UK listener. Anybody who has used a scanning receiver will know that the wide frequency range involved means that it is difficult to know exactly where to listen. This guide takes all the guessing out of monitoring. It lists all the services throughout the spectrum together with both simplex and duplex frequency splits. If you’ve spent your hard earned money on a scanning receiver or are considering buying one you’ll find that this publication contains a wealth of information that has previously remained unpublished.\n\n£5.95 p&p 75p\n\n**HF OCEANIC AIRBAND COMMUNICATIONS 1988 EDITION.**\n\nPrepared in response to many requests for more information about the air traffic on the hf bands this little guide sets out to explain to the beginner how the hf band works in relation to air traffic. It contains full details of the world aircraft frequency bands in the range 2 to 23 mHz together with control frequencies and those commonly used by the various services. Included are many VOLMET frequencies, the Search and Rescue frequencies used by RAF helicopters and Nimrods, the HF RT network, London Company frequencies, European control centres etc. An ideal companion for the hf airband listener. Send today for your copy.\n\n£3.50 p&p 70p\n\n---\n\n18-20 MAIN ROAD, HOCKLEY, ESSEX – 12 NORTH STREET, HORNCOURCH, ESSEX.\n\nMAIL ORDER TO: 18-20 MAIN ROAD, HOCKLEY, ESSEX TEL: (0702) 206835"}}},{"rowIdx":204790,"cells":{"text":{"kind":"string","value":"4th Grade\n\nPacket 3\nMay 4, 2020\n\nThat night, Pinocchio, instead of going to bed at ten o'clock, waited until midnight, and instead of making eight baskets, he made sixteen.\n\nAfter that he went to bed and fell asleep. As he slept, he dreamed of his Fairy, beautiful, smiling, and happy, who kissed him and said to him, \"Bravo, Pinocchio! In reward for your kind heart, I forgive you for all your old mischief. Boys who love and take good care of their parents when they are old and sick, deserve praise even though they may not be held up as models of obedience and good behavior. Keep on doing so well, and you will be happy.\"\n\nAt that very moment, Pinocchio awoke and opened wide his eyes.\n\nWhat was his surprise and his joy when, on looking himself over, he saw that he was no longer a Marionette, but that he had become a real live boy! He looked all about him and instead of the usual walls of straw, he found himself in a beautifully furnished little room, the prettiest he had ever seen. In a twinkling, he jumped down from his bed to look on the chair standing near. There, he found a new suit, a new hat, and a pair of shoes.\n\nAs soon as he was dressed, he put his hands in his pockets and pulled out a little leather purse on which were written the following words:\n\nThe Fairy with Azure Hair returns fifty pennies to her dear Pinocchio with many thanks for his kind heart.\n\nThe Marionette opened the purse to find the money, and behold—there were fifty gold coins!\n\nPinocchio ran to the mirror. He hardly recognized himself. The bright face of a tall boy looked at him with wide-awake blue eyes, dark brown hair and happy, smiling lips.\n\nSurrounded by so much splendor, the Marionette hardly knew what he was doing. He rubbed his eyes two or three times, wondering if he were still asleep or awake and decided he must be awake.\n\n\"And where is Father?\" he cried suddenly. He ran into the next room, and there stood Geppetto, grown years younger overnight, spick and span in his new clothes and gay as a lark in the morning. He was once more Mastro Geppetto, the wood carver, hard at work on a lovely picture frame, decorating it with flowers and leaves, and heads of animals.\n\n\"Father, Father, what has happened? Tell me if you can,\" cried Pinocchio, as he ran and jumped on his Father’s neck.\n\n\"This sudden change in our house is all your doing, my dear Pinocchio,\" answered Geppetto.\n\n\"What have I to do with it?\"\n\n\"Just this. When bad boys become good and kind, they have the power of making their homes gay and new with happiness.\"\n\n\"I wonder where the old Pinocchio of wood has hidden himself?\"\n\n\"There he is,\" answered Geppetto. And he pointed to a large Marionette leaning against a chair, head turned to one side, arms hanging limp, and legs twisted under him.\n\nAfter a long, long look, Pinocchio said to himself with great content:\n\n\"How ridiculous I was as a Marionette! And how happy I am, now that I have become a real boy!\"\n\nExcerpt from *The Adventures of Pinocchio* by C. Collodi, [Pseudonym of Carlo Lorenzini]. Translated from the Italian by Carol Della Chiesa.\n\nPhotograph of wooden doll of Pinocchio (Image: 331633091), copyright © Dado Photos/Shutterstock. Used by permission.\n\n1. Which of the following quotations describes the setting of the story?\n\nA “There, he found a new suit, a new hat, and a pair of shoes.” (paragraph 4)\n\nB “In a twinkling, he jumped down from his bed to look on the chair standing near.” (paragraph 4)\n\nC “The Marionette opened the purse to find the money, and behold—there were fifty gold coins!” (paragraph 7)\n\nD “The bright face of a tall boy looked at him with wide-awake blue eyes, dark brown hair and happy, smiling lips.” (paragraph 8)\n\n2. Which quotation from the story shows why Pinocchio was happy?\n\nA “... Pinocchio, instead of going to bed at ten o’clock, waited until midnight. . . .” (paragraph 1)\n\nB “... he saw that he was no longer a Marionette. . . .” (paragraph 4)\n\nC “... he found a new suit, a new hat, and a pair of shoes.” (paragraph 4)\n\nD “... he put his hands in his pockets and pulled out a little leather purse. . . .” (paragraph 5)\n\n3. Read the sentence from paragraph 18.\n\n\"How ridiculous I was as a Marionette!\"\n\nWhich of the following words means the same as ridiculous as it is used in the sentence?\n\nA boring\n\nB complete\n\nC different\n\nD silly\n\n4. Which quotation from the story describes how Pinocchio’s behavior affected the household in the story?\n\nA \"Father, Father, what has happened? Tell me if you can. . . .\" (paragraph 11)\n\nB \"This sudden change in our house is all your doing, my dear Pinocchio. . . .\" (paragraph 12)\n\nC \"I wonder where the old Pinocchio of wood has hidden himself?\" (paragraph 15)\n\nD \"And how happy I am, now that I have become a real boy!\" (paragraph 18)\n\n5. Which paragraph does the picture help the reader understand?\n\nA paragraph 3\n\nB paragraph 14\n\nC paragraph 16\n\nD paragraph 18\n\n6. Choose three statements that should be included in a summary of the story.\n\nA Pinocchio lived with his father.\n\nB Pinocchio was a marionette.\n\nC Pinocchio was changed to a boy.\n\nD Pinocchio’s father was an old man.\n\nE Pinocchio learned to make good choices.\n\nF Pinocchio found gold coins in his purse.\n\nG Pinocchio saw the wooden boy leaning against a chair.\n\n7. Read the sentence from paragraph 4.\n\nHe looked all about him and instead of the usual walls of straw, he found himself in a beautifully furnished little room, the prettiest he had ever seen.\n\nWhat does the word **furnished** mean as it is used in the sentence?\n\n- A available\n- B circled\n- C cleaned\n- D decorated\n\n8. How would *The Adventures of Pinocchio* be different if it were written as a play?\n\n- A It would have directions that tell the father what to do while Pinocchio is asleep.\n- B It would have directions that tell what the Marionette does as he falls on the floor.\n- C It would have directions that tell the Fairy what to say about Pinocchio as he is dreaming.\n- D It would have directions that tell what Pinocchio does when he wakes and realizes he has changed.\n\n9. Read the summary of *The Adventures of Pinocchio*.\n\nPinocchio is rewarded and forgiven for his past behavior because of his kind heart. He is given new clothes, a leather purse with money, and a real body to replace his wooden body.\n\nChoose the detail that best completes the summary.\n\nA) Pinocchio and his father decide to decorate a picture frame together.\n\nB) Pinocchio and his father are able to enjoy a home filled with happiness.\n\nC) Pinocchio and his father find the old Pinocchio leaning against a chair.\n\nD) Pinocchio and his father realize how happy Pinocchio was as a wooden boy.\n\n10. Read the sentence from paragraph 10.\n\nHe ran into the next room, and there stood Geppetto, grown years younger overnight, spick and span in his new clothes and gay as a lark in the morning.\n\nWhich word would best replace spick and span as it is used in the sentence?\n\nA) alive\n\nB) kind\n\nC) neat\n\nD) slim\n\n11. What is a theme of the story?\n\nA When people act with kindness, they are rewarded.\n\nB In order to get what you want, all you have to do is ask.\n\nC Dreams come true no matter what a person does.\n\nD Things come easily to those who wait.\n\nDirections: Write sentences with the 4th grade spelling words. Use correct capitalization, spelling, punctuation, and subject/verb agreement.\n\n| against | agree | airport | alarm | alive |\n|---------|-------|---------|-------|-------|\n| all right | alley | alphabet | although | always |\n| angriest | angry | animal | answer | asleep |\n| attack | aunt | banana | battle | beautiful |\n| beauty | become | beggar | believe | belong |\n| between | blanket | blood | bottle | bought |\n| bounce | breath | bridge | broke | broken |\n| brought | bubble | building | built | busy |\n| button | buying | calf | camera | cardboard |\n| caring | carrying | catch | center | certain |\n| chance | charge | cheer | chicken | chief |\n| choice | choose | chore | chose | circle |\n| cities | clothing | coast | coin | comb |\n| common | copy | corner | cottage | cotton |\n| couch | cough | couldn't | couple | cousin |\n| cover | crayon | crime | crooked | crow |\n| crowd | crumb | curl | dairy | damage |\n| danger | dawn | deaf | dear | death |\n| decide | degree | deliver | didn't | dirty |\n| disappear | dislike | divide | double | downstairs |\n| drain | drawer | earlier | earn | earth |\n| easier | eighty | either | electric | engine |\n| enough | evening | except | faint | false |\n| famous | fear | feather | felt | fever |\n| few | fifth | fifty | final | follow |\n| forever | forgive | forty | fourth | fright |\n| fruit | gain | garden | gasoline | gather |\n| gentle | giant | glance | gold | grandfather |\n| grandmother | groceries | grown | guard | handsome |\n| happiest | he'll | he's | health | heard |\n| hiking | holiday | honey | honor | hospital |\n\n| hour | however | howl | hundred | hungry |\n|------------|---------|----------|---------|---------|\n| hurry | husband | important| interest| invite |\n| jacket | jaw | judge | juice | kindness|\n| kitchen | kneel | knight | libraries| library |\n| listen | lonely | loyal | machine | mailbox |\n| meant | medal | middle | mirror | mistake |\n| moment | monkey | movement | neighbor| neither|\n| nickel | ninety | ninth | no one | nobody |\n| o'clock | obeyed | odd | office | often |\n| paper | parent | paste | path | peaceful|\n| pencil | perfect | picture | planet | playground|\n| pleasing | police | powerful | proper | public |\n| question | quiet | quilt | quit | quite |\n| railroad | reach | ready | reason | remember|\n| return | ridge | roast | roof | rough |\n| round | ruler | safe | sauce | scrap |\n| search | season | self | seventh | seventy |\n| sharp | she'll | she's | shout | sidewalk|\n| sigh | sign | simple | since | sink |\n| sixth | sixty | sleeve | smooth | sneeze |\n| soften | spare | special | squirrel| steal |\n| steel | strange | studied | studying| style |\n| suppose | tennis | thirty | thumb | tool |\n| towel | tube | tuna | twenty | twice |\n| uncle | understand | useful | useless | village |\n| visit | wait | weather | weight | whenever|\n| whether | wife | wonder | wood | world |\n| worried | wrist | worse | wouldn't| written |\n| yourself | zebra | zero | zipper | zoo |\n\n1. Margo's school has 18 classrooms. Each classroom has 24 desks.\n\nHow many desks are there in all?\n\nA. 42 \nB. 108 \nC. 432 \nD. 648\n\n2. Baily made 100 cookies for a bake sale. She has 8 plates and will place an equal number of whole cookies on each plate.\n\nHow many whole cookies will be left over?\n_________ whole cookies\n\n3. What number in standard form is equal to \\((4 \\times 1000) + (8 \\times 100) + (9 \\times 1)\\)?\n\nA. 489 \nB. 4089 \nC. 4809 \nD. 4890\n\n4. Ella scored 256 reading points in September and 378 points in October. Her goal is to score 1,000 points by the end of December.\n\nHow many more points must Ella score to reach her goal?\n\nA. 744 points \nB. 634 points \nC. 622 points \nD. 366 points\n\n5. Which expression is equivalent to 3,856?\n\nA. \\(38,000 + 50 + 6\\) \nB. \\(3,000 + 800 + 5 + 6\\) \nC. \\(3 \\times 1,000 + 8 \\times 10 + 5 \\times 1\\) \nD. \\(3 \\times 1,000 + 8 \\times 100 + 5 \\times 10 + 6 \\times 1\\)\n\n6. In her vegetable garden, Virginia planted 8 rows of green beans, with 42 plants in each row. She also planted 12 rows of sweet corn, with 33 plants in each row.\n\nHow many more sweet corn plants than green bean plants are there in Virginia's garden?\n_________ more sweet corn plants\n\n7. Every month, Shannon puts the same amount of her allowance money in the bank. During the past seven months, she has put a total of $91 in the bank.\n\nHow much money has Shannon been putting in the bank each month?\n\nA. $12 \nB. $13 \nC. $14 \nD. $15\n\n8. Mason runs 10 laps around the ball field. This is 2 times the number of laps his friend Isabella runs.\n\nHow many laps does Isabella run?\n\n_________ laps\n\n9. Mia sells 60 candy bars for a fundraiser at school. This is 5 times as many candy bars as her friend Charlotte sells.\n\nWhich equation can be used to find out how many candy bars (x) Charlotte sells?\n\nA. \\(5 \\times 60 = x\\) \nB. \\(5 = x \\div 60\\) \nC. \\(5 \\times x = 60\\) \nD. \\(x = 5 \\div 60\\)\n\n10. Choose the scenario best represented by using \\(= 8 \\times 4\\) or \\(= 4 \\times 8\\).\n\nA. Cherie picked 8 pints of blueberries on Monday and 4 pints of blueberries on Tuesday. How many pints of blueberries did she pick altogether?\nB. Antoine earns $8.00 an hour. If he works for 4 hours, how much will he earn altogether?\nC. Raquel wrote an 8-paragraph report for school. Pierre wrote a report that was 4 paragraphs more than Raquel's. How many paragraphs was Pierre's report?\nD. Francois read 8 books last month. Celine read 4 books. How many more books did Francois read than Celine?\n\n11. Which statement represents \"96 is 6 times as many as 16\"?\n\nA. \\(96 = 16 \\div 6\\) \nB. \\(96 - 6 = 16\\) \nC. \\(96 \\times 6 = 16\\) \nD. \\(96 = 6 \\times 16\\)\n\n12. Select a number from each dropdown menu to answer the questions below.\n\nLook at the number 5,837.\n\nPart A\nIn which of the following numbers does the 8 represent ten times the 8 in 5,837?\nChoose...\n\nPart B\nIn which of the following numbers does the 3 represent 10 times the 3 in 5,837?\nChoose...\n\n13. Which two numbers below have a 6 that is 10 times larger than the 6 in 49,568?\n\n- 16,956\n- 28,006\n- 35,692\n- 36,910\n- 45,689\n- 61,380\n\n14. The city council budgets $2,895 per year to take care of each playground in the city. If there are four city playgrounds, what is the total amount budgeted per year for all of the playgrounds?\n\nA. $723\nB. $2,899\nC. $8,685\nD. $11,580\n\n15. Jeremy is rounding the number 6,795.\n\n6,795 rounded to the nearest hundred is Choose...\n6,795 rounded to the nearest ten is Choose...\n\n16. The 4th graders at Hill Top Elementary School were having a canned food drive for their local food bank. Randal's class collected 1,704 cans of food. Tim's class collected 1,493 cans of food.\n\nHow many more cans of food did Randal's class collect than Tim's class?\n\nA. 101 cans\nB. 111 cans\nC. 201 cans\nD. 211 cans\n\n17. There are 1,243 students in attendance at Maplewood Elementary on Thursday. There are 379 students in fourth grade. All fourth grade students go on a field trip on Thursday afternoon.\n\nHow many students are left at Maplewood Elementary on Thursday afternoon?\n\n18. James correctly rounded 5,962 to the nearest thousand. What was his answer?\n\nA. 5,000 \nB. 5,900 \nC. 5,960 \nD. 6,000\n\n19. James drove his bike 16 miles. This is 4 times as many miles as Ben drove.\n\nHow many miles did Ben drive his bike?\n\n__________ miles\n\n20. Which two statements represent the equation?\n\n\\[35 = 7 \\times 5\\]\n\n- 5 is 42 times as many as 7\n- 7 times as many as 5 is 35\n- 7 times as many as 35 is 5\n- 35 is 5 times as many as 7\n- 35 times as many as 7 is 5\n\n21. Divide.\n\n\\[2,642 \\div 8 = \\text{_________ Remainder: __________}\\]\n\n1. Which of these lists four factors of 12?\n A. 2, 3, 4, 6\n B. 4, 5, 7, 8\n C. 4, 6, 9, 12\n D. 24, 36, 48, 60\n\n2. This picture shows that 2 and 5 are factors of 10.\n\n Which picture shows factors of 42?\n\n A. \n\n B. \n\n C. \n\n D. \n\n3. James writes a number pattern following the rule \"add 3 and multiply by 2.\"\n\n If the first number in James' number pattern is 1, what is the 4th number in his pattern?\n A. 8\n B. 22\n C. 50\n D. 106\n\n4. Callie created a number pattern starting at the number 34. She used the rule \"subtract 3.\" Callie's first four numbers are written below.\n\n\\[ 34, 31, 28, 25, \\_, \\_, \\_, \\_ \\]\n\nWhich statement is true about the following numbers in Callie's pattern?\n\nA. The 5th number in this pattern will be an odd number.\nB. The 6th number in this pattern will be an even number.\nC. The 7th number in this pattern will be an odd number.\nD. The 8th number in this pattern will be an odd number.\n\n5. Which rule BEST describes the relationship between \\( X \\) and \\( Y \\) in the table below?\n\n| \\( X \\) | \\( Y \\) |\n|--------|--------|\n| 33 | 11 |\n| 18 | 6 |\n| 3 | 1 |\n| 30 | 10 |\n\nA. divide \\( X \\) by 3\nB. subtract 12 from \\( X \\)\nC. multiply \\( X \\) by 3\nD. add 22 to \\( X \\)\n\n6. Which three sets of numbers are factor pairs for the number 36?\n\n- 2 and 34\n- 3 and 12\n- 4 and 9\n- 5 and 15\n- 6 and 6\n- 8 and 7\n\n7. Which number is an even number that is a multiple of 3 and less than 20?\n\nA. 24\nB. 18\nC. 15\nD. 9\n\n8. Ryan created a number pattern that starts with the number 3 and follows the rule \"multiply by 2 then add 4.\"\n\nThe first five numbers in Ryan's pattern are 3, 10, 24, 52, 108.\n\nWhich of the following statements will be true for the next five numbers in Ryan's pattern? (Choose A or B)\n\nA. All of the numbers will be prime.\nB. All the numbers will continue to increase.\n\n9. Students in a sewing class want to make a rectangular quilt using square pieces of cloth. If they use 24 pieces of cloth, they can sew the four designs shown below.\n\n\\[3 \\times 8 = 24\\]\n\\[4 \\times 6 = 24\\]\n\\[2 \\times 12 = 24\\]\n\\[1 \\times 24 = 24\\]\n\nWhich number of cloth pieces will give the students only one rectangular design for the quilt?\n\nA. 39 \nB. 42 \nC. 45 \nD. 47\n\n10. Mr. Lopez wrote these numbers on the board.\n\n\\[14, 18, 22, 26\\]\n\nWhich tells why this pattern follows the rule of +4?\n\nA. The first number contains a four. \nB. All the numbers are multiples of four. \nC. Each number is four more than the number before. \nD. Each number is four times more than the number before.\n\n11. Which set of expressions shows the factors of a prime number?\n\nA. \n\\[\n\\begin{align*}\n1 & \\times 11 \\\\\n1 & \\times 16 \\\\\n2 & \\times 8 \\\\\n4 & \\times 4\n\\end{align*}\n\\]\n\nB. \n\\[\n\\begin{align*}\n1 & \\times 20 \\\\\n2 & \\times 10 \\\\\n4 & \\times 5\n\\end{align*}\n\\]\n\nC. \n\\[\n\\begin{align*}\n1 & \\times 24 \\\\\n2 & \\times 12 \\\\\n3 & \\times 8 \\\\\n4 & \\times 6\n\\end{align*}\n\\]\n\n12. Twelve squares can be arranged into three different rectangles, as shown below.\n\n\\[ 6 \\times 2 = 12 \\quad 3 \\times 4 = 12 \\quad 12 \\times 1 = 12 \\]\n\nWhich number of squares can be arranged into only one kind of rectangle?\n\nA. 9 \nB. 10 \nC. 13 \nD. 15\n\n13. Each number below is a factor of Miguel’s number.\n\n\\[ 2 \\quad 3 \\quad 6 \\quad 9 \\]\n\nWhich number could be Miguel’s number?\n\nA. 36 \nB. 27 \nC. 24 \nD. 12\n\n14. Ezra wants to count the number of rocks in his collection. He has seven rocks in each row. Which numbers will he say as he counts by seven?\n\nA. 7, 13, 20 \nB. 12, 18, 24 \nC. 27, 36, 45 \nD. 21, 28, 35\n\n1. Which three of the following figures have both of these characteristics?\n - Two or more sets of parallel lines\n - Two or more right angles\n\n2. Which two choices show a drawing of a letter that has more than one line of symmetry?\n\n3. Mark each figure as a line, a line segment, or a ray.\n\n| | ← | → | ↑ | ↘ |\n|-------|----|----|----|----|\n| Ray | | | | |\n| Line Segment | | | | |\n| Line | | | | |\n\n4. Which letter has more than one line of symmetry?\nA. C\nB. F\nC. L\nD. O\n\n5. Which two of the following figures show a line of symmetry?\n\n6. Select the two figures below that have only one line of symmetry?\n\n- [ ] \n- [ ] \n- [ ] \n- [ ] \n- [ ]\n\n7. Find the lines of symmetry of the letters in the first column of the chart below. Mark each letter according to the lines of symmetry it has.\n\n| | One line of Symmetry | More than one line of symmetry | No lines of symmetry |\n|---|----------------------|--------------------------------|----------------------|\n| H | | | |\n| C | | | |\n| R | | | |\n| Y | | | |\n| O | | | |\n\n8. Select an answer from each dropdown menu to make the following sentence true.\n\nIn the trapezoid WXYZ shown above, side WZ is parallel to [Choose...].\n\n9. Look at the figure below.\n\nWhich is a true characteristic of this figure?\n\nA. The figure has 3 obtuse angles.\nB. The figure has exactly 2 acute angles.\nC. The figure contains 2 sets of parallel line segments.\nD. The figure has a pair of perpendicular line segments.\n\n10. Which figure appears to have two pairs of parallel sides?\n\nA. \n\nB. \n\nC. \n\nD.\n\n11. Which set of lines are perpendicular?\n\nA.\n\nB.\n\nC.\n\nD.\n\n12. Select the correct definition for each angle.\n\n| | Acute angle | Obtuse angle | Right angle |\n|----------------|-------------|--------------|------------|\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n| | | | |\n\n13. Classify each of the angles labeled in the figure above as acute, obtuse, or right angles.\n\nClick on the letter of the angle on the right and drag it to the correct label.\n\n- Angle A\n- Angle B\n- Angle C\n- Angle D\n\nAcute\nObtuse\nRight\n\n14. Drag each shape on the left to a characteristic of that shape on the right.\n\n- Has one set of parallel lines\n- Has one $90^\\circ$ angle\n- Has three sets of parallel lines\n\n1) Complete the table by converting cups, pints, quarts & gallons.\n\nHINT) 2 cups = 1 pint (pt) 2 pints = 1 quart (qt) 4 quarts = 1 gallon (gal)\n\n| | 1/8 gal | 1/4 gal | 1/2 gal | | |\n|-------|---------|---------|---------|--------|--------|\n| | | | 2 quarts| | |\n| 1 pint| | | | 8 pints| |\n| | 4 cups | | | 16 cups| 32 cups|\n\n2) Convert the following liquid measurements.\n\n1) 30 pints = [ ] cup(s)\n2) 17 pints = [ ] cup(s)\n3) 3 gal = [ ] quart(s)\n4) 16 quarts = [ ] pint(s)\n5) 26 pints = [ ] quart(s)\n6) 21 quarts = [ ] cup(s)\n7) 102 cups = [ ] pint(s)\n8) 32 quarts = [ ] gal.\n9) 56 pint = [ ] gal\n10) 68 cups = [ ] quart(s)\n11) 72 quarts = [ ] gal\n12) 3 gal = [ ] cup(s)\n13) 32 pint = [ ] gal\n14) 6 quart = [ ] cup(s)\n15) 12 quart = [ ] gal\n16) 26 pint = [ ] gal\n17) 24 cups = [ ] gal\n18) 20 pint = [ ] gal\n\nMetric Units of Length\n\n100 centimeters or 100 cm. = 1 meter or 1 m. 1,000 m. = 1 kilometer or 1 km.\n\nFind the measurement of each item to the nearest meter to finish the sentence.\n\n1. I am about ___________ m. tall.\n2. The door in my house is about ___________ m. tall.\n3. The living room wall is about ___________ m. wide.\n\nFind the equivalent measurement.\n\n4. 100 cm. = ______ m.\n5. 1,000 m. = ______ km.\n6. 500 cm. = ______ m.\n7. 7,000 m. = ______ km.\n8. 1,000 cm. = ______ m.\n9. 10,000 m. = ______ km.\n10. 100,000 m. = ______ km.\n11. 20 km. = ______ m.\n12. 40 km. = ______ m.\n13. 65 km. = ______ m.\n\nFind the equivalent metric and U.S. Customary units of length for each of the following.\n\n14. 4 in. = about ______ cm.\n15. 8 cm. = about ______ in.\n16. 6 in. = about ______ cm.\n17. 23 cm. = about ______ in.\n18. 1 ft. = about ______ cm.\n19. 28 cm. = about ______ in.\n20. 1 yd. = about ______ cm. or close to ______ m.\n\n1. There are 100 crayons in each large box, 10 in each small box, and a few single crayons. How many crayons are shown in all?\n\nA. 54 \nB. 234 \nC. 324 \nD. 900\n\n2. Which number is the greatest?\n A. 9,734 \n B. 9,743 \n C. 9,347 \n D. 9,473\n\n3. What is 145.7 written in word form?\n A. One hundred forty-five and seven tenths \n B. One hundred forty-five and seventy tenths \n C. One hundred forty-five and seven hundredths \n D. One hundred forty-five and seventy thousandths\n\n4. The following number is in expanded form.\n\n\\[ 5,000,000 + 90,000 + 600 \\]\n\nWhat is the number in standard form?\n A. 5,980,000 \n B. 5,090,600 \n C. 5,980,600 \n D. 5,900,600\n\n5. What number is 400 + 40 + 9 in standard form?\n A. 449 \n B. 4,049 \n C. 40,049 \n D. 400,049\n\n6. What is the word name for 9,303?\n A. nine thousand, thirty-three \n B. nine thousand, three hundred thirty \n C. nine thousand, three hundred three \n D. nine thousand, three hundred thirty-three\n\n7. Frankie’s Burger Hut served 3,347 burgers on Wednesday and 3,098 burgers on Thursday.\n\nWrite <, >, or = to complete the expression below.\n\n\\[ 3,347 \\_\\_ 3,098 \\]\n\n8. Zachary wrote the number 8,408,380 in words as shown below.\n\nEight million, four hundred sixty thousand, three hundred eighty\n\nWhich of the following explains Zachary’s mistake?\n A. The number has seven digits. \n B. He forgot the zeroes in the number. \n C. The ones and tens places have been switched. \n D. He switched the thousands and ten thousands places.\n\n9. The number of people who attended a concert is shown below.\n\n\\[ 100,000 + 5,000 + 500 + 20 + 5 \\]\n\nWhich shows this number written in standard form?\n A. 155,205 \n B. 152,055\n\n10. Myra bowled four games. Her bowling scores for the four games were 112, 108, 116, and 121.\n\nA. 108 > 116 \nB. 112 = 121 \nC. 116 > 112 \nD. 121 < 108\n\n11. There are one hundred thirty-four thousand, six hundred eighteen pet owners in one city. Which shows the number of pet owners written in standard form?\n\nA. 130,618 \nB. 134,618 \nC. 134,680 \nD. 143,681\n\n12. The height of Mount Everest is close to 29,028 feet. Which shows 29,028 written in words? Mark your answer.\n\nA. Twenty-nine thousand, two hundred eight \nB. Twenty-nine hundred twenty eight \nC. Twenty-nine thousand, twenty eight \nD. Twenty-nine thousand, eighty two\n\n13. Which of the following is the same as 20 tens?\n\nA. 2 ones \nB. 2 tens \nC. 20 ones \nD. 2 hundreds\n\n14. Barry wrote three numbers using the numerals on the cards shown. He used each numeral only once in each of the three numbers.\n\nWhich shows the three largest numbers he could make? Mark your answer.\n\nA. 9,532 \n9,523 \n9,325 \nB. 2,559 \n2,595 \n2,593 \nC. 9,532 \n9,523 \n9,352 \nD. 3,562 \n5,253 \n3,528\n\n15. The prices of several houses being sold in Marc's neighborhood are listed below.\n\n$67,900 $78,612 $65,120 $73,908\n\nWhich list shows the house prices in order from least to greatest?\n\nA. $67,900 $65,120 $73,908 $78,612 \nB. $78,612 $73,908 $67,900 $65,120 \nC. $65,120 $67,900 $73,908 $78,612 \nD. $65,120 $73,908 $74,612 $67,900\n\n16. The Eiffel Tower has 1665 steps. How is 1665 written in words?\n\nA. One thousand, six hundred sixty-five \nB. One thousand, six hundred fifty-six \nC. Five thousand, six hundred sixty-one \nD. Ten thousand, six hundred sixty-five\n\n17. Mammoth Cave National Park had 2,071,844 visitors in one year. Which of the following shows this number written in expanded form?\n\nA. \\(200,000 + 70,000 + 1,000 + 800 + 40 + 4\\)\n\nB. \\(2,000,000 + 70,000 + 1,000 + 800 + 40 + 4\\)\n\nC. \\(20,000,000 + 70,000 + 1,000 + 800 + 40 + 4\\)\n\nD. \\(2,000,000,000 + 7,000,000 + 10,000 + 6,000 + 40 + 4\\)\n\n18. The population of a town is 40,235. Which shows 40,235 written in words? Mark your answer.\n\nA. Four thousand, two hundred thirty-five\n\nB. Forty thousand, two hundred thirty-five\n\nC. Forty thousand, three hundred twenty-five\n\nD. Fifty-three thousand, two hundred four\n\n19. The number of books in Jane's collection is greater than 880 and less than 1,000. Which of the following could be the number of books in Jane's collection?\n\nA. 819\n\nB. 880\n\nC. 935\n\nD. 1,012\n\n20. Tammy is using the calculator pictured.\n\nWhich digit is in the ten thousands place in the number 204,621?\n\nA. 6\n\nB. 4\n\nC. 1\n\nD. 0\n\n21. The distance between London and New York City is about 3,741 miles. What is 3,741 written in expanded form?\n\nA. \\(30,000 + 700 + 40 + 10\\)\n\nB. \\(3,000 + 700 + 40 + 1\\)\n\nC. \\(3,000 + 700 + 41\\)\n\nD. \\(300 + 700 + 40 + 10\\)\n\n22. A company earned $20,540,005 in one year. Which shows 20,540,005 written in expanded form?\n\nA. \\(20,000,000 + 50,000 + 4,000 + 50\\)\n\nB. \\(20,000,000 + 5,000 + 4,000 + 5\\)\n\nC. \\(20,000,000 + 500,000 + 40,000 + 5\\)\n\nD. \\(20,000,000 + 500,000 + 40,000 + 500\\)\n\n23. The area of Lake Ontario is 7340 square miles. Which shows this number written in expanded form?\n\nA. \\(7,000 + 300 + 40\\)\n\nB. \\(7,000 + 300 + 4\\)\n\nC. \\(7,000 + 30 + 4\\)\n\nD. \\(7,000 + 340\\)\n\n24. The Earth takes 365.26 days to make one trip around the Sun. Which shows the number 365.26 written in words?\n\nA. Three hundred sixty-five and twenty-six hundredths\n\nB. Three hundred sixty-five and twenty-six thousandths\n\nC. Three thousand, sixty-five and twenty-six hundredths\n\nD. Thirty-six thousand, five hundred twenty-six\n\n25. The total number of guests at a hotel during one year was 406,970. How is this number written in word form?\n\nA. Nine hundred seventy thousand, four hundred six\n\nB. Four hundred sixty thousand, nine hundred seven\n\nC. Four hundred six thousand, nine hundred seventy\n\nD. Four hundred six thousand, nine hundred seventeen\n\n26. Click on all the numbers you want to select.\n\nThe weights of several boxcars of a train are listed below. Which weights have a digit in the thousands place that has a value ten times the value of the digit in the hundreds place?\n\nA. 5 \nB. 6 \nC. 7 \nD. 8\n\n27. Ramone bought a mountain bike for $186.75. Which digit is in the tenths place in the number 186.75?\nA. 5 \nB. 6 \nC. 7 \nD. 8\n\n28. A student wrote a number on the board. The student used the digit 4 two times in the problem. One of the digits of 4 is placed so that it represents ten times the other digit of 4. Which could be the student's number?\nA. 41,453 \nB. 43,541 \nC. 44,135 \nD. 45,134\n\n29. Chris and Erin are collecting bottle caps. So far, Chris has collected 3,498 bottle caps, and Erin has collected 3,802.\n\nWhich statement is true?\nA. 3,498 > 3,802 \nB. 3,802 = 3,498 \nC. 3,498 < 3,802 \nD. 3,802 < 3,498\n\n30. The average distance from the Earth to the moon is about 385,000 kilometers. What is the place value of the 5 in the number 385,000?\nA. Tens \nB. Hundreds \nC. Thousands \nD. Ten thousands\n\n31. The table below shows the numbers of different flavors of drinks sold by a grocery store in one day.\n\n| Flavors | Number |\n|-------------|--------|\n| Orange | |\n| Lemon | |\n| Strawberry | |\n| Grape | |\n\nWhich list shows the number of drinks sold in order from least to greatest?\nA. 201, 85, 98, 189 \nB. 98, 85, 189, 201 \nC. 201, 189, 98, 85 \nD. 85, 98, 189, 201\n\n32. The number of pencils bought from a pencil machine in each of 4 months is shown in the table.\n\n| Month | Number of Pencils |\n|---------|-------------------|\n| January | 988 |\n| February| 1,056 |\n| March | 1,354 |\n| April | 1,167 |\n\nWhich shows the months in order from the least number of pencils bought to the greatest number of pencils bought? Mark your answer.\nA. March, February, April, January \nB. January, February, March, April \nC. January, February, April, March \nD. March, April, February, January\n\n33. Jerry used base-ten blocks to represent numbers. The values for each block are listed below.\n\n\\[\n\\begin{array}{cccc}\n1000 & 100 & 10 & 1 \\\\\n\\end{array}\n\\]\n\nWhich shows 2018 written using base-ten blocks?\n\nA. \\[ \\begin{array}{c} \\text{1000} \\\\ \\text{100} \\\\ \\text{10} \\\\ \\text{1} \\end{array} \\]\nB. \\[ \\begin{array}{c} \\text{1000} \\\\ \\text{100} \\\\ \\text{10} \\\\ \\text{1} \\end{array} \\]\nC. \\[ \\begin{array}{c} \\text{1000} \\\\ \\text{100} \\\\ \\text{10} \\\\ \\text{1} \\end{array} \\]\nD. \\[ \\begin{array}{c} \\text{1000} \\\\ \\text{100} \\\\ \\text{10} \\\\ \\text{1} \\end{array} \\]\n\n34. The 3 in 139 is how many times bigger than the 3 in 53?\nA. 3 times\nB. 10 times\nC. 30 times\nD. 100 times\n\n35. In which number is the digit in the tens place the greatest?\nA. 436\nB. 317\nC. 273\nD. 159\n\n36. What number is in the thousands place in 573,485?\nA. 3\nB. 4\nC. 5\nD. 7\n\n37. Which number has a 4 in the tens place?\nA. 3854\nB. 4385\nC. 5843\nD. 8455\n\n38. What is the place value of the 5 in the number 3948,25?\nA. Tens\nB. Tenths\nC. Hundreds\nD. Hundredths\n\n39. There are 1054 houses in Macy's town. What is the value of the digit 4 in the number 1054?\nA. 4\nB. 40\nC. 400\nD. 4000\n\n40. One postal code for Round Rock, Texas, is 78664. Which number in 78664 is in the thousands place? Mark your answer.\n\nA. 8 \nB. 7 \nC. 6 \nD. 4\n\n41. Bernice made the following model to represent a number.\n\nWhat number does Bernice's model represent?\n\nA. 1235 \nB. 1325 \nC. 3125 \nD. 5231\n\n42. A bookstore sold 123,680 books last year. What digit is in the ten thousands place in 123,680?\n\nA. 1 \nB. 2 \nC. 3 \nD. 8\n\n43. The total number of hotdogs sold during a baseball tournament was 120,983. What digit is in the hundred thousands place in 120,983?\n\nA. 1 \nB. 2 \nC. 3 \nD. 6\n\n44. A company sold 4569 video games in one day. Which digit is in the hundreds place in the number 4569?\n\nA. 9 \nB. 6 \nC. 5 \nD. 4\n\n45. In the year 2000, the population of the city of Richmond was 986,512. What digit is in the thousands place in 986,512?\n\nA. 5 \nB. 6 \nC. 8 \nD. 9\n\n46. The workers on a farm gathered 6528 eggs in one day. Which digit is in the tens place in the number 6528?\n\nA. 2 \nB. 5 \nC. 6 \nD. 8\n\n47. Julia has 473 stickers in her sticker book. How many tens of stickers does Julia have?\n\nA. 7 \nB. 40 \nC. 47 \nD. 70\n\n48. In which of the following numbers does the digit 3 have a value of 300?\n\nA. 3601 \nB. 6382 \nC. 7253 \nD. 9835\n\n49. There are 8992 history books in a library. What is the place value of the digit 8 in the number 8992?\nA. Thousands\nB. Hundreds\nC. Eights\nD. Ones\n\n50. The value of the 6 in the number 4,631 is how many times larger than the value of the 6 in the number 4637?\nA. 2 times\nB. 6 times\nC. 10 times\nD. 100 times\n\n51. Which statement is true about the digit 8 in the whole numbers 1,825 and 8,367?\nA. The 8 in 8,367 represents 1 times the 8 in 1,825.\nB. The 8 in 8,367 represents 10 times the 8 in 1,825.\nC. The 8 in 8,367 represents 100 times the 8 in 1,825.\nD. The 8 in 8,367 represents 1000 times the 8 in 1,825.\n\n52. The table shows the number of books a school library has for different subjects.\n\n| Subject | Biology | English | Geography | Math |\n|---------|---------|---------|-----------|------|\n| Number of Books | 1,982 | 2,076 | 2,027 | 2,074 |\n\nWhich list shows the subjects in order from the greatest number of books in the library to the least number of books? Mark your answer.\nA. English, Geography, Math, Biology\nB. Math, English, Biology, Geography\nC. English, Math, Biology, Geography\nD. Geography, Biology, Math, English\n\n1. Select the two shapes below which have $\\frac{1}{3}$ shaded.\n\n2. Ben ate $\\frac{4}{6}$ of his pizza. Which fraction is greater than $\\frac{4}{6}$?\n\nA. $\\frac{1}{6}$\nB. $\\frac{2}{6}$\nC. $\\frac{3}{6}$\nD. $\\frac{5}{6}$\n\n3. Keyanna shaded the following model to represent $\\frac{2}{6}$.\n\n4. Which number line shows Point X correctly plotted at $\\frac{1}{6}$?\n\nA. \nB. \nC. \nD. \n\n5. Melinda placed some pictures on the number line shown. Which picture is placed at $\\frac{1}{4}$?\n\nA. \nB. \nC. \nD. \n\n6. Which two fractions below would be located at the same point on this number line?\n\n7. Bryan weighed apples on a scale. Point W on the number line shows the mass in kilograms of the apples.\n\nWhich fraction of a kilogram is closest to point W? Mark your answer.\n\nA. $\\frac{1}{4}$\n\nB. $\\frac{1}{3}$\n\nC. $\\frac{1}{2}$\n\nD. $\\frac{2}{3}$\n\n8. This model is shaded to show 1 whole.\n\nThe picture below models a number sentence with fractions.\n\n$\\frac{6}{8} + \\frac{5}{8} = ?$\n\nWhich shows the sum of the fractions modeled in the picture?\n\nA. $\\frac{6}{8}$\n\nB. $\\frac{5}{8}$\n\nC. $\\frac{3}{8}$\n\nD. $\\frac{2}{8}$\n\n9. $\\frac{1}{16}$ of Wanda's shoes are too small.\n\nWhich fraction is equal to the amount of Wanda's shoes that are too small?\n\nA. $\\frac{1}{3}$\n\nB. $\\frac{2}{13}$\n\nC. $\\frac{2}{13}$\n\nD. $\\frac{3}{14}$\n\n10. Rose drank $\\frac{4}{8}$ of her water. Eli drank the same amount of water as Rose.\n\nWhich fraction shows how much Eli drank?\n\nA. $\\frac{1}{4}$ of his water\n\nB. $\\frac{1}{2}$ of his water\n\nC. $\\frac{3}{4}$ of his water\n\nD. $\\frac{4}{4}$ of his water\n\n11. Which two fractions are equivalent? Check the 2 boxes that are equivalent.\n\n12. Which point on the number line is located at $\\frac{1}{2}$?\n\nA. J\n\nB. K\n\nC. L\n\nD. M\n\n13. Molly plotted the fraction $\\frac{6}{10}$ on a number line. Which of the following shows $\\frac{6}{10}$ correctly plotted on a number line?\n\nA.\n\nB.\n\nC.\n\nD.\n\n14. Point K on the number line below shows the number of yards of fabric Leonard used to make some curtains.\n\nWhich number best names point $K$?\n\nA. $17\\frac{1}{3}$\n\nB. $16\\frac{1}{2}$\n\nC. $16\\frac{2}{5}$\n\nD. $16\\frac{1}{3}$\n\n15. Which fraction names the location of the point on the number line below?\n\n$\\frac{1}{2}$\n\nA. $\\frac{1}{1}$\n\nB. $\\frac{1}{2}$\n\nC. $\\frac{1}{3}$\n\nD. $\\frac{1}{4}$\n\n16. Use these fraction bars to answer this question.\n\nWhich number sentence is true?\n\nA. $\\frac{1}{4} < \\frac{1}{7}$\n\nB. $\\frac{1}{5} > \\frac{1}{4}$\n\nC. $\\frac{1}{6} > \\frac{1}{5}$\n\nD. $\\frac{1}{7} < \\frac{1}{6}$\n\n17. In which figure is less than $\\frac{1}{2}$ shaded?\n\nA. \n\nB. \n\nC. \n\nD.\n\n18. Which fraction is equal to $\\frac{1}{3}$?\n\nA. $\\frac{1}{6}$\n\nB. $\\frac{2}{6}$\n\nC. $\\frac{4}{8}$\n\nD. $\\frac{6}{10}$\n\n19. Drag the points labeled on the number line above and listed below on the left to the fraction each point represents.\n\n- A\n- B\n- C\n\n$\\frac{1}{2}$, $\\frac{1}{6}$, $\\frac{4}{5}$, $\\frac{7}{8}$\n\n20. Seth is making a cake for lunch. The amounts of flour, water, sugar, and chocolate chips he needs for the cake are shown below.\n\n| Ingredient | Amount Needed (in cups) |\n|----------------|-------------------------|\n| Flour | $\\frac{1}{3}$ |\n| Water | $\\frac{1}{2}$ |\n| Sugar | $\\frac{1}{4}$ |\n| Chocolate chips| $\\frac{1}{8}$ |\n\nWhich number line shows how much water Seth needs, in cups?\n\nA. \n\nB. \n\nC. \n\nD. \n\n21. These two rectangles are divided into equally-sized squares. Each is shaded to model a fraction.\n\nWhat is the sum of the fractions shown by the models?\n\nA. $\\frac{1}{8}$\n\nB. $\\frac{5}{16}$\n\nC. $\\frac{11}{16}$\n\nD. $\\frac{5}{8}$\n\n22. Which number line shows $\\frac{1}{3}$ located at the correct interval?\n\nA. \n\nB. \n\nC. \n\nD. \n\n23. Point Q is marked on the number line below.\n\nWhich of the following fractions is located at Point Q?\n\nA. $\\frac{1}{2}$\n\nB. $\\frac{2}{5}$\n\nC. $\\frac{3}{5}$\n\nD. $\\frac{4}{5}$\n\n24. Jalen painted half of the hexagonal patio as shown in the figure.\n\nWanda painted half of the unshaded part.\n\nWhat fraction of the patio did Wanda paint?\n\nA. $\\frac{1}{6}$\n\nB. $\\frac{1}{3}$\n\nC. $\\frac{1}{2}$\n\nD. $\\frac{2}{3}$\n\n25. Nicholas bought a cake and cut it into 6 equal slices. Nicholas ate 1 slice of the cake. What fraction of the cake did Nicholas eat?\n\nA. $\\frac{1}{6}$\n\nB. $\\frac{5}{6}$\n\nC. $\\frac{6}{1}$\n\nD. $\\frac{6}{5}$\n\nReading TEST SMASH!\n4th Grade\n\nSYSTEMATIC DAILY\nReading Test Prep\nto Build Confidence and Stamina\n\nTeaching in the Fast Lane\n\n©TeachingInTheFastLaneLLC\n\nTHANK YOU FOR YOUR PURCHASE\n\nDEAR TEACHER,\n\nTHIS RESOURCE IS FOR YOUR PERSONAL CLASSROOM USE IN ONE CLASSROOM ONLY. IF YOU WOULD LIKE ADDITIONAL COPIES FOR YOUR TEAMMATES, YOU CAN PURCHASE ADDITIONAL LICENSES FOR A DISCOUNT. TO PURCHASE ADDITIONAL LICENSES, GO TO YOUR “MY PURCHASES” PAGE ON TPT AND SELECT THE NUMBER OF LICENSES YOU WISH TO PURCHASE.\n\nPLEASE VISIT MY TEACHERS PAY TEACHERS STORE: TEACHING IN THE Fast Lane FOR MANY DIFFERENT PRODUCTS!\n\nBITLY.COM/SHOPTEACHINGINTHEFASTLANE WWW.TEACHINGINTHEFASTLANE.COM\n\nTERMS OF USE: © 2017 TeachingInTheFastLaneLLC. ALL RIGHTS RESERVED. PURCHASE OF THIS PRODUCT ENTITLES THE PURCHASER THE RIGHT TO REPRODUCE THE PAGES FOR ONE CLASSROOM ONLY. DUPLICATION FOR MORE THAN ONE CLASSROOM SUCH AS ANOTHER TEACHER, GRADE LEVEL, SCHOOL, OR DISTRICT IS STRICTLY FORBIDDEN WITHOUT WRITTEN PERMISSION FROM THE AUTHOR. COPYING ANY PART OF THIS PRODUCT AND PLACING IT ON THE INTERNET IN ANY FORM IS STRICTLY FORBIDDEN AND IS A VIOLATION OF THE DIGITAL MILLENNIUM COPYRIGHT ACT (DMCA).\n\nPhotos from Deposit Photos\n\n©TeachingInTheFastLaneLLC\n\n| Section | Page |\n|-------------------------------|------|\n| To the Teacher | 4 |\n| Standards by Genre | 7 |\n| I Can Statements | 8 |\n| Test Smash Passages and Questions | 17 |\n| Recording Sheets | 38 |\n| Answer Keys | 49 |\n| Data Sheet | 60 |\n\nTO THE TEACHER\n\nThank you for purchasing this resource. It was created with fourth grade classes in mind. I needed a way to prep my students for the Texas STAAR test with just a few weeks remaining.\n\nThis high impact resource covers each of the readiness standards for fourth grade reading in the state of Texas along with important and widely tested supporting standards. The standards covered in this resource also overlap nicely with standards from Common Core. The standards covered can be found on pages 7-9.\n\nThis resource is set up by genre. Each day a passage from a selected genre is displayed along with questions that go along with the passage.\n\nHOW TO USE THIS RESOURCE\n\nThis resource can be used in a variety of ways to help students build their confidence and practice important skills ahead of a reading standardized test.\n\nThere are two main formats in which you can present this resource to students:\n\nOption 1: Project the passage and questions. Students can answer the questions in their notebooks or on the recording sheet.\n\nOption 2: Copy a page for each student so that they are able to mark up the passage in order to answer the questions.\n\nIn addition to how you present this resource to your students there are also several ways in which you can use it within your ELA block.\n\nAs a Warm-Up\nThis resource is the perfect way to start your ELA block. Upon entering your classroom students can immediately get to work on reading the passage and answering the questions either independently, in partners, or as a team. After giving enough time to complete, read through the passage and answer the questions together modeling the annotation and test taking strategies you would like your students to use.\n\nAs a Cooperative Learning Activity\nThese passages and questions are perfect for completing through cooperative learning strategies such as Sage & Scribe or Find Someone Who. After students have completed their questions, read through the passage and answer the questions together modeling the annotation and test taking strategies your would like your students to use.\n\n- Sage & Scribe\n - Students are partnered and read the passage together alternating paragraphs or verses. Partner A (the scribe) is seated with a writing utensil and partner B (the sage) stands behind them. Partner B reads the question and tells the scribe what to write explaining their thinking and backing it with text evidence. Partner A writes, coaches their partner, and praises them. After each question partners trade positions and roles.\n\n- Find Someone Who\n - Each student has a copy of the passage and questions. Independently students read the passage. When everyone has read the passage students stand up, put their hands in the air, and pair up with a partner. They greet their partner, trade recording sheets, and choose a question to answer then trade papers again. After thanking their partners students repeat the process with a new partner until all their questions are answered. I challenge my students to work with as many partners as possible and answer as many different questions as possible.\n\nHOW TO USE THIS RESOURCE\n\nAs a Home-School Connection\nAre parents asking you what you are doing to prepare their students for the test or what they can do to help their students. Use these passages and questions to occasionally send home so that students can read and complete the passages with their families. After giving to students to complete at home take some time in class to read through the passage and answer the questions together modeling the annotation and test taking strategies you would like your students to use.\n\nSmall Group Re-teaching\nThese passages and questions are perfect for completing in a small group setting with you guiding your students through the process of annotating data, reading the questions, and finding text evidence to support their responses.\n\nWhole Group Lesson\nPrior to the big test students need to become familiar with testing passages as a genre and completing these passages and questions is a great way to get them used to thinking critically. Use this resource as a way to model how students can successfully annotate the passage and answer the questions based on text evidence. I would recommend using this strategy for the first day or two of practice to get students used to the process.\n\nTRACKING THE DATA\nOn page 30 I have included a checklist of standards for each student to check off or color in the standards they answered correctly each day. The standards that are not covered each day are greyed out.\n\nUSING THE DATA\nI have found that having students track their own data is not only helpful, but empowering. By having the responsibility of holding their own data students are able to take ownership of their learning, set goals for growth, and celebrate their successes. This keeps student engagement high throughout the process of prepping for the test. This data can also be used to build your small groups for re-teaching by standard.\n\n## Standards by Genre\n\n| All Genres | TEKS | Common Core |\n|-------------------------------------------------|--------|----------------------|\n| Context Clues | 4.3B | RF.4.4, RI.4.4 |\n| Making Connections | 4.6E & 4.7A | RL.4.7 |\n| Inferences | 4.6F | RL.4.1, RI.4.1 |\n| Details and Key Ideas | 4.6G | RI.4.2 |\n| Retell, Paraphrase, or Summarize | 4.7D | RL.4.3, RI.4.3 |\n\n### Fiction\n\n| Fiction | TEKS | Common Core |\n|-------------------------------------------------|--------|----------------------|\n| Plot Elements | 4.8C | |\n| Characters | 4.8B | RL.4.3 |\n| Point of View | 4.10E | RL4.6 |\n\n### Informational\n\n| Informational | TEKS | Common Core |\n|-------------------------------------------------|--------|----------------------|\n| Structures of Text | 4.9D(ii)| RI.4.7 |\n| Organizational Patterns of Text | 4.9D(iii) | RI.4.5 |\n| Imagery & Figurative Language | 4.10D | |\n\n### Poetry\n\n| Poetry | TEKS | Common Core |\n|-------------------------------------------------|--------|----------------------|\n| Figurative Language | 4.9B | |\n| Sound Devices | 4.10D | |\n| Structure of Poetry | 4.10B | RL.4.5 |\n\nI Can Statements\n\nI can statements are a great way for students to take ownership of their learning.\n\nIdeas for using I Can Statements:\n• Create a display within your classroom using the statements as posters to remind students of what they can do.\n• Create mini-posters for student notebooks by copying multiple I Can Statement posters onto a page.\n• Use I Can Statements in your small group area to help prompt students as to how to answer a question.\n• Use I Can Statements to sort questions from a released test by standard.\n • To complete a sort print and cut apart the questions from a released test. Have students use the I Can Statements to determine which standard the question is asking about. Encourage students to share why they chose a particular statement for each question. This helps students to become more familiar with the format of a standardized test.\n• Use the final I Can Statement, “I can SMASH the test,” to write a note to each student on test day to encourage them.\n\nI can use context within and beyond a sentence to determine the meaning of a word.\n\nI can make connections to personal experiences and other texts and describe them.\n\nI can retell, paraphrase, or summarize text I read.\n\nI can make inferences and support them with text evidence.\n\nI can evaluate details I read to determine key ideas.\n\nI can analyze plot elements of fictional texts.\n\nI can explain character interactions and the changes they undergo.\n\nI can identify and understand the use of literary devices including point of view.\n\nI can explain figurative language such as simile, metaphor, and personification.\n\nI can explain how the text structure of poetry contributes to the author’s purpose.\n\nI can describe how the author uses sound devices to achieve a purpose.\n\nI can recognize characteristics and structures of informational text.\n\nI can recognize organizational patterns of informational text.\n\nI can describe how the use of imagery achieves a purpose.\n\nI can smash the test!\n\nI can smash the test!\n\nTest Smash Passages and Questions\n\nDuring World War I on October 3, 1918 almost two hundred men were trapped on the side of a hill without any food or water. Their own army did not know they were there and had begun firing on them and they became surrounded by enemy troops. Several men tried to carry messages to their army, but all were caught. Major Whittlesey had the idea to send a message by pigeon instead. The first two pigeons did not make it, but the third did.\n\n**Cher Ami**\n\nCher Ami was a homing pigeon. This means she was trained to fly back to a certain location when released. She was donated to the United States Army from Great Britain and trained by American pigeoners to work in France during World War I. Cher Ami was a Blue Check Pigeon, and while she is a hen, the National Museum of American History and other places still list her as male. She can still be seen at the Smithsonian Institution in Washington, D.C.\n\n**Homing Pigeons**\n\nHoming pigeons are known for their ability to fly long distances to find their way home. They have been known to fly more than 1,000 miles back to their home. They fly about fifty miles per hour over long distances, but have reached speeds of up to ninety miles per hour. Homing pigeons are fascinating birds. This makes homing pigeons a good way to send messages. During WWI homing pigeons were used by troops to send messages across enemy lines by attaching small canisters to their legs to hold slips of paper.\n\n**Cher Ami Saves the Day**\n\nCher Ami was sent off with her message and quickly came under fire from German forces. She was shot down, but was able to fly again. She flew the twenty-five miles back to the American Army. Once there the men on the hillside were able to be saved. Cher Ami had been badly injured and needed surgery to save her life.\n\nCher Ami is now known as a hero of WWI and was awarded the Croix de Guerre Medal for her work.\n\nWhich detail from the text suggests that the men on the hillside were thankful for Cher Ami?\n\nContext Clues\n\nWhich words could you use to determine the meaning of came under fire?\n\nImagery & Figurative Language\n\nWhat words does the author use in paragraph one to paint a picture of the troops?\n\nMaking Connections\n\nWhat connections can you make to the passage?\n\nMaking Inferences\n\nWhy is Cher Ami known as a hero of WWI?\n\nRetelling, Paraphrasing, & Summarizing\n\nHow could you summarize this text?\n\nOrganizational Patterns of Text\n\nHow does the author organize the information in paragraph 1?\n\nStructures of Informational Text\n\nWhich section of the text tells the reader how fast homing pigeons can fly?\n\nJamal and his family had been away from home for a long time. When they left home his parents had told him they were going to visit his grandparents in Dallas, but after arriving there it became clear to Jamal that this wasn't a regular visit.\n\nFor one thing his family had packed way more into their van than they usually would for a short trip. His mother had seemed bothered by something as she continued to hustle back and forth from their home to the car bringing more and more items with her each time. Jamal had only packed a small suitcase himself, but then thought about bringing a few toys and books just in case.\n\nWhen he went into his room he found his mom taking all of the clothes out of his closet and putting them in bags. She saw him and said, \"I just want you to have options. We don't know what the weather is going to be like.\" Jamal grew suspicious as he watched his mom run around the house, but didn't ask questions.\n\nThe drive to Dallas was unremarkable. There seemed to be many more cars on the road than usual, and they were all going in the same direction as Jamal's family. He asked his dad what was going on, but he didn't seem to hear him. Jamal knew his parents must be worried about something, but he couldn't tell quite what.\n\nOnce they reached Dallas and were greeted by his grandparents his own parents seemed to relax a bit. It was late, and while Jamal had spent all day in the car he was still tired. After going to bed he could hear his parents talking to his grandparents about a big storm.\n\nFinally Jamal realized what the hurry was to get out of town. There was a large hurricane headed straight for the Texas coast. Jamal knew storms made his parents nervous, and that must be why they came to Dallas.\n\nThe hurricane came and went. The town Jamal's family live in took a direct hit making them glad they didn't stay. Power lines were knocked down and trees uprooted, but they heard from their neighbors that their own house was alright. Still Jamal's parents decided to stay in Dallas until the community was cleaned up and power was restored.\n\nNow, after almost a month Jamal and his family were packing up the van again, but this time to head home. Jamal couldn't wait to see his friends again. The trip home was much quicker than when they evacuated. When they pulled onto their street a smile broke out across the faces of Jamal and his parents. It felt so good to finally be home.\n\nWhat detail from the last paragraph supports the idea that Jamal is happy to be home?\n\nContext Clues\n\nWhat does the word unremarkable mean?\n\nPlot Elements\n\nWhat can the reader tell about Jamal based on the first paragraph?\n\nMaking Connections\n\nWhat connections can you make to Jamal based on the story?\n\nMaking Inferences\n\nHow do you think Jamal’s family felt at the end of the text?\n\nRetelling, Paraphrasing, & Summarizing\n\nHow would you paraphrase paragraph 4 of the story?\n\nCharacters\n\nWhat does the dialogue between Jamal and his mom in paragraph 3 tell you about his mom?\n\nPoint of View\n\nWhat point of view does the narrator tell Jamal’s story from?\n\nThe clouds no more are flocking\nAfter the flushing sun;\nBees end their long droning,\nThe bat's hunt is begun;\nAnd the tired wind that went flittering\nUp and down the hill\nLies like a shadow still,\nLike a shadow still.\n\nWho is it that's calling\nOut of the deepening dark,\nCalling, calling, calling?--\nNo!—yet hark!\nThe sleepy wind wakes, carrying\nUp and down the hill\nA voice how small and still,\nHow sweet and still!\n\nWho is it that answers\nOut of a quiet cloud—\n\"Stay, oh stay! I come, I come!\"\nCried at last aloud?\nMy voice, my heart went answering\nUp and down the hill—\nMine so strange and still,\nMine grave and still.\n\n-John Frederick Freeman\n\nWhat is the main message of the poem?\n\nContext Clues\n\nIn the text, what does the word grave mean?\n\nFigurative Language\n\nWhat is an example of personification from the first stanza?\n\nMaking Connections\n\nWhat connections can you make to the poem?\n\nMaking Inferences\n\nWhat can the reader conclude from the action in the first stanza?\n\nRetelling, Paraphrasing, & Summarizing\n\nWhat is the poem mostly about?\n\nSound Devices\n\nWhat is the rhyme scheme of the first stanza of this poem?\n\nStructures of Poetry\n\nThe structure of the poem helps the reader to know that it is what type of poetry?\n\nThe USS Lexington is an Essex Class aircraft carrier built for the United States Navy. She was commissioned in 1943 and went on to set more records than any other ship in her class. The USS Lexington continued to be active in the Navy until 1991 when it was decommissioned as the oldest working carrier.\n\nThe USS Lexington was being built, under the original name USS Cabot, during World War II in Massachusetts' Fore River Shipyard. This shipyard built the best ships at the time. When they learned that the original aircraft carrier named USS Lexington, CV-2 had been sunk the new aircraft carrier's name was changed to USS Lexington to honor the tradition.\n\nAfter completion, the USS Lexington was taken on several trial runs or cruises before traveling to Pearl Harbor where they joined the Fifth Fleet of the US Navy which made up the main force stationed in the Pacific. The USS Lexington went on to take part in almost every major operation in the Pacific during World War II. The aircraft carrier and her planes were instrumental in destroying Japanese planes time and time again.\n\nThe Japanese tried to boost morale within their ranks by continually reporting that the USS Lexington had been sunk, but she and her crew continued to return to the fight. The Japanese nicknamed her, \"The Blue Ghost,\" due to her ability to continue to fight and sail silently as a shark.\n\nAfter World War II the USS Lexington was taken out of service from 1947 to 1955 when she rejoined the Seventh Fleet based in San Diego, California. She did not return to direct combat, but she did offer support during further operations.\n\nThe USS Lexington was officially decommissioned in 1991 and Corpus Christi, Texas was chosen as her permanent home. Today you can visit the ship which is home to a museum.\n\nWhat key idea do the details in paragraph 3 support?\n\nContext Clues\n\nIn the last paragraph, what does the word decommissioned mean?\n\nImagery & Figurative Language\n\nWhat is an example of simile used in the passage?\n\nMaking Connections\n\nWhat connections can you make to the passage?\n\nMaking Inferences\n\nWhy do you think the Japanese claimed to have sunk the USS Lexington to boost morale?\n\nRetelling, Paraphrasing, & Summarizing\n\nHow could you summarize this text?\n\nOrganizational Patterns of Text\n\nWhat cause and effect relationship is shown by the author in paragraph 2?\n\nStructures of Informational Text\n\nWhat is the most likely reason the author included a photograph with the text?\n\nLindsey had wanted a dog for as long as she could remember. She had spent the last year doing everything that she could to prove to her parents that she was responsible enough and finally they had agreed.\n\nLindsey did her research. She knew she wanted to adopt a dog from the city shelter. She also knew she wanted a larger dog. She went to the library and checked out a book on dog training. She poured through the book reading all about basic commands like sit and stay, but what she really wanted was to teach a dog to shake.\n\nSaturday came and Lindsey went with her dad to the animal shelter. The whole way there Lindsey could not stop talking about all the things she was going to teach their new dog, but Lindsey’s dad reminded her that you don’t always get exactly what you want in life. Still Lindsey kept going on and on, especially about how she was going to teach her dog to shake.\n\nWhen they arrived at the shelter Lindsey jumped out of the car and ran for the door with her dad trailing behind. Inside they were greeted by a volunteer and given basic information before being shown back to the dog kennels.\n\nLindsey slowly walked down the long row of kennels carefully examining each of the dogs inside. When she got about halfway down the aisle she spotted a large brown dog laying patiently. It was love at first sight. Lindsey knew that this was her dog. She and her father went to find the volunteer to get the dog out to play with.\n\nReturning to the kennel with the volunteer Lindsey got a surprise. When the dog stood up she noticed it only had three legs! At first Lindsey was concerned, but as soon as she got a sloppy kiss on the cheek she was back in love. Lindsey and her dad completed the adoption and were on their way. On the way home they decided to name the dog Choc short for chocolate, the color of his fur.\n\nWhen they got home Lindsey excitedly introduced Choc to her younger brother and her mom. She also decided to see what Choc already knew. She stood in front of him and firmly said, “Sit.” Choc immediately sat, his tail wagging. “Good boy!” replied Lindsey. Next she gave the command for lay and he did! She followed up with stay and walked across the room from him. Choc stayed until he was called.\n\nLindsey was so impressed, but was still holding out hope that he would shake. She approached Choc again and greeted him with, “Sit.” He plopped down and waited expectantly. “Now shake,” she said holding out her hand. Choc stood up and Lindsey sighed, but then he started shaking his whole body. Lindsey laughed. It wasn’t the kind of shake she imagined, but it was a different kind of trick!\n\nWhich detail from the last paragraph supports the idea that Lindsey was disappointed?\n\nContext Clues\n\nWhat does the word poured mean in this story?\n\nPlot Elements\n\nHow is Lindsey’s main problem solved in the story?\n\nMaking Connections\n\nWhat is a connection you share with this story?\n\nMaking Inferences\n\nHow can the reader tell that “A Different Trick” is realistic fiction?\n\nRetelling, Paraphrasing, & Summarizing\n\nRetell the story in three sentences or less.\n\nCharacters\n\nWhat do Lindsey’s actions before going to the shelter suggest?\n\nPoint of View\n\nWho is the narrator of this story?\n\nThe Star\n\nA white star born in the evening glow\nLooked to the round green world below,\nAnd saw a pool in a wooded place\nThat held like a jewel her mirrored face.\nShe said to the pool: \"Oh, wondrous deep,\nI love you, I give you my light to keep.\nOh, more profound than the moving sea\nThat never has shown myself to me!\n\nOh, fathomless as the sky is far,\nHold forever your tremulous star!\"\n\nBut out of the woods as night grew cool\nA brown pig came to the little pool;\nIt grunted and splashed and waded in\nAnd the deepest place but reached its chin.\nThe water gurgled with tender glee\nAnd the mud churned up in it turbidly.\nThe star grew pale and hid her face\nIn a bit of floating cloud like lace.\n\n-Sara Teasdale\n\nWhat detail supports the idea that the star is embarrassed?\n\nContext Clues\n\nIn the text, what does the word churned mean?\n\nFigurative Language\n\nWhat is an example of personification from the third stanza?\n\nMaking Connections\n\nWhat connections can you make to the pig in the poem?\n\nMaking Inferences\n\nHow does the star feel when the pig enters the pond?\n\nRetelling, Paraphrasing, & Summarizing\n\nWhat is the poem mostly about?\n\nSound Devices\n\nWhat is the rhyme scheme of this poem?\n\nStructures of Poetry\n\nWhy did the poet include a couplet between the first and third stanza?\n\nThe oldest Spanish mission in San Antonio was built in 1718 and was named the San Antonio de Valero. It is known more commonly as the Alamo.\n\n**Birth of the Alamo**\nSpanish colonists in Texas built the Alamo right along the San Antonio River, the mission was home to Catholic priests and friars, Native Americans, and Spanish soldiers.\n\nThe Alamo was built as a stop between missions that were already built in East Texas and Mexico. Missionaries and soldiers used the Alamo as a place to stop and rest while traveling long distances. The Alamo was also used as a place for the Spanish to try and convert Native Americans to the Catholic religion.\n\nAround the Alamo grew a village known as San Fernando de Bexar which is what we now know as San Antonio.\n\nMission San Antonio de Valero continued its mission of converting Native Americans to the Catholic faith for seventy-five years until 1793. After that, the mission was abandoned. Later in the 1800s Spanish soldiers used the mission as a military fort.\n\n**The Battle of the Alamo**\nWhile the Texas Revolution was just getting started a group of Texan volunteer fighters captured the Alamo that was being used as a military fort by the Mexican army. Soon other Texas soldiers joined them, making the Alamo an important military position.\n\nLed by James Bowie and William B. Travis the Texans attempted to defend the Alamo in a thirteen day battle. The small number of Texans were no match for the Mexican army, and nearly all were killed in a bloody battle. The battle took place more than 100 years after the Alamo was first built.\n\n**The Alamo Today**\nYou can still visit the Alamo today in the heart of San Antonio. In fact, more than 2.5 million people come to visit every year. The Alamo is cared for by the National Park Service along with the other four missions found in San Antonio. If you find yourself in San Antonio, the Alamo is a must see!\n\nTest Smash Day 7\n\nDetails and Key Ideas\nAccording to the text, what was the original main goal for building the Alamo?\n\nContext Clues\nIn paragraph 3, what does the word convert mean?\n\nImagery & Figurative Language\nIn the section, “Battle of the Alamo,” what is an example of alliteration used to provide the reader with a mental image?\n\nMaking Connections\nWhat connections can you make to the passage?\n\nMaking Inferences\nWhich sentence from the text best supports the idea that the Texans were defeated at the Alamo?\n\nRetelling, Paraphrasing, & Summarizing\nHow could you summarize this text?\n\nOrganizational Patterns of Text\nWhat cause and effect relationship is shown in the section, “Battle of the Alamo?”\n\nStructures of Informational Text\nWhat is the most likely reason the author included bolded text in the passage?\n\nAnnie had always loved how noisy Chicago was on a summer afternoon. The sound of cars driving by, the L hurtling past, and neighbors talking on the sidewalk brought her joy. Every year Annie could not wait until summer when her mom would load up their car and the family would make the long trip to the city to stay with her maternal aunt.\n\nAnnie was a remarkable young girl who worked hard in school, but liked to play hard when on vacation. She liked to help others, and had even rescued kittens that were stuck in a drain once.\n\nAnnie walked over to the window that looked out over the park. She admired the sun shining down in rays illuminating her world. She couldn’t wait for her friend Jeff to get there so that they could go enjoy the park together.\n\nThen she saw Jeff in the distance. At first she didn’t recognize him. Jeff must have grown six inches since last summer! He was carrying something too, and it wasn’t the usual kickball that Annie knew him with. As Jeff got closer Annie noticed his smile and she smiled back.\n\nWhen Jeff finally made his way to her front stoop Annie jumped up to give him a hug, but instead of hugging her back he asked, “What’s your Wi-Fi password?” Annie was shocked! She hadn’t seen him in almost a year and all he wanted was a Wi-Fi password?\n\nAnnie looked back at Jeff and said, “We won’t need Wi-Fi in the park, let’s go!” Jeff smirked and headed into the house where he plopped down on the couch. Annie’s jaw almost hit the floor. “Don’t you want to go to the park? It is such a nice day and I have been waiting all year to play kickball with you again,” Annie stammered. “Not really, I’d rather play a game,” he replied.\n\nAnnie couldn’t believe her ears. Is this really what she had been waiting for? Annie wasn’t much for online games when the weather was so nice, she thought they were better saved for when it was too cold to go outside.\n\nDisappointed, Annie gave Jeff the Wi-Fi password, grabbed the kickball from the hall closet, and headed out the door. She murmured to herself, “I guess it’s time to meet some new friends.”\n\nWhat detail from the text supports the idea that Annie thinks there is a time to play video games?\n\nContext Clues\n\nWhat does the word smirked mean in this story?\n\nPlot Elements\n\nWhy is Annie disappointed when Jeff wants the Wi-Fi password?\n\nMaking Connections\n\nWhat is a connection you share with this story?\n\nMaking Inferences\n\nWhy does Annie think it is time to make new friends at the end of the story?\n\nRetelling, Paraphrasing, & Summarizing\n\nHow could you summarize Annie’s problem from the story?\n\nCharacters\n\nWhy is Annie looking forward to seeing Jeff?\n\nPoint of View\n\nWho is the narrator of this story?\n\nSummer\n\nWinter is cold-hearted\nSpring is yea and nay,\nAutumn is a weather-cock\nBlow every way:\nSummer days for me\nWhen every leaf is on its tree\n\nWhen Robin’s not a beggar,\nAnd Jenny Wren’s a bride,\nAnd larks hang singing, singing, singing,\nOver the wheat-fields wide,\nAnd anchored lilies ride,\nAnd the pendulum spider\nSwings from side to side,\n\nAnd blue-black beetles transact business,\nAnd gnats fly in a host,\nAnd furry caterpillars hasten\nThat no time be lost,\nAnd moths grow fat and thrive,\nAnd ladybirds arrive.\n\n-Christina Georgina Rossetti\n\nWhat detail supports the idea that the author does not care for winter?\n\nContext Clues\n\nWhat words from the second stanza help to determine the meaning of pendulum?\n\nFigurative Language\n\nWhat is an example of alliteration from the last stanza?\n\nMaking Connections\n\nWhat connections can you make to the author of the poem?\n\nMaking Inferences\n\nWhy is the “Robin not a beggar” as said in the second stanza?\n\nRetelling, Paraphrasing, & Summarizing\n\nParaphrase the last stanza of the poem in one sentence.\n\nSound Devices\n\nWhy does the poet repeat the word “singing” in the second stanza?\n\nStructures of Poetry\n\nHow many stanzas are included in the poem?\nHow many lines are included in the poem?\n\nMae Jemison was born on October 17, 1956 in Alabama. At the time she was born the south was still segregated, meaning that there were different schools and other public places for black people and white people. Jemison’s family wanted their children to have the best opportunities, so they moved north to Chicago.\n\nJemison loved to learn and spent all of her extra time reading about science, and especially space. She went on to study chemical engineering at Stanford University and then attended medical school at Cornell University. While she was a student she traveled the world helping those less fortunate than herself, such as refugees.\n\nAfter finishing medical school she worked as a doctor in southern California and for the Peace Corps in Africa. While she was there she also taught others about the medical field and how to perform research. She enjoyed her work as a doctor, but her childhood love of space continued. After returning to the United States she set her sights on becoming an astronaut.\n\nJemison applied and was accepted into NASA’s astronaut training program. This was right before The Challenger disaster, which slowed the process and required her to reapply. She did, and was chosen as the first African-American woman to undergo astronaut training. She trained for over a year, and earned the title of science mission specialist. She was a star within the program. This job put her in charge of performing scientific experiments on board the space shuttle.\n\nOn September 12, 1992 Jemison and six other astronauts were launched in the space shuttle Endeavour, and she became the first African-American woman in space. Their mission was eight days long, and she performed numerous experiments.\n\nMae Jemison has received many awards including having a school in Detroit named after her. She has also continued to volunteer her time for the betterment of all people through medical research and fundraising as well as through teaching.\n\nWhat details from the text support the idea that Mae Jemison is well educated?\n\nContext Clues\n\nIn the second paragraph, what does the word fortunate mean?\n\nImagery & Figurative Language\n\nWhat is an example of metaphor used in paragraph 4 of the passage?\n\nMaking Connections\n\nWhat connections can you make to the passage?\n\nMaking Inferences\n\nBased on the descriptions of Jemison in the text, what can the reader conclude about how she feels towards people?\n\nRetelling, Paraphrasing, & Summarizing\n\nHow could you summarize paragraph 3 of this text?\n\nOrganizational Patterns of Text\n\nHow did the author organize the passage?\n\nStructures of Informational Text\n\nWhat is the most likely reason the author included a photograph with the text?\n\nTest Smash Recording Sheets\n\nContext Clues\n\nImagery & Figurative Language\n\nMaking Connections\n\nMaking Inferences\n\nRetelling, Paraphrasing, & Summarizing\n\nOrganizational Patterns of Text\n\nStructures of Informational Text\n\nPlot Elements\n\nContext Clues\n\nMaking Connections\n\nMaking Inferences\n\nRetelling, Paraphrasing, & Summarizing\n\nCharacters\n\nPoint of View\n\nContext Clues\n\nFigurative Language\n\nMaking Connections\n\nMaking Inferences\n\nRetelling, Paraphrasing, & Summarizing\n\nSound Devices\n\nStructures of Poetry\n\nContext Clues\n\nImagery & Figurative Language\n\nMaking Connections\n\nMaking Inferences\n\nRetelling, Paraphrasing, & Summarizing\n\nOrganizational Patterns of Text\n\nStructures of Informational Text\n\nContext Clues\n\nPlot Elements\n\nMaking Connections\n\nMaking Inferences\n\nRetelling, Paraphrasing, & Summarizing\n\nCharacters\n\nPoint of View\n\nContext Clues\n\nFigurative Language\n\nMaking Connections\n\nMaking Inferences\n\nRefelling, Paraphrasing, & Summarizing\n\nSound Devices\n\nStructures of Poetry\n\nContext Clues\n\nImagery & Figurative Language\n\nMaking Connections\n\nMaking Inferences\n\nRetelling, Paraphrasing, & Summarizing\n\nOrganizational Patterns of Text\n\nStructures of Informational Text\n\nPlot Elements\n\nContext Clues\n\nMaking Connections\n\nMaking Inferences\n\nRetelling, Paraphrasing, & Summarizing\n\nCharacters\n\nPoint of View\n\nContext Clues\n\nFigurative Language\n\nMaking Connections\n\nMaking Inferences\n\nRetelling, Paraphrasing, & Summarizing\n\nSound Devices\n\nStructures of Poetry\n\nContext Clues\n\nImagery & Figurative Language\n\nMaking Connections\n\nMaking Inferences\n\nRetelling, Paraphrasing, & Summarizing\n\nOrganizational Patterns of Text\n\nStructures of Informational Text\n\nTest Smash Suggested Answer Keys\n\nAll answers provided are suggested answers. I would encourage you to discuss students’ answers and require them to back up their responses with evidence from the text as answers will vary.\n\nOnce there the men on the hillside were able to be saved.\nor\nCher Ami is now known as a hero of WWI and was awarded the Croix de Guerre Medal for her work.\n\nContext Clues\nshot at\n\nImagery & Figurative Language\ntrapped, surrounded, firing on them, caught\n\nMaking Connections\nAnswers will vary, but may include a connection to a time an animal helped them or a war story they have read.\n\nMaking Inferences\nFor carrying a message that saved the lives of American soldiers.\n\nRetelling, Paraphrasing, & Summarizing\nAlmost two hundred men were trapped on a hillside until a homing pigeon named Cher Ami carried a message to their army that was able to save them.\n\nOrganizational Patterns of Text\nChronologically\n\nStructures of Informational Text\nSection 3\n\"Homing Pigeons\"\n\n...a smile broke out across the faces of Jamal and his parents.\n\nContext Clues\n\nboring\nnormal\nnothing extra\n\nPlot Elements\n\nJamal misses his home.\n\nMaking Connections\n\nAnswers will vary, but may include connections to a time of feeling homesick or not being told the whole truth.\n\nMaking Inferences\n\nRelieved to be back at home.\n\nRetelling, Paraphrasing, & Summarizing\n\nThe drive to Dallas seemed to be busier and take longer than usual, but his parents wouldn't tell him why.\n\nCharacters\n\nHis mom isn't telling him the whole truth about why they are visiting his grandparents. His mom doesn't want Jamal to worry.\n\nPoint of View\n\nThird person omniscient because the narrator knows how the characters are feeling.\n\nThe author is lonely at night.\n\nContext Clues\nsad\n\nFigurative Language\ntired wind\n\nMaking Connections\nAnswers will vary, but many include a connection to being awake at night or an animal mentioned.\n\nMaking Inferences\nThe sun is setting and nocturnal animals are beginning to come out.\n\nRetelling, Paraphrasing, & Summarizing\nThe sun has set and night is taking over. Night time sounds make it seem that there is a voice calling out, but when you answer there is no one there.\n\nSound Devices\nABABACCC\n\nStructures of Poetry\nLyrical because of the rhyme scheme and equally split stanzas.\n\nThe USS Lexington was an important part of the US Navy’s fleet during WWII.\n\nContext Clues\n\nTaken out of service, retired\n\nImagery & Figurative Language\n\nsail silently as a shark\n\nMaking Connections\n\nAnswers will vary, but may include a connection to a ship or boat.\n\nMaking Inferences\n\nTo boost their morale.\n\nRetelling, Paraphrasing, & Summarizing\n\nThe USS Lexington, an American aircraft carrier was built in Massachusetts and went on to play an important role in the Pacific Ocean during WWII. After being repaired the carrier supported other missions until 1991 when it was retired and docked in Corpus Christi, TX.\n\nOrganizational Patterns of Text\n\nThe original Lexington was sunk, so they renamed this ship USS Lexington to carry on tradition.\n\nStructures of Informational Text\n\nTo help the reader visualize the USS Lexington.\n\nLindsey sighed\n\nContext Clues\nread quickly and entirely\n\nPlot Elements\nWhen her dog, Choc, shows her a different kind of shake.\n\nMaking Connections\nAnswers will vary, but may include a connection involving a pet or doing something differently than expected.\n\nMaking Inferences\nThe action in the story could happen in real life.\n\nRetelling, Paraphrasing, & Summarizing\nLindsey and her family adopt a dog named Choc. Lindsey tries to teach Choc a trick, but is surprised when Choc shows her a different trick.\n\nCharacters\nLindsey wants to be a responsible dog owner by knowing how to train her dog.\n\nPoint of View\nAn outside viewer\n\nThe star grew pale and hid her face\n\nContext Clues\n\nmixed up\n\nFigurative Language\n\nThe star grew pale and hid her face\n\nMaking Connections\n\nAnswers will vary, but may include connections to stars or a time of embarrassment.\n\nMaking Inferences\n\nIt is sad it can no longer see its reflection.\n\nRefelling, Paraphrasing, & Summarizing\n\nA star staring at its own reflection in a pond.\n\nSound Devices\n\nAABBCCDDEEFFGHHBB\n\nStructures of Poetry\n\nTo emphasize the excitement the star has in viewing itself.\n\nTo provide a stop between the missions in East Texas and Mexico.\n\nContext Clues\nto change\n\nImagery & Figurative Language\nbloody battle\n\nMaking Connections\nAnswers will vary, but may include a connection to visiting the Alamo, another historical sight, or the Texas Revolution.\n\nMaking Inferences\nThe small number of Texans were no match for the Mexican army, and nearly all were killed.\n\nRetelling, Paraphrasing, & Summarizing\nThe Alamo, the oldest mission in San Antonio, was built as a stop between East Texas and Mexico, but also served to house soldiers and convert Native Americans to the Catholic faith. Later the mission was home to a battle during the Texas Revolution in which the Texans were defeated. You can still visit the Alamo today.\n\nOrganizational Patterns of Text\nTexans captured the Alamo, so the Mexican army defeated them taking it back.\n\nStructures of Informational Text\nTo clearly show the reader what each section will be about.\n\nAnnie wasn’t much for online games when the weather was so nice, she thought they were better saved for when it was too cold to go outside.\n\nContext Clues\n\nsmiled slyly\nslightly smiled\n\nPlot Elements\n\nShe wants to go play at the park, not play a game inside.\n\nMaking Connections\n\nAnswers will vary, but may include connections to wanting to do one thing while a friend wants to do something else.\n\nMaking Inferences\n\nShe and Jeff no longer like doing the same things.\n\nRetelling, Paraphrasing, & Summarizing\n\nAnnie is excited to go to the park to play with Jeff, but when he arrives he is more interested in playing a game online.\n\nCharacters\n\nShe hasn’t seen him since last summer when they went to the park together.\n\nPoint of View\n\nAn outsider, third person\n\nWinter is too cold, spring has a lot of changes, and autumn is too windy.\n\nContext Clues\n\nswings from side to side\n\nFigurative Language\n\nblue-black beetles\n\nMaking Connections\n\nAnswers will vary, but may include connections to a favorite season.\n\nMaking Inferences\n\nIn summer Robins are able to find their own food and not have to beg for scraps from people.\n\nRetelling, Paraphrasing, & Summarizing\n\nAll the life that comes out during the summer.\n\nSound Devices\n\nTo emphasize that the lark continues to sing for a long time.\n\nStructures of Poetry\n\n3 stanzas\n19 lines\n\nShe went on to study chemical engineering at Stanford University and then attended medical school at Cornell University.\n\nContext Clues\n\nwell-off\nfavored\nmean?\n\nImagery & Figurative Language\n\nShe was a star within the program.\n\nMaking Connections\n\nAnswers will vary, but may include a connection to space, an accomplishment, or a career for the future.\n\nMaking Inferences\n\nJemison cares deeply about people and taking care of them.\n\nRetelling, Paraphrasing, & Summarizing\n\nJemison traveled the world taking care of people and helping them learn how to research, but she still thought about becoming an astronaut.\n\nOrganizational Patterns of Text\n\nChronologically\n\nStructures of Informational Text\n\nTo help the reader visualize what an astronaut would wear.\n\nTest Smash Data Sheet\n\n| Day | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 0 |\n|-----|---|---|---|---|---|---|---|---|---|---|\n| | | | | | | | | | | |\n\n**All Genres**\n- Context Clues\n- Making Connections\n- Making Inferences\n- Details and Key Ideas\n- Retelling, Paraphrasing, & Summarizing\n\n**Fiction**\n- Plot Elements\n- Characters\n- Point of View\n\n**Informational Text**\n- Structures of Informational Text\n- Organizational Patterns of Text\n- Imagery & Figurative Language\n\n**Poetry**\n- Figurative Language\n- Sound Devices\n- Structures of Poetry\n\nPhysical state refers to whether a substance is a solid, liquid, or gas.\n\nWe generally classify matter as a solid, liquid, or gas.\n\nSolids have a definite shape and size.\n\nLiquids take the shape of their containers.\n\nGases expand to take the shape of their containers.\n\nTry it! Complete the table using examples from the term bank.\n\n| Solid | Liquid | Gas |\n|-------------|------------|------------|\n| | | |\n| | | |\n| | | |\n\nTerm Bank\n\nhoney sugar cube alcohol\noxygen flour state\nplastic cube helium dish soap\ncarbon dioxide\n\nMass refers to the amount of matter in an object.\n\nMass is measured using a pan balance or triple beam balance.\n\nMass is measured in grams, milligrams, and kilograms.\n\nRemember that mass and volume are different. Volume refers to how much space matter takes up. Two balls with the same volume can have different masses. A plastic ball filled with air has less mass than a solid metal ball with the same volume.\n\nTry it! Objects are represented by letters A, B, C, and D. Put the objects in order from least to greatest mass. All amounts are shown in grams.\n\nAnswer\n\nObjects in order from least to greatest mass: ___, ___, ___, ___\n\nSolubility refers to whether or not matter dissolves in water.\n\nDissolving occurs when matter mixed with water gets smaller until it is evenly spread throughout the mixture.\n\nWhen dissolving, matter does NOT change physical state. Dissolving is NOT the same process as melting.\n\nA substance that is soluble dissolves in water.\n\nA substance that is insoluble does not dissolve in water.\n\nTry it! Complete the table using examples from the term bank.\n\n| Solubility of ________________ in Water |\n|----------------------------------------|\n| Insoluble in Water | Soluble in Water |\n|---------------------|------------------|\n| | |\n| | |\n| | |\n| | |\n\nTerm Bank\n\n- baking soda\n- vegetable oil\n- glass lens\n- drink mix\n- lemon juice\n- honey\n- feather\n- sand\n- substances\n\nRelative density refers to whether an object sinks or floats in water.\n\nWe can classify matter as more dense or less dense than water.\n\nA substance that floats in water is **less dense** than water.\n\nA substance that sinks in water is **more dense** than water.\n\nTry it! Complete the table using examples from the term bank.\n\n| Relative Density of ____________________ in Water |\n|---------------------------------------------|\n| Less Dense than Water | More Dense than Water |\n|------------------------|-----------------------|\n| | |\n| | |\n| | |\n| | |\n\n**Term Bank**\n- wood chip\n- vegetable oil\n- sand\n- soap bubble\n- aluminum washer\n- plastic ball\n- syrup\n- brass key\n- substances\n\n2020 The Science Penguin\n\nSLOW CHANGES TO EARTH'S SURFACE\nSCAVENGER HUNT\n\nFind as many items on the list as you can.\n\n☐ 1. deposition of sediments in a new place\n☐ 2. a cracked rock that has been weathered\n☐ 3. a pile of sediments\n☐ 4. a small channel from runoff\n☐ 5. a sedimentary rock that allows sediments to be easily scraped off of it\n☐ 6. evidence of weathering\n☐ 7. exposed tree roots above the ground\n☐ 8. a sidewalk crack\n☐ 9. mud\n☐ 10. a drainage pipe\n☐ 11. a sloped hill\n☐ 12. evidence of ice wedging\n\nGENERAL SCIENCE\nSCAVENGER HUNT\n\nFind as many items on the list as you can.\n\n☐ 1. Water that is in the form of a solid, liquid, or gas\n\n☐ 2. A natural resource\n\n☐ 3. Matter that is solid and sinks in water\n\n☐ 4. Matter that floats in water and is not magnetic\n\n☐ 5. A shadow that is 10 to 20 centimeters long\n\n☐ 6. A mixture of two or more substances\n\n☐ 7. An example of mechanical energy\n\n☐ 8. An animal interacting with its environment\n\n☐ 9. Plant roots\n\n☐ 10. Soil that supports a healthy plant\n\n☐ 11. An organism in the adult stage of its life cycle\n\n☐ 12. A cracked rock"}}},{"rowIdx":204791,"cells":{"text":{"kind":"string","value":"REGISTRATION AND TUITION\n2024-2025 School Year\n\nChildren will be accepted for enrollment pending a review of records including but not limited to academic, behavior, and financial; admissions testing; and interview with the administration. First priority will be given to children currently enrolled in Our Lady of the Lake School or who have siblings currently enrolled. Second priority will be given to registered parishioners of Our Lady of the Lake Parish who do not currently have children in the school. Third priority will be given to the general public. After March 1, 2024, all applications will be considered on a first-come, first-serve basis as third priority.\n\nThe Our Lady of the Lake School philosophy states “that each child is a special person – a child of God. Through our religious education program, we bring the student into contact with the whole message of Christ in a living school community of faith, which leads naturally to service of others. In partnership with parents and guardians, we strive to complement and supplement the work of parents in fostering the Christian growth of the child at the various levels of development. We provide a program of study which makes the best use of the child’s time and talents. We endeavor to instill in each child, a love of learning and an appreciation of culture. We try to lead the child to realize the dynamic force of his/her life for good in the world by helping him/her to understand the intrinsic value and dignity of every human person.”\n\nThe following tuition/admission policy, which is based on our Catholic philosophy of education, will be effective for the 2024-2025 school year. It is understood that all families registering children at Our Lady of the Lake School agree to abide by the contents of the latest edition of the Our Lady of the Lake School Family Handbook and all policies of the school and parish. It is further understood that all families registering children at Our Lady of the Lake School agree to meet the financial obligations according to the policy set forth below and in the handbook.\n\nTuition and Registration Fee\n\n$6,165.00 per child\n$150.00 PER CHILD REGISTRATION FEE\n\nPLEASE NOTE: The school reserves the right to refuse admission or readmission, to suspend or to expel any student who does not cooperate with the policies established in the Our Lady of the Lake Family Handbook. Policies in this handbook apply to after school hours as well. If any student refuses to follow these policies, then he or she places his or her privilege to attend this school in jeopardy. If any parent refuses to support or follow these policies, the parent places his or her child/children’s privilege of attending this school in jeopardy.\n\nThe education of your child is a partnership between you and your school. If in the opinion of the administration the partnership is irretrievably broken the school reserves the right to require you to withdraw your child.\n\nGENERAL INFORMATION FOR ALL FAMILIES APPLYING TO OUR LADY OF THE LAKE SCHOOL 2024-2025 SCHOOL YEAR\n\nIt is most important that all families wishing to enroll at Our Lady of the Lake School begin by reviewing this Admission and Tuition Policy, completing and submitting the Registration Application with the $150.00 registration fee as soon as possible. Our Lady of the Lake Parish must have an accurate enrollment number in order to arrange staffing for the 2024-2025 school year. Staffing decisions depend heavily upon actual enrollment numbers.\n\nIt is also most important that families, who wish to be considered for additional scholarship money from the diocese or the parish, submit their application no later than March 15, 2024.\n\nImplementation of the Admission and Tuition Policy\nThe implementation of this policy will be the responsibility of the pastor and the principal.\n\nAdmission to Kindergarten\nAll students entering kindergarten are required to participate in the kindergarten screening process. Testing dates and screening dates will be announced annually. It will be the responsibility of the families to present the students for the testing and screening according to the schedule established annually by Our Lady of the Lake School.\n\nKindergarten Enrollment\n- Kindergarten is a full day program.\n- All families who wish to enroll a kindergarten student for the 2024-2025 school year will receive additional information regarding kindergarten screening. Information regarding kindergarten screening will be sent home in the early spring.\n- The Ohio Department of Education recommends that all kindergarten students be five (5) years old before August 1. Euclid City Schools requires kindergarten students to be five (5) years old before August 1. The Office of Catholic Education of the Diocese of Cleveland recommends that the Catholic elementary schools follow the policies of the public school district in which they reside for kindergarten entrance age.\n- Kindergarten students do wear uniforms.\n- Kindergarten students eat lunch at school.\n\nFinancial Obligations\nAll families are required to meet all financial obligations to any and all educational institutions before enrollment in Our Lady of the Lake School can be finalized.\n\nTuition Payment Method\nOur Lady of the Lake School uses a third party tuition collection company (FACTS). All families are required to have tuition payments electronically withdrawn from bank accounts designated by them. Payments will be electronically withdrawn from family designated accounts and deposited electronically into the Our Lady of the Lake account. Families have a choice of a two month, four month, ten-month or twelve-month payment plan for the 2024-2025 academic year. Payments made using FACTS for the 2024-2025 academic year begin June 2024. Families currently enrolled in FACTS will automatically be re-enrolled unless the school office is notified.\n\nFamilies may pay tuition in full by August 23. If payment in full is made by August 23, families need not establish accounts for electronic withdrawal, and they will receive a $100.00 per family tuition discount (only\n\napplies to students in grades kindergarten through eight). Strict adherence to the August 23 deadline will be observed.\n\nFamilies who have received the EdChoice or Cleveland Scholarships are not required to pay tuition electronically. Families receiving the Scholarships are required to come to the school during school hours to endorse tuition checks issued by the Ohio Department of Education by the deadline established by Our Lady of the Lake School (unless families have signed the Scholarship Check waiver). Failure to endorse checks in the school office will result in the families being required to pay the balance of the tuition owed in full. The EdChoice and Cleveland Scholarships cover the cost of tuition. There is no balance due for the 2024-2025 school year.\n\nFamilies who have received the Jon Peterson Scholarship are expected to pay the difference of tuition not covered by the Jon Peterson Scholarship. The balance is due to the school office by November 1, 2024.\n\n**Statement of Non-Discrimination**\nOur Lady of the Lake School admits students of all races, nationalities or ethnic origins to all rights, privileges, programs, and activities. Our Lady of the Lake welcomes students of all faiths.\n\n**Race and Ethnic Origins**\nBy law parents/guardians have the option to designate the race/ethnic category. Please use the following as a guide to designate if you wish to exercise this option. This information can be added to the Registration Application. Our Lady of the Lake School does not require this information for enrollment purposes or any other purposes. If you do not wish to include this information on the Registration Application, please leave that section on the registration application form blank.\n\n| Race/Ethnic Origin | Description |\n|-------------------------------------|-----------------------------------------------------------------------------|\n| White/Non-Hispanic | Persons having origins in any of original peoples of Europe, North Africa, or the Middle East |\n| Black/Non-Hispanic | Persons having origins in any of the black racial groups in Africa |\n| Hispanic | Person of Mexican, Puerto Rican, Cuban, Central or South America, or other Spanish Culture or origin, regardless of race |\n| Asian/Pacific Islanders | Persons having origins in any of the original peoples of the Far East, Southeast Asia, The Pacific Islands, or the Indian subcontinent. This area includes for example, China, India, Japan, Korea, the Philippine Islands, and Samoa |\n| American Indian/Alaskan Native | Persons having origins in any of the original peoples of North America, and who maintain cultural identification through tribal affiliation or community recognition |\n| Multi-racial | Persons having origins in two or more of the above options |\n\n**Service Projects**\nOur Lady of the Lake School relies heavily on families to perform service projects for the benefit of the overall school program. While deductions from individual tuition plans cannot be made, service projects performed for the benefit of the school help to keep tuition down and provide an enhanced school experience for all students.\n\n**Hot Lunch Program**\nOur Lady of the Lake School provides a hot lunch program through the Nutrition Services department of the Office of Catholic Education of the Diocese of Cleveland. Students must order and pay a month in advance for their lunches. Menus and ordering information are provided monthly by Nutrition Services. Students are welcome to bring their lunches from home as well. Students may order hot lunches only on the days they choose and bring lunches when they do not wish to order the items offered. There are some days during the school year that hot lunches are not served at all. On those days all students need to bring a lunch and a drink. Hot lunches are not provided for students who forget to order a lunch or bring their lunch. Cereal and milk will be provided for students who do not have a lunch. Milk does not need to be pre-ordered and is usually for sale on all days that the hot lunch program is conducted. Federal subsidy is available for all families who\n\nmeet federal requirements. Information regarding free or reduced lunch will be issued to families on the first day of school.\n\n**EdChoice Scholarship**\nThe EdChoice Scholarship is available to those students who have been attending or are scheduled to attend public schools listed by the Ohio Department of Education as schools in the program. Students who have been attending schools such as Our Lady of the Lake, which is not in the program, are not eligible. For more information please contact the Ohio Department of Education or visit their website online, www.ode.state.oh.us. Our Lady of the Lake School accepts the EdChoice, Cleveland, and Jon Peterson Scholarships.\n\n**EdChoice Expansion Scholarship**\nDoes your child meet both of the following criteria?\n- Student is eligible to enter kindergarten through the eighth grade for the upcoming school year; and family household income is at or below 450 percent of the Federal Poverty Guidelines\n- All students are eligible to apply based on the families’ income.\n\nIf “YES” Your Child is Eligible TO APPLY for the Income-Based Scholarship. Income Verification is Required to Apply for the Expansion Scholarship.\n\n**Cleveland Scholarship**\nThe Cleveland Scholarship is available to those students who reside in the city of Cleveland. For more information, please contact the Ohio Department of Education or visit their website at www.ode.state.oh.us.\n\n**Students Not Returning to Our Lady of the Lake School for the 2024-2025 School Year**\nIf your family is not planning to return to Our Lady of the Lake School for the 2024-2025 school year, please notify the office at 216-481-6824. The school office will forward a release of records form to you for completion and signature. This does not apply to graduating 8th grade students. The high school applications completed and signed in January act as a release of records.\n\n**Completing the Registration Application Process and Eligibility**\nEnrollment will be considered complete when:\n- completed all forms\n- paid the $150.00 per child registration fee\n- provided all required records/documents and completed all processes.\n\nAdditionally, enrolling families must be current with all amounts due the school, unless arrangements have been made with the Pastor. All families not meeting established deadlines may forfeit their opportunity to enroll or to re-enroll their child(ren).\n\n*The administration of Our Lady of the Lake School reserves the right to determine eligibility of all applicants. Our Lady of the Lake School admits students of all races, nationalities or ethnic origins to all rights, privileges, programs, and activities. Our Lady of the Lake welcomes students of all faiths.*\n\n**Due Dates**\nMarch 1, 2024 Open registration begins\nMarch 15, 2024 FACTS Grant and Aid Form (if applicable) due\nAugust 23, 2024 Full Tuition Payments for $100 per family discount (K-8 students only)"}}},{"rowIdx":204792,"cells":{"text":{"kind":"string","value":"Boys will be Boys\n\nWhen I hear people say that only female cats need to have surgery to sterilize them, it makes me crazy! Spay and neuter of ALL cats is the best and most basic thing that we can do for them. Male cats may not produce kittens, but they suffer from not being neutered.\n\nA kind lady named Jane called when Oscar showed up at her door with his face distorted and swollen and one eye closed. Oscar loved humans, but as an intact male was working his way through Sutter Creek fighting and begging for food.\n\nA-PAL took Oscar in and sent him to Dr. Alison Pillsbury at Acorn Hills Animal Center where it was discovered that he had a large abscess on his cheek. The abscess was drained and cleaned and Oscar was neutered. Oscar had been named for the Muppets character, Oscar the Grouch.\n\nOscar is anything but a grouch. This cat has the sweet round face of a beautiful tabby cat and is now up for adoption. This sweet boy deserved better from humans than being left to roam the streets and his story is all too common. We regularly get calls from people that stray cats are fighting with their cats. Most often the culprit is an intact male cat.\n\nAcorn Hills Animal Center recently put on three low cost cat spay and neuter days with A-PAL and we were happy to see so many cat owners having their male cats neutered. One pair of beautiful long haired orange and white cats broke our hearts. Examination revealed that one of these boys had several abscesses on his neck. Owners told us that these beautiful cats had begun spraying in their home, so had been kicked outside. They also had been best friend brothers and now hated each other.\n\nAll of this would have been avoided if these two male cats had simply been neutered. Male cats do not need to mark their territory and spray if they are neutered. They also will not usually fight with other cats if they are neutered. Best of all, after about 30 days male cats when neutered will stop these spraying and fighting behaviors.\n\nFeral cats reproducing continues to be one of our greatest challenges. Feeding stray and feral cats may be fun, but it is actually creating a greater problem if nothing else is done. Amador County is the only place I know of that has a FREE feral cat spay/neuter program. Residents are able to make an appointment with one of our amazing local veterinarians and A-PAL pays for these cats to be spay/neutered, ear tipped and rabies vaccinated and returned. These cats will live healthier, longer lives and the suffering from overpopulation will stop.\n\nIf you know of someone who is feeding which increases breeding, please encourage them to take advantage of A-PAL’s feral cat spay/neuter program which is detailed at pawspartners.org.\n\nOur cat population had been steadily going down for 20 years, but with the pandemic, it has nearly doubled in the last three years. We need everyone to participate to create a humane Amador County.\n\nA-PAL Humane Society is a 501(c)(3) non-profit organization founded in 1977 to promote the humane treatment of animals in Amador County and to provide services to Amador County residents and animals. A-PAL works in partnership with our Amador County Animal Shelter. For more info, see pawspartners.org or call 209-223-0410.\n\nBOARD OF DIRECTORS\nSusan Manning, President\nMargaret Blair, Vice President\nJoan Martin, Treasurer\nLisa Peterson, Secretary\nApril Hancock\nWendy Robles\nNicole Todd\n\nEXECUTIVE DIRECTOR\nCooper Steeley\n\nMISSION STATEMENT\nTo ensure the humane treatment of animals in the communities we serve.\n\nGOALS\n• To end euthanasia of homeless dogs and cats in Amador County\n• To increase public awareness and acceptance of responsibility for animal welfare\n• To place homeless animals in good homes through aggressive adoption and foster care programs\n• To raise funds to finance spay/neuter programs in Amador County\n• To end inhumane treatment of animals in Amador County\n• To support legislation encouraging humane treatment of animals\n\nSome ways you can help us help the animals of Amador County...\n• Be sure that your pets are spayed/neutered and don’t be a contributor to pet overpopulation\n• Join A-PAL’s Save the Kittens Team\n• Volunteer as a foster family and care for kittens\n• Adopt an A-PAL dog or kitten and give it a loving and lifelong home\n• Remember A-PAL Humane Society in your will and life insurance policies\n• Donate funds to A-PAL\n\nA-PAL’s accomplishments are the result of a group effort and would not be possible without our many animal-loving partners. Thank you!\n\nLucky Clover\nClover came to A-PAL as a large kitten with a broken jaw. She was sweet, but weak and had an infection in her gums which just would not go away. Most of her teeth were removed and soon she will be ready to go to her forever home.\n\nFollow us on Facebook for updates!\n\nMeet Mister Dooley\n\nIt’s come to drastic measures and I had to hire a ghost writer to help me get adopted and find my furever home. You see, I don’t have access to computer out here, and to be honest, even if I did, it’s really difficult to type with my paws.\n\nSo, my frens (aka friends), I’m gonna tell YOU why I am the bestest doggo ever. But first I want to give you some details about me – consider this my “profile” like, you know, if they had doggie “tinder”.\n\nThey call Mister Dooley or Triple D. I’m a sweet boy and I’m about 1.5 years old. I currently reside at Twin Cedar K9 and my foster mom, Auntie Margaret Blair, takes good care of me. She has trained me - I know my basic commands, and, I will admit, I’m a bit of a goofball. I’m a big lover and will always lean in to you while I’m sitting. And to be honest frens, I’m darn good looking and quite handsome. And all I want is a home and a family - and I deserve it! Cause I’m the bestest boy ever!\n\nI would love a home with other doggo’s but NO cats! I like cats a LOT but for all the wrong reasons, so I won’t be a good fit for a house with cats. Ok, let’s be honest here, cats are tasty!\n\nI love my auntie Margé, and I like hanging out here, but I know there is a perfect family out there for me!\n\nSaturday and Sundays are my favorite days cuz that’s when all the people show up out here at Twin Cedar and do training. I get to play with all the dogs, and I’m not one to be politically incorrect, I like all the dogs - big, small, smelly, playful and there are some good looking “chicks” that come out to train. And I really like to show off how smart I am!\n\nAre YOU my forever family? If so, please contact Margé Blair at (209) 223-3194 or email@example.com\n\nMORE DATES TO SAVE\n\nGIVING TUESDAY\nWHEN AMDAOR GIVES MORE\nIS ON\nNOVEMBER 28th\n\nSANTA PAWS\nWILL BE HERE ON\nDECEMBER 2nd\n\nSTAY CONNECTED & FOLLOW US ON:\n@APalHumaneSociety @apalhumanesociety\n\nWELCOME\nCREEKSIDE SHOPS\nANTIQUE COLLECTIVE\n22 Main Street Sutter Creek, CA 95685\nP.O. Box 304 (209) 267-5520\n\nOpen 10-5\n7 Days a Week\n\nTWIN CEDAR K9\nQuality dog training since 1991\nMargaret Blair\nCertified Master Trainer\n(209) 223-3194\nfirstname.lastname@example.org\nwww.twincedark9.com\n\nTHANK YOU...to all of our donors & supporters\n\nJEFF HOLMAN AUTO PROGRAM\nVucovich, Bill\n\nRUSTY FUND DONORS\nSare, Mavis\nSkrbec, Emelita & Karol\nHall, Tim\nSpiess, Carol\n\nSPECIAL NEEDS ANIMALS\nFOR DRAGO Lacey, Linda\nFOR DRAGO Fisher, Julie\nFOR DRAGO Myers, Shari\nFOR DRAGO Martinelli, Nancy\n\nSPECIAL THANKS TO Barbara Brown for her contributions to A-PAL\n\ndonors continued next page\n\nSUSTAINING AND MONTHLY DONORS\n\nAlexander, Barbara\nBarss, Carolyn\nBaskin, Cathy\nBrown, Barbara\nCapitanich, Haley\nEnyeart, Robert\nFong, Joan\nGarfinkle, Michele\nGarrett, Phyllis\nHarris, Arthur & Janet\nKares, Laura\nKeel, Garth\nKerby, Katherine\nKing, Gregory\nLaird, Larry\nParrish, Bud\nScheeper, Sheryl\nSoracco, Sandi\nSilva, Carlos & Anna Marie\nWilliams, Loni\n\nDONATIONS\n\nAcorn Hills Animal Center\nAloha Products LLC\nAnnalo, Lori\nAnooshian, Joseph & Janet\nAntonen, Sharon\nAnzini, Lori\nARAG\nBailey, Kenneth\nBalston, Robin\nBayha, Stephanie\nBergman, Lee A\nBirmingham, Jim & Joan\nBlackbaud Giving Fund\nBott, Victor & Mary\nBrand, Valerie\nBray, Jan Bernedo\nCampbell, Joan\nChadwick Brett\nChapman, Nancy\nChurch, Hope & Rachel Luxemberg\nCooper, Rochelle\nCosta, Virginia & Frank\nCoudsy, Catherine\nCozzolino, Barbara\nCreating Healthier Communities\nCulver, Allan & Margot\nDana, April\nDaneri, James & Cheryl\nDavis, Gary & Janet Caccia\nDesedare, Linda\nDonahue, Denise\nDunn, Richard & Doris Carrillo\nEstey, Tracy\nFarmer, Katie\nFerrucci, Teresa\nFloyd, Richard\nFogg, Pamela & Dan\nFriel, Sally\nFrison, David & Nellie\nGibson, Ellen\nGoff, William & Noreen\nGrady, Deborah\nGray, Debra\nGrosz, Joan & Doyle\nGrunigen, Carla\nGuardanapo, Robert & Jeanette\nGunter, Gerald\nHall, Tim\nHarmon, Kitty\nHarrison, Lesley\nHeimeyer, L\nHenner, Gloria & Michael\nHeussner, Lisa\nHoffman, William\nHollabaugh, James & Sherilyn\nJones, Harold & Christine\nKammerer, Cora\nKrisman, Deena\nLancaster, Jeff\nLandberg, Janeth\nLarson, Helen\nLegnard, Nancy\nLiedl, Mary\nLinke, John & Diane\nMadden, Frances\nMartin, Joan\nMartz-Mort, Marie\nMatulich, Linda\nMedford, I.E., & Judy\nMiles, Richard & Michelle Roland\nMoore, Sondra\nMoore, Susan\nMoreno, Stephanie\nPatterson, Robert & Janice\nPerlee, Trisha\nPerotti, Lucy\nPeterson, Todd & Lisa\nPhillips, Robert & Jane\nReber, Anne-Marie\nReynolds, William Scott\nRhein, Elizabeth\nRianda, Linda\nRocco, Sharon\nSanderson, D\nSare, Mavis\nSawyer, Ronald & Carla\nScharnow, Eileen & Timothy\nSchmidt, Michael & Kathy\nSchmidt, Susan\nSharp, Pamela\nSierra Service League\nSilver, Andrew\nSkrbec, Emelita & Karol\nSmallfield, Beverly\nSmith, Lovell\nSpiess, Carol\nSpitzer, M.E.\nStacey, Ray\nStarr Shevey LLC\nStevenson, Jan\nSweet, Krista\nTarr, Rachel & Peter\nTaylor, Dave & May Anne\nTerhune, Ardyce\nTessaro, Margaret\nTurnbas, Stephen & Elizabeth\nTzouros, Patricia Ann\nValente, Angela\nWatson, Anita\nWeyrauch III, Henry Martin\nWilliams, Janet & Earl\nWilson, Sara\nWindmiller, Dan\n\nLOVING TRIBUTES\n\nIn Memory of Roberta Patrick from Browley, Roger & Kathleen\nIn Memory of Patty Ziegler from Barss, Carolyn\nIn Memory of Kitty Bliss Haspel from Silver, Paul & Katherine\nIn Memory of Kitty Bliss Haspel from Nieland, Nancy\nIn Memory of Kitty Bliss Haspel from Silver, Nathaniel\nIn Memory of Kitty Bliss Haspel from Schornstein, Jr, Richard\nIn Memory of Carol Joyce Bellotti from McGinley, Casey\n\nIN MEMORY OF OUR FURRY FRIENDS\n\nTammy Gallerio's dog \"Casey\" from Francisco, Jacquelyn\n\"Randi\" from Ohm, Kylie\nColleen Begovich's \"Sabrina\" from Barss, Carolyn\n\"Tiger\" from Todd, Michael & Nicole\n\"Simba\" from Fox, Annette\nDorothy Buchman's \"Baby\" from Crawford, Donna\n\nA-PAL depends on your support to fund our programs!\n\nDonation Levels:\n☐ $20 Friend\n☐ $50 Supporter\n☐ $100 Benefactor\n☐ Other ____________________________\n\nTail Wagger's Club*\n☐ $250-$499 Silver\n☐ $500-$999 Gold\n☐ $1000+ Platinum\n\n☐ Please send me more information about volunteering or becoming a foster parent\n\nOther ways to give:\n☐ Gift (give a donation for birthdays, anniversaries, or other special occasions)\n☐ Honor the memory of a loved one _______________________________________________________\nor a beloved pet (name) _________________________________________________________________\n\nPlease send acknowledgment card to:\n\nName ________________________________________________________\nAddress ________________________________________________________\nCity/State/Zip ________________________________________________________\n\nTotal Amount Enclosed: $ ____________________________\n\n*Gifts of $250 or more receive special recognition in our newsletter.\n\nA-PAL Humane Society is a 501(c)(3) non-profit organization supported solely by donations. 100% of donations are used for the benefit of animals in Amador County. A-PAL’s Tax ID is 94-2462789. You may also donate online at www.pawspartners.org\n\nSome really confident cats do well in strange places, but most do not. One thing I learned from Jeff Holman is that cats need to be “grounded” to their new homes before they are released outdoors. I have to admit that I was pleasantly surprised after A-PAL Humane Society’s first year of placing barn cats to discover that over 95% of new owners said that their barn cats were still with them and thriving. Jeff leaves the cats at their new homes in cages for several weeks before they are considered grounded and released.\n\nOur Executive Director, Cooper Steely, called me to ask what to do with a big orange cat that had been rescued from a field in Sutter Creek by Carol Olson and Joan Martin. Carol had seen this cat acting strangely just rolling and she went to the Paws Partners Center in Jackson where she had begun to volunteer and gathered gloves and a crate and Joan Martin for assistance.\n\nWhat they discovered was a cat that was totally unaware of their presence and clearly in need of help. This cat stared ahead and did not even seem to know he was being lifted into a crate and he was unable to stand. Long haired and orange, he put up no protest and he was matted and dirty. Cooper was asked to call Acorn Hills Animal Center to see if they would accept this big orange cat who clearly needed the care of a veterinarian.\n\nAnimals are always a little bit of mystery because they cannot tell us what is wrong, but this cat was more so because we had no owner history. We wondered if he had been dumped or if he was lost. The mystery was that he was so disabled that he could not possibly have gone far in this condition. We also learned that he was neutered and microchipped and as he improved under the care of Dr. Alison Pillsbury and her staff, she showed that he was sweet, so we knew someone had loved him.\n\nThe microchip showed no registry, so the mystery continued for this poor, big orange cat. Initially, he was unable to stand or to eat and was so wobbly that he had to have his head held to be able to take in food. His weight was just over 10lbs and you could feel every rib on his sunken backbone.\n\nAfter a week we received a call that this cat, who was simply being called Big Orange Cat, was ready to come back to A-PAL and go to foster. As I was picking up another cat, Dr. Alison showed this cat to me explaining that he was now able to stand and eat although unsteady. We agreed that he would go to A-PAL after the weekend and Acorn Hills would work on getting his mats out for us. I told Dr. Alison that I would try to find this cat’s owner. I remembered a post and hoped this would be that cat, snapping a few photos of him before I left.\n\nI went to Amador Animals and Pets Facebook page where I had seen the post and began paging through. After about 30 minutes I found the post. The photos seemed similar, but I could not be sure. First I sent the photo to the person who made the post on the string where she had reported her beloved lost cat and then I realized she might not see it, so I sent her a message asking her to call me. To my surprise, Shaylee Hubbs called me immediately and seemed certain that this was her cat, Nacho. Her post was made in early January and I was calling more than a month later. Could this even be possible?\n\nI explained to her that Nacho was at Acorn Hills Animal Center and asked her to call them. I called Acorn Hills too because we were all in disbelief that we may have located Big Orange Cat’s owner. Shaylee told me that she took her two cats that lived with her in Davis to stay with her parents in Sutter Creek over Christmas break. These cats enjoyed ranch life and were allowed outside and one came back, but Nacho did not.\n\nThis cat had weighed 17lbs and dropped 7lbs. during his 5 miles of travel from Quartz Mountain Road to Pine Gulch Road in Sutter Creek. He had endured relentless rain, hail, flooding and extreme cold. The fact that he had gone so far and had escaped predators and extreme weather was a testament to how much he was loved and how determined he was to get home. His family matched his chip number on his paperwork with his chip reading confirming this was indeed their cat Nacho. Shaylee told me many times how grateful they were that he had been found and that all of the family was crying happy tears.\n\nI learned three things from this miracle recovery of Big Orange Cat. First, I would never let a cat outside in a place that may be strange to them. This cat was so loved and well cared for that he miraculously survived. Second is to always double check that your microchip registry actually is recorded. It is possible to think you have successfully recorded your microchip and I encourage everyone to double check. And last, social media can work magic. A big shout out to the Amador Animals and Pets Facebook page and Lori Crisp for getting this Big Orange Cat home. Shaylee posted and this made it possible for her beloved cat to be matched to her and to be returned to the best place for his continued recovery…home.\n\nLike A-PAL on Facebook for “PAWESOME” Updates\n\nLook Inside...\n\nBoys will be Boys ............ 1\n2022 Impact Report .......... 2\nLucky Clover .................. 2\nMeet Mister Dooley ......... 3\nBarn Cat Buddies ............ 3\nSave the Dates ............... 4\nDonor Thank You ............ 4-5\nTributes & Memorials ...... 6\nDonation Form ............... 6\nOrange Cat’s Long Journey .. 7\nPaws & Claws 80’s Bash ..... 8\n\nHi! I’m Dooley and I’m the bestest boy! I’d love to go home with you! See my blog on page 3."}}},{"rowIdx":204793,"cells":{"text":{"kind":"string","value":"Our Lady of Mt. Carmel Church\n120 Prospect Street, Nutley, New Jersey 07110\nJanuary 8, 2023\n\nRev. Paciano A. Barbieto, S.T.L.\nPastor\nRev. Dennis E. Reiff\nPastor Emeritus\nDeacon Aldo Antola\nRetired Deacon\nSr. Mary Rose Conforto, MPF\nDirector of Religious Education\nAndres Cardona\nDirector of Music Ministry\nAmanda Andrade\nParish Administrative Assistant\n\nMass Schedule\nMonday-Friday: 8:00 a.m.\nSaturday Morning: 8:00 a.m.\nSaturday, 5:00 p.m.\nSunday: 7:30 a.m., 9:15 a.m., 10:45 a.m. & 12:15 p.m.\nFilipino Mass ~ Third Sunday of the month: 5:00 p.m.\nHoly Days: As Announced\n\nSacrament of Reconciliation\nWeekdays after the 8:00 a.m. Mass\nSaturday: 2:00 p.m.\n\nDevotions\nOur Lady of Mt. Carmel Novena: Wednesday following the 8:00 a.m. Mass\nFirst Friday Adoration: following the 8:00 a.m. Mass\n\nMission Statement\nOur mission as a holy parish is to communicate and to celebrate the life and spirit of Jesus by our words and actions in order to build a dynamic, loving, caring and outreaching community of faith.\n\nRectory Hours\nMonday-Friday: 9:00 a.m. to 4:00 p.m. during\nThe rectory is closed between 12:30 p.m. - 1:30 p.m.\nRectory Phone Numbers\n(973) 667-2580\n(973) 661-1623\nFax: (973) 667-0648\nEmails\nemail@example.com\nfirstname.lastname@example.org\nWebsite\nwww.olmc-nutley.org\n\nMarriages\nPlease schedule at least ONE YEAR in advance of your wedding. Pre-Cana and other instruction sessions are required.\n\nSacraments of Healing\nPlease notify the parish office if someone is ill at home.\n\nBaptisms\nWe request parents attend a Baptism Instruction Session before the birth of their child. The Sacrament of Baptism is usually celebrated the third Sunday of each month, except during Lent (when we will not celebrate the sacrament until Easter). All Baptisms are scheduled in person at the rectory.\n\nParish Membership\nAll are welcome to join our Parish Family. Parish policy requires registration to participate in Baptism, Marriage and Religion Classes. Please notify the office when a change of address or move occurs.\n\nMass Intentions\n\nSaturday January 7\n8:00 a.m. Abelardo and Socorro Sison\n5:00 p.m. Stella Ciba\n\nSunday January 8\n7:30 a.m. Paul Wolf\n9:15 a.m. Bill Parker\n10:45 a.m. Ed Palomo\n12:15 p.m. Beverly Gall\n\nMonday January 9\n8:00 a.m. Anthony Testa\n\nTuesday January 10\n8:00 a.m. Elizabeth Ng\n\nWednesday January 11\n8:00 a.m. Julia Quiles\n\nThursday January 12\n8:00 a.m. Dennis Bronner Jr.\n\nFriday January 13\n8:00 a.m. Benito Libunao\n\nSaturday January 14\n8:00 a.m. Living and Deceased Members of the Cucinello and Mazza Families\n5:00 p.m. Frank Rocco Santo\n\nSunday January 15\n7:30 a.m. Josephine Wolf\n9:15 a.m. Aries Nano\n10:45 a.m. Betty Fusaro\n12:15 p.m. James and Lina Rizzi\n\nPrayers for Health Reasons\n\nDelfina Alessio, Frank Alvarenga, Ariel Andrade, Caren Angrisano, Melissa Benimeo, George Berkovich, Dorothy Bogacz, Charles Brunquell, Jesse Bruno, Eleanor Brush, Erlinda Cajigas, Rose Marie Candiloro, Rudolfo Clavecilla, Ronald Cozzarelli, Marion Dellanno, Ana Marie de Vera, Donald Di Benedetto, Joshua Di Costanzo, Richard Dinzes, Veronica Duff, Melanie Entena, Domenick Falduto, Anna Marie Ferrante, Connie Garcia, Robert Griffin, Patricia Holevas, Justin, Carol Kaufman, Robert Krupinski, Lucille Victoria Magalong, Rodrigo Magalong, Peter Maioriello, Rita Mata, Cynthia McDevitt, Melanie McGowan, Eve McKay, Madeline Micael, Lawrence Miller, Carmela Moeller, Frances Nawolski, Karen Ann Niles, Jack Nitz, Raffaela Notari, Karen P., Robert Palmer, Maria A. Penaranda, Evelyn Perry, Rosalie Petracca, Vincent Petracco, Anthony Petrillo, Simplicia Ramirez, Richard Reidy, Albert Reyes, Jocelyn Reyes, Marie Rispoli, Jaxson Rivera, Robert D. Roberto, Roberto N. Roberto, Anne Rotonda, Joanne Sacchetti, Josephine Senek, Damaso (Jun) Serrano, Susan, Margaret Strawn, John Tiseo, Mariana Toledo, James Tressito, Margarita Ufret, Diana Vaicels, Mary Ann Vialu, Gina Villaggio, Eileen Wohlert, Dominick Zungri, Romona Zungri\n\nMass Intentions\n\nMasses are available for the 2023 year. Also, come to the rectory to: Make an offering in honor or in memory of a loved one for The Sanctuary Light, Bread and Wine or Church Flowers.\n\nIf you need to visit or call the rectory on Mondays and it is not an emergency, we would sincerely appreciate your consideration and assistance in delaying your visit or call until after 11:30 a.m. Thank You!\n\nBaptism Information\n\nIf you are expectant parents, please arrange to attend our Baptismal Instruction Program before the birth of your child. Baptismal Instruction and Baptisms must be scheduled in person, at the rectory. The next Baptism is January 15. Please visit our website to read guidelines for Godparents and for a complete Baptismal Schedule.\n\nThe Sanctuary Light honoring the Eucharistic Presence of Our Lord in the Tabernacle is lit in Honor and Memory of Dan Spera\n\nThe Bread and Wine offering this week is in Honor and Memory of People of the Parish\n\nChristmas Collection: $14,650\n\nEpiphany Prayer\n\nThat I May Find You There\n\nLord of all nations,\nI asked how you will know me.\n\nYou answered that you will know the ones\nwho have fed you\nWhen they have fed the least of your people.\nSend me out to the most famished land\nThat I may find you there\nAnd give of my portion to eat.\n\nYou answered that you will know the ones\nwho have given you water\nWhen they have given water to the least of\nyour people.\nSend me out to the driest land\nThat I may find you there\nAnd give of my portion to drink.\n\nYou answered that you will know the ones\nwho have clothed you\nWhen they have clothed the least of your\npeople.\nSend me to where the elements have made\ntoo large a claim\nThat I may find you there\nAnd share with you my cloak.\n\nYou told me I will know you in the sick:\nSend me among the most plagued.\nYou told me I will know you in the prisoner:\nSend me into the midst of the darkest cell,\nInto the slave master’s marketplace,\nFor I seek you with all my heart.\n\nAs you were revealed in your glory to all\nnations\nThrough the miracle of the Epiphany\nMay you so be revealed through all ages\nIn the faces of your people:\nIn their joy and in their struggle\nIn their dignity and in their vulnerability.\n\nAnd when I find you in these,\nLet them ask who is this Lord who has\nsent me,\nSo that they may find you in me as well.\n\nAmen\n\nSource: https://www.crs.org/resource-center/epiphany-god-all\n\nReligious Education\n\nA complete Calendar of Classes is available on our website at:\n\nwww.olmc-nutley.org/religious-education\n\nCome Sing With Us!\n\nWe are looking for members to join both Adult and Youth Choir! If you or your child enjoys singing, please contact Andres at 347-678-6702. Adult choir practice is each Wednesday night 7:30 p.m. (singing at the 12:15 Mass) and Youth choir practice is each Thursday night 7:00 p.m. (singing at the 10:45 Mass).\n\nYou Are Not Alone (YANA)\n\nThe Parish Bereavement Support Group meets the second Wednesday of the month from 7:30 - 9:00 p.m. in the Parish Hall. Meetings are postponed until further notice. In the meantime, St. Mary’s Church in Nutley has a group that meets Wednesday evenings in Monsignor Walsh Hall from 5:30 – 7:00 p.m. Please contact Taji at email@example.com if you are interested.\n\nCommunion for the Homebound\n\nUpon request, Communion will be brought to any parishioner confined to the home. Please contact Denise at 973-542-0191. Reminder: those who are seriously ill, or weak from the burden of years, should request the Anointing of the Sick ~ to schedule: please contact the Rectory.\n\nOLMC Website\n\nVisit our website www.olmc-nutley.org to read updated information, check out the latest bulletin, get Religious Education news, Mass schedules, find out more information about our various organizations events, and much more. Pay us a visit!\n\nJoin Us...\n\nKnights of Columbus\n\nThe group meets the first and third Tuesday of the month at 8:00 p.m. Meetings are held September through June. To join: email Ken at firstname.lastname@example.org or call the Rectory.\n\nOLMC Rosary Society\n\nThe group meets the first Thursday of the month at 1:00 p.m. Our meetings will resume at a later date. For more information call Denise (973) 542-0191. New members welcome!\n\nWomen’s Auxiliary\n\nThe group meets the second Monday of the month at 1:00 p.m. Our next meeting will be January 9. For more information call Linda, (973) 661-0090 or email at email@example.com. New members welcome!\n\nAccountability With Heartfelt Thanks\n\nCatholic Charities received $979.00 as a result of your generosity to our Donation Bin(s) in our parish parking lot from June 1, 2022 to November 30, 2022. These funds combined with monies from other parishes in a similar program throughout the Archdiocese enabled Catholic Charities to show the compassion of Christ through 79,566 mental health services provided to 3,768 people (FY 21/22). Thank you for being our partner and enabling us to bring Christ’s love to the most vulnerable in our society.\n\nPrayer for the Baptism of the Lord\n\nAlmighty ever-living God, who, when Christ had been baptized in the River Jordan and as the Holy Spirit descended upon him, solemnly declared him your beloved Son, grant that your children by adoption, reborn of water and the Holy Spirit, may always be well pleasing to you. Through our Lord Jesus Christ, your Son, who lives and reigns with you in the unity of the Holy Spirit, one God, for ever and ever. Amen\n\nFood Pantry\n\nMany people only donate to food pantries at holiday times. We sincerely appreciate your generosity throughout the year. Donations to our Food Pantry may include non-perishable foods: such as soups, sauces, pasta, rice, cereals, dry milk, canned foods, as well as toiletries.\n\nPlease check expiration dates before donating food. Please drop off food donations in one of the church vestibules. Please refrain from leaving donations on the porch of the rectory.\n\nParish Membership … Why is it Important?\n\nIn order for the parish to keep accurate records, please notify the parish office of any changes in your address or phone number. In order for us to testify to your ability for sponsorship in Baptism, Confirmation or witness to a Catholic marriage, it is necessary to be a registered member of this parish. To register, fill out the form below and place in the collection basket.\n\nQuick Parish Registration Request\n\nOur welcome mat is always out. If you enjoy worshipping at Our Lady of Mount Carmel Church, make us your official Parish by taking a few moments to register. You may also download a registration form on our website. All information is confidential.\n\nI wish to register as a Parishioner of OLMC.\n\nName: _______________________________________\nAddress: _____________________________________\nCity/Town: ____________________________________\nTelephone: ____________________________________\n\n☐ New Registration ☐ Change of Address\n\nStewardship\n\nWe have an obligation to share with others that which God has given us. Share your time and talents. Everyone can become involved in the life of our Parish by becoming an Altar Server, Catechist, Choir Member, Lector or Usher. By taking an active role in the liturgical life, and service of the Parish, you can have a wonderful experience. Please complete the below form, and drop it in the collection basket or call the rectory.\n\nMinistry Sign Up Form\n\nName: _______________________________________\nAddress: _____________________________________\nTown/Zip: ____________________________________\nPhone: _______________________________________\n\nI am interested in the following Ministry(ies):\n\n☐ Altar Server\n☐ Catechist\n☐ Lector\n☐ Choir\n☐ Other _____________\n\nEpiphany\n\nEpiphany, also Theophany, Denha, Little Christmas, or Three Kings’ Day, is a Christian feast day that celebrates the revelation of God incarnate as Jesus Christ. In Western Christianity, the feast commemorates principally (but not solely) the visit of the Magi to the Christ Child, and thus Jesus’ physical manifestation to the Gentiles. Moreover, the feast of the Epiphany, in some Western Christian denominations, also initiates the liturgical season of Epiphanytide. Eastern Christians, on the other hand, commemorate the baptism of Jesus in the Jordan River, seen as his manifestation to the world as the Son of God. Qasr el Yahud in the West Bank, and Al-Maghtas in Jordan, on the east bank, is considered to be the original site of the baptism of Jesus and the ministry of John the Baptist. The traditional date for the feast is January 6. Eastern Churches following the Julian calendar observe the feast on what for most countries is January 19 because of the 13-day difference today between that calendar and the generally used Gregorian calendar. In many Western Christian Churches, the eve of the feast is celebrated as Twelfth Night. The Monday after Epiphany is known as Plough Monday."}}},{"rowIdx":204794,"cells":{"text":{"kind":"string","value":"Hydrography and circulation near the crest of the East Pacific Rise between 9° and 10°N\n\nA.M. Thurnherr a,*, J.R. Ledwell b, J.W. Lavelle c, L.S. Mullineaux d\n\na Division of Ocean and Climate Physics, Lamont-Doherty Earth Observatory, Palisades, NY 10964-8000, United States\nb Department of Applied Ocean Physics and Engineering, Woods Hole Oceanographic Institution, Woods Hole, MA 02543, United States\nc NOAA/Pacific Marine Environmental Laboratory, Seattle, WA 98115, United States\nd Department of Biology, Woods Hole Oceanographic Institution, Woods Hole, MA 02543, United States\n\nARTICLE INFO\n\nArticle history:\nReceived 25 May 2010\nReceived in revised form 12 December 2010\nAccepted 25 January 2011\nAvailable online 3 March 2011\n\nKeywords:\nDeep circulation\nHydrography\nEast Pacific Rise\nMid-ocean ridge\n\nABSTRACT\n\nTopography has a strong effect on the physical oceanography over the flanks and crests of the global mid-ocean ridge system. Here, we present an analysis of the hydrography and circulation near the crest of the East Pacific Rise (EPR) between 9° and 10°N, which coincides with an integrated study site (ISS) of the RIDGE2000 program. The analysis is based primarily on survey and mooring data collected during the LADDER project, which aimed to investigate oceanographic and topographic influences on larval retention and dispersal in hydrothermal vent communities. Results indicate that the yearly averaged regional mean circulation is characterized by a westward drift of 0.5–1 cm s⁻¹ across the EPR axis and by north- and southward flows along the western and eastern upper ridge flanks, respectively. The westward drift is part of a basin-scale zonal flow that extends across most of the Pacific ocean near 10°N, whereas the meridional currents near the ridge crest are a topographic effect. In spite of considerable mesoscale variability, which dominates the regional circulation and dispersal on weekly to monthly time scales, quasi-synoptic surveys carried out during the mooring deployment and recovery cruises indicate sub-inertial circulations that are qualitatively similar to the yearly averaged flow but associated with significantly stronger velocities. Weekly averaged mooring data indicate that the anticyclonically sheared along-flank flows are associated with core speeds as high as 10 cm s⁻¹ and extend ≈10 km off axis and 200 m above the ridge-crest topography. Near the northern limit of the study region, the Lamont Seamount Chain rises from the western ridge flank and restricts along-EPR flow to five narrow passages, where peak velocities in excess of 20 cm s⁻¹ were observed. Outside the region of the ridge-crest boundary currents the density field over the EPR near 10°N is characterized by isopycnals dipping into the ridge flanks. Directly above the EPR axis the ridge-crest boundary currents give rise to an isopycnal dome. During times of strong westward cross-EPR flow isopycnal uplift over the eastern flank causes the cross-ridge density field below the doming isopycnals to be asymmetric, with higher densities over the eastern than over the western flank. The data collected during the LADDER project indicate that dispersal of hydrothermal products from the EPR ISS on long time scales is predominantly to the west, whereas mesoscale variability dominates dispersal on weekly to monthly time scales, which are particularly important in the context of larval dispersal.\n\n© 2011 Elsevier Ltd. All rights reserved.\n\n1. Introduction\n\nDespite significant advances in measurement technology and numerical modeling, regional circulation patterns in many parts of the deep ocean remain largely unknown. This is particularly true near mid-ocean ridges, where topography affects the oceanic velocity field across a wide range of scales. Some topographic effects, such as kinematic steering and blocking, affect the circulation directly. Other topographically mediated processes, such as internal waves and hydraulic transitions, result in spatially inhomogeneous diapycnal mixing, which in turn sets up horizontal density gradients that drive secondary flows. Topographic rectification of oscillatory flows constitutes yet another mechanism affecting the oceanic circulation near topography.\n\nThe physical oceanography in the vicinity of topography is important in a variety of contexts. Topographic blocking by ridges separating deep ocean basins, for example, controls the hydrographic properties of the densest bottom waters in the downstream basins and, thus, sets the stratifications in large parts of the deep ocean. On a global scale, closing the overturning circulation requires the production of dense water at high latitudes to be balanced by buoyancy gain elsewhere. Observational evidence collected during...\n\nthe last few decades indicates that, except near the sea surface, diapycnal buoyancy fluxes are elevated primarily near topography, in particular over the rough flanks of mid-ocean ridges (Polzin et al., 1997; Kunze et al., 2006). On regional scales, circulation and mixing near the crests of mid-ocean ridges largely control the initial dispersal of materials released at hydrothermal sources (e.g. German et al., 1998; Thomson et al., 2003; Jackson et al., 2010; Walter et al., 2010), including the larvae of chemosynthetic organisms, many of which are endemic to hydrothermal vent fields.\n\nGiven the distribution of hydrothermal sources along the crests of the global mid-ocean ridge system and the finite life span of invertebrate larvae there are many open questions related to how the populations of the chemosynthetic communities associated with hydrothermal vent fields can be maintained, how sites destroyed, for example, by volcanic eruptions can be re-populated, and how newly established sites can be colonized. In order to address these questions a project called LADDER (LArval Dispersal along the Deep East-Pacific Rise) was carried out to investigate oceanographic and topographic influences on larval retention and dispersal in hydrothermal vent communities on the crest of the EPR between 9° and 10°N (Mullineaux et al., 2008). Typical for fast-spreading ridges, the EPR crest in this region hosts numerous hydrothermal sources (e.g. Baker et al., 1994), which is one of the reasons that it has been designated by the US RIDGE2000 program as an Integrated Study Site (ISS) with a “bullseye” centered at 9°50′N.\n\nBefore the LADDER project was carried out, little had been known about the regional circulation near the EPR crest between 9° and 10°N. During a survey of hydrothermal plumes over the ridge crest Baker et al. (1994) found zonally asymmetric distributions of hydrothermal particle- and temperature anomalies, indicating preferentially westward cross-ridge flow in November/December 1991. Westward large-scale mean flow near the EPR crest depth (∼2500 m) in this region is consistent with the deep helium distribution in the tropical North Pacific (Lupton, 1998) and with the circulation analysis of Reid (1997) (who uses the helium data as a constraint). In addition to those indirect inferences there are also current-meter records from a few mooring deployments on the EPR crest at 9°50′N. One example is the ∼5-month record, obtained 170 m above the seabed, that was used by Marsh et al. (2001) to assess the dispersal potential of a particular hydrothermal organism. The corresponding time series of sub-inertial velocities is characterized by periodic reversals of the along-ridge flow and sustained episodes of both east- and westward across-ridge flow. The zonal record mean is 0.3 cm s⁻¹ to the west, consistent with the indirect inferences of westward large-scale mean flow across the EPR crest in this region. The corresponding meridional record-mean flow is 0.8 cm s⁻¹ to the south. In their analysis of data from two zonal hydrographic sections across the EPR, including one at 9°30′N, Thompson and Johnson (1996) found an ∼700–900 m thick layer where the deep isotherms and isopycnals dip downward into the ridge flanks. If the flow in this layer, which Thompson and Johnson (1996) attribute to a combination of enhanced diapycnal mixing and geothermal heating on the ridge flank, is geostrophically balanced, and if the meridional velocities vanish above the layer of dipping isotherms and isopycnals, the hydrographic data imply a southward boundary current along the western ridge flank with a mean velocity of a few mm s⁻¹.\n\nThe primary goal of the present study consists of an analysis of the regional circulation near the EPR crest between 9° and 10°N, based on observations collected during the LADDER project augmented with publicly available historical data (Section 2). Following a description of the large-scale context of the physical oceanography near the ridge crest (Section 3) pertinent aspects of the LADDER observations are presented in Section 4. Analysis of the LADDER results includes a detailed description of the density field over the EPR crest and upper flanks (Section 4.1), yearly averaged mean velocities recorded by instruments deployed on the LADDER mooring array (Section 4.2), weekly averaged velocities observed during a 1-month tracer-release experiment (Section 4.3), as well as details of the circulation observed near the Lamont Seamount Chain rising above the upper western EPR flank near 10°N (Section 4.4). Synthesis of the main results (Section 5) is followed by a discussion in Section 6.\n\n2. Methods\n\n2.1. Instruments and data\n\nWork carried out in the context of the LADDER project includes larval sampling using pumps and sediment traps (Mullineaux et al., in preparation), an SF₆ tracer-release experiment (Jackson et al., 2010), a one-year deployment of a mooring array, three quasi-synoptic regional surveys carried out with Conductivity–Temperature–Depth (CTD) and Lowered Acoustic Doppler Current Profiler (LADCP) instruments, as well as numerical experiments with 2- and 3-dimensional regional circulation models (McGillicuddy et al., 2010; Lavelle et al., 2010).\n\nDuring the first LADDER cruise (LADDER-1; October 30–November 15, 2006) seven physical oceanography moorings were deployed in a cross-shaped configuration extending ∼35 km from the array center on the EPR crest at 9°30′N—see Fig. 4 for mooring locations and station names. The center of the mooring array coincided with the release location of SF₆ in the LADDER tracer-dispersion experiment (Jackson et al., 2010). The three axial moorings (NA, CA and SA) and the two moorings farthest from the ridge axis (EF and WF) were each equipped with three Aanderaa RCM-11 current meters. The uppermost instruments recorded the velocities near 2450 m in the core of the hydrothermal plumes observed in this region (Baker et al., 1996; Jackson et al., 2010). The lowermost instruments on the three axial moorings were located 6 m above the seabed, near the rim depth of the shallow axial trough running along the EPR crest in this region (Fornari et al., 1998). Each axial mooring additionally had an instrument placed 24 m above the seabed. The lower two instruments on the EF and WF moorings were installed near the EPR crest depth (nominally 2550 m) and ∼60 m above the seabed. All current meters were programmed to sample the velocity field every 20 min. With the exception of the EF mooring, where the deepest instrument flooded during deployment, all current meters returned full year-long records without any indications for instrument problems.\n\nTwo additional moorings equipped with McLane Moored Profilers (MMPs) were deployed on the western ridge flank ∼10 and 25 km off axis (W1 and W3 in Fig. 4). At W1, velocity profiles were recorded every 7 h between 2300 and 2775 m (∼10 m.a.b. = meters above the bottom). Since this MMP was ballasted light, the downcasts took about twice as long to execute (∼60 min) than the upcasts (∼30 min). Inspection of the raw magnetometer data from the W1 MMP indicates that a compass problem (non-linear magnetometer response) developed after 176 days (603 good profiles). At W3, velocity profiles were recorded every 8:50 h between 2255 and 3025 m (∼10 m.a.b.). This MMP, too, was ballasted light, resulting in longer downcast- (∼80 min, initially) than upcast-times (∼50 min). After the first 2 months of deployment the downcast-times started increasing significantly as the instrument began struggling against buoyancy and after a further 2 months the termination depths of the downcasts became progressively shallower. Toward the end of the deployment the typical maximum depth of the W3 MMP profiles had decreased to ∼2800 m.\n\nDuring LADDER-1, a survey of the regional hydrography and velocity field was carried out with an SBE 911 CTD mounted on a frame together with a rosette and one or two Teledyne RDI Workhorse 300 kHz ADCPs. The CTD was equipped with sensors for pressure, temperature and conductivity. Temperature and conductivity were measured with two thermistors and two conductivity cells, respectively. The ADCPs were programmed to collect single-ping velocity “ensembles” in beam coordinates. The bin length was set to 8 m, the blanking distance to 0 m and data from the first bin were excluded from processing. In order to minimize the effects of previous-ping interference from the seabed, alternating ping intervals of 1.5 and 2 s were used. During the LADDER-1 survey, 36 full-depth profiles were collected on 15 stations in a cross-shaped pattern coinciding with the mooring array but with higher spatial resolution, in particular along the EPR crest and on the eastern ridge flank—for station locations, see Fig. 5. In order to be able to account for high-frequency variability, most of the LADDER-1 CTD/LADCP stations were occupied two or three times at different phases of the semi-diurnal tide, which accounts for 55–72% of the velocity variance on time scales shorter than 5 days in this region. (The inertial period at this latitude is ≈ 3 days.) The good agreement of vertical velocity shear of ensemble-averaged LADCP profiles collected on the ridge flanks during LADDER-1 with corresponding geostrophic estimates (Fig. 12) implies that tidal influence in the ensemble averages is significantly reduced compared to individual LADCP profiles.\n\nThe second LADDER cruise (LADDER-2; December 12, 2006–January 3, 2007) was primarily dedicated to sampling the tracer released during LADDER-1. CTD/LADCP data were collected with instruments identical to those used during LADDER-1 at all 100 tracer-sampling stations shown in Fig. 1 of Jackson et al. (2010). However, since tidal variability dominates instantaneous velocity samples in this region, and since only a few of the LADDER-2 stations were occupied multiple times (and without regard to the tidal phase) only a small subset of the LADDER-2 survey data is used here. During the third LADDER cruise (LADDER-3; November 15–December 1, 2007) the mooring array was recovered and an additional CTD/LADCP survey was carried out, again with identical instruments. About a third of the 50 LADDER-3 CTD/LADCP profiles were collected on stations occupied during LADDER-1 while most of the remainder were used to sample the velocity field and hydrography near the Lamont Seamount Chain rising above the western flank of the EPR near 10°N (for details, see Section 4.4).\n\nIn addition to the data collected during LADDER, this study makes use of hydrographic and helium isotope measurements obtained during World Ocean Circulation Experiment (WOCE) hydrographic sections (in particular the zonal P04 section along 9°30′N) in the tropical north Pacific. Furthermore, the trajectory of a METOCEAN PROVOR float, which was deployed in May 2006 on the EPR crest at 9°50′N, is also used. The float was programmed to drift at its maximum rated pressure (2000 dbar, corresponding to a depth of ≈ 1980 m) and to surface every 30 days for 18 h for data telemetry and position fixes. The float carried out 29 complete drift cycles before failing to re-surface.\n\n### 2.2. Data processing\n\nThe velocities from the Aanderaa current meters were corrected for magnetic declination. Processing of MMP velocities is significantly more complex and potentially involves corrections for heading errors, as well as for velocity bias and scale of the FSI acoustic travel-time current meters (Toole, 2001). In order to determine heading corrections, post-cruise spin tests were carried out. In the case of the W1 instrument the post-cruise test indicates sizeable heading-dependent compass errors (15° max., 9° rms) while the errors of the W3 compass were significantly smaller (< 1.5° rms). Since the W1 compass errors detected during the post-cruise spin test are likely related to the non-linear magnetometer response that developed while the instrument was in the water (Section 2.1), no compass correction was applied and only the initial portion of the W1 velocity record was used. In order to correct for velocity bias, the *in situ* method of Toole (2001) was applied. It was found that this calibration procedure has a strong effect on the velocities, changing the direction of the record-averaged mean flow recorded by the W1 instrument by up to 20° and reducing the corresponding mean velocity magnitude in the core of the along-flank boundary current (see Section 4.3) from 4.1 to 2.4 cm s⁻¹. In terms of flow direction, the calibrated velocities are clearly superior to the uncalibrated ones as indicated, for example, by histograms of the angle of flow incidence relative to the instrument (not shown). Since no laboratory calibrations of the FSI current meters were carried out the accuracy of the velocity scaling could not be verified, but comparisons of weekly averaged velocities recorded on the W3 and WF moorings (e.g. Fig. 7) suggest that MMP scale errors are small.\n\nDuring each CTD/LADCP survey the salinity calibration of the CTD was monitored with water samples analyzed on a Guildline Autosal salinometer. The accuracy of the salinity data determined from the Autosal measurements is ≤ 10⁻³ for LADDER-1 and -2, and ≤ 2 × 10⁻³ for LADDER-3. The *rms* salinity scatter on deep isopycnals during LADDER-1 is ≈ 10⁻³, as is the cruise-to-cruise salinity uncertainty between LADDER-1 and -2 (Jackson et al., 2010). Near the EPR crest, a salinity bias of 10⁻³ corresponds to a potential-density error of < 10⁻² kg m⁻³. The temperature accuracy is estimated from the mean differences between the two CTD temperature sensors; the corresponding values for the LADDER-1, -2 and -3 surveys are ≈ 5 × 10⁻⁴, 10⁻³, and 1.5 × 10⁻³ °C, respectively. Near the EPR crest, a temperature bias of 10⁻³ °C corresponds to a potential-density error of ≈ 10⁻⁴ kg m⁻³. The manufacturer-specified nominal accuracy of the CTD pressure sensor is ≈ 1 dbar.\n\nThe LADCP data collected during the three LADDER cruises were processed dozens of times with different programs and velocity-referencing constraints in the context of an investigation of LADCP velocity errors (Thurnherr, 2010). Based on comparisons with nearby current-meter measurements the *rms* errors associated with the individual velocity components of the LADDER LADCP data, processed with the LDEO software (Version IX_5) and constrained by navigational data, shipboard-ADCP and bottom-tracking, are < 3 cm s⁻¹ near the seabed and < 4 cm s⁻¹ throughout the water column. Only the data from the downward-looking ADCP are used for the LADDER-3 LADCP profiles because of inconsistencies between the ADCP data from the two heads used during that cruise (Thurnherr, 2010).\n\n### 3. Large-scale context\n\nThe study region of the LADDER project was centered on the crest of the EPR near 9°30′N. Hydrographic and tracer data were collected in 1989 along 9°30′N during a trans-Pacific cruise both known as the EPIC trans-pacific section at 10°N (Thompson and Johnson, 1996) and as WOCE P04. On the basin scale, the distribution of terrigenic helium along 9°30′N is dominated by a plume with a core depth between 2000 and 2500 m (Fig. 1, shading and light contours). The highest helium concentrations are found near the EPR crest at 104°15′W. Meridional WOCE cross-sections of the plume at 110°W (P18), 135°W (P17), 150°W\n\n(P16), 179°E (P14), 165°E (P13) and 137°E (P09) all show a helium core meridionally centered at $10 \\pm 5°N$, i.e. the plume extends almost exactly zonally westward over more than 13,000 km. Overall, the helium distribution in the deep tropical north Pacific is consistent with a source on the EPR crest and predominantly westward mean flow (Lupton, 1998). As the plume is advected to the west its core is progressively found on lighter isopycnals (dark contours in Fig. 1). This effect can be caused both by vertical shear in the mean zonal flow and by vertical gradients in the eddy-diffusive helium fluxes along the dispersal path of the plume.\n\nThe track of a float that was deployed in May 2006 over the EPR crest at 9°50′N and that drifted for 900 days near 2000 m shows predominantly westward advection, although about a third of the individual drift cycles were associated with eastward displacements (Fig. 2). During its voyage, the float carried out three anticyclonic loops, each lasting several months and associated with meridional displacements of $\\approx 100$ km, although the net meridional displacement over the float’s entire life time was only 30 km. The net zonal displacement was 640 km, which corresponds to a mean westward velocity with a speed of 0.8 cm s$^{-1}$. Thus, both the helium and float data indicate mean westward flow across the EPR crest near 9°30′N. It is noted that the high $\\delta^{3}$He observed in the Guatemala basin east of the EPR crest (Fig. 1) does not require an additional source or eastward mean flow as eddy-diffusive effects, e.g. associated with the oceanic mesoscale, can cause dispersion of passive tracers against a sufficiently weak mean flow (e.g. Speer et al., 2003).\n\n4. LADDER observations\n\n4.1. Ridge-crest hydrography\n\nTypical for hydrographic sections across mid-ocean ridges, the deep isopycnals observed during WOCE P04 dip downward into both flanks of the EPR (Fig. 1). This effect is sometimes attributed to elevated levels of diapycnal mixing over the sloping and topographically rough ridge flanks, possibly in combination with geothermal heating (e.g. Thompson and Johnson, 1996; Thurnherr and Speer, 2003). Zooming in on the EPR reveals that the hydrography near the crest is complex and associated with horizontal scales that are too small to be resolved by the WOCE station spacing (Fig. 3). The isopycnal surfaces dome upward over the ridge crest both in the WOCE P04 data and in a cross-ridge section along 9°30′N occupied during LADDER-1. During LADDER-1 this doming extended at least up to 2200 m, whereas the corresponding vertical extent is difficult...\n\nto estimate from the WOCE data because the station spacing (≈ 37 km over the crest) is larger than the width of the isopycnal dome (20–30 km in the LADDER-1 data). Beyond the doming region the isopycnals at and below crest depth dip downward into the western ridge flank in both the WOCE and LADDER-1 data. Over the eastern ridge flank the isopycnals in the WOCE data dip downward into the topography east of station 191 (i.e. outside the LADDER-1 sampling region). The LADDER-1 data, on the other hand, show the isopycnals below crest depth rising toward the west between the eastern edge of the sampling region and the ridge crest. As a result, the density stratification below crest depth on the western EPR flank close to the ridge axis was significantly weaker than the stratification on the eastern flank. This is apparent from the fact that the two deepest LADDER-1 density contours in Fig. 3 do not appear on the western flank at all. Farther down on the ridge flanks, i.e. outside the LADDER sampling region, the situation is reversed with significantly weaker stratification east of the EPR crest than in the west (WOCE-derived density contours in Figs. 1 and 3).\n\n4.2. Yearly averaged mean flow\n\nRecord-averaged velocities from the LADDER mooring array are shown in Fig. 4. The corresponding current-meter locations and MMP record depths are marked with bullets and diamonds in Fig. 3. Table 1 lists additional instrument details of the records nominally collected at 2450 m, which corresponds to the core depth of the neutrally buoyant hydrothermal plumes observed in this region (Baker et al., 1994; Jackson et al., 2010), as well as the corresponding record means with standard-error estimates derived using the method of Flierl and McWilliams (1978). As this method yields conservative estimates we consider the yearly averages marginally significant, as long as the standard-error estimates are only slightly (1–2 mm s⁻¹) larger than the corresponding means. Except for the current meters on the northern axial mooring at 9°50′N (NA) all instruments recorded mean zonal flow to the west, with record-averaged zonal speeds ranging from 0.3 to 0.7 cm s⁻¹. The meridional velocities recorded directly on the EPR axis as well as over the eastern flank indicate mean southward flow during LADDER. Over the western ridge flank, on the other hand, the record-averaged currents at W1 and WF were to the north while weak southward mean flow was recorded at W3 throughout the entire depth range where velocities were sampled during the full deployment period (≈ 2300–2800 m; Section 2.1). Comparing the record-averaged velocities at plume level to the corresponding standard errors (Table 1) indicates that the westward zonal velocities are all marginally statistically significant, whereas the apparent eastward flow at NA is not. The only plume-level meridional velocities that are (marginally) statistically significant are those at NA, EF and WF.\n\nData from the axial moorings (NA, CA and SA) all show slightly higher record-averaged speeds 20 m.a.b. than at plume level (Fig. 4), indicating bottom intensification of the low-frequency flow above the EPR crest. At 6 m.a.b., the mean velocities are ≈ 50% weaker than the corresponding velocities recorded 20 m.a.b., consistent with the effects of a turbulent bottom-boundary layer. Furthermore, the deepest velocities are associated with approximately southward directions (not shown), which likely reflects topographic steering by the shallow axial trough running along the EPR crest in this region (Fornari et al., 1998).\n\nThe largest record-averaged velocities of 2.4(± 1.0) cm s⁻¹ were observed between 2730 and 2750 m (60–80 m.a.b.) by the MMP deployed at W1 (Fig. 4). Between the upper cycling limit of this profiler (2300 m) and the velocity maximum the record-averaged speed increases monotonically with depth. Inspection of multibeam bathymetry near the W1 mooring location indicates that the flow direction in the velocity core (≈ 320° true) is parallel to the topographic contours upstream of the mooring (not shown). The maximum velocity variance associated with the sub-inertial flow at this location is oriented in the same direction, whereas the semi-diurnal tidal variance, which dominates the super-inertial variability, is oriented approximately perpendicularly along 70° true\n\nFig. 4. Record-averaged current-meter velocities from the LADDER mooring array; the 6-month W1 record is approximately half as long as all the others (Table 1). White, gray, and black arrows show velocities at plume level ($\\approx 2450$ m), crest level (20 m.a.b. on axis, $\\approx 2550$ m over the ridge flanks) and 60 m.a.b. (2745 m at W1, 2930 m at WF), respectively. The depths of the velocity records are indicated with bullets and diamonds in Fig. 3.\n\nTable 1\n\nInstrument details and record-average velocities near 2450 m obtained on the LADDER mooring array; velocity components that are considered (marginally) significantly different from zero are shown in bold.\n\n| id | Location | Rec. length (days) | Depth (m) | Instr. | Zonal velocity (cm s$^{-1}$) | Meridional velocity (cm s$^{-1}$) |\n|----|-------------------|--------------------|-----------|--------|-----------------------------|----------------------------------|\n| NA | 9 50.0'N, 104 17.4'W | 388 | 2430 | RCM-11 | 0.5(±0.9) | −0.6(±0.6) |\n| CA | 9 29.9'N, 104 14.5'W | 381 | 2440 | RCM-11 | −0.5(±0.6) | −0.4(±0.7) |\n| SA | 9 09.0'N, 104 12.5'W | 366 | 2440 | RCM-11 | −0.6(±0.7) | −0.6(±0.9) |\n| EF | 9 33.1'N, 103 52.3'W | 392 | 2460 | RCM-11 | −0.6(±0.6) | −0.5(±0.4) |\n| WF | 9 26.6'N, 104 32.3'W | 384 | 2480 | RCM-11 | −0.3(±0.4) | 0.4(±0.4) |\n| W1 | 9 29.8'N, 104 19.8'W | 176 | 2450 | MMP | −0.7(±0.9) | 0.4(±0.9) |\n| W3 | 9 28.2'N, 104 29.0'W | 333 | 2450 | MMP | −0.5(±0.4) | −0.1(±0.6) |\n\n(not shown). Therefore, 320° true is taken as the local along-flank direction at the W1 mooring site. (The mean along-flank velocity profile shown in Fig. 4 of McGillicuddy et al. (2010) is also oriented along 320° true.)\n\n4.3. Circulation during the tracer-release experiment\n\nBetween mid-November 2006 and the beginning of January 2007 a tracer-dispersion experiment was carried out in the LADDER study region (Jackson et al., 2010). The LADCP data from the tracer-release cruise (LADDER-1; October 30–November 15) reveal a coherent mean circulation characterized by a broad westward drift of several cm s$^{-1}$ across the EPR and predominantly southward flow of similar magnitude along the eastern ridge flank at and below the core depth of the regional hydrothermal plumes (Fig. 5). On the western ridge flank at 2000 m, i.e. 500–600 m above the EPR crest, the meridional component of the LADDER-1 LADCP velocities was consistently to the north (left panel). At plume level (right panel), northward flow over the western ridge flank was restricted to the first station west of the ridge crest (W1). A cross-ridge section of velocity constructed from the LADDER-1 profiles at 9°30′N indicates that the westward flow across the EPR crest generally increased upward and extended all the way to the sea surface (Fig. 6). The meridional velocities, on the other hand, were more variable with the comparatively strong along-flank flows restricted to the steep (rise/run $\\approx 0.03$) inner flanks of the EPR (roughly between stations W2 and E2).\n\nOn November 12, 2006, shortly before the end of the LADDER-1 cruise, 3 kg of SF$_6$ was injected a few meters above the seabed on the EPR crest at 9°30′N (Jackson et al., 2010). Approximately a\n\nFig. 5. LADCP-derived velocities observed during LADDER-1. Each arrow represents an average over a 100 m-thick layer using the data from all profiles collected at a particular station. Except for the northern- and southernmost locations, each station was occupied two or three times at different phases of the semi-diurnal tide. Left panel: Flow at 2000 m. Right panel: Flow at 2450 m near the core depth of the regional hydrothermal plumes.\n\nFig. 6. Temporally averaged LADCP-velocity sections and potential-density contours across the EPR observed during LADDER-1. Each station, labeled above the figure panels, was occupied two or three times at different phases of the semi-diurnal tide. The potential-density contours are also shown in Fig. 3. Red/blue colors indicate positive/negative velocity components; unshaded regions indicate speeds < 2 cm s\\(^{-1}\\), which is the approximate magnitude of the ensemble-average velocity uncertainties at each station. Left panel: Zonal velocities. Right panel: Meridional velocities.\n\nmonth after the tracer release the distribution of SF\\(_6\\) was sampled during the 3-week-long LADDER-2 cruise (December 15–January 3). In the first four weeks after tracer injection the sub-inertial flow at the tracer-release location in the center of the mooring array (CA) at 2450 m gradually turned clockwise from approximately northwestward while first increasing and then decreasing in strength (Fig. 7, left panel). A similar evolution of the plume-level sub-inertial velocities was observed 10 km off axis over the western\n\nflank at 9°30′N (W1), as well as on-axis at 9°50′N (NA) and at 9°10′N (SA). Clockwise turning of the sub-inertial currents at 2450 m was also observed at 9°30′N 30–35 km off axis on the western flank (W3 and WF) although the velocities there were significantly weaker and generally dominated by the westward zonal component. The plume-level velocities recorded on the eastern ridge flank 35 km off axis (EF), on the other hand, exhibited neither the consistent clockwise turning nor the velocity maximum between November 26 and December 2. During the following three weeks (December 10–December 30), which coincide approximately with the tracer-sampling cruise (LADDER-2), the regional flow field at 2450 m was markedly different with predominantly southward flow recorded over the entire mooring array and comparatively small temporal variability (Fig. 7, right panel).\n\nWeekly averaged along- and cross-flank velocity profiles observed by the W1 MMP during the tracer-release experiment indicate consistently northward along-flank flow during the first 4 weeks, followed by 3 weeks of consistently southward flow (Fig. 8). During all 7 weeks the northward component of the along-flank flow generally increased with increasing depth between 2400 and 2700 m. In contrast to the along-flank velocities, the weekly averaged cross-flank velocities at W1 during the tracer-release experiment were characterized by comparatively small temporal variability and little vertical structure.\n\nAs part of the LADDER project, a high-resolution numerical circulation model was constructed to simulate the regional velocity field during the tracer-release experiment (Lavelle et al., 2010). While the model forcing was derived from velocity measurements at CA alone, the model has significant skill in simulating the flow in the entire study region, as is apparent from a comparison of our Fig. 8 with Fig. 13 of Lavelle et al. (2010), and by the generally good agreement between the simulated and observed tracer distributions (Lavelle et al., 2010). Therefore, the model can be used to put the LADDER measurements into context. For example, the model simulation indicates that the observed differences in vertical structure of the northward along-flank flow at W1 between weeks 1/2 and 3/4 (Fig. 8) primarily reflect a broadening of the along-flank flow during the first half of the tracer experiment (Fig. 12 of Lavelle et al., 2010), rather than a fundamental change in flow structure as suggested by the observations alone.\n\n4.4. Flow across the Lamont Seamount Chain\n\nThe topography near the northern end of the EPR segment that constitutes the LADDER study region is dominated by the Lamont Seamount Chain, which rises above the western ridge flank (Fig. 9). With individual peaks reaching depths as shallow as 1650 m the seamounts extend nearly 1000 m above the EPR crest. Due to their close spacing the Lamont Seamounts restrict meridional flow near 10°N above the western flank of the EPR below ≈ 2000 m to five narrow (≈ 2–5 km) passages with sill depths between 2500 and 2800 m (P1–P5).\n\nThe flow across passage P1 between the EPR crest and the easternmost of the Lamont seamounts was sampled with LADCPs during each of the three LADDER cruises (Fig. 10). Below ≈ 2000 m, which coincides with the peak depth of the easternmost seamount, all three velocity profiles obtained during LADDER-1 and -3 are characterized by a 100–200 m thick layer of southward flow near the seabed underlying a layer of variable but weak flow above. (The arrows in Fig. 9 show the velocities at 2450 m, i.e. above the layer of southward flow.) This contrasts with the situation encountered during the tracer-sampling cruise (LADDER-2) when three velocity profiles collected in passage P1 all show consistently southward flow below 2000 m, with the velocities decreasing from a maximum of ≈ 10 cm s⁻¹ between 2300 and 2500 m to zero near the seabed. Results from the regional circulation model indicate weak and variable mean flow below 2000 m across P1 during LADDER-1 and strong southward flow during LADDER-2 (red curve in Fig. 17B of Lavelle et al., 2010, where “Period 1” corresponds to LADDER-1 and “Period 3” to\n\nLADDER-2), further increasing our confidence in the model simulation.\n\nDuring LADDER-3 the velocities in the remaining deep passages between the seamounts (P2–P5) were also sampled with a LADCP system (Figs. 9 and 11). Below 2000 m the observed flow across the seamount chain was predominantly to the north (northeast across P4) with mean velocities between 0.7 cm s\\(^{-1}\\) (P1) and 6.0 cm s\\(^{-1}\\) (P4). In the passages P2–P4 the north/eastward flow across the seamount chain observed during LADDER-3 was bottom intensified and associated with peak speeds between \\( \\approx 10 \\) and 25 cm s\\(^{-1}\\). The velocity profiles collected in the passages between the seamounts during LADDER-3 are associated with large temporal variability (Figs. 10(right) and 11). Of particular interest are the four velocity profiles from passage P4, which are similar above 1500 m or so but cluster into two groups characterized by velocity differences of \\( \\approx 10 \\) cm s\\(^{-1}\\) below that depth (Fig. 11). The LADDER current-meter data indicate that the temporal variability in the semi-diurnal band accounts for between 55% and 72% of the variance on time scales shorter than 5 days in this region (not shown). Therefore, it seems reasonable to hypothesize that the temporal variability observed during LADDER-3 in the passages between the seamounts was also dominated by the M\\(_2\\) tide. This hypothesis is consistent with the timing of the P4 profiles, as the M\\(_2\\) phase differences between the similar profiles (\\(29 \\pm 2^\\circ\\)) are considerably smaller than the corresponding phase differences between the dissimilar profiles (\\(81 \\pm 29^\\circ\\)). Even more striking in this respect are the LADCP data collected in the P1 passage during LADDER-3 (Fig. 10(right)): While both meridional velocity profiles show the same thin layer of southward flow near the seabed, they resemble mirror images of each other above that layer. As the second profile was taken 2.4 semi-diurnal tidal periods after...\n\nthe first one (155° $M_2$ phase difference), the velocity differences are most likely dominated by the local internal $M_2$ tide, which appears similar to a standing wave with an amplitude of $\\approx 10 \\text{ cm s}^{-1}$. Fortuitously, two of the repeat profiles collected in passage P1 during LADDER-2 (Fig. 10(middle)) are also characterized by an $M_2$ phase difference of 155°, but the velocity differences are both qualitatively and quantitatively very different from those observed during LADDER-3. From this we infer that the internal tide in this region is associated with significant temporal variability.\n\n5. Synthesis of observations\n\nThe sub-inertial circulation near the EPR crest between 9° and 10°N observed during LADDER-1 was characterized by westward flow of several cm s$^{-1}$ across the ridge axis and similarly strong, narrow northward- and southward-flowing “ridge-crest boundary currents” along the western and eastern flanks, respectively. While these along-flank flows extended only a few hundred meters above the crest depth, the westward currents spanned the entire water column. The yearly averaged velocities from the LADDER mooring array show qualitatively similar patterns at and below the depth of the regional hydrothermal plumes (the velocities at higher levels were not sampled by the moored instruments), although the yearly averaged speeds are significantly smaller than those observed during LADDER-1. Additionally, the LADDER-3 LADCP data are also characterized by mean westward flow between the EPR crest and the sea surface, and by northward flow along the western EPR flank close to the crest (not shown), but sampling on the eastern flank was insufficient to determine the direction and strength of the flow there. The thin, bottom-intensified layer of southward flow observed in the saddle between the EPR crest and the easternmost of the Lamont seamounts both during LADDER-1 and -3 adds support to the inference that the circulation during those two surveys was similar. In contrast, the regional circulation during LADDER-2 was neither characterized by westward cross-ridge flow, nor by anticyclonically sheared ridge-crest boundary currents but, rather, by mean southward flow across the entire LADDER current-meter array.\n\nAway from the Lamont Seamount Chain the horizontal density gradients near the EPR crest observed during LADDER were dominated by the cross-ridge component. Centered directly over the crest there was a layer of anomalously high density extending 10–15 km off axis over both flanks and a few hundred meters above the topography. If a layer-of-no-meridional-motion is assumed farther up in the water column the horizontal density gradients associated with the isopycnal dome over the EPR crest is consistent with anticyclonically sheared meridional flows over the upper ridge flanks. Additionally, the regions of the steepest isopycnal slopes associated with the doming coincide with the cores of the along-flank boundary currents observed during LADDER-1, suggesting that the isopycnal doming is the hydrographic expression of the ridge-crest boundary currents. This inference is consistent with the agreement between the geostrophic vertical shear in the boundary-current cores and the corresponding vertical shear of the mean LADCP-derived along-flank flows observed during LADDER-1 (Fig. 12).\n\n6. Discussion\n\nThe basin-scale helium distribution in the tropical North Pacific and the float trajectory shown in Fig. 2 indicate that the westward year-long zonal flow recorded by the moored instruments of the LADDER array is part of the large-scale circulation, which is characterized by westward mean flow near 10°N extending across most of the tropical North Pacific. Whether the westward cross-ridge velocities observed during the LADDER-1 and -3 surveys are related to that large-scale circulation or whether they reflect mesoscale processes is not clear from our analysis. The cross-ridge asymmetry of the density field below the isopycnal dome observed during LADDER-1 is likely related to the westward sub-inertial flow across the EPR crest at that time. It is commonly observed in stratified flows that isopycnals shoal upstream of topographic obstacles (e.g. Kinder and Bryden, 1990). Whether a particular isopycnal is lifted sufficiently to clear the obstacle or whether the obstacle blocks flow on that isopycnal depends on whether the approaching flow has sufficient kinetic energy to provide the potential-energy increase required for the uplift. For uniformly stratified, steady, rotating flow across a Gaussian ridge, uplift is possible when $N\\Delta h/u \\gtrsim 1.5$, where $N$ and $u$ are the upstream buoyancy frequency and velocity, respectively, and $\\Delta h$ is the required vertical uplift (Pierrehumbert and Wyman, 1985). Using representative values from LADDER-1 ($u \\approx 2–3$ cm s$^{-1}$, $N \\approx 4 \\times 10^{-4}$ s$^{-1}$) $\\Delta h \\approx 100$ m, which is consistent with the isopycnal uplift observed over the eastern EPR flank during LADDER-1 (Figs. 3 and 6). Regardless of what causes the isopycnal uplift over the eastern ridge flank, the corresponding cross-flank density gradients are expected to be geostrophically balanced by vertical shear in the along-flank flow, which provides a plausible explanation for the observation that the eastern-flank southward ridge-crest boundary current observed during LADDER-1 was stronger and broader than the corresponding northward flow along the western flank.\n\nWhile a detailed analysis of the dynamics of the ridge-crest boundary currents, which extend no more than 20 km off the EPR axis and 100–200 m above the ridge-crest depth, is beyond the scope of our paper, we note that the inviscid, linear, hydrostatic, 2-layer, Boussinesq model of temporally variable flow across an infinitely long ridge of Allen and Thomson (1993) does not predict any mean crest-parallel currents. On the other hand, ridge-crest boundary currents that are qualitatively and quantitatively very similar to the LADDER observations are reproduced by the 2-D numerical model of McGillicuddy et al. (2010) and by the 3-D model of Lavelle et al. (2010), both of which include friction, mixing and non-linear terms in the equations of motion. Since the low-frequency forcing in the model of McGillicuddy et al. (2010) is nearly zero, we conclude that the ridge-crest boundary currents result from topographic rectification of temporally varying forcing, and that their dynamics depend on friction, mixing and/or advection of momentum.\n\nThe LADDER observations and model simulations of anticyclonically sheared along-flank boundary currents near the EPR crest are remarkably similar to observations from the Juan de Fuca Ridge near 45°N (Cannon et al., 1991; Cannon and Pashinski, 1997; Helfrich et al., 1998). In that region, too, there are anticyclonically sheared boundary currents associated with mean speeds of several cm s$^{-1}$ a few km from the ridge crest and limited to off-axial distances of less than 25 km (Cannon and Pashinski, 1997). While the claim of Helfrich et al. (1998) that the along-ridge flows are strongest at the depth of the regional neutrally buoyant hydrothermal plumes is apparently inconsistent with the LADDER observations and model results it is noted that the current meters used by Helfrich et al. (1998) neither sampled the velocities over the ridge flanks below crest level (where the velocities in the boundary currents on the EPR are largest) nor laterally bracketed the velocity maxima on the ridge flanks (their Fig. 2). This implies that the locations of the along-flank velocity maxima are not well constrained by the data of Helfrich et al. (1998).\n\nNear the northern end of the EPR segment studied here the Lamont Seamount Chain topographically constrains the velocity field, in particular the northward boundary current flowing along the western ridge flank. As a result, the largest instantaneous velocities (up to 25 cm s$^{-1}$) were observed in the narrow passages between the seamounts. Whereas the LADDER instantaneous velocity measurements everywhere else are dominated by high-frequency (primarily tidal) variability, the data suggest that the direction of flow through the deep passages between the Lamont Seamounts varies on longer time scales and may be related to the regional mesoscale circulation. In addition to large mean velocities and significant vertical shear, the flow in the seamount passages is also characterized by high-vertical-mode internal tides with amplitudes on the order of 10 cm s$^{-1}$. Both these observations suggest that diapycnal mixing in the seamount passages may be elevated.\n\nThe weekly averaged current-meter data presented in Section 4.3 indicate a high degree of coherence of the sub-inertial circulation above the EPR during the LADDER tracer-release experiment across most of the study region. Notably, however, the flow recorded only\n\n≈ 35 km off axis over the eastern ridge flank shows little coherence with the velocities recorded by the remaining instruments. This suggests that the circulation transition between LADDER-1 and -2 and, hence, the southward flow observed during LADDER-2, is not simply caused by the passage of a mesoscale eddy, as this would be expected to affect all current-meter records. Inspection of all weekly averaged velocity maps indicates that the sub-inertial circulation is highly variable and, at least some of the time, associated with significant inhomogeneities over small horizontal scales. This implies that dispersal trajectories derived from single-point current-meter records in this region are unlikely to be accurate, as they implicitly assume that the velocity field is horizontally homogeneous over the region of dispersion (> 150 km along axis and > 50 km off axis in case of the calculations of Marsh et al., 2001).\n\nThe WOCE P04 hydrographic section occupied in 1989 indicates that, away from the immediate vicinity of the EPR axis, the isopycnals dip downward into the topography over the ridge flanks, which extend more than 2800 km west and 800 km east of the ridge crest. Isopycnals and isotherms dipping downward over ridge flanks are commonly observed in hydrographic sections crossing mid-ocean ridges (e.g. Thompson and Johnson, 1996; Thurnherr and Speer, 2003). While it is tempting to ascribe these observations to the effects of bottom-enhanced diapycnal mixing over the ridge flanks, possibly in conjunction with geothermal heating, the vertical scales of the observed layers where the isopycnals dip into the ridge flanks are too large to be consistent with diffusive boundary layers, such as the ones described by Wunsch (1970) and Phillips (1970), which are associated with vertical scales of no more than a few 10 s of meter (Thurnherr and Speer, 2003). In order to reproduce the observed vertical scale of the layer of dipping isotherms over the western flank of the EPR with a numerical model, Thompson and Johnson (1996) had to postulate that water parcels remain within the region of enhanced ridge-flank mixing for 30 years, which is clearly inconsistent with the sub-inertial circulation observed during LADDER. The observation that the deep isopycnals during WOCE P04 sloped downward toward the east not just over the western flank of the EPR but also over the relatively flat abyssal plain between 200° and 230°E (Fig. 1) implies that the processes causing the thick layers of dipping isopycnals and isotherms over the flanks of mid-ocean ridges are not yet fully understood.\n\nAcknowledgments\n\nCo-funding of the LADDER project by the biological and physical oceanography divisions of the National Science Foundation under Grants OCE-0425361 and OCE-0424953 is gratefully acknowledged, as is support of J.W. Lavelle by NOAA's Pacific Marine Environmental Laboratory and by the NOAA Vents Program. In addition to the co-authors of this study and the very capable and helpful officers and crew of the R/V Atlantis II, collection and calibration of the LADDER PO data involved several students (A. Guan, F. Terenzi, A. Kohli, X. Liang, J. Stewart), two post-doctoral researchers (A. Ruiz Angulo, R. Jackson), as well as a mooring group from WHOI (S. Worrollow, B. Hogue, P. Fraser). Without the excellent data collected during the WOCE P04 cruise in 1989 it would not have been possible to put the LADDER data into a wider context. M. Visbeck donated the neutrally buoyant float deployed on the EPR crest in 2006.\n\nReferences\n\nAllen, S.E., Thomson, R.E., 1993. Bottom-trapped subinertial motions over mid-ocean ridges in a stratified rotating fluid. J. Phys. Oceanogr. 23, 566–581.\n\nBaker, E.T., Chen, Y.L., Morgan, J.P., 1996. The relationship between near-axis hydrothermal cooling and the spreading rate of mid-ocean ridges. Earth Planet. Sci. Lett. 142, 137–147.\n\nBaker, E.T., Feely, R.A., Mottl, M.J., Sansone, F.T., Wheat, C.G., Resing, J.A., 1994. Hydrothermal plumes along the East Pacific Rise, 8°40′N to 11°50′N: plume distribution and relationship to the apparent magmatic budget. Earth Planet. Sci. Lett. 128, 1–17.\n\nCannon, G.A., Pashinski, D.J., Lemon, M.R., 1991. Mid-depth flow near hydrothermal venting sites on the southern Juan de Fuca Ridge. J. Geophys. Res. 96, 12815–12831.\n\nCannon, G.A., Pashinski, D.J., 1997. Variations in mean currents affecting hydrothermal plumes on the Juan de Fuca Ridge. J. Geophys. Res. 102, 24965–24976.\n\nClarke, W.B., Feely, R.A., Craig, H., 1996. Excess $^{3}He$ in the sea: evidence for terrestrial primordial helium. Earth Planet. Sci. Lett. 142, 213–220.\n\nFlierl, G.R., McWilliams, J.C., 1978. On the sampling requirements for measuring moments of eddy variability. J. Mar. Res. 35, 797–820.\n\nFornari, D.J., Haymon, R.M., Perfitt, M.R., Gregg, T.K.P., Edwards, M.H., 1998. Axial summit trough of the East Pacific Rise 9°–10 N: geological characteristics and evolution of the axial zone on fast spreading mid-ocean ridges. J. Geophys. Res. 103, 9827–9855.\n\nGerman, C.R., Richards, K.J., Rudnicki, M.D., Lam, M.M., Charlou, J.L. The FLAME Scientific Party, 1998. Topographic control of a dispersing hydrothermal plume. Earth Planet. Sci. Lett. 156, 267–273.\n\nHelfrich, K.R., Johnson, C.A., Cannon, G.A., Harrington, S.A., Pashinski, D.J., 1998. Mean hydrographic and velocity sections near Pipe Organ vent at Juan de Fuca Ridge. J. Geophys. Res. Lett. 25, 1737–1740.\n\nJackson, P.R., Ledwell, J.R., Thurnherr, A.M., 2010. Dispersion of a tracer on the East Pacific Rise (9° N to 10° N), including the influence of hydrothermal plumes. Deep-Sea Res. I 57, 37–52.\n\nKinder, T.H., Bryden, H.L., 1990. Aspiration of deep waters through straits. In: Pratt, L.J. (Ed.), The Physical Oceanography of Sea Straits. Kluwer Academy, Norwell, MA, pp. 295–319.\n\nKunze, E., Firing, E., Hunmann, J.M., Chereskin, T.K., Thurnherr, A.M., 2006. Global abyssal mixing inferred from lowered ADCP shear and CTD strain profiles. J. Phys. Oceanogr. 36, 1553–1576.\n\nLavelle, J.W., Mullineaux, L.S., Thurnherr, A.M., Ledwell, J.R., McGillivuddy, D.J., 2010. Deep ocean circulation and transport where the East Pacific Rise at 9–10 N meets the Lamont Seamount chain. J. Geophys. Res. Oceans 115, C12073. doi:10.1029/2010JC006426.\n\nLupton, J., 1998. Hydrothermal helium plumes in the Pacific Ocean. J. Geophys. Res. 103, 15853–15868.\n\nMacdonald, K.C., Fox, P.J., Miller, S., Carbotte, S., Elsen, M.H., Fornari, M., Perram, J.L., Pockalny, R., Scheirer, D., Tighe, S., Welland, C., Wilson, D., 1992. The East Pacific Rise and its flanks 8–8° N: History of segmentation, propagation and spreading direction based on SeaMARC II and Sea Beam studies. Marine Geophysical Researches 14, 299–344.\n\nMarsh, A.C., Munnecke, L.S., Young, C.M., Manahan, D.T., 2001. Larval dispersal potential of the tubeworm Riftia pachyptila at deep-sea hydrothermal vents. Nature 411, 77–80.\n\nMcGillicuddy, D.J., Lavelle, J.W., Thurnherr, A.M., Kosyniev, V.K., Mullineaux, L.S., 2010. Larval dispersion along an axially symmetric mid-ocean ridge. Deep-Sea Res. I 57 (7), 880–892.\n\nMullineaux, L.S., et al. Deep-Sea Res, in preparation.\n\nMullineaux, L.S., Thurnherr, A.M., Ledwell, J.R., McGillicuddy, D.J., Lavelle, J.W., 2008. Larval dispersal on the deep East Pacific Rise. .\n\nPhillips, O.M., 1970. On flows induced by diffusion in a stably stratified fluid. Deep-Sea Res. 17, 435–443.\n\nPierrehumbert, R.T., Wyman, B., 1985. Upstream effects of mesoscale mountains. J. Atmos. Sci. 42, 977–1003.\n\nPolzin, K.L., Toole, J.M., Ledwell, J.R., Schmitt, R.W., 1997. Spatial variability of turbulent mixing in the abyssal ocean. Science 276, 93–96.\n\nReid, J.L., 1997. On the total geostrophic circulation of the Pacific Ocean: flow patterns, tracers, and transports. Prog. Oceanogr. 39, 263–352.\n\nSpeer, K.G., Maltrud, M.E., Thurnherr, A.M., 2003. A global view of dispersion above the mid-ocean ridge. In: Halbach, P.E., Tunnicliffe, V., Hein, J.R. (Eds.), Energy and Mass Transfer in Marine Hydrothermal Systems. Number 89 in Dahlem Workshop Reports. Dahlem University Press, Berlin, pp. 287–302.\n\nThompson, R.E., Johnson, G.C., 1996. Abyssal currents generated by diffusion and geothermal heating over rises. Deep-Sea Res. 43, 193–211.\n\nThomson, R.E., Mihaly, S.F., Rabinovich, A.B., McDuff, R.E., Veirs, S.R., Stahr, F.R., 2003. Constrained circulation at endeavour ridge facilitates colonization by vent larvae. Nature 424, 545–549.\n\nThurnherr, A.M., Speer, K.G., 2003. Boundary mixing and topographic blocking on the Mid-Atlantic Ridge in the South Atlantic. J. Phys. Oceanogr. 33, 848–862.\n\nThurnherr, A.M., 2010. A practical assessment of uncertainties in full-depth velocity profiles obtained with Teledyne/RDI Workhorse Acoustic Doppler Current Profiler. J. Atmos Oceanic Technol. 27, 1215–1227.\n\nToole, J.M., McLane, L., 2000. Moored profiler data reduction and processing procedures. WHOI Technical Report (Nov. 2000 version).\n\nWalter, M., Mertens, C., Stöber, U., German, C.R., Voegler, D., Sültenfuß, J., Rhein, M., Melchert, B., Baker, E.T., 2010. Rapid dispersal of a hydrothermal plume by turbulent mixing. Deep-Sea Res. I 57, 931–945.\n\nWunsch, C., 1970. On oceanic boundary mixing. Deep-Sea Res. 17, 293–301."}}},{"rowIdx":204795,"cells":{"text":{"kind":"string","value":"STUDIO SOUND\nAND BROADCAST ENGINEERING\n\nEQUALISERS\nMASTERING\n\nDesigned to give your studio an unfair advantage.\n\nAll top studios need an edge.\nLike the revolutionary Saturn multitrack with 'Total Remote' control.\nThe most advanced multitrack of its kind today, allying the new purity of analogue audio to the precision of digital control.\nSimilarly, unrivalled ergonomics and sonic transparency place the TS24 console in a class of its own.\nBoth are designed to give the exceptional operating flexibility that comes as standard from Soundcraft.\nSaturn. Total Remote. And the TS24. Classic technology, created for music.\nFor further information, contact us today.\n\nSoundcraft\nSTUDIO SERIES\n\nSoundcraft Electronics Ltd, Unit 2, Borehamwood Ind. Park, Rowley Lane, Borehamwood, Herts WD6 5PZ, England. Tel: 01-207 5050. Tlx: 21198 (SCRAFTG). Fax: 01-207 0194.\nSoundcraft USA (213) 453 4591. Soundcraft Canada (514) 685 1610. Soundcraft Japan (03) 341 6201.\n\nREGULARS\n\n5 Editorial: Carl A. Snape speculates on the role of the recording engineer\n\n14 Diary: TV and recording consultancy—K-Tek purchases M&A—Teac DASH in—Pop Music Recording Diploma—IBC Brighton—Literature received—AES London meeting—Plug makers take note—in brief—Stolen property—Contracts—WDR Neve DSP now in use—Agencies—Address changes—People—The role of the programmer in today's studio—Syco and Fairlight—Music video payments issue—Oral History Society opposes tape levy—Contracts—IOA at Salford University—Awards for Philips scientists—People—Forthcoming events—Glossary\n\n26 New products: Daturr shielded racks—Optex Amsync audio system—Mitsubishi video interface—Soundtracs FM mixer—Patchprints—Portasol soldering iron—Toa KY condenser mic—MS-Audiotron MCA Multimix—in brief—Rush outboard EQ—JBL 6215 amplifier—Adams-Smith controller—Ibanez SDR1000 reverb—Nexo PCLine speaker systems\n\n32 Music page: Greengate DS:3 and DS:4—360 Systems MIDI Bass—C-Lab Supertrack—Beetle accessories. By Mark Jenkins\n\n50 Studiofile: Sierra Recordings, Athens—Sirocco, Kilmarnock—Fairview, Hull\n\n60 Business: CD pressing capacity—Less hiss more coverage. By Barry Fox\n\nFEATURE\n\n48 In perspective: US columnist Martin Polon comments on changes surrounding illegal copying\n\nSPECIAL FEATURES\n\n36 Digital Mastering Tape One: Bill Foster talks to Janet Angus about the first fully digital recording facility\n\n42 Equalisers: A brief look at equalisers introduced last year\n\n44 Mastering: New disc cutting equipment and the changing role of the disc mastering facility\n\nREVIEWS\n\n64 JVC VP-900: Hugh Ford reviews this Digital Audio Mastering System\n\n72 Rane RE27 graphic equaliser: A technical evaluation by Hugh Ford\n\n78 QuPlay QP1: A user report on a programmable drop-in and drop-out unit by Patrick Stapley\n\nEDITORIAL\n\nEditor:\nKeith Spencer-Allen\n\nDeputy Editor:\nCarl Anthony Snape\n\nProduction Editor:\nAnn Horan\n\nProduction Assistant:\nBeverley Hudec\n\nConsultant:\nHugh Ford\n\nUS Commentator:\nMartin Polon\n\nSecretary:\nCarrie Love\n\nADVERTISEMENTS\n\nSales Manager:\nMark Walsh\n\nSales:\nAdrian Tippin\n\nSecretary:\nMandy Paul\n\nProduction Manager:\nJacky Thompson\n\nJapan and Far East Agent:\nMedia Sales Japan Inc, Tamuracho Bldg No.4, Shimbashi Minato-Ku Tokyo, Japan.\n\nUSA Agent: Joe Statuto, Rt 1, Box 40A, Montague, TX 76251, USA. Tel: (817) 894-6923.\n\nCOMMERCIAL MANAGER\nPhil Guy\n\nEditorial and advertising offices:\nLINK HOUSE, DINGWALL AVENUE, CROYDON CR9 2TA, GREAT BRITAIN\nPhone: 01-686 2599\nInternational: +44 1 686 2599\nTelex: 947709\nE-mail: 78-DGS1071\nIMC: STUDIO SOUND—UK\nFax: 01-760 0973\n© Link House Publications PLC 1986. All rights reserved.\n\nA LINK HOUSE PUBLICATION\n\nPublisher and consultant to APRS for Studio Sound's Producer's Guide to APRS Members 1984/85\n\nAugust 1986 Number 8\nVolume 28 ISSN 0133-5944\n\nIf it's a demo or a digital album\n\nMUSIC LAB HIRE\nleading the way\n\n76 EVERSHOLT STREET, LONDON NW1 1BY TEL 01-387 9356 24 HRS\n\nThe mix they couldn’t fix\n\nIt’s interesting to speculate on just where precisely the recording engineer’s responsibilities finish these days. Most engineers and studio owners would no doubt say with the satisfactory completion of the master tape and therein lies the rub. Just what precisely is a satisfactory master tape? Is it simply the take that the producer is happiest with, or does the recording engineer have a responsibility beyond that? The master may be the definitive statement as far as the session is concerned but that doesn’t always mean that it will transfer satisfactorily to tape, disc or CD.\n\nIn the early days of recording, recording engineers were all too familiar with the problems of tape to disc transfer: they had to be for in many cases it would be they who cut the acetates for the artists, publisher and record companies. With the coming of the compact cassette the need for recording engineers to be adept at disc cutting has all but disappeared. In many ways this is a great pity because a year or so working in a disc cutting suite would almost certainly teach a novice engineer more about good and bad recordings than any other form of training. In the course of a few weeks, the average disc cutting engineer is exposed to an unbelievable variety of master tapes and in a short period of time will quickly develop an intuitive feel for what types of recordings transfer well and which cause problems.\n\nNowadays the role of the disc cutting engineer has been extended. In the early days with few independent recording studios the major record company studios worked closely with the disc cutting engineer. In a lot of cases all that was required was a straight ‘one to one’ transfer—a precise (or as near as possible) duplication of the original master tape on disc. Then with the coming of the multitrack machine and the ‘fix it in the mix’ syndrome things started to change and the typical cutting room moved into the area of audio sweetening or post-production.\n\nNow I’m not a firm believer in the idea that thousands of engineers across the world are forever saying they will fix it in the mix. There are occasions, however, when things end up on the multitrack that shouldn’t have. Things also finish up on the master tape that shouldn’t have and there is many a disc cutting engineer who will tell you tales of desperate producers trying to salvage something usable from a particularly fraught mixing session. This is life. What is not so funny are the master tapes that on the surface may seem okay but for a whole host of reasons won’t necessarily transfer well (or even at all) to vinyl without at least some compromise either in level or frequency response or stereo integrity.\n\nPhase is and always will be a problem simply because of the electro-geometric relationship of the cutting process and now with the proliferation of keyboard instruments the thought of what a random 20 Hz out of phase signal could do to the geometry of the groove is enough to make the average disc cutter’s toes curl. The same applies to high levels of extended high frequencies. They may sound great on the monitors but they will inevitably cause problems later on at the disc cutting and/or manufacturing stage.\n\nWith perhaps eight or nine synths all chained together the chances of finding something out of phase could be quite high. Especially if the equipment has been connected together with just any likely looking lead that appeared to work. Even small amounts of out of phase signals can diffuse the stereo image and the accumulative effects through equalisers, op-amps, azimuth settings, replay amplifiers and crossovers will undoubtedly take their toll on the sound in the control room and the final replay of the disc. Keeping the phase as coherent as possible right from the start would seem the best form of defence.\n\nPerhaps there is even a reasonable case for fitting a post EQ ‘phase trim’ pot on each input channel during recording and remix to ensure that the sound stays as coherent as possible then at lease any subsequent degradation and likely problems for the disc cutting engineer would tend to have; overall, a far less dramatic effect and the mix they couldn’t fix may well, for some producers, become a thing of the past.\n\nAPRS\n\nCOURSE FOR STUDIO ENGINEERS\nTHE NEXT COURSE IN THE SERIES WILL BE HELD\nSEPTEMBER 5-12 1986\nUNIVERSITY OF SURREY\n\nThis highly-successful series is designed for sound engineers, artist engineers, managers, directors and other personnel involved in the recording of sound for records, radio, television, theatre, video, film and educational purposes.\n\nThe Course includes lectures on each link in the chain of operations, Microphone to Finished Product, to record sound for:\nProfessional Recording Studios · Radio\nTelevision · Video\nusing a large range of modern equipment assembled especially for this Course + workshops.\n\nProspectus from:\n\nAPRS\n23 Chestnut Avenue,\nChorleywood, Herts., U.K.\nTelephone: 0923 772907\n\nPA-VS 01-540 2164\nExpress studio equipment rental service\n\nDIGITAL RECORDERS\nSYNCHRONISERS\nDRUM COMPUTERS\nKEYBOARDS\n\nDIGITAL DELAY\nDIGITAL REVERB\nANALOGUE EFFECTS\nVIDEO EQUIPMENT\n\nSALES AND TECHNICAL SERVICES\nPA-VS offers a range of new and used studio equipment for sale at competitive prices plus a comprehensive studio and studio equipment design and installation service. Repairs and modifications carried out on most makes of equipment.\nPalmer A-V Systems Ltd. 67 Mostyn Road, London SW19 3LL.\n\nBERLITE LTD\n\nRecording & Video Studios\nDesign & Construction\nSound Proofing Specialists\n\nTel: 01-749 3536\n\nTreat your ears to ours...\n\nE.A.R. 660 Lim/Comp.\nRemember the Fairchild Lim/Comp? Well here is its modern equivalent. The all tube EAR 660. Keeps levelling under control without destroying the music. No more gritty clipping. Get your EARS on good buddy and do your ears a favour.\n\nE.A.R. 823MQ Mid Eq. and E.A.R. 822Q.\nBoth models are vacuum tube no loss Passive equalizers that are balanced input and output to 600 ohm standards. The amplification circuits are all balanced push-pull with 3 tubes that are readily obtainable types and engineered to provide at least ten thousand hours before re-tubing. The dynamic qualities and headroom are highly appreciated.\n\nTRAD ELECTRONICS SALES LTD\n149B ST. ALBANS ROAD · WATFORD · HERTS · WD2 5BB · ENGLAND\nTEL: WATFORD (0923) 47988/9 · TELEX: 262741 Answerback TRADEQ\n\nMick turned down the title. So we'll take it, for the HC 6 Headphone Console. From the outside, it looks like a straight-forward, powerful headphone distribution amplifier. But in addition to the main stereo inputs, the HC 6 provides a separate mono balanced/unbalanced input for each of the six amplifiers. So whenever a signal is plugged in, the main stereo signal is automatically disconnected from only that amplifier, allowing the remaining stages to be fed either from the master stereo inputs or another separate input. It means a myriad of applications for the HC 6, operating as a standard distribution amplifier, as six separate amplifiers, or any combination of both. And the suggested list price is just $349.\n\nIt also lets you practice anywhere, at any volume without a rehearsal studio or eviction notice. Because instead of amps and speakers, you use headphones. Just plug the HC 6 into the mixer and you can play at earshattering levels, without feedback. At Rane, we never say never. Are you listening to us, Mick?\n\nRane Corporation, 6510 216th Southwest, Mountlake Terrace, WA 98043. 206/774-7309.\n\nTHE FUTURE IS... SOUND\n\nAltec Lansing manufactures audio equipment using a total concept for fixed installations. We interact with sound design professionals to provide them with the flexibility to meet the most complex specifications. The Professional Sound Contractors we are members of our worldwide sales and installation network transform our concepts into reality. Acoustical Consultants, Sound Design Engineers and Sound Contractors the world over have worked together to design and install Altec Lansing sound systems. They've specified Altec Lansing because of our uncompromised quality and dependability in auditoriums, convention centers and warning systems to theaters, churches and teleconferencing suites. Professionals whose reputations depend on every installation have made us the premier supplier to our industry. Fixed installations are our only business. We've dedicated our 50 years of expertise in support of our Professional Sound Contractors and Consultants who rely on Altec Lansing equipment to meet the most exacting standards of audio reproduction. As a result, our systems have been selected for many of the most sophisticated installations in the world. We're proud of our image as a leader in our industry. And we realize much of the credit for our recognition is a reflection of the confidence sound system professionals have had in our products. Together we've built a sound foundation for the future.\n\nAltec Lansing Takes The Words, The Emotions, The Music Of Man And Projects Them To Mankind.\n\nP.O. Box 26105 • Oklahoma City, Oklahoma 73126 USA • 405-324-5311 • Telex 160-396 • Europe • North America • Asia\nEuropean Office: 6 Market Hill, Royston, Herts SG8 3UL • England • Tele: 0763 47722 • Telex: 818757 Altec G\nPhoto: Roger Stevens Center, Winston-Salem, NC • Contractor: Long Communications Group, Winston-Salem, NC • Consultant: Peter George Associates, Inc., New York, NY • Architect: Newman Calloway Johnson Winfree, Winston-Salem, NC\n\nLyrec TR 533\n\n'BUILT'\n\nThe one word that describes, not only our engineering, but also our concept of uncomplicated design solutions.\n\nTechnology where it counts – and only where it counts – is Lyrec policy. We have gone to great length to ensure that high technology and \"bells and whistles\" are kept out of designs unless really required. Microprocessors, for arguments sake, are only used where they are at their advantage. Uncomplicated and easily understood solutions to design problems are always preferred as long as performance remains uncompromised. Readily available and well proven components keep production and end user maintenance costs down.\n\nThe standard version has its VU meter panel built into the compact mainframe, thus reducing overall size. Optionally the machine is available with its metering panel mounted in the more traditional overbridge fashion.\n\n- User friendly tape transport logic.\n- Servo controlled solenoids.\n- Crystal controlled tape speed.\n- Phase locked loop capstan drive.\n- Phase compensated record amplifiers.\n- Self aligning servo guide rollers.\n- Comprehensive and compact Autolocator and\n- Full audio remote control.\n- Double indemnity record function.\n- 14\" capacity.\n\nDistributors to the Recording Industry\nSCENIC SOUNDS (Equipment) Ltd.,\n10, William Road, London, NW1 3EN.\nTel: (01) 387 1262 Telex: 2739 SCENIC G\n\nLyrec Manufacturing A/S Box 199 Hollandsvej 12, DK-2800 Lyngby, Denmark.\nTel: 02-876322 22. Telex 37568 lyrec dk.\n\nU.K. (Broadcast and duplicators only)\nLYREC (U.K.) Ltd. 13, Hampden Hill,\nBeaconsfield, Bucks. HP9 1BP.\nTel: (04946) 4425 Telex: 838725 TTLG\n\nLyrec\nOF DENMARK\nTechnology where it counts\n\nThe DS:4-8 is a 16-Bit linear sampler/sequencer with 8-voice, 8-channel plus MIDI outputs. The sampling frequency is 44.1kHz and the sampling time is 12 seconds. A double memory model is available with 24 seconds capability.\n\nThe host computer is the APPLE II and existing DS:3 owners will already have the computer and peripherals required. Large capacity disk drives are available ensuring excellent sound storage facilities.\n\nSoftware controlled digital delay programs allow the full 16-bit quality of the DS:4 to be used in the studio in addition to the very powerful sampler/sequencer facilities.\n\nThe DS:4-8 is expandable. Software updates and new programs will ensure continuous development and progression and, well, like the DS:3, demonstrate Greengate's commitment to a policy of non-obsolescence. We do not believe in the concepts of 'Last year's model'.\n\nSMASHING WINDOWS!\n\nDIGITAL SAMPLING & DELAY UNITS\nBDE SERIES\n\nThe BEL BDE Series lets you set up, sequence and edit up to 99 windows. BDE3200 gives you 32 seconds @ 15kHz bandwidth. BDE2400 gives you 24 seconds @ 18kHz bandwidth. Delay times may be doubled at reduced bandwidth.\n\n- Reverse Play\n- Samples can be stored to disk\n- MIDI keyboard compatible\n- Manual/auto deglitch\n- Options: twin floppy disk drive, Remote control\n\n29 Guildford Street, Luton, Beds. LU1 2NQ.\nTel. Luton (0582) 452495.\n\nStudio Equipment Distribution\n\nWho wants a stereo digital reverb with Midi for under £400?\n\nThe MIDIVERB from Alesis\n\nAt £395 including VAT, you may not believe it, but the MIDIVERB is a top-class device. So good, it will impress even the most difficult A&R man. So quiet, it will put the average mixing console to shame. So powerful, that you will wonder why people even consider anything else!\n\nThe flexibility is remarkable — 63 programmes in full stereo, everything from plates to massive halls, decay time from 0.2 secs to 20 secs, and nine gated and four reverse room programmes, so clear, they will astound you.\n\nEasily interfaced with most mixing desks, instruments and home recording studios, the MIDIVERB can be used stereo in/stereo out or mono in/stereo out. The reverb programmes in the MIDIVERB can be changed rapidly either manually on the unit, or from another MIDI device through any of 16 selectable MIDI channels.\n\nNew Digital Reverb Design\n\nAll this has been made possible by a new design approach, borrowed from the most recent trends in computer hardware: RISC Architecture (Reduced Instruction Set Computer). RISC designs provide the programmer with a very small set of possible instructions that execute very quickly as opposed to more complex machines that offer more apparent power but operate slowly. RISC machines are simpler and less expensive and even though at first glance seem to have limited power, they often out-perform their bulkier counterparts.\n\nThe MIDIVERB uses an extremely specialised instruction set that runs at 3 million instructions per second, much faster than most systems on the market today.\n\nContact Sound Technology for your nearest dealer, or send £1 for a demonstration cassette.\n\nSpecifications\n- Frequency response: 20Hz to 10kHz\n- Dynamic range: 80dB Typical\n- Programmes: 63, Preset\n- Inputs: Stereo & Mono, Phono Jack, 50 Ohms\n- Outputs: Stereo, Phono Jack, 600 Ohms\n- Controls: Increment Prog/Midi, Decrement Prog/Midi, Midi channel select, By-pass, Mix (on rear)\n- Midi Connections: Midi In, Midi Through\n\nSound Technology Limited,\n6, Letchworth Business Centre,\nAvenue One, Letchworth,\nHertfordshire SG6 2HR.\nTelephone: 0462 675675\nTelex: 826967\n\nDOES YOUR LIMITER MASSACRE YOUR SOUND?\n\nMost limiters are far from perfect...literally chopping up your sound. The new Aphex Dominator™ is the perfect solution.\n\nUnlike dumb, over-threshold devices, the Dominator is an intelligent 3-band limiter with a proprietary circuit which varies the threshold for limiting. The result is an absolute peak ceiling while maintaining a transparent sound. Selectable crossover frequencies, plus high and low frequency drive controls allow creative flexibility.\n\nYou can run hotter levels to maximize signal-to-noise levels without fear of overloading your recording or transfer mediums.\n\nThe Dominator is ideal for any situation where clipping is a problem, such as digital audio, disc mastering, video post production and film. Stop massacering your sound. Ask your audio professional for a free trial of the Aphex Dominator. Once you've heard it, you'll never be satisfied with your old limiters.\n\n- Provides Absolute Peak Ceiling.\n- Total transparency below processing threshold.\n- Increased loudness\n- Freedom from spectral gain intermodulation\n- Minimal loss of transient feel\n- High density capability\n- Flexible—easy to use\n- Multiple applications\n- Made in U.S.A.\n\nAphex Systems Ltd.\n13340 Saticoy Street • North Hollywood, Ca 91605 • (818) 765-2212 • TWX: 910-321-5762\n\nDominator is a trademark of Aphex Systems Ltd.\n\nSAJE DEALS THE WINNING HAND!\n\nODYSSEY\nMEMORY\nUN II\nUN II\nRACKY\nAUX\n\nSAJE AUDIO CONSOLES\n“Leaders of the Pack”\n\n3 Rue Verte 95100 Argenteuil France. Telephone: (1) 220.127.116.11 Telex: 699672F SAJE.\n\nTV and recording consultancy\n\nAudio Facilities Ltd is a company set up to provide a professional service for the television and recording industries. To this purpose they have recruited a team of technicians whose experience encompasses all areas of audio production and post-production.\n\nServices provided include consultancy, provision of all types of audio equipment, planning, design and installation work in all areas of professional audio and operational staff from one boom operator to a team of operators experienced in digital audio for television.\n\nAudio Facilities, Limehouse Studios, Canary Wharf, West India Docks, London E14 9SJ. Tel: 01-987 2090.\n\nK-Tek purchases M&A\n\nK-Tek has recently purchased the entire rights to the M&A series 4 mixing console and has moved the business to the company's Surbiton, Surrey, UK base. All series 4 components will remain available with modules now being available in kit form. With the series 4 it is possible to build a mixer up to 70 modules with 4 aux sends as standard but with user modifications allowing an increase to 6, and up to 16 output groups.\n\nThe series 4 system has been in production for five years and there are currently around 200 such mixers in use in the UK and a further number in other countries.\n\nK-Tek, PO Box 172A, Surbiton. Surrey KT6 6HN, UK. Tel: 01-399 3990.\n\nTeac DASH in\n\nTeac has joined Sony, Studer and Matsushita on the DASH standards committee by announcing a commitment to producing DASH format digital recorders within two years. Tim Frost of Harman UK (Teac's UK distributor) explains that one of the reasons for the decision to go with DASH was that it offers a distinct format advantage for 4-, 8- and 16-channel machines allowing for ¼ in 8-track and 16-track possibilities later this decade. Parameters covered by the DASH format are tape speed, tape width, sampling frequency, track formation, number of channels and writing format. Manufacturers are free in all other design respects to produce their own facilities and performance characteristics.\n\nTeac feels that by 1987/8 the principle of digital multitrack will be well accepted by the recording industry and it should be possible to produce somewhat more attractively priced systems by then.\n\nPop Music Recording Diploma\n\nSalford College of Technology in Manchester launches a new higher diploma in popular music recording, commencing September. Courses in this area have been offered since 1982; they are now streamlined to appeal to the musician whose orientation is towards popular/jazz idioms within a recording studio context, studio projects are an integral feature throughout. For more information and application forms contact Mrs B Cohen, PMR Course, Salford College of Technology, Peru Street, Salford M3 6EQ.\n\nIBC Brighton\n\nTo cope with the increased number of exhibitors at this year's IBC the exhibition has expanded into three separate sites—the Metropolitan Conference Centre, the Brighton Centre and the Grand Hotel. The three sites will be linked by the outside display of OB vehicles along the sea front. The exhibition floor space has increased from 11,000 to 13,500 m² and even that has proved insufficient to house all the possible space applications.\n\nLiterature Received\n\n- European edition of the Instrument Society of America's 1986 Publications and Training Aids Catalogue, available in Europe through American Technical Publishers Ltd, 68a Wilbury Way, Hitchin, Herts SG4 0TP, UK. Contents include references and training materials, instrument technician training programme, standards and recommended practices, directories, periodicals, reprints, other ISA services.\n\n- The latest electronic components product guide is available from Argosy Components Ltd. Products include those by Neutrik, Radiall, Cambridge Connectors, Spectraship and other wiring and PCB accessories. For further information contact Mike Purnell, director, Argosy Components Ltd, PO Box 137, Beaconsfield, Bucks, HP9 1RJ. Tel: (09496) 3491.\n\n- Microlease Electronic Equipment Rental has produced a new '86/87 hire catalogue of over 1200 items of test and measurement, computer and development systems and audio and video equipment. From video cameras to microphones, mixing desks, loudspeakers, equalisers, amplifiers and mobile communications equipment to Marconi 2955 Radio Test Set. Copies available from Sandie Petrie, Microlease plc, Forbes House, Whitefriars Estate, Tudor Road, Harrow, Middx. Tel: 01-427 8822.\n\n- Alpha Omega Instruments has published an A to Z of Instruments and Accessories. They are a new company specialising in lower cost instruments and accessories via this free direct mail order catalogue detailing some 80 items. For copies write to Unit 5, Linstock Trading Estate, Linstock Way, Wigan Road, Atherton, Lancs M29 0QA, tel: (0942) 873 448.\n\n- Semiconductor Supplies International has brought out a new data guide and product price list with active and passive components through mechanical components such as plugs, sockets and switches to complete computer systems.\n\n- From FWO Bauch Ltd the EMT Courier Special Issue One—20 pages of 25 years of reverberation, looking at the development of artificial reverberation.\n\nAES London meeting\n\nBBC Radio—Digital Control Vehicle Systems, is the subject of the next AES London meeting on 8 July 1986. The speakers will be John McErlean, Brian Binding and Sean Meehan of the BBC Radio Capital Projects Department. Design and constructional details will be covered including some novel techniques involved in the provision of high specification OB vehicles. These will be specifically related to the systems and the mixing consoles used in both the recent Stereo Control Vehicles and the Digital Control Vehicle.\n\nThe lecture starts at 7pm at the IEE, Savoy Place, London WC2, tea at 6.30 pm. If you wish to join AES you can apply at one of the meetings or write to The Secretariat, AES (British Section), Lent Rise Road, Burnham, Slough SL1 7NY. Tel: (06286) 63725.\n\nPlug makers take note\n\nA significant change has been made to the British Standard for 13 A plugs which now specifies insulating sleeving on the line and neutral pins. This has been done to prevent the risk of electric shock to users caused by physical contact with the pins during insertion or removal of plugs. Details of the new requirements, including additional tests, have been published as an amendment (AM 5052) to BS 1363 13A Fused plugs and switched and unswitched socket-outlets.\n\nSince the amended standard is likely to become mandatory under new government regulations now being considered, some manufacturers may need to modify their plug designs.\n\nJohn, These people stock everything and ship out in an hour. Phone 01-482-1692 or collect a catalogue from their trade counter. Better get an account opened NOW!\n\nThanks, Adrian\n\nIn brief\n\nThe magnetic tape division of Agfa-Gevaert Inc, Teterboro, New Jersey has donated a $1,000 scholarship to The Society of Professional Audio Recording Studios (SPARS) to be awarded to a promising young student who demonstrates potential in the recording field and has challenged other SPARS advisory associated members to match this gift... Due to the name Digitech being a registered trade mark of J Hornby-Skewes in the UK, the DOD Electronics range of rack-mount processors previously marketed under the Digitech name will in future be known as DOD Effects within the UK... 3M's Magnetic Media Division and the Mitsubishi Pro Audio Group have recently announced approval of the new Scotch 275 digital audio mastering tape for use in Mitsubishi 32- and 2-channel digital tape recorders...\n\nOdyssey, Paris is the first French recording studio specialising in music computer systems. Built on the LEDE principle, Odyssey is equipped with SAJE ULN Mark II automated console, Sony PCM 3324 and 701 digital recorders, Otari 2- and 4-track, Tascam 8- and 16-track and MCI JH-24 24-track recorders among its tape recorder complement. Tel: (1) 47 50 95 64...\n\nPhil Ramone has been using the new Dolby SR spectrum recording or mastering work for Touchstone Films production Ruthless People at Power Station, NY subsequent to attending demonstrations of the system at MGM screening room, also in New York...\n\nModern Circuit Industries—Amek's manufacturing facility has expanded its facilities with a BICC-VERO computer numerical controlled 3-head drill... BPI reports that the first quarter of 1986 was fairly flat for the UK record industry with the value of sales (deliveries to trade) increasing only by 3.4% over that of the same period last year; the number of singles shipped to retailers experienced a sharp fall; sales of LPs also fell while sales of cassettes continue to increase, although at a lower rate. The best results, proportionately were in the CD sector where sales this quarter were just over double those for last year. Overall value of recorded music deliveries in this first quarter was £71.9 m, compared with £69.5 m in January to March 1985...\n\nPrime Leasing and Finance Ltd recently announced a 33% increase in its level of investment. With 60% of the company's business coming from the recording industry and a further 35% from the broadcasting industry this is seen to represent rapid expansion within the industry and greater investment in more sophisticated and expensive equipment. In the company's recently published annual report it was stated that the basic business emphasis is gradually switching from leasing to hire purchase.\n\nContracts\n\n- Audio Kinetics has installed over 100 MasterMix computer assisted mixing systems worldwide. Recent UK contracts have included Alan Parson's studio with Amek Angela, Saunders and Gordon's Amek 2500, The Tape Gallery's Amek 2500 and Tyne Tapes (MCI JH600). Japanese installations have included Pioneer Laser Disc with a Calrec console, Sunrise Studio's Neve V48 and Sound Atelier's Soundcraft TS24.\n\n- Amek has completed several recent contracts including two Amek BC2 consoles to the BBC; 51-input Angela to Alan Parsons' studio—other Angelas have gone to Peter Hooke of New Order, Steve Lillywhite, the new Planetarium in Paris, and Craig Huxley of the Enterprise Studios in Los Angeles; U2 have hired an M2500 for two months while working on their new album in Dublin; and AVM Recording in Madras has purchased a number of BC2 consoles as well as the very first Classic console.\n\n- Eastlake Audio has recently completed a record and music to film facility at Sound and Vision OY, Helsinki which features a Harrison Raven with MasterMix and Otari multitrack and mastering recorders. PWL's second studio—The Bunker; Eastlake is now preparing to construct another studio and isolation room at the PWL complex in South London.\n\nOther current Eastlake projects include a 48 track mobile facility for touring sound operator Lil Service SA in Barcelona.\n\n- Soundcraft TS24 mixing consoles have recently been installed at TVi, London, and Lansdowne Studios in Dublin. Stirling Audio supplied TVi's 32-channel desk with MasterMix automation for their new post-production suite. Lansdowne's update follows destruction of the facility by fire earlier this year—the original desk was a Soundcraft Series 3B.\n\n- Kelsey Acoustic has supplied 150 GPO316 patchfields to Elliott Brothers as part of the worldwide refurbishment of British Forces sound and vision studios.\n\n- Acesonic International has been appointed Otari distributor for the Republic of China/Taiwan. Frank LJ Wang of Acesonic visited the Matsumoto factory for a week of technical training with Haruo Taguchi, manager of the customer service section. Acesonic International Co Ltd, SF1, 147 Lung Chiang Road, Taipei, Taiwan, ROC. Tel: (02) 71688 96.\n\n- Gerr Electro Acoustics of Toronto has supplied a Sound Workshop Series 34 mixing console to Bryan Adams and songwriting partner Jim Vallance for their private studio in Vancouver; the equipment choice was made on the recommendation of Bob Clearmountain.\n\n- London's Swaynany studio has recently installed a Sony PCM-3324 digital multitrack machine, 24-channels of Dolby SR, EAR valve equalisers and valve limiters and four Yamaha SPX 90s.\n\n- Recent Studer contracts supplied by FWO Bauch have included a 900 series mixing console to the Royal Northern College of Music fitted with A series modules and reverse action faders; a 24-track 2 in A800 to Central Television; A800s to Master Rock studios and PWL studios in London, Jeff Wayne Music, Hertfordshire, Howard Jones, Redwood Studios, Westland Studios, Parkgate Studios and Windmill Lane Studios. Studer 960 series compact mixing consoles have been ordered by NBC London, Voice of America London, EMI Records, Ash International and Regentport. Hollywood Studios has placed an order for the Harrison MR4 mixing console.\n\n- DDA has received an order from Abbey Road Studios for an 8/8/2 D Series console with Theatre input modules. The console is being supplied in a 16-input frame and will be used in the film transfer room. A 16/8 Theatre/Matrix D Series console has been ordered by the Royal Shakespeare Company for the new theatre in Stratford-upon-Avon.\n\n- Audio & Design Calrec has recently supplied Pioneer Laservision studios in Tokyo with a 48-channel UA 8000 console complete with MasterMix automation.\n\nStolen Property\n\n- On the night of April 23, several items were stolen from EGE Sound Studio, Germany. Those with serial numbers were: Roland SRV2000 (SN:552787), Eventide H949 (SN:1723), Onkyo P3060 (SN:21050813), JVC HR2200 video (SN:156L 1221) and Sony PCM701 (SN:12736114). Other items included Yamaha REV7, UREI 1136 compressor, Lexicon PCM41 and various hi-fi equipment. EGE Sound Studio GmbH, Kohlplate, D-7953 Bad Schussenreid, West Germany. Tel: 0 75 83/27 68.\n\n- Stolen in California from Danny Wallen, a special custom case containing 10 new Neumann TLM 170 Jubilee microphones. The serial numbers are 23/100, 24/100, 62/100, 63/100, 74/100, 75/100, 76/100, 77/100, 80/100 and 81/100. Any information as to the whereabouts of any of these microphones should be given to Jerry Graham, eastern sales manager, Gotham Audio, 1790 Broadway, New York, NY 10019-1412. Tel: (212) 765-3410.\n\nContracts\n\n- Marquee Electronics has delivered three Adams-Smith chase synchroniser systems to Town House Studios. Additional units have been supplied to Eel Pie Recording, Eden Studios, Central TV in Nottingham and Birmingham and Barclays Bank Video. Other new users include Mullard Laserdisc, Marcus Music, Park Gate Studios, BBC TV music studio, Huddersfield Polytechnic, Southern Films and Air TV facilities, Camden Lock.\n\n- Sound Associates installed the sound system at the first European IMAX film festival at the National Museum of Photography, Film and Television in Bradford earlier this year. The IMAX film system generates large screen pictures on to a screen many times the size of a conventional cinema screen, effectively filling the viewer's field of vision. The accompanying sound quality was required to give wide frequency range, no distortion and very high sound levels. IMAX has sound on a separate 6-track 35 mm film running in sync with the special 70 mm picture, giving tracks for rear left and right, and screen left, centre, right and top. Electro-Voice speakers were used for the screen left centre and right: DL15W loaded 606D bass cabinets and HP9040 horns with DH1 drivers. The sub-woofer system comprises four Electro-Voice 3512 cabinets with DL18W drivers operating only high signal levels at frequencies below 100 Hz.\n\n- The Mitsubishi Pro-Audio Group has announced sales of X-850 PD format digital multitrack machines to two London-based studios—Battery, a four studio complex; and Konk where the machine will be installed in a machine room allowing it to be patched between the existing room and the second room currently under construction.\n\nAmbience: A property ascribed to studios that have just had an expensive rebuild (but do not sound any better) in order to justify higher rates.\n\nAmbience mic: (1) A spare mic at the back of the studio that accidentally gets recorded on a spare track that saves an otherwise turgid mix. (2) A non-directional mic (qv).\n\nAssign: The traditional means of distinguishing between say the tape store and the artists' powder room.\n\nBacking track: Anything useful you can salvage from the first six weeks/months of recording.\n\nBi-directional: American for AC/DC.\n\nBounce: A primary characteristic of receptionists. Measured in handfuls.\n\nCompressor: A processing device that gives a track more feel by increasing noise and distortion to 1960s levels.\n\nConcert pitch: Wembley Arena, etc.\n\nCue: A wooden rod used for hitting balls.\n\nDead sound: The result of doing 37 takes to get the track note perfect.\n\nEcho: The sound of £10,000 of digital ICs crammed into a little black box.\n\nEngineer: Someone who wanted to drive a train when he grew up.\n\nFader: A control for reducing noise at the expense of increasing distortion, or vice versa.\n\nFigure-of-eight: An exotic form of balanced line.\n\nHeadroom: A property of some larger control rooms where the distance between the top of the engineer's head and the bottom of the bass trap has a positive value.\n\nHertz: What happens to the engineer's ears when the fuses in the monitor amps fail to fail.\n\nkHz: The sound of the producer contemplating tomorrow's session.\n\nLeader: The biggest member of the band.\n\nLED: Heavy metal.\n\nLine input: Nostril.\n\nMaintenance engineer: A studio employee who's never there when anything goes wrong with the equipment.\n\nMicrophone: A device that makes loudspeakers scream when pointed at them.\n\nMixing: Trying to convert a dead sound (qv) into a hit record.\n\nNon-directional: A mic that picks up everything happening in the studio except the instrument in front of it.\n\nOmnidirectional: Likes and dislikes that's warm and wet (or bi-directional).\n\nOverdue: The practice of getting more mileage out of backing tracks by using the same tracks for a number of songs, such as a succession of singles. Particularly popular with Reggae producers who have great difficulty in getting all the rhythm section capable of playing at the same time.\n\nPA: Pain in the neck.\n\nPad: Place to which an engineer returns occasionally to change his socks.\n\nPanning: The critical response to the end product of vast amounts of time and money spent in a studio.\n\nPanpot: A device that converts mono recordings to stereo.\n\nPre-emphasis: Increasing the noise level to counteract the effects of noise reduction.\n\nPresence: If your studio has one of these, keep quiet about it. Most clients are paranoid enough without having ghosts to worry about.\n\nProducer: (1) Someone who sits next to the engineer and makes unhelpful comments at awkward moments. (2) Person who takes all the credit for the engineer's hard work.\n\nReverberation: £5,000 worth of digital ICs in a black box.\n\nReverb: Addiction time. The time it takes to get a studio to pay £13,000 for £5,000 of ICs in a black box.\n\nRoute: The heavily worn path between the studio and the nearest pub.\n\nSelsync: A marketing man's explanation for why semi-pro multitracks have one head for recording and playback.\n\nStagebox: A small upturned wooden box used as a prop by superstars who try to get more feeling in their playing by reliving their early days playing in pubs.\n\nSubmixing: Mixing one track at a time so the computer can learn what to do.\n\nSynchroniser: A device used to link two machines for 46-track tape phasing.\n\nSynthesiser: An unmusical instrument.\n\nUnbalanced line: Where the producer takes more than half.\n\nUnidirectional: The type of mic that rotates towards the floor during an otherwise perfect take.\n\nWDR Neve DSP now in use\n\nThe first Neve digital mixing console to be installed outside the UK has been delivered and commissioned for the WDR broadcast network in West Germany. The console is installed as part of an installation within a new concert hall being built as part of a new DM 300 million cultural centre in Cologne which is due to be opened in September. The console facilities include 56 faders, 48 mic/line analogue inputs, 16 line analogue inputs, 32 analogue outputs, 32 digital inputs and outputs for multitrack use. The system also benefits from the inclusion of remote stage input boxes with fibre-optic transmission to the console.\n\nThe console was delivered and commissioned on time and was officially launched at a digital seminar held in Cologne in April.\n\nAgencies\n\n- FM Acoustics of Switzerland has reached an agreement with Professional Audio Ltd of London under which Professional Audio will distribute the complete range of FM Acoustics professional products in the UK. They will carry stock, parts, service products and supervise installations etc.\n\n- Theatre Sound & Lighting (Services) Ltd (TSL) have been appointed sole and exclusive UK distributors for the Clear-Com Intercom Systems. TSL are headed by directors Matthew Griffiths and Peter Maciuk. New addition is Zounie Falli as sales administrator who previously handled the Clear-Com business for TBA. TSL, Queen's Theatre, 51 Shaftesbury Avenue, London W1V 8BA. Tel: 01-439 2441.\n\n- Rhino Distribution has been appointed distributor for American Audio Logic processors including MT74 quad noise gate, X324 crossover and MT66 stereo compressor/limiter featuring dbx noise reduction. Rhino also distributes DOD rack mounting signal processors and instrument effects pedals. Rhino Distribution, Equipment Division, Burnham Road, Dartford, Kent DA1 5BN. Tel: (0322) 74003.\n\n- Kelsey Acoustics are now supplying NEK bulk microphone/instrument and multicore cables. Kelsey Acoustics Ltd, 28 Powis Terrace, London W11 1JH. Tel: 01-727 1046.\n\n- Adams-Smith has appointed Professional Equipment srl of Milan as Italian distributor for the System 2600. Professional Equipment srl, Viale Famagosta 37, Milano 20142, Italy. Tel: 02-81 78 39. Telex: 843-312239.\n\n- Recently established UK audio equipment sales company Professional Audio has been appointed sole UK distributor for FM Acoustics. Professional Audio Ltd, Professional Audio House, 53 Corsica Street, London N5 1JT. Tel: 01-226 1226. Telex: 24282.\n\nAddress changes\n\n- Italian distributor Audio International SRL, has moved to Via Santa Maria, 100, 20090 San Maurizio al Lambro, Milan. Tel: (02) 25 390 121.\n\n- Theatre Projects has changed address to Theatre Projects Services Ltd, 8-34 Blundell Street, London N7 9BW. Tel: 01-609 2121. Telex: 885659.\n\n- Amek and TAC now have facsimile machines in operation. The numbers are: Amek 061-834 0593; TAC 0602 785112.\n\n- Alangrove Builders has moved to Mountbatten House, Victoria Street, Windsor, Berks SL4 1HE. Tel: (0753) 857181.\n\n- Elliott Brothers (Audio Systems) Ltd has moved and is now located at Osney Mead, Oxford OX2 0ER, UK. Tel: (0865) 249259.\n\n- TracSystems has moved to the Archway area of London and has doubled its floor area. The new address is Belgravia Works, G08/157 Marlborough Road, London N19 4NF, UK. Tel: 01-281 4955.\n\nPeople\n\n- Simaen Skolfield has joined the Amek sales team and brings 15 years experience as a Grammy award winning recording engineer who has worked in many and varied facilities. Simaen will be responsible for introducing London facilities to APC and assisting any customers who visit London. He may be contacted at 218 Bowes Road, London N11 2JH. Tel: 01-361 8552.\n\n- Amek has also promoted Henry Goodman from shipping manager to sales co-ordinator; Richard Hollingworth has taken over as shipping manager and Selwyn Hotz has joined Amek and TAC as financial controller.\n\n- Otari Corporation has appointed three new regional sales managers: James Goodman, previously with Eventide, for Northern States; Emil Handke, formerly with Valley Audio as general manager for Southern States and Bill Ford, previously with Cramer Video, for Western States.\n\n- Mark Calice, formerly in charge of Otari Corporation’s MTR series technical support has become technical training manager for a newly created training department. Details of Otari dealer/user training seminars may be obtained by calling (415) 592-8311.\n\n- Two new IBC corresponding members have taken up invitations to the position, succeeding TJ Murphy and P Mainwaring who have now retired. K O’Connell is director of engineering at Radio Telefis Eireann and NL Lane is director of engineering at the Broadcasting Corporation of New Zealand. The role of corresponding members is to represent the IBC around the world and lend their support to the IBC UK committees in the organisation of the convention and their liaison with broadcasting and allied industries.\n\n- Soundcraft has promoted Adrian Curtis, formerly senior engineer in Soundcraft technical services, to senior sales engineer to Soundcraft Electronics. His main area of responsibility will be technical sales support to international and direct UK customers.\n\n- Norman Crocker, managing director of Tannoy Ltd, has been elected chairman of the Association of Sound and Communications Engineers.\n\n- David Hopkins, managing director of Delta Sound (PA) Ltd, has been elected vice-chairman.\n\n- AMS has appointed John Gluck to sales department taking over sales co-ordination of the company’s established range of products.\n\n- Focusrite Ltd has appointed Mike Bowers as sales manager. Formerly sales and marketing manager for Noblelight Ltd, he will be responsible for the ‘new’ range of professional sound control modules for the recording, broadcasting and film industries worldwide.\n\n- The BPI has appointed Rob Dickins to succeed Maurice Oberstein as the next chairman. Chairman and managing director of WEA Records UK, Dickins has been an active member of the BPI council since 1983.\n\n- Virgin Group has appointed Nick Alexander managing director of SynthAxe Ltd. Previously managing director of Virgin’s computer game company he continues with this responsibility including new technology developments and has assumed responsibility for SynthAxe as Bill Aitken, who headed the development of SynthAxe, has rejoined Solid State Logic Ltd.\n\n- Phil Neighbour has joined Court Acoustics Sales Ltd as sales manager, responsible for the sales of RCF products in the UK and for distribution of Court equipment worldwide.\n\n- Trident Audio Developments has announced Wayne Freeman’s appointment as the new president of Trident USA Inc. Mr Freeman previously with Soundcraft Inc in the USA has had many years experience in the pro audio industry particularly in the field of recording consoles.\n\n- David McVittie has joined Elliott Bros (Audio Systems) Ltd as sales manager. He will be responsible for sales to the broadcast sector freeing Bruce Elliott to concentrate on the theatre area. David McVittie was previously International Sales manager with Audio Design Calrec.\n\nLow-cost digital audio comes of age.\n\nThe Sony PCM series has now been available for several years. In this time recording and broadcast organisations, government, educational and industrial establishments, as well as individual users have all acknowledged the unique value of these units, and made them a new standard. It is the superlative quality of Sony PCM digital, coupled with extremely low cost that has brought about this professional acceptance of the range. This is borne out by the number of new ancillary products from other manufacturers, that have further increased the flexibility and versatility of the range. Examples of these products are the 'CLUE' logging and editing system from HHB, as well as various interfaces which allow digital communication with the PCM 1610.\n\nSony has acknowledged that this acceptance by professional users necessitates a change of policy towards these products. Accordingly they have upgraded them from the domestic catalogue, and, realising the need for professional support and all that that entails, have appointed HHB as specialist dealers to represent them in the pro-audio market.\n\nWe are proud to announce this appointment, and happy to assure our customers of continued availability of the PCM range. The re-instatement of the PCM production line has been very largely due to pressure from end-users, who are after all the motivating force in the audio world. So if you are involved with audio recording and are still unfamiliar with Sony digital, then you owe it to yourself to call HHB – the No. 1 name in Digital Audio.\n\nHHB HIRE & SALES, UNIT F, NEW CRESCENT WORKS, NICOLL ROAD, LONDON NW10 9AX TELEPHONE: 01-961 3295 TELEX: 923393.\n\nThe list of credits on a modern album sleeve is growing all the time; along with performers and songwriters it is quite common to see the producer, engineer, session musicians, recording studio and mastering suite included and now a new title has joined the list—that of programmer.\n\nSo who is this person hiding behind the vague title and what exactly does he do to deserve getting his name on the sleeve? In reality, he probably hasn't programmed anything at all but is only the user of other people's software and the traditionalist in the computer world would only credit him as an operator or worse as a machine tender.\n\nWhatever we decide to call him, he's the person who understands the world of sequencers, FM and analogue/digital keyboards, expanders, drum machines, MIDI-controlled effects and the various boxes which keep them all in sync with the tape machines. A good programmer combines many of the tasks of both the engineer and producer with the creative qualities of the writer and performer. Those of us who have worked with computer controlled equipment for any length of time appreciate all that a good programmer does.\n\nThe shortage of experienced music programmers is partly the result of the speed at which technology is progressing: even the traditional tea boy, tape op, engineer, producer route has changed in recent years. Another contributory factor is the wide range of skills which must be acquired including the ability to read and write music, and perfect pitch is a distinct advantage. Entering musical notation from a manuscript soon brings back sight reading but when the producer sings a bass line—even assuming that you know what he means—in can you immediately enter the correct pitch and note values in to the step time sequencer? When the keyboard player wants his timing auto-corrected, can you confidently choose between a demi-semi-quaver and a 16th triplet and won't he be pleased if you get it wrong?\n\nOne benefit of computer production is speed but if one particular piece has to be played several times in order to practise auto-correction, or if it takes an hour to work out that funky bass line in step time, or if your programmer's on the phone to the Royal College of Music because he doesn't know his andante from his pizzicato, then perhaps it's time to think again.\n\nProgramming original sounds into keyboards, particularly the FM kind, can be extremely time consuming and it is probably a job well worth doing away from the studio. However, it is still often necessary, even with a comprehensive sound library, to edit, re-edit and re-edit a session. Again this is where a good programmer will save time, money and frayed tempers, by translating a request for 'more zing' into carriers, modulators and frequencies, or by providing more decay without losing the fundamental sound.\n\nComputer drums are often a controversial subject. Can they sound natural? Should they sound natural? Can they replace the real thing, or should they be regarded as an instrument in their own right? Whatever personal views are, the programmer should be able to provide what each individual producer wants and this ability to create original and interesting patterns and breaks to suit all types of music must be allied to a knowledge of the drummers' limitations, both real and machine. If attempting to simulate a live kit, it should be remembered that a drummer only has two hands—an obvious point but a common mistake. An easy way to spot the machine is listening to the hi-hat tapping continuously eight to the bar, throughout breaks, rolls and entire albums. At the same time it is worth remembering that although the machine can play with many hands and keeps perfect time, if a producer brings in a Scottish country dance band or wants to record the National Anthem, then a quick phone call to the Musicians' Union is perhaps a good idea.\n\nEver since the music programmer appeared on the scene, the job has grown in importance. At the beginning of 1984, we took the Commodore 64, which was being discarded by our accounts department and put it in the studio to control the growing number of keyboards (see Studio Sound March 1986). Then we were trying to save tape tracks but on a recent production the multitrack contained only two vocal tracks and a sync code, whilst the desk had a further 22 channels of 'live' sound from the assorted keyboards, samplers, drums and effects. The only people involved in the production were a singer/songwriter and the programmer.\n\nWith the increasing range of MIDI effects, today's programmer can often find himself with a separate sequencer purely for effects and keyboard patch changes, and now that some desks are reading MIDI and SMPTE for routing and switching, the chain seems to be almost complete. The tape machine is at present the only area free from the programmer's attentions but for how long? As the trend towards digital recording gathers speed and hard disk-based systems and even RAM storage become commonplace, it should not be too long before someone decides to process the digital information in the recorder before playback, rather than using external processors involving further D/A and A/D conversion. Imagine a multitrack recorder with an effects unit built into each channel. Now give it user-definable memories with MIDI control and the chain is well and truly complete.\n\nIt's interesting to note how experience is helping the music programmer overcome some of the problems of various systems. Let's return to the problem of auto-correction. No one would think of experimenting with a master tape instead of working on a copy and similarly most sequencers will copy a keyboard part in seconds which the programmer can then use for practice.\n\nA common problem with sequencers is that while attempting to overdub a sequence with another part which starts on the first beat of the first bar, the first note never records. Programmers have now discovered how to use a separate track to re-record the first note late and auto-correct it back to the first beat. Systems using FSK code for tape sync can be extremely frustrating when the tape must be started at the beginning of the track each time and why is it that the last chorus always needs 20 takes?\n\nThe trick is to run a monitor mix on to tape at the same time as the sync code and use this instead of running the computer each time. Most people would leave a guard track next to the sync code but if the monitor mix is recorded about 20 dB down it will not interfere with the code and can be used as the guard track as well. Any increased noise doesn't matter as the track will not appear on the master. If tape tracks are of a premium, then the monitor mix can be erased later and used as the final track.\n\nSequencers have even been used to provide a form of level automation. Many keyboards have voice output as a programmable parameter and by copying the same voice several times but with different output levels and using MIDI to switch between voices, the keyboards will mix themselves.\n\nSo what sort of person are we looking for in the guise of an ideal music programmer? He is obviously a child prodigy electronics wizard who studied classical piano at the Royal College of Music but gave it all up to become the drummer with a funk band before opting for a career as a successful recording engineer/producer. No wonder he gets his name on the album sleeve! In fact the day must surely be approaching when the expanding list of credits begins to decrease once again, until the only names remaining are those of the artiste and programmer.\n\nAnd who will get top billing? □\n\nRoger Jackson, West Coast Music, Luib, Isle of Skye.\n\nFirst Class Sound... ANYWHERE!\n\nBritannia Row offers you a total Audio Hire service from a complete customised 24 track recording package through the range of our extensive analogue and digital recorders to any individual studio effect you may require.\n\nThe equipment is cased and delivered by our professional and efficient staff to anywhere in the UK or overseas.\n\nOur technical engineers will fully install the equipment and leave you assured of a smooth recording session with 24 hour back-up guaranteed ... Call now for an immediate quotation.\n\nCOMPLETE SERVICE AUDIO HIRE\n\n35 BRITANNIA ROW, LONDON N1 8QH\nTEL: DAY 01-226 3377 NIGHT 01-231901 BLACK 281\nTELEX: 268279 BRITRO G\n\nSyco and Fairlight\n\nAs sole UK distributor for the Fairlight Computer Video Instrument System Syco Video is aware that units are being offered on direct import from Europe and possibly America. As sole UK and Irish distributor Syco points out that it is unable to offer service support and software updates for these units. They also point out that these units are not necessarily calibrated and tested for British power supply and although not necessarily hazardous, the software stability of the unit is likely to be affected. If in doubt, contact Syco Video on 01-724 2451.\n\nMusic video payments issue\n\nThe BPI council decided to seek payment for music videos which had until now been supplied free, or virtually free to television programmers; and to advise BPI member companies to cease to supply free music videos after May 31 1986 unless constructive negotiations were in hand. Negotiations were opened with the BBC and ITV companies and a proposal from the BPI on the principle of payment was put at meeting with ITCA companies, Channel 4 and the BBC during May.\n\nAfter the initial meetings BPI legal adviser Patrick Isherwood reported that further meetings had been arranged with the BBC. The BPI council has reiterated its decision on video payments and will strongly advise members (accounting for about 95% of the UK record releases) to stand by the deadline decision.\n\nOral History Society opposes tape levy\n\nThe Oral History Society has opposed the government's intention to introduce a levy on blank audio tape. The society makes use of tape recorded interviews with older people to produce articles, pamphlets, books and exhibitions based on living memory. The society sees no reason why it should pay copyright to owners of recorded music and has no wish to take on the additional administrative burden which claiming exemption would involve. The society states 'The Government's proposal to impose a levy on blank tape is a totally inadequate response to the problems of copyright in a period of technological change. As they stand the proposals are unfair and are likely to prove costly and unworkable.'\n\nContracts\n\n- TracSystems has recently received large orders for their in-cassette duplication systems: from Hany Mehanna Studio, Cairo, Egypt for a six slave 5,000 cassette/day system; a 20 slave system to Jack Carney of TDC Dublin via Sound Control Belfast to meet a current 30,000 cassette/month requirement; and to Richard Garrido SCV in Paris.\n- Millbank Electronics has supplied amplifiers from their PAC System range for the National Garden Festival, Stoke-on-Trent, Staffordshire, UK. This six month festival takes place on 180 acres of reclaimed land featuring arenas, displays, 80 theme gardens, artificial lakes and theatres. The sound installation was by Animated Projection Ltd of Widnes, Cheshire and is divided into 12 separate zones.\n- Different Fur Recording of San Francisco, has taken delivery of a Sony PCM 3324 multitrack. This system is owned by Windham Hill Records but will be housed at the studio and will be available to studio clients.\n- Unique Recording, New York has installed two Sony PCM 3324 multitracks for 24 and 48 digital recording. Also the Fairlight 11X has been updated to a 111.\n\nIOA at Salford University\n\nThe Applied Acoustics department at Salford University opened their new laboratory during the recent IOA conference. Opened by Dr Per Bruel of Bruel and Kjaer it comprises a transmission suite enabling measurement of new glazing systems or lightweight partitions to be measured and an anechoic chamber allows for testing of hearing protectors.\n\nIOA's 4 day conference was attended by over 100 delegates and topics discussed included the latest findings of research in underwater acoustics, environmental noise and building acoustics. Three special lectures were given.\n\nProfessor Heinrich Kuttruff from Aachen University talked about the design of auditoria; Professor Elfyn Richards from the Institute of Sound and Vibration Research, Southampton University talked on an engineer's approach to the study of noise; and Dr Peter Thorne of the Institute of Oceanographic Science, Taunton on underwater sediment transport studies.\n\nSalford's Applied Acoustics Department is the second largest university based acoustics group in the UK and the only one which runs a distinctive undergraduate course in electroacoustics.\n\nAwards for Philips scientists\n\nInternational recognition was recently accorded to Philips research scientists in the form of the Rank Prize Funds Awards. Dr P Kramer, senior managing director of Philips Research, Mr G Bouwhuis, senior scientist at the Philips Research Laboratories and Dr K Compaan, now retired received recognition for a basic invention in the early seventies which has led to the LaserVision optical disc, the CD and the disc for storage of digital data, along with the corresponding electronic systems.\n\nAt the end of the sixties, scientists at Philips Research Laboratories embarked on a study intending to record image and sound signals on a disc in such a way that the information could be read without contact using laser light. The three award winners invented a technique for doing this and thus development got underway.\n\nPeople\n\n- Former Neve area sales manager Tom Belshaw has moved to Britannia Row Equipment where he is now manager of the sales department, working on the company's expansion in the UK and Europe.\n- 3M has announced that Christopher Hobbs is now general marketing manager for Magnetic A/V products. He has been with the company for 14 years in marketing and sales, and key account executive for Scotch household products, sales manager for Scotch consumer products, sales and marketing manager for Scotch audio tape and most recently as general marketing manager for home video and household products.\n- Soundtracs has appointed Simon Phillips to their technical sales team. Simon was previously with ITA and prior to that Turnkey.\n\nForthcoming events\n\nAugust 1 to 3 British Music Fair, Olympia 2, London, UK.\nSeptember 19 to 23 International Broadcasting Convention, Brighton, UK.\nOctober 28 Sound Broadcasting Equipment Show, Albany Hotel, Birmingham, UK.\nNovember 6 to 9 Institute of Acoustics 2nd Annual Conference: Reproduced Sound, Hydro Hotel, Windermere, UK.\nNovember 12 to 16 81st AES Convention, Los Angeles, USA.\nNovember 19 to 22 14th Tonmeistertagung Munchen 86, Deutsche Museum, Munich, West Germany.\n\nAuto line-up.\n\nThis cunning attempt to grab your attention is to let you know about the long-awaited arrival of the Otari MTR20 Series of master recorders at ITA.\n\nThe MTR20's unique automatic alignment system employs its own microcomputer to faithfully reproduce a set of line-up parameters that have been determined by the engineer. In other words, YOU decide exactly how the machine is to be lined-up, and the MTR20 remembers for evermore, faithfully reproducing YOUR procedure every time.\n\nAuto line-up is just one of the features of this most advanced recorder. A massive cast deck-plate, PWM-controlled reel motors, 14\" reel capacity, rapid interchangeability between formats; transformerless electronics; serial control; the list goes on.\n\nAnd of course, things for which Otari recorders are already renowned; utter reliability and ease of maintenance, for example.\n\nThe MTR20 is now available for demonstration in your studio; don't delay in making your booking.\n\nITA was first with Otari 13 years ago, and we are proud to be first with the MTR20 in 1986. Our commitment to the world's best range of professional recorders has never wavered in between. There are many exciting new Otari products on the way – we'll be there first too.\n\nINDUSTRIAL TAPE APPLICATIONS\nPROFESSIONAL PRODUCTS DIVISION\n\n1 Felgate Mews, Studland St, London W6 9JT Tel: 01-748 9009 Telex: 21879\n\nOur consoles have always been quiet.\n\nHave we been too quiet about our consoles?\n\nPerhaps we have. Thanks to the success of STUDER recorders, we're often thought of as strictly a tape recorder company. But, STUDER has also been making audio consoles for over 16 years, and hundreds of our 169/269 compact mixers are now at work in broadcast and video production facilities all around the world. Recently, with the introduction of the Series 900, STUDER has become a major supplier of studio production consoles.\n\nSo we're not keeping quiet about this any longer.\n\n**Name your frame.** Series 900 frame sizes from 12 to 50-plus inputs are available for any application, from remote recording and OB vans to sophisticated broadcast production and multi-track recording. Within these frame sizes, we configure the console to fit your requirements. The secret is our wide array of module options.\n\n**Mix and Match Your Modules.** The 900 is a true system console offering custom configurability at standard prices. Choose from 10 different metering modules, 3 multi-track monitor options (including separate monitor EQ), mono or stereo faders, audio subgroups, automation compatible VCA groups, video switcher interfaces, subgroup reassignment modules, up to 3 solo systems, multi-function test generator, input selectors, limiters, compressors, patchbays with bantam or ¼\" systems, and up to 10 auxiliary busses.\n\nBasic input modules feature 3 or 4 band EQ, microphone/line inputs, 5 pre/post-lade auxiliary sends, and channel overload indicators. Options include transformerless mic pre amps on a subcard, separate transformerless TAPE input for remix, stereo input modules, stereo EQ, internal stereo XY/MS active matrix, stereo blend control, dual line inputs, variable HP and LP filters, user defined panel switches, and the list goes on.\n\n**Listen to the quiet.** The entire 900 console frame design is consistent with the advanced module design. A completely independent signal reference ground system assures preservation of individual circuit CMRR figures. The result is overall noise performance compatible with digital recording.\n\n**As time goes by.** All 900 consoles adhere to strict STUDER standards for precision and reliability. The frame is built on a rigid channel and brace structure, and each module uses pin-and-socket Eurocard connectors.\n\nFrame connectors are mounted on longitudinal master boards with solid support from horizontal and vertical frame members. All components, switches and pots are commercial/industrial grade from the best US and European manufacturers. In sum, a 900 is built to last as long as a STUDER recorder.\n\nFor quality, flexibility, and the reliability, it ranks among the world's finest, and you may find the pricing surprisingly competitive.\n\nFor more information on STUDER consoles please contact:\n\nSTUDER INTERNATIONAL AG\nCH-8105 Regensdorf Telephone (01) 840 29 60\n\nSTUDER REVOX AMERICA INC Nashville Telephone (615) 254 5651\nSTUDER REVOX S A R L Paris Telephone 533 5858\nSTUDER REVOX CANADA LTD Toronto Telephone (416) 423-2831\n\nF.W.O. Bauch Limited\n49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ\nTelephone 01-953 0091, Telex 27502 Fax 01-2075970\nwww.americanradiohistory.com\n\nDaturr shielded racks\n\nDaturr Ltd is able to supply specialised 19 in equipment racks designed to offer full protection against EMI/RFI interference. Manufactured by Daturr's parent company Knurr AG of Munich and fabricated from steel, the complete enclosure consists of a welded rack shielded by a cabinet of detachable panels. The special design allows access to the enclosed equipment without impairing the RF shielding, even when panels are removed for maintenance and special panels are available to cover gaps left between individual pieces of equipment.\n\nThe RF shielded rack is available in both fixed and mobile versions and can readily be used with various accessories included for use with the standard steel rack.\n\nDaturr Ltd, Albany Park, Camberley, Surrey GU15 2PL, UK. Tel: 0276 681212.\n\nOpTex Amsync audio system\n\nOpTex has developed a compact, crystal controlled stereo recording system for use with either the Sony TC-D5 portable cassette recorder or the Sony WMD 6 C Professional Walkman. The package includes the modified cassette recorder and APS-I resolver. The system retains full stereo capability without resorting to one direction only running.\n\nCrystal control is applied as a sub-audio signal and subsequently filtered out by the APS-I during transfer. An additional timecode head can be fitted but this prevents turning of the cassette.\n\nWhile the TC-D5 provides facilities for powering mics and can be used for recording two separate tracks rather than stereo, the manufacturers suggest using the WM-D6 C in combination with an SQN mixer providing powering, microphone mixing, PPM level control and Dolby C all in a package similar in size to a 4 Ah battery pack.\n\nOptical & Textile Ltd, 22-26 Victoria Road, New Barnet, Herts EN4 9PF. Tel: 01-441 2199. Telex: 8955869.\n\nSoundtracs FM mixer\n\nSoundtracs has announced the FM series 19 in rack-mounting mixer which will be available for fixed installations or fitted in a flight case. The steel and aluminium mainframe which is 15 U high can hold up to 14 (1 unit wide) modules. Current 1 unit wide modules include Mono Input; Mono Input with Remote Start; Stereo Input with Remote Start; Monitor Input; Group Output (8-track monitoring); and Monitor Output. Three other modules are available; the 2 unit wide PA Rec Master; the Monitor Master; and a 4 unit wide Group Output with 4-track monitoring.\n\nWith the modular system a number of configurations are possible including a 8/4/8/2 recording/PA mixer with mono and stereo inputs, an 8/1/0 monitor mixer and a 12/2 PA or 12/2 broadcast version with mono and/or stereo inputs. An external 3 U high power supply is also available.\n\nSoundout Laboratories Ltd, 91 Ewell Road, Surbiton, Surrey KT6 6AH, UK. Tel: 01-399 3392.\n\nUSA: MCI-Intertek Inc, 745 109th Street, Arlington, TX 76011. Tel: (817) 640-6447.\n\nMitsubishi video interface\n\nThe Mitsubishi Pro Audio Group has introduced an interface which will allow communications to the recently introduced IDF (Intelligent Digital Fader) from a CMX editing system or other similar video editing system, providing software for the support of external audio-follow-video devices. The interface will contain protocol information allowing total real-time automation control of fader level and mute commands by an edit system. The IDF system offers 16 groups in four levels of operation and the architecture provides for further interfaces with other automation devices. Each fader is a self contained computer system that provides \\( \\frac{1}{2} \\) frame accurate muting and 0.25 dB fader resolution.\n\nMitsubishi Pro Audio Group, 225 Parkside Drive, San Fernando, CA 91340, USA. Tel: (818) 898-2341.\n\nUK: Mitsubishi Pro Audio Group, Unit 1, Fairway Drive, Greenford, Middx UB6 8PW. Tel: 01-578 0957.\n\nPatchPrints\n\nThe Patch Bay Designation Company is offering a custom labelling service for audio and video patchbays, control panels, racks, consoles, rear illuminated button switches and all field designated areas. The thin plastic PatchPrints are washable and designed not to shrink, stretch or fade. Options include black lettering on a white background or white on black and colour coding.\n\nCorrect specification is important and special layout sheets are available from the company.\n\nThe Patch Bay Designation Company, PO Box 6278, Glendale, CA 91205, USA. Tel: (818) 241-5585.\n\nPortasol soldering iron\n\nThe Portasol soldering iron is a gas powered, lightweight, variable temperature iron available with either a 2.4 mm, 3.2 mm (supplied as standard) or 4.8 mm tip. The iron is simply filled with standard butane gas lighter fuel; the cap has an in-built ignition system and the working temperature is easily controlled in a range equivalent to a standard 10 to 60 W electric iron. In addition to its portability, an obvious asset is the reduced risk of damage to electrically sensitive components.\n\nJEM Marketing, 180 Princes Avenue, Palmers Green, London N13 6HL, UK. Tel: 01-889 1415.\n\nA sound choice all round...\n\nCourt Acoustics now offer you a range of graphic equalisers, each ruggedly designed for professional life. The GE30 and GE60 mono and stereo 30-band third-octave graphics; ISO centres from 25Hz to 20kHz. The GE1515 stereo half-octave equaliser, with 15 bands from 25Hz to 16kHz, or the GE1515X with additional built-in 12dB/octave 2- or 3-way variable crossover.\n\nOther facilities include 10dB boost and cut with centre detents. Electronically balanced inputs and outputs – XLR and 1/4 in jack – with optional transformer balancing. The relays giving hard-wired bypass in power-off. Top and bottom sliders offer low-pass and high-pass filter characteristics respectively – at 18dB/octave.\n\nOur special 'Uniloop' design makes our graphics unique. The fact that even with all the faders at maximum or minimum, you'll get a largely flat response.\n\nCourt Acoustics, 29 Beethoven Street, London W10 Tel 01-960 8178\n\n**Toa KY condenser mic**\n\nAimed at a variety of on-stage and studio applications the Toa KY condenser mic is a modular design featuring a newly developed thin, gold vapourised diaphragm. A YMM musical instrument mic capsule is supplied as standard but optional YMV and YFV capsules for male and female tenor voices are available.\n\nThe mic includes a built-in voltage regulator and can be used with external voltages between 9 to 52 V. Other features include a red LED to indicate live status, lockable On/Off switch, removable windshield and a grey matt finish to reduce glare under stage lighting.\n\n**UK:** Toa Electronics Ltd., Tallon Road, Hutton Industrial Estate, Brentwood, Essex CM13 1TG, UK. Tel: 0277 233882.\n\n**USA:** Toa Electronics Inc, 480 Carlton Court, San Francisco, CA 94080. Tel: (415) 588-2538.\n\n---\n\n**MS-Audiotron MCA-Multimix**\n\nDescribed by the Finnish manufacturer as a unique computer-controlled audio system for theatre, musical and similar applications, the MCA system is part of the Multimix audio console. The system is based on a Rockwell FORTH microcomputer with a 3.5 in disk drive. Communication is via a CRT terminal and the MCA system also supports an optional printer. Modifications to the basic Multimix console include replacement GC8 computer-controlled grouping modules on all mic or line channels requiring MCA control and an LCS level control module fed from the group output.\n\nSoftware is used to control (via a serial interface) tape machines under direct command of the MCA system. Commands available are start and stop the tape on cue and autolocate. Four relay start outputs (without autolocate) are available for tape machines without serial interface.\n\nThe complete system is designed to handle input channel routing, output matrix switching with level control and speaker matrix switching and tape machine control. Subroutings for fade in and/or fade out and multichannel panning are a feature of the software. Panning can be carried out either manually or alternatively the channel sequence, mixing and panning velocities can be saved in the situation memory. In order to facilitate the setting up of theatre sound effects the MCA system can be controlled via a portable terminal either on stage or from the auditorium.\n\n**MS-Audiotron, Laitilantie 10, 00420 Helsinki 42, Finland. Tel: 90-566 4644.**\n\n---\n\n**In brief**\n\n**TMK Instruments** has released details of the CLM1 and CLM2 digital cable length meters. In addition to measuring general lengths of at least 2-core or core and screen cable, the new meters can be used to measure a full reel and monitor the amount used over a period of time. Both instruments have three ranges (2 m, 200 m and 2 km) and are claimed to be accurate to within 1%. The CLM1 is for use with most general purpose cables (capacitance range: 85-275 pF/m) and the CLM2 for lower capacitance cables (<40-100 pF/m). Free accessories include test leads, test prods, battery, instruction manual and carrying case. Harris Electronics (London) Ltd, 138 Grays Inn Road, London WC1N 8AX, UK. Tel: 01-837 7777.\n\n**Switchcraft Inc** has introduced a new range of black non-insulative QG connectors with gold contacts. The range is available in 3-pin A and D series connectors.\n\n**Ampex** is providing an extra 4 min of tape on its 672 series professional audio C-30, C-45, C-60 and C-90 cassettes. This is primarily to cater for the spoken word recording market’s requirements.\n\n**Agfa-Gevaert Inc** has announced the availability of PEM 469 in 5,000 ft lengths. The new 2 in version is wound on 14 in spools.\n\n**Yale Audio** has introduced C-1 and C-2 self-adhesive vinyl labels for professional users. The C-1 sheet which is available in either black, red or white contains various positional markers for labelling knobs, switches, pushbuttons, etc. The sheet includes a variety of graphic switch positions, arrows and ‘pointing fingers’. C-2 is for use in identifying cables and includes various symbols, numbers and commonly used letters. Yale Audio of Florida Corp, PO Box 2661, Tampa, FL 33601, USA.\n\n**Audio Precision** has just released new optional plug-in filters for its System One to allow the individual measurement of second or third harmonic distortion. Commonly used fundamental frequencies (1 kHz, 400 Hz and 315 Hz) are available to order and the new filters can be custom made for any frequency in the audio range. Also new is the wow and flutter option. In addition to NAB, IEC (DIN) and JIS weighted and unweighted measurements the new option has a scrape flutter bandwidth extended to 5 kHz. New routing switcher modules now permit multitrack tape machines, analogue or digital to be connected to System One.\n\n**Levell Electronics’ HM208** digital storage oscilloscope is now available. The instrument can be used as a dual 20 MHz real time oscilloscope or as a digital storage oscilloscope with digitising rate up to 20 MHz. Maximum sensitivity is 1 mV/cm.\n\n**Sound Technology** has introduced **Audio Test Software** for use with the 1500A or 1510A audio test system and IBM compatible computer. The menu driven software measures 2-channel AC volts, azimuth, 2nd, 3rd and THD, frequency response, flat and weighted noise, maximum operating level and channel separation. In addition to the graphic and general test module there is a tape test module which performs an automatic pass/fail testing sequence for 2- or 3-head tape recorders.\n\nIT MAKES TAPE MORE FLEXIBLE\n\nOtari would like to draw your attention to a remarkable new recorder: The MX70. The MX70's microprocessor-controlled tape transport, closed-loop tension control and real-time tape counters give you instant, accurate tape control. And that gives you more time to do a better job.\n\nThe MX70 is designed for ease of use with machine controllers and synchronisers, meeting a variety of standards, including SMPTE. This makes it as valuable in video post-production and broadcast studios as it is in audio recording.\n\nFeatures like these, and many others, make the MX70 one of the most flexible tools any growing studio could wish for.\n\nBut there's one area where Otari's MX70 really does offer the kind of flexibility that no other machine can match. In formats.\n\nThe MX70's option list lets you choose between 1\" 8-track and 1\" 16-track formats. Convert to ½\" 8-track. Or even switch between all three options on the same machine.\n\nBut while the MX70 sets new standards for flexibility, the men at Otari have stuck rigidly to tradition.\n\nThey haven't budged an inch on quality.\n\nJBL 6215 amplifier\n\nJBL Professional has introduced a new power amplifier designed to fit into a single 19 in rack space. The 6215 has a rated output of 35 W into 8 Ω, 45 W into 4 Ω or 90 W into 8 Ω, mono bridged mode and is recommended for use where power requirements are minimal such as driving headphones or small speakers in confined studio or broadcast applications.\n\nThe amplifier is housed in a heavy gauge, rugged steel chassis and features fully complementary devices in all pre-driver, driver and output stages. Reduced audible distortion is claimed by using a low transient intermodulation design (pre-driver stage local feedback) with minimal overall negative feedback required to set the overall circuit operating points.\n\nInputs are standard ¼ in TRS, XL connectors or barrier strip, output terminations feature 5-way binding posts. Individually stepped gain controls allow precise setting of input sensitivity.\n\nJBL Professional, 8500 Balboa Boulevard, Northridge, CA 91329, USA. Tel: (818) 893-8411.\n\nUK: Harman (Audio) UK Ltd, Mill Street, Slough SL2 5DD. Tel: (0753) 76911.\n\nNexo PCLine speaker systems\n\nFrench manufacturer Nexo has released a new range of small loudspeaker enclosures. Initially three models will be available—the PC115, an 8 Ω four unit enclosure suitable for use with 250 to 450 W amplifiers; the PC212, a 4 Ω, five unit enclosure for use with 500 to 700 W amplifiers and the PCSub, a sub woofer system using a single 18 in drive unit and suitable for 500 to 700 W amplifiers. Wedge versions of the PC115 and PC212 are due to be released in the near future.\n\nAll the loudspeakers feature five rigging points and with the exception of the sub woofer have provision for stands and brackets.\n\nAccording to the manufacturer new computer optimised bass loading allows volume reduction and increased low frequency extension. Overall frequency response (+3 dB) for the PC115 is 55 Hz to 17 kHz; for the PC212, 50 Hz to 17 kHz and for the sub woofer 40 to 100 Hz. nominal peak SPL specifications are 130, 133 and 130 dB SPL/1 m respectively.\n\nNexo Distribution, 153, Allée des Erables, ZAC de Paris Nord II, BP 50107, F-95950 ROISSY, Charles-de-Gaulle, Cedex, France.\n\nAdams-Smith controller\n\nAdams-Smith recently announced the availability of the new 2600 CC compact controller. The new controller can operate five tape synchroniser modules and a timecode generator to control and synchronise up to five audio or video recorders. Fully automated previewing, recording and replay can be implemented using only the system in and out points with all offsets, pre- and post-rolls and durations calculated automatically. Other traditional editing functions such as auto cueing, looping, stopping, recording, etc. are also provided.\n\nThe new controller also includes eight non-volatile function keys enabling the user to store often used routines; 100-position, 12-digit, non-volatile scratch pad memory; timecode/ft and frames conversion; drop/non-drop frame conversion; ATR varispeed and optional — frame accurate audio punch in/punch out and/or aux equipment turn on or turn off.\n\nThe 2600 CC, which is small and light enough to be held in one hand, can be connected up to 500 ft (150 m) from the System 2600 chassis and is compatible with other System 2600 modules.\n\nAdams-Smith, 34 Tower Street, Hudson, MA 01749, USA. Tel: (617) 562-3801.\n\nUK: Adams Smith UK Ltd, Barnwell House, Room 9, Barnwell Drive, Cambridge CB5 8UJ. Tel: 0223 215 366.\n\nIbanez SDR1000 reverb\n\nIbanez has introduced the SDR1000 stereo digital reverb. Using high speed parallel digital processing the two channels can either be programmed independently using different modes or set for identical reverb characteristics. A choice of 30 preset programs or 70 user-definable presets are provided. Eight overall characteristics: Hall, Room, Plate, Gate, Reverse, Dual Delay, Dual Reverb and Auto Panning provide the basis from which all the presets are derived.\n\nFront panel facilities include 4-band EQ, 12 edit modes and three MIDI parameters, and in-built software allows direct comparison of new sounds against sounds already in the memory.\n\nInput and output levels are quoted at −20, +4 dBV, impedance 47 kΩ (input), 600 Ω (output). The unit is 16-bit linear (26 kHz sampling) providing a 90 dB dynamic range and a frequency range (on effects) from 20 Hz to 10 kHz. Total harmonic distortion is claimed to be less than 0.03%.\n\nUK: C Summerfield Ltd, Dukesway, Team Valley, Gateshead, Tyne & Wear NE11 OUR. UK. Tel: 091 482 2228.\n\nUSA: Hoshino (USA) Inc, 1726 Winchester Road, PO Box 886, Bensalem, PA 19020. Tel: (215) 638-8670.\n\nRush outboard EQ\n\nDesigned in response to requests from users of computer-controlled consoles who desire the smoother sound usually associated with older desks which have inductors and shelving type circuitry Rush Electronics has announced its new outboard equaliser. The unit features high and low frequency shelving controls each with five switchable frequencies, two mid frequency presence controls each with 10 switchable frequencies and high and low pass filters, 18 dB/octave at five switchable frequencies. Gain is adjustable between −10 and +10 dB and each module has polarity, equaliser in/out and filter in/out switches.\n\nUp to eight individual modules and power supply can be mounted in a 10½ in (265.9 mm) Eurocard frame and either transformer or active balanced inputs and outputs can be specified.\n\nThe module is also available with a mic input using a 23 position gain switch (−80 to −20 dB mic/−10 to +20 dB line) in 5 dB steps. On line input a trim control is also provided for fine adjustment. Also available is a single chip microprocessor system which can recall all control settings and has up to 20 memories. An onboard battery backup retains memory information when the power is switched off.\n\nRush Electronics Ltd, 29 Alexandra Road, London N8 0PL, UK. Tel: 01-889 2200.\n\nThe finest touring consoles never stand still.\n\nMany of the world's top artists regard Soundcraft touring consoles as outstanding. However, that hasn't made us complacent. We've made a few enhancements to the Series Four, derived from listening to the people who use it.\n\nAnd based on the world's most successful live sound desk, the 800B, we've developed an exceptional new touring console – the Series 8000.\n\nBoth possess the advanced ergonomics, operational simplicity and reliability you've grown to expect.\n\nSeries Four and Series 8000. Classic technology, created for music.\n\nFor further information, contact us today.\n\nSoundcraft\n\nPERFORMANCE SERIES\n\nSoundcraft Electronics Ltd, Unit 2, Borehamwood Inc Park, Rowley Lane, Borehamwood, Herts WD6 5PZ, England. Tel: 01 2075060 Fax: 01 21998 (SCRAFT@). Fax: 01 2070194\nSoundcraft USA (1)313-453-4591 Soundcraft Canada (514) 685-1610 Soundcraft Japan (03) 341-6201.\n\nGreengate DS:3 and DS:4\n\nGreengate recently announced major additions to its Apple-based sampling sequencer package.\n\nA MIDI card and updated software allows the DS:3 sampler to be controlled from the Greengate keyboard or to interface with other MIDI devices.\n\nThe MEG-1 board is an add-on memory card which fits inside the system's Apple computer to give vastly extended memory facilities. MEG-1 samples at up to 85 kHz and gives a maximum 148 s sample at around 3 kHz response. The whole sample can be visually edited and dumped to disk even if up to nine disks are required—an alternative is to use the new Apple High Capacity disk drive.\n\nIn the Performer mode MEG-1 can hold 32 sounds for full-time monophonic playing or 4-note polyphonic playing of the first 2 s of the sample. Sounds for a live performance can be loaded into the MEG-1 from disk and pulled down virtually instantaneously.\n\nSYN 1 is a software disk for the DS:3 which allows the system to synthesise its own sounds from scratch, or combine and edit sampled sounds. Two sampled or synthesised waveforms may be put through an 'in-betweening' process which transforms one into the other during the course of a note. Sound envelopes can be edited or reversed. All sounds are audible during editing.\n\nThe GDX 7 software allows the DS:3 to be used as an editing and library system for the Yamaha DX-7. The display lists all DX-7 parameters and allows you to edit sounds using the computer's keyboard and to play sounds from the Apple keyboard for TX-7 and TX-816 FM module editing.\n\nEnvelope generators can be copied and voices initialised instantly, and it is possible to enter upper and lower case names into the DX-7. Banks of sounds can be re-arranged and it is possible to save 29 x 32 sounds (total 928) on to a single Apple disk.\n\nSoon to be released is Greengate's DS:4, a 16-bit, 8- or 16-voice, 12 or 24 s sampler with MIDI, 'intelligent' SMPTE, optional waveform creation and digital delay software.\n\nGreengate Productions, Unit D, Happy Valley Industrial Park, Primrose Hill, Kings Langley, Herts WD4 8HZ, UK. Tel: 09277 69149.\nUSA: Greengate Productions, 2041 Pioneer Court, Suite 15, San Mateo, CA 94403. Tel: (415) 345-3064.\n\n360 Systems MIDI Bass\n\n360 Systems is now shipping the MIDI Bass, a monophonic bass sample-playing unit with interchangeable EPROMs.\n\nThumb/Slap, Fretless, Gibson, Fender, Synth and many other bass sounds are available and the unit is supplied with picked, slapped, upright and MiniMoog bass sounds. Programmable split point and velocity sensitivity are featured.\n\n360 Systems, 18730 Oxnard Street, Tarzana, CA 91356, USA. Tel: (213) 342-3127.\nUK: Rod Argent's Keyboards, 20 Denmark Street, London WC2H 8NA. Tel: 01-379 6690.\n\nC-Lab Supertrack\n\nSupertrack is a 16-channel polyphonic MIDI recording system for the Commodore 64 micro and the C-Lab, Steinberg, Jellinghaus, Korg, Yamaha or other interface.\n\nThe 16 tracks are assignable to any MIDI channel and are labelled with channel number, on/off status, velocity level, transpose value, quantise value and loop length. Tempo can be altered as the patterns play, tracks can loop around any portion of their total length independently. Maximum pattern length is 256 quarter-notes in any time signature. Sixty-three patterns can be held before disk dumping and used to create 8,500 note compositions comprising up to 255 patterns.\n\nPlaying can be auto-corrected for timing or mixed with step time entry and patterns can be repeated in different keys or with different tracks muted. Any of the 16 tracks of a pattern can be edited using a display of every MIDI event including note, velocity and patch change information.\n\nCompleted tracks can be transposed, delayed for echo effects, doubled or halved in speed, copied or 'ghosted' to experiment with new velocity or transpose values, merged or 'punched in' for overdubbing and saved to disk. MIDI or clock pulse drum machines and sequencers can be synchronised depending on the interface used and the package is SMPTE-compatible using a Roland SPX-80 or similar unit.\n\nC-Lab, PO Box 710446, 2000 Hamburg 71, West Germany.\nUK: Sound Technology, 6 Letchworth Business Centre, Avenue One, Letchworth, Herts SG6 2HR. Tel: 0462 675675.\n\nBeetle accessories\n\nThe Beetle PR-7 is an editing device laid out to resemble the front panel of a Yamaha DX-7 synthesiser. It allows the user to edit sounds on Yamaha's TX-7 or TX-816 FM modules without a DX-7 and has a slot for a ROM or RAM sound cartridge. Beetle's QR-1 is a 'RAM Disc' which replaces the Yamaha DX and RX, Casio CZ and Roland TR series cartridges.\n\nBeetle Inc, 117E Colorado Boulevard #8250, Pasadena, CA 91105 USA.\n\nAMEK\n\nAPC 1000\nASSIGNABLE PRODUCTION CONSOLE\n\nWith Reset, Recall, 64 Busses, Keyboard Control and the GML Moving Fader System, AMEK APC 1000 ASSIGNABLE PRODUCTION CONSOLE offers the recording industry its first viable alternative in years.\n\nThe Next Revolution in Console Technology is here\n\nHead Office and Sales:\nAMEK SYSTEMS AND CONTROLS LTD,\nIslington Mill, James St,\nSalford M3 5HW, England\ntel: 061/834 6747\ntelex: 668127 AMEK G\n\nIn the USA:\nAMEK CONSOLES INC,\n10815 Burbank Blvd,\nNorth Hollywood, Ca 91601\ntel: (818) 508 9788\ntelex: 662526 AMEK USA.\n\nwww.americanradiohistory.com\n\nWE’VE GOT THE BEST OF 24 TRACK WRAPPED UP FOR YOU.\n\nWhen you’re going 24 track, choosing the right equipment is vital, because you’ll be working with it for the next few years.\n\nSo we put ourselves in your position. And brought together the best in 24 track.\n\nThe result is the UK’s only professional 24 track centre.\n\nHere, for the first time, you can get your hands on and discuss a unique range of equipment – all under one roof.\n\nWe’ve consoles like the Trident Series 75, the Soundcraft TS24 and, for the first time in a UK show-room, the new automated Amek Angela.\n\nTogether with multitracks and mastering recorders from Otari and Soundcraft – and the latest in synchronisers.\n\nOur advice is free, our back-up comprehensive.\n\nSo come and test the best in 24 track for yourself. We’ll help you get it well wrapped up.\n\nStirling\nAUDIO SYSTEMS LTD\n\nTHE FIRST STUDIO SYSTEM CENTRE\n\n1 Canfield Place, London NW6 3BT Tel: 01-625 4515 Telex 946240 CWEASY G Ref No. I90 I4280\n\nDIGITAL MASTERING\nTAPE ONE\n\nTape One studios rose to fame when they became the first facility capable of processing digital recordings fully digital. Janet Angus talks to co-owner Bill Foster about their rooms, equipment, and philosophy and his thoughts on digital and the future.\n\nTape One has been in the disc cutting business since 1975 and was therefore well placed to take what at the time, was a very radical, or at least risky step. As early as 1983 co-owners Bill Foster and Barry Ainsworth came to the conclusion that the future of recording was going to be very heavily digitally orientated and they decided to order two digital consoles from Neve. The first took one year to arrive; the other took two. The first to arrive was nicknamed Attila because it looks just like a cash register! Not a conventional multitrack mixing console as such, as it only has two channels but it is capable of providing EQ and level correction in the digital domain. This meant that if you brought in your 1610 digital master cassette it was no longer necessary to go through the previously unavoidable DA and A/D conversion when mastering.\n\nBill: \"The effect of an all-digital chain is to give greater separation left and right. Look at something like Return of the Jedi, which was done at Abbey Road/Anvil. We got it here to cut and as an experiment we bypassed the analogue desk completely. The difference was astounding. That was one of the things that prompted us to go for all this.\"\n\nHaving already acquired the first Sony 1610 in 1982, they met with a certain amount of resistance from Neve in early 1983 when they put to them the idea of developing a small digital console. \"They wanted to make big music consoles, not silly little two channel things like that.\"\n\nAttila now has its home in Digit One situated in the basement of the Windmill Street premises. The room was formerly a jingles studio with voiceover booth, then it was used for cassette mastering and is now about to undergo the Tom Hidley studio treatment to bring it in line with the other two digital rooms in the building.\n\nAttila is fed from Sony 1610/1630s, has EQ, limiter/compressor and gain control and gives a 1610/1630 compatible signal out. As a lot of CD work is on the 1610/1630 format this made more sense than converting a digital recording to analogue and back again.\n\nAnother radical step was the arrival of a Philips PQ subcode editor around the same time as the Attila, making Tape One the first facility to offer PQ editing outside a CD manufacturing plant. This is installed in Digit Two. Other equipment in Digit One and Two includes Sony DAE 1100 editor and PCM 701.\n\nThe new Digit Two and Cutting Room One are located on the top floor; although it is not ideal having the rooms split in this fashion it was preferable to moving somewhere different. Bill: \"We were restricted for space and our hands were tied, apart from moving. It would be mad to go though because at least 60% of our clients—the record companies—have WI addresses. And anyway, to move would be too great an upheaval.\"\n\nA couple of flights of stairs, however, is no hardship. The only real handicaps were restricted room space and possibly, ceiling height. Cutting Room One was opened January 2 1986. A Tom Hidley '30 Hz Room' (\"we would have liked the 20 Hz version but there just wasn't enough room\"), it is roughly 14 x 10 ft. with finishes in light oak and white and blue fabrics. At the moment with the Neve console, Tape One have an advantage over the competition.\n\n\"Neve were very bold really. It was a hell of a step to design a digital console from the ground up and the result really is a remarkable piece of equipment. The market in DSP is going to be post-production for the next few years until there are enough digital multitracks in the field. But for post-production—having recorded your master at any studio of your choice—you now have your stereo in digital. Once you reach this stage I don't like to put it back into analogue until the last possible moment; too many DA and A/D conversions degrade the sound. Nowhere in the chain here does it go into analogue!\"\n\nThe Neve has 48 kHz sampling and there are two custom built sampling rate converters (44.1 kHz to 48 kHz to 44.1 kHz) for 1610/Neve. The Neumann VMS80 cutting lathe is controlled from the desk and has all metering and indicators remotied to the desk position. The Neve has a programmable 40-event memory. EQ, compressor, limiter, lathe settings and level may all be stored on a 3 1/2 floppy disk and each album stored on a separate disk.\n\nThe monitoring section of the console can input analogue or digital sources (two of each). Copy tape output can be pre- or post-EQ. There are a couple of analogue insertion points...\n\nThe Dolby XP Series\n\nProfessional Cost-effective\n\nThe Dolby XP Series contains up to 24 channels of Dolby A-type noise reduction in 12\\(\\frac{3}{4}\\)” of rack space, including power supply. The XP Series utilizes an on-board, integrated noise reduction circuit instead of the interchangeable Cat. No. 22 modules used in the SP Series, providing the same A-type noise reduction at a price over 20% lower.\n\nEach XP noise reduction channel consists of a plug-in Cat. No. 331 module which contains the Dolby A-type noise reduction circuitry, precision input and output amplifiers with low distortion, controls, and an accurate LED calibration display. The separate, regulated PS3 power supply, designed for rack mounting directly above the noise reduction unit chassis, contains fan cooling and electronically-controlled output protection.\n\nThe XP Series includes “uncal” controls, permitting convenient resetting of Dolby level for playback of and punch-in on tapes from studios with different Dolby level standards. The user can select the option of “hard-wired” or electronically-buffered bypass of individual channels or all channels simultaneously. The XP offers discrete FET switching for reliable, noise-free routing of audio signals. For convenience of wiring and for stability, a new detachable multi-channel connector plate is used, with tie bar for the cable form.\n\nDolby noise reduction is a mainstay of professional multi-track recording in studios throughout the world for music, film, broadcast, television, and videotape production. Over 90,000 channels are now in use world-wide. The benefits of Dolby A-type — improved signal-to-noise ratio, lower distortion, and reduced cross-talk and print-through — are achieved with a minimum of signal processing and with resultant high signal integrity.\n\nDolby Laboratories Inc., 100 Paterno Avenue, San Francisco CA 94103. Telephone (415) 538 0200 Telex 34109\n\n346 Clapham Road, London SW9 9AP. Telephone (01) 720-1111, Telex 919109\n\n“Dolby” and the double-D symbol are trademarks of Dolby Laboratories Licensing Corporation L85 300\n\nbeing the first to take in a DSP and now with their new digital disc mastering console Tape One has gained a wealth of experience. From a practical point of view Bill finds the digital EQ much more precise than the conventional analogue. Rather than sweep EQ, the Neve has selectable spot frequencies which are fairly close. It has variable Q and high and low pass filters.\n\n\"For EQ in the digital domain—the same rules apply as in analogue. But it is unlike analogue EQ in that there you are changing a pot against a painted number and depending on the manufacturer having screwed the pot on in the right place to make it accurate—or not.\"\n\n\"But digital EQ has one huge advantage over analogue EQ because it is only a string of numbers. If you were foolish enough to want to put in for example 6.7 dB of boost at 8.3 kHz, you add that to the left hand channel and exactly the same on the right hand channel so you don't introduce any phase error. In analogue it is always slightly different. There is no ringing from the EQs or any other nasty side effects and that exact EQ can be instantly recalled.\"\n\n\"With limiting, because you are processing a digital signal as it passes through, problems such as overshoot are eliminated.\"\n\n\"If you are cutting a vinyl disc, obviously ultimately it is going to be analogue. We feel we would prefer a digital signal to stay that way for as long as possible, ie the front end of the disc cutting amp.\"\n\nBill feels that audio post-production facilities will all go digital quite quickly, although at the moment there is not really room for every cutting room in England to have a DSP. During a recent interview at the CBS pressing plant it was suggested that a lot of pressing problems are being created by the misuse of digital recording equipment. Although Bill agrees that this might well be the case he feels that it is a problem for the producer rather than the cutting room. By the time it reaches cutting those sort of problems should have been eliminated.\n\n\"Obviously I don't mean that we would just ignore it if it was there. For example we can do different versions for vinyl or CD to change the dynamic range but we are set by the maximum levels of the vinyl noise. Yes digital does allow you to do things which vinyl doesn't necessarily like.\"\n\nThe monitors in Cutting Room One are a Tom Hidley design and feature Kinoshita horns with TAD bass drivers set in concrete. They are driven by an FM Acoustics 800 series amp. Nearfield monitors are Yamaha NS10s and they are novelly mounted slung across either end of the console angled in to the engineering position.\n\nAll the cabling on the top floor was designed by Rod Duggan of TotalSystems. In the cutting room there are insertion points for three machine positions: standard analogue in/out, parallel remote for the A80-type machine, serial remote RS422 for the 820 and D820 when they eventually get one (the Neve remote control system is serial), and remote for the 5850 DAs—1610-type U-matics, there are three video cables: left, right and clock for 1610; and an AES/EBU interface in both directions—the latter runs the Mitsubishi X-80 coupled to a custom built box which converts the Mitsubishi signal to AES/EBU enabling us to plug straight into the Neve without going into analogue.\n\nOther equipment in here includes a Yamaha REV 7.\n\n\"It's a very competent little unit and you can use it to add a bit of echo or if a producer wants anything specific we can hire it in.\"\n\nTape recorders include Studer A80, A820 (will be two) for analogue copies, A710 cassette recorder, Sony 701 and C9 (seven of which are in the building). There are currently two channels of Dolby A although Tape One has ordered a pair of Dolby SRs because they anticipate SR tapes coming in from the States in the near future. Plans to add the Studer D820 to this tape machine complement have been abandoned for the time being. Originally marked down for the first UK available machine, Tape One have relinquished their option. \"As DASH 2-track appeared so late we are unsure how fast it is going to be accepted. We felt it would be better if the first machines went to the hire companies. We still have an option but we will bide our time. There is not much point in us having the only machine. Had DASH appeared in 1984 it would have had more impact on the market than it is going to now.\"\n\nDigit Two is again a Hidley room. Used for CD pre-mastering the room has not been designed to do complete remix work, although it can accept analogue sources. It is generally utilised for working on masters or production masters which are EQ'd and ready to roll.\n\nThe console is a DDA S series 4-channel with very basic facilities. Any really heavy EQ requirements will go into Digit One. Digital metering, again by TotalSystems, gives a readout of 1610/1630, level, error correction, peak hold and overmodulation.\n\nThe monitors are Studer 2706s, driven by an HIT amplifier. They apparently tried out various monitors in this room and eventually came across the Studers which turned out to suit the room perfectly.\n\nJust arrived was another UK first: the bu102 from Harmonia Mundi for use in CD pre-mastering. Future updates to this will include the addition of EQ.\n\nThe procedure in Digit Two goes like this: transfer to tape master; check CD record level; check emphasis status, transfer from F1 and digitally (with the Harmonia Mundi), adjust the programme time correction if it is wrong.\n\nOrdered in 1983, the PQ editor arrived in May 1984, the same time as the first Neve DSP. This facility is advantageous for a number of reasons. If the CD plant is busy and they have a backlog you may well have to wait two weeks for them to be able to fit your CD in for PQ editing. If you are able to supply the tape master with PQ already on it, it is ready to go straight into production, thus saving an unnecessary wait.\n\n\"With PQ code, there is often an artistic point to put the track change and it is not necessarily where the white coated engineer at the CD plant would think. We felt that this was a decision that engineers and producers would like to take part in.\n\nTechnically it is not possible to overlap between tracks on a CD—what does the player do when you select your tracks? It cuts off and picks up at specific points, you cannot have a crossfade. If it is a complex album we can spend quite some time on this aspect.\"\n\nThe Sony CD mastering system comprises a range of independent, yet fully compatible products to give you total financial control during your integration into the world of digital sound. Just clip the coupon and we will send you a copy of 'CD Masters' that will tell you how to build, from a simple digital recording system to a complete CD Master post production suite.\n\n**CD MASTER GUARANTEE**\n\nSony Pro-Audio guarantee that all compact disc manufacturers accept the Sony format, and more tape duplicating plants and cutting centres are equipped with Sony equipment than that of any other manufacturer.\n\n**Sony Pro-Audio**\n\nSony Broadcast Ltd.\nBelgrave House\nBasing View, Basingstoke\nHampshire RG21 2LA\nUnited Kingdom\n\nTelephone (0256) 55 0 11\nInternational + 44 256 55 0.11\nTelex 85 84 24\nFax G2/G3 (0256) 4745 85\n\nMarketing Services,\nSony Broadcast Ltd.,\nBelgrave House,\nBasing View, Basingstoke,\nHampshire RG21 2LA\nTelephone (0256) 55011\n\nPlease send me my copy of Sony 'CD Masters' to:\n\nName ____________________________\nPosition ___________________________\nCompany __________________________\nAddress ___________________________\n_______________________________\nTel _____________________________\n\nSS/8/86\n\n\"The Sony PQ editor gives you a print out as does this Philips one we have, but the advantage of the Philips is that it also allows you to type in track listings and technical information. You can put remarks at the end for the CD plant. For example, if there is any clicking or hiss you can tell them where it is. Otherwise you may have the thing sent back to you unnecessarily. They are particularly 'unusual' about this in Japan—any little hiss or click and it's straight back. This way you can tell the mastering engineer at the plant and save everybody a lot of trouble. There was an example once of a Japanese plant sending a CD master back because it had some noise on it which turned out to be the musicians picking up their instruments. So it saves time and money if you can tell them things like that at the start. Other common things include it sounding like the beginning is chopped off, you can tell them in advance.\"\n\nThe final process is digital verification of the tape with the Sony DTA 2000.\n\n\"This room was designed for critical monitoring. In here we are listening for audio defects such as image shifting, or granular distortion on some of the earlier digital recording at lower levels. We can also use the room for straight editing. Being intended for working with digital recording the noise level of these rooms is critical and all machinery which may possibly be housed elsewhere is. The machine room is located in between Digit Two and Cutting Room One. Powered in two halves it contains the DSP computer, two Sony 1610s, 5850 DA, Sony tape analyser, Editor and Philips PQ editor, three Sony BVU200 U-matics for Digit Two (considered more robust for CD mastering than the more usual 5850 DAs). Bill: \"The third can be assigned to the disc cutting room if they need it.\" Also housed in here are the analogue input/outputs and sampling rate converters for the Neve.\n\nIt is relatively recently that digital work has really taken off outside the world of classical music recording. Although digital recording ultimately comes into its own in that type of recording it nevertheless has a pretty strong case in all types of music recording. For evidence of this you only need to look at the amount and type of work going through Tape One every day.\n\nClassical music accounts for only 40% of CDs now. Classical music will generally either be recorded by the majors (eg EMI) where they have their own mastering suite or Decca where they have their own digital system) and it will probably go to either digital multitrack or straight to stereo. They don't usually want to re-EQ because they do that when they are recording. The level of post-production required in classical music with regard to EQ is fairly minimal. Classical engineers coming to Tape One will generally want to simply make copies, get rid of pre-emphasis or correct traffic noise.\n\nBill: \"Digital multitrack will make a difference with pop. You only have to listen to something like Tina Turner's Private Dancer. That is probably the best pop CD to come out of this country. On tracks like I can't stand the Rain, where the beginning of the track is really quiet, you really notice the difference; it is very apparent. Some of it was analogue I think but it has been very carefully laid. Icehouse is another one—the clarity on an all-digital album is unbeatable.\n\n\"I think digital is very valid in pop. Mixing to digital is perhaps the key, or the first copy from the analogue mix. The problem in post-production is that you go into so many generations. The normal procedure is that you get a master mix or even a collection of master mixes done at various studios which probably have to be copied onto a production master. It is impractical to send that to both the cutting room and the cassette plant—the cutting room might be in London and the cassette plant in Leicester. So you copy the production master for cassette. Then the CD plant will need a dub...\n\n\"For purely economic reasons, if a copy tape is sent to England from America they will have that re-copied for Europe. Coming into England, EEC taxes have to be paid. Once within the EEC it can be distributed throughout Europe without the tax being levied again. If the production master is digital, all those copies can be done in the digital domain without degradation. You still have multiple digital generations, but I think that it is accepted that the losses in the digital domain are undetectable.\n\n\"When you get producers with digital recordings coming in they want to keep it digital. While you are cutting the lacquers a copy for CD can be made without going back into analogue. You can simultaneously make a separate copy for CD without the EQ for the disc.\"\n\nCutting Room One may also be used for compiling CDs. A recent example of this was Bryan Ferry's Street Life. We transferred it from Mitsubishi X-80, EQ'd and made it up. We did the lacquers, cassette master and a 74-minute CD (the longest pop CD ever?) all in digital, all done in here and all in one hit. That is an example of this digital audio post-production set-up working perfectly.\n\nThe standard of tapes arriving at the cutting/CD pre-mastering facility has, Bill feels, improved quite a lot in the last three years—indirectly because of digital.\n\n\"A lot of pop balance engineers are a bit respectful of digital and are therefore taking more care over things they might hitherto have neglected. They are having to be a lot more disciplined. With analogue you can usually sort it out in the mix, digital, if you go over the top you've had it, you glitched it and you've lost it.\n\n\"There is a growing awareness of digital and some of the early problems (such as undermodulation giving much increased noise floor, bad edits, varying emphasis status), have now gone away. Most engineers are much more aware of the discipline required in digital.\n\n\"A lot of the engineers who grew up in the 70s got used to not having to worry about the equipment. It's like driving a car at 70 mph—you can forget that one wrong move and you are dead because the machinery these days is so sophisticated you can do 70 and hardly notice it. When I got my first car, it did 70 but you really knew about it; it rattled and shook and the tappets were flying up through the bonnet. The same thing happened with the early days of recording when you had those consoles with the big knobs. Now we have digital technology and it's back to the goggles and flying hat!\"\n\nIt's 4am, you are suffering from an incurable bout of inspiration, the studio is vacant, even the overworked tape-op has sneaked home. Just one more run through before the 8.30am presentation, the final mix-down. The reassuring glow from the CM4400 memory indicator was all it took to trigger the enthusiasm, and you know that the onboard computer will take over the workload speeding up your creativity.\n\nThe CM4400 features:\n- Up to 44 inputs, 24 track monitor.\n- Internal computer allowing 30 different mixes to be pre-programmed.\n- Pre-programmed triggerable routing patches.\n- RS232 interface for personal computer to display track sheet.\n- Using CMS2: Automated muting using SMPTE time base,\n- 8 events controller & video synchronisation.\n\nTHE CM4400 BY\n\naffordable quality\n\nSOUNDTRACS LTD\n91 Ewell Road, Surbiton, Surrey KT6 6AH\nTel: 01-399 3392 Fax: 01-399 6821\nTelex: 8951073/SNDOUT/G\n\nU.K. Distributor\n\nDon Larking\naudio sales\nLuton: 29 Guildford Street, Luton, Beds\nTelephone: Luton (0582) 450066\nTelex: 825488 DONLAR\n\nwww.americanradiohistory.com\n\nHave we ever really been aware of how closely interconnected equipment relationships were in the typical recording studio signal chain? Improvements in one area stimulated updates and gradual improvements in other areas. Equally (although less obviously) deficiencies in some areas were covered up by shortcomings either in specific areas or in general performance levels accumulative throughout the signal chain. These observations really hit home when a piece of equipment is introduced into the signal chain that is either quite different in concept or of a completely new generation of development. The items of equipment in question that can upset the internal balance of a signal chain are medium sized high definition monitors, high performance microphones and almost any variety of digital recording.\n\nOne of the initially upsetting things when there has been an upgrade in the signal chain is that the equaliser sounds different. Now, of course, the equaliser is still performing the same action but we may perceive the sound differently as the results are not masked in the same way. For reasons such as this the equaliser has become an area of heavy interest again and there has been quite a considerable amount of activity from manufacturers with new ideas and approaches over the last year or so.\n\nSome of the first to respond to this interest were the mixing console manufacturers. With consoles normally being chosen for their sound and the EQ contributing heavily towards this, the logical step for some manufacturers has been to offer EQ options. In the case of SSL there are now three equaliser options which mainly differ in the area of low frequency section. The standard equaliser 82E02 has brown knob caps on the LF section. There is now a new standard EQ, the 82E242 which has replaced the 82E02 for future consoles and this is recognised by black knob caps on the LF section. A further option is the 82E132 'valve-type' EQ which has orange LF knob caps. Both 82E242 and the 82E132 are available to existing or new clients at extra cost.\n\nSony and Quad-Eight have chosen a different path by making their equaliser sections removable in addition to other critical areas of the console. The Sony MX-P3000 is the top of the range multitrack console and there is a choice of five plug-in equalisers. The Quad-Eight Westar and Superstar consoles have a similar approach to design, both offer a wide selection of plug-in equalisers. Currently available are EQ modules with 4-band frequency selectable, 4-band fully parametric and 10-band graphic facilities with more units to follow.\n\nAmek has a lot of devotees of the standard in-console equalisers and recently introduced the RMO1 rack mount signal processing system. The PM01 module for this system is a full 4-band parametric unit that is identical to those used in the M1000 and M2500 consoles with fully variable Q, frequency and amplitude on each band.\n\nThe power of a popular equaliser is clearly demonstrated by the development of the Neve V series console. This is based upon the 51 series console that had a quite persistent reputation for being a 'good equaliser' lasting beyond several new series of dedicated multitrack consoles.\n\nWhile on the topic of equalisers for mixing consoles, a small US company by the name of Troisi edc has recently shown a number of modular equalisers such as the FLTR 510 dual parametric filter, the EQ 517 and 518 parametric equalisers which form part of a modular rack system; a retrofit equaliser for the original MCI 600 series consoles and most interesting the DQ 520. This is based upon the EQ 518 parametric but with the addition of a dynamics feature that allows the introduction of the equalisation at a user predetermined level. The equaliser section is a 2-band design and the threshold is adjustable from -40 to +20 dB. The dynamic control is designed for a smooth transition across the threshold. Further there is a direction switch that selects whether the EQ is active below or above the threshold level. The dynamics can also be triggered internally or by a broadband external source.\n\nIn the area of more traditional equalisers, JBL has introduced a new range of graphic equalisers in the form of the 5547 and the 5549. The 5547 is a 30-band 1/2-octave equaliser with front panel input and output level controls.\n\nThe bands are between 25 Hz to 20 kHz ±12 dB. The 5549 is a room equaliser with the same number of bands but with a cut-only range of −15 dB.\n\nRane products have become widely available in Europe over the last year and these are interesting due to the company's widely publicised views on constant Q equalisation ('Constant Q' Studio Sound October 1985 by Terry Pennington of Rane). In practical terms Rane advocates design of equalisers that have a minimum of effect on adjacent equalisation bands with the Q remaining a constant with independent of the gain setting. Traditionally this approach has been avoided due to the likelihood of large amounts of ripple but Rane takes a different design stance as demonstrated in the article. There have been three recent additions to the Rane range, these being the GE30 which is a 30-band 1/2-octave graphic with +12 dB/−15 dB in the cut/boost mode or it can be switched to a cut-only mode where the range is −18 dB; and the ME30 and ME15 microGraphic equalisers which are 30-band 1/6-octave and 2-channel 15-band 2/3-octave respectively in single U formats.\n\nFrench manufacturer Société Nouvelle Etelac markets products under the brand name of Amix. Two new graphic equalisers were recently introduced in the form of the EMH 127 1/2-octave 27-band single channel and the ESH 211 stereo 11-band. The 211 uses octave spacing at mid/high frequencies with 1/2-octave spacing at the lower frequencies.\n\nIn the area of specialised units there are a number of new models that deserve mention. Although designed mainly for room tuning the Meyer Sound Labs CP/10 is a high quality 5-band 2-channel fully parametric equaliser. Each band may be switched in/out independently. Meyer claims that the complementary phase circuitry creates minimum phase distortion even at extreme situations while maintaining a dynamic range of greater than 110 dB. The unit is a rack mount 2U design.\n\nAlthough not so new, the Massenburg parametric equaliser has recently become available in the UK and is beginning to find a lot of interest once possible users can come to terms with a hefty price tag. This is a rack mount system which we understand from the UK distributor is being acquired by producers and engineers rather than facilities, which probably explains the appeal of the unit.\n\nWhile in the area of the esoteric, we should mention the products of the UK company Esoteric Audio Research. EAR introduced two new valve (tube) equalisers about a year ago. The 822Q is a general programme equaliser and features four low, continuously variable frequencies, five high boost and three high cut frequencies. The 823MQ provides +8 dB/−16 dB range at switched frequencies between 200 Hz and 5 kHz together with a mid frequency cut at 7 kHz. Both are 19 in rack mount units and have been designed to operate for at least 10,000 hours before valve replacement is necessary.\n\nThe West German company EMS/Rehberg has introduced the Filterbank B1. This is a free standing unit with eight bands of cut-only from 250 Hz to 8 kHz with high and low pass filters. The amount of attenuation available is very high with the high and low pass filters having 40 dB/octave attenuation and the equaliser bands having 50 dB/octave. Applications suggested are in removal of problem noise from audio such as hum, unwanted tones etc.\n\nAutomated equalisation is another area that is receiving more interest. Aside from automated EQ systems appearing on consoles from SSL, Trident, Harrison and possible automation on the Neve and Amek, there are a number of other products. The Neumann ame 591 equaliser system is based around a central control panel and with W 591 modules which show the equaliser status for that particular channel designed to be fitted into a console channel strip. The control unit allows manipulation of three frequency bands together with high and low pass filters. The automated aspect allows 64 channels to be run, stored and reproduced and these settings may be stored on data cassette. There is also possibility of master/slave operation, A/B comparison for each channel with EQ changes being made in real time.\n\nThe Stage Accompany PPE2400 programmable 2-channel 4-band programmable parametric equaliser is now up and running. This is a rack mount device that will soon form part of a larger digitally controlled system. The EQ allows digital control of all variable functions with a memory capable of recalling up to 64 different settings. There are a number of optional interfaces for computers and other data buses.\n\nNew disc cutting equipment and the changing role of the disc mastering facility\n\nWhile it would be fair to say that recording studios are almost spoilt for choice when it comes to updating their facilities, the same cannot be said for the disc mastering community.\n\nInevitably this stems from the fact that as the sale of discs declines, the amount of technical innovation falls accordingly.\n\nDisc cutting engineers tend to be caught in the middle. It is not the hardware as such that has traditionally been the limiting factor but the raw materials and subsequent processing. In fact, in many ways the Achilles heel of the whole operation is the lacquer. At the moment things seem on a relatively even keel, although recently there have been a number of major scares that have rocked the industry.\n\nA year or so ago, one major lacquer manufacturer couldn't deliver and with essentially only four suppliers of lacquers for the entire world record industry the results were touch and go for a while for many mastering facilities. Earlier cutting engineers had already become somewhat jittery when there was the threat of problems with the supply of aluminium blanks. Put in the context of a recording studio, deciding to update a cutting system would be similar to deciding whether or not to go digital, if for example the quality of recording tape couldn't be guaranteed.\n\nOf course one way round the problem would be to do without tape or in the case of the cutting room dispense with the lacquer. In what will perhaps be the very last major innovation in disc cutting that is exactly what researchers at the German company Teldec did.\n\nAvailable as the VMS 82 from Georg Neumann, the Teldec/Neumann DMM (Direct Metal Mastering) cutting system uses copper coated steel blanks: the diamond cutting stylus being used to cut a groove directly into the copper master. The process first appeared in 1981 and to date there are 25 DMM systems in use in various parts of the world including the UK, Austria, East and West Germany, France, Spain, the USSR, Czechoslovakia, Finland, Sweden, America and Australia.\n\nIt may be reasonable to speculate that given the eventual decline in record pressing—particularly as a mass market medium—the production of conventional lacquers may well cease leaving only the DMM process as the only means to (un) conventional record pressing. Speculation on how soon this will happen varies, at the moment seven to 10 years maximum appears to be the average expectation.\n\nGiven the fact that there is still a demand for vinyl discs the short term prospects for disc cutting look quite healthy and there is a surprisingly buoyant market at the moment for second hand equipment. Tony Batchelor of TAM, a disc cutting facility and specialist disc cutting equipment supplier in North London, reports healthy sales of second hand lathes and ancillary equipment. It would appear that while some of the larger cutting facilities may be reducing the total number of lathes they operate, enterprising studios seeing the chance to offer custom acetates for DJs or special mixes for discs, are picking up a reasonable lathe at a realistic price. Even though this may only be a temporary reprieve for the equipment it is nevertheless an interesting phenomenon—a bit like elephants returning to their spiritual homeland before they die.\n\nBefore this update turns into an obituary it must be said that the industry, although realistic about its long term future, is still nevertheless continuing to improve standards in some areas. Neve for example is currently producing second generation digital mastering consoles alongside its analogue (9022 ADN) disc mastering equivalent. The new digital systems, DTCT (digital tape console) and DDM (digital disc mastering) are applications of the company's DSP technology specifically for CD and disc mastering.\n\nProcessing of the signal takes place purely within the digital domain and the consoles provide dynamic control, delay facilities and EQ accurate to within 0.5 dB/channel. Should further lacquers be required at a future date, or if a track is being used on a compilation, console settings can be memorised against timecode ensuring accurate repeatable results the second time around.\n\nThe crossover between pure vinyl mastering and CD preparation is becoming increasingly blurred. Certainly the emphasis on new products is moving towards digital and products such as the Neve digital console, the Sony K-1105 digital 8-channel mixing system and the Harmonia Mundi Acoustica bw102, probably indicate the way things will continue to develop at least for the time being.\n\nEssentially the bw102 is a digital processor and at first glance would appear to have little to do with analogue disc cutting but in fact the bw102 can be supplied with a preview delay module and a high performance digital to analogue converter, thereby allowing analogue discs to be made from virtually any conventional digital source. A rack mounted unit, the bw102 provides a useful crossover point for disc cutting studios moving towards the digital domain.\n\nA number of facilities have already taken the plunge and committed themselves to CD mastering but the area is so new that even those involved in it are currently trying to agree on what they should call themselves. At the moment the favourite appears to be pre-mastering engineer and/or facility which basically covers the tape mastering process for CD (roughly the CD equivalent of the conventional disc cutting facility) avoiding the obvious confusion with mastering as in disc cutting, mastering as in tape duplication and mastering as applied to CD manufacturing ie resist master disc preparation.\n\nInterestingly not all improvements in the disc cutting world are spin-offs from the development of digital techniques. According to TAM there is a growing interest in the old Ortofon 661 cutterhead. The 'black' head as opposed to the much more recent 821 'green' head is finding a new lease of life cutting material where a heavily modulated programme with a persistent bass line is required at above average cutting levels. Repairs and modifications are carried out by TAM and the company even keeps a spare head which can be loaned to customers while work is carried out. Esoteric Audio Research (EAR), who has done a considerable amount of work in the UK on valve-based disc cutting equipment, provides yet another alternative to the conventional equipment list. In addition to cutting system modifications EAR also provides specialist valve programme equalisers including a mid EQ unit, the 823MQ.\n\nDespite the publicity surrounding digital, vinyl records still have a high consumer profile and although digital replay systems may ultimately kill off the black disc for the time being at least there would still seem to be plenty of life left in analogue. □\n\nNeumann VMS 82 cutting system for direct metal mastering\n\nTHIS IS NOT THE END OF THE GUITAR...\n\nThe electric guitar hasn’t changed much since the 50’s. Music has.\n\nSynthesizers and digital technology have revolutionized popular music with the result that guitarists have to some extent been left behind. Quite a few have taken to the keyboard synthesizer only to sound like every other guitarist turned synth player.\n\nGuitar synthesizers have been around for a while but they have been shunned by guitarists because they are basically keyboard synthesizers you can plug a guitar into.\n\nNo one has built a guitar-dedicated system.\n\nUntil now.\n\nThe STEPP DGI is the first digital guitar designed totally and solely for the guitarist – the only other thing you need to plug into is your amp or mixing desk. It comes as a complete unit, giving you the control essential for dramatic guitar performance.\n\nAnd it speaks your language.\n\nPreviously so called guitar synthesizers and MIDI guitars failed because they were locked into a keyboard language far too limiting for the enormous range of expression and subtlety of the guitar.\n\nThe DGI is capable of instantly analysing every chord, solo or strum, and via its dedicated synthesizer section can translate every nuance into a whole new palette of sounds. These can be stored in 100 memory locations on the guitar itself.\n\nIn addition every new guitar sound can be modelled in performance by the way you play.\n\nSTEPP'S unique open architecture and active performance software (APS) allows parameters to be routed to 'real time' controls such as the wang bar, frets or strum area.\n\nTo take one example you can wang volume, bend resonance and strum filter cut-off, or just stick to the traditional parameters such as bending pitch.\n\nIn short it's the most expressive guitar ever developed. And with MIDI-IN you can use a sequencer to record and playback your last solo or play bass while playing rhythm and drums. All on one guitar.\n\nThe STEPP DGI is a very sophisticated instrument harnessing the very latest in 16 bit microprocessor technology.\n\nBut happily it is technology that doesn't herald the end of the guitar. Just a new beginning.\n\nCall or write for a brochure:\n\nTHE STEPP DGI\n\nYOU'RE A GUITARIST - SO PLAY THE GUITAR\n\nThe man warily entered the back room—isolated as it was from the rest of the house. A youngish face belied his appearance. A small walkie-talkie was held firmly in his hand to communicate with the two lookouts outside. The dirty greys and browns of the old building revealed much about their location. The young man had a pleasant face; unlike his compatriots. The girl moved through the doorway to join him. She showed surprise, for the room was not in the least like the rest of the house—no tatty furniture and filthy walls here. The room was painted matte black, with heavy blackout curtains at all the windows; a reddish light glowed from the equipment in the centre of the room. Prominent amongst the units was a cassette deck, like the altar of this temple of ageing consumer electronic equipment.\n\n\"Where did you get that?\" the girl gasped. \"I've kept it here all along,\" he replied. \"But the police...\" was all she could say. Suddenly another man had joined them; he was very well dressed, from silk tie to leather brief case.\n\n\"I need this copied for one of my clients and I need it tonight.\"\n\nHe reached into his brief case and withdrew a copy of Mick Jagger's latest album.\n\nThe girl wheeled and exclaimed, \"Where did you get that?\"\n\nThe fashionable gentleman eyed her briefly and then ignoring her, spoke to the man with the youngish face: \"He's turned 50 you know—Jagger I mean.\"\n\nThe young face continued to flick switches and began to load a cassette.\n\n\"This is an unprotected recorder?\"\n\n\"Absolutely,\" stated the equipment owner to his client. The rainbow hued CD was placed on to a tray in a compact disc player and the whole assembly rammed home. The recorder was started and then the disc played and the whole room was filled with the rousing melodies that only an artist like Mick Jagger can create.\n\nThat was a shame really because the harried warning from the lookouts was drowned out by the cacophony of the music. The young faced man saw a reflection in the corner of his eye. It was the glint of cold steel. He reached into his pocket for the Beretta 93S. He had 20 good reasons in 9 mm why the police would not win here without experiencing some pain. The girl screamed as the wooden baton struck her lover at the base of the neck. He collapsed. Minutes later he began to see, hear and feel again. The room was swaying a bit but he could see the client and his girl trussed up in handcuffs. The last thing he saw before he lapsed into unconsciousness again was the legend Record Police on the overalls of the SWAT team member smashing his beloved Revox to dust with a sledgehammer.\n\nOne can assume that this scenario is hopefully not a rock and roll road show version of '1984 plus five.' And yet in Great Britain the government has announced a major revision of the copyright laws that would include a 10% tax on blank audio tapes as part of a sweeping away of old laws protecting copyright owners from the threats of 'electronic infringement.' The White Paper from the Department of Trade and Industry is intended to protect copyrights, patent and trademarks from 'advances of technology.' The blank tape tariff would make cassettes playing more than 35 min and could raise as much as £6 million ($9 million) per year. These funds would be used to reimburse copyright owners and artists for losses due to copying, according to department of Trade and Industry spokespersons.\n\nThe carrot that would accompany this particular anti-copying stick in the UK is the unlimited audio copying of broadcasts and pre-recorded materials—as long as the ultimate usage was private. Blank video tapes would remain exempt from any presumptive duties and copying television programming would remain fair game. Copying pre-recorded video material would remain illegal.\n\nIn the US, the record industry has been offered a solution to its problem of illegal copying. A major label insider commented recently on the US Senate hearings concerning illegal audio taping. \"To hear the US record industry tell the story, illegal copying makes acid rain look a bromo-seltzer in a pond. The supposed losses from copying are rumoured to run into billions of dollars. But while the industry complains of copying, it is suffering from shortages in compact discs. At the same time, the record industry has relinquished half of the classical market or better to European labels. Better the record industry relaxes a little about the losses from illegal copying and puts some energies into building CD plants in the US and supporting classical music production.\"\n\nWhatever your leanings towards record company complaints happen to be, the US Senate has had enough belief in the hue and cry to hold hearings on a bill (S 1739) imposing a surcharge on blank audio tape and on home recording equipment. At these hearings, the well respected CBS Technology Center with the encouragement of the Recording Industry Association of America (RIAA), has offered up a way to prevent copying by placing a copy code of an 'inaudible notch' in recorded material. A companion chip would be built into all recorders to scan for the coding. If the coding was present, the recorder would cease to record for 25 s at a time leaving another 20 s or so of unaffected recording. The coding system with its notch in the frequency spectrum would be used on CDs, cassettes and LP records. Of course there would be another class of recording made available at a higher price that could be copied because these premium releases would be notchless. Recorder manufacturers would be required to include the chip or pay a substantial royalty fee on products manufactured without the chip.\n\nThe recorder chip would be very inexpensive to install in mass production. According to a scientist at the CBS Technology Center as quoted in Broadcasting Magazine: \"The decoder chip is expected to cost less than $1 when mass quantities are produced and equipment manufacturers are free to develop a compatible integrated circuit that can perform the same functions more efficiently or at lower cost. In any event, CBS has pledged to licence both the encoder and the decoder that it has developed on a royalty-free basis for all hardware and software applications.\"\n\nSeveral US senators thought the idea an excellent alternative to imposing fees on blank tapes and machines. One US senator was quoted as saying that he was intrigued by the prospect that \"technology might be able to solve the problem that it has helped to create\".\n\nFor once, this columnist is left without words. Or at least without words for 25 s at a time.\n\nIntroducing the Lexicon PCM 70, our extraordinary new digital effects processor with dynamic MIDI. Designed, creatively speaking, to thrust you into the future.\n\nTo begin with, the PCM 70 gives you access to the same astonishing Lexicon digital effects used by the world's top artists and studios. With complete, variable parameter control, and registers that let you create and store your own programs.\n\nNow, about dynamic MIDI. With this pioneering Lexicon development, you can vary any PCM 70 parameter through a MIDI keyboard while you're actually playing. Just imagine being able to vary the wet-dry mix, for example, through finger pressure on the keys. Or by your choice of other controls, like the modulation wheel. Or even by a computer.\n\nThere's more. The Lexicon PCM 70 digital effects processor is also a full-fledged digital reverb, with a complete selection of Lexicon reverb programs. And the price? Shockingly reasonable.\n\nYou'll want our detailed PCM 70 brochure. At your Lexicon dealer, or contact us. Lexicon Inc., 60 Turner Street, Waltham, MA 02154, USA. (617) 891-6790. Telex: 923468. Lexicon International, PO. Box 122, 8105 Regensdorf, Switzerland. Telex: 59222.\n\nCome to the future.\n\nMusic business is the operative term when applied to Greece as live performance is inextricably linked with the recording industry. Whereas in Europe and the USA studio performers who only occasionally—if ever—perform in public are not unusual, in Greece recording artists are obliged to play concerts if they want to stay in the public eye and ear. This means frequent night club engagements and concert tours all over Greece with just a brief respite between the end of the summer and the start of the autumn season.\n\nThe mainstay of the Greek music scene is folk—or popular—music and it would be very rare not to find a bouzouki amongst the instrumentation! But though the traditions are observed, performers are not impervious to outside influences. Jazz and rock music have slowly been making inroads and there is a hardcore of dedicated musicians determined to break the lock that popular music has had on the music scene.\n\nAs the Greek public is oriented towards live performance it is not essential to have a recording contract to be a star—rare but not impossible. When not touring most artists concentrate their activities in what are familiarly known as 'bouzouki clubs'. These are essentially large nightclubs but with a difference: in Greece it is not unusual to have five or six national stars on the same billing! The general enthusiasm is very high and the atmosphere is quite electric and it is these appearances which promote record sales. It only needs one mention that 'this is my latest record' and the shops will be taken by storm the following day. Airplay on the radio and television does play its part, of course, but forsaking the stage for three months would be tantamount to commercial suicide.\n\nThe need for performers to develop such a strong stage presence can be a disadvantage in the recording studio. Records tend to be made very quickly without much experimentation or involved production. The resulting records are not poor by any means but many could benefit from the advantages of modern recording techniques. Things are changing now, however, the movement being spearheaded by Sierra.\n\nLocated in what was once a large cinema on one of the main roads leading out of Athens, the studio is away from the centre of the city in an area that houses offices, shops and other distractions. The original cinema foyer has been preserved and doubles as the main office area and waiting room/lounge. At present the studio has no in-house catering but the local restaurant is just a telephone call away—on a private line.\n\nSierra Recordings is run by three go-ahead young men—two brothers, Elias and Mike Achladiotis, and close family friend, Christos Zorbas. Their close-knit way of working tends to earn them the general nickname of 'the brothers'.\n\n\"We all started playing music when we were teenagers—maybe even before that—and in common with a lot of aspiring musicians the world over, wanted to make records. Studios were either very rudimentary or very expensive so we decided the best thing would be to get one of the new Teac 3340 4-track recorders and a simple console—an Alice—and record ourselves. This way we could take our time and experiment without having to worry about the studio clock.\n\n\"After a fairly short time we were getting pretty good results and we even had a couple of songs released as 45s. We had a lot to learn, however, both about recording and music, and we hit upon the idea of all of us going to the Berklee College of Music in Boston. There we could pursue our proper instruments as well as taking classes in the recording programme, thus getting a proper grounding which would stand us in good stead for opening a studio.\"\n\nFor the record, Elias plays drums, Mike is a guitarist and Christos plays keyboards. There is also quite a bit of instrument doubling.\n\nMike: \"Berklee was a very good experience for us from many points of view. We all got a good education musically and an introduction to the finer points of recording.\n\nHowever, I think the big plus was being in America and having the opportunity to meet and play with so many other musicians, as well as being able to visit working studios and get a real idea of what the music business was all about. We wanted to go back to Greece armed with the knowledge that we could operate a modern recording studio and our time in Boston provided us with that.\"\n\nSierra Recordings got off to a rather dramatic start. The original owner wanted an up-to-date studio with no expense spared and it seems the acoustics were designed by Tom Hidley and built by Westlake Audio. The evening before the studio was to open its doors, someone forgot that the fumes from the carpet glue were highly inflammable, lit a cigarette and the studio became a flaming success! All that was worth saving was the premises and some of the equipment in the control room. The brand new Neve desk had some burns but still performed perfectly. Armed with loans from their respective families, the brothers went to work to rebuild the studio.\n\n\"The previous owner had just lost interest in the whole thing so we were able to make a good deal for the premises and the equipment that was worth taking over. Of course, the console was given a full overhaul by the Neve engineers who made it just like the day it was made.\"\n\nTom Hidley was called back and the studio rebuilt by Eastlake Audio—together with strict fire precautions.\n\nThe main studio—Studio A—is built where the auditorium used to be with the control room wall roughly falling where the screen would previously have been. The studio floor is 2000 ft² and includes a large isolation room, a vocal booth and 'open' drum cage. The first impression one gets on entering the studio is of space, aided and abetted by the very high ceiling. Though not quite a small concert hall in feel, the studio atmosphere can be changed from fairly intimate to quite live by use of floor to ceiling drapes positioned at various key points around the room. There is a fair amount of trapping of course but just\n\nMitsubishi X-850.\n\n32 Channel Digital\n45 Tracks\nCut-and-Splice Edit\nFully Compatible\nRS-232/RS-422/Parallel Interface\nSync to 9.6/8 kHz • 60/50/59.94 Hz\nComposite Video\nSMPTE/EBU Non-drop / Drop\nVarispeed\n\nFor World-Class Studios.\n\nMITSUBISHI PRO AUDIO GROUP\n\nDIGITAL ENTERTAINMENT CORPORATION\nHeadquarters: 225 Parkside Drive, San Fernando, CA 91340 • Phone (818) 898-2341 • Telex 311786\nNew York: Suite 1530, 555 W. 57th Street, New York, NY 10019 • Phone (212) 713-1600 • Telex 703547\nNashville: 2200 Hillsboro Road, Nashville, TN 37212 • Phone (615) 298-6613\nCanada: 363 Adelaide Street E., Toronto, ONT. M5A 1N3 • Phone (416) 865-1899\nUnited Kingdom: 1 Fairway Drive, Greenford, MIDDX UB6 8PW • Phone (01) 578-0957 • Telex 923003\n\nSierra, continued\n\nfor owing to the large space available \"... and rock groups like it as it gives them room to move around as if they were on a big stage!\"\n\nThe microphone complement includes Neumann U87, U67 and U89, Telefunken stereo microphones (used a lot for orchestral sessions), AKG 414 and 451, Sennheiser MD441, Electro-Voice RE20, Beyer M88 and others. Distribution to the control room is via large XLR panels which parallel up all the microphone lines going to the control room, as well as foldback feeds and tie lines.\n\nAccess to the control room is either from the studio or from the main corridor that runs around the outside wall of the studio and connects with doors at each side of the control room. In comparison with the studio the room is fairly small. We really could have done with a bit more depth but it would have meant modifying the basic structure which would have been very expensive.\"\n\nCentrepiece is the Neve 8078 console fitted with 40 inputs to 24 groups and 32-track monitor section. The desk is also equipped with Necam automation. \"We find that the visual aspect of the Necam system makes it very easy to use. You can see at a glance where you are and updating just happens naturally. We like it a lot.\"\n\nThe bulk of the recording is done with a Studer A800 Mk 3 24-track machine but there is also an A80 16-track recorder for the enthusiasts. The two machines can also be locked up for 38-track working if required. Mastering is on Studer A80 and B67 recorders with two Revox PR99s for general duties. All recorders including the multitracks have Dolby.\n\nMonitoring is the Eastlake 3-way system with TAD drivers for the bass and mid frequencies. Secondary speakers include JBL 4311s, Auratones and the in-built elliptical speakers in the console. Power is provided by Bryston amplifiers.\n\nThe design is fairly typical of Eastlake with a wood panelled monitor bridge and side walls with bark facing together with some rough marble tiles next to the outside edge of the speakers. All the tape machines are softfitted at the rear of the room keeping the floor area clear of obstruction. The floor is carpeted with a parquet area underneath and behind the console. There are heavy drapes that can be pulled in front of the control room window to minimise front to back reflections during mixdown.\n\nThough there is rack space in the soffits, the majority of the outboard gear is housed in low profile wooden racks to the left of the console. Equipment includes Lexicon Super Prime Time and model 93 delay line, Publison Pitch Transposer, dbx and UREI compressors plus Audio & Design Compex compressors/gates, Valley People rack with Kepexes and Gain Brains, UREI graphic and parametric equalisers and Orban de-essers. Aural excitement is courtesy of Aphex with reverberation effects from three EMT 140 plates (two matched for stereo) and a Lexicon 224X. In order to keep everything handy the machine remotes are built into...\n\nHere’s the right answer to most audio test problems: NFA-1\n\nWhatever it is you need to measure in the audio range, the NFA-1 makes it easier to get the right answer. A unique concept that handles over 30 test functions.\n\nThe NFA-1 can measure:\n★ selective level\n★ wideband level\n★ phase and frequency\n★ noise level\n★ difference-frequency- and harmonic distortion\n★ wow & flutter\n★ run-up time\n★ rumble voltage\nand it’s a signal generator too!\n\nNo more piles of equipment, miles of cable, matching problems, time-wasting calibrations. With the NFA-1, you’ll get the results quicker and with less chance of operator error.\n\nVersatile: Acceptance tests, development/production tests, in-service and maintenance tests on audio equipment of all types in recording- or broadcasting studios, in short: anywhere where you need to test audio frequency equipment and sound recorders. The NFA-1 will give you the answers accurately and in a form that’s easy to understand.\n\nEasy to use: A structured menu system makes the NFA-1 simple to operate. You can set up 49 different test sequences to suit your own needs, and anyone can quickly get correct test results, as the NFA-1 leads you step by step through the test process.\n\n★ Paired balanced inputs and outputs for 2-channel testing.\n★ Special end-to-end measurements, can also be used with external signal sources\n★ Results displayed graphically and alphanumerically\n★ IEC/IEEE bus controllable\n\nTo find out just how easy it is to get the right answers, send off the coupon!\n\nWandel & Goltermann\nElectronic Measurement Technology\n\nI would like:\n☐ a copy of the NFA-1 colour brochure\n☐ a sales engineer to call\n\nName\nCompany\nAddress\nCountry\nTel. No.\n\nSS/8/86\nWandel & Goltermann Abt. PMW\nP.O.B. 45 · D-7412 Eningen\nFed. Rep. of Germany\nTel. +(49) 7121 89 11 · Tx. 729 833\n\nSierra, continued\n\nStudio A looking into Control Room\n\neither for mixdowns or tracklaying—so we found the most convenient thing to do was duplicate the effects equipment for the two rooms. That way people could work in either and feel at home. Though there are slight differences in sound and atmosphere, we find that people adjust very quickly and we have had no problems in this area.\"\n\nAdjoining Control Room B at 90° is the studio, with a floor area of 740 ft². The room is large enough for most rhythm sections and has a very lively sound, which makes it popular with rock and rollers. The main décor—and treatment—is wood panelling matching that in the control room and parquet floor with strategically placed trapping behind the walls and in the ceiling. The Steinway grand piano, for instance, is usually left in a corner that opens into the trapping. There are two booths with sliding glass doors to one side of the studio, with a window between the two in the communicating wall. One booth is for overdubs and vocals and is very dry and the other, larger, booth is used for drums and general isolation work. It is also possible to alter the acoustics. Two of the walls are faced with sliding glass panels with traps behind. It is also good for expanding thin-sounding electric guitars without making a dive for the first DDL that comes to hand.\n\nThe entrance to the studio is via the control room with the twin sliding glass doors forming an extension of the control room window. When space is really at a premium, the area between the two doors forms a vocal booth.\n\nStudio B houses a Steinway grand and would be suitable for chamber music, string quartets, solo piano, etc.\n\nOn average Sierra is booked 700 to 750 hours per month and has even exceeded 1,000 hours on several occasions. In practical terms this means that both studios are working around the clock.\n\nSierra is slowly expanding its clientele internationally with artists such as Nana Mouskouri, Demis Roussos, Vangelis, producer Vic Coppersmith and lyricist Gary Osborne.\n\n\"The biggest demand at the moment is that we install a video facility. We certainly have the room and we are thinking about it very seriously—it is the next logical step. However, video is a lot more expensive than audio and we would not want to put in anything that wasn't less than professional. I think we will see things a lot more clearly as to future expansion towards the end of '86.\" Terry Nelson\nSierra Recordings, Sound Recording SA, 99 Messogion Street, GR-115 Athens, Greece. Tel: 6926019/6927097.\n\nSirocco Studios, Kilmarnock\n\nSirocco Studio's two man band Musician, musical director and producer as well as engineer he is the presence and much of the inspiration which is giving the Kilmarnock recording unit a growing reputation.\n\nThe link up with Hungarian pop star Klari Katona, a girl with a big international reputation but seeking an entry to the British market, has all the potential Sirocco needs. Unfortunately, Klari has disappeared back to Budapest in a cloud of influenza and Clark can already see the dream fading, the contract falling apart but he works on with the same meticulous precision.\n\nAlthough Sirocco goes back only eight years, for 29-year-old Clark, it really all began when he took up piano playing when he was three. With 26 years of music behind him, \"That's what gives me my ear,\" he claims.\n\nIn the early '70s, he transferred his musical allegiance and became another of the thousands of boys with a guitar. He took his music more seriously than most as far as practice and proficiency were concerned but lacked drive and direction. He threw over the idea of a university education and a career in law for his music (no accolades of parental approval here) but considered himself lucky to be playing one gig a month.\n\nHe was 'drifting'. Drifting in Kilmarnock is as scintillating as a conversion with a Trappist monk. It lasted six months.\n\nThen he was drafted into the family building firm—\"a soul destroying experience\"—which\n\nBy-pass Spaghetti Junction\n\nThe MG1212 Recorder/Mixer – the complete recording system from Akai – offers unparalleled flexibility for all your recording needs. So compact, it’s as much at home in your front room, when you’re putting songs together or trying out an arrangement, as it is in the studio, when you’re working on masters.\n\nWhatever your application, the Akai MG1212 Recorder/Mixer’s got the edge over the competition. If you were limited by 8-track before, now look at this: the MG1212 has 12 audio tracks plus a special sync track – ideal for synchronising your MIDI sequencer to tape for overdubs with a small instrument set-up. If you hated the hassle of wiring between machine and mixer – finding enough leads that worked every time you wanted to put down an idea – the MG1212 has the answer to that too: it’s a combined mixer and recorder, and both sections of the MG1212 have the flexibility, versatility and professional quality you expect from a company like Akai. At a price you can afford.\n\nThe mixer section features XLR inputs, insert points, LED bargraph metering, and a full 3-band sweep EQ. A centralised routing matrix deals simply and quickly with the task of getting the right sounds to the right tracks.\n\nAkai’s unique ½” cassette system is at the heart of a recorder section that’s crammed with the features you need: an autolocator with pinpoint accuracy; dbx noise reduction; and much more. It’s as simple to use as a home video recorder.\n\nAnd talking of video, the MG1212 has all the facilities you need for synchronising a video recorder with SMPTE time code.\n\nWhat you won’t find is a load of gimmicks that slow you down. The Akai MG1212 is designed to get top-quality results. Quickly. Easily. The way you want.\n\nAKAI professional\n\nAkai (UK) Limited - Electronic Music Division, Flasenhurst Heathrow Estate, Silver Jubilee Way, Parkway, Hounslow, Middlesex TW4 6NQ Tel: 01-897 6388 Telex: 892555 AKAIUK G. Scotland Sound Control Tel: 0383-733353 Newcastle Rock City Music Tel: 0783-78058 London Syco Systems Tel: 01-724 2451 London Chromatix Tel: 01-567 3623 London Junokey Tel: 01-202 4366 Surrey Juice Music Tel: 97-48454\n\nwww.americanradiohistory.com\n\ntaught him what work was all about and gave him an invaluable insight into business and its organisation.\n\nBy 1976 the music scene was showing signs of improvement. An amalgamation of Kilmarnock groups brought some of the best musicians together including Clark and his other half, as far as Sirocco is concerned, sax player and telecommunications engineer, Spike Bain.\n\nSix musicians and two roadies, they travelled Scotland in a couple of builder’s vans. Their band and their music were not the height of fashion—punk was in. By comparison, they considered themselves “to a degree more sophisticated” for “we played in tune”.\n\nIt was a desire to have something permanent to show for their effort—transforming the ephemeral into the concrete—that brought them into recording. There were no suitable facilities in Glasgow so in 1978 they took over two first floor rooms in Glencairn Square, Kilmarnock.\n\nFormerly part of a red sandstone, residential establishment, this was a building in decline. Their neighbours were a French polisher, a plumber and a knitting machine operator. The access alley still runs by the open kitchen door of the Chinese take-away which operates from the ground floor.\n\nThe previous occupants had already installed carpet and curtain insulation which was a “wee bit makeshift” but with the thick sandstone walls already proving effective, it’s a makeshift pattern they have expanded rather than replaced over the years. Performers sometimes fail to appreciate the natural feedback but recording does not appear to suffer.\n\nThey installed their ‘live concert’ mixing unit and with two 2-track Sony tape recorders they could overdub voices. With a Bank of Scotland loan Sirocco Studios were in business.\n\n“Credibility has always been a problem for someone like me,” says Clark Sorley, getting people to “take it seriously.”\n\n“Why Kilmarnock?” he was and still is asked. “Why not Kilmarlock?” is and was his reply.\n\nIf some did not take them seriously, the bands in and around Glasgow certainly did. At £4.50 an hour, they were queuing for recording time. Many were punk groups placing more strain on the studio’s equipment than on recording expertise. A number of their customers were destined for greater things, however, and are remembered with a mixture of fondness and pride—Simple Minds, Aztec Camera and Kissing the Pink.\n\nIt was all business, however, and by the end of the year they had moved on to 8-track recording and had redesigned the layout. It was a DIY operation. Experience in the building trade and in electronics was proving advantageous.\n\nTwo years later they were using 16 tracks and their own music making was bowing out to the pressure of the part-time work load at Sirocco. In the meantime, Clark Sorley had built his last wall, laid his last brick.\n\nPleading letters to recording and radio companies struck pay dirt. Radio Clyde were, by chance, looking to expand their technical team and Clark found a berth with that successful and innovative commercial station.\n\nAt the time, 1979, Andy Park was in charge. Programming was varied and expansive. In the next year and a half, Clark was covering everything from run of the mill station productions to outside broadcasts, from pop music to jazz and symphonies.\n\nThen he went freelance, juggling his time between Sirocco and various outside commitments. Spike continued to work at the studio part-time. Both still found they were recording other people more and playing themselves less than they would have liked. It was a pattern which was destined to continue into 1985 and which nourished the continued expansion at Glencairn Square.\n\nThere is still a steady procession of hopefuls gracing Sirocco’s portals. Hope, like all else, is subject to inflation but today’s Sirocco price is still one of the cheapest around.\n\nStill with the striving spirit in mind, there are four, rough and ready rehearsal rooms across the yard with three 2-track recorders (Revox, Bias and Teac) available. A second studio currently awaits completion.\n\nThe tradesmen have moved out and a lounge, office and kitchen have taken their place. A new pre-production unit has been introduced by agreement with a freelance audio technician seeking a base. He provides the electronics while Sirocco provide the space.\n\nIn November, they purchased a new 24-track Amek Angela mixing desk and an MC1 JH 114 multitrack recorder, secondhand from Mobile One. The recorder is not without teething problems. It has a propensity for chewing tape and the autolocate warning lights flash on and off in hysterical abandon, from time to time. Not a situation which will be allowed to continue. The Rebis effects rack with a Yamaha RE7-7 digital reverb, MXR and RDS digital delay lines, an MXR graphic equaliser plus Audio & Design compressor limiters and an Aphex Aural Extender may not be in the same league as many of the larger studios, but it competently meets customers’ requirements.\n\n“Total Cheaters!” claims Clark Sorley of some of the effects at their disposal but concedes that generally, “as technology does advance, the musicians are improving.” Everything links up to Tannoy SRM 15S monitors, Yamaha NS10s and Auratones.\n\nIn studio one, a battery of microphones (Calrec, Shure, AKG, Beyer, Neumann, Sennheiser and Electro-Voice) overcome the problems of insulation and a variety of musical sounds—everything from accordion dance bands and fiddle music to folk guitar, pop and jazz.\n\nCentral piece to the casual visitor is the Scheidmayer grand piano, a legacy of days at Radio Clyde, but Clark and Spike are just as likely to be putting sounds together with the two synthesisers (DX7 and guitar), electric guitar and bass, the Roland drum machine or the QX7 digital sequencer.\n\nIt all attracts a ready market of musicians and record companies to Kilmarnock. Lismore Records which recently bought record production rights for the Channel 4 Down Home fiddle music series, used Sirocco equipment for editing. Folk artist Alistair MacDonald with his own Corban label is another customer as is Gus MacDonald’s Klub Records. Klub produces about three pop LPs per year and Clark Sorley nurses an old dream that here might lie an outlet for his own music.\n\nBoth men still cling to their musical roots. Spike Bain has recently taken up the saxophone again, preferring the arpeggios à la John Coltrane to the electronic tailoring of other men’s music. With a regular job behind him, he can afford to be cavalier, however. “Making money,” he said, “is more like playing at Monopoly than life.” It is Clark Sorley who has burned his bridges.\n\nIn many ways then, Sirocco is at another crossroads. The company must leave their Glencairn Square premises this year. Attempts to obtain a Kilmarnock local authority Business unit have run into red tape supplied by bureaucrats who, as Sorley sees it, cling to an outmoded manufacturing past. A service industry is within their compass but a service industry based on music is an idea which they are taking time to accommodate.\n\nSpike is all for moving out: “West of Scotland culture is a pint of beer,” he explains. He sees no real future for himself there.\n\n“Why not Kilmarnock?” Clark Sorley asks. Kilmarnock itself appears to be coming up with the answer.\n\nThe Scottish Development Agency is considering initiating a central Glasgow recording complex. Clark Sorley is in on the early consultancy discussions. If it goes ahead, perhaps Sirocco’s future will need a move to the city.\n\nBill Melville\nSirocco Studios, 1 Glencairn Square, Kilmarnock, Ayrshire KA1 4AQ, UK.\nTel: 0563 36377.\n\nWE ARE RATHER GOOD AT ASSEMBLING PACKAGES\n\nWe think the Soundtracs CM4400 with the CMS2 SMPTE Automation and Soundcraft SCM762 24 track machine represents unbeatable value.\n\nThe Soundtracs CM4400 with CMS2 gives you automated routing, channel and group muting, pre-programming of effects, sends and returns, programmable record drop in via events recorder, control of eight external devices and 30 different mixing combinations all under SMPTE timecode control.\n\nThe Soundcraft SCM762 Mk III recorder comes complete with remote control, varispeed, zero locate and cycle functions. It will run at 15 or 30 ips and is widely used by many professionals in master recording and video post-production work.\n\nPackage consists of:\n- Soundtracs CM4400 – 32 input mixing console.\n- Soundtracs CMS2 – automation system.\n- Soundcraft SCM762 Mk III 24 track recorder.\n- Commodore PC and disk drive.\n- Video monitor.\n- Set of interconnecting cables.\n\nPlease ring for a full demonstration.\n\nDon Larking\naudio sales\n\n29 Guildford Street, Luton, Beds. LU1 2NQ Telephone Luton (0582) 450066 Telex 825488 DONLAR\n\nHidden in the Yorkshire Wolds on the north western side of Hull lies Fairview Studio. A wooden sign pointing down a lane is the only indication that the end house of the terrace is in fact a studio, or rather part of a studio. This line of houses marks the end of suburban Hull and Fairview is an apt name as beyond the studio lies mile after mile of rolling countryside.\n\nAt first sight it seems a strange location for a studio but over the last 10 years Fairview has drawn customers from all over Britain and at the time of writing a rock band from Croydon was completing the end of a week's block booking.\n\nThe studio began like many rural studios - a hobby that outgrew itself as Keith Herd soon saw the potential of a small studio catering for local needs. Keith actually began to run Fairview professionally in 1973 although he had operated a studio of some description for the previous 10 years. In the beginning it consisted of a Farfisa with a 'lean-to' as the control room and access gained via the window!\n\nKeith's new 8-track studio got a welcome shot in the arm in its first year when in 1973, David Bowie's group the Spiders From Mars booked in to try out new singers after Mr Bowie went his own way. The studio's success continued with less glamorous bread and butter work in the form of albums for local club bands; at one stage Fairview was producing two of these albums every week!\n\nThings have progressed since then and Fairview is now a well established 24-track studio with a large cassette winding and duplicating operation. Cassette duplication takes place in the house whilst the studio occupies a converted barn at the bottom of the garden. The majority of people using the studio are rock bands although the place is rather expensive for most local bands needing demos. A recent visitor was Sister Of Mercy's Andy Eldritch doing work for his own label Merciful Release. The studio often handles work for the larger independent labels such as Red Rhino and Powerstation records as well as occasional work for larger labels who don't want to go to the expense of taking a new band to London.\n\nKeith's technical ability is obvious; his consoles have always been custom made and he looks after the maintenance and repair of Fairview as well as a number of other local studios. The existing desk is a 24/24 with 7-band EQ on all input channels, 5 aux sends, 5 effects returns and full patchbay facilities. An eyecatcher the desk isn't - effective it is.\n\nThe studio has an air of professionalism without the trimmings found in central studios. The room available has been used practically rather than attempting to recreate a New York studio in Hull. No bar or pool table in Yorkshire for poor overworked musicians, although they are able to relax in an adequately equipped reception area with coffee machine, TV and video. This is no criticism, an exclusive studio would find very little work in this part of the country.\n\nThe converted barn which houses the studio is divided into four areas; the largest is the control room and the others studios which give a variety of sound qualities. All the areas are divided by large sliding glass doors which give excellent visual contact and of course provide good separation when they are closed.\n\nThe 16×12×12 ft control room is impressive. Keith designed and built it from a picture of one Eastlake's designs and it has been done well. The room is sensibly organised for work with modern rock bands, with a good view of the two main studios through the control room window. The desk, Soundcraft SCM 762-24B tape machine and auxiliary equipment are on a raised platform at the rear of the room leaving seating space for up to 10 people in front of the console. This area may also be used for DI-ing the studio's selection of synths. Inquisitive band members are free to congregate in the control room without getting in the engineer's way, although there is enough space left behind the desk for one or two 'helpers' to take part in the mixdown. Variable lighting and air-conditioning make the control room a comfortable place to work.\n\nWhen the control room was rebuilt in its present position in 1982, the original Tannoy Gold monitors were replaced with JBL 4350s which were mounted above the control room window and bi-amped with two Monogram 260 W power amps. In addition Yamaha NS 10s have been mounted at either end of the desk.\n\nThe studio's engineers, John and Roy, are both very pleased with the acoustics of the control room although John mentioned that the JBLs could be a little overpowering at mixdown. Relatively high volume monitoring of a rock band's material can often hide errors in the mix which miraculously appear when played back at home on the band's own stereo deck: to avoid this problem John often uses the NS 10s to get a more realistic balance on the mix, whilst using the JBLs for referencing.\n\nThe outboard gear is arranged on the right of the desk along the wall. In this position the engineer can trim the majority of the equipment from his chair giving him constant balance from the monitors.\n\nBoth engineers have found that the desk is very flexible as far as routing is concerned, with any track from the machine capable of being sent to any input channel; if equalisation isn't needed the monitor channels can also be used as returns. The fixed frequency EQ on every channel is perhaps a little limiting when compared to the cut or boost available on modern mass produced desks. Having said this, the results achieved compare very favourably with the quality produced by a sophisticated\n\nKeith Herd at his custom made console\n\nCassette copying at Fairview\n\noff the shelf model.\n\nIn the central recording area, which measures 13x8x13 ft, the relatively high ceiling of the original barn has been retained. This, along with 'Eastlake-type' stone walls, provide an extremely short reverberation time giving good separation and an uncoloured sound even with distant miking.\n\nThe second main recording area is larger than the first although the ceiling has been lowered by 2 ft and the cavity filled with hessian wool; carpet has been laid to make the room less reflective so that it can be used as the drum area. With the walls left hard and reflective a controlled live sound can be obtained from the kit.\n\nTo complete the studio a third area has been prepared as a live separation booth. Irregularly shaped to avoid parallel reflections and with a hardwood floor, reflective walls and hard ceiling, Keith has found it ideal for brass instruments or for any other sounds which are enhanced by ambience.\n\nFairview's mics are studio standards: Neumann, AKG, Beyer and Shure. The range of effects and signal processing equipment is comprehensive including, AMS RMX 16, AKG BX20 and Yamaha SPX90 reverb, an Aphex Aural Exciter (Type B), Marshall Time Modulator and Drawmer Multi-Tracker. An AMS DMX 15.80S is available with a 6½ s loop edit facility plus keyboard interface for sampling. Stereo mastering is handled by an Otari 5050B and Revox A77.\n\nThe studio is well booked, yet this is only half of Fairview's business; the cassette winding and duplicating is growing rapidly and the studio has international distribution of blank cassettes and copies. Some 25% of the copying is educational or instructive providing a lucrative second string to Fairview's bow. The studio is using Technics M216 tape machines although they are in the process of re-equipping with Denon DR-M22 stereo decks.\n\nFairview is a practical place. Its purpose is to produce a high quality, professional recording at a reasonable price; whether it's copying computer instruction tapes for Rank Xerox or creating an album for an independent label.\n\nThe studio continues to expand. Keith has recently added a studio manager to the staff, joining the two present freelance engineers who work in the studio and the cassette winder who prepares tapes to any required length for distribution.\n\nDespite its position Fairview is a busy place. Keith is content to watch his business grow together with his reputation.\n\nTony Draper\nFairview Studios, Great Gutter Lane, Willerby, Hull, North Humberside, UK.\nTel: (0482) 653116.\n\nTHERE MUST BE OTHER WAYS OF ACHIEVING ACOUSTIC EFFECTS MUSED ROXANNE!\n\nBritannia Row offers a total Audio Hire service from a complete customised 24 track recording package through the range of our extensive analogue and digital recorders to any individual studio effect you may require.\n\nThe equipment is cased and delivered by our professional and efficient staff to anywhere in the UK or overseas.\n\nOur technical engineers will fully install the equipment and leave you assured of a smooth recording session with 24 hour back-up guaranteed... Even Albert will be happy.\n\n35 BRITANNIA ROW LONDON N1 8QH\nBRITANNIA ROW 01 226 3377\nCOMPLETE SERVICE AUDIO HIRE\nTEL: DAY 01-226 3377 NIGHT 01-223 1901 BLACK 281\nTELEX:268279 BRITRO G\n\nCD pressing capacity\n\nPolyGram's CD factory in Hannover, West Germany, still has the largest capacity in the world—it should churn out 50 million this year. And it's still nowhere near enough.\n\nHead of production at Hannover, Dieter Soine, says he is always looking for new ways of pressing more discs faster. But you can forget about the continuous strip process, at least for the time being. Several companies are trying to press and punch from plastics strip but no one has yet seen a sample of saleable quality.\n\nPolyGram is looking for other ways to speed production. The presses at Hannover work on the injection-plus-compression principle. So far this has limited cycle time. At first it was 35 s per disc. Now it is down to around 22 s. The Japanese use injection-only presses and are down to 18 s and less. PolyGram won't yet switch to injection because the mould parts, which hold the stampers, cost 10 times as much in an injection press; 10,000 DM instead 1,000 DM per set. PolyGram is now pushing compress-inject cycle time to 18 s, which looks like being the bottom limit. Stamper life is already down to 1,000 cycles.\n\nThe other bottlenecks are in metallisation and QC. The clear polycarbonate disc has to be coated with aluminium after pressing. So far this has been done by placing the disc in a vacuum chamber and sputtering it with metal. The chambers hold 700 discs at a time. It takes 15 minutes to pump the vacuum and another 10 minutes to create aluminium dust by bombarding a metal sheet with argon ions. Hannover is now installing machines which work on a conveyor system. The discs go in one end, pass through a series of pressure bulkheads into the vacuum chamber, where they hit a cloud of metal dust, and from there pass through another string of bulkheads out into atmosphere again.\n\nEven after four years of mass production, PolyGram's plant still has a reject rate of around 15%; a fraction of a percent reject at every one of 60 production steps. The polycarbonate material can't be recycled, it has to be sold for scrap. So far QC has been all down to Mark One Eyeball, visual inspection by trained girls. Now a 2 s laser scan does the same job. Pressing prices are around 7.5 DM per disc, including jewel box and printed insert and the minimum initial run is 3,000 discs.\n\nThe cleverest move is to get the factory running seven days a week. In Germany it is against the law to work a factory over the weekend. PolyGram did a deal with the government. The company employs only unemployed people on Saturdays and Sundays.\n\nTalking of unemployment and despite Philips denials, the Blackburn videodisc pressing plant is now pressing CDs on an experimental basis. There weren't enough orders for Laservision, so it was the obvious thing to do. Blackburn has now made CDs of saleable quality but it's not yet decided whether the factory will press CDs for sale.\n\nLess hiss more coverage\n\nHere we go again. From those wonderful people who gave us the EVR video system which wouldn't record, SQ quadrophonics with its magical effects in mono and stereo, and the CX compatible disc noise reduction system which was so incompatible engineers wouldn't use it—we now have FMX from CBS.\n\nCBS claims FMX will quadruple the area of FM stereo coverage. It reduces hiss by compassion and yes, of course, it's compatible. Or so CBS says.\n\nNo doubt you will be hearing a lot more about FMX over the next few months before—like EVR, SQ and CX—it disappears. The whole thing looks like being a re-run of the CX debacle, and for that matter, the CBS anti-copying spoiler system. CBS UK knows nothing about FMX and cares even less. 'Try New York', they say. Telexes to NY are ignored.\n\nHaving now seen the publicity claims for FMX I can understand why they would prefer some journalists didn't see them. They look as if they've come from the same word processor which was previously programmed to puff SQ, CX and the spoiler.\n\nAlthough hi-fi manufacturers are now excited about FMX, and some already promise to sell FMX receivers, I have to warn CBS that both the BBC and IBA have doubts about its compatibility.\n\nNo one has any plans yet even to stage broadcast tests.\n\nThe same system is used all round the world to transmit FM stereo on the VHF wavebands. The sum signal, a simple mix of left and right channels, is transmitted on the main RF carrier frequency. This gives mono reception on mono receivers. The stereo information for stereo receivers is carried piggy-back on the sum signal, as a high frequency AM sub-carrier. The sub carrier signal is the difference between left and right channels of stereo. A stereo receiver mixes the difference signal with the sum signal to give separate left and right channels.\n\nThe snag with this conventional system is that the high frequency sub-carrier is at low level and more difficult to receive than the main signal. Its usefulness falls off with distance much faster than the mono sum. For clear stereo the received signal must be around 14 times stronger than for mono. If it is not, the listener must either put up with hissy stereo or switch to mono.\n\nWith FMX, CBS compresses the difference signal before transmission. The compressor slope is oddly shaped, with 2:1 gradient, a spike and dip. An FMX receiver expands the signal in mirror image. Doubtless this causes hiss but even CBS admits it would normally destroy all chance of good reception for people with conventional receivers. So FMX uses two sub-carriers in quadrature; one is of conventional type and the other of new compressed type.\n\nIn theory an ordinary receiver ignores the extra phase-shifted carrier while a new FMX receiver will latch on to it. CBS claims baldly that FMX \"will not affect existing FM broadcasting methods and present consumer receivers\".\n\nBoth the BBC and IBA have already told me that they have grave doubts on this claim. They worry about multipath. When broadcast signals are reflected off a building or hill, there is inevitably a phase shift which will confuse receivers into picking up the wrong sub-carrier. \"It may work in East Anglia, where there are no hills,\" says the BBC, \"but we would want to check it on the Wenvoe transmitter, where the signals are bounced around the Welsh valleys.\" Perhaps significantly, the CBS tests were run in Connecticut, where the terrain is pretty flat and there are no city skyscrapers.\n\nAs Dolby Labs found out when they tested Dolby FM 10 years ago (encoded signal and modified time constant) there are some pretty odd receivers in use out there. If even a couple of listeners complain on a small test, that will translate into vociferous hordes when the system is widely adopted in unfavourable conditions. Hasn't CBS learnt anything from SQ and CX?\n\nEven if they wanted to, neither the BBC nor IBA can change their transmission standards without permission from the Department of Trade and Industry. The DTI will only authorise a change after extensive on-air tests have proved near-perfect compatibility.\n\nCommercial radio stations, which would of course jump at the chance of extending their stereo coverage area, cannot go it alone because the IBA owns and controls their transmitters. There is also a good chance that if the local stations, like Capital in London, extended their range with FMX, the DTI would respond by demanding a cut in transmitter power to maintain the status quo.\n\n911. DRIVE THE HIGH PERFORMER\n\nBASF Studio Master 911. The new professional analogue tape designed to meet the extreme demands of tomorrow's multi-track technology.\n\n911 is a significant design achievement – outstanding audio performance matched with excellent mechanical properties.\n\n- High dynamic range at all frequencies (74.5dB at 1kHz)\n- Very low modulation noise (DC ratio 54.5 dB)\n- Excellent winding characteristics\n- Low print-through (signal to print at 1kHz 56.5dB)\n\nMORE SOUND. LESS NOISE.\n\nWith Syco, you too can be a Mecca star...\n\nSyco\n\n20 CONDUIT PLACE, LONDON W3 TEL 01-724 2451\nTELEX 22278 SYCO G FAX 01-262 608\n\nJVC DIGITAL AUDIO MASTERING SYSTEM\n\nThe core of the JVC editing system is the type VP-900 digital audio processor which interfaces with a professional VHS or U-matic video recorder to provide up to two hours of digitally recorded audio. The unit unfortunately is restricted to the NTSC video standard requiring an NTSC-type recorder and an NTSC television monitor to monitor visually data from tape.\n\nThe stereo audio is coded into a 16-bit linear code with the sampling frequency switchable between 44.1 kHz and 44.056 kHz, the latter is essential when working with composite syncs where the audio is associated with video systems.\n\nWhilst I do not have details of the coding system used, the data rate of 3.087 Mbit/s or 3.084 Mbit/s which depends on the sampling frequency in use, is quite low. Data is recorded in blocks and parity, in addition to some form of cyclic redundancy check, is used to protect the audio data as well as recording a JVC form of timecode.\n\nFurther data is recorded, such as flags to identify the sampling frequency and the use of pre-emphasis and all data is corrected for errors.\n\nPre-emphasis may be set to 50 µs plus 15 µs giving a 3 dB boost at 3.183 kHz, standard for many broadcast systems but with the 15 µs time constant rolling off the boost at 10.61 kHz to lead to a maximum boost of about 8.6 dB at the upper frequency limit of the system around 20 kHz. Alternatively pre-emphasis may be switched out giving a flat frequency response at all signal levels.\n\nThe second part of the JVC editing system is the AE-900V editor which uses the JVC TC-900V timecode generator if it is needed to synchronise with video systems. The system as such does not use SMPTE timecode but a bi-parity (BP) timecode which ties up with the signal data format on tape.\n\nThe timecode generator has several functions for use with SMPTE timecode but not drop frame code which it does not handle. Firstly it can generate SMPTE and BP timecode for dubbing from external systems to the JVC system or recording on the JVC system in sync with external SMPTE codes.\n\nSecondly it can accept an external SMPTE code and output both SMPTE and BP timecode for dubbing between JVC system tapes or for adding SMPTE code to existing JVC system recordings.\n\nThe editor itself is a two part system comprising the electronics and a separate keyboard which connects to the electronics by two multi-way cables fitted with locking connectors.\n\nIn addition to this a remote control unit is available for the digital audio processor. A further item not included in the review is a synchroniser which requires the use of a source of video sync pulses such as a camera or picture generator. The unit converts the incoming EBU timecode into the BP timecode and locks the digital audio VCR to the incoming timecode capable of handling both NTSC and PAL video systems.\n\nOffsets may be entered into the unit and placed in memory with the ability to increment or decrement the offsets with displays showing the EBU timecode from the picture source, and the SMPTE timecode from the audio source. In addition the current difference in time is displayed in frames.\n\nThe FC-900 is a bi-directional interface allowing the transfer of audio between the JVC system and the Sony format as used in the 1600/1610 units.\n\nThe VP-900 digital audio processor, the AE-900V digital audio editor and the TC-900V timecode unit complete with the remote control unit for the processor; two VCRs—BR-6800U professional VHS recorder and a CR-8250U 'U' format machine plus an NTSC video monitor were provided for this review. The three sections of electronics are 17 in wide, such that they will fit into a standard 19 in rack with all the connections at the rear. Signal connections are via multi-way locking connectors and BNC sockets with power supplied via IEC connectors next to which are re-settable circuit breakers.\n\nTo the front of the audio processor and the editor removable panels reveal electronics on good quality horizontal circuit boards, these have clear component identifications. The power supplies are to the right behind the control panels and the editor's only control is the power on/off switch.\n\nDigital audio processor\n\nThe electronics of the audio processor is contained on six large printed circuit boards all of which have user controls and/or LED indicators. The top board which is the playback board has four toggle switches, the first sets the detector level for the incoming signal from the video cassette recorder. This switch is set for minimum activity of the CRC (cyclic redundancy check) error indicator on the same board.\n\nNext, the address switch allows the address display to be either held or set to zero when the VCR is stopped. One of the other switches selects the 44.1/44.056 kHz sampling frequency. The function of this switch, however, depends upon the setting of the sampling frequency auto/manual switch which has rather complicated functions that I will avoid going into. As a result of the switch's possible automatic overrides all except the detector level switch have associated LEDs.\n\nFurther LEDs are illuminated when the output is unmuted (ie normal playback data is present), when a...\n\nTWO DEFINITIONS OF THE PERFECT ECLIPSE\n\nA SOLAR ECLIPSE\nA natural phenomenon occurring when the moon passes between the earth and the sun, resulting in total darkness. This unique event is the result of a complex chain of events culminating in the perfect alignment of their orbital trajectories.\n\nIt's cause was for centuries beyond the comprehension of man, who's imagination and superstition associated it with the supernatural and religious ritual. Magicians and alchemists made the most of the awesome spectacle to assert control over their bewildered followers, until astronomers were able to disprove the mystical theories by offering a scientific explanation.\n\nTHE ECLIPSE EDITOR\nA technological phenomenon in the form of an Intelligent Audio Edit Controller which puts rival products in the shade. Having a capacity to control a large number of events, firing complex user-programmable sequences in perfect alignment from a single Q-key, The Eclipse is capable of supporting 32 machines.\n\nMany of The Eclipse's unique functions were beyond the wildest imagination of Audio engineers until Audio Kinetics applied their advanced research technology to create an electronic edit controller which will, when interfaced with Q-LOCK Synchronisers, add a little magic to modern post production facilities.\n\nsyndrome error has been detected and when an uncorrectable error has been found, in which case the previous data is held.\n\nFollowing down, the record board has a single momentary pushbutton switch for initialising the section when composite external syncs are used. A LED next to the switch identified as Compo is normally illuminated in this mode with automatic initialisation but the switch will re-initialise the unit. Four further LEDs are illuminated for various error conditions including parity errors in data and address errors.\n\nThe control and metering board has switches to set the unit to one of five possible modes, the modes of interest being the normal recording mode, the editing mode and the digital dubbing mode. Further switches select pre-emphasis ON/OFF and select the source of sync between external composite (black burst), internal or an external 44.1 kHz source.\n\nThe A/D (analogue/digital) board has two user controls in the form of multi-turn potentiometers for setting the offset in the A/D converters for the two channels. These controls are set whilst using the video monitor and are adjusted such that the least significant 3/4 bits are exercised.\n\nSo far the boards have very few internal switches or adjustments. Not so on the two remaining boards, each of which have about 10 adjustments for each audio channel, it is not known what these adjustments do. In addition each channel has a toggle switch on each board for setting the gain to a fixed level or allowing front panel potentiometers to set levels.\n\nTo the right of the front panel is the illuminated power on/off button; ¼ in stereo headphone jack and a detented monitoring level potentiometer—the remainder of the features are hidden behind a black translucent panel.\n\nTwin vertical bar displays are used for the level indicators which work in 2 dB steps down to −30 dB with an extra step at −15 dB and then have −40 dB and −60 dB indications. At and below −15 dB the indications are green, the remainder yellow and a red Over at the top of the displays is used to indicate overload.\n\nThe −15 dB indication corresponds to the reference level of −4 dBm and a special reference level display may be switched in for accurate alignment of this level. This secondary display has a range of ±0.3 dB in 0.1 dB steps.\n\nThree modes of operation of the main level display may be selected so that it may operate as a peak level meter, hold peak indications for 2 s or may hold peaks until the reset button is pressed. The latter modes also hold the Over indicators.\n\n‘Secret’ displays illuminate showing the mode of operation set on the control and metering printed circuit board; they show if pre/de-emphasis is on and warn of internal error conditions.\n\nTo the bottom of the panel is a 4-digit time display showing min and s. In the replay mode this follows the timecode from tape but in the record mode it may be reset or held as needed.\n\n**Inputs and outputs**\n\nThe two pairs of audio inputs and outputs at XLR connectors on the rear panel are balanced with a switch allowing the outputs to be internally unbalanced if desired.\n\nThe input impedance was 19.9 kΩ constant with frequency up to 20 kHz with the output impedance of 22.7 Ω also constant with frequency—both are sensible impedances. Table 1 shows the input and output levels for 100% modulation at 1 kHz in the fixed gain and variable gain modes. It also shows that the balance between the two channels is very accurate—the overall gain at fixed gain is within better than 0.1 dB. Furthermore Fig 1 shows that the common mode rejection of both channels is extremely good.\n\nTurning to the stereo headphone jack, this had a source impedance of 47 Ω with the level control working in approximately 1 dB steps. As is shown in Table 2, however, the balance between the channels left something to be desired whilst the voltage levels were sensible for most types of headphone.\n\nWhilst the multi-way remote and interface connections are probably of little user interest, the BNC video and sync connections are. Strangely the video out and the sync out connections had a source impedance of approximately 600 Ω as opposed to the normal (and specified) 75 Ω.\n\nThe composite video output had a black level of +0.7 V, sync tip at +0.11 V and peak white at +2.03 V at two separately buffered connections. The VCR sync output at three lines supplied negative going sync pulses from +0.6 V to −6.9 V again at separately buffered outputs.\n\nThe VCR play input was accurately terminated with 75 Ω (the external sync input is a switchable 75 Ω termination).\n\n**Metering**\n\nThe metering which follows pre-emphasis (when used) consists of two parts: the normal level display and the reference level display. The latter, intended for precise alignment of levels, has its 0 dB indication corresponding to −15 dB on the main display which in turn normally corresponds to +4 dBm. The latter was found to be within 0.01 dB for both channels with the 0.1 dB increments over the ±0.3 dB range of the display also within 0.01 dB. These figures applied up to 10 kHz above which minor errors appeared but these had little significance for alignment purposes.\n\nChecking the accuracy of the main metering steps showed it to be within 0.1 dB from 0 dB to −28 dB with an error of only 0.2 dB at the −30 dB indication. The final lower indications were less accurate with a reading of −40 dB being −40.75 dB and −60 dB being −63 dB—such errors are of no consequence.\n\nBoth metering systems were true peak responding devices with rise time of the main metering and the Over indication extremely fast, so that they fully responded to a single cycle at 10 kHz. The fall time of the main display was...\n\nConnectors by NEUTRIK\n\nDISTRIBUTION NATIONWIDE\n\nSole Agent U.K.\nEardley Electronics Ltd.\nTelephone: 01-221 0606/01-727 0711 Telex: 23894 Telefax: 01-727 9556\n\nFFD Noriyuki Time-Code FFD\n\n● Generates & reads standard SMPTE/EBU Time-Code.\n● Jam-sync capability.\n● Runs on own 9v battery.\n● Very low power consumption.\n\nRCA Connectors for input and output. A multipin connector is also provided for single cable operation.\n\nContact our sales desk for further information on NORIYUKI time-code products.\n\nFFD FUTURE FILM DEVELOPMENTS\nP.O. Box 3DG, 114 Wardour Street, London W1A 3DG, England.\nTelephone: 01-434 3344 & 01-437 1892. Telex: 21624 ALOFFD G.\nCables: Allotrope-London W1.\n\nAUDIO JACKFIELDS & JACK SOCKETS\n\nMosses & Mitchell are the largest manufacturer of Audio Jacks and Jackfields in the UK. We are approved suppliers to the BBC, British Telecom, Pye Telecommunications and many other major telecommunication companies throughout the world. We manufacture a complete range of Audio Jacks & Jackfields and offer a design and manufacturing service geared to meet your specific requirements. For further information and technical data on our products contact:\n\nMosses & Mitchell Limited\nWeydon Lane, Farnham Surrey GU9 8QL\nTelephone: Farnham 721236 (STD 0252)\nTelex: 850020\n\n385 ms—giving good readability, with the 2 s peak hold lasting for 1.56 s and the hold mode offering a permanent hold of true peaks.\n\n**Frequency response and noise**\n\nThe overall frequency response from 10 Hz to 20 kHz without pre-emphasis is shown in Fig 2 to be within +0.2/−0.4 dB reference 1 kHz. The four curves show the response to be the same at maximum modulation and at three steps at 1 dB increments below maximum modulation. When using the headphone monitor output the response was as shown in Fig 3 where there is a possibly significant high frequency roll-off.\n\nAs the same anti-aliasing filters are used at both sampling frequencies the high frequency limits are the same giving a −1 dB point at 20.37/20.26 kHz for the two channels, falling to −3 dB at 20.56/20.54 kHz and −50 dB at 21.83/21.83 kHz.\n\nNoise in the outputs was measured with and without de-emphasis in the unmuted condition with no signal input as shown in Table 3. The cause of the slight noise variations between channels is not known as the outputs were completely free from any power line artefacts or sampling frequency products. It may be that dither is incorporated making these small differences.\n\nOften more interesting in digital systems is the noise in the presence of a signal caused by quantising errors. Fig 4 shows the total harmonic distortion (THD) and noise in dB on the vertical axis versus frequency on the horizontal axis for 10 dB level steps referred to −5 dB below maximum modulation. As expected THD and noise decreases at high frequencies because the harmonics are outside the passband of the internal filters.\n\nReference to Fig 5 again shows THD and noise on the vertical axis with signal level reference full modulation on the horizontal axis. THD and noise are plotted whilst the signal level at 1 kHz was reduced from full modulation to −100 dB in 0.1 dB steps. Whilst there is a slight peculiarity around −10 dB the THD and noise increases linearly with reduced signal level until the noise floor is reached around −90 dB.\n\n**Distortion**\n\nWhilst Figs 4 and 5 show the overall pattern of harmonic distortion the performance was investigated in more detail. Individual second and third harmonics plus THD and noise over the band <10 Hz to 80 kHz were measured for both channels at 1 kHz at 10 dB increments below full modulation.\n\nTable 4 shows a good consistency between channels with both channels offering good performance. Similar comments apply to intermodulation distortion to both the SMPTE method and the CCIF twin tone method. SMPTE-type intermodulation distortion was less than 0.03% at levels above 20 dB below full modulation; CCIF intermodulation distortion was better than 0.03% at levels above −30 dB. Square wave reproduction showed the usual ringing associated with sharp filters as shown in Fig 6 for a 1 kHz square wave.\n\n**Other matters**\n\nCrosstalk between the two channels was at a very low level and almost constant with frequency as shown in Fig 7 confirming the lack of power line frequencies in the outputs.\n\nThe phase difference between the channels was less than 1° over the range 20 Hz to 20 kHz with zero timing difference between the channels maintaining monophonic compatibility. Furthermore any timing jitter was\n\nminimal. As with many video-based systems, however, some jitter did occur at the frame rate of 60 Hz, leading to sidebands at ±60 Hz about a recorded tone but at only −80 dB relative to the tone.\n\nDuring practical use no audible effects of tape dropout were noted with the CRC light blinking at intervals but the hold light (indicating uncorrectable errors) remaining extinguished. It was therefore decided to corrupt intentionally the replayed video by inserting bursts of noise to see how much data could be lost before trouble occurred. In the unlikely event that every video line was corrupted the processor was quite sensitive to data errors with the CRC coping with up to 140 ns of corruption before the hold mode was entered and the processor muting with errors in excess of 440 ns.\n\nSuch conditions are only likely to be met with a very poor VCR and corrupting once in every 10 video lines showed that up to four sequential lines could be lost before the unit muted. Decreasing the corruption rate to once in every 100 lines showed that extensive data corruption could occur even before the hold mode was entered.\n\n**Remote control unit**\n\nThis small free standing box duplicates the level indicator on the processor together with its peak hold functions but not the reference level facility. The address counter is also duplicated together with its reset and start/stop pushbuttons.\n\nAn added facility is a 4-digit display which may be preset to any address in minutes and seconds by using four pushbuttons below the display, each button incrementing one digit. This display is then used in conjunction with a search button as a simple autolocator.\n\nThe remaining buttons are tape movement buttons duplicating those on the VCR including the record function and a Load button which sets the\n\n---\n\n**TABLE 3**\n\n| Measurement method | Noise reference maximum modulation |\n|--------------------|-------------------------------------|\n| 22 Hz to 22 kHz RMS | De-emphasis out: −92.5/−93.5 dB |\n| A-weighted RMS | De-emphasis in: −94.5/−96.1 dB |\n| CCIR-weighted RMS | −96.0/−97.0 dB |\n| CCIR-weighted quasi-peak | −87.5/−88.5 dB |\n| CCIR/ARM ref 2 kHz | −83.5/−84.0 dB |\n| | −94.5/−95.2 dB |\n\n**TABLE 4**\n\n| Level | Second harmonic | Third harmonic | Total |\n|-------|-----------------|----------------|-------|\n| 0 dB | 0.015<0.01% | 0.014±0.013% | 0.021±0.015% |\n| −10 dB| 0.015±0.011% | <0.01<0.01% | 0.021±0.017% |\n| −20 dB| <0.01<0.01% | <0.01<0.01% | 0.028±0.030% |\n| −30 dB| 0.013<0.01% | 0.013<0.01% | 0.087±0.091% |\n| −40 dB| <0.01<0.01% | 0.009±0.01% | 0.277±0.22% |\n| −50 dB| 0.22±0.20% | 0.50±0.45% | 0.977±1.000% |\n| −60 dB| <0.10<0.40% | 1.3±2.8% | 2.880±2.880% |\n| −70 dB| <0.30<0.30% | 3.00±3.00% | 9.770±9.770% |\n| −80 dB| 4.47±1.00% | 12.6±8.9% | 39.80±39.80% |\n\n---\n\n**FIG 6 JVC VP-900**\n1 kHz SQUARE WAVE\n\n**FIG. 7**\nJVC VP-900\nCROSSTALK BETWEEN CHANNELS\n\nTools of the Trade\n\nSignal Processors by Orban\n\n672A/67A Equalisers\nA parametric EQ with graphic controls, including variable high and low-pass filters usable as an electronic crossover (mono or stereo)\n\n622B Parametric Equaliser\nAn exceptionally versatile EQ which has become the standard in studios, broadcast and road shows.\n\nOrban Associates Inc\n\nEuropean Master Distributor\n\nScenic Sounds Equipment Marketing Ltd\nUnit 2, 12 William Road, London NW1 3EN. Tel: 01-387 1262 Telex 27939\n\nBelgium Trans European Music (Bruxelles) Finland Studiotec (Espoo) France 3M France SA Minoom Div (Paris) Germany Estemac (Hamburg)\nGermany Hausman Electronic (Berlin) Greece Audiolab (Athens) Holland Cadac Holland (Hilversum) Italy Audio Products International (Milano)\nNorway LydRommet (Oslo) Portugal Amperel (Lisbon) Spain Singleton Productions (Barcelona) Sweden Tal & Ton (Gothenburg) Switzerland Audio Bauer (Zurich)\n\ncurrent tape address into the autolocator display.\n\n**Editing system**\n\nThe main frame of the editing system has a similar configuration to that of the digital audio processor with the electronics contained on six horizontal printed circuit boards which plug into a mother board. Several of the boards have LED indicators of unknown functions with only the user controls on the main processor board.\n\nThis contains a master reset button and an auto/manual toggle switch in addition to two 8-way DIL switches. One of these is used to set the baud rate of the RS-232 interface, details of which were not available. The second DIL switch, not all sections of which are used, performs three user functions: the editing mode may be set to assembly or insert editing, the timecode mode may be set to SMPTE or BP and the pre-roll time may be set to 10 s or to 30 s.\n\nTo the rear of the electronics unit are the video inputs from the two VCRs with a feed from the editor to the audio processor, all these at BNC sockets. The remaining connectors are locking multiway types feeding the processor, the remote control of the VCRs and the control section of the editor. The latter is a table top-mounted unit about 17 in wide by 12 in deep with a sloping front panel. Depending upon the setting of the DIL switch in the electronics unit the editor may be used for assembly editing or for insert editing. In either case the function of the control section is to identify the edit points, rehearse the editing without recording and once satisfied with the edit to record the edit. In the insert editing mode, however, the rehearsal functions are limited.\n\nThis involves two VCRs (the Original and the Master) so the very clear LED display at the top of the control section is divided into two almost identical sections to display data for the original and the master VCRs.\n\nThe top row of digits in each display shows the current tape time in min, sec and frames; the frame display relates to either TV frames when the BP timecode is used or SMPTE frames when the SMPTE timecode facility is used.\n\nBelow the current time display the sec display is normally used to identify edit points in min, s and frames plus three further digits which are identified as W×2 where the latter is related to the sampling data word. The final digital display is a single digit which indicates which one of four possible cross-fade times is selected. The range is from 0 to 40 ms in 10 ms steps selected by sequentially pressing a button on the control panel, a 45° splice at 15 in/s being equivalent to 16.66 ms.\n\nBelow the information display a transverse row of LEDs is used in the edit location mode. This display has seven LEDs at about 1.5 in intervals dimly illuminated in the edit location mode with intervening LEDs forming a horizontal bar display with one of the intervening LEDs illuminated.\n\nThe length of this display corresponds to a 6 digital audio store with 6 LEDs at 1 s intervals and the intervening LEDs showing the current position within the store when illuminated.\n\nThe display is used for edit point location for which purposes there are actually two 6 s digital stores for inserting two edit points, both stores reproducing very good quality audio. In order to locate an edit point the master or original are replayed using the master/original selection buttons together with the usual tape movement controls on the panel. The Set Up button is then pressed followed by the EDP (edit point) button at the approximate edit point. The editing store then grabs 6 s of audio which includes 2 s of audio before the EDP button was pressed and 4 s after it was pressed the tape stops.\n\nFrom here the accurate location of the desired edit point involves replaying the stored audio in one of two modes using a large diameter knob which was rather stiff in operation. Selection of the Replay mode replays the stored audio continuously at a variable speed forward or backwards as set by the large knob. Alternatively selecting the Search mode allows the equivalent of moving the tape very slowly with one rotation of the large knob equivalent to about 0.4 s of tape time. In either mode the horizontal LED display shows the current position within the store and once the desired edit point has been found the EDP button is again pressed.\n\nAt this stage it is possible to audition the edit point in one of two modes. Pressing one button replays the stored audio and mutes at the edit point whilst pressing another button replays the stored audio and remains muted until the edit point. This system allows drop-in or drop-out point to be monitored.\n\nIf it is then desired to trim the edit point, this may be done by again pressing the Search or Replay button and using the rotary control with the edit timecode being shown in the display. Alternatively the edit point may be trimmed in 2 ms intervals (corresponding to 0.03 in of tape at 15 in/s) by using the ← or the → buttons.\n\nThe same procedure is used for the original and master tapes in the assembly edit mode after which there are several ways of rehearsing the edit.\n\nUsing the audio stores the edit may be replayed over a short period in mono, or alternatively pressing a Check button rehearses the edit using the original and master tapes as sources in stereo reproduction but without performing the edit. Once satisfied pressing the Edit button automatically performs the edit.\n\nA further feature is the inclusion of a digital fader which allows fading in or out of the original at any time. After a little practice the editor was very easy to use and the facilities for rehearsing edits were excellent. The insert editing mode is useful for replacing sections of a recording such as clicks or badly played notes. The first operation in this mode is to find the desired insert and exit points on the master tape and to note their timecodes—easily done in the assembly editing mode. Next the start of the required insert on the original tape is found in the insert editing mode and entered as in the assembly mode. After this simultaneously pressing the Stop and EDP buttons allows the timecode of the insert and exit points on the master tape to be entered, the latter with the reduced resolution of 1 frame (33.33 ms). From this point the edit may be auditioned using the Check button and subsequently performed using the Edit button. This form of editing relies on the tempo of the original being the same as that of the master, thus running the risk of timing errors if long inserts are made.\n\nThe remaining facilities include the insertion of edit points from a known timecode, searching for edit points or going to an edit point and erasing play. These functions are initiated by holding down the stop button whilst pressing the EDP, Search or Play buttons.\n\nFinally there is the facility to assign the fader to the left or right channels whilst maintaining unity gain in the other channel by pressing the Stop button together with the ← or → keys; this could be useful for correcting stereo balance or other effects.\n\n**Summary**\n\nAll the units were very well made and easy to use once set up. The initial setting up, however, is complicated by the large number of controls on the video cassette recorders none of which are needed during operation.\n\nThe VP-900 digital audio processor is an excellent recording system in its own right which can work with the common NTSC-type video cassette recorders. As the unit uses a powerful error correction system, normal tape dropout is fully corrected without any interpolation.\n\nDuring tests no uncorrected errors were heard or seen and intentionally corrupting the replayed video to produce hold errors had no significant audible effect before the machine muted at excessive error rates.\n\nThe AE-900V digital editing system was a delight to use, its rehearsal possibilities offering an untold advantage over the normal manual editing of tape. The accuracy of edit points was far better than is possible by conventional methods with the added advantage of being able to fade in/out whilst editing.\n\n---\n\n**Manufacturer's Specification**\n\n**Equaliser section**\nConfiguration: (27) ½-octave state variable derived filters on ISO centres from 40 Hz to 16 kHz.\nCentre frequency accuracy: ±3% maximum.\nFilter type: constant Q, state variable derived (no inducive or gyrators).\nSliders: 45 mm full-throw, positive centre detent (grounded).\nRange: boost 12 dB, +2/-1 dB, cut 15 dB, +2/-1 dB.\nSignal/noise ratios: ref +4 dBm, unweighted, 20 kHz bandwidths sliders centred, unity gain −90 dB, sliders centred, maximum gain −85 dB, sliders maximum, unity gain −70 dB, sliders maximum, maximum gain −64 dB.\nFrequency response: 31.5 Hz to 27 kHz, −0/−3 dB.\nTotal harmonic distortion + noise: less than 0.002%, 22 Hz to 20 kHz with +4 dBm output.\nIM distortion: less than 0.02%, 60 Hz × 7 kHz, 4:1.\nMaximum gain: +6dB (+3/−0 dB) with sliders centred.\nInput impedance: 20 kΩ.\nOutput impedance: 50 Ω.\nMaximum input level: +22 dBm (9.7 VRMS) level control below −10, +19 dBm (7.0 VRMS) level control at unity gain, +14 dBm (+4.0 VRMS) level control maximum.\nMaximum output level 600 Ω: +20 dBm (7.8 VRMS) level control maximum, +18 dBm (6.2 VRMS) level control unity gain.\nSubsonic filter: fixed at 31.5 Hz, 18 dB/octave.\nUltrasonic filter: fixed at 27 kHz, 18 dB/octave.\nOverload indicator: red LED, lights at 4 dB below clipping.\nSignal present indicator: green LED, lights above −20 dBm input RFI input filters.\nBypass switch: passive hard-wire type, red LED indicates bypass on/off.\nOutput relay: turn on/off transient control.\nAnalyser section\nDisplay range: ±1 dB or ±3 dB ‘green window’, selectable.\nMeasurement level range: 70 dB to 120 dB SPL calibrated.\nCuts: spectrum or normal flat from 40 Hz to 16 kHz, ±0 dB, linear −3 dB attenuation between 400 Hz and 1.6 kHz.\nDisplay attack time: peak instantaneous.\nFrequency accuracy: ±3% maximum.\nAnalogue filters: ANSI S1.10-1980.\nPink noise: pseudo-random NMOS digitally synthesised, 23-bit word length, 1 min repetition rate. Output level adjustable, −10 dBm.\nResponse: 16 Hz to 20 kHz, ±1 dB, equal factor 4.0.\nMicrophones: two directional back-electret condenser type, powered by front panel jack (not phantom power), sensitivity −65 dB; frequency response 10 Hz to 16 kHz; maximum SPL: 140 dB.\nDimensions: (w/h/d) 19×3.5×8.5 in.\nWeight: 11 lb net.\n\nManufacturer: Rane Corporation, 6510 216th SW Mountlake Terrace, WA 98043, USA.\nUK: Music Lab Sales, 72/74 Eversholt Street, London NW1 1BY.\n\n**Manufacturer’s comment**\n\nMr Ford is correct in his findings that the peak overload LED does not indicate first-stage overload, this is something that we were late in recognising but have now taken steps to correct in all existing and future products. We would like to point out that the RE 27’s unbalanced output stage is also floating, which makes it compatible with all balanced input stages.\n\nThe Rane RE 27 and RE 14 are constant Q graphic equalisers using state variable derived filters and mounted into 2U steel 19 in rack mounting cases. The RE 27 is a 27-section single-channel \\( \\frac{1}{3} \\)-octave equaliser and the RE 14 a 2-channel 14-section \\( \\frac{1}{3} \\)-octave equaliser. The specifications only vary slightly in the noise performance.\n\nMost of the RE 27's charcoal front panel is occupied by 27 vertical slider controls giving +12/-15 dB range to the 27 equalisers centred on ISO standard centre frequencies from 40 Hz to 16 kHz. Each equaliser has a rather weak detent at 0 dB gain with calibrations at 3 dB increments. Above each equaliser control are red, green and yellow LEDs identified as '+', '0' and '-''. These operate such that the equaliser may be used as an analyser.\n\nTo the left of the front panel is the power on/off rocker switch which operates on the secondary of the mains transformer, the primary being permanently connected to the line cord via a fuse located within the unit. At the top of the panel an uncalibrated potentiometer controls the overall gain of the unit following the electronically balanced input stage. Near this input level control a green LED is illuminated when signals in excess of -20 dBm are present. A second red LED is illuminated when signal level reaches -4 dB below clipping at the input to the equalisers or output from the equalisers—this does not protect the balanced input stage or the final output stage.\n\nBelow the level pot are two locking pushbuttons, one with a red warning LED bypassing the equaliser by hard wiring the input to the output and the second energising an internal source of pink noise.\n\nTo the right of the front panel are an unbalanced \\( \\frac{1}{4} \\) in microphone input jack socket and the real-time analyser (RTA) controls consisting of a potentiometer and two locking pushbutton switches. The analyser section is normally fed from the equaliser output but inserting the microphone jack feeds the analyser from the microphone input which is non-standard and designed for use only with the electret microphone supplied with the unit. If this microphone is used the calibrations around the RTA level control represent SPLs from 70 dB to 120 dB in 10 dB increments.\n\nThe analyser works in conjunction with the '+', '0' and '-' LEDs above the individual equaliser controls with one of the pushbutton switches selecting a \\( \\pm 1 \\) dB or \\( \\pm 3 \\) dB window. If the signal exceeds the window level the red '+' LED is illuminated, if it is below the yellow '-' LED is illuminated and if the signal level is within the window the green '0' LED is illuminated.\n\nIt follows that the equaliser may be used to define or measure spectra or frequency responses in conjunction with the internal pink noise generator using either the supplied microphone or any other type of input.\n\nThe final front panel control is the Normal/House curve switch which affects the frequency response of the analyser section which is flat in the normal position. In the House position the response between 400 Hz and 1.6 kHz is modified—the manufacturer claims \"This reduction in midrange results in a warmer more desirable sound at lower sound pressure levels.\"\n\nAt the rear of the unit the audio input, audio output and pink noise output are at \\( \\frac{1}{4} \\) in jack sockets with the outputs being unbalanced except in the bypass mode when the output is directly connected to the input terminals which may be fed from a balanced or unbalanced source.\n\nWithin the unit printed circuit boards extend the width of the chassis at the top and bottom and across the front. The latter supports all the slider controls and the filters and level detectors are on the other two boards. The only pre-set controls are single potentiometers for each filter, setting the level.\n\nAcross the left side of the unit the...\n\npower supply and input/output circuits are on a vertically mounted board with a similar board to the right having the random noise generator and microphone input circuits.\n\nThe only hand wiring is the connections to the power transformer; the printed circuit board interconnects with sockets and pin connectors making the unit very tidy. Whilst there are no component identifications the user's manual includes layout diagrams and circuits in addition to other user information.\n\nThe unit is well finished internally and externally with clear off-white panel markings and the chassis is painted inside and out.\n\n**Inputs and outputs**\n\nThe electronically balanced audio input could accept a maximum of 9.58 VRMS (+21.8 dBm) into a load impedance constant with gain at 22 kΩ with the common mode rejection remaining at 80 dB within the audio pass band.\n\nThe gain to the unbalanced audio output with the equalisers set to their flat positions was a maximum of 6.7 dB with the output source impedance being 47 Ω. Measuring the maximum output capability showed it to vary widely with the gain set by the equaliser level control, this control affecting the input and output stages.\n\nAt maximum gain the output could deliver 9.51 VRMS (+21.8 dB.V) falling to 7.26 VRMS (+19.4 dB.V) at unity overall gain and thence to 1.05 VRMS (+2.6 dB.V) at low overall gains.\n\nThe microphone input to the real-time analyser section is dedicated to the microphone supplied; the input has +2.19 VDC powering and the input impedance is 2.07 kΩ. The sensitivity for '0' indication with the window set to ±1 dB was −72 dBm at maximum gain increasing to −25 dBm at minimum gain with the calibrations of the RTA level control being rather rough and ready as shown in Table 1.\n\nPink noise at the unbalanced output could drive a maximum of +2 dBm over the bandwidth 22 Hz to 22 kHz from a very low source impedance. A constant bandwidth analysis of the pink noise as shown in Fig 1 reveals that the frequency distribution of the pink noise is within ±0.5 dB from 20 Hz to 20 kHz.\n\nThe signal present indicator illuminated at −21 dBm input with the overload indicator becoming illuminated 3.5 dB below clipping, the latter giving a visible indication with clipping conditions exceeding 300 μs.\n\nWhilst the peak indicator shows overloading conditions at the feed to and from the equaliser sections, it does not operate with input overloads and will not necessarily indicate overload at the output stage.\n\n**Frequency response**\n\nThe overall frequency response with the equalisers in their flat positions is shown in Fig 2 to be within +0/−1 dB from 40 Hz to 12.6 kHz falling to −3 dB at 32 Hz and 22 kHz and then rolling off to provide a sensible restriction on the bandwidth.\n\nThe performance of all the 27 equalisers at their maximum cut and boost is shown in Fig 3 where the centre frequencies are accurate but the alignment of the gain leaves something to be desired, particularly in the case of the 630 Hz stage. It was also noted that the three highest frequency sections had an available cut in excess of the specified −15 dB.\n\n---\n\n**TABLE 1**\n\n| RTA level setting | 70 | 80 | 90 | 100 | 110 | 120 |\n|-------------------|----|----|----|-----|-----|-----|\n| Input level (dBm) | −72| −64| −51.5| −45| −37| −25|\n\n---\n\n**FIG.1**\nRANE RE 27\nSPECTRUM ANALYSIS OF PINK NOISE\n\n**FIG.2**\nRANE RE 27\nFREQUENCY RESPONSE FLAT\n\n**FIG.3**\nRANE RE27\nEQUALISERS\n\n**FIG.4**\nRANE RE27\n40Hz, 1kHz AND 10kHz\nEQUALISERS\nAT MAX +6dB AND FLAT\n\nThe D 112: The new bass microphone from AKG will take some punishment, deliver the new sound, and is a regular show-piece.\n\nThe result of technical wizardry and engineering experience, a new type of dynamic transducer finally enables extremely punchy and powerful bass sounds to be reproduced with utmost accuracy. An incredibly high sound level capability (a theoretical 168 dB!) ensures distortion-free reproduction of the bass, guitars, and bass drum as well as wind instruments. A special presence lift at 4 kHz creates that extra sparkle and punch that will make any bass instrument clearly distinguishable within the mix.\n\nThe new transducer, the strong protective basket, and the rugged die-cast housing are the results of intensive R & D. The superb sound is the result of the most advanced technology.\n\nFig 4 shows the performance of the 40 Hz, 1 kHz and 10 kHz equalisers at their maximum settings and at the ±6 dB settings, the control law being good and the shape remaining constant with gain.\n\nWithin the analyser section the frequency response was flat within the readability of the display in the normal mode with the 'House' mode introducing a boost in sensitivity commencing at 100 Hz, rising to 3 dB between 400 Hz and 1.5 kHz and then falling to zero at 6 kHz.\n\nA typical frequency response of the 1/3-octave filters is shown in Fig 5 for the 1 kHz filter. This curve just falls within the outer limits for the ANSI standard class II response.\n\nNoise and distortion\n\nNoise in the output was completely free from power line hum or other constant tones with the output noise depending upon the setting of the gain control and the equalisers. With all equalisers set for unity gain the gain control influenced noise as shown in Table 2.\n\nThe use of the equalisers to cut or boost, increased the output noise but not to any alarming degree. Table 3 shows the effect of fully cutting or boosting the mid-band equalisers from 315 Hz to 2 kHz with the nominal range being +12 dB to −15 dB.\n\nReferring these noise levels to the maximum output capability shows that the noise performance is good under any likely conditions of operation. Operation of the pink noise source did not show any audible crosstalk into the equaliser section but operation of the analyser section produced very slight clicks as the level LEDs became illuminated.\n\nThe operation of the equaliser controls and the level control were completely silent and switching the unit on/off did not produce any unwarranted clicks.\n\nSecond and third harmonic distortion was measured under a variety of conditions of gain and equalisation, and was always to a high standard. The worst case shown in Fig 6 was at +20 dBm output at maximum gain, the use of the equalisers having little effect upon the harmonic distortion which was related to output level rather than other conditions.\n\nIntermodulation distortion to the CCIF twin tone method exhibited similar characteristics with the second order products (F2.F1) being always at a very low level—less than 0.01%. The worst case for the third order products was at high frequencies and high levels as shown in Fig 7 for +20 dBm equivalent peak output.\n\nOther matters\n\nTesting the analyser in comparison with a Bruel & Kjaer type 4165 measuring microphone in conjunction with a Bruel & Kjaer 2606 measuring amplifier and a 1/3-octave filter set showed remarkably good results.\n\nThe Rane unit was first used to equalise the room using the ±1 dB sensitivity range with the input sensitivity set to 70 dB SPL. The Rane microphone was then replaced with the Bruel & Kjaer microphone and the room measured with the Bruel & Kjaer equipment. The resulting sound pressure level indicated at 70 dB with the Rane equipment measured 69 dB SPL with the B & K equipment, the two systems agreeing to within ±1 dB over the 27 1/3-octave bands. The Rane microphone, however, was sensitive to hum pickup and unless the microphone stand was grounded, erroneous results could occur at low frequencies.\n\nSummary\n\nThe Rane RE 27 is an unusual combination of a 1/3-octave, constant Q, graphic equaliser and a real-time analyser with limited abilities. This combination, however, has all the facilities needed for obtaining a flat room response or equalising a room to the internal 'House' curve, using the internal pink noise source if required.\n\nAll sections of the unit offered a very good performance but the accuracy of alignment of the equalisers could be improved. However this has no effect upon the measurement capabilities which were remarkably accurate for a simple device.\n\nEVERYTHING YOU EXPECT FROM JAPANESE CASSETTES... except the price\n\nBy importing top quality Japanese Tape and assembling the cassettes in the UK using the finest C zeros available we can now offer you everything you’d expect from Japanese cassettes... except the price.\n\nAvailable in custom lengths, retail packaged and also in pancakes for duplicators.\n\nTelephone P.M.D. for full details on 01-627 3760 or 0789 68579 or complete the coupon below to obtain sample cassettes.\n\nTo Pangbourne Musical Distributors Ltd., PO Box 19, Stratford-on-Avon, Warwickshire CV37 6SA. Please supply details and sample cassette.\n\nNAME ........................................ POSITION ........................................ TEL NO .......................\nADDRESS ..................................................................................................................................\n\nPMD ... NUMBER ONE IN MAGNETIC MEDIA\n\nThe QuPlay QPI is a programmable drop-in and drop-out control unit that plugs directly into the tape machine using tach pulses as its reference. There are, at present, some 200 units in studios around the world with a quarter of these being in Britain. The system I examined was in use at producer Colin Thurston's studio in London where it is used in conjunction with an Otari MTR90 mk II.\n\nThe unit measures $17 \\times 11 \\times 15$ cm and is small enough to sit neatly on most consoles with little problem. The controls are divided into two areas consisting of a remote section providing normal transport facilities, and the programming section with five pushbuttons and three status LEDs. The unit can be programmed with the tape machine running at normal speed, half speed or in edit mode depending upon the degree of accuracy required but whichever method is used the procedure is the same. Firstly the QPI must be primed to receive commands by pressing the Prog button which will light the green Program Enabled LED. With the transport running the In button is pressed at the drop-in point and the Out button at the drop-out point. The Program Enabled LED will extinguish and one now has a programmed drop-in or window. The accuracy of this window can be checked by the orange Window Cue LED which illuminates for the duration of the drop-in. Once satisfied with the positioning of the window the QPI should be 'record armed' and this is achieved by simultaneously pressing both Arm buttons lighting the red Record Armed LED. The tape machine is run back either normally or by using Loc, which will put the machine into rewind and apply the brakes at the In point parking the tape a few seconds before the drop-in. The track or tracks to record on are selected on the tape machine, Play is pressed and the drop-in is carried out automatically. When the QPI drops out it also disarms itself, so to repeat the same drop-in the unit must be re-armed. However, there is a switch at the rear of the control box that allows 'continuous arming' and this can be useful if one is anticipating a number of passes over the same section or putting the tape machine into cycle mode but remember to switch back to Normal for a playback. The unit does not interfere with the operation of any existing remote or autolocator as it connects to an independent socket, so if preferred these can be used to perform transport functions, although the QPI's remote will work in exactly the same way as the tape machine.\n\nOnce a program has been entered it will remain intact until another program is entered or changes are made to the existing program. A window may be shortened or lengthened by pressing Prog leaving the In point untouched and selecting an earlier or later Out point. If at any time one wants to disarm the QPI either before or during the window by pressing Arm the unit will immediately disarm and drop the machine out of record without effecting the program.\n\nIt is possible to create an Inverse Window by programming the unit in reverse. For example, if you enter an In point at two minutes and an Out point...\n\nat one minute, then wind back to zero and Continuously Arm the unit, by pressing Play it will go into record from zero to 1 min, drop out until 2 min and then go back to record until stopped.\n\nThere is also the facility to program the unit by using a standard press-to-make footswitch which plugs into a standard ¼ in jack socket on the rear panel. In Program Enabled mode the first press of the switch creates the In point, the second the Out. This is particularly useful for anyone working single-handed and by arming the unit directly after enabling the program it is possible to do live drop-ins and program the memory whilst having the freedom to play a keyboard or guitar. The footswitch can also be patched through to the studio on a mic line allowing the artist to do his own drop-ins. The QPI is supplied with a 5 m cable joining it to the tape machine. If required longer cables can be provided so that the control box can be taken into the studio area or another room making it possible to have full control over the tape machine outside the control room.\n\nWhen not in Program Enabled mode the footswitch has another function which is to shift the window to a different tape position. For example if there is a window of 30 s starting at 1 min into the track, by spooling the tape to 2 min and pressing the footswitch one now has a drop-in programmed to start at 2 min and end at 2 min 30 s. This opens up some interesting possibilities with strict tempo tracks where there are a number of identical sections.\n\nThe spot erase capability depends on the speed at which the tape machine will drop in and out. To test this I decided to select a double bass drum beat and lose the second. The MTR 90 was put into edit and rocked over the second beat marking the In and Out points on the QPI. The window length was approximately 300 ms. Both QPI and the Otari had no problems in dealing with it but it is worth checking that the tape machine will respond to a quick window as the effect can be to drop-in correctly but ignore coming out!\n\nApart from the record functions, there is also a triggering facility. Next to the footswitch socket is the Trigger Output jack socket and above this is a switch that toggles between M (Momentary) and C (Continuous). Momentary causes a brief contact closure at both the start and end of the window, and Continuous gives an uninterrupted closure for the duration of the window. The trigger output can be used to activate all manner of drum machines, sequencers, effect units, etc, starting and stopping them at the beginning and end of the window. The beauty of this system is that one can trigger an effect and drop it in and out all by the press of one button, and by using the footswitch a number of fixed length sections can be dealt with quickly easily.\n\nThe QPI does not interface successfully with all tape machines, so it is advisable to check that it is compatible with your machine before taking it any further. Generally speaking, it works well with modern Japanese machines like Otari, Tascam and Fostex. By the nature of the system working from tach pulses, it is essential that tape machines are well maintained and free from any clock or tape slippage. At present, QPI is customised to fit the client’s machine but a series II model should be available soon which will incorporate internal dip switches and plug in leads making it simple to swap tape machines.\n\nIf you own a machine which will interface with the QPI and don’t already have any programmable drop-in device, then this unit could be of interest to you. It is not expensive.\n\nColin Thurston is impressed with this unit and uses it exclusively to do all his drop-ins. I asked him if using it slowed the session down: “I prefer accuracy to speed and QuPlay rules out any human error, so at the end of the session there’s no time wasted by mistakes. I’ve never seen anything like it before and I will use it all the time.” □\n\nSuperior Sound Control\nUtilising the most advanced Microchip technology, HARRISON have been able to introduce the GP-SERIES Graphic Equalisers which not only have superior audio performance characteristics but which also outperform existing models. The GP-SERIES are precision designed with response and facilities to match the requirements of today’s sophisticated sound systems.\n\nPrecision Model Range\nThe GP215 is a 7 x 15 band 3rd octave instrument or a 11 x 19” rack mount unit\nThe GP180 offers real precision 30 band 1/3rd octave control plus a three band Notch Filter in a one rack package. Last but not least the GP240 combines two channels to cover the full 6th and octave 30 band 1/3rd octave frequencies from 20Hz to 20kHz.\n\nPlus Extra Features\nEach model is more than a precision Graphic Equaliser – it also includes extra features that are essential to today’s application. These include variable low and high pass filters, e.g. Range Switches, On/Off Switches, Peak LED’s and Auto Reset. Variable Channel Levels are all provided. Electronic balanced Inputs and Outputs with sockets for balanced and unbalanced are other features, and built-in Pink Noise generators are included, as well as silent modes and a full-scale bypass cut-out and much more.\n\nSecurity Cover Included\nAt no extra cost each model comes with a tinted Perspex Security Cover which protects the controls largely while your control settings once the GP-Series have been set up to give you the sound you want.\n\nNotch Filters\nThe GP150 Model also includes a 1 band 1/3rd octave sweeping Notch Filter set to 1kHz. A really fast effective means of getting up to a full 10dB of system gain from your sound system.\n\nThis is the sort of last annoying feedback can be “notched out” and you can get more sound level without sacrificing quality.\n\nContact your nearest dealer or Harrison direct for a detailed information brochure.\n\nHARRISON INFORMATION TECHNOLOGY LTD., UNIT 3 BUTTON END, HARSTON, CAMBRIDGE CB2 5NX. 0223 871711. TELEX 81687\n\nThe first 2 editions of ONE TO ONE (as shown) proved to be extremely well received by readers and advertisers alike.\n\nONE TO ONE seems to have filled a gap in a market hungry for information.\n\nNews and commentary are the mainstay of the magazine keeping the professional in the many areas of mastering, pressing and duplicating up-to-date on developments and techniques throughout the world. In addition to this there are articles covering the use of equipment, profiles, overviews on the international industry plus the interface between producers and the record industry as a whole and much more.\n\nCirculated to over 70 countries and published by the same world renowned team who produce STUDIO SOUND magazine, the third edition of ONE TO ONE will be published in October.\n\nTo coincide with the Los Angeles AES (12th to 16th November) and the Japanese International Broadcast Equipment Exhibition (19th to 21st November) ONE TO ONE will be available free of charge during these two important events.\n\nTo ensure that your message is seen contact Carl Anthony Snape, Editor; Phil Guy, Commercial Manager or Adrian Tippin, Advertisement Sales by the final dates to be included in this important new magazine.\n\nCOPY DEADLINES\n\nEditorial copy date: 20th August latest.\nAdvertising copy date: 8th September.\n\nFurther information on advertising rates are available from\n\nONE TO ONE, Link House Magazines Ltd., Link House, Dingwall Avenue, Croydon CR9 2TA, U.K. Tel: 01-686 2599. Telex: 947709. Fax: 760 0973.\n\nDynamic Range Control at its best.\n\nSymetrix\n\nSOUND TECHNOLOGY LTD\n6 Letchworth Business Centre\nAvenue One, Letchworth\nHerts SG6 2HR\nTelephone: 04626 75675\n\n525 Dual Gated Compressor/Limiter\nSimultaneous compress/limit and expand/gate.\n\nCL150 Fast RMS™ Compressor/Limiter\nA highly cost-effective single channel automatic gain controller.\n\n501 Peak-RMS Compressor/Limiter\nSimultaneous peak and RMS detection. An indispensable tool for PA.\n\n522 Compressor/Limiter/Expander/Gate/Ducker\nVersatile multi-function processing for studio, stage, or production.\n\n511 Noise Reduction System\nRemoves noise from any source, pre-recorded or live, mono or stereo.\n\nSymetrix products are sold and supported world-wide. When you specify Symetrix you specify quality, performance, and reliability.\n\nYOU CAN PAY LESS FOR A REVERB THAN THE RMX 16 BUT IT WON'T BE HALF AS GOOD\n\nWe would be the first to admit that the RMX 16 is not the only digital reverb on the market which benefits from AMS know-how. When our unit has been continually updated to maintain it as the world's number one digital device, a level of flattering imitation is inevitable.\n\nBut nothing comes half as close to the sound quality, features, ease of use and updatability of the RMX 16. And at a price which represents such a modest proportion of your studio spend. Remember, choosing AMS means never doing things by halves.\n\nFor full details on the RMX 16 contact us today.\n\nAMS Industries plc, AMS Industries Park, Burnley, Lancs. BB11 5ES. England.\nTel: (0282) 57011 Telex: 63108 AMS-G.\n\nHarris Sound Inc. (Los Angeles)\nFor nationwide sales, rental or service. Tel: (800) 233 1580\n\nRMX-16\nAMS\nSOUND + WITH + VISION\n\nAdvanced Music Systems.\nThe Queen's Award for Export Achievement to Edacackle Ltd.\nIn July 1985 Edacackle Ltd. became AMS Industries plc.\n\nBreathing Heavy?\n\nTired of signal processors that pump and breathe? Looking for something that's kind to your ears? Then, look to the Leveller from USAudio!\n\nThe Leveller is a new breed of signal processor whose capabilities begin where those of ordinary limiters and compressors end. Linear Integration Detection is the heart of the Leveller's control section and it enables the unit to understand loudness as perceived by the human ear. This remarkable circuitry maintains sonically correct musical relationships, while processing the wide spectrum of sounds from musical instruments and voice, to mixed program material. The processed signal exits the device tree from \"pumping\" and \"breathing\".\n\nThe Leveller is a sophisticated device, yet it remains easy to operate, with a minimum of front panel controls. Its intelligent circuitry handles the signal just as if your ears were calling the shots.\n\nOnce you've heard the Leveller handle your signal, you'll breathe more easily. See your USAudio dealer today for a demonstration.\n\nVALLEY PEOPLE INTERNATIONAL\nC/O Gotham AG Regensdorf 5w Switzerland\nTelex 69222 gotham ch. Tel: 0041 1 840 0144\n\nStirling\nAUDIO SYSTEMS LTD\nI Canfield Place London NW6 3BT ☎ 01 625 4515\nTelex 946240 CWEASY G Ref No. 990 14280\n\nMCA/MULTIMIX, a modular audio console with computer control\n\nMULTIMIX audio console\n\n- True modularity to really meet your requirements in special applications.\n- A family of some 20 different input, routing, fader or rotary pot, metering and output modules.\n- Special modules for control room and headphone monitoring, test signals, talkback, remote control etc.\n- Heavy duty steel chassis\n- Transformer balanced inputs and outputs.\n- Wide range meter modules, 60 dB display.\n\nMCA processing unit\n\n- Computer controlled routing, matrix mix processing and multichannel panning.\n- Assignable digital fader and meter to set and control matrix crosspoint levels.\n- A single floppy disk stores up to 600 sound effect cues (scenes).\n- Controls the tape transport and locator functions of up to four tape recorders.\n- Pocket terminal for remote control and sound effect evaluation in the audience area.\n- System operation by a single cue entry push button.\n\nMCA MULTIMIX\n\n\"Custom design\" your console for special applications such as theatres, musical productions, planetariums, fiction venues and all applications requiring a \"non-standard\" console with computer control.\n\nSubscribe. Now.\n\nSTUDIO SOUND\nAND BROADCAST ENGINEERING\n\nJOIN THE AUDIO PROFESSIONALS\n\nYou're obviously interested in professional audio.\n\nYou want to know what's going on in the world of professional sound, be it in music recording, new equipment, techniques or live sound reinforcement.\n\nThere's only one answer, subscribe to STUDIO SOUND.\n\nSTUDIO SOUND gives you the hard facts, techniques and opinions which cannot be matched by any other publication in the field.\n\nKeep in touch\nSubscribe to Studio Sound Now\nThe International Publication for the Professionals in Sound\n\nPlease send me ____________ magazine for 12 issues.\n\nI enclose a cheque/postal order/International Money Order payable to LINK HOUSE MAGAZINES for £18.00 UK or £24.50 Overseas. US rates: $40 surface, $75 airmail.\n\nOr debit my credit card account\n\n[please tick box] □ □ □ □\n\nCREDIT CARD NO _______________________\n\nSIGNATURE _______________________\n\nCredit card holders can order simply by ringing 01-760 0054, quoting your credit card number\n\nNAME ________________________________________________________________\n\nADDRESS ______________________________________________________________\n\n[please print in block capitals]\n\nCommencing with the ____________ issue I understand that I am committed to one year's subscription to the above magazine, and should I wish to cancel my subscription, no refund will be made.\n\nTo:\nThe Subscriptions Department, Link House Magazines Ltd,\nCentral House, 27 Park Street, Croydon CR10 1YD\nTel: 01-760 0054\n\nThe Definitive Gate\n\nThe Rebis RA701 has been developed for the new breed of studios where perfection is the only standard. It combines the very best of digital and analogue technology to meet that standard.\n\n- Fixed or tracking four stage envelope lets you create envelopes as well as modifying them.\n- High resolution filters for frequency conscious gating or programme equalisation.\n- Trigger mask up to four seconds can be used to remove offbeats or change accent levels.\n- Envelope delay up to two seconds gives slapback and repeat effects.\n- Velocity sensitive MIDI output drives synths and drum machines without the need for special pads or interfaces.\n- Merge input allows units to be chained to give a single MIDI output.\n- 90dB attenuation range, stereo and duck facilities, external key input and 5 volt trigger outputs.\n\nGive yourself the creative edge—get the full facts today!\n\nRebis Audio Ltd. Kinver Street, Stourbridge West Midlands DY8 5AB. ENGLAND.\nTelephone: (0384) 71865. Telex: 335494.\n\nAustralia: John Barry Group; Artorman S.W. 02-439 6955. Austria: Baue Sound; Hainberg 02235 89 298. Belgium: S.E.D.; Bruxelles 322 701-4. Canada: Henri Electronics Inc.; Ontario 721-1951. Denmark: Kimvox A/S; Lyngby 02-1876 17. Finland: Studiore; Espoo 514 33. France: Lazure Electronique; Paris 87865 10. High Fidelity Services; Paris 285 140. Germany: Thun & Mahr Audio; Leverkusen 2113 7806-0. Hong Kong & China: Audio Consultants Co. Ltd.; Kowloon 17175251. Italy: Startek; Bologna 32 1063. Jamaica: Audioloft Systems Ltd.; Kingston 926-2569. Japan: Hibino Electro Sound Inc.; Tokyo 442-1161. Netherlands: Special Audio Products B.V.; Amsterdam 140035. New Zealand: Master Broadcast Systems Ltd.; Glenfield 444-3583. Saudi Arabia: Farid Halwany & Sons; Dammam 8570848. South Africa: Tru-F Electronics; Johannesburg 786 7177. Spain: Singleton Productions; Barcelona 237 7060. Sweden: Iai & Ton; Gothenburg 803630. Switzerland: E.M.M. Studio; Basel 061 54 20 45. U.S.A.; Rebis U.S.; Atlanta; Georgia 404 633 6626.\n\nSTAGING EUROPE\nEQUIPMENT & SERVICES\nDIRECTORY 1986\n\nFrom the publishing house which gives you the world renown Studio Sound and the highly respected Broadcast Systems Engineering magazines comes our latest publishing first – STAGING EUROPE.\n\nSTAGING EUROPE 1986 covers all aspects of staging a live performance, whether this be theatre, a classical concert, ballet or rock gig.\n\nOver 3,500 European companies are featured divided into seven main sections:\n\nThe Manufacturers section includes chapters on Amplifiers to Portable Stages, Hydraulics to Microphones, Lighting Effects through to Makeup & Wigs.\n\nThe Hire section provides a comprehensive listing of Companies throughout Europe, and includes all aspects of production equipment as well as Portable Stages, Properties, Furniture & Armouries and Light & Lazer Shows.\n\nThe Service section ranges from Wardrobe & Costume, Designers & Consultants, Set Construction and Catering.\n\nThe Venues section is a unique compilation of major venues in Europe listed alphabetically and divided by country.\n\nEuropean Sources is a unique guide to where equipment can be obtained in any country.\n\nThe Address Index includes the full address details of all the companies featured in the directory, each with telephone/telex numbers as well as key contact names.\n\nSTAGING EUROPE 1986 brings together these important sections for the first time in one directory ensuring it is the most comprehensive information source available.\n\nProfessional Publications Group, Link House Magazines Ltd, Dingwall Avenue, Croydon CR9 2TA, United Kingdom.\n\nPlease send me copies of Staging Europe Directory 1986.\n\n£11 (UK) £14.50 Europe $22 USA Airmail\n£16.50 World Airmail Includes Postage and Packing\n\nI enclose a cheque/postal order/international money order payable to Link House Magazines for the amount\n\nOr debit my credit card\n\nCredit card No.\n\nCredit card holders can order by simply ringing 01-686 2599 ext 550, quoting credit card No.\n\nSigned\n\nName\n\nAddress\n\n(please print)\n\nPlease return the completed order form enclosing full remittance (including delivery) or giving your credit card number to Professional Publications Group, Link House Magazines Ltd, Dingwall Avenue, Croydon, CR9 2TA, United Kingdom.\n\nPlease allow 28 days delivery in Britain, extra overseas depending on country and delivery method.\n\nAdvertisements for this section must be pre-paid. The rate is 55p per word, minimum £13.75. Box Nos. £3.50 extra. Semi-display rates on application. Copy and remittance for advertisements in OCTOBER issue must reach these offices by 12th AUGUST addressed to: The Advertisement Manager, Studio Sound, Link House, Dingwall Avenue, Croydon CR9 2TA. Cheques made payable to Link House Publications (Croydon) Ltd. Note: Advertisers' copy must be clearly printed in block capitals or typewritten.\n\nReplies to Box Nos. should be addressed to the Advertisement Manager, Studio Sound, Link House, Dingwall Avenue, Croydon CR9 2TA, and the Box No., quoted, typed outside of the envelope. The district after Box No. indicates its locality. SEX DISCRIMINATION ACT 1975: No job advertisement which indicates or can reasonably be understood as indicating an intention to discriminate on grounds of sex (e.g. by inviting applications only from males or only from females) may be accepted, unless (1) the job is for the purpose of a private householder or (2) it is in a business employing less than six persons or (3) it is otherwise excepted from the requirements of the Sex Discrimination Act. A statement must be made at the time the advertisement is placed saying which of the exceptions in the Act is considered to apply.\n\nThe attention of advertisers is drawn to \"The Business Advertisements (Disclosure) Order 1977\", which requires that, from 1st January 1978, all advertisements by persons who seek to sell goods in the course of business must make that fact clear. From the above date consumers therefore should know whether an advertisement relates to a sale by a trader or a private seller.\n\n**SERVICES**\n\nTHE COMPLETE SERVICE. Disc cutting, pressings, duplicated cassettes and blanks. Bin Masters. Location Recording. Free Brochure. Tam Studio, 13a Hamilton Way, London N3 1AN. Tel: 01-346 0033. (X)\n\nLOCKWOOD, TANNOY, etc., new and used equipment always available and wanted. Lockwood Audio Sales 01-866 0671. (X)\n\nTORQUAY, DEVON, ONE INCH eight-track high speed cassette duplication. Radio Jingle's musical director Ed Welch, South Western Studios, Castle Chambers, Union Street. 0803 28288. (J)\n\nQUALITY HIGH-SPEED and real-time audio and video cassette copying and processing. Any quantity. While you wait. 24-hour, 7-days-a-week service. Central London W2. GWBB Audiovision. Tel: 01-723 1583/1590. (X)\n\nWHO SAYS YOU DON'T NOTICE THESE SMALL ADS! For as little as £13.75 + VAT you too could be getting your service message across. For more details contact Adrian Tippin at STUDIO SOUND. Tel: 01-686 2599.\n\n**HEAD TECHNOLOGY**\n\n\"High Expectations Set High Standards\"\n\nPRECISION RELAPPING OF RECORDING HEADS\n\n- Upto-date Technology\n- 30 Years Experience\n- Express Service\n- Very Competitive Prices\n\nHEAD TECHNOLOGY\nMagnetic House\n11 Britannia Way\nStanwell\nStaines\nMiddx\nTW19 7HJ\n\nTel: Ashford (07842) 56046\n\n**CASSETTE DUPLICATORS**\n\nSALES SERVICE MAINTENANCE\nHigh speed cassette duplicators throughout the United Kingdom and export\nGRAFF WOLLENSAK SONY\nSound Cassette Services Ltd.\nP.O. Box 10, Shepton Mallet\n0480 67237\n\nLONDON SERVICING FACILITIES\n\n**TAPE & FILM HEADS**\n\nWE MAKE WE STOCK\nWE RE-PROFILE\nBRANCH & APPLEBY LTD\nSTONEFIELD WAY, RUISLIP\nMIDDLESEX HA4 0YL\n01-864 1577\n\n**CASSETTE DUPLICATING:**\nGAUSS Loop-Bin / TELEX In-Cassette\nHigh Quality Blanks / Label Printing\nOPEN REEL DUPLICATING\n(ANY SPEED - ALSO TO BROADCAST SPEC.)\nSPEECH RECORDING\n(VOICE-OVERS; LANGUAGES; AUDIO-VISUALS)\nSPEECH-PLUS RECORDINGS LTD.\nUNIT 32, NO. 19, PAGES WALK, LONDON SE1 4SB. TEL: 01-231 0961\n\n**Check It Out...**\n\nDIRECT FROM OUR MODERN U.K. PRESSING PLANT\n\n- CUTTING • PRESSING\n- TEST PRESSING\n- LABELS • SLEEVES\n- CASSETTES\n- ARTWORK\n- COMPETITIVE PRICES\nMARKET LEADERS\n\nSRT\n01-446 3218\n\nFOR ALL YOUR RECORDING NEEDS\n\nAMPEX AUDIO AND VIDEO TAPE MAIN DISTRIBUTORS\nSpoils, boxes, blades, splicing and leader tape. Blank precision wound cassettes C1-120, labels, library cases and cards, C-Zeros, pancake, etc. Broadcast Cartridges.\n\n12 Britannia Road\nSale, Cheshire M33 2AA\nTel: 061-905 1127\n\nFOR QUALITY, PRICE AND SERVICE\n\n**REAL RECORDINGS**\n\nTHE CASSETTE DUPLICATING SPECIALISTS\nReal time & high speed duplication\nBlank cassettes wound to length\nTEL: 061-881 2402\n\n100 C-60 cassettes beautifully copied in stereo from £59.50 (plus VAT)\nWe can copy from 100 to 5,000 high quality cassettes on our high speed loop-bin system, load them precisely into top-class shells. Price includes library case and all production work from your ¼ in edited master. Any length C-5 to C-90. Ring for price sheet.\n\nSTUDIO REPUBLIC\n47 High Street, Pinner 01-868 5555 01-866 5555\n\n**SERVICES**\n\n**HIGH QUALITY CASSETTE DUPLICATION AND SPECIALISED LENGTH BLANK CASSETTES**\n\nICM C-O's\n\nLeeholme Audio AGFA/BASF TAPES\n\nLeeholme Audio Services Ltd. 360-4 Leabridge Road, Leyton, London, E10 Telephone 01-568 4748\n\n**ANALOGUE/DIGITAL TAPE**\n\nAt Playback we sell BLANK TAPE (& DISKS)\n\nIn fact we stock everything from Analogue TDK tape through to digital AMPEX 467. In VIDE we stock all formats - down to 8mm.\n\nOur FLOPPYS work in SSSLs and UNN drum machines.\n\nWe are very pleased with the companies we keep.\n\nTDK • SONY • MAXELL\n\nAGFA • AMPLEX • FUJI • BASF\n\nPlayback\n\n15 Percy Street\n\nLondon W1P 1FD\n\nTel: 01-637 8392\n\n**051-430-9001**\n\nHIGH SPEED DUPLICATION\n\nMASTERING, DUBBING, EDITING\n\nINLAY CARD & SIDE LABEL DESIGN & PRINTING\n\nTHE COMPLETE SERVICE\n\nAMPEX & BASF DISTRIBUTORS\n\nSTUDIO ACCESSORIES\n\nRAINHILL TAPE SPECIALISTS\n\n31 Eccleston Street\n\nPrescot, Merseyside L34 5QA\n\n**SPEEDY REVOX SERVICE**\n\nPlus TEAC/TASCAM, FOSTEX, UHER, most Mixers\n\nAmplifiers, Effects, Priority Bookings taken.\n\nCollection/Delivery arranged\n\nA personal service by experienced engineers.\n\n34 Danbury Street, London N1 8JU\n\nTelephone 01-359 9342/3030\n\nRAPER & WAYMAN\n\n**REAL TIME CASSETTE COPYING**\n\nAll work carried out on Nakamichi machines to the highest standard. Normal or chrome tape available.\n\nWe also supply blank cassettes cut to length.\n\n450-7s and BASF chrome tape available.\n\nGATEWAY CASSETTE SERVICES\n\n1 Gauden Road, London SW4 6LR\n\nTEL: 01-627 4758\n\n**ACCURATE SOUND LIMITED**\n\nQuality Cassette Duplication, High Speed ILoop Bini and Real Time,\n\nOverwrapping, Export Length Blank Cassette, Labels and Inlays\n\nTel Leicester 0533 82209\n\nQUENIBOROUGH Ltd. Est MELTON ROAD\n\nQUENIBOROUGH, LEICESTER LE7 8FP\n\n**Let Saki expertise relap your tape heads in London**\n\nFactory-approved laboratory and training guarantees finish to original performance specification\n\nALL MAKES RELAPPED\n\nTapetek, 44A Brighton Road, London N16 8EG\n\nTel: 0254 5203 or 0836 215900 (mobile)\n\nReplacement Saki heads from:\n\nTape Marketing, 13 Elm Road\n\nFaringdon, Oxon SN7 7EJ 0367 20262\n\n**AA Tape Winders**\n\n03744-65010\n\nFor rapid supply of exact length\n\nAudio Cassette + Tape Duplicating\n\n**THE SOUND & VISION WORKSHOP LIMITED**\n\nSERVICE FOR ALL MULTITRACK RECORDERS\n\nSPARES • REBUILDS • PROFESSIONAL AUDIO\n\nELECTRONICS • SALES • EQUIPMENT\n\n153A Victoria Street,\n\nSt Albans, Herts. AL1 3TA\n\nTel: (0727) 58977 24hr.\n\n**REAL TIME CASSETTE DUPLICATION**\n\nOnto exact length Ferric / Chrome tape.\n\nCUSTOM WOUND BLANK CASSETTES\n\nICM C-O's\n\nBASF Tape\n\nTEL: Cardiff (0222) 790040\n\nBackyard Recording Studios Ltd.\n\n60 Orchard Park St. Melkons Cardiff.\n\n**TAPE DUPLICATION**\n\nCASSETTE: * H-speed * Real-time * Quality shells *\n\n* Quality tape * Short runs welcomed *\n\nOPEN REEL: * Real-time * Double-time * Broadcast spec *\n\n* Rapid copy service for ILR network *\n\n* Post production *\n\nAPRS Member\n\nGRIFFITHS HANSEN (RECORDINGS) LTD.\n\nPark Mews, Parkhall Road, London SE21 8EX\n\nContact: Tony O'Leary Tel: 01-761 0055\n\n**DATAGENK**\n\nCUSTOM LENGTH BLANK CASSETTES\n\nMIXING, MASTERING, EDITING\n\nLABEL PRINTING • SHRINKWRAPPING\n\nREADING 0734-302600\n\n**WEST 5 Tapes Ltd.**\n\nRapid supply of high quality blank bulk cassettes C1-C120\n\nExample C60 316\n\n5-screw C-Zero — no minimum or maximum order\n\nPhone Dave West 01-502 2447\n\nWest 5 Tapes Ltd., Unit 34, Oakwood Hill\n\nIndustrial Estate, Loughton. Essex\n\n**FOR SALE—PRIVATE**\n\n**TANNYO ARDENS IN EXCELLENT CONDITION. £475 or exchange for Little Reds or similar size monitors. Telephone Brighton (0273) 676 905.**\n\n**NEVE CONSOLE 80 series, currently 28/8/24, 4 Neve comp/limiters, current format £22,000, to be upgraded shortly. Also 36/8/24 with 24 record/remix submixer, £28,000. Also Neve 24/8/16, £10,000. Could also be upgraded with 24 record/remix submixer for extra £5,000. Telephone 01-521 2040.**\n\n**T.A.C. MATCHLESS 26/24/8/2 in line desk. 192 hole J/Field, 8 AVX busses, 2 mute groups. One year old, perfect condition. £8,700 o.n.o. OTARI 7308 1\" eight track, very reliable, £1,950 o.n.o. Telephone 061-236 7530.**\n\n**PPG 16 BIT COMPUTER MUSIC SYSTEM for sale (private seller): WaveTerm B, WAVE 2.3 V6, EVU (2.3 Midi-Expander). Capable of sound sampling, sequencing, analog and digital sounds and much more! New '86 Software, complete new sound-library. Only 1 year home/studio used, as good as new. £9,800 — Wolfgang Muermann, Schoeneberger Str. 102, 2 Hamburg 73, W. Germany. Telephone Hamburg (040) 672 20 30—CALL W. GERMANY!**\n\n**NAGRA SNN MINIATURE PORTABLE TAPE RECORDER. Privately owned, excellent condition. Recent complete service. Microphone and remote control included £620. Telephone 0621 891883.**\n\n**SOUNDCRAFT SCM SERIES 762 2\" 24-track recorder with full remote; 30 months home use only, well maintained, condition as new. Offers around £9,500 + VAT. Telephone Mark: 027984 2278 (Herts).**\n\nFOR SALE—TRADE\n\nQUAD 405 £165 each, BOSE 802 £300 each, Technics SL1200 MK2 Turntable system (new) £199, HHSS500D £300 each, Gauss 4583A (new) £180 each, Gauss 4581 (new) £150, Gauss H1502 £90 each, Gauss HF4000 £180 each, Martin 215 Bass \"split\" with two Gauss 4583A's £400 each, plus lots of other cabinets, speakers, sleeves, wedges, horns, lenses, pepper-pots, chip-cutters, fruitcases etc. Add VAT please, and call Dave on 0628 72359.\n\nTEAC 244/34/38 discounts and HP and leasing. Erriks VCD, Brighouse 722121 (Bob) (X)\n\nSURPLUS mono & stereo amplifiers, speakers, turntables etc; bought & sold at reasonable prices. Midland Radio Supplies, Maypole Lane, Birmingham B14 4PE. Tel: 021-430 7817. (J)\n\nBELDEN MULTICORE CABLES—19pair 50M £285 each, 19pair 36M £205 each, 19pair 14M £80, 15pair 50M £145 each, Lectrilex pair 30M £130, 15M £65. Martin multicore drum in flightcase £185. All prices exclude VAT. Tel: 0628 72359.\n\nMICROPHONES FOR SALE, AKG D224F £100 each, AKG CK8 (new) £95 each, AKG CK5 £40, AKG CK9 (new) £115, BSS AR116 DI with phantom power £50 each. Please add 15% VAT. 0628 72359.\n\nSOUNDCRAFT 24-TRACK TAPE MACHINE with full autolocate and 16-track headblock £10,500 plus VAT. Wollensack high speed cassette copier £400 plus VAT. Telephone 01-359 0477.\n\nSTUDER C37. Good working order £800. Telephone (0242) 43243.\n\nAMEK ANGELA 28 x 24 WITH PATCHWAY AS NEW PERFECT ORDER £11,500. 01-671 3731. TANNOY SUPER REDS IN CUSTOM CABS (LOCKWOOD) ELECTRONIC CROSSOVER £600. LEXICON 224 £2,900. 01-671 3731.\n\nUSED STUDIO EQUIPMENT FOR SALE? Advertise it now in STUDIO SOUND CLASSIFIEDS for as little as £1.75 + VAT. For more details call Adrian Tippin at STUDIO SOUND. Tel: 01-686 2599.\n\nDISC CUTTING EQUIPMENT and systems bought, sold, installed and manufactured (under licence from ORTOFON). TAM/ENGLAND, 13a Hamilton Way, London N3 1AN. Telephone 01-346 0033. (X)\n\nAHB SR28 (28/6/2) with flightcase £1100, RSD 20/8 Monitor with flightcase £895, Klark Teknik DN701 (new) £1250, DN34 £350, Roland SRF55 £300, RE201 £150, Pro Audio PA27 £150 each, Rebis RA301 £200, AKG BX5 reverb £300, Dynachord DR578 £300, A&DR F760R-XS £795, BSS MCS300 4-way stereo crossover £695, Revox PR991-HS (new) £395, Teac 3X cassette £180, Rebis rack amp/PU with 2 delays, modulator, compressor, + 11 blanks and rack module £415. All prices exclude VAT. Tel: 0628 72359.\n\nMS AUDIO\nTHE BIG NOISE\nin new & second hand recording equipment\n\nMICROPHONES • STANDS • HEADPHONES\nAKG, BEYER, SENNHEISER\n\nMONITORS\nTANNOY, UREI, VISONIK, JBL\n\nEFFECTS\nYAMAHA, IBANEZ, DRAWMER, MXR, BEL ACES\n\nAMPLIFIERS\nACES, QUAD, RAUCH, UREI, STUDIO MASTER\n\nMIXING CONSOLES\nACES, ALLEN & HEATH, STUDIO MASTER & more\n\nTAPE RECORDERS\nACES, TASCAM, REVOX\n\nTAPES AMPLEX\n\nCALL STEVE OR NICK AT\nUTOPIA STUDIOS. 01-586 3434\n\n24-TRACK STUDIO AND\nEQUIPMENT\nFOR SALE\nJACKSON MUSIC GROUP\nThe Studios, Rickmansworth,\nHertfordshire, England WD3 2XD\nAPRS Member\nTEL: 0923 772351\nTELEX: 262284 REF 1728G\n\nTHE HHB SILLY SUMMER SALE\n\nSony CCDV8 Video 8 Camcorder, ex demo, £795\nSony CCDM8 Handycam Video 8 Camera, ex demo, £595\nSony Compact 75 Hi-Fi System, £375\nSony C35P Condenser Mic, £119\nSony EBP 9LC D50 Power Supply, £35\nSony ECM929T Stereo Electret Condenser Mic, £35\nSony EVC8 Portable Video 8 VCR, £395\nSony EVS300 Video 8/PCM VCR, £350\nSony EVS300 Video 8/PCM VCR, £550\nSony ECMV100 Digital Processor for EVA300, £139\nSony SLC9P Printer VCR, £195\nSony PCM1610 (Secondhand) Digital Audio processor, £11,000\nSennheiser MD421 Mics, £99\nGauss 3588 Coaxial Loudspeakers, £275\nElectrospace Spanner Stereo Panner, £425\nClue (Computer, Logging Unit + Editor), ex demo, £1,195\n12\" Green Screen VDU, £59\nBSS FDS320 Crossover, £275\nBSS AR116 ex demo DI Boxes, £39\nLexicon PCM60 Digital Reverb £1,095\nAllen & Heath System 8, 1616 Mk II Mixer, £1,275\nAllen & Heath CMC168 Mixer, £1,325\n\nAll prices exclude VAT\n\nHHB Hire & Sales, Unit F, New Crescent Works\nNicoll Road, London NW10 9AX\nTelephone: 01-961 3295 Telex No: 923393\n\n**FOR SALE—TRADE**\n\n**DYNAMIC DUOS**\n\n- 2\" MT24 HS 24 track with autolocator ML24 24 in line console\n - ACES PACKAGE DEAL £13,700 + VAT\n\n- 2\" MT24 standard 24 track with autolocator ML24 24 in-line console\n - ACES PACKAGE DEAL £12,475 + VAT\n\n- 2\" MT16 A-HS 16 track with autolocator B1816 mixing console\n - ACES PACKAGE DEAL £8,350 + VAT\n\n- SML 1216 16\" 16 track with Aces B1816 console (6 aux. 5 band Eq. 2 sweeps)\n - ACES PACKAGE DEAL £3,950 + VAT\n\nPrices include all cable and installation & 3 month warranty of all gear and studio equipment. Part exchange welcome.\n\n**TEL**\n\n*PHONE NOW FOR QUOTES ON OTHER PACKAGES*\n\n**MS AUDIO**\n\n---\n\n**ANANAS**\n\nNEVE Mixing Console, 16/8/16, many integrated features e.g. Neve compressors/limiters, complete remote and switching unit for 16-track with vari-speed counter and many more specials.\n\nContact: Tel: Germany 0661/21296 - 21271 Mr Herold\n\n---\n\n**USED NEVE CONSOLES FROM DON LARKING AUDIO SALES**\n\n- NEVE 8108 32-input mixing console with NECAM II £57,000\n- NEVE 8068 £50,000\n- NEVE 8048 with NECAM II £50,000\n\nCall us now on (0582) 450066 for more information\n\nDon Larking audio sales\n\nLuton: 29 Guildford Street, Luton, Beds.\nTelephone: Luton (0582) 450066. Telex: 825488 DONLARG\n\n---\n\n**STUDIO FOR SALE**\n\nWEST CORNWALL. Becoming available on owners retirement. Local record company, label, in-house cassettes production, spacious 8tr studios. Quiet in-grounds and separate modern accommodation, suit two families (or let one). Ample room for other biz. All in top condition. Good access and parking. Town 2m, sea ½m.\n\nRing 0736 731246.\n\n---\n\n**SITUATIONS VACANT**\n\n**The Wool Hall**\n\nRecording Studios REQUIRE\n\nCHIEF MAINTENANCE ENGINEER\n\nMust have at least 3 years experience of servicing both digital and analogue equipment. Enthusiasm and an ability to liaise with clients is essential.\n\nSalary negotiable\n\nCONTACT PETE DOLAN AT:\nCASTLE CORNER, BECKINGTON\nNEAR BATH, SOMERSET BA3 6TA\nTELEPHONE: (0373) 830731\n\n---\n\n**SITUATIONS VACANT**\n\nInner London Education Authority\nLEARNING RESOURCES BRANCH\nTelevision & Publishing Centre, Thackeray Road, SW8\n\nSTUDIO SOUND ASSISTANT\n\nSalary scale £8,238-£9,327 plus £1,494 London Weighting Allowance.\n\nA Studio Sound Assistant is required to work at the above Centre which is equipped to colour broadcasting standards.\n\nDuties include general studio work, rigging, boom operation etc., and sound recordist duties on location with both film and video recording crews.\n\nExperience or knowledge of sound techniques is required.\n\nThis post is suitable for job share.\n\nApplication forms and further details from Personnel Services Division (PER/PS 4a), Room 366, The County Hall, London SE1 7PB.\n\nThe closing date for completed application forms is 29 August 1986.\n\nApplicants should be aware of and committed to the Authority's Equal Opportunities Policy.\n\nILEA IS AN EQUAL OPPORTUNITIES EMPLOYER\n\n---\n\n**CLASSIFIEDS**\n\nSITUATIONS VACANT\n\nSCHOOL OF TELEVISION AND BROADCASTING\nRAVENSBOURNE COLLEGE\nOF DESIGN AND COMMUNICATION\n\nA challenging opportunity now exists to join the experienced team responsible for teaching a new B.TEC course offered by the College at Higher National Diploma Level in Television Programme Operations.\n\nSENIOR LECTURER: SOUND RECORDING\nup to £15,738 p.a. inc.\n\nYou will take a major role both in the teaching of audio theory to operator students and in the organisation and implementation of training programmes in audio recording for broadcast television, sound radio, and A.V. applications.\n\nAn understanding of the relevant technology, the ability to demonstrate production creativity in the design and manipulation of aural images and an awareness of the contribution of sound to visual programme-making are essentials. Particular importance attaches to evidence of enthusiasm and ability in the field of music recording. Experience of broadcast practice would be valuable but equal consideration will also be given to those candidates with experience in the recording industry or non-broadcast field.\n\nPrevious teaching experience would be an advantage but is not essential but an interest in guiding the work of motivated students must be demonstrated.\n\nApplication forms and further details obtainable from the Assistant Registrar, Ravensbourne College of Design and Communication, Walden Road, Chislehurst, Kent BR7 5SN.\n\nSITUATIONS WANTED\n\nFREELANCE SOUND ENGINEER/PRODUCER, with twenty years studio experience working with many top acts etc., seeks new direction challenge. Reply to box no. 936.\n\nSTUDIO DESIGNERS AND CONSULTANTS\n\nTIME DELAY SPECTROMETRY\n\nDiscover why your studio sounds the way it does...or should\n\nMUNRO ASSOCIATES, 01-480 7121\n\nKENNETH SHEARER AND ASSOCIATES\n\nConsultants in acoustics and noise control\n\nOver 30 years' experience in the custom design of all kinds of recording and TV studios, mixing, dubbing and viewing suites - new and conversions, down to 25 Hz.\n\nTel: 0442 54821\n\nCLASSIFIED ADVERTISEMENTS ORDER FORM\n\nPlease use this coupon for all your sales and wants.\n\nRates: 55p per word. Min £13.75. Box Nos. £3.50 extra\n\nPLEASE PRINT IN BLOCK CAPITALS\n\nTo: STUDIO SOUND, please publish the above advertisement for ....... insertions under the heading ........................................ Cheque/P.O. to be made payable to LINK HOUSE PUBLICATIONS LTD, LINK HOUSE, DINGWALL AVENUE, CROYDON CR9 2TA.\n\nIs a Box No. required Yes/No. If no, please include remittance to cover name and address and/or tel. no.\n\nName ........................................ Address ........................................\n\n## NEW EQUIPMENT\n\n| Equipment | Price |\n|---------------------------------|--------|\n| Tascam MS16 16-track inc Autoboiater, dbx console | £7,750 |\n| Lyrec TRS524 24-track inc Racks | £22,500 |\n| TACorpion 8 track on demo | POA |\n| TAC Master 8 track | POA |\n| Tascam ATR-60 2 Track Professional | from £4,375 |\n| Tascam 48 OB | £3,295 |\n| Soundcraft Series 24.8 | £5,000 |\n| Fostex B-16 | £2,695 |\n| Fostex 450 | £1,475 |\n| Fostex 450 Mixer | £2,695 |\n| Tascam 38 | £1,795 |\n| Tascam 32 | £1,795 |\n| Tascam M-520 20:8:16 | £2,695 |\n| Tascam M-312 12:4:2 + 8TK | £1,395 |\n| AHB System 8 16:8 | £2,200 |\n| AHB System 8 16:8 | £1,495 |\n| AHB MC 24 | £2,495 |\n| AHB CM 32 | £3,250 |\n| Seck 1882 | £3,950 |\n| Tascam M216 (16:4:2) | £725 |\n| Tascam M216 (8:4:2) | £525 |\n| RSD Studiomaster Series II 16:8:2 | £2,080 |\n| RSD Studiomaster Series II 16:16:2 on demo | £2,575 |\n| RSD Studiomaster 16:8:2 | £1,795 |\n| RSD Studiomaster 16:16:2 | £1,425 |\n| Ram M10 | £495 |\n| Ram Model 18 | £1,640 |\n| Tascam ATR60 ½\" Prof. 15/30 ips | £4,400 |\n| Tascam ATR60 ½\" Prof. Centre Time Code | £3,500 |\n| Fostex M-20 16:8 Stereo + Time Code | £795 |\n| Tascam M106:6 | £345 |\n| Tascam 38 NB | £1,595 |\n| Tascam 22:8 | £3,655 |\n| Revox B-77 Mk II | £840 |\n| Revox B-77 Mk II | £1,180 |\n| Tascam 34B | £2,169 |\n| Tascam 388 NB, Remote Control | £2,169 |\n| Alesis 16:8:2 loads in stock | £345 |\n| Yamaha SPX-90 — loads in stock | £520 |\n| Lexicon PCM 70 in stock | £1,650 |\n| Yamaha DX7 Midi Controlling Keyboard (if purchased with PCM-70 or SPX-90) | £1,195 |\n| Tascam 58 OB — New ex-demo | £3,950 |\n| Tascam 44 OB — New | £1,595 |\n| Tascam 44 OB — Ex-exhibition | £2,100 |\n| Tascam 42 NB — Ex-exhibition | £1,595 |\n\n## SECOND-HAND BARGAINS & EX-DEMO EQUIPMENT\n\n| Equipment | Price |\n|---------------------------------|--------|\n| Soundcraft SCM 762 Mk II 16 Track 2\" inc Autoboiater | £4,500 |\n| Allen & Heath Xicon A 32:24 inc Patchbay & Producers Desk | offers around £6,000 |\n| MCI 16:8 MK II 16:8 Autoboiater | offers around £6,000 |\n| Teac 3440 — Two parallel | from £395 |\n| Cassette Duplicator Package, Comprising: Open DPA 16:8, DCP 16:8, T-1000, Approx 3 years old, very little used | £4,500 |\n| JBL 4435 Studio Monitors in showroom pair | £2,950 |\n| AMS Neve 8008 170mm — 370mm | £695 |\n| Klark Teknik DN34 (x2) with stereo links in immaculate cond | £695 |\n| Bel BD-80 (4 Secs) Refrigerator etc. — 'Mint' | £595 |\n| Neumann U47, U67, U87, U97, U100, etc. inc PSU — 'Mint' | £800 |\n| Neumann SM69 Valve Mic. Original Dual Polarity PSU | £1,100 |\n| Cradley Windmills | £1,100 |\n| Lot of Second Hand Neumann Mics U47, U87, SM69 all FET's | POA |\n| Bel 8 Chan Noise Reduction Unit | £295 |\n| Quad Eight CP16 16 Channel Reverb/verb - good condition | £495 |\n| Studer A8000 or A817 — new | £300 |\n| JBL 5234A X-over with Cards | £450 |\n| Tascam 38 — 2 years old, perfect | £1,125 |\n| AHB System 8 16:8 — second hand — 'Mint' | £1,295 |\n| Seck 18 8:2 — good condition | £695 |\n| RSD Studiomaster 16:8:2 — 2nd model | £395 |\n| Teac M24 — MB20 Metrebridge — second hand | £395 |\n| Marsh Room MR-2 | £295 |\n| AKG BX 100 — 2nd reduced | £395 |\n| Promark MX-3 — Mint — 2 available | each £295 |\n| Yamaha MT1X — in stock — new | £430 |\n| Tascam 58 OB — 3 available | each £295 |\n| Tascam 58 with 8 channels — dbx in console. As new | £3,950 |\n| UREI 809 Equaliser — Ex-Demo | pair £595 |\n| Ram Model Custom 42:2 P & 6 out 24TK Monitor | £2,300 |\n| TAC Matchless 20:16 inc patchbay — perfect condition | POA |\n\n## NEW PACKAGE DEALS\n\n| Package | Price |\n|---------------------------------|--------|\n| Tascam MS-16 inc DBX Autoboiater, stand with Tascam M320 console | £10,400 |\n| Tascam ATR60-8 inc. DBX inc. stand with Tascam M312 console | £5,180 |\n| Fostex B-16 with 16:8:2 Console | £5,255 |\n| Fostex B-16 with AHB 16:16 Synchro Console | £5,000 |\n| Fostex B-16 with Ram RM18 Console | £4,840 |\n| Fostex B-16 with Soundcraft 16:8:16 Console | £5,025 |\n| Fostex B-16 with 18:8:2 Console | £4,925 |\n| Tascam 38 with Tascam 312 Console | £3,120 |\n| Tascam 38 with RSD 16:8:2 Console | £3,075 |\n| Tascam 38 with RSD 16:8:2 Console | £2,845 |\n| Fostex Model 80 with Ram RM15 Console | £2,034 |\n| Fostex Model 80 with Ram RM15 Console | £1,995 |\n| Fostex Model 80 with Model 450 Console | £1,956 |\n| Special Introductory Offer Two Fostex B-16 Recorders, One Synchronous Technologies SMPL synchroniser, One Fostex Model 80 Mixer, One 30 Track Recorder, Four Cables | £7,850 |\n\nLoads more equipment in stock — we have gear coming in all the time.\n\n## STUDIO HOUSE\n\nPlease note: the prices above do not include VAT\n\nHigh Wycombe, Bucks. All major credit cards accepted.\n\nStockport SK6 1AA\n\nTel: 06532 4244. London NW8 Tel: 01-586 3167\n\nNormal opening hours are 9.30 am to 6.00 pm Monday to Friday. 10.00 am to 2.00 pm Saturdays\n\nIf you intend to call at either of our premises, we recommend you make an appointment first.\n\n---\n\nStudio Sound is available without charge to qualified readers: these are directors, managers, executives and key personnel actively engaged in sound recording in any part of the world. The Publisher reserves the right to refuse applications considered inappropriate or restrict the number of free copies sent to any one company or organisation. Non-qualifying readers may buy Studio Sound at an annual subscription of £19.00. All enquiries to: Subscription Department, Link House, 4 Wellington Road, High Wycombe, Bucks. HP10 1YD. Tel: 01-760 0054. Published by the proprietors of Link House Magazines Limited, Link House, Dingwall Avenue, Croydon CR9 2TA and printed by Lawrence Allen Ltd., Gloucester Street, Weston-super-Mare, Avon BS23 1TB.\n\nSome people are fighting a rearguard action to save analog recording systems. They talk about cost and convenience. About the sonic characteristics of analog. Its trouble free use. They even say that it’s a good idea to record on analog and mix down on digital. They’ll say anything, in fact, to avoid the inevitable conclusion that digital is the way the industry is going. The ostrich and his reaction to danger is far sighted by comparison.\n\nWe at Hilton Sound lead the field in the new era of digital recording. We were the first with the Mitsubishi X850 that has been such a revelation to the industry. If you’ve ever witnessed the X850’s ability to decode a mangled tape and reconstruct missing passages, you’ll know why the new PD format dashes the hopes of all its rivals.\n\nMitsubishi philosophy is to design a system not just to do this year’s job, but to be capable of handling the demands of the year 2000 and beyond. Can anybody else say that? Watch this space for Mitsubishi’s X86 which will do for 2-track recorders what the X850 did for multitrack.\n\nHilton Sound, the first for Mitsubishi.\n\nDMM\nA New Sparkle for the Gramophone Record\n\nDirect Metal Mastering: Precision cutting in copper. Improved record quality through a new cutting process and the short step from original master to finished record. Developed by TELDEC and engineered by NEUMANN.\n\nNEUMANN technology assisted in the completion of the stereo master tape: Proven NEUMANN microphones finely balanced and equalised on a sophisticated NEUMANN mixing console.\n\nThe NEUMANN tape-to-disc transfer system has 4 components:\nthe tape playback console with preview channel;\nthe control desk for setting level and equalisation;\nthe amplifier rack to drive the cutterhead; and the cutting lathe with cutterhead and copper-coated stainless steel matrix. The diamond stylus cuts a copper span out of the blank leaving the stereo groove; a process refined over decades to today's maturity.\n\nThe pressing stampers are directly formed from the copper master, two of these press the record sides into the black compound.\n\nThe short step to the finished record has its advantages: Quality is improved due to the eliminated copying steps, and disturbing surface noises are dramatically reduced.\n\nA gramophone record for optimal listening enjoyment can be released for marketing. It bears the \"DMM\" quality symbol. NEUMANN technology made a major contribution."}}},{"rowIdx":204796,"cells":{"text":{"kind":"string","value":"This Was Radio\nA Personal Memoir by Joseph Julian\nIntroduction by Harold Clurman\n\nThis Was Radio\nA Personal Memoir\nby Joseph Julian\nIntroduction by Harold Clurman\n\nThe Thirties and Forties were the Golden Era of Radio, when Burns and Allen, Jack Benny, Fibber McGee and Molly, and Bob Hope softened the hard times of the Depression with their wit and rib-ticklers; when daytime \"soaps\" such as Our Gal Sunday, Stella Dallas, and John's Other Wife dealt bravely and poignantly with the seemingly endless ramifications of domestic crisis; when Evil and Crime succumbed inevitably to the labors of such as the Shadow (\"The weed of crime bears bitter fruit. Crime does not pay! The Shadow knows!\") and Mr. District Attorney; when Frank Sinatra hosted the weekly Hit Parade and Jack Armstrong was the All-American Boy.\n\nJoe Julian broke into radio in the early days of that medium's Golden Era, and his career as radio actor includes virtually every major show from the Thirties onward. Here he records, with charm and wit, his dec-\n\n(Continued on back flap)\n\n(Continued from front flap)\n\nades behind the mike, from his stint in the chorus of *The March of Time* to his job as a sound-effects man, from his broadcasts for Norman Corwin from London under the blitz to his work in postwar Japan broadcasting back impressions of that still mysterious country in 1945 and 1946.\n\nBy the Fifties, Julian was one of the busiest and most sought-after actors around, and his memoir relates how, almost overnight, his career was virtually snuffed out by a witch-hunting Senator named Joe McCarthy; and how, after a painful and exhausting trial, he slowly made his way back to acceptability. Today, his career is blooming as brightly as ever.\n\nThrough Julian's experiences the reader relives an era which seems so near and yet, in many ways, so far from the world today. His book appears at a time when radio—of the kind that marked the Thirties and Forties—is making a rather extraordinary comeback, when old programs are being replayed and radio dramas revived and recast.\n\n\"The radio listener saw nothing: he had to use his imagination,\" the late Fred Allen once noted. \"Television has taken that away from him.\" It is very possible that the resurgence of radio stems in great part from people's desire to reassert their intelligence and use their imaginations. As Julian's book so eloquently proves, radio, for all its trivia, was enormously influential and, quite often, very good indeed.\n\nA RICHARD SEAVER BOOK\n\nTHE VIKING PRESS\n\nPublishers of The Viking Portable Library and Viking Compass paperbacks\n\n625 Madison Avenue, New York, N.Y. 10022\n\nPrinted in U.S.A.\n\nABOUT THE AUTHOR: Joseph Julian’s radio career spans well over three decades, during which he has performed in a rather staggering ten thousand broadcasts, from soaps to serious drama, from straight reporting to guest appearances. He has also written a number of radio and television plays including his highly acclaimed Hiroshima Diary, as well as several stage plays, the first of which, Double Feature, was produced at the Wharf Theater in Provincetown, Massachusetts. Shortly afterward, a hurricane blew the theater into the ocean. “I have always considered that a form of divine criticism,” says Julian. His other plays include A Man around the House, The Gimmick, and Ups and Downs and Evens.\n\nA RICHARD SEAVER BOOK\nTHE VIKING PRESS, 625 MADISON AVENUE, NEW YORK 10022\n\nSBN 670-70299-4\n\nJoseph Julian\n\nThis Was Radio\n\nA Personal Memoir\n\nIntroduction by Harold Clurman\n\nA Richard Seaver Book • The Viking Press • New York\n\nCopyright © 1975 by Joseph Julian\nIntroduction Copyright © 1975 by Harold Clurman\n\nAll rights reserved\n\nA Richard Seaver Book · The Viking Press\nFirst published in 1975 by The Viking Press, Inc.\n625 Madison Avenue, New York, N.Y. 10022\nPublished simultaneously in Canada by\nThe Macmillan Company of Canada Limited\n\nLibrary of Congress Cataloging in Publication Data\n\nJulian, Joseph.\nThis was radio: a personal memoir.\n\n“A Richard Seaver book.”\n\n1. Julian, Joseph. 2. Radio broadcasting—History.\nPN1991.4.J84A37 791.44'028'0924 [B] 74-4805\nISBN 0-670-70299-4\n\nPrinted in U.S.A.\n\nACKNOWLEDGMENT\n\nThe New York Times: “A Plea For Better Radio Acting” by Joseph Julian.\nCopyright 1944, Copyright © renewed 1972 by The New York Times\nCompany. Reprinted by permission.\n\nThis Was Radio\n\n\"Portrait of the Author as a Daring Young Man Performing from Memory—1944.\"\n(See Chapter 7.) Sketched at rehearsal by Staats Cottsworth on page of radio script.\n\nTo Lisl, who shared these years\n\nIn the Beginning Was the Wink...\n\nContents\n\nIntroduction by Harold Clurman xi\n\n1. The Beginning 1\n2. Siberia 18\n3. Return to New York 28\n4. The \"Variety\" Storm 44\n5. \"Michael West\" and After 65\n6. Corwin 71\n7. If Memory Serves . . . 113\n8. Welcome Honorable Enemy 127\n9. Hiroshima 147\n10. Return to New York 154\n11. The Eclipse 168\n12. The Trial 187\n13. Easy Money 203\n14. Foot-in-Mouth Disease 208\n15. Fan Mail 227\n16. Whither Withered Radio? 231\n\nIntroduction by Harold Clurman\n\nIn *This Was Radio*, Joe Julian accomplishes a triple task. First, there is a great deal of information about one of the most influential of the media, one which we have all used, enjoyed, and learned from and about which most of us know very little. Second, Julian’s book describes the atmosphere and moral landscape of the times during which radio came into being and flourished. *This Was Radio* is not only a personal but a social history. Third, all that the author tells us issues from a source that is not only truthful but pure. Radio and the people who contributed to its functioning come alive here: they are given a human face. And, what is more, the book is often very funny!\n\nBecause Julian writes from his own experience—without theory or doctrine—we find something symbolic and moving in his efforts to find a mode of expression. He is the universal actor struggling against all hazards and discouragement to find a place to practice his would-be profession. In doing this, we become sensible of a basic human need: man’s desire at all times to manifest\n\nhis inner self in a recognizably useful way. Julian strove with never-diminished determination to work at the job his nature clamored that he undertake. What makes this part of his story touching is that it is related not merely to the career of a single individual but to the contest all of us in one fashion or another must inevitably engage in. The cliché “hope springs eternal” is not just a sentimental wish, but a spur to action which is here made flesh.\n\nWhen he “got going” and became successful as a radio actor, Julian took it seriously as a craft, and, even more, tried to extend it to the status of an art. In other words, he tried to enhance radio’s effectiveness and relevance. In doing so, he not only became part of radio’s most respected programs—in his association with Norman Corwin’s famous play and documentary broadcasts—but as a result became involved in splendidly perilous adventures of world-wide reporting, which led him to England during the blitz and to devastated Japan immediately after the armistice. What he describes—without the boredom of statistical notation or routine observation—is not only vivid but memorably gripping. We cannot toss off the impression we receive from this account as so much “daily news.” The simple directness of Julian’s writing makes us feel we were there beside him, seeing what he saw and did and identifying with the sights he witnessed.\n\nJulian was one of Joseph McCarthy’s many victims, and throughout the book the episodes dealing with our local Cold War Inquisition of the 1950s are not only convincing on a personal level but heartbreaking, shamefully real on a national scale. How could we allow so much folly and injustice to occur among us? Reading these episodes, one feels that we failed to fulfill our responsibilities. Yet Julian, though bruised and sometimes appalled by all he has lived through, was not fatally scarred by these events. He never became bitter; his indignation is always softened by a feeling that virtue will in the last count somehow prove stronger than evil. This belief permeates and sets the tone of his whole book. Thus he is able in the midst of horror and viciousness to recognize and relish the comic. What he has seen and endured, however painful at times, has never debased his essential goodness. Another man with so close a view of our own men at war might have turned sour. Julian’s instincts are healthy; his attitudes always remain uncontaminated by egotism or vindictiveness. For this reason we believe in him: all his true stories ring really true; he tells it “straight—like it was.” The purity of his naïveté (to use his own phrase) is the mark of the book’s good faith, verity, and value.\n\n1. The Beginning\n\nNineteen thirty-two was not a thriving time for our cultural institutions. President Hoover was telling us prosperity was just around the corner, but that corner still seemed very far away. Large numbers of our population were drawing sustenance from breadlines; engineers and college professors were selling apples on street corners; and the theater was rapidly dwindling to a luxury for the rich, with thousands of actors out of work and hundreds clamoring for every role.\n\nI was one of those thousands, fresh out of Baltimore, bent on carving out a theater career for myself, depression or no depression. A man named Cliff Self helped determine the route my theatrical career would take.\n\nCliff was an old-time Shakespearian actor, then in his late sixties. He had a thin, waxed mustache which he constantly twirled, and he walked tall. In his young years he had probably been a dashing leading man. Cliff built a nice little business out of a natural talent for gossip. He had developed a considerable reputation among actors for\n\nknowing what was going on in the theater. He used to hang around Broadway and Forty-fifth Street with other unemployed sons and daughters of Thespis, where he passed along casting tips and trafficked in general theater tittle-tattle.\n\nWhen I arrived green in New York, certain only of future greatness, I hadn’t the slightest idea where to begin; whom to see; how to go about making the rounds; or even where the rounds were. I knew, of course, that Times Square was the heart of the theater district, so I decided I would mosey about that area until I came across what looked like some actor types; I’d sidle up to them, eavesdrop on their conversation, and, hopefully, glean some idea about where to present myself to a casting director. That’s how I met Cliff Self. He was hard to miss as an actor type.\n\nWith the Broadway and Forty-fifth Street set growing steadily larger, one day The Cliff Self Information Clearing Center asked himself the classic question: “Why not sell it instead of giving it away?” He rented a narrow, dingy room on the top floor of the Gaiety Theater building at the southwest corner of Broadway and Forty-sixth Street, stocked it with about twenty second-hand wooden chairs, an old desk, and an antique typewriter. Three large loose-leaf notebooks were his inventory. Every morning he would type into each notebook identical items of casting information—which producers were casting, what types they were looking for, where and when the interviews were being held, and other pertinent information. Many entries were culled from the theater section of the morning papers; others were gossip and tips from actors\n\nwho had already investigated casting situations and returned to give Cliff a report.\n\nCliff charged twenty-five cents for a peek at one of the notebooks. That was his sole source of revenue, but word got around, and soon there were enough purchasers of peeks filing in and out to provide him a modest living. The place became a haven where unemployed actors rested from their weary rounds, read the trades—Variety, Zits, Billboard—and socialized and commiserated with one another. Huddling together was desperately needed to ease the pains of loneliness and self-doubt that acutely afflict idle performers. A painter can paint, a writer write, a composer compose when he wishes, and the muse is right. But actors, who, contrary to popular belief, have very fragile egos and are most vulnerable to rejection, are entirely dependent on others for the opportunity to practice their craft.\n\nOne of the prestigious radio programs of the day was The March of Time. It dramatized important news events of the week, and occasionally required extras for ad libs and crowd noises. At such auspicious times the producers would phone Cliff to send over six or seven unemployed actors, who would be paid five dollars each for their services. Cliff took no commission but dispensed this five-dollar bounty to his favorites. When the call came, he’d try to avoid hurting the feelings of the others present by signaling the chosen with an unobtrusive nod or wink, or a flick of his finger.\n\nIt was about two years after I started coming to Cliff’s that I got my first wink. It was a great boost for my morale. The most exciting thing that had happened to me so far\n\nthat year was being stranded at Sunbury, Pennsylvania, with a stock company that went broke after a few weeks and left the actors to get back to New York as best they could. Without enough for train fare, I obviously had a problem.\n\n\"Got any brilliant ideas, Smitty?\" I asked George Livingstone Smith, our stage manager—a handsome, derring-do, Errol Flynn sort of fellow.\n\n\"We could always settle down in Sunbury,\" he said.\n\nSunbury is a town on the Susquehanna River, about fifty miles above Harrisburg. As we strolled along its banks, cursing our producer who had skipped town to avoid creditors, still wondering how we'd get back to New York on the five dollars and forty-five cents we had between us, Smitty had his illumination. Why not go back in a canoe? There was a number of old rowboats, flatboats, and canoes rotting away along the shore. Maybe we could buy one for a couple of bucks and fix it up. The trip would only take a few days and we'd have ourselves an adventure!\n\nIt sounded good to me. The Susquehanna emptied into the Chesapeake Bay at Baltimore, where my family lived. We could stop off there, then go on to New York. \"The only thing is,\" I told Smitty, \"I've never been in a canoe.\" He assured me that there was nothing to it, that he had many times shot the rapids in the rough rivers of northern Maine, and that the Susquehanna was a peaceful, lazy river like the Hudson or Mississippi.\n\nWe browsed among the wrecks until we found a canoe that must have belonged to Hiawatha. But since it didn't collapse under our test kicking, we went to the police station, told the desk sergeant of our plans, and asked him\n\nwhere we could find the owner. \"Go on and steal it, boys,\" he said. \"No one buys them things around here.\"\n\nMy clever friend cut up some canvas sandbags from backstage at the theater, to make patches. We bought some glue, and a can of paint, and lo, we had a vessel!\n\nIt was a miracle that we survived those next four days. My radio career almost never happened. The Susquehanna was not quiet and lazy. It's one of the most treacherous rivers in the country, full of hidden rocks, broken dams, and rapids. And as we hit our first white water, Smitty shouted above its roar, \"Hey, Joe, I have a confession to make. This is the first time I've been in a canoe, too!\"\n\nWe became experts the hard way: tipping over, losing a paddle, getting stuck on a bar of quicksand (I, idiotically, got out and tried to push us off, sinking to my nostrils before I was able to climb back in). Later, we were almost drawn over Holtwood Dam—a huge, electric power dam that spanned the river. My shipmate's ingenuity was responsible for that. Every four or five hours we had to beach the canoe to empty water that had seeped through the patches. At one place, Smitty was inspired by an old mattress lying on a dump. He pulled the cover off, cut some branches from a tree with his knife, lashed them together with a piece of rope, draped the mattress cover over this framework, and we had a sail. When I gathered the ends in my hands, stretched out my arms, holding the main pole between my knees, the wind caught us and zipped us gloriously over the bounding main. It was a thrill such as the person who invented the sailboat must have known—harnessing the elements to your purpose!\n\nBut it took us down river so fast that before we knew it we were only a few hundred yards from Holtwood Dam—a sheer 200-foot drop. We frantically killed the sail and paddled with all our might toward a little side reservoir, separated from the river by a stone wall. It had an iron ladder and railing running to the top. I lunged out and hooked it in the crook of my arm, just in time. If I had missed, we would have gone crashing over the dam.\n\nTwo men at a nearby powerhouse saw us and came running. They spun some wheels that opened a gate and pulled us into the reservoir, panting and exhausted. They took us and our canoe on a little electric train to the lower end of the river—state law requiring them to offer this service.\n\nAt night we slept in river town flophouses—for thirty-five cents a bedbug-ridden bed. We tried, with no luck, to catch our dinner by improvising a fishing line with a piece of rope and an open safety pin. We begged for food at farmhouse doors that were usually slammed—fearfully—in our faces. Where was all this famous country hospitality?\n\nWe really became disenchanted with our odyssey when the weather turned cold and violent. Cloudbursts filled the canoe with rain as fast as we could bail it out. We shivered and sneezed and were thoroughly miserable. That’s when we decided enough was too much, and, in the full fury of an electrical storm, pulled ashore at Havre de Grace, Maryland, where we sold the canoe for three dollars to a local sucker and decided to hop a freight train the rest of the way home.\n\nWe found a “hobo jungle” just outside of town, where a couple of hospitable “bos” invited us to dry out around\n\ntheir fire and share a tin of hot canned soup. I never experienced the brotherhood of man more intensely. The \"bos\" told us that freight trains stopped there for a few minutes to take on water from a nearby tank. We socialized for a couple of hours until one arrived, then hopped into an empty car, with my one surviving, waterlogged suitcase. But as the train started up, we were shocked to see it going the wrong direction—north! Back up river from where we had so painfully come! As the engine picked up steam, Smitty jumped out and landed on his feet. I threw my suitcase out, then hesitated. The longer I hesitated, the more dangerous it became. I finally jumped—pragmatically, not bravely—and landed on my face in the cinders of the roadbed. I was a bloody mess.\n\nHours later we boarded a freight going south. As it got underway, we found we were sharing someone else's accommodation. A lot of people rode the freights in those depression years, sometimes entire families—the only transportation many could afford.\n\nOur boxcar companion was a short, wiry character, who could have written a \"How-To\" book on the subject of freight-train-hopping. When he learned how I had damaged my face, he told me what I \"shoulda done.\"\n\n\"Never take anything with ya ya can't strap on your back,\" he said. \"So's you'll always have both hands free to hold on. And always have goggles to keep the cinders from the engine outa your eyes. An' if ya have to jump off, first start your legs movin' in the air, so's when ya land the momentum will keep ya runnin' on your feet. An' most important, before ya get in a car always look ta see if there's a woman there. If there is, run like hell! Don't go anywheres near her, otherwise the railroad dicks will grab ya under\n\nthe Mann Act for transportin' a woman across state lines for immoral purposes. Even if ya never seen her before in your life.\"\n\nAbout thirty miles from Baltimore, the freight train pulled into a siding and stopped.\n\nWe hitchhiked our last lap. Overall, it was the most frightening stretch of the trip. The man who picked us up was a genial, loquacious fellow. Though not quite sloshed, he was unsteady enough at the wheel to keep us gasping. The strain was unbearable until finally I fell back on pure faith. It got us home.\n\nBack in New York friends smiled indulgently when I recounted my river adventure. I wouldn't have believed me myself.\n\nI went back to making the rounds, and the daily visits to Cliff Self's tip factory.\n\nThat year, the closest I had come to a job on Broadway was selling shoes, part time, at Ansonia's on Forty-second Street. I earned barely enough to exist and frequently was hungry. When I was down to my last few pennies, I would go into a bakery and buy some leftover rolls. Several times a week I ate at Bernarr MacFadden's Health Food Restaurant. The famous physical culturist had opened a place off Times Square where you could buy a five-course meal for twelve cents. Each course was a whole-grain variation, which MacFadden insisted had all the required nutrients. My parents were dead, and although my adoptive family was fairly well off, I hated the idea of going back to Baltimore to live off them, face their \"I told you so\"s, and shoehorn myself into the family hat-store business for which I had neither appetite nor aptitude. But most of all,\n\nI dreaded the prospect of abandoning my acting career before I had a fair chance to prove myself. So, when Cliff Self winked that day and I was convinced he wasn’t winking at the actor next to me, I was more than elated. Radio drama was just beginning to come into its own. I had already knocked on a few doors but they wouldn’t open. A relatively small group of actors seemed to be doing all the work: Everett Sloane, Dwight Weist, Vincent Price, Paul Stewart, Orson Welles, Kenny Delmar, Jeanette Nolan, Raymond Johnson, Ed Jerome, Agnes Moorhead, Clayton Collyer, Bill Adams, Richard Widmark, Carl Frank, Arlene Francis, among them. I learned later the reasons for the exclusivity, and why it was so difficult to break into this hallowed circle.\n\n*The March of Time* used the same actors almost every week. It was like a stock company, whose members were the aristocrats of this relatively new profession of radio acting. They were extremely versatile, the nature of the show requiring of performers a wide variety of accents and characterizations and a talent for impersonation. Names in the news had to be counterfeited, and occasionally an outsider would be brought in. Franklin Roosevelt was president then. Bill Adams did a perfect imitation of him, which meant that he worked almost every show, since Roosevelt’s name figured in the news almost every week. Art Carney, an excellent mimic, and Gilbert Mack also did the voice of FDR, and of many others. In fact, they were all so good many listeners believed they were listening to the real person.\n\nOnce, after playing Hirosi Saito, the Japanese ambassador to the United States, actor Guy Repp was summoned to the studio telephone. It was the Japanese consulate\n\nwanting to know why the Ambassador hadn’t notified them he was in town. Repp explained he was only an actor impersonating Saito, but the caller was not to be put off. He insisted he was very familiar with the ambassador’s voice and invited Repp to a diplomatic dinner the next evening.\n\nAnother time, Gilbert Mack’s wife was at home listening to his voice coming over the radio as Franklin Roosevelt delivering his ringing Inaugural in which he said: “The only thing we have to fear is fear itself,” when a man, who frequently stopped by to sell her fresh eggs, rang the doorbell. She hurriedly let him in, saying, “Shhh, I’m listening to my husband!” The man gave her a peculiar look and left—never to return.\n\nProbably the strongest impression the listening population has retained of *The March of Time* is not that of the performers or of the content of the program but the frame—the stentorian billboarding of the opening and closing lines by announcer Westbrook Van Voorhis. I can still see him standing at the mike, legs apart, finger in ear (to hear himself better), launching those four words, “the march of time!” into space with the force of a howitzer. I’m sure they’re still out there reverberating somewhere. That sound was too strong to have dissipated in a mere forty years.\n\nMy excitement was great as I reported that first day for rehearsals at the old CBS Studio A on the twenty-second floor of 485 Madison Avenue. Not only my first radio experience, but five bucks and working for one of the most important network programs! I knew I was just a crowd noise, but emotionally I was high. I had made it! My voice over a network, the length and breadth of the land! “Heard by millions!” I kept repeating to myself, “Heard by millions!” And when the director assigned specific lines to the extras so they would sound like a real crowd instead of a phony hubba-hubba babble, and gave me “Hey look, the guy’s bleedin’!” my cup ranneth over. After rehearsal I phoned Baltimore and alerted the family to listen for that line. But, alas, no one was able to distinguish it from the rest of the crowd sounds even though, to stand out, I had hunched a few feet closer to the mike than I had been ordered to.\n\nMy performance on *The March of Time* did not catapult me to immediate fame and fortune. But Cliff Self liked me well enough to give me the wink every few weeks. Together with my part-time job at Ansonia’s Shoe Store, I managed to keep my head above water.\n\nIt was frustrating to watch the regulars on *The March of Time* doing colorful, interesting roles while I was confined to a crowd noise. Envy gnawed at my heart, and a green voice kept whispering, “You could do it better, you could do it better!”\n\nThe next bit of good fortune that pushed my career along was the WPA—the Works Progress Administration—a federal program launched by Roosevelt’s New Deal to create work for the unemployed masses, to provide a job for whoever needed one. Under the program, the famous Federal Theater Project was launched. Every actor who qualified as a professional was employed in some theater-connected capacity for twenty-three dollars a week. My Sunbury stock company experience qualified me (at least some good came from it). This was my first hint of what it meant to be independently wealthy. Twenty-three dollars was a lot of money in those days. I was assigned to travel\n\naround Manhattan organizing dramatic groups at churches and YMCAs. A few months later I was sent to WNYC, New York City’s radio station, where I performed in sketches about keeping our streets clean, and occasionally spun records, filling in for veteran announcer, Tommy Cowan, who was probably radio’s first disk jockey—at least for classical music. Tommy conducted the Masterwork Hour, and broke me in one day before he went to lunch. He handed me a pile of records and said, “Just announce them by reading the labels.” I don’t think any audience, before or since, has ever heard the names of the great foreign artists, composers, and conductors mangled so monstrously.\n\nAfter a few months at WNYC I got my first Broadway acting job—a small role in Elmer Rice’s Judgment Day, a highly effective courtroom drama based on the burning of the Reichstag by the Nazis. Rice was a distinguished, socially aware, American playwright. I knew him to be especially active on the side of the underdog. So I wrote him an underdoggy letter, bitterly complaining of the Broadway system. I reminded him how difficult it was for a young actor to get a job on Broadway, because Broadway producers only wanted actors with Broadway experience, and how can you get Broadway experience if no one will give you a job on Broadway without it?\n\nHe responded with a note inviting me to read for him. It was a hushed scene between two nervous guards conspiring against their government. I think my real nervousness played a big part in winning that audition.\n\nWe opened December 13, 1934, at the Belasco Theater, and for six months I earned twenty-five dollars a\n\nweek, the Actors Equity minimum at that time. But the money, though desperately needed, was secondary. More important I had made it to Broadway! Forever after I shall have had Broadway experience! The thrill of being in a hit, of playing to Broadway audiences, the applause, the notable backstage visitors, was all very heady stuff. I remember being introduced to, among others, Gertrude Stein and Alice B. Toklas as they came back to visit one of the cast, Fania Marinoff. Fania, with her husband, Carl Van Vechten, was part of Miss Stein’s Paris “family.” Miss Stein was wearing a drab peasant-cloth coat that touched the floor. Much wider at the bottom than at the top, she left me with the impression of a gliding pyramid.\n\nI had been granted a leave from the Federal Theater Project to do the play, so when it closed I went back to WNYC and skits about keeping the streets clean. But I did learn something of microphone technique there at New York City’s own station, which helped me win an audition that was to be a big boost toward big-time radio.\n\nIn the mid-thirties WLW, Cincinnati, was the most powerful single radio station in the United States. Owned and operated by Powel Crosley, Jr., President of the Crosley Radio Corporation and owner of the Cincinnati Reds, WLW’s 500,000 watts nearly blanketed the country. Apparently the government allowed that much power to one station as an experiment. In case of war or other emergency it could quickly take over and address the entire nation without arranging a complex hookup of smaller stations. Over the years WLW became known as “The Cradle of the Stars.” Many of the biggest names in the entertainment world had their grounding there—Doris Day, Andy Williams, Red Barber, Durward Kirby, Rod Serling, Frank Lovejoy, Rosemary Clooney, among others.\n\nServing WLW’s large audience required extensive programming and a large staff. One day in nineteen hundred and thirty-five Mr. Crosley just decided to clean house. He sent his general manager, Don Becker, to New York to interview and audition talent. Two weeks later he had signed up, for a year’s work in Cincinnati, a full new complement of actors, announcers, writers, and directors. The reason for such a drastic shakeup, I suppose, was the station’s rapid growth and the consequent need for more professional talent.\n\nBecker had rented a large hotel suite and invited all who wished to apply for an audition and interview.\n\nI chose for my audition my scene from Elmer Rice’s Judgment Day, which I had played night after night for six months—material with which I was most secure. I think that’s what gave me the edge.\n\nMy salary was to be fifty dollars a week, plus a few dollars extra for any sponsored program I worked on. I was on a four-week probationary period, after which the station could fire me if it didn’t like my work.\n\nIn all, the new employees at WLW numbered about thirty. As we were being shown the facilities of the station, I struck up a conversation with one of the group, a writer-director called Thomas Ashwell. I was particularly impressed by his good looks, his quiet, assured manner, and easy charm. He told me he had recently worked at a radio station on the West Coast and that he intended to rise very rapidly here at WLW. He said he planned to do it by closely observing the way most employees related to the\n\nboss, Powel Crosley, Jr. If they were bootlickers and told him only what he wanted to hear, he would speak his mind. If they were forthright in their dealings with him, he would be a bootlicker. Either way, he said, by distinguishing himself from the others he would get ahead. It struck me as pretty cynical.\n\nThe numerous studios at WLW were of various sizes, to accommodate all kinds of productions. The larger ones were used mostly for musical shows with big orchestras and casts and heavy sound effect setups. The medium-sized studios were for smaller productions—dramas, recitals, interviews, and the like—and the smallest studios were mostly for news broadcasts and lectures. These last were the only studios without a piano and an organ. In those days, recorded music was rarely used. Orchestras and organists were \"live.\" They set the mood and heightened emotional effects. Since music is the most direct of all the arts, it was of the greatest aid to an actor in quickly summoning a desired emotion.\n\nAnd bars of music were the stagehands of radio, helping shift the scenery with a few suggestive notes. This music was often written and conducted by some of America's leading and most talented composers, such as Aaron Copland, Morton Gould, Bernard Hermann, and George Kleinsinger.\n\nAmong the dramatic shows on the air at WLW at the time of our arrival were: *The Life of Mary Sothern*, a typical daily soap opera; *Tea Leaves and Jade*, a lovely late-evening show that dramatized exquisite little fables and stories of the ancient Orient. Backed by low, exotic organ music, it used only actors with the most cultivated speech. *Famous Jury Trials* was a well-researched show that\n\nreenacted actual court trials. These had large casts, since both the prosecution and the defense usually offered a long string of witnesses.\n\nAlthough on a weekly salary, the staff actors had no fixed hours of work. But we were always on call for any director who might want us for a show, or to audition for one. During my first few weeks I happened to get very few calls, either for auditions or direct casting.\n\nBack to Thomas Ashwell. After his first few weeks, he concluded that most of the staff were bootlickers, so he walked into Crosley’s office one day and told him that the majority of his programs stank. Crosley reacted by making Ashwell program manager.\n\nNaturally a new program manager had to make a few changes. One of them was to fire some staff actors. I was among the chosen. Stunned, I stormed into Ashwell’s office, angry and indignant. He was firm (an important quality for a man determined to get ahead). He said the record showed that I was one of the actors least in demand by the directors; hence I was not earning my salary. I told him I hadn’t been there long enough for him to make such a judgment. He was charmingly pitiless.\n\nI rushed in to see Don Becker, the station’s general manager, for whom I had auditioned in New York. He was sympathetic, but felt that since Ashwell had just been appointed it would be wrong for him to countermand his order. I was furious. Where was justice? I had not even used up my four-week trial period. It wasn’t that the directors didn’t like my work, I told him, they just didn’t know it. I hadn’t been called to audition for the right roles. It was also a big financial slap in my face. I had spent the\n\ndregs of my bank account to attire myself presentably for my career at the station.\n\nBecker began to relent. He said he'd see if something could be arranged. The next day he told me they were short an assistant sound-effects man, and asked if I would be interested in staying on in that capacity? Adding injury to injury, he told me the job paid only thirty-five dollars a week—a fifteen-dollar reduction. There was a short, sharp battle between my dignity and my need. I became a sound-effects man.\n\n2. Siberia\n\nLike music, sound effects played a major role in radio drama. They not only enhanced a play, but could set the scene. A few seconds of chirping crickets before the actors spoke bespoke a bucolic setting. Traffic noises immediately transported the listener to an urban locale. A mournful blast of a ship’s horn, and he was down on the waterfront.\n\nI had never actually worked sound effects before. I had observed a few things during my limited experience on *The March of Time*: the echo effect you can get by speaking across an empty water glass—the way Orson Welles did when, as “The Shadow,” he spoke those immortal words, “Who knows what evil lurks in the hearts of men? The Shadow knows!” I knew that for horses’ hooves you clomped half coconut shells on a tray of dirt or gravel; for gunshots you shot off blanks, or hit a leather cushion with a switch; for footsteps you walked on a board or slab of concrete. But there was, I soon realized, much more to it. Aside from having to learn all the tricks in the bookmanual and recorded—good sound men were also, of necessity, performers. Just as actors emotionally identified with their roles, so a sound man had to empathize and interpret. For a fist fight he was both men, busily smacking a fist into his palm, synchronizing the blows to the actors' grunts as they said, \"Take that! And that! And that!\" He had to feel along in a situation that culminated in a shooting, in order to time the shot perfectly. And he had to \"die\" with the victim in order to fall to the floor with the proper thud at the right moment. Footsteps, too, have their emotional context. Those of a woman walking off in a huff have a different sound and rhythm than they do if she is strolling or nervously pacing a hospital corridor awaiting the outcome of her lover's operation. A good sound-effects \"performer\" did not deliver these sounds mechanically. He often literally put on a woman's shoes and played the role. When it was a horse, he became the horse, slapping his chest for a gallop, changing rhythm for a canter, using the coconut shells for a slow trot, or pawing the ground—and throwing in an occasional whinny or snort for good measure.\n\nI was usually the second man on sound effects, assisting with simple things when more than two hands were needed. But it was amazing the number of effects one good man could handle alone. Say the scene was about survivors on a life raft in the ocean during a storm. The sound-effects man would preset some recorded effects on the turntables, and, on a cue from the director, would twist a dial to bring up the sound of the roaring ocean, while the other hand would pull a lever on a crazy contraption that rubbed small pieces of dry leather together until they squeaked like the ropes binding the raft's logs. The first\n\nhand would now paddle in a water tank, giving a close-up sound picture of smaller waves lapping the raft. A quick twist of the control knob on another turntable and an airplane was flying overhead (would it see them and radio for help?). A vigorous shake of a large balloon full of birdshot produced a remarkably realistic effect of crashing thunder, which might be instantly followed by the sound of a man falling overboard—the splash made by the suction of a toilet plunger in the water tank.\n\nThe gyrations of a sound man coordinating such multiple effects at the peak of his efficiency and style was something to behold. It was, ladies and gentlemen, pure art.\n\nIt took me some time to develop a dexterity with even the easiest effects, like opening and closing doors. They were either too loud or too soft, maybe because, during my first weeks in “Siberia,” I was still burning with resentment. It was intensely embarrassing for me to have to show my face as a sound man in the studio with my ex-fellow actors. Scar tissue hadn’t yet formed over my humiliation. But I decided that if I wanted to hang on to even this job, I had damn well better stop being so churlish. So I drew on my acting talent to play the part of a sound man at peace with himself.\n\nActually, I became quite intrigued with the technology of sound effects, and with the imagination and infinite resourcefulness of the men who made them. At that time, increasing numbers of effects were being recorded for sound libraries, but the limitless variety of scripts constantly brought new challenges. And if there be a Valhalla where the souls of departed sound men gather to regale each\n\nother with their heroic earthly accomplishments, surely they will tell and retell of the time when a script of *Lights Out* (a late-night horror show originating in Chicago) called for the sound of a man being turned inside out. Due to insufficient demand, no such sound had ever been recorded. Thus it had to be created. After much experimentation, the masterpiece was achieved. It was a two-man job. One, very slowly, quarter-inch by quarter-inch, peeled a tight-fitting rubber glove from his hand, close to the microphone, while the other man slowly crunched a strawberry box for the sound of breaking bones.\n\nThe sound-effects department at WLW was headed by a true master of the art, Don Wingate. His virtuosity was clearly apparent in the way he handled emergencies. I remember the time, for instance, when, on his way to rehearsal carrying a stack of recordings of rifle shots, marching men, and the rat-a-tat-tat of machine-gun fire, the wheel of his motorcycle hit a rock and Don crashed. He wasn’t injured, but the recordings were smashed beyond redemption. What to do? A lesser man would have committed suicide. These effects were vital to the show, which was slated to go on the air within a few hours. That was just about the time Wingate needed to round up an entire regiment of his buddies in the National Guard. They mobilized at the studio, replete with heavy boots and rifles, and after a brief rehearsal went on the air, marching about on cue, and since they had no blanks, shooting real bullets into the studio walls. They did little or no real damage because the padded, sound-absorbing walls were already porous. Now they were slightly more porous. Wingate hadn’t been able to scrounge a machine gun from the National Guard, but that didn’t daunt him. He got his rat-atat-tat effect by grabbing a short length of pipe and running it sharply across the studio radiator. For that evening alone, in my opinion, Don Wingate deserves an honored place in the Sound Men’s Hall of Fame.\n\nMy first solo sound assignment was helping Red Barber, the sports announcer, perpetrate an innocuous fraud on the fans. One afternoon I was ordered to report to a small studio with a turntable and two effects—a recording of a crowd cheering and a bat smacking a baseball. When I arrived, Barber was sitting in front of a ticker-tape machine. It was ticking away, but no printouts were happening. It seemed to be marking time. Barber explained that the Cincinnati Reds’ baseball game was about to start and he would be broadcasting a play-by-play description. Until I got the hang of it I should just watch him, and he would signal me when to bring in the effects.\n\nI tested the crowd cheers and batted-ball effect, so that the control-room engineer could set his levels, then waited for the game to begin. The bat-clouting-a-ball effect was achieved without a ball. Only a bat and a leather-covered judge’s gavel were used. No, I didn’t strike the gavel with the bat. Holding the bat lightly by the neck, I smote it smartly with the gavel. The sound required was a violent contact of leather and wood, so it didn’t matter which did what to which. This was the more practical way.\n\nWaiting for the game to start, I tried to fathom why these effects would be needed in reporting a game over a news ticker in a tiny radio studio. Only when we went on the air did I understand that I was a co-conspirator in a plot to make listeners believe they were hearing a game brought to them directly from the stadium by an eyewitness reporter. As the ticker started spewing tape, Barber began\n\ntransposing cryptic facts of plays that had already happened into colorful descriptions of these plays as they were happening. He did it with such conviction he almost had me believing I was at the ball park. He would embellish the factual information from the tape with vivid accounts of a player’s behavior—gestures and actions that were sheer invention. For instance, the tape might read: THE COUNT WAS THREE AND TWO. THOMAS HIT A SINGLE TO CENTER. Barber would turn that into: “Three and two on Thomas now. He seems a little nervous, walks away from the plate, rubs his hands in the dirt . . . hefts his bat . . . coming back now . . . hunches over the plate . . . the pitcher wipes the sweat from his face with his sleeve . . . spits . . . winds up and here’s the pitch!” Then he’d cue me to thwack my baseball bat with the gavel and turn up the crowd cheers. His enthusiasm and excitement would rise above the noise. “It’s a good one! It’s a good one!” he would shout. “A straight line drive to center field! There’s the throw over to first . . . and the man is safe!” If it were a double or a triple, he’d yell even louder, signaling me for more decibels from the crowd. After a few innings I caught on, and naturally put the thwacks and cheers in the right places without being told. On a home run, I’d goose up the crowd as loud as I could and Red would give it full throttle, screaming his description of the ball soaring over the left-field fence many moments after it had already been there. A great sleight-of-mouth artist, Red Barber. But I trust Saint Peter won’t hold him (and me) accountable at the gate of the Great Ball Park in the Sky.\n\nAfter a few months in sound effects, I was surprised one day to be told to report for a dramatic audition. It seems\n\nthey needed an Italian accent and none of the staff actors, at least none free at that time, could do it. I won the audition and played the role.\n\nSeveral weeks later something similar happened. A director needed an eccentric voice, which he couldn’t get from the available actors. Someone told him I did trick voices. He auditioned me and I did the show.\n\nShortly after that came a bigger surprise. I got a call from Thomas Ashwell, asking if I would have a drink with him that evening. I couldn’t imagine what was up. Since he had fired me, our relationship had been quite formal, and, although I felt no real enmity toward him, we were never drawn to after-work socializing. My initial surprise became even greater when we met at a nearby bar; Ashwell told me he had a date later that evening, adding that his date had a girl friend. Would I care to come along? He assured me he would pay the tab.\n\nI had a mixed reaction. Why me? Didn’t he have any closer friends? I had an intuitive feeling I shouldn’t go. I sensed something sinister. But, he was my boss; my livelihood depended on his good will; I also had a special curiosity about this man who had confided to me his curious plan for getting ahead. In a way I welcomed the opportunity to know him better. And, there was always the chance a blind date might turn out better than I dreaded. I agreed.\n\nThe girls were pretty but young—fifteen or sixteen—dangerously young. Ashwell had met them that afternoon on a streetcar, he said. They were working-class girls—spirited little sparrow types. We met them at the appointed place, a fairly sleazy no-cover night club on the wrong side of town, where they served good beer and bad strip-tease dancers. For several hours we watched and\n\ndrank and made small talk. The girls giggled a lot, perhaps because their conversation was so limited, and I was sufficiently inhibited by their age to behave myself. Ashwell, too, was a model of rectitude. Apparently my intuition of evil had been all wrong. Not once did I see him even hold his girl’s hand. He seemed perfectly content to enjoy the show and the girls’ company. Along about midnight they said they had to get up early for work and thanked us for a good time. Ashwell hailed a cab, took their phone numbers, pressed a few dollars in their hands for fare, and we said good night. It was probably the most uneventful date I have ever had.\n\nAshwell suggested that we walk home. As we sauntered through a wooded park area back to “our” side of town, he opened up a bit. He thanked me for coming along. His wife and family were still out on the West Coast, and he said he was very lonely in Cincinnati. He even confided that his real name wasn’t Ashwell. He used it, he said, to avoid being tracked down by some creditors he had left behind in San Francisco. Nothing serious, he added. He intended to repay them, but it would be an embarrassment if they located him here. I assured him I would tell no one.\n\nAs we were about to part company he suddenly said: “I want you back on the acting staff.” Zing! The scab came off the wound. “Why?” I asked, in the tone of why-the-hell-did-you-fire-me-in-the-first-place?\n\nHe fumbled for an answer, said he was aware that I had been requested by directors, that my work had changed, and I would be more valuable as an actor. “How could my work have changed?” I demanded, “when I had previously done almost no work at all?” He didn’t reply. I\n\nasked if my original fifty-dollar-a-week salary would be restored. He said no. \"Okay, I quit!\" came out without my thinking. \"Okay, you get your salary back,\" he said just as quickly. He smiled. We shook hands and said good night.\n\nThe laws of compensation work in strange ways. The wrong of my demotion was redressed on the scales of justice. There had to be some connection between the way I was fired and the mysterious force that nudged the brain of the bookkeeper to correct, erroneously, my salary, not back to its original fifty dollars a week, but up to sixty-five dollars. I did not call the mistake to their attention. I figured that extra fifteen dollars compensated not only for my days of reduced salary, but for the mental anguish and humiliation I had suffered.\n\nWithout doubt, WLW was the best training ground in the country for radio actors. Its heavy programming made demands that were often challenges. Frequently miscast, I was nevertheless kept busy in a large variety of roles I never would have had the chance to play anywhere else. Occasionally they even had me read the news, which I invested with great feeling, emotionally involving myself with all the day's tragic events, until one day I was instructed to save my passion for my acting, and reminded that news reports are supposed to be dispassionate and objective.\n\nAfter a year at the station I felt I had learned as much as I could there, and built up a big enough bag of experience to sling it over my shoulder and return to New York. Ashwell offered to renew my contract, but I felt my time was up. A number of directors I had worked for at WLW had\n\nalready quit and were now directing shows in New York. I figured they would make good initial contacts.\n\n(Organ music in)\n\nAnd thus, at the age of twenty-six, young Joe Julian left WLW, grateful for all he had learned, and with his heart full of compassion for the listening population of Cincinnati, which had to suffer what must have been the most exploitive of all station breaks anywhere in the world. Every fifteen minutes all day long, an announcer would say, \"This is WLW, the Nation's Station, Crosley Radios and Shelvador Refrigerators, Cincinnati.\"\n\nIt was a tribute to the tolerance of listeners that the station was never firebombed.\n\n3. Return to New York\n\nNew York did not exactly welcome me with open arms. My contacts from Cincinnati were delighted to see me and would keep me in mind. The competition from other actors trying to break into the big time was terrific, but I assiduously made the rounds every day, which meant hounding the casting departments of the networks, advertising agencies, and production houses that produced radio programs.\n\nAuditions were frequently held for new roles, but the casting departments mainly called the \"charmed-circle\" actors to compete with one another. There were leftover parts, however, and as more and more dramatic shows went on the air, unknowns and near-unknowns did get their chance. We somehow had to wangle an audition or an interview with the casting people. This was done mostly by sheer, obnoxious persistence—bombarding them with letters, visits, and phone calls. Others used the ambush technique, grabbing directors (sometimes literally) as they came out of the studios when their shows\n\nwent off the air. The third-floor lounge at NBC in Rockefeller Center was a favorite ambush point. One actor might suddenly step from behind a pillar. \"Oh, hello, Mr. Vincent,\" he'd say, feigning surprise at seeing the director, but thus hoping to register in his consciousness. Others were more blunt. \"Anything for me in your next show, Mr. Brown?\" \"It's been a long time since I worked for you, Mr. Andrews.\" \"You told me to keep in touch with you, Mr. Ricca.\" Smart directors sneaked out the back way.\n\nI, too, lost no opportunity, exploited every contact that might lead to a job or an audition. And, as the money I had saved ran low, I became as obnoxiously persistent as the best (or worst) of them.\n\nFinally, after about six months, one director who had known me at WLW, and whom I had badgered unmercifully, called me for a running part on *The Life of Mary Sothern*, a serial that had just moved from Cincinnati to New York, and simultaneously I was called for a one-time part on the popular *Myrt and Marge* serial for the very day I was to begin. The air times of these shows were fifteen minutes apart—but rehearsal calls overlapped. It never occurred to me to turn down the second job. I had struggled too hard for a breakthrough. The gods were rewarding me for my perseverance; they would be displeased if I refused any part of their sudden bounty. I decided to do what busy actors frequently did when they had a time conflict. They'd hire an actor to stand in for them at a rehearsal, while they ran to another studio for a performance of a show that had been previously rehearsed, then back again to do the first show. If the directors were amenable, it worked out fine for everyone, including the stand-ins, who not only got five or ten dollars but an opportunity to demonstrate their talent to directors who might not know their work.\n\nMy stand-in arrangement was approved. But then I suddenly realized how far apart the studios were. *Myrt and Marge* was on the twenty-first floor of the CBS building, at Madison Avenue and Fifty-second Street, and went on the air at 2 P.M. *The Life of Mary Sothern* was on the seventh floor at Broadway and Forty-sixth Street and went on the air at 2:15. I was only in the first part of the first show and the middle section of the second—about nine and a half minutes to get from one place to the other. Could I make it? I tried it out. Even by running part of the way, I arrived exhausted, over three minutes late, and in no condition to do a broadcast.\n\nWhat to do? I had already accepted both jobs. An ambulance! I plucked a number from the Yellow Pages and asked how much. The man said twelve dollars. When he learned I was not an invalid he said it would be fifteen. Why the difference? \"For the risk,\" he said. \"It's against the law to carry a non-invalid.\"\n\nI arranged to have him waiting at CBS. I tipped the elevator operators in both buildings to have cars waiting for me. I finished my part on *Myrt and Marge*, slipped out of the studio and rushed to the waiting elevator—which wasn't waiting. The operator had forgotten. I almost broke my thumb pressing the \"down\" button. When the elevator finally came, over two precious minutes had been lost.\n\nThe ambulance was out front. To casual onlookers, it must have seemed strange to see a man racing to an ambulance rather than being carried to it. I told the driver to get going.\n\n\"Lay down,\" he said. \"Ya gotta lay down.\" I stretched\n\nout on the white slab. \"Listen,\" he said, \"crosstown traffic is pretty bad. I could get stuck even with my siren. I think we're better off going up Madison, across Fifty-seventh and down Seventh Avenue. It's longer, but the streets are wider and we'll make better time. How about it?\"\n\n\"Okay, okay, just get moving!\" I said.\n\nHe started off, the siren winding up to a howl, then a scream. I couldn't resist half-sitting up to watch the cars in front of us jam on their brakes or pull to one side. For a brief moment I forgot my urgency as I absorbed some of the siren's power. It was all for me! It activated some residue of childhood megalomania.\n\n\"Lay down!\" the driver yelled. \"Ya wanna get me arrested?\"\n\nMy panic returned. Every few seconds I'd pick up my head to check our progress. \"Faster, faster!\" I kept urging. \"Stay down!\" he kept answering. We swung around into Fifty-seventh Street at 2:13. The traffic was lighter there and at 2:14 we turned down Seventh Avenue. At which point the siren broke.\n\n\"Look,\" the driver said, \"I can stop and fix it, but it will take a few minutes. Or I can take a chance on going through without it. What should I do?\"\n\n\"Take a chance!\" I shouted. We still had four minutes to make it. The traffic was heavier now, but he pushed ahead, going through red lights. There was a near miss at every crossing.\n\nWe finally pulled up in front of Loew's State Theater building, at Broadway and Forty-sixth Street—where the WHN Studios were located—with only two minutes to spare. Again, it must have perplexed the crowd to see a\n\nman leap from an ambulance bed and run like a bat out of hell into the lobby, where this time the elevator was waiting. It took me express to the seventh floor. I ran down the hall and dashed through the studio door. In unison, the director and the entire cast let out a huge, silent groan of relief. They were on the air. Someone shoved a script into my hand. I took one gulp of breath—and spoke.\n\nI received twenty-three dollars for the *Myrt and Marge* job. The ambulance was fifteen. Five for the stand-in. Add a buck a piece for the elevator operators. One dollar profit. Add the wear and tear, and it came out a loss. But it really was a net gain; it taught me never to try anything like that again.\n\nGradually I began getting more auditions—and winning a few now and then. I picked up isolated jobs on shows like *Flash Gordon; Inner Sanctum; Joyce Jordan, Girl Interne;* and *Renfrew of the Mounted.*\n\nWaiting in the studio for a *Renfrew* rehearsal to start, I got into a conversation with a tall, distinguished-looking gentleman named Brad Barker. In the middle of an animated discussion of the philosophical implications of Kant and Hegel, he suddenly excused himself, walked over to a large cardboard cylinder mounted on a metal frame, put his mouth to one end, and emitted the blood-curdling howl of a timber wolf, which was the opening signature of *Renfrew of the Mounted,* a weekly series of half-hour stories of Canada’s legendary Royal Canadian Mounted Police—sagas of manhunts and battles between the good guys and bad guys in the Canadian wilderness.\n\nBarker (what’s in a name?) was one of a small group of specialists who made a good living doing animal sounds,\n\nbaby noises, and screams—which were always in demand.\n\nThe animal imitators could come up with just about anything asked of them, from the chirp of a pregnant canary (any age) to the roar of a distempered rhinoceros.\n\nDonald Bain, one of the best, would be meowing and barking and spitting, as both characters of a cat and dog fight. You risked getting drenched if you stood too close. Some actors once played a dirty trick on him. They accompanied him to the Automat, where he regularly had lunch, then one telephoned from the outside and had him paged. Pretending to be the director of a radio show, he told Bain that he needed someone in a hurry who could do a good cat and dog fight, and that he had been recommended. Would he be willing to do a short audition over the phone? Whereupon Bain furiously snarled and meowed and spat and barked into the receiver, while everyone in the restaurant roared at the antics of this seemingly demented little man.\n\nThe baby criers were usually women, who carried a small pillow around with them, into which they gurgled, whined and bawled. Sometimes they would also lisp the words of a young child.\n\nThe screamers? You might think anyone can scream? Not so. 'Tis an art. There are all kinds of screams: some that are short and eerie, others that are long and shrill. And screams you might hear in a Gothic tale, of the victim before the kill. Some screamers were better than others, but they all saved the throats of the actors for whom they doubled, enabling them to continue the performance without hoarseness.\n\nThe most powerful casting director at that time was Frances von Bernhardi, who worked for Frank and Anne\n\nHummert, an incredibly successful husband-and-wife team that dominated the field of radio drama. Former journalists, they pioneered the format of the daily series and suffused them with the same low common denominator—sentimentality—that characterized the publications of their former employer, William Randolph Hearst. And, like Hearst, they grimly dominated their empire. When they’d suddenly appear to watch a dress rehearsal of a show, the atmosphere in the studio immediately chilled. All chattering ceased. Actors would twist their faces into rubbery grimaces while silently moving their lips, to demonstrate how diligently they were studying their roles. There was something darkly foreboding about the Hummerts. Their stiff presence always evoked a sense of insecurity. And with good reason. They had a reputation for firing actors who incurred their slightest displeasure. And authors. When Mrs. Hummert once told a writer that she wanted “God” on every page of a script, and his answer was “Who will we get to play Him?” he was fired on the spot. And when you were fired from one of their shows it was a catastrophe. It meant being banned from all their nine or ten others that might be on the air at any given time.\n\nI once barely skirted such a fate. It was a wintry morning, I had overslept and arrived for a nine o’clock dress rehearsal not a few—but twenty—minutes late. This was a day of double jeopardy, because, in addition to the Hummerts being present, Martha Atwell was the show’s director. Miss Atwell was a tight-lipped spinster who was an absolute fanatic on punctuality.\n\nAs I entered the studio the entire cast and orchestra were in position, waiting. They glanced at me, then averted their eyes, not wanting to witness the bloodletting.\n\nThe atmosphere was thick with tension. I looked up at the control room, where the engineer and three stony faces scowled down at me as they awaited my explanation. I gulped, took a folded piece of paper from my pocket, and without a word went into the control room and handed it to Miss Atwell. Then I returned to the studio, where I looked up to watch her face. When she had finished reading the note, she shot me a look, then handed it to the Hummerts, who glanced at it—and burst out laughing. Miss Atwell joined in and the danger was over. The note I had scribbled on my way to the studio read:\n\nDear Miss Atwell,\n\nPlease excuse Mister Julian for being late. On accounta the snow storm I had a hard time gettin’ him a cab.\n\nYours very truly,\nThe Doorman at his Building.\n\nI was not only glad to have escaped their wrath, but to learn that a sense of humor was still alive behind their dour exteriors.\n\nThese are a few of the five-days-a-week serial dramas Frank and Anne Hummert produced:\n\nAmanda of Honeymoon Hill\nBackstage Wife\nDavid Harum\nEvelyn Winters\nFront Page Farrell\nJohn’s Other Wife\nJust Plain Bill\nLora Lawton\nLorenzo Jones\nMrs. Wiggs of the Cabbage Patch\n\nNona from Nowhere\nOrphans of Divorce\nOur Gal Sunday\nReal Stories from Real Life\nThe Romance of Helen Trent\nSecond Husband\nSkippy\nStella Dallas\nThe Stolen Husband\nYoung Widder Brown\n\nIn addition to these daytime \"soaps,\" they had a number of prime-time evening shows such as Manhattan Merry-Go-Round; Mr. Chameleon; Mr. Keen, Tracer of Lost Persons; Hearthstone of the Death Squad.\n\nThe Hummerts themselves usually dreamed up a show's original concept, building it around a folksy or easily identifiable character. They employed a large stable of writers. One group worked exclusively at developing story lines and plots. When approved by the Hummerts, the scripts were passed along to the dialogue writers. There were many do's and don't's. For instance, all characters had to be constantly identified by name:\n\nJOHN: Why, hello, Henry!\nHENRY: Hello, John.\nJOHN: Haven't seen you in a long time, Henry.\nHENRY: Yes, that's true, John.\nJOHN: How about joining me for a drink, Henry?\nHENRY: Why, I'd like to, John.\n\nUnnatural? Yes, but they felt it was essential to know who was talking to whom at all times. They must have thought their listeners were pretty stupid not to be able to tell from the dialogue itself.\n\nPlot lines were often altered by a performer's real-life situation. Some contracts provided they be written out of the show for a few weeks in order to rehearse a Broadway play. The writers would then invent a reason for the character's disappearance. Perhaps he would be sent on a journey abroad, or to a rest home, or, perhaps, to jail. The same when an actor took sick. And, if he suddenly quit or was fired, there were always easy ways of killing him off—a heart attack, an auto accident, a murder. But this was generally done only with supporting characters who were expendable. If one of the leads left the show, he was usually replaced by another performer. Over the years, in long-running serials like *The Goldbergs; Jack Armstrong, the All-American Boy*; etc., many actors played the same part.\n\nLong pauses could never be indicated in a script. \"Dead air\" was anathema, the theory being that during even a five-second silence, a hundred thousand listeners might be just tuning in. Hearing nothing, they'd turn to another station, losing all those customers for the sponsor's product.\n\nTo snag new listeners, and for those who may have missed a chapter, each episode of a serial had to be preceded by a short recapitulation of the plot:\n\n**ANNOUNCER:** Yesterday, we left Alice in her living room, alone with John Hennesy, her sister Gwendolyn's husband. John had just confided that he had always been in love with Alice, and had made a terrible mistake in marrying Gwendolyn. Gwendolyn, who had left the house moments before, suddenly remembered she had forgotten some books she wanted to return to the library. As she reentered the living room, John had just put his arm around Alice's waist. Gwendolyn froze as she heard John say:\n\n**JOHN:** Darling, I love you more than anything in this world!\n\nThis would be followed by a music sting (Sharp chord), the organ music would fade, and the announcer would come in with the first commercial. Generally there was an opening, middle, and closing commercial—a terrible price that listeners didn’t seem to mind paying for their addiction to “soaps.”\n\nFrank and Anne Hummert closely supervised every show, at all stages. Their entire operation was highly systematized, and scripts were turned out with the efficiency of an assembly line.\n\nThe Hummerts’ casting director, Frances von Bernhardi, a rather severe career lady, seemed cut from the same cloth as her employers. Perhaps that’s a little unfair. I did sense an underlying warmth. She may have acquired some of the characteristics of this Victorian couple after years of close association. In any case, with all those parts to fill in all those shows, she wielded a lot of power. Actors were careful not to offend her. She was totally devoted to her work and differed from most casting directors in that she not only arranged auditions but kept close tab on the general deportment of performers. Too much clowning or lateness to rehearsal could lead to reprimands. An item in the paper linking an actor to some scandal might well result in the actor being replaced. All talent and other employees, as well as the material on their shows, had to adhere to the Hummerts’ rigid moral code, and woe unto the transgressors. But despite all the above, the Hummerts were loyal to their actors. Whenever possible they kept the same ones working on all their shows.\n\nI managed to get a toe in the door of the Hummert empire by winning small roles in a couple of their programs: Chaplain Jim, which dealt with the spiritual problems of\n\nGIs in Army camps, and *Front Page Farrell*, the dashing exploits of a super reporter (played by Richard Widmark).\n\nBy the late thirties network programming had pretty well standardized its form. Its main categories—drama, comedy, and music—were served up in quarter-, half-, and one-hour slices of time.\n\nMost of the dramas were, of course, the daytime “soaps”—so called because they were listened to mostly by women while doing their washing and cleaning, who were thus presumably vulnerable to sales pitches by the soap company sponsors. The essential ingredients of these shows were nicely contained in James Thurber’s definition of a soap opera:\n\nA kind of sandwich, whose recipe is simple enough, although it took years to compound. Between thick slices of advertising spread twelve minutes of dialogue, add predicament, villainy, and female suffering in equal measure, throw in a dash of nobility, sprinkle with tears, season with organ music, cover with a rich announcer sauce, and serve five times a week.\n\nIn the evenings dramas were always on the menu, but the emphasis was on comedy and music.\n\nMost of the important comedians sprang full-blown from vaudeville—especially those whose speciality was essentially non-visual, such as the joke tellers: Lou Holtz, with his ethnic stories of “Sam Lapidus”; George Jessel and his “Hello, Mamma?” phone routine; Jack Pearl’s Baron Munchhausen. They and other vaudevillians such as Eddie Cantor, Jack Benny, Bob Hope, Bob Burns, Burns and Allen, Jimmy Durante, Abbott and Costello, and Ed Wynn, often carried their visual gimmicks with them into the radio studio via publicity photographs. The jokes were\n\nfunnier if listeners retained the image of, say, Joe Penner’s baggy pants, or of Eddie Cantor rolling his “banjo eyes”, or of Ed Wynn’s mugging and goofy hats.\n\nThe weekly audiences for these comedians jumped abruptly from a few thousand in vaudeville to multi-millions in radio. Their catch phrases, such as Jack Pearl’s “Vas you dere, Sharlie?” Penner’s “Wanna buy a duck?” and Jimmy Durante’s “Goodnight, Mrs. Calabash, wherever you are” were heard so often they became part of the culture.\n\nBut these comics paid a price for their new popularity. In vaudeville, a comedy routine lasted for years; in radio, it was consumed in a night. The strain of building a new show every week took its toll, and there were many breakdowns and retirements and comebacks among the nation’s top funny men.\n\nLaughter is lifeblood to a comedian, and many found it difficult telling jokes to a microphone that wouldn’t laugh. The first stage show ever broadcast featured Ed Wynn in *The Perfect Fool*, over station WJZ, February 19, 1922. He was appalled at the silence after he told his first, time-tested jokes. He asked the announcer to quickly round up anyone he could find around the studio. A short while later he regained his confidence as an audience of maintenance men, telephone operators, electricians, and cleaning women giggled and howled at his silly sallies and facial expressions. Studio audiences became a must for comedy shows.\n\nThere was also a kind of humor indigenous to radio. Mock insults and feuds between two leading comedians would boost each other’s ratings, and sometimes could be kept running for months, such as the one between Jack\n\nBenny and Fred Allen, in which Allen kept finding new ways to describe Benny’s stinginess. One evening a sketch had Benny being held up by a thief who snarled, “Money or your life!” The long, long period of dead air that followed became hilarious, and was topped by Benny finally saying petulantly, “I’m thinking it over.” This just couldn’t be as funny in any other medium. And there was Allen’s classic retort to an insult by Benny: “If I had my writers here you wouldn’t talk to me like that and get away with it!”\n\nSpeaking of comedy, probably the most unique comedy performance in radio history occurred in 1937 when, during a newspaper strike, the mayor of New York City, Fiorello H. La Guardia, took to the air to read funny papers to the children. The kids “didn’t wanna know from nothin’” about wages and working conditions—they missed their funnies! La Guardia, mayor of all the people, understood what that deprivation meant, and every evening, for as long as the strike lasted, he would act out all the parts in his high squeaky voice and slight lisp, gesticulating dramatically as he described the pictures and read the ballooned dialogue of the comic strips that regularly appeared in the New York papers. It was something to hear—and behold. Fiorello La Guardia, or “The Little Flower” as he was affectionately known, was a mayor who cared.\n\nBut music was also very much in—or on—the air during the thirties, catering to all appetites.\n\n*The National Barn Dance* was a Saturday night fling for millions of farm folk and lovers of country music. Some of the popular big band leaders were Paul Whiteman, Fred\n\nWaring and his Pennsylvanians, and Ben Bernie (The Old Maestro—\"Yowsah, yowsah, yowsah . . .\"), and some of the top variety shows were Your Hit Parade, Show Boat, and Kraft Music Hall.\n\nOutstanding female vocalists of the period were Dinah Shore, Jessica Dragonette, Ruth Etting and outsized Kate Smith (whose singing signature, \"When the Moon Comes Over the Mountain,\" brought one of radio's sunniest personalities into our living rooms.\n\nAmong the popular male singers there was a handful of strong, lyric voices like those of James Melton, Morton Downey, and Arthur Tracy (\"The Street Singer\"). And then there were the crooners—Bing Crosby and Whispering Jack Smith, who probably started it all. Or was Rudy Vallee to blame?\n\nCrooning can probably be best described as the opposite of Ethel Merman. It was a style of singing romantic ballads that tried for maximum effect with least expenditure of energy; the microphone became a prosthetic device giving artificial power to those without enough of their own. The invention of the microphone bred a large race of mike-dependent singers whose natural voices would never have reached the balcony of a vaudeville house in those days when a singer needed not only a pleasing tone but a healthy pair of lungs.\n\nEven today in television, while the voices of singers are electronically boosted, the microphone itself is a barrier between the artist and his audience. We have the technology to send a man to the moon, but apparently science has not yet found a way to engineer a song without the silly spectacle of the singer half hiding his face as he holds a metal cone to his mouth and throws a slack wire\n\naround, stepping over it like a cowboy doing a rope act, while he deludes himself and his listeners that the big sound he is making is all his own.\n\nThose with deeper hungers were rewarded occasionally with arias from the thrilling voices of Lawrence Tibbett, Lily Pons, Rosa Ponselle, and other opera stars. On Saturday afternoons entire operas were broadcast live from the Metropolitan Opera House. And there were regular live concerts by the NBC Symphony—one of the finest in the land—from Studio 8-H in the RCA building.\n\nWhenever I was rehearsing a show on the same floor, I would run out at every opportunity and sneak into 8-H to watch Arturo Toscanini rehearsing his concert. It was a show in itself. His men worshipped him, but the Maestro was very temperamental. He demanded perfection of his musicians, and when he didn’t get it he exploded. One day he had such a violent reaction to a note wrongly played that he threw a valuable gold watch onto the floor and smashed it. The next day, during a break, a messenger delivered a package to him from David Sarnoff, the president of RCA. He opened it and found two one-dollar Ingersoll watches—with a card reading: “For rehearsals only.”\n\n4. The \"Variety\" Storm\n\nAlthough I began winning more radio auditions, my heart was still in the theater. I continued to make the rounds of Broadway producers, took classes in improvisation and body movement, and wormed myself close enough to the famous Group Theater to land a small role in one of its last and most beautiful productions, William Saroyan's *My Heart's in the Highlands*. It ran for six months and rekindled my yearning to make the theater my way of life. Continuity of stage work was rare for any actor, but I redoubled my efforts and did come up with a part in another Broadway play, *Walk Into My Parlor*. It ran three weeks.\n\nMost theater people sneered at radio actors. The very term became one of opprobrium. It was too easy just walking up to a mike and reading from a piece of paper. I myself was prone to the same prejudice, thinking of it as fractional acting, a nice way to make a living while waiting for the big break in the theater.\n\nFor the very busy actor it was more than a living. Money was to be made. Without sweat. Real money. The last\n\nKlondike of the profession, B.C. (Before Commercials). Actors who had running parts in several daily \"soaps\" might make up to $1500 a week—more than many well-known stage and screen personalities made. These could work in only one production at a time, but a versatile radio performer could and often did play a half dozen parts in a single day. A lead on a daytime serial could be contracted for from $1200 to $2500 a week. In addition, many worked the nighttime dramas. So some radio actors were making $50,000, $75,000, even six-figure salaries in an era when the average yearly wage was around $3,000, and taxes were much lower than they are today.\n\nAs I became more and more one of the \"in\" group, I began to understand why it was an \"in\" group: radio acting was not as easy as it looked. Many excellent actors were incapable of developing the necessary technique. It was largely a technique of indicating emotions, or playing \"results\"—anathema to serious actors who cannot perform until they have assimilated the truths and depths of a role. There is no time for that in radio. A typical half-hour program had to be put on with only three or four hours of rehearsal. Performers had to produce quickly. The good ones developed a facility—a bag of tricks which enabled them to give effective performances. But it was all partial: partial emotion, partial characterization, partial truth. They leaned heavily on the listeners to complete their acting for them. And the bag of tricks was acquired at a cost. In my opinion, the busier actors became in radio, the more they degenerated as creative artists. It was typical that so many radio actors, after winning auditions for roles in stage plays by impressing with facile first readings, had to be fired during rehearsals because they were incapable of going\n\nany further, adding new dimensions to their roles. In fact, they usually got worse under the pressure of having to deliver with their entire being.\n\nI observed this creative decay not only in others but in myself, and it disturbed me. I pondered the question for some time, then shaped my thoughts into an article and mailed it to *Variety*, the weekly bible of show business. To my surprise it appeared in full the following week, January 15, 1941.\n\n**AN ACTOR ANALYZES RADIO ACTING**\n\n*Sees Broadcast Drama As A Director’s Medium*\n\n*By Joseph Julian*\n\nRadio dramas, which are poured out into the ether in unending profusion, have soaked up a large part of the unemployment slack among the Actors Equity Association members. They’ve created work which has enabled many actors to carry on in the face of a more or less permanent Broadway job famine, and provided many of them (especially bit and supporting players) with steady incomes and a security the theater has never offered. But aside from the financial and psychological values of a more constant employment, what has been the effect of radio on the actor as a creative artist?\n\nMuch has been written and said of the growth of radio, of its development as an art form, of the ever-increasing number of adult programs. It has made great strides. It is persistently enticing the best talents from the other entertainment fields—actors, directors, and authors. But while to directors and authors it is a fascinating new medium to explore, experiment with, and study, to actors it presents a direct challenge to their artistic integrity.\n\n**NOT ACTOR’S MEDIUM**\n\nIf a survey could be made of all actors working in radio who came from the theater or film lots, and if some kind of test were\n\npossible to gauge their \"then and now\" abilities, it would undoubtedly show most of them to have been better actors then than now.\n\nThere are many reasons for this, but they all boil down to the fact that radio is essentially a director's, not an actor's, medium. An actor grows and develops best working where he is afforded the best opportunity for a full performance—in other words, on the stage, with motion pictures second and radio dragging up the rear.\n\nThe stage, with its physical production limitations, necessarily relies most on performers. Films call for little hunks of acting at a time, with the cutting room polishing off the performance. And the motion picture camera with its broader scope largely usurps the function of the actor by subjective treatment of a story. For instance, it can give a value and significance to m'lady's dropped handkerchief by isolating it (the hanky) with a closeup. Or, when the furious waters of the river drag our hero's canoe closer and closer to the onrushing falls, it adds suspense by cutting in with a shot of the jagged rocks below. All of which amounts to the director talking to the audience instead of the actor.\n\n**THE BRUTAL MIKE**\n\nThe radio microphone, from the creative actor's point of view, is even more brutal. It must achieve its effect entirely with sound. Sound is only one dimension of a performance, and an actor in a radio drama cannot possibly translate into sound all the active, silent nuances, bits of business, gesture, pauses, without becoming aware of what he is doing, thereby working consciously for an \"effect\" or a \"result,\" which always spells bad acting.\n\nMost of the better actors are conscious, I think, of a lack of inner satisfaction after doing a radio job. They miss that sense of fulfillment so vital and nourishing to any artist, and it usually shakes their confidence in themselves, undermining the talent they have. Others hold the general low level of writing, production and insufficient rehearsal time responsible. While\n\nthese are contributing factors, there are causes more basic. It's true that an actor can do more with a well-written script than a badly-written one. And it's true that in spite of the remarkable progress radio writing has made; in spite of the \"Corwins\" and the \"Arch Obolers,\" corn still runs rampant on the airwaves. But we can look forward to better and better scripts. We can look forward to adequately rehearsed programs. Actors may even memorize their lines instead of reading them. Freed from the necessity of keeping eyes glued to a script, they'll better adjust to their fellow actors. Perhaps they will work their own sound effects to give them a better feel of situation and circumstance (opening and closing their own doors when supposedly entering a room, etc.). We can even look forward to technical improvements—mobile microphones that will follow the actor (as in film making), allowing him freedom to move and behave more naturally than the present stationary mikes, which confine his movements to a narrow \"live\" beam, and inhibit all his naturally felt gestures. In a love scene, for example, if he could cross to his fair one, take her hand gently in his own, look longingly and deeply into her eyes before saying \"Darling I'd go to hell and back for you,\" it would certainly come over the air with a greater ring of truth than if he would say, as he now must, to a cold, unresponsive microphone, with script in hand, one eye running down the page to find the next line, the other glancing at the director for cues and to see if he should speak faster or slower (so the program shouldn't run a second under or over time), and generating all of his inspiration from his own mental images of the girl and the situation. Even these images are at best blurred ones. Because the high degree of concentration necessary for an actor to keep a clear, strong image in his mind is not possible under such conditions.\n\nARTISTIC STAGNATION\n\nHowever, even though all these improvements come about, radio acting would still induce artistic stagnation and disintegration in the creative performer because of limitations inherent in the medium itself. Take the \"fade-out\" and the \"fade-in,\" for example. These are the stagehands of radio. They're the devices that shift the scenes. In the theater, during scene changes, the actor has several minutes at least to inwardly prepare himself for the next scene. In making a motion picture, he has hours—sometimes days. But in a radio drama he may be expected to \"fade-out\" from one set of circumstances and \"fade-in\" to another with different emotional adjustments to different people in an entirely different environment, all within two or three seconds. Even the most brilliant actor can't recondition his emotions in such a short space of time.\n\nSo what happens? He does the next best thing. Even though he doesn't feel the reality of the lines, he continues. He \"indicates\" the truth of a scene instead of experiencing and playing it. He can't wait until it comes to him. Dead air is anathema—there must always be sound or new listeners will tune in another station. Constant repetition of this \"indicating\" or \"tricking it\" is habit-forming, and it becomes increasingly difficult for the actor to approach his roles any other way. Also, if he works on many different programs, or does a lot of doubling of parts where he has to use different voice registers to get the proper balance with other performers, he develops a bag of voice tricks, which he dishes out to suit script requirements like Western Union with its ready-made telegrams for Mothers' Day.\n\nThis requires an efficiency, it's true. Successful radio actors have highly developed techniques. But their performances are, as a rule, only fractionally honest interpretations, by which is meant they have little reality for the performer himself. It's not his fault. Radio constantly demands of him a sacrifice of truth for effect. The listening audience's imagination meets him more than half way. It fills in all the details of a sketchy surface characterization. It requires from him only a partial truth. And any medium that doesn't stimulate him to greater truth, that doesn't encourage a greater creativeness in his work, must necessarily turn a creative actor from growth to retrogression.\n\nMy pleasure at seeing my full-page article in *Variety* was mitigated to some degree by a feeling that I was not really entitled to this forum, that I had not yet earned, through accomplishment or experience, the right to address the entire entertainment world.\n\nDuring the next few days there was much buzzing about the piece among actors with whom I worked in the studios. Many liked it, or said they did; others had points of disagreement. I noted subtle changes in the way most of them related to me. There was an ambivalence—on one hand, a respect for the authority suddenly conferred upon me by *Variety*, and on the other hand an underlying hostility toward the maverick, the befouler of his own nest who had demeaned their profession.\n\nBut nothing prepared me for what happened the following Wednesday. I bought a copy of *Variety* at a newsstand, thinking, perhaps, to see a short letter to the editor commenting on my views. (*Organ music in low.*). I leafed casually through the general news, flipped to the motion-picture pages, glancing at different items, until I came to the radio section (*Organ music sting.*). Three full pages of responses, with a bold, boxed, banner headline: RADIO ACTING VERSUS ALL ACTING—SOME REACTIONS TO JOSEPH JULIAN’S PREVIOUS ARTICLE. Agape, I saw column after column of answers from my peers and some of the biggest names in the business. I don’t believe *Variety* had ever before or has since devoted so much space to one man’s opinion. My name in almost every caption: “THINKS JULIAN SHOULD BE PSYCHOANALYZED”—“AGREES WITH JULIAN, BUT—” “THINKS JULIAN HAS STIMULATED HEALTHY DISCUSSION”—“JULIAN’S ATTITUDE SEEN AS DEFEATISM”—“ACTRESS EXPRESSES SURPRISE AT JULIAN\n\nHOLDING SUCH VIEWS”—“JOE JULIAN’S DARING A SURPRISE”—and many more.\n\nI later learned that this spontaneous outpouring from professionals across the land was aided and abetted by Variety’s shrewd editor, Robert Landry. He had smelled a hot controversy and shot off telegrams to notables, not only of radio but of the theater and film world as well, inviting their comments. Many responded:\n\nI THRIVE ON RADIO’S BAD CONDITIONS\nby Bing Crosby\n\nHollywood, Jan 21\n\nWe have been running the Kraft Music Hall for five years under the radio principles outlined by Mr. Julian, to wit, quick readings, short rehearsals and sketchy suggestions of characters, and I’m awfully sorry to say, Julian, old man, that we haven’t lost an actor yet through stagnation. . . .\n\nWHAT PRICE THEAT-AHH\nby John Daly\n\nChicago, Jan 21\n\nWell, wax my mustache and crack my whip, if I haven’t just read an article from the very old school. I had, until this very moment, been under the obviously wrong impression that those among our profession who “LIVE THE THEAT-AHH” were becoming extinct like the fur-collared coats for actors. As one former spear-carrier to another, I apologize, Mr. Julian, for my opinions. Surely I have been a traitor to the THEAT-AHH, to assume that such a vulgar thing as making money could be as important as one’s art. And to think that I have actually tried at times, mind you, to get additional work, when had I but read your article, Mr. Julian, I would surely have realized that I could not really “live” more than one character at a time.\n\nFunny, the ideas I did have. I had imagined radio acting as a pretty important and more than that, a damned lucrative field\n\nof work. I have tried in various assignments to interpret the characters honestly and without too much overacting. I had a vague idea that, inasmuch as the audience couldn't see the actors, that possibly the voice might be realized. I confess that I hadn't given a thought to how my artistic ability was being cramped. I guess I just thought myself lucky to have the assignment.\n\nAnd that horrid thing, the microphone. What a perfectly ducky idea to have a microphone to follow you around. Just imagine being able to snort and bellow from a squatting position, or better still to make love with benefit of davenport. Certainly it would be much more realistic. I shudder to think of how I once played an old prospector, without first finding myself a cave to live in, and then having the mike installed there.\n\nWhen I think how I've let them \"Stagnate my Art\" for the sake of a few bucks, I get mad. Who do they think they are? Who knows but what the soul of a Booth or Barrymore lies beneath this rugged chest of mine. And to think I have been sacrificing this great talent to satisfy a lot of vultures who thought they could buy me with filthy money.\n\nI apologize, Mr. Julian, I apologize.\n\nGET THE SCRIPT AHEAD OF TIME AND STUDY\nby Irene Rich\n\nHollywood, Jan 31, 1941\n\nWhen Mr. Julian said radio drama may lead the actor to artistic stagnation he obviously spoke without knowledge of his subject or the experience to back up what he said. The actor who faces the danger of stagnation in radio is only that actor who lacks the imagination to create his own characters. Radio should not stifle the good actor. It should give him an even greater stimulus to development of his creative faculties. Because in radio we actors must not only create the characters but we must stick to that characterization and maintain it throughout the entire play with no other instrument than the voice.\n\nAnd that, believe me, is a real test of an actor's imagination and creative powers.\n\nI also take issue with Mr. Julian on what he terms quick reading and short rehearsals. The actor who hasn't the foresight to obtain his script in advance, study it as he would a play script or a scenario, and see himself in relation to the other characters, is not in danger of stagnation. He is already stagnated.\n\nJOE JULIAN'S DARING A SURPRISE\n\n(One established Broadway actress expressed almost complete agreement with Joseph Julian's views. Explaining that she is anxious to get firmly into radio, she asked that her name be withheld.—Ed.)\n\nOf course he's right that all an actor can do in radio is to give a surface impression of a part, rather than the full-dimensional characterization possible on the stage. However, I didn't realize the successful radio actors felt that way about it. I just thought I wasn't very good at radio, that my inability to give an immediate performance was limiting my viewpoint. It's comforting to know that one of the best radio actors is dissatisfied with the medium.\n\nDISAGREES WITH JULIAN BUT THINKS HE HAS STIMULATED HEALTHY DISCUSSION\n\nA leading radio actor and director was inclined to pooh-pooh Julian's views in Variety, but preferred not to have his name used. In general his attitude was \"A radio actor is just selling soap. All that stuff about artistic integrity is the bunk.\n\n\"Julian sounds as if he's trying to apply the Stanislavsky method to radio, which would be absurd. If he really believes seriously what he says in that article he must be guilty of outrageous overacting on the air. And I don't believe that's so. I know Joe Julian. He's a good actor.\"\n\nJULIAN TELLS STORY THAT IS OLD STUFF\n\nBy H. Lester Tremayne\n\nMr. Julian’s article is not new, unusual nor different. It sums up rather disconnectedly the constant griping which I have heard every day of my life in radio for the last ten years. For every fault relative to radio acting there is a comparable fault in stage or picture work. There is also an opposite or constructive angle to each of Mr. Julian’s list of radio faults.\n\nRadio is a new medium which has its own peculiarities and technique. Any actor who goes into radio seriously should expect to make the adjustments necessary to a business which in its very mechanics is completely different from any acting form heretofore. If he is not able to make these adjustments, if he feels his artistic integrity will be jeopardized, he should certainly take his integrity, which no doubt is of the hothouse variety, where conditions will promote its growth.\n\nJULIAN’S ATTITUDE SEEN AS DEFEATISM\n\nBy Katharine Seymour\n\nAs a writer who listens to radio drama professionally and critically, I can say in all honesty that I am constantly amazed at the excellent performances of radio actors—performances which rarely betray the brief rehearsal periods of which Mr. Julian complains. Perhaps he is overly self critical and modest. After all, capable artists of integrity in any field are rarely satisfied with their own performances.\n\nAs a general criticism, it seems to me that the tone of Mr. Julian’s article is strictly defeatist, and it is this very attitude which has helped retard the growth of radio as an entertainment form. Writers, like actors, are irked at times by the limitations of the medium. We, too, would like to indicate significant bits of business instead of depending entirely upon dialogue or sound effects. But most of us feel that it’s futile to brood over radio’s limitations. Instead, we face the challenge of the medium and find satisfaction when we succeed in creating a mood through the only props at our disposal, sound effects and music.\n\nRADIO IS BRUTAL BUT A CHALLENGE\nby Janet Logan\n\nChicago, Jan 21, 1941\n\nSo radio ruins actors—well, perhaps it does—some of them. But radio gives opportunities and offers challenges which no sincere actor can question. The very limitations of radio provide a test. Without makeup—without scenery—without the inspiration of a visible audience, the player must develop a living, breathing human being.\n\nDials can be twisted so easily that the drama wherein the acting consists of a few \"mike tricks\" would soon be in Limbo. The public's not stupid nor too easily fooled.\n\nSYMPATHIZES, BUT PICTURE TOO BLACK\nBy Hugh Studebaker\n\nChicago, Jan 21, 1941\n\nWhile I'm inclined to sympathize with Julian's viewpoint, I can not agree that the picture is quite so black. This is due, perhaps to the mellowness—or resignation, induced by fourteen years spent in our puzzling and catch-as-catch-can art form. We've come a long way, developing our little bag of tricks, which is so necessary to bring to life several characters daily. And now we have come to the days of the Corwins and the Obolers. And we find, strangely, that out of the ruck something good has been emerging which I sincerely believe will ultimately bring satisfaction to the groping heart of the actor. Considering the extent to which experimentation in the baby field of radio acting has been limited by the necessary priority of the commercial, I can't help thinking that a great deal has been achieved. Whether we shall ever capture the high moments of elation for which we love the theater, so long as it\n\nremains necessary to watch the director, listen for sound, and hope to God our pages aren’t mixed, I don’t profess to know. At least it’s a challenge!\n\nA RADIO PERFORMANCE REQUIRES INTELLECTUAL TOTALITARIANISM\n\nBy Albert N. Williams\nCasting Director, NBC, New York\n\nYes, Joe Julian is right when he states that radio is the director’s medium rather than the actor’s. He is as right as a musician might be in proposing that symphonic is a conductor’s medium rather than an instrumentalist’s. To most radio actors, and the following remark holds true for radio writers, directors, in fact, most people connected with the industry, radio still appears to be merely a broadcast version of theater.\n\nRadio is no more theater than theater is Greek Festive dance—they are successive derivatives of each other. While it can never be denied that the ideal training ground for an actor is the legitimate stage, the actor, once trained, must, like the novice pilot, resort to different maneuvers when on the air. . . .\n\nRadio, in itself, is not an art. The sound of voice is not an art. The sound of music is not an art. The sound of a streetcar is not an art. Radio is only an electrical means of transmission of sound from a studio into the homes of the listeners. The art lies in the nearness to reality of the total sound, as mixed inside a control room. Most artistic effort is based on the assumption that all mental instruments can act simultaneously toward a perception of truth. Only one of these instruments is employed in listening to radio—the ear. Therefore, all adventures before the microphone must be submissive to the entire. Radio, more than any other of the arts, requires of its citizens an intellectual totalitarianism. Any coloration requires that that factor serve as a north star for the others. In the theater it is the simulation of living people. In films it is the God-sense of being able to oversee all. In radio, since sound can only be real in so far as it has meaning, the words themselves rather than the vibrancy of their delivery will be valid.\n\nIt is that nature of radio which must be understood, and which understanding will do away with much artistic unhappiness. When actors understand the microphone, they will no longer resent it, and it will not appear brutal to them. True, sound is one-dimensional, but good performances can also be one-dimensional.\n\nRadio is the art form of intimacy. Into people's homes, not a theater, is the ultimate direction of a show. Would one increase credibility in a living room with gestures, stage waits, smiles, handkerchief gymnastics?\n\nAs for the emotional jerkiness resulting from radio's rapid scene changes, we sometime expect our musicians to dive from a ponderous adagio into a delicate scherzo in the course of one beat. . . . Radio will always demand a sacrifice of truth for effect. Effect is the basis of all emotional and intellectual impact, and only by proving that it exerts those impacts does radio justify itself as a cultural factor of modern life.\n\nIt all boils down to the fact that while radio is a challenge for actors, it actually demands very little acting in the Broadway sense of the word. It demands careful and studied interpretation of the words of the script in order that the meaning of the words may be etched on the listener's mind. . . . The shut-in, the invalid, the isolated person wants human communication rather than the thrilling dissonance of pent-up artistic ecstasies. For actors to resent radio is unnecessary, and creates a temperamental disaffection which has unfortunate results. They will not resent it when they understand more clearly the nature of their medium.\n\nDIRECTOR COMMENTS\n\nBy George Zachary\n(Director of the Andre Kostelanetz program and the Campbell Playhouse)\n\nIt's perfectly true the radio actor lacks the opportunity for development he would have in the theater, but his whole performance has a different purpose and perspective. . . . I know of no radio actors whose performances improve perceptibly with rehearsal. If a regular radio actor doesn't get a characterization right with the first reading, there's no use trying to change him, I know I'm in a hole, but I generally expect a bad first reading from a stage actor, and it doesn't worry me. I know he has to grow in the part and it will be much better in performance. But radio actors are vastly superior to stage actors in radio-acting technique. Radio has developed the most versatile group of actors ever known to the entertainment field! . . . Julian speaks of the impossibility of an actor making mood transitions in a few seconds. Joe himself makes those transitions, but both Joe and the listener need help. That's where music can be important. A few notes of the proper atmospheric music will bring both the actor and listener into a totally different mood in two or three seconds. In some ways that can give added emphasis to a scene. In general, I think Julian's opinions are thoughtful and sound.\n\nNO NEED FOR ACTOR \"FRUSTRATION\"\n\nBy Erick Barnouw\n\nDear Joe Julian:\n\nThe artistic frustration of most radio actors I wouldn't want to deny, but I feel you're wrong to blame it on your medium.\n\nYou bewail the \"cold unresponsive microphone.\" Does a novelist get peeved at his typewriter for not chuckling at his jokes? It just happens that novelists and radio actors don't have the privilege of witnessing the artistic experiences they provide their audiences. This is part of the nature of these and\n\nmany other arts, and simply offers an extra challenge to the imagination. In these fields the artist has to be more, not less, of an artist.\n\nYou feel frustrated because you can't do gestures and \"bits of business.\" You feel this makes radio acting \"incomplete.\" But one of the most gratifying of arts, cartooning, is exciting precisely because of its incompleteness. The less it tells and shows, the more it merely suggests, the better we like it. A window-dummy is more \"complete,\" but hardly provides artist or audience with more gratification. Radio acting also works in suggestion, not demonstration, some actors prefer it for this.\n\nYou bemoan having to act by the clock. Every art has mechanical strictures, and the real artist not only accepts but often welcomes them. For centuries poets have kept busy at sonnets, with just fourteen lines and a torturing rhyme-scheme, when they could just as well write loose odes. Working within imposed limits is part of the gratification of any art. What's wrong with fourteen minutes?\n\nYou feel it's hard to keep your imagination clear in the presence of mikes, scripts, clocks and directors behind aquarium windows. Is a painter distracted by his easels and his bottles? You seem to miss real tables, chairs, doors and other literal paraphernalia. Does a poet have to sit in the woods to write about birds? It isn't just high-hat to compare radio acting with painting, poetry, novel-writing. These all bank heavily on the imagination of both artist and audience, and are challenging and gratifying for that reason.\n\nThen why do radio actors feel frustrated? Because, as you say, writers give you chiefly drivel to act—which they do because producers buy chiefly drivel—which they do because audiences seem to cling to drivel—which they do because they've been conditioned, by film, magazines and radio, to drivel. That vicious circle, in spite of occasional exciting flurries of better writing, makes for progressive deterioration. In a time of precarious profits that's also true of shoes, and shirts and mayonnaise. That's what frustrates you, not your medium. Incidentally, I often hear your excellent acting.\n\nRADIO TOUGH ON NEWCOMERS\n\nSan Francisco, Jan 21\n\nJoseph Julian’s dictum, as expressed in last week’s Variety, that the nature of radio leads actors down the road to artistic stagnation, draws a divvy here. Some agree with the New Yorker’s contention while others concede the point that ether drama is largely a director’s medium. Representative comments follow:\n\nPhil Stearns (seventeen years experience as actor, director, producer on radio, stage, screen): “Julian is about half right, although the medium hasn’t even been scratched as yet. I don’t agree with him on characterization—a good actor can take a good script and build a character that will be remembered. Orson Welles has proven that. Julian is right when he says radio actors tend to drift into artistic stagnation, but it is not the fault of radio acting. A microphone performer who takes his work seriously can make himself stand out on the air just as in the theater.”\n\nHelen Morgan (stage, radio writing background): “Julian is partly right; not only in acting, but in writing and producing, radio is always under the gun, which accounts for a lot of the sloppy drama on the air. When it becomes financially possible to give players sufficient rehearsal time, radio acting will improve. But someday there must be more of a closed-door in radio acting. Today, anybody who can read writing is considered capable of acting on the air—it’s still too much like a great big amateur show. When they start limiting radio drama to people with real microphone ability, things will improve. Radio has been made too easy.”\n\nZella Layne (Dr. Kate serial): “It’s a matter of becoming a topflight reader more than anything else. The script writer has the best chance. A radio actor hasn’t much chance to do anything but do a good job of reading at sight.”\n\nJeanne Bate (NBC actress): “In most radio shows today\n\nyou're not acting—you're helping to sell a product. Furthermore, in daytime shows you're playing to people who are doing something else while they're listening and wouldn't know a characterization if they heard one because they aren't paying enough attention. That is reserved for the big programs at night.\"\n\nJack Kirkwood (with a lifetime in the theater behind him): \"Yeah—hard work and experience—in the theatre. This bird Joseph Julian knows what he is talking about. Radio hasn't developed ten real actors in its history—all the good ones came from the stage. Radio is worse than the picture business for new actors; all a guy can do is just what the director tells him. That's been my squawk for years. There isn't a chance for a newcomer to start in radio and get anywhere. Joseph knows his oats.\"\n\nI was overwhelmed by this extraordinary burst of publicity, and fearful it would spell the end of my burgeoning livelihood. After all, if radio did such horrible things to actors, why would I want to work in such a corroding medium? Why should directors even bother to call me?\n\nI went to the Variety office and confided my fears to editor Landry, who assured me I couldn't buy publicity like that for $50,000, and predicted I would soon be busier than ever. The following week he published more letters in reaction to my piece—some pro, some con—from Gene Autry, Conrad Nagel, Chester Lauck of Lum and Abner, and many more. But since practically none addressed itself to my main point, I decided an answer to the answers was in order. I wrote a \"clarifying\" piece for the next issue.\n\nJOE JULIAN IN GENTLE REPLY TO HIS CRITICS\n\nNew York, Jan 29, '41\n\nEditor, Variety\n\nI seemed to have opened Pandora's box—or something. While most of the reactions to my *Variety* article entirely disregarded my basic premise, I found them interesting because they illuminate the general confusion that exists on the entire subject of radio acting—in fact, all acting.\n\nHowever, the general tone of the replies tend to give an impression that I wrote the article in a white heat of anger or disgust with radio, as such. One of the comments even referred to my \"daring\" in risking the resentment of agency executives and directors by openly stating my views. I would like to clear up any such misconception. In the first place, the radio industry provides me with quite a decent living, and anyone who doesn't have a healthy respect for his means of livelihood is either an idiot or a professional iconoclast. About risking the resentment of directors, I didn't think in those terms. I assumed, I suppose, they would accept it as intended, not as destructive criticism, but an attempt at a purely objective analysis and comparison of the creative possibilities of actors in radio in relation to the other entertainment fields.\n\nI recognize the validity of radio itself as a wonderful new art form, but not radio acting. Acting is the art form, not radio acting or stage acting or film acting. The actor's approach to his part is the same in all three mediums. His tools are basically the same. He uses his emotions, personal experience, his powers of concentration, imagination, observation, his voice and his body. Even in radio he uses his body. He unconsciously twists, turns, and gestures within the confines of the mike \"beam,\" because his main function is to create out of his material the greatest possible reality for himself, not his audience. If he believes what he is acting, the audience believes. And this is true of acting in any medium. But in radio there are more mechanical strictures and distractions to prevent his building\n\nthis reality for himself, than in other acting fields. Therefore in radio he has less opportunity to use his creative energies. One of my knuckle rappers considers this a healthy challenge. True, the lack of real contact with his fellow performers stimulates the radio actor's imagination to a certain extent. He must dig deeper down into himself for the emotions that would flow more naturally from proper adjustment to his co-actors. But this virtue, I believe, is more than offset by developing in the actor a tendency toward an introverted kind of acting that can become artistically as unhealthy as can an introverted way of living.\n\nAnd the distractions of holding scripts, finding the next line, watching directors for cues, etc. Are these healthy challenges? Do they make an actor sharpen his powers of concentration? Then why not sharpen them sharper by bringing even more distractions into the studio? Maybe a little man could be hired to run around the studio distracting the actors—making funny faces at them while they're on the air.\n\nErik Barnouw makes the point that \"for centuries poets have kept busy at sonnets with just fourteen lines and a torturing rhyme-scheme, when they could just as well write loose odes. Working within imposed limits is part of the gratification of any art.\"\n\nThe poets who turned to sonnets didn't impose these restrictions on themselves for the gratification they got out of overcoming handicaps. In all progressive art, form is derived from content. One doesn't arbitrarily select a form then fill it in with stuff. The stuff determines the form it needs. The poets wrote sonnets because to them it was the best way of expressing a particular poetic concept.\n\nBut the radio actor doesn't select radio acting because it's a better method of expression for him than the stage. Usually it's because it gives him a much better living.\n\nI'm strongly tempted to argue other points made by your correspondents. I feel much good can come of a pro and con discussion of the subject, even if it only makes for a greater awareness in actors of the tools of their trade (a long step towards\n\nusing them better), but I am a little afraid that prolonging the argument might lay my motives open to question. You know—actor—publicity, etc.??? So—I better gather up all my split infinitives and dangling participles and run along. I’m late for rehearsal.\n\nJoseph Julian.\n\nFor months the articles were the subject of discussion and argument around the studios, ad agencies, and cocktail parties, with enough support for my thesis for my name to acquire some prestige as a serious, thoughtful actor.\n\nI was especially pleased to get a call from Montgomery Clift, a rising young actor whose work I greatly admired, and with whom I had, in some way, felt a kinship. We met at Colbee’s Restaurant, a hangout for radio people in the old CBS Building at 485 Madison Avenue, where he told me he had wanted to meet me because I had exactly expressed his own feelings about the whole radio acting phenomenon.\n\nI began getting calls for jobs from directors I had never met. Landry’s prophecy was fulfilled. Ironically, after writing on the deleterious effect of radio on creative actors, I became busier than ever.\n\n5. \"Michael West\" and After\n\nSometime in mid-1941 I ran into Larry Menkin, who had been my roommate at WLW, and later became one of radio's most prolific writers—Famous Jury Trials, Mollé Mystery Theater, Harlem Detective, and hundreds more. He was now freelancing in New York. He informed me that my friend Thomas Ashwell was no longer at WLW. On the strength of his job there as program manager, he had talked himself into becoming general manager of WXYZ in Detroit. Another step up the ladder. I wondered if he was using the same system.\n\nMy own progress was greatly aided in 1941 by a Greenwich Village neighbor, Julian Funt, who was writing a soap opera that had been on the air for five years called Big Sister. For some reason I brought out the big brother in him. He always showed a warm interest in my activities and welfare, and we became friends.\n\nHe had a habit of closely questioning people about themselves and mutual acquaintances. But as I got to know him better, I realized that it was out of a healthy\n\nhuman concern, and that an appetite for the intimate details of peoples' lives was part of a good writer's basic equipment. In fact, I began to envy his energetic curiosity and tried to cultivate more of it in myself as I realized its application to my own profession.\n\nI was also not unaware of his writer's interest in me as a character—which, perhaps, I was (am?). In any case, when I met Funt, I had not yet found my center of gravity; my feet were planted firmly in the sky, and I collected folk songs—attributes of a role he wrote into the story line of *Big Sister*. It came out as Michael West, rootless, embittered young wanderer who sang folk songs and accompanied himself on the guitar. In the program, Michael falls under the influence of Big Sister, who eases his pain and restores his faith in people. Since I had inspired the character, a little neighborly nepotism seemed in order. Funt got me an audition and, I suspect, used his influence to help me get the part.\n\nThe role had such a successful listener response that after several months the sponsor, Lever Brothers, decided to do a spinoff and give Michael West his own show. Now that Michael was to be the lead, it was decided—and this was typical of sponsor madness—that general auditions should be held for the role. I was invited to compete. Perhaps, now that it was a starring role, with a contract and more money involved, they wanted to be sure they couldn't do better. Whatever their reasons, I again won the part. They called the show *Bright Horizon, the Story of Michael West*. In a way, it was a complete reversal of the normal daytime formula. It had a hero instead of the usual heroine, and a woman announcer instead of a man. And, for good measure, a Miss Ora Nichols worked the sound\n\neffects—the only woman on CBS who handled sound.\n\nThe new show got off to a good start. In those days, considerable newspaper and magazine space was devoted to radio, and radio reviews were as widespread as are those of plays and films today. This was Hobe Morrison’s Variety coverage:\n\n**Bright Horizon**\n**Serial**\nWith Joseph Julian, Alice Frost, Santos Ortega, Sid Slon, Chester Stratton, Marjorie Anderson, John Gart.\n15 Mins.\nLever Bros.\nMon–Fri., 11:30 A.M.\n(Young & Rubicam)\n\nLever Bros. appears to have a lively bet in this show, based on the Michael West character formerly part of the Big Sister series. Format of the show is a change from standard serials, while the West character is unusual and meaty. Because the story is obviously going to get a completely new slant so as to steer it away from the Big Sister plot, it’s difficult to predict how good the yarn may be, but on the basis of Monday’s (25) debut, Bright Horizon has definite prospects.\n\nFull title of the program is Bright Horizon, the Story of Michael West. Takes the form of a first-person narrative by the hero, a soft-hearted idealistic guy beneath the surface of hard-bitten disillusionment. Narrative fades quickly into dramatization, but cuts back for brief first-person narration to afford scene changes. Most of the initial episode was flashback to familiarize the listeners with the story’s characters, situation and background. It was neatly telescoped, however, thereby quickly preparing to cut loose from its Big Sister source and embark on a story line of its own. Characters, all but Michael, apparently slated to fade from future scripts, are sharp, particularly the hero. Dialogue is good.\n\nProduction, direction and performance on the opener were\n\nexcellent. Pacing and mood were nicely handled. Joseph Julian had the proper blend of bitterness and romantic softness as the hero, while Alice Frost was expressive and authoritative as Ruth Wayne, the title part of Big Sister, and set to fade from Horizon pronto. Santos Ortega, Sidney Slon and Chester Stratton were also convincing in supporting roles. John Gart’s organ bridges and cues were notably helpful.\n\nBalancing the presence of a man as the central character, Marjorie Anderson, instead of a male announcer, reads the intros and commercials. It’s a welcome variation, besides which she handles the blurbs rather persuasively. Product on the regular 11:30 A.M. show is Swan Soap, while on the 2 P.M. repeat to the coast it’s Lipton’s tea.\n\nHobe.\n\nHaving my first lead in a radio series upped me considerably in my own esteem. But Bobby Gibson and his busy little manager tried to swipe some of my glory. Since I couldn’t sing, the producers hired this . . . this baritone, to be my singing voice when the occasion demanded. Naturally, to him the singing was more important than the acting; therefore, Michael West was played by Bobby Gibson the singer, not Joe Julian the actor. Every day the busy little manager would grab all the fan mail and answer requests for a photograph of Michael West by sending an autographed picture of his client.\n\nThe papers had some fun with it, too. Ben Kaplan, in his nationally syndicated column, “For the Love of Mike,” wrote:\n\nWhen Michael sings, a teardrop springs\nFrom optics feminine.\nWhen he emotes, each maiden notes\nThe melody within;\nBut in their bliss the hearers miss\nA most important fact:\n\nTwo not alike play role of \"Mike,\"\nOne sings and one does act.\n\nThe problem of who was really Michael West was resolved six months later: we were both fired, and replaced by Richard Kollmar, who could both sing and act.\n\nIt hurt. I tried to console myself that I was let go to save a salary, but I didn't believe myself. Actors don't accept reasons like that. They convince themselves they gave a terrible performance, that they lost whatever talent they had, that there is no hope and they will never work again. As I said, actors do not generally have strong egos. Mine shrank to nothing. I sulked, unable to bring myself to face other actors, or look for work. Having been to Olympus, how could I go back to making the rounds?\n\nMy misery was mitigated when one day I got a call for a running part on *The O'Neills*, a daily serial about a poor Irish family. But that didn't last long. After a few months I wound up in \"jail,\" an innocent victim of the melodramatic plot line—typical of *The O'Neills*—and a major reason it failed in its attempt to become the Irish counterpart of *The Goldbergs*, an enormously successful family story, which had been running since 1929, that is, for twelve years. But the Goldbergs couldn't be duplicated because there was no duplicate for Gertrude Berg, who wrote it and played the leading role of Molly. Gertrude was one of radio's jewels. A middle-aged housewife who had never written in her life, she decided she didn't have enough to do, with only a husband and growing children to take care of. She therefore conceived the idea for a serial about a poor Jewish family in New York, wrote a few episodes, and sent them to NBC. They bought it. And bought her as writer and star. It was not melodramatic, nor was it a typical soap opera of suffering virtue and *Sturm und Drang*, but rather a cozy comedy of small human foibles that nearly everyone could identify with. Gertrude Berg created one of the most famous characters in the history of radio—a Jewish mama who was not smothering or abrasive, but warm, sensitive, and amusing. With no professional background, she wrote and played with a perfect ear for the nuances of Jewish speech and character. Her \"Yoo hoo! Is anybody?\" as she called to her upstairs neighbor was but one of hundreds. And you didn't have to be Jewish to love Gertrude. With an audience of millions, she probably did more, five times a week for over two decades, to combat anti-Semitism than any individual in history.\n\nAt one time, after about eight or nine years, NBC decided *The Goldbergs* had been on the air long enough, and announced its cancellation. Outraged listeners howled their protest in a storm of letters. NBC bowed to *vox populi*.\n\nMuch of the nostalgia for old-time radio relates to the fun of being horrified by *Inner Sanctum*, *Lights Out*, and *The Shadow*. Or laughing, without guilt, at the ethnic humor of *Moran and Mack* (*The Two Black Crows*) and *Amos ’n’ Andy*; or crying along with the soap-opera queens; or giving your mind over to the wild science-fiction tales of *Dimension X* and *Two Thousand Plus*.\n\nThere were also interesting realistic dramas. Shows such as the *Lux Radio Theater*, directed and hosted by Cecil B. DeMille, featured movie stars in radio adaptations of famous motion pictures. *Cavalcade of America* presented weekly dramatizations of American history. Sponsored by Du Pont, the series paid $150 per script, for which they could get good authors such as the poet Norman Rosten and the playwright-to-be, Arthur Miller.\n\nBut some of us fondly remember radio for its richer cultural nourishment—for its achievements on the level of art. And there were quite a few. Many, if not most, were created by Norman Corwin.\n\nThere were early experimental programs like *The Columbia Workshop* and *Studio One*, where a few imaginative writers and directors like Irving Reis, William Robson, Marc Blitzstein, Earle McGill, and Charles Martin tried out new techniques with sometimes interesting results. But no one stretched radio’s horizons as did Norman Corwin.\n\nA newspaperman for the first ten years of his professional career, Corwin went to work for CBS in 1938 and quickly grasped the fundamentals of this new medium. Without any real apprenticeship or theater background, he began to write, produce, and direct radio shows. The technology of radio excited him, and he immediately began to explore its possibilities. He had an intuitive understanding of how to deal with performers (fragile creatures that we are), a love of words, a poetic thrust, an orderly mind, a scientific curiosity, a social conscience, a delightful sense of humor, and a soaring imagination—all reflected in his plays.\n\nHe pioneered new techniques in mixing sound effects and developed original production devices, while writing an astonishing number and variety of comedies and dramas that ranged from his charming fantasy *My Client Curley*—the story of a little boy who owned a caterpillar that could dance only to the tune of “Yes Sir, That’s My Baby”—to *On a Note of Triumph*, his eloquent and powerful punctuation to the climax of World War II; from *Mary and the Fairy*, a whimsical satire about a lonely lady stuffing her empty life with the dreams society thrusts upon her, to “We Hold These Truths,” a moving, poetic documentation of the evolution of the Bill of Rights.\n\nMany of Corwin's works had considerable social impact. \"We Hold These Truths,\" for instance, planted its statement in the ears of more people than any other single dramatic performance in history.\n\nIt was a special hour program, written at the request of the Office of Facts and Figures in Washington, to celebrate the 150th Anniversary of the Bill of Rights. Produced in Hollywood, on December 15, 1941, portions of it originated in New York and Washington. Bernard Hermann composed a special score for the dramatic sequences, conducting a symphony orchestra in the Hollywood studio, while Leopold Stokowski led the New York Philharmonic Orchestra from New York in the national anthem. The program was carried over all four major networks in prime time, and concluded with an address to the nation by Franklin D. Roosevelt. The Crossley reports (the main rating poll of the time) estimated the number of listeners at over sixty million! And what a cast: Lionel Barrymore, Edward Arnold, Walter Brennan, Bob Burns, Walter Huston, Marjorie Main, Edward G. Robinson, James Stewart, Rudy Vallee, Orson Welles and . . . the President of the United States.\n\nCorwin stimulated a number of other fine American writers to write for the medium. Archibald MacLeish developed *The Fall of the City*, a long, dramatic allegory about Hitler and man's lust to be enslaved. With Corwin's encouragement, Maxwell Anderson and Stephen Vincent Benét came up with several poetic dramas. Millard Lampell wrote a touching elegy for Abraham Lincoln, called *The Lonesome Train*. All of these were directed and given a special radio life by Corwin. But, with the exception of\n\nthe Lincoln funeral story, where music and the mournful train whistle played an important part, they would have been as effective read in a book or presented on a stage—as would have countless other presentations adapted from poems, dramas, short stories and novels.\n\nBut Corwin was pure radio. A word and sound man; a music and effects man, who conceived in those terms—abundantly. As Clifton Fadiman wrote:\n\nCorwin is so much the technician that he conducts public experiments with his medium, coaxes it to perform tricks, plays with it, treats it with the eager curiosity of a boy with his first chemical set. What is important about him, beyond his mastery of his medium, is that he has something to say, and a heart and a mind with which to say it. His masterpiece, “We Hold These Truths,” provides irrefutable evidence of his ability to manipulate actors, words, machines, and ether waves, so that the combination expresses clear, lofty, and inspiring thought.*\n\nCarl Van Doren wrote that, “Corwin was to radio what Marlowe was to the Elizabethan stage.” But in terms of sheer prolificacy, I know of no peer on his level of achievement. In 1941 he committed himself to the colossal task of writing, producing, and directing for twenty-six consecutive weeks a special CBS series, *Twenty-six by Corwin*, which won him an American Writer’s Congress Award. In a foreword to the published version, he wrote:\n\nEach of these plays was written against a deadline, and most of them within a week’s time. A schedule of this sort is dangerous and should be tried only once in the lifetime of a conscientious radiowright. I gave up all but a few distractions and placed a\n\n* From the Introduction to *More by Corwin: 16 Radio Dramas by Norman Corwin*. New York. Henry Holt & Co., 1944.\n\nstrict limit on working hours: never more than twenty-four in a day.\n\nHe also wrote production notes for these plays which provide an insight into his creative process: the hard work, the careful casting, the long experimentation to achieve precise effects.\n\nThe first of the twenty-six was \"The Odyssey of Runyon Jones,\" a fantasy about a little boy's search for his dog, Pootzy, who had died and been sent to Curgatory. On the way, he encountered Father Time, Mother Nature, her assistant Blossom, a Giant, and many other fantasy characters. Here are some of Corwin's notes on that production:\n\nCASTING:\nWithout a sensitive and versatile Runyon, you might as well all go home. He should be between nine and twelve, and sound earnest, purposeful, persistent. Don't, under any circumstances, employ a Runyon who sounds fresh or oversmart or whining. So many radio kids sound that way, although as a class they are better than the horrible Hollywood junior brigade.\n\nFather Time must, of course, be old to be credible. The character should justify the \"crackpot\" comment which is made later by the Chairman of the Board of Curgatory.\n\nMother Nature is a busy but not overbearing executive type: the efficient controller of all things natural; the kindly helper; the disciplinarian. M.N.'s assistant, Blossom, is a silly child.\n\nThe Giant is a stock giant. Arthur Vinton played him with humor and vitality, deepening an already deep voice, and rolling his speech in a wondrous way.\n\nACTING:\nEverybody whom Runyon meets in his travels treats him as an adult, never as a child. Nobody wastes sympathy, except perhaps the Superintendent, who is aware of the boy's unusual attachment to his dog. Father Time is too daft to care much; Mother Nature is accustomed to all kinds of strange petitions; the Giant has worries of his own; the personnel of Curgatory is polite but firm, always addressing the boy as \"Jones.\" None of the characters should be travestied.\n\n**SOUND:**\n\nThe only problem is that of the background for the Father Time sequence. I found that the best effect was achieved by slowing down a recording of a cuckoo clock. At normal speed this effect was a pleasant \"ding,\" followed by a cheerful \"cuckoo,\" but I reduced it to a speed so low that the ding became a tremendous and deep-chested \"BONG,\" and the optimistic chirrup of the cuckoo became a lugubrious two-note wail of a melancholy whistling buoy. This succeeded somehow in creating an effect of great space, of mysterious gyrations, of the weird inner workings of the solar system.\n\n**REHEARSAL ROUTINE:**\n\nThe chief production worries are the blending of sound, music, and speech in the Time Sequence and the interview between the Giant and Runyon. The former can best be accomplished by using a separate microphone for each element, being careful not to allow the background of sound to override speech. This scene will be soupy unless one works hard to maintain clear perspectives.\n\nIn the Giant scene, complete isolation is necessary if Runyon is to sound small and the Giant big. I placed Runyon in a dead booth * and reduced the level of his microphone on the control board, while the Giant had the whole studio to himself, and an echo chamber to boot.\n\n* A dead booth is a booth made of portable walls, which is set up within a studio to isolate an actor from sound or music. In effect, it serves as a studio-within-a-studio. A microphone placed within a booth is easily controlled by the engineer, so that the voice of the actor is not drowned out by heavy sound effects or music coming from the studio proper. The principle of the booth is an important one in production, and is almost indispensable in the handling of complicated setups.\n\nCorwin published these production notes for the guidance of directors of future productions, of which I am sure there have been very few—for the simple reason that, outside of the networks, not many stations have the staff, talent, or facilities for such productions. And if Corwin was thinking of the glorious future, well, the glorious future has arrived, and good radio drama is in the middle of a long death. The small but rich body of radio literature, which he brought so lovingly to life, lies languishing in a few libraries and second-hand book shops, under the titles *Thirteen By Corwin* and *More By Corwin*—a great shame and deprivation for the present generation!\n\nThe publicity surrounding the *Variety* articles had brought me to Corwin’s attention. It was the beginning of the most rewarding relationship of my career. He began casting me in bit parts in some of his “Twenty-six” series—including “The Odyssey of Runyon Jones.” The final scene of that play was, for me, one of radio’s wonderful moments. The bureaucrats of Curgatory had finally granted Jones permission to see his dog. We hear the ponderous footsteps of a guard (me) echoing down a long marble corridor, contrasting with the tiny, rapid steps of the boy. The suspense is heightened by continuing the footsteps an inordinate length of time. Finally they stop. The guard says, “Here we are. He’s right inside that door.” Runyon, barely able to control his voice, says, “He’s right inside there?” “Yes,” says the guard, “just open the door and walk right in.” There is a pause. “What’s the matter?” asks the guard. There is another silence, and the little boy asks, plaintively, “Do I look all right?” “Oh, yes, Mr. Jones,” the guard replies. We hear the sound of a doorknob turning and the beginning of a door opening—then a dissolve into music.\n\nI landed my first lead in a Corwin play in the summer of 1942, a segment of his monumental *This Is War* series, entitled, “To the Young.” A large percentage of his work now dealt with World War II and its issues, and *This Is War* was an umbrella title for a number of special hour programs carried simultaneously over all the networks. Some segments were written by various authors, but all were produced and directed by Corwin. This is how *Variety* reviewed “To the Young.”\n\n*This Is War* No. 11\n*With Joseph Julian*\nSaturday, 7 P.M.\nAll Networks\n\nOther chapters have been more cohesively knit as to framework, but “To the Young” proved as dynamic a document as anything that has preceded it on this series. It presented the case against the Nazi foe not through virulent name-calling, but through citations from factual data showing the depths of degradation into which Nazi child education and cultural life has sunk. It preached unity and faith in our allies by relating the heroic exploits of the British, Russians, and the Chinese. It piled into our own sixth column with a singeing scorn, quoting their undermining cant and at one point categorizing them with the crack, “There’s a crackpot market for anything that’s anti-sensible and anti-decent.”\n\nJoseph Julian . . . was posed as a young member of our armed forces who meets a Cockney flier, a Russian guerilla, a German soldier who, once a member of his country’s underground movement had, when the opportunity offered, deserted to the Soviet side, and a young, college-bred woman\n\nfrom the Chinese auxiliary forces. He learns in his travels that the \"cranks and some editors\" at home have been lying to him about the Reds, that there is a method to their stirring up of anti-British sentiment and that the accent is not only on youth but on victory.\n\nJohnny Green's was a competent bit of scoring.\n\nOdec.\n\nIn those days, such strongly political programs did not bring down the wrath of the FCC on the networks, or a clamor for equal time by \"responsible opposing views,\" as it would today, because on the war issue there was no real gap either between the major political parties or between government and the people.\n\nBy this time most Americans had committed their hearts and muscle to the war against Hitler, and sentiment was growing for the United States to open a second front in Europe to relieve the pressure on England, whose cities were being blasted day and night.\n\nThere was scarcely a factory in Detroit that was not turning out something for England. And in California the air was so heavy with war planes being tested near aircraft factories, and causing such unrelenting noise, that Hollywood studios had to rewrite scripts to eliminate outdoor shooting locations. With the exception of fringe groups, Americans supported decisions to send these massive supplies, because intuitively they understood that the war was pro-humanity and that Britain was fighting our battle, too.\n\nLanding the lead in \"To The Young\" was a fateful bit of casting for me. My performance of a soldier going off to war would be directly responsible for plunking me down in the midst of a real war only two weeks later.\n\nIn the middle of July, 1942, I received a call from Paul\n\nWhite, head of CBS News. Would I be interested in flying to London within the next few days to play the lead in a special six-week series called *An American in England* that Norman Corwin was doing from the BBC, a series that was to be shortwaved back to America? Apparently Corwin, who was already in London, had intended to use Burgess Meredith as the star, but there had been some last-minute trouble getting the army to release him. Remembering my *To the Young* performance, Corwin cabled CBS to fly me over.\n\nWould I be interested? I practically flew over to CBS to sign the contract. It didn’t even occur to me to bargain over my fee; the paper they pushed at me stated: “We will pay you the sum of Two Hundred and Fifty Dollars per program on which you render your services.” Out of that I had to pay my own living expenses. For starring in an important, international Corwin series to be heard throughout the British Isles and America, the salary had to be an all-time low. I’ve always been a soft-nosed businessman; the hot, tumbling visions of a trip to England at war must have softened my brain, too. I signed.\n\nCBS expeditiously arranged my passport and papers, and three days later I was on a train speeding toward the Canadian border. In my pocket was a sealed envelope of instructions, not to be opened until I arrived in Montreal. All I was told was that I would be flying the Atlantic in one of the bombers being ferried from American factories to the Royal Air Force in England; and the time and place of the departures were highly secret.\n\nAs the train ploughed through the night, my thoughts and feelings came fast and furious: I had never flown the\n\nAtlantic before—in fact, very few other people had. I had never been to England, and here I was on my way to an England that was being blasted into rubble. War—till then an abstraction—was about to become a reality. And, professionally, new horizons were opening for me: soon I would be performing in most living rooms of the United States and the British Isles. Before I had left New York, there had already been considerable publicity about Corwin having selected me for this choice assignment.\n\nI played games to calm myself. An actor’s self-hypnosis. “I’m going on a weekend pleasure trip; I’ll be back Sunday night.” The pitch blackness outside the train window was suddenly shattered by a concentration of thousands of lights: a defense plant night shift, working full blast. Reality. This was no weekend pleasure trip. I was on my way to a close-up of history and horror.\n\nJottings from my journal:\n\nJuly 23, 1942: Montreal! A busy, bustling city. Oldness and war in the air. A mélange of accents and uniforms. I’ve become a foreigner. Streets dense with RAF fliers snapping salutes at passing superiors. Opened my sealed orders. There was a phone number to call and identify myself as 537. Male voice told me to wait there. Within fifteen minutes a limousine picked me up and drove me to the airport, where I was fitted with an oxygen mask, parachute, and shown a film about what to do if the pilot has to “ditch” in the ocean. It brought out the coward in me! Can such things happen? We’re to leave at 9:30 in the morning.\n\nJuly 24, 1942: Flight cancelled. Bad weather. Prospect of another day of nail-gnawing too much. Saw movie tonight: *This Above All*, about the bombing of London. Shocked into realization I’m on my way to all that. Hope we’re not cancelled tomorrow. Corwin must be terribly worried. This is Friday, the\n\nseries starts Monday! And I haven’t rehearsed, or even seen the script!\n\nJuly 25: We’ve been in the air ten minutes. Can’t take my nose from the window. Five other passengers dozing or reading. Amazed at their relaxation. Only at takeoff was there a surge of feeling. Spontaneously, everyone looked at everyone, grinned, and gave “thumbs up.” Maybe they’re at ease because this is only the overland part of the flight. Must be climbing, I’m getting cold. Just had a shock. Three corks shot up at me from thermos bottles. [There was no pressurization in those days.] We’ve hit a rain and hail storm. Everyone is nervously fingering the straps of his parachute. They all yell, “Sit down!” as a young Frenchman stands up to stretch and touches the defroster pipe that runs along the ceiling. Seems “icing up” is feared most by pilots on this run.\n\nJust landed at Gander, Newfoundland airport, biggest in the world. Carved smack out of the wilderness. A wilderness of lakes kept apart by crazy strips of land for hundreds of miles. Three administrations here. Royal Canadian Air Force, American Air Force, and the British Ferry Command. Anti-aircraft guns bristling everywhere. Terrific traffic. In the two hours we waited, fifteen planes took off for the British Isles. Could mean a staggering number of deliveries over a period of time. We’re all given warm, fleece, flying suits and boots. They tell us it’s extremely cold over the North Atlantic. We take off at 6:15 P.M. and at 6:30 we’re leaving the coast. At last over the ocean. Everybody takes off his parachute. I’m astounded. I ask why? A Royal Air Force officer tells me, “If we go down over the drink, old boy, it’s not going to do you a bloody bit of good.” They all laughed when I told them I felt better with it on, and that I hoped there would be no occasion for me to have the last laugh.\n\nThere’s courage in everyone’s eye. Mine, too, much to my surprise. Maybe in a tight little group like this, exposed to danger,\n\neverybody's courage gets all mixed up and you draw what you need from the common lot. The second pilot just assigned us our rubber life boats and \"Mae Wests\"—\"just in case.\" We all laughed and jerked \"thumbs up.\"\n\nInto the night. I play games again. I'm Lindbergh crossing the Atlantic in *The Spirit of St. Louis*. Looking out of my small window at the shining heavenly bodies in the moonlit vastness, I feel a point-in-space loneliness that he and all the first ocean flyers must have known—a sense of danger, diluted by an exalting awareness of the infinite. It's hard to sustain a mystical experience with the plane rattling as if it's coming apart and the roar of four propeller engines in your ears. And these bucket seats aren't designed for comfort. Maybe if I stretch out on the floor I can catch some sleep. My thick flying suit and parachute should soften it a little. . . . I tried and failed. Even heavier vibration there.\n\nWe're flying against the night, and like two trains passing we're suddenly in the clear of another day.\n\nA few more hours and the rocky isles of southern Ireland miraculously appear. Flight engineer calls out, \"Another hour and a half till we put down in Scotland.\" I'm Lindbergh again, joyously sighting land!\n\nEven flying at 10,000 feet over Ireland you understand why an Irishman can't speak of his county without rhapsodizing. Never have I seen such a lush green panorama.\n\nHad a sudden sick feeling that we were fast descending to an emergency landing on a farm. Not until we touched down did I realize it was Presswick Airport in Scotland. Amazingly camouflaged! Terraced to look like the surrounding farm acres. Buildings and hangers all nestled under the foliage of clusters of trees or in haystacks. Planes landing and taking off every few minutes. The smell of war is getting stronger. As we climbed out of the belly of our Liberator, a small electric baggage truck,\n\nmanned—rather womanned—by three overall-clad, grimy-faced young girls, drove up. They started slinging the heavy suitcases around like longshoremen. My first contact with the British people at war.\n\nThe flight took only twenty-three hours!\n\nWent into the airport restaurant and blithely ordered ham and eggs. The waitress laughed. She thought my casualness part of my little joke. It suddenly hit me. Food is severely rationed here. I laughed with the waitress, pretending I had intended the joke. But when she asked if I’d take tea or coffee and I said tea, and from force of habit added, “with lemon, please,” she really got sore. “Look ’ere mister,” she said, “we ain’t seen a lemon for three years. So don’t go gettin’ funny about it!”\n\nThe half crowns, shillings, pennies and ha’pennies I had been given confused me, and while trying to figure which coins would cover my check, I apologized to the cashier for holding up the line. I told her, “I’m sorry, I’m not used to English money.” She sizzled and sharply replied, “In Scotland, sir-r-r, we dunnae call it English money, we say Br-r-r-ritish money!”\n\nA special little two-seater had been sent up to fly me down to London. I was more frightened on that short trip than during the ocean crossing. The pilot seemed to be playing his own game of how close can he come to the tree tops. I think he missed one by a sixteenth of an inch.\n\nJuly 26: Arrived London. Exhausted. Called Corwin to reassure him I’d be at rehearsal tomorrow. He was enormously relieved. Driven to Savoy Hotel. Strange—creeping along without headlights through totally blacked-out city. Flopped in bed. Slept for fifteen hours solid.\n\nMonday, July 27: Learned I had slept through two alerts. Took cab to BBC Studios. Saw many ruins on the way. Everything still has an air of unreality. Maybe because I came so quickly from untouched America. I feel as if I’m the only real character moving through some monumental fiction.\n\nBroadcast House—my destination. A little, round building at the end of Regent Street. This couldn’t be the headquarters of the renowned BBC? Looked more like a pill box on the Maginot line. Ah, but wait. Enter and you go down, down, down till you come to the studios, large and small, snugly secure as an air-raid shelter, safe from all but a direct hit.\n\nHappily greeted by Corwin and Ed Murrow, chief of CBS European Bureau, who is acting as producer of the series.\n\nThis is the first such expedition in radio history—a live dramatic series originating abroad, to promote good will between two countries by sending back the story of how the common people of Britain are bearing up under three years of war. The program is costly and risky, and CBS is showing great courage in undertaking it.\n\nA lot of controlled excitement in the air. Corwin spent a lot of time on the phone with New York, testing sound effects. Since this is a pioneering project, there is no other way of knowing how certain effects will survive the shortwave crackle.\n\nI was given my script to study. I am to play Norman Corwin, who is the real “American in England”—the program being about his first impressions of England at war.\n\nThe sixty-two piece Royal Air Force Orchestra was rehearsing an original score, composed by a sensitive, curly-haired smiling young man stalking about the studio, named Benjamin Britten. A CBS secretary told me she had trouble mailing him his fee. It was returned because he’d been forced out of his furnished room for not being able to pay his rent. [Just recalled I borrowed a book from him—thirty-two years ago! Must remember to return it sometime.]\n\nWhile we were putting the show together, there was an air raid. A long alert. Around midnight, still no all-clear. The show was to go on at 4 A.M., so it could be heard at 10 P.M. in New York. We were given orders to move the entire production to a\n\nBBC emergency studio. More than a hundred of us were involved—musicians, actors, technicians. [Some contrast with the one- or two-man talk shows typical of today's radio programming.] We all piled into cars and cabs, and somehow made our way through the blackout to the barnlike BBC studios at Maida Vale on the outskirts of London. These were the latest emergency studios, improvised after a couple of others had been bombed out.\n\nRehearsals honed the show to a sharp edge of readiness as 4 A.M. approached.\n\nThe opening words of the show were: \"Hello? . . . Hello? What's the matter with this line?\" I, the American of the title, presumably in New York making a reservation for my flight to London, was having difficulty with the phone connection. Corwin deliberately used this as an ear-catching device, on the theory that nothing rivets an audience's attention like something gone wrong. Great tension. Most of America listening—everyone in the radio world. Friends tuned in—to find out if I had landed safely.\n\nFinally went on the air. Everything clicked. Everybody happy. Mutual congratulations. A studio full of exhausted satisfaction.\n\nA good night's sleep. Phoned Corwin to find out if there were reports from America. There were, indeed! He and Ed Murrow had taken a little walk after the broadcast. Murrow had not wanted to tell him in front of the British, but he had learned that when the CBS engineers in New York heard me say the opening words, \"Hello? . . . Hello? . . . What's the matter with this line?\" they thought the simulated disconnection was real—that something had actually gone wrong. So, they pulled their plugs, and put on a stand-by orchestra. America never heard that broadcast. The ear-catching device was too real. We were dismayed. But it gave Corwin an extra week to write the second script, and me some time to explore this bustling em-battled city.\n\nJuly 29: Beautiful moonlit night. Long walk in the deserted streets. Moonglow on roofs of blacked-out buildings give them an eerie quality. London is like a gigantic ghost town—an abandoned city. Five minutes after return to hotel, gunfire! My first. Going downstairs!\n\nSirens sounded. An alert. Firing was the “ack-ack.” There were many people in the lobby, in their pajamas and robes, waiting for the all-clear. As I returned to my room some of the flaming flack from the anti-aircraft shells was floating past my window. For the first time, I have a personal sense of danger here.\n\nMy phone just rang. A polite, male voice: “Would you mind drawing your curtains properly, please?” About a three-inch sliver of light was showing.\n\nHeard explosions I was sure were bombs. The hotel shook. My heart was pounding. Learned they were ordinary anti-aircraft guns, but located close by. There had been a long lull in the saturation bombing that had devastated so much of the city, and people were fearful something new was about to happen.\n\nJuly 30: 2 A.M.: Sat on the stone steps of Trafalgar Square, arms around my knees, looking up. Another moonlit night that cancels the blackout. Barrage balloons hanging in the sky. Can’t understand their function. Do they carry nets to snare enemy planes? Seems to me bombers needn’t come that low, and if they do they’re spaced far enough apart to go through easily. I asked a young Canadian soldier what he thought they were good for. “Why, don’t you know?” he said. “They hold the island up.” Siren screamed an alert. Huge flashes in the sky synchronize with the boom of anti-aircraft guns. A young Tommy explains that a few Nazi planes come over every night about this time. They’ve dropped their bombs on the Midland factories, and on their way home, fly over London, just to start the alerts, wake the people up—keep them from getting their proper sleep. Which, I suppose, can be translated into a military value.\n\nCorwin asked me to do a little research for him by accompanying a typical English working-class woman on her daily marketing. Mrs. Bave, a cleaning woman, took some pride in the fact that her neighborhood was mostly made up of cleaning women. \"A lot of them even clean at the Ministry,\" she boasted. Her boy had left to be inducted that morning. When I asked her how she felt about it, she said, \"I believe in patriotism and all that, but when 'e's your own boy . . . I believe in patriotism, but—\" I noticed a plot of about twenty small vegetable gardens in the courtyard of her apartment house. I asked Mrs. Bave if she raised some of her own vegetables there. \"We started to,\" she said, \"but my 'usband, 'e wants to plant seeds one day and see them up the next. Besides, 'e's so busy at the factory 'e doesn't 'ave the time. So we gave our allotment to someone who would make better use of it.\"\n\nWe walked a few \"turnings\" to the grocers—like an average neighborhood grocery in America—except you feel they don't sell things, they apportion them. Much time is taken up discussing how many ration coupons should be cut from which book, etc. Each customer usually shops for several people, and so carries several ration books. A wrinkled old woman, with a shawl over her head, held up her own dirty paper bag for her allowance of two eggs. She had brought it to save the grocer's paper. The grocer addressed them all, \"We only got fifty-three eggs this week—some bad ones.\" Everyone reacted to this. Much worried chatter. \"I hope that includes my five\"; \"I didn't get my three last week\"; etc.\n\nGROCER: Boy gone, Mrs. Bave?\n\nMRS. BAVE: Yes.\n\nGROCER: Expect 'e'll be 'appier, 'e will.\n\nMRS. BAVE: Yes.\n\nAugust 12: Been here over two weeks now. Beginning to penetrate the shell of strangeness and see the English character, traditionally at its best in adversity. Their stiff upper lipism is frequently mocked, but there is something so real and rocklike at its core that nine months of daily blitz couldn't shatter it, and\n\nyou can’t imagine anything that would. The first attacks sent them reeling, but they recovered their national manners and counterattacked with a barrage of courage, wit, and contempt that wrecked Hitler’s plan for systematically softening them up. He could have softened them more by leaving them alone. I have heard many stories of their behavior during air raids that could only be told of Englishmen. For example: A man in charge of a Civil Defense Depot told me how, in the middle of a bad one, he was at his desk answering requests for ambulances on the phone, when a thousand-pound bomb exploded nearby. It blew in the walls of his office and his desk collapsed on his lap. He and his young secretary were stunned—then looked at each other. She broke the silence. “Would you like a cup of tea, sir?” she asked. And she wasn’t trying to be funny. She climbed over the rubble and in a few minutes returned with a pot of hot tea. He hadn’t the slightest idea where she got it.\n\nA popular expression when a bomb explodes close by is: “Quiet, beast!” out of the corner of the mouth. Women make dresses from the silk of parachutes the Nazis use to float down land mines (so they don’t dig deep holes in the ground before exploding)—a good symbol of how Hitler’s plans keep backfiring. The English even make the ruins fight back. They turn some of them into water reservoirs for fire fighters, using the rubble to construct them. They’re marked by signs: “Sumps for Pumps.”\n\nAn Englishman in the Savoy lobby told me: “I wish I had some way of telling America this, because one day they’re going to get it, sure as hell. They don’t know a damn thing about blast. They think it’s just the explosion that does the damage. Blast! I’ve seen things you couldn’t believe caused by blast. I was out in one of the raids and I heard a terrific screaming in what was left of one apartment building. Right in the middle of a room half-blown away was a girl in her late twenties—stark naked except for one stocking and one shoe—screaming her lungs out. ‘What’s the matter with you?’ I said. ‘Isn’t it terrible?’ she\n\nsaid, and screamed again. 'Stop it now, stop it,' I said. It was getting on my nerves, that screaming, more than the bombing, and I slapped her twice across the face. 'You ought to be ashamed of yourself sitting around naked in a raid,' I said. She started crying. 'I wasn't naked,' she said, and took me into her bedroom. 'Look!' She pointed to what was left of the walls. The force of the blast had pulled off all her clothes, including a heavy coat, and projected every piece of them into the plaster of the walls and ceiling. I can tell you plenty of stories about blast. You're going to lose a lot of people in New York before you learn about blast. Little things about not only lying down, but keeping off your stomach by folding your hands underneath you. And keeping your mouth open—and putting a handkerchief or a piece of rubber between your teeth or you'll have them smashed. Many things. Blast is mysterious and dangerous.\"\n\nAn American flying instructor, as we went out to watch the sky during an alert: \"One thing the Germans have on the British. They use their searchlights effectively. You fly over the Ruhr industrial area and it's like daylight. They have a hell of a concentration of lights, and you just can't get out of it. We've lost a lot over there. But here over London, or anywhere here—they shoot a couple of beams at 'em, but it don't do a damn bit of good.\"\n\nA blimpish Englishman overheard in the Savoy Bar: \". . . so I said to this American, 'Tell me, frankly, what is your impression of English women?' And he said, 'In America we bury our dead.'\" His friend: \"That reminds me of the story about the American soldier who was arrested here after a raid for raping a dead woman in a bombed-out building. The judge asked him why he committed such a disgusting crime. 'Plenty of girls around Piccadilly Circus, if that's the sort of thing you want, why must you rape a dead woman in a bombed-out building?' 'Dead?' the soldier exclaimed, 'I thought she was just English!'\" They both laughed as only upper-class Englishmen\n\ncan, and the first one said, \"And they say we English cawn't tell jokes on ourselves!\"\n\nI auditioned English actors for Corwin. Quite a number were used in the series. My debut as a casting director. No job for me. I empathize too much. Felt terrible when I had to reject an actor. Especially well-known ones whom I had seen do fine work in films, but who couldn't adjust to microphone technique.\n\nAfter the first week's mishap, the shows all went well. Reports from America were enthusiastic. *Variety* and other media reviews were raves. Here is Landry's comment in *Variety*, dated August 5, 1942:\n\n**An American in England**\n*With Joseph Julian*\n30 Minutes.\nMonday, 10 P.M.\nWABC-CBS, New York\n\nNorman Corwin's series after a complete failure the week before had a practically complete success Monday night (3) when the reception was remarkably satisfactory. Moreover, he actually succeeded at one point in deliberately burlesquing short-wave on shortwave transmission, mingling sound effects and assorted blended tidbits of English music and getting the whole thing through to American radio listeners. . . .\n\nWhile some might consider fewer \"yeas\" and \"huhhs\" necessary to round out the typical American, on the whole Corwin took his imaginary Yank across the Atlantic on a clipper and through to London in a style that was poignant, believable, and rich in clear mental pictures. It should add up to a net contribution to British-American understanding.\n\nHimself a first visitor to England it is likely that Corwin has come remarkably close to epitomizing the mixed sentiments\n\nand impressions of the average American who finds the tight little island a bit strange but likeable. The script was dotted with interesting sidelights, just the sort of detail tourists always are interested in and struck by. The kind of food you can’t get, the kind of delays you face, the patience needed to contract for a taxicab, compared to which Washington cab service is a model of alacrity. By adding up the details, wholly without melodrama, a panorama of war came through. The waste and heartache and the bravery and horror became clearer.\n\nMusically the program had a 50 piece RAF symphony orchestra. That was unnecessary as a small unit would have sufficed and shortwave transmission is not the ideal medium for big orchestras. Joseph Julian, who followed Corwin to England to enact the narrator role, proved an excellent choice, his versatile reading being from both the brain and heart. Contrived wholly in the first person present tense, the script was masterful in achieving an even, unjerky unfoldment. Various English voices were brought in and out, some just for action and color, one or two to talk about the war. The soliloquizing was especially adroit in allowing the tourist to first mention and then have enacted the typical American misconceptions of English character, the silly ass lord, the variety hall cockney singer. Amusing, too, was Corwin’s use of the quaint conceit which appeals to Americans, namely that the BBC would remain impeccably itself if announcing one evening on the 11 P.M. newscast that the world had come to an end but the Government was, for the moment, withholding comment.\n\nCorwin continues to discharge difficult tasks of rare tact, feeling and imagination with great artistry.\n\nJohn K. Hutchens, writing in the New York Sunday Times on August 16, 1942:\n\n... An American in England finds Mr. Corwin once more writing with a poet’s vision, a good reporter’s clarity and a technician’s precise knowledge of his craft—three attributes that have made him preeminent in radio literature. Now he is part story-teller, part travel writer, looking at a friendly, foreign\n\nland with inquiring gaze and understanding heart, speaking through a narrator who is presumably any young American visiting England for the first time and bringing with him certain preconceived notions but a willingness to learn. The narrator, Joseph Julian, tells the tale in prose, but frequently the effect is of poetry; for even when he is in a more or less realistic vein, Mr. Corwin writes in phrases that lift the heart . . . Everything is done in little touches, but the cumulative effect is profoundly stirring. . . . Mr. Corwin honors the good, average, unspectacular people by writing of them quietly, warmly, personally, with the intimacy and detail of a good travel letter that catches not only the moment but the vast implications behind it. This is a distinguished program by an artist, major work in a minor key.\n\nEach weekly show had a different title and theme. \"London by Clipper\" described Corwin's flight over and his first impressions of embattled London. \"London to Dover\" was the second of the series, and dealt with his various small encounters with the people of those communities. \"Women at War\" was about just that. It conveyed how much of Britain's resistance was due to her effective use of woman power in factories and wherever a job was left open by a man who had joined the Armed Forces. Other titles were \"The Anglo-American Angle,\" which stressed our common interests, and \"Cromer\"—which is the name of a town. The first page of the Cromer script looked like this:\n\nSTUDIO ANNOUNCER: Cromer is a town on the east coast of England, and this is a program about it. The program has to do with bombs and a postmaster and a rescue squad and an old church and a Spitfire and several other matters, and it takes a half hour.\n\nMUSIC: Quiet introductory theme, sustaining behind:\n\nNARRATOR: A town is like a person. It has a character, a complexion, and a name. It has a set of habits. It's hardworking or lazy, rich or poor, handsome or ugly. Some towns never amount to much; some get sick and die; some grow big and powerful and lead their race.\n\nBut all towns, be they so great they call themselves metropolises or so small you'd miss them if you winked while driving through—all towns have this in common; they are mortal. They know seasons and the way of winds, each taking its share of sun and moon and standing up to storm. And they are mortal also in the respect of violence and death. For war may come to any and to all of them.\n\nTroy was a town.\nSo was Jericho.\nLidice was a town.\nLikewise Our Lady the Queen of the Angels of Porciuncula, later to be known as Los Angeles.\n\nAnd Cromer was a town and is a town, and you'll find it on a map of the east coast of England, in the ancient division of the country called East Anglia, facing the North Sea—facing Germany.\n\nAnd then listeners were introduced to the residents of Cromer, Corwin's thoughts about them, and their thoughts about themselves.\n\nThe *American in England* series, although highly praised, did not break any rating records in the United States. It was aired opposite Bob Hope. What was more, he didn't have to buck transatlantic static.\n\nThe British radio people were enormously impressed with Corwin, not only for his warm appreciation of their country's war effort, but because his sharp, clean writing and production techniques were a revelation to \"Old Aunty,\" as the government-run, somewhat stodgy BBC was sometimes referred to by Britons.\n\nBut there was nothing stodgy about its wartime function of alleviating the despair of millions, secretly huddled around clandestine receiving sets in the Axis-subjugated countries of Europe. Around the clock, and in dozens of languages, it poured out messages of hope and news that could be relied upon. The BBC became a shining monument of truth, to allies and enemies alike.\n\nVal Gielgud, the brother of Sir John, and the then head of the BBC Dramatic division, invited me to star in a radio version of the American play, *They Knew What They Wanted*, by Sidney Howard. I had plenty of time for it since Corwin’s shows were a week apart, and I was only needed for two days of rehearsal. My co-star was the lovely Constance Cummings, a fine American actress who had married the British playwright Ben Levy. It was a gratifying engagement—for a reason I shall explain later.\n\nIt has been said that an actor is a sculptor in snow. Throughout the six weeks of the *An American in England* series, I tried to think of myself as a sculptor in better relations between Britain and America. Each Monday at 4 A.M., as I approached the microphone in the bombproof, subterranean studio of the BBC, I had no thought of playing a part, of getting inside a character, of doing an acting job. Just before the “on the air” sign lit up, I’d have a quick little talk with myself that went something like this:\n\nWell, Julian, about 10,000,000 Americans are listening, go ahead now, talk to them. Tell them what you’ve seen with your own eyes. Tell your country what it’s like under the Nazi guns. Help them understand the British people and the urgency of the war. Tell them what it’s like—but borrow Corwin’s words to do it.\n\nCame the downbeat for the sixty-two musicians—a cue to me—and I “borrowed” Corwin’s words.\n\nIdentifying with his words came easily. Although he dramatized his experiences and observations, we were both “Americans in England.” For the most part, we went to the same places, and saw similar things to which we reacted in pretty much the same way. His scripts were largely documentation of my own impressions. I have never had an acting job where the author’s frame of reference so closely coincided with my own. In fact, one of my own experiences almost wound up as a scene in one of the shows.\n\nStrolling around blacked-out Piccadilly Circus one evening, I struck up a conversation with a young black American GI, and what he told me so touched and pained me that when I left him I hurried back to the hotel and wrote down our dialogue, almost verbatim:\n\nJ.J.: You American?\nGI: Yeah.\nJ.J.: So am I. Where you from?\nGI: Pittsburgh. Where you from?\nJ.J.: New York.\nGI: I worked there at the Savoy in Harlem for a while.\nJ.J.: I was up there just before I left.\nGI: (brightening) Yeah? Whose band was playin’?\nJ.J.: I forget.\nGI: They sent me first to Oklahoma an’ then back to Fort Dix. I gotta gal out in Brooklyn I went to see one night. I was a sergeant an’ they busted me for it.\nJ.J.: Why?\nGI: AWOL. See, she had a kid from me an’ I wanted to see both of ’em before I came over here. Didn’t know if I’d ever come\n\nback again so, I wanted to see 'em. I made out an allotment to her.\n\nJ.J.: That's tough, being busted for that.\nGI: I don't blame 'em. Gotta have rules in an army. I'm a corporal now.\n\nJ.J.: How do you like it here?\nGI: All right—'cept not many colored boys over here. Ya get lonesome sometimes.\n\nJ.J.: How do the English treat you?\nGI: Oh, hell, they treat ya fine. It's in the camp and around we get all the trouble and riots.\n\nJ.J.: You mean with American soldiers?\nGI: Yeah. We had three officers resign last week. They didn't want nuthin' ta do with us.\n\nJ.J.: White officers?\nGI: Yeah. Lotta them white boys still look at us like we ain't nuthin'—just ta shine their shoes. They walk away from me when I walk down the street. They go out when I come into a pub for a drink. They change their seats when I sit down in a movie. . . . [At that precise moment, two drunken American sailors staggered up to us. One of them plopped his arm on the corporal's shoulder and said, \"Hey, Darkie, we're broke. Could you let us have some change?\" Without a second's hesitation the corporal reached in his pocket, took out a half crown, and dropped it in the white sailor's hand. There was a pause, then he continued]: I have a friend came over here in 1936 with a band an' married an English girl. I was talkin' to them one day. He went across the street to get a paper, I stayed talkin' to his wife. Three white American soldiers came by, seen me talkin' to a white girl, an' they ripped her furpiece off an' tore it to pieces.\n\nJ.J.: Do you go into any of the American Service clubs here? Red Cross, and so forth?\n\nGI: I just keep by myself. I don't go lookin' for trouble no more. But sometimes when I drive a truck down from Birmingham where I'm stationed, I have to stay in London overnight, so I\n\ngot to a British soldier club an' they put me up. At the American clubs when they do give you a bed they make ya feel they don' wanna.\n\nJ.J.: How do most Negro soldiers feel about the war?\nGI: I think we feel it don' matter much what happens. We just know we have ta fight so we fight.\n\nJ.J.: But you feel much more comfortable in the company of English soldiers?\nGI: Sure, man. They drink with ya, they talk with ya. There ain't no difference with them. I'd like to stay here after the war. 'Cept the United States is still your home, an' ya have a feelin' ya wanna get back to your home no matter how bad things are there.\n\nJ.J.: Well, I hope it will work out. That's one thing this war is supposed to be about. So long, soldier, I have to run along.\n\nGI: Take it easy. An' if ya ever get up around Sheldon, Birmingham—that's where I'm stationed—stop in an' have some chow with us.\n\nJ.J.: Thanks, I will.\n\nI phoned Corwin in his room, told him of the dialogue I had just recorded. I said that I believed it important enough to incorporate in his next script. He immediately came down to the Savoy lobby, read it, and agreed with me that it simply and eloquently expressed the feelings of the average Negro with the American Expeditionary Forces in England, and should be reported to the people back home; he said however that Ed Murrow would have to approve it.\n\nI had, of course, known of Edward R. Murrow as a famous and courageous radio correspondent who had flown dangerous missions with the Air Force over Germany and was constantly putting his life on the line to bring CBS listeners accurate and vivid pictures of the\n\nlandscape of war. Every evening, along with millions of other Americans, I had ritually tuned in and thrilled to his cryptic opening line, \"This is London,\" followed by the news in measured words and aggressively mellow tones that plowed, undaunted, through the hostile shortwave atmospherics. It was not only his voice that hooked listeners. There was something special about this man, and people sensed it. I believe they basically responded to his great honesty and integrity. And his deceptively subdued manner concealed an enormous capacity for moral indignation—as I personally discovered on this, and a future occasion.\n\nThe next morning Corwin and I met in Murrow's office. I showed him my dialogue with the corporal. His eyes gleamed, he banged a fist in his palm, and said, \"Let's do it! Let's raise a little hell back home!\" I was greatly pleased at the prospect of contributing something extra to the series. As he poured us each a whiskey I had my first long look at this interesting man, with the inevitable cigarette dangling from his lips. I think my strongest impression was that of superbly controlled tension. In repose, his face had a brooding, Lincolnesque sadness that would quickly dissolve in the sudden flash of his warm smile.\n\nAlthough Murrow was a man of action and a fighter for what he believed in, I sensed an undertow of pessimism dragging at his spirit. As chief of CBS's European Bureau, he lived war day and night. When I asked him what he did to unwind, he gave me a rather surprising answer. \"I go back to the Greeks,\" he said. \"Right now I'm rereading Socrates and Plato. I always find something there to hang on to.\"\n\nIt struck me as strange that in the midst of the carnage and despite his commitment to the defeat of the Nazis, Murrow felt the need to search out support for his own personal faith. He showed me a snapshot of his small son. \"To take him fishing is more important than anything else,\" he said.\n\nThe next day he told us that he had had second thoughts about using my scene. He decided that this would be the wrong moment to \"raise a little hell back home,\" that a unified home front was more urgent at this time than stressing a divisive issue. Deferentially, I disagreed, and advanced a rather abstract argument about the military value of truth. But it was his honest conviction, and he was firm. He suggested I work the material up into an article for publication. \"But don't wait until you get home,\" he said, \"or you probably won't. Write it now while you have your full load of anger.\" I followed his advice. (A few months after I returned it was published in *The Nation*, under the title, \"Jim Crow Goes Abroad.\")*\n\nThe incident stimulated an urge to write something of my own for radio, and I began to make more notes on my experiences, intending to make something of them—I didn't know quite what—when I got back.\n\nWhile jotting in my notebook on the beach at Dover, I felt a sudden, heavy hand on my shoulder. I wheeled around and looked up into the face of a policeman, who politely demanded to know what the hell I was doing there, sketching the beach defenses. I showed him my papers and assured him I was with CBS radio and was\n\n* December 5, 1942.\n\nonly writing my impression of Dover’s famous white cliffs. “You better not do it around ’ere,” he said. “You’re libel to hear a loud suckin’ noise and find yourself in the clink.”\n\nDover was strictly off-limits to all but the armed forces and the native population, most of whom stubbornly refused to leave, and those with special permission. I had told Murrow of my desire to visit England’s most famous front-line town, and he had arranged it with the Ministry.\n\nThis incredible little community on the English Channel was only twenty-one miles from the enemy. On a clear day, with field glasses, you could see farmers working the land in France. This proximity, and the fact that it was one of Britain’s most important naval bases, meant that Dover saw more continuous military action than any other theater of World War II. Hardly a day passed without air raids, shelling, dog fights, ack-ack, convoy battles, motor torpedo boat attacks, or exploding mines. The waterfront bristled with barbed wire and anti-aircraft guns. The unhealthiest-looking seashore I ever saw.\n\nThe strongest impression of my day in Dover was of the quiet heroism of the residents.\n\nThe white chalk hills held, probably, the safest air-raid shelters in the world. A honeycomb of spacious, well-stocked tunnels, some more than three miles long, could accommodate the entire Dover population of 20,000. Those who were bombed out used them for homes, but most residents wouldn’t go into them during alerts. After living for three years in a constant state of alert, they developed a kind of therapeutic fatalism. I asked a Dover butcher if it wasn’t foolish having such splendid shelters and not using them. He answered: “Good Lord, man, do you know we have sometimes ten or twelve alerts in one day. Do you\n\nknow what that would mean if we went to the shelters each time? We wouldn’t get a bloody thing done. We must carry on our work under fire just as our soldiers do. They don’t leave their gun positions when they’re attacked.”\n\nI also talked to the postmaster of a demolished sub-station along the beach. An old man of eighty-one, he had gathered a few boards and built a little shed in the middle of the ruins where he continued his postal services. I asked why he didn’t continue his work from the safer main post office up toward the center of town. He shook his head vigorously:\n\nPOSTMASTER: No sir! See those five or six houses up the beach?\nJ.J.: Yes.\nPOSTMASTER: That was a solid row once—of about fifteen.\nJ.J.: Bombs?\nPOSTMASTER: Those empty spaces were shell hits. Well sir, several old women live in those houses. They’re between seventy-five and one hundred years old. One old gentleman is one hundred and two. They live on pensions. We’ve tried a hundred times to get them to move, but they just won’t budge. Now, they’re too old to walk up the hill to the main office. Somebody’s got to stay down here with a place they can come to every week to get their pension checks, and to give them their cup of hot chocolate.\n\nWhen I asked some Doverites why they hadn’t evacuated when the government asked them to, some answers were:\n\nMAN: I’ve been dive-bombed, high-bombed, machine-gunned, and our house was brought down around us by a shell, but we’re sticking it until we win, and then my wife and I are going on a jolly good holiday.\n\nWOMAN: This shelling isn’t nice but we can stick it.\n\nOLD WOMAN: I like this town. I won’t move away for no one. And I want to tell Mr. Hitler that if he steps on the bulldog’s tail—it’ll bite him.\n\nMany Americans mistake British imperturbability for coldness. They say they’re without real emotions. I confess to having been a bit shocked at first by what seemed their almost morbid custom of understatement. For instance, this snatch of conversation I had with a young Tommy:\n\nTOMMY: My aunt had a very nasty experience the other night.\n\nJ.J.: What happened?\n\nTOMMY: Jerry was over and dropped one on her house.\n\nJ.J.: A direct hit?\n\nTOMMY: Yes.\n\nJ.J.: Was she badly hurt?\n\nTOMMY: Blown to bits.\n\nAlmost like a grotesque vaudeville sketch. As was the seeming indifference of the Dover Air Raid Warden as he told me: “Yes, I was standin’ ’ere talkin’ to Joe, an’ came a crump and a smack an’ old Joe’s head was blown clean off an’ landed right at my feet.”\n\nSpeaking of vaudeville, my doubts about the British were resolved when I went in to see a show at the Hippodrome, Dover’s gallant little front-line theater that had carried on since the war began, come hell, Hitler, or high water.\n\nAs I entered, a strip-tease artist was doing her stuff. She had removed all her clothes and was coyly holding a loose black cloth in front of her, as she sang in a squeaky voice and with exaggerated naïveté:\n\nOnly a rose in my hair—\nNo pretty gown to see.\nBut you don’t seem to care.\nWhat do you see in me?\n\nBut I was fascinated more by the audience. Not a hoot, not a whistle, not a “Take it off!”—not a sound out of that packed house of English Tommies and Tars. It was like a church. At that point I was almost convinced English blood is diluted with ice water. Then, teasingly, the lady stepped down three steps into the audience. Slowly, deliberately, she took the rose from her hair and held it out to a soldier in the front row. Closer and closer she came—silence. Then a wee small voice in the back said, “Grab it!” The entire front row of men jumped from their seats and lunged at her, but, being an artist, she stepped nimbly aside and ran back to the safety of the stage. The legendary English “reserve” had finally succumbed to the impetus of that one tiny voice. My faith in the English was renewed.\n\nI stayed overnight in a tavern on the edge of a cliff overlooking the English Channel, run by a Mrs. Moore and her twelve-year-old daughter, June. The Battle of Britain had mainly been fought in the air directly above them. Mrs. Moore described some of what they lived through.\n\n“British pilots over the Continent, trying so desperately to get back home, would so strain their engines that they’d overheat and explode and fall all around our place. Many who just pancaked in crashed and died.”\n\nShe told me that the Nazis never bombed the tavern because it was a good landmark for their raiders. Little June became such an expert on the different types of aircraft that the Ministry of Defense would frequently telephone her and ask her to identify Nazi planes that crossed the Channel. She knew every plane the enemy had and could even tell them apart from the sound of their motors.\n\nThat evening I stood outside with June, on the highest point of the highest cliff, and for the first time saw Nazi guns in action as the quick, sharp flashes of their anti-aircraft fire stabbed the black night on the French side of the Channel. June was talking plane talk, trying to make me understand the meaning of wing measurement in relation to bomb load and how the displacement of the fuselage in certain kinds of craft was important in relation to... Suddenly she interrupted herself, looked at her watch, and let out a little cry.\n\n\"Oh, you must excuse me,\" she said. \"I do have to run. I'm late for the cinema. Errol Flynn is playing tonight in Captain Blood!\" And she ran off to the real excitement in her life.\n\nI left England on September 14, 1942, steeped in impressions, and with the deep conviction that under that British reserve were other great reserves, of physical and psychic strength, which would see these people through to victory.\n\nFlying home in a Pan American Clipper ship (the first transatlantic passenger service) was much more comfortable than the way I had come, cramped in the crude belly of a Liberator bomber. Most people don't know how luxurious those early flying boats were. Taking off and landing on water, they had many of the accommodations of today's flying hotels—double-decked, a cocktail lounge, and full-length beds that folded out if one wished to sleep. The flight took twenty-seven hours and was most pleasant—except for one constant irritant—the man in the seat next to me. Gray-haired, around fifty, he loved to talk. Especially did he love to tell jokes, and his supply was inexhaustible. He was a compulsive entertainer, totally insensitive to my hollow responses. My head was swirling with images of what I had seen and done in London, but he went on and on, even when I closed my eyes and pretended to fall asleep. There were moments when I wanted to scream, \"Goddammit, please, sir! Let me alone with my private thoughts!\" But I just couldn't bring myself to say that to the man. After all, it was Al Jolson.\n\nA soft bump and a long swish: we had landed in Flushing Bay, at LaGuardia Airport. Back to beautiful, unbombed New York. Reporters and photographers clustered around, and flashbulbs popped as we disembarked. Not only for Al Jolson, who had been entertaining American troops all over the British Isles; everyone on that plane was newsworthy, for flying the ocean in those days gave one automatic celebrity status. In fact, so few had done it that those who had were considered members of an elite, unorganized organization called The Short Snorters. The membership card was a dollar bill signed by one's fellow passengers. Why the title? When two members met anywhere in the world, at either's request, they were supposed to have a short snort (a quick drink) together. For a long time afterward I kept hoping I would run into the peripatetic Eleanor Roosevelt, so I could flash my dollar bill at her.\n\nThe day after my return, William Paley, president of CBS, invited me to his office to give him my personal impression of things in war-torn London. The latent reporter\n\nin me urged him to send me to Africa and other fronts with the newly invented portable \"wire\" recorder to record interviews with American soldiers. He promised to think about it.\n\nThe success of the *American in England* series, and the attendant publicity, greatly increased my prestige. It brought an invitation to read a poem at Carnegie Hall about artists who had died fighting Fascism (which was to get me in great trouble years later) and it also brought me a lot of work, which I sorely needed. For thanks to my great head for business, my London adventure had actually ended up costing me money.\n\nIn those days—1942 and 1943—the airwaves were saturated with dramas, and I began getting calls for most of them. Soon I was averaging twenty to twenty-five shows a month. To give you an idea of their variety, here's a list from my records of a typical month in 1943:\n\n*Joyce Jordon, Girl Interne*\n*Inner Sanctum*\n*Grantland Rice Sport Stories*\n*Mr. District Attorney*\n*Out of the Shadows*\n*Broadway Matinee*\n*Bulldog Drummond*\n*Community Chest drama*\n*Labor for Victory*\n*The Thin Man*\n*Famous Jury Trials*\n*Superman*\n*Reader's Digest*\n*Front Page Farrell*\n*True Story*\n*Chaplain Jim*\n*Gangbusters*\n\nCounterspy\nBelieve It or Not\nNew World a Comin’\nWords at War\nMen of the Sea\nStella Dallas\nThis Changing World\nCharlie Chan\nThe Goldbergs\nThe Deerslayer\nThe March of Time\n\nThere were also a number of programs on the air that purported to be non-fiction: *My True Story, True Life Stories, Aunt Jenny’s Real Life Stories*, etc. They weren’t. But they dealt with basic emotions and happy endings, and so were among the most popular shows on the air.\n\nThe *Radio Reader’s Digest*, a prime-time evening hour, was an exception. Each week it did relatively authentic dramatizations of real-life stories from the *Reader’s Digest*. One evening, however, there was a side plot no one bargained for. The scene was a hospital operating room. To feature the effect of the patient’s heart beating, the director had the sound effects man press a stethoscope against the actor’s heart, while holding the listening end very close to the microphone. The “thump, thump, thump” was most effective when integrated into the dialogue and story.\n\nAs the show signed off the air, the telephones at NBC began to ring. There were twenty-one calls, from twenty-one doctors, all over the United States, all urging the actor whose heartbeat was broadcast to rush immediately to a hospital. All twenty-one doctors had detected a malfunctioning heart. The actor heeded their advice. An electrocardiogram confirmed his condition; quite possibly his life had been saved by the twenty-one alert professionals. He was lucky they were tuned in. But then, with an audience of millions, there's always bound to be a doctor in the house.\n\nOne day in 1943, as I was leaving a CBS studio at 485 Madison Avenue after doing a show, who should be waiting for me in the lobby but Tom Ashwell.\n\nWhat had happened to the big job at WXYZ in Detroit? He explained that his creditors from the West Coast had finally caught up with him, and their continual harassment had made it impossible for him to continue. But he had big plans and a number of offers in New York, including one to develop and produce a soap opera. For the moment, however, he was slightly strapped, and could I let him have ten dollars?\n\nHe asked for it without seeming to beg or demean himself, oblivious to the wrenching he had given my life eight years before. Within five minutes he had practically convinced me that losing his job as program manager of WXYZ had been another fast step up the ladder of success. Well, he had once said he would make it by being different. I gave him the ten bucks and wished him well.\n\nAfter his return from England late in 1942, Norman Corwin had continued to concern himself almost exclusively with the war, and he continued to cast me in most of his shows. One, *El Capitan and the Corporal*, I fondly remember because of a special effect achieved during rehearsal. I played a soldier who falls in love with a girl on the train carrying him to war. The romance became urgent\n\nbecause he didn’t know when, if ever, he would return. Katherine Locke (who later became Mrs. Corwin) played the girl. There was one scene that depended largely on sound effects—when the train had a short stop at a station and the soldier and the girl got out and somehow drifted away from the right track. There was much frantic running up and down stairs to different platform levels, calling out each other’s name, as the train was about to leave. Two sound men—one with high heels—running in place on a concrete slab—didn’t paint the precise sound picture Corwin wanted. We were in the basement studio of the CBS annex on 53rd Street, and just outside the door were stairs leading to the upper floors. Corwin decided to make them work for us. He placed low microphones on the steps, and others on several floor landings. This is how the scene played: I was narrating the story at a standing microphone in the studio. When I came to this scene I was given a hand mike by a little man, who (as I continued to read) guided me by the elbow out the studio door to the foot of the stairs. There, I gave him back the hand mike, which left me free to run up the stairs, calling out to Katherine who was on an upper level. She called out to me as she ran down the stairs. We both ran up and down several times, adlibbing, “Where are you?” “Here I am!” “Where’s the train?” etc. The strategically placed mikes picked up our voices and authentic footsteps in proper perspective and made the action vividly clear to listeners. As the story returned to narration, I was again given the small hand mike, and as I spoke, reading from the script, was carefully led back into the studio, where I switched over again to the standing microphone. A lot of trouble for an effect that\n\nonly lasted a few minutes? No question; but that's one of the reasons Corwin had no peer in radio.\n\nHe also had few in the fine low art of punning. A man of words, he loved to play with them, and occasionally got off a really good one. Once, during a rehearsal, I asked to be excused to go to the men's room. \"Of course,\" Corwin said. \"I always insist that my actors mind their pees and cues.\"\n\nA double-barreled masterpiece.\n\nAlthough I was kept busy on a great variety of dramas, a restlessness set in. The strong meat of my adventures in England made Nick Carter, Master Detective seem mightily irrelevant. The problems of Our Gal Sunday (Can a coal miner's daughter find happiness married to England's richest lord?) reminded me of the real problems of the London population facing instant extinction from the devastating buzz-bomb attacks Hitler had just launched. My memories of the heroic people of Dover wouldn't quiet down, and the notes I made of my day there kept bothering me to organize them into some kind of statement. Finally I did. I wrote and narrated a half hour documentary called Dover Diary. The American Broadcasting Company produced it over their Blue Radio Network on July 10, 1943.\n\nRadio was an especially congenial medium for documentaries. Its flexibility allowed for rapid transitions and quick statements. Time could be telescoped by a montage of sounds; cold statistics conveyed by an actor projecting his voice dispassionately with equal emphasis on all syllables. Figures could be \"billboarded\" or underlined by putting an exclamation mark in the voice—the vocal equivalent of printing.\n\nA great many documentaries were produced during radio's vigorous years, mostly by the networks, in non-commercial hours, set aside under federal law for public-service programming. During the war years, the Office of War Information (OWI) also produced a great many which were beamed abroad as propaganda.\n\n7. If Memory Serves...\n\nSince I was now earning my living entirely from radio, I decided I owed it my best efforts. Instead of complaining about how it spoiled good actors I tried to bring to it an additional dimension.\n\nFrom time to time I had experimented with learning my lines, wherever possible within radio's short rehearsal periods. During my stay in London I had been invited by the BBC to co-star with Constance Cummings in a two-hour radio version of Sidney Howard's play, *They Knew What They Wanted*. I was delighted to discover in Miss Cummings a kindred spirit who also had an aversion to acting from a script. With the understanding and encouragement of Val Gielgud, our director, we both memorized our roles. We related to each other as on a movie set or a stage. We moved about the studio with complete freedom to accommodate our impulses. When an exit was called for, we walked away. When we were supposed to touch, we touched. And the sound of a lover's kiss was not produced by a sound effects man sucking on the back of his hand. The engineers set up an overhead boom microphone\n\nthat followed us around, instead of a stationary one like those in general use.\n\nIt was a most interesting experiment, and seemed to confirm my theory that if an actor were freed from his script and could better contact fellow actors on a visual as well as an oral level, it would stimulate truer emotion, enrich his performance, and give him more release as an artist. It did for me.\n\nI found it fairly easy to do if the roles were not too long; and, except for the leads, most weren’t. They generally amounted to a paragraph or two. I discovered three or four hours of rehearsal were enough for almost any actor to stuff that many lines in his head—if he applied himself. And so I began to memorize regularly as a working method. For short rehearsal periods, I developed a compromise technique of learning as much as I could, and marking places in the script where I was unsure, so my eye could quickly find it.\n\nI was considered a bit of a nut by my peers. Why go to all that trouble when it really wasn’t required; when it was so simple to read from the script? And the time between cues could be spent knitting or reading the paper—if you turned the pages quietly enough not to be picked up by the mike. But these were my fervent years, and I was determined to make my contribution to art and progress. I wrote another article setting forth my views. It was published in the Sunday New York Times on August 20, 1944:\n\nA PLEA FOR BETTER RADIO ACTING\n\nBy Joseph Julian\n\nWhy is a radio actor? You almost never hear “He is a theater actor.” True, they say “He is a movie actor,” but they mean\n\n\"He works in the movies.\" But when they say \"He is a radio actor\" they don't always mean he works in radio. There is frequently an insinuated note of opprobrium in the term. Radio actors are not taken seriously as artists. This, I believe, is largely due to the fact that radio actors don't take themselves seriously as artists. Nor does the industry.\n\nRadio writers have made tremendous strides. They're constantly experimenting with new techniques and have evolved many original, interesting ways of presenting their ideas. Directors, too, have pushed back their horizon and made room for a greater play of imagination. But radio acting seems to just keep meretriciously and phlegmatically rolling along.\n\nAlthough radio offers more creative scope to the writer and director than to the actor, who is more inhibited by its mechanics, there is plenty of room for improvement between the present general level of radio acting and the limitations inherent in the medium itself. But this improvement will be effected only when actors, directors, and engineers cooperatively toss out some of their fixed notions of studio production.\n\nDirectors and engineers must develop a larger understanding of an actor's approach to his work. They should try harder to understand the creative acting process—not only the objective results. And they should do everything technically possible to facilitate this process by helping the actor create, in the studio, the greatest possible reality for himself of the scene he is playing.\n\n**THE SETTING**\n\nFor example, I have discovered most actors deeply hunger for \"contact\" with their fellow performers at a microphone. Very often an engineer or director, in order to get a better voice balance, will have them play, let's say, an intimate love scene on separate mikes six feet apart. Even though it might achieve a better physical voice balance, the inner emotional balance of the performers suffers, and the inner honesty of a scene is more important.\n\nAlthough not practical in every dramatic show, especially\n\nthose with many quick changes of scene, they could in most cases prepare for the actor at least an indication of a *mise en scène*. If the setting is the family dinner table, a mike should be put on a table with the actors sitting around it. If it’s a hospital bed, let the actor lie down and bring a mike to him. Let him use actual hand properties whenever possible, etc. A few directors work this way, but unfortunately to most it’s superfluous nonsense and a waste of time. Actors, however, and listeners, know the difference.\n\nNow, what can the actors themselves do to help their profession grow up?\n\nThere are two fundamental ways any artist can look at his profession. He can either try to raise its standards by constantly striving to improve his own work, or he can merely aim at supplying a market. Radio has mostly market suppliers. Of course there are actors on the stage, and screen, too, to whom acting is primarily a business, but there is also a vanguard of serious-minded artists who work at their art. There are professionals in the theater who, even while working in Broadway shows, band together in their free time to discuss and study how better to use the tools of their craft.\n\n**WORDS VS. EMOTION**\n\nBut as far as I know there is not and never has been a comparable group among radio actors. There are a few exceptions, but most radio actors, year after year, gallop from studio to studio, “leaning” on their scripts and shooting at nothing higher than a “good-enough-for-radio” performance. And while they develop a highly specialized facility for quick work, their performances are usually “indications” of something, rather than “something” itself.\n\nMost roles in radio dramas are small ones. Generally they wouldn’t add up to more than a few solid paragraphs. Surely these parts could be memorized in a few hours. Even actors with larger roles could work out a compromise technique of memorizing as much as possible. Memory is not as noncooperative as most of us believe. It only needs exercise to function well and with a little training can do amazing things.\n\nUP FROM THE WISECRACK\n\nRadio actors are people, too, and if they really identify themselves emotionally with the character they're playing they'll find their memories can do a pretty reliable job with the dialogue. I know a few actors who have experimented along these lines, and found themselves giving performances more satisfactory, both to themselves and to listeners, than they ever dreamed possible. There should be more experiments of this sort. Radio actors should free themselves from their bondage to scripts, and with the cooperation of directors and engineers learn to make their basic adjustment to the dramatic objectives of the story instead of to a microphone.\n\nThis, I believe, is the direction we must move in if our profession is to be rescued from its present status at the short end of a wisecrack.\n\nThere were letters to the editor on this one, too—mostly from actors—but nothing as explosive as from the Variety article of three years before. One actor vented his regard for my theories and talent in a long poem about his career in the theater and where do I get off to teach him anything.\n\n... I read in the paper on Sunday\nHow most radio acting stinks,\nWritten by a person\nWhose actin' is wors'n\nEven he or anyone thinks.\nOh I've taken parts as I've found 'em.\nJust like Joe Julian;\nBut the more that I see of the others\nThe less I'll settle for him.\nIt would help him to do some thinkin'\n\nBefore memorizing a radio show,\nAnd be warned that a lot\nThink he’s not very hot\nAnd won’t learn about actin’ from Joe.\n\nAs a proselytizer I think I was a total failure. I doubt if I made one real convert. Looking back, I can see that my crusading zeal blinded me somewhat to the disturbing effect my memorizing had on many actors with whom I worked. They resented it for several reasons. It implied a criticism of their work. It had a smart alec “Look ma no hands” aspect. And there was the matter of cues. I always made a point of trying to give exact cues. But memorizing per se has risks, and actors were frequently fearful of getting wrong or sloppy cues from me that would spoil their performance. I was aware of this and conscientiously tried always to give the cue that was in the script.\n\nOne evening, I failed. I was working *The Quentin Reynolds Show* on NBC, a program that dramatized the exploits of that renowned war correspondent. After rehearsing all afternoon, we had an hour’s break before airtime, during which Reynolds invited me for a drink. (I had known him from the Savoy Bar in London, where we used to sit with RAF fighter pilots as they exchanged accounts of the day’s dog fights, illustrating them with a graceful ballet of hands.) I had already learned the lines for my scene that evening, but because of the few drinks, I decided I had better not risk doing it from memory. So, when we later went on the air, I conscientiously read every single word from the script—and fluffed all over the place.\n\nOn another occasion my memorizing scared the hell out of Frederic March. It was a big Norman Corwin production over CBS entitled *Untitled* (yes, that’s right), and I\n\nhad a long, block speech as a soldier returned from war describing the horrors that had happened to his buddy. We rehearsed for a couple of days, which gave me time to fully learn the speech. I felt secure enough at airtime to go to the mike without the script in my hands. I usually held it at my side, or behind me to resort to in an emergency. This was the first time I dared \"go it alone.\" March's mouth dropped open as I placed my script on my chair, and walked empty-handed to the microphone. I looked up to the glass control booth, where Corwin stood masterminding the elements of the show. A slow wave of his hand signaled the orchestra to segue to soft introductory music; a finger jabbed at the sound man started the footsteps; a nod of his head to me and I began.\n\nIt went well. Not only didn't I fluff, it was one of the really full moments I experienced in radio acting.\n\nAfter the show, March told me how nervous I had made him. He had seized my script and with his finger traced each word as I spoke, ready to thrust it to me if I \"went up.\" He remarked, as others frequently had, about my phenomenal memory. There was nothing phenomenal about it. I had had two full days to learn a one-page speech. In the early days of stock companies, actors learned full-length plays in less than a week.\n\nHowever, I do have a theory about memory in relation to actors. I believe that if you serve it properly it will serve you. This applies to learning roles in all media. Actors can best learn lines by not trying too hard. The intention of the lines is more important. After reading through the script one or more times, the actor should first learn why the character he is playing says what he says. What is he trying to achieve? What is his intention, his action? Actions speak louder than words, and they're easier to memorize. And once he is clear about his action, the words, which have been quivering on the periphery of memory since the first reading of the script, are much more likely to jump into full consciousness voluntarily. Actors who have the most trouble memorizing are primarily those who learn the words first. These actors are lost if their memory suddenly fails. But the actor who is clear about his intention is always able to substitute another appropriate word or phrase to keep the scene alive and moving. If this smacks of Stanislavsky—so be it!\n\nAlmost a year and a half after its production, my Dover Diary brought me an offer to go to the other side of the world.\n\nIn December, 1944, Robert Saudek, Public Service director for the American Broadcasting Company, informed me that he had had an inquiry from an official of the Red Cross, who had heard and remembered my documentary and thought perhaps I might be the person they were seeking.\n\nThe war in Europe had ended, and the world's full attention was now on the Far East, where the army was fighting its way up through the Philippines toward Japan. The Red Cross public relations department had a man with them reporting Red Cross activities. His recordings were played over a group of U.S. radio stations known as the Associated Network, but apparently they were on the dull side. My job would be to take over and somehow liven up the program. I suggested making it a straight reporting job, not hard news—but of the human side of the GI experience, with unobtrusive plugs slipped in for the Red Cross.\n\nThey agreed. I would have carte blanche to travel with and live off the army and report on whatever interested me. A special arrangement was made for the American Broadcasting Company's Blue Radio Network to carry whichever of my stories appealed to them, on their Sunday News Roundup.\n\nThe only running role I had at that time was in the serial *Lorenzo Jones and His Wife Belle*. Organizing my affairs for my departure, I asked the Hummerts if they would, instead of replacing me, write the character out until I returned. Patriotically they agreed to do so.\n\nSince I would officially be a Red Cross employee, I had to go the Washington headquarters for a physical examination and to fill out an application form.\n\nThe capital was full of amateur bureaucrats in those hectic days, and things often took a long time to go through \"the works.\" I went back to New York and accepted radio acting jobs for the next five months, until word finally came that my application had been approved. I was to report immediately to Washington, where I would be given my embarkation orders.\n\nArriving in Washington, I was told that, although all my other papers were in order, my correspondent's accreditation had not yet come through and I would have to wait until it did. The wait lasted a few more months and stretched my patience to the breaking point.\n\nI went back to New York several times to do a radio show, but since I was now in uniform and on the Red Cross payroll, I felt I owed them this time, even though I had been engaged only as an overseas radio correspondent. I offered my services to their publicity department.\n\nThey had me visit Red Cross installations and write up for their press releases stories about their activities in Washington hospitals, which at that time were crowded with war casualties. I vividly recall two of these occasions, to which I reacted strongly: one, with horror, as I went through a ward of hopeless basket cases, looking into the despairing eyes of these mute and totally helpless fragments of human beings; and later, in the recreation room, with hope—as I watched an audience of about fifty lesser paraplegics, mobile in wheelchairs, listening raptly to a concert by the Russian-born cellist, Piatagorsky. Most were ordinary GIs who had never attended a classical concert in their lives. You could feel the music strengthening them.\n\nAlthough I managed to keep busy, the delay was terribly abrasive. I had already had my anti-malaria shots and was raring to go.\n\nThen a funny thing happened on my way to the Philippines. The war ended. After all that waiting, General MacArthur pulled this fast one on me. On August 13, 1945, I had gone up to Baltimore on a visit. The next morning I was waiting on a busy corner for the return bus to Washington when news of the Japanese surrender hit the streets.\n\nV-J Day! The end of World War II! I never saw such happiness! Pure, spontaneous, uninhibited joy. Delirious, screaming, shrieking, laughing, crying: people dancing in the streets. Strangers hugging each other; people piling over automobiles, moving and stationary. A cacophony of yelling, horn blowing, beating on dishpans, and the sirens of fire engines. Soldiers and sailors grabbed girls and\n\nkissed them; soldiers and sailors kissed one another—girls kissed soldiers and sailors: it was love, not war. After giving myself to it to the point of exhaustion, I jotted down these snatches of remarks overheard:\n\nAN ENGLISH SOLDIER: Never have I seen people exuding such good will, not even on Christmas.\n\nA YOUNG GIRL: I don’t mind being kissed by someone my own nationality. But this Frenchman grabbed me and kissed me till I was ready to sock him before he let go.\n\nAMERICAN SOLDIER: This is a happy day for me, all right. Just came back from four years in the South Pacific.\n\nANOTHER SOLDIER: Look at these people, they’re insane. I lost two brothers in this war. I don’t feel much like celebrating. Do you know where there’s a church that’s open. I want to pray.\n\nInstead of going to the Philippines, I was asked to go directly to Japan with the occupying troops, as soon as my accreditation papers cleared MacArthur’s press office—which took another month, and even then only after the Red Cross pulled some strings. MacArthur didn’t want any more correspondents with him. He didn’t like them. They made fun of his profile.\n\nIf I had been afraid flying to England in a bomber, it was as nothing compared to my cowardice in crossing the Pacific. This time too it was a bomber, but one that hadn’t been converted, thus much more uncomfortable. I was the only passenger. The flight was divided into three large chunks of fear. The first, somewhere in the black night between Seattle and Guam, occurred when one of the three-man crew burst out of the cockpit with huge beads of sweat on his forehead. Pushing me aside, he began to pull up the floor boards of the fuselage. I asked what was the\n\nmatter. He didn’t answer, but crawled down into the little compartment he had uncovered, and sniffed. “What’s the matter?” I repeated, already terrified by his behavior. “Fire!” he said. “A red light on the dashboard has flashed fire!” I trembled so hard for the next half hour, as he sniffed out every inch of that plane, it’s a wonder I didn’t shatter my bones. I was worried; my life didn’t flash before me the way it was supposed to. I had a few painful thoughts of my family, but it was mostly sheer tension and terror. I remember saying over and over to myself, “This is it, this is it,” and speculating on the precise moment I would die when I became part of a flaming crash into the ocean. Finally, after several conferences, the crew decided the plane was not on fire, that a short circuit in the fire-reporting rheostat had caused the light to flash on. The pilot cut the wires so he wouldn’t be faced with that blinking red light for the rest of the trip. Deliverance!\n\nThe next horror occurred hours later. The navigator told me to hang on to something and not be afraid. He wanted to experiment in determining his position by radar. He went back to the cockpit and the plane began a series of twists and turns, dips and steep pullouts that had me banging around from one end of the fuselage to the other. I grabbed some pipes running along the interior, but I wasn’t prepared for these sudden, crazy maneuvers and lost my grip. “Don’t be afraid,” he said. Hah! Tell it to your subconscious. I ended up with new knots in my stomach, and a body of black and blue.\n\nMy third attack of fear came several hours out of Guam toward Tokyo, when I was honored by a visit from the pilot, a tall, slow-talking Texan.\n\n“Listen,” he said, “we’re going to stop off in Iwo Jima.\n\nIf you're asked any questions, you don't know anything, okay?\"\n\n\"Okay,\" I said, \"but why: Aren't we supposed to fly direct to Tokyo?\"\n\n\"Well,\" he drawled, \"we just wanna pick up some cigarettes.\" He said he had radioed the airport that he had an emergency, and they had granted him permission to land. \"We'll be going in on three engines,\" he said. \"But don't be afraid.\"\n\n\"C-c-can you do that?\" I asked, trying hard not to be afraid.\n\n\"Don't worry,\" he said. \"I know my ship, I could even bring this baby in on two. We'll just be riding at a little different angle and have a heavier yaw.\"\n\nWith my nose to the window and my heart in my mouth, I watched him feather one propeller. The plane tilted heavily to one side. I fervently hoped his life was as precious to him as mine was to me. A crowd of soldiers, a crash car, and a fire engine were waiting as we touched down. The pilot modestly accepted congratulations for bringing the crippled plane down safely. He thoughtfully stroked his chin and made suggestions as to what could have happened. And as a team of mechanics pored over the conked-out engine he suggested we all have some chow. My God, I thought, what some people won't do for a cigarette.\n\nAfter eating, I tagged along as the crew sauntered over to the PX, where they bought, not a pack or two of cigarettes, or even a carton or two. No. They bought as many cartons as they could hold in their arms and balance with their chins. Each carried away at least fifty cartons! What heavy smokers, I thought.\n\nAs we returned to the plane the mechanics were revving the motors. They simply hadn’t been able to find what was wrong. They said everything was now working fine.\n\nBack in the air, winging again toward Tokyo, I learned a lesson in Armed Forces’ economics. I learned that not all the huge profits of war are made by armaments manufacturers and other giant corporations of the military-industrial complex. There’s also room for the little fellow who does not have a lobbyist in Washington, or is not even particularly astute. He just has to be able to recognize an opportunity when it bangs on his door.\n\nTake cigarettes, for instance. Cigarettes could buy anything in Japan. They were like legal tender, and the going price was thirty dollars a carton. At PXs, GIs were allowed to buy only two cartons a week for two dollars each. But on Iwo Jima they could buy as many as they wished for two dollars each. Iwo Jima was mostly a barren rock with no local populace willing to trade their goods and treasures for cigarettes, hence no need for the army to ration them. A made-to-order situation for these airmen. They had a very nice little thing going. Little? As I calculated, I realized it ran into big money: three of the airmen bought about fifty cartons each—150 cartons at two dollars apiece—at a cost of $300. In Japan, they would sell them for thirty dollars a carton, netting $4200. On one trip!\n\nAnd they made three scheduled flights to Iwo Jima weekly. That was more than $50,000 a month. In six months they could clear over $300,000! God bless the law of supply and demand!\n\n8. Welcome Honorable Enemy\n\nMy six months in Japan were a very different experience from my stay in England. In England I had been in the midst of war, of bombing; here, although the war was now over, the devastation of the cities was far greater than London. Another surprise was our reception: our deadly enemies, the great \"yellow hordes\" we had been taught for years to fear and hate, had suddenly become our gracious hosts. The moment American troops set foot on their home soil, the Japanese attacked with a barrage of politeness, deference, and eager cooperation for which we were totally unprepared. It was strange and confusing; surely some resistance was to be expected of a nation that produced 100,000 kamikaze suicide pilots and had fought to the death for every inch of territory they held in the South Pacific. But during my entire stay there was not one reported act of violence to an American soldier. I never even encountered smoldering resentment.\n\nThe answer lay in the relationship of the Japanese to their emperor—and in General MacArthur's understanding\n\nof that relationship. There were great pressures to indict Hirohito as a war criminal, but MacArthur wisely decided—to the chagrin of liberals in the United States—to retain him as head of the nation, thereby unquestionably saving many thousands of lives. The people’s profound reverence for their emperor became MacArthur’s most effective tool in administering the occupation. Hirohito told his people to treat the Americans as guests, and they did. Japan was, undoubtedly, the most docile conquered country in history.\n\nThe Tokyo I arrived in in 1945 was not the bustling metropolis it is today. It was a city that gave you a feeling it almost wasn’t there: miles of rubble, improvised shacks, and a small number of concrete buildings that had resisted the fire bombs rained down by our B-29s. The only vehicular traffic was army trucks and jeeps such as the one in which I was driven from Atsugi Airfield to the Dai Iti Hotel in the center of Tokyo where I was to stay, and a few rickshaws, pulled along by trotting humans. A dimly lighted street car, crammed with Japanese, rumbled by. Here and there policemen appeared, swinging lighted paper lanterns. Women in brightly colored kimonos, some with babies on their backs, were foraging in the rubble. Clusters of men, women, and children were sleeping on sidewalks, huddled around little fires. The weather was damp and penetrating, but many were barefooted and coatless.\n\nThe Dai Iti was a Western-style hotel, built expressly to house athletes at the Olympic Games which were to have taken place in Japan in 1940, but were canceled because of the war. As I registered, the desk sergeant asked my simulated rank. (I was wearing an officer’s uniform without insignia.) He must have liked me because when I told him I didn’t know, he said, “Only majors and colonels are supposed to be billeted here, so I’ll put you down as a colonel.” From then on, whenever asked that question, I always replied, “Colonel.” In my travels throughout Japan, it got me the best accommodations the army could offer—food, transportation, chauffeurs, etc. I was forever grateful to the Dai Iti desk sergeant for granting me my on-the-spot commission.\n\nMy first meal in Japan was in the Dai Iti dining room. In vivid contrast to the shambles just outside, it had a lovely, luxurious ambience—flowers on every table, and overhead, flying free between the ledges of the high ceiling, were finches, canaries, parakeets, and other small, exotic songbirds. I was seated at a large round table with four “real” American colonels. It was a good, stateside meal, but unforgettable for the introductory remarks of our waitress. This lovely, virginal, kimonoed, Japanese lass, pencil poised to take our order, bowed, smiled, and said, “American officers full of shit.” There was a moment’s stunned silence at the table, which she quickly filled: “Bullshit kiss my ass! What you have, prease?” Five very perplexed Americans looked at one another until we recognized the heavy humor of some GI kitchen-worker who had doubtless put her up to it, telling the girl, who obviously spoke little or no English, that it meant “good evening, it’s a pleasure to serve you,” or words to that effect.\n\nTalk I overheard in the dining room and lobby indicated the business of the occupation. The hotel was teeming with military and civilian architects of Japan’s future: a couple of majors discussing a survey of Japan’s lumber resources; a woman member of a labor advisory commission telling a public relations officer how difficult it was to appraise the Japanese labor situation because of inflation; the recording secretary of the Allied Commission for governing Japan, explaining his job of keeping minutes of meetings and providing member nations with translated copies; a couple of legal minds tossing fine points of international law at each other in connection with the war criminal trials; a colonel from counterintelligence relating how his men had discovered a huge cache of diamonds in a Japanese attic; an elderly gentleman president of some waterworks in America, who had been sent to rectify flaws in the Japanese water system; an officer of the British Commonwealth Occupation Force discussing Japanese art with a French naval commander; a group of Russian Army officers talking in Russian about whatever Russian Army officers talk about in Russian.\n\nBefore retiring that night, I stepped outside for a stroll. I walked toward the only other building left standing in the immediate environment, Shinbashi Railroad Station. It was scorched, dirty, dimly lit, and unheated. As I entered, several hundred of Tokyo’s dispossessed were settling down for the night on the cold floor. Their homes wiped out, they had no other place to go. Young and old, women in ragged, filthy kimonos, with sleeping babies on their backs, drooped their heads as they tried to doze in a kneeling position.\n\nThere was a sudden loud shriek. A woman appeared to be beating her small son with a stick as he lay, motionless, on the cold stone floor. Then I saw she was whacking the floor. I found a Japanese policeman and asked if he couldn’t get the child to a hospital. He said all hospitals were so crowded only the police chief had the authority to\n\ndo that. But he spoke a few words to the woman who told him her baby was not sick, just cold, that she was beating the floor so he wouldn’t go to sleep and freeze. An old man crawled from his corner, peeled off one of his dirt-caked rags and placed it over the shivering boy.\n\nI found a candy bar in my pocket and put it in the mother’s hand. She rubbed my foot in gratitude. A number of people rose, and bowed deeply from the waist. This was to happen to me several times in Japan. Apparently when a foreigner shows a kindness to a native, even uninvolved witnesses thank him on behalf of the entire Japanese race.\n\nThe sun has a profound significance for the Japanese. Their Emperor is supposed to be a direct descendent of Amaterasu Omikami, the Sun Goddess, and the symbol of their flag is a round, blazing sun. As I left the station I found myself hoping the sun would return some of this devotion by shining the next day and shed a little warmth on some of these innocent victims of the war.\n\nThe following morning I checked in at Red Cross headquarters, then made my way through acres of ruins, toward Radio Tokyo, from which I was to broadcast my stories back to the United States. On my way down one of the meaningless streets, two small boys were playing baseball. A short distance away, hundreds of ragged human beings were milling about. Approaching, I saw it was an army garbage dump—practically a mess hall for these hungry people.\n\nAs I walked along parts of the ruins seemed to come alive—people were scrounging for bits of wood, metal, whatever building materials they could find. I was in the middle of a strange housing project. A scrawny little man,\n\nwearing army trousers and stripped to the waist, was shoveling debris away from a piece of wall. His wife, carrying an infant on her back, was dragging up several sheets of rusty tin that would be the roof of their new home. There were many homesteaders in this rubble wilderness, carving out patchwork hovels of their own. Several had planted gardens, and fresh vegetables were pushing their way up through the rubbish and broken masonry, as though Mother Nature were thumbing her nose at the efforts of Old Man Mars to wipe her out.\n\nRadio Tokyo was the Radio City (village) of Japan: a medium-sized, six-story, modern building. Every inch of it smelled of fish. Every employee was either eating fish or had one stashed in his lunch box.\n\nThere were signs at all entrances: OFF LIMITS FOR ALL ALLIED MILITARY PERSONNEL NOT ON OFFICIAL BUSINESS. But there was plenty of official business, army khaki swarming all over the place.\n\nI explored their facilities with great curiosity. Most of the radio equipment was as modern as ours, although rundown. There were sixteen studios, all modern with a single exception: one was designed like a Japanese living room, with Tatami mats on the floor and a small, low round table. The performer would take his shoes off before entering, and broadcast while kneeling on a cushion. This was the studio from which the famous American renegade known as Tokyo Rose had used her sexy voice to try and demoralize and seduce GIs into deserting. Now it was being used by an American actor, Hans Conried, for a humorous chatter program he called Tokyo Mose, broadcast over the Armed Forces Network, which shared these facilities. Armed Forces Radio also rebroadcast many popular\n\nprograms from home, such as *Information, Please!* *Edgar Bergen and Charlie McCarthy*, *Suspense*, The Detroit Symphony, and an occasional Norman Corwin show.\n\nAmerican radio stations had some strange-looking gadgets in their sound-effects closets, but some of Radio Tokyo's effects were among the most inventive I've ever seen. Cricket noises were made by rubbing the backs of two small seashells together. Rain was achieved by gently shaking from side to side two large, round fans to which about thirty small dried beans were attached, each by a two-inch length of string. For the putt-putt of a motor boat, the sound-effects man clamped his hand on and off the end of a hollow piece of bamboo. There were several resonant gongs, which play an important part in all Oriental drama, and an enormous seashell with a mouthpiece attached, which, when blown into, produced an unearthly sound used for God knows what.\n\nThe head engineer, Kazuichi Fuigi, informed me that throughout the Japanese Isles, aside from 150,000-watt Radio Tokyo, there were eight 10,000-watt stations, twenty-five 500-watt, and fifty smaller ones. The bombings had knocked out line communications between many of them, but they carried network programs via shortwave. There were an estimated 7,000,000 home radio sets in use at that time.\n\nA set owner paid a government tax of one yen per month—a little over six cents, at the then current rates.\n\nAll programs began at six in the morning, and all stations signed off at ten-thirty at night.\n\nThe Allied authorities had revised Radio Tokyo's program schedules to include round-table discussions, audience participation shows, and especially encouraged listeners to break through their traditional submission to authority by writing letters to the station expressing their own opinions and desires. The reticent Japanese had responded en masse: thousands of letters had poured in. I glanced through some of them, which had been translated—often literally—for the occupying authorities.\n\nPlease play light music and story ending in a joke. We live in cold dwelling, so if we can hear interesting drolleries on cold winter night—we hoping to distract our minds by radio.\n\nWe like to hear about reconstruction—especially Hiroshima. I think radio is organ of education as well as amusement.\n\nThank you. My father likes to hear \"The Story of Dutiful Child of Snow with Moon.\"\n\nYour program used to impregnate Japanese minds with American ideas. I don't know how much salary you radio people are receiving, but these hypocritical broadcasts only irritate the people. Let Americans take care of their own propaganda. Are you endeavoring to trample the utterly exhausted people until they become a fourth-rate nation? Do you attempt to make second Philippines out of Japan?\n\nI desire to have radio plays suitable for farmers. I think jokes are most suitable to distract one's mind. Also old story.\n\nDay by day it is getting cold. I like to hear music of friendly Japan and United States please.\n\nI like answer for following questions: What is composition of humans and animals? Water colors? Why snow has certain formation? Why leaves fall from trees? Why can see your breath only in the morning? Why United States people taller than us?\n\nI desire solos on Japanese instrument. Its beautiful sounds in quiet cold long evening makes us forget we are struggling for living.\n\nI would like to hear reading of works by famous poets. Also love songs for girls.\n\nFor those of us who farm in countryside, western music makes us dizzy and dull. We sincerely hope you will broadcast more Japanese music.\n\nI would like to hear dramatized biographies of famous chemists.\n\nPlease teach to us something make us cheerful. National song.\n\nWe like to be like GI but don’t have enough politeness. Rather, what we have is false. Please have radio program to develop our real social politeness.\n\nIn these days with shortages of food, why are so many factories on arable land that should be allotted for rice fields? The factories and smaller cities should be removed to the mountains.\n\nWe have begun aiming at highly civilized level necessary for the moral nation. New leaders of Japan should not be same persons as those who acclaim the militarism.\n\nI appeal to the authorities for immediate removal of licensed prostitution. It should be immediately abolished for the elevation of women’s position.\n\nHow about evening with samisen? I think that would be suitable on cold nights.\n\nWhen I was middle-school boy, I hated most the course in morals—because the Emperor was unreasonably revered as living God. Feeling it was not right, I was always in great mental agony and seized with great fear. But today I am in a rebellious mood, thanks to Supreme Command of Allied Powers who arranged that we can freely criticize the Emperor System.\n\nThe movies of our country should be made by more civilized hands with much poetic spirit, instead of pursuing American nation.\n\nThe letters seemed to focus on two major points: the compulsion to escape into old stories, sweet songs, and bright jokes that would distract them from their misery, and a tentative acceptance of their new freedom to criticize their leaders without fear of the notorious Thought Police.\n\nBut even though the letters showed that, behind all the agreeable smiles and bows, the Japanese had all the hungers, fears, hopes, and confused emotions of a scrutable westerner, their preoccupation with \"face\" made it difficult for the occupation forces to establish a working relationship with the population. For one thing, the Japanese would generally answer questions affirmatively, say yes when they really meant no. But it wasn't lying as we know it. It was a ritual politeness—even with each other—to say what they thought you wanted to hear, communicating the truth behind the words in subtle, nonverbal ways endemic to their culture, and difficult if not impossible for foreigners to understand.\n\nRoaming around the country, I found so much that was strange and difficult to understand that, in the three minutes allotted me for each of my five weekly broadcasts, I decided simply to describe what I saw and experienced; rather than attempt any heavy interpretations or analyses, I made up my mind to create a picture of the life of this unique occupation through a mosaic of vignettes.\n\nNorman Corwin had given me the address of a Japanese friend to look up. After driving my jeep through miles of devastation, I arrived at a small, unpretentious Japanese home in the suburbs of Tokyo. I was greeted at the door by Yoichi Hiroaka, the world-famous xylophonist. He had\n\nlived in the United States for twelve years and had been a featured soloist with the New York Philharmonic, the NBC Symphony under Toscanini, and other prominent orchestras.\n\nA small, ebullient man of about forty, with bright gleaming eyes behind heavy double-lensed glasses, he invited me to take off my shoes and come in. He introduced me to his pretty American-born wife, and, as my hands warmed around the cup of hot tea she set in front of me, Hiroaka told me his story.\n\nBefore the war he had been doing very well in the United States. His musicianship was lauded and appreciated by the country’s foremost critics. Then came Pearl Harbor. Immediately, all his concert dates were cancelled and he was barred from all network radio programs. The problem of making a living for his wife and baby became acute. His fellow musicians took up a collection for him, but it didn’t last long.\n\n“There was absolutely no way for me to support my family in America,” he said. “The government had begun to round up all Japanese—even the American-born—and put them in an internment camp. I reluctantly chose to return to Japan on an exchange ship.”\n\nI asked him about life under the B-29s, and he said, “How we lived through that hell I’ll never know. This is our third house. We were bombed out of the other two. And the noise those incendiaries made—like a steady torrent of rain. And they were loaded with some devilish stuff that prevented you from being able to extinguish the fires. Since I arrived from the United States, I’ve lost thirty-five pounds, from 140 to 105.”\n\nI asked what effect the war had on music in Japan. “I’ll\n\ntell you this,” he said. “The sound those whistling fire bombs made was in the key of G. Whenever my wife strikes a G-note on our piano, we still jump out of our skins.”\n\nBouncing along in my jeep back toward the hotel, suddenly I saw in the glare of my headlights a young, kimonoed girl. She was standing in the middle of the road, frantically waving her arms. I jammed on the brakes, and she ran over to me, screaming and pointing to a U.S. Army weapons carrier parked in the shadows on the side of the road. I caught a glimpse of several GIs quickly ducking behind it.\n\n“Get in!” I shouted to her, pointing over my shoulder to the back seat. “Quick!”\n\nShe climbed in, pounded me on the back and yelled “Friendo! Friendo!”\n\nI gathered the GIs were still holding the girl’s friend, whom she wanted me to rescue too. But I wasn’t about to tangle with a nest of horny rapists on a lonely highway in the middle of the night. That’s for the movies. I stepped on the gas and cut away at full speed.\n\nBut my passenger continued hysterical, crying and jabbering in a Japanese interspersed with an occasional “Friendo, friendo!” as she continued pounding me on the back. Unfortunately I couldn’t make her understand I was not John Wayne, or convince her how lucky she was I had been able to rescue her. My heroism was based on an instant calculation that my jeep could travel faster than a weapons carrier.\n\nI was wrong. Just as I began to relax, I became aware of two large, hostile headlights reflected in my rear view mirror. I stepped on the gas. The distance between us didn’t change. I pushed down on the accelerator as hard as I dared on that rubble-strewn road—we were already leaping along semi-airborne—but the headlights grew larger. It became painfully clear that I couldn’t outrace them, so I slammed on the brakes and came to a screeching stop. Beside the road was a sparsely-wooded area with a thick underbrush. The girl was still sobbing as I pulled her out of the jeep and pushed her toward the woods. She misunderstood my motives and again began to panic. I pointed to the rapidly approaching truck, then to the woods, and pantomimed for her to run like hell. She finally caught on and scurried into the brush.\n\nI climbed back in the jeep just as the big weapons carrier swung around in front of me to cut off my escape and stopped. For a long moment no one made a move. I heard muffled sobs—evidently emanating from the “friend.” I sat stiffly, waiting for them to come at me. My heart was pounding. “At last,” I thought, “you’re going to experience the horror of war . . . at the hands of your own countrymen!” But the soldiers were cautious. After all, I might be a high officer. You never know who’s driving a jeep. One of the men finally got out and ambled over, squinting to get a better look at me. I was wearing an officer’s cap and uniform, but when he came close enough to see I was without insignia—a lousy civilian—he made a disgusted face and signaled the others. Five or six glowering, Texas-tall GIs moved in on me.\n\n“What the fuck’s the idea highjackin’ our girl?” the first one said.\n\n“Where is she?” another demanded.\n\n“Look,” I said, “the girl was scared to death . . .”\n\n\"What the fuck's it to you?\"\n\"Where the fuck is she?\"\n\"She was hysterical,\" I said. \"She could have died of heart failure. There are plenty of girls around the Ginza, why do you want to pick on a . . .\"\n\"What the fuck's it your business?\"\n\"Where is she?\"\n\"She musta beat it inta the woods.\"\n\"C'mon, let's fan out.\"\n\"All right you—get the fuck outa here!\"\nI did. As this splendid unit of brave American soldiers fanned out in the tall underbrush to flush out their quarry—one desperately frightened little Japanese girl.\n\nWhile every army has its share of monsters, there were relatively few such incidents during the occupation. Japanese women, trained to believe their highest mission in life was to serve, flatter and entertain men, charmed most GIs into their best behavior.\n\nAnd, while the majority of American males may be chauvinist pigs at heart, their patronizing politeness to women actually gave a big nudge to the meager women's liberation movement in Japan. This may sound like Women's Lib in reverse, but the smiles of Japanese women had a little extra charge when for the first time in their lives they experienced the seductive pleasure of a man holding a door open for them, or giving them a seat on a crowded trolley. It was new and ego-strengthening—and a severe shock to the Japanese male, accustomed to his God-given right of preceding his woman through a door, and, if there's only one empty seat on the trolley, occupying it himself, leaving her to stand—frequently with an infant on her back.\n\nDuring the war, the women's movement in Japan took a big step forward, as hundreds of thousands of women went to work in factories, taking over men's occupations. But the male power structure was very deeply rooted in the culture, and the vast majority of women had no revolutionary passion to overthrow it. Even when they sympathized with the notion of equality and democracy, their reactions were often bizarre, as I was soon to see.\n\nOne day I ran into an actor I had known in New York, Al Lipton, who was now a private in the occupying army producing radio shows for the Armed Forces Network. Al was also a passionate believer in democracy for everyone, including women, and did a little missionary work on behalf of the cause whenever he could. In the course of his proselytizing, he voiced his views one day to a Japanese gentleman named Mr. Cho. He told Mr. Cho how strongly he felt that the remaining remnants of feudalism should be abolished in Japan.\n\nMr. Cho, who happened to be president of a Japanese press association, thought it would be a fine idea if Private Lipton would speak at the next meeting of his organization, whose members would be most eager to hear a GI's impressions of Japan. Al accepted the invitation on the spot.\n\nA few days later Al spoke for an hour and a half at the press-association meeting, explaining why he felt the defeat of Japanese militarism was actually a victory for the Japanese people. He spoke of the need to reorganize the country along democratic lines, and especially stressed the importance of having women assert their rights and play a meaningful role in civic and social life. \"Women have too long been considered inferior,\" he said, \"mere chattel.\"\n\nHe pointed to the struggles and ultimate victories of American suffragettes, and finished his speech by urging the women of Japan to take full advantage of their new opportunity to vote, as their first major battle in a campaign to shed the chains of their ancient feudal bondage and recover their rights and dignity as human beings.\n\nThe speech made an extraordinary impression. Afterward the audience gathered around, shook Al’s hands, applauded, and bowed in double time.\n\nAs a result of that talk, Private Lipton was later the guest of honor at a special dinner. The food served was the best that could be bought on the black market: rice wrapped in smoked and raw fish, clam broth, broiled sparrows, sukiyaki, and pear preserves. Wine, beer, and hot sake were served with every course.\n\nAfter dinner, Lipton was approached by a middle-aged Japanese lady wearing a beautiful, crested silk kimono. She explained, in her slight English, how much she liked what he had said, especially about freedom for women. As a token of her appreciation she would like to make him a little present. She left the room and returned shortly with a beautiful young Japanese girl. Pressing her gently toward Lipton, she said, bowing, “Presento—for you—to keep.” She had just bought the girl from her father for a couple of thousand yen, to show her appreciation of his speech on freedom for Japanese women.\n\nLipton blinked five or six times, then realized his plight. It would be terrible manners to refuse the gift—a downright insult, in fact. He tried to change the subject, but his admirers just smiled. He took his wallet from his pocket and pointed to a photograph. “Wifeoo-babee—Columbus, Ohio,” he said. But they kept on smiling, noting that, indeed, his wife was very pretty. Only when he told them he lived in a barracks and had no place to keep such a \"presento\" did they reluctantly withdraw the gift. The barracks' problem was a practical consideration, and therefore no \"face\" was lost.\n\n\"I can see it's going to take a long time to educate Japanese women about freedom,\" said Private Lipton. \"Either that, or I made a lousy speech.\"\n\nThe Japanese are probably the world's greatest present-givers. But it's not always an expression of total generosity. One day not long after Al Lipton's speech, a young Japanese acquaintance rushed up to me, gave me that one, one-two bow, elaborately apologized for disturbing me, and thrust a small wooden box into my hand. I opened it and found, wrapped in heavy cotton, a delicately carved ivory figure: a netsuke, with inlaid metal and semi-precious stones.\n\n\"What's this?\" I asked.\n\n\"Presento,\" he said, with a big grin. \"Presento from my father. He want you have this for Christmas.\"\n\n\"But I've never met your father,\" I protested.\n\n\"All same, he want you have nice Christmas,\" he replied.\n\nI handed it back to him and said that he should tell his father I was very moved, but that I had done nothing to deserve such a valuable gift.\n\n\"Oh, it is all right,\" said the young man. \"You keep. My father would like American cigarette.\"\n\nHow profoundly the American occupation changed the bases of relationships between men and women in Japan\n\nis a question for sociologists to sort out; but it did a great deal to break up the totalitarian structure of Japan’s social, economic, and political life.\n\nOne of the first things Hirohito did was to democratize himself. He launched a campaign to divest himself of his divinity. He put on a beat-up old felt hat and made a lot of public appearances. American correspondents helped the new image along by calling him “Charlie.”\n\nIn the past people had had to draw their curtains when the Emperor’s procession passed through the streets. It was a crime to look “down” upon him. One day I traveled with Hirohito as he visited a project for bombed-out victims. He spoke a few words to a couple of women, who were so overcome they burst into tears.\n\nUnder MacArthur’s prodding, the formation of free labor unions was energetically encouraged. Even Hirohito’s palace guards began presenting demands. Organizations all over the country undertook to “democratize” themselves, including the Sumo Wrestlers Federation.\n\nThe rickshaw men of Tokyo reacted collectively when the American authorities posted traffic signs: SPEED—30 MILES PER HOUR. They descended on MacArthur’s headquarters to protest they couldn’t run that fast.\n\nThe unions also came up with some original strike techniques. The streetcar workers, in order to hit at their bosses without inconveniencing the public, let the public ride free. When this didn’t work, they collected the fares, took out their wage increase, and turned in what was left to the company.\n\nThe telephone workers reinforced their demands by cutting off all calls to and from the executives of the company. On all public calls the operator would say, “This\n\ncompany is unfair to us they do not pay us living wage number please?\"\n\nBut perhaps the most innovative and cathartic of all was the \"shriek\" strike. When the railroad workers were demanding more money, at a certain, exact time every day, all over the country every employee—blue and white collar alike—would stop whatever he was doing and shriek for about three minutes at the top of his lungs, the idea being to call public attention to their situation, and make the employer lose face.\n\nSometimes \"democracy\" got a little out of hand. I met a professor named Hatano, who told me that, during one of his lectures at Tokyo University, a student rose and started to leave. When asked where he was going, he said, \"Home.\" Hatano told him to wait until the lecture was over. \"No, sir,\" he replied. \"I exercise my democratic privilege to do what I please.\"\n\nHatano introduced me to a number of interesting people, who provided good material for my broadcasts. One was a Frenchman named Jean-Pierre Hochcorne, who had lived in Japan for fifteen years. Prior to the war he had been an employee of the French Consulate; when the war broke out he was interned. He had a particularly brutal guard whose pastime was jamming bamboo splinters under his fingernails and trying to beat him into confessing he was a spy. His cell was on the ground floor and its window faced the street. His wife brought him food, handing it through the bars, but he was not permitted to speak to her. So they developed a way of communicating by barking like dogs. Three rapid barks meant one thing, one short and one long meant something else, and so forth. When the guard threatened punishment, Monsieur\n\nHochcorne convinced him the prison rules only forbade speaking, not barking.\n\nProfessor Hatano came to visit me one day in my hotel room as I was about to leave for dinner. He brought along a friend, whom he introduced as Japan’s most famous mystery writer, Edagowa Rampo. Stare at the name for a moment. It’s the Japanese way of pronouncing Edgar Allan Poe.\n\nI asked him if readers didn’t confuse him with the real Edgar Allan Poe, who was also published there. “Oh, no,” Hatano replied. “Ours is much more famous.”\n\nAfter some broad hinting, the reason for their visit became clear. They were hungry. Food was scarce in Tokyo.\n\nI told them to wait in my room while I went down to dinner. I stuffed most of it, and a large second helping of chicken, under my Eisenhower jacket and brought it back up to them.\n\nEdagowa Rampo was so grateful he came to visit me again, to present me with several rare, old, gruesome Japanese prints, which he said he collected against his will. Then he asked if I would do him another little favor when I got back to the States. Would I mail him all the Agatha Christie mysteries published in America during the war?\n\nIt set me to wondering just how he became such a famous mystery writer. But no . . . I shall give him the benefit of the doubt.\n\nStill I kept wondering how Agatha Christie would be pronounced in Japanese.\n\n9. Hiroshima\n\nI felt I had to do a broadcast on Hiroshima. The atomic bomb had fallen only eight weeks before and the city was still off-limits to most army personnel. Through the Red Cross, however, I wangled a permit. It was the most awesome experience of my life. Hiroshima was still one big, quivering, raw wound.\n\nAs I drove my jeep uncertainly through the rubble, I was approached by a small man on a bicycle, who introduced himself as the Reverend Kioshi Tanimoto, pastor of Hiroshima’s Central Methodist Church. He offered to show me around. But first he had heard that a sick parishioner of his was living somewhere in the ruins and he was bringing him a piece of dried fish, would I care to come along? We searched for half an hour until we found a weak old man and his son—all that was left of a family of nine—living in a small lean-to improvised from the wreckage. They gratefully accepted the fish and bowed their heads to the ground. I gave each a cigarette, which he smoked ecstatically. Then a dismayed expression came over their faces as they looked about the miserable hovel for a gift for\n\nme. It's a Japanese custom for the host to give his visitor a present. But here there was nothing. Suddenly the son's face brightened. From behind a pile of charred wood, he pulled out a rusty old American saxophone, stepped outside where he could straighten up, and there in the midst of all that atomic devastation, played, for my pleasure, \"My Blue Heaven\" and \"I'll Buy That Dream.\" Whenever I remember those soulful notes floating among the ruins of Hiroshima, I'm still shaken.\n\nTanimoto took me to Hiroshima's Red Cross hospital—one of the few buildings left standing—where Dr. Fumio Shigeto, the assistant director, showed us around.\n\nIt was badly seared, and the windows were almost glassless. The white plaster walls of the rooms were pock-marked with holes from flying glass. In one room blood was spattered all over the walls and ceiling; the blast had blown the window into the face of a patient and severed an artery.\n\nDr. Shigeto told me that twenty-one of the hospital's nurses were killed, and of the thousands who managed to reach the hospital that first day, over 700 had died. Many who couldn't quite make it were found dead on the grounds outside.\n\nOn the hospital's outer wall, a horizontal series of red splotches abruptly turned into a downward smear just short of the entrance—mutely telling the story of a bloody hand groping toward help until it could no more.\n\nMost of the in-patients had suffered fractures and internal injuries when their houses fell on them. Thousands died from blood disease. Dr. Shigeto told me that many of them might have been saved by transfusions, but the\n\nblood of practically everyone in Hiroshima had been affected to some degree, so there was no healthy blood available for transfusions.\n\nWe went to a room where a long line of out-patients was being treated. One woman’s arms were gnarled strips of purple flesh. Her nine-year-old daughter was almost bald. Many people had lost all their hair after the explosion, but eyebrows, strangely, had not been affected.\n\nOne man had severe burns on the back of his neck. Although there was a concrete wall between him and the explosion, the intense rays had bounced off a building in back of him and struck him from behind. A nurse was treating these patients with zinc ointment. She turned, and I saw that half of her face was burned away.\n\nDr. Shigeto told me that he was the first person in Japan to realize what had happened. “The papers simply called it a new type of bomb,” he said, “but when I unpacked some negative film for an X-ray machine and found it had completely degenerated, I knew immediately it had been destroyed by the gamma rays of an atomic bomb.”\n\nA number of American doctors had visited the hospital to study chemical reactions of victims and the possibilities of treatment.\n\n“I hope they’ll never have to make use of their knowledge,” Dr. Shigeto said grimly.\n\nWhen I told Dick Day, Tokyo head of Red Cross Public Relations, that I planned to do a series of broadcasts on Hiroshima, he advised against it. “No one wants to hear about Hiroshima any more,” he said. “It’s old stuff.”\n\nBut I felt that so far most, if not all the reporting had been of numbers: how many tens of thousands killed; the\n\ndamage at various distances from the center of the explosion, etc. Statistics for the military manuals and history books. After what I had witnessed and what Tanimoto had told me of his and others' experiences, it seemed much more important that the story of Hiroshima be told and remembered in terms of human agony.\n\nI spread my material over three of my three-minute broadcasts, but I couldn't begin to encapsulate my feelings, or the suffering of the people of Hiroshima, in this meager air time. Nevertheless, I described as best I could the old man, the son and the saxophone; Dr. Shigeto and the Red Cross Hospital. And more.\n\nOn February 16, 1946, I broadcast my story of the Reverend Kioshi Tanimoto's nightmare day:\n\nJOSEPH JULIAN\n\nASSOCIATED NETWORK BROADCAST\n\nWAR CORRESPONDENT\n\nGHQ PRO\n\nJANUARY 16, 1946\n\nThis is Joseph Julian, your Red Cross correspondent speaking from Tokyo.\n\nThe Reverend Kioshi Tanimoto, American-educated pastor of Hiroshima's Central Methodist church, invited me to his home for a cup of tea. His church had been leveled by the atom bomb and he now rents a house on the outskirts of the ruins. In one of the rooms he has improvised an altar and conducts services every morning for about twenty surviving members of his congregation.\n\nHe poured the tea and said grace beginning with \"Oh Lord we thank thee for being alive.\" Never was a prayer said less ritually or with more honest fervor.\n\nAnd as we squatted there on the straw matted floor sipping our \"ocha\" he told me his story of that day. He was visiting\n\nfriends just outside the city, he said. \"About twelve noon, I heard a terrific roar, and the house I was in began to shake. I thought it was an ordinary air raid, until I went outside. It was dark as night—fires were everywhere and thousands of people were pouring across bridges from Hiroshima. It was like the end of the world. I didn't know what happened, but I knew it was something catastrophic. My first thought was for my wife and baby girl who were in our house on the other side of town. I tried to get across several bridges, but the fires were too hot. I ran four miles along the river that circles the city proper. Then I swam across. There were at least a thousand people lying on the beach. It was difficult to walk without stepping on them. I met a friend who told me my wife and child had been buried in the collapse of our house, but had dug their way to safety. Most of those wounded lying on the beach kept asking for water. I found a broken dish and scooped water from the river and gave hundreds of them a little swallow each. River water is bad but I hoped it would help them psychologically. Almost all of them thanked me and bowed before they drank the water—even though they were dying. I worked with them for several hours, doing what I could. Then the tide came in and washed many of them into the river. I pulled five dead bodies out of an old row boat and rescued about twenty people. Some would hold up their arms to be pulled into the boat, but their burns were so raw when I grabbed them, they couldn't stand the pain and jerked away—to drown.\"\n\nThe heroic little pastor went on to describe the equally terrifying experiences of his friends, then interrupted himself, saying he was sorry but he had to keep an appointment with a Buddhist priest and a Hiroshima businessman. They were to meet at a designated spot in the ruins to discuss raising money to build a monument.\n\n\"What kind of a monument?\" I asked.\n\n\"It will serve several purposes,\" he replied. \"There are bones of entire families in the ruins, with no one to bury them. We are going to collect them into a common grave at the foot of the monument. It will comfort the spirit of the dead. And, according to the Emperor, the bomb on Hiroshima helped end the war. Therefore, most of the people here feel their suffering was not in vain. This will be a monument to their sacrifice.\"\n\nI asked him what the inscription would be.\n\n\"We have not yet decided on the exact wording,\" he answered, \"but it will certainly contain our prayer for eternal peace.\"\n\nThis is Joseph Julian in Tokyo. I return you now to the Associated Network.\n\nMy broadcasts from a small studio in Radio Tokyo were beamed to San Francisco, where I was recorded for later airing over the Associated Network and the American Broadcasting Company's Sunday News Roundup. But as I signed off these Hiroshima spots, I received calls on the two-way radio from operators at island outposts all over the South Pacific. They had tuned in and felt bound to tell me immediately how deeply the Hiroshima stories had moved them.\n\nFor the next few months I continued to send back little pieces of the mosaic:\n\nThe hissing sound some Americans find so offensive in Japanese speech is really a form of politeness. By sucking in air through their teeth they demonstrate they are not forcing their own breath on you.\n\nJapanese farmers are extremely skillful. Americans are constantly amazed at the weird agricultural goings-on, such as fresh vegetables pushing up through snow fields, and oranges growing in the dead of winter.\n\nWhen a Japanese woman goes shopping she knows what to do with baby—bundle it on her back, leaving her hands free to examine merchandise and do her share of shoving at a bargain counter. The GIs call them the \"two-headed women.\"\n\nProbably the world's most unique firefighting equipment is housed in Minami Temple, in Osaka. It consists of about 200 huge bamboo fans. Whenever a fire breaks out anywhere in the vicinity, parishioners flock to the temple, where, together with priests, they each grab a fan, climb to the roof, disperse themselves along the perimeter, and fan like mad to keep flying sparks away.\n\nBut the Hiroshima experience had dampened my enthusiasm for these low-keyed vignettes. Besides, I had been in Japan about five months now and was about ready to head home.\n\nI returned to the United States on an LST troopship. If I'm ever asked to play the role of a sardine I'll have an in-depth understanding of the part. I've never been in such tight proximity to so many human beings over such a long period of time. I was told there were five thousand GIs and officers jammed on that ship. I was billeted with the officers, who had slightly more Lebensraum than the GIs; still, about twenty of us were stacked in four-tier bunks in a very small area. And even though it was a homecoming and spirits and forebearance were unusually high, my first few days on the cramped eleven-day journey were pretty oppressive. Then I made a wonderful discovery. I found a tiny, unused room on the top forward deck. It contained some cleaning materials and a desk and chair and it was unlocked. It became a sanctuary where I could be alone whenever I wished. But more important, that desk inspired me to write a play. I called it Presento and it was based on the situation of my friend, Al Lipton, and his unexpected \"gift.\" By the end of the voyage I had finished the first act. It took me three years to write the rest. Confinement seems to be good for writer's block.\n\n10. Return to New York\n\nBack in New York I merged my three Hiroshima radio spots into an article and offered it to an agent for marketing. *Déjà vu.*\n\n\"Hiroshima's old stuff,\" she said. \"No one wants to hear about that any more.\"\n\nNo one except millions of people. A few months later John Hersey's book *Hiroshima* was published. He explored the city after I was there, and had put together a book of six first-person narratives—six individuals describing their personal experience of the bomb. It created a sensation.\n\nThe *New York Herald Tribune* published this \"old stuff\" in its entirety; the *New Yorker* gave over a whole issue to the book, and the American Broadcasting Company decided to do a straight reading of Hersey's *Hiroshima* as a special one-hour program over its network.\n\nSix radio actors were called to do the reading, one for each of the six stories. Coincidentally I was one of the six\n\nchosen. Even more incredible, the story I was assigned to read was that of the Reverend Kioshi Tanimoto.\n\nI didn’t resent having to read Hersey’s report of Tanimoto’s experience. His book, of course, presented it in much greater detail than I had been able to. I welcomed any opportunity available to render Hiroshima human, to counteract its being compressed into a paragraph of cold statistics. Today’s bombs are a thousand times more powerful: the horror of Hiroshima multiplied a thousand times. After having seen with my own eyes what that one “tiny” bomb had done, I knew the full meaning of the expression, “the end of the world.” It used to be an empty cliché; it isn’t any more.\n\nI put together a half-hour radio documentary of my experiences that I couldn’t deal with fully in my short broadcasts from Tokyo. I peddled it to an organization called The United World Federalists, and it was presented over WJZ and its affiliates on March 13, 1947. The introductory pages went like this:\n\nVOICE: These are the words of Socrates: “When you are asked your country, never reply, ‘I am an Athenian,’ or ‘I am a Corinthian,’ but—‘I am a citizen of the universe!’ ”\n\nANNOUNCER: This is the World Security Workshop, presented by the American Broadcasting Company and United World Federalists, to help Americans understand the way ahead to lasting peace, and to offer evidence that all peoples can, in truth, become citizens of the universe.\n\nSOUND: (Establish busy street: traffic, passers-by, etc. Hold under:)\n\nJULIAN: Pardon me, could you tell me how to get to Shinbashi Railroad Station?\n\nJAPANESE: Wakareemasen...?\n\nJULIAN: Oh...uh...Shinbashi...uh...tayeeshabawa...uh...doko deska?\n\nJAPANESE: Ah so deska! Ima wakaramashta. Mingeedessheedayreedes-matsoongoo sakedess.\n\nJULIAN: Okay, thank you...uh...aringato!\n\nSOUND: (Hold street pattern, then fade under)\n\nANNOUNCER: This is Roger Krupp. Tonight, as the eighteenth in its series of original scripts, the World Security Workshop departs from its usual form to present a special program, \"Welcome, Honorable Enemy!\" The voice you just heard asking the direction of Tokyo's Shinbashi Railroad Station, is that of Joseph Julian, who is well known to radio as an actor. Mr. Julian recently returned from a tour of Japan, where he was sent as a special correspondent. The impressions he gathered, the appraisal he made of the postwar Japanese, and the opinions he formed about our responsibilities to this conquered people, were so interesting to us of the World Security Workshop that we felt our audience should hear them. The atomic age has conferred a larger citizenship upon all of us. Whether we like it or not, we are now world citizens. World security can be achieved only if we become good world citizens, and that means enlarging our understanding of the problems of every country in the world. One of the vital problems that today faces us in the United States is how to insure the transformation of a once potent aggressor into a peace-loving member of the family of nations. As a report on conditions there, with which our occupation forces must cope in achieving this objective, Joseph Julian has written, \"Welcome, Honorable Enemy!\"\n\nI developed an original format that allowed me to hang the show on an interview. The announcer asked me questions, I gave a short reply, then we'd fade into a dramatization that would illustrate my point. There was no music, just a large cast and many sound-effects.\n\nJohn Crosby, then radio critic of the New York Herald\n\nTribune, wrote a column reviewing the radio reading of Hersey's Hiroshima and, again a coincidence, in the same column, my own documentary, \"Welcome, Honorable Enemy!\" I quote it at length because it shows the high level of criticism that obtained in those heydays and nights of radio, and because it also has a number of pregnant things to say about the techniques of radio.\n\nRadio in Review\nBy John Crosby\n\nThere was a story in the early days of broadcasting, probably apocryphal, about a sound-effects man who was seriously frustrated in his attempts to reproduce the sound of clashing swords. He tried rolling a barrel full of tin cans, he experimented vainly with the sound of splashing water, but neither these nor a dozen other devices sounded at all right. Finally, in desperation, he tried clashing two swords together. It worked fine.\n\nWriters in trying to convey information in plain news or in documentary broadcasts have pursued somewhat the same course: that is, they will go to preposterous lengths to avoid simply telling the information. With great and frequently mis-spent ingenuity, they have employed drama, massed choirs, street noises, crowd noises, symphony orchestras, and sometimes, when absolutely necessary, the sound of the human voice.\n\nOf course it would be foolish to carry the analogy too far. Much of this experiment in the art of sound, if such a phrase is permissible, has been strikingly effective in putting across an idea, or, in some cases, just a plain news story. Still, in looking back upon a great many documentary broadcasts of one sort or another, the most effective one I ever heard was the broadcast of John Hersey's Hiroshima over the American Broadcasting Company. At the insistence of Hersey, who resisted all attempts to have the story dramatized, Hiroshima was simply read. The only concession to broadcasting technique was the\n\nemployment of different voices for the various parts of the story devoted to the six different characters.\n\nThis method transmitted to the listener not only the highly dramatic story but also the keen intelligence that went into its writing. The listener was left with the impression of a gifted mind assembling the fragments of one of the most significant stories of our time. If the screams of the dying or the crackle of flames had been allowed to intrude, the broadcast would have descended to the level of all the broadcasts which have ever used these sounds, including a great many whodunits.\n\nRecently, the American Broadcasting Company presented another highly effective, but somewhat different documentary called, \"Welcome, Honorable Enemy!\" on its series of public service broadcasts called *World Security Workshop*. \"Welcome, Honorable Enemy!\" presented impressions of occupied Japan of Joseph Julian, a radio actor who formerly broadcast for the Red Cross in Japan.\n\nThe technique, I should say, was about halfway between the *Hiroshima* reading and the traditional method. Julian used a good deal of straight drama, but he also used far more than the normal amount of plain exposition. The exposition took the form of a conversation between Julian and his announcer, Roger Krupp. Somehow, the two men sounded as relaxed as if they were discussing Japan over an after-dinner cup of coffee and at the same time the talk had the coherence of a well-written script.\n\nJulian explained why the Japanese did all that hissing, how illogical the Japanese are about their emperor, and what a shriek strike is. Along with each small anecdote he interpolated his own serious interpretation. By avoiding both clichés and pretension, the two men succeeded in sounding intelligent, one of the most difficult things in the world to do over the air.\n\nThe trick, I guess, is to match the technique to the message. To employ an ear-catching device when you are attempting to engage the intelligence is a serious mistake in anatomy. It is\n\nnot sounds that stir men's minds, but ideas, and the sounds employed to put the ideas across ought to be on the same intellectual level as the ideas.\n\nRadio dramas were still in full flower when I returned from Japan in March, 1946, although the upstart, television, was beginning to nibble at radio's space on the entertainment pages.\n\nBefore I left for Japan, television was still very crude. On June 30, 1944, actress Leslie Woods and I had played the leads in a short, two-character play, *The Favor*. It was the first drama ever televised by CBS. Their single camera was stationary. Thus only one set could be used, and no close-ups were possible. Mobile television cameras had not yet been developed. Worthington Minor, a Broadway stage director, was in charge of the production. After the telecast he had invited us to his apartment to view the first, televised professional boxing match. There were only about three hundred video sets in New York at the time, and the reception was so fuzzy, the only way we could distinguish the two fighters was by the light and dark colors of their trunks.\n\nNow, almost two years later, television had improved, but it still couldn't begin to compete with radio and its cornucopia of programming and high-salaried entertainers. Americans were still laughing at the jokes of The Great Gildersleeve, Edgar Bergen, Jack Benny, Jack Haley, Eddie Cantor, Amos 'n' Andy, Abbott and Costello, Bob Burns, Henny Youngman, Bob Hope, and Burns and Allen. They were dancing to the big band jazz of Harry James, Duke Ellington, Tommy Dorsey, and Sammy Kaye; they were being beguiled by the close harmony of the\n\nAndrews Sisters and the sweet sounds of Sinatra, Crosby, Lena Horne, Rudy Vallee, and Kate Smith. They were being spoon-fed their dinnertime news by such big-name commentators as Gabriel Heatter, Elmer Davis, Lowell Thomas, and Fulton Lewis, Junior. And on Sunday evenings millions would drop everything to listen to the urgent trivia of Walter Winchell, famous columnist for the Hearst newspapers, who achieved one of the highest-rated programs in radio history. Winchell made everything he said urgent by his energy and rapid-fire delivery. Throughout his broadcast he wore a hat pushed back on his head—the trademark of a working reporter—and he maintained an excitement that began with his opening: \"Good evening, Mr. and Mrs. North and South America and all the ships at sea—let's go to press!\" An item about a Hollywood starlet being seen with \"so and so\" would be given the same feverish tone as if he were reporting a declaration of war. Occasionally he had legitimate news scoops, but his hot flashes were largely gossip about political and show business personalities, with periodic plugs for his friend J. Edgar Hoover, and digs at \"Commies\" and \"pin-kos\" as the Cold War grew hotter.\n\nHe was an open advocate of \"tooting your own horn\"—which he did loud and often—and frequently bragged about his power to make or break entertainers and to destroy his enemies.\n\nAnyone who commands so many millions of listeners is powerful enough to influence the news as well as report it—which Winchell often did by the sheer force of his biases. Occasionally he seemed to do it deliberately, by using his vast audience to manipulate the stock market. He'd hint that a certain stock was due for a rise. Enough\n\nlisteners would rush to buy it the next day to create the rise that he had predicted. Once he mentioned the prospects of a seventy-five cent oil stock—the next morning it was quickly run up several dollars. He was never charged with using this power for his own aggrandizement. Rather it seemed more an ego thing—a childish attempt to prove to himself (or to someone from his nursery days) how really powerful he had become. \"Hey, look at me! I can make the stock market go up or down!\" The Securities and Exchange Commission finally cracked down and spoiled his fun.\n\nAt times Winchell wielded his power on the side of the angels. This Lower East Side boy and former vaudeville hoofer founded, and raised millions of dollars for The Damon Runyon Cancer Fund.\n\nNineteen forty-six was also the year Norman Corwin won the Wendell Willkie-Freedom House One World Award for promoting the concept of Global Unity. On June 15 he left to collect his prize—a trip around the world, to report on what people of other countries were thinking, hoping, and planning, now that the war had ended. I had the utterly irrational feeling that I should have been taken along. After all we had been a successful combination in England, hadn't we? But my labored logic did not prevail and this time Corwin took with him only a CBS engineer—a practical companion who knew how to operate one of those new-fangled wire recorders.\n\nThings were rather slow for me during the summer and autumn of 1946. It took a little while to let people know I was back in town and available, although I did pick up\n\nodd jobs on *The Thin Man*, *Philo Vance*, *Mr. District Attorney*, *Inner Sanctum*, *Ellery Queen*, *Casey*, *Crime Photographer*, *Bulldog Drummond*, *The Second Mrs. Burton*, and *Mr. Keen, Tracer of Lost Persons*. I informed the Hummerts I had returned, and they kept their promise to have my role written back into *Lorenzo Jones and His Wife Belle*. However, story lines were written well in advance, and I had to wait several months before being called.\n\nMeanwhile, I worked on the play I had begun on the ship and volunteered some spare time to the Stage Door Canteen, a recreational facility for servicemen that had been set up in Times Square by the American Theater Wing (an organization that had mobilized the entertainment world behind the war effort). It had established Canteens throughout the country, but New York City’s was the most glamorous. It was staffed by actors and actresses—bit players and stars—who volunteered as hosts and hostesses, waiters and waitresses. They even did the dirty work in the kitchen. Although I never put it on my resumé, I’m fond of bragging that I once worked with the great stage actor, Alfred Lunt. I washed. He dried.\n\nFulfilling myself in the theater was still my ultimate goal. But prospects were bleak, and radio work was an extremely painless way of surviving while awaiting that big break on Broadway.\n\nI began calling myself Joe instead of Joseph Julian in the credits, on the theory that scripts frequently had characters named Joe (especially stories about servicemen) and casting directors would just naturally think of me. I can’t prove it, but from then on it seemed as though I played a lot of guys named Joe.\n\nI was happy to be back with *Lorenzo Jones and His*\n\nWife Belle: This was one of the most delightful radio shows on the air—a jewel among the soaps, and my role ran for six years, on an average of three times a week. It was written by Theodore and Mathilde Ferro, a husband and wife team. Highly literate, it had great charm and humor. Lorenzo, brilliantly played by Karl Swenson, was a would-be inventor; I played Sandy, his admiring neighbor. Lorenzo would invent things that were almost ridiculous, but not quite. Such as the three-spout teapot, for strong, weak and medium tea. And an anti-speeding device hooked up to the radio in his car. When going over the speed limit, a tough voice would come through the loudspeaker, snarling, “Take it easy, bud!”\n\nThe show was eventually destroyed by its producers. It was the one soap opera the Hummerts didn’t fabricate in their factory, nor had they insisted the writers conform to their formula. Perhaps it was their way of “atoning” for the others. Or, maybe they were just very fond of it themselves. In any case, after about ten years, when the rating slipped, they decided to broaden the base of its appeal. All the charm and distinction went out of it as they introduced their favorite ingredients—melodramatic plot lines, a murder mystery, and an Englishman for snob appeal. Alas.\n\nI also picked up another running part in Big Sister, playing a role completely different from the Michael West I had originated six years before. Generally, a couple of years was considered time enough for an actor to be “forgotten” and reintroduced into the same show as a fresh character.\n\nIn 1947 I won the starring role in a new weekly show on NBC—Call the Police—that replaced Amos ’n’ Andy for the summer. In it I played a police commissioner of a different stripe—a college graduate grounded in modern anti-crime methods.\n\nThe police had long been maligned in air dramas as being stupid, uneducated, and cruel, and this was an attempt to put them in a better light.\n\nA feature of the series was an award of $100 to a \"Police-man of the Week\" who had performed an outstanding service beyond the call of duty.\n\nThe show had a little side dividend. The National Police Magazine published on its cover a picture of me presenting a check to a police officer. I always kept that issue in the glove compartment of my car. It got me out of two speeding tickets.\n\nApropos the police—one evening I picked up a copy of the New York Mirror and got a chill. The entire front page of the tabloid was a close-up photograph of a man's swollen and bloodied face. The caption said that he had resisted arrest on a murder charge. He had been beaten so badly identification was nearly impossible, but there was something about the crinkly corners of his swollen eyes that made me turn to the story on the inside page. It was Tom Ashwell.\n\nHe had been arrested by Florida police for murdering two young girls. From their photographs they looked like the working class girls, the \"spirited little sparrow types,\" with whom we had double-dated. He had represented himself as a movie talent scout and was presumably driving the girls to a nearby town to have pictures made. He turned off on a side road to the woods, where he stopped, tied each girl to a tree, and, after raping them, bashed their heads in with a hammer.\n\nAshwell was tried and convicted, and several months later he was executed in the electric chair by the State of Florida. I thought back fifteen years, remembering his cold-blooded plan for success. Cold-blooded, yes. Success, no.\n\nThe reverberations of that horror stayed with me a long time. I usually try to distill something positive out of the shocks of my life. I don’t know what I got out of that, except, perhaps, a little more respect for my intuition.\n\nIn early 1948 I won an audition for one of the two leads in another crime show, *Hearthstone of the Death Squad*, a weekly, prime-time evening series on CBS. The job lasted five years. It was, undoubtedly, one of the worst shows on the air, yet had one of the highest ratings. I’m too patriotic to draw conclusions. Hearthstone, played by English actor Alfred Shirley, was a New York cop; I was Sam, his assistant. No one ever raised the question of why a New York cop would have a broad English accent. But if they had, the answer would have been that the producers, Frank and Anne Hummert, had a theory about snob appeal. Most of their other programs also contained at least one character who was upper class, such as *Our Gal Sunday (Organ music)*: Can a miner’s daughter find happiness with England’s richest Lord?\n\nBetween the Hummerts’ “snobs” and radio’s occasional productions of Shakespeare and other classics, there was a fairly active demand for good English speech, and there were enough English actors living in New York to supply it.\n\nOne, Harry Cliff-Cooper, who had played the voice of God in a biblical drama, was out of town when the show\n\nwas repeated. He was replaced by Jay Jostyn (star of *Mr. District Attorney*), an actor with a distinctly American flavor to his speech. When a fellow actor sympathized with Cliff-Cooper for having lost the role, he replied with typical British fortitude, \"Well, in this business we must take the bad with the good.\" And then added, quite sincerely, \"But, dear boy, one does rather think of God as an Englishman, doesn’t one?\"\n\nI acquired another regular weekly show, the radio version of Rex Stout’s Nero Wolfe stories, first heard over ABC in 1943. For four years I played Archie, the famous fat orchid fancier’s tough assistant. Santos Ortega, one of radio’s busiest actors, played Nero Wolfe in a very fine, fat voice. The producer was the fabulous Himan Brown. Why fabulous? Ask anyone who knows him.\n\nHi was one of radio’s pioneer producers, and had made a million dollars by the time he was twenty-four. When still little more than a kid, he zeroed in on what the average listener liked, and originated such radio shows as, *Marie, the Little French Princess* (one of the first soap operas); *Green Valley, U.S.A.*; *The Thin Man*; *The Gumps* (written by Irwin Shaw); *Joyce Jordan, Girl Interne*; *Hilda Hope, M.D.*; *Little Italy*; *Inner Sanctum*; *Grand Central Station*; *City Desk*; *The Affairs of Peter Salem*; *Flash Gordon*; *Bulldog Drummond*; *Dick Tracy*; and *Terry and the Pirates*, to mention only a few.\n\nThese were all ongoing shows, and Hi was always up to his ears in authors and actors, each daytime serial requiring five scripts, and evening shows a complete new story, every week.\n\nThe Frank and Anne Hummert factory may have turned\n\nout a larger number of shows, but Hi Brown was a one-man operation. He produced, cast, and directed all of his shows himself. He never even had an office. He’d make his phone calls from home, or use a phone at one of the studios. He had shrewd understanding of script values and an outsize charm that seduced performers to work for him for less than they would for anyone else. But he also gave them a continuity of work on his other shows, made less demands on their time, and created a more pleasant working atmosphere. It was fun working for him.\n\nHe usually hired only the best actors, who could deliver quickly, thus saving on rehearsal pay and studio costs. On most half-hour shows he’d have only an hour and a half of rehearsal. Other directors used up to four hours.\n\nDuring the first read-through for timing, Hi would sit with stopwatch in one hand, pencil in the other, slashing out lines if the script were long. And it was long more often than short (it being easier to cut than to pad). When the actors finished he’d give them the cuts to write into their scripts. There would be some rehearsal of sound effects, and usually barely enough time left over for one run-through of the complete show on mike, just before going on the air.\n\nMost of his directions were of a technical nature. He rarely gave “performance” notes. He expected his actors to know their craft. That’s why he hired them. And, in the vast majority of the cases, his system worked well.\n\nHi Brown was radio’s champion corner cutter. I think it was programmed into his genes. And that was one major reason for his success. All those corners added up, and he was usually able to sell a program at a lower price than his competitors.\n\n11. The Eclipse\n\nNineteen forty-eight and nineteen forty-nine were probably the busiest years of my radio acting career. To the end of the decade I was happily hopping from one show to another, hiring a stand-in to rehearse for me here while I did a show there, frequently turning jobs down for lack of time. Between my regular, running roles, I worked on the myriad shows, a few of which I take from the yellowed pages of my old account book:\n\nCasey, Crime Photographer\nThe Falcon\nThe Shadow\nBelieve It or Not\nFront Page Dramas\nSchool of the Air\nCounterspy\nBoston Blackie\nInner Sanctum\nMysterious Traveler\nNora Drake\nGreatest Story Ever Told\n\nGeneral Electric Theatre\nMr. Chameleon\nMr. Keen\nWendy Warren and the News\nUp for Parole\nRoad of Life\nTwo Thousand Plus\nBackstage Wife\nDavid Amity\nVoice of America drama\nFront Page Farrell\nJoyce Jordan, Girl Interne\nCafé Istanbul\nAgainst the Storm\nAunt Jenny’s True Life Stories\nHilltop House\nGasoline Alley\nFrank Merriwell\nHobby Lobby\nSuperman\nYoung Doctor Malone\nBroadway is My Beat\nSecond Mrs. Burton\nPortia Faces Life\nWhen a Girl Marries\nPerry Mason\nWe, the Living\nThe Goldbergs\nGene Autry Show\nHollywood Love Story\nThe Ramparts We Watch\nTime Bomb\n\nMy curve of activity and income rose steadily through 1947, ’48 and ’49. Then, in 1950, it turned down and rapidly declined until, in 1953, I earned a mere $1630.\n\nHow was it possible for such a busy actor to lose his\n\nmarketability so quickly? The answer was: a U.S. Senator, Joe McCarthy. Exploiting the Cold War between the United States and Russia, McCarthy smeared, with a wide red brush, everyone who stood in his way, including President Eisenhower and the United States Army. Any political liberal, or anyone vaguely to the left of right, might suddenly be labeled a Communist or a fellow traveler by the Senator. Left became a dirty word. A joke of the time: \"I have no left foot. Only a right foot number two.\" But it was not very funny.\n\nThe Watergate hearings were a tea party compared to the uproar on the televised hearings of the Senate Sub-Committee on Un-American Activities, presided over by Joe McCarthy. His brutal brow-beating of witnesses and dramatic denunciations of individuals created a climate of fear throughout the country. The mighty trembled, and did nothing, as McCarthy laid waste reputations, careers, and lives. Playing on the fear of war with Russia, McCarthy assumed a heroic posture as he \"exposed\" more and more \"subversives\" at home. The forces of ignorance and Fascism rallied to him and became his main support.\n\nThe Senate subcommittee generated outside pressure groups, and blacklisting organizations developed all over the country.\n\nAfter intimidating Hollywood into firing and not hiring some of its most creative talents, the witch hunters turned their blacklisting passion to radio and television. These media were even more vulnerable. Products and profits were more directly associated with individual performers, and a threat of boycott quickly scared sponsors into dropping those who had a finger pointed at them, whether the\n\naccusations were true or not. They reasoned, \"Why risk the loss of customers when there are plenty of 'safe' actors around?\"\n\nActors are notoriously generous in donating their time and talent to causes. When asked, they find it difficult to say no. Frequently they agree to perform at functions without probing deeply into the sponsorship. Many lost their livelihood for that reason alone. Also, Russia had been our ally during the war, and there were still many Russian-American friendship organizations. Prior to the Cold War, it had been possible to talk to professional colleagues who were Communists, or Communist sympathizers, although you might have disagreed with their politics. But the number of actual revolutionaries was small, and the threat of their subverting the broadcast industry nil.\n\nThe atmosphere around the studios became heavy with fear, suspicion, and hate. Some board members of our own union, The American Federation of Television and Radio Artists, helped form a pressure group, Aware, Inc., to force the banning of all Communists and sympathizers (by their definition) from the airwaves. At union meetings they openly advocated blacklisting and split the union wide open. Those who voted against it were carefully noted, and things happened to them. Like being fired. Or not being hired.\n\nThere was a close liaison between Aware, Inc. and the House Committee on Un-American Activities in Washington, and Lawrence Johnson, the owner of several supermarkets in Syracuse, New York. The first two supplied the names; Johnson was the enforcer. Johnson's clout stemmed from the fact that he owned six supermarkets on\n\nwhose shelves stood the majority of products advertised on radio and TV. When he was fed a name to do a job on, he’d shoot off a telegram to the sponsor asking: DO YOU WANT STALIN’S LITTLE CREATURES CRAWLING ALL OVER YOUR PRODUCTS?, coupled with a threat to remove said product from the shelves of all six of his stores if the sponsor didn’t fire the tainted actor. That was a powerful persuader, pardner. The “Grocer from Syracuse,” as he became known, would follow up with personal visits to Madison Avenue, to persuade the advertising agencies to do his bidding. He usually got results. The actor never knew what had hit him.\n\nI was appalled as more and more of my friends faded from the scene. I wasn’t worried for myself. Whatever sympathy I had for the poor and downtrodden in Russia, I had very early been opposed to the brutal dictatorship of Stalin and I had always been forthright in my opinion that the light that went into the bottom of the Russian revolution was no longer shed from the top. Why would anyone blacklist me?\n\nI was naïve. On June 22, 1950, I was shocked out of my complacency by the publication of Red Channels: The Report of Communist Influence in Radio and Television, a paperbound volume listing 151 actors, directors, producers, writers, announcers, musicians, and commentators, and their associations with organizations accused of furthering the Communist cause. My name was among them.\n\nThe cover of the book had a huge, bloody, red hand clutching a microphone, and despite an attempt at a legal disclaimer by burying in the fine print of the introduction—\"In screening personnel, every safeguard must be\n\nused to protect innocents and genuine liberals from being unjustly labeled\"—the implication was clear that everyone in that book was subversive and should be kept off the air.\n\nVincent Hartnett, a former production assistant on the radio show, *Gangbusters*, claimed credit for conceiving, compiling, and writing the introduction to the book, but it was given instant status by Ed Sullivan, the influential columnist of the New York *Daily News*, who wrote:\n\nWith television going into its third big year, come this Fall, the entire industry is becoming increasingly aware of the necessity to plug all Commie propaganda loopholes.\n\nNetwork and station heads, with a tremendous financial stake, want no part of Commies or pinkos.\n\nSponsors, sensitive in the extreme to blacklisting, want no part of Commies or their sympathizers.\n\nAdvertising agencies, held responsible by sponsors for correct exercise of discretion in programming, want no controversy of any kind.\n\nFor that reason, *Red Channels*’ listing of performers, who, innocently or maliciously, are affiliated with Commie-front organizations, will be a reference book in preparing any program.\n\nSo it came to pass. Copies of *Red Channels* were sent to all radio and television stations, advertising agencies, and casting directors. Now, at last, there was an “authoritative” blacklist that could be kept handy in a desk drawer. And it wreaked havoc on the lives of those listed.\n\nMy listing was minuscule compared to most of the others in the book, some of which amounted to forty-one entries. This is the way my name appeared, connecting me with two allegedly subversive organizations, and the sources of this information:\n\nJOE JULIAN\n\nActor—Radio.\n\nArtists’ Front to Win the War\n\nNational Council of the Arts, Sciences and Professions.\n\nReported as:\n\nSpeaker. Meeting 10/16/42. House Un-Am. Act. Com., Appendix 9, p. 575.\n\nAttended meeting to abolish House Un-American Activities Committee, Hotel Commodore, NYC, 1/9/49 NY Journal-American 12/30/48.50\n\nThe facts: When I returned from London in 1942 I was invited to read in Carnegie Hall a poem about artists who died fighting Fascism. The meeting, organized by a committee called Artists’ Front to Win the War, was to further sentiment for the opening of a second front in Europe, which was being called for by President Roosevelt and most U.S. military leaders. A second front was also advocated by a number of prominent anti-Communists, such as author Louis Bromfield, Lord Beaverbrook, and Dorothy Thompson. Some of the speakers were Orson Welles, Charlie Chaplin, Mary Margaret McBride—a wide spectrum of political coloration. The list of sponsors read like a Who’s Who of the American Theater.\n\nThis was my one and only connection with that committee, which eight years later was termed subversive by some small California committee of state legislators.\n\nMy other “crime” was having attended a public rally on January 9, 1949 at the Hotel Commodore in New York, called by the National Committee of Arts, Sciences and Professions, to abolish the House Un-American Activities Committee. This widely-advertised rally featured Burt\n\nLancaster as the main speaker. I indeed attended, since I was personally sympathetic to the purpose of the meeting, namely, to protest censorship and the disgraceful conduct of the Chairman of the House Un-American Activities Committee, Parnell Thomas, who was later sent to prison.\n\nNevertheless, those two citations in *Red Channels* cost me my livelihood for over three years.\n\nThis was an ugly period in American life and in mine, and I find it difficult to write about. My urge is to skip over it. Others, better qualified, have documented the history and scope of blacklisting in the broadcast industry. But I do feel a responsibility as a victim to record some of what I went through. A whole new generation hardly knows that such a thing ever happened. But the fact is it could easily happen again if we relax our vigilance in defending our freedoms. Control of broadcasting is one of the first major objectives of those who would take them away.\n\nMy initial reaction to the publication of *Red Channels* was anger and indignation—not panic or fear of economic loss. At that time I had no concept of what was to follow. I was furious at being misrepresented, at being labeled a subversive. And so, when I heard that a number of \"listees\" were meeting in the office of Attorney Arthur Garfield Hays to plan legal action, I made it my business to be there.\n\nHays, a wrinkled, leathery man in his eighties, was a famous civil libertarian, who, along with Clarence Darrow, had been one of the defense lawyers in the renowned Scopes \"Monkey Trial.\"\n\nThere were eight or nine performers at the meeting, and the majority urged Hays to represent them in a mass libel suit. He told them he was outraged by the book and offerred to represent everyone individually on a contingency basis, but not as a group—and only if they could convince him that they had in fact been libeled.\n\nOnly four actors agreed to that: Ralph Bell, Pert Kelton, Selena Royal, and me, confirming Hays' feeling (as he later told me) that the others wanted the group action in order to use us to mask their membership or former membership in the Communist Party.\n\nI had a couple of private meetings with Hays, during which he questioned me closely, especially about my political beliefs. Convinced that I had been libeled, in December 1950 he filed suit on my behalf against the American Business Consultants, publishers of *Red Channels*, for $150,000 in damages. It was four years before the case reached the courtroom—four wretched years of declining work, income, and morale.\n\nThings didn't happen abruptly: everyone in the book wasn't fired the day after publication. Except in a few prominent cases, those who were contracted were kept on until their contracts expired. As for the work-a-day actor, he gradually began getting fewer calls. Not many producers and directors were sympathetic to blacklisting, but as the heat was increasingly poured on by the \"Grocer from Syracuse,\" his confederates within the union, and others, *Red Channels* became more and more, as Ed Sullivan predicted, \"a reference book in preparing any programs.\"\n\nThere were a few courageous employers—even sponsors, who bucked the tide, but the vast majority eventually succumbed to the pressures. A number of directors told me in confidence, \"I want to use you, Joe, but it would cost me my job.\"\n\nMost weren’t that frank. They made excuses, or avoided speaking to me altogether. And that was the insidious part—the victims rarely knew for sure why they were no longer called. And that sparked the old syndrome: “It was my fault. I’ve been giving lousy performances. I’ve lost my talent, etc.” If the odds were ninety-nine to one that it was because of *Red Channels*, actors would dwell on the one percent possibility that it was their own fault. The blacklist played hell with our fragile egos. Actors need to act. The loss of function was worse than loss of income. It led to a terrible erosion of faith in ourselves, both as artists and as productive members of society.\n\nI spent a great deal of my time just hanging around the studio lobbies racking my brains for a way to earn money. My bank account was dwindling fast. I still had one regular evening show each week, *Hearthstone of the Death Squad*, for which I was paid $125, but it wasn’t nearly enough to meet my obligations. The show had been on several years, and I had been promised a twenty-five dollar raise, which seemed to have been forgotten. I decided to call on the producer’s business manager. He greeted me politely, asked me to sit down, and before I could explain my mission, opened his middle desk drawer, and took out a copy of *Red Channels*.\n\n“Mr. Julian, I see your name listed in this book,” he said, his raised eyebrows inviting an explanation. His strategy was clear. He knew why I was there. Actors usually came to discuss money matters, and he was cutting the ground from under me.\n\nHe listened attentively while I explained at length why I should not have been listed. Then I reminded him of the promised raise. He slipped the book back in the drawer. I\n\ndon’t recall his exact words, but the raise was refused. And loud and clear between the lines I heard, “Now get the hell out of here and be glad you still have a job!”\n\nI didn’t much longer. Some months later that show went off the air. Now I was really in the straits of dire. I seriously thought of going back to selling shoes on Forty-second Street. Every day I pored over want ads, stupidly hoping to find a good job for which no experience was necessary. I wanted to fight out of the situation with all my strength, but I no longer knew how, or in what direction to move. I felt helpless.\n\nI asked myself who was the most influential person I knew in broadcasting? I remembered that the president of CBS, William Paley, had sent for me when I returned from London. I figured I couldn’t do better than going to the top. I wrote him a letter:\n\nDear Mr. Paley,\n\nSince I’ve been in radio I have worked on literally thousands of CBS broadcasts. You may remember me as the “American” in your American in England series during the war.\n\nAt the present time I am barred from working on CBS radio or television shows by virtue of my listing in Red Channels. This I have learned from several sources. I am sure you are unaware of the injustice being done me.\n\nThe subversion implied by the listing of my name in Red Channels is grossly libelous and I have entered a libel suit against the publishers for $150,000 damages. I have never been a member of any organization listed as subversive by the Attorney General, and have signed the CBS oath to that effect. Politically, I am and always have been equally opposed to totalitarianism of the left or the right, and any form of government that devalues the basic rights of the individual.\n\nI am writing to you, Mr. Paley, because I am being deprived\n\nof my livelihood. I realize you are too busy to deal with all the cases of individual actors who are caught in the squeeze of this monstrous problem of our times, but I would be grateful if you would advise me what further steps I can take in order to resume working for CBS.\n\nSincerely,\nJoseph Julian\n\nI received a brief reply. Paley stated he had turned my letter over to Dan O'Shea, a CBS Vice President, and suggested I contact him.\n\nO'Shea, a former Hollywood executive, was Chief Security Officer at CBS and had developed a rigorous screening system. I had heard that a number of blacklist victims had gone to him, confessed their sins, and received absolution—and help in restoring their careers.\n\nI went to see Mr. O'Shea. Having nothing to confess, I explained my listing in Red Channels and how desperate my work situation was.\n\nA large, avuncular man, he seemed to listen sympathetically as he moved about his well-appointed office smoking a large cigar. When I finished he told me that he believed everything I had said, but asked why I had only stressed what I had not done. What active steps had I ever taken to fight Communism? he wanted to know. I told him I was not a political activist, that most of my contribution was in argumentation. He said that that wasn’t enough. In order to help me, he would have to have more to go on. He suggested I could do myself a lot of good by attending some American Legion rallies or joining General Lucius Clay’s Crusade for Freedom. And he strongly implied that things would be much better for me if I dropped my lawsuit.\n\nShortly after that, the Crusade for Freedom had a rally in Times Square. I volunteered to make a pitch over a loudspeaker for cash contributions to further the work of the Crusade in broadcasting to people behind the Iron Curtain.\n\nI felt queasy doing it, and after three or four minutes stopped. My conscience would not allow me to go on, in view of my aversion to the hard-core sponsorship of the Crusade. The extreme right was just as unpalatable to me as the extreme left.\n\nTechnically, I had taken a step toward clearance. But I couldn’t bring myself to follow through on O’Shea’s suggestions. And at this point it was unthinkable that I drop my lawsuit. So I continued to be unemployed.\n\nMy only real hope now was vindication in court. But it had been two years since I filed suit! I wrote a letter to Arthur Garfield Hays, asking whether my case couldn’t be speeded up because of economic hardship:\n\n... things have reached the desperate stage with me. I am heavily in debt. I have cashed in my insurance policy to pay my rent and grocery bills. I can no longer earn a living in my profession. By the way, a former CBS director told me yesterday that he would be glad to testify when my case comes to trial, that he wanted me for a part and was ordered not to call me because my name is in the book. I have accumulated quite a list of people who have given me such information. . . .\n\nBut Hays could do nothing. The court calendars were hopelessly clogged.\n\nDuring this period I often fought off frightening fantasies of pushing certain pro-blacklisting union officials under a subway train. I was shocked to find myself speculating on how many broken lives it might redeem, and\n\nwhether I could ever really bring myself to do such a thing. It was one of those questions pacifists tortured one another with: \"Could you personally kill Hitler if you knew it would save millions of lives?\"\n\nDuring those desperate years of unemployment and frustration for so many talented people—a number of whom committed suicide—I fortunately managed to survive by discovering a market for my talent that the \"Grocer from Syracuse\" didn't seem to know or care about: narrating industrial, institutional, and training films. Most of it was sixteen-millimeter material that had no general public exposure, and therefore was not subject to the same blacklisting pressures. It was painful, but I swallowed whatever pride I had accumulated and went from company to company soliciting auditions. Occasionally I landed a job. I soon discovered that most of these filmmakers had been using pontificating radio announcers as narrators, and were delighted to find their films enhanced by the feeling of simple truth that a narrator with an acting background could bring to his reading. These jobs just barely kept my nostrils above water.\n\nIronically, during this period when radio stations and advertising agencies wouldn't hire me because of my \"subversive\" associations, one of these film companies (MPO Films) engaged me to act the on-camera role of a five-star general in a secret film being made only for the eyes of a special U.S. congressional committee, about how our Strategic Air Command would function in case of an enemy attack. We shot the film in the super-secret headquarters control room of the Strategic Air Command, deep in the bowels of the earth at Omaha, Nebraska, where\n\nguards were posted every fifty yards and permission to enter was given only to those who had been thoroughly investigated and approved by the FBI. That, I suppose, is as eloquent a comment as can be made on the blacklisting insanity that prevailed in the name of national defense.\n\nDuring the shooting of this film, I went to the men's room one day, wearing my general's uniform. Standing next to me was an Air Force colonel (a real one). He did a double-take as he noticed my five stars, and became utterly uncoordinated. Torn between lifting his occupied right hand in a salute or withdrawing and zipping up first, he made several false starts in both directions before saluting. It was a disaster. I returned his salute. I didn't dare risk his wrath by telling him who I really was.\n\nEarly in 1954 Hays informed me that my case was on the calendar. He said we had a few more weeks to prepare, and instructed me to line up witnesses who would testify they didn't employ me only because my name was in Red Channels.\n\nAlthough I had faced juries in hundreds of radio dramas, this was my first real-life courtroom adventure, and my eagerness was tinged with apprehension. I had been told New York State libel laws were notoriously complex; that both damages and malice had to be proven; that findings for the plaintiff were rare; that libel is one lawsuit where the plaintiff is on the defensive all the time, and that the defendants will raise whatever extraneous issues they can to further blacken the character and credibility of the plaintiff: me.\n\nToo, the mere prospect of appearing in court can make one feel a smidgen of culpability. Since there are no absolutes in this world, how can we be sure we are ever completely innocent? The very prospect of being judged evokes a Kafkaesque echo of infantile or prenatal or prehistoric guilt. But I banished most of these negative feelings with a determination to fight as hard as I could; energetically I began my search for witnesses.\n\nBut they weren’t to be had for the asking. Nor for the pleading, arguing, or cajoling. By now blacklists had proliferated, and merely being seen in the company of a *Red Channels* listee was enough to land you on somebody’s list. The intimidation of the industry was so thorough that even those who had promised to testify changed their minds. The starch went out of even the brave ones. I couldn’t really blame them. They, too, had families to support. But without evidence or testimony that I had been deprived of work by my listing in *Red Channels*, I had no case. It was terribly disheartening. For the previous four years the promise of legal salvation had kept me going. It had been my only hope. And now that was dimming.\n\nStill, I daily haunted the hangouts of radio actors, writers, and directors—the third floor lobby at NBC and Colbee’s Restaurant in the old CBS building—searching out every crumb of support.\n\nThere was plenty of moral support, but nothing to support my morale; much sympathy but not a single commitment. No one dared stick his neck out.\n\nBut persistence finally paid off. Someone did dare. He was having a quick noontime bolster at Colbee’s bar as I approached and said, “Ed, I’m suing *Red Channels* for libel. Will you be a witness for me?” Without the slightest hesitation, without asking a single question, without speculating for a fraction of a second about how an appearance on my behalf might compromise his position at CBS, he replied, \"Tell me when and where, Joe.\" That's the kind of a man Edward R. Murrow was.\n\nIt gave my spirit an enormous lift. I knew that just his presence in court on my behalf would count heavily. He also promised to bring along another character witness, Charles Collingwood, the well-known CBS foreign correspondent, whom I had met in London. Things were looking up. I was beginning to regain confidence.\n\nI had a two-hour \"trailer\" of the trial, at a pre-trial examination called by the defendants, mainly as a fishing expedition. The biggest fish they caught was an acknowledgment by me that I had at home a few ancient Theatre Arts Monthly magazines, which were alleged to have been published by some Communist front organization.\n\nThey also used the occasion (off the record) to try to convince me to drop my suit. I refused. They strongly implied that they would see I got work, and cited a well-known Broadway and Hollywood actor, listed in Red Channels, who had threatened to sue but was persuaded to talk it over. He dropped the suit and found himself again in demand.\n\nI couldn't do it. The momentum was too great. Ed Murrow and the angels were on my side, and I was going to win. Besides I had a growing awareness of the larger importance of my suit. Other victims had a stake in my fight. A solid verdict would be a smashing blow to the entire structure of blacklisting. I vigorously went after more witnesses.\n\nI remembered that Marjorie Morrow, an agent and a dear lady, told me she had submitted me a number of times to the Philip Morris Playhouse, always with the\n\nsame \"Can't-use-him-he's-in-Red Channels\" response. Asked if she would so testify in court, she said no, she was already in trouble just for having submitted my name. I told her I could subpoena and force her to testify under oath. Almost in tears, she asked me not to. Hers was a small agency, and it would ruin her. \"Promise me you won't,\" she begged. I promised.\n\nBut it gave me another idea. The director of the Philip Morris Playhouse, Charles Martin, was a bright, erratic, liberal, temperamental young writer-director, who had made it to the top in radio by using a little properly channeled imagination. I wondered if he might be just courageous or neurotic enough to agree to testify where others wouldn't. It was worth a try.\n\nI phoned Hays. First I told him how I had threatened Marge Morrow with a subpoena and why we couldn't go through with it. He said he rarely forced a witness to court anyway, because he liked to be sure of what they were going to say.\n\nI told him about Martin and suggested we call on him. I figured it would be easier for Hays to get an appointment than for me, and that a man famous for swaying juries would be much more apt to persuade Martin to testify.\n\nWe met in Martin's apartment a few days later, where for an hour he warded off our pleas, even though he had strong feelings against the blacklist. He also had a high-salaried job and didn't want to lose it.\n\nI argued that his employer wouldn't hold him responsible if he were \"forced\" to appear and tell the truth under oath. And I impressed him with the fact that Ed Murrow was going to be a witness for me.\n\nHays too stressed the Murrow name, playing on Martin's\n\nego and idealism. You could see Martin growing larger and sitting straighter as Hays eloquently wove a hero's mantle around him. He told him this was a great opportunity to bust the blacklisting business wide open; that he, Charles Martin, could help turn the tide the way Murrow's famous broadcast documenting Joe McCarthy's villainy helped to generally turn the country away from McCarthyism. Martin succumbed. Not weakly, but embracing the cause wholeheartedly. Now I had my first and only witness to support a claim of damages.\n\nCharacter witnesses were easier to acquire. In addition to Murrow and Collingwood, Robert Saudek, producer of the Ford Foundation's *Omnibus* program—the man who a decade earlier had produced my \"Dover Diary\"—and writer Morton Wishengrad agreed to testify.*\n\nFinally, I was notified by Mr. Hays that my case would be called for trial on February 26, 1954.\n\n*Wishengrad, who died a number of years ago, was in my opinion the only writer other than Corwin who created a body of radio literature that deserves a perennial life. And many of the little stories he wrote have been and are still being repeated on NBC's Sunday *Eternal Light* program. Written with biblical simplicity, and sponsored by the Jewish Theological Seminary, they were not religious in the narrow sense. And although he drew on his vast knowledge of ancient Jewish lore, his stories, informed by his own sweet humor and fineness of spirit, had an ecumenical appeal.*\n\n12. The Trial\n\nAs we entered the courtroom that first day Hays was optimistic. Truth was on our side, we now had some good witnesses and good evidence—and we were to plead before Justice Abraham Geller, who had a reputation as a fair-minded liberal.\n\nBut there was an immediate setback: as the jury selection began, the attorneys for the defendants produced a list of some 200 organizations, and asked the judge for permission to disqualify any juror who ever had the remotest connection with any of them. Judge Geller asked to see the list. After studying it a few moments he said, \"I see you have here the American Civil Liberties Union. Why, I myself used to be a dues-paying member of that organization.\"\n\nWhereupon Ed Wallace, the chief defense lawyer, said, \"Therefore, your Honor, we ask you to disqualify yourself from sitting on this case.\"\n\nAnd Judge Geller complied.\n\nI was shocked, even though Hays explained to me that it\n\nwas customary in a civil suit for a judge to disqualify himself if either party requests it.\n\nIt was three months before the case was called again, this time before Judge Irving Saypol. I have no knowledge of how the assignment was made. I have no evidence that it was more than a coincidence. But it was mighty strange that, among other things, Saypol just happened to have been the U.S. Attorney who prosecuted Julius and Ethel Rosenberg and helped send them to the electric chair.\n\nAt our first appearance in his court, on May 17, 1954, Judge Saypol said, \"Mr. Hays, before we proceed, I would like to remind you that you and I have had many disagreements in the past. I would also like to inform you that Mr. Wallace, counsel for the defendants, used to be my executive assistant. In view of that I would like to know if your client would feel uneasy if I tried this case?\"\n\nAh! Now our side had a break. We conferred a fast two seconds, then Hays said, \"Yes, your Honor, we would like you to disqualify yourself.\"\n\nSaypol said he would give his answer after lunch, and declared a recess.\n\nWhen the court reconvened he said he had thought it over and had decided that he would be remiss in his duty if he stepped down. He ordered the case to proceed.\n\nIt was incredible. Not only his flouting custom, but the way he had set it up, asking us, and then...\n\nI asked Hays if we had no legal recourse. He said the best strategy was not to make an issue of it. That would put the burden on Saypol to bend over backward to be fair. But it didn't work that way. I'm no expert in the fine points of legal contention, but I know hostility when I feel it. And it was there throughout the five days we presented\n\nour case. Perhaps some of it was the ingrained aggressiveness of the prosecutor Saypol had once been and to which he frequently reverted as he leaned over and hammered questions at my witnesses from the bench. The transcript of the trial shows the judge asking my witnesses almost as many questions as the defense counsel did. Most of the time he gave the impression he was developing the defendants' case for them.\n\nHis attitude toward Hays, who behaved with meticulous decorum, was reflected in this little colloquy when he denied one of his objections:\n\nHAYS: Then your Honor denies me the right to state the reasons for my objections?\n\nSAYPOL: No. It is immaterial.\n\nHAYS: I want to state my reasons.\n\nSAYPOL: I don't need them. If I want I will ask for them.\n\nHAYS: I understand that, but I want to make it perfectly clear on the record that your Honor denies me the right to state the reasons for my objection.\n\nSAYPOL: I believe you have adequately stated them.\n\nSpoken, it sounded even more arrogant. And that was the general tone of the proceedings.\n\nI was sworn as the first witness in my own behalf. Hays had put me at ease by assuring me that the best witness was a truthful one, and that I had no reason to be anything but.\n\nHe led me through my early background, with questions calculated to elicit answers that would touch the jurors' emotions, such as the fact that my mother had died when I was an infant and my father when I was twelve; that I lived with an aunt and uncle for a time, then in an orphanage; that I later boarded in a home for working boys, sold\n\nnewspapers, worked in a candy store and a shoe factory; became interested in amateur theatricals; started professionally as an extra for a dollar a night with a stock company that came to town.\n\nHays was so sympathetic when he dwelt on my orphanhood that it embarrassed me. And, in stressing how I had overcome my deprived childhood and gone on to professional achievements, he must have harvested more sympathy from the jury. \"Get 'em emotionally from the start,\" seemed the strategy of this famous trial lawyer.\n\nHe traced my career up to and a few years beyond the publication of *Red Channels* when my income fell to almost nothing. I produced verifying tax records showing that during the first four months of the then current year, 1954, my income was $309.\n\nThe defense tried to establish on cross-examination that my lack of employment was the result of television's impact on radio, and that I was essentially a radio actor. Over a period of several years I had compiled a list of directors who had told me of specific occasions when they had wanted me for both radio and television shows, but had not been permitted to hire me because I was in *Red Channels*. His Honor would not permit me to testify to what these directors had told me.\n\nBut the real rub came when my other important witnesses were blocked from contributing crucial testimony by defense objections that were upheld by the judge.\n\nFor instance, Davidson Taylor, director of public affairs for NBC, was only allowed to testify to my reputation as an actor. He was not allowed to give his opinion about my reputation for loyalty or veracity—which to my non-legalistic mind seemed highly relevant in a case of libel.\n\nCharles Collingwood was not allowed to answer Hays’ question about my reputation as a man of loyalty, integrity, and as a good citizen. Nor was Ed Murrow. And when Hays asked Murrow, “Are you familiar with the customs of the television and radio business in connection with the employment of actors, so that you can tell me whether or not there is a custom in the business that men whose names are listed in Red Channels should not be employed?” Murrow was not permitted to respond because he himself did not specifically have to do with the hiring of actors, even though he was at that time a CBS vice-president and fully aware of the company’s policy.\n\nCharles Martin was probably my most valuable witness. He rose to the occasion splendidly. He acted it up a bit, shrugging and making shocked grimaces to the jury as the judge or defense lawyer restricted his testimony. But he persisted in his central statement that he was not permitted to hire any actor listed in Red Channels.\n\nAn excerpt of his direct examination by Hays:\n\nHAYS: Mr. Martin, what is your business or profession?\nMARTIN: I am a producer and director and writer occasionally of radio, television and motion pictures.\nHAYS: And how long have you been in that business or profession?\nMARTIN: Well, I have functioned in this capacity for more than sixteen years.\nHAYS: Do you, in connection with your work, pick out persons as artists or actors?\nMARTIN: I have sole jurisdiction, I would say, as to who works for our shows other than whatever blocks are put on me by the people above me. But the client has placed me in charge of casting. I think every director and producer does his own casting, largely, in this industry.\n\nHAYS: Can you tell us some of the shows you are producing today?\n\nMARTIN: Well, the Philip Morris Playhouse, radio-television. I have written for The March of Time, Criminal Court, I have done several films for MGM, Universal, I have done innumerable radio shows, the Tallulah Bankhead Show, which I wrote and directed, the Gertrude Lawrence Show.\n\nSAYPOL: They can be counted, can’t they? You say innumerable. I’m sure somebody can count them.\n\nMARTIN: Forgive me, your Honor.\n\nSAYPOL: You don’t want to say how many?\n\nMARTIN: I don’t know how many, actually. But I have done a great many shows.\n\nHAYS: Do you remember when the book Red Channels was published?\n\nMARTIN: I don’t remember when it was published. I remember when it was given to me.\n\nHAYS: And about when was that?\n\nMARTIN: A copy of Red Channels was given to me in the year 1950, I would say, when I returned from Hollywood, after having done some films, and had returned to radio.\n\nHAYS: Did you ever refuse to give Joe Julian a job as an actor on any of your shows for the sole reason that his name appeared in Red Channels?\n\nWALLACE: Objection.\n\nSAYPOL: I will allow it.\n\nMARTIN: I did refuse to give Mr. Julian employment on our shows because his name was in Red Channels.\n\nHAYS: Did you regard Joe Julian as a competent, able actor?\n\nMARTIN: Well, it’s my opinion that he is a very brilliant actor.\n\nHAYS: And what were the circumstances under which you refused to give him a job at the time you mentioned? Do you know which show it was?\n\nMARTIN: It was the Playhouse, the Philip Morris Playhouse on TV.\n\nHAYS: And at what salary? What salary did that part carry?\n\nMcGrody (defense): Objection, if your Honor pleases. This, again would be specifically on special damages.\n\nSaypol: I will hear it. You may answer.\n\nMartin: Well, there was a $500 part open.\n\nHays: $500 for what, for one performance?\n\nMartin: For one performance, of course.\n\nHays: And was this a continuous job that he would get if you employed him? I mean would it be week after week?\n\nMartin: I have a nucleus, more or less, like a stock company, and the good, non-name players, as we refer to them in the trade, we put into the stock company, who work more or less every week or every other week. So that this saves us, the director, a lot of trouble in going all over town and continually auditioning new actors; whereas if we get good, sturdy, reliable actors we continually use them in different roles because of their variety of talents.\n\nHays: And this would have been a job that would have given Joe Julian $500 a week for about how many weeks?\n\nWallace: Objection.\n\nSaypol: Sustained.\n\nHays: Was there more than one occasion on which you refused to give Joe Julian a job because his name was in Red Channels.\n\nMcGrody: Same objection, if your Honor please.\n\nSaypol: Sustained.\n\nHays: Now, did you have work for Joe Julian for a long period of time?\n\nWallace: Objection.\n\nSaypol: He may answer specifically, not in a general way.\n\nMartin: I had several jobs for him.\n\nSaypol: You have or you have had?\n\nMartin: I have had.\n\nHays: And you refused to hire him on all these jobs because his name was in Red Channels?\n\nWallace: Objection.\n\nSaypol: He may answer subject to a motion to strike out.\n\nMartin: I was instructedMcGrody: Objection.\n\nSaypol: Well now, do I understand that this non-hiring was on the basis of your own conclusion, your own judgment, or because somebody else told you to?\n\nMartin: Somebody else told me to.\n\nSaypol: I see. We will strike out all the testimony, then. You don’t know anything about it.\n\nWallace: I move to strike out all the testimony that has been given.\n\nSaypol: Strike it out. I thought this man was the man who made the decision.\n\nHays: He just didn’t hire him. And he was the man charged with...\n\nSaypol: It’s hearsay. The man decided that this plaintiff was either a Communist or a dupe or an innocent on the basis either of what somebody else told him or on the basis of his construction of Red Channels.\n\nHays: I didn’t ask him about that, your Honor. I asked him whether that was the reason he wouldn’t hire him.\n\nSaypol: No, he says somebody else told him not to. That’s hearsay. I can’t allow that. Somebody may not have liked the color of Julian’s tie and told him it was because his name was in Red Channels.\n\nThat kind of ruling against Martin’s testimony was typical. Here Martin, in a hiring position and intimately acquainted with blacklisting procedure, swore under oath that he didn’t employ me only because my name was in that book, yet this was rejected as hearsay. Even if someone else told him to do it, Martin himself blacklisted me, and it seemed to me his testimony to that effect should have been permitted.\n\nSaypol also helped the defense by using my own witnesses against me when he asked Murrow, Collingwood, and the others: “Can you say, as a matter of knowledge,\n\nthat as a direct and well-connected result of the publication of his name in this book, *Red Channels*, he has been avoided and shunned by former friends and acquaintances?\" They could hardly have answered affirmatively, not knowing who my friends and acquaintances were.\n\nTheir negative answers implied, or were intended to imply, that therefore my reputation had suffered no damage. Indeed, the judge cited the presence of these distinguished men themselves in court on my behalf to buttress that inference.\n\nMartin, in answering that question, said that he had not shunned me, but thought I had a red label. \"I maintain that everybody in that book has a label attached to him,\" he said, \"and that we—our clients—we are not interested in using the people who are in the book.\"\n\nThere were many moments of dramatic conflict—especially on re-cross-examination of Martin, when, like the prosecutor he had been, the Judge bore down heavily on Martin's testimony that everyone in *Red Channels* had a red label on him. In fact, during the entire presentation of my case most of the testimony favorable to me, including that of other witnesses on my behalf, was ruled inadmissible.\n\nEach day I came to court more worried and depressed. Yet I had a gut feeling we were getting through to the jury, in spite of all the legalistic walls that were thrown up. They looked like an alert and sympathetic bunch of men and women, and I cast my hopes entirely with them on the fifth day of the trial, when our last witness stepped down and Hays said: \"Plaintiff rests your Honor.\"\n\nThe Court recessed until the next day.\n\nIn the morning, lawyers for both sides made motions;\n\nargued relevancy of rulings in previous cases, etc. The session ended with the defendants renewing an earlier motion to dismiss my suit at this point without going into their defense. Again Saypol promised a fateful answer after lunch.\n\nWhen we reconvened he gave his decision. It took about half an hour. He read aloud parts of the Introduction to *Red Channels*, bits of testimony, and quoted lawbook cases which guided his conclusion. I listened hard, hard, trying to follow all the convolutions of his reasoning. I strained to perceive a glimpse of my fate behind his words. But the longer he spoke the less I understood. It all fudged in my mind. . . .\n\n. . . question arises which belongs to a class in which perplexing laws are not infrequently in reverse ratio to *Werner versus Nelson*, but the pertinent qualifying and controlling language pages six and seven where there’s red smoke there’s Communist fire nevertheless the favorable presumption the law permits to be inferred by eliciting from witnesses *Mencher versus Chesley* objections bound by the weight of mitigating evidence as in the case of. . . .\n\nThat’s how it sounded—until he came to the final sentence, which was stunningly clear:\n\nTherefore Defendants’ motion to dismiss at the close of plaintiff’s case is granted.\n\nIt was all over. I was numb with disbelief. He wouldn’t even let it go to the jury!\n\nHe gave as his reason that we had not presented a *prima-facie* case—no central question of fact for the jury to decide. This in spite of Martin’s testimony that he had\n\nrefused to employ me solely because my name was in that book with a bloody red hand clutching a microphone on its cover, and evidence that my income plunged drastically upon publication of *Red Channels*.\n\nA sinking feeling of hopelessness set in, then a rising outrage. Hays put his arm around my shoulder and said, \"Joe, always remember. Sometimes you win, but you never lose if your cause is just.\" I've tried to hang on to that thought.\n\nIf it seems arrogant for an actor to judge a judge, to question decisions of a man presumably learned in law, who carefully wrapped his rulings in precedent, let me say that, as the Devil can cite Scripture to his purpose, so a judge can, either consciously or otherwise, select only those previous rulings that support his inclination. And even they usually have some variation of circumstance.\n\nAfter reading through a transcript of the trial twenty years later, Saypol's inclination was obvious. Even with the perspective of time, here in the court of my own head I still overrule his decision and find him guilty of having blatantly denied me justice.\n\n*The New York Times* published a long Sunday article entitled \"Case Dismissed,\" about Saypol's neglect of the moral issues in relation to the libel laws. *Variety* and *I. F. Stone's Weekly* ran similar pieces. My case became a minor *cause célèbre*.\n\nAttorney Louis Nizer, who later, in a better political climate, won a similar libel suit for radio commentator John Henry Falk, told me that he felt that Hays had mishandled my case; that he was really too old and no longer sharp enough on legal points.\n\nEd Murrow and Charles Collingwood, and Robert Saudek of the Ford Foundation, also told me they felt frustrated at not being able to contribute more to my cause because Hays didn’t ask them the right questions when they were on the witness stand. Be that as it may, the sincerity and humanity of Arthur Garfield Hays were his greatest assets, and if Saypol had permitted my case to go to the jury, there isn’t the slightest doubt in my mind that I would have won their verdict.\n\nThe judge dismissed the twelve men and women with instructions that they not talk about the case. They filed past me, some with tears in their eyes, signaling their sympathy by their expressions or with a simple shake of the head.\n\nBut more specific evidence of how I would have fared had the jury been allowed to decide came to my attention several months later. An actor friend was in Macy’s at Christmas time, watching a man demonstrate a new toy. They got into a conversation and my friend mentioned he was in the theater. The demonstrator asked if he happened to know an actor named Joe Julian. When told he did, the man confided that he was one of the jurors on my case. “Julian sure got a raw deal,” he said. “Everyone on the jury was for him.”\n\nAfter the trial, Hays invited my wife and me to his magnificent Sands Point estate for a weekend of rest, swimming, and games of chess far into the night. It seemed to refresh him, and dilute the despair I brought with me from the courtroom. A prime slice of nature can go a long way toward putting problems into proper perspective. I wondered if his invitation was a consolation prize awarded all his clients who lost in court.\n\nYet in a very practical sense I didn’t lose by my legal action. It actually cleared me for work in many areas where I had been blacklisted, because not only did the defendants make no real effort to further smear my name, but their main defense had been that I was one of those referred to in the small-print disclaimer in *Red Channels*’ foreword, which stated that there might also be some “innocents” listed.\n\nThe ad agencies that began to call me again seemed glad to have even this negative sanction of my employability. With so many skilled radio actors on blacklists, it had become difficult to cast shows.\n\nOn the whole, I believe the broadcasting industry had wanted me to win my case. The agencies were opposed to blacklisting, although they rigidly practiced it. It was simple economics: they preferred losing good actors to good accounts. It was a rare sponsor that didn’t succumb to the threat of boycott by the pressure groups. The agencies were caught in the middle. But if the networks had shown some backbone, blacklisting would not have succeeded as it did.\n\nBlacklisting also became a profession—a money-making proposition. The publishers of *Red Channels* worked both sides of the street. They urged the firing of actors in the book, and at the same time offered “investigative services.” For a fee, they reported to employers on the background of present or prospective employees. Five dollars was their minimum for a single, positive report. If it were negative, and the individual had a long history of associations with various organizations, the charge could be as high as a thousand dollars. The CBS network commissioned one study of program talent. Other clients were\n\nGeneral Motors, Du Pont, F. W. Woolworth, Metropolitan Life Insurance, R. J. Reynolds Tobacco, and Bendix Aviation.\n\nVincent Hartnett, who compiled and wrote the introduction to *Red Channels*, opened a commercial shop of his own. He acknowledged having received three hundred dollars for a report on playwright Arthur Miller, and two hundred dollars each in eight other instances. In 1955, just one client, Borden, the dairy-products company, is reported to have paid him ten thousand dollars.\n\nHartnett attended every day of my court proceedings as a spectator. Whenever I glanced at him he was busy scribbling notes. As soon as Saypol dismissed the jury, he came over and handed me his card, saying, \"Joe, I want you to know you're all right with me. If you want to be helped, give me a call.\"\n\nMy thoughts were murderous.\n\nHe said he was getting out another book, an enlarged book, and that my name was also in that—but for other things.\n\nIt took a great effort to keep from punching him in the face. \"What other things?\" I seethed.\n\n\"Marching in the May Day Parade,\" he said.\n\nThat was all I needed. At a moment like that, with Saypol's judgment still ringing in my ears. I made a clenched fist. \"I've never been in a May Day Parade in my life!\" I shouted.\n\nHe patted his briefcase. \"I have proof,\" he said. \"In here.\"\n\nHe backed away as reporters crowded around. \"I'll show Joe,\" he said. \"Not you fellows.\"\n\nI followed him to a side room, where he opened his case\n\nand dumped a large pile of assorted snapshots on a conference table.\n\nHe sorted through them, then plucked out a small one showing a section of a parade. He tapped his finger triumphantly on a marching man in the middle of a crowd, a man about my size, about my weight, holding high a placard. You couldn’t tell if his face resembled mine. The placard hid it. That should tell you something about Vincent Hartnett.\n\nHis apartment was said to be filled from top to bottom with cross-indexed files on actors, and huge piles of back-issue magazines and newspapers of all political colors, from which he industriously culled items that connected actors, in even the remotest way, to any organization with the slightest liberal tinge. In effect, this burrowing little fanatic, and a few others like him, decided which performers America could hear on their radio sets and which it couldn’t. They were the powers to whom agencies would submit cast lists for a check on their political cleanliness. Apparently this was more discreet and convenient than to develop their own research apparatus, and worth the fees paid.\n\nHas a note of bitterness crept into the account of my blacklisted years and the trial? After twenty years I should have been able to submerge it, and sift from the experience one of my golden philosophical nuggets, such as, “The innocent also get clobbered in this life.” But philosophy isn’t always adequate. And so to a generation that has not experienced the nightmare of that “blacklisting” period, when fear and hysteria enveloped the country, I simply want to say: Beware; it could happen again.\n\nThe biggest impetus for my \"clearance\" came from William Fitelson, a theatrical lawyer and executive producer of the *Theater Guild—U.S. Steel Hour* television series.\n\nFor a couple of years Fitelson had been intrigued with my play about the gift of the Japanese girl, and had tried to persuade U.S. Steel and its advertising agency, Batten, Barton, Durstine and Osborn, to produce it. But Steel would have none of anyone in *Red Channels*. After the trial, Fitelson tried again. This time I was invited to lunch at the Yale Club and grilled (no pun intended) by some agency officials, including their chief security officer, Jack Wren, a mysterious figure who seemed to be involved in many clearance situations.\n\nThey questioned me closely about my political thinking. Would I ransack my memory for any early activities or associations that might embarrass them if they put my play on the air? They had to be triply sure it would in no way contribute to the violent overthrow of our government. A few days later I was notified that Clifford F. Hood, the president of the United States Steel Corporation, had personally decided that the company would gamble on me.\n\n*Presento* went on the air on December 16, 1954. There was no fallout. It was a critical and popular success. And the government was still intact.\n\nThat show broke the ice for me. Even though I didn’t appear in it, the large credit as author that flashed on the screen gave notice to the industry. It said, in effect, that if I were safe enough to work for U.S. Steel, I should be safe enough for anyone.\n\nThe very next day I began getting calls for radio acting jobs.\n\n13. Easy Money\n\nBut I had a lot of catching up to do. The jobs didn’t come as thick and fast as before the “eclipse.” Also, by the early fifties, television had finally come of age and was giving network radio a real run for the sponsors’ money. Nonetheless, radio continued to command the lion’s share of audiences. In 1954, 53,000,000 American homes had radios—and most had two or three; more than 130,000,000 sets were in use in the mid-fifties. And in spite of television’s rapid growth, NBC launched a lavish ninety-minute weekly variety radio program. It was built around Tallulah Bankhead as hostess and Meredith Wilson as musical director. Each week it featured the biggest stars in show business.\n\nMany movie stars were picking up quick, easy money guest starring on radio programs. It took little of their time; there was no costume or makeup problem; and it kept their names alive between films. On the whole, they weren’t good—especially those who were stars more through personality and topography than talent. They\n\nknew nothing of microphone technique and did little more than read the words, with varying degrees of intelligence. The supporting casts of radio actors acted rings around them.\n\nI once played opposite Veronica Lake in a Broadway theater that had been converted to radio use. As legitimate theater declined, a number of these houses were taken over, and radio shows were put on before live audiences. *The Theater Guild on the Air* was one. These productions generated extra excitement for the actors. They gave us a feeling of being back in the theater. We usually dressed—tux and evening gowns—and the live audience reaction gave listeners at home a sense of participating in an important theatrical event.\n\nOn this show with Miss Lake the engineer had a problem. Hers was such a weak, wispy voice that he couldn’t get us in proper balance. So he gave her a separate microphone across the stage from me, where he could mechanically raise her voice level to mine. Which was fine for the listeners at home. In the studio, her voice was still small, and now so far from me I had to strain to hear my cues. Especially since they had her facing front so the audience could see her famous peek-a-boo hairdo. Hardly the way to play an intimate love scene with a lady!\n\nAnd there was Myrna Loy. An actress of great dignity and charm, who had won a special place in the Hollywood firmament and in my young, tender, movie-going heart. For years I had been intrigued by the mysterious emanations of this lovely lady—always with that slight enigmatic smile that suggested she knew more than she was telling. She was so thin, though. I really used to worry about her health.\n\nAnd then one day, there she was, in studio 3G at NBC, life-size, and playing a scene with me! It was a deep, corny thrill.\n\nBut if she had had to win that role in a competitive audition with radio actresses, she wouldn’t have been there. Her voice, isolated from her other attributes, was dull and flat. She was selling her name, not her art. Still, big film names did attract listeners no matter how they sounded. When shows were live, it was a little like their making a personal appearance—except you were only hearing them. And you drew on your memory of how they looked.\n\nMarlene Dietrich, on the other hand, had something more to sell than her name. She had a famous, throaty, sexy voice, and was a true professional in whatever medium she sold her commodities.\n\nHer career included several radio series. One was an Advice to the Lovelorn program, where she personally wrote the answers to letters she read on the air. Another was a series of romantic dramas called Time for Love. And there was Café Istanbul—a weekly spy format that took audiences into the casbah and other mysterious places. It was a program well calculated to exploit her exotic accent and strong voice-presence.\n\nWorking with her occasionally on Café Istanbul, I got a glimpse behind the public image of Marlene Dietrich—a woman of strength, warmth, and intelligence, yet so spontaneous that when, during a rehearsal, she overheard one of the actors express doubt that the rest of her body was as youthful as her famous legs, she ripped open her blouse to prove him wrong.\n\nShe concerned herself with every aspect of a production. Especially casting. After the show had been on the air a\n\nwhile and she became familiar with the pool of available radio actors, she had definite ideas about who should be cast in which part.\n\nOne week she told Murray Burnett, the writer-director, that she wanted a certain actor for the male lead. When told he was out of town, she insisted he be tracked down. When informed he had had a nervous breakdown and was in an institution upstate, she insisted he be gotten out. Burnett phoned the authorities and urged them to release him for the one day. He argued that it would be therapeutic for the actor to know he was still wanted professionally. It was a convincing argument and they agreed. Burnett drove up in his car, picked him up, and took full responsibility for returning him the next day.\n\nThere was a slight problem—solved by the miracle of newly-developed magnetic tape. The actor was one of radio's best, but he was under such heavy sedation that his reflexes were slowed and it seemed forever before he picked up his cues. But since this show was taped it was possible, with a little sensitive surgery, to snip out the long pauses and restore the pace of a good performance.\n\nMost of the high-powered Hollywood stars of the period acted in radio, and at one time or another, I worked with James Stewart, Henry Fonda, Edward G. Robinson, Claude Raines, Rudy Vallee, Barbara Stanwyck, Walter Huston, Tyrone Power, Boris Karloff, Tallulah Bankhead, and Frank Sinatra.\n\nFrom October 6, 1953, to March 30, 1954, Sinatra did a weekly half-hour private-eye show on NBC called Rocky Fortune.\n\nFrom time to time I had been told that, from a certain angle, I resembled Sinatra. I told him that once. I said,\n\n\"Frank, a lot of people tell me I look like you. Do a lot of people tell you you look like me?\" He said no.\n\nWe rehearsed one morning, then broke for lunch, to report back in an hour for further rehearsal and recording. Sinatra didn't return; even his manager was baffled. We waited several hours. Finally he phoned—wouldn't say from where—and told his manager to pay the actors and let them go. This was during a period he seemed to be having problems with himself.\n\n14. Foot-in-Mouth Disease\n\nAs technologies developed, many radio shows were recorded for later broadcast—first on wax, then on glass disks, then on acetate, then on wire, and then tape. But radio was at its best \"live.\" The \"aliveness\"—the knowledge that something could always go wrong—greatly heightened the appeal. Awareness that \"this is it\"—millions listening, no retakes, no redress of error, no second chance—created a tension, an extra edge of excitement in performers that communicated to listeners.\n\nIt also gave some performers and announcers such a bad case of nerves that they lost control of their speech. The often hilarious consequences were known as bloopers. Bloopers collections from both radio and TV are gathered as assiduously today as vases from the Ming Dynasty, and are traded between collectors throughout the country.\n\nOf course, they are much funnier to hear than read, but here are a few that I've collected through the years. Probably the most famous was the time radio announcer Harry Von Zell, covering the inauguration of President Herbert Hoover over a nationwide network, announced:\n\nLadies and gentlemen, I now give you the President of the United States, Hoobert Heever. Er . . . Heevert Hoober—I mean Hovert Haber!\n\nSince then, all announcers who introduce the Chief Executive are required to merely announce: \"Ladies and gentlemen, the President of the United States.\"\n\nThen there was the sportscaster who said:\n\n\"Sports fans! Stay stewed for the Stupor Bowl.\"\n\nAnd the announcer who introduced Bennet Cerf as \"a well-known author and lecherer.\"\n\nAnd the actor playing a doctor, who said in a low, tense voice:\n\n\"Nurse, a hypodeemic nurdle, please.\"\n\nAnd the nervous juvenile who, when his girl friend's mother answered the doorbell, blurted out:\n\n\"I've c-called to come on your daughter.\"\n\nAnd announcers who said:\n\nGirls, when you have to get up early to prepare his breakfast, do you wake up feeling lustless—I mean, listless?\n\nThis portion of the Name of the Gum starring Robert Stick—er Stack—is brought to you by Wrigley's Chewing Game.\n\nMarshall Dillon preserves law and odor tonight on Gunsmoke.\n\nThis portion of I Dream of Jeannie is brought to you by Vick's Navel Spray.\n\nWe now switch you to the sixteenth tee, where we show you in slow motion Arnold Palmer, U.S. Opium Champion.\n\nAnd the forecast for tomorrow is mostly Sunday.\n\nDon’t be a litterbird. Join Ladybug Johnson and help clean up America.\n\nJackie Kennedy returned today from her African visit bringing with her a whale’s tool * for a souvenir.\n\nCopywriters make their own bloopers, without the excuse of “microphone nerves.” But they must have had alibis for writing copy like:\n\nAnd so ends another garden tip program. Tune in next week, when Mrs. Van Buren’s topic will be “My Potted Friends.”\n\nTry this remarkably effective cough syrup. We guarantee you’ll never get any better.\n\nAt Johnson’s Laundry, we don’t tear your clothes by machine, we do it carefully by hand.\n\nSee Lassie in three parts after this message from the Anti-Vivisection League.\n\nAnd some that looked all right on the page, but conveyed a different thought when spoken fluently by the announcer. A classic example of this genre:\n\nWhy not give your wife a gorgeous Gruen for Christmas?\n\nThe remarkable thing about written bloopers is that they got by so many people. Every syllable of commercial copy had to be approved by the sponsor, the legal department of the radio station, the advertising agency, the production department, the artistic department, etc. By the time it reached the studio, it was too sacrosanct to tamper with, and the announcer had to read it with a straight face. Very often he couldn’t and “broke up.” Audiences, too, get a kick out of hearing an announcer giggle his way through a\n\n* Presumably, the announcer meant “tooth.”\n\ncommercial, even though they don’t always understand the reason for it. They know something is wrong behind the scenes and enjoy being even partly privy to it.\n\nMany excellent performers, completely at ease on a stage, were terrified of a microphone. Luther Adler, one of the theater’s finest, shook so badly on his first radio assignment that he read aloud from his script the words: “Low—nervous—” the directions preceding his dialogue.\n\nFrequently an actor’s trembling hand rattled the pages so close to the microphone that it came over sounding like a hurricane or a building collapsing, to the detriment of the scene and the chagrin of the control room engineer. (Another bête noir of the engineer was the belly growl—a sure laugh, especially if it happened on the air during a pause.)\n\nOccasionally a hand was unsteady for a different reason. Although most announcers tried their best to sound inhuman (sonorous unction and flawless diction were the criteria), if you stuck them they bled and if they drank too much they got smashed, even as you and I—even a famous announcer whom I shall not identify, because why should I slur the good man’s name? Anyway, he arrived in the studio so drunk his knees gave way as he began to introduce a program on the air and he collapsed to the floor. The cast rushed to lift him, but his two hundred pounds were too much. The situation was saved by an actor who had the presence of mind to grab the standing microphone and bring it down to the famous announcer, who bestirred himself from his prone position to lean on an elbow, and, squinting closely at his script, managed at least to finish the introduction—if not with perfect diction, at least flufflessly.\n\nAt the opposite end of the jitters spectrum was the most unflappable performer I have ever known: Jean Paul King, one of radio's top announcers in the late thirties and early forties. (I sometimes equate announcers with performers because they were often more than abstract voices that read the commercials and introduced and signed off the show. As regular guests in listeners' homes, they became familiar personalities. On many comedy shows they played foil for the star, and a number of them went on to become celebrities in their own right, such as Milton Cross, Durward Kirby, Jimmy Wallington, Ben Grauer, Bert Parks, etc.—each with his own distinctive trade mark of speech and personality.)\n\nIf one word were to describe Jean Paul King, it would be \"smooth.\" Everything about him—his skin, his face, his hair, his speech, his manner—was smooth. Nothing fazed him while he was working. He was a marvelously efficient, nerveless announcing machine. With little or no study, he could pick up his script and read off a long commercial, written in impossibly stilted language and full of references to tongue-twisting, newly discovered \"secret ingredients,\" wave hello to a friend who had just entered the studio, and finish without missing a beat.\n\nAlthough awed by such perfect coordination of mind, body, and commercial, I used to find myself wishing he would make a mistake. Fluff, slur a word, or drop his pages. I like my heroes flawed. I felt a little like Toscanini the time he went to Jascha Heifetz's dressing room after a concert and begged him to play for him just one false note before he died.\n\nOne evening, during the famous reporter Floyd Gibbons' show *Headline Hunters* on NBC, something evil\n\nmade me saunter up to the mike where King had just begun a long commercial about how a certain shampoo kills \"Pitarosporimovali,\" a bacteria that causes a form of dandruff. I took a half dollar from my pocket and flipped it in front of his face. He glanced up, reached in his own pocket, pulled out another half dollar, pointed to himself then to me (signaling \"I'll match you\"), flipped the coin, caught it, slapped it on his forearm as I did with mine, won my half dollar, reached across the mike to collect, and finished the commercial without once violating the script, his style, rhythm, or aplomb. As I said—smooth.\n\nAnother example of professional savoir-faire was when the well-known announcer Norman Brokenshire was doing a show that, due to a timing error, finished five minutes too soon. Dead air being the cardinal sin of radio, Brokenshire saved the situation by announcing, \"Ladies and gentlemen, we bring you the sounds of New York City!\" He pulled open the studio window, thrust out the microphone, and held it there for the full five minutes.\n\nWhich reminds me of another lovely example of resourcefulness—this time an author's. For a time, the daily serial *The Road of Life* was heard over two major networks until the sponsor decided to eliminate NBC and play it only on CBS. The final day on both, the announcer's tag line read: Starting tomorrow, *The Road of Life* will be heard only over CBS.\n\nThis didn't sit well with NBC. It was bad enough losing the show, but a free plug for the rival network was rubbing it in. So they ordered it eliminated.\n\nBut the writer, Charles Gussman, a shrewd and determined fellow, rewrote the last scene as a phone conversation between Dr. Brent, the leading character, and a patient who was asking for an appointment. Brent responded by saying that he was moving the next day and could be reached only in care of Doctor C. B. Hess. On paper this was nothing NBC could object to. But spoken by actor Don MacLaughlin, who de-emphasized the word \"doctor\" and stressed the rest, it was exactly what Gussman wanted it to say. Sneaky, sneaky.\n\nIn the same department is the one about W. C. Fields, who, on a prime-time evening show, vexed his sponsor by continually adlibbing a reference to his nephew, Chester (Fields). The sponsor was a rival cigarette company.\n\nThings often went wrong in radio. Remember lovable old Uncle Don, host of a children's show? He is alleged to have concluded a broadcast and sighed, \"Well, that'll hold the little bastards,\" unaware that the engineer was a moment late in flicking a switch, thus permitting those immortal words to be heard from sea to shining sea.\n\nThere are those who deny this actually happened, and those who swear they heard it. But true or not, it could have happened. Goofs were to be expected in a medium that poured out shows in such abundance. They could be anything from suddenly discovering your pages were mixed up, having to run quickly to the other side of the mike, and read over another actor's shoulder, to what happened to a director named Jim Jewell, putting on an episode of *Jack Armstrong, the All American Boy*. He threw a cue so hard he smashed his fist through the glass panel separating him from the actors.\n\nOr, in a scene where you're supposed to pull a gun and say, \"I'm going to put a bullet through your heart,\" and the sound-effects man's gun jams, and he keeps trying and\n\nclicks and clicks it until you brilliantly adlib, \"No! On second thought it will give me greater pleasure to choke you with my bare hands!\"—and then the gun goes off.\n\nThe revolver jammed once during a performance of *The Shadow*. The director, Chick Vincent, was so upset he ran from the control room and shouted into the mike, \"Bang! Bang!\" It just seemed the right thing to do. The show fell apart as the cast dissolved in laughter.\n\nOnce during a broadcast before an audience from the New Amsterdam Roof (a converted Broadway theater) an actor with failing eyesight, in order not to lose his place, marked his script with colored pencils—one color for his dialogue, another for his cues. As the show went on the air, the amber stage lights were turned on the performers, washing out all the colored markings. The poor actor fluffed and panicked, and the scene went out the window.\n\nThen there was the time when Broadway star Helen Menken, who was used to freedom of movement on the stage, flung her arm out in such an emphatic gesture that the back of her hand caught the actress next to her full in the face, causing her to yelp with pain and drop her pages.\n\nApropos adlibbing, Norman Rose, an actor-narrator noted for the deep, cello-toned resonance of his voice, once played Joseph in a dramatization of the biblical story of Joseph and his brothers. It was on a program called *The Eternal Light* (still on the air over NBC). Joseph was thrown into a deep pit by his brothers. The director instructed Norman to adlib for them to take him out. On the air, when the cue came, he spontaneously yelled, \"Jesus Christ, get me out of here!\" The story took place, of course, several centuries before Christ's birth and, to make\n\nmatters worse, the show was sponsored by the Jewish Theological Seminary.\n\nConstantly expecting the unexpected created tensions that often found release in horseplay and practical jokes. Engineers were frequently given a hard time by a performer who looked up at the glass-enclosed control room and silently mouthed words as though he were talking to him. The puzzled engineer, not hearing any sound, checked all his wires, plugs, and controls, thinking something was wrong with his equipment. If such tomfoolery occurred just before going on the air, he would be really frantic. That was mean.\n\nAnother mean one (confined usually to rehearsals) was to saunter up to the mike with a cigarette lighter and casually set a top corner of an announcer's page on fire. This had the effect of speeding his tempo.\n\nOne morning I was doing a recording of *Boston Blackie* (\"Enemy to those who make him an enemy; friend to those who have no friends!\"). The title role was played by Richard Kollmar, who, with his wife, Dorothy Kilgallen, were the Dorothy and Dick of WOR's early morning \"breakfast\" talk show of the same name.\n\nHalfway through the first reading, I found my dialogue difficult to understand. I asked the director, Jeanne Harrison, who was in the control room, if she could clarify it for me. She brusquely told me to go on with the reading. I tried, but it was impossible. I'd acted in some awful scripts in my time, but this was absolute nonsense. The words bogged down in hopeless *non sequiturs*. I began to laugh. Larry Haines, the actor playing the scene with me, tried hard to suppress his titters. Miss Harrison turned nasty. I had never seen her that way before.\n\n\"You're not here to criticize the script!\" she snapped. \"You're here to play it!\"\n\nI tried again, but there was just no way of phrasing those words. She kept at me. I felt a rage rising.\n\n\"You're supposed to be an actor, aren't you? Well, then act!\" she blustered, her voice coming over the talkback, blaring and raucous.\n\n\"This stuff is unplayable!\" I exploded.\n\n\"Do as you're told!\" she shouted.\n\n\"Nobody can play this crap!\" I yelled.\n\n\"That's what you're being paid for!\" she screamed. \"If you can't do it, I'll get someone who can!\"\n\n\"Go ahead, goddammit!\" I said, in full fury. \"I don't have to take this kind of abuse from you!\" I slammed my script down on the floor, grabbed my hat and coat, and started out.\n\nAt this point the entire cast burst out laughing. Jeanne came out of the control room, embraced me and confessed it was all a setup. Those \"impossible\" pages of the script had been deliberately inserted to provoke my reaction. They had recorded my frustration and the entire explosive scene between us—to play next morning on Dorothy and Dick.\n\nMy frayed feelings were calmed by an extra fee.\n\nProbably the best-known practical joke was the one Orson Welles pulled on Charles Martin—the same Charles Martin who testified at my trial. Martin directed an episode of the Philip Morris Playhouse; Welles narrated.\n\nTensely waiting for Martin's cue to speak, as the hand of the studio clock approached air time, Welles suddenly dropped his script and the pages scattered over the floor. None of the other actors moved to help him recover them.\n\nMartin himself frantically ran from the control room, got down on his hands and knees, desperately scooped up all the pages, hurriedly collated and thrust them up to Welles, just as the red ON THE AIR sign flashed. Welles calmly shoved them aside, pulled the real script from his pocket, and began his narration on time.\n\nIncidentally, if an actor on the Philip Morris Playhouse was seen smoking a rival brand of cigarette, it could cost him his job. The same on other shows sponsored by tobacco companies, such as The Camel Caravan, The Old Gold Show, and The Lucky Strike Hit Parade. In the studio, you dared flash only a pack of the sponsor’s cigarettes. This situation was frequently met by throwing away the original contents and refilling the pack with your own favorite brand.\n\nA similar prank was pulled on orchestra leader Richard Himber by his musicians and production staff, who conspired to set the studio clock five minutes ahead. When ON THE AIR flashed and the director gave the cue to bring in the music, Himber was the only one who didn’t know they weren’t really on the air. When his musicians deliberately played sour notes, he writhed in agony. He glared and grimaced and made threatening gestures with his baton, but the musicians kept missing cues and making musical clinkers until Himber’s torture became unbearable. Then they all stopped playing and laughed.\n\nThere was a lot of fun and lighthearted camaraderie among the “in” radio people of those days—much of it, I believe, because most busy actors didn’t take themselves too seriously. Once they developed a technique they could\n\nrely on, they often felt free during a performance to read a book, or newspaper, or play gin rummy until their cue came up.\n\nAnd certain programs were fun to do. Like a Corwin show, or *The Goldbergs*. Gertrude Berg liked to set up a little *mise en scène*, and have her actors work their own sound effects, whenever possible, such as knocking on and opening and closing doors. If it were a dinner scene, she’d have us sitting around a table, rattling our own cups and saucers. It improved our timing and gave us a feeling of full-dimensional acting.\n\nI also enjoyed working the big nighttime variety shows with the famous comedians: Fred Allen, Milton Berle, Ed Gardner of *Duffy’s Tavern*, Robert Q. Lewis, etc. They usually did sketches manufactured each week by a stable of high-powered (and high-priced) writers, whose talent was measured mostly by the size of their cross-indexed files. Their brains were full of jokes. Mention any subject and they’d instantly produce a stream of relevant gags. They were masters of the old switcheroo; take an old one and give it a new twist. Craftsmen of the topper and the topper of the topper. Many have gone on to glory elsewhere—Neil Simon, Abe Burrows, and yes, Herman Wouk. These shows were nearly always done before large studio audiences, whose laughter improved the actors and made the job fun, and you even got paid for it.\n\nFunniest fun for me was *The Fred Allen Show*. Allen was more than a comedian, he was a rare wit, and wrote much of his material himself. He had a variety of guests, but the most famous feature of his show was *Allen’s Alley*—sketches performed by a little stock company of\n\ncharacters with wonderful names like \"Senator Claghorn,\" \"Pansy Nussbaum,\" \"Titus Moody,\" \"Socrates Mulligan,\" \"Falstaff Openshaw,\" and a Chinese detective, \"One Long Pan.\"\n\nOne of the favorite targets of Allen's sharp satire was the network officials themselves, with whom he was constantly at war over their efforts to tone down his material. They couldn't bleep out what they didn't like because shows were live in those days. Their only recourse was to cut him off the air at the first hint of objectionable material—which they did a number of times.\n\nAnother network practice that infuriated Allen was cutting the show off the air at precisely the last second of allotted time. Comedy shows were hard to time accurately because of the unpredictability of the studio audience's laughter and would occasionally run over a number of seconds. Finally, on one show Allen channeled his anger into the following dialogue between himself and his wife, Portland, who was a regular on the program:\n\nPORTLAND: Why were you cut off last Sunday?\nALLEN: Who knows? The main thing in radio is to come out on time. If people laugh, the program is longer. The thing to do is to get a nice dull half hour. Nobody will laugh or applaud. Then you'll always be right on time, and all of the little emaciated radio executives can dance around their desks in inter-office abandon.\nPORTLAND: Radio sure is funny.\nALLEN: All except the comedy programs. Our program has been cut off so many times the last page of the script is a Band-Aid.\nPORTLAND: What does the network do with all the time it saves cutting off the ends of programs?\n\nALLEN: Well, there is a big executive here at the network. He is the vice-president in charge of \"Ah! Ah! You're running too long!\" He sits in a little glass closet with his mother-of-pearl gong. When your program runs overtime he thumps his gong with a marshmallow he has tied to the end of a xylophone stick. Bong! You're off the air. Then he marks down how much time he's saved.\n\nPORTLAND: What does he do with all this time?\n\nALLEN: He adds it all up—ten seconds here, twenty seconds there—and when he has saved up enough seconds, minutes, and hours to make two weeks, the network lets the vice-president use the two weeks of your time for his vacation.\n\nHalfway through this sketch was cut off the air.\n\nI was on Allen’s show once as a guest star. You see, I have an odd little talent that intrigues people (not all), and every once in a while I was invited to demonstrate it on a show. Actually, it is quite an accomplishment. Unbelievable. Absolutely incredible. Fabulous. I am able to produce a musical tone by clasping my two palms together and slowly pulling them apart. By controlling the sound with other hand muscles, I can squeeze out musical compositions. Many find this hilarious, others revolting. True, I have never quite been able to refine it to the point of touching people aesthetically, but the tunes are recognizable—even some classical pieces—and the effect quite startling. You really have to hear it to know what I’m talking about.\n\nAnyhow, I was invited to “play my hands” on Fred Allen’s program. That evening was one of my fondest radio memories. I thought I had heard every possible joke about my hands, but Allen sprang a few new ones. “What kind of\n\nmusic are you going to palm off on us tonight?” he asked. “Handel?” and after I played “Swanee River”: “If you put mittens on, would that be like muting a trombone?”\n\nAlthough the sound itself was just this side of vulgar, amplification and (blush) artistry made it funny. The studio audience howled.\n\nHowever, like every great artist, I wasn’t completely satisfied with my work. I felt I could have squeezed out a purer tone if my hands hadn’t perspired. Now, in those days, because of the time difference, we had to come back at midnight to do a repeat show for the West Coast. During the interval I went out and bought myself some talcum powder in order to keep my “instrument” dry. As I was being introduced on the air, I took the can from my pocket and dusted my hands. Allen, right across the mike from me, hadn’t seen this on the first show, and I had neglected to warn him. He broke up. He guffawed so loudly into the mike—which was wide open for my tiny little squeak—that he knocked us off the air. I can’t explain that technically, but I swear it happened.\n\nAfter my guest appearance, I received an interesting fan letter:\n\n10 Mountnoel Ave.,\nToronto, Ont.\nCanada.\n\nMr. Hand Musicmaker\n\nDear Sir,\n\nI heard you on Fred Allen’s show tonight and thought I would like to tell you that I have a habit of doing the same thing for which you were on Fred’s program for.\n\nI acquired it as a nervous habit also and up to this time it has\n\nbeen looked upon with disapproving eyes by my parents. At the time of your act though a change has come into their stare and it is now of a sort of reverence.\n\nIt struck me so funny that I couldn’t help writing you this note.\n\nHoping that I can make music like you I will close.\n\nYours respectfully,\nD.E.\n\nIt pleased me to have contributed to the serenity of his home life, but it was saddening to learn I was no longer unique.\n\nLeonard Lyons, the syndicated columnist for the New York Post, once had me demonstrate my extraordinary talent for the famous impresario, Sol Hurok. Hurok was greatly amused, but for some reason never asked how to get in touch with me.\n\nAnother time Lyons introduced me to the great pianist Artur Rubinstein and told him of my musical gift. Rubinstein asked me to play something for him. I squeaked out a bit of “The Hall of the Mountain King” from Grieg’s Peer Gynt. He was delighted. “Ach,” he said, with elaborate gestures, “that is wonderful! You are so full of music it comes out your fingers!” and then added, “I still need a piano.”\n\nMy thirty years of radio activity pretty well spanned the spectrum—from the foolishness with my hands to playing Hamlet. Somewhere along the line, I touched nearly all bases—including sound-effects man, announcer, newscaster, disk jockey, writer, and foreign correspondent.\n\nThroughout it all, I stubbornly clung to the notion that\n\nthis was not really my career, only a temporary way of making a living until I connected with the right role and made it big in the theater, or Hollywood.\n\nHow long is temporary? Lord, how fooled we mortals be. I don’t know at what point I stopped thinking of radio as marking time; perhaps I never did—even after 20,000 broadcasts. But the fact is that during those thirty years a full-fledged career budded and blossomed, for which I’m enormously grateful. It was a privilege to have been there during the salad days of radio—to have participated in the dynamic growth of this potent medium and art form that rewarded me with adventures, that deepened and enriched my life.\n\nWould the theater have sent me to opposite ends of the earth to report the condition of man under the ultimate stress of war? Hardly.\n\nWould the theater have allowed me to play Hamlet? Methinks nay.\n\nOr leading man to such glamorous stars of my childhood as Marlene Dietrich, Fay Wray, Myrna Loy, Joan Crawford, Nancy Carrol, Veronica Lake, Helen Hayes—to name-drop only a little? Unlikely. Although not strictly a character type I’m just off center enough not to be thought of as a romantic lead. But in radio I was assigned them constantly.\n\nIn this regard, radio was a boon to many frustrated actors whose physical qualities didn’t quite match their leading-man souls. Six foot tall and symmetrical didn’t matter. Of course, they couldn’t be too misshapen, either, because then it had to do with the actor’s image of himself. If he couldn’t believe, the audience wouldn’t. And so, actually, most of radio’s leading men and women looked the part.\n\nAlthough in many cases the audience imagined them more handsome than they were.\n\nWhat a wondrous thing was that imagination. How real it made a radio drama—especially a soap opera, where five days a week, year in and year out, millions of women listened as they did their housework, deeply identifying with the characters in all their joys and suffering—mostly suffering.\n\nIn the theater, or at the movies, or when we read a novel, we know it’s not real, but we suspend our disbelief. In radio it was astonishing how many listeners had no disbelief to suspend.\n\nOnce, on *The Life of Mary Sothern*, the character I was playing got married. I received numerous wedding presents in the mail, including baby clothes and a bassinet.\n\nWhen on *The O’Neills* I played the role of a man being tried for a murder he did not commit, and it was very sad because he had no money to hire a good lawyer, several listeners were so moved that they mailed in money to start a defense fund.\n\nI’ve often wondered if people had to be a little cracked to believe so profoundly in the reality of those soap operas. I’m still not sure of the answer.\n\nWe all have an innate will to believe. Our capacity to do so has been eroded by the exploiters of our innocence, but I suspect there are those who have hung on to the purity of their naïveté and believe everything they see, read, or hear. Orson Welles’ famous *War of the Worlds* broadcast is a good example of the credulity out there in radio land, not only because the nation panicked when told the Martians had invaded. In this age of enlightened science, the most\n\nsophisticated can keep a corner of his mind open to that possibility. What interested me was that even after the country was told that it was only a radio show, for weeks people drove by to get a tourist's thrill out of staring at the spot in New Jersey where the Martians were supposed to have landed.\n\nCracked? I prefer to think of them as pure in heart.\n\n15. Fan Mail\n\nFan mail played a large part in the lives of radio performers.\n\nMost fan mail was received by those who played running parts. We didn’t hear our applause, but we read it. And it strengthened us. Often radio actors had the funny feeling they were just sending words out into a cosmic vacuum. Letters received from “out there” confirmed our function.\n\nFan letters to radio stars differed from most movie fan mail. The intimacy of the medium seemed to invite more intimate letters. And though most were complimentary, there was no typical fan. They came in all fabrics. Some were flirtatious:\n\n... I have an idea you are about twenty-two, someone who likes tweeds and smokes a pipe. Maybe you have blond, wavy hair with blue eyes or maybe you don’t but that’s what I want to find out. Would you please send me a picture?\n\nYour’s truly till next Monday at 8:30.\n\n... I listen to *Big Sister* religiously. However, I don't know whether I have a crush on \"Ken Morgan\" or Joe Julian—or both. Probably it is the composite man, at that. I'm sure it was your voice I heard on one of *Aunt Jenny's Real Life Stories*, in which you played the husband, \"John,\" and I was taken with you then, too, so maybe it is Joe Julian after all. A photograph will soon set me straight, because if it doesn't compare favorably with the picture I have in my mind of \"Ken Morgan,\" I shall go back to being faithful to the latter, and no more questions asked about the real man—he can go hang.\n\n**Some needed to tell their problems:**\n\nI first became interested in these daytime serials some months ago when I found myself living alone with my baby, and practically housebound taking care of him. He is now ten months old and naturally I am still more or less confined to my home looking after him so that dialing in the daytime shows has become at least a habit, if not actually part of my existence...\n\n**They were all ages:**\n\n... I am listening to you now and drawing all over the paper at the same time. You were wonderful on the *Inner Sanctum*, but why do you have to be a murderer?\n\n... My girlfriend Margaret Smith and me have listened to you on *Nero Wolfe* and we want your photograph. I hope the program will still be on when we go back to school and that mother will let me stay up to hear it.\n\nAnyway here is five cents for the picture. We are buying defense stamps but will send more if you want it.\n\n**Some were critical:**\n\nDear Archie:\n\nThis letter is an appeal to you to save my respect for *Nero Wolfe*. Have you ever heard him express pleasure in any way\n\nexcept by a heavy throated laugh? He’s so nonchalant in working with his orchids and discussing good food and solving all those mysteries that I cannot imagine him spending so much energy in bringing forth that awful laugh. As his assistant, can’t you do something about it? Best wishes for success in this matter.\n\nSome were angry:\n\n... We Catholics of Salt Lake City take strong exception to the remarks of Joseph Julian in *An American Back Home* over KSL, in which he says the Nazi cause won out in the revolt of the religious people of Spain against the liberal government which was repudiated by the people. The people are happy now they have a liberal dictatorship. Everybody in Spain knows what started the revolt—the murder of 17,000 priests, the burning of 16,000 churches, hundreds of convents destroyed and nuns raped and holy men killed who had never done anybody any wrong and who had never turned a hungry person from their gates. I defy smart aleck correspondents like Joseph Julian who know nothing about God and who largely get their information sitting around hotel lobbies to disprove these figures! ...\n\nSome were consoling:\n\n... Am I correct in recognizing in the *David Harum* story, the creator of the original Michael West?\n\nWe were disappointed when someone else took your place, because we felt that no one else would ever be quite suitable in a role that you had created and incidentally, we no longer listen to this story ...\n\nAnd some were deeply grateful:\n\n... I listened to your delightful *American in England* program every week. They are so very human and lifelike. You see, I am an Englishwoman, born, raised, and married in England. I came to this country as a bride in 1918. My good husband is an American and he was a soldier in the last World War.\n\nNow my fine and dear son is somewhere in this war. He is a lieutenant and twenty-three and a law graduate of the University of Minnesota. We haven't heard from him in over two months, so we are sad and longing to hear that he is safe and still well. . . .\n\nMy family back home lost all by bombs, but they did not kick any. They showed such a fine spirit.\n\nPlease carry on with your programs.\n\nMany of us answered our own fan mail, which often led to long-term pen relationships, usually with shut-ins, for whom these contacts were golden treasures.\n\n16. Whither Withered Radio?\n\nWhat was radio? It was, actually, a rather silly-looking spectacle: a group of unglamorous people sitting or strolling around a large room, holding sheets of paper in their hands, mumbling to themselves; going up to a microphone, delivering their lines, sitting down, lighting a cigarette. A grown man jumps up and down in a sandbox creating the sound of running footsteps, or slaps his chest for horses' hoofbeats, or slowly crushes the cellophane wrapper from a pack of cigarettes to indicate a forest fire, while behind a glass panel, a man with a worried look on his face and a stop watch in his hand makes \"stretch\" or \"faster\" signs for the performers, who then change pace according to the purchased piece of time rather than the dictates of artistic imperative.\n\nBut, miraculously, all this nonsense came out the other end fused in a concord of sounds that gripped, entertained, and enthralled millions of Americans every day. Radio drama was the tranquilizer, the emotional pain-killing drug of the time. The profound depths of its influence on\n\nthe national psyche will never be known, but the ubiquitous murder mysteries, the simplistic action dramas, and the moist soap operas at least made life more bearable for the isolated, the lonely, and the frustrated, who, by identifying with the characters, daily achieved some degree of catharsis—which, I submit, is a proper function of art.\n\nThe audience experience was unique in another important way. Television and film audiences are essentially passive. They watch and wait for something to be “done” to them. Theater audiences, too, mainly relate passively to happenings on stage—in spite of the “liveness” and the three-cornered current that flows among ourselves, the actors, and other members of the audience. But radio is “Theater in the Mind,” and the audience must earn its reward. It must always expend energy, reaching out to embellish, to supply what is not there. It is a private, personal medium, best listened to at home with no distractions to the exercise of imagination.\n\nNo other art form ever engaged the imagination more intensely. Even bad radio shows were better than their equivalent in other media, the listener’s imagination providing more reality than could be shown on a screen or stage. This creative expenditure of energy made the listeners collaborators in the truest sense. They designed the costumes and created the scenery. They visualized nuances of locale and performance that the writer didn’t write and the actor couldn’t convey. This, I believe, accounts for the great nostalgia—for the glowing affection with which those of you who are old enough remember your favorite radio programs. Because they were, largely, your own creations.\n\nSo why did it die? If radio was so wonderful, why did it\n\ndwindle down to music and news, disk jockies and phoned-in questions to experts who know everything about everything?\n\nAs television developed, the big advertising budgets were shifted into this new, exciting, visual medium, with its fantastic selling potential. You could make viewers drool for products by showing them! Radio became a step-child. Especially radio drama.\n\nBut something funny happened on the way to the poor-house. The radio networks, in changing their format, discovered they could make as much money without hiring actors, producers, writers, directors and musicians to put on dramas. The one-man shows saved them a bundle. And they sold even more commercials. The talk shows squeeze them in almost between syllables—which can’t be done on a structured dramatic program.\n\nAnd so, like it or not, for over a decade the public has been deprived of an art form that flourishes in every other major country in the world.\n\nBut hark! I hear a crackle of static! And isn’t that Orson Welles’ voice, laughing maniacally as The Shadow? And that burst of machine-gun fire and the screaming siren? Why that’s the old Gangbusters signature! And there’s the Inner Sanctum door squeaking open? And wasn’t that Molly telling Fibber, “Tain’t funny, McGee”?\n\nDo I really hear this or am I hallucinating?\n\nNo, it’s for real. The corpse is stirring. Someone bought up recordings of these oldies and gave them a ride over 500 FM stations around the country.\n\nDiscovery! Wow, this stuff’s great! The kids love it! They’ve never known anything like it! And for the old\n\nfolks—nostalgia! The whole country's on a nostalgia kick!\n\nWell, that's only a fad, it will soon pass. Ah but no! Commercial nostrils are quivering. And here is Hi Brown with an idea whose time has come—again.\n\nFor years Brown had been working to bring back radio drama, pitching low-budget packages at the networks and getting regular turn downs. Now was the time, if ever. By finding more corners to cut, such as winning concessions from the actors' union, lining up writers for $300 a script with instructions to keep the casts small, he was able to offer the networks a low cost, modern version of Inner Sanctum, squeaking door and all, with E. G. Marshall as host.\n\nCBS, sniffing out this wind from the past, decided to gamble. They made a deal for an hour network show every day for a year.\n\nThe response to this show—the CBS Mystery Theatre—was enormous. It gave major impetus to the upswing now in the making.* Love stories, soap operas, and westerns are being planned. Rod Serling began hosting the Hollywood Radio Mystery Theater, produced on the West Coast and syndicated across the country. The FM Stations (the Off-Broadway of radio) are already carrying a number of new programs such as the National Lampoon Radio Hour, with sketches more daringly satirical than anything in the past, and heard on over 100 stations. An all-black soap opera is in production.\n\nHow far this revival will go I don't know. Certainly our\n\n*The first ratings showed that this program, in the New York area alone, is garnering the largest total audience—approximately a quarter million listeners per one quarter hour—virtually twice the audience of the second place station, and equal to the combined totals of its two closest competitors.\n\npassion for radio will never again be such that movie houses interrupt their films, as they used to do, to bring their audiences the latest chapter of *Amos and Andy* over the public-address system. Radio will never regain its pre-television eminence. But to realize even its potential, it must go beyond the \"oldies\" and old concepts. It can't get stuck in nostalgia. It must deal with conflicts that reflect the life and problems of today.\n\nBut who will write the scripts? There are still a few radio writers around, but they're mostly too old and set in their thinking. Fresh young minds and talents are needed to speak for now. But where are they? With practically no radio drama around for more than a decade, where could they have developed a writing technique?\n\nThey must start from scratch. Trial and error. As in the beginning. And the industry must nurture them. Experimental programs are needed where they can get a start, and perhaps, incubate some quality shows above the \"pulp\" level. Minority tastes must also be catered to. If radio drama is to have a continuing place in broadcasting, the whole body must be revived. So let's also hear it for shows with some cultural protein. Let's hear it for the art houses of the \"Theater in the Mind.\" Maybe there's another Norman Corwin out there somewhere. Let's shout him a word of encouragement. Or how about the original? Maybe, if we shout loud enough we can entice him back, convince the network moguls to commission him some new work—or ask them to revive some old Corwin.\n\nWhat about the performing talent? Where are today's microphone-trained actors? We needn't worry. Supply will catch up with the demand. They'll come out of the woodwork if the need is there, including the specialists, the\n\nscreamers, animal imitators, and baby criers. Those with the knack will just need a little time to develop.\n\nIf you're wondering what happened to that great pool of marvelously skilled performers of the past, some have died, some retired, some managed to cross the bridge to films, television and the stage, and the rest are out a'whorin' in commercials. Many became rich using their microphone training to do radio and voice-over (off-camera) commercials. And since their income now depends on how well they sell products, they rightfully take more pride in their accomplishments as salesmen than as actors. Well, there have always been periods in history when art put itself in the service of commerce. And if there are still any foolish idealists among us who feel that actors should nourish the human spirit more directly than by selling Mrs. Jones a product that waxes her floors better, or Mr. Jones a bottle of something that improves his breath—if there are those who suffer guilt for seeking a livelihood in Daemon's territory, let them find comfort in numbers. Let them take consolation from the knowledge that many of our major artists are doing commercials these days—including Orson Welles, Henry Fonda, Robert Morley, Marcel Marceau, and even Sir Laurence Oliver. And if all these great stars do it, it really can't be wrong, can it?\n\nBut what about the lack of opportunity to express myself creatively? Isn't it frustrating? Yes, it is. But it's also frustrating not to be able to pay the rent. (A classic conflict that I hereby escalate to a mystery.)\n\nAnyhow, there are occasional opportunities for actors to fulfill themselves in commercials. Why just the other day I\n\ncreated one of the most original characters of my career: I played the voice of a streptococcus infection. I was lurking in Mrs. Simpson’s wash, until G-Man Concentrated Super Suds in the Blue Box came in and arrested me.\n\nThe revival of radio will once again give many performers an opportunity to function, at least partially, as artists, and at the same time, earn a good living.\n\nFor the public the rewards will be greater. Listeners will reclaim an art form that was important and dear to them. Small, portable sets have desocialized the medium and made it even more intimate. You can now hear your favorite radio program on your pillow, or under the covers, or in the bathroom—and innumerable other places where there’s just the “two of you.” May you live happily ever after.\n\n(Sneak in organ music)\n\nAnd now, as we leave the air, this is Joe Julian saying I’ve enjoyed spinning off these memories of my “thirty years before the mike.” I hope they have given you some pleasure and an inkling of what it was like behind the scenes in radio’s golden age. (Pause) I also hope they have whetted your appetite for radio’s rejuvenation. But it’s true that revival will be sparked only when the moguls are convinced it will pay off; when they hear the sound of money ringing in their ears.\n\n(Sound-effect: coins jingling)\n\nThere are signs this is beginning to happen. The moguls are becoming increasingly aware of the vast portion of our\n\npopulation with ears at the ready. There are signs that soon we will no longer be deprived of an art form that flourishes in every other major country in the world.\n\n(Music up briefly—fade and hold under)\n\nTrying to analyze the reasons for the broad, universal appeal of radio drama I found it expressed best by a little seven-year-old boy who, during a recent survey on preferences of children, was asked which he liked better, plays on the radio or plays on television.\n\n\"On the radio,\" he said.\n\n\"Why?\" he was asked.\n\nHe thought for a moment, then replied, \"Because I can see the pictures better.\""}}},{"rowIdx":204797,"cells":{"text":{"kind":"string","value":"Bible Lessons\n\n\"Holding as in a glass the glory of the Lord, we are CHANGED . . .\" II Cor. 3:18\n\nADULTS -- YOUNG PEOPLE\n\nVolume 21, No. 4\nOct., Nov., Dec.\n1989\n\nFaith Pub. House\nGuthrie, Okla.\n73044\n\n| Date | Title | Page |\n|--------|----------------------------------------------------------------------|------|\n| Oct. 1 | Consolation in Suffering and Tribulation | 1 |\n| 8 | Comfort and Mercy to All | 8 |\n| 15 | Ministration of the New Testament in the Spirit | 9 |\n| 22 | The Manifestation of the Truth | 13 |\n| 29 | Aspects of the Hope of the Righteous | 17 |\n| Nov. 5 | The Ministry of Reconciliation | 21 |\n| 12 | Approaching Ourselves as the Ministers of God | 25 |\n| 19 | Perfecting Holiness in the Fear of God | 34 |\n| 26 | Being Poor in this World, but Rich in Christ | 38 |\n| Dec. 3 | The Blessing of Giving | 42 |\n| 10 | The Right Kind of Warfare and Strife | 45 |\n| 17 | Warnings Against False Teachers | 49 |\n| 24 | \"When I am Weak, then am I Strong\" | 53 |\n| 31 | Examining and Proving Ourselves to be in the Faith | 57 |\n\nPublishing the Bible truths in the interest of Jesus Christ and His Church\nEdited by Leslie C. Busbee and Wayne Murphey\n\nSubscription Price-50¢ a copy for quarter of year, or $2.00 per year, issued quarterly.\n\nSecond class postage paid at Guthrie, Oklahoma\n\nPublished Quarterly By:\n\nFAITH PUBLISHING HOUSE\n920 W. Mansur Ave.\nGuthrie, Oklahoma 73044\n\nPostmaster: Please send address corrections to above address.\n\nTheme for Fourth Quarter, 1989\n\nOur Bible lesson studies for this quarter will be the second epistle of Paul the apostle to the Corinthians. In the 14 lessons in this series of studies we will be able to cover a number of precious subjects. This was Paul’s second letter to these brethren, a sequence to the first letter and the effect for good that it had upon them. The comfort and mercy of God, the true ministry of the New Testament and Christ’s ministers, the hope we have in Him, the purity and standard of holiness that is ours to follow, the blessing of giving and being poor for Christ, the spiritual warfare that we are in, warnings against false preachers, being strong in our weakness, and examining ourselves in the true faith are all wonderfully expounded by the anointed heart and pen of the beloved Apostle Paul. We sincerely trust that this series of lessons will prove to be a wonderful blessing to everyone as much as we have enjoyed preparing them.\n\n—Bro. Leslie Busbee\n\nOctober 1, 1989\n\nCONSOLATION IN SUFFERING AND TRIBULATION\n\nII Corinthians 1:3 Blessed be God, even the Father of our Lord Jesus Christ, the Father of mercies, and the God of all comfort;\n\n4 Who comforteth us in all our tribulation, that we may be able to comfort them which are in any trouble, by the comfort wherewith we ourselves are comforted of God.\n\n5 For as the sufferings of Christ abound in us, so our consolation also aboundeth by Christ.\n\n6 And whether we be afflicted, it is for your consolation and salvation, which is effectual in the enduring of the same sufferings which we also suffer: or whether we be comforted, it is for your consolation and salvation.\n\n7 And our hope of you is stedfast, knowing, that as ye are partakers of the sufferings, so shall ye be also of the consolation.\n\n8 For we would not, brethren, have you ignorant of our trouble which came to us in Asia, that we were pressed out of measure, above strength, insomuch that we despaired even of life:\n\n9 But we had the sentence of death in ourselves, that we\n\nshould not trust in ourselves, but in God which raiseth the dead:\n\n10 Who delivered us from so great a death, and doth deliver: in whom we trust that he will yet deliver us;\n\n11 Ye also helping together by prayer for us, that for the gift bestowed upon us by the means of many persons thanks may be given by many on our behalf.\n\n12 For our rejoicing is this, the testimony of our conscience, that in simplicity and godly sincerity, not with fleshly wisdom, but by the grace of God, we have had our conversation in the world, and more abundantly to you-ward.\n\n18 But as God is true, our word toward you was not yea and nay.\n\n19 For the Son of God, Jesus Christ, who was preached among you by us, even by me and Silvanus and Timotheus, was not yea and nay, but in him was yea.\n\n20 For all the promises of God in him are yea, and in him Amen, unto the glory of God by us.\n\n21 Now he which establisheth us with you in Christ, and hath anointed us, is God;\n\n22 Who hath also sealed us, and given the earnest of the Spirit in our hearts.\n\n24 Not for that we have dominion over your faith, but are helpers of your joy: for by faith ye stand.\n\nMemory Verse: Blessed be God, even the Father of our Lord Jesus Christ, the Father of mercies, and the God of all comfort. II Corinthians 1:3.\n\nCentral Thought: The sufferings that we bear as followers of Christ are balanced by the comfort and consolation that Christ abundantly fills the heart with.\n\nWord Definitions: Tribulation: Any trouble or distress that we meet in the Christian life. Comfort and consolation: Both of these words are generally from the same Greek word which means solace or encouragement. Simplicity: Singleness (as Jesus said, “If therefore thine eye be single,” Matthew 6:22), sincerity without pretence or self-seeking; also generous and giving abundantly. Godly sincerity: Clearness and purity of God. Yea: Yes, positive. Yea means faith and believing, counting God faithful and true. Nay: No, negative. This is unbelief, doubts, darkness and despair. “Dominion over your faith”: No man can rule or dominate another man’s faith. Every man must stand on his own personal faith and trust in God.\n\nLESSON BACKGROUND\n\n\"It is a general opinion among learned men that this second epistle to the Corinthians was written about a year after the first epistle. That the first epistle has produced powerful effects among the Corinthians is evident from what the apostle mentions in this. Titus had met him in Macedonia, and told him of the reformation produced by the epistle; that the Church had put out from among them the evil, and that the epistle had overwhelmed them with great distress; had led them to a close examination of their conduct and state; and had filled them with respect and affection for the Apostle Paul. Hearing this, Paul wrote this second epistle to comfort and to commend them.\" —Adam Clarke. Paul is rejoicing in the comfort and consolation that he was finding in Christ in view of all of the tribulations that he and the saints were going through. He was finding that the sentence of death that he constantly lived under only helped to prove the power of God in his life. The true faith of these Corinthian brethren and their love for Christ and for Paul was the greatest joy to his heart and the richest fruit that he had hoped to see fulfilled in their lives. —Leslie C. Busbee\n\nQUESTIONS:\n\n1. What was the gracious title that Paul attributed to God in our lesson?\n2. What is God’s purpose in comforting us?\n3. By what means are we going to be able to comfort others?\n4. As the sufferings of Christ abound in us, what also abounds?\n5. How does the consolation of the Lord help to offset the tribulations?\n6. Why did God allow Paul to have the sentence of death in himself?\n7. In the sentence of death, what did Paul learn to trust in?\n8. In what way did the Corinthian brethren help Paul in the things that he suffered?\n9. What was Paul’s rejoicing in all of his tribulations?\n10. What would be the result of a mixture of positive and negative preaching?\n11. What effect does a totally positive gospel have upon a soul?\n12. Instead of having dominion over their faith, what did Paul seek to be to them?\n\nADULTS' AND YOUNG PEOPLE'S COMMENTS\n\nToday we need a positive gospel. A gospel that does not bring a clear and definite experience of faith and victory in the heart and life is a detriment and a hindrance. Raising questions with no answers is an uncertain sound that will cause no one to prepare for the battle of a Christian. One who seeks the Lord with all of his heart and who takes up his cross to follow the Lord must be backed and supported by strong consolation and assurance from the Lord and His Word. Viewing God as the Father of mercies and the God of all comfort helps to give positive and definite assurance in our hearts to hold fast to our faith in him. What we suffer as a Christian will be made up for by what we enjoy in Him. This consolation that Christ bestows upon the suffering heart is the sweetest reward for the tribulations that we suffer for His sake. Great sufferings and loss for the Lord will be counterbalanced by great joys and victory in the presence of the Lord in our hearts. Many times the children of the Lord literally carry upon them the threat and sentence of death. In another place Paul said that we are killed all the day long and are accounted as sheep for the slaughter. (Romans 8:36). The child of God (in one way or another) finds himself constantly in danger of his life. This is also true for all human beings, but more so for those who are followers of Christ. But this sentence of death only magnifies the miracle of the life of God that is manifested in us. Our trust is in God who raiseth the dead. This gives a decisiveness to our faith, and we are able to go forth each day for the Master with hope and trust for ultimate victory.\n\n—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\nIt is a hard concept to understand, especially when in the midst of sorrow, but good things can come by passing through trials. It is only natural that trials cause us to seek more fervently a close relationship with God, and this is the right approach to take.\n\nIt is foolish to look for ways to suffer in an attempt to get blessings, but neither should we always try to protect ourselves from having to endure those things that may be brought against us.\n\nA story is told of a missionary in Africa on furlough who bought a sundial that it might help African village people to tell the time of day. He set it up in the midst of the village, but his people were so filled with admiration and wonder that\n\nstraightway they built a roof over it to protect it from sun and rain.\n\nThese villagers inadvertently and unwisely ruined the purpose of what the sundial was for since they did not understand its workings. Likewise, it is possible to distance ourselves from trouble and completely annul the purpose God had in letting it take place. Rather than seeking direction from God in their lives, some people let problems come between them and Him. We will not be so prone to do this if we realize the consolation God has for His people in the midst of trials.\n\nA relationship with God brings comfort, for God is a merciful God. Abraham Lincoln once told a friend, \"I have not suffered by the South, but I have suffered with the South.\" This is how God views our trials. He suffers with us. When God is viewed in this manner it brings great consolation to a troubled heart.\n\n—Wayne Murphey\n\nOctober 8, 1989\n\nCOMFORT AND MERCY TO ALL\n\nII Corinthians 2:1 But I determined this with myself, that I would not come again to you in heaviness.\n\n2 For if I make you sorry, who is he then that maketh me glad, but the same which is made sorry by me?\n\n3 And I wrote this same unto you, lest, when I came, I should have sorrow from them of whom I ought to rejoice; having confidence in you all, that my joy is the joy of you all.\n\n4 For out of much affliction and anguish of heart I wrote unto you with many tears; not that ye should be grieved, but that ye might know the love which I have more abundantly unto you.\n\n5 But if any have caused grief, he hath not grieved me, but in part: that I may not overcharge you all.\n\n6 Sufficient to such a man is this punishment, which was inflicted of many.\n\n7 So that contrariwise ye ought rather to forgive him, and comfort him, lest perhaps such a one should be swallowed up with overmuch sorrow.\n\n8 Wherefore I beseech you that ye would confirm your love toward him.\n\n9 For to this end also did I write, that I might know the proof of you, whether ye be obedient in all things.\n\n10 To whom ye forgive any thing, I forgive also: for if I\n\nforgave any thing, to whom I forgave it, for your sakes forgave I it in the person of Christ;\n\n11 Lest Satan should get an advantage of us: for we are not ignorant of his devices.\n\n14 Now thanks be unto God, which always causeth us to triumph in Christ, and maketh manifest the savour of his knowledge by us in every place.\n\n15 For we are unto God a sweet savour of Christ, in them that are saved, and in them that perish:\n\n16 To the one we are the savour of death unto death; and to the other the savour of life unto life. And who is sufficient for these things?\n\n17 For we are not as many, which corrupt the word of God: but as of sincerity, but as of God, in the sight of God speak we in Christ.\n\nMemory Verse: Now thanks be unto God, which always causeth us to triumph in Christ, and maketh manifest the savour of his knowledge by us in every place.\n\nII Corinthians 2:14.\n\nCentral Thought: There is forgiveness for the sinner, and more graces for the faithful in the great provision of grace and blessing that is found in the fulness of Christ.\n\nWord Definitions: Heaviness: Sorrow. Sorry: Sad. “Savour of his knowledge”: The odor or fragrance of Christ. “The savour of death unto death, or of life unto life”: The gospel is preached to all in its purity and assurance. To those who hear, believe, and obey it brings life to the soul, but to those who refuse and turn away it becomes the means of death, spiritual and eventually eternal if they do not turn from their evil ways. “Corrupt the word of God”: To adulterate, add to or take from the sacred meaning of the Scriptures.\n\nLESSON BACKGROUND\n\nIn his first epistle to the Corinthians, Paul had laid the truth down to them. He had spoken plainly and pointedly to them concerning various issues and problems that existed among them. His tender heart was rent with sorrow to have to say some of the things that he said in his first letter. No real loving parent enjoys having to scold or censure his child. He will do it when he sees it is vital for the welfare of the child, but he does not enjoy it. Many times it hurts the parent as much as the child to have to chastise and discipline. But great\n\njoy comes when the fruits of the discipline come forth. Paul saw the fruits of his ministry coming forth. He seeks now to commend the dear ones there in Corinth, and to encourage them. He seeks to bring assurance of God's forgiveness to that erring one who had repented of his wrong and was seeking mercy and comfort. He did not want that one driven to despair and swallowed up with sorrow. That is why he urges them to confirm their love to him. He forgave him and he wants them to forgive, also. He knew that Satan would get an advantage over that soul if forgiveness, comfort, and assurance was not heaped at the door of his heart. The triumph in Christ really meant much to Paul in seeing what the Lord had accomplished with the brethren at Corinth. —Leslie C. Busbee\n\n**QUESTIONS:**\n\n1. What was the only reason why Paul had made the brethren at Corinth sorry?\n2. What was he wanting to come from this sorrow?\n3. What was to be Paul’s greatest joy concerning the brethren?\n4. What did he want them to know in regard to how he felt about them?\n5. Why did Paul allow himself to be grieved only in part?\n6. How should we treat one who has sinned and has repented of their sin?\n7. What can be the effect on someone who has sinned and is seeking pardon when he finds no mercy, love, or forgiveness at the hands of the Church?\n8. What are some of the things that Satan can suggest to a discouraged soul at this point?\n9. What are we unto God as we proclaim the truth of the gospel to souls?\n10. How are we a savour of life unto life to the saved?\n11. How are we a savour of death unto death to those who refuse to heed the gospel?\n12. What are the serious consequences of corrupting the Word of God?\n\n**ADULTS’ AND YOUNG PEOPLE’S COMMENTS**\n\nIn all of the work of preaching, reproving, disciplining, and proclaiming the truth of the eternal Word of God that comes to us in the gospel, there is a vital ingredient without which the whole business will be an utter failure. This ingradient is very easy to be short of, and that is love—warm, fervent, and affectionate love to one and all. This is the number one ingredient. In all of Paul’s dealings with these brethren, the fervent love and affection he had for them was manifested clearly. They had no doubt of his love and godly sincerity toward them. To the erring soul was given reproof and warning mixed with love and sympathy. When such a one repented, comfort and faith was promoted to be instilled in his heart and mind. He must be aware, not only of the magnitude of his sin, but also of the magnitude of Christ’s forgiveness and good will. And, he must not only know that Christ forgives him, but he must also be assured of the mercy, forgiveness, and good will of the Church from which he had been excommunicated. This expression of love and mercy must be clear and confirmed to him, otherwise the Devil is ever present to put thoughts of discouragement and despair into the mind. This is Satan’s greatest tool. This is his prime device. He can implant seeds of doubt, fear and despair into the heart so easily, and too many times he has succeeded in turning those away that could have been won if the love of God would have been gotten across to them. Let us diligently seek to manifest the Word of Christ as it really is so that hearts can be drawn and won to come to the Lord for mercy, pardon and salvation.\n\n—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\nIn Adam Clarke’s commentary it brings out the thought that the “triumph in Christ” Paul speaks of is a comparison to the triumphal parades given Roman conquerors when they returned from a great victory. Adam Clarke relates that the parade, among other things, consisted of victims of the enemy who were to be sacrificed. During this time, all the temples were opened and every altar smoked with offerings and incense. To some this celebration meant great rejoicing. The smell, or savour, of the incense was very exciting and invoked a thrill in the hearts of the victorious people. But it also meant death to those who were conquered.\n\nThe Apostle Paul was used by God in proclaiming God’s counsel and he felt as the Roman conqueror. A great victory had been won and he was enjoying the triumph of it. However, Paul stressed in the first of our lesson the tenderness of his heart in God using him. His approach toward the people was one of mercy and comfort. How prone man is to conquer\n\nthrough fear and judgment. God knows that comfort will be needed when the Word is used. Great havoc can be wrought when it is not handled that way.\n\nIt is important to notice that his triumphing was in Christ. It was not something that Paul had attempted on his own, but he was motivated by Christ, he preached Christ only, and then he could depend on Christ to give the grace that was needed to make everyone victorious. —Wayne Murphey\n\nOctober 15, 1989\n\nMINISTRATION OF THE NEW TESTAMENT IN THE SPIRIT\n\nII Corinthians 3:2 Ye are our epistle written in our hearts, known and read of all men:\n\n3 Forasmuch as ye are manifestly declared to be the epistle of Christ ministered by us, written not with ink, but with the Spirit of the living God; not in tables of stone, but in fleshly tables of the heart.\n\n4 And such trust have we through Christ to God-ward:\n\n5 Not that we are sufficient of ourselves to think any thing as of ourselves; but our sufficiency is of God;\n\n6 Who also hath made us able ministers of the new testament; not of the letter, but of the spirit: for the letter killeth, but the spirit giveth life.\n\n7 But if the ministration of death, written and engraven in stones, was glorious, so that the children of Israel could not stedfastly behold the face of Moses for the glory of his countenance; which glory was to be done away:\n\n8 How shall not the ministration of the spirit be rather glorious?\n\n12 Seeing then that we have such hope, we use great plainness of speech:\n\n13 And not as Moses, which put a veil over his face, that the children of Israel could not stedfastly look to the end of that which is abolished:\n\n14 But their minds were blinded: for until this day remaineth the same veil untaken away in the reading of the old testament; which veil is done away in Christ.\n\n15 But even unto this day, when Moses is read, the veil is upon their heart.\n\n16 Nevertheless when it shall turn to the Lord, the veil shall be taken away.\n\n17 Now the Lord is that Spirit: and where the Spirit of the Lord is, there is liberty.\n\n18 But we all, with open face beholding as in a glass the glory of the Lord, are changed into the same image from glory to glory, even as by the Spirit of the Lord.\n\nMemory Verse: . . . Our sufficiency is of God; Who also hath made us able ministers of the new testament; not of the letter, but of the spirit: for the letter killeth, but the spirit giveth life. II Corinthians 3:5, 6.\n\nCentral Thought: In the New Testament of Jesus Christ, the laws of God are ministered by the anointing and inspiration of the Holy Spirit, written upon the tender hearts of humble and submissive souls who are able to look steadfastly upon the glory of the Lord, and are changed from the glory of the flesh to the image of Christ.\n\nWord Definitions: \"Our epistle written in our hearts\": The Greek text says \"written in your hearts.\" The epistle Paul wrote to them was not only read and heard, but it was received and inscribed upon the tablet of their warmest inmost affections. \"Fleshy tables of the heart\": The word \"fleshy\" or, fleshly, refers to tenderness and pliability, an attitude of submissiveness and willingness to lovingly obey. Sufficiency: Ability: \"Ministration of death\": The handing down from God of His laws to Moses on Mt. Sinai, engraved upon tables of stone. It is labeled the ministration of death because the effect that it had upon hearts was to magnify and increase the sin and, in consequence, to bring condemnation and spiritual death. \"Ministration of the spirit\": This is the law of Christ administered to the heart by the Holy Spirit, enabling man to fulfill it with joy and victory. \"Where the Spirit of the Lord is, there is liberty\": Liberty here is defined as access and freedom to partake of. Through the Holy Spirit we have an entrance into the realities of the Almighty God. \"With open face beholding as in a glass\": Unveiled by pride and the flesh we can behold as in a mirror the reflected glory and beauty of Christ. \"Changed from glory to glory\": Changed from the glory of the law system to the spiritual glory of the Spirit of God.\n\nLESSON BACKGROUND\n\nIn chapter 2 Paul had expressed his joy and rejoicing for the good effect that his epistle had produced in the lives of the\n\nsaints at Corinth. They had openheartedly received his counsel and admonitions and were greatly benefited therefrom. In our lesson today Paul views his epistle being written in their hearts by the Spirit of God, making them living epistles of Christ known and read of all men. He calls this operation of the Word of God from his ministry to them as the ministration of the Spirit, and compares it to the giving of the law of God to Moses on Sinai. He is specifically speaking of when Moses was come down from the mountain on that second occasion and brought with him the tables of stone which God had given to him to replace the ones that he had broken to pieces after coming down from the mountain the first time upon seeing the idolatry of Israel around the golden calf which they had made. He called this the ministration of death, speaking of its glory in that Moses shone in his countenance the glory of the Lord so brightly that the people could not look steadfastly upon him. This was the ministration of death, and it was glorious. He points us now to the glory of the ministration of the Spirit in Christ, which ministration, he says, would exceed in glory the other. The veil that Moses put on to cover the brilliant glow of his countenance was for the sake of the people. Therefore, Paul rightly concluded that the real veil was upon their hearts, a blindness to spiritual things that yet hung over their hearts unto that day. Exodus 34:33-35 tells us that while Moses was speaking to the people he put on a veil, but when he went in before the Lord, he took the veil off. Paul drew a parallel to this by saying that when people turn to the Lord, the veil will be taken away from their hearts. The Lord here he refers to, is the Spirit of the Lord which opens up and gives us access to the great riches of the knowledge of Christ. In the New Testament we can, with open face and without a veil on our hearts, behold the beauty and glory of Christ and, by beholding, we can be transformed to the same likeness of holiness, faith, love and righteousness.\n\n—Leslie C. Busbee\n\nQUESTIONS:\n\n1. Where did Paul joyfully find his epistle to be written?\n2. Where does God want His laws written?\n3. What kind of heart can the Spirit of God write upon?\n4. How does the letter without the Spirit kill?\n5. What is the difference in the law of God written on tables of stone and the law written upon the tender heart of a child of God?\n\n6. How was the giving of the law of Moses a glorious thing?\n7. What was done so that the children of Israel could look upon Moses?\n8. Where did Paul say that the veil really was?\n9. What are some of the elements and influences that constitute a veil upon the heart?\n10. How can this veil upon the heart be taken away?\n11. What kind of liberty does the Spirit of God give to us?\n12. What happens to the heart that with open face beholds the glory of the beauty of Christ Jesus?\n\nADULTS’ AND YOUNG PEOPLE’S COMMENTS\n\nIt was a glorious sight to see Moses coming down from the mountain after being in communion with God for forty days and nights. His skin shone with a glorious light so brightly that the children of Israel and the elders could not look steadily upon him. In order for Moses to converse with the people he had to cover his face with a veil. This was a glory that accompanied the giving of the first covenant, the law on Mt. Sinai. This glory was done away with. It soon faded from view. After a lapse of time the glory faded from Moses and his countenance became so that people could commune with him. The giving of the law upon tables of stone did not accomplish the real purpose of God, because there was a veil upon the heart of man. To have the law written on a tablet of stone did not quicken the soul to enable it to perform the holy standard of God’s law. Man was unable to perform the will of God, thus the glory of that law was for condemnation and death. Some people today are still trying to live up to written laws and creeds. As the poet Whittier said, “But yet my human hands are weak to hold your iron creeds, Against the words ye bid me speak my heart within me pleads.” Many preachers today preach with a law spirit. Their attitude is: “You do this, and God will bless you.” But oh, there is a better way. The letter kills because it affords of itself no strength or inspiration to perform. The current of the rebellious heart is too strong to be withstood by a mere doctrine or creed. There must be the work of the Holy Spirit written upon the very tables of the heart. We are saved without the law, but as we behold the glory of the risen Christ, we are inspired and strengthened to live, to perform, to do, and to be all that His precious will is calling us to.\n\n—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\nIt is so important to have the indwelling Spirit of God if we are to receive the blessings outlined in the New Testament. It is the law spirit of the Old Testament that has blinded the eyes of many people.\n\nThe following parable was addressed to an assembly of Jews by a Mr. Moritz. \"A poor Jew wanted very much to be rich; he therefore put a bandage on his eyes, that he might pray to Mazal (or Fortune), and went everywhere through the streets, looking up to heaven, and crying, 'O Mazel, Mazel, make me rich!' At length Mazal threw down a great bag full of precious treasure, which fell right before him. The poor man did not take off the bandage, but ran on, and stumbled over the treasure. Neither did he turn back to see what it was, but went on still crying, 'O Mazel, Mazel, make me rich!' Mazal seeing her gift neglected, took it up again into heaven, and the Jew remained a beggar as before.\" The Jews who were present requested an explanation of the parable, which he gave them by referring to Isaiah 9:6 and the 2nd Psalm. A deep silence followed. At last, some young men asked, \"And will the bandage always be on our eyes?\" He told them to pray that the Spirit of God might take it away. Five of these young men received salvation that evening.\n\nIf we want to be able to live acceptably before God, understand His deep mysteries, enjoy the liberty of spirit that is in Christ, and enjoy the full benefit of the riches God has willed to all men through Christ, we must forsake a legalistic approach to God as a means of salvation and drink deeply of His Spirit.\n\n—Wayne Murphey\n\nOctober 22, 1989\n\nTHE MANIFESTATION OF THE TRUTH\n\nII Corinthians 4:1 Therefore seeing we have this ministry, as we have received mercy, we faint not;\n2 But have renounced the hidden things of dishonesty, not walking in craftiness, nor handling the word of God deceitfully; but by manifestation of the truth commending ourselves to every man's conscience in the sight of God.\n3 But if our gospel be hid, it is hid to them that are lost:\n4 In whom the god of this world hath blinded the minds of them which believe not, lest the light of the glorious gospel of Christ, who is the image of God, should shine unto them.\n\n5 For we preach not ourselves, but Christ Jesus the Lord; and ourselves your servants for Jesus' sake.\n\n6 For God, who commanded the light to shine out of darkness, hath shined in our hearts, to give the light of the knowledge of the glory of God in the face of Jesus Christ.\n\n7 But we have this treasure in earthen vessels, that the excellency of the power may be of God, and not of us.\n\n8 We are troubled on every side, yet not distressed; we are perplexed, but not in despair;\n\n9 Persecuted, but not forsaken; cast down, but not destroyed;\n\n10 Always bearing about in the body the dying of the Lord Jesus, that the life also of Jesus might be made manifest in our body.\n\n11 For we which live are alway delivered unto death for Jesus' sake, that the life also of Jesus might be made manifest in our mortal flesh.\n\n12 So then death worketh in us, but life in you.\n\n13 We having the same spirit of faith, according as it is written, I believed, and therefore have I spoken; we also believe, and therefore speak;\n\n14 Knowing that he which raised up the Lord Jesus shall raise up us also by Jesus, and shall present us with you.\n\n15 For all things are for your sakes, that the abundant grace might through the thanksgiving of many redound to the glory of God.\n\nMemory Verse: But we have this treasure in earthen vessels, that the excellency of the power may be of God, and not of us. II Corinthians 4:7.\n\nCentral Thought: The truth is manifested to men by Christ being seen in and through the lives of holy men and women by their meekness and bearing the sufferings of Christ with courage and steadfast faith.\n\nWord Definitions: \"If our gospel be hid, it is hid to them that are lost\": The word \"hid\" in this sentence means in the Greek text, \"having been veiled.\" Paul had just spoken in the previous chapter about the veil being on the heart. \"The god of this world\": Satan, the Devil. \"Always bearing about in the body the dying of the Lord Jesus\": Living constantly under the threat and possibility of death.\n\nLESSON BACKGROUND\n\nHaving emphasized in the previous chapter of the blessed ministry of the Spirit that he had seen working in his life, and recognizing it as the New Testament ministry of Christ, Paul speaks of its manifestation in the true saints. Knowing that many promote their cause, and merchandise by trickery, flattery and fraud, he senses that this holy and sacred office of preaching and promoting the gospel must never be done in that way. Those who preach the gospel must blend with their preaching a life of righteousness and holiness, which will convince hearts and persuade those who have an open mind for the truth. He also recognized the fact that not everyone would give heed to the gospel. Only those who open their hearts to the light of Christ will be affected by it. The gospel is not to be projected in an undermining manner. It is straight out and open, plain and simple. “The fruit of the righteous is a tree of life; and he that winneth souls is wise.” Proverbs 11:30. The fruit that is seen in such times as Paul mentions in our lesson is the advertisement of the gospel. In trouble, in perplexity, while being persecuted, and in times of being cast down—in all of these times—the child of God remains undistressed, nor in despair, not forsaken nor destroyed. The death that is working in their lives is producing spiritual life in others. The spirit of faith and trust in God prevails over all the opposing powers of Satan and men. Their confidence foresees the great day of reward in the resurrection, and the fleeting things of this present world have no bearing on their purpose and decision for Christ.\n\n—Leslie C. Busbee\n\nQUESTIONS:\n\n1. Where is seen the most convincing proof of the truth of the gospel?\n2. Why cannot a person be tricked into believing the gospel of Christ?\n3. What is the usual cause for a person to reject the Lord Jesus?\n4. What does a blinded mind do to the light of God?\n5. Is it possible for a person to preach himself and not the Lord Jesus?\n6. How does a true minister feel about himself in his ministry?\n7. Who is it that really commands the light to shine out of darkness?\n\n8. Is it possible for a soul to see and appreciate the light if he or she does not sense their state of darkness?\n9. In what way can we let the excellency of the power be attributed to God and not to us?\n10. What part does tribulation and suffering play in manifesting the truth to others?\n11. How can the life of Jesus be truly manifested in our mortal flesh?\n12. With what strength can a person let death work in them?\n13. What is the assurance that we have as we endure the cross for Christ?\n\nADULTS’ AND YOUNG PEOPLE’S COMMENTS\n\nThe ministry of the gospel of Christ is void of human promotion or self-glorification. One does not need to stoop to carnal ways of high pressure, trickery and dishonest means in order to advance the knowledge of Christ. These kinds of activities are clear indications of the desire for fleshly gain and prominence. Many so-called Christian churches of today are filled with programs and drives and activities bent on adding new members to their number. At the bottom of this active and energetic system is the desire for more financial and social prestige. This is not so with the true ministers of the holy gospel of God. To glorify God and to be a blessing to needy lost and dying souls is the desire of the anointed minister of God. His soul is full of rest as he labors in the ministry, for he knows that it is not his efforts that will avail, but it is the working of the Spirit of God in him. If we are to be the true ministers of God, we must keep this kind of attitude. We are but earthen vessels. Any good done or accomplished is not our doing, but the working of the Spirit of God. God allows us to suffer many things in our mortal bodies to help keep us weak and inferior in ourselves so that it can be plainly known that it is not in our strength that the labor is being done. It is a constant fight of faith to keep one moving on for God. The way gets hard and narrow, but we faint not, knowing that there is a great reward coming for the faithful. Let death and sufferings be our lot, for we know that in the resurrection there will be a full reward. All things work together for our good and we press on to the goal, praising God for the blessings that witness His divine presence in our lives.\n\n—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\n\"But have renounced the hidden things of dishonesty, not walking in craftiness, nor handling the word of God deceitfully; but by manifestation of the truth commending ourselves to every man's conscience in the sight of God.\" II Cor. 4:2.\n\n\"How is it that a certain member of your church who is an ignorant man, is so successful in the villages as a preacher, when I cannot command a congregation?\" This is the question one clergyman, well versed in the Bible, asked a certain pastor. \"Well,\" came the answer, \"the reason is this: the member of my congregation that you refer to is touched with the power of the gospel, and speaks from heart to heart; that is the secret of his success.\" By having the gospel within our hearts is the only way that the Gospel will be effectively manifested to the world.\n\nThe first part of the verse above speaks of things that will hinder the manifestation of the truth. No matter how bright our profession, if we are dishonest in our dealings our lives will not carry much weight on others' estimation, and how often it has been proven that if we use the Word of God deceitfully with a crafty motive for personal gain, our influence is greatly hampered.\n\nWhen it speaks of \"commending ourselves to every man's conscience\" it does not infer that we should conduct ourselves according to how every man thinks we should. We would be mixed up individuals indeed if we endeavored to do that. It does mean that we should so live that all people can recognize the truth being in us.\n\n—Wayne Murphey\n\nOctober 29, 1989\n\nASPECTS OF THE HOPE OF THE RIGHTEOUS\n\nII Corinthians 4:16 For which cause we faint not; but though our outward man perish, yet the inward man is renewed day by day.\n\n17 For our light affliction, which is but for a moment, worketh for us a far more exceeding and eternal weight of glory;\n\n18 While we look not at the things which are seen, but at the things which are not seen: for the things which are seen are temporal; but the things which are not seen are eternal.\n\n5:1 For we know that if our earthly house of this tabernacle were dissolved, we have a building of God, an house not made with hands, eternal in the heavens.\n\n2 For in this we groan, earnestly desiring to be clothed upon with our house which is from heaven:\n3 If so be that being clothed we shall not be found naked.\n4 For we that are in this tabernacle do groan, being burdened: not for that we would be unclothed, but clothed upon, that mortality might be swallowed up of life.\n5 Now he that hath wrought us for the selfsame thing is God, who also hath given unto us the earnest of the Spirit.\n6 Therefore we are always confident, knowing that, whilst we are at home in the body, we are absent from the Lord:\n7 (For we walk by faith, not by sight:)\n8 We are confident, I say, and willing rather to be absent from the body, and to be present with the Lord.\n9 Wherefore we labour, that, whether present or absent, we may be accepted of him.\n10 For we must all appear before the judgment seat of Christ; that every one may receive the things done in his body, according to that he hath done, whether it be good or bad.\n\nMemory Verse: For we know that if our earthly house of this tabernacle were dissolved, we have a building of God, an house not made with hands, eternal in the heavens.\nII Corinthians 5:1.\n\nCentral Thought: We are willing to suffer all the adversities that attend the ministry of the gospel because our hope is bright of a rich and a full reward in glory when this mortal life is swallowed up in immortality.\n\nWord Definitions: \"Outward man perish\": Our mortal part utterly rots, decays, is ruined or wasted. \"Far more exceeding weight of glory\": The Greek text renders this phrase thus, \"an exceeding on an exceeding heaviness of glory.\" Tabernacle: Tent. Groan: To sigh, or grieve, being in difficulty and straits. Naked: Without the garments of immortality. \"Earnest of the Spirit\": The Holy Spirit working in our lives is likened unto the part of the purchase money or property given in advance as security for the rest of the payment. By us allowing the Holy Spirit to lead, inspire, and rule our lives it becomes the pledge for the eternal fulfillment of our inheritance in Christ.\n\nLESSON BACKGROUND\n\nIn our previous lesson Paul spoke about facing death constantly in the Christian life and the service of the Lord. He stated that the reason this could be endured was for the hope\n\nof being resurrected by the Lord Jesus with those who had received His ministry. Our lesson today contains his expressions of what this hope meant to him. He counted the things that he suffered as a Christian as light affliction, and that it was working something far better for him in glory. The perishing of his outward man did not affect the constant renewing of his inner man. He was not looking at the material realm of life, but rather was fixing his spirit's adoring gaze to the treasures in heaven that would never pass away. His earthly house he likened unto a tabernacle, or tent. A tent is not a permanent dwelling. It is but a temporary thing soon to be folded up and discarded when the real dwelling is ready to be moved into. There are many inconveniences in living in a tent, especially if it is in a climate where rain and snow and wind are prevalent. There are many things to be suffered and endured while living in this mortal shell, hence the groaning and the yearning for that better house.\n\n—Leslie C. Busbee\n\nQUESTIONS:\n\n1. What are the things that cause the outward man to perish?\n2. What are the things that help keep the inward man renewed?\n3. What helps to make our affliction \"light?\"\n4. What happens when we begin to look at the things that are seen and consider their worth and value more than the eternal, unseen things?\n5. How can we keep from looking too much at the things that are seen?\n6. What kind of structure is our physical body likened unto?\n7. What are some of the things that cause us to groan while in this tabernacle?\n8. Where did this hope come from and with what assurance is it certain to us?\n9. What will be the state of the person who will have to move out of this tent and have no house waiting for him to move into for eternity?\n10. While we are at home in the body, where are we with the Lord?\n11. What do we strive to be, whether present or absent?\n\nADULTS' AND YOUNG PEOPLE'S COMMENTS\n\nJesus taught His disciples in Luke 16:9 to \"make to yourselves friends of (or with) the mammon of unrighteousness\n\n(material riches); that, when ye fail, they may receive you into everlasting habitations.” This expression is parallel with the teachings of Paul in our lesson today. We are going to be put out of this earthly house we are in right now. We need to make provision for ourselves of another dwelling to move into when we have to leave our present dwelling. We want to be sure of this, so sure and steadfast that our future home will swallow up in glory all of the sorrows and sufferings that we have had here. Only by receiving the salvation of Christ and being led by His Spirit can we have this kind of hope. By bearing about in our bodies the dying of the Lord Jesus and bearing the cross for Him this house eternal is made more sure and precious. We do not want to be found naked. There are many people who think that they have hope in Christ who are not preparing for this house from heaven. When death comes they will be ushered by its cold hand out into the outer darkness of eternity where it is desolate and homeless. There will be no shelter or a place of habitation for them. They have lived only for this present life, having their good times while the faithful have suffered. There will be no friends in eternity to welcome them into eternal habitations. They will be found naked, oh, terrible thought! This is the serious cast to our lesson today! We need to have a dwelling for us over there. We need another body to inhabit after this body is gone. Let us prepare for the house of our eternity.\n\n—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\nWhat a glorious revelation will come to us, as we sweep through the portals of glory! There are not words in the English language to describe the beauties awaiting those who belong to the Lord. As the outward man perishes day by day and the strength grows weaker, the hope grows brighter for a life that is beyond this veil of tears. This old house of clay, the earthly tabernacle, will go back to dust and the soul, or the inward man, will be taken to be with the Lord. Over there, “we have a building, a house not made with hands, eternal in the heavens.” What a glorious hope we have within us! The Apostle Paul tells us, “absent from the body, and . . . present with the Lord.” Oh, what could be greater than to see the Lover of our soul face to face. We will be safe and secure from all the power of the enemy. What more could we desire? Heaven is beyond our comprehension, yet it is real, very real and it will be all that the soul longs for or ever could desire. Nothing there will be imperfect, but will be peace, peace, and\n\nmore peace. Oh, my soul magnifies the Lord when I think about these glorious things. No wonder the Apostle Paul looked back over the persecutions, imprisonments, tumults in this life and said, \"For our light affliction, which is but for a moment, worketh for us a far more exceeding and eternal weight of glory.\" \"It will matter but little at last, what we have passed through, when the shades of the evening as sunset we view.\" When we get a glimpse of heaven's glory, then the burdens and trials of this life will fade away and all the beauties and grandeur of heaven will envelop us.\n\nWhen we die, we await the judgment in the presence of the Lord, in paradise or in Abraham's bosom. Luke 16:25; 23:42, 43. The unjust or wicked are \"reserved in everlasting chains under darkness unto the judgment of the great day.\" (Jude 6). Knowing what awaits the wicked and the \"terror of the Lord, we persuade men\" to turn unto the Lord while they have time and the right use of their minds. Surely, one needs to know that \"today is the day of salvation.\" It is time to seek the Lord and be ready to meet Him in peace.\n\n—Marie Miles\n(Written in 1975.)\n\nNovember 5, 1989\n\nTHE MINISTRY OF RECONCILIATION\n\nII Corinthians 5:11 Knowing therefore the terror of the Lord, we persuade men; but we are made manifest unto God; and I trust also are made manifest in your consciences.\n\n12 For we commend not ourselves again unto you, but give you occasion to glory on our behalf, that ye may have somewhat to answer them which glory in appearance, and not in heart.\n\n13 For whether we be beside ourselves, it is to God: or whether we be sober, it is for your cause.\n\n14 For the love of Christ constraineth us: because we thus judge, that if one died for all, then were all dead:\n\n15 And that he died for all, that they which live should not henceforth live unto themselves, but unto him which died for them, and rose again.\n\n16 Wherefore henceforth know we no man after the flesh: yea, though we have known Christ after the flesh, yet now henceforth know we him no more.\n\n17 Therefore if any man be in Christ, he is a new creature:\n\nold things are passed away; behold, all things are become new.\n\n18 And all things are of God, who hath reconciled us to himself by Jesus Christ, and hath given to us the ministry of reconciliation;\n\n19 To wit, that God was in Christ, reconciling the world unto himself, not imputing their trespasses unto them; and hath committed unto us the word of reconciliation.\n\n20 Now then we are ambassadors for Christ, as though God did beseech you by us: we pray you in Christ’s stead, be ye reconciled to God.\n\n21 For he hath made him to be sin for us, who knew no sin; that we might be made the righteousness of God in him.\n\nMemory Verse: . . . God was in Christ, reconciling the world unto himself, not imputing their trespasses unto them; and hath committed unto us the word of reconciliation.\n\nII Corinthians 5:19.\n\nCentral Thought: God sent His Son, Jesus, and was in Him, to atone for man’s sins and bring about a reconciliation between God and man, and the ministry which Christ imparts to us is one of bringing the lost back to the fellowship of God.\n\nWord Definitions: “Beside ourselves”: To be astounded or astonished beyond measure. The Greek expression is “to be put out of wits, to be amazed.” This can be for joy or because of sorrow. Sober: To be of a sound mind in full control of thought and feeling. “The love of Christ constraineth us”: We are moved, compelled, controlled and motivated by knowing and understanding the love that Christ manifested for us in giving Himself for all. “Know we no man after the flesh”: We look upon every man as a precious soul Christ died to save. We will have no relationship with any one that is fleshly or sinful in God’s sight. Only in the Spirit and according to purity and holiness will we relate to anyone. Reconcile and reconciliation: Bringing God and man back into fellowship and harmony again. On God’s part there is mercy, atonement and forgiveness; on man’s part there is godly sorrow, repentance, faith and obedience. Ambassador: A representative, one who goes in the place of another.\n\nLESSON BACKGROUND\n\nOur previous lesson ended with Paul’s statement that all shall appear before the judgment seat of Christ to give an account of ourselves to God. Because of this there is a sincere\n\nburden in the heart of the saint to help people to prepare for that great day. While Paul seeks to persuade men, he realizes that he is before God all of the time. Also, he is being made manifest before men, even to the ones to whom he is addressing this epistle. His life was before God and to God, and it was before men and for the cause of men. The love of Christ caused him to seek to live in this manner, not to the flesh or to men, but unto Him who gave His life on Calvary. He knew Christ no more as a man, but as the eternal Son of God in the heavens. He knew that if any man could get in Christ, he would be changed from his old habits of lust, greed, pride and sin unto the new life of faith, love, hope and patience. Here was reconciliation between God and man, a perfect cure and solution from the problem of sin that had defiled the human race.\n\n—Leslie C. Busbee\n\nQUESTIONS:\n\n1. What does knowing the terror of the Lord cause us to want to do?\n2. Who did Paul desire to be made manifest to?\n3. Why did Paul not commend himself to them?\n4. What are some of the things in the Christian life that might make a man be beside himself?\n5. Because Christ died for all, who should we that are alive in Him live to?\n6. How will we treat people if we know them only in a fleshly sense?\n7. How did men treat Christ who knew Him only in a fleshly sense and never perceived His spiritual values?\n8. Because of this, is there any way that a man can be truly in Christ, and not be born again?\n9. What was God’s attitude toward a lost world when He came down to this world in Christ?\n10. What is the plea of the gospel toward the wandering, lost souls of men?\n\nADULTS’ AND YOUNG PEOPLE’S COMMENTS\n\n“Be ye reconciled to God”! This is the earnest plea of the Holy Spirit working in and through His ministry and Church to the fallen race of men. God has sent His Son, and accompanied His Son to come down to this cold, dark world to bear man’s sin and transgressions. He does not impute their sins against them any more. He has a new life to give to one and all. There is power in the blood of Christ and the Spirit of\n\nour God to make a new creature out of everyone. Man must sense and recognize his lost and undone condition, and be sorry deep within his heart that he has strayed from the fold of God. He must turn his heart towards the Lord in genuine repentance and humility, and be willing to submit to God and obediently follow Him all the way. God and man can meet once more on these terms. Here is where they can be reconciled. Man who has wandered in his own ways far from the loving heavenly Father’s embrace returns unto Jesus, the Shepherd and Bishop of his soul. Oh, what a wonderful blessing this is! What a great message we have to share with the souls of men! A new creature in Christ! All things are made new and all things are of God. Old things of the flesh, the world, and selfish gratification pass out of our lives. We do not seek for their treasures any more. We have found a richer treasure, one that fadeth not away. No more are we in despair and sorrow of heart. Comfort and hope spring up in our hearts. We are no more a barren desert void of life and beauty and rest. The Rose of Sharon, the Lily of the Valley now grows abundantly within us. We are reconciled to God, one with Him and His people in love and faithfulness forevermore.\n\n—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\nThere are some who feel that since man has been given the ministry of reconciliation, it gives men the power to absolve other men’s sins. When we consider closely the meaning Paul had we understand that the ministry of reconciliation is the message of the Gospel. II Corinthians 5:19 tells us what the message is. God was in Christ while He was on this earth and He forgave men of their sins, which means all was clear between God and repentant man. Since Christ is now at the Father’s right hand it is up to us to tell others what He can do. We are ambassadors for Christ. We do not fill His role but we are spokesmen for God, beseeching people to find His forgiveness.\n\nThere is no greater One that we can bring people to than God. He can do far more for a person than anyone else. After Mark Twain had made a triumphant tour through Europe, where he was honored by great universities and kings, his daughter said: “Daddy, I guess pretty soon you will know everybody except God.” If we should be acquainted with all the important people of our time and yet fail to seek God and His forgiveness, we will be in great distress on the day of judgment. No one will be able to stand to aid us then.\n\nAn account recorded in the Scriptures tells of an infirm man who laid a long time at the pool of Bethesda. He was unable to get into the water when it was troubled to receive his healing. When Jesus asked the man about this, the reply was, \"Sir, I have no man, when the water is troubled to put me into the pool.\" John 5:7. Likewise there are many in the world today who have no one to help them into the forgiving fountain of Christ's blood. We have quite a ministry of reconciliation to fulfill.\n\n—Wayne Murphey\n\nNovember 12, 1989\n\nAPPROVING OURSELVES AS THE MINISTERS OF GOD\n\nII Corinthians 6:1 We then, as workers together with him, beseech you also that ye receive not the grace of God in vain.\n\n2 (For he saith, I have heard thee in a time accepted, and in the day of salvation have I succoured thee: behold, now is the accepted time; behold, now is the day of salvation.)\n\n3 Giving no offence in any thing, that the ministry be not blamed:\n\n4 But in all things approving ourselves as the ministers of God, in much patience, in afflictions, in necessities, in distresses,\n\n5 In stripes, in imprisonments, in tumults, in labours, in watchings, in fastings;\n\n6 By pureness, by knowledge, by longsuffering, by kindness, by the Holy Ghost, by love unfeigned,\n\n7 By the word of truth, by the power of God, by the armour of righteousness on the right hand and on the left,\n\n8 By honour and dishonour, by evil report and good report: as deceivers, and yet true;\n\n9 As unknown, and yet well known; as dying, and, behold, we live; as chastened, and not killed;\n\n10 As sorrowful, yet alway rejoicing; as poor, yet making many rich; as having nothing, and yet possessing all things.\n\n11 O ye Corinthians, our mouth is open unto you, our heart is enlarged.\n\n12 Ye are not straitened in us, but ye are straitened in your own bowels.\n\n13 Now for a recompence in the same, (I speak as unto my children,) be ye also enlarged.\n\nMemory Verse: (For he saith, I have heard thee in a time accepted, and in the day of salvation have I succoured thee: behold, now is the accepted time; behold, now is the day of salvation.) II Corinthians 6:2.\n\nCentral Thought: In every situation of life, by every holy means that God has supplied in Christ, we must seek to approve ourselves as the ministers of God, being defamed and rejected by men, and yet blessed and enriched by the Lord Jesus.\n\nWord Definitions: \"Receive not the grace of God in vain\": Do not fail to make the proper use of the grace given to us, not giving any cause for the work of God to suffer reproach. Succour: Help. Necessities: Needs, close places. \"In tumults\": In the midst of confusion and disorder. \"Love unfeigned\": Sincere love without pretence or hypocrisy. \"Ye are not straitened in us, but ye are straitened in your own bowels.\": We are not cramping you or pressing you. You are cramped and pressured in your own mind and feelings. Do not fear or doubt the love we have for you.\n\nLESSON BACKGROUND\n\nAfter Paul’s most sublime and eloquent appraisal of the reconciliation of God and man to one another and the ministry of that reconciliation that he most joyfully bore within his heart, he now urges that diligence be exerted on the part of everyone to approve themselves as the ministers of such a vocation. He quotes from Isaiah 49:8 rejoicing that the accepted time of God’s reconciliation with man is now, and that today is the day of salvation. No offence must be given but the offence of the cross. We are to prove our divine calling as the ministers of God in things and by things. In the various close and difficult places of life we are to employ all the graces and blessings that God has supplied in Christ to show forth the preciousness of Christ. There will be honor and dishonor, good report and evil report to surmount. We will be called deceivers, so let us be sure that we are true. We will be small and unknown by the praise of the world, but let us remember that we in Christ are well-known to God. Dying, chastened, sorrowful, poor and having nothing, yet will we live, rejoice, make many rich (in faith) and we will possess all things (in Christ).\n\n—Leslie C. Busbee\n\nQUESTIONS:\n\n1. Is it possible to receive the grace of God and fail to use it properly?\n2. What effect does an unfaithful minister have upon souls?\n3. In what special conditions of life does the faithfulness of a minister really shine?\n4. What are the things that must be seen when a servant of God is faced with these difficult times?\n5. Where will the honor bestowed come from?\n6. Where will the dishonor come from?\n7. How can we be unknown, and yet well-known?\n8. How can we be sorrowful, and yet always rejoicing?\n9. How can we be poor, and yet make many rich?\n10. How can we have nothing, and yet possess all things?\n11. Is it possible for us to be straitened and cramped in our own minds when in God and Christ we could be free and happy as a bird?\n\nADULTS’ AND YOUNG PEOPLE’S COMMENTS\n\nIt behooves every child of God to take heed to his conduct and manner of life. Many, many souls have been driven away and discouraged from finding the real life of Christ because of a misrepresentation of the truth by some careless person who professed to be a follower of the Lord. People are watching us, weighing our actions as well as our words. In times of adversity and stress the sweet Spirit of Christ shows up very plainly. If we murmur and complain in our times of adversity, people will take note of that. If we will be honest in the face of loss to ourselves, people will mark that. We preach more loudly by what we do than by what we say. When we can be joyful in provoking times of stress and disappointment, it will be a great witness for the Lord. It is a careful walk that we make before men. At the best we can do, there will still be those who will condemn and criticize us. We must take those things quietly and meekly, too. We will not be popular in a worldly sense according to the praise of men. We will rather be scorned and looked down upon. One lowly saint was reproached by a proud relative at a funeral for riding in their car. It was very evident, and the action of this proud relative was terrible. The saint took it meekly, and later the Lord allowed this proud relative’s car to crash in a most unusual way. God will fight for us, and we will not need to lift a hand or voice in our defense. It is most certain that we will not be rich in material things, although God will be faithful to supply\n\nour needs. The Lord said to one of His ministers who was praying to have more money to give, \"I have better things for you to give than money!\" Let us set our goals heavenward and prove to the Lord and others that we are genuine children of the most High God.\n\n—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\nOne minister used to give his final charge to candidates before their ordination in these impressive words, \"Tomorrow I shall say to you, wilt thou, wilt thou, wilt thou? But there will come a day to you when Another will say to you, 'hast thou, hast thou, hast thou?'\"\n\nIt is a sobering thought to think that someday we will give an account of our ministry. Therefore it is well to constantly take account of our works and to see if they are being profitable and edifying. We should make sure that we are a credit to our calling when it comes to patience, pureness, kindness and love. Our attitude must be a proper one in times of affliction, distress and labor.\n\nIn many ways the success of a minister's labours can be measured according to how big his heart is. First our heart must be big enough to take in God. He is the very foundation and inspiration for all of our works. Next our hearts must be big enough to take in other people. If the Apostle Paul's heart had not been enlarged enough to take in all the saints at Corinth he would have had a limited effect upon them.\n\nIn our lesson the Apostle Paul charges the people that their hearts also should be enlarged. So this matter extends to everyone, not just preachers. To enlarge means to make larger than normal. People in their natural state, only have a heart big enough for themselves and maybe a few close friends and relatives. But let God in your heart and as He begins working, you will find ample room for others.\n\n—Wayne Murphey\n\nNOTICE: If your subscription expired with this quarter please send your renewal at once. It is necessary that your subscription for the first quarter of 1990 be in this office by Dec. 1, 1989. For your convenience there is an order blank at the end of this book.\n\nThe Story of the Spring by the Side of the Road\n\nA stranger made his way down a road leading into a wide, expansive, fertile valley. It was late in August, hot, sultry and dusty. The stranger was worn with the journey and was hungry and thirsty. He wondered where he might find a well or spring; a place to rest and be refreshed.\n\nAs he made his way down the road he saw a sign nailed to a tree. On this sign was an arrow, pointing to a path that led back from the road. Beneath the arrow were the words, \"To the spring,\" evidently written by some trembling hand.\n\nThese were very welcome words; \"To the spring.\" So the stranger wended his way down the path to where he found a great gushing spring pouring forth from beneath huge jagged rocks. All around about this wonderful spring were mammoth oak trees growing in their luxuriance. Beneath the spring was a pool of water made by the falling of the stream. There were cups by the side of the spring. The underbrush had all been cleared away. Near the spring a rustic seat had been built.\n\nThe stranger drank freely from the spring and was refreshed. He took off his coat and his linen and bathed his face, hands and arms in the pool below the spring and was refreshed again. This done he sat down on the rustic seat to rest. From there he beheld what at first he had not seen, a basket of ripe, beautiful apples, hanging to a limb of a tree just over the spring.\n\nOn the basket was a sign, evidently written by the same trembling hand that had made the one by the side of the road. The sign read, \"Stranger, these apples are yours. Help yourself.\" He took a couple of fine juicy ones and ate them. O, they were so good. Glancing up he read the sign again, \"Stranger, these apples are yours. Help yourself,\" so he filled his pockets and took a couple more to eat.\n\nAs the stranger sat there rested and refreshed he found himself wondering what in the world this could mean. All this comfort and no one there to collect any money. What could it mean!\n\nThe birds were singing their evening songs. All the air held a solemn stillness. The golden threads of sunlight poured down through the leaves of the trees. What could it all mean?\n\nIt finally dawned on him that there must be someone nearby whose love for humanity and whose unselfish devotion had led them to arrange the wonderful setting of the spring and asked no returns except the sweet satisfaction of having\n\narranged a place where weary travelers might be directed so they could lay down their burdens and be refreshed.\n\nHis curiosity was deeply aroused. He wanted to meet persons with such a vision and with such a passion for service and to inquire why all this comfort. He looked for some path which might lead to the explanation. He discovered the path, leading out of the forest trees, and followed it up thru the farm-yard gate, thru the garden gate, up the garden path past the old-fashioned flowers, pinks and holyhocks, to a little old house on the edge of the orchard. After knocking, an old man with a benign face came to the door. \"Good evening, stranger, good evening. Come in. Come right in.\"\n\n\"Neighbor, I have called to ask about the story of the spring. Can you tell me the story of the spring down by the side of the road?\"\n\n\"Oh, it's the story of the spring you are after, is it?\" The old man said as he laughed the deep laugh that came from the depths of his great generous soul. \"The story of the spring. Excuse me please, stranger, and I will call Mother. She loves to tell the story of the spring.\"\n\nHaving called the old mother, she came in, sat down, and folded over her gingham apron to cover up the spots. \"The story of the spring is it, stranger, you are asking for the story of the spring?\"\n\nBrushing away a tear and swallowing a lump that came in her throat, for it was a tender story she was to tell, she proceeded.\n\n\"It was this way, stranger, Fifty years ago Father and I were sweethearts together. Frequently we would take long walks in the moonlight after the day's work was done. On these walks we would dream of how we would invest our lives for others. Sometimes we would think how interesting it would be to give the world a song it might go singing down life's weary way. Sometimes we would wonder if the time would ever come when we could give the world a book that might cheer, instruct, encourage and gladden humanity with all its burdens, heartaches and struggles. And sometimes we would dream of a possible time when we might have piles of gold with which we might help the ambitious, relieve the distressed and render such blessed service as we observed humanity so much needed.\n\n\"All these thoughts seemed but vain dreams for we were poor young people, shut away from educational advantages, necessary to so ambitious a dream, so we decided that if we were never to be permitted to give the world a song, or a book or never to have the piles of gold, we would do the next greatest thing, make a home that might be a help and an\n\ninspiration in making other homes great and worthwhile. After all, great homes count as the nation's greatest asset.\n\n\"The years were repining and so we were married.\n\n\"The immediate question was, 'Where was the home to be located?' Father at once began to look about for a strategic location for such a home. He found this wide, expansive, fertile valley. Here we knew that we would be finally surrounded with many homes, the setting of our dream.\n\n\"So Father filed on this claim as a homestead. The evening he came home with the papers we came to this spot and kneeled down upon the sod and dedicated this quarter to be God's acre for service. We soon cut away the timber with which to build our house. We added an extra room as our guest chamber. Father proceeded to clear the farm and put out the orchard.\n\n\"We would listen for the settlers driving in with their ox wagons. At the sound of the rumbling of these wagons Father or I would go down to the valley road and ask the settlers to come in for the night. Father helped them locate their homesteads, then rally the neighbors to help roll up their log cabins. Loving service was the word, the passion of our hearts. Many a young family found the Saviour about our family altar.\n\n\"So, stranger, for fifty years now, Father and I have lived for the people of the valley. We have shared with them all our joys. We have been by their sides as they have needed our help. We have loved their children and sought to inspire them to become useful and great for their country. Our little brood has come up and mingles with the children of the valley. We have seen swarms of these blessed young lives come up thru these beautiful years.\n\n\"So for fifty years now, stranger, Father and I have lived for the people of the valley and have beautifully realized our dream. But one day I was coming in from the garden and found Father sitting by the fireplace crying. I said, 'What in the world are you crying for, Dad?'\n\n\"When I saw you down in the garden this morning, Mother, with your face so pale, your hair so white, your shoulders so rounded by the burdens you have borne by my side these fifty years and when I saw you come up the garden path so trembly and faltering like, I could not keep the tears back and found myself saying, 'Never again, never again, never again will Mother and I have the strength to go out and steady the aged down thru the valley of the shadow. Never again will Mother and I have the strength to smooth the pillows of the dying thru the long, weary nights. Never again will we be able to load the flour, hams and potatoes into the wagon or sleigh and take relief to the poor and the suffering.'\n\nI am not crying, Mother, because we are getting old. Heaven never beckoned with a sweeter call than now, but it was such a joy to go out by your side, Mother, and minister to the people of the valley that my heart is hungry to go right on and on with this blessed work. So when I saw you this morning, Mother, looking so frail I realized how nearly our race was run. It is from heart hunger that I am crying, Mother.'\n\n\"So,\" she said, \"I sat down and cried by his side and we talked it all over. Finally I said, 'Father, let's do one more fine service for humanity before the touch of time shall palsy our hands utterly. Let's do what we have been thinking of doing so many years. Rest good Father, and sharpen your ax and take plenty of time and cut away the underbrush from about the spring. Build a rustic seat. Cut a path thru to the road. God will hand the boughs of our apple trees full of apples every year. I'll take my old trembly hands and, as best I can, fix up the signs and then we will render this last expression of our love to God and our fellow travelers down life's rugged way.'\n\n\"The old man arose and began to pull on his boots. 'Capital, Mother, capital,' he said. He immediately went out to sharpen his ax. He came in and said, 'Have dinner early today, Mother.' After dinner he swung his ax over his shoulder and I used to see him in his palmy days and start off down to the spring with the zest of a war horse, having sniffed the smoke of the battle. With many times his usual strength he swung into cutting away the underbrush. The path to the road was soon completed. The rustic seat was soon built. I did my best with the signs.\n\n\"When all was done, while the caroling birds accompanied us with their evening symphony, we dedicated the spring to God and humanity, asking no return except the sweet satisfaction that we had rendered one more service to our fellow man and made it possible for him to turn aside from this dusty weary way, find a place of quiet, find refreshment and rest and a place to lay down his burden and in sweet meditations catch the spirit of the valley.\"\n\nLittle did those old people realize that this stranger was none less than the great American poet, Sam Foss. When he heard this story he went out and wrote that poem that you love and I love and that has gone around the world, entitled, \"The House by the Side of the Road and Being a Friend of Man.\"\n\n\"THE HOUSE BY THE SIDE OF THE ROAD\"\n\nThere are hermits souls that live withdrawn,\n In the peace of their self-content:\nThere are souls like stars, that dwell apart,\n In a fellowless firmament;\nThere are pioneer souls that blaze their paths,\n Where highways never ran—\nBut let me live by the side of the road\n And be a friend to man.\n\nLet me live in a house by the side of the road\n Where the race of men go by—\nThe men who are good and the men who are bad.\n As good and as bad as I.\nI would not sit in the scorner's seat,\n Or hurl the cynic's ban—\nLet me live in the house by the side of the road\n And be a friend to man.\n\nI see from the house by the side of the road,\n By the side of the highway of life,\nThe men who press with ardor of hope,\n The men who are faint with the strife.\nBut I turn not away from their smiles nor their tears,\n Both parts of an infinite plan—\nLet me live in the house by the side of the road\n And be a friend to man.\n\nI know there are brook-gladdened meadows ahead,\n And mountains of wearisome height;\nThat the road passes on through the long afternoon.\n And stretches away to the night.\nAnd still I rejoice when the travelers rejoice\n And weep with the strangers that moan,\nAs I live in my house by the side of the road\n And be a friend to man. —Sam Walter Foss\n\nPERFECTING HOLINESS IN THE FEAR OF GOD\n\nII Corinthians 6:14 Be ye not unequally yoked together with unbelievers: for what fellowship hath righteousness with unrighteousness? and what communion hath light with darkness?\n\n15 And what concord hath Christ with Belial? or what part hath he that believeth with an infidel?\n\n16 And what agreement hath the temple of God with idols? for ye are the temple of the living God; as God hath said, I will dwell in them, and walk in them; and I will be their God, and they shall be my people.\n\n17 Wherefore come out from among them, and be ye separate, saith the Lord, and touch not the unclean thing; and I will receive you,\n\n18 And will be a Father unto you, and ye shall be my sons and daughters, saith the Lord Almighty.\n\n7:1 Having therefore these promises, dearly beloved, let us cleanse ourselves from all filthiness of the flesh and spirit, perfecting holiness in the fear of God.\n\n4 Great is my boldness of speech toward you, great is my glorying of you: I am filled with comfort, I am exceeding joyful in all our tribulation.\n\n5 For, when we were come into Macedonia, our flesh had no rest, but we were troubled on every side; without were fightings, within were fears.\n\n6 Nevertheless God, that comforteth those that are cast down, comforted us by the coming of Titus;\n\n7 And not by his coming only, but by the consolation wherewith he was comforted in you, when he told us your earnest desire, your mourning, your fervent mind toward me; so that I rejoiced the more.\n\n8 For though I made you sorry with a letter, I do not repent, though I did repent: for I perceive that the same epistle hath made you sorry, though it were but for a season.\n\n9 Now I rejoice, not that ye were made sorry, but that ye sorrowed to repentance: for ye were made sorry after a godly manner, that ye might receive damage by us in nothing.\n\n10 For godly sorrow worketh repentance to salvation not to be repented of: but the sorrow of the world worketh death.\n\n11 For behold this selfsame thing, that ye sorrowed after a godly sort, what carefulness it wrought in you, yea, what clearing of yourselves, yea, what indignation, yea, what fear,\n\nyea, what vehement desire, yea, what zeal; yea, what revenge! In all things ye have approved yourselves to be clear in this matter.\n\nMemory Verse: Having therefore these promises, dearly beloved, let us cleanse ourselves from all filthiness of the flesh and spirit, perfecting holiness in the fear of God.\n\nII Corinthians 7:1.\n\nCentral Thought: God commands us to separate ourselves from being in agreement with the sin and error of this present evil world, and be holy and pure as His sons and daughters.\n\nWord Definitions: Concord: To be in accordance or harmony. Filthiness: Soil, stain, defilement, immorality. \"Fervent mind\": Zeal and warm affection. \"Godly sorrow\": Sorrow according to God, regret and grief for grieving God. Indignation: Sore grief and displeasure against sin and wrong. Revenge: Holy retribution and punishment, judgment.\n\nLESSON BACKGROUND\n\nPaul, in our previous lesson had dwelt on the thought of approving ourselves as the ministers of God. He had expressed his sincere love for them, having an enlarged heart to bear them in his thoughts and concern. In our lesson today he enters into another very important topic of instruction, and that is of us being separate from the evil influences in the world around us. We are in the world, but not of the world. We can live among people, eat and drink with them, work side-by-side with them in the temporal affairs, share the common blessings of life, and do many things that they do as human beings, but when it comes to what we fellowship, condone and agree with, there is a strict and clear cut line that has to be drawn. Paul expressed it in another place like this, \"Have no fellowship with the unfruitful works of darkness, but rather reprove them. (Ephesians 5:11). We do not know what all that the brethren in the Church at Corinth were being involved with, but it is possible that they were mixed up with things that were not edifying to their souls. There are many influences in the world today that we as Christians cannot partake of, that we must in honor of Christ stay away from. The apostle is not wanting to put the brethren in a strait jacket, but he knew that these influences can stain the soul and involve the person in a way that is not good. In his first epistle to them he had made them sorry, but rejoiced that their sorrow was a godly sorrow and that it worked repentance to\n\nsalvation and victory. In their repentance they had fully approved themselves to be clear in those things wherein Paul had instructed them.\n\n—Leslie C. Busbee\n\nQUESTIONS:\n\n1. Why is there danger and spiritual detriment in the fellowship of evil?\n2. Can we be friendly, kind, cordial and gracious to people without fellowshipping their evil?\n3. What is the real temple of God?\n4. What does God want us to do about the sinful influences in the world?\n5. What has God promised to do if we will come clean for the truth?\n6. We are sanctified by the Holy Spirit. Is there a cleansing that we must carry out in separating ourselves from the evils of the world?\n7. Why was Paul so full of comfort concerning the brethren at Corinth?\n8. What effect did his letter have on them?\n9. What had Titus told Paul that had brought him so much comfort?\n10. What effect did their godly sorrow have upon their lives?\n\nADULTS’ AND YOUNG PEOPLE’S COMMENTS\n\nBeing the children of God and the objects of His great love and affection, we owe to Him everything, and He is justly worthy of all of our love, devotion, trust, allegiance and service. We join ourselves to Him, and He is all we need. But, there are always other influences in the world that are constantly reaching out their hand to us for sympathy, support and fellowship. We must be careful of what we get ourselves involved with. Now and then we get a telephone call soliciting the purchase of a worldly concert ticket to help promote some community function to solve some problem or need. We answer that we are willing to do what we can to help in solving our community’s problems, but that we are not interested in attending the concert or buying tickets for it. There is a line to be drawn. God can help us know where it is to be drawn. The Spirit of the Lord can help us to know of these things. He is faithful to reprove us if we get into something that He is not pleased with. One brother told about how that after he was saved, he was invited to go with a party to a ball game. He consented to go, but while in the midst of\n\nthe game he became very sensitive to the evil around him. One man near him was cursing, another was waving a beer bottle. He felt the Lord reprove him for being there. Another young man went to a gathering of young people at a home. He was told that it was to be an effort to better their study of foreign language. As the evening progressed he saw that it was not a good place for a Christian to be. He became so troubled that it began to even affect the activities and those in attendance. Finally he requested that he be allowed to leave. He said that he believed they all were glad to see him go. A true child of God just cannot be in harmony with the spirit of the world. Christ shed His blood and sent His Holy Spirit to cleanse us, but unless we separate ourselves from the evils of the world, we will not be fully clean.\n\n—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\nHoliness is a wonderful virtue of the saint of God. Think of the fame of Christ that spread throughout Israel. He was a man different from any other. The only one who had even approached this popularity had been John the Baptist. Christ, through His holiness made an impact upon the world that time has been unable to erase.\n\nIn following Christ, we also may create an impact upon those around us. Through our holiness, individuals will be able to mark our lives as something above the ordinary. This is that city set on a hill that cannot be hid—the New Jerusalem of which Christ is the head.\n\nNot only will holiness claim the attention of strangers, but our lives will be equipped to stand the scrutiny of our family and close acquaintances. It has been said that if you want to know what kind of Christian you are, go ask your family. The holiness of God as set forth by Christ should so infiltrate our lives that the closest friend or companion can have perfect confidence in us.\n\nI recall the story of a preacher who discovered some young boys skipping school. Upon inquiry the boys informed the preacher that they were \"lying for a dog.\" The one who told the biggest lie would receive a little puppy. After the preacher admonished the boys for telling lies, one of the children inquired of the preacher if he had ever lied. With sanctimonious air, the preacher replied with a \"No-o.\" One of the little boys scoffed and said, \"What a whopper—give the preacher the pup.\"\n\nWe should live such an example in holiness, modesty, truthfulness and integrity that those whom we are unaware\n\nare observing us, will have a good report of our general conduct.\n\n—Wayne Murphey\n\nNovember 26, 1989\n\nBEING POOR IN THIS WORLD, BUT RICH IN CHRIST\n\nII Corinthians 8:1 Moreover, brethren, we do you to wit of the grace of God bestowed on the churches of Macedonia;\n2 How that in a great trial of affliction the abundance of their joy and their deep poverty abounded unto the riches of their liberality.\n3 For to their power, I bear record, yea, and beyond their power they were willing of themselves;\n4 Praying us with much intreaty that we would receive the gift, and take upon us the fellowship of the ministering to the saints.\n5 And this they did, not as we hoped, but first gave their own selves to the Lord, and unto us by the will of God.\n7 Therefore, as ye abound in every thing, in faith, and utterance, and knowledge, and in all diligence, and in your love to us, see that ye abound in this grace also.\n8 I speak not by commandment, but by occasion of the forwardness of others, and to prove the sincerity of your love.\n9 For ye know the grace of our Lord Jesus Christ, that, though he was rich, yet for your sakes he became poor, that ye through his poverty might be rich.\n10 And herein I give my advice: for this is expedient for you, who have begun before, not only to do, but also to be forward a year ago.\n11 Now therefore perform the doing of it; that as there was a readiness to will, so there may be a performance also out of that which ye have.\n12 For if there be first a willing mind, it is accepted according to that a man hath, and not according to that he hath not.\n13 For I mean not that other men be eased, and ye burdened:\n14 But by an equality, that now at this time your abundance also may be a supply for their want: that there may be equality:\n15 As it is written, He that had gathered much had nothing over; and he that had gathered little had no lack.\n\nMemory Verse: For ye know the grace of our Lord Jesus Christ, that, though he was rich, yet for your sakes he became poor, that ye through his poverty might be rich.\n\nII Corinthians 8:9.\n\nCentral Thought: Spiritual life thrives in the generosity and sacrifices of those who are poor and needy, who rather than choose riches give of themselves to the Lord and to ministering for the welfare of others.\n\nWord Definitions: \"To their power... and beyond their power they were willing of themselves\": As they were able and beyond their ability (depriving themselves of the necessities of life) they gave of their own accord.\n\nLESSON BACKGROUND\n\nPaul, in our lesson today, is pointing the brethren at Corinth to two examples of spiritual riches in the midst of earthly poverty. He mentioned the Macedonian brethren, and how that the grace of God was so great on them in their giving. They had great trials of affliction, and very deep poverty, but it all abounded to their joy and the riches of their generosity. They wanted Paul to have the gift that they had so sacrificially provided for him. An offering from the poor given from a heart of love is one of the most precious gifts ever given to a minister. It touches their heart so deeply. It warms them with a love that transcends all else. Paul knew that these people were poor, very poor. And yet they gave and gave some more. Oh, what a bond this brings between the servant of God and those to whom he ministers the gospel! He wanted these Corinthian brethren to be blessed in this way, also. Not that he was desiring their means, but he wanted them to know the joy and blessing of giving. He referred them also to the Lord Jesus Christ. Oh, what a splendid example our dear Saviour is of this! Though He was rich and powerful as the Son of God, yet He humbled Himself to become the poorest of the poor. He willingly offered Himself to die in our stead. He was homeless, penniless, and destitute of every human necessity. He did this for our sakes, so that we could be made rich in salvation and the fulness of grace.\n\n—Leslie C. Busbee\n\nQUESTIONS:\n\n1. Under what circumstances had the Macedonian brethren given to help Paul?\n\n2. What had their great joy and deep poverty abounded unto?\n3. To what extent had they been willing to give?\n4. Who did they give themselves to first?\n5. In what way was Jesus rich?\n6. In what way did He become poor?\n7. How can we be made rich?\n8. What kind of riches is Paul speaking of here?\n9. How can we all help one another to make things come out equal?\n10. Would there be enough provision in the world for everyone if there was equality?\n11. Why is there not equality in this world?\n12. Is there equality in the Church of God?\n\nADULTS’ AND YOUNG PEOPLE’S COMMENTS\n\nOne of the greatest temptations to humankind is to be rich. To the carnal mind, riches mean money, wealth, earthly possessions and security. But these are not the true riches that we should seek after. Earthly riches have a way of dominating the mind and soul to where one becomes insensitive to God and the true riches. Jesus Himself declared that it is easier for a camel to go through the eye of a needle than for a rich man to enter into the kingdom of heaven. The true riches of faith, love, patience, meekness, wisdom, kindness and peace are the most worthy objects of our desires. There is great joy in being poor in this world and knowing the realities of being rich in the favor and fellowship of God. Many people work hard to be rich. They make it the goal of their lives to be wealthy. It fills their waking hours and many times their sleeping hours. The thirst for earthly wealth is an all-consuming thirst. It makes a person cold and selfish. Very few people can survive prosperity in material things. There is something about material wealth that causes one to put their trust in it. It is a deceitful thing that preys on the heart of man. Oh, how we need to heed the truth that only Christ has the true riches! He gave up everything to come down to the cold, dark world to become the poorest of the poor. The wealth of the world had no attraction for Him. He had a better home to look forward to. He was not impressed by the things Satan sought to entice Him with. He had a joy set before Him that helped Him to overcome all of the sufferings of the cross. Oh, if more people could but see the blessing of giving and self-denial! What a change would be in our society! Only Christ can make us truly rich.\n\n—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\nPaul said \"to live is Christ.\" Christ was the center of his life. Just so, He should be the center of our lives. Every plan and purpose should be derived from Christ. Jesus stood before the Father with the attitude of, \"Then said I, Lo, I come to do thy will, O God.\" Psa. 40:7, 8. \"I delight to do Thy will.\" Jesus did the will of the Father here on earth until He said on the cross, \"It is finished.\" First, Jesus gave Himself to do the will of the Father and then He gave Himself to ministering to those about Him, and finally gave His life. First, we must give ourselves to Jesus and then He prompts our giving and ministering to the saints. \"Inasmuch as ye have done it unto one of the least of these my brethren, ye have done it unto me.\" Matt. 25:40. Christ is the one who prompts our giving, therefore we have a real fellowship with Christ. We abound in the grace of giving as well as in the other graces. Giving is good for saints, as it checks any tendency to selfishness and it keeps the heart tender. Blessings come from giving, therefore we fellowship Christ, who was rich, yet for our sakes became poor that we might have everlasting life. This brought joy to our Saviour, \"for the joy that was set before him endured the cross . . . and is set down at the right hand of God.\" Heb. 12:2. He had joy in seeing us saved from sin and therefore was willing to endure the cross. We fellowship our Lord in giving because we love to see the joy in those that are given to.\n\n—Marie Miles\n\n(Written in 1975.)\n\nII Corinthians 9:1 For as touching the ministering to the saints, it is superfluous for me to write to you:\n\n2 For I know the forwardness of your mind, for which I boast of you to them of Macedonia, that Achaia was ready a year ago; and your zeal hath provoked very many.\n\n3 Yet have I sent the brethren, lest our boasting of you should be in vain in this behalf; that, as I said, ye may be ready:\n\n4 Lest haply if they of Macedonia come with me, and find you unprepared, we (that we say not, ye) should be ashamed in this same confident boasting.\n\n5 Therefore I thought it necessary to exhort the brethren, that they would go before unto you, and make up beforehand your bounty, whereof ye had notice before, that the same might be ready, as a matter of bounty, and not as of covetousness.\n\n6 But this I say, He which soweth sparingly shall reap also sparingly; and he which soweth bountifully shall reap also bountifully.\n\n7 Every man according as he purposeth in his heart, so let him give; not grudgingly, or of necessity: for God loveth a cheerful giver.\n\n8 And God is able to make all grace abound toward you; that ye, always having all sufficiency in all things, may abound to every good work:\n\n9 (As it is written, He hath dispersed abroad; he hath given to the poor: his righteousness remaineth for ever.\n\n10 Now he that ministereth seed to the sower both minister bread for your food, and multiply your seed sown, and increase the fruits of your righteousness;\n\n11 Being enriched in every thing to all bountifulness, which causeth through us thanksgiving to God.\n\n12 For the administration of this service not only supplieth the want of the saints, but is abundant also by many thanksgivings unto God;\n\n13 Whiles by the experiment of this ministration they glorify God for your professed subjection unto the gospel of Christ, and for your liberal distribution unto them, and unto all men;\n\n14 And by their prayer for you, which long after you for the exceeding grace of God in you.\n\n15 Thanks be unto God for his unspeakable gift.\n\nMemory Verse: Every man according as he purposeth in his heart, so let him give; not grudgingly, or of necessity: for God loveth a cheerful giver. II Corinthians 9:7.\n\nCentral Thought: God wants us to give of ourselves and our means freely, sacrificially, and cheerfully to help support the work of the Lord and to help those who are in need.\n\nWord Definitions: Superfluous: Not needful.\n\nLESSON BACKGROUND\n\nIn our lesson today we have some very good pointed truths concerning the blessing of giving to the gospel of Jesus Christ. God has always accomplished His designs for man, making use of the freewill offerings that come from what man has been blessed to have. When God began to unveil to Moses His plans for the tabernacle, He instructed him to take offerings of every man that giveth willingly with his heart, of the gold, silver, brass, and all of the other things that would be necessary for the building of the tabernacle. When David made public his plans to have the great temple built, the people offered and gave willingly the things that were needed for the service of the house of the Lord. In the New Testament Church we still have this principle. God surely sees that it is good for us to give. When we offer of ourselves and what we have to the Lord with a cheerful and yielded heart to the Lord, the sacrifice thereof is a sweet smelling savour to Him. No one prospers by holding back on God. No one gets ahead by closing their fists on their money. “Give, and it shall be given unto you,” said Jesus in Luke 6:38. As our lesson plainly states, we are not to give because we have to, or just because it is a necessity, but we should give because we want to give, and be cheerful while we are doing it from the heart. God loves a cheerful giver. There is a rich reward for the faithful and cheerful giver. The attitude of the giver who gives in the spirit that God is pleased with, will help him to be in a condition where God can and will pour out the fulness of His grace upon him. Giving is the basic principle of life and success. No one gets very far in the Christian race who does not learn and know the joy of giving. God’s unspeakable gift, the gift of His Son is the greatest gift of all, and the giving of ourselves and of our substance is the just and proper thing for us to do.\n\n—Leslie C. Busbee\n\nQUESTIONS:\n\n1. Why is giving such an important phase of the Christian life?\n2. What will one’s blessings be if they give sparingly?\n3. What is the attitude in giving that God loves?\n4. What is the great reward of giving?\n5. What will God’s abundant grace enable us to do?\n6. What kind of righteousness will be to the man who disperses abroad and gives to the poor?\n7. Will a person who gives consistently and sacrificially ever really miss the things that he gives for the Lord?\n8. What will the bountifulness that God bestows cause to spring up in the heart?\n9. Will this thanksgiving be in the giver’s heart alone?\n10. What are the good and perfect gifts and the one unspeakable gift of God?\n\nADULTS’ AND YOUNG PEOPLE’S COMMENTS\n\nOne of the most important functions of the Christian life is that of giving. We must give of ourselves, of our time, of our means, of our strength, and every other phase of our lives. One who does not give does not prosper in the Lord. Selfishness and greed are foreign to the Spirit of God. No man can have these dispositions in the heart and have fellowship with God. The Christian life is to give, give, give, and give some more. God’s nature is to give. Think of the blessings that He bestows daily upon humanity. The sunlight from the sky, the rain from heaven, the air we breathe, the beauties of nature, food, and many more things are the tokens of the love of our beneficent heavenly Father. He gives because He loves to give. He gives bountifully and richly all things for us to enjoy. If we are His sons and daughters, we will have the same kind of desire and pleasure to give. We must first give ourselves to the Lord, then everything we have is His. It really belongs to Him anyway, but He wants to receive it from our hand of faith and love. It is more than just merely giving a tithe. There are times when a tenth will not satisfy the craving of love and desire to give that He puts in our hearts. Oh, the spiritual poverty that there is in the world on account of people not knowing the blessing of giving to the Lord and others. As we give freely and cheerfully, God sees to it that our needs are supplied and that His abundant grace will be constantly in our hearts. Let us be diligent to give freely and sacrificially as never before. Learn the great joy of giving and\n\nyour Christian experience will grow and prosper by leaps and bounds.\n\n—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\nA beggar at the end of the day heard the cry, “The king comes!” Expecting a princely gift from the king, the beggar was astounded when he extended his cup only to have the king stop his great white charger and ask, “What gift have you for the king?” Is this our perspective of giving; that God is the giver and we are always on the receiving end?\n\n“The Golden Ladder of Giving” by Maimonides, a Jewish scholar of the twelfth century, included the following steps which lead from the lowest rung of giving to the most perfect. (1) To give reluctantly, the give of the hand, but not of the heart. (2) To give cheerfully, but not in proportion to the need. (3) To give cheerfully, and proportionately, but not until solicited. (4) To give cheerfully, proportionately and unsolicited, but to put the gift into the poor man’s hand. (5) To give in such a way that the distressed may know their benefactor, without being known to him. (6) To know the objects of our bounty, but remain unknown to them. (7) To give so that the benefactor may not know those whom he has relieved, and they shall not know him.\n\n—Wayne Murphey\n\nDecember 10, 1989\n\nTHE RIGHT KIND OF WARFARE AND STRIFE\n\nII Corinthians 10:1 Now I Paul myself beseech you by the meekness and gentleness of Christ, who in presence am base among you, but being absent am bold toward you:\n\n2 But I beseech you, that I may not be bold when I am present with that confidence, wherewith I think to be bold against some, which think of us as if we walked according to the flesh.\n\n3 For though we walk in the flesh, we do not war after the flesh:\n\n4 (For the weapons of our warfare are not carnal, but mighty through God to the pulling down of strongholds;)\n\n5 Casting down imaginations, and every high thing that exalteth itself against the knowledge of God, and bringing into captivity every thought to the obedience of Christ;\n\n6 And having in a readiness to revenge all disobedience, when your obedience is fulfilled.\n\n7 Do ye look on things after the outward appearance? If any man trust to himself that he is Christ’s, let him of himself think this again, that, as he is Christ’s, even so are we Christ’s.\n\n12 For we dare not make ourselves of the number, or compare ourselves with some that commend themselves: but they measuring themselves by themselves, and comparing themselves among themselves, are not wise.\n\n13 But we will not boast of things without our measure, but according to the measure of the rule which God hath distributed to us, a measure to reach even unto you.\n\n14 For we stretch not ourselves beyond our measure, as though we reached not unto you: for we are come as far as to you also in preaching the gospel of Christ:\n\n15 Not boasting of things without our measure, that is, of other men’s labours; but having hope, when your faith is increased, that we shall be enlarged by you according to our rule abundantly,\n\n16 To preach the gospel in the regions beyond you, and not to boast in another man’s line of things made ready to our hand.\n\n17 But he that glorieth, let him glory in the Lord.\n\n18 For not he that commendeth himself is approved, but whom the Lord commendeth.\n\nMemory Verse: (For the weapons of our warfare are not carnal, but mighty through God to the pulling down of strongholds;) II Corinthians 10:4.\n\nCentral Thought: We are not in a literal combat with carnal men using carnal weapons, but we are in a spiritual conflict, daily bringing into captivity every part of our being to the will of God, and we are striving to fulfill all that God is calling us to, that He might be glorified.\n\nWord Definitions: Imaginations: Reasonings, opinions, ideas, beliefs, things that the carnal mind has proposed to be truth. The gospel attacked all superstitions, myths and theories that men in darkness had devised in their idolatrous worship.\n\nLESSON BACKGROUND\n\nPaul was meek and gentle when he was among the brethren, but in his letters he exercised more boldness. He did it this way because he did not want to have some thinking\n\nthat he was walking after the flesh. This is a very important thought. Real Christian warfare is accomplished by the workings of the Spirit of God through meek and lowly saints of God. Our weapons are faith, love, righteousness, hope and the gospel of Christ. Only by these weapons can we pull down strongholds and bring every heart and mind into the captivity of the grace of God. It seemed that some tried to take an advantage of Paul because he was so meek and gentle, but he assured them that he could be bold in Christ, also. He states in our lesson that he disapproved of those who measured themselves by themselves, that is, looking on one another for the evaluation of their own spiritual life. There is a tendency for us to do this. We hear someone testify and expound what God has done for them, and the enemy tries to make us feel inferior or dissatisfied with our own spiritual accomplishments. He would even get souls who are unaware to try to imitate and be like someone else, but we must all remember that God deals with us as individuals, and we are to walk according to the rule of faith that He has personally joined unto us. If we will keep our individual places in Christ and commit our brother or sister to Him, we will find that God will be near us to make our experience and labors prosperous and successful.\n\n—Leslie C. Busbee\n\nQUESTIONS:\n\n1. How did Paul treat the brethren when he was in their midst?\n2. Why was he bolder in his letters than he was in their presence?\n3. What kind of warfare did Paul fight in?\n4. What kind of imaginations does the gospel tear down?\n5. What high thing exalts itself against the knowledge of God?\n6. What does bringing every thought into captivity to the obedience of Christ involve?\n7. When can we be ready to deal with sin and disobedience?\n8. Why is it unwise to compare ourselves with others and measure ourselves by ourselves?\n9. What happens if we overstretch ourselves and go beyond what the Spirit of God is working in us?\n10. If self motivates and approves our labors, who is glorified?\n\nADULTS’ AND YOUNG PEOPLE’S COMMENTS\n\nThe service of the gospel and Christian warfare are two very important things to the child of God. Knowing how to\n\ndeal with others and how to present the gospel message is very, very important. When we are dealing with souls and in the presence of the unsaved we need to be very loving, gentle, and meek. Some in their zeal think that they need to pressure and talk people into getting saved and lining up with the truth, but there is something here that we had better be careful about. If we pressure people and get them to heed our efforts, the Spirit of God may not have as much to do with that as we might think. The people could be responding to us instead of the Lord. And when that is true the results will not be what they should be. Our labors and our warfare in the Christian life must be kept strictly under Holy Spirit rule and inspiration. It is possible that we might be fighting a carnal fight even if we do not have a gun or a sword in hand. We might be fighting a carnal fight with our words. We may be able to persuade and pressure people, but if the Sword of the Spirit is not in the fray, the strongholds and imaginations will not come down. We want people won to the Lord and not to us. When they are won to us, there will be a tendency to measure and compare with one another. This goes on in many religious circles today. Many preachers literally rule their \"offspring,\" domineering them into things that they have devised. Not all religious activity is of God. Show me a man who is not meek and gentle in his ministry and I will show you a man who is ruling over people in an unjust, unauthorized manner. Faith, love, kindness, patience, peace, purity and divine wisdom are the weapons and tools that really get the work done for the Lord.\n\n—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\nSometimes young converts are troubled about not being able to testify like some older saint. But as the lesson tells us, we are not to measure ourselves by ourselves nor compare ourself with others. We are to testify like the Lord shows us, and just be ourself. The older saint has gone through many trials and has had a lot of schooling in the things of the Lord. They have a deeper depth than the young convert. So don't try to be like them. The young convert will be able to testify to more grace in his life as he continues to live for God. As the young convert continues to exercise himself, the Lord will add to his service for Him. We should desire to labor for the Lord, yet we must not go beyond our ability that the Lord gives us. We are not to \"stretch beyond our measure.\" One elder minister said that every young minister should teach a class of little children and learn how to teach before trying to teach adults.\n\nI don’t know if that rule would hold always, but there is something in it. If you can’t feel an anointing, or get over a truth in teaching children, how can you teach adults? Teaching is one of the qualifications of a minister, “apt to teach.” I Tim. 3:2. I don’t believe that the Lord calls a person to take the pulpit to teach others just as soon as they are saved. The qualifications of a minister are that they are “not a novice, lest being lifted up with pride he fall into condemnation of the devil” I Tim. 3:6. A novice is one, “newly come to the faith.” What a young convert has to say can be said while he is standing at his seat. We then will not be going “beyond our measure.”\n\nZeal without knowledge will get us into trouble, yet we must be busy for the Lord and move as the Lord leads.\n\n—Marie Miles\n(Written in 1975.)\n\nDecember 17, 1989\n\nWARNINGS AGAINST FALSE TEACHERS\n\nII Corinthians 11:1 Would to God ye could bear with me a little in my folly: and indeed bear with me.\n2 For I am jealous over you with godly jealousy: for I have espoused you to one husband, that I may present you as a chaste virgin to Christ.\n3 But I fear, lest by any means, as the serpent beguiled Eve through his subtilty, so your minds should be corrupted from the simplicity that is in Christ.\n4 For if he that cometh preacheth another Jesus, whom we have not preached, or if ye receive another spirit, which ye have not received, or another gospel, which ye have not accepted, ye might well bear with him.\n12 But what I do, that I will do, that I may cut occasion from them which desire occasion; that wherein they glory, they may be found even as we.\n13 For such are false apostles, deceitful workers, transforming themselves into the apostles of Christ.\n14 And no marvel; for Satan himself is transformed into an angel of light.\n15 Therefore it is no great thing if his ministers also be transformed as the ministers of righteousness; whose end shall be according to their works.\n23 Are they ministers of Christ? (I speak as a fool) I am\n\nmore; in labours more abundant, in stripes above measure, in prisons more frequent, in deaths oft.\n\n24 Of the Jews five times received I forty stripes save one.\n\n25 Thrice was I beaten with rods, once was I stoned, thrice I suffered shipwreck, a night and a day I have been in the deep;\n\n26 In journeyings often, in perils of waters, in perils of robbers, in perils by mine own countrymen, in perils by the heathen, in perils in the city, in perils in the wilderness, in perils in the sea, in perils among false brethren;\n\n27 In weariness and painfulness, in watchings often, in hunger and thirst, in fastings often, in cold and nakedness.\n\n28 Beside those things that are without, that which cometh upon me daily, the care of all the churches.\n\n29 Who is weak, and I am not weak? who is offended, and I burn not?\n\n30 If I must needs glory, I will glory of the things which concern mine infirmities.\n\nMemory Verse: For I am jealous over you with godly jealousy: for I have espoused you to one husband, that I may present you as a chaste virgin to Christ. II Corinthians 11:2.\n\nCentral Thought: Satan has many agents and workers who pose as the ministers of Christ, ever seeking to win people to them, preaching false doctrine, and making it treacherous and difficult for the faithful servants of God to labor for souls.\n\nWord Definitions: \"Bear with me a little in my folly\": Paul thought it needful to defend his ministry, speaking much of himself, his sufferings, his revelations and his success. He knew that some would think it unwise and vain. \"Ye might well bear with him\": The word \"him\" here is an added word by the translators. Some have felt that the word \"me\" would have been more appropriate here, as he had already in verse 1 asked them to bear with him.\n\nLESSON BACKGROUND\n\nThere seems very surely to have been a false teacher trying to influence the brethren at Corinth, working against Paul. Paul had preached Christ to them, and they had believed. He had counseled them by letter and they had received that. Someone was now coming among them preaching another Jesus, presenting Christ in another spirit, and holding forth another gospel, all which was foreign and different. In Paul's\n\npreaching he had espoused them to Christ, and had held a standard of holiness that pleased the Saviour. Paul did not seek to draw people to himself. But the false teacher, as it is with every false prophet, had sought to draw people away from the teachings of Paul unto himself, using the name of Jesus as a ruse or bait to attract them. Perhaps he was more eloquent than Paul, or a little more persuasive with his words. Paul was seeking to defend his ministry, reminding them of the things that God had worked in His life. This is why he made the list of the things that he had suffered and gone through with. It has happened more times than one that a minister has labored to win souls and build up a work for God, and then another spirit comes in and steals the hearts of the people. Now we know that there is but one real Jesus, and only one true Spirit of the Lord, and only one pure and true gospel. But when two different men preach from the same Bible two different gospels, then we know something is wrong. God help us today and safeguard us from false teachers and their destructive work.\n\n—Leslie C. Busbee\n\nQUESTIONS:\n\n1. Is there a jealousy that is justified and right?\n2. In the preaching of the gospel, who are we to seek to draw people to?\n3. What was Paul afraid of concerning the Church at Corinth?\n4. Is it possible for a man to preach the wrong Jesus?\n5. Just where is this “other Jesus” formed?\n6. What do false apostles transform themselves into?\n7. How does Satan make himself appear?\n8. What to you is the worst peril that Paul had to meet along life’s journey?\n9. What weighed down on Paul on top of all the other things from without?\n10. What did Paul glory in?\n\nADULTS’ AND YOUNG PEOPLE’S COMMENTS\n\n“A chaste virgin to Christ.” Oh, what weighty words are these! The Holy Spirit of God accompanies the gospel to woo and win our hearts from the ways of sin and the world, to find a new life in Jesus Christ, our Lord and Master. We hear how He so loved us when we were all so undone. It comes to us personally and individually. It charms us so to realize how much He cared for our souls to take our place and die for us on Calvary. The love of Christ bears down upon us, and we finally fall at His feet and repent of our sins. As our faith\n\ntakes hold of His precious promises, the peace of God's forgiving love floods our hearts with the greatest joy that we have ever known. We know that He has delivered us from sin. Our hearts are changed from the old to the new. We are new creatures in Christ Jesus. Oh, how our hearts are filled with love and worship to Him! We are lost in the love of Jesus, just carried away by the grace and power that we feel in our hearts from day to day. We love everybody. Oh, what a wonderful experience to have in this life! How sweet is our walk with Jesus! We see the wonderful hope that He is giving us, and we want to see His sweet face some blessed day. We seek to please Him. We want to be pure as He is pure. We are a chaste, pure virgin to Christ. We are united to Him in one sweet holy Spirit of love, holiness and power. This world and all of its folly attracts us no more. We have found the pearl of great price! This is an experience that is so precious in the sight of God, but we must be on our guard. Jesus warned us about false prophets who come to us in sheep's clothing, but inwardly they are ravening wolves. Their effect will be to corrupt us from the chaste singleness of heart that we have to the Lord, to them and their ideas. Oh, it has happened many times to many people. Let us be on our guard, and seek to maintain a constant life for Jesus above all things.—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\nChrist can be presented in many different ways. It is amazing how that sometimes He can be presented in such a way that His character is hardly recognizable. It is of utmost importance that we have an ongoing, personal relationship with Him so that if we have occasion to come into the influence of a false prophet, we can recognize it.\n\nPaul insinuated, by comparison, that this false prophet at Corinth was very subtle. He was adding to what Paul had told them about Christ, and making the way of holiness more complicated. Judas, who was the brother of Jesus, exhorted in his epistle, \"that ye should earnestly contend for the faith that was once delivered unto the saints.\" Jude 3. This is a good admonition. We need to go all the way back to the fountainhead. Jude was written in approximately A.D. 75, and already there had been many things to complicate and draw away from the simple salvation Christ taught. How much more it has been done in nearly 2,000 years! Man's concoctions have thrown many impurities into this gospel stream. When a false doctrine or theory is a trouble to you, there is more surety and comfort for your soul, if rather than approaching the theory\n\nand trying to sort out the impurities, you simply turn your attention to the simplicity of Christ. There are times that false spirits are hard to put your finger on, for Paul said that Satan himself is transformed into an angel of light, but the plan of salvation is easily understood by even the simple.\n\n—Wayne Murphey\n\nDecember 24, 1989\n\n“WHEN I AM WEAK, THEN AM I STRONG”\n\nII Corinthians 12:1 It is not expedient for me doubtless to glory. I will come to visions and revelations of the Lord.\n\n2 I knew a man in Christ above fourteen years ago, (whether in the body, I cannot tell; or whether out of the body, I cannot tell: God knoweth;) such an one caught up to the third heaven.\n\n3 And I knew such a man, (whether in the body or out of the body, I cannot tell: God knoweth;)\n\n4 How that he was caught up into paradise, and heard unspeakable words, which it is not lawful for a man to utter.\n\n5 Of such an one will I glory: yet of myself I will not glory, but in mine infirmities.\n\n6 For though I would desire to glory, I shall not be a fool; for I will say the truth: but now I forbear, lest any man should think of me above that which he seeth me to be, or that he heareth of me.\n\n7 And lest I should be exalted above measure through the abundance of the revelations, there was given to me a thorn in the flesh, the messenger of Satan to buffet me, lest I should be exalted above measure.\n\n8 For this thing I besought the Lord thrice, that it might depart from me.\n\n9 And he said unto me, My grace is sufficient for thee: for my strength is made perfect in weakness. Most gladly therefore will I rather glory in my infirmities, that the power of Christ may rest upon me.\n\n10 Therefore I take pleasure in infirmities, in reproaches, in necessities, in persecutions, in distresses for Christ’s sake: for when I am weak, then am I strong.\n\n11 I am become a fool in glorying; ye have compelled me: for I ought to have been commended of you: for in nothing am I behind the very chiefest apostles, though I be nothing.\n\n12 Truly the signs of an apostle were wrought among you in all patience, in signs, and wonders, and mighty deeds.\n\n15 And I will very gladly spend and be spent for you; though the more abundantly I love you, the less I be loved.\n\nMemory Verse: And he said unto me, My grace is sufficient for thee: for my strength is made perfect in weakness. Most gladly therefore will I rather glory in my infirmities, that the power of Christ may rest upon me. II Corinthians 12:9.\n\nCentral Thought: There are things that God will allow to come upon us in life that He will not take away in answer to our prayers, but will rather use those things to try and to keep us humble, and give us His all-sufficient grace to make us strong and triumphant in our weakness.\n\nWord Definitions: Infirmities: Weaknesses, inabilities, limitations, difficulties. Reproaches: Insults or injuries. Necessities: Times of constraint and being forced into unpleasant situations. Distresses: Close and difficult situations, calamities.\n\nLESSON BACKGROUND\n\nIn our previous lesson we saw where Paul was defending his ministry in the face of false teachers who were seeking to prey on those to whom he had preached. He continues his defense now by telling how that the Lord Jesus dealt with him in outstanding visions and revelations, balancing them out with special and unusual trials and heavy infirmities. The one he is speaking of as being caught up to the third heaven and into paradise was himself. Just when he was caught up to these heights of glory we cannot accurately tell. Some have thought it might have been when he was taken up for dead after being stoned as related in Acts 14:9. Whenever it was, Paul was granted the special privilege of being taken up into the presence of the Lord where things were spoken that are not permitted to be uttered here on earth. It seemed that God saw fit to bless Paul in a very outstanding way with visions and revelations of His glory. But, to counter-balance these wonderful blessings in order to help keep him humble, God saw fit to allow Paul to suffer unusual difficulties which are listed in our lesson. Paul called it all a thorn in the flesh. There has been a lot of speculation as to what this thorn in the flesh was. Some think it might have been his poor vision. I am more inclined to count it as the things mentioned here all together, making up a great heavy load of physical difficulties that plagued him wherever he went. It is not strange nor out of reason that Paul sought God’s mercy to escape these things. However, the answer of Christ to him is our main lesson today.\n\nHe got an answer, but it was different from what he had hoped. That same grace will be ours today as we face the thorns that we find in our flesh, for we are in the same fight that he was in. God still works to counter-balance our lives. As Frances Ridley Havergal said in her poem of the compensating springs and the balance wheels of life, \"The hand that takes the crown must ache with many a cross.\" This is true in our day. May the Lord help us to see the depths of the meaning of the expression, \"When I am weak, then am I strong.\"\n\n—Leslie C. Busbee\n\nQUESTIONS:\n\n1. Why did Paul not want to glory in the fact that he had been caught up to heaven?\n2. Is there any danger of us speaking too much about the revelations and special blessings of the Lord?\n3. Why did the Lord give Paul a thorn in the flesh?\n4. What was his first reaction to this thorn in the flesh?\n5. What did the Lord say to him?\n6. How did Paul take the counsel of the Lord concerning this unanswered petition?\n7. Can you give an illustration of how the Lord’s strength is revealed in the weakness of humanity?\n8. What were some of the things Paul found that he could take pleasure in?\n9. When a man is weak in himself, can he expect the help of God in his life?\n\nADULTS’ AND YOUNG PEOPLE’S COMMENTS\n\nThe infirmities that Paul faced and suffered every day in his life were a special blessing from the Lord. They helped to make manifest the power of Christ in his life. When Christ uses weak things to confound the mighty, the weak vessel takes no credit. In every Christian, sooner or later, there will be this special working by God. God will allow some difficulty to come your way. It will test your courage and decision over and over. It will root out the tendency to be slothful and overly self-confident. To press against this thorn in the flesh will be the most difficult thing you have ever done. Sometimes it will seem that you are going to falter and not be able to make it, but press onward and hold steady. That physical problem, that vexing situation, that unusual difficulty has a very special mission in your life. It will help you to witness the power of Christ more clearly and more closely in your heart.\n\nLook for unusual and special blessings when you enter these times of dire need and temptation, and when heaven opens its windows and pours out its blessings in a special way, do not be surprised if it will be accompanied by some unusual trials of faith. As Ecclesiastes 7:14 says, \"In the day of prosperity be joyful, but in the day of adversity consider: God also hath set the one over against the other, to the end that man should find nothing after him.\" God sets the day of adversity over against (or to balance out) the day of prosperity. It helps keep us humble and to remember that we are absolutely nothing in ourselves. If you haven't already, you will need this lesson someday. The time will come when you will know what it means to be truly strong when you are weak.\n\n—Leslie C. Busbee\n\nFOOD FOR THOUGHT\n\nDo you ever get tired of having to go through some kind of trouble? So did the Apostle Paul. In fact he became so weary that it almost became a contention with him and God. But God let him know that although the problems would continue, His grace would be sufficient. With God as our helper we can bear all things and keep a good, wholesome attitude. We can continue to work for God and actually gladly be spent for Him. We don't have to complain as we go through life.\n\nThere is an Aesop fable which tells of a heavily laden wagon, pulled by a yoke of oxen over a dusty road. Each time the wheels turned on their axles they set up a tremendous creaking. Driven almost frantic by the ear-piercing noise, the driver cried, \"Wagon, why do you make all this clamor and complaint, when they who are drawing all the weight are silent?\" If God is willing to do the pulling for us in problems, surely we can bear a little weight without complaining.\n\nIf God is doing the work for us in the hard places it is easy to understand the point that is made in the verse, \"When I am weak, then am I strong.\" It is all contingent on the One to whom we are hooked to. When the hard times come then we can feel the Lord starting to pull. We can feel a divine power working in our lives.\n\n—Wayne Murphey\n\nEXAMINING AND PROVING OURSELVES TO BE IN THE FAITH\n\nII Corinthians 13:1 This is the third time I am coming to you. In the mouth of two or three witnesses shall every word be established.\n\n2 I told you before, and foretell you, as if I were present, the second time; and being absent now I write to them which heretofore have sinned, and to all other, that, if I come again, I will not spare:\n\n3 Since ye seek a proof of Christ speaking in me, which to you-ward is not weak, but is mighty in you.\n\n4 For though he was crucified through weakness, yet he liveth by the power of God. For we also are weak in him, but we shall live with him by the power of God toward you.\n\n5 Examine yourselves, whether ye be in the faith; prove your own selves. Know ye not your own selves, how that Jesus Christ is in you, except ye be reprobates?\n\n6 But I trust that ye shall know that we are not reprobates.\n\n7 Now I pray to God that ye do no evil; not that we should appear approved, but that ye should do that which is honest, though we be as reprobates.\n\n8 For we can do nothing against the truth, but for the truth.\n\n9 For we are glad, when we are weak, and ye are strong: and this also we wish, even your perfection.\n\n10 Therefore I write these things being absent, lest being present I should use sharpness, according to the power which the Lord hath given me to edification, and not to destruction.\n\n11 Finally, brethren, farewell. Be perfect, be of good comfort, be of one mind, live in peace; and the God of love and peace shall be with you.\n\n12 Greet one another with an holy kiss.\n\n13 All the saints salute you.\n\n14 The grace of the Lord Jesus Christ, and the love of God, and the communion of the Holy Ghost, be with you all. Amen.\n\nMemory Verse: Examine yourselves, whether ye be in the faith; prove your own selves. Know ye not your own selves, how that Jesus Christ is in you, except ye be reprobates? II Corinthians 13:5.\n\nCentral Thought: We should be very attentive to the reality and genuineness of our faith, examining it constantly\n\nthat it be kept in right order, fulfilling every requirement and meeting every responsibility that Christ in love has handed down to us.\n\n**Word Definition:** *Reprobate*: Unapproved, rejected, worthless, counterfeit.\n\n**LESSON BACKGROUND**\n\nPaul is bringing his second epistle to a close. He calls it his third time to come to them. He came the first time when he visited there and the work for the Lord was started. His second time to come to them was in his first epistle which proved to be such a great blessing to them. He may have counted each visit a witness. He tells them that if he comes again he will not spare. They were seeking a proof of Christ in him, and he was proving to them that Christ was mightily working in him. He explained that though Christ was crucified through weakness, yet He lived by the power of God, and that Paul was weak (in the flesh) in Christ, but would live with them by the power of God toward them. Instead of making such a stiff requirement that Paul prove himself, he tells them that they need to turn the searchlight on their own lives, examining themselves whether they be in the faith or not. He warned them about the possibility of being reprobates, and the chance they had of being cast away at the last. He wanted them to be assured that he himself was not a reprobate. All through this we see that loving and tender concern that he had for their state. So convinced was he of this thing that he declared that nothing could be done against the truth, but for the truth. The truth will stand by itself. It needs no one to support it. As the poet William Cullen Bryant said, “Truth crushed to earth will rise again, The eternal years of God are hers; But error, wounded, writhes in pain, and dies among her worshipers.” Paul expressed himself boldly but with desire that his authority would not be for their destruction, but for their edification. Then he closed with loving words of comfort and courage, admonishing them to greet one another with an holy kiss, praying that the grace of Christ, the love of the Father, and the communion of the Holy Spirit would be with them all.\n\n—Leslie C. Busbee\n\n**QUESTIONS:**\n\n1. Who is to examine who in this matter of who is in the faith?\n\n2. How can we know that we are in the faith for sure?\n3. What must we have in our hearts and minds that will correspond with the weakness of Christ?\n4. Can we be in the true faith without sharing Christ’s weakness?\n5. Make a list from the previous studies in this series and from the Word of God in general, of the things that are vital to be in the faith.\n6. Can we really do anything against the truth and prevail against it?\n7. What were the final things that Paul lovingly entreated them to do as he closed his epistle?\n8. Why was Paul glad to be weak?\n9. In what way did Paul want to use his power and authority?\n10. What three things did he pray to be with them all?\n\nADULT’S AND YOUNG PEOPLE’S COMMENTS\n\n“Examine yourselves,” our lesson tells us. It didn’t say for us to examine someone else, but this often is the case, and we fail to examine ourself. Not only are we to examine ourself, but we are to prove ourself. Watch how you act in times of trouble or distress. How do you act when others talk about you or cast your name out as evil? Jesus spoke to the Pharisees and told them that they were careful to pay tithes of mint, etc., but they had omitted the “weightier matters of the law,” which were “judgment, mercy and faith.” (Matthew 23:23). They were careful to pick mint and be sure that they gave the tenth sprig, but they were not careful to “judge righteous judgment.” (John 7:24). Some say that the Bible says, “By their fruits ye shall know them.” This is true, but many do not judge “righteous judgment” when they inspect another person. We need to be careful about being fruit inspectors. We need to see that we have mercy and faith. We need to do as our lesson says for us to do—“examine ourselves.” Many judge from appearance, and that is not righteous judgment. We can know if we are the Lord’s. His Spirit bears witness with our spirit that we have passed from death to life. (Read Romans 8:14-17). If Christ dwells in us, we are not reprobates, but have the power of Christ working within us. We can’t mix the worldly spirit with the Spirit of Christ. We must reject worldliness and cling to the true Spirit of Christ to be acceptable in the sight of the Lord. We can’t mix truth with error. We are under the influence of the spirit of Satan or the Spirit of the Lord. Praise God, we can know if we are the Lord’s, and if we\n\nmeasure our lives to the Word of God, we belong to Him!\n—Sis. Marie Miles, December, 1975\n\nFOOD FOR THOUGHT\n\nWhen an airplane ticket is purchased in advance, it is a good idea to confirm the ticket before you go to take the flight. Things can happen that make an airline ticket void. How disappointing to attempt to board the plane only to find out you have been “bumped” from that flight. How much more important it is to confirm our salvation. This needs to be done frequently and is accomplished by examining ourselves. I Cor. 1:8 tells about the words and life of Christ which shall “confirm you unto the end, that ye may be blameless in the day of our Lord Jesus Christ.” As we read the Word of God and apply it to ourselves, we can have an assurance that all is well. Disappointment is hardly the appropriate word to use when describing what it would be like to stand before God on the day of judgment and find out our experience is not up-to-date. Eternally devastating might convey more the proper feeling.\n\nOne way to know if we will be reprobates at the close of our life is to see if we are of any use to God in this life. Those whom Satan is the master of lead a very unproductive life. Their time and talents are wasted. There are some who have a Christian profession, but because Christ is not the motivation for their actions their experience is a counterfeit. But these things do not have to be, for God has something better. We can maintain a vibrant experience with God in which He gives daily assurance that all is well.\n\n—Wayne Murphey\n\nMARY SLESSOR OF CALABAR\n\nFrom early girlhood Mary Slessor of Scotland had dreamed of being a missionary to Africa. During her early life she helped her widowed mother support the family, but while toiling in the mills, she planned for the day when she would carry the Gospel to the lost in West Africa.\n\nThe time came when she exchanged the cold grey skies of her native land for the warm tropical breezes of Africa and she began to learn of the awful conditions of the heathen—their sin and ignorance, their superstition and degradation.\n\nShe knew the Gospel was the only power on earth to turn them from their degrading practices—and she made up her mind to do all in her power to help them.\n\nThere was one custom that grieved her—and that was against twins born in the home. Twins were not allowed to live, but were stuffed into containers and thrown into the bush to be eaten by wild beasts. The mother was also driven into the wilds and left to starve or to be eaten by wild animals because her body was supposed to be inhabited by evil spirits.\n\n**Devotion To Christ**\n\nPurity was unknown among them in those days and only the love of God in her heart could cause a girl, who had been brought up as had Mary Slessor, to live under such conditions.\n\nBut Mary did it for Jesus’ sake and for the sake of the souls He had died to redeem, and so great was her devotion to Christ and to the people that she soon won the hearts of all and became almost supreme among them.\n\nHer fame spread from tribe to tribe and from chief to chief, and far back into the jungles, and they sent her invitation after invitation to come and bring them the Gospel.\n\nThe life dream of Mary Slessor seemed to be realized when she at last landed among the people of a very needy tribe.\n\nThere she began in the same tender way giving them the Gospel and sacrificing her every comfort for their welfare. She won the hearts of these people and gained such power over them that they soon learned not to resist her wishes.\n\nMany times when war seemed inevitable between tribes, and their wild passions ran high, she would throw her life into the situation and the trouble would be averted.\n\nShe did not attempt to save herself, but even when chiefs were heavily drinking and very dangerous, she did not hesitate to appeal to them in the interest of the people, and she nearly always won.\n\nThe tribe where she worked was especially cruel and was constantly fighting among themselves and with other tribes. They had practiced every horrible custom imaginable. Every man carried a defense day and night.\n\nThere are no words that can describe the depths to which these people had fallen in their social and moral customs. From the standpoint of men, they were beyond hope. But Mary Slessor did not depend upon human resources.\n\n“I am not ashamed of the gospel of Christ: for it is the power of God unto salvation to every one that believeth: to the Jew first, and also to the Greek.” Romans 1:16.\n\nShe knew the Gospel was the power of God—and the only power in the universe that could change the hearts of these people. It did change thousands of them from the cruel and benighted people that they were into new creations in Christ.\n\n\"Therefore if any man be in Christ, he is a new creature, old things are passed away; behold, all things are become new.\" 2 Cor. 5:17\n\nIn fact, Mary Slessor had not been long among this tribe until she began to see changes for the good among them. Many of them accepted the Gospel and became wonderful Christians, upright, moral, clean citizens of their community, and thousands of others, moved by their example, left off their evil practices.\n\nMary Slessor’s chief reliance was prayer. She said she did not believe there was anything that prayer could not do. She had resorted to it on a thousand occasions, and it had never failed.\n\nYielded, In Every Fiber Of Her Being\n\nShe was powerful in prayer because she was yielded to God in every fiber of her being. Prayer had many times restrained drunken chiefs from their cruel purposes and kept them from those evil practices that they had long followed. It had done away with the wicked practice of twin and wife destruction.\n\nShe knew, in a way that only a few have known, that prayer is the greatest power that God has put into the hands of His people for service!\n\nShe often said that prayer is harder than work, but that it lies in the way of every advance in God’s kingdom.\n\n\"I have no idea how or why God carried me over so many hard places and made these people subject to me, except it was in answer to the prayers of those in the homeland for me. It is all beyond my comprehension. The only way I can explain it is that I have been prayed for more than most.\"\n\nThat We May Learn The Meaning Of Sacrifice And Service\n\nTo Mary Slessor, Christ was real and even more real than any person. She said, \"When I am out in the bush, I have no one to talk to but Him, and so I just talk to Him.\"\n\nYes, she talked to Him and He listened to her, because there was nothing in her life that she had not given up for Him.\n\nShe knew that He had given up all for her and why should she not give all to Him, such a wonderful and dear Saviour and Friend?\n\nThread Of Her Being\n\nShe had heard from childhood God's call to go, and she had obeyed with every thread of her being. There was nothing that she kept back from Him, and how small do the meager sacrifices of the average one of us seem when compared to those she made for Christ!\n\nWe are of the opinion that God gives us such characters as Mary Slessor that we may learn the meaning of sacrifice and service. There was no sacrifice that she was not willing to make for the Lord Jesus Christ who had saved her from the power of sin, and made her a member of His heavenly kingdom.\n\nInstant In Service\n\nThere was no service too menial for her to perform. Her labor for those around her was incessant. She had rescued one of the twins sacrificed in the bush, brought it to her home, and cared for it as tenderly as she would have cared for her own child.\n\nShe had in her home a number of these rescued children and she served and trained them as carefully as she would have cared for her own. She did as much manual labor as any man, always seeing the necessity of leading the natives in work, for without, they were always in favor of putting the work off until 'tomorrow' and we know tomorrow never comes. —Sel.\n\nSubscription Order\n\nPlease send _____ copies of the Bible Lessons quarterly to:\n\nName ____________________________________________\n\nAddress ___________________________________________\n\nCity ________________ State ______ Zip ______\n\nSubscription rate: 50¢ per copy per quarter; or $2.00 per copy for one year (issued quarterly).\n\nPlease find enclosed payment in the amount of $____.\n\nMail to:\nFAITH PUBLISHING HOUSE\nP. O. Box 518\nGuthrie, Okla. 73044"}}},{"rowIdx":204798,"cells":{"text":{"kind":"string","value":"BE IT RESOLVED BY THE ZONING COMMISSION OF PALM BEACH COUNTY, FLORIDA, in regular session assembled this the 1st day of September A.D. 1966, that the following modification is hereby adopted as an Amendment to Zoning Resolution #3 pursuant to the authority vested in said Commission by Chapter 57-1691, Special Laws of Florida 1957, and Chapter 59-1686, Special Laws of Florida 1959:\n\nUnder SECTION 2 - DEFINITIONS delete the following definitions as written:\n\nADVERTISING SIGNS, ACCESSORY\nADVERTISING SIGNS, PRINCIPAL USE\nADVERTISING SIGNS, OUTDOOR\n\nand insert the following in proper alphabetical order:\n\nSIGNS AND OUTDOOR DISPLAYS\n\nFor the purpose of this resolution, all sign definitions and terms shall be as outlined in Chapter XXIII of the Palm Beach County Building Code.\n\nDelete SECTION 4-B-9 as written and substitute the following:\n\n9. Signs and Outdoor Displays meeting the regulations as set forth in Section 15.\n\nDelete SECTION 8-B-5 as written and substitute the following:\n\n5. Signs and Outdoor Displays meeting the regulations as set forth in Section 15.\n\nDelete SECTION 14-6 - Sign Regulations as written and substitute the following:\n\n6. Signs and Outdoor Displays (See Section 15 of this resolution)\n\nRenumber present SECTIONS 15, 16, 17, 18, 19, 20 and 21 as SECTIONS 16, 17, 18, 19, 20, 21, and 22.\n\nADD NEW SECTION 15 - SIGNS AND OUTDOOR DISPLAYS\n\nA. REGULATIONS APPLICABLE TO BILLBOARDS\n\n1. Locations\n\nNo billboard shall be erected:\n\n(a) Upon any property zoned as a Residential District except as approved under Section 15-B-3.\n\n(b) Within TWO HUNDRED FEET (200') of a residence, church, or school except in a Commercial or Industrial Zone.\n\n(c) Within TWENTY-FIVE FEET (25') of any ultimate right-of-way in a Residential, Commercial, or Industrial Zoning District or FIFTEEN FEET (15') in an A-1 Agricultural District.\n\n(d) Within TWENTY-FIVE FEET (25') of the ultimate right-of-way lines, on any corner lot, except that such signs may be erected on roofs of buildings in accordance with Section 15-B-9 of this Resolution governing roof signs.\n\n2. Maintenance\n\nIt shall be the duty of every person maintaining any billboard within the unincorporated areas to keep the property within TWENTY FEET (20') of such billboards free of trash and debris; to cut the weeds and brush around said billboards and to paint or cover by shrubbery or lattice work, the frame of any signs visible from any street.\n\nB. REGULATIONS AS TO OTHER SIGNS\n\n1. Flat or Wall Signs\n\nNo flat or wall sign shall be erected at a distance of more than TWELVE INCHES (12\") beyond the face of any building, marquee being considered as a part of a building. The outside edge of wall signs on marquees shall be no closer than the ultimate right-of-way line.\n\n2. Fixed Projecting Signs\n\nThe outer edge of any fixed projecting sign shall not extend closer than the ultimate right-of-way.\n\n3. Real Estate Signs\n\nReal estate signs shall be permitted only for the purpose of advertising the land or building for rent or for sale unless otherwise approved by the\n\nSECTION 15-B-3 (Continued)\n\nZoning Commission, and shall relate only to the premises upon which the sign is located. Only one double faced real estate sign, visible from one street front shall be permitted on each parcel of land located within any residential district. Such sign shall not exceed the number of square feet of sign area if located within the distances of a residence in such residential districts as hereinafter specified, to wit:\n\n| MAXIMUM SIGN AREA | WITHIN DISTANCE OF RESIDENCE |\n|-------------------|-------------------------------|\n| 6 sq. ft. | 50 ft. |\n| 12 sq. ft. | 100 ft. |\n\nSubdivision development signs in a County Approved Subdivision shall be permitted to exceed the above sizes where the location of such signs is more than TWO HUNDRED FEET (200') from any residence and approval shall be on a temporary one (1) year basis.\n\n4. Point of Purchase Signs\n\nNot more than three (3) point of purchase signs shall be permitted for each street front at each place of business or premises. These signs may be any combination of the following types: Marquee, Projecting, Pylon, Roof or Detached. A temporary real estate sign may be added to those enumerated in this subsection.\n\n(a) Provisions:\n\n(1) Detached Signs - The total maximum area of a detached sign or signs shall be SIXTY SQUARE FEET for a business with a street frontage of SIXTY FEET (60') or less in length. One additional square foot of sign area will be allowed for each additional foot of street frontage over SIXTY FEET (60') up to a maximum of SIX HUNDRED FEET (600').\n\nOn business property with SIXTY FEET (60') or less of street frontage, there shall be a minimum SIX FOOT (6') setback from the interior side lot lines except pole signs with a minimum clearance of NINE FEET (9') between the bottom of the sign and the established grade which may be allowed at, but not overhanging, the interior side lot lines. On business property with a street frontage between SIXTY FEET (60') and ONE HUNDRED FEET (100') there shall\n\nbe a minimum setback from the interior side property lines equal to 10% of the street frontage. On business property with a street frontage of over ONE HUNDRED FEET (100'), there shall be a minimum setback from the interior side property lines equal to 20% of the street frontage, with a maximum setback of FIFTY FEET (50') required.\n\n(2) Projecting Sign - No size limitation except as set forth in Section 2303.4 - Projecting Signs - of the county building code.\n\n(3) Marquee Sign - No size limitation except as set forth in Section 15-B-11 of this resolution and Section 2303.5 of the county building code.\n\n(4) Pylon Sign - No size limitation except as set forth in Section 15-B-6 of this resolution.\n\n(5) Roof Sign - No size limitation except as otherwise provided in Section 15-B-9 of this resolution.\n\n5. **Pole or Ground Signs**\n\n(a) No supporting member or any part of a pole or ground sign utilized as a Point of Purchase Sign shall be erected nearer the street than the ultimate right-of-way.\n\n(b) No pole or ground sign shall be erected to a height exceeding THIRTY-FIVE FEET (35') above the ground or street level except as otherwise provided in Section 15-D-2. Lighting reflectors may project beyond the face of the sign.\n\n(c) One pole or ground sign may be located within TWENTY-FIVE FEET (25') of a property corner at a street intersection where not otherwise prohibited by County Code. No part of any pole or ground sign so located shall project over the public right-of-way; such sign shall not exceed THREE FEET (3') in height unless there is at least a NINE FOOT (9') clearance from the ground. The total permissible diameter of sign poles within TWENTY-FIVE FEET (25') of an intersection property corner shall be TWELVE INCHES (12\").\n\n6. **Pylon Sign**\n\n(a) All pylon signs shall meet the requirements of projecting signs as to maximum projection from the wall, minimum height above sidewalk and horizontal clearance from the public right-of-way.\n\nSECTION 15-B-6 (Continued)\n\n(b) Maximum height of pylon signs will be limited to TWENTY-FOUR FEET (24') above the roof level and THIRTY-FIVE FEET (35') above ground level except as otherwise provided in Section 15-D-2.\n\n7. Entrance Gates\n\n(a) All entrance gates shall be located a minimum of FIVE FEET (5') from any ultimate road right-of-way line.\n\n(b) All Entrance Gates shall be a maximum height of THREE FEET (3') within a distance of FIVE FEET (5') to FIFTEEN FEET (15') from the ultimate right-of-way. A continuous fence of no more than THREE FEET (3') in height may be used in conjunction with said entrance gate provided no traffic hazard is created. The maximum height of the Entrance Gate shall be EIGHT FEET (8') from ground level at a distance of FIFTEEN FEET (15') or more from the ultimate right-of-way line.\n\n(c) Lettering - The maximum allowable size of any lettering shall be TWENTY-FOUR INCHES (24\") in height, and shall only identify the county approved subdivision or community.\n\n8. Home Occupation Name Plates\n\nAll Home Occupation Name Plates shall be located in the vicinity of the main entrance at or behind the building setback line. The maximum size shall be ONE FOOT (1') square.\n\n9. Roof Signs\n\nRoof signs shall not extend over public property and shall be limited to a maximum height of TWENTY-FOUR FEET (24') above the roof level, or THIRTY-FIVE FEET (35') above ground level, except as provided in Section 15-D-2.\n\n10. Conditional Use Signs\n\nConditional Use Signs for churches, including church bulletins, clubs, and schools, may not exceed EIGHTEEN SQUARE FEET in gross area. Other signs authorized under conditional use may not exceed TWENTY-FOUR SQUARE FEET in gross area, meet a minimum side setback of TWENTY-FIVE FEET (25') from the interior lot line and may be illuminated but not flash.\n\nA day nursery may have a non-illuminated sign not exceeding SIX SQUARE FEET in gross area at the building setback line.\n\nSECTION 15-B (Continued)\n\n11. **Marquee Signs**\n\nAll marquee signs shall be hung so as to be at least EIGHT FEET (8') at its lowest level above the sidewalk or ground level or both. A marquee sign shall not extend over the ultimate right-of-way line.\n\nC. **CERTAIN SIGNS OR ADVERTISING STRUCTURES PROHIBITED**\n\nFrom and after the effective date of this Amendment, it shall be unlawful for any person to erect or use within the unincorporated areas of Palm Beach County:\n\n1. Any swinging projecting sign.\n2. Any anipe sign.\n3. Any banner over any street or sidewalk or within any County playground or park without permission from the County Commission.\n4. Any sign erected, relocated or maintained so as to prevent free ingress to or egress from any door, window, or fire escape.\n5. Any sign attached to a standpipe or fire escape.\n6. Any sign, portable or fixed, placed or erected on or over any part of the ultimate road right-of-way other than directional signs erected by authorized County or State Officials.\n7. Temporary political signs erected within FIVE FEET (5') of any public right-of-way.\n8. Any unauthorized sign on County property.\n9. Any sign which, in its design, lighting, animation, or embellishment of any nature, simulates the appearance of any state or local traffic sign or lighting.\n10. Any illuminated sign of such intensity that the observer becomes temporarily blinded.\n11. Any sign with copy, or lighting of such nature as to interfere with, mislead, or confuse traffic.\n12. Any sign which exhibits thereon any lewd, lascivious, indecent or immoral material.\n\nSECTION 15-C (Continued)\n\n13. Any sign attached to trees, utility poles or any other unapproved supporting structure.\n\nD. GENERAL\n\n1. **Height Above Sidewalks, Etc.**\n\n No portion of any sign projecting over a private sidewalk in said unincorporated areas shall be less than NINE FEET (9') above the grade of said sidewalk. Any sign projecting over private property and located where motor trucks may be required to pass beneath them, shall be erected and maintained at a height not less than FOURTEEN FEET (14'). No portion of any sign shall project over public property.\n\n2. **Height Above 35 Feet**\n\n For any signs over 35 feet in height, measured from established grade of property to top of sign structure, there shall be a minimum setback from overall all property lines of 110% of the height.\n\nAttest:\n\nViola McCarthy\n\nClerk\n\n---\n\nW.R. Moore \nChairman\n\nWillie F. Koch\n\nAs and constituting the Zoning Commission of Palm Beach County, Florida"}}},{"rowIdx":204799,"cells":{"text":{"kind":"string","value":"COLUMBIA COLLEGE\nRABI SCHOLARS PROGRAM\n\n6TH ANNUAL\nSCIENCE RESEARCH SYMPOSIUM\n23, SEPTEMBER 2011\n\nPRESENTATION ABSTRACTS\n\nCONTENTS\n\nIlya Belopolski .......................... Open questions in multi-messenger gravitational wave astronomy\nRohan Bhandari ......................... Observation of the Interlayer State in Graphene on Ir(111)\nNathan Booth ........................... Electron transport in bilayer graphene\nAlice Chang ............................ Single-Molecule Conductance through Direct Au-C Contacts\nVadim Chanyshev ....................... The St. Petersburg Paradox\nRena Chen .............................. Optimized synthesis by chemical vapor deposition of atomic layer hexagonal boron nitride\nWoo Chang Chung ...................... Characterization of the Charge Density Wave Phase in NbSe2\nKevin Guo ............................... Virus Classification with Hierarchical motif clustering\nJonathan Huggins ..................... The Structured Explicit Duration Infinite Hidden Markov Model\nRaina Jain .............................. The Effect of Bioglass Particle Size on Cell Response\nJoon Ho Kang ........................... Proteolytic machine studied at single-molecule level with Total Internal Reflection Microscope/electromagnetic tweezer\nPin-Joe Ko .............................. Quantification of tip proteins in *S. pombe* using confocal fluorescence microscopy\nNilay Kumar ............................ Baryons and baryonic matter in the 't Hooft model under the heavy quark limit\nAlexis Kurmis .......................... Development of Enantioselective Reductive Coupling Reactions\nAndre Lazar ............................ Modeling Integrin Clustering as Diffusion to a Sink\nDan Margulies ......................... A Tight Binding Model for Molecular Conductance and Transmission\nJames Nugent ........................... Compactification on Calabi Yau Manifolds\nJulia Oktawiec ......................... Synthesis of a Organoboron Compound and Possible Novel Ligand\nDarpan Patel ........................... Iron-Dependent, Non-Apoptotic Cancer Cell Death Requires NADPH Oxidase (NOX) Enzyme Activity\nMilesh Patel ............................ Barriers to Optimal Nutrition for Very Low Birthweight Infants: A Quality Improvement Study on Parenteral Amino Acid Administration\nJenny Shao ............................. Investigating the Role of Actin Polymerization State in Synaptic Plasticity\nKatharina Shaw ......................... Synthesis of Resveratrol-Derived Analogues: Phosphorylated Isopaucifloral F, Phosphorylated Paucifloral F, and Yuccaone A\nHyoun Ju Sohn ......................... Crystal formation of Dibenzotetrathienocoronenes (DBTTC) on graphite in ambient scanning tunneling microscopy (STM) using platinum-iridium tips\nTyler St. Denis ......................... Enhancement of Antimicrobial Photodynamic Therapy by Potassium Thiocyanate/Selenocyanate Salts\nScott Zhang ............................ Diffuse high-energy neutrino spectra from high and low-luminosity gamma-ray bursts\n\nOpen questions in multi-messenger gravitational wave astronomy\n\nGravitational wave astronomy promises to forever alter our view of the universe by enabling us to observe astrophysical phenomena that are not directly associated with the emission of light. However, although the existence of gravitational waves was first predicted nearly one hundred years ago, they have not yet been directly detected. The Laser Interferometer Gravitational Wave Observatory (LIGO) is a network of phenomenally high-precision optical interferometers that detects minute distortions of space-time due to incident gravitational radiation of cosmic origin. By 2014, the second generation of LIGO interferometers, Advanced LIGO, will be operational and will incorporate upgrades that allow it to detect displacements of its long-arm optics as small as $10^{-21}$ meters, several orders of magnitude smaller than the diameter of a proton. The effective sensitivity of Advanced LIGO will be further improved by comparing gravitational wave data with astronomical observations from conventional light telescopes through so-called multi-messenger searches. Since many transient gravitational wave emissions coincide closely with E&M bursts, direct observation of the associated E&M signal can provide precise knowledge of the event time, the source location, and the source distance. This information allows gravitational wave searches to be more robust to detector glitches, reduces the computational power required for analysis, and yields more interesting physics by allowing estimates of the gravitational wave energy emitted at the source. As higher sensitivities are achieved through Advanced LIGO and as conventional light telescopes become ever-more precise, this multi-messenger approach offers us powerful observational tools to investigate fundamental problems in cosmology and astrophysics.\n\nHere we survey the open questions in multi-messenger gravitational wave astronomy and evaluate the state of current research for several of the most provocative fields of investigation, as follows: (1) Are there regimes in which Einstein’s theory of general relativity is violated? We consider, in particular, strong-field regimes such as those which characterize the imploding core of supernovae, the structure of rapidly-rotating neutron stars, and the final stages of the merger of two compact bodies. We also consider cosmological length scales, where a failure of general relativity might allow for the existence of the dark energy which appears to dominate the universe and drive its expansion. (2) Is the speed of propagation of gravitational waves less than, equal to, or greater than the speed of light? If gravitational waves propagate more slowly than light, could they be associated with a massive graviton and could these gravitons account for dark matter in the universe? Lastly, (3) do quark stars exist? How easily will Advanced LIGO be able to set upper limits on the quadrupole deformations of the pulsars which currently serve as possible quark star candidates? When will non-detection confront theoretical models of exotic matter? By evaluating current research on these fundamental problems, we hope to define directions for future work in the field.\n\nRohan Bhandari: Physics, CC’13\n\nObservation of the Interlayer State in Graphene on Ir(111)\n\nBy analyzing and understanding the image states of graphene, one can gain insight into its electronic properties. An image state refers to an electron that has been excited outside of the surface of the metal, and its resulting electric field. Graphene is of particular interest, because it exhibits very curious electronic properties: its electrons are able to travel relatively far distances before colliding with other electrons. Also, these electrons behave as Dirac particles, essentially acting as particles in an accelerator, while\n\nactually traveling relatively slowly and residing in a metal. From a better understanding of these properties, it is hoped that Graphene can be applied towards nanoelectronics and superconductors, among other fields.\n\nThe image states were probed through 2 Photon Photoemission of graphene that was grown on Iridium (111) by chemical deposition. This procedure uses a high frequency (on the order of a femtosecond) laser to bombard the graphene surface with photons, which can doubly excite the electrons. The resulting electron energies are measured and the original electron energy can then be inferred.\n\nThe collected data was then analyzed and fit with a Voigt curve, which is a convolution between a Gaussian and Lorentzian curve. By fitting the Fermi cutoff with a Fermi function, it was found that the experimental resolution was 40 meV. This resolution corresponds to the width of the Gaussian curve in the convolution, which is fixed. The analysis showed the existence of an interlayer state between the graphene and Iridium, which had been previously obscured due to resonance from the other image states.\n\nNathan Booth: Physics, CC’14\n\nElectron transport in bilayer graphene\n\nGraphene, which has attracted great interest in the scientific community and in the media in the past several years, is a two-dimensional substance consisting of a single atomic layer of carbon. Recent research has suggested that few-layer graphene also has properties worthy of exploration. The research discussed here explores electron transport in such substances—specifically, bilayer graphene. The samples used in these experiments were developed by exfoliating high-quality graphite pieces and pressing them down onto silicon chips. From there, areas of bilayer graphene were located on the chip and patterns for Hall bars were etched using electron beam lithography, and contacts were formed to match the pattern by evaporating gold onto the sample. Finally, the graphene was suspended in an electrolyte. We then did Hall measurements across the sample to measure its conductivity as temperature changed. We experimented with mixing lithium and other metals into the electrolyte and then cooling the system down to low temperatures to gauge how the Kondo effect changes the conductivity of the substance as the metal intercalates between the layers. This course of research may eventually lead to observation of superconductivity in graphene. So far the results have been promising and high conductivities have been seen, especially with samples that have lithium intercalated, but the research is ongoing and conclusive results remain to be seen.\n\nAlice Chang: Chemistry, CC’13\n\nSingle-Molecule Conductance through Direct Au-C Contacts\n\nThe phenomenon of single-molecule conductance has potential applications to building molecular-scale electronics. In a few generations, the composition of electronic devices is expected to be controlled on the atomic scale; the ultimate miniaturization would use components that are single molecules. Molecular conductance junctions are nanoscale structures in which single molecules conduct electrical current between two electrodes. In such junctions, the contacts between the molecule and the electrodes determine current-voltage characteristics. One class of molecular conductors consists of compounds synthesized by attaching two linker groups to a conjugated molecular core. Strained rings in the linker\n\ngroup can directly bind to the two gold electrodes used to measure conductance, allowing efficient charge transport across the molecular junction. Conductance through the linkers and core can be optimized by directing charge transport through a delocalized $\\pi$-electron system, since conductance through $\\sigma$-bonds alone is typically weak. The goal of this project is to explore $\\pi$-conductance phenomena through simple strained single-molecule conductors that form direct Au-C contacts. Toward this goal, encouraged by DFT-predicted structures, we synthesized 1,4-dicyclobutenebenzene and 1,4-dicyclopentenebenzene in high purity (>99%) and submitted samples for STM-based break-junction conductance measurements. For both compounds, conductance measurements were on the order of $10^5 \\times G_0$, where $G_0$ is the quantum of conductance through two gold electrodes in direct contact. Although the conductance is low compared to the conductances reported in the literature for molecules with known heteroatom linker groups (the conductance measured for 1,4-diaminobenzene, for example, is on the order of $10^2 \\times G_0$), it is higher than expected considering that the electrodes form direct Au-C contacts with the strained-ring linkers. Such linkers have advantages over known linkers, such as improved stability and low toxicity, that would be crucial to applying single-molecule conductors to nanoscale electronics.\n\nIn order to further investigate properties of direct Au-C contacts, we plan to synthesize other strained molecules with novel linkers. Another extension of this project will be to measure the conductance of a family of straight-chain alkanes with the same strained linkers. The conductance $G$ decays as $G \\approx e^{\\beta N}$, where $\\beta$ is the decay constant and $N$ the number of methylene groups on the backbone; by measuring the conductances of linker-terminated alkanes with $N = 4, 6, 8,$ or 10 methylene groups, we can compare the effectiveness of our novel strained-ring linkers to that of linkers discussed in the literature.\n\nVadim Chanyshev: Mathematics, CC’13\n\nThe St. Petersburg Paradox\n\nThe St. Petersburg Paradox is a relatively well-known problem in game theory, which is famous for having no numerical solution. The problem describes a lottery game that is played by flipping a coin as many times as needed until it results in tails. Every time the coin is flipped, however, the payoff is doubled. The paradox of the problem is that the expected payoff is impossible to calculate. However, that does not mean that the game is not playable in practice. Working on this problem in the past I have found a way to estimate the expected payoff at certain confidence level, which is useful for finding the average loss the lottery can expect to have with each game it allows its customers to play.\n\nThis summer I have found a formula to calculate exactly what the chance is that the payoffs (the money it pays to its players after each round, for an unlimited number of rounds), which are a random variable, cross a diagonal boundary that represents the lottery’s growing revenue. The complexity of this problem is that there is no way to calculate this exactly without making millions of calculations, which by hand would take an indefinite amount of time. The formula that I created in Excel, however, generates all the possible combinations of outcomes for any number of rounds and then calculates the probabilities of these outcomes occurring. With those values it is possible to calculate the probability that a boundary with any slope and intercept is crossed at any point. The formula itself is infinite in length and takes up an indefinite number of cells because no finite number of operations in an Excel spreadsheet can calculate an infinite number of probabilities that correspond to an infinite number of combinations. However, this is not an issue, because the formula not only generates new combinations for each round but also expands itself to\n\nfit the required number of calculations for the task that it is given, which means that it is only limited by the speed of the processor in a computing machine.\n\nBoundary crossing problems are well known, however, they have never been applied to the St. Petersburg Paradox in particular. The formula is extremely useful because it can easily be altered to make calculations for relevant sequences since there is nothing exceptional about the St. Petersburg Paradox other than an infinite expectation of outcomes. Finally the formula gives the exact risk a lottery experiences when letting the public play the game, which has never been calculated before. For example if a lottery has $10,000, collects $10 per game, it could use the formula to find out the probability that it will be bankrupt after 5000 games played. It can also find out other relevant information such as the probabilities that other boundaries (determined by the initial amount the lottery has and the price it collects) are crossed to know how its risk of going bankrupt will be affected by changing the price of the game or the initial amount of money it has in its savings. The formula I have developed, therefore, produces a business model for any lottery willing to install this or a game that has a similar structure.\n\nRena Chen: Astrophysics, CC’14\n\nOptimized synthesis by chemical vapor deposition of atomic layer hexagonal boron nitride\n\nHexagonal boron nitride ($h$-BN) is a two dimensional material complementary to graphene that can be used to engineer devices with unusual electrical and optical properties such as high mobility electron transistors and far ultraviolet light emitting diodes. Recently, atomic layers of graphene with $h$-BN have been grown using chemical vapor deposition (CVD). CVD also produces high quality $h$-BN films that are thin, uniform, and continuous. Although $h$-BN films of two atomic layers have been demonstrated using CVD, we endeavor to produce monolayer $h$-BN. We used CVD to synthesize $h$-BN on copper and nickel substrate with ammonia borane as the precursor. The $h$-BN was characterized by Raman spectroscopy, atomic force microscopy, and transmission electron microscopy. Scalable synthesis of monolayer $h$-BN films using CVD, which can produce $h$-BN in large quantities at low costs, has the potential to galvanize further research in graphene electronics and the production of optoelectronic devices in industry.\n\nWoo Chang Chung: Mathematics, Physics, CC’13\n\nCharacterization of the Charge Density Wave Phase in NbSe2\n\nMetals often undergo a phase transition to a new electronic state when they are cooled down to a low temperature; superconductivity is a well-known example of such transition. Another interesting example of an electronic phase transition occurring in low dimensional metals is the charge density wave (CDW). A CDW is a coupled periodic modulation of conduction electron density and atom positions in the lattice. For some low dimensional metals, the CDW state is more energetically favorable at low temperature than the metallic state. However, the true reason for the existence of the CDW state is not known for many materials. Most experimental measurements of the CDW we have thus far are from momentum space, which is the Fourier transform of real space. The goal of this experiment is to better understand how the CDW forms in the real space from the metallic state as the temperature of the material is lowered. The material of choice is two-dimensional metal NbSe2, which is the most well studied CDW material so far, but one in which the reason for the CDW transition is still debated. Our scanning tunneling microscopy\n\n(STM) data confirmed that CDW persists around crystal defects beyond the transition temperature (33.7 K). A part of the characterization of the CDW was to determine the relationship between the phase of the CDW near defects and the bias voltage applied to the sample crystal (= energy levels of the crystal). A set of tunneling spectroscopy maps with bias voltage ranging from -1.4V to 1.4V in intervals (or frames) of 0.05V was obtained. For each frame, CDW components were selected using 2D-FFT filtering. Then an autocorrelation analysis was performed between each frame and the CDW at bias = 1.4V, which was chosen as the reference. The autocorrelation analysis showed the variation of the CDW phase with applied bias giving us information on the effect of the CDW on the various energy bands of NbSe$_2$.\n\nKevin Guo: Mathematics, CC’15\n\n**Virus Classification with Hierarchical motif clustering**\n\nMolecular biologists will classify viruses based on its shape, form, and other phenotypical features. Relying solely on phenotype will capture large differences between viruses, but often will fail to capture any genetic nuances between the same family and strain. Using machine learning techniques, we seek to learn protein subsequences from a virus’s genome that are strong classifiers of its host: plant, invertebrate, or vertebrate.\n\nOur data consist of 146 virus sequences along with their designated hosts. This method uses a boosting algorithm modeled on an alternating decision tree (ADT). For each round of boosting, the algorithm searches for the weak rule that minimizes an exponential loss function on the dataset, which is strongly correlated with the accuracy of the classifier. After finding the weak rule, the algorithm attaches it to the ADT and continues to the next round of boosting. Each decision node of the ADT has two output nodes, with an associated $+$ and $-$$. When a virus’s protein sequence is run through the ADT, if it passes the threshold of a decision node, $+$ is added to its score; otherwise, $-$ is subtracted, with each virus’s final score determining its classification based on our boosting model. More specifically, we first search for the top N protein subsequences (kmers) of length k whose exact matches classify the train set with the least exponential loss. We then convert each subsequence into a Position Specific Scoring Matrix (PSSM) smoothed by a machine epsilon. The PSSMs are clustered using Hierarchical Motif Clustering based on their \"similarity\", which is determined by a weighted, symmetric form of the Kullback-Leibler Divergence. The final step searches over N-1 PSSMs to find the PSSM, decision/output node, and threshold combination with the least exponential loss, compares it to the kmer with the least exponential loss, and choosing the lesser of the two to add to the ADT as the new weak rule.\n\nOur method when tested with k=8 N=10 achieves a test accuracy of 92% when averaged across 5 rounds of cross validation. Unsurprisingly, the top 10 kmers were more than enough to seed the initial PSSMs. Greater values of N mostly decreased the test accuracy, although some upward spikes resulted. However, this was expected, since a greater number of seed kmers would lead to more variability. Previous techniques of classification involving machine learning did not use the probability distribution methods of the PSSM. Instead, it was necessary to specify a mismatch neighborhood m for each kmer with thresholds being a kmer match within m amino acids. The mismatch neighborhood attempts to capture the high rate of mutation in viruses, so that a mutation of one amino acid will not be discounted in the decision node. The mismatch method for (k,m)=(8,0) yields very poor test accuracy (84%); however, when m=1,2 test accuracy improves dramatically to 95%. A confidence interval concerning the test accuracy reveals there is\n\nno statistical difference in test accuracy between our Hierarchical Motif Clustering method and the previous mismatch neighborhood technique. It is necessary to generate a mismatch neighborhood array for each value of $m$; when considering the number of candidate kmers, for large data sets, this step could take weeks. Hierarchical Motif Clustering only requires that we preprocess one array for $m=0$, while effectively capturing the mismatch neighborhood within its probability distribution. In addition, PSSMs often outperform individual kmers in terms of boosting loss even when the initial seed kmers are generated by $m=1$ or $m=2$. This indicates PSSMs are stronger at differentiating subtle differences in genetic data during later rounds of boosting than single kmers.\n\nIn further work, we will use different values of $(k,m)$ to seed our Hierarchical Motif Clustering. The mismatch neighborhood method for larger values of $k$ naturally requires larger values of $m$ for decent accuracy. Although using $m=0$ to seed our model may no longer be accurate, we hope that Hierarchical Motif Clustering will significantly reduce the size of the mismatch neighborhood to be generated to get high test classification accuracy.\n\n**************************\n\nJonathan Huggins: Computer Science, CC'12\n\nThe Structured Explicit Duration Infinite Hidden Markov Model\n\nMy research was in the area of statistical machine learning. I developed a novel statistical model, which I call the structured explicit duration infinite hidden Markov model (SED-iHMM). The SED-iHMM can be used to model data generated from a process evolving over time. For example, it could be used to model human speech or changes in the stock market. Usually, statical models have a fixed number of parameters that are adjusted to fit the data. My model is \"non-parametric\" (and is thus referred to as \"infinite\") because the number of parameters is automatically determined based on the data. Thus, if the data is simple, the SED-iHMM will have only a few parameters, whereas if the data is complex, the SED-iHMM will have many more parameters. In particular, for the SED-iHMM, there are an infinite number of \"states\" that the model transitions between. Because the model is trained on a finite amount of data, however, in practice the model only makes use of a finite number of states. The model only knows about its current state when it decides whether to transition to a new state, and, if so, which state to transition into. Each state has its own probability distribution of output values--these distributions are used to account for the observed data.\n\nMany existing models can be described as special cases of the SED-iHMM. I focused my experimentation on a particular case of the SED-iHMM, which I call the explicit duration infinite hidden Markov model (ED-iHMM) and which had not previously been described. The ED-iHMM was able to successfully fit a range of datasets and produced equivalent, and in some cases superior, results to those of a related non-parametric model, the HDP-HMM. On a theoretical level, it places many other versions of the hidden Markov model in a more general conceptual framework. I expect that the SED-iHMM will be a useful tool because it is a flexible framework that allows for countless specializations capable of meeting practitioners' modeling needs.\n\nThe Effect of Bioglass Particle Size on Cell Response\n\nWith increasing life expectancy, a greater percentage of the population suffers from diseases that cause bone destruction. To replace defective bone, titanium implants are most commonly used, but they cause scarring and have a limited lifetime of about 15 years. In contrast, Bioglass (45SiO$_2$-24.5CaO-24.5Na$_2$O-6P$_2$O$_5$) appears more promising with superior biocompatibility. Currently, the majority of Bioglass implants are used in dental applications in the form of powder. Past research has shown an influence of particle size in the growth of bone in vivo, but no study has been conducted to understand and explain these findings with in vitro experiments. The goal of this study was to examine the effect of Bioglass particle size on cell behavior, both morphologically and quantitatively.\n\nTo examine the effect of Bioglass particle size on cell behavior, at first trials were conducted to establish an appropriate experimental procedure. Various types of adhesive substances (silicone, agarose, nail polish, cyanoacrylate, and epoxy) were tested for cell toxicity. Results from the trial experiments showed that silicone was the best material to use as an adhesive between the Bioglass particles and coverslip substrate, since it was neither toxic to cells nor bioactive.\n\nThe Bioglass powder was commercially produced with particle size ranging from 90 to 710 µm. The mixture of particles was further sieved into four size categories for a more precise assessment. Using silicone, Bioglass particles of various sizes were scattered on cover slips for biological experimentation with MC3T3 precursor osteoblasts. After the samples were sterilized, these cells were seeded and grown on particles of various sizes for multiple time-points. At appropriate times, the samples were removed and fixed with formaldehyde. Then, all samples underwent immunofluorescence staining for their nuclei, actin cytoskeleton, and vinculin (focal adhesion protein).\n\nBy means of fluorescence microscopy, the samples were imaged and the morphology of the cells was recorded to compare cell proliferation qualitatively as well as quantitatively with respective to Bioglass particle size. The nuclei of cells on Bioglass particles were imaged at a low magnification and counted manually. Morphologically, the cell shape appeared healthy in the majority of samples at all time-points. Cells on the smallest particle size, however, appeared rounded in shape, indicating a lack of compatibility with the surrounding environment. This observation was further confirmed by the quantitative analysis of cell growth. On the smallest particle size, over 3 days, cell numbers quickly dropped down to zero. Other trends in cell growth were also evident, with two of the larger size particle size showing a clear enhancement of cell proliferation. It appears that the concentration of dissolution products in culture medium, which depends on the surface area (hence also the size) of particles, reached a threshold toxic value for the finest powder, leading to complete cell death after one day. The larger size powder, however, appeared to promote cell growth. Further experiments are needed to establish the optimum particle size as a function of the ratio of particle surface area to culture medium volume.\n\nJoon Ho Kang: Biophysics, CC’12\n\nProteolytic machine studied at single-molecule level with Total Internal Reflection Microscope/electromagnetic tweezer\n\nAll cells employ ATP-fueled protease to regulate protein activity. In the Clp XP protease, Clp X recognizes particular protein sequences, unfolds and then translocates these molecules into the central pore of Clip P for degradation. In this study, we use evanescent nanometry/Electromagnetic tweezers to observe translocation activity of Clp X and degradation of Clp P. The distant-dependent intensity decay of evanescent wave was calibrated using Atomic Force Microscope. Vertical motions of a fluorescent bead were then converted into displacement by measured evanescent wave transfer function. This experiment reveals the fast, combinational unfolding and translocation activity of Clp XP under low force regime (<80pN) with the translocation size of 11-15nm. This study anticipates other AAA+ (ΔATP associated with a various cellular activities) protease to share similar features with Clp XP.\n\n*********************************************\n\nPin-Joe Ko: Biology, CC’14\n\nQuantification of tip proteins in *S. pombe* using confocal fluorescence microscopy\n\nIn many unicellular and multicellular organisms, cell polarity is crucial to differentiation, proliferation and the morphology. In the fission yeast *Schizosaccharomyces pombe*, cell polarity is maintained by protein clusters at the tips of microtubule bundles that carry these proteins to the long ends of the rod-shaped cell. However, while these tip proteins have been identified and are well-studied, not much is known concerning how the proteins gather on the microtubule tips. Furthermore, these proteins have never been individually quantified. In this project, we used high-resolution, confocal fluorescence microscopy to visualize and quantify natively tagged proteins at the microtubule tips. Different *S. pombe* strains were created that would fluoresce each specific protein. In order to obtain a count of proteins on each tip, we imaged the cells and compared relative fluorescence at protein clusters with a previously quantified control protein. Preliminary results indicate that dozens to hundreds of proteins can exist on a single microtubule tip. Furthermore, we found a large spread in the numbers of proteins among individual tips. In addition, we found that microtubule length does not correlate with protein quantity. These results imply a high tolerance for variation in protein numbers, which raises the question of whether the stoichiometric relationships between different proteins play a bigger role than the absolute quantities of the proteins.\n\n*********************************************\n\nNilay Kumar: Physics, CC’15\n\nBaryons and baryonic matter in the 't Hooft model under the heavy quark limit\n\nStudying the nuclei of atoms from a purely theoretical standpoint using the quantum field theory of the strong interaction, quantum chromodynamics (QCD), is generally intractable due to the long range strength of the strong force. Additionally, the well-known Monte Carlo numerical methods of lattice QCD suffer from numerical instabilities and thus cannot be used to study finite density nuclear matter. Consequently, it is useful to study limiting cases of QCD in which calculations becomes tractable in order to gain some intuition into nuclear matter. The 't Hooft model, studied in this work, considers QCD in 2 spacetime dimensions in an artificial world where the number of quark colors, Nc is large. Unfortunately, even this problem is intractable except using a recently developed numerical technique discussed below.\n\nThus we consider the regime in which the mass of the quarks, $M_Q$, is large, as it allows us greater theoretical control.\n\nFirst, we consider a baryon - in this artificial world, baryons consist of $N_c$ quarks in a color-singlet interacting with each other through color-Coulomb interactions. In this regime of QCD, baryons can be described using a mean-field approximation. We used a variational approach to determine the baryon mass in terms of $M_Q$, $N_c$ and the strong coupling constant. The mean-field approach used for the single baryon is assumed to hold for the multiple baryon sector of our model as well. It is shown that, at low densities, all leading-order interactions are repulsive, and an expression is determined for the energy per baryon.\n\nWe previously conducted a study of baryons and baryonic matter in the full 4 spacetime dimensions – one may ask the relevance of our 2 dimensional calculation. In fact, due to recent orbifold-inspired computational techniques, the 2 dimensional problem can be solved numerically. We hope that checking the results obtained here against numerical calculations will validate our (and previously, Witten's) assumption that the mean-field approximation does indeed hold in the many-baryon sector of both the 2 and 4 dimensional problems.\n\nAlexis Kurmis: Chemistry, CC’13\n\n**Development of Enantioselective Reductive Coupling Reactions**\n\nTwo key goals of modern organic synthesis are the synthesis of new C-C bonds from readily available starting materials and the formation of these bonds in an enantioselective manner. Advancements in these areas enable advancements in everything from materials chemistry to the development of new pharmaceutical agents. The vast majority of reactions currently used rely upon organometallic reagents, which require extra steps to synthesize and which can limit compatibility with many functional groups.\n\nThe goal of this summer was to optimize a reductive coupling reaction, which would eliminate the need for organometallics. All reaction parameters were investigated, including catalyst, temperature, solvent, substrates, reducing agent, and ligand. Both reactivity and enantioselectivity need to be high for a reaction to be considered successful. By the end of the summer, there were no conditions that met both these requirements, but some promising results were obtained.\n\nWith more development, this method could become an alternative to traditional reactions, where the use of organometallic reagents limits substrate scope. With a larger substrate scope, this reaction will be extremely useful in the synthesis of larger molecules.\n\nAndre Lazar: Biology, CC’12\n\n**Modeling Integrin Clustering as Diffusion to a Sink**\n\nCell motility is a vital cell function that depends on a cross-linked cytoskeletal actin network that involves numerous protein systems that coordinate signal and force transduction throughout the cell. Integrins are intermembrane proteins that link the extracellular matrix to the cytoskeleton through the formation of focal adhesions, diverse protein complexes that dynamically assemble and disassemble. Modeling focal adhesion growth and decay is therefore important in understanding cell motility at the molecular level. We examine the growth cycles of integrin clustering in focal adhesions and model their movement as\n\ndiffusion to a sink on the cell membrane. We show that early integrin clustering can be modeled as diffusion to a sink and that later stage clustering is accelerated due to myosin activity.\n\nDan Margulies: Chemical Physics, CC’13\n\nA Tight Binding Model for Molecular Conductance and Transmission\n\nTrends in computer technology show exponential growth in the number of components per integrated circuit. For this trend to continue, components must reach the molecular scale. Conventional electronics deals with current across macroscopic components. Molecular electronics studies the same principles in single molecules. Quantum mechanical models for electron dynamics guide and explain conductance experiments. Green’s functions provide the theoretical framework for studying electron transport at these scales. Tight binding simplifies the calculations involved by considering only discrete sites, reframing electron transport as a matrix equation. Thus, any molecular junction can be described by a finite matrix.\n\nI developed a computer program using NumPy (numerical python) to calculate the transmission of incident electrons through molecular junctions at a range of energies. Molecules were considered as Hamiltonian matrices, built using only nearest neighbor coupling and on-site energies. The molecules modeled included benzene, ethene, 1,3,5-hexatriene, and the conjugated infinitely long chain limit.\n\nTransmission maxima are found to correlate with the energies of molecular orbitals, calculated using the same tight-binding model. Intuitively, this suggests that the molecular orbitals serve as conducting channels for incident electrons. This tight-binding model suggests that such a simple model is sufficient to derive useful qualitative predictions. Future research should expand the model to better explain the differences between transmission minima, of which there are several types.\n\nJames Nugent: Computer Science-Mathematics, CC’13\n\nCompactification on Calabi Yau Manifolds\n\nSuperstring theory predicts six additional spatial dimensions in addition to the three dimensions of space and one of time we are familiar with. Assuming string theory is correct, the extra dimensions provide a means of unifying the four known fundamental interactions of physics, the Strong Nuclear, Weak Nuclear, Electromagnetism, and Gravitation. However, since we do not interact with these dimensions in our macroscopic life, a theoretical approach is necessary to explain why we do not see them. The most standard approach is to compactify them, or make them very small. While there are many shapes that these compactified dimensions could take, the primary candidate is a class of manifolds called a Calabi Yau manifold.\n\nWith the help of Dr. David Kagan of Columbia University, we are developing computational techniques to analyze fourteen such Calabi Yau Manifolds that are reasonable candidates for compactified space. These fourteen manifolds are chosen because they allow for a direct, hands-on set of examples for studying the physics of giving fundamental particles a large mass. Using Mathematica, algorithms for modelling the geometry of these Calabi Yaus were developed using Meijer G functions and Hypergeometric functions. They were then revised to maximize both accuracy and processing time. Graphs and data tables of the Meijer G functions were generated and refined to ensure accuracy. The Meijer G data was then used to generate data about the potentials whose minima indicate the possible compactifications of six-dimensional\n\nspace. These general algorithms could then be used to explore some of the physics involved in introducing large masses for the parameter field controlling certain geometrical aspects of the Calabi-Yau.\n\n******************************\n\nJulia Oktawiec: Chemistry, CC’13\n\n**Synthesis of a Organoboron Compound and Possible Novel Ligand**\n\nSince their discovery by Trofimenko, tris(pyrazolyl)hydroborato (“Tp”) ligands and their derivatives have proven to be extremely versatile, capable of being adapted in various ways and used in various inorganic systems. Tp and related scorpionate ligands generally consist of a psuedo-tetrahedral boron atom, bonded to a hydrogen atom and three heterocycles that subsequently bind in a Lewis-base fashion (L₂X) to a metal atom. A variety of heterocycles have been used, some incorporating bulky substituents coupled to the heterocycles, and the boron atom may also be substituted. The versatility and tunability of scorpionate ligands have made them ubiquitous in inorganic chemistry, and have proven to be very useful, for example, as catalysts for organic transformations and polymerizations and as models for metalloenzymes, among other uses. In this project, a neutral borane ligand, B(Mim\\textsuperscript{Me})\\textsubscript{3}, analogous to the anionic tris(2-mercapto-1-R-imidazolyl)hydroborato ligand, HB(Mim\\textsuperscript{R})\\textsubscript{3} or (Tm\\textsuperscript{R}), has been targeted. The synthesis of the precursor compound, Me\\textsubscript{3}PB(Mim\\textsuperscript{Me})\\textsubscript{3} has been accomplished by treatment of trimethylphosphine-borane with three equivalents of 2-mercapto-1-methylimidazole (Hmim\\textsuperscript{Me}). The product was characterized by homo and heteronuclear NMR spectroscopies, which provided evidence for the formation of Me\\textsubscript{3}PB(Mim\\textsuperscript{Me})\\textsubscript{3}. Several reactions have been performed to use Me\\textsubscript{3}PB(Mim\\textsuperscript{Me})\\textsubscript{3} as a precursor for a B(Mim\\textsuperscript{Me})\\textsubscript{3} ligand, which we expect to bind as a tetradentate ligand (L\\textsubscript{2}Z) to form complexes known as boratranes. Unfortunately, to date, no structurally characterized metal complexes with a B(Mim\\textsuperscript{Me})\\textsubscript{3} ligand have been obtained, but evidence for their formation has been observed.\n\n******************************\n\nDarpan Patel: Biology, CC’14\n\n**Iron-Dependent, Non-Apoptotic Cancer Cell Death Requires NADPH Oxidase (NOX) Enzyme Activity**\n\nTreatment of cancer cells \\textit{in vitro} with the small molecule erastin induces non-apoptotic, iron-dependent cell death. Notably, this process involves increased production of reactive oxygen species (ROS). The NADPH oxidase (NOX) family of enzymes, a key source of intracellular ROS, was analyzed to gain insights into the mechanism of action of erastin. A two-pronged approach was used to determine the necessity of NOX activity for erastin-induced death: (1) NOX inhibitor profiling of erastin versus other anti-cancer drugs, and (2) silencing of NOX-related genes using RNA interference (RNAi). Cancer cells were rescued from erastin-induced death by small molecules 2-acetylphenothiazine (2-APT) and GKT137831, both of which are selective inhibitors of the NOX1 isoform. Silencing of NOX1 gene expression protected cells from erastin-induced death, while silencing of the other NOX isoforms (2-5) did not yield appreciable rescue. This is consistent with the small molecule data, and together they suggest NOX1 might be responsible for increased ROS generation seen in erastin-induced death. A better understanding of NOX-dependent, non-apoptotic form of cell death could aid deployment of new small molecule drugs, such as erastin, to circumvent issues with acquired cancer cell resistance to apoptosis.\n\nMilesh Patel: Biochemistry, CC’12\n\nBarriers to Optimal Nutrition for Very Low Birthweight Infants: A Quality Improvement Study on Parenteral Amino Acid Administration\n\nAdvances in perinatal and neonatal care have increased the survival of preterm infants. However, improving the long-term outcomes of these surviving infants remains a challenge. Compared to normal fetuses of the same gestational age, the postnatal growth of premature infants is restricted. The discrepancy between extrauterine and intrauterine growth at the same gestational age has been attributed to protein and energy deficits. This is particularly important because poor neurological outcomes and pulmonary morbidity have been associated with delayed postnatal growth.\n\nIn response to these new findings, the Neonatal Intensive Care Unit at Children’s Hospital Boston has updated its guidelines for administering parenteral nutrition (PN). A retrospective chart review revealed that these guidelines were not being met, with less than a third adherent on day 2. In most cases no barrier could be identified. This study is a prospective patient-oriented quality improvement project that incorporates the practitioner’s perspective. For each patient admitted to the NICU, we monitored IV fluid and PN orders for adherence each day for 3 days. If an order was not adherent, we asked the prescriber to choose from a list of potential reasons, or to provide another reason. We also monitored each patient’s BUN level for toxicity.\n\nThe major barrier on day 1 was receiving starter PN off-hours. We found that some practitioners were not aware of the availability or indication for starter PN. In addition, there were misconceptions about PN administration in general. We looked specifically to make changes to our process to improve our outcome. Because we found that the indication for starter PN in the CHAMPS software is obtuse, we can change the process by which starter PN is ordered, making it easier and more intuitive. In addition, we can modify practitioner training to specifically address misconceptions about PN administration. Knowledge deficits and logistical problems can be addressed directly in the context of an ongoing quality improvement project, leading to improvements in adherence, and ultimately nutrition-related outcomes for these patients.\n\nJenny Shao: Biochemistry, CC’13\n\nInvestigating the Role of Actin Polymerization State in Synaptic Plasticity\n\nA critical component of the cytoskeleton and ubiquitous in eukaryotes, actin has been implicated in several important functions in learning and memory. This long-term endeavor strives to identify the relationship between the actin polymerization state—the dynamic equilibrium between g-actin and f-actin—and the local synaptic strength, which thereby sheds light on actin’s function in the broader phenomenon of learning. To accomplish these aims, it is necessary to first develop visualization system that provides an accurate, dynamic, and high-resolution representation of the polymerization state: we utilized a variation of Forster Resonance Energy Transfer (FRET), namely energy-migration FRET (emFRET or homoFRET). Since a single fluorophore is used in emFRET, the method eliminates potential noise from fluorophore crosstalk and combinatorial issues that are often observed in regular FRET. Since quantitative analyses demonstrated that mStrawberry had the optimal optical properties, most importantly low levels of Rayleigh Scattering, it was selected to visualize actin dynamics in tissue. Molecular cloning was then utilized to generate an mStrawberry-Actin vector. Specifically, after obtaining pmStrawberry and pActinGFP vectors from Clontech, the region corresponding to the fluorophore (mStrawberry) was amplified via PCR, the inserts and vector were purified, and the inserts were ligated into the actin backbone. Restriction enzyme digestion and gel electrophoresis analyses subsequently indicated that the cloning and ligation processes were successful. Bacterial transformation and Maxipreps were then used to harvest the newly generated DNA (Actin-mStrawberry). To confirm the efficacy of the Actin-mStrawberry plasmid, the DNA was transfected into HEK cells; robust expression levels that were detected after 24 hours indicated that the newly constructed plasmid did indeed contain mStrawberry and actin in the correct sequence. Furthermore, DNA sequencing also returned a 100% match between the expected and actual plasmid sequence. This construct, once injected into either culture or mouse, gives rise to a precise and high-resolution representation of actin dynamics. By shedding light on the role of actin in learning and memory, this study also informs us on possible mechanisms of several pathological conditions, such as Alzheimer’s and Huntington’s diseases, in which clear distortions in learning and memory are observed.\n\nKatharina Shaw: Chemistry, CC’13\n\nSynthesis of Resveratrol-Derived Analogues: Phosphorylated Isopaucifloral F, Phosphorylated Paucifloral F, and Yuccaone A\n\nFor the past decade, resveratrol – a ubiquitous, polyphenolic phytoalexin found in grape skins and red wine – has captivated the attention of the scientific community. In addition to its potent antifungal, anti-aging, and neuroprotective properties, resveratrol has been cited as responsible for the “French paradox” – a concept formulated by epidemiologists to describe the low incidence of coronary heart disease in French people despite their high intakes of cholesterol and saturated fats.\\(^1\\) However, while much attention continues to be devoted to resveratrol, its analogues have been largely disregarded in spite of their vast clinical potential. The difficulties posed by their synthesis, coupled with the inability to isolate sufficient quantities from natural sources, have rendered many such oligomers unattainable. Thus, for this project, the controlled and potentially scalable synthesis of three such oligomers was undertaken – namely, that of phosphorylated Paucifloral F, phosphorylated Isopaucifloral F, and Yuccaone A. Previous attempts to biomimetically access such members of the resveratrol family have proven unsuccessful – even in those cases where the desired resveratrol derivative was obtained, an array of non-natural products were generated.\\(^2\\) As a result, the synthetic approach utilized here rejected a biomimetic pathway in favor of reagent-guided functionalization of a unique core molecule that possessed multiple sites of similar reactivity. Using a three-aryl ring precursor as the core building block, both phosphorylated Paucifloral F and Isopaucifloral F could be generated in relatively high yield. Careful manipulation of the same triaryl precursor remains underway for the synthesis of Yuccaone A. In light of resveratrol’s promising array of biochemical behaviors, the controlled syntheses of oligomers such as these may be key to tapping the full clinical potential of this family of natural products.\n\nCrystal formation of Dibenzotetrathieno-coronenes (DBTTC) on graphite in ambient scanning tunneling microscopy (STM) using platinum-iridium tips\n\nWe investigate the use of graphene surfaces to assemble organic molecules into crystals. The morphology of such crystals is important in applications such as solar cells. We choose the Dibenzotetrathieno-coronenes molecule since it has optical response and has a pi backbone that can interact with the graphene surface. Crystals were formed by drop-casting from a solution of DBTTC in high vacuum and the morphology of the films was studied using scanning tunneling microscopy (STM). Initial STM analysis was done on graphite and graphene using platinum-iridium tips to find optimal conditions, ranging bias (-1.0~ 1.0V) and setpoint (500pA~2nA). The size of the scan was reduced from 100nm to as low as 5nm while generally maintaining scan rates of 5~10Hz for graphite and 2~5Hz for graphene. The DBTTC sample that was aimed to deposit a 10~15nm film on graphite were seen to form aligned stalk-like structures on the substrate with roughly 10nm heights for alignments with 250nm widths. In the sparser regions, hook-shaped 50 x 50nm stalks captured the crystal forming process that involves growing uniformly flat layers of DBTTC between the converging stalks as the deposition progressed. A difference in periodicity is also observed between a graphite surface and a thin DBTTC surface (single to few layers thick) on graphite. Future experiments will focus on the study of a single atomic layer of DBTTC on graphite and graphene.\n\nTyler St. Denis: Biochemistry, CC’15\n\nEnhancement of Antimicrobial Photodynamic Therapy by Potassium Thiocyanate/Selenocyanate Salts\n\nThe emergence of antibiotic-resistant pathogens has initiated global searches for new antimicrobial modalities. Photodynamic therapy (PDT) is a novel antimicrobial technique consisting of visible-light, a light sensitive dye, and oxygen, which together yield reactive oxygen species (ROS). ROS reactivity is diffusion rate controlled and is thus limited to the cellular envelope of bacteria. In efforts to potentiate bactericidal activity of PDT, this report sought to create less reactive, but longer-lived radical species, capable of deeply penetrating bacteria. Comparing a control PDT regimen to PDT with the pseudohalide salts thiocyanate (SCN⁻) or selenocyanate (SeCN⁻), PDT-mediated killing of the Gram-negative *Escherichia coli* and the Gram-positive *Staphylococcus aureus* was potentiated by 1-4 log₁₀ with the addition of SCN⁻/SeCN⁻. This is presumed to be the result of the formation of SCN⁻/SeCN⁻ radicals, likely due to reactivity of SCN⁻/SeCN⁻ with the hydroxyl radical (OH⁻). Pseudohalide radical formation was confirmed by theoretical redox potential studies and comparison of the bactericidal effect of a chemical OH⁻ generator (Fenton’s reagent) with or without SCN⁻/SeCN⁻. Interestingly, potentiation of PDT was not additive and at high concentrations, SCN⁻ and SeCN⁻ reduced PDT killing, presumably due to the formation of insoluble methylene blue-pseudohalide salt products.\n\nScott Zhang: Astrophysics, CC’14\n\n**Diffuse high-energy neutrino spectra from high and low-luminosity gamma-ray bursts**\n\nThe fully operating IceCube neutrino observatory, designed to detect TeV-scale high energy neutrinos, opens up a new window for high energy astrophysics. Gamma Ray Bursts (GRBs), with their extreme energetics, are one of the most plausible sources of diffuse high energy neutrinos detectable by IceCube. While some, high-luminosity (HL) GRBs are individually much brighter than many other, low-luminosity (LL) GRBs, the latter subclass may play a major role in contributing to the diffuse high-energy neutrino background, due to their much higher abundance, as well as their somewhat different emission process. Further, LL-GRBs may be the key in understanding choked GRBs, an important subclass of GRBs with no observable gamma-ray emission. It is important to compare the contribution of diffuse high energy neutrinos by both high-luminosity (HL) and low-luminosity (LL) GRBs. Using the gamma ray data of GRBs collected by the Swift satellite, assuming the neutrino spectrum for individual GRB derived by Guetta et al. and the rate of HL and LL GRB per year estimated by Liang et al., I calculated the total diffuse neutrino spectrum by both HL and LL-GRBs. My result is consistent with the neutrino spectrum 90% CL upper limit implied by cosmic ray observation (Ahlers et. al. 2011) except for the neutrino energy range $6e6 \\sim 7e7$ GeV, but it suggests that HL GRBs typically produce 1~2 orders of magnitude more neutrino than LL GRBs, contrary to the claim of some authors that the neutrino spectrum by HL and LL-GRBs are comparable. This may be because the emission mechanism in LL-GRBs differ from the Guetta et al. emission model due to, e.g., the larger abundance of baryons in the jet.\n\n*************************************************************************"}}}],"truncated":false,"partial":true},"paginationData":{"pageIndex":2047,"numItemsPerPage":100,"numTotalItems":208496,"offset":204700,"length":100}},"jwt":"eyJhbGciOiJFZERTQSJ9.eyJyZWFkIjp0cnVlLCJwZXJtaXNzaW9ucyI6eyJyZXBvLmNvbnRlbnQucmVhZCI6dHJ1ZX0sImlhdCI6MTc3MTA2NjY4NCwic3ViIjoiL2RhdGFzZXRzL1RlbGVBSS1BSS1GbG93L0luZm9ybWF0aW9uQ2FwYWNpdHkiLCJleHAiOjE3NzEwNzAyODQsImlzcyI6Imh0dHBzOi8vaHVnZ2luZ2ZhY2UuY28ifQ.woKapG-uTAZXS6u2vx3azqQwg448R3AxD_CMWF_7vD0I2e27QUpdpxybH0WFJthN-LUUOAw2mkGbBVSoPVcyBg","displayUrls":true,"splitSizeSummaries":[{"config":"default","split":"train","numRows":208496,"numBytesParquet":2762384337}]},"discussionsStats":{"closed":1,"open":0,"total":1},"fullWidth":true,"hasGatedAccess":true,"hasFullAccess":true,"isEmbedded":false,"savedQueries":{"community":[],"user":[]}}">
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Borre v. United States: An Improper Interpretation of Property Rights
Michael C. Bennett
Follow this and additional works at: https://via.library.depaul.edu/law-review
Recommended Citation
Michael C. Bennett, Borre v. United States: An Improper Interpretation of Property Rights, 42 DePaul L. Rev. 1499 (1993)
Available at: https://via.library.depaul.edu/law-review/vol42/iss4/15
This Notes is brought to you for free and open access by the College of Law at Digital Commons@DePaul. It has been accepted for inclusion in DePaul Law Review by an authorized editor of Digital Commons@DePaul. For more information, please contact email@example.com.
NOTE
BORRE v. UNITED STATES: AN IMPROPER INTERPRETATION OF PROPERTY RIGHTS
INTRODUCTION
In its first 115 years of development, the Federal Mail Fraud Act grew into a powerful tool for punishing crime and corruption.\(^1\) The Mail Fraud Act was described by one commentator as the government’s “Stradivarius . . . Colt .45 . . . Louisville Slugger . . . Cuisinart . . .” because of the law’s ubiquitous effectiveness.\(^2\) The broad scope of the law allowed the federal government to prosecute crimes involving corruption in state and local government. However, a look at the history of the Mail Fraud Act shows that it has been marred by confusion from its outset in 1872.\(^3\) The law was initially subject to interpretation by both broad and strict constructions until the Supreme Court gave support to the broad interpretation in *United States v. Young*.\(^4\) Over time, the government further broadened the statute’s application, crystallizing with the recognition of the intangible rights theory in 1973.\(^5\) Under the intangible rights theory, mail fraud convictions were obtained based on the defendants depriving citizens of their right to honest dealings, usually with the government.\(^6\)
This theory was recognized in all circuits until 1987, when the Supreme Court overturned it in *McNally v. United States*.\(^7\) The Court held that the Mail Fraud Act (Act) only applies to schemes
---
1. Jed S. Rakoff, *The Federal Mail Fraud Statute (Part I)*, 18 DUQ. L. REV. 771, 772-73 (1980).
2. *Id.* at 771.
3. Act of June 8, 1872, ch. 335, § 301, 17 Stat. 323 (Mail Fraud Act) (current version at 18 U.S.C. § 1342 (1988)).
4. 232 U.S. 155 (1914).
5. *United States v. States*, 488 F.2d 761, 765 (8th Cir. 1973), *cert. denied*, 417 U.S. 909 (1974), *and cert. denied*, 417 U.S. 950 (1974).
6. *Id.* at 766.
7. 483 U.S. 350 (1987).
that result in a loss of money or property.\textsuperscript{8} Violations of intangible rights were no longer recognized as a cause of action. This decision severely weakened the effectiveness of the statute. That same year, the Supreme Court diminished the effect of \textit{McNally} in \textit{Carpenter v. United States}.\textsuperscript{9} There, the Court ruled that the Mail Fraud Act does cover the deprivation of intangible \textit{property} rights, specifically, a business's right to confidential information.\textsuperscript{10}
With the intangible rights theory having been struck down — although intangible property rights were upheld — defendants convicted under the Act attempted to have their convictions overturned through either a writ of coram nobis or a writ of habeas corpus.\textsuperscript{11} In these post-conviction proceedings, the courts look at the indictment and jury instructions to see if the defendant was convicted under a theory that charged a deprivation of money or property.\textsuperscript{12} If the defendant was convicted solely on the basis of an intangible rights theory, the conviction must be overturned.\textsuperscript{13} Many of these cases involved bribery, kickbacks, security interests, confidential business information, or licenses in which courts have overturned many convictions. However, in 1988, Congress amended the Mail Fraud Act once again, re-establishing the intangible rights theory and returning the law to its pre-\textit{McNally} status.\textsuperscript{14}
In 1991, the Seventh Circuit, in \textit{Borre v. United States},\textsuperscript{15} seemed to revive the intangible rights theory despite \textit{McNally}. In \textit{Borre}, the Seventh Circuit held that a cable television franchise was property under the Mail Fraud Act.\textsuperscript{16} The district court found that Borre was convicted under the intangible rights theory and therefore vacated his convictions based on \textit{McNally},\textsuperscript{17} however, the Seventh Circuit reversed the determination of the district court by a 2-1 vote and reinstated Borre's conviction.\textsuperscript{18}
\begin{itemize}
\item[8.] \textit{Id.} at 359.
\item[9.] 484 U.S. 19 (1987).
\item[10.] \textit{Id.} at 25.
\item[11.] \textit{See} Larry W. Yackle, Postconviction Remedies §§ 30, 35 (1981) (discussing these two postconviction remedies).
\item[12.] \textit{See} United States v. Lombardo, 865 F.2d 155, 158 (7th Cir.), \textit{cert. denied}, 491 U.S. 905 (1989); United States v. Gimbel, 830 F.2d 621, 627 (7th Cir. 1987).
\item[13.] \textit{See} Magnuson v. United States, 861 F.2d 166, 168 (7th Cir. 1988) (finding an indictment insufficient under \textit{McNally}).
\item[14.] 18 U.S.C. § 1346 (1988).
\item[15.] 940 F.2d 215 (7th Cir. 1991).
\item[16.] \textit{Id.} at 220.
\item[17.] \textit{Id.} at 217.
\item[18.] \textit{Id.} at 224.
Borre exemplifies the current state of the law. McNally significantly narrowed the reach of the Mail Fraud Act. The Borre court's ruling that a cable television franchise is property for the purposes of the statute is a sign that the scope of the law is expanding once again.
This Note examines the early development of the Mail Fraud Act. It shows how the law changed during its early years and how courts interpreted the statute. The Note then looks at the intangible rights theory and details the McNally and Carpenter decisions, which caused an upheaval in the interpretation of the Mail Fraud Act. The Note discusses retroactive application of McNally and the procedures used by defendants to overturn convictions. Then it shows how the courts look to the indictment and jury instructions to determine if a conviction should stand. The Note also discusses some of the relevant case law, showing what the courts have found to be property under McNally. It specifically examines the case of Borre v. United States and argues that the defendant there did not deprive the government of a property interest as defined by McNally. Finally, the Note assesses how the Borre court's interpretation of the Mail Fraud Act undermines McNally and possibly reintroduces the intangible rights concepts that McNally temporarily eliminated.
I. BACKGROUND
A. Development of the Mail Fraud Act Prior to McNally
1. Introduction
The original Mail Fraud Act did not specify what crimes it covered. This led to varied interpretations of the law by the federal courts; some viewed mail fraud as only dealing with crimes dependent on the use of the mails, while others applied the statute to any crime which incidentally used the mails. It took over forty years before the courts and Congress approved the latter, broader construction of the statute. By 1941, this broad construction of the law led to the development of the intangible rights theory — mail fraud convictions based on schemes that deprived citizens of the right to an honest government.
2. Early Development of the Mail Fraud Act
In 1872, Congress passed a series of laws concerning the postal
service, which included the first statute to make mail fraud a federal crime.\textsuperscript{19} There was no legislative history or congressional debate for the Act (which contains 327 sections),\textsuperscript{20} other than the comment of a representative who said the laws attempted to prevent "thieves, forgers, and rapscallions generally" from "deceiving and fleecing the innocent people in the country."\textsuperscript{21}
Commentators viewed the statute as a congressional response to the ineffectiveness of state and local laws in combatting fraudulent "get-rich-quick" swindles.\textsuperscript{22} Looking at the language of the statute, however, Congress seemed to be more concerned with the degree of mail abuse than with the degree of fraud.\textsuperscript{23}
In its infancy, the statutory package survived two constitutional attacks.\textsuperscript{24} In \textit{Ex parte Jackson},\textsuperscript{25} decided in 1877, the defendant claimed that the postal law prohibiting the mailing of circulars for
\begin{quote}
19. Act of June 8, 1872, ch. 335, § 301, 17 Stat. 323 (current version at 18 U.S.C. § 1346 (1988)). The statute provides:
That if any person having devised or intending to devise any scheme or artifice to defraud, or be effected by either opening or intending to open correspondence or communication with any other person (whether resident within or outside of the United States), by means of the post-office establishment of the United States, or by inciting such other person to open communication with the person so devising or intending, shall, in and for executing such scheme or artifice (or attempting so to do), place any letter or packet in any post-office of the United States, or take or receive any therefrom, such person, so misusing the post-office establishment, shall be guilty of a misdemeanor, and shall be punished with a fine of not more than five hundred dollars, with or without such imprisonment, as the court shall direct, not exceeding eighteen calendar months. The indictment, information, or complaint may severally charge offences to the number of three when committed within the same six calendar months; but the court thereupon shall give a single sentence, and shall proportion the punishment especially to the degree in which the abuse of the post-office establishment enters as an instrument into such fraudulent scheme and device.
\textit{Id.; see also Rakoff, supra note 1, at 777-78} (noting that the odd design of the statute has led to several unusual practical consequences (i.e., it results in each separate use of the mails constituting a crime)).
20. Rakoff, \textit{supra} note 1, at 779.
21. \textit{Cong. Globe}. 41st Cong., 3d. Sess. 35 (1870) (statement of Rep. Farnsworth).
22. Rakoff, \textit{supra} note 1, at 780 (citing William A. Dunning, \textit{Reconstruction, Political and Economic} 224-37 (1962); Harold U. Faulkner, \textit{American Economic History} 483-86, 516-17 (1960); John H. Franklin, \textit{Reconstruction After the Civil War} 8-9, 146-49, 174-77 (1961)).
23. \textit{See id.} at 784 (noting that the apparent function of the statute was to "deter the actual and intentional misuse of the mails in furtherance of a truly mail fraud scheme"); \textit{see also} Act of June 8, 1872, ch. 335, § 301, 17 Stat. 323 (current version at 18 U.S.C. § 1346 (1988)) (telling the sentencing court in a mail fraud prosecution to "proportion the punishment especially to the degree in which the abuse of the post-office establishment enters as an instrument into such fraudulent scheme and device").
24. \textit{See Ex parte Rapier}, 143 U.S. 110 (1892); \textit{Ex parte Jackson}, 96 U.S. 727 (1877).
25. 96 U.S. 727 (1877).
\end{quote}
illegal lotteries was outside the scope of Congress's regulatory powers.\textsuperscript{26} A unanimous Court held that the Constitution gave Congress the power to regulate the entire postal system of the United States.\textsuperscript{27} Accordingly, the Court found that Congress had the power to determine what was a misuse of the mails.\textsuperscript{28} The Supreme Court's ruling bolstered the constitutionality of all the postal laws, including the Mail Fraud Act.\textsuperscript{29}
In 1892, the Court provided further support for Congress's authority over the mails in \textit{Ex parte Rapier}.\textsuperscript{30} There, the defendants were involved in a lottery scheme which used the mails, and they argued that only the states could regulate illegal lotteries.\textsuperscript{31} Once again, a unanimous Court upheld Congress's power to police the mails, stating that it was "not necessary that Congress should have the power to deal with crime or immorality within the States in order to maintain that it possesses the power to forbid the use of the mails in aid of the perpetration of crime or immorality."\textsuperscript{32} Because the statute was declared constitutional, the lower courts did not have to adopt a narrow construction of the Mail Fraud Act to avoid constitutional challenges.\textsuperscript{33}
However, the lower courts had few guidelines to interpret the law.\textsuperscript{34} Accordingly, the courts subsequently split in their interpretation of the new statute, generally falling into two camps: strict constructionists and broad constructionists.\textsuperscript{35} Strict constructionists
\begin{itemize}
\item \textsuperscript{26} \textit{Id.} at 728.
\item \textsuperscript{27} \textit{Id.} at 732. The Supreme Court said that Congress's regulatory authority extended beyond the establishment of postal routes and post office locations. \textit{Id.}
\item \textsuperscript{28} \textit{Id.} at 736 (giving the example of the prohibition on obscene materials).
\item \textsuperscript{29} \textit{See Rakoff, supra} note 1, at 787 (noting that the language in \textit{Ex parte Jackson} was so broad "as to leave no doubt as to the constitutionality of the mail fraud statute").
\item \textsuperscript{30} 143 U.S. 110 (1892).
\item \textsuperscript{31} \textit{Id.} at 133-34 (arguing that prosecuting crimes involving lotteries was not reasonably related to federal postal duties).
\item \textsuperscript{32} \textit{Id.} at 134; \textit{see also Rakoff, supra} note 1, at 788-89 (concluding that the decision in \textit{Rapier} was a direct result of the Court's prior decision in \textit{Jackson}).
\item \textsuperscript{33} Rakoff, \textit{supra} note 1, at 788.
\item \textsuperscript{34} \textit{See id.} at 789 (noting that "the mail emphasizing language . . . virtually compelled comment from the courts" but that its ambiguity left the courts without guidelines for interpretation).
\item \textsuperscript{35} \textit{Id.} at 790. Compare United States v. Mitchell, 36 F. 492 (W.D. Pa. 1888) (deciding that backdating a postmark to avoid termination of an insurance policy is not mail fraud) \textit{and} United States v. Owens, 17 F. 72 (E.D. Mo. 1883) (ruling that the mail fraud statute does not cover transactions between creditor and debtor) \textit{with} United States v. Horman, 118 F. 780 (S.D. Ohio 1901) (holding that the federal mails are not to be used to further dishonest practices), \textit{aff'd}, 116 F. 350 (6th Cir.), \textit{cert. denied}, 187 U.S. 641 (1902) \textit{and} United States v. Jones, 10 F. 469 (C.C.S.D.N.Y. 1882) (holding that the use of the mails to induce purchase of counterfeit money is mail fraud). Rakoff states that attitudes towards federalism, the social and economic biases of
looked at the mail-emphasizing language in the statute as limiting its application to frauds that could only be perpetrated by using the mails.\textsuperscript{36} This interpretation of the mail fraud statute was convenient because a simple "but for the use of the mails" test could be applied.\textsuperscript{37} The strict constructionist approach resulted in courts refusing to apply the statute to schemes of a "local and trivial nature."\textsuperscript{38} Moreover, strict constructionists never defined what the Act meant by a scheme to defraud, and since very few schemes were so reliant on the mails to fall within the strict constructionist approach, such a definition was unnecessary.\textsuperscript{39}
The broad constructionists did not let the mail-emphasizing language limit their definition of a scheme to defraud.\textsuperscript{40} The courts using this approach found that any scheme where the defendants intentionally used the mails to defraud came within the statute.\textsuperscript{41} Furthermore, the broad constructionists applied the Mail Fraud Act to all schemes to defraud, not just to fraud recognized under the common law or state law.\textsuperscript{42}
For seventeen years, the two schemes co-existed and "seemed to inhibit the development of strong precedent."\textsuperscript{43} Due to the two di-
\textsuperscript{36} Rakoff, \textit{supra} note 1, at 791, 793; see, e.g., United States v. Clark, 121 F. 190 (M.D. Pa. 1903) (finding that fraudulent advertising circulars sent through the mail could have been sent by other means); see also United States v. Mitchell, 36 F. 492 (W.D. Pa. 1888) (ruling that a scheme to defraud an insurance company was not within the scope of the mail fraud statute); United States v. Owens, 17 F. 72 (E.D. Mo. 1883) (stating that mail fraud laws are not intended to cover all commercial correspondence).
\textsuperscript{37} Rakoff, \textit{supra} note 1, at 793; see also Clark, 121 F. at 191 (holding that the use of the mails is not enough, but rather it must be such use to successfully perpetrate the fraud).
\textsuperscript{38} Rakoff, \textit{supra} note 1, at 792; see Owens, 17 F. at 74 (giving a narrow definition of what types of cases constitute mail fraud).
\textsuperscript{39} Rakoff, \textit{supra} note 1, at 794; cf. Owens, 17 F. at 74 (failing to define "schemes of fraud").
\textsuperscript{40} Rakoff, \textit{supra} note 1, at 796.
\textsuperscript{41} See United States v. Horman, 118 F. 780 (S.D. Ohio 1901) (finding that blackmail falls within the mail fraud statute), aff'd, 116 F. 350 (6th Cir.), cert. denied, 187 U.S. 641 (1902); Weeber v. United States, 62 F. 740 (C.C.D. Colo. 1894) (holding that posing as a U.S. attorney to blackmail a victim is a scheme to defraud); United States v. Jones, 10 F. 469, 470 (C.C.S.D.N.Y. 1882) (stating that "the gist of the offence consists in the abuse of the mail"); see also Rakoff, \textit{supra} note 1, at 798-99 (noting that broad constructionists found no limitations on the language of the statute).
\textsuperscript{42} See, e.g., United States v. Loring, 91 F. 881, 887 (N.D. Ill. 1884) (finding that any scheme to defraud which uses the mail, whether or not it is covered by other statutes, is mail fraud).
\textsuperscript{43} Jeffrey J. Dean & Doye E. Green, McNally v. United States and Its Effect on the Federal Mail Fraud Statute: Will White Collar Criminals Get a Break?, 39 MERCER L. REV. 697, 701 (1988). During this seventeen-year period, the Supreme Court did not side with either construcvergent interpretations of the law, Congress attempted to clarify interpretation by enacting the 1889 Amendment to the Mail Fraud Act.\textsuperscript{44} The law now enumerated specific crimes that were mail fraud.\textsuperscript{45} These additional schemes were connected to the original schemes to defraud by the use of the disjunctive “or.”\textsuperscript{46} However, confusion still reigned. Strict constructionists thought the additions to the statute limited the law to only those crimes.\textsuperscript{47} On the other
\textit{See United States v. Hess}, 124 U.S. 483 (1888) (addressing whether the indictment should fit within the language of the statute or specifically detail the scheme used); \textit{Ex parte Henry}, 123 U.S. 372 (1887) (addressing the penalty provisions in the statute).
44. Act of Mar. 2, 1889, ch. 393, 25 Stat. 873 (current version at 18 U.S.C. §1341 (1988)). The amendment reads:
If any person having devised or intending to devise any scheme or artifice to defraud, or to sell, dispose of, loan, exchange, alter, give away, or distribute, supply, or furnish, or procure for unlawful use any counterfeit or spurious coin, bank notes, paper money, or any obligation or security of the United States or of any State, Territory, municipality, company, corporation, or person, or anything represented to be or intimated or held out to be such counterfeit or spurious articles, or any scheme or artifice to obtain money by or through correspondence, by what is commonly called the “sawdust swindle,” or “counterfeit money fraud,” or by dealing or pretending to deal in what is commonly called “green articles,” “green coin,” “bills,” “paper goods,” “spurious Treasury notes,” “United States goods,” “green cigars,” or any other names or terms intended to be understood as relating to such counterfeit or spurious articles, to be effected by either opening or intending to open correspondence or communication with any person, whether resident within or outside the United States, by means of the Post-Office Establishment of the United States, or by inciting such other person or any person to open communication with the person so devising or intending, shall, in and for executing such scheme or artifice or attempting so to do, place or cause to be placed, any letter, packet, writing, circular, pamphlet, or advertisement in any post-office, branch post-office, or street or hotel letter-box of the United States, to be sent or delivered by the said post-office establishment, or shall take or receive any such therefrom, such person so misusing the post-office establishment shall, upon conviction, be punishable by a fine of not more than five hundred dollars and by imprisonment for not more than eighteen months, or by both such punishments, at the discretion of the court. The indictment, information, or complaint may severally charge offenses to the number of three when committed within the same six calendar months; but the court thereupon shall give a single sentence, and shall proportion the punishment especially to the degree in which the abuse of the post-office establishment enters as an instrument into such fraudulent scheme and device.
\textit{Id.}
45. Dean & Green, \textit{supra} note 43, at 701; \textit{see Rakoff, supra} note 1, at 809 (noting that when Congress amended the statute it expressly included certain specific schemes within its scope).
46. Act of Mar. 2, 1889, ch. 393, § 5480, 25 Stat. 873 (current version at 18 U.S.C. § 1346 (1988)) (describing “any scheme or artifice to defraud, or to sell, dispose of . . .” (emphasis added)).
47. Rakoff, \textit{supra} note 1, at 809; \textit{see United States v. Beach}, 71 F. 160, 161 (D. Colo. 1895) (stating that “[t]he statute is not limited to the particular deceits mentioned in it, . . . for the first clause embraces ‘any scheme or artifice to defraud’; but these words must be taken to mean any scheme or artifice of the general character of those specified in the act,” but not including schemes
side, broad constructionists thought the amendment endorsed their interpretation, as many of the schemes specified in the amendment were the same schemes they had found illegal under the old law.\textsuperscript{48}
In 1895, the Supreme Court came close to endorsing the broad constructionist view of the Mail Fraud Act in \textit{Durland v. United States}.\textsuperscript{49} The \textit{Durland} defendants claimed that the Mail Fraud Act applied only to common law fraud and the concept of false pretenses.\textsuperscript{50} The Court rejected this argument. The Court stated that the mail fraud “statute is broader than is claimed” and held that promises and misrepresentations as to the future fit within the scope of the statute.\textsuperscript{51}
Subsequently, Congress further amended the Mail Fraud Act in 1909.\textsuperscript{52} This amendment incorporated the \textit{Durland} holding,\textsuperscript{53} and it eliminated the mail-emphasizing language.\textsuperscript{54} Accordingly, since Congress eliminated the language referring to “misusing the post-office establishment,”\textsuperscript{55} federal courts ruled that prosecutors no
\begin{itemize}
\item of a different character); \textit{cf. Milby v. United States}, 120 F. 1 (6th Cir. 1903) (holding that specific crimes were just additions to the statute); \textit{Culp v. United States}, 82 F. 990 (3d Cir. 1897) (noting that the amendment did not narrow the scope of the statute to specific schemes). Congress, once again, left no legislative history to guide the lower courts. \textit{Dean & Green, supra} note 43, at 701 n.40.
\item \textsuperscript{48}. Rakoff, \textit{supra} note 1, at 809.
\item \textsuperscript{49}. 161 U.S. 306 (1896); \textit{see Dean & Green, supra} note 43, at 701; Rakoff, \textit{supra} note 1, at 811-12. The \textit{Durland} defendants sold bonds to people, never intending to pay them back on the date of maturity. \textit{Durland}, 161 U.S. at 312.
\item \textsuperscript{50}. \textit{Durland}, 161 U.S. at 312. Under the principles of common law fraud and false pretenses, “there must be a misrepresentation as to some existing fact and not a mere promise of the future.” \textit{Id.}
\item \textsuperscript{51}. \textit{Id.} at 313.
\item \textsuperscript{52}. Act of March 4, 1909, ch. 321, § 215, 35 Stat. 1115, 1130 (current version at 18 U.S.C. § 1341 (1988)). The statute reads in pertinent part as follows:
\begin{quote}
Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises . . . shall, for the purpose of executing such scheme or artifice or attempting so to do, place, or cause to be placed, any letter, postal card, package, writing, circular, pamphlet, or advertisement, whether addressed to any person residing within or outside the United States, in any post-office, or station thereof, or street or other letter box of the United States, or authorized depository for mail matter, to be sent or delivered by the post-office establishment of the United States, or shall take or receive any such therefrom, whether mailed within or without the United States . . . shall be fined not more than one thousand dollars, or imprisoned not more than five years, or both.
\end{quote}
\textit{Id.}
\item \textsuperscript{53}. \textit{Dean & Green, supra} note 43, at 702.
\item \textsuperscript{54}. Rakoff, \textit{supra} note 1, at 816.
\item \textsuperscript{55}. Act of March 2, 1889, ch. 393, § 5480, 25 Stat. 873 (current version at 18 U.S.C. § 1341 (1988)).
longer had to show a criminal intent to misuse the mails.\textsuperscript{56} The misuse of mails thus became incidental to the fraud itself.\textsuperscript{57} This amendment destroyed all support for the strict constructionists.\textsuperscript{58}
Five years later, in 1914, the Supreme Court, in \textit{United States v. Young},\textsuperscript{59} interpreted section 215 of the Criminal Code and set up the two elements needed for a successful prosecution under the Mail Fraud Act.\textsuperscript{60} First, the scheme must be devised to defraud, or to obtain money or property by false pretenses.\textsuperscript{61} Second, the mails must have been used to effectuate the scheme, with merely one letter being enough to qualify.\textsuperscript{62} By reiterating the language in the statute, the Court made the law easier to apply.\textsuperscript{63} Thus, by 1914, the federal government had jurisdiction over "any and all schemes to defraud that involved an act of mailing."\textsuperscript{64}
Just two years later, the Supreme Court further clarified the Mail Fraud Act in \textit{Badders v. United States}.\textsuperscript{65} The Court held that Congress could find the act of using the mail to perpetrate a fraud illegal, even if it could not regulate the scheme itself.\textsuperscript{66} This decision appeared to remove all limitations courts had previously placed on the Mail Fraud Act.\textsuperscript{67}
After \textit{Badders}, "it was only a matter of time before federal prose-
\begin{itemize}
\item \textsuperscript{56} Rakoff, \textit{supra} note 1, at 816; see United States v. Young, 232 U.S. 155 (1914) (comparing § 5480 of the Revised Statutes from 1889 with the new 1909 amendment and finding that intent to misuse the mails is unnecessary).
\item \textsuperscript{57} Rakoff, \textit{supra} note 1, at 816; see Dean & Green, \textit{supra} note 43, at 702 ("The removal of these key phrases leaves the statute so bare that it can only be seen as a tool to fight corruption and not as a means of protecting the integrity of the mails").
\item \textsuperscript{58} Rakoff, \textit{supra} note 1, at 817 (stating that "[t]he minimal use of the mails that would trigger the statute could, within broad limits, be an incidental or even accidental accompaniment of the defendant's fraudulent scheme"); see, e.g., United States v. Young, 232 U.S. 155, 161 (1914) (defining the scope of the statute).
\item \textsuperscript{59} 232 U.S. 155 (1914).
\item \textsuperscript{60} \textit{Id.} at 161.
\item \textsuperscript{61} \textit{Id.}
\item \textsuperscript{62} \textit{Id.} The Supreme Court said this was all that was needed and that "[t]he District Court apparently overlooked the distinction between the sections [of the statute] and was of the opinion that something more was necessary to an offense under § 215, than the averment of the scheme and its attempted execution in the manner stated." \textit{Id.}
\item \textsuperscript{63} Dean & Green, \textit{supra} note 43, at 703.
\item \textsuperscript{64} Rakoff, \textit{supra} note 1, at 817.
\item \textsuperscript{65} 240 U.S. 391 (1916). The defendant argued, inter alia, that Congress could not regulate a scheme fraudulent in itself. \textit{Id.} at 393.
\item \textsuperscript{66} \textit{Id.} The Court found such acts contrary to public policy. \textit{Id.} Congress could now regulate acts that were not criminal, as long as the acts furthered a fraudulent scheme which used the mails. \textit{Id.}
\item \textsuperscript{67} Rakoff, \textit{supra} note 1, at 818.
cutors realized the potential of what is now section 1341." Subsequently, Congress amended the Mail Fraud Act three more times, each time making minor alterations in the wording of the statute.
3. Intangible Rights
The courts continued to find new applications for the Mail Fraud Act. By 1941, the statute was being applied to cases that resulted in no monetary loss to the victims of the scheme to defraud. Previously, to successfully prosecute a mail fraud conviction, the victim had to lose money. This new intangible rights theory expanded the scope of mail fraud prosecutions. Rather than losing money, the victims of these schemes, which usually involved employment or governmental relationships, lost intangible rights. However, it took three decades before prosecutors began pursuing intangible rights convictions in earnest.
In 1973, the little-used intangible rights theory was applied in *United States v. States*. The Eighth Circuit responded with enthusiastic support for the theory. In *States*, the defendants argued that the Mail Fraud Act did not apply to their scheme, as the law only covered deprivations of money or property. This argument re-
---
68. Dean & Green, *supra* note 43, at 703.
69. Act of June 25, 1948, ch. 645, 62 Stat. 763 (editing the statute) (current version at 18 U.S.C. § 1341); Act of May 24, 1949, ch. 139, § 34, 63 Stat. 94 (replacing the phrase "dispose or" with "dispose of") (current version at 18 U.S.C. § 1341); Act of August 12, 1970, Pub. L. No. 91-375, § (6)(j)(1), 84 Stat. 778 (replacing the phrase "post office department" with "postal service") (current version at 18 U.S.C. § 1341); see John J. O'Connor, McNally v. United States: Intangible Rights Mail Fraud Declared a Dead Letter, 37 CATH. U. L. REV. 851, 862 n.100 (1988) (analyzing the revisions in the statute and finding that they had no substantial impact on its enforcement).
70. In 1941, the Fifth Circuit decided Shushan v. United States, 117 F.2d 110 (5th Cir.), cert. denied, 313 U.S. 574 (1941). The defendants, using the mails, bribed members of the Board of Levee Commissioners of Orleans Levee District to adopt the defendant's proposed plan for refunding outstanding bonds. *Id.* at 114-15. The court said that a scheme to defraud citizens of a board member's fair judgment was punishable under the mail fraud statute. *Id.* at 115.
In *United States v. Procter & Gamble Co.*, the Massachusetts District Court found that interference with an honest employer-employee relationship was prohibited by the mail fraud statute. 47 F. Supp. 676, 678 (D. Mass. 1942). The defendants bribed employees of their competitor to obtain the competitor's experimental products. *Id.*
71. 488 F.2d 761 (8th Cir. 1973), cert. denied, 417 U.S. 909 (1974), and cert. denied, 417 U.S. 950 (1974). The *States* defendants falsified voter registration affidavits to aid the write-in campaign of a republican candidate for committeeman in St. Louis. *Id.* at 763. The defendants then sent in the absentee ballots from the fictitious voters. *Id.* Alert mail carriers notified the post office that ballots were being sent to nonexistent persons, and the defendants were discovered. *Id.*
72. Codified then, as it is now, at 18 U.S.C. § 1341 (1988).
73. *States*, 488 F.2d at 763.
quired a conjunctive reading of the portion of the act making illegal "any scheme or artifice to defraud, or for obtaining money or property . . . ." The court disregarded this analysis and said it was more natural to read the two phrases independently. The court thus held that a "scheme or artifice to defraud" did not require a loss of money or property. In so concluding, the court looked at past cases that supported a broad construction of the Mail Fraud Act. The court held that the defendants were guilty of mail fraud, even though the victims did not lose money or property.
Subsequently, the government used the intangible rights theory to reach public officials who failed to disclose material information while concealing corrupt activities. As long as the failure to disclose was combined with the use of mails to carry out a fraud, the
74. 18 U.S.C. § 1341 (emphasis added).
75. States, 488 F.2d at 764.
76. Id.
77. Id.; Durland v. United States, 161 U.S. 306, 313 (1896); Shushan v. United States, 117 F.2d 110 (5th Cir.), cert. denied, 313 U.S. 574 (1941); see also Gouled v. United States, 273 F. 506, 508 (2d Cir. 1921) (finding that kickbacks to an officer authorized to make contracts on behalf of the government constituted mail fraud). But cf. United States v. Regent Office Supply Co., 421 F.2d 1174, 1179 (2d Cir. 1970) (holding that false representations that did not affect a customer's understanding of the bargain were not mail fraud).
The States court also looked at mail fraud cases involving bribery which indicated that a deprivation of political rights was a type of offense under the statute. States, 488 F.2d at 765-66. It placed great weight on the ruling in United States v. Faser, 303 F. Supp. 380, 385 (E.D. La. 1969), where the district court stated that "it is a violation of the statute in question if a person defrauds the State out of the 'loyal and faithful services of an employee.'" Id.
78. States, 488 F.2d at 766. States was followed by a "snowball" of intangible rights cases. Dean & Green, supra note 43, at 706. The Second Circuit, in United States v. Mandel, found the former Governor of Maryland guilty of mail fraud for taking bribes to influence his position on legislation. 591 F.2d 1347, 1357-58 (4th Cir. 1979). It stated, "At this late date, there can be no real contention that many schemes to defraud a state and its citizens of intangible rights . . . may not fall within the purview of the mail fraud statute." Id. at 1362. The court recognized the concern of other courts that the Mail Fraud Act was reaching areas thought best left to the states. Id. at 1357; see United States v. Caldwell, 544 F.2d 691, 697 (4th Cir. 1976) (Widener, J., concurring) (casting doubt on a further expansion of the mail fraud statute); United States v. McNeive, 536 F.2d 1245, 1252 (8th Cir. 1976) (refusing to extend the already pervasive mail fraud statute to the practice of tipping others as an expression of appreciation for the performance of ministerial tasks); United States v. Edwards, 458 F.2d 875, 880 (5th Cir.) (stating that the Federal Mail Fraud Act must be strictly construed so as to avoid extension beyond Congress's intent), cert. denied, 409 U.S. 891 (1972).
79. See United States v. Holzer, 816 F.2d 304 (7th Cir.) (holding that a judge who obtained assistance from lawyers to get bank loans committed fraud within the meaning of the mail fraud statute), cert. denied, 484 U.S. 891 (1987); United States v. Bush, 522 F.2d 641 (7th Cir. 1975) (holding that a city employee who defrauded citizens of the city and used mails in furtherance of his scheme was guilty of mail fraud), cert. denied, 424 U.S. 977 (1976). In Bush, the press secretary hid his contractual relationship with a company seeking the airline advertising contract for O'Hare Airport. Id. at 643.
Mail Fraud Act applied.\textsuperscript{80} This application of the Act applied whether or not the victim or the public at large lost any money or property.\textsuperscript{81}
This broad application was welcomed by most judges and jurists.\textsuperscript{82} Chief Justice Burger's oft-quoted dissenting opinion in \textit{United States v. Maze}\textsuperscript{83} endorsed the broad reach of the statute. Burger called the statute the federal government's "first line of defense" (i.e., a catch-all law which the government used to deal with new crimes until Congress could get around to passing a specific law).\textsuperscript{84} This catch-all nature did not please everyone.\textsuperscript{85} Certainly, the broad reach of the law made it an effective tool to prosecute crimes otherwise not illegal under federal law.\textsuperscript{86} This is the framework which existed until the Supreme Court's opinion in \textit{McNally v. United States}.\textsuperscript{87}
\textbf{B. The McNally Decision}
In 1987, the Supreme Court ruled that the Mail Fraud Act did
\begin{itemize}
\item \textsuperscript{80} \textit{Bush}, 522 F.2d at 641.
\item \textsuperscript{81} \textit{Holzer}, 816 F.2d at 309; see, e.g., \textit{United States v. Lovett}, 811 F.2d 979, 986 (7th Cir. 1987) (finding the defendant guilty for the bribery of village officials to obtain the town's cable television franchise); \textit{United States v. Keane}, 522 F.2d 534, 541, 550 (7th Cir. 1975) (finding mail fraud after a defendant used his position as city alderman to obtain legislation favorable to his secret interest as a property owner), \textit{cert. denied}, 424 U.S. 976 (1976).
\item \textsuperscript{82} O'Connor, \textit{supra} note 69, at 853 n.30.
\item \textsuperscript{83} 414 U.S. 395 (1974). In \textit{Maze}, the Court held that the statute did not cover a scheme to illegally obtain a credit card. \textit{Id.} at 404-05. The case did not involve the intangible rights theory. Chief Justice Burger, in his dissent, said that mail fraud should be used to stop such crimes until the states or Congress could criminalize such schemes specifically. \textit{Id.} at 406 (Burger, C.J., dissenting).
\item \textsuperscript{84} \textit{Id.} at 405-06.
\item \textsuperscript{85} Judge Ross, the concurring judge in the \textit{States} case was concerned about the expanding scope of the mail fraud law. \textit{United States v. States}, 488 F.2d 761, 767 (8th Cir. 1973) (Ross, J., concurring), \textit{cert. denied}, 417 U.S. 909 (1974), and \textit{cert. denied}, 417 U.S. 950 (1974). He noted, "I cannot believe that it was the original intent of Congress that the Federal Government should take over the prosecution of every state crime involving fraud just because the mails have been used in furtherance of that crime." \textit{Id.}; see also \textit{United States v. Margiotta}, 688 F.2d 108, 139-40 (2d Cir. 1982) (Winter, J., concurring in part and dissenting in part) (stating that the majority decision on mail fraud creates a danger for prosecutorial abuse for partisan political purposes), \textit{cert. denied}, 461 U.S. 913 (1983).
\item \textsuperscript{86} The popularity of the intangible rights theory led to a fourfold increase in federal convictions of public corruption cases between 1976 and 1986. \textit{Mail Fraud: Hearing Before the Subcomm. on Criminal Justice of the House Comm. on the Judiciary}, 100th Cong., 2d Sess. 7 (1988) [hereinafter \textit{Hearing}] (testimony of Rep. John Conyers, Jr.); see also Rakoff, \textit{supra} note 1, at 771.
\item \textsuperscript{87} 483 U.S. 350 (1987).
not cover schemes to defraud persons of their intangible rights.\textsuperscript{88} \textit{McNally v. United States} involved a scheme to get commissions from the insurance agency that handled the state of Kentucky's workers' compensation policy.\textsuperscript{89} The chairman of the Kentucky Democratic Party, Howard P. Hunt, approached the Wombwell Insurance Company with the plan.\textsuperscript{90} Hunt asked for a cut of the company's commissions in exchange for guaranteeing that Wombwell would continue to be the agent for the policy.\textsuperscript{91} The commissions were then distributed to other insurance agencies designated by Hunt.\textsuperscript{92} The defendants were convicted, and their convictions were affirmed by the Sixth Circuit based upon the intangible rights theory of mail fraud prosecutions.\textsuperscript{93}
The Supreme Court reversed the convictions.\textsuperscript{94} The Court stated that the Mail Fraud Act did not cover the loss of the intangible right of citizens to an honest government.\textsuperscript{95} In making its decision, the Court engaged in a lengthy historical analysis.\textsuperscript{96} It concluded that despite the lack of a solid historical record, it appeared that the legislature intended for the Mail Fraud Act to protect people from frauds which caused a deprivation of money or property.\textsuperscript{97} Looking to \textit{Durland v. United States}\textsuperscript{98} and the subsequent 1909 amendment to the Mail Fraud Act,\textsuperscript{99} the Court set out to interpret the wording of the amendment.\textsuperscript{100}
\begin{itemize}
\item \textsuperscript{88} \textit{Id.} at 360-61.
\item \textsuperscript{89} \textit{Id.} at 352-53.
\item \textsuperscript{90} \textit{Id.} at 352. Wombwell had held the workers' compensation policy of the state since 1971. \textit{Id.}
\item \textsuperscript{91} \textit{Id.}
\item \textsuperscript{92} \textit{Id.} at 353. One of those agencies was controlled by Hunt and co-defendant James E. Gray. \textit{Id.} Co-defendant Charles J. McNally passed himself off as the owner of the company, Seton Investments, Inc. \textit{Id.}
\item \textsuperscript{93} \textit{Id.} at 354-55. See United States v. Gray, 790 F.2d 1290 (6th Cir. 1986), \textit{rev'd}, 483 U.S. 350 (1987), for the original conviction of the \textit{McNally} defendants.
\item \textsuperscript{94} \textit{McNally}, 483 U.S. at 356.
\item \textsuperscript{95} \textit{Id.}
\item \textsuperscript{96} \textit{Id.} The Court began the analysis by looking at the comments of Representative Farnsworth back in 1870. \textit{Id.; see also} CONG. GLOBE, 41st Cong., 3d Sess. 35 (1870) (declaring that laws were necessary "to prevent the frauds which are mostly gotten up in the large cities . . . by thieves, forgers, and rascallions generally, for the purpose of deceiving and fleecing the innocent people in the country").
\item \textsuperscript{97} \textit{McNally}, 483 U.S. at 356.
\item \textsuperscript{98} 161 U.S. 306 (1896).
\item \textsuperscript{99} Act of March 4, 1909, ch. 321, sec. 215, 35 Stat. 1130 (current version at 18 U.S.C. § 1341 (1988)).
\item \textsuperscript{100} \textit{McNally}, 483 U.S. at 357-58; \textit{see also} Act of March 4, 1909, ch. 321, sec. 215, 35 Stat. 1130 (current version at 18 U.S.C. § 1341).
The Court said the phrases "schemes or artifices to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representation, or promises . . ." could be read conjunctively or disjunctively.\textsuperscript{101} Reaching back to its decision in \textit{Hammerschmidt v. United States},\textsuperscript{102} the Court sought to define what was meant by the term "defraud."\textsuperscript{103} The \textit{Hammerschmidt} Court said that the term "defraud" referred to "wronging one in his property rights by dishonest methods or schemes" and "usually signif[ied] the deprivation of something of value by trick, deceit, chicane or overreaching."\textsuperscript{104} The Court in \textit{McNally} felt that Congress, in drafting the 1909 amendment was acting consistently with this definition.\textsuperscript{105}
Faced with two interpretations of the Mail Fraud Act, the Court said it would adopt the harsher interpretation only if Congress had spoken in definite language.\textsuperscript{106} Applying this so-called rule of lenity,\textsuperscript{107} the Court held for the more lenient definition because it found the statute ambiguous as to whether it included the intangible rights doctrine.\textsuperscript{108} The Court left it to Congress to amend the law if it so chose.\textsuperscript{109}
The Court then applied this narrow construction of the statute to the jury instructions. In invalidating the intangible rights theory, the Court held that the only benefit the government received from the Mail Fraud Act was limited "to the Government's interests as property holder."\textsuperscript{110} The Court found that the government failed to show how this interest as a property holder was violated.\textsuperscript{111} It said that the jury instructions "[did] not [require the jury] to find that the
\begin{itemize}
\item \textsuperscript{101} \textit{McNally}, 483 U.S. at 357-58.
\item \textsuperscript{102} 265 U.S. 182 (1924).
\item \textsuperscript{103} \textit{McNally}, 483 U.S. at 358. \textit{Hammerschmidt} was an interpretation of the predecessor of 18 U.S.C. § 371, which made it a crime to conspire to defraud the United States. \textit{Hammerschmidt}, 265 U.S. at 183-84.
\item \textsuperscript{104} \textit{Hammerschmidt}, 265 U.S. at 188.
\item \textsuperscript{105} \textit{McNally}, 483 U.S. at 359.
\item \textsuperscript{106} \textit{Id.} at 360 (citing United States v. Bass, 404 U.S. 336, 347 (1971); United States v. Universal C.I.T. Credit Corp., 344 U.S. 218, 221-22 (1952)).
\item \textsuperscript{107} The rule of lenity holds that if the Court has to choose between two meanings of a statute, it will choose the meaning that results in the least harsh result or application. \textit{See} Bell v. United States, 349 U.S. 81, 83 (1955) ("When Congress leaves to the Judiciary the task of imputing to Congress an undeclared will, the ambiguity should be resolved in favor of lenity.").
\item \textsuperscript{108} \textit{McNally}, 483 U.S. at 360.
\item \textsuperscript{109} \textit{Id.}
\item \textsuperscript{110} \textit{Id.} at 358 n.8.
\item \textsuperscript{111} \textit{Id.} at 360.
Commonwealth itself was defrauded of any money or property" and was based solely an intangible rights theory.\textsuperscript{112} The Court then said that even if the defendants were properly charged, the government could not, and did not, show how the state of Kentucky lost money or property.\textsuperscript{113} The state was only deprived of the information that the defendants held an interest in one of the insurance agencies involved.\textsuperscript{114} Accordingly, the Mail Fraud Act did not apply because the government only proved a loss of intangible rights, and the convictions were overturned.\textsuperscript{115}
Justice Stevens replied with a critical dissent.\textsuperscript{116} Stevens concluded that under the Court's reasoning, many schemes would no longer fall under the Mail Fraud Act.\textsuperscript{117} In the fourth part of his dissent, however, Stevens suggested two ways the government could circumvent the Court's decision to prosecute some corrupt official whose use of the mails would result in some loss of money or property.\textsuperscript{118} First, the government could establish a loss of money when a government official violates his fiduciary duty because "the employer" (i.e., the people) pays the government official to act faithfully.\textsuperscript{119} An official who does not act in the public's behalf is taking the public's money.\textsuperscript{120} Second, the government could claim that an official was liable under agency theory, meaning the official would owe the government the proceeds of his scheme.\textsuperscript{121}
Comment and opinion on the decision was split, as the Court overturned the law of all twelve circuits.\textsuperscript{122} Some commentators suggested that the Supreme Court rejected the theory because it was concerned with federalism and how the federal government enforced
\begin{itemize}
\item \textsuperscript{112} \textit{Id.}
\item \textsuperscript{113} \textit{Id.}
\item \textsuperscript{114} \textit{Id.} at 361 n.9.
\item \textsuperscript{115} \textit{Id.} at 361.
\item \textsuperscript{116} \textit{Id.} at 362 (Stevens, J., dissenting). The dissent engaged in its own review of the history of the mail fraud statute, including cases such as \textit{Badders}, which supported a broad construction of the law. \textit{Id.} at 366; see \textit{Badders v. United States}, 240 U.S. 391 (1916). The dissent firmly aligned itself with the reasoning in \textit{Shushan, States}, and their progeny, fully supporting the continued existence of the intangible rights theory. \textit{McNally}, 483 U.S. at 362 n.1 (Stevens, J., dissenting).
\item \textsuperscript{117} \textit{McNally}, 483 U.S. at 377 (Stevens, J., dissenting).
\item \textsuperscript{118} \textit{Id.}
\item \textsuperscript{119} \textit{Id.} at 377 n.10.
\item \textsuperscript{120} \textit{Id.}
\item \textsuperscript{121} \textit{Id.}
\item \textsuperscript{122} See \textit{Ward v. United States}, 845 F.2d 1459, 1460 (7th Cir. 1988) (describing \textit{McNally} as "a stunning setback for the [Justice] Department").
the Mail Fraud Act.\textsuperscript{123} Other commentators posited that the Court wanted to force government prosecutors “to clearly identify the victim, and to define, in economic terms, what he or she stood to lose and what the defendant stood to gain.”\textsuperscript{124} Opponents felt the Court was incorrect in ignoring the long-standing doctrine of intangible rights.\textsuperscript{125} Supporters, on the other hand, did not see \textit{McNally} as being harmful, as most frauds involved a deprivation of money or property.\textsuperscript{126}
Throughout the statute’s history, courts continually expanded the scope of the Mail Fraud Act. Under the intangible rights theory, federal prosecutors were able to clamp down on corruption in state and local government.\textsuperscript{127} The \textit{McNally} decision, however, diminished the ability of prosecutors to maintain such prosecutions and served to invalidate prior convictions under the intangible rights theory.\textsuperscript{128}
\textbf{C. The Carpenter Decision}
Whether or not due to this public comment, the Supreme Court, during the same term, subsequently re-expanded the reach of the Mail Fraud Act with its decision in \textit{Carpenter v. United States}.\textsuperscript{129} The Court in \textit{Carpenter} held that the Mail Fraud Act applied to intangible \textit{property} rights as well as to tangible property rights.\textsuperscript{130} The Court’s decision in the case, however, did \textit{not} alter the prior decision in \textit{McNally}, which removed intangible nonproperty rights from the reach of the statute.
\textsuperscript{123} Ellen Berkowitz, Note, \textit{The Rise and Fall of the Right to Honest Government: Prosecuting Public Corruption After McNally v. United States}, 22 Loy. L.A. L. Rev. 325, 371-76 (1988). The commentators’ concern was that the mail fraud statute was infringing on areas traditionally left to the states and that the mail fraud statute was being used to do more than police the mails. \textit{Id.}
\textsuperscript{124} Craig M. Bradley, Foreword: \textit{Mail Fraud After McNally and Carpenter: The Essence of Fraud}, 79 J. Crim. L. & Criminology 573, 595 (1988).
\textsuperscript{125} William J. Hathaway, Recent Decision, 26 Duq. L. Rev. 809, 825 (1988).
\textsuperscript{126} Donna Metcalfe Ducey, Note, \textit{McNally v. United States: The Demise of the Intangible Rights Doctrine}, 66 N.C. L. Rev. 1035, 1049 (1988) (concluding that the effects of the elimination of the intangible rights doctrine are speculative).
\textsuperscript{127} See Hearing, supra note 86.
\textsuperscript{128} \textit{Id.} at 109. In 1988, the Justice Department estimated that 186 convictions would be overturned.
\textsuperscript{129} 484 U.S. 19 (1987).
\textsuperscript{130} \textit{Id.} at 25. While intangible rights involve a person’s right to honest dealings, usually with the government, property rights are not intangible rights. However, property itself may be tangible or intangible. \textit{Id.}
The defendants in *Carpenter* were a reporter for the *Wall Street Journal*, the reporter’s roommate, who was a stockbroker, and one of his roommate’s clients.\(^{131}\) The reporter, R. Foster Winans, wrote for the *Wall Street Journal*’s “Heard on the Street” column.\(^{132}\) The newspaper regarded the information procured for the column as confidential until publication.\(^{133}\) The column was known to affect the price of stocks which it featured.\(^{134}\) The defendants sought to take advantage of this effect. Winans provided his co-conspirators with information disclosing which stocks the *Wall Street Journal* would feature in upcoming editions.\(^{135}\)
Meanwhile, the stockbroker’s employer noticed a pattern in that broker’s trading which coincided with the appearance of stocks in the column, and this led to an investigation by the Securities and Exchange Commission (SEC).\(^{136}\) The SEC’s inquiries led to squabbling among the conspirators, and Winans and his roommate, Carpenter, confessed to the SEC.\(^{137}\) The defendants were charged with mail fraud based upon their use of the confidential information.\(^{138}\) The district court convicted the defendants, and the appellate court upheld the convictions.\(^{139}\)
On appeal to the Supreme Court, the defendants argued that the use of the *Wall Street Journal*’s confidential information deprived the victim only of an intangible right and was therefore not subject to the Mail Fraud Act.\(^{140}\) The Court rejected this argument.\(^{141}\)
The Court held that because confidential business information was found to be a long-recognized intangible property right,\(^{142}\) the entity which procured such information had an exclusive right to benefit from it.\(^{143}\) The defendants’ use of the information thus deprived the *Wall Street Journal* of both the right to control that in-
\(^{131}\) *Id.* at 22.
\(^{132}\) *Id.*
\(^{133}\) *Id.* at 23.
\(^{134}\) *Id.* at 22.
\(^{135}\) *Id.* at 23.
\(^{136}\) *Id.*
\(^{137}\) *Id.*
\(^{138}\) *Id.* at 24.
\(^{139}\) *Id.*
\(^{140}\) *Id.* at 25.
\(^{141}\) *Id.*
\(^{142}\) *Id.* at 26 (citing *Ruckelshaus v. Monsanto Co.*, 467 U.S. 986, 1001-04 (1984)). According to the *Carpenter* Court, the Court in *Ruckelshaus* looked to common law sources “such as state law” to determine what constitutes property. *Id.*
\(^{143}\) *Id.*
formation and the right to decide how it would be used.\textsuperscript{144} The Court said this deprivation went beyond the loss of the honest and faithful service of an employee, which would have been a mere intangible rights charge.\textsuperscript{145} The Court held that no loss of money needed to be shown to constitute the loss or deprivation of an intangible property right, and that it was enough that the \textit{Wall Street Journal} lost exclusive use of the information.\textsuperscript{146}
The \textit{Carpenter} holding served to clarify the earlier \textit{McNally} decision. After \textit{McNally}, and until Congress acted to amend the statute, the intangible rights theory was no longer in the arsenal of federal prosecutors. Prosecutors were required to show a loss of property by the victim to obtain a mail fraud conviction. After \textit{Carpenter}, however, the property no longer had to be in a tangible form because the Court recognized that intangible items, such as information, can be classified as property.\textsuperscript{147}
\textbf{D. The Aftermath: Overturning Convictions}
\textbf{I. Retroactivity}
\textit{McNally v. United States} gave new hope to defendants convicted of mail fraud under the intangible rights theory. The Supreme Court's ruling meant that those defendants did not commit a crime under the Mail Fraud Act.\textsuperscript{148} Accordingly, allowing convictions returned under the now invalid intangible rights theory to stand would be a "miscarriage of justice."\textsuperscript{149} The lower courts have applied \textit{Mc-
\begin{itemize}
\item \textsuperscript{144} \textit{Id.}
\item \textsuperscript{145} \textit{Id.} at 27.
\item \textsuperscript{146} \textit{Id.} The Court compared the defendants' crime to embezzlement, which is included in the concept of fraud, and affirmed the convictions. \textit{Id.} at 27-28; see \textit{Grin v. Shine}, 187 U.S. 181, 189 (1902) (defining embezzlement as "[t]he fraudulent appropriation to one's own use of the money or goods entrusted to one's care by another").
\item \textsuperscript{147} \textit{Carpenter} has been applied in a nonmail fraud context. \textit{See United States v. Fowler}, 932 F.2d 306, 310 (4th Cir. 1991). In \textit{Fowler}, government information was found to be intangible property for the purpose of a federal theft and embezzlement statute. \textit{Id.} at 309; \textit{see} 18 U.S.C. § 641 (1988). Section 641 makes it a felony for anyone who embezzles, steals, purloins, or knowingly converts to his use or the use of another, or without authority, sells, conveys or disposes of any record, voucher, money, or thing of value of the United States or of any department or agency thereof, or any property made or being made under contract for the United States or any department or agency thereof . . . . [providing the value of the property exceeds $100].
\item \textsuperscript{148} \textit{Ingber v. Enzor}, 841 F.2d 450, 453 (2d Cir. 1988).
\item \textsuperscript{149} \textit{United States v. Keane}, 852 F.2d 199, 205 (7th Cir. 1988), \textit{cert. denied}, 490 U.S. 1084 (1989); \textit{e.g.}, \textit{Davis v. United States}, 417 U.S. 333, 346 (1974) (holding that the petitioner's conNally retroactively to avoid such miscarriages of justice.\textsuperscript{150} The retroactive application of McNally was necessary since defendants convicted under the intangible rights theory had no opportunity to object to its use at either the trial or appellate levels because the theory was so entrenched in the courts.\textsuperscript{151}
Defendants convicted under the Mail Fraud Act before McNally have used one of two methods to have their convictions overturned: 1) a writ of coram nobis\textsuperscript{152} or 2) a writ of habeas corpus pursuant to 28 U.S.C. § 2255.\textsuperscript{153} Both procedures allow defendants to challenge
\textsuperscript{150} United States v. Shelton, 848 F.2d 1485, 1489 (10th Cir. 1988). The Tenth Circuit said that allowing a conviction under the intangible rights theory to stand would be improper because "the defendant [convicted under the intangible rights theory was] . . . not subject to trial on the charge [of mail fraud]." \textit{Id.}
\textsuperscript{151} \textit{Ingber}, 841 F.2d at 453. The courts have unanimously found that the McNally decision was fully retroactive. \textit{See, e.g.,} United States v. Osser, 864 F.2d 1056 (3d Cir. 1988) (ruling that a trial court lacked power to convict a defendant, for the proven activity must necessarily be retroactive); Magnuson v. United States, 861 F.2d 166 (7th Cir. 1988) (holding that McNally is to be applied retroactively); United States v. Keane, 852 F.2d 199 (7th Cir. 1988) (ruling that a failure to state an offense may be raised anytime to avoid a miscarriage of justice), \textit{cert. denied}, 490 U.S. 1084 (1989); United States v. Shelton, 848 F.2d 1485 (10th Cir. 1988) (finding that a nonconstitutional decision concerning the reach of a federal statute is retroactive); United States v. Ochs, 842 F.2d 515 (1st Cir. 1988) (ruling that courts must consider any supervening change in law after a judgment was entered); \textit{Ingber}, 841 F.2d 450 (stating that McNally must be applied retroactively because the trial court lacked the authority to convict or punish); United States v. Mandel, 672 F. Supp. 864 (D. Md. 1987) (holding that a conviction can be attacked on a § 2255 motion if the law had been changed since trial and appeal), \textit{aff'd}, 862 F.2d 1067 (4th Cir.), \textit{cert. denied}, 491 U.S. 906 (1989). Postconviction proceedings are possible due to McNally, but they take into account intangible property due to the Carpenter decision. The McNally decision also applies retroactively to defendants convicted under the federal wire fraud statute. United States v. Gimbel, 830 F.2d 621, 627 (7th Cir. 1987); \textit{see} 18 U.S.C. § 1343 (1986).
\textsuperscript{152} The function of a writ of coram nobis is to bring attention of court to, and obtain relief from, errors of fact, such as a valid defense existing in facts of case, but which, without negligence on defendant's part, was not made, either through duress or fraud or excusable mistake, where facts did not appear on face of record, and were such as, if known in season, would have prevented rendition of the judgment questioned.
\textit{BLACK'S LAW DICTIONARY} 337 (6th ed. 1990) (citing People v. Tuthill, 198 P.2d 505, 506 (Cal. 1948)).
\textsuperscript{153} This statute reads in pertinent part:
A prisoner in custody under sentence of a court established by Act of Congress claiming the right to be released upon the ground that the sentence was imposed in violation of the Constitution or laws of the United States, or that the court was without jurisdiction to impose such sentence, or that the sentence was in excess of the maximum authorized by law, or is otherwise subject to collateral attack, may move the court which imposed the sentence to vacate, set aside or correct the sentence. . . . Unless the motion and the files and records of the case conclusively show that the prisoner is entitled to no relief, the court shall cause notice thereof to be served upon the United States attorney, grant a prompt hearing thereon, determine the issues and
their convictions in the court where they were sentenced.\textsuperscript{154} The two procedures differ, however, for a writ of habeas corpus requires that the petitioner be in custody, while a writ of coram nobis is only available after the defendant has served his sentence.\textsuperscript{155} Otherwise, a writ of coram nobis provides the same general relief as a writ of habeas corpus.\textsuperscript{156}
2. \textit{Coram Nobis}
A writ of coram nobis allows a defendant who has served his sentence to have his conviction expunged because of a fundamental error which led to his being found guilty.\textsuperscript{157} The improper interpretation of a statute is a fundamental error.\textsuperscript{158} This fundamental error in interpreting the scope of the Mail Fraud Act had the effect of allowing defendants convicted before \textit{McNally} under the improper intangible rights theory to petition the court to reverse their convictions.\textsuperscript{159}
Generally, to obtain a reversal under coram nobis, a defendant must show: "(1) a more usual remedy is not available; (2) valid reasons exist for not attacking the conviction earlier; (3) adverse consequences exist from the conviction sufficient to satisfy the case
\begin{quote}
make findings of fact and conclusions of law with respect thereto. If the court finds that the judgment was rendered without jurisdiction, or that the sentence imposed was not authorized by law or otherwise open to collateral attack, or that there has been such a denial or infringement of the constitutional rights of the prisoner as to render the judgment vulnerable to collateral attack, the court shall vacate and set the judgment aside and shall discharge the prisoner or resentence him or grant a new trial or correct the sentence as may appear appropriate.
\end{quote}
\textsuperscript{28} U.S.C. § 2255 (1988).
\textsuperscript{154}. \textit{Yackle}, supra note 11, §§ 36, 166.
\textsuperscript{155}. \textit{Id.} § 36.
\textsuperscript{156}. United States v. Bonansinga, 855 F.2d 476, 478 (7th Cir. 1988).
\textsuperscript{157}. United States v. Morgan, 346 U.S. 502, 514 (1954).
\textsuperscript{158}. If the statute had been interpreted properly, the defendant would not have been convicted. \textit{Yackle}, supra note 11, § 164; see also United States v. Mandel, 862 F.2d 1067, 1075 (4th Cir.) ("Without \textit{coram nobis} relief, the petitioners, who contested their guilt at each stage of the proceeding, would face the remainder of their lives branded as criminals simply because their federal trial occurred before rather than after the Supreme Court's ruling in \textit{McNally}."), cert. denied, 491 U.S. 906 (1989).
\textsuperscript{159}. \textit{Mandel}, 862 F.2d at 1075. These defendants were not given the opportunity to object to the intangible rights theory. This is because, prior to \textit{McNally}, it was the established precedent in all of the circuit courts. \textit{See} Ingber v. Enzor, 841 F.2d 450, 454 (2d Cir.1988) (finding it unfair to penalize the defendant for failing to challenge entrenched precedent); see also United States v. Osser, 864 F.2d 1056, 1061 (3d Cir. 1988) (holding that a defendant who was convicted in 1972 had the opportunity to challenge the intangible rights theory, which was not yet precedent at the time of that conviction).
or controversy requirement of Article III; and (4) the error is of the most fundamental character."\textsuperscript{160}
\textit{United States v. Walgren}\textsuperscript{161} shows how this test applies to a mail fraud conviction which was based on the intangible rights theory. The defendant in \textit{Walgren} was a Washington state legislator who mailed a falsified campaign disclosure form.\textsuperscript{162} He was convicted and served his sentence.\textsuperscript{163} Subsequently, he filed a petition for a writ of coram nobis, claiming the government's only ground for charging him with mail fraud was under the now invalid theory of intangible rights.\textsuperscript{164}
The court looked at the four factors for granting a writ of coram nobis: 1) because the conviction was handed down prior to \textit{McNally}, the court found that the defendant had no reason to attack the conviction at trial or on appeal;\textsuperscript{165} 2) the defendant was subject to the adverse consequence of larger potential sentences for convictions in the future;\textsuperscript{166} 3) the conviction was based on a fundamental error, the improper interpretation of a statute;\textsuperscript{167} and 4) the defendant had no other relief available.\textsuperscript{168} The court vacated the conviction.\textsuperscript{169} The test to satisfy a writ of coram nobis is not difficult to meet, and, once met, the previous conviction is overturned.
3. \textit{Habeas Corpus Under Section 2255}
A pre-\textit{McNally} mail or wire fraud conviction can also be challenged by a writ of habeas corpus. The habeas corpus statute, 28 U.S.C. § 2255, applies to defendants whether they were found guilty by a jury or entered a plea of guilty.\textsuperscript{170} A defendant must be
\begin{itemize}
\item \textsuperscript{160} Hirabayashi v. United States, 828 F.2d 591, 604 (9th Cir. 1987). The adverse consequences must be more than the effect of having to spend time in prison. \textit{Osser}, 864 F.2d at 1061. For example, the loss of the right to vote or the possibility of more severe sentences for future convictions are consequences that will support a writ of coram nobis. \textit{United States v. Keane}, 852 F.2d 199, 203 (7th Cir. 1988), \textit{cert. denied}, 490 U.S. 1084 (1989).
\item \textsuperscript{161} 885 F.2d 1417 (9th Cir. 1989).
\item \textsuperscript{162} \textit{Id.} at 1419. The defendant did not report that he had purchased a news clipping service. He did not know he bought the service from a government agent. \textit{Id.}
\item \textsuperscript{163} \textit{Id.}
\item \textsuperscript{164} \textit{Id.} at 1420.
\item \textsuperscript{165} \textit{Id.} at 1421.
\item \textsuperscript{166} \textit{Id.} at 1422.
\item \textsuperscript{167} \textit{Id.} at 1423-24; see \textit{supra} notes 157-59 and accompanying text (discussing misinterpretation as a fundamental error).
\item \textsuperscript{168} \textit{Walgren}, 885 F.2d at 1423-24.
\item \textsuperscript{169} \textit{Id.} at 1424.
\item \textsuperscript{170} Williams v. United States, 805 F.2d 1301, 1306 (7th Cir. 1986), \textit{cert. denied}, 481 U.S.
in custody, however, to get a mail fraud conviction overturned through a writ of habeas corpus.\textsuperscript{171}
Relief under section 2255 does not take the place of a timely appeal.\textsuperscript{172} Under \textit{McNally}, this rule does not present a problem; petitioners did not have a chance to challenge the use of the intangible rights theory because at the time it was acceptable grounds for a mail fraud conviction.\textsuperscript{173}
\textbf{4. How the Court Analyzes Petitions Under Coram Nobis and Habeas Corpus}
In a postconviction proceeding, the fundamental question is whether the defendant was convicted for a crime under the Mail Fraud Act as interpreted by \textit{McNally}.\textsuperscript{174} During these proceedings, the court will look at the indictment and the jury instructions.\textsuperscript{175} First, the indictment must charge an act that constitutes a crime under the relevant statute.\textsuperscript{176} Next, the government must present
\textsuperscript{171} 28 U.S.C. § 2255 (1987). The petition for habeas corpus must be directed to the sentencing court. \textit{Yackle, supra} note 11, at 153-54. Habeas corpus can be used to attack convictions not based on criminal conduct. \textit{Id.} at 162; see, e.g., Davis v. United States, 417 U.S. 333 (1974). A court will grant the writ if upholding the conviction would result in a miscarriage of justice. \textit{Id.} at 346.
\textsuperscript{172} Johnson v. United States, 838 F.2d 201, 202 (7th Cir. 1988).
\textsuperscript{173} But see United States v. Osser, 864 F.2d 1056 (3d Cir. 1988) (holding that a defendant prosecuted in 1972, before intangible rights was an established theory in the jurisdiction, could not invoke \textit{McNally} to have his conviction overturned). If a pre-\textit{McNally} mail fraud defendant is seeking habeas corpus relief, but never made a direct appeal, he must satisfy the cause and prejudice standard. See, e.g., United States v. Frady, 456 U.S. 152 (1982) (finding that cause and actual prejudice is the proper standard in § 2255 cases); Theodorou v. United States, 887 F.2d 1336, 1339 (7th Cir. 1989) (stating that § 2255 does not take the place of a direct appeal); Williams, 805 F.2d at 1306 (ruling that a defendant who pled guilty can use the cause and prejudice standard). To satisfy the standard, the defendant "must show both (1) good cause for his failure to pursue an issue on direct appeal and (2) actual prejudice stemming from the alleged constitutional violation"; see Theodorou, 887 F.2d at 1340; see also Messinger v. United States, 872 F.2d 217 (7th Cir. 1989) (finding that the defendant was not prejudiced by use of the intangible rights theory, as the indictment and jury instructions also alleged a deprivation of a property right); United States v. Griffin, 765 F.2d 677, 682 (7th Cir. 1985) (holding that both elements of the cause and prejudice standard must be satisfied).
\textsuperscript{174} See \textit{Yackle, supra} note 11, at 166 (concluding that the function of coram nobis is the same as that of § 2255).
\textsuperscript{175} See, e.g., United States v. Gimbel, 830 F.2d 621, 627 (7th Cir. 1987) (demonstrating a court's review of the indictment and the jury's required findings); see United States v. Walgren, 885 F.2d 1417 (9th Cir. 1989); United States v. Osser, 864 F.2d 1056 (3d Cir. 1988); United States v. Mandel, 862 F.2d 1067 (4th Cir.), \textit{cert. denied}, 491 U.S. 906 (1989); Ingber v. Enzor, 841 F.2d 450 (2d Cir. 1988).
\textsuperscript{176} Gimbel, 830 F.2d at 624 ("In order to be valid, an indictment must allege that the defendant performed acts which, if proven, constituted a violation of the law that he or she is charged with violating.").
facts that show that the charge was based upon the deprivation of money or a property right.\textsuperscript{177} These general principles also apply to the jury instructions. Instructions which state only an intangible rights theory are improper under \textit{McNally}.\textsuperscript{178} Furthermore, the government cannot seek to uphold the conviction on a theory different than that alleged in the indictment or given in jury instructions.\textsuperscript{179}
In postconviction proceedings, the courts do not look only at the literal language of the instructions or the indictment.\textsuperscript{180} Instead, the courts will look to the substantive allegations to "determine whether the conduct alleged and necessarily found to have occurred by the jury constituted an offense."\textsuperscript{181} If the indictment has multiple allegations, there is the risk that it will be impossible for the court to determine what theory the jury followed.\textsuperscript{182} In this situation, the court must decide whether the jury convicted the defendant on all the facts necessary to be proved under the proper theory.\textsuperscript{183}
Because many indictments and jury instructions contain multiple allegations, the courts developed the "easily separable" theory.\textsuperscript{184} In such a case, the government must show there was a single scheme
\textsuperscript{177} Ward v. United States, 845 F.2d 1459, 1462 (7th Cir. 1988).
\textsuperscript{178} United States v. Wellman, 830 F.2d 1453, 1463 (7th Cir. 1987) (stating that \textit{McNally} prescribes more than a rule of pleading).
\textsuperscript{179} United States v. Italiano (Italiano I), 837 F.2d 1480, 1486 (11th Cir. 1988). The government is not allowed to argue a different theory on appeal because the indictment must give a defendant warning of what he is being charged with, or else he will not be able to put on a proper defense. United States v. Zauber, 857 F.2d 137, 143 (3d Cir. 1988), \textit{cert. denied}, 489 U.S. 1066 (1989), \textit{and cert. denied}, Scotto v. United States, 489 U.S. 1066 (1989); \textit{see} United States v. Baldinger, 838 F.2d 176, 181 (6th Cir. 1988) (holding that a defect in an indictment charging the defendant polygraph examiner with mail fraud and alleging invalid intangible rights theory was fundamental and required reversal of a mail fraud conviction).
\textsuperscript{180} \textit{Wellman}, 830 F.2d at 1462.
\textsuperscript{181} \textit{Id}. In the \textit{Wellman} case, the indictment and jury instructions alleged both a deprivation of property rights \textit{and} a deprivation of intangible rights. \textit{Id}. at 1463. The court found that both allegations involved the same conduct, and one scheme could not be proved without proving the other. \textit{Id}. Because the government proved facts that showed a deprivation of property consistent with the jury instructions, the court upheld the conviction. \textit{Id}. at 1463, 1465. However, if there is no allegation in the indictment or jury instructions charging a deprivation of property rights, the court will vacate the conviction. United States v. Covino, 837 F.2d 65, 70 (2d Cir. 1988).
\textsuperscript{182} United States v. Runnels, 833 F.2d 1183, 1189 (6th Cir. 1987).
\textsuperscript{183} \textit{Id}.
\textsuperscript{184} United States v. Eckhardt, 843 F.2d 989, 997 (7th Cir.) (ruling that allegations which are insufficient to state an offense are mere surplusage (citing United States v. Cooke, 833 F.2d 109 (7th Cir. 1987))), \textit{cert. denied}, 488 U.S. 839 (1988); United States v. Cooke, 833 F.2d 109 (7th Cir. 1987) (finding that the charges in an indictment were easily separable and did not prejudice the jury). Under the theory, if the fraud scheme has multiple objectives and only some objectives invoke the intangible rights theory, the remaining charges will be sufficient to sustain a conviction if they are "easily separable" from the intangible rights charges, which are considered "mere surplusage." \textit{Eckhardt}, 843 F.2d at 997.
that had the dual effect of depriving a victim of property rights and intangible rights.\textsuperscript{185} As long as only one scheme is charged, the insufficient charges do not infect the remainder of the indictment or jury instructions that dealt with the deprivation of monetary or property rights.\textsuperscript{186} The easily separable analysis is also applied to the charges when the defendant enters a guilty plea.\textsuperscript{187}
\section*{E. Postconviction Proceedings Generally}
Through these postconviction proceedings, courts have busily defined the boundaries of the \textit{McNally} decision beyond the requirement that the government must prove a deprivation of money or property rights. All courts hold that the government is not required to show that the defendants benefited from the scheme.\textsuperscript{188} Courts also have not required that the victim actually lose money as long as the scheme was aimed at defrauding the victim of money or property.\textsuperscript{189} Thus, to determine if an alleged scheme involved only intangible rights, the courts look to see if there was any “concrete economic harm,” that is, if the victim was in danger of losing money or property.\textsuperscript{190}
\begin{footnotesize}
\begin{enumerate}
\item United States v. Bonansinga, 855 F.2d 476, 478-79 (7th Cir. 1988).
\item Cooke, 833 F.2d at 110 (viewing the allegations of other objectives as surplusage); see United States v. Folak, 865 F.2d 110, 113 (7th Cir. 1988) (“The presence of some language referring to an intangible rights theory is not always fatal to the indictment.”). Accordingly, to avoid the possibility that the jury convicted the defendant solely on the intangible rights theory, it is important that the charges all stem from the same scheme. Messinger v. United States, 872 F.2d 217, 222 (7th Cir. 1989); see also United States v. Bonansinga, 855 F.2d 476 (7th Cir. 1988) (stating that the scheme had a dual effect of depriving the public of both a property right and an intangible right and the government could not prove one theory without proving the other).
\item Eckhardt, 843 F.2d at 997-98. In \textit{Eckhardt}, the defendant pled guilty to four charges stated in his indictment. \textit{Id.} at 991. The first three alleged deprivation of intangible rights, while the fourth alleged a deprivation of money and property. \textit{Id.} at 996-97. The defendant pled guilty to all charges, and the court found the charges easily separable, upholding the defendant’s conviction. \textit{Id.} at 997-98.
\item See, e.g., Lombardo v. United States, 865 F.2d 155, 159 (7th Cir.) (“\textit{McNally} did not posit the further requirement that the scheme to obtain money or property by fraudulent means result in a benefit to the schemers.”), cert. denied, 491 U.S. 905 (1989); see also United States v. Barber, 881 F.2d 345, 349 (7th Cir. 1989) (holding that the government does not have to show that the victim was actually defrauded of property), cert. denied, 495 U.S. 922 (1990).
\item See, e.g., United States v. Cosentino, 869 F.2d 301, 307 (7th Cir.) (finding that it is not necessary that a plea actually result in financial loss or that the victim profit from the scheme as long as the defendant intended to defraud him of some of that money), cert. denied, 492 U.S. 908 (1989); see United States v. Dial, 757 F.2d 163 (7th Cir.) (stating that the plan was aimed at the fraudulent deprivation of money or property), cert. denied, 474 U.S. 838 (1985).
\item See United States v. Asher, 854 F.2d 1483, 1494 (3d Cir. 1988) (ruling that the bottom line of the scheme must cause the victim monetary or property losses), cert. denied, 488 U.S. 1029 (1989); United States v. Wellman, 830 F.2d 1453, 1462 (7th Cir. 1987) (concluding that the
\end{enumerate}
\end{footnotesize}
Cases have arisen, however, in which the property analysis is difficult to apply to the facts.\textsuperscript{191} The government must show that the indictment alleged an actual deprivation of property.\textsuperscript{192} There are three areas in particular that have undergone judicial scrutiny: 1) schemes to deprive a victim of material information; 2) schemes
\textsuperscript{191} A deprivation of intangible rights ordinarily results in no concrete economic harm). A deprivation of property has been found in a case where the defendant falsified an application to obtain a permit to drive a school bus. United States v. Granberry, 908 F.2d 278 (8th Cir. 1990), \textit{cert. denied}, 111 S. Ct. 2024 (1991). The school district said they would not have offered the defendant the job if he had filled out the application truthfully. \textit{Id.} at 278. The court said that an employment contract involves the right to control money and therefore a sufficient property interest was found to sustain a mail fraud conviction. \textit{Id.} at 280-81; see also Lombardo, 865 F.2d at 159-60 (finding that a scheme of influencing legislators and competitors to deprive the Teamsters Union of the highest bid on property the union was selling was a mail fraud violation).
\textsuperscript{192} For example, courts have ruled differently on whether the government has a property interest in a cash bail bond. See Ward v. United States, 845 F.2d 1459 (7th Cir. 1988) (finding that because the defendant owed no fines for his drunk driving conviction, the state's security interest, and therefore property interest, had lapsed). But see Messinger v. United States, 872 F.2d 217 (7th Cir. 1988) (holding that acceleration of a bond refund by a judge deprived the state of its security interest in the cash bail bond).
\textsuperscript{193} See United States v. Gimbel, 830 F.2d 621 (7th Cir. 1987). In \textit{Gimbel}, the defendant was trying to transfer drug money to Swiss bank accounts. \textit{Id.} at 623. He did it by withdrawing the money in amounts of $9,990; this avoided federal currency reporting requirements, which required banks to file reports for withdrawals in excess of $10,000. \textit{Id.} The bank inadvertently filed a report, and the defendant was caught. \textit{Id.} The government argued that this scheme deprived the government of property because it was done to avoid paying taxes on the money. \textit{Id.} at 626. Because the indictment did not mention these tax consequences, the court said that there was no allegation of a deprivation of property, and it reversed the defendant's conviction. \textit{Id.} at 627; see also United States v. Herron, 825 F.2d 50 (5th Cir. 1987) (holding that there was no violation of the wire fraud statute absent allegations that the defendants conspired to deprive the United States of income taxes).
As long as the indictment mentions the lost money, courts have ruled that the government has an interest in uncollected tax revenues. See United States v. Bucey, 876 F.2d 1297, 1310 (7th Cir.) (ruling that an allegation that a money laundering scheme deprived the government of tax revenue satisfied \textit{McNally}'s "money or property" requirement), \textit{cert. denied}, 493 U.S. 1004 (1989); United States v. Doc, 867 F.2d 986, 989 (7th Cir. 1989) (holding that the granting of improper real estate assessments deprived the government of money); United States v. Regan, 699 F. Supp. 36, 40 (S.D.N.Y. 1988) (finding that a scheme involving fraud in securities trading satisfied the \textit{McNally} requirement). The court in \textit{Regan} reasoned:
The alleged purpose of the [defendant's] transactions was to defraud the [U.S.] government of tax revenue. The defendants argue that this cannot be characterized as a scheme to defraud the government of property, because the government's property interest in tax revenue does not vest until a tax deficiency is declared. Whether the government had a vested property interest during the life of the scheme is irrelevant. If the alleged scheme had been brought to fruition, it would have fraudulently deprived the government of tax receipts. That was the alleged purpose of the scheme. Surely that putative monetary detriment satisfies the \textit{McNally} requirement.
\textit{Id.; see also} United States v. Folak, 865 F.2d 110 (7th Cir. 1988) (declaring that the government has a property interest in the proceeds from a debtor's auction).
where the defendant receives a bribe or kickback; and 3) schemes to obtain a license or franchise.
1. Disclosure of Material Information
Many intangible rights cases involve a defendant depriving the government or private citizens of material information.\textsuperscript{193} While courts may find that the indictment implied a loss of property,\textsuperscript{194} they will look at the whole indictment before making such a determination.\textsuperscript{195} In particular, after \textit{Carpenter v. United States},\textsuperscript{196} the government has had an easier time sustaining convictions in cases where the defendants revealed confidential business information.\textsuperscript{197} When a defendant misuses confidential business information, the government does not have to show quantifiable monetary harm to the business.\textsuperscript{198} The harm to a business's reputation is enough for a court to uphold a conviction.\textsuperscript{199}
Another way to assess confidential business information is to determine whether it constitutes part of the victim's stock-in-trade.
\textsuperscript{193} See, e.g., United States v. Matt, 838 F.2d 1356 (5th Cir.) (involving the defrauding of an employer by filing false sales reports and selling promotional items for personal gain), cert. denied, 486 U.S. 1035 (1988); see also United States v. Fagan, 821 F.2d 1002, 1009 (5th Cir. 1987) (finding that where a defendant created a phony corporation to hide kickbacks from his employer, a mail fraud violation occurred), cert. denied, 484 U.S. 1005 (1988).
\textsuperscript{194} Matt, 838 F.2d at 1358-59. Here, the defendant sold his employer's promotional cigarettes for his own economic gain, covering up his fraud by mailing in false sales reports. \textit{Id.} at 1357. The court found this to be "economically material information" and said the government proved that the employer did lose money. \textit{Id.} at 1357-58.
\textsuperscript{195} See United States v. Huls, 841 F.2d 109 (5th Cir. 1988). In \textit{Huls}, the court found the indictment alleged a deprivation of "material information," but prefaced this with a quote of the lower court stating that "[a] scheme to defraud need not contemplate loss of money or property to the victims." \textit{Id.} at 112. The court said that the term "material" did not refer to economic loss, and that the jury could, and in fact did, apply the term to nonproperty rights. \textit{Id.}
\textsuperscript{196} 484 U.S. 19 (1987). The actual postconviction proceedings still stem from the \textit{McNally} decision, limiting mail fraud convictions to those schemes leading to a deprivation of property.
\textsuperscript{197} See United States v. Diwan, 864 F.2d 715 (11th Cir.) (finding a violation where the defendant used a talent agency's client list to further a child pornography scheme), cert. denied, 492 U.S. 921 (1989); United States v. Grossman, 843 F.2d 78 (2d Cir. 1988) (ruling that a defendant who disseminated confidential information and shared profits with partners was guilty of mail fraud), cert. denied, 488 U.S. 1040 (1989).
\textsuperscript{198} In \textit{Diwan}, the defendants used a talent agency to obtain the names of young girls. 864 F.2d at 717. The defendants posed as filmmakers and convinced some of the girls' parents that they needed to take nude photographs of their children. \textit{Id.} While the court found no specific economic harm to the agency, it found that the victim was deprived of intangible property along with modeling services, photographs, and likenesses, and upheld the mail fraud conviction. \textit{Id.} at 719.
\textsuperscript{199} Grossman, 843 F.2d at 86. The \textit{Grossman} court reasoned that reputation had commercial value, as a firm can gain or lose clients based upon it. \textit{Id.}
This approach was developed in *United States v. Cherif*.\(^{200}\) The defendant in *Cherif* worked at the First National Bank of Chicago.\(^{201}\) After being informed of his termination, Cherif had his secretary falsify a document which allowed him to retain his key card.\(^{202}\) This allowed him access to the bank’s data entry department after business hours.\(^{203}\) The defendant subsequently used the keycard to break into files relating to business transactions, which included information on the finances and performances of the bank’s client companies.\(^{204}\) The bank required its employees, including Cherif, to sign an “integrity policy” in which employees agreed not to disclose this information.\(^{205}\) Cherif used this information to buy and sell stock.\(^{206}\) Eventually, the SEC and the FBI discovered the defendant’s actions and arrested him.\(^{207}\)
The defendant argued that he did not deprive the bank of property, and that, therefore, under *McNally* and *Carpenter*, he did not violate the Mail Fraud Act.\(^{208}\) The Seventh Circuit interpreted *Carpenter* as extending the statute’s reach to all forms of property — intangible as well as tangible — while foreclosing conviction for a deprivation of intangible rights.\(^{209}\) The question was whether the information the defendant obtained fit within the parameters of property as defined by *McNally* and *Carpenter*. The court found that the indictment did not allege a deprivation of intangible rights but, rather, of intangible property.\(^{210}\)
According to the defendant, the bank dealt in lending money and providing financial services, whereas the victim in *Carpenter* was in the business of publishing news and information.\(^{211}\) In this respect, the information in *Carpenter* was part of its stock-in-trade. Here, however, Cherif claimed that the information was not part of the
---
\(^{200}\) 943 F.2d 692 (7th Cir. 1991), cert. denied, 112 S. Ct. 1564 (1992).
\(^{201}\) *Id.* at 694.
\(^{202}\) *Id.*
\(^{203}\) *Id.*
\(^{204}\) *Id.*
\(^{205}\) *Id.*
\(^{206}\) *Id.* at 694-95. He also shared this information with his former fellow employees and his friends. *Id.* at 695.
\(^{207}\) *Id.* Apparently, Cherif’s former fellow employee figured “that a clear conscience, self preservation, or both were more important than friendship.” *Id.*
\(^{208}\) *Id.* at 697.
\(^{209}\) *Id.*
\(^{210}\) *Id.* at 698 (“[T]he evidence was sufficient to show Cherif schemed to obtain confidential information (that is, property).”).
\(^{211}\) *Id.* at 697.
bank's stock-in-trade and, thus, not the bank's property.\textsuperscript{212}
The court did not recognize this distinction.\textsuperscript{213} The Seventh Circuit ruled that the information was background used in developing the bank's stock-in-trade.\textsuperscript{214} The information was valuable to the bank because it was the equivalent of raw materials needed by the bank to provide financial services.\textsuperscript{215} The court thus held that the information was the bank's property and upheld Cherif's conviction.\textsuperscript{216}
\section*{2. Bribes and Kickbacks}
Some mail fraud defendants have been convicted for schemes involving bribes or kickbacks. The government has had less success sustaining the convictions for bribery schemes than those involving kickbacks.
In a typical bribery case, such as \textit{United States v. Holzer},\textsuperscript{217} the defendant was a government official who took money in exchange for ignoring a public duty. In these cases, the government has argued that the victim — the public who expects such duties to be performed — was entitled to the bribe money under the theory of constructive trust.\textsuperscript{218}
The First Circuit has criticized this theory, saying it is unfair to the defendant, as the constructive trust theory was never put to the jury.\textsuperscript{219} Furthermore, the Seventh Circuit has commented that the theory is particularly inapplicable when government officials were taking bribes, unless it can be shown that the government wanted
\begin{itemize}
\item \textsuperscript{212} \textit{Id.}
\item \textsuperscript{213} \textit{Id.}
\item \textsuperscript{214} \textit{Id.} ("It was a unique product and Cherif stole it.")
\item \textsuperscript{215} \textit{Id.} at 698 (stating that financial services were the bank's product).
\item \textsuperscript{216} \textit{Id.} at 698-99.
\item \textsuperscript{217} 840 F.2d 1343 (7th Cir.), \textit{cert. denied}, 486 U.S. 1035 (1988). There, a judge accepted bribes from lawyers who had cases before him and from persons who sought appointment as receivers. \textit{Id.} at 1345.
\item \textsuperscript{218} See United States v. Runnels, 833 F.2d 1183, 1188 (6th Cir. 1987) (holding that the victim was deprived of property, and that the bribe proceeds were held in constructive trust), \textit{vacated}, 877 F.2d 481 (6th Cir. 1989). A constructive trust is a
\begin{quote}
[t]rust created by operation of law against one who by actual or constructive fraud, by duress or by abuse of confidence, or by commission of wrong, or by any form of unconscionable conduct, or other questionable means, has obtained or holds legal right to property which he should not, in equity and good conscience, hold and enjoy.
\end{quote}
\textit{Black's Law Dictionary} 314 (6th ed. 1990).
\item \textsuperscript{219} See United States v. Ochs, 842 F.2d 515, 525-26 (1st Cir. 1988); see also United States v. Shelton, 848 F.2d 1485, 1491-92 (10th Cir. 1988) (overturning defendant's conviction because the defendant was not given the opportunity to defend against the constructive trust theory in court).
the official to take bribes so it could capture the proceeds under the constructive trust theory.\textsuperscript{220} Accordingly, the public/government has no property interest in bribes taken by public officials. Thus, the convictions would be overturned.
Unlike bribery cases, the government does not need to rely on the constructive trust theory when deciding mail fraud cases involving employees taking kickbacks.\textsuperscript{221} In kickback cases, it is uniformly held that if prices were raised for an employer to get the funds to pay the kickback, there has been a deprivation of property. In \textit{Ranke v. United States}, the defendant maintained that prices were not raised because he received kickbacks.\textsuperscript{222} The defendant, who procured subcontractors for his employer, a contractor, submitted extra work orders and raised a subcontractor’s bid in order to get a kickback.\textsuperscript{223} The Seventh Circuit held that if the extra work was not actually performed, then the contractor was obviously deprived of a property interest.\textsuperscript{224} Furthermore, if the extra work was performed, the defendant was still liable under \textit{McNally} because he deprived the contractor of the right to control how its money was spent.\textsuperscript{225} Since the government was able to show a deprivation of property, the defendant’s conviction was upheld.\textsuperscript{226}
\textsuperscript{220.} See Holzer, 840 F.2d at 1348. The Seventh Circuit noted the difference between an employee taking money intended for his employer and taking a bribe, where the money is never intended for the employer. \textit{Id.} at 1347. The court disagreed with the Sixth Circuit in \textit{Runnels} “on the question whether such principles can be used to save cases that had been brought and tried under the now-discredited ‘intangible rights’ theory.” \textit{Id.} The Seventh Circuit said the only situation in which a mail fraud/bribery conviction could be sustained is where the government had tried to recover the bribes and the defendant tried to conceal the payments, thereby depriving the government of a property interest. \textit{Id.} at 1348.
\textsuperscript{221.} See United States v. Shyres, 898 F.2d 647 (8th Cir.), \textit{cert. denied}, 498 U.S. 821 (1990); Ranke v. United States, 873 F.2d 1033 (7th Cir. 1989).
\textsuperscript{222.} \textit{Ranke}, 873 F.2d at 1038-39.
\textsuperscript{223.} \textit{Id.} at 1039.
\textsuperscript{224.} \textit{Id.}
\textsuperscript{225.} \textit{Id.} In \textit{Ranke}, the contractor only thought it was paying for the work performed and did not realize that the defendant was taking a percentage of the payments. \textit{Id.; see Shyres}, 898 F.2d at 652 (upholding a conviction for a scheme involving false invoices designed to get Anheuser-Busch to pay for work that had not been done); United States v. Kerkman, 866 F.2d 877 (6th Cir.) (sustaining a mail fraud conviction for a kickback scheme to obtain a government contract), \textit{cert. denied}, 493 U.S. 828 (1989).
\textsuperscript{226.} \textit{Ranke}, 873 F.2d at 1040.
3. Licenses and Franchises
a. Licenses
Many defendants with convictions based on schemes involving licenses and franchises have also challenged these convictions under McNally. The courts, however, do not agree as to whether a license constitutes a government property interest under McNally.\textsuperscript{227}
The Seventh Circuit, for example, in Frank v. United States, found that a license constituted a property right.\textsuperscript{228} In Frank, the defendant attorney tried to prevent a drunk driving charge from appearing on his client's record.\textsuperscript{229} Upon a drunk driving conviction, police normally forward the driver's license to the Department of Motor Vehicles.\textsuperscript{230} To hinder this action, the defendant bribed the court bailiff to take his client's driver's license so it would not go to the Department of Motor Vehicles.\textsuperscript{231} The court said that because the license was part of the record the judge sends to the department, the department had a property interest in the license.\textsuperscript{232} The court reasoned that because the record was the state's property and the license was part of the record, the license was state property.\textsuperscript{233}
The Third Circuit, in United States v. Martinez,\textsuperscript{234} also found a license to be state property. In Martinez, the defendant sent fraudulent documents to the state of Pennsylvania in applying for a medical license.\textsuperscript{235} The court acknowledged that the medical license was
\textsuperscript{227} See United States v. Granberry, 908 F.2d 278 (8th Cir. 1990) (holding that a license to drive a school bus is not government property), cert. denied, 111 S. Ct. 2024 (1991); United States v. Kato, 878 F.2d 267 (9th Cir. 1989) (ruling that the government has no property interest in pilot licenses); Toulabi v. United States, 875 F.2d 122 (7th Cir. 1989) (finding that a license to drive a taxi was not city property); United States v. Murphy, 836 F.2d 248 (6th Cir.) (stating that bingo permits are not property of the government), cert. denied, 488 U.S. 924 (1988). Contra Frank v. United States, 914 F.2d 828 (7th Cir. 1990) (concluding that the government has a property interest in a driver's license); United States v. Martinez, 905 F.2d 709 (3d Cir.) (holding that a state medical license is government property), cert. denied, 498 U.S. 1017 (1990).
\textsuperscript{228} Frank, 914 F.2d at 833.
\textsuperscript{229} Id.
\textsuperscript{230} Id. at 832-33.
\textsuperscript{231} Id. at 832.
\textsuperscript{232} Id. at 833. In determining that the license was part of the record, the court looked to state law. \textit{Id}. The court contrasted this with the \textit{Murphy} decision, where the licenses in that case, bingo permits, were not classified as property by state law. \textit{Id}. at 833-34; see United States v. Murphy, 836 F.2d 248 (6th Cir.), cert. denied, 488 U.S. 924 (1988).
\textsuperscript{233} Frank, 914 F.2d at 833.
\textsuperscript{234} 905 F.2d 709 (3d Cir.), cert. denied, 498 U.S. 1017 (1990).
\textsuperscript{235} \textit{Id}. at 710-11. The defendant was accepted into a residence program at a Pennsylvania hospital, passed the relevant examinations, and received the license. \textit{Id}. He was subsequently charged with and convicted of a mail fraud scheme to defraud the state and its citizens by frauducertainly property to the licensee.\textsuperscript{236} Then, looking at \textit{United States v. Carpenter},\textsuperscript{237} the court said that the Supreme Court "found it significant that traditional property law recognizes the right of a corporation to enjoin the use of confidential information."\textsuperscript{238} By analogy, the court reasoned that since Pennsylvania could enjoin Martinez's medical license, the license must be state property.\textsuperscript{239} The court further noted that it did not matter that this property interest had no value to the issuer of the license.\textsuperscript{240} Concluding that the state lost its right to keep the medical licenses for itself and to issue them to persons who were properly qualified, the court held that the state involvement was not merely as a regulator, but also as a dispenser of a property interest which it was free to enjoin.\textsuperscript{241} Finding that the state was deprived of property, the court upheld the defendant's conviction.\textsuperscript{242}
Other courts do not view a state's interest as property.\textsuperscript{243} These courts generally adhere to the theory that a license is property of the recipient when issued, but it never constitutes property to the government.\textsuperscript{244} What the license represents to the government is a regulatory interest.\textsuperscript{245} According to one court, "[f]rom the government's perspective, . . . the license is a promise not to interfere rather than a sliver of property."\textsuperscript{246}
\textsuperscript{236} \textit{Id.} at 713.
\textsuperscript{237} 484 U.S. 19 (1987).
\textsuperscript{238} \textit{Martinez}, 905 F.2d at 713.
\textsuperscript{239} \textit{Id.}
\textsuperscript{240} \textit{Id.} "We see nothing in the Supreme Court's jurisprudence on the mail fraud statute that requires or supports this theory of incipient or embryonic property." \textit{Id.}
\textsuperscript{241} \textit{Id.} at 714. The court then looked at the latest amendment to the mail fraud law and said this was a sign that the mail fraud law was to be interpreted broadly. \textit{Id.} at 715; \textit{see} 18 U.S.C. § 1346 (1988) (codifying the amendment which reincorporates the intangible rights theory in mail fraud cases); \textit{infra} notes 294-97 and accompanying text (discussing this latest amendment).
\textsuperscript{242} \textit{Martinez}, 940 F.2d at 716.
\textsuperscript{243} \textit{See, e.g., United States v. Kato}, 878 F.2d 267, 269 (9th Cir. 1989) (holding that a pilot license issued by the FAA is not government property).
\textsuperscript{244} \textit{See id.; see also United States v. Murphy}, 836 F.2d 248, 253-54 (6th Cir.) (ruling that a license is merely a piece of property), \textit{cert. denied}, 488 U.S. 924 (1988).
\textsuperscript{245} \textit{See Toulabi v. United States}, 875 F.2d 122, 125 (7th Cir. 1989); \textit{see also United States v. Schwartz}, 924 F.2d 410 (2d Cir. 1991) (holding that export licenses were not government property but merely embodiments of government regulation); \textit{United States v. Evans}, 844 F.2d 36 (2d Cir. 1988) (holding that the government regulatory interest in arms sales did not constitute a property right).
\textsuperscript{246} \textit{Toulabi}, 875 F.2d at 125.
The Seventh Circuit, for instance, did not find a state property interest in a license in *Toulabi v. United States*.\(^{247}\) In *Toulabi*, the defendant sold the answers to the test that Chicago cab drivers were required to pass to get a taxi-cab license.\(^{248}\) The court said that the city did not have a property interest in the information on the tests, because this information was not confidential.\(^{249}\) The court distinguished *Carpenter* by pointing out that, unlike the victim in that case (the *Wall Street Journal*), the city of Chicago did not make money from selling tests.\(^{250}\) The license, in essence, only represented a legal entitlement to the government, not a property interest.\(^{251}\)
Similarly, cases involving other types of regulatory interests illustrate that such interests do not constitute property rights. For instance, both *United States v. Evans*\(^{252}\) and *United States v. Schwartz*\(^{253}\) involved defendants who gave false information to the government in order to facilitate military sales.\(^{254}\) Both courts found that the government’s right to control future arms sales was a regulatory right, not a property right.\(^{255}\)
In *Evans*, the court addressed “whether the right of the United States to veto sales of U.S.-made or licensed weapons by one foreign government to another is a property right for mail fraud purposes.”\(^{256}\) The defendants in *Evans* filed false end-user certificates\(^{257}\) to conceal the fact that they were selling arms to Iran.\(^{258}\) The government claimed deprivation of a property right due to its interest as a nonpossessor in the sale of the arms.\(^{259}\) The court said that unlike most nonpossessory interests, such as fee simple determinable and reversionary rights, the government, as a nonpossessor in this
---
\(^{247}\) 875 F.2d 122 (7th Cir. 1989).
\(^{248}\) *Id.* at 123.
\(^{249}\) *Id.* at 125. The court pointed out that all the information on the test could be found on a map and that the city did not have a property interest “in the fact that Cornell Avenue is east of Drexel Street . . . .” *Id.*
\(^{250}\) *Id.*
\(^{251}\) *Id.; see* United States v. Granberry, 908 F.2d 278, 279 (8th Cir. 1990) (finding that “licensing authorities have no property interest in licenses or permits”), *cert. denied*, 111 S. Ct. 2024 (1991).
\(^{252}\) 844 F.2d 36 (2d Cir. 1988).
\(^{253}\) 924 F.2d 410 (2d Cir. 1991).
\(^{254}\) *Id.* at 413; *Evans*, 844 F.2d at 37.
\(^{255}\) *Schwartz*, 924 F.2d at 417; *Evans*, 844 F.2d at 42.
\(^{256}\) *Evans*, 844 F.2d at 37.
\(^{257}\) End-user forms tell the government that the seller is shipping the arms. *Id.*
\(^{258}\) *Id.*
\(^{259}\) *Id.* at 41.
circumstance, never had such possessory interests in the arms.\textsuperscript{260}
The court ruled that the government's interest in the arms sales was in its capacity as a regulator, not as a property holder.\textsuperscript{261} If regulations did create a property interest, the court reasoned that taken to an extreme, the government would have a property interest in all other items it regulates, such as heroin and toxic waste.\textsuperscript{262} Since there was no property deprivation under \textit{McNally}, the court overturned the convictions.\textsuperscript{263}
Similarly, in \textit{United States v. Schwartz},\textsuperscript{264} the defendant lied to the government about who was buying the arms and where the arms were going.\textsuperscript{265} The \textit{Schwartz} court followed the reasoning in \textit{Evans}. The Second Circuit concluded that the fact that the government enforces its interest through the issuance of licenses does not turn its regulatory interest into a property interest.\textsuperscript{266} The court said that the government can regulate trade without the use of a license and that the license merely stands for the legally required government approval.\textsuperscript{267} The court further stated that any such approval will take the form of a writing and that it would be "incongruous" to determine what a property right is based on whether the piece of paper at issue is a license or merely a letter.\textsuperscript{268}
b. Franchises
A franchise resembles a license in that it is "a special privilege conferred by the government on an individual or individuals."\textsuperscript{269} Courts do not agree whether a franchise constitutes a property right under \textit{McNally}. In \textit{United States v. Italiano (Italiano II)},\textsuperscript{270} the Eleventh Circuit found that a cable television franchise is a property
\begin{itemize}
\item \textsuperscript{260} \textit{Id.}
\item \textsuperscript{261} \textit{Id.} at 42.
\item \textsuperscript{262} \textit{Id.}
\item \textsuperscript{263} \textit{Id.}
\item \textsuperscript{264} 924 F.2d 410 (2d Cir. 1991).
\item \textsuperscript{265} \textit{Id.} at 414-16.
\item \textsuperscript{266} \textit{Id.} at 417.
\item \textsuperscript{267} \textit{Id.}
\item \textsuperscript{268} \textit{Id.}
\item \textsuperscript{269} 37 C.J.S. \textit{Franchises} § 1 (1943). Courts disagree as to whether a franchise constitutes a property right. \textit{See United States v. Italiano (Italiano II)}, 894 F.2d 1280 (11th Cir.) (finding that a cable television franchise is a property right), \textit{cert. denied}, 498 U.S. 896 (1990). \textit{Contra United States v. Slay}, 717 F. Supp. 689 (E.D. Mo. 1989) (holding that a cable television franchise is not a property right).
\item \textsuperscript{270} 894 F.2d 1280 (11th Cir.), \textit{cert. denied}, 498 U.S. 896 (1990).
right to the government.\textsuperscript{271} It relied on the reasoning provided by the dissent in \textit{United States v. Italiano (Italiano I)}.\textsuperscript{272} The dissent in that case looked to the fact that local franchising was an acceptable means to regulate cable television.\textsuperscript{273} It considered the franchise a grant by the state of a privilege with respect to property.\textsuperscript{274} The dissent showed that Florida state law considered the franchise property, even though the law did not say whether the franchise was property in the state's hands.\textsuperscript{275} Based upon these propositions, the Eleventh Circuit eventually found that a cable television franchise constituted property for the purpose of the Mail Fraud Act.\textsuperscript{276}
However, other courts do not universally embrace this reasoning. For example, in \textit{United States v. Slay},\textsuperscript{277} the court found the government's interest in granting franchises to be purely regulatory.\textsuperscript{278} The court said:
[A] franchise, once granted by the government for valuable consideration and accepted by the individual or corporation, becomes property in the form of a binding contract between the government and the franchisee. . . . However, "until an ordinance granting a franchise is accepted, the franchise lacks the essential elements of a contract . . . [and] is a mere proposition."\textsuperscript{279}
Thus, the mere contemplation of a franchise contract did not amount to a property right according to the \textit{Slay} court.\textsuperscript{280} Furthermore, the city did not have to give any money to the defendant, so that aspect of the franchise agreement did not result in the depriva-
\textsuperscript{271} \textit{Id.} at 1285.
\textsuperscript{272} \textit{Id.} at 1285 n.6; see \textit{Italiano I}, 837 F.2d 1480 (11th Cir. 1988) (Owens, C.J., dissenting). The defendant's indictment was dismissed in the first Eleventh Circuit case because of \textit{McNally}. \textit{Id.} The second Eleventh Circuit case dealt with the defendant's indictment on new charges. \textit{Italiano II}, 894 F.2d 1280.
\textsuperscript{273} \textit{Italiano I}, 837 F.2d at 1492 (Owens, J., dissenting).
\textsuperscript{274} \textit{Id.} ("[L]ocal franchising processes are an acceptable means of regulating the cable television industry."); see 37 C.J.S. \textit{Franchises} § 8 (1943) (stating that a franchise is "a grant by the state").
\textsuperscript{275} \textit{Italiano I}, 837 F.2d 1480 (Owens, J., dissenting); see also Ruckelshaus v. Monsanto Co., 467 U.S. 986, 1001 (1984) ("In answering the question now, we are mindful of the basic axiom that '[p]roperty interests . . . are not created by the Constitution. Rather, they are created and their dimensions are defined by existing rules or understandings that stem from an independent source such as state law.'").
\textsuperscript{276} \textit{Italiano II}, 894 F.2d at 1285.
\textsuperscript{277} 717 F. Supp. 689 (E.D. Mo. 1989).
\textsuperscript{278} \textit{Id.} at 692.
\textsuperscript{279} \textit{Id.} at 693 (citing 12 \textsc{Eugene McQuillin}, \textsc{Municipal Corporations} § 34.06, at 23 (3d ed. 1986)); see also 12 \textsc{Eugene McQuillin}, \textsc{Municipal Corporations} § 34.03, at 11 (3d ed. 1986) (defining a franchise).
\textsuperscript{280} \textit{Slay}, 717 F. Supp. at 693.
tion of a property right.\textsuperscript{281} Therefore, the court determined that no property right existed until the franchise was awarded.\textsuperscript{282}
4. Summary
After \textit{McNally v. United States},\textsuperscript{283} many defendants convicted of mail fraud challenged their convictions claiming that they were convicted under the no longer valid intangible rights theory. In all of these cases, the courts determined whether the victim of the scheme suffered concrete economic harm. In cases involving a deprivation of material information, courts have been willing to find such economic harm as a deprivation of an intangible property right under \textit{Carpenter v. United States}.\textsuperscript{284} As long as the government can show that the victim used this material information for financial gain,\textsuperscript{285} the court will sustain the conviction.
Defendants have more success in challenging convictions involving bribery schemes.\textsuperscript{286} The government will usually be unable to prove that the victim has an interest in bribes received by the defendant, because the defendant has not \textit{taken} property from the victim.\textsuperscript{287} Therefore, bribes involve the deprivation of intangible rights rather than property rights.
However, with schemes involving kickbacks, the government can more easily sustain a conviction.\textsuperscript{288} Since the victim often ends up, in reality, paying the kickback, the victim suffers real economic harm. For example, if an employee takes a kickback for steering contracts a vendor's way, the vendor may raise the contract price that the employer will end up paying. The employer becomes the victim, having to pay more for the contract than necessary. Thus, the victim loses property from the scheme, and \textit{McNally} does not
\textsuperscript{281} \textit{Id.} at 694.
\textsuperscript{282} \textit{Id.} at 694-95; see also 37 C.J.S. \textit{Franchise} § 8 ("An applicant for a franchise . . . has no property right until the application has been granted, and the denial of an application does not constitute an invasion of a property right.").
\textsuperscript{283} 483 U.S. 350 (1987).
\textsuperscript{284} 484 U.S. 19 (1987); \textit{see supra} notes 129-47 and accompanying text (explaining the \textit{Carpenter} decision).
\textsuperscript{285} \textit{See supra} notes 196-216 and accompanying text (illustrating cases which rely on \textit{Carpenter}'s intangible property rights theory).
\textsuperscript{286} \textit{See supra} notes 217-20 and accompanying text (discussing the postconviction challenge of bribery schemes).
\textsuperscript{287} \textit{See, e.g., United States v. Holzer}, 840 F.2d 1343, 1348 (7th Cir.) ("[T]he state's financial situation is the same whether he takes bribes or doesn't take bribes. . . . This is an intangible rights case and only an intangible rights case."), \textit{cert. denied}, 486 U.S. 1035 (1988).
\textsuperscript{288} \textit{See supra} notes 221-26 and accompanying text (discussing kickback cases).
apply.
Finally, defendants convicted of schemes involving licenses and franchises have challenged those convictions under *McNally*. Some courts have held that the issuance of a license or franchise is similar to a business dealing in confidential information. Therefore, the state's ability to give and subsequently revoke a license gives the state a property right. However, other courts disagree with this approach. These courts contend that the government suffers no economic harm from these schemes. Furthermore, these courts point out that even in situations involving intangible property, there must be a showing of concrete economic harm. In light of the courts' disagreement on these issues, this area of *McNally* interpretation has not been fully resolved.
5. **Subsequent Change in the Statute**
The *McNally* era was a short one, for Congress responded to the Supreme Court's ruling with the passage of 18 U.S.C. § 1346. It reads: "For purposes of this chapter, the term 'scheme or artifice to defraud' includes a scheme or artifice to deprive another of the intangible right of honest services." This statute, however, "cannot be applied retroactively to acts committed before its enactment regardless of whether such conduct occurred prior to *McNally*." Therefore, the new law cannot be applied to the backlog of intangible rights cases.
---
289. *See supra* notes 228-82 and accompanying text (summarizing license and franchise post-conviction challenges).
290. *See supra* notes 228-42, 270-76, and accompanying text (summarizing cases finding a property right in licenses and franchises).
291. *See supra* notes 243-68, 277-82, and accompanying text (providing examples where courts found no property right).
292. *See United States v. Schwartz*, 924 F.2d 410 (2d Cir. 1991) (holding that the government did not have a property interest in export licenses, but merely a regulatory interest); *Toulabi v. United States*, 875 F.2d 122 (7th Cir. 1989) (holding that Chicago did not have a property interest in its taxi-cab licenses); *United States v. Evans*, 844 F.2d 36 (2d Cir. 1988) (holding that a government's regulatory interest in arms sales does not constitute a property right); *United States v. Slay*, 717 F. Supp. 689 (E.D. Mo. 1989) (finding a government's interest in granting franchises to be purely regulatory).
293. 18 U.S.C. § 346 (1988).
294. *United States v. Schwartz*, 924 F.2d 410, 419 (2d Cir. 1991); *see United States v. Telink, Inc.*, 910 F.2d 598 (9th Cir. 1990) (refusing to apply § 1346 retroactively). *Contra United States v. Johns*, 742 F. Supp. 196 (E.D. Pa. 1990) (holding that the new statute could be applied retroactively), *aff'd*, 972 F.2d 1333 (3d Cir. 1991).
295. *See Hearing, supra* note 86, at 110 (testimony of Scott Wallace) ("We are saying [intangible rights] cases cannot be saved no matter what you do. These people were convicted under
II. SUBJECT OPINION
As indicated in the Background section of this Note, the circuit courts have applied the McNally doctrine inconsistently.\textsuperscript{296} McNally required that the victim suffer concrete economic harm in order to have a property right for the purposes of the Mail Fraud Act. However, the concept of concrete economic harm is sometimes overshadowed by the determination of whether the victim had a property interest.
The Seventh Circuit faced this issue in Borre v. United States\textsuperscript{297} in sustaining a conviction brought under the intangible rights theory. In Borre, the defendant, Kurtis Borre, sought habeas corpus relief under 28 U.S.C. § 2255 on the grounds that his conviction was improper in light of McNally.\textsuperscript{298} Borre acted as the decoy in a scheme to guarantee the United States Cable Company (U.S. Cable) the cable television franchise in the Village of Fox Lake, Illinois.\textsuperscript{299} Borre did not reveal that some Fox Lake officials had an interest in U.S. Cable.\textsuperscript{300} The mayor of Fox Lake owned a five percent ownership interest in U.S. Cable, although it appeared that Borre owned the shares.\textsuperscript{301} The mayor gave part of his interest to a member of the board of trustees and a one percent interest to Borre.\textsuperscript{302} Borre then went before the village's board of trustees and nominated U.S. Cable as the cable provider for Fox Lake.\textsuperscript{303}
U.S. Cable was awarded the franchise without having to resort to competitive bidding.\textsuperscript{304} It did not receive money from the village, nor did it pay for the franchise.\textsuperscript{305} The scheme was discovered, and Borre was charged with conspiracy to commit an offense against the United States and with mail fraud.\textsuperscript{306} He pled guilty to both charges
\begin{itemize}
\item tainted instructions.”).
\item See supra notes 188-292 and accompanying text (explaining and illustrating courts' inconsistent analyses of McNally).
\item 940 F.2d 215 (7th Cir. 1991).
\item Id. at 215.
\item Id. at 216.
\item Id.
\item Id. at 217.
\item Id.
\item Id.
\item Id.
\item See United States v. Borre, No. 89-C-3431, slip op. at 2 (N.D. Ill. Oct. 17, 1989) (“[H]ence, the payment of the alleged bribes, in the form of an interest in U.S. Cable, did not increase the cost to the Village of the agreement with U.S. Cable or decrease any profits made by the Village on the agreement.”).
\item Borre, 940 F.2d at 217; see 18 U.S.C. § 371 (1988) (prohibiting conspiracies against the
and was sentenced to two concurrent five-year sentences.\textsuperscript{307}
Subsequently, the Supreme Court decided \textit{McNally}, and one of Borre’s co-defendants, a Fox Lake government official, had his conviction vacated.\textsuperscript{308} Borre then filed a habeas corpus petition for relief.\textsuperscript{309} The district court vacated his conviction.\textsuperscript{310}
On appeal, the Seventh Circuit looked at the indictment to see if any of the charges, in light of \textit{McNally}, were sufficient to state an offense.\textsuperscript{311} It applied the cause and prejudice standard in analyzing this habeas corpus petition.\textsuperscript{312} It found sufficient cause because Borre’s conviction was prior to \textit{McNally}; he thus could not have previously contested his indictment on a deprivation of intangible rights theory.\textsuperscript{313} The court found prejudice because Borre could show that he was convicted under an intangible rights theory and that his conviction should be overturned.\textsuperscript{314} Since Borre pled guilty to the charges, the court looked at the charges and his plea agreement to determine whether he pled guilty to an offense punishable under the Mail Fraud Act.\textsuperscript{315}
The government conceded that the first two charges were insufficient.\textsuperscript{316} It maintained, however, that the third theory stated that Borre committed mail fraud based upon the deprivation of the right to award the cable television franchise with full disclosure of ownership interests.\textsuperscript{317} The court agreed, although on different grounds,
\textsuperscript{307} \textit{Borre}, 940 F.2d at 217.
\textsuperscript{308} \textit{Id.}
\textsuperscript{309} \textit{Id.}; see 28 U.S.C. § 2255 (1988) (governing habeas corpus petitions).
\textsuperscript{310} United States v. Borre, No. 89-C-3431, slip op. (N.D. Ill. Oct. 17, 1989).
\textsuperscript{311} \textit{Borre}, 940 F.2d at 217.
\textsuperscript{312} See supra notes 170-73 (explaining habeas corpus petitions).
\textsuperscript{313} \textit{Borre}, 940 F.2d at 218.
\textsuperscript{314} \textit{Id.}
\textsuperscript{315} \textit{Id.} at 219.
\textsuperscript{316} \textit{Id.} The insufficient indictments read:
[the defendants] [d]evised and intended to devise and participate in a scheme to defraud:
(a) the Village of Fox Lake and its citizens of their right to the legal, faithful and honest services of Richard Hamm in the performance of acts related to his public employment;
(b) the Village of Fox Lake and its citizens, its public officials and its public employees of the right to have the business of the Village of Fox Lake conducted honestly, fairly and impartially, free from collusion, partiality, dishonesty, conflicts of interest, and fraud . . . .
\textit{Id.}
\textsuperscript{317} \textit{Id.} The third portion in count five of the indictment read:
[T]he Village of Fox Lake and its citizens, its public officials and its public employees
saying that Borre deprived Fox Lake of the cable television franchise, which it held to be a property right.\textsuperscript{318} The court looked to \textit{McNally} and \textit{Carpenter} and said that in order to determine whether something is property, it must examine applicable state law.\textsuperscript{319} The court said that a franchise represents the delegation of a government function under Illinois state law.\textsuperscript{320}
The court then looked to the Eleventh Circuit's decision in \textit{Italiano II},\textsuperscript{321} which used the state law approach. In that case, the Eleventh Circuit noted that a cable television franchise was property for mail fraud purposes.\textsuperscript{322} The \textit{Borre} court further found it relevant that the federal government allows municipalities to assert control over and run their own cable television operations.\textsuperscript{323} It also considered the fact that cable television involves the creation and use of easements.\textsuperscript{324} The court said that granting a franchise is not just a regulatory act, but a governmental power derived from the legisla-
\begin{quote}
of the right to make a cable television franchise award with full disclosure of ownership interests; and to obtain the Village of Fox Lake cable television franchise contract by means of false and fraudulent representation and promises, knowing them to be false when made.
\end{quote}
\textit{Id.}
\textsuperscript{318} \textit{Id.} at 220.
\textsuperscript{319} \textit{Id.; see} California v. Central Pac. R.R., 127 U.S. 1 (1888) (stating that it is within "the powers and rights of sovereign States to classify the property within the State for purposes of taxation"); Withers v. Granite City, 177 N.E.2d 181, 183 (Ill. 1961) (ruling that a city cannot allow use of land beneath a municipality's easements that interferes with the city's right to use the land); People v. Commonwealth Edison Co., 32 N.E.2d 902, 904 (Ill. 1941) (stating that a franchise given to a utility is an exercise of a city's police power); People \textit{ex rel.} Better Broadcasting Council, Inc. v. Keane, 309 N.E.2d 362, 367 (Ill. App. Ct. 1973) (finding that a city that grants a franchise is using its legislative authority); \textit{see also} Ruckelshaus v. Monsanto Co., 467 U.S. 986, 1001 (1984) ("[Property interests] are created and their dimensions are defined by existing rules or understandings that stem from an independent source such as state law."). \textit{Contra} 47 U.S.C. § 521 (1988) (indicating that franchises are a means for a locality to regulate cable television).
\textsuperscript{320} \textit{Borre}, 940 F.2d at 220; \textit{see} Lasher v. People, 55 N.E. 663, 665 (Ill. 1899) (stating that a franchise is a "right which belongs to the government when conferred upon the citizen"); 1 Charles D. Ferris et al., \textit{Cable Television Law} § 13.13, at 13-68.11 (1990) ("The modern tendency is . . . to regard a [cable television] franchise as a delegation of a governmental function to private entities to be performed in the furtherance of the public welfare."); \textit{see also} 2 William Blackstone, \textit{Commentaries} *37 (describing a franchise as "a royal privilege, or branch of the king's prerogative, subsisting in the hands of a subject").
\textsuperscript{321} 894 F.2d 1280 (11th Cir.), \textit{cert. denied}, 498 U.S. 896 (1990).
\textsuperscript{322} \textit{Id.} at 1285 n.6.
\textsuperscript{323} \textit{Borre}, 940 F.2d at 220-21; \textit{see also} Warner Cable Communications, Inc. v. City of Niceville, 911 F.2d 634 (11th Cir. 1990) (upholding a municipality's right to run a cable franchise), \textit{cert. denied}, 111 S. Ct. 2839 (1991).
\textsuperscript{324} \textit{Borre}, 940 F.2d at 221; \textit{see also} 47 U.S.C. § 541 (a)(2) (1988) (allowing the automatic granting of easements over public right-of-way to cable franchises); 65 ILCS 5/11-42-11(c) (1992) (same).
ture.\textsuperscript{325} In light of all of these factors, it held that the franchise was a property right because it was derived from legislative power, and because cable television requires the use of property to be implemented.\textsuperscript{326}
The court, having determined the franchise was property, said that the defendant deprived Fox Lake of this interest.\textsuperscript{327} Referring to \textit{Ranke v. United States},\textsuperscript{328} the court said the village was denied the right to control its property.\textsuperscript{329} Since Fox Lake lost a property right and Borre pled guilty to conduct consistent with the Mail Fraud Act, the court denied his habeas corpus petition.\textsuperscript{330}
Judge Easterbrook wrote a strong dissent based on his belief that the franchise was not property.\textsuperscript{331} He said that a franchise is similar to a contract or a license and that \textit{McNally} involved an analogous scheme.\textsuperscript{332} He noted that the key to property rights in the context of \textit{McNally} is whether the victim lost something of value.\textsuperscript{333} Easterbrook compared this franchise case to cases where a license was held not to be property.\textsuperscript{334} In particular, the judge said the court ignored the prior Seventh Circuit decision in \textit{Toulabi v. United States},\textsuperscript{335} which held that the government did not have a property interest in a license.\textsuperscript{336} Judge Easterbrook asserted: "Anyway . . . a 'license' is just a public announcement of permission to act. It indicates that the government will leave you alone if you do something."\textsuperscript{337}
The dissent then disputed the majority's contention that to convict under the Mail Fraud Act the government only has to show the victim lost control of the property.\textsuperscript{338} Easterbrook said that \textit{Ranke}\textsuperscript{339}
\begin{itemize}
\item \textsuperscript{325} \textit{Borre}, 940 F.2d at 221.
\item \textsuperscript{326} \textit{Id}.
\item \textsuperscript{327} \textit{Id}. at 222.
\item \textsuperscript{328} 873 F.2d 1033 (7th Cir. 1989); see \textit{supra} notes 222-26 and accompanying text (discussing \textit{Ranke}).
\item \textsuperscript{329} \textit{Borre}, 940 F.2d at 222.
\item \textsuperscript{330} \textit{Id}. at 223.
\item \textsuperscript{331} \textit{Id}. at 224 (Easterbrook, J., dissenting).
\item \textsuperscript{332} \textit{Id}.
\item \textsuperscript{333} \textit{Id}.
\item \textsuperscript{334} \textit{Id}. at 225.
\item \textsuperscript{335} 875 F.2d 122 (7th Cir. 1989).
\item \textsuperscript{336} \textit{Borre}, 940 F.2d at 225 (Easterbrook, J., dissenting).
\item \textsuperscript{337} \textit{Id}.
\item \textsuperscript{338} \textit{Id}.
\item \textsuperscript{339} \textit{Ranke v. United States}, 873 F.2d 1033 (7th Cir. 1989); see \textit{supra} notes 222-26 and accompanying text (discussing the \textit{Ranke} decision).
did not stand for this loss of control theory because, in *Ranke*, there was an actual out-of-pocket loss.\textsuperscript{340} He also disagreed with the application of state law to define property, arguing that *McNally* adequately defined what the court should look at — concrete economic harm — which could not be shown in this case.\textsuperscript{341}
Alternatively, even if state law was to be applied, Judge Easterbrook felt it was improperly applied in this case.\textsuperscript{342} He said that cable television is a form of speech which can never be classified as government property.\textsuperscript{343} The judge characterized a franchise as part of the government’s regulatory interest where the franchisee merely asks the government’s permission to perform a service.\textsuperscript{344} The difference between a license and a franchise is that franchises are exclusive.\textsuperscript{345} Overall, Judge Easterbrook noted that the fact that cable television systems often use easements to run cables is not important since there are other ways to put together a system without using the citizens’ property.\textsuperscript{346} Finally, Judge Easterbrook criticized the majority’s decision as an attempt to avoid the *McNally* and *Toulabi* decisions to sustain a conviction.\textsuperscript{347}
III. ANALYSIS
Judge Easterbrook’s dissent in *Borre* was correct. The majority decision resulted from faulty analogies, improper application of relevant case law, and a mistaken understanding of the governmental interests involved in a franchise.
The majority ignored the factual similarities between the case at
\textsuperscript{340}. *Borre*, 940 F.2d at 225 (Easterbrook, J., dissenting).
\textsuperscript{341}. *Id.* at 226.
\textsuperscript{342}. *Id.*
\textsuperscript{343}. *Id*; see also Leathers v. Medlock, 111 S. Ct. 1438 (1991) (finding that cable television is speech under the First Amendment); City of Los Angeles v. Preferred Communications, Inc., 476 U.S. 488, 494 (1986) (find that cable television “plainly implicate[s] First Amendment interests”). In *Preferred Communications*, the Court said that the First Amendment interests for cable television are protectable to a greater extent than newspapers, but to a lesser extent than radio and television broadcasters. 476 U.S. at 494-95. The Court never referred to the cable franchise as property. The case was remanded to determine if the denial of a franchise to a second operator was a First Amendment violation. *Id.* at 495.
\textsuperscript{344}. *Borre*, 940 F.2d at 225 (Easterbrook, J., dissenting).
\textsuperscript{345}. *Id.*
\textsuperscript{346}. *Id.* at 226; see also FCC v. Florida Power Corp., 480 U.S. 245, 247 (1987) (stating that cable franchisees can use utility poles instead of underground lines under the Pole Attachments Act).
\textsuperscript{347}. *Borre*, 940 F.2d at 226 (Easterbrook, J., dissenting) (“It is understandable that this institution sees *McNally* as a problem to be overcome rather than a rule to be implemented.”).
bar and *McNally v. United States*.\(^{348}\) Furthermore, it failed to notice the differences between *Carpenter v. United States*\(^{349}\) and *Borre* and improperly applied the *Carpenter* holding. As a result, the majority improperly ruled that Fox Lake was deprived of a property interest because it determined the franchise to be property. This is contrary to the authorities which show that a franchise, by itself, merely represents a regulatory interest, rather than a property interest. Accordingly, the Village of Fox Lake did not suffer concrete economic harm, and, therefore, Borre did not commit the crime of mail fraud.
**A. United States v. Borre Was Decided Incorrectly**
Both *McNally* and *Borre* dealt with government corruption. In *McNally*, the Supreme Court concluded that the Mail Fraud Act only covered schemes that affected the government as a property holder.\(^{350}\) In reaching this conclusion, the Court relied on the definition of “defraud” found in *Hammerschmidt v. United States*.\(^{351}\) The *Hammerschmidt* Court said that “to defraud,” within the context of the Mail Fraud Act, usually means the victim was “[deprived] of something of value”\(^{352}\) as a result of the scheme.\(^{353}\)
*McNally’s* analysis of *Hammerschmidt* is relevant to *Borre* because Fox Lake never showed that it was deprived of something of value. In fact, the district court, when it overturned Borre’s conviction, specifically found that the scheme caused no loss of money to the village or to its citizens.\(^{354}\) The village did not pay money to U.S. Cable, and U.S. Cable did not have to pay a fee for the cable franchise.\(^{355}\) On appeal, however, the majority on the Seventh Circuit panel failed to address this point. The finding of the district court should have foreclosed the argument that Borre and his co-conspirators defrauded Fox Lake of money.
---
\(^{348}\) 483 U.S. 350 (1987).
\(^{349}\) 484 U.S. 19 (1987).
\(^{350}\) *McNally*, 483 U.S. at 359 n.8 (“[A]ny benefit which the Government derives from the statute must be limited to the Government’s interests as property holder.”).
\(^{351}\) *Id.* at 358. *See Hammerschmidt v. United States*, 265 U.S. 182, 188 (1924) (holding that incitement to disobey the Selective Service Act did not violate the Mail Fraud Act).
\(^{352}\) *Hammerschmidt*, 265 U.S. at 188.
\(^{353}\) *See McNally*, 483 U.S. at 358.
\(^{354}\) United States v. Borre, No. 89-C-3431, slip. op. at 2 (N.D. Ill. Oct. 17, 1989).
\(^{355}\) *Id.*
1. The Seventh Circuit Improperly Interpreted McNally and Carpenter
a. McNally is factually similar to Borre
The Borre majority briefly reviewed McNally but focused its attention on Carpenter v. United States, disregarding the fact that Borre's situation more strongly resembled McNally. Both McNally and Borre involved government officials who failed to disclose a financial interest in companies that had dealings with the government. In McNally, the government officials used their influence to obtain commissions from an insurance agent who needed the approval of the same officials to renew his relationship with the state. In Borre, the mayor and a fellow official failed to disclose an interest in U.S. Cable. In both cases, the government did not lose money. The citizens of Kentucky, in McNally, were deprived of the right to give the state's workers' compensation contract to an honest dealer. In Borre, the citizens of Fox Lake were deprived of their right to issue the franchise to an honest company. Neither governmental entity lost property; each merely lost the ability to make a fully informed and impartial decision. This right to make an impartial decision is an intangible right, a right denied coverage under the Mail Fraud Act, according to McNally.
b. The Seventh Circuit improperly utilized the holding in Carpenter
Despite the similarities to McNally, the Borre court relied on Carpenter. It looked to Carpenter's clarification of the scope of what constitutes property under the Mail Fraud Act. In Carpenter, the Supreme Court ruled that because the common law recognized confidential business information as property, such "intangible property" would be recognized for the purposes of the Mail Fraud Act.
356. Borre v. United States, 940 F.2d 215 (7th Cir. 1991); see Carpenter v. United States, 484 U.S. 191 (1987).
357. Borre, 940 F.2d at 225 (Easterbrook, J., dissenting) ("Indeed, with the change of a few details, Borre's case is a replay of McNally's.").
358. McNally, 483 U.S. at 352.
359. Borre, 940 F.2d at 217.
360. McNally, 483 U.S. at 355-60.
361. Borre, 940 F.2d at 219.
362. See supra notes 88-128 and accompanying text (discussing McNally).
363. Borre, 940 F.2d at 219-20.
as modified by *McNally*. The *Carpenter* Court, however, did not further define what qualified as intangible property.
The *Borre* court looked to *Carpenter* as a guide even though there is little factual similarity between *Borre* and *Carpenter*. In *Carpenter*, the defendant, an employee for the *Wall Street Journal*, conspired to use confidential information reserved for a *Journal* column. The defendant and his co-conspirators used the information for profit. The Court found that the information, though intangible, was property for the purposes of the Mail Fraud Act. It relied on the fact that the *Wall Street Journal* derived a benefit, in fact profits, from its ability to control and disseminate the information. On one hand, this appeared to be an intangible right and therefore not property under *McNally*, in that the newspaper only lost its ability to decide when to disclose the information. On the other hand, this right to disclose information was essential to the economic success of the *Wall Street Journal*, which sells information, just as a furniture store sells tables and chairs. In this respect, the *Carpenter* decision appears justified, but, nonetheless, inapplicable to *Borre*.
The franchise in *Borre* bears little relation to the information disclosed in *Carpenter*. Unlike the *Wall Street Journal*, Fox Lake was not in the business of handing out franchises for profit. In *Carpenter*, the Court said that the scope of *McNally* reached intangible property rights. *McNally* requires a loss of value of some sort by the victim, so intangible property must have some value to the holder to be covered by the Mail Fraud Act. Even if the franchise is deemed intangible property in *Borre*, it should not be covered under the Mail Fraud Act because Fox Lake took no value for it. Therefore, the *Borre* court incorrectly relied on *Carpenter*; although Fox Lake was defrauded of a legitimate franchise, it did not suffer an economic loss and thus did not fall under *McNally*'s definition of property.
364. Carpenter v. United States, 484 U.S. 19, 26 (1987).
365. *Id.* at 23.
366. *Id.*
367. *Id.* at 26.
368. *Id.*
369. *Id.*
370. McNally v. United States, 483 U.S. 350, 358 (1987).
c. *United States v. Cherif* and stock-in-trade
To understand the Seventh Circuit's analysis of *Carpenter*, it is useful to look at the court's decision in *United States v. Cherif*. The Seventh Circuit conducted a more thorough analysis of *Carpenter* in *Cherif* than in *Borre*. *Cherif* was factually similar to *Carpenter* in that the defendant misused the bank's confidential business information. The defendant gained access to the bank's investment files through an illicitly obtained pass and then made profitable stock purchases.
The *Cherif* court pointed out that *Carpenter* stood for the existence of intangible property and did not revive the doctrine of intangible rights. It further stated that confidential business information was clearly not the same thing as the intangible right to an honest government. In this respect, Seventh Circuit precedent interpreting *Carpenter* and *McNally* found that one purpose of *McNally* was to prevent a vague statute from being used to prosecute government corruption at the state and local level. Thus the application of *Carpenter* to the franchise in *Borre* is problematic because the conduct of the defendant in *Borre* certainly touched upon citizens' right to honest government.
*Cherif*'s factual differences, like those of *Carpenter*, make it inapplicable to *Borre*. The defendant in *Cherif* argued that the information he obtained from the bank was not the institution's stock-in-trade, and therefore did not qualify as confidential business information as defined by *Carpenter*. The defendant claimed that the bank was in the business of storing people's money, not of gathering information. The Seventh Circuit disagreed. It reasoned that while the bank was not in the business of publishing the information, the information was still part of the bank's stock-in-trade because the information was essential to investments the bank made.
371. 943 F.2d 692 (7th Cir. 1991).
372. *Id.* at 694.
373. *Id.*
374. *Id.* at 697.
375. *Id.* at 697-98.
376. *Id.*
377. *Id.* at 697. In *Carpenter*, the Supreme Court referred to the "Heard on the Street" column as part of the *Wall Street Journal*'s stock-in-trade. *Carpenter v. United States*, 484 U.S. 19, 26 (1987) (quoting International News Serv. v. Associated Press, 248 U.S. 215, 236 (1918)).
378. *Cherif*, 943 F.2d at 697.
and to the development of its stock-in-trade.\textsuperscript{379} The court ruled, therefore, that the information was property of the bank and the defendant’s conduct fell under the Mail Fraud Act.\textsuperscript{380}
Unlike the information stolen in \textit{Cherif}, a franchise is not part of the government’s stock-in-trade. The \textit{Cherif} court compared the bank’s confidential information to the raw materials needed to produce a product.\textsuperscript{381} However, the franchise at issue in \textit{Borre} was not part of any product being made by the government of Fox Lake.
Fox Lake did not charge for the franchise. Had it done so, the stock-in-trade argument would have more viability because the franchise would be seen as a product of the village. But even this argument may not hold much weight. In \textit{Cherif}, the defendant took information from the bank and used it to buy stock, in essence becoming a competitor of the bank. These actions diminished the bank’s potential to buy the same stock, and by reducing the number of available sellers, it cut into the bank’s profits. This does not hold true in Borre’s case. Regardless of how Borre obtained the franchise, Fox Lake (if it was charging for the franchise) still was paid and suffered no financial loss.
2. \textit{The Franchise Represented Only a Regulatory Interest}
The \textit{Borre} court improperly relied on state law to support its holding. State common law, moreover, fails to classify Fox Lake’s interest as property. The \textit{Borre} court drew upon \textit{Carpenter’s} application of state common law to show that a franchise is property.\textsuperscript{382} The majority used state law to refute the contention that a franchise is merely a grant of permission to perform a service from the government.\textsuperscript{383} It continued by referring to the granting of a cable television franchise as a legislative, rather than a regulatory, function.\textsuperscript{384} It did not, however, explain how the term “legislative” differed from “regulatory” or how this transformed it into a property interest. Thus the court’s explanation failed to justify its conclusion.
The franchise represented a regulatory interest — not a property
\begin{itemize}
\item \textsuperscript{379} \textit{Id.}
\item \textsuperscript{380} \textit{Id.} at 698.
\item \textsuperscript{381} \textit{Id.}
\item \textsuperscript{382} \textit{Borre v. United States}, 940 F.2d 215, 219 (7th Cir. 1991).
\item \textsuperscript{383} \textit{Id.} at 221.
\item \textsuperscript{384} \textit{Id.}
interest, as pointed out in the Borre dissent.\textsuperscript{385} It is important to remember that under McNally, the government only has an interest in property it holds. This implies that a plaintiff must be deprived of some sort of possessory interest in order to use the Mail Fraud Act. The Second Circuit in United States v. Evans\textsuperscript{386} pointed out that the government often has a regulatory interest in things in which it has absolutely no property or possessory interest.\textsuperscript{387} As with the weapons at issue in Evans,\textsuperscript{388} Fox Lake did not have the right to possess the cable television franchise operated by U.S. Cable. Four reasons exist for this position: 1) the franchise is not government property; 2) the court improperly applied state law; 3) the court ignored the previous cases on licenses; and 4) a cable television franchise represents a recognized First Amendment interest.
a. A franchise is not property to the government
To reach its conclusion, the court in Borre had to establish that a franchise is property. Standing alone, the phrase “a franchise is property” is essentially true. The question is: To whom does the franchise belong — to the issuer or to the holder? The Borre majority looked to the Italiano II\textsuperscript{389} court for guidance because the court in Italiano II found that, in the mail fraud context, a cable television franchise is property.\textsuperscript{390} Neither the Eleventh Circuit opinion in Italiano II, nor the prior district court decision,\textsuperscript{391} however, offers any substantive reasoning as to why the cable franchise is property.
It is quite possible the two Italiano courts relied on the more thorough analysis of cable franchises made in an earlier Eleventh Circuit opinion relating to the Italiano case, Italiano I.\textsuperscript{392} In his dissent from Italiano I, Judge Owens looked to Corpus Juris
\begin{itemize}
\item \textsuperscript{385} Id. at 226 (Easterbrook, J., dissenting) (“Public promises not to interfere with private conduct . . . are not ‘property’ for purposes of the mail fraud statute.”).
\item \textsuperscript{386} 844 F.2d 36 (2d Cir. 1988).
\item \textsuperscript{387} Id. at 42.
\item \textsuperscript{388} 844 F.2d 36 (2d Cir. 1988); see supra notes 256-62 and accompanying text (summarizing the Evans case).
\item \textsuperscript{389} 894 F.2d 1280 (11th Cir.), cert. denied, 498 U.S. 896 (1990).
\item \textsuperscript{390} Borre, 940 F.2d at 220.
\item \textsuperscript{391} United States v. Italiano, 701 F. Supp. 205 (M.D. Fla. 1988), aff’d 894 F.2d 1280 (11th Cir.), cert. denied, 498 U.S. 896 (1990).
\item \textsuperscript{392} Italiano I, 837 F.2d 1480 (11th Cir. 1988). In this case, the defendant had his conviction overturned. Id. He was subsequently re-indicted. See Italiano, 701 F. Supp. at 206 (explaining the history of the case).
Secundum to define the character of a franchise.\textsuperscript{393} This source states: "Franchises are property and are frequently invested with the attributes of property generally."\textsuperscript{394} Judge Owens took this quote completely out of context. The same source states that a franchise "is merely a right or privilege" that is "distinct from, and does not embrace, property used or acquired in connection with the exercise of the franchise . . . ."\textsuperscript{395} In the context of cable television, this reflects the difference between the right to run a system, the franchise, and the property which is necessary to run the franchise.
More importantly, the property right derived from a franchise does not vest until the franchise is granted.\textsuperscript{396} This property right is intangible and is separate from the property used to carry out the franchise.\textsuperscript{397} Until the government grants the franchise, all it is doing is contemplating contracting with an individual, not holding property.\textsuperscript{398} Furthermore, what the Borre court, and accordingly the Italiano II court, failed to consider is when the franchise becomes property. Franchises are not property to the government; rather, they "resemble direct regulation in execution."\textsuperscript{399} Clearly, the authorities do not support the contention that the state has a property interest in the franchise. Consequently, the Seventh Circuit's reliance on Italiano II is misplaced. Borre and his co-conspirators deceived Fox Lake to obtain the cable television franchise. Government officials acted dishonestly. This seems to be more in line with the invalid intangible rights theory than with the Italiano II court's holding that a franchise is property.
b. State law does not prove that the franchise is property
Illinois law did not justify the Seventh Circuit's holding either. The Seventh Circuit applied state common law to determine whether a franchise is considered property.\textsuperscript{400} The sources relied on
\begin{itemize}
\item 393. 837 F.2d at 1492 (Owens, J., dissenting).
\item 394. 37 C.J.S. Franchises § 8 (1943).
\item 395. 37 Id. § 5.
\item 396. United States v. Slay, 717 F. Supp. 689, 693 (E.D. Mo. 1989) ("The government fails to explain how mere contemplation of an ongoing contractual relationship rises to a property right protected by the mail and wire fraud statutes."); see 12 McQuillin, supra note 279, § 34.03, at 11.
\item 397. 12 McQuillin, supra note 279, § 34.03, at 11.
\item 398. Slay, 717 F. Supp. at 693.
\item 399. Mark A. Zupan, The Efficacy of Franchise Bidding Schemes in the Case of Cable Television: Some Systematic Evidence, 32 J. L. & Econ. 401, 403 (1989).
\item 400. Borre v. United States, 940 F.2d 215, 219-20 (7th Cir. 1991).
by the majority do confirm that a government can grant a franchise.\textsuperscript{401} None of the sources go so far, however, as to declare that a franchise is property of the government.
The court also found significance in the fact that municipalities can run their own cable systems, rather than awarding franchises to private companies.\textsuperscript{402} This fact fails to establish whether a franchise is property. Rather, it only stands for the proposition that the government does not have to grant a franchise to an independent entity.
The majority then looked at cases which characterize "the granting of a franchise as a legislative, not a regulatory act."\textsuperscript{403} None of these cases provide support for the contention that a franchise is property to the government, but rather they recognize the regulatory function of a franchise.\textsuperscript{404} The cases deal with the propriety of granting franchises, not with their character as property.\textsuperscript{405} Thus, these cases do not refute the regulatory purpose of a franchise or support its classification as property.
While looking at state law, the Seventh Circuit ignored the federal statute that deals with the franchising of cable systems. The Cable Communications Policy Act of 1984 stated that Congress's purpose in passing the legislation was to "establish guidelines for the exercise of Federal, State and local authority with respect to regulation of cable systems."\textsuperscript{406} The purpose of the franchise, as seen in
\textsuperscript{401}. See 2 William Blackstone, Commentaries *37 (defining a franchise as "a royal privilege, or branch of the kings prerogative, subsisting in the hands of a subject"); see also Lasher v. People, 55 N.E. 663, 665 (Ill. 1899) (stating that a franchise is "[a] right which belongs to the government when conferred upon the citizen").
\textsuperscript{402}. Borre, 940 F.2d at 220-21.
\textsuperscript{403}. Id. at 221.
\textsuperscript{404}. See California v. Central Pac. R.R., 127 U.S. 1, 40-41 (1888) (noting that a franchise is a privilege granted for the public interest which is subject to public control and is not taxable); Withers v. City of Granite City, 177 N.E.2d 181, 183 (Ill. 1961) (holding that a grant to a company to use city streets was not invalid if it did not divest public use or interests); People v. Commonwealth Edison Co., 32 N.E.2d 902, 904 (Ill. 1941) (finding that a city ordinance granting a public utility use of the streets was an exercise of legislative authority not taxable as tangible personal property); People ex rel. Better Broadcasting Council, Inc. v. Keane, 309 N.E.2d 362, 367 (Ill. App. Ct. 1973) (holding that a grant to a cable television franchise was an exercise of legislative authority not subject to mandamus).
\textsuperscript{405}. Withers v. Granite City held that a city could not permit a use that infringes on the right of the municipality to use land beneath the municipality's easements. 177 N.E.2d at 182. People v. Commonwealth Edison Co. stated that "[a]n ordinance which grants the use of public streets to a utility . . . is in the exercise of the police power . . ." 32 N.E.2d at 904. People ex rel. Better Broadcasting Council ruled that "the granting of franchises by municipalities to utility companies or private persons to use the streets in the public interest constitutes an exercise of the city's legislative authority." 309 N.E.2d at 367.
\textsuperscript{406}. 47 U.S.C. § 521(3) (1988) (emphasis added).
light of the statute, is to give the franchising authority (i.e., the local government) the means to regulate the system.\textsuperscript{407} Nothing in the statute implies that the franchise is the government's property.
Therefore, state law as applied by the Seventh Circuit is, at best, inconclusive and does nothing to show that a franchise is property to a local government. However, federal law seems to imply that the purpose of the cable television franchise is to provide a consistent regulatory scheme for cable providers. The federal law does not suggest that the franchise is property for the individual municipality.
c. The court ignored the precedent of the license cases
In addition to its misplaced reliance on state law, the Seventh Circuit, in \textit{Borre}, ignored prior decisions regarding licenses. Generally, franchises and licenses are similar. The difference is that a franchise is exclusive.\textsuperscript{408} The majority distinguished precedent dealing with licenses, \textit{Toulabi v. United States},\textsuperscript{409} by stating that the granting of a franchise is a legislative, not a regulatory, act.\textsuperscript{410} This apparently separates a franchise from a license. Yet the license and franchise both grant the holder permission to perform an act. In Borre's case, that act was the operation of a cable television franchise. The majority supported its distinction by stating that a franchise must be property because cable television, by necessity, runs cables through the property of citizens.\textsuperscript{411}
\textsuperscript{407} The text of 47 U.S.C. § 521 reads in pertinent part:
The purposes of this subchapter are to —
(1) establish a national policy concerning cable communications;
(2) establish franchise procedures and standards which encourage the growth and development of cable systems and which assure that cable systems are responsive to the needs and interests of the local community;
(3) establish guidelines for the exercise of Federal, State, and local authority with respect to the regulation of cable systems;
(4) assure that cable communications provide and are encouraged to provide the widest possible diversity of information sources and services to the public;
(5) establish an orderly process for franchise renewal which protects cable operators against unfair denials of renewal where the operator's past performance and proposal for future performance meet the standards established by this subchapter; and
(6) promote competition in cable communications and minimize unnecessary regulation that would impose an undue economic burden on cable systems.
\textsuperscript{408} \textit{Borre v. United States}, 940 F.2d 215, 224-25 (7th Cir. 1991) (Easterbrook, J., dissenting).
\textsuperscript{409} 875 F.2d 122 (7th Cir. 1989); see \textit{supra} notes 247-51 and accompanying text (discussing \textit{Toulabi}).
\textsuperscript{410} \textit{Borre}, 940 F.2d at 221.
\textsuperscript{411} \textit{Id}.
brook pointed out, however, there are other ways of putting together a cable system that do not require easements over residential property.\textsuperscript{412} For instance, this may be accomplished by installing cable on the poles used by utility companies.\textsuperscript{413} Thus, the majority failed to show how the legislature granted the government property. Fox Lake was only giving U.S. Cable \textit{permission} to run a cable system in their town. Even if Fox Lake required easements, they would be required only as an effect of the franchise, not as the franchise itself. Therefore, the use of easements should not be considered in the determination of whether a franchise is property.
Because the franchise/license distinction fails, \textit{Borre} is clearly out of line with \textit{Toulabi}.\textsuperscript{414} In \textit{Toulabi}, the city had no property interest in the answers to a taxi driver’s license examination.\textsuperscript{416} Likewise, Fox Lake had no property interest in the franchise. Upon discovery of the deceit, the village could have withdrawn the franchise, but this would not be the same as gaining possession of the property.\textsuperscript{418} It would only mean that U.S. Cable no longer had permission to run a cable television system in Fox Lake. The government could then decide to run the system on its own, but it would not gain a property interest until it held a vested right to run the system. Because all Fox Lake was doing was giving U.S. Cable permission, and not giving up a property right, the court should have followed the reasoning in the \textit{Toulabi} decision.
\textit{Frank v. United States}\textsuperscript{417} is likewise inapposite. In \textit{Frank}, the government was found to have a property interest in a driver’s license.\textsuperscript{418} Under the law of Indiana, a surrendered license in a drunk driving case is part of the court record and property of the government \textit{upon possession}.\textsuperscript{419} The license was retained to indicate to the Indiana Bureau of Motor Vehicles that the defendant’s license was
\begin{itemize}
\item \textsuperscript{412} \textit{Id.} at 226 (Easterbrook, J., dissenting) (citing FCC v. Florida Power Corp., 480 U.S. 245 (1987)).
\item \textsuperscript{413} \textit{See} 47 U.S.C. § 224 (1988). This statute is commonly known as the Pole Attachments Act.
\item \textsuperscript{414} \textit{Toulabi v. United States}, 875 F.2d 122 (7th Cir. 1989).
\item \textsuperscript{415} \textit{Id.} at 125.
\item \textsuperscript{416} \textit{But see} United States v. Martinez, 905 F.2d 709 (3d Cir.), \textit{cert. denied}, 498 U.S. 1017 (1990). In \textit{Martinez}, the Third Circuit held that the government of Pennsylvania had a property interest in a fraudulently obtained medical license. The court implied that because the state had a right to revoke the license, it was property under the mail fraud statute. \textit{Id.} at 715.
\item \textsuperscript{417} 914 F.2d 828 (7th Cir. 1990).
\item \textsuperscript{418} \textit{Id.} at 834.
\item \textsuperscript{419} \textit{Id.} at 833.
suspended.\textsuperscript{420} The license was used like a cash bail bond,\textsuperscript{421} acting as a type of security interest, to insure that the convicted driver would be unable to operate his vehicle legally.
In \textit{Borre}, the government could not show a similar possessory interest in the franchise. In \textit{Frank}, the property right did not stem from the issuance of the license, but from its retention in the court record. However, there was no such security interest endowed in the cable television franchise, because there was no retention of the franchise. \textit{Frank} dealt with the physical license as property, whereas Fox Lake possessed no physical manifestation of the franchise. So while Seventh Circuit precedent holds that the government has a property right in a license, it does not apply to the \textit{Borre} case because \textit{Frank} dealt with actual physical possession of the license. Therefore, the court should have looked to \textit{Toulabi}, under which it would have found that the village of Fox Lake was not deprived of property.
\textbf{d. A cable television franchise is speech}
The \textit{Borre} majority relied on the fact that a municipality can run its own cable franchise in deciding that the U.S. Cable franchise was the property of Fox Lake.\textsuperscript{422} As the dissent pointed out, however, a cable television company engages in speech.\textsuperscript{423}
Judge Easterbrook relied on the Supreme Court opinion in \textit{City of Los Angeles v. Preferred Communications, Inc.}\textsuperscript{424} to argue that the right to speech was not government property to be delegated to franchisees.\textsuperscript{425} In \textit{Preferred Communications}, the Supreme Court, in dicta, said that the First Amendment interests in cable television fall somewhere between those of newspapers, which are subject to little government regulation, and broadcasters, who are watched more closely due to the limited availability of broadcast frequencies.\textsuperscript{426} The Court remanded the case to have the district court determine if denying a franchise to a second operator in a large city is
\begin{itemize}
\item \textsuperscript{420} \textit{Id.}
\item \textsuperscript{421} See Messinger v. United States, 872 F.2d 217, 220 (7th Cir. 1989) (noting that a cash bail bond is a security interest and thus an intangible property right).
\item \textsuperscript{422} Borre v. United State, 940 F.2d 215, 220 (7th Cir. 1991).
\item \textsuperscript{423} \textit{Id.} at 226 (Easterbrook, J., dissenting).
\item \textsuperscript{424} 476 U.S. 488 (1985).
\item \textsuperscript{425} \textit{Borre}, 940 F.2d at 226 (Easterbrook, J., dissenting).
\item \textsuperscript{426} \textit{Preferred Communications}, 476 U.S. at 494-95.
a First Amendment violation.\textsuperscript{427} The Court never referred to the franchise as government property but referred to it only as a means to regulate the system, particularly where cable lines are laid.\textsuperscript{428} The opinion indicates that a cable system is also subject to some degree of regulation based upon its programming content.
Having established that cable television has some degree of First Amendment protection, Judge Easterbrook said that the government cannot grant the right to speak, as it is a right that already exists through the First Amendment.\textsuperscript{429} This argument does not mean that the cable system has no value; it obviously does. Rather, it shows that what the government is granting is not the system itself, but the right to operate a system to provide communications (and speech) to its citizens. While the government, through statutory authority,\textsuperscript{430} allows a city to run a system on its own, the government is not giving the private entity the system. This was particularly true in the \textit{Borre} case, where U.S. Cable did not pay for the franchise.\textsuperscript{431} Fox Lake was delegating its right, through the granting of a franchise, to operate such a system. Rather than operate it themselves, Fox Lake chose to regulate a private company.
\textbf{B. The Loss of Control Theory}
The Seventh Circuit also erred in applying the loss of control theory.\textsuperscript{432} The majority in \textit{Borre}, after determining that a cable television franchise was property, went on to show that Fox Lake was deprived of that property\textsuperscript{433} because it lost control over the disposition of property.\textsuperscript{434} Both the defendant and the dissent, however, argued that the victim had to show an actual out-of-pocket loss.\textsuperscript{435} On this point, the dissent was correct.
The majority based its conclusion on \textit{Ranke v. United States}.\textsuperscript{436}
\begin{itemize}
\item \textsuperscript{427} \textit{Id.} at 495-96.
\item \textsuperscript{428} \textit{Id.} at 490 n.1.
\item \textsuperscript{429} \textit{Borre}, 940 F.2d at 226 (Easterbrook, J., dissenting) (“[T]he majority . . . treats [cable television] as if it existed by sufferance of local authorities.”).
\item \textsuperscript{430} \textit{E.g.}, 65 ILCS 5/11-42-11 (1992).
\item \textsuperscript{431} \textit{Borre v. United States}, No. 89 C 3431, slip op. at 2 (N.D. Ill. Oct. 17, 1989).
\item \textsuperscript{432} \textit{See supra} notes 221-26 and accompanying text (explaining the loss of control theory).
\item \textsuperscript{433} \textit{Borre}, 940 F.2d at 222.
\item \textsuperscript{434} \textit{Id.}; \textit{see Ranke v. United States}, 873 F.2d 1033, 1039 (7th Cir. 1989) (holding that the false promise of a subcontractor which caused a general contractor to lose control of property was sufficient to result in a mail fraud conviction).
\item \textsuperscript{435} \textit{Borre}, 940 F.2d at 222.
\item \textsuperscript{436} 873 F.2d 1033 (7th Cir. 1989).
In *Ranke*, the defendant adjusted a subcontractor's bid to his employer and received kickback payments from the subcontractor.\textsuperscript{437} The defendant claimed that his employer did not actually lose money because he accepted the altered bid and was awarded the job.\textsuperscript{438} The court felt that this was irrelevant because Ranke's employer may have accepted another bid if he knew that part of the money going to the subcontractor was being paid to Ranke.\textsuperscript{439} This, therefore, represented a loss of control over the victim's property.
The dissent's argument was more accurate. In the *Borre* dissent, Judge Easterbrook disagreed with how the majority interpreted *Ranke* and said that the *Ranke* court required an actual loss of money.\textsuperscript{440} Ranke, by adjusting the bid, deprived his employer of what would have been a lower bid, absent the bribe/kickback.\textsuperscript{441} This argument is sound because in *Ranke*, the victim lost control of his property interest; he could have awarded the contract to someone else. More importantly, Ranke asserted control over part of that money. Perhaps if the facts were changed, the *Borre* majority's theory would be more justifiable. If Ranke, for instance, was a friend of the subcontractor and received no kickbacks, there would be a case where the employer lost control without suffering an out-of-pocket loss. But *Ranke* does not reflect such facts. Even if the theory is termed "loss of control," there must also be an out-of-pocket loss.
Furthermore, even assuming the franchise is property, this loss of control theory still does not meet the *Carpenter* standard. Fox Lake did not \textit{sell} the franchise to U.S. Cable and, thus, could show no monetary loss. Although Fox Lake could have awarded the franchise to another company, this would have had no economic effect on the village. It is possible that the premise for which *Ranke* stands is correct, but as it stands, the case is not factually similar to *Borre*. In *Ranke*, the victim suffered an economic loss. In *Borre*, Fox Lake did not suffer any such loss.
\section*{IV. IMPACT}
The impact of *Borre* can be assessed from two perspectives. To the defendant, the consequences are obvious. It remains uncertain
\begin{itemize}
\item \textsuperscript{437} \textit{Id.} at 1039.
\item \textsuperscript{438} \textit{Id.}
\item \textsuperscript{439} \textit{Id.} at 1040.
\item \textsuperscript{440} Borre v. United States, 940 F.2d 215, 225 (7th Cir. 1991) (Easterbrook, J., dissenting).
\item \textsuperscript{441} \textit{Id.}
how the decision will affect future *coram nobis* and habeas corpus petitioners.
**A. Effect on Borre**
Kurtis Borre’s mail fraud conviction was sustained.\(^{442}\) Unfortunately for him, his future legal avenues are limited. While he may apply to the Supreme Court for a writ of certiorari, this probably will not bring a favorable result. The Supreme Court has not heard any cases regarding the *McNally v. United States*\(^{443}\) interpretation of mail fraud since it decided *Carpenter v. United States*.\(^{444}\) It appears that with the enactment of the newest amendment to the Mail Fraud Act, which revives the intangible rights theory, the Court has little interest in further interpretation of *McNally*.\(^{445}\)
**B. Effect on Future Petitioners**
The Seventh Circuit has “a copious backlog of intangible rights cases.”\(^{446}\) There remain defendants petitioning the courts for relief, and if Judge Easterbrook is correct, the courts are tired of overturning convictions.\(^{447}\) *Borre* represents a broader interpretation of the property rights defined by *McNally* and could signal a new direction in the analysis of postconviction mail fraud proceedings.
1. **State Law**
The *Borre* court used state law to justify its conclusion that the cable television franchise was a property interest of Fox Lake.\(^{448}\) The two state law premises the court emphasized were: that a franchise is a privilege a state grants that does not commonly belong to its citizens; and, more importantly, that a municipality may run its own cable system.\(^{449}\)
The *Borre* court’s interpretation of state law may affect cases involving a license or a franchise which seem to be intangible rights.
---
\(^{442}\) 910 F.2d at 224.
\(^{443}\) 483 U.S. 350 (1987).
\(^{444}\) 484 U.S. 19 (1987).
\(^{445}\) See 18 U.S.C. § 1346 (1988) (codifying the new amendment to the statute); see also *Borre*, 940 F.2d at 226 (Easterbrook, J., dissenting) (noting that with the reinstatement of intangible rights theory in § 1346 there is “no way to avoid *McNally* and *Toulabi*”).
\(^{446}\) *Borre*, 940 F.2d at 226 (Easterbrook, J., dissenting).
\(^{447}\) *Id.*
\(^{448}\) 940 F.2d at 220.
\(^{449}\) *Id.* at 220-21.
If a court can show that the government delegated a function that the government could have done on its own, it appears that under *Borre*, this franchise or license is a property right.
This interpretation of property rights is not limited to cable television. Assume that a government-run institution decided, under statutory authority, to give a franchise to provide the institution's food services, rather than the government running its own cafeteria. Subsequently, the winner of the franchise is found to be a company secretly owned by a government official instrumental in awarding the franchise. Under *Borre*, since the government could have run the food service itself, it has a property right, in spite of the fact that the government would not have lost any money. *Borre* thus used state law to create property rights under *McNally* where none previously existed.
2. **Loss of Control**
If the *Borre* interpretation stands, the *Ranke* loss of control theory\(^{450}\) is broadened. The *Borre* court explicitly contradicted *McNally* by stating that no out-of-pocket loss needs to be shown by the victim.\(^{451}\) In essence, to have a deprivation of property rights under *Borre*, the government has to show: 1) that the victim relinquished control of something to the defendant and 2) that the defendant would not have controlled the property without defrauding the victim, regardless of whether the victim suffered a monetary loss. Thus, the *Borre* court justified its conclusion by using a loss of control argument. This sounds not like a deprivation of property rights, but rather like a deprivation of intangible rights. Ultimately, *Borre* finds a new way to bring back the intangible rights theory in pre-*McNally* convictions.
**C. Application to Federal Theft Laws**
The *McNally* line of cases has engendered a unique area of law defining property interests. For the most part, the holdings have not been useful in other contexts.
\(^{450}\) See supra notes 221-26 and accompanying text (discussing the loss of control theory).
\(^{451}\) *Borre*, 940 F.2d at 222; see 483 U.S. 350, 361 (1981) (requiring a deprivation of a property right). The *Ranke* court got around this problem by distinguishing *McNally* on the grounds that the state was not paying a portion of its premium to the defendants. In *Ranke*, unlike *McNally*, the state paid fixed premiums. *Ranke v. United States*, 873 F.2d 1033, 1040 (7th Cir. 1989).
This changed with the case of *United States v. Fowler*. The defendant in *Fowler* was charged with a violation of 18 U.S.C. § 641. Fowler, a civilian, utilized a Defense Department security clearance to pass along classified information to government defense contractors. He argued that he did not steal property, because he merely copied documents or recorded information from them.
The Fourth Circuit said the documents themselves were tangible property. Citing *Carpenter*, the court further held that the information contained within the documents was property. This information thus had the requisite value, and the court upheld Fowler's conviction.
*Borre v. United States* may further expand the application of 18 U.S.C. § 641. The franchise, if *Borre* is correct, is a form of intangible property. Schemes to illegally obtain a franchise or license from the federal government may now be within the reach of the statute. Unlike *Fowler*, where the value of the information was implicit, the value of a license or franchise could be set at an arbitrary level, by charging a one-hundred dollar fee, thereby automatically invoking the statute. If *Borre* represents a new trend in the treatment of franchises, then its application in the context of the theft of government property is the next logical step.
**Conclusion**
"After *McNally*, the courts of appeals have discussed property deprivation in a variety of factual settings, resulting in a somewhat confusing web of caselaw." The history of mail fraud law is that of a law the scope of which was expanded until *McNally* came along and burst the balloon. Whether it was decided correctly is dependent upon one's interpretation of that history. That past history and Congress's subsequent action have created a channel of law that will be drying up soon. There are still people seeking to vacate
---
452. 932 F.2d 306 (4th Cir. 1991).
453. *Id.* at 308-09. The court stated that "[s]ection 641 provides whoever 'knowingly converts to his own use or the use of another, or without authority . . . conveys . . . any record . . . or thing of value of the United States' is guilty of a felony if the value of the property exceeds $100." *Id.* at 309 (citing 19 U.S.C. § 641 (1988)).
454. *Id.* at 308-09.
455. *Id.* at 309.
456. *Id.* at 310.
457. *Id.*
458. *Id.* at 310, 318. The court did not expressly declare the information's value.
459. United States v. Shyres, 898 F.2d 647, 651 (8th Cir.), *cert. denied*, 498 U.S. 821 (1990).
their convictions, so all cases subsequent to *McNally* have in one way or another sought to clarify the points made by that decision. The courts have carved out ways to deal with a failure to disclose information, with confidential business information, with licenses, and with bribes. Very often these interpretations blur together. Making the situation even more difficult is the fact that the interpretations may be unnecessary if the indictment or jury instructions only deal with intangible rights. In *Borre*, two counts of the indictment clearly stated an intangible rights theory. The court's analysis rested on whether the third count was proper under *McNally*. The *Borre* majority improperly characterized a regulatory interest as a property interest, and yet failed to show how the village lost money, property, or control thereof. The case was wrongly decided under *McNally* and appears to have brought some intangible rights concepts back into the pre-18 U.S.C. § 1346 law.
*Michael C. Bennett*
|
The Commissioners of the Housing Authority of the City of Tacoma met in Regular Session at 902 South L Street, Tacoma, WA 98405 at 4:45 PM on Wednesday, February 22, 2023.
1. CALL TO ORDER
Commissioner Young called the meeting of the Board of Commissioners of the Housing Authority of the City of Tacoma (THA) to order at 4:52 pm.
2. ROLL CALL
Upon roll call, those present and absent were as follows:
| PRESENT | ABSENT |
|----------------------------------------------|-------------------------|
| COMMISSIONERS | |
| Chair Shennetta Smith | |
| Vice Chair Dr. Minh-Anh Hodge | |
| Commissioner Stanley Rumbaugh (Arrived late at 5:08 pm) | |
| Commissioner Derek Young | |
| Commissioner Pastor Michael Purter | |
| STAFF | |
| April Black, Executive Director | |
| Sha Peterson, Executive Initiatives Officer | |
| Julie LaRocque, Interim Deputy Executive Director | |
| Richard Deitz, Finance Director | |
| Sharrall Madden, Human Resources Director | |
| Aley Thompson, Interim Rental Assistance Director | |
| Marquis Jenkins, Property Management Director| |
| Cacey Hanauer, Client Support and Empowerment Director | |
| Sandy Burgess, Asset Management and Real Estate Development Director | |
| William Morse, Director/CIO | |
| Adam Ydstie, Policy, Innovation, and Evaluation Director | |
Commissioner Young declared there was a quorum present at 4:53 pm and proceeded.
3. APPROVAL OF MINUTES OF THE PREVIOUS MEETING
Commissioner Young asked for any corrections to or discussion of minutes for the Regular Session of the Board of Commissioners for Wednesday, January 25, 2023. Commissioner Rumbaugh moved to adopt the minutes. Commissioner Purter seconded.
Upon roll call, the vote was as follows:
AYES: 3
NAYS: None
Abstain: None
Absent: 2
Motion approved.
4. GUEST COMMENTS
None.
5. COMMITTEE REPORTS
REAL ESTATE DEVELOPMENT COMMITTEE—COMMISSIONER RUMBAUGH, COMMISSIONER YOUNG
The committee met right after the January Board meeting and talked about updates to James Center North and crossing and the request for easement adjacent to Bay Terrace. There was a question on how to proceed and the Committee asked staff to discuss it with the owner.
FINANCE AUDIT COMMITTEE—VICE CHAIR HODGE AND COMMISSIONER YOUNG
The committee did not meet.
EDUCATION, HOUSING SERVICES AND PARTNERSHIPS COMMITTEE—CHAIR SMITH, VICE CHAIR HODGE
The committee met and provided an update on Housing Hilltop and prioritizing hilltop residents.
COMMUNITY PARTNERSHIPS AND ADVOCACY COMMITTEE—CHAIR SMITH, COMMISSIONER PURTER
The committee met on February 10 with information regarding Section 3 and resident hiring. The only property with Section 3 is Housing Hilltop. Walsh is on board with the rules and are working with staff making best efforts to recruit residents. Commissioner Purter thanked Executive Director (ED) Black and her staff.
The committee met and discussed the recommendations from The Lindsay Group related to changes to the Board By-Laws and executive governance. The committee will have recommendations to the full Board in March or April 2023.
6. PRESENTATION: RESIDENT HIRING
Client Support and Empowerment Director, Cacey Hanauer presented to the Board. She is trying to understand THA’s responsibility as it relates to Section 3, and it has been complicated due to new rules. An interdepartmental group is learning more about Section 3—one being majority of THA’s work does not require Section 3. THA is not technically required to do Section 3 reporting. Housing Hilltop however requires Section 3 reporting to the city. Staff are paying attention to the new rules to meet Housing and Urban Development (HUD) requirements. Walsh is at 17% of new threshold for Section 3, and HUD requires 25% of hours worked to be filled by Section 3 tenants and workers. To date, THA has provided three events and have hired 11 people from those events; more events will be held in a couple of weeks that will be advertised by Human Resources and Property Management. Client Support and Empowerment (CSE) and Property Management (PM) will be providing residents resources to get jobs and pave a pathway to get there. Special thanks to Trisha Mozo for her work on this. Human Resources helps by target hiring and outreach, as well as arrangements for application support and training.
7. AGENCY MONTHLY REPORT
ED Black highlighted some sections on the agency monthly report.
A partnership was established with Tacoma Public Utility (TPU) to fund through a grant program installation of an Electric Vehicle (EV) charging station at Salishan. The charging station was vandalized so staff are looking at ways to prevent that. The goal is to augment the number of EV stations and accessibility to THA residents by fostering the relationship with TPU and building new ones with other public agencies.
THA recycled 101,000 pounds of scrap metal from 2019 to date. This is a great opportunity to divert scrap metal from the local landfills to the local recycling centers and reduced THA’s operational footprint by 50.2 tons of carbon dioxide equating to 125,351 miles driven by a gasoline-powered vehicle.
THA will begin putting together its Federal Advocacy agenda for this upcoming year and will likely include budget needs for tax credit allocations and bonding thresholds, Moving to Work (MTW) contract negotiations, and the Administration’s new tenants bill of rights review. HB 1628 adds an additional tier to the state REET that would impose a 4% tax on land/property sales with values of $5 million and above.
Hillside 1500 had its first REAC inspection since before the pandemic and scored a 95 out of 100 thanks to the property manager and maintenance team who worked hard to prepare the property for the inspection.
Occupancy is currently at 95%. This trend will continue for a while. The Maintenance team has reorganized into zones instead of the traditional turn team to address turn delays. The team will also be hiring 3 budgeted positions to assist in the zones with turns and overall workflow.
THA intends to open the waitlist this quarter to increase the number of eligible applicants. Staff are getting information out now to people notifying them of when the waitlist will open.
CSE worked hard to put together several events to engage residents throughout the portfolio. These events were requested by residents and have proven to be a great way to engage and connect residents with their neighbors and for staff to provide resources and support.
THA is behind on its occupancy goal for the voucher program, serving slightly over 97% of its goal. Part of the reason is related to getting people screened and in the door. Staff have strategies underway including fully leasing up Hilltop Lofts which is 65% leased but staff are hoping for 100% leased up by the end of the month.
THA is embarking on safety improvement throughout office buildings and completing safety trainings with residents and staff. THA continues to find partnership opportunities with local women owned businesses to address safety, risk, efficiency, and amenities at numerous locations.
As a follow-up to last month’s Human Resources (HR) presentation, HR initiated 1 of 2 surveys. The survey will be used as a baseline and HR will conduct the same survey in a year to see if things have changed. Commissioner Rumbaugh asked if HR has identified wage adjustments that will take place at the end of the year to provide staff housing wage. ED Black responded that THA is going through a compensation assessment using a 3rd party. Results are expected in March and she and HR will review that against THA goals and will make recommendations with the union. Commissioner Purter inquired about the turnaround time for residents ready for occupancy and the norm for unit to be prepared. Director Marquis Jenkins stated that there are a variety of issues for delay in occupancy—some minor with janitorial needs and others with full shower or window replacement. Some may be hazardous and there is a delay in resolving those types of issues. PM Associate Director Jaime Gomez-Beltran added that there are different levels on how units are left behind and PM categorizes them in 1-3, 3 taking more time to resolve with a higher cost. There are also challenges with materials that are not readily available. Commissioner Purter asked if there is a system in place to oversee maintenance of properties and if there is an uptick in destruction or if it is just the norm. Director Jenkins responded that all five properties have annual inspections and that there was definitely an increase in destruction during Covid time. Commissioner Young asked if destructions are isolated in different properties or if they are across the portfolio. Director Jenkins stated that destructions are more in bigger properties, but they are across all properties.
8. FINANCE REPORT
FINANCE
Finance Department (FD) Director Rich Deitz directed the board to the finance report. He discussed the payment agreements with people with debt. Commissioner Rumbaugh inquired they the debts are still listed, occupying space even with a bad debt. Director Deitz will get back to Commissioner Rumbaugh.
7.1 RATIFYING CASH DISBURSEMENT FOR JANUARY 2023
Commissioner Rumbaugh moved to ratify the payment of cash disbursements totaling $7,943,475 for the month of January 2023. Commissioner Purter seconded.
Upon roll call, the vote was as follows:
- AYES: 3
- NAYS: None
- Abstain: None
- Absent: 2
Motion approved.
9. NEW BUSINESS
8.1 2023-02-22 CONTRACT AMENDMENT TO INCREASE PROJECT BASED VOUCHERS AT OLYMPUS HOTEL
A RESOLUTION of the Board of Commissioners of the Housing Authority of the City of Tacoma
WHEREAS, Korean Women’s Association owns Olympus Hotel 8th & Pacific in downtown Tacoma. This building has 49 units; and
WHEREAS, THA presently subsidizes 26 Project Based Vouchers at the building; and
WHEREAS, Korean Women’s Association seeks to add twelve (12) additional units to the contract; and
WHEREAS, the addition of these units aligns with THA’s goal to add 100 additional affordable housing units through partnerships within the community in 2023; now, therefore, be it
Resolved by the Board of Commissioners of the Housing Authority of the City of Tacoma, Washington as follows:
THA’s Executive Director is authorized to execute a HAP contract amendment to add an additional twelve (12) units to the Korean Women’s Association Olympus Hotel Project Based Voucher HAP contract.
Commissioner Rumbaugh motioned to approve the resolution. Commissioner Purter seconded the motion.
8.2 2023-02-22 CONTRACT AMENDMENT TO INCREASE PROJECT BASED VOUCHERS AT HARBORVIEW MANOR
A RESOLUTION of the Board of Commissioners of the Housing Authority of the City of Tacoma
WHEREAS, Harborview Manor LLLP owns Harborview Manor at South 9th and Fawcett in Tacoma. This building has 169 units. It houses only elderly residents; and
WHEREAS, THA presently subsidizes 147 Project Based Vouchers at the building; and
WHEREAS, Harborview Manor, LLLP seeks to add six (6) additional units to the contract; and
WHEREAS, the addition of these units aligns with THA’s goal to add 100 additional affordable housing units through partnerships within the community in 2023; now, therefore, be it
Resolved by the Board of Commissioners of the Housing Authority of the City of Tacoma, Washington as follows:
THA’s Executive Director is authorized to execute a HAP contract amendment to add an additional six (6) units to the Harborview Manor, LLLP Project Based Voucher HAP contract.
Commissioner Rumbaugh motioned to approve the resolution. Commissioner Purter seconded the motion.
AYES: 3
NAYS: None
Abstain: None
Absent: 2
Motion approved: February 22, 2023
8.3 2023-02-22 APPROVAL OF REVISION TO THA’S ADMINISTRATIVE PLAN: LOCAL PREFERENCES
A RESOLUTION of the Board of Commissioners of the Housing Authority of the City of Tacoma
WHEREAS, the Administrative Plan related to administration of THA’s housing programs and is required by HUD; and
WHEREAS, the purpose of the Administrative Plan is to establish policies for carrying out programs in a manner consistent with HUD requirements and local goals and objectives contained in THA’s Moving to Work plan; and
WHEREAS, Foundational Community Supports providers support low-income Medicaid eligible households with housing stability and other supportive services; and
WHEREAS, THA seeks to take referrals from Foundational Community Supports providers for its housing programs; and
WHEREAS, Changes to the Administrative Plan must be approved by THA Board of Commissioners; now, therefore, be it
Commissioner Rumbaugh motioned to approve the resolution. Commissioner Purter seconded the motion.
AYES: 3
NAYS: None
Abstain: None
Absent: 2
Motion approved: February 22, 2023
Shennetta Smith, Chair
10. COMMENTS FROM COMMISSIONERS
Commissioner Purter thanked his fellow Commissioners for stepping in and ED Black and the entire THA staff for their hard work. Commissioner Young echoed the thanks to staff for their hard work. “There’s a lot of visibility on what we are doing, and people are happy with what they are seeing,” he noted. “Awesome work,” added Commissioner Rumbaugh.
11. ADJOURNMENT
There being no further business to conduct, the meeting ended at 5:59 pm.
APPROVED AS CORRECT
Adopted: March 22, 2023
Shennetta Smith, Chair
|
Some Realism about Bar Associations
Elizabeth Chambliss
Bruce A. Green
Follow this and additional works at: https://via.library.depaul.edu/law-review
Recommended Citation
Elizabeth Chambliss & Bruce A. Green, Some Realism about Bar Associations, 57 DePaul L. Rev. 425 (2008)
Available at: https://via.library.depaul.edu/law-review/vol57/iss2/11
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SOME REALISM ABOUT BAR ASSOCIATIONS
Elizabeth Chambliss* and Bruce A. Green**
INTRODUCTION
What are bar associations’ responsibilities for law reform? Under what conditions do bar association committees act in the public interest? Do lawyers even believe in the “public” interest as something that can be collectively defined?
The American Bar Association (ABA) encourages all lawyers to participate in activities “for improving the law, the legal system [and] the legal profession.”¹ The ABA assumes that, “[b]y reason of education and experience, lawyers are especially qualified to recognize deficiencies in the legal system and to initiate corrective measures therein.”² It views such efforts as part of lawyers’ professional obligation as “public citizens,”³ as well as lawyers’ obligation to work “pro bono publico.”⁴ The ABA Model Code of Professional Responsibility (“Model Code”) regards lawyers’ obligations to assist in improving the legal system as an axiomatic and foundational norm.⁵
Lawyers’ efforts to improve the law and the legal system may take various forms, but ABA Model Rule 6.1 first lists service on bar association committees.⁶ Bar associations, too, take various forms and
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* Professor and Co-Director, Center for Professional Values and Practice, New York Law School.
** Louis Stein Professor and Director, Louis Stein Center for Law and Ethics, Fordham Law School. The authors are grateful to Professor Stephan Landsman for the invitation to participate in the Thirteenth Annual Clifford Symposium and to Professor David Franklin and other symposium participants for their helpful comments on the original draft. The authors also thank Barry Temkin for his thoughtful comments.
1. MODEL RULES OF PROF’L CONDUCT R. 6.1(b)(3) (2006).
2. MODEL CODE OF PROF’L RESPONSIBILITY EC 8-1 (1986).
3. AM. BAR ASS’N COMM’N ON THE RENAISSANCE OF IDEALISM IN THE LEGAL PROFESSION, FINAL REPORT—AUGUST 2006 1 (2006), http://www.abanet.org/renaissance/downloads/finalreport.pdf [hereinafter ABA RENAISSANCE REPORT] (referring to lawyers’ “time-honored role . . . as public citizen[s]”).
4. MODEL RULES OF PROF’L CONDUCT R. 6.1 (2006).
5. MODEL CODE OF PROF’L RESPONSIBILITY Canon 8 (1986) (“A Lawyer Should Assist in Improving the Legal System”); id. at Preliminary Statement (“The Canons are statements of axiomatic norms, expressing in general terms the standards of professional conduct expected of lawyers . . . .”).
6. MODEL RULES OF PROF’L CONDUCT R. 6.1 cmt. 8 (2006) (providing examples of valuable law reform activities).
have various goals.\textsuperscript{7} But most bar associations engage in at least some activities aimed at improving the law, such as drafting model statutes, commenting on proposed legislation, and weighing in on legal and public policy debates.\textsuperscript{8}
The normative expectations are different for a lawyer working to improve the law than for a lawyer representing a client. As a client’s advocate, a lawyer must zealously pursue legal objectives sought by the client without regard to the lawyer’s personal views.\textsuperscript{9} When a lawyer serves in a nonrepresentative capacity, by contrast, the ABA directs the lawyer to act “without regard to the general interests or desires of clients or former clients”\textsuperscript{10} and to “espouse only those changes which he conscientiously believes to be in the public inter-
\textsuperscript{7} See Quintin Johnstone, \textit{Bar Associations: Policies and Performance}, 15 \textit{Yale L. & Pol’y Rev.} 193, 193–94 (1996) (distinguishing between comprehensive and specialty bar associations); Bradley A. Smith, \textit{The Limits of Compulsory Professionalism: How the Unified Bar Harms the Legal Profession}, 22 \textit{Fla. St. U. L. Rev.} 35, 36 (1994) (distinguishing between unified and voluntary state bar associations). There are hundreds of bar associations in the United States, including 282 state and local bar associations with at least 300 members. \textit{ABA Div. for Bar Servs., 2005 Bar Activities Inventory} (Joanne O’Reilly ed., 2006) [hereinafter 2005 Bar Activities Inventory]. The ABA is the largest comprehensive bar association, with over 400,000 members in 2006. \textit{See About the American Bar Association}, http://www.abanet.org/about/ (last visited Nov. 18, 2007). The American Association for Justice (AAJ) (formerly the Association of Trial Lawyers of America) is the largest specialty bar with about 56,000 members. \textit{See About AAJ}, http://www.atla.org/about/index.aspx (last visited Nov. 18, 2007); 1 \textit{Encyclopedia of Associations} 738 (Sandra Jaszzcat ed., 1996). Thirty-two states and the District of Columbia have unified bars, meaning that a statute or court rule requires membership as a condition of practice. \textit{See ABA Div. for Bar Servs.}, http://www.abanet.org/barserv/stlobar.html (last visited Nov. 18, 2007) (providing a U.S. map showing the thirty-two states with unified bars); Bd. of Governors of the Alaska Bar Ass’n, \textit{Sunset Review Follow-Up}, Audit Control Number 41-20050-06, at 37 (2006), \textit{available at} http://www.legaudit.state.ak.us/pages/audits/2006/pdf/20050rpt.pdf.
\textsuperscript{8} \textit{See generally} Johnstone, \textit{supra} note 7 (reviewing the structure, activities, and effectiveness of the major comprehensive bar associations). Johnstone writes that, “[a]lthough there are sharp differences . . . in policy priorities and implementation, the major comprehensive bar associations today are remarkably similar in the policies they seek to advance,” including “advocating needed changes in the law and opposing those they consider undesirable.” \textit{Id.} at 195–96.
\textsuperscript{9} \textit{See Model Code of Prof’l Responsibility} DR 7-101, EC 8-4 (1986). The rules on conflicts of interest prohibit a lawyer from representing a client if the lawyer’s personal beliefs would impair his ability to serve the client’s objectives. \textit{Model Rules of Prof’l Conduct} R. 1.7 cmt. 10 (2006).
\textsuperscript{10} \textit{Model Code of Prof’l Responsibility} EC 8-1 (1986).
As the rules of the American Law Institute (ALI) state, "members are expected to leave client interests at the door."
Yet, while the lawyer-statesman is a powerful icon among American lawyers, many observers are skeptical that lawyers, individually or collectively, can set aside their clients' interests, political leanings, and other biases to serve as purely public-interested members of the "governing class." As Robert W. Gordon has written, "when lawyers start talking this way about their public duties . . . most of us understand that we have left ordinary life far behind for the hazy aspirational world of the Law Day sermon and Bar Association after-dinner speech—inspirational, boozily solemn, anything but real." Some argue that the profession has become more commercial and instrumental than ever before.
11. *Id.* at EC 8-4. The bar has instructed lawyers engaging in law reform "to identify the capacity in which he appears, whether on behalf of himself, a client, or the public." *Id.*; see also *Model Rules of Prof'l Conduct* R. 6.4 (2006). A lawyer who makes a presentation to a legislature or administrative agency regarding a proposed change in the law would be engaging in impermissible deceit if he failed to disclose the fact that the appearance is on behalf of a client. *Model Rules of Prof'l Conduct* R. 3.9.
12. Am. Law Inst., Rules of the Council, Rule 4.03 (2007), http://ali.org/doc/rules_council.pdf. The full text of the rule reads as follows:
To maintain the Institute's reputation for thoughtful, disinterested analysis of legal issues, members are expected to leave client interests at the door. In communications made within the framework of Institute proceedings, members should speak, write, and vote on the basis of their personal and professional convictions and experience without regard to client interests or self-interest.
*Id.*
13. See Robert W. Gordon, *The Independence of Lawyers*, 68 B.U. L. REV. 1, 14 (1988) (discussing the ideal of lawyers as "a separate estate . . . independent[t] from the dominant factions of civil society"). Most scholars trace the conception of the lawyer-statesman to Tocqueville. *Alexis de Tocqueville, Democracy in America* 263–70 (J.P. Mayer ed., George Lawrence trans., 1969) (1850). Tocqueville's views, in turn, were influenced by the leading Federalist lawyers. *See Gordon, supra,* at 14; Russell G. Pearce, *Lawyers as America's Governing Class: The Formation and Dissolution of the Original Understanding of the American Lawyer's Role*, 8 U. Chi. L. Sch. Roundtable 381, 382 n.5 (2001) (locating the origins of the governing class idea "not in Tocqueville but in the political understandings of American lawyers").
14. *See Anthony T. Kronman, The Lost Lawyer: Failing Ideals of the Legal Profession* 1–4, 354–75 (1993) (decrying the loss of the lawyer-statesman ideal); *Pearce, supra* note 13, at 407–20 (analyzing the collapse of the "governing class" ideal).
15. *Gordon, supra* note 13, at 13.
16. *Kronman, supra* note 14, at 7 (stating his "gloomy conclusion" that the ideal of the lawyer-statesman cannot be revived); Sol M. Linowitz with Martin Mayer, *The Betrayed Profession: Lawyering at the End of the Twentieth Century* 18 (1994) (discussing the "deterioration" of lawyers' morals and manners and stating that "we did better in the past"); Brian Z. Tamanaha, *Law as a Means to an End: Threat to the Rule of Law* 136 (2006) (acknowledging that lawyers have always engaged in "professional hand-wringing," but suggesting that the current level of instrumentalism is something new); *Gordon, supra* note 13, at 51 (analyzing the necessary conditions for lawyer independence and concluding that "the rhetoric of decline has captured something real").
The empirical literature on bar associations likewise invites a certain amount of cynicism—or at least pessimism—about the possibility of public-interested law reform. Research shows that representative bar groups tend to be politically ineffective due to internal division.\textsuperscript{17} Most examples of effective bar influence involve elite, ideologically homogenous groups.\textsuperscript{18} Recent research on the effects of group deliberation on decision making also suggests some reason to be skeptical about the benefits of democratic deliberation for public policy outcomes.\textsuperscript{19} Such research points to enduring questions about the role of professionals in democracy and the nature of public policy expertise.\textsuperscript{20}
This Article considers the implications of this research for the role of bar associations in law reform. It focuses primarily on comprehensive,\textsuperscript{21} voluntary\textsuperscript{22} bar associations, such as the ABA and voluntary state and local bars. Part II identifies various sources of bias in individual lawyers' advocacy of the public interest while serving on bar
\textsuperscript{17} See Terence C. Halliday, Beyond Monopoly: Lawyers, State Crises, and Professional Empowerment 119 (1987) (discussing the "contradictions of inclusiveness" in the Chicago Bar Association); John P. Heinz et al., Diversity, Representation, and Leadership in an Urban Bar: A First Report on a Survey of the Chicago Bar, 1976 Am. B. Found. Res. J. 717, 771–72 (discussing the tension between diverse membership and political efficacy).
\textsuperscript{18} See Michael J. Powell, From Patrician to Professional Elite: The Transformation of the New York City Bar Association 177–93 (1988) (discussing the assets and liabilities of elite organizations); Susan D. Carle, Race, Class, and Legal Ethics in the Early NAACP (1910–1920), 20 Law & Hist. Rev. 97, 144 (2002) (discussing the shared legal and political views of the early NAACP).
\textsuperscript{19} See Matthew D. McCubbins & Daniel B. Rodriguez, When Does Deliberating Improve Decisionmaking?, 15 J. Contemp. Legal Issues 9, 12 (2006) (finding that deliberation tends to decrease social welfare); David Schkade et al., What Happened on Deliberation Day?, 95 Cal. L. Rev. 915, 926 (2007) (discussing the phenomenon of group polarization); Cass R. Sunstein, Deliberative Trouble? Why Groups Go to Extremes, 110 Yale L.J. 71, 79–96 (2000) (reviewing experimental research on group deliberation).
\textsuperscript{20} See Steven Brint, In an Age of Experts: The Changing Role of Professionals in Politics and Public Life 1–20 (1994) (arguing that there has been a shift from "social trustee" to "expert" professionalism in the United States); Powell, supra note 18, at 225–50 (discussing the role of legal elites); Gordon, supra note 13, at 68–83 (reviewing and rejecting various critiques of the lawyer-statesman ideal).
\textsuperscript{21} There has been relatively little empirical research on specialty bar associations. What research exists suggests that the dynamics of group deliberation are similar to those in comprehensive associations. See infra notes 46–49 and accompanying text.
\textsuperscript{22} The Supreme Court has held that there are constitutional limits on the funding of political activities by unified (compulsory) bar associations. Keller v. State Bar of California, 496 U.S. 1, 14 (1990) (The First Amendment limits the expenditure of compulsory dues to expenditures "for the purpose of regulating the legal profession or improving the quality of . . . legal service[s]" in the state. (internal quotation marks omitted)). A number of scholars have criticized this ruling and the unified bar concept generally. See David Luban, The Disengagement of the Legal Profession: Keller v. State Bar of California, 1990 Sup. Ct. Rev. 163 (arguing that Keller encouraged political disengagement); Theodore J. Schneyer, The Incoherence of the Unified Bar Concept: Generalizing from the Wisconsin Case, 1983 Am. B. Found. Res. J. 1 (arguing that the unified bar should be abolished); Smith, supra note 7 (arguing the same).
committees.\textsuperscript{23} Part III considers the extent to which such biases can be overcome by carefully structuring the collective debate—to include diverse views, for example—and concludes that viewpoint diversity, without more, has proven to be ineffective.\textsuperscript{24}
Part IV analyzes the implications of the research for the role and design of bar law reform committees.\textsuperscript{25} First, it argues that bar groups should be more explicit about the goals of law reform and the limits of legal expertise regarding contested political values. This does not mean that bar associations should avoid political engagement altogether, as some have suggested.\textsuperscript{26} Instead, bar associations should strive to set a public example of productive political debate by gearing their efforts toward research, fact finding, and the clear articulation of issues, rather than focusing primarily or exclusively on policy outcomes.\textsuperscript{27} The bar should also promote the associative and expressive benefits of civic debate.\textsuperscript{28} In other words, to the extent that law reform efforts raise divisive value questions, the bar should shift its attention from outcome to process, association, and expression.
Part IV also proposes that, in designing committees, bar leaders should be attentive to research on bar associations and the dynamics of group deliberation and should strive to contribute to this research by testing proposed innovations—for example, the use of a facilitator.\textsuperscript{29} Such self-study would have immense value for the pro-
\begin{itemize}
\item See infra notes 33–41 and accompanying text.
\item See infra notes 42–104 and accompanying text.
\item See infra notes 105–136 and accompanying text.
\item See Johnstone, supra note 7, at 240 (recommending that bar associations avoid “contentious social issues”); David M. Leonard, The American Bar Association: An Appearance of Propriety, 16 Harv. J.L. & Pub. Pol’y 537, 547–49 (1993) (arguing that the ABA is excessively politicized and should avoid taking stances on public policy issues).
\item See Carrie Menkel-Meadow, The Lawyer’s Role(s) in Deliberative Democracy, 5 Nev. L.J. 347, 349 (2004) (exploring “the possible role of the lawyer in . . . newer forms of structured democratic discourse”); Schkade et al., supra note 19, at 935–36 (suggesting that group polarization may be less extreme when the group is not asked to make a collective decision).
\item See Diana C. Mutz, Hearing the Other Side: Deliberative versus Participatory 74–77 (2006) (finding that exposure to competing views tends to increase an individual’s political tolerance); Menkel-Meadow, supra note 27, at 351–59 (reviewing arguments about the benefits of democratic deliberation as an end in itself); Schkade et al., supra note 19, at 929–30 (noting the “desirable social effects” of political deliberation in mixed groups).
\item See James S. Fishkin, Ctr. for Deliberative Democracy, Deliberative Polling: Toward a Better-Informed Democracy, http://cdd.stanford.edu/polls/docs/summary/ (last visited Nov. 1, 2007) (finding “dramatic, statistically significant changes in views” as the result of facilitated deliberation); Menkel-Meadow, supra note 27, at 361–62 (discussing the importance of a facilitator in building group consensus); Schkade et al., supra note 19, at 939; Sunstein, supra note 19, at 117 (discussing Fishkin’s research).
fession,\textsuperscript{30} both academically and practically, and would further contribute to the design of deliberative institutions.\textsuperscript{31} Systematic self-study would also go a long way toward grounding discussions of lawyer “professionalism” and providing practical strategies for improvement.\textsuperscript{32}
\section*{II. The Problem of Individual Bias}
There are reasons to doubt whether individual lawyers do, or can, set aside client interests when serving on bar law reform committees. As a threshold matter, the bar association itself may not be clear about its purpose in law reform. Although bar associations typically identify public service as one of their goals, and may even claim or imply a primarily public-interested stance, most also purport to serve their own members and the profession generally and do not address potential conflicts of interest among members, the profession, and the public.\textsuperscript{33} Thus, bar members who serve on law reform committees may not have a clear understanding of the role they are expected to play.
Further, even if the association as an entity is committed to promoting the public interest, it does not follow that the association expects individual lawyers to serve disinterestedly in this effort. One could argue that the public interest is best served through a process in which each lawyer zealously represents her clients’ special interests.\textsuperscript{34} Indeed, many argue that this is the dominant professional ideology among lawyers today.\textsuperscript{35} Thus, in the absence of instruction, individual
\begin{itemize}
\item[30.] See Alex Elson, \textit{From the Trenches and Towers: The Case for an In-Depth Study of the American Law Institute}, 23 \textit{Law \& Soc. Inquiry} 625, 627 (1998) (arguing that in-depth study of the ALI is “overdue”).
\item[31.] See Menkel-Meadow, \textit{supra} note 27, at 349 (discussing lawyers’ potential contributions to “democratic experimentalism”).
\item[32.] See Rob Atkinson, \textit{A Dissenter’s Commentary on the Professionalism Crusade}, 74 \textit{Tex. L. Rev.} 259 (1995) (criticizing the religious nature of the “professionalism crusade”); Samuel J. Levine, \textit{Faith in Legal Professionalism: Believers and Heretics}, 61 \textit{Md. L. Rev.} 217, 220–21 (2002) (arguing that most statements about lawyer professionalism are divorced from empirical observation and “accessible only to believers”).
\item[33.] See Johnstone, \textit{supra} note 7, at 195 (stating that most bar associations “aim to benefit three principal target groups: individual lawyers, the legal profession generally, and the public at large”).
\item[34.] See generally Monroe H. Freedman, \textit{Lawyers’ Ethics in an Adversary System} (1975); Charles Fried, \textit{The Lawyer as Friend: The Moral Foundations of the Lawyer-Client Relation}, 85 \textit{Yale L.J.} 1060 (1976). See also Gordon, \textit{supra} note 13, at 10–11 (discussing the “ideal of liberal advocacy”).
\item[35.] See Deborah L. Rhode \& David Luban, \textit{Legal Ethics} 87–89 (3d ed. 2001) (discussing the “standard conception” of the lawyer’s ethical role); Christopher J. Whelan, \textit{Some Realism About Professionalism: Core Values, Legality, and Corporate Law Practice}, 54 \textit{Buff. L. Rev.}
lawyers may assume that they were appointed to the committee because of their identification with a particular set of client interests and therefore are expected to serve in a representative capacity.
Finally, even if the association is explicit about its commitment to the public interest and its belief that individual lawyers should adopt a public orientation, it is unlikely that private practitioners will be able to fully set aside client interests. To begin with, there is a selection bias. Lawyers who disagree with their clients’ positions on law reform will have little incentive to make their disagreements public by serving on a bar committee.\textsuperscript{36} Most clients would view such active opposition as disloyal and punish their lawyers and their firms by withdrawing their business. Many law firms discourage or prohibit public service that would offend paying clients.\textsuperscript{37} Thus, lawyers who are inclined to serve on bar committees are likely to choose areas in which their interests are compatible with their clients’ interests.
Furthermore, lawyers’ own beliefs about the public interest are likely to be strongly influenced by their practice. Most lawyers identify, or at least empathize, with their clients’ interests and may share many aspects of their clients’ worldviews.\textsuperscript{38} No matter how conscientiously they try to balance competing interests, lawyers who represent individuals in white-collar criminal investigations are likely to better understand the interests of individual employees and emphasize the individual’s interest in being treated fairly. Corporate counsel are likely to better understand the role of the attorney-client privilege in obtaining information from employees and emphasize the importance of the privilege in promoting corporate compliance with law. And government lawyers are likely to better understand the challenges and
\textsuperscript{36} See Gordon, \textit{supra} note 13, at 23 (stating that “few lawyers will feel like engaging in . . . public campaigns to make life harder on their clients”).
\textsuperscript{37} See Deborah L. Rhode, \textit{Pro Bono in Principle and in Practice: Public Service and the Professions} 146–48 (2005); Scott L. Cummings, \textit{The Politics of Pro Bono}, 52 UCLA L. Rev. 1, 116–23 (2004); Esther F. Lardent, \textit{Positional Conflict in the Pro Bono Context: Ethical Considerations and Market Forces}, 67 Fordham L. Rev. 2279, 2280 (1999); Norman W. Spaulding, \textit{The Prophet and the Bureaucrat: Positional Conflicts in Service Pro Bono Publico}, 50 Stan. L. Rev. 1395, 1409–19 (1998).
\textsuperscript{38} See John P. Heinz & Edward O. Laumann, \textit{Chicago Lawyers: The Social Structure of the Bar} 137–66 (1982); Robert L. Nelson, \textit{Partners With Power: The Social Transformation of the Large Law Firm} 231–69 (1988) (discussing corporate lawyers); Gordon, \textit{supra} note 13, at 56–58; Leslie C. Levin, \textit{The Ethical World of Solo and Small Law Firm Practitioners}, 41 Hous. L. Rev. 309 (2004) (discussing solo and small firm practitioners); Sara Parikh & Bryant Garth, \textit{Philip Corboy and the Construction of the Plaintiffs’ Personal Injury Bar}, 30 Law & Soc. Inquiry 269 (2005) (discussing plaintiffs’ lawyers).
complexities of corporate investigations and have greater confidence in government lawyers' integrity and sense of proportion.
If the lawyer has a diverse clientele, it is possible that differing client interests will balance each other out. For example, matrimonial lawyers who represent both husbands and wives, commercial lawyers who represent both buyers and sellers, bankruptcy lawyers who represent both debtors and creditors, and mergers-and-acquisitions lawyers who represent both acquiring and target companies may find that relevant client interests are in equipoise. Yet, while a diverse clientele may increase lawyers' independence from any one set of clients, it also gives lawyers an incentive to avoid actively espousing their own views.\textsuperscript{39}
In any case, many areas of practice involve a relatively unitary and distinctive set of interests. In some areas, such as criminal law, where lawyers cannot serve simultaneously as public prosecutors and criminal defense lawyers, it will be impossible to have a balanced clientele. The same is true for in-house counsel and other lawyers who have only one client. Thus, it seems unrealistic to expect that private practitioners will be able to serve in a wholly disinterested manner when dealing with matters directly affecting their clients' interests. If one were to choose a single lawyer to define the public interest, it would not be a lawyer whose clients have a significant stake in the outcome.
One might imagine that the solution lies in carefully structuring bar law reform committees to ensure the inclusion of members with a broad range of views. Certainly, broad representation is important if individual committee members are expected to serve in a representative capacity. But, even if each individual member is expected to promote the public interest, presumably the collective discussion would benefit from diverse views.
As Part III explains, however, viewpoint diversity tends to be an ineffective strategy for bar-sponsored law reform. Rather than leading to balanced proposals backed by robust consensus, viewpoint diversity tends to lead to stalemate or trivial, symbolic action. Historically, most significant reforms have been accomplished by small, like-minded groups of elite lawyers, who innocently—or arrogantly—believed that theirs was a universal definition of the common good.\textsuperscript{40} Research on group deliberation likewise suggests a choice between preexisting consensus or stalemate.\textsuperscript{41} The question, then, is
\textsuperscript{39} See Gordon, \textit{supra} note 13, at 36 (discussing the pros and cons of client diversity for lawyer independence).
\textsuperscript{40} See \textit{infra} notes 50–70 and accompanying text.
\textsuperscript{41} See \textit{infra} notes 71–104 and accompanying text.
whether there is any productive public policy role for a representative bar.
III. THE LIMITS OF VIEWPOINT DIVERSITY
The empirical literature on bar associations focuses mainly on the history and politics of the ABA\(^{42}\) and the major urban bars.\(^{43}\) Perhaps the central theme of this literature is the trade-off between membership diversity and political efficacy. In an early, influential study of the Chicago Bar Association (CBA), John P. Heinz and his coauthors described the problem as follows:
Herein lies the dilemma of every professional association. The more its membership reflects the diversity of the larger society, the more limited and noncontroversial will tend to be the set of goals, however important they may be, that it can effectively pursue. . . .
[A] bar association that is broadly representative of the major elements within the profession is less and less likely to be able to satisfy all of its constituencies. There are too many groups within the profession that have too many conflicts with too many other groups—conflicts that are deep-seated and not subject to compromise. Any action of the association that would be likely to be regarded as “decisive” or “progressive” is also likely to offend one or more of these major factions.\(^{44}\)
The tension between diversity and efficacy tends to be greatest in the most inclusive—that is, comprehensive and unified—bar associations;\(^{45}\) however, observers report the same tension in many specialty bars. For instance, the National Lawyers’ Guild was formed to challenge the perceived conservatism of the ABA, but was immediately “[h]amstrung by . . . internecine squabbling between the radicals and
---
\(^{42}\) See generally M. Louise Rutherford, *The Influence of the American Bar Association on Public Opinion and Legislation* (1937); Edson R. Sunderland, *History of the American Bar Association and its Work* (1953); Ted Schneyer, *Professionalism as Bar Politics: The Making of the Model Rules of Professional Conduct*, 14 *Law & Soc. Inquiry* 677 (1989); Norman W. Spaulding, *The Discourse of Law in Time of War: Politics and Professionalism During the Civil War and Reconstruction*, 46 *Wm. & Mary L. Rev.* 2001 (2005).
\(^{43}\) On the Chicago Bar Association, see generally Halliday, *supra* note 17; Terence C. Halliday & Charles L. Cappell, *Indicators of Democracy in Professional Associations: Elite Recruitment, Turnover, and Decision Making in a Metropolitan Bar Association*, 1979 *Am. B. Found. Res. J.* 697; and Heinz et al., *supra* note 17. On the Association of the Bar of the City of New York, see generally George Martin, *Causes and Conflicts: The Centennial History of the Association of the Bar of the City of New York, 1870–1970* (1970); and Powell, *supra* note 18.
\(^{44}\) Heinz et al., *supra* note 17, at 771–72.
\(^{45}\) See Johnstone, *supra* note 7, at 232 (stating that “what follows almost invariably from large memberships in comprehensive bar associations is stultified programmatic action”).
the liberals."46 The American College of Real Estate Lawyers (ACREL), whose members represent many types of clients, limits its involvement in policy issues to avoid taking sides among members.47 Thus, diverse representation may lead to "stultified programmatic action,"48 even in bar associations that are organized around lawyers' specialized interests.49
The empirical literature suggests that the recipe for effective political action is not viewpoint diversity but rather status and insulation from competing views. Most examples of successful law reform—defined by whether the bar's proposed changes were effected—have been achieved by small groups of professionally and politically prominent lawyers, who began the process with a strong value consensus. Value consensus appears to be especially important for effective political action outside the boundaries of lawyers' core areas of expertise.
In his study of the Association of the Bar of the City of New York (ABCNY), for example, Michael J. Powell identified four resources that are necessary for the successful exercise of professional influence over policy issues.50 The first is technical expertise. As Powell noted, it is technical expertise that justifies the profession's entry into policy debates in the first place, and, historically, the profession's influence has been strongest on matters with a significant technical component. For instance, lawyers tend to be influential in the process of drafting legal and administrative rules.51 Technical expertise also provides a cover for lawyers with a substantive agenda, because "frequently, what appear to be technical concerns have important substantive implications."52
Technical expertise is not sufficient to guarantee political effectiveness, however. Other necessary resources include money, prestige,
---
46. Michael Powell, Anatomy of a Counter-Bar Association: The Chicago Council of Lawyers, 1979 Am. B. Found. Res. J. 501, 502–03.
47. See Judith Kilpatrick, Specialty Lawyer Associations: Their Role in the Socialization Process, 33 Gonz. L. Rev. 501, 536 (1997).
48. Johnstone, supra note 7, at 232.
49. See Michael John Balaoing, The Challenge of Asian Pacific American Diversity and Unity: A Study of Individual Ethnic Bar Associations Within the Asian Pacific American Community of Los Angeles, 2 Asian Pac. Am. L.J. 1 (1994) (reporting significant tensions in the effort to merge four separate Asian Pacific American bar associations in Los Angeles); Kilpatrick, supra note 47, at 535–36 (discussing the limited scope of ACREL's law reform efforts and reporting "some frustration" with its approach).
50. Powell, supra note 18, at 179–93.
51. Id. at 181 (discussing the role of Illinois bar associations in drafting the Illinois Criminal Code and noting that "[t]he product of the bar associations was adopted almost in its entirety").
52. Id. ("Recognizing that their technical expertise provides an avenue for legitimate entry into the policy-making process, lawyers may . . . emphasize their technical contributions when in fact they are also interested in the substance of the issues involved.")
and social connections, such as those stemming from law school ties and lawyers’ interorganizational mobility.\textsuperscript{53} For instance, Powell attributed much of the ABCNY’s success in achieving its law reform goals\textsuperscript{54} to the revenues it was able to generate from its relatively high dues and additional, voluntary contributions from Wall Street law firms.\textsuperscript{55} The social connections of bar leaders, many of whom served on foundation boards, also allowed the ABCNY to secure grants from private foundations headquartered in New York City. These grants, in turn, enabled the ABCNY to create special committees with paid professional staffs to research and write high-quality reports on the policy issues of the day. Several of the ABCNY’s law reform efforts “utilized the highly professional work of such special committees funded by foundation[ ] grants.”\textsuperscript{56}
Powell’s emphasis on the importance of reformers’ social and professional statuses is echoed in numerous other accounts of successful law reform efforts. Most successful groups have been highly selective and exclusive in their membership. For instance, the ALI has been described as an elitist organization,\textsuperscript{57} and certainly its membership policies are exclusive. With the exception of ex officio members designated by the bylaws, ALI membership requires two sponsors, recommendation by the membership committee, and election by the council.\textsuperscript{58} Yet, notwithstanding criticism of some of its output\textsuperscript{59} and complaints about a lack of viewpoint diversity among its members,\textsuperscript{60}
\begin{itemize}
\item \textsuperscript{53} \textit{Id.} at 182–84 (discussing the movement of ABCNY leaders in and out of New York law firms, state government, and federal regulatory agencies such as the Securities and Exchange Commission).
\item \textsuperscript{54} \textit{See id.} at 184–88 (discussing the ABCNY’s opposition to the Bricker Amendment, which would have restricted the treaty-making authority of the executive branch); \textit{id.} at 217–19 (discussing the ABCNY’s efforts to liberalize the grounds for divorce in New York).
\item \textsuperscript{55} \textit{Id.} at 182.
\item \textsuperscript{56} \textsc{Powell}, \textit{supra} note 18, at 182.
\item \textsuperscript{57} \textit{See Shirley S. Abrahamson, Refreshing Institutional Memories: Wisconsin and the American Law Institute,} 1995 \textsc{Wis. L. Rev.} 1, 35 (quoting Geoffrey C. Hazard, Jr., \textit{Remarks,} 67 \textsc{A.L.I. Proc.} 131, 133 (1990)).
\item \textsuperscript{58} \textit{See Elson, supra} note 30, at 631 (discussing the relationship between exclusive selection procedures and member independence from special interests); N.E.H. Hull, \textit{Restatement and Reform: A New Perspective on the Origins of the American Law Institute,} 8 \textsc{Law & Hist. Rev.} 55, 85–86 (1990) (describing the credentials of the founding members).
\item \textsuperscript{59} \textit{See Abrahamson, supra} note 57, at 34 (reviewing the critical literature); \textit{Elson, supra} note 30, at 626 (reviewing the same).
\item \textsuperscript{60} \textit{See Richard A. Posner, Remarks Prepared for Delivery at the Annual Dinner of the American Law Institute, May 18, 1995, in American Law Institute, Remarks and Addresses at the 72nd Annual Meeting,} May 18, 1995, at 4–47 (arguing that the ALI lacks intellectual and generational diversity).
the ALI has been effective in influencing public policy outcomes.\textsuperscript{61} Geoffrey C. Hazard, Jr., former director of the ALI, described its elitism as a strength, stating that “[t]hose who have the ability, opportunity, the capacity for responsibility, and equally, as I have said, luck, should accept the responsibility to look at the society from the larger public-interest perspective.”\textsuperscript{62}
Another consistent finding that emerges from the empirical literature is the importance of value consensus and insulation from competing views. As Powell noted, the ABCNY was a relatively homogenous organization throughout the 1950s and 1960s\textsuperscript{63} and “enjoyed a high degree of value consensus.”\textsuperscript{64} As a result, “the ABCNY was able to adopt strong, uncompromising policy positions . . . [i]n contrast [to] more heterogenous and inclusive organizations such as the CBA.”\textsuperscript{65}
Susan D. Carle’s account of the early history of the legal committee of the National Association for the Advancement of Colored People (NAACP) likewise highlights the importance of having a shared, perhaps even dogmatic, worldview.\textsuperscript{66} Carle focused on the relationship between the members of the NAACP’s first national legal committee and the legal ethics establishment in New York City. Her central question was how NAACP legal committee members were able to reconcile their own use of nontraditional litigation techniques, such as the solicitation of strangers as clients, “while sitting on bar committees that penalized other practitioners for similar conduct.”\textsuperscript{67}
Her answer was that committee members “drew a distinction between their motives, which they knew to be ethically pure, involving pro bono work for others, and the motives of those from a lower strata of the bar, who were engaging in comparable activities with pecuniary, self-interested intent.”\textsuperscript{68} According to Carle, this “world view was based on a universalist understanding of the public good, very different from contemporary understandings of pluralist politics.”\textsuperscript{69} Carle elaborated on this worldview as follows:
\begin{itemize}
\item \textsuperscript{61} See Abrahamson, \textit{supra} note 57, at 3–4 (discussing the influence of the restatements); Charles W. Wolfram, \textit{Bismark’s Sausages and the ALI’s Restatements}, 26 \textit{HOFSTRA L. REV.} 817, 834 (1998) (concluding that the ALI “seems to work well in spite of itself”).
\item \textsuperscript{62} Geoffrey C. Hazard, Jr., \textit{Remarks}, 67 A.L.I. PROC. 131, 133 (1990).
\item \textsuperscript{63} Powell, \textit{supra} note 18, at 180.
\item \textsuperscript{64} \textit{Id.} at 220.
\item \textsuperscript{65} \textit{Id.} (discussing the ABCNY’s adoption of a “‘pure’ no-fault accident-compensation proposal”).
\item \textsuperscript{66} See Carle, \textit{supra} note 18, at 97.
\item \textsuperscript{67} \textit{Id.} at 100.
\item \textsuperscript{68} \textit{Id.}
\item \textsuperscript{69} \textit{Id.}
To the optimistic early twentieth-century mindset of the lawyers on the legal committee, legal solutions to social injustice were ascertainable through study and analysis—one’s perspective did not vary depending on one’s position in society. This universalist understanding of social justice translated into a sense of confidence about the reach of legal ethics rules. The purpose of these rules was to prohibit “bad” conduct but not to interfere with “good,” altruistically motivated endeavors. That there could be anything suspect about the legal committee members judging these questions when their own conduct was at issue simply would not have occurred to them.\footnote{70}{Id. at 144.}
The importance of value consensus for the success of bar law reform efforts is consistent with experimental research on the dynamics of group deliberation. Such research finds that group deliberation is of limited value in bridging political divides, especially where individuals’ initial views and values are strongly held.\footnote{71}{See Roger Brown, \textit{Social Psychology} 226 (2d ed. 1986); Sunstein, \textit{supra} note 19, at 92–93 (reviewing experimental research).} Instead, group deliberation tends to amplify individuals’ preexisting views and shift the group as a whole toward a more extreme position.\footnote{72}{See Sunstein, \textit{supra} note 19, at 85–90.}
This tendency toward “ideological amplification”\footnote{73}{See Schkade et al., \textit{supra} note 19, at 917 (defining ideological amplification as “an amplification of preexisting ideological tendencies, in which group discussion leads to greater extremism”).} is perhaps unsurprising in likeminded groups. For instance, one recent study divided participants into groups of liberals and conservatives and asked each group to deliberate for fifteen minutes about global warming, affirmative action, and same-sex civil unions.\footnote{74}{Id. at 920 (explaining the methodology of the study).} After deliberating, the liberal groups became more liberal on all three issues, and the conservative groups became more conservative, as measured by the mean view for each group.\footnote{75}{Id. at 917, 921 (summarizing the results of the study).}
Interestingly, however, a similar phenomenon called “group polarization” occurs in mixed groups.\footnote{76}{Id. at 927 (defining “ideological amplification” as “a special case of group polarization”).} The term “group polarization” is somewhat misleading, in that it does not refer to the tendency of a group to shift toward two poles.\footnote{77}{See Sunstein, \textit{supra} note 19, at 85.} Rather, it refers to the tendency of deliberating groups to coalesce, not around the middle of the range of members’ views, but around a more extreme version of the majority
position.\textsuperscript{78} Thus, on policy matters where mixed groups are asked to reach a consensus, the best predictor of the decision’s direction is the median predeliberation view of group members.\textsuperscript{79} In most contexts, however, groups also move toward a more extreme version of the median predeliberation view.\textsuperscript{80} The fact that some group members oppose the view does not prevent a group shift from occurring.\textsuperscript{81}
For instance, a study of mock jury decisions about punishment and punitive damages found that the direction of group decisions was largely a function of members’ predeliberation views, even when there was considerable diversity in those views.\textsuperscript{82} Thus, group decisions about whether to punish were unaffected by deliberation. When a majority of jurors favored punishment, the jury would recommend punishment, and when a majority favored none, the jury verdict was “virtually certain” to be none.\textsuperscript{83} In actual juries that do not hang, the median predeliberation verdict predicts the outcome 90% of the time.\textsuperscript{84}
Deliberation did, however, produce a “severity shift” in group punishment ratings and dollar awards for punitive damages.\textsuperscript{85} Among mock juries that awarded any punitive damages, “27% reached dollar verdicts that were as high as or higher than the highest predeliberation judgment of their individual members.”\textsuperscript{86} Moreover, the size of the severity shift was unrelated to the level of predeliberation agreement among jurors. Thus, sizeable shifts occurred even in groups whose members were in substantial disagreement about whether or how much to punish.\textsuperscript{87}
Researchers attribute the phenomenon of group polarization to a variety of causes, some of which suggest design interventions for bar
\textsuperscript{78} \textit{Id.}; see also Schkade et al., \textit{supra} note 19, at 927 (“[G]roup polarization refers to the tendency of deliberating groups to shift to a more extreme position in line with the pre-deliberation tendencies of their members.”).
\textsuperscript{79} See \textsc{Brown}, \textit{supra} note 71, at 210–12; Serge Moscovici & Marisa Zavalloni, \textit{The Group as a Polarizer of Attitudes}, 12 \textsc{J. Personality \& Soc. Psychol.} 125 (1969); Schkade et al., \textit{supra} note 19, at 925–35 (reviewing the experimental literature).
\textsuperscript{80} See Sunstein, \textit{supra} note 19, at 85 (stating that “[g]roup polarization is among the most robust patterns found in deliberating bodies”). See also Cass R. Sunstein, \textit{The Law of Group Polarization}, 10 \textsc{J. Pol. Phil.} 175 (2002).
\textsuperscript{81} Sunstein, \textit{supra} note 19, at 94.
\textsuperscript{82} David Schkade et al., \textit{Deliberating About Dollars: The Severity Shift}, 100 \textsc{Colum. L. Rev.} 1139, 1140–41 (2000) (summarizing the findings of the study).
\textsuperscript{83} \textit{Id.} at 1153 (discussing the decision to punish and reporting “no evidence of any systematic effect of deliberation on outcomes”).
\textsuperscript{84} See \textsc{Brown}, \textit{supra} note 71, at 229; Sunstein, \textit{supra} note 19, at 103.
\textsuperscript{85} See Schkade et al., \textit{supra} note 82, at 1140 (reporting evidence of a severity shift).
\textsuperscript{86} \textit{Id.}
\textsuperscript{87} \textit{Id.} at 1156.
committees, as discussed in Part IV.\textsuperscript{88} One cause is people’s urge for social conformity, which leads them to defer to the opinions of others whether or not they actually agree.\textsuperscript{89} In a classic experiment by Solomon E. Asch, for example, subjects in groups were asked to match a line drawn on a card to one of identical length, selected from among three choices.\textsuperscript{90} After several rounds of matching in which all members of the group agreed, some members—Asch’s confederates—chose the wrong line in what was clearly an error.\textsuperscript{91} Nevertheless, under pressure from the majority, minority subjects went along with the error 36.8% of the time.\textsuperscript{92}
The urge for conformity does not explain the tendency of groups to shift toward more extreme positions, however. That shift is better explained as the result of “social comparison” and the limited argument pools that are present in many groups.\textsuperscript{93} Social comparison refers to people’s desire to be perceived favorably by people with whom they identify.\textsuperscript{94} For instance, among groups of young men asked questions about risk taking, individual men “may want to be perceived (and to perceive themselves) as daring risk-takers.”\textsuperscript{95} Likewise, among groups of liberals, individuals who view themselves as slightly left-of-center may shift their position to the left to maintain their accustomed position relative to others in the group.\textsuperscript{96}
Limited argument pools are the result of unbalanced (or uninformed) groups, in which group members’ predispositions affect the range of arguments available.\textsuperscript{97} For instance, in a group of seven with two members in favor and five opposed, there are likely to be more and better arguments available to the members opposed.\textsuperscript{98} Where argument pools are limited, minority views tend to be suppressed or to
\begin{itemize}
\item \textsuperscript{88} See infra notes 105–136 and accompanying text.
\item \textsuperscript{89} Schkade et al., supra note 19, at 925; Sunstein, supra note 19, at 77–81.
\item \textsuperscript{90} Solomon E. Asch, \textit{Opinions and Social Pressure}, in \textit{Readings About the Social Animal} 13 (Elliot Aronson ed., 7th ed. 1995).
\item \textsuperscript{91} Id. at 15–16.
\item \textsuperscript{92} Id. at 16; Sunstein, supra note 19, at 79–80 (discussing Asch’s experiment).
\item \textsuperscript{93} See Sunstein, supra note 19, at 88–90 (reviewing theoretical explanations for group polarization).
\item \textsuperscript{94} See Brown, supra note 71, at 210–29 (reviewing the literature on social comparison); Sunstein, supra note 19, at 88–89 (providing an overview of social comparison research).
\item \textsuperscript{95} Sunstein, supra note 19, at 88.
\item \textsuperscript{96} See Schkade et al., supra note 19, at 932.
\item \textsuperscript{97} See Sunstein, supra note 19, at 75–76 (discussing the dangers of “enclave deliberation”).
\item \textsuperscript{98} Schkade et al., supra note 19, at 930–31; Sunstein, supra note 19, at 89 (discussing informational influences on group polarization).
give way to “cascade” effects.\textsuperscript{99} Cass R. Sunstein has explained these effects:
People typically have different thresholds for choosing to believe or do something new or different. As those with low thresholds come to a certain belief or action, people with somewhat higher thresholds join them, possibly to a point where a critical mass is reached, making groups . . . “tip.” The result of this process can be to produce snowball or cascade effects . . . . Consider, for example, smoking, participating in protests, striking, buying stocks . . . even leaving bad dinner parties.\textsuperscript{100}
As a result of social comparison and social cascades, groups that start out slightly unbalanced tend to become more unbalanced as the result of group deliberation.
The experimental literature suggests limited conditions for productive deliberation in mixed political groups. To the extent that group members are not entrenched in their views and do not have reasons to identify with or against other members of the group, well-balanced groups may be capable of productive deliberation, in which social pressures take a backseat to informational influences, such as exposure to new facts and arguments. In James S. Fishkin’s experiments on deliberative polling, for instance, in which mixed groups have access to balanced briefing materials and a neutral facilitator and are not asked to reach a decision, many members report changes in their views as the result of deliberation.\textsuperscript{101}
On the other hand, where people are entrenched in their views, as is often the case in public policy debates, deliberation tends to be unproductive—much as the bar literature would suggest.\textsuperscript{102} For instance, group deliberation tends to have little influence on people’s views about abortion and capital punishment.\textsuperscript{103} The experimental literature suggests the same would hold true for any divisive issue about which group members have devoted significant thought. Research shows that, “when people have a fixed view of some highly salient
\textsuperscript{99} Sunstein, \textit{supra} note 19, at 81–84 (discussing “informational” and “reputational” cascades).
\textsuperscript{100} \textit{Id.} at 82.
\textsuperscript{101} See Fishkin, \textit{supra} note 29.
\textsuperscript{102} See Brown, \textit{supra} note 71, at 226 (stating that “familiar and long-debated issues do not depolarize easily”).
\textsuperscript{103} Cass R. Sunstein et al., \textit{Are Judges Political?: An Empirical Analysis of the Federal Judiciary} 22–24, 54–56 (2006) (finding that ideological amplification generally occurs in the federal judiciary, except in cases involving abortion and capital punishment, where judicial judgments are firmly held); Eugene Burnstein, \textit{Persuasion as Argument Processing, in Group Decision Making} 103, 111–12 (Hermann Brandstätter et al. eds., 1982) (finding the least depolarization with highly visible public policy questions, such as whether capital punishment is justified).
public issue, they are likely to have heard a wide range of arguments in various directions, producing a full argument pool, and additional discussion is not likely to produce movement."104
IV. IMPLICATIONS
Based on the bar association and group deliberation research, one might argue that the ABA and other comprehensive bar associations should avoid controversial political issues altogether and limit their law reform activities to technical issues, such as drafting and statutory interpretation. For instance, Johnstone takes this position in his review of bar law reform efforts, specifically mentioning abortion as an example of an issue that should be avoided:
An association should limit or avoid involvement with an issue if that involvement threatens to cause a substantial number of its members to resign or become inactive, or if that involvement threatens the association’s general effectiveness. Caution is especially advisable on contentious social issues that have little direct bearing on the legal profession and the usual work of lawyers. It seems particularly foolish for a bar association to risk its viability over issues regarding which it cannot realistically expect to exert much influence. For example, there have been very disruptive consequences for the ABA when it has taken up the issue of abortion.105
Some bar associations also take this position and have adopted self-imposed limits on political involvement. For instance, ACREL limits its official involvement to the clarification of statutory or regulatory language and the identification of “mechanical” problems with proposed laws or regulations.106 The Bar Association of Metropolitan St. Louis has adopted guidelines for political involvement that, among other things, require that the issue “is not clearly inappropriate” and “that the position to be taken would be supported by an informed membership.”107 According to the ABA’s 2005 Bar Activities Inventory, 45% of unified state bars and 25% of voluntary state bars do not take positions on federal legislation, and 17% of unified state bars do not take positions on state legislation.108
104. Sunstein, supra note 19, at 93 (discussing “depolarization”).
105. Johnstone, supra note 7, at 240. More than 1,500 lawyers resigned from the ABA after the House of Delegates endorsed pro-choice legislation in 1990. James Podgers, Which Way ABA?: Pondering New Policy Directions, 78 A.B.A. J., Dec. 1992, at 61.
106. Kilpatrick, supra note 47, at 536 (quoting Telephone Interview with Roger Schwenke, ACREL member (Mar. 11, 1997)).
107. Johnstone, supra note 7, at 229 n.201 (citing Deirdre O. Smith, President’s Report, Where We Stand, St. Louis B.J., Winter 1995, at 3).
108. 2005 Bar Activities Inventory, supra note 7, at VIII (Governmental Relations).
Such limits do not prevent individual lawyers from attempting to improve law and policy through other means, including membership in other types of legal and political organizations. Nor do they prevent the organized bar from serving the public interest in specialized and technical areas of law. Indeed, one might argue that the public role of the profession has not diminished, but merely shifted to more specialized areas of practice.\textsuperscript{109} As Gordon has observed, the lawyer-statesman ideal originated when the United States was an immature state without the public bureaucracies, academic institutions, or advocacy organizations that now do much of the work originally done by the private bar.\textsuperscript{110} Now “the age of the gentleman-amateur” statesman has passed, and politics have become more democratized.\textsuperscript{111} Perhaps the story is one of decentralization and increasing specialization, rather than professional or moral decline.
For instance, bar association committees have been active and seemingly independent of client interests in the regulation of third-party closing opinions.\textsuperscript{112} According to a recent study by Jonathan C. Lipson, many aspects of closing opinion practice are shaped by “non-economic social forces,” including lawyers’ professional pride.\textsuperscript{113} Lipson noted especially the active role of bar association committees:
A comparatively small coterie of opinion “gurus” sits on these committees, both at the state and national level. They apparently know one another, either personally or by reputation, and often collaborate on opinion-related bar association projects. These gurus are not remunerated in any direct or significant way for the service they provide. While there are undoubtedly many reasons for volunteering in this way, one reason is . . . a kind of pride, both civic and personal.\textsuperscript{114}
Likewise, Tanina Rostain has challenged the importance of client interests in explaining the role of the tax bar in curbing abusive corporate tax shelters.\textsuperscript{115} Based on a detailed review of the bar’s various reform initiatives, Rostain concluded that “it is implausible to explain the organized tax bar’s support of reform in terms of its members’ or its clients’ financial interests.”\textsuperscript{116} Instead, she argued, “the bar [was]
\begin{itemize}
\item[109.] See Gordon, \textit{supra} note 13, at 66 (referring to this as the “relocation” thesis).
\item[110.] \textit{Id.} at 65.
\item[111.] \textit{Id.}
\item[112.] See Jonathan C. Lipson, \textit{Price, Path & Pride: Third-Party Closing Opinion Practice Among U.S. Lawyers (A Preliminary Investigation)}, 3 \textit{Berkeley Bus. L.J.} 59, 115–22 (2005).
\item[113.] \textit{Id.} at 62–65.
\item[114.] \textit{Id.} at 122.
\item[115.] Tanina Rostain, \textit{Sheltering Lawyers: The Organized Tax Bar and the Tax Shelter Industry}, 23 \textit{Yale J. on Reg.} 77, 113 (2006).
\item[116.] \textit{Id.}
seeking to restore the importance of tax expertise based in judicial doctrines” and “affirm the status of tax lawyers as guardians of the tax system.”\textsuperscript{117}
While these examples highlight the potential for professional independence on the part of highly specialized groups, such efforts are no substitute for visible, sustained public policy involvement by the comprehensive bar. This Part argues that comprehensive bar associations have something special to offer in divisive policy debates. This does not mean that bar associations should jump in on all issues or that some issues are not best left to other forums. But the bar should reject the conflict avoidance strategy suggested by Johnstone and others.
To begin with, this strategy relies on the slippery distinction between “legal” and “political” issues. However clear this distinction may be at the margins, many important public policy debates, such as those about privilege and torture, involve both. By avoiding controversial political issues, bar associations are likely to remove themselves from the most pressing legal issues of the day.
Moveover, lawyers have special training in civic and political debate. This is not to say that lawyers are “uniquely endowed with political wisdom and insight into everybody’s long-term best interests.”\textsuperscript{118} As Gordon has noted, this pompous version of the lawyer-statesman ideal “was always ridiculous.”\textsuperscript{119} But lawyers have special training in the art of detachment\textsuperscript{120} and special exposure to the argument pool about the distinction between law and politics. Lawyers are also uniquely motivated to invest in civic debate. How many mentors have told their protégés to develop their professional networks by participating in bar activities? Thus, from a societal perspective, bar associations are an important deliberative enclave where like-minded citizens—by virtue of shared professional training—can develop and amplify arguments that might be “squelched in general debate.”\textsuperscript{121}
Finally, the bar has a unique opportunity to improve the quality of deliberative institutions. Bar associations represent a massive institutional apparatus and a valuable set of sites for democratic experimentation. In addition to the ABA and 53 state bar associations, there are
\begin{itemize}
\item \textsuperscript{117} Id. at 113–14.
\item \textsuperscript{118} Gordon, \textit{supra} note 13, at 74 (discussing critiques of the lawyer-statesman ideal based on competence).
\item \textsuperscript{119} Id.
\item \textsuperscript{120} Id. (noting that lawyers “are professionally capable of detachment, able to see different sides of a problem”).
\item \textsuperscript{121} Sunstein, \textit{supra} note 19, at 111 (discussing the advantages of “enclave deliberation” and noting that “many social movements have been made possible through this route”). The rights of criminal defendants come to mind.
111 local bar associations with an average membership of more than 3,000 lawyers.\textsuperscript{122} The combined expenditures of local bar associations alone is over $100 million per year.\textsuperscript{123} Even if only a small fraction of bar activities were devoted to law reform, the aggregate effort and investment represents a huge resource.
Bar associations should be more explicit and purposeful in tapping this resource. This means, first, acknowledging the limits of what bar committees can accomplish in divisive policy debates. As Part III explained, representative bar groups are unlikely to reach consensus on divisive issues through group deliberation.\textsuperscript{124} Thus, proposing specific policy outcomes may be unrealistic. Moreover, the experimental literature suggests that directing deliberative groups to focus on outcomes may increase group polarization.\textsuperscript{125} There are, however, other valuable contributions that bar committees can make.
For example, bar committees can deliberate without attempting to propose an outcome but rather as a means of developing briefing materials for other groups. Many bar committees already engage in extensive research and fact finding and produce detailed substantive reports and minority reports for lawyers, legislatures, and others.\textsuperscript{126} Much of the value of such reports is not in the specific policy outcomes that they propose, but rather in their contribution to the argument pool.\textsuperscript{127} Most bar associations also produce materials for continuing legal education.\textsuperscript{128} Representative committees may be especially useful in producing balanced materials and identifying where irresolvable political divisions exist.
Bar committees can also deliberate as a means of self-consciously testing the benefits of different structural designs.\textsuperscript{129} The deliberation research suggests that even relatively modest design innovations may
\begin{itemize}
\item \textsuperscript{122} 2005 \textit{Bar Activities Inventory}, \textit{supra} note 7 (Section 1).
\item \textsuperscript{123} \textit{Id}.
\item \textsuperscript{124} \textit{See supra} notes 42–104 and accompanying text.
\item \textsuperscript{125} \textit{See Schkade et al., supra} note 19, at 939 (distinguishing between “deliberating groups that attempt to reach a shared conclusion (as in our study) and deliberating groups that simply talk (as in Fishkin’s studies)”; Sunstein, \textit{supra} note 19, at 117.
\item \textsuperscript{126} \textit{See, e.g.}, N.Y. State Bar Ass’n, Substantive Reports, http://www.nysba.org/ (select “Publications”; then follow “Substantive Reports” hyperlink) (last visited Jan. 2, 2008) (listing reports by various committees of the NYSBA).
\item \textsuperscript{127} \textit{See, e.g.}, Elizabeth Cooper, \textit{Report and Recommendations of the Special Committee to Study Issues Affecting Same-Sex Couples} (N.Y. State Bar Ass’n. Oct. 2004) (explaining the legal implications of civil unions versus same-sex marriages).
\item \textsuperscript{128} 2005 \textit{Bar Activities Inventory}, \textit{supra} note 7, at III (Continuing Legal Education). Eighty-two percent of state bar associations and ninety-five percent of local bar associations conduct CLE programming. \textit{Id}.
\item \textsuperscript{129} \textit{See Menkel-Meadow, supra} note 27, at 352 (arguing that “lawyers have a great role to play in the practice of democracy as . . . ‘process architects’”).
improve deliberation and reduce the usual tendency toward group polarization.\textsuperscript{130} For instance, Fishkin’s experiments with deliberative polling suggest that the use of a facilitator may help to expand the argument pool and limit cascade effects.\textsuperscript{131} Research on mediation and other forms of dispute resolution also suggests that “expert facilitators can minimize strategic gaming and bargaining” and help to build group consensus.\textsuperscript{132} Indeed, simply making participants aware of the effects of limited argument pools and the nature of social influence within groups may help “inoculat[e]” participants against inadequate arguments.\textsuperscript{133} As a result of their specialized training in advocacy and structured argument, lawyers may be especially receptive to such interventions.
Bar associations should strive to contribute to ongoing research about the potential benefits of different institutional designs. In addition to opening up a whole new angle for jokes about lawyers and lab rats,\textsuperscript{134} such experimentation would be of immense academic—and perhaps operational—value. Although most arguments about the lawyer-statesman focus on public policy outcomes, particularly the need to exert control over corporate America,\textsuperscript{135} much democratic theory focuses on the value of democratic discourse, both for the legitimacy of policy outcomes and for its independent associational and expressive value.\textsuperscript{136} Democratic theory thus invites the profession to refocus its attention on the constitutive value of thoughtful civic debate. Bar associations are uniquely positioned to play this role.
\textsuperscript{130} See Sunstein, \textit{supra} note 19, at 108 (“The simplest lesson here involves individual susceptibility and [the importance of] institutional design.”); Schkade et al., \textit{supra} note 19, at 918 (“[O]ur findings . . . provide strong support for [deliberative] safeguards.”).
\textsuperscript{131} See Fishkin, \textit{supra} note 29; Sunstein, \textit{supra} note 19, at 117 (discussing Fishkin’s research).
\textsuperscript{132} Menkel-Meadow, \textit{supra} note 27, at 362.
\textsuperscript{133} Sunstein, \textit{supra} note 19, at 108–09.
\textsuperscript{134} See Marc Galanter, \textit{Lowering the Bar: Lawyer Jokes and Legal Culture} (2005) (providing an analysis of historic and contemporary trends in lawyer jokes). In 2002, Galanter identified the following joke as “the single most prevalent of all current lawyer jokes”: “Why have research laboratories started using \textit{lawyers} instead of \textit{rats} in their experiments? There are three reasons: first, there are more of them; second, the lab assistants don’t get attached to them; and third, there are some things a \textit{rat} just won’t do.” Marc Galanter, \textit{Changing Legal Consciousness in America: The View From the Joke Corpus}, 23 Cardozo L. Rev. 2223, 2234 (2002) (emphasis in original).
\textsuperscript{135} See Gordon, \textit{supra} note 13, at 2–3, 15 (tracing the evolution of the lawyer-statesman ideal and noting proponents’ particular emphasis on independence from corporate clients).
\textsuperscript{136} See Menkel-Meadow, \textit{supra} note 27, at 347–59 (reviewing discourse theory); James A. Gardner, \textit{Shut Up and Vote: A Critique of Deliberative Democracy and the Life of Talk}, 63 Tenn. L. Rev. 421 (1996) (criticizing discourse theory).
V. Conclusion
ABA leaders have recently called for a “Renaissance of Idealism” in the legal profession—a recommitment by lawyers to engage in pro bono and public service.\textsuperscript{137} In its final report, the ABA Commission on the Renaissance of Idealism in the Legal Profession identified time constraints as the main obstacle to lawyers’ public service and urged “decision makers in America’s law offices to free up time for lawyers to volunteer.”\textsuperscript{138}
This Article has focused on what happens when those busy idealists serve on bar law reform committees. How can lawyers make the best use of the time they devote to bar-sponsored public service? How should bar associations channel the idealistic—and commercial—impulses of their members? To answer those questions, this Article has argued, a dose of realism is in order.
Bar committees should be realistic about the kinds of contributions they can make and their expectations for individual members. This does not mean shying away from high-profile political debates; on the contrary, bar committees may be uniquely valuable in such debates. It does, however, mean being informed about the consequences of viewpoint diversity and the dynamics of group deliberation. It means placing more emphasis on research, fact finding, and the clear articulation of issues, rather than focusing only or primarily on outcomes where political differences are entrenched. Finally, it means exploiting the strengths of bar associations as institutions and sites for democratic experimentation.
Bar associations embody many of the tensions in modern democracy, including the fundamental tension between viewpoint diversity and political efficacy. Identifying constructive responses to this tension, and models for public service in the face of it, is a realistic ideal.
\textsuperscript{137} \textit{ABA Renaissance Report}, supra note 3, at 2.
\textsuperscript{138} \textit{Id}.
|
Two-step wireline log analysis of overpressure in the Bekapai Field, Lower Kutai Basin, Indonesia
Agus M. Ramdhan\textsuperscript{1*} & Neil R. Goult\textsuperscript{2}
\textsuperscript{1} Department of Geology, Institut Teknologi Bandung, Jl. Ganesha 10, Bandung 40132, Indonesia
\textsuperscript{2} Department of Earth Sciences, Durham University, South Road, Durham DH1 3LE, UK
*Correspondence: firstname.lastname@example.org
Abstract: As part of our effort to improve pore-pressure estimation in diagenetically altered mudstones, we have used wireline logs to estimate disequilibrium compaction and unloading contributions to the hard overpressure encountered in the Bekapai Field, Lower Kutai Basin. The maximum vertical effective stress that the overpressured mudstones have experienced is estimated from the density log using Dutta’s relationship between vertical effective stress and void ratio. The sonic–density cross-plot is then used to estimate the sonic reference trend; that is, the expected sonic response if the mudstones were currently at maximum vertical effective stress. Finally, comparison of the sonic log with the sonic reference trend gives the unloading contribution to overpressure using Bowers’ unloading relationship between the vertical effective stress and velocity. In spite of poor data quality, fair results were obtained showing a steady increase in disequilibrium compaction overpressure below the top of the sharp pressure ramp. Immediately below the pressure ramp, the unloading contribution to overpressure dominates, with gas generation being the most likely cause. Our interpretation explains the pressure and wireline log data in this deltaic setting satisfactorily, resolving a debate on overpressure-generation mechanisms in the shelfal area of the basin that has been ongoing for 25 years.
Received 11 April 2017; revised 26 June 2017; accepted 10 July 2017
The Lower Kutai Basin is located in eastern Kalimantan (Fig. 1) and is the largest basin in Indonesia for gas production. The onshore area and the shelfal area surrounding the Mahakam Delta are mature areas for hydrocarbon exploration and production. In the shelfal area, fields are located along three major anticlines lying parallel to the coast, known as the Internal, Median and External axes. The Bekapai oil and gas field lies on the Median Axis. The sediments hosting and overlying the hydrocarbon accumulations are deltaic deposits sourced by the Mahakam River (Moss & Chambers 1999), and sedimentation has been continuous during the Neogene (Duval et al. 1998) so the strata are at maximum burial.
Due to lateral drainage through the deltaic sandstones, the pore pressure remains hydrostatic to depths of approximately 3–4 km below sea level, where there is a sharp pressure ramp into hard overpressure. Hydrocarbons are trapped hydrodynamically in the adjacent Peciko and Tunu fields (Grosjean et al. 2009), so it is probable that lateral water flow is also taking place in the overpressured reservoirs of the Bekapai Field.
Rapid burial during the Neogene was thought by earlier researchers to have generated the overpressure by disequilibrium compaction (Burrus et al. 1992; Bois et al. 1994; Bates 1996; Burrus 1998). Although doubts had been expressed about the quality of the density logs, the low mudstone porosities observed in the zone of hard overpressure are inconsistent with the disequilibrium compaction mechanism. These low porosities prompted Schneider et al. (1993) and Burrus (1998) to suggest that compaction depends on the Biot effective stress. Goult (1998) argued that use of the Biot effective stress was inappropriate, and proposed that porosity should be related to mean effective stress instead of the vertical effective stress. However, in that paper he used poroelasticity and ignored soil mechanics principles: that is, during compaction, the void ratio depends on both mean effective stress and differential stress, although use of vertical effective stress is justified provided that the ratio between the horizontal effective stresses and the vertical effective stress does not change much with depth (Goult 2004; Hauser et al. 2014).
In previous articles (Ramdhan & Goult 2010, 2011), we have suggested that overpressure has been generated by unloading processes, especially gas generation, because mudstone density trends continue to increase downwards through the pressure ramp and the depth to top of hard overpressure coincides with the vitrinite reflectance threshold for gas generation. Furthermore, we suggested that the density reversal observed in the deepest well below the sharp pressure ramp was a consequence of ‘chemical undercompaction’, a process in which porosity was preserved by very high pore pressure holding pores open while the mudstone matrix was being cemented by the products of clay diagenesis (Goult et al. 2012). We no longer think that chemical undercompaction is the correct explanation because it has become clear that diagenetically altered siliciclastic mudstones continue to compact mechanically in response to increasing effective stress (Cicchino et al. 2015; Goult et al. 2016).
We have now applied two-step analysis to density and sonic logs at Bekapai to discriminate between loading and unloading mechanisms of overpressure generation. Our analysis method builds on the work of Bowers (1995, 2001), Dutta (1986, 2002, 2016) and Sargent et al. (2015). We find that although overpressure immediately below the onset of the sharp pressure ramp has predominantly been generated by unloading, the contribution of disequilibrium compaction gradually increases with depth. We claim that our interpretation finally makes sense of the pressure and wireline log data in this deltaic setting, resolving conflicting suggestions about overpressure generation mechanisms in the shelfal area of the Lower Kutai Basin.
We start with a brief review of the geology and overpressure regime in the Lower Kutai Basin. Then we describe the two-step method of wireline log analysis, and show the result of its application to two Bekapai wells that penetrate the pressure ramp into hard overpressure.
Geology
The development of the Kutai Basin has been described by Moss & Chambers (1999) and Chambers et al. (2004). Basin initiation took...
place during the middle–late Eocene as a consequence of tectonic extension in the SE Asia region (e.g. Hall 2009). The subsequent sag phase from the latest Eocene to the late Oligocene was marked by deposition of deep-marine muds in the basin centre. Early development of deltaic sediments occurred from the latest Oligocene to the early Miocene, with a second phase of tectonic extension in the basin centre. From the middle Miocene to the present, delta progradation has occurred, accompanied by the development of the Samarinda Anticlinorium which includes three anticlinal axes forming structural traps for hydrocarbons in the shelfal area of the Lower Kutai Basin (Fig. 1). Consequently, the Neogene strata in the shelfal area mainly comprise intercalated sandstones, mudstones and coals of the deltaic facies.
The hydrocarbons that have been produced in the Kutai Basin have come from the fluvio-deltaic petroleum system of middle Miocene–Pliocene age. A complete synthesis of this petroleum system was made by Paterson et al. (1997) and Duval et al. (1998), and a schematic model is shown in Figure 2. The main source rocks are organic-rich mudstones, coal beds and even sandy facies deposited in fluvial, delta-top, tidal-plain and delta-front settings, mostly classified as Type III source rocks. Although the organic-rich mudstones are gas-prone, Lambert et al. (2003) reported that the oil-generative potential of the Type III organic matter is unusually high. The contribution to hydrocarbon generation of the marine mudstones, located in the deeper part of the Neogene sequence, is thought to be negligible because their organic content is low. Interestingly, isotopic analysis performed by Lambert et al. (2003) showed that the threshold for both oil and gas generation corresponds to a vitrinite reflectance of 0.6%.
The reservoirs are fluvial and mouth-bar sandstones, and the seals are marine mudstones that developed during transgressions. Paterson et al. (1997) and Duval et al. (1998) proposed that hydrocarbons have predominantly migrated laterally from source rocks in the synclinal areas into the anticlinal traps.
The structure of the giant Bekapai oil and gas field is a faulted anticline with major faults striking approximately north–south, dividing the field into west, central and east compartments (Fig. 3). Production to date has been only from the west compartment. The stratigraphic interval that is the biggest contributor to hydrocarbon production from this field is the upper part of the Fresh Water Sand, deposited in the late Miocene (Fig. 4). The oil comes only from this zone. Other productive intervals for gas are the overlying Shallow Reservoir Zone of Pliocene age and the underlying Tunu Main Zone, also of late Miocene age. From the middle Miocene, the sedimentation rate at Bekapai has been fairly constant with an average rate of over 300 m Ma$^{-1}$. The top of overpressure in the west compartment is at depths of $3.0 – 3.5$ km below sea level, where the temperature is $120 – 135^\circ$C.
**Two-step method of analysis**
For siliclastic mudstones in the shallow subsurface at temperatures below $65 – 70^\circ$C, where smectite starts to transform to illite, overpressure generated by disequilibrium compaction can be detected by an equivalent depth method using a sonic, resistivity or density log (Mouchet & Mitchell 1989). However, in the Lower Kutai Basin, we are concerned with diagenetically altered mudstones that may be overpressured by loading and unloading processes. We have used both density and sonic log responses in the mudstones to estimate the disequilibrium compaction and the unloading contributions to overpressure, the sum of the two being the total overpressure present.
The first step is to calculate from the density log values in the mudstones the maximum vertical effective stress to which the mudstones have been subjected. The maximum vertical effective stress the mudstones have experienced is subtracted from the present-day lithostatic stress, obtained by integrating the density log with respect to depth, to give the maximum loading pore pressure. Where the maximum loading pore pressure is greater than the hydrostatic pressure, the difference between the two may be thought of as the contribution to overpressure from disequilibrium compaction. Any additional overpressure is due to unloading mechanisms, such as gas generation, clay diagenesis and lateral transfer (Swarbrick et al. 2002).
Mudstones respond to unloading poroelastically. We assume that the poroelastic response of the density log is negligibly small, but unloading affects both sonic and resistivity logs significantly. Bowers & Katsube (2002) have suggested that decreasing normal effective stress opens flexible connecting pores of high aspect ratio sufficiently to affect transport properties without any significant effect on the bulk density of the mudstone. Thus, in the second step, we use the sonic log with an unloading velocity–effective stress relationship of the form proposed by Bowers (1995) to estimate the amount of unloading overpressure. Before doing so, we need to establish the sonic reference trend, which is the sonic response expected in the mudstones at their present depths if they were now at the maximum vertical effective stress they have previously experienced. If the wireline log data are of good quality, we are able to estimate the sonic reference trend for illitized mudstones using the sonic–density cross-plot.
**Estimating maximum vertical effective stress**
The relationship between vertical effective stress, $\sigma'_v$, and void ratio, $e$, for mechanical compaction given by Skempton (1969) is:
$$\sigma'_v = \sigma'_0 \exp(-\beta e)$$
(1)
where $\sigma'_0$ is the vertical effective stress when the void ratio is zero and $\beta$ is a constant. Equation (1) was determined empirically from experimental data on clays and, as Skempton (1969) pointed out, only applies for values of vertical effective stress that are substantially less than $\sigma'_0$ because the void ratio must approach zero asymptotically at high vertical effective stress.
Dutta (1986, 2016) modified equation (1) by redefining $\beta$ as the ‘diagenesis function’ to account for the mudstone’s temperature history on the assumption that smectite–illite transformation occurs as a first-order kinetic reaction. We can use this modified relationship to estimate from the density log the maximum vertical effective stress experienced by diagenetically altered mudstones. The void ratio is obtained from the logged density in mudstone, $\rho$:
$$e = \frac{(\rho_s - \rho)}{(\rho - \rho_f)} \quad (2)$$
where $\rho_s$ is the density of the solid grains, assumed to be $2.75 \text{ g cm}^{-3}$, and $\rho_f$ is the density of the pore fluid, assumed to be $1.05 \text{ g cm}^{-3}$.
**Fig. 2.** Schematic cross-section of the Neogene petroleum system (simplified from Duval et al. 1998). The giant Bekapai oil and gas field lies approximately 10 km south of the supergiant Tunu gas field.
**Fig. 3.** Vertical section through the Bekapai Field.
**Fig. 4.** Chronostratigraphic chart for the Bekapai Field.
The diagenesis function may be written as:
\[
\beta = \beta_\infty - (\beta_\infty - \beta_0) \exp \left\{ - \int_0^t A \exp \left[ -E/RT(\tau) \right] d\tau \right\}
\]
(3)
where \( t \) is the depositional age of the bed concerned, \( \beta_\infty \) is the value the diagenesis function takes as \( t \to \infty \), \( \beta_0 \) is the diagenesis function of the mudstone at deposition, \( \tau \) is time since deposition, \( A \) is the Arrhenius frequency factor, \( E \) is the activation energy, \( R \) is the gas constant and \( T \) is temperature in degrees kelvin. Dutta (1986) determined the values of \( A \) and \( E \) from published X-ray diffraction (XRD) data for Gulf of Mexico mudstones as 40 000 a\(^{-1}\) and 80 750 J mol\(^{-1}\), respectively, and later reported that these values were confirmed by using data from other basins (Dutta 2016). Taking logarithms of equation (1) and substituting for \( \beta \) from equation (3) yields:
\[
\ln \sigma'_v + c\beta_\infty = \ln \sigma'_0 + c(\beta_\infty - \beta_0) \exp \left\{ - \int_0^t A \exp[-E/RT(\tau)] d\tau \right\}
\]
(4)
We adopt the value of 9.4 for \( \beta_\infty \) given by Dutta (2016, his fig. 1) because he suggests it is applicable worldwide for siliciclastic mudstones in which illitization of smectite is complete. \( \beta_0 \) depends on the smectite composition of the mudstone at deposition, and has to be determined from the data. We estimate \( \beta_0 \) and \( \sigma'_0 \) from the gradient and intercept, respectively, of the best-fitting straight line on a plot of \( \ln \sigma'_v + c\beta_\infty \) against \( c \times \exp \left\{ - \int_0^t A \exp[-E/RT(\tau)] d\tau \right\} \) for data points in hydrostatically pressured mudstones, selected where the density log data quality is good.
If necessary, offset well data can also be used to assist in the estimation of \( \beta_0 \) and \( \sigma'_0 \). Other parameters required are the seafloor temperature, the geothermal gradient and the burial rate. In general, these three parameters may have varied over time, but we assumed constant values for the two Bekapai wells analysed below. Thus, given the density log, we have all the information needed to calculate from equation (1) the maximum vertical effective stress that has been experienced by mudstones in the deeper overpressured section of each well.
**Estimating the sonic reference trend**
The link between the two steps in our wireline log analysis method is provided by the sonic–density cross-plot. Dutta (2002) presented a cross-plot of sonic transit time and density for mudstones in the Gulf of Mexico. The black curve marked with arrows in Figure 5 approximates the average trend of his data, comprising a linear early compaction trend for smectite-rich mudstones and a linear late compaction trend for illite-rich mudstones, joined by a transitional section.
Amongst clay diagenetic reactions, the transformation of smectite to illite has the most influence on the compaction of mudstones in the depth range of interest. The reaction depends on both temperature and time. The onset of the transitional section of the arrowed curve in Figure 5 starts at approximately 70°C and the linear late compaction trend typically starts at some temperature in the range 90–100°C. Consequently, the transitional section is displaced to greater sonic travel time for a given density in basins with higher geothermal gradients or slower burial rates, and vice versa.
If mudstones become overpressured by disequilibrium compaction during burial, progress along the compaction trend on the cross-plot slows, and also deviates in the transitional section because the normal reduction in porosity with depth is inhibited when porewater cannot escape quickly enough for the pore pressure to remain in hydrostatic equilibrium. For illitized mudstones on the late compaction trend, we follow Sargent et al. (2015) in assuming that disequilibrium compaction would slow progress along that trend without deviation from it.
If the vertical effective stress acting on a mudstone decreases at any stage of compaction, the resulting poroelastic unloading effect increases the sonic travel time whilst having negligible effect on bulk density. Then the mudstone’s path on the sonic–density cross-plot would be towards the right. Unloading may be brought about by pore-pressure increases, whether due to fluid influx caused by gas generation, or lateral or vertical transfer, or due to clay diagenesis in mudstones which are so well sealed that porewater cannot escape. The combination of ongoing burial and diagenesis with partial inhibition of water escape, sufficient for the vertical effective stress to decrease with increasing burial depth, causes a mudstone’s path on the cross-plot to lie somewhere on the arc between the late compaction trend and the unloading response for no compaction (Fig. 5).
Compaction trends for mudstones on the sonic–density cross-plot exhibit higher transit times for a given density with increasing clay content (Katahara 2003, 2006). To improve the consistency of the trends on the cross-plots, we applied log-based corrections to the sonic logs to take account of variations in the clay content of the mudstones, as described by Gouly et al. (2016). These lithology corrections were derived by correlating deviations from their smoothed trends of the sonic and natural gamma logs, and the difference between neutron and density porosity (NPHI – DPHI) computed from the density and neutron logs. Optimum multipliers for the gamma-ray and NPHI – DPHI deviations were found by simultaneous least squares to obtain the best fit to the sonic log deviations, assuming that the dependence is linear. The corrections thus generated were applied to the sonic log.
At Bekapai, we are only concerned with mudstones that lie on the late compaction trend on the sonic–density cross-plot, so this linear trend has to be estimated from the data above the top of overpressure. Following Sargent et al. (2015), we assume it is of the form:
\[
\Delta t = \Delta t_L - 65\rho
\]
(5)
where \( \Delta t \) is the sonic transit time in units of \( \mu s \ m^{-1} \) and \( \rho \) is density in units of g cm\(^{-3}\). The gradient is fixed at the value given by Dutta (2002, his fig. 2) and the intercept on the sonic transit time axis, \( \Delta t_L \), is determined from data in the subject well or, if necessary, from offset wells. Care must be taken because the intercept can differ
even between near-neighbour wells, as Sargent et al. (2015) found, probably because of differences in the environmental corrections applied to the density logs for hole size, mud type and temperature.
At each depth sample, the smoothed observed density is related to the maximum vertical effective stress through equation (1) and to the corresponding sonic transit time through equation (5), the late compaction trend on the sonic–density cross-plot. Hence, density can be eliminated between the two to give the notional sonic transit time corresponding to the maximum vertical effective stress experienced at each mudstone depth sample. This depth trend is the sonic reference trend.
**Estimating the amount of unloading**
To estimate the total pore pressure in mudstone using the two-step approach, we need the maximum loading pore pressure obtained from the density log in the first step, the sonic reference trend, and an unloading relationship between sonic velocity and vertical effective stress. Unloading shifts sonic transit time to higher values (i.e. reduces the sonic velocity), and we have adopted the following empirical power-law relationship for unloading proposed by Bowers (1995):
\[
\sigma'_v = \sigma'_{\text{max}} \left[ \frac{V - 1500}{V_R - 1500} \right]^U
\]
(6)
where \( V \) is the observed sonic velocity and \( V_R \) is the velocity on the sonic reference trend in units of m s\(^{-1}\), and \( U \) is the unloading velocity exponent. The total pore pressure is then found by subtracting \( \sigma'_v \) from the lithostatic stress.
**Results**
Most of the exploration wells drilled in the shelfal area of the Lower Kutai Basin terminated above the sharp pressure ramp, and others terminated within it. Hole conditions in many of the wells were poor due to the use of water-based drilling muds. Of the few wells that reached the pressure ramp, only two, W-B-1 and B-11 in the Bekapai Field, have density logs in the deeper part of each well that are adequate for our analysis.
**West Bekapai-1 (W-B-1) well**
The density log data are unreliable down to approximately 2400 m, so the lithostatic stress was taken to be the same as that in offset well NWP-9 in the Peciko Field down to 2500 m. NWP-9 is hydrostatically pressured down to 3300 m, and log quality is good because the well was drilled with oil-based mud. At depths below 2500 m in well W-B-1, the additional lithostatic stress was calculated from the W-B-1 density log.
Mudstone data were selected using data windows of 60 – 100 API units for the natural gamma log, and 0.05 – 0.18 for the difference in fractional porosity calculated from the neutron and density logs (NPHI – DPHI) (Fig. 6a). After data selection, the density log was smoothed using a 100 m-long Hanning (cosine-bell) window (Fig. 6b).
To determine the maximum vertical effective stress experienced by the mudstones from equation (1), we estimated \( \beta_0 \) as 8.66 ± 0.08 and \( \sigma'_0 \) as 121.8 ± 0.8 MPa by the method described above, where the errors are expressed at the ±1 SD confidence level, based on equation (4). We determined the gradient and intercept of the best-fitting straight line for the hydrostatically pressured mudstone data points in the depth range 2400 – 3500 m (Fig. 7a), where the density log quality is good (Fig. 7b). The resultant density normal compaction trend, extrapolated to the bottom of the well assuming hydrostatic pore pressure, is superimposed on the density data in Figure 7b. It overlies the density data to the bottom of the well, strongly suggesting that there is no overpressure generated by disequilibrium compaction because there is no anomalous porosity.
Our value of \( \beta_0 \) is significantly larger than the value 6.6 given by Dutta (2016, his fig. 1). We attribute our larger value to a lower initial smectite content in the Lower Kutai Basin mudstones compared to those investigated by Dutta (2016), which would be consistent with the XRD analysis of the clay mineral fraction in the Handil and Tunu fields (Clauer et al. 1999). Other parameters were: seafloor temperature 30°C; constant geothermal gradient of 31°C km\(^{-1}\); and constant burial rate of 350 m Ma\(^{-1}\) estimated from the ages of key horizons given by Lambert et al. (2003). Hence, the diagenesis function, \( \beta \), was found for all depths.
Fig. 6. Data from well W-B-1. (a) Cross-plot of natural gamma against NPHI – DPHI for all data points below 2000 m. The box indicates selected mudstone data points. (b) Density log with smoothed log. (c) Sonic log corrected for clay content with smoothed log. (d) Pressure–depth plot with estimates of the maximum loading pore pressure and the total pore pressure. (e) Sonic–density cross-plot using the smoothed logs. Sticks mark depths in metres. The solid, parallel straight lines are Dutta’s (2002) early and late trends for smectite-rich and illite-rich mudstones, only included here as reference lines. The dotted line is the late compaction trend picked for illite-rich mudstones at maximum vertical effective stress.
The sonic log was corrected for clay content as before, using log data below 3491 m only for calculating the corrections, and the whole corrected log was smoothed (Fig. 8c). From visual comparison of the density and corrected sonic logs with the pressure–depth plot (Fig. 8d), a strong reversal in the sonic log can be identified at a depth of approximately 3300 m, around the top of the sharp pressure ramp, and a reversal in density can be picked at approximately 3650 m depth, close to the base of the sharp pressure ramp.
To obtain the sonic–density cross-plot (Fig. 8c), the smoothed density log was used only below 3491 m. At shallower depths, the density normal compaction trend was used (Fig. 8b), calculated from the values of $\beta$ and hydrostatic vertical effective stress with $\sigma_0' = 107.9$ MPa. The cross-plot is suspect at depths shallower than 3491 m because the smooth density normal compaction trend has been used there and the poor hole conditions in well B-11 have affected the sonic log. The quality of both sonic and density logs in well B-11 is poor over the depth range 2500 – 3500 m compared with well W-B-1 (Figs 6b, c and 8b, c), so the linear late compaction trend on the sonic–density cross-plot for illite-rich mudstones at maximum vertical effective stress in B-11 could not be estimated satisfactorily from the data, and was assumed to be the same as in W-B-1. In spite of the problems with the shallower log data, the sonic–density cross-plot emphasizes the reversal in the sonic log and, at a greater depth, the reversal in the density log.
The maximum loading pore pressure, corresponding to the maximum vertical stress, was estimated from the smoothed density log using equation (1), and increases downwards in an approximately linear manner below 3600 m depth (Fig. 8d). The total pore pressure was then calculated from equation (6) using the smoothed sonic log of Figure 8c and the sonic reference trend, using the same value of 4.5 for the unloading exponent $U$ as estimated in well W-B-1.
Fig. 7. (a) Plot based on equation (4) to estimate $\beta_0$ and $\sigma'_0$ for the hydrostatically pressured mudstone data points in well W-B-1 over the depth range $2400 - 3500$ m. The gradient is $\beta_\infty - \beta_0 = 0.74 \pm 0.08$, yielding $\beta_0 = 8.66 \pm 0.08$ for the assumed value of $\beta_\infty = 9.4$. The intercept is $\ln \sigma'_0 = 4.8026 \pm 0.0061$, yielding $\sigma'_0 = 121.8 \pm 0.8$ MPa. (b) Mudstone density data from well W-B-1 overlain by the density normal compaction trend for hydrostatic vertical effective stress, found from equation (1) with parameters determined from the plot in (a).
**Interpretation**
The density log quality in well W-B-1 is poor at depths shallower than 2400 m. Consequently, the estimated maximum loading pore pressure and total pore pressure at the shallowest depths in Figure 6d should be ignored. At greater depths, short-wavelength fluctuations in the smoothed density log result in short-wavelength fluctuations in the maximum loading pore pressure: e.g. high density around 3600 m depth causes the estimated maximum loading pore pressure to be less than hydrostatic pressure. Abnormally high density leads to abnormally low sonic transit time on the sonic reference trend and, consequently, overestimation of the amount of unloading overpressure. In some parts of both wells, notably in B-11 (Fig. 8d), these effects cancel each other out to give a good estimate of the pore pressure, but in others they do not. There are also short-wavelength fluctuations in the smoothed sonic logs, in spite of the corrections for clay content, that do not correlate with the density logs: for example, over the depth range $2400 - 3500$ m in W-B-1 where the pore pressure is hydrostatic (Fig. 6b, c). We attribute these fluctuations primarily to variations in mudstone lithology, although log data quality might also be an issue.
Nevertheless, the pressure trends for maximum loading pore pressure and total pore pressure below the top of the sharp pressure ramp in each well are broadly consistent between the two wells. Furthermore, the pressure trends are consistent with the reversals seen on the sonic log in W-B-1 (Fig. 6c, e), and on both density and sonic logs in B-11 (Fig. 8b, c, e). We attribute the reversal on the density log at approximately 3650 m depth in B-11 to disequilibrium compaction, and the reversals on the sonic logs in both wells to unloading. Disequilibrium compaction enhances the sonic reversal below 3650 m depth in B-11.
In the shelfal area of the Lower Kutai Basin, the top of the sharp pressure ramp into hard overpressure is found within upper Miocene strata at depths of 3 – 4 km and, with the exception of the neighbourhood of the Handil Field (Fig. 1), these strata are at maximum burial. In almost every field in the shelfal area, the depth of the top of the pressure ramp varies and cross-cuts stratigraphic boundaries. In such circumstances, the mechanisms of overpressure generation that are most likely to cause a significant amount of unloading are clay diagenesis and gas generation (Swarbrick et al. 2002).
Transformation of smectite to illite starts at around 65 – 70°C and is the principal clay diagenetic change in mudstones up to approximately 120°C. The reaction pathways release water, silica and cations that can react with kaolinite and calcite to produce chlorite and ankerite (Boles & Franks 1979). When mudstones have attained a temperature of approximately 120°C through burial, the proportion of expandable ‘smectitic’ interlayers containing hydrated cations in mixed-layer illite–smectite crystals has generally reduced to about 20% with all the smectite 2:1 layers having dissolved, so that the remaining expandable interlayers separate illite fundamental particles (Srodon et al. 2000).
In the shelfal area of the Lower Kutai Basin, the temperature of 120°C is reached by 3 km depth, whereas the top of the sharp pressure
Fig. 8. Data from well B-11. (a) Cross-plot of natural gamma against NPHI – DPHI for all data points below 2000 m. The box indicates selected mudstone data points. (b) Density log with smoothed log below 3491 m. The smooth density trend above 3491 m was calculated from equation (1) using the diagenesis function and assuming hydrostatic vertical effective stress. (c) Sonic log corrected for clay content, with smoothed log. (d) Pressure–depth plot with estimates of the maximum loading pore pressure and the total pore pressure. (e) Sonic–density cross-plot using the smoothed logs in (b) and (c). Sticks mark depths in metres. The solid, parallel straight lines are Dutta’s (2002) early and late trends for smectite-rich and illite-rich mudstones, only included here as reference lines. The dotted line is the late compaction trend estimated for illite-rich mudstones at maximum vertical effective stress.
Ramp is located at approximately 3.5 km depth in the Bekapai Field. Although there are other diagenetic reactions in clays, such as the transformation of kaolinite into illite which continues above 120°C if a source of potassium is still available, smectite to illite transformation is the clay diagenetic reaction that has the greatest effect on mudstone compaction because of the disappearance of smectite and smectitic interlayers (Lahann 2002). Thus, clay diagenesis is probably not a major contributor to the unloading overpressure.
According to Lambert et al. (2003), gas generation starts in the Lower Kutai Basin at a vitrinite reflectance threshold of 0.6%. Vitrinite reflectance data from four fields, Sisi, Peciko, Handil and Nilam (Fig. 1), show that the threshold value of 0.6% coincides with the top of the sharp pressure ramp in the respective fields (Ramdhan & Goult 2011). It seems likely, therefore, that gas generation is principally responsible for the unloading contribution to overpressure.
Discussion
In this section, we first summarize our two-step approach and emphasize how it differs from previously published approaches. Then we evaluate the effect of uncertainty in lithostatic stress, quantify the effect of neglecting the poroelastic effect of unloading on density and comment on the value of the unloading exponent estimated from the data in well W-B-1.
Our two-step analysis may be considered as a version of the method proposed by Bowers (2001), who was the first to use both density and sonic logs to estimate pore pressure where both disequilibrium compaction and unloading mechanisms have generated overpressure. The basis of the two-step approach is that we assume the density log is primarily sensitive to disequilibrium compaction overpressure, and that the sonic log is sensitive to both disequilibrium compaction overpressure and unloading overpressure.
We have adopted Dutta’s (1986) relationship between vertical effective stress and void ratio to describe compaction, as defined by equations (1) and (3), to account explicitly for clay diagenesis. Void ratio is obtained directly from the observed density. In contrast, Bowers (2001) considered that mudstone compaction trends for both velocity and density depend only on vertical effective stress, and are independent of mudstone temperature history and diagenesis. We assume that the vertical effective stress calculated from equations (1) and (3) is the maximum vertical effective stress that the mudstone has experienced. This first step yields the maximum loading pore pressure, and thereby the disequilibrium compaction contribution to overpressure.
A key assumption we make is that mudstones that fall on the arrowed compaction curve on the sonic–density cross-plot (Fig. 5), and specifically on the linear late compaction trend for mudstones at temperatures above 100°C, are at the maximum vertical effective stress they have experienced, regardless of the relative contributions of mechanical and chemical compaction (Sargent et al. 2015). Hence, the arrowed curve provides the required link between the observed density and the sonic transit time at maximum vertical effective stress, yielding the sonic reference trend.
In the second step, we adopt the unloading relationship of equation (6) (Bowers 1995) between velocity and vertical effective stress to estimate the present-day vertical effective stress in the mudstones from the maximum vertical effective stress they have experienced. Unloading causes a reduction in the observed sonic transit time compared to the sonic transit time the same mudstone bed would have at the maximum vertical effective stress it has previously experienced. This second step differs from Dutta’s (2016) methodology because he introduced the equation of Raiga-Clemenceau et al. (1988) to relate sonic transit time, or seismic slowness, directly to porosity, and hence to vertical effective stress through equations (1) and (2). His motivation was to estimate vertical effective stress from velocity alone, in order to estimate overpressure from the seismic velocity field computed from surface seismic reflection data, as described by Dutta et al. (2014). Unfortunately, the vertical effective stress acting on a mudstone of given lithology is not a single-valued function of velocity. The velocity increase due to a fixed increment of vertical effective stress during compaction is much smaller than the velocity reduction that occurs if unloading subsequently decreases the vertical effective stress by the same amount. For the same reason, methods of pore-pressure estimation using only the sonic log, such as the popular method of Eaton (1975), gives erroneous results where there are changes in the relative contributions of disequilibrium compaction and unloading to overpressure (Goult & Sargent 2016).
For well W-B-1, we found that the value 4.5 for the unloading exponent $U$ in equation (6) gave a reasonable fit to the measured pressures. Bowers (1995) found values of $U$ (equivalent to $U/B$ in his paper) to be about 3.8 for the Gulf Coast, 5.0 for the deep-water Gulf of Mexico and 5.6 for Jurassic mudstones in the Central North Sea, while Sargent et al. (2015) used $U = 1.5$ for Cretaceous mudstones at Haltenbanken, indicating a much greater sensitivity to unloading there. Hermannrud et al. (1998) had previously found that sonic velocity in the Jurassic Not Formation at Haltenbanken is also relatively sensitive to lateral variations in vertical effective stress. Teige et al. (2007) compared velocity–effective stress relationships in North Sea and Haltenbanken mudstones, and concluded that sonic velocity had a much greater sensitivity at Haltenbanken. The cause is unknown, although Teige et al. (2007) suggested that it might be due to microfracturing in response to crustal flexuring because progradation of thick Plio-Pleistocene sedimentary wedges, varying Quaternary ice loads at the shelf edge and uplift of mainland Norway in the Plio-Pleistocene resulted in more crustal flexuring at Haltenbanken than in the North Sea (Nordgård Bolås et al. 2005).
One possible source of error in the estimated contributions to overpressure from disequilibrium compaction and unloading is uncertainty in the lithostatic stress. Density logs are commonly not acquired at shallow depths, so assumptions have to be made about the shallow density–depth profile which may contribute a fixed error in overburden stress at greater depths. To estimate its effect, we repeated the analysis of the data in well W-B-1 assuming that the lithostatic stress had been underestimated by 1.0 MPa. Consequently, the value of the constant $\sigma'_c$ in equation (1) increased, and both the density normal compaction trend and the sonic reference trend were altered. At 3807 m depth in well W-B-1, the greatest depth where data are available (Fig. 6b–d), the estimated disequilibrium compaction pore pressure reduced by 0.1 MPa, whereas the estimated total pore pressure increased by 0.4 MPa.
For simplicity, we have neglected the effect of poroelastic unloading on density, but it would be possible to allow for it. To check whether we are justified in neglecting the effect of poroelastic unloading on density, we estimated the magnitude of the effect at approximately 4300 m depth in well B-11. Using Gassmann theory for an isotropic medium, with mudstone sonic velocity and density values taken from the logs and assuming a Poisson’s ratio of 0.28, we calculate that 30 MPa of overpressure causes a poroelastic increase in porosity of 0.37%. Correcting for this increase in porosity reduces the estimated contribution to pore pressure from disequilibrium compaction by 1.0 MPa. The estimated contribution to overpressure from unloading then increases by 1.5 MPa due to the consequent reduction of 4.1 μs m$^{-1}$ in transit time on the sonic reference trend. Thus, neglect of the effect of poroelastic unloading on density at this depth in this well causes the pore pressure to be underestimated by about 0.5 MPa.
Given our interpretation that the unloading contribution to overpressure in the shelfal area of the Lower Kutai Basin is due to gas generation, we should consider whether the reversals in the sonic logs in the Bekapai wells are in part due to the presence of free gas. The resistivity log response in the mudstones reverses at the same depth as the sonic log (see fig. 8 in Ramdhani & Goult 2011), whereas free gas would have the effect of increasing the resistivity, and the resistivity log has a greater depth of penetration into the formation than does the sonic log. Furthermore, the low sensitivity of the sonic log to unloading, with the values of the unloading exponent $U$ similar to those determined by Bowers (2001) for the Gulf Coast and deep-water Gulf of Mexico, suggests that the unloading effect on the sonic response is not reinforced by the presence of free gas. However, the form of the unloading relationship in equation (6) is empirical and the value of 4.5 for the unloading exponent was chosen to fit the pressure data in well W-B-1; so although we have not identified a gas effect on sonic velocity, we cannot categorically rule it out.
**Conclusions**
We have used wireline logs to estimate disequilibrium compaction and unloading contributions to the hard overpressure encountered in the Bekapai Field, Lower Kutai Basin. Pressure profiles in this field are typical of those encountered in the shelfal area of the basin. In spite of poor data quality, fair results were obtained showing a steady increase in disequilibrium compaction overpressure below the top of the sharp pressure ramp. Immediately below the pressure ramp, the unloading contribution to overpressure dominates, with gas generation being the most likely mechanism. Our interpretation
explains the pressure and wireline log data in this deltaic setting satisfactorily, resolving a debate on overpressure generation mechanisms in the shelfal area of the basin that has been ongoing for 25 years.
Finally, we emphasize that the two-step analysis is useful for estimating the respective contributions to overpressure due to loading and unloading mechanisms but, because of its high sensitivity to variations in the density log response caused by lithological and environmental factors, it should be used with great care as a method of pore-pressure estimation. Log data quality is of crucial importance.
Acknowledgements We thank Total Indonesia for providing the data; Peter Andras, Andy Aplin, Alan Mitchell, Colin Sargent, Guillaume Stranghie and Richard Swarbriek for helpful discussions; and Nader Dutta and an anonymous reviewer for their constructive comments.
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|
Modulation of central noradrenergic function by the anti-obesity agent, sibutramine
Katherine E. Wortley
A thesis presented for the degree of Doctor of Philosophy to the University of London 2000
Department of Pharmacology
University College London
Gower Street
London WC1E 6BT
ProQuest Number: U642404
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The active metabolites of the anti-obesity agent, sibutramine, inhibit the reuptake of noradrenaline *in vitro*. The first aim of this project was to establish whether sibutramine also increases central extracellular noradrenaline concentration *in vivo* and, if so, whether this effect can be distinguished from that of the anti-obesity agent, *d*-amphetamine, which is a noradrenaline-releasing agent. Changes in extracellular noradrenaline concentration were measured using *in vivo* microdialysis in rat frontal cortex or hypothalamus. Since presynaptic $\alpha_2$-adrenoceptors regulate noradrenergic neuronal activity, the role of these receptors in modulating extracellular noradrenaline concentration following sibutramine or *d*-amphetamine administration was investigated.
The second aim was to investigate the density and function of $\alpha_2$-adrenoceptors in the lean and obese Zucker rat in order to determine whether an abnormality in central noradrenergic systems existed in the obese state. The density of $\alpha_2$-adrenoceptors in the cortex and hypothalamus were investigated using radioligand binding studies. The functions of pre- and post-synaptic $\alpha_2$-adrenoceptors were investigated using clonidine-induced hypoactivity and mydriasis, respectively.
Sibutramine induced a gradual increase in extracellular noradrenaline concentration in the cortex of anaesthetised rats whereas *d*-amphetamine induced a rapid increase. Blockade of $\alpha_2$-adrenoceptors with the antagonist, RX821002, enhanced the sibutramine-induced increase in extracellular noradrenaline by 5-fold but enhanced the effect of *d*-amphetamine by only 2-fold. Sibutramine also increased extracellular noradrenaline concentration in the cortex and hypothalamus of freely-moving rats although this effect declined in the hypothalamus 40 min post-injection. Reverse dialysis of RX821002 into the cortex or hypothalamus enhanced the sibutramine-induced increase in extracellular noradrenaline in these areas and reversed the decline in extracellular noradrenaline in the hypothalamus 40 min after sibutramine administration. This indicates that central $\alpha_2$-adrenoceptors restrict the accumulation of extracellular noradrenaline induced by sibutramine, but that this effect is greater in the hypothalamus.
No differences in the density of $[^3\text{H}]$RX821002 binding sites or post-synaptic $\alpha_2$-adrenoceptor function were found between lean and obese Zucker rats. However, the affinity of $\alpha_2$-adrenoceptors for $[^3\text{H}]$RX821002 in the cortex of obese rats was higher compared with lean rats. Obese rats also had a higher hypoactivity score under drug-free conditions than did lean rats. Furthermore, the increase in hypoactivity score induced by clonidine in lean Zucker rats reached a plateau between 0.1-0.3 mg / kg, whereas obese rats showed no sign of reaching a plateau at these doses. All these findings indicate that presynaptic $\alpha_2$-adrenoceptor function is enhanced in obese Zucker rats.
The findings of this thesis show that the increase in extracellular noradrenaline concentration induced by sibutramine \textit{in vivo} can be differentiated from that of $d$-amphetamine. However, the time-course of sibutramine's effect varies in different brain regions depending on the density and/or function of $\alpha_2$-adrenoceptors. Finally, the function of presynaptic $\alpha_2$-adrenoceptors appears to be enhanced in obese Zucker rats, possibly due to an increased affinity of these receptors for $\alpha_2$-adrenoceptor ligands. This finding suggests that central noradrenergic activity could be impaired in obese Zucker rats.
Acknowledgments
I wish to thank my supervisor Dr Clare Stanford for her guidance during this project and for her constant support and encouragement.
I also wish to thank my industrial supervisor Dr David Heal for his continuous support during this project and for his guidance and advice throughout.
I am grateful to Zoë Hughes and Richard M'Quade for teaching me the techniques of microdialysis and HPLC and to Doreen Gettins for her technical help. I would also like to thank everyone in the lab for their friendships and moral support over the past three years.
I am also grateful to Nick Hayes for his technical help and to Bob Muid for sorting out all my computer problems.
I must thank many members of the Biology Department at Knoll Pharmaceuticals for their help and support during my time in Nottingham. I am particularly grateful to Jean Viggers, Mike Prow and Helen Rowley. I am also grateful to Richard Brammer of the Statistics Department for his help with statistical analysis.
I must also thank Knoll Pharmaceuticals for this PhD studentship and for their generous financial support.
Finally, I would like to thank my family, particularly my father, for their constant support and encouragement during my time at UCL.
Experiments in Chapter 3 involving $d$-amphetamine administration to halothane-anaesthetised rats were carried out by Zoë Hughes. Statistical analysis of data from radioligand binding experiments in Chapter 6 was carried out by Richard Brammer of Knoll Pharmaceuticals Statistics Department. All other work was carried out by the candidate.
# Contents
| Title | Page |
|----------------------------------------------------------------------|------|
| Title | 1 |
| Abstract | 2 |
| Acknowledgements | 4 |
| Contents | 5 |
| List of figures | 11 |
| List of tables | 13 |
| List of abbreviations | 14 |
| Publications arising from this thesis | 16 |
| Chapter 1: General Introduction | 17 |
| 1.1. Noradrenergic innervation of the rat brain | 19 |
| 1.1.1. The locus coeruleus | 20 |
| 1.1.2. The lateral tegmental system | 21 |
| 1.2. Endogenous substances affecting food intake | 22 |
| 1.2.1. Noradrenaline | 22 |
| 1.2.2. 5-Hydroxytryptamine | 25 |
| 1.2.3. Other endogenous substances affecting food intake | 29 |
| 1.3. Anti-obesity agents | 31 |
| 1.3.1. Sibutramine | 31 |
| 1.3.2. Amphetamine | 35 |
| 1.3.3. d-Fenfluramine | 39 |
| 1.4. α₂-Adrenoceptors | 40 |
| 1.4.1. α₂-Adrenoceptor subtypes | 40 |
| 1.4.2. α₂-Adrenoceptors and second messenger systems | 42 |
| 1.4.3. Presynaptic α₂-adrenoceptors and the regulation of noradrenergic neuronal activity | 43 |
| 1.5. The obese Zucker rat | 46 |
| 1.5.1. Prominent abnormalities in the obese Zucker rat | 46 |
| 1.5.2. Abnormalities in central noradrenergic function in the obese | |
| Section | Page |
|------------------------------------------------------------------------|------|
| Zucker rat | 47 |
| 1.6. Objectives | 49 |
| **Chapter 2: Methods** | 51 |
| 2.1. Introduction | 51 |
| 2.1.1 Measurement of monoamine release *in vivo* | 52 |
| 22.214.171.124. Principle of microdialysis | 55 |
| 126.96.36.199. Perfusion fluids | 56 |
| 2.1.2. Radioligand binding as a tool for quantifying $\alpha_2$-adrenoceptor density | 57 |
| 2.1.3. Behavioural models of monoaminergic receptor function | 60 |
| 188.8.131.52. Clonidine-induced hypoactivity | 61 |
| 184.108.40.206. Clonidine-induced mydriasis | 63 |
| 2.2. Techniques | 65 |
| 2.2.1. *In vivo* microdialysis | 65 |
| 220.127.116.11. Construction of microdialysis probes | 65 |
| 18.104.22.168. Surgical implantation of microdialysis probes | 68 |
| 22.214.171.124.1. Animals | 68 |
| 126.96.36.199.2. Non-recovery rats ('anaesthetised' rats) | 68 |
| 188.8.131.52.3. Recovery rats ('freely-moving' rats) | 69 |
| 184.108.40.206. Verification of probe placement | 69 |
| 220.127.116.11. Microdialysis procedure | 72 |
| 18.104.22.168.1. Collection of dialysates (anaesthetised rats) | 72 |
| 22.214.171.124.2. Collection of dialysates (freely-moving rats) | 72 |
| 126.96.36.199.3. Drugs and drug administration procedures | 73 |
| 188.8.131.52. Measurement of dialysate noradrenaline concentration | 73 |
| 184.108.40.206.1. High performance liquid chromatography coupled to electrochemical detection (HPLC-ECD) | 73 |
| 220.127.116.11.2. The mobile phase | 74 |
| 18.104.22.168.3. Reagents | 74 |
| 22.214.171.124. Statistical analysis | 74 |
126.96.36.199. Characterisation of dialysate noradrenaline content 74
2.2.2. Radioligand binding 76
188.8.131.52. Animals 76
184.108.40.206. Sample preparation 77
220.127.116.11. $[^3H]RX821002$ binding assay 77
18.104.22.168.1. Tissue preparation 77
22.214.171.124.2. Binding assay 77
126.96.36.199. Drugs and reagents 78
188.8.131.52. Protein determination 78
184.108.40.206. Statistical analysis 79
2.2.3. Hypoactivity and mydriasis measurements 79
220.127.116.11. Animals 79
18.104.22.168. Experimental design 79
22.214.171.124. Drugs and drug administration procedures 80
126.96.36.199. Test procedures 80
188.8.131.52.1. Pupil diameter measurement 80
184.108.40.206.2. Assessment of clonidine-induced hypoactivity 80
220.127.116.11.3. Statistical analysis 81
Chapter 3: The effects of sibutramine or $d$-amphetamine on extracellular noradrenaline concentration in the frontal cortex of anaesthetised rats 83
3.1. Introduction 83
3.2. Methods 89
3.2.1. Experimental design 89
3.2.2. Statistical analysis 89
3.3. Results 91
3.3.1. The effects of sibutramine and $d$-amphetamine on dialysate noradrenaline concentration 91
18.104.22.168. Sibutramine 91
22.214.171.124. $d$-Amphetamine 93
126.96.36.199. Comparison of the effects of sibutramine and d-amphetamine 94
3.3.2. Effects of RX821002-pretreatment on dialysate noradrenaline concentration following sibutramine or d-amphetamine administration 95
188.8.131.52. Magnitude of response 95
184.108.40.206. Latency to peak effect 97
3.4. Discussion 99
3.4.1. The effects of sibutramine or d-amphetamine on cortical extracellular noradrenaline concentration 99
3.4.2. The effect of RX821002 alone on cortical extracellular noradrenaline concentration 101
3.4.3. The effect of RX821002 in combination with sibutramine or d-amphetamine 104
3.4.4. Conclusion 106
Chapter 4: Comparison of the effects of sibutramine and d-amphetamine on extracellular noradrenaline concentration in the frontal cortex and hypothalamus of conscious, freely-moving rats 107
4.1. Introduction 107
4.2. Methods 111
4.2.1. Experimental design 111
4.2.2. Statistical analysis 111
4.3. Results 112
4.3.1. Effect of sibutramine or d-amphetamine on dialysate noradrenaline concentration from the frontal cortex 112
220.127.116.11. Sibutramine 112
18.104.22.168. d-Amphetamine 113
4.3.2. Effect of sibutramine or d-amphetamine on dialysate noradrenaline concentration from the hypothalamus 114
22.214.171.124. Sibutramine 115
126.96.36.199. $d$-Amphetamine 116
4.4. Discussion 117
4.4.1. Effects of sibutramine or $d$-amphetamine on extracellular noradrenaline concentration in the frontal cortex 117
4.4.2. Effects of sibutramine and $d$-amphetamine on extracellular noradrenaline concentration in the hypothalamus 121
4.4.3. The role of noradrenaline in mediating sibutramine’s anti-obesity effects 128
4.4.4. Conclusion 129
Chapter 5: The effects of $\alpha_2$-adrenoceptor blockade on increases in extracellular noradrenaline concentration induced by sibutramine in the cortex and hypothalamus of conscious, freely-moving rats 131
5.1. Introduction 131
5.2. Methods 134
5.2.1. Experimental design 134
5.2.2. Statistical analysis 135
5.3. Results 135
5.3.1. Effects of systemic administration of RX821002 or atipamezole on sibutramine-induced increases in dialysate noradrenaline concentration 136
188.8.131.52. Frontal cortex 136
184.108.40.206. Hypothalamus 138
5.3.2. Effects of local administration of RX821002 on sibutramine-induced increases in dialysate noradrenaline concentration 140
220.127.116.11. Frontal cortex 140
18.104.22.168. Hypothalamus 140
5.4. Discussion 143
5.4.1. Effect of systemic or local perfusion of RX821002 on basal extracellular noradrenaline concentration 143
5.4.2. Effect of systemic RX821002 on sibutramine-induced increases in extracellular noradrenaline concentration 145
5.4.3. Effect of systemic atipamezole on sibutramine-induced increases in extracellular noradrenaline concentration 146
5.4.4. Effect of local infusion of RX821002 into the frontal cortex or hypothalamus on sibutramine-induced increases in extracellular noradrenaline concentration 147
5.4.5. Conclusion 149
Chapter 6: Comparison of the density and function of central $\alpha_2$-adrenoceptors between the lean and obese Zucker rat 152
6.1. Introduction 152
6.2. Methods 157
6.2.1. Experimental design 157
22.214.171.124. Experiments involving $[^3H]RX821002$ binding 157
126.96.36.199. Experiments involving clonidine-induced hypoactivity and mydriasis 157
6.2.2. Statistical analysis 157
6.3. Results 159
6.3.1. $[^3H]RX821002$ binding in frontal cortex and hypothalamus 159
6.3.2. Clonidine-induced mydriasis 160
6.3.3. Clonidine-induced hypoactivity 162
6.4. Discussion 164
6.4.1. $[^3H]RX821002$ binding in the frontal cortex and hypothalamus 164
6.4.2. Clonidine-induced mydriasis and hypoactivity 166
6.4.3. Conclusion 170
Chapter 7: General Discussion 171
References 180
List of figures
Figure 2.1: Step-by-step construction of a microdialysis probe for the frontal cortex or hypothalamus 67
Figure 2.2: Position of the microdialysis probe in the frontal cortex and hypothalamus 70
Figure 2.3: Photograph of a brain slice from a rat with a microdialysis probe implanted into the hypothalamus and perfused with Evans Blue dye. 71
Figure 2.4. Effect of a depolarising pulse of $K^+$ and $Ca^{2+}$ removal on dialysate noradrenaline concentration 76
Figure 2.5. The hypoactivity score sheet used to rate the level of hypoactivity in rats following clonidine administration 82
Figure 3.1: The effect of sibutramine (a: 0.25, 0.5, or 1 mg / kg i.p. b: 1, 3 or 10 mg / kg i.p.) on dialysate noradrenaline concentration in the frontal cortex 92
Figure 3.2: The effect of d-amphetamine (1, 3 or 10 mg / kg i.p.) on dialysate noradrenaline concentration from the frontal cortex 93
Figure 3.3: The effect of RX821002 (1 mg / kg followed by 3 mg / kg i.p.) on dialysate noradrenaline concentration from the frontal cortex 95
Figure 3.4: The effect of sibutramine or d-amphetamine (10 mg / kg i.p.) on the concentration of noradrenaline in samples of cortical dialysate from rats treated 1 h previously with RX821002 (3 mg / kg i.p.) 96
Figure 3.5a: The effect of sibutramine (10 mg / kg i.p.) on the concentration of noradrenaline in samples of cortical dialysate from non-pretreated rats and rats pretreated 1 h earlier with RX821002 (3 mg / kg i.p.) 97
Figure 3.5b: The effect of d-amphetamine (10 mg / kg i.p.) on the concentration of noradrenaline in samples of cortical dialysate from non-pretreated rats and rats pretreated 1 h earlier with RX821002 (3 mg / kg i.p.) 98
Figure 4.1: The effect of sibutramine (0.25, 1 or 10 mg / kg i.p.) on dialysate noradrenaline concentration in the frontal cortex
Figure 4.2: The effect of d-amphetamine (10 mg / kg i.p.) on dialysate noradrenaline concentration in the frontal cortex
Figure 4.3: The effect of sibutramine (0.5, 1 or 10 mg / kg i.p.) on dialysate noradrenaline concentration in the hypothalamus
Figure 4.4: The effect of d-amphetamine (10 mg / kg i.p.) on dialysate noradrenaline concentration in the hypothalamus
Figure 5.1: The effect of sibutramine (10 mg / kg i.p.) on the concentration of noradrenaline in dialysate samples from the frontal cortex of rats pretreated with either RX821002 (3 mg / kg i.p.) or atipamezole (1 mg / kg i.p.)
Figure 5.2: The effect of sibutramine (10 mg / kg i.p.) on the concentration of noradrenaline in dialysate samples from the hypothalamus of rats pretreated with either RX821002 (3 mg / kg i.p.) or atipamezole (1 mg / kg i.p.)
Figure 5.3: The effect of local administration of RX821002 (1 µM) on basal and sibutramine-induced (10 mg / kg i.p.) increases in dialysate noradrenaline concentration from the frontal cortex
Figure 5.4: The effect of local administration of RX821002 (1 µM) on basal and sibutramine-induced (10 mg / kg i.p.) increases in dialysate noradrenaline concentration from the hypothalamus
Figure 5.5: Schematic diagram showing a possible negative feedback loop regulating the firing rate of noradrenergic neurones in the medulla by non-noradrenergic neurones in the hypothalamus
Figure 6.1: The density of [³H] RX821002 binding sites in the frontal cortex and hypothalamus of lean and obese Zucker rats
Figure 6.2: Dose-response relationships for clonidine-induced mydriasis in lean and obese Zucker rats
Figure 6.3: Dose-response relationships for clonidine-induced hypoactivity in lean and obese Zucker rats
List of tables
Table 1.1: Monoamine reuptake inhibition profiles of sibutramine, Metabolite 1 and Metabolite 2 in rat and human brain tissue in vitro and comparison with d-amphetamine
Table 1.2: Effect of d-amphetamine on $[^3\text{H}]$noradrenaline, $[^3\text{H}]5-HT$ and $[^3\text{H}]$dopamine release from rat brain slices in vitro.
Table 6.1: $K_d$ values (nM) for the binding of $[^3\text{H}]$RX821002 to $\alpha_2$-adrenoceptor in the frontal cortex and hypothalamus of lean and obese Zucker rats
| Abbreviation | Description |
|--------------|-------------|
| 5-HT | 5-hydroxytryptamine, or serotonin |
| 6-OHDA | 6-hydroxydopamine |
| 8-OH-DPAT | 8-hydroxy-2-(di-n-propylamino)tetralin |
| ATP | adenosine triphosphate |
| $B_{\text{max}}$ | total no. of binding sites |
| aCSF | artificial cerebrospinal fluid |
| ANOVA | analysis of variance |
| AP | anterior-posterior |
| BAT | brown adipose tissue |
| cAMP | cyclic adenosine monophosphate |
| cDNA | complementary deoxyribosenucleic acid |
| CNS | central nervous system |
| d.p.m. | disintegrations per minute |
| DBH | Dopamine-$\beta$-hydroxylase |
| DSP-4 | $N$-(2-chloroethyl)-$N$-ethyl-2-bromobenzylamine |
| DV | dorsal-ventral |
| ECD | electrochemical detection |
| ED$_{50}$ | dose causing 50% of maximum effect |
| g | gram |
| GABA | $\gamma$-aminobutyric acid |
| GDP | guanosine diphosphate |
| GTP | guanosine triphosphate |
| h | hour |
| [$^3$H] | tritium |
| HPLC | high pressure liquid chromatography |
| i.c.v. | intra cerebroventricular |
| i.d. | inner diameter |
| i.p. | intra peritoneal |
| kD | kilo Dalton |
| $K_d$ | dissociation constant |
| $K_i$ | inhibitor constant |
| Symbol | Term |
|--------|-------------------------------------------|
| l | litre |
| m | metre |
| mol | moles |
| min | minute |
| M | molar |
| ML | medial-lateral |
| mRNA | messenger ribonucleic acid |
| n | sample size |
| NMDA | $N$-methyl-$D$-aspartate |
| NPY | neuropeptide Y |
| o.d. | outer diameter |
| P | probability |
| p.o. | per os |
| PVN | paraventricular nucleus |
| REDOX | oxidation-reduction potential |
| s.c. | subcutaneous |
| SEM | standard error of the mean |
| SSRI | selective serotonin reuptake inhibitor |
| V | Volt |
**Prefixes**
| Symbol | Term | Value |
|--------|--------|-------------|
| m | milli | $\times 10^{-3}$ |
| µ | micro | $\times 10^{-6}$ |
| n | nano | $\times 10^{-9}$ |
| f | femto | $\times 10^{-12}$ |
| p | pico | $\times 10^{-15}$ |
| k | kilo | $\times 10^{3}$ |
Publications arising from this thesis
Wortley, K.E., Hughes, Z.A., Heal, D.J. & Stanford, S.C. (1999). Comparison of the effects of sibutramine with d-amphetamine on changes in cortical extracellular noradrenaline concentration in vivo and the role of α2-adrenoceptors. *Br. J. Pharmacol.* **127**: 1860-1866.
Wortley, K.E., Heal, D.J. & Stanford, S.C. (1999). Modulation of sibutramine-induced increases in extracellular noradrenaline concentrations in rat frontal cortex and hypothalamus by α2-adrenoceptors. *Br. J. Pharmacol.* **128**: 659-666.
Wortley, K.E., Heal, D.J. & Stanford, S.C. (1999). Effects of sibutramine and d-amphetamine on extracellular noradrenaline concentration in rat frontal cortex and hypothalamus. *Int. J. Obesity* **23** (suppl): O83.
Stanford, S.C., Wortley, K.E., & Heal, D.J. (1999). Effects of α2-adrenoceptor blockade on increases in extracellular noradrenaline concentration induced by sibutramine. *Int. J. Obesity*. **23** (suppl): P219.
Viggers, J., Cheetham, S.C., Lancashire, B., Prow, M., Aspley, S., Wortley, K.E., Stanford, S.C. & Heal, D.J. (1999). d-Fenfluramine and phentermine both enhance central noradrenergic function via release-contrast with reuptake inhibition by sibutramine. *Int. J. Obesity* **23** (suppl): P225.
Wortley, K.E., Heal, D.J. & Stanford, S.C. (1998). Effect of halothane-anaesthesia on extracellular noradrenaline in rat cortex. *J.Psychopharmacol.* **12** (suppl) A33.
Wortley, K.E., Hughes, Z.A, Heal, D.J. & Stanford, S.C. (1998). Effects of RX821002 on changes in extracellular noradrenaline concentration in rat frontal cortex induced by sibutramine or d-amphetamine. *Int. J. Obesity*. **22** (suppl): P92.
Hughes, Z.A., Wortley, K.E., Heal, D.J. & Stanford, S.C. (1998). Effects of sibutramine or d-amphetamine on extracellular noradrenaline in the rat frontal cortex of anaesthetised and freely-moving rats. *Int. J. Obesity*. **22** (suppl): P93.
Wortley, K.E., Hughes, Z.A, Mason, K., Heal, D.J. & Stanford, S.C. (1997). Comparison of the effects of sibutramine and d-amphetamine on the concentration of extracellular noradrenaline in rat frontal cortex. *Br. J. Pharmacol.* **122**: 100P.
Chapter 1
General Introduction
Obesity has been described as the most important nutritional disorder of the developed world and its prevalence has reached epidemic proportions in Western societies over recent decades. The disorder results from a combination of low energy expenditure and an increased energy intake, often consequences of genetic predispositions and/or environmental factors such as high-calorie diets and sedentary life styles. In some patients, obesity has serious adverse effects on health, promoting a number of co-morbidities including diabetes, hypertension, coronary heart disease and cancer. Initial treatment strategies employ low-calorie diets and increased physical activity programmes in an effort to reduce energy intake and increase energy expenditure. However, in a major proportion of obese patients, this treatment is ineffective and has no satisfactory long-term benefits. For some of these patients, drug therapy provides an additional approach for the long-term management of their body weight.
$d$-Amphetamine was introduced over 80 years ago as an appetite suppressant to treat obesity. Unfortunately, this drug also had prominent central stimulant and euphoriant properties. In an attempt to overcome the problems associated with psychostimulation, a number of other centrally acting anti-obesity agents were developed for the treatment of obesity. These included agents such as aminorex, phentermine, and $d$-fenfluramine. A popular treatment comprised both phentermine and $d$-fenfluramine, a combination known as ‘PhenFen’. These drugs came to be the most commonly used anti-obesity agents in countries such as the United States and Great Britain. However, the use of $d$-fenfluramine
and phentermine became associated with adverse side effects such as primary pulmonary hypertension and valvular heart disease. This eventually led to the removal of these drugs from the market of anti-obesity treatments in September 1997.
Around the same time $d$-fenfluramine and PhenFen were removed from the market of anti-obesity treatments, two other drugs were in the advanced stages of development as potential new anti-obesity agents. These drugs were the centrally acting noradrenaline and 5-HT reuptake inhibitor, sibutramine and the peripherally acting lipase inhibitor, orlistat. This study focuses on the central nervous system pharmacology of sibutramine.
At the start of this PhD study, the pharmacology of sibutramine \textit{in vitro} had been well documented. Pharmacologically, the most interesting findings from these studies were that two metabolites of sibutramine were potent inhibitors of noradrenaline and 5-hydroxytryptamine (5-HT) uptake in both human and rat brain tissue. However, no studies existed on the effects of this drug on central noradrenergic transmission \textit{in vivo}. Such studies are of importance considering $d$-amphetamine is a noradrenaline-, as well as a dopamine- and 5-HT-releasing agent \textit{in vivo}. Some evidence implicates a role for $d$-amphetamine’s effects on central noradrenergic systems in its ability to increase behavioural activation. Therefore, it is of interest to establish whether sibutramine enhances central noradrenergic transmission \textit{in vivo} and, if it does, to establish whether this is due to noradrenaline-reuptake inhibiting properties, which are indicated \textit{in vitro}, or whether it is due to a noradrenaline-releasing effect of this drug. To address these issues, the primary aim of this study was to establish the effects of sibutramine on extracellular noradrenaline concentration in the rat brain \textit{in vivo}.
The rest of this General Introduction will describe the background on which the present study has built. The noradrenergic innervation of the rat brain will be described first. Then, as sibutramine and $d$-amphetamine, as well as many other centrally acting anti-obesity agents, increase the extracellular concentration of one or more of the monoamines, the role of noradrenaline and 5-HT in the control of food intake will be discussed. The role of dopamine, as well as other endogenous substances that have been found to modulate food intake will be discussed briefly. Following this, the pharmacology of sibutramine and $d$-amphetamine, as well as $d$-fenfluramine (for the purpose of
comparisons) will be described. Since $\alpha_2$-adrenoceptors were found to be important for the control of sibutramine’s effects on extracellular noradrenaline accumulation, these receptors and their role in regulating central noradrenergic activity will also be discussed. Finally, as the last chapter of this thesis investigated central $\alpha_2$-adrenoceptor systems in lean and obese Zucker rats, some of the physiological abnormalities of the obese Zucker rat will be highlighted. Particular attention will be given to abnormalities in central noradrenergic function in these rats.
1.1. Noradrenergic innervation of the rat brain
The presence of catecholamine-containing neurones in the rat brain was first demonstrated using a fluorescence histochemical technique by Dahlström and Fuxe in 1964. Regions containing catecholamine cell bodies were divided into twelve groups according to their topographical conditions and morphology: groups A1-A4 located in the medulla oblongata; groups A5-A7 located in the pons; groups A8-A10 located in the mesencephalon; groups A11-A12 located in the diencephalon. Within these brain regions, two subgroups of noradrenergic cell bodies exist, the lateral tegmental system, comprising groups A1-A3, A5 and A7, and the locus coeruleus complex, comprising groups A4 and A6. These two distinct noradrenergic systems are described below.
Following the identification of noradrenaline-containing axons in the brain, pathways of noradrenergic neurones projecting through the central nervous system were soon unravelled (early work reviewed by Moore and Bloom, 1979). A more recent account of the anatomy of noradrenaline-containing neurones in the brain describes four major axon bundles in the brain that consist in part, but not exclusively, of noradrenaline-containing axons: the medial forebrain bundle; the dorsal tegmental bundle; the central tegmental tract; the medullary catecholamine bundle (see Holets, 1990). The dorsal catecholamine bundle carries a major portion of ascending neurones from the locus coeruleus and the lateral tegmental system. This bundle travels as a component of the central tegmental tract and then joins the medial forebrain bundle. The medial forebrain bundle also carries a major portion of ascending noradrenaline-, as well as
dopamine-containing neurones from groups in the pons and mesencephalon. The central tegmental tract primarily carries noradrenaline- and adrenaline-containing axons ascending from groups of cell bodies in the medulla and pons that lie outside of the locus coeruleus. The medullary catecholamine bundle carries descending axons from the A5 and A6 cell groups, as well as ascending axons from noradrenergic and adrenergic neurones from groups of cell bodies in the medulla.
1.1.1. The locus coeruleus
In the rat, the locus coeruleus consists entirely of noradrenergic neurones (Dahlström and Fuxe, 1964). It is the largest nucleus of noradrenergic cell bodies in the mammalian brain and innervates targets throughout the entire central nervous system (see Moore and Bloom, 1979). There are some areas in the brain to which the locus coeruleus system provides the sole noradrenergic innervation. These areas include the cerebellum, the hippocampus and the cerebral cortex. Most other areas in the central nervous system receive a mixed noradrenergic innervation from both the locus coeruleus and lateral tegmental systems. Although it has widespread projections, the size of the locus coeruleus is small, with an estimated 1400-1600 neurones in the rat (Swanson, 1976). These neurones are typically multipolar, with 3-5 dendrites projecting from the soma that branch at least once. The axons show extensive branching with collaterals given off within the nucleus, as well as beyond it (Swanson, 1976).
Noradrenergic innervation of the cortex has been described in both the rat and monkey using a range of techniques including fluorescence histochemistry (Andén et al. 1966) and immunohistochemical localisation of dopamine-β-hydroxylase (an enzyme found only in catecholamine-synthesising cells and converts dopamine to noradrenaline) (Morrison et al. 1982). Using electron microscopic autoradiography, original studies in the rat frontoparietal cortex indicated that only 5% of noradrenergic terminals in this area formed synapses with postsynaptic elements (Descarries et al. 1977). The remaining noradrenergic neuronal terminals did not appear to form identifiable synaptic connections. The authors interpret their findings as evidence that noradrenaline functioned as a neuromodulator, to influence the release of other neurotransmitters. However, later studies provided evidence that contradicted the findings of Descarries et al. (1977).
Papadopoulos *et al.* (1987) studied serial ultrathin sections of rat cerebral cortex using antibodies against noradrenaline (these antibodies were actually raised against synthesising enzymes, or against noradrenaline bound to a larger protein, see Papadopoulos and Parnavelas, 1991). Their analyses showed that approximately 90% of labelled noradrenergic varicosities formed synapses with postsynaptic elements. These findings provided some of the first pieces of evidence to show that the noradrenergic system displayed specialised synaptic junctions, similar to other afferent systems in the cortex.
### 1.1.2. The lateral tegmental noradrenergic system
Like locus coeruleus neurones, lateral tegmental neurones are multipolar, although their varicosities are larger than those of the locus coeruleus system and their axons are more irregular in size (Moore and Bloom, 1979). Targets for lateral tegmental noradrenergic projections include the basal forebrain, thalamus, hypothalamus, brainstem and spinal cord.
In this thesis, changes in extracellular noradrenaline concentration were monitored in the frontal cortex or in the region of the paraventricular nucleus of the hypothalamus. Evidence from fluorescence histochemical studies suggest that there is no lateral tegmental noradrenergic innervation of the neocortex (Moore and Bloom, 1979), making the frontal cortex a region exclusively innervated by locus coeruleus neurones. In contrast, the hypothalamus is densely innervated by neurones from both the locus coeruleus and the lateral tegmental system, although evidence suggests that the majority of noradrenergic neurones in the hypothalamus derive from the lateral tegmental system. Palkovits *et al.* (1980) measured the concentration of noradrenaline in individual hypothalamic nuclei following surgical transections of the lower brain stem or electrolytic lesions of noradrenaline containing cell groups in the medulla. They found that the largest reduction (45-50%) in hypothalamic noradrenaline content was achieved following unilateral lesioning of the A1 group. Fibres ascending from this group were suggested to cross the midline of the brain as the lesion caused a 52% decrease in noradrenaline content of the contralateral paraventricular nuclei. A relatively smaller noradrenergic innervation of the hypothalamus was indicated by noradrenergic neurones of the A2 group (approximately
20 - 30% decrease in noradrenaline content of the arcuate nucleus, median eminence, paraventricular and periventricular nuclei). Lesioning of the A5 group indicated that this group projected mainly to the ventromedial and arcuate nucleus, with only little or no affect on noradrenaline content of other hypothalamic nuclei. Following lesion of the locus coeruleus, a decrease in noradrenaline content was found in the arcuate, supraoptic, paraventricular and periventricular nuclei only. Although this lesion caused a relatively large depletion of noradrenaline in the arcuate and paraventricular nuclei (52 and 40%, respectively), the authors point out that these estimates could be exaggerated since damage to the locus coeruleus is likely to cause to damage to adjacent noradrenergic pathways projecting to the hypothalamus.
Brain regions innervated by both the locus coeruleus and lateral tegmental systems have a greater tissue concentration of noradrenaline than areas innervated by the locus coeruleus system only. For example, the noradrenaline content of the lateral cortex and hippocampus is estimated to be 2.5 and 4.7 pmol / mg tissue, respectively, whereas that of the hypothalamus is estimated to be 32.4 pmol / mg tissue (Zaccek and Coyle, 1982). Lidbrink and Jonsson (1971) report that the turnover rate of noradrenaline in the hypothalamus is slower than in the cortex. Furthermore synaptosomal studies show that neurones in the hypothalamus have a greater affinity for $[^3\text{H}]$noradrenaline uptake compared with neurones in the cortex (40 nM and 100 nM, respectively) (Zaccek et al. 1990). Evidence such as this suggests there could be functional differences between noradrenergic neurones of the locus coeruleus and lateral tegmental systems (see Chapters 4 and 5).
### 1.2. Endogenous substances affecting food intake
#### 1.2.1. Noradrenaline
In 1960, Grossman demonstrated that administration noradrenaline through cannulae implanted in the perifornical hypothalamus, as well as areas more medial and ventral, induced a marked feeding response in satiated rats. Later experiments carried out
by Booth (1968) showed that the $l$-isomer of noradrenaline was 90% more effective at inducing this feeding response in rats than the $d$-isomer. Further studies using smaller cannulas than those used by Grossman in 1960, suggested that $l$-noradrenaline was more effective at increasing food intake when injected into areas coincident with, or bordering, the paraventricular nucleus of the hypothalamus than when injected into midlateral areas of the hypothalamus (Matthews et al. 1978). In a more extensive study, Leibowitz (1978) tested 35 different brain areas of the rat. This study confirmed that local administration of noradrenaline specifically into the paraventricular nucleus is the most effective site for eliciting a feeding and preprandial drinking response in satiated, as well as mildly hungry (24 h with only 80% of normal daily food intake available) rats. In contrast, injection of noradrenaline into lateral perifoncal regions induced a reduction in food intake in mildly hungry rats (see below).
In a meal pattern analysis study, injection of noradrenaline into the paraventricular nucleus was found to increase food intake by increasing meal size rather than meal frequency (Shor-Posner et al. 1986). The authors suggest that because noradrenaline had no effect on meal frequency, noradrenaline could influence the termination of feeding (\textit{i.e.} satiety) rather than the stimulation of hunger.
Further studies showed that administration of the $\alpha_2$-adrenoceptor agonist, clonidine, into the paraventricular nucleus also induced a feeding response in satiated rats (Goldman et al. 1985). However, Wellman (1992) showed that the effect of local administration of clonidine into the paraventricular nucleus on feeding was biphasic, with low doses facilitating food intake and high doses (20 and 50 nmol) inhibiting food intake. This biphasic effect of clonidine on food-intake is also found following systemic administration of clonidine (Sanger, 1983). However, the decrease in food intake induced by higher doses of clonidine is likely to be due to the sedative effects of this drug (Drew et al. 1979). Interestingly, a recent study reports that orally administered clonidine at a dose of 1.5 or 3 $\mu g / kg$ does not increase food intake in healthy men or women (Crow et al. 1998). In fact, food intake was greater in the placebo group compared with clonidine-treated subjects. Although relatively low doses of clonidine were used in this study, the sedation ratings of clonidine-treated subjects were greater than those of the placebo group. Again, this effect of systemically administered clonidine could hinder the
feeding-stimulatory effects that clonidine elicits through pathways in the hypothalamus.
Goldman et al. (1985) showed that both noradrenaline- and clonidine-induced feeding responses could be reduced in a dose-dependent manner by local pretreatment with the non-selective $\alpha$-adrenoceptor antagonist, phentolamine, or the $\alpha_2$-adrenoceptor antagonists, yohimbine or rauwolscine. These antagonists alone, at doses that inhibited the noradrenaline- and clonidine-induced feeding responses, had no effect on food intake. In contrast, the study shows that the $\alpha_1$-adrenoceptor antagonists, prazosin or corynanthine, do not affect the noradrenaline- or clonidine-induced feeding response, in fact corynanthine actually enhanced the feeding response elicited by hypothalamic injection of noradrenaline. Earlier studies investigating the feeding response induced by hypothalamic injection of noradrenaline found that $\beta$-adrenoceptor antagonists, including $l$-propranolol, did not inhibit this response (Leibowitz, 1975a). Furthermore, the relatively selective $\beta$-adrenoceptor agonist, isoproterenol, had no effect on food intake 30 min following its local administration at 10 or 100 nmol. Collectively, these findings suggest that the receptors mediating the feeding response induced by hypothalamic injection of noradrenaline or clonidine include $\alpha_2$-adrenoceptors.
Goldman et al. (1985) also showed that local administration of clonidine into the paraventricular nucleus still elicited a feeding response 2 h after local administration of the catecholamine synthesis inhibitor, $\alpha$-methyl-para-tyrosine, into satiated rats. $\alpha$-Methyl-para-tyrosine alone had no effect on food intake. This suggests that the $\alpha_2$-adrenoceptors mediating the feeding response are located postsynaptically in the region of the paraventricular nucleus. In contrast, activation of $\alpha_1$-adrenoceptors in the paraventricular nucleus by the local administration the $\alpha_1$-adrenoceptor agonists, cirazoline, methoxamine, phenylpropanolamine or phenylephrine suppressed food intake in freely-feeding rats; an effect that was reversed by local pretreatment with an $\alpha_1$-adrenoceptor antagonist (Wellman et al. 1993).
Noradrenaline (40 nmol) injected into the lateral regions of the hypothalamus produces a reliable, dose-dependent suppression of feeding (Leibowitz, 1978). Local injection of the monoamine-releasing agent, $d$-amphetamine (6 - 400 nmol) into the
lateral hypothalamus also induces a suppression of food intake in food-deprived rats (Leibowitz, 1975b). No effect of $d$-amphetamine on food intake was found following its administration into the medial hypothalamus. The reduction in food intake induced by $d$-amphetamine injected into the lateral hypothalamus was inhibited by pretreatment with systemic administration of the $\beta$-adrenoceptor antagonist, $l$-propranolol, or the dopamine receptor antagonists, haloperidol or pimozide, but was not affected by the $\alpha$-adrenoceptor antagonists, phentolamine or tolazoxine. Furthermore, lateral hypothalamic administration of propranolol or haloperidol inhibited the reduction in food intake caused by systemically administered $d$-amphetamine (1 mg / kg) by 45% and 75%, respectively. These findings suggest that the noradrenaline released in the lateral hypothalamus by $d$-amphetamine could act at $\beta$-adrenoceptors to mediate part of the reduction in food intake induced by this dose of $d$-amphetamine.
In summary, it appears that activation of both $\alpha$-adrenoceptor and $\beta$-adrenoceptors can modulate feeding behaviour in the rat, with $\alpha$-adrenoceptor mechanisms appearing to preside in the region of the paraventricular nucleus and $\beta$-adrenoceptor mechanisms presiding in the lateral regions of the hypothalamus. Which of these receptor pathways, if any, contribute to the natural, physiological control of food intake in rats is unclear.
### 1.2.2. 5-Hydroxytryptamine
In 1971, Goldman *et al.* showed that injection of 5-HT into the perifornical region of the hypothalamus induced a suppression of food intake in food-deprived rats. A further study of the suppressive effect of 5-HT on food intake in freely-feeding rats revealed that the injection of 5-HT (5-20 nmol) into the paraventricular nucleus induced a dose-dependent decrease in food intake specifically at the onset of the dark period (Leibowitz *et al.* 1989). No effect of 5-HT on food intake was observed during other stages of the light-dark cycle using this dose of 5-HT. The decrease in feeding behaviour was characterised by a highly selective reduction in carbohydrate intake, although there was a slight enhancement in preference for protein and fat with little overall change in total caloric intake.
This suppressive effect of 5-HT on carbohydrate intake has since been mapped more specifically to the medial hypothalamic nuclei. In a study of 7 different hypothalamic nuclei and 5 extrahypothalamic sights, a 50-70% suppression of carbohydrate intake was observed only when 5-HT (2.5 nmol) was injected into the paraventricular, ventromedial or suprachiasmatic nuclei of freely-feeding rats (Leibowitz et al. 1990). Studies investigating the behavioural changes by which 5-HT induces a suppression of feeding behaviour in freely-feeding rats suggest that 5-HT enhances satiety. Shor-Posner et al. (1986), injected 5-HT into the paraventricular nucleus of freely-feeding rats and monitored changes in feeding patterns. Injections of 5-HT induced a decrease in meal size, duration and feeding rate, but did not affect the frequency of meals consumed, suggesting that 5-HT influenced the onset of satiety rather than the suppression of hunger.
The hypothesis that central serotonergic transmission mediates a suppressive effect on feeding behaviour is supported by Hutson et al. (1986). These authors monitored feeding behaviour in rats following central administration of the 5-HT\textsubscript{1A} autoreceptor agonist 8-hydroxy-2-(di-n-propylamino)-tetralin (8-OH-DPAT). Activation of these somatodendritic autoreceptors induces a decrease in serotonergic neuronal activity (see Chapter 3, section 3.1.). Infusion of 8-OH-DPAT through cannulas implanted into either the dorsal or median raphé (regions containing the cell bodies of serotonergic neurones) caused an increase in food intake and feeding duration in satiated rats compared with rats infused with saline. Behavioural analysis revealed that infusion of 8-OH-DPAT did not affect behaviours such as locomotion, rearing, forepaw treading or ‘wet dog shakes’, suggesting that the increase in food intake was not due to an increase in behavioural arousal. The authors suggest that the effect of 8-OH-DPAT is mediated through an action on 5-HT autoreceptors located on serotonergic cell bodies; the ensuing decrease in serotonergic neuronal activity and the increase in food intake is consistent with the hypothesis that enhanced serotonergic transmission depresses feeding behaviour.
Feeding studies have found that systemic administration of the mixed 5-HT\textsubscript{1A} and 5-HT\textsubscript{1B} receptor agonist 5-methoxy-3-(1,2,3,6-tetrahydro-4-pyridinyl)-1H-indole (RU-24969) reduces food intake in food-deprived rats by decreasing the time spent feeding, without affecting the rate of eating (Simansky and Vaidya, 1990). Further studies
with RU-24969 and the selective 5-HT\textsubscript{1B} agonist 3-(1,2,5,6-tetrahydropyrid-4-ylpyrrolo[3,2-b]pyrid-5-one (CP 93129) suggest that stimulation of 5-HT\textsubscript{1B} receptors in the hypothalamus reduces food intake in the rat. When injected directly into the paraventricular nucleus, both these drugs reduced food intake in food-deprived rats and this effect was blocked by propranolol, a β-adrenoceptor antagonist that also blocks 5-HT\textsubscript{1A} and 5-HT\textsubscript{1B} receptors at the dose used in this study (20 nmol) (Samanin and Grignaschi, 1996). These findings suggest that activation of hypothalamic 5-HT\textsubscript{1B} receptors could induce satiety.
Quipazine, is a non-selective 5-HT receptor agonist and its systemic administration induces a dose-dependent reduction in the intake of palatable diet in rats (Hewson et al. 1988). This effect is inhibited by systemic administration of the non-selective 5-HT receptor antagonist, methysergide, as well as the non-selective 5-HT\textsubscript{2} receptor antagonist, ritanserin and the selective 5-HT\textsubscript{2A/2C} receptor antagonist, ketanserin (Hewson et al. 1988). However, the 5-HT\textsubscript{3} receptor antagonist, 1,2,3,9-tetrahydro-9-methyl-3[(2-methyl-1H-imidazol-1-yl)methyl]-4H-carbazol-4-one (GR 38032F) had no effect on the suppression of food intake induced by quipazine. The authors conclude that anorectic effects of quipazine are mediated, at least in part, by 5-HT\textsubscript{2} receptors, but also suggest that because none of the 5-HT receptor antagonists alone affected feeding behaviour, 5-HT is not involved in the tonic control of food intake. However, these experiments were performed during the light period and cannot rule out a tonic effect of 5-HT on food intake control during the dark period, when injection of 5-HT into the hypothalamus is reported to be most effective at suppressing food intake (Leibowitz, et al., 1989).
A role for 5-HT\textsubscript{2} receptors in the control of food intake is supported by studies in humans. Systemic administration of a low dose (0.4 mg / kg) of the 5-HT\textsubscript{2C} receptor agonist, m-chlorophenylpiperazine (m-CPP), to healthy female volunteers reduced food intake by 30% during a test meal (Walsh et al. 1994). Similarly, chronic administration (14 days) of the selective 5-HT\textsubscript{2C} receptor antagonist, RS-102221 (a benzenesulphonamide of 8-[5-(5-amino-2,4-dimethoxyphenyl)-5-oxopentyl]-1,3,8-triazaspiro[4,5]decan-2,4-dione) increased food intake and body weight gain in rats (Bonhaus et al. 1997). Furthermore, studies in mutant mice lacking the 5-HT\textsubscript{2C} receptor
gene showed that body weight and adipose tissue deposition in adult mutant mice were greater than in wild type mice (Heisler et al. 1998). Feeding studies suggested that the greater body weight and adipose tissue deposition in mutant mice is due to the increased food intake by these mice.
In contrast to quipazine, the 5-HT receptors mediating the anorectic effects of the 5-HT releasing agent, *d*-fenfluramine, in rats (see section 1.2.3.) are not thought to involve 5-HT$_{2}$ receptors. Samanin et al. (1989) report that the non-selective 5-HT receptor antagonist, metergoline, dose-dependently inhibited the decrease in food intake following *d*-fenfluramine administration. However, ritanserin, over a similar dose-range to that used by Hewson et al. (1988), (0.5-2 mg / kg) only partially prevented the suppression of food intake following *d*-fenfluramine administration. Neill et al. (1990), also found the effects of *d*-fenfluramine to be antagonised by metergoline but unaffected by ritanserin. These findings suggested that 5-HT receptors other than the 5-HT$_{2}$ receptors are involved in mediating *d*-fenfluramine’s effects, possibly 5-HT$_{1B}$ receptors.
The role of 5-HT$_{3}$ receptors in food intake control is uncertain. Mazzola-Pomietto et al. (1995) found that the 5-HT$_{3}$ receptor agonist, m-chlorophenylbiguanide, (m-CPBG), reduced food intake in food-deprived rats only at a relatively high dose of 10 mg / kg. However, the 5-HT$_{3}$ receptor antagonist, 3-tropanyl-3,5-dichlorobenzoate (MDL-72222) induced a dose-dependent reduction of food intake in food-deprived rats, whereas the 5-HT$_{3}$ receptor antagonist, ondansetron, (0.032 or 0.32 mg / kg) was without effect. In freely-feeding rats, none of these agents affected food intake. The authors concluded that their findings did not support an important role for 5-HT$_{3}$ receptors in food intake control. In contrast, Van der Hoek and Cooper (1994) reported that ondansetron reduced the intake of a palatable diet in freely-feeding rats, but not food-deprived rats, at all doses tested over the dose range 3-30 µg / kg. The reduction of food intake in freely-feeding rats was characterised by a reduction in the time spent eating without a change in the frequency of eating, suggesting that ondansetron enhances satiety. Clearly, the role of 5-HT$_{3}$ receptors in food intake control requires further investigation.
Other 5-HT receptor subtypes also exist, such as the 5-HT$_{4}$, 5-HT$_{5}$, 5-HT$_{6}$ and 5-HT$_{7}$ receptors, although their role, if any, in food intake control remains to be fully
elucidated.
1.2.3. Other endogenous substances affecting food intake
A variety of other endogenous substances in the brain, as well as the periphery, have been identified as having either a facilitatory or inhibitory effect on food intake. In the brain, these substances include the other monoamine, dopamine and the neuropeptides, neuropeptide Y (NPY) and galanin. In the periphery, these substances include the hormones, cholecystokinin (CCK), and leptin.
Studies investigating the receptors through which $d$-amphetamine mediates its effects have indicated that dopaminergic transmission can affect food intake. In 1975, Leibowitz showed that the anorectic effect of peripherally injected $d$-amphetamine was prevented by local injection of the relatively non-selective dopamine receptor antagonist, haloperidol into the lateral hypothalamus (Leibowitz, 1975b). A later study using more selective dopamine antagonists showed that the reduction in food intake induced by a low dose (0.3 mg / kg) $d$-amphetamine in rats was totally reversed by the selective dopamine D$_1$ receptor antagonist, R-(+)-8-chloro-2, 3, 4, 5-tetrahydro-3-methyl-5-phenyl-1H-3-benzazepine-7-ol maleate (SCH 23390), but not affected by the selective dopamine D$_2$ receptor antagonist, sulpiride (Gilbert and Cooper, 1985). In contrast, the anorectic effect of a higher dose of $d$-amphetamine (1 mg / kg) was not affected by either antagonist. Shukla et al. (1990) also found no effect of haloperidol or the dopamine D$_2$ receptor antagonist, pimozide, on the reduction in food intake induced by a high dose of $d$-amphetamine (3.2. mg / kg). These findings suggest that dopamine D$_1$ receptors are involved only in mediating the anorectic effect of low doses $d$-amphetamine.
NPY and galanin are synthesised in the hypothalamus and injection of either one into the hypothalamus of satiated rats stimulates feeding behaviour. The effects of these neuropeptides on feeding behaviour can be distinguished by their selectivity to increase the consumption of specific macronutrients: feeding studies show that hypothalamic administration of NPY preferentially increases carbohydrate consumption, whereas galanin preferentially increases the consumption of fat (reviewed by Leibowitz, 1995). Various animal models of obesity, including the obese Zucker rat, exhibit increased
hypothalamic levels of both peptides as well as increased levels of their mRNAs (reviewed by Leibowitz, 1995). Whether these disturbances in hypothalamic peptides are a causal factor in obesity remains to be established.
CCK is found in both the upper gastrointestinal tract and in the brain. Peripheral administration of the peptide reduces food intake in a variety of species including man and feeding studies have characterised this reduction as a decrease in meal size and duration, thus indicating the advancement of satiety (reviewed by Moran, 1996). During feeding, CCK is secreted from the small intestine and, based on findings from studies investigating the effects of peripherally injected CCK, a role for its subsequent influence on satiety has been proposed. However, this idea is challenged by Baldwin et al. (1998), who argue that the concentration of CCK released during feeding is probably not sufficient to influence feeding behaviour. These authors also suggest that the decrease in food intake induced by peripheral administration of CCK could result from the induction of aversion and nausea as opposed to satiety. These issues question the physiological relevance of peripherally administered CCK on feeding behaviour.
Although secreted from adipose tissue, leptin is thought to decrease food intake and modulate glucose and fat metabolism via leptin receptors in the hypothalamus. Plasma levels of leptin are highly correlated with adipose tissue mass and the concentration of leptin in plasma falls in both humans and mice after weight loss. Conversely, plasma leptin concentrations are increased in obese humans (reviewed by Friedman and Halaas, 1998). In light of the findings correlating leptin and adipose tissue mass, leptin has been suggested to act as a messenger in part of a feedback loop to maintain constant body stores of fat. Consistent with a role for leptin in regulating body fat stores, recessive mutations of both the leptin gene and the leptin receptor gene in mice resemble morbid obesity in humans (reviewed by Friedman and Halaas, 1998).
1.3. Anti-obesity agents
1.3.1. Sibutramine
Sibutramine (BTS 54 524; N-[1-[1-(4-chlorophenyl)cyclobutyl]-methyl butyl]-N,N-dimethylamine HCl monohydrate) was originally developed in a research programme focussed on discovering potential new antidepressant treatments. The rationale for the research programme was based on work by Vetulani and Sulser (1975) which proposed that that β-adrenoceptor down-regulation in the central nervous system was the common therapeutic mechanism for all antidepressant treatments. As preclinical data showed that sibutramine potently down-regulated [³H]dihydroalprenolol binding (a non-selective β-adrenoceptor ligand) in rat cortex after only 3 days of oral administration (Buckett et al. 1988) sibutramine was singled out as a potentially powerful antidepressant with a rapid onset of action. However, despite its preclinical profile, sibutramine showed no evidence of antidepressant activity in Phase II clinical trials. Nevertheless, of interest during the trials, it was noted that sibutramine induced weight loss in depressed patients, the magnitude of which paralleled dose. This observation led to the development of this drug as an anti-obesity agent.
Buckett et al. (1988) reported that sibutramine preferentially inhibited the uptake of [¹⁴C]noradrenaline into rat cortical slices, with only weak effects on [¹⁴C]5-HT or [¹⁴C]dopamine uptake. In contrast, sibutramine had no effect on monoamine oxidase activity *in vitro*, or *in vivo*. In keeping with its noradrenaline reuptake inhibiting properties, sibutramine dose-dependently inhibited the noradrenaline depleting effects of reserpine, as well as the 5-HT depleting effects of *p*-chloroamphetamine, with 50% prevention of depletion after oral doses of 15.4 or 13.3 mg / kg, respectively. However, of pharmacological importance, sibutramine is rapidly demethylated to the secondary amine, Metabolite 1 (BTS 54 354) and then the primary amine, Metabolite 2 (BTS 54 505) following administration to either animals or humans, (Heal et al. 1998a). Later studies showed that these metabolites were at least 20- and 100-fold more potent than the parent compound at inhibiting the uptake of [¹⁴C]noradrenaline or [¹⁴C]5-HT into rat cortical slices, respectively (Luscombe *et al.* 1989). However, sibutramine and its metabolites had
similar effects on β-adrenoceptor down-regulation. This indicated that the metabolites of sibutramine are involved in mediating the pharmacological effects of sibutramine.
Further studies confirmed that whereas sibutramine has relatively weak activity, Metabolites 1 and 2 are potent inhibitors of [35-HT] and [3H]noradrenaline uptake in synaptosomal preparations of both rat and human brain tissue (see Table 1.1.). Studies also suggest that Metabolites 1 and 2 are moderate inhibitors of dopamine uptake *in vitro* (Luscombe *et al.*, 1989; Heal and Cheetham, 1997, see Table 1.1.). However, studies investigating sibutramine’s profile for dopaminergic function revealed that neither the parent compound nor Metabolites 1 or 2 had any effect on dopaminergic activity *in vitro* or *in vivo* (Heal *et al.* 1992). These studies showed that in contrast to the dopamine reuptake inhibitor and releasing agent, metamphetamine, [3H]dopamine efflux from slices of rat striatum was not potentiatiated by sibutramine or either of the metabolites. Furthermore, when rats were trained to distinguish between systemically administered *d*-amphetamine or saline in a two-choice lever pressing paradigm, sibutramine generalised to the saline lever. Finally, these studies also investigated circling behaviour in unilateral nigrostriatal lesioned rats. Whereas orally administered metamphetamine induced pronounced circling behaviour in lesioned rats at a dose of 4.2 mg / kg, sibutramine had no effect at a dose of 6 mg / kg. This lack of effect of sibutramine on dopaminergic function led to the description of this drug as a novel 5-HT and noradrenaline reuptake inhibitor.
Neither sibutramine, nor the metabolites stimulate the release of [3H]noradrenaline, [3H]5-HT or [3H]dopamine from rat brain slices *in vitro*, at concentrations up to 10 µM (Heal and Cheetham, 1997). Furthermore, neither sibutramine nor the metabolites have an affinity ($K_i$) of < 1000 nM for a range of neurotransmitter receptors including adrenergic, serotonergic, muscarinic, histaminergic or glutamate receptors (Heal and Cheetham, 1997). These findings suggest that the pharmacological effects of sibutramine derive solely from reuptake inhibition. Furthermore, considering the roles of 5-HT and noradrenaline in the control of food intake, the potent inhibitory effects of sibutramine’s active metabolites on the reuptake of these monoamines suggested that these properties could be responsible for mediating sibutramine’s anti-obesity actions.
| | NORADRENALINE | 5-HT | DOPAMINE |
|----------------|---------------|--------|----------|
| **Human brain**| | | |
| Sibutramine | 5451 | 298 | 943 |
| Metabolite 1 | 20 | 15 | 49 |
| Metabolite 2 | 15 | 20 | 45 |
| **Rat brain** | | | |
| Sibutramine | 283 | 3131 | 2309 |
| Metabolite 1 | 2.7 | 18 | 24 |
| Metabolite 2 | 4.9 | 26 | 31 |
| *d*-Amphetamine| 45 | 1441 | 132 |
Table 1.1: Monoamine reuptake inhibition profiles of sibutramine, Metabolite 1 and Metabolite 2 in rat and human brain in vitro and comparison with *d*-amphetamine.
Numbers represent $K_i$ values (inhibition constants) for the inhibition of monoamine reuptake. Data obtained from Heal *et al.* (1998a).
Acute oral administration of sibutramine to rats induced a dose-dependent inhibition of food intake as tested over the dose-range 1-10 mg / kg (Jackson *et al.*, 1997a; 1997b). The ED$_{50}$ (dose causing 50 % inhibition of food intake) for this effect was 2.8 mg / kg (Jackson *et al.* 1997b). Similar effects on food intake were observed after oral treatment with the 5-HT and noradrenaline reuptake inhibitors, venlafaxine or duloxetine, although their effects on food intake were not as potent as sibutramine’s (Jackson *et al.* 1997b). A comparable effect on food intake was also observed after combined treatment with the selective noradrenaline reuptake inhibitor, nisoxetine and the selective 5-HT reuptake inhibitor, fluoxetine. Together, these findings strongly supported the hypothesis that the 5-HT and noradrenaline reuptake properties of sibutramine’s metabolites mediate this drug’s anorectic effect. However, neither fluoxetine nor nisoxetine alone had any effect on food intake over the dose-range 3-30 mg / kg (Jackson *et al.* 1997b). Thus, these findings also highlighted a synergy between 5-HT and noradrenaline in the control of food intake.
Since, over similar dose ranges, sibutramine had profound effects on both food intake as well as noradrenaline and 5-HT reuptake inhibition *in vivo*, it was suggested that the hypophagia was initiated by monoaminergic receptor stimulation as a result of the increased synaptic availability of 5-HT and noradrenaline. Consistent with this idea, the hypophagic effects of sibutramine are inhibited by systemic administration of $\alpha_1$-adrenoceptor, $\beta_1$-adrenoceptor or 5-HT$_{2A/2C}$ receptor antagonists (see Chapter 4, section 4.4.3.). Further evidence suggests that these effects are centrally mediated since intracereboventricular injections of Metabolites 1 and 2 reduce food intake in mice at doses which have no effect on food intake when administered peripherally (Heal and Cheetham, 1997).
In a chronic study of sibutramine treatment in Zucker rats, the initial decrease in food intake seen after acute administration was not apparent in treated animals over a two week period (Connoley *et al.* 1995). Despite this lack of difference in food intake, the body weight of treated rats was less than that of the control group. This suggested that sibutramine could also have thermogenic activity. Subsequent experiments in Wistar rats found that a dose of 10 mg / kg sibutramine induced a 23% increase in oxygen consumption and an increase in colonic temperature of approximately 0.76 °C, which was sustained for at least 2 h (Connoley *et al.* 1995). Experiments with fluoxetine and nisoxetine also showed that when combined, these agents could induce a 25% increase in oxygen consumption, whereas neither compound alone had thermogenic capacity, thus highlighting a synergistic effect between these monoamines in the control of thermogenesis. Furthermore, treatment of rats with the ganglionic blocker, clorisondamine, blocked completely the thermogenic response to sibutramine. This indicated that, like its effects on food intake, sibutramine could induce thermogenesis *via* activation of central pathways (Stock, 1997).
The thermogenic activity of sibutramine has been suggested to result from sympathetic activation of brown adipose tissue (BAT) mediated *via* the $\beta_3$-adrenoceptor. Support for a role of the $\beta_3$-adrenoceptor in sibutramine’s effects comes from experiments showing that the thermogenic response to sibutramine is blocked by combined treatment with the $\beta_1$- and $\beta_2$-adrenoceptor antagonists atenolol and erythro-dl-1-(7-methylindan-4-yloxy)-3-isopropylaminobutan-2-ol (ICI 118551), respectively, at high doses which are
known to also activate $\beta_3$-adrenoceptors (Connoley et al. 1996). In contrast, low, selective doses of these $\beta_1$- and $\beta_2$-adrenoceptor antagonists had no effect on the thermogenic action of sibutramine, thus suggesting that $\beta_3$-adrenoceptors are involved in mediating this effect. By monitoring glucose utilisation in a range of different tissues, the thermogenic activity of sibutramine has been shown to rely specifically on sympathetic stimulation to BAT. Sibutramine induced a large increase in glucose utilisation specifically in BAT of rats. Smaller increases were seen only in the diaphragm and gastrocnemius muscle (Stock, 1997). Since there were no increases in glucose utilisation in other tissues innervated by the sympathetic nervous system that were comparable with the increase in BAT, this suggested that the thermogenic activity of sibutramine did not derive simply from a peripheral action of sibutramine on noradrenaline reuptake.
In summary, sibutramine’s anti-obesity actions derive from the enhancement of synaptic availability of 5-HT and noradrenaline in the central nervous system, as a result of reuptake inhibiting properties of its two active metabolites. A synergistic action between the increased serotonergic and noradrenergic function then activates central pathways to reduce food intake and increase resting energy expenditure.
1.3.2. $d$-Amphetamine
Amphetamine was first synthesised in 1887 and has been used clinically as an anorectic agent for many years (reviewed by King and Ellinwood, 1992). However, amphetamine can also cause a number of adverse effects in both the peripheral and central nervous systems. Peripheral effects include an enhancement of systolic and diastolic blood pressure and a slowing of the heart rate. Amphetamine also induces peripheral hyperthermia, whereas centrally it causes hypothermia. There are also many behavioural effects associated with amphetamine administration: low doses enhance locomotor activity while high doses induce stereotypies. Furthermore, amphetamine elicits feelings of euphoria and relief from fatigue, effects that are linked to the abuse liability of this drug. Although a potent anorectic agent, these adverse effects of amphetamine (reviewed by King and Ellinwood, 1992) make this drug an unsuitable candidate for the treatment of obesity.
The effects of amphetamine on food intake have been attributed to its effects on both central dopaminergic and noradrenergic systems. Hollister et al. (1975) reported that an intracisternal injection of the catecholamine neurotoxin, 6-hydroxydopamine (6-OHDA) in rats pretreated with desipramine (to protect noradrenergic neurones) reduced the concentration of dopamine in whole brain tissue to approximately 14%. This treatment attenuated the anorectic effect of $d$-amphetamine (0.75-1.5 mg / kg). Although the concentration of noradrenaline in whole brain tissue was reduced in these rats (approximately 20% reduction) a significant correlation was only found between the amount of food consumed and the tissue concentration of dopamine. In contrast, these authors reported that preferential depletion of central noradrenergic neurones (approximately 60% reduction in whole brain tissue) using a low dose of 6-OHDA had no affect on the anorectic action of $d$-amphetamine in rats. These findings suggested that central dopaminergic neurones are involved in the anorectic effect of $d$-amphetamine.
However, Leibowitz (1975b) reported that pretreatment of rats with a $\beta$-adrenoceptor antagonist inhibited the anorectic effect of $d$-amphetamine injected into the lateral hypothalamus of rats, suggesting that central noradrenergic pathways could be involved in this drug’s effects on food intake. Indeed, a later study showed that electrolytic lesion of the ventral noradrenergic bundle, which decreased the concentration of noradrenaline in the forebrain by approximately 33%, without affecting dopamine or 5-HT, markedly reduced the anorectic effect of $d$-amphetamine (1.25 mg / kg) in rats (Samanin et al. 1977).
In 1965, Glowinski and Axelrod showed that $d$-amphetamine induced a 30% release of $[^3\text{H}]$noradrenaline from rat brain synaptosomes. By adding, $d$-amphetamine to the synaptosomes before the $[^3\text{H}]$noradrenaline, these authors also showed that this drug had a profound inhibitory effect on noradrenaline uptake (70% inhibition). Later studies showed that both stereoisomers of amphetamine could induce a concentration-dependent inhibition of $[^3\text{H}]$noradrenaline uptake into rat brain synaptosomes (Thornburg and Moore, 1973). However, Raiteri et al. (1975) were unable to show that $d$-amphetamine released $[^3\text{H}]$noradrenaline from hypothalamic, cerebellar or pons-medulla synaptosomes and found only a modest release from cortical or striatal synaptosomes. In contrast, $d$-amphetamine induced the release of $[^3\text{H}]$dopamine from striatal, cortical or
hypothalamic synaptosomes as well as $[^3\text{H}]5$-HT from striatal or cortical synaptosomes. The authors rejected the suggestion that $d$-amphetamine induced noradrenaline release and concluded that the drug increased noradrenaline efflux by inhibiting its reuptake.
In a recent study using COS-7 cells transfected with cDNAs for the human plasmalemmal noradrenaline transporter and/or the vesicular monoamine transporter, Pifl et al. (1999) support the suggestion that $d$-amphetamine both releases and inhibits the reuptake of noradrenaline. These authors found that in cells transfected with the plasmalemmal transporter only and preloaded with $[^3\text{H}]$noradrenaline, superfusion with $d$-amphetamine stimulated noradrenaline efflux only at concentrations lower than 10 $\mu$M; higher concentrations of $d$-amphetamine showed only small, or no effect at all on noradrenaline efflux. However, when the high concentrations of $d$-amphetamine were removed from the perfusion medium, noradrenaline efflux increased. In contrast, in cells transfected with both the plasmalemmal and the vesicular monoamine transporter, superfusion with $d$-amphetamine increased noradrenaline efflux with a maximal effect at 1mM, which was maintained at higher concentrations.
To explain their findings, the authors suggested that $d$-amphetamine interacts with the plasmalemmal transporter in two ways: firstly as a substrate, whereby it is transported into the cell and causes the release of noradrenaline, probably by $d$-amphetamine/noradrenaline exchange on the transporter (see evidence of Rudnick and Wall, 1992, below); secondly, at higher doses, it acts extracellularly to block at low affinity the transportation of substrates in either direction across the plasma membrane. According to this hypothesis, $d$-amphetamine can only reverse the direction of the plasmalemmal transporter from the inside of the cell. This suggestion would account for the reduction of noradrenaline efflux in the presence of high concentrations of $d$-amphetamine in cells transfected with the plasmalemmal transporter only: high doses of $d$-amphetamine bound to a transport-blocking extracellular site and prevented the efflux of noradrenaline. In cells transfected with both the plasmalemmal and the vesicular monoamine transporter, the authors proposed that high doses of $d$-amphetamine trigger release by mobilising an intracellular pool of noradrenaline (to which the vesicular transporter has been directed in the absence of synaptic vesicles). As the mobilised noradrenaline in the cytoplasm creates a steep concentration gradient with respect to the
extracellular medium, the noradrenaline is able to passively diffuse out of the cell. Whether support for this model of $d$-amphetamine’s effects on noradrenaline release and reuptake can be gained from studies in vivo remains to be elucidated. However, it is of interest that in the study of Raiteri et al. (1975), high doses of $d$-amphetamine (10 $\mu$M) were used to study its effects on noradrenaline release: according to the hypothesis of Pifl et al. (1999) this could account for the lack of $d$-amphetamine’s effects on noradrenaline release.
Amphetamine’s ability to release not just intracellular stores of noradrenaline, but dopamine and 5-HT as well (Raiteri et al. 1975; Zettersrom et al. 1983; Heal et al. 1998b, see Table 1.2.) has prompted investigations into the exact mechanisms behind this phenomenon. These studies have tended to focus on the ability of $d$-amphetamine and its derivatives to release dopamine and 5-HT. Therefore, suggestions as to the mechanisms by which amphetamine induces noradrenaline release are largely based on evidence arising from such studies.
| NORADRENALINE | 5-HT | DOPAMINE |
|---------------|------|----------|
| 100 nM $d$-amphetamine | 57 | - | 56 |
| 1000 nM $d$-amphetamine | 135 | - | 122 |
| 10,000 nM $d$-amphetamine | 162 | 136 | 138 |
*Table 1.2: Effect of $d$-amphetamine on $[^3H]$noradrenaline, $[^3H]5$-HT and $[^3H]$dopamine release from rat brain slices in vitro.*
Numbers represent percentage release of $[^3H]$monoamine. - = non-significant. Data obtained from Heal et al. (1998a).
In their studies using $p$-chloroamphetamine (PCA), Rudnick and Wall (1992) showed that PCA induced 5-HT release from both human platelet plasma membrane and chromaffin granule membrane vesicles. In plasma membrane vesicles, PCA was found to compete with 5-HT as a substrate for translocation across the membrane. The efflux of $[^3H]5$-HT induced by PCA was dependent on the presence of external Na$^+$ and inhibited
by the 5-HT reuptake inhibitor, imipramine, which binds to the 5-HT transporter and prevents translocation. The authors concluded that as the proposed mechanism for exchange *via* the transporter requires cotransportation of Na$^+$ with the external substrate, the characteristics of PCA-induced 5-HT efflux could be mediated by 5-HT / PCA exchange.
In contrast, using a pH sensitive fluorescence marker, PCA was found to disrupt the pH gradient across chromaffin granule membranes, which drives 5-HT accumulation within the vesicles. This finding suggested that PCA, as a weak base, caused 5-HT efflux by binding intravesicular protons, thus increasing intracellular pH. If sufficient, the diminished availability of protons could weaken the ability of the proton gradient (generated by an ATPase) to maintain the intracellular accumulation of 5-HT against its concentration gradient: this would lead to the efflux of 5-HT.
Although the findings from studies such as the one of Rudnick and Wall cannot be assumed to generalise to each monoaminergic system, they do provide clues as to potential mechanisms involved in amphetamine’s effects on noradrenergic function. In fact, to generalise these mechanisms to other monoaminergic systems may not be unreasonable considering that both plasmalemmal and vesicular transporters appear to be involved in amphetamine’s releasing effects on all the monoamines (Rudnick and Wall 1992; Pifl *et al.* 1995; Pifl *et al.* 1999).
### 1.3.3. d-Fenfluramine
The introduction of a trifluoromethyl group into the phenyl ring of amphetamine (*e.g.* fenfluramine) separates the anorectic from the stimulatory effects of this drug (King and Ellinwood, 1992). As well as these behavioural differences, fenfluramine and amphetamine have markedly different pharmacological activities. Whereas amphetamine mediates its anorectic effects through actions on central dopaminergic and noradrenergic systems, the anorectic effect of fenfluramine is inhibited by 5-HT receptor antagonists. Furthermore, catecholaminergic depleting agents such as 6-hydroxydopamine, which reduce the anorectic effect of amphetamine, do not influence fenfluramine’s effects on feeding behaviour (reviewed by Sugrue, 1987).
Feeding studies show that the $d$-isomer of fenfluramine has a greater anorectic effect than the $l$-isomer in both laboratory animals and humans and this effect is blocked by 5-HT receptor antagonists in both animals and humans (reviewed by Silverstone, 1992). Consistent with these findings, $d$-fenfluramine is a potent releaser of $[^3\text{H}]5$-HT from rat brain slices, although it has only weak inhibitory effects on $[^3\text{H}]5$-HT uptake (Heal et al. 1998b). Furthermore, microdialysis studies in rats showed that $d$-fenfluramine releases 5-HT \textit{in vivo}, and that this effect is independent of serotonergic neuronal firing (Gundlah et al. 1997; see Chapter 3, section 3.1.).
Feeding studies in rats show that $d$-fenfluramine reduced food intake through the enhancement of satiety (Halford et al. 1995; see Chapter 3, section 3.1.). In addition, $d$-fenfluramine enhances diet-induced thermogenesis, although it has no effect on resting metabolic rate (Stallone and Levitsky, 1994). Although it has now been removed from the market as an anti-obesity agent, $d$-fenfluramine remains a useful pharmacological research tool, particularly for the purpose of comparing drugs that act on central serotonergic systems.
### 1.4. $\alpha_2$-Adrenoceptors
#### 1.4.1. $\alpha_2$-Adrenoceptor subtypes
Adrenoceptors are cell membrane receptors belonging to the seven transmembrane spanning G-protein-linked family of receptors. The existence of subtypes for $\alpha_2$-adrenoceptors was suggested in the mid 1980s by radioligand binding studies comparing the binding characteristics of various $\alpha_2$-adrenoceptor agonists and antagonists. Experiments showed that prazosin, originally thought to interact with $\alpha_1$-adrenoceptors only, caused a relatively potent inhibition ($K_i < 100$ nM) of $[^3\text{H}]$rauwolscine binding in neonatal rat lung and rat kidney tissue. However, in human platelets, prazosin was relatively insensitive ($K_i > 1000$ nM) at inhibiting $[^3\text{H}]$rauwolscine binding (Bylund, 1985; Petrash and Bylund, 1986). These two populations were
designated $\alpha_{2A}$ and $\alpha_{2B}$, with the human platelet serving as the prototype tissue for $\alpha_{2A}$-adrenoceptors and the rat neonatal lung serving as the prototype tissue for $\alpha_{2B}$-adrenoceptors (see Bylund, 1988).
A third $\alpha_2$-adrenoceptor subtype was identified in a cell line derived from opossum kidney and designated the $\alpha_{2C}$-adrenoceptor (see Bylund, 1988). The fourth $\alpha_2$-adrenoceptor subtype was first identified in the bovine pineal gland and rat submaxillary gland by Simonneaux et al. (1991). The $\alpha_2$-adrenoceptors in these tissues had a pharmacological profile distinct from the $\alpha_{2A}$- $\alpha_{2B}$- or $\alpha_{2C}$-adrenoceptor subtypes and was therefore designated the $\alpha_{2D}$-adrenoceptor. However, later evidence suggested this receptor subtype was a species analogue of the human $\alpha_{2A}$-adrenoceptor (Harrison et al. 1991).
Subtypes of $\alpha_2$-adrenoceptors have also been cloned and binding studies using recombinant receptors show that they correspond well with the tissue-defined subtypes: the three subtypes cloned from human sources have characteristics of the $\alpha_{2A}$- $\alpha_{2B}$- and $\alpha_{2C}$-adrenoceptor subtypes and those cloned from rat and mouse tissue have characteristics of the $\alpha_{2B}$- $\alpha_{2C}$- and $\alpha_{2D}$-adrenoceptor subtypes (see Hieble and Ruffolo, 1996).
Evidence from functional studies supports the $\alpha_2$-adrenoceptor subtype classification scheme. Bylund (1988) monitored $\alpha_2$-adrenoceptor-mediated inhibition of cAMP production (see below) in human adenocarcinoma (HT29 cells) and neuroblastoma glioma hybrid cells (NG-108 cells), which express $\alpha_{2A}$- and $\alpha_{2B}$-adrenoceptors, respectively. The study found a high correlation between the ability of various antagonists to inhibit the dose-response curve generated by the $\alpha_2$-adrenoceptor agonist, 5-bromo-6-(2-imidazoline-2yl)-aminol-quinoxaline (UK-14304) and their $K_i$ values in the same cell line; this correlation did not exist between cell lines. These findings provided evidence to support the functional existence of $\alpha_{2A}$- and $\alpha_{2B}$-adrenoceptors.
Trendelenburg et al. (1993) suggested that the presynaptic $\alpha_2$-adrenoceptors in rat cortex are $\alpha_{2D}$-adrenoceptors, based on the ability of a range of $\alpha_2$-adrenoceptor ligands
to modulate the release of preloaded $[^3\text{H}]$noradrenaline from cortical slices. Other studies employing a range of $\alpha_2$-adrenoceptor ligands suggest that central postsynaptic $\alpha_2$-adrenoceptors mediating mydriasis in rats are also $\alpha_{2D}$-adrenoceptors (Heal \textit{et al.} 1995b).
1.4.2. $\alpha_2$-Adrenoceptors and second messenger systems
$\alpha_2$-Adrenoceptors are negatively coupled to the enzyme adenylate cyclase \textit{via} a G$_i$ protein and this is thought to be the major cellular transduction process occurring after $\alpha_2$-adrenoceptor activation. In 1988, Hertting and Allgaier showed that the inhibitory effects of the $\alpha_2$-adrenoceptor agonist clonidine on $[^3\text{H}]$noradrenaline release from rabbit hippocampal slices is inhibited by treatment with islet-activating protein (IAP) or N-ethylmaleimide (NEM), which inactivate the regulatory G proteins G$_i$ and G$_o$. Treatment with IAP and NEM alone, increased $[^3\text{H}]$noradrenaline release. These findings suggested that $\alpha_2$-adrenoceptor-mediated signals are transduced across the plasma membrane \textit{via} regulatory G proteins.
In 1991, Osborne showed that clonidine and the $\alpha_2$-adrenoceptor agonist, UK-14,304 reduced the level of adenylate cyclase activity in rabbit retinal homogenates. In contrast, forskolin, which activates adenylate cyclase, increased the activity of this enzyme in rabbit retinal homogenates. The response to clonidine was blocked by pertussis toxin, which inhibits G$_i$-proteins exchanging bound GDP for GTP. The decrease in cAMP levels induced by clonidine or UK-14304 was inhibited by the $\alpha_2$-adrenoceptor antagonists yohimbine or phentolamine but not by the $\alpha_1$-adrenoceptor antagonist, prazosin. Serotonergic, cholinergic and $\beta$-adrenergic receptor antagonists were also without effect. These findings suggested that $\alpha_2$-adrenoceptors in the rabbit retina exert inhibitory effects on adenylate cyclase activity that are mediated by an inhibitory guanine nucleotide regulating protein. Whether the $\alpha_2$-adrenoceptor subtypes differ with respect to their interactions with G$_i$-proteins and the subsequent effects on adenylate cyclase is currently unknown.
1.4.3. $\alpha_2$-Adrenoceptors and the regulation of noradrenergic neuronal activity
Noradrenergic neuronal activity is subject to autoregulation by $\alpha_2$-adrenoceptors located on the cell bodies (somatodendritic $\alpha_2$-adrenoceptors), as well as the axon terminals (terminal $\alpha_2$-adrenoceptors). Studies demonstrated that clonidine, administered systemically or by direct (microiontophoretic) application, dose-dependently inhibited the spontaneous firing of noradrenergic neurones in the locus coeruleus of anaesthetised rats (Svensson et al. 1975; Cedarbaum and Aghajanian, 1976). In contrast, systemic administration of the $\alpha$-adrenoceptor antagonist, piperoxane, produced a dose-dependent increase in the spontaneous firing rate of locus coeruleus neurones and, furthermore, returned the firing rate of these neurones to pre-injection levels following clonidine administration (Cedarbaum and Aghajanian, 1976). Microiontophoretic administration of noradrenaline or adrenaline to locus coeruleus neurones also reduced the spontaneous firing rate of these cells (Cedarbaum and Aghajanian, 1976; 1977). These findings suggested that locus coeruleus neurones possess $\alpha$-adrenoceptors on, or in the vicinity, of their cell bodies and that these receptors regulate neuronal firing activity.
Both Svensson and Usdin (1978) and Scuvée-Moreau and Dresse (1979) monitored locus coeruleus neuronal activity in anaesthetised rats and showed that the noradrenaline reuptake inhibitor, desipramine (DMI) reduced the spontaneous firing rate of these neurones. Svensson and Usdin (1978) also showed that this effect was reversed by the $\alpha_2$-adrenoceptor antagonist, yohimbine, suggesting that the increase in extracellular noradrenaline concentration induced by DMI activated $\alpha_2$-adrenoceptors and reduced neuronal firing. More recently, Mateo et al. (1998) also showed that 1 mg / kg DMI decreased the firing rate of locus coeruleus neurones by approximately 73% in anaesthetised rats. This effect was completely reversed by systemic administration of the highly selective $\alpha_2$-adrenoceptor antagonist, 2-[2-(2-methoxy-1, 4-benzodioxanyl)] imidazoline hydrochloride (RX821002), confirming that the depression in firing activity caused by DMI in anaesthetised rats is mediated by $\alpha_2$-adrenoceptors.
$\alpha_2$-Adrenoceptors have also been implicated in the control of lateral tegmental
noradrenergic neuronal firing. Systemic administration of clonidine has been shown to cause a dose-dependent inhibition of the spontaneous firing rate of cells in the A1, A2 and A5 noradrenergic regions (Andrade and Aghajanian, 1982; Moore and Guyenet, 1983; Kaba et al. 1986). Microiontophoretic application of clonidine also inhibited cells in the A5 noradrenergic region, suggesting that $\alpha_2$-adrenoceptors located in the region of the cell bodies could mediate this inhibitory effect (Andrade and Aghajanian, 1982). In contrast, the $\alpha_2$-adrenoceptors mediating the inhibitory effects of clonidine on the firing rate of A1 noradrenergic neurones are not thought to be located in the region of the cell bodies (Kaba et al. 1986, see Chapter 4, section 4.4.2.).
It is noteworthy that the studies above investigating locus coeruleus and lateral tegmental noradrenergic neuronal firing have all been carried out in anaesthetised rats. An extensive literature search revealed that there have been no studies investigating $\alpha_2$-adrenoceptor-mediated control of noradrenergic neuronal firing in conscious, freely-moving rats. As anaesthesia can modify noradrenergic neuronal function (see Chapters 3 and 4) it cannot be assumed that the findings of the studies described above also apply to conscious rats.
Also during the 1970s, $\alpha_2$-adrenoceptors located on the terminals of noradrenergic neurones were proposed to modulate noradrenergic activity. Starke (1972) found that in isolated perfused rabbit heart, preloaded with $[^{14}\text{C}]$noradrenaline, infusion of unlabelled noradrenaline decreased the stimulation-induced overflow of $[^{14}\text{C}]$noradrenaline. This effect was diminished in the presence of the $\alpha$-adrenoceptor blocking agent, phenoxybenzamine, at doses that do not block noradrenaline reuptake. Vogel et al. (1972) measured $[^3\text{H}]$noradrenaline release from a culture of rat superior cervical ganglion that had formed axonal sprouts. Electrical- or K$^+$-induced stimulation of the cultured ganglia caused a Ca$^{2+}$-dependent increase in $[^3\text{H}]$noradrenaline efflux, which was enhanced by phenoxybenzamine. Since only presynaptic sites are present on the axonal sprouts, the site of action for the phenoxybenzamine-induced increase in release must be presynaptic. In isolated rabbit pulmonary arteries, preloaded with $[^3\text{H}]$noradrenaline, Starke et al. (1974) found that clonidine decreased the efflux of tritium evoked by electrical stimulation, suggesting that the receptors mediating this response were $\alpha_2$-adrenoceptors. Findings
such as these, and others, led to the proposal that:
‘presynaptic $\alpha_2$-adrenoceptors are involved in the regulation of noradrenaline release through a negative feed-back mechanism mediated by the neurotransmitter itself’ (Langer, 1977).
In 1977, Langer suggested that the mechanism by which $\alpha_2$-adrenoceptors decrease noradrenaline release involved a reduction in the availability of Ca$^{2+}$ for excitation-secretion coupling. Noradrenaline release induced by electrical stimulation or by K$^+$ is Ca$^{2+}$-dependent and noradrenaline released by either of these mechanisms is decreased by stimulation of $\alpha_2$-adrenoceptors. In contrast, noradrenaline release induced by the noradrenaline-depleting agent, tyramine, is not Ca$^{2+}$-dependent and presynaptic $\alpha_2$-adrenoceptors have no influence on the release of noradrenaline induced by this drug (reviewed by Langer, 1977). It is possible that the decrease in cAMP induced by $\alpha_2$-adrenoceptor activation inhibits the release of Ca$^{2+}$ from intracellular stores or inhibits the influx of Ca$^{2+}$ through Ca$^{2+}$ channels in the membrane. Either of these processes would reduce the amount of intracellular Ca$^{2+}$ available for excitation-secretion coupling. However, electrophysiological studies suggest that $\alpha_2$-adrenoceptor activation causes a membrane hyperpolarisation via an increase in K$^+$ conductance. North and Surprenant (1985) made intracellular recordings in guinea-pig submucous plexus neurones. Superfusion with noradrenaline or clonidine induced dose-dependent membrane hyperpolarisations, which were inhibited by $\alpha_2$-adrenoceptor antagonists. The hyperpolarisations induced by noradrenaline or clonidine were associated with an increased membrane conductance, which was abolished by low concentrations of the K$^+$ channel blockers Ba$^{2+}$ or quinine. Although the $\alpha_2$-adrenoceptors mediating this effect in guinea-pig submucous plexus neurones are postsynaptic, it is possible that activation of presynaptic $\alpha_2$-adrenoceptors also induce a hyperpolarisation though an increase K$^+$ conductance, which would make the neuronal terminal less excitable.
A number of studies carried out in vivo using various $\alpha_2$-adrenoceptor ligands support Langer’s proposal and show that inhibitory presynaptic $\alpha_2$-adrenoceptors also exist in the central nervous system. Using the technique of microdialysis, local administration of the $\alpha_2$-adrenoceptor agonists, clonidine or medetomidine at low doses
(0.5 µM) have been found to decrease the concentration of noradrenaline in dialysate samples from rat frontal cortex (Dalley and Stanford, 1995). Similarly, local administration of the α₂-adrenoceptor antagonists, yohimbine, idazoxan, or atipamezole, have been found to increase the concentration of noradrenaline in dialysate samples from rat cortex or hypothalamus (Dennis et al. 1987; Itoh et al. 1990; Laitinen et al. 1995; Dalley and Stanford, 1995; see Chapter 5, section 5.1.).
1.5. The obese Zucker rat
The obese Zucker rat (also called the Zucker-fatty rat) was first described by Zucker and Zucker in 1961. This rat occurred as a spontaneous mutant in a cross between the Merck Stock M and Sherman rats and appeared to be due to a single recessive gene (Zucker and Zucker, 1961). The obese condition of rats that are homozygous for this trait can be detected by body weight and appearance from as early as three weeks of age, whereas the body weight and appearance of heterozygotes and ‘normal’ homozygotes do not differ (Zucker and Zucker, 1961).
1.5.1. Prominent abnormalities in the obese Zucker rat
Obese Zucker rats have a mutation in the gene encoding the leptin receptor and this results in their insensitivity to this hormone (Takaya et al. 1996). Physiological abnormalities in the obese Zucker rats include hyperphagia, hyperlipidemia, and hyperinsulinemia (reviewed by Argilés, 1989). Although hyperphagia is a prominent characteristic of these rats, pair-feeding obese rats with lean rats does not inhibit the development of the obesity, suggesting this is not the only factor contributing to this condition (reviewed by Argilés, 1989). Consistent with this suggestion, brown adipose tissue (BAT) thermogenesis appears to be impaired in obese Zucker rats. Triandafillou and Himms-Hagen, (1983), investigated the activation of BAT thermogenesis by cold-exposure in lean and obese rats by measuring the binding of guanosine diphosphate (GDP) to BAT mitochondria (an index of the thermogenic proton conductance pathway). The authors report that the activation of BAT thermogenesis by cold-exposure (4 °C), as
indicated by an acute increase in GDP binding by BAT mitochondria, occurred normally in obese rats. However, the binding of GDP by mitochondria from obese rats maintained at 28 °C was lower than that of mitochondria from lean rats. The authors suggest that this low thermogenic state of BAT in obese rats maintained at 28 °C reflects a failure of the BAT to respond, not to cold-exposure, but to diet. A second experiment compared GDP binding in mitochondria from lean and obese rats fed a chow or cafeteria diet. The findings of this experiment showed an increase in GDP binding by mitochondria from lean rats on a cafeteria diet relative to lean rats fed chow. In contrast, GDP binding by mitochondria from chow-fed obese rats was not affected by cafeteria feeding. These findings indicate diet-induced thermogenesis is impaired in obese Zucker rats.
Consistent findings were found by York et al. (1985). These authors studied tissue noradrenaline turnover rates in both BAT and cardiac tissue of lean and obese rats maintained at 25-27 °C. In these experiments BAT noradrenaline turnover was undetectable in obese rats, whereas a half-life of 4 h was apparent in lean rats. In contrast, cardiac noradrenaline content, half-life and turnover rate were similar between lean and obese rats. These findings suggest mechanisms involved in BAT thermogenesis are impaired in the obese Zucker rat. However, in lean rats maintained at 4 °C, BAT noradrenaline half-life was reduced, whereas the noradrenaline content of the tissue and the turnover rate were increased. Similarly, a rapid turnover of noradrenaline was evident in obese rats maintained at 4 °C. Therefore, it is possible that an abnormality exists specifically in the mechanisms inducing diet-induced thermogenesis in obese rats.
1.5.2. Abnormalities in central noradrenergic function in the obese Zucker rat
Following the implication of noradrenergic transmission in the hypothalamus in the control of food intake, a number of studies focussed on whether changes in this catecholamine could account for the hyperphagia of obese Zucker rats. Cruce et al. (1976) measured the concentration of noradrenaline in various regions of hypothalamic tissue from 4-month-old female lean and obese Zucker rats. Noradrenaline concentration was reduced in the paraventricular nucleus of obese rats compared with non-obese, non-littermate controls, although not compared with non-obese, littermate controls. Further studies revealed a reduced noradrenaline concentration specifically in the
paraventricular nucleus of 2-month-old male obese Zucker rats compared with non-obese controls (Cruce et al. 1977).
Levin and Sullivan (1979) measured noradrenaline and dopamine concentrations in tissue from various brain regions in 7-month-old male and female Zucker rats using a radioenzymatic assay. These authors reported a reduction in the concentration of noradrenaline (to 51% of lean), as well as adrenaline (to 47% of lean), in the paraventricular nucleus tissue of obese female rats. Furthermore, a reduction in noradrenaline and adrenaline concentrations (to 47% and 42% of lean, respectively), as well as dopamine concentration (to 48% of lean), were found in the dorsomedial hypothalamic nucleus of obese female rats. In contrast, the noradrenaline concentration in the median forebrain bundle was increased in obese female rats to 201% of the female lean controls. The only differences found in obese male rats were a reduction in the dopamine concentration of the dorsomedial hypothalamic nucleus and medulla, to 60% and 43% of lean controls, respectively. However, although not significant, there was a trend for the noradrenaline concentration in the paraventricular nucleus of obese rats to be reduced.
Conflicting evidence is reported by Orosco et al. (1980). These authors measured the concentration of noradrenaline in whole hypothalami using a flurometric assay and found the concentration of noradrenaline to be greater in obese female Zucker rats compared with lean controls. Kuolu et al. (1990) measured central catecholamine concentrations in male Zucker rats aged 12-16 weeks using high-performance-liquid-chromatography. These authors reported no differences in noradrenaline or dopamine concentrations from different hypothalamic nuclei, including the paraventricular and ventromedial nuclei, between lean and obese rats.
The inconsistent findings above make it unclear whether noradrenergic activity in the hypothalamus of Zucker rats is reduced, increased or unchanged in the obese state. Some of the discrepancies could be due to different assay methods used to measure noradrenaline concentrations *in vitro*. However, studies carried out *in vivo* lend support to the hypothesis that noradrenergic activity is impaired in the hypothalamus of obese Zucker rats. Using *in vivo* microdialysis studies, Pacak et al. (1995) showed that 12-week-old male lean and obese Zucker rats have similar baseline extracellular noradrenaline
concentrations in the region of the paraventricular nucleus. However, the increase in extracellular noradrenaline concentration induced by immobilisation stress was reduced in obese rats to 60% of the lean response. These findings are in keeping with the reduced concentration of noradrenaline in the paraventricular nucleus of 2-month-old male obese Zucker rats (Cruce et al. 1977). However, the possibility that obese rats find immobilisation, induced by taping each limb to a metal frame with adhesive tape, less stressful than their lean counterparts cannot be ruled out.
1.6. Objectives
This study has compared the effects of sibutramine with those of the noradrenaline-releasing agent, $d$-amphetamine, on extracellular noradrenaline concentration in the frontal cortex of anaesthetised rats using *in vivo* microdialysis (Chapter 3). Firstly, a dose-response curve for sibutramine on extracellular noradrenaline concentration was established and compared with the dose-response curve for $d$-amphetamine. Following this experiments investigated whether sibutramine increases extracellular noradrenaline accumulation by inhibiting the reuptake of impulse-mediated noradrenaline release. This involved the blockade of presynaptic $\alpha_2$-adrenoceptors, which regulate impulse-mediated noradrenaline release, and investigating whether this affected the accumulation of extracellular noradrenaline induced by sibutramine. Again, the effects of sibutramine on extracellular noradrenaline concentration were compared with $d$-amphetamine.
Since anaesthesia has been found to affect central noradrenergic activity, the effects of sibutramine on extracellular noradrenaline accumulation were also investigated, and compared with the effects of $d$-amphetamine, in conscious, freely-moving rats (Chapter 4). Furthermore, considering the hypothalamus has an important role in regulating food intake and thermogenesis, Chapter 4 also investigated the effects of sibutramine and $d$-amphetamine on extracellular noradrenaline concentration in this brain region of conscious, freely-moving rats. Considering the hypothalamus is innervated by noradrenergic neurones from the lateral tegmental system as well as the locus coeruleus system, the effects of sibutramine in the hypothalamus were compared with its effects in
the frontal cortex.
As evidence suggests that there is a greater density of terminal $\alpha_2$-adrenoceptors in the hypothalamus compared with the cortex, Chapter 5 investigated whether this has functional consequences for the increase in extracellular noradrenaline concentration induced by sibutramine in these two brain areas. The effects of $\alpha_2$-adrenoceptor blockade on the increase in extracellular noradrenaline concentration induced by sibutramine were investigated in 2 ways. Firstly, by investigating the effects of sibutramine in rats that were pretreated systemically with an $\alpha_2$-adrenoceptor antagonist. Secondly, to investigate $\alpha_2$-adrenoceptors specifically in the terminal fields, the effects of sibutramine on extracellular noradrenaline accumulation were monitored during infusion of an $\alpha_2$-adrenoceptor antagonist into either the frontal cortex or hypothalamus.
The obese Zucker rat is a model of human juvenile-onset obesity and abnormalities in noradrenergic function in the hypothalamus of this rat have been observed. The findings that differences in presynaptic $\alpha_2$-adrenoceptor function can influence the control of noradrenergic activity led to the comparison of the density and function of $\alpha_2$-adrenoceptors in lean and obese Zucker rats in Chapter 6. The density of $\alpha_2$-adrenoceptors was investigated using radioligand binding studies. The function of presynaptic, as well as postsynaptic, $\alpha_2$-adrenoceptors was investigated using clonidine-induced hypoactivity and mydriasis, respectively.
Further essential background relating to this study is described in the relevant chapters.
Chapter 2
Methods
2.1 Introduction
The growing need to understand neurotransmitter systems in the CNS and their involvement in specific physiological, behavioural and pharmacological events has given rise to a number of techniques that enable measurement of neurotransmitter release *in vivo*. The development of these techniques over the past four decades, along with the concurrent improvement in assay methods, has culminated in two basic approaches for the measurement of neurotransmitter release used in the present day. These approaches are *in vivo* voltammetry and *in vivo* microdialysis and are discussed in relation to the measurement of monoamines in section 2.1.1.
A second approach to understanding neurotransmitter systems is to study the receptors to which the transmitter binds and induces a physiological response. Radioligand binding is a quantitative and qualitative technique developed to identify populations of receptors and their density in a given brain region. This technique exploits the recent development of a range of highly selective ligands for a variety of receptor subtypes. Consequently, radioligand binding has become a powerful tool for studying the pharmacology of subpopulations of receptors in the brain. The technique of radioligand binding as a tool for measuring $\alpha_2$-adrenoceptors is discussed in section 2.1.2.
Another approach to investigating the pharmacology of $\alpha_2$-adrenoceptors is to study the receptor function. Behavioural models of $\alpha_2$-adrenoceptor function have been developed in rodents, making it possible to study the function of these receptors *in vivo*. A
further benefit to the pharmacologist is that these behavioural models allow the exclusive study of either pre- or post-synaptic $\alpha_2$-adrenoceptor function. These behavioural models of $\alpha_2$-adrenoceptor function are described in section 2.1.3.
### 2.1.1. Measurement of monoamine release *in vivo*
One approach to monitoring central monoamine release *in vivo* is to collect samples of cerebrospinal fluid. Substances dissolved in the cerebrospinal fluid can be separated out and quantified using various assay techniques. Monoamines can be separated out using high pressure liquid chromatography (HPLC). Following their separation, monoamines can be oxidised and quantified using electrochemical detection (ECD).
One of the first techniques developed for the collection of cerebrospinal fluid was the cortical cup (MacIntosh and Oborin, 1953). This technique involves removal of part of the skull and the placement of cylinder onto the cortical surface. The cup, formed by the cylinder in tight contact with the cortical surface, is filled with collecting fluid (typically Ringer’s solution) into which cerebrospinal fluid from the cortex passes. The fluid in the cup is then collected and analysed for the substance of interest. Although very little tissue damage is encountered with the implantation of the cortical cup, the main limitation of this technique is that sampling is only possible form the surface of the cortex.
Further developments led to the push-pull cannula. This technique, proposed by Gaddum (1961), consisted of two concentric tubes: an inlet to drip perfusion fluid into a chosen brain region and an outlet to withdraw samples from the surrounding extracellular fluid (ECF). The advantage over the cortical cup technique is that sampling is possible from distinct brain regions. Indeed, this technique has been used to measure catecholamines in areas such as the hypothalamus (van der Gugten and Slanger, 1977) and nucleus accumbens (Bartholini, *et al.* 1976) of conscious, freely-moving rats.
One major drawback of the push-pull cannula technique is the extensive tissue damage resulting from the perfusion of relatively large volumes of fluid (typically 150 $\mu l$/min) directly into the tissue. More recent developments have led to 2 further
techniques for monitoring monoamine release *in vivo*, which cause less tissue damage than the push-pull cannula method. These are *in vivo* voltammetry and *in vivo* microdialysis.
Monoamines are readily oxidised. The technique of *in vivo* voltammetry harnesses this oxidation reaction by carrying it out at the surface of a carbon working-electrode implanted into a discrete brain region or slice (reviewed by Stamford, 1989). Electroactive species are oxidised at the electrode surface and the ensuing release of electrons is then measured in the form of current. The amount of current is directly proportional to the number of molecules oxidised, thus giving an indirect measure of changes in the concentration of monoamine in the extracellular fluid directly surrounding the electrode surface.
The success of *in vivo* voltammetry is largely due to the small size of the carbon-fibre electrodes (diameter: 8-12 µm), which minimises tissue damage. The degree of resolution between oxidised compounds depends on how the voltage is applied. Slow voltage scans, such as differential pulse voltammetry or linear sweep voltammetry, give high resolution whereas fast cyclic voltammetry or differential pulse amperometry have limited resolution, but can make up to 40 measurements per second. Differential pulse amperometry has been successfully used for the measurement of noradrenaline release in the thalamic nucleus of rats (*e.g.* Brun *et al.* 1993). However, the *in situ* measurement of neurotransmitters, without their prior separation, can create problems with the identification of peaks from compounds that oxidise at similar potentials. In addition, some drugs can oxidise at the same potential as the neurotransmitter of interest and contribute to the signal following injection into the animal, resulting in misleading data.
*In vivo* microdialysis involves the implantation of a fine dialysis fibre (typically 0.3 - 0.5 mm outer diameter with a molecular weight cut off point of 20 kD) into a selected brain area. Compounds in the extracellular fluid with a lower molecular weight than the cut off weight of the dialysis fibre diffuse down their concentration gradient into the perfusion fluid flowing through the dialysis fibre. The perfusate is collected at regular intervals and analysed for the substance of interest. The predominant improvement of this approach over the push-pull cannula technique is that the dialysis fibre creates a closed
system in which there is no direct contact between the tissue and the perfusion fluid. As well as reducing tissue damage, the dialysis fibre also prevents larger molecules passing into the perfusion fluid leading to cleaner samples for chemical analysis.
One of the earliest accounts of the use of *in vivo* microdialysis to measure neurotransmitter release was in 1966 by Bito *et al.* Small sacks of dialysis membrane, containing a sterile solution of 6% dextran, were chronically implanted into the brains of dogs in order to collect amino acids. The bags were removed 10 weeks later and the perfusate analysed. The technique has since undergone several technical improvements. One particularly beneficial improvement was the development of a system enabling the repeated collection of dialysis samples (Delgado *et al.* 1972). These authors created a dialytrode consisting of a push-pull cannula closed at the tip by a piece of dialysis membrane that could be implanted into any brain area.
Present day microdialysis probes exist in three basic forms. U-shaped probes were developed in the early 1980s and typically had an outer diameter of 600-800 µm. Two cannulae were joined by a piece of dialysis fibre bent into a tight loop (Zetterstom *et al.* 1982). Alternatively, cannulae can be arranged concentrically, with a thin inner cannula carrying fluid to the bottom of the dialysis probe where it leaves and passes back up the probe and is carried out by a lateral tube (outer diameter 520 µm, Tossman and Ungerstedt, 1986). Sandberg *et al.* (1986) created a probe with a side-by-side arrangement of two glass capillaries, serving as the inlet and outlet. The glass capillaries were inserted into a piece of dialysis fibre (outer diameter 300 µm) of which the other end was sealed off with epoxy glue. As well as producing a much narrower probe to the loop design, this arrangement also reduces the dead-space between the area of tissue being dialysed and the perfusion fluid compared with the concentric probes.
For this study, the technique of *in vivo* microdialysis was chosen to monitor extracellular noradrenaline concentration. A particularly useful advantage of this technique over *in vivo* voltammetry is that the microdialysis probe provides a simple way to locally apply drugs to the region of tissue being dialysed. The design of microdialysis probe used throughout the experiments is a modified version of the side-by-side arrangement described by Sandberg *et al.* (1986) (see section 188.8.131.52.).
184.108.40.206. Principle of microdialysis
The technique of microdialysis measures *changes* in the concentration of a given substance in the extracellular fluid directly surrounding the dialysis probe. The size of the dialysis probe does not allow sampling of extracellular fluid directly from a synapse. However, substances released from a neurone into the synapse overflow into the extracellular space and changes in their concentration in the extracellular space are thought to reflect changes in their concentration in the synapse. Support for this hypothesis comes from various experiments involving the manipulation of electrolytes in the perfusion fluid and monitoring subsequent changes in neurotransmitter concentrations (see section 220.127.116.11.).
The dialysis membrane is permeable to water and small solutes and is continually flushed on one side with a perfusion fluid devoid of the substances of interest. The other side of the membrane faces the extracellular space. The constant flow of perfusion fluid through the dialysis fibre maintains the concentration gradient causing the diffusion of substances from the extracellular space into the dialysis probe. The concentration of neurotransmitter in the dialysate reflects the concentration in the extracellular fluid. The constant flow of perfusion fluid through the dialysis fibre prevents the equilibration of substances across the membrane. Consequently, the concentration of substances in the dialysate will be lower than in the extracellular fluid. In an attempt to correct for this, the recovery of microdialysis probes can be assessed *in vitro*. The basic protocol to determine probe recovery is the same for all neurotransmitters. The protocol used to determine the recovery of noradrenaline from the probes used throughout this study was as follows:
1) A microdialysis probe is supported in a vial containing aCSF and is perfused for 30 min with aCSF at the flow rate used in experiments (1 µl / min).
2) The probe is then transferred to vial containing a solution of 5 nM noradrenaline made up in aCSF and is perfused with aCSF for 30 min.
3) A dialysate sample is then collected from the probe over a 20 min period (sampling interval used during experiments).
4) Following collection, the concentration of noradrenaline in the dialysate sample, as well the concentration in the aCSF, is analysed using HPLC-ECD.
5) Probe recovery (%) is calculated as:
\[
\frac{\text{Concentration of noradrenaline in the dialysate sample}}{\text{Concentration of noradrenaline in aCSF}} \times 100
\]
Using the protocol above, the recoveries of probes used in the experiments performed in this study were calculated to be ~10 %. However, it cannot be assumed that the recovery of a probe *in vitro* is the same as its recovery when implanted into a given brain region. For this reason, the concentrations of noradrenaline in dialysate samples collected during the experiments have not been corrected for probe recovery. In this study, the amount of noradrenaline in dialysate samples is expressed as the concentration of noradrenaline per unit time (*e.g.* fmol / 20 min).
### 18.104.22.168. Perfusion fluids
The exact composition of extracellular and cerebrospinal fluid is not known, which makes it impossible to create artificial replicas. There are a variety of perfusion fluids that are used for microdialysis that vary in both electrolyte composition and pH. These range from simple salt solutions containing only sodium, potassium and calcium chlorides (Shimokawa *et al.* 1998; Gundlah *et al.* 1997; Itoh *et al.* 1990), to buffered aCSFs containing magnesium chloride and glucose (Routledge and Marsden, 1987; Done and Sharp, 1994). There is no overriding evidence to suggest that one particular perfusion fluid is preferable to another for the measurement of noradrenaline. In this study, aCSF comprising (mM) NaCl 140, KCl 3, CaCl$_2$ 1.2, MgCl$_2$ 1.0, Na$_2$HPO$_4$ 1.2, NaH$_2$PO$_4$ 0.27, glucose 7.2, pH 6.8) was used in all microdialysis experiments except those involving a high K$^+$ or Ca$^{2+}$-free perfusion fluid. In these experiments a modified Ringer’s solution was used (see section 22.214.171.124. below).
The concentration of Ca$^{2+}$ in the perfusion fluid is particularly important because it can influence basal and drug-evoked changes in extracellular neurotransmitter
concentration. The concentration of Ca$^{2+}$ in the extracellular fluid has been estimated to be 1.2 mM (Benveniste et al. 1989; Moghaddum and Bunney, 1989). Removal of Ca$^{2+}$ from the perfusion fluid results in Ca$^{2+}$ being drained from the extracellular space around the probe (Benveniste et al. 1989). This depletion of Ca$^{2+}$ causes dialysate concentrations of various transmitters to decrease (Imperato and Di Chiara, 1984; Westerink and De Vries, 1988; van Veldhuizen et al. 1990). Likewise, increasing the Ca$^{2+}$ concentration beyond 1.2 mM in the perfusion fluid causes basal neurotransmitter concentrations to increase (van Veldhuizen et al. 1990; Moghaddum and Bunney, 1989). The concentration of Ca$^{2+}$ added to perfusion fluids varies between groups (Shimokawa et al. 1998: 2.3 mM; Gundlah et al. 1997: 1.8 mM; Done and Sharp, 1994; 1.2 mM). Based on the estimations that the extracellular concentration of free Ca$^{2+}$ is 1.2 mM, this concentration of Ca$^{2+}$ was used in the aCSF throughout this study.
### 2.1.2 Radioligand binding as a tool for quantifying $\alpha_2$-adrenoceptor density
The most straightforward approach to identifying receptor sites is to measure the binding of a radioactive neurotransmitter or ligand to a membrane preparation containing the receptor of interest. One of the first accounts of a radioligand binding study was reported by Paton and Rang, who investigated $[^{3}H]$atropine binding to muscarinic receptors in slices of guinea-pig ileum (Paton and Rang, 1965). Since very small quantities of radiolabelled drugs can be readily and accurately measured, this approach is now widely used for receptor binding studies.
An important consideration in radioligand binding studies is the extent to which the measured binding of a radioligand represents association with the receptor of interest (termed ‘specific binding’). Even with radioligands that are highly selective for a particular receptor, there will be some ‘non-specific binding’. Non-specific binding could be attributable to the radioligand binding to other receptors, non-receptor tissue components or to non-biological substances used in the experimental procedures.
Non-specific binding has to be accounted for in a radioligand binding experiment in order to derive as an accurate estimate as possible of the specific binding. It is possible
to account for non-specific binding by measuring the amount of binding occurring in the presence an excess concentration of an unlabelled ligand with selectivity for the receptor of interest. The specific binding is then calculated as the difference between the total binding and the binding occurring in the presence of the unlabelled ligand.
As well as being selective, it is also desirable for the radioligand to have a high affinity for the receptor of interest. This allows the binding to be studied at low concentration, which will reduce the non-specific binding. It is also advantageous for the radioligand to have a high specific activity so that very small quantities of bound radioligand can measured accurately. The specific activity of a radioligand is a measure of its radioactivity and is expressed as becquerels or curies per mol of ligand. The more rapidly an isotope decays (i.e. the shorter the half-life) the more disintegrations occur per unit time, resulting in a higher specific activity.
The pharmacology and distribution of $\alpha_2$-adrenoceptors has been extensively studied with a variety of radiolabelled $\alpha_2$-adrenoceptor agonists and antagonists (e.g. $[^3\text{H}]$clonidine, Wikberg et al. 1987; $[^3\text{H}]p$-aminoclonidine, Jhanwar-Uniyal et al. 1991; $[^{125}\text{I}]p$-iodoclonidine, Pesonen et al. 1992; $[^3\text{H}]$idazoxan Heal et al. 1993; $[^3\text{H}]$RX821002, Langin et al. 1990). An important consideration when choosing a radiolabelled ligand for a binding experiment is whether the ligand is an agonist or antagonist. Agonists and antagonists are thought to bind to different receptor conformational states, therefore giving different measures of the receptor population. In G-protein-linked receptors, such as the $\alpha$- and $\beta$-adrenoceptors, agonists bind to the high affinity conformational state. However, at a high enough concentration, antagonists also bind to the low affinity conformational state of G-protein linked receptors. Therefore, in saturation binding studies, a radiolabelled antagonist gives a better estimate of the total receptor population than a radiolabelled agonist.
Radioligand binding studies were used to compare the total number of $\alpha_2$-adrenoceptor binding sites in the frontal cortex and hypothalamus of lean and obese Zucker rats. For this reason a tritiated form of the highly selective $\alpha_2$-adrenoceptor antagonist 2-[2-(2-methoxy-1,4-benzodioxanyl)]imidazoline hydrochloride (RX821002)
(Langin et al. 1990) was used. Non-specific binding was determined by adding an excess concentration of the nonselective $\alpha$-adrenoceptor antagonist, phentolamine. Although phentolamine binds to both $\alpha_1$- and $\alpha_2$-adrenoceptors, $[^3\text{H}]$RX821002 has a selectivity ratio for $\alpha_2$-adrenoceptors over $\alpha_1$-adrenoceptors of 316 (Stilings et al. 1985). The vast majority of $[^3\text{H}]$RX821002-binding is attributed, therefore, to the binding of $\alpha_2$-adrenoceptors.
Types of radioligand binding experiments include saturation experiments, inhibition experiments, association kinetic experiments and dissociation kinetic experiments. Each experiment leads to a different type of information. Saturation experiments determine the affinity of a given ligand for a receptor as well as the number of binding sites. Inhibition experiments calculate an inhibition constant for a given inhibitor to displace a radioligand-receptor complex. The inhibition constant is the same as the affinity of the inhibitor for the receptor. Association and dissociation kinetic experiments determine the association and dissociation rate constants for the receptor-ligand complex. In this study, radioligand binding studies were used to estimate and compare the density of RX821002-binding sites ($B_{\text{max}}$) in the frontal cortex and hypothalamus of the Zucker rat brain. For this reason, saturation experiments were performed.
Saturation experiments involve incubating a range of concentrations of the radioligand with a fixed concentration of tissue and measuring the amount of ligand bound. The affinity (usually expressed as the dissociation constant, $K_d$) and $B_{\text{max}}$ are determined by plotting the ratio of bound to free radioligand versus the bound radioligand (Rosenthal plot). The $K_d$ is the negative reciprocal of the slope and the $B_{\text{max}}$ is the intercept of the line with the x-axis. In this study, the $K_d$ and $B_{\text{max}}$ were determined by non-linear regression analysis fitted to a one-site binding model using the LIGAND computer programm (Munson and Rodbard, 1980)
2.1.3 Behavioural models of monoaminergic receptor function
Behavioural models of receptor function are an important tool for investigating functional changes in receptors following drug treatment as well as providing a means for studying interactions between different neurotransmitter systems *in vivo*. Numerous behavioural models have been developed to study the various receptors of the serotonergic system. For example, activation of 5-HT\(_{1A}\) receptors with 8-hydroxy-2-(di-*n*-propylamino)tetralin (8-OH-DPAT) induces hypothermia and the serotonin behavioural syndrome (including forepaw treading, head-weaving and flat body posture) in rats through an action on presynaptic and postsynaptic 5-HT\(_{1A}\) receptors, respectively (Goodwin *et al.* 1987). Activation of 5-HT\(_{2A}\) receptors induces head twitches in rats (Schreiber *et al.* 1995) whereas activation of 5-HT\(_{2C}\) receptors induces hypophagia (Fone *et al.* 1998)). These approaches have been used to investigate the pharmacology of drugs such as antidepressants (*e.g.* Maj and Moryl, 1992).
With the exception of \(\alpha_2\)-adrenoceptors, behavioural models of central \(\alpha\)- and \(\beta\)-adrenoceptor functions are not as robust as those 5-HT receptor functions. One particular difficulty with the development of behavioural models for \(\alpha_1\)-adrenoceptor function is that the selective agonist, phenylephrine does not cross the blood-brain barrier. A particular advantage of most behavioural studies is that they do not involve any anaesthesia or surgery. This advantage is lost in studies where drugs, such as phenylephrine, have to be injected centrally. The development of behavioural models to investigate the \(\beta\)-adrenoceptor function is limited because few behavioural changes occur following \(\beta\)-adrenoceptor stimulation. Nevertheless, various \(\beta\)-adrenoceptor agonists, such as isoprenaline and salbutamol, have been found to induce a sedative effect and marked drinking response in rodents. However, these \(\beta\)-adrenoceptor agonist-mediated responses are affected by \(\alpha_2\)-adrenoceptor agents. For example, the drinking response induced by isoprenaline is decreased by the \(\alpha_2\)-adrenoceptor agonist, clonidine, and enhanced by the \(\alpha_2\)-adrenoceptor antagonist, yohimbine. Furthermore, yohimbine inhibits the sedative response induced by \(\beta\)-adrenoceptor agonists. This complicates the use of these responses as selective models of \(\beta\)-adrenoceptor function (reviewed by Heal, 1990).
In contrast to $\alpha_1$-adrenoceptors and $\beta$-adrenoceptors, behavioural models of $\alpha_2$-adrenoceptor functions have been well characterised. Two very prominent effects following administration of the $\alpha_2$-adrenoceptor agonist, clonidine, are sedation and mydriasis and these responses have formed the basis of two robust models used as functional indices of $\alpha_2$-adrenoceptors (clonidine-induced hypoactivity and mydriasis, respectively). These two models are described, in turn, below.
### 126.96.36.199. Clonidine-induced hypoactivity
The sedative effect of clonidine can be assessed in rats either by measuring the inhibition of exploratory behaviour (*e.g.* by measuring the number of lines crossed on the floor of an arena) or by visually assessing the extent of the hypoactivity syndrome. Drew *et al.* described the hypoactivity syndrome in 1979 and devised up to 8 components by which it could be measured. These components were passivity, tactile responsiveness, posture, gait, visual attention, righting reflex, body sag and ptosis. Changes in these components are scored following drug treatment and summed to give a measure of the extent of hypoactivity. A later study suggested that measurement of the hypoactivity syndrome is a more specific measure of $\alpha_2$-adrenoceptor function than the measurement of exploratory behaviour. By scoring the first five components of the hypoactivity syndrome described above, this study showed that non-noradrenergic agents, such as sodium pentobarbitone and diazepam, which induce sedation, do not induce changes in the hypoactivity syndrome (Heal *et al.* 1981).
Drew *et al.* (1979) reported that both systemically administered and intracerebroventricular injection of clonidine induced hypoactivity in rats in a dose-dependent manner. In contrast, intracerebroventricular injection of the $\alpha_1$-adrenoceptor agonist, phenylephrine, did not induce hypoactivity. The hypoactivity induced by systemic administration of clonidine was inhibited by intracerebroventricular injection of the $\alpha_2$-adrenoceptor antagonist, yohimbine, but was not inhibited by the $\alpha_1$-adrenoceptor antagonist, prazosin. This strongly suggested that the hypoactivity induced by clonidine is mediated by central $\alpha_2$-adrenoceptors. Nevertheless, the precise location of the receptors within the CNS has never been determined. Tsoucaris-Kupfer and Schmitt (1972) reported that clonidine administered directly into the rostral hypothalamus of rats
induces sedation. However, whether this treatment also induces the hypoactivity syndrome has not been investigated.
Early findings reported that the presynaptic population of $\alpha_2$-adrenoceptors represented only a small proportion of $\alpha_2$-adrenoceptors in the brain (U'Prichard et al. 1980; Dooley et al. 1983) and this promoted the idea that post-synaptic $\alpha_2$-adrenoceptors mediated clonidine-induced hypoactivity. This theory has since been challenged. Studies have found that the enhancement of noradrenergic activity with amphetamine or desipramine reverses the suppression of clonidine-induced exploratory behaviour (Strömbom and Svensson, 1980). This suggests that clonidine-induced sedation arises from the reduction of noradrenaline release as a result of $\alpha_2$-adrenoceptor activation. Further support for this theory comes from reports that desipramine injection and intracerebroventricular administration of methamphetamine both reverse clonidine-induced hypoactivity (Heal et al. 1983; Heal, 1989b). Although methamphetamine also has some dopaminomimetic actions, this is not thought to be important for the reversal of clonidine-induced hypoactivity because the effect cannot be mimicked by the dopamine receptor agonist, apomorphine (Heal et al. 1987).
Although the evidence above supports a strong case for the presynaptic location of $\alpha_2$-adrenoceptors mediating clonidine-induced hypoactivity, studies in rats involving the lesioning of noradrenergic neurones do not support the theory. The lesioning of noradrenergic neurones with the neurotoxins 6-hydroxydopamine (6-OH-DA) or N-(2-chloroethyl)-N-ethyl-2-bromobenzylamine (DSP-4) have no effect on the suppression of locomotor activity induced by clonidine (Spyraki and Fibiger, 1982; Nassif et al. 1983). Nevertheless, Nassif et al (1983) injected 6-OH-DA into the locus coeruleus only. This produced a 93% and 85% depletion of noradrenaline content in the frontal cortex and hippocampus, respectively. These regions are innervated exclusively by locus coeruleus neurones. However, it is unlikely that the noradrenaline content of regions innervated by noradrenergic neurones of both the locus coeruleus and lateral tegmental system (e.g. the hypothalamus) would have been affected to the same extent. Indeed, noradrenaline content in the brainstem was depleted by only 33% following 6-OH-DA lesion. Although Spyraki and Fibiger (1982) used a systemic injection of DSP-4, the
noradrenergic neurones of the lateral tegmental system are more resistant to the toxic effects of DSP-4 than are neurones of the locus coeruleus (Fritschy et al. 1990, see Chapter 4, section 4.1). This is reflected in their study, which found that the noradrenaline contents of the cortex and hippocampus were reduced by 70-85% compared with controls, whereas the noradrenaline content of the hypothalamus was reduced by only 26%. Therefore, these studies cannot rule out the possibility that presynaptic $\alpha_2$-adrenoceptors on noradrenergic neurones of the lateral tegmental system are responsible for clonidine-induced hypoactivity.
However, a later study in mice, using a higher dose of DSP-4 (100 mg / kg) to that used by Spyraki and Fibiger (1982) found that clonidine-induced hypoactivity is markedly attenuated in lesioned mice compared to saline-treated controls (~50% attenuation, Heal et al. 1989b). In this study the whole brain noradrenaline content was depleted by 75% in DSP-4 lesioned animals. This discrepancy could be due to the different methods used to rate the sedation induced by clonidine. Spyraki and Fibiger (1982) rated locomotor activity following clonidine administration, whereas Heal et al. (1989b) scored the hypoactivity syndrome: the latter approach is a more sensitive measure of $\alpha_2$-adrenoceptor function.
Considering all the available evidence for the location of $\alpha_2$-adrenoceptors mediating clonidine-induced hypoactivity (reviewed by Heal, 1990), there is a strong consensus that these receptors are located presynaptically within the CNS.
### 188.8.131.52 Clonidine-induced mydriasis
Systemic administration of clonidine induces mydriasis in a dose-dependent manner in several species including cats, rats and mice and can be monitored by the simple measurement of pupil diameter (Koss, 1986; Heal et al., 1989a; 1989b; 1995a). This effect of clonidine in cats, rats and mice is inhibited by systemic administration of the $\alpha_2$-adrenoceptor antagonists, yohimbine, idazoxan or the highly selective antagonist, RX821002, but is not affected by the $\alpha_1$-adrenoceptor antagonist, prazosin or the $\beta$-adrenoceptor antagonist, pindolol (Koss et al. 1986; Heal et al. 1989a; 1995a; 1995b). Furthermore, clonidine-induced mydriasis in mice is not affected by the systemic
administration of 5-HT or dopamine antagonists (Heal et al. 1989a). These findings strongly suggest that mydriasis is mediated through $\alpha_2$-adrenoceptors.
It has been proposed that clonidine-induced mydriasis is mediated through a reduction of parasympathetic tone to the iris (Gherezghiher and Koss, 1979). The iris receives parasympathetic tone from preganglionic cell bodies that are thought to originate from the Edinger-Westphal and anteromedian nuclei of the oculomotor complex (Sillito and Zbrożyna, 1970). Stimulation of the afferent sciatic nerve induces pupil dilation in rats by CNS parasympathoinhibition. Hey et al. (1985) showed that pupil dilation evoked by afferent sciatic nerve stimulation in rats is abolished by systemic administration of yohimbine or by treatment with reserpine in combination with $\alpha$-methyl-para-tyrosine, which reduced the concentration of noradrenaline in the brain by $> 95\%$. These findings suggest that an ascending noradrenergic pathway could have an inhibitory influence over parasympathetic neurones projecting to the iris. This suggestion is consistent with the proposal that clonidine-induced pupillary dilation is a consequence of a reduction in parasympathetic tone.
Studies involving the removal of CNS parasympathetic tone to the iris, either by using pithed rats or by electrolytic lesions in the CNS efferent parasympathetic pathway, prevent clonidine-induced mydriasis (reviewed by Koss, 1986). These findings suggest that clonidine acts centrally to decrease parasympathetic tone to the iris. Further evidence supporting this proposal comes from experiments showing that clonidine administered by intracerebroventricular injection induces a marked mydriasis in mice at a dose that is ineffective when administered peripherally (Heal et al. 1989a). The noradrenaline releasing agent, methamphetamine, also induces mydriasis in a dose-dependent manner in rats and mice when administered systemically or by intracerebroventricular injection (Heal et al. 1989a; 1989b; 1995a). Both clonidine and methamphetamine-induced mydriasis are inhibited by the intracerebroventricular administration of idazoxan or yohimbine. In contrast, intracerebroventricular administration of the $\alpha_1$-adrenoceptor antagonist, prazosin or $\beta$-adrenoceptor antagonist, pindolol, has no effect on clonidine- or methamphetamine-induced mydriasis (Heal et al. 1989a; 1989b).
It is thought that the $\alpha_2$-adrenoceptors mediating clonidine-induced mydriasis are located on the Edinger-Westphal nucleus since injection of clonidine into this region produces mydriasis in the cat (Sharpe and Pickworth, 1981). Strong evidence suggests that the $\alpha_2$-adrenoceptors mediating clonidine-induced mydriasis are located postsynaptically. Pretreatment of cats or rats with $\alpha$-methyl-$p$-tyrosine and reserpine, which results in an almost total depletion of noradrenaline within the brain, has no effect on clonidine-induced mydriasis (reviewed by Koss, 1986). Pretreatment of rats or mice with the noradrenergic neurotoxin, DSP-4 also has no effect on clonidine-induced mydriasis, but potently inhibits the mydriasis induced by methamphetamine (72-100% inhibition, Heal et al. 1989b; 1995a). This strongly suggests that clonidine acts on postsynaptic $\alpha_2$-adrenoceptors to induce mydriasis, whereas methamphetamine acts indirectly on these receptors by increasing extracellular noradrenaline concentration.
Furthermore, the extent of methamphetamine-induced mydriasis in mice is additive in combination with clonidine (Heal et al. 1989b). Since clonidine decreases extracellular noradrenaline concentration whereas methamphetamine increases it (Glowinski and Axelrod, 1965; Raiteri et al. 1975), the additive effect of the two drugs on mydriasis strongly suggest that the $\alpha_2$-adrenoceptors mediating this response are located postsynaptically.
### 2.2 Techniques
#### 2.2.1. In vivo microdialysis
##### 184.108.40.206. Construction of microdialysis probes
Microdialysis probes were designed as a modification of the single-cannula probe described by Sandberg et al. (1986). Figure 2.1. shows a schematic representation of the basic steps involved in constructing the probes. A detailed description of probe construction is described below.
1) Two 3 cm lengths of silica glass tubing (i.d. 75 µm, o.d. 150 µm, Scientific Glass Engineering) were inserted into a 1.5 cm long steel cannula.
2) The coating of the glass was then burnt off to reduce the outer diameter and the two pieces of glass glued together at the base of the cannula with a 4 mm stagger. The shorter piece of glass protruded 2 and 5 mm from the cannula for probes intended for experiments in the frontal cortex and hypothalamus, respectively.
3) A piece of semipermeable membrane (i.d. 240 µm, o.d. 300 µm, molecular cut-off 20 kD, Filtral 12, AN69, Hospal Industrie, France) was then placed over the two pieces of glass protruding from the base of the cannula and secured to the cannula with fast setting epoxy glue (Araldite).
4) The membrane was then cut so that it protruded 2 mm over the end of the longer piece of glass and then the end was sealed with epoxy glue. The resulting dialysis zone of probes intended for the frontal cortex was 5 mm. The upper part of the membrane of probes intended for the hypothalamus was covered with epoxy glue so that the resulting dialysis zone was 1.5 mm.
5) The two lengths of tubing protruding from the upper part of the cannula were inserted individually into two 4 cm lengths of polythene tubing (i.d. 0.28 mm, o.d. 0.61 mm, Portex). The polythene was then secured to the cannula using epoxy glue. The tubing placed over the shorter piece of glass and the longer piece of glass was designated as the inlet and outlet, respectively.
6) Probes were made in batches of 10 and stored in an airtight container.
Figure 2.1: *Step-by-step construction of a microdialysis probe for the frontal cortex or hypothalamus*
Figure presents an overview of the basic steps involved in microdialysis probe construction. A detailed description of probe construction is given in the text (section 220.127.116.11.). F.Ctx = Frontal cortex. HYP = Hypothalamus. Drawings are not to scale.
18.104.22.168. Surgical implantation of microdialysis probes
22.214.171.124.1. Animals
Male outbred Sprague-Dawley rats (250-320 g) were obtained from the colony at University College London. They were housed in groups of four at 21°C and 55% humidity with a light-dark cycle of 12 h (lights on at 08.00 h). Animals had free access to food and tap water at all times. Drug-naïve animals were used in each experiment and all procedures complied with the U.K. Scientific Procedures (Animals) Act, 1986.
126.96.36.199.2. Non-recovery rats ('anaesthetised' rats)
Anaesthesia of rats was induced by inhalation of 5% halothane in combination with 95% O₂ / 5% CO₂ delivered through an induction chamber at 2000 ml / min. Following the loss of the righting reflex, the anaesthetic was delivered via a face mask placed over the animal’s nose (2.5% halothane in combination with 95% O₂ / 5% CO₂ at 1000 ml / min). Following the loss of the pedal reflex, an incision was made and the trachea exposed. A polythene cannula (2 cm; i.d. 1.67 mm, o.d. 2.42 mm, Portex) was inserted through a small hole made in the trachea and sewn into place with cotton. A Y-piece was then attached to the cannula to enable the direct delivery of the anaesthetic into the trachea (1.5% halothane in 95% O₂ / 5% CO₂ at 500ml / min) and the removal of expired gases.
Following tracheotomy, the rat was placed in a stereotaxic frame in the flat skull position (incisor bar set at 3.3 mm below the interaural line) and a rectal probe inserted to maintain a core body temperature of 37 °C using a homeothermic heating pad. The surface of the skull was exposed to reveal bregma and a small hole (diameter ~2 mm) drilled through the skull (frontal cortex: AP +3.5 mm, ML ±1.5 mm relative to bregma, according to the atlas of Paxinos and Watson, 1986) using a trepanning drill burr. The dura was then broken with a needle and a microdialysis probe, primed with aCSF, was slowly lowered vertically into the brain (frontal cortex: DV -5mm relative to dura, according to the atlas of Paxinos and Watson, 1986). After completion of the implantation, the probe was connected with a piece of portex tubing (i.d. 0.58 mm, o.d. 0.96 mm) to a gas-tight syringe (Hamilton), containing aCSF, fitted to a perfusion pump. The probe was perfused with aCSF at a rate of 1μl / min for the duration of the experiment.
188.8.131.52.3. Recovery rats ('freely-moving' rats)
Anaesthesia of rats was induced by inhalation of 5% halothane in combination with 95% O₂ / 5% CO₂ delivered through an induction chamber at 2000 ml / min. Following the loss of the righting reflex, rats were transferred to a stereotaxic frame and the anaesthetic was delivered via a face mask (1.5-2% halothane in combination with 95% O₂ / 5% CO₂ at 1000 ml / min). The head was held in the flat skull position (incisor bar set at 3.3 mm below the interaural line) using blunted, non-rupture ear bars. Core body temperature was maintained at 37°C using a homeothermic heating pad and rectal probe.
A small incision was made and the surface of the skull was exposed to reveal bregma. A small hole was made through the skull (frontal cortex: AP +3.5 mm, ML ± 1.5 mm; hypothalamus: AP -1.8 mm, ML ± 0.4 mm relative to bregma, according to the atlas of Paxinos and Watson, 1986) using a trepanning drill burr. Two small screws were then screwed into the skull surface on either side of the implantation site. These were used to anchor the probe to the skull with dental cement following implantation. The dura was broken using a needle and a microdialysis probe primed with aCSF slowly lowered vertically into the brain (frontal cortex: DV -5 mm; hypothalamus; DV -9.2 mm relative to dura, according to the atlas of Paxinos and Watson, 1986). A small circle of bone wax was placed around the probe at the surface of the brain to prevent the dental cement entering the brain. The probe was then secured to the skull surface using dental cement. When the cement had dried the inlet and outlet of the probe were sealed with bone wax to prevent blockage prior to the experiment.
When the implantation was complete, rats were transferred to an incubation chamber for recovery from the anaesthesia (~45 min). Rats were then placed individually in plastic cages overnight for the experiment the next day.
184.108.40.206. Verification of probe placement
The position of the microdialysis probe in the brain was verified histologically. At the end of experiments brains were removed and stored in 10% formaldehyde and left for one week. Brains were then sectioned on a freezing microtome and the position of the microdialysis probe in a coronal slice compared to the atlas of Paxinos and Watson 1986).
Figure 2.2: Position of the microdialysis probe in the frontal cortex and hypothalamus.
Diagrammatic representations of coronal sections of rat brain 3.5 mm (A, frontal cortex) and -1.8 mm (B, hypothalamus) from bregma. The position of the microdialysis probe is illustrated. The unfilled portion of the probe represents the dialysing zone. LH, lateral hypothalamus; PVN, paraventricular nucleus; V3 third ventricle. Figures adapted from Swanson (1998/1999).
Figures 2.2a and 2.2b show diagrammatic representations of the position of the microdialysis probe in the frontal cortex and the region of the paraventricular nucleus of the hypothalamus, respectively. Figure 2.3 shows a photograph of a brain slice taken from a halothane-anaesthetised rat with a microdialysis probe implanted into the hypothalamus. The probe was perfused with Evans Blue dye for 160 min to indicate the area of dialysis.
Figure 2.3: Photograph of a brain slice from a rat with a microdialysis probe implanted into the hypothalamus and perfused with Evans Blue dye.
Area of blue indicates the dialysing zone of the microdialysis probe.
220.127.116.11. Microdialysis procedure
18.104.22.168.1. Collection of dialysates (anaesthetised rats)
Collection of dialysate started approximately 2 h after probe implantation. Thereafter, samples were collected directly from the probe outlet into polyethylene tubes at 20 min intervals. The polyethylene tubes contained 5 µl perchloric acid (0.01 M) to prevent the spontaneous oxidation of noradrenaline before analysis. Samples taken over the first 2 h were used to estimate resting extracellular noradrenaline concentration. These are referred to as ‘basal’ samples. When the dialysate noradrenaline concentration in four consecutive samples was stable, a test drug was administered.
Following collection, samples were immediately stored on ice and their noradrenaline content analysed by HPLC-ECD on the same day as collection. On the rare occasion when analysis of samples was not possible on the same day, samples were stored at −70°C until the following day.
22.214.171.124.2. Collection of dialysates (freely-moving rats)
On the day after probe implantation rats were kept in their individual cages and moved into the experimental laboratory. Their probes were connected with a piece of portex tubing (i.d. 0.58 mm, o.d. 0.96 mm) to a gas-tight syringe (Hamilton), containing aCSF, fitted to a perfusion pump. The probe was perfused with aCSF at a rate of 1 µl / min for the duration of the experiment. The outlet of the probe was attached to a 20 cm length of fine bore tubing (1.2 µl / 100 mm; Biotech Instruments Ltd) which was extended over the side of the cage to allow collection of dialysates with minimum disturbance to the rat. In experiments involving the administration of $d$-amphetamine, the inlet and outlet tubing was guided through a liquid swivel held in a clamp over the top of the cage. Liquid swivels allow the rat to move freely around their cage without twisting the inlet and outlet tubing. This is obviously desirable with rats experiencing a large dose of $d$-amphetamine. However, as rats often spent long periods of time resting during the experiments, liquid swivels were only used in experiments involving $d$-amphetamine.
Samples were collected at 20 min intervals into polyethylene tubes containing 5 µl perchloric acid (0.01 M) to prevent the spontaneous oxidation of noradrenaline before analysis. Samples from the first 1-2 h were used to estimate resting extracellular
noradrenaline concentration ('basal' samples). When the dialysate noradrenaline concentration in four consecutive samples was stable, a test drug was administered. Samples were stored immediately on ice and their noradrenaline content was analysed using HPLC-ECD on the same day as collection. If samples were unable to be analysed on the same day as collection, they were stored at $-70^\circ$C.
126.96.36.199.3. Drugs and drug administration procedures
The following drugs were used: atipamezole hydrochloride (Farmos), $d$-amphetamine sulphate (Sigma, UK), sibutramine hydrochloride (Knoll Pharmaceuticals Research, U.K.), 2-[2-(2-methoxy-1, 4-benzodioxanyl)jimidazoline hydrochloride (RX821002; Research Biochemicals Incorporated). Halothane was obtained from Zeneca.
For i.p. administration, drugs were dissolved in 0.9% saline and administered in a volume of 2 ml / kg. For local infusion of drugs via the dialysis probe ('reverse dialysis'), drugs were freshly dissolved in aCSF and administered using gas-tight syringes. Inlet tubing was primed with aCSF containing the test drug before its infusion at 1 $\mu$l / min. All constituents of the aCSF were Analar grade obtained from BDH.
188.8.131.52. Measurement of dialysate noradrenaline concentration
184.108.40.206.1. High performance liquid chromatography coupled to electrochemical detection (HPLC-ECD)
The noradrenaline content of the dialysate samples was analysed using reverse-phase high pressure liquid chromatography coupled to an electrochemical detector. The mobile phase was delivered at constant rate of 1.3 ml / min using a Varian 2010 HPLC pump and passed through a pre-injection guard cell set at +350 mV. This was used to oxidise (or reduce) electroactive substances in the mobile phase. Solutes were separated at room temperature on a Hypersil ODS 5 $\mu$m column (250 x 4.6 mm) which was protected by an Aquapore guard column (30mm x 4.6mm; Applied Biosystems). Samples were injected onto the column via an injection port (Rheodyne 7125) fitted with a 50 $\mu$l stainless steel loop (Anachem). Following separation, noradrenaline was detected using a high performance analytical cell (model 5014A; ESA) controlled by a Coulochem detector (ESA, model 5100A). Potentials were set in REDOX mode (detector 1: -180 mV: detector 2: +180mV). Electrical current was recorded and relayed as a chromatogram
through a Spectra-Physics Chromjet integrator. Dialysate noradrenaline concentration was identified by its retention time and quantified using peak height compared with an external standard.
220.127.116.11.2. The mobile phase
The mobile phase used during HPLC comprised (mM): sodium dihydrogen orthophosphate 83, octane sulphonic acid 2 (Sigma), EDTA 0.85, methanol 12% and was adjusted to pH 4 with orthophosphoric acid. This was filtered and degassed using FTK membrane filters (removal rating 0.1 μm, Pall Proceses Filtration). Mobile phase was recycled and renewed approximately every 2-3 weeks.
18.104.22.168.3. Reagents
Unless stated otherwise, all reagents of the mobile phase were either AnalaR grade obtained from BDH. The noradrenaline used to make external standards was obtained from Sigma and was the bitartrate salt.
22.214.171.124. Statistical analysis
Changes in the noradrenaline content of dialysis samples after drug treatment were tested for statistical significance using the ANOVA repeated measures facility on SPSS PC. Analysis was carried out on orthonormalised raw data with ‘time’ as the ‘within-subjects’ factor. To compare the effects of different drug treatments, ‘drug treatment’ was included as the ‘between-subjects’ factor. The criterion for statistical significance was set at $P < 0.05$. See individual result chapters for further details on statistical analysis used in each study. For characterisation of dialysate noradrenaline content below (section 126.96.36.199.) data were separated into bins of a number of consecutive samples where ‘bin 1’ comprised basal samples. A split-plot ANOVA was the carried out with ‘time’ and ‘bin’ as ‘within-subjects’ factors.
188.8.131.52. Characterisation of dialysate noradrenaline content
The technique of microdialysis often assumes that, under drug-free conditions, the neurotransmitter content of the dialysate is directly related to neuronal activity. However, when carrying out microdialysis experiments, it is important to validate this assumption. In other words, it is important to establish that the neurotransmitter concentration in the
dialysate decreases when neuronal activity is inhibited. Likewise, it should be established that the neurotransmitter concentration increases if neurones are depolarised. Reverse-microdialysis creates several simple ways of doing this by manipulating the electrolyte make-up of the perfusion fluid. For example, it is possible to depolarise neurones by adding a high concentration of K$^+$ to the perfusion fluid (Cosford et al. 1994; Dalley and Stanford et al. 1995) or, similarly, it is possible to decrease exocytotic neurotransmitter release by removing Ca$^{2+}$ (van Veldhuizen et al. 1990; Dalley and Stanford, 1995).
In this study, the response of dialysate noradrenaline concentration to the electrolyte manipulations described above was tested in the frontal cortex of anaesthetised rats using a modified Ringer’s solution (mM: NaCl 145, KCl, 4, CaCl$_2$ 1.3, pH 6.6). Firstly, a depolarising pulse of K$^+$ (80 mM) was added to the Ringer’s solution for 40 min (Ringer’s solution: (mM) NaCl 71, KCl 80, CaCl$_2$ 1.3, pH 6.6, the concentration of NaCl was reduced to maintain the tonicity). Infusion of 80 mM K$^+$ caused an $\sim$2.5-fold increase in dialysate noradrenaline concentration (20 min following start of perfusion: $F = 10.89$; d.f. 5, 25; $P < 0.01$) (Figure 2.4). When the perfusion medium was returned to the original Ringer’s solution containing 4mM K$^+$, dialysate noradrenaline concentration returned to baseline concentration (basals vs time points 7, 8 and 9: $F = 0.02$; d.f. 1,8; $P = 0.90$). The removal of Ca$^{2+}$ from the Ringer’s solution for 60 min (mM: NaCl 145, KCl 4, pH 6.6) decreased dialysate noradrenaline concentration to approximately 50% of the mean basal concentration (basals vs time points 9, 10, 11 and 12: $F = 9.23$; d.f. 1,10; $P = 0.01$) (Figure 2.4). Dialysate noradrenaline concentration returned to baseline concentration when the original Ringer’s solution containing 1.3 mM CaCl$_2$ was restored (basals vs time points 14 and 15: $F = 0.454$; d.f. 1,9; $P < 0.52$).
Figure 2.4. Effect of 1) a depolarising pulse of $K^+$ and 2) $Ca^{2+}$ removal on dialysate noradrenaline concentration.
Figure shows an increase in dialysate noradrenaline concentration in the frontal cortex of anaesthetised rats during a 40 min pulse of 80 mM K$^+$ (1). Ca$^{2+}$ removal from the perfusion fluid for 60 min caused a decrease in dialysate noradrenaline concentration (2). Points represent mean ± s.e. mean dialysate noradrenaline concentration ($n = 6$).
### 2.2.2 Radioligand binding
#### 184.108.40.206. Animals
Male obese Zucker rats (188-231 g, Charles River, France) and their lean male littermates (170-185 g) aged 8 weeks old were used. Subjects were housed two per cage on a 12 h light / dark cycle (lights on 06.00 h) at 21°C and 55 % humidity. The rats were allowed free access to food and tap water at all times. Drug-naïve animals were used in each experiment and all procedures complied with the U.K. Scientific Procedures (Animals) Act, 1986.
220.127.116.11. Sample preparation
Rats were killed between 14.00-16.00 h by stunning and cervical dislocation and the brains rapidly removed. Frontal cortices and hypothalami were dissected and immediately frozen on dry ice. Samples were stored at -20°C until assayed.
18.104.22.168. $[^{3}H]RX821002$ binding assay
The following method has been adapted from that of Heal *et al.* (1995b).
22.214.171.124.1. Tissue preparation.
Brain tissue was thawed and homogenized in ice-cold 0.25M sucrose (1:30 w / v) and centrifuged at 1000 × g for 12 min. The supernatant was removed and stored on ice and the pellet resuspended in 0.25M sucrose (1:15 w / v) and centrifuged at 850 × g for 12 min. Combined supernatants were made up to 1:80 w / v with 5 mM Tris-HCl (pH 7.5, containing 5 mM EDTA) and centrifuged at 39000 × g for 10 min. The resulting pellet was homogenized in 50 mM Tris-HCl buffer (pH 7.5, containing 0.5 mM EDTA and 0.1% L-ascorbic acid) (1:80 w / v) and centrifuged at 39000 × g for 10 min. The final pellet was homogenized in 50 mM Tris-HCl (pH 7.5 containing 0.5 mM EDTA and 0.1% L-ascorbic acid) (equivalent to 3.125 mg / ml) and used immediately in assays. All centrifugations were carried out between 2-7 °C.
126.96.36.199.2. Binding assay.
Saturation studies were carried out at 8 concentrations of $[^{3}H]RX821002$ (0.036 - 3.6 nM). One frontal cortex or one hypothalmus was used per saturation experiment. All samples were prepared in duplicate and each sample contained 50 µl $[^{3}H]RX821002$ and 50 µl of 50 mM Tris-HCl buffer (pH 7.5, containing 0.5 mM EDTA and 0.1% L-ascorbic acid) (total binding) or 5 µl phentolamine (non-specific binding). Binding was initiated by the addition of 400 µl aliquots of freshly prepared membranes, following which samples were incubated for 75 min at 0°C. Remaining membrane preparations from each frontal cortex and hypothalamus was stored at -80°C for subsequent protein analysis (see section 188.8.131.52.).
Following the incubation period, membrane-bound radioactivity was recovered by rapid filtration through Skatron 11734 filter mats using a Skatron cell harvester (suction
setting 9, 9, 0) with ice-cold 50 mM Tris-HCl buffer, pH 7.5. 1 ml Ultima Gold MV scintillant (Packard) was added to each filter mat and membrane-bound radioactivity was determined by liquid scintillation counting using a Packard emulsifier scintillator 299. Background radioactivity was automatically subtracted and disintegrations per minute (d.p.m.) were calculated from counts per minute (c.p.m) at a counting efficiency of approximately 45%.
184.108.40.206. Drugs and reagents
\[^{[3}H]RX821002\] hydrochloride \([^{[3}H]2\cdot[2-(2\text{-methoxy-1,4-benzodioxanyl})]\) imidazoline hydrochloride) (49 Ci / mmol) was obtained from Amersham International UK. Phentolamine mesylate was obtained from Research Biochemicals. All other reagents were obtained from BDH or Sigma.
220.127.116.11. Protein determination
The protein content of each frontal cortex and hypothalamus used was determined using the method of Lowry et al. (1951). A standard curve using bovine serum albumin was generated at 5 unit intervals from 0-50 µg protein / 100 µl. Bovine serum albumin was made up using the incubation buffer from the binding assay. A 100 µl aliquot of each standard (in duplicate) was added into assay tubes. Remaining membrane preparations from each frontal cortex and hypothalamus were thawed and a 100 µl aliquot of each sample (in duplicate) was added into assay tubes. Each tube was diluted with 1 ml 1 M NaOH and left at room temperature for 40 min. Following this, 1 ml of freshly prepared copper solution (1 ml 0.5% copper sulphate and 1% sodium citrate mixed with 50 ml 2% sodium carbonate) was added to each tube and left at room temperature for 15 min. Each tube then received 100 µl Folin-Ciocalteau phenol reagent (diluted 1 : 1 with distilled water). The contents of each individual tube were then well mixed and left at room temperature for 40 min. The ensuing colour density of the tubes was then read by a colorimeter at 750 nm using the standard with 0 µg protein as a reagent blank.
The protein content of each sample was used to convert \(B_{\text{max}}\) values from pmol / l to fmol / mg protein. This was done by converting the \(B_{\text{max}}\) from pmol / l to fmol / assay tube and dividing this by the protein content in 0.4 ml of tissue to give fmol / µg protein.
This figure was then multiplied by 1000 to give fmol / mg protein.
18.104.22.168. Statistical analysis
Data were analysed by Richard Brammer (Knoll Pharmaceuticals Statistics Department) using a two-way ANOVA with group (lean or obese) and assay date as factors. The criterion for statistical significance was set at $P < 0.05$.
2.2.3 Hypoactivity and mydriasis measurements
22.214.171.124. Animals
Male obese Zucker rats (148-191 g, Charles River, France) and their lean littermates (135-146 g) aged 7 weeks at the start of the study were used. They were housed in groups of 2 on a 12 h light / dark cycle (commencing 06.00 h) at a temperature of 21°C and 55% humidity. Rats were allowed free access to food and tap water.
126.96.36.199. Experimental design
The effects of a range of doses of clonidine (0.001 - 0.3 mg / kg i.p.) on mydriasis and hypoactivity over a period of 20 min and 1 h, respectively were investigated. These test periods have shown to be appropriate for monitoring mydriasis and hypoactivity in rats (Heal et al. 1981; 1995a). Each rat was used to test 3 doses of clonidine, with each test separated by a one-week drug washout period.
Rats were moved to the laboratory in their home cages 30 min before the start of the tests. Eight rats were tested per session and were numbered 1-8 on their tails with a permanent marker pen. Tests began at time 0 with the measurement of pupil diameter in rat number 1, followed by the administration of a randomly assigned dose of clonidine or saline. Rats 2-8 followed the same procedure at 1 min intervals. After treatment, rats were returned to their home cages. At 10 min, pupil diameter measurements were taken in each rat again at 1 min intervals, starting with rat number 1. Immediately after pupil diameter measurement, each rat was placed in an arena (length 1 m; width 0.6 m; height 0.28 m) and scored for hypoactivity. After scoring (see section 188.8.131.52.2. below) rats were again returned to their home cages. The same procedure was carried out at 20 min. Following
this, rats were individually scored for hypoactivity at 1 min intervals at 30, 40, 50 and 60 min post-treatment.
184.108.40.206. Drugs and drug administration procedures
Clonidine HCl was obtained from Sigma. Drugs were dissolved in 0.9% (w/v) sodium chloride solution (saline) and injected intraperitoneally in a volume of 2 ml / kg body weight. Control rats received saline (2 ml / kg body weight).
220.127.116.11. Test procedures
18.104.22.168.1. Pupil diameter measurement
The pupil diameter of the right eye was measured using a Wild M1 binocular microscope containing a graticule scale in one eyepiece and illuminated by a Swift light box (light intensity 2500 lux). The rat was carefully held underneath the microscope and its pupil diameter was read off the graticule scale in eyepiece units. This reading was then converted to millimetres.
22.214.171.124.2. Assessment of clonidine-induced hypoactivity
Clonidine-induced hypoactivity was measured using four behavioural parameters, using the protocol of Heal *et al* (1981). The behavioural parameters scored were as follows:
1) *Passivity*. Rats were picked up in progressively more stressful ways; from vertically by a fold of skin at the nape of the neck through to lifting the rat by a single hindlimb.
2) *Tactile responsiveness*. Rats were tested for their escape reflex. This involved gently squeezing the rat’s body between a thumb and forefinger and assessing the speed with which the rat escaped.
3) *Posture*. Clonidine causes a progressive lowering of the tail and abdomen and this was assessed.
4) *Gait*. Rats were rated for their change from normal locomotion to a pronounced rolling gait.
Each behavioural parameter was rated on a scale of 0 – 3 points, where 0 = absent, 1 = slight, 2 = moderate and 3 = severe, using the score chart shown in Figure 2.5. Scoring of tactile responsiveness, posture and gait started 10 min following treatment, whereas scoring of passivity started 20 min following treatment. A passivity score was not taken at 10 min because pilot studies found the response to this test to be marred by defensive behaviour in some rats, as a result of the prior injection. The scoring was carried out by an observer who was unaware of the treatment administered to each rat.
126.96.36.199.3. *Statistical analysis*
Data were analysed using the ANOVA facility on SPSS PC*. Analysis was carried out using ‘dose’ as the ‘within-subjects’ factor. To compare the effects of lean animals to obese animal, ‘group’ was included as the ‘between-subjects’ factor. The criterion for statistical significance was set at $P < 0.05$. (See Chapter 6, section 6.2.2. for further details).
| TEST | 0 | 1 | 2 | 3 |
|----------------------|-------------------------------------------------------------------|-------------------------------------------------------------------|-------------------------------------------------------------------|-------------------------------------------------------------------|
| **PASSIVITY** | Rat can be held by fold at nape of neck. | Can be inverted onto back. | Can be held by hind left limb. | Can be held by fore left limb. |
| **TACTILE RESPONSIVENESS** | Rat walks away when squeezed by a thumb and finger. | Slowed walk. | No walk. | Rat will not move when tester brushes fur the wrong way. |
| **POSTURE** | Rat exhibits normal posture with tail, hindquarters and abdomen raised off bench surface. | Tail touches bench. | Hindquarters and tail touch bench. | Abdomen, hindquarters and tail touch bench. |
| **GAIT** | Rat shows fast, agile smooth gait. | The gait slows. | The gait slows and has rolling character. | Rat does not move. |
Figure 2.5. *The hypoactivity score sheet used to rate the level of hypoactivity in rats following clonidine administration.*
Chapter 3
Comparison of the effects of sibutramine and $d$-amphetamine on extracellular noradrenaline concentration in the frontal cortex of anaesthetised rats.
3.1 Introduction
In vivo microdialysis experiments in rats show that acute administration of sibutramine produces a moderate, gradual and sustained increase in extracellular 5-HT in the hypothalamus (Gundlah et al. 1997, Heal et al. 1998b). The accumulation of extracellular 5-HT induced by sibutramine or the selective serotonin reuptake inhibitors (SSRIs), paroxetine or fluoxetine, is decreased by co-administration of the 5-HT$_{1A}$ autoreceptor agonist, 8-hydroxy-2-(di-$n$-propylamino) tetralin, (8-OH-DPAT) (Gundlah et al. 1997). 5-HT$_{1A}$ autoreceptors are located on the cell bodies of serotonergic neurones and their activation decreases serotonergic neuronal firing (Hajós et al. 1995). These findings suggest that sibutramine, paroxetine and fluoxetine increase the concentration of extracellular 5-HT by inhibiting its reuptake following impulse-mediated release.
The findings above are consistent with those of Gartside et al. (1995). Using in vivo microdialysis studies, these authors found that systemic administration of a low dose of the SSRI, paroxetine, did not affect extracellular 5-HT concentration in rat frontal cortex but, instead, completely suppressed the firing rate of dorsal raphé neurones. However, in rats pretreated systemically with the 5-HT$_{1A}$ autoreceptor antagonist,
WAY 100635, the same dose of paroxetine induced an increase in extracellular 5-HT concentration in the frontal cortex that was approximately 200% above baseline values. Furthermore, extracellular electrophysiological recordings showed that the inhibition of firing activity in dorsal raphé neurones induced by paroxetine, was reversed by the co-administration of WAY 100635. Similar findings are reported by Romero *et al.* (1996) who report that systemic administration of the selective 5-HT\textsubscript{1A} antagonist, WAY 100635, augmented the increase in extracellular 5-HT concentration in the frontal cortex of rats pretreated systemically with the SSRIs, citalopram, fluoxetine or fluvoxamine. Together, these findings suggest that, because the increase in extracellular 5-HT induced by 5-HT reuptake inhibitors is derived from impulse-dependent release, the magnitude of effect of these drugs is limited by the subsequent activation of 5-HT\textsubscript{1A} autoreceptors.
The progressive effect of sibutramine on extracellular 5-HT accumulation in the hypothalamus contrasts with the greater, more rapid and comparatively short-lasting increase in extracellular 5-HT evoked by 5-HT-releasing agents such as fenfluramine, $d$-fenfluramine and $d$-amphetamine (Gundlah *et al.* 1997, Heal *et al.* 1998b). Administration of 8-OH-DPAT in combination with fenfluramine had no effect on the increase in extracellular 5-HT concentration induced by fenfluramine alone (Gundlah *et al.* 1997). Similarly, $d$-amphetamine induces a rapid increase in extracellular noradrenaline concentration in the rat hippocampus (Florin *et al.* 1994). Administration of the $\alpha_2$-adrenoceptor agonist, clonidine, which decreases locus coeruleus neuronal firing (see Chapter 1, section 1.4.3.) had no effect on the $d$-amphetamine-induced increase in extracellular noradrenaline (Florin *et al.* 1994). These findings lend support to the view that releasing agents induce a rapid increase extracellular transmitter concentration *via* an impulse-independent mechanism.
Previous microdialysis experiments in this laboratory have demonstrated that $d$-amphetamine also induces a rapid increase in extracellular noradrenaline concentration in the frontal cortex of anaesthetised rats (experiments performed by Z.A. Hughes). The magnitude of the increase in extracellular noradrenaline paralleled dose, with a peak effect occurring between 40-60 min post-injection. The rapid increase in extracellular noradrenaline is comparable with the rapid increases in extracellular dopamine and 5-HT
induced by this drug (Zetterström et al. 1983; Heal et al. 1998b), supporting the view that $d$-amphetamine is a monoamine-releasing agent.
Studies indicate that, in contrast to $d$-fenfluramine and $d$-amphetamine, neither sibutramine nor its active metabolites appear to have noradrenaline or 5-HT releasing properties \textit{in vitro} (Heal et al. 1998a, see also Chapter 1, section 1.3.1.). Although sibutramine and its metabolites have been characterised as noradrenaline reuptake inhibitors, there have been no previous studies to investigate sibutramine’s effects on central extracellular noradrenaline concentration \textit{in vivo}. Such an investigation is of interest because experiments \textit{in vivo} have indicated that sibutramine exerts its anti-obesity effects through actions on both noradrenergic and serotonergic systems (see Chapter 1, section 1.3.1.).
Like sibutramine, the anti-obesity effects of $d$-amphetamine have been attributed, in part, to its activity on central noradrenergic neurones (see Chapter 1, section 1.3.2.). However, evidence suggests that central noradrenergic neurones could also be involved in the behavioural activation induced by this drug. Early studies suggested that the locomotor hyperactivity induced by $d$-amphetamine was mediated by the release of dopamine in the nucleus accumbens as injection of the dopamine antagonist, haloperidol, into this area inhibited this effect. Microdialysis studies in the 1980s supported this proposal by showing that the locomotor hyperactivity induced by $d$-amphetamine correlated well with the increase in extracellular dopamine concentration in the nucleus accumbens (Sharp et al. 1987).
However, a more recent study suggests that noradrenaline also has a role in the locomotor hyperactivity response induced by $d$-amphetamine (Blanc et al. 1994). These authors show that systemic administration of the $\alpha_1$-adrenoceptor antagonists, prazosin or 2(2,6-dimethoxyphenoxylethyl) amino-methyl-1,4-benzodioxane hydrochloride (WB-4101) inhibited the locomotor hyperactivity induced by systemic administration of $d$-amphetamine. This effect was specific for the increase in locomotor activity induced by $d$-amphetamine as prazosin did not inhibit the locomotor hyperactivity induced by the antimuscarinic agent, scopolamine. $\alpha_1$-Adrenoceptor antagonists have poor penetration across the blood-brain-barrier. Nevertheless, the study of Blanc et al. (1994) showed that
local administration of prazosin (0.16 pmol) into the medial prefrontal cortex completely inhibited the locomotor hyperactivity induced by local administration of $d$-amphetamine into the nucleus accumbens. These findings strongly suggest that $\alpha_1$-adrenoceptors are involved in the locomotor hyperactivity response to $d$-amphetamine.
Darracq et al. (1998) investigated the effect of prazosin further. These authors found that reverse dialysis of $d$-amphetamine (3 $\mu$M) bilaterally into the nucleus accumbens did not induce an increase in locomotor activity even though the extracellular dopamine concentration increased by 5-fold. Furthermore, systemic administration of prazosin had no affect on the extracellular dopamine concentration. However, systemic administration of $d$-amphetamine (0.5 mg / kg) injected into rats already perfused with 3 $\mu$M $d$-amphetamine in the nucleus accumbens, caused a further 64% increase in dopamine concentration and induced a locomotor hyperactivity. Pretreatment of rats with prazosin, either systemically (0.5 mg / kg) or by bilateral injection into the prefrontal cortex (500 pmol), prevented both the further increase in extracellular dopamine and locomotor hyperactivity induced by systemic administration of $d$-amphetamine. The findings suggest that the increase in dopamine release in the nucleus accumbens associated with locomotor activity is under the control of prefrontocortical $\alpha_1$-adrenoceptors. The authors suggest that the increase in noradrenergic transmission induced by $d$-amphetamine in the prefrontal cortex could modify the activity of glutaminergic neurones projecting from the cortex to the nucleus accumbens, which in turn increases dopamine release in this area. Alternatively, the increase in noradrenergic transmission could lead to an indirect effect on dopaminergic cell bodies to increase their firing rate.
Evidence suggests that it is the psychostimulant properties of $d$-amphetamine, rather than any direct effect on satiety, that accounts for the reduction in food intake induced by this drug. Antin et al. (1975) observed that satiety in the rat is characterised by a specific sequence of behaviours: following the cessation of feeding, a rat engages in grooming and exploration and then rests or sleeps. Although the sequence was fixed, the time spent engaged in non-feeding activities would vary. This sequence of behaviours that occurs following a meal is considered a better reflection of satiety than the cessation of feeding alone. In support of this suggestion, Antin et al. (1975) found that rats stopped
eating when they tasted quinine-adulterated food, but failed to exhibit the sequence of behaviours associated with satiety. Using this approach, Halford *et al.* (1995) monitored behavioural activities in rats following systemic administration of the ED$_{50}$ dose of $d$-amphetamine (1.5 mg / kg i.p.) or sibutramine (2 mg / kg p.o.) to reduce food intake. The study found that, compared to the effect of placebo, $d$-amphetamine markedly increased the duration of time spent sniffing and decreased the duration and frequency of time spent resting. These findings suggest that $d$-amphetamine disrupts the satiety sequence and that the increase in behavioural activation accounts for the suppression of food intake caused by this drug. Sibutramine suppressed food intake by reducing the duration and frequency of eating episodes and accelerating the onset and duration of resting. This indicates that, in contrast to $d$-amphetamine, sibutramine decreases food intake by enhancing the natural development of satiety.
Considering the evidence that suggests central noradrenergic systems could have a role in eliciting the increase in locomotor activity induced by $d$-amphetamine, it is of further interest to investigate whether sibutramine increases extracellular noradrenaline concentration *in vivo* and to compare these effects with those of $d$-amphetamine.
Monitoring changes in central extracellular noradrenaline concentration in response to a novel anti-obesity agent is one approach to investigating its effects on central noradrenergic systems. Therefore, the first aim of this investigation was to use the technique of microdialysis to determine whether systemic administration of sibutramine increases the extracellular concentration of noradrenaline in the brain. To address this question, *in vivo* microdialysis was carried out in the frontal cortex of anaesthetised rats. This allowed the direct comparison of the findings of this investigation with those of the previous study on $d$-amphetamine.
One limitation of microdialysis is that changes in the concentration of extracellular transmitter can be attributed to either an increase in noradrenaline release, inhibition of its reuptake, or both. Nevertheless, it was predicted that the increase in extracellular noradrenaline concentration caused by sibutramine, like that of 5-HT, would be progressive and sustained, as a result of the extracellular accumulation following impulse-evoked release and inhibition of reuptake. In contrast, $d$-amphetamine increases monoamine release directly through an impulse-independent mechanism. This involves
effects on both plasmalemmal and vesicular monoamine transporters (see Chapter 1, section 1.3.2.). In view of these different neurochemical actions of sibutramine and $d$-amphetamine, it was predicted that the rate and magnitude of the increase in the concentration of extracellular noradrenaline caused by these two compounds would differ.
Another factor that influences the accumulation of extracellular noradrenaline is activation of somatodendritic and terminal $\alpha_2$-adrenoceptors on noradrenergic neurones. When activated by extracellular noradrenaline, these receptors depress the firing rate of noradrenergic neurones (Svensson et al. 1975) and release of transmitter from their terminals (Langer, 1977), respectively (see Chapter 1, section 1.4.3.). Therefore, accumulation of extracellular noradrenaline, as a result of the inhibition of its reuptake by sibutramine, should activate these receptors and blunt its impulse-evoked release. In contrast, direct, impulse-independent release of noradrenaline by $d$-amphetamine should be less susceptible (if at all) to activation of $\alpha_2$-adrenoceptors by noradrenaline. Considering this, the second aim of the investigation was to compare the effects of systemic administration of sibutramine or $d$-amphetamine on the amplitude and rate of increase in extracellular noradrenaline in rats pretreated systemically with an $\alpha_2$-adrenoceptor antagonist.
The $\alpha_2$-adrenoceptor antagonist chosen for this study was the highly selective $\alpha_2$-adrenoceptor antagonist, 2-[2-(2-methoxy-1,4-benzodioxanyl)]imidazoline hydrochloride (RX821002) (Langin et al. 1990). This compound is a derivative of the previously more commonly used $\alpha_2$-adrenoceptor antagonist, idazoxan, and has an $\alpha_2 / \alpha_1$-adrenoceptor binding selectivity ratio of 316 (c.f. idazoxan, 151) (Stüllings et al. 1985). Binding studies show $[^3\text{H}]$RX821002 has a high affinity for $\alpha_2$-adrenoceptors with little selectivity between the $\alpha_2$-adrenoceptor subtypes (O’Rourke et al. 1994). Furthermore, consistent with its greater $\alpha_2 / \alpha_1$-adrenoceptor selectivity ratio, binding studies in human adipocytes show that $[^3\text{H}]$RX821002 does not label nonadrenergic idazoxan binding sites (Langin et al. 1990).
3.2 Methods
3.2.1. Experimental design
Experiments were carried out in halothane-anaesthetised rats. For details on procedures, refer to Chapter 2, section 2.2.1. Drugs were administered by the i.p. route.
To establish the dose-response curve for sibutramine, a range of doses of this drug (0.25 – 10 mg / kg) were tested following the collection of four basal samples (at 20 min intervals). Each rat was used to test only one dose of sibutramine and samples were collected for a further 4 h. This was the same procedure employed to establish the dose-response curve for $d$-amphetamine. The doses of sibutramine were chosen from previous studies showing that, over this dose-range, sibutramine has dose-dependent effects on food-intake as well as extracellular 5-HT accumulation (Jackson et al., 1997b; Gundlah et al., 1997).
In experiments involving pretreatment of rats with the selective $\alpha_2$-adrenoceptor antagonist, RX821002, rats were divided into four groups. The first group of rats was used in a pilot study to find an appropriate dose of RX821002 to use for pretreatment of rats in groups 2-4. Rats in group 1 were administered 1 mg / kg RX821002 and, two hours later, they received a second dose of 3 mg / kg RX821002; samples were collected for a further 2 h. Since neither 1 or 3 mg / kg RX821002 had any effect on dialysate noradrenaline concentration, the second, third and fourth group of rats received a dose of 3 mg / kg RX821002 and, 1 h later, were given a further injection of sibutramine, $d$-amphetamine or vehicle, respectively; samples were then collected for a further 3 h.
3.2.2. Statistical analysis
Changes in the noradrenaline content of dialysis samples after drug injection were tested for statistical significance using analysis of variance (ANOVA) with repeated measures. Analysis was carried out with ‘time’ as the ‘within-subject’ factor. To compare the effects of sibutramine and $d$-amphetamine, ‘drug treatment’ was added as the ‘between-subjects’ factor. To assess RX821002-induced changes in the latency to reach peak dialysate noradrenaline concentration, the mean latency to reach the peak drug effect
for individual rats was determined and one-way ANOVA used to compare the effects of different treatment groups.
3.3 Results
3.3.1. The effects of sibutramine and $d$-amphetamine on dialysate noradrenaline concentration.
Mean noradrenaline content in basal samples from these experiments was 24.8 ± 0.8 fmol 20 / min (pooled data from all experiments in this section; n = 41).
188.8.131.52. Sibutramine.
There was no change in dialysate noradrenaline concentration in rats injected with saline (Figure 3.1a and b). However, following administration of sibutramine at 0.25, 0.5 or 1 mg / kg (Figure 3.1a) or 1, 3 or 10 mg / kg (Figure 3.1b), there was a gradual and sustained increase in the noradrenaline concentration of dialysis samples.
Sibutramine (0.25, 0.5, or 1 mg / kg) increased dialysate noradrenaline concentration within 40 min post-injection, (0.25 mg / kg: $F = 4.68$; d.f. 5,20; $P < 0.01$; 0.5 mg / kg: $F = 4.13$; d.f. 5,10; $P = 0.03$; 1 mg / kg: $F = 5.79$; d.f. 5,10; $P < 0.01$). A dose of 3 mg / kg sibutramine increased dialysate noradrenaline concentration within 80 min post-injection ($F = 5.22$; d.f. 7,28; $P < 0.01$). 10 mg / kg sibutramine increased dialysate noradrenaline concentration only within 180 min post-injection ($F = 2.88$; d.f. 8,24; $P = 0.02$).
The relationship between the magnitude of the increase and dose of sibutramine followed a bell-shaped curve. The largest increase was induced by a dose of 0.5 mg / kg (maximum of 278%, c.f. mean basal concentration) and occurred at 240 min post-injection. A plateau, representing an approximately 2.5-fold increase in noradrenaline (c.f. mean basal concentration), was attained within 2 h of injection. Slightly smaller increases were found after administration of 1 or 3 mg / kg sibutramine (1 mg / kg: maximum of 245% at 100 min post-injection; 3 mg / kg: maximum of 266% at 200 min post-injection).
Figure 3.1: *The effect of sibutramine (a: 0.25, 0.5, or 1 mg / kg i.p. b: 1, 3 or 10 mg / kg i.p.) on dialysate noradrenaline concentration in the frontal cortex.*
Arrow represents drug administration. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; n = 4-5).
Figure 3.2: The effect of $d$-amphetamine (1, 3 or 10 mg / kg i.p.) on dialysate noradrenaline concentration from the frontal cortex.
Arrow represents drug administration. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; n = 4-5).
184.108.40.206. $d$-Amphetamine (experiments performed by Z.A. Hughes).
All three doses of $d$-amphetamine increased the concentration of extracellular noradrenaline within 20 min of injection (1 mg / kg: $F = 4.85$; d.f. 4,12; $P = 0.02$; 3 mg / kg: $F = 6.14$; d.f. 4,16; $P < 0.01$; 10 mg / kg: $F = 15.04$; d.f. 4,8; $P = 0.01$) and the magnitude of the increase paralleled drug dose (Figure 3.2). Doses of 1 or 3 mg / kg produced maximum increases of 281% at 60 min post-injection and 381% at 80 min post-injection, respectively. The largest increase was induced by a dose of 10 mg / kg (549% at 40 min post-injection).
220.127.116.11. Comparison of the effects of sibutramine and d-amphetamine.
There was no main effect of drug or drug × time effect when 1 or 3 mg / kg sibutramine were compared with the equivalent dose of d-amphetamine over the whole time course of the experiment. However, 10 mg / kg d-amphetamine caused a greater increase in dialysate noradrenaline concentration than did the equivalent dose of sibutramine at all times post-injection (1st h: $F = 24.03$; d.f. 1,6; $P < 0.01$, 2nd h: $F = 13.84$; d.f. 1,6; $P = 0.01$, 3rd h: $F = 12.34$; d.f. 1,6; $P = 0.01$, 4th h: $F = 7.02$; d.f. 1,7; $P = 0.03$). There was also a marked difference in the time course of the responses to a 10 mg / kg dose of these drugs (drug × time interaction: $F = 14.59$; d.f. 13,65; $P < 0.01$) reflecting the more rapid increase caused by d-amphetamine.
3.3.2. Effects of RX821002-pretreatment on dialysate noradrenaline concentration following sibutramine or $d$-amphetamine administration.
Mean noradrenaline content of basal samples from these experiments was $22.6 \pm 1.2$ fmol / 20 min (pooled data from all experiments; $n = 30$).
18.104.22.168. Magnitude of response.
Neither RX821002 alone (1 mg / kg followed by 3 mg / kg) (Figure 3.3), nor when followed by a saline injection 1 h later (Figure 3.4), affected dialysate noradrenaline concentration.
**Figure 3.3:** *The effect of RX821002 (1 mg / kg followed by 3 mg / kg i.p.) on dialysate noradrenaline concentration from the frontal cortex.*
Arrow represents drug administration. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; $n = 5$).
Figure 3.4: The effect of sibutramine or d-amphetamine (10 mg / kg i.p.) on the concentration of noradrenaline in samples of cortical dialysate from rats treated 1 h previously with RX821002 (3 mg / kg i.p.).
Arrows represent drug administration. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; n = 5).
However, both sibutramine (10 mg / kg) and d-amphetamine (10 mg / kg) increased dialysate noradrenaline concentration when administered to RX821002-pretreated rats (Figure 3.4). Moreover, the increases caused by both these compounds were greater than with either drug alone (sibutramine: ~5 fold increase, $F = 12.85$; d.f. 1,30; $P < 0.01$; Figure 3.5a; d-amphetamine: ~2.5 fold increase, $F = 15.85$; d.f. 1,24; $P < 0.01$; Figure 3.5b). However, the increase induced by RX821002 in combination with d-amphetamine was still greater than that induced by RX821002 in combination with sibutramine (main effect of drug combination over 1 h following sibutramine or d-amphetamine administration: $F = 6.9$; d.f. 1,7; $P = 0.03$).
Figure 3.5a: *The effect of sibutramine (10 mg / kg i.p.) on the concentration of noradrenaline in samples of cortical dialysate from non-pretreated rats and rats pretreated 1 h earlier with RX821002 (3 mg / kg i.p.).*
Arrow represents sibutramine administration. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; n = 5).
### 22.214.171.124. Latency to peak effect.
RX821002 reduced the latency of sibutramine (10 mg / kg) to reach its maximum effect from $144 \pm 14$ min to only $56 \pm 4$ min ($F = 33.80$; d.f. 1,8; $P < 0.01$). In contrast, RX821002 had no significant effect on latency to reach mean maximum noradrenaline concentration after treatment with $d$-amphetamine (RX821002 pretreated: $50 \pm 17$ min, non-pretreated: $40 \pm 0$ min). Finally, a drug $\times$ time interaction ($F = 4.84$; d.f. 12,84; $P < 0.01$) again suggests that, even in the presence of RX821002, the increase in extracellular noradrenaline concentration induced by $d$-amphetamine was more rapid than that caused by sibutramine.
Figure 3.5b: *The effect of d-amphetamine (10 mg / kg i.p.) on the concentration of noradrenaline in samples of cortical dialysate from non-pretreated rats and rats pretreated 1 h earlier with RX821002 (3 mg / kg i.p.).*
Arrow represents d-amphetamine administration. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; n = 5).
3.4. Discussion
Sibutramine’s active metabolites are potent inhibitors of noradrenaline reuptake *in vitro*, (Cheetham et al. 1996) but both the parent compound and its metabolites are devoid of noradrenaline-releasing activity (Heal and Cheetham, 1997). However, nothing is known about the effects of sibutramine on central extracellular noradrenaline concentration *in vivo*. Questions that arise are whether its reuptake blocking activity increases extracellular noradrenaline concentration and whether this action can be distinguished from the effect of *d*-amphetamine?
3.4.1. The effects of sibutramine or *d*-amphetamine on cortical extracellular noradrenaline concentration.
The present results show that sibutramine caused a gradual and sustained increase in the concentration of extracellular noradrenaline in rat frontal cortex. *d*-Amphetamine also increased extracellular noradrenaline concentration. However, at the highest dose tested (10 mg / kg), this increase was both more rapid and of greater magnitude than that caused by the same dose of sibutramine, or by the dose inducing sibutramine’s maximal effects (0.5 mg / kg). The magnitude and time-course of effects of these two drugs on extracellular noradrenaline concentration resemble their effects on extracellular 5-HT in the hypothalamus (Gundlah et al. 1997). In the study of Gundlah *et al.* (1997) the profile of the increase in extracellular 5-HT concentration evoked by 5-HT-reuptake inhibitors differed markedly from that induced by 5-HT-releasing agents. Based on these findings, Gundlah *et al.* define specific criteria that distinguish between the effects of 5-HT-reuptake inhibitors and 5-HT-releasing agents when using microdialysis. According to these criteria:
1) *Systemic administration of a releasing agent induced a greater increase in extracellular 5-HT concentration than that induced by reuptake inhibitors.*
The authors suggest that the modest increase in extracellular 5-HT induced by reuptake inhibitors reflects a balance between reuptake inhibition and the partial decrease in release that is a consequence of autoreceptor activation. In
contrast, the greater increase in extracellular 5-HT induced by high doses of 5-HT releasing agents probably reflects impulse-independent 5-HT release.
2) Attenuation of the firing of 5-HT neurones, through activation of presynaptic autoreceptors, diminishes the effects of reuptake inhibitors on extracellular 5-HT concentration but does not affect the actions of releasing agents because these depend on impulse-independent transmitter release. The authors demonstrated that the increase in 5-HT induced by 5-HT-reuptake inhibitors (including sibutramine) is reversed by the subsequent administration of the somatodendritic 5-HT\textsubscript{1A} autoreceptor agonist, 8-OH-DPAT. This strongly supports the hypothesis that the extracellular 5-HT accumulating following the administration of a reuptake inhibitor is derived from impulse-dependent release. However, 8-OH-DPAT did not reduce the large increase in extracellular 5-HT following fenfluramine administration, supporting the notion that the extracellular 5-HT accumulation following administration of this drug is derived from an impulse-independent process.
Generalising these criteria to the findings of the present study of noradrenaline would suggest that \textit{d}-amphetamine produced a greater and more rapid increase in extracellular noradrenaline concentration, than does sibutramine, because the former drug is a releasing agent whereas the latter is a reuptake inhibitor, only. Consistent with studies showing that sibutramine’s metabolites inhibit the uptake of noradrenaline \textit{in vitro}, the gradual increase in extracellular noradrenaline caused by sibutramine reflects the progressive accumulation of noradrenaline after its spontaneous, impulse-evoked release. The rapid increase in extracellular noradrenaline induced by \textit{d}-amphetamine is in keeping with evidence that \textit{d}-amphetamine causes the release of noradrenaline \textit{in vitro} (Glowinski and Axelrod, 1965; Pifl \textit{et al.} 1999; see Chapter 1, section 1.3.2.).
The finding that \textit{d}-amphetamine induced a rapid increase in extracellular noradrenaline concentration in the frontal cortex is consistent with the findings of Kuczenski and Segal (1992). These authors found that \textit{d}-amphetamine induced a rapid increase in extracellular noradrenaline concentration in the prefrontal cortex of freely-moving rats. They also reported that the time-course of the increase in noradrenaline paralleled the time-course of the increase in locomotor activity induced by
this drug. In the present study, the findings that sibutramine induced a smaller and more gradual increase in extracellular noradrenaline than did $d$-amphetamine, suggests that the former drug may not induce the behavioural activation associated with the latter drug. This suggestion is strongly supported by recent studies showing that in contrast to $d$-amphetamine, systemically administered sibutramine does not increase locomotor activity in rats (Rowley et al. 2000). Indeed, by monitoring the satiety sequence Halford et al. (1995) show that sibutramine actually increases the duration of time spent resting in rats (see section 3.1.).
Several reports suggest that $d$-amphetamine decreases the firing rate of noradrenergic neurones in the locus coeruleus (Graham and Aghajanian, 1971; Ryan et al. 1985; Holdefer and Jensen, 1987). This effect of $d$-amphetamine is thought to mediated by noradrenergic activation of $\alpha_2$-adrenoceptors located on the cell bodies of noradrenergic neurones (Engberg and Svensson, 1979; see Chapter 1, section 1.4.3). Nevertheless, the findings of this chapter so far suggest that $d$-amphetamine induces impulse-independent release of noradrenaline whereas sibutramine inhibited the reuptake of spontaneous, impulse-evoked noradrenaline release. Therefore, it may be predicted that activation of presynaptic $\alpha_2$-adrenoceptors would blunt the increase in extracellular noradrenaline concentration induced by sibutramine whereas the effects of $d$-amphetamine would be less susceptible, if at all.
3.4.2. The effect of RX821002 alone on cortical extracellular noradrenaline concentration.
When given alone, the $\alpha_2$-adrenoceptor antagonist, RX821002, did not modify basal dialysate noradrenaline concentration. This suggests that there is little tonic activation of these receptors. This finding is at variance with reports that systemic administration of RX821002 does increase the concentration of extracellular noradrenaline in rat brain (Javier-Meana et al. 1997; Nutt et al. 1997). However, although Javier-Meana et al. (1997) report an increase in extracellular noradrenaline in the cingulate cortex of rats after treatment with RX821002, the results of this study can not be compared with the present study because the noradrenaline reuptake inhibitor,
desipramine, was included in the aCSF. This, in itself, would indirectly increase the tonic activation of $\alpha_2$-adrenoceptors.
Nutt et al. (1997) reported a 2-fold increase in extracellular noradrenaline concentration in the frontal cortex of chloral hydrate anaesthetised rats following RX821002 administration. An explanation for the apparently anomalous finding is not immediately clear. However, the findings indicate that there must be more activation of central $\alpha_2$-adrenoceptors in the rats used by Nutt et al. (1997) compared with those used in the present study. This could be a result of the different anaesthetics used in these experiments. Extracellular noradrenaline concentration is affected in different ways by different anaesthetic agents (e.g. chloralose and pentobarbital sodium decrease, whereas urethane increases the concentration of extracellular noradrenaline in the hypothalamus; Shimokawa et al. 1998). It is unclear how these anaesthetic agents could modify central noradrenergic activity or why they would have opposite effects on the same system. However, there is evidence to suggest that some anaesthetic agents modify neuronal firing rate in the brain. Studies on halothane and chloral hydrate show that these anaesthetic agents decrease the firing rate of striatal and dorsal raphé neurones in the rat and cat, respectively (Warenycia and McKenzie, 1984; Heym et al. 1984). Other studies show halothane to decrease the firing rate of both mesencephalic reticular neurones in the cat (Shimoji et al. 1977) and locus coeruleus neurones in the rat (Saunier et al. 1993). A reduction in locus coeruleus firing by halothane-anaesthesia would suggest that noradrenaline release in the cortex could have been reduced during experiments performed in this study. This could have caused a reduction in tonic activity at the terminal $\alpha_2$-adrenoceptors, accounting for the lack of effect of RX821002.
Alternatively, anaesthetic agents could modify neuronal activity by modulating $\alpha_2$-adrenoceptor function. Evidence suggests that halothane-anaesthesia interacts with $\alpha_2$-adrenoceptors. Bloor and Flacke (1982) found that the $\alpha_2$-adrenoceptor agonist, clonidine, decreased the minimal anaesthetic concentration (MAC) of halothane required to anaesthetise dogs by approximately 45%. The effect of clonidine on MAC was rapidly and completely reversed by the non-selective $\alpha$-adrenoceptor antagonist, tolazoline. These findings suggested that clonidine is able to influence the potency of halothane through an action at $\alpha_2$-adrenoceptors. In addition, Saunier et al. (1993) showed that the
dose of clonidine required to inhibit locus coeruleus neuronal firing by 50% (ED$_{50}$), is decreased under halothane-anaesthesia compared with 30 min following halothane withdrawal (ED$_{50}$: 25 mg / kg vs 5 mg / kg under halothane). The findings of Saunier et al. (1993) suggest that $\alpha_2$-adrenoceptors are more sensitive under halothane-anaesthesia. Although this suggests that halothane influences $\alpha_2$-adrenoceptor function, it does not explain why RX821002 had no effect on basal extracellular noradrenaline concentration in the present study.
Considering evidence that anaesthetic agents can modify central noradrenergic activity in rats, the dose-response curve for sibutramine’s effects on extracellular noradrenaline concentration was investigated in conscious, freely-moving rats (see Chapter 4). Either of the proposals described above would predict that the basal concentration of extracellular noradrenaline would be higher in freely-moving rats compared with halothane-anaesthetised rats. These proposals were not fully supported by studies in conscious, freely-moving rats, which found that the basal dialysate noradrenaline concentration in the frontal cortex to be no greater than in anaesthetised rats (see Chapter 4). Nevertheless, this comparison is not ideal because the time interval between the end of surgery and the collection of samples is much greater in freely-moving rats (18-22 h) compared with anaesthetised rats (2 h). However, the effects of RX821002 on extracellular noradrenaline concentration in the frontal cortex and hypothalamus were investigated in conscious, freely-moving rats in Chapter 5. This study found that systemic administration of RX821002 (3 mg / kg) did increase the concentration of noradrenaline in dialysate samples from both these areas. This finding is not consistent with the study of Saunier et al (1993) which suggests that $\alpha_2$-adrenoceptor function is more sensitive under halothane-anaesthesia, but it is consistent with the proposal that locus coeruleus firing is reduced by halothane-anaesthesia. It is possible that the basal concentration of noradrenaline in dialysate samples from anaesthetised and freely-moving rats would differ if compared at the same time following surgery.
In light of the evidence described above, it is not unreasonable to propose that the choice of anaesthesia affects noradrenergic neuronal firing and/or $\alpha_2$-adrenoceptor function and that this could explain the different of effects of RX821002 in the present study compared with the study of Nutt et al. (1997).
3.4.3. The effect of RX821002 in combination with sibutramine or $d$-amphetamine.
Despite its lack of intrinsic activity, RX821002 augmented the increase in extracellular noradrenaline concentration caused by sibutramine. This finding suggests that activation of somatodendritic and/or terminal $\alpha_2$-adrenoceptors by extracellular noradrenaline, which accumulates after administration of sibutramine, attenuated impulse-derived transmitter release. In keeping with these findings, the increase in cortical extracellular noradrenaline concentration caused by the established noradrenaline reuptake inhibitor, desipramine, is similarly enhanced by idazoxan (Dennis et al. 1987). The effect of sibutramine in combination with RX821002 is similar to the effect of an SSRI in combination with a 5-HT$_{1A}$ receptor antagonist on extracellular 5-HT accumulation (Gartside et al. 1995; Romero et al. 1996). Together, these findings highlight a similarity between the functioning of noradrenergic and serotonergic neurones in the brain.
RX821002 also augmented the effect of $d$-amphetamine (10 mg/kg) on extracellular noradrenaline. This suggests that the subsequent activation of $\alpha_2$-adrenoceptors by noradrenaline does restrict the magnitude of this drug’s effect on extracellular noradrenaline accumulation to some extent. This inference conflicts with evidence that the $\alpha_2$-adrenoceptor agonist, clonidine, has little effect on the increase in noradrenaline induced by $d$-amphetamine in the hippocampus (Florin et al. 1994). This could be because activation of $\alpha_2$-adrenoceptors after treatment with $d$-amphetamine is already maximal and that co-administration of an $\alpha_2$-adrenoceptor agonist has no further impact on release rate. However, the comparison of the study of Florin et al. (1994) with the present study is complicated by the fact that the former study was carried out in conscious, freely-moving rats. Nevertheless, the present finding suggests that, if noradrenergic neuronal activity is not completely depressed by $d$-amphetamine administration, then impulse-dependent noradrenaline release can contribute to the increase in extracellular noradrenaline accumulation induced by this drug.
The rapid increase in extracellular noradrenaline concentration induced by $d$-amphetamine alone suggests that this drug induces impulse-independent noradrenaline release. However, the finding that RX821002 potentiated the effect of $d$-amphetamine on
extracellular noradrenaline accumulation by approximately 2.5-fold shows that $d$-amphetamine also has characteristics of a noradrenaline reuptake inhibitor. The $K_i$ for the inhibition of noradrenaline uptake into rat brain by $d$-amphetamine is 45 nM (Heal et al. 1998a). This value is relatively high compared with the $K_i$ values for this drug’s effects on dopamine and 5-HT uptake in rat brain (132 and 1441 nM, respectively, Heal et al. 1998a). The 5-HT releasing agent, $d$-fenfluramine, also has $K_i$ values for monoamine uptake into rat brain of greater than 100 nM (260, 279 and 6227 nM for noradrenaline, 5-HT and dopamine, respectively, Heal et al. 1998a). The high affinity of $d$-amphetamine for the noradrenaline transporter suggests that the dissociation of this drug from the transporter could be relatively slow. At high concentrations of $d$-amphetamine, which would saturate the noradrenaline transporter, this slow dissociation could lead to some reuptake inhibitor-like properties by preventing noradrenaline in the synapse binding to the transporter. Consistent with this proposal, Pifl et al (1999) show that, at low doses, $d$-amphetamine acts as a noradrenaline releasing agent, releasing noradrenaline from intracellular vesicular stores \textit{in vitro}. However, at high doses, $d$-amphetamine prevents the reuptake of released noradrenaline (see Chapter 1, section 1.3.2.).
The present finding that RX821002 enhanced the increase in extracellular noradrenaline concentration induced by 10 mg / kg $d$-amphetamine is consistent with the proposal that high doses of $d$-amphetamine inhibit the reuptake of noradrenaline. Based on this proposal, it may be predicted that RX821002 would have less of an effect, if any, on low doses of $d$-amphetamine that cause noradrenaline release only. The effect of RX821002 in combination with 1 or 3 mg / kg $d$-amphetamine was not investigated in the present study. Investigating the effects of a range of doses of $d$-amphetamine in combination with RX821002 would be able to test the proposal. Ideally, these experiments would be done in conscious, freely-moving rats, so that any interference of the effects by anaesthesia could be ruled out.
Pretreatment of rats with RX821002 not only augmented the amplitude of the increase in extracellular noradrenaline caused by sibutramine, but also reduced the latency to reach its maximum. This is consistent with disinhibition of impulse-derived noradrenaline release by this $\alpha_2$-adrenoceptor antagonist. There was no apparent
reduction in the latency to reach maximum after treatment with $d$-amphetamine from the 40 min seen in the RX821002-free state. However, it is unlikely that any such reduction would have been detected because the present protocol for microdialysis dictated sampling at 20 min intervals.
3.4.4. Conclusion
The findings of this study support the view that sibutramine is a noradrenaline reuptake inhibitor \textit{in vivo} and that the rate and magnitude of this drug's effects on extracellular noradrenaline are strongly attenuated by indirect activation of $\alpha_2$-adrenoceptors. In contrast, a high dose of $d$-amphetamine caused a much more rapid increase in extracellular noradrenaline, the magnitude of which is affected to a lesser extent by $\alpha_2$-adrenoceptor activation.
Chapter 4
Comparison of the effects of sibutramine and $d$-amphetamine on extracellular noradrenaline concentration in the frontal cortex and hypothalamus of conscious, freely-moving rats.
4.1 Introduction
The previous chapter showed that sibutramine or $d$-amphetamine increased the concentration of extracellular noradrenaline in the frontal cortex of anaesthetised rats. Although this supports the view that these two anti-obesity agents enhance central noradrenergic function, noradrenergic transmission in the hypothalamus, in particular the paraventricular nucleus, has been shown to have the most marked effects on food intake (see Chapter 1, section 1.2.1.).
As well as a role in food intake, evidence also suggests the hypothalamus has a role in the regulation of thermogenesis. Perkins et al. (1981), showed that unilateral electrical stimulation of the ventromedial hypothalamus produced a biphasic response in the temperature of interscapular brown adipose tissue (BAT). At 1 min following stimulation there was a small decrease in BAT temperature from 36.2 °C to 36.0 °C. This was followed by an increase in BAT temperature that reached a maximum of 37 °C approximately 8 min post-stimulation and returned to baseline levels by approximately 20
min post-stimulation. The effect was abolished by systemic administration of the non-selective β-adrenoceptor antagonist, propranolol. Further investigation revealed that blockade of the sympathetic nerve supply to BAT with local anaesthetic abolished the increase in temperature induced by hypothalamic stimulation. However, under the same conditions, systemic administration of noradrenaline induced changes in BAT temperature of the same duration and magnitude as seen following stimulation of the hypothalamus. Based on their findings, the authors suggest that central stimulation of BAT thermogenesis is mediated by the sympathetic nerve supply and involves β-adrenoceptors. More recent studies using agonists and antagonists selective for β-adrenoceptor subtypes suggest that the β-adrenoceptor that mediates BAT thermogenesis is the β3-subtype (Manara et al. 1996).
Support for a role of hypothalamic noradrenaline in the control of thermogenesis comes from findings of Sahakian et al. (1983). These authors depleted hypothalamic noradrenaline by approximately 71% in rats by injecting the neurotoxin 6-hydroxydopamine into the rostral medulla in order to lesion the ventral noradrenergic bundle carrying neurones to the hypothalamus. BAT activity was monitored by measuring the binding of guanosine diphosphate (GDP) to BAT mitochondria (an index of the thermogenic proton conductance pathway). The study found that lesion of the ventral noradrenergic bundle induced a weight gain of 10% above that of sham-controlled rats when fed an identical palatable diet. Furthermore, binding of GDP in BAT mitochondria was reduced in lesioned rats compared with sham-lesioned controls. These results indicate that BAT thermogenic activity is impaired in lesioned rats and suggest that this could contribute to the elevated weight gain in these animals.
Although the findings of Sahakian et al. (1983) show that a depletion of hypothalamic noradrenaline content leads to weight gain, these findings are at variance with studies that show acute injection of noradrenaline into the region of paraventricular nucleus of the hypothalamus increases food intake in satiated and hungry rats (Leibowitz, 1978). These studies raise the question as to which of noradrenaline’s actions on thermogenesis and food intake in the hypothalamus predominate under normal physiological conditions in vivo?
The paraventricular nucleus of the hypothalamus, which receives a dense noradrenergic innervation, has been implicated in the control of BAT thermogenesis. De Luca *et al.* (1989) show that rats with an electrolytic lesion of the paraventricular nucleus and fed identical diets have a lower rate of oxygen consumption and decreased core and BAT temperatures compared with sham-lesioned controls. Although both lesioned and sham-lesioned rats showed an increase in energy intake when put on a cafeteria diet compared with a chow diet, the lesioned rats gained more weight over an 18 day period. The authors suggest that the increase in energy intake in lesioned rats on a cafeteria diet may not induce the usual compensatory increase in thermogenesis, which results in a greater increase in body weight in these rats. Further experiments showed that the increase in oxygen consumption, as well as core and BAT temperatures, stimulated by systemic administration of noradrenaline, was also impaired in lesioned rats compared with sham-lesioned controls. This suggests that the decrease in BAT activity in lesioned rats could be due to a reduced function of the sympathetic nervous system as a result of an impaired facilitatory influence from the paraventricular nucleus.
The effects of sibutramine on extracellular noradrenaline concentration in the hypothalamus cannot be assumed to be the same as in the cortex. The reason for this is primarily that these two brain areas differ in respect of the source of their noradrenergic innervation: the cortex receives noradrenergic neurones exclusively from the locus coeruleus, while the hypothalamus is primarily innervated by noradrenergic neurones with cell bodies in the lateral tegmental nulcei (see: Holets 1990 and Chapter 1, section 1.1.). The tissue noradrenaline content, as well as the appearance, of neurones originating in the lateral tegmental system are different from those originating in the locus coeruleus (see Chapter 1, section 1.1.). In addition, evidence suggests that there could be functional differences between these two groups of neurones; Fritschy *et al.* (1990) reported that noradrenergic neurones of the lateral tegmental system are more resistant to the selective noradrenergic neurotoxin (N-(2-chloroethyl)-N-ethyl-2-bromobenzylamine), DSP-4, than are locus coeruleus neurones. Thus, in studies visualising noradrenergic neurones stained with antibodies to noradrenaline (antibodies raised against noradrenaline conjugated to a protein carrier), a marked decrease in staining intensity in areas such as the cerebral cortex and hippocampus was found in rats injected with DSP-4 (*c.f.* untreated controls) within 6 h post-injection. This depletion in staining intensity persisted for the two week period of
the investigation. However, DSP-4 treatment caused virtually no reduction in staining intensity in the hypothalamus at any time point in the investigation. In the same study, noradrenergic neurones were also visualised using antibodies to the membrane-bound marker protein of noradrenergic axons, dopamine-\(\beta\)-hydroxylase (DBH). A decrease in DBH staining occurred four days after DSP-4 treatment (\textit{c.f.} untreated controls) in areas which had experienced a loss of noradrenaline content only.
Heal \textit{et al.} (1993) also reported a differential effect of DSP-4 on neurones innervating the hypothalamus and cortex. This study used twice the dose of DSP-4 (100 mg / kg) to that used by Fritschy \textit{et al.} (1990) and found marked reductions in the tissue content of noradrenaline in both the cortex and hypothalamus 3 days after treatment (8 and 17% of saline treated controls, respectively). However, whereas the depletion in noradrenaline content persisted in the cortex at 15 days post-injection, a partial reversal of the effects of DSP-4 in the hypothalamus occurred at 15 days post-injection, with noradrenaline content being reduced to only 45% of saline controls. The authors suggest their findings indicate that neurones innervating the hypothalamus are only temporarily inactivated by DSP-4 and are able to functionally resist the toxic effects of DSP-4.
The aim of this investigation was to establish whether sibutramine affects the concentration of extracellular noradrenaline in the hypothalamus using \textit{in vivo} microdialysis. Drug-induced changes in extracellular noradrenaline concentration were monitored in the region of the paraventricular nucleus (PVN) of the hypothalamus, based on evidence that changes in noradrenergic activity in this specific area of the hypothalamus show the greatest influence on food intake compared with other brain regions (Leibowitz, 1978). This region of the hypothalamus is densely innervated by lateral tegmental noradrenergic neurones but also receives some locus coeruleus innervation (see Chapter 1, section 1.1.2.). Since evidence suggests that there could be functional differences between noradrenergic neurones projecting to the hypothalamus and cortex, the effects of sibutramine on extracellular noradrenaline accumulation in the hypothalamus were compared with its effects in the frontal cortex. In view of evidence that anaesthesia could influence the activity of noradrenergic neurones (Chapter 3), these studies used conscious, freely-moving rats so that any interference of drug-induced changes in extracellular noradrenaline concentration by anaesthesia could be ruled out.
4.2 Methods
4.2.1. Experimental design
Experiments were carried out in conscious, freely-moving rats. For details on procedures, refer to Chapter 2, section 2.2.1. Drugs were administered by the i.p. route.
To establish the dose-response curve for sibutramine, a range of doses of this drug (0.25 – 10 mg / kg) were tested following the collection of four basal samples. This dose-range of sibutramine was used in the previous chapter and showed that, over this dose-range, sibutramine has dose-dependent effects on extracellular noradrenaline accumulation. $d$-Amphetamine was tested at 10 mg / kg because findings from the previous chapter show that this dose caused a greater and more rapid increase in dialysate noradrenaline concentration than the equivalent dose of sibutramine in the frontal cortex of anaesthetised rats. Each rat was tested with only one dose of drug and samples were collected for a further 4 h.
4.2.2. Statistical analysis
Changes in the noradrenaline content of dialysis samples after drug injection were tested for statistical significance using ANOVA with repeated measures. Analysis was carried out with ‘time’ as the ‘within-subject’ factor. To compare the effects of sibutramine and $d$-amphetamine, ‘drug treatment’ was added as the ‘between-subjects’ factor.
4.3 Results
4.3.1. Effect of sibutramine or $d$-amphetamine on dialysate noradrenaline concentration from the frontal cortex.
The mean noradrenaline content of the basal samples was 23.1 ± 0.9 fmol/20 min (pooled data from all experiments carried out in the frontal cortex; n = 26). There was no change in dialysate noradrenaline concentration in rats injected with saline vehicle (Figure 4.1).
126.96.36.199. Sibutramine.
There was a gradual and sustained increase in dialysate noradrenaline concentration following administration of sibutramine at 0.25, 1 or 10 mg/kg (Figure 4.1).
The magnitude of the increase in noradrenaline induced by sibutramine was dose-dependent. A dose of 0.25 mg/kg sibutramine failed to increase dialysate noradrenaline concentrations significantly. However, sibutramine (1 or 10 mg/kg) induced a significant increase in noradrenaline concentration within 40 min post-injection (1 mg/kg: $F = 4.83$; d.f. 5,20; $P < 0.01$; 10 mg/kg: $F = 9.01$; d.f. 5,20; $P < 0.01$). The largest increase was induced by the largest dose (10 mg/kg: maximum of 462%, cf mean basal concentration) and occurred at 140 min post-injection. The maximum increase after 1 mg/kg sibutramine was 289% and occurred at 80 min post-injection. Both 1 and 10 mg/kg sibutramine induced a sustained increase in dialysate noradrenaline concentration, which was still maintained 4 h post-injection.
Figure 4.1: The effect of sibutramine (0.25, 1 or 10 mg / kg i.p.) on dialysate noradrenaline concentration in the frontal cortex.
Arrow represents drug administration. Data points expressed as mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; n = 4-6).
188.8.131.52. d-Amphetamine
d-Amphetamine (10 mg / kg) induced a rapid increase in dialysate noradrenaline concentration which was significant within 20 min post-injection ($F = 19.33$; d.f. 4,16; $P < 0.01$) (Figure 4.2). A maximum increase of 1035% was found at 40 min post-injection. Following this, dialysate noradrenaline concentration declined towards basal concentration. The increase in dialysate noradrenaline concentration induced by d-amphetamine was greater and more rapid than that induced by the same dose of sibutramine (main effect of drug: $F = 8.93$; d.f. 1,6; $P = 0.02$. Drug × time interaction; $F = 13.76$; d.f. 15,90; $P < 0.01$).
Figure 4.2: The effect of d-amphetamine (10 mg / kg i.p.) on dialysate noradrenaline concentration in the frontal cortex.
Arrow represents drug administration. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; n = 5).
4.3.2. Effects of sibutramine or d-amphetamine on dialysate noradrenaline concentration from the hypothalamus.
The mean noradrenaline content of the basal samples was 15.4 ± 0.7 fmol / 20 min (pooled data from all experiments carried out in the hypothalamus, n = 29). There was no change in dialysate noradrenaline concentration in rats injected with saline (Figure 4.3).
Figure 4.3: The effect of sibutramine (0.25, 1 or 10 mg / kg i.p.) on dialysate noradrenaline concentration in the hypothalamus.
Arrow represents drug administration. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min, n = 4-8).
184.108.40.206. Sibutramine
Dialysate noradrenaline concentration increased following administration of sibutramine at 0.25, 1 or 10 mg / kg (Figure 4.3)
The magnitude of the increase in noradrenaline concentration induced by sibutramine was dose-dependent. A dose of 0.25 mg / kg failed to significantly increase noradrenaline concentration. Sibutramine (1 and 10 mg / kg) increased dialysate noradrenaline within 20 min post-injection (1 mg / kg: $F = 15.76$, d.f. 4,24; $P < 0.01$; 10 mg / kg: $F = 11.62$; d.f. 4,28, $P < 0.01$). The largest increase was induced by the largest dose (10 mg / kg: maximum of 525%, c.f. mean basal concentration) and occurred 40 min post-injection. The maximum increase after 1 mg / kg sibutramine was 216% and occurred at 60 min post-injection.
Figure 4.4: The effect of d-amphetamine (10 mg / kg i.p.) on dialysate noradrenaline concentration in the hypothalamus.
Arrow represents drug administration. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; n = 5).
220.127.116.11. d-Amphetamine.
d-Amphetamine (10 mg / kg) induced a rapid increase in dialysate noradrenaline concentration which was significant within 20 min post-injection ($F = 9.12$; d.f. 4,16; $P < 0.01$ ) (Figure 4.4). A maximum increase in noradrenaline concentration of 1058% occurred at 40 min post-injection. The increase was greater than that induced by the same dose of sibutramine (main effect of drug: $F = 5.59$; d.f. 1,9; $P = 0.04$).
4.4 Discussion
Since noradrenergic transmission in the hypothalamus, and in particular the paraventricular nucleus, has been implicated in the control of feeding behaviour (Leibowitz, 1978; Wellman, 1992), this study investigated the actions of sibutramine in the hypothalamus. Furthermore, because evidence suggests functional differences between the noradrenergic neurones innervating the hypothalamus and the cortex (Fritschy et al. 1990), the effects of sibutramine on extracellular noradrenaline accumulation in the hypothalamus were compared with its effects in the frontal cortex.
4.4.1. The effects of sibutramine or $d$-amphetamine on extracellular noradrenaline concentration in the frontal cortex.
Consistent with the previous chapter, the present results show that sibutramine increased extracellular noradrenaline in the frontal cortex, with maximum concentrations being reached after at least 1 h post-injection and persisted for the duration of the experiment. There were no differences in the basal concentration of noradrenaline between freely-moving and halothane-anaesthetised rats. However, in the previous chapter using anaesthetised rats, the relationship between dose of sibutramine and magnitude of response was described by a bell-shaped curve, with a maximum increase in noradrenaline of 278% at 0.5 mg / kg. In the present investigation, the magnitude of effect of sibutramine paralleled the dose, with a maximum increase of 462% at 10 mg / kg. Thus, halothane-anaesthesia appears to shift the dose-response curve for sibutramine to the left and decreases the maximum accumulation of extracellular noradrenaline attainable following doses of sibutramine greater than 0.5 mg / kg.
The reason for the halothane-induced shift in sibutramine’s dose-response curve is unclear. At 0.5 mg / kg, sibutramine induced a similar maximal increase in extracellular noradrenaline concentration in halothane-anaesthetised (278%) to a dose of 1 mg / kg sibutramine in freely-moving rats (289%). This finding suggests that halothane-anaesthetised rats could have a higher release rate of noradrenaline in the frontal cortex compared with freely-moving rats, although this suggestion is not
supported by the finding that basal noradrenaline concentration did not differ between anaesthetised and conscious, freely-moving rats in this study. Nevertheless, as described in Chapter 3, a direct comparison of basal noradrenaline concentration between anaesthetised and freely-moving rats is not entirely satisfactory considering sample collection took place at different times following surgery.
Evidence suggests locus coeruleus neuronal firing is decreased under halothane-anaesthesia. Saunier et al. (1993) recorded the activity of locus coeruleus neurones under 1% halothane-anaesthesia and 30 min following halothane withdrawal. They found that under halothane-anaesthesia locus coeruleus neurones exhibited a slow, regular and spontaneous discharge that increased by 87% after the halothane was discontinued. On re-administration of halothane, the firing activity decreased again. The decrease in locus coeruleus neuronal firing rate by halothane could explain the decrease in the magnitude of sibutramine’s effects on extracellular noradrenaline concentration at high doses: a reduction in noradrenergic neuronal firing could lead to a reduction in noradrenaline release, which would make less noradrenaline available for accumulation in the extracellular fluid by sibutramine. A comparison of basal dialysate noradrenaline concentration at the same time following surgery in anaesthetised and freely-moving rats would test this proposal. If the reduction in locus coeruleus firing induced by halothane was found to decrease basal dialysate noradrenaline concentration, this would raise the question of how halothane-anaesthesia decreases noradrenergic neuronal firing?
As described in Chapter 3, evidence suggests that halothane interacts with $\alpha_2$-adrenoceptors, possibly causing an increase in their sensitivity to $\alpha_2$-adrenoceptor agonists (Saunier et al. 1993) report that the dose of clonidine required to inhibit locus coeruleus neuronal firing by 50% is decreased under halothane-anaesthesia, see section 3.4.2). It is possible that in both halothane-anaesthetised and freely-moving rats, sibutramine induces an increase in extracellular noradrenaline concentration in the region of the cell bodies, as well as in the terminal fields, the magnitude of which parallels dose. However, like the effects of clonidine in the study of Saunier et al. (1993) the increase in extracellular noradrenaline concentration in the region of the cell bodies could inhibit locus coeruleus firing, through activation of $\alpha_2$-adrenoceptors, to a greater extent in
halothane-anaesthetised rats than in freely-moving rats. In halothane-anaesthetised rats, the greater accumulation of extracellular noradrenaline concentration in the region of the cell bodies by doses of sibutramine greater than 0.5 mg / kg, could be sufficient to prevent the release of noradrenaline in the terminal fields. This would explain the reduced effects of high doses of sibutramine (> 0.5 mg / kg) on extracellular noradrenaline accumulation in the frontal cortex of halothane-anaesthetised rats.
According to the proposal above, the dose of sibutramine needed to induce an extracellular noradrenaline concentration sufficient to ‘turn-off’ locus coeruleus neuronal firing rate, through activation of $\alpha_2$-adrenoceptors, was greater in the present study using conscious, freely-moving rats, than in the previous study using halothane-anaesthetised rats. This proposal would predict that extracellular noradrenaline accumulation would begin to decrease in freely-moving rats at a particular dose of sibutramine greater than 10 mg / kg. However, Gundlah et al. (1997) found that the magnitude of sibutramine’s effects on 5-HT paralleled dose up to a dose as high as 30 mg / kg in conscious, freely-moving rats. Further experiments investigating the effects of higher doses of sibutramine on extracellular noradrenaline accumulation in the frontal cortex of freely-moving rats would establish whether halothane shifts the dose-response curve to the left. Whatever the effect of halothane on normal central noradrenergic function, it is clear from this study that experiments conducted in halothane-anaesthetised rats can provide misleading information concerning the effects of drugs acting on noradrenergic neurones.
The sustained increase in extracellular noradrenaline concentration induced by sibutramine in the frontal cortex of both anaesthetised and freely-moving rats is consistent with reports showing that systemic administration of the noradrenaline reuptake inhibitor, desipramine (DMI), caused an increase in extracellular noradrenaline in the cerebral cortex of freely-moving rats (Dennis et al. 1987). However, the increase in extracellular noradrenaline concentration induced by DMI reached a maximum (3-fold increase in basal noradrenaline concentration) 40 min after its administration. Following this, a stable, 2- to 2.5-fold increase in extracellular noradrenaline concentration was maintained for at least 5 h. The comparison of the findings of Dennis et al. (1987) with
the findings of this study suggest that the gradual increase in extracellular noradrenaline induced by sibutramine, which reaches a maximum concentration 80-140 min post-injection, may not be explained by an action of sibutramine on noradrenergic neurones, only.
The simultaneous rise in extracellular 5-HT concentration induced by sibutramine could affect the concurrent increase in extracellular noradrenaline concentration. Evidence suggests that locus coeruleus neurones are tonically inhibited by serotonergic neurones. Thus, McRae-Degueurce et al. (1985) reported that lesions of raphe nuclei (containing serotonergic cell bodies) or serotonergic terminals increased the activity of tyrosine hydroxylase (the rate-limiting enzyme involved in catecholamine synthesis) in the locus coeruleus. Furthermore, electrophysiological studies indicate that the firing rate of locus coeruleus neurones is enhanced in rats treated with the 5-HT synthesis inhibitor, p-chlorophenylalanine (Reader et al. 1986). It is possible that the increase in extracellular 5-HT induced by sibutramine increases the inhibitory serotonergic input onto locus coeruleus neurones. This effect is thought to be mediated through 5-HT\textsubscript{2} receptors, since systemic injection of the 5-HT\textsubscript{2} receptor antagonists, ritanserin or 2-(2-dimethylamino-2-methylpropylthio)-3-phenylquinolinehydrochloride (ICI 170,809) increases extracellular accumulation of noradrenaline in hippocampus of conscious, freely-moving rats (Done and Sharp, 1994). However, this suggestion is complicated by more recent findings that activation of postsynaptic 5-HT\textsubscript{1A} receptors with 5-HT\textsubscript{1A} agonists \textit{increases} extracellular noradrenaline concentration in the hippocampus, as well as the hypothalamus (Suzuki \textit{et al.} 1995; Hajós-Korcsok and Sharp, 1996). Although many studies suggest that the activity of central noradrenergic neurones are modulated by 5-HT, further studies are needed to establish whether the increase in extracellular 5-HT induced by a 5-HT and noradrenaline reuptake inhibitor, such as sibutramine, affects the rate and/or magnitude of the simultaneous increase in extracellular noradrenaline.
Also consistent with previous findings, $d$-amphetamine (10 mg / kg) increased extracellular noradrenaline concentration in the frontal cortex. This increase was greater and more rapid than that induced by the equivalent dose of sibutramine, supporting the hypothesis that $d$-amphetamine and sibutramine have noradrenaline-releasing and
noradrenaline-reuptake inhibiting properties, respectively. Although the latency to peak noradrenaline concentration following $d$-amphetamine was the same in both anaesthetised and conscious, freely-moving rats (40 min), the maximum noradrenaline concentration reached was greater in the latter (912% c.f. 549% above basal concentration). This finding tentatively supports the idea that impulse-dependent noradrenaline release contributes to the increase in extracellular noradrenaline induced by $d$-amphetamine (see Chapter 3, section 3.4). If central $\alpha_2$-adrenoceptors are more sensitive to increases in extracellular noradrenaline concentration in the presence of halothane-anaesthesia, noradrenaline released through impulse-independent mechanisms could decrease the impulse-dependent component of $d$-amphetamine’s effects to a greater extent than in freely-moving rats. Although studies show that locus coeruleus firing is almost completely inhibited in the presence of $d$-amphetamine at doses of 1-10 mg / kg. (Graham and Aghajanian, 1971; Ryan et al. 1985; Holdefer & Jensen 1987, see Chapter 3, section 3.4.) all these electrophysiological studies were carried out in anaesthetised rats. Thus, it cannot be ruled out that $d$-amphetamine’s effects on locus coeruleus neuronal firing in anaesthetised rats are different to its effects in conscious, freely-moving rats.
4.4.2. The effects of sibutramine and $d$-amphetamine on extracellular noradrenaline concentration in the hypothalamus.
In the hypothalamus of freely-moving rats, sibutramine increased extracellular noradrenaline in the hypothalamus at 1 and 10 mg / kg, the magnitude of which paralleled dose. However, unlike its action in the cortex, sibutramine induced a more rapid increase in extracellular noradrenaline in the hypothalamus, with a maximum effect occurring 40 min post-injection after a dose of 10 mg / kg. Following this, dialysate noradrenaline concentration gradually declined.
Functional differences between noradrenergic neurones terminating in these two brain areas have been reported before (Fritschy et al. 1990; Heal et al. 1993: see section 4.1). One possible explanation for the more rapid accumulation of extracellular noradrenaline in the hypothalamus, compared with in the cortex, could be a difference in
the pharmacological properties of the noradrenaline transporter site in these two brain areas. Previous studies show that the selective noradrenergic neurotoxin, DSP-4, causes a substantial loss of noradrenergic neurones in the cortex, but leaves hypothalamic noradrenergic neurones largely intact (Fritschy et al. 1990; Zaczek et al. 1990). The neurotoxic effects of DSP-4 are thought to depend on the uptake of the drug by the noradrenaline reuptake transporter complex on noradrenergic terminals, as the effects of DSP-4 are completely counteracted by co-administration of the noradrenaline reuptake inhibitor, desipramine (Jonsson et al. 1981). Studies have found that DSP-4 has a higher affinity for the noradrenaline transporter site in the cortex compared with the hypothalamus (Zaczek et al. 1990). This could explain why neurones in the cortex are more susceptible to the neurotoxic effects of DSP-4 than are neurones in the hypothalamus. Furthermore, Zaczek et al. (1990) found that noradrenaline itself, as well as the highly selective noradrenaline reuptake inhibitor, nisoxetine, displayed higher affinities for the noradrenaline transporter site in the cortex than in the hypothalamus.
Alternatively, the differential effects of DSP-4 could be due to fewer noradrenaline transporter sites per noradrenergic neurone in the hypothalamus compared with cortical regions. Limited transportation of DSP-4 into hypothalamic neurones could lead to insufficient DSP-4 accumulation within the neurone to cause long-term damage. Differences in the pharmacology and/or the number of noradrenaline transporter sites in these two brain regions could account for the differences in the rate of accumulation of extracellular noradrenaline in the cortex and hypothalamus following sibutramine administration.
The suggestions above provide possible explanations as to why the increase in extracellular noradrenaline concentration appears to be more rapid in the hypothalamus compared with the frontal cortex. However, these suggestions do not account for the decline in extracellular noradrenaline concentration in the hypothalamus 40 min post-injection of sibutramine. An explanation for this could lie in a difference in the function of terminals $\alpha_2$-adrenoceptors in the cortex and hypothalamus and/or a difference in the function of somatodendritic $\alpha_2$-adrenoceptors located on the cell bodies of lateral tegmental noradrenergic and locus coeruleus noradrenergic neurones.
The hypothalamus has a greater proportion of terminal $\alpha_2$-adrenoceptors than the cortex (Heal et al. 1993; see Chapter 5, section 5.4.4.); this could imply that noradrenergic neurones in the hypothalamus are subject to greater feedback-inhibition of release by these $\alpha_2$-adrenoceptors, than are neurones in the cortex. Nevertheless, a greater level of control over noradrenaline release in the hypothalamus would be expected to restrict the accumulation of extracellular noradrenaline to a particular magnitude: it is difficult to visualise how this would explain the decline in extracellular noradrenaline concentration 40 min following sibutramine administration.
Electrophysiological studies in anaesthetised rats show that the firing rate of locus coeruleus, as well as lateral tegmental neurones, is inhibited by activation of $\alpha_2$-adrenoceptors (see Chapter 1, section 1.4.3.). However, whereas the $\alpha_2$-adrenoceptors mediating these effects on locus coeruleus appear to be located on the cell bodies (Svensson et al. 1975), evidence suggests that the $\alpha_2$-adrenoceptors mediating these effects on A1 noradrenergic neurones are not. Kaba et al. (1986) showed that systemic administration of clonidine dose-dependently inhibited the firing rate of cells in the A1 noradrenergic region that were antidromically stimulated from the medial forebrain bundle. However, whereas microiontophoretic application of noradrenaline inhibited the firing of neurones in the A1 noradrenergic region, microiontophoretic application of clonidine did not. This finding contrasted with similar experiments carried out in the locus coeruleus (Svensson et al. 1975) and suggested that systemic administration of clonidine did not act directly on these neurones to inhibit their firing. The lack of effect of microiontophoretically applied clonidine on A1 noradrenergic neuronal firing may be attributed to an effect of the anaesthesia. However, the finding of Kaba et al. (1986) are consistent with studies showing that the density of $\alpha_2$-adrenoceptors labelled with the $\alpha_2$-adrenoceptor agonist, $[^{3}H]p$-amino-clonidine, was greater in the region of the locus coeruleus compared with the region of A1 noradrenergic neurones (Young and Kuhar, 1980).
Support for the suggestion above came from further experiments in the study of Kaba et al. (1986) showing that microiontophoretic application of the $\alpha_2$-adrenoceptor
antagonists, phentolamine and piperoxane did not block the inhibitory effect of noradrenaline. Instead, the inhibitory effect of noradrenaline on A1 noradrenergic neuronal firing was inhibited by microiontophoretic application of the β-adrenoceptor antagonist, timolol. This suggested that the firing rate of these neurones could be regulated by β-adrenoceptors in the region of their cell bodies, as well as α₂-adrenoceptors in a location outside of this region.
This proposal could go some way to explaining the decline in extracellular noradrenaline accumulation in the hypothalamus 40 min following sibutramine administration. It is possible that the sibutramine-induced increase in extracellular noradrenaline in the region of noradrenergic neuronal cell bodies affects the firing rate of A1 neurones to a greater extent than neurones of the locus coeruleus. The initial increase in extracellular noradrenaline concentration induced by sibutramine could activate β-adrenoceptors in the region of the cell bodies of A1 noradrenergic neurones and directly inhibit their firing to a certain extent. Then, as the concentration of extracellular noradrenaline increases, α₂-adrenoceptors outside of the region of the cell bodies are activated and inhibit (indirectly) the firing activity of A1 noradrenergic neurones further. This greater inhibition of neuronal firing of A1 noradrenergic neurones would withdraw at least a part of the noradrenergic input into the paraventricular nucleus, as well as the surrounding areas: this could account for the decline in extracellular noradrenaline accumulation in this region 40 min following sibutramine administration.
Nevertheless, a proposal such as the one described above is still not satisfactory for explaining the persistence of the decline in extracellular noradrenaline accumulation in the hypothalamus 40 min following sibutramine administration. If the firing rate of noradrenergic neurones innervating the hypothalamus is inhibited by the increase in extracellular noradrenaline induced by sibutramine, why do they not recover when the concentration of extracellular noradrenaline is reduced (e.g. 60 min post-injection of sibutramine, see Figure 4.3.) and subsequently allow further release of noradrenaline? (i.e. why is there no oscillation of extracellular noradrenaline concentration, which reflects the inhibition and recovery of the noradrenergic neurones innervating the hypothalamus?). The possibility that the reuptake inhibiting properties of sibutramine’s metabolites have worn off is highly unlikely since studies in the frontal cortex show that
sibutramine promotes extracellular noradrenaline accumulation in this area for up to 4 h. However, it is possible that noradrenaline release is oscillating in the hypothalamus but that this effect is not detectable using *in vivo* microdialysis. A major limitation of this technique is the low time resolution of events. This is due to the collection of samples at 20 min intervals in order to obtain a sufficient concentration of noradrenaline for detection by HPLC-ECD.
Perhaps noradrenergic neurones innervating the hypothalamus take a long time to recover following an increase in extracellular noradrenaline concentration and the subsequent inhibition of firing. Electrophysiological studies investigating the effects of sibutramine and its metabolites on noradrenergic neuronal firing of lateral tegmental as well as locus coeruleus neurones would shed light on this matter. In addition, electrophysiological studies comparing the effects of sibutramine’s metabolites with a selective noradrenaline reuptake inhibitor, such as nisoxetine, on the firing activity of lateral tegmental and locus coeruleus neurones would be useful. Such studies would indicate if / how the simultaneous rise in extracellular 5-HT induced by sibutramine effects the magnitude and /or time-courses of the increase in extracellular noradrenaline concentration in the cortex and hypothalamus. Ideally, these experiments would be carried out in conscious, freely-moving rats.
The time-courses for the increase in extracellular noradrenaline induced by 1 and 10 mg / kg sibutramine are comparable with ED$_{50}$ values for the inhibition of food-intake following a single dose of this drug (ED$_{50}$ values: 0.6, 2.0 & 3.7 mg / kg i.p. at 1, 2 and 4 h post-injection, respectively, ‘in house’ data, Knoll Pharmaceuticals). These findings are both in agreement and at variance with existing literature. Firstly, they are consistent with *in vitro* evidence that the active metabolites of this drug are potent inhibitors of noradrenaline uptake (Cheetham *et al.* 1996). Nevertheless, the finding that sibutramine increases noradrenaline in the region of the paraventricular nucleus is at variance with a long-standing proposal that enhancing noradrenergic activity in this hypothalamic region increases feeding behaviour (Matthews *et al.* 1978; Leibowitz, 1978). The increase in feeding behaviour induced by injection of noradrenaline into the paraventricular nucleus is mediated by noradrenergic activation of postsynaptic $\alpha_2$-adrenoceptors (Goldman *et al.*
This raises the question of why does exogenous noradrenaline injected into the paraventricular nucleus mediate an increase in feeding behaviour whilst sibutramine induced an increase in extracellular noradrenaline in this region but causes a decrease in food intake? Other studies show that injection of $\alpha_1$-adrenoceptor agonists into the PVN reliably and dose-dependently suppresses feeding behaviour in rats (Wellman, 1992). Therefore, it is possible that the anti-obesity effects induced by sibutramine involve noradrenergic activation of $\alpha_1$-adrenoceptors in the PVN. Indeed, Jackson et al. (1997a) found the hypophagic response to systemic sibutramine in rats is fully reversed by coadministration of the $\alpha_1$-adrenoceptor antagonist, prazosin, but is unaltered by coadministration of the $\alpha_2$-adrenoceptor antagonist, RX821002.
One limitation of experiments involving the local administration of exogenous noradrenaline or clonidine is that the injected drug is likely to reach receptor sites in addition to those at noradrenergic synapses. These extrasynaptic sites could contain $\alpha_2$-heteroreceptors on the membranes of other neurones and their activation by noradrenaline or clonidine could modulate their activity. For example, local administration of noradrenaline or clonidine could activate $\alpha_2$-heteroreceptors on the terminals of serotonergic neurones and decrease 5-HT release (Saito et al. 1996). Given the inhibitory role of 5-HT on food intake, it is possible that such an inhibition of 5-HT release could account for the increase in food intake following local administration of noradrenaline or clonidine into the paraventricular nucleus.
The purpose of experiments involving the injection of substances into discrete areas of the brain is to investigate the function of a specific neurotransmitter or its various receptors in that area. A further limitation of experiments such as these is that the findings cannot be extrapolated to the whole animal unless similar findings are found following systemic administration of the substance. Systemic administration of low doses of clonidine does increase food intake in rats (Sanger, 1983) which supports the findings of studies involving the injection of clonidine into the paraventricular nucleus. Furthermore, systemic administration of the $\alpha_1$-adrenoceptor agonist, cirazoline, in rats dose-dependently suppresses food intake (Davies and Wellman, 1992) which supports the findings of studies involving the injection of $\alpha_1$-adrenoceptor agonists into the
paraventricular nucleus. Nevertheless, the selective noradrenaline reuptake inhibitor, nisoxetine, which presumably increases the concentration of noradrenaline in noradrenergic synapses of the paraventricular nucleus, does not affect food intake in rats (Jackson et al. 1997b). Perhaps the simultaneous activation of both $\alpha_1$- and $\alpha_2$-adrenoceptors by the increase in synaptic noradrenaline concentration cancels out any effect on food intake.
Of further note is that the increase in food intake induced by intrahypothalamic injection of clonidine in satiated rats is only small compared with the increase in food intake induced by other substances that have more recently been found to increase food intake, such as neuropeptide Y (NPY). For example, satiated rats injected with clonidine (20 nmol) into the paraventricular nucleus eat approximately 6 g of food over the following 2 h, whereas satiated control rats eat approximately 0.5 g of food (Goldman et al. 1985). Although this is a marked increase in food intake, it is relatively small compared to the 12.5 g of food eaten by satiated rats only 1 h following injection with NPY (78 pmol) into the perifornical hypothalamus at the level of the caudal paraventricular nucleus (Stanley et al. 1993). Furthermore, unlike $\alpha_2$-adrenoceptor antagonists, recent studies showed that i.c.v. administration of the NYP receptor antagonist, 1229U91 (a nonapeptide dimer) alone, inhibited spontaneous food intake in rats (Ishihara et al. 1998). However, the subtype of NPY receptor involved in the effects of 1229U91 on food intake in this study was not clear. The less potent action of clonidine on food intake compared with NPY supports the findings of the present study, which suggest that postsynaptic $\alpha_2$-adrenoceptors in the hypothalamus are unlikely to be involved in the physiological control of food intake. Furthermore, the decrease in food intake induced by sibutramine is not affected by RX821002, suggesting that these receptors are not involved in the this drug’s anti-obesity actions (see section 4.4.3. below).
$d$-Amphetamine (10 mg / kg) increased extracellular noradrenaline concentration in the hypothalamus and, as with sibutramine, this finding is inconsistent with reports that increasing noradrenergic activity in this region increases feeding behaviour. $d$-Amphetamine also increased the extracellular concentration of dopamine in the
striatum and nucleus accumbens and this has been correlated with an increase in stereotypical behaviour and locomotor activity in rats (Sharp et al. 1987). Studies show that it is probably these stimulant effects of $d$-amphetamine that cause its anti-obesity effects (Halford et al. 1995: see Chapter 3, section 3.1.). Although central noradrenergic activity has shown to be important for $d$-amphetamine’s anti-obesity effects (Samanin et al. 1977: see Chapter 1, section 1.3.2.) it is possible that the increased noradrenergic activity is involved in the behavioural arousal, which leads to the decrease in food-intake, rather than being directly involved in this effect (see Chapter 3, section 3.1.).
4.4.3. The role of noradrenaline in mediating sibutramine’s anti-obesity effects.
The time-courses for the increases in extracellular noradrenaline and 5-HT induced by sibutramine in the hypothalamus are consistent with findings from feeding studies investigating the involvement of noradrenergic and serotonergic receptors in mediating this drug’s effects. Jackson et al. (1997a) found that the hypophagic effect of sibutramine in rats was completely antagonised by systemic administration of the $\alpha_1$-adrenoceptor agonist, prazosin, at 2, 4, and 8 h post-sibutramine administration. Blockade of $\beta_1$-adrenoceptors with metoprolol induced a partial reversal at 2, 4 and 8 h post-sibutramine administration. Blockade of 5-HT$_{2A/2C}$ or 5-HT$_{2B/2C}$ receptors with ritanserin or N-(1[2,3-dihydro-(7-methyl-1H-inden-4-yl)oxy]-3[(1-methylethyl) amino]-2-butanol hydrochloride (SB200646) respectively, or with the non-selective 5-HT receptor antagonist, metergoline, also partially reversed the hypophagic effects of the sibutramine. However, this partial reversal was not observed until 8 h post-sibutramine administration. Grignaschi et al. (1999) also found no effect of systemic administration of metergoline, or ritanserin on the hypophagic effects of sibutramine in rats in the 2 h period following sibutramine administration. The 5-HT$_{1B/1D}$ receptor antagonist, N-[4-methoxy-3-(4-methyl-1-piperazinyl)phenyl]-2’-methyl-4’ (5-methyl-1,2,4-oxadiazol-3-yl)[1,1-biphenyl]4-carboxamide hydrochloride (GR127935) was also without effect. However these authors did report a small reduction in sibutamine’s effects when combined with the 5-HT$_{2B/2C}$ receptor antagonist, 5-methyl-1-(3-pyridylcarbamoyl)-
1,2,3,5-tetrahydopyrrolo [2,3-f]indole (SB206553).
The findings of both Jackson *et al.* (1997a) and Grignashi *et al.* (1999) led the authors to suggest that noradrenaline plays a prominent role in sibutramine-induced hypophagia in the first few hours following drug administration. Again, this questions the physiological role of hypothalamic $\alpha_2$-adrenoceptors in the control of food intake. Jackson *et al.* (1997a) suggested that, considering the hypophagic effects of sibutramine are completely reversed by prazosin, the $\alpha_1$-adrenoceptors involved in this effect are located down-stream of the 5-HT and $\beta_1$-adrenoceptors which appear to only partially mediate sibutramine’s hypophagic effects. Thus, the increase in extracellular noradrenaline could activate $\beta$-adrenoceptors in the lateral hypothalamus to inhibit food intake (see Chapter 1, section 1.2.1.) whilst the increase in extracellular 5-HT activates 5-HT receptors in the medial hypothalamus to decrease food intake (see Chapter 1, section 1.2.2.). It is possible that both these systems send signals to a common downstream pathway to inhibit food intake and that the receptor in this pathway that receives the signals from the $\beta$-adrenergic and serotonergic systems is the $\alpha_1$-adrenoceptor. Whether this suggestion can be supported with further evidence remains to be elucidated.
Although the increase in extracellular noradrenaline induced by sibutramine and $d$-amphetamine in the region of the paraventricular nucleus is difficult to reconcile with evidence that injection of noradrenaline into this area stimulates food intake, this effect is consistent with a role for hypothalamic noradrenaline in the regulation of BAT thermogenesis. Sahakian *et al.* (1983) showed that depletion of hypothalamic noradrenaline induced a reduction in brown adipose tissue activity in rats (see section 4.1.). Thus, it could be possible that the sibutramine- or $d$-amphetamine-induced increase in noradrenergic transmission in the hypothalamus enhances BAT thermogenesis. This suggestion is consistent with the increase in BAT thermogenesis induced by sibutramine and amphetamine (Stock, 1997; Wellman, 1983, respectively).
4.4.4. Conclusion.
Sibutramine and $d$-amphetamine increased the concentration of extracellular noradrenaline in the frontal cortex of conscious, freely-moving rats. The time-courses of the increases in extracellular noradrenaline concentration are consistent with the noradrenaline-reuptake inhibiting and noradrenaline-releasing properties of sibutramine and $d$-amphetamine, respectively. However, this study revealed both quantitative and qualitative differences in the effects of sibutramine on cortical extracellular noradrenaline accumulation in freely-moving rats compared with halothane-anaesthetised rats. This highlights how the effects of anaesthesia should be borne in mind when investigating the pharmacology of centrally acting agents. Sibutramine and $d$-amphetamine also increased the concentration of extracellular noradrenaline in the hypothalamus of conscious, freely-moving rats. However, the increase in extracellular noradrenaline induced by sibutramine in the hypothalamus is more rapid and shorter-lived than in the cortex. The reason why the increase in extracellular noradrenaline concentration in the hypothalamus declines 40 min following sibutramine administration is unclear. However, the difference responses to sibutramine in the cortex and hypothalamus could be due to functional differences between the noradrenergic neurones innervating these brain regions.
Chapter 5
Effect of $\alpha_2$-adrenoceptor blockade on sibutramine-induced increases in extracellular noradrenaline concentration in the frontal cortex and hypothalamus of conscious, freely-moving rats.
5.1 Introduction
Chapter 3 described how blockade of $\alpha_2$-adrenoceptors enhanced the sibutramine-induced increase in extracellular noradrenaline concentration in the frontal cortex of anaesthetised rats. This strongly suggests that activation of somatodendritic and / or terminal $\alpha_2$-adrenoceptors, by the increased extracellular noradrenaline concentration, decreases locus coeruleus neuronal firing and / or exocytotic noradrenaline release, respectively (see Chapter 1, section 1.4.3.). Sibutramine also increased the extracellular concentration of noradrenaline in the hypothalamus (Chapter 4). A question arising is whether noradrenergic neurones innervating the hypothalamus are subject to the same $\alpha_2$-adrenoceptor-mediated inhibition of neuronal activity, after the administration of sibutramine, as are noradrenergic neurones innervating the cortex.
There have been fewer studies of the effects of drugs on extracellular noradrenaline concentration in the hypothalamus *in vivo* compared with areas innervated
exclusively by locus coeruleus neurones. However, there is evidence to suggest that extracellular noradrenaline concentration in the hypothalamus is affected by $\alpha_2$-adrenoceptor activation or blockade. *In vivo* microdialysis studies showed that extracellular noradrenaline concentration in the medial hypothalamus of anaesthetised rats is decreased to approximately 20% of basal values by systemic clonidine administration (Itoh *et al.* 1990). In contrast, systemic administration of the $\alpha_2$-adrenoceptor antagonists, yohimbine or atipamezole, increased extracellular noradrenaline accumulation by 64% and 125% above basal values, respectively, in the medial hypothalamus of anaesthetised rats (Itoh *et al.* 1990; Laitinen *et al.* 1995). Similarly, systemic administration of the $\alpha_2$-adrenoceptor antagonist, idazoxan, increases extracellular noradrenaline accumulation by 229% above basal values in the posterior hypothalamus of anaesthetised rats (Routledge and Marsden, 1987). These findings suggest that somatodendritic and / or terminal $\alpha_2$-adrenoceptors are capable of modulating neuronal firing and exocytotic noradrenaline release in the hypothalamus of anaesthetised rats.
Few studies have investigated the effects of local administration of the $\alpha_2$-adrenoceptor antagonists on extracellular noradrenaline concentration in the hypothalamus. One study showed a trend for extracellular noradrenaline concentration to increase during local perfusion of the selective $\alpha_2$-adrenoceptor antagonist, atipamezole, through a microdialysis probe implanted in the medial hypothalamus (Laitinen *et al.* 1995). However, the authors reported that, in chloral hydrate anaesthetised rats, the increase in extracellular noradrenaline induced by atipamezole was not significant compared with basal values, because of considerable individual differences in the rats' response.
All the studies described above have been carried out in anaesthetised rats. Therefore, it cannot be assumed that these findings generalise to conscious, freely-moving rats. Furthermore, although $\alpha_2$-adrenoceptors have been found to regulate extracellular noradrenaline concentration in the cortex of conscious, freely-moving rats, it cannot be assumed that these findings generalise to the hypothalamus since, unlike the cortex, this area is innervated by both noradrenergic systems.
Since there have been no previous microdialysis studies comparing the function of $\alpha_2$-adrenoceptors in the frontal cortex and hypothalamus, the principle aim of this study was to investigate the effect of $\alpha_2$-adrenoceptor blockade on noradrenergic neuronal activity in these two brain areas. This involved comparing the effects of $\alpha_2$-adrenoceptor blockade on basal, as well as sibutramine-induced increases in extracellular noradrenaline concentration in the frontal cortex and hypothalamus. Two approaches were taken in this investigation. Firstly, the effects of systemic administration of an $\alpha_2$-adrenoceptor antagonist on basal and sibutramine-induced increases in extracellular noradrenaline concentration were compared in rat frontal cortex and hypothalamus. Secondly, to investigate the function of terminal $\alpha_2$-adrenoceptors alone, the effects of local administration of an $\alpha_2$-adrenoceptor antagonist into the frontal cortex or hypothalamus on basal and sibutramine-induced increases in extracellular noradrenaline concentration were compared. The study was carried out in conscious, freely-moving rats so that any effect of anaesthesia on central noradrenergic activity could be ruled out.
The $\alpha_2$-adrenoceptor antagonists chosen for this study were the highly selective antagonists, RX821002 (see Chapter 3, section 3.1.) and atipamezole. Atipamezole is an imidazole derivative and is reported to have an $\alpha_2 / \alpha_1$-adrenoceptor selectivity ratio of 8526 in rat brain membranes (Virtanen et al. 1989). A further reason for the choice of atipamezole is that this $\alpha_2$-adrenoceptor antagonist binds to all $\alpha_2$-adrenoceptor subtypes, even at low doses (Haapalinna et al. 1997).
5.2 Methods
5.2.1. Experimental design
Experiments were carried out in conscious, freely-moving rats. For details on procedures, refer to Chapter 2, section 2.2.1. Pretreatment of rats with an $\alpha_2$-adrenoceptor antagonist or saline was carried out using i.p. administration. Local administration of RX821002 into the cortex or hypothalamus was carried out using reverse dialysis. In both experiments sibutramine was administered using the i.p. route.
In the first series of experiments, rats were divided into 3 groups. After the collection of 4 basal samples, one group of rats received 3 mg / kg of the selective $\alpha_2$-adrenoceptor antagonist, RX821002, and 2 h later received sibutramine (10 mg / kg) or saline. RX821002 was administered at 3 mg / kg based on findings from Chapter 1 showing that this drug effectively blocks presynaptic $\alpha_2$-adrenoceptors at this dose. A second group of rats received 1 mg / kg of the selective $\alpha_2$-antagonist, atipamezole, following the collection of 4 samples and 2 h later received sibutramine (10 mg / kg). Atipamezole was administered at 1 mg / kg because this induced an increase in basal dialysate noradrenaline concentration that was comparable with that caused by 3 mg / kg RX821002. A third group of rats received saline following collection of 4 basal samples and 2 h later received sibutramine (10 mg / kg). In all groups of rats, samples were collected for 3 h following the second injection. A time period of 2 h was left between each injection to allow a clear discrimination of the increase in extracellular noradrenaline concentration induced by each drug administration.
A second series of experiments examined the effects of local administration of RX821002 into the frontal cortex or hypothalamus on the increases in extracellular noradrenaline concentration induced by 10 mg / kg sibutramine. Following the collection of 4 basal samples, rats were injected with either sibutramine (10 mg / kg) or saline and, 80 min later, RX821002 was administered via the dialysis probe at a concentration of 1 $\mu$M. A time period of 80 min was left between the injection of sibutramine and the administration of RX821002 to allow a clear discrimination of the initial increase in
extracellular noradrenaline induced by sibutramine and the enhanced increase induced by $\alpha_2$-adrenoceptor blockade.
5.2.2. Statistical analysis
Changes in the noradrenaline content of dialysis samples after drug injection were tested for statistical significance using ANOVA with repeated measures. Analysis was carried out with ‘time’ as the within-subject factor. To compare the effects of $\alpha_2$-adrenoceptor antagonist-pretreatment with saline-pretreatment or the effects of local administration of RX821002 with drug-free aCSF, ‘drug treatment’ was added as the ‘between-subjects’ factor. To assess RX821002-induced changes in the latency to reach peak dialysate noradrenaline concentration, the mean latency to reach the peak drug effect for individual rats was determined and one-way ANOVA used to compare the effects of different treatment groups.
5.3. Results
5.3.1. Effects of systemic administration of RX821002 or atipamezole on sibutramine-induced increases in dialysate noradrenaline concentration.
18.104.22.168. Frontal cortex.
The mean noradrenaline content of the basal samples from the frontal cortex was 30.1 ± 8.55 fmol / 20 min (pooled data from all experiments in this section; n = 19). RX821002 (3 mg / kg) induced an approximately 1.7-fold increase in dialysate noradrenaline concentration (Figure 5.1). The increase in noradrenaline concentration was greater than that induced by saline injection (effect of treatment: $F = 25.3$; d.f. 1,8; $P < 0.01$).
At 120 min following the injection of RX821002, when dialysate noradrenaline concentration had become stable again, an i.p. injection of saline had no further effect on dialysate noradrenaline concentration (Figure 5.1.). However, an i.p. injection of sibutramine at this point (10 mg / kg), caused a rapid increase in dialysate noradrenaline concentration. The increase was statistically significant at 20 min ($F = 9.78$; d.f. 3,15; $P = 0.01$) and reached a maximum of 1014% (c.f. mean basal concentration) within 40 min. Following this, dialysate noradrenaline concentration decreased to a plateau representing an approximately 4.5-fold increase in noradrenaline (c.f. mean basal concentration). In contrast, when sibutramine (10 mg / kg) was administered 120 min after an i.p. injection of saline, there was a gradual increase in dialysate noradrenaline concentration and the maximum (320%) was not reached until 120 min post-injection (Figure 5.1.). At all times following the injection of sibutramine, dialysate noradrenaline concentrations in RX821002-pretreated rats were significantly greater than in saline-pretreated rats (last hour: $F = 7.95$; d.f. 1,7; $P = 0.03$). Furthermore, the latency to reach maximum noradrenaline concentration was less in rats pretreated with RX821002 than with saline ($F = 10.67$; d.f. 1, 6; $P = 0.02$).
Figure 5.1: The effect of sibutramine (10 mg / kg i.p.) on the concentration of noradrenaline in dialysate samples from the cortex of rats pretreated with either RX821002 (3 mg / kg i.p.) or atipamezole (1 mg / kg i.p.).
Arrow 1 represents systemic administration of RX821002, atipamezole or saline. Arrow 2 represents systemic administration of sibutramine or saline. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; n = 4-6).
Atipamezole (1 mg / kg) induced an increase in dialysate noradrenaline concentration that was similar in magnitude and time-course to that seen with RX821002 (3 mg / kg) (Figure 5.1.). An injection of sibutramine (10 mg / kg), 2 h after atipamezole, also induced a increase in dialysate noradrenaline concentration similar to that seen in rats pretreated with 3 mg / kg RX821002 (effect of pretreatment: $F = 0.27$; d.f. 1,4; $P = 0.63$) (Figure 5.1.).
22.214.171.124. Hypothalamus
The mean noradrenaline content of the basal samples from the hypothalamus was $18.9 \pm 0.9$ fmol / 20 min (pooled data from all experiments in this section; $n = 21$). RX821002 (3 mg / kg) induced an approximately 2-fold increase in dialysate noradrenaline concentration (Figure 5.2.). This increase in noradrenaline was greater than the increase induced by saline injection ($F = 25.45$; d.f. 1,8; $P < 0.01$).
At 120 min following the injection of RX821002, when dialysate noradrenaline concentration had become stable again, an i.p. injection of saline did not significantly affect dialysate noradrenaline concentration (Figure 5.2.). In contrast, an i.p. injection of sibutramine at this point caused a rapid increase in dialysate noradrenaline concentration, which reached a maximum of 995% (c.f. mean basal concentration) at 20 min ($F = 44.67$; d.f. 3,6; $P < 0.01$). Following this, dialysate noradrenaline concentration declined steadily to an approximately 3-fold increase in noradrenaline (c.f. mean basal concentration), 80 min later. Sibutramine (10 mg / kg) administered 120 min after an i.p. injection of saline, induced a maximum increase in noradrenaline concentration of approximately 300% at 40 min post-injection ($F = 11.79$; d.f. 4,20; $P < 0.01$). Although this was a smaller initial increase in noradrenaline compared with that induced by sibutramine in RX821002-pretreated rats ($F = 114.10$; d.f. 1,7; $P < 0.01$), there was no difference in noradrenaline concentration between the two treatment groups 2 h after sibutramine injection. There was also no difference in the latency to reach maximum noradrenaline concentration in rats pretreated with RX821002 or saline.
Atipamezole (1 mg / kg) induced an approximately 3-fold increase in dialysate noradrenaline concentration (Figure 5.2.). An injection of sibutramine 2 h after atipamezole induced an increase in dialysate noradrenaline similar to that observed in rats pretreated with 3 mg / kg RX821002 ($F = 0.34$; d.f. 1,5; $P = 0.59$) (Figure 5.2.).
Figure 5.2: The effect of sibutramine (10 mg / kg i.p.) on the concentration of noradrenaline in dialysate samples from the hypothalamus of rats pretreated with either RX821002 (3 mg / kg i.p.) or atipamezole (1 mg / kg i.p.).
Arrow 1 represents systemic administration of RX821002, atipamezole or saline. Arrow 2 represents systemic administration of sibutramine or saline. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; n = 5-6).
5.3.2. Effects of local administration of RX821002 on sibutramine-induced increases in dialysate noradrenaline concentration.
126.96.36.199. Frontal cortex.
The mean noradrenaline content of the basal samples from the frontal cortex was $22.7 \pm 0.8$ fmol / 20 min (pooled data from all experiments in this section: n = 22).
Administration of RX821002 (1 µM) via the probe, 80 min after saline injection (2 ml/ kg), increased basal noradrenaline concentration by approximately 2-fold compared with that of rats infused with drug-free aCSF ($F = 22.23$; d.f. 1,9; $P < 0.01$) (Figure 5.3.). RX821002 administered 80 min after sibutramine (10 mg / kg), also increased dialysate noradrenaline concentration compared with rats infused with drug-free aCSF ($F = 6.87$; d.f. 1,7; $P = 0.03$) (Figure 5.3.). Within 80 min of the start of RX821002 infusion, the increase in noradrenaline concentration caused by sibutramine was approximately 1.5-fold greater than the dialysate noradrenaline concentration induced by sibutramine alone.
188.8.131.52. Hypothalamus.
The mean noradrenaline content of the basal samples from the hypothalamus was $12.3 \pm 0.6$ fmol / 20 min (pooled data from all experiments in this section: n = 23).
Administration of RX821002 (1 µM) via the probe 80 min after saline (2 ml / kg), increased basal noradrenaline concentration by approximately 2-fold compared with samples from rats infused with drug-free aCSF ($F = 10.11$; d.f.1,5; $P = 0.03$) (Figure 5.4.). RX821002 administered via the probe 80 min after sibutramine (10 mg / kg), also increased dialysate noradrenaline concentration compared with rats infused with drug-free aCSF ($F = 6.90$; d.f 1,6; $P = 0.04$) (Figure 5.4.). Within 80 min of the start of the RX821002 infusion, and for the rest of the experiment, the increase in noradrenaline concentration caused by sibutramine was approximately 3-fold greater than the increase induced by sibutramine alone.
Figure 5.3: The effect of local administration of RX821002 (1 µM) on basal and sibutramine-induced (10 mg / kg i.p.) increases in dialysate noradrenaline concentration from the frontal cortex.
Arrow represents systemic administration of sibutramine or saline. Bar indicates the period of RX821002 perfusion via the dialysis probe. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; n = 5-6).
Figure 5.4: The effect of local administration of RX821002 (1 µM) on basal and sibutramine-induced (10 mg / kg i.p.) increases in dialysate noradrenaline concentration from the hypothalamus.
Arrow represents systemic administration of sibutramine or saline. Bar indicates the period of RX821002 perfusion via the dialysis probe. Data points represent mean ± s.e. mean dialysate noradrenaline concentration (fmol / 20 min; n = 5-6).
5.4. Discussion
In order to investigate the contribution of $\alpha_2$-adrenoceptors to the control of noradrenaline release in the hypothalamus, this study investigated the effects of $\alpha_2$-adrenoceptor blockade on noradrenergic function in this brain area. Since studies indicate that cortical regions and hypothalamus differ with respect to their terminal $\alpha_2$-adrenoceptor density (Heal et al. 1993), this study also compared the effects of $\alpha_2$-adrenoceptor blockade on noradrenergic function in the hypothalamus with the frontal cortex.
5.4.1. Effect of systemic or local perfusion of RX821002 on basal extracellular noradrenaline concentration.
Systemic administration of RX821002 increased resting concentrations of extracellular noradrenaline in the cortex by approximately 2-fold. Similarly, local administration of RX821002 into the cortex approximately doubled basal noradrenaline concentrations. These findings support the suggestion put forward in Chapter 3 (section 3.4.) that halothane-anaesthesia affects central $\alpha_2$-adrenoceptor function and accounts for the lack of effect of systemic RX821002 administration on basal extracellular noradrenaline in rats under this anaesthetic.
The results of the present study in the frontal cortex of freely-moving rats are consistent with Gobert et al. (1997). These authors report an increase in extracellular noradrenaline concentration of 180% above basal values in the frontal cortex of freely-moving rats following systemic administration of atipamezole (0.16 mg / kg s.c.). Dennis et al. (1987) report a 200% increase in extracellular noradrenaline concentration in the cerebral cortex following systemic administration of the less selective $\alpha_2$-adrenoceptor antagonist, idazoxan into freely-moving rats. Mateo et al. (1998) infused 1 $\mu$M RX821002 into the locus coeruleus of freely-moving rats using reverse dialysis and found a 30% increase in extracellular noradrenaline concentration in the cingulate cortex. This finding supports electrophysiological evidence that activation of $\alpha_2$-adrenoceptors on the cell bodies of locus coeruleus neurones regulates the neuronal firing rate (see
Chapter 1, section 1.4.3.) and suggests that this contributes to the control of noradrenaline release in the terminal fields.
Similarly, Dennis *et al.* (1987) reported an approximately 2-fold increase in extracellular noradrenaline concentration in the cerebral cortex of freely-moving rats following infusion of a relatively high concentration of idazoxan ($10^{-4}$ M). Dalley and Stanford (1995) infused 0.5 $\mu$M atipamezole into the frontal cortex of anaesthetised rats using reverse dialysis and found an increase in extracellular noradrenaline concentration in the frontal cortex of approximately 100% above basal concentration. The findings of the present study, using a highly selective $\alpha_2$-adrenoceptor antagonist in conscious, freely-moving rats, support the proposal that terminal $\alpha_2$-adrenoceptors also contribute to the regulation of extracellular noradrenaline release under resting conditions.
As in the frontal cortex, systemic administration of RX821002 (3 mg / kg) increased resting concentrations of extracellular noradrenaline in the hypothalamus approximately 2-fold. This finding strongly suggests that $\alpha_2$-adrenoceptors also regulate basal extracellular noradrenaline concentration in the hypothalamus of conscious, freely-moving rats. Electrophysiological evidence from anaesthetised rats shows that activation of $\alpha_2$-adrenoceptors inhibits the firing rate of both locus coeruleus and lateral tegmental (see Chapter 1, section 1.4.3.). Considering the effect of anaesthesia on noradrenergic neuronal function, it cannot be assumed that the findings of these electrophysiological studies also apply to conscious, freely-moving rats. Nevertheless, it is possible that the increase in extracellular noradrenaline concentration in the hypothalamus induced by RX821002 results from changes in noradrenergic neuronal firing.
Local administration of 1 $\mu$M RX821002 into the hypothalamus doubled basal noradrenaline concentration. However, Laitinen *et al.* (1995) found that even though there was a trend for extracellular noradrenaline concentration to increase, a dose of atipamezole as high as 50 $\mu$M did not significantly increase the concentration of extracellular noradrenaline in the hypothalamus of 7 rats tested under anaesthesia. It is likely that the lack of effect of atipamezole is due an effect of the chloral-hydrate anaesthesia on noradrenergic neuronal activity.
Together, the present findings suggest that $\alpha_2$-adrenoceptors regulating the release of noradrenaline in the frontal cortex and hypothalamus are activated under resting conditions and restrict basal noradrenaline release to the same extent in both areas. Furthermore, the findings support extensive evidence suggesting that there are $\alpha_2$-adrenoceptors in the terminal fields of both locus coeruleus and lateral tegmental noradrenergic projections and that some of these are presynaptic.
5.4.2. Effect of systemic RX821002 on sibutramine-induced increases in extracellular noradrenaline concentration.
Systemic pretreatment of rats with RX821002 augmented the increase in extracellular noradrenaline concentration induced by sibutramine in both the cortex and hypothalamus. However, as in Chapter 4, there were differences between the responses of the two brain areas. In the cortex, RX821002 reduced the latency for sibutramine to reach its peak effect. This is consistent with the disinhibition of noradrenaline release by this $\alpha_2$-adrenoceptor antagonist (see Chapter 3, section 3.4). However, in the present study there was no apparent reduction in the latency for sibutramine to reach its peak effect in the hypothalamus. Nevertheless, it should be borne in mind that it is unlikely a reduction would have been detected, due to the collection of dialysate samples at 20 min intervals.
RX821002 also enhanced the maximum increase in extracellular noradrenaline concentration induced by sibutramine in both brain areas. Gobert et al. (1997) also found systemic administration of atipamezole to potentiate the effects of another noradrenaline and 5-HT reuptake inhibitor, duloxetine, on extracellular noradrenaline concentration in the frontal cortex of freely-moving rats. The findings of this study suggest that $\alpha_2$-adrenoceptors limit the increase in extracellular noradrenaline induced by noradrenaline reuptake inhibitors in areas innervated by lateral tegmental neurones as well as locus coeruleus neurones.
Although RX821002 increased the maximum noradrenaline concentration induced by sibutramine in both brain areas, this effect of RX821002 was shorter-lived in the hypothalamus than in the frontal cortex. Dialysate noradrenaline concentration from the frontal cortex was still significantly greater in RX821002-pretreated rats compared to
saline-treated rats 3 h post-sibutramine administration. In contrast, dialysate noradrenaline concentration from the hypothalamus in RX821002-pretreated rats was no longer greater than in saline-pretreated rats 2 h post-sibutramine administration. It is unlikely that the relatively short-lived effect of sibutramine in combination with RX821002 in the hypothalamus is due to the decreasing activity of RX821002 over the duration of the experiment as experiments in the frontal cortex show RX821002 is still active at this time point. A possible explanation could be that there are more $\alpha_2$-adrenoceptors regulating the activity of noradrenergic neurones projecting to the hypothalamus than the cortex and that the dose of RX821002 used did not block all of these receptors (see section 5.4.4. below).
5.4.3. Effect of systemic atipamezole on sibutramine-induced increases in extracellular noradrenaline concentration.
Previous reports suggest that RX821002, like the $\alpha_2$-adrenoceptor antagonists yohimbine and rauwolscine, has moderate affinity for 5-HT$_{1A}$ receptors in rat brain. Javier-Meana et al. (1996) show that when rat hippocampal membranes are incubated with 10 nM $[^3H]$RX821002, the selective 5-HT$_{1A}$ receptor agonist, 8-OH-DPAT, displaces $[^3H]$RX821002. To establish that the findings of the present study were a result of an effect of RX821002 at $\alpha_2$-adrenoceptors, experiments involving the systemic administration of RX821002 were repeated with another highly selective $\alpha_2$-adrenoceptor antagonist, atipamezole. This drug is reported to have negligible affinity for 5-HT$_{1A}$ receptors since it displaced $[^3H]$8-OH-DPAT binding to rat hippocampal membranes with a $K_i$ of only 13 $\mu$M; this compares with $K_i$ values of 52 nM and 74 nM for rauwolscine and yohimbine, respectively (Winter and Rabin, 1992).
Atipamezole produced almost identical effects on extracellular noradrenaline to RX821002 in both brain areas when combined with sibutramine. This strongly suggested that the observed changes in extracellular noradrenaline induced by RX821002 were a result of $\alpha_2$-adrenoceptor blockade. Subsequently, local perfusion experiments were only carried out with RX821002.
5.4.4. Effect of local infusion of RX821002 into the frontal cortex or hypothalamus on sibutramine-induced increases in extracellular noradrenaline concentration.
Local infusion of RX821002 into the terminal fields augmented the increase in extracellular noradrenaline induced by sibutramine, in both the cortex and hypothalamus. These findings are consistent with a previous report that reverse dialysis of the $\alpha_2$-adrenoceptor antagonist, idazoxan, into the cerebral cortex increases the accumulation of extracellular noradrenaline induced by desipramine in this brain area (Dennis et al. 1987). However, in this study, infusion of RX821002 into the hypothalamus caused a 3-fold increase above the noradrenaline concentration induced by 10 mg / kg sibutramine alone. This compared with a 1.5-fold increase in extracellular noradrenaline concentration above that induced by sibutramine alone, when RX821002 was infused into the cortex. Furthermore, infusion of RX821002 into the hypothalamus prevented the decline in extracellular noradrenaline accumulation that occurs in this brain area 40 min post-sibutramine injection. These findings suggest that the increase in extracellular noradrenaline induced by sibutramine in the hypothalamus activates $\alpha_2$-adrenoceptors and decreases noradrenergic neuronal activity to a greater extent than in the cortex.
One interpretation of the reversal of sibutramine’s effects by local administration of RX821002 into the hypothalamus is that $\alpha_2$-adrenoceptors on the terminals alone are responsible for the decline in extracellular noradrenaline seen 40 min post-sibutramine injection. However, it is puzzling that this effect was not seen when sibutramine was combined with the systemic administration of RX821002. A large terminal $\alpha_2$-adrenoceptor reserve on the terminals of noradrenergic neurones in the hypothalamus could explain this discrepancy. A dose of 3 mg / kg RX821002 may bind only to a certain proportion of terminal $\alpha_2$-adrenoceptors in the hypothalamus after its administration. If this is the case, the increase in extracellular noradrenaline concentration induced by sibutramine could still activate the remaining proportion of terminal $\alpha_2$-adrenoceptors to decrease exocytotic noradrenaline release. This could explain why, when sibutramine is administered to RX821002-pretreated rats, the dialysate noradrenaline concentration falls back to basal values more rapidly than in the cortex. However, continuous local infusion of 1 $\mu$M RX821002 into the hypothalamus could block all terminal $\alpha_2$-adrenoceptors in this region and allow exocytotic noradrenaline release in the presence of a high
extracellular noradrenaline concentration. This would account for the sustained increase in extracellular noradrenaline concentration following sibutramine administration.
The proposal that the hypothalamus could have a terminal $\alpha_2$-adrenoceptor reserve would be consistent with evidence that there is a greater density of terminal $\alpha_2$-adrenoceptors in the hypothalamus than in the cortex. Heal *et al.* (1993) measured $\alpha_2$-adrenoceptor ligand binding in different brain regions of rats three days following treatment with saline, or DSP-4. Measuring $\alpha_2$-adrenoceptor binding with the $\alpha_2$-adrenoceptor antagonist, $[^3\text{H}]$idazoxan, the authors report that the maximal specific binding ($B_{\text{max}}$) of $[^3\text{H}]$idazoxan was approximately 340 and 725 fmol/mg tissue in the cerebral cortex and hypothalamus, respectively, in saline-treated rats. In DSP-4 treated rats, $[^3\text{H}]$idazoxan binding was reduced by 20% in cerebral cortex tissue and by 40% in hypothalamic tissue. Since noradrenergic neurones in the frontal cortex are more vulnerable to the toxic effects of DSP-4 than noradrenergic neurones in the hypothalamus (see Chapter 4, section 4.4.2.) this finding cannot be attributed to more neurones surviving in the cortex following DSP-4 treatment. Therefore, the findings of Heal *et al.* (1993) suggest that there is a greater density of $\alpha_2$-adrenoceptors in the hypothalamus than in the cortex and, furthermore, that a greater proportion of the $\alpha_2$-adrenoceptor population in the hypothalamus is located on noradrenergic terminals compared with cortical regions. However, although consistent with the present findings, one limitation of radioligand binding studies is that they do not indicate the number of $\alpha_2$-adrenoceptors per noradrenergic neurone, a potentially critical factor for the proposal of a terminal $\alpha_2$-adrenoceptor reserve in the hypothalamus.
The proposal of a terminal $\alpha_2$-adrenoceptor reserve suggests that the decline in extracellular noradrenaline in the hypothalamus 40 min following sibutramine administration is not due to a decrease in the firing of lateral tegmental neurones, as suggested in Chapter 4. Nevertheless, this possibility cannot be ruled out. Kaba *et al.* (1986) reported that systemic administration of the $\alpha_2$-adrenoceptor agonist, clonidine, inhibited the firing rate of neurones in the A1 noradrenergic region but that the $\alpha_2$-adrenoceptors, which presumably mediate this effect, are not located in the region of the noradrenergic neuronal cell bodies (see Chapter 4, section 4.4.2.). Although this study was performed in anaesthetised rats, the findings that activation of $\alpha_2$-adrenoceptors on
locus coeruleus and other lateral tegmental neurones in anaesthetised rats does decrease neuronal firing suggests that there could be a functional difference in A1 noradrenergic neurones. It is possible that these $\alpha_2$-adrenoceptors are located on the cell bodies of other neurones in the hypothalamus, which project to noradrenergic cell body regions and regulate neuronal activity. For example, using immunohistochemical methods, Swanson et al. (1981) showed that the paraventricular nucleus contains dopaminergic neurones, some of which project to the medulla. Perhaps activation of $\alpha_2$-adrenoceptors on neurones such as these could form part of a negative feedback loop to regulate the firing of noradrenergic cell bodies in the medulla.
In the proposed situation above, the increase in extracellular noradrenaline in the hypothalamus induced by sibutramine would activate $\alpha_2$-adrenoceptors on the cell bodies of other, non-noradrenergic neurones when the concentration of noradrenaline in the noradrenergic synapses was sufficient to diffuse into adjacent areas. Under resting conditions, these non-noradrenergic neurones could provide an excitatory input to noradrenergic cell bodies. Activation of $\alpha_2$-adrenoceptors on the cell bodies of the non-noradrenergic neurones could reduce their firing activity and decrease the excitatory input to the noradrenergic neurones. At this point, noradrenergic neuronal firing would decrease and impulse-mediated noradrenaline release in the hypothalamus would be reduced (see Figure 5.4.1.).
Local infusion of RX821002 into the hypothalamus would block terminal and postsynaptic $\alpha_2$-adrenoceptors, as well as any $\alpha_2$-adrenoceptors located outside of noradrenergic synapses such as those described above: blockade of terminal and/or the latter receptors could account for the sustained increase in extracellular noradrenaline induced by sibutramine in the presence of RX821002.
5.4.5. Conclusion
The increases in extracellular noradrenaline concentration induced by sibutramine in both the frontal cortex and hypothalamus are restricted by local populations of $\alpha_2$-adrenoceptors. Although both populations of $\alpha_2$-adrenoceptors appear equally effective at restricting basal noradrenaline release, $\alpha_2$-adrenoceptors in the hypothalamus
cause a greater restriction to sibutramine’s effects than do $\alpha_2$-adrenoceptors in the cortex. This could account for the different time-courses of extracellular noradrenaline accumulation in these two brain areas, following sibutramine administration.
1) RESTING CONDITIONS
Non-noradrenergic cell body
Release of transmitter excites noradrenergic neurone
Noradrenergic terminal releasing noradrenaline
HYPOTHALAMUS
MEDULLA
2) IN THE PRESENCE OF A NORADRENALINE REUPTAKE INHIBITOR
Firing of non-noradrenergic cell body is reduced by noradrenaline binding to $\alpha_2$-adrenoceptors
Less excitatory input to noradrenergic neurone - firing reduced
The noradrenaline reuptake inhibitor causes accumulation of noradrenaline and some diffuses out of the synapse
HYPOTHALAMUS
MEDULLA
Figure 5.5: Schematic diagram showing a possible negative feedback loop regulating the firing rate of noradrenergic neurones in the medulla by non-noradrenergic neurones in the hypothalamus.
Chapter 6
Comparison of the density and function of central $\alpha_2$-adrenoceptors between the lean and obese Zucker rat.
6.1 Introduction
Obesity in Zucker rats is inherited as a recessive gene (Zucker and Zucker, 1961). Recent studies have shown that these obese rats have a mutation in the gene encoding the leptin receptor (Takaya et al. 1996) which results in their insensitivity to this hormone. The obesity of these rats is consistent with a role for leptin in the regulation of body fat in both animals and humans (See Chapter 1, section 1.2.3.). Obese Zucker rats are hyperphagic and have a decreased metabolic rate compared with their lean counterparts (see Chapter 1, section 1.5). The resulting increase in body weight is apparent from as early as 3 weeks of age (Zucker and Zucker, 1961), making the genetically obese Zucker rat a potentially useful model of human, juvenile-onset obesity (Argilés, 1989).
Early studies in the 1970s suggested that noradrenergic activity in the hypothalamus of obese Zucker rats, in particular the paraventricular nucleus, could be reduced compared with their lean counterparts. For example, Cruce et al. (1976; 1977) and Levin and Sullivan (1979) found that the tissue concentration of noradrenaline in the hypothalamus of male and female obese Zucker rats was reduced compared with their
lean counterparts (see Chapter 1, section 1.5.2.). It is difficult to deduce the functional significance of tissue content measurements *ex vivo*; although these findings were taken to indicate that noradrenergic activity in the hypothalamus is decreased, a decrease in tissue noradrenaline concentration could mean that noradrenaline release is increased.
Nevertheless, activation of brown adipose tissue thermogenesis in response to a meal is impaired in obese Zucker rats (Triandafillou and Himms-Hagen, 1983; see Chapter 1, section 1.5.1.). Considering the role of hypothalamic noradrenaline in the control of brown adipose tissue thermogenesis (Sahakian *et al.* 1983, see Chapter 4, section 4.1.) the proposal that noradrenergic activity is decreased in the hypothalamus of obese Zucker rats is consistent with these finding. Furthermore, *in vivo* microdialysis experiments show that the increase in extracellular noradrenaline concentration induced by immobilisation stress is reduced in obese Zucker rats compared with their lean counterparts (Pacak *et al.* 1995). This lends further support to the proposal that noradrenergic activity is impaired in the obese Zucker rat.
However, later findings reported in the 1990s were not consistent with the proposal above. Koulu *et al.* (1990) found no differences in the concentration of noradrenaline in the hypothalamus of lean and obese male Zucker rats (see Chapter 1, section 1.5.2.) but found the feeding response induced by a non-sedative dose of clonidine was greater in satiated obese rats compared with lean controls. This suggests that the feeding-stimulatory influence of postsynaptic $\alpha_2$-adrenoceptors in the paraventricular nucleus of obese Zucker rats is enhanced. This suggestion was supported by Jhanwar-Uniyal *et al.* (1991) who measured $\alpha_1$- and $\alpha_2$-adrenoceptor binding in membrane preparations from seven distinct hypothalamic nuclei of female lean and obese Zucker rats. The density of $\alpha_1$- and $\alpha_2$-adrenoceptors was measured with the $\alpha_1$-adrenoceptor antagonist, $[^3\text{H}]$prazosin, and the $\alpha_2$-adrenoceptor agonist, $[^3\text{H}]p$-amino-clonidine ($[^3\text{H}]$PAC), respectively, in freely-feeding rats. In obese rats, $[^3\text{H}]$PAC binding was increased to 176% of the lean control value, specifically in the paraventricular nucleus. Also in the paraventricular nucleus, the $[^3\text{H}]$prazosin binding was increased to 189% of the lean control value. No other differences were found in receptor density in any of the other regions examined.
Jhanwar-Uniyal *et al.* (1991) proposed that the greater density of $\alpha_2$-adrenoceptors in the paraventricular nucleus of obese Zucker rats could account for their greater feeding response, compared with lean Zucker rats, following systemic injection of clonidine, as reported by Koulu *et al.* (1990). Furthermore, the authors suggested that this disturbance in the density of $\alpha_2$-adrenoceptors in obese Zucker rats could contribute to the development or maintenance of obesity in these animals. However, this proposal is based on two assumptions. Firstly, that the release rate of noradrenaline is the same in lean and obese rats although the greater density of $\alpha_2$-adrenoceptors could reflect their up-regulation as a result of decreased noradrenaline release. The finding that $\alpha_1$-adrenoceptor density was greater in obese rats lends support to this idea. Secondly, the proposal assumes that the greater density of $\alpha_2$-adrenoceptors reflects an increase in the density of postsynaptic $\alpha_2$-adrenoceptors. It is possible that the increase in the density of these receptors reflects an increase in their presynaptic population, which are not involved in the noradrenaline-induced feeding response (Goldman *et al.* 1985). If the density of presynaptic $\alpha_2$-adrenoceptors is increased in obese rats, this could have implications for the control of noradrenergic firing and / or noradrenaline release: a greater density of presynaptic $\alpha_2$-adrenoceptors could mean a tighter control over noradrenaline release. This could account for the diminished increase in extracellular noradrenaline concentration in the hypothalamus of obese rats following immobilisation stress (Pacak *et al.* 1995).
Other studies have also investigated the density of $\alpha_2$-adrenoceptors in the hypothalamus of lean and obese Zucker rats, although the findings are not consistent with those of Jhanwar-Uniyal *et al* (1991). Pesonen *et al.* (1992) measured the density of $\alpha_2$-adrenoceptors in five forebrain areas of lean and obese male Zucker rats (approximately 21-weeks-old) using autoradiography with the $\alpha_2$-adrenoceptor agonist, $p$-$^{125}$Ijodoclonidine ($[^{125}\text{I}]$PIC). No differences were found in the density of $\alpha_2$-adrenoceptors between lean and obese Zucker rats in any of the regions studied: the paraventricular nucleus; anterior hypothalamic nucleus; amygdala; cerebral cortex; hippocampus. Miralles *et al.* (1993) also reported no differences in the binding of the $\alpha_2$-adrenoceptor agonist, $[^3\text{H}]$clonidine, to hypothalamic membranes from 10-week-old lean and obese male Zucker rats. The findings of these studies could differ from those of
Jhanwar-Uniyal *et al.* (1991) for a number of reasons, including differences in age and sex of Zucker rat studied, as well as differences in the technique used to determine $\alpha_2$-adrenoceptor density. Nevertheless, all these studies have one aspect in common; each study used a derivative of clonidine to determine the density of $\alpha_2$-adrenoceptors. Clonidine, $p$-aminoclonidine and $p$-iodoclonidine are all $\alpha_2$-adrenoceptor agonists. Therefore, these agents will only bind to $\alpha_2$-adrenoceptors that are in the high affinity conformational state (see Chapter 2, section 2.1.2.) and, consequently, may not reflect the total density of $\alpha_2$-adrenoceptors. Furthermore, these ligands have all been shown to have high affinity for imidazoline1 receptors, as well as $\alpha_2$-adrenoceptors, in rat brain (Kamasaki *et al.* 1990; Heemskerk *et al.* 1998). Thus, the binding data obtained from these studies could also reflect imidazoline1 receptor binding.
The first aim of this study was to re-establish the density of $\alpha_2$-adrenoceptors in the hypothalamus of lean and obese Zucker rats using $[^3\text{H}]$RX821002. Since the early 1990s when the studies above were reported, the highly selective $\alpha_2$-adrenoceptor antagonist, $[^3\text{H}]$RX821002, has become a more preferable radioligand for the study of $\alpha_2$-adrenoceptor densities. This is because $[^3\text{H}]$RX821002 is one of few $\alpha_2$-adrenoceptor antagonists to show negligible affinity or activity at imidazoline binding sites (Langin *et al.* 1990; Javier-Meana *et al.* 1997), whilst retaining high $\alpha_2$-adrenoceptor selectivity (see Chapter 3, section 3.1). Furthermore, since this compound is an $\alpha_2$-adrenoceptor antagonist, it will bind to $\alpha_2$-adrenoceptors in both high- and low-affinity conformational states. Noradrenergic neurones in the hypothalamus are derived primarily from the lateral tegmental area system, although some nuclei, such as the paraventricular nucleus, receive noradrenergic innervation from the locus coeruleus as well (see Chapter 1, section 1.3.). Considering this, it was of further interest to investigate the density of $\alpha_2$-adrenoceptors in an area exclusively innervated by neurones from the locus coeruleus. Therefore, $[^3\text{H}]$RX821002 binding was also investigated in the frontal cortex of lean and obese Zucker rats.
As outlined above, the study by Koulu *et al.* (1990) suggested that postsynaptic $\alpha_2$-adrenoceptors in the paraventricular nucleus of obese Zucker rats have a greater stimulatory influence on feeding than do $\alpha_2$-adrenoceptors in the lean Zucker rat. In order
to investigate whether postsynaptic $\alpha_2$-adrenoceptor function is also enhanced in other brain areas, the second aim of this investigation was to compare postsynaptic $\alpha_2$-adrenoceptor function in lean and obese Zucker rats using clonidine-induced mydriasis. This is an established and selective model of postsynaptic $\alpha_2$-adrenoceptor function (see Chapter 2, section 184.108.40.206.) and the $\alpha_2$-adrenoceptors that mediate this response are thought to be in the Edinger-Westphal nucleus of the midbrain.
The third aim of the study was to investigate the sensitivity of presynaptic $\alpha_2$-adrenoceptors in lean and obese Zucker rats. The $\alpha_2$-adrenoceptor binding studies in Zucker rats described above do not indicate the ratio of pre- and postsynaptic $\alpha_2$-adrenoceptors in the hypothalamus: perhaps the greater density of $\alpha_2$-adrenoceptors in the paraventricular nucleus of obese Zucker rats, reported by Jhanwar-Uniyal et al. (1991) reflects a greater number of presynaptic, as well as, or instead of, postsynaptic $\alpha_2$-adrenoceptors. In Chapter 5, noradrenergic neurones with different densities of preynaptic $\alpha_2$-adrenoceptors were shown to respond differently to increases in extracellular noradrenaline concentration induced by sibutramine. Differences in the function of presynaptic $\alpha_2$-adrenoceptors in the hypothalamus of lean and obese Zucker rats could well contribute to the abnormality in noradrenergic activity in this area. The responses of presynaptic $\alpha_2$-adrenoceptors in lean and obese Zucker rats were investigated by scoring clonidine-induced hypoactivity. The mechanism through which clonidine induces hypoactivity has been established as presynaptic $\alpha_2$-adrenoceptor activation (see Chapter 2, section 220.127.116.11.).
6.2. Methods
6.2.1. Experimental design.
18.104.22.168. Experiments involving $^3$H]RX821002 binding.
Seven male obese Zucker rats (188-231 g) and seven male aged-matched lean controls (170-185 g) were used. Rats were killed between 1400 and 1700 h and the frontal cortex and hypothalamus were dissected from each rat. For details on the $^3$H]RX821002 binding assay and protein determination, refer to Chapter 2, section 2.2.2.
22.214.171.124. Experiments involving clonidine-induced hypoactivity and mydriasis.
Twenty male obese Zucker rats (weighing 148-191 g at the start of the study) and twenty male aged-matched lean controls (weighing 135-146 g at the start of the study) were used. Each rat was used to test both clonidine-induced mydriasis and hypoactivity responses simultaneously. For details on the procedures used and scoring of hypoactivity, refer to Chapter 2, section 2.2.3.
6.2.2. Statistical analysis.
Data from $^3$H]RX821002 binding experiments were analysed by Richard Brammer (Knoll Pharmaceuticals Statistics Department). $K_d$ data were log transformed. $K_d$ and $B_{\text{max}}$ data were then analysed using a two-way ANOVA with group (lean or obese) and assay dates as factors.
For analysis of mydriasis experiments, the mean score for each dose was calculated from scores at 10 and 20 min to derive a mean value for the extent of the mydriasis over the 20 min sampling period. The dose-response relationship for lean and obese rats were compared using the ANOVA repeated measures facility on SPSS* PC. Analysis was carried out on orthonormalised data with ‘dose’ as ‘within’ and ‘group’ (lean or obese) as ‘between’ subject factor.
For analysis of the hypoactivity experiments, the dose-response relationships for lean and obese rats were compared using the ANOVA repeated measures facility on SPSS$^+$ PC. Analysis was carried out on orthonormalised data with ‘dose’ as ‘within’ and ‘group’ (lean or obese) as the ‘between’ subjects factor. Because a significant effect of group was found, each dose was compared separately between the groups using a one-way ANOVA (SPSS$^+$ PC) to test over which dose range the dose-response relationship differed. Since lean and obese rats had different hypoactivity scores following saline administration (baseline hypoactivity score), one-way ANOVAs were also carried out on ‘net’ hypoactivity scores. These were calculated by subtracting the mean baseline hypoactivity score from each individual data point.
6.3. Results
6.3.1. $[^3\text{H}]$RX821002 binding in frontal cortex and hypothalamus.
Saturation binding studies with $[^3\text{H}]$RX821002, in the presence of 5 µM phentolamine, did not reveal any differences between lean and obese Zucker rats with respect to the density of binding sites ($B_{\text{max}}$) (Figure 6.1.). However, the affinity ($1/K_d$) of $[^3\text{H}]$RX821002 for $\alpha_2$-adrenoceptors in the frontal cortex of obese rats was higher than that of their lean counterparts ($F = 17.3$; d.f. 1,9; $P < 0.01$) (Table 6.1.). No differences were found between the $K_d$ values of $[^3\text{H}]$RX821002 for $\alpha_2$-adrenoceptors in the hypothalamus of lean and obese rats.
*Figure 6.1: The density of $[^3\text{H}]$RX821002 binding sites in the frontal cortex and hypothalamus of lean and obese Zucker rats.*
Data expressed as mean ± s.e. mean $B_{\text{max}}$ (fmol / mg protein, n = 6-7).
| BRAIN REGION | LEAN | OBESE |
|-----------------|---------------|---------------|
| Frontal Cortex | $0.28 \pm 0.06$ (n = 7) | $0.22 \pm 0.04$ (n = 7)** |
| Hypothalamus | $0.29 \pm 0.04$ (n = 7) | $0.24 \pm 0.04$ (n = 6) |
*Table 6.1:* $K_d$ values (nM) for the binding of $^3$HJRX821002 to $\alpha_2$-adrenoceptors in the frontal cortex and hypothalamus of lean and obese Zucker rats.
** $P < 0.01$, compared with lean $K_d$ value.
### 6.3.2. Clonidine-induced mydriasis.
Baseline pupil diameter was $1.33 \pm 0.03$ mm in lean rats and $1.39 \pm 0.02$ mm in obese rats (mean scores calculated from the baseline diameter from each rat at the start of each experiment: n = 60 for each group). A one-way ANOVA revealed there was no difference in baseline pupil diameter between lean and obese groups ($F = 2.96$; d.f. 1,118; $P = 0.09$). Clonidine induced an increase in pupil diameter in both lean and obese Zucker rats. The increase in pupil diameter reached a plateau of approximately 0.55 mm in both rat types at 0.1 mg / kg clonidine (Figure 6.2.). A repeated measures ANOVA did not reveal a difference in the dose-response relationship between lean and obese rats.
Figure 6.2: Dose-response relationships for clonidine-induced mydriasis in lean and obese Zucker rats.
Each point represents mean ± s.e. mean increase in pupil diameter for each dose of clonidine (n = 7-8).
6.3.3. Clonidine-induced hypoactivity.
Obese rats had a higher hypoactivity score following saline administration than did lean rats (lean rats: $4.5 \pm 2.3$ points c.f. obese rats: $8.2 \pm 4.8$ points, $F = 5.41$; d.f. 1,20; $P = 0.03$) indicating that obese rats are more hypoactive in drug-free conditions than their lean counterparts.
Clonidine induced a hypoactivity response in both lean and obese Zucker rats. The magnitude of the response paralleled dose, with the greatest dose inducing a hypoactivity score of approximately 26 points in both rat types (Figure 6.3a). Although both lean and obese rats reached a similar maximum level of hypoactivity following the highest dose of clonidine (0.3 mg / kg) a repeated measures ANOVA revealed an effect of group (lean or obese) as well as a dose $\times$ group interaction, between the dose-response relationships (effect of group: $F = 6.75$; d.f. 1,13; $P = 0.02$, dose $\times$ group interaction: $F= 2.87$; d.f. 5,65; $P = 0.02$).
One-way ANOVAs revealed that clonidine induced a greater hypoactivity response in obese rats at the lower doses of 0.003 and 0.01 mg / kg (0.03 mg / kg: $F = 17.26$; d.f. 1,14; $P < 0.01$, 0.01 mg / kg: $F = 6.4$; d.f. 1,14; $P = 0.02$) but not at any other dose. However, considering baseline hypoactivity scores were different in lean and obese rats, one-way ANOVAs were also carried out on net increases in hypoactivity scores to determine the magnitude of the increase in hypoactivity following clonidine administration (Figure 6.3b). There were no differences in net hypoactivity scores between lean and obese Zucker rats over the dose range 0.001-0.03 mg / kg clonidine. However, one-way ANOVAs revealed that clonidine induced greater hypoactivity scores in lean rats compared with obese rats at the higher doses of 0.1 and 0.3 mg / kg (0.1 mg / kg: $F = 8.17$; d.f. 1,13; $P = 0.01$, 0.3 mg / kg: $F = 10.88$; d.f. 1,14; $P < 0.01$).
Figure 6.3: Dose-response relationships for clonidine-induced hypoactivity in lean and obese Zucker rats.
Data show a) absolute increases in hypoactivity following clonidine administration and b) net increases in hypoactivity following clonidine administration. Each point represents mean ± s.e. mean hypoactivity score for each dose of clonidine (n = 7-8). * P < 0.05, ** P<0.01.
6.4. Discussion
Several studies have compared the density of $\alpha_2$-adrenoceptors in the hypothalamus of lean and obese Zucker rats to investigate whether an increased population of these receptors can account for the hyperphagia of the obese rat. However, these studies have revealed no consistent findings, possibly because of the affinity of the test radioligands for imidazoline receptors (see section 6.1.). This study has used the highly selective $\alpha_2$-adrenoceptor radioligand, $[^3\text{H}]$RX821002, to compare the total density of cortical and hypothalamic $\alpha_2$-adrenoceptors in lean and obese Zucker rats. In addition, clonidine-induced hypoactivity and mydriasis were used to compare the functions of pre- and postsynaptic $\alpha_2$-adrenoceptors in these rats, respectively.
6.4.1. $[^3\text{H}]$RX821002 binding in the frontal cortex and hypothalamus.
$[^3\text{H}]$RX821002 binding studies revealed that $\alpha_2$-adrenoceptors in frontal cortex tissue from obese rats had a higher affinity for RX821002 than did frontal cortex tissue from lean rats. Although the affinity of RX821002 for $\alpha_2$-adrenoceptors in the hypothalamus was also higher than in lean rats, this difference did not reach statistical significance. Similarly, Miralles et al. (1993) reported that the affinity of RX821002 for $\alpha_2$-adrenoceptors in the cerebral cortex of lean and obese Zucker rats was higher in obese rats compared with lean rats (0.53 c.f. 0.49 nM) although this difference was not significant. These findings could mean $\alpha_2$-adrenoceptors in obese rats also have a higher affinity for other selective $\alpha_2$-adrenoceptor ligands or noradrenaline itself. Further experiments investigating the binding characteristics of noradrenaline and other $\alpha_2$-adrenoceptor ligands in lean and obese rats are needed to establish this. If $\alpha_2$-adrenoceptors in obese rats do have a higher affinity for noradrenaline, this could mean that their function is also increased.
$[^3\text{H}]$RX821002 binding revealed no differences between lean and obese Zucker rats in the density of $\alpha_2$-adrenoceptors in either the frontal cortex or hypothalamus. These findings are consistent with those of Miralles et al. (1993) who investigated the density of $\alpha_2$-adrenoceptors in cerebral cortical membranes using $[^3\text{H}]$RX821002. In agreement with
the present study in the frontal cortex, no differences in the density of $\alpha_2$-adrenoceptors in the cerebral cortex of lean and obese rats were found.
Jhanwar-Uniyal *et al.* (1991) reported a greater density of $[^3\text{H}]$PAC binding sites specifically in the paraventricular nucleus of obese Zucker rats. This report is consistent with the present finding that there is a trend for the affinity of $\alpha_2$-adrenoceptors for RX821002 to be higher in obese rats compared with lean rats. $[^3\text{H}]$PAC is an $\alpha_2$-adrenoceptor agonist and will therefore bind only to $\alpha_2$-adrenoceptors in the high affinity state: if there are more $\alpha_2$-adrenoceptors in the high affinity state in obese rats, this will result in more $[^3\text{H}]$PAC binding.
However, Pesonen *et al.* (1992) did not find a difference in $\alpha_2$-adrenoceptor density in discrete nuclei of the hypothalamus, including the paraventricular nucleus, with the agonist $[^{125}\text{I}]$PIC. It is possible that the different findings could be linked to the time of day animals were killed. Studies show that the density of $\alpha_2$-adrenoceptors in the paraventricular nucleus of Sprague-Dawley rats follows a diurnal rhythm, with a marked increase (approximately 2.5-fold) in the receptor density just prior to and during the dark phase compared with the light phase (Jhanwar-Uniyal *et al.* 1986). This diurnal rhythm of $\alpha_2$-adrenoceptor binding was also observed in the perifornical lateral hypothalamus, although to a lesser extent, but was not seen in other brains areas such as the frontal cortex or hippocampus (Jhanwar-Uniyal *et al.* 1986). It is possible that there is a disturbance in this diurnal rhythm in obese Zucker rats and that this is only detectable at particular time points. In the study of Jhanwar-Uniyal *et al.* (1991), rats were killed between 0900 h and 1100 h (3-5 h after the start of the light phase). However, in the study of Pesonen *et al.* (1992) rats were sacrificed from 1600 h onwards ($\leq 2$ h before the start of the dark phase). If, for example, the diurnal rhythm of $\alpha_2$-adrenoceptor density is lost in obese rats and the density remains high at all times, it is possible that Jhanwar-Uniyal *et al.* (1991) compared lean and obese rats when the $\alpha_2$-adrenoceptor density in lean rats was at its lowest (*i.e.* a difference between the lean and obese rats would be evident). In contrast, Pesonen *et al.* (1992) compared lean and obese rats just prior to the dark phase, when $\alpha_2$-adrenoceptor density is thought to increase; it is possible that at this time point
$\alpha_2$-adrenoceptor density in lean rats rises to a level comparable with obese rats (i.e. no difference between lean and obese rats would be evident).
In this study, rats were killed between 1400 and 1700 h with the dark phase due to start at 1800 h. In retrospect, this may not have been an ideal time to obtain brain tissue if the density of $\alpha_2$-adrenoceptors increases in lean rats just prior to the onset of the dark phase. If the density of $\alpha_2$-adrenoceptors increased in the lean rats between 1400 and 1700 h, this will have affected the mean value of their $\alpha_2$-adrenoceptor density. Considering this, a more thorough investigation of $\alpha_2$-adrenoceptor densities in lean and obese Zucker rats would involve a comparison of the receptor densities at different time-points over a 24 h period.
6.4.2. Clonidine-induced mydriasis and hypoactivity.
A comparison of the dose-response curves for clonidine-induced mydriasis did not reveal any differences between lean and obese Zucker rats in the function of the $\alpha_2$-adrenoceptors mediating this response. The $\alpha_2$-adrenoceptors mediating mydriasis are located postsynaptically (see Chapter 2, section 126.96.36.199.). Therefore, these findings present evidence that there are no differences in postsynaptic $\alpha_2$-adrenoceptor function between lean and obese Zucker rats. This evidence is at variance with the finding that postsynaptic $\alpha_2$-adrenoceptors in the paraventricular nucleus of obese Zucker rats are more sensitive to the feeding-stimulatory effects of clonidine than are those in lean rats (Koulu et al. 1990). However, the location of the postsynaptic $\alpha_2$-adrenoceptors mediating mydriasis are thought to be in the Edinger-Westphal nucleus in the midbrain. Therefore, the function of postsynaptic $\alpha_2$-adrenoceptors mediating mydriasis cannot be assumed to generalise to all central postsynaptic $\alpha_2$-adrenoceptors. Thus, the present findings do not rule out the possibility that a disturbance in postsynaptic $\alpha_2$-adrenoceptor function exists specifically within the paraventricular nucleus of obese Zucker rats. Indeed, the trend for the affinity of $\alpha_2$-adrenoceptors for RX821002 in hypothalamus to be higher in obese rats than in lean rats could account for the greater feeding response in obese rats following intrahypothalamic injection of clonidine (Koulu et al. 1990).
Hypoactivity experiments revealed that obese rats have a greater baseline level of hypoactivity than their lean counterparts. This finding indicates that, under drug-free conditions, obese Zucker rats are more hypoactive than their lean counterparts, suggesting that the function of the presynaptic $\alpha_2$-adrenoceptors mediating this effect could be enhanced. The greater hypoactivity of obese rats is unlikely to be due to these rats being more lethargic than their lean counterparts since in the study of Koulu et al. (1990) no differences in spontaneous locomotor activity were found between lean and obese Zucker rats. The finding that there is a trend for the affinity of $\alpha_2$-adrenoceptors for RX821002 in the cortex and hypothalamus of obese rats to be higher than in lean rats provides a possible explanation as to why presynaptic $\alpha_2$-adrenoceptor function could be enhanced in obese rats. Although the precise location of the $\alpha_2$-adrenoceptors mediating hypoactivity in the brain is not known, it is possible that their affinity for $\alpha_2$-adrenoceptors ligands is also higher in obese rats compared with lean rats. If these receptors have a higher affinity for noradrenaline in obese rats, this could mean that more released noradrenaline may bind to these receptors, leading to greater presynaptic $\alpha_2$-adrenoceptor activation, which would result in greater baseline hypoactivity.
Analysis of hypoactivity responses following clonidine administration revealed that, at doses of 0.003 and 0.01 mg / kg, clonidine induces a greater increase in hypoactivity in obese rats compared with their lean counterparts. Analysis of net increases in hypoactivity scores following clonidine administration showed that although baseline hypoactivity was greater in obese rats, the magnitude of the increase in hypoactivity induced by clonidine was the same in both groups over the dose-range 0.001–0.03 mg / kg. However, at the higher doses of 0.1 and 0.3 mg / kg clonidine, the net increases in hypoactivity in obese rats is less compared with their lean counterparts. It is possible that there is a ‘ceiling level’ for clonidine’s effect on hypoactivity and that this is reached with smaller increases in hypoactivity in obese rats because their baseline hypoactivity level is higher. However, Figures 6.3a and b indicate that whereas the dose-response curve for lean rats begins to plateau over the dose range of 0.1–0.3 mg / kg, the dose-response curve for obese rats does not. This suggests that the dose-response curve for obese rats reaches a plateau at doses of clonidine greater than 0.3 mg / kg. There are two possible explanations for this. Firstly, there could be a greater density of
α₂-adrenoceptors mediating hypoactivity in obese rats and a higher dose of clonidine is required to saturate these receptors, thus causing a plateau in the dose-response curve. Although this study found no differences in the density of α₂-adrenoceptors in the frontal cortex or hypothalamus between lean and obese rats, it is possible that the presynaptic α₂-adrenoceptors mediating clonidine-induced hypoactivity are located in a different brain region. Alternatively, the ratio of pre- and postsynaptic α₂-adrenoceptors could be higher in lean and obese rats (i.e. there could be a greater density of presynaptic α₂-adrenoceptors in obese rats but this may not have been detected in the binding studies if the density of postsynaptic α₂-adrenoceptors was lower).
A second explanation is that the function of these receptors could be enhanced so that doses of clonidine greater than 0.3 mg / kg can still induce further increases in hypoactivity in a dose-dependent manner in obese rats. Again, the latter suggestion is supported by the present findings that the affinity of α₂-adrenoceptors for RX821002 in the frontal cortex is higher in obese rats than lean rats. If the α₂-adrenoceptors mediating clonidine-induced hypoactivity have a higher affinity for clonidine in obese Zucker rats, it is possible that this could result in a greater level of activation of these receptors when clonidine binds.
Since the precise location of the presynaptic α₂-adrenoceptors mediating clonidine-induced hypoactivity is not known, the present finding that their function could be enhanced in obese rats cannot be generalised to all central presynaptic α₂-adrenoceptors in the obese rat. Therefore, it is difficult to foresee how, or if, the enhancement in the function of these particular presynaptic α₂-adrenoceptors would affect the activity of noradrenergic neuronal systems in these animals. Nevertheless, it is tempting to speculate on the possible changes in noradrenergic neuronal activity that could result as a consequence of enhanced presynaptic α₂-adrenoceptor function.
In Chapter 4, noradrenaline reuptake inhibition was observed to cause a prolonged increase in extracellular noradrenaline concentration in the frontal cortex of Sprague-Dawley rats. However, in the hypothalamus the increase in extracellular noradrenaline concentration was much shorter-lived following noradrenaline reuptake
inhibition. In Chapter 5, it was suggested that different densities of $\alpha_2$-adrenoceptors in these brain regions are responsible for the different time-courses of extracellular noradrenaline accumulation following noradrenaline reuptake inhibition. It is possible that an increase in the function of presynaptic $\alpha_2$-adrenoceptors in a given brain region of obese Zucker rats could also lead to differences in the regulation of extracellular noradrenaline concentration compared with lean rats. For example, during an increase in noradrenaline release, presynaptic $\alpha_2$-adrenoceptors in obese rats could turn off neuronal firing and/or noradrenaline release to a greater extent than in lean rats. This could account for the reduced accumulation of extracellular noradrenaline in the paraventricular nucleus of obese rats during immobilisation stress (Pacak et al. 1995; see Chapter 1, section 1.5.2.).
Crucé et al. (1976; 1977) and Levin and Sullivan (1979) found that the concentration of noradrenaline in hypothalamic tissue was less than that of their lean counterparts and proposed that noradrenergic activity in the hypothalamus of obese rats is reduced (see Chapter 1, section 1.5.1.). Although it is difficult to deduce the functional significance of tissue content measurements *in vitro*, the finding in the present study that presynaptic $\alpha_2$-adrenoceptor function is enhanced in obese rats is consistent with the suggestion above: it is possible that the enhanced function of presynaptic $\alpha_2$-adrenoceptors, which decrease noradrenergic activity, leads to a decrease in noradrenaline synthesis. Collectively, these findings do not support the idea that enhanced noradrenergic activation of postsynaptic $\alpha_2$-adrenoceptors in the paraventricular nucleus contributes to the hyperphagia of obese Zucker rats (Koulu et al. 1990; Jhanwar-Uniyal et al. 1991). Nevertheless, the proposal above that central noradrenergic activity in the obese Zucker rat could be limited to a greater extent by presynaptic $\alpha_2$-adrenoceptors could contribute to the impaired thermogenesis in these animals. Triandafillou and Himms-Hagen (1983) reported that the binding of GDP by brown adipose tissue mitochondria from obese Zucker rats maintained at 28°C was lower than in lean rats. Furthermore, whereas lean Zucker rats on a cafeteria diet showed an increase in GDP-binding by mitochondria compared with lean rats fed standard laboratory chow, GDP-binding in obese Zucker rats was not affected by a cafeteria diet. These findings indicate that brown adipose tissue thermogenesis is disrupted in obese Zucker rats. A
6-hydroxydopamine-induced reduction of noradrenaline content in the hypothalamus of lean Sprague-Dawley rats impaired brown adipose tissue thermogenic activity (Sahakian et al. 1983, see Chapter 4, section 4.1.). In light of all these findings, it is not unreasonable to suggest that the enhancement of presynaptic $\alpha_2$-adrenoceptor function in the obese rat could limit the concentration of extracellular noradrenaline in the hypothalamus to the extent that this pathway does not activate brown adipose tissue thermogenesis. However, the function of presynaptic $\alpha_2$-adrenoceptors specifically within the hypothalamus would need to be investigated in order to gain support for this idea.
6.4.3. Conclusion
The present findings suggest that presynaptic $\alpha_2$-adrenoceptor function is enhanced in the obese Zucker rat. The implications of this finding for the control of noradrenergic activity in the hypothalamus and the subsequent control of food-intake and thermogenesis in these rats remain to be established.
Chapter 7
General Discussion
This thesis has investigated changes in the function of central noradrenergic neurones in rats induced by the anti-obesity agents, sibutramine and $d$-amphetamine. Experiments also included an investigation into the density and function of $\alpha_2$-adrenoceptors in the genetically lean and obese Zucker rats in order to determine whether an abnormality in these receptors exist in the obese state.
The finding that sibutramine increased extracellular noradrenaline concentration in the rat frontal cortex and hypothalamus supported the proposal that the active metabolites of this drug are potent inhibitors of noradrenaline reuptake. By comparing the effects of sibutramine on extracellular noradrenaline accumulation with those of the noradrenaline releasing agent, $d$-amphetamine, *in vivo* microdialysis experiments were able to provide support for this suggestion. The increase in extracellular noradrenaline concentration induced by sibutramine in the frontal cortex was gradual and sustained, suggesting that this drug could be inhibiting the reuptake of noradrenaline following its spontaneous, impulse-evoked release. $d$-Amphetamine induced a more rapid increase in extracellular noradrenaline concentration in the frontal cortex, suggesting that this drug induced impulse-independent noradrenaline release.
In support of this proposal, blockade of presynaptic $\alpha_2$-adrenoceptors with RX821002 enhanced the increase in extracellular noradrenaline induced by sibutramine. This indicates that the accumulation of noradrenaline in the extracellular fluid induced by
sibutramine activates presynaptic $\alpha_2$-adrenoceptors, which decreases noradrenergic neuronal firing and exocytotic noradrenaline release. This negative feedback loop accounts for the gradual and sustained increase in extracellular noradrenaline induced by this drug in the frontal cortex.
Despite being classified as a noradrenaline-releasing agent, blockade of presynaptic $\alpha_2$-adrenoceptors enhanced the increase in extracellular noradrenaline induced by 10 mg / kg $d$-amphetamine. This finding suggests that $\alpha_2$-adrenoceptor-mediated feedback inhibition \textit{does} control the accumulation of extracellular noradrenaline induced by $d$-amphetamine to some extent. This suggestion is not consistent with other studies reporting that clonidine has no effect on the increase in extracellular noradrenaline concentration induced by 5 mg / kg $d$-amphetamine (Florin et al. 1994). As suggested in Chapter 3, a possible explanation for this discrepant finding could be that $\alpha_2$-adrenoceptors mediating the negative feedback response are already maximally activated by noradrenaline after $d$-amphetamine administration. Thus, in the study of Florin et al (1994) the administration of clonidine cannot influence the accumulation of extracellular noradrenaline further. However, by adding an antagonist, such as RX821002, the contribution of $\alpha_2$-adrenoceptor activation to the extent of extracellular noradrenaline accumulation induced by $d$-amphetamine is revealed. Consistent with the present finding, a recent study \textit{in vitro} showed that, at low doses, $d$-amphetamine caused the release of noradrenaline, whereas at high doses it acted as a noradrenaline reuptake inhibitor (Pifl et al. 1999). The present finding provides evidence that, at a high dose, $d$-amphetamine also has noradrenaline reuptake inhibiting properties \textit{in vivo}. Nevertheless, as a substrate for the noradrenaline transporter, $d$-amphetamine cannot, by definition, be an inhibitor of the transporter as well. However, the relatively high affinity of $d$-amphetamine for the noradrenaline transporter ($K_i = 45$ nM) could result in its dissociation being relatively slow. It is possible that this phenomenon accounts for $d$-amphetamine’s noradrenaline reuptake inhibitor-like properties.
Recent studies have implicated a central noradrenaline-dopamine coupling effect in the enhancement of locomotor activity induced by $d$-amphetamine (Darracq et al. 1998, see Chapter 3, section 3.1.). The evidence suggests that the $d$-amphetamine-induced
increase in noradrenergic transmission in the prefrontal cortex activates $\alpha_1$-adrenoceptors, which facilitates the release of dopamine in the nucleus accumbens, although the pathway through which this effect is mediated is not clear. The anti-obesity agent, phentermine, also evokes noradrenaline and dopamine release from rat cortical slices preloaded with $[^3\text{H}]$noradrenaline or $[^3\text{H}]$dopamine (Viggers et al. 1999; Lancashire et al. 1998) and increases locomotor activity in rats (Rowley et al. 2000). Considering this, it is probable that sibutramine’s lack of effect on dopaminergic function along with its only modest increase in extracellular noradrenaline concentration compared with $d$-amphetamine, explains its lack of ability to increase locomotor activity in rats (Rowley et al. 2000).
In halothane-anaesthésised rats the magnitude of response for sibutramine’s effects on extracellular noradrenaline accumulation in the frontal cortex is described by a bell-shaped curve, whereas in freely-moving rats the magnitude paralleled dose. This suggests that halothane-anaesthesia changes central noradrenergic function, although the mechanism by which this happens is unclear. However, this finding highlights why conscious, freely-moving rats are preferable for investigating the pharmacology of CNS agents. One question that arises is what happens to the dose-response curve for sibutramine at doses of sibutramine greater than 10 mg / kg. Does halothane-anaesthesia simply shift the dose-response curve for sibutramine to the left, or, like its effects on extracellular 5-HT concentration (Gundlah et al. 1997), does the maximum response induced by sibutramine parallel dose in freely-moving rats?
Sibutramine also increased the concentration of extracellular noradrenaline in the region of the paraventricular nucleus. This is at variance with reports that exogenous noradrenaline injected into this region \textit{increases} feeding behaviour in rats through an action on postsynaptic $\alpha_2$-adrenoceptors. This suggests that the feeding response induced by injection of noradrenaline into the paraventricular nucleus may not be reflecting a system that is involved in the natural, physiological control of food intake. Oral administration of the noradrenaline reuptake inhibitor, nisoxetine, which presumably increases the extracellular concentration of noradrenaline in the hypothalamus, does not affect food intake in rats (Jackson et al. 1997b). Furthermore, systemic administration of RX821002 has no effect on the inhibition of food intake induced by sibutramine (Jackson et al. 1997a). The finding that the $\alpha_1$-adrenoceptor, prazosin, completely inhibited the
reduction of food intake induced by sibutramine (Jackson *et al.* 1997a), illustrates the importance of this receptor, over the postsynaptic $\alpha_2$-adrenoceptor, in the overall control of feeding behaviour. This suggestion is supported by the fact that the feeding studies carried out by Jackson *et al.* (1997a) were performed during the dark phase; a period when the density of $\alpha_1$-adrenoceptor binding decreases and $\alpha_2$-adrenoceptor binding increases in the paraventricular nucleus (Jhanwar-Uniyal *et al.* 1986; Morien *et al.* 1999).
Sibutramine’s effect on extracellular noradrenaline accumulation in the hypothalamus was shorter-lived than its effect in the frontal cortex. Evidence suggested that $\alpha_2$-adrenoceptors in the hypothalamus have a greater control over noradrenaline release in this brain area compared with the frontal cortex and that this could account for the more transient effects of sibutramine in the hypothalamus. This is consistent with studies showing that there is a greater density of terminal as well as postynaptic $\alpha_2$-adrenoceptors in the hypothalamus compared with cortical areas. However, a greater density of terminal $\alpha_2$-adrenoceptors would be expected to restrict the concentration of extracellular noradrenaline to a particular level following sibutramine administration, but not to cause its decline 40 min post-injection. Questions arising from these findings are how, and why, would $\alpha_2$-adrenoceptors control noradrenaline release differently in these two brain areas? It is possible that neurones exist in the hypothalamus that project to regions containing noradrenergic cell bodies. These neurones could form a feedback loop to regulate the firing of the noradrenergic neurones. The activation of $\alpha_2$-heteroreceptors on their cell bodies in the hypothalamus could influence the level of this regulation. There is no evidence that directly supports this proposal. However, Kaba *et al.* (1986) report that systemic administration of clonidine inhibits the firing rate of A1 noradrenergic neurones but that this effect was not mediated through $\alpha_2$-adrenoceptors in the region of the noradrenergic cell bodies. A proposal such as the one described above could account for how clonidine reduces the firing rate of A1 noradrenergic neurones. Nevertheless, this proposal does not provide an explanation as to *why* the brain would regulate noradrenaline release differently in the frontal cortex and hypothalamus.
Evidence suggests that noradrenergic activity is reduced in obese Zucker rats compared to their lean counterparts (reviewed in Chapter 1, section 1.5.). In light of the
evidence suggesting that differences in $\alpha_2$-adrenoceptor density can affect noradrenaline release, this study investigated the density of $\alpha_2$-adrenoceptors in lean and obese Zucker rats using radioligand binding studies. The functions of pre- and postsynaptic $\alpha_2$-adrenoceptors in lean and obese Zucker rats were also investigated using clonidine-induced hypoactivity and mydriasis, respectively.
No differences in the density of $[^3\text{H}]$RX821002 binding sites were found in either the frontal cortex or hypothalamus of lean and obese rats. However, $[^3\text{H}]$RX821002 binding studies did reveal that $\alpha_2$-adrenoceptors in the frontal cortex of obese rats had a higher affinity for RX82100 than lean rats. $\alpha_2$-Adrenoceptors in the hypothalamus also had a higher affinity for RX821002 than did lean rats, although this difference was not statistically significant.
Clonidine-induced mydriasis did not reveal any differences in the function of postsynaptic $\alpha_2$-adrenoceptors in lean and obese Zucker rats. The findings of Koulu et al. (1990) suggest that postsynaptic $\alpha_2$-adrenoceptor function in the paraventricular nucleus is enhanced in obese Zucker rats. It is possible that this abnormal functioning of postsynaptic $\alpha_2$-adrenoceptors in obese Zucker rats exists only in the paraventricular nucleus. The enhanced function of postsynaptic $\alpha_2$-adrenoceptors in the region of the paraventricular nucleus reported by Koulu et al. (1990) could reflect their up-regulation as a result of decreased noradrenergic transmission in this area. Consistent with this proposal, Pacak et al. (1995) report that the stress-induced increase in extracellular noradrenaline concentration in the region of the paraventricular nucleus of obese Zucker rats is reduced compared with their lean counterparts. The authors point out that their findings are consistent with reports that the noradrenaline content of the paraventricular nucleus of obese Zucker rats is reduced (reviewed in Chapter 1, section 1.5), thus there is less noradrenaline available to be released on demand. However, their experiments do not rule out the possibility that a difference in the control of noradrenaline release in the hypothalamus of obese rats accounts for the differential effects of stress on extracellular noradrenaline accumulation in lean and obese rats: it is possible that presynaptic $\alpha_2$-adrenoceptor function is enhanced in obese Zucker rats, which restricts the
accumulation of extracellular noradrenaline during stress. Clonidine-induced hypoactivity was used to investigate this possibility.
The baseline hypoactivity score of obese Zucker rats was higher than their lean counterparts. This suggests that the function of the presynaptic $\alpha_2$-adrenoceptors mediating hypoactivity in obese rats is enhanced under resting conditions compared with lean rats. Although there were no differences between lean and obese rats in the net increase in hypoactivity following clonidine over the dose range 0.001-0.03 mg/kg, lean rats were more hypoactive than obese rats following a dose of 0.1 and 0.3 mg/kg clonidine. It is possible that the ceiling effect for this response is reached at lower doses of clonidine in obese rats because their baseline response is already elevated compared with lean rats. However, unlike the dose-response curve for clonidine-induced hypoactivity in lean rats, the dose-response curve for obese rats did not appear to reach a plateau at the two highest doses, suggesting that the maximum response had *not* been reached in these rats. These findings suggest that there could be functional differences between presynaptic $\alpha_2$-adrenoceptors mediating hypoactivity in lean and obese Zucker rats. The finding that there was a trend for the affinity of $\alpha_2$-adrenoceptors for RX821002 to be higher in obese rats compared with lean rats adds some support to this suggestion. The exact location of the $\alpha_2$-adrenoceptors in the central nervous system mediating clonidine-induced hypoactivity is not known. It is possible that these receptors could also have higher affinities for $\alpha_2$-adrenoceptor ligands such as RX821002, clonidine or noradrenaline. Perhaps a difference in presynaptic $\alpha_2$-adrenoceptor affinity could account for the differences in the hypoactivity responses between lean and obese Zucker rats.
The implications of these findings for the control of noradrenaline release in the CNS of obese Zucker rats are not clear. The possibility that the function of presynaptic $\alpha_2$-adrenoceptors mediating hypoactivity is enhanced in obese Zucker rats cannot be generalised to all presynaptic $\alpha_2$-adrenoceptors in the brain of obese Zucker rats. At the same time, the possibility that the function of other presynaptic $\alpha_2$-adrenoceptors in the obese Zucker rat is enhanced cannot be ruled out and this could have consequences for the control of noradrenaline release. Whether such an abnormality would contribute to the obesity of this animal remains unknown.
Future work related to this thesis
The principle findings of this thesis raise several questions that include:
1) Does the increase in hypothalamic extracellular noradrenaline concentration induced by sibutramine contribute to its anti-obesity effects?
Monitoring food intake and/or thermogenesis during local infusion of sibutramine’s metabolites into the hypothalamus could provide clues as to whether the increase in extracellular noradrenaline accumulation in this brain area contributes to this drug’s anti-obesity effects. The effects, if any, on food intake and thermogenesis could be compared with the effects of local infusion of 1) a selective noradrenaline reuptake inhibitor, 2) a selective 5-HT reuptake inhibitor and 3) a combination of a selective noradrenaline and 5-HT reuptake inhibitor. Local infusion of the drugs could be carried out using reverse dialysis in the hypothalamus either unilaterally or bilaterally. Unilateral infusion would cause less damage to the hypothalamus. However, bilateral infusion may be needed to see an effect of the drugs on food intake.
Firstly, these experiments would reveal whether the hypothalamus is involved in mediating sibutramine’s anti-obesity effects. If the hypothalamus does appear to be involved in these effects, the experiments would also reveal whether the reuptake inhibition of noradrenaline, 5-HT or both monoamines in this region have a role in mediating the anti-obesity effects. If the reuptake inhibition of 5-HT and noradrenaline together in the hypothalamus suppresses food intake, this could go some way to explaining why sibutramine induces a decrease in food intake, whilst local injection of noradrenaline or clonidine into the region of the paraventricular nucleus induces an increase in food intake: the simultaneous increase in extracellular 5-HT concentration in the hypothalamus induced by sibutramine could mask the feeding-stimulatory effects of postsynaptic α₂-adrenoceptor activation.
2) Why do α₂-adrenoceptors in the hypothalamus restrict the effect of sibutramine on extracellular noradrenaline accumulation to a greater extent than do α₂-adrenoceptors in the frontal cortex?
Electrophysiological studies could be used to investigate whether activation of $\alpha_2$-adrenoceptors on the cell bodies of neurones in the hypothalamus affect the firing rate of lateral tegmental or locus coeruleus noradrenergic neurones in the pons or medulla. An $\alpha_2$-adrenoceptor agonist could be microiontophoretically applied to the hypothalamus and the firing rate of noradrenergic neurones recorded. A decrease in the firing rate of noradrenergic neurones would indicate whether neurones projecting from the hypothalamus to noradrenergic cell bodies are capable of regulating noradrenergic neuronal activity. This could shed light on the reason why extracellular noradrenaline accumulation declines in the hypothalamus 40 min following sibutramine administration.
3) Are $\alpha_1$- or $\alpha_2$-adrenoceptors involved in the natural, physiological control of food intake?
Gene knockouts of $\alpha_1$- or $\alpha_2$-adrenoceptor subtypes would be one approach to address the question of whether these receptors are involved in the natural, physiological control of food intake. They could also be used to investigate whether these receptors are involved in the central control of thermogenesis. Mutant mice lacking the 5-HT$_{2C}$ gene have revealed the role of this receptor in the control of food intake (Heisler et al. 1998). However, the survival of mutant animals lacking $\alpha_1$- and $\alpha_2$-adrenoceptor subtypes could be impaired due to their roles in the control of cardiovascular function. Nevertheless, studies report the development of $\alpha_{2C}$-adrenoceptor knockout mice (Link et al. 1995). These mice appear to develop normally, suggesting that the $\alpha_{2C}$-adrenoceptor is not required for normal development in mice or for its survival in a laboratory environment. Studies involving the control of food intake in these animals do not yet appear to have been carried out.
4) Does an abnormality exist in terminal $\alpha_2$-adrenoceptor function specifically in the paraventricular nucleus of the obese Zucker rat and does this contribute to the obesity of this animal?
Experiments involving *in vivo* microdialysis could investigate whether any difference in terminal $\alpha_2$-adrenoceptor (or $\alpha_2$-heteroreceptor) function in the paraventricular
nucleus of obese rats could affect noradrenergic transmission in this area. These experiments would compare basal extracellular noradrenaline concentration in lean and obese Zucker rats before and after local infusion of an $\alpha_2$-adrenoceptor antagonist. This would reveal whether $\alpha_2$-adrenoceptor-mediated negative feedback contributes to the regulation of basal extracellular noradrenaline concentration in this region to the same extent. If noradrenaline release is restricted to a greater extent by $\alpha_2$-adrenoceptors in obese rats, it may be predicted that infusion of an $\alpha_2$-adrenoceptor antagonist would cause a greater increase in extracellular noradrenaline concentration in these rats compared to their lean counterparts.
It has been 40 years since noradrenaline was first suggested to have a role in the control of food intake. Despite this length of time, the findings of this study and others highlight that there is still a lot to be learned about the role of noradrenaline in the natural, physiological control of food intake. Future work aimed at unravelling the receptor pathways by which noradrenaline influences feeding behaviour will increase the understanding of how anti-obesity drugs such as sibutramine work. Furthermore, a greater understanding of the physiological basis of appetite control could reveal more targets for the anti-obesity agents of the future.
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|
Enhanced methods for Evolution in-Materio Processors
Benedict. A. H. Jones
Department of Engineering
Durham University
Durham, DH1 3LE, UK
email@example.com
Noura Al Moubayed
Department of Computer Science
Durham University
Durham, DH1 3LE, UK
firstname.lastname@example.org
Dagou A. Zeze
Department of Engineering
Durham University
Durham, DH1 3LE, UK
email@example.com
Chris Groves
Department of Engineering
Durham University
Durham, DH1 3LE, UK
firstname.lastname@example.org
Abstract—Evolution-in-Materio (EiM) is an unconventional computing paradigm, which uses an Evolutionary Algorithm (EA) to configure a material’s parameters so that it can perform a computational task. While EiM processors show promise, slow manufacturing and physical experimentation hinder their development. Simulations based on a physical model were used to efficiently investigate three specific enhancements to EiM processors which operate as classifiers. Firstly, an adapted Differential Evolution algorithm that includes batching and a validation dataset. This allows more generational updates and a validation metric which could tune hyper-parameters. Secondly, the introduction of Binary Cross Entropy as an objective function for the EA, a continuous fitness metric with several advantages over the commonly used classification error objective function. Finally, the use of regression to quickly assess the material processor’s output states and produce an optimal readout layer, a significant improvement over fixed or evolved interpretation schemes which can ‘hide’ the true performance of a material processor. Together these enhancements provide guidance on the production of more flexible, better performing, and robust EiM processors.
Index Terms—Batching, binary cross entropy, evolution in-materio processors, evolutionary materials, evolvable processors, material kernel
I. INTRODUCTION
Challenges to the development and further improvement of traditional CMOS technology [1] has led to a growing interest in unconventional computing methods. Evolution in-Materio (EiM) is one such approach which seeks to exploit a material’s physical properties to perform a computational task. EiM is inspired by the complex functions that simple nucleotides can perform when configured by evolution into a genome [2]. The electronic capability of an EiM processor is discovered through the use of an Evolutionary Algorithm (EA) which seeks to improve the performance of the system. This EA attempts to harness the innate computational ability present in the material processor using only a few configurable parameters, thereby conforming to the complexity engineering approach [3]. EiM processors have been used to achieve a range of applications such as logic gates [4]–[7] and classification [8]–[10]. While EiM processors show promise, they still require significant development before any mainstream adoption. Recent work has addressed some fundamental questions about the effect that simple algorithm and material changes have on classification performance [11], and establishes a framework to perform EiM. In this paper, we present three techniques which can be applied to EiM processors to leverage significantly better performance for classification.
EiM processors are generally formed from three constituent parts: (i) a material whose characteristics can be altered via external stimuli, (ii) a hardware interface which can apply inputs and read outputs from the material, and (iii) a device which can host and execute an EA to optimise the material. Materials are generally selected for their configurability and complexity, such as metallic nanoparticles [7], [12], liquid crystals [13], [14], single walled carbon nanotubes [5], [9], and dopant networks [6], [15]; all of which are material networks that can be configured by the application of voltages. As such, EiM processors are generally fabricated by depositing the chosen nanomaterial on a microelectrode array, which is used to apply and measure voltages, similarly to the design depicted in Fig. 1. The work presented in this paper focuses on three enhancements to the EiM paradigm, specifically relating to how the EA exploits the material processor. We now discuss these three contributions in turn.
EiM systems are limited by the available memory provided by the microprocessors that control the hardware interface which interacts with the nanomaterial electrode array. Examples from previous work include an Mbed with 32KB of RAM [10] or the MECOBO with 128KB RAM [16]. As execution speeds within in-materio processors improve, possibly up to 100MHz [6] or more, it becomes increasingly important to
make efficient use of the memory available, to avoid unnecessary waiting and keep the (in-materio) processing unit running at full capacity. Similarly, Artificial Neural Network (ANN) systems often have limited local fast GPU memory preventing large datasets being executed all at once. Instead, batching (or mini-batching) is commonly used to split up the data into smaller groups or ‘batches’ [17], this has several benefits including a smaller memory footprint, more network updates and helping to prevent the model from over fitting. Our first contribution is the examination of the effect of introducing batching to a Differential Evolution EA, which to the best of our knowledge is used to exploit EiM for the first time.
EiM processors for classification are commonly achieved via the readout and interpretation of physical voltages. These signals will be subject to noise from the hardware, power supplies etc., meaning the placement of the EiM classifiers decision boundary is of great importance. Some recent work introduced a confidence measure for a carbon-nanotube/liquid crystal classifier [18] relating the physical output signals with a Figure of Merit. These results suggest that the ‘depth’ of an assigned data instance into a particular class from the physical classifiers decision boundary contains useful information. Our second contribution is the proposal that incorporating this Figure of Merit into the EA’s objective function will lead to EiM systems with superior decision boundary placement compared to systems operating with the commonly implemented classification error [10], [18], [19]. To this end, we investigate the adaptation of Binary Cross Entropy (BCE) as a modified objective function for an EiM’s exploiting EA for the first time.
Ensuring that a material is consistently and successfully exploited for EiM has proved challenging. Previous work has shown that if a material’s outputs are inappropriately interpreted the performance of an EiM processor may be hidden [11]. However, materials with monotonically increasing current-voltage (IV) characteristics often require some interpretation process of combination and/or comparison to solve complex classification problems. Other materials, such as those with IV characteristics containing negative differential resistance (NDR) [6], [7], can achieve more complex output states which may require less complex interpretation. EiM processors have therefore traditionally contained some evolvability in the output interpretation, e.g. output weights [11], [19] or evolvable thresholds [10]. Our final contribution is to enhance the assessment and exploitation of the material. We investigate the introduction of a regression step into the EA algorithm, used to produce a readout layer for the material. This results in an optimised output layer every time a population member is tested, a significant improvement compared to evolving the output layer. It should be noted that the use of regression brings the EiM computational paradigm one step closer to Reservoir Computing (RC) [20]. Indeed, by adapting an EiM processor to temporal data, it could be classed as physical RC with an evolvable reservoir.
The paper first outlines the background and basic operation of EiM processors for classification in §II. This is followed by the implementation of the three proposed enhancements in §III, namely the introduction of batching, BCE as an objective function, and a regression step. The testing methods, simulated material networks and considered datasets are outlined in §IV. The results of the three proposed enhancements are discussed in §V. Finally, we summarise the paper and conclude in §VI.
II. BACKGROUND
EiM exploits nanomaterials using an optimisation algorithm such that they can perform useful tasks. Since in-Materio processors are analogue and generally lack an analytical model, population-based derivative-free optimisation algorithms are used, rather than gradient based algorithms [9]. EAs are a subset of evolutionary computing, consisting of population-based metaheuristic search algorithms, making them ideal for EiM. EAs take advantage of biologically inspired operations such as reproduction, mutation, recombination and natural selection [21]. Many types of EAs have been used for EiM such as Evolutionary Strategies [19], Genetic Algorithms [7], Differential Evolution [9], [10] or Particle Swarm Optimisation [22], [23]. In particular, Differential Evolution (DE) is an easily implemented and effective optimisation algorithm for exploiting EiM processors. DE is a derivative-free, stochastic, population-base, heuristic direct search method [21], [24] which only requires a few robust control variables [25] and is attractive for real parameter optimisation [26].
In this paper, we combine a DE algorithm with a material simulation (developed in [11]) which allows significantly faster testing and analysis of EiM processors than physical manufacturing and experimentations would allow. Full details are available elsewhere [24], [26], but briefly, the DE algorithm uses the greedy criterion that involves evaluating the fitness of each member of a generation’s population, with those members of the population with better fitness being more likely to proceed to the next generation. The characteristics of the population thus change gradually over time due to the random mutation of characteristics and cross-over with other population members. Every member of the population is represented by a vector of decision variables \( \mathbf{X} \). This decision vector contains configuration parameters which the EA optimises each generation. In this paper the decision vector is defined as:
\[
\mathbf{X} = [V_{c1} \ V_{c2} \ ... \ V_{cP} \ G_{sh} \ l_1 \ l_2 \ ... \ l_R \ m_1 \ m_2 \ ... \ m_Q]^T
\]
(1)
where \( T \) is the vector transpose. The included configuration parameters are as follows [11]: Input “configuration” voltage stimuli \( V_{cp} \) applied to a node \( p \), where the total number of configuration nodes is \( P \). The shuffle gene \( G_{sh} \) which allows for reassignment of input electrodes to access different inter-node arrangements. Input weights \( l_r \in [-1, 1] \) that scale the input voltages \( V_{r}^{in} \) applied at the data driven input electrodes \( r \) due to a corresponding input attribute \( a_r \), such that:
\[
V_{r}^{in}(k) = l_r \times a_r(k),
\]
(2)
where \( k \) is a given data instance and the total number of data driven input electrodes is \( R \). Output weights \( m_q \in [-2, 2] \)
for each output electrode $q$, which allows flexibility in how the network combines a particular data instances’ resulting material outputs into a single overall network response $Y$, as follows:
$$Y(k) = \sum_{q}^{Q} m_q V_q^{out}(k),$$ \hspace{1cm} (3)
where $Q$ is the total number of output nodes and $V_q^{out}$ is the material’s output voltage. The generated network response $Y$ is then used to designate a class label to the processed data instance using a simple threshold:
$$\widehat{\text{class}}(k) = \begin{cases}
2, & \text{if } Y(k) \geq 0 \\
1, & \text{if } Y(k) < 0
\end{cases},$$ \hspace{1cm} (4)
where $\widehat{\text{class}}$ is the predicted class label. The operation of the EiM processor is shown in Fig. 2, illustrating how the system is affected by the configuration parameters.
During each generation, every member of the population is evaluated using the training data and an associated fitness is calculated using the EA’s objective function. Commonly, in EiM systems, the objective function $\Phi$ is defined as the mean error of a dataset (i.e., the classification error):
$$\Phi = \frac{1}{K} \sum_{k=1}^{K} e(k),$$ \hspace{1cm} (5)
where $k$ is an instance within a dataset of total length of $K$.
Each data input instance produces an error value $e(k)$ of 0 or 1 for correct or incorrect classification, respectively. Generally, the dataset $D$, containing $R$ attributes $a_1, a_2, \ldots, a_R$, is split into two subsets: a training set $D^{train}$ and a test set $D^{test}$. The training set is used to evaluate and update the population during the evolutionary optimisation, and a test set is used to evaluate the final best population member $p_{best}$. The pseudocode describing the DE optimisation process is presented in Algorithm 1, where $f(pop, Dataset)$ is a fitness function (e.g., (5)) evaluating member(s) of a particular population on a data subset, and $BestFitness(pop, Dataset)$ returns the population member with the best fitness on selected data subset.
**Algorithm 1:**
Pseudocode for DE based EiM.
- Initialise the population $p$;
- Evaluate initial population $f(p, D^{train})$;
- $p_{best} = BestFitness(p, D^{train})$;
- $epoch = 0$;
- **while** $epoch < MaxNumberEpochs$ **do**
- Generate trial population $t$;
- Evaluate trial population $f(t, D^{train})$;
- Update population $p$ with respect to $t$;
- $p_{best} = BestFitness(p, D^{train})$;
- $epoch = epoch + 1$;
- **end**
- Evaluate $p_{best}$ using the test data $f(p_{best}, D^{test})$;
### III. MODEL DEVELOPMENT
#### A. Batching
Batching (or mini-batching) is a technique used in ANNs [17], [27], which involves dividing up the training data into smaller groups known as batches. The use of small batch sizes leads to a significantly smaller memory footprint, and in the case of ANNs is found to improve generalisation performance [17]. Each batch is fed into the ANN and used to update its parameters. When all the batches (and therefore all the training data) has been used, then we say that a single epoch has occurred. Previous work has introduced batching into a DE algorithm for Neural Network Optimisation [28]. Using similar principles, we implement batching within DE for an EiM processor as follows: The dataset $D$ is split into three subsets: a training set $D^{train}$, a validation set $D^{valid}$, and a test set $D^{test}$. The training set is split equally into $N$ balanced batches $B_0, B_1, \ldots, B_{N-1}$. These batches are used sequentially to train the population, where each batch results in a single generational update. The validation set is used to provide a uniform evaluation of the population at the end of an epoch and maintain the best ‘global’ member. If the population has produced a member which yields a better validation fitness than previously, that member is selected as the new global best member $G_{best}$. While not implemented here, we note that validation fitness could also be used to tune the system’s hyper-parameters. The test set is unseen data used to evaluate the global best member once some termination criteria is met.
The pseudocode describing the DE optimisation process is presented in Algorithm 2. Here we must clarify that to enable a reliable comparison between the parent/previous generation population (which was evaluated using a batch $B_{n-1}$) and a new trial/child population (evaluated using the current batch $B_n$), it is necessary to compare the trial fitness to a re-evaluated parent fitness (using the current batch $B_n$). Therefore, by using batching we are doubling the number of training data computations being carried out. We define a special case when $N = 1$, where there is only one batch which
is the entire training set $D^{train}$. In this case, there is no need to re-evaluate the parent population, and the new algorithm is differentiated from the original Algorithm 1 by its use of the validation set.
**Algorithm 2:**
Pseudocode for DE based EiM with batching.
- Initialise the population $p$;
- Generate $N$ batches $B_0, B_1, \ldots, B_{(N-1)}$;
- Evaluate initial population $f(p, B_0)$;
- $G_{best} = \infty$;
- $epoch = 0$;
- $n = 1$;
- **while** $epoch < MaxNumberEpochs$ **do**
- **if** $N > 1$ **then**
- Evaluate population $p$ on new batch $f(p, B_n)$;
- **end**
- Generate trial population $t$;
- Evaluate trial population $f(t, B_n)$;
- Update population $p$ with respect to $t$;
- $p_{best} = BestFitness(p, B_n)$;
- **if** $n \geq N - 1$ **then**
- **if** $BestFitness(p, D^{valid}) \leq G_{best}$ **then**
- $G_{best} = BestFitness(p, D^{valid})$;
- **end**
- $n = 0$;
- $epoch = epoch + 1$;
- **else**
- $n = n + 1$;
- **end**
- Evaluate $G_{best}$ using the test data $f(G_{best}, D^{test})$;
**B. Cross Entropy Loss**
As mentioned in the introduction, classification error is a commonly used objective function for EiM processors which evaluates a data input instance by assigning an error value $e(k)$ of 0 or 1 for correct or incorrect classification respectively. While this is a flexible approach shown to work for many EiM systems, it provides a discrete fitness evaluation where members of the same fitness cannot be differentiated. Considering a very simple, linearly separable problem, it is easy to see how a decision boundary may achieve a zero classification error, but still have varying qualities in operation due to the inevitable presence of noise, as shown in Fig. 3. Instead, by introducing a continuous metric associated to the distance of the data from the decision boundary, similar to the Figure of Merit or the ‘confidence’ that it is within the correct class [18], a more consistently favourable decision boundary should be achieved, as shown in Fig. 3b.
Binary Cross Entropy (BCE) or log loss is an established loss function for machine learning binary classification tasks. Cross entropy generates larger loss values as the predicted probability of a label diverges from the value of the actual label. To adapt BCE as an objective function for EiM systems, the raw output of the EiM processor must be first constricted to $\in [0, 1]$. To do this a sigmoid function $\sigma(k)$ is used such that for a particular input data instance $k$:
$$\sigma(k) = \frac{1}{1 + e^{-Y(k)}},$$
where $Y(k)$ is the network response of the system defined in (3). The entropy or log loss $H(k)$ is defined as:
$$H(k) = \begin{cases}
-\ln(1 - \sigma(k)), & \text{if } class(k) = 1 \\
-\ln(\sigma(k)), & \text{if } class(k) = 2
\end{cases},$$
where $\ln()$ is the natural logarithm and $class(k)$ is the actual label associated with the data instance. Therefore, the adapted BCE objective function that the system attempts to minimise is defined as:
$$\Phi^{BCE} = \frac{1}{K} \sum_{k=1}^{K} H(k).$$
This new cross entropy based objective function is designed to penalise classified instances which are both confident (i.e., far from the decision boundary) and wrong, but reward classified instances which are both confident and right, as shown in Fig. 4.
C. Regression Generated Output Layer
Recent work has shown that the use of output weights is important in EiM processors [11] allowing a material’s output states to be combined and produce more complex decision boundaries which can significantly improve the results for classification problems. This suggests that the interpretation scheme used to extract information from an EiM material’s outputs is of great importance, and if one such scheme is inappropriately chosen it may “hide” the true computational performance possessed by the material.
As discussed in the introduction, interpretation schemes for EiM processors have typically been fixed, or contain evolvable parameters such as classification thresholds or output weights. Here, we consider the use of ridged regression to efficiently generate and optimise a readout (i.e., output) layer. There are two notable changes to the algorithm brought about by the introduction of regression: (i) a readout layer is generated during the evaluation of a population member in the training phase, and (ii) the regression will have its own separate loss function which does not necessarily align with the EA objective function. The generated readout layers must be stored and updated in a vector, which corresponds to the current population, so that the best decision vector and readout layer combination is tracked and may be recalled when evaluated on the test (or validation) data set.
IV. TESTING METHODOLOGY
A. Material Simulation & Algorithm Evaluation
This paper focuses on investigating algorithm adaptations which boost the performance of EiM processors. To this end, the simulated material was selected such that it would not be the limiting factor. Here we focus our attention on a simulated Diode Random Network (DRN) material processor [11]. The DRN is based on randomly interconnected diode and resistor networks, it acts as an exemplar of a highly non-linear material. These networks contain either voltage driven input nodes, or measured output voltage nodes, calculated using a SPICE DC analysis. The DRN consists of a diode of random orientation in series with a randomly selected resistor between every node pair. The rapid changes in conductivity when a diode is turned on allows for a flexible and non-linear classification decision boundary. The DRN is physically realisable using discrete circuit components and its properties are common in nanomaterials. Therefore, the DRN is a reasonable representation of an EiM material with good complexity which will not limit the performance and hinder the investigation of the proposed algorithm adaptations. Other IV characteristics are possible [11] but these are outside the scope of the current paper. An example of a five node (i.e., electrode) material is given in Fig. 5.
To exploit the material as an EiM processor and perform classification, DE is used to optimise the vector of decision variables (i.e., (1)). In this work, a DE/best/1/bin algorithm is used [26] with a mutation factor of $F = 0.8$, crossover rate of $CR = 0.8$, and population of 20. The DE algorithm was then altered to include batching, BCE and the intermediate regression step.
To ensure a fair comparison between the proposed algorithms, fifteen DRN materials were generated, each with twelve nodes which correspond to electrodes in a physical system, and these were used in all the experiments. Therefore, differences in performance can only be attributed to the algorithm exploiting the materials. However, EAs are stochastic in nature which leads to variations in convergence speed. To mitigate this randomness during experimentation, the algorithm under consideration is repeated five times on each of the fifteen materials. The results from these seventy-five executions are used to evaluate the proposed algorithms.
In this paper we consider datasets containing different numbers of attributes. It is important that the material electrodes (i.e., simulated material nodes) are appropriately assigned. Assuming the selected dataset $D$ contains $R$ attributes, then $R$ nodes were allocated as input nodes. To help ensure exploiitability, the inputs are then projected to higher dimensional outputs. Here, $R+1$ nodes were allocated as output nodes. The remaining nodes are allocated as configuration voltage input stimuli, as seen in Fig. 2.
B. Datasets
To assess the performance of the EiM classifiers a pair of two attribute binary datasets was generated. The first is a simple linearly separable 2D dataset (2DDS), containing one thousand data instances with two attributes, $a_1$ and $a_2$, and two classes, 1 and 2, as seen in Fig. 6a. Similarly, the second dataset contains a thousand data instances, but generated concentrically, as seen in Fig. 6b, and will be referred to here as the c2DDS. The c2DDS is a more challenging dataset, requiring the algorithm to exploit non-linearities within the material processors to produce an enclosed decision boundary. Lastly, the Banknote UCI dataset [29] is also used in this work as an example of a real world, four attribute binary classification problem containing 1372 data instances.
The more challenging c2DDS and BankNote datasets were considered and used to compare the Algorithm 1 with the special case $N = 1$ and various other batch sizes used for Algorithm 2. The evolution of the mean best population member ($p_{best}$) training fitness is shown in Fig. 7a & 7c for the c2DDS and BankNote datasets respectively. Fig. 7b & 7d show the corresponding change in mean validation accuracy of Algorithm 2’s global best member ($G_{best}$), or in the case of Algorithm 1 simply the mean training accuracy of the $p_{best}$.
Algorithm 2, with $N = 1$, shows comparable results to the original Algorithm 1. As the number of batches $N$ was increased, the EiM processors converged substantially faster, and a higher validation and final test fitness is achieved. Significantly, the introduction of batching leads to an increased number of generations per epoch. The number of computations (i.e., number of data instances processed) used for a single generational update $\gamma$ for the original Algorithm 1 is:
$$\gamma = 0.8n_d,$$
and the number of computations per generation for the batching Algorithm 2 (when $N > 1$) is on average:
$$\gamma^{batching} = \frac{1.4n_d}{N}.$$
The large increase in performance is attributed to this faster rate of useful generational updates. This should allow physical EiM devices to be trained more quickly and be more computationally efficient. However, if the batch size is too small (e.g., batches containing six data instances or fewer), not enough information from the dataset $D$ will be present, leading to wild variation in training population fitness. This can result in poor population updates and a lack of EA convergence to an acceptable solution.
### B. Cross Entropy Loss
The EiM processors were used to classify the 2DDS using the classification error objective function (5), over 40 epochs, with Algorithm 2 and $N = 1$. This process was then repeated using the BCE objective function (8). A histogram of the processor output response $Y$ generated by the test data from all the repetitions is plotted in Fig. 8a. The error evolved system produced output responses much closer to the decision boundary (i.e., $Y = 0$). The BCE evolved systems generate output responses much further away from the decision boundary, meaning these EiM processors are placing boundaries between the data much more successfully.
The BCE objective function requires the output layer (3) to evolve and exploit the sigmoid (6) to learn which data instances are considered ‘deep’ or not. Therefore, insufficient flexibility within the output layer (such as the maximum and minimum output weight), could limit the final fitness an EiM processor could achieve. We also note that Algorithm 2 grants the system design more flexibility, with the opportunity to select different objective functions for the training and validation evaluations. However, in this work the selected objective function was used for both training and validation fitness scores.
To examine the different systems’ resilience to noise, the test data is combined with varying levels of Gaussian noise $X \sim N(0, \sigma^2)$ and then evaluated on the trained systems. The same set of random seeds is used such that a fair comparison between the systems can be made. The mean test accuracy is plotted against a variation of $\sigma$, as seen in Fig. 8b. As expected, the BCE evolved system is significantly more resilient to the input noise due to the decision boundary being placed in a location which provides a better probabilistic assignment of class. While the addition of input noise has been used to illustrate the superior quality of boundary placement achieved by the BCE objective function, this is still considering a system evolved under ideal conditions. Further work, with simulations accounting for more realistic sources of noise, would help establish the importance and effect of noise during the training & operation of physical EiM processors.
C. Regressed EiM
Standard EiM processors using an output layer defined and evolved in the decision vector $\mathbf{X}$ were used to solve the c2DDS and Banknote dataset. Algorithm 2 was used with $N = 1$ for 60 epochs, using the classification error objective function. The change in the mean validation accuracy of the systems’ global best member is tracked in Fig. 9a and Fig. 9b for the c2DDS and Banknote dataset respectively. The EiM processors were then re-trained, but with ridge regression as an intermediate step to generate the output layer, referred to here as Regressed EiM. To ensure a fair comparison, ridge regression was used without fitting an intercept, so only a readout layer using output weights (and no bias) is generated. After just one epoch, the Regressed EiM processors achieved a 23.9% and 14.7% better mean validation accuracy for the c2DDS and Banknote datasets respectively. The performance of the
Standard EiM processors is clearly tied to the interpretation scheme, in this case dependant on an output layer defined by the output weights contained in the decision vector. Possibly well performing configured materials are being hidden by poorly performing output weights. By contrast, the use of ridge regression allows the output layer to be independently optimised, and therefore ensure that material outputs are exploited fully for the target problem.
As the evolutionary period progresses the mean accuracy of the Standard EiM processors rapidly increases. This is due to the optimisation of both the material configuration and the interpretation scheme. However, in the case of Regressed EiM, the performance gains are only driven by an improvement of the material configuration. After 60 epochs, the mean validation accuracy of the Regressed EiM processors increased by 7.21% and 1.84% for the c2DDS and Banknote dataset respectively. For these simulated material processors, only small gains in fitness, and therefore accuracy, are made during the evolutionary process. However, we expect that the benefits of optimising the material’s configuration parameters and stimuli will be closely related to the computational problem and material processor’s properties. Indeed, an EiM processors’ voltage stimuli, input weights and electrode allocation have been shown to provide distinct (if limited) benefits [11].
Ridge regression does not impose limits on the output weights, as is necessary for the DE algorithm’s decision vector. Ridge regression can also be used with a fitted intercept (i.e., a bias), which further improved performance. The introduction of a regression stage allows for the efficient generation of an exploiting readout layer, without the need to optimise output configuration parameters within the slower EA process. We propose that the Regressed EiM presents a much better representation of the true capabilities of the material processor, and significantly improves the speed of convergence to an acceptable classification accuracy. These benefits should translate directly to practical examples of EiM systems, such as SWCNT networks [4], [5], [9]. The regression optimised output weights are not limited, and this flexibility may also allow smaller more subtle differences in a nanomaterials output voltages to be identified and exploited.
The test data results are reported in Table I and suggest that the Standard EiM processors overfitted slightly for the Banknote dataset (Fig. 9b). Here, the EiM processors are also compared to the application of logistic and ridge regression on the raw data, which both the Standard EiM and Regressed EiM approaches outperform. The material is acting similarly to a kernel, transforming the input data into a useful, higher dimensional representation. This is very similar to the behaviour of reservoirs in RC [20]. Indeed, if an EiM processor was extended to process temporal data, then it could be described as a physical RC with an evolvable reservoir. From the perspective of conventional computing, nanomaterials often contain undesirable temporal properties such as hysteresis, charge leakage, etc. Within the EiM computing paradigm, these properties can be exploited to produce unconventional processors. We hypothesise that extending the EiM paradigm to RC will lead to more flexible reservoirs and performance gains, warranting further research.
| Dataset | Processor Type | mean(Φ) | std(Φ) | Best Φ |
|---------|-------------------------|---------|--------|--------|
| c2DDS | Standard EiM | 0.055 | 0.050 | 0.000 |
| | Regressed EiM | 0.004 | 0.017 | 0.000 |
| | Ridge Regression | - | - | 0.490 |
| | Logistic Regression | - | - | 0.490 |
| Banknote| Standard EiM | 0.009 | 0.010 | 0.000 |
| | Regressed EiM | 0.004 | 0.002 | 0.000 |
| | Ridge Regression | - | - | 0.018 |
| | Logistic Regression | - | - | 0.015 |
VI. CONCLUSION
Evolution in-Materio (EiM) processors are a promising unconventional computing paradigm where materials can be configured to perform computational tasks. However, investigating the EiM computational framework is challenging on physical systems due to slow fabrication and testing. Here, a simulation of a physically realisable circuit is paired with Differential Evolution (DE) to produce an EiM processor. This is used to efficiently experiment and explore improvements to the EiM framework and algorithm.
The DE algorithm was adapted to enable batching of the training data. This involved the introduction of a validation step at the end of an epoch to provide a uniform evaluation of the population. Smaller batch sizes were found to converge more quickly to a final solution due to the reduced number of computations needed per generational update. However, extremely small batch sizes were found to cause poor generational updates as not enough information from the dataset was represented.
Binary Cross Entropy (BCE) was introduced to replace the commonly used classification error objective function, and was shown to generate more noise resistant EiM classifiers. BCE is a continuous fitness (i.e., loss) metric which uses information from the classified data instance’s distance from the decision boundary. This ensures that a successful comparison between a trial population member and its parent will always be possible, leading to more reliable convergence, and also superior decision boundary placement.
Regression was used as an additional intermediate step to train the output (i.e., readout) layer of the material processor. This replaced the evolution of output weights, previously defined in the DE decision vector. These generated output layers needed to correspond to, and be maintained alongside, the DE’s population of solutions. Using ridged regression, this technique was found to far outperform the standard EiM algorithm. This highlights that slow to evolve or inappropriate interpretation schemes can “hide” the performance of well configured materials.
EiM processors have the potential to harness complex nanomaterial properties to produce efficient unconventional computing devices. This work shows how the traditional EiM algorithm can be adapted to produce more robust and better performing systems, ensuring physical nanomaterial processors are fully exploited. These enhancements bring EiM processors one step closer to future real-world applications.
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Charles C. Lee and S. Murray Sherman
*J Neurophysiol* 100:317-326, 2008. First published Apr 24, 2008; doi:10.1152/jn.90391.2008
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**Glutamatergic Inhibition in Sensory Neocortex**
C. C. Lee and S. M. Sherman
*Cereb Cortex*, January 28, 2009; 0 (2009): bhn246v1-bhn246.
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Synaptic Properties of Thalamic and Intracortical Inputs to Layer 4 of the First- and Higher-Order Cortical Areas in the Auditory and Somatosensory Systems
Charles C. Lee and S. Murray Sherman
Department of Neurobiology, University of Chicago, Chicago, Illinois
Submitted 22 March 2008; accepted in final form 21 April 2008
Lee CC, Sherman SM. Synaptic properties of thalamic and intracortical inputs to layer 4 of the first- and higher-order cortical areas in the auditory and somatosensory systems. *J Neurophysiol* 100: 317–326, 2008. First published April 24, 2008; doi:10.1152/jn.90391.2008.
The thalamus is an essential structure in the mammalian forebrain conveying information topographically from the sensory periphery to primary neocortical areas. Beyond this initial processing stage, “higher-order” thalamocortical connections have been presumed to serve only a modulatory role, or are otherwise functionally disregarded. Here we demonstrate that these “higher-order” thalamic nuclei share similar synaptic properties with the “first-order” thalamic nuclei. Using whole cell recordings from layer 4 neurons in thalamocortical slice preparations in the mouse somatosensory and auditory systems, we found that electrical stimulation in all thalamic nuclei elicited large, glutamatergic excitatory postsynaptic potentials (EPSPs) that depress in response to repetitive stimulation and that fail to activate a metabotropic glutamate response. In contrast, the intracortical inputs from layer 6 to layer 4 exhibit facilitating EPSPs. These data suggest that higher-order thalamocortical projections may serve a functional role similar to the first-order nuclei, whereas both are physiologically distinct from the intracortical layer 6 inputs. These results suggest an alternate route for information transfer between cortical areas via a corticothalamic pathway.
INTRODUCTION
In each of the main sensory pathways, except olfaction, information is conveyed from sensory receptors eventually to the thalamus and then to primary cortical areas (Jones 2007). From there, the conventional view suggests that information is processed along a hierarchical series of corticocortical connections (Felleman and Van Essen 1991; Rouiller et al. 1991; Zeki and Shipp 1988), with “higher” areas integrating input from “lower” areas to produce increasingly complex receptive fields. In this framework, thalamic inputs are generally disregarded as information-bearing sources for “higher” cortical areas and, instead, are assigned a supporting role for regulating processes such as attention (Olshausen et al. 1993). However, the relevance of any functional assignment is uncertain because the physiological properties of the higher-order thalamocortical pathways have never been adequately elucidated.
Insight into the possible functional roles of these higher-order thalamocortical projections can be derived from related studies of inputs to the thalamus (Bartlett and Smith 2002; Li et al. 2003; Reichova and Sherman 2004), whose synaptic properties have been partitioned into two main types. The first type of input produces large excitatory postsynaptic potentials (EPSPs) by activating only ionotropic glutamate receptors and exhibiting synaptic depression (Li et al. 2003; Reichova and Sherman 2004). These synaptic inputs originate from information-bearing sources, such as the retinogeniculate pathway. The second type of input does not represent the main type of input to be relayed (e.g., the layer 6 corticogeniculate pathway) and, instead, produces small EPSPs that facilitate while activating both ionotropic and metabotropic glutamate receptors (iGluRs and mGluRs) (Li et al. 2003; Reichova and Sherman 2004). These physiological criteria thus provide an ideal basis for comparing the possible roles of the first- and higher-order thalamocortical pathways. Such a characterization of synaptic properties is currently unavailable for the higher-order thalamocortical pathways and is only fragmentary for the first-order pathways (Gil et al. 1999; MacLean et al. 2006; Rose and Metherate 2001; Stratford et al. 1996).
Moreover, these criteria may extend to all cortical inputs, thus potentially establishing an empirical principle for identifying the major routes of information flow throughout the forebrain (Sherman and Guillery 1998, 2002). Thus we sought to compare the basic physiological properties of thalamocortical synapses with those originating from intrinsic cortical sources—that is, the input from layer 6 to layer 4. Anatomically, the intrinsic cortical sources provide an overwhelming majority (~50%) of the input to a cortical column (Ahmed et al. 1994; Lee and Winer 2008b), whereas the thalamocortical input is an order of magnitude less (~5%) (Ahmed et al. 1994; Latawiec et al. 2000; Lee and Winer 2008a). Whether such marked structural differences are further instantiated by distinct synaptic physiological properties remains an open question that we address directly here.
Therefore to investigate these issues, we used in vitro slice preparations in the mouse somatosensory (Agmon and Connors 1991) and auditory (Cruikshank et al. 2002) systems. In each system, the synaptic responses of layer 4 neurons to paired-pulse and high-frequency stimulation were measured and compared for both first- and higher-order pathways.
METHODS
Thalamocortical slice preparations were made from BALB/c mice (ages 10–16 days), as described in previous work (Reichova and Sherman 2004). Briefly, after isoflurane anesthesia and decapitation, whole brains were quickly placed into cool, oxygenated, artificial...
cerebrospinal fluid (ACSF) and blocked to preserve first- and higher-order thalamocortical pathways, as described for the somatosensory (Agmon and Connors 1991) and auditory (Cruikshank et al. 2002) systems. The blocking cuts were modified for the higher-order auditory slice as follows. A rostral coronal blocking cut was first made at $25^\circ$ rostrocaudal from the dorsal surface. The brain was tipped forward on the blocked surface and a second horizontal blocking cut was made at $0^\circ$ along the dorsal surface, which was then affixed to a stage such that slices were collected ventrodorsally. The somatosensory preparation was obtained with nearly equal efficacy for the first-order ($\sim 50\%; n = 16$ of 30) and higher-order ($\sim 50\%; n = 16$ of 36) pathways. The higher-order auditory slice had a somewhat lower success rate ($\sim 25\%; n = 12$ of 52) than did the first-order slice ($\sim 50\%; n = 12$ of 28). Thalamocortical slices (500 $\mu$m) were vibratomed (Campden Instruments, Lafayette, IN), and recovered in physiological ACSF (in mM: 125 NaCl, 25 NaHCO$_3$, 3 KCl, 1.25 NaH$_2$PO$_4$, 1 MgCl$_2$, 2 CaCl$_2$, 25 glucose) for 1 h at 32°C. The slices were then placed in a submersion-type recording chamber on a modified microscope stage and maintained at 32°C with constant perfusion of ACSF.
Whole cell recordings were made under differential interference contrast (DIC) optics to identify thalamic and cortical sites for stimulation with pipettes containing intracellular solution (135 K-gluconate, 7 NaCl, 10 HEPES, 1–2 Na$_2$ATP, 0.3 GTP, 2 MgCl$_2$, and 0.5% biocytin at a pH of 7.3 obtained with KOH and osmolality of 290 mOsm obtained with distilled water). Current- or voltage-clamp recordings were made using the Axoclamp 2A amplifier and pCLAMP software (Axon Instruments, Union City, CA). Depolarizing current injections were used to determine the spiking characteristics of layer 4 neurons. Neurons were classified as regular spiking (RS) if they fired at slow adapting frequencies (<30 Hz) with small and slow afterhyperpolarizations (AHPs; 5–10 mV), in comparison to fast-spiking (FS) neurons that had higher maximal firing rates (>30 Hz), with large and fast AHPs (10–15 mV). The acquired data were digitized using a Digidata 1200 board and then stored in a computer for later analysis.
Thalamocortical axons were labeled in the slice by biocytin iontophoreses (40 $\mu$A, 16.7 mHz, 30 min) in the respective thalamic nuclei, then incubated overnight in ACSF at room temperature. Slices were placed in 4% paraformaldehyde for overnight
**FIG. 1.** Higher-order thalamocortical pathways in the somatosensory slice are intact. *A* and *B*: focal biocytin injections in the posterior medial nucleus (POm) labels fiber tracts that traverse across the ventral posterior nucleus (VP), the thalamic reticular nucleus (TRN), and the internal capsule, before traversing into layer 4 of the secondary somatosensory cortex (SII) (*B*; tracings of labeled axons). *C–E*: photostimulation with caged glutamate in POm (*D*) results in excitatory postsynaptic currents (EPSCs) from a layer 4 neuron in SII (*C*). *E*: response map plot showing the mean EPSC at each stimulation site.
fixation and staining was revealed using standard avidin-biotin-HRP histochemistry (Vector Laboratories, Burlingame, CA). For parvalbumin staining (Cruikshank et al. 2002), sections were first incubated in primary antibody (Sigma, St. Louis, MO) at a dilution of 1:1,000 at 4°C. Sections were then incubated at room temperature in biotinylated secondary antibody for 1 h and processed with standard avidin-biotin-HRP histochemistry (Vector Laboratories). For cytochrome oxidase staining, sections were processed using the method of Wong-Riley (1979).
Stock solutions of receptor antagonists were prepared in distilled water, diluted to their final concentration just before use, and were bath applied. The final bath concentration was generally estimated to be one fourth of the initial concentration based on the rate of injection. To block ionotropic glutamate receptors during high-frequency stimulation, 6,7-dinitroquinoxaline-2,3-dione (DNQX, 50 μM) for α-amino-3-hydroxy-5-methyl-4-isoxazolepropionic acid (AMPA) and (+)-5-methyl-10,11-dihydro-5H-dibenzo[a,d]cyclohepten-5,10-imine maleate (MK-801, 40 μM) for N-methylaspartate (NMDA) were used. To block γ-aminobutyric acid (GABA) receptors, gabazine (SR95531, 50 nM) for GABA_A and 3-aminopropyl(cyclohexylmethyl)phosphinic acid (CGP46381, 50 nM) for GABA_B were used.
Bipolar concentric electrodes were used for electrical stimulation in the thalamus (FHC, Bowdoinham, ME) and stimulation consisted of pulses of 0.1–0.2 ms delivered using an electrical stimulus protocol (Gil et al. 1999) to determine the intensity producing half successes/half failures (Fig. 5, C and D). This low-intensity stimulation was used to avoid the activation of corticothalamic fibers and fibers of passage; note that we do not suggest that our stimulation protocol activates single axons. The stimulation electrode was situated in the location that produced the most robust responses with the lowest stimulus intensity. A paired-pulse protocol delivered pulses (0.1–0.2 ms) separated by 25–200 ms and high-frequency stimulation consisted of pulses at 125 Hz for 800 ms. The paired-pulse protocol was also tested in the presence of GABA blockers.
For photostimulation, nitroindolyl (NI)-caged glutamate (Sigma-RBI) was added at a concentration of 0.37 mM to the recirculating ACSF (Shepherd et al. 2003). Photolysis of the caged glutamate was
done focally with an average beam intensity of 5 mW to give a 1-ms, 100-pulse light stimulus by Q-switching the pulsed UV laser (355-nm wavelength, frequency-tripled Nd:YVO$_4$, 100-kHz pulse repetition rate; DPSS Lasers, Santa Clara, CA). Responses were analyzed using custom software written in Matlab (MathWorks, Natick, MA) and the traces were superimposed on a photomicrograph corresponding to the stimulation sites.
**RESULTS**
We examined the physiological properties of thalamocortical and intracortical synapses in vitro using slice preparations from the mouse somatosensory (Agmon and Connors 1991) and auditory (Cruikshank et al. 2002) systems (Figs. 1–3), which have been described previously. The somatosensory slice contained both the first-order (the ventral posterior medial nucleus [VPm] to cortical area SI) and higher-order (the posterior medial nucleus [POm] to cortical area SII) thalamocortical pathways (Spreafico et al. 1987) (Fig. 1). For the auditory slice, we used different slice preparations for the first- and higher-order pathways (see METHODS).
The higher-order thalamocortical projection has not previously been demonstrated in the somatosensory slice, but was
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**FIG. 3.** Parvalbumin distinguishes the first-order and higher-order auditory regions, whereas cytochrome oxidase distinguishes the first-order somatosensory area. $A$ and $B$: the first-order auditory regions stain intensely for parvalbumin in the ventral portion of the medial geniculate nucleus (MGv) ($A$) and in the primary auditory area (AI) cell bodies ($B$). $C$ and $D$: the higher-order auditory regions are weakly immunoreactive in both the dorsal portion of the medial geniculate nucleus (MGd) ($C$) and AII ($D$). $E$ and $F$: cytochrome oxidase intensely labels the barrel region ($E$). $F$: a recovered biocytin-filled neuron in the primary somatosensory area (SI).
verified here using biocytin injections in POm that labeled thalamocortical axons terminating in layer 4 of SII (Fig. 1, A and B) and also using photostimulation with caged glutamate in POm to elicit excitatory postsynaptic current (EPSC) responses in SII (Fig. 1, C–E). In all instances, biocytin injections placed in POm of electrophysiologically connected slices \((n = 5)\) resulted in fibers terminating in layer 4 of SII (Fig. 1, A and B). In addition, photostimulation of POm resulted in EPSCs in SII \((n = 4)\), which must originate from intact thalamocortical neurons in POm, since photostimulation activates only the soma or proximal dendrites of neurons and not fibers of passage or axons antidromically (Lam and Sherman 2007; Shepherd et al. 2003). POm is thus at least partly connected to SII in the slice. Both first-order and higher-order regions were readily distinguished in the living slice preparations under DIC optics. The ventral posterior medial nucleus had a characteristically dark crescent or half-moon appearance, whereas the posterior medial nucleus was lighter in appearance (Figs. 1D and 5A). SI was distinguished from SII by the presence of the barrel fields in SI, which appeared as a series of alternating dark and light regions in layer 4 (Figs. 1C and 5A) (Agmon and Connors 1991). These are also evident in slices postprocessed for cytochrome oxidase (Fig. 3, E and F) (Wong-Riley 1979).
For the auditory system, first-order (the ventral portion of the medial geniculate body [MGv] to cortical area AI; Figs. 3, A and B and 5B) and higher-order (the dorsal portion of the medial geniculate body [MGd] to cortical area AII; Figs. 2, 3, C and D, and 5C) thalamocortical slices were prepared using different blocking cuts (see METHODS). The higher-order projection from MGd to AII has not previously been demonstrated in a slice, but was verified here using biocytin injections in MGd that labeled thalamocortical axons terminating in layer 4 of AII (Fig. 2, A and B) and using photostimulation in MGd to elicit EPSCs in AII (Fig. 2, C–E). In all instances, biocytin injections of MGd \((n = 4)\) of electrophysiologically connected slices resulted in fibers extending into layer 4 (Fig. 2, A and B). Photostimulation in MGd \((n = 3)\) also elicited responses from AII (Fig. 2, C–E). Thus MGd is at least partly connected to AII in the slice. The cytoarchitecture of first- and higher-order regions was subtle under DIC optics, although the laminar arrangement of MGv neurons could occasionally be discerned from the more anisotropic character of MGd (Winer 1992). Areal and nuclear determinations were validated post hoc in each case with parvalbumin immunocytochemistry (Cruikshank et al. 2002), which differentiated the first-order thalamic nucleus (MGv) (Fig. 3A) and cortical area (AI) (Fig. 3B) from their higher-order equivalents (Fig. 3, C and D). In the thalamus, parvalbumin intensely stained the neuropil in MGv (Fig. 3A), whereas MGd is weakly stained (Fig. 3C), which is apparent from a comparison with surrounding structures. In the cortex, parvalbumin-stained neuronal cell bodies are highly clustered in AI (Fig. 3B), but stained more diffusely in AII (Fig. 3D).
**First- and higher-order thalamocortical synapses**
For each of these preparations, we obtained whole cell, current-clamp recordings from layer 4 neurons in response to low-intensity electrical stimulation in the thalamus (Fig. 4, C and D). We studied the evoked EPSPs in a total of 56 neurons (46 regular spiking; 10 fast spiking). Regular-spiking (RS) neurons fired at slow adapting frequencies \((23.7 \pm 4.2\) Hz) with small afterhyperpolarizations (AHPs; \(4.8 \pm 0.9\) mV), whereas fast-spiking (FS) neurons had higher maximal firing rates \((56.2 \pm 5.8\) Hz), with large AHPs \((11.3 \pm 1.8\) mV) (Fig. 4, A and B). RS neurons had an average resting potential of \(-65.3 \pm 4.8\) mV and input resistance of \(291.4 \pm 120.3\) MΩ, whereas FS neurons had an average resting potential of \(-62.8 \pm 6.9\) mV and input resistance of \(167.6 \pm 79.9\) MΩ. These cortical neurons (Fig. 4, A and B) were distributed as follows: somatosensory first-order \((n = 16\), activation of the ventral posterior medial nucleus to area SI); somatosensory
The majority of recorded layer 4 neurons were regular spiking neurons (A, C) \((n = 46)\), whereas fast-spiking (FS) neurons constituted a relative minority (B, D) \((n = 10)\). C and D: low-intensity electrical stimulation, determined as the intensity that resulted in half successes/half failures (Gil et al. 1999), in the thalamocortical pathways resulted in large excitatory postsynaptic potentials (EPSPs) that were slightly larger in FS neurons.
higher-order ($n = 16$, activation of the posterior medial nucleus to area SII); auditory first-order ($n = 12$, activation of the ventral portion of the medial geniculate body to area AI); and auditory higher-order ($n = 12$; activation of the dorsal portion of the medial geniculate body to area AII). In all thalamocortical pathways, thalamic stimulation (20–70 $\mu$A) elicited large-amplitude (~4 mV), monosynaptic EPSPs (Fig. 5, $D–G$, row $i$), as determined by their short latency (5–7 ms), low onset jitter (<0.5 ms), monophasic time course, and small-amplitude variance (Table 1).
All of the thalamocortical EPSPs depressed in response to paired-pulse stimulation (Fig. 5, $D–G$, row $ii$) and were most depressed at higher frequencies (Fig. 5, $D–G$, row $ii$, top vs. bottom trace). Since these synapses also depress in the presence of pharmacological blockers of GABA receptors, the effect cannot be accounted for by feedforward inhibition. We quantified this effect by measuring the ratio of response amplitudes to the first and second pulses (EPSP2/EPSP1) and examined their subsequent distributions (Fig. 6). For all thalamocortical pathways, paired-pulse ratios were distributed unimodally at values <1.0, with an average value of 0.64 ± 0.14 at 10 Hz (Fig. 6A). This ratio decreased with increasing frequency, with the lowest values (0.54 ± 0.15) found at 40 Hz (Fig. 6B; Table 2). This finding of large, depressing EPSPs is indicative of synapses with high-release probabilities (Gil et al. 1997, 1999) and is common to both first- and higher-order thalamocortical pathways.
Another physiological property that could potentially distinguish the first- and higher-order pathways is a differential response of postsynaptic mGluRs (Reichova and Sherman 2004). Thus to test whether thalamocortical pathways activate an mGluR response, iGluRs were pharmacologically blocked with DNQX (for AMPA receptors) and MK-801 (for NMDA receptors) in the same neurons that were used to test paired-pulse responses. High-frequency stimulation (HFS) was then applied in the thalamus (125 Hz for 800 ms), which is often required to elicit mGluR responses (McCormick and Von Krosigk 1992). In all of the tested thalamocortical pathways, thalamic HFS failed to elicit an mGluR response, even at very high intensities (>100 $\mu$A) (Fig. 5, $D–G$, row $iii$), underscoring the physiological similarity of both first-order and higher-order thalamocortical synapses. Thus first-order and higher-
$A–C$: photomontage of thalamocortical pathways in living slice preparations based on photomicrographs taken in the recording setup. The somatosensory slice (Agmon and Connors 1991) ($A$) contains both first-order (i.e., the ventral posterior medial nucleus [VPm] and SI) and higher-order (i.e., the posterior medial nucleus [POm] and SII) thalamocortical systems, whereas auditory slice (Cruikshank et al. 2002) preparations containing first-order (i.e., the ventral portion of the medial geniculate nucleus [MGv] and AI) ($B$) or higher-order (i.e., the dorsal portion of the medial geniculate nucleus [MGd] and AII) ($C$). Thalamocortical pathways are prepared from different blocking cuts (insets; see METHODS). $D–G$: whole cell, current-clamp recordings from single cells in cortical layer 4 in response to electrical thalamic stimulation in first-order ($D, F$) and higher-order ($E, G$) pathways of the somatosensory ($D, E$) and auditory ($F, G$) systems. Low-intensity electrical stimulation elicits large EPSPs (~4 mV) ($i$) that depress in response to paired-pulse stimulation ($ii$; from top: 5, 10, 20 Hz). Pharmacologically blocking the $\alpha$-amino-3-hydroxy-5-methyl-4-isoxazolepropionic acid and $N$-methyl-d-aspartate receptors followed by high-frequency thalamic stimulation (125 Hz for 800 ms) does not evoke a metabotropic glutamate receptor response ($iii$).
order thalamocortical projections are indistinguishable based on all of these tested parameters, suggesting that their functional roles may also be identical.
**Layer 6 to layer 4 synapse**
To test other cortical synapses, we then investigated the intracortical pathway from layer 6 to layer 4. A reason for doing this is that earlier reports (Stratford et al. 1996; Tarczy Hornoch et al. 1999) indicated that such input evokes a very different EPSP pattern from the thalamocortical pattern reported here—i.e., a facilitating response—and we sought to demonstrate with our techniques that such a pattern could be seen for other inputs to layer 4 cells. We thus activated inputs from layer 6 to layer 4 in a total of 12 neurons from first-order (SI: $n = 3$; AI: $n = 3$) and higher-order (SII: $n = 3$; AII: $n = 3$) areas. As an aid for identifying the precise location of layer 6 inputs, photostimulation with caged glutamate (Lam and Sherman 2007; Papageorgiou et al. 1999; Shepherd et al. 2003) was used in some experiments ($n = 8$) to map the intracortical inputs to layer 4 (Fig. 7, A and B). A stimulating electrode was then targeted to the layer 6 region that elicited the largest photostimulation response (Fig. 7A).
Electrical stimulation in layer 6 produced EPSPs in layer 4 neurons that facilitated in response to paired pulses, which became more pronounced at higher frequencies (Fig. 7C, *top vs. bottom trace*), in agreement with previous studies (Stratford et al. 1996; Tarczy Hornoch et al. 1999). Indicative of this, the average paired-pulse ratios were lowest at 5 Hz (1.09 ± 0.11) and highest at 40 Hz (1.14 ± 0.09) (Table 2). At each frequency, these ratios were significantly different compared with the thalamocortical ratios ($P < 0.05$, *t*-test) (Table 2).
**DISCUSSION**
**Methodological considerations**
In this study, we investigated the synaptic properties of the thalamocortical and intracortical inputs to layer 4 in the first- and higher-order pathways of the auditory and somatosensory systems. Whereas *in vitro* slice preparations for the first-order thalamocortical pathways have previously been developed for each system (Agmon and Connors 1991; Cruikshank et al. 2002), higher-order thalamocortical slice preparations have not been described. In our experiments, we found that the somatosensory slice preparation described by Agmon and Connors (1991) also preserved intact fibers from POm to SII (Fig. 1). However, for the higher-order auditory slice, we developed a different slice preparation from that previously described by Cruikshank et al. (2002), to preserve the higher-order pathway from MGd to AII (see METHODS). We found that although this slice could be reliably obtained, because of the more convoluted path of the higher-order thalamocortical pathways, it had a somewhat lower success rate.
We verified that the projections in these higher-order pathways were intact both anatomically and physiologically. Biocytin injections in the higher-order nuclei of both somatosensory and auditory slice preparations labeled fibers that penetrated into layer 4 of the corresponding higher-order cortical areas. Furthermore, photostimulation of these higher-order nuclei in the slice resulted in excitatory responses in the connected higher cortical regions. Since photostimulation can activate only neuronal cell bodies or proximal dendrites and not fibers of passage or axons antidromically (Lam and Sherman 2007; Shepherd et al. 2003), this strongly indicates that at least partial projections are intact in each higher-order preparation. Although photostimulation could conceivably activate SII polysynaptically, this appears unlikely, since the response
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**TABLE 1. Summary statistics for first and second pulse amplitudes (EPSP1 and EPSP2), latencies (Lat), jitter, rise times (RT), and mean paired-pulse ratio at 10 Hz**
| | SI | SII | AI | AII |
|----------------|------|------|------|------|
| EPSP1, mV | 4.8 ± 2.2 | 3.5 ± 1.5 | 3.5 ± 1.7 | 2.7 ± 1.0 |
| Lat$_1$, ms | 5.1 ± 2.3 | 6.1 ± 2.7 | 7.4 ± 1.5 | 7.0 ± 2.0 |
| Jitter$_1$, ms | 0.4 ± 0.2 | 0.3 ± 0.1 | 0.4 ± 0.2 | 0.5 ± 0.2 |
| RT$_1$, ms | 9.0 ± 3.9 | 8.1 ± 3.8 | 7.9 ± 1.6 | 11.4 ± 2.9 |
| EPSP2, mV | 2.9 ± 1.3 | 2.1 ± 0.9 | 2.3 ± 1.5 | 1.9 ± 0.7 |
| Lat$_2$, ms | 5.2 ± 2.3 | 5.9 ± 2.7 | 7.4 ± 1.6 | 6.6 ± 1.9 |
| RT$_2$, ms | 8.5 ± 3.2 | 7.5 ± 2.5 | 8.0 ± 2.0 | 10.2 ± 2.1 |
| Paired-pulse ratio, EPSP2/EPSP1 | 0.61 ± 0.13 | 0.60 ± 0.13 | 0.64 ± 0.15 | 0.65 ± 0.14 |
Values are means ± SD.
**TABLE 2. Paired-pulse ratios (EPSP2/EPSP1) in the thalamocortical and intracortical (layer 6 to layer 4) pathways at different stimulation frequencies**
| | 5 Hz | 10 Hz | 20 Hz | 40 Hz |
|------------------|------|-------|-------|-------|
| Thalamocortical | 0.69 ± 0.10 | 0.64 ± 0.14 | 0.62 ± 0.11 | 0.54 ± 0.15 |
| Intracortical | 1.09 ± 0.11 | 1.07 ± 0.15 | 1.10 ± 0.09 | 1.14 ± 0.09 |
Values are means ± SD.
Comparison with previous studies
We found that the synaptic properties of first- and higher-order thalamocortical inputs were similar physiologically. In all cases, the thalamocortical pathways exhibited depressing responses to paired-pulse stimulation, but did not exhibit a metabotropic glutamate response. In contrast, we found that the intracortical layer 6 inputs to layer 4 exhibited paired-pulse facilitation.
Previous studies of the first-order somatosensory (Gil et al. 1997), auditory (Rose and Metherate 2001), and visual (MacLean et al. 2006) thalamocortical pathways have demonstrated that paired-pulse depression is a general feature of these synapses in first-order pathways. In addition, prior studies of intrinsic cortical connectivity in the first-order somatosensory (Gil et al. 1999) and visual (Stratford et al. 1996; Tarczy Hornoch et al. 1999) pathways have demonstrated facilitating synapses in the layer 6 to layer 4 projection. The present results extend these findings by applying these synaptic properties to the higher-order pathways in the somatosensory and auditory system. In addition, this study further extends these earlier findings by correlating paired-pulse effects and the absence of a metabotropic glutamate response in the thalamocortical pathways, thus identifying a specific synaptic response type, whose functional significance is discussed in the following text. Although the higher-order visual pathways were not investigated in this study, we speculate that an extension of these physiological properties to those synapses seems likely, but a definitive answer remains for future investigations.
Drivers and modulators
The physiological similarity of all thalamocortical projections in the somatosensory and auditory systems (Gil et al. 1999; Rose and Metherate 2001) suggests that these higher-order thalamocortical synapses, like those in the first-order system, are highly reliable and efficient transmitters of information.
FIG. 8. Model of interareal communication via a corticothalamicortical pathway. In this model, driver projections (red, thick lines) represent the major information route and, in the example shown, the route from the first-order to the higher-order cortical area involves a corticothalamicortical pathway emanating from layer 5 of the first-order area. Also shown are modulatory pathways (green lines) from layer 6 both to layer 4 and to thalamus.
formation and do not serve a mere modulatory role as previously suggested (Olshausen et al. 1993). Moreover, our data indicate that there may be no major differences in input properties between first- and higher-order thalamocortical pathways and, just as inputs from first-order nuclei (e.g., the lateral geniculate, ventral portion of the medial geniculate, and ventral posterior nuclei) are the major influence in creating the first step of processing in primary cortical areas (VI, AI, SI), higher-order thalamic nuclei (e.g., the pulvinar, dorsal portion of the medial geniculate, and posterior medial nuclei) may exert an equivalent influence on higher cortical areas (VII, AII, SII, etc.) (Sherman and Guillery 2002, 2005).
In contrast, the physiological difference observed between the thalamocortical and intrinsic layer 6 inputs resembles the two glutamatergic response types found in the thalamus (Li et al. 2003; Reichova and Sherman 2004), which have been termed “drivers” and “modulators” of information (Sherman and Guillery 1998). In this model, drivers are identified as the main pathways for information flow, whereas modulators modify the processing of that information, but not merely by simple gain changes (Bolz and Gilbert 1986). Our finding of analogous properties in the thalamocortical and intrinsic layer 6 projections suggests the possibility that the driver/modulator distinction that has proven so useful for inputs to thalamic relay cells may be fruitfully extended to cortex.
Although both first- and higher-order thalamocortical pathways may be considered “drivers” of cortical activity, most of the information being transmitted by higher-order thalamocortical projections does not arise from the sensory periphery. Rather, both physiological and anatomical data suggest that it originates from layer 5 of the first-order area (Reichova and Sherman 2004; Van Horn and Sherman 2004) (Fig. 8). Therefore we conclude that the higher-order thalamic nuclei are uniquely positioned to act as key intermediaries in the transfer of information from one cortical area to the next via a corticothalamicortical route (Sherman and Guillery 2002) (Fig. 8). This view of cortical information processing contrasts with the prevailing notion that such communication is mediated solely by the network of direct corticocortical connections (Felleman and Van Essen 1991; Rouiller et al. 1991; Zeki and Shipp 1988). Although not mutually exclusive, the transthalamic route proposed here may expand the functional repertoire of cortical communication by using the unique functional modes of the thalamus, such as gating (Cox et al. 1998) and burst versus tonic (Sherman 2001) response modes of relay cells. Moreover, the hierarchical routes of cortical information flow that have been previously suggested are largely based on neuroanatomical criteria (Felleman and Van Essen 1991; Rouiller et al. 1991; Zeki and Shipp 1988). Our limited validation of the driver/modulator criteria in cortical synapses suggests that these functional assignments may also be applied to the corticocortical pathways and, consequently, may reveal unexpected functional relationships among cortical areas.
ACKNOWLEDGMENTS
We thank C. Varela, Y. Lam, and D. Llano for experimental advice and J. S. Roseman for histology assistance.
GRANTS
This work was supported by National Institutes of Health Grants R01 EY-003038, R01 DC-008794 to S. M. Sherman, and F32 NS-054478 to C. C. Lee.
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Electrical insulation properties of the perfluoronitrile C4F7N
Journal Article
Author(s):
Chachereau, Alise; Hösl, Andreas; Franck, Christian
Publication date:
2018-12-12
Permanent link:
https://doi.org/10.3929/ethz-b-000262561
Rights / license:
Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International
Originally published in:
Journal of Physics D: Applied Physics 51(49), https://doi.org/10.1088/1361-6463/aae458
Electrical insulation properties of the perfluoronitrile $C_4F_7N$
A. Chachereau$^1$, A. Hösl$^1$, C. M. Franck$^1$
$^1$Power Systems and High Voltage Laboratories, ETH Zurich, Physikstr. 3, 8092 Zurich, Switzerland
E-mail: firstname.lastname@example.org
Abstract. The electrical insulation properties of pure $C_4F_7N$ and of $C_4F_7N/N_2$ and $C_4F_7N/CO_2$ mixtures are investigated in a pulsed Townsend setup. The electron rate and transport coefficients and the density-reduced critical electric field of these mixtures are obtained, and a synergy effect is observed in $C_4F_7N/N_2$ and $C_4F_7N/CO_2$ mixtures. The total electron attachment cross section of $C_4F_7N$ is estimated based on the attachment rate to $C_4F_7N$ in diluted $C_4F_7N/N_2$, $C_4F_7N/CO_2$ and $C_4F_7N/O_2/CO_2$ mixtures. Measurements in pure $C_4F_7N$ at pressures of a few hundred pascal show that ion kinetics play a major role in $C_4F_7N$ discharges and that further modelling is required to assess the electric strength of $C_4F_7N$ at high pressures.
Introduction
The perfluorinated nitrile $(CF_3)_2CFC≡N$, which we refer to in the following as $C_4F_7N$, has been proposed as an environment-friendly alternative to SF$_6$ in high voltage gaseous electrical insulation [1, 2]. The first pilot installations using this gas are a 420 kV gas insulated line in Sellinge, UK [3] and a 145 kV gas insulated substation in Etzel, Switzerland. The manufacturer reports a low toxicity and recommends an occupational exposure limit of 65 ppm for $C_4F_7N$ [4]. Different estimations place the GWP of $C_4F_7N$ on a 100 year time horizon between 1490 and 3646, with an atmospheric lifetime between 22 and 47 years [4, 5, 6]. The main removal mechanism of $C_4F_7N$ from the atmosphere is reactions with hydroxyl radicals [4, 5, 6]. Due to the limited vapor pressure of $C_4F_7N$, mixtures of 4 to 10% $C_4F_7N$ in CO$_2$ (in some cases, up to 10% CO$_2$ is replaced by O$_2$) are used in electrical insulation with minimum operating temperatures of down to −25°C [7]. The GWP of these mixtures range from 230 to 1240, which is a significant reduction compared to the GWP of SF$_6$ of 23 500 [8].
In this work, we investigate both $C_4F_7N/CO_2$ and $C_4F_7N/N_2$ mixtures in a pulsed Townsend setup. We start with the description of the experimental setup, the experimental conditions and the measurement analysis. In the second part of this work, we present measurement results in diluted mixtures of $C_4F_7N$ in N$_2$, in CO$_2$ and in a 95%O$_2$/5%CO$_2$ mixture, and use these to estimate the electron attachment cross section of $C_4F_7N$. In pure $C_4F_7N$ at pressures of several hundred pascal, we show that the measured current is largely influenced by ion kinetic processes. Therefore, we restrict ourselves to low pressures and present the rate coefficients of ionization, attachment, and effective ionization, as well as the electron drift velocity and the longitudinal electron diffusion coefficient. Furthermore, we measure the properties of $C_4F_7N/CO_2$ and $C_4F_7N/N_2$ mixtures with $C_4F_7N$ percentages up to 40%, in order to investigate the synergism of the density-reduced critical electric field. We compare these results to those in $C_4F_7N/CO_2$ mixtures recently obtained by Nechmi et al. using a steady-state Townsend experiment [9]. We make all our data available on the database ETHZ [10] from the LXcat project.
1. Methods
1.1. Swarm experiment
The experiment consists in measuring the electric displacement current of electrons and ions in different gas mixtures, for different ratios of the electric field to the gas density $E/N$. The gas, or gas mixture under test is filled into a stainless steel vessel containing two Rogowski electrodes with adjustable spacing $d$, across which a voltage $U$ is applied. A photocathode, i.e. a quartz covered with a double-layer of 15 nm magnesium and 5 nm palladium, is mounted at the center of the cathode. A UV-laser pulse with a wavelength of 266 nm and a pulse duration of 1.5 ns FWHM releases $10^6$ to $10^7$ electrons from the photocathode. Due to the applied electric field, the released electrons drift towards the anode and initiate an electron avalanche. Electrons colliding with gas molecules may ionize them, forming positive ions and releasing new electrons, or may be captured, forming negative ions. Ions drift as well, contributing, relative to their drift velocity, to the measured displacement current. For the present measurements, the laser power was regulated down in order to keep a total charge below $5 \times 10^{-12}$ C.
1.1.1. Experimental setup
The measurements in the diluted $C_4F_7N/N_2$, $C_4F_7N/CO_2$ and $C_4F_7N/O_2/CO_2$ mixtures presented in section 2.1 were performed in...
the pulsed Townsend setup that was described in [11], whereas the measurements with higher C\textsubscript{4}F\textsubscript{7}N percentages were performed in a newer setup [12] which allows more accurate electrode spacing.
1.1.2. Gas purity The vessel has a base pressure of $1 \times 10^{-6}$ Pa. In order to fill a gas or gas mixture, the content of the inlet pipes is first evacuated through the vessel. Then, each of the inlet pipes is flushed with one of the gases under study. Finally, the vessel is evacuated again and closed. The residual pressure in the vessel before the gas is filled is below 0.1 Pa. The gases used in the present work are C\textsubscript{4}F\textsubscript{7}N with a purity of at least 99 mole % (3M), N\textsubscript{2} with a purity of 6.0 (Carbagas), and CO\textsubscript{2} with a purity of 4.8 (Carbagas).
1.2. Measurement analysis
The measured current $I_{\text{exp}}$ is the superposition of the electron and ion currents. These two components are separated using an iterative procedure [13] and analyzed as follows.
1.2.1. Electron current analysis The electron current analysis was described in detail in a previous publication [13]. Assuming that the one-dimensional electron density along the avalanche propagation axis is Gaussian, the electron current $I_e$ is expressed analytically for $t \geq 0$ as [11, 13]
$$I_e(t) = \frac{I_0}{2} e^{k_{\text{eff}} N t} \left( 1 - \text{erf} \left( \frac{t - T_e}{\sqrt{2 \tau_D t}} \right) \right), \quad (1)$$
$$I_0 = \frac{N_e(0) q_0}{T_e}, \quad (2)$$
where $I_0$ is the electron current at time $t = 0$, $k_{\text{eff}}$ is the effective ionization rate coefficient, $N$ is the number density of the gas, $T_e$ is the electron drift time, which relates to the bulk electron drift velocity $w_e$ via $T_e = d/w_e$, $\tau_D$ is the characteristic time for longitudinal electron diffusion, which relates to the longitudinal diffusion coefficient $D_L$ via $2 D_L = w_e^2 \tau_D$, $N_e(0)$ is the number of electrons released from the photocathode and $q_0$ is the elementary charge.
1.2.2. Ionization and attachment rates Using the integral of the measured current $I_{\text{exp}}$ as described in [14], the ionization and attachment rate coefficients $k_i$ and $k_a$ are obtained as
$$k_i = k_{\text{eff}} \frac{N_{\text{charges}}^{\text{final}} - N_e(0)}{N_e(T_e) - N_e(0)}, \quad (3)$$
$$k_a = k_i - k_{\text{eff}} = k_{\text{eff}} \cdot \frac{N_{\text{charges}}^{\text{final}} - N_e(T_e)}{N_e(T_e) - N_e(0)}. \quad (4)$$
where $N_{\text{charges}}^{\text{final}}$ is the final number of electrons at the instant when they reach the anode, and $N_{\text{charges}}^{\text{final}}$ is the total number of charges in the avalanche
$$N_{\text{charges}}^{\text{final}} = \frac{1}{q_0} \int_0^\infty I_{\text{exp}}(t) dt. \quad (5)$$
As mentioned in [14], this method relies on the assumption that no ionization events occur after the electron drift time $T_e$, for instance due to electron detachment from negative ions, since this would increase the measured current and result in overestimating the values of $k_i$ and $k_a$. In the limit of low pressures this assumption is justified because the ion-neutral collisions become negligible.
1.2.3. Estimating the total electron attachment cross section The total attachment cross section of C\textsubscript{4}F\textsubscript{7}N is estimated by two methods [15], using the effective ionization coefficient measured in diluted mixtures of C\textsubscript{4}F\textsubscript{7}N in N\textsubscript{2}, in CO\textsubscript{2} and in the mixture of 95% O\textsubscript{2}/5% CO\textsubscript{2}, under the assumption that the C\textsubscript{4}F\textsubscript{7}N admixture does not disturb the electron energy distribution function of the carrier gas (i.e. N\textsubscript{2}, CO\textsubscript{2} or 95% O\textsubscript{2}/5% CO\textsubscript{2}). The first method is a linear inversion method, which makes no assumption on the shape of the cross section and requires no initial guess of the solution. We denote by $\sigma_a^{(l)}$ the cross section obtained by this method. The second method is a Gaussian expansion, i.e. the shape of the cross section is approximated by the sum of several Gaussian functions. Likewise, we denote by $\sigma_a^{(\text{ge})}$ the cross section obtained by this method. We find in section 2.2 that in the present case, the cross section is well fitted with two terms, i.e.
$$\sigma_a^{(\text{ge})}(\varepsilon) = \sum_{i=1}^2 c_i e^{-(\varepsilon-\varepsilon_i)^2/(2s_i^2)}, \quad (6)$$
where $c_i$, $\varepsilon_i$ and $s_i$ are the amplitude, position and width of the Gaussian peaks, determined by the fit.
Both methods require the knowledge of the electron energy distribution function (EEDF) in the carrier gases. In the present work the EEDF in N\textsubscript{2}, CO\textsubscript{2} and in the mixture of 95% O\textsubscript{2}/5% CO\textsubscript{2} is obtained using the solver Bolsig+ [16], with Biagi’s cross section sets for N\textsubscript{2} and O\textsubscript{2} [17] and Phelps’ cross section set for CO\textsubscript{2} [18]. The effective ionization rate coefficient, electron drift velocity and diffusion coefficients calculated in pure N\textsubscript{2}, in pure CO\textsubscript{2} and in the mixture of 95% O\textsubscript{2}/5% CO\textsubscript{2} are shown in figures 1, 2 and 3 respectively.
2. Results
2.1. Diluted C\textsubscript{4}F\textsubscript{7}N/N\textsubscript{2} and C\textsubscript{4}F\textsubscript{7}N/CO\textsubscript{2} mixtures
An overview of the measurements in diluted mixtures of C\textsubscript{4}F\textsubscript{7}N with N\textsubscript{2} and CO\textsubscript{2} is given in table 1. The
Table 1. Overview of the measurements in the diluted C₄F₇N/N₂ and C₄F₇N/CO₂ mixtures.
| buffer gas | C₄F₇N mol% | (E/N)-range Td | (kPa) |
|------------|------------|----------------|-------|
| N₂ | 0 | 5 - 180 | 2, 10 |
| | 0.010 | 2 - 120 | 10 |
| | 0.050 | 25 - 145 | 8, 10 |
| | 0.125 | 80 - 160 | 8, 10 |
| CO₂ | 0 | 5 - 140 | 2, 10 |
| | 0.010 | 6 - 95 | 2, 10 |
| | 0.022 | 10 - 100 | 10 |
| | 0.044 | 25 - 103 | 8, 10 |
| 95% O₂-5% CO₂ | 0 | 1 - 100 | 1 |
| | 0.090 | 1 - 100 | 1 |
obtained effective ionization rate coefficient, electron drift velocity and diffusion coefficient are shown in figure 1 for N₂ mixtures and figure 2 for CO₂ mixtures. The effective ionization coefficient in diluted C₄F₇N mixtures is decreasing with increasing C₄F₇N content due to electron attachment to C₄F₇N.
2.2. Electron attachment cross section
Using the values of $k_{\text{eff}}$ obtained in the diluted C₄F₇N/N₂ and C₄F₇N/CO₂ mixtures, the total attachment cross section of C₄F₇N is estimated with the linear inversion and the Gaussian expansion methods as described in section 1.2.3. The resulting cross sections $\sigma_a^{(\text{li})}$ and $\sigma_a^{(\text{ge})}$ are shown in figure 4, along with the electron attachment cross section of SF₆ measured by Braun et al. [19]. Below 0.1 eV $\sigma_a^{(\text{li})}$ and $\sigma_a^{(\text{ge})}$ are in good agreement and have about the same magnitude as the cross section of SF₆. Above 0.1 eV, $\sigma_a^{(\text{li})}$ and $\sigma_a^{(\text{ge})}$ are larger than the attachment cross section of SF₆, and sustained up to 1 eV. The effective ionization rate coefficient in the diluted C₄F₇N/N₂ and C₄F₇N/CO₂ mixtures, was calculated using the cross sections $\sigma_a^{(\text{li})}$ and $\sigma_a^{(\text{ge})}$ to check the quality of the estimations. The calculated values of $k_{\text{eff}}$, shown in figures 1(a) and 2(a), fit perfectly with the measured values and each other over the whole $E/N$ range. It can be seen that despite the differences between $\sigma_a^{(\text{li})}$ and $\sigma_a^{(\text{ge})}$, both are resolved to a maximal extent based on the present measurements. For the same reason, it is not reasonable to add a third term to the Gaussian expansion $\sigma_a^{(\text{ge})}$, as the two term expansion already fits perfectly the measurements.
2.3. Results in pure C₄F₇N
Example measurements carried out in pure C₄F₇N at pressures up to 1 kPa are shown in figure 5. The measured current at 1 kPa features a maximum at $t \sim$
Figure 1. (a) Effective ionization rate coefficient, (b) electron drift velocity and (c) electron diffusion coefficient as functions of $E/N$ in C₄F₇N/N₂ mixtures. The gas mixtures are color-coded, the C₄F₇N percentages are indicated in figure (a). The gas pressures are indicated with different marker shapes ($\square$ 2 kPa, $\diamond$ 8 kPa, $\circ$ 10 kPa). The lines correspond to: —— $k_{\text{eff}}$, $w_e$ and $ND_L$ in N₂, calculated using Bolsig+, —— $k_{\text{eff}}$ in C₄F₇N/N₂ mixtures, calculated using $\sigma_a^{(\text{li})}$, …… $k_{\text{eff}}$ in C₄F₇N/N₂ mixtures, calculated using $\sigma_a^{(\text{ge})}$.
Figure 2. (a) Effective ionization rate coefficient, (b) drift velocity and (c) diffusion coefficient as functions of $E/N$ in C$_4$F$_7$N/CO$_2$ mixtures. The gas mixtures are color-coded, the C$_4$F$_7$N percentages are indicated in figure (a). The gas pressures are indicated with different marker shapes: (□ 2 kPa, ○ 8 kPa, ○ 10 kPa). The lines correspond to:
— $k_{\text{eff}}$, $w_e$ and $ND_L$ in CO$_2$, calculated using Bolsig+
— $k_{\text{eff}}$ in C$_4$F$_7$N/CO$_2$ mixtures, calculated using $\sigma_a^{(ii)}$
— $k_{\text{eff}}$ in C$_4$F$_7$N/CO$_2$ mixtures, calculated using $\sigma_a^{(\text{ge})}$
Figure 3. (a) Effective ionization rate coefficient, (b) drift velocity and (c) diffusion coefficient as functions of $E/N$ in the mixture of 5.16% CO$_2$ in O$_2$ and in the mixture of 0.090% C$_4$F$_7$N and 5.14% CO$_2$ in O$_2$, at a total pressure of 1 kPa. The gas mixtures are color-coded as indicated in figure (a). The lines correspond to:
— $k_{\text{eff}}$, $w_e$ and $ND_L$ in the O$_2$/CO$_2$ mixture, Bolsig+
— $k_{\text{eff}}$ in the C$_4$F$_7$N/O$_2$/CO$_2$ mixture, calculated using $\sigma_a^{(ii)}$
— $k_{\text{eff}}$ in the C$_4$F$_7$N/O$_2$/CO$_2$ mixture, calculated using $\sigma_a^{(\text{ge})}$
Figure 4. Total attachment cross section of SF$_6$ and estimated total electron attachment cross section of C$_4$F$_7$N.
10 µs, i.e. on the ionic timescale, which suggests that ion kinetics play a major role in high pressure C$_4$F$_7$N discharges. Furthermore, when using equations (3) and (4) with measurements in C$_4$F$_7$N at 260 to 1000 Pa, the obtained values for $k_1$ and $k_a$ increase with increasing gas pressure. These inconsistent values for $k_1$ and $k_a$ suggest that electron release occurs after the electron drift time $T_e$, for instance due to electron detachment from negative ions. Therefore, the analysis of high pressure measurements in C$_4$F$_7$N will require an extensive modelling of the ion kinetics. In the meantime, we restrict ourselves to low pressures where the ion kinetics are negligible. We report electron rate and transport coefficients in pure C$_4$F$_7$N for pressures ranging from 60 to 100 Pa. Example measurements in C$_4$F$_7$N at 100 Pa are shown in figures 6 and 7.
Figure 8 shows the ionization, attachment and effective ionization rate coefficients, as well as the electron drift velocity and diffusion coefficient obtained in pure C$_4$F$_7$N at low pressures. All these quantities are independent of the gas pressure. In particular, the fact that the obtained values of the $k_1$ and $k_a$ are independent of the gas pressure in the considered range of 60 to 100 Pa allows us to verify that electron detachment is indeed negligible at these pressures. We obtain a density-reduced critical electric field of $975 \pm 15$ Td for pure C$_4$F$_7$N. Here, the density-reduced critical electric field is defined in the classical sense as the $E/N$ ratio for which $k_1 = k_a$, but self-sustained discharges could occur at $E/N < (E/N)_{\text{crit}}$ if electron detachment occurs. Therefore, the present values of $(E/N)_{\text{crit}}$ are likely not directly usable at high pressures.
Figure 5. Current versus time in pure C$_4$F$_7$N, at different pressures, for an electrode spacing of 25 mm, and for a reduced electric field $E/N$ of 966 Td, (a) on the electronic timescale and (b) on the ionic timescale. The measurements are rescaled to have a similar amplitude at $t = 0$, the original amplitudes ranged from 5.5 µA at 100 Pa to 0.4 µA at 1000 Pa.
2.4. Synergism in C$_4$F$_7$N/N$_2$ and C$_4$F$_7$N/CO$_2$ mixtures
In order to study the synergism in the density-reduced critical electric field, we measure different C$_4$F$_7$N/N$_2$ and C$_4$F$_7$N/CO$_2$ with up to 40% C$_4$F$_7$N. Similarly to pure C$_4$F$_7$N, measurements at high pressures are highly influenced by ion kinetics, therefore, we limit ourselves in the present study to pressures below 100 Pa. An overview of the measurements is given in table 2.
Figures 10 and 9 show the effective ionization rate coefficient, the electron drift velocity and the longitudinal electron diffusion coefficient obtained in C$_4$F$_7$N/N$_2$ and C$_4$F$_7$N/CO$_2$ mixtures respectively. For the C$_4$F$_7$N/CO$_2$ mixtures, only part of the measurements from table 2 are shown in figure 9, the
rest are available on the LXcat database ETHZ [10].
The density-reduced critical electric field \((E/N)_{\text{crit}}\) of \(C_4F_7N/N_2\) and \(C_4F_7N/CO_2\) mixtures obtained in the present work is shown in figure 11 and compared to that of \(C_4F_7N/CO_2\) mixtures from Nechmi et al. [9] and that of \(SF_6/N_2\) and \(SF_6/CO_2\) mixtures [20]. We observe a synergism in both \(C_4F_7N/N_2\) and \(C_4F_7N/CO_2\) mixtures, although the \((E/N)_{\text{crit}}\) of \(C_4F_7N/N_2\) is higher than that of \(C_4F_7N/CO_2\) mixtures. Mixtures of \(\sim 13.5\% C_4F_7N\) in \(N_2\) or \(\sim 18.5\% C_4F_7N\) in \(CO_2\) would have about the same \((E/N)_{\text{crit}}\) as pure \(SF_6\), although as mentioned in section 2.3, the values for \((E/N)_{\text{crit}}\) presently obtained at low pressures may not apply at high pressure. The \((E/N)_{\text{crit}}\) we obtain for \(C_4F_7N/CO_2\) mixtures differs by up to 15% from that found by Nechmi et al.
3. Discussion
3.1. Electron attachment to \(C_4F_7N\)
The effective ionization rate coefficient in \(C_4F_7N/N_2\) and \(C_4F_7N/CO_2\) mixtures shown in figures 1(a) and 2(a) decreases fast with decreasing \(E/N\), which suggests that electron attachment to \(C_4F_7N\) is strongest at thermal electron energies. The present estimations of the attachment cross section might not yield the exact shape of the attachment cross section, due to the uncertainties in the EEDF of the carrier gases and the limited information content of
the measurements. However, the present estimations suggest that the attachment cross section of C₄F₇N is similar to that of SF₆ for electron energies below 0.1 eV, and that it is substantially larger than that of SF₆ in the region between 0.1 eV and 1 eV. The attachment around 1 eV could be due to dissociative attachment to CN⁻ similarly to other perfluorinated nitriles [21, 22], whereas electron attachment towards 0 eV could be parent ion attachment to C₄F₇N⁻.
3.2. Ion kinetic processes in C₄F₇N
The complexity of the measured current in pure C₄F₇N at pressures > 100 Pa on the ionic time scale suggests that ion kinetics play a major role in C₄F₇N discharges at high pressures. From first modelling attempts, we suspect that at least two negative ion species are formed, which both exhibit electron detachment. Our present measurements at low pressures let us obtain the rate and transport coefficients of electrons. Based on these results we can attempt to model the ion kinetics in more detail in a future study.
Figure 8. (a) Effective ionization rate coefficient, (b) electron drift velocity, (c) electron diffusion coefficient, (d) ionization rate coefficient and (e) attachment rate coefficient as functions of E/N in C₄F₇N, at different gas pressures (□ 60 Pa, ◊ 80 Pa, ○ 100 Pa).
Figure 9. (a) Effective ionization rate coefficient, (b) electron drift velocity and (c) electron diffusion coefficient as functions of $E/N$ in C$_4$F$_7$N/CO$_2$ mixtures. The gas mixtures are color-coded, the C$_4$F$_7$N percentages are indicated in figure (a). The gas pressures are indicated with different marker shapes ($\square$ 100 Pa, $\diamond$ 2 kPa, $\bigcirc$ 10 kPa).
Figure 10. (a) Effective ionization rate coefficient, (b) electron drift velocity and (c) electron diffusion coefficient as functions of $E/N$ in C$_4$F$_7$N/N$_2$ mixtures. The gas mixtures are color-coded, the C$_4$F$_7$N percentages are indicated in figure (a). The gas pressures are indicated with different marker shapes ($\square$ 100 Pa, $\diamond$ 2 kPa, $\bigcirc$ 10 kPa).
3.3. Density-reduced critical electric field
The present results obtained at low pressures are insufficient to assess the performance of C₄F₇N as an electrical insulation gas, as the breakdown process at higher pressures might be affected by ion kinetics. We suspect this is why we obtain an \((E/N)_{\text{crit}}\) of about 2.6 times that of SF₆, whereas the breakdown voltage of C₄F₇N is reported to be only 2 times that of SF₆ [1, 2].
The discrepancy in the density-reduced critical field of C₄F₇N/CO₂ mixtures from the present work compared to that of Nechmi et al. is likely due to a large uncertainty in the latter work. The authors give no uncertainty estimation, but the scatter in the data from figure 5 of their article suggests that a large uncertainty must be considered. In addition, the assumption made by the authors of a linearity in the logarithm of the measured current against the electrode spacing is not verified for electron attaching gases, as pointed out by Harrison and Geballe [23], and this could significantly affect their results.
Conclusion
We report electron rate and transport coefficients in pure C₄F₇N and in mixtures of C₄F₇N with N₂ and CO₂, and find that C₄F₇N has a large electron attachment cross section at thermal energies and up
to 1 eV. Our measurements in C\textsubscript{4}F\textsubscript{7}N at pressures of a few hundred pascal show that ion kinetics are important in C\textsubscript{4}F\textsubscript{7}N discharges. The present results at low pressures enable us to obtain the rate and transport coefficients of electrons, which lays a solid basis for future modelling work, in which we will aim to obtain ion rate and transport coefficients in order to accurately model high pressure C\textsubscript{4}F\textsubscript{7}N discharges.
Acknowledgments
This work is financially supported by GE Grid (Switzerland) GmbH, Pfiffner Technologie AG, ABB Switzerland Ltd and Siemens AG. The sample of C\textsubscript{4}F\textsubscript{7}N was provided by GE Grid, Oberentfelden, Switzerland.
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|
Simulation of Interaction
Automated Evaluation of Interactive IR
Workshop of the 33rd Annual International ACM SIGIR Conference on Research and Development in Information Retrieval
Organised by
Leif Azzopardi
Kalervo Järvelin
Jaap Kamps
Mark D. Smucker
SIGIR Geneva 2010
Proceedings of the SIGIR 2010 Workshop on the
Simulation of Interaction
Automated Evaluation of Interactive IR
Leif Azzopardi, Kalervo Järvelin, Jaap Kamps,
Mark D. Smucker (editors)
July 23, 2010
Geneva, Switzerland
Copyright ©2010 remains with the author/owner(s).
Proceedings of the SIGIR 2010 Workshop on the Simulation of Interaction. Held in Geneva, Switzerland, July 23, 2010.
Published by: IR Publications, Amsterdam. ISBN 978-90-814485-3-6.
Preface
These proceedings contain the posters of the SIGIR 2010 Workshop on the Simulation of Interaction, Geneva, Switzerland, on 23 July, 2010. The workshop will consist of three main parts:
– First, a set of keynotes by Donna Harman and Ryen White that help frame the problems, and outline potential solutions.
– Second, a poster and discussion session with seventeen papers selected by the program committee from 22 submissions (a 77% acceptance rate). Each paper was reviewed by at least two members of the program committee.
– Third, break out sessions on different aspect of the simulation of interaction with reports being discussed in the final slot.
When reading this volume it is necessary to keep in mind that these papers represent the ideas and opinions of the authors (who are trying to stimulate debate). It is the combination of these papers and the debate that will make the workshop a success.
We would like to thank ACM and SIGIR for hosting the workshop, and Gianni Amati for his outstanding support in the organization. Thanks also go to the program committee, the authors of the papers, and all the participants, for without these people there would be no workshop.
July 2010
Leif Azzopardi
Kalervo Järvelin
Jaap Kamps
Mark D. Smucker
IV
Organization
Program Chairs
Leif Azzopardi
Kalervo Järvelin
Jaap Kamps
Mark D. Smucker
Program Committee
Nicholas Belkin
Pia Borlund
Ben Carterette
Paul Clough
Georges Dupret
Donna Harman
Claudia Hauff
Evangelos Kanoulas
Juana Kekäläinen
Diane Kelly
Heikki Keskustalo
Birger Larsen
Jeremy Pickens
Benjamin Piwowarski
Ian Ruthven
Mark Sanderson
Falk Scholer
Andrew Turpin
Ryen White
Max Wilson
VI
# Table of Contents
Preface ........................................................................................................ III
Organization ............................................................................................. V
Table of Contents ....................................................................................... VII
## Making Simulations Work
Simulation of the IIR User: Beyond the Automagic .......................... 1
*Michael J. Cole*
Bridging Evaluations: Inspiration from Dialog System Research ........... 3
*Tsuneki Kato, Mitsunori Matsushita, Noriko Kando*
A Proposal for the Evaluation of Adaptive Information Retrieval Systems using Simulated Interaction ......................................................... 5
*Catherine Mulwa, Wei Li, Séamus Lawless, Gareth Jones*
Using QPP to Simulate Query Refinement ............................................ 7
*Daniel Tunkelang*
## Generating and Modeling Queries and Interaction
Focused Relevance Feedback Evaluation .............................................. 9
*Shlomo Geva, Timothy Chappell*
Modeling the Time to Judge Document Relevance ............................. 11
*Chandra Prakash Jethani, Mark Smucker*
Session Track at TREC 2010 ............................................................... 13
*Evangelos Kanoulas, Paul Clough, Ben Carterette, Mark Sanderson*
Graph-Based Query Session Exploration Based on Facet Analysis ....... 15
*Heikki Keskustalo, Kalervo Järvelin, Ari Pirkola*
A Probabilistic Automaton for the Dynamic Relevance Judgement of Users 17
*Peng Zhang, Ulises Cerviño Beresi, Dawei Song, Yuexian Hou*
## Creating Simulations using Search Logs
Creating Re-Usable Log Files for Interactive CLIR ............................. 19
*Paul Clough, Julio Gonzalo, Jussi Karlgren*
Simulating Searches from Transaction Logs ........................................ 21
*Bouke Huurnink, Katja Hofmann, Maarten de Rijke*
A Methodology for Simulated Experiments in Interactive Search .......................... 23
Nikolaos Nanas, Udo Kruschwitz, M-Dyaa Albakour, Maria Paski, Dawei Song, Yunhyong Kim, Ulises Cerviño Beresi, Anne De Roeck
Browsing and User Interfaces
Recovering Temporal Context for Relevance Assessments .................................. 25
Omar Alonso, Jan Pedersen
Simulating User Interaction in Result Document Browsing ................................. 27
Paavo Arvola, Jaana Kekäläinen
Query and Browsing-Based Interaction Simulation in Test Collections .................. 29
Heikki Keskustalo, Kalervo Järvelin
Evaluating a Visualization Approach by User Simulation .................................... 31
Michael Preminger
Automatic Evaluation of User Adaptive Interfaces for Information Organization and Exploration ................................................................. 33
Sebastian Stober, Andreas Nuenberger
Author Index ........................................................................................................... 35
Simulation of the IIR User: Beyond the Automagic
Michael J. Cole
School of Communication & Information
Rutgers, The State University of New Jersey
4 Livingston Avenue
New Brunswick, New Jersey 08901
firstname.lastname@example.org
ABSTRACT
Simulation of human users engaged in interactive information retrieval (IIR) may be a key resource to enable evaluation of IR systems in interactive settings in ways that are scalable, objective, and cheap to implement. This paper considers generation of simulated users in an operationalist framework. It identifies several challenges due to the cognitive nature of IIR and its highly conditionalized interactions with information systems and suggests a program for user simulation must rely on results from user studies and will need to overcome several difficult modeling problems.
Categories and Subject Descriptors
H.3.4 [Systems and Software]: Performance evaluation
General Terms
Measurement, Experimentation, Human Factors
Keywords
User studies, simulation, interactive information retrieval
1. INTRODUCTION
The problems of addressing IIR within the TREC framework are a significant motivator of the interest in employing simulated users in a new IR system evaluation paradigm. The difficulties that make it hard for TREC to handle interaction leads one to ask about the nature of interaction with IR systems and how interaction makes system evaluation difficult. Why is it hard to model interaction? Does that also mean simulating users is fundamentally difficult?
This paper identifies challenges for simulation of real users and argues simulation must rest on studies of humans engaged in realistic tasks. The cognitive nature of IIR grounds issues that make difficult both modeling and identifying rules to simulate user decision-making. Five specific issues tied to the nature of interaction and the cognitive and interactive aspects of IIR are raised.
2. A COGNITIVE VIEW OF SIMULATION
Edwin Boring [3] outlined a five-step operationalist approach to providing an objective model of the mind’s functions, free of the taint of mentalism:
(B1) Make an inventory of cognitive functions by analyzing mental capacities, for example learning.
(B2) Describe those functional capacities as properties of the human-as-system by describing the input-output pairs. That is, treat the mind as a black box and operationalize its functional properties.
(B3) Reformulate the functions as properties of an abstract system, e.g. a collection of Turing machines.
(B4) Design and realize physical artifacts by implementing the abstract machines. These things can then simulate the mind.
(B5) Show that mentalistic references have been removed by explaining the artifact’s activity as a mechanical system.
The essence of this program must be achieved to simulate human IIR users, although the mental functions to be analyzed can be restricted to an appropriate information behavior realm, say exploratory search. To simulate real users, steps (B1), (B2), and (B5) are critical.
Translation of cognitive functions (B1) into input-output pairs (B2) is non-trivial because we must go from the user’s intentions and plans to learning how mental functions are exercised in specific situations of knowledge, task, and cognitive constraints. Further, it is not enough to observe individual actions in a user situation, instead the observable outputs come in the form of coherent action sequences of variable length. Thus, there many practical issues for modeling computationally-useful forms.
For Boring (B5) was crucial because he wanted to place human simulation on wholly objective grounds and the details of this explanatory process go to the heart of the shortcomings of operationalism in cognitive psychology. For IIR simulations (B5) is essential for evaluation and explanation. Ultimately, system performance depends on the capacity of the system to recognize a user’s situation and provide optimal information access and support for the user actions to satisfy their task. To do this requires development of user models with explanatory value. That explanatory value must reside in the process of understanding how the information behavior functionality expressed in (B1) is operationalized in (B2) and reduced to a computable form (B3).
3. FIVE CHALLENGES FOR SIMULATION
Challenges for simulation arise from the cognitive nature of IIR and the concept of interaction and affect both modeling and the abstraction of rules for simulated user actions in a given situation. Five specific issues can be identified:
(1) IIR is obviously highly contextual and conditioned on multiple levels of cognitive processes ranging from immediate processing (200ms) to bounded rational processes over minutes to years [1]. Perfect user simulation rests on solving the basic
problem of modeling the architecture of cognitive systems, a leading challenge for machine learning [4]. Of course, in any rational program of simulation, perfect user simulation is not necessary. The degree to which a simulation must embed aspects of the cognitive model to reach acceptable fidelity with decision making by real users can only be determined in user studies.
(2) From a system perspective, the issue is not simply to simulate users. Rather, one must simulate users and uses of the system, e.g. tasks, because an optimal system must be able to recognize the results of that joint construct [2, 5]. This raises the possibility of a combinatorial explosion for real simulations and questions about the computable characteristics of the problem. The degree to which user and task representations can be handled independently is an active area of investigation for information science, cf [6]. It is hard to see how these issues can be addressed without designed user studies.
(3) A formal problem with practical difficulties comes from the nature of interaction as two spaces with different properties – one for users and one for systems [5]. The user space from action to action is a variable dimension space: the selection options and choices can change at each step. In contrast, the system is a Turing machine and has a fixed dimension space. This modeling space mismatch vastly complicates the problem of creating the input-output pairs (B2) for a simulated user in the machine’s system space, especially when variable length behavior sequences are considered.
(4) Another formal problem for interaction is use of similarity to compare mathematical representations. Interaction means each observation can be conditional on previous actions and the situation. The assumption observations are iid (independent and identically distributed) is essential for deriving similarity measures. The use of similarity measures is only approximately valid at best. The relative validity of deriving simulations using similarity calculations during modeling can only rest on empirical evidence, i.e. user studies.
(5) We are still discovering the essential functions and dependencies of human information behavior as illustrated, for example, by point (2) above. Further, it is not clear what observational units are appropriate: user actions? action sequences? goal-segmented sequences? These basic questions require study of real users.
Presenting these issues is not to claim effective user simulation is impossible. Indeed one of the practical goals of Human-Computer Information Retrieval (HCIR) is to model users in situations of task, etc. in order to design better information systems. Rather, it is to say that in an operationalist approach the simulation of users cannot avoid studying real users and learning how to build useful models from that data. The absence of a free lunch, i.e. simulating synthetic users, is explained by the very complexity of human information behavior in interactions with systems. From the perspective of the process of creating simulated users, these challenges spring from several foundational sources. Gaining ground truth is necessary to fix both essential properties of the simulations and model parameters for approximations that can achieve acceptable fidelity for the purposes of IIR system evaluation.
4. IIR SYSTEM EVALUATION
What do we want to achieve in simulating a user? The goal for a simulated user project is to build objective system evaluation frameworks that allow for evaluation of individual IIR systems and comparison across systems. Can an evaluation framework capable of saying *Performance(SystemA) > Performance(SystemB)* be justified without being able to explain qua the evaluation framework why System A is better than System B for users?
Summative evaluation is inadequate and this is one shortcoming of the current TREC paradigm. Useful system evaluation must be analytic if it is to connect with real users engaged in tasks that differ from those used to evaluate the systems. This explanatory challenge is the same as Boring’s (B3) and is answered in the operationalist approach because the simulation achieved in (B3) depends on the grounding of input-output pairs in (B2) based on observations expressing real user functionalities in IIR (B1).
5. CONCLUSIONS
In view of the scope and nature of these challenges to simulation, it seems best to proceed incrementally in two steps to make IIR user simulation more realistic and less “automatic”. That is, one should work from modeling real users performing in real task settings and then abstract learned user and task features into computable models. The first step is demanding and expensive, but necessary. To start with a focus on user system interaction arbitrarily restricts the discovery of rules and relationships between the user and the system to the system components and their interface. The result is to essentially restrict the simulation of users to a class of machine and so deny a reasonable sense of ‘real’ in simulating real users.
Whatever route exists to simulation of real users must be based on models of real users. Shortcuts that leave users out of the picture run the substantial risk that simulated users are mere reflections of system interface interactions with the essence of interaction abstracted away. Investing in the production of such simulaura is of dubious value.
6. ACKNOWLEDGMENTS
This work was supported by IMLS grant LG-06-07-0105-07.
7. REFERENCES
[1] ANDERSON, J. R. Spanning seven orders of magnitude: A challenge for cognitive modeling. *Cognitive Science* 26, 1 (2002), 85–112.
[2] BELKIN, N. J. Some(what) grand challenges for information retrieval, *Comm. Forum* 42, 1 (2008), 47–54.
[3] BORING, E. G. Mind and mechanism. *The American Journal of Psychology* 59, 2 (1946), 173–192.
[4] DEUTTERICH, T., DOMINGOS, P., GITTOOR, L., MUGGLETON, S., AND FADALI, P. Structured machine learning: the next ten years. *Machine Learning* 73, 1 (2008), 3–23.
[5] FUHR, N. A probability ranking principle for interactive information retrieval. *Information Retrieval* 12 (2008). http://dx.doi.org/10.1007/s10791-008-9045-0.
[6] LIU, J., COLE, M. J., LIU, C., BELKIN, N. J., ZHANG, J., GWIZDKA, J., BIERIG, R., AND ZHANG, X. Search behaviors in different task types. In *Proceedings of JCDL 2010* (Gold Coast, Australia, June 2010), ACM.
Bridging Evaluations: Inspiration from Dialogue System Research
Tsuneaki Kato
The University of Tokyo
3-8-1 Komaba Meguro-ku
Tokyo, Japan
email@example.com
Mitsunori Matsushita
Kansai University
2-1-1 Ryozenji, Takatsuki
Osaka, Japan
firstname.lastname@example.org
Noriko Kando
National Institute of Informatics
2-1-2 Hitotsubashi,
Chiyoda-ku
Tokyo, Japan
email@example.com
ABSTRACT
This paper discusses methodologies to quantitatively evaluate exploratory information access environments exploiting interactive information visualization. A novel evaluation framework for such a highly interactive environment is proposed, which is inspired by two concepts adopted in research into spoken language dialogue systems: PARADISE framework and the use of a simulated user. It aims to bridge two types of evaluation and to use the results of the more cost-effective one to predict the other through a version of simulation. A course of studies is also discussed for making this framework feasible, which includes empirical user studies in sophisticated settings.
Categories and Subject Descriptors:
H.3.m [Information Systems]: Miscellaneous
General Terms: Measurement
Keywords: Exploratory Search, Visualization, Evaluation
1. INTRODUCTION
The authors are studying methodologies to quantitatively evaluate exploratory information access environments exploiting interactive information visualization. Using interactive information visualization undoubtedly achieves richer environments for exploratory information access through providing users with a visual representation of the information and an intuitive means for handling it. It, however, simultaneously makes its evaluation much harder because both information provided by the system and interactive moves made by a user become more diverse and complex.
This paper discusses a novel framework for evaluating such a highly interactive environment. It aims to bridge two types of evaluation and to use the results of the more cost-effective one to predict the other through a version of simulation. A course of studies is also discussed for making this framework feasible, which includes empirical user studies in sophisticated settings.
One is empirical user studies in which subjects are requested to accomplish a given task in a controlled situation, and through observing the process, systems are evaluated and the degree of task achievement is quantified. When the task is adequately designed, it is very difficult to obtain data in a real world situation, but takes significant amounts of time and resources, especially to compare different systems. The TREC interactive tracks [2] are a representative of this direction. The other is benchmark tests, in which components of systems and their specific functions are evaluated. It is relatively cost effective, but to be convincing, needs to show the results properly reflect the system’s utility or quality in a real setting.
A framework is proposed to bridge these two evaluation methods and to predict the results of empirical user studies using those of benchmark tests. It is inspired by the PARADISE framework, which is motivated by similar concerns in research into spoken language dialogue systems [7]. By developing this idea accompanied with using a simulated user, another idea that also came from the same research field, the framework is expected to be applicable to an interactive information access environment.
In the PARADISE framework, the system’s primary objective was set to maximize user satisfaction, which is users’ subjective rating for controlled experiments. Both task success and costs associated with the interaction are considered to contribute to user satisfaction. Dialogue efficiency and quality are, in turn, considered to contribute to dialogue costs. The PARADISE framework posits that a performance function can then be derived by applying multivariate liner regression with user satisfaction as the dependent variable and task success, dialogue quality and dialogue efficiency measures as independent variables. Dialogue efficiency and quality are measured in several metrics, such as elapsed time and mean recognition rate, which can be obtained via controlled experiments by analyzing logged data automatically or by hand. Modeling user satisfaction in such a way leads to predictive performance models of dialogue systems, through which user satisfaction could be predicted on the basis of a number of simpler metrics that can be measured from the logged data. It saves the need for extensive experimental user study to assess their satisfaction.
The PARADISE framework is not relevant to our objective because some metrics still need to be obtained through empirical user studies. It, however, could be developed...
so as to enable it to construct predictive models of genuine quality for interactive systems, which are usually obtained through empirical user studies, by using data obtained through benchmark tests. In those models, if successfully obtained, the relationship between the dependent and independent variables is too complex to be expressed as a weighted linear combination, however.
To identify this relationship, another notion from the same research area may help. This is using a simulated user, which is used in reinforcement learning of dialogue systems for optimizing dialogue strategy [4]. The simulated user is a stochastic generative model that produces user utterances as a response to a dialogue action taken by the system. The parameters of the simulated user should be estimated from an annotated dialogue corpus. Once a simulated user is available, it can be used in a generative mode to interact with the dialogue systems. A two-stage approach is expected to work well. In the first stage, the performance of a simulated user is predicted various metrics of task success and dialogue costs, which are measured from the system logs in the PARADISE framework, and then, at the second stage, those metrics are combined and predict the system’s primary objective, such as user satisfaction.
3. A COURSE OF STUDIES
Several problems must be overcome to implement this idea to evaluate exploratory information access environments. For example, we have still not agreed on the metric of task success. As pointed out by [2], in interactive environments precision and recall are not competitive enough. In that paper, aspect/instant recall achieved in a given time is thought to be representative of a realistic interactive retrieval task, but this claim has not, and so should be, verified. The most serious problem is that we are not sharing a taxonomy or ontology of either interaction moves of systems and users or evaluation metrics of several aspects of systems, which are related to those moves. These are indispensable for designing metrics of dialogue costs and a simulated user. Various kinds of moves users can make in an interactive information access environment were examined by [1]. That range drastically expands when exploring interactive information visualization, and their taxonomy/ontology becomes complex, intertwining several factors. Although some candidates have been proposed by [6] and [8], for example, the efforts have to be continued to elaborate them in order to construct those that can be shared in the community.
Thus, empirical user studies, which are a preparatory to make feasible simulation-based interactive exploratory information access evaluation, should be continued for a while longer. They are needed, first, to design and investigate a taxonomy/ontology of moves in interactive information access environments and their measures, and then to establish a methodology for simulated user configuration and construct predictive models of genuine quality of interactive environments using data obtained through benchmark tests.
Two possible task settings are being designed and elaborated for those studies. The first one is an interactive version of complex question answering (CQA). In CQA, users gather information on events and their attributes by asking questions in natural language. Interactive CQA is to add a process of elaboration and refinement to such a one-shot question answering though interaction with visual or textual information representation. The objective is to gather as many relevant nuggets as possible, which is similar to achieving high aspect/instant recall. In addition, in the case of event-list questions, for example, each nugget consists of an event description, which has several facets suitable to visualize, such as the time and place it occurs. Test sets constructed in ACLIA task in NTCIR-7 and 8 [5], the organization of which the authors were engaged in, must be used for that purpose.
The second is summarizing trend information, in which users are requested to summarize the trend of given time series information in a given period, such as the changes in cabinet approval ratings over the past year. This is an example of creative, intelligent works interacting with information access. Summarization has a method for automatic evaluation, and it allows the measurement of its task success to be tractable. Moreover, the materials of summarization range from textual information to numerical information, and the visualized information also contains rich interrelations among them is important for summarization. These characteristics promote rich interaction across media. The authors have organized the MuST workshop, which deals with several aspects of summarizing trend information, and constructed research resources for this topic [3]. These are significant advantages in pursuing this task.
4. CONCLUSION
A novel evaluation framework for interactive information environments was proposed, which is inspired by two concepts adopted in research into spoken language dialogue systems: the PARADISE framework and the use of a simulated user. The framework will enable genuine quality of systems in the environment to be predicted using data of benchmark tests. This framework is worth investigating, though it still has a lot of problems and its feasibility is not clear. As a preparatory to make this framework feasible, empirical user studies should be continued for a while longer. Two tasks were proposed for those empirical user studies, which are expected to derive fruitful outcomes for this purpose.
5. REFERENCES
[1] M.J. Bates: The Effects of Browsing and Berycycling Techniques on the Online Search Interface. In *Online Information Review*, Vol. 13, No. 5, pp. 407-424, 1989.
[2] S.T. Dumais and N.J. Belkin: The TREC Interactive Tracks: Putting the User in Search. In E.M. Voorhees and D.K. Harman (Eds.), *TREC: Experimentation and Evaluation in Information Retrieval*, pp. 123-152. The MIT Press, 2005.
[3] T. Kato and M. Matsushita: Overview of MuST at the NTCIR-7 Workshop - Challenges to Multimodal Summarization for Trend Information. In *Proc. of the 7th NTCIR Workshop Meeting on Evaluation of Information Access Technologies*, pp. 479-484, 2008.
[4] E. Levash, R. Piccinini and W. Eckert: A Stochastic Model of Human-Machine Interaction for Learning Dialog Strategies. In *IEEE Trans. of Speech and Audio Processing*, Vol. 8, No. 1, pp. 51-61, 2000.
[5] T. Mitamura, E. Nyberg, et al.: Overview of the NTCIR-7 ACLIA Task: Advances in Exploratory Information Access. In *Proc. of the 7th NTCIR Workshop Meeting on Evaluation of Information Access Technologies*, pp. 21-25, 2008.
[6] B. Shneiderman: The Eyes Have It: A Task by Data Type Taxonomy for Information Visualization. In *Proc. of the 1996 IEEE Symposium on Visual Languages*, pp. 336-343, 1996.
[7] M.A. Walker, D.J. Litman, et al.: PARADISE: A Framework for Evaluating Spoken Dialogue Agents. In *Proc. of ACL/EACL*, pp. 97-104, 1999.
[8] J. Zhang: *Visualization for Information Retrieval*. Springer, 2008.
A Proposal for the Evaluation of Adaptive Information Retrieval Systems using Simulated Interaction
Catherine Mulwa\textsuperscript{1}, Wei Li\textsuperscript{2}, Séamus Lawless\textsuperscript{1}, Gareth J. F. Jones\textsuperscript{2}
Centre for Next Generation Localisation
School of Computer Science and Statistics, Trinity College Dublin, Dublin, Ireland\textsuperscript{1}
School of Computing, Dublin City University, Dublin, Ireland\textsuperscript{2}
firstname.lastname@example.org, email@example.com, firstname.lastname@example.org, email@example.com
ABSTRACT
The Centre for Next Generation Localisation (CNGL) is involved in building interactive systems which combine Information Retrieval (IR), Adaptive Hypermedia (AH) and adaptive web techniques and technologies. The complex functionality of these systems coupled with the variety of potential users means that the experiments needed to evaluate such systems are difficult to plan, implement and execute. This evaluation requires both component-level scientific evaluation and user-based evaluation. Automated replication of experiments and simulation of user interaction would be hugely beneficial in the evaluation of adaptive information retrieval systems (AIRS). This paper proposes a methodology for the evaluation of AIRS which includes simulated interaction. The hybrid approach detailed combines: (i) user-centred methods for simulating interaction and personalisation; (ii) evaluation metrics that combine Human Computer Interaction (HCI), AH and IR techniques; and (iii) the use of qualitative and quantitative evaluations. The benefits and limitations of evaluations based on user simulations are also discussed.
Categories and Subject Descriptors
H.3 [Information Storage and Retrieval]: Information Search and Retrieval; H.3 [Information Interfaces and Presentation]: Multimedia Information Systems; H.5 [Information Interfaces and Presentation]: Hypertext/Hypermedia;
General Terms
Experimentation, Measurement, Performance
Keywords
Relevance Feedback, Simulation
1. INTRODUCTION
The Centre for Next Generation Localisation (CNGL) is developing novel technologies which address the key challenges in localisation. Localisation refers to the process of adapting digital content to culture, locale and linguistic environments at high quality and speed. The technologies being developed combine techniques from natural language processing, information retrieval and Adaptive Hypermedia. The complex functionality offered by these systems and the various users who interact with them, mean that evaluation can be extremely difficult to plan, implement and execute. Both component-level scientific evaluation and extensive user-based evaluation are required to comprehensively assess the performance of an application. It is critically important that such experiments are thoroughly planned and conducted to ensure the quality of application produced. The potential number of experiments needed to gain a full understanding of the systems being developed means that carrying out these repeated investigations using real interactive user studies is impractical. As a result, simulated interaction is vital to enable these experiments to be replicated and recursively executed in a controlled manner.
2. EVALUATION USING SIMULATED INTERACTION
IR evaluation experiments can be divided into four classes: i) observing users in real situations, ii) observing users performing simulated tasks, iii) performing simulations in the laboratory without users and iv) traditional laboratory research (no users and no interaction simulation) [1]. When simulating user interaction and replicating experiments it is essential that performance is measured using the most appropriate evaluation metric. The following sections detail metrics which can be used to evaluate AIRS, particularly experiments which use simulated interaction.
2.1 IR Evaluation Metrics
IR is classically evaluated in terms of precision and recall, which tell us about the accuracy and scope of the retrieval of relevant documents. These metrics are, of course, very valuable in measuring the effectiveness of real world search tasks. They are also used to evaluate retrieval effectiveness with test collections in laboratory IR experimental settings. However, the standard assumption, in laboratory IR experiments, that the relevance of individual documents is constant for multiple search interactions limits the applicability of such test collections for the evaluation of simulated interactive search.
An experimental framework is needed to capture simulated explicit or implicit feedback from a user and exploit this for relevance feedback and subsequent experiments. This framework could also potentially modify the identified set of relevant documents to reflect: (i) relevant information found in previous iterations of the experiment; and (ii) the development of the user’s information need. For example, a document may be deemed less as the search progresses and the user’s knowledge of a subject grows having seen previous relevant documents. This concept of a user interacting with an IR system and providing feedback which modifies the systems response has similarities with AH systems, from which we next consider relevant evaluation principles.
2.2 AH Evaluation Metrics
Numerous measures of the performance of adaptivity in adaptive systems have been proposed [2]. These metrics aim to address
both component-level scientific evaluation and user-based evaluation of the adaptivity offered by the system.
**Personalised Metrics:** Personalisation in IR can be achieved using a range of contextual information such as information about the user, the task being conducted and the device being used. Contextual information is increasingly being used to facilitate personalisation in IR. The personalised identification, retrieval and presentation of resources can provide the user with a tailored information seeking experience [2]. Personalisation metrics aim to express the effort necessary to adapt a system [3] e.g. **MpAc**: Minimum Percentage of Adaptation, which measures the percentage of entities which are personalised in an AIRS system. This metric considers only the minimum number of entities necessary to make a system adaptive.
**Interaction Metrics:** These metrics aim to provide information on the quality of the AIRS system’s functionality. This is achieved by evaluating the variation in the interaction between administrators or users in the standard and nonadaptive versions of a system [4]. Examples include: i) **AIRS Administrator Interaction Adaptivity Index.** This metric compares the actions performed by administrator to manage the system before and after the addition of adaptivity; ii) **UIat**: User interaction Adaptivity Index. This metric compares the actions performed by a user to access the functionality of a system both before and after the addition of adaptivity. Whenever an action differs, an additional action is needed or an action is missing, this index increases by one. Interaction metrics assist in the comparative evaluation of AIRS systems from an adaptive perspective.
**Performance metrics:** Many metrics can be used to measure performance e.g., knowledge gain (AEGHS), amount of requested material, duration of interaction, number of navigation steps, task success, usability (effectiveness, efficiency and user satisfaction). Such metrics concern aspects of the system related to response time, improvement of response quality through adaptivity and the influence of performance factors on the adaptive strategies.
### 2.3 Simulation of Interaction Techniques
Simulation techniques enable multiple changes of system configuration, running of extensive experiments and analysing results. The simulation assumes the role of a searcher, browsing the results of an initial retrieval [5]. The content of the top-ranked documents in the first retrieved document set constitutes the information space that the searcher explores. All the interaction in this scenario is dealt with through a textual interface that will only mark relevant information via the interaction. The authors are interested in the use of this technique to determine how to evaluate the change in retrieval effectiveness when an AIRS system adapts to a query in a standard way, and to incorporate user and domain models and investigate how to exploit these.
### 2.4 Simulation-Based Evaluation Challenges
The main challenges in the use of simulation methods include: i) determining what data must be gathered in order to replicate experiments; ii) deciding how to gather this data; iii) identifying how to replicate the variety of user behaviours and personalisation offered by the system; iv) the simulation of relevance, for instance simulating the characteristics of relevant documents successfully over a search session; v) validating the simulation’s query evaluation times against the actual implementation; vi) selecting what method to use to collect implicit feedback; and vii) deciding how to filter the collected implicit feedback.
### 3. PROPOSED METHODOLOGY
It is essential that the correct methods are used when evaluating AIRS systems [6]. In order to sufficiently evaluate both the adaptive functionality and the retrieval performance of these systems a hybrid approach is proposed which combines IR, AH and Simulation-based evaluation methods. The techniques and metrics required are: i) **simulation-based techniques** where simulation assumes the role of a searcher, browsing the results of an initial retrieval; ii) **user-centric metrics** for simulating interaction with the personalisation; and iii) evaluation metrics borrowed from AH and IR. During a search the information state and need of the user changes and this must be modelled in each simulation so that the information viewed so far by the user can be used to influence the generation of a subsequent query. An objective of AIRS is to minimise the amount of information that must be viewed in order to gain a certain amount of knowledge. Thus the user must be shown relevant information in correct order. This is related to both IR and AH, where personalised recommendations are used for a document set to be presented. Thus, for an information need, it is necessary to assess not only the relevance of documents to a topic, but also the order in which these should be presented. The number of documents which must be viewed over a search session to satisfy the information need can be further measured. At each point, search effectiveness can be measured with respect to the current information state of the simulated user. One of the main objectives of this work is to explore the potential of using user and domain models to reduce the user search effort. The potential benefits of the proposed methodology include: retrieval accuracy, completeness of system functionality, cost saving, user satisfaction, adaptivity, time, satisfied customer goal, user ratings, quality, appropriateness, accessibility, assistance, richness, availability, completeness, self-evidence, usability, user-retention, consistency, functionality, performance, predictability, portability, reliability and reuse.
### 4. CONCLUSION AND FUTURE WORK
Simulation-driven evaluation is not new, but the effects of personalisation on creating reproducible, large scale experiments can be addressed by incorporating AH and IR techniques and evaluation metrics. Further work is required in order to test the proposed methodology using systems being developed by CNGL.
### 5. ACKNOWLEDGMENTS
This research is based upon works supported by Science Foundation Ireland (Grant Number: 07/CE/E1142), as part of the Centre for Next Generation Localisation (www.cngl.ie).
### 6. REFERENCES
[1] H. Keskustalo et al. “Evaluating the effectiveness of relevance feedback based on a simulation model: effects of a user scenario on cumulated gain value.” Information Retrieval, vol 11, pp.209-228, 2008.
[2] Séamus Lawless, et al., ‘A Proposal for the Evaluation of Adaptive Personalised Information Retrieval’, presented at the CIRSE 2010 Workshop on Contextual Information Access, Seeking and Retrieval Evaluation, Milton Keynes, UK 2010.
[3] L. Masciulli and C. Raithein, “Frameworks for the Development of Adaptive Systems: Evaluation of User Satisfaction Features Through Software Metrics,” 4th International conference SEA 2009, pp. 309-312.
[4] C. Raithein and L. Masciulli, “Evaluation of Dynamic Adaptivity Through Metrics: an Achievable Target?,” 4th International conference SEA 2009.
[5] R. White, “A simulated study of implicit feedback models,” Advances in Information Retrieval, pp. 391-400, 2004.
[6] P. Brusilovsky, et al. “Layered evaluation of adaptive learning systems,” International Journal of Continuing Engineering Education and Life Long Learning, vol. 14, pp. 402-421, 2004.
Using QPP to Simulate Query Refinement
[Position Paper]
Daniel Tunkelang
Google
New York, United States
firstname.lastname@example.org
ABSTRACT
Standard test collections evaluate information retrieval systems through batch analysis of query-response pairs. Such analysis neglects the richness of user interaction in interfaces. Many interactive information retrieval (IIR) researchers favor user studies over test collections, but these studies suffer from high costs and raise concerns about generalizability. In this position paper, we propose using query performance prediction (QPP) to model the fidelity of communication between user and system, thus helping IIR researchers to simulate query refinement with standard test collections.
Categories and Subject Descriptors
H.1.2 [Models and Principles]: User/Machine Systems—human information processing; H.3.3 [Information Storage and Retrieval]: Information Search and Retrieval—information filtering
General Terms
Algorithms, Performance, Experimentation, Human Factors
Keywords
interactive information retrieval, models, evaluation
1. THE CRANFIELD PARADIGM AND IIR
The Cranfield paradigm for information retrieval system evaluation fixes the context and information needs, and assumes that relevance judgments are user-independent [12]. Its advocates argue that this paradigm offers broad utility and strong experimental power at low cost [13].
Critics (e.g., [1]) object that the Cranfield paradigm is unable to accommodate the study of people in interaction with information systems. These critics generally favor user studies as an evaluation methodology.
The Cranfield model is most suitable for evaluating query-response systems. Such systems are designed to retrieve relevant results in a given query without regard to further user context. For this interaction model, the user-centric assumptions of the Cranfield model at least seem plausible.
Interactive information retrieval (IIR) research emphasizes user responsibility and control over the information seeking process [9]. IIR techniques include query and term suggestions [7], result clustering [6], and faceted search [11].
Unfortunately, the Cranfield paradigm has not adapted well to IIR. The difficulty is that user-centered ranked result retrieval cannot be neatly summarized in terms of relevance judgments. As a result, IIR researchers depend predominantly on user studies for evaluation. As noted above, these studies suffer from high costs and raise concerns about generalizability.
2. FIDELITY OF COMMUNICATION
In the query-response model, the primary goal is that the system return relevant results. In contrast, IIR views information seeking as a sequence of interactions between the user and the system. From an IIR perspective, the effectiveness of an information-seeking support system depends on the fidelity of the communication channel through which the user and the system interact.
Because the query-response model has only one round of user-system interaction, its fidelity of communication can be summarized by measuring the relevance of results. In an IIR system, however, communication is iterative and bidirectional. While each round of interaction offers an opportunity to advance the user and system’s shared state of knowledge, it also creates a risk that the user and system will diverge because of a breakdown in communication.
How do we measure fidelity of communication in an IIR system? In work on evaluating relevance feedback based on simulated users [8, 14], researchers assume that users are perfect judges of relevance, and thus that we can simulate relevance feedback behavior based on user relevance judgments in a test collection. This assumption is already a rough approximation to reality, but it breaks down entirely when we expect users to apply such perfect judgment to suggested richer response elements, such as query suggestions and result clusters. Instead, we need a way to model and measure the likelihood that a user will correctly assess the utility of a query refinement to his or her information need.
3. QUERY PERFORMANCE PREDICTION
In order to evaluate a system that offers users query refinement options, we need to address these two questions:
1) Do the query refinement options enable the user to make progress in the information seeking task?
2) Can the user interpret the query refinement options and predict the relevance of the results to which they lead?
Given a standard test collection with relevance judgments, we can model an answer to the first question in terms of those judgments. For example, we can simulate an opportunistic user who, when presented with refinement options, selects the option that immediately leads to the most relevant result set (e.g., one that optimizes for average precision). We can also simulate a more far-sighted user who explores a set of paths using iterative query refinements and ultimately selects the path that lead to the best destination. Such an approach is similar to the expected benefit framework proposed by Fuhr [4].
For the second question, we turn to query performance prediction (QPP), also known as query difficulty estimation [2]. QPP estimates the likelihood that a system will succeed in addressing a user’s information need for a particular query—without access to a set of relevance judgments. Pre-retrieval measures, such as query coherency [5], estimate performance based solely on analyzing the query; while post-retrieval measures, such as query clarity[3] and robustness[15], also analyze the results.
While QPP has been used primarily to identify human-generated queries that pose difficulty to information retrieval systems, we believe it can be applied more generally to evaluate or guide query refinements generated by IIR systems. Even if a query refinement leads to results that advance the user’s progress towards fulfilling his or her information need, QPP estimates the likelihood that the user will pick up the requisite information scent [10] to follow it.
Now we have all of the ingredients we need: a test collection with relevance judgements, a standard relevance measure such as average precision, and a QPP measure such as query clarity. Combining these, we can generalize Fuhr’s expected-benefit model to simulate how a user interacts with a system that offers query refinements.
For each interaction, we combine (e.g., multiply) the relevance and QPP measures to obtain a score for each refinement. How we apply these scores depends on the information-seeking strategy we want to simulate. For example, we can simulate an opportunistic user by always following the highest-scoring refinement. We can then judge the system’s effectiveness off the system based on the relevance of the final result, or judge the system’s efficiency based on the length of the simulated session. This approach generalizes to simulating other information-seeking strategies.
This approach relies on a variety of assumptions—in particular, that QPP works for query refinements generated by IIR systems. Given that query refinements are often user-generated queries mined from logs, this assumption seems reasonable. Nonetheless, it requires experimental validation. Also, not all query refinement approaches are amenable to all QPP measures. In particular, pre-retrieval methods require that the refinements be expressible as explicit queries. Nonetheless, we feel this approach has broad applicability.
4. SUMMARY
We have proposed an approach that applies QPP to IIR in order to use standard test collections for evaluating IIR systems. While this proposal is barely a sketch, we hope it suggests a productive research direction for the IIR community. We believe that bridging the gap between the Cranfield model and IIR hinges on modeling the fidelity of communication between the user and the system, and we hope that future research will validate the potential of this approach.
5. REFERENCES
[1] N. Belkin. Some (what) grand challenges for information retrieval. *ACM SIGIR Forum*, 42:47–54, 2008.
[2] D. Carmel and E. Yom-Tov. *Estimating the Query Difficulty for Information Retrieval*. Morgan & Claypool, 2010.
[3] S. Cremon-Townsend, Y. Zhou, and W. Croft. Predicting query performance. In *Proc of 25th ACM SIGIR*, 299–306, 2002.
[4] N. Fuhr. A probability ranking principle for interactive information retrieval. *Information Retrieval*, 11(3):251–265, 2008.
[5] J. He, M. Larson, and M. De Rijke Using coherence-based measures to predict query difficulty. In *Proc of 30th ECIR*, 689–694, 2008.
[6] M. Hearst. Clustering versus faceted categories for information exploration. *CACM*, 49(4):61, 2006.
[7] D. Kelly, K. Gyllstrom, and E. Bailey. A comparison of query and term suggestion features for interactive searching. In *Proc of 22nd ACM SIGIR*, 371–378, 2009.
[8] H. Keskustalo, K. Järvelin, and A. Pirkola. Evaluating the effectiveness of relevance feedback based on a user simulation model: effects of a user scenario on cumulated gain value. *Information Retrieval*, 11(3):209–228, 2008.
[9] G. Marchionini. Toward human-computer information retrieval. *ASIST Bulletin*, 32(5):20, 2006.
[10] P. Pirolli and S. Card. Information foraging. *Psychological Review*, 106(4):643–675, 1999.
[11] D. Tunkelang. *Faceted search*. Morgan & Claypool, 2009.
[12] E. Voorhees. The philosophy of information retrieval evaluation. In *2nd CLEF Workshop on Evaluation of CLIR Systems*, 143–170, 2002.
[13] E. Voorhees. On test collections for adaptive information retrieval. *Information Processing & Management*, 44(6):1879–1885, 2008.
[14] R. White, J. Jose, C.J. Rijsbergen, and I. Ruthven. A simulated study of implicit feedback models. In *Proc of 26th ECIR*, 311–326, 2004.
[15] Y. Zhou and W. Croft. Ranking robustness: a novel framework to predict query performance. In *Proc of 15th ACM CIKM*, 574, 2006.
Focused Relevance Feedback Evaluation
Shlomo Geva
Computer Science, QUT
2 George St
Brisbane Q4001 Australia
+617 3138 1920
email@example.com
Timothy Chappell
Computer Science, QUT
2 George St
Brisbane Q4001 Australia
+617 3138 1920
firstname.lastname@example.org
ABSTRACT
This paper describes a refined approach to the evaluation of Focused Relevance Feedback algorithms through simulated exhaustive user feedback. As in traditional approaches we simulate a user-in-the-loop by re-using the assessments of ad-hoc retrieval obtained from real users when making focused ad-hoc retrieval submissions. The evaluation is extended in several ways: the use of exhaustive relevance feedback over entire runs; the evaluation of focused retrieval where both the retrieval results and the feedback are focused; the evaluation is performed over a closed set of documents and complete focused assessments; the evaluation is performed over executable implementations of relevance feedback algorithms; and finally, the entire evaluation platform is reusable. We present the evaluation methodology, its implementation, and experimental results that demonstrate its utility.
Categories and Subject Descriptors
Focused Relevance Feedback, Relevance Feedback, Information Retrieval, IR, RF, User Simulation, Search Engine, Evaluation, INEX http://www.inex.otago.ac.nz/
General Terms
Algorithms, Measurement, Performance, Benchmark.
Keywords
Relevance feedback evaluation.
1. INTRODUCTION
Information retrieval systems are most effective when used by skilled operators who are capable of forming queries appropriate for retrieving relevant documents. The vast majority of users of information retrieval systems are unlikely to be skilled users. It is a trivial observation that user will sooner reformulate a query than they would scan the initial result list to any depth beyond the first page of results. As query reformulation may be a difficult and time-consuming task, machine-assisted query reformulation based on the preferences of the user is an important part of information retrieval. An early and rather effective mechanism for improving the effectiveness of search interfaces is known as relevance feedback where by query reformulation is automated. We are concerned with the evaluation of this approach. This paper describes an extension of the Incremental Relevance Feedback approach, described by Isbrand Jan Aalbersberg [1], to Focused Relevance Feedback and to the evaluation of executable implementations under uniform setting.
1.1 Relevance Feedback Evaluation
This wealth of research and reported results on relevance feedback leads to an obvious problem – most of the earlier work is difficult to reproduce reliably, and certainly not without great difficulty in implementation of systems described by others. Of great importance to the task of comparing different methods of ranking, or retrieval, is having a standard, systematic way of evaluating the results so that it can be empirically validated, a methodologically sound manner, that for a given test collection one particular method is better than another.
Ruthven and Lalmas[2] review alternate evaluation methods suited to relevance feedback: Freezing, Residual ranking, and Test and control, all intended to counter the effect where the documents marked as ‘relevant’ by the user are pushed to the top of the document ranking, artificially raising the mean precision of the results. Freezing is where the initially top-ranked documents are frozen in place and the relevance feedback system used to rerank the remaining documents, and the standard recall evaluation conducted on the resulting list. Residual ranking is where the top-ranked documents, used to train the relevance feedback system, are removed from the document set before evaluation. Test and control groups, where the document set is partitioned into two equal groups, the first used to train the relevance feedback system and the second used to evaluate the system. Aalbersberg[1] describes an incremental approach which we extend in this paper, where one document at a time is evaluated by the user until a given depth of results list is inspected.
1.2 Focused Relevance Feedback evaluation
In this paper we describe a refined approach to the evaluation of Relevance Feedback algorithms through simulated exhaustive incremental user feedback. The approach extends evaluation in several ways, relative to traditional evaluation. First, it focuses the evaluation of retrieval where both the retrieval results and the feedback are focused. This means that both the search results and the feedback are specified as passages, or as XML elements, in documents - rather than as whole documents. Second, the evaluation is performed over a closed set of documents and assessments, and hence the evaluation is exhaustive, reliable and less dependent on the specific search engine in use. By reusing the relatively small topic assessment pools (having only several hundred documents per topic), the search engine quality can largely be taken out of the equation. Third, the evaluation is performed over executable implementations of relevance feedback algorithms rather than being performed over result submissions. Finally, the entire evaluation platform is reusable and over time can be used to measure progress in focused
relevance feedback in an independent, reproducible, verifiable, uniform, and methodologically sound manner.
2. EVALUATION APPROACH
This approach is concerned with the simulation of a user in loop, in the evaluation of relevance feedback systems. This approach can be used to compare systems in an evaluation forum setting, or simply to evaluate improvements of variations to existing relevance feedback algorithms in the development process.
2.1 Use Case
The use-case of this track is similar to Aalbersberg[1] - a single user searching with a particular query in an information retrieval system that supports relevance feedback. Our user views and highlights relevant passages of text in a returned document (if exist) and provides this feedback to the information retrieval system. The IR system returns the remainder of the unseen results list to provide the next assumed most relevant result to the user. The exact manner in which this is implemented is not of concern in this evaluation; here we test the ability of the system to use focused relevance feedback to improve the ranking of previously unseen results. Importantly, we extend Aalbersberg’s approach to compare the improvement, if exists, which focused relevance feedback (FRF) offers over whole document feedback. This requires structured IR (e.g. XML documents).
2.2 Test Collection
The relevance feedback track will use the INEX Wikipedia XML collection. Evaluation will be based on the focused relevance assessments, which are gathered by the INEX Ad-Hoc track through the GPXrai assessment tool, where assessors highlight relevant passages in documents. The INEX Wikipedia test collection is semantically marked up. This facilitates the evaluation of FRF algorithms implementations, which take advantage not only of the (often) passage-sized feedback, but also the semantic mark-up of the relevant text.
2.3 Task
Participants will create one or more Relevance Feedback Modules (RFMs) intended to rank a collection of documents with a query while incrementally responding to explicit user feedback on the relevance of the results presented to the user. These RFMs will be implemented as dynamically linkable modules that will implement a standard defined interface. The Evaluation Platform (EP) will interact with the RFMs directly, simulating a user search session. The EP will instantiate an RFM object and provide it with a set of XML documents and a query. The RFM will respond by ranking the documents (without feedback) and returning the ranking to the EP. This is followed by differences in quality between the ranking before and after feedback can be compared to determine the extent of the effect the relevance feedback has on the results. The EP will then request the next most relevant document in the collection (that has not yet been presented to the user). On subsequent calls the EP will pass relevance feedback (in the form of passage offsets and lengths) about the last document presented by the RFM. This feedback is taken from the qrels of the respective topic, as provided by the Ad-Hoc track assessors. The simulated user feedback may then be used by the RFM to re-rank the remaining unseen documents and return the next most relevant document. The EP makes repeated calls to the RFM until all relevant documents in the collection have been returned.
The EP will retain the presentation order of documents as generated by the RFM. This order will then be evaluated as a submission to the ad-hoc track in the usual manner and with the standard retrieval evaluation metrics. It is expected that an effective dynamic relevance feedback method will produce a higher score than a static ranking method (i.e. the initial baseline rank ordering). Evaluation will be performed over all topics and systems will be ranked by the averaged performance over the entire set of topics, using standard INEX and TREC metrics.
Each topic consists of a set of documents (the topic pool) and a complete and consistent set of manual focused assessments against a query. Hence, we effectively have a “classical” Cranfield experiment over each topic pool as a small collection with complete assessments for a single query. The small collection size allows participants without an efficient implementation of a search engine to handle the task without the complexities of scale that the full collection presents.
As an example, Figure 1 depicts the performance improvement evaluation as obtained by using Rocchio with the Lucene search engine, when evaluated by tree_eval. Rocchio-based relevance feedback engine results in an improved mean average precision. The third line shows (the middle) is the best performing submission at INEX 2009, identified as lucer in the tree_eval input format. It performs best out of the three in early precision, but precision suffers later and it has a lower average precision than the Lucene engine when using relevance feedback.
The approach provides an interactive user session simulation in a focused relevance feedback setting. The evaluation provides a level playing field for the independent and completely reproducible evaluation of RF implementations in a standard setting and with a standard pool of documents for each topic. The approach supports the accurate evaluation of any benefits that may (or may not) arise from the use of Focused IR, as opposed to document IR, be it passage based or XML Element based.
3. References
1. IJsbrand Jan Aalbersberg, Incremental Relevance Feedback, Proceedings of SIGIR 1992, pp 11-22.
2. I. Ruthven and M. Lalmas. A survey on the use of relevance feedback for information access systems. *Knowl. Eng. Rev.*, 18(2):95-145, 2003
Modeling the Time to Judge Document Relevance
Chandra Prakash Jethani
David R. Cheriton School of Computer Science
University of Waterloo
email@example.com
Mark D. Smucker
Department of Management Sciences
University of Waterloo
firstname.lastname@example.org
ABSTRACT
We want to make timed predictions of human performance by modeling user interaction with a hypothetical user interface. Inherent in making a timed prediction via simulation is knowing how long various actions take. One of the most costly actions a user can take is judging a document for relevance. We present a model of the average time to judge the relevance of a document given the document’s length. We produce two parameterized versions of the model based on two sets of user data. The models explain 26–45% of the variance in the average time to judge document relevance. Our models should allow for more accurate timed predictions of human performance with interactive retrieval systems.
1. INTRODUCTION
We believe that automated information retrieval (IR) evaluation should provide predictions of human performance. To make these predictions our approach has been to create user models that describe how a user interacts with a given interactive IR system. Each action that the simulated user takes has with it an associated time to complete. While the HCI community has established average times for low level actions such as pointing and clicking, the IR community has yet to establish times for high level actions such as the judging of document relevance. We next describe our model to predict the average time to judge a document for relevance.
2. METHODS AND MATERIALS
Our model for judging the relevance of a document is a simple one based solely on a document’s length. To judge the relevance of the document, our model’s hypothetical user scans the document looking for relevant material. The user examines areas of the page in more detail to make a relevance decision. On making a decision, the user then uses the computer mouse to enter the decision and go on to the next page. As such, the time to judge a document given a document’s length in words, is,
\[ T(w) = sw + ra + c \]
(1)
where \( s \) is the scan rate in seconds per word, \( w \) is the document length in words, \( r \) is the reading rate in seconds per word, \( a \) is the total length of the areas of interest, and \( c \) represents a constant overhead for judging in seconds. A simplifying assumption we make is to fix the size of \( a \). Thus, we can rewrite the model as:
\[ T(w) = sw + k \]
(2)
where \( k \) is a constant amount of time required for judging any document.
To parameterize and evaluate our model, we draw our data from a larger user study [2]. In this two phase study, 48 users used a different interface for each phase of the study. In the first phase, users judged for relevance a series of document summaries and full documents. In this paper, we only look at the judgments of full documents. The phase 2 interface presented 10 query-based document summaries (snippets) per page. Clicking on the summary allowed the user to either save the document as relevant or do nothing and use the web browser’s back button to go back and view the search result summaries. Each interface displayed full documents in a similar manner with query terms highlighted and instructions and buttons for judging displayed at the top of the page.
For each document, we compute its length by stripping it of any markup and splitting the text into whitespace separators. Summaries had no duplicates of each other. We mapped each set of duplicates to a unique identifier and set the document length equal to the average of the documents in the set.
Users worked at different rates. For this paper, we only use documents judged by 10 or more users. We compute for a document the average amount of time users took to judge its relevance. For documents in phase 2, we counted as a judgment both the saving of a document as relevant and also the clicking but not saving of a document. We use only the first time a user viewed a document. For example, if a user takes \( t_1 \) seconds to view a document and does nothing, but later takes \( t_2 \) seconds to revisit the document and save it as relevant, we will only use \( t_1 \) in our calculations. In particular, for duplicate documents, we only use the time to judge the first copy of the document.
Our user study [2] used 8 topics from the 2005 TREC Robust track, which used the AQUAINT collection of 1,033,461 newswire documents.
3. RESULTS AND DISCUSSION
Figure 1 shows the experimental data for phase 1 and 2 and a linear fit to each set of data. The fit model with standard errors for phase 1 is:
\[ T(w) = 0.024 \pm 0.004w + 21 \pm 4 \]
(3)
The adjusted R-squared for the phase 1 model is 0.26, i.e. 26% of the variance in the average time to judge a document in phase 1 is explained by the model. For phase 2, the fitted model is:
\[ T(w) = 0.021 \pm 0.002w + 9 \pm 2 \]
(4)
and has an adjusted R-squared of 0.45. Interestingly, phase 2 is the more realistic interface for search, and here we are better able model the time to judge relevance.
For each phase, the number of seconds per word is approximately the same. A scan rate of 0.024 seconds per word is equivalent to 2500 words per minute (wpm). The average rate at which people can scan a text looking for a word is 600 wpm [1]. There are several possible reasons for our measured scan rate being more than 4 times the rate of conventional scanning.
Firstly, users are scanning documents with query term highlighting and are not performing a true lexical scan of 600 wpm. We expect users to be able to find areas of interest in documents at a rate faster than possible without highlighting. Secondly, users do not always need to view the full length of the document to make a decision. For example, Figure 1 shows for phase 1 a long document of greater than 3000 words that is judged in an average of 15 seconds. On examination of this document, it is clear that the document is non-relevant given its title and first sentences. Finally, some users appear to read more than others. In other words, users employ different strategies to comprehending documents, and our model does not capture this difference between users.
The constant amount of time required for judging a document varies greatly between the two phases. For phase 1, the constant is 21 seconds and for phase 2 it drops to 9 seconds. These times are similar to the times we measured for users to judge summaries in phase 1 and phase 2. In phase 1, users on average judged a summary in 15.5 seconds. In phase 2, users spent 9.1 seconds viewing the summaries before taking some action. Thus, it seems reasonable to hypothesize that users read in detail about as much material as a query-biased document summary. Our summaries were 2 sentences with a combined maximum length of 50 words.
Why should users take longer to judge documents in phase 1? In phase 1, users are forced to make relevance decisions for a given document. In phase 2, users only explicitly save relevant documents after making a decision to view the full document based on the document summaries.
4. CONCLUSION
We modeled the average time to judge document relevance as a function of document length. Using data from a previously conducted user study, we fit the model to the data produced by the study’s two user interfaces. When fit to the interface that required users to make judgments in real time, the model explains 26% of the variance in the average time to judge. The second interface was similar to today’s web search interfaces that display 10 query-biased document summaries and allow the user to click on a summary to view the full document. When fit to the data from this second interface, the model explains 45 percent of the variance. It appears that document length does have a significant influence on the time to judge document relevance.
5. ACKNOWLEDGMENTS
This work was supported in part by the Natural Sciences and Engineering Research Council of Canada (NSERC), in part by the Amazon Web Services in Education Research Grant, and in part by the University of Waterloo. Any opinions, findings and conclusions or recommendations expressed in this material are those of the authors and do not necessarily reflect those of the sponsors.
6. REFERENCES
[1] R. P. Carver. Reading rate: Theory, research, and practical implications. *Journal of Reading*, 36(2):84–95, 1992.
[2] M. D. Smucker and C. Jethani. Human performance and retrieval precision revisited. In *SIGIR’10*. 2010.
Session Track at TREC 2010
Evangelos Kanoulas* Paul Clough* Ben Carterette† Mark Sanderson*
*Department of Information Studies †Department of Computer & Information Sciences
University of Sheffield University of Delaware
Sheffield, UK Newark, DE, USA
ABSTRACT
Research in Information Retrieval has traditionally focused on serving the best results for a single query. In practice however users often enter ill-specified queries which then they reformulate. In this work we propose an initial experiment to evaluate the effectiveness of retrieval systems over single query reformulations. This experiment is the basis of the TREC 2010 Session track.
1. INTRODUCTION
Research in Information Retrieval has traditionally focused on serving the best results for a single query, e.g. the most relevant results, a single or most relevant topic, or a face-spanning set of most relevant topics. No matter the task, users often enter a sufficiently ill-specified query that one or more reformulations are needed in order to locate a sufficient number of what they seek. Early studies on web search query logs showed that half of all Web users reformulated their initial query: 52% of the users in 1997 Excite data set, 45% of the users in the 2001 Excite dataset [9]. A search engine may be able to better serve a user not by ranking the most relevant results to each query in the sequence, but by ranking results that help “point the way” to what the user is really looking for, or by complementing results from previous queries in the sequence with new results, or in other currently-untanticipated ways.
The standard evaluation paradigm of controlled laboratory experiments is unable to assess the effectiveness of retrieval systems to an actual user experience of querying with reformulations. On the other hand, interactive evaluation is both noisy due to the high degrees of freedom of user interactions, and expensive due to its low reusability and need for many test subjects. In this work we propose an initial experiment that can be used to assess the highest form of user contribution to the retrieval process, a single query reformulation. This experiment is the basis of the TREC 2010 Session track.
2. EVALUATION TASKS
We call a sequence of reformulations in service of satisfying an information need a session, and the goals of our evaluation are: (G1) to test whether systems can improve their performance for a given query by using information about a previous query, and (G2) to evaluate system performance over an entire query session instead of a single query. We limit the focus of the track to sessions of two queries: This is partly for pragmatic reasons regarding the difficulty of obtaining session data, and partly for reasons of experimental design and analysis: allowing longer sessions introduces many more degrees of freedom, requiring more data from which to base conclusions.
A set of 150 query pairs (original query, query reformulation) is provided to TREC participants. For each such pair the participants are asked to submit three ranked lists of documents for three experimental conditions, (a) one over the original query (RL1), (b) one over the query reformulation ignoring the original query (RL2), and (c) one over the query reformulation taking into consideration the original query and its search results (RL3). By using the ranked lists (RL2) and (RL3) we evaluate the ability of systems to utilize prior history (G1). By using the returned ranked lists (RL1) and (RL3) we evaluate the quality of ranking function over the entire session (G2).
3. QUERY REFORMULATIONS
There is a large volume of research regarding query reformulations which follows two lines of work: a descriptive line that analyzes query logs and identifies a taxonomy of query reformulations based on certain user actions over the original query (e.g. [6, 1]) and a predictive line that trains different models over query logs to predict good query reformulations (e.g. [4, 3, 8, 5]). Analyses of query logs showed a number of different types of query reformulations with three of them being consistent across different studies (e.g. [4, 6]): Specifications: the users enter a query that realizes results are too broad or that they wanted a more detailed level of information, and reformulates a more specific query. Drifting/Parallel Reformulation: the user entered a query, then reformulated to another query with the same level of specification but moved to a different aspect or facet of their information need. Generalizations: the user enters a query, realizes that the results are not correct, or that they want a wider range of information, and reformulates a more general query.
In the absence of query logs, Dang and Croft [2] simulated query reformulations by using anchor text, which is readily available. In this work we use a different approach. To construct the query pairs (original query, query reformulation) we start with the TREC 2009 Web Track diversity topics. This collection consists of topics that have a “main theme” and a series of “aspects” or “sub-topics”. The Web
Track queries were sampled from the query log of a commercial search engine and the sub-topics were constructed by a clustering algorithm [7] run over these queries aggregating query reformulations occurring in the same session. We used the same two main themes of the collection topics plus a variety of combinations to provide a simulation of an initial and second query. An example of part of a 2009 Web track query is shown below.
```
<topic number="4" type="faceted">
<query>toilet</query>
<description>Find information on buying, installing, and repairing toilets.</description>
<subtopic number="1" type="inf">
What different kinds of toilets exist, and how do they differ?
</subtopic>
...
<subtopic number="3" type="inf">
Where can I buy parts for American Standard toilets?
</subtopic>
...
<subtopic number="6" type="inf">
I'm looking for a Kohler wall-hung toilet. Where can I buy one?
</subtopic>
</topic>
```
To construct **specification** reformulations we used the Web Track `<query>` element as the original query, selected a subtopic and considered it as the actual information need. We then manually extracted keywords from the sub-topic and used them as the reformulation. For instance, in the example above we used the query `toilet` as the first query, selected the information need (“I’m looking for a Kohler wall-hung toilet. Where can I buy one?”), extracted the keyword “Kohler wall-hung” and considered that as a reformulation. This query pair simulates a user that is actually looking for a Kohler wall-hung toilet, but poses a more general query first, possibly because they don’t “know” what they need.
```
<topic number="1" reforotype="specification">
<query>toilet</query>
<reformulation>Kohler wall-hung toilet</reformulation>
<description>I'm looking for a Kohler wall-hung toilet. Where can I buy one?</description>
</topic>
```
To construct **drifting** reformulations we selected two subtopics, used the corresponding `<subtopic>` elements as the description of two separate information needs, extracted keywords out of the subtopic, and used these keywords respectively as the query and query reformulation. For instance, in the example above we selected subtopics 3 and 6 as the two information needs. Then we extracted the keywords “parts American Standard” and “Kohler wall-hung toilet” and used them as the original query and the query reformulation. This pair simulates a user that first wants to buy toilet parts from American Standard and then decides that they also want to purchase Kohler wall-hungs while browsing the results.
```
<topic number="2" reforotype="drifting">
<query>Parts American Standard</query>
<description>Where can I buy parts for American Standard toilets?</description>
<reformulation>Kohler wall-hung toilet</reformulation>
<description>I'm looking for a Kohler wall-hung toilet. Where can I buy one?</description>
</topic>
```
Finally, to construct **generalization** reformulations we followed one of two methods. In the first method we selected one of the subtopics and we extracted as many keywords as possible to construct an over-specified query, e.g., in subtopic 1 of the example topic we may extract the keywords “different kinds of toilets”, which seem to be a lexical over-specification. We then used a subset of these keywords to generalize the original query (e.g., “toilet”). This is meant to simulate a user that first wants to find what types of toilets exist, but lexically over-specifies the need; the retrieved results are expected to be poor and therefore the user needs to reformulate.
```
<topic number="3" reforotype="generalization">
<query>different kinds of toilets</query>
<reformulation>toilets</reformulation>
<description>What different kinds of toilets exist, and how do they differ?</description>
</topic>
```
For the second method we selected one of the subtopics or the query description from the Web Track topics as the information need, extracted keywords from a different subtopic that seemed related but essentially it was a mis-specification of something very narrow, and extracted keywords from the subtopic used as information need.
```
<topic number="4" reforotype="generalization">
<query>American Standard toilet</query>
<reformulation>toilet</reformulation>
<description>Find information on buying, installing, and repairing toilets.</description>
</topic>
```
### 4. CONCLUSIONS
Simulating a user is a difficult task. A test collection and accompanying evaluation measures already provide a rudimentary simulation of such users. We have chosen to extend this by considering one more aspect of typical searchers, their reformulation of a query.
### 5. REFERENCES
[1] P. Brinza and S. DeRose. Query reformulation on the internet: Empirical data and the hyperindex search engine. In *Proceedings of RIAO*, pages 488–500, 1997.
[2] V. Dang and B. J. Croft. Query reformulation using anchor text. In *Proceedings of WSDM*, pages 41–50, 2010.
[3] J. Huang and E. N. Elfrheimi. Analyzing and evaluating query reformulation patterns in web search logs. In *Proceedings of CIKM*, pages 877–886, 2009.
[4] B. J. Hansen, D. L. Booth, and A. Spink. Patterns of query reformulation during web searching. *JASIST*, 60(7):1358–1371, 2009.
[5] M. Jones, B. Rey, O. Madani, and W. Greiner. Generating query substitutions. In *Proceedings of WWW*, 2006.
[6] T. Lau and E. Horvitz. Patterns of search: analyzing and modeling web query refinement. In *Proceedings of UM*, pages 119–128, 1999.
[7] F. Radlinski, M. Szummer, and N. Craswell. Inferring query intent using reformulations and co-occurrences. In *Proceedings of WWW*, pages 1171–1172, New York, NY, USA, 2008. ACM.
[8] X. Wang and C. Zhai. Mining term association patterns from search logs for effective query reformulation. In *Proceedings of CIKM*, pages 470–479, 2007.
[9] D. Wolfram, A. Spink, B. J. Hansen, and T. Saracevic. Vox populi: The public searching of the web. *JASIST*, 52(12):1073–1074, 2001.
Graph-Based Query Session Exploration Based on Facet Analysis
Heikki Keskustalo, Kalervo Järvelin, and Ari Pirkola
Department of Information Studies and Interactive Media
FI-33014 University of Tampere, FINLAND
email@example.com, firstname.lastname@example.org, email@example.com
ABSTRACT
We explain a simulation approach based on topical facet analysis and a graph-based exploration of query sequences in test collections. First, major facets and their logical relationships are identified in the topics and in the corresponding relevant documents. Secondly, expressions (query terms) in relevant documents are collected, classified and clustered by test persons. Third, term combinations (queries) are formed systematically so that one query corresponds to one vertex of a graph $G$ representing a topic. Query formulation strategies manifest as paths in $G$. Session strategies manifest as paths in $G$. We close by discussing the significance of this approach for IR evaluation.
Categories and Subject Descriptors
H.3.3 [Information Search and Retrieval]: Selection process
General Terms
Measurement, Performance, Theory
Keywords
Iterative search process, session-based evaluation, simulation
1. INTRODUCTION
In real life searchers often utilize sequences of short queries (1-3 query terms) based on limited query modifications. The traditional Cranfield-style setting assuming one query per topic does not model such behavior. We suggest modeling search sessions as an iteration of querying and browsing, and studying the limits of short query sessions through a query graph based on query terms having “searcher warrant” and “literary warrant”.
We assume the following real life search behavior: The user will issue an initial query and browse the top documents retrieved; if an insufficient number of relevant documents are found, the user will repeatedly launch the next query until the information need is satisfied or s/he gives up. Due to the costs involved in query formulation, the user may attempt to maximize the total benefits in relation to the costs during session by rapidly trying out short queries.
Our research question is: How effective are short query sessions if we allow only limited query modifications, limited browsing of the retrieved result, and success is defined as being able to locate one (highly) relevant document. We propose a graph-based approach to study the effectiveness of short query sessions.
2. MULTI-LAYERED GRAPHS
To attain a “searcher warrant” topics are first analyzed by test searchers who suggest the major facets and their logical relationships which are justified for being used in searching. Secondly, to guarantee “literary warrant” the facets and their expressions are recognized in the relevant documents. This creates a search thesaurus suggesting search facets for each topic and reasonable expressions to use during a topical search session. Finally, the expressions need to be represented as character strings suited to the properties of the particular retrieval system and index type [1]. For each topic we suggest forming two separate layers: a concept graph $C = (F,M)$ and an expression level graph $G = (V,E)$ (cf. [3]). In $C$ the facets and facet combinations constitute the set of vertexes $F$ and the abstract moves (e.g., “add a facet”) reflect as edges $M$. The nodes between the two layers are linked in such a way that corresponding to each node in $C$ there is a flock of expression level nodes (queries) in $G$ which conform to the same logical form as the particular facet node. For example, let us assume that a boolean structure is used. In that case, facet node “b1[A]” and “b1[B]” is related to expressions “a1 and b1” and “a1 and b2”. This structure can be traversed to systematically experiment the limits of various query modification strategies.
3. EXPLORING THE EXPRESSION LEVEL GRAPH
We next report an simplified experiment related to the idea described above. We asked test persons to suggest search terms for short queries based on test topics of a test collection (41 topics from TREC 7 and TREC 8 ad hoc tracks) [2]. We did not have facet analysis performed for the relevant documents or for the topics. Therefore, having only a limited set of terms available suggested by test persons we simply formed all 5-word combinations as query candidates using an implicit #sum operator of search engine Lemur.
We next performed a search for each query individually. Each query corresponds to one vertex $V$ in a topical graph $G = (V,E)$ and an effectiveness result can be associated with each vertex.
A Probabilistic Automaton for the Dynamic Relevance Judgements of Users
Peng Zhang, Ulises Cerviño Beresi
School of Computing
The Robert Gordon University
United Kingdom
p.zhang1, firstname.lastname@example.org
Dawei Song
School of Computing
The Robert Gordon University
United Kingdom
email@example.com
Yuexian Hou
School of Computer Sci & Tec
Tianjin University
China
firstname.lastname@example.org
ABSTRACT
Conventional information retrieval (IR) evaluation relies on static relevance judgements in test collections. These, however, are insufficient for the evaluation of interactive IR (IIR) systems. When users browse search results, their decisions on whether to keep a document may be influenced by several factors including previously seen documents. This makes user-centred relevance judgements not only dynamic but also dependent on previous judgements. In this paper, we propose to use a probabilistic automaton (PA) to model the dynamics of users’ relevance judgements. Based on the initial judgement data that can be collected in a proposed user study, the estimated PA can further simulate more dynamic relevance judgements, which are of potential usefulness for the evaluation of IIR systems.
Category and Subject Descriptors: H.3.3 [Information Search and Retrieval]: Formal Model
Keywords: Interactive IR, Dynamic Relevance Judgement, Probabilistic Automaton, Simulation
1. INTRODUCTION
Relevance judgements in TREC test collections are static. However, in an interactive IR (IIR) environment, when users inspect the results of a search, relevance judgements become dynamic and dependent on each other. Consider the following two scenarios, the first one involving two complementary documents. Each document provides a portion of the solution but in combination they both provide a full solution to a user’s problem. Either document in isolation is likely to be judged partially relevant (if not irrelevant), however, when combined, both are likely to be judged relevant. The second scenario is related to the comparison effects between two relevant documents, one being slightly more relevant than the other. Should the less relevant one be encountered first, the user is likely to want to keep it. When faced with the more relevant one, however, this decision may change.
Despite the recognition for the dynamic nature of relevance judgements [2], to the best of our knowledge, little attention has been paid to their formal modelling in terms of the judgement interference, i.e., the interference among relevance judgements for different documents. In this paper, we use the probabilistic automaton (PA) to model the changing process of judgement scores, as the result of the judgement interference. Specifically, the states of the PA can represent users’ judgement states, which correspond to judgement scores. Thus the dynamic changes among judgement scores are modelled by the transitions among the PA states. Additionally, each symbol $\alpha$ in the alphabet $\Sigma$ of the PA denotes (or defines) one type of interference, and the corresponding interference effects are reflected by the PA states transitions, for which the transition probabilities are represented in the transition matrix $M(\alpha)$. Suppose that the judgement for a document $d_i$ is interfered by the judgement for another document $d_j$. Our method is that after the judgement for $d_j$, a symbol $\alpha$ will be generated and input to the PA, which triggers $d_i$’s judgement changed, and the change obeys the transition probabilities in the $M(\alpha)$.
In this paper, we focus on the inter-document judgement interference. Nonetheless, the proposed method can be generalised to incorporate other factors that may affect relevance judgements, such as evolving information needs or contexts, by encoding these factors into the PA alphabet.
2. DYNAMIC RELEVANCE JUDGEMENT
2.1 Modelling Judgement Interference
The probabilistic automaton (PA) is a generalisation of Markov Chains [4]. In general, the PA can have any finite number of states, which means that it can model the changing process of any finite set of judgement scores. For simplicity, suppose there are three judgement scores, i.e., 1, 2 and 3, where higher score means higher relevance.
As shown in Figure 1, the PA is a 5-tuple $(S, \Sigma, M, w, r_F)$. The states (also called judgement states) $r_1$, $r_2$ and $r_3$ in $S$ correspond to the graded scores 1, 2 and 3, respectively. The states distribution $w$ is a row vector that represents the probabilities of all judgement states, where the $k^{th}$ element of $w$ denotes the probability of the state $r_k$. We neglect the final state $r_F$ in $w$ to make the description simpler. For each symbol $\alpha \in \Sigma$, the $M(\alpha)$, which is a stochastic matrix (i.e.,
its each row sums to 1), represents transition probabilities among judgement states.
Let states distribution \( \mathbf{w}_i \) be the initial states distribution of a document \( d_i \) to represent its static judgement (e.g., TREC judgement). The judgement of \( d_i \), as interfered by the judgement of another document \( d_j \), can be computed as:
\[
\mathbf{w}^d_i = \mathbf{w}_i \times M(\alpha),
\]
where \( \mathbf{w}^d_i \) denotes the interfered judgements of \( d_i \), and the \( \alpha \) is the symbol generated after the judgement of \( d_j \).
For example, if \( d_i \)'s static judgement score is 2, then the \( \mathbf{w}_i = [0, 1, 0] \), meaning that 100% probability of the state \( r_2 \). After judging \( d_j \) with the score 1, suppose the input symbol corresponds to \( d_j \)'s judgement score, i.e., \( \alpha = 1 \) is generated, and accordingly the \( M(\alpha) = \begin{bmatrix} 0 & 0.1 & 0 \\ 0 & 0.8 & 0.2 \\ 0 & 0 & 1 \end{bmatrix} \), where the \( M(\alpha)_{k,l} = \Pr(r_k \xrightarrow{\alpha} r_l) \) denotes the transition probability from the state \( r_k \) to \( r_l \). Based on Formula 1, the interfered judgement result \( \mathbf{w}^d_i \) is \([0, 0.8, 0.2]\). This means that after judging a less relevant \( d_j \) with score 1, the user may heighten the judgement score of \( d_i \), i.e., the user has 0.8 probability of keeping his original judgement (score 2) for \( d_i \), and 0.2 probability of changing \( d_i \)'s score to 1.
This example may be over simplistic to assume that the symbols correspond exactly to judgement scores. One should consider the inter-document dependency, or other factors, e.g., the task and context, in the alphabet encoding.
### 2.2 Simulating Dynamic judgements
Based on a TREC collection \( \mathcal{C} \), our aim is to simulate the dynamic judgements of every \( d_i \in \mathcal{C} \), assuming the users are judging a list of documents \( d_1 \cdots d_n \). It could be extremely complex to consider all the possible judgement interferences. Therefore, we design and run a user study on the inter-document judgement interference of the representative document pairs (\( d_i, d_j \)), in order to obtain the judgement transition matrices (\( \forall \alpha | M(\alpha) \)). This user study will be discussed in the next subsection. Here we assume that transition matrices are available and present how to use them to simulate the dynamic judgements of \( d_i \).
Suppose the judgement of each \( d_j \) in the list \( d_1 \cdots d_n \) generates an input symbol \( \alpha(d_j) \) for the PA. After the user judged the documents \( d_1 \cdots d_p \), the dynamic judgements of \( d_i \) at the position \( p \) (\( p < n \)), can be computed by:
\[
\mathbf{w}^{d,p}_i = \mathbf{w}_i \times M(x_p),
\]
where the string \( x_p = \alpha(d_1) \cdots \alpha(d_p) \), and the \( M(x_p) = \prod_{j=1}^{p} M(\alpha(d_j)) \) is also a transition matrix. Note that the dynamic judgement modeling is also connected to the design of novel evaluation metrics considering user behavior [5, 3].
### 2.3 User Study Methodology
This proposed user study is to collect the initial judgement interference data for the simulation task described in Section 2.2. We need to study the inter-document judgement interference of each document pair (\( d_i, d_j \)), selected from TREC collections. The selection process should consider two factors between \( d_i \) and \( d_j \), i.e., the document dependency (e.g., similarity) and judgement score difference, which are possibly related to the judgement interference. We plan to adopt the statistical document dependency, rather than the document dependency measured by ourselves or users, since we aim at using the collected interference data on selected documents to simulate dynamic judgements for a large number of other documents, for which it is too expensive to obtain the human-measured document dependency. We stick to use binary judgement in the initial stage, since it can reduce the efforts and randomness of user evaluation. The document pairs will be selected and assigned to several categories, and under the same category, all document pairs have the same document dependency degree and the same judgement score difference. In each category, we correspond to each symbol \( \alpha \) in the PA. We then study the pairwise-document judgement interference in each category, to learn the transition matrix \( M(\alpha) \) for the corresponding symbol \( \alpha \).
For each document pair (\( d_i, d_j \)), we need to consider two situations, i.e., \( \text{rank}(d_i) > \text{rank}(d_j) \) and \( \text{rank}(d_i) < \text{rank}(d_j) \). In the first situation, users would be presented with \( d_i \) first and be asked to judge its relevance with respect to an information need (represented for instance as a request or a simulated work task [1]). Once \( d_i \) was judged, users would be asked to judge \( d_j \)'s relevance. To close the circle, users would be asked to judge \( d_i \) again, i.e. to reconsider their previous judgement. In the second situation, two separate user groups would be involved. Under the first group, users would be asked to judge \( d_i \) first and then judge the \( d_j \), while in the second group, users would be only asked to judge the relevance of \( d_i \). Collected data in both situations could help us to study how the judgement of \( d_i \) can be interfered by the judgement of \( d_j \). We will further investigate the user study design under two situations in the future.
### 3. CONCLUSIONS AND FUTURE WORK
In this paper, we proposed to use a probabilistic automaton (PA) to model the dynamics of user-centred relevance judgements. We then further presented how to use PA, which can be trained through a user study, to simulate more dynamic judgement data, potentially useful for the IIR evaluation. In the future, we will adopt more appropriate strategies for encoding the alphabet, and include other factors that affect the judgement. We also plan to refine the user study methodology and carry out an extensive user study, of the best possible quality, as we can. Our ultimate goal is to simulate an IIR evaluation including the derivation of the appropriate evaluation metrics.
### 4. ACKNOWLEDGMENTS
We would like to thank anonymous reviewers for their constructive comments. This work is supported in part by the UK’s EPSRC grant (No.: EP/F014708/2).
### 5. REFERENCES
[1] P. Borlund. The IIR evaluation model: a framework for evaluation of interactive information retrieval systems. *Information Research*, 8(3):8–3, 2003.
[2] S. Mizzaro. Relevance: the whole (hi)story. *Journal of the American Society for Information Science*, 47:810–832, 1996.
[3] C. Olivier, M. Donald, Z. Ya, and G. Piérard. Encoding reciprocal rank for graded relevance. In *CIKM ’09*, pages 621–630, 2009.
[4] W.-G. Tsai. Learning probabilistic automata and markov chains via queries. *Machine Learning*, 8:151–168, 1992.
[5] E. M. Bell, M. Shokouhi, N. Cresswell, and S. Robertson. Incorporating user behavior information in ir evaluation. In *SIGIR 2009 Workshop on Understanding the user- Logging and interpreting user interactions in information retrieval*, page 3, 2009.
Creating Re-Useable Log Files for Interactive CLIR
Paul Clough
Department of Information Studies
University of Sheffield
Sheffield UK
email@example.com
Julio Gonzalo
C/ Juan del Rosal 16
28040 Madrid, Spain
firstname.lastname@example.org
Jussi Karlgren
SICS
Isafjordsgatan 22
120 64 Kista, Sweden
email@example.com
ABSTRACT
This paper discusses the creation of re-useable log files for investigating interactive cross-language search behaviour. This was run as part of iCLEF 2008-09 where the goal was generating a record of user-system interactions based on interactive cross-language image searches. The level of entry to iCLEF was made purposely low with a default search interface and online game environment provided by the organisers. User-system interaction and input from users was recorded in log files for future investigation. This novel approach to running iCLEF resulted in logs containing more than 2 million lines of data.
1. INTRODUCTION
iCLEF is the interactive track of CLEF (Cross-Language Evaluation Forum), an annual evaluation exercise for Multilingual Information Access systems. In iCLEF, cross-language search capabilities are studied from a user-inclusive perspective. Over the last years, iCLEF participants have typically designed one or more cross-language search interfaces for tasks such as document retrieval, question answering or text-based image retrieval. Experiments were hypothesis-driven, and interfaces were studied and compared using controlled user populations under laboratory conditions. This experimental setting has provided valuable research insights into the problem space: there are problems, user populations are small in size, and the cost of training users, scheduling and monitoring search sessions is very high. In addition, the target notion of relevance does not cover all aspects that make an interactive search session successful; other factors include user satisfaction with the results and usability of the user interface.
In 2008 and 2009 iCLEF organisers decided to try something different: we provided a default multilingual search system (called Flicking) which accessed images from Flickr. Many images in Flickr contain metadata in multiple languages thereby providing a semi-realistic search scenario. For users of Flicking the task was kept very simple: given an image find its name. Users did not know in advance the languages in which the image was annotated; therefore searching in multiple languages was essential to get optimal results. The iCLEF interactive search task was publicised to attract as many users as possible from all around the world and the whole evaluation event was centered around an online: the more images found, the higher a user was ranked. This helped to encourage participation but also make the evaluation task engaging and addictive. The focus of iCLEF 2008-09 was on search log analysis rather than the more traditional focus of system design.
Interaction by users with the system was recorded in custom log files which were shared with iCLEF participants for further analyses. Flicking also gathered input from users such as their language skills, reasons for aborting a search task and comments on their search experience. These logs, a form of simulated interaction data\footnote{These logs can be downloaded from http://nlp.uned.es/iCLEF/}, provide a resource for further study of interactive cross-language search behaviour. Our experiences in iCLEF have been positive and for the first time in this kind of evaluation setting we have been able to produce a re-useable output from interactive experiments.
2. ICLEF METHODOLOGY
Our primary goal for iCLEF 2008-09 was to harvest a large search log of users performing multilingual searches on Flickr. Participants in iCLEF were asked to perform two tasks: (1) analyse log files based on all participating users (default option) and; (2) execute their own interactive experiments with the interface provided by the organisers.
**Generation of search logs.** Participants could mine data from the search session logs, for example looking for differences in search behaviour according to language skills, or correlations between search success and search strategies. Overall 435 subjects contributed to the logs.
**Interactive experiments.** Participants could recruit their own users and conduct their own experiments with the interface. For instance, they could recruit a set of users with passive language abilities and another with active abilities in certain languages and, besides studying the search logs, they could perform observational studies on how they search, conduct interviews, etc. iCLEF organisers provided assistance with defining appropriate user groups and image lists, for example, within the common search interface. Overall 6 groups participated in iCLEF and conducted experiments using Flicking.
2.1 Flicking
The Flickling system was created as a default search application for the evaluations [1]. The intention was to provide a standard baseline interface that was independent of any particular approach to cross-language search assistance. Functionality provided by the system included: user registration and recording of language skills, localisation of the interface, monolingual and multilingual search modes, automatic term-by-term query translation facility, query translation assistance allowing users to select suggested translations and add their own, query refinement assistant allowing users to modify or modify terms suggested by Flickr, control of game-like features and post-search questionnaires (launched after image found/failed, and a final questionnaire launched after the user had searched for 15 images). Customised logging recorded a rich amount of user-system interaction including explicit success/failure of searches, users’ profiles, and post-search questionnaires for every search (over 7,500 questionnaires).
2.2 Search Task
The task was organised as an online game: the more images found, the higher a user was ranked. Depending on the image, the source and target languages, this could be a very challenging task. To have an adaptive level of difficulty, we implemented a hint mechanism. At any time whilst searching, the user was allowed to quit the search (skip to next image) or ask for a hint. The first hint was always the target language (and therefore the search became mono or bilingual as opposed to multilingual). The rest of the hints were keywords used to annotate the image. Each image found scores 25 points, but for every hint requested, there was a penalty of 5 points. Initially a five minute time limit per image was considered, but initial testing indicated that such a limitation was not natural and changed users’ search behaviour. We therefore decided to remove time restrictions from the task definition.
2.3 Generated Logs
Overall, the logs collected and released during the iCLEF 2008 and 2009 campaigns contain more than 2 million lines. Table 1 summarises the most relevant statistics of both search logs. The log files record various user-system interactions such as queries, results, items clicked, selected query translations, query modifications, feedback from users and navigational actions (e.g. next/previous page). In total 435 users contributed to the logs and generated 6,182 valid search sessions (a session is when a user logs in and carries out a number of searches). The logs provide a rich source of information for studying multilingual search from a user’s perspective. iCLEF participants analysed the log files in various ways [2] [3]. For example, to discover actions leading to aborting a search task, investigating the effects of language skills on search behaviour, observing the switching behaviour of users between languages within a search session, investigating when users added translation terms to the Flickling dictionary and why, and the effects of ambiguous search terms on search results and user behaviour.
Table 1: Statistics of iCLEF 2008/2009 search logs.
| | 2008 | 2009 |
|------------------------|--------|--------|
| subjects | 305 | 130 |
| log lines | 1,483,806 | 617,947 |
| target images | 103 | 132 |
| valid search sessions | 5,101 | 2,410 |
| successful sessions | 4,463 | 2,149 |
| unsuccessful sessions | 1,068 | 261 |
| hints asked | 11,044 | 5,805 |
| queries in monolingual mode | 37,125 | 13,037 |
| queries in multi-lingual mode | 36,504 | 17,872 |
| manually promoted translations | 584 | 725 |
| manually penalised translations | 215 | 353 |
| image descriptions inspected | 418 | 100 |
from comparing different aspects of cross-language search assistance using more classical TRDC (Interactive style of experiments), using a default system and (simple) set of search tasks to produce a more realistic context in which to conduct experiments and record and analyse user-system interactions. The data collection has not been constrained to subjects recruited by participating groups, but also involved recruiting subjects on an individual basis with the aim of contributing to the search log. This community (and game-like) approach to generating search logs is perhaps one way to generate resources that can be used by researchers and without the limitations and ethical concerns imposed when using logs from commercial web search engines.
However, although the user-system interaction logs provide a useful re-usable resource for studying user-system interactions and search behaviours, they also impose the limitations of our approach. For example, the logs reflect only a specific known-item search task and participants experiment only with a single pre-defined search interface. In the future one could imagine using the log files to record behaviour for a specific version of the Flickling interface with systematic modifications carried out and user behaviours compared and used to evaluate various forms of search assistance.
4. REFERENCES
[1] Peinado, V., Ariñes, J., Gonzalo, J., Barker, E., López-Ostenero, F. (2009) FlickLing: a multilingual search interface for Flickr. In Working Notes for the CLEF 2008 Workshop.
[2] Gonzalo, J., Clough, P. and Karlgren, J. (2009), Overview of iCLEF2008: Search Log Analysis for Multilingual Image Retrieval, In Proceedings of 9th Workshop of the Cross-Language Evaluation Forum (CLEF'08), September 17-19 2008, LNCS 5706, pp. 227-235.
[3] Gonzalo, J., Peinado, V., Clough, P. and Karlgren, J. (2009) Overview of iCLEF 2009: Exploring Search Behaviour in a Multilingual Folksonomy Environment, In Working Notes for the CLEF 2009 Workshop.
Simulating Searches from Transaction Logs
Bouke Huurnink Katja Hofmann Maarten de Rijke
firstname.lastname@example.org email@example.com firstname.lastname@example.org
ISLA, University of Amsterdam
Science Park 107, Amsterdam, The Netherlands
ABSTRACT
Computer simulations have become key to modeling human behavior in many disciplines. They can be used to explore, and deepen our understanding of, new algorithms and interfaces, especially when real-world data is too costly to obtain or unavailable due to privacy or competitiveness reasons.
In information retrieval, simulators can be used to generate inputs for simulated users— including queries, clicks, reformulations, and judgments—which can then be used to develop a deeper understanding of user behavior and to evaluate (interactive) retrieval systems.
The trust that we put in simulators depends on their validity, which, in turn, depends on the data sources used to inform them. In this paper we present our views on future directions and challenges for simulation of queries and clicks from transaction logs.
Categories and Subject Descriptors: H.3 [Information Storage and Retrieval]: H.3.3 Information Search and Retrieval
General Terms: Experimentation
Keywords: Simulation, Transaction Logs, Evaluation
1. INTRODUCTION
Simulation offers a source of experimental data when real-world information is either unobtainable or too expensive to acquire. This makes simulation a valuable solution for evaluating information retrieval (IR) theories and systems, especially for interactive settings.
One approach to creating simulators for IR evaluation is to build simulation models that incorporate manually created queries and relevance judgments, as in the Cranfield tradition. A problem here is that it is not clear in how far such explicit judgments reflect how users would interact with a real IR system.
In this paper we discuss search engine transaction logs as a source of data for building simulators for IR evaluation. Transaction logs typically record, among other things, sequences of queries and result clicks issued by a user while using a search engine. The data is collected automatically, thereby capturing the actions of users “in the wild”. In addition, large quantities of searches and clicks can be gathered. This makes them a rich source of information.
For privacy and competitiveness reasons transaction logs are rarely made publicly available. However, simulators can be developed to generate artificial transaction log data not linked to any real users. Such a simulator can then be released to outside parties, for example in order to test out theories about searcher behavior or to evaluate the performance of (interactive) retrieval systems. In the process of creating such simulators, theories about search engine users could be tested by incorporating them in the simulation models.
So far, relatively little research has been conducted into developing simulators based on the searches in transaction logs. Below, we will discuss future directions for such research. We start by giving a brief overview of the state-of-the-art in simulation for retrieval evaluation in Section 2. Next, we outline possible application areas for transaction log-based simulators, and discuss some of the challenges that need to be addressed, in Section 3. We summarize our views in Section 4.
2. SIMULATION FOR IR
We now sketch some recent developments in simulation for IR purposes. In particular, we focus on the specific aspects of user interaction that have been simulated, and on how simulators have been validated.
A common form of data used to inform simulators in IR is manually created sets of queries and explicit relevance judgments. There exist multiple scenarios where such data has been exploited. For example, an approach for evaluating novel interfaces for presenting search results is to create a simulated user who clicks on relevant documents that appear on the screen [4, 10]. Another example is in simulating queries for retrieval evaluation, for example by creating new queries or sequences of queries from an existing query and set of relevant documents [1, 8]. Here all simulated queries generated from the same truth data are associated with the same set of truth judgments.
When simulators are not informed by manually created queries and document judgments, key challenges are to (1) create queries, and (2) identify relevant documents for a given query. One solution is to use document labels to identify groups of related “relevant” documents; these documents are then considered relevant to the queries generated from their combined text [7] (the document labels themselves are not used in the query generation process). Another solution is to address retrieval tasks where only one document is considered relevant to a query, as in for example known-item search. Here Azzopardi et al. [2] used document collections in multiple European languages to simulate pairs of queries and relevant documents, and compared them to
sets of manually created known-item queries.
For the simulation approaches mentioned above, it is unclear to what extent they reflect real-world queries and result interactions. This can be addressed through the use of transaction logs, as we discuss in the next section.
3. LOG-BASED SIMULATORS
Following on from our brief description of simulation in IR in general, we turn to directions for research in the development of transaction log-based simulators for IR.
The first direction for research is the realistic simulation of queries and clicks. We ourselves investigated this task using transaction logs from an archive search engine [5]. We validated each simulator by ranking different retrieval systems on its output data, and comparing this to a “gold-standard” retrieval system ranking obtained by running the systems on actual log data. We found that incorporating information about users in the simulation model improved the simulator output. Another approach to simulation of queries and clicks was taken by Dang and Croft [3], who worked in a web setting. Here, anchor texts were available, which they used as simulated queries. The purpose here was to evaluate the effect of different query reformulation techniques. The authors compared retrieval performance on the simulated queries to retrieval performance on queries and clicks taken from an actual search log, and found that the simulated queries showed retrieval performance similar to real queries.
A second direction for research is the simulation of sessions—sequences of queries and clicks. Retrieval evaluation with explicitly judged queries and documents generally considers each query in isolation. Transaction logs, however, offer us a wealth of information about query modification behavior, and there is broad interest in the IR community about using such information for retrieval system evaluation. What is needed here is to develop and incorporate into the simulator insights about possible “moves” in a session, based on different assumptions about user intent.
A key problem when designing a simulator is ensuring that it is valid for the purpose for which that simulator is developed. Sargent [9] identifies five types of validity in the simulation model: conceptual model validity, the validity of the underlying assumptions, theories, and representations of the model; model verification, the correctness of the programming and implementation of a conceptual model; and operational validity, the accuracy of the output data created by a simulation model. Transaction logs, due to the large number of interactions that they record, offer a wealth of data for quantitatively determining operational validity. The measure of validity will vary according to the purpose of the simulator. For example, when generating simulated queries and clicks for comparing retrieval systems, a valid simulator is one that produces output data whose scores differ from retrieval systems in the same way as data derived from actual transaction logs. Here a correlation coefficient such as Kendall’s $\tau$ can be used to compare the rankings of retrieval systems on real and simulated output [5].
An open question in developing transaction log-based simulators is whether those simulators are transferable to new domains. The data contained in a transaction log represents the actions of a specific set of users on a specific search engine. A simulator that captures general aspects of user behavior could successfully be applied to new collections.
4. SUMMARY
In this position paper we have discussed the potential of transaction log data for developing and validating simulators for IR experiments. In particular we have discussed the creation of simulators for two scenarios: generating evaluation testbeds consisting of artificial queries and clicks; and creating simulations of session behavior in terms of sequences of queries and clicks. We discussed some of the challenges in creating such simulators, including the validation of simulation output. It is our view that transaction logs pose a rich source of information for simulator development and validation. By producing simulators that accurately reproduce the queries and clicks contained in transaction logs, we will not only be able to generate data for different retrieval tasks, but we will also obtain a better understanding of the behavior of users ‘in the wild.’
Acknowledgements This research was supported by the European Union’s ICT Policy Support Programme as part of the Competitiveness and Innovation Framework Programme, (CIP-ICT-PSP) under grant agreement no. 216030, by the DuOMAn project carried out within the STEVIN programme which is funded by the Dutch and Flemish Governments under project nr STE-09-12, by the Center for Creation, Content and Technology (CCCT), by the Dutch Ministry of Economic Affairs and Amsterdam Topstad under the Krant van Morgen project, and by the Netherlands Organisation for Scientific Research (NWO) under project nrs 612.066.-512, 612.061.814, 612.061.815, 640.004.802.
REFERENCES
[1] L. Azzopardi. Query side evaluation: an empirical analysis of effectiveness and effort. In SIGIR ’09, pages 556–563. ACM, 2009.
[2] L. Azzopardi, M. de Rijke, and K. Balog. Building simulated queries for known-item topics: an analysis using six European languages. In SIGIR ’07, pages 455–462. ACM, 2007.
[3] V. Dang and B. W. Croft. Query reformulation using anchor text. In WSDM ’10, pages 41–50. ACM, 2010.
[4] O. de Rooij and M. Worring. Browsing video along multiple threads. IEEE Trans. Multimedia, 12(2):121–130, 2010.
[5] B. Huurnink, K. Hofmann, M. de Rijke, and M. Bron. Validating query simulators: An experiment using commercial searches and purchases. In CLEF ’10, 2010.
[6] B. J. Jansen and U. Pooch. A review of web searching studies and a framework for future research. JASIST, 52(3):235–246, 2001.
[7] C. Jordan, C. Watters, and Q. Gao. Using controlled query variations to evaluate blind relevance feedback algorithms. In DL ’06, pages 286–295. ACM, 2006.
[8] H. Keskustalo, K. Järvelin, A. Pirkola, T. Sharma, and M. Lykke. Test collection-based IR evaluation needs extension toward sessions—a case of extremely short queries. In AIRS ’09, pages 63–74. Springer-Verlag, 2009.
[9] R. Sargent. Verification and validation of simulation models. In WSC ’05, pages 130–143. Winter Simulation Conference, 2005.
[10] R. White, I. Ruthven, J. Jose, and C. Rijsbergen. Evaluating implicit feedback models using searcher simulations. ACM TOIS, 23(3):361, 2005.
A Methodology for Simulated Experiments in Interactive Search
Nikolaos Nanas
Centre for Research and Technology - Thessaly
Greece
email@example.com
Udo Kruschwitz, M-Dyaa Albakour, Maria Fasli
University of Essex
Colchester, United Kingdom
Dawei Song, Yunhyong Kim, Ulises Cerviño
Robert Gordon University
Aberdeen, United Kingdom
Anne De Roeck
Open University
Milton Keynes, United Kingdom
1. INTRODUCTION
Interactive information retrieval has received much attention in recent years, e.g. [7]. Furthermore, increased activity in developing interactive features in search systems used across existing popular Web search engines suggests that interactive systems are being recognised as a promising next step in assisting information search. One of the most challenging problems with interactive systems however remains evaluation.
We describe the general specifications of a methodology for conducting controlled and reproducible experiments in the context of interactive search. It was developed in the AutoAdapt project\(^1\) focusing on search in intranets, but the methodology is more generic than that and can be applied to interactive Web search as well. The goal of this methodology is to evaluate the ability of different algorithms to produce domain models that can be used to make suggestions for query modifications. The AutoAdapt project investigates the application of automatically constructed adaptive domain models for providing suggestions for query modifications to the users of an intranet search engine. This goes beyond static models such as the one employed to guide users who search the Web site of the University of Essex\(^2\) which is based on a domain model that has been built in advance using the documents’ markup structure [6].
Over a period of more than two years we have collected a substantial query log corpus (more than 1 million queries) that records all queries and query modifications submitted to the University of Essex search engine. These logs include information about the searching session id, date, the queries and their modifications. Query modifications derive from the user selecting one of the modified queries suggested by the static domain model, from the suggestions proposed by the system which have been extracted from the top-matching snippets, or the user defining a new query in the provided text box. In any case, we are interested in the queries that a user has submitted to the system after the initial query within a session or an information-seeking dialogue (a “search mission”).
2. SIMULATED QUERY RECOMMENDATION EXPERIMENTS
Here we propose a methodology for performing simulated query recommendation experiments based on log data of the type outlined above. The methodology can be used to perform both static and also dynamic experiments. In particular, we treat the log data as a collection of query modification pairs (initial query → modified query) for building a domain model, but also for evaluating its ability to recommend accurate query modifications. Any log file that records the user queries along with a time stamp and a session id can be used. The log data are traversed in chronological order and in daily batches (see fig. 1). Within each day, subsequent queries submitted within the same searching session are treated as a query modification pair. For instance in the example of figure 1, there are eight query modification pairs within the first session of day 3.
In the static experiments, we start with an existing domain model that remains unchanged during the evaluation process. The model’s evaluation is performed on a daily basis as depicted in figure 2. It only takes place for days with at least one query modification pair. For example, let us assume that during the current day, three query modifications have been submitted (fig. 2). For each query modification pair, the domain model is provided with the initial query and returns a ranked list of potential query modifications. We take the rank of the actual modified query (i.e., the one in the log data) in this list, as an indication of the domain model’s accuracy. The assumption here is that an accurate domain model should be able to propose the most appropriate query modification at the top of the list of rec-
---
\(^1\)http://autoadaptproject.org
\(^2\)http://www.essex.ac.uk
Copyright is held by the author/owner(s).
SIGIR Workshop on the Simulation of Interaction, July 23, 2010, Geneva.
ommended modifications. This is based on the observation that users are much more likely to click on the top results of a ranked list than to select something further down [4], and it seems reasonable to assume that such a preference is valid not just for ranked lists of search results but for lists of query modification suggestions as well. The underlying principle of a graded scoring is inherited from DCG [3].
So for the total of three query modifications in the current day, we can calculate the model’s accuracy score as \((1/r_1 + 1/r_2 + 1/r_3)/3\), where \(r_1\) to \(r_3\) are the ranks of the actual query modifications in the three modifications recommended by the model in each of the three cases. In the figure’s example the models score would be \(1/2+1/4+1/1 = 0.583\). More generally, given a day \(d\) with \(Q\) query modification pairs, the model’s accuracy score \(S_d\) for that day is given by equation 1 below.
\[
S_d = \left( \sum_{i=1}^{Q} \frac{1}{r_i} \right) / Q
\]
Note that in the special case where the actual query modification is not included in the set of recommended modifications then \(1/r_i\) is set to zero. The above evaluation process results in an accuracy score for each logged day for which at least a query modification pair exists. So overall, the process produces a series of scores for each domain model being evaluated. These scores allow the comparison between different domain models. A model \(M_1\) can therefore be considered superior over a model \(M_2\) if a statistically significant improvement can be measured over the given period.
In the case of dynamic experiments, the experimental process is similar. We start with an initial static domain model, or use existing domain models. Like before, the model is evaluated at the end of each daily batch of query modifications, but unlike the static experiments it uses the daily data for updating its structure. This is essentially a continuous learning problem, where the domain model has to continuously learn from (adapt to) temporal query modification data. Again, we treat a model as superior over another (possibly static one) if an improvement can be observed that is significant.
### 3. DISCUSSION
The proposed methodology addresses one major weakness of interactive information retrieval, in that it does not involve users and is purely technical. However, the methodology does rely on user behaviour. One reason is that we cannot assume that the selection of a query suggestion will actually be successful in the sense that it leads to the right documents or narrows down the search as expected. A number of other issues remain. For example, we do not try to identify which query modifications within a session are actually related. We consider the entire session in this context. This implies that even subsequent queries that are not related are treated as a query modification pair, thus adding noise to the data. Automatically identifying the boundaries of sessions is a difficult task [2]. One of the reasons is that a session can easily consist of a number of both goals and search motifs [5]. However, we assume that this noise does not affect the evaluation methodology because: a) it is common for all evaluated models and b) no model can predict an arbitrary, unrelated query modification from the initial query. In other words, all evaluated models will perform equally bad for such noisy query modification pairs. But note, that the fairly simplistic fashion of constructing query pairs can easily be replaced by a more sophisticated method without affecting the general methodology proposed in this paper.
Another issue is the question of how the presentation of query suggestions might influence the users’ behaviour and how different ways of presenting such query modifications may affect their perceived usefulness.
### 4. NEXT STEPS
Our plan is to initially use the described methodology to evaluate a number of adaptive algorithms using the log data we have collected. We have already started conducting experiments, following this methodology, for static domain models as well as an adaptive model we have developed and which has been shown to be effective in learning term associations in a user study [1].
### 5. ACKNOWLEDGEMENTS
AutoAdapt is funded by EPSRC grants EP/F035357/1 and EP/F035705/1.
### 6. REFERENCES
[1] S. Digum, U. Kruschwitz, M. Fasli, Y. Kim, D. Song, U. Cervino, and A. De Roeck. Incorporating Seasonality into Search Suggestions Derived from Intranet Query Logs. In Proceedings of WI’10, Toronto, 2010. Forthcoming.
[2] A. Güker and D. He. Analysing web search logs to determine session boundaries for user-oriented learning. In Proceedings of AH ’09, pages 319–322. Springer, 2000.
[3] K. Järvelin and J. Kekäläinen. Cumulated gain-based evaluation of IR techniques. ACM Transactions on Information Systems, 20(4):422–446, 2002.
[4] T. Joachims, L. Granka, B. Pan, H. Hembrooke, and G. Gay. Accurately interpreting clickthrough data as implicit feedback. In Proceedings of SIGIR, pages 154–161, Salvador, Brazil, 2005.
[5] R. Jones and K. L. Klinkner. Beyond the session timeout; automatic hierarchical segmentation of search topics in query logs. In Proceeding of CIKM, pages 699–708, 2008.
[6] U. Kruschwitz. Intelligent Document Retrieval: Exploiting Markup Structure, volume 17 of The Information Retrieval Series. Springer, 2005.
[7] I. Ruthven. Interactive information retrieval. Annual Review of Information Science and Technology (ARIST), 42:43–92, 2008.
Recovering Temporal Context for Relevance Assessments
Omar Alonso & Jan Pedersen
Microsoft Corp.
1096 La Avenida
Mountain View, CA 94043
{omalonso, firstname.lastname@example.org
ABSTRACT
Relevance assessment is a key aspect of information retrieval evaluation. For a typical web search engine, an editor will look at the search engine results page and judge if the results are relevant or not.
For certain types of queries, those that are time sensitive, it is desirable to be looking at the search results as soon as the event is happening. Unfortunately, editors are not always available at the right time so it is difficult to assess relevance after the fact. This is, in particular, true in the case of real-time search: the need to be present observing the results otherwise the content maybe out of date. In this paper, we present the problem of gathering relevance assessments in the absence of temporal context and suggest a technique for addressing the problem.
Categories and Subject Descriptors
H.3.4 [Information Storage and Retrieval]: Systems and software — performance evaluation
General Terms
Measurements, performance, experimentation
Keywords
Real-time search, user feedback, relevance assessment.
1. INTRODUCTION
Situational relevance is often defined as a dynamic concept that depends on users’ judgments of quality of the relationship between information and information need at a certain point in time [2]. In the context of real-time search, time plays a crucial role.
Micro-blogging sites like Twitter are currently being used as a communication channel to break out events or comment on current episodes. If the event is considered to be important like an annual entry in a calendar (Mother’s Day), a celebrity death (Gary Coleman), a major sports event (World Cup), or a finance crisis (Dow Jones), users would write at an incredible speed.
For the user who is looking at this information, there is a perception that if new content (status updates from Twitter or Facebook, for example) appear rapidly on the page, then the results from the search engine have “real-time” content. In other words, the effect is similar to observing a river; the flow is what makes it interesting.
Previous research has shown that recent information is one the factors that that affect relevance judgments [3]. For real-time content, we are interested in timely (up-to-date) information. We can argue that another criterion for relevance evaluation is the temporal context of the content that gets broadcasted by the users. A related feature is the velocity at which the updates appear in the web page creating the real-time stream effect.
Our goal is to use time data to reconstruct the situation or setting, for assessing relevance in the context of real-time search.
Research questions:
1. Does it make sense to assess relevance of real-time results?
2. How can we simulate that effect in real-time search when people are assessing content offline?
3. If so, how can we implement a solution?
2. THE SLIDE-SHOW TECHNIQUE
We simulate the interactivity of the stream flow by taking a number of screen captures every time interval \( t \) and replay them for the user. The idea is to use the slide show as an approximation of the stream. By adding a time-stamp, it is easy to see the content as it happened over time. Our approach is very similar in spirit to the stream-based/time-view for representing usage of a system [1].
The implementation works as follows. The prototype issues a query to the search engine and captures a number of screenshots along with the timestamp during a time interval as parameter. Say the user would like to simulate the stream for 1 hour and capture a screenshot every 5 minutes. After one hour, we would have 12 images that are replayed in a web page so the editor can assess the content.
We ask assessors to rate the slide-show content given a query, with the following scale:
- Very interesting, relevant, and timely.
- Relevant but somewhat old content.
Not Relevant
In the instructions we mention that relevance in our case means that the content is relevant and fresh. That is, the topic is discussed and has timely content.
Figure 1 shows two screenshots for the query {Mother’s Day} captured on the day of the event (5/9/2010). The first one was captured at 7:23am and the second at 8:23am. Note that for the second screenshot, there is a tweet that says “good morning …” at time-stamp 8:23am.
In Figure 2, we show a couple of the screenshots for the France-Uruguay World Cup game (6/11/2010). In this example, we started capturing the stream before the game to analyze what users were saying. As expected, people make predictions about the final score before the start of the match. Then, all the content is mainly about what’s going on during the game. In this example, our tool can be used to describe the match as it happened.
3. EXPERIMENTATION
To test our approach, we tried a number of examples that contained trending topics or highly volume queries. The goal was to collect feedback from the internal team and use it as proxy before using editors. Internal testing showed that people like the idea of watching the stream for two main reasons:
1. Observe (and record) if the search engine is serving time-sensitive events. This has merit to do with presenting updates that are relevant to the query in a timely manner.
2. Watch how the link ranking changes over a particular period of time. For those queries that represent a breaking event, people would often share links. Exploring how those links appear and change over time in the results is also very useful.
The internal feedback was helpful for understanding more if velocity plays an important role in relevance evaluation criteria. People like the notion of activity or dynamic data change in real time. Of course, that is true for events that have a high load of content.
Other user feedback included a feature to replay the content at different speeds. Very much like fast forward or rewind, the internal team found it useful to debug certain behavior by pointing to a specific time-stamp.
4. CONCLUSIONS
We presented a technique for simulating a stream of real-time results and make it available via a web page so human editors can assess the relevance giving the temporal context. Temporal context and velocity are important factors that can influence relevance.
The prototype was deployed internally and provided insights on how people perceived relevance for real-time updates.
People see the value of assessing real-time results. However, it is not clear what the best way is to test and/or evaluate this type of retrieval. We plan to continue refining our technique focusing on usage performance and metrics.
5. REFERENCES
[1] L. Azzopardi. “Usage Based Effectiveness Measures: Monitoring Application Performance in Information Retrieval”. Proc. of CIKM ’09, pp. 631-640, 2009.
[2] P. Borlund. “The Concept of Relevance in IR”. J. Am. Soc. Information Science and Technology, 54(10):913–925, 2003.
[3] C. Barry and L. Schamber. “Users’ Criteria for Relevance Evaluation: A Cross-Situational Comparison”. Information Processing and Management, Vol. 34, No. 2/3, 1998.
Simulating User Interaction in Result Document Browsing
Paavo Arvola
Dept. of Information Studies and Interactive Media
University of Tampere, Finland
email@example.com
Jaana Kekäläinen
Dept. of Information Studies and Interactive Media
University of Tampere, Finland
firstname.lastname@example.org
ABSTRACT
A user can explore a result document in various ways. In this study we seek means to simulate a user browsing a result document. The simulation starts when the user accesses a result document and ends when the user leaves it. The outcome of a simulated strategy depends on two facts: Did the user find relevant information from the document, and how much effort the user wasted while exploring the document?
Categories and Subject Descriptors
H.3.3 [Information Storage and Retrieval]: Information Search and Retrieval — search process.
General Terms
Design.
Keywords
Focused retrieval, simulated interaction.
1. DOCUMENT BROWSING
In many cases the text document as a whole is not needed to satisfy the user’s information need. Instead the relevant parts embedded within the document need to be sought by the user. Focused retrieval systems aim to provide a better access to the relevant parts of the documents. However finding the relevant parts requires browsing within the document’s content and clearly there are numerous ways to do so. In addition the user may stop exploring the document basically at any point.
The idea of this study is to form a general browsing model and define the alternatives the user has in finding the relevant information when exploring a single document. Based on the model, the user interaction with the document content can be simulated. Eventually, this study aims to contribute to the in context tasks of INEX [2], where results are grouped per article.
The flow diagram in Figure 1 represents the user’s browsing model within a document. First, the user accesses a document and starts to browse. The browsing may simply lead either to reading the document from the beginning or some other point. For example, the user may utilize an interface providing e.g. guiding gadgets to reach the expected best entry point. Nevertheless, any browsing strategy will eventually lead to reading of some text passage (e.g. a sentence or a sound) and determining its relevance. After assessing the passage’s relevance the user decides either to read another passage or move to the next document (or e.g. perform a new search). If the passage seems to completely fulfill the users information needs, he or she leaves the document. On the other hand the user may be bored and discover that there is no (further) relevant material to be read. In case the user is still willing to continue, he or she faces again the alternatives in how to proceed browsing the document.
Figure 1. A flow diagram of a user’s browsing within a document
2. USER SIMULATION
Next, we will present our consideration of simulating the user within the presented model. The simulation starts when the user accesses a result document and ends when the user leaves it. At this stage we do not offer any exact specification for the simulation, or metrics to measure it. Instead, we define which simulated user attributes affects the costs the user wastes when exploring the document. Accordingly, in Figure 1 the user
attributes (i.e. decisions) to be simulated are marked as diamonds and the costs to be calculated as rectangles.
2.1 Simulated user parameters
Selecting browsing strategy. Right after the document access and later, after assessing a passage\(^1\) and agreeing to continue with the current document, the user decides how to proceed to the next passage to assess. Depending on the user’s location and the available navigational gadgets, the user has a finite set of meaningful strategies to browse on.
Relevance. The relevance of a read passage is dependent on the user’s valuations. However, in simulations, a recall base having the relevant text assessed beforehand [3] could be used. Principally, the degree of relevance may vary. If graded relevance is used, different relevance interpretations are available.
Willingness to continue. In the event of a non-relevant passage the willingness to continue is related to the concept of tolerance-to-irrelevance (T2I) [4], where after the user exceeds some limit of reading irrelevant material, he or she gets bored and leaves the current document. The T2I may vary according to the user profile or user interface (e.g. screen size [1]).
Enough. After reading relevant material, the user may assume that there is still relevant material in the current document and wants to continue exploring. This depends at least on the relation of the document characteristics and the topic type. Namely, in fact finding it is enough to find the first relevant passage and stop browsing, whereas in e.g. information gathering the browsing may continue.
2.2 Calculating costs
Browsing strategy. Simply reading on a document requires no browsing costs (instead assessing costs), but using e.g. navigational gadgets or performing a keyword finding requires some effort, amount of which depends on the nature of the selected strategy.
Assessing a passage. A comprehensive reading of a passage requires effort, which is related to the length of the passage and also its relevance.
Quit. After seen enough, the user quits browsing the document. The outcome of a simulated strategy depends on two factors:
Success: Did the user find relevant material from the document and how much?
Cost: How much effort the user wasted while exploring the document?
The amount of costs varies according to the simulated user parameters and they consist of executing a browsing strategy plus assessing the relevance of the consequential passage.
When it comes to the success, a non-relevant document should not be rewarded, but even in the case of a relevant document, the relevant content is not always reached, partially or at all. This is because the user stops reading the current document because of satisfaction or T2I. The opposite case is that when all the relevant content is read, the user is still seeking for more.
3. DISCUSSION
A search process is a ternary relationship between the user, the retrieval system and the user interface, which affects the browsing alternatives. Therefore, the user decision driven process described in this study is neither completely coincidental nor completely deterministic and under some circumstances the alternatives can be controlled. For example a small display restricts the number of browsing alternatives; with such a device it is not meaningful or even possible to use a flip through browsing strategy for a long document.
Accordingly, in our previous study [1], we introduced the metrics called localizing effort (\(LE\)) and character precision/recall (\(ChPR\)) and justified our approach with a small screen scenario. For those metrics, we considered T2I and reading order to be the modeled user parameters. However, the user simulation was simplified and simplified T2I was assumed. Screen size and two generic browsing strategies were introduced. The baseline (default) browsing strategy was simply reading the document consecutively from the beginning to the breaking condition, which was either T2I or the end of the document. This strategy was compared to the focused strategy, where the retrieved passages were read first in document order.
Because of the space limitations, the \(ChPR\) and \(LE\) metrics are not presented here in detail. In any case, while the metrics do not assume any specific reading order of the documents, they can be developed and adjusted to serve the varying simulated browsing scenarios based on the model presented in this study. In addition the lacking satisfaction attribute (Enough) as a breaking condition can apparently easily, as was T2I, to be included to those metrics.
4. ACKNOWLEDGEMENTS
The study was supported by the Academy of Finland under grants #115480 and #130482.
REFERENCES
[1] Arvola, P., Junkkari, M., and Kekäläinen, J. Expected reading effort in focused retrieval evaluation. To appear in Information Retrieval, Vol. 13, Nr. 4, 25 pages, 2010.
[2] C. Clarke, J. Kamps, and M. Lalmas. INEX 2006 retrieval task and result submission specification. In N. Fuhr, M. Lalmas, and A. Trotman, editors, INEX 2006 Workshop Pre-Proceedings, pages 381–388, 2006.
[3] Piwowarski, B., and Lalmas, M. Providing consistent and exhaustive relevance assessments for XML retrieval evaluation. In Proceedings of CIKM ’04, 361–370, 2004.
[4] de Vries, A.P., Kazai, G., and Lalmas, M. 2004. Tolerance to irrelevance: A user-effort oriented evaluation of retrieval systems without predefined retrieval unit. In Proceedings of RIAO 2004, 463-473, 2004.
\(^1\)In this study the passage is not predefined, but it seems reasonable that a passage should have a meaningful length (literally).
Query and Browsing-Based Interaction Simulation in Test Collections
Heikki Keskustalo and Kalervo Järvelin
Department of Information Studies and Interactive Media
FI-33014 University of Tampere, FINLAND
email@example.com, firstname.lastname@example.org
ABSTRACT
In this paper we propose using query and browsing-based interaction simulations to resolve some of the discrepancies between the traditional Cranfield-style IR evaluation experiments and type of searching common in real life. We describe our approach to perform simulations (short-query sequences based on prototypical modifications) in test collections and suggest constructing and utilizing databases containing a facet analysis to aid expressing topical session strategies in simulations.
Categories and Subject Descriptors
H.3.3 [Information Search and Retrieval]: Selection process
General Terms
Measurement, Performance, Theory
Keywords
Iterative search process, session-based evaluation, simulation
1. INTRODUCTION
Valid study designs should incorporate major factors of the phenomenon explained. In traditional test collection-based experiments the user is not explicitly modeled, and only one query is constructed, typically using a subset of terms available in selected fields of a test topic (e.g., title, description) thus describing a static and well-defined topic. In real life, on the contrary, different kinds of searchers and searching situations exist, and the information needs may be ill-defined, dynamic and difficult to express [4]. Real searchers often prefer using very short queries (only 1-2 keys) [6,14]; try more than one query per topic if needed; cope by making minor query modifications; browse as little as possible (not past the first 10 documents); and stop soon after finding few relevant documents [6, 7, 12, 13, 15]. Also entirely different workflows may be used in real life even by experts encountering an identical search task. To resolve such differences traditional test collection-based IR experiments should be extended towards real life. In this paper we suggest an extension by utilizing (i) query and browsing-based interaction simulations, and (ii) traditional/extended test collections.
2. QUERY AND BROWSING-BASED SIMULATIONS
Simulation consists of experimentation using a model which represents relevant features of the real world in a simplified form [1]. We assume a model of real life searching where the simulated user will launch an initial query; the IR system returns a ranked list of documents; and the user will browse some of the documents retrieved. At some rank point regarding any particular query the user will stop browsing and instead launch another query (followed by browsing), or give up the session.
We focus on users who prefer short queries [6, 14, 16]; revise their queries by using few term-level moves [17]; use multiple query iterations [4,11]; select different wordings, and avoid extensive browsing [3]. Our research question was to study how effective are sequences of very short queries combined with impatient browsing compared to the traditional scenario of using only one longer query followed by browsing. To study this issue we performed a simulation in [8] based on a user model.
We defined a user model M=⟨R, B, SS⟩ where R denotes the requirement for document relevance (stringent or liberal relevance threshold), B denotes the user’s willingness to browse (at most B documents per query), and SS denotes a set of session strategies. This simplified model replicates the independent variables we wanted to vary; in addition there are also other attributes which could be included (e.g., the typical size of the query, and the source of query terms). We restrict our attention to impatient users – preferring short queries (in most cases 1-3 words), tolerating limited browsing (10 documents per query, i.e., B=10), and quitting after finding one relevant document assuming liberal (R=1) and stringent (R=3) relevance thresholds. We used three session strategies (S1-S3) in the experiments. Each strategy determines a specific way to construct the ‘next query’ in case the previous one failed. Terminological moves observed in the empirical query session data by Lykke et al. [10] were used to define the following strategies (the k_i stand for search terms):
S1: Sequence of one-word queries (k_1->k_2->k_3->...)
S2: Incremental extension (k_1 -> k_1 k_2 -> k_1 k_2 k_3 ->...)
S3: Varying the third word (k_1 k_2 k_3 -> k_1 k_2 k_4 ->...)
Having these strategies formulated we turned toward a TREC test collection and asked two groups of test persons (students and staff members of our institution) to suggest search terms for short queries based on the test topics. These terms were used to construct up to five queries for each topical session. The baseline strategy S4 was one verbose TREC-style query, in which case at most top-50 documents were examined by the simulated user, in chunks of 10. The short query sessions turned out to be surprisingly effective. The short queries were inferior if only one query per topic is assumed, but they made sense as sequences. For example, S1 was successful (i.e., P@10>0) in more than half of the topics after only three single-word queries were tried out [8]. We only studied a limited number of prototypical session strategies (S1-S3) while in real life further strategies may be used and different types of terminological queries may be issued. Another limitation of the simulation was that we used a limited number of search terms. Therefore it would be desirable to (i) recognize further session strategies and (ii) explore their effectiveness based on a larger set of terms. We will describe this issue next.
3. EXTENDING TEST COLLECTIONS
Constructing queries by using only the terms in the fields of the topic descriptions of test collections is inherently limited. In real life different query sequences are expected. The intention of [8] was to expand test collection-based evaluation toward multiple query sessions. However, the idea can be extended further. First, the topic descriptions can be the target of intellectual analysis by test searchers in a (simulated) task context [5] who suggests various query approaches and provide searcher warrant. Secondly, to guarantee terminological and conceptual exhaustivity and literary warrant, a text analysis can be performed to relevant documents so that the facets and their linguistic expressions in relevant documents are recognized. In fact, this has been performed by a group of UTA researchers for one test collection. The end result is a structural description of the concepts, conceptual relations, and their expressions in relevant documents. Such a description covers the possible “terminological worlds” reasonably available for the simulated searcher. The data can be used in simulations to systematically study the effectiveness of various session strategies (e.g., how successful is it to move from expressing the most specific facet “[A]” to expressing pairwise facets “[A] and [B]” using available expressions $a_1$, $a_2$, $b_1$, …). The effectiveness of searcher warrant and literary warrant queries and of their intersection queries may also be studied. In [9] we discuss a graph-based method to explore short query sessions.
4. CONCLUSION
Figuring out good query terms, combinations of terms, and identifying which moves are effective between differently behaving queries is an important research task which cannot be answered if queries are not considered as sequences. We suggest that the effectiveness of interactive searching could be studied in test collections by simulating users having varying behavior properties (e.g., different preferences regarding how to construct queries, how to browse, what kind of search result is required, and what kind of limitations the simulated searcher sets regarding the interactive searching process itself, e.g., the number of iterations). This approach may help resolving the disparity of the real life searching observed and some implicit assumptions of the traditional test collection-based evaluation.
5. REFERENCES
[1] E. Adams and A. Rollings (2007) Fundamentals of Game Design, Prentice Hall, New Jersey, 669 p.
[2] L. Azzopardi (2007) Position Paper: Towards Evaluating the User Experience of Interactive Information Access systems. In SIGIR ’07 Web Information-Seeking and Interaction Workshop.
[3] L. Azzopardi (2009) Query Side Evaluation: An Empirical Analysis of Effectiveness and Effort. In SIGIR ’09, 556-563.
[4] N.J. Belkin (1980) Anomalous States of Knowledge as a Basis for Information Retrieval. Canadian Journal of Information and Library Science, 5, 133-143.
[5] P. Borlund (2000) Experimental Components for the Evaluation if Interactive Information Retrieval Systems. Journal of Documentation 50(1), 71-90.
[6] M.B.J. Jansen, A. Spink, T. Saracevic (2000) Real Life, Real Users, and Real Needs: A Study and Analysis of User Queries on the Web. IP&EM 36(2), 207-227.
[7] K. Järvelin, S.L. Price, L.M.L Delcambre, M.L. Nielsen (2008) Discounted Cumulated Gain Based Evaluation of Multiple-Query IR Sessions. In ECIR’08, 4-15.
[8] H. Keskustalo, K. Järvelin, A. Pirkola, T. Sharma, M. Lykke (2009) Test Collection-Based IR Evaluation Needs Extension Toward Sessions – A Case of Extremely Short Queries. In AIRS’09, 63-74.
[9] H. Keskustalo, K. Järvelin (2010) Graph-Based Query Session Exploration Based on Facet Analysis. Submitted to Simult 2010.
[10] M. Lykke, S. L. Price, L. M. L. Delcambre, P. Vedsted (2009) How doctors search: a study of family practitioners’ query behavior and the impact on search results (submitted).
[11] I. Ruthven (2008) Interactive Information Retrieval. In Annual Review of Information Science and Technology, Vol. 42, 2008, 43-91.
[12] C. Smith, P. Kantor (2008) User Adaptation: Good Results from Poor Systems. In SIGIR’08, 147-154.
[13] E. Sormunen (2002) Liberal Relevance Criteria of TREC - Counting on Negligible Documents? In SIGIR’02, 324-330.
[14] D. Stenmark (2008) Identifying Clusters of User Behavior in Intranet Search Engine Log Files. JASIST 59(14):2232-2243.
[15] A. Turpin, W. Hersh (2001) Why Batch and User Evaluations Do Not Give the Same Results. In SIGIR’01, 225-231.
[16] P. Vakkari (2000) Cognition and changes of search terms and tactics during task performance: a longitudinal study. In RIAO 2000, 894-907.
[17] P. Vakkari (2002) Subject Knowledge, Source of Terms, and Term Selection in Query Expansion: An Analytical Study. In ECIR’02, 110-123.
Evaluating a visualization approach by user simulation
Michael Preminger
Oslo University College
email@example.com
ABSTRACT
This paper briefly describes an approach to IR evaluation by simulation of visual information retrieval. The approach to simulation described here is an extension to the laboratory model of IR evaluation, permitting also the evaluation of usability aspects of a visualization-based IR-system normally not supported by the original model. The core idea is that modeling of a data scene as a linear ranked list, and in addition paying attention to spatial locations of documents. Users are modeled through scenarios of navigation in the scene, with test collection queries that represent user needs.
Keywords
Information retrieval, Visualization, Evaluation, User simulation
1. INTRODUCTION
Within the Uexküll approach [4], a corpus of documents is organized as a multidimensional vector space (with dimensionality $K$) consisting of spatial representations of all documents and index terms. This is brought about by Multidimensional statistics (with LSI as an example). The vector space is rotated [3] so that the coordinate axes (dimensions) are interpretable. Simply stated, interpretability means that documents and terms that have high valued coordinates along an axis are pertinent to this axis, and the higher the value the greater the pertinence. Such a vector space we term a data organization.
In a retrieval situation a user is presented with a list of all $K$ dimensions, each represented by a meaningful name. These can be seen as constituting concepts. The user chooses the three dimensions that best represent his information need. A three dimensional (3D) scene, with the chosen dimensions as axes, is extracted. The scene contains spatial representations (droplets) of the terms and the documents that the system finds relevant to the information need. As for the coordinate space, each one of the dimensions (axes) in the scene also represents a constituting concept, and, ideally, documents relevant to a concept will have large coordinate values along the axis representing this concept, the larger the coordinate value, the greater the pertinence. This opens for navigation in the directions of concepts. Uexküll supports two levels of navigation:
level 1 navigating within a scene: moving in the scene in meaningful directions; viewing and selecting documents encountered on ones way.
level 2 changing scenes by selecting different combinations of dimensions; downloading new scenes in which level 1 navigation may be pursued.
Choosing among concepts the names of which are provided by the system, and subsequently navigating in the scene, frees the user from typing keywords that may or may not match the vocabulary of the system.
Our approach, described below, attempts to mimic users' pursuit of these navigation levels so as to measure the potential performance of different data organizations.
As the scope of this paper prohibits detailed presentation of models and results, we refer the interested reader to [4] for results as well as details of measures and models.
2. EVALUATION BY USER SIMULATION
2.1 The main idea
For the evaluation we are transforming a 3D layout (in which documents do not have any inherent order) that represents a retrieval choice made by a user, into a linear ranked list, where documents RSVs (retrieval status values) are derived from their extensions along the axes. In line with traditional IR evaluation, we want to measure the quality of the resulting ranking. As an extension to the traditional approach we also wish to measure the organization's support for the relevant documents to stand out in the visualization, having useful visual separation from the non-relevant ones.
Our data organizations are multidimensional transformations, possibly rotated, of a term document matrix. The quality of an organization depends on the different steps in the transformation: the decomposition (the statistical reduction methods), the dimensionality of the resulting space, and the rotation algorithm applied. Different combinations of these components will render organizations with various properties. Our simulation based evaluation attempts to find out the following about each data organization:
- to what extent it makes relevant documents appear further out on axes than non-relevant documents;
- how clearly it separates relevant documents from non-relevant ones, so that the relevant documents are not shaded or obscured.
The main idea here is the evaluation of downloaded scenes as best match systems, using a test collection with a set of queries, each having a "recall base" of documents judged relevant. Here, traditional measures of partial match IR play
a central role. Into this evaluation we wish to incorporate some aspects of the user interaction, doing so through specially devised measures.
2.2 Simulating users through scenarios
As already indicated, our simulation approach is meant to extend the scope of the laboratory model, characterizing some of the parameters affecting the interaction with a visualization based retrieval system. The user simulations are based on letting topics from the test collection mimic “information needs”, and retrieving documents in pursuit of such a need. User simulation refers to the following process:
1. Representing user needs by queries (topics). Each query has a purpose.
2. Decomposing the query into its constituent terms and finding the centroid of all vectors representing the terms in the multidimensional data organization.
3. Generating a 3D representation that draws on the three axes on which the centroid has the largest coordinate values.
4. Using a model to transform this 3D representation into a unidimensional configuration that mimics a ranked list of retrieved documents.
5. Evaluating this ranked list against the recall base of the query, using both traditional and novel measures.
6. Repeatedly substituting axes in scenes to represent each of the terms in the query – mimic level 2 navigation (see Section 1).
We developed two scenarios: simulation scenario 1 is simple, mimicking an instantaneous interaction with a retrieved scene, corresponding to steps 1 - 5 above, and simulation scenario 2 which is more elaborate, incorporating also step 6, thereby mimicking a process where the user navigates along axes and shifts scene.
2.3 Models and measures
To pursue step 4 above, two different models for transforming the scene into a ranked list were attempted [4]. Such a model provides us with a combined axis that represents all three axes in the scene, along which each document is represented by a loading, which varies over values. For this, we used traditional ranked list measures, as well as the specially devised Separation Rewarded Exposure (SRE) and Separated Rewarded Precision (SRP). Both are summary measures calculated for each relevant judged document, and averaged to obtain a query score. Though the detailed mathematics of the measures are beyond the scope of this position paper, a summary is provided below. For each relevant document, $r_i$, SRE equals an exposure component (the fraction of the non-relevant documents along the combined axis that are ranked lower than $r_i$) multiplied by a visual separation reward, $s_{r_i} = f_{r_i}(1-f_{r_i})$ where $f_{r_i}$ is the relative loading of $r_i$ along the combined axis and $f_{r_i}$ is the average loading of the nonrelevant documents. SRP continues, for each relevant judged document, a precision component and a multiplicative visual separation reward that, this time, takes all documents ranked below $r_i$ (not only nonrelevant as for SRE) into account.
SRE and SRP aim at predicting the actual usability of a data organization that scores high by the ranked list measures above. SRE attempts to model a user in search of very few (possibly known) documents, terminating the search upon finding a relevant document without regarding other (possibly relevant) documents. SRP looks at each relevant document as a part of a ranked list, and rewards “isolation” above neighboring documents, relevant or non-relevant. Inspired by [1, p. 15] The measures are also an attempt at gauging how well the data organizations behind an Uexküll-based system serve two types of users. SRE represents the “casual” user, in need of a factual answer or a single known item, and SRP represents the more “thorough” user, e.g. performing a literature study.
3. CURRENT STATE
As already mentioned, the goal of this paper has not been to present details, and this goes also for results. The effort described here is work in progress. The results so far demonstrate the superiority of rotated organizations in ranking documents correctly along axes, which, being in harmony with what could be expected, serves as a temporary validation of the model.
The measures described here are still short of emphasizing differences between different data organizations in supporting different kinds of users, so here, additional effort is required regarding measure development.
So far we have been experimenting with dichotomous relevance judgements. Experiments with graded relevance judgments will be a necessary step to see how well the simulation approach brings out differences between highly relevant and moderately relevant documents. Here graded relevance judgments will be invaluable (see e.g. [2]).
4. CONCLUSION
The goal of this paper has been to present a novel evaluation approach to the visualization / navigation within multidimensional data organizations. The evaluation uses a model of a 3D scene, represented as a linear ranked list, combined with user simulation. In this context, evaluation can draw on the traditional laboratory model, augmenting it with some aspects of usability. We have used the evaluation method to demonstrate the superiority of rotated SVD organizations over non rotated in rendering axes interpretable for purposes of visualization / navigation, indicating also the effect of dimensionality. Tests with real users will be necessary for a comprehensive evaluation of an Uexküll-based system. We believe, however, that the presented evaluation approach may be handy in rendering user tests of such systems (and possibly also system based on similar approaches) less resource demanding and more focused.
5. REFERENCES
[1] A. C. Foskett. *The Subject Approach to Information*. Library Association Publishing, London, 1996.
[2] K. Järvelin and J. Kekäläinen. Cumulated gain-based evaluation of IR techniques. *ACM Transactions on Information Systems*, 20(4):422–446, 2002.
[3] K. V. Mardia, J. T. Kent, and J. Bibby. *Multivariate analysis*. Academic Press, London, 1979.
[4] M. Preminger. *The Uexküll Approach: Evaluation of Multivariate Data Organizations for Support of Visual Information Retrieval*. Doctoral dissertation, University of Tampere, Tampere, Finland, 2008.
Automatic Evaluation of User Adaptive Interfaces for Information Organization and Exploration
Sebastian Stober & Andreas Nürnberger
Data & Knowledge Engineering Group, Faculty of Computer Science
Otto-von-Guericke-University Magdeburg, Germany
{sebastian.stober, firstname.lastname@example.org
ABSTRACT
Visualization by projection or automatic structuring is one means to ease access to document collections, be it for exploration or organization. Of even greater help would be a presentation that adapts to the user’s individual way of structuring, which would be intuitively understandable. Meanwhile, several approaches have been proposed that try to support a user in this interactive organization and retrieval tasks. However, the evaluation of such approaches is still cumbersome and is usually done by expensive user studies. Therefore, we propose a framework for evaluation that simulates different kinds of structuring behavior of users, in order to evaluate the quality of the underlying adaptation algorithms.
Categories and Subject Descriptors
H.3.3 [Information Systems]: Information Search and Retrieval
General Terms
Algorithms, Measurement, Performance, Design, Reliability, Experimentation, Human Factors
Keywords
User Adaptivity, Evaluation, Information Organization, Information Retrieval, Information Exploration
1. INTRODUCTION
In many domains users are interested in information that they cannot clearly specify, e.g., by some keywords, and therefore they would prefer to use methods that support interactive organization or exploration of the information collections of interest. For example, a journalist might be researching the background of his current article or someone might look for new music that fits his taste. In such everyday exploratory search scenarios, usually large data collections are accessed. Visualization by projection, e.g., using dimensionality reduction methods, or – flat or hierarchical – structuring are means to ease these tasks. These methods are especially beneficial, if the visualization reflects the user’s personal interests and thus is more intuitively understandable.
However, except for the user’s own collections, personalized structuring is not generally available. Meanwhile, several approaches have been proposed to tackle this problem, see for example [1, 4, 5, 6]. Unfortunately, the evaluation of the performance of the different methods is still a quite challenging task, which is usually done by time consuming and expensive user studies. Besides the problems of designing and evaluating a user study appropriately, it is difficult to compare the outcome of different studies for different interfaces, since very often the goals of the study, the study design and the selected user groups differ quite significantly.
In the following, we propose a framework to tackle these evaluation tasks at least for a subset of interfaces. We focus on approaches that combine the visualization of the aggregated or prestructured content of a collection with a method to interactively change the class/tag assignment and/or the location of the object in the visual interface.
2. SCENARIO
Assume we have a user-adaptive retrieval system that is able to automatically structure a document collection, e.g., using a self-organizing map or a (hierarchical) clustering algorithm. The task of the user is to organize the collection such that it reflects his personal organization criteria. Therefore, first an initially unpersonalized structure is created which provides an overview of the collection. The user can then interact with this representation, e.g., search and access objects, move objects in the visualization that he feels should be located elsewhere. From this user interaction, an individual representation should be learned – e.g., by metric learning or learning of a simple feature weighting scheme for similarity computation [2, 3] – that represents the user’s organization preferences. The process is assumed to be continuous, i.e. the collection visualization is iteratively adapted until it meets the user’s structuring preferences.
2.1 Evaluation Approach
In order to evaluate such a setting, we have to simulate the way a user is selecting and moving objects. Furthermore, we have to define a target structure or projection – the “ground truth” – that we would like to obtain. One way to do so is to use a structure or projection that would be automatically derived by a (hierarchical or flat) clustering or projection process and to add “noise” features to the objects that disturb the structuring algorithm\(^1\). As a result of the added
\(^1\) We have to ensure that the “noise” features induce a random structure in the collection that is not ignored as noise by the adaptation algorithm. See [6] for detailed discussion.
noise, the structuring of the objects differs from the ground truth which represents the simulated user’s point of view. Changing the amount of noise (e.g. the number of noise features) confuses the adaptation between the noise and the desired structuring and thus the difficulty of the adaptation task. The adaptation process can be described as follows:
```
modify objects by adding random features
compute visualization on modified objects
repeat
select an object o to be moved
select new position c (place or cluster)
move o to c
until o needs or could not be moved
```
Iteratively, the user selects an object and moves it to the best position according to his ground truth similarity measure (i.e. ignoring the artificial noise features). The adaptation algorithm then updates the feature weights. This process is repeated until the selected object could not be moved because it is already at the desired position or due to possible limitations of the adaptation algorithm. Ideally, this should force the adaption process to finally ignore the artificially added noise features. This could later be analyzed, together with the quality of the finally obtained visualization, for which the one obtained without the noise features is the “gold standard”. What remains to be done is to make sure that the simulated user behaves like a real user. Since we usually have to consider different kinds of user behavior, we have to simulate different prototypical users by changing selection and moving strategies.
### 2.2 Example
In the following, we assume a classification scenario, e.g., objects are assigned to categories (cells) obtained by a self-organizing map, which is interactively visualized. Different selection strategies can be applied for user specific selection of changing the assignment of objects to clusters or tags:
1. Greedy selection of cell and object: First, the cell with the lowest average pairwise (ground truth) similarity of the contained objects is chosen for further investigation. Within this cell, the object with the lowest average pairwise (ground truth) similarity with all other objects in the same cell is selected to be moved.
2. Greedy selection of cell and random selection of object: The cell is chosen as in the previous scenario. However, an arbitrary object is selected from this cell.
3. Random selection of cell and greedy selection of object: Here, the cell is chosen randomly whereas the object to be moved is selected from this cell by the greedy selection approach used in scenario 1.
4. Random selection of cell and random selection of object: In this scenario, both, the cell and the object to be moved from the cell, are selected randomly.
Note that scenario 3 appears to be the one that comes closest to the real use case where a user does not look into all cells before picking an object to be moved but within a specific cell tends to select the object that fits least into the cell according to his preferences. An overview of the different selection strategies is given in Table 1. We successfully performed a first experimental evaluation of such a strategy for the evaluation of an interactive retrieval system that makes use of a growing self-organizing map for structuring a text document collection [6]. A second evaluation was done for a prototypical music retrieval system [7]. Both studies could prove the usefulness of the proposed approach.
### 3. DISCUSSION
We proposed a framework for evaluation of user adaptive systems for information organization that simulates different kind of structuring behavior of users, in order to evaluate the quality of the adaption algorithm. Even though the proposed framework is quite general, it leaves a lot room for improvement. For example, the so far proposed user strategies for object selection are only object for crisp object classification and do not yet explicitly consider visualizations where the distances between objects in the projection are relevant.
### 4. REFERENCES
[1] K. Bade, J. Garbers, S. Stober, F. Wiering, and A. Nürnberger. Supporting folk-song research by automatic metric learning and ranking. In *Proc. of the 10th Int. Conf. on Music Information Retrieval (ISMIR’09)*, pages 741–746, 2009.
[2] K. Bade and A. Nürnberger. Personalized structuring of retrieved items (position paper). In *Workshop Personal Information Management (part of SIGIR’06)*, pages 56–59, 2006.
[3] D. Da Costa and G. Venturini. A visual and interactive data exploration method for large data sets and clustering. In *Proc. of Advanced Data Mining and Applications (ADMA’07)*, pages 553–561. Springer, 2007.
[4] P. Fischer and A. Nürnberg. myCOMAND automotive user interface: Personalized interaction with multimedia content based on fuzzy preference modeling. In *Proc. of 9th Int. Conf. on User Modeling, Adaptation and Personalization (UMAP’10)*, pages 315–326. Springer, 2010.
[5] A. Frome, Y. Singer, and J. Malik. Image retrieval and classification using local distance functions. In *Proc. of Neural Information Processing Systems (NIPS’06)*, pages 417–424, 2006.
[6] S. Stober and A. Nürnberger. User modelling for interactive user-adaptive collection structuring. In *Proc. of 5th Int. Workshop on Adaptive Multimedia Retrieval (AMR’07)*, volume 4918 of *LNCS*, pages 95–108. Springer, 2007.
[7] S. Stober and A. Nürnberger. Towards user-adaptive structuring and organization of music collections. In *Proc. of 6th Int. Workshop on Adaptive Multimedia Retrieval (AMR’08)*, volume 5811 of *LNCS*, pages 53–65. Springer, 2008.
Albakour, M-Dyaa .......................... 23
Alonso, Omar ................................ 25
Arvola, Paavo ................................ 27
Beresi, Ulises Cerviño ...................... 17, 23
Carterette, Ben ............................. 13
Chappell, Timothy .......................... 9
Clough, Paul ................................ 13, 19
Cole, Michael J. ............................ 1
De Rijke, Maarten ........................... 21
De Roeck, Anne ............................. 23
Fasli, Maria ................................ 23
Geva, Shlomo ............................... 9
Gonzalo, Julio .............................. 19
Hofmann, Katja ............................. 21
Hou, Yuexian ............................... 17
Huurnink, Bouke ............................ 21
Jethani, Chandra Prakash ................... 11
Jones, Gareth ................................ 5
Järvelin, Kalervo ........................... 15, 29
Kando, Noriko .............................. 3
Kanoulas, Evangelos ......................... 13
Karlgren, Jussi ............................. 19
Kato, Tsuneaki .............................. 3
Kekäläinen, Jaana .......................... 27
Keskustalo, Heikki ........................ 15, 29
Kim, Yunhyong .............................. 23
Kruschwitz, Udo ............................ 23
Lawless, Séamus ............................ 5
Li, Wei ...................................... 5
Matsushita, Mitsunori ...................... 3
Mulwa, Catherine ........................... 5
Nanas, Nikolaos ............................ 23
Nuernberger, Andreas ....................... 33
Pedersen, Jan ................................ 25
Pirkola, Ari ................................ 15
Preminger, Michael ........................ 31
Sanderson, Mark ............................ 13
Smucker, Mark ................................ 11
Song, Dawei ................................ 17, 23
Stober, Sebastian ........................... 33
Tunkelang, Daniel .......................... 7
Zhang, Peng ................................ 17
ISBN 978-90-814485-3-6
9 7 89081 448536
|
WIRELESS WEEKLY
THE HUNDRED PER CENT AUSTRALIAN RADIO JOURNAL
Vol. 2
No. 40
3D
Oct. 5th 1923
REGISTERED AT THE GENERAL POST OFFICE SYDNEY FOR TRANSMISSION BY POST AS A NEWSPAPER
SPECIAL FEATURE THIS WEEK: Trans-Pacific Tests
DON'T BE DISAPPOINTED!
If you are building your own sets and not getting the best results, perhaps the material is defective. Only apparatus that has been well tested and approved by us is stocked. We are manufacturing a large range of receiving sets to conform with Government Regulations. These range from Crystal Sets to large Cabinets, and all carry our well-known brand "Radico." Have you tried our Radio Frequency Transformers? Perfect reception of those distant stations is assured by using these. A high grade transformer at a very small cost.
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The 2nd Trans-Pacific Test will commence on October 15th, when the American amateurs will commence transmitting messages to Australia. These transmissions will commence each evening at 5.45 p.m., and continue till 8.45 p.m. (Melbourne standard time). On November 4th, Australian stations will transmit each day for 10 days.
These tests are open to all experimenters in Australia, and it is hoped that all will enter. The test is the biggest that has ever been attempted either by amateur or professional, and after the results obtained last May this test—which is open to all—should astound the world.
We have no doubt that two-way communication will be established between America and Australia, within the next few weeks. American amateurs certainly have the advantage over us in regard to transmission. Their regulations allow for high power, which is only allowed here in exceptional cases. This, to our mind, is not a disadvantage to us, as low power has made it necessary for Australian experimenters to devote their time to perfecting their receiving instruments. This will, we feel certain, make it self-manifest when the tests are over.
Australian amateurs enter now for this test and show the world that you are equal, if not in advance, in the great science of wireless.
**Roster for Week ending 10th October, 1923**
| Date | Time | Call Sign |
|------------|---------------|-------------|
| Thur, Oct. 4 | 7.30 to 8.0 | 2 RA 220 |
| | 8.0 to 8.30 | 2 JM 236 |
| Friday, 5 | 2 ER (190) | 2 GR 390 |
| Saturday, 6| 2 RA 220 | 2 DS 237 |
| Sunday, 7 | 7 to 7.45 | 2 GR 390 |
| Mon., 8 | 2 GR 390 | 2 RA 220 |
| Tuesday, 9 | 2 GR 390 | 2 JM 236 |
| Wednes., 10| 2 GR 390 | 2 RA 220 |
Transmitters are requested to ring Redfern 732 (during day) and North 226 (at night) to book Roster Times, or call 2 H.P. (330) by Radio Phone return 7 p.m. and 7.30 p.m. daily.
The figures shown beside call sign denote wave length.
While waiting for ten-thirty to come around, and another Quiet Hour to pass down into history, I will take the opportunity to pass a few polite comments upon that wonderful and fearful bit of electrical machinery known to science as the "Chemical Rectifier." To those who have come down from early days in Amateur Radio, there is a condition of affairs recognized as "Rotten Construction." In the course of my long and dusty career, I have seen much of this type of construction. I have beheld annunciator wire carrying fifteen amperes, and frying out the fat and dripping it around and smoking up the place so that it smelled like a soap-rendering establishment; and I have seen the house wiring designed and installed to carry a load of four sixteen-candle-power incandescent lamps which had to be fused with 25 ampere fuses; I have seen high-tension wiring pinned up with pins and propped up with bits of wood so that a deep-drawn sigh was sufficient to jar something loose and set off the entire works in a blinding flash.
And now enters the scene the new tempter—The Chemical Rectifier. It was borne of the desire to get from an A.C. supply something that at least had relationship to D.C. The vacuum tube hankered for a D.C. supply. QST had inspired us all to go down cellar and build a chemical rectifier and quit this bum A.C.-on-the-plate business.
When an amateur starts to build something, it is one of the prerequisites that it shall be completed in approximately seventy-five minutes elapsed time. Thirty minutes is better, but things are becoming complicated these days and more time has been recognised as necessary. Cases have been known where as much as an hour and fifty minutes have been consumed in the building of a single unit of an amateur transmitting station. This is very exceptional, however, and arouses suspicion.
In the construction of a chemical rectifier, as with other amateur apparatus, the raw materials are limited to those that may be found in the usual well regulated kitchen, pantry, or garret. QST advised that it was healthful to limit the voltage per cell to around fifty. 2000 volts A.C. from a plate transformer figured out as requiring forty cells. But it so happens that mother usually sports something like eighteen jelly jars that are not working. So the number of jars in the rectifier becomes eighteen. When it came to the aluminum, QST warns us that it must be absolutely double distilled and chemically pure stuff. The material that came from the old automobile body down at the garage must be chemically pure or it would not have been used in an automobile. So this constitutes the material for the aluminum electrodes except in the cases where the aluminum turned out to be zinc (note, aluminium can't be made of zinc), in which event some aluminum wire is borrowed or otherwise acquired.
The authorities are united on the subject of distilled water. But this type of water costs money and takes time to procure; so the stuff that comes out of the tap and looks pretty good and tastes pretty fair is adopted. The authorities also are said to have joined hands on the subject of borax, but mother usually has what seems to be a satisfactory quantity of the Twenty Mule Team brand upon the top shelf, and if it would kill ants in the pantry, it ought certainly to kill the reverse phase of the kind of A.C. current the electric light company dispenses. And so on, with the assistance of an old bit of lead pipe which had been flattened out, and sliced up, a chemical rectifier comes into being, and is hooped up to the business end of a plate transformer.
I have seen quite a few of these rectifiers in operation in various amateur stations. The jelly jar is the favourite type. We frequently meet the milk bottle type, however. The latter is rather attractive when the bottles are clean and shiny and arranged in a wooden box. I am not partial, however, to the construction which consists of a five-foot board balanced upon a chair, and anywhere from twenty to forty jelly jars strung out on the board. One has to be too precise in one's movements, and one cannot permit cats, dogs, or children to lean upon the far end of the board. Neither am I partial to miscellaneous bits of lead which have seen better days, being twisted about an aluminum wire. The contact seems too vicarious, if this term is permissible in amateur radio literature. My soul yearns for something tight in such cases.
When it comes to insuring the separation at all times and under all circumstances of the lead electrodes and the aluminum electrodes, I am also impressed by the sublime confidence exhibited by many of us. Simply hanging two bits of metal down into a jelly jar three-quarters full of borax solution, and asking some thirty or forty of these jars to co-operate with each other and also with the owner of the station, strikes an old crab like me as tending toward the haphazard. Again, I like to see things battened down tight where they will stay even though somebody does move suddenly. Of course, I know that the argument is that if two electrodes get together, it only means cutting out that one jar, or giving the fellow the dit-dah-dit-dit-dit signal and reaching down and fixing the rebellious electrodes. The trouble, however, is that in reaching down to fix one thing in such a station, one is very apt to unfix about fifteen other things. Frequently all of the fifteen are not known to the operator, who only fixes a dozen or so of them, with the result that when he presses the key the next time a conflagration breaks out.
I took a crack at this chemical rectifier business myself after some ten months deliberating over the subject, and although I made every effort to build things right I had a lot of trouble. I happened to meet Fred Schnell about the time I was making up my mind, and I had a long talk with him. He stood out solid for everything QST had said about chemically pure aluminum, voltage per cell, and distilled water, and so alarmed me that I stuck religiously to all three. I went over
to the dairy company and aroused the deep suspicion of the manager by buying forty-eight pint milk jars. He watched me out of sight as I drove away with them. I had some honest-to-goodness aluminum in the cellar, and I bought some one-eighth inch sheet lead. I also bought a half keg of real borax and ten gallons of distilled water. I wanted to have enough. I suppose it took ten hours of high priced time to transform this collection of material into a real business-like rectifier, all nicely assembled in a magogany box.
Consulting QST on rectifiers again, I decided the thing needed a charge, so I put it on all night at what I thought was a low rate. Here was mistake No. 1. Something got hot during the night, and when I went down in the morning, my fine rectifier looked as though it had been used as a garbage receptacle for several months. Dirty borax salt encrusted everything from end to end, and about half an inch of a vile looking liquid reposed in the bottom of each bottle. All the aluminum had about a quarter of an inch of nasty borax salt baked on hard. A cold chisel and a hammer had little effect upon it.
What happened during the night to run the current up, I do not know, but the lesson I do know. It is, forget the forming business altogether. Simply make the rectifier and put it to work.
After easing off my emotions with a copious flow of good old sea-faring English, I rebuilt my rectifier, putting in new aluminum electrodes and swabbing things up generally. Cutting out the forming, I connected it right into the set and went to work. For the time being, I left out the filter.
After a few nights working DX, I made the discovery that certain jars sparkled pretty well. Taking down that old April, 1922, QST again I noted that this was a bad sign. Not wanting to risk anything that would require building the thing over again for the third time, I began cutting out the sparklers and putting in new solution and new aluminum. I kept cutting out and putting in new, until the job got to be the big thing in my daily life. After a while it began to dawn upon me that I had just about rebuilt the rectifier all over for the third time and yet the sparkling was steadily gaining upon me. Then I tumbled. It was evident that I was busily engaged in cutting out the good cells and keeping in the poor ones. Poor cells did not rectify, and hence they did not sparkle. Good cells did rectify and, being over-loaded, they sparkled.
This called for some more old English, causing Kitty to hastily seek other scenes and the little wife to expostulate a bit above average. Some of the pile of cast-off aluminum electrodes were recalled to the colours, and a voltmeter made use of to determine the dud cells. The ones which did not sparkle were gradually replaced and each time one of these was turned into a sparkler, the general sparkling became lessened.
Things now went forward apace, and in a short time I had a rectifier that gently glowed the prescribed QST blue-glow all over on twenty-five hundred volts. It was a good rectifier, just as old Betsy was a good spark gap, and I believe it will
Questions on the Regulations.
EXPERIMENTING—BROADCASTING—TRADING.
Since Statutory Rules 97, of 1923, were issued on the 1st August, many and varied have been the queries regarding the respective liberties and restrictions on the EXPERIMENTER, the BROADCASTER (Transmitter and Receiver), and the TRADER.
"Wireless Weekly" now offers to its readers the correct answers to any reasonable questions on or concerning Statutory Rules 97, of 1923.
Answers will appear in these columns each week.
Address: "Questions," Box 378, G.P.O., Sydney.
The name and address must be forwarded, but will not be published unless desired.
Questions received up to noon, Friday, of each week, will be answered in the following week's issue.
stay with me for a long time to come.
Then it became necessary to consider the filter business. Some elephantine inductances were obtained and what seemed like a king's ransom was laid out for a carload, more or less, of those one Mike paper condensers that come in the square tin cans. These were supposed to stand 1500 volts. In order to hold my 2500 volts it meant two of these condensers in series in order to get even a half Mike capacity. In order to get some real he-capacity, I found that it took quite a little working capital. But we found the capital, and put in the condensers. My thermo-ammeter jumped up over half an ampere when I put this big capacity across the line.
My sixty-cycle hum still persisted in nearby receivers, and at this date I am figuring on one of Goldberg's filters as shown in April, 1923, QST. If I can make it work, there will be at least one amateur station in this country with a non-interfering D.C. plate supply that comes out of a chemical rectifier. You other ginks will have to show me that it is not the only one in the world.
The next thing on the programme is some kind of an electrical sponge which will soak up the pulses made by a key when it makes and breaks. If that can be fixed, then I am going to ask somebody something pertinent about this Quiet Hour stuff. What's the necessity of making me quit transmitting if my transmitter is inaudible on all wave lengths but my own?
Even as things stand to-day, I am inaudible in 19.999999 per cent. of the country. It is only in those few stations that are within a few rods of my house that my transmitter can be held even with those single circuit things they call tuners. What kind of a think-tank must the guy have who wants to impose compulsory quiet hours, anyway? I wonder if he ever had a pair of phones on his poor bean. Doesn't he know that a lot of broadcasting only begins at eleven p.m., and that the big doings are mostly after midnight? Of what use is it to the Night Hawks, the Boiled Owls, the Hoot Owls, and all the other late sitters to have amateur radio quiet between seven and eleven? Not one bit. I say, let them leave it to our A.R.L. voluntary lid. Then we will have amateur co-operation instead of amateur boot-legging. Then let us amateurs get busy and find how to make our C.W. quiet on all waves but our own, and there will not have to be any quiet hours, and the good old days will have come back.
Well, son, its long past ten-thirty, and here goes for some DX.
CUAGN OM 73 GN.
A STREAM OF WATER AS AN ANTENNA.
Experimenters were conducted by the Bureau of Radio Research of the French Navy using streams of salt water pumped up from the sea and shot in a column into the air, which proved that transmission could be accomplished when employing this medium as an antenna. The regular transmitting apparatus was connected to the stream and communication was carried on over a distance of eight miles.
The use of sea water as an antenna is far less efficient than the regular metallic ship's antenna, but it would be found useful in case of an emergency in war time if the regular antenna were shot away during an encounter.
THE RADIO BUG BEGINS TO BITE ITALY.
The prospect of initiating a broadcasting service in Italy appears to be somewhat more encouraging than it has been as "the wall of opposition which thwarted every radio plan has been demolished by the Fascist Government," according to "The Tribune," New York. One company has agreed to pay a specified tax to the government in return for authority to start a broadcasting service; it proposed to tax its subscribers, but just how funds will be raised from this source is not revealed.
The proposed government tax on amateur transmitting sets will vary according to the power of the apparatus.
SENDING RADIO WAVES TO THE CENTRE OF THE EARTH.
Scientists now propose to study earthquakes by radio. The way in which the shock from an earthquake is transmitted through the central part of the earth possesses some mysterious features which none of the present scientific theories can explain. To study these earthquake waves directly is difficult because the earthquakes cannot be induced to happen exactly according to schedule, when the scientists are all gathered round in the laboratory and ready to observe them. So it is proposed to explore the nature of the inside of the earth by radio waves instead. Beams of the waves can be directed, the experts think, downwards into the ground and from the way these beams are bent or reflected inside the earth much can be learned about what really exists a thousand miles or so down under our feet.
THE PASSING OF AN OLD RADIO ETHER MARK.
Seagoing radio operators, many skippers and landsmen who listen in will note a change in the 'voice' of NAA at Arlington. The peculiar tone of the old Fessenden spark will no longer carry the time signals, weather reports and information of interest to mariners; this famous spark set (installed in December, 1912), was replaced recently by a new tube transmitter.
Operating on the same wave length, 2,560 meters, the new set will carry all the governmental broadcasting that was formerly done on the spark. Although its power is not quite as great, the range of the tube set by tests has proven a little greater than the old 100 K.W. spark. After eleven years of almost constant operation, the Fessenden set is to be retired from active service; it is understood that it may be presented to the National Museum, where many radio experts believe it should have the honour accorded to the early locomotive of Baldwin and the Morse telegraph key.
RADIO MUSIC AS A CURATIVE.
One by one the things we think are new turn out to be old. Music received by radio has been found soothing and beneficial, the doctors have been saying, especially to patients in the convalescent wards of the hospitals. Now comes Miss Frances Denmore, who has been studying native music of the Indians for the United States Bureau of Ethnology, and report that the ancient medicine men have been using musical rhythms, drum beats and rattles and the like, for many generations for exactly this same purpose. The rhythmic spells chanted by the Indian "doctors" over their patients may have had considerable curative value after all.
BROADCASTERS' CORRESPONDENCE.
Since the inauguration of broadcasting by WGY, some sixteen months ago, the General Electric Company has received 65,000 letters from listeners scattered over the United States and from points as widely apart as Hilo, Hawaii and London (England), Vancouver, Canada and Valparaiso (Chile).
MAKE YOUR OWN
Choke Coils.
BY W. JAMES.
Iron-cored choke coils are often employed in wireless apparatus, and one should be able to estimate the dimensions necessary to produce a choke coil with a given inductance. It is ordinarily not possible to calculate with any degree of accuracy the exact inductance on account of the effect of the iron used. One is generally not in possession of the magnetic properties of the iron, and in most wireless receivers or transmitters the choke coil carries a steady current as well as a fluctuating current. The fluctuating current will, in general, not have the shape of a sine wave.
The formula generally used, when the iron circuit is closed, is as follows:
\[ L = \frac{1.257 \times u \times A \times N \times 10^{-l}}{1} \]
Where
- \( L \) equals inductance in henries.
- \( u \) equals permeability (varies from perhaps 1000 to 2000).
- \( A \) equals effective area of iron cross section in sq. cms.
- \( N \) equals number of turns.
- \( l \) equals length of magnetic path in cms.
The reader will notice the inductance depends upon the square of the number of turns, the area and permeability of the iron and inversely as the length of the magnetic circuit. The qualities are set out in Fig. 76. In reckoning the area of cross section, allowance should be made for the space occupied by the insulation of the laminations, and it will be reasonable to represent the effective area as 90 per cent. of the total area.
Clearly the inductance will vary with the current passing through the coil because the factor \( u \) is directly affected. To provide a choke with a more nearly constant inductance value it is usual to split the core so that the magnetic circuit includes an air gap. The core may be simply cut through as shown dotted in Fig. 76. The air gap is also beneficial in that the distortion of the wave form due to magnetic hysteresis is reduced. The inductance formula should now be modified as follows:
\[ L = \frac{1.257 \times I \times N \times A \times 10^{-l}}{1} \]
when
- \( L \) equals inductance in henries.
- \( I \) equals current in amperes.
- \( N \) equals number of turns.
- \( A \) equals effective area of air gap in sq. cms.
- \( l \) equals length of air gap in cms.
The formula assumes the whole of the reluctance is concentrated at the air gap or gap. When the choke coil is to be used in a circuit which carries a normal steady current, an air gap should always be provided.
Probably it is best for those who experiment to construct a variable inductance. The wire should be chosen so that it will properly carry the current without heating, and the turns and the whole winding should be insulated carefully. A suitable choke is shown in Fig. 77. The maximum inductance is in the neighbourhood of 50 henries.
The coils should each consist of about 6,500 turns of No. 22 D.C.C. Bring out four or five tappings from each coil. The core may have a cross section of 4 square ins., or say 2 ins. by 2 ins. Each coil will occupy a space of 5 ins. by 3 ins., so that the core should be 5 ins. long, and the distance between the cores 6 ins. The top limb of the core is mounted so that it may be moved up or down by adjusting the nuts.
Another form of choke coil which will safely carry a current of 400 milliamperes is shown in Fig. 78. The winding consists of about 6000 turns of No. 30 D.S.C., and the inductance is close to 2 henries. The core consists of a bundle of iron wires which are forced into the central hole of the former. Another choke coil which has given satisfactory service is as follows: Inductance 2 henries, resistance 3000w, bobbin 3/4 in. long and 1-3/8 in. diameter. Iron core 1/2 in. diameter of iron wires wound with No. 42 D.S.C.
It is as well to remember that the inductance of the primary of an ordinary intervalve transformer is of the order of 10 henries and the secondary may be as high as 100 henries. The transformer may be used as an inductance, either using one of the windings by itself or by connecting them in series so that the inductances add, i.e., the two windings may be connected so that the turns follow in the same direction. The current passed through the windings must, of course, be limited to a few milliamperes.
The usual method of representing a choke is shown in Fig. 79.
Low Frequency Transformers
Suppose we find a second winding over the winding of the choke coil as in Fig. 80. When an alternating pressure is connected to the choke, the alternating flux which is set up around the coil interlinks with the second winding. Consequently a pressure is generated in this winding. The arrangement is
called a transformer. The winding to which we apply the power is called the primary. The other winding is the secondary.
Naturally if there are the same number of turns in the secondary winding and the primary, and all the flux which is generated cuts both windings, the pressure induced will be the same in each winding. The voltage is given by \( wLI \), where \( L \) is the inductance of the winding.
If the primary winding has no resistance and there are no losses, the induced pressure in the primary and secondary windings is equal in magnitude to the applied pressure. Note that the addition of the second winding has not altered in any way the operation of the choke coil. The operation is, of course, modified when we connect a load to the secondary.
Let
- \( N_p \) equal the number of turns in the primary winding.
- \( N_s \) equal the number of turns in the secondary winding.
- \( A \) equal the area of the core cross section in sq. ins.
- \( B \) equals the maximum flux density.
- \( f \) equal the frequency of the applied pressure.
- \( E \) equal the induced pressure in volts.
During one cycle the maximum value of the flux changes by \( 2B \), and the time taken for each change is \( \frac{1}{2f} \) seconds, since there are two alternations for each cycle.
The pressure induced has, then, the average value of \( 4BA\pi f \times 10^{-8} \) volts. The effective or root mean square (RMS, see sect. 18) will be this quantity multiplied by 1.11 assuming a sine wave of pressure. We then have as the fundamental equation for the transformer
\[ E = 4.44 \cdot BA\pi f \times 10^{-8} \text{ volts}. \]
Instead of \( BA \) we may write \( F \) for the maximum value of the flux. Then \( E \) equals \( 4.44 \cdot FNf \times 10^{-8} \) volts. We may substitute for \( N \) either \( N_p \) or \( N_s \) to obtain the voltage induced in the primary or secondary windings. The voltage induced in the primary is equal to the applied voltage if we assume there are no transformer losses. Considering phase relationship; the transformer with the secondary winding on open circuit, i.e., not connected to a load, is behaving exactly as a choking coil. The back primary pressure generated is directly opposing the applied pressure, as shown in Fig. 81 while the small current which flows to magnetise the core is 90 degrees behind the applied pressure. In the vector diagram \( E_p \) represents the applied pressure and \( E \) (back) the back pressure. The magnetising current is shown as \( I_p \). The flux is, of course, in phase with the current. With the secondary circuit not connected to a load, the secondary pressure is as shown at \( E_s \). \( E_s \) and \( E \) (back) will be equal when the primary and secondary turns are equal. We assume the transformer has no losses. \( E_s \) is then equal to \( E_p \). It is important to note the secondary pressure and the pressure applied to the primary are 180 degrees out of phase. It is clear that the secondary pressure and primary back pressure have the same phase since they are both interlinked with the same flux at the same time. Since the primary circuit has a large inductance the primary current is very small indeed.
(1) The Voltage Ratio.
If we call the number of primary turns \( N_p \) and the number of secondary turns \( N_s \), we have the simple relationship
\[ \frac{N}{N} = \frac{\text{Primary Voltage}}{\text{Secondary Voltage}} = \frac{E}{E} \]
or
\[ E = \frac{N}{N} \times E \text{ volts} \]
Thus, if we wish to use a voltage which is lower than that available, it is simply necessary to use fewer turns in the secondary than are used in the primary. If, say, the supply is 500 volts, and we wish to use 20 volts, and the transformer primary has 250 turns, the number of secondary turns required is
\[ N = \frac{E}{E} \times N : N = \frac{20}{500} \times 250 \]
equals 10 turns
The ratio of the turns is thus 10 to 250 or 1 to 25, i.e., the primary has 25 times the number of secondary turns. It is clear the turn ratio is equal to the voltage ratio. Suppose we require a high voltage, say 2,000, and we have only 250 volts available.
\[ \frac{2000}{250} = 8 \]
The secondary winding will therefore require to consist of 8 times as many turns as the primary.
(2) Effect of Loading the Secondary.
Let us suppose we still have our ideal transformer, and we connect a resistance across the secondary terminals. Current of course flows in the secondary circuit, and the secondary voltage and current are in phase. The current is equal to \( E/R \) amperes. Now it is perfectly plain we cannot load up the secondary without taking a load from the source which is supplying the primary, and further, the primary load and secondary load balance each other. That is, if we take a large load from the secondary, the primary must also take a large load.
Let us ignore the primary winding for a moment, and consider secondary circuit only. When secondary current flows, a magnetic field is set up due to the current and the se-
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secondary turns. The core is therefore magnetised. But now, with the primary connected, there is a flux due to the primary. The two fluxes react on each other. The value of the magnetising current and the resultant flux must, however, remain unaltered if the transformer is to work properly. The value of $F$ in the above formula must not vary if the voltage induced is to remain the same. Therefore a current flows in the primary winding so that the flux which this current produces neutralises the flux due to the secondary. We have now two components of the primary current—one component which magnetises the transformer and induces the back pressure in the primary, and the pressure in the secondary; and the second component which is termed the load current, which tends to produce a flux which just neutralises the action of the secondary.
Looking at the action a little more closely and referring to Fig. 82, the primary pressure $E_p$ is at right angles to the magnetising current, and the load current $I_s$ is in phase with $E_s$. The combined effect of $I_2$ and $I_s$ is to increase the flux, but the phase of the flux with respect to the primary pressure is changed. Therefore, a load current will flow in the primary circuit of such magnitude and phase so that the effect of the secondary is neutralised. The primary magnetising current and load current $I_1$ are now 90 degrees out of phase, and their resultant is given by $I_p$. The effect of loading the secondary is therefore to load the primary.
(3) The Current Ratio.
If the efficiency of the transformer is 100 per cent. the primary input, and the secondary load are equal.
$$E \cdot I = E' \cdot I' \text{ or } \frac{E}{E'} = \frac{I}{I'}$$
That is, if the voltage is stepped up, the current is stepped down in the same proportion. If the secondary voltage is 10 times the primary, the secondary current can only be 1/10th the primary current.
The difficulties in finding the sensitive points of a crystal detector with a single cat-whisker may be obviated by using a "brush" made from steel wool such as is sold for domestic use in cleaning pots and pans. Steel wool consists of a bunch of very fine wires which may be straightened and bound together in a small brush wrapped with heavier wire. The ends are clipped evenly with a pair of shears.
MARCONI'S RECENT WORK.
In a statement issued to the press on his arrival at Southampton, on board his yacht, "Eletra," recently, Senator Marconi said that during the two months he had been away on his research cruise he has been working all the time on the system of directive wireless telegraphy, by which a message could be sent in one direction only, and he was delighted to say that experiments had proved highly satisfactory. The apparatus with which he had been working was the only installation of its type, but it was likely to come into universal use in the future. The results he had obtained proved that communication could be maintained over long distances. The new system, said the Senator, effectively eliminated atmospheric disturbances, and he might say that he had experienced no trouble of that sort during the whole of his two months' research. The course of the trip was roughly 2200 miles, or the distance from England to Canada.
A Variable High Resistance.
In experimental work a variable resistance of high value which will pass a few milli-amperes is frequently required. Such resistances are required in experimenting with grid-leaks, anode resistances for resistance amplifiers, and so forth. Many simple ways of making fixed grid-leaks for reception purposes have been described, but most of them are not adapted to variable adjustment or else will not pass a current greater than a fraction of a milli-ampere without becoming noisy or erratic. The simple resistance here described was evolved by the writer when in need of an adjustable grid leak for a 10 watt transmitter. Leaks of the pencil line type were first tried, but were found to be unsatisfactory, as they sparked along the graphite surface and were very irregular in their action.
The accompanying diagram, Fig. 8, is almost self-explanatory. A bottle is filled with water and a glass tube is introduced which should be long enough to reach the bottom and project about an inch out of the neck. Two wires are introduced so as to make contact with the water, the other passing through the neck of the bottle outside the tube and passing into the tube itself. As most of the resistance lies in the narrow column of water within the glass tube the diameter of this tube is of some importance; the bore should not be too small, as bubbles of gas produced by electrolysis of the water tend to accumulate and increase the resistance unduly. For the same reason the wire should not fit tightly in the tube. A tube of 2 or 3 millimetres bore is convenient. If ordinary tap water is used the wires may be of copper, but it is much better to use lead or tin fuse wire which shows much less tendency to form soluble salts with impurities in the water. Rough adjustment of resistance may be obtained by pushing the wire up or down in its tube, while small final variations may be effected by altering the depth of the wire outside the tube.
Ordinary tap water gives about the right range of resistances for many purposes, but if necessary, the resistance may be reduced by adding a few drops of sulphuric acid or a small quantity of common salt, copper sulphate, or any other metallic salt that happens to be handy.
If, on the other hand, the resistance of the tap water is too low in the first place it may be increased by mixing with methalated spirit. In this way a resistance of anything from a few thousand ohms to several megohms may be obtained in a few moments at an outlay of practically nothing.
The uses of such simply made variable high resistances are so numerous that their construction is strongly recommended to the serious experimenter.
E. H. R.
FOR QUICK SALE.—Single Valve Set, accum. aerial, etc., 60V B battery, also odd experimental gear. First reasonable offer. Maraden, 5 Collins Street, Annandale.
Blocking Condensers
The usual method of constructing a blocking condenser is rather a fiddling job when making a condenser of fairly large capacity. An easier and quicker method is to cut the tinfoil into two long strips the size required, and rolling them up together using as the dielectric good quality paper previously soaked in paraffin wax. The strips of paper should be \( \frac{1}{4} \) inch larger all round than the sheets of foil. Before rolling the strips of tinfoil and paper together lay a strip of copper foil \( \frac{1}{4} \) inch wide on each piece of tinfoil for connecting purposes, as shown at A, Fig. 9. When the condenser is rolled up press it with a hot iron. This re-melts the paraffin wax on the paper and binds the whole together as at B (Fig. 11). The condenser should then be put between two \( \frac{1}{8} \) inch ebonite sheets, turning the copper foil connecting strips up the side of the
ebonite as at A, Fig. 10. A piece of ebonite should be let in at each end to take up the space between the sheets of ebonite as at C. Make two clips of thin sheet brass and bolt them to each end, firmly clamping the copper foil strips beneath them as shown at D. Melted paraffin wax poured round the edges of the condenser will make it damp proof.
A convenient holder for this condenser is shown at E, Fig. 12. The clips F are made from thin sheet brass, and the base is of 3/8 inch ebonite.
This type of condenser and holder is ideal for the experimenter.
A. W. B.
FREQUENCY, GROUP.
In damped wave work, the number of wave trains per second, as distinct from the frequency of the actual wave itself. Usually in the "Audio" Group.
FREQUENCY, HIGH.
Naturally, a comparative term. Used in wireless to define radio frequencies of 10,000 to 1,000,000 or more in contrast with audio frequencies.
LITZENDRAHT.
The only stranded wire that has lower resistance than solid wire is the so-called "Litzendraht," made of many strands of fine enamelled or silk-covered wire braided together. Experience shows that at 200 metres these strands must be so fine (at the most No. 38 B. and S.) that it is almost impossible to make up a length without broken or "crossed" strands which will run the resistance away above what is expected. It does not matter, though—"litz" is impracticable stuff to put out of doors, anyway.
BRONZE.
Bronze is stronger than plain copper, and not so much subject to the effects of corrosion as copper. However, I want to call the attention of the reader to the fact that an alloy always has a resistance higher than that of the poorest conductor used in the alloy. The conductivity of the alloy antenna wires is low as compared to copper, one-fifth to one-third as much. In addition the bronzes are very hard to handle and solder.
COPPER, COPPER-CLAD STEEL, AND ALUMINUM.
This brings us down to the solid wires (not stranded) with a choice of copper, either hard or soft drawn, copper-clad steel, and aluminum. Any one of them is preferable to the other wires above.
Copper-clad wire has about the same resistance as solid copper. (This statement does not include the cheap electro-plated "coppered wire."—Editor.)
Aluminum can be compared with copper as follows. For the same direct current resistance aluminum has a cross section of about 1.59 times as great as copper. Because it is well known that high frequency currents travel on and near the surface of the wire and because the aluminum wire has a larger surface, it would appear that it should offer a lower high-frequency resistance than the smaller copper wire. However, the larger skin of the aluminum wire is an aluminum skin and has about 1.59 times as much resistance for the same area, so that in reality the high frequency resistance, like the D.C. resistance, will be nearly the same for a copper and an aluminum wire that has 1.59 times as large a cross section. In other words—for either antenna or direct current work an aluminum wire is equal to a smaller copper one four sizes up in the B. and S. gauge.
WEIGHT AND STRENGTH.
Aluminum has (for the same conductivity) about 1.3 times the strength and a little less than half the weight of copper wire. Consequently the strain on the towers is less, although part of this is made up for by the greater effect of the wind on the larger aluminum wire.
Copper-clad wire is quite a lot stronger than either aluminum or hard-drawn copper, and hard-drawn copper is somewhat better than soft-drawn copper.
Bronze is the strongest of all, but the reasons for throwing it out have already been mentioned.
PLIABILITY.
Soft drawn copper is the most pliable of all and stays so, but it is not very strong. Hard drawn copper, hard-drawn aluminum, and copper-clad steel are all only moderately pliable and must not be kinked. Hard drawn copper becomes brittle with age; aluminum does not do this because after the first coating of oxide, it does not corrode further. (This seems a bit doubtful. Copper and aluminum both become quite brittle when not subject to corrosion, perhaps for the same reason that "vibration fatigue" causes machine and bridge parts to crystallise and break.—Editor.)
CORROSION.
Copper, copper-clad, and bronze wires soon acquire a green or black coating that serves as a protection against further corrosion and does not increase the high frequency resistance very much. Aluminum is
not attacked after the first thin film is formed, hence maintains its conductivity.
All rules fail where there are chemical or soft-coal fumes; corrosion will then go deeper, probably less in the aluminum than with other materials.
Enamelled copper does not corrode until the enamel comes off. (Several stations in soft-coal regions are getting good results with No. 12 enamelled copper wire. Both the Belden Mfg. Co. and the Acme Wire Co. make enamelled antenna wires.)
Wired Wireless.
Wired wireless, or the application of radio telegraphy and telephony to the power wires and other continuous conductors to form a "guided" system of radio communication as distinguished from the usual "unguided" system, is about to receive a practical test in broadcasting operations. There has been formed an organisation for the purpose of broadcasting talks, news, musical numbers and other features over the lighting lines of a power company in the vicinity of New York. The plan is to charge a nominal fee to the electric light consumer for the privilege of listening to the wired wireless programmes. The company undertakes to supply a receiving set which may be plugged into any socket or receptacle. A simple receiving set with crystal detector and a pair of ear-phones is supplied at the lowest fee; a single-tube set is supplied for a higher fee; and a three-tube, loud-speaker set, complete, giving the same service as a phonograph, is supplied at the highest fee. The tubes are supplied with filament current directly off the lighting current, from the same plug connection that receives the radio energy. Plate batteries or "B" batteries are still employed, since it would require too elaborate an arrangement to do away with them, and the current consumption for the plate circuit is such that "B" batteries last for long periods. The wired wireless programmes are to be of a high order, and are to cover a period of some eighteen hours out of the twenty-four. On occasion, the broadcasting station plans to pick up programmes from other broadcasting stations and to retransmit them over the power lines.
Commonwealth of Australia
Postmaster-General's Department
Wireless Telegraphy Act, 1905—1919.
EXPERIMENTAL LICENSE
(Transmitting and Receiving)
IN PURSUANCE and exercise of the powers and authority conferred upon the Postmaster-General by Section 5 of the Wireless Telegraphy Act, 1905-1919, and by the Wireless Telegraphy Regulations a license is granted to M........................................... to erect an Experimental Wireless Station at ........................................... and to operate the said Station for a period of twelve calendar months from the date hereof. The erection and operation of the said Station shall be carried out in accordance with the provisions of the said Regulations, as amended from time to time during the currency of this license, and shall be subject to such further restrictions and conditions as are from time to time notified by the Postmaster-General or by any officer thereto authorised in writing by the Postmaster-General.
By Direction of the Postmaster-General,
Chief Manager, Telegraphs and Wireless.
Date ...........................................
SCHEDULE OF THE AUTHORISED STATION.
1. No. of License .................................. Expires .......................
2. Name of Licensee ..........................................
3. Location of Station ..........................................
4. Type of Receiver ..........................................
5. Type of Transmitter ............... power........... watts
6. Operating wave-length ............... call sign ...........
Signature of Licensee ...........................................
Date ...........................................
C14022.
The above forms are now being issued to Experimenters.
PROPOSED BROADCASTING IN INDIA.
According to recent despatches, it was announced at the broadcasting conference held in Delhi that the Indian Government did not intend to permit broadcasting in India by individual firms, but, under reasonable control—as in the United Kingdom—by a single licensed company for the whole of India. It is planned that this company shall consist both of British and Indian firms, and that no non-British subjects will be allowed to take part in it. The proposal of the Government regarding terms of the agreement required of the broadcasting company were embodied in a draft form of licence placed before the conference. Opinions upon this form will be obtained from the Provincial Governments and Chambers of Commerce. It is understood that the manufacture of receiving sets is to be undertaken in India as soon as practicable by the new broadcasting company. This will probably at first consist of importation of some parts, the local manufacture of others, and assembling of complete sets.
LOUD- SPEAKER VOICE FOR DRILL SERGEANT.
If 250 lusty-lunged sergeants of the regular army should get together and shout "Fall In," in their best drill-ground style, the effect would scarcely equal that of the voice amplifier recently purchased by the Signal Corps and installed in mobile form on a motor truck. The new equipment can be used to handle large bodies of troops, to make speeches and music audible to assemble or to supply entertainment received by radio. The apparatus is technically known as a public address system. Sounds are picked up by a high-grade transmitter placed a few feet from the speaker, or near the bandmaster's stand, if music is to be handled. The electrical output of this transmitter is increased about a half million times, using a four-stage vacuum-tube amplifier. Then the current goes into a group of six horns, mounted on a folding tripod. Under ordinary quiet conditions, a compact crowd of 750,000 people could hear a man through the use of this system.
Learning the Code
By H. F. Mason in "Q.S.T."
In order to become a proficient player in any game—for instance amateur radio—it is imperative that you devote a large amount of time to practice and training. Once the training is over, however, you are happy because of the infinite degree of personal satisfaction there is in knowing how to play a game and play it well. We'll admit that there is a certain amount of drudgery in learning the code, despite all "learn it quick" methods, but this should not prevent you from partaking of the immense enjoyment which is in store for you, once it is learned.
THE PRACTICE SET.
It is, of course, only natural for a person enthusiastic over amateur radio to want to learn the code in the quickest and easiest way. For this purpose every beginner should obtain a "buzzer practice set." This consists of a buzzer, a dry cell, and a telegraph key connected together so that when the key is pressed the buzzer will operate, thus imitating a radio signal. The buzzer can best be a "nickel plated watch case buzzer" obtainable at most any radio store for about one dollar. One that, when connected as shown in the diagram, will emit a rather high pitched clear note is a great advantage, as will be learned later, in reading the signals.
Care should be taken in the choice of the transmitting key. The quality of your sending, no matter how much practice you have, will depend upon your using a key that has a good action and is well balanced. As you can use this same key in your transmitting set, after you have learned the code and secured a license, it may be worth your while to buy a good key at the outset. If you are in doubt as to your ability to select a good radio key, the next best thing to do would be to purchase a standard telegraph key. This type, though used on many radio sets, has the objection for radio work that it is too "light." This will be explained later.
In order that the signals from the practice set will simulate the real radio signals as nearly as pos-
Get Your Wireless Gear at Electricity House
387 GEORGE STREET (OP. STRAND). TEL. 2961 CITY.
Condenser Plates, 1/6 per doz.; Condenser Spindles, 2/9 per set; Condenser Ends, 1/9 pair; Honeycomb Coils, from 1/6; Honeycomb Mountings, 8/- each; Filament Resistances, 7/6 each; Calibrated Dials, 1/6 each; Knobs, 6d., 9d., 1/-, 2/- each; Contact Studs, 1/3 per doz.; Switcharms, from 1/6; Terminals, 6d. each; 'Phone Condensers, 1/-; Grid Condensers, 1/-; Variable Condensers, 25/-, 30/-.
Murdoch's 'Phones, 35/-; Myers' Valves, 35/-.
Catalogues, 9d. each, including wiring and other diagrams. All makes of Telephones and Valves.
Crystal Cups, 1/-; Detectors, 5/- each; Loose Couplers, 40/-;
Cabinets, Ebonite, Bakelite, and All-round Materials.
Complete Crystal Sets, from 27/6; Valve Sets from £9 to £35, 1, 2, or 3 valve; Radiotron Valves, 37/6; Vernier Rheostats, 12/6; Rheostat Knobs and Dials, Polished Bakelite, 4/-; Condenser Knobs and Dials, 4/6.
INTERVALVE TRANSFORMER, 40/-. Closed Iron Core.
UNDER NEW MANAGEMENT.
Works Manager: Raymond McIntosh.
General Manager: J. S. Marks.
All Communications to the Firm.
sible it is well to connect a pair of head phones in the circuit. This may be done as shown in the diagram, connecting the telephones across the buzzer binding posts with a small fixed condenser in series with them. The capacity of the condenser should be around .001 microfarads. Its capacity governs the strength of the signals in the telephones; if the signals are too loud the condenser should be made smaller, and conversely a larger condenser should be used if stronger signals are desired.
GETTING STARTED.
Granting that a copy of the International Morse Code, known also as Continental Code, is at hand, we are ready, with the aid of the practise set, to begin. Although, strictly speaking, learning how to send and how to receive are two different things, they will need to be more or less combined in the early stages of your schooling.
The telegraphic code is built up around two units, the dot and the dash. Combinations of these units represent the different letters in the alphabet, and so it can be seen that the correct interpretation or decoding of the signals at the receiving end lies almost wholly on the skill of the sending operator in making the dots and dashes of their proper relative length and spacing; making the signals understandable, in other words. It is very important, then, that the following correct relations be preserved. A dash is equal in length to three dots, the space between parts of the same letter is equal to one dot, the space between two letters is equal to a dash or three dots, and the space between two words is equal to five dots.
The first step in learning the code is to memorise the dot and dash combinations representing the letters. They must not be visualised as dots and dashes, however, but rather should be "auralised" as sounds. There is no such word as auralised but if there were it would express the correct method of grasping the code. The sound dit-dah (meaning a dot followed by a dash) in the head phones must impress your mind directly as being the letter A, for instance, without causing black dots and dashes to float before your eyes for an instant—that way madness lies. This is a point that always troubles beginners, but if you learn from the first to recognise the sounds as letters immediately, without reverting to dots and dashes, you will make much better progress. It is very interesting, even the learning, if taken in the right way.
Do not try to learn all of the letters at once; take only three or four a day, and practice on them until your ear is trained to instantly convert the dah's and dit's into letters. Then add a few more letters the next day, and so on until you have learned them all.
Let us digress for a few moments and set ourselves clear on the correct manipulation of the transmitting key. The key should be located with the centre of the knob between sixteen and eighteen inches from the edge of the table, on a line with the operator's right shoulder. It is difficult to send well if the radio table is not of the proper height. The standard height of 30 inches should be adhered to as it will materially help your sending. The back adjustment screw on the key should be adjusted so that the knob will have a vertical travel of about one-sixteenth of an inch when the key is pressed. The spring tension is a thing that varies with the choice of the operator, but the beginner will do well to use a fairly heavy spring at the start.
The key must be held correctly as this spells the difference between good and poor sending. With the elbow resting on the table, the key knob should be held as shown in the sketch. The forefinger and middle finger should rest lightly but firmly on top of the key knob while the thumb and third, or ring, fingers rest very lightly on the sides of the knob. Above all things the wrist must be held up off the table, the higher the better, but at least high enough so that the top of the hand and the forearm will be in a straight line. The grasp of the key should not be tight or strained, as jerky sending will invariably result. Hold the key with the same light but firm grasp that you would use in holding a pen when writing. Generally speaking, the rules we used to observe in school when learning penmanship apply perfectly to the correct way of learning how to handle a telegraph key. By the same token that a good penman always holds his pen correctly, an operator whose sending is clear and even holds his key correctly. After all, the easiest way is the correct way—once you have mastered it.
When operating the key none of the muscles of the arm or wrist should be tense, but at the same time the action of the hand in forming the letters should be under perfect control. The stronger muscles in the forearm should do most of the work; the less capable muscles of the fingers only contributing the fine touches. The fingers should never leave the key knob, and the motion should be straight up and down, not sideways.
It will take quite a bit of practice before you will be able to send the letters correctly without a definite effort. All the while you should be careful to make the dots and dashes and spaces of their proper length. Almost always the beginner will make a C as if it were two N's, and a Y as if it were an N followed by an M. It will be a great help to you at this stage of the game if you can enlist the assistance of someone who knows the code to point out your mistakes and give you practice in receiving by sending to you on the buzzer. When copying someone's sending always have him send to you just a little faster than you can easily receive. If you are able to copy every letter, you are learning nothing, but if the sending is fast enough so that you only get two letters out of every three, your mind will be quickened and an effort will be made to get that other letter. Diligent practice at the rate of about an hour each day will enable you to acquire a fairly good knowledge of the code in a surprisingly short time.
GAINING SPEED.
(Transmitting)
The worst thing an amateur can do is to try and ignite the air while still at a tender age. Until you are very sure that your hand is becoming accustomed to the correct method of sending, do not try to exceed ten words per minute, and come up to that speed gradually. If you disregard the above you stand a good chance of being cursed with a jerky, non-uniform style of sending that will be very hard for to you to rid yourself of; or you may develop a "glass-arm," which, as its name implies, may cause you to have to change to some other recreation than amateur radio.
At this point it would be well to say a few words about the sideswiper, fishtail, cootie, hacksaw blade, or double action keys that have found their way into some of
our best stations. To the unsophisticated beginner, my advice is to leave them alone, brother; they'll do you more harm than good. After you've learned the code on a good old-fashioned straight key and you think you can do better on a "cootie," go to it, but be careful that the quality of your sending does not go down in the process.
The vibroplex, which has a definite field in wire telephony has one characteristic that prevents its more general use in radio. This is unavoidable, however, as it is caused by the inherent difference between the two systems. In radio the key must actually be depressed the whole time a signal is made. In wire telegraph, on the other hand, the spring on the sounder raises the lever and completes the character after the current is broken at the contacts of the key. For this reason, when a vibroplex is used on a radio set, there is a tendency to make the dots relatively too short. This can be corrected to a certain extent, however, by proper adjustment of the key.
As many of our junior operators were telegraph operators at one time or another, radio operating is interesting in comparison. In a wire circuit the action is positive, that is to say, each dot and dash that the transmitting operator sends will be faithfully reproduced at the receiving end. This allows constant sending at a good speed still retaining clearness. In radio, however, many times it is necessary to put the signals through static, interference, and fading or they do not reach the receiving operator at all. Therefore, a heavier and even more clear and distinct style of sending is necessary over radio. This is usually taken care of automatically if a transmitting key of more rugged and heavier construction than the ordinary telegraph key is employed.
Then there are what is known as "swings" with myriads of variations thereof. The only advice here is to stay on the narrow path and make your sending as near perfect as possible. Do not worry about cultivating an individuality to your sending. That will come with time and an operator who is noted for his clear and even method of transmission is much more respected by the amateur fraternity than one who owes his fame to the "sloppy way in which he dishes out the code"—and we wonder that some of it can be identified at all.
Do not hesitate to ask other operators for criticism of your sending. Only they are in a position to judge. Send to a person for a few minutes, have him copy on paper, and he can soon tell you exactly wherein you can improve your transmission. If you find you are making mistakes, slow down. After all, if you have an important message to put through, it is not the time it takes to send the message that is wasted, but the time lost by making mistakes.
The best test there is for an operator's sending is for you to sit down to a practice set and send straight reading matter at a speed of from twenty to twenty-five words per minute, continuing for an hour or an hour and a half. If you have cultivated that clear, easy and correct style of sending that is so desirable, it will take about ten minutes to get your "fist" limbered up, and from then on you can send for a long period of time without experiencing the slightest discomfort. On the other hand, if you have not learned the fundamental principles of correct key manipulation, you will "blow up" after the first fifteen minutes with a hand too jerky, and a wrist too sore to proceed. Try this sometime and see how you make out.
GAINING SPEED.
(Receiving)
Gaining speed in receiving is more a matter of practice than anything else. In this connection it will probably repay you hook up a simple long wave receiver and tune in on the long wave C.W. stations. These stations are transmitting throughout the day, and their steady sending gives one a fine chance for practice in receiving. Some of the stations send very slow and some much faster, thus giving the beginner a wide choice.
When you are able to make a
good clean copy with pencil and paper, try without the aid of the pencil to understand what is being sent. Copy it in your head, so to speak. Then combine the two methods by copying a word, or a group of words before putting anything down on paper. A good operator seldom starts writing a word until the transmission of that word is finished. In this way he can make a much better looking copy and capitalise the proper names as he comes to them. In addition, it is a good thing to know how to copy a station on the "mill" (typewriter) even though this method is rarely used in amateur work.
Learning to copy a weak station through static and interference, and fading is an art in itself, and to master it takes no small amount of experience. This taxes the skill of the operator to the utmost, as it is often necessary to return the receiver and go back and fill in missing letters in the copy without actually losing a word of the signal that can barely be read.
In conclusion, do not make hard work of learning the code. Be optimistic and you will make much better progress. It is true that it takes many hours of concentrated study to acquire perfection, but practice makes perfect. If there is anything that causes downright joy in an amateur's heart it is the pleasure of communicating with an operator who really knows how to send and who knows how to receive. Be one of these.
A FUSE.
Procure a piece of glass tubing, about 1 inch long, and make a mounting for it with four pieces of sheet brass, as shown in sketch. The brass pieces are shaped and fastened to a wood base (or panel) so that their upper ends form a clamp to hold the tube. A very thin piece of tinfoil, about 1½ inches long, is cut 1/8 inch or less in width, the size depending on current which is to pass (found by experiment with ammeter). This is placed in the glass tube and the ends are bent over the edge. A piece of tinfoil is then wrapped round each end, over the ends of the enclosed piece, and pasted to the tube. The fuse thus made is pushed into the spring clamps of the block which are connected in the circuit.
2ED.
LEICHHARDT AND DISTRICT RADIO SOCIETY.
Several important matters were discussed at the 49th general meeting of the members of the Leichhardt and District Radio Society held at the club-room, 176 Johnston St., Annandale, on Tuesday, September 25th. Amongst other things the questions of the establishment of a library, and the draughting of a new syllabus were considered, and these important matters will be finalised at the First Annual General Meeting, to be held on Monday next, October 8th, at 8 p.m.
As this is the most important meeting in the year, a good roll up of members is anticipated, especially as the first year's activities of the Society will be reviewed and, it is expected, a splendid record of steady progress revealed. In addition to members of the society,
all others interested in the development of radio work are welcome to attend the meeting, as the society is anxious for non-members to know the excellent work that has been done in this direction.
Although the society has one of the largest, if not the largest membership of all the numerous clubs and societies now in existence there is still ample room for expansion, and all interested are invited to communicate with the Hon. Secretary, Mr. W. J. Zech, 145 Booth St., Annandale, who will be pleased to reply to any inquiries relative to the activities of the Society.
THE CROYDON RADIO CLUB.
The above club held its usual weekly meeting on Saturday, September 22nd, at the club rooms, "Rockleigh," Lang Street, Croydon at 7.30 p.m., when there was an exceptionally good attendance.
On Tuesday last the club members were the guests of the North Sydney Radio Club, where they were entertained by music transmitted from 2GR. Mr. C. W. Slade, winner of the receiving section of the New Zealand tests gave a short lecture upon the circuit he used for receiving N.Z. All communications should be addressed to the Hon. Sec., G. Maxwell Cutts, "Carwell," Highbury Street, Croydon.
ILLAWARRA RADIO CLUB.
There was another good attendance of members at the 23rd meeting held on 25th September.
In opening the proceedings the Secretary introduced to the members, Mr. Hamilton, President of the Marrickville Radio Club, and extended to him a cordial welcome on behalf of the club, which was carried by acclamation. Mr. Hamilton in responding said he was grateful for the warm reception accorded him, and would like to have members of this club visit the meetings of the Marrickville Club, and assured them of a hearty welcome at any time.
After formal business, a lecture was given by Messrs. F. H. Kirkby and S. Atkinson on the "Principles of Transmission and Reception." Mr. Kirkby dealt with the propagation of spark signals, explaining the nature of the damped oscillations produced by this system of transmission, and the operation of the transmitting and receiving circuits used in this connection, and the part played by the crystal detector and phone in making the received signals audible to the human ear. Mr. S. Atkinson spoke on the arc and valve systems of transmission, and also the action of valve receiving circuits. He gave some interesting details on the arc and the principles of Flemming's two-electrode valve and De Forest's later three-electrode valve and the manner in which they functioned. He also explained the nature of continuous waves and the method of beat reception.
The lecturers then proceeded to give a practical demonstration of transmission and reception by means of two small loop aerials, representing the transmitting and receiving stations. To one loop was attached a valve, battery and transmitting key, and to the other a valve, battery, transformer and a pair of low resistance phones. The loops were placed about 10 feet apart and the first valve was put into a state of oscillation, when the second or receiving circuit was put into action and tuned to resonance with the first, the resultant note in the phones, though weak, could be clearly heard all round the room, and when the key was operated a variation in the tone was noted; the whole representing in effect the transmission and reception of C.W. on a small scale. The directive properties of loops were also clearly illustrated.
The introduction of practical apparatus into the lecture served to make the subject quite clear and understandable to all present (which is not the case with blackboard illustration) and the lecture therefore proved to be most instructive and interesting, and one of the best of a practical nature that the Club has enjoyed to date.
A vote of thanks was accorded the lecturers at the conclusion.
On Saturday, 15th September, the Club had the privilege of visiting the home of Mr. A. B. Hector, Greenwich, and were entertained with a demonstration of his colour music scheme. There was a fair attendance, and all were much impressed with the beauty and harmony of this wonderful combination and the very effective manner in which it was presented. In between items, Mr. Hector gave short talks on energy in its various forms, emphasising the fact that all manifestations of energy were of a common origin—that they were different only in degree but not in kind, all being governed by the same laws. This was particularly applicable to sound and light, because each note of music could be represented by a different colour, as was illustrated in his colour-music and which was the basis of his scheme. Of course to the layman the gorgeous combinations of music and colour and the kaleidoscopic effects produced present to the eye and ear an altogether beautiful picture of the harmony of light and sound, which one would not think possible, and it is only after many performances that one begins to fully appreciate the underlying principles of it all. A thoroughly enjoyable evening was spent, which resulted in much valuable food for thought being gained. At the conclusion a hearty vote of thanks was accorded Mr. Hector.
The next meeting of the Club, to be held at the Club room on Tuesday, 9th October, will take the form of a smoke and social evening. All are invited to attend.
The Secretary (Mr. W. D. Graham, 44 Cameron Street, Rockdale) would be pleased to hear from anyone interested in the club or desirous of becoming a member—particularly from local experimenters.
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Big Reductions in all Radio Material:
- Mullard Ora Valves, each ............... 22/6
- Royal Ediswan, A.R. .................. 22/6
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- W.D. 12 ................................... 42/6
- B.T.H. English Amplifying and Detecting .. 30/-
- Holders for above .......................... 2/6
- Radiotron U.V. 200, or Cunningham ....... 35/-
- Radiotron, U.V. 201a, or Cunningham ...... 42/6
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Aerial Wires, Insulators, Head Sets, Crystals, A and B Batteries, etc., etc.
Pinkstone Crystal Sets, complete with dustproof detector and head set, in polished cabinet ........................................ £4/10/-
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**W. HARRY WILES**
Radio Dept: 60-62 Goulburn St - Sydney
(1 door from Pitt Street.)
MARRICKVILLE AND DISTRICT RADIO CLUB.
The usual meeting of this club was held in the School of Arts, Illawarra Road, Marrickville, on Monday, 24th ult., Mr. W. L. Hamilton occupying the chair.
The business of the meeting was quickly disposed of and the chairman with a few well-chosen remarks introduced Mr. Malcolm Perry to the Club.
Mr. Perry lectured on "How to Experiment," and during the evening he opened up new channels for thought. He stated that he was inclined to follow Dr. Steinmetz in his theory contrary to ether waves.
The lecturer advanced many facts to support his claim that wireless communication was possible by means of the earth channel and not by means of ether waves.
Mr. Perry advised experimenters to be their own transmitters when testing out various circuits. A buzzer in the next room he said was quite suitable for a transmitter. After being satisfied that the set will respond to the buzzer then try it on an aerial.
Mr. Perry's lecture was original and was appreciated very much indeed. He suggested that Marrickville Club should meet Waverley Club in a debate, subject to be chosen.
After thanking Mr. Perry the President announced that Mr. J. W. Robinson, the Hon. Radio Inspector would address the Club on the 8th inst., the subject being "How a Ship's Set Operates."
THE WIRELESS INSTITUTE OF AUSTRALIA.
N.S.W. Division.
The Council of the N.S.W. Division of the Wireless Institute of Australia meets on Thursday, 4th October at the Wentworth Hotel at 7.30 p.m.
The next three general meetings will be on the 3rd Thursday of October; November and December.
Mr. Maclurean's new Q.S.L. cards finish with the figures 73S. This is an A.R.R. League's abbreviation meaning, "Best Regards."
NEWCASTLE AMATEURS.
A recent statement made by a radio official in Sydney, that "Newcastle was about twenty years behind in Wireless" has caused amateurs her to site up and take notice, with the result that they have picked up the twenty years in about two weeks, which was evidenced on Sunday night, when two stations in the district were carrying out "tests" consisting of some high-class musical items.
On Saturday night, Mr. N. P. Olsen commenced at 7.45 p.m., and continued until 10.30, the music being supplied by his Gulbransen Duo-Concerto Player Piano and talking machine. Reports were received from numerous stations within 150 miles radius, and several from stations in Victoria.
On Sunday night the Newcastle District Radio Club made their first test with radiophone transmission, and achieved great success. Great credit is due to the Club as most of the set was made by club members, and their music was received by Mr. Silverthorne at Cockle Creek. The Club which was formed in Newcastle twelve months ago has been steadily progressing with the erection of this set for a few months, the main difficulty being finance, but they have every reason to be pleased with themselves, with the results.
During the evening they carried out successful two-way conversation with Mr. N. P. Olsen, at Waratah.
ADVERTISING BY WIRELESS
A big advertising firm in the city is canvassing for wireless advertisements for a broadcasting concern. Five minutes advertising talks will be given, interspersed with musical items. £3 for each five minutes, we are told will be the charge.
A broadcasting company recently formed in N.S.W. hopes to be operating shortly. An exceedingly fine 12 to 14 hours a day programme will be given.
Mr. A. P. Olsen's very excellent Transmitter and Receiver at Waratah, Newcastle.
At Mr. Renshaw's request we publish the correspondence regarding the coming Trans-Pacific Tests.
This test will be the largest of its kind in the world, and it behoves all experimenters in Australia to enter for it.
COPY.
WIRELESS INSTITUTE OF AUSTRALIA.
Victorian Division.
443 Little Collins St.,
Melbourne,
September 15th, 1923.
Circular No. 4.
Dear Sir,
Following my Circular No. 1 in connection with the Trans-Pacific Tests to be carried out next month I herewith beg to advise you of the following particulars which have been agreed to by America.
The American stations will transmit each evening from the 15th October to 3rd November inclusive, from 5.45 p.m. to 8.45 p.m. Melbourne, and the Australian stations will transmit from the 4th November to 13th November inclusive at the same times.
If you have any stations capable of reaching America will you please advise us as soon as possible, giving the location, input, and call letters, so that provision can be made for them on the Roster now being prepared for our transmitting period.
Yours truly,
(Signed) B. Jermyn Masters
Hon. General Organising Secretary.
COPY.
19th September, 1923.
B. J. Masters, Esq.,
Hon. General Org. Secretary,
Wireless Institute of Australia,
Victorian Division,
443 Little Collins St.,
Melbourne.
Dear Sir,
I am in receipt of your Circular No. 4 following on your Circular No. 1, and in reply have to advise you that all our members are being notified of the arrangements and I am taking steps to have same published in the local wireless magazines in the next issues. I will advise you as soon as entries are received.
Do you want any further particulars from receiving stations onCOPY.
WIRELESS INSTITUTE OF AUSTRALIA.
Victorian Division.
443 Little Collins St.,
Melbourne, Vic.
25th September, 1923.
Circular No. 7.
Dear Sir,
Following my Circulars Nos. 1 and 4, in connection with the Trans-Pacific Tests to be carried out next month my Council wish me to state that, for the period from the 15th October to 3rd November when the American Stations will be transmitting, all local arrangements are to be left in the hands of each respective State Division.
In this State we have decided to have a "free for all" and are giving the greatest publicity to the tests, asking no entrance fee and giving no prizes.
All we ask from the other State Divisions is that all reports of all calls and messages received from America should be immediately forwarded to our official station—3BM (H. K. Love, Esq., Ferncroft Av., East Malvern), for the purpose of sifting and compiling a full report for early transmission to America. It is highly probable that the President of the U.S.A., congressmen and members of the Senate will be asked to send messages to Australia and any station picking up these messages is asked to forward same to our General Secretary, Mr. G. W. Steane, Earle Street, Mont Albert, Vic.) in order that they may be forwarded to the Government through the General Manager of Wireless.
For the period from November 5th to the 13th, in order to prevent overlapping and consequent jambing we are preparing a roster for the transmitters and would ask any experimenter who intends to transmit to America during this period that he should immediately forward us full particulars of his station for inclusion on this roster.
Yours faithfully,
(Signed) B. Jermyn Masters
Hon. General Organising Secretary,
Victorian Division.
Published by W. J. Maclardy, of 58 Murdoch St., Cremorne, for the Proprietors, at the offices of Publicity Press Ltd., 33/37 Regent St., Sydney.
Amateur Stations
VICTORIA.
The following licences for experimental purposes have been issued:
| Licence | Name | Address |
|---------|-----------------------|----------------------------------------------|
| C | Klix, A. H. | Watt Street, Sunshine. R. |
| V | Cumming, W. & Co. | 222 Swanston Street, Melbourne. R. |
| C | Martin, C. G. | 63 Livingstone Street, Ivanhoe. R. |
| C | Ebenreuter, C. | 4 Hart's Parade, Auburn. R. |
| C | Watson, V. G. | 60 Arnold Street, North Carlton. R. |
| C | Wilde, R. | 1017 Punt Road, East Melbourne. R. |
| C | Owen, C. | 22 Kendall Street, South St. Kilda. R. |
| C | Gibson, G. E. | 740 Malvern Road, Armadale. R. |
| C | Gore, J. T. | 32 Harper Street, Northcote. R. |
| C | Chrimes, E. K. | Gerang Gerand, via Dimboola. R. |
| C | Murray, R. M. | 78 Buckingham Street, Richmond. R. |
| C | Holt, O. P. B. | 12 Lyons Street, Footscray. R. |
| V | Spencer, C. J. | Centre Dandenong Road, Cheltenham. R. |
| V | Ray, L. L. | 332 Danks Street, Middle Park. R. |
| C | Strickland, L. J. | 29 Bertram Street, Gardenvale. R. |
| V | Johnson, E. H. | 105 Moorabool Street, Geelong. R. |
| V | Lewis, C. B. | 60 Seymour Road, Elsternwick. R. |
| C | Heuly, M. J. | 23 Chapel Street, St. Kilda. R. |
| V | Hodson, L. J. | 4 Scott Street, Kew. R. |
| C | Heggie, A. J. | 170 Mills Street, Albert Park. R. |
| V | Harvie, M. D. | 19 Stanhope Street, Malvern. R. |
| C | Wallace, H. D. J. | 28 Warburton Road, Canterbury. R. |
| C | Bellion, L. C. | 118 Beavers Road, Northcote. R. |
| V | Jenkins, Alan. | Bridgewater on Loddon. R. |
| C | Simpson, G. L. | 19 Turner Street, East Malvern. R. |
| C | Solomon, L. | 22 Murphy Street, South Yarra. R. |
| C | Dunstan, T. C. | Scotch College, East Melbourne. R. |
| V | Selby, G. N. | Glenbrook Avenue, Melbourne. R. |
| V | Cave, J. D. (Aust. Gen. Electric) | Queen Street, Melbourne. R. |
| V | Lee, A. L. | 130 Page Street, Middle Park. R. |
| V | Grove, H. E. | 35 Logan Street, Canterbury. R. |
| V | Ridoutt, R. D. | 124 Marshall Street, Ivanhoe. R. |
| C | Cavanagh, Wm. | Wattle Cafe, Main Street, Warburton. R. |
| C | Knights, W. D. P. | 82. Harold Street, Middle Park. R. |
| C | Fysh, E. S. | 24 Empress Road, Surrey Hills. R. |
| V | Falconer, C. I. | 13 Norris Street, Canterbury. R. |
| C | Dixon, K. W. | 72 Downshire Road, Elsternwick. R. |
| V | Carrington, K. A. | 226a Burwood Road, Hawthorn. R. |
| C | Robinson, S. G. | 257a Domain Road, South Yarra. R. |
| V | Kay, T. D. | 29 Domain Road, South Yarra. R. |
| C | Biggs, A. | 30 Simpson Street, Yarraville. R. |
| C | Little, W. R. | "El Nido," Wattletree Road, East Malvern. R. |
| C | Dick, W. W. | 21 Ferguson Street, Williamstown. R. |
| V | Horwood, J. F. Jnr | 9 Scott Street, Canterbury. R. |
| C | Pitthouse, A. J. | 91 Ferguson Street, North Williamstown. R. |
| V | Brown, A. A. | Hillside Parade, South Camberwell. R. |
| V | Turner, F. J. | 211 Inkerman Street, East St. Kilda. R. |
| V | Barnes, V. | 3 Horne Street, Brunswick. R. |
| V | Plant, R. R. | 111 The Avenue, Coburg. R. |
| C | Bennett, C. J. | 371 Victoria Parade, East Melbourne. R. |
| V | Woodburn, T. C. | 3 Westbrook Street, East Kew. R. |
| C | Elmalie, J. B. | 312 Beaconsfield Parade, Middle Park. R. |
| V | Davenport, W. K. | 159 High Street, St. Kilda. R. |
| C | Pilkington, P. E. | 86 Bent Street, Northcote. R. |
| V | Nicholls, W. V. | 10 Nelson Street, Sandringham. R. |
| C | Reynolds, J. | 1 off Arthur Street, Montague. R. |
| V | Lawford, V. W. | Renison Street, Mordialloc. R. |
| V | Scott, L. | 111 Armstrong Street, Middle Park. R. |
| C | Westley, A. W. | St. James' Vicarage, Collins Street, Drysdale. R. |
Specialising in Mail Orders
WIRELESS APPARATUS
OF PROVEN QUALITY
VALVES.
| Valve | Price |
|------------------------|-------|
| Mullard Ora | 1 2 6 |
| Ediswan | 1 2 6 |
| Marconi "R" | 1 5 0 |
| Expanse "B" | 1 10 0|
| Radiotron 200 | 1 15 0|
| Cunningham 300 | 1 15 0|
| Radiotron 201a | 2 2 6 |
| Cunningham 301a | 2 2 6 |
| Radiotron W.D. 11 and 12| 2 2 6 |
| De Forest, D.V. 6a | 2 2 6 |
| Cunningham and Radiotron, 5 watt power | 2 10 0 |
PHONES.
| Phone | Price |
|------------------------|-------|
| Murdoch's 2000w | 1 10 0|
| Murdoch's 3000w | 1 12 6|
| Trimm 2400w | 1 12 6|
| Trimm 3000w | 1 19 6|
| Bestone 2400w | 1 12 6|
| N.S.T. 4000 and 8000w | 2 0 0 |
| W.E. 4000w | 2 2 0 |
| W.E. 8000w | 2 5 0 |
| Brandes 2400w | 2 5 0 |
| Baldwin Mica Diaphragm 3000w | 4 18 0|
| Brown's Adjustable Diaphragm 2000w | 5 5 0|
TRANSFORMERS.
| Transformer | Price |
|-------------------------|-------|
| Air-way Audio Transformers, cased | 1 7 6 |
| Air-way Audio Transformers, shielded | 2 2 6 |
| Jefferson Audio Transformers | 2 0 0 |
RHEOSTATS.
| Rheostat | Price |
|------------------------|-------|
| 6 ohm | 5/6, 6/6, 7/6 |
| 20-30 ohm | 9/6, 10/6 |
| Vernier | 10/6, 12/6 |
Colville-Moore Wireless Supplies
10 Rowe Street, Sydney
MARCONI VALVES
(COVERED BY VARIOUS PATENTS)
ASK YOUR RADIO DEALER FOR MARCONI-OSRAM VALVES
'R' Type Valve
A general purposes valve which will perform all the diverse functions of the Thermionic Valve. It will give good results as a detector, high frequency or low frequency amplifier and as local oscillator.
Filament volts 4.0
Filament current 0.67
Plate volts 45/60
NEW REDUCED PRICE
25/-
EACH
Other Types in Stock
Marconi D.E.R.
Marconi V. 24
Marconi Q.
Radiotron U.V. 200
Radiotron U.V. 201A
Radiotron W.D. 11
Radiotron U.V. 199
Radiotron W.D. 12
Sold under full license guarantee by
British General Electric Co. Ltd.
"Magnet House," 154-6 Clarence St., Sydney
Magnet House, 203-7 Murray St.,
Perth.
Sole Agents: Norman Bell and Co.,
Brisbane.
Morris, Hedstrom Ltd., Suva
and Levuka, Fiji.
Cr. Scott and Bolton Sts., Newcastle
Magnet House, 590 Bourke Street,
Melbourne.
And at Wellington, Dunedin and
Auckland, N.Z.
|
Dear Resident:
You are receiving the enclosed information to provide you with the opportunity to discuss a proposed zone change that is being considered within 300 feet of your property.
The proposed change in zoning is in reference to the corner property of West Main and South 1st West formally housing the Rigby Junior High Building. The zone change is only Lot 8 of the 8 recorded lots. The remaining 7 lots as shown on the enclosed map will remain zoned as “school”.
The planning and zoning commission held a public meeting to review the zone change. Minutes of those meetings are included in your packet. The commission has forwarded its recommendation to the city council which will conduct a public hearing with a “too approve.”
The city council will hear comments from the public of either being in favor, neutral or in opposition to the project prior to rendering its final decision. If you wish to comment on the project you are entitled to submit written comments to the council prior to the meeting, attending the meeting and voicing your opinion or you are entitled to submit a written statement during the meeting. Again the public hearing will be held at the Rigby City Hall on Thursday, May 16, 2019 at 7:00pm.
Please read the enclosed information and if you have questions you may either attend the meeting or call the city clerk at 208-745-8111 ex 11.
NOTICE OF PUBLIC HEARING
Application for Zone Change
Per city code 10-3-7: Action by Board/Council, the City of Rigby, Jefferson County, Idaho hereby gives notice that the Rigby City Council will hold a public hearing on the recommendation it received from the Rigby City’s Planning and Zoning Commission for approval of a request to change existing zone from School Zone to Commercial Zone. A commercial zone is characterized by clean, well-lighted streets, ample pedestrian ways and vehicular parking lots for the convenience and safety of the public. Attractive, inviting, and well-maintained shops, stores, offices and other buildings are also characteristic of this Zone.
The legal address associated with this property is: Lot 8, Block 7 of the Original Townsite. The property is an undeveloped parcel of land located at the intersection of West Main and 1st West was previously occupied as the Rigby Jr. High School and is being developed by Northwest Development Company for the construction of a 10,000 square foot retail building.
Project information and a complete copy of the application is available for review at the office of Rigby City office located at 158 W Fremont, Rigby, ID during normal business hours (9:00– 5:00) Mon-Fri.
The public hearing will be held Thursday, May 16, 2019 at 7:00pm at the Rigby City Hall located at 158 W Fremont, Rigby, ID verbal and written comments will be accepted up to and at the hearing. The public is invited to attend this meeting. Be advised that there will be a five (5) minute time limit for anyone providing oral testimony. Mailed comments will be accepted through US Postal Service or emailed or hand delivered to firstname.lastname@example.org if received before 5:00pm Wednesday, May 15, 2019.
Application for a Zone Change
Lot 8, Block 7, Original Rigby
Zone changes require two public hearings – the first before the Planning and Zoning Commission and the second before the City Council (see Public Hearing Procedure). Requests for a zone change shall first be submitted to the Planning and Zoning Commission which shall evaluate the request and determine the extent and nature of the amendment requested. The Planning and Zoning Commission may recommend or reject according to the Notice and Hearing Procedures provided in Idaho Code Section 67-6509.
Prior to granting a zone change, notice and opportunity to be heard shall be provided to property owners or purchasers of record within the land being considered, and any additional area that may be impacted by the proposed change as determined by the Commission.
Date of Application: ___________________________ Date of Public Hearing: ___________________________
Name(s) ________________________________ Public Commercial
Home Phone: __________________________ Business Phone: 208-412-1329
Address: 1980 S. MEDIAN RD STE#10 City/State/Zip: MERIDIAN ID 83642
Address of Property: NWC OF MAIN ST + 1ST ST
RPA 000500 1005A
Applicant owns property □ leases property □ is purchasing property □
Legal Description of Property: ________________________________________________________________
______________________________________________________________
Current Zone: SUP Proposed Zone: C
Our request is based upon the following: ______________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________
Block 7, Original Rigby Townsite
Main Street
Tap to Download
Rezone Ap...pleted.pdf
5.6 MB
Rezone Vicinity Map.pdf
362 KB
narrative rezone.pdf
509 KB
Rezone Narrative Statement
The City of Rigby Comprehensive plan sets forth the community goals in its development. Goal 1 and the Community Design aspect of this plan sets the criteria for the rezone proposal.
We are requesting a rezone of Lot 8, Block 7 of the original Rigby Town site from Public to Commercial. This piece of property was formally that part of the School site where the Rigby Junior High School was demolished. The bus parking is to the west and the maintenance buildings to the northwest.
The existing zoning makeup has commercial designation to the east, Public to the north and west and residential across W. Main Street to the South. Extending the Commercial zoning to the west is a natural progression because of the immediate Commercial zone adjacency and current past use of large scale public facilities.
Sincerely,
Brad Marczuk
Project Architect, Larson Architects. P.A.
Affidavit of Ownership
State of Idaho
County of Jefferson
Jefferson Joint School District 251, residing at 3850 E 300 N, Rigby, ID 83442, depose and say that:
**Description Property**
Jefferson Joint School District 251 is currently the owner of the real property situated at 168 N. 2nd W., Rigby, ID 83442, and legally described as Original Rigby Townsite, Block 7, Lot 8.
**Possession**
We have no knowledge of any facts, which would indicate that our title or possession of the subject real property would be called into question or dispute.
To our knowledge, the title to the subject premises has never been disputed, rejected or questioned.
**Lien and Encumbrances**
No claim or action has been brought to our attention, which questions our title, or right to possession of the property and to my knowledge, no actions are pending against us in any court.
**Purpose**
This affidavit is being made, as we are the rightful owners of this property. Due to a pending sale of the property, we grant our permission to Northwest Development LLC to change the land use zoning from School and Parks to Commercial.
**Oath or Affirmation**
I certify under penalty of perjury under Idaho law that I know the contents of this affidavit signed by me and that the statements are true and correct.
Chad Martin, Superintendent
April 4, 2019
STATE OF IDAHO, COUNTY OF JEFFERON, ss:
Notary Public
My commission expires: 2/26/2021
Staff Report—Northwest Development Companies—Rezone Schools and Parks to Commercial
General
Project Name: Northwest Development Companies
Request: Rezone Schools and Parks to Commercial
Acres: 1.25 acres
Current zoning: Commercial
Location: Lot 8 Block 7 Original Rigby Town Site. Generally associated with 168 N. 2nd West, 260 W Main, and 122 N 2 W
Applicant: Northwest Development Companies
Owner: Jefferson Joint School District 251; Permission with Affidavit of Ownership for Northwest Development Companies
Staff Recommendation: Staff recommends approval with a development agreement.
Assessment and Conclusion
The property is a vacant parcel of land of approximately 1.25 acres where the former Rigby Junior High School used to stand.
The application is for a rezone from School and Parks to Commercial. The Commission should only consider the general standards applicable to a rezone.
The subject site is zoned Schools and Parks, with Schools and Parks to the North and West on the same block, and R-1 with a mix of commercial buildings and homes on the South.
This application for rezone is in accordance with the Comprehensive Plan, and is in character with the neighboring parcels.
| GENERAL PRINCIPLES | |
|-------------------|-----------------|
| Applicable City ordinances | 10-5-D Commercial Zone and Rigby Comprehensive Plan/Map |
| Staff Comments | • Please ask the Planner if you have questions on how the Comprehensive Plan Map is interpreted for this or other applications.
• Commissioners: if there are any items of agreement that should go into a development agreement as part of this rezone, please make a list of those items during yur and include those items in the motion. |
| City Public Works | • No comments |
| Fire/EMS | • No comments |
| Comprehensive Plan | • The Comprehensive Plan Map is attached. The blue commercial area extends West of S 1st West.
• See attached pages from The Comp Plan regarding economic development, economic vitality, cultural amenities, social systems, etc. |
Meeting was called to order at 7:08 p.m.
Present were Ellsworth, Sutherland, Warner and Stowell. Wilder and Cowley were absent with excused absences.
Minutes were distributed previously. Changes were noted: “EMZ” to “EMS”, and “walking” path instead of “waking”. The adjournment time was to be 11:17 p.m., not 10:17 p.m. Stowell made motion to approve minutes with the three corrections; Warner seconded. Motion passed; none opposed.
Changes to agenda: Fox Investments withdrew tonight’s application. Regarding Sweetwater Townhomes, there were 5 or so individuals that said they did not receive the letter of notice for the Final PUD. It was decided that the Sweetwater Final PUD would be recessed until the May 9, 2019, P&Z Commission Meeting.
Planner Parry presented several proposed ordinances, some of which the Commission has reviewed in prior meetings.
Warner asked about when recusing yourself. Parry stated that it is likely okay if a commissioner doesn’t need to necessarily remove themselves from the room; it doesn’t need to be as stringent as previously presented. Deliberating and voting is still not allowed for commissioners who have recused themselves.
Northwest Development Companies rezone from Schools and Parks to Commercial. Parry presented the staff report. The owner is School District 251 with an affidavit of ownership for Northwest Development Companies. Parry asked the commissioners to jot down the development agreement components as the hearing and deliberations are conducted.
Steve Heath, Harper Leavitt Engineering in Idaho Falls, 101 S. Park Avenue, spoke for the applicant. This parcel is where the junior high school was originally. The parcel is contiguous to Commercial by both the Comprehensive Plan Map and the Zone Map. Commissioner Ellsworth reminded the applicant that they will need to work with the Planner to make sure what happens on this parcel is in accordance with the City zoning ordinances. Planner Parry said that at minimum there will be a Standard Development Agreement signed with this zone change. Warner asked if there was a bigger plan for other parcels on this block. Heath stated that he was not aware.
The public hearing was opened at approximately 8:45 p.m. The Chair reminded the three minutes time limit and to please state name and street address. He asked for anyone who would like to come forward.
Randy Waters, 700 S. Woodruff Avenue in Idaho Falls came forward in support, and also representing the applicant tonight. He stated that the intent is to move forward with this parcel. Perhaps in the future there will be other parcels from this City block that will also need a rezone.
Commissioner Ellsworth asked if anyone was in favor, then if anyone would like to speak who is neutral.
Wes Wood, 4323 Nathan Street, Idaho Falls. Wes operates a nearby business. He said this property is a good fit with the Downtown Overlay, and he sees this as a good idea to move forward in the downtown.
No one came forward to testify who was opposed.
Parry told the commissioners that school properties in Idaho cannot go forward with rezones for their own properties by law. Warner asked if there is still a school on the property. Parry said yes, a preschool. Ellsworth asked what the layout of the block is. Parry explained that College Avenue transects the block from north to south, then on each side of this Avenue there is four equally sized lots, totaling 8 lots on the block. Warner stated that there is a minimum amount of vacant space to build a school, and this property is never going to have another school on this property. There was no rebuttal.
The Chair closed the hearing. Sutherland said this zone fits right in with this area. Warner said this is a good fit for commercial; a school will not be rebuilt on this parcel. Warner said he heard no surprising information. Warner moved to recommend approval to rezone to Commercial, and subject to a development agreement as stated by Heath, Parry, and in staff report. He remarked that this is also in accordance with the intent of the Downtown Overlay Zone. Warner also stated in his motion that this parcel is not to include Multiple-Family dwellings. Sutherland seconded the motion. Roll call vote: Ellsworth yes, Sutherland yes, Warner yes, Stowell recused. Motion passed; none opposed.
**Sunrise Estates Preliminary Plat in R-1 with Variances, 325 West 1st South**
Warner recused himself from this hearing given that he has a financial interest in an adjoining property.
Planner Parry presented her staff report. She recommended the Commissioners jot down all elements that should be in the development agreement that will be an agreement between the developer and the City. Parry explained that all variances on any application must only be granted because of the uniqueness of the land. This parcel has twelve sides which makes it unique, and this application also meets the second requirement that the interests of the community are reserved with this application.
Parry said this application comes with her recommendation with the variances. She believes this application represents the highest and best use of this oddly-shaped, 12-sided and vacant parcel.
The three variances requested are:
1. No sidewalks required; they would be purposeless (one of the requirements of a variance)
2. Slightly smaller lot widths (48’ instead of 50’ required by ordinance; a result of the uniqueness of the parcel.)
3. Narrower drive entryway than typical City streets (24’ rather than 40’; a result of the uniqueness of the parcel.)
Map
Legend
EXISTING ZONE - PUBLIC
PROPOSED ZONE - COMMERCIAL
N 1st W & W Main St.
|
Fractionated stereotactic radiotherapy of benign skull-base tumors: a dosimetric comparison of volumetric modulated arc therapy with Rapidarc® versus non-coplanar dynamic arcs
Fanny Martin¹, Florian Magnier², Lucie Berger², Jessica Miroir¹, Emmanuel Chautard³, Pierre Verrelle¹,³, Michel Lapeyre¹ and Julian Biau¹,³*
Abstract
Background: Benign tumors of the skull base are a challenge when delivering radiotherapy. An appropriate choice of radiation technique may significantly improve the patient’s outcomes. Our study aimed to compare the dosimetric results of fractionated stereotactic radiotherapy between non-coplanar dynamic arcs and coplanar volumetric modulated arctherapy (Rapidarc®).
Methods: Thirteen patients treated with Novalis TX® were analysed: six vestibular schwannomas, four pituitary adenomas and three meningioma. Two treatment plans were created for each case: dynamic arcs (4–5 non coplanar arcs) and Rapidarc® (2 coplanar arcs). All tumors were >3 cm and accessible to both techniques. Patients had a stereotactic facemask (Brainlab) and were daily repositioned by Exactrac®. GTV and CTV were contoured according to tumor type. A 1-mm margin was added to the CTV to obtain PTV. Radiation doses were 52.2–54 Gy, using 1.8 Gy per fraction. Treatment time was faster with Rapidarc®.
Results: The mean PTV V95 % was 98.8 for Rapidarc® and 95.9 % for DA (p = 0.09). Homogeneity index was better with Rapidarc®: 0.06 vs. 0.09 (p = 0.01). Higher conformity index values were obtained with Rapidarc®: 75.2 vs. 67.9 % (p = 0.04). The volume of healthy brain that received a high dose (V90 %) was 0.7 % using Rapidarc® vs. 1.4 % with dynamic arcs (p = 0.05). Rapidarc® and dynamic arcs gave, respectively, a mean D40 % of 10.5 vs. 18.1 Gy (p = 0.005) for the hippocampus and a Dmean of 25.4 vs. 35.3 Gy (p = 0.008) for the ipsilateral cochlea. Low-dose delivery with Rapidarc® and dynamic arcs were, respectively, 184 vs. 166 cm³ for V20 Gy (p = 0.14) and 1,265 vs. 1,056 cm³ for V5 Gy (p = 0.67).
Conclusions: Fractionated stereotactic radiotherapy using Rapidarc® for large benign tumors of the skull base provided target volume coverage that was at least equal to that of dynamics arcs, with better conformity and homogeneity and faster treatment time. Rapidarc® also offered better sparing of the ipsilateral cochlea and hippocampus. Low-dose delivery were similar between both techniques.
Keywords: Benign skull base tumors, Fractionated stereotactic radiotherapy, Novalis, Volumetric modulated arc therapy, Dynamic arc therapy
*Correspondence: firstname.lastname@example.org
¹Department of Radiotherapy, Centre Jean Perrin, 63011 Clermont-Ferrand, France
²Clermont Auvergne University, EA7283 CREaT, 63011 Clermont-Ferrand, France
Full list of author information is available at the end of the article
Background
Tumors of the skull base, such as meningioma, pituitary adenoma, and acoustic neuroma, are a challenge when delivering radiotherapy because of their close proximity to organs at risk (OARs) [1–3]. A sufficient dose has to be delivered to the target volume while also sparing the numerous OARs, such as the brainstem, chiasm, optic nerves, cochleas, hippocampus, and healthy brain.
Benign tumors grow without invading the surrounding structures and have a low tendency to undergo metastasis, thus leading to a long life expectancy [1, 4–8]. Generally no prophylactic irradiation of larger regional volumes is needed for these tumors due to their minimal invasiveness. Thus, highly sophisticated techniques are needed to avoid damage and to achieve objectives. Indeed, fractionated stereotactic radiotherapy (FSRT) can be of interest to treat this kind of tumors [9–12]. An appropriate choice of radiation technique may significantly improve the patient’s quality of life after treatment. Non-coplanar multiple dynamic arcs have been often used to achieve high conformity while sparing OARs [2, 13–17]. More recently, volumetric modulated arc therapy (VMAT) has been widely developed. VMAT aims to achieve several objectives at once: (i) to improve sparing of OARs and healthy tissue; (ii) to maintain or improve the same degree of target coverage; and (iii) to reduce treatment time.
The purpose of our study was to compare the dosimetric impact between non-coplanar dynamic arcs (DA) and VMAT using Rapidarc® (RA; Varian Medical Systems, Palo Alto, CA, USA) in terms of sparing of OARs, target coverage, and low-dose delivery to treat benign skull-based tumors using FSRT.
Methods
Patients
Thirteen consecutive patients treated in our institution with FSRT during the year 2013 for benign skull-base tumors, sized >3 cm in diameter, were included in this study. There were three meningiomas, four pituitary adenomas, and six acoustic neuromas. Eight patients had undergone previous surgery and were being irradiated for recurrence. All patients were treated with Novalis TX® (Varian Medical Systems, Palo Alto, CA, USA and Brainlab, Feldkirchen, Germany) using a non-invasive thermoplastic mask plus a localizer box (Brainlab, Feldkirchen, Germany). Positioning of the patients was performed using an ExacTrac® stereoscopic X-ray system (Brainlab, Feldkirchen, Germany) and a robotic couch with 6° of freedom. Treatments were permitted when the setup error was <0.7 mm translation and 0.7° of rotation [10–12, 18].
A planning CT was acquired of 1.25-mm thickness and was matched with the dosimetric MRI sequences of interest using Iplan® TPS, version 4.1 (Brainlab, Feldkirchen, Germany). The gross tumor volume (GTV) was defined using contrast-enhanced MRI and/or other sequences of interest. For non-operated patients, the clinical target volume (CTV) corresponded to the GTV. For operated patients, the CTV corresponded to the GTV +/- the tumor bed. The CTV was then expanded symmetrically by 1 mm in all dimensions to create the planning target volume (PTV). This margin was determined to account for setup errors of the patient, motion within the thermoplastic frameless mask, plus repositioning system Exactrac® [10–12, 18].
A conventional prescription was given: i.e., 52.2 Gy to 11 patients and 54 Gy to 2 patients (1.8 Gy/fraction). The following OARs were contoured: lenses, eyeballs, optic nerves, chiasm, pituitary gland, brainstem, spinal cord, cerebellum, cochlea, hippocampus and healthy brain (which corresponded to the brain minus PTV). The bilateral hippocampus were considered as a single organ and contoured on a T1-weighted MRI axial sequence using the RTOG 0933 hippocampal atlas [19]. Following Gondi et al., a hippocampal avoidance region was generated by expanding the hippocampal contour by 5-mm volumetrically margin [19, 20].
Considering that the geometric uncertainty in the radiotherapy process was <1 mm, according to our defined stereotactic conditions, we did not draw margins around the OARs when to produce planning OAR volumes (PRVs) [21].
Treatment plans
Two treatments plans were created for each case: DA and RA. Experienced physicists independently created each plan. Plans were optimized using High Definition MLC 120 (HD MLC). This had a spatial resolution of 2.5 mm at the isocenter for the central 8 cm and of 5 mm in the outer 2 × 7 cm region.
The planning process consisted of two steps. The first step was to obtain that at least 95 % of the PTV received 95 % of the prescribed dose. The second step was to optimize the OARs sparing without compromising PTV coverage. For the OARs, the following dose constraints were used: for chiasm, optic nerves and brainstem, maximum doses (D2%) <54 Gy; for spinal cord, D2% <45 Gy; for cochleas, a mean dose (Dmean) <30 Gy and a D2% <40 Gy (when feasible) and for lenses, a D2% <2 Gy [19, 20, 22, 23].
Non-coplanar dynamic arcs (DA)
All DA plans were created with arcs of 6-MV photons. Five non-coplanar arcs were used for twelve patients and four for one patient. The final calculations were performed using Iplan® TPS, version 4.1, using a pencil-beam algorithm with a spatial resolution of 2.5 mm. This formed a conformal treatment where the leaf positions were adjusted every 10° using Beam Eye View. The collimator was set at zero for all plans.
Coplanar VMAT Rapidarc® (RA)
All the RA plans were created with two full coplanar arcs for 6-MV photons. The first arc was planned in a clockwise direction and the second in a counter clockwise direction. For all the plans, the collimator was rotated at 30° for the first arc and at 330° for the second arc to reduce the tongue-and-groove effect. The maximum dose rate was set at 600 MU/min. Couch parameters were also added to the plan to account for attenuation of the mega-voltage beams. Final calculations were performed using AAA algorithm on Eclipse® version 10 (Varian Medical Systems, Palo Alto, CA, USA) [24]. The arc optimization algorithm, Progressive Resolution Optimizer used in Rapidarc®, optimized leaf position, dose rate, and gantry speed. Arc amplitudes were contained between 60 and 120°. RA plans followed the International Commission on Radiation Units and Measurements Report 83 recommendations [25].
Quality control
After approval from the radiotherapist and physicist, quality controls were done to compare the calculated and measured radiation doses. For RA, we used a 3D comparison with a Delta 4 PT® system (ScandiDos, Uppsala, Sweden). Plans were accepted when >95 % of the local gamma index values were above the criterion of 3 % and 3 mm [26]. For DA, the plans were verified using a punctual ionization chamber measurement (PinPoint® ionization chamber, PTW, Freiburg, Germany) positioned in a Lucy® 3D QA Phantom (Standard Imaging, Middleton, USA) and were accepted when the gap between the calculated and measured radiation dose was <2 %.
Analyses
The plans analyses were based on dose–volume histogram (DVH) data. For OARs D2% and Dmean were noted according to OAR type. For the hippocampus, we added D40% [19, 20, 27]. For PTV, the parameters of V90%, V95%, and V107% were also picked up as well as D50%, D95%, D2%, D98% and Dmean. Vx% is the volume of the structure receiving a dose ≥ x%. Dx% is the minimum dose that receive x% of the structure volume.
We also calculated two indexes for the PTV: a conformity index (CI) and a homogeneity index (HI). The CI was defined as follows:
\[ CI = \frac{(V95\% \cap VPTV)^2}{(V95 * VPTV)} \] [25, 28]
Where V95 % was a volume within the 95 % isodose and VPTV was the volume of the PTV. The higher values of CI indicated better PTV conformity.
HI was defined as follows:
\[ HI = \frac{[D2\% - D98\%]}{Dmean} \]
where D2 % was the dose delivered to 2 % of the PTV volume, D98 % was the dose delivered to 98 % of the PTV volume, and Dmean was the mean dose to the PTV. Small values of HI indicated more homogeneous irradiation of the PTV.
Statistical analysis was performed using R v2.15.1 (http://www.cran.r-project.org). To compare the doses for the different modalities, non-parametric Wilcoxon tests for paired samples were used. If the associated p-value was less than the significance level (\(\alpha = 0.05\)), it was assumed that there was a statistically significant difference between the compared data sets.
Results
Target coverage (Fig. 1a)
The mean volume of CTV was 23.0 cm³ (range: 3.1–69.5). The mean volume of a PTV was 29.7 cm³ (range: 4.7–135.5). Table 1 summarizes the results of DVH analyses for target coverage. All DA and RA plans achieved 95 % isodose coverage for at least 95 % of the PTV. The mean V95% of the PTV was 98.8 % for RA and 95.9 % for DA (\(p = 0.09\)). V107 % was 0.15 % for DA vs. 0.01 % for RA; \(p = 0.36\). D95 % was superior with RA: 51.3 Gy (97.7 %) vs. 50.0 Gy (95.2 %); \(p = 0.006\). Higher conformity index values were obtained with RA: 75.2 vs. 67.9 % (\(p = 0.04\)). RA led to better homogeneity compared to DA: HI of 0.06 vs. 0.09; \(p = 0.01\).
Organs at risk (Fig. 1b and c)
Table 2 summarizes the results of DVH analyses for OARs. For the ipsilateral cochlea, RA yield the lowest mean dose (Dmean of 25.4 vs. 35.3 Gy, \(p = 0.008\)). For the hippocampus Dmean and D40% were lower with RA (Dmean of 11.4 vs. 17.5 Gy, \(p = 0.006\); D40% of 10.5 vs. 18.1, \(p = 0.005\)). Also, the mean volume of healthy brain that received a high dose (V90%) was 0.7 % using RA vs. 1.4 % with DA (\(p = 0.05\)). Inversely, for eyeballs, lenses, pituitary gland (pituitary adenoma excluded) and chiasm, DA was significantly less irradiative compared to RA; both techniques were below the dose constraints.
Low-dose irradiation (Fig. 1d)
Table 3 summarizes the results of DVH analyses for low-dose irradiation inside the outer contour. There were no significant differences between mean low-dose volumes of RA and DA: respectively, 184 vs. 166 cm$^3$ for V20 Gy ($p = 0.14$) and 1265 vs. 1056 cm$^3$ for V5 Gy ($p = 0.17$).
Discussion
VMAT using RA and non-coplanar DA in FSRT for benign skull-base tumors both provided acceptable dosimetric results. However, RA was more conformal and homogeneous and offered better sparing of OARs. RA also had a faster treatment time.
Target-volume coverage was acceptable for both techniques, with the 95% isodose covering a higher volume for RA (98.8 vs. 95.9%; $p = 0.09$). However, this difference was not significant, probably due to the small number of patients in our study. One limit of this comparison is that (especially for DA, which is a forwardly planned technique), the experience of the planner to some extent determines the quality of
Table 1 Summary of dosimetric results for planning target volumes (PTV) on the cohort of 13 patients
| Indices | Dynamic arc (DA) | Rapidarc (RA) | p-value |
|------------------|------------------|---------------|---------|
| D50 % (Gy) (%) | 52.5 ± 1.2 | 52.6 ± 0.7 | DA vs RA \(p = 0.54\) |
| | 100.0 ± 1.7 | 100.2 ± 0.2 | |
| D95 % (Gy) (%) | 50.0 ± 1.2 | 51.3 ± 0.8 | DA vs RA \(p = 0.006\) |
| | 95.2 ± 1.6 | 97.7 ± 0.9 | |
| D2 % (Gy) (%) | 54.3 ± 1.0 | 53.6 ± 0.8 | DA vs RA \(p = 0.01\) |
| | 103.5 ± 1.5 | 102.1 ± 0.6 | |
| D mean (Gy) (%) | 52.2 ± 0.9 | 52.3 ± 0.7 | DA vs RA \(p = 0.17\) |
| | 99.4 ± 1.2 | 99.5 ± 1.1 | |
| D98 % (Gy) (%) | 49.8 ± 1.9 | 50.5 ± 0.8 | DA vs RA \(p = 0.25\) |
| | 94.9 ± 2.9 | 96.2 ± 1.6 | |
| V95 % (%) | 95.9 ± 5.5 | 98.8 ± 1.0 | DA vs RA \(p = 0.09\) |
| V10% % (%) | 0.15 ± 0.5 | 0.01 ± 0 | DA vs RA \(p = 0.36\) |
| CI (%) | 67.9 ± 8.3 | 75.2 ± 10.4 | DA vs RA \(p = 0.04\) |
| HI | 0.09 ± 0 | 0.06 ± 0 | DA vs RA \(p = 0.01\) |
Data presented the mean doses of all patients ± standard deviation. Bold techniques means that this technique is superior for this organ in particular. \(M\text{V}x\% = \text{minimum } x\% \text{ of prescribed dose received by the volume and } Dx\% \text{ is the minimum dose received by } x\% \text{ of the structure volume, } CI \text{ Conformity Index, } HI \text{ Homogeneity Index}\)
the plan and thus influences the results of this comparative study.
Few published studies have compared DA and intensity-modulated radiotherapy (IMRT) for intracranial tumors; most have used step-and-shoot IMRT and not VMAT [29–31]. Ding et al. [29] performed a planning study in 15 patients and compared 3D conformal radiotherapy, DA, and step-and-shoot IMRT for FSRT to treat brain tumors. They concluded that both DA and IMRT were suitable in most cases, but that IMRT was best for larger tumors (PTV > 100 cm\(^3\)). Wiggenraad et al. [31] compared step-and-shoot IMRT and DA to treat intracranial tumors at various sites, and of different sizes and shapes, including mostly gliomas and meningioma. They found that both DA and IMRT were acceptable in most cases. However, they found that IMRT offered a statistically better mean CI in concave intracranial tumors. CI quantifies the best adaptation to shape the 95% isodose envelope to the exact shape of the PTV [28]. We found that RA provided the best target volume conformity (CI of 75.2 vs. 67.9; \(p = 0.04\)). Similar results have been found when comparing VMAT to DA for different localizations, such as lung and prostate cancers [32–35]. As a result of this better conformity, we found that healthy brain received significantly less high radiation doses with RA (V90% of 0.7% using RA vs. 1.4% with DA; \(p = 0.05\)). This is consistent with the study by Anand et al. [30] who compared RA and DA for recurrent high-grade gliomas that were reirradiated with FSRT. They found a significantly better CI with RA and that RA delivered a significantly lesser dose to previously irradiated high-dose brain volumes, possibly minimizing the risk of radionecrosis.
In our opinion, dose homogeneity is an important aspect of the quality of planning, especially for skull-base tumors where OARs are often located partially inside the PTV. It is important to maintain very good dose homogeneity because intra- and inter-fraction uncertainties may cause serious adverse effects when hotspots occur near these OARs. In our study, the RA plans gave the best homogeneity (HI of 0.06 with RA vs. 0.09 with DA; \(p = 0.01\)). This result is consistent with most studies that have compared VMAT with DA [32–35].
Another important aspect for FSRT for benign skull-base tumors is to spare critical OARs [36]. We found dosimetric constraints were respected for all OARs using both techniques. However, we found significant dosimetric benefits using RA for the ipsilateral cochlea and the hippocampus. This may be explained by optimization: constraints to these OARs were included in the dose calculation and the inverse planification for RA. In our study, Dmean to the ipsilateral cochlea was significantly lower with RA. Dmean was lower of 10 Gy in average, which can be particularly beneficial in some cases.
Several studies have attempted to relate mean cochlear dose to hearing loss and have reported a significant increase in hearing loss when dose received by the cochlea was >45–50 Gy [36–38]. Sparing of normal tissue is also very crucial for the hippocampus because these benign tumors are associated with a long life expectancy. The association between hippocampal dose and long-term neurocognitive function impairment for benign or low-grade adult brain tumors treated with FSRT has been evaluate by Gondi et al. [20]. In their study, biologically equivalent doses, in 2-Gy fractions (assuming an \(\alpha/\beta\) ratio of 2 Gy) that were >7.3 Gy to 40% of the bilateral hippocampus, was significantly associated with long-term memory impairment. A phase-II study (RTOG 0933) has confirmed these results in patients treated for brain metastasis [23]. Hippocampal avoidance, defined here as D100% <9 Gy and Dmax <16 Gy during whole-brain radiotherapy (30 Gy in 10 fractions), was associated with significant memory preservation at 4 months compared to a historical control cohort. Even if dose constraints to the hippocampus are not totally well established, in our study we found that Dmean and D40% were significantly lower with RA (Dmean of 11.4 vs. 17.5 Gy, \(p = 0.006\); D40% of 10.5 vs. 18.1, \(p = 0.005\)).
Table 2 Summary of dosimetric results for organs at risk (OAR) on the cohort of 13 patients
| Organs | Dynamic arc (DA) | Rapidarc (RA) | p-value |
|-------------------------------|------------------|---------------|---------|
| Brainstem | D2 % (Gy) | 47.4 ± 13.6 | 47.1 ± 12.0 | DA vs RA \(p = 0.81\) |
| Spiral cord | D2 % (Gy) | 8.9 ± 5.2 | 1.8 ± 1.9 | DA vs RA \(p = 10–4\) |
| Pituitary gland\(^a\) | D2 % (Gy) | 23.7 ± 19 | 28.6 ± 16.5 | DA vs RA \(p = 0.01\) |
| | D mean (Gy) | 17.3 ± 16 | 22.2 ± 15.4 | DA vs RA \(p = 0.02\) |
| Chiasm | D2 % (Gy) | 32.7 ± 22.5 | 29.3 ± 23.4 | DA vs RA \(p = 0.01\) |
| Hippocampus | D mean (Gy) | 16.7 ± 9.2 | 11.9 ± 5.5 | DA vs RA \(p = 0.006\) |
| | D40 % (Gy) | 16.2 ± 10.5 | 9.9 ± 5.7 | DA vs RA \(p = 0.005\) |
| Ipsilateral cochlea | D2 % (Gy) | 39.4 ± 18.0 | 33.8 ± 13.8 | DA vs RA \(p = 0.008\) |
| | D mean (Gy) | 35.3 ± 18.0 | 25.4 ± 9.7 | DA vs RA \(p = 0.008\) |
| Controlateral cochlea | D2 % (Gy) | 12.5 ± 12.3 | 17.9 ± 8.4 | DA vs RA \(p = 0.05\) |
| | D mean (Gy) | 10.8 ± 11.1 | 15.8 ± 7.9 | DA vs RA \(p = 0.04\) |
| Cerebellum | D mean (Gy) | 8.7 ± 7.0 | 10.7 ± 5.6 | DA vs RA \(p = 0.11\) |
| Ipsilateral lens | D2 % (Gy) | 1.1 ± 1.5 | 3.1 ± 2.2 | DA vs RA \(p = 0.01\) |
| | D mean (Gy) | 0.9 ± 1.3 | 2.4 ± 1.9 | DA vs RA \(p = 0.01\) |
| Controlateral lens | D2 % (Gy) | 1.4 ± 1.9 | 3.2 ± 2.1 | DA vs RA \(p = 0.01\) |
| | D mean (Gy) | 1.1 ± 1.5 | 2.5 ± 1.9 | DA vs RA \(p = 0.01\) |
| Ipsilateral optic nerve | D2 % (Gy) | 26.8 ± 23.1 | 26.3 ± 22.5 | DA vs RA \(p = 0.83\) |
| Controlateral optic nerve | D2 % (Gy) | 21.7 ± 19.9 | 24.0 ± 20.6 | DA vs RA \(p = 0.62\) |
| Ipsilateral eyeball | D2 % (Gy) | 4.1 ± 2.9 | 9.2 ± 4.5 | DA vs RA \(p = 10–4\) |
| | D mean (Gy) | 0.6 ± 0.9 | 1.4 ± 1.3 | DA vs RA \(p = 0.09\) |
| Controlateral eyeball | D2 % (Gy) | 3.3 ± 3 | 10.2 ± 4.9 | DA vs RA \(p = 10–4\) |
| | D mean (Gy) | 0.2 ± 0.3 | 1.5 ± 1.4 | DA vs RA \(p = 0.002\) |
| Healthy brain (i.e brain-PTV)| D mean (Gy) | 6.7 ± 2.7 | 5.1 ± 1.8 | DA vs RA \(p = 0.002\) |
| | V100 % (%) | 0.4 ± 0.8 | 0.02 ± 0 | DA vs RA \(p = 0.02\) |
| | V95 % (%) | 0.9 ± 1.2 | 0.3 ± 0.2 | DA vs RA \(p = 0.03\) |
| | V90 % (%) | 1.4 ± 1.4 | 0.7 ± 0.4 | DA vs RA \(p = 0.05\) |
| | V80 % (%) | 2.2 ± 2.1 | 1.3 ± 0.7 | DA vs RA \(p = 0.06\) |
Data presented the mean doses of all patients ± standard deviation. Bold techniques means that this technique is superior for this organ in particular. \(Nb\) Vx% = minimum x% of prescribed dose received by the volume and Dx% is the minimum dose received by x% of the structure volume. *Pituitary adenomas treatments excluded
In this study, we did not use hard constraints to the hippocampus for inverse planning with RA. It may be possible to lower these doses further with RA using inverse planning and without compromising PTV coverage too much.
Another important issue is comparing the low-dose deliveries of these two techniques. Indeed, some authors support that increasing normal tissue irradiation to low doses might increase the incidence of solid cancers in long-term survivors [39]. In our study, we did not find any significant difference in terms of low-dose volumes between RA and DA. Wiggenraad et al. [31] found similar results; however, they noted that more monitor units were needed with IMRT, even though they did not find a statistically significant difference between IMRT and DA with respect to the volume of irradiated brain tissue.
Conclusions
FSRT, using coplanar VMAT with Rapidarc*, allowed target-volume coverage that was at least equal to that of non-coplanar multiple dynamic arcs while
Table 3 Summary of dosimetric results for low-dose delivery inside the outer contour on the cohort of 13 patients
| Indices | Dynamic arc (DA) | Rapidarc (RA) | p-value |
|------------------|------------------|---------------|---------|
| Dmean (Gy) | 3.9 ± 1.9 | 3.7 ± 1.7 | DA vs RA \(p = 0.41\) |
| V30 Gy (cm\(^3\)) | 100.5 ± 99.7 | 92.6 ± 72.9 | DA vs RA \(p = 0.49\) |
| V20 Gy (cm\(^3\)) | 166.1 ± 158.8 | 184.4 ± 127.0 | DA vs RA \(p = 0.14\) |
| V10 Gy (cm\(^3\)) | 425.1 ± 328.8 | 476.4 ± 226.4 | DA vs RA \(p = 0.09\) |
| V5 Gy (cm\(^3\)) | 1056.0 ± 569.7 | 1264.9 ± 1551.6 | DA vs RA \(p = 0.17\) |
Data presented the mean doses of all patients ± standard deviation. \(Nb\) Vx% = minimum x% of prescribed dose received by the volume and Dx% is the minimum dose received by x% of the structure volume
also offering better sparing of the ipsilateral cochlea and hippocampus. Rapidarc® was also more conformal and homogeneous. Low-dose volumes were similar between both techniques. Treatment time was also reduced with Rapidarc®. In our institution, we now preferentially treat large benign tumors (>3 cm) of the skull base using Rapidarc®.
Declaration
Ethics approval and consent to participate
This work did not require any written patient consent. The local ethics committee of Centre Jean Perrin approved this work.
Consent for publication
Not applicable.
Abbreviations
CI: conformity index; CTV: clinical target volume; DA: non-coplanar dynamic arcs; DVH: dose-volume histogram; FSRT: fractionated stereotactic radiotherapy; GTV: gross tumor volume; HI: homogeneity index; IMRT: intensity-modulated radiotherapy; OAR: organ at risk; PTV: planning target volume; RA: Rapidarc®, VMAT: volumetric modulated arc therapy.
Competing interests
The authors declare that they have no competing interests.
Authors’ contributions
FMartin conceived the study, collected the data and drafted the manuscript; FMagnier participated in the study design and interpretation and performed treatment plan analyses; LB participated in the study design and interpretation and performed treatment plan analyses; EC performed the statistical analyses and participated in interpretation; JM participated in the study design and interpretation; PV participated in the study design and interpretation; ML participated in the study design and interpretation; JB conceived the study, participated in interpretation of the data and drafted the manuscript. All authors read and approved the final manuscript.
Acknowledgements
The authors wish to thank Fanny Renzi and Xavier Sudre for their assistance with data collection and Fabrice Kwiatkowski for his help with statistics.
Availability of data and materials
The datasets supporting the conclusions of this article are included within the article.
Funding
This work did not receive any specific funding.
Author details
1Department of Radiotherapy, Centre Jean Perrin, 63011 Clermont-Ferrand, France. 2Department of Medical Physics, Centre Jean Perrin, 63011 Clermont-Ferrand, France. 3Clermont Auvergne University, EA7283 CREat, 63011 Clermont-Ferrand, France.
Received: 23 February 2016 Accepted: 9 April 2016
Published online: 18 April 2016
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38. Bhandare N, Jackson A, Eisbruch A, Pan CC, Flickinger JC, Antonelli P, Mendenhall WM. Radiation therapy and hearing loss. *Int J Radiat Oncol Biol Phys*. 2010;76(3 Suppl):S50–57.
39. Hall EJ. Intensity-modulated radiation therapy, protons, and the risk of second cancers. *Int J Radiat Oncol Biol Phys*. 2006;65:1–7.
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INSIDE: NEAL McCOY, LARRY BYROM, ROBERT BYRNE
On The Cover
GEORGE STRAIT
Headin', heelin' and a horse named Squat Low...
Features
FAN FAIR
A wrap-up of Country Music's most popular fan festival
BACK TO BACK: NEAL McCOY
What do great athletes and entertainers have in common?
CMA AWARDS:
TICKET INFORMATION
Keep an eye on your mailbox!
LINER NOTES: LARRY BYROM
From jam sessions with Jimi Hendrix to jammin' on Music Row
MARKETING: SIMMONS RESEARCH ADDS CONCERT ATTENDANCE
Facts and figures about Country concerts
INTERNATIONAL:
WORLDWIDE MEDIA BLITZ
New products to sell Country Music around the globe
I WRITE THE SONGS:
ROBERT BYRNE
A songwriter grows up
TALENT POOL: RAY PENNINGTON
Your full-service label executive!
UP CLOSE:
NITTY GRITTY DIRT BAND
A lean, mean, acoustic machine
Departments
BEHIND THE LENS
UPDATE: Awards, Media, New Companies, Newsline, On The Move, Signings
FACTFILE
DATEBOOK
GEORGE STRAIT
is one of the entertainment industry’s greatest enigmas. Larger than life on record, in concert and even in the movies (he starred in “Pure Country”), he’s managed to maintain an intensely private life despite the magnitude of his celebrity. The media grapevine contends that, on those rare occasions when George does sit down for an interview, he’s fairly tight-lipped. But there are a few things he’ll open up about: music, acting and - if you ask the right questions - team roping.
**CU:** What makes a good header, and what makes a good heeler?
**GEORGE:** A lot of practice and good horses! It takes a lot of athletic ability to do either one, but a good header can usually heel pretty good and vice versa.
**CU:** After the header ropes the calf’s head, the heeler has to maneuver his rope around its flying hoooves, catching one in the loop. Which are you better at?
**GEORGE:** Neither one! We’re talking honestly now. I’d like to say I was really good at one of them. I’d rather heel but I really struggle with it. It’s harder for me and for most people than heading. There’s a lot more time involved in that, but there’s also a lot to heading. You don’t just go out there and throw a rope around a steer’s horns. It’s team roping so both partners have to work together to make a successful run.
**CU:** How important is the horse in this equation?
**GEORGE:** The horse is very important. If you’re not riding a good horse, you’re pretty handicapped no matter how good a roper you are. That’s why professionals are always looking for good horses. My favorite horse, the one I rope on all the time, he’s really nice. A real good, little gray horse. He’s a quarter horse, about 10 or 11 right now. I’ve had him since he was 5. I call him Squat Low. His registered name is Blue Bailey or something like that.
“I DON’T HAVE ANY DESIRE TO WRITE A BOOK. MY PRIVATE LIFE, I’VE ALWAYS FELT, IS JUST THAT.”
**CU** Doesn’t have the same zing as Squat Low.
**GEORGE:** No, it doesn’t! He’s a little horse, probably less than 15 hands, and he’s really stout and short. The name (Squat Low) fits him pretty good.
**CU:** You did some roping in “Pure Country”. What did you want to accomplish with the movie?
**GEORGE:** I wanted to see if I could do it. I thought I could do it and not come off looking like...well, I’m sure I did look like a beginner but not so much that people would laugh at it. I think I accomplished that...hopefully. From the feedback that I got, I think I did.
**CU:** What would it take for you to do another movie?
**GEORGE:** I would rather do a different kind of character. ‘Cause if I do another one, I want to see if I can do something else. To do a “Pure Country II” would not be much of a challenge because I’ve continued on page 27
The Tennessee State Fairgrounds was teeming with non-stop excitement during the 23rd International Country Music Fan Fair, held June 6-12. A capacity crowd of over 24,000 Country Music lovers enjoyed the sights and sounds of the annual event, meeting their favorite entertainers and discovering talented newcomers to the Country Music scene. Here are just a few of the highlights:
Tennessee Governor Ned Ray McWherter greeted fans during opening ceremonies with open, if rain-drenched, arms. "You're wet, you're loyal, you're welcome," he said. From the exhibit halls to the stage shows, fans had plenty to see at Fan Fair.
For the second consecutive year, top honors in the booth contest went to Alan Jackson, who signed autographs from a Mayberry-themed booth complete with a stand-up of Barney Fife. Second place went to John Anderson, whose booth was a reproduction of a small house and had finishing touches such as lemonade, apple pie, swings, rocking chairs and a picket fence. Marty Brown's bait shop, Doug Stone's cave and Billy Dean's 'men'll be boys' booth - themed after his new lp - tied for third place honors.
Holly Dunn's booth was like stepping into a 1940s Roy Rogers' movie, and Lee Roy Parnell's booth displayed the panoramic beauty of the Southwest. Michelle Wright signed autographs from a Spanish mission, and Brooks & Dunn corralled their fans in a giant horseshoe. Martina McBride's fans found her outlined by a gilt-edged picture frame, and John Michael Montgomery headed to the barn for his autograph sessions. Carol Hasty, his fan club president - and mother - reported that the booth was a popular place to be. "We've gotten to meet so many people, fan club members. That's great because they write you letters, and we actually get to meet them. I've really enjoyed that." So how many people stopped by the Atlantic artist's booth? "I have no idea!" Carol responded. "When John Michael was signing, it was unreal!"
Toby Keith and Daron Norwood hobbled around Fan Fair on crutches. Keith, recuperating from a
continued on page 6
Billy Dean excites the crowd with his blockbuster performance.
Giant Records’ singer Daron Norwood greets labelmate Deborah Allen.
Lorrie Morgan hails some of her fans.
Tanya Tucker is ready for anything in her Fan Fair booth.
Chris LeDoux (left) welcomes new labelmate Willie Nelson to the Liberty Records show.
Ricky Skaggs has long been a Fan Fair favorite.
broken ankle, signed autographs at his 'Bedrock' booth, complete with fan club members dressed as 'Betty' and 'Wilma', and also performed on the Mercury and Polydor Records show. Norwood suffered a bone contusion during a show finale in Wichita Falls, Texas shortly before Fan Fair, but nonetheless turned up numerous times in various booths to meet fans. He also appeared on the Giant Records show.
Arista singer Dude Mowrey had his own booth for the first time. "I'm having the best time I've ever had here. It's been really cool 'cause every year since I was 15, I've been in other people's booths, my record label's booth. But this is the first year I've had my own booth. Just to see a line up there and to see the fans - they're so dedicated. This week's been a really good high for me. I've really enjoyed it."
Doug Stone also had long lines at his booth. "During the year we're in such a dead heat and run, and when I'm done with a show, I'm spent. I'm not good for anything after a show. I don't sign autographs that much. This gives me a chance to do autographs. I get to sleep at night, come in here and have a good time."
Almost 100 Country entertainers performed on the Fan Fair stage. Willie Nelson made a surprise appearance at the Liberty Records show, performing with Asleep At The Wheel. Label president Jimmy Bowen announced that the legendary 'red-headed stranger' is the newest addition to Liberty's roster. Also on the Liberty show, John Berry made his anticipated return to the stage following last month's brain surgery, performing his number one hit, "Your Love Amazes Me".
Linda Davis' reception during her appearance on the Arista Records show skyrocketed when duet partner Reba McEntire joined her to sing their Grammy-winning hit, "Does He Love You". During the Curb Records show, Tim McGraw was joined by Mark Lindsay, who gained fame as the lead singer of Paul Revere & The Raiders in the '60s. The pop star contributed some vocal assistance to McGraw's runaway hit "Indian Outlaw".
Sammy Kershaw and Davis Daniel gave the grandstand audience something extra to remember during the Mercury and Polydor Records show. Kershaw tossed his guitar into the crowd, while Daniel threw two instruments to the clamoring audience.
Dallas Cowboy quarterback Troy Aikman watched John Michael Montgomery's performance on the Atlantic Records show with great interest before heading to a video shoot featuring Shenandoah.
R&B legend Sam Moore, one-half of the famed Sam & Dave, became a Fan Fair mainstay, recounting his recording session with Conway Twitty ("A Rainy Night In Georgia") to countless media representatives in the press center. In less than a week, he became a Fan Fair convert. "This is the best marketing situation I have ever seen in the music business," he said. "That covers jazz, gospel. This is the best. Now I understand why the loyalty...and why the Country people work as much as they do. And they get such a long longevity out of what they do. From my side of the world, they don't do this. Someone asked me why they don't do this (in other formats of music), and I said, 'Because they're stupid.' This is the smartest and the best. I'm going to do this again. I'm just going to come out and hang out. I can't believe how you've got shows. You've got the biggest of the biggest stars. Boy, do I like it!"
He's not the only one. Fan Fair registrants from across the U.S. revelled in the sights and sounds of the event. "The best deal of all was John Michael Montgomery. He stood on his table and was waving to everybody," enthused Martha Leath of Cumberland, MD. "He talked to everybody when you walked through. Now my Fan Fair is complete."
Mike and Donna Castelon from Freedom, CA were first-time Fan Fair attendees. They spent most of their time getting autographs. "We got Waylon Jennings, which pretty much made the whole trip," Mike said. "We're going to try to come back every year. As long as we get on a mailing list, every year we're going to bring more and more people."
Nancy Swartout of Alexandria, VA was enjoying her second Fan Fair. She spent most of her time at the shows. "The way they've got the photo line is great. Everybody just keeps going around in circles. (The performers) sing enough songs where you can get around and then get the next person."
Fan Fair, sponsored by the Country Music Association and the Grand Ole Opry, once again had a major economic impact on Nashville, estimated at $8.83 million by the Nashville Convention & Visitors Bureau.
The 24th International Country Music Fan Fair takes place from June 5-11, 1995. Tickets go on sale in January.
Tim McGraw dodges the raindrops to get acquainted with some of his fans.
Travis Tritt heats up the Fan Fair stage.
Patty Loveless signs an autograph for one of her admirers.
Vince Gill relaxes behind his booth - minus his shoes.
Lari White lights up the stage during the RCA Records show.
Morty Stuart brings some "Love And Luck" to the Fan Fair stage.
Neal McCoy gives an interactive performance during the Atlantic Records show.
As an 8-year-old boy growing up in Jacksonville, Texas, Neal McCoy saw Michael Jackson performing on television, and as he says, "that experience started the fire in me."
"I was taken in by the fact that there was someone my age singing and dancing on television. I thought, 'Boy, what a neat thing. He probably doesn't even have to go to school. He's just hanging out and having fun.' But being from a small town like Jacksonville, I came back to reality. I knew that I would never have the opportunity to get into the music business."
But years later, Neal has made his way to Nashville and is riding high on the success of his third Atlantic album, NO DOUBT ABOUT IT. So far, the title cut and the follow-up release, "Wink" have both reached the number one spot.
Neal spent his youth singing in school and church choirs and in a variety of quartets and musicals. But it wasn't until he won a talent contest in 1981 at the Belle Star nightclub in Dallas that he thought he might have a chance of fulfilling his musical dream. It was there that he met Charley Pride and signed with Pride's management and booking representatives. He spent the next few years opening for Pride and eventually landed a deal with Atlantic Records.
So what does Neal think made this album finally click?
"There's so much involved in it. In my opinion, this is a much better album. Barry Beckett, who produced, has a real feel for what I do. I listen to swing, and I like bluesy-type stuff.
"Secondly, more time was spent in song search for this album. We found material that fit me better and fit my live show better. It was stuff that I would feel more at ease singing in the studio."
Neal's hard work on stage has definitely paid off. He's known for his outrageous antics and the spontaneity of his shows. And he says much of what he learned about performing came from his years with Charley Pride.
"I watched him. He was so great at making people feel at ease. It's not a secret. Everybody knows that, but there are only a few people that are naturals at it. Some people are natural singers and natural writers. Some are natural entertainers. I think that's what I am. I hope I am.
"I let my band decide a lot of times what the first song is going to be. I just ask them what they want to do, and we do it. It's spontaneous from there. We don't have a list, we just wing it. It gives you the opportunity to feel the crowd out. It keeps it fun for the band.
Neal also has his own ideas about what separates a good performance from a great performance.
"I like people who give their all from an entertainment point of view. They don't hold back. I honestly believe I have never slighted any audience. We played in California once for 13 people. Whether it's 13 people or the 80,000 you get at June Jam, I try to give as much as I can every show.
"I like seeing that in people. It's just like an athlete. The great athletes give it their all every play and every minute that they're in the game. That's what separates them from the real good ones. Even if they're not the most gifted or talented, that effort makes up for it a lot of times. It's the same way in this business."
Along with his success in the music business, Neal and his wife of 13 years, Melinda, are celebrating the recent birth of a son, Christian Swayde. The couple also has an 8-year-old daughter, Miki.
They first met when Melinda and her mother came into the shoe store where Neal was employed at the time. Then Melinda got a job in the same mall where Neal was working.
"I finally got word to her that I thought she was real pretty. I saw her at a disco and asked her to dance. She said no. But it was because she had just come off the dance floor, and it was a slow song. She didn't dance slow dances with people she didn't know. When a fast song came on, I asked her again, and she said yes. I gave her a couple of those old John Travolta moves. There I was, 'Saturday Night Fever' written all over me.
"It's very rewarding to us that we're finally having some success. The neat thing about this relationship is that she married me when I was selling shoes. She didn't know that I sang. She actually married me because she liked me."
Neal says Melinda is supportive, but she has no desire to be involved in the music industry herself.
"I've tried to get her to be in videos, but she doesn't want anything to do with it. She says, 'You sing. That's what you do. I'll do everything else - pay the bills, fix the house, while you're out of the house.'"
So like his boyhood influence Michael Jackson, Neal has finally gotten a chance to live his dream. Though he realizes that it takes a lot more hard work than he could have imagined as a child, he also believes the most important thing is to enjoy yourself.
"I have a lot of fun in life. It's been said a million times that you only live once. That's true. It's not a very long time that we have here, and as you get older the time goes even faster."
CMA AWARDS VOTING DEADLINE
The second ballot for the 1994 CMA Awards will be mailed to all individual CMA members on July 8. After completing your ballot, mail it in the return envelope provided so it is received by Deloitte & Touche, official accounting firm for the CMA Awards, by the August 10 deadline. Members of the CMA staff do not participate in the voting process, nor do they handle or tabulate ballots.
IMPORTANT
All ballots must be received by 5 p.m. on August 10 in order to be tabulated.
Finalists for this year's CMA Awards will be announced on August 16.
CMA AWARDS TICKET INFORMATION
Keep an eye on your mailbox - ticket order forms for the 28th Annual CMA Awards were mailed to CMA's sterling and organizational members on June 30. The gala event featuring Country's Music's most popular entertainers will be broadcast live on CBS Television from Nashville's Grand Ole Opry House on Wednesday, October 5.
If you have not received your order form by July 15, contact CMA's Special Projects Department at (615) 244-2840 without delay.
While there is no deadline for ordering tickets, please be aware that the seating process begins on August 17. All orders received after that date will be accommodated on a space-available basis. Groups and/or individuals wishing to be seated together must return their orders in the same envelope with their request indicated on each individual order form.
Order confirmations will be mailed by August 31.
Remember: tickets to the CMA Awards are for use by CMA members only. Tickets to the private event are not sold to the general public and CMA members are prohibited from selling their tickets or using them for contest giveaways.
Please note that only individual members in the new Sterling Member category will receive ticket order forms.
REMINDER
Have you returned your Sterling Membership selection card? It's not too late to do so. Remember, if you want to purchase tickets to the 1994 CMA Awards, you MUST be a Sterling Member. Contact CMA's membership department at (615) 244-2840 or (800) 788-3045 if you have any questions regarding the status of your CMA membership.
As a former member of the legendary band Steppenwolf, Larry Byrom recalls jam sessions with Jimi Hendrix and playing shows with Janis Joplin. But these days he’s traded life as a rock ‘n’ roller to become one of Nashville’s busiest session guitarists.
“My family was blown away when I moved. I was only 18. There was a newspaper article about me - ‘Local Boy Goes Big In Hollywood’.
“Experiencing fame at such an early age was really mind-boggling. My youth is just a whirlwind of what I thought were really cool people.”
Larry recalls performing a show at Shea Stadium with Steppenwolf. Paul Simon, Creedence Clearwater Revival and Janis Joplin were also on the bill.
“Janis Joplin was crazy. Just before we went on, she was in the hallway with a bottle of Southern Comfort in one hand. She was out of it. She said, ‘Give ‘em hell, boys.’ She was going up after us, and I don’t see how she did it.”
He also remembers a jam session with Jimi Hendrix.
“We were both dating the same girl. Her name was Chris, and she was a very rich, Beverly Hills sort of girl. I went out one night to Jimi’s house with her.
“I got to talk to him a little bit about where he was coming from. He was a very aloof sort of person, very quiet, very shy. Nothing like what his music projects. One thing a lot of people don’t know about Jimi is that he was ambidextrous when it came to guitar. He could play it right-handed or left. Jimi was a monstrous player.”
After four years, Larry left Steppenwolf in 1972 and returned to Alabama.
"I came back to Muscle Shoals and got into the studio work with Barry Beckett and some other people. They were gracious enough to let me play on some demos, and I worked my way up through the ranks there."
Larry's experience with Steppenwolf actually taught him a lot about session work.
"I had a real opportunity to work in the studio as many hours and as many days as I wanted to with them. I had a lot of time to experiment and learn about what miking positions can do and acoustics and different sort of equipment."
He believes some lessons can only be learned through years of experience.
"If the session goes smoothly, it's because everybody's having a good time, not because they're doing what's right or playing what's right. I think the attitude and the feeling in the air is every bit as important as the music you play.
"We were criticizing things. But there was also a message underneath - it can work."
"That's what being a session player is - keeping your attitude right. Knowing how to hang."
With such a diverse career, what does Larry think about the course that today's artists are taking?
"Rock today is diluted. I think that there's too much negativity in the lyrical content.
"I came from a group that was considered one of the most political bands in the world. Steppenwolf had a lot to say about the establishment, about the wild generation, black leather, go-get-em kind of bikers. But we never talked about the world being in such sad shape that there's no hope for it.
"I appreciate the efforts of a lot of new groups in trying to make it garage band raw and staying on a level with the kids. There's a lot to be said for that. But the things they say need to be more responsible.
"We made statements about the political situations in America dealing with the war. We wrote songs about Vietnam vets - how we should have gotten out of Vietnam. We wrote songs about the political system that involves so much hoopla that it doesn't, at the time, it wasn't really dealing with existing problems on a level of everyday people.
"We were criticizing things. But there was also a message underneath - it can work."
"I'm so glad that Country's come to the place that it has. It's real-life stories. It's not always happy, but it's not negative. Seeing its popularity explode has renewed my faith in the country's musical tastes. I'm happy. The music has been really good to me."
- Mandy Wilson
Alan Jackson, who less than seven years ago worked in the mailroom at TNN: The Nashville Network, claimed five awards at the 1994 "TNN MUSIC CITY NEWS Country Awards", broadcast live from Nashville's Grand Ole Opry House on June 6. The Arista singer/songwriter was named both Entertainer and Male Vocalist of the Year as well as winning Album of the Year for A LOT ABOUT LIVIN' (AND A LITTLE 'BOUT LOVE), Single and Video of the Year, both for "Chattahoochee".
While accepting the latter, he said, "I want to thank my daddy. When I was 6 years old, I had four older sisters, and they all skied great...and I hadn't learned yet. Daddy took me out there when it was calm and taught me how to ski."
Minutes later, after sharing Vocal Collaboration honors with Linda Davis for "Does He Love You", Reba McEntire quipped, "We're gonna learn how to water ski next week. Alan's winning way too many awards!"
For the first time in history, both the Minnie Pearl Award and the MUSIC CITY NEWS Living Legend Award were presented to the same person - Dolly Parton. The former award is bestowed for lifetime achievement for extraordinary humanitarian and community commitment. The MUSIC CITY NEWS Living Legend Award honors the living performer who MUSIC CITY NEWS readers feel has made the greatest contribution to Country Music over a career spanning 25 years or more.
Hosted by Michelle Wright, Waylon Jennings and Billy Dean, the live broadcast honored winners in 16 categories, including Lorrie Morgan - Female Artist of the Year, Brooks and Dunn - Vocal Duo, Sawyer Brown - Vocal Band of the Year, The Statlers - Vocal Group of the Year, Paul Overstreet - Christian Country Artist and Ray Stevens, named Comedian of the Year for the ninth consecutive time.
When accepting Instrumentalist of the Year honors, Vince Gill remarked, "I was a musician long before I started singing, and I started singing only because somebody had to."
John Michael Montgomery was named Star of Tomorrow and said with a touch of understatement, "I tell you what, it's been a pretty good year for me...Gosh, I hope I'm around for a little while longer cause this is getting real fun."
Waylon Jennings, Michelle Wright and Billy Dean host the 28th annual "TNN MUSIC CITY NEWS Country Awards".
Sawyer Brown was named Vocal Band of the Year for the second time.
Alan Jackson takes home an armful of TNN MUSIC CITY NEWS Country Awards.
Since subscribing to the Simmons Study of Media & Markets in 1990, CMA has been able to provide qualitative data on Country radio listeners, their buying habits, demographics and more.
Over the past several years, CMA has received numerous requests for information on Country Music concert attendance, which was not a part of the study.
With the desire to fulfill those requests, CMA urged the Simmons Market Research Bureau to add concert attendance to its annual study in 1993. Now, for the first time, CMA can provide its members with statistical Simmons data on concert attendance, which can be broken into demographic segments, radio listenership, buying preferences and more.
As expected, Country concert-goers listen to Country radio more than any other format. More significant is the fact that Simmons data demonstrates that attendees of Pop/Rock and other types of concerts also choose Country radio for their listening choice.
Simmons data can be used to compare age breaks of Country Music concert attendees with the total U.S. population. For example, of all Country Music concert attendees, 23.1 percent are in the 25-34 year age demographic. Notably, only 19.7 percent of the total U.S. population falls within that age break.
Contact CMA's marketing department at (615) 244-2840 for more information on Simmons Market Research data.
---
**Pop/Rock/Other Concert Attendees**
*Target Demo: Adults 18+*
| Format | Percentage |
|-------------------------|------------|
| COUNTRY | 38.3% |
| AOR | 37.8% |
| CHR/ROCK | 34.1% |
| NEWS/TALK | 33.5% |
| ADULT CONTEMPORARY | 33.2% |
| GOLDEN OLDIES | 19.4% |
| CLASSIC ROCK | 16.3% |
| RELIGIOUS | 12.2% |
| ALL NEWS | 11.6% |
| URBAN CONTEMPORARY | 10.9% |
*Excludes comedy, classical, dance, live theater and country. radio reach of top 10 formats - 5-day cume - 1993 Simmons
CMA is a paid subscriber to SMRB. Approval is required prior to any release of this information to the media.
---
**Age Breaks**
Country Music Concert Attendees vs. Total Population
1993 Simmons
Through CDs, videos and magazines, the international offices of major record companies are introducing the most aggressive marketing and promotion plans ever to give both industry decision-makers and consumers a fresh look at all the great music being produced in Nashville. Following are three current examples underway overseas.
The timely and well-written liner notes by Trevor Dann help educate international listeners about the changes in Country Music over the past several years. Writes Dann, "All prejudices should be left outside with the cowboy boots. Sure, some of these singers wear Stetsons and the occasional bolo, but the 'western' tag was dropped long ago. You won't find any Urban Cowboy rhinestones or home-on-the-range, giddalong-liddle-dogies hokum here. This is all relevant and modern, focusing on the best Country Music has always done."
Testifying to that description are tracks by Mary Chapin Carpenter, Rodney Foster, Nanci Griffith, Bruce Hornsby & The Range with the Nitty Gritty Dirt Band, Vince Gill Wynonna, Clint Black, Dwight Yoakam, Steve Earle, Suzy Bogguss, Alan Jackson, Rodney Crowell, Rosanne Cash, Joe Ely, Jimmie Dale Gilmore, Carlene Carter, Emmylou Harris, Gram Parsons, Elvis Costello & The Attractions, Hal Ketchum, John Prine, the Byrds, Patsy Cline, Hank Williams Sr., Merle Haggard, Johnny Cash, Jerry Lee Lewis, Guy Clark, Junior Brown and Hank Williams Jr.
In an ambitious print marketing move designed to introduce its Nashville-signed artists to European consumers, MCA International has launched a new color publication called NEW AMERICAN MUSIC, which features articles about many of the label's artists, as well as information about CMT-Europe.
London-based MCA International Senior Vice President Stuart Watson reports a circulation of 250,000 for the first issue, which was provided to record and specialty stores, Country Music clubs, concert-goers, a vast MCA music consumer database and dealers of Ford automobiles and trucks, which provided key initial advertising support. Watson said, "We received over 150 letters from readers in the first week," adding that strong advertising interest will allow MCA International to be "gearing up for the next issue with a circulation of 1 million."
Spearheading its commitment for breaking Arista, BNA and RCA artists from Nashville, BMG International has produced NOW...COUNTRY! ARTISTRY & EXCELLENCE, a hit compilation provided to delegates at BMG's recent world meetings in Venice, Italy for promotional purposes. Also part of the package is a 12-song, 44-minute videocassette developed with the assistance of CMT-Europe.
The 21-track CD features artists across the three label rosters, including works by Alan Jackson, Martina McBride, Rodney Foster, Pam Tillis, John Anderson, Michelle Wright, Clint Black, Restless Heart, Lee Roy Parnell, Jamie O'Hara, Steve Wariner, Pam Tillis, BlackHawk, Linda Davis, Doug Supernaw, Brooks & Dunn and Lorrie Morgan.
An accompanying booklet with the CD helps shed light on the evolution of Nashville music over the past 66 years since Ralph Peer led the first-ever recording sessions. Quoting musicians such as Bernie Leadon and Elton John, the preface is sure to stimulate sampling by industry professionals. Appropriately, the production serial number on the collection is named "Cat No. Play Me 001."
1. Billy Ray Cyrus takes a cue from director Marc Ball while filming "Talk Some", his latest Mercury clip. Carl Perkins makes a special guest appearance in the video, which was produced by Anne Grace for Scene Three.
2. New Giant duo Orrall & Wright (right) headed for Marathon Key, FL to shoot their debut video, "She Loves Me Like She Means It". Director Roger Pistole oversaw the action for Studio Productions.
3. New Warner Bros. artist Greg Holland gets a hands-on warning in his new video, "Let Me Drive". The clip was shot by Film Xero in New Mexico.
4. John Michael Montgomery performs on the wing of a B-52 in his new "Be My Baby Tonight" video. The Atlantic clip was shot at Davis-Monthan Air Force Base in Tucson, AZ by Scene Three director Marc Ball. Anne Grace produced the clip.
5. Marty Brown (right) returned to 328 Performance Hall, where he gave his first Nashville performance, to shoot his new "Cryin', Lovin', Leavin'" video. John Lloyd Miller directed the MCA clip. Anne Grace produced for Scene Three.
Tracy Lawrence became the first Country singer to incorporate Dolby Surround sound technology into a music video in his current "Renegades, Rebels and Rogues" clip. With a stereo television and decoder on the home stereo system, consumers will be able to hear in a 3D environment. Directed by Marc Ball and produced by Anne Grace for Scene Three, the Atlantic clip is a non-stop action thriller. Time traveler Lawrence goes back to the old West to rescue a bank clerk, played by his wife Frances.
Marty Stuart performs in an empty juke joint in his "Love And Luck" video. Director John Lloyd Miller shot the MCA clip at an old depot in Franklin, TN and in various locations around Leipers Fork, TN. Selby Miller produced for Scene Three.
Arista's Diamond Rio travelled to Santa Fe, NM for their new video, "Love A Little Stronger". Lead singer Marty Roe endured 50-degree weather during a water fight scene with his female co-star.
Joy Lynn White hits the road in a hot pink pickup in her new "Wild Love"
video. Director Roger Pistole shot the Columbia clip in Ferris, TX. Clarke Gallivan directed for Studio Productions.
Terry McBride & The Ride shot their latest MCA video, "Been There", in Nashville. Joanne Gardner directed the clip. Rhonda Hopkins produced for D.N.A.
Gene Watson's latest SOR video, "Uncharted Mind", features a turn-of-the-century dream sequence shot at Nashville's historic Cheekwood Mansion. Bob Witte directed the clip for Buffalo Bob Films.
Dan Seals enjoys a fun-filled romp in his new video, "All Fired Up". Neal Preston directed the Warner Bros. clip.
Director Sara Nichols has signed with Nashville's Alternative Visions for exclusive Country Music video representation. She has directed videos by Radney Foster and Boy Howdy, among others, as well as directing and producing "Nick Rocks", a music video series on the Nickelodeon network.
As the writer of hits like "Men" (Forester Sisters), "What I'd Say" (Earl Thomas Conley) and "Two Dozen Roses" (Shenandoah), Robert Byrne boasts eight number one songs and 16 top 10 hits to his credit. But if that isn't enough, he can also claim six number one singles and 12 top 10 hits as the producer for such acts as The Forester Sisters, Shenandoah and Michael White.
A native of Detroit, Byrne first tried his luck in Los Angeles as a songwriter in the early '70s before relocating to Muscle Shoals, Alabama in 1976, where the self-professed Yankee experienced some degree of culture shock before becoming one of the areas most well-known songwriter/musician/producers.
In 1993, Robert moved to Nashville. He talked with CLOSE UP recently about songwriting and his work producing the upcoming album release for Liberty artist Cleve Francis.
CU: Muscle Shoals has a reputation for producing great talent. What attracted you to that area?
RB: Part of the reason I moved down there was "There Goes Rhymin' Simon" by Paul Simon was glued to my turntable. That album was just my favorite. Inside the album cover was this little tiny picture of this brick building which was the studio where Rod Stewart, The Rolling Stones, Linda Ronstadt recorded. So I thought if it was good enough for those guys, it was good enough for me. Put me down there! I'm from Detroit via Los Angeles. Moving to the rural, deep South was like moving to another country for me. I had to love the music because they all looked at me like I had three heads! Then I wrote a couple of hits, and they accepted me.
We had the best times in the world down there. The social life was the studio because there were no clubs. The cops would come by and play poker with us. We'd go to the Pit Grill and eat our breakfast at 3 a.m. and then go home. When I came to that area, I just couldn't believe all the talent. I think there's more talent per capita in the South than there is anywhere in the world.
I got off the plane, and the first bunch of people I met are still the most talented people I know. Mac MacAnally, Tommy Brasfield, Clayton Ivey, Larry Byrom - these guys with unbelievable talent. Part of the reason I had any luck at all is just trying to keep up with them.
CU: Your first success was as a songwriter, so how did you get started producing?
RB: Well, I made records as an artist in the late '70s and early '80s. I had an album on Mercury which was kind of a singer/songwriter blue-eyed soul kind of guy album. The album didn't do anything, but I think nine out of the 10 songs on the album were recorded by other artists, songs that I either wrote or cowrote. After the artist thing, I always just sort of gravitated to the studio for some reason. It's always kind of intrigued me, and I've always had some kind of demo studio in my house.
Production was just sort of an extension of the songwriting. I always thought if I could produce the records, I wouldn't mess them up because I think any songwriter in town will tell you they've written a really fine song, and in many cases, they'll all say the producer messed up the record. I thought if I was the producer, I could write a song and make sure it sounded good.
The only problem in producing of course is that you don't have the time to write. My problem is I always say to myself when I'm producing an album, if I took one third of this time when I'm not producing an album and wrote songs, I could retire. Then you get off and you're producing a record and you're not writing a song a day and you just kind get off track.
CU: Has producing given you an edge in songwriting?
RB: The funny thing is that when it's time to write, you've heard every good and every bad song in Nashville. By that time you've hit all the publishers, so you
know how not to write just another song. So I probably write fewer songs but hopefully better because you know what is out there.
By the same token, you don’t write as many songs. It’s a natural progression. It’s like growing up. Your songwriting years were your teenage years and your producing years are your adult years. It’s like growing up and having to go to work.
**CU:** Ronnie Milsap has cut a lot of your songs. Didn’t you write “All Is Fair In Love And War” especially for him?
**RB:** Tim Nichols and I were writing together, and Ronnie said he wanted something like “Summertime Blues”. He plays that in his shows, and I thought “Well, that’s not a tall order - it’s just a rock ‘n roll classic!” So we studied the format and wrote that song. We had a lot of fun writing it. Ronnie cut a smoking record, and Mark Knopfler from Dire Straits played on it. It was just great. Anytime Ronnie cuts one of your songs, you know it’s going to sound great. He’s one of those guys you never have to worry about messing anything up because that’s his passion.
**CU:** Do you prefer collaborating or working alone?
**RB:** I write alone, but I’ve gotten lazy. Plus collaborating is so much fun, that I collaborate the majority of the time. There are so many great writers in town, and everybody goes “Let’s write a song.” It’s just so much easier to make an appointment and drink a cup of coffee with a buddy and play with an idea.
**CU:** Your song “Men” cut by the Forester Sisters was supposedly inspired by a talk show. How did that come about?
**RB:** Alan Schulman and I wrote that song together. He came over and we were drinking coffee and watching Donahue. Phil Donahue should have been listed as a writer on that song.
Before they had lesbian nuns on all their shows, they just had men and women going at each other. I said to Alan, “Boy, if you could bottle that up you could really have something.” We started writing lines and laughing. At the end of the day we had what we thought was a dumb, funny song. Then we cut a track on it and said, “Hey, this sounds like it could be something.”
**CU:** What’s the hardest song you’ve ever written?
**RB:** I wrote “That Was A Close One” that Earl Thomas Conley cut, by myself. That was kind of hard to get right. I had the first verse and the chorus for a long, long time. I was getting ready to show it to somebody else because I couldn’t get anywhere with it. One day I just sat down and came up with the second verse, which was a milestone for me. I always liked that one because it always seemed to work, it had a theme. I like to play it live.
**CU:** What do you desire to accomplish most at this point in your career?
**RB:** The big one would be to have a gold or platinum album with Cleve. I want one of those on Cleve real bad. We’ve worked real hard and got him sounding great. I think he’s got a lot to offer, and we just need that one song. We’re all just one three-minute song away from being stars.
- Mandy Wilson
Don Henley was recently honored with the Sierra Club's Special Conservation Service Award for his efforts to protect Caddo Lake and Barton Creek/Barton Springs, TX. The award was presented during a special ceremony in Austin.
George Strait, Reba McEntire, John Anderson and Clay Walker are the latest recipients of Ampex Golden Reel Awards for albums recorded exclusively on Ampex audio tape. Ampex made $1,000 contributions to each of the following charities on behalf of the award winners: The Jenifer Strait Foundation, Feed Wrap A Little Love and St. Jude Children's Hospital.
Stan Moreess was honored with the Hubert Long Award and Bobby Roberts received the Talent Director of the Year Award during the recent National Association of Talent Directors/International Entertainment Music Buyers Association meeting.
Flaco Jimenez was inducted into the Conjunto Music Hall Of Fame during the 13th annual Tejano Conjunto Festival held in San Antonio, TX in May. The festival is the world's largest and most comprehensive festival of its kind and attracts over 35,000 attendees.
Leadership Music will sponsor a new, local awards program to be called the Nammies - the Nashville Music Awards, slated for January 18, 1995. Awards will be presented in over 30 categories representing every genre of music. Nominations will be made by an industry panel, with five chosen in each category. Nashvillians will be invited to vote for the winners which will be counted and verified by an independent accounting firm. The NAMMIES will be announced during an awards presentation at the Ryman Auditorium which will be open to the public. Proceeds will benefit Leadership Music and the Arts Magnet program at Wharton Middle School in North Nashville.
Harmony Books has published "The Harmony Illustrated Encyclopedia of Country Music". The 208-page volume traces the development of Country Music from the first commercial Country recordings in the 1920s to the musical phenomena of the '90s.
TNN: The Nashville Network is the largest U.S. specialty service in Canada, according to the latest figures from Mediastat, Inc. TNN, which reaches over 5 million Canadian subscribers, leads CNN, A&E, The Learning Channel, CNN Headline News, CMT: Country Music Television, CNBC and BET. The network, previously the third largest specialty service in Canada, grew 9 percent in the past year, bringing in 446,000 new Canadian subscribers.
"The Radio Cafe Hour", a unique live radio show broadcast daily from the Radio Cafe in Branson, MO, is now available for syndication. The satellite-fed, one-hour program features guests from the wide variety of theatres and attractions in Branson and is offered on a barter basis to stations with satellite downlink capabilities. For more information, contact Al Snyder at 1222 16th Avenue South, Suite 21, Nashville, TN 37212; (615) 329-2112; fax (615) 329-2148.
Disc Makers has just released the new "Directory of Independent Music Distributors", a 16-page catalogue listing over 350 distributors. The directory is available free of charge through September by calling (800) 468-9353.
Radio syndicator Unistar, which recently merged with Westwood One, will now be known as Westwood One Radio Networks. The company that was formerly Westwood One will now be known as Westwood One Entertainment. Unistar's Country entertainment programming - "The Weekly Country Music Countdown", "90s Country", "Acoustic Country", "Country Gold Saturday Night" and "Country Six Pack", will remain in production with the same staffs and crews as before.
Bransounds, a national recording company based in Branson, MO, has opened offices at 132 Highland Drive, Suite 8, Branson, MO 65615; (417) 336-2462; fax (416) 336-2463. Rick Rogers is the company's president.
Dixie Pineda has opened Trifecta Entertainment, a full-service public relations, marketing and promotions firm. The company's current roster includes Tanya Tucker, Mark Collie and Greg Holland. Trifecta is located at 1103 17th Avenue South, Nashville, TN 37212; (615) 320-0333; fax (615) 320-0977.
Dick Frank and Horton Frank have withdrawn from the Jack, Frank & Lyon law firm and opened their own law office, located at 1102 17th Avenue South, Suite 300, Nashville, TN 37212; (615) 321-4707; fax (615) 321-3722. The Franks represent numerous Country Music clients and provide their legal services to CMA without compensation.
MCA singer/songwriter Mark Collie will host the **Mark Collie Celebrity Race for Diabetes Cure** at the Nashville Motor Speedway on October 13. Music, film, television and sports celebrities, including Tracy Lawrence, Brooks & Dunn, John Hiatt and Sammy Kershaw will race legend cars during the event. All proceeds will be awarded to organizations such as the Juvenile Diabetes Foundation, the American Diabetes Association and prominent university diabetes research programs. In the first year, a research grant will be established at Vanderbilt University in honor of Larrie Londin, a well-known musician who passed away due to diabetes complications. General admission tickets cost $10 and can be purchased through Ticketmaster at (615) 737-4849. Sponsorship packages are available by contacting Dale Gish at (615) 385-1100. For more information, contact Trifecta Entertainment at (615) 320-0333.
The Nashville Songwriters Association International will host its annual Summer Seminar and Song Camp in July. The seminar takes place July 15-16 at Loews Vanderbilt Plaza. Song Camp is scheduled for July 17-19 at Shadowbrook Retreat. For complete agenda and registration information, contact NSAI at (615) 256-3354.
The Nashville music industry has launched a fundraising campaign for the Leonard Bernstein Center, with a goal of $300,000. The Nashville-based center, founded in 1992, is a national research and development center which creates programs using the arts and technology as a new approach to learning all subjects, including math, science, history and reading. The center is currently developing programs in 10 schools in the Nashville area that will ultimately be available to schools nationwide in the next few years. For information about The Leonard Bernstein Center for Education Through the Arts, contact Scott Massey or Alexander Bernstein at 114 30th Avenue South, Nashville, TN 37212; (615) 329-6740.
Branson Tix has teamed with Ticketmaster to allow customers in 24 states and over 1,300 outlets throughout the Midwest and Southeast to purchase tickets to all Branson Tix theatres located in Branson, MO. By the end of 1994, Branson Tix tickets will be available in over 3,000 Ticketmaster outlets nationwide.
WarnerSongs, Inc. has relocated to 24 Music Square East, Nashville, TN 37203. The new telephone number is (615) 214-1440; fax (615) 214-1551.
Life Music Group has moved to 2 Music Circle South, Nashville, TN 37203; (615) 259-4373; fax (615) 259-0773.
Garth Shaw's Singing Roadie Music has moved to 385 Bonnavale Drive, Hermitage, TN 37076; phone (615) 872-9886.
Keith Stegall has been named vice president of A&R for Mercury Nashville. An award-winning producer and former artist, Stegall will oversee all aspects of the creative process. Carson Chamberlain joins the staff as director of A&R. A BMI songwriter, he was formerly tour manager for Alan Jackson following stints with Keith Whitley and Clint Black. Roxanne Stueve, who worked with Stegall at his production company, joins the Mercury A&R staff as administrative assistant. In Mercury's
Billy Ray Cyrus was recently honored with the Child Help USA Special Friend Award, presented by actress Kathleen Turner, at the Kennedy Center in Washington, D.C. The Mercury singer was recognized for his work with abused children during the past three years.
sales department, **John Grady** has been named vice president of sales. He was formerly with Capitol Records and was previously with Pickwick, MCA and Arista Records. **Mike Pulgini** is Mercury's new national director of sales. He was formerly with PolyGram Distribution.
Roger Corkill and David Haley have been promoted to senior directors of regional promotion at **MCA Records/Nashville**. Corkill has been the label’s Southwest regional promotion director for 15 years. Haley has been with the label for 10 years, most recently as Mid South/Midwest regional promotion director.
Rosey Fitchpatrick, John Lytle, Buck Stevens and Dick Watson have been named to the promotion team at **Decca Records in Nashville**. Fitchpatrick, formerly with MCA Records, is Decca’s director of Southeast/Mid-Atlantic Regional Promotion. Lytle, an MCA employee for four years, serves as director of South/Southwest Regional Promotion. Stevens vacates his position as music director and assistant program director at WXCL in Peoria, IL to become director of North Central/Northeast Regional Promotion. Watson, previously with Asylum Records, becomes Decca’s director of Midwest/West Coast Regional Promotion.
Bob Mitchell has been named director of national promotion for **Columbia Records**. He was most recently Country regional promotional manager, West, Epic. Mitchell has relocated to Nashville from Los Angeles and will assist in the implementation of record promotion activities for the Columbia roster.
Greg Stevens has been named regional promotion manager/West at **BNA Entertainment**. He was formerly music director and afternoon on-air personality at KRST-FM in Albuquerque.
Wendy Shaffer Pearl has joined the staff of **Asylum Records** as associate director of publicity and artist development. She was previously media manager at Sony Music Nashville.
Scott Rattray has been appointed to the newly-created position of manager, film & video at **Arista/Nashville**. He will be responsible for overseeing all video releases.
Jim Halsey is the new director of music business at **Oklahoma City University**, which will offer a bachelor of science degree in music business for the first time this fall. As part of the degree curriculum, Halsey will teach Business of Music Seminars I and II.
Leisure Management International has named Russ Simons to lead its pre-opening and management efforts for the new Nashville arena, which is currently under construction. He has over 12 years of experience in public assembly facility management, most recently serving as general manager of The Pyramid in Memphis. Nashville’s arena is scheduled to open in the spring of 1996.
John F. Phelan and Alan G. Hershner have been promoted to vice presidents at **Shure Brothers Inc.** Phelan, who has been with Shure off and on for 22 years, is now vice president of international marketing and sales. Hershner joined the company in 1984 and has been promoted to vice president of domestic sales.
Former “Crook & Chase” reporter and independent film/video producer John Davis has joined **FX**, the new cable network from **Fox, Inc.** which launched on June 1. Davis serves as field host for “Breakfast Time”.
Norma Morris has been upped to senior publicist at **The Press Office**. Prior to joining the company, she was a teacher and award-winning author/editor of college textbooks.
Brian Jones and Tony Lee are the newest additions to the agent staff of **Buddy Lee Attractions**. Jones joins the agency following his graduation from **Belmont University**. Lee has been promoted to agent from agent’s assistant.
Guy Parker has joined the staff at **Five Star Music** as head of the company’s gospel division. He formerly served internships with The Ken Stilts Co. and MCA Records.
Christy McKay is the newest on-air addition to **WFMS** in Indianapolis, where she will assist part-time and on weekends. She is also president/owner of SIMMinc., a computer consulting company.
John “Shotgun” Kelly takes over the weekday 7 p.m. to midnight shift at **KNIX** in Phoenix, replacing Bobby Lewis, who joins John Michaels during drive time. Kelly was formerly with KGMY-FM in Springfield, MO and has also logged airtime in Shreveport, LA and Bismarck, ND.
Al Tacca has been named regional sales manager at **WYNY** in New York. A 15-year veteran of radio, Tacca was formerly with WTIC-AM/FM in Hartford, CT. John Murtha joins the sales team of WYNY. He was formerly sales manager at WQCD-FM, New York.
SIGNINGS
Mark Chesnutt to Decca Records...
Clinton Gregory to Polydor Records...
Graham McHugh to Giant Records... Bob Woodruff to the Bobby Roberts Company for booking... Tracy Byrd and Wood Newton to MCA Music Publishing... Steve G. Jones and Peggy Newman to Monk Family Music Group... Bob McDill to PolyGram Music Publishing... Keith Follese to BMG Music Publishing... Frank Dycus and Roy Hurd to WarnerSongs... T.W. Hale and Bill Whitbeck to Life Music Group... Keith Lamb to Comstock Records... Riley Coyle to Playback Records... Linda Hargrove to Great Cumberland Music... Sonny Martin & The Sonny Martin Show to The Box Office... Stephany Jackson to Star Design for management... Jennifer Saint John to Somewhere In Rhyme Publishing... The Sir Brothers and Wendy T to Metro Records... Julie Anne to Beth Management and Liz Gregory Talent Agency for bookings... Eric Williams to Liz Gregory Talent Agency.
Ricky Van Shelton (left) relaxes at the soundboard while recording his forthcoming Columbia lp. Paul Warley (center) and Blake Chancey are producing the project.
- Photo by Alan Mayor
Capricorn singer/songwriter Kenny Chesney (center) and Mark Pucci, vice president of publicity for the label (right), stopped by the set of ABC's "General Hospital" for a quick check-up, visiting with actor Brad Maule, who plays Dr. Tony Jones on the daytime soap.
Ray Pennington has steered Step One Records into one of Country Music's leading independent labels. SOR launched the career of Clinton Gregory (recently signed by Polydor), proving that independent labels can compete in today's burgeoning marketplace.
**You can be a star**
All hope's not lost for young artists playing in the honky tonks on the wrong side of the tracks. They just may be discovered if Ray happens to be in town.
"I go to all the places no one would ever think I would. I'll go into bars that I'm scared to be in. But if you sit there and watch people, they will show you what they like.
"...about four years ago, I decided it was time for me to try to cultivate some new talents."
"I try to find somebody that I don't think sounds like anyone else - somebody that has an identity in their voice."
**The second time around**
After stints at Monument Records and RCA, Ray semi-retired at age 50. But in 1984, the owners of a conglomerate in Texas offered him the chance to start a new record company. They would provide the financial backing and trusted Pennington to do the rest.
"I told them if I could get Ray Price to come with us so that we'd have a little foundation to build on, we'd do it. We just started with Ray. I was trying to build a foundation, and at that time a lot of the major labels were already starting to cultivate young talent. They weren't interested in people of that stature. So I also got Floyd Cramer, Faron Young and some product on Kitty Wells. We redid all the old hits.
"I started doing TV marketing and mail-order catalog, and that's how we operated for the first five or six years. Then about four years ago, I decided it was time for me to try to cultivate some new talents.
"It's been a battle, but it's been a lot of fun, too. I started out with myself and two secretaries. Now we have 22 employees."
**Road to success**
Ray attributes Step One's success to generous financial backing and a great staff. He learned what it takes to run a successful company in the music business from working with Sid Nathan, owner of King Records in Cincinnati.
"Nathan took a liking to me and offered me a job...being his flunky. He kind of walked me through the whole record industry. He had everything under one roof. The only thing you went outside for at King Records was paper and vinyl.
"Every year we gain a little momentum. If I can bring just one of those to the front and have an established superstar, I would be thrilled.
"We try to spend more time on artist development. My theory is to have fewer acts and spend more time on them and still be lucky if two or three really make it."
**Becoming a major player**
Ray refuses to waste his time dwelling on the obstacles Step One has had making it in a business that seems to be controlled by a select few.
"We're calling ourselves the power independent (label), but I don't think it'll be long 'til we're just called a record company. I hate the word independent, because it has too many meanings. We're a full-funded record company with a total network of distribution. I think someone said awhile back that independent labels were like a farm team, starting the artists for the major labels. That's not so at all here. I have no intention of starting anybody and then leasing them or selling them to a major label. This a total record company. We're here to build a big business and to be part of the music scene."
Country singers John Berry, Charlie Daniels, Tanya Tucker, Suzy Bogguss and Billy Dean will join actor Danny Glover on a musical cassette created by the Coors "Literacy. Pass It On" campaign to help adults learn to read.
The cassette will be released by Liberty Records, with Berry and Daniels performing the title cut, a song dedicated to adult literacy, focusing on the 40 million adult Americans who can't read. Glover will record the spoken introduction. The cassette will be available for purchase from September through December with a coupon that can be obtained at select retail outlets where Coors products are sold. A portion of the proceeds will be donated to adult literacy organizations across the country.
MEMBERSHIP RECRUITERS
Membership is CMA's most valuable resource. We appreciate the recruitment efforts of the following members: Eve Abdo, Diane Acosta, Mickey Ambrosia, Phyllis Bennett, Wayne Brayfield, Danny Davis, Howard Dee, Richard Egan, Lee Greenwood, Gail Healy, Donna Hillel, Jurg Hofer, Michael Knox, Tom Laffey, Pam Lewis, Clyde Masters, Stan Moress, Richard Perna, G. Gerald Roy, John Slyfield, Doug Stone, Tammy Stutts, Joe Talbot, Rowena Tauber, Rick Todd and Dusty White.
Keebler’s Wheatables Snack Cracker ropes the Country market with a $6.5 million multi-tiered sponsorship program featuring the talents of Clint Black. The program also includes the new “Unbeatable Wheatables Country Tour ‘94”, featuring Tim McGraw, Suzy Bogguss, Little Texas, Blackhawk, Toby Keith and the Gibson/Miller Band, beginning September 11.
Wheatables has signed on as the exclusive sponsor of Black’s 1995 national tour in the top 35 markets and will also sponsor concerts in Dallas and New Orleans this fall. The RCA singer/songwriter will share the spotlight with Ernie the Keebler Elf in a television commercial for Wheatables, which begins airing in September. It will be the first tv spot in Keebler’s history to incorporate live-action with animation.
In addition, millions of Wheatables packages featuring Black’s photo on the front panel are already in stores nationwide. They also feature a special offer for fans to join the Clint Black Fan Club and purchase “Unbeatable Wheatables” merchandise. An exclusive compilation cd or cassette featuring songs by Black, Aaron Tippin, Alabama, Lari White, Vince Gill, Lorrie Morgan, Little Texas, The Judds, Toby Keith and Blackhawk is also being offered for $2.99 on the package.
The “Unbeatable Wheatables Tour ‘94” will hit over 30 U.S. cities from September through December. Created and booked specifically for Keebler Wheatables, each concert will showcase three artists at 3,000-5,000 seat venues.
George Strait
continued from page 3
already done that. I’d rather do a western. Maybe there’s an opportunity for that.
CU: A lot of Country singers are writing autobiographies. Do you think you’ll ever write one?
GEORGE: To answer that right now, I’d say no. Ten years down the road I might change my mind. I don’t have any desire to write a book. My private life, I’ve always felt, is just that. I’m happy to talk with most people about the music business and what’s going on in my life with the music business, but there are certain things I don’t feel like it’s anybody else’s business. What little private life I do have, I like to keep that way.
CU: You must truly enjoy the luxury of being able to pick and choose your concert dates instead of hitting the road 275 days a year.
GEORGE: That’s true. I’m sure I’m leaving a lot of money out there on the table by doing that, but it’s more important to me to be able to be happy and enjoy this rather than go out there and kill myself just for the money.
“EVERYONE WANTS TO BE RICH, ESPECIALLY WHEN YOU’RE POOR - AND I WAS POOR!”
CU: Were you ever in it for the money? I know you want to make a living, but did you ever think “I want millions!”?
GEORGE: Well, sure. I think everybody wants that. Everyone wants to be rich, especially when you’re poor - and I was poor!
CU: What’s been the most gratifying part of your career?
GEORGE: I said from the very beginning that I wanted to have some longevity in this business and to be able to be around for a long time like Merle Haggard and George Jones and people like that. I feel real fortunate and real proud of the fact that I’ve been in this business making records for 13 years, and I can go out and sell out concerts and have number one records at this point in my career, that I’ve had that kind of fan support.
CU: Have you ever considered giving up the music business to become a full-time roper, maybe trade in Entertainer of the Year for World Champion Team Roper at the National Finals Rodeo?
GEORGE: That’s impossible! At one time I thought if I really, really practiced that I could get out there and compete, and I still have that desire and that goal. As far as reaching the National Finals, that’s just not possible for me. The competition is unbelievable. There are a lot of really good ropers out there. It’s all they do, and they do it every day. I couldn’t do that. I love Country Music. I don’t think I could walk away from it and start pursuing a professional career in rodeo. For one thing, I’d have to eat my ropes ’cause I’d starve to death out there!
- Janet E. Williams
The Nitty Gritty Dirt Band has lasted two decades, longer than most marriages - including several of their own.
The band writes in the liner notes of their latest Liberty album:
"Some say that we recorded ACOUSTIC against a backdrop of trying times. For us in the band the times were pretty normal. One of us got married, another divorced. One swept earthquake damage out of his house, another fought to keep his land under cultivation. But as usual, we plowed ahead, keeping our circus train rolling along."
That circus train has kept moving on a musical journey that began with a six-piece Southern California jug band back in May of 1966 that featured Jeff Hanna, Jimmie Fadden - the two who still are with the group - and singer/songwriter Jackson Browne.
"He left the band before we made our first record," Jeff reminisces on a hot summer afternoon in Nashville. "Jackson's great. He was a big influence on all of us because he was a great writer. He was the first person I knew who wrote his own songs. I went, 'Wow!' It was pretty tough too because it gave me a real stigma about writing my own songs. It's kinda like, 'Let
"We've been going through mid-life crisis since we were 17, 18 years old."
Jackson do it because he's so brilliant.' We met him in a coffeehouse in Long Beach, California way back when we were in high school."
The Dirt Band circus train has rolled across a varied terrain - through instant success in Southern California, pop/rock stardom with "Mr. Bojangles", Country radio acceptance and an occasional musical drought. But when "we've found ourselves staring down that tunnel, there's always been something that's been a light at the end of it," Jeff says.
The current members - Jeff, Jimmy Ibbotson ("Ibby"), Jimmie Fadden and Bob Carpenter - are all in their 40s. So have they experienced the one mid-life crisis that they're each entitled to?
"We've been going through mid-life crisis since we were 17, 18 years old," Jeff states.
But staring at 50 seems to hold no fear for them. Like the Rolling Stones, the Dirt Band somehow defies time and manages to keep reinventing themselves, staying musically fresh while keeping true to who they are.
The current album, with songs like "Cupid's Got A Gun" and "Hello, I'm Your Heart", has the acoustic feel of their jug band days. "It was sorta going backwards or
going all the way around the track and coming back to where we started," Jeff says.
Trends for artist these days include international touring and at least dabbling in acting. Members of the Dirt Band were pioneers in both those areas. They were the jug band in the Clint Eastwood/Lee Marvin movie "Paint Your Wagon" in 1968, filmed in a Walt Whitman National Park in Oregon.
"Ted Turner, I think he bought the rights to that, and they show it on TBS and TNT all the time. Cracks me up...We spent three months filming a bit part in a movie. Basically, we played this bunch of miners, gold miners. It was kinda typecasting 'cause all we had to do was show up and be scruffy. We got to the set, and they said, 'Don't bathe or shave for two weeks.' We said, 'No problem.'"
In the mid-'70s, they were the first American act asked by the Soviet government to tour the USSR, spending more than a month and playing to more than 145 million people through a massive Soviet TV hookup.
I called her up, and well, you know, I had ulterior motives.
The band's longevity might be attributed to three reasons. First and foremost Jeff says is their loyal fans. The second is: "Since 1967, we've always been making records so that keeps the music fresh for us." And the guys seem to genuinely like each other, another factor which has kept them together.
When pressed for adjectives to describe his three bandmates, Jeff protests.
"That's really unfair," he says before proceeding to describe them. "Bobby is like the rock at the center of all this. He's always got an upbeat attitude, and I think he is the most solid and professional musician in the band. He's the guy you can count on to not play the wrong chords to the song and always sing on key. He's a steadying influence in our band.
"Jimmy Ibbotson - he's sung and written a lot of our hits like 'High Horse', 'Long Hard Road', 'Partners, Brothers And Friends', 'Dance Little Jean'. Ibby is the energy source for the band. On stage, especially, he goes out there night after night and really whips the crowd into a frenzy, and he keeps things interesting. He's unpredictable sometimes...It's nice to have a wild card. Ibby's a wild card.
"Jimmie Fadden, who's our drummer, is also real dependable. Mr. Steady, a great solid drummer and writer too. Really good harmonica player. He's the soul man. Where Bob is more a formally trained, Jimmie is an intuitive musician...And these two guys together create a really nice blend. It makes a nice gumbo."
And adjectives to describe himself?
"I show up," he says with a laugh. "I'm a list-maker as a person. I try to be organized, which is sort of a joke, 'cause I'm really unorganized. I see the list at the end of the day and see I haven't done any of it."
One thing he did do was marry singer/songwriter Matraca Berg last December.
"I met Matraca a long time ago when I first moved to Nashville...this is wacky. She was married to somebody else, and I was married to somebody else, and they both knew each other. So we met through our ex-spouses, but I barely knew her. But then a few years went by...This guy who was producing us, Chuck Howard, came out to see us on the road...It was us and Matraca and Clint Black, when her Country record was out - LYING TO THE MOON. And Chuck said, 'That girl's a great writer. You should write with her, get a different point of view.'
"We got to the set, and they said, 'Don't bathe or shave for two weeks.'"
"So I called her up, and well, you know, I had ulterior motives. The writing really knocked me out. She taught me a lot about songwriters. But since we've been together we've written less. Because we have this life too."
He says the time they have together is really valuable. "You make the most of that, and you work around that stuff. But a lot of people have two careers and sometimes I think you hear a lot more whining from show business than you do from civilian life, I like to call it. And I think it's a little unfair."
Jeff says they've learned a few things from their previous marriages. "You gotta listen. You gotta talk. And you gotta allow people a little room. I think that those things are all really essential. I think there's a drawback to this business which is performers are really demanding with our time. I think that sometimes it can put you in a space where you get in that 'me' category. You start doing the 'me' thing so much because you're used to being out there onstage...You can't bring that home. You gotta check that stuff at the door. For that matter, you shouldn't bring it off stage.
"It's fun being up there, but I think those of us in this business who get to do this, especially as long as the Dirt Band has, are just plain lucky.
And the circus train keeps rolling along.
- Teresa George
JULY
1 ★ KEITH WHITLEY; Sandy Hook, KY
• Margo Smith tops the Country charts with "It Only Hurts For A Little While", 1978
2 ★ MARVIN RAINWATER; Wichita, KS
• Clay Walker's "What's It To You" debuts on the Country charts, on its way to number one, 1993
• Deford Bailey, one of the earliest members of the Grand Ole Opry, dies, 1982
• EAGLE WHEN SHE FLIES by Dolly Parton certifies gold, 1991
3 ★ AARON TIPPIN; Pensacola, FL
★ JOHNNY LEE; Texas City, TX
• THE ELECTRIC HORSEMAN (original motion picture soundtrack) receives platinum album, 1979
• Joe Diffie scores another number one hit with "Ships That Don't Come In", 1992
4 INDEPENDENCE DAY
★ BILL McCORVEY (Pirates Of The Mississippi); Montgomery, AL
★ RAY PILLOW; Lynchburg, VA
• First Willie Nelson Picnic, 1973
5 • The Amazing Rhythm Aces debut on the Country charts with "Third Rate Romance", 1975
6 ★ NANCI GRIFFITH; Austin, TX
★ JEANNIE SEELY; Titusville, PA
• Bobby Bare enters the Country charts with "Detroit City", 1963
7 ★ CHARLIE LOUVIN; Rainsville, AL
★ DOYLE WILBURN; Thayer, MO
• Roy Acuff collapses from sunstroke while playing baseball, ending his athletic career, 1929
• Waylon Jennings' "Amanda" hits number one, 1979
8 • Uncle Dave Macon makes his first recordings for Columbia, 1924
• Gail Davies makes first appearance on Country charts with "No Love Have I", 1978
9 ★ JESSE McREYNOLDS; Coeburn, VA
★ BERNIE LEADON (The Eagles); Minneapolis, MN
• Alan Jackson tops the charts with "Chattahoochee", 1993
• Ray Stevens' I HAVE RETURNED receives a gold album, 1989
10 ★ JEFF HANNA (Nitty Gritty Dirt Band); Detroit, MI
• Tom T. Hall enters the charts with "The Year Clayton Delaney Died", 1971
• Diamond Rio's "Nowhere Bound" makes its chart debut, 1992
11 • Earl Thomas Conley's "Fire and Smoke" tops the charts, 1981
• Cowboy Copas returns to the Country charts with "Alabam" after a nine-year absence, 1960
• REBA MCENTIRE LIVE certifies gold, 1990
12 ★ BUTCH HANCOCK; Lubbock, TX
13 ★ VICTORIA SHAW; New York City
★ LOUISE MANDRELL; Corpus Christi, TX
• The Statlers celebrate certifications for CHRISTMAS CARD (platinum), HOLY BIBLE-NEW TESTAMENT (gold), THE BEST OF THE STATLER BROTHERS (two million) and TODAY (gold), 1993
14 ★ WOODY GUTHRIE; Okemah, OK
★ DEL REEVES; Sparta, NC
• Randy Travis' ALWAYS AND FOREVER certifies platinum after two months, 1987
• TRIO by Dolly Parton, Emmylou
15 ★ LINDA RONSTADT; Tucson, AZ
★ COWBOY COPAS; Muskogee, OK
• Travis Tritt's IT'S ALL ABOUT TO CHANGE certifies multi-platinum with sales of two million, 1992
16 • Alabama's "The Closer You Get" reaches number one, 1983
• "Teddy Bear", recorded by Red Sovine, tops the Country charts, 1976
• BACKROADS by Ricky Van Shelton certifies gold, 1991
• Wynonna's TELL ME WHY certifies platinum, 1993
17 ★ RED SOVINE (Woodrow Wilson Sovine); Charleston, WV
• Garth Brooks remains number one for the second week with "The River", 1992
18 ★ RICKY SKAGGS; Cordell, KY
• "It Wasn't God Who Made Honky-Tonk Angels" by Kitty Wells enters the Country charts, 1952
19 ★ GEORGE HAMILTON IV; Winston-Salem, NC
• Kenny Rogers (with the First Edition) debuts on the Country charts with "Ruby, Don't Take Your Love To Town", 1969
• Lefty Frizzell dies from a stroke, 1975
• DON'T ROCK THE JUKEBOX by Alan Jackson certifies gold, 1991
• Aaron Tippin goes platinum with READ BETWEEN THE LINES, 1993
20 ★ T.G. SHEPPARD; Humboldt, TN
• Willie Nelson's STARDUST certifies gold, 1978
• Keith Whitley's I WONDER DO YOU THINK OF ME is awarded gold album, 1990
21 ★ SARA CARTER; Wise County, VA
22 • Aaron Tippin earns his first gold album with READ BETWEEN THE LINES, 1992
23 • Alabama debuts on Country charts with "I Wanna Be With You Tonight", which later peaked at number 78, 1977
• George Strait's LIVIN' IT UP certifies gold, 1990
• "It's Your Call" by Reba McEntire hits the top of the Country charts, 1993
24 ★ MAX D. BARNES; Hardscratch, IA
• Chet Atkins, age 17, lands his first radio job on WRBL in Columbus, Ohio, 1941
• Patsy Cline's GREATEST HITS album reaches double platinum, 1989
• Ricky Van Shelton's debut album WILD-EYED DREAM certifies platinum, 1989
• WILLOW IN THE WIND by Kathy Mattea goes gold, 1990
• HEROES AND FRIENDS by Randy Travis certifies platinum, 1991
• Billy Dean hits number one with "Billy The Kid", 1992
25 ★ MARTY BROWN; Maceo, KY
• "Feels So Right", written by Randy Owen (Alabama) is honored by BMI for 1 million radio air plays, 1984
• Earl Thomas Conley's GREATEST HITS album obtains gold, 1989
• DON'T CLOSE YOUR EYES album, by the late Keith Whitley, reaches gold, 1989
26 • Jeannie C. Riley records "Harper Valley PTA", 1968
• Alabama's PASS IT ON DOWN certifies gold, 1990
27 ★ HOMER (HENRY D.) HAYNES; Knoxville, TN
★ BOBBIE GENTRY (Roberta Streeter); Chickasaw County, MS
28 • Dolly Parton's "You're The Only One" tops the Country charts, 1979
29 • "Angel In Disguise" by Earl Thomas Conley hits number one, making DON'T MAKE IT EASY FOR ME the first Country lp to produce four chart-toppers, 1984
30 • Ernest Tubb enters the charts with "Slippin' Around", 1949
• Johnny Cash records "Folsom Prison Blues" for the first time, 1955
• Martina McBride's "My Baby Loves Me" debuts on the Country charts, 1993
• The Charlie Daniels Band's "FIRE ON THE MOUNTAIN" is awarded gold album, 1975
• ALWAYS & FOREVER by Randy Travis certifies multi-platinum for sales of four million units, 1990
31 • Jim Reeves killed in airplane crash, 1964
• Travis Tritt's COUNTRY CLUB goes platinum, 1991
• Brooks & Dunn top the charts with "Boot Scootin' Boogie", 1992
AUGUST
1 • The Carter Family first record together, 1927
2 ★ HANK COCHRAN; Greenville, MS
★ ROD BRASFIELD; Smithville, MS
• Garth Brooks' self-titled debut lp certifies gold, 1990
• Betty Jack Davis dies, 1953
3 ★ GORDON STOKER (The Jordanaires); Gleason, TN
• Country Music Foundation charter registered, 1964
4 ★ CARSON ROBISON; Oswego, KS
• Jimmie Rodgers first records in Bristol, Tennessee, 1927
• Skeeter Davis employed by the Grand Ole Opry, 1959
• Dolly Parton scores another gold album with EAGLE WHEN SHE FLIES, 1992
5 ★ VERN GOSDIN; Woodland, AL
★ SAMMI SMITH; Orange, CA
• Luther Perkins dies, 1968
• The number one Country single in
BILLBOARD is Dolly Parton's "Why'd You Come In Here Lookin' Like That", 1989
6 • Wanda Jackson makes her Country chart debut as a solo artist with "Right or Wrong", 1966
• The Kendalls' "Heaven's Just A Sin Away" enters Country charts, 1977
7 ★ RODNEY CROWELL; Houston, TX
★ FELICE BRYANT; Milwaukee, WI
★ B.J. THOMAS; Houston, TX
• Hank Williams appears on the Louisiana Hayride, 1948
• Merle Haggard's lp HIS EPIC-THE FIRST ELEVEN-TO BE CONTINUED, is certified gold, 1989
8 ★ WEBB PIERCE; West Monroe, LA
★ MEL TILLIS; Tampa, FL
★ PHIL BALSLEY (The Statler Brothers); Augusta County, VA
• Hank Williams, Jr. has near fatal fall while mountain climbing, 1975
9 ★ MERLE KILGORE; Chickasha, OK
• Asleep At The Wheel enters Country charts with "The Letter That Johnny Walker Wrote", a top 10 hit, 1975
10 ★ GENE JOHNSON (Diamond Rio); Jamestown, NY
• Roy Acuff records with the Nitty Gritty Dirt Band, 1971
11 ★ JOHN CONLEE; Versailles, KY
• ALABAMA LIVE by Alabama certifies gold, 1988
• Holly Dunn's "Are You Ever Gonna Love Me" tops RADIO & RECORDS Country singles chart, 1989
12 ★ BUCK OWENS (Alvis Edgar Owens); Sherman, TX
★ PORTER WAGONER; West Plains, MO
[Factfile is compiled from the Illustrated Country Almanac by Richard Wootton (Dai Press), The Illustrated History of Country Music by the editors of COUNTRY MUSIC magazine (Doubleday/Dolphin Books), The Encyclopedia of Folk, Country and Western Music by Irwin Stambler and Grelin Landon (St. Martin's Press), and the Country Music Foundation's OFFICIAL 1994 COUNTRY MUSIC CALENDAR, as well as from original research.]
## DATEBOOK
### JULY
- **13-14** CMA Board of Directors Meeting/The Westin Tabor Center/Denver, CO
- **29-31** Seventh Annual Country Rendezvous/Craponne sur Arzon, France/contact: Georges Pumain at (33) 71-03-25-52
### AUGUST
- **16** CMA Awards Finalists Press Conference/Nashville
### SEPTEMBER
- **16-19** Canadian Country Music Week/Calgary, Alberta/(905) 850-1144
- **19-25** 1994 World of Bluegrass/Owensboro, Kentucky/(502) 684-9025
### OCTOBER
- **2** NSAI Songwriters Hall of Fame Dinner/Nashville
- **3** ASCAP Country Awards/Opryland Hotel/Nashville
- **4** BMI Country Awards/Nashville
- **5** 28th Annual CMA Awards/Grand Ole Opry House/Nashville
- **6-8** SRO Nashville Convention Center/(615) 244-2840
- **6** CMA Board of Directors Meeting/Opryland Hotel/Nashville
- **6** CMA Annual Membership Meeting/Opryland Hotel/Nashville
- **6** SESAC Awards/Nashville
- **7** CMA Election of Officers/Nashville
- **16** Country Gold Festival/Kumamoto, Japan/contact: Judy Seale at (615) 329-1546; fax (615) 320-0387
---
Talk-show hostess Vicki Lawrence (right) gets the scoop from Reba McEntire on a recent episode of "Vicki".
|
Sevegnani, Michele (2012) Bigraphs with sharing and applications in wireless networks. PhD thesis
http://theses.gla.ac.uk/3742/
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BIGRAPHS WITH SHARING AND APPLICATIONS IN WIRELESS NETWORKS
Michele Sevegnani
Submitted in fulfilment of the requirements for the degree of Doctor of Philosophy
School of Computing Science
College of Science and Engineering
University of Glasgow
First submission: 22nd May 2012
Final submission: 29th September 2012
© Michele Sevegnani
Abstract
Bigraphs are a fully graphical process algebraic formalism, capable of representing both the position in space of agents and their inter-connections. However, they assume a topology based on sets of trees and thus cannot represent spatial locations that are shared among several entities in a simple or intuitive way. This is a problem, because shared locations are often a requirement, for example, when modelling scenarios in the physical world or in modern complex computer systems such as wireless networks and spatial-aware applications in ubiquitous computing.
We propose *bigraphs with sharing*, a generalisation of the original definition of bigraphs, to allow for overlapping topologies. The new locality model is based on directed acyclic graphs.
We demonstrate the new formalism can be defined in the general framework of bigraphical theories and wide reactive systems, as originally devised by Robin Milner. We do so by defining a categorical interpretation of bigraphs with sharing, an axiomatisation derived from the equations of a bialgebra over finite ordinals, and a normal form to express bigraphical terms. We illustrate how sharing is essential for modelling overlapping localities by presenting two example case studies in the field of wireless networking. We show that bigraphs with sharing can be used realistically in a production environment by describing the implementation of an efficient matching algorithm and a software tool for the definition, simulation, visualisation and analysis of bigraphical reactive systems.
Acknowledgements
I am deeply grateful to my supervisor, Muffy Calder, for being extremely helpful and supportive throughout the years of my PhD and for providing me with valuable insight and enlightening suggestions whenever I encountered difficulties. Muffy’s constant encouragement and sincere enthusiasm were a driving force in my research.
I also owe much to the late Robin Milner for his guidance early in my studies. His ideas have been a great inspiration for this thesis and helped establish my research directions.
I also thank all those I worked with in the Homework project, especially: Alexandros Kolioussis, Joseph Sventek, Tom Rodden, Dimosthenis Pediaditakis, Naranker Dulay, Morris Sloman.
More personally, I thank my family for their unconditional love and support and all the good friends I have made during my stay in Glasgow: Andrea, Sedgil, Oberdan, Robin, Chris, Roberta, Raffaele, Erica, Maurizio, Irene, Luis, Gowri, Mirko, Nuno.
* * *
This is a revised version of my thesis; I have benefited a lot from the detailed criticism of my examiners Peter Sewell and Simon Gay.
to My Family: Gianluca, Adriana and Erica
Declaration
This thesis is submitted in accordance with the rules for the degree of Doctor of Philosophy at the University of Glasgow in the College of Science and Engineering. None of the material contained herein has been submitted for any other degree. The material contained herein is the work of myself except if stated otherwise.
## Contents
1 Introduction 1
1.1 Motivation: space .................................................. 1
1.2 Related work ....................................................... 2
1.3 Thesis statement ................................................... 5
1.4 Overview of the thesis ............................................. 5
1.5 Contribution ......................................................... 7
1.6 Publications .......................................................... 8
I Bigraphs with sharing 9
2 Background: bigraphs 10
2.1 Introduction ......................................................... 10
2.2 Constituents of bigraphs .......................................... 13
2.3 Operations on bigraphs ............................................ 16
2.4 Algebraic form ...................................................... 20
2.4.1 Axioms and elementary Bigraphs .......................... 21
2.4.2 Normal form .................................................. 23
2.4.3 Algebraic operators ......................................... 24
2.5 Sorting ............................................................... 26
2.6 Bigraphical reactive systems .................................... 27
2.7 BiLog ................................................................. 30
2.8 Categorical semantics for bigraphs ............................. 31
2.9 Stochastic bigraphs ............................................... 33
2.10 Other extensions and applications ........................................ 34
2.10.1 Implementation .................................................. 35
2.11 Summary ........................................................................... 35
3 Bigraphs with sharing ................................................................. 37
3.1 Motivation ....................................................................... 37
3.2 Formal definition ............................................................ 39
3.2.1 Concrete place graphs with sharing ......................... 40
3.2.2 Operations for place graphs with sharing ................. 40
3.2.3 Bigraphs with sharing ............................................. 46
3.3 Graphical notation ........................................................... 46
3.4 Categories of bigraphs with sharing .................................. 48
3.5 Algebraic form .............................................................. 55
3.5.1 Axioms for bigraphical equality ............................... 60
3.6 Discussion ...................................................................... 62
3.7 Summary ....................................................................... 65
4 Matching of bigraphs with sharing ............................................. 66
4.1 Introduction ................................................................... 66
4.2 Algorithm ...................................................................... 70
4.2.1 Definition .............................................................. 72
4.2.2 Examples .............................................................. 76
4.2.3 Soundness and completeness ................................. 80
4.3 Summary ...................................................................... 86
II Applications ........................................................................... 87
5 BigraphER: Bigraph Evaluator & Rewriting ................................. 88
5.1 Overview ...................................................................... 88
5.2 Implementation ............................................................. 91
5.2.1 Bigraphical structures ........................................... 91
5.2.2 Matching engine .................................................. 96
5.2.3 Rewriting engine .................................................. 99
5.2.4 Visualisation ...................................................... 100
5.3 Checking predicates ................................................. 101
5.4 Summary ............................................................. 103
6 Model of the 802.11 CSMA/CA RTS/CTS protocol ............... 105
6.1 Introduction .................................................... 106
6.2 The protocol: 802.11 RTS/CTS handshake ..................... 107
6.3 Bigraphical model of wireless network topology .......... 108
6.4 Stochastic reaction rules modelling the protocol .......... 113
6.5 Execution of an example network ............................ 123
6.6 CTMC analysis ................................................ 126
6.6.1 Analysis of quantitative properties ................... 129
6.7 Summary ....................................................... 132
7 Real-time verification for home network management ............ 134
7.1 Overview ...................................................... 135
7.2 Bigraphical model ............................................ 136
7.2.1 Network topology ....................................... 136
7.2.2 Network events ......................................... 137
7.2.3 Status predicates ...................................... 143
7.3 Generation of models in real-time .......................... 143
7.4 Bigraphical models of policies ............................. 145
7.5 Generating models of policy events in real-time .......... 147
7.5.1 Encoding forbid policy events ........................ 148
7.5.2 Encoding allow policy events .......................... 149
7.5.3 Interplay between network and policy events ......... 150
7.6 Model analysis .............................................. 151
7.7 Implementation .............................................. 154
7.8 Summary ..................................................... 155
8 Conclusion and future work 156
8.1 Thesis summary 156
8.2 Conclusion 159
8.2.1 Discussion 160
8.3 Future work 161
Appendices 163
A Category theory 163
B Continuous Time Markov Chains and the logic CSL 169
C Algebraic form of reaction rules 171
D Interplay between network events and policy events 175
References 184
Index 190
Chapter 1
Introduction
1.1 Motivation: space
*Ubiquitous computing* is a vision of future computer systems conceived about two decades ago by Weiser [65] at the Electronics and Imaging Laboratory of the Xerox Palo Alto Research Center. His model of human computer interaction foresees a huge variety of interacting smart devices that will pervade our lives. These include sensors, situated displays, mobile devices, etc that will be seamlessly integrated into everyday objects and activities. Technology advancements will enable us to build increasingly complex systems in which devices are hidden from its users and are capable of autonomously managing the environment with little or no user input. Example studies in this area are the analysis of social interactions in future domestic environments [23], the development of innovative systems for the monitoring and control of private vehicles on the public highway [24], and the application to future health monitoring systems given in [44].
This vision involves scenarios that often exhibit a complexity that is almost intractable, given current software engineering practice. This can be explained by the fact that ubiquitous systems are less structured than traditional distributed systems and *spatial locations* assume a paramount rôle by influencing the behaviour of context-aware devices. Moreover, applications may present critical requirements from the point of view of functional correctness, reliability, availability, security, and safety. Therefore, a strong need is emerging for a *formal modelling* framework capable of representing the movement of agents, their intercommunications and their locations. This is essential in order to guide the specification and programming of these systems, understand their behaviour and facilitate repair when a malfunction occurs or when a component fails.
Spatial models are formalisms for the representation of the containment relationship between physical/virtual objects, computing devices, human users and places. The authors
of [7] argue that location hierarchies based on directed acyclic graphs (DAGs) are more suitable than traditional models based on trees for the description of the spatial features of ubiquitous systems, especially when space is shared among several entities or the spatial topology is not neatly bounded. This is the case, for instance, when modelling devices interacting wirelessly as in the system drawn in Figure 1.1a. The expressive power of this spatial model becomes evident in the corresponding topology in Figure 1.1b. Unlike trees, the underlying DAG can natively represent the fact that machine A is currently occupying a space location covered by both A’s signal and B’s signal, but not by C’s signal. Besides wireless communications, other scenarios requiring this kind of location concept have been studied. Two examples are a system of presence detectors situated in the rooms of a house [50] and a model of overlapping attention spaces [8].
In this thesis we will develop a process algebra formalism for representing systems whose behaviours are affected by spatial location. The formalism is based on Milner’s *bigraphical reactive systems* but crucially, our underlying representation of spatial location is DAGs (instead of trees).
### 1.2 Related work
The quest for new conceptual models of computation has characterised informatics since its early days. Traditionally, basic formalisms such as automata, Turing machines [62] and the $\lambda$-calculus [18] are recognised as the precursors in this field. In this section, we give a brief historical background to the work in this thesis by recalling some related theoretical frameworks.
1.2. Related work
Process calculi
One of the first theories of concurrent processes was Petri nets [54] in 1962. This formalism is of particular relevance because it is perhaps the earliest example in which a rigorous mathematical treatment is used to describe discrete events. Research on the algebraic structure of processes began in the following decade. Alongside, the framework of Structural Operational Semantics (SOS), as pioneered by Plotkin [55], emerged as the preferred approach to define formally the behaviour of processes. This opened the way to the introduction of numerous process calculi (or process algebrae) such as Milner’s Calculus of Communicating Systems (CCS) [46] in 1982. A popular paradigm among process calculi consisted of providing syntactical constructs to specify interactions, communications and synchronisations among independent processes and semantics interpretation by means of labelled transition systems (LTS). In this context, the behaviour of processes began to be studied with the introduction of bisimulation relations [52]. CCS served as the basis of the $\pi$-calculus of Milner, Parrow and Walker [48] in the early 1990’s. This involved the definition of primitives to support mobility, i.e. the capability of changing the topology of the interconnections among processes during computation. Note that this does not include a notion of locality of processes. Another notable innovation was the reaction semantics of the Chemical Abstract Machine proposed by Berry and Boudol [9], in which SOS inference rules were replaced by rewrite rules on structurally congruent processes. An early model for the spatial aspects of computation was an enrichment of the $\pi$-calculus with locations [58] in which operations can be indexed by the location where they are executed. Another example in this direction was Cardelli and Gordon’s calculus of mobile ambients [16]. In both cases, the location hierarchy is organised into a tree structure.
Term rewriting
Term rewriting is the branch of theoretical computer science concerned with the transformation of algebraic terms by means of rewrite rules application. Terms are built up from variables and constants using function symbols or operations. Two of the most important properties of term rewriting systems are termination and confluence. The former is satisfied when every term in the system has at least one normal form, i.e. an expression to which no more rules apply. The latter holds if the terms can be rewritten in more than one way, to yield the same result. This formalism has been proven to be particularly suited for tasks like symbolic computation, program analysis and program transformation. A comprehensive introduction to the field is given in [3]. A generalisation of term rewriting is the theory of graph rewriting [28] in which terms are represented as finite DAGs labelled over a signature and rewriting is implemented by graph transformation. It has been successfully applied to various problems in software engineering and for the implementation of functional languages.
and database systems [29]. Categorical characterisations of term and graph rewriting were given in [60, 22].
**Bigraphs**
Bigraphs are a mathematical model for systems of interacting agents (real or virtual) introduced by Milner [47]. A bigraph consists of two independent structures: a set of nodes that can be nested one inside another, and a set of hyper-edges linking the nodes. The intended interpretation is that nodes represent *locality*, i.e. the spatial placement of agents, while links encode *connectivity*, i.e. their communication capabilities. The definition of bigraphs was partly inspired by the formalisms described above. In particular, the link structure recalls channels in the $\pi$-calculus, and the tree structure induced by the nesting of nodes is reminiscent of the location hierarchy of mobile ambients and the concrete syntax tree of terms. Another similarity with term rewriting is a formulation of the formalism within the framework of category theory. Bigraphs admit both an algebraic and an equivalent graphical representation. Their behaviour is specified by a set of *reaction rules*. In this case, the analogy is with rewrite rules in term rewriting and in process calculi equipped with reduction semantics. The two principal motivations that led to the development of bigraphs are:
- to model directly ubiquitous systems by focusing on mobile connectivity and mobile locality;
- to provide a unification of existing theories by developing a general theory in which many existing calculi for concurrency and mobility may be represented, with a uniform behavioural theory.
**From trees to graphs**
Historically, the idea of using graphs instead of trees has emerged in several fields of computer science. An example is the adoption of *ordered binary decision trees* (OBDDs) [14] for the representation of boolean formulae in the context of model checking. In this approach, the DAG data structure implementing an OBDD is obtained by merging the isomorphic subtrees occurring in the equivalent tree encoding of a given boolean formula. Another example is the representation of terms by means of DAGs in graph term rewriting. Here, nodes with more than one parent are used to encode shared sub-terms explicitly. In both cases, the motivation for moving away from trees was to reduce the size of the data structure storing in order to speed up the verification and rewrite process, respectively. To the best of our knowledge, we are not aware of any applications of graphs for the direct modelling of space as demanded by the case studies analysed in Section 1.1.
1.3 Thesis statement
Bigraphs are a fully graphical process algebraic formalism, capable of representing both the position in space of agents and their inter-connections. However, they assume a topology based on sets of trees and thus cannot represent spatial locations that are shared among several entities in a simple or intuitive way. This is a problem, because shared locations are often a requirement, for example, when modelling scenarios in the physical world or in modern complex computer systems such as wireless networks and spatial-aware applications in ubiquitous computing.
We propose bigraphs with sharing, a generalisation of the original definition of bigraphs, to allow for overlapping topologies. The new locality model is based on directed acyclic graphs.
We demonstrate the new formalism can be defined in the general framework of bigraphical theories and wide reactive systems, as originally devised by Milner. We do so by defining a categorical interpretation of bigraphs with sharing, an axiomatisation derived from the equations of a bialgebra over finite ordinals, and a normal form to express bigraphical terms. We illustrate how sharing is essential for modelling overlapping localities by presenting two example case studies in the field of wireless networking. We show that bigraphs with sharing can be used realistically in a production environment by describing the implementation of an efficient matching algorithm and a software tool for the definition, simulation, visualisation and analysis of bigraphical reactive systems.
1.4 Overview of the thesis
This thesis is arranged into two distinct parts: Part I presents the theory of bigraphs with sharing; Part II investigates their adoption as a practical modelling tool. The subsequent chapters are organised in the following way.
In Part I, Chapter 2 introduces Milner’s definition of bigraphs, together with the operations that build them, i.e. composition and tensor product. First, it defines a graphical notation for bigraphs and an algebra for bigraphical terms. Second, it presents the dynamics of bigraphs based on the notion of Bigraphical Reactive System (BRS). Third, it introduces the various kinds of category used to develop the theory of bigraphs. Finally, it discusses the spatial logic for bigraphs, BiLog, and other extensions of the basic formalism such as stochastic bigraphs.
Chapter 3 formally defines bigraphs with sharing. First, it analyses the motivations behind the development of a new locality concept in which space is represented by directed acyclic graphs. Second, it introduces an unambiguous graphical notation for bigraphs with
sharing, an algebraic axiomatisation and a normal form. Finally, it shows how bigraphs with sharing fit in to the general categorical interpretation of Milner’s bigraphs.
Chapter 4 concludes the first part of the thesis. It defines an efficient matching algorithm for bigraphs with sharing based on a reduction to the sub-graph isomorphism problem. It also contains proofs of soundness and completeness of the matching algorithm.
In Part II, Chapter 5 describes BigraphER, an implementation of BRS that natively supports place graphs with sharing. In particular, it analyses the manipulation and visualisation routines, the matching engine based on a SAT encoding of the matching algorithm defined in Chapter 4, and the rewriting engine for the computation of a reaction relation in a BRS. It also introduces a method based on matching for the verification of a decidable fragment of BiLog.
Chapter 6 tests the adequacy of bigraphs with sharing by presenting a model of a non-trivial communication protocol for wireless networks that supports arbitrary topologies. The idea of the model is to represent overlapping wireless signals as shared nodes and the various phases of the protocol with stochastic reaction rules organised into priority classes. Quantitative analysis is carried out by using a probabilistic model checker Prism.
Chapter 7 reports on an application of bigraphs with sharing for real-time verification of domestic wireless network management. First, it describes how network topologies are modelled as sorted bigraphs and how network events such as moving in and out of the router’s range, and granting and revoking of DHCP leases are encoded as reaction rules. Second, it defines reaction rules to represent enforce/drop policy events. Finally, it discusses the rôle of BiLog predicates in the analysis of network configurations and compliance with policies.
Chapter 8 concludes the thesis. It contains a summary of the previous chapters and suggests some directions for future development of bigraphs with sharing, both in practice and theory.
Appendix A serves as a reference on category theory. All the categorical concepts utilised in the rest of the thesis (mainly in chapters 2 and 3) are summarised and defined here.
Appendix B formally defines Continuous Time Markov Chains (CTMCs) and the syntax and semantics of the logic CSL (Continuous Stochastic Logic).
Appendix C contains algebraic definitions of all the bigraphs and bigraphical rules used in the model of the communication protocol described in Chapter 6.
Appendix D shows an example of event-driven generation of bigraphical models of the current configuration of a domestic wireless network, as specified in Chapter 7. The chapter contains both graphical and algebraic definitions of the reaction rules.
1.5 Contribution
This thesis makes the following main contributions:
- The definition of bigraphs with sharing, a novel generalisation of Milner’s bigraphs in which locality is modelled by directed acyclic graphs instead of forests. This includes a formal definition of place graphs with sharing and their operations (i.e. composition and tensor product), an unambiguous graphical notation that allows for an explicit representation of shared nodes, and an axiomatisation equipped with a normal form to express algebraically bigraphical terms. It is also shown how the new formalism fits the general categorical interpretation of bigraphs based on symmetric (partial) monoidal categories.
- The definition of a graph theoretic matching algorithm for bigraphs with sharing that is based on a reduction to the sub-graph isomorphism problem. The new algorithm is proven sound and complete.
- A prototype implementation of BRS with sharing. This consists of an OCaml library and a command-line tool that provide a matching engine based on an efficient SAT encoding of the matching algorithm, a rewriting engine for the computation of the reaction relation and the state space of a BRS, and a visualisation component for the automatic generation of the graphical representation of a bigraph. The software also supports rule priorities and stochastic reaction rules.
- A reasoning technique for a class of BiLog predicates based on bigraph matching.
- Two example applications of bigraphs with sharing in real-world scenarios that highlight how the new formalism facilitates the specification of complex yet compact models. Three different strategies are employed to obtain fruitful and efficient models. First, rule priorities and instantaneous rules are used to discard intermediate interleavings that are confluent, thus considerably reducing the state space of a BRS. Second, sequences of rule application to tag/untag entities offer an elegant way to overcome the limitation of matching. They also allow us to control the number of times a rule is applied and to verify predicates involving universal quantifiers or negated existential quantifiers. A further benefit includes avoiding the introduction of duplicates, i.e. nodes of the same control. This permits us to effectively consider unique controls as node identifiers and track nodes through reaction. Third, the use of non parameterised reaction rules leads to instances of matching that are solvable in polynomial time.
1.6 Publications
Some of the material in this thesis has been previously reported in the following papers:
- Many of the definitions and proofs in Chapter 3 appear in [56].
- A preliminary version of the matching algorithm described in Chapter 4 and the implementation discussed in Chapter 5 appear in [57].
- The application of real-time verification of domestic wireless network management given in Chapter 7 and Appendix D appears in [15].
Part I
Bigraphs with sharing
Chapter 2
Background: bigraphs
This chapter summarises the state of the art in bigraphs. The main reference is Milner’s text [47].
In Section 2.1, we give an informal introduction to the formalism, we introduce the graphical notation for the representation of bigraphs and we set some conventions and terminology. In Section 2.2 bigraphs and their constituents, namely place and link graphs, are formally defined. Section 2.3 is devoted to the definition of the fundamental operations on bigraphs, i.e. composition and tensor product. Section 2.4 introduces an algebra for bigraphical terms, while a typing discipline on bigraphs, called sorting, is presented in Section 2.5. The part of the theory dealing with the dynamic evolution of bigraphs is in Section 2.6, where Bigraphical Reactive Systems are defined. An overview of the spatial logic for bigraphs, BiLog, is given in Section 2.7. Section 2.8 briefly summarises how bigraphs can be defined in the general setting of category theory. Stochastic bigraphs are presented in Section 2.9. Other extensions of the basic formalism and known software tools for the manipulation of bigraphs and Bigraphical Reactive Systems are discussed in Section 2.10. Finally, some concluding remarks are given in Section 2.11.
2.1 Introduction
Bigraphs are a recent formalism conceived for modelling agents, their spatial arrangement and their inter-connections. A bigraph has a graphical form and an equivalent algebraic form. For now, we focus on the former, since it allows for a more intuitive description of the formalism.
Let us begin by considering example bigraph $B$ shown Figure 2.1. In the graphical form, agents, or entities (real or virtual) are encoded by nodes, represented as ovals and circles. Their spatial placement is described by node nesting. Nodes are assigned a type,
called *control*, denoted here by the labels A, B and C. The set of controls of a bigraphs is called the *signature*. A node is said to be *atomic* if it does not contain any sites or nodes. Interactions between agents are represented by *links* like, for instance, the edge connecting the A-node and the C-node. Each node can have zero, one or many *ports*, indicated by bullets. They can be thought of as sockets into which links can be plugged. Observe that nodes of the same control have also the same number of ports. Dashed rectangles denote *regions* (sometimes called *roots*). The rôle of a region is to describe adjacent parts of the system. Grey squares are called *sites*. They encode parts of the model that have been abstracted away. Regions and sites are indexed by natural numbers (starting from 0) form left to right. These are crucial in the definition of composition for bigraphs, as we will see in greater detail in Section 2.3. Nodes, sites and roots are the *places* of a bigraph. Note that there is no significance in where a link crosses the boundary of a place in a bigraph. A bigraph can have *inner names* and *outer names*. In our example, $y$ is an outer name while $x$ is an inner name. By convention in the graphical form, inner names and outer names are drawn below and above the bigraph, respectively. They encode links (or potential links) to other bigraphs representing the external environment or context. Inner names and ports are the *points* of a bigraph. A link is said to be *idle* when it has no points. Similarly, a place is idle when it does not contain any nodes or sites. Two places with the same parent, or two points with the same link, are called *siblings*.
The capabilities of a bigraph to interact with the external environment are recorded in its *interface*. For example, we write $B : \langle 1, \{x\} \rangle \rightarrow \langle 2, \{y\} \rangle$ to indicate that $B$ has one site, two regions and its inner and outer names are sets of names $\{x\}$ and $\{y\}$, respectively. Pair $\langle 1, \{x\} \rangle$ is called the *inner face* of $B$, while $\langle 2, \{y\} \rangle$ is its *outer face*. We will see in greater detail in Section 2.3 how interfaces allow bigraphs to be composed and how they allow one bigraph to be considered as a component of another bigraph.
Elements forming a bigraphs, namely nodes and edges, can be assigned unique identifiers, collectively called the *support* of a bigraph. A bigraph with identifiers is said to be *concrete*. An example concrete bigraph, $\bar{B}$, is drawn in Figure 2.2a. Observe that $\bar{B}$ correFigure 2.2: Concrete bigraph $\widetilde{B}$ and its constituents: concrete place graph $\widetilde{B}^p$ and concrete link graph $\widetilde{B}^l$.
ponds to bigraph $B$ given in Figure 2.1 with the addition of identifiers. Nodes are indicated with $v_0$, $v_1$ and $v_2$, while edges are $e_0$ and $e_1$.
Summarising, locality is represented by node placement while connectivity is encoded by the links of the bigraph. This characteristic can be made explicit by defining bigraphs in terms of the constituent notions of place graph and link graph. A place graph is a structure defined over the places of a bigraph able to capture their nesting. More precisely, the structure is a forest whose roots are the regions of the corresponding bigraph and leaves are its sites and atomic nodes. A link graph is a structure describing the linkage of a bigraph. It consists of a hyper-graph whose vertices are the names and nodes of the corresponding bigraph and hyper-edges are its links. The place graph $\widetilde{B}^p$ and link graph $\widetilde{B}^l$ for concrete bigraph $\widetilde{B}$ are shown in Figure 2.2\footnote{Controls are omitted.}. The two structures are independent and they only share the set of nodes. This allows to define distinct interfaces for place graphs and link graphs. In the example, $\widetilde{B}^p : 1 \rightarrow 2$ and $\widetilde{B}^l : \{x\} \rightarrow \{y\}$.
**Notation and conventions**
We frequently interpret a natural number as a finite ordinal, namely $m = \{0, 1, \ldots, m - 1\}$. We write $S \uplus T$ to indicate the union of sets known or assumed to be disjoint. If a function $f$ has domain $S$ and $S' \subseteq S$, then $f \upharpoonright S'$ denotes the restriction of $f$ to $S'$. For two functions
$f$ and $g$ with disjoint domains $S$ and $T$ we write $f \uplus g$ for the function with domain $S \uplus T$ such that $(f \uplus g) \mid S = f$ and $(f \uplus g) \mid T = g$. We write $\text{Id}_S$ for the identity function on the set $S$.
In defining bigraphs we assume that names, node-identifiers and edge-identifiers are drawn from three infinite sets, respectively $\mathcal{X}$, $\mathcal{V}$ and $\mathcal{E}$, disjoint from each other. We denote identifiers by lower-case letters: $x, y, z$ for names, $v, u$ for nodes, and $e_0, e_1, \ldots$ for edges. Upper-case letters $A, B, \ldots$ are used to denote bigraphs and their constituents. Concrete bigraphs are usually indicated with $\tilde{A}, \tilde{B}, \ldots$. We call the trivial interface $\epsilon \overset{\text{def}}{=} \langle 0, \emptyset \rangle$ the origin.
### 2.2 Constituents of bigraphs
As mentioned previously, every bigraph consists of two orthogonal structures: a place graph specifying the spatial relation among its entities and a link graph defining their connectivity. We begin by defining signatures.
**Definition 2.2.1 (signature).** A *signature* takes the form $(\mathcal{K}, ar)$. It has a set $\mathcal{K}$ whose elements are controls, and map $ar : \mathcal{K} \to \mathbb{N}$ assigning an *arity* to each control. A bigraph over $\mathcal{K}$ assigns to each node a control, whose arity indexes the ports of a node.
A signature suitable for the examples in Figures 2.1 and 2.2a is $\mathcal{K} = \{A : 2, B : 2, C : 1\}$. Now, we are ready to define formally place graphs and link graphs.
**Definition 2.2.2 (concrete place graph).** A *concrete place graph*
$$F = (V_F, ctrl_F, prnt_F) : m \to n$$
is a triple having an inner face $m$ and an outer face $n$. These index respectively the sites and roots of the place graph. $F$ has a finite set $V_F \subset \mathcal{V}$ of nodes, a *control map* $ctrl_F : V_F \to \mathcal{K}$, and a *parent map*
$$prnt_F : m \uplus V_F \to V_F \uplus n$$
which is acyclic, i.e. if $prnt^i_F(v) = v$ for some $v \in V_F$ then $i = 0$.
The defining triple for example place graph $\tilde{B}^P$ drawn in Figure 2.2b is given by
$$(V, ctrl, prnt) = (\{v_0, v_1, v_2\}, \{v_0 : B, v_1 : A, v_2 : C\}, \{(0, v_0), (v_1, v_0), (v_0, 0), (v_2, 1)\}) .$$
**Definition 2.2.3 (concrete link graph).** A *concrete link graph*
$$F = (V_F, E_F, ctrl_F, link_F) : X \to Y$$
is a quadruple having an inner face $X$ and an outer face $Y$, both finite subsets of $\mathcal{X}$, called respectively the *inner* and *outer names* of the link graph. $F$ has finite sets $V_F \subset \mathcal{V}$ of *nodes* and $E_F \subset \mathcal{E}$ of *edges*, a *control map* $ctrl_F : V_F \to \mathcal{K}$ and a *link map*
$$link_F : X \uplus P_F \to E_F \uplus Y$$
where $P_F \overset{\text{def}}{=} \{(v, i) | i \in ar(ctrl_F(v))\}$ is the set of *ports* of $F$. Thus $(v, i)$ is the $i$th port of node $v$. We shall call $X \uplus P_F$ the points of $F$, and $E_F \uplus Y$ its *links*.
The edges and link map for example link graph $\tilde{B}^L$ in Figure 2.2c are $E = \{e_0, e_1\}$ and
$$link = \{(x, e_0), ((v_0, 0), e_0)), ((v_1, 0), e_1), ((v_2, 0), e_1), ((v_0, 1), y), ((v_1, 1), y)\}.$$
A concrete bigraph simply consists of a concrete place graph and a concrete link graph.
**Definition 2.2.4** (concrete bigraph). A *concrete bigraph*
$$F = (V_F, E_F, ctrl_F, prnt_F, link_F) : \langle k, X \rangle \to \langle m, Y \rangle$$
consists of a concrete place graph $F^p = (V_F, ctrl_F, prnt_F) : k \to m$ and a concrete link graph $F^l = (V_F, E_F, ctrl_F, link_F) : X \to Y$. We write the concrete bigraph as $F = \langle F^p, F^l \rangle$.
Diagrams for example bigraph $\tilde{B} : \langle 1, \{x\} \rangle \to \langle 2, \{y\} \rangle$ and its constituents $\tilde{B}^p : 1 \to 2$ and $\tilde{B}^l : \{x\} \to \{y\}$ are given in Figure 2.2.
The structures introduced above are called concrete because their nodes and edges are uniquely identified by members of $\mathcal{V}$ and $\mathcal{E}$. Formally, given a concrete bigraph $F$, its support is $|F| = V_F \uplus E_F$. The identifiers of nodes and edges can be varied in a disciplined way by means of a *support translation*.
**Definition 2.2.5** (support translation). Given two bigraphs $F, G : \langle k, X \rangle \to \langle m, Y \rangle$, a support translation $\rho : |F| \to |G|$ from $F$ to $G$ consists of a pair of bijections $\rho_V : V_F \to V_G$ and $\rho_E : E_F \to E_G$ that respect structure in the following sense:
1. $\rho$ preserves controls, i.e. $ctrl_G \circ \rho_V = ctrl_F$. It follows that $\rho$ induces a bijection $\rho_P : P_F \to P_G$ on ports, defined by $\rho_P((v, i)) \overset{\text{def}}{=} (\rho_V(v), i)$.
2. $\rho$ commutes with the structural maps as follows:
$$prnt_G \circ (\text{Id}_m \uplus \rho_V) = (\text{Id}_n \uplus \rho_V) \circ prnt_F$$
$$link_G \circ (\text{Id}_X \uplus \rho_P) = (\text{Id}_Y \uplus \rho_E) \circ link_F.$$
Given $F$ and the bijection $\rho$, these conditions uniquely determine $G$. We therefore denote $G$ by $\rho^* F$, and call it the support translation of $F$ by $\rho$. We call $F$ and $G$ support equivalent, and we write $F \simeq G$, if such a translation exists. Support translation is defined similarly for place graphs and link graphs.
An example of support equivalent place graphs is given in Figure 2.3. The support translation can be made explicit by writing $G = \rho^* F$, where $\rho(v_i) = u_i$ with $i \in \{0, 1, 2\}$.
Support is essential for the formal definition of bigraphs and their operations, as will become clear in Section 2.3. However, in most applications, support is irrelevant and thus it is often dropped. This is because one wishes to abstract and not to regard support-equivalent bigraphs as different. Formally, abstract bigraphs, i.e. without identifiers, can be interpreted as equivalence classes of support equivalent bigraphs. An example abstract bigraph, $B$, is shown in Figure 2.1. It represents the class of concrete bigraphs obtainable by applying any valid support translation to concrete bigraph $\widetilde{B}$ drawn in Figure 2.2a. One technicality arises when bigraphs have idle edges. Therefore, we need to quotient by a slightly larger equivalence, as follows:
**Definition 2.2.6** (leanness). A bigraph is lean if it has no idle edges. Two bigraphs $F$ and $G$ are lean-support equivalent, written $F \trianglelefteq G$, if they are support-equivalent after discarding any idle edges.
**Definition 2.2.7** (abstract bigraph, abstraction). An abstract bigraph $B : \langle k, X \rangle \rightarrow \langle m, Y \rangle$ consists of a $\trianglelefteq$-equivalence class of concrete bigraphs: $B = [\widetilde{F}]_\trianglelefteq$ with $\widetilde{F} : \langle k, X \rangle \rightarrow \langle m, Y \rangle$ a concrete bigraph. Bigraph $B$ is also called the abstraction of $\widetilde{F}$.
Sometimes it is also useful to move in the opposite direction, namely from abstract bigraphs to concrete ones:
**Definition 2.2.8** (Concretion). If $G$ is an abstract bigraph, then a concrete bigraph $\widetilde{G}$, called a concretion of $G$, is obtained by assigning to each node a unique identifier $v \in V$ and to each edge a unique identifier $e \in E$.
Observe that any two concretions $\widetilde{A}, \widetilde{B}$ of the same bigraph are always support equivalent.
2.3 Operations on bigraphs
We can now describe how to make larger bigraphs from smaller ones. An example of composition is shown in Figure 2.4c: bigraph $A$ is the result of the composition of bigraphs $G$ and $B$, given in Figures 2.4a and 2.4b, respectively.
Algorithmically, we can think of composition as placing one bigraph, e.g. $B$, in the context represented by another, e.g. $G$. For this we require the outer face of $B$ to equal the inner face of $G$. We write $G \circ B$ to indicate composition, i.e. that bigraph $B$ is inserted into bigraph $G$. In more detail, when a bigraph is inserted into another, its outer names are merged with the corresponding inner names of the host bigraph, and its roots are merged with the corresponding sites of the host bigraph. In the example, the root in $B$ containing the C-node is merged with the site inside the D-node in $G$. Moreover, the D-node is linked...
over common name $y$ to nodes of control A and B. Sometimes $G$ is called the *context* or the *environment* for $B$.
We now define separately composition for concrete place graphs and link graphs.
**Definition 2.3.1** (composition for concrete place graphs). If $F : k \to m$ and $G : m \to n$ are two concrete place graphs with disjoint supports, their composite
$$G \circ F = (V, ctrl, prnt) : k \to n$$
has nodes $V = V_F \uplus V_G$ and control map $ctrl = ctrl_F \uplus ctrl_G$. Its parent map $prnt$ is defined as follows: If $w \in k \uplus V$ is a site or a node in $G \circ F$ then
$$prnt(w) \overset{\text{def}}{=} \begin{cases}
prnt_F(w) & \text{if } w \in k \uplus V_F \text{ and } prnt_F(w) \in V_F, \\
prnt_G(j) & \text{if } w \in k \uplus V_F \text{ and } prnt_F(w) = j \in m, \\
prnt_G(w) & \text{if } w \in V_G .
\end{cases}$$
An example of composition for place graphs is given in Figure 2.5. Note that place graph $\tilde{B}^P$ is drawn in Figure 2.2b.
**Definition 2.3.2** (composition for concrete link graphs). If $F : X \to Y$ and $G : Y \to Z$ are two concrete link graphs with disjoint support, their composite
$$G \circ F = (V, E, ctrl, link) : X \to Z$$
has $V = V_F \uplus V_G$, $E = E_F \uplus E_G$, $ctrl = ctrl_F \uplus ctrl_G$. Its link map $link$ is defined as follows: If $q \in X \uplus P_F \uplus P_G$ is a point of $G \circ F$ then
$$link(q) \overset{\text{def}}{=} \begin{cases}
link_F(q) & \text{if } q \in X \uplus P_F \text{ and } link_F(q) \in E_F, \\
link_G(y) & \text{if } q \in X \uplus P_F \text{ and } link_F(q) = y \in Y, \\
link_G(q) & \text{if } q \in P_G .
\end{cases}$$
An example of composition for link graphs is in Figure 2.6. Link graph $\tilde{B}^L$ is depicted in Figure 2.2c.
By combination of the previous two definitions, it is possible to define composition for concrete bigraphs.
**Definition 2.3.3** (composition for concrete bigraphs). If $F : \langle k, X \rangle \to \langle m, Y \rangle$ and $G : \langle m, Y \rangle \to \langle n, Z \rangle$ are two concrete bigraphs with disjoint supports, their composite is
$$G \circ F \overset{\text{def}}{=} \langle G^P \circ F^P, G^L \circ F^L \rangle : \langle k, X \rangle \to \langle n, Z \rangle.$$
Identities are node-free elementary bigraphs which are neutral for the composition operation:
**Definition 2.3.4** (identities). Identities at ordinal $m$, set of names $X$ and interface $\langle m, X \rangle$ are given by
\begin{align*}
\text{id}_m &= (\emptyset, \emptyset, \text{Id}_m) : m \to m, \\
\text{id}_X &= (\emptyset, \emptyset, \emptyset, \text{Id}_X) : X \to X, \\
\text{id}_{\langle m, X \rangle} &= \langle \text{id}_m, \text{id}_X \rangle : \langle m, X \rangle \to \langle m, X \rangle,
\end{align*}
respectively.
The other fundamental operation on bigraphs is *tensor product*, denoted by $\otimes$. It is only defined over bigraphs with disjoint interfaces and disjoint supports and it consists of putting two bigraphs side-by-side. More precisely, we say that two bigraphs $F_i : \langle m_i, X_i \rangle \to \langle n_i, Y_i \rangle$, with $(i = 0, 1)$, have disjoint interfaces if $X_0 \cap X_1 = \emptyset$ and $Y_0 \cap Y_1 = \emptyset$. Tensor product over interfaces $I = \langle m, X \rangle$ and $J = \langle n, Y \rangle$ is defined as $I \otimes J = \langle m + n, X \uplus Y \rangle$. As for composition, we first define tensor product independently for concrete place and link graphs.
**Definition 2.3.5** (tensor for concrete place graphs). If $F_i = (V_i, \text{ctrl}_i, \text{prnt}_i) : m_i \to n_i$ are disjoint place graphs $(i = 0, 1)$ their tensor product $F_0 \otimes F_1 : m_0 + m_1 \to n_0 + n_1$ is given by
$$F_0 \otimes F_1 \overset{\text{def}}{=} (V_0 \uplus V_1, \text{ctrl}_0 \uplus \text{ctrl}_1, \text{prnt}_0 \uplus \text{prnt}_1'),$$
where $\text{prnt}_1'(m_0 + i) = n_0 + j$ whenever $\text{prnt}_1(i) = j$.
Definition 2.3.6 (tensor for concrete link graphs). If \( F_i = \langle V_i, E_i, \text{ctrl}_i, \text{link}_i \rangle : X_i \rightarrow Y_i \) are disjoint link graphs (\( i = 0, 1 \)) their tensor product
\[
F_0 \otimes F_1 : X_0 \uplus X_1 \rightarrow Y_0 \uplus Y_1
\]
is given by
\[
F_0 \otimes F_1 \overset{\text{def}}{=} \langle V_0 \uplus V_1, E_0 \uplus E_1, \text{ctrl}_0 \uplus \text{ctrl}_1, \text{link}_0 \uplus \text{link}_1 \rangle .
\]
Again, by combining the previous two definitions, we obtain tensor product for concrete bigraphs:
Definition 2.3.7 (tensor for concrete bigraphs). If \( F_i : \langle m_i, X_i \rangle \rightarrow \langle n_i, Y_i \rangle \) are disjoint bigraphs (\( i = 0, 1 \)) their tensor product
\[
F_0 \otimes F_1 : \langle m_0 + m_1, X_0 \uplus X_1 \rangle \rightarrow \langle n_0 + n_1, Y_0 \uplus Y_1 \rangle
\]
is defined as
\[
F_0 \otimes F_1 \overset{\text{def}}{=} \langle F_0^P \otimes F_1^P, F_0^L \otimes F_1^L \rangle .
\]
Identity \( \text{id}_e \) is neutral for tensor product.
Operations on abstract bigraphs are defined over congruence classes as follows:
Definition 2.3.8 (operations for abstract bigraphs). Operations on abstract bigraphs are defined as operations on the corresponding concretions to which is applied the \( \equiv \)-equivalence afterwards:
- If \([F]_\equiv : \langle k, X \rangle \rightarrow \langle m, Y \rangle\) and \([G]_\equiv : \langle m, Y \rangle \rightarrow \langle n, Z \rangle\) are two abstract bigraphs, their composite is
\[
[G]_\equiv \circ [F]_\equiv \overset{\text{def}}{=} [G \circ F]_\equiv : \langle k, X \rangle \rightarrow \langle n, Z \rangle .
\]
- If \([F_i]_\equiv : \langle m_i, X_i \rangle \rightarrow \langle n_i, Y_i \rangle\) are two abstract bigraphs (\( i = 0, 1 \)) with disjoint interfaces, their tensor product is
\[
[F_0]_\equiv \otimes [F_1]_\equiv \overset{\text{def}}{=} [F_0 \otimes F_1]_\equiv : \langle m_0 + m_1, X_0 \uplus X_1 \rangle \rightarrow \langle n_0 + n_1, Y_0 \uplus Y_1 \rangle .
\]
Finally, sub-components of a bigraph are specified as follows:
Definition 2.3.9 (occurrence, matching). A bigraph \( F \) occurs in a bigraph \( G \) if the equation \( G = C_1 \circ (F \otimes \text{id}_I) \circ C_0 \) holds for some interface \( I \) and bigraphs \( C_0 \) and \( C_1 \). The computational problem of determining whether a given graph occurs in another bigraph is called the
matching problem (for bigraphs). We say that $F$ matches $G$ or $F$ is a match in $G$ when $F$ occurs in $G$.
The decomposition of a bigraph $G$ induced by match $F$ is described graphically in Figure 2.7. Observe that identity $\text{id}_I$ is necessary to allow nodes in $C_1$ to have children also in $C_0$, and to allow $C_1$ and $C_0$ to share links that do not involve $F$. When considering concrete bigraphs, the supports of $G$ and $F$ have to be compatible in order to find a valid occurrence.
**Definition 2.3.10** (concrete occurrence). Let $F$ and $G$ be two concrete bigraphs. We say there is a concrete occurrence of $F$ in $G$ if the equation $G = C_1 \circ (F' \otimes \text{id}_I) \circ C_0$ holds for some interface $I$, and concrete bigraphs $F'$, $C_0$ and $C_1$, where $F' \cong F$. Two concrete occurrences are equal if they differ only by a permutation or a bijective renaming on the inner interface of $C_1$ and the outer interface of $C_0$.
An important property is that it is possible to determine an (abstract) occurrence starting from a concrete one. In other words, a bigraph $F$ occurs in $G$ only if an arbitrary concretion of $F$ occurs in an arbitrary concretion of $G$. In both the abstract and concrete case, a match $F$ may induce more than one decomposition of $G$. Since composition and tensor product are defined independently over the constituents of a bigraphs, the previous two definitions can be reformulated by using place graphs and link graphs only, i.e. $F$ occurs in $G$ only if $F^p$ occurs in $G^p$ and $F^l$ occurs in $G^l$.
### 2.4 Algebraic form
All bigraphs can be expressed in terms of elementary bigraphs by means of composition and tensor product. This allows us to represent bigraphical terms structurally as in process algebra. The algebraic structure we will introduce in the following specifies abstract bigraphs.
A bigraph is called discrete if it has no closed links, i.e. edges, and its link map is bijective. A bigraph is prime if it has no inner names and an outer face in the form $\langle 1, X \rangle$. These two kinds of bigraph are important for the algebraic structure of bigraphs and will be used in Section 2.4.2 to define a normal form. We denote the interfaces of bigraphs by $I, J, K$. When there is no ambiguity, we shall often write a name set $\{x, y, z, \ldots\}$ as $\{xyz\cdots\}$ or
even abbreviate \{x\} to x. We write n to indicate interface \( \langle n, \emptyset \rangle \) and Y for \( \langle 0, Y \rangle \). We write \( \bigotimes_{i < n} F_i \) for the iterated tensor product \( F_0 \otimes \cdots \otimes F_{n-1} \). This is id_n when n = 0. We sometimes write \( F_0 F_1 \) for composition, letting it bind tighter than tensor product. All operations are assumed to be defined.
### 2.4.1 Axioms and elementary Bigraphs
Basic axioms for a theory of bigraphical terms are induced from the definitions of composition and tensor product:
\[
A \circ \text{id}_X = A = \text{id}_Y \circ A \quad A : X \to Y
\]
\[
A \circ (B \circ C) = (A \circ B) \circ C
\]
\[
A \otimes \text{id}_e = A = \text{id}_I \otimes A
\]
\[
\text{id}_I \otimes \text{id}_J = \text{id}_{I \otimes J}
\]
\[
A \otimes (B \otimes C) = (A \otimes B) \otimes C
\]
\[
(A_0 \otimes B_0) \circ (A_1 \otimes B_1) = (A_0 \circ A_1) \otimes (B_0 \circ B_1)
\]
(2.1)
They formalise the rôle of identities and associativity of \( \circ \) and \( \otimes \), and the interplay between the two operators.
Elementary place graphs are identities \( \text{id}_n : n \to n \), symmetries \( \gamma_{m,n} : m + n \to n + m \), \( 1 : 0 \to 1 \) and \( \text{join} : 2 \to 1 \). The corresponding diagrams are given in Figure 2.8. Node-free bigraphs with no links are called placings. They can all be built from the elementary place graphs. A placing that is bijective from sites to roots is a permutation. We shall use \( \phi \) and \( \pi \) to denote placings and permutations, respectively. It is useful to indicate a placing with one root and n sites by \( \text{merge}_n \). Note that \( \text{merge}_0 = 1 \), \( \text{merge}_1 = \text{id}_1 \) and \( \text{merge}_2 = \text{join} \).
Axioms for placing are:
\[
\text{join} \circ (1 \otimes \text{id}_1) = \text{id}_1
\]
\[
\text{join} \circ (\text{join} \otimes \text{id}_1) = \text{join} \circ (\text{id}_1 \otimes \text{join})
\]
\[
\text{join} \circ \gamma_{1,1} = \text{join}
\]
(2.2)
They say that \((1 = \{0\}, \text{join} : 2 \to 1, 1 : 0 \to 1)\) is a symmetric monoid\(^2\) in which placings \(\text{join}\) and \(1\) are the multiplication and the unit, respectively.
Elementary link graphs are substitutions \(y/X : X \to y\) and closures \(x/x : x \to \emptyset\) as shown in Figure 2.9. A node-free bigraph with no places is a linking. Linkings are generated by composition, tensor product and identities from substitutions and closures. A bijective substitution is called a renaming. We use \(\lambda, \sigma, \alpha\) to denote linkings, substitutions and renamings, respectively. We also indicate the empty substitution from \(\emptyset\) to \(x\) by \(x : \emptyset \to x\). Axioms for linkings are:
\[
\begin{align*}
x/x &= \text{id}_x \\
/x \circ x &= \text{id}_\emptyset \\
/y \circ y/x &= /x \\
z/Y \uplus y \circ (\text{id}_Y \otimes y/X) &= z/Y \uplus X .
\end{align*}
\]
(2.3)
Nodes are introduced by only one kind of elementary bigraph called ions. An example ion of control \(K\) is drawn in Figure 2.10. For each control \(K : n\), a ion consists of a single \(K\)-node containing a site with ports linked bijectively to \(n\) distinct names \(\vec{x}\). Notation \(K_{\vec{x}} : (1, \emptyset) \to (1, \{\vec{x}\})\) expresses this bigraph. There is one node axiom stating that ports can be named arbitrarily:
\[
(\text{id}_1 \otimes \alpha) \circ K_{\vec{x}} = K_{\alpha(\vec{x})}
\]
(2.4)
\(^2\)See Definition A.18 in Appendix A
Finally, symmetries can be generalised as follows:
\[
\gamma_{\langle m, X \rangle, \langle n, Y \rangle} \overset{\text{def}}{=} \gamma_{m, n} \otimes \text{id}_{X \uplus Y}.
\] (2.5)
Therefore, if we apply a symmetry to a bigraph, then \( \gamma \circ G \) reorders the roots of \( G \) but leaves its names unchanged. Similarly, if a bigraph is applied to a symmetry, then \( G \circ \gamma \) reorders the sites of \( G \). Also in this case, names are unaffected. A set of axioms specifying the properties of symmetries for bigraph is:
\[
\begin{align*}
\gamma_{I, \varepsilon} &= \text{id}_I \\
\gamma_{J, I} \circ \gamma_{I, J} &= \text{id}_I \otimes J \\
\gamma_{I, K} \circ (A \otimes B) &= (B \otimes A) \circ \gamma_{H, J} & (A : H \to I, B : J \to K) \\
\gamma_{X \otimes Y, Z} &= (\gamma_{X, Z} \otimes \text{id}_Y) \circ (\text{id}_X \otimes \gamma_{Y, Z}).
\end{align*}
\] (2.6)
The set of Axioms (2.1) – (2.6) is complete for equations between bigraphical expressions.
### 2.4.2 Normal form
Bigraphical terms can be decomposed uniquely into sub-terms with some standard properties. This way of expressing bigraphs is a kind of normal form called *discrete normal form* (DNF). We begin by presenting a factorisation for prime and discrete bigraphs.
**Proposition 2.4.1.** Every prime and discrete bigraph \( P \) can be expressed uniquely, up to permutations, as
\[
P = (\text{merge}_{m+n} \otimes \text{id}_Y) \circ (\text{id}_m \otimes \bigotimes_{i < n} M_i) \circ \pi
\]
\[
M = (K_E \otimes \text{id}_Y) \circ P
\]
where \( \pi \) is a permutation.
Observe that idle root 1 occurs as a special case of \( P \) when \( m = n = 0 \). Similarly, \( \text{id}_1 \) occurs when \( m = 1 \) and \( n = 0 \). The DNF for arbitrary bigraphs is as follows:
**Proposition 2.4.2 (discrete normal form).** Every bigraph \( G : \langle m, X \rangle \to \langle n, Z \rangle \) can be expressed uniquely, up to renaming on \( Y \), as
\[
G = (\text{id}_n \otimes \lambda) \circ D
\]
where \( \lambda : Y \to Z \) is a linking and \( D : \langle m, X \rangle \to \langle n, Y \rangle \) is discrete. Further, every discrete
$D$ may be factored uniquely, up to permutation of the sites of each factor, as
$$D = \alpha \otimes ((\bigotimes_{i < n} P_i) \circ \pi)$$
with $\alpha$ a renaming, each $P_i$ prime and discrete, and $\pi$ a permutation of all the sites.
We describe DNF graphically in Figure 2.11.
We now show how bigraph $A : \langle 1, x \rangle \rightarrow \langle 1, y \rangle$, depicted in Figure 2.4c, can be written in DNF:
$$A = (\text{id} \otimes \lambda) \circ D$$
$$\lambda = y/Y \otimes /Z \otimes /x$$
$$Y = \{y_0, y_1, y_2\} \quad Z = \{z_0, z_1\}$$
$$D = \text{id}_x \otimes ((P_0 \otimes P_1) \circ \text{id})$$
(2.7)
$$P_0 = (B_{y_0,x} \otimes \text{id}_{y_1,z_0}) \circ (\text{merge} \circ (\text{id} \otimes A_{y_1,z_0} \circ 1))$$
$$P_1 = (D_{y_0} \otimes \text{id}_{z_1}) \circ C_{z_1} \circ 1$$
### 2.4.3 Algebraic operators
Starting from composition and tensor product, it is possible to derive additional operators closely resembling the traditional operators found in process algebra, such as parallel composition in CCS. We will see that this allows for a more natural and succinct specification of bigraphs.
The first derived operator is *parallel product*, indicated by $\parallel$. Intuitively, it consists of a special kind of tensor product in which names are allowed to be shared between the two terms being composed.
**Definition 2.4.1** (parallel product). We begin by defining parallel product for place and link graphs. Then, the operation is defined for concrete and abstract bigraphs.
- Let $F_i = (V_i, ctrl_i, prnt_i) : m_i \rightarrow n_i$ be two concrete place graphs ($i = 0, 1$) with disjoint supports. Then their parallel product $F_0 \parallel F_1 : m_0 + m_1 \rightarrow n_0 + n_1$ is given by
$$F_0 \parallel F_1 \overset{\text{def}}{=} F_0 \otimes F_1.$$
2.4. Algebraic form
- If $F_i = (V_i, E_i, ctrl_i, link_i) : X_i \rightarrow Y_i$ are link graphs ($i = 0, 1$) with disjoint support and $link_0 \cup link_1$ is a function, their parallel product $F_0 \parallel F_1 : X_0 \cup X_1 \rightarrow Y_0 \cup Y_1$ is given by
$$F_0 \parallel F_1 \overset{\text{def}}{=} (V_0 \uplus V_1, E_0 \uplus E_1, ctrl_0 \uplus ctrl_1, link_0 \cup link_1).$$
- Let $G_i : I_i \rightarrow J_i$ be two concrete bigraphs ($i = 0, 1$) with disjoint supports. Then their parallel product $G_0 \parallel G_1 : \langle m_0 + m_1, X_0 \cup X_1 \rangle \rightarrow \langle n_0 + n_1, Y_0 \cup Y_1 \rangle$ is
$$G_0 \parallel G_1 \overset{\text{def}}{=} \langle G_0^P \parallel G_1^P, G_0^L \parallel G_1^L \rangle.$$
- If $[F_i]_\circ : \langle m_i, X_i \rangle \rightarrow \langle n_i, Y_i \rangle$ are two abstract bigraphs ($i = 0, 1$), and $F_0 \parallel F_1$ is defined, their parallel product is
$$[F_0]_\circ \parallel [F_1]_\circ \overset{\text{def}}{=} [F_0 \parallel F_1]_\circ : \langle m_0 + m_1, X_0 \cup X_1 \rangle \rightarrow \langle n_0 + n_1, Y_0 \cup Y_1 \rangle.$$
Note that the condition of $link_0 \cup link_1$ being a function is required because it avoids a shared inner name to be mapped to more than one outer name. For example expression $\text{id}_x \parallel y/x$ is not allowed because $link(x) = \{x, y\}$. However, $\text{id}_x \parallel x/y$ is valid since the requirement is satisfied, i.e. $link(x) = x$ and $link(y) = x$.
Another derived operator is merge product, written $\mid$. It is a form of parallel product that produces bigraphs with only one root.
**Definition 2.4.2** (merge product). Let $G_i : \langle m_i, X_i \rangle \rightarrow \langle n_i, Y_i \rangle$ be two bigraphs ($i = 0, 1$), and assume further that $G_0 \parallel G_1$ is defined. Their merge product is given by:
$$G_0 \mid G_1 \overset{\text{def}}{=} (\text{merge}_{n_0+n_1} \otimes \text{id}_{Y_0 \cup Y_1}) \circ (G_0 \parallel G_1)$$
with $G_0 \mid G_1 : \langle m_0 + m_1, X_0 \cup X_1 \rangle \rightarrow \langle 1, Y_0 \cup Y_1 \rangle$.
Finally, nodes can be organised spatially by means of nesting. Additionally, their names are allowed to be shared.
**Definition 2.4.3** (nesting). Let $F : I \rightarrow \langle m, X \rangle$ and $G : m \rightarrow \langle n, Y \rangle$ be bigraphs. Define the nesting $G.F : I \rightarrow \langle n, X \cup Y \rangle$ by:
$$G.F \overset{\text{def}}{=} (G \parallel \text{id}_X) \circ F.$$
Derived operators allow further convenient abbreviations. For example, if $G$ has outer face $\langle n, X \uplus Z \rangle$, we write $y/X \circ G$ to mean $(y/X \parallel \text{id}_I) \circ G$, where $I = \langle n, Z \rangle$. We usually write $\text{id}$ for $\text{id}_1$ and we omit the subscript $n$ for $\text{merge}$.
Arbitrary bigraphs have also been shown to be expressible by using the algebraic operators. This alternative normal form is called *connected normal form* (CNF). An example bigraphical expression in CNF for $A : \langle 1, x \rangle \rightarrow \langle 1, y \rangle$ in Figure 2.4c is
$$A = /x/z ((B_{xy}.(A_{yz}.1 \mid id) \mid D_y.C_z.1) \parallel id_x).$$
A quick comparison between this expression and the equivalent DNF given in Equation (2.7) shows how derived operators yield algebraic expressions that are more compact, intuitive and closer to the form of expression found in process calculi. The higher complexity of DNF is due to the fact that this normal form was introduced by Milner mainly to prove the completeness theorem for bigraphical expressions and not to provide a friendly notation for bigraphical terms. For this reason, we will always adopt algebraic operators in the expressions for the bigraphs used in the applications described in Part II.
### 2.5 Sorting
In most applications of bigraphs, it is useful to restrict the set of admissible bigraphs. This is achieved by classifying controls by means of *sorts*. Take for instance a simple scenario in which bigraphs are used to model hospitals. We have nodes of control B to represent buildings, F-nodes to model floors, R-nodes to model recovery rooms, O-nodes to encode operating rooms, etc. An example bigraph would then be
$$H = B.(F.(R.1 \mid O.1) \mid F \mid F.(id \mid R.1)). \quad (2.8)$$
Note that the intended semantics of the model forbids R-nodes from containing B-nodes, i.e. rooms cannot contain buildings. Hence, a bigraph like $H_{wrong} = R.(F.1 \mid B)$ should be regarded as not admissible. In the following, we will describe formally how to specify this kind of restriction.
Let us first establish some notational conventions. Sorts are ranged over by $a, b, \ldots$. Disjunctive sorts are written as $\overline{ab}$, meaning that a node can either be of sort $a$ or sort $b$. A bigraph satisfying a sorting $\Sigma$ is called $\Sigma$-*sorted*.
Let us begin with the classification of places.
**Definition 2.5.1** (place sorting). A *place sorting* $\Sigma = (\Theta, K, \Phi)$ has a non-empty set $\Phi$ of sorts and a signature $K$ *place-sorted* over $\Theta$, i.e. assigning a sort to each control. Component $\Phi$ is the *formation rule* of $\Sigma$. It is a property of $\Sigma$-sorted bigraphs that is satisfied by the identities and symmetries, and preserved by composition and tensor product.
When applying sorting $\Sigma$ to interface $n$, we write $\vec{\theta}$, where $\vec{\theta} = \theta_1 \cdots \theta_n$ lists the sorts $\theta_i$ assigned to each $i \in n$.
We now formalise the hospital modelling scenario presented above by specifying a place-sorting as follows:
$$\Theta = \{b, f, r\}, \quad K = \{B : b, F : f, R : r, O : r\},$$
and $\Phi$ requires:
- an $r$-node is atomic;
- all children of a $b$-node or $f$-root have sort $f$;
- all children of an $f$-node or $r$-root have sort $r$;
- all children of a $\theta$-root have sort $\theta$, where $\theta \in \Theta$.
Observe that bigraph $H_{wrong}$ is indeed not admissible because the $r$-node is not atomic. The interface of the model given in Equation (2.8) is $H : \langle rr, \emptyset \rangle \to \langle b, \emptyset \rangle$. It can be composed with sorted bigraph $R : \epsilon \to \langle rr, \emptyset \rangle$ given by $R = (R.1 \mid R.1) \parallel O.1$. The composite $H \circ R$ is also sorted.
Links can be sorted in a similar fashion.
**Definition 2.5.2** (link sorting). A *link sorting* is a triple $\Sigma = (\Theta, K, \Phi)$ where $\Theta$ is a non-empty set of sorts, and $K$ is a *link-sorted* signature, i.e. assigning a sort to each port of each control. Component $\Phi$ is the *formation rule* of $\Sigma$. It is a property of $\Sigma$-sorted bigraphs that is satisfied by the identities and symmetries, and preserved by composition and tensor product.
When applying sorting $\Sigma$ to interface $\{x\}$, we write $\{x_1 : \theta_1, \ldots, x_n : \theta_n\}$, where each $\theta_i \in \Theta$. An example formation rule $\Phi$ is given by:
- a link has sort $\downarrow$ if it has an $\downarrow$-point;
- no link has more than 2 $\downarrow$-points.
In some applications of bigraphs, place and link sorting are often combined. It is interesting to note that several extensions of bigraphs can be expressed by an appropriate combined place-link sorting (see [13]).
### 2.6 Bigraphical reactive systems
So far we have discussed only the static structure of bigraphical systems. However, they admit a dynamical theory too, involving ways in which bigraphs may reconfigure their own
placing and linking. Such reconfigurations are defined in terms of rewrite rules, called *reaction rules*, which induce a *reaction relation* on bigraphs. An example of reaction is drawn in Figure 2.12. The diagram shows how bigraph $S_0$ on the left-hand side evolves to become bigraph $S_1$ on the right-hand side. The sub-parts of the two bigraphs being affected by the reaction are shaded in red. A reaction rule $R \rightarrow R'$ consists of pairs of bigraphs that can be inserted into the same host bigraph. Left-hand side $R$ specifies the pattern to be changed, while right-hand side $R'$ specifies the changed pattern. An example reaction rule is given in Figure 2.13. Observe that the two bigraphs $R$ and $R'$ correspond to the shaded parts in $S_0$ and $S_1$, respectively. In fact, reaction $S_0 \rightarrow S_1$ is derived by checking if $R$ matches $S_0$ and by substituting it with $R'$ to obtain the new system $S_1$.
Before presenting the formal definitions, we set some terminology. Given a set of reaction rules, we refer to the configurations that a system may adopt as *states*. Hence, in the example above, $S_0$ and $S_1$ are states. A site is *guarding* if its parent is a node. A bigraph with inner face $\epsilon$ is called *ground*. We shall call ground bigraphs *agents*, since we ascribe dynamic behaviour to them. They are ranged over by lower case letters $g, r, d, \ldots$. In order to uniquely identify an occurrence of a redex, we introduce the following property of bigraphs:
**Definition 2.6.1 (solid bigraph).** A bigraph is *solid* if these conditions hold:
1. no roots or outer names are idle;
2. no two sites or inner names are siblings;
3. every site is guarding;
4. no outer name is linked to an inner name.
At this point, we have all the notions required to formally define reaction rules. Note that we adopt the simplified definition introduced in [39]\textsuperscript{3}. All the bigraphs are assumed abstract.
**Definition 2.6.2** (reaction rule). A *reaction rule*\textsuperscript{4} is a pair
\[
R = (R : m \rightarrow J, R' : m \rightarrow J)
\]
sometimes written as \(R \longrightarrow R'\), where \(R\) is the *redex* and \(R'\) the *reactum*, and \(R\) is solid. The rule generates all the *ground reaction rules* \((r, r')\), where \(r = (R \otimes \text{id}_Y) \circ d\) and \(r' = (R' \otimes \text{id}_Y) \circ d\) for some discrete ground parameter \(d : \epsilon \rightarrow \langle m, Y \rangle\). The *reaction relation* \(\longrightarrow_R\) over ground bigraphs is defined by
\[
g \longrightarrow_R g' \text{ iff } g = Dr \text{ and } g' = Dr'
\]
for some bigraph \(D\) and some ground reaction rule \((r, r')\) generated from \(R\).
Observe that condition 4 in Definition 2.6.1 holds because \(R\) has no inner names. We also remark that the constraints on \(d\) and \(R\) do not limit the rules that can be expressed. For example, whenever \(d\) is non-discrete, it can be replaced by a discrete parameter by adjusting the context \(D\). Finally, note that \(d\) can only have nodes that are descendants of places in \(R\). This is because \(\text{id}_Y\) in the definition of \(r\).
We are now ready for the main definition:
**Definition 2.6.3** (bigraphical reactive system (BRS)). A *bigraphical reactive system* consists of a pair \((\mathcal{B}, \mathcal{R})\) where \(\mathcal{B}\) is a set of agents and \(\mathcal{R}\) is a set or reaction rules defined over \(\mathcal{B}\). It has a reaction relation
\[
\longrightarrow_{\mathcal{R}} \overset{\text{def}}{=} \bigcup_{R \in \mathcal{R}} \longrightarrow_R
\]
which will be written \(\longrightarrow\) when \(\mathcal{R}\) is understood. We write \((\mathcal{B}(\Sigma), \mathcal{R})\) when the elements of \(\mathcal{B}\) are \(\Sigma\)-sorted.
In [37], the authors introduce a different transition relation giving rise to minimal labelled transition systems. This theory is a refinement of BRS in which *labelled transitions* describe the reactions an agent may perform, possibly with assistance from its environment. Given a reaction rule \(R\), a labelled transition \(a \xrightarrow{L} \longrightarrow_R a'\) defines the minimal context \(L\) such that
\[
L \circ a = D \circ r \quad a' = D \circ r'
\]
\textsuperscript{3}In this version, left-hand sides are constrained to be solid and only linear reaction rules are allowed, i.e. sub-terms of parameter \(d\) cannot be reordered, discarded or duplicated. This corresponds to having instantiation map \(\eta = \text{Id}\) in Milner’s original definition.
\textsuperscript{4}Note that \(R\) is overloaded. It was also used to indicate the control of nodes modelling recovery rooms in the previous section.
for some rule \((r, r')\) generated from \(R\) and some context \(D\). Informally, label \(L\) describes how the environment of an agent \(a\) can assist it in triggering reaction \(R\). Observe that there is an underlying reaction \(L \circ a \rightarrow_R a'\) for every transition \(a \xrightarrow{L} R a'\). Conversely, every reaction \(a \rightarrow_R a'\) can be interpreted as transition \(a \xrightarrow{\text{id}_J} R a'\), where \(J\) is the outer interface of \(a\). This confirms the intuition that there is a reaction only when an agent provides enough context to trigger it, i.e. the redex matches the agent. Labels turn out to be important to define bisimilarity over agents. We will not use this theory in this thesis.
### 2.7 BiLog
Bigraphs can be described by **BiLog**, a spatial logic whose modal operators are capable of expressing the placing and linking structure of bigraphical terms, in a fashion common to logics for process calculi, e.g. mobile ambients and the \(\pi\)-calculus. In **BiLog**, we can express formulae like \(A \circ \varphi\) to describe a node of control \(A\) acting as context for a bigraph satisfying \(\varphi\) and \((A_a \circ \top) \otimes (B_b \circ \top)\) to describe two places next to each other, with anything inside and with different names.
The logic was introduced by Conforti, Macedonio and Sassone in [21]. We give a brief overview in the following. We indicate the set of elementary bigraphs with \(\Omega(K)\). We often omit \(K\) when an arbitrary signature is presumed. Recall that equality over bigraphical terms is defined by Axioms (2.1) – (2.6). Formulae in **BiLog** are given by
\[
\begin{align*}
\Omega &::= \quad \text{id}_I \quad \mid \quad K_x \quad \mid \quad \text{join} \quad \mid \quad 1 \quad \mid \quad \gamma_{m,n} \quad \mid \quad y/X \quad \mid \quad /x \\
\varphi, \psi &::= \quad \bot \quad \mid \quad \varphi \Rightarrow \psi \quad \mid \quad \text{id} \quad \mid \quad \Omega \quad \mid \quad \varphi \circ \psi \quad \mid \quad \varphi \otimes \psi
\end{align*}
\]
for each interface \(I\) and for each \(K_x, \gamma_{m,n}, y/X, /x \in \Omega\). The \(\models\) relation is defined inductively as follows:
\[
\begin{align*}
G \models \bot &\iff \text{never} \\
G \models \varphi \Rightarrow \psi &\iff G \models \varphi \text{ implies } G \models \psi \\
G \models \Omega &\iff G = E \text{ and } E \in \Omega \\
G \models \text{id} &\iff \exists \text{ exists } I \text{ such that } G = \text{id}_I \\
G \models \varphi \circ \psi &\iff \exists \text{ exists } G_0, G_1 \text{ such that } G = G_0 \circ G_1, \text{ with } G_0 \models \varphi \text{ and } G_1 \models \psi \\
G \models \varphi \otimes \psi &\iff \exists \text{ exists } G_0, G_1 \text{ such that } G = G_0 \otimes G_1, \text{ with } G_0 \models \varphi \text{ and } G_1 \models \psi
\end{align*}
\]
where all operations on bigraphs are assumed defined. Classical operators \(\top, \land, \lor, \neg\) can be
derived as well as the following modalities:
\[
\varphi_I \overset{\text{def}}{=} \varphi \circ \text{id}_I \\
\varphi_{I \to J} \overset{\text{def}}{=} (\varphi_I)_{\to J} \\
\varphi \to_J \overset{\text{def}}{=} \text{id}_J \circ \varphi \\
\varphi \circ_I \psi \overset{\text{def}}{=} \varphi \circ \text{id}_I \circ \psi
\]
More advanced operators called *adjuncts* can also be defined. For example, the left adjunct \( \varphi \circ - \psi \) expresses the property of a term satisfying \( \psi \) whenever inserted in a context satisfying \( \varphi \). The decidability of BiLog is an open question.
### 2.8 Categorical semantics for bigraphs
Bigraphical structures and their operations can also be expressed in the general framework of category theory. A short introduction to elementary category theory and its basic notions is given in Appendix A. In this section we will only present the results needed to cast bigraphs and their constituents, place and link graphs, as categories.
Let us first recall some notational conventions. We write \( C, D \) for *categories* and \( \tilde{C}, \tilde{D} \) for *precategories*. We often denote *objects* by \( I, J, K \) and *arrows* by \( f, g, h \). If an arrow \( f \) has a *domain* \( I \) and a *codomain* \( F \), both objects, we write \( f : I \to J \). We use \( C(I \to J) \) to indicate the *homset* of \( I \) and \( J \), i.e. the set of arrows in \( C \) in the form \( f : I \to J \). *Functors* between categories are written as \( \mathcal{F} : C \to D \).
We also recall the definition of *s-category*, a non-standard kind of category introduced by Milner to define concrete bigraphical structures and their support within a categorical semantics. The distinctive feature of an s-category is that composition is a partial operation and arrows and objects are equipped with symmetries and a tensor product.
**Definition 2.1 (s-category).** An *s-category* \( \tilde{C} \) is a precategory in which each arrow \( f \) is assigned a finite *support* \( |f| \subset S \). Further, \( \tilde{C} \) possesses a partial tensor product, unit and symmetries, as in an spm category. The identities \( \text{id}_I \) and symmetries \( \gamma_{I,J} \) are assigned empty support. In addition:
- For \( f : I \to J \) and \( g : J' \to K \), the composition \( g \circ f \) is defined iff \( J = J' \) and \( |f| \cap |g| = \emptyset \); then \( |g \circ f| = |f| \uplus |f| \).
- For \( f : I_0 \to I_1 \) and \( g : J_0 \to J_1 \), the tensor product \( f \otimes g \) is defined iff \( I_i \otimes J_i \) is defined (\( i = 0, 1 \)) and \( |f| \cap |g| = \emptyset \); then \( |f \otimes g| = |f| \uplus |g| \).
We begin by defining concrete place graphs, concrete link graphs and concrete bigraphs as s-categories.
Definition 2.8.1 (bigraphical s-categories). Given a signature \( \mathcal{K} \), bigraphical s-categories are defined as follows:
- Natural numbers and concrete place graphs as given in Definition 2.2.2 are the objects and the arrows of s-category \( \widetilde{\text{Pg}}(\mathcal{K}) \), respectively. The finite support of each arrow \( F \) is \( V_F \). Composition and tensor product are set out in definitions 2.3.1 and 2.3.5, respectively. The identities are \( \text{id}_m \) and the symmetries are \( \gamma_{m,n} \).
- The s-category \( \widetilde{\text{Lg}}(\mathcal{K}) \) has finite name-sets as objects and concrete link graphs defined in Definition 2.2.3 as arrows. The finite support of each arrow \( F \) is \( V_F \uplus E_F \). Composition and tensor product are given in definitions 2.3.2 and 2.3.6, respectively. The identities are \( \text{id}_X \) and the symmetries are \( \gamma_{X,Y} \overset{\text{def}}{=} \text{id}_{X \uplus Y} \).
- Interfaces \( \langle m, X \rangle \) and concrete bigraphs as defined in Definition 2.2.4 are the objects and the arrows of s-category \( \widetilde{\text{Bg}}(\mathcal{K}) \), respectively. The finite support of each arrow \( F \) is \( V_F \uplus E_F \). Composition and tensor product are given in definitions 2.3.3 and 2.3.7, respectively. The identities are \( \text{id}_{\langle m, X \rangle} \) and the symmetries are \( \gamma_{\langle m, X \rangle, \langle n, Y \rangle} \).
The relationships between bigraphical categories can be made formal by means of functors. For instance it is possible to define a forgetful functor \( \delta^P : \widetilde{\text{Bg}}(\mathcal{K}) \to \widetilde{\text{Pg}}(\mathcal{K}) \) that drops the names from every interface and the link graph from every bigraph in \( \widetilde{\text{Bg}}(\mathcal{K}) \). The result is s-category \( \widetilde{\text{Pg}}(\mathcal{K}) \). Forgetful functor \( \delta^L : \widetilde{\text{Bg}}(\mathcal{K}) \to \widetilde{\text{Lg}}(\mathcal{K}) \) is defined in a similar fashion. An important functor is width : \( \widetilde{\text{Bg}}(\mathcal{K}) \to \text{Finord} \), which transforms bigraphs into functions between finite ordinals. In more detail, for each interface \( I = \langle m, X \rangle \), it defines \( \text{width}(I) = m \), and for every bigraph \( F \) and any site \( i \) of \( F \), it defines \( \text{width}(F)(i) \) to be the unique root that is an ancestor of \( i \) in \( F \).
Another functor based on \( \approx \)-equivalence is used to pass from concrete bigraphs to abstract bigraphs.
Definition 2.8.2 (abstract bigraphs). The \( \approx \)-equivalent quotient \( \text{Bg}(\mathcal{K}) = \widetilde{\text{Bg}}(\mathcal{K})/\approx \) is an spm category whose objects are those in \( \widetilde{\text{Bg}}(\mathcal{K}) \) and whose arrows \( \text{Bg}(\mathcal{K})(I \to J) \) are \( \approx \)-equivalence classes of the hornset \( \widetilde{\text{Bg}}(\mathcal{K})(I \to J) \). Its construction defines a functor \( [\cdot] : \widetilde{\text{Bg}}(\mathcal{K}) \to \text{Bg}(\mathcal{K}) \) called the lean-support quotient functor.
Similar functors for concrete place graphs and concrete link graphs can be defined. Observe that the properties defining spm categories are captured by Axioms (2.1) and Axioms (2.6).
When a sorting \( \Sigma \) is considered, we write \( \text{Bg}(\Sigma) \) to denote the spm category of abstract \( \Sigma \)-sorted bigraphs. It is shown in [13] that sortings can be interpreted as functors.
The isomorphisms (isos) in $\text{Bg}(\mathcal{K})$ are pairs $\langle \pi, \alpha \rangle$ with $\pi$ a permutation and $\alpha$ a renaming. The epimorphisms (epis) are the bigraphs in which no root and no outer name is idle. Monomorphisms (monos) are the bigraphs in which no two sites and no two inner names are siblings.
The theory of BRSs can be interpreted categorically as a special case of wide reactive systems. See Leifer’s PhD Thesis [42] for a complete account. Moreover, labelled transition systems over s-categories can also be applied to $\text{Bg}(\mathcal{K})$. This allows for an elegant definition of a bisimulation that is a congruence. In order to prove this possible, bigraphical precategories are shown to have relative push-outs (RPOs) and Idem push-outs (IPOs). See Appendix A for more details.
### 2.9 Stochastic bigraphs
A stochastic extension of BRSs is introduced in [39] by attaching a stochastic rate to reaction rules. In this manner, the state space generated by a stochastic BRS (SBRS) can be naturally transformed into a Continuous Time Markov Chain (CTMC), and quantitative reasoning carried out with tools available for CTMC analysis, e.g. stochastic model checker Prism. Refer to Appendix B for a formal definition of CTMC. Let us give a more precise idea of the approach, omitting a few details.
**Definition 2.9.1** (stochastic reaction rule). A stochastic reaction rule $R$ is a triple $(R, R', \rho)$, sometimes written $R \xrightarrow{\rho} R'$ where $(R, R')$ is a reaction rule and $\rho > 0$ is a stochastic rate.
The next step is to associate a rate with each reaction in a given BRS. Since a reaction may occur with different underlying reaction rules, the contribution of each rule has to be taken into account. The reaction rate for a rule is obtained as the product of the rate and the number of distinct occurrences of the rule. This corresponds to the number of distinct concrete occurrences (see Definition 2.3.10) of a concretion of the rule’s redex in a concretion of the agent. For a given stochastic reaction rule $R = (R, R', \rho)$, we define $\mu_R[g, g']$ to be the number of distinct occurrences of $\bar{R}$ in $\bar{g}$ such that $g \rightarrow_R g'$. Note that it is always possible to count the occurrences in $g$ because $R$ is solid, and therefore epi and mono. This forces context $D$ and parameter $d$ to be unique (up to isomorphisms on the mediating interfaces) in the decomposition $g = D \circ (R \otimes \text{id}_f) \circ d$.
**Definition 2.9.2** (stochastic reaction). Given agents $g, g'$ and a family of stochastic reaction rules $\mathcal{R}$, the rate of a reaction $g \rightarrow_{\mathcal{R}} g'$ is given by
$$\text{rate}_{\mathcal{R}}[g, g'] \overset{\text{def}}{=} \sum_{R \in \mathcal{R}} \text{rate}_R[g, g'] ,$$
where the reaction rate of $g \rightarrow_R g'$ is defined formally by
$$rate_R[g, g'] \overset{\text{def}}{=} \rho \mu_R[g, g'].$$
We often write $g \xrightarrow{\rho} \rightarrow_R g'$ when $rate_R[g, g'] = \rho$.
### 2.10 Other extensions and applications
Other extensions and refinements to Milner’s definition of bigraphs have been proposed since their first introduction. We briefly describe two of them in the remainder of this section.
In the first one, the full independence of placing and linking is relaxed by assigning a locality to some links in a bigraph. Therefore, in this new setting, it matters whether a link crosses the boundaries of a place. For example, an edge bound to a certain node can only link ports that lie within that node. The structures defined by this extension are called *binding bigraphs* and were formalised in [25]. Their characteristics have been proven adequate to encode calculi with name binding (e.g. $\pi$-calculus) and to model protocols with security features that enforce communications to take place only within certain boundaries (e.g. private channels). To uniformly define binding of links, names are also allowed to be located at roots and sites. Hence, interfaces in binding bigraphs take the form $\langle m, \vec{X}, X \rangle$ where $m$ is an ordinal, $X$ a set of names (both *local* and *global*) and $\vec{X}$ is a vector indicating the *locations* of each local name. For instance, $\vec{X} = [\{\}, \{x, y\}]$ occurring in an outer interface says that local names $x, y$ are located at the second root of the bigraph. Global names are those that are not assigned to any root or site. They behave like in standard bigraphs. Composition, tensor product and a normal form were defined for binding bigraphs.
The second extension is presented in [34] and it is called *directed bigraphs*. It consists of a new definition of link graphs in which edges are regarded as resources and names are interpreted as requests of resources. The main novelty is to assign a direction to edges in order to capture the “resource request flow” which starts from ports, goes through names and terminates in edges. Consider for instance the composition $A \circ F \circ B$. An inward link in $F$ from an outer name $x$ to an edge $e$ means that $e$ is a resource offered through $x$ to the context $A$. Conversely, an outward link in $F$ form a port $p$ to an inner name $y$ encodes the request of $p$ through $y$ of a resource in $B$. Note that other combinations are possible. Directed bigraph have been used to encode the fusion calculus [35].
2.10.1 Implementation
One of the primary goals of the development of bigraphs was to model directly phenomena in ubiquitous computing and biology. However, even prototypical applications tend to be extremely complex for manual manipulation and analysis. Therefore, software tools are essential to investigate whether bigraphical models are suitable for use in real deployments. Milner [47] proposed that such tools should aid modellers and users in three different ways:
- in programming and specifying the model for a system,
- in analysing the behaviour of a system by means of model checking and stochastic simulations,
- in visualising the components of a system at various levels of abstraction.
The first work in this direction is the design and implementation of BPL Tool [32], a prototype implementation of bigraphical reactive systems. It can be used for experimenting with bigraphical models specified in a generic programming language that closely resembles the algebraic form of bigraphical terms. Computation is carried out by a matching engine [12], based on inference rules, capable of detecting the occurrences of a redex in a given agent and rewriting it. The BPL tool consists of parser, matching engine, and includes web and command line user interfaces. The tool has been written in Standard ML. It has been used to simulate a model of a mobile phone system in a bigraphical representation of the polyadic $\pi$-calculus. Note that binding bigraphs are also supported. A recent extension is BigMC [53], an explicit-state model checking tool for bigraphical reactive systems based on the BPL matching engine. A significant limitation of these tools is given by the performance of the matching engine as well as the lack of support for stochastic bigraphs and automatic generation of graphical representation of bigraphs. We will explain how we propose to overcome these issues in Chapter 4 where we introduce an efficient matching engine based on a SAT encoding and in Chapter 5 where we describe BigraphER, our implementation of bigraphical reactive systems.
Another tool supporting textual representation, graphical visualization of bigraphs, and the calculation of redex matchings is DBtk [4], a Tool-Kit for directed bigraphs.
2.11 Summary
In this chapter, we gave an overview of the fundamentals of the theory of bigraphs. We presented the graphical notation for the representation of bigraphs through several examples in Section 2.1. Sections 2.2 and 2.3 rigorously defined place graphs, link graphs, bigraphs
and their operations. A complete axiomatisation for an algebra of bigraphical terms was given in Section 2.4, where DNF was introduced. Sorting was defined in Section 2.5. Reaction rules and BRSs were discussed in Section 2.6, while BiLog was introduced in Section 2.7. Categories for bigraphical structure were explained in Section 2.8. A stochastic extension of bigraphs was described in Section 2.9. Other extensions and various implementations were discussed in Section 2.10.
In the next chapter we will introduce a novel generalisation of place graphs in which parent map $prnt$ is not restricted to be a function but can also be an acyclic binary relation. Hence, the underlying spatial model is a DAG instead of a forest. This allows for the representation of shared localities and overlapping space.
Chapter 3
Bigraphs with sharing
In this chapter we introduce bigraphs with sharing, a novel generalisation of Milner’s bigraphs in which places may have several parents. This leads to a formulation of place graphs based on acyclic binary relations instead of the acyclic functions in the original definition. A preliminary version of this work was presented in [56].
In Section 3.1, we analyse some of the motivations behind the development of bigraphs with sharing. A comparison with other possible approaches is also provided. Section 3.2 formally presents bigraphs with sharing. We first introduce concrete place graphs with sharing and their operations. Then, we show how to build bigraphs with sharing by using the new definition of place graphs. Section 3.3 is devoted to the definition of an unambiguous graphical notation for bigraphs with sharing called stratified notation. Section 3.4 shows how bigraphs with sharing fit in the general categorical interpretation of bigraphs presented in Chapter 2. In Section 3.5 we give an axiomatisation and a normal form for bigraphs with sharing. We also introduce a new algebraic form to express shared places. We discuss how the introduction of a new formulation of locality affects the other aspects of the theory of bigraphs in Section 3.6. Some concluding remarks are in Section 3.7.
3.1 Motivation
In this section, we justify the introduction of sharing in three ways. First, we show that a locality model based on DAGs is often more natural when modelling the physical world. Second, we observe that roots and sites are treated asymmetrically in the standard definition of bigraphs. Third, we expose the disadvantages of two possible encodings of sharing that do not require a full extension of the formalism.
Scenarios in which space is shared among several entities are often encountered in the literature and even more frequently in the deployments of real applications. For instance,
Becker and Dür in [7] argue that DAGs are a more appropriate spatial model for ubiquitous systems by presenting an example in which the location hierarchy of a building cannot be easily expressed by a forest. In particular, their model has entities modelling rooms that belong both to a floor and to a wing i.e. rooms are shared. Other examples are overlapping wireless signals, attention space of different individuals and biological processes. We will show in detail some models using sharing in Part II.
The asymmetry in standard place graphs becomes evident by observing that a node can have zero or more children, while it can only have one parent. From a more abstract point of view, this limitation implies that category $Pg(K)$ is not self-dual. Namely, if we take a place graph $F : m \rightarrow n$, we swap the roots with the sites, and we take the inverse of the parent relation, we obtain a structure that is not a valid place graph. This asymmetry also arises in the definition of epi and mono place graphs.
We now explain in detail why we choose to extend the original definition of bigraphs, rather than encode sharing within the standard formalism. There are two possible encodings.
The first is to introduce dummy controls to represent intersections of nodes. For instance, if nodes A and B share a region, their intersection is represented as a separate node of control $A \cap B$. A graphical representation is given in Figure 3.1b. The immediate consequence of this approach is that place graphs are still representable by forests. However, a major disadvantage is that the number of dummy nodes to be added grows exponentially with the number of intersecting nodes. Moreover, this encoding is not complete because it cannot represent sharing when no nodes are involved. To prove this, consider the example of a C-node shared by two regions. It is possible to create a dummy region containing C, however we cannot assign a control to it. Hence, we lose track of who was sharing the node. This can be a limiting factor especially in the definition of reaction rules. Another shortcoming is that a node shared between A and B is placed inside the dummy node $A \cap B$, thus both A and B appear as if they do not have a child. This is not desirable especially when formation rules in place sortings or BiLog predicates specify properties on the absence or presence of parents or children.
The second encoding consists of keeping a copy of a shared node inside each of its parents and connecting the copies with a special link. For example, when a node C is shared between A and B, both A and B contain a node of control $\overline{C}$ and the two $\overline{C}$s are linked together. This is drawn in Figure 3.1c. Note that control $\overline{C}$ is defined exactly as C but with an extra port to handle the special link. However, this approach does not allow one to express sharing without nodes, e.g. two nodes sharing a site, and nodes or sites with no parents. Another disadvantage of this approach is that links are used to represent locality instead of connectivity, going against the spirit of bigraphs, in which the two notions are kept distinct. Finally, a problem arises when occurrences have to be counted, for example
for the computation of a reaction rate in a stochastic BRS. In stochastic BRS, a shared node is copied (thus counted) $n$ times, where $n$ is the number of sharing nodes. Therefore, a new definition of reaction rate would be required.
Our extension yields several advantages. First, its completeness allows for the representation of arbitrary place graphs with sharing. Second, the modelling phase is more natural and immediate, because no additional links, copies of nodes and controls have to be introduced. Third, the structure of place graphs with sharing appears to have many similarities with standard categorical notions as we will show in the next sections. In particular, it makes places graphs self-dual.
### 3.2 Formal definition
In the previous section we justified why the locality concept of standard bigraphs should be updated by allowing sharing of places. In this section we present formally our extension.
We start off by introducing some notational conventions. Given a binary relation $\text{rel} \subseteq A \times B$, we denote the *domain restriction* of $\text{rel}$ over $S \subseteq A$ by $S \triangleleft \text{rel}$. Similarly, we write $\text{rel} \triangleright S$ for the *range restriction* of $\text{rel}$ over $S \subseteq B$. Finally, it is worthwhile to recall the definition of composition between two binary relations $\text{rel}_0 \subseteq B \times C$ and $\text{rel}_1 \subseteq A \times B$:
$$\text{rel}_0 \circ \text{rel}_1 \overset{\text{def}}{=} \{(a, c) \in A \times C \mid \exists b.((a, b) \in \text{rel}_1 \land (b, c) \in \text{rel}_0)\}.$$
3.2.1 Concrete place graphs with sharing
The first step towards a formal definition of bigraphs with sharing is the introduction of a generalised version of concrete place graphs in which a place may have several parents. This is defined as follows:
**Definition 3.2.1** (concrete place graph with sharing). A *concrete place graph with sharing*
\[ F = (V_F, \text{ctrl}_F, \text{prnt}_F) : m \rightarrow n \]
is a triple having an inner face \( m \) and an outer face \( n \). These index respectively the sites and roots of the place graph. \( F \) has a finite set \( V_F \subset V \) of nodes, a control map \( \text{ctrl}_F : V_F \rightarrow K \), and a *parent relation*
\[ \text{prnt}_F \subseteq (m \uplus V_F) \times (V_F \uplus n) \]
which is acyclic i.e. if \( (v, v) \in \text{prnt}_F^i \) for some \( v \in V_F \) then \( i = 0 \).
Note that the only difference with Definition 2.2.2 is that \( \text{prnt}_F \) is now a binary relation instead of a function. This modification is sufficient to allow for places to have zero or more parents. Namely, it is possible to have a place \( v \in m \uplus V_F \) such that \( a \neq v \) for every \( (a, b) \in \text{prnt}_F \). It is also allowed to have \( (v, a), (v, b) \in \text{prnt}_F \) with \( a \neq b \) for some places \( a, b \in V_F \uplus n \). Any place having more than one parent is said to be *shared*. A place with no parents is called an *orphan*. Two places with a common parent and two places with a common child, are called *siblings* and *partners*, respectively. We define the *ancestor* relation \( \text{prnt}_F^+ \) to be the transitive closure of \( \text{prnt}_F \).
Consider example place graph with sharing \( B^P : 2 \rightarrow 3 \) drawn in Figure 3.2. The graphical representation highlights the fact that the underlying spatial model is a DAG. The node set is \( V_G = \{ v_0, v_1, v_2 \} \) and the parent relation is
\[ \text{prnt} = \{(0, v_0), (0, v_2), (1, v_2), (v_2, v_0), (v_2, v_1), (v_2, 0), (v_0, 0), (v_0, 2)\}. \]
Nodes \( v_0, v_1 \) are partners because they share node \( v_2 \). Node \( v_1 \) is an orphan. Observe that \( \text{prnt} \) is not necessarily transitive since the parent of a place \( v \) may not be the parent of \( v \)'s children. In the example, for instance, a parent of site 0 is \( v_0 \) and root 0 is a parent of \( v_0 \). However, root 0 is not a parent of site 0. On the other hand, we also have that \( (v_2, v_0), (v_0, 0) \in \text{prnt} \) and also \( (v_2, 0) \in \text{prnt} \).
3.2.2 Operations for place graphs with sharing
The second step is to define composition and tensor product for place graphs with sharing. We also have to prove that these operations have the same properties enjoyed by their counterparts in the standard definition of bigraphs, i.e. composition and tensor product are associative and identities are their neutral elements. Composition for place graphs with sharing is based on composition for binary relations.
**Definition 3.2.2 (composition for place graphs with sharing).** If $F : k \to m$ and $G : m \to n$ are two concrete place graphs with sharing with $V_F \cap V_G = \emptyset$, their composite
$$G \circ F = (V, ctrl, prnt) : k \to n$$
has nodes $V = V_F \uplus V_G$ and control map $ctrl = ctrl_F \uplus ctrl_G$. Its parent relation $prnt \subseteq (k \uplus V) \times (V \uplus n)$ is given by:
$$prnt \overset{\text{def}}{=} prnt_F^\triangleright \uplus prnt_o \uplus prnt_F^\triangleleft$$
where
$$prnt_F^\triangleright = prnt_F \triangleright V_F \quad prnt_G^\triangleleft = V_G \triangleleft prnt_G$$
$$prnt_o = (m \triangleleft prnt_G) \circ (prnt_F \triangleright m) .$$
We describe in words the three components of $prnt$. Relation $prnt_F^\triangleright$ is the set of edges in $F$ from a place to a node. Since no roots are present in these edges, the relation is left unchanged by the composition. Similarly, $prnt_G^\triangleleft$ is the set of edges in $G$ from a node to a place. In this case, there are no edges from a site in $m$, thus the relation is unaffected by the composition. Finally, relation $prnt_o$ is the composition in which the edges of $F$ terminating in $m$ and the edges of $G$ originating in $m$ are fused together. Consider the following example of composition.
**Example 3.2.1.** Let place graphs $G : 2 \to 1$, $F : 2 \to 2$ and their composition $G \circ F$ as in Figure 3.3. The parent relations for place graphs $G$ and $F$ are
$$prnt_G = \{(0, v_0), (1, v_1), (v_2, v_0), (v_0, 0), (v_1, 0)\} ,$$
$$prnt_F = \{(0, 0), (0, w_0), (1, w_2), (w_0, 0), (w_0, 1), (w_2, 0), (w_2, w_1), (w_1, 1)\} .$$
To construct the parent relation for the composed place graph $G \circ F$ we first define the following relations:
\[
\text{prnt}_G^{\circ} \subseteq V_G \times (V_G \uplus 1) = \{(v_2, v_0), (v_0, 0), (v_1, 0)\} ,
\]
\[
\text{prnt}_F^{\circ} \subseteq (2 \uplus V_F) \times V_F = \{(0, w_0), (1, w_2), (w_2, w_1)\} ,
\]
\[
\text{prnt}_o \subseteq (2 \uplus V_F) \times (V_G \uplus 1) = \{(0, v_0), (w_0, v_0), (w_0, v_1), (w_2, v_0), (w_1, v_1)\} .
\]
Their union gives rise to the parent relation
\[
\text{prnt} = \text{prnt}_G^{\circ} \uplus \text{prnt}_o \uplus \text{prnt}_F^{\circ} .
\]
We now prove that composition for place graphs with sharing enjoys the same properties of composition for standard place graphs. These results will be used in Section 3.4. We begin by proving associativity.
**Proposition 3.2.1** (associativity of composition). If $A : m \rightarrow n$, $B : k \rightarrow m$, $C : h \rightarrow k$ are three concrete place graphs with sharing with disjoint node sets, then
\[ A \circ (B \circ C) = (A \circ B) \circ C . \]
**Proof.** Let us define $A \circ (B \circ C) = G_0$ and $(A \circ B) \circ C = G_1$. Since the node sets $V_A, V_B, V_C$ are all disjoint and the domains are all compatible, then by Definition 3.2.2 all the composition are defined. We have to prove that $G_0 = G_1$. Again by Definition 3.2.2, $G_0, G_1 : h \rightarrow n$,
\[
V_{G_0} = V_{G_1} = V_A \uplus V_B \uplus V_C
\]
\[
\text{ctrl}_{G_0} = \text{ctrl}_{G_1} = \text{ctrl}_A \uplus \text{ctrl}_B \uplus \text{ctrl}_C .
\]
It remains to prove that \( \text{prnt}_{G_0} = \text{prnt}_{G_1} \). Since both relations are sub-sets of \((h \uplus V_{G_0}) \times (V_{G_0} \uplus n)\), we have to show that \((v, w) \in \text{prnt}_{G_0}\) if and only if \((v, w) \in \text{prnt}_{G_1}\) for every element \((v, w)\). The parent relations are defined as
\[
\text{prnt}_{G_0} = \text{prnt}_A^\triangleleft \uplus \text{prnt}_o \uplus \text{prnt}_{B \circ C}^\triangleright
\]
(3.1)
\[
\text{prnt}_{G_1} = \text{prnt}_{A \circ B}^\triangleleft \uplus \text{prnt}_o' \uplus \text{prnt}_C^\triangleright .
\]
(3.2)
To analyse the single components we also compute the parent relations for the compositions \(B \circ C\) and \(A \circ B\):
\[
\text{prnt}_{B \circ C} = \text{prnt}_B^\triangleleft \uplus \text{prnt}_o^{BC} \uplus \text{prnt}_C^\triangleright
\]
\[
\text{prnt}_{A \circ B} = \text{prnt}_A^\triangleleft \uplus \text{prnt}_o^{AB} \uplus \text{prnt}_B^\triangleright .
\]
Therefore,
\[
\text{prnt}_{B \circ C}^\triangleright = \text{prnt}_{B \circ C} \triangleright (V_B \uplus V_C)
\]
\[
= (\text{prnt}_B^\triangleright \uplus \text{prnt}_o^{BC} \uplus \text{prnt}_C^\triangleright) \triangleright (V_B \uplus V_C)
\]
\[
= (\text{prnt}_B^\triangleright \triangleright (V_B \uplus V_C)) \uplus (\text{prnt}_o^{BC} \triangleright (V_B \uplus V_C))
\]
\[
\uplus (\text{prnt}_C^\triangleright \triangleright (V_B \uplus V_C))
\]
\[
= (V_B \triangleleft \text{prnt}_B \triangleright V_B) \uplus (\text{prnt}_o^{BC} \triangleright V_B) \uplus \text{prnt}_C^\triangleright
\]
and similarly
\[
\text{prnt}_{A \circ B}^\triangleleft = \text{prnt}_A^\triangleleft \uplus (V_B \triangleleft \text{prnt}_o^{AB}) \uplus (V_B \triangleleft \text{prnt}_B \triangleright V_B) .
\]
Then (3.1) and (3.2) can be rewritten as
\[
\text{prnt}_{G_0} = \text{prnt}_A^\triangleleft \uplus \text{prnt}_o \uplus (V_B \triangleleft \text{prnt}_B \triangleright V_B) \uplus (\text{prnt}_o^{BC} \triangleright V_B) \uplus \text{prnt}_C^\triangleright
\]
\[
\text{prnt}_{G_1} = \text{prnt}_A^\triangleleft \uplus (V_B \triangleleft \text{prnt}_o^{AB}) \uplus (V_B \triangleleft \text{prnt}_B \triangleright V_B) \uplus \text{prnt}_o' \uplus \text{prnt}_C^\triangleright .
\]
Hence, to prove that \( \text{prnt}_{G_0} = \text{prnt}_{G_1} \) we have to show that
\[
\text{prnt}_o \uplus (\text{prnt}_o^{BC} \triangleright V_B) = (V_B \triangleleft \text{prnt}_o^{AB}) \uplus \text{prnt}_o'
\]
holds. We start by proving \( \Rightarrow \). We have the following cases:
1. If \((v, w) \in \text{prnt}_o\) then there exists a \(w' \in m\) such that \((v, w') \in \text{prnt}_{B \circ C}\) and \((w', w) \in \text{prnt}_A\), where \(v \in h \uplus V_C \uplus V_B\) and \(w \in V_A \uplus n\). There are two sub-cases:
(a) If \(v \in V_B\) then \((v, w') \in \text{prnt}_B\). Therefore, \((v, w) \in (V_B \triangleleft \text{prnt}_o^{AB})\).
(b) If \(v \in V_C\) then \((v, w') \in \text{prnt}_o^{BC}\). Therefore, \((v, w) \in (V_B \triangleleft \text{prnt}_o^{BC})\).
(b) If $v \in h \uplus V_C$ then there exists a $w'' \in k$ such that $(v, w'') \in prnt_C$ and $(w'', w') \in prnt_B$. But then $(w'', w) \in prnt_{A \circ B}$. It follows that $(v, w) \in prnt'_o$.
2. If $(v, w) \in (prnt^{BC}_o \triangleright V_B)$ then there exists a $w' \in k$ such that $(v, w') \in prnt_C$ and $(w', w) \in prnt_B$, where $v \in h \uplus V_C$ and $w \in V_B$. But we also have that $(w', w) \in prnt_{A \circ B}$. Hence, $(v, w) \in prnt'_o$.
The proof for $\Leftarrow$ is symmetric. This concludes the proof. □
Identities are given in Definition 2.3.4. In the presence of sharing, the parent relation $\text{ld}_m$ is interpreted as a binary relation. We now prove that identities are the neutral elements for composition of concrete place graphs with sharing.
**Proposition 3.2.2** (neutral elements for composition). For any concrete place graph with sharing $G : m \rightarrow n$ the following holds
$$G \circ \text{id}_m = G = \text{id}_n \circ G.$$
**Proof.** All the compositions are defined and $V_{\text{id}_m} = V_{\text{id}_n} = \emptyset$. The composite $G \circ \text{id}_m = (V, \text{ctrl}, \text{prnt})$ is defined according to 3.2.2. In particular, we have $V = V_G \uplus \emptyset, \text{ctrl} = \text{ctrl}_G$ and
$$\text{prnt} = \text{prnt}^{\emptyset}_G \uplus \text{prnt}_o \uplus (\text{ld}_m \triangleright \emptyset).$$
But, $\text{ld}_m \triangleright \emptyset = \emptyset$ and
$$\text{prnt}_o = (m \triangleleft \text{prnt}_G) \circ (\text{ld} \triangleright m) = m \triangleleft \text{prnt}_G.$$
It follows that $\text{prnt} = \text{prnt}_G$ and then $G \circ \text{id}_m = G$. The proof for $\text{id}_n \circ G = G$ is similar. □
Also the formal definition of tensor product for concrete place graphs with sharing has to be slightly changed.
**Definition 3.2.3** (tensor product for place graphs). If $G_0 : m_0 \rightarrow n_0$ and $G_1 : m_1 \rightarrow n_1$ are two concrete place graphs with sharing with disjoint supports, their tensor product
$$G_0 \otimes G_1 = (V, \text{ctrl}, \text{prnt}) : m_0 + m_1 \rightarrow n_0 + n_1$$
has nodes $V = V_{G_0} \uplus V_{G_1}$ and control map $\text{ctrl} \overset{\text{def}}{=} \text{ctrl}_{G_0} \uplus \text{ctrl}_{G_1}$. Its parent relation $\text{prnt} \subseteq ((m_0 + m_1) \uplus V) \times (V \uplus (n_0 + n_1))$ is defined as follows:
$$\text{prnt}_{G_0} \uplus \text{prnt}^{(m_0, n_0)}_{G_1}$$
where,
\[
\text{prnt}_{G_1}^{(m_0, n_0)} = \{(v, w) \mid (v, w) \in \text{prnt}_{G_1} \text{ and } v, w \in V_{G_1}\}
\]
\[
\uplus \{(m_0 + i, w) \mid (i, w) \in \text{prnt}_{G_1}, w \in V_{G_1} \text{ and } i \in m_1\}
\]
\[
\uplus \{(v, n_0 + i) \mid (v, i) \in \text{prnt}_{G_1}, v \in V_{G_1} \text{ and } i \in n_1\}
\]
\[
\uplus \{(m_0 + i, n_0 + j) \mid (i, j) \in \text{prnt}_{G_1}, i \in m_1 \text{ and } j \in n_1\}.
\]
In words, it states that the parent relation of the place graph on the right-hand side (i.e. \(G_1\)) is shifted to the right by adding \(m_0\) to every site and \(n_0\) to every root. Therefore, tensor product is not commutative. As for composition, we prove that tensor product enjoys associative property and has neutral elements.
**Proposition 3.2.3** (associativity of tensor product). If \(A : m_0 \to n_0\), \(B : m_1 \to n_1\), \(C : m_2 \to n_2\) are three concrete place graphs with sharing with disjoint node sets, then
\[A \otimes (B \otimes C) = (A \otimes B) \otimes C.\]
**Proof.** Let us define \(A \otimes (B \otimes C) = G_0\) and \((A \otimes B) \otimes C = G_1\). Since the node sets are all disjoint, by Definition 3.2.3, all the products are defined. We have to prove that \(G_0 = G_1\). Associativity of \(\uplus\) and \(+\) assures that
\[
V_{G_0} = V_{G_1} = V_A \uplus V_B \uplus V_C
\]
\[
\text{ctrl}_{G_0} = \text{ctrl}_{G_1} = \text{ctrl}_A \uplus \text{ctrl}_B \uplus \text{ctrl}_C
\]
\[
m = m_0 + (m_1 + m_2) = (m_0 + m_1) + m_2
\]
\[
n = n_0 + (n_1 + n_2) = (n_0 + n_1) + n_2.
\]
It remains to prove that \(\text{prnt}_{G_0} = \text{prnt}_{G_1}\). By construction the following equalities hold:
\[
\text{prnt}_{G_0} = \text{prnt}_A \uplus \text{prnt}_{B \otimes C}^{(m_0, n_0)}
\]
\[
\text{prnt}_{G_1} = \text{prnt}_{A \otimes B} \uplus \text{prnt}_{C}^{(m_0 + m_1, n_0 + n_1)}
\]
with
\[
\text{prnt}_{B \otimes C} = \text{prnt}_B \uplus \text{prnt}_{C}^{(m_1, n_1)}
\]
\[
\text{prnt}_{A \otimes B} = \text{prnt}_A \uplus \text{prnt}_{B}^{(m_0, n_0)}.
\]
Hence, we have
\[
\text{prnt}_{G_0} = \text{prnt}_A \uplus \text{prnt}_{B}^{(m_0, n_0)} \uplus \text{prnt}_{C}^{(m_0 + m_1, n_0 + n_1)} = \text{prnt}_{G_1}. \quad \square
\]
**Proposition 3.2.4** (neutral element for tensor product). For any concrete place graph with
sharing $G : m \rightarrow n$ the following holds
$$G \otimes \text{id}_0 = G = \text{id}_0 \otimes G.$$
**Proof.** Immediate from $\text{prnt}_{\text{id}_0} = \emptyset$.
Summarising, we proved that composition for concrete place graphs with sharing is associative with identities as neutral elements. Moreover, tensor product for concrete place graphs with sharing is also associative with $\text{id}_0$ as neutral element.
### 3.2.3 Bigraphs with sharing
At this point we have all the elements to define formally bigraphs with sharing. Observe that links and names are unaffected by the introduction of overlapping places. Therefore, link graphs in bigraphs with sharing are defined in the standard way. A concrete bigraph with sharing $G : \langle m, X \rangle \rightarrow \langle n, Y \rangle$ is a pair $\langle G^P, G^L \rangle$ with $G^P$ a place graph with sharing and $G^L$ a link graph. Operations on bigraphs with sharing are given by the corresponding operations on their constituents. Also the definition of support for bigraphs with sharing is analogous to the one presented in the previous chapter. We can then define abstract bigraphs with sharing as $\bowtie$-equivalence classes of concrete bigraphs with sharing. Finally, symmetries for bigraphs with sharing are defined as for standard bigraphs (see (2.5)) but parent map $\text{prnt}$ is interpreted as a binary relation.
### 3.3 Graphical notation
Bigraphs with sharing can be represented by using a modified version of the nesting diagrams for standard bigraphs introduced in Chapter 2 in which intersecting nodes and roots are allowed.
An example nesting diagram of bigraph $B : \epsilon \rightarrow \langle 1, y \rangle$ is drawn in Figure 3.4a. The linkage between ports and names is represented by green edges as in the standard graphical notation. The node of control D is shared by the B and C-nodes. This is shown graphically by placing D within the intersection of B and C. Analogously, the E-node is shared by the A, B and C-nodes, so it is in the corresponding intersection. The F-node is not shared thus it is placed within the boundaries of its only parent C but outside the intersections with B and A. Finally, the G-node is an orphan and it is placed outside the bigraph. Hence, it has no parents.
This notation recalls Venn diagrams and it is adequate to quickly specify simple models. However, it can be difficult to draw all the possible intersections when there are several (more than three) intersecting nodes. Moreover, there are other two major drawbacks:
- Empty intersections are meaningless (see 3.5a). These arise especially when there are more than two nodes overlapping. For instance, the intersection between the A and C-nodes in the previous example.
- It is impossible to represent a node sharing a place with one of its ancestors (see 3.5b).
To overcome these limitations, a new graphical form, called *stratified notation*, is introduced. In this notation, we make explicit how places are shared. An example stratified representation of bigraph $B : \epsilon \rightarrow \langle 1, y \rangle$ is given in Figure 3.4b. Nodes are organised in two different layers. The bottom one contains the children (nodes and sites), while the top one contains their parents (nodes and roots). In the example, nodes D, E, F, G and A, B, C, respectively. Each node in the bottom layer is placed into a different region. This allows the nodes to be shared by different combinations of parents. Each parent node in the top layer contains a site. The nesting of the nodes is specified by the dashed edges connecting the two layers. In the example, the first region containing the D-node is connected to the sites in the B and C-nodes. This models the fact that D is shared by B and C. The orphan node G has a *place closure*, hence there are no edges connecting its region to the top layer. The representation of links is not changed. Note that with this notation meaningless intersections are not
represented. In particular they do not arise because empty regions are not allowed to occur in the bottom layer. When a bigraph has a more complex nesting structure, it is possible to use more than two layers. This allows, for instance, for the representation of bigraphs with place graphs similar the one in Figure 3.5b.
The stratified notation is also important because it is related to the normal form for bigraphs with sharing we will introduce in Section 3.5. Moreover, automated drawing tools for bigraphs with sharing are based on this notation (refer to Chapter 5). In the following, we will use nesting diagrams for the representation of bigraphs with sharing. We assume that empty intersections mean nothing and that nodes cannot share a place with their ancestors. We will use the stratified notation only when particularly complex bigraphs arise or when these assumptions have to be dropped.
### 3.4 Categories of bigraphs with sharing
As for standard bigraphs, it is possible to define bigraphs with sharing in the general framework of category theory. We begin by proving that concrete place graphs with sharing form an s-category. To do so, we first have to prove that they can be interpreted as a precategory.
**Definition 3.4.1** (precategory of concrete place graphs with sharing). Given a signature $\mathcal{K}$, $\text{SPg}(\mathcal{K})$ is the precategory whose arrows are concrete place graphs with sharing as given in Definition 3.2.1 and objects are finite ordinals. Identities are place graphs $\text{id}_m : m \to m$ and composition is set out in Definition 3.2.2.
**Proof.** By Definition 3.2.2, composition is a partial operation. Moreover, given $G : m \to n$ and $F : k \to m'$, when $G \circ F$ is defined then $m = m'$. Additionally, Propositions 3.2.1 and 3.2.2 prove that composition is associative and identities are its neutral elements, respectively.
Before presenting the main result, we prove bifunctoriality of tensor product for concrete place graphs with sharing. We have two propositions. The first is the following:
**Proposition 3.4.1** (bifunctoriality 1). If $A_0 : n_0 \to n_1$, $A_1 : n_1 \to n_2$, $B_0 : m_0 \to m_1$ and $B_1 : m_1 \to m_2$ are four concrete place graphs with sharing with disjoint node sets, then
$$(A_1 \otimes B_1) \circ (A_0 \otimes B_0) = (A_1 \circ A_0) \otimes (B_1 \circ B_0) .$$
**Proof.** Define $(A_1 \otimes B_1) \circ (A_0 \otimes B_0) = G_0$ and $(A_1 \circ A_0) \otimes (B_1 \circ B_0) = G_1$. By Definictions 3.2.2 and 3.2.3, we have
\[
V_{G_0} = V_{G_1} = V_{A_0} \uplus V_{A_1} \uplus V_{B_0} \uplus V_{B_1}
\]
\[
ctrl_{G_0} = ctrl_{G_1} = ctrl_{A_0} \uplus ctrl_{A_1} \uplus ctrl_{B_0} \uplus ctrl_{B_1}.
\]
It remains to prove that \( prnt_{G_0} = prnt_{G_1} \). By construction we have
\[
prnt_{G_0} = prnt^{\triangleleft}_{A_1 \otimes B_1} \uplus prnt_{\circ} \uplus prnt^{r}_{A_0 \otimes B_0}
\] (3.3)
where the subsets are given by
\[
prnt^{\triangleleft}_{A_1 \otimes B_1} = prnt^{\triangleleft}_{A_1} \uplus prnt^{(.,n_2)\triangleleft}_{B_1}
\]
\[
prnt^{r}_{A_0 \otimes B_0} = prnt^{r}_{A_0} \uplus prnt^{(n_0,.)r}_{B_0}
\]
and
\[
prnt_{G_1} = prnt_{A_1 \circ A_0} \uplus prnt^{(n_0,n_2)}_{B_1 \circ B_0}
\] (3.4)
with
\[
prnt_{A_1 \circ A_0} = prnt^{\triangleleft}_{A_1} \uplus prnt_{\circ} \uplus prnt^{r}_{A_0}
\]
\[
prnt^{(n_0,n_2)}_{B_1 \circ B_0} = prnt^{(.,n_2)\triangleleft}_{B_1} \uplus prnt^{(n_0,n_2)r}_{\circ} \uplus prnt^{(n_0,.)r}_{B_0}.
\]
We write \( prnt^{(.,n_2)\triangleleft}_{B_1} \) and \( prnt^{(n_0,.)r}_{B_0} \) to highlight the fact that these sets do not contain pairs with sites and roots to be shifted to the right. By equating the left-hand sides of (3.3) and (3.4), we obtain
\[
prnt_{\circ} = prnt^{\triangleleft}_{\circ} \uplus prnt^{(n_0,n_2)r}_{\circ}
\] (3.5)
By expanding the left-hand side, the equation can be rewritten as follows
\[
prnt_{\circ} = ((n_1 + m_1) \triangleleft prnt_{A_1 \otimes B_1}) \circ (prnt_{A_0 \otimes B_0} \triangleright (n_1 + m_1))
\]
\[
= ((n_1 + m_1) \triangleleft (prnt_{A_1} \uplus prnt^{(n_1,n_2)}_{B_1}))
\]
\[
\circ ((prnt_{A_0} \uplus prnt^{(n_0,n_1)}_{B_0}) \triangleright (n_1 + m_1))
\]
\[
= ((n_1 \triangleleft prnt_{A_1}) \uplus ((n_1 + m_1) \triangleleft prnt^{(n_1,n_2)}_{B_1}))
\]
\[
\circ ((prnt_{A_0} \triangleright n_1) \uplus (prnt^{(n_0,n_1)}_{B_0} \triangleright (n_1 + m_1)))
\]
\[
= ((n_1 \triangleleft prnt_{A_1}) \circ (prnt_{A_0} \triangleright n_1))
\]
\[
\uplus (((n_1 + m_1) \triangleleft prnt^{(n_1,n_2)}_{B_1}) \circ (prnt^{(n_0,n_1)}_{B_0} \triangleright (n_1 + m_1)))
\]
\[
= prnt^{\triangleleft}_{\circ} \uplus prnt^{(n_0,n_2)r}_{\circ}.
\]
This concludes the proof.
The second proposition is as follows:
Proposition 3.4.2 (bifunctoriality 2). If $\text{id}_m$ and $\text{id}_n$ are two place graphs with sharing then
$$\text{id}_m \otimes \text{id}_n = \text{id}_{m \otimes n}.$$
Proof. The parent relations are $\text{ld}_{n+n}$ and $\text{ld}_{m \otimes n}$. Since $m \otimes n = m + n$ we have equality.
We now can cast concrete place graphs with sharing to s-categories:
Proposition 3.4.3. Given a signature $\mathcal{K}$, precategory $\widetilde{\text{SPg}}(\mathcal{K})$ equipped with a finite support $V_F$ for every arrow $F : m \to n$, a partial tensor product like in Definition 3.2.3 and symmetries $\gamma_{m,n}$, is an s-category.
Proof. Immediate. We already proved bifunctoriality of tensor product. Since symmetries are defined like in $\widetilde{\text{Pg}}(\mathcal{K})$, it is routine to prove that the same properties hold.
We proved that concrete place graphs with sharing belong to the same kind of category of $\widetilde{\text{Pg}}(\mathcal{K})$. Therefore, $\widetilde{\text{SPg}}(\mathcal{K})$ together with $\widetilde{\text{Lg}}(\mathcal{K})$ can be used to form s-category $\widetilde{\text{SBg}}(\mathcal{K})$ of concrete bigraphs with sharing. The spm category of abstract bigraphs with sharing is then obtained by applying a lean-support quotient functor $[\cdot] : \widetilde{\text{SBg}}(\mathcal{K}) \to \text{SBg}(\mathcal{K})$ defined like in standard bigraphs. Usual forgetful functors like $\mathfrak{F}^P : \text{SBg}(\mathcal{K}) \to \text{SPg}(\mathcal{K})$ and $\mathfrak{F}^L : \text{SBg}(\mathcal{K}) \to \text{Lg}(\mathcal{K})$ can also be defined. Since functions are binary relations, $\text{Pg}(\mathcal{K})$ is a sub-category of $\text{SPg}(\mathcal{K})$. This relationship between the two categories is made explicit by inclusion functor $\mathfrak{I} : \text{Pg}(\mathcal{K}) \to \text{SPg}(\mathcal{K})$. Following the same argument, $\widetilde{\text{Pg}}(\mathcal{K})$ is a sub-category of $\widetilde{\text{SPg}}(\mathcal{K})$ with $\mathfrak{I}'$ acting as inclusion functor. The relationships between $\text{SPg}(\mathcal{K})$ and other categories are summarised in Figure 3.6. By an abuse of notation, we write $\mathfrak{I}, \mathfrak{I}'$ to indicate inclusion functors, $\mathfrak{F}^P, \mathfrak{F}^L$ for functors projecting into place graphs, and $[\cdot]$ to denote $\leadsto$-quotient functors.
In the previous chapter, we discussed the close relationship between categories $\text{Bg}(\mathcal{K})$ and $\text{Finord}$. In particular, we defined a functor width which allows to interpret any bigraph
as a function between ordinals. When considering $\text{SBg}(\mathcal{K})$, we can build a similar functor to move from bigraphs with sharing to the category of binary relations between ordinals $\text{Rel}$. Formally, we define a functor $\mathfrak{W} : \text{SPg}(\mathcal{K}) \to \text{Rel}$ that acts as the identity on objects and is defined on every arrow $G^p : m \to n$ as follows:
$$\mathfrak{W}(G) = \{(i, j) \mid i \in m \land j \in n \land (i, j) \in \text{prnt}_G^+\}.$$
Note that $\text{Rel}$ corresponds to the class of node-free place graphs with sharing. This fact will be exploited in the following section when we will define an axiomatisation for bigraphs with sharing. It is also possible to move directly to $\text{Finord}$ by mapping every site of a bigraph with sharing to the set of its root ancestors. Formally, for every arrow $G^p : m \to n$ and for every site $i \in m$ we define
$$\text{width}(G)(i) = j \quad \text{such that } j \in 2^n \text{ and } \forall x \in j.(i, x) \in \text{prnt}_G^+.$$
Consider for instance the place graph with sharing given below
$$F : 2 \to 2 \quad \begin{array}{c}
0 \\
\downarrow \\
K \\
\downarrow \\
0
\end{array} \quad \begin{array}{c}
1 \\
\downarrow \\
1
\end{array}$$
By applying width we obtain
$$\text{width}(F)(0) = \{0, 1\} \quad \text{width}(F)(1) = \{1\}.$$
Since ordinal $2^2 = \{\emptyset, \{0\}, \{1\}, \{0, 1\}\} = \{0, 1, 2, 3\}$, the previous result can be rewritten as a function between ordinals:
$$\text{width}(F)(0) = 3 \quad \text{width}(F)(1) = 2.$$
Therefore, the existence of width and $\mathfrak{F}^p : \text{SBg}(\mathcal{K}) \to \text{SPg}(\mathcal{K})$ proves that $\text{SBg}(\mathcal{K})$ is a wide category.
An important property of $\text{SPg}(\mathcal{K})$ is self-duality. This can be proved by showing that the inverse of any arrow is still a place graph with sharing. In more detail, for every arrow $G : m \to n$ we can construct its inverse arrow $G^{\text{op}} : n \to m$ in which sites and roots are swapped, $\text{prnt}_{G^{\text{op}}} = \text{prnt}_G^{-1}$, and $G^{\text{op}}$ is itself an arrow of $\text{SPg}(\mathcal{K})$. Note that place graphs without sharing are not self-dual. If we try for instance to construct the inverse of $\text{join} : 2 \to 1$, we obtain $\text{prnt}^{-1}(0) = 0$ and $\text{prnt}^{-1}(0) = 1$ which is not a function. Therefore $\text{join}^{\text{op}}$ is not an arrow of $\text{Pg}(\mathcal{K})$.
We can now characterise epis and monos in $\text{SPg}(\mathcal{K})$. There are two considerations that help understanding their definitions. The first one is that epis are the inverse arrows of monos, and vice versa, due to self-duality of place graphs with sharing. The second consideration is that epis (monos) in place graphs with sharing are also epis (monos) in standard place graphs, since $\text{Pg}(\mathcal{K})$ is a sub-category of $\text{SPg}(\mathcal{K})$. Also recall that epis in $\text{Rel}$ are surjective partial functions.
**Proposition 3.4.4** (epis for place graphs with sharing). A concrete place graph with sharing is epi iff no root is idle and no two roots are partners.
**Proof.** Recall that $B : m \to n$ is epi if $B_0 \circ B = B_1 \circ B$ implies $B_0 = B_1$ for any $B_0, B_1 : n \to h$.
We start by proving $\Rightarrow$. Assume $B$ is epi; we prove that it has no idle roots (i) and no two roots are partners (ii).
(i) Suppose there is an idle root. Without loss of generality we set root $0 \in n$ idle. Pick $B_0, B_1 : n \to n - 1$ as below
\[
\begin{array}{c}
B_0 \\
\begin{array}{c}
0 \\
\downarrow \\
1
\end{array}
\end{array}
\quad \ldots \quad
\begin{array}{c}
n-1 \\
\downarrow \\
n
\end{array}
\]
Then $B_0 \neq B_1$ but $B_0 \circ B = B_1 \circ B$, contradicting $B$ is epi.
(ii) Suppose roots $0, 1 \in n$ are partners. Pick $B_0, B_1$ as in the previous case. Then $B_0 \neq B_1$ but $B_0 \circ B = B_1 \circ B$, contradicting $B$ is epi.
Now we prove $\Leftarrow$. Assume $B$ has no idle roots and no two roots are partners; we prove it to be epi. Let $B_0 \circ B = B_1 \circ B$. Then $B_0$ and $B_1$ have the same nodes and control map; so to prove $B_0 = B_1$ we have to show that $\text{prnt}_{B_0} = \text{prnt}_{B_1}$. By definition of composition for place graphs with sharing, equality $\text{prnt}_{B_0 \circ B} = \text{prnt}_{B_1 \circ B}$ leads to
\[
\text{prnt}_{B_0}^{\otimes} \uplus \text{prnt}_o = \text{prnt}_{B_1}^{\otimes} \uplus \text{prnt}_o'.
\]
(3.6)
Assume $\text{prnt}_{B_0}^{\otimes} \neq \text{prnt}_{B_1}^{\otimes}$. Then we have two cases:
1. There exists an element $(v, w) \in \text{prnt}_{B_0}^{\otimes}$ (i.e. with $v \in V_{B_0}$) such that $(v, w) \not\in \text{prnt}_{B_1}^{\otimes}$. Then by (3.6), $(v, w) \in \text{prnt}_o'$. But by construction of $\text{prnt}_o'$, $v \in V_B \uplus m$. Hence, $v \not\in V_{B_0}$. This is a contradiction.
2. There is an element $(v, w) \in \text{prnt}_{B_1}^{\otimes}$ such that $(v, w) \not\in \text{prnt}_{B_0}^{\otimes}$. By contradiction as in the previous case.
This proves \( \text{prnt}_{B_0}^{\vec{a}} = \text{prnt}_{B_1}^{\vec{a}} \). Together with (3.6), it implies \( \text{prnt}_0 = \text{prnt}_0' \). By expanding the two terms, we can write
\[
(n \triangleleft \text{prnt}_{B_0}) \circ (\text{prnt}_B \triangleright n) = (n \triangleleft \text{prnt}_{B_1}) \circ (\text{prnt}_B \triangleright n) .
\]
By hypothesis, \( B \) has no idle roots and no two roots are partners. Therefore \( \text{prnt}_B \triangleright n \) is a surjective partial function. Thus, it is epi in \( \text{Rel} \). It follows that \( (n \triangleleft \text{prnt}_{B_0}) = (n \triangleleft \text{prnt}_{B_1}) \).
Since
\[
(n \triangleleft \text{prnt}_{B_i}) \uplus \text{prnt}_{B_i}^{\vec{a}} = \text{prnt}_{B_i} \quad i = 0, 1 ,
\]
we proved \( \text{prnt}_{B_0} = \text{prnt}_{B_1} \). This concludes the proof.
**Proposition 3.4.5** (monos for place graphs with sharing). A concrete place graph with sharing is mono iff no two sites are siblings and no site is an orphan.
**Proof.** Immediate by invoking self-duality of \( \text{SPg}(K) \). Observe that orphan sites and siblings correspond to idle roots and partners, respectively.
Epis and monos in \( \text{SBg}(K) \) are the arrows in which both the place graph and the link graph are epi and mono, respectively.
We conclude this section by showing, with an example, that it is not always possible to build RPOs in concrete place graphs with sharing. Before presenting this result, we recall some notation and terminology. We use \( \vec{F} \) to denote a pair \( F_0 : m_0 \to n_0, F_1 : m_1 \to n_1 \) of concrete place graphs with sharing. If \( m_0 = m_1 = m \) the pair is a span, if \( n_0 = n_1 = n \) it is a cospan. This is indicated by writing \( \vec{F} : m \to \vec{n} \) and \( \vec{F} : \vec{m} \to n \), respectively. We call cospan \( \vec{G} \) a bound for span \( \vec{F} \) if \( G_0 \circ F_0 = G_1 \circ F_1 \). Refer to Appendix A for the definition of RPOs.
**Example 3.4.1.** Consider span \( \vec{A} : 1 \to \vec{n} \) bounded by cospan \( \vec{D} : \vec{n} \to 1 \) as given in Figure 3.7. Interfaces \( n_0 \) and \( n_1 \) are 3 and 2, respectively. By applying a construction procedure similar to the one defined by Milner for standard concrete place graphs, it is possible to build a candidate RPO \( (\vec{H}, H) \) for \( \vec{A} \) relative to \( \vec{D} \) as given in Figure 3.8. Informally, \( H \) is obtained by “cutting” \( D_0 \) and \( D_1 \) as low as possible so that the two bigraphs above the cut line are the same. Hence, place graph \( H \) is the biggest common part of \( D_0 \) and \( D_1 \):
\[
D_0 = H \circ H_0 \quad D_1 = H \circ H_1 .
\]
Now pick relative bound \( (\vec{K}, K) \) shown in Figure 3.9. By construction, we have that
\[
D_0 = K \circ K_0 \quad D_1 = K \circ K_1 .
\]
Figure 3.7: Span $\vec{A}$, bound $\vec{D}$ and their composite $D_0 \circ A_0 = D_1 \circ A_1$.
Figure 3.8: Candidate RPO $(\vec{H}, H)$ from $\vec{A}$ to $\vec{D}$.
Figure 3.9: Relative bound $(\vec{K}, K)$ from $\vec{A}$ to $\vec{D}$.
In order for \((\vec{H}, H)\) to be an RPO, there must be a unique place graph \(\hat{K}\) such that
\[
K_0 = \hat{K} \circ H_0 \\
K_1 = \hat{K} \circ H_1 \\
H = K \circ \hat{K}.
\]
But such \(\hat{K}\) cannot exist. If we chose to pick the bigraph in Figure 3.10a, then \(K_1 \neq \hat{K} \circ H_1\). On the other hand, if the bigraph given in Figure 3.10b is chosen instead, then \(K_0 \neq \hat{K} \circ H_0\). This is because the pair \((v_4, 2)\) has to be in \(\text{print}_K\) in order to be compatible with \(K_1\), while it must be absent in order to have \(K_0\)'s idle root 2. Therefore, \((\vec{H}, H)\) is not an RPO. Observe that even by choosing a different candidate, it is always possible to build a bound such that the construction of \(\hat{K}\) is impossible. Thus, we can conclude that \(\vec{A}\) does not have RPOs relative to \(\vec{D}\).
**Proposition 3.4.6** (concrete place graphs with sharing lack RPOs). In \(\overline{\text{SPg}}(K)\) there is a span \(\vec{A}\) of concrete place graphs with sharing, and a bound \(\vec{D}\) for it, such that no RPO exists from \(\vec{A}\) to \(\vec{D}\).
**Proof.** Immediate by taking \(\vec{A}\) and \(\vec{D}\) as in the previous example.
It follows that RPOs do not exist in general for \(\overline{\text{SBg}}(K)\). This may appear as a severe disadvantage of bigraphs with sharing since RPOs are essential to derive labels in labelled transition systems and to handling behavioural equivalence in bigraphs. Note, however, that this is not the case because RPOs do always exist in the sub-precategory of epimorphic place graphs with sharing, \(\overline{\text{SPg}}^e(K)\). This and the fact that the redex in a reaction rule must be epimorphic allows for the derivation of labelled transition systems also in the presence of sharing.
### 3.5 Algebraic form
In this section we show that bigraphs with sharing can be expressed by means of composition and tensor product starting from a minimal set of elementary building blocks. This results in an algebraic form similar to the one introduced for standard bigraphs in the previous chapter.
Two new elementary place graphs are required: $0 : 1 \rightarrow 0$ and $split : 1 \rightarrow 2$. They are the dual bigraphs of $1 : 0 \rightarrow 1$ and $join : 2 \rightarrow 1$, respectively. They are essential to represent orphans and shared places. The entire set of elementary place graphs is summarised in Figure 3.11. Node-free place graphs with sharing, again called placings, are ranged over by $\phi, \psi, \ldots$. We indicate a placing with one site and $n$ roots by $split_n$. Note that $split_0 = 0$, $split_1 = id_1$ and $split_2 = split$.
In the following, $B, G, \omega, \psi$, etc are treated as expressions for bigraphs, but equality ‘=’ is semantical, i.e. $B = B'$ means that $B$ and $B'$ denote the same bigraph and not that they are identical expressions. Formally, this is a shorthand for the more verbose $\models B = B'$.
**Proposition 3.5.1.** Every place graph with sharing can be expressed as an expression containing only the elementary place graphs given in Figure 3.11 as constants and composition and tensor product as operators.
**Proof.** We prove the proposition by induction on the number of nodes of the place graph with sharing. For the base case we show that node-free place graphs, i.e. placings, satisfy the proposition. A placing $\psi : m \rightarrow n$ may be expressed as
$$\psi = (merge_{n_0} \otimes \cdots \otimes merge_{n_{n-1}}) \pi (split_{m_0} \otimes \cdots \otimes split_{m_{m-1}})$$
where $\sum_i m_i = m$, $\sum_i n_i = n'$ and $\pi : n' \rightarrow n'$ is a permutation. Since a permutation may be generated by composition and tensor product of symmetries $\gamma_{m,n}$, the proposition holds.
Now, let $B : m \rightarrow n$ be a place graph with sharing with $k + 1$ nodes. Then, it has a concretion $\tilde{B} : m \rightarrow n$ with support $V$. Let $v \in V$ be a node in which none of its children are nodes (we call it a leaf). Such a node must exist by acyclicity of $prnt_B$. Note that $v$ can still have $m' \leq m$ sites as children. Formally, $(u, v) \in prnt_B$ if and only if $u \in m'$. Without loss of generality we assume $ctrl(v) = K$. Let $\tilde{B}_1 : m + 1 \rightarrow n$ be the place graph obtained from $\tilde{B}$ by removing node $v$ and substituting it with a site. Furthermore, let
$\widetilde{B}_0 : m \to m + 1$ be the place graph containing the sites in $\widetilde{B}$ and $v$. Then we have that $\widetilde{B} = \widetilde{B}_1 \circ \widetilde{B}_0$. By dropping the supports we can write $B = B_1 \circ B_0$. But $B_0$ can be defined in terms of elementary place graphs as follows:
$$B_0 = \psi \circ (\text{id}_m \otimes K) \circ \phi \quad \text{with} \quad \psi : m + 1 \to m + 1 \quad \phi : m \to m + 1.$$
Therefore, the statement follows by inductive hypothesis on $B_1$ since it has $k$ nodes.
The construction presented in the proof above can be adopted to define a normal form for place graphs with sharing. Intuitively, a place graph with sharing $B$ can be expressed by iteratively applying the procedure for the construction of $B_0$, until all its nodes are consumed. The only difference is that all the leafs are removed in one go instead of removing only a single leaf at each step. We make this precise by introducing the notion of *normalised levels*.
**Definition 3.5.1 (level).** A level $L : m \to n$ is a place graph with sharing that can be expressed uniquely, up to permutations, as
$$L = (\bigotimes_{i < n - l} K_i \otimes \text{id}_l) \circ \phi,$$
with placing $\phi : m \to n$.
**Definition 3.5.2 (normalised levels).** Take two levels $L_1 : m_1 \to m_2$ and $L_0 : m_0 \to m_1$ given by
$$L_1 = (K_1 \otimes K' \otimes \text{id}_{l_1}) \circ \phi_1 \quad L_0 = (K_0 \otimes \text{id}_{l_0}) \circ \phi_0$$
$$K_1 = \bigotimes_{i < m_2 - l_1 - 1} K_i \quad K_0 = \bigotimes_{i < m_1 - l_0} K_i$$
with $\phi_0 : m_0 \to m_1$ and $\phi_1 : m_1 \to m_2$ placings. We say that $L_1$ and $L_0$ are *normalised* if
$$((K_1 \otimes \text{id}_{l_1 + 1}) \circ \phi'_1) \circ ((K_0 \otimes K' \otimes \text{id}_{l_0}) \circ \phi'_0) \neq L_1 \circ L_0,$$
for any $K'$ and any placings
$$\phi'_0 : m_0 \to m_1 + 1 \quad \phi'_1 : m_1 + 1 \to m_2.$$
Put in words, this means that $K'$ is not a leaf. Thus, it cannot be pushed down a level and $L_0$ is already a maximal set of leafs in $L_1 \circ L_0$. When considering several levels $L_n \circ \cdots \circ L_0$, we say that the levels are normalised if every pair of adjacent levels $L_i \circ L_{i-1}$ is normalised. We can now define a *stratified normal form* (SNF) for place graphs with sharing.
\[ B = \begin{cases}
\begin{array}{c|c}
\psi & \\
K \otimes \cdots \otimes K & \otimes \quad id_{l_{i-1}} \\
\phi_{l-1} & \\
\vdots & \\
K \otimes \cdots \otimes K & \otimes \quad id_{l_1} \\
\phi_1 & \\
K \otimes \cdots \otimes K & \otimes \quad id_{l_0} \\
\phi_0 &
\end{array} & L_{l-1} \\
L_1 \\
L_0
\end{cases} \]
Figure 3.12: Graphical representation of SNF for place graph with sharing \( B \). Levels \( L_0 \) and \( L_1 \) are drawn in blue and red, respectively.
**Proposition 3.5.2 (SNF for place graphs with sharing).** Every place graph with sharing \( B : m \to n \) can be expressed uniquely as
\[ B = \psi \circ L_{l-1} \circ \cdots \circ L_0 \]
where \( \psi \) is a placing and each \( L_i \) is a normalised level.
A graphical explanation of the definition is shown in Figure 3.12. We now use SNF to express an example bigraph with sharing.
**Example 3.5.1.** Take \( B : 2 \to 2 \) given by
\[
\begin{array}{c}
0 \\
A \\
E \\
\downarrow \\
0
\end{array}
\quad
\begin{array}{c}
1 \\
C \\
F \\
\downarrow \\
1
\end{array}
\quad
\begin{array}{c}
1 \\
D \\
B \\
\downarrow \\
1
\end{array}
\]
It is expressed in SNF as \( B = \psi \circ L_1 \circ L_0 \) with
\[
\psi = (join \otimes join)
\]
\[
L_1 = (A \otimes C \otimes D \otimes id) \circ (id \otimes split \otimes id)
\]
\[
L_0 = (E \otimes F \otimes B) \circ (id \otimes 1 \otimes id)
\]
Note that the two levels are normalised. Now consider expression $B = \psi' \circ L_2 \circ L'_1 \circ L'_0$ with
\[
\begin{align*}
\psi' &= (join \otimes join) \circ (\text{id} \otimes \gamma_{1,1} \otimes \text{id}) \\
L_2 &= (A \otimes B \otimes \text{id}_2) \circ \gamma_{2,2} \\
L'_1 &= (C \otimes D \otimes \text{id}_2) \circ (split \otimes \text{id}_2) \\
L'_0 &= (F \otimes E \otimes \text{id}) \circ (1 \otimes \text{id}_2)
\end{align*}
\]
This is not in SNF because the levels are not normalised. Namely, A and B can be pushed down to levels $L'_1$ and $L'_0$, respectively. By doing so, we obtain a valid SNF expression equal, up to permutations, to the previous one.
This normal form can also be extended to represent bigraphs with sharing. Since nodes are the only structure in common between link graphs and place graphs, it suffices to replace the node generator described above with the ion $K_{\vec{x}} : 1 \to \langle 1, \{\vec{x}\} \rangle$ defined for standard bigraphs. Hence, *extended levels* $L : m \to \langle n, X \rangle$ are defined as follows:
\[
L = (\bigotimes_{i < n-l} K_{\{\vec{x}_i\}} \otimes \text{id}_l) \circ \phi,
\]
where $X = \bigcup_i \{\vec{x}_i\}$. Since normalisation is defined over place graphs, the definition of normalised levels is not affected by the introduction of ions.
**Proposition 3.5.3** (SNF for bigraphs with sharing). Every bigraph with sharing $G : \langle m, X \rangle \to \langle n, Y \rangle$ may be expressed, up to permutations and renaming, as
\[
\begin{align*}
G &= (\psi \otimes \omega) \circ S_{l-1} \circ \cdots \circ S_0 \\
S_i &= L_i \otimes \text{id}_{X_i}
\end{align*}
\]
where $\psi$ is a placing with outer interface $n$, $\omega$ is a linking with outer interface $Y$, and each $L_i$ is a normalised extended level. Also the inner face of $L_0$ is $m$ and $X_0 = X$.
SNF extends the notion of stratified diagrams for bigraphs with sharing presented in Section 3.3. A summary of the features in common between the two representations is the following:
- linking $\omega$ corresponds to the links on the top of the diagram,
- identities $\text{id}_{X_i}$ are drawn as links crossing through the layers,
- levels are encoded by layers and the dashed lines connecting them.
Observe that in the SNF of a non-sharing bigraph all the placings $\psi, \phi_i$ are functions instead of relations.
The algebraic operators defined for standard bigraphs (e.g. merge product, parallel product and nesting) can also be used to express bigraphs with sharing. However, an additional operator capable of expressing sharing is required. We define *share expressions* as
$$\text{share } F \text{ by } \phi \text{ in } G \overset{\text{def}}{=} G \circ (\phi \otimes \text{id}_X) \circ F$$
where all the operations are assumed defined. An example for bigraph $B : \epsilon \rightarrow \langle 1, w \rangle$ drawn in Figure 3.4 is
$$B = \text{share } F \text{ by } \phi \text{ in } G$$
$$F = D.1 \parallel E_y.1 \parallel F.1 \parallel G_y.1$$
$$\phi = (\text{id} \parallel \text{join} \parallel \text{merge}_3) \circ (\gamma_{1,1} \parallel \gamma_{1,1} \parallel \text{id}_2)$$
$$\circ (\text{id} \parallel \gamma_{1,1} \parallel \text{id}_3) \circ (\text{split} \parallel \text{split}_3 \parallel \text{id} \parallel 0)$$
$$G = A_y \mid B \mid C$$
Expressions $F$ and $G$ correspond to the bottom and top layers in the stratified diagram, respectively. Placing $\phi : 4 \rightarrow 3$ is encoded by the dashed edges connecting the roots and sites of the two layers. It can more conveniently be written as a vector of subsets of ordinal 3:
$$\phi = [\{1, 2\}, \{0, 1, 2\}, \{2\}, \emptyset]$$
### 3.5.1 Axioms for bigraphical equality
We now introduce a set of axioms that allow to prove every valid equation between bigraphical expressions. We write $\vdash B = B'$ to indicate equality inferred from the axioms. In the previous section, we proved by defining functor $\mathfrak{W} : \text{SPg}(K) \rightarrow \text{Rel}$ that any placing $\phi : m \rightarrow n$ is also a relation between finite ordinals $m$ and $n$. Thus, $\phi$ can also be viewed as an arrow in category $\text{Rel}$. In [49, Theorem 7], Mimram proves that a complete axiomatisation of $\text{Rel}$ is given by the equational theory of qualitative bicommutative bialgebras. This allows us to define a complete axiomatisation for placings with sharing as a superset of the axioms for $\text{Pg}(K)$ specified in Chapter 2, namely Axioms (2.1) and (2.6) for symmetrical monoidal categories, and Axioms (2.2) for commutative monoid $(\{0\}, \text{join}, 1)$. The
additional axioms that are required to obtain completeness over placings with sharing are
\[
(split \otimes id_1) \circ split = (id_1 \otimes split) \circ split \\
(0 \otimes id_1) \circ split = id_1 = (id_1 \otimes 0) \circ split \\
\gamma_{1,1} \circ split = split
\]
specifying the co-monoid (\{0\}, split, 0), and
\[
split \circ join = (join \otimes join) \circ (id_1 \otimes \gamma_{1,1} \otimes id_1) \circ (split \otimes split) \\
0 \circ join = 0 \otimes 0 \\
split \circ 1 = 1 \otimes 1 \\
0 \circ 1 = id_0 \\
join \circ split = id_1
\]
for qualitative bialgebra (\{0\}, join, 1, split, 0, \gamma_{1,1}). We remind the reader that detailed descriptions of monoids and bialgebras appear in the Appendix A. In order to achieve completeness over SPg(K) we also need to include the ion axiom:
\[
(id_1 \otimes \alpha) \circ K_{\vec{x}} = K_{\alpha(\vec{x})}.
\]
We claim without proving that this set of axioms is complete for expressions denoting place graphs with sharing. Formally, \(B = B'\) implies \(\vdash B = B'\) for all expressions \(B, B'\).
A sketch of the proof is as follows. First, we show that \(\vdash B = E\) and \(\vdash B' = E'\), where \(E\) and \(E'\) are SNF expressions. Observe that Proposition 3.5.2 assures that such expressions exist for any place graph with sharing. Second, we show that the two normal forms can be proven equal, i.e. \(\vdash E = E'\). This amounts to showing that the two expressions only differ by permutations of the ions in the levels:
\[
\vdash \overbrace{\psi \circ L_{l-1} \circ \cdots \circ L_0}^{E} = \overbrace{\psi' \circ L'_{l-1} \circ \cdots \circ L'_0}^{E'} \\
\psi \circ (\bigotimes_i K_i \otimes id_1) \circ \phi \circ \cdots \circ L_0 = \psi' \circ (\bigotimes_i K_{\pi(i)} \otimes id_1) \circ \phi' \circ \cdots \circ L'_0 \\
E = \overbrace{\psi' \circ (\pi \otimes id_1) \circ (\bigotimes_i K_i \otimes id_1) \circ (\pi \otimes id_1) \circ \phi' \circ \cdots \circ L'_0}^{\psi} \\
\vdots
\]
The conjecture can be extended to SBg(K) by including the complete axiomatisation for
expressions over linkings given in the previous chapter.
We remark that this axiomatisation will not be used in the rest of the thesis as our implementation of bigraph equality is based on a reduction to the graph isomorphism problem. We will describe this approach in great detail in chapters 4 and 5.
3.6 Discussion
We have seen that bigraphs with sharing are an elegant mathematical theory enjoying familiar properties: they form a wide\(^1\) spm category and possess a normal form. It still remains to analyse the impact of sharing on the other aspects of Milner’s bigraphical theory such as the dynamical theory of BRSs, the definition of sorting, and the description on bigraphical terms with the spatial logic BiLog.
We begin by considering reactive systems of bigraphs with sharing. In the definition of reaction rules given in Chapter 2, the redex and the reactum are solid. If we inspect Definition 2.6.1, this means that they are epi and mono. Since epis and monos are defined differently in bigraphs with sharing, we need a new definition of solid bigraphs.
**Definition 3.6.1** (solid bigraphs with sharing). A bigraph with sharing is **solid** if these conditions\(^2\) hold:
1. it is epi, i.e. no root or outer name is idle and *no two roots are partners*;
2. it is mono, i.e. no two sites or inner names are siblings and *no site is an orphan*;
3. every site is guarding;
4. no outer name is linked to an inner name.
The reaction relation over bigraphs with sharing is computed as in the standard setting by matching a redex and replacing its occurrences with the corresponding reactum. Observe that the introduction of sharing does not entail changes to the standard definition of matching. However, we now have to allow discrete parameter \(d\) to have nodes shared also by nodes or roots in context \(D\). In more detail, the occurrence of a redex \(R : m \to J\) in an agent \(g\) is given by \(g = D \circ (R \otimes \text{id}_{\langle m', Y' \rangle}) \circ d\) with \(d : \epsilon \to \langle m + m', Y' \rangle\). Note that this corresponds to Definition 2.6.2 when \(m' = 0\). The matching algorithm identifying such occurrences needs be modified in order to support the new DAG structure of place graphs. We will describe a matching algorithm for bigraphs with sharing in the next chapter. Given the similarity with
---
\(^1\)A category equipped with a functor to Finord.
\(^2\)The new conditions introduced for bigraphs with sharing are written in italics.
the standard definition, we use the acronym BRS also to indicate reactive systems of bigraphs with sharing.
Sorting disciplines can be used for bigraphs with sharing in a straightforward way. We only need extend formation rules for place sortings so that properties involving sharing can be expressed. An example is given by:
- an $\widehat{ab}$-node is an orphan;
- all partners of an $\widehat{ab}$-node have sort $\widehat{ab}$;
- all parents of a $c$-node have sort $\widehat{ab}$.
Link sortings are as defined in standard bigraphs.
A similar extension is required to express sharing (i.e. elementary placings $0 : 1 \rightarrow 0$ and $split : 1 \rightarrow 2$) within the BiLog framework. The set of atomic formulae is redefined as follows:
$$\Omega' ::= \quad \Omega \quad | \quad 0 \quad | \quad split$$
We call this extended logic BiLog*. For ease of notation, we often drop the superscript when there is no ambiguity.
Finally, we analyse the compatibility of sharing with the other extensions of bigraphs presented in the literature. We begin with bigraphs with sharing.
Observe that stochastic rates can safely be attached to reaction rules as in standard SBRs. However, the number of distinct concrete occurrences of a redex in an agent can no longer be used to compute the rate of a reaction. This is a direct consequence of the new definition of parameter $d$ introduced above for BRS with sharing. To illustrate why this is the case, consider the following example.
**Example 3.6.1.** Take a reaction rule $R$, with redex $R = B$ and an agent $g : \epsilon \rightarrow 1$ defined by
$$g = join \circ ((A \circ (join \circ (B \otimes id) \circ (split \circ (C \circ 1)))) \otimes (K \circ 1))$$
Intuitively, $R$ can be applied only once because $g$ contains only a $B$-node that can be matched by $R$. However, according to Definition 2.3.9, it is possible to identify two distinct occurrences:
$$g = (D \circ (\text{id}_2 \otimes \delta)) \circ (R \otimes id) \circ d$$
$$g = D \circ (R \otimes \text{id}_2) \circ (d \otimes \delta)$$
with $D = join \circ ((A \circ join) \otimes id)$, $\delta = K \circ 1$ and $d = split(C \circ 1)$. The corresponding diagrams are given in Figure 3.13.
As the example above shows, it does not matter whether $\delta$ is in the context or in the parameter. This because $\delta$ contains places that do not have ancestors in $R$. Therefore, distinct occurrences differing only in this way need be counted only once when computing the reaction rate. We make this formal for concrete bigraphs as follows:
**Definition 3.6.2** ($\delta$-equivalent occurrences). Consider concrete bigraphs $G$, $F$ and two concrete occurrences $G = C_1 \circ (F' \otimes \text{id}_I) \circ C_0$ and $G = C'_1 \circ (F' \otimes \text{id}_{I'}) \circ C'_0$, with $F \approx F'$. They are $\delta$-equivalent if one of the following conditions holds
- they differ only by a permutation or a bijective renaming on the mediating interfaces (as in Definition 2.3.10);
- there exists a non node-free bigraph $\delta$ and an interface $J$ such that $C_1 \circ (\text{id}_J \otimes \delta) = C'_1$ and $C_0 = C'_0 \otimes \delta$.
They are $\delta$-distinct otherwise.
Given a reaction rule $R = (R, R', \rho)$, we write $\mu_R[g, g']$ to indicate the number of $\delta$-distinct occurrences of $\tilde{R}$ in $\tilde{g}$ such that $g \rightarrow_R g'$. By overloading this operator, reaction rates can be defined as in the previous chapter. Also in this case a new matching algorithm is needed to identify and count the occurrences of a reaction.
The introduction of sharing in directed bigraphs is easier because the two extensions do not interfere with each other. This is assured by orthogonality of place graphs with sharing and directed link graphs. The impact of allowing sharing places on the theory of binding bigraphs has not been analysed yet. In particular, it remains to establish whether a link bound to a place $r$ can cross the boundaries of any $r$’s partners. In other words, we need
to answer the question: is it possible to share a bound link? Therefore, further research in this direction is needed to decide which approach is more tractable theoretically and more suitable for practical applications.
3.7 Summary
In this chapter we presented bigraphs with sharing, a novel generalisation of bigraphs in which locality is modelled by DAGs. In Section 3.1, we discussed the reasons that led to the introduction of sharing. We gave a list of scenarios demanding sharing for their models to be expressive and, at the same time, straightforward to produce. We also explained why we decided to extend the formalism instead of encoding it within the original definition of bigraphs. A formal introduction to bigraphs with sharing was given in Section 3.2. Stratified and nesting diagrams for sharing bigraphs were described in Section 3.3. We proved that $\text{SBg}(\mathcal{K})$ is a wide spm category in Section 3.4. We introduced an axiomatisation and normal form SNF in Section 3.5. In Section 3.6, we analysed the impact of sharing on other aspects of bigraphs, such as reactive systems and BiLog.
In the next chapter we will formalise a new matching algorithm that supports bigraphs with sharing. The algorithm is based on a reduction of the matching problem to the sub-graph isomorphism problem.
Chapter 4
Matching of bigraphs with sharing
This chapter introduces a matching algorithm for bigraphs with sharing. In Section 4.1, we give an overview of the matching problem and briefly describe the matching algorithm for non-sharing bigraphs introduced by Birkedal et al. in [12]. We also discuss the relationship with other well-known computational problems, e.g. the sub-graph isomorphism problem, and motivate the need for the definition of a new matching algorithm that supports sharing. Section 4.2 is based on our previous work on matching [57]. We first present the formal definition of a graph theoretic algorithm for the bigraph matching problem. Then, we analyse the algorithm in detail through some examples. Proofs of soundness and completeness are also provided. Finally, some concluding remarks are given in Section 4.3.
4.1 Introduction
The bigraph matching problem is a computational task in which a bigraph $P$, called pattern, and a bigraph $T$, called target, are given as input, and one must determine whether $P$ occurs in $T$. A formal definition was given in Chapter 2. We recall it here with an example instance.
**Example 4.1.1.** Take a target $T : \epsilon \rightarrow \langle 1, \{x\} \rangle$ and a pattern $P : \langle 1, \emptyset \rangle \rightarrow \langle 2, \{x, y\} \rangle$ as in Figure 4.1. The matching instance consists of identifying the occurrences of $P$ in $T$, i.e. the decompositions of the target defined as follows:
$$T = C_1 \circ (P \otimes \text{id}_I) \circ C_0$$
for some interface $I$ and bigraphs $C_0$ and $C_1$. We call $C_1$ the context and $C_0$ the parameter. When the leftmost region in the pattern matches the atomic B-node, a possible decomposition is described by the diagram in Figure 4.2b. On the other hand, if the same region matches the B-node containing the C-node, the decomposition shown in Figure 4.2a can be obtained.
Considering the pattern can only match one of the two siblings of control B in the target, all the other decompositions can be constructed by modifying the ones in Figure 4.2. For instance, $C'$ can be replaced by $C' \circ (\text{id}_2 \otimes x/y \otimes y/x)$ in a different decomposition in which an isomorphism is applied to the mediating interface.
The matching problem plays a fundamental rôle in the definition of BRS: as we have seen in the previous chapters that an instance of the problem arises every time the occurrences of a redex in an agent are computed. In a stochastic setting, it is also important to take into account the number of distinct (and $\delta$-distinct in SBRS with sharing) occurrences when computing the rate of a stochastic reaction. In order to distinguish between occurrences, the supports of the target and pattern need be used. This means that the bigraphs in the resulting matching instances are concrete. This was formalised in the definition of operator $\mu_R[g, g']$ and in Definition 2.9.2. We explain why abstract bigraphs are not suitable for occurrence counting with the following example.
Example 4.1.3. Consider a target $g = (K \otimes L)$ and a pattern $R = K$. A valid matching sentence is $g, R \leftrightarrow (\text{id}_1 \otimes L), \text{id}_1$. However, it cannot be derived without using STRUCT because PAR is not applicable. This is due to the fact that the pattern is not represented as a tensor product. By applying axiom
$$A \otimes \text{id}_e = A = \text{id}_e \otimes A$$
the pattern can be rewritten as $K \otimes \text{id}_0$ and the matching sentence is derived.
The matching problem for standard bigraphs is closely related to the sub-graph isomorphism problem. In more detail, the matching of place graphs can be reduced to the sub-forest isomorphism problem. A full match can then be computed by introducing extra constraints expressing the matching of link graphs. Both the sub-graph and sub-forest isomorphism problems\footnote{When expressed as decision problems.} are proven to be NP-hard [59]. Therefore, algorithms that compute their solutions in polynomial time are not known. Traditionally, these problems are solved by using some type of backtracking search, as shown for instance in [64]. Observe that when the input bigraphs have only one root, the matching instance can be reduced to an instance of the sub-tree isomorphism which can be solved in polynomial time. The matching problem for bigraphs with sharing can also be reduced to the sub-graph isomorphism problem. More precisely, it is reducible to the sub-DAG isomorphism problem, which is also NP-complete [66]. Note that the introduction of sharing does not involve an increase in complexity.
We have chosen to follow the sub-DAG isomorphism approach, and not to extend the algorithm based on inference rules described above for several reasons. The first one is that the new DAG structure of the place graphs increases the amount of unnecessary blind search during the inference process, which negatively affects the performance of the algorithm. Intuitively, this is due to the fact that there are even more ways to decompose the pattern and the target at every application of an inference rule. Further, a reduction to a standard problem tends to produce faster algorithms because it fully exploits established solvers which are very efficient due to the use of advanced heuristics. A typical example of this approach is the encoding of hard problems into instances of the boolean satisfiability problem (SAT) [38, 19]. Finally, we want our algorithm to support concrete bigraphs and arbitrary patterns. Support for concrete bigraphs is required to allow the enumeration of all occurrences of the pattern in the target (see Example 4.1.2). This is necessary for any complete implementation of stochastic BRS. Furthermore, only concrete bigraphs can be used in a future implementation of labelled transition systems based on RPO construction. Support for arbitrary patterns (i.e. bigraphs in which inner names are allowed), is necessary because we will use the matching algorithm not only to match a redex in an agent during the computation of the reaction relation in a BRS, but also to encode an algorithm for the verification of BiLog formulae.
Observe that the very nature of the algorithm described above does not allow for a straightforward extension that supports these two new features. This because the inference tree is built upon algebraic terms for abstract bigraphs expressed in DNF.
### 4.2 Algorithm
In this section we present a graph-theoretic matching algorithm for concrete bigraphs with sharing. Note that our algorithm natively supports standard bigraphs as we will prove in Proposition 4.2.6 at the end of the chapter. First, we introduce some useful definitions that will allow for a more concise specification of the algorithm. The sets of points and the set of ports of a link $l$ are defined as follows:
$$points_F(l) \overset{\text{def}}{=} \{p \mid link_F(p) = l\} \quad ports_F(l) \overset{\text{def}}{=} points_F(l) \setminus X.$$
We then define an equivalence relation among links with “similar” sets of ports. Intuitively, when comparing the sets of ports of two links, only the number of ports belonging to the same node is taken into account, while the port identifiers are ignored. Before giving the formal definition, we illustrate the idea with an example.
**Example 4.2.1.** Take concrete bigraph $B : \epsilon \rightarrow \langle 1, \{x, y, z\}\rangle$ defined in Figure 4.3. Links $x$ and $z$ are equivalent because they both have two ports belonging to node $v$. The sets of ports of links $x$, $y$ and $z$ are
$$ports_B(x) = \{(v,0),(v,1)\} \quad ports_B(y) = \{(v,2)\} \quad ports_B(z) = \{(v,3),(v,4)\}.$$
If all port identifiers are dropped, these sets can be transformed into multisets. The multisets for $x$ and $z$ are the same.
**Definition 4.2.1.** Take two links $l, k$ in a bigraph $F : \langle m, X \rangle \rightarrow \langle n, Y \rangle$. Equivalence relation $\doteq$ is defined as follows
$$l \doteq k \quad \text{iff} \quad count(l) = count(k) \text{ and } \tau(l) = \tau(k)$$
where
\[
\tau(l) = \begin{cases}
\text{name} & \text{if } l \in Y \\
\text{edge} & \text{if } l \in E_F \text{ and } \text{points}(l) \subseteq P_F \\
\text{open-edge} & \text{otherwise}
\end{cases}
\]
and \( \text{count}(l) \overset{\text{def}}{=} \{ v \mid (v, i) \in \text{ports}(l) \} \) is a multiset.
Returning to Example 4.2.1, we can write \( \text{count}(x) = \text{count}(z) = \{ \{v, v\} \} \) and therefore \( x \equiv z \). We will use \( \equiv \)-equivalence classes of links in the algorithm when constructing mappings between the links of the pattern and the links of the target. Finally, we introduce an explicit transformation from concrete place graphs to DAGs:
**Definition 4.2.2** (underlying graph). Let \( F = (V_F, \text{ctrl}_F, \text{prnt}_F) : m \rightarrow n \) be a concrete place graph. Directed graph \( G_F = (V, E) \) is called the *underlying graph* of \( F \). The set of nodes is \( V = V_F \) and the set of edges is \( E = V_F \triangleleft \text{prnt}_F \triangleright V_F \).
The transformation consists of dropping all the roots and sites from bigraph \( F \). An important property is that any control-preserving graph isomorphism \( \iota \) between two underlying graphs is a support translation \( \rho_V \) between the corresponding place graphs when sites and roots are ignored. Formally, \( \iota : G_F \rightarrow G_G \) is a bijection such that \( \text{ctrl}_F(u) = \text{ctrl}_G(\iota(u)) \), \( \text{ctrl}_F(v) = \text{ctrl}_G(\iota(v)) \) and
\[
(u, v) \in \text{prnt}_F \quad \text{iff} \quad (\iota(u), \iota(v)) \in \text{prnt}_G .
\]
Note that this is equivalent to writing
\[
(V_G \triangleleft \text{prnt}_G \triangleright V_G) \circ \iota = \iota \circ (V_F \triangleleft \text{prnt}_F \triangleright V_F) .
\]
Hence, \( \iota \) satisfies Definition 2.2.5 when roots and sites are ignored. This correspondence between \( \iota \) and \( \rho_V \) motivates the reduction of the matching problem to the sub-graph isomorphism problem.
**Notation and conventions**
We write \( \text{prnt}(v) \) to indicate set \( \{ u \mid (v, u) \in \text{prnt} \} \) and \( \text{prnt}^{-1} \) for the inverse of \( \text{prnt} \). Graph isomorphisms and maps between links are indicated by \( \iota \) and \( \eta \), respectively. We write \( \widehat{G}_T \) to denote the sub-graph of \( G_T \) that is isomorphic via \( \iota \) to \( G_P \). Therefore, \( \widehat{V}_T \subseteq V_T \) is the range of \( \iota \). A multiset \( A \) is included in a multiset \( B \), written \( A \subseteq B \), iff every element of \( A \) occurs at least the same number of times in \( B \). In the following, we assume the pattern
and the target are $P : \langle m, X \rangle \rightarrow \langle n, Y \rangle$ and $T : \langle m', X' \rangle \rightarrow \langle n', Y' \rangle$, respectively. Finally, the set of idle links of concrete bigraph $P$ is defined by
$$P_{\text{idle}}^L \overset{\text{def}}{=} \{ l \in E_P \uplus Y \mid \text{points}_P(l) = \emptyset \}.$$
### 4.2.1 Definition
We are now ready to introduce our matching algorithm. We begin with an informal outline. The inputs of the algorithm are two concrete place graphs: the first being the target while the second being the pattern. The output is a set of pairs specifying all the occurrences of the pattern in the target. Each pair consists of a graph isomorphism and a mapping between links. The first phase of the algorithm consists of invoking a procedure that solves the subgraph isomorphism problem. The underlying graphs of the pattern and the target are used as inputs. The output is a set of graph isomorphisms. In the next phase, the algorithm checks that every isomorphism obtained in the previous phase satisfies the following *compatibility* conditions:
- Node controls are preserved.
- The pattern has sites and roots allowing for the construction of a context and a parameter by decomposing the target.
- No node in the context has an ancestor in the pattern.
All the isomorphisms failing to pass any of the checks above are discarded. Finally, output pairs are computed by associating every compatible isomorphism with a mapping from the pattern links to the target links. Each mapping ensures that the link graph of the pattern can be composed with the link graph of a context and the link graph of a parameter, both obtained by decomposing the target. If the procedure fails to build such a mapping, then the corresponding isomorphism is discarded.
The algorithm is formally defined by the pseudocode given in Figure 4.4. It takes the form of a function $\text{MATCH}(.,.)$ in which the two arguments are concrete bigraphs. Since node-free patterns are a match for any target, we assume the second argument has a non-empty node set, i.e. $V_P \neq \emptyset$. Note that the pattern’s port set can still be empty if all nodes in $V_P$ have 0-arity controls.
We now describe in detail the operations described in the pseudocode. In line 2, the reduction to an instance of the the sub-graph isomorphism problem is performed by invoking sub-routine $\text{SUB\_ISO}(\mathcal{G}_T, \mathcal{G}_P)$. We use it in a black-box fashion. Therefore, we assume an implementation is provided. The results are stored in set $I$. Every isomorphism $\iota \in I$ takes the form $\iota : V_P \rightarrow \widehat{V}_P$.
function MATCH(T, P)
I := SUB_ISO(G_T, G_P);
I' := ∅;
M := ∅;
forall i ∈ I do
V_P := i(V_P);
if CTRL(i, ctrl_T, ctrl_P) ∧ SITES(i, T, P) ∧ ROOTS(i, T, P) ∧ TRANS(T, V_P) then
I' := {i} ∪ I';
end if;
end for;
forall i ∈ I' do
η := BUILD_LINK_MAP(∅, (E_P ⊕ Y) \ P^L_idle, i, T, P);
if η ≠ ∅ then
M := {(i, η)} ∪ M;
else if P_P = ∅ then
M := {(i, ∅)} ∪ M;
end if;
end for;
return M;
end function
Figure 4.4: Pseudocode for the matching algorithm.
The loop in lines 5-9 filters set I by checking that every element satisfies the compatibility conditions listed above. Each condition is checked in line 7 by invoking a different sub-routine. The isomorphisms passing all the tests are stored in I'. Pseudocode for function CTRL(_, _, _) is given in Figure 4.5. The inputs are an isomorphism and the control maps of the target and the pattern, in that order. In line 2, there is a check that the input isomorphism preserves controls. Sites and roots are checked by invoking SITES(_, _, _) and ROOTS(_, _, _), respectively. The pseudocode for SITES(_, _, _) is in Figure 4.6. It takes as inputs an isomorphism, the target and the pattern, in that order. The loop in lines 2-5 checks that P's sites allow the composition (P ⊗ id_T) ◦ D. More precisely, it checks that for every node or site c in D having parents in V_P, there exists a set of sites S in P whose parent set is isomorphic
function CTRL(i, ctrl_T, ctrl_P)
if exists (v, u) ∈ i such that ctrl_P(v) ≠ ctrl_T(u) then
return false;
else
return true;
end if;
end function
Figure 4.5: Pseudocode for sub-routine CTRL(_, _, _).
function SITES(ι, T', P)
forall c ∈ {v ∈ (m' ⊕ V_T) \ V̂_P | prnt_T(v) ∩ V̂_P ≠ ∅} do
if not exists S ⊆ m such that ι(∪_{s∈S}(prnt_P ▷ V_P)(s)) = (prnt_T ▷ V̂_P)(c) then
return false;
end if;
return true;
end function
Figure 4.6: Pseudocode for sub-routine SITES(_, _, _).
function ROOTS(ι, T, P)
forall p ∈ {v ∈ (V_T ⊕ n') \ V̂_P | prnt_T^{-1}(v) ∩ V̂_P ≠ ∅} do
if not exists R ⊆ n such that ι(∪_{r∈R}(prnt_P^{-1} ▷ V̂_P)(r)) = (prnt_T^{-1} ▷ V̂_P)(p) then
return false;
end if;
return true;
end function
Figure 4.7: Pseudocode for sub-routine ROOTS(_, _, _).
to c's parent set. The pseudocode for ROOTS(_, _, _) is shown in Figure 4.7. Again the inputs are an isomorphism, the target and the pattern. The procedure is the dual of the previous one. It checks that P's roots allow the composition C ◦ (P ⊗ id_T). Namely, the loop in lines 2-5 checks that for every node or root p in C having children in V̂_P, there exists a set of roots R in P whose set of children is isomorphic to p's set of children. The final condition on the isomorphisms is checked by invoking TRANS(T, V̂_P), pseudocode for this sub-routine is given in Figure 4.8. In line 2, there is a check that a node in V̂_P does not have a parent in the context that has an ancestor in V̂_P. Observe that each ι ∈ I' satisfies all the compatibility conditions. Hence, it is a support translation for P with range V̂_P.
The second loop in MATCH(_, _) (lines 10-16 in Figure 4.4) builds a mapping between P's and T's links. The solutions are stored in set M. If no mapping is returned and there are no ports in the pattern, then only the isomorphisms are returned (lines 14-16). A mapping for every ι found in the previous phases of the algorithm is obtained by invocation BUILD_LINK_MAP(∅, (E_P ⊕ Y) \ P^L_idle, ι, T, P) in line 12. Since idle links can always occur in any pattern, only non-idle links of P are considered as shown by the second argument. Pseudocode for the sub-routine is given in Figure 4.9.
The first argument η is a partial mapping. It is used by the procedure to recursively construct a full mapping. The second argument L is a subset of T's link. Its elements are
function TRANS(T, $\widehat{V_P}$)
if exists $u \in V_T \setminus \widehat{V_P}$ and $v, v' \in \widehat{V_P}$ such that $u \in prnt_T(v)$ and $v' \in prnt_T^+(u)$ then
return false;
else
return true;
end if;
end function
Figure 4.8: Pseudocode for sub-routine TRANS(.,.).
the links not in the range of $\eta$. The other three arguments are an isomorphism, the target and the pattern, in this order. When argument $L$ is empty, this means that $\eta$ contains a mapping for every non-idle links in the pattern. Therefore, $\eta$ is accepted as a valid result in line 20. On the other hand, when $L$ is not empty, a link $l$ is selected in line 3. Then, the operations in lines 5-12 construct a set $K$ whose elements are all the links in the target that can be mapped to $l$. There are three cases:
- If $l$ is an outer name (i.e. $\tau(l) = \text{name}$), then $l$ can be mapped to any link $k \in K$ such that $l$’s ports are an isomorphic subset of $k$’s ports. This corresponds to the conditional statement in lines 5-6.
- If $l$ is an edge and all its points are ports (i.e. $\tau(l) = \text{edge}$), then $l$ can be mapped to any edge $k \in K$ such that $l$’s ports are isomorphic to $k$’s ports. This corresponds to the instructions in lines 7-8.
- If $l$ is an edge having an inner name $x \in X$ as a point (i.e. $\tau(l) = \text{open-edge}$), then $l$ can be mapped to any edge $k \in K$ such that $l$’s ports are an isomorphic subset of $k$’s ports and the other $k$’s ports belong to nodes who are not ancestors of any node in $\widehat{V_P}$. In other words, they must belong to nodes in the parameter. This is described by the pseudocode in lines 9-11.
Observe that port identifiers are ignored because all comparisons are performed on multisets of nodes generated by function count(.). The loop in lines 13-17 builds res, the output of the sub-routine. This is the result of one of the recursive invocations BUILD_LINK_MAPS($\eta \cup \{(l, k)\}, L \setminus \{l\}, \ell, \text{REM_PORTS}(T, k, S), P$). By analysing the arguments of the sub-routine, we see that pair $(l, k)$ is added to partial solution $\eta$ and $l$ is removed from $L$, the set of links yet to be checked. Moreover, target $T$ is replaced by a bigraph $T'$ resulting from invocation $\text{REM_PORTS}(T, k, S)$, with multiset $S$ defined in line 4. Intuitively, $T'$ is defined exactly as $T$ but each port corresponding to a node in $S$ is removed from the set of ports of link $k$. In this way, we ensure that the $k$’s ports used to match a link in the pattern are not
function BUILD_LINK_MAP(η, L, ℓ, T, P)
if L ≠ ∅ then
choose l ∈ L;
S := ℓ(count_P(l));
if τ(l) = name then
K := {k | S ⊆ count_T(k)};
else if τ(l) = edge then
K := {k ∈ E_T | S = count_T(k)};
else
K := {k ∈ E_T | S ⊆ count_T(k) ∧
(not exists v ∈ V_P, u ∈ (count_T(k) \ S) s.t. (v, u) ∈ prnt_T^+)};
end if.
forall k ∈ K do
res := BUILD_LINK_MAP(η ∪ {(l, k)}, L \ {l}, ℓ, REM_PORTS(T, k, S), P);
if res ≠ ∅ then
return res;
end if;
end forall
return ∅;
else
return η;
end if;
end function
Figure 4.9: Pseudocode for sub-routine BUILD_LINK_MAP(_, _, _, _, _)
used again to match a different link in a successive recursive invocation. If no mapping can be constructed, either because all recursive invocations return ∅ or because K = ∅, then BUILD_LINK_MAP(_, _, _, _, _) returns an empty mapping in line 18 and the partial solution η is discarded. This because only total mappings can be valid solutions.
Pseudocode defining sub-routine REM_PORTS(_, _, _) is given in Figure 4.10. The loop in lines 3-5 iterates over multiset S which contains all the nodes v having ports already been used in a match, thus to be removed. In line 4, a fresh port corresponding to v is chosen and it is added to res in line 5. In line 6, the link map of T is updated by removing all the ports in res from the set of ports of k. Bigraph T' is returned in line 7.
The computational complexity of the algorithm is dominated by the running time of subroutine SUB_ISO(_, _, _), which is O(|V_T||V_P|).
4.2.2 Examples
We illustrate the various phases of algorithm MATCH(_, _) through some examples.
Example 4.2.2. Consider concrete bigraphs T and P_0, with link graphs assumed to be id_0.
function REM_PORTS(T, k, S)
res := ∅;
forall v ∈ S do
choose i such that (v, i) ∈ ports_T(k) and (v, i) ∉ res;
res := res ∪ {(v, i)};
link'_T := link_T \ {⟨p, k⟩ | p ∈ res};
return ⟨T^P, (V_T, E_T, ctrl_T, link'_T)⟩;
end function
Figure 4.10: Pseudocode for sub-routine REM_PORTS(_, _, _).
The corresponding place graphs are drawn in Figure 4.11. The matching instance is given by MATCH(T, P_0). The first operation performed by the algorithm is the computation of the underlying graphs G_{P_0} and G_T and the invocation of SUB_ISO(G_T, G_{P_0}). The result is the set of all the isomorphisms preserving edge (v_0, v_1) in G_{P_0}. The ones that also preserve the controls are:
\[ \iota_0 = \{(v_0, u_0), (v_1, u_1)\} \quad \iota_1 = \{(v_0, u_0), (v_1, u_2)\} \quad \iota_2 = \{(v_0, u_3), (v_1, u_6)\} \]
\[ \iota_3 = \{(v_0, u_4), (v_1, u_7)\} \quad \iota_4 = \{(v_0, u_5), (v_1, u_7)\} . \]
They are the isomorphisms satisfying the condition in CTRL(\iota_i, ctrl_T, ctrl_{P_0}). To check whether a solution has sites allowing for a valid match, sub-routine SITES(\iota_i, T, P_0) is invoked. When \iota_0 is the input, the loop iterates over \{u_4, u_2, u_3\}. Since there are no sites in P_0 having a parent set isomorphic to prnt_T(u_2) = prnt_T(u_3) = \{u_0\}, \iota_0 is discarded. Same for \iota_1. Similarly, ROOTS(\iota_i, T, P_0) is invoked to check the roots of P_0. When \iota_3 is the input, the loop iterates over \{u_1, u_5\}. In this case, there are no roots in P_0 having a set of children isomorphic to prnt_T^{-1}(u_5) = \{u_7\}. Therefore, \iota_3 is discarded. The same for \iota_4. Hence, the only control preserving isomorphism with compatible sites and roots is \iota_2. The last check to be performed is TRANS(T, V_{P_0}), with V_{P_0} being the range of \iota_2. Since node u_0 (i.e. the only parent of \iota_2(v_0) = u_3) has no ancestors in V_{P_0}, the final output of MATCH(T, P_0) is \{(v_2, \emptyset)\}. No mapping \eta is created because there are no ports (check on line 14 in Figure 4.4).
Example 4.2.3. Take concrete bigraphs T and P_1 with empty link graphs. Their diagrams are given in Figure 4.12. When sub-routine MATCH(T, P_1) is invoked the following steps can be described. The isomorphisms constructed by SUB_ISO(G_T, G_{P_1}) that also satisfy the condition in CTRL(\iota_i, ctrl_T, ctrl_{P_1}) are
\[ \iota_0 = \{(v_0, u_0), (v_1, u_1), (v_2, u_4)\} \quad \iota_1 = \{(v_0, u_0), (v_1, u_2), (v_2, u_5)\} . \]
When SITES(\iota_0, T, P_1) is invoked, the loop iterates over set \{u_2, u_3, u_7\}. Isomorphism \iota_0
Figure 4.11: Bigraphs $T : 2 \rightarrow 1$ and $P_0 : 1 \rightarrow 1$. The only compatible isomorphism is $\{(v_0, u_3), (v_1, u_6)\}$.
Figure 4.12: Bigraphs $T : 2 \rightarrow 1$ and $P_1 : 2 \rightarrow 1$. The compatible isomorphisms are $\{(v_0, u_0), (v_1, u_1), (v_2, u_4)\}$ and $\{(v_0, u_0), (v_1, u_2), (v_2, u_5)\}$.
is accepted because there are compatible sites, namely $prnt_{P_1}(0) = \{v_0\}$ and $prnt_{P_1}(1) = \{v_2\}$. When the input is $\iota_1$, the set of children used for the iteration is $\{u_1, u_7, u_3\}$. Also in this case compatible sites exist. Hence, $\iota_1$ is accepted. Since the parent sets to iterate over are empty, $\text{ROOTS}(\iota_i, T, P_1)$ returns true. The same for $\text{TRANS}(T, \widehat{V_P})$. No mapping $\eta$ need be constructed. Therefore, the final output of $\text{MATCH}(T, P_1)$ is $\{(\iota_0, \emptyset), (\iota_1, \emptyset)\}$.
Example 4.2.4. Take concrete bigraphs $T$ and $P_2$ as in Figure 4.13. Both the link graphs are id$_0$. The results of the invocation of sub-routine $\text{SUB\_ISO}(G_T, G_{P_2})$ are
$$\iota_0 = \{(v_0, u_0), (v_1, u_1), (v_2, u_4), (v_3, u_7)\} \quad \iota_1 = \{(v_0, u_0), (v_1, u_2), (v_2, u_5), (v_3, u_7)\}.$$
Both isomorphisms satisfy the condition in $\text{CTRL}(\iota_i, \text{ctrl}_T, \text{ctrl}_{P_2})$. Sites are checked by the iterations over sets of children $\{u_2, u_3\}$ and $\{u_1, u_3\}$ for $\iota_0$ and $\iota_1$, respectively. In both cases, the existence of site 0 in $P_2$ causes the invocations of $\text{SITES}(\iota_i, T, P_2)$ to return true. The invocations of $\text{ROOTS}(\iota_i, T, P_2)$ iterate over $\{u_5\}$ and $\{u_4\}$ for $\iota_0$ and $\iota_1$, respectively.
Root 1 in $P_2$ is compatible for both isomorphisms. Finally the transitive closure is checked. When $\text{TRANS}(T, \widehat{V_{P_2}})$ is invoked for $\iota_0$, node $u_5$ forces the sub-routine to return false. This because $u_0 \in \text{prnt}_T^+(\iota_5)$. Analogously, $\iota_1$ is discarded because $u_0 \in \text{prnt}_T^+(\iota_4)$. Therefore, $\text{MATCH}(T, P_2) = \emptyset$, i.e. $P_2$ does not occur in $T$.
**Example 4.2.5.** Consider instance $\text{MATCH}(T_1, P_3)$ in which target $T_1$ and pattern $P_3$ are given in Figure 4.14. Sub-routine $\text{SUB\_ISO}(\mathcal{G}_{T_1}, \mathcal{G}_{P_3})$ produces three isomorphisms. The only one that is accepted by $\text{CTRL}(\iota, \text{ctrl}_{T_1}, \text{ctrl}_{P_3})$ is $\iota = \{(v_0, u_0), (v_1, u_1), (v_2, u_2)\}$. The loop in $\text{SITES}(\iota, T_1, P_3)$ iterates over set $\{u_3, u_4, u_5\}$. The sub-routine returns false because $P_3$ does not have a set of sites capable of providing a parent set to node $u_3$. More formally, there is no site $s$ such that $\iota(\text{prnt}_{P_3}(s)) = \text{prnt}_{T_1}(u_3) = u_1$. Note that it is also impossible to find a set of sites for $u_5$. Therefore, $P_3$ is not a match in $T_1$ and the result of the algorithm is $\text{MATCH}(T_1, P_3) = \emptyset$.
**Example 4.2.6.** Take concrete bigraphs $T_2$ and $P_4$ specified by the diagrams in Figure 4.15. Invocation $\text{MATCH}(T_2, P_4)$ executes the first loop of the algorithm which returns $I' = \{\iota\}$ with $\iota = \{(v_0, u_0), (v_1, u_1)\}$. In the second loop, one of the following mappings between links can be constructed, depending on the order of the recursive invocations of sub-routine...
**Figure 4.15:** Bigraphs $T_2$ and $P_4$.
**BUILD\_LINK\_MAP(…, …, …, …)** in line 14 (see Figure 4.9):
\[
\begin{align*}
\eta_0 &= \{(x_0, e_1), (x_1, e_0), (x_2, e_0), (y_0, e_1), (y_1, e_0)\} \\
\eta_1 &= \{(x_0, e_0), (x_1, e_0), (x_2, e_1), (y_0, e_1), (y_1, e_0)\} \\
\eta_2 &= \{(x_0, e_0), (x_1, e_1), (x_2, e_0), (y_0, e_1), (y_1, e_0)\}.
\end{align*}
\]
The topmost invocation in **MATCH(…, …)** is always **BUILD\_LINK\_MAP($\emptyset$, $X$, $\iota$, $T_2$, $P_4$)**, with $X = \{x_0, x_1, x_2, y_0, y_1\}$. Let us analyse the instructions performed by the sub-routine in more detail. If $x_0$ is chosen in line 3, we have $S = \iota(\{v_0\}) = \{u_0\}$ and $K = \{e_1, e_0\}$. This set is obtained on lines 5-6 because $S \subseteq count_{T_2}(e_i)$ with
\[
count_{T_2}(e_1) = \{u_0, u_1, u_1\} \quad \quad count_{T_2}(e_0) = \{u_0, u_0, u_1\}.
\]
Assuming $e_1$ is the first element of $K$ to be picked by the loop in lines 13-17, the next invocation is **BUILD\_LINK\_MAP(($(x_0, e_1)$), $X \setminus \{x_0\}$, $\iota$, $T'_2$, $P_4$)** where $T'_2$ is the result of **REM\_PORTS($T_2, e_1, \{(u_0)\}$)**. The only difference with $T_2$ is that we now have $count_{T'_2}(e_1) = \{u_1, u_1\}$. This is the result of removing pair ($(u_0, i), e_1$) from $link_{T_2}$ for some port identifier $i$. The final output of the algorithm when executing the sequence of invocations in the order described above is $M = \{(\iota, \eta_0)\}$. Observe that $x_0 \doteq x_1 \doteq x_1$ and that any $\eta_i$ can be obtained by swapping equivalent names in another mapping. For instance, $\eta_2$ is the result of swapping $x_1$ and $x_2$ in $\eta_1$. As a result, the decompositions induced by the three mappings differ only by renamings on the inner names of the context. Therefore, all the mappings describe the same occurrence and the sequence of invocations chosen during the execution of the algorithm is irrelevant.
\[\blacksquare\]
### 4.2.3 Soundness and completeness
We now prove that the algorithm is sound and complete. Informally, soundness is proven by showing that any solution obtained as output of **MATCH($T$, $P$)** identifies an occurrence of $P$ in $T$. This means that a context and a parameter can be obtained by decomposing $T$
as specified by Definition 2.3.10. Dually, completeness is proven by showing that when $P$ occurs in $T$, then the algorithm produces a solution that identifies the decompositions of $T$ induced by match $P$. Before starting, we present some useful properties characterising composition of concrete place graphs. We will use these results in the following proofs.
**Proposition 4.2.1.** Take two place graphs $G : m \rightarrow n$ and $F : k \rightarrow m$ such that
$$B : k \rightarrow n = G \circ F.$$
For any node $v \in V_F$, if $(v', v) \in \text{prnt}_B^+$, then $v' \in (k \uplus V_F)$.
Informally, the proposition above states that all the descendants of a node in $F$ are also in $F$. We prove it as follows:
**Proof.** Assume the hypothesis holds but $v' \not\in (k \uplus V_F)$. Then $v' \in V_G$. Since $v \in V_F$ and $(v', v) \in \text{prnt}_B$, we have
$$(v', v_0), \ldots, (v_i, m_i) \in \text{prnt}_G \quad (m_i, v_{i+1}), \ldots, (v_{i+j}, v) \in \text{prnt}_F$$
for some $m_i \in m$. However, by Definition 3.2.1, $\text{prnt}_G \subseteq (m \uplus V_G) \times (V_G \uplus n)$. Therefore, $(v_i, m_i) \not\in \text{prnt}_G$ because $m_i \not\in (V_G \uplus n)$. Similarly, $(m_i, v_{i+1}) \not\in \text{prnt}_F$ because $m_i \not\in (k \uplus V_F)$. This contradicts the hypothesis. Hence, $v' \in (k \uplus V_F)$.
Another property specifies that in a composition $G \circ F$, when $v$, a site or node in $V_F$, has some parents which are roots or nodes in $V_G$, then a set of sites in $G$ has exactly the same parents. Moreover, this set corresponds to the roots in $F$ belonging to the parent set of $v$. This allows for $v$’s parent set to be constructed in the composition. We formalise the property as follows:
**Proposition 4.2.2.** Take two place graphs $G : m \rightarrow n$ and $F : k \rightarrow m$ such that
$$B : k \rightarrow n = G \circ F.$$
For any node or site $v \in (k \uplus V_F)$ such that $(\text{prnt}_B \triangleright (V_G \uplus n))(v) = P$, with $P \neq \emptyset$, there exists a set $S \subseteq m$ such that
$$(\text{prnt}_F \triangleright m)(v) = S \quad \bigcup_{s' \in S} \text{prnt}_G(s') = P$$
**Proof.** Immediate by Definition 3.2.2. Assume $S$ does not exist. Then, it means that $\text{prnt}_F(v) \subseteq V_F$. But $(\text{prnt}_B \triangleright (V_G \uplus n))(v) = \emptyset$, so we have a contradiction.
The dual property on the children set of a node or root in $G$ also holds:
**Proposition 4.2.3.** Take two place graphs $G : m \rightarrow n$ and $F : k \rightarrow m$ such that
$$B : k \rightarrow n = G \circ F.$$
For any node or root $v \in (V_G \uplus n)$ such that $(\text{prnt}_B^{-1} \triangleright (k \uplus V_F))(v) = C$, with $C \neq \emptyset$, there exists a set $R \subseteq m$ such that
$$(\text{prnt}_G^{-1} \triangleright m)(v) = R \quad \bigcup_{r' \in R} \text{prnt}_F^{-1}(r') = C$$
**Proposition 4.2.4 (soundness).** Let $T$ and $P$ be two concrete bigraphs, with $V_P \neq \emptyset$. If $\text{MATCH}(T, P)$ returns a solution $(\iota, \eta)$, then $(\iota, \eta)$ identifies an occurrence of $P$ in $T$.
**Proof.** Recall that a decomposition takes the form $T = C \circ (P' \otimes \text{id}_{(j, j)}) \circ D$ with $P' = \rho^* P$. We begin by proving the decomposition over place graphs.
By construction $\iota = \rho_V$ and $\widehat{V_P} = V_{P'}$. Set $V_C$ is defined to contain all the nodes in $V_T$ having a descendant in $V_{P'}$. It follows that $V_D = V_T \setminus (V_C \uplus V_{P'})$. The interfaces of the context and the parameter are $C : n + j \rightarrow n'$ and $D : m' \rightarrow m + j$, respectively. Parameter $j$ is the number of nodes or sites in $D$ having a parent in $C$. By definition of composition, the parent relations are
$$\text{prnt}_D \triangleright V_D = \text{prnt}_T \triangleright V_D \quad V_C \triangleleft \text{prnt}_C = V_C \triangleleft \text{prnt}_T.$$
Relations $\text{prnt}_D \triangleright j$ and $j \triangleleft \text{prnt}_C$ contain the pairs $(u, j_i)$ and $(j_i, v)$, respectively, for every $(u, v) \in \text{prnt}_P$, with $u \in (m' \uplus V_D)$ and $v \in (V_C \uplus n')$. Finally, $\text{prnt}_D \triangleright m$ is the relation containing pairs $(c, s)$ identified by procedure $\text{SITES}(\iota, T, P)$. Note that $c \in (m' \uplus V_D)$ and $s \in m$. In a similar fashion, relation $n \triangleleft \text{prnt}_C$ is formed by pairs $(r, p)$ detected by $\text{ROOTS}(\iota, T, P)$, with $r \in n$ and $p \in (V_C \uplus n')$.
We now construct a decomposition for link graphs. By construction $E_P \triangleleft \eta = \rho_E$ and $E_{P'} = \rho_E(E_P)$. Set $E_D$ contains all the edges in $E_T$ that have a port set entirely over nodes in $V_D$. The edges of the context are $E_C = E_T \setminus (E_{P'} \uplus E_D)$. The interfaces in the link graphs of the decomposition are $C : Y \uplus J \rightarrow Y'$ and $D : X' \rightarrow X \uplus J$. Set $J$ contains a name for each point in $D$ being mapped to a link in $C$. Therefore, identity $\text{id}_J$ is obtained with a construction similar to the one described for $\text{id}_j$: pairs $(p, w)$, $(w, l)$, with $w \in J$, are added to $\text{link}_D \triangleright J$ and $J \triangleleft \text{link}_C$, respectively, for every $(p, l) \in \text{link}_T$. Therefore, the complete link map for $C$ is given by
$$\text{link}_C = (J \triangleleft \text{link}_C) \uplus (Y \triangleleft \eta) \uplus (P_C \triangleleft \text{link}_T).$$
Relation $\text{link}_D \triangleright X$ contains the pairs $(p, x)$, with $p \in (X' \uplus P_D)$ and $x \in X$, for every
Figure 4.16: Link graphs and place graphs for target $T : 2 \rightarrow \langle 1, \{x\} \rangle$ and pattern $P : \langle 2, \{z\} \rangle \rightarrow \langle 1, \{x, y\} \rangle$.
$(p, e) \in \text{link}_T$ and $(x, e) \in \text{link}_P$. Finally, the complete link map for $D$ is
$$\text{link}_D = (\text{link}_D \triangleright J) \uplus (\text{link}_D \triangleright X) \uplus (\text{link}_T \triangleright E_D).$$
This concludes the proof. $\square$
The constructive proof described above can be used as a procedure for the decomposition of a target given a pattern and a pair $(\iota, \eta)$. This is explained by the following example.
**Example 4.2.7.** Consider bigraphs $T$ and $P$ given in Figure 4.16. Note that the place graphs correspond to the bigraphs used in Example 4.2.3. The output of $\text{MATCH}(T, P)$ is
$$\begin{align*}
(\iota_0, \eta_0) &= ((\{(v_0, u_0), (v_1, u_1), (v_2, u_4)\}, \{(x, x), (y, x), (e'_0, e_0)\}) \\
(\iota_1, \eta_1) &= ((\{(v_0, u_0), (v_1, u_2), (v_2, u_5)\}, \{(x, x), (y, x), (e'_0, e_1)\})
\end{align*}.$$
We now construct a decomposition $T = C \circ (P' \otimes \text{id}_I) \circ D$ by using solution $(\iota_0, \eta_0)$. The first step consists in defining $V_{P'}$ as the range of $\iota_0$ and $E_{P'}$ as the range of $E_P \triangleleft \eta_0$:
$$V_{P'} = \{u_0, u_1, u_4\} \quad E_{P'} = \{e_0\}.$$
The second step is to define context $C$. Since there are no nodes in $T$ that are a parent of a node in $V_{P'}$, we set $V_C = \emptyset$. Sub-routine $\text{ROOTS}(\iota_0, T, P)$ can only identify $(0, 0)$. This
is also the only pair in \( \text{prnt}_C \). The edge set of the context is \( E_C = \emptyset \) because all the edges in \( T \) have port sets entirely over \( V_D \). Finally, two fresh names \( w, t \) need be introduced in order to break pairs \( ((u_3, 0), x), ((u_5, 0), x) \) in \( \text{link}_T \). The full definition of context \( C : \langle 1, \{x, y, w, t\} \rangle \rightarrow \langle 1, \{x\} \rangle \) is given in Figure 4.17. The final step is to define parameter \( D \). The node and edge sets are
\[
V_D = \{u_2, u_3, u_5, u_6, u_7\}
\]
\[
E_D = \{e_1, e_2\}.
\]
Sub-routine \( \text{SITES}(t_0, T, P) \) detects pairs \( (u_7, 1), (u_2, 0) \) and \( (u_3, 0) \). The other pairs in \( \text{prnt}_D \) are taken from \( \text{prnt}_T \triangleright V_D \). The link map is constructed by adding the following three pairs to the pairs in \( \text{link}_T \triangleright E_D \):
\[
((u_3, 0), w)
\]
\[
((u_5, 0), t)
\]
\[
((u_7, 0), z).
\]
Diagrams for the place and the link graphs of \( D : 2 \rightarrow \langle 2, \{z, w, t\} \rangle \) are drawn in Figure 4.18.
\[\square\]
**Proposition 4.2.5** (completeness). Let \( T \) and \( P \) be two concrete bigraphs, with \( V_P \neq \emptyset \). If \( P \) is a match in \( T \), then \( \text{MATCH}(T, P) \) returns a solution \( (\iota, \eta) \) for every occurrence of \( P \) in \( T \).
**Proof.** By Definition 2.3.10, the hypothesis is there exists \( C, D \) such that \( T = C \circ (P' \otimes \text{id}_I) \circ D \) with \( P' = \rho^\star P \). By Definition 2.2.5 and Definition 4.2.1, \( \rho_V \) is a control-preserving
isomorphism from \( G_P \) to \( G_{P'} \). Since \( V_{P'} \subseteq V_T \), \( \rho_V \) is an output of \( \text{SUB\_ISO}(G_T, G_{P'}) \) and \( \text{CTRL}(\rho_V, \text{ctrl}_T, \text{ctrl}_{P'}) \) returns true. By Proposition 4.2.2 and by hypothesis \( (P' \otimes \text{id}_I) \circ D \), \( \text{SITES}(\rho_V, T, P) \) returns true. Similarly, by Proposition 4.2.3 and by hypothesis \( C \circ (P' \otimes \text{id}_I) \), \( \text{ROOTS}(\rho_V, T, P) \) returns true. The hypothesis and Proposition 4.2.1 also ensure that \( \text{TRANS}(T, \widehat{V_P}) \) returns true. We now show that the algorithm returns a valid link mapping \( \eta \). By Definition 2.3.2, we know that when \( \tau_{P'}(e) = \text{edge} \) holds for an edge \( e \in E_{P'} \), then \( \tau_T(e) = \text{edge} \) also holds. Therefore, \( \rho_E \subset \eta \) because of lines 7-8 in \( \text{BUILD\_LINK\_MAP}(\ldots, \ldots, \ldots, \ldots) \). The other pairs in \( \eta \) are found by checks on lines 5-6 and 10-11. The existence of these pairs follows from the hypothesis and by Definition 2.2.3. This proves that \( (\iota, \eta) \), with \( \iota = \rho_V \), is a solution returned by \( \text{MATCH}(T, P) \) when the hypothesis holds. This concludes the proof.
We conclude the chapter by proving the following proposition:
**Proposition 4.2.6.** Algorithm \( \text{MATCH}(\ldots, \ldots) \) natively supports non-sharing concrete bigraphs.
**Proof.** We need to prove that whenever \( T \) and \( P \) are non-sharing, then context \( C \) and parameter \( D \) in any decomposition constructed by \( \text{MATCH}(T, P) \) are also non-sharing. We begin by proving that \( D \) is non-sharing.
Assume \( D \) is a sharing bigraph. Then by Definition 3.2.1 its place graph can contain i) orphans and ii) shared places. We prove the two cases separately.
i) Let \( c \) be an orphan in \( D \). Since \( c \) is also a place in \( T \), then by Proposition 4.2.4
\[
\text{prnt}_D(c) = \text{prnt}_T(c) = \emptyset .
\]
But \( T \) is non-sharing, therefore \( |\text{prnt}_T(c)| = 1 \). This is a contradiction.
ii) Without loss of generality, let \( \text{prnt}_D(c) = \{p, p'\} \) with \( \{p, p'\} \subseteq (V_D \uplus j) \). There are six cases:
1) If \( \{p, p'\} \subseteq V_D \), then by Proposition 4.2.4 \( \text{prnt}_D \triangleright V_D = \text{prnt}_T \triangleright V_D \). Therefore, \( \text{prnt}_T(c) = \{p, p'\} \). But this is a contradiction because \( T \) is non-sharing by hypothesis.
2) If \( p \in V_D \) and \( p' \in m \), then by Proposition 4.2.4 and by the fact that \( P \) is non-sharing, there exists one \( p'' \in V_{P'} \) such that \( (c, p'') \in \text{prnt}_T \). However, Proposition 4.2.4 also implies that \( (c, p) \in \text{prnt}_T \), which contradicts the hypothesis.
3) If \( p \in V_D \) and \( p' \in j \), then by Proposition 4.2.4 there exists one \( p'' \in V_C \) such that \( (c, p'') \in \text{prnt}_T \). As in the previous case, this contradicts the hypothesis.
4) If $\{p, p'\} \subseteq m$ then by Proposition 4.2.4 and by the fact that $P$ is non-sharing, we have that $|prnt_T(c)| = 2$. But this is a contradiction because $T$ is non-sharing by hypothesis.\footnote{Observe that by definition of procedure SITES($-, -, -$), it is impossible to have $\{(p, v), (p', v)\} \subseteq prntp$ if $prntp(c) = \{p, p'\}$.}
5) If $\{p, p'\} \subseteq j$ then $c$ has a parent in $C$. The construction of id$_j$ described in Proposition 4.2.4 ensures the minimality of $j$. Therefore, there is only one site in id$_j$ connecting $c$ with its parent in $C$. This implies that $(c, p') \not\in prnt_D$. Contradiction.
6) If $p \in m$ and $p' \in j$, then by Proposition 4.2.4 and by the fact that $P$ does not have any orphan sites, we have that $\{(c, v), (c, p'')\} \in prnt_T$, with $v \in V_{p'}$ and $p''$ in $C$. This is a contradiction because $T$ is non-sharing by hypothesis.
The proof for $C$ is similar and thus omitted. \hfill \Box
### 4.3 Summary
In this chapter we defined a graph theoretic matching algorithm for bigraphs with sharing. In Section 4.1, we gave an overview of the problem with an example instance. We also briefly described an algorithm for non-sharing bigraphs based on inference rules. Furthermore, we discussed the relationship of matching with related computational problems. The formal definition of the algorithm was introduced in Section 4.2. We showed that it consists of a reduction to the sub-graph isomorphism problem and we proved its soundness and completeness.
This chapter concludes the first part of this thesis that was devoted to the theory of bigraphs with sharing. In the next part the focus will shift to applications of bigraphs. We will describe BigraphER, a software tool based on a SAT\footnote{Boolean satisfiability problem.} encoding of our matching algorithm that allows manipulation and visualisation of bigraphs and efficient computation of BRS and SBRS. Then we will model a communication protocol for wireless networks and describe real-time verification in a home-network environment.
Part II
Applications
Chapter 5
BigraphER: Bigraph Evaluator & Rewriting
In this chapter we describe BigraphER, an implementation of BRS and SBRS that natively supports place graphs with sharing. It is based on the graph theoretic algorithm presented in Chapter 4.
Section 5.1 gives a brief overview of the architecture of the system. In Section 5.2, data types for the representation of bigraphs with sharing and their constituents are defined and then, the details of our approach are explained by analysing the manipulation and visualisation routines, the matching engine based on a SAT encoding of matching and the rewriting engine for the computation of a reaction relation in a BRS. Section 5.3 introduces a method based on matching to check a class of BiLog predicates. Finally, a summary of the chapter is provided in Section 5.4.
5.1 Overview
The BigraphER system consists of an OCaml library and a command-line tool that provides efficient manipulation and visualisation of bigraphs and simulation of BRS and stochastic BRS. A prototype implementation can be downloaded from the website http://dcs.gla.ac.uk/~michele/bigrapher.html.
We start off by describing the architecture of the command-line tool. The technical details of the implementation are given in Section 5.2. The tool is composed of three distinct modules: the compiler, the matching engine and the rewriting engine. Their interconnections are shown in Figure 5.1. The tool’s input is a source file containing the model specification. The language used, called BigraphER specification language, closely resembles the algebraic form of bigraphs introduced in Chapter 3. This similarity can be observed in the example in
Figure 5.1: Architecture of the command-line tool. The modules are represented by the boxes within the dotted box. Unlabelled arrows show the dependency relation between the modules.
Figure 5.2, where a comparison between the two representations is shown. The BigraphER specification language allows one to define the signature of the model, a set of bigraphs and a set of reaction rules. An overview of the main features of the language are as follows.
A signature is specified by a sequence of control declarations of the following form:
\[
ctrl \ ctrl\_name = int;
\]
where \(ctrl\_name\) is a string identifier. Each declaration introduces a new control and assigns an arity, i.e. integer \(int\), to it. Variables representing bigraphs are declared in a similar fashion:
\[
big [init] name = big\_exp;
\]
where identifier \(name\) is a string. The optional argument \(init\) allows one to specify a bigraph as the initial state of the model. Examples of \(big\_exp\) expressions are the right-hand sides of the \(big\) declarations in Figure 5.2a. The operators on \(big\_exp\) expressions are
\[
- * - \quad - + - \quad - || - \quad - | - \quad - . -
\]
They correspond to their algebraic counterparts: composition, tensor product, parallel product, merge product, nesting and share expressions, respectively. Recursive declarations are not allowed. Declarations of reaction rules have the form:
\[
react \ name = big\_exp -> big\_exp;
\]
Finally, stochastic reaction rules are declared as follows:
\[
sreact \ name = big\_exp -> big\_exp @ float ;
\]
where \(float\) indicates the reaction rate.
The compiler is the component that translates an input source file into a run-time represctrl A = 1; ctrl E = 1; ctrl G = 1;
ctrl B = 0; ctrl C = 0; ctrl D = 0; ctrl F = 0;
big b = share f by phi in g;
big f = D.1 || E({y}).1 || F.1 || G({y}).1;
big phi = [{1,2},{0,1,2},{2},{},3];
big g = A({y}) | B | C;
(a)
B = share F by φ in G
F = D.1 || E_y.1 || F.1 || G_y.1
φ = [[1,2], {0,1,2}, {2}, {}]
G = A_y | B | C
(b) (c)
Figure 5.2: Comparison between a representation in the BigraphER specification language (a) and the algebraic form (b) of bigraph $B : \epsilon \rightarrow \langle 1, y \rangle$ (c).
entation of the model. In more detail, each declaration specifies the binding of an identifier to a data type representing either a control, a bigraph, a reaction rule or a stochastic reaction rule. Controls and reaction rules are stored as OCaml integers and records, respectively. The encoding of a bigraph is somewhat more complex and requires two specialised data structures, one for the place graph and one for the link graph. They are described extensively in Section 5.2. Observe that the source file specifies abstract bigraphs. However, a concretion of a given bigraph is actually stored in memory. The compiler is used by the rewriting engine to retrieve the data structures corresponding to the initial state and to the reaction rules of the model. The compiler can also return a graphical representation of every bigraph specified in the input file. This is generated by the automatic graph-layout generator Graphviz [33].
The matching engine implements the matching algorithm for bigraphs with sharing introduced in Chapter 4. It is used by the rewriting engine to apply reaction rules to a state and to check equality of states. The implementation is based on a SAT encoding of the matching algorithm. Solutions are obtained by passing the SAT instance resulting from the encoding to the MiniSat solver [27].
The rewriting engine builds a graph representing the transition system (CTMC) corresponding to a BRS (SBRS). It is constructed by iteratively applying the reaction rules to each state and then storing the resulting states, until a fixed point is reached. This happens when all the bigraphs obtained by the application of the reaction rules are already present in the graph. Note that the model is assumed to have a finite state space. Therefore, no controls are performed to assure that the loop terminates. In order to avoid an abrupt termination when
the program runs out of memory, a switch specifying the number of iterations can be used when the tool is launched. The rewriting engine can return either a textual or a graphical representation of the graph. It can also output a graphical representation of each state.
The BigraphER OCaml library provides programming interfaces for the data structures used internally by the command-line tool. For instance, it is equipped with functions to compute the composition of two bigraphs and the result of a reaction application. A binding to the matching engine is also implemented. More details are given in the following.
### 5.2 Implementation
In this section, we describe our implementation of the main components of the BigraphER system. Namely, we discuss how bigraphs and functions for their manipulation are expressed in OCaml, we analyse and justify our SAT encoding of $\text{MATCH}(., .)$ in the matching engine, and we explain our approach to the implementation of the rewriting engine and the visualisation functions for bigraphs. Some of these topics are covered in our previous work [57].
#### 5.2.1 Bigraphical structures
As we previously mentioned, a concrete bigraph is represented in memory as two distinct data structures corresponding to its place and link graph. Functions implementing composition and tensor product are also implemented independently on the two structures. Observe that this mirrors the formal definition of bigraphs given in Chapter 3.
We begin by presenting the implementation of concrete place graphs. Our approach consists of representing DAGs with adjacency matrices. These are OCaml values of `bool array array` type. We chose this representation as it allows the implementation of fast in-place modification algorithms. Operations on place graphs are encoded by matrix operations. Formally, given a concrete place graph $F : s \rightarrow r$, with $|V_F| = n$, the corresponding $(s + n)$-by-$(n + r)$ boolean matrix is
$$
F_{(s+n) \times (n+r)} = \begin{bmatrix}
S_{s \times n} & N_{s \times r} \\
V_{n \times n} & R_{n \times r}
\end{bmatrix}
$$
Integers are used as node identifiers, i.e. $V_F = \{0, \ldots, n - 1\}$. Therefore, they can be interpreted as row or column indexes. A zero-based indexing of matrices is used. The four sub-matrices encode different subsets of $\text{prnt}_F$. Matrix $S_{s \times n}$ corresponds to $(s \triangleleft \text{prnt}_F \triangleright V_F)$. It stores the parents of the sites that are nodes. Matrix $N_{s \times r}$ represents $(s \triangleleft \text{prnt}_F \triangleright r)$, i.e. the parents of the sites that are roots. Similarly, the other two matrices record the parents
of the nodes of the place graph. Matrices $V_{n \times n}$ and $R_{n \times r}$ encode relations $(V_F \triangleleft prnt_F \triangleright V_F)$ and $(V_F \triangleleft prnt_F \triangleright r)$, respectively. Their elements are defined as follows:
$$m_{i,j} \overset{\text{def}}{=} \begin{cases}
\text{true} & \text{if } (i,j) \in R \\
\text{false} & \text{otherwise}
\end{cases}$$
where $m_{i,j}$ and $R$ range over the elements of $S_{s \times n}$, $N_{s \times r}$, $V_{n \times n}$, $R_{n \times r}$ and the corresponding parent sub-relations, respectively.
Composition of concrete place graphs follows Definition 3.2.2. It is based on boolean matrix multiplication, i.e. row-by-column multiplication in which summation and product are $\lor$ and $\land$, respectively. Take two concrete bigraphs $F : s \rightarrow r$, $G : r \rightarrow r'$, with $|V_F| = n$ and $|V_G| = n'$. Their run-time representation is given below:
$$F_{(s+n) \times (n+r)} = \begin{bmatrix} S_{s \times n} & N_{s \times r} \\ V_{n \times n} & R_{n \times r} \end{bmatrix} \quad G_{(r+n') \times (n'+r')} = \begin{bmatrix} S'_{r \times n'} & N'_{r \times r'} \\ V'_{n' \times n'} & R'_{n' \times r'} \end{bmatrix}$$
The result of the function implementing composition is place graph $G \circ F : s \rightarrow r'$, with $|V_{G \circ F}| = n + n' = m$. It is encoded by the following matrix:
$$[G \circ F]_{(s+m) \times (m+r')} = \begin{bmatrix} D_{(s+n) \times n} & C_{(s+n) \times (n'+r')} \\ 0_{n' \times n} & D'_{n' \times (n'+r')} \end{bmatrix}$$
Sub-matrix $C_{(s+n) \times (n'+r')}$ is the result of the following multiplication:
$$C_{(s+n) \times (n'+r')} = \begin{bmatrix} N_{s \times r} \\ R_{n \times r} \end{bmatrix} \begin{bmatrix} S'_{r \times n'} & N'_{r \times r'} \end{bmatrix}$$
The other sub-matrices are
$$D_{(s+n) \times n} = \begin{bmatrix} S_{s \times n} \\ V_{n \times n} \end{bmatrix} \quad D'_{n' \times (n'+r')} = \begin{bmatrix} V'_{n' \times n'} & R'_{n' \times r'} \end{bmatrix}$$
Matrix $0_{n' \times n}$ is an $n' \times n$ matrix with all elements set to false. It encodes the fact that, by construction, no node in $G$ can have a parent in $F$. The four sub-matrices encode different subsets of $prnt_{G \circ F}$. Matrix $D_{(s+n) \times n}$ represents $prnt^G_{V_F}$, i.e. the places in $F$ that are unaffected by the composition. Analogously, the places in $G$ that do not change are encoded by $D'_{n' \times (n'+r')}$. It corresponds to relation $prnt^G_{V_G}$. Matrix $C_{(s+n) \times (n'+r')}$ encodes the edges merged during composition. These are the pairs in relation $prnt_G$. Finally, $0_{n' \times n}$ encodes $\emptyset$. Note that the procedure assures the supports are disjoint. This is because $G$’s nodes are always below and to the right of $F$’s nodes in the matrix representation. This corresponds to adding offset $n$ to all the nodes in $G$. We illustrate the implementation of composition by
showing how it works on the place graphs introduced in Example 3.2.1.
**Example 5.2.1.** Let concrete place graphs $G : 2 \rightarrow 1$, $F : 2 \rightarrow 2$ and their composition $G \circ F : 2 \rightarrow 1$ as in Figure 5.3. Their OCaml representation is
$$
\mathbf{F}_{(2+3) \times (3+2)} = \begin{bmatrix}
w_0 & w_1 & w_2 \\
0 & 1 & 0 \\
1 & 0 & 0 \\
0 & 0 & 1 \\
0 & 0 & 0 \\
0 & 1 & 0 \\
\end{bmatrix}
\quad
\mathbf{G}_{(2+3) \times (3+1)} = \begin{bmatrix}
v_0 & v_1 & v_2 \\
0 & 1 & 0 \\
1 & 0 & 0 \\
0 & 1 & 0 \\
0 & 0 & 0 \\
0 & 0 & 0 \\
\end{bmatrix}
$$
where 1 and 0 are short-hands for values true and false. Row indexes are sites and nodes, while column indexes are nodes and roots. Horizontal and vertical delimiters in the representation help to highlight blocks S, N, R and V (clockwise from top left). The representation of composite place graph $G \circ F : 2 \rightarrow 1$ is
$$
[\mathbf{G} \circ \mathbf{F}]_{(2+3+3) \times (3+3+1)} = \begin{bmatrix}
w_0 & w_1 & w_2 \\
0 & 1 & 0 & 0 \\
1 & 0 & 0 & 1 \\
w_0 & 0 & 0 & 0 \\
w_1 & 0 & 0 & 0 \\
w_2 & 0 & 1 & 0 \\
\end{bmatrix}
\begin{bmatrix}
v_0 & v_1 & v_2 & 0 \\
1 & 0 & 0 & 0 \\
0 & 0 & 0 & 0 \\
1 & 1 & 0 & 0 \\
0 & 1 & 0 & 0 \\
1 & 0 & 0 & 0 \\
\end{bmatrix}
\begin{bmatrix}
v_0 & v_1 & v_2 & 0 \\
0 & 0 & 0 & 1 \\
0 & 0 & 0 & 1 \\
1 & 0 & 0 & 0 \\
\end{bmatrix}
$$
In this case, delimiters are introduced to show sub-matrices D, C, D' and 0 (clockwise from top left). The red and blue boxes aid the visualisation of the structure of blocks D and D'.
respectively. Their building blocks in $F$ and $G$ are highlighted with the same colour.
The tensor product of concrete place graphs is computed by interleaving the matrices of the two factors as follows:
$$[F \otimes G]_{(s+s'+m) \times (m+r+r')} = \begin{bmatrix}
S_{s \times n} & 0_{s' \times n'} & N_{s \times r} & 0_{s \times r'} \\
0_{s' \times n} & S'_{s' \times n'} & 0_{s' \times r'} & N'_{s' \times r'} \\
V_{n \times n} & 0_{n \times n'} & R_{n \times r} & 0_{n \times r'} \\
0_{n' \times n} & V'_{n' \times n'} & 0_{n' \times r} & R'_{n' \times r'}
\end{bmatrix}$$
This is described in the following example:
**Example 5.2.2.** Take concrete place graphs $G : 2 \rightarrow 1$ and $F : 2 \rightarrow 2$ defined in Figure 5.3a and Figure 5.3b, respectively. Their run-time representations are given in Example 5.2.1. The representation of $G \otimes F : 4 \rightarrow 3$ is
$$[G \otimes F]_{(2+2+3+3) \times (3+3+1+2)} = \begin{array}{c|ccc|ccc|cc}
v_0 & v_1 & v_2 & w_0 & w_1 & w_2 & 0 & 0 & 1 \\
\hline
0 & 1 & 0 & 0 & 0 & 0 & 0 & 0 & 0 \\
1 & 0 & 1 & 0 & 0 & 0 & 0 & 0 & 0 \\
\hline
0 & 0 & 0 & 0 & 1 & 0 & 0 & 0 & 1 \\
1 & 0 & 0 & 0 & 0 & 0 & 1 & 0 & 0 \\
\hline
v_0 & 0 & 0 & 0 & 0 & 0 & 0 & 1 & 0 \\
v_1 & 0 & 0 & 0 & 0 & 0 & 0 & 1 & 0 \\
v_2 & 1 & 0 & 0 & 0 & 0 & 0 & 0 & 0 \\
\hline
w_0 & 0 & 0 & 0 & 0 & 0 & 0 & 1 & 1 \\
w_1 & 0 & 0 & 0 & 0 & 0 & 0 & 0 & 1 \\
w_2 & 0 & 0 & 0 & 0 & 1 & 0 & 0 & 1
\end{array}$$
Blue boxes indicate the sub-matrices taken from $G$, while red boxes show the blocks taken from matrix $F$.
Support translations are encoded by row and column swapping. For instance, assume $(i, j) \in \rho_V$, with $i \neq j$ and that $G : s \rightarrow r$. When computing $\rho_V \ast G$, columns $i$ and $j$ and rows $(s + i)$ and $(s + j)$ are swapped.
We now present the OCaml implementation of concrete link graphs. Our representation of the hyper-graph structure characterising the link map consists of a set of pairs (type `Lg.t`) in which the first element is a link identifier and the second is the set of its points (type `Points.t`). Module `Set` provided by the OCaml standard library is used to implement all the set structures. Link identifiers have variant type
```ocaml
type link = Edg of int | O_nam of string .
```
This reflects the fact that a link can either be an edge or an outer name. Similarly, points can be ports or inner names. They have type
\[
\text{type point} = \text{Port of (int * int)} \mid \text{I\_nam of string}.
\]
The first element in \text{Port} is a node index. Note that by Definition 2.2.3 all the point-sets are disjoint.
The tensor product of two concrete link graphs is the union of the two sets of pairs, provided their inner and outer names are disjoint. In order to have disjoint supports, offsets are added to the ports and the edges of the right operand before the union is performed. This is implemented by invoking the library function \text{fold} twice. The first time it is used to add the number of edges of the left operand (\text{e\_offset}) to every edge index in the set of pairs representing the right operand. The implementation is given by the following code
\[
(\text{Edg i, p}) \rightarrow (\text{Edg (i + e\_offset)}, p).
\]
It is executed when iterating over a set of type \text{Lg\_t}. The second invocation of \text{fold} adds the number of nodes of the left operand (\text{v\_offset}) to every port in the point-set of each link. The code executed when iterating over a set of type \text{Points\_t} is the following:
\[
\text{Port}(i, j) \rightarrow \text{Port}(i + v\_offset), j).
\]
Composition of concrete link graphs is implemented according to Definition 2.3.2. The operation can be carried out only when the mediating faces of the two operands in the composition are equal. This equality check is performed by comparing the strings in the \text{O\_nam} and \text{I\_nam} elements. The first step consists of adding offsets to the left operand in order to have disjoint supports. This operation was described above in the implementation for tensor product. In the next step, each \text{I\_nam} in the point-sets of the right operand is substituted by the point-set associated to the corresponding \text{O\_nam} in the left operand. Finally, all the pairs in the right operand having an \text{Edg} as first element are added to the pair set of the left operand. The implementation is explained in the following example.
Example 5.2.3. Consider concrete link graphs $G : \{y\} \rightarrow \{y\}$, $F : \{x\} \rightarrow \{y\}$ and their composition $G \circ F : \{x\} \rightarrow \{y\}$ as in Figure 5.4. The two operands are represented in OCaml as two sets of type $\text{Lg.t}$\footnote{To ease the presentation, the sets in the example are displayed as lists. This transformation is the result of applying function $\text{elements}$ to values of type $\text{Lg.t}$ and $\text{Points.t}$.}. The set for link graph $G$ contains only one pair:
$$[(\text{O_nam("y")}, [\text{I_nam("y")}; \text{Port}(0,0)])] .$$
Since $|V_F| = 3$, the set after the application of the offset becomes
$$[(\text{O_nam("y")}, [\text{I_nam("y")}; \text{Port}(3,0)])] .$$
The set for link graph $F$ is
$$[(\text{O_nam("y")}, [\text{Port}(0,0); \text{Port}(1,0)]);$$
$$(\text{Edg}(0), [\text{I_nam("x")}; \text{Port}(0,1)]);$$
$$(\text{Edg}(1), [\text{Port}(1,1); \text{Port}(2,0)])] ]$$
Composition $G \circ F$ is the result of adding the edges of $F$ to $G$ and of replacing inner name $y$ with the point-set of outer name $y$ in $F$. This substitution is highlighted by the coloured boxes in the representations above. The OCaml value of $G \circ F$ is given by
$$[(\text{O_nam("y")}, [[\text{Port}(0,0); \text{Port}(1,0); \text{Port}(3,0)]];$$
$$(\text{Edg}(0), [\text{I_nam("x")}; \text{Port}(0,1)]);$$
$$(\text{Edg}(1), [\text{Port}(1,1); \text{Port}(2,0)])] ] \quad \blacksquare$$
Support translations are implemented as substitutions of ports and edge-identifiers. An example support translation is the application of an offset we described above.
5.2.2 Matching engine
We now describe the details of the implementation of the matching engine of BigraphER. It is based on a SAT encoding of $\text{MATCH}(\_,\_)$ and the MiniSat solver. In the following, we give insight into our approach by showing the encodings of sub-routines $\text{SUB\_ISO}(\_,\_)$ and $\text{CTRL}(\_,\_,\_ )$. The complete encoding was implemented by Chris Unsworth and is illustrated in [57]. The main reason behind our choice of using a SAT encoding is to easily implement an efficient matching engine. SAT solvers are highly specialised software tools capable of checking satisfiability of propositional formulae. If a formula $\varphi$ is satisfied, a truth assignment that makes $\varphi$ evaluate to $\text{true}$ is returned. The satisfiability problem is $\text{NP}$-complete.
A wide range of decision and optimization problems can be encoded into instances of SAT. This is appealing because it is often faster to solve the SAT encoding of a problem with a SAT solver rather than using a specialised algorithm to solve the original problem. This can be particularly true in the presence of NP-complete problems. Examples of this approach are presented in [11, 67].
Our SAT encoding is defined by a set of boolean formulae, called constraints, expressing an instance of the matching problem. Given a target $T$ and a pattern $P$, invocation $\text{SUB\_ISO}(G_T, G_P)$ is encoded by a matrix $X$ of boolean variables and by four constraints on its structure. Each element $x_{i,j}$ of $X$ represents a possible pair $(i, j) \in \iota$, with $\iota$ an isomorphism from $P$ to a subset of $T$. Therefore, $X$ has $n$ rows and $m$ columns, with $|V_P| = n$ and $|V_T| = m$. The constraints on $X$ are formulae in conjunctive normal form (i.e. a conjunction of clauses). By definition of isomorphism, $\iota$ is total. Hence, every node of the pattern has to be mapped to at least one node in the target. This corresponds to having at least one variable on every row of $X$ that is assigned true. Formally, the constraint is defined as follows
$$C_1 = \bigwedge_{0 \leq i < n} \bigvee_{0 \leq j < m} x_{i,j}$$
It contains $n$ clauses. The second constraint specifies that each node in $P$ is mapped to at most one node in $T$. This corresponds to having at most one variable on every row of the matrix that is assigned true. Therefore, the encoding needs to check every pair $(x_{i,j}, x_{i,k})$, with $j < k$ in every row $i$ of $X$. The definition is given by
$$C_2 = \bigwedge_{0 \leq i < n} \bigwedge_{0 \leq j < m - 1} \bigwedge_{j < k < m} (\neg x_{i,j} \lor \neg x_{i,k})$$
The number of clauses is $n \binom{m}{2} = n \frac{m(m-1)}{2} = O(nm^2)$. Since $\iota$ is a bijection, each node in $T$ is mapped by at most one node in $P$. The corresponding constraint is defined similarly to the previous one but the pairs are taken from the columns of $X$. The definition is as follows:
$$C_3 = \bigwedge_{0 \leq j < m} \bigwedge_{0 \leq i < n - 1} \bigwedge_{i < l < n} (\neg x_{i,j} \lor \neg x_{l,j})$$
It contains $m \binom{n}{2} = O(mn^2)$ clauses. Finally, the edges of $G_P$ have to correspond to the edges of $G_T$ and vice versa. This is expressed by the following constraint:
$$C_4 = \bigwedge_{(i,j,j,k) \in C} \neg x_{i,j} \lor \neg x_{l,k} \quad \text{with} \quad C = \{(i, l, j, k) \mid (i, l) \in \text{prnt}_P \neq (j, k) \in \text{prnt}_T\}$$
In the worst case, the constraint has $n^2m^2$ clauses. The formula encoding $\text{SUB\_ISO}(G_T, G_P)$ is the conjunction of the four constraints. If an isomorphism $\iota : G_P \rightarrow G_T$ exists, then
MiniSat returns a truth assignment $\mathcal{A}$ such that
$$\mathcal{A} \models C_1 \land C_2 \land C_3 \land C_4 \quad \text{and} \quad (i, j) \in \iota \iff \mathcal{A}(x_{i,j}) = \text{true}.$$
It is possible to encode $CTRL(\iota, ctrl_T, ctrl_P)$ with a similar constraint on $X$:
$$C_5 = \bigwedge_{(i,j) \in C'} \neg x_{i,j} \quad \text{with} \quad C' = \{(i, j) \mid ctrl_P(i) \neq ctrl_T(j)\}$$
It has $nm$ clauses in the worst case. Note that $\bigwedge_{0 < i < 6} C_i$ can be used to directly obtain a control-preserving isomorphism. In this way, isomorphisms that are not solutions can be detected and discarded earlier in the computation. This is more efficient than computing all the possible isomorphism with SUB\_ISO($\ldots$, $\ldots$) and filtering them afterwards with CTRL($\ldots$, $\ldots$) as was specified in the definition of MATCH($\ldots$, $\ldots$). The total number of clauses required by the encoding is $O(n^2m^2)$.
In order to find other isomorphisms, a new SAT instance is generated. A clause corresponding to the negation of a solution $\mathcal{A}$ already found by MiniSat is added to the set of constraints as follows:
$$\mathcal{A}' \models (\bigwedge_{0 < i < 6} C_i) \land (\bigvee_{x \in C''} \neg x) \quad \text{with} \quad C'' = \{x \mid \mathcal{A}(x) = \text{true}\}$$
where $\mathcal{A}'$ corresponds to a different isomorphism. This operation is iterated until the SAT instance we obtain is unsatisfiable. This assures that all the isomorphisms from $P$ to a subset of $T$ are found.
The other phases of the algorithm are expressed as constraints in a similar fashion. The conjunction of all constraints is the SAT instance encoding the matching algorithm. Note that a different matrix is needed for link matching.
The implementation of the matching engine consists of an encoder written in C++ and an OCaml module providing bindings to the other modules of the BigraphER system. The encoder receives as input a textual representation of a target and a pattern, computes the SAT constraints and sends them to MiniSat. The result is a textual representations of the solutions $(\iota, \eta)$. The encoder can also be used as a stand-alone command-line tool. The implementation has been tested with all the examples in Chapter 4. All the correct solutions were returned in less than a millisecond. We also tested the system with large randomly generated bigraphs. It was found that instances with 500 nodes in the target graph and between 10 and 100 nodes in the pattern graph could be solved in less than 20 seconds. Finally, the matching engine was successfully tested on instances arising from the bigraphical models of real applications on wireless network protocols and domestic networks. The results are reported in chapters 6 and 7.
5.2.3 Rewriting engine
The rewriting engine is the component of the BigraphER system that computes the dynamic evolution of bigraphs. This is implemented by building the state space of the model specified in the input file. We represent the state space in OCaml as a graph in which the vertices are the states and the edges are their adjacency lists stored in a hash table. Recall that bigraph $S_0$ is adjacent to bigraph $S_1$ iff $S_0 \rightarrow S_1$. Data structures are provided by the standard library in modules Set and Hashtbl, respectively. Each state is a pair formed by an integer index and an OCaml representation of a concrete bigraph. Each entry in the hash table binds a state index to a set of state indexes. Informally, the rewriting engine incrementally builds the state space in a breadth-first search (BFS) fashion starting from the initial state of the model. The adjacent states of a state are computed on-the-fly by applying the reaction rules to it. This is represented by the diagram in Figure 5.5. Below we describe more precisely our implementation approach.
The rewriting engine is initialised after the input model is successfully parsed by the compiler. Initially, the hash table is empty and the set of vertices contains only state $(\bot, b)$, where $b$ is a concretion of the bigraph declared init in the source file. Then, the BFS loop on the graph representing the state space is started. Our implementation is based on the classical algorithm using a queue. At each iteration, the first element, $(\bot, s)$, is removed from the queue and all its possible reconfigurations are computed. If the states obtained are not already present in the graph, they are added both to the queue and to the set of vertices. Moreover, $(\bot, s)$’s adjacency list in the hash table is updated by adding the indexes of the reconfigurations. The loop is repeated until the queue is empty. Note that when a new state is added to the graph, its index is the current cardinality of the set of vertices. This assures that states have distinct indexes.
The reconfigurations of \((i, s)\) are computed by checking if the redex of each reaction rule in the model occurs in \(s\). The representation of each reaction rule is fetched from the compiler, while the occurrences are computed by the matching engine. If redex \(r\) is a match, state \(s\) is decomposed by the algorithm defined in the constructive proof of Proposition 4.2.4. The result is a tuple of bigraphs \((c, \text{id}, d)\), where \(c\) is the context, \(\text{id}\) is the identity and \(d\) is the parameter. Observe that the decomposition is unique because \(r\) is a solid bigraph (see Section 2.9). The reconfiguration resulting from the application of the reaction rule is obtained by composing the reactum with \(c, \text{id}\) and \(d\).
Equality checking is also implemented as an instance of matching. Recall a bigraph \(f\) is \(\approx\)-equivalent to \(g\) if it occurs in \(g\), the context and parameter in the corresponding decomposition are identities and \(\text{id}\) is the empty bigraph. We note that, the computed state space can be correctly interpreted as an abstract BRS, despite the implementation being based on concrete bigraphs.
When the input model specifies a SBRS, rates are added to every edge in the graph in order to correctly represent a CTMC. This is implemented by a different definition of adjacency list in which each element is a pair formed by a state index and a rate. The BFS loop is also modified to compute the total rate of every reaction by summing the contributions of each stochastic reaction rule.
The efficiency of the rewriting engine heavily relies on the performances of the matching algorithm. As we described above, we have an instance of matching for every reaction rule application and for every equality check. Observe that all the states in the transition system are tested for equality at every iteration of the BFS loop. Therefore, it is essential for the user of the BigraphER system to specify carefully the input models in order to reduce the size of the redexes and to avoid the creation of meaningless states. To this end, we can also support priorities on reaction rules. We will describe this feature in the next chapter.
### 5.2.4 Visualisation
A graphical representation of bigraphs can be generated automatically by BigraphER. An example output is shown in Figure 5.6. As can be seen, the result closely resembles the stratified diagrams for sharing bigraphs introduced in Chapter 3. Our implementation of the visualisation function uses Graphviz, an open source graph visualization software. In more detail, the compiler computes a textual description of a bigraph and then sends it to the `dot` tool which automatically generates the layout of the graph for the graphical representation. Different styles are used to denote the components of a bigraph. For example, sites and roots are displayed as dashed boxes and links are drawn as solid green lights. Rank constraints on the roots and outer names force them to appear on the top of the diagram. Similarly, sites
and inner names are forced to the bottom. Each hyper-edge in the link graph is encoded by an invisible dummy node to which ports and names are linked.
### 5.3 Checking predicates
Recall that the structure of bigraphs can be described by BiLog as we showed in Chapter 2. Some example formulae expressing properties of an arbitrary bigraph $B$ are:
- $\varphi_1$: $B$ contains a node of control $C$, written $B \models \top \circ (C \otimes \top) \circ \top$.
- $\varphi_2$: $B \models \psi_1 \circ \top \circ \psi_2$, i.e. $B$ can be decomposed in two bigraphs satisfying formulae $\psi_1$ and $\psi_2$, respectively.
- $\varphi_3$: $B$ contains two $A$-nodes that are not linked (but may be nested), $B \models ((\top \otimes \text{id}_{x,y}) \circ (A_x \otimes \top \otimes \text{id}_y) \circ (\text{id}_y \otimes \top) \circ (A_y \otimes \top) \circ \top$.
Formula $\top$ it the tautology. It is satisfied by any bigraph.
In the following, we present informally how a class of predicates can be checked by reduction to bigraph matching. A similar approach was also adopted in [53].
The BiLog fragment we consider contains the formulae solely formed by operators $\circ$ and $\otimes$ and elements of $\Omega \cup \top$. We write $\varphi$ to indicate a formula in the fragment. Note that boolean operators and logical adjuncts are not allowed. Intuitively, any formula in this form contains one or more sub-formulae that can be used as a pattern in an instance of bigraph matching.
Take for instance predicate $\varphi_1$ specified above. It is possible to check $B \models \varphi_1$ by invoking $\text{MATCH}(B, P_{\varphi_1})$, where the pattern, corresponding to sub-formula $C$, is a single ion,
i.e. $P_{\varphi_1} = C$. Note that two concretions have to be used as input of the matching algorithm. If the procedure returns a match, then the predicate is satisfied. Observe that the invocation of the matching algorithm is not necessary when $C$ is substituted by any node-free formula because the predicate always holds.
Checking $B \models \varphi_2$ is more complex and requires two instances of matching. To simplify the presentation, sub-formulae $\psi_1$ and $\psi_2$ are assumed to contain some node constant and $\top$ does not occur in them. This allows for a straightforward construction of patterns $P_{\psi_1}$ and $P_{\psi_2}$. The first step is to invoke $\text{MATCH}(B, P_{\psi_1})$. If the algorithm is unable to identify a match, then predicate $\varphi_2$ is not satisfied. On the other hand, when a solution is returned, it is possible to build a decomposition
$$B = C \circ (P_{\psi_1} \otimes \text{id}_I) \circ D.$$
Recall that by definition, context $C$ contains all the ancestors of the pattern, while parameter $D$ contains all its descendants. Hence, predicate $\varphi_2$ can be satisfied only if $I = \epsilon$ and context $C$ is an identity. The second step consists of checking these constraints on the decomposition. If they are satisfied, the third step is performed. It this phase, the second instance of matching arises. The pattern is specified by $\psi_2$, while the target is parameter $D$ obtained in the previous steps. If an occurrence is identified, it is possible to build another decomposition:
$$D = C' \circ (P_{\psi_2} \otimes \text{id}_{P'}) \circ D'.$$
This time, $\varphi_2$ can be satisfied only if $I' = \epsilon$ and parameter $D'$ is an identity. Finally, $B \models \varphi_2$ if the constraints on the new decomposition are satisfied. Note that context $C'$ is the part of $B$ being “matched by” $\top$.
Predicate $\varphi_3$ is checked by following a similar procedure. We briefly describe the steps required. The first instance of match checks whether an A-node is present in $B$. This is necessary to verify sub-formula $(\top \otimes \text{id}_{x,y}) \circ (A_x \otimes \top \otimes \text{id}_y)$. The invocation is $\text{MATCH}(B, \widetilde{P})$ where the pattern is ion $A_x$. The resulting decomposition is
$$B = C \circ (P \otimes \text{id}_I) \circ D.$$
Predicate $\varphi_3$ can be satisfied only if the context contains $\text{id}_{x,y}$ and $y \in I$. If these constraints are satisfied the procedure continues. In the second step, the existence of the second A-node in $D$ is verified by invoking $\text{MATCH}(\widetilde{D}, \widetilde{P'})$ where the pattern is ion $A_y$. This checks sub-formula $(\text{id}_y \otimes \top) \circ (A_y \otimes \top) \circ \top$. Similarly to the previous step, $\varphi_3$ is satisfied only when it is possible to build a decomposition
$$D = C' \circ (P' \otimes \text{id}_{P'}) \circ D'$$
such that context $C'$ contains identity $\text{id}_y$.
The previous examples explain how to define inductively an algorithm to check a class of BiLog formulae. Summarising, matching instances correspond to the formulae generated by the following grammar:
$$\psi_1, \psi_2 ::= \quad \Omega \quad \mid \quad \psi_1 \circ \psi_2 \quad \mid \quad \psi_1 \otimes \psi_2.$$
Formulae generated by
$$\zeta ::= \quad \top \circ \varphi \quad \mid \quad \varphi \circ \top \quad \mid \quad \top \otimes \varphi \quad \mid \quad \varphi \otimes \top$$
$$\varphi ::= \quad \top \quad \mid \quad \psi \quad \mid \quad \zeta$$
are checked by imposing constraints on the decompositions resulting from the matching instances on $\psi$ sub-formulae. This approach allows to minimise the number of matching instances if compared to an algorithm defined inductively on formulae generated by a grammar with only one non-terminal. Therefore, efficiency is improved. Finally, we remark that boolean operators $\lor$ and $\land$ can be supported by modifying procedure $\text{CTRL}(-, -, -)$ and by iterated invocations of the matching algorithm.
We implemented the approach described above in BigraphER. Predicates in the BiLog fragment of interest are specified in the input model by the same syntactical constructs used for $\text{big}$ declarations. Only an additional terminal to encode $\top$ need be introduced. Predicates are checked in the BFS loop in the rewriting engine. Every time a state is added to the graph, all the predicates in the model are checked against it. A labelling function is implemented by a hash table binding a state index to a set whose elements are the identifiers of the predicates that are satisfied by the state. Therefore, the graph together with the hash table can be interpreted as a Kripke structure or a labelled CTMC and temporal properties of the model can be checked.
### 5.4 Summary
In this chapter we described the implementation of the BigraphER system: a command-line tool and an OCaml library for the manipulation, simulation and visualisation of bigraphs with sharing. In Section 5.1, we discussed the architecture of the system and described the rôle of its components. Section 5.2 was devoted to the analysis of the implementation details. We introduced an OCaml representation of concrete bigraphs, a SAT encoding of the matching algorithm and a rewriting engine capable of computing the dynamics of BRS and SBRS. Finally, a method to check a class of BiLog predicate was introduced in Section 5.3.
In the next chapter we will present our first case study: a bigraphical model of the 802.11 CSMA/CA protocol. The command-line tool in the BigraphER system will be used to generate automatically the CTMC capturing the behaviour of an example networks of three machines.
Chapter 6
A bigraphical model of the 802.11 CSMA/CA RTS/CTS protocol
This chapter illustrates the applicability of stochastic bigraphs with sharing in the context of communication protocols for wireless networks. Namely, we present a bigraphical model of the IEEE 802.11 CSMA/CA with RTS/CTS protocol with support for arbitrary network topologies. The model enables for the automatic generation of the CTMC capturing the behaviour of any wireless network governed by this protocol. This in turn allows for the analysis of quantitative properties such as the probability of collision and the average number of transmissions before a data packet is successfully sent.
In Section 6.1 we discuss the suitability of a bigraphical representation for the protocol and we compare with related work on CSMA modelling and analysis. Section 6.2 contains an informal description of the protocol. In particular, we concentrate on the RTS/CTS exchange mechanism. In Section 6.3, the structure of the bigraphs used in the model is defined. We introduce controls and a sorting discipline allowing for a precise representation of wireless networks with arbitrary topology. To facilitate the presentation, different colours and node shapes are used in the graphical notation to indicate nodes with different controls. In Section 6.4 the SBRS model of the protocol is given and we discuss some general problems of specifying behaviour with rewrite rules and our solution using priorities. We present only the graphical form of the stochastic reaction rules. The corresponding algebraic forms are given in Appendix C. Two sample executions (paths) of an example network of three stations are given in Section 6.5. Section 6.6 describes the underlying CTMC resulting from the example, its computation using BigraphER, and some quantitative analysis results. A summary of the chapter is given in Section 6.7.
6.1 Introduction
Wireless local area networks (WLANs) have become hugely popular in recent years and play an increasingly important part in our everyday lives. The international standard IEEE 802.11 [36] was developed to enable the use of heterogeneous communication devices from different vendors within the same network. It specifies the physical layer (PHY) and a MAC (Media Access Control) layer based on CSMA/CA (Carrier Sense Multiple Access with Collision Avoidance). This differs from MAC layers for wired networks in which Collision Detection (CSMA/CD) can be employed to prevent simultaneous transmission on the channel. The reason is that stations of a wireless network cannot listen to their own transmission(s) and are therefore unable to detect collisions. The standard also defines an optional mechanism to reduce collisions called RTS/CTS (Request to Send / Clear to Send). We describe it in the next section.
WLANs exhibit behaviours that depend both on time and space. Hence, the double structure characterising bigraphs and their static-dynamic nature appear to be ideally suited to this domain. Moreover, bigraphs with sharing allow one to naturally model a crucial aspect of wireless networks: *signal interference*. This phenomenon occurs when a device is in the range of more than one signal. In other words, wireless networks are *overlapping*.
Some aspects of the CSMA protocol have been modelled previously: for example collision detection on Ethernet is modelled by a MDP (Markov Decision Process) in [26]. A similar approach was taken in [41] where probabilistic timed automata are used to model the basic two-way handshake mechanism\(^1\) of the 802.11 protocol. The authors assume a fixed network topology consisting of two senders and two receivers. Furthermore, in their model there is exactly one shared signal, and thus each station can sense any other station. Properties of the system are specified in CSL (Continuous Stochastic Logic) [2] and automatically verified using probabilistic model checker Prism [40]. The model we present here differs in the following significant ways: support for arbitrary network topologies, and explicit representation of potentially overlapping wireless signals for all the stations in the network. These features are essential to represent networks in which two or more stations transmit to the same receiver and they cannot sense each other, thus causing a transmission collision. This is generally known in the literature as the *hidden node problem*. The topology of an example network suffering from the problem is drawn in Figure 6.3a, where the senders are A and C and the receiver is B.
\(^1\)Note that this protocol is different from RTS/CTS.
6.2 The protocol: 802.11 RTS/CTS handshake
We now describe informally the functioning of the protocol. Carrier Sense Multiple Access with Collision Avoidance (CSMA/CA) is the basic access mechanism in the 802.11 protocol [36]. CSMA/CA adopts a slotted binary exponential backoff scheme to reduce collisions due to stations transmitting simultaneously. It defines two access mechanisms: the default, two-way handshaking technique called *basic access* and the optional four-way handshaking RTS/CTS reservation scheme. We focus on the latter here. Observe that this mechanism is more complicated because an extra handshake is introduced to reduce the collisions caused by the hidden node problem.
To illustrate the protocol, assume stations A, B, C, D where B and C are in the range of A, and B is in the range of D. In CSMA/CA a transaction is defined to be an exchange of packets between two stations that terminates with the transmission of an *acknowledgement* ACK. A is willing to transmit a packet to B and so transmits a *request-to-send* RTS, which includes the source, destination, and the duration of the following transaction (i.e. transmission of a *clear-to-send* CTS followed by a the data packet and the corresponding ACK). B responds (if the medium is free) with a CTS. Upon successful receipt of the CTS, A is allowed to transmit the actual data packet. Station B checks whether the received packet is corrupted by performing a cyclic redundancy check (CRC) and sends back an ACK. Receipt of the acknowledgement indicates that no collision occurred. Note that CTS, ACK and the data packet are sent only if the medium is idle for a *short inter-frame space* (SIFS) period. If A does not receive the CTS or the ACK packets, then it will retransmit until it gets acknowledged or reaches a given number of transmissions. All other stations receiving either the RTS and/or the CTS, e.g. C and D, set their virtual carrier sense timer (called NAV) with the duration value contained in those packets, and so will not attempt transmission until the NAV reaches 0. Figure 6.1 illustrates the scenario of A transmitting to B.
The exponential backoff scheme is executed each time the medium is sensed as busy or when a retransmission occurs. The station defers its transmission and the scheme initialises its random backoff timer. This value is obtained by uniformly choosing a real number in the interval $[0, t]$, where $t_{min} \leq t \leq t_{max}$ is the current *contention window* (CW) size, and multiplying it for the duration of a *slot time* denoted by $\tau$. At each timer initialisation, the
interval is updated as follows: \([0, t']\), with \(t' = 2t + 1\). Upon successful transmission \(t\) is reset to \(t_{min}\). The parameters of the protocol specified by the standard are summarised in Table 6.1. The values used correspond to the times defined for a physical layer (PHY) with a data-rate of 1 Mbps. For example, \(\lambda_C\) is the time taken to transmit a CTS packet (with length 14 bytes = 112 bits) at 1 Mbps.
### 6.3 Bigraphical model of wireless network topology
In this section we define the class of bigraphs are used to represent WLANs in our model. Informally, nodes represent the main entities present in the network, namely stations, wireless signals and packets. Their relationships are expressed by links between them and by node sharing. Overlapping signals are modelled by a node representing a station in the intersection of two or more nodes representing the signals. This modelling strategy is explained in greater detail later on.
The graphical form of an example bigraph encoding a station is shown in Figure 6.2a. Node of control M encodes a (mobile) station, while packets to be sent are indicated by triangle-shaped nodes, namely nodes of control \(P^i\) and \(W^i\). Each triangle is linked to an outer name (i.e. \(d, d''\)) encoding the destination field of a packet. A second link is used to connect a triangle to the node of control Q in the preceding triangle in the *transmission queue*. Observe that the first packet in the queue is always linked with an edge to the parent node of control M. Different colours indicate different controls. They are used to track the status of the sending station during a transmission hand-shake. In this example, triangle \(P^i\) encodes the fact that the station has successfully transmitted a data packet and it is now waiting for the ACK packet from the receiver, while \(W^i\) indicates that the station is waiting to transmit a packet. Note that the status of the station is given only by the status of the first packet in the transmission queue. Therefore, all the triangles in the transmission queue but
the first one are always blue (i.e. of control $W^l$). Each station has a unique MAC address, which is encoded by the link between node of control A and outer name $a$. In the rest of the chapter, we will adopt a more compact graphical notation in which nodes of control A and Q are replaced by special diamond ports. The compact representation for the bigraph shown in Figure 6.2a is given in Figure 6.2b. Another example is given in Figure 6.3b where the graphical form for the encoding of three stations with overlapping wireless signals is drawn. In the encoding, each node of control M is linked to both its signal and its address. Moreover, the destination field of the packets is also an address. This is shown by the link on outer name $a_B$. Before proceeding with a formal description of the bigraphical model, we observe that the oval shape used for nodes representing signals does not correspond to the actual shape of an area covered by a signal in a real WLAN. This is because the nesting of nodes represents a topological space and not an Euclidean space. Therefore, distances between places and their shapes are not expressible in place graphs.
Figure 6.2: Bigraphical representation of a station M with two packets $P^l$ and $W^{l'}$. Station M has sent a data packet $P^l$ and another packet $W^{l'}$ is stored in its queue (a). Simplified representation in which nodes of control A and Q are encoded by special diamond-shaped ports (b).
Figure 6.3: Modelling of network topologies. A network diagram of a WLAN of three stations (a) and the corresponding bigraphical encoding $N_0 : \epsilon \rightarrow \langle s, \{a_A, a_B, a_C, \} \rangle$ (b). Stations A and C are both willing to send to station B.
| Description | Control | Arity | Sort | Notation |
|----------------------|---------|-------|------|----------|
| Signal idle | $S^l$ | 1 | s | – |
| Signal locked | $S^l_L$ | 1 | s | – |
| Signal clear | $S^l_C$ | 1 | s | – |
| Signal error | $S^l_E$ | 1 | s | – |
| Station idle | $M$ | 2 | m | – |
| Station locked | $M_L$ | 2 | m | – |
| Station deferred | $M_D$ | 2 | m | – |
| Station potential | $M_P$ | 2 | m | – |
| Station backoff | $M_B$ | 2 | m | – |
| Address | $A$ | 1 | a | – |
| Queue | $Q$ | 1 | q | – |
| Packet waiting | $W^l$ | 2 | p | ▲ |
| RTS packet | $RTS^l$ | 2 | p | ▼ |
| CTS packet | $CTS^l$ | 2 | p | ▼ |
| Data packet | $P^l$ | 2 | p | ▲ |
Table 6.2: Node controls for the bigraphical model. The parameters are $t_{min} \leq t \leq t_{max}$ and $272\,\mu s \leq l \leq 18768\,\mu s$.
The fifteen controls listed in Table 6.2 are used to encode the entities forming a WLAN. These are organised into sorts as follows. Controls describing wireless signals are grouped together into sort $s = \{S^l, S^l_L, S^l_C, S^l_E\}$. Parameter $t$ records the contention window size of the station associated to the signal. Its values are drawn from set
$$\{t_{min} = 15, 31, 63, 127, 255, 511, 1023 = t_{max}\},$$
when parameters are defined as in Table 6.1. This corresponds to allowing seven transmission attempts for every data packet as specified in the protocol’s standard. Sort $m = \{M, M_L, M_D, M_P, M_B\}$ is used to represent nodes encoding stations, whilst a packet is indicated with a node of sort $p = \{W^l, RTS^l, CTS^l, P^l\}$. Here, parameter $l$ is used to store the time employed to transmit a packet. Observe that the various controls in each sort are required to represent faithfully the WLAN throughout the different stages of the protocol. For instance, a node of control $M_L$ indicates a *locked* station while a $M_B$-node expresses a station in *backoff* state. The meaning of each control is explained in Section 6.4, where the reaction rules of the SBRS modelling the protocol are introduced. Two additional sorts are defined: $a = \{A\}$ and $q = \{Q\}$. They represent the address of a node and a queue of packets respectively: virtual entities introduced only to simplify the modelling process. Specifically, they allow one to distinguish their links from the links of $m$ and $s$-nodes. The set of sorts is written as $\Theta = \{s, m, p, a, q\}$. The signature is given by $K = \bigcup_{s \in \Theta} s$.
The sorting discipline ensures that only bigraphs with a meaningful structure are con| $\Phi_1$ | all $\hat{q}$-nodes are atomic |
| $\Phi_2$ | all children of a $\theta$-root have sort $\theta$, where $\theta \in \{s, m\}$ |
| $\Phi_3$ | all children of an $s$-node have sort $m$ |
| $\Phi_4$ | all children of an $m$-node have sort $\hat{p}a$ |
| $\Phi_5$ | an $m$-node has one $a$-child |
| $\Phi_6$ | a $p$-node has one $q$-child |
| $\Phi_7$ | an $a$-node is always linked to one grandparent of sort $s$ and a name |
| $\Phi_8$ | in an $m$-node, one port may be linked to one $m$-node |
| | and the other may be linked to one $p$-node |
| $\Phi_9$ | in a $p$-node, one port may be linked to an $a$-node |
| | and the other is always linked to one $\hat{m}q$-node (see Figure 6.2a) |
| $\Phi_{10}$ | an $a$-node may be linked to many $p$-nodes |
Table 6.3: Conditions of formation rule $\Phi$.
structured. For example, it forces packets to be always located inside a machine and a machine to be always surrounded by its signal. This is formalised in formation rule $\Phi$ with conditions $\Phi_i$, $1 \leq i \leq 10$, given in Table 6.3. We briefly comment on each condition. Condition $\Phi_1$ states that dummy nodes of control $Q$ and $A$ are atomic (i.e. they contain nothing). Conditions $\Phi_2 - \Phi_4$ specify a hierarchic structure in the placing of the nodes. In particular, $s$-nodes are the outermost nodes in the model. They contain $m$-nodes, which in turn contain $\hat{p}a$-nodes. Conditions $\Phi_5$, $\Phi_6$ specify the placing described in the example in Figure 6.2a. Condition $\Phi_7$ ensures that an address $A$ is always connected to a unique name and to one ancestor signal node. This allows the discrimination of signals according to the machine, and thus the address they belong to. Conditions $\Phi_8$, $\Phi_9$ describe the queue-like structure formed by packets which sit within a station as in Figure 6.2a. Condition $\Phi_{10}$ states that an address may be linked to several packets. This models the destination field in each packet. Finally, we refer the sorting used in the model as $\Sigma_{802.11} = (\mathcal{K}, \Theta, \Phi)$.
Our approach to modelling network topologies is explained through an example. Consider for instance the WLAN of three stations shown in Figure 6.3a. Assume that both stations $A$ and $C$ are willing to transmit to station $B$. The bigraphical model needs to record that the system is composed of three stations, each one with its own wireless signal. Then, it also has to satisfy the following requirements:
**Req1:** $A$ and $C$ sense $B$,
**Req2:** $B$ senses $A$ and $C$,
**Req3:** $A$ does not sense $C$ and $C$ does not sense $A$.
This wireless network is faithfully modelled by agent $N_0 : \epsilon \rightarrow \langle s, \{a_A, a_B, a_C, \} \rangle$ given in Figure 6.3b. Recall that for clarity we adopt a simplified graphical notation in which $\hat{q}$-nodes are drawn as diamond ports as shown in Figure 6.2b. Stations $A$, $B$, and $C$ are encoded by the three $M$-nodes linked to names $a_A$, $a_B$ and $a_C$, respectively. Their signals are indicated
by nodes $S^{t_A}$, $S^{t_B}$, $S^{t_C}$, respectively, and they are linked to the corresponding name. Observe that each station sits within its own signal node. **Req1** is satisfied by station B being in the intersection of the two signals $S^{t_A}$ and $S^{t_C}$. **Req2** is satisfied because the two m-nodes for stations A and C are contained by node $S^{t_B}$. Finally, **Req3** holds because station A is outside $S^{t_C}$ and vice versa. An equivalent algebraic form of $N_0$ is
$$N_0 = \text{share} (m_A \parallel m_B \parallel m_C) \text{ by } \psi \text{ in } (\text{id}_{a_A a_B a_C} \mid S^{t_A}_{a_A} \mid S^{t_B}_{a_B} \mid S^{t_C}_{a_C}) ,$$
where terms
\begin{align*}
m_A &= (\text{id}_{1_aAaB} \parallel /x \parallel /r \parallel /q)(M_{r,x}.(w_A \mid A_{a_A}.1)) \\
m_B &= (\text{id}_{1_aBaC} \parallel /x \parallel /r)(M_{r,x}.A_{a_B}.1) \\
m_C &= (\text{id}_{1_aCaB} \parallel /x \parallel /r \parallel /q)(M_{r,x}.(w_C \mid A_{a_C}.1))
\end{align*}
indicate stations A, B and C, respectively, and terms
\begin{align*}
w_A &= W^l_{x a_B} Q_q . 1 \\
w_C &= W^k_{x a_B} Q_q . 1
\end{align*}
encode A’s and C’s packets (i.e. the blue triangles in Figure 6.3b), respectively. The network topology is specified by placing
$$\psi = [\{0, 1\}, \{0, 1, 2\}, \{1, 2\}] .$$
This simple example shows how our modelling strategy can provide adequate expressive power for the representation of arbitrary network topologies. Moreover, bigraphs with sharing allow us to express succinctly complex network topologies.
We now list our modelling assumptions:
- All signals have equal power. This implies that if a station A is within the range of another station B, then B is within the range of A.
- The range of broadcast packets is the same of unicast packets.
- The range of small packets is the same of large packets.
- No packet is lost during transmission, i.e. ideal channel conditions.
- Static topology.
We remark that these assumptions derive from those made in the specification of the 802.11 protocol [36].
6.4 Stochastic reaction rules modelling the protocol
Before presenting the bigraphical reactive system, we introduce some notation and conventions. The stochastic reaction rules in our model have form $R_L(\pi) = R \xrightarrow{\rho} R'$, where subscript $L$ is a label describing the rule semantics and $\pi$ is a list of parameters. All the rules respect the sorting $\Sigma_{802.11}$. We call the interface of the rule the interface of bigraphs $R$ and $R'$. Reaction rates are indicated by $\rho_i(\pi)$ with $i = 1, 2, \ldots$. Names used as addresses range over $a, a', a_A, a_B, \ldots$. Destination addresses are denoted by $d, d', \ldots$. When defining reaction rules, name $x$ is used to denote a link between two m-nodes while name $q$ represents a link between a p-node and a node of control Q. We write $\xrightarrow{}$ instead of $\xrightarrow{\infty}$ to indicate instantaneous reaction rules (i.e. rules with rate $\infty$).
Additionally, we introduce rule priorities, i.e. a partial ordering on the rules of the reactive system. A Priority BRS (PBRS) is a BRS with rule priorities in the style of [5]. The procedural meaning of such an ordering is that a reaction rule of lower priority can be applied only if no rule of higher priority is applicable. We write $R < R'$ to indicate that reaction rule $R'$ has higher priority than reaction rule $R$. A priority class $\mathcal{P}$ is a set of reaction rules with the same priority. By an abuse of notation, we write $\mathcal{P} < \mathcal{P}'$ when, for any two rules $R \in \mathcal{P}$ and $R' \in \mathcal{P}'$, we have $R < R'$. We also say that class $\mathcal{P}$ has lower priority than class $\mathcal{P}'$. Similarly, a Priority SBRS (PSBRS) consists of an SBRS augmented with rule priorities. We require all the rules in a priority class to be instantaneous, if it contains an instantaneous rule. This extension allows the specification of concise reaction rules for arbitrary topologies. We discuss the merits of this approach in more detail at the end of this section.
The 802.11 CSMA/CA RTS/CTS protocol is modelled as a PSBRS in which WLAN’s configurations are encoded by $\Sigma_{802.11}$ sorted bigraphs and system updates are expressed by reaction rules. These are described in the remainder of this section. In order to obtain a general model of the protocol, each reaction rule is indexed by parameters such as the values of timers (indicated with $t$ and $t'$) and packet sizes (denoted by $l$). In the following a graphical description of each reaction rule is presented. Equivalent algebraic definitions are reported in Appendix C. A summary of the rules is in Table 6.4 using the following convention: each description takes the form $\langle$description of bigraph on lhs$\rangle \rightarrow \langle$description of bigraph on rhs$\rangle$.
The first rule $R_{RTS}(t, l)$ models the initial phase of the CSMA/CA protocol: whenever a sender senses the channel free, it is allowed to initiate a communication. A graphical representation of the reaction is given in Figure 6.4. The station willing to transmit is encoded on the left-hand side by a node of control M containing a triangle of control $W'$. On the right-hand side, a communication is instantiated. This is shown by the RTS$^l$ triangle, the $M_L$ and the $S_L^l$ nodes. The reaction rate is defined as follows:
$$\rho_1(t) = \left( \lambda_D + \tau \frac{t}{2} + \lambda_R \right)^{-1}.$$
| Reaction rule | Rate | Description | Graphical form |
|---------------|------|-------------|----------------|
| $R_{RTS}(t, l)$ | $\rho_1(t)$ | machine is idle and willing to send $\rightarrow$ machine is locked and an RTS sent. | Figure 6.4 |
| $R_{CTS}(t, t', l)$ | $\rho_2$ | sender has sent an RTS $\rightarrow$ sender and receiver locked and linked, CTS sent. | Figure 6.5 |
| $R_{DATA}(l)$ | $\rho_3(l)$ | sender has sent a CTS $\rightarrow$ sender has sent its data packet. | Figure 6.6 |
| $R_{ACK}(t, t', l)$ | $\rho_4$ | data packet sent $\rightarrow$ ACK sent and locks released. | Figure 6.7 |
| $R_{BACK1}(t, t', l)$ | $\rho_5$ | sender (not the most recent) has to back off and receiver has detected a collision $\rightarrow$ locks are released and the sender is timed out. | Figure 6.9 |
| $R_{BACK2}(t, t', l)$ | $\rho_5$ | most recent sender has to back off and receiver has detected a collision $\rightarrow$ locks are released and the sender is timed out. | Figure 6.10 |
| $R_D(t)$ | $\infty$ | station receives an RTS or a CTS $\rightarrow$ station defers. | Figure 6.11 |
| $R_P(t, t')$ | $\infty$ | station receives an RTS from more than one station $\rightarrow$ station defers and detects conflict. | Figure 6.12 |
| $R_B(l)$ | $\infty$ | sender cannot receive a CTS from the receiver $\rightarrow$ sender has to back off. | Figure 6.13 |
| $R_{UD}(t)$ | $\infty$ | the NAV of a deferred station expires $\rightarrow$ lock released. | Figure 6.14 |
| $R_{UP}(t)$ | $\infty$ | the NAV of a station in a conflict state expires $\rightarrow$ lock released. | Figure 6.15 |
| $R_{UC}(t)$ | $\infty$ | sender or receiver terminated a transmission $\rightarrow$ lock released. | Figure 6.16 |
Table 6.4: Reaction rules.
Note that it depends on $t$, i.e. the contention window size of the sending station. Term $\tau \frac{t}{2}$ is a constant indicating the average time the sender waits idle before its contention window of size $t$ is fully consumed. In algebraic terms, this reaction rule is defined as
$$R_{RTS}(t, l) = \text{share}(\text{id} \parallel m_w) \text{ by } \psi_1 \text{ in } (\text{id}_{1, \text{adg}} \parallel S^l_{L_a})$$
where
$$m_w = (\text{id}_{1, \text{adg}} \parallel /x \parallel /r)(M_{rx}, (\text{id} \mid W^l_{xd}, Q_{q-1} \mid A_{a, 1}))$$
$$m_l = (\text{id}_{1, \text{adg}} \parallel /x \parallel /r)(M_{Lrx}, (\text{id} \mid RTS^l_{xd}, Q_{q, 1} \mid A_{a, 1}))$$
$$\psi_1 = [\{1\}, \{0, 1\}] .$$
The interface of the reaction rule is given by: $R_{RTS}(t, l) : \text{mpa} \rightarrow \langle \text{sm}, \{a, d, q\} \rangle$.
The second rule $R_{CTS}(t, t', l)$ describes the transmission of a CTS packet from the sender to the receiver. Its graphical representation is given in Figure 6.5. The reaction can be triggered only when the sender and the receiver sense each other and the receiver is available for a transmission. These two preconditions are encoded in the left-hand side by two nodes of control $M_L$ and $M_D$ being in the same intersection of signals and by the node of control $S''$ containing the receiver, respectively. Moreover, $M_D$ can be identified as the receiver because it is linked to the sender’s RTS’ triangle. Note also that both the receiver and the sender can be in the range of other stations. On the right-hand side the receiver is locked (nodes of control $S^l_{L_a}$ and $M_L$) and a link between the two machines is established. The reaction rate is $\rho_2 = (\lambda_S + \lambda_C)^{-1}$.
The third rule $R_{DATA}(l)$ models the transmission of a data packet from the receiver to the sender. Its graphical form is depicted in Figure 6.6. On the left-hand side, the sender’s
triangle is of control $CTS'$, while on the right-hand side it is of control $P^l$. The rule can only be applied when a communication between two stations has already been initiated. This is encoded by the edge connecting the nodes of control $M_L$. Observe that the sender and the receiver can sense two different sets of stations because the $M_L$ nodes are placed in two different regions. The reaction rate depends on the size of the data packet to be transmitted: $\rho_3(l) = (\lambda_S + l)^{-1}$.
The fourth rule $R_{ACK}(t, t', l)$ specifies the last phase of the protocol: upon successfully transmitting a data packet, the receiver sends back to the sender an ACK control packet and stops transmitting. A graphical representation of the rule is given in Figure 6.7. On the left-hand side the two stations are engaged in a communication. This is encoded by the intersecting nodes of control $S_L$ and by the link connecting the two $M_L$s. The triangle of the sender is of control $P^l$, meaning that a data packet has been transmitted. On the right-hand side locks on both the stations are released and the sender’s backoff timer is reset to $t_{min}$. This is expressed by the nodes of control $M$, $S_C^{min}$ and $S_E^r$. Moreover, the link between the two machines is removed. Also the triangle is removed. The reaction rate is $\rho_4 = (\lambda_S + \lambda_A)^{-1}$.
A pictorial representation of how the previous four stochastic reaction rules: $R_{RTS}(t, l)$, $R_{CTS}(t, t', l)$, $R_{DATA}(l)$, and $R_{ACK}(t, t', l)$, are used to encode the packet exchange between two stations as specified by the protocol is given in Figure 6.8. From this figure, it is possible to infer the contribution of the relevant constants to the associated rates (summarised in Table 6.4). For example, rate $\rho_1(t)$, the rate for $R_{RTS}(t, l)$ rule, includes the sum of $\lambda_D$, the constant for DIFS, $\lambda_R$, the constant indicating the transmission time of an RTS packet and $\tau \frac{t}{2}$, the constant denoting the average duration of the sender’s contention window of size $t$.
6.4. Stochastic reaction rules modelling the protocol
Figure 6.7: $R_{ACK}(t, t', l)$: data packet sent $\rightarrow$ ACK sent and locks released.
Figure 6.8: Packet exchange between two stations and corresponding reaction rules.
The fifth rule $R_{BACK1}(t, t', l)$ models collisions when two stations simultaneously try to transmit an RTS packet. It is expressed graphically in Figure 6.9. On the left-hand side, triangle of control RTS is placed within a node of control $M_B$. This represents the fact that the sender has to back off. The receiver is in a potential collision state, indicated by control $M_P$. On the right-hand side locks are released and the sender’s contention window is increased. This is encoded by the node of control $S_C^{2l+1}$, the triangle of control $W'$ and nodes of control $M$. The modification of parameter $t$ models the exponential back-off procedure. The reaction rate is $\rho_5 = \lambda_T^{-1}$, i.e. the sender’s time-out expires before a CTS packet is received.
The sixth rule $R_{BACK2}(t, t', l)$ is very similar to the previous one. It is applied when the receiver has control $M_D$ instead of $M_P$. This happens when all the other conflicting stations
Figure 6.9: $R_{BACK1}(t, t', l)$: sender (not the most recent) has to back off and receiver has detected a collision $\rightarrow$ locks are released and the sender is timed out.
have already backed off. A graphical representation of the rule is given in Figure 6.10. In both the previous two rules, nodes of control $S^{2l+1}_c$ are replaced by $S_E$ when $t \geq t_{max}$. This models the protocol when the maximum number of transmission attempts is reached. Rates associated to each of the previous reaction rules are summarised in Table 6.4.
The six stochastic reaction rules described so far encode behaviours of stations as specified by the CSMA/CA RTS/CTS protocol. In the remainder of this section, a set of six instantaneous reaction rules is introduced. These rules are used to enforce conditions on the system that assure the rules presented above can only be fired in a meaningful order. More formally, they force some invariants to be satisfied before one of the stochastic rule is triggered. For example, any station receiving more than one RTS has to be marked as $M_P$. This allows the correct choice of whether rule $R_{CTS}(t, t', l)$ or rule $R_{BACK1}(t, t', l)$ has to be applied. We explain the interplay between stochastic and instantaneous rules in more detail when rule priorities are assigned (at the end of this section).
An overview of the instantaneous rules is the following. The first three rules deal with the detection and marking of stations involved in a communication. Rule $R_D(t)$ detects and marks stations that have to defer. This is depicted in Figure 6.11. On the left-hand side, an idle station has received an RTS from some other station. This is modelled by a node of control $M$ placed within a node of control $S^l_L$. Moreover, links indicating addresses are not
joined together i.e. there are two distinct links to names $a$ and $a'$. On the right-hand side, the station is marked by assigning control $M_D$ to it.
Rule $R_P(t, t')$ detects and marks stations that are in a potential conflict state. The graphical representation is given in Figure 6.12. In the left-hand side, a station receives an RTS from more than one station. This is shown by the node of control $M_D$ placed within the intersection of two nodes of control $S'_L$. Observe that the station can be in the range of other machines. This is modelled by the extra region surrounding $M_D$. On the right-hand side, the station detecting the conflict is marked by assigning control $M_P$ to it.
Rule $R_B(l)$ detects and marks stations that have to backoff when a conflict occurs. This is drawn in Figure 6.13. On the left-hand side, the sender is trying to communicate with a receiver in a conflict state. This is shown by nodes of control $M_L$, $RTS'$ and $M_P$. Note that the triangle and the receiver are linked together on name $d$. On the right-hand side, the sender is marked by assigning control $M_B$ to it.
The last three instantaneous reactions are used to release the locks when a communication is terminated. Rule $R_{UD}(t)$ releases the lock of a deferred station when its NAV reaches 0. This is modelled by the node of control $M_D$ enclosed by a node of control $S'_C$ on the left-hand side. On the right-hand side, the lock is released by assigning control $M$ to the station. A graphical representation of the reaction rule is given in Figure 6.14.
6.4. Stochastic reaction rules modelling the protocol
Figure 6.14: $R_{UD}(t)$: the NAV of a deferred station expires $\rightarrow$ lock released.
Figure 6.15: $R_{UP}(t)$: the NAV of a station in a conflict state expires $\rightarrow$ lock released.
Similar to the previous rule $R_{UP}(t)$ is used to release the lock of a station in a potential conflict state. This is encoded by the node of control $M_P$ on the left-hand side. The rule is depicted in Figure 6.15.
Finally, rule $R_{UC}(t)$ models the release of the lock at the end of a transmission. The graphical representation is in Figure 6.15. On the left-hand side, the station is idle and ready to release the lock. This is encoded by the node of control $S'_C$ linked to its child node of control $M$. On the right-hand side, the final stage of the protocol is performed by substituting $S'_C$ with $S'$. Note that this rule is not in conflict with rules $R_{UD}(t)$ and $R_{UP}(t)$ because it can only be applied to a sender or a receiver.
Figure 6.16: $R_{UC}(t)$: sender or receiver terminated a transmission $\rightarrow$ lock released.
6.4. Stochastic reaction rules modelling the protocol
\[
\begin{align*}
\Pi_5 &= \{R_{UD}(t), R_{UP}(t)\} & \Pi_4 &= \{R_{UC}(t)\} & \Pi_3 &= \{R_D(t)\} & \Pi_2 &= \{R_P(t, t')\} \\
\Pi_1 &= \{R_B(t)\} & \Pi_0 &= \{R_{RTS}(t, l), R_{CTS}(t, t', l), R_{DATA}(t), R_{ACK}(t, t', l), \\
& & & & & & R_{BACK1}(t, t', l), R_{BACK2}(t, t', l)\}
\end{align*}
\]
Table 6.5: Priority classes. $\Pi_i < \Pi_j$ when $i < j$.
Reaction rules are organised into priority classes as summarised in Table 6.5. All stochastic rules belong to $\Pi_0$, i.e. the class with lowest priority. Therefore, any stochastic rule can be applied only when no instantaneous rule can be applied. A brief description of the priority classes is the following.
$\Pi_5$ is the class with highest priority. Rules assigned to this class mark with control M an idle station in a clear signal (i.e. of control $S_C$). Class $\Pi_4$ has one rule that marks with control M a sender or receiver inside its clear signal, the signal is marked as $S^l$. Since $\Pi_4 < \Pi_5$, all idle stations must be marked as M before the clear signal containing them is marked as $S^l$. Similarly, rules in priority classes $\Pi_3, \Pi_2, \Pi_1$ mark a station inside a locked signal ($S_L$) as deferred ($M_D$), in a potential conflict state ($M_P$) and backing off ($M_B$), respectively. This is necessary because rules with higher priorities may have marked a station as M even if it is contained in a locked signal. Finally, stochastic rules in $\Pi_0$ can be applied safely since all the preconditions are enforced by the prior application of the rules with higher priorities.
Discussion
A difficulty with rewriting rules in general, and therefore a problem for us here, is how to deal with situations where we want to rewrite because a condition does not apply. For instance, we want to apply rule $R_{RTS}(t, l)$ only when the sender is not in a locked signal. In our approach, this issue has been solved by introducing priorities on reaction rules as described above. However, there are two modelling choices other than using PSBRSS.
One option is to parameterise the reactions on the topology of the network. For instance, the first rule (RTS packet transmission) can be modified so all the idle signals sensed by the sender are explicitly listed. Since only idle signals are included and no other signals are allowed via shared regions, then the rule can only be applied when the sender is not within a locked signal. An additional parameter $n$ indicating the number of signals in the sender’s range is required, i.e. $R_{RTS}(t, l, n)$. A major drawback of this approach is that a different rule has to be instantiated for every network topology. Moreover, the specification of the rule becomes cumbersome and difficult to read. An advantage is that less controls are required for the modelling of the protocol’s phases and no instantaneous reaction rule is introduced.
The other option involves extending the notion of reaction rule to include what may be called conditional reaction rules, having the form $(\varphi, R, R', \rho)$, where $\varphi$ is a BiLog predicate
expressing a condition imposed upon the context in which redex $R$ is matched. The intended semantics is that a reaction can be applied to a state $S$ only if $C \models \varphi$ (or alternatively $D \models \varphi$), where $C$ (or $D$) is computed by the usual decomposition induced by matching: $S = C \circ (R \otimes \text{id}_T) \circ D$. Also with this option, less controls are required and instantaneous reaction rules can be avoided. A disadvantage is that it is often necessary to specify predicates expressing universal quantifiers or the absence of a pattern. For example, a predicate for rule $R_{RTS}(t, l)$ needs to express that all the signals in the context are idle. In general, this kind of predicate cannot be reduced to matching of bigraphs in a straightforward way. A possible work-around consists of iteratively applying an appropriate reaction rule to tag the parts of a bigraph that do satisfy the predicate and then checking for the existence of untagged patterns. If one is found, then the predicate is not satisfied. A more detailed description is given in Chapter 7 where we will use this approach extensively to model network policies. Finally, note that the applications of tagging reaction rules introduced by predicates is equivalent to the explicit application of instantaneous reaction rules in our PSBRS.
Our approach allows the specification of concise rules that can be applied to any network topology. This conciseness is important not only because it allows for a clearer description of the model, as we showed in this section, but also because it leads to matching instances that are quicker to solve. The motivation lies in the fact that the computational complexity of the matching problem is $\mathcal{O}(s^r)$ in the general case, where $s$ and $r$ are the number of nodes of a state (used as the target) and a redex (used as the pattern), respectively. However, by avoiding parameterised rules, a redex in our model can have at most 8 nodes (see for example reaction rule $R_{CTS}(t, t', l)$). Therefore, the complexity of these instances is always $\mathcal{O}(s^4)$. This means they can easily be solved in polynomial time [31]. On the other hand, the size of a parameterised redex grows with the number of nodes in the system and can be $r \propto s$ in the worst case. This happens, for instance, when in the modified first rule all $s$ signals are idle and in the range of the sending station.
A common issue with instantaneous rules is the generation of intermediate states that may not represent meaningful network configurations. This can be computationally expensive because every time a state is computed, it has to be checked for equality against all the states already visited as we explained for the implementation of the BigraphER rewriting engine in Chapter 5. Therefore, it is crucial to minimise the number of states stored during the execution of the model. This is possible by treating instantaneous rules like rewriting within an equivalence class, and only storing a canonical form, after applying all possible instantaneous rules. We explain this procedure in Section 6.6.
A further benefit of our modelling strategy is that the priority hierarchy helps understanding the details of the protocol.
We note that we have defined exponential rates from time constants, i.e. if we have a
constant $k$ waiting (or transmission, or sum of constants) time, then we use as CTMC rate $k^{-1}$. Inverse averages are used as rates for random intervals.
Finally, we remark that although the protocol assumes a static topology, we could easily define rules for station movement in and out of a signal range, i.e. protocol behaviour in a dynamic topology.
### 6.5 Execution of an example network
In this section we describe two example executions of our model starting from initial state $N_0$, the bigraph encoding of an example WLAN with three stations given in Figure 6.3.
The first execution encodes the successful transmission of a packet from station A to station B, with no collisions occurring. It is the result of the application of reaction rules $R_{RTS}(t_A, l), R_D(t_B), R_{CTS}(t_A, t_B, l), R_D(t_C), R_{DATA}(l), R_{ACK}(t_A, t_B, l), R_{UD}(t_C), R_{UC}(t_A)$ and $R_{UC}(t_B)$, in that order. The dynamic evolution of the network is represented pictorially in Figure 6.17. Observe that in state $N_6$ (second diagram in the third row), the sender’s contention windows size is reset: $t'_A = t_{min}$. An alternative execution can be obtained by changing the order in which the locks are released, i.e. by applying $R_{UC}(t_B)$ before $R_{UC}(t_A)$. The resulting state is again $N_9$. Execution $N_0 \xrightarrow{R_{RTS}} \cdots \xrightarrow{UC} N_9$ can further proceed in an analogous way by transmitting the remaining packet from C to B. The symmetrical evolution in which station C sends its packet to B can be obtained from initial state $N_0$ by applying reaction rules $R_{RTS}(t_C, k), R_D(t_B), R_{CTS}(t_C, t_B, l), R_D(t_A), R_{DATA}(k), R_{ACK}(t_C, t_B, k), R_{UD}(t_A), R_{UC}(t_C)$ and $R_{UC}(t_B)$, in that order.
The second execution encodes a transmission in which a collision occurs. It is shown in Figure 6.18. The initial state is bigraph $N_2$ obtained in the trace described above. As can be seen, in this evolution station C sends its RTS before B transmits its CTS. Therefore, stations C and A have to defer and the backoff scheme is executed. This is encoded by the application of rules $R_{BACK1}(t_A, t_B, l)$ and $R_{BACK2}(t_C, t_B, k)$. Station C can try to retransmit (by applying rule $R_{RTS}(t'_C, k)$) only after its timeout has expired. The contention windows of senders A and C are exponentially increased in states $N'_4$ and $N'_7$, respectively. Therefore, $t'_i = 2t_i + 1$ with $i \in \{A, C\}$. An alternative execution can be computed by inverting the order of application of rules $R_B(l)$ and $R_B(k)$. This leads to state $N'_3$. Another interleaving is obtained when $R_{BACK1}(t_C, t_B, k)$ is applied before $R_{BACK2}(t_A, t_B, l)$. Also in this case, the final state is still $N'_8$.
The two evolutions above show how instantaneous rules must be applied before stochastic rules as required by the priority hierarchy of our model. For instance, in the second trace, rules $R_P(t_A, t_C), R_B(l)$ and $R_B(k)$ are applied before rule $R_{BACK1}(t_A, t_B, l)$.
Figure 6.17: Evolution $N_0 \xrightarrow{\rho_1(t_A)} \xrightarrow{\text{RTS}} \cdots \xrightarrow{\text{UC}} N_9$ showing the successful transmission of a packet from sender A to destination B. Sender’s contention window size is reset after the application of rule $\text{RACK}(t_A, t_B, l)$ (i.e. $t'_A = t_{\min}$).
Figure 6.18: Evolution $N_2 \xrightarrow{\rho_1(t_C)} N'_2 \xrightarrow{RTS} N''_2 \cdots \xrightarrow{UC} N'_8$ showing the collision occurring when senders A and C try to transmit to the same destination B. The contention windows of the senders are exponentially increased: $t'_i = 2t_i + 1$ with $i \in \{A, C\}$.
6.6 CTMC analysis
We now explain how the BigraphER rewriting engine computes the CTMC capturing the semantics of a stochastic model with instantaneous reaction rules and priorities. In particular, we describe rewriting with priorities and a method to minimise the number of states stored in memory during execution.
Intuitively, in the BFS loop the rewriting engine applies the reaction rules of the SBRS as described in Chapter 5. However, it now stores only the resulting states that cannot be further rewritten by applications of instantaneous rules. Moreover, priorities are implemented by selecting at every step only the reaction rules belonging to the class currently having the highest priority. This is done by introducing a second queue\(^2\) that stores classes of reaction rules.
First, we give details of the implementation of priorities. At each iteration of the BFS loop, the first elements, \(S\) and \(\mathfrak{P}_i\), are removed from the state queue and the priority queue, respectively. Note that priority classes are stored in the queue in decreasing order of priority as shown in Figure 6.19. Hence, \(\mathfrak{P}_i\) is the class having the highest priority. If some reactions can be applied, all the possible reconfigurations are computed and the new states are stored both in the hash table and in the state queue. Then, the priority queue is reset to its original state and the next iteration of the BFS loop is executed. On the other hand, if no reaction rule in \(\mathfrak{P}_i\) can be applied, the next priority in the queue, \(\mathfrak{P}_{i-1}\), is selected and the possible reconfigurations are computed using its reaction rules. This iteration on the priority queue is repeated either until a reaction rule is applied or no applicable reaction in \(\mathfrak{P}_0\) is found. Observe that this implementation assures that reaction rules of higher priority are always applied before rules of lower priority. Moreover, the implementation can also be used when no rule priorities are specified in the model by introducing a single priority class containing all the reaction rules.
Second, we now describe our approach to reduce the number of intermediate states generated by the application of instantaneous reaction rules. Again, it consists of a modification of the BFS loop in the rewriting engine. More precisely, whenever the loop finds a reconfiguration \(S'\) of a state \(S\) (i.e., \(S \xrightarrow{\rho} S'\)), the unique fixed point \(S^*\) is computed by iteratively
\(^2\)The first queue is used by the BFS loop to store states.
applying to $S'$ all the instantaneous rules. Then, state $S^*$ is stored in memory in place of $S'$ as a reconfiguration of $S$ (i.e. $S \xrightarrow{\rho} S^*$) and the BFS loop continues with the next element in the state queue. A formal representation of the procedure is given by
$$S \xrightarrow{\rho} S' \xrightarrow{\mathfrak{P}_1} S'' \xrightarrow{\mathfrak{P}_{j-1}} S''' \cdots \xrightarrow{\mathfrak{P}_j} S^*$$
with $j < i - 1$. We write $\xrightarrow{*}$ to indicate zero or more instantaneous reactions. All the priority classes, $\mathfrak{P}_i < \cdots < \mathfrak{P}_j$, contain only instantaneous reaction rules. Note that all the rule applications respect the priority hierarchy and that all the intermediate states $S', S'', S''', \ldots$ obtained during the computation of $S^*$ are discarded. Furthermore, by definition of fixed point, no instantaneous rule can be applied to $S^*$. This always forces the first reaction to have rate $\rho \neq \infty$. This approach can only be used if each priority class whose instantaneous reactions are ignored has a unique fixed point (as is the case in our model).
The procedures described above can be explained by showing how the rewriting engine computes the CTMC starting from bigraph $N_0$, the example WLAN of three stations used in the example in the previous section. The parameters of the model are packet transmission times $l = 8464\mu s$ and $k = 4368\mu s$.\footnote{Parameters $l$ and $k$ correspond to the transmission times of data-packets with payloads of 512 bytes and 1024 bytes, respectively. The values are obtained by adding to the payload lengths 30 bytes for the MAC header and 4 bytes for the frame check sequence (FCS).} Contention windows for stations A, B and C are $t_A, t_B, t_C = 15$. In the PSBRS, iterated applications of instantaneous reaction rules belonging to the same priority class always yield a fixed point. Hence, intermediate states generated by $\mathfrak{P}_3, \ldots, \mathfrak{P}_1$ can be ignored. Consider for instance class $\mathfrak{P}_1$ and bigraph $N'_1$, in the evolution illustrated in Figure 6.18\footnote{Third diagram in the first row.}. There are two reaction rules we can apply, leading to different intermediate terms: $R_B(l)$ marks station A as $M_B$ while $R_B(k)$ does the same for station C. They generate reactions $N'_1 \xrightarrow{B} N'_2$ and $N'_1 \xrightarrow{B} \overline{N'_2}$, respectively. The second rule we apply in both cases leads to the same result, i.e. the fixed point. More in detail, reactions $N'_2 \xrightarrow{B} N'_3$ and $\overline{N'_2} \xrightarrow{B} N'_3$ are obtained when rules $R_B(k)$ and $R_B(l)$ are applied, respectively. This can be shown with a classical confluence diagram thus
Another property of our model is that any reaction $S \xrightarrow{\rho} S'$ can only be obtained by a single application of a stochastic reaction rule $R$. Therefore, $\mu_R[S, S'] = 1$ and $rate[S, S'] = \rho$.
This may not hold with more complex topologies.
The resulting CTMC (indicated by $\mathcal{M}$) is given in Figure 6.20. Reactions corresponding to actions on station C are indicated with left facing arrows and those on station A by right facing arrows. The diagram is organised into seven diamond sub-parts each one representing a different transmission attempt after a collision. Each diamond is indicated by $\mathcal{M}^i$ with $1 \leq i \leq 7$. Note that only the first two diamonds are shown in Figure 6.20. The central node of a diamond (indicated with $\circ$) is the top vertex of the successive one as for instance state $N'_8$ in $\mathcal{M}^1$ and $\mathcal{M}^2$. The bottom node of $\mathcal{M}^1$ (indicated with $\diamond$) is shared between all the seven diamonds. It represents the state in which both packets are successfully transmitted to B. It is shared because the contention windows of stations A and C are reset to $t_{min} = 15$ in every diamond after every transmission of the ACK control packet. The reactions going to the centre of the diamond encode transmission collisions. A side of a diamond is formed from four reactions, encoding the successful transmission of a packet. For instance, side $N_0 \rightarrow N_0$ encodes transmission of A’s packet before C’s packet at the first attempt. Dashed arrows correspond to the encoding of the two executions described in Section 6.5. The CTMC has two deadlock states. One is node $\circ$ in $\mathcal{M}^7$ representing stations A and C when the maximum number of transmission attempts is reached, i.e. both signals are $S_E$. The other is node $\diamond$ described above.
As can be seen in the diagram, the CTMC does not contain the intermediate states generated by the application of instantaneous rules. Take for instance reaction $N_0 \xrightarrow{\rho_1(t_A)} N_2$ in $\mathcal{M}^1$. By inspecting the execution in Figure 6.17, we see that it corresponds to reactions
$$N_0 \xrightarrow{\rho_1(t_A)} \xrightarrow{\text{RTS}} N_1 \xrightarrow{\text{D}} N_2.$$
In this case, intermediate bigraph $N_1$ is not used as a CTMC state. Also note that no instantaneous reaction rule can be applied to $N_1$. Analogously, reaction $N_2 \xrightarrow{\rho_1(t_C)} N'_3$ in $\mathcal{M}^1$ corresponds to
$$N_2 \xrightarrow{\rho_1(t_C)} \xrightarrow{\text{RTS}} N'_0 \xrightarrow{\text{P}} N'_1 \xrightarrow{\text{P}} N'_2 \xrightarrow{\text{P}} N'_3,$$
as shown in Figure 6.18. Here, intermediate bigraphs $N'_0$, $N'_1$, $N'_2$ and $\overline{N'_2}$ are discarded. Note that only one between $N'_2$ and $\overline{N'_2}$ is computed by the rewriting engine, because only one path is needed to compute fix point $N'_3$. In both the reactions considered, the stochastic rate is the rate of the stochastic reaction rule applied at the beginning of the corresponding sequence.
Finally, we note that the CTMCs generated from our model, for any finite topology, will be finite because there are a finite number of transmissions, a finite number of packets, and a
6.6. CTMC analysis
Figure 6.20: Structure of CTMC $\mathcal{M}$ derived from the PSBRS on initial state $N_0$ (see Figure 6.3b). Dashed arrows correspond to the two executions described in Figure 6.17 and Figure 6.18.
finite number of stations.
6.6.1 Analysis of quantitative properties
It is possible to express quantitative properties about the behaviour of our model by combining BiLog and CSL (Continuous Stochastic Logic)\footnote{See Appendix B for syntax and semantics.}. We use the fragment of BiLog described in Chapter 5 to express predicates that are used as atomic propositions in CSL. Recall that this kind of predicate can be reduced to one or more instances of matching of bigraphs. For example, we define pattern $P_{\varphi_{error}} = S_E$ to encode predicate $\varphi_{error}$, which is true whenever a station reaches the maximum number of transmission attempts, namely there is a signal node in error state. This predicate can then be used in any CSL formula such as $\psi_1 = P_{<0.001}(F \varphi_{error})$, i.e. eventually a station is in error state with probability less than 0.001. Note that the only state satisfying $\varphi_{error}$ is node $\circ$ in $\mathcal{M}^T$.
Quantitative properties can be evaluated with standard tools for CTMC model checking. Here we use the probabilistic model checker Prism [40] on some simple CSL formulae expressing properties on $\mathcal{M}$. In particular, we take advantage of the explicit model import feature in Prism which allows the importation of a CTMC’s rate matrix and its labelling function. These are the textual outputs of the BigraphER rewriting engine. It is also possible to specify properties that evaluate to a numerical value. Let us analyse some examples.
Example 6.6.1. The probability of a station being in an error state is given by formula $P_{=?}(F \varphi_{error}) = 6.08 \times 10^{-7}$, which implies that $\mathcal{M} \models \psi_1$. Such a low value is explained by the fact that only two stations compete for transmission in our example topology.
Example 6.6.2. The probability that a collision occurs is expressed by $P_{=?}(F \varphi_{collision}) = 0.36$. Predicate $\varphi_{collision}$ is encoded by the matching of pattern $P_{\varphi_{collision}} = M_{Bxy} || M_{Bzw}$. It corresponds to state $N'_3$ in $\mathcal{M}^1$ and the states in the same position in $\mathcal{M}^i$ with $1 < i \leq 7$.
Example 6.6.3. The probability of station A successfully transmitting its packet in $1 \leq n \leq 7$ transmission attempts is expressed by $P_{=?}(\varphi^n_A)$. The cumulative plot is given in Figure 6.21. Predicate $\varphi^n_A$ corresponds to pattern
$$\text{share (id} || /x M_{Lrx}.(id | P'_{xd} | A_{a_\lambda}.1) \text{ by } \{(0), \{0, 1\}\} \text{ in } (S'_{LrA} || id_{1,dro_\lambda})$$
with $t = 2^{n+3} - 1$. Therefore, the labelling function marks the nodes indicated with $\star$ in $\mathcal{M}$. Observe that the predicate cannot be defined to simply match state $\diamond$ because information about the number of transmission attempts is lost after every application of reaction rule $\rho_4 \xrightarrow{\text{ACK}}$ when the contention window is reset.
Discussion
Previous studies of the IEEE 802.11 standard have focussed mainly on the quantitative analysis of the basic access mechanism. Two example works that consider the RTS/CTS handshake are [10] and [17]. The results reported by those authors are used to evaluate the performance of the protocol, e.g. system throughput and congestion rate, and are obtained by means of simulation. In both cases, the network topology is not encoded directly. In more detail, a probability of collision $p$ is assigned to each station. Hence, higher values of $p$ allow one to encode “denser” topologies. Another example of analysis is the analytic approach
Figure 6.22: Example topology not meeting the assumptions of the protocol: B is in the range of C but C is not in the range of B.
presented in [1], but it is difficult to compare with our analysis, since also in this case the network topology is modelled implicitly by a collision probability.
In general, the model checking approach has some benefits over simulation [20]. Probably, the most relevant advantage in the context of wireless networks modelling is that all possible states are discovered. In particular, model checking can discover those states having a reachability probability that is too small to be discoverable by simulation. This is fundamental to obtain precise and trustworthy results especially when analysing safety-critical systems and border-line or unusual system’s behaviours. Consider for instance Example 6.6.1 in which the probability to reach an error state is computed, i.e. $P_{=7}(F \varphi_{error}) = 6.08 \times 10^{-7}$. In this case, simulation based approaches could erroneously conclude that the system can never be in an error state (thus giving a wrong answer) because the probability to discover such states is too low to be found in a reasonable number of simulation runs. We remark that our bigraphical model can also be used by BigraphER to simulate a system when there are memory constraints or when only an average-case analysis is required.
The quantitative properties we presented earlier in this section serve mainly to show how SBRS can effectively be analysed and to highlight the expressive power of both bigraphs and BiLog. Following these examples, more advanced analysis can be carried out by researchers in wireless networking and practitioners in the field of performance evaluation. For instance, network throughput can be studied by varying the parameters of the protocol and the exponential increase of the contention window size can be compared with different backoff schemes. Another interesting investigation is to analyse the effects of the RTS/CTS mechanism on different network topologies (e.g. sparse or dense) to find out when the mechanism improves network throughput and when it introduces overhead.
Our bigraphical model can easily be extended to analyse more realistic systems, i.e. systems in which the assumptions made in the 802.11 protocol are not met. For example, formation rule $\Phi$ of sorting $\Sigma_{802.11}$ given in Table 6.3 allows for the specification of networks in which signals do not have equal power as it is the case in the WLAN encoded by the
Figure 6.23: $R_T(t, l)$: machine is locked and an RTS sent $\rightarrow$ lock is released and the machine is timed out.
bigraph in Figure 6.22. The diagram shows that receiver B is within the signal range of station C but C is not in the range of B. Therefore, station C cannot receive a CTS packet from B and reaction rule $R_{CTS}(t, t', l)$ can never be applied. In order to model this kind of system, stochastic reaction rule $R_T(t, l)$ given in Figure 6.23 need be introduced. It encodes the behaviour of a sender timing out before a CTS packet is received. It can be thought as the opposite of $R_{RTS}(t, l)$ described in Section 6.4 where the size of the contention window is increased in the reactum as in reaction rules $R_{BACK1}(t, t', l)$ and $R_{BACK2}(t, t', l)$. Also in this case, node of control $S_C^{2l+1}$ is replaced by $S_E$ when $t \geq t_{max}$. With the addition of this new reaction rule, the system can evolve to a state in which C’s signal has control $S_E$ after seven transmission attempts.
The model can be further refined by adding reaction rules encoding the movement of stations in and out of signals. They encode both the spatial movement of mobile stations and the variation of signal coverage due to frequency interference. These reaction rules are usually slower than the other stochastic reaction rules.
### 6.7 Summary
In this chapter, we presented a model of the 802.11 CSMA/CA RTS/CTS based on stochastic bigraphs with sharing. Section 6.1 gave an overview of the application domain and a brief survey of related works on modelling and analysis of wireless protocols. An informal description of the protocol was provided in Section 6.2. In Section 6.3 and Section 6.4, the PSBRS modelling the protocol was formally defined. The use of priorities allows us to specify reaction rules with fixed size regardless of topology. This leads to matching instances that are solvable in polynomial time. Two sample executions of an example network of three stations were described in Section 6.5. Finally, Section 6.6 introduced the CTMC resulting form the previous example and some quantitative analysis results obtained using Prism.
In the next chapter we will use bigraphs to carry out real-time verification in a home-network environment. Briefly, the key aspect of this approach is to establish a one-to-one correspondence between bigraphical reaction rules and events in the network, e.g. a new machine joins the network. The current configuration of a network is captured by a bigraph which is updated by the application of a reaction rule whenever an event in the network occurs. The OCaml library provided by BigraphER will be used to implement the system.
Chapter 7
Real-time verification for home network management
This chapter reports on an application of bigraphs for real-time verification of domestic wireless network management. The contents are based on the presentation given in [15].
Section 7.1 contains an overview of the Homework network management system [61] that permits user-initiated access control policies and an informal description of our addition to the Homework system in which bigraphical models of the network are generated and analysed in real-time. In Section 7.2 we describe in detail how network topologies are modelled as sorted bigraphs and how network events such as moving in and out of the router’s range, and granting and revoking of DHCP leases are encoded as reaction rules. We also define BiLog predicates to represent the current status of a machine in the network. In the following section, these reaction rules and predicates are used to generate sequences of bigraphical models in real-time. In Section 7.4, we introduce new sorts to represent policies that forbid and allow access behaviour. They are used to specify the reaction rules that encode policy events such as enforce and drop a policy. Section 7.5 formally defines a general procedure for the generation in real-time of sequences of models when policy events occur in the actual home network. In Section 7.6, we discuss the rôle of BiLog predicates in the analysis of network configurations and compliance with policies. In the following section, Section 7.7, we give an overview of the implementation and present the results of two trials of the system running on the Homework router with synthetic and captured data. Some final comments and a summary of the chapter are given in Section 7.8.
7.1 Overview
Typical home networks are characterised by a router providing access to the Internet and inter-communication capabilities to all the devices wirelessly connected to it. The Homework network management system [61] has been designed to provide user-oriented support in home wireless network environments. The Homework user interface includes drag and drop, comic-strip style interaction for users; the information plane provides an integrated network monitoring facility consisting of a stream database running on the router capable of storing both raw and derived events. Raw events record information about individual packets being transmitted over the network. Derived events are constructed by analysing sets of sequential raw events. They provide high-level representation of the current configuration of the network and the status of the traffic between any two machines. Derived events include network behaviours such detecting that a new machine has joined the network and user-initiated behaviours such as enforcing or dropping a policy. Policies forbid or allow access control; for example, a policy might block UDP and TCP traffic from a given remote host. From now on, by “event” we mean derived event.
We extended the Homework system with a set of bespoke software components for the generation and analysis in real-time of bigraphical models of the current configuration of the network. We call the set of components the HWBig system. The motivation is to aid users in their understanding of the state of their network, and when and why it is “broken”. The architecture of the system is given by the diagram in Figure 7.1. The Bigraph encoder component encodes new events as bigraphical reaction rules. The Bigraph analysis component has two roles. First, it generates the bigraphical representation of the current configuration of the network according to sequences of reaction rules received from the bigraph encoder. Second, it analyses the current configuration by checking predicates. Example predicates are “Machine with MAC address 01:23:45:67:89:ab is in the range of the router” and “TCP
traffic is blocked for machine with IP address 192.168.0.3”. The results are logged and fed back to the system, or to the user, using a graphical notation of bigraphs as explanation, when a verification fails. All this is carried out in real-time.
### 7.2 Bigraphical model
In this section we outline how a given network topology is represented by a bigraph, and then how network events, such as moving in/out the router’s range and granting/revoking leases, are represented by parameterised reaction rules. We give both the graphical and equivalent algebraic forms for the rules. Finally, we define two useful predicates that indicate the state of the network.
#### 7.2.1 Network topology
We use a node to represent each entity present in the network, which can be physical e.g. router, wireless signal, machines, or virtual e.g. configuration properties, the Internet, communication channels. Links connect related entities. For instance, a machine is linked to its signal and to its properties. The sorting discipline ensures that only bigraphs with a meaningful structure are constructed. For example, it enforces that a node representing a machine lies within a node representing its signal. In the graphical notation, different shapes denote nodes of different sorts.
The controls and sorts used to represent the network are listed in Table 7.1. An explanation is as follows. Sort $p$ is assigned to controls indicating MAC addresses, such as control 01:23:45:67:89:ab. We use a special control $MAC$, to indicate a generic MAC address, con-
| Control | Meaning | Sort | Graphical notation |
|---------|------------------|------|--------------------------|
| R | Router | r | Circle |
| S | Wireless signal | s | Oval |
| M | Wi-Fi enabled machine | m | Circle |
| Internet | Outside world | j | Box |
| Properties, … | Configuration settings | b | Box |
| W | WLAN | w | Circle |
| I | Input | i | Small rectangle |
| O | Output | o | Small arrowhead |
| MAC, … | MAC address | p | Rounded box |
| Hostname, … | Hostname | p | Rounded box |
| IP, … | IP address | p | Rounded box |
Table 7.1: Controls and sorts for WLAN.
controls Hostname and IP, to indicate a generic host-name and IP address, respectively. The set of sorts is written as
\[ \Theta = \{ r, s, m, j, b, w, i, o, p, \} . \]
The signature is given by \( K = \bigcup_{s \in \Theta} s \). Formation rule \( \Phi \) is given in Table 7.2. Conditions \( \Phi_3 - \Phi_7 \) state that each machine is placed inside a signal and is connected to it. Recall that similar conditions were also defined in the formation rule for sorting \( \Sigma_{802.11} \) used in Chapter 6. Conditions \( \Phi_4, \Phi_7 \) specify that the router lies within its signal and is linked to it. Conditions \( \Phi_5, \Phi_8 \) ensure that machines are also connected to a property box that contains various configuration details. Condition \( \Phi_9 \) forces machines that are part of the WLAN to share a link with the \( w \)-node inside the router. Condition \( \Phi_{10} \) states that property boxes (and the Internet) are linked to each other via a pair of communication channels. These are represented by an \( i \)-node linked to an \( o \)-node as specified by conditions \( \Phi_{10}, \Phi_{11} \). Finally, we write the sorting used in the model as \( \Sigma_{HW} = (K, \Theta, \Phi) \).
The initial configuration of a WLAN is given by bigraph \( S_0 : \epsilon \rightarrow \text{sjb} \) in Figure 7.2. It models the scenario in which only the router and the external world are present. The algebraic form is
\[ S_0 = /x /y (S_x, R_x, W_y, 1) | \text{Internet}.1 \]
### 7.2.2 Network events
Now we turn our attention to the reaction rules that represent the network events, which include moving in and out of the router’s range, and the granting and revoking of DHCP leases. We discuss each one of the four events in turn, and we describe them by means of a graphical representation. A summary of all the reaction rules including their algebraic forms
is given in Table 7.3. We note that all the reaction rules respect sorting $\Sigma_{HW}$.
The first event occurs when machine MAC appears in the signal range of the router. It is encoded by reaction rule $R_A(MAC) : \overline{m}r \rightarrow \langle sbr, \{y\} \rangle$ given in Figure 7.3. On the left-hand side, the router is in the range of its signal and possibly other signals. This is expressed by the region surrounding the $r$-node. On the right-hand side, a new machine is in the range of the router’s signal. The router senses the new machine’s signal and possibly other signals. This is expressed by nodes R and M being in the intersection of the two $s$-nodes and the region surrounding R. A property box (i.e. a b-node) is also linked to M. Note that the only configuration setting specified at this stage is the MAC address of the new machine M. This is witnessed by the p-node placed inside Properties. Observe that this reaction rule forces all m-nodes to be shared by only two $s$-nodes. This means our model does not capture any interference between the signals of the machines in the system: our model is based solely on information provided by the router. In other words, we can only model what the router senses.
The second event occurs when machine MAC is no longer in the router’s signal range. This happens because either a machine switches off its network interface or it moves into a location not reachable by router’s signal. It is encoded by the reaction rule $R_R(MAC)$ given in Figure 7.4. On the left-hand side, a $m$-node is linked to a $b$-node and placed within an $s$-node. These correspond to a machine, its configuration properties and its signal range, respectively. The extra region enclosing M and the site are necessary to allow the machine modelled in the left-hand side to be in the range of the router and possibly other machines. On the righthand side, all the nodes have disappeared. This models the absence of the machine from the system. We note that without sharing, the orphan site does not exist. But in our case, we need it because on the left-hand side, there could be another entity matched by the site (e.g. the router), which would persist even after we remove the parent node S. The interface of the reaction rule is given by: $R_R(MAC) : \tilde{m}r \rightarrow \langle sbm, \emptyset \rangle$.
The third event occurs when a machine joins the WLAN and a DHCP lease is granted. We use three reaction rules to describe how the system changes. This requires distinguishing between the new machine and those already in the network. We do so by tagging the latter. The first rule, $R_{J1}$, implements the tagging, the second rule, $R_{J2}(MAC, IP, Hostname)$, establishes the network aspects of the untagged machine (i.e. IP address etc.), and the third rule, $R_{J3}(MAC)$, establishes the communication channels between the new machine and the tagged machines and then it revokes the tags. Reaction $R_{J1} : \tilde{pio} \rightarrow \langle mwb, \{x, y\} \rangle$, in Figure 7.5, is used to tag all the machines in the system that are already part of the WLAN. On the left-hand side we have an m-node linked to the w-node. The actual tagging is implemented in the right-hand side, where a node of control Properties’ takes the place of the corresponding node of control Properties in the left-hand side. Reaction rule $R_{J2}(MAC, IP, Hostname)$ models the DHCP server granting a lease to the machine, as depicted in Figure 7.6. On the left-hand side, a machine is not part of the network and the only configuration property already specified is the MAC address. This is shown by the absence of a link between the m-node and the w node and the absence of a site inside the node of control Properties. On the right-hand side, the machines joins the WLAN, IP address and
hostname are set, and two communication channels with the external world are established. The interface is given by:
\[ R_{12}(\text{MAC}, \text{IP}, \text{Hostname}) : \widehat{\text{io}} \rightarrow \langle \text{mwbj}, \{x, y\} \rangle . \]
Note that the channels are uni-directional and so we have to define a pair (one for incoming traffic, one for outgoing traffic). In reaction rule \( R_{13}(\text{MAC}) \) a pair of communication channels is established between the new machine and the machines already part of the WLAN, see Figure 7.7. On the left-hand side, a node of control Properties and a node of control Properties’ specify the configurations of the new machine and a machine already in the WLAN, respectively. On the right-hand side, a pair of communication channels is established and a node of control Properties replaces the corresponding node of control Properties’ in the left-hand side. The interface of the reaction is \( R_{13}(\text{MAC}) : \widehat{\text{pio}} \widehat{\text{pio}} \rightarrow \langle \text{bb}, \{x, y\} \rangle \). We note that this event is encoded by a sequence of application of the three reaction rules described above.
Initially, all machines that have already joined the WLAN are tagged, using reaction \( R_{11} \). This means the reaction is applied \( n \) times, where \( n \) is the number of machines in the network. The resulting interleaving of applications is confluent, therefore, only one sequence
need be considered. Then, reaction $R_{12}(MAC, IP, Hostname)$ is applied once. Finally, reaction $R_{13}(MAC)$ is applied $n$ times. Again, due to confluence, only one sequence need be considered. We will describe in more detail how sequences of applications are used to generate models of the network in real-time in Section 7.3.
The last event takes place when a machine leaves the WLAN and the lease is revoked. This is represented by two rules. Note, this does not automatically imply that the machine is also leaving the router’s signal range. Reaction rule $R_{L1}(MAC) : \text{pio} \rightarrow \langle \text{bio}, \{x, y\} \rangle$ is given in Figure 7.8. The left-hand side specifies a property box for the machine and a pair of channels. The site also allows the reaction to be applied when other nodes are inside the node of control Properties. On the right-hand side the two communication channels are removed. Reaction rule $R_{L2}(MAC, IP, Hostname)$ revokes the machine’s DHCP lease. This is encoded by the removal of nodes of control Hostname and IP and the breaking of link between M and W, as depicted in Figure 7.9. The interface of the reaction rule is given by
$$R_{L2}(MAC, IP, Hostname) : \epsilon \rightarrow \langle \text{mwb}, \{x, y\} \rangle.$$
Note that reaction $R_{L1}(MAC)$ is applied first, until no other channels can be removed. Again, the order in which the channels are removed is not important and only one sequence of reactions need be considered. Second, reaction rule $R_{L2}(MAC, IP, Hostname)$ is applied once.
The algebraic forms for all the seven reaction rules of the model are given in Table 7.3.
| Reaction Rule | Description |
|---------------|-------------|
| $R_A(\text{MAC}) = R_1 \rightarrow R'_1$ | $R_1 = /x (\text{share} (R_x.W_y.1 || \text{id}) \text{ by } [\{1, 2\}, \{0\}] \text{ in } (S_x.(\text{id} || \text{id}) || \text{id}_{1,yx}))$ |
| $R'_1 = /x /z /p (\text{share} (R_x.W_y.1 || /y M_{yxp}.1 || \text{id}) \text{ by } [\{1, 2, 3\}, \{1, 2\}, \{0\}] \text{ in } ((S_x.(\text{id} || \text{id}) || S_z || \text{Properties}_p.\text{MAC}.1) || \text{id}_{1,yxzp}))$ |
| $R_R(\text{MAC}) = R_2 \rightarrow 1 || 1 || 0$ | $R_2 = /x /p (\text{share} (/y M_{xyxp}.1 || \text{id}) \text{ by } [\{1, 2\}, \{0\}] \text{ in } ((S_x.(\text{id} || \text{id}) || \text{Properties}_p.\text{MAC}.1) || \text{id}_{1,xp}))$ |
| $R_J1 = /p (M_{yxp}.1 || W_y.1 || \text{Properties}_p) \rightarrow /p (M_{yxp-1} || W_y.1 || \text{Properties}'_p)$ |
| $R_{J2}(\text{MAC}, \text{IP}, \text{Hostname}) = R_{3b} \rightarrow R'_{3b}$ | $R_{3b} = /p (/y M_{xyxp}.1 || W_y.1 || \text{Properties}_p.\text{MAC}.1 || \text{Internet})$ |
| $R'_{3b} = /p /t /h (M_{xyxp-1} || W_y.1 || \text{Properties}_p.(\text{MAC}.1 || \text{Hostname}.1 || \text{IP}.1 || l_h.1 || O_l.1) || \text{Internet}.(\text{id} || l_h.1 || O_l.1))$ |
| $R_{J3}(\text{MAC}) = R_{3c} \rightarrow R'_{3c}$ | $R_{3c} = \text{Properties}_x.(\text{id} || \text{MAC}.1) || \text{Properties}'_y$ |
| $R'_{3c} = /t /h (\text{Properties}_x.(\text{id} || \text{MAC}.1 || l_t.1 || O_h.1) || \text{Properties}_y.(\text{id} || l_h.1 || O_l.1))$ |
| $R_{L1}(\text{MAC}) = R_{4a} \rightarrow R'_{4a}$ | $R_{4a} = /t /h (\text{Properties}_y.(\text{id} || \text{MAC}.1 || l_t.1 || O_h.1) || (l_h.1 || O_l.1))$ |
| $R'_{4a} = \text{Properties}_y.(\text{id} || \text{MAC}.1) || 1$ |
| $R_{L2}(\text{MAC}, \text{IP}, \text{Hostname}) = R_{4b} \rightarrow R'_{4b}$ | $R_{4b} = /p (M_{yxp}.1 || W_y.1 || \text{Properties}_p.(\text{MAC}.1 || \text{Hostname}.1 || \text{IP}.1))$ |
| $R'_{4b} = /p (/y M_{yxp-1} || W_y.1 || \text{Properties}_p.\text{MAC}.1)$ |
Table 7.3: Reaction rules for network events.
7.2.3 Status predicates
In addition to the reaction rules, we define two predicates, parameterised by a machine MAC address, to represent the current status of a machine in the system:
- $\varphi_{MAC}$ is true iff the machine MAC is present in the system,
- $\psi_{MAC}$ is true iff the machine MAC is part of the WLAN.
The predicates are encoded by bigraphs $B_{\varphi_{MAC}}$ and $B_{\psi_{MAC}}$, which are depicted in Figure 7.10. The corresponding algebraic forms are
$$B_{\varphi_{MAC}} = \text{Properties}_p . (\text{id} \mid \text{MAC}.1)$$
$$B_{\psi_{MAC}} = /p (M_{y,p}.1 \parallel W_y.1 \parallel \text{Properties}_p . (\text{id} \mid \text{MAC}.1))$$
We define $S \models \varphi_{MAC}$ iff $B_{\varphi_{MAC}}$ is a match in bigraph $S$ and $S \models \psi_{MAC}$ iff $B_{\psi_{MAC}}$ is a match in bigraph $S$. All the other predicates defined in the following sections are encoded similarly in terms of bigraphical matching.
7.3 Generation of models in real-time
We now describe how the reaction rules and predicates defined in the previous section are used to generate sequences of models of the current network configuration in real-time. For a given current model $S_t$, we generate a successor model $S_{t+1}$, such that $S_t \rightarrow^* S_{t+1}$. The new model $S_{t+1}$ represents the network after an event takes place. Strictly, any model $S$ such that $S_t \rightarrow^* S$ is a successor model, however, often we store only the model obtained after several rewriting steps, for example when tagging and untagging is required. The model of the current network configuration is stored in the bigraph analysis component of the HWBig system. Note, we generate and store the algebraic form, whereas we use the graphical form for feedback. An example illustrates the generation process.
Example 7.3.1. Assume at time $t$ the stream database generates a network event specifying that machine MAC is present in the system and a DHCP lease has been granted. The current model is denoted by $S_t$, and the generated event has been sent to the bigraph encoder component. The sequence of reaction rules to be applied to $S_t$ is determined by whether or not machine MAC is already present in the system and if it has joined the WLAN. Therefore, the bigraph analysis component is queried to check if $S_t \models \varphi_{MAC}$ and $S_t \models \psi_{MAC}$. The results are sent back to the bigraph encoder component. We then have three cases of model generation, summarised as follows:
- If $S_t \models \varphi_{MAC}$ and $S_t \models \psi_{MAC}$, then the system remains unchanged and no reaction rule is applied.
- If $S_t \models \varphi_{MAC}$ but $S_t \not\models \psi_{MAC}$, then machine MAC has to join the WLAN. The generated sequence of reactions is: $R_{J1}$, $R_{J1}(MAC, IP, Hostname)$, $R_{J1}(MAC)$, which is sent to the bigraph analysis component to update the model:
$$S_t \longrightarrow^*_{J1} \longrightarrow_{J2} \longrightarrow^*_{J3} S_{t+1}.$$
For brevity, we denote this sequence of applications as $S_t \longrightarrow^*_J S_{t+1}$. Observe that IP and Hostname are part of the event obtained from the stream database.
- If $S_t \not\models \varphi_{MAC}$, then machine MAC has to appear in the range of the router and then to join the WLAN. The generated sequence is: $R_A(MAC)$, $R_{J1}$, $R_{J1}(MAC, IP, Hostname)$, $R_{J1}(MAC)$, which is sent to the bigraph analysis component to update the model:
$$S_t \longrightarrow_A \longrightarrow^*_J S_{t+1}.$$
Encodings for the four network events are summarised in Table 7.4. Predicates $\varphi_{MAC}$ and $\psi_{MAC}$ are used as in Example 7.3.1 to select the appropriate sequence of reaction rules that should be applied.
| Control | Meaning | Sort | Graphical notation |
|----------|------------------|------|--------------------------|
| Port, ... | Port number | p | Bold rounded box |
| WWW, ... | External host | p | Bold rounded box |
| P, ... | Protocol | p | Bold rounded box |
| BLOCKED | All traffic forbidden | p | Bold rounded box |
Table 7.5: New controls and sorts for modelling policies.
### 7.4 Bigraphical models of policies
Now we turn our attention to the representation of access control policies by reaction rules. Access control policies constrain behaviours, for example they can constrain traffic between machines, or types of traffic. New entities are therefore required. For example, new controls are needed to express the ban of a given port or a communication protocol. The additional controls are listed in Table 7.5, which we call *constraints*. Formation rule $\Phi$ defined in Table 7.2 is also modified by allowing $\hat{\imath}\hat{o}$-nodes to be linked to $p$-nodes.
Policies are categorised as *forbid* policies or *allow* policies. The latter are relatively simple to represent because matching can detect the existence of a constraint that requires to be removed. However, the representation of forbid policies is a little more complex.
The key idea of representing a forbid policy is to link chains of $p$-nodes to communication channels. A chain of constraints represents a conjunction of constraints, and several chains linked to a channel represent a disjunction of constraints. Some policies can be represented by a single reaction rule, whereas others require several when a form of tagging is needed in the representation. We illustrate the possible forms of representation with three example forbid policies. A summary of the algebraic forms of the reaction rules for these policies is given in Table 7.6.
**Example 7.4.1** (policy P1). Consider a policy, denoted by P1, that forbids the machine named Laptop from receiving incoming traffic from remote host WWW, defined by reaction rule $R_{P1}$ in Figure 7.11. The left-hand side can match only Laptop’s Properties box, its out-going channel to the external world and Internet box. In the right-hand side, constraint WWW is attached to the channel’s link. Note that constraints like WWW are always placed within the sender’s $\hat{\imath}\hat{o}$-box\(^1\).
The inverse reaction rule\(^2\) models the policy being dropped. While this policy (P1) is represented by a single reaction rule, we note that we must apply it carefully, to avoid multiple or inconsistent applications. An example illustrates the problem. Consider a network modelled by bigraph $S$ in which machine Laptop is already forbidden from receiving traffic from
---
\(^1\)This is an arbitrary choice that simplifies the specification of policy predicates. The symmetric encoding where the constraints are always placed within the receiver’s $\hat{\imath}\hat{o}$-box is also possible.
\(^2\)The reaction rule in which the left-hand side and the right hand side are swapped.
WWW, i.e. a WWW-node is already linked to the channel from Laptop to Internet. Reaction rule $R_{P1}$ could be applied to this bigraph, and as a result of the rule application, we would obtain a bigraph in which two copies of the same constraint are linked to the channel. To avoid this, we must check, before any rule applications for the policy, whether traffic from WWW to Laptop is forbidden. Specifically, the bigraph analysis component is queried to check whether $S \models \varphi_{P1}$, where predicate $\varphi_{P1}$ corresponds to the right-hand side of reaction rule $R_{P1}$. The reaction rule for the policy is applied only if the predicate is false. Since the predicate holds for model $S$, reaction rule $R_{P1}(\text{Laptop}, \text{WWW})$ would not be applied in this case.
**Example 7.4.2** (policy P2). A more complex model arises when TCP connections with any host using destination ports 8080 or 6881 and source port 6882 are forbidden. We call this policy P2. First, rule $R_{P2T}$ is applied once to all the channels in the system. This results in a bigraph in which all $\hat{i}\circ$-nodes are tagged, which is necessary in order to ensure that rule $R_{P2E}$ is applied only once. The algebraic form is
$$R_{P2T} = O_{c}.1 \parallel l_{c}.1 \rightarrow O'_{c}.1 \parallel l'_{c}.1$$
Second, rule $R_{P2E}$ is applied to all the tagged channels, this is depicted in Figure 7.12. The left-hand side matches any tagged channel. On the right-hand side, the constraints are placed by linking them to the channels and $\hat{i}\circ$-nodes are untagged. Constraints on source ports are placed inside the box containing node $O$ (i.e. sender’s Properties box), while constraints on destination ports are inside the box containing node $l$ (i.e. receiver’s Properties box). The order in which channels are tagged and untagged is irrelevant because reaction rule $R_{P2E}$ is applied only when all the channels are tagged. Thus, only one interleaving need be considered. As in the previous example, the bigraph analysis component is queried prior to the application of the application of the reaction rules modelling this policy, in order to avoid double entries and inconsistent constraints.
**Example 7.4.3** (policy P3). Finally, consider a policy that forbids traffic from the machine
whose IP address is 192.168.0.9 to the machine whose IP address is 192.168.0.84. The policy is encoded as reaction rule $R_{P3}$ given in Figure 7.13. The left-hand side matches the channel blocked by the policy. On the right-hand side, special constraint BLOCKED is linked to the channel.
### 7.5 Generating models of policy events in real-time
In Section 7.3 we described how the current model $S_t$ of a network is updated in real-time upon an occurrence of a network event. We now specify a similar procedure to update the model when policy events take place. Reaction rules encoding the policy events generated by the stream database are used by the bigraph analysis component to generate sequences in the form $S_t \rightarrow^* S_{t+1}$. There are three possible policy events: *enforce*, *drop* and *check* policy compliance for both forbid and allow policies. Forbid policy events are more difficult to encode than allow policy events, and so we consider these first.
| Event | Encoding | Short form |
|------------------------|--------------------------------------------------------------------------|------------|
| Enforce policy P | \[ \text{tag} \rightarrow \text{enforce} \rightarrow \text{untag} \] | \( \rightarrow \ast_P \) |
| Drop policy P | \[ \text{remove} \rightarrow \rightarrow \ast \] | \( \rightarrow \ast_P \) |
| Check policy P | \[ \text{tag} \rightarrow S \rightarrow T \] | |
| | \( B_{\varphi_P} \) is a match in \( T \implies S \not\models \varphi_P \) | |
| | \( B_{\varphi_P} \) is not a match in \( T \implies S \models \varphi_P \) | |
| | \[ \text{untag} \rightarrow T \rightarrow S \] | |
Table 7.7: Encodings for policy events (forbid).
**Enforce a forbid policy**
1. **(tag)** a sequence of rules that tag channels in the model that comply with the policy,
2. **(enforce)** a sequence of rules that link the constraint specified by the policy to the untagged channels, and then tag these channels so they are not considered again,
3. **(untag)** a sequence of rules that removes the tags applied in steps 1 and 2.
**Drop a forbid policy**
1. **(remove)** a sequence of rules that removes the policy constraints from channels.
**Check a forbid policy**
1. **(tag)** a sequence of rules that tag channels in the model that comply with the policy,
2. **(check)** check whether the predicate \( \varphi_P \) holds for the tagged model (from step 1), by attempting to match \( B_{\varphi_P} \). If a match is possible, then conclude \( S \not\models \varphi_P \), otherwise conclude \( S \models \varphi_P \),
3. **(untag)** a sequence of rules that removes the tags applied in step 1.
### 7.5.2 Encoding allow policy events
Allow policies are much easier to encode because constraints are removed, instead of being added to the model. Thus, we can take advantage of the fact that bigraph matching is a test for
| Event | Encoding | Short form |
|-----------------------|--------------------------------------------------------------------------|------------|
| Enforce policy P | $\overline{\text{enforce}} \rightarrow \rightarrow^*$ | $\rightarrow \rightarrow^*_P$ |
| Check policy P | $B_{\varphi_P}$ is a match in $S \implies S \not\models \varphi_P$ | — |
| | $B_{\varphi_P}$ is not a match in $S \implies S \models \varphi_P$ | — |
Table 7.8: Encodings for policy events (allow).
the existence of a pattern. An overview of allow policy enforce/check is the following, which is also summarised in Table 7.8. We note that it is not possible to drop an allow policy. If the user wishes to stop allowing some behaviour, that behaviour has to be specified explicitly as a forbid policy. Again, assume the current configuration of the network is modelled by bigraph $S$.
**Enforce an allow policy**
1. **(enforce)** a sequence of rules that removes the policy constraints from channels. There is no need for a tagging step.
**Check an allow policy**
1. **(check)** attempt to match $B_{\varphi_P}$. If a match is possible, then conclude $S \not\models \varphi_P$, otherwise conclude $S \models \varphi_P$.
### 7.5.3 Interplay between network and policy events
When a network event occurs, the bigraph analysis component applies a sequence of reaction rules as described in Section 7.3. However, this may lead to a system in which some policies are not enforced. For example, assume a current model, $S_t$, of a WLAN where every machine is forbidden to receive data from remote host WWW. Further, assume a new machine joins the WLAN. As a result, the bigraph analysis component updates $S_t$ to $S_{t+1}$ thus: $S_t \rightarrow_A \rightarrow^*_A S_{t+1}$. But in model $S_{t+1}$ the new machine is not forbidden from receiving data from WWW, thus the policy has to be re-enforced.
In general, after every join network event, the bigraph analysis component applies the sequence of reactions for an enforce policy event. The sequence for a drop policy event is applied before a leave network event, which is in turn followed by the sequence of applications for an enforce policy event.
We illustrate the process, in detail, with the example given in Appendix D.
7.6 Model analysis
So far we have described how to model home networks with bigraphs and how to update a model in real-time to represent network and policy events. In this section we present an approach that allows us to carry out formal reasoning on the generated models within the HWBig system.
At any point in the model generation process, the bigraph analysis component can check whether the bigraphical representation of the current system satisfies compliance with a policy, or an invariant, or indeed any given property. Some example properties of interest for a WLAN are:
- $\varsigma_1$: “Machine 01:23:45:67:89:ab can receive from host Laptop”,
- $\varsigma_2$: “TCP traffic is blocked for machine with IP address 192.168.0.3”,
- $\varsigma_3$: “Machine 01:23:45:67:89:ab is in the range of the router’s signal and a DHCP lease has been granted”,
- $\varsigma_4$: “Host Laptop has unrestricted access to the Internet”.
The verification of $S_t \models \varsigma_i$ is an instance of model checking, where $S_t$ is the bigraph representing the current state of the WLAN. Note that all the predicates $\varsigma_i$ above express spatial (i.e. static) properties of the system. Hence, they can be regarded as atomic propositions in a temporal logic and expressed in a straightforward way as a single instance of matching. For example, bigraph $B_{\varsigma_4}$ encoding property $\varsigma_4$ is represented as shown in Figure 7.14.
We can check any invariants by model checking whether they hold after every update of the system, logging any violations and reporting them, as required, to the system and/or user. Note that conflicting policies can also be detected this way, whenever the application of a new policy invalidates an existing one. The idea is to consider the predicates for compliance with a given policy $P$ (i.e. $\varphi_P$), as invariants. Therefore, a new policy is conflicting with one of the old ones whenever its application invalidates an invariant. An implementation of the system, can either signal this to the user, deny the enforcement of the second policy or just keep track of conflicts in a logfile.
It is also possible to reason about the dynamical evolution of the system expressed as temporal properties. Some examples are:
\[
\tau_1: \text{“Machine 01:23:45:67:89:ab eventually has to be connected to Laptop”},
\]
\[
\tau_2: \text{“TCP traffic is always blocked for machine with IP address 192.168.0.3”},
\]
\[
\tau_3: \text{“A lease is granted to machine 01:23:45:67:89:ab until it is not in the range of the router’s signal”}.
\]
These properties can be expressed in a temporal logic like LTL [51], with temporal modalities such as until (U), next (X), finally (F) and globally (G). The set of atomic propositions is given by the formulae in the fragment of BiLog that can be reduced to matching. As discussed above, these are the predicates in the form of \( s_i \). Observe that a similar approach was adopted in Chapter 6 to express in CSL properties of a bigraphical reactive system. The interesting question here is what is the underlying transitions system? We propose that it is the one that can be generated by modelling all the possible sequences of actions, from the current model of the system. In order to generate a finite structure, a fixed set of machines and policies has to be specified by the user. Then, the corresponding reaction rules, as described in sections 7.3 and 7.5 are applied to generate the transition system. For example, a set of rules modelling a station joining the WLAN is generated for every specified MAC address. Figure 7.15 illustrates the generation of the transition system from current model \( S_t \), where \( S_t \) is generated from initial state \( S_0 \), according to the sequence of real-time events. All states in the generated transition system are reachable from \( S_t \). We note that in general, from any state \( S_t \), we can return to \( S_0 \), if we do not constrain the allowable events. Therefore, this approach is only useful if we make some assumptions about what events cannot occur. For example, we might wish to reason about future behaviour, based on the assumption that no machines leave the network, or no new policies are enforced. From a theoretical point of view, the generation process described above is equivalent to the computation of the reaction relation of a PBRS in which the initial state is \( S_t \) and the interleavings resulting from the application of reaction rules with lower priorities are discarded. For example, consider the generation of a successor state \( S_{t+1} \) obtained by the following sequence of applications
\[
S_t \xrightarrow{L_1}^* \xrightarrow{L_2} S_{t+1}.
\]
All possible intermediate states resulting from an application of reaction rule \( R_{L1}(MAC) \) are discarded by specifying that \( R_{L1}(MAC) < R_{L2}(MAC, IP, Hostname) \). Note that this approach was also adopted in Chapter 6 for the generation of the underlying CTMC.
In some situations it may be useful to reason about the past behaviour of the network. A common example is when one wishes to “debug” the network, i.e. identify the events that
led to a problem in the current configuration of the network. Some temporal properties of this form are:
\[
\tau_4: \text{“Machine 01:23:45:67:89:ab has never joined the network”},
\]
\[
\tau_5: \text{“TCP traffic has always been blocked for machine with IP address 192.168.0.3 since policy P was enforced”},
\]
\[
\tau_6: \text{“Laptop was connected to the Internet”}.
\]
These properties can be expressed, for instance, in **PILTL** (Past time LTL) [30, 43], a temporal logic equipped with past-time modalities such as *since* (\(S_{-}\)), *previous* (\(X^{-1}_{-}\)), *at some point in the past* (\(F^{-1}_{-}\)) and *globally in the past* (\(G^{-1}_{-}\)). As for the temporal properties about the future we described above, the set of atomic propositions is given by the **BiLog** formulae that are reducible to bigraph matching. In this case, the underlying transition system is simply \(S_0 \rightarrow S_1 \rightarrow \cdots \rightarrow S_t\).
Checking a temporal property involves bigraph matching for atomic propositions and standard model checking techniques for the temporal modalities. We note that the latter is computationally expensive and may not be tractable in real-time, depending on the number of machines and policies and on the temporal modalities of the logic. However, we have as yet found no need for temporal modalities: atomic propositions are currently sufficient for all verification needs expressed by the Homework system users.
**Technical details: tracking**
Temporal properties (both in the past and in the future) about specific entities of a bigraph can be verified only if they can be *tracked* through a reaction [47, p. 123]. This is in general not possible in abstract BRS because nodes and edges lack identifiers. Consider, for instance, reaction rule
\[
A | A \rightarrow A
\]
that matches two nodes of control A and discards one. When it is applied to a state \(S \rightarrow S'\), it is impossible to identify (i.e. track) which one of the two matched A-nodes is still present.
in $S'$. Observe that our bigraphical model suffers from this problem. In particular, M-nodes cannot be tracked. Our workaround consists of allowing only one node with a given MAC control in the model. This is enforced by checking predicates $\varphi_{MAC}$ and $\psi_{MAC}$ given in Section 7.2 before any topology update. Therefore, unique controls for MAC addresses can be interpreted as node identifiers and employed for node tracking.
### 7.7 Implementation
A prototype of the HWBig system is fully implemented on the Homework router, which is hosted on a variety of small form-factor PCs. The bigraph encoder and bigraph analysis components are implemented in OCaml by using the library provided by BigraphER. The software runs on a standard Linux Ubuntu distribution. Access control is enforced via NOX (which implements the custom DHCP server) and Open vSwitch, as dictated by the Ponder2 policy engine [63], based on events recorded in the homework stream database.
We trialled the system with both synthetic and experimental data using a router hosted on an Asus Eee PC laptop with the following specification: 1.2GHz Intel Atom CPU, 2 GB RAM, 200 GB SATA HDD, 802.11b/g, 1 Gbps Ethernet, and a USB-to-Ethernet adapter.
For the synthetic data, we added 30 stations to the initial configuration, applying reaction rule $R_A(MAC_i)$ 30 times starting from bigraph $S_0$. The final state is a bigraph with 123 nodes. The update times we recorded also include the delays introduced by the verification of predicates $\varphi_{MAC_i}$ and $\psi_{MAC_i}$ prior to each reaction rule application. The update times increase with the number of nodes, as indicated in the plot of update times averaged over 100 runs, in Figure 7.16. The non-monotonicity of the plot is due to the random choices in the heuristic of the SAT solver used for matching of bigraphs. Note the slowest update requires just under 0.10 s.
Experimental data was taken from actual network trials. For example, the router sensed the signals of 6 stations, then 4 new devices joined the WLAN and were connected to the Internet. The final state was a bigraph with 71 nodes. The update times were similar to those described above. Evidence from network trials suggests there are rarely more than 20 signals present in a home network and the rate of topology change is much slower than the times used in our (synthetic) experiment. Moreover, our times include a system overhead to generate and store on disk a graphical representation of each bigraph (involving an external invocation of the graph layout generator dot). While we expect that considerable speed ups and optimisations are possible to the verification system, we conclude the prototypical system can update and analyse the bigraphical representation of actual home networks in real-time.
Figure 7.16: Average time to perform $S_n \rightarrow S_{n+1}$, where $n$ is the number of machines in the network (x axis). Each update was performed 100 times and the average time is reported on the y axis.
### 7.8 Summary
In this chapter we described HWBig, an addition to the Homework information plane that generates and analyses in real-time bigraphical models of the current configuration of the network. The generation process is event-driven: we apply in real-time the reaction rules according to events captured in the stream database. Analysis consists of verification of system properties, including detecting configurations that violate user-invoked access control policies.
In Section 7.1 we gave an overview of the Homework information plane together with the HWBig system. Section 7.2 defined the bigraphs and the reaction rules used to encode network topologies and network events. The sequences of reaction rule applications required to generate the bigraphical models at each network event were described in Section 7.3. Another set of reaction rules was introduced in Section 7.4 to represent policy events. The corresponding generation process was given in Section 7.5. Our bigraphical model defined a general method to check for the non-existence of patterns in reaction rules by tagging and untagging entities. It also introduced a procedure that allows tracking of machines through reaction by using some controls as node identifiers. In Section 7.6, we proposed three approaches to reason on the generated bigraphs. The first was to use BiLog predicates to verify static properties of the current model by reduction to bigraph matching. The second consisted of “unfolding” the reaction relation starting from the current model to generate all possible evolutions of the network, which can then be analysed with a temporal logic. The third used predicates expressed in a past-time temporal logic to debug the network. We discussed the implementation details of HWBig in Section 7.7.
Chapter 8
Conclusion and future work
In this thesis, we have introduced bigraphs with sharing, a novel generalisation of Milner’s bigraphs specifically conceived to enable a direct representation of spatial locations shared among several entities. The main idea of our formalism is to adopt a definition of place graphs based on DAGs instead of forests. This in turn requires a substantial extension and adaptation of the previous theory of BRS and the development of a new matching algorithm and supporting tools. We showed how sharing facilitates the specification process by modelling two real-world scenarios involving overlapping wireless signals.
In this concluding chapter we summarise the main contributions of this thesis, in Section 8.1, present a critical reflection on what has been achieved and on the experience of using bigraphs for the modelling of wireless networks, in Section 8.2, and outline directions for future research, in Section 8.3.
8.1 Thesis summary
We organised this thesis in two parts: Part I is devoted to the theoretical treatment of bigraphs with sharing; Part II focusses on their applications.
In Part I, Chapter 2 gives a thorough introduction to the standard definition of bigraphs. Our main reference was Milner’s book [47]. In more detail, the chapter begins by recalling the fundamental definitions of the constituents of bigraphs (place and link graphs) and their operations (composition and tensor product). It also describes two different ways of expressing bigraphs. The first is an elegant graphical notation in which the nesting of nodes and the edges between them encode locality and connectivity, respectively. The second is an algebraic form that allows us to represent bigraphical terms structurally as in process algebra. The chapter continues with the definition of sorting, a typing discipline that is required in most applications in order to restrict the set of admissible bigraphs. Furthermore, it
presents bigraphical reactive systems (BRS), a dynamical theory of bigraphs based on reaction rules specifying how bigraphs may reconfigure their own placings and linkings. Finally, the categorical interpretation of bigraphs, the spatial logic BiLog and several extensions (e.g. stochastic bigraphs) are considered.
In Chapter 3, bigraphs with sharing are defined formally. We justified the need for an extension of the basic formalism enabling a representation of space shared among several entities by exposing the disadvantages of two possible encodings of sharing within the standard definition of bigraphs. The core of the chapter consists of the definition of a new locality model for place graphs with sharing in terms of DAGs instead of forests. We implemented this by replacing the parent map in the standard definition with a binary relation between places. Operations on bigraphs with sharing were also modified in order to support the new formulation. The second part of the chapter describes a stratified graphical notation that overcomes the shortcomings of the Venn diagram style notation by explicitly representing the relation between places. The new formalism is shown to be coherent with Milner’s categorical interpretation of bigraphs by introducing $\text{SPg}(K)$ and $\text{SBg}(K)$, the categories of abstract place graphs with sharing and abstract bigraphs with sharing, respectively. Functors to relate them to standard bigraphical categories are also defined. In particular, we constructed functor width : $\text{SPg}(K) \to \text{Finord}$. Additionally, we proved self-duality of place graphs with sharing and introduced a characterisation of epimorphisms and monomorphisms. We also showed with an example that precategory $\widetilde{\text{SPg}}(K)$ of concrete place graphs with sharing lacks RPOs in the general case. The chapter concludes by presenting an axiomatisation of expressions for bigraphical terms derived from the equational theory of a bialgebra on finite ordinals. This includes the definition of a stratified normal form.
Chapter 4 introduces a graph theoretic algorithm to solve the bigraph matching problem. We discussed two key features of the algorithm: native support for both standard bigraphs and bigraphs with sharing; capability to enumerate all the distinct occurrences of a pattern in a target. The latter is essential in a stochastic setting for the computation of reaction rates. The algorithm is defined as a reduction to the sub-graph isomorphism problem. In more detail, the first phase of the algorithm finds the isomorphisms between the pattern’s underlying DAG and sub-graphs of the target’s underlying DAG. In the next phase, the algorithm discards the isomorphisms obtained in the previous phase that do not satisfy the following compatibility conditions: node controls are preserved, pattern’s sites and roots allow for a valid decomposition of the target, and no node in the context has an ancestor in the pattern. In the final phase, a mapping between the pattern’s and target’s link graphs is constructed for every compatible isomorphism. Proofs of soundness and completeness are also provided. This chapter concludes the first part of the thesis on the theory of bigraphs with sharing.
In Part II, Chapter 5 describes the BigraphER system: an OCaml library and a command-line tool for the manipulation, simulation and visualisation of bigraphs with sharing. The
architecture of the command-line tool consists of three interacting components: a compiler, a matching engine, and a rewriting engine. The compiler translates the input specification into a run-time representation of the bigraphical model. We implemented the matching engine by encoding in SAT the matching algorithm defined in Chapter 4. The solutions are then obtained by passing the resulting SAT instance to the MiniSat solver. The rewriting engine builds the reaction relation of the input BRS by iteratively applying the reaction rules to each state. The occurrences of a reaction rule are computed by invoking the matching engine. The visualisation function produces a graphical representation of a bigraph. We based its implementation on the automatic graph layout generation software Graphviz. The BigraphER OCaml library provides programming interfaces for the data structures used internally by the components of the command-line tool. The chapter also introduces a reasoning technique for a class of BiLog predicates based on bigraph matching.
In Chapter 6, we presented the first application of bigraphs with sharing to a real-world scenario: a model of 802.11 RTS/CTS that supports overlapping signals and arbitrary network topologies. The model consists of a sorting that specifies the kinds of bigraphs used to encode wireless networks and a set of stochastic reaction rules describing how a network evolves during the execution of the protocol at transmission time. A distinguishing characteristic of this approach is that the network topology is expressed explicitly by representing overlapping wireless signals with sharing nodes. Therefore, locality determines collision probability. In order to avoid the definition of parameterised reaction rules, we organised the reaction rules of our model into priority classes. This not only leads to a more compact and readable specification of the model but also allows BigraphER to build more quickly the reaction relation because only instances of matching that are solvable in polynomial time are generated in the process. In the chapter, we also described a general method to reduce significantly the size of the state space by employing instantaneous reaction rules and discarding the intermediate interleavings obtained by their applications (if confluent). Quantitative analysis is carried out by using the probabilistic model checker Prism and CSL predicates expressing properties of a network.
Chapter 7 contains a detailed description of the second application of bigraphs with sharing we considered in this thesis: real-time generation and analysis of bigraphical models of domestic wireless networks. The approach we adopted in this scenario is to define a sorting similar to the one used in Chapter 6 that specifies the structure of the admissible bigraphs used to represent wireless networks and a set of reaction rules to encode network and policy events. However, the fundamental difference here is that the model generation process is event-driven, i.e. instead of computing the whole state space of the BRS, sequences of reaction rules are applied in real-time to update only the current model of the network according to the events captured by the Homework router. The analysis process consists of verification of system properties expressed as BiLog predicates. These include detecting
configurations that violate user-invoked access control policies. We implemented the system on the Homework router by using the OCaml library provided by BigraphER. The chapter also introduces a method based on tagging/untagging reaction rules that allows us to verify predicates involving universal quantifiers or negated existential quantifiers by reduction to bigraph matching. Additionally, this method permits to track nodes through a reaction by using a class of controls as unique node identifiers.
8.2 Conclusion
In this thesis, we demonstrated bigraphs with sharing can be formally defined within the general framework of Milner’s bigraphical theories, and sharing allows for a native representation of overlapping localities. This feature of our extended formalism is particularly important because it greatly facilitates the modelling of complex wireless networks with non-centralised structure such as sensor networks, wireless ad-hoc networks and ubiquitous systems in general, as proven by the two example applications given in Part II. Furthermore, our research showed that our implementation of BRS (i.e. the BigraphER system) allows bigraphs with sharing to be fruitfully adopted to model and reason about complex applications at industrial level. In particular, the efficiency of our implementation of the matching algorithm was found to be adequate for run-time verification despite being only at an early developing stage.
We now briefly comment on our personal experience of using bigraphs to model wireless networks and spatial-aware systems. When we first encountered bigraphs, our first impression was that the formalism was rather difficult to learn and that it involved too many theoretical notions about process calculi, term rewriting, stochastic modelling and categories. This overwhelming amount of complex mathematical machinery led us to think the learning curve was pretty steep and modelling was going to be a hard task. Not surprisingly, we still face similar reactions when we present the research described in this thesis to the academic community. However, when we began to model the first systems, we soon found out that this complexity could be greatly alleviated by using only the graphical form for the specification of our BRSs. This allowed us to gradually get to know the details of the formalism and to further study its theoretical aspects when they were necessary for a correct understanding of the model. The graphical form proved to be extremely valuable also when our bigraphical models had to be understood and manipulated by non-expert users and by researches without a profound knowledge of concurrency theory and formal modelling.
Other strengths of bigraphs are the ability to easily specify systems with a hierarchical structure and reaction rules that produce complex state modifications when applied. This contrasts with the need to define non-trivial protocols to encode this kind of state modfication we often meet when using process calculi. Despite all the benefits introduced by the adoption of bigraphs, we believe the modelling of realistic systems frequently presents some intrinsic complexity. Therefore, expertise in formal methods is still a modeller’s requirement. Two features of \textit{BigraphER} that speed up and simplify the specification process are parameterised reaction rules, (including parameterised stochastic reaction rates) and rule priorities. In particular, the latter one allowed us to overcome the difficulty in specifying bigraphical reaction rules that can be applied when a condition does not hold as discussed at the end of Section 6.4. Additionally, the automatic generation of a graphical representation of bigraphs was extremely helpful during the model debugging phase. On the other hand, the lack of a visual editor for bigraphs and for reaction rules does not allow us to take full advantage of the graphical form.
### 8.2.1 Discussion
We now briefly explain the decisions we made in this thesis. Our efforts were driven by the goal of developing a formalism to express in a natural way overlapping topologies. We adopted a problem-oriented approach in which the emphasis was on practical use of bigraphs with sharing for the effective modelling and analysis of real-world scenarios. Therefore, an essential part of our work was to test with examples the adequacy of a locality concept based on DAGs. This is witnessed by the two applications presented in chapters 6 and 7.
The theoretical results presented in Part I are instrumental to the goal of the thesis. For example, we decided to focus on the definition of a normal form for bigraphical expressions in order to derive a specification language that could act as input for a software tool implementing BRSs. Similarly, all the aspects required for the definition of a stochastic semantics and a matching algorithm were investigated in depth. Since our applications did not demand the use of labelled transition systems, the study of label construction through IPOs and bisimulation was left to future research.
A principle we tried to follow throughout this thesis was to concentrate on novel aspects of our research and integrate them with existing theories and tools whenever it was possible. Hence, the following topics were not covered:
- Development of static analysis techniques for reaction rules to prove confluence and termination (refer to the theory of term rewriting [3]).
- Implementation of a model checker for temporal and stochastic predicates. We reduced the verification of \textit{BiLog} predicates to the bigraph matching problem and then used Prism.
• Implementation of a specialised sub-graph isomorphism algorithm. We encoded the problem in SAT and then used MiniSat,
• Implementation of a graph layout generator. We used Graphviz.
8.3 Future work
The work of this thesis suggests some directions for future development of bigraphs with sharing. Some theoretical aspects for further investigation are the following:
• Extension of the definition of the place graph to represent Euclidean space. This may involve the introduction of distances between nodes and node shapes.
• Definition of different BRS semantics. Examples would include BRS based on discrete time Markov Chains, Markov decision processes, timed automata, etc.
• Extension of the definition of the link graph to allow name aliasing, i.e. points may have more than one outer name. This generalisation makes link graphs self-dual. It is likely that a complete axiomatisation could be derived from the equational theory of a Frobenius algebra.
• Definition of a procedure for the construction of labelled transition systems for BRS with sharing. This includes the definition of an IPO construction procedure and the study of bisimulation.
• Investigation of whether it is possible to have binding in bigraphs with sharing.
Some possible future developments regarding practical aspects of bigraphs are the following:
• Improvement of the matching algorithm efficiency by reducing the size of the underlying SAT instances (i.e. number and length of clauses).
• Definition of a partial-matching algorithm. This may be suitable as a basis for an RPO construction algorithm and a more efficient verification of BiLog predicates.
• Implementation of an automatic procedure to check whether a bigraph respects a given sorting. This simply amounts to interpreting the conditions in a formation rule $\Phi$ as BiLog predicates.
• Modelling of new phenomena and evaluation of bigraphs with sharing in real deployments – especially in the field of ubiquitous computing and wireless sensor networks.
Appendices
Appendix A
Category theory
This chapter summarises the main ideas of category theory used in this thesis. Our references are the classic work by Mac Lane [45] for general category theory, and Milner’s book [47] for RPO and IPO results.
**Definition A.1 (category).** A *category* $C$ is given by a collection of *objects* $I, J, K, \ldots$ and a collection of *arrows* (or *morphisms*) $f, g, h, \ldots$ which have the following structure.
1. Each arrow $f$ has a *domain* and *codomain*, both objects. If these are $X$ and $Y$ then we write $f : X \to Y$. We also write $C(X \to Y)$, for the *homset* of $X$ and $Y$, i.e. the set of arrows in $C$ in the form $f : X \to Y$.
2. Given two arrows $f : X \to Y$ and $g : Y \to Z$, the *composition* of $f$ and $g$ is the arrow $g \circ f : X \to Z$. This operation may be pictured by the diagram
\[
\begin{array}{ccc}
X & \xrightarrow{g \circ f} & \\
f \downarrow & & \downarrow \\
Y & \xrightarrow{g} & Z
\end{array}
\]
Composition is *associative*, that is: given $f : X \to Y$, $g : Y \to Z$ and $h : Z \to W$, $h \circ (g \circ f) = (h \circ g) \circ f$. This equation is represented pictorially by the statement that the following diagram commutes\(^1\)
\[
\begin{array}{ccc}
X & \xrightarrow{\text{ho}(g \circ f) = (h \circ g) \circ f} & W \\
f \downarrow & & \downarrow h \\
Y & \xrightarrow{g} & Z
\end{array}
\]
\(^1\)A diagram commutes if every path with common start and end is equal.
3. For every object $X$ there is a unique identity arrow $\text{id}_X : X \to X$, satisfying the unit laws: $\text{id}_X \circ g = g$ for every $g : Y \to X$ and $f \circ \text{id}_X = f$ for every $f : X \to Z$.
\[
\begin{array}{ccc}
Y & \xrightarrow{g} & X \\
\downarrow{\scriptstyle g} & & \downarrow{\scriptstyle \text{id}_X} \\
X & \xrightarrow{f} & Z
\end{array}
\]
**Definition A.2 (functor).** A functor $\mathfrak{F} : C \to D$ between two categories is a function taking objects to objects and arrows to arrows, such that the following properties hold:
1. $\mathfrak{F}(f) : \mathfrak{F}(X) \to \mathfrak{F}(Y)$ for each $f : X \to Y$,
2. $\mathfrak{F}(\text{id}_X) = \text{id}_{\mathfrak{F}(X)}$ for each object $X$,
3. $\mathfrak{F}(g \circ f) = \mathfrak{F}(g) \circ \mathfrak{F}(f)$ for all arrows $f : X \to Y$ and $g : Y \to Z$.
A functor $\mathfrak{F} : C \to D$ is said to be faithful if it is injective when restricted to each homset, and it is full if it is surjective on each homset. $\mathfrak{F}$ preserves a property $p$ that an arrow may have if $\mathfrak{F}(f)$ has property $p$ whenever $f$ has. It reflects property $p$ if $f$ has the property whenever $\mathfrak{F}(f)$ has.
**Definition A.3 (precategory).** A precategory $\tilde{C}$ is like a category except that the composition $g \circ f$ of $f : X \to Y$ with $g : Y \to Z$ may not always be defined. A functor between precategories is exactly as a functor between categories.
**Definition A.4 (subcategory).** A subcategory $S$ of a category $C$ is a collection of some of the objects and some of the arrows of $C$, which includes with each arrow $f : X \to Y$ both the domain $X$ and the codomain $Y$, with each object $Z$ its identity arrow $\text{id}_Z$ and with each pair of composable arrows $f : X \to Y$, $g : Y \to Z$ their composite $g \circ f : X \to Z$.
**Definition A.5 (quotient category).** Given a category $C$, a congruence relation on $C$ specifies, for each pair of objects $X, Y$, an equivalence relation $\sim_{X,Y}$ on the class of arrows $C(X, Y)$ which have domain $X$ and codomain $Y$, such that
1. for $f, g : X \to Y$ and $h : Y \to Z$, if $f \sim_{X,Y} g$ then $h \circ f \sim_{X,Z} h \circ g$;
2. for $f : X \to Y$ and $g, h : Y \to Z$, if $g \sim_{Y,Z} h$ then $g \circ f \sim_{X,Z} h \circ f$.
Given such a congruence relation $\sim$ on $C$, one can form the quotient category $C/\sim$ which has the same objects as $C$, and arrows $X \to Y$ are $\sim_{X,Y}$-equivalence classes of arrows $X \to Y$ in $C$.
**Definition A.6 (opposite category).** The *opposite category* (or *dual category*) $C^{\text{op}}$ of a given category $C$ has for objects the objects of $C$, and its arrows are $f^{\text{op}} : Y \to X$, for each arrow $f : X \to Y$ in $C$. A category $C$ is *self-dual* if $C = C^{\text{op}}$.
**Definition A.7 (isomorphism).** An arrow $f : X \to Y$ is an *isomorphism* (iso) if there is $f^{-1} : Y \to X$ such that $f \circ f^{-1} = \text{id}_Y$ and $f^{-1} \circ f = \text{id}_X$. We call $f^{-1}$ the *inverse* of $f$.
**Definition A.8 (monomorphism).** An arrow $f : X \to Y$ is a *monomorphism* (mono) if $f \circ g_0 = f \circ g_1$ implies $g_0 = g_1$.
**Definition A.9 (epimorphism).** An arrow $f : X \to Y$ is an *epimorphism* (epi) if $g_0 \circ f = g_1 \circ f$ implies $g_0 = g_1$.
**Definition A.10 (span, cospan).** A *span* is a pair of arrows $\vec{f} = (f_0, f_1)$ with the same domain. A *cospan* is a pair of arrows $\vec{g} = (g_0, g_1)$ with the same codomain.
**Definition A.11 (bound, consistent).** If $\vec{f}$ is a span and $\vec{g}$ a cospan such that $g_0 \circ f_0 = g_1 \circ f_1$, then we call $\vec{g}$ a *bound* for $\vec{f}$. If $\vec{f}$ has a bound it is said to be *consistent*.
**Definition A.12 (pushout).** A *pushout* for a span $\vec{f}$ is a bound $\vec{h}$ for $\vec{f}$ such that, for any bound $\vec{g}$, there is a unique arrow $h$ such that $h \circ h_0 = g_0$ and $h \circ h_1 = g_1$.
\[
\begin{array}{c}
\begin{tikzpicture}[baseline=(current bounding box.center)]
\node (A) at (0,0) {};
\node (B) at (1,0) {};
\node (C) at (1,1) {};
\node (D) at (0,1) {};
\draw[->] (A) -- node[above] {$f_0$} (B);
\draw[->] (A) -- node[left] {$f_1$} (D);
\draw[->] (B) -- node[below] {$h_1$} (C);
\draw[->] (D) -- node[right] {$h_0$} (C);
\draw[->, bend left=45] (C) to node[above] {$g_0$} (B);
\draw[->, bend right=45] (C) to node[below] {$g_1$} (D);
\end{tikzpicture}
\end{array}
\]
**Definition A.13 (relative pushout).** Let $\vec{g}$ be a bound for $\vec{f}$. A *bound for $\vec{f}$ relative to $\vec{g}$* is a triple $(\vec{h}, h)$ of arrows such that $\vec{h}$ is a bound for $\vec{f}$ and $h \circ h_0 = g_0$ and $h \circ h_1 = g_1$. A *relative pushout (RPO) for $\vec{f}$ relative to $\vec{g}$* is a relative bound $(\vec{h}, h)$ such that for any relative bound $(\vec{k}, k)$ (sometimes called *candidate triple*) there is a unique arrow $j$ for which $j \circ h_0 = k_0$, $j \circ h_1 = k_1$ and $k \circ j = h$. We say that a category *has RPOs* if, whenever a span has a bound, it also has an RPO relative to that bound.
\[
\begin{array}{c}
\begin{tikzpicture}[baseline=(current bounding box.center)]
\node (A) at (0,0) {};
\node (B) at (1,0) {};
\node (C) at (1,1) {};
\node (D) at (0,1) {};
\draw[->] (A) -- node[above] {$f_0$} (B);
\draw[->] (A) -- node[left] {$f_1$} (D);
\draw[->] (B) -- node[below] {$h_1$} (C);
\draw[->] (D) -- node[right] {$h_0$} (C);
\draw[->, bend left=45] (C) to node[above] {$g_0$} (B);
\draw[->, bend right=45] (C) to node[below] {$g_1$} (D);
\draw[->, bend left=45] (C) to node[above] {$k_0$} (B);
\draw[->, bend right=45] (C) to node[below] {$k_1$} (D);
\draw[->, bend left=45] (C) to node[above] {$h$} (B);
\draw[->, bend right=45] (C) to node[below] {$k$} (D);
\end{tikzpicture}
\end{array}
\]
**Definition A.14 (idem pushout).** If $\vec{f} : X \to \vec{Y}$ is a span, then a cospan $\vec{g} : \vec{Y} \to Z$ is an *idem pushout (IPO)* for $\vec{f}$ if $(\vec{g}, \text{id}_Z)$ is an RPO for $\vec{f}$ to $\vec{g}$.
**Definition A.15** (partial monoidal category). A category is *partial monoidal* when it has a partial tensor product \( \otimes \) both on objects and on arrows satisfying the following conditions.
On objects, \( X \otimes Y \) and \( Y \otimes X \) are either both defined or both undefined. The same holds for \( X \otimes (Y \otimes Z) \) and \( (X \otimes Y) \otimes Z \); moreover, they are equal when defined. There is a unit object \( \epsilon \), for which \( \epsilon \otimes X = X \otimes \epsilon \) is always defined.
On arrows, the tensor product of \( f : X_0 \to Y_0 \) and \( g : X_1 \to Y_1 \) is defined if and only if \( X_0 \otimes X_1 \) and \( Y_0 \otimes Y_1 \) are both defined. The following must hold when both sides are defined:
1. \( f \otimes (g \otimes h) = (f \otimes g) \otimes h \)
2. \( \text{id}_\epsilon \otimes f = f \otimes \text{id}_\epsilon = f \)
3. \( (f_0 \otimes g_0) \circ (f_1 \otimes g_1) = (f_0 \circ f_1) \otimes (g_0 \circ g_1) \)
A functor of partial monoidal categories preserves unit and tensor product.
**Definition A.16** (spm category). A partial monoidal category is *symmetric* (spm) if, whenever \( X \otimes Y \) is defined, there is an arrow \( \gamma_{X,Y} : X \otimes Y \to Y \otimes X \) called a *symmetry*, satisfying the following equations when the compositions and products are defined:
1. \( \gamma_{X,\epsilon} = \text{id}_X \)
2. \( \gamma_{Y,X} \circ \gamma_{X,Y} = \text{id}_{X \otimes Y} \)
3. \( \gamma_{X_1,Y_1} \circ (f \otimes g) = (g \otimes f) \circ \gamma_{X_0,Y_0} \) for \( f : X_0 \to X_1 \) and \( g : Y_0 \to Y_1 \)
4. \( \gamma_{X \otimes Y,Z} = (\gamma_{X,Z} \otimes \text{id}_Y) \circ (\text{id}_X \otimes \gamma_{Y,Z}) \)
A functor between spm categories preserves unit, product and symmetries.
**Definition A.17** (s-category). An s-category \( \tilde{C} \) is a precategory in which each arrow \( f \) is assigned a finite support \( |f| \subset S \). Further, \( \tilde{C} \) possesses a partial tensor product, unit and symmetries, as in an spm category. The identities \( \text{id}_I \) and symmetries \( \gamma_{I,J} \) are assigned empty support. In addition:
- For \( f : I \to J \) and \( g : J' \to K \), the composition \( g \circ f \) is defined iff \( J = J' \) and \( |f| \cap |g| = \emptyset \); then \( |g \circ f| = |f| \uplus |f| \).
- For \( f : I_0 \to I_1 \) and \( g : J_0 \to J_1 \), the tensor product \( f \otimes g \) is defined iff \( I_i \otimes J_i \) is defined (\( i = 0, 1 \)) and \( |f| \cap |g| = \emptyset \); then \( |f \otimes g| = |f| \uplus |g| \).
The four kinds of category defined above can be arranged in a hierarchy as shown in Figure A.1.
Definition A.18 (monoid). A monoid (or monoid object) \((A, \mu, \eta)\) in a monoidal category \(C\) is an object \(A\) equipped with arrows \(\mu : A \otimes A \to A\), called the multiplication, and \(\eta : \epsilon \to A\), called the unit, such that the following diagrams
\[
\begin{array}{c}
A \otimes (A \otimes A) = (A \otimes A) \otimes A \xrightarrow{\mu \otimes \text{id}} A \otimes A \\
\downarrow \text{id} \otimes \mu \\
A \otimes A \xrightarrow{\mu} A \\
\end{array}
\]
are commutative. When \(C\) is symmetric and \(\mu \circ \gamma = \mu\), we say \(A\) is commutative.
Definition A.19 (co-monoid). A co-monoid \((A, \Delta, \varrho)\) in a monoidal category \(C\) is an object \(A\) equipped with morphisms \(\Delta : A \to A \otimes A\), called the co-multiplication, and \(\varrho : A \to \epsilon\), called the co-unit, satisfying
\[
\begin{array}{c}
A \xrightarrow{\Delta} A \otimes A \\
\downarrow \Delta \\
A \otimes A \xrightarrow{\text{id} \otimes \Delta} A \otimes (A \otimes A) = (A \otimes A) \otimes A \\
\end{array}
\]
When \(C\) is symmetric and \(\gamma \circ \Delta = \Delta\), we say \(A\) is co-commutative.
Definition A.20 (bialgebra). A bialgebra in a symmetric monoidal category \(C\) is given by a tuple \(A = (A, \mu, \eta, \Delta, \varrho, \gamma)\) where \(A\) is an object of \(C\), \(\gamma\) is a symmetry, \((A, \mu, \eta)\) is a monoid
and \((A, \Delta, \varrho)\) is a co-monoid, satisfying
\[
\begin{array}{c}
A \otimes A \xrightarrow{\mu} A \\
\downarrow \Delta \otimes \Delta \\
A \otimes A \otimes A \otimes A \xrightarrow{\text{id} \otimes \gamma \otimes \text{id}} A \otimes A \otimes A \otimes A \xrightarrow{\mu \otimes \mu} A \otimes A \\
\end{array}
\]
\[
\begin{array}{c}
A \otimes A \xrightarrow{\mu} A \\
\downarrow \varrho \otimes \varrho \\
\epsilon \otimes \epsilon = \epsilon \\
\end{array}
\quad
\begin{array}{c}
\epsilon \otimes \epsilon = \epsilon \\
\eta \downarrow \quad \eta \otimes \eta \downarrow \\
A \xrightarrow{\Delta} A \otimes A \\
\end{array}
\quad
\begin{array}{c}
\epsilon \xrightarrow{\text{id}} \epsilon \\
\eta \downarrow \quad \varrho \downarrow \\
A \\
\end{array}
\]
We say \(A\) is commutative (resp. co-commutative) when it is commutative (resp. co-commutative) as a monoid. It is bicommutative when it is both commutative and co-commutative. A bialgebra is qualitative when the following equality holds:
\[
\mu \circ \Delta = \text{id}.
\]
Appendix B
Continuous Time Markov Chains and the logic CSL
In this chapter we briefly recall the basic concepts of CTMCs and the logic CSL (Continuous Stochastic Logic). We follow the presentation given in [6].
Let $AP$ be a fixed, finite set of atomic propositions.
**Definition B.1** (labelled CTMC). A *labelled* CTMC is a tuple $\mathcal{M} = (S, Q, L)$ where $S$ is a finite set of *states*, $Q : S \times S \to \mathbb{R}_{\geq 0}$ is the *rate matrix*, and $L : S \to 2^{AP}$ is a *labelling function* which assigns to each state $s \in S$ the set $L(s)$ of atomic propositions $a \in AP$ that are valid in $s$.
Intuitively, each $q_{s,s'}$ in $Q$ specifies that the probability of moving from state $s$ to $s'$ within $t$ time units (for positive $t$) is $1 - e^{-q_{s,s'} t}$, an exponential distribution with rate $q_{s,s'}$. Hence, the average speed of going from $s$ to $s'$ is $q_{s,s'}^{-1}$. If $q_{s,s'} > 0$ for more than one state $s'$, a competition between the transitions is assumed to exist, known as the *race condition*. For any state $s \in S$, the probability of leaving state $s$ within $t$ time units is given by $1 - e^{t E(s)}$ where $E(s) = \sum_{s' \in S} q_{s,s'}$. A *path* through a CTMC is an alternating sequence $\sigma = s_0 t_0 s_1 t_1 s_2 \ldots$ such that $q_{s_i, s_{i+1}} > 0$ and $t_i \in \mathbb{R}_{\geq 0}$ for all $i \geq 0$. The time stamps $t_i$ denote the amount of time spent in state $s_i$. Let $Paths^{\mathcal{M}}(s)$ denote the set of paths of $\mathcal{M}$ that start in state $s$; $\sigma[i] = s_i$, the $i$-th state of $\sigma$; $\sigma @ t$ denote the state of $\sigma$ occupied at time $t$; and $Pr_s$ denote the unique probability measure on sets of paths that start in $s$. We now recall the logic CSL.
**Definition B.2** (syntax of CSL). For $a \in AP$, $p \in [0, 1]$, $t \in \mathbb{R}_{\geq 0}$ and $\bowtie \in \{\leq, <, \geq, >\}$, the state formulae of CSL are defined by the grammar
$$\Phi ::= \top \mid a \mid \Phi \land \Phi \mid \neg \Phi \mid S_{\bowtie p}(\Phi) \mid P_{\bowtie p}(\varphi)$$
where path formulae are defined by
\[ \varphi ::= \quad X\Phi \quad | \quad \Phi U \Phi \quad | \quad \Phi U^{\leq t} \Phi . \]
**Definition B.3 (semantics of CSL).** The state formulae are interpreted over the states of a CTMC. Let \( M = (S, R, L) \) with proposition labels in \( AP \), the definition of the satisfaction relation is as follows.
\[
\begin{align*}
s \models \top & \iff \text{for all } s \in S \\
s \models a & \iff a \in L(s) \\
s \models \neg \Phi & \iff s \not\models \Phi \\
s \models \Phi_1 \land \Phi_2 & \iff s \models \Phi_1 \text{ and } s \models \Phi_2 \\
s \models S_{\text{exp}}(\Phi) & \iff \lim_{t \to \infty} Pr_s \{ \sigma \in Paths^M(s) \mid \sigma @ t \models \Phi \} \asymp p \\
s \models P_{\text{exp}}(\varphi) & \iff Pr_s \{ \sigma \in Paths(s) \mid \sigma \models \varphi \} \asymp p .
\end{align*}
\]
Semantics of path formulae is defined by:
\[
\begin{align*}
\sigma \models X\Phi & \iff \sigma[1] \text{ is defined and } \sigma[1] \models \Phi \\
\sigma \models \Phi_1 U \Phi_2 & \iff \exists k \geq 0. (\sigma[k] \models \Phi_2 \land \forall 0 \leq i \leq k. \sigma[i] \models \Phi_1) \\
\sigma \models \Phi_1 U^{\leq t} \Phi_2 & \iff \exists x \leq t. (\sigma @ x \models \Phi_2 \land \forall y < x. \sigma @ y \models \Phi_1) .
\end{align*}
\]
Appendix C
Reaction rules for the 802.11 CSMA/CA RTS/CTS protocol
We now define an algebraic form for the bigraphs used in Chapter 6 to model the 802.11 CSMA/CA RTS/CTS protocol. Bigraph $N_0 : \epsilon \rightarrow \langle s, \{a_A, a_B, a_C\} \rangle$ represents a wireless network of three stations. It is drawn in Figure 6.3b. Its algebraic definition is given by
$$N_0 = \text{share} (m_A \parallel m_B \parallel m_C) \text{ by } \psi \text{ in } (\text{id}_{a_Aa_Ba_C} \mid S^l_{a_A} \mid S^l_{a_B} \mid S^l_{a_C})$$
$$\psi = [\{0, 1\}, \{0, 1, 2\}, \{1, 2\}] ,$$
where terms
$$m_A = (\text{id}_{1,a_Aa_B} \parallel /x \parallel /r \parallel /q)(M_{r,x}.(w_A \mid A_{a_A}.1))$$
$$m_B = (\text{id}_{1,a_B} \parallel /x \parallel /r)(M_{r,x}.A_{a_B}.1)$$
$$m_C = (\text{id}_{1,a_Ca_B} \parallel /x \parallel /r \parallel /q)(M_{r,x}.(w_C \mid A_{a_C}.1)) ,$$
indicate stations A, B and C, respectively, and terms
$$w_A = W^l_{xa_B}.Q_q.1$$
$$w_C = W^l_{xa_B}.Q_q.1$$
encode A’s and C’s packets, respectively. Graphical representations of placing $\psi : 3 \rightarrow 3$ and the other placing we will use in the model are reported in Table C.1.
The following algebraic terms are used to concisely indicate packets:
$$w = W^l_{xd}.Q_q.1$$
$$w' = W^l_{xd}.Q_q.1$$
$$rts = RTS^l_{xd}.Q_q.1$$
$$rts' = RTS^l_{xd}.Q_q.1$$
$$cts = CTS^l_{xd}.Q_q.1$$
$$p = P^l_{xd}.Q_q.1 .$$
Bigraphs indicating machine nodes at various stages of the protocol are given by:
\[
m_w = (\text{id}_{1,aqd} \parallel /x \parallel /r)(M_{rx}.(\text{id} \mid w \mid A_a, 1))
\]
\[
m_l = (\text{id}_{1,aqd} \parallel /x \parallel /r)(M_{lxz}.(\text{id} \mid rts \mid A_a, 1))
\]
\[
m_b = (\text{id}_{1,aqd} \parallel /x \parallel /r)(M_{brx}.(\text{id} \mid rts \mid A_a, 1)) .
\]
We begin with the algebraic description of the stochastic reaction rules. Reaction rule \( R_{RTS}(t, l) : \text{mpa} \rightarrow \langle \text{sm}, \{a, d, q\} \rangle \) is defined as
\[
R_{RTS}(t, l) = \text{share} (id \parallel m_w) \text{ by } \psi_1 \text{ in } (\text{id}_{1,adq} \parallel S'_a)
\]
\[
\overset{\rho_1(t)}{\longrightarrow}
\]
\[
\text{share} (id \parallel m_l) \text{ by } \psi_1 \text{ in } (\text{id}_{1,adq} \parallel S'_{Lx})
\]
\[
\psi_1 = [\{1\}, \{0, 1\}] .
\]
Reaction rule \( R_{CTS}(t, t', l) : \text{papamm} \rightarrow \langle \text{ssmm}, \{x, a, d, q\} \rangle \) is given by
\[
R_{CTS}(t, t', l) = \text{share} (m_l \parallel M_{Dxz}.(\text{id} \mid A_d, 1) \parallel id_2) \text{ by } \psi_2 \text{ in } (\text{id}_{2,xadq} \parallel (S'_{La} \mid S'_{d}) \parallel /r)
\]
\[
\overset{\rho_2}{\longrightarrow}
\]
\[
\text{share} (send \parallel rec \parallel id_2) \text{ by } \psi_2 \text{ in } (\text{id}_{2,xadq} \parallel (S'_{La} \mid S'_{Ld}) \parallel /r) ,
\]
with
\[
send = (\text{id}_{1,aqdr} \parallel /x)(M_{lxz}.(\text{id} \mid cts \mid A_a, 1)) \quad \quad rec = M_{lxz}.(\text{id} \mid A_d, 1)
\]
\[
\psi_2 = [\{0, 2, 3\}, \{1, 2, 3\}, \{2\}, \{3\}]
\]
An algebraic definition of reaction rule \( R_{DATA}(l) : \text{papa} \rightarrow \langle \text{mm}, \{x, a, d, q\} \rangle \) is
\[
R_{DATA}(l) = (\text{id}_{2,xdaq} \parallel /r)(send \parallel rec) \overset{\rho_3(l)}{\longrightarrow} (\text{id}_{2,xdaq} \parallel /r)(send' \parallel rec)
\]
\[
send' = (\text{id}_{1,aqdr} \parallel /x)(M_{lxz}.(\text{id} \mid p \mid A_a, 1)) .
\]
Reaction rule $R_{ACK}(t, t', l) : \hat{p}ap\hat{a}mm \rightarrow \langle smmm, \{x, a, d, q\} \rangle$ can be defined as follows
$$R_{ACK}(t, t', l) = \text{share} (send' || rec || id_2) \text{ by } \psi_2 \text{ in } (id_{2,xaqd} || (S'_{Lo} || S'_{Ld}) || /r)$$
$$\xrightarrow{\rho_4}$$
$$\text{share} (send'' || rec' || id_2) \text{ by } \psi_2 \text{ in } (id_{2,xaqd} || (S'_{Ca} || S'_{Cd})),$$
with
$$send'' = (id_{1,aq} || /r)(M_{rq},(id | A_{a}.1))$$
$$rec' = (id_{1,dx} || /r)(M_{rx},(id | A_{d}.1)).$$
Reaction rule $R_{BACK1} : \hat{p}ap\hat{a}mm \rightarrow \langle smmm, \{x, a, d, g\} \rangle$ is given by
$$R_{BACK1}(t, t', l) = lhs_1 \xrightarrow{\rho_5} rhs_1,$$
with
$$lhs_1 = \text{share} (m_b || M_{Prx},(id | A_{d}.1) || id_2) \text{ by } \psi_2 \text{ in } (id_{2,xaqd} || (S'_{Lo} || S'_{d}) || /r)$$
$$rhs_1 = \text{share} (m_w || M_{rx},(id | A_{d}.1) || id_2) \text{ by } \psi_2 \text{ in } (id_{2,xaqd} || (S'_{Ca+1} || S'_{d}) || /r).$$
Similarly, reaction rule $R_{BACK2}(t, t', l) : \hat{p}ap\hat{a}mm \rightarrow \langle smmm, \{x, a, d, q\} \rangle$ is
$$R_{BACK2}(t, t', l) = lhs_2 \xrightarrow{\rho_6} rhs_2,$$
where
$$lhs_2 = \text{share} (m_b || M_{Drx},(id | A_{d}.1) || id_2) \text{ by } \psi_2 \text{ in } (id_{2,xaqd} || (S'_{Lo} || S'_{d}) || /r)$$
$$rhs_2 = rhs_1.$$
Finally, we define instantaneous reaction rules. Rule $R_D(t) : m\hat{p}\hat{a} \rightarrow \langle ms, \{a', a, x\} \rangle$ is given by
$$R_D(t) = \text{share} (id || M_{rg},(id | A_{a}.1)) \text{ by } \psi_1 \text{ in } (id_{1,ax} || S'_{La'}) || /r)$$
$$\xrightarrow{}$$
$$\text{share} (id || M_{Drx},(id | A_{a}.1)) \text{ by } \psi_1 \text{ in } (id_{1,ax} || S'_{La'} || /r).$$
Reaction rule $R_P(t, t') : mm\hat{p}\hat{a} \rightarrow \langle ms, \{a', a'', a, x\} \rangle$ is defined as
$$R_P(t, t') = lhs_3 \xrightarrow{} rhs_3,$$
where terms $lhs_3$, $rhs_3$ and placing $\psi_3$ are given by
\[
\begin{align*}
lhs_3 &= \text{share}(\text{id}_2 \parallel M_{D,rx}.(\text{id} \mid A_a,1)) \text{ by } \psi_3 \text{ in } (\text{id}_{1,ax} \parallel (S^t_{a,a'} \mid S^t_{L,a'}) \parallel /r) \\
rhs_3 &= \text{share}(\text{id}_2 \parallel M_{P,rx}.(\text{id} \mid A_a,1)) \text{ by } \psi_3 \text{ in } (\text{id}_{1,ax} \parallel (S^t_{a,a'} \mid S^t_{L,a'}) \parallel /r) \\
\psi_3 &= \{\{1\}, \{2\}, \{0, 1, 2\}\}.
\end{align*}
\]
Reaction rule $R_B(t): \hat{p}\hat{a}\hat{p}a \rightarrow \langle mm, \{xagd\} \rangle$ is
\[
R_B(t) = m_I \parallel (\text{id}_{1,xd} \parallel /r)(M_{P,rx}.(\text{id} \mid A_d,1)) \longrightarrow m_b \parallel (\text{id}_{1,xd} \parallel /r)(M_{P,rx}.(\text{id} \mid A_d,1)).
\]
An algebraic expression for reaction rule $R_{UD}(t): m\hat{p}\hat{a} \rightarrow \langle ms, \{a', a, x\} \rangle$ is
\[
R_{UD}(t) = lhs_4 \longrightarrow rhs_4,
\]
with
\[
\begin{align*}
lhs_4 &= \text{share}(\text{id} \parallel M_{D,rx}.(\text{id} \mid A_a,1)) \text{ by } \psi_1 \text{ in } (\text{id}_{1,ax} \parallel S^t_{Ca'} \parallel /r) \\
rhs_4 &= \text{share}(\text{id} \parallel M_{rx}.(\text{id} \mid A_a,1)) \text{ by } \psi_1 \text{ in } (\text{id}_{1,ax} \parallel S^t_{Ca'} \parallel /r).
\end{align*}
\]
Reaction rule $R_U(t): m\hat{p}\hat{a} \rightarrow \langle ms, \{a', a, x\} \rangle$ is defined as
\[
R_U(t) = lhs_5 \longrightarrow rhs_5,
\]
where
\[
\begin{align*}
lhs_5 &= \text{share}(\text{id} \parallel M_{P,rx}.(\text{id} \mid A_a,1)) \text{ by } \psi_1 \text{ in } (\text{id}_{1,ax} \parallel S^t_{Ca'} \parallel /r) \\
rhs_5 &= \text{share}(\text{id} \parallel M_{rx}.(\text{id} \mid A_a,1)) \text{ by } \psi_1 \text{ in } (\text{id}_{1,ax} \parallel S^t_{Ca'} \parallel /r).
\end{align*}
\]
Reaction rule $R_{UC}(t): m\hat{p}\hat{a} \rightarrow \langle ms, \{a', a, x\} \rangle$ is given by
\[
R_{UC}(t) = lhs_6 \longrightarrow rhs_6,
\]
with
\[
\begin{align*}
lhs_6 &= \text{share}(\text{id} \parallel M_{rx}.(\text{id} \mid A_a,1)) \text{ by } \psi_1 \text{ in } (\text{id}_{1,ax} \parallel S^t_{Ca} \parallel /r) \\
rhs_6 &= \text{share}(\text{id} \parallel M_{rx}.(\text{id} \mid A_a,1)) \text{ by } \psi_1 \text{ in } (\text{id}_{1,ax} \parallel S^t_{a} \parallel /r).
\end{align*}
\]
Appendix D
Interplay between network events and policy events
In this chapter we show step-by-step how the bigraphical model of the current network configuration is updated in real-time, according to different kind of events from the stream database component. We indicate models by $S_0, S_1, \ldots$. When a sequence of reaction rules is applied, due to confluence only one interleaving is considered. Refer to Chapter 7 for a complete description of the HWBig system and the formal definition of the bigraphical representation of WLANs.
Initially, no stations are present in the network, as given by bigraph $S_0$ in Figure 7.2. Now we consider the following scenario consisting of eight events. A summary of the policy events of the example, and their encodings, is given in Table D.1, and a summary of the sequence of reactions is given in Tables D.2 and D.3.
1. The user specifies and enforces a new policy that all out-going TCP traffic for any machine is forbidden.
This user-action corresponds to a policy event in the stream database, which triggers the generation (by the bigraph encoder component) of the reaction rules for a forbid policy. We denote the policy by P1 and give the corresponding reaction rules in Figure D.1. Tagging reaction rule $R_{P1r}$ matches any out-going channel of any machine that is part of the WLAN\footnote{An i/o-channel is present thus a DHCP lease has already been granted.} and complies with P1. On the right hand-side, the matched channel is tagged. Enforcing reaction rule $R_{P1e}$ matches any untagged channel. On the right hand-side, a TCP-node (i.e. the policy constraint) is linked to the matched channel. Moreover, the channel is tagged to avoid the introduction of duplicate constraints. Untagging reaction rule $R_{P1u}$ removes the tags placed by the applications of the previous reaction rules. Finally, the bigraph encoder component generates bigraph $B_{\varphi P1}$,
| Event | Encoding | Short form |
|-----------|--------------------------------------------------------------------------|------------|
| Enforce P1|  | $\rightarrow^*_{P1}$ |
| Enforce P2|  | $\rightarrow^*_{P2}$ |
| Enforce P3|  | $\rightarrow^*_{P3}$ |
| Drop P1 |  | $\rightarrow^*_{P1}$ |
| Drop P2 |  | $\rightarrow^*_{P2}$ |
Table D.1: Summary of the policy event encodings used in the example.
as given in Figure D.1e. It matches any untagged out-going channel. As described in Section 7.5, P1 is violated when $B_{\varphi_{P1}}$ is a match in the temporary model in which all blocked out-going channels are tagged. At this point, the bigraph analysis component enforces P1 on $S_0$. Formally, $S_0 \rightarrow^*_{P1} S_0$, i.e. no reaction rule is applicable because no machines are present in $S_0$. Policy P1 is also checked. Since $B_{\varphi_{P1}}$ is not a match, then P1 is holds.
2. **Machine MAC1 enters a location covered by the router’s signal.**
Since $S_0 \not\models \varphi_{MAC1}$, the bigraph encoder component generates rule $R_A(MAC1)$ and the bigraph analysis component updates the system: $S_0 \rightarrow^*_A S_1$. The updated model is shown in Figure D.2. After this step, the bigraph analysis component checks whether P1 is violated. In this case, reaction rule $R_{P1_1}$ is not applicable and $B_{\varphi_{P1}}$ is not a match in $S_1$. Therefore, the policy is not violated.
3. **A DHCP lease is granted to machine MAC1.**
In the current state, we have $S_1 \models \varphi_{MAC1}$ and $S_1 \not\models \psi_{MAC1}$. Therefore, the bigraph analysis component updates the system by applying rules $R_{J1}$, $R_{J2}(MAC1, IP1, N1)$, and $R_{J3}(MAC1)$: $S_1 \rightarrow^*_{J} S_2$. The resulting state is shown in Figure D.3. After the topology update, the bigraph analysis component enforces P1 in $S_2$. The following updates are performed: $S_2 \rightarrow^*_{P1_1} \rightarrow^*_{P1_E} \rightarrow^*_{P1_U} S_3$.\(^2\) In the following, we indicate this sequence of applications as $\rightarrow^*_{P1}$. The graphical form of bigraph $S_3$ is given in Figure D.4.
4. **Machine MAC2 enters the router’s signal range.**
Since $S_3 \not\models \varphi_{MAC2}$, the bigraph analysis component performs the steps described above for machine MAC1. Initially, the topology is updated with $S_3 \rightarrow^*_A S_4$. Then,
\(^2\)In this case $\rightarrow^*$ is $\rightarrow$ because only one machine is part of the network in $S_2$.
Figure D.1: Policy P1: forbid all out-going TCP traffic for any machine. Tag sequence is $\rightarrow P_{1T}^*$, enforce sequence is $\rightarrow P_{1E}^*$, untag sequence is $\rightarrow P_{1U}^*$, and drop sequence is $\rightarrow P_{1D}^*$.
Figure D.2: State $S_1$: machine MAC1 enters the router’s signal range.
Figure D.3: State $S_2$: a DHCP lease is granted to machine MAC1.
P1 is enforced with the usual tagging, matching, untagging sequence: $S_4 \rightarrow_{P1}^* S_4$. Observe that no update is performed because reaction rule $R_{P1E}$ is not applicable. This is because there are no out-going channels requiring to be blocked in machine MAC2. Finally $\varphi_{P1}$ is checked. Since $B_{\varphi_{P1}}$ is not a match in $T_4$ (i.e. the bigraph obtained by tagging $S_4$), then P1 is not violated. The bigraph for updated model $S_4$ is given in Figure D.5.
5. **Machine MAC2 joins the WLAN.**
The status of the current configuration is $S_4 \models \varphi_{MAC2}$ and $S_4 \not\models \psi_{MAC2}$. Hence, the bigraph encoder components generates the reaction rule encoding a join event. Those are then applied by the bigraph analysis component to update the model: $S_4 \rightarrow_j^* S_4'$. Afterwards, policy P1 is enforced with $S_4' \rightarrow_{P1}^* S_5$. Finally, the bigraph analysis component checks whether $\varphi_{P1}$ holds. Since $B_{\varphi_{P1}}$ does not occur in temporary model $T_5$, we have $S_5 \models \varphi_{P1}$. Updated model $S_5$ is given in Figure D.6.
The sequence of events and the corresponding model updates described so far are summarised in Table D.2, and we continue with further events as follows.
6. **The user specifies and enforces a new policy that blocks TCP and UDP traffic for machine MAC2.**
| Event | Actions | WLAN model | Status |
|------------------------|-------------------------------------------------------------------------|------------|--------|
| Initial state | — | $S_0$ | — |
| 1. P1 enforced | $\begin{bmatrix} S_0 \rightarrow^*_{P1} S_0 \\ S_0 \rightarrow^*_{P1T} T_0 \\ B_{\varphi_{P1}} \text{ match } T_0 \\ T_0 \rightarrow^*_{P1U} S_0 \end{bmatrix}$ | $S_0$ | $S_0 \models \varphi_{P1}$ |
| 2. MAC1 appears | $\begin{bmatrix} S_0 \not\models \varphi_{MAC1} \\ S_0 \rightarrow_A S_1 \rightarrow^*_{P1} S_1 \\ S_1 \rightarrow^*_{P1T} T_1 \\ B_{\varphi_{P1}} \text{ match } T_1 \\ T_1 \rightarrow^*_{P1U} S_1 \end{bmatrix}$ | $S_1$ | $S_1 \models \varphi_{P1}$ |
| 3. MAC1 joins the WLAN | $\begin{bmatrix} S_1 \models \varphi_{MAC1} \text{ and } S_1 \not\models \psi_{MAC1} \\ S_1 \rightarrow^*_J S_2 \rightarrow^*_{P1} S_3 \\ S_3 \rightarrow^*_{P1T} T_3 \\ B_{\varphi_{P1}} \text{ match } T_3 \\ T_3 \rightarrow^*_{P1U} S_3 \end{bmatrix}$ | $S_3$ | $S_3 \models \varphi_{P1}$ |
| 4. MAC2 appears | $\begin{bmatrix} S_3 \not\models \varphi_{MAC2} \\ S_3 \rightarrow_A \rightarrow^*_{P1} S_4 \\ S_4 \rightarrow^*_{P1T} T_4 \\ B_{\varphi_{P1}} \text{ match } T_4 \\ T_4 \rightarrow^*_{P1U} S_4 \end{bmatrix}$ | $S_4$ | $S_4 \models \varphi_{P1}$ |
| 5. MAC2 joins the WLAN | $\begin{bmatrix} S_4 \models \varphi_{MAC2} \text{ and } S_4 \not\models \psi_{MAC2} \\ S_4 \rightarrow^*_J \rightarrow^*_{P1} S_5 \\ S_5 \rightarrow^*_{P1T} T_5 \\ B_{\varphi_{P1}} \text{ match } T_5 \\ T_5 \rightarrow^*_{P1U} S_5 \end{bmatrix}$ | $S_5$ | $S_5 \models \varphi_{P1}$ |
Table D.2: Generation of models $S_0 \rightarrow \cdots \rightarrow S_5$.
To model this forbid policy, which we denote by P2, the bigraph encoder component generates the reaction rules and bigraphs given in Figure D.7. Reaction rules $R_{P2_{T1}}$, $R_{P2_{T2}}$, and $R_{P2_{T3}}$ are used to tag MAC2’s out-going channels already linked to a constraint. In particular, the first rule tags channels linked to a TCP-node \textit{and} an UDP-node, the second tags channels linked only to a TCP-node, and the third tags channels linked only to an UDP-node. Reaction rules $R_{P2_{E1}}$, $R_{P2_{E2}}$, and $R_{P2_{E3}}$ are used enforce the policy. They link the appropriate policy constraint to a tagged channel. Reaction rule $R_{P2_0}$ removes the tag from a channel, while reaction rules $R_{P2_{D1}}$ and $R_{P2_{D2}}$ are applied when P2 is dropped. Bigraph $B_{\varphi P2}$ encodes policy predicate $\varphi P2$. After the generation phase, the bigraph analysis component enforces P2 on model $S_5$. The sequence of applications is $S_5 \longrightarrow^*_{P2} S_6$. The updated model is given in Figure D.8. Then, P1 and P2 are checked. Observe that both $B_{\varphi P1}$ and $B_{\varphi P2}$ do not match $T_0$, because all channels in the model can be tagged. Therefore, we conclude compliance with both policies in state $S_6$.
7. \textit{The user specifies and enforces a new policy that allows out-going TCP traffic for machine MAC2.}
We denote the new allow policy by P3. Again two steps are performed in the update process. The first consists of the generation by the bigraph encoder component of reaction rule $R_{P3}$ and bigraph $B_{\varphi P3}$ (see Figure D.9). The left hand-side matches any out-going channel in machine MAC2 that is linked to a TCP-node. On the right hand-side, the constraint is removed. Bigraph $B_{\varphi P3}$ is used to encode predicate $\varphi P3$. It is defined as the left hand-side of enforcing reaction rule $R_{P3}$. The second step is enforcing of policy P3 on the system by the bigraph analysis component: $S_6 \longrightarrow^*_{P3} S_7$. The updated model is shown in Figure D.10. Observe there is compliance with P3, but not with P1 and P2.
8. \textit{MAC2’s signal disappears.}
This is recorded on the stream database ad a network event. Since $S_7 \models \varphi_{MAC2}$ and $S_7 \models \psi_{MAC2}$, the machine needs to be removed from the model. First, the bigraph analysis component drops all the policies. Second, sequences for a machine leaving the router’s signal range ($R_R(MAC2)$) and removing a machine ($R_{L1}(MAC2)$, $R_{L2}(MAC2, IP2, N2)$) are applied. Formally, $S_7 \longrightarrow^*_{P2} \longrightarrow^*_{P4} \longrightarrow^*_L \longrightarrow_R S'_7$. Finally, the policies are enforced again on model $S'_7$: $S'_7 \longrightarrow^*_{P1} \longrightarrow^*_{P2} \longrightarrow^*_{P3} S_8$. Observe that $S_8 = S_3$, which is given in Figure D.4. There is compliance with policy P1 because all the out-going channels, namely MAC1’s channels, are blocked, and with policies P2 and P3 because there are no MAC2-nodes in $S_8$. Hence, no matches are possible with $B_{\varphi P2}$ and $B_{\varphi P3}$.
A summary of the model generation sequence $S_5 \longrightarrow \cdots \longrightarrow S_8$ is given in Table D.3.
Figure D.7: Policy P2: forbid out-going TCP and UDP traffic for machine MAC2. Tag sequence is $\rightarrow P_{2T_1} \rightarrow P_{2T_2} \rightarrow P_{2T_3}$, enforce sequence is $\rightarrow P_{2E_1} \rightarrow P_{2E_2} \rightarrow P_{2E_3}$, untag sequence is $\rightarrow P_{2U_1}$, and drop sequence is $\rightarrow P_{2D_1} \rightarrow P_{2D_2}$.
Figure D.8: State $S_6$: P2 is enforced.
Figure D.9: P3: Allow out-going TCP traffic for machine MAC2. Enforce sequence is $\rightarrow \rightarrow^*_{P3}$.
| Event | Actions | WLAN model | Status |
|-------|---------|------------|--------|
| 6. P2 enforced | $S_5 \rightarrow^*_{P2} S_6$
$S_6 \rightarrow^*_{P1U} T_6$
$B_{\varphi P1} \text{ match } T_6$
$T_6 \rightarrow^*_{P1U} S_6$
$S_6 \rightarrow^*_{P2TL} T_6$
$B_{\varphi P2} \text{ match } T_6$
$T_6 \rightarrow^*_{P2U} S_6$ | check P1
check P2 | $S_6$
$S_6 \models \varphi_{P1}$
$S_6 \models \varphi_{P2}$ |
| 7. P3 enforced | $S_6 \rightarrow^*_{P3} S_7$
$S_7 \rightarrow^*_{P1T} T_7$
$B_{\varphi P1} \text{ match } T_7$
$T_7 \rightarrow^*_{P1U} S_7$
$S_7 \rightarrow^*_{P2TL} T_7$
$B_{\varphi P2} \text{ match } T_7$
$T_7 \rightarrow^*_{P2U} S_7$
$B_{\varphi P3} \text{ match } S_7$ | check P1
check P2
check P3 | $S_7$
$S_7 \not\models \varphi_{P1}$
$S_7 \not\models \varphi_{P2}$
$S_7 \models \varphi_{P3}$ |
| 8. MAC2 disappears | $S_7 \models \varphi_{MAC2}$ and $S_7 \models \psi_{MAC2}$
$S_7 \rightarrow^*_{P2} \rightarrow^*_{P1} \rightarrow^*_{L} \rightarrow^*_{R} S'_7$
$S'_7 \rightarrow^*_{P1} \rightarrow^*_{P2} \rightarrow^*_{P3} S_8$
$S_8 \rightarrow^*_{P1T} T_8$
$B_{\varphi P1} \text{ match } T_8$
$T_8 \rightarrow^*_{P1U} S_8$
$S_8 \rightarrow^*_{P2TL} T_8$
$B_{\varphi P2} \text{ match } T_8$
$T_8 \rightarrow^*_{P2U} S_8$
$B_{\varphi P3} \text{ match } S_8$ | check P1
check P2
check P3 | $S_8$
$S_8 \models \varphi_{P1}$
$S_8 \models \varphi_{P2}$
$S_8 \models \varphi_{P3}$ |
Table D.3: Generation of models $S_5 \rightarrow \cdots \rightarrow S_8$.
Figure D.10: State $S_7$: P3 is enforced.
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Index
abstraction, 16
arrow, 32, 33
axiom, 22–24, 62
bigraph, 4, 11, 14
abstract, 16, 20, 52
binding, 35
concrete, 12, 14, 15, 96
directed, 35
discrete, 21
elementary, 19
ground, 29
lean, 16
prime, 21
solid, 29
stochastic, 34, 111
with sharing, 5, 39, 42, 61, 73
BiographER, 93, 104, 105, 129
bigraphical reactive system, 5, 30, 34, 65, 95, 118
stochastic, 34, 41
BiLog, 31, 40, 106, 127, 134, 160
binary relation, 41, 43, 46
domain restriction, 41
range restriction, 41
bisimulation, 3, 34
BRS, see bigraphical reactive system
category, 4, 32, 169
codomain, 32
composition, 18, 19, 25, 32, 41, 43, 97, 100, 169
concretion, 16, 34
context, 69, 83
minimal context, 30
Continuous Time Markov Chain, 34, 95, 105, 132, 175
control, 12, 14, 23, 40, 75, 114
arity, 14
CSL, 112, 134, 175
CTMC, see Continuous Time Markov Chain
DAG, see directed acyclic graph
decomposition, 69, 85
directed acyclic graph, 2, 39, 67, 96
domain, 32
edge, 12, 14
idle edge, 16
epimorphism, 34, 54, 171
formation rule, 27, 116, 142
functor, 32, 52, 170
forgetful, 33
graph rewriting, 3
Graphviz, 105
Homework system, 139
homset, 32
identity, 19
IEEE 802.11, 111, 118
interface, 12, 19, 33
inner face, 12, 42
outer face, 12, 26, 42
ion, 23
isomorphism, 34, 75, 171
labelled transition system, 3, 30
layer, 49
leaf, 59
lean-support equivalent, 16
level, 59
link, 4, 12
closed link, 21
idle link, 12
link graph, 13
concrete, 14, 99
linking, 23, 64
LTS, see labelled transition system
match, 148
matching algorithm, 36, 69, 73, 95
matching problem, 21
merge product, 26, 62
MiniSat, 103
monomorphism, 34, 54, 171
name, 12, 14, 23
inner name, 12, 30
outer name, 12, 64
nesting, 26, 62
nesting diagram, 48
network event, 142
node, 4, 11, 14
atomic node, 12
leaf, 58
shared node, 40
normal form, 21, 50, 59
discrete normal form (DNF), 24
stratified normal form, 59, 61
object, 32, 33
occurrence, 20, 34, 40, 64, 69
concrete, 21
parallel product, 25, 62
parameter, 69, 83
pattern, 69
permutation, 22, 58
place, 12
idle place, 12
orphan, 42, 58
partners, 42
shared, 42, 58
siblings, 12, 42, 64
place graph, 13
concrete, 14, 96
elementary, 22, 58
with sharing, 42, 55
placing, 22, 58
point, 12
policy, 150
port, 12, 23
precategory, 32, 50, 170
predicate, 148
process algebra, 2, 21
process calculus, see process algebra
rate, 34, 65
reaction rule, 4, 29, 30, 105, 143
instantaneous, 132
stochastic, 34, 118
reactum, 30, 64, 105
redex, 29, 30, 34, 64, 105
region, see root
relative pushout, 55, 171
renaming, 23
rewrite rule, 3
root, 12, 39, 42, 76
idle root, 24, 54
partners, 54
RPO, see relative pushout
rule priority, 118
s-category, 32, 50, 172
SAT, 95, 101
self-duality, 53
signature, 12, 14, 94
site, 12, 25, 39, 42, 76
guarding, 29
SNF, see normal form
sort, 27, 40, 65, 115, 141
spatial logic, 31
spm category, 52, 172
state, 29
stratified notation, 49
sub-graph isomorphism problem, 72
substitution, 23
support, 12, 15, 32, 52, 59
support equivalent, 16
support translation, 15
symmetry, 22, 32, 172
target, 69
tensor product, 19, 20, 25, 32, 42, 46, 99,
100, 172
term rewriting, 3
tree, 2
ubiquitous computing, 1, 40
wireless network, 2, 111, 141
WLAN, see wireless network
|
Machine Learning-based Channel Prediction for Widely Distributed Massive MIMO with Real-World Data
David Löschenbrand*, Markus Hofer*, Lukas Eller†‡, Markus Rupp†, Thomas Zemen*
*Center for Digital Safety & Security, AIT Austrian Institute of Technology GmbH, Austria
†Institute of Telecommunications, TU Wien, Austria
‡Christian Doppler Laboratory for Digital Twin Assisted AI for Sustainable Radio Access Networks, Institute of Telecommunications, TU Wien, Austria
Email: firstname.lastname@example.org
Abstract—Widely distributed massive multiple input multiple output (WD-MIMO) systems are promising candidates for future mobile networks, given their improved energy efficiency, coverage and throughput. To spatially separate the users, WD-MIMO relies heavily on accurate and timely channel state information (CSI), which is hard to obtain in high mobility scenarios. To reduce the amount of pilot overhead necessary for obtaining CSI, we investigate linear and machine learning (ML)-based CSI prediction techniques and compare them in terms of achievable spectral efficiency (SE). The considered methods are constant continuation, Wiener prediction, dense, and long short term memory (LSTM) neural networks (NNs). Real-world data from a widely distributed massive MIMO channel measurement campaign with various base station (BS) antenna array aperture sizes is utilized for NN training and validation purposes. The capability of the considered CSI prediction methods to mitigate the effects of channel aging in realistic high-mobility scenarios is analyzed for different geometries of the massive MIMO BS antenna arrays. We can demonstrate a SE improvement of 2 bit/s/Hz for the LSTM NN compared to a Wiener predictor.
Index Terms—AI/ML, CSI prediction, massive MIMO, widely distributed, spectral efficiency (SE)
I. INTRODUCTION
While fifth generation (5G) wireless communication systems are currently being deployed and in use world-wide, the search for and evaluation of 6G candidate technology solutions already started in the scientific community. One of the most promising concepts is widely distributed (or cell-free) massive multiple input multiple output (MIMO) systems [1], which dissolves the cellular network structure and follows a user-centric approach, with different subsets of distributed base station (BS) antennas (also called access points) serving different users in an optimized and cooperative way. This approach offers several advantages over conventional massive MIMO, such as (i) a strong transmit energy reduction due to reduced distance to the user equipment (UE), (ii) a consistent throughput over the coverage area avoiding the strong throughput drop at cell edges, and (iii) mitigation of large-scale fading [2].
For conventional and widely distributed massive MIMO systems alike, accurate channel state information (CSI) at the BS side is a key requirement to avoid degraded performance for mobile users [3] when operating in time division duplex (TDD) mode. Hence, robust channel prediction algorithms, exploiting the sounding reference signals (SRSs), are of strong interest to avoid the expiration of the CSI. Moreover, these prediction algorithms must be tested with real-world data to verify their robustness.
The effects of outdated CSI on the spectral efficiency (SE) of a communication system and mitigation strategies using prediction are thoroughly investigated in, e.g., [4]–[7]. However, no real-world data is used in the analysis. There have been many recent studies on high mobility users in massive MIMO systems that utilize advanced prediction methods, such as Kalman filtering [8], [9] and machine learning (ML) [9], [10]. However, the methods are validated using only simulated data.
To the best of the authors knowledge, [11] shows the first validation of a ML based CSI predictor using real-world data. However, only one conventional collocated BS antenna configuration is considered.
In this paper, we provide the following scientific contributions:
• We present two ML algorithms based on a dense neural networks (NNs) and long short term memory (LSTM) architecture for predicting the CSI from uplink data for the downlink transmission.
• Training and testing is performed with CSI obtained from the AIT distributed massive MIMO testbed with 32 antenna elements spread in different patterns over an aperture of 46.5 m.
• We present a comparison in terms of SE for linear prediction algorithms and ML based methods, demonstrating a SE improvement of 2 bit/s/Hz for the LSTM NN compared to a Wiener predictor.
II. SIGNAL MODEL
The notation we use is largely based on [7]. We consider an uplink massive MIMO system, where $K$ users $k \in \{1, \ldots, K\}$ with single-antenna terminals send pilots and data to a BS deploying $A$ antenna elements $a \in \{1, \ldots, A\}$, without neighboring cells. We assume an orthogonal frequency-division
multiplexing (OFDM) system where the individual subcarriers $g$ are orthogonal and are therefore treated individually. The dependency on frequency is thus omitted in the considerations below to facilitate notation.
The effects of the wireless channel on the scalar transmitted information symbol $s_{k,m}$ at time index $m$ are modelled by a complex scalar channel coefficient $h_{k,a,m}$. The channel coefficients of one user $k$ to all $A$ BS antennas are collected in a channel vector
$$\mathbf{h}_{k,m} = [h_{k,1,m} \ h_{k,2,m} \ \ldots \ h_{k,A,m}]^T \in \mathbb{C}^{A \times 1}. \quad (1)$$
The channel matrix
$$\mathbf{H}_m = [\mathbf{h}_{1,m} \ \mathbf{h}_{2,m} \ \ldots \ \mathbf{h}_{K,m}] \in \mathbb{C}^{A \times K} \quad (2)$$
contains the individual channel vectors of all users. Similarly, the beam-forming matrix
$$\mathbf{W}_m = [\mathbf{w}_{1,m} \ \mathbf{w}_{2,m} \ \ldots \ \mathbf{w}_{K,m}] \in \mathbb{C}^{A \times K} \quad (3)$$
contains the individual beam-forming vectors $\mathbf{w}_m \in \mathbb{C}^{A \times 1}$ for user $k$ and all $A$ BS antenna elements.
The vector collecting the received symbols from all $K$ users at time index $m$ is
$$\hat{\mathbf{s}}_m = \mathbf{W}_m^H \mathbf{y}_m = \mathbf{W}_m^H \mathbf{H}_m \mathbf{s}_m + \mathbf{W}_m^H \mathbf{n}_m, \quad (4)$$
with $\mathbf{s}_m \in \mathbb{C}^{K \times 1}$ the vector collecting the transmitted information symbols of all users, and $\mathbf{W}_m^H \mathbf{n}_m \sim \mathcal{CN}\left(0, \frac{\sigma^2}{P} \mathbf{I}_K\right)$ denoting filtered complex Gaussian noise. $P$ is the average transmit power of each user.
The received symbol estimate from one single user $k$ at the BS
$$\hat{s}_{k,m} = \mathbf{w}_{k,m}^H \mathbf{y}_m = \mathbf{w}_{k,m}^H \mathbf{H}_m \mathbf{s}_m + \mathbf{w}_{k,m}^H \mathbf{n}_m$$
$$= \mathbf{w}_{k,m}^H \mathbf{h}_{k,m} s_{k,m} + \mathbf{w}_{k,m}^H \mathbf{n}_m + \sum_{k' \neq k} \mathbf{w}_{k,m}^H \mathbf{h}_{k',m} s_{k',m}, \quad (5)$$
where the first term in the second line is the scaled signal, the second term is filtered and scaled Gaussian noise $\mathbf{w}_{k,m}^H \mathbf{n}_m \sim \mathcal{CN}\left(0, \frac{\sigma^2}{P}\right)$, and the third term is interference from other users $k' \neq k$.
### A. Multi-Step CSI Prediction
It is shown theoretically, by simulation, and with measured data in numerous papers (e.g., [4], [7], [11], [12]) that high mobility of the users causes severe degradation of SE in massive MIMO systems, often referred to as *channel aging*. It is caused by the acquired CSI at the BS being outdated when it is used for down-link beam-forming. To mitigate this effect, CSI prediction is a proven approach [13].
Given $N$ consecutive pilot symbols and assuming perfect channel estimation, we obtain the predicted channel vector $\tilde{\mathbf{h}}_{k,m+\ell}$ with prediction horizon $\ell$ as
$$\tilde{\mathbf{h}}_{k,m+\ell} = f\left(\tilde{\mathbf{h}}_{k,m-\ell}\right), \quad (6)$$
with $f$ the prediction function and
$$\tilde{\mathbf{h}}_{k,m-\ell} = \begin{bmatrix} \mathbf{h}_{k,m-\ell} \\ \mathbf{h}_{k,m-\ell-1} \\ \vdots \\ \mathbf{h}_{k,m-\ell-N+1} \end{bmatrix} \in \mathbb{C}^{AN \times 1}. \quad (7)$$
stacking $N$ consecutively received pilot.
We consider the following methods to predict the CSI in this work:
- constant continuation, i.e., $\tilde{\mathbf{h}}_{k,m+1} = \mathbf{h}_{k,m-\ell}$,
- Wiener prediction as introduced in [7], and
- ML approaches that will be detailed in Section III, specifically:
- a small dense network with one hidden layer and four nodes in total that serves as baseline algorithm, and
- a more complex LSTM-based network.
For each of this methods, we evaluate the prediction quality by evaluating the achievable SE.
### B. Achievable Spectral Efficiency for Multiple Users
By introducing the predicted channel $\tilde{\mathbf{h}}_{k,m+1}$ in (5), we obtain the estimated received symbol from one single user $k$ at the BS after receive combining as
$$\hat{s}_{k,m+1} = \mathbf{w}_{k,m+1}^H \tilde{\mathbf{h}}_{k,m+1} s_{k,m+1} + \mathbf{w}_{k,m+1}^H \mathbf{n}_{k,m+1}$$
$$+ \mathbf{w}_{k,m+1}^H (\mathbf{h}_{k,m+1} - \tilde{\mathbf{h}}_{k,m+1}) s_{k,m+1}$$
$$+ \sum_{k' \neq k} \mathbf{w}_{k,m+1}^H \mathbf{h}_{k',m+1} s_{k',m+1}. \quad (8)$$
The first term is the intended signal multiplied by the effective channel gain
$$\gamma_{k,m+1} = \mathbf{w}_{k,m+1}^H \tilde{\mathbf{h}}_{k,m+1}, \quad (9)$$
the second term is additive noise, the third term is the channel prediction error considered as noise, and the fourth term is interference from other users $k' \neq k$.
The choice of the beam-forming vectors in $\mathbf{W}_m$ greatly affects the capability of a massive MIMO system to suppress the interference from other users. In this work, we utilize regularized zero-forcing (RZF) as a common choice of beam-forming vectors [5], [14]:
$$\mathbf{W}_m = [\mathbf{w}_{1,m} \ \mathbf{w}_{2,m} \ \ldots \ \mathbf{w}_{K,m}]$$
$$= \tilde{\mathbf{H}}_m \left(\tilde{\mathbf{H}}_m^H \tilde{\mathbf{H}}_m + \frac{\sigma^2}{P} \mathbf{I}_K\right)^{-1}, \quad (10)$$
where the columns of the predicted channel matrix $\tilde{\mathbf{H}}_m$ are composed of the predicted channel vectors similar to (2).
Considering the signal model (8) and assuming channel prediction with prediction horizon $\ell$ at the BS, the instantaneous signal power is given as the squared absolute value of the effective channel gain $\gamma_{k,m+1}$ and yields
$$S_{k,\ell} = |\gamma_{k,m+1}|^2 = \left|\mathbf{w}_{k,m+1}^H \tilde{\mathbf{h}}_{k,m+1}\right|^2. \quad (11)$$
The instantaneous interference and noise power is defined as the sum of all interference/noise contributions in (8)
\[
I_{k,\ell} = \frac{\sigma^2}{\sqrt{P}} w_{k,m+1}^\text{H} \tilde{h}_{k,m+1}
+ \left| w_{k,m+1}^\text{H} (h_{k,m+1} - \tilde{h}_{k,m+1}) \right|^2
+ \sum_{k' \neq k} \left| w_{k,m+1}^\text{H} h_{k',m+1} \right|^2.
\]
(12)
The instantaneous signal to interference and noise ratio (SINR) is defined as the ratio of the instantaneous signal to interference and noise power
\[
\eta_{k,\ell} = \frac{S_{k,\ell}}{I_{k,\ell}}
\]
(13)
Similar to [4], we define the uplink ergodic achievable SE of user $k$ with prediction horizon $\ell$ as
\[
\text{SE}_{k,\ell} = \mathbb{E} \left\{ \log_2 \left( 1 + \eta_{k,\ell} \right) \right\},
\]
(14)
where the expectation is over channel realizations.
III. CSI Prediction with NNs
In this section, we introduce two NN-based models for CSI prediction of measured data to mitigate channel aging. For both models, the input tensors consist of batches of dimension $N \times A \times 2Q$, where $N$ is the number of consecutive pilot symbols, $A$ is the number of BS antennas, and $Q$ is the total number of subcarriers considered. We split the pilot symbols in real and imaginary part and append them in the last dimension of the input tensor, hence its last dimension is $2Q$.
A. Baseline Dense Algorithm
This model is chosen in the most simplistic form to serve as a baseline for other CSI prediction methods. It consists of a reshaping layer to manipulate the dimensions of the input tensor to fit the subsequent dense layer. The dense layer consists of only $N$ fully connected nodes and comprises the only trainable parameters in the model. The following reshaping layer serves the purpose of restoring the output tensor dimensions to match the input dimensions. Note that each of the $A$ antenna samples is processed individually, therefore correlation among BS antennas can inherently not be exploited. Figure 1 shows the architecture of the baseline algorithm.
B. LSTM Algorithm
The proposed model architecture is common in video frame prediction and is repurposed here to serve as CSI prediction that uses "frames" of dimension $A \times 2Q$. With this approach, spatial correlation among BS antennas can be exploited. A sequence of three convolutional LSTM layers is followed by a max-pooling layer with pool size $1 \times 3$. After flattening, a dense layer with $2NAQ$ nodes and subsequent reshaping comprises the last processing steps. Figure 2 shows the architecture of the LSTM algorithm.
C. Training and Testing
For each BS configuration, 75% of data points in time are utilized for training purposes, while 25% are used for testing. Table I shows the average duration of training and inference of the proposed models on the CPU of a standard laptop, as well as their number of trainable parameters. The inference times of the constant continuation and Wiener prediction methods are included for comparison.
The training and inference times in Table I are obtained for the values $N = 4$, $A = 32$, and $Q = 20$, which are used in the remainder of this paper. For those parameters, the exact number of trainable parameters is 20 (baseline dense NN) and 4 278 456 (LSTM).
TABLE I: Average training and inference duration on the CPU of a standard laptop, as well as the number of trainable parameters where applicable.
| | Epochs | Train. [s] | Inf. [s] | param. |
|----------|--------|------------|----------|-------------------------|
| baseline | 200 | 430 | 0.1 | $N(N + 1)$ |
| LSTM | 30 | 23100 | 7 | $\mathcal{O}(2NAQ(4AQ/3 + 1))$ |
| constant | - | - | 0.04 | - |
| Wiener | - | - | 0.3 | - |
IV. SCENARIO DESCRIPTION AND MEASUREMENT FRAMEWORK
We conducted a widely distributed massive MIMO vehicle to infrastructure (V2I) channel sounding campaign in March 2022 at the premises of AIT in Vienna, Austria (48.269.080°N, 16.427.637°E). In this campaign, three different array geometries with apertures ranging from 2 m to 46.5 m were installed and tested. Further details of the measurement campaign can be found in [12].
A. Measurement Scenario
Widely distributed and cell-free massive MIMO systems are envisioned to be deployed in urban environments, as they potentially mitigate the burden of large-scale fading, i.e., blocking by buildings, vegetation, or cars. The widely distributed massive MIMO channel sounding campaign is designed to capture these urban channel characteristics, including mobility, multipath propagation, blocking and transition from line of sight (LOS) to non line of sight (NLOS).
Two UE antennas are mounted on the roof of a van. They are referenced in the following as UE 1 and UE 2, respectively. Both UEs are following a fixed trajectory for all measurements, with velocities ranging from 15 km/h to 60 km/h. Figure 3 shows a top view of the scenario under consideration, with the UE trajectory indicated in blue. The starting position of the UE is marked with a white van icon.
On the BS side, 32 array elements consisting of single patch antennas are positioned on the roof top of an office building at a height of 15 m as a horizontal linear array, with vertical polarization and their individual main lobe facing north. The BS antennas are receiving the signal transmitted by the UE. The green area in Fig. 3 shows the position of the BS array. Since there is an office building of similar height to the north of the linear BS antenna array (in the directions the individual patch antenna array elements are pointing to), parts of the UE trajectory are exhibiting NLOS conditions. The measurements are conducted at a carrier frequency $f_c = 3.2$ GHz, i.e., with a wavelength of $\lambda = c_0/f_c = 9.38$ cm.
Three different linear horizontal BS array configurations are implemented, with significant variation in the array aperture and antenna element spacing. Figure 3 shows in green the position where all three array configurations are located. The exact positioning and spacing of the patch antenna elements for each BS array configuration is detailed in Fig. 4 (from [12]). Photos of the three different BS antenna array setups on top of the AIT office building are shown in Fig. 5.
V. RESULTS
We utilize the CSI data obtained in the measurement campaign outlined in Section IV to construct the channel matrix according to (2). Subsequently, we perform CSI prediction according to the methods outlined in Section II-A (constant continuation and Wiener prediction) and Section III (dense NN and LSTM NN). The predicted CSI (6) is then used to calculate the ergodic achievable SE using (14).
The CSI is acquired and predicted with a sampling rate of $T_s = 1$ ms, i.e., a prediction horizon of $\ell = 3$ corresponds to predicting $(\ell + 1)T_s = 4$ ms into the future. The temporal correlation of the fading process [7] for the Wiener filter are assumed stationary for the whole test data-set. For the temporal correlation, a rectangular Doppler spectrum is assumed to obtain a robust predictor, see also [15]. The spectral support in this paper is determined by maximizing the SE with an exhaustive search over the maximum Doppler frequency. We
chose a maximum Doppler frequency of $\nu_D = 30$ Hz, which corresponds to a relative velocity of the users of $10$ km/h. Utilizing a bathtub-like Doppler spectrum according to a Clarke’s model does not yield any improvements compared to the rectangular spectrum. No spatial correlation is assumed between antennas.
### A. Spectral Efficiency
In Fig. 6, we show SE$_{k,\ell}$ as defined in (14) versus the prediction horizon $\ell$. We use $N = 4$ pilot symbols, BS conf. 1 and compare all considered channel prediction methods. The constant continuation, i.e., utilizing the last known CSI value for beam-forming, yields low SE and is not suitable for high mobility scenarios. The baseline dense NN algorithm works astonishingly well for low prediction horizons and yields comparable SE values to the Wiener prediction method. The LSTM approach, however, clearly outperforms the other considered methods and improves the SE by about 2 bit/s/Hz even for high prediction horizons. For $\ell = 3$ and using the LSTM approach, the SE is 4.47 bit/s/Hz, which is almost four times more than the constant continuation approach (1.32 bit/s/Hz) and a 160% increase over the Wiener predictor (2.79 bit/s/Hz).
In Fig. 7 we show the results for BS conf. 2, where we increased the spatial diversity separating two antenna groups by about 45 m. The basic behaviour is similar to the results in Fig. 6. However, the LTSM algorithm shows a small improvement by about 10% in Fig. 7.
Finally, in Fig. 8 we show the results for the 32 widely distributed antenna elements over an aperture of 46.5 m and a spacing of 1.5 m between the antenna elements. Again, the LSTM-based NN is able to accurately predict the CSI. However, the baseline dense NN is considerably worse than for BS conf. 1 and 2. This can be attributed to the fact that there is a great variety in channel realizations for BS conf. 3 that cannot be reproduced by the small number of nodes in the baseline dense NN.
### B. Testing with Different BS Conf. Data Sets
We tested the SE performance of the considered NNs with the respective BS configuration data sets that have not been used for training to evaluate their capability to handle new channel realization data and evaluate their reliance on correlation among BS antennas. Table II list the corresponding results for a prediction horizon $\ell = 1$.
For the baseline dense NN, we notice similar SE for all test data sets, regardless of the training BS configuration. For the LSTM-based NN, we notice a significant drop in SE of approximately 25% when training with either BS conf. 1 or 2 and testing with BS conf. 3. However, when training with
Fig. 8: SE$_{k,\ell}$ over prediction horizon $\ell$, when using the BS conf. 3 data set for training and testing.
TABLE II: SE for prediction horizon $\ell = 1$ and all combinations of BS antenna configurations as training and test data.
| SE [bit/s/Hz] | Test data set |
|---------------|----------------|
| | BS conf. 1 | BS conf. 2 | BS conf. 3 |
| **constant continuation** | 2.96 | 3.08 | 2.94 |
| **Wiener predictor** | 4.91 | 5.03 | 4.95 |
| **baseline dense NN** | | | |
| Training data set: | | | |
| BS conf. 1 | 5.10 | 4.83 | 4.90 |
| BS conf. 2 | 4.89 | 4.77 | 4.70 |
| BS conf. 3 | 4.19 | 3.95 | 4.05 |
| **LSTM NN** | | | |
| Training data set: | | | |
| BS conf. 1 | 6.75 | 5.45 | 5.08 |
| BS conf. 2 | 5.86 | 7.04 | 5.20 |
| BS conf. 3 | 6.55 | 6.56 | 7.07 |
BS conf. 3, the SE for all test data sets stays almost constant. We conclude that that the great variety of observed channel realizations in the widely distributed BS conf. 3 data set is beneficial for LSTM training purposes. Moreover, correlation among BS antennas is either not leveraged by the NNs or does not play a significant role in this specific case, as it is shown in [12] that BS conf. 3 hardly shows spatial correlation.
VI. CONCLUSION
We introduced a simple dense NN and a more complex LSTM-based method to perform CSI prediction on real-world cell-free (widely distributed) massive MIMO CSI data. We evaluated the NN predictors in terms of achievable SE and compared them to two standard approaches, namely constant continuation and Wiener prediction. The LSTM-based NN shows superior prediction quality, with an increase in SE of 160% over the Wiener filter for a prediction horizon of 4 ms. Further, we show that a widely distributed BS antenna setup yields favorable training data due to the large channel realization variety. Spatial BS antenna correlation does not significantly contribute to the prediction quality.
ACKNOWLEDGEMENTS
The work of David Löschnenbrand, Markus Hofer and Thomas Zemen is funded within the Principal Scientist grant Dependable Wireless 6G Communication Systems (DEDICATE 6G) at the AIT Austrian Institute of Technology. The work of Lukas Eller has been funded by the Christian Doppler Laboratory for Digital Twin assisted AI for sustainable Radio Access Networks, Institute of Telecommunications, TU Wien. The financial support by the Austrian Federal Ministry for Labour and Economy and the National Foundation for Research, Technology and Development and the Christian Doppler Research Association is gratefully acknowledged.
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|
Green roofs as a means of pollution abatement
D. Bradley Rowe
Department of Horticulture, Michigan State University, A212 Plant and Soil Sciences Bldg., East Lansing, MI 48824, USA
ARTICLE INFO
Article history:
Received 29 July 2010
Received in revised form 22 September 2010
Accepted 15 October 2010
Keywords:
Air pollution
Carbon sequestration
Energy conservation
Stormwater quality
Vegetated roofs
ABSTRACT
Green roofs involve growing vegetation on rooftops and are one tool that can help mitigate the negative effects of pollution. This review encompasses published research to date on how green roofs can help mitigate pollution, how green roof materials influence the magnitude of these benefits, and suggests future research directions. The discussion concentrates on how green roofs influence air pollution, carbon dioxide emissions, carbon sequestration, longevity of roofing membranes that result in fewer roofing materials in landfills, water quality of stormwater runoff, and noise pollution. Suggestions for future directions for research include plant selection, development of improved growing substrates, urban rooftop agriculture, water quality of runoff, supplemental irrigation, the use of grey water, air pollution, carbon sequestration, effects on human health, combining green roofs with complementary related technologies, and economics and policy issues.
© 2010 Elsevier Ltd. All rights reserved.
1. Introduction
Green roofs entail growing plants on rooftops, which partially replaces the vegetation that was destroyed when the building was constructed. In doing so they provide numerous benefits that can help offset the negative aspects of pollution, especially in the urban environment. They can improve stormwater management by reducing runoff and improving water quality, conserve energy, mitigate the urban heat island, increase longevity of roofing membranes, reduce noise and air pollution, sequester carbon, increase urban biodiversity by providing habitat for wildlife, provide a more aesthetically pleasing environment to work and live, and improve return on investment compared to traditional roofs (Czerniel Berndtsson, 2010; Dunnett and Kingsbury, 2004; Getter and Rowe, 2006; Mentens et al., 2006; Oberndorfer et al., 2007; Rowe and Getter, 2010).
They are generally categorized as either ‘intensive’ or ‘extensive’. Intensive green roofs are frequently designed as public places and may include trees, shrubs, and hardscapes similar to landscaping found at ground level (Fig. 1). They generally require substrate depths greater than 15 cm and generally require ‘intense’ maintenance (Snodgrass and McIntyre, 2010). Intensive roofs also tend to be more expensive than extensive roofs because of the need for a more structurally sound building to support the weight. In contrast, extensive green roofs often never seen, require minimal maintenance, and are generally built with substrate depths less than 15 cm (Fig. 2). Because of the shallower depth, plant choices are limited to grasses, herbaceous perennials, annuals, and drought tolerant succulents such as Sedum. Due to building weight restrictions and costs, shallow extensive green roofs are most common. The type of roof installed can have a significant impact on the ecological, social, and economic services it provides in terms of pollution abatement.
This review will evaluate published research to date on how green roofs can help mitigate pollution, how green roof materials influence the magnitude of these benefits, and suggest future research directions.
2. Criteria for selection of articles
To be included in this review, papers had to be written in English and to maximize scientific credibility of this review they had to be published in peer-reviewed journals. The author acknowledges that much early work on green roofs was written in German, but is not readily available to most of the world and much of it was not published in peer-reviewed journals. With some exceptions, papers from proceedings of conferences were not included unless they were published within the last two years and nothing else exists on that particular topic. It is
expected that work appearing in proceedings would have been published in a peer-reviewed journal within that period of time. If it was not, it was assumed that the authors felt the work was flawed in some way and not worthy of publication or it was submitted and rejected.
3. Air pollution
Polluted air is directly attributed to declines in human health (Mayer, 1999). Nearly one-quarter of the people in the U.S. live where there are unhealthful short-term levels of particle pollution.
while roughly one in ten people live where there are unhealthful levels year-round (ALA, 2010). Increased mortality rates in 95 urban areas within the US have been linked to elevated levels ozone (Bell et al., 2004). In Canada, the Ontario Medical Association attributes 9500 premature deaths per year (OMA, 2008) and estimates increased costs of health care ($506.64 M) and lost productivity ($374.18) as a result of air pollution (OMA, 2005). The most common health related symptoms of air pollution are increased occurrences of respiratory illnesses such as asthma and a greater incidence of cardiovascular disease (Pope et al., 1995).
There has been much published on the ability of plants to clean the air, but little specific to green roofs. Vegetation removes pollutants in several ways. Plants take up gaseous pollutants through their stomates, intercept particulate matter with their leaves, and are capable of breaking down certain organic compounds such as poly-aromatic hydrocarbons in their plant tissues or in the soil (Baker and Brooks, 1989). In addition, they indirectly reduce air pollutants by lowering surface temperatures through transpirational cooling and by providing shade, which in turn decreases photochemical reactions that form pollutants such as ozone in the atmosphere. For example, Akbari et al. (2001) reported that when maximum daily temperatures in Los Angeles were less than 22 °C, ozone levels were below the California standard of 90 parts per billion; at temperatures above 35 °C, practically all days were smoggy. In addition, by reducing the need for air conditioning, a lower requirement for energy results in lower emissions from power plants (Rosenfeld et al., 1998).
In urban areas, trees have been shown to provide a significant contribution to the reduction of air pollutants (Akbari et al., 2001; Nowak, 2006; Rosenfeld et al., 1998; Scott et al., 1998). In the U.S. alone, Nowak (2006) estimated that trees remove 711,000 metric tons per year. However, in many urban sites there is little space to plant trees or cultivate an urban forest because of the plethora of impervious surfaces such as streets, parking lots, and rooftops. For example, in the mid-Manhattan west section of New York, 94% of the land is covered with impervious surface which leaves little room for planting trees at ground level (Rosenzweig et al., 2006). However, rooftops which often comprise 40–50% of the impermeable area in an urban area provide an opportunity to replace impermeable surfaces with vegetation (Dunnett and Kingsbury, 2004).
It is estimated that 2000 m² of uncut grass on a green roof can remove up to 4000 kg of particulate matter (Johnson and Newton, 1996). In practical terms, a gasoline powered automobile produces approximately 0.01 g of particulate matter for every mile driven. If a vehicle is driven 10,000 miles per year, then 0.1 kg of particulate matter is then released annually into the atmosphere. Thus, one square meter of green roof could offset the annual particulate matter emissions of one car (City of Los Angeles, 2006). Regarding specific pollutants, Clark et al. (2005) estimate that if 20% of all industrial and commercial roof surfaces in Detroit, MI were traditional extensive sedum green roofs, over 800,000 kg (889 tons) per year of NO₂ (or 0.5% of that areas emissions) would be removed. In Singapore, sulphur dioxide and nitrous acid were reduced 37% and 21%, respectively, directly above a green roof (Tan and Sia, 2005).
In Toronto, Currie and Bass (2008) studied the effects of green roofs on air pollution using the Urban Forest Effects (UFORE) dry deposition model developed by the USDA Forest Service. The model quantified levels and hourly reduction rates of NO₂, SO₂, CO₂, PM₁₀ (particles of 10 μm or less), and ozone as well as their economic value. UFORE calculations were based on vegetation cover, hourly weather data, and data on concentration of pollutants. Trees and shrubs were more effective in removing contaminants than herbaceous perennials largely due to greater leaf surface area. Although intensive green roofs with trees and shrubs are more favorable in terms of reducing pollution, extensive green roofs can still play a supplementary role in regards to air quality.
Yang et al. (2008) also utilized a dry deposition model to quantify the impact of green roofs on air pollution in Chicago. Results showed that air pollutants were removed at a rate of 85 kg ha⁻¹ yr⁻¹ with ozone accounting for 52% of the total followed by NO₂ (27%), PM₁₀ (14%), and SO₂ (7%). The greatest quantity of pollutants were removed during the month of May which further substantiates the value of plants since during a normal year the greatest amount of growth would be expected to occur during Spring. Similarly, the lowest rate of removal occurred during February when plants were dormant. Based on the Yang et al. model, if all rooftops in Chicago were covered with intensive green roofs the quantity of pollutants removed would increase to 2046.89 metric tons. However, the installation costs to accomplish this were estimated to be $35.2 billion.
Besides direct amelioration of air pollutants by green roofs, they also reduce emissions indirectly. Rosenfeld et al. (1998) calculated that emissions from coal fired power plants could be reduced by 350 tons of NO₂ per day in Los Angeles by reducing the need for air conditioning. This value equates to 10% reduction in the precursors to smog which to the city of Los Angeles which has an active NOₓ trade program results in a savings of one million dollars per day (Akbari et al., 2001; Rosenfeld et al., 1998).
Furthermore, urban air temperatures can be up to 5.6 °C warmer than the surrounding countryside and for every 0.6 °C increase in air temperature, peak utility load may increase by 2% (US EPA, 2003). On the scale of an individual building, green roofs shade and insulate buildings in combination with evapotranspiration that reduces summer indoor temperatures (Santamouris et al., 2007; Sailor, 2008; Takebayashi and Moriyama, 2007). The role of green roofs in this capacity is primarily through a reduction in heating and cooling requirements for individual buildings and in mitigating the urban heat island on the community level. Because buildings account for 39% and 71% of total energy and electricity consumption, respectively (U.S. Green Building Council, 2008), implementing green roof technology on a wide scale could significantly impact energy consumption and in turn pollution. The effect of green roofs on energy conservation and the urban heat island is beyond the scope of this paper. Castleton et al. (2010) reviews current literature and highlights situations where the greatest energy benefits can be obtained.
Because plant species possess varying abilities to remove air pollutants and reduce emissions they can be selected to maximize improvements in air quality (Benjamin et al., 1996). For example evergreen conifers may provide a greater benefit than deciduous species because they retain their leaves year-round. Reductions in particulate matter, ozone, NOₓ, and SOₓ occur while plants are actively growing and in-leaf. Individual plant species also exhibit vast differences in their ability to uptake pollutants (Morikawa et al., 1998; Takahashi et al., 2003). Morikawa et al. (1998) tested 217 species including Kalanchoe blossfeldiana, a succulent in the Crassulaceae family, for their potential to remove NO₂. Sedum, the most common plant species for traditional extensive green roofs is similar to Kalachoe in that they are both members of the same family and both exhibit Crassulacean Acid Metabolism. Clark et al. (2005) extrapolated Morikawa’s data to compare the annual uptake per unit area of NO₂ for a succulent (Kalanchoe blossfeldiana at 0.03 kg m⁻¹ yr⁻¹), an herbaceous species (Nicotiana tabacum at 1.03 kg m⁻¹ yr⁻¹), and a tree (Eucalyptus viminalis at 1.18 kg m⁻¹ yr⁻¹). Tobacco had 30 times the uptake capacity of the sedum-like succulent, which suggests that sedum may not be the ideal plant if air pollution mitigation is the primary objective of a green roof. In addition to plant selection, Clark et al. (2009) reported that altering the growing substrate by increasing the percentage of organic matter, increasing density, and increasing depth all increase the retention of nitrogen.
As a strategy to remove air pollutants, intensive green roofs are comparable to urban forests as reported by Nowak (2006). If 20% of all existing “green roof ready” buildings in Washington, DC, installed green roofs, the resulting plantings would remove the same amount of air pollution as 17,000 street trees (Deutsch et al., 2005). However, green roofs are much more expensive. A 19 m$^2$ extensive green roof can remove the same quantity of pollutants as a medium sized tree, but the planting costs are approximately $3059 and $400, respectively (Yang et al., 2008). Even so, green roofs provide numerous other benefits in the long-term.
Although trees found at ground level or on intensive garden roofs play a much larger role in improving air quality than grasses or succulents that are often found on extensive green roofs, the added loading requirements and cost of intensive roofs make it unlikely that they will be implemented on a large scale (Currie and Bass, 2008). Shallow green roofs can augment the urban forest, but cannot replace it. The benefit is difficult to quantify in dollars since the improvement in air quality and thus human health is a benefit to society and not the individual building owner. Reduction in air pollution quantified economically through emission reduction credits could help offset the cost gap for installing green roofs (Clark et al., 2008a).
4. Carbon dioxide
There is little doubt that the earth is warming (National Research Council, 2001). Part of this may be due to natural cycles, but the increase in temperature has coincided with the industrial revolution and the burning of fossil fuels. Burning fossil fuel releases CO$_2$ as a by-product of combustion and CO$_2$ is often implicated as a cause because it is one of the atmospheric gases that keeps terrestrial energy from escaping into space, thus resulting in higher temperatures due to the greenhouse effect. According to the Intergovernmental Panel on Climate Change (IPCC, 2007), human activity related to the combustion of fossil fuels has increased carbon dioxide (CO$_2$) concentrations in the atmosphere 32% since 1750. In the future, emissions of CO$_2$ due to fossil fuel combustion will probably continue to increase, for example, the U.S. Department of Energy (2010) has proposed constructing over 100 new coal fired power plants by 2017 to meet expected demands for energy.
Green roofs can play a small part in reducing CO$_2$ in the atmosphere in two ways. First, carbon is a major component of plant structures and is naturally sequestered in plant tissues through photosynthesis and into the soil substrate via plant litter and root exudates. Second, as stated above, they reduce energy needs by insulating individual buildings and by mitigating the urban heat island. A green roof will eventually reach a carbon equilibrium (plant growth = plant decomposition), but initially this man-made ecosystem will serve as a carbon sink. Getter et al. (2009b) quantified the carbon sequestered by four species of *Sedum* in a 6.0 cm substrate depth extensive green roof in Michigan over a period of two years. At the end of the study above-ground plant material and root biomass stored an average of 168 g C m$^{-2}$ and 107 g C m$^{-2}$, respectively, with differences among species. Substrate carbon content averaged 913 g C m$^{-2}$. In total, this entire extensive green roof system held 1188 g C m$^{-2}$ in combined plant material and substrate. However, after subtraction the 810 g C m$^{-2}$ that existed in the original substrate, net carbon sequestration totaled 378 g C m$^{-2}$.
Although, a green roof can act as a carbon sink, one must also consider the embodied energy (total energy consumed, or carbon released, of a product over its life cycle) that goes into constructing it. The components of a green roof likely have a CO$_2$ ‘cost’ in terms of the manufacturing process over and above those of a conventional roof (Kosareo and Ries, 2007). Hammond and Jones (2008) analyzed many building materials from the beginning through the entire production process. Assuming a generic industry root barrier, drainage layer, and 6.0 cm of substrate consisting of half sand and heat expanded slate by volume as was the case in the Getter et al. (2009b) study, total embodied energy for the green roof components are 23.6 kg CO$_2$ per square meter of green roof. This equates to 6448 g C m$^{-2}$ which is considerably greater than the 378 g C m$^{-2}$ that was sequestered. Also, since the roof reaches an equilibrium where carbon assimilation equals carbon decomposition, there will be essentially no additional net carbon sequestration on this roof.
Net sequestration could be improved immensely by altering species selection, substrate depth, substrate composition, and management practices. For example, in the Getter et al. (2009b) study, above-ground sequestration ranged from 64 g C m$^{-2}$ to 239 g C m$^{-2}$ for *S. acre* and *S. album*, respectively. Increasing substrate depth would not only provide a larger volume for carbon storage, it would also enable a wider plant palette that could include larger perennials and even trees. In addition, the composition of the growing substrate could be altered. In the Getter et al. (2009b) study, the heat expanded slate component of the growing substrate accounted for 80% of the embodied energy of the green roof. By using alternate materials, the embodied energy could be reduced substantially. For example, in the Pacific Northwest of North America, volcanic pumice is readily available and is often used as a component in substrates. The pumice has been heat expanded by nature and thus its embodied energy is vastly reduced. Furthermore, management practices such as fertilization and watering would have an impact on embodied energy and carbon sequestration.
However, carbon sequestration by plants and the substrate are only part of the equation. There is also a reduction in CO$_2$ given off from power plants due to the green roof’s ability to insulate individual buildings and reduce the urban heat island. In the U.S., buildings are responsible for 38% of carbon dioxide emissions (U.S. Green Building Council, 2008). When the effects of green roofs on the energy balance of an individual building are plugged into Energy Plus, a building energy model supported by the U.S. Department of Energy, Sailor (2008) found a 2% reduction in electricity consumption and a 9–11% reduction in natural gas. Based on this model, a generic building with a 2000 m$^2$ green roof would result in annual savings ranging from 27.2 to 30.7 GJ of electricity and 9.5 to 38.6 GJ of natural gas, depending on climate and green roof design. When considering the national averages of CO$_2$ produced for generating electricity and burning natural gas (US EPA, 2007; US EPA, 2008a), these figures translate to electricity and natural gas savings of 2.3–2.6 kg CO$_2$ m$^{-2}$ and 0.24–0.97 kg CO$_2$ m$^{-2}$ of green roof each year.
The above estimates pertain only to energy saved by reducing energy flux through the building envelope. There are also indirect reductions of energy use due to the implementation of heat island reduction (HIR) strategies which achieve ambient cooling. Akbari and Konopacki (2005) simulated many different HIR strategies for a variety of climates and building types in the U.S. While not specifically focusing on green roofs, they found that electricity savings due to indirect HIR consisted on average of 25% of energy consumption savings.
As an example of these potential emission savings using Sailor’s (2008) model, the campus of Michigan State University in East Lansing, MI has 1.1 km$^2$ of flat roof surface. If all of these roofs were greened, they could avoid 3,640,263 kg CO$_2$ emitted per year in electricity and natural gas consumption combined. This is the equivalent of taking 661 vehicles off the road each year (US EPA, 2005). These figures depend on climate, green roof design, and source of fuel for electricity and gas.
In the future, green roofs could be incorporated as carbon trading credits in a cap and trade system. Market based carbon trading is a low-cost method for many companies to manage and lower emissions. Chicago Climate Exchange (CCX) is such a pilot trading program that is voluntary in the United States and is the only cap and trade system for all six greenhouse gases in North America. This program seeks to demonstrate that greenhouse gas trading can reduce emissions across different business sectors (CCX, 2010) and is similar to the highly successful sulfur dioxide (SO$_2$) emissions trading program implemented in the 1990s (Chestnut and Mills, 2005). Participation in CCX trading for greenhouse gases could help companies meet their reduction targets by purchasing credits from other companies who have exceeded their reduction target, as well as provide financial incentives for those companies who exceed their reduction goals.
5. Fewer roofing materials in landfills
The mechanical lifespan of a typical conventional roof is approximately 20 years. When these roofs are replaced the old roofing materials must be removed, transported, and will likely be placed in a landfill where they not only take up space, but may also leach pollutants. On the other hand, green roofs are estimated to last 45 years or longer in terms of mechanical lifespan (Kosareo and Ries, 2007). This estimate is based primarily on empirical evidence as modern green roofs are a relatively new practice. Supporting this statement is the roof of the water treatment facility in Zurich, Switzerland, that was installed in 1914 and repaired for the first time in 2005, a period of 91 years.
Green roofs last longer because the bituminous roofing membranes are protected by the growing substrate and plant canopy from ultraviolet radiation and the extreme fluctuations in membrane temperature between night and day. When comparing a green roof to a conventional roof in Toronto, Liu and Baskaran (2003) reported the membrane temperature on a convention roof of 70 °C in the afternoon while the green roof membrane only reached 25 °C. The daily expansion and contraction of the roofing membrane stress the membrane resulting in fatigue and eventual failure.
6. Water quality of stormwater runoff
Much has been written regarding the ability of green roofs to retain stormwater (Czerniel Berndtsson, 2010; Carpenter and Kaluvakolanu, in press; Carter and Jackson, 2007; Carter and Rasmussen, 2006; DeNardo et al., 2005; Getter et al., 2007; Hathaway et al., 2008; Hiltun et al., 2008; Mentens et al., 2006; Palla et al., 2009; Simmons et al., 2008; Spolek, 2008; Stovin, 2009; Teemusk and Mander, 2007; VanWoert et al., 2005a; US EPA, 2009; Villarreal and Bengtsson, 2005). The reduction in runoff generally ranges from 50% to 100% depending on the type of green roof system, substrate composition and depth, roof slope, plant species, preexisting substrate moisture, and the intensity and duration of the rainfall. For example, if 20% of buildings in Washington, DC, had green roofs, they could store approximately 958 million liters (253 million gallons) of rainwater in an average year (Deutsch et al., 2005). Water retained in the substrate will eventually evaporate or will be transpired back into the atmosphere. In addition, water that does runoff is delayed because it takes time for the substrate to become saturated and to drain. Because runoff is released over a longer period of time, green roofs can help keep municipal stormwater systems from overflowing and reduce potential erosion downstream.
In the U.S. there are 772 communities that do not have separate sewer and stormwater systems (US EPA, 2008b). Because sewage and stormwater are funneled through the same pipe in these communities, heavy rain events can result in a Combined Sewage Overflow (CSO) when the volume of runoff exceeds the capacity of the stormwater system. Under these circumstances, raw untreated sewage flows out of relief points into rivers. In New York City, about half of all rainfall events result in a CSO event and collectively they dump 40 billion gallons of untreated wastewater into New York's surface waters every year (Cheney, 2005). Even in communities with separate stormwater management systems, impervious surfaces still contaminate waterways by collecting pollutants such as oil, heavy metals, salts, pesticides, and animal wastes that wash into waterways. By retaining stormwater, green roofs decrease the chance of a CSO event and also reduce the cost associated with stormwater systems because they do not have to be as large.
The quantity of roof runoff influences water quality downstream after it exits the roof. The other side of the equation is how green roofs influence water quality of the effluent as it runs off the roof. Many contaminants present in common roofing materials already leach into the runoff (Clark et al., 2008b; Mason et al., 1999) and these contaminants will still be present in membranes on green roofs. But, do plants and growing substrates influence runoff in a positive or negative way? Do they filter pollutants or provide an additional source of contaminants that exacerbate water quality? Heavy metals and nutrients are contaminants of interest. There is also the possibility that particulate matter cleaned from the air that adhered to leaf surfaces will be washed off by rain and eventually leach into the stormwater system, thus trading air pollution for water pollution. Research results are mixed (Table 2).
At first glance, it appears that green roofs are a source of contaminants. Czerniel Berndtsson et al. (2006) analyzed metals and nutrients (Cd, Cr, Cu, Fe, K, Mn, Pb, Zn, NO$_3$—N, NH$_4$—N, Tot-N, PO$_4$—P, and Tot-P) present in runoff from extensive sedum-moss roofs and non-vegetated roofs and showed that with the exception of N which was retained by the vegetation, green roofs were a source of pollutants. Similarly, total N and P concentrations in runoff from two green roofs in North Carolina were greatest from the green roof relative to the control roof and rainfall itself (Hathaway et al., 2008). Total P load was also greatest from the green roof. In Michigan, Carpenter and Kaluvakolanu (in press) compared runoff from asphalt, gravel ballasted, and extensive green roofs and reported that green roofs had the highest concentration of total solids with no significant differences for nitrate and phosphate concentrations. However, mean mass values for nitrate and phosphate from the green roof were lower than from the asphalt roof. In Pennsylvania, runoff from green roofs contained a higher concentration of most of the nutrients and ions measured relative to a conventional roof, but the concentrations were no different than what would runoff of any planted landscape at ground level (US EPA, 2009). However, even though the concentrations were higher, the total amount was less than the conventional roofs because the conventional roofs retained an average of 50% of all rain that fell on them.
Conflicting data could be due to the fact that the age of the green roof can influence runoff water quality. Although Czerniel Berndtsson et al. (2006) reported higher phosphate levels as discussed above, phosphate was not a problem on older mature roofs. Likewise, on the North Carolina roofs, it was suggested that pollutants would decline over time as the green roof aged. In this case the data was collected on new green roofs and the initial growing substrate contained 15% composted cow manure which likely was a large source of N and P (Hathaway et al., 2008). In one of the pioneer studies on green roofs in Berlin, Germany, retention of PO$_4$ increased from 26% in year one to 80% in year four (Köhler et al., 2002). These roofs also retained a mean of 95%, 88%, 80%, and 67% of Pb, Cd, NO$_3$, and PO$_4$, respectively, over a three year
period. In Toronto, Van Seters et al. (2009) analyzed runoff samples from an extensive green roof for pH, total suspended solids, metals, nutrients, bacteria, and PAH (polycyclic aromatic hydrocarbons). Loads of most chemicals were lower from the green roof relative to the conventional roof with the exception of Ca, Mg, and total P (Van Seters et al., 2009). Although P concentrations regularly exceeded the Ontario receiving water objective during the first year, they fell significantly afterwards suggesting they were being leached from the growing substrate. As organic matter in the original substrate decomposes one would expect that the amount and concentrations of nutrients would decrease.
The time of year and magnitude of the rain event are also important factors. Steusloff (1998) modeled retention capability of extensive green roofs for heavy metals and reported 97%, 96%, 92%, and 99% retention for Cu, Zn, Cd, and Pb, respectively, during the summer and 34%, 72%, 62%, and 91% during winter. Similar to air pollutants, active plant growth can influence runoff water quality. Regarding the magnitude of a rain event, Teemusk and Mander (2007) compared runoff from a green roof and modified bituminous roof in Estonia for pH, BOD (Biochemical Oxygen Demand), COD (Chemical Oxygen Demand), Tot-P, PO₄, Tot-N, NO₃, NH₄, SO₄, Ca, and Mg. Values for pH of the effluent from the green roof increased from 5.2–5.6 to 7.2–8.3, probably due to the carbonate content of the growing substrate. A similar effect on pH was reported on two studies in Pennsylvania, a location where acid rain is a problem (Bliss et al., 2009; US EPA, 2009). Acid rain can exacerbate the leaching of metals such as Cd, Pb, and Zn as their solubility increases as pH decreases (Alsup et al., 2010). During moderate runoff events in the Estonian study, values of COD, BOD, and concentrations of total N and P were greater on the bituminous roof, whereas, during heavy rain events, components were less concentrated and more nitrates and phosphates were washed off the green roof (Teemusk and Mander, 2007). In winter snowmelt all components were greater on the green roof. Higher BOD components from the green roof were likely due to decomposition of plant material.
A direct correlation exists between the magnitude of the rain event and the amount of solids in the effluent. In many cases during smaller rain events, nutrients and sediment that are washed off the conventional roof are retained on the green roof because there was no runoff. This would lead to misleading higher concentrations from the green roof in future larger rain events. This is somewhat reflected in data for a first flush of runoff. Czerniel Berndtsson et al. (2008) measured the first flush and found that with the exception of K and dissolved organic carbon (DOC), concentrations and total volumes of the tested chemicals were higher in the initial first flush than what was washed off later. In contrast, Bliss et al. (2009) reported that most storm events did not exhibit a first flush phenomenon on a green roof in Pittsburgh.
In addition, plant selection, substrate composition, and substrate depth all influence the quality of effluent. Monterusso et al. (2004) compared effluent from green roofs with herbaceous perennials to those growing sedum and found that nitrate concentrations in the runoff were higher from the sedum roofs and also reported higher concentrations from those roofs with a shallower substrate depth. They found no significant differences for P. Similarly, Dunnett et al. (2008b) found that plant composition influenced water retention which likely influenced water quality when comparing differences in vegetation ranging from monocultures of forbs and grasses to combinations of both. The effect of plants is also evident where effluent from an unplanted green roof containing substrate had higher concentrations and totals of N and P than effluent from planted roofs (US EPA, 2009).
Regarding substrate composition, concentrations of both N and P decreased with decreasing percentages of compost in the growing substrate when tested in laboratory columns (Hathaway et al., 2008). Alsup et al. (2010) also found that vegetation and substrate composition influenced the quality of runoff when they tested several substrates for potential use on green roofs. Their results emphasize the point that growing substrates can have an immense effect on the quality of effluent.
Although, the original substrate is important, management of the green roof is also critical. Applications of fertilizers and pesticides to ensure plant growth can be very detrimental to water quality. Emilsson et al. (2007) measured nutrient runoff, nutrient storage, and plant uptake following fertilization of vegetated sedum mats, shoot-established vegetation, and unvegetated substrate following applications of controlled release fertilizer (CRF) or a combination of CRF and conventional fertilizer. Nutrient runoff concentrations and totals increased when conventional fertilizers were used and although the levels decreased over time they were still higher than the concentrations from those roofs fertilized with CRF’s at the end of the experiment. There was also less leaching from roofs with established vegetation compared to those that were recently planted.
Overall, it appears that green roofs can have a positive effect on water quality. Based on the data available, green roofs that were a source of pollutants tended to be new, whereas those that were older with established vegetation were not a problem. The initial nutrient load likely is due to decomposition of organic matter that was incorporated into the original mix. Established vegetation and substrates can improve the water quality of runoff by absorbing and filtering pollutants. Of course, water quality of the effluent is dependent on several factors such as substrate composition, substrate depth, plant selection, age of the roof, fertilization and maintenance practices, the volume of rainfall, local pollution sources, and the physical and chemical properties of those pollutants. Also, the use of soluble conventional fertilizers should be avoided due to the adverse impact on stormwater runoff. If nutrient loading is a problem green roofs could be coupled with other low impact development practices such as rain gardens and bioswales.
7. Noise reduction
Excess noise is not only annoying, it can lead to health problems such as hearing impairment, hypertension and ischemic heart disease, sleep disturbance, and decreased school performance (Öhrström, 1991; Passchier-Vermeer and Passchier, 2000). In urban areas, high noise levels are often a problem in enclosed spaces surrounded by tall buildings, along street canyons, and near industrial areas and airports.
Conventional roofs are generally hard surfaces so the potential to reduce sound pressure from roads and other sources in these areas by implementing green roofs is promising. Vegetation in combination with the growing substrate will absorb sound waves to a greater degree than a hard surface. Van Renterghem and Botteldooren (2008, 2009) studied the effects of intensive and extensive green roofs on sound pressure. They found a linear relationship between the percentage of roof space covered with vegetation and the reduction in sound pressure on the opposite side of the building from the noise source or street canyon. Because green roof growing substrates tend to be coarse, sound waves enter the pore space and are attenuated by the numerous interactions with the substrate particles (Van Renterghem and Botteldooren, 2009). Relative to a non-greened roof the reduction is most pronounced at frequencies in the range from 500 to 1000 Hz with a maximum reduction of 10 dB. Increasing substrate depth improved noise reduction up to a depth of 15–20 cm. Roofs with deeper substrate layers provided no further benefit. Of course, many variables influenced noise attenuation including the
width–height ratios of the canyons, façade absorption, diffuse reflection, and building-induced refraction of sound (Van Renterghem and Botteldooren, 2008). On the inside of a building noise levels also depend on façade insulation, the sound pressure level outdoors, and whether windows are open or closed. Thus green roofs can have a positive influence on buildings near airports, industrial areas, and in urban settings.
8. Future directions for research
8.1. Plants selection
All of the pollution abatement benefits of green roofs stem from the plants, because they are the components that make a green roof green. Keeping a green roof healthy and thriving will influence how well the roof performs in terms of pollution abatement. Many factors determine survival of green roof plant species including substrate depth (Dunnett et al., 2008a; Durham et al., 2007; Getter and Rowe, 2009), solar radiation levels (Getter et al., 2009a), and climate with the limiting factor usually being substrate moisture (ASTM, 2006; Durham et al., 2006; Emilsson, 2008; Monterrusso et al., 2005; Wolf and Lundholm, 2008). Also, fertilization often promotes biomass accumulation which in some cases makes the plants more vulnerable to drought (Rowe et al., 2006). There is evidence that evapotranspiration rates influence stormwater retention and energy conservation (VanWoert et al., 2005b; US EPA, 2009; Voyde et al., 2010) and these need further investigation to maximize transpiration while keeping plant alive. There is also a need for plant research on combinations of plants as there is some evidence that green roofs perform better when designed as ecosystems to promote biodiversity instead of monocultures (Lundholm et al., 2010). Plants need to be evaluated in various locations and climatic regions, as well as for management and maintenance practices. An excellent review of the literature on green roof vegetation in North America was recently published in the journal Landscape and Urban Planning (Dvorak and Volder, 2010).
8.2. Growing substrates
There is a need to develop and use green roof growing substrates that minimize leaching of nutrients and other contaminants while still providing adequate physical and chemical properties for plant growth. Organic matter included in the substrate is very beneficial for plant growth, but when it decomposes it may leach nutrients. Economics dictate that substrate composition will depend on materials that are locally available and can be formulated for the intended plant selection, climatic zone, and anticipated level of maintenance. Economically feasible options should be investigated. Components such as recycled waste materials and by-products from foundries or incinerators have potential, but concentrations of contaminants must be considered. For example, bottom ash collected from the bottom of a furnace following combustion often contains heavy metals (Brunner and Monch, 1986). Even if contaminants are present, it may be possible to leach them before utilizing the material on a green roof. In addition, the addition of activated charcoal may filter pollutants and it is possible that plants may sequester or phytoremediate pollutants before they are released in the effluent (Baker and Brooks, 1989).
8.3. Urban rooftop agriculture
There is currently much interest in sustainable local production of food in urban areas. One obstacle is that in many cities there is very little available land for such practices, but most rooftops are wasted empty spaces that could be utilized for this purpose. However, just as there are challenges in keeping typical drought tolerant plants alive on rooftops in porous shallow substrates, these problems can be amplified when growing vegetables. In preliminary studies at Michigan State University we have experienced difficulty growing vegetables on a green roof that are comparable to the vigor and yield of those grown at ground level without added inputs such as frequent irrigation and fertilizer. The relatively high levels of fertilizer applied that is necessary to obtain similar yields has undoubtedly lead to high levels of nutrient leaching. Which begs the question, are we trading the benefits of local food production for decreased water quality? We must also ask ourselves if growing food on rooftops is an efficient process or are we better off utilizing vacant lots, back yards, or green walls to produce vegetables? Rooftop agriculture is an area of great need in terms of research.
8.4. Water quality, irrigation, and the use of grey water
Additional research is needed to substantiate claims regarding water quality of the runoff from roofs with various substrates and types of vegetation. Also, can grey water be used or will there be a buildup of salts in the substrate that will harm vegetation. Along those lines, will phosphates and other pollutants in grey water be filtered by the green roof or will they end up in the effluent?
Regarding irrigation, proper plant selection relative to substrate depth can eliminate the need in most cases. However, sometimes supplemental water is necessary to keep plants alive during drought episodes so the roof can function at its optimal level. Irrigation may also be positive in terms of energy savings as evapotranspiration from a green roof surface not only helps moderate internal building temperatures, but also may be a cost effective method of temperature control. This is because water that is needed to produce electricity is a significant portion of the cost. Mankiewicz et al. (2009) reported that the cost of cooling air using the local potable water supply is between 41 and 93 times lower than using electric powered air conditioning to obtain the same level of cooling. These figures were determined using cost data for the cities of Chicago, New York, Philadelphia, and Seattle. The cost would be even lower if recycled stormwater or grey water was used instead of drinking water.
8.5. Air pollution and carbon sequestration
There are only a few papers regarding the effects of green roofs on the mitigation of air pollution (Table 1). Air pollution can cost billions of dollars per year from hospital stays, employee absenteeism, and lost productivity. Getter et al. (2009b) quantified the carbon sequestered in a shallow sedum-based extensive green roof, but this is the lower limit of a green roof’s potential. With climate change currently a hot topic, additional research should quantify the carbon sequestration potential of more sophisticated roofs with trees and shrubs.
8.6. Effects on human health
Nitrogen oxides (NOx) resulting from combustion of fossil fuels can form ground level ozone that results in respiratory problems, premature deaths, and reductions in crop yields – all of which have economic impacts (US EPA, 1998). Clark et al. (2008a) reported that green roofs yield an annual benefit of $0.45–$1.70 per m² ($0.04–$0.16 per square foot) in terms of NOx uptake. In addition, when humans view green plants and nature, it has beneficial health effects as well as improved health and worker productivity. Employees that had a view of nature were less stressed, had lower
blood pressure, reported fewer illnesses, and experienced greater job satisfaction (Kaplan et al., 1988; Ulrich, 1984). Green roofs improve urban air quality and by extension public health and quality of life, but these benefits need to be quantified to a better degree.
8.7. Complementary related technologies
Green roofs are only one technology that can help mitigate pollution. Green walls show much promise because they can cover four sides of a building instead of just the top. A similar option is a vine covered trellis suspended over a roof known as a green cloak. In Maryland, Schumann and Tilley (2008) reported that a green cloak reduced maximum daily indoor temperatures by as much as 3.1 °C during July. This reduction is comparable to a green roof in terms of energy savings and has the advantage of being without most of the additional weight of a green roof (Schumann and Tilley, 2008).
What is the impact of green roofs on the efficiency of photovoltaic cells in various climates? How can green roofs be combined
Table 1
Peer-reviewed journal articles written in English on the effects of green roofs on air pollution.
| Reference | Location | Topic |
|-------------------------|-------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Clark et al., 2008a | Michigan, USA | Integrated stormwater, energy consumption, and air pollution benefits into an economic model on the scale of an individual building. Estimates that NO$_x$ reduction would provide an annual benefit of $8895–3392 for a 2000 ft$^2$ green roof and would lead to a mean NPV (net present value) for the green roof that is 24.5–40.2% less than the mean conventional roof NPV. |
| Currie and Bass, 2008 | Toronto, Canada | Effect of various vegetation scenarios (trees, shrubs, green roofs, and green walls) on air pollution estimated using the Urban Forest Effects (UFORE) model. Results indicate that intensive green roofs would have the greatest impact, but extensive roofs could augment the effect of trees and shrubs. |
| Getter et al., 2009b | Michigan, USA | Measured carbon sequestration of sediment-based extensive green roofs over time, included carbon cost embedded in green roof materials, and calculated the reduction in CO$_2$ given off from power plants due to energy savings. |
| Yang et al., 2008 | Illinois, USA | Estimated level of air pollution removal in Chicago using a dry deposition model. Annual removal of pollutants per hectare of green roof was 85 kg ha$^{-1}$ yr$^{-1}$ with the highest and lowest removal during May and February, respectively. Would remove 2046.89 metric tons if all rooftops in Chicago were covered with intensive green roofs. |
Table 2
Peer-reviewed journal articles written in English on water quality of runoff from green roofs.
| Reference | Location | Topic |
|----------------------------------|-------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Alsup et al., 2010 | Illinois, USA | Measured extraction and leachate of several potential green roof substrates with and without vegetation for metals (Cd, Cr, Cu, Fe, Mn, Ni, Pb, and Zn). Found differences among substrates and vegetation influenced runoff. |
| Bliss et al., 2009 | Pennsylvania, USA | Measured SO$_4$, P, COD, Tot-N, PB, ZN, Cd, and turbidity. Levels of P and COD were elevated, but most storm events did not exhibit a first flush phenomenon from the green roof. Both the control and green roofs neutralized slightly acidic rainfall. |
| Carpenter and Kaluvakolanu, in press | Michigan, USA | Compared runoff from asphalt, gravel ballasted, and extensive green roofs. Green roofs had highest concentration of total solids with no significant differences for nitrate and phosphate. Mean mass values for nitrate and phosphate from green roof were lower than from asphalt roof. |
| Czerniel Berndtsson, 2010 | Sweden | Review paper on stormwater |
| Czerniel Berndtsson et al., 2006 | Sweden | Measured runoff from extensive sedum-moss roofs and non-vegetated roofs for metals and nutrients (Cd, Cr, Cu, Fe, K, Mn, Pb, Zn, NO$_3$−N, NH$_4$−N, Tot-N, PO$_4$−P, and Tot-P) and ascertained whether age of roof is significant. Results showed that with the exception of N which was retained by the vegetation, green roofs are a source of contaminants. |
| Czerniel Berndtsson et al., 2008 | Sweden | Measured first flush runoff during simulated rain events. Except for K and dissolved organic carbon (DOC), concentrations and total volumes of the tested chemicals were higher in the initial first flush runoff than when measured after one hour. |
| Emilsson et al., 2007 | Sweden | Measured nutrient runoff, nutrient storage, and plant uptake following fertilization of vegetated sedum mats, shoot-established vegetation, and unvegetated substrate. Compared three rates applied as either a controlled release fertilizer (CRF) or as a combination of CRF and conventional fertilizer. Conventional fertilizers caused high concentrations and total nutrient runoff. Established vegetation reduced leaching. |
| Hathaway et al., 2008 | North Carolina, USA | Runoff from two green roofs, a control roof, and rainfall compared for TKN, NO$_3$ plus NO$_2$, NH$_3$, Tot-N, Tot-P, and OP. Total N and P concentrations in the runoff were greatest from the green roof compared to the control roof and rainfall. Total P load was also greatest from the green roof. |
| Köhler et al., 2002 | Germany | Green roof retained 95%, 88%, 80%, and 67% of Pb, Cd, NO$_3$, and PO$_4$, respectively. Retention of PO$_4$ increased from 26% in year one to 80% in year four following installation. |
| Monterrusso et al., 2004 | Michigan, USA | Compared sedum to native herbaceous perennials growing on four commercially available drainage systems for NO$_3$−N and Tot-P in the runoff. Nitrate concentrations in the runoff were higher from the sedum roofs and from those with a shallower substrate depth. There were no significant differences for P. |
| Steusloff, 1998 | Germany | Modeled retention capability of extensive green roofs for heavy metals. Reported 97%, 96%, 92%, and 99% for Cu, Zn, Cd, and Pb, respectively, during the summer and 34%, 72%, 62%, and 91% during winter. |
| Teemusk and Mander, 2007 | Estonia | Compared runoff from green roof and modified bituminous roof for pH, BOD, COD, Tot-P, PO$_4$, Tot-N, NO$_3$, NH$_4$, SO$_4$, Ca, and Mg). During moderate runoff events values of COD, BOD, and concentrations of total N and P were greater on the bituminous roof. During heavy rain events, components were less concentrated and more nitrates and phosphates were washed off the green roof. All components were higher for the green roof during snowmelt. |
| US EPA, 2009 | Pennsylvania, USA | Compared runoff from green roofs and conventional roofs for pH, EC, turbidity, color, nitrate, P, K, Ca, Fe, Mg, Mn, Na, Zn, and S. Higher concentrations reported for most of nutrients and ions in the runoff, but the loading was not always higher. |
| Van Seters et al., 2009 | Toronto, Canada | Analyzed runoff samples from an extensive green roof for pH, total suspended solids, metals, nutrients, bacteria, and PAH (polycyclic aromatic hydrocarbons). Loads of chemicals were lower than from a conventional roof except for Ca, Mg, and total P. |
with other low impact development practices such as rain gardens? We need to ask if green roofs are the most sustainable and cost effective technology for mitigating urban pollution in each situation. Reflective roofs are probably the most logical choice in desert areas such as Arizona. Even so, one must consider all the benefits that green roofs provide. Reflective roofs may be the best and most cost effective choice for energy conservation of an individual building, but they do not do anything for stormwater management, clean the air, deaden sound, or add anything for aesthetics. Furthermore, growing a lush garden with high fertilizer and water inputs may be aesthetically pleasing and provide greater air pollution and energy savings benefits, but it could also result in a higher risk of water pollution.
8.8. Economics and policy
What it really comes down to is economics because of the significant cost barrier between green and conventional roofs. Wong et al. (2003) compared the life cycle costs of roof gardens and conventional roofs and determined economic benefits by incorporating energy costs into life cycle costs. Saiz-Alcazar et al. (2006) conducted a life cycle assessment of a green roof in Madrid based primarily on energy savings. Carter and Keeler (2008) conducted a cost benefit analysis for an extensive roof in an urban watershed and determined the net present value (NPV). Kosareo and Ries (2007) compared the environmental impacts of the fabrication, transportation, installation, operation, maintenance, and disposal of a conventional ballasted roof, an extensive roof, and an intensive roof. Clark et al. (2008a) conducted an NPV analysis comparing a conventional roof to a green roof that integrated stormwater, energy, and air pollution benefits of green roofs into an economic model on the scale of a specific building. Niu et al. (2010) built on the work of Clark et al. (2008a) and scaled the benefits at the city wide scale using Washington, DC. Blackhurst et al. (in press) conducted a life cycle assessment using market prices for building materials, construction, energy conservation, stormwater management, and reductions in greenhouse gas emissions to evaluate private and social costs and benefits. Studies such as these are critical for making the economic case for green roofs.
Regarding policy, Carter and Fowler (2008) evaluated existing international and North American green roof policies at the federal, municipal, and community levels and discussed the advantages and disadvantages of regulation, financial incentives, and funding of demonstration or research projects. They then made recommendations on how to successfully implement green roof policy for Athens, GA. If green roofs are to be adopted on a large scale in places like North America, then changes in public policy must be a driver as they are in Germany.
The cost gap between green and conventional roofs can be reduced through research that illuminates the benefits. For example, potential future cap and trade programs for CO$_2$ would influence energy costs, and in turn improve the green roofs benefits-cost analysis. Further research is necessary to determine the economic impacts of CO$_2$, as well as non-CO$_2$ emissions such as NOx and methane. In addition, other social and environmental benefits of green roofs such as reduced health costs, improved water quality, and other benefits that don’t have much to do with pollution such as providing habitat for wildlife and improved aesthetics need to be quantified.
These challenges are not insurmountable, but like most problems we face today, viable solutions require an interdisciplinary team to work together. A horticulturist may look at individual plant species, an engineer may be interested in heat flux through a building envelope, and an architect wants to make sure the building remains standing and does not leak. However, plant selection will influence heat flux and a building’s structural integrity will limit the substrate depth and thus plant selection. All of these aspects are connected and thus the need for interdisciplinary research to help mitigate the problems of our built environment. Since roofs represent 21–26% of urban areas (Wong, 2005), they provide a unique opportunity to utilize these typically unused spaces to address pollution concerns while also protecting of our environment through more sustainable practices.
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|
THE ANTI-NUCLEAR FACTOR
AS AN AUTO-ANTIBODY
BY
D.M. WEIR, M.B., Ch.B.
Department of Bacteriology
University of Edinburgh
Thesis submitted for the Degree of Doctor of Medicine
October, 1962.
PREFACE
It is interesting to ponder the reason for the flowering of interest, observation and experimental activity centred on the notion of auto-immunity, observed over the past decade. An important element in this development must be attributed to the refinements in immunological techniques for the detection and study of antibody, not the least among which was the observation of Coons et al. (1953) that tissue antibody can be identified specifically by an immunofluorescence sandwich technique and by White (1954) of the antibody nature of Russell bodies experimentally produced in rabbit spleen cells. These observations were the prelude to an important series of immunofluorescence studies reported in 1957 and 1958 showing anti-thyroid antibodies (White 1957), auto-antibodies to nervous tissue in experimental animals (Beutner et al. 1958) and the simultaneous report from three different laboratories of anti-nuclear activity in Systemic Lupus Erythematosus (Friou 1957, Holborow, Weir and Johnson 1957, and Holman and Kunkel 1957).
Since this time, a flood of reports of different aspects of anti-nuclear activity have been published, the last in September 1962. The implications of an antibody to the ubiquitous nuclear material
seemed immense. The nuclear antigens which appeared to be concerned were not included in the category of substances known to be antigenic. With the support of a Fellowship from the Empire Rheumatism Council, the author undertook a study of the anti-nuclear factor during the period June 1957 to August 1960 under the supervision of Dr. E.J. Holborow and Dr. L.E. Glynn. The author wishes to acknowledge the advice and constant encouragement of both these colleagues and the interest and support of Professor E.G.L. Bywaters in whose Rheumatism Research Unit the work was carried out. Thanks are due to the following:-
Dr. D. Doniach, Dr. W. Hijmans, Dr. A. Scott, Dr. E.G. Rees, Dr. B. Ansell, Dr. D'olle and Dr. A. Dixon who made this study possible by providing specimens of sera and clinical information on their patients; Dr. R. Consden who advised and assisted in biochemical problems; Mr. P. Fiske and Mr. T.C. Dodds who prepared the plates and figures; and Mrs. G. McCallum who typed the manuscript. Professor R. Cruickshank kindly read the manuscript and gave valuable criticism.
The results of some of the work incorporated in this thesis have been published, as noted in the text. Other relevant references not quoted are:-
Weir, D.M. and Holborow E.J. 1962. Ann. Rheum. Dis. 21, 40.
and Holborow E.J. and Weir D.M. 1959. Lancet, 1, 809.
# TABLE OF CONTENTS
| Chapter | Title | Page |
|---------|----------------------------------------------------------------------|------|
| Preface | | i |
| Introduction | | 1 |
| Chapter 1: Materials and methods | | 27 |
| Clinical material | | 27 |
| Technical procedures | | 28 |
| Chapter 2: The anti-nuclear factor in human disease | | 43 |
| Chapter 3: Experimental | | |
| A. Studies on the nature of the "Antibody" | | |
| 1) Physicochemical | | 59 |
| 2) Study of precipitation reactions between anti-nuclear factor and nuclear materials | | 74 |
| B. Studies on the nature of the "Antigen" | | |
| 1) Absorption Studies | | 94 |
| 2) Histochemical Studies | | 99 |
| 3) Immunisation with nuclear materials | | 106 |
| C. Examination of tissues of patients with circulating anti-nuclear factor | | 111 |
| Chapter 4: Discussion | | |
| A. Comparison of series | | 114 |
| B. Comment on the clinical significance of anti-nuclear positive reactions | | 119 |
| C. Consideration of the low titre anti-nuclear factor positive sera | | 126 |
| Section | Page |
|------------------------------------------------------------------------|------|
| D. Detection of reaction to nuclear material by other immunological techniques | 129 |
| E. Critical evaluation of techniques | 135 |
| F. The nature of the anti-nuclear factor | 137 |
| G. The nuclear components involved in the anti-nuclear factor reaction | 141 |
| H. Relationship of the anti-nuclear factor to La.E. cell factor | 146 |
| I. Immunisation experiments with nuclear materials | 148 |
| J. The nature of anti-nuclear factor in relation to antigen-antibody reactions | 152 |
| K. The role of the anti-nuclear factor in disease | 155 |
| L. Mode of origin of anti-nuclear factor | 161 |
| Summary | 170 |
| Bibliography | 174 |
| Appendices | |
| 1. Criteria for the selection of cases of Systemic Lupus Erythematosus | 189 |
| 2. Criteria for the selection of cases of Rheumatoid Arthritis | 190 |
INTRODUCTION
The classic studies of Ehrlich and Morgenroth carried out at the beginning of this century were of the greatest importance in investigating the ability of the individual to react immunologically against its own body material. In their third communication on haemolysins (1900) they state "In pathology the changes foremost to be considered are those resulting from the absorption, by an organism, of its own cell material. Such occasions are presented by many different diseases." "If an individual suffers a considerable subcutaneous haemorrhage or one into a body cavity, or if part of his blood corpuscles are destroyed and lysed by certain blood poisons, the essential conditions, just as in experiment, are given for the formation by reaction of substances possessing specific injurious affinities for these blood cells."
Later in the same communication they point out that "it is of the highest pathological importance to determine whether the absorption of its own body material can excite reactive changes in the organism, and what the nature of these changes is." Accordingly, Ehrlich and Morgenroth immunised a "strong male goat" with nearly a litre of blood obtained from three other goats. The serum which they obtained following immunisation lysed the cells of all but one of nine goats they tested. Significantly the cells of the immunised goat itself were completely unaffected by the haemolytic serum.
Ehrlich explained this phenomenon by means of his side chain theory of antibody production and proposed that an anti-autolysin may be produced in the following manner:— If only small amounts of antibody (the receptor liberated from cells by antigen) reach the animal's own red cells, this would effect a production and thrusting off of the corresponding receptor from the red cells, which "would then circulate as an anti-autolysin and serve to switch the autolysin thereafter formed away from the blood cells".
Further investigation carried out by Ehrlich convinced him of the existence of "certain contrivances by means of which the immunity reaction, so easily produced by all kinds of cells, is prevented from acting against the organism's own elements and so giving rise to autotoxins" (Ehrlich and Morgenroth 1901). This led Ehrlich to enunciate his doctrine of "Horror autotoxicus". This concept still stands today, and the breakdown of the "internal regulating devices" now termed the "homeostatic mechanism" by Burnet has been shown to lead to the great dangers to the individual conceived of by Ehrlich. About the same time that Ehrlich and Morgenroth were studying the production of haemolysins, Metchnikoff (1900), working in the laboratory of Metchnikoff, showed that guinea-pigs immunised by the intra-peritoneal injection of sperms from another guinea-pig produced a "spermotoxine" which would kill in vitro not only the sperms of other guinea-pigs, but also those of the animal which had been immunised. It is interesting to note that
Ehrlich was unable to accept this "auto-spermotoxine" as an auto-toxin (i.e. involving a breakdown of the internal regulating devices), as the sperms were not killed in vivo as required by his definition. Time has shown that Ehrlich was right (although for the wrong reasons) in that antibody production to sperms does not constitute a breakdown of the internal regulating devices controlling antibody production, but is due to the "foreign nature" of sperms resulting from their usual isolation from the antibody forming cells ("hidden antigen").
At that time a number of reports indicating the existence of autoimmune phenomena appeared. Thus the first recognisable description of acquired haemolytic anaemia, generally credited to Hayem in 1893, was followed by the finding of abnormal haemolysins in patients in whom intense haemolysis was taking place in vivo (Chaufford and Troisier 1908, Chaufford and Vincent 1909). In 1904 the phenomenon of paroxysmal cold haemoglobinuria was described by Donath and Landsteiner. The work of Bergmann and Savini in 1907 suggested a disturbance of the internal regulating mechanism when they found antibodies to liver in rabbits poisoned with phosphorus. However, such was the influence of Ehrlich that despite the appearance of these reports, the scepticism aroused by him prevented the recognition of their significance. These pioneer studies were neglected for about 30 years until Damashek and Schwartz in 1938 reported the finding of abnormal haemolysins in patients suffering from acute acquired haemolytic anaemia.
The study of the serological manifestations of these phenomena over the next few years was greatly aided by the introduction of a technique utilising anti-globulin sera (Coombs et al. 1945). The "direct anti-globulin reaction" (Coomb's test), which enabled the detection of non-agglutinating antibody attached to red cells, was applied to the investigation of cases of haemolytic anaemia, and in 1946 Boorman et al. reported that this reaction was positive in a number of patients suffering from "idiopathic" acquired haemolytic anaemia. They were thus able to distinguish these cases from the congenital form of the disease. During the next decade, the antibodies of acquired haemolytic anaemia were extensively studied and the concept of auto-immunisation in this condition became widely accepted.
The antibodies found in auto-immune haemolytic anaemia are divided on the basis of their laboratory behaviour into two main groups: the "warm antibodies" and the "cold antibodies". The warm type are gamma globulins with a molecular weight similar to that of antibody gamma globulin (160,000), and likewise have a sedimentation constant of 7 S. in the ultracentrifuge. These antibodies sensitise erythrocytes to agglutination by anti-globulin serum and are not themselves able to agglutinate normal red cells. They are active at $37^\circ C$ and rarely, if ever, lyse normal cells at this temperature (Dacie 1962). In contrast, the cold antibodies are markedly potentiated in activity by fall in
temperature, and are not usually active at 37°C. They are powerful haemagglutinins and will lyse the cells of patients with paroxysmal cold haemoglobinuria and enzyme treated normal cells. These antibodies are high molecular weight 19 S. globulins. An essential feature of the antibodies of acquired haemolytic anaemia is their ability to act on the patient's own erythrocytes. Until 1953 these antibodies had been generally considered to be "non-specific" in that they would react with antigens present on all human erythrocytes. It is now known that these auto-antibodies frequently show a definite specificity usually within the Rh system (Dacie 1962). Dacie concludes that the blood group specificity of these antibodies by virtue of which they are indistinguishable from blood group iso-antibodies justifies the acceptance of these globulins as antibodies without quotation marks.
Associated with the accumulation of evidence regarding the autoimmune nature of the haemolysins in acute haemolytic anaemia, there arose the need to consider the meaning of foreignness and self-recognition and the ability of the body to differentiate between "self" and "non-self". A solution to the problem this created in immunological theory was offered by Burnet and Fenner in 1949. At that time antibody production was envisaged in terms of the antigen acting as a template for modifying the globulin molecules to a form which was complementary to that of the antigen. It was considered that antigen
may act either on the already formed protein chain and bring about a reconfiguration of the chain (Pauling 1940), or that the antigen induced a chemical re-arrangement of the globulin molecule as it was formed (Mudd 1932). Burnet and Fenner, whilst accepting this direct template theory, included the notion of "self markers" attached to body components by which antibody-forming cells were able to recognise them, thus rendering them immunologically inert. They also predicted that an equivalent tolerance to foreign antigens should be demonstrable if these had been introduced at an appropriate stage in embryonic life. This prediction was later confirmed experimentally by Medawar and his colleagues (Billingham, Brent and Medawar 1956). The persistence of antibody-producing capacity after antigenic stimulation was explained by the notion that genetic modification of the antibody-producing cell was induced by the antigen, so allowing the indefinite production of descendent antibody-producing cells.
In 1955, an alternative hypothesis which did not require the "self marker" postulate was formulated by Jerne in his natural selection theory in which, for the first time, natural antibodies were seriously considered in relation to 'true' antibodies. It postulated that a comprehensive range of gamma globulin molecules existed in the serum, comprising carriers of all the reactive sites needed to unite with any potential antigenic determinant, except those already existing in accessible components of the body. The function of the antigen which
enters the body from without is to act as a selective carrier of spontaneously circulating antibody to a system of cells which can reproduce this antibody. It is assumed that once antibody is taken into the cells of the antibody-producing system, replicas of this natural antibody will be produced. Influenced by Jerne's ideas, and by current concepts of adaptive enzyme formation which no longer accepted that a genetic change occurred following exposure to the inducer but that the pattern of the adaptive enzyme had already been genetically determined, Burnet formulated his Clonal Selection Theory. This theory allowed the antigen no part in impressing pattern on the antibody-producing cell. The capacity to produce a given antibody was regarded as a genetically determined quality of certain clones of mesenchymal cells, the function of the antigen being to stimulate cells of these clones to proliferation and antibody production. The theory postulated that in the early stages of embryonic development during the differentiation of mesenchymal cells, the genetic control of globulin production was temporarily relaxed (i.e. there was a temporary phase in which the mesenchymal cells showed a high degree of somatic mutability). This led to a large variety of random arrangements in the globulin molecules produced. When control was re-established, these random sequences were permanently adopted by the cells concerned (i.e. a very large number of clones were generated which would correspond to potential antigenic determinants). The theory made the further assumption that an
immunologically competent cell, if embryonic, would react with the corresponding antigenic determinant and be destroyed, whilst if adult it would be stimulated to proliferate. This assumption was required to explain how cells which had undergone the unfortunate mutation of being able to react to self antigens were eliminated. A simple hypothesis which would provide such a homeostatic mechanism was to assume that once a cell had been stimulated to proliferate by an antigenic stimulus, it would pass through a transient phase in which it was susceptible to destruction or inhibition on further contact with the same antigenic determinant. Whenever the antigenic determinant was freely present in the body and accessible to the corresponding immunologically competent cells, such destructive contacts would be inevitable. Tolerance would result from the elimination or inhibition of all cell clones which reacted with antigenic determinants present in the body. After birth when foreign antigen entered the body antibody to it would be produced by specific stimulation of those cells in clones pre-adapted to react with the corresponding antigenic determinants. On the basis of this theory, Burnet accounted for the development of auto-immune disease as a partial failure and often temporary failure of homeostatic mechanism.
Before proceeding to detail further the auto-immune phenomena which the above theories were attempting to account for, it is necessary to mention some of the techniques which made their study possible. The anti-globulin test of Coombs already referred to was one of the most valuable. Its use was extended to the study not only of haematological phenomena, but also to detect the uptake of globulin by a variety of other tissue cells - the so-called "anti-globulin consumption test". The anti-globulin technique became a valuable adjunct to the fluorescent protein tracing technique of Coons and Kaplan (1950). Its incorporation into this technique enabled the visualisation in a tissue or cell preparation examined under the fluorescence microscope, of antibody globulin shown up by staining the preparation with fluorescein-conjugated anti-globulin serum.
Fluorescent protein tracers could be detected in animal tissues by fluorescence microscopy at a concentration of the order of 1 μg. protein per ml. of body fluid (Mairn 1962), which was more than a hundredfold better than with non-fluorescent dye labels such as Evans blue or other azo-dyes. Fluorescein isocyanate was used in this technique until 1958 when Riggs et al. introduced the more stable isothiocyanate which could be conjugated with protein in a much simpler manner and which could be obtained commercially. It was shown that fluorochrome dyes combined with the free amino groups of the lysine side chains, with other free amino groups and with free carboxyl groups both at the end of each protein chain and in the aspartic and glutamic
acid residues. Fluorescein isothiocyanate was shown to absorb light in the ultra-violet region with absorption peaks at 290, 325 and 495 mu (Nairn 1962) and to emit blue-green light with a wavelength of 520 mu.
Other valuable procedures involved the elaboration of the classical techniques of precipitation and agglutination. The technique of immunodiffusion allowed precipitation to take place on gels and other forms of support media, and provided an analytic technique of high resolution and specificity. The technique of immunoelectrophoresis, described by Grabar and Williams, (1953) was a further development which used preliminary electrophoresis in agar to give separation of the individual components and allow the easy identification of precipitin bands. The agglutination phenomenon was extended to include the use of non particulate soluble antigens in the reaction. This was achieved by the use of tannic acid treated red cells, or the inert particles polystyrene latex, bentonite and collodion. These particulate materials when coated with the soluble antigen were shown to become susceptible to agglutination by the appropriate antibody. Finally, in recent years, the technique of cell or tissue transfer has found increasing application as an approach in the study of immunological problems. This method essentially involves the transfer of tissues from one animal, where some immunological process has begun to a normal animal of the same species, in which further immunological developments can be observed.
Among the diseases in which an auto-immune basis is widely accepted is human thyroiditis. It has been shown experimentally in rabbits, dogs and guinea pigs that intradermal injection of thyroid extract (combined with Freund's complete adjuvant) from other animals of the same species results in the production of organ specific antibodies as well as an accompanying thyroiditis (Witebsky and Rose 1956). An extract of the animals' own thyroid has been shown to have the same effect. It is of some interest to note that Witebsky who was a powerful champion of Ehrlich's "horror autotoxicus" notion should have been the first to describe this condition. The experimental auto-immune disease is characterised by a lymphoid invasion of the thyroid gland which has its histological parallel in human thyroid disease in which auto-antibodies have been described (Roitt et al. 1956). It is postulated that the destruction of the gland is brought about by a progressive chain reaction between the antibodies and the thyroid antigens against which they are directed (Doniach and Roitt 1959). The circulating antibodies found in this disorder have been shown to be gamma globulins by Korngold et al. (1959) and the cytotoxic effect of serum from these patients on thyroid cells in tissue culture (Pulvertaft 1959, Irvine 1959) has been shown to be present in the gamma globulin fraction by the present writer (see Irvine 1962).
An example where the experimental model provides evidence which strongly supports an auto-immune basis for the disease, but where the connection with human disease is not proven, is the group of demyelinating diseases which includes multiple sclerosis, post infectious disseminated
encephalomyelitis and the paralytic disease following small-pox and rabies vaccination. The relationship of paralysis to rabies vaccination using the traditional Pasteur method of immunisation with infected rabbit spinal cord attenuated by drying, had been appreciated for many years. The possible relationship of nerve tissue components of rabies vaccine to the incidence of this paralytic disease was noted by Koritschoner and Schweinburg (1925) who refer to post inoculation paralysis observed as early as 1888 by Gonzales in Barcelona. They report that when Pasteur was told of this, he explained the findings as due to what he called "false rabies", i.e. partly attributable to the vaccine having half-cured a case of paralytic rabies, and partly due to hysteria. These authors, after describing 39 cases of post inoculation paralysis, give details of experiments in which 78 rabbits were inoculated with rabbit spinal cords, and 15 of these developed paralysis of the limbs. These observations were confirmed by Rivers et al. (1933), and an associated demyelination noted. The use of Freund's complete adjuvant containing tubercle bacilli was found to enhance the experimental disease in animals (Kabat et al. 1947). Circulating antibodies to nerve tissue did not appear in all the animals in which the disease occurred, nor was their presence correlated with the severity of the process (Raffel 1961). Although serum from a paralytic animal transferred to a normal animal would not induce the disease, transferred lymphoid cells did do so (Paterson 1959), and
delayed hypersensitivity reactivity is now favoured as the probable basis of the experimental disease. An important connection between the experimental model and human demyelinating disease is the fact that anti-brain antibodies have been found in the sera of some patients with multiple sclerosis as well as in the post rabies vaccine disease and in the experimentally induced syndrome. Positive skin tests to brain substance, on the other hand, have not been demonstrable in the human diseases while they can be elicited in some species of experimental animals (Raffel 1961).
There are many other diseases for which an auto-immune basis has been suggested in which the evidence is slender and controversial. An example of such a disease is glomerulonephritis. The report of Mellors and Ortega (1956) that gamma globulin was localised by the fluorescent antibody technique in the glomeruli of kidney sections of patients with this disease is criticised by Cruickshank (1958, 1959) who reports carefully controlled studies in which this work was not substantiated. He failed to find any evidence of an increase in the globulin content of the eluates from glomeruli of glomerulonephritis kidneys over the globulin content of eluates from normal glomeruli. He also obtained negative results using precipitation and complement fixation, when sera and eluates were tested with extracts of kidney tissue. Cruickshank points out that as circulating heterologous antibodies to kidney had been found to be rapidly bound to the tissues, auto-antibodies therefore might be more likely to be bound to the tissues than be found free in the
circulation. However, tissue localisation studies using the fluorescent antibody method were found to be consistently negative. Finally, he points out that there is neither evidence of excessive activity in the reticuloendothelial system nor plasma cell infiltration of the kidney in patients with nephritis.
The connective tissue diseases, and in particular the condition of systemic lupus erythematosus, have provided a fruitful field for the study of auto-immune phenomena.
Systemic lupus erythematosus was first described by Kaposi in 1872. He observed patients whose illness was characterised by fever, toxic manifestations, and cutaneous lesions resembling those of erysipelas to which he gave the name "erysipelas persstans faceii". The significance of the systemic manifestations of the disease, and the relationship of the visceral lesions to those in the dermis was first emphasised by Osler in 1895 who recognised that severe attacks of the disease could occur without cutaneous manifestations. Osler's remarkable description of the disease made without the benefit of pathological studies included the following: "By exudative erythema is understood a disease of unknown aetiology with polymorphic skin lesions - hyperaemia, oedema, and haemorrhage - arthritis occasionally, and a variable number of visceral manifestations of which the most important are gastro-intestinal crisis, endocarditis, pericarditis, acute nephritis and haemorrhage from the mucous surfaces". In addition, he recorded
spleenomegaly in 2 of the 11 cases on which his description was based.
Libman and Sacks described non-bacterial endocarditis associated with skin lesions in 1924, and the cardiac lesions were described in detail by Gross between 1932 and 1940, including a description of haematoxylin staining bodies in the lesions. Detailed reports of other pathological changes were given by Klemperer et al. (1942) who described the essentially degenerative disturbance affecting the collagen of the tissues as "fibrinoid degeneration". He found haematoxylin bodies in 41 of 45 cases of the disease widely distributed throughout the body in the heart, kidneys, lymph nodes and synovia. He considered that these bodies were due to an alteration in the nuclei of mesenchymal cells, involving partial depolymerisation of D.N.A. by disturbed enzyme activity. The possibility that this change was brought about by a serum factor which released intra-cellular D.N.A'ase from inhibition, thus allowing it to depolymerise the nuclear D.N.A. was suggested by Kurnick et al. (1953).
Since the first description of the disease there has been much speculation about the aetiology of the condition. Suggestions have been made that the disease had an infective origin and tubercular, staphylococcal, streptococcal and viral infections have been all proposed but not substantiated (see Harvey et al. 1954). Endocrine factors have also been proposed in view of the frequency which the disease affects females in the reproductive phase (see Harvey et al.op.cit.) The work of Rich and Gregory (1947) showing that of 45 rabbits subjected
to protracted anaphylactic reactions of the serum sickness type 18 animals developed lesions in the branches of the coronary arteries comparable to those seen in Systemic Lupus, resulted in a suggested allergic or hypersensitivity cause of the disease, and this has been linked with the widespread use of chemotherapeutic agents which induce sensitivity reactions. A wide range of what are considered to be auto-immune phenomena have been described in Systemic Lupus including antibodies to red blood cells, thrombocytes, white blood cells and, more recently, to subcellular components.
Haemolytic anaemia has long been recognised as a common feature of the disease. Figures ranging from 3% to 75% incidence have been reported, and many of these cases were shown to have a positive Coombs test (Zoutendyk and Gear (1950) Shearn and Fizofsky (1952) Dubois (1952) Harvey et al.(1954). The responsible factor has been isolated in the gamma globulin fraction of the serum (Fudenberg and Kunkel 1957). Multiple post transfusion antibodies were found frequently (Kuhns and Bauerlein 1953; Callender et al. 1945; Michael et al. 1951), and agglutination and clumping of red cells in conjunctival vessels was seen occasionally (Harvey et al. op.cit.).
Abnormalities of blood coagulation have been frequently reported in the disease. Osler (1895) noted that purpura was a frequent finding in his cases. Figures ranging from 6% to 52% incidence of thrombocytopenia have been reported in numerous studies (see Harvey et al.op.cit. 1954).
Seligmann (1958) reported the finding of anti-thrombocytic antibodies in more than half of 19 cases examined, and Loeliger (1960)
Plate 1.a
Lupus erythematosus cell (L.E. cell)
Note pale staining homogeneous inclusion surrounded by polymorph cytoplasm. (Wrights stain)
Plate 1 b.
L.E. cell
Note multiple pale staining inclusions, some showing marked nucleolysis. (Wright's Stain)
Plate 2. Nucleophagocytosis.
Note dark staining inclusion (lymphocyte nucleus) with well marked chromatin pattern. (Wrights stain)
described a serum gamma globulin factor which was active against thrombocyte factor 3, intrinsic thromboplastin and tissue thromboplastin. Other descriptions of abnormalities at the thromboplastin stage are reported by Lee and Saunders (1955) and Frick (1955), and at the stage of conversion of prothrombin by Conley and Hartmann (1952), and Bonnin et al. (1956). Anti-cytoplasmic complement fixing antibodies are described in the sera of some patients by Mackay and Gajdusek (1958), Asherson (1959) and Deicher et al. (1960). These antibodies are reported to react with the subcellular components, mitochondria and microsomes and with soluble cellular protein. An incidence of 25% to 58% of leucopenia has been reported in various studies (see Harvey et al. 1954). Anti-leucocyte antibodies have been reported to occur spontaneously, Seligmann (1957), Dausset et al. 1961), and following transfusion (Zimmerman et al. 1955).
The L.E. cell phenomena was first described by Hargraves, Richmond and Morton in 1948 in the bone marrow of patients with systemic lupus erythematosus, and later demonstrated in the blood of these patients (Sundberg and Lick 1949; Gonyea et al. 1950; Moffat et al. 1950). The phenomenon has been shown to take place in two stages: the alteration of the nuclei of dead leucocytes, usually polymorphs, to form a homogeneous, pale, basophilic, Feulgen positive mass: and the phagocytosis of this material by an intact polymorph to form an L.E. cell (Plate I.b) (Rohn & Bond 1952). The phenomenon can be demonstrated using the serum of a patient and the cells of a normal individual (Moffatt et al. 1950). The specificity of the reaction for
systemic lupus erythematosus was considered established (Madden 1950, Haserick 1951, Lee et al. 1951, Dubois 1953, Stich et al. 1952) but has since been reported in a proportion of rheumatoid arthritis cases (Kievits et al. 1956, Ogryzlo 1957, See Marmont 1959), drug sensitivity (Delacretaz et al. 1954, Dustan et al. 1954, Perry and Schroeder 1954), and rare cases of liver disease (Mackay and Gajdusek 1958) and scleroderma (Marmont 1959). The serum factor responsible for initiating the phenomenon was identified in the gamma globulin fraction of the serum (Haserick 1950, Lee et al. 1951, Willkens et al. 1958, Fallet et al. 1958, Carlson and Mollerberg 1958, Goodman et al. 1959, 1960, Scheidegger et al. 1960). There are a number of disadvantages which detract from the value of the L.E. cell test as a routine diagnostic procedure. Variation in the sensitivity of the test has been shown by the wide range in the incidence of positive tests in rheumatoid arthritis reported by different workers. (Harvey et al. 1954, Wilkinson and Sacker 1957, Kievits et al. 1956, Ogryzlo and Smythe 1957, Friedman et al. 1957). The test is time-consuming and is dependent on distinguishing between fine differences of morphology in order to decide between true L.E. cells and so-called Tart cells and artefacts (Plate 2). The most common difficulty encountered is the finding of phagocytosed nuclear material which still shows some chromatin pattern and retains most of the basophilia of a normal nucleus. Artefacts of this type have been noted, particularly in preparations made from the blood of patients with rheumatoid arthritis (Delacretaz et al. 1954, Marmont 1959).
Plate 3.
Fluorescence photomicrograph.
Demonstration of anti-nuclear factor on leucocyte nuclei (Coon's indirect technique)
Note bright apple-green nuclei against dull green cytoplasm.
Plate 4. Fluorescence photomicrograph.
Positive and negative anti-nuclear factor test on infant thyroid sections.
positive negative
x 600
Note the bright staining "beads" of the acinar nuclei in the positive preparation, unstained "holes" in the negative preparation. (Bright strands of staining in negative preparation due to blood group antibody in test serum).
It was the author's task in the Spring of 1957 to carry out routine testing for the presence of L.E. cells at the Rheumatism Unit, Taplow, and the difficulties mentioned above were encountered often enough to create a practical problem. It was decided to investigate the possibility of using a fluorescein labelling technique to detect the L.E. serum factor. As this had been shown to be a globulin (Haserick 1950) it was hoped to demonstrate the coating of this globulin on the cell membrane of white cells since it was thought that breakdown of the cell membrane might be required as a preliminary step to allow the release of D.N.A'ase from inhibition (Kurnick's hypothesis that D.N.A'ase inhibitor was released by an L.E. serum factor). When the problem was taken to Dr. E.J. Holborow and Mr. G.D. Johnson who were using the fluorescence microscope to study bloodgroup substances in gastric mucosa, it was decided to apply the indirect method of Coons and Kaplan (1950), which visualises the uptake of human globulin by means of fluorescein conjugated anti-human globulin, to polymorph smears. When leucocyte films were treated with L.E. cell positive serum and then stained with fluorescein conjugated anti-human globulin serum, it was found that the leucocyte nuclei fluoresced brightly when examined microscopically by ultra-violet light (Plate 3). This nuclear staining seemed to be even more significant than the expected cytoplasmic staining would have been in view of the fact that the characteristic fibrinoid material, haematoxylin bodies and the L.E. cell inclusion all contain altered nuclear material (Klemperer et al.) (op.cit). The next few weeks were
spent on trying to standardise the technique, which at that time was giving patchy staining on the white cell films and a fair amount of background staining due to serum proteins from the blood used for the smears. At this point, Professor E.G.L. Bywaters returned from the 9th International Congress of Rheumatic Diseases and reported the findings of G.J. Friou. In a search for antibodies with an affinity for specific cell structures in patients with diffuse connective tissue disease, Friou had found and reported to the Congress that L.E. cell positive serum reacted with the nuclei of connective tissue, endothelial cells, blood vessels, serous surfaces, muscle, and with normal tissues. He regarded the nuclear antigen as likely to be deoxyribonucleoprotein or closely bound to it. This information led the author to use the indirect Coons fluorescent technique on frozen tissue sections cut in a Cryostat, and staining of the cell nuclei of kidney, spleen, skin, heart muscle and thyroid tissue demonstrated with an L.E. cell positive serum. Normal serum did not give nuclear staining (Plate 4). The thyroid was selected as giving the best results - because of the regular and predictable arrangement of the cell nuclei - and the findings were confirmed with 2 sera from patients with systemic lupus and one from a patient with rheumatoid arthritis and a positive L.E. cell test (Holborow, Weir and Johnson 1957). In this communication the term "anti-nuclear factor" was first used.
Publication of these findings coincided with a report from the Rockefeller Institute by Holman and Kunkel (1957) concerning the factors
affecting L.E. Cell formation which described the fluorescent antibody localisation of gamma globulin on L.E. cell inclusions. A short time later, P. Miescher sent the author a copy of his study reported in Experientia in 1954 (Miescher and Fauconnet 1954) showing that L.E. cell forming activity could be absorbed from a serum by the addition of isolated cell nuclei. The accumulating evidence posed the problem: was the anti-nuclear factor an antibody, were the nuclear materials behaving as antigens, and was the phenomenon an example of auto-immunity? In addition, about this time, the author demonstrated the anti-nuclear factor in a patient with rheumatoid arthritis with a negative L.E. cell test. The further question of specificity of the anti-nuclear staining and its relation to the L.E. cell factor arose. It was in an attempt to answer some of these questions that the author undertook a study between June 1957 and August 1960 at the M.R.C. Rheumatism Research Unit, Taplow, supported by the Empire Rheumatism Council. The present work describes the result of an investigation into the incidence of anti-nuclear factor in nearly 1000 human sera, and an immunological study of the problems indicated above. Clinical information was ascertained, partly by reference to the case notes of the patients, and partly in consultation with the medical staff in charge of the patients. It is presented not exhaustively but in-as-much as it appeared to be relevant to these immunological problems.
CHAPTER 1.
MATERIALS AND METHODS
Clinical material
The sera used in this investigation were obtained with the co-operation of the clinical and laboratory staff of the units detailed below. The specimens, kept in screw-cap containers, were stored at $-20^\circ C.$ in a deep freeze cabinet for periods up to three years. No preservative was added and no deterioration of anti-nuclear factor activity was found in specimens kept up to three years. Samples of serum were removed with a clean pipette without sterile precautions and tested for anti-nuclear factor activity in batches of 20-30 specimens.
Systemic Lupus Erythematosus: Rheumatism Unit, Hammersmith Hospital.
Rheumatism Unit, Taplow
(Professor E.G.L. Bywaters)
The Middlesex Hospital
(Dr. D. Doniach)
The University Hospital, Leyden
(Dr. W. Hijmans)
The criteria used for the selection of cases of this disease were those submitted by Bywaters and Ansell to the M.R.C. Collagen Panel in 1952. (Appendix 1).
Rheumatoid Arthritis: Rheumatism Unit, Hammersmith Hospital.
Rheumatism Unit, Taplow.
This group were selected using the American Rheumatism Association criteria 1959 (Appendix 2).
Discoid Lupus: St. Bartholemews Hospital Skin Department (Drs. Scott and Rees)
Thyroid Disease: The Middlesex Hospital (Dr. D. Doniach and Dr.I.Roitt.)
These were cases of Hashimotos disease and the diagnosis had been confirmed by the presence of thyroid antibodies detected by the tanned cell agglutination test, by precipitation or by complement fixation.
Liver Disease: Hammersmith Hospital (Dr. S. Sherlock and Dr.Dölle)
These cases included a variety of liver diseases, see table 2.
Pulmonary Tuberculosis: Pinewood Hospital, Berks.
These were confirmed cases in the acute or convalescent stage.
Normal sera: These were obtained from laboratory staff, ante-natal patients and from normal individuals used as controls of a family survey of Rheumatoid disease (Dr. Ansell).
Technical procedures and preparation of materials
The following sections include descriptions of the preparation of materials and the main technical procedures used throughout the experimental work. Further techniques relevant to individual experiments are described in the appropriate sections.
Anti-nuclear factor test
The test makes use of the Coons and Kaplan (1950) fluorescent antibody technique. Antibody labelled with fluorescein isocyanate (or isothiocyanate) is used to visualise the homologous antigen in cells
of smears or tissue sections examined in a fluorescence microscope with a high pressure vapour light source. In this test the "indirect" method is used in which globulin uptake by tissue sections is demonstrated by treatment with anti-human globulin serum conjugated with fluorescein isocyanate or isothiocyanate. Sections pre-treated with serum containing anti-nuclear factor show bright overall apple-green fluorescence of the cell nuclei when viewed microscopically by ultraviolet light, whereas control sections pre-treated with normal serum show no fluorescent staining (Plate 4).
Preparation of tissue sections
The selection of cell nuclei in a suitable form for the test is an important consideration. Preparations of nuclei tested include smears of cell nuclei prepared from tissue homogenates, human leucocyte films and monolayers of cells grown in tissue culture. None of these preparations was ideal owing to the affinity of such preparations for serum proteins which subsequently reacted with the fluorescein conjugated antiserum and led to excessive background staining. This non-specific staining was most marked with preparations of nuclei freed from cytoplasmic material by physical means or by trypsinisation. Cell nuclei prepared in this way took up serum proteins very readily from any serum whether from normal individuals or from lupus patients. Experience with tissue culture monolayers indicated the need for some cell damage before the nuclei could take up the serum factor from lupus
sera. Monolayers treated directly with serum failed to take up the factor whilst preparations which were first frozen and thawed would take up the factor. The most satisfactory nuclear preparations for routine use were made from thyroid tissue because of the orderly and predictable arrangement of the cell nuclei. The cutting of the sections and thawing from the frozen state was sufficient to expose the cell nuclei so that they could take up the anti-nuclear factor. Human neonatal thyroid was preferred to adult tissue because the latter usually contains numerous autofluorescent granules in the epithelial cytoplasm, and much interstitial autofluorescent collagen, both of which interfere with observation of the sections.
Human neonatal thyroid from very fresh post-mortem specimens was cut into small blocks, instantly frozen in a sealed container in solid carbon dioxide and alcohol mixture (approximately -70°C.) transferred to a freezing cabinet at -20°C, and stored without thawing. Sections were cut in a cryostat chamber on a microtome at 6μ., and mounted on slides and dried in air by exposure to an electric fan. Each section was covered with a few drops of test serum and incubated in a moist chamber at 37°C. for 30 minutes. After incubation, the serum was carefully washed off in two changes of buffered saline pH 7.0 (Na₂HPO₄·12H₂O, 2.14g.KH₂PO₄, 0.54g. and NaCl 8.70g. per litre) for 20 minutes, fixed in 90% alcohol for 5 minutes, washed again, and stained with a fluorescent conjugate prepared from anti-human globulin serum. After 30 minutes, the sections were again washed and mounted in buffered glycerine (one part of buffered saline to nine parts of glycerine pH 7.0) under a glass coverslip.
Preparation of conjugates
Rabbit and horse anti-human globulin sera were conjugated with fluorescein isocyanate or isothiocyanate according to the method of Coons and Kaplan (1950) and Marshall et al (1958) as follows:
The globulin fraction of the antiserum was prepared by 50% saturation with ammonium sulphate in the cold for 2 hours. The precipitate was separated from the supernatant albumen by centrifugation at 4000 r.p.m. in an M.S.E. major refrigerated centrifuge at $4^0$C. for 45 minutes. After removal of the supernatant the precipitate was dissolved in a small quantity of distilled water, just sufficient to completely dissolve the precipitate, and dialysed overnight against N saline in the cold. The total protein of the dialysed globulin fraction was estimated by the quantitative Biuret method. The optimal quantity of fluorescein isocyanate for each mg. of protein was estimated by Coons and Kaplan as 0.05 mg. per mg. of protein. Above this level no further conjugation takes place and progressively larger amounts of protein are denatured. For conjugation, the final reaction mixture is made up to contain 10 mg. per ml. of protein and consists of 0.05 mg. fluorescein isocyanate per mg. of protein; 15% of dioxane and 7% acetone, with the final addition of 15% 0.5 M.carbonate - bicarbonate buffer pH9 and saline to 100%. This procedure was carried out in the cold with chilled reagents and glassware. The chilled protein was added to the mixture of solvents, buffer and saline. The isocyanate solution was added dropwise with mechanical stirring, and the stirring process continued in the cold for 18 hours. The mixture was then
dialysed against buffered saline pH7 (0.15M.NaCl containing 0.1M. phosphate) on a revolving stage, changing the buffer frequently until the final dialysate was colourless (2-3 days). The conjugate was then centrifuged in the cold at 4,500 r.p.m. in the M.S.E. major centrifuge for 45 minutes and stored at $4^0$C.
Where the fluorescein isothiocyanate compound was used, conjugates were prepared from the ammonium sulphate precipitated globulin fraction which was diluted to 10mg/ml. concentration with the 0.5M. carbonate-bicarbonate buffer pH9, so that the final mixture contained 10% buffer. The solution was cooled to $4^0$C. and 0.05 mg. of fluorescein isothiocyanate was added for each mg. of protein. The mixture was then transferred to a rotary shaker and agitated 12-18 hours in the cold. The conjugate was then treated in the same way as the isocyanate preparation.
**Absorption of the conjugates**
Some conjugates stained the tissue in a so-called non-specific manner resulting in a blue-green overall fluorescence of the whole tissue. This interfered with visualisation of the sites of specific uptake of antibody, which should ideally stand out bright apple-green fluorescent areas against a faint greenish background. Coons recommended that such conjugates be absorbed with organ powder. The powder used in this work was prepared from fresh rabbit liver which was homogenised with saline in a waring blender, repeatedly washed with acetone and finally dried.
and powdered in a mortar and pestle. 100 mg. of the resulting fine powder was used for absorbing 1 ml. of conjugate. The carefully shaken mixture was left for one hour, after which the conjugate was recovered by centrifugation.
**Mounting medium for sections**
This consisted of buffered glycerol made up by using 10 parts of glycerol to one part buffered saline pH7.0 (0.15M NaCl containing 0.01M phosphate).
**The Fluorescence Microscope**
The microscope used in this work was a Cooke Troughton and Simms Research Microscope fitted with a dark ground condenser and with x10 x 45 and x 95 achromatic and fluorite objectives. The light source consisted of a Mercury vapour lamp HB200 with choke and switch gear. A heat filter was mounted in front of the lamp together with an adjustable field lens for focusing the light on the substage mirror. An ultra-violet passing filter (Kodak Wratten 18B) was fitted in front of the field lens. Neither a quartz condenser, eyepiece filter or copper sulphate bath was required in this work as the dark ground condenser was used throughout.
Preparation of antisera
The anti-globulin sera used in this study were either prepared in the laboratory (1 and 2) or obtained commercially (3 and 4).
(1) Cold precipitating globulins were prepared from human sera by the method of Svartz and Schlossman (1953). Serum was inactivated by heating at $56^\circ C.$ for 30 minutes and diluted 1/2 with physiological saline. Fourteen volumes of ice-cold sterile distilled water were added and the mixture was left at $4^\circ C.$ for 48 hours. The precipitated material was re-dissolved in saline and used as the immunising antigen. Rabbits were given subcutaneous injections of 1 ml. of the cold globulin solution (containing 20 mg. protein) emulsified with Freund's complete adjuvant. The injection was repeated three times at weekly intervals and then after an interval of four weeks a booster dose of a further 1 ml. of the globulin solution with adjuvant was given. Another similar injection was given four weeks later. One week after the last injection, the animals were bled and the serum collected. The results of immunoelectrophoresis using this serum (conjugated with fluorescein) are shown on plate 5.
(2) An anti-human globulin serum was prepared by the method of Milgrom et al (1956). One ml. of packed rabbit red cells were mixed with 10 ml. of inactivated ($56^\circ C.$ for 30 minutes) pooled human serum and left at room temperature for 30 minutes with occasional shaking. The red cells were then washed three times with saline, re-suspended
in 3 ml. of saline and injected into the marginal ear vein of a rabbit. The injection was repeated twice weekly for six weeks and the antisera collected 10 days after the final injection.
(3) Horse anti-human serum - supplied by the Institute Pasteur.
(4) Coomb's anti-human globulin serum prepared in rabbits immunised with human globulin (Burroughs Wellcome).
These antisera when conjugated with fluorescein as described were all able to detect the uptake of anti-nuclear factor. However, they showed varying degrees of non-specific background staining, and almost all of them required absorption with dried organ powder. The most suitable serum was that prepared against human cold globulins which required no absorption with organ powder, and the serum which gave the most background staining was the conjugate of Coomb's serum. Plate 5 shows the immuno-electrophoretic pattern obtained with these two conjugated antisera against whole human serum. The anti-human globulin conjugate which proved most useful showed only one major component against the gamma globulin component of the serum, whilst the other antiserum showed precipitin bands against a large number of serum components. The latter antiserum therefore would be likely to detect the uptake of a variety of serum proteins on tissue sections and result in the background staining encountered.
Plate 5.
Immunoelectrophoretic patterns with "anti-human globulin" conjugates
(Immunoelectrophoresis in 1% agar in veronal buffer pH 8.6.
Electrophoresis for 4 hours at 1 milliamp per cm. in veronal
buffer pH 8.6. Immunodiffusion 24 hours at 37°C.)
Coombs "anti-human globulin"
conjugate No. 4
"Anti-human globulin
conjugate" No. 1.
Note multiple precipitin bands against many serum components with
conjugate No. 4, compared with one main band against the gamma globulin
component with conjugate No. 1.
Technique for L.E. cell test
(a) Where fresh blood was available a modification of the clot method of Zimmer and Hargreaves (1952) was used as follows:-
Clotted blood was incubated at 37°C. as soon as possible after having been taken from the patient. After two hours the container was shaken (in order to damage some of the leucocytes and make them more susceptible to L.E. cell formation) and re-incubated for a further 20 minutes. At the end of this period, the mixture of serum and cells was separated from the clot, using a Pasteur pipette, and centrifuged in a Wintrobe tube at 2,500 r.p.m. for 5 minutes. The buffy coat containing the leucocytes was carefully removed and films prepared on clean glass slides. The films were stained with Wright's stain and examined under the low power objective. The high power was used for selected areas of high concentration of polymorphs and the oil immersion was used only for detailed examination of a possible L.E. cell. A five minute examination of each preparation was carried out.
(b) Where serum only was available the indirect technique of Schultz et al (1955) was used as follows:-
One or two drops of fresh human blood obtained by venepuncture (or finger-prick when only a few preparations were required) were placed on the centre of a clean glass slide and allowed to clot in a damp chamber at 37°C. After 20 minutes the clot was washed off gently with a stream of warm phosphate buffered saline (pH.7.0). This left the leucocytes (which had migrated to the periphery of the clot) on the
surface of the slide as a visible film. This film of living cells was kept damp and immediately layered with a few drops of test serum. A coverslip was placed over the preparation and it was re-incubated at 37°C. for 1 hour in a damp chamber. The coverslip was then removed and the excess serum allowed to drain off the slide by placing the slide on its side in a box containing a layer of blotting paper. After the slide had dried, it was stained with Wright's stain and examined as above for L.E. cells.
**Nucleoprotein Preparation**
Calf thymus nucleoprotein was prepared by the method of Mirsky and Pollister (1946). Fresh tissue, frozen at -70°C. immediately after death was homogenised in a Waring blender with 0.14 M. saline at 4°C. After repeated homogenisation and centrifugation (2,500 r.p.m. in a M.S.E. Major refrigerated centrifuge), until the supernatant was no longer cloudy, the deposit was dissolved in 1M. saline, reprecipitated three times by the addition of six volumes of water, redissolved in 1M. saline and stored at 4°C. The calf thymus nucleoprotein obtained in this way contained 1.2 mg/ml. of DNA as measured by ultra-violet absorption in a Unicam spectrophotometer (Fig. 1) and 1.2 mg/ml. of protein as measured by the Biuret method as follows:
4.8 ml. of Biuret reagent and 0.2 ml. of test solution were mixed, left to stand at room temperature for 30 minutes, and the colour compared with a control containing water instead of the test solution in a Spekka
Figure 1.
D.N.A. Content of Calf Thymus
Nucleoprotein
Absorption of nucleoprotein preparation at 230 to 285 mμ.
Note peak at 260 mμ.
spectrophotometer. The protein concentration was then obtained from a standard curve. The same method of preparing nucleoprotein was used for obtaining guinea-pig liver nucleoprotein. This latter preparation required to be re-precipitated six times by six volumes of water from 1M saline in order to remove the excess protein material. The final concentration was 1.2mg/ml. of DNA and 1.2mg/ml. protein.
**Calculation of D.N.A. concentration in calf thymus nucleoprotein**
Given that a 0.05% solution of sodium D.N.A. gives an extinction of 9.8 at 260 mp. (Davidson 1957).
Thus an extinction of 0.68 will be given by a 0.0035% solution of DNA \((0.68/9.8 \times 0.05)\).
As extinctions measured with a solution of nucleoprotein diluted 1/50 the concentration of the undiluted nucleoprotein preparation is \(50 \times 0.0035\% = 0.175\%\). Calculated nucleoprotein concentration 1.75 mg. D.N.A. per ml.
**Feulgen staining procedure**
The preparation was fixed in 10% neutral formaldehyde for 5 minutes and then washed in tap water for 5 minutes. Acid hydrolysis was then carried out by immersing the preparation in N.HCl for 10 minutes at 60°C. Following this it was transferred to cold Schiff's reagent (Lilly) for 15 minutes and rinsed in three changes of SO₂ water. The preparation was then washed in tap water for 5-10 minutes and taken through 70% and 90% alcohol into 0.01 Fast Green in 95% alcohol for 30 seconds. The preparation was finally rinsed in 95% alcohol and xylene, and mounted.
Electrophoresis and immunoelectrophoresis
Electrophoresis was carried out in the Shandon Universal Electrophoresis Apparatus. Electric current was supplied by a Vokam power pack which provided an adjustable voltage with a constant current at each selected voltage. The current was passed into platinum wire electrodes which lay one on either side of a central partition in the floor of the perspex electrophoresis box. Veronal buffer pH 8.6 was introduced into either side of the partition to fill both chambers to an equal depth (about 1 cm.). The buffer consisted of:
Veronal (Diethylbarbituric acid) 1.38 gms. per litre, Sodium veronal 8.76 gms. per litre, Calcium lactate 0.38 gms. per litre, made up in distilled water. Cellulose acetate paper (Oxoid) was cut into strips of the required length (usually 10 cm.) and immersed in the buffer for 10 minutes. The paper was then blotted and placed so that it straddled the central partition and rested on a movable supporting bar in each chamber. Filter paper wicks extending from the ends of the paper into the buffer were held in position by means of pieces of perspex fitting over the supporting bars. The material to be electrophoresed was run on to the paper from a capillary tube, allowed to soak into the paper, and the current switched on to give a voltage of about 150 volts (usually requiring 1 to 2 milliamps for each electrophoretic strip). After 2 hours, the paper was removed with forceps and dried in an oven at $100^\circ C.$ for 15 minutes. It was then stained with the protein stain Ponceau S (Gurr) 0.15% in 3% trichloracetic acid.
for ten minutes and the excess stain washed out with 5% acetic acid. This stained the protein a bright red colour. An alternative stain which was used alone or following Ponceau S was Nigrosine (Gurr) 0.0025% in 2% acetic acid. Nigrosine stained the protein black over a period of a few hours and this gave good definition of protein patterns. Excess Nigrosine stain was removed with running tap water, and finally the paper strip was dried between two sheets of blotting paper.
Immunoelectrophoresis was carried out in the same apparatus, and glass microscope slides, covered with a layer of 1% agar dissolved in the veronal buffer, took the place of the electrophoretic strips. A pattern, consisting of a central longitudinal trough 1 mm. wide and a small well on either side of this, had been cut into the agar on the slide. A sample of the material to be electrophoresed was placed in each of the small wells in the agar and electrophoresis was carried out at approximately 50 volts (requiring about 2 milliamps per slide). After 4 hours the slide was removed from the electrophoresis box, and a quantity of the anti-serum was pipetted in to the central trough. The preparation was placed in a damp chamber at 37°C. and diffusion allowed to take place for 16 hours, after which the preparations were examined for precipitin lines.
CHAPTER 2.
The anti-nuclear factor in human disease
The anti-nuclear factor test was carried out as described, using sections of infant thyroid cut in the cryostat. As nearly one thousand sera were tested over a considerable period, several different fluorescein conjugated "anti-human globulin" sera were used. The different conjugates, as already described in Chapter 1, varied in their ability to detect traces of serum protein adherent to tissue sections. The reason for this was discovered subsequently when it was found that anti-human globulin conjugate No. 1 gave only one main precipitin band with human serum in immunoelectrophoresis (plate 5). With this conjugate, the test sera could be used undiluted without showing background staining sufficient to interfere with the contrast of the stained nuclei against the surrounding tissue. The other conjugates which contained precipitating antibody against other serum components in addition to gamma globulin (plate 5) could only be used with test serum diluted to 1/10. At this dilution, the background staining was sufficiently reduced to be able to distinguish the specific nuclear staining when it occurred. Each series of tests included a known positive serum and a negative serum control. A control was carried out to show that the anti-human globulin had not altered in specificity after conjugation. This was confirmed also by the immunoelectrophoresis experiments (plate 5).
| Diagnosis | Anti-nuclear Factor | L.E. Cells |
|----------------------------|---------------------|------------|
| | No. tested | Positive No. | % | No. tested | Positive No. | % |
| S.L.E. | 63 | 62 | 98 | 63 | 58 | 92 |
| Discoid Lupus Erythematosus| 75 | 10 | 13 | 75 | 0 | 0 |
| Rheumatoid Arthritis | 132 | 19 | 14 | 95 | 3 | 3 |
| Stills Disease | 100 | 13 | 13 | 60 | 1 | 2 |
| Thyroid Disease | 110 | 14 | 13 | 107 | 0 | 0 |
| Liver Disease | 39 | 5 | 13 | 39 | 1 | 3 |
| Scleroderma | 8 | 0 | | 8 | 0 | |
| Dermatomyositis | 4 | 2 | | 4 | 0 | |
| Rheumatic Fever | 56 | 0 | | | | |
| Normal sera | 133 | 2 * | 1.5| | | |
| Miscellaneous hospital cases| 60 | 1 * | 1.7| | | |
| Pulmonary Tuberculosis | 65 | 2 * | 3.00| | | |
| Totals: | 845 | 130 | | 451 | 63 | |
* L.E. cell negative.
For this, sections were layered with an anti-nuclear factor positive serum, followed by unconjugated anti-human globulin serum, and then with the fluorescein conjugate. The specificity of the conjugates was confirmed with each conjugate by the absence of nuclear staining under these conditions because the unconjugated antiglobulin had already combined with the anti-nuclear factor. Another control carried out was the demonstration that no nuclear staining occurred with anti-nuclear factor positive sera when the serum-treated sections were stained with a conjugate of different specificity. The particular conjugates used were human anti-A serum and goat anti-rabbit serum.
**Systemic lupus erythematosus**
Sixty-three cases of this disease, which fitted the diagnostic criteria used for the selection of the cases, were tested for the presence of anti-nuclear factor in their sera. This group included five cases which had been shown to have a negative L.E. cell test but which fitted the diagnostic criteria and could thus be included in the series. Table shows the results of anti-nuclear and L.E. cell tests on these sera. All 58 cases of systemic lupus with positive L.E. cell tests showed positive anti-nuclear factor staining at first testing. Four of the five L.E. cell negative cases were positive for anti-nuclear factor, and one remained negative despite repeated testing over a period of three years. This case was a 21 year old woman who had presented three years prior to the commencement of this investigation a typical butterfly rash, loss of weight, pyrexia, loss of hair,
generalised lymphadenopathy, splenomegaly, arthralgia and leucopenia (below 5,000 w.b.c. per cu.mm.). At the time testing for anti-nuclear factor commenced, the E.S.R. had returned to normal and she appeared to have recovered following steroid therapy. Repeated tests for three subsequent years for anti-nuclear factor were negative and tests for L.E. cells were negative throughout the 6 year period.
**Rheumatoid arthritis**
In the rheumatoid arthritis group of 132 cases, 19 gave a positive anti-nuclear factor test; two of these were L.E. cell positive.* A third L.E. cell positive case was encountered which was persistently negative for anti-nuclear factor (14 tests during 2 years). This was a 45 year old woman with generalised active rheumatoid arthritis of 7 years duration. In the group of Still's disease, 13 of the 100 cases tested had a positive anti-nuclear factor test, and only one of the thirteen had a positive L.E. cell test.
**Thyroid disease**
This group consisted of 110 cases of Hashimoto's disease, including 14 cases complicated by thyrotoxicosis. Anti-nuclear factor was found in 14 of the 110 cases (2 of these positives were in the group with thyrotoxicosis). The L.E. cell test was uniformly negative.
* In the preamble to the revised criteria for the diagnosis of rheumatoid arthritis, it is recommended that cases with a positive L.E. cell test, which had previously been completely excluded from the category of rheumatoid arthritis, now be considered together with rheumatoid arthritis patients, if they satisfy the criteria in every other respect. (See Appendix)
Other diseases
Ten of seventy-five cases of discoid lupus erythematosus showed anti-nuclear factor activity but were negative in the L.E. cell test. The liver disease group included 9 cases of cirrhosis which were considered to have followed infective hepatitis, and 4 out of the 5 positive tests occurred in the group (table 2). One of these 4 gave a positive L.E. cell test. Two of the 4 dermatomyositis cases tested had anti-nuclear factor, but the eight scleroderma cases and the 56 rheumatic fever cases tested were negative. The control sera tested fell into three categories:
1) One hundred and thirty-three laboratory staff, ante-natal patients, and normal individuals used as controls of a family survey of rheumatoid disease. Two of the family survey control group were positive.
2) Sixty miscellaneous hospital cases, including chronic bronchitis, pneumonia, congestive cardiac failure, asthma, iron deficiency anaemia and Pagets disease. One of these cases was found to be positive. This was a case of Pagets disease with congestive cardiac failure which was negative in the L.E. cell test. Three other cases of Pagets disease were negative in the anti-nuclear factor test.
3) Sixty-five uncomplicated cases of pulmonary tuberculosis which were selected in an effort to have a homogeneous disease group unrelated to the 'connective tissue disease' group. Two of these cases were positive in the anti-nuclear factor test but negative in the L.E. cell test.
### TABLE 2
**Anti-nuclear factor in cases of Liver Disease**
| Diagnosis* | No. tested | Anti-nuclear factor positive |
|-----------------------------|------------|------------------------------|
| Post infective cirrhosis | 9 | 4 (1 L.E.cell positive) |
| Portal cirrhosis | 4 | 1 |
| Juvenile | 10 | 0 |
| Alcoholic | 4 | 0 |
| Primary biliary cirrhosis | 3 | 0 |
| Other types of " | 9 | 0 |
* Supplied by Dr. D'olle, Hammersmith Hospital.
### TABLE 3
**Titration of anti-nuclear factor**
| Diagnosis | No. tested | Neat - 1/10 | 1/20-1/100 | 1/100 - 1/300 |
|----------------------------|------------|-------------|------------|---------------|
| S.L.E. | 16 | 0 | 7 | 9 |
| Rheumatoid Arthritis | 13 | 1 | 10 | 2 |
| Liver disease | 4 | 0 | 4 | 0 |
| Thyroid disease | 6 | 1 | 5 | 0 |
| Dermatomyositis | 1 | 0 | 1 | 0 |
| Pulmonary Tuberculosis | 2 | 2 | 0 | 0 |
| Normal sera (positive) | 2 | 2 | 0 | 0 |
| Totals: | 44 | 6 | 27 | 11 |
Titration of anti-nuclear factor
Titration of anti-nuclear factor by serial dilution in saline was carried out in 44 cases, testing under standard conditions, using the same conjugate and tissue block. Table 3 gives the distribution of titres according to the diagnosis and shows that, except for two cases of rheumatoid arthritis, only sera from cases of systemic lupus could be diluted over 1/100 and still retain the ability to give a positive test. At the other end of the scale, the low titre of 1/10 was given by the 2 normal sera positives and the 2 pulmonary tuberculosis control group positives. In this group, too, came one case of thyroid disease and one case of rheumatoid arthritis. The majority of the rheumatoid arthritis and thyroid cases, and all the liver disease cases showed moderate activity.
Further analysis of the cases in the series
Certain clinical information and the results of routine investigations were obtained from the case notes of the patients with systemic lupus who attended the Rheumatism Unit at Taplow and at Hammersmith Hospital. These cases were seen by Professor Bywaters or the clinical staff attached to his unit. In addition, a group of 12 cases of rheumatoid arthritis with positive anti-nuclear factor tests, and a group of 40 cases with negative tests, again from the above units, were studied in the same way.
Table 4
Clinical and serological detail of the 20 cases of Systemic Lupus Erythematosus seen at Taplow and Hammersmith
| Condition | No. of cases | Percentage incidence |
|------------------------------------------------|--------------|----------------------|
| Sex distribution (females) | 16 | 80 |
| Duration of symptoms - greater than 5 years | 10 | 50 |
| Joint involvement (all types) | 16 | 80 |
| Hepatomegaly | 5 | 25 |
| Splenomegaly | 6 | 30 |
| Anti-nuclear factor positive | 19 | 95 |
| L.E. cell positive | 15 | 75 |
| Serum globulin - greater than 30% | 11 | 55 |
| Serum albumin - less than 40% | 13 | 65 |
| Elevated gamma globulin (electrophoresis) | 14 | 70 |
| Haemoglobin - less than 110% | 15 | 75 |
| White cell count - less than 5000/cu.mm. | 12 | 60 |
| Rheumatoid factor (D.A.T.1/16 or more or Positive Latex test) | 11 | 55 |
| Wassermann test - positive | 5 | 25 |
| Platelet count (less than 100,000 per cu.mm.) | 5 | 25 |
Table 5
Percentage incidence of certain manifestations of Systemic Lupus - Comparison of the present series with other published series
| | Copeland et al. (47) | Harvey et al. (105) | Shearn & Pirofsky (34) | Dubois (62) | Jessar et al. (32) |
|--------------------------|----------------------|---------------------|------------------------|-------------|--------------------|
| Sex distribution | | | | | |
| females | 80 | 85 | 89 | 91 | 78 | 93 |
| Joint involvement types | | | | | |
| Hapatomegaly | 25 | 29 | 34 | 44 | 32 | 43 |
| Splenomegaly | 30 | 27 | 8 | 41 | 15 | 19 |
| L.E. Cells | 75 | – | 69(60) | 94(31) | 82(96) | 88(41) |
| Anaemia (Hb below 11g) | 75 | 95 | 78 | 97 | 78 | 96 |
| Leucopenia (L count below 4,500/cu.mm.) | 60 (less than) 70 " 5,000 | 68 | 74 | 68 | 57 (Less than 4,000) |
| Thrombocytopenia | 25 | – | 10 | 31 | 26 | 8 |
| Positive Wassermann Test | 25 | 28 | 33 | 19 | 15 | 28 |
Notes: figures in brackets = number of cases examined.
Table 6
Incidence of serological abnormalities, leucopenia and thrombocytopenia in the 19 anti-nuclear factor positive cases of Systemic Lupus Erythematosus.
| Coombs test | Wassermann | Cold agglutinins | D.A.T. or latex | Leucopenia | Thrombocytopenia |
|-------------|------------|------------------|-----------------|------------|------------------|
| 1 or more | 2 or more | 3 or more | 4 or more | 5 or more | 6 |
| 17 | 11 | 5 | 2 | 1 | 1 |
| 89 | 58 | 26 | 10.5 | 5.2 | 5.2 |
No. of cases
Percentage
Systemic lupus erythematosus
Table 4 shows clinical and serological detail of a group of 20 cases of systemic lupus erythematosus. All but one of these cases was anti-nuclear factor positive and 15 (75%) were L.E. cell positive. Joint involvement (all types) was present in 16 (80%) of the cases, and 16 (80%) of the cases were females. Serum protein abnormalities were a common feature in the group, with elevation of the gamma globulin by electrophoresis in 14 (70%) of the cases. Three-quarters of the cases had a haemoglobin of less than 11 g%. Leucopenia (white cell count of less than 5000/cu.mm.) was also a common feature. Five cases had a positive Wassermann test and 2 more were anti-complementary.
Table 5 compares this series with other published series, which it resembles closely. Table 6 is a cumulative table of abnormal features in the 19 cases of systemic lupus which were anti-nuclear factor positive. The table shows that more than half the cases showed at least 2 of the features - Coombs test, Wassermann test, Cold agglutinins, rheumatoid factor (differential agglutination test (D.A.T.) or latex test), leucopenia or thrombocytopenia (less than 100,000 platelets/cu.mm.).
Rheumatoid arthritis
Table 7 shows the comparison of certain clinical, serological and haematological findings in the anti-nuclear factor positive group with those in the negative group. The results show that anaemia was significantly more common in the group with anti-nuclear factor activity,
and as might be expected, so also was the finding of L.E. cells. Other features with a $X^2$ approaching significance in the positive group were splenomegaly and low serum albumin. Table 8 is a cumulative table of cases showing various features and comparing the anti-nuclear factor positive systemic lupus group with the positive and negative rheumatoid arthritis groups. At least half the anti-nuclear factor positive cases, both in Systemic Lupus and Rheumatoid Arthritis, showed 4 or more of the features - hepatomegaly, splenomegaly, leucopenia, anaemia, low serum albumin, raised serum globulin positive L.E. cell test or positive test for Rheumatoid factor, compared with only 10% of the anti-nuclear factor negative rheumatoid arthritis group.
**Discoid lupus**
The patients included in this group were patients with typical lesions of discoid lupus erythematosus, in whom repeated examinations failed to reveal any systemic complications of their purely cutaneous syndrome. The cases, therefore, were classified by Drs. Scott and Rees who provided the sera into the category of group 4 cases which is defined as above (Scott and Rees 1959) in contrast to the other three groups which had systemic manifestations. A consideration of the severity of the disease (as estimated by Drs. Scott and Rees) in relation to the result of the anti-nuclear factor test, revealed a strikingly significant correlation.
The serological and clinical findings in anti-nuclear factor positive and negative groups of rheumatoid arthritis patients.
| Clinical features | No. of cases | % with ANF +ve feature | No. of cases | % ANF -ve | No. of cases | % | X² |
|-------------------|--------------|------------------------|--------------|-----------|--------------|---|----|
| No. of cases | 53 | | 12 | 41 | | | |
| Hepatomegaly | 8 | 15 | 4 | 33 | 4 | 10| 2.5|
| Splenomegaly | 4 | 7.5 | 3 | 25 | 1 | 2.4| 3.39|
**Serological features**
| No. of cases | 49 | 12 | 37 |
|--------------|----|----|----|
| Albumin less than 4 G% | 26 | 53 | 9 | 75 | 17 | 46 | 3.158 |
| Globulin greater than 3 G% | 26 | 53 | 8 | 66 | 18 | 49 | 1.235 |
R.A.factor (D.A.T. or latex)
| No. of cases | 110 | 12 | 98 |
|--------------|-----|----|----|
| Positive RA factor | 72 | 65 | 9 | 75 | 63 | 64 | 0.5 |
**Blood findings**
| Haemoglobin | No. of cases | 62 | 12 | 50 |
|-------------|--------------|----|----|----|
| Less than 11 G% | 21 | 34 | 8 | 66 | 13 | 26 | 6.71 |
White cells
| No. of cases | 55 | 12 | 43 |
|--------------|----|----|----|
| Less than 5000/cu.mm. | 5 | 9 | 3 | 25 | 2 | 4.6| 2.05 |
L.E.cells
| No. of cases | 86 | 12 | 74 |
|--------------|----|----|----|
| L.E.cell positive | 4 | 4.6| 3 | 25 | 1 | 1.3| 7.4 |
### TABLE 9
Comparison of severity of disease with presence and absence of anti-nuclear factor in Discoid Lupus
| Severity | Anti-nuclear factor positive | Anti-nuclear factor negative | Total |
|----------|------------------------------|------------------------------|-------|
| Mild | 5 | 61 | 66 |
| Severe | 5 | 3 | 8 |
| | 10 | 64* | 74 |
* one of the 65 anti-nuclear negative cases was not reported on clinically.
\[ X^2 = 18 \]
\[ X^2_y = 14 \]
### TABLE 10
Comparison of features in anti-nuclear factor positive and negative cases of liver disease.
| Feature | Anti-nuclear Factor positive | Anti-nuclear factor negative |
|--------------------------|------------------------------|------------------------------|
| L.E.cells | 1 (20%) | 0 (0%) |
| Globulin greater than 3g.% | 4 (80%) | 18 (81%) |
| Leucopenia less than 5000/cu.mm | 3 (60%) | 9 (41%) |
| DAT 1/16 | 2 (40%) | 0 (0%) |
| Anaemia less than 1g.% | 3 (60%) | 11 (50%) |
| Joints W.R. | 3 (60%) | 2 (9.5%) |
Totals:
- Anti-nuclear factor positive: 5
- Anti-nuclear factor negative: 22
### Table 8
Cumulative Table of the Incidence of Selected Features in three Categories of Cases.
| | No. of features |
|--------------------------|-----------------|
| | 8 | 7 | 6 | 5 | 4 | 3 | 2 | 1 | Total |
| Systemic Lupus Erythematosus | | | | | | | | | |
| Anti-nuclear factor positive | 0 | 1 | 7 | 7 | 10 | 16 | 17 | 17 | 17 |
| | 6% | 41% | 41% | 59% | 94% | 100%| 100%| | |
| Rheumatoid Arthritis | | | | | | | | | |
| Anti-nuclear factor positive | 1 | 1 | 3 | 4 | 6 | 7 | 11 | 11 | 12 |
| | 8% | 12% | 33% | 50% | 58% | 92% | 92% | | |
| Rheumatoid Arthritis | | | | | | | | | |
| Anti-nuclear factor negative | 0 | 0 | 1 | 2 | 4 | 13 | 26 | 37 | 40 |
| | 2.5%| 5% | 10% | 32.5%| 65%| 92.5%| | | |
Features analysed:-
Hepatomegaly, splenomegaly, leucopenia (less than 5000 per cu.mm.), anaemia (less than 11 g.%), serum albumin less than 4 g.%, serum globulin greater than 3 g.%, positive L.E. cell test and presence of rheumatoid factor (either DAT 1/16 or over, or positive latex test).
Liver disease
In Table 10 certain features of the 5 anti-nuclear factor positive liver disease cases were compared with those in 22 anti-nuclear factor negative cases of liver disease. Whilst the numbers were too small to draw definite conclusions, the higher incidence of joint manifestations and the presence of rheumatoid factor in the anti-nuclear factor positive liver cases was an interesting feature of the group.
CHAPTER 3
EXPERIMENTAL
A. STUDIES ON THE NATURE OF THE "ANTIBODY"
1. Physicochemical
The major components of human serum as determined by electrophoresis and immunoelectrophoresis are shown on plate 6. This shows that gamma globulin can be separated electrophoretically from all the other serum components. Immunoelectrophoretic studies of the reaction between human serum and anti-human serum have shown that only one precipitin band appears in the gamma globulin area. The isolated reports of a second band in this region are considered to be due to denatured gamma globulin (Crowle 1961). The beta globulin component of serum consists of two main components, beta\textsubscript{1} and beta\textsubscript{2}. An important beta\textsubscript{2} globulin is that known as beta\textsubscript{2M} or macroglobulin, which has a sedimentation constant of 19 S and contains the human iso-agglutinins. The gamma globulin component has a sedimentation constant of 7 S. The beta\textsubscript{2} and the gamma globulin are collectively called the "immunoglobulins" because almost all of these appear to be some form of antibody (Crowle 1961).
The following studies report the result of fractionation procedures designed to isolate the gamma globulin component of sera and to determine if anti-nuclear factor be present in this fraction or in the beta\textsubscript{2M} macroglobulin fraction, or in both fractions.
Diagram showing major serum components
- Immunoelectrophoresis
- Electrophoresis albumin and globulins
- Lipoproteins
- Glycoproteins
- Haptoglobin and transferrin
Plate 7.
Electrophoresis of human sera on thick electrophoresis paper.
The vertical lines indicate where the paper was cut.
Salt Precipitation
Crude fractionation by salt precipitation was carried out on two high titre anti-nuclear factor positive sera from patients with systemic lupus erythematosus (SLE serum H, and SLE serum P) and one low titre serum from a case of liver disease. The procedure was as follows:
Specimens of the sera were chilled in the ice compartment of the refrigerator until ice crystals were beginning to form. An equal volume of pre-cooled saturated ammonium sulphate was added, the mixture was shaken thoroughly and then left in the cold ($4^\circ C.$) for 2 hours. The precipitate was recovered by rapid centrifugation in the cold in an M.S.E. major refrigerated centrifuge at 3000 r.p.m. for 45 minutes, dissolved in distilled water and stored in the cold.
Electrophoresis of this solution at 150 volts for 2 hours (Veronal buffer pH 8.6) showed that the preparation contained gamma globulin together with smaller amounts of the other serum fractions. The solution was shown to contain anti-nuclear factor activity by the fluorescent antibody test using infant thyroid sections as previously described.
Fractionation of serum on thick electrophoresis paper.
Thick electrophoresis paper (Whatman No. 17) was used in order to absorb sufficient serum. Approximately 0.02 ml. of each of the three sera used in the previous experiment was applied to the paper and electrophoresis was carried out for $2\frac{1}{2}$ hours at 150 volts in veronal buffer pH 8.6. Each serum was run in duplicate and one electrophoretic
strip was dried and stained with Fonceau S (Gurr) in order to localise the various fractions of the serum. Using the stained strip as a guide, the undried parallel strip was cut into four parts as shown in plate 7. This shows a paper electrophoresis strip with lines drawn where the paper was cut in the experiment. Part one contained the albumin and alpha\textsubscript{1} globulin, part two the alpha\textsubscript{2} globulin, part three the beta globulin and part of the gamma globulin, and the final portion contained the main gamma globulin fraction. Each of these pieces of paper was placed over an air dried film made from the buffy coat of human blood and the protein was eluted on to the film with 0.1 ml. of phosphate buffered saline pH 7.0. After 30 minutes at 37°C. the films were washed and stained with fluorescein conjugated anti-human globulin serum. Examination under the fluorescence microscope for fluorescent staining of the nuclei showed the following results:
| | Albumin and alpha\textsubscript{1} | Alpha \textsubscript{2} | Beta and gamma | Gamma | Whole serum |
|----------------|-------------------------------------|------------------------|-----------------|-------|-------------|
| S.L.E. serum H | - | - | + | ++ | +++ |
| S.L.E. serum P | - | - | - | ++ | ++ |
| Liver disease serum Hu | - | - | - | - | + |
+++ indicates bright staining
++ indicates weak staining
- indicates absence of staining
These results show that the anti-nuclear activity is present in the gamma globulin component of the two S.L.E. sera. The weak nuclear staining in the beta plus gamma globulin fraction of serum could be due entirely to the gamma globulin content or it could be due to some component of the beta globulins. The preparation made from the liver disease serum failed to stain the nuclei after treatment. The explanation for this was found in a later study (thiol study) when it was found that this serum contained its anti-nuclear activity in the macroglobulin fraction (which would not be eluted from the paper - Consden personal communication).
Fractionation of serum on anion exchange resin
The method of Levy and Sobers (1960) was used to obtain pure gamma globulin from two sera containing anti-nuclear factor (S.L.E. serum H and Rheumatoid Arthritis serum Ha), and from one normal control serum. Whatman D.E. 50 powder (the exchanger) was washed three times with 0.5 N NaOH, finally re-suspended in water and washed to neutrality. The slurry (sediment) was adjusted to pH 6.3 with 0.2 M. NaH₂PO₄ and washed several times with the starting buffer - 0.0175 M Sodium Phosphate (pH 6.3). This preparation was stored in the cold until required and was then gently re-suspended and the slowly sedimenting "fines" discarded. For 2 ml. quantities of serum an exchanger column of 5 cm. by 1 cm. was used in a tube with a small wad of glass wool and a tap at the bottom to prevent the exchanger running out. Before use, the column was washed
with at least 50 mls. of the starting buffer and the pH of the buffer which had passed through checked to be 6.3. At no time was the column allowed to dry, the fluid level being kept above the surface of the exchanger. The serum for fractionation was dialysed overnight against the starting buffer using 100 to 200 volumes of buffer for each volume of serum. After dialysis the serum was added to the top of the column which had been run down so that the level of the buffer was just above the exchanger. The serum was then washed through the column with 20 ml. buffer so that the gamma globulin would pass through the column, and the other components (including the macroglobulins) would be held back in the column. These other components were subsequently washed through with 2 M NaCl in 0.4 M Na phosphate. The resulting fractions were concentrated to near the original volume by introducing carbo wax into a piece of dialysis tubing and placing this tubing in a beaker containing the fraction, leaving the open end of the tubing hanging outside the beaker. The final solutions of concentrated fractions dialysed against N saline in order to adjust the ionic strength for use in serological tests. The fractions were stored at -20°C. Electrophoresis of the fractions was carried out to ascertain the result of the fractionation process (plate 8). In the case of serum H and serum Ha, the "gamma globulin" fractions were shown to contain anti-nuclear activity by the fluorescent antibody technique. The normal control was negative. Electrophoresis of these "gamma globulin" fractions showed that they consisted largely of gamma globulin, but did contain a trace of beta globulin at the origin.
Plate 8.
Electrophoresis on cellulose acetate (Veronal buffer pH 8.6, 150 volts, 2 hours) of the fractions obtained by cellulose column chromatography of an anti-nuclear factor positive serum (S.L.E. serum H).
Whole serum
"gamma globulin"
"remaining fraction"
Note trace of beta globulin in "gamma globulin" fraction and most of the other serum components in "remaining fraction".
Plate 9.
Immunoelectrophoresis of "gamma globulin" fraction obtained by D.E.A.E. chromatography.
Note well marked gamma globulin band and smaller band opposite the beta globulins.
Immunoelectrophoresis of this fraction against anti-human serum (carried out as described in Chapter 1) confirmed this finding. Plate 9 shows one main gamma globulin band and a smaller band opposite the beta globulins.
These findings by column fractionation are the same as those on S.L.E. H serum when fractionated on thick electrophoresis paper. Goodman et al. (1959, 1960) have shown that macroglobulins occur in the "remaining fraction". The "remaining fractions" of sera H and Ha each show anti-nuclear activity by the fluorescent antibody technique, but the localisation of this activity is not possible since this fraction, in addition to the macroglobulins already mentioned, also contains all the other serum components, including some gamma globulin (plate 8).
**Ultracentrifugal studies**
The high molecular weight beta 2 M globulins (19S Macroglobulins) sediment in the ultracentrifuge more rapidly than the other serum components. In the model E Spinco using the number 40 rotor at 40,000 r.p.m. (144,700G), it is possible to clear the macroglobulins completely from the supernatant layers after 4 hours centrifugation (Schachman 1959). Thus at 4 hours the macroglobulins will all be in the lowest layer, whilst the other more slowly sedimenting components, and in particular the 7 S gamma globulin fraction, will still be spread out in the upper layers.
| Fraction | Anti-nuclear factor | L.E. cell factor | Anti-nuclear staining after Mercaptoethanol |
|----------|---------------------|------------------|---------------------------------------------|
| S.L.E. serum H. | 1 | +++ | + | Unaffected |
| | 2 | +++ | + | - 18 L.E.cells/500wbc |
| | 3 | +++ | + | - 17 " /500 wbc |
| S.L.E. serum F. | 1 | - | - | Unaffected |
| | 2 | + | - | |
| | 3 | ++ | - | |
| | 4 | ++ | - | |
| | 5 | +++ | - | |
| R.A. serum T. | 1 | - | - | Unaffected |
| | 2 | tr. | - | |
| | 3 | + | - | |
| | 4 | + | - | |
| | 5 | ++ | - | |
| R.A. serum L. | 1 | + | - | Unaffected |
| | 2 | ++ | - | |
| | 3 | ++ | - | |
| | 4 | ++ | - | |
| | 5 | +++ | - | |
| R.A. serum S. | 1 | - | - | reduced |
| | 2 | + | - | |
| | 3 | + | - | |
| | 4 | ++ | - | |
| | 5 | +++ | - | |
| R.A. serum M. | 1 | - | - | reduced |
| | 2 | tr. | - | |
| | 3 | + | - | |
| | 4 | + | - | |
| | 5 | ++ | - | |
| R.A. serum Ha. | 1 | - | - | reduced |
| | 2 | - | - | |
| | 3 | tr. | - | |
| | 4 | + | - | |
| | 5 | ++ | - | |
Anti-nuclear staining indicates strong reaction
++ indicates moderate "
+ indicates weak "
L.E. cells
+ indicates positive test
- indicates negative test
tr. indicates trace.
This procedure was performed on 2 sera from patients with Systemic Lupus (sera H and F) and 5 sera from patients with Rheumatoid Arthritis (T, L, S, M and Ha.). Twelve ml. samples of sera diluted 1/2 with saline, were pipetted into plastic cups and centrifuged at the above speed for 4 hours. On examination of the centrifuged specimens, 5 layers could be distinguished; these were removed successively with a Pasteur pipette and stored in separate containers at $-20^\circ$C. The anti-nuclear factor activity of the various fractions was tested by the fluorescent antibody method and the results are shown on table 12; (the final column contains the results of the next experiment). With each of the sera anti-nuclear activity was found to be present in the supernatant layers, as well as in the lowest layer (No.5). The L.E. cell factor, being 7S globulin, is spread throughout the layers. It can therefore be concluded that in the sera tested, the anti-nuclear factor is present in serum fractions other than the macroglobulin, although it may be present in the macroglobulin fraction in addition. Chemical tests were carried out to provide further information on this point.
The use of a thiol reducing agent to distinguish 19S macroglobulin from 7S gamma globulin
In the previous experiment, layer 5, containing the macroglobulins together with other serum components, showed anti-nuclear activity. In order to show if any of this activity was due to the macroglobulins, the sera were treated with the thiol reducing agent Mercaptoethanol. This sulphydryl compound has been shown to split macroglobulin antibodies into
serologically inactive components by breaking the S-S bonds and forming 2 SH groups (Deutch and Morton 1957, Grubb and Swahn 1958).
All the sera which were used in the ultracentrifuge experiment were included in this study and in addition 17 other sera including S.L.E. serum P and Liver HU which were used in the electrophoresis elution test. Mercaptoethanol (Light's) was made up into an 0.2 M solution in phosphate buffer pH 7.4 (0.2M KH₂PO₄ K₂HPO₄). Sera were diluted 1/2 with buffer, an equal part of 0.2M mercaptoethanol was added and the tubes stored in the fume cupboard for 48 hours. Control tubes were set up containing serum and buffer only. The solutions were then dialysed for 72 hours at 4°C. against phosphate buffer containing iodoacetamide (0.02M) to prevent re-combination of the globulin components. The treated and control specimens were tested for anti-nuclear factor activity by the fluorescent antibody method, in the usual way except that iodoacetamide buffer was used for washing the sections instead of saline.
Table 12 shows the results of the mercaptoethanol treatment on the anti-nuclear activity of the sera used in the ultra-centrifuge experiment. The two Systemic Lupus sera were unaffected by the treatment, as were two of the Rheumatoid Arthritis sera, whereas the staining in the remaining 3 Rheumatoid Arthritis sera was reduced. Thus the unaffected sera contain their anti-nuclear activity predominantly in the non-macro immunoglobulin (7S gamma globulin). The sera which had their activity reduced by mercaptoethanol and gave staining with the macroglobulin-free
ultracentrifuge fractions, contained their activity in both fractions.
Table 13 shows the results of the anti-nuclear factor test on all the 25 sera after mercaptoethanol treatment. Six more Systemic Lupus sera were unaffected indicating that anti-nuclear factor in this disease is predominantly non-macroglobulin in type. A total of three Rheumatoid Arthritis sera were unaffected and three were rendered free of anti-nuclear staining. In Rheumatoid Arthritis, therefore, the activity can be 7 S or 19 S or a mixture of the two. Serum Hu was the one liver disease case affected by mercaptoethanol and this confirms the previous result on electrophoresis paper which indicated that the activity remained on the paper as would be expected if the activity was due to macroglobulin. In addition, confirmation that the anti-nuclear activity of the "remaining fraction" of S.L.E. serum H taken off the D.E.A.E. cellulose column (which contains both 19 S and 7 S globulin) was not due to its macroglobulin content, was obtained by the failure of mercaptoethanol to affect its activity. Finally the L.E. cell activity of S.L.E. serum H was shown to be unaffected by mercaptoethanol, confirming that it was 7 S globulin.
**Table 13**
Result of Mercaptoethanol treatment of 24 anti-nuclear factor positive sera.
| Condition | Total tested | Anti-nuclear factor positive | Anti-nuclear factor negative |
|----------------------------------|--------------|------------------------------|------------------------------|
| Systemic Lupus Erythematosus | 8 | 8 unaffected | 0 |
| Rheumatoid Arthritis | 9 | * 6 | 3 |
| Liver Disease | 3 | 2 unaffected | 1 |
| Thyroid Disease | 2 | 1 unaffected | 1 |
| Dermatomyositis | 1 | 1 unaffected | 0 |
| Pulmonary tuberculosis and drug sensitivity | 1 | 0 | 1 |
* 3 unaffected and 3 reduced.
Relationship of globulin type to the nuclear antigen
Absorption studies with nuclear materials were carried out on a group of 9 anti-nuclear factor positive sera in the non-macroglobulin category and with 3 sera in which anti-nuclear activity had been shown to be macroglobulin in character. The results are shown in table 14.
Table 14
Comparison of globulin type with result of absorption with nucleoprotein
| Anti-nuclear factor | No. of cases showing absorption with calf thymus nucleoprotein | Total tested | Diagnosis |
|---------------------|---------------------------------------------------------------|--------------|-----------------|
| | complete | incomplete | | |
| Non Macroglobulin | | | | |
| | 2 | 2 | 4 | Systemic Lupus |
| | 1 | 1 | 2 | Liver Disease |
| | 2 | 0 | 2 | Rheumatoid Arthritis |
| | 1 | 0 | 1 | Thyroid Disease |
| Macroglobulin | | | | |
| | 1 | 0 | 1 | Rheumatoid Arthritis |
| | 1 | 0 | 1 | Liver Disease |
| | 0 | 1 | 1 | Thyroid Disease |
These results show that there is no relationship between the globulin nature of the anti-nuclear factor and the effect of nucleoprotein absorption.
2. Study of precipitation reactions between anti-nuclear factor and nuclear materials
The experiments to be described include qualitative and quantitative precipitin tests with calf thymus nucleoprotein and qualitative immunodiffusion and tube precipitin tests with D.N.A. and histone.
Precipitation tests with calf thymus nucleoprotein
For this work nucleoprotein prepared from fresh calf thymus as described in the chapter on material and methods was used to detect possible precipitation reactions with anti-nuclear factor positive sera. The nucleoprotein was dissolved in 1 M. NaCl and contained 1.2 mg/ml. of D.N.A. and 1.2 mg/ml. of protein. Forty-five sera were used in this study as shown in table 15A. Two sera showing marked rise in gamma globulin on electrophoresis were included in view of the increase in gamma globulin found in many S.L.E. sera. The sera were cleared by centrifugation in the high speed attachment of the M.S.E. major centrifuge at about 10,000 r.p.m. for 30 minutes.
Capillary tube precipitation tests
For this test the viscous nucleoprotein solution was diluted 1/2 with 1 M. NaCl as it was found that mixing of the serum and undiluted nucleoprotein failed to take place in the capillary tubes. The tests were set up in the classical manner, the serum being drawn up into the capillary tubes followed by the nucleoprotein. The tubes were
inserted into plasticine on wooden racks and incubated at 37°C for two hours. Controls were set up for each serum with 1 M. saline instead of the nucleoprotein solution, and with nucleoprotein and saline instead of serum. Observation of the tubes during the incubation period showed precipitate formation in some of the tubes, beginning as an opaque layer at the interface due to coating of the more viscous nucleoprotein. As the nucleoprotein penetrated into the column of serum, the appearance gradually changed to coating of the "coil" of nucleoprotein followed by fragmentation and precipitate formation.
At the end of the 2 hour incubation period, precipitate formation was recorded as follows:
**TABLE 15A**
A.
**Estimate of Precipitate**
| | Moderate-Strong | weak | negative |
|------------------------|-----------------|------|----------|
| S.L.E. | 6 | 2 | 12 |
| Rheum. Arthr. | 3 | - | 8 |
| Liver disease | - | 2 | 2 |
| Normal sera | - | - | 8 |
| Hypergammaglobulin sera| - | - | 2 |
The controls with serum and 1 M. saline, and those with nucleoprotein and saline were all negative. The tubes were then placed in the refrigerator and observed at intervals. It was found that gradually over the next 48 hours precipitate formation occurred in most of the
serum nucleoprotein tubes as shown on table 15B:
**TABLE 15**
**B. Estimate of Precipitate**
Precipitate formation at forty-eight hours
| | Moderate-Strong | weak | negative |
|----------------|-----------------|------|----------|
| S.L.E. | 6 | 14 | - |
| Rheum. Arthr. | 5 | 5 | 1 |
| Liver disease | - | 3 | 1 |
| Normal sera | - | 3 | 5 |
| Hypergammaglobulin sera | - | 2 | - |
Anti-nuclear factor positive
The more rapidly formed precipitates (listed in table 15 A) were, in general, much heavier than those which appeared after the 2 hour incubation period, and this was confirmed by the quantitative study described in the next section.
Tests of the effect on precipitate formation of dilutions of the nucleoprotein solution were carried out with four of the nucleoprotein precipitating sera. The results after the 2 hour incubation period were as follows:
### Table 16
| Serum | Concentration of nucleoprotein solution mg/ml |
|-------|-----------------------------------------------|
| | 1.2 | 0.6 | 0.3 | 0.15 |
| 1 | +++ | ++ | + | - |
| 2 | ++ | + | - | - |
| 3 | +++ | + | - | - |
| 4 | + | - | - | - |
+++ indicates strong precipitation
++ indicates moderate precipitation
+ indicates weak precipitation
These results show no evidence that antigen excess was achieved (i.e., at higher antigen concentrations the amount of precipitate should be less due to the formation of soluble antigen-antibody complexes). The possibility that antigen excess is not achieved under these conditions due to the high viscosity of the nucleoprotein solution is the most likely explanation of these results (see next section).
Figure 2. Absorption curves from 230 mμ to 300 mμ obtained with nucleoprotein-serum precipitates at $\frac{1}{2}$ hour, 1 hour and 2 hours.
In figure 2-7, vertical lines join the readings obtained from the 2 samples of S.L.E. H Serum.
Figure 3.
Absorption curves from 230 mμ to 300 mμ obtained with nucleoprotein-serum precipitates at 4 hours, 6½ hours, 24 hours and 48 hours.
Figure 4.
Curve of maximal absorptions with nucleoprotein-serum precipitates at the hours indicated, derived from Figs. 2 and 3.
Quantitative precipitation tests with Nucleoprotein and Systemic Lupus sera
Spectrophotometric estimation of D.N.A. in the precipitate was used in the present study which was undertaken in collaboration with Dr. R. Consden.
In order to determine when maximum amount of precipitation occurred, precipitates were prepared from the interaction of nucleoprotein and Systemic Lupus sera at intervals up to 48 hours as follows:-
0.2 ml. of undiluted serum placed in each of 6 pairs of tubes, and 0.2 ml. of buffer (0.5% NaHCO₃·Na₂CO₃, pH 8.0) and 0.2 ml. of calf thymus nucleoprotein solution (0.6 mg. per ml.) were then added. A drop of toluene was introduced as a preservative. The tubes were thoroughly shaken and incubated at 37°C. A normal serum control was set up in a duplicate series. At intervals of ½, 1, 2, 4, 24, and 48 hours, a pair of tubes was removed from each of the test and normal groups, and the precipitate brought down by centrifugation at 2,000 r.p.m. in an M.S.E. minor centrifuge for 5 minutes. The precipitate was then washed twice in normal saline and then in distilled water, and then dissolved in 5 ml. of N/10 NaOH. The D.N.A. absorption was then measured in a Unicam spectrophotometer over the range 230μμ to 300μμ. The maximum absorption was obtained at about 250μμ which is slightly lower than the absorption for D.N.A. itself (260μμ). It was considered that this was due to the tyrosine of the protein in the precipitate. The amount of precipitate from the normal serum control was found to be approximately 10 times less than that from the test serum. (Figs. 2 and 3).
Comparison of the results at these intervals showed that the maximum quantity of precipitate was formed between 2 and 4 hours (Fig. 4). The amount of precipitate was measured at $2\frac{1}{2}$ hours with varying quantities of nucleoprotein in order to construct a precipitin curve for this system, and to compare its characteristics with those obtained in other well-established antibody antigen systems. The method used was as above, using the following quantities:-
0.1 ml. of test serum and 0.1 ml. of buffer were added to three tubes containing 0.1 ml. of undiluted, $\frac{1}{4}$, and $\frac{1}{16}$ respectively of nucleoprotein solution.
The curve for the maximal absorptions at each dilution of nucleoprotein is shown on Fig 5. This curve does not follow the classical pattern of decrease in the quantity of precipitate in the presence of excess antigen.
The possibility arose that this was due to the fact that antigen excess was in fact never achieved because the undue viscosity of nucleoprotein made it difficult to ensure adequate mixing. To avoid this difficulty the system was reversed and a constant relatively unviscous nucleoprotein concentration of $\frac{1}{4}$ of the stock solution was added to varying dilutions of the serum. The precipitates were prepared as above and the absorptions measured similarly. The results are shown in Fig. 6
When these results are represented in terms of the concentration of nucleoprotein per unit of antibody (i.e. 50% dilution of serum contains twice as much nucleoprotein per unit of antibody as undiluted serum) and
Figure 5.
Curve showing maximal absorptions obtained with nucleoprotein-serum precipitates with increasing nucleoprotein concentration and constant serum (at $2\frac{1}{2}$ hours)
CONSTANT SERUM
$E_{\text{max}}$
0·9
0·8
0·7
0·6
0·5
0·4
0·3
0·2
0·1
0·15 0·6 1·2 2·4
NUCLEOPROTEIN CONCENTRATION mg./ml.
Figure 6.
Curve of maximal absorption obtained with nucleoprotein-serum precipitates with increasing serum concentration and constant nucleoprotein.
(at $2\frac{1}{2}$ hours)
CONSTANT NUCLEOPROTEIN
$E_{\text{max}}$
0·7 0·6 0·5 0·4 0·3 0·2 0·1
$\frac{1}{8} \quad \frac{1}{4} \quad \frac{1}{2} \quad \text{Neat}$
SERUM DILUTION
Curve of maximal absorptions of nucleoprotein-serum precipitates with constant serum and increasing nucleoprotein concentration (derived from fig. 6).
Note decrease in quantity of precipitate with the higher concentrations of nucleoprotein.
the amount of precipitate is calculated in terms of undiluted serum, a curve of the classical type can be drawn, showing decrease in the quantity of precipitate with increase in the antigen concentration (Fig 7).
Note: Other ways of overcoming the difficulty of the hyperviscosity of the nucleoprotein were attempted using the following depolymerisation methods:
(a) Exposure to an equal volume of N/10 NaOH for 15 minutes at 20°C.
(b) Exposure to DNA'ase 0.5 mgs. per ml. in 0.003M. MgSO₄ for 30 minutes at 37°C.
(c) Sonic disintegration at 20 kilocycles/sec. for 18 minutes in an ice bath.
These procedures so reduced the precipitating capacity of the nucleoprotein that only weak positive or negative reactions were obtained.
Immunodiffusion on cellulose acetate paper
The cellulose acetate immunodiffusion method of Consden and Kohn (1959) was used as follows:
Oxoid cellulose acetate paper was cut into 4 cm. x 4 cm. squares and washed for 10 minutes in phosphate buffered saline (pH.7.2). The paper was then blotted and the intended positions of the reactants marked with a pencil, placing the antigen and the antibody 1 cm. apart. The square was placed on a supporting stand consisting of pins embedded point upwards in plasticine. The antigen and antibody were placed on
the marked areas, using a capillary tube, and allowed to soak into the paper. The paper was then immersed in liquid paraffin and left for 48 hours at room temperature for diffusion to take place. It was then washed in petrol to remove the liquid paraffin and in the buffered saline (4 hours) to remove the unreacted proteins. The paper was stained with Fonceau S (Gurr) (0.15% in 3% trichlor acetic acid) for 5 minutes, washed in 5% acetic acid and then stained with Nigrosine (0.0025% in 2% acetic acid) for 18 hours. The excess stain was washed out in running tap water. In this experiment calf thymus nucleoprotein was used at a concentration of 2.4 mg. per ml. in 1 M. saline. Two preparations were used, one of which had been sonerated as previously described and the other untreated. Of two S.L.E. sera which had given strong precipitates in capillary tubes with nucleoprotein, one gave a precipitation line when tested on cellulose acetate. The line was more marked with the unsonerated specimen as would be expected (plate 10). The other S.L.E. serum and the two normal control sera showed no precipitation lines.
Cellulose acetate immunodiffusion test showing precipitin line between calf thymus nucleoprotein and serum from systemic lupus patient.
L.E. serum (2) Normal serum L.E. serum (2)
Nucleoprotein (sonerated) Nucleoprotein (unsonerated)
L.E. serum (1) Normal serum L.E. serum (1)
Precipitation tests with D.N.A.
(a) Capillary tube precipitation tests.
Nine different anti-nuclear factor positive sera were used in these tests with normal control sera in each experiment. Calf thymus nucleoprotein (Worthington Biochemical Corporation) was used as the antigen and as this is insoluble in physiological saline it was treated with N/10 NaOH for a few seconds to enable the preparation to go into solution in phosphate buffered saline pH 7.0. The D.N.A. solution was made up at a concentration of 1 mg/ml. Capillary tube precipitin tests were set up with the D.N.A. solution made up in doubling dilutions from neat (1 mg/ml.) to a dilution of 1/1024 (approx. 1μg./ml.). The tests were uncubated at 37°C for 2 hours and then at 4°C for five days. Examination of the tests at 24 hours and 48 hours showed no evidence of precipitate formation. At five days, slight non-specific precipitate formation was present in all the tests including the controls.
(b) Ouchterlony double diffusion tests in agar plates.
Agar was made up at concentrations of 0.5 and 1% in phosphate buffered saline pH 7.0 and 10 ml. of the heated solution was poured into clean Petrie dishes. After the agar had solidified, a pattern of wells was cut with a Feinberg qualitative cutting template (Shandon) and the agar plugs removed by suction. The pattern consisted of a central well with six slightly smaller peripheral wells, each situated 1 cm. from the central well. In view of the large size of the D.N.A.
molecule (1,000,000 to 3,000,000 M.W.) and the possible effect of this on its ability to diffuse in agar, quantities of the D.N.A. were exposed to heat with the intention of depolymerising the molecules as follows:-
Heating in a water bath at $80^\circ$C. and $100^\circ$C. for $\frac{1}{2}$, 1 and 2 minutes (longer exposure to heat e.g. 20 minutes at $100^\circ$C. has been shown to reduce the viscosity of a D.N.A. solution to 4% of the initial value and results in a preparation which will not precipitate with S.L.E. sera - (Barbu, Seligmann and Jolly) (1960).
The D.N.A. solutions were placed in the central wells of a series of plates and the test sera were placed in the peripheral wells. Incubation of the plates for 14 days at $37^\circ$C., examining the plates daily, showed no evidence of precipitate formation in any of the preparations.
(c) Immunodiffusion on cellulose acetate paper.
The anti-nuclear factor positive sera were tested against the D.N.A. preparation on cellulose acetate paper using the method described for the nucleoprotein experiments. No precipitin lines were observed on stained preparations which had been allowed to diffuse under liquid paraffin for 24, 48 and 96 hours.
(d) The Freer (1956) modification of the Oakley Fulthorpe (1953) double diffusion technique in tubes.
This technique is one of the most sensitive methods for detecting precipitins and can detect 0.03 µg to 0.09 µg. of antibody.
Plate 11.
Double diffusion test in agar showing precipitin band between D.N.A. and serum of a patient with systemic lupus.
D.N.A.
Precipitin
band
serum
Positive test
Normal serum
nitrogen (Kabat and Mayer 1961). The test was carried out using 3" x ½" glass tubes which had been coated on the inner surface with a layer of 0.05% agar in 0.85% saline containing 1/10,000 merthiolate, dried and stored in a dessicator. Using a capillary pipette, 0.15 ml. of undiluted serum was introduced into the bottom of the tubes, care being taken to avoid touching the side of the tube. The tubes were placed in an ice bath (to allow rapid solidification of the agar) and 0.3 ml. of the 0.5% agar solution was carefully layered on top of the serum. Finally, 0.15 ml. of D.N.A. solution (0.5 mg/ml. in deionised water) was layered above the agar and the stoppered tubes kept at 37°C.
Sera from 20 different cases of systemic lupus were tested in this manner. Two of the sera developed a faint precipitin line which was just visible at the end of the second week and gradually increased in intensity to the end of the third week (plate 11). The position of the line was found to be altered by reduction of the D.N.A. concentration to 0.25 mg/ml. when the precipitin band appeared nearer the D.N.A. agar interface.
**Precipitin tests with histone**
Capillary tube method:
Calf thymus histone (Worthington Biochemical Corporation) was used in these experiments. The basic protein histone is soluble in acid solutions and was dissolved in 0.5% citric acid, the final pH of the solution was 4.0. Concentration of 5 mg/ml., 2.5 mg/ml., 1 mg/ml., 500 µg/ml. and 50 µg/ml. histone were made up in the citric acid solution.
and capillary tube precipitin tests were set up with normal and anti-nuclear factor positive sera. In the tubes containing 5 mg/ml. of histone, intense precipitation was found with all the sera within 15 minutes at $37^\circ$C. No precipitate had formed in this period at any of the other dilutions or in the control tubes containing serum and the citric acid diluent only. At 24 hours, slight precipitation was present in the tubes containing 2.5 and 1 mg/ml. of histone but no differences were found between the normal and anti-nuclear factor positive sera. The pH of the histone solution was raised to 6.0 by the addition of 0.2 M. triss acid maleate and 0.2 M. NaOH. This solution gave a heavy precipitate with all sera within 15 minutes. An attempt was made to stabilise the histone solution (10 mg/ml. in 0.5% citric acid) by the addition of an equal volume of 1 M. sodium sulphate. Tests set up at the various dilutions of histone used above gave the same results as in the initial experiment.
**Immunodiffusion tests**
Immunodiffusion tests were set up on cellulose acetate paper soaked in phosphate buffer pH 7.0 in the manner previously described. Histone 1 mg/ml. in 0.5% citric acid was placed on a marked area in the centre of the paper and 2 anti-nuclear factor positive and 2 normal sera placed in marked areas 1 cm. distant from the histone. Diffusion was allowed to take place under liquid paraffin for 48 hours at room temperature and the paper washed and stained in the manner described. Areas of precipitate formation were formed opposite both the normal and anti-nuclear factor positive sera.
It was concluded from these experiments that by virtue of its affinity for serum proteins histone was an unsuitable material for this type of test.
CHAPTER 3.
B. STUDIES ON THE NATURE OF THE 'ANTIGEN'
1. Absorption Studies
Twentyfour sera with a positive anti-nuclear factor test were selected for absorption studies with nuclear components (table 17).
Nucleoprotein absorption
The nucleoprotein preparation used was a calf thymus preparation in 1M. NaCl (see Chapter 1) containing 2.4 mg. nucleoprotein per ml. (1.2 mg. DNA, 1.2 mg. histone). The addition of one part of 1/5 serum to one part of 2.4 mg. per ml. nucleoprotein gave the equivalent of 12 mgs. of nucleoprotein per ml. of serum. The mixture was incubated at 37°C. for one hour and overnight at +4°C. This resulted in the complete or partial removal of the nuclear staining properties of the majority of the sera when tested by the fluorescent antibody technique, as compared with controls diluted with saline (Plate:2) (table 17a).
Further absorption of the incompletely absorbed and the unaffected sera was carried out using the equivalent of 36 mgs. nucleoprotein per ml. of serum. The results are shown on table 17b.
The specificity of this nucleoprotein absorption was investigated using sera from cases of thyroid disease which contained both antithyroid antibodies and anti-nuclear factor. The fluorescent antibody technique has been used to show two antithyroid antibodies (anti-colloid and anti-cytoplasmic) (Holborow et al. 1959) by using slight
modifications of the anti-nuclear factor test: For the detection of colloid antibodies, sections were fixed before serum treatment in 100% alcohol for 15 minutes. To detect cytoplasmic antibodies, it was necessary to omit the fixation in 95% alcohol after serum treatment, normally carried out for the anti-nuclear factor test. Two sera containing each of the three factors (anticolloid, cytoplasmic, anti-nuclear) were incubated as described with sufficient nucleoprotein to absorb the anti-nuclear factor, and then tested on sections of thyroid in the two ways described above. In each case, the removal of anti-nuclear factor by the nucleoprotein did not affect the cytoplasmic or colloid antibodies, thus confirming the specificity of the nucleoprotein absorption for anti-nuclear factor.
**D.N.A. absorption**
A specimen of each of the sera was mixed with DNA solution (Worthington Biochemical Corp.) to give a concentration of 5 mg. DNA per ml. of serum. A saline control was set up for each serum. After incubation at 37°C. for 1 hour and overnight at 4°C., the specimens were tested for anti-nuclear factor. In all cases the DNA had no effect on the factor. Three of the sera were diluted so that nuclear staining could just be detected and then tested with four different preparations of DNA (2 from Dr. P Kent, Oxford; 1 from The Chester Beatty Institute, and the commercial preparation mentioned above). The anti-nuclear factor was unaffected in each case.
Histone absorption
The same twentyfour sera were treated with calf thymus histone, and at a concentration of 10 mgs. of histone per ml. of serum anti-nuclear activity was removed. However, this absorption was non-specific, as this same concentration of histone was shown to remove thyroid antibody from two thyroid diseases sera. In addition, the same quantity of another basic protein (protamine) was shown to have the same effect.
**TABLE 17 A**
Showing Absorption of anti-nuclear activity by Calf Thymus nucleoprotein
| Condition | No. tested | Result using 12mg/ml |
|----------------------------|------------|----------------------|
| Systemic Lupus Erythematosus | 7 | 3 completely absorbed |
| | | 4 trace remaining |
| Rheumatoid Arthritis | 6 | All completely absorbed |
| Cirrhosis of the liver | 5 | 3 completely absorbed |
| | | 1 trace remaining |
| | | 1 unaffected |
| Thyroid Disease | 6 | 4 completely absorbed |
| | | 2 unaffected |
**TABLE 17 B**
Showing further absorption by Calf Thymus nucleoprotein of anti-nuclear activity from unaffected and incompletely affected sera of the above table
| Condition | No. tested | Result using 36mg/ml |
|----------------------------|------------|----------------------|
| Systemic Lupus Erythematosus | 4 | no change |
| Cirrhosis of the liver | 2 | no change |
| Thyroid Disease | 2 | 1 completely absorbed |
| | | 1 unaffected |
Plate 12.
Photomicrograph showing absence of nuclear staining of Thyroid cells following absorption of serum with calf thymus nucleoprotein.
x 800
Note "holes" i.e. absence of fluorescence, in the position of the nuclei cf. plate 4.
Plate 13.
Photomicrograph showing result of D.N.A.'ase treatment of thyroid section following exposure to anti-nuclear factor.
Note persistence of nuclear staining (cf. plate 12).
2. Histochemical Studies
The study of the effect of various solvents and enzymes on the ability of nuclei to take up the anti-nuclear factor.
Nucleoprotein solvents
Nucleoprotein is soluble in either water or 1 molar NaCl.
Sections of infant thyroid were cut in the cryostat as already described for the anti-nuclear factor test and then layered with 1 M. NaCl or distilled water. After incubation with these solutions for 1 hour, the sections were washed in phosphate buffered saline pH 7.0 (Coon's saline) for 5 minutes, layered with anti-nuclear factor positive serum and then examined for the uptake of anti-nuclear factor in the usual manner. Apart from some blurring of the nuclear outline, nuclear staining was found to be present similar to that in control sections which had been exposed to normal saline instead of the nucleoprotein solvents. The failure to wash out the nucleoprotein from the cell nuclei was confirmed by the persistence of Feulgen staining of the nuclei. In view of the possibility that the viscous nature of nucleoprotein made its removal difficult, agitation of the sections in a bath of solvent was tried, but again this failed to achieve the desired removal of the nuclear material.
D.N.A'ase treatment of cell nuclei
(a) Before exposure to anti-nuclear factor:
D.N.A'ase (Worthington Biochemical Corp.) was used at a concentration of 1 mg/ml. in 0.003 Molar MgSO₄. It was found that
treatment of tissue sections with this solution for 1 hour at $37^\circ C$. was sufficient to remove the D.N.A. from the nuclei of tissue sections as judged by the absence of Feulgen positive material when the sections were stained by the Feulgen process. Sections treated with the MgSO$_4$ solution alone was unaffected.
The ability of nuclei of tissue sections treated with D.N.A'ase to take up anti-nuclear factor was tested with a number of anti-nuclear factor positive sera namely: - 10 sera from cases of systemic lupus, 2 sera from cases of cirrhosis of the liver, and one each of rheumatoid arthritis and thyroid disease. The liver and thyroid disease sera were chosen as it had not been possible to absorb the anti-nuclear factor activity of these sera by the addition of calf thymus nucleoprotein (table II), and it was considered that these sera may be reacting with a component of the cell nucleus other than nucleoprotein. In all cases, however, no anti-nuclear factor was taken up by the D.N.A'ase treated cell nuclei.
(b) After exposure to anti-nuclear factor:
The effect of treating tissue sections with D.N.A'ase after they had been exposed to serum containing anti-nuclear factor was tried using the same 10 sera from patients with systemic lupus as in the previous experiment. The same conditions of D.N.A'ase treatment and washing were used and controls were included in which MgSO$_4$ solution was used instead of D.N.A'ase. The results showed that, despite the fact that as judged by the Feulgen stain the D.N.A. had been removed by the D.N.A'ase treatment, no change in the anti-nuclear factor staining was present with any of the sera. (plate 13).
Treatment of tissue sections with citric acid (to remove the basic proteins from the cell nuclei - Holman & Kunkel 1957).
(a) Before exposure to anti-nuclear factor:
Infant thyroid sections were exposed to citric acid for 30 minutes at $37^\circ C$, followed by 5 minutes wash in phosphate buffered saline (pH 7.0). The sections were then layered with three anti-nuclear factor positive sera from systemic lupus patients and with normal serum controls. When tested for the presence of nuclear staining by the fluorescent antibody method, none of the sera were found to react with the citric acid treated cell nuclei. The Feulgen stain was found to be unchanged by the citric acid treatment.
(b) After treatment with anti-nuclear factor:
In the same way as in the D.N.A.'ase experiment, treatment of serum treated tissue sections with 1% citric acid failed to affect the nuclear staining by anti-nuclear factor positive sera.
Treatment of tissue sections with D.N.A'ase and citric acid successively.
Serum treated tissue sections were exposed first to D.N.A'ase and then to citric acid under the same conditions as above. No change was found in the anti-nuclear staining when the sections were examined under the fluorescence microscope.
The effect of a number of other enzymes was tried on thyroid tissue sections as follows:
Ficin 0.1% in N.sal; Papain 0.1% in a solution pH 6.0 containing the following:— Cysteine 0.605 gms. per litre, Na₂EDTA 1.86 gms. per litre, citric acid 7.74 gms. per litre, Na₂HPO₄ 18.03 gms. per litre;
Trypsin 0.01% and 0.001% in borate buffer pH 8.0; Pepsin 0.1% in N/10 HCl.
Sections were treated with these enzymes for periods of 5, 10 and 30 minutes, and control sections with the solvents only at 37°C. These sections were then treated with three anti-nuclear factor positive SLE sera and normal sera controls, and tested for nuclear staining by the fluorescent test. The Feulgen staining properties of the nuclei were unchanged by this treatment. There was, however, a certain amount of swelling of the nuclei in the pepsin treated sections. None of the sera showed any alteration in their ability to stain the treated sections compared with the controls.
The use of guinea pig testis and smears of spermatazoa as a substrate for the anti-nuclear factor test
In view of the evidence of Vendrely et al. (1957) that mature sperms are deficient in histone, sperm preparations were used in an attempt to indicate whether histone is required for the uptake by nuclei of anti-nuclear factor.
Sections of fresh guinea pig testis were prepared in the same way as for infant thyroid. These were layered with 10 different anti-nuclear factor positive sera and tested for nuclear staining in the anti-nuclear factor test. When examined under the fluorescence microscope the somatic nuclei of the testis and epididymis fluoresced brightly, as did the immature germ cells in the peripheral parts of the follicles. However, the mature spermatozoa both in the germinal follicles of the testis and in the epididymis failed to show any staining (plate 14). Vendrely et al. (1957) considered that the developing germ cells gave up their nuclear histone just prior to maturation into adult spermatozoa and the evidence described here corroborates a change of nuclear constitution at this stage.
The possible presence of a physical barrier preventing the uptake of anti-nuclear factor by the sperm was investigated by the use of various enzymes and by chemical and physical methods as follows:-
(a) Enzymes:- Ficin, papain, trypsin and pepsin (made up in the same strengths and in the same solvent buffers as previously described) were layered on to sections of testis, left for 5, 15 and 30 minutes
at 37°C., and then washed off by buffered saline. Staining with anti-nuclear factor positive sera and with negative control sera showed that there was no difference in the appearance of the treated sections compared with that of the control untreated sections, and the spermatozoa remained unstained.
(b) Chemical methods:— The sperm cell membrane contains sulphur-containing amino acids and, to dissolve this keratin, thioglycollic acid \((\text{B}_2\text{D}_4\text{H})_2(\text{CH}_2\text{SH.COOH})\) was added to a suspension of guinea pig sperms (obtained by milking the epididymis taken from a freshly killed animal and collecting the spermatozoa in normal saline). Microscopic examination of a sperm suspension containing 10% thioglycollic acid showed on wet films that no motile sperms were present after 1 minute exposure to the acid. The mixture of spermatozoa and thioglycollic acid were incubated for a period of \(4\frac{1}{2}\) hours at 37°C. and specimens were removed at 30 minute intervals. Smears were then made on glass slides, dried in air, and layered with anti-nuclear factor positive sera and with normal control sera. Testing for nuclear staining in the usual way showed no nuclear staining of the sperm heads at any stage.
(c) Physical methods:— Guinea pig suspensions were exposed to high frequency sound waves in an M.S.E. Mullard cabinet at 20 kilocycles per second. After 5 minutes, microscopic examination of wet films showed an almost complete absence of motile cells and numerous free sperm heads and separated tails lying free. However, when tested with anti-nuclear factor positive sera, no uptake of the factor was observed, even by the free sperm heads.
Plate 14
Photomicrographs of sections of Guinea-pig testis treated with anti-nuclear factor positive serum and normal serum.
treated with anti-nuclear factor positive serum
x 800
treated with normal serum
x 800
Note absence of staining of sperm heads; the slightly auto-fluorescent tails can be seen near the centre of the germinal follicle. The somatic nuclei and the immature sperm cells take up anti-nuclear factor from the positive serum.
3. **Immunisation with nuclear materials**
Animal experiments were undertaken in an attempt to induce immune responses to various nuclear components. It was hoped that either circulating antibody (comparable to the anti-nuclear factor) or skin hypersensitivity reactions (of the immediate (within 4 hours) or delayed (24 hour) types), could be produced experimentally. Particular interest in the delayed hypersensitivity reaction arose from the accumulating evidence of the importance of cellular immunity in the pathogenesis of systemic lupus erythematosus.
The source of the materials mentioned in table 18 was as follows:— Calf thymus nucleoprotein and guinea pig nucleoprotein prepared as described in Chapter 1; Calf thymus D.N.A. and calf thymus histone from Worthington Biochemical Corporation; Polylysine, synthesised by Courtaulds for Dr. R. Consden; Bovine serum, albumin and fraction 2 gamma globulin from Armour Laboratories; protamine sulphate from British Drug Houses. Finally the calf thymus saline extract was taken during preparation of nucleoprotein, and consisted of the supernatant obtained after the precipitation of nucleoprotein by 6 volumes of water from the 1 M. saline solution (see Materials and Methods Chapter). The protein content of this solution was 2 mg/ml. (Biuret).
Immunisation was carried out by the subcutaneous or intra-dermal injection of the materials with or without adjuvant (Freund's complete or incomplete - Difco).
Guinea Pigs
Forty-one animals received one injection each of calf thymus nucleoprotein in 1 M. saline, the amount ranging from 4 μg to 2.5 mg.
Twelve animals received 600 μg. of nucleoprotein with complete adjuvant intradermally at weekly intervals for 3 weeks. Skin tests in these animals 7 days later using 1/5 or 1/20 dilutions of the test antigen injected intradermally in quantities of 0.1 ml. gave rise to delayed skin sensitivity to the nucleoprotein, whether or not adjuvant was used. However, skin sensitivity, both immediate and delayed, and anaphylaxis, were elicited also by a saline extract of calf thymus, and in addition delayed skin reactions occurred to bovine serum, bovine albumin and fraction 2 gamma globulin. In contrast, no reactions were obtained to calf thymus D.N.A. or to guinea pig nucleoprotein.
The conclusion was drawn that the above reactions could be the result of immune reactions to contaminating material in the nucleoprotein preparation. Accordingly, this was tested by immunising animals with saline extract of calf thymus and complete adjuvant, and with a complex of calf thymus D.N.A. and bovine albumin. Animals immunised in this way showed delayed reactions to calf thymus nucleoprotein, to saline extract of calf thymus, to calf thymus histone and also to bovine albumin. The animals showed no reaction to D.N.A. These results, therefore, could all be attributed to delayed reactions, involving bovine serum albumin present in the preparations of nucleoprotein used for immunisation and in the reagents used for skin testing.
### Table 18
**SKIN TESTS AND ANAPHYLAXIS IN GUINEA PIGS IMMUNIZED WITH NUCLEAR MATERIALS**
| Immunizing Material and Dose | No. of Guinea Pigs & Route | Skin Tests | Testing Material |
|------------------------------|----------------------------|------------|------------------|
| | | Immediate | Delayed |
| Calf thymus nucleoprotein (NP) | * 38 i.d. | 0 | + |
| (in 1M sal., 4 mg=2.5mg.) | | (+) | ++ |
| with complete or incomplete adjuvant | 15 s.c. | 0 | 0 |
| Saline extract of calf thymus (2 mg, protein) | 4 i.d. | 0 | (+) |
| (complete adjuvant) | | (+) | (+) |
| Insoluble complex from- | | | |
| DNA (300 µg) + Histone(300µg) | 2 i.d. | 0 | 0 |
| DNA (500 µg) + Polylsine (125µg) | 2 i.d. | 0 | 0 |
| (in-co valerate adjuvant) | | | |
| Calf thymus DNA complex with bovine albumin (125 µg DNA+2.5mg BSA) | 2 i.d. | 0 | 0 |
| (incomplete adjuvant) | | | |
| Calf thymus Histone (500µg) | 2 i.d. | 0 | + |
| Polylsine 2.5mg, or Protamine (125µg) | 6 i.d. | 0 | + |
| (incomplete adjuvant) | | | |
* 12 animals of this group received 600µg. of nucleoprotein at weekly intervals with complete adjuvant for 3 weeks.
Skin tests were carried out using 0.1 ml. of 1/5 or 1/20 dilutions.
**Notes:** - not done. i.d. = intradermal. s.c. = subcutaneous. ++ indicates raised erythematosis area 10-15mm. in diameter. + ditto. (*) ditto. 0 indicates no reaction.
When such contaminants are not present as in artificially prepared complexes of "purified" D.N.A. and histone, no reactions are obtained following injections of this material. Injections of similar complexes with other basic proteins (protamine and polylysine) did not result in the development of skin reactions.
In addition to the skin tests, the sera (obtained by heart puncture) from 10 guinea pigs which had been immunised against calf thymus nucleoprotein, and which had shown positive skin reactions to this antigen, were tested for anti-nuclear activity by the indirect fluorescent antibody method on air dried and acetone fixed sections of calf thymus cut in the cryostat in the usual way. The fluorescent conjugate was prepared using an antiserum against guinea pig globulin prepared by the method of Milgrom et al. (1956) as described. Four other sera obtained from animals immunised against a complex of D.N.A. and histone were found to be negative.
**Rabbit experiments**
A number of rabbits were injected with nuclear materials as follows:-
Rabbits 1 and 2 were given 5 mg. of calf thymus nucleoprotein with Freund's complete adjuvant; rabbits 3 and 4 received 5 mg. of calf thymus histone with complete adjuvant; and rabbits 5 and 6 were given 5 mg. of calf thymus histone without adjuvant. The injections were given subcutaneously and repeated after 3 weeks. Ten days after the final injection, the animals were bled from the marginal ear vein and the serum collected. The sera from these animals was tested against sections of calf thymus and against human infant thyroid as
used in the anti-nuclear factor test. The fluorescent conjugate used was an antiserum prepared against rabbit globulin by extensive immunisation of a goat, using Freund's complete adjuvant (the serum was kindly provided by Dr. J. David). Examination of the preparations showed no evidence of nuclear staining with any of the sera. An interesting finding with the two sera from rabbits immunised against calf thymus nucleoprotein was weak cytoplasmic staining of the calf thymus cells. This staining would appear to be due to antibody to the contaminating protein material in the nucleoprotein preparation used for immunisation, and is consistent with the interpretation given to the results in the previous section.
Precipitin tests were carried out in capillary tubes with these sera, using calf thymus nucleoprotein, guinea pig nucleoprotein, calf thymus D.N.A., and bovine serum as the antigens. No precipitates were formed specific for the nucleoprotein preparations or the D.N.A. after 2 hours incubation at $37^\circ$C. and 72 hours at $+4^\circ$C. However, the sera from rabbits one and two showed a faint precipitate with bovine serum antigen at 72 hours.
C. Examination of tissues of patients with circulating anti-nuclear factor
During the course of this investigation, the tissues of 2 patients with circulating anti-nuclear factor became available.
1) Post-mortem specimens of heart, kidney and spleen from a patient with systemic lupus.
2) Spleen taken at operation from a patient with Rheumatoid Arthritis and splenomegaly.
Blocks of these tissues were snap frozen in the manner previously described and 6μ sections cut in the cryostat. The sections were layered with anti-human globulin fluorescein conjugate and examined microscopically for the presence of localised globulin. The following conclusions were made:-
(a) The nuclei of all the tissues examined showed no evidence of the in vivo uptake of serum anti-nuclear factor (plate 15).
(b) The nuclei of tissue sections could be coated by anti-nuclear factor from the patient's own serum when layered on in vitro (plate 15).
(c) Calf thymus nucleoprotein was conjugated with fluorescein isothiocyanate in the way described in Chapter 1 for protein conjugation (the protein concentration in this case was lower (1.2 mg./ml.) than that usually used for conjugation). When sections of spleen, either air dried in the usual way or fixed in anhydrous acetone, were layered with the conjugated nucleoprotein, no staining was noted by the cytoplasm or nuclei of any cells in the sections. The addition of unconjugated
nucleoprotein followed by anti-nuclear factor positive serum and then by anti-human globulin conjugate also gave negative results.
(d) There was no evidence of uptake of gamma globulin by the glomerular tissue (plate 15). This did not, however, show any pathological change histologically.
It was not possible to show the specific localisation of gamma globulin in this kidney as the degree of background fluorescence present (plate 15) was similar to that in normal kidney, and the author would agree with Cruickshank's similar observations (1959) - see Introduction - who states that "it is difficult to see how this approach could be used to investigate the role of tissue auto-antibody."
Failure of uptake of anti-nuclear factor in vivo.
Section of kidney from patient with S.L.E. stained with anti-human globulin conjugate, showing no nuclear staining.
Kidney section after exposure in vitro to same patient's serum and stained with anti-human globulin conjugate, showing nuclear staining.
DISCUSSION
This work has shown that using Coon's indirect fluorescent antibody technique it is possible to detect the coating of cell nuclei in unfixed tissue sections by a globulin factor derived from the serum of patients with Systemic Lupus Erythematosus and various other diseases (Table 1).
Comparison of Series
Systemic Lupus Erythematosus
The results have shown that this anti-nuclear factor is present in all cases of clinically definite Systemic Lupus Erythematosus except one in prolonged remission (described in the text). Fifty-eight of the 63 cases were shown to have a positive L.E. cell test. This high incidence of the anti-nuclear factor in Systemic Lupus has been found by other workers (Table 19). Thus Friou et al. (1958) using the same technique reported a series of 28 cases (active and quiescent) with a positive test in all but one, and in a later publication, using spots of dried calf thymus nucleoprotein instead of tissue sections, they obtained positive tests in all of 35 cases of the disease. Bardiwal et al. (1958) reported nuclear staining of tissue sections in all of 5 cases using both the indirect and the direct fluorescent antibody technique, and all fifteen of the Systemic Lupus cases of Calbresi et al. (1959) were positive for anti-nuclear factor using the indirect technique. Alexander and Duthie, using isologous white cells as the nuclear source, reported 8 cases with positive tests (1958), and later
Alexander, Duthie and Bremner reported 12 of 12 patients to be positive (1960). Mandema et al. (1961) tested 151 samples of sera from 56 patients and obtained 131 positive tests using buccal mucosal cells as the nuclear source. The 20 negatives were found in the "inactive stage" of the disease. Other recent reports using the same technique follow the same pattern - 35 positives among 39 cases (Baugh et al. 1960) - 22 of 22 cases (Hall et al. 1960) - 43 out of 53 cases (Rothfield et al. 1961) - 43 of 51 cases (Widelock et al. 1961).
**Rheumatoid Arthritis**
With regard to the incidence of anti-nuclear factor in Rheumatoid Arthritis, the finding in the present series that 19 of 132 cases were positive (14%) compares well with the findings of Friou et al. of 3 positives among 15 cases using tissue sections and 4 positives of 42 cases using nucleoprotein spots, and that of Mandema et al. (1961) of 2 positives in 17 cases. Two positives among 11 "uncomplicated" cases of rheumatoid arthritis were reported by Calbresi et al. (1959): only 3 of 39 cases had anti-nuclear factor titres of over one in eight in the 9 positives found in the series of Baugh et al. (1960): 5 positives were found in 25 cases of Rothfield et al. (1961). In contrast, Bardiwal et al. (1958) found 5 of 8 cases of Rheumatoid Arthritis to be positive, but as 4 of the 5 cases had a positive L.E. cell test compared to the finding in the present series of only 3 positives in 95 cases, their
series would appear to be non-representative. The same workers (Hall, Bardiwal, Bayles and Mednis 1960) reported on 130 cases of rheumatoid arthritis and found anti-nuclear factor in 36% of the cases. L.E. cells were found in 13% of the cases. Alexander et al. (1960) reported a high incidence (65%) in a large series of 183 patients with Rheumatoid Arthritis. However, if we examine the titres reported by Alexander in both Systemic Lupus Erythematosus and Rheumatoid Arthritis, and compare them with those in the present series, we see a striking difference in the sensitivity of the tests used. Eight of the 14 cases of Systemic Lupus titrated in the present series had titres of between 1/100 and 1/300 and none exceed this titre (the test in this respect compares closely to that of Friou et al.). By contrast, however, Alexander et al. report that 5 of their positive sera could be diluted beyond 1/512, and one of these to 1/4000. Similarly, the titres of anti-nuclear factor in sera from Rheumatoid Arthritis patients in the present series, with two exceptions, fall below 1/100 in the 12 positive cases tested (again following a pattern similar to that of the cases of Friou et al.). In comparison, Alexander et al. reported that 14 of the 119 anti-nuclear factor positive cases in their Rheumatoid Arthritis series had titres of 1/512 and 6 at dilutions even greater than this.
| | Systemic Lupus positive | Systemic Lupus negative | Rheumatoid Arthritis positive | Rheumatoid Arthritis negative |
|----------------------|-------------------------|-------------------------|-------------------------------|-------------------------------|
| Present series | 62 | 1 | 19 | 113 |
| Friou et al. | 27 | 1 | 3 | 12 |
| Bardiwal et al. | 5 | 5 | 5 | 8 |
| Calbresi et al. | 15 | 0 | 2 | 11 |
| Alexander et al. | 12 | 0 | 119 | 44 |
| Baugh et al. | 35 | 4 | 9 | 30 |
| Hall et al. | 22 | 0 | 46 | 84 |
| Goodman et al. | 26 | 1 | 6 | 24 |
| Mandema et al. | 131 (sera) | 20 | 2 | 15 |
| Rothfield et al. | 43 | 10 | 5 | 20 |
| Widelock et al. | 43 | 8 | 16 | 32 |
The series reported by Rijnsburger (1962) give an incidence of 25 in their 132 cases of connective tissue disease compared with 6% in the present series.
Alexander et al. (1961) described anti-nuclear factor in 4 (18%) of 40 lupus nephritis patients.
Other Diseases
The finding of anti-nuclear factor in 2 of 4 cases of Dermatomyositis in the present series is consistent with similar reports by Friou et al. (1958) - one of 2 cases positive, Hall et al. (1960) - 2 out of 3 cases positive, and Alexander et al. (1960) - one case tested and found positive. The failure to find anti-nuclear factor in the 8 cases of Scleroderma tested contrasts with the finding of 1 among 3 cases reported by Friou et al. (1958), 2 of 3 cases by Alexander et al. (1960), 4 of 6 by Bardiwal et al. (1958), and 8 of 10 cases by Hall et al. (1960). However, until a larger series is available, it is not possible to do more than state the difference in incidence which has been noted.
The finding in the present series of positive tests in sera from patients with liver disease was confirmed by Mandema et al. (1961) who reported the finding of 5 positive tests in 11 cases of hypergammaglobulinæmia and liver disease, and by Baugh et al. (1960) who found 3 cases with a positive test in eight cases of chronic liver disease. There are no other reports of positive anti-nuclear factor tests in Still's disease (in the present series 13 of 100 cases were positive); the small number of cases (7) tested in the reported study of Alexander et al. (1960), all of which were negative, does not allow a final conclusion to be drawn. Similarly, no comparable series of Discoid Lupus patients has been tested by this technique. The series reported by Hijmans et al. (1961) give an incidence of 8% in their 182 cases of uncomplicated Hashimoto's disease compared with 14% in the present series. White et al. (1961) described anti-nuclear factor in 5 (12%) of 40 cases of lymphadenoid goitre.
Comment on the clinical significance of anti-nuclear positive reactions
Systemic Lupus Erythematosus
The series of 63 cases of Systemic Lupus reported in this work shows a 98% incidence of anti-nuclear factor in the disease. As shown in the previous section, all the reported series of cases of this disease give a high incidence of the factor. In addition, Table 3 shows that all the Systemic Lupus cases fell into the moderate or high titre groups and none had a titre under 1/20. This is consistent with the findings of Mandema et al. (1961) and Baugh et al. (1960). Thus it would be difficult to sustain a firm diagnosis of Systemic Lupus in the absence of a positive test for anti-nuclear factor. A positive result would be of particular value in cases in which the L.E. cell test had been found to be negative, as applied to 4 of the cases in this series (and 15 of the 35 anti-nuclear factor positive cases of Baugh et al. 1960). The author would strongly concur with the view that "the diagnostic value of anti-nuclear reactions in this condition is beyond question" (Nairn 1962). It is important to stress that the results are reliable only if proper controls are carried out at each investigation. In the author's experience, the anti-nuclear factor test is much simpler to interpret than the L.E. cell test, and individual tests can be more rapidly read. Tables 4, 5 and 6 show the incidence of certain features in the present series and in other reported series which are of interest in relation to possible
immunological abnormalities in the disease. Whilst each feature is capable of an alternative explanation, their occurrence together is consistent with the outline in the introduction in relation to possible occurrence of auto-antibodies to red cells (anaemia and positive Coombs test), to white cells (leucopenia), platelets (thrombocytopenia) and anti-tissue antibodies (positive serological tests for syphilis). The immunological evidence to be discussed hopes to show that anti-nuclear factor can be included with these as a possible auto-antibody.
**Rheumatoid Arthritis**
In their study of the incidence of anti-nuclear factor in human serum, Alexander et al. (1960) used a sensitive technique which resulted in the detection of anti-nuclear factor in 65% of 133 cases of rheumatoid arthritis. This resulted in a large series of anti-nuclear factor positive cases of rheumatoid arthritis and they were able to present a comprehensive analysis of their patients on a comparable age and sex basis, emphasising primarily the importance of anti-nuclear factor in relation to prognosis. An association was found in their series, of anaemia (haemoglobulin of less than 70%) and a raised E.S.R. with the presence of anti-nuclear factor; they also noted that long standing cases with impaired functional capacity tended to fall into the anti-nuclear factor positive group. They came to the conclusion that "The results of the present study confirm that both anti-nuclear factor and rheumatoid factor may be of prognostic significance and that
anti-nuclear factor was more closely associated with signs of the disease and with functional activity". The present series, in comparison, included a much smaller number of anti-nuclear factor positive cases in the total of 132 cases of Rheumatoid Arthritis tested, and did not allow an analysis of this type. A comparison between anti-nuclear factor positive and negative cases was made, however, with emphasis again on features relevant to the auto-immune hypothesis and a possible underlying relationship between Rheumatoid Arthritis and Systemic Lupus. The important point of agreement between the series of Alexander et al. and the present one was the significance of anaemia in relation to the presence of anti-nuclear factor. In the present series a $\chi^2$ of 6.71 was found when comparing the occurrence of anaemia (Hb. less than 11g.) in the anti-nuclear factor positive group with its incidence in the negative group. There was no significant difference between the globulin levels (table 7) in the anti-nuclear factor positive and negative groups of cases, and thus if any difference did exist it must have been qualitative rather than quantitative. The presence of the rheumatoid factor, which indicates a qualitative change in the gamma globulin of these patients, was not significantly different between the two groups, this factor being a common feature to the majority of Rheumatoid cases. A feature noted in the present series and not included in the analysis of Alexander et al. (1960) was L.E. cells, which as might be expected were found in a significant proportion (25%)
of the anti-nuclear factor positive cases. The comparison in table 8 suggests that the Rheumatoid Arthritis cases, with respect to the features listed, resembled Systemic Lupus more closely when anti-nuclear factor was present in their serum than when it was not.
**Discoid Lupus**
The 75 cases in this group, as has been stated, were carefully selected because extensive study had shown no evidence of systemic disease at all - and although the extent and the severity of the skin lesions varied (and indeed corresponded to the presence of anti-nuclear factor) all were following a long benign course. This makes the presence of anti-nuclear factor in 13% of the cases a surprising finding and one of considerable interest in relation to the question of the overlap of this disease with systemic lupus (Scott and Rees 1960). Up to 6 months after the tests were carried out, the anti-nuclear factor positive cases are reported not to have developed any systemic signs (Scott personal communication). There is no other comparable series reporting tests for anti-nuclear factor in this condition. However, the report of Bennett et al. (1961) does offer some points of comparison. These workers studied 16 cases of Discoid Lupus which at the outset of the investigation had no evidence of systemic disease. The tests carried out included a complement fixation test between D.N.A. and patient's serum (uniformly negative), the L.E. cell test (positive in 2 cases one of whom later developed signs of systemic disease), a skin test
using leucocytes - this test having been shown to be positive in a significant proportion of cases with the systemic disease (3 of the 16 cases gave a positive reaction). The indirect Coombs test for rheumatoid factor and the Wassermann were positive in a few of the cases. These results taken with the present findings emphasise the probable underlying relationship between the purely cutaneous and the systemic forms of the disease.
**Thyroid Disease**
The significance of anti-nuclear factor in thyroid disease is probably most clearly summed up in the report of Hijmans et al. (1961) who have carried out an extensive study of auto-antibodies in thyroid disease, systemic lupus, rheumatoid arthritis and various combinations of these diseases. They state "The two diseases lymphadenoid goitre and systemic lupus appear to be extreme examples at opposite ends of a spectrum of diseases showing varying immunological disturbances." In support of this thesis they show that 15 (25%) of the 60 systemic lupus cases have anti-thyroid antibodies, that all 5 of the cases with co-existent Hashimoto's disease and systemic lupus have both anti-nuclear factor and anti-thyroid antibodies, and that 8% of their uncomplicated Hashimoto's disease cases have anti-nuclear factor. In their cases of Rheumatoid Arthritis 9 (11%) of the 79 cases uncomplicated by thyroid disease had anti-thyroid antibodies and all 7 of the cases in which
both diseases coexisted had anti-thyroid antibodies and three had anti-nuclear factor. It is of special relevance to the present study that anti-nuclear factor should co-exist with thyroid antibodies in the well-established auto-immune condition of Hashimoto's disease. (see page 164).
**Liver Disease**
The anti-nuclear factor has not been widely studied in liver disease as already noted. The findings in the present series were in agreement with those of Baugh et al. (1950) with respect to the titre of the factor, which fell into the moderate titre category in both series. The L.E. cell test, on the other hand, has been examined for, and found to be positive in cases of disease in several reports. Heller et al. 1956 reported 3 cases of post-necrotic cirrhosis with a positive L.E. cell test, Joske and King in 1955 reported 2 cases of chronic active hepatitis with L.E. cells, and one case was found in the report of Wilkinson and Sacker (1957). The detailed report of 14 cases of liver disease with L.E. cell factor by Mackay et al. (1959) used the term "Lupoid hepatitis" to describe the condition, and it is of interest to compare their L.E. cell positive sera with the anti-nuclear factor positive cases in the present series. In their series, 6 of the cases had arthralgia as one of the symptoms, and in the present series 3 of the 5 positive cases had this feature compared with only 2 of the 22 negative cases. In addition, two of the 3 cases with arthralgia and anti-nuclear
factor had a positive test for rheumatoid factor. (Table 10). Four of the five anti-nuclear factor positive cases in the present series were considered to be post-infective forms of the disease and this consideration applied to 5 of the 14 cases in the series of Mackay et al. (1959). (7 other of their cases had a doubtful aetiology). Whilst 10 of their cases were females, only 2 of the 5 cases in the present series were females. One case in each series had haemolytic anaemia. Mackay et al. noted in liver biopsies of 9 of their patients that dense plasma-cell and lymphocytic foci were prominent in the portal tracts as "the morphological counterpart of antibody production". In addition, the auto-immune complement fixation test (A.I.C.F) was found to be positive in 75% of their cases. The histological findings in the livers of 19 cases of systemic lupus studied by Mackay and his colleagues showed non-specific changes in 13, and normal tissue in four. The remaining two had the typical "Lupoid hepatitis" changes. These findings are of interest in view of the overlap which has been shown between the Lupoid hepatitis cases and the present series of anti-nuclear positive cases.
(Parker et al., 1961), or a reaction between serum albumin and antibody of the type described by Goldsmid and Patman (1961). The finding of anti-nuclear factor in some patients of patients with Systemic Lupus reported by the author with Russell and Johnson (1961) and by Sacks et al.(1961) suggests the possibility that this may be an early reflection of the disease, and is supported by the well described
Consideration of the Low-Titre Anti-Nuclear Factor Positive Sera
Occasional low-titre positive tests were found in the present investigation in patients with miscellaneous disease, in the pulmonary tuberculosis group and in the normal controls. Titration of these sera has shown that they fall into the low titre category. There are a number of possible interpretations to account for these findings. The first is to assume that the anti-nuclear factor in all these sera is the same as that in Systemic Lupus and that the difference is quantitative. In this case either the anti-nuclear factor is present in all normal sera in small amounts and is enhanced in certain diseases (discussed Page 126) or the finding of anti-nuclear factor is a reflection of underlying disease which will emerge at a future date. An alternative hypothesis is that the anti-nuclear test is able to detect a number of different serum components which can react with cell nuclei, some of these reactions being non-specific. For example, the factor in Systemic Lupus may be a true auto-antibody and that in Rheumatoid Arthritis and in other conditions some other factor such as lysosyme (Potter et al. 1961), or a reaction between serum albumin and D.N.A. of the type described by Goldwasser and Putnam (1956). The finding of anti-nuclear factor in some relatives of patients with Systemic Lupus reported by the author with Ansell and Johnson (1961) and by Mandema et al. (1961) suggests the possibility that this may be an early reflection of the disease, and is supported by the well described
familial incidence of the disease (see Discussion p.167). Thus the finding of anti-nuclear factor in a small proportion of the control series may reflect a predisposition to abnormal antibody production and an indication that such individuals are candidates for auto-immune disease.
The possibility that the anti-nuclear factor test may be able to detect a number of different non-antibody serum components capable of reacting with cell nuclei must be examined closely. Potter, Duthie and Alexander (1962) found that a variety of proteolytic enzymes, when conjugated with fluorescein, combine with cell nuclei and give typical anti-nuclear staining (i.e. using the direct method of Coons). Since the sera of patients with Rheumatoid Arthritis were able to bind smaller quantities of papain than normal sera, these workers postulated that enzyme present in such sera may be unbound and free to produce some of the lesions noted in the disease. They also suggested that such enzymes may be responsible for nuclear staining at least in some cases. To support this thesis they found that the bacteriolytic (lysosyme) activity of the serum was increased in most Rheumatoid Arthritis patients who had anti-nuclear factor. They did not, however, find this association in Systemic Lupus. They did not absorb the enzyme from the sera and then test to see if anti-nuclear activity remained following this. There are several facts which make it unlikely that enzymes are responsible for the staining described in the present work. Papain and a number of other proteolytic enzymes were used in the
present work for treating cell nuclei (page 102) and in the control tests no nuclear fluorescence was observed. Similarly, papain-treated human sperms provided by Dr. Lachmann did not take up fluorescent anti-human globulin conjugate. Thus it appears that the conjugates used in the present work would be unlikely to detect such enzymes, since such detection would rest on the specificity of the particular fluorescent conjugate used (in the indirect method of Coons). According to Potter et al. (1962) free enzyme moves with the gamma globulin fraction of serum on electrophoresis. The fact that conjugate No. 1 (plate 5) gives only one main precipitin band with the gamma globulins, and that there is no report of precipitin bands obtained against lysosyme in human serum (see Crowle 1961) in immuno-electrophoretic studies using a large variety of anti-human sera, makes it unlikely that such a conjugate would detect the enzyme on cell nuclei.
Finally, Potter et al. do not report any immunodiffusion precipitin tests or attempts to absorb antibody to lysosyme from their conjugates, to support their suggestion that their conjugate was able to detect this enzyme. The remaining possibility that the reactions were of a non-immunological type due to the reaction between D.N.A. and serum albumin is considered later in the discussion (page 154).
Detection of reactions to nuclear material by other immunological techniques
1) The antiglobulin consumption test - in which the titre of anti-human globulin serum is measured after the addition of cell nuclei which have been exposed to test serum. The results obtained using this method have been tabulated (Table 20), and show a sensitivity closely comparable both as regards Systemic Lupus and Rheumatoid Arthritis with that of the fluorescent antibody technique as reported in the present work. In addition, Miescher et al. (1957) report positive tests in "other connective tissue diseases" (not included in the table) without giving detailed incidences.
2) The use of radioactive isotope labelled anti-human globulin to detect the uptake of anti-nuclear factor on cell nuclei was described by Friou (1958) employing $^{131}$I to study a small number of cases. With 4 Systemic Erythematosus sera, counts of 550-4000 per minute were observed, compared with 50-60 per minute in 2 sera from Rheumatoid Arthritis patients, and counts of 5, 3 and 9 in the three normal sera tested. The author suggested that the technique might be a valuable method of quantitating anti-nuclear factor in different sera, but there have been no further reports using this technique.
3) Passive haemagglutination tests in which sheep or human red cells are treated with dilute tannic acid, coated with nuclear material and then agglutinated by sera containing antibody to this nuclear material, have
been used by several workers (see table). Not all cases of Systemic Lupus Erythematosus are positive in this test (see Table 20), and no positives are reported in sera from cases of Rheumatoid Arthritis, except for 3 cases in the series of Goodman et al. (1960).
4) The inert particles polystyrene, latex and bentonite coated with calf thymus nucleoprotein (Christian et al. 1958; Fessel 1959) or Calf thymus D.N.A. (Bozicevich et al. 1960) have been used to test sera for activity against nuclear material. Like the tanned cell test, a substantial number of Systemic Lupus Erythematosus sera were negative in this test. Fessel found that four of these negative sera which did not agglutinate the particles were L.E. cell positive. Whilst Christian et al. and Bozicevich et al. report no positive results in Rheumatoid Arthritis, Fessel found an incidence of 22% in his series of 150 cases. The latter also reported several positives in sera from patients with a positive Wassermann test, some of whom had definite clinical evidence of syphilis. Using a commercial latex test (Hyland L.E. test), Dubois et al. (1961) found only 24 positive of 154 cases of Systemic Lupus compared with 79 positive L.E. cell tests.
5) Complement fixation tests have been used for the detection of antibody-antigen combination, using whole nuclei, calf thymus nucleoprotein, D.N.A. and nucleoprotein as the antigens. There is considerable variation in the incidence reported in Systemic Lupus
Erythematosus, and to a less extent in Rheumatoid Arthritis, which cannot be related to the nuclear component used. Thus Robbins et al. (1957) found that 8 of 9 L.E. cell positive sera from patients with Systemic Lupus fixed complement in the presence of calf thymus nucleoprotein. Using the same antigen Rothfield et al. (1961) obtained 23 positive tests in 35 cases of the disease with the very sensitive conglutinating complement fixation test. Using D.N.A. as the antigen, Pearson et al. (1957) and Seligmann (1959) obtained an incidence of 35% and 57% respectively. In contrast, Asherson (1959) found only 4 positive sera in 25 cases of Systemic Lupus which fixed complement in the presence of rat liver nuclei, calf thymus nucleoprotein and D.N.A. The comprehensive study of Hijmans and Schuit (1959) using sera from 29 cases of the disease found that 16 sera fixed complement in the presence of whole nuclei, and that 12 of these did so with calf thymus nucleoprotein, 6 of these with D.N.A., and 2 with histone. Hijmans and Schuit also studied sera from patients suffering from Rheumatoid Arthritis and obtained 7 positive tests with whole nuclei, 4 with nucleoprotein and one each with D.N.A. and histone. Two of the 37 Rheumatoid Arthritis cases of Rothfield et al. fixed complement with nucleoprotein and D.N.A., and one case reacted with histone.
6) Precipitation reactions between Systemic Lupus Erythematosus sera and D.N.A. and nucleoprotein have been used in the present series and by
TABLE 20
Showing Incidence of anti-nuclear factor in Systemic Lupus and Rheumatoid Arthritis. Comparison of series using techniques other than fluorescent antibody technique.
1. Antiglobulin consumption test
| | Systemic Lupus | | | Rheumatoid Arthritis |
|----------------------|----------------|----------|----------|----------------------|
| | positive | negative | | positive | negative |
| Miescher et al. | 17 | 0 | 10 | 41 |
| Engelfriet et al. | 28 | 0 | - | - |
2. Tanned cells and inert particles
| | Systemic Lupus | | | Rheumatoid Arthritis |
|----------------------|----------------|----------|----------|----------------------|
| | positive | negative | | positive | negative |
| Miescher et al. | 3 | 2 | 0 | 25 |
| Epstein & Lee | 10 | 0 | 0 | 10 |
| Christian et al. | 19 | 5 | 0 | 53 |
| Fessel | 25 | 12 | 33 | 117 |
| Bozicevich et al. | 10 | 3 | 0 | 6 |
| Goodman et al. | 23 | 4 | 3 | 27 |
| Dubois et al. | 24 | 130 | - | - |
/continued
TABLE 20 (contd.)
Showing Incidence of anti-nuclear factor in Systemic Lupus and Rheumatoid Arthritis. Comparison of series using techniques other than fluorescent antibody technique.
3. Complement fixation tests
| | Systemic Lupus | | Rheumatoid Arthritis | |
|----------------------|----------------|----------|----------------------|----------|
| | positive | negative | positive | negative |
| Robbins et al. | 8 | 1 | 0 | 21 |
| Pearson et al. | 7 | 13 | 0 | 17 |
| Hijmans et al. | 16 | 13 | 7 | 32 |
| Asherson | 4 | 21 | - | - |
| Seligmann | 27 | 20 | 0 | 27 |
| Rothfield et al. | 23 | 12 | 2 | 37 |
4. Precipitin tests with D.N.A. or Nucleoprotein (NP.)
| | NP. | 9 | 6 | 1 | 10 |
|----------------------|-----|---|---|---|----|
| Present series | DNA.| 2 | 18| | |
| Polli et al. | DNA.| 3 | 5 | | |
| Klein et al. | DNA.| 1 | 29| | |
| Seligmann | DNA.| 28| 21| 0 | 27 |
5. Precipitin and complement fixation tests with D.N.A.
Seligmann 48 73 1 65 (incl 24 L.E cell positive)
other workers. Polli et al. (1957) used D.N.A. and obtained a precipitate in 3 of 8 cases, and Seligmann, also using D.N.A., obtained a precipitate in more than half his 49 cases. All the sera which showed precipitation were from untreated cases, and the sera from patients who had received treatment were usually negative. This explains the low incidence of precipitation with D.N.A. in the present series (2 of 20 cases); treatment would not appear to have this effect in the case of precipitation with nucleoprotein (see table 20). In a recent report, Seligmann (1961) reports the results of a study using both complement fixation and precipitation. Forty-eight of his 128 Systemic Lupus sera were positive (taking the result of both tests into consideration) and of these 26 of 29 untreated cases were positive and none of the 22 cases in remission.
Critical Evaluation of Techniques
The various techniques described above each have their own advantages and disadvantages.
The methods involving the identification of gamma globulin on cell nuclei appear to be the most sensitive way of detecting anti-nuclear activity in sera and of the three methods available - antiglobulin consumption test, isotope labelled antibody, and the indirect fluorescent antibody tests - the last is the only technique which has been applied to sufficient number of sera from different groups of disease states to be able to determine to any extent the distribution of anti-nuclear factor in disease and in normal individuals. The main disadvantage of this method is the failure to distinguish between the various different types of anti-nuclear factor (see later in discussion) and the variation in sensitivity in different hands.
Whilst the indirect methods employing tanned cells and latex and bentonite particles give less consistent results than the fluorescent antibody technique they have the advantage of being relatively simple titration methods in which comparisons can be made between different positive sera. The titres, as in the case of the fluorescent antibody method, tend to be high in Systemic Lupus Erythematosus, and low in the occasional positives found in the miscellaneous disease groups. These coated cell or particle methods suffer from the disadvantage that the antigens used are insoluble in normal saline and require to be partly
depolymerised in order to achieve solubility (with possible alteration in reactivity). In addition, D.N.A. is an acid substance with a pH of 6.5-7 and the pH must be kept above 7 to avoid non-specific reaction between D.N.A. and serum protein. Latex particles are themselves agglutinated directly by certain types of gamma globulin, for example, the macroglobulins in the sera of patients with Rheumatoid Arthritis. Positive reactions may therefore appear unassociated with anti-nuclear factor. These difficulties may explain the wide variation in incidence found using this technique (see Table 20).
The direct identification of antigen reactions by complement fixation has the advantage that it permits the satisfactory analysis of the reactivities of the various constituents of the cell nucleus, and that it is also a titration method. The anti-complementary activity of many Systemic Lupus sera, however, can cause difficulty with this test.
The failure to obtain a positive test in the majority of treated cases, as already discussed, makes the precipitin test unsuitable for the study of the incidence of anti-nuclear reactivity, but it has been of use in the study of the characteristics of the reaction. (See page 153).
The nature of the anti-nuclear factor
In the present work the nature of the anti-nuclear factor has been studied in 24 sera. The ammonium sulphate fractionation procedure provided very little useful information except to show that the factor, like serum globulin, withstood precipitation by a 50% solution. Elution from electrophoresis paper was useful in that no activity was found in the pure albumin, alpha 1 and alpha 2 fractions which were obtained (in the case of the 2 S.L.E. sera P and H and the liver serum Hu examined). It also showed the activity of S.L.E. serum P restricted to the pure gamma globulin. Whilst S.L.E. serum H also showed activity in this pure gamma fraction, additional activity occurred in the (gamma + beta) fraction both by this method (Table 11) and by chromatography (Page 65) (since the "gamma globulin" fraction had been shown by immunoelectrophoresis to contain some beta globulin (Plate 9)). Mercaptoethanol results excluded the possibility that these two S.L.E. sera contained any appreciable activity in the beta 2 M macroglobulin fraction (19 S), and the ultracentrifuge result was consistent with this finding. All the other S.L.E. sera subjected to mercaptoethanol treatment were unaffected (Table 13), i.e. their activity was 7 S gamma globulin. Thus it can be concluded that in Systemic Lupus (at least in the 8 sera tested) the anti-nuclear factor is an immunoglobulin of the 7 S type. The finding that the anti-nuclear factor is a 7 S gamma globulin agrees with numerous studies on the nature of the L.E. cell factor. Thus using salt precipitation and electrophoresis Haserick (1950) and Haserick et al. (1950).
localised the factor in the gamma globulin. Using zone electrophoresis, Carlson and Mollerberg (1958) came to the same conclusion and by means of this technique and cellulose chromatography Fallet et al. (1958), Willkens et al. (1958), and Scheidegger et al. (1960) confirmed these findings. Holman and his co-workers (1957, 1959) showed L.E. cell activity in the 7 gamma globulin fraction by zone electrophoresis and ultracentrifugation. There have been few reports of fractionation studies using anti-nuclear activity other than L.E. cell formation. Willkens et al. (1958) (op.cit.) used agglutination of D.N.A. coated latex particles in addition to L.E. cell formation in the study quoted above, and found that the factor responsible for this activity also occurred in the "pure gamma globulin" fraction. Seligmann (1959) reported the specific inhibition of precipitin lines against D.N.A. by addition of anti-human gamma globulin to lupus sera. Goodman et al. (1960) studied 6 sera from patients with Systemic Lupus by means of chromatographic and ultracentrifugal procedures. They confirmed their earlier work (1959) showing L.E. cell activity in the gamma globulins, and further showed that anti-nuclear activity against mouse liver nuclei, as demonstrated by the fluorescent antibody method, was present in the non-macro 7 S gamma globulin fraction of 3 of the sera they studied. Three other sera contained anti-nuclear activity against mouse nuclei in fractions corresponding to both the non-macro and the macro globulins. However, no immunoelectrophoretic results were shown to exclude the possibility that the "remaining globulins" (called "primarily macroglobulins" by these workers) might contain gamma globulin of the 7 S type. In the
present work, when chromatography of human serum was carried out, only part of the gamma globulin was eluted with the low ionic strength buffer used (0.0175 M phosphate, comparable with the 0.02 M phosphate buffer used by the above workers). Electrophoresis of the "remaining fractions" clearly indicates that it contains gamma globulin.
In contrast, the present work has shown that in the case of the rheumatoid arthritis sera, the factor can be present as either 7 S or 19 S globulin or as a mixture of the two (Tables 12 and 13). The three sera unaffected by thiol treatment and therefore judged, like the Systemic Lupus sera, to be primarily 7 S globulin, had no LE cell forming activity. In the case of rheumatoid arthritis serum Ha. which appeared to contain a mixture of both immunoglobulins, the 7 S fraction was demonstrated by chromatography (page 65) and confirmed by the ultracentrifuge study (Table 12), whilst the 19 S was deduced from the reduction in staining after thiol treatment. The activity in the other disease groups studied shows the same trend as that in Rheumatoid Arthritis (Table 13) although the numbers tested are too small for generalisation at present. The findings in the present work that anti-nuclear activity may be present in the macroglobulin component of sera from some cases of Rheumatoid Arthritis, Liver and Thyroid Disease, is of interest in view of the reported finding of antibody activity in this fraction against a variety of other antigens (Grubb and Swann 1958). These workers used thiol reducing agents to destroy macroglobulin (confirmed earlier observations using ultracentrifugal techniques) and showed that complete anti Rh
antibody was of macroglobulin character in contrast to incomplete anti Rh antibody which was non macroglobulin. They also showed that the human iso-agglutinins anti A and anti B were of macroglobulin type as also was Paul Bunnell antibody. The possibility that macroglobulin represents an immature form of antibody response (Laurell 1961) may or may not apply to the Rheumatoid Arthritis cases. It is interesting to speculate on a possible relationship between type of Rheumatoid immunoglobulin and the likelihood of developing Systemic Lupus.
Further consideration of the results in the present work shows (Table 14) that the sera which can be absorbed with nucleoprotein may have either 7 S or the 19 S type antibody. Thus there would appear to be no relation between the antigen and the globulin type with which it reacts. This observation is similar to that of Biswas (personal communication) in human sera giving biological false positive tests for syphilis. This variation in the globulin response to the same antigen in different individuals is consistent with an abnormality of the antibody forming cells considered later in the discussion.
The nuclear components involved in the anti-nuclear factor reaction
Evidence indicating the particular nuclear components involved in the reaction with anti-nuclear factor positive sera is provided by two main lines of study in this work. The absorption studies with calf thymus nucleoprotein, D.N.A. and histone, was carried out on a group of sera representing the four main groups of cases which the clinical study has shown to contain numbers of anti-nuclear factor positive cases in excess of that in the normal control series. The histochemical studies, on the other hand, were carried out mainly with sera from cases of Systemic Lupus. In this study, a variety of enzymes were used and their effect on the cell nuclei was correlated with the ability of the nuclei to take up anti-nuclear factor.
Systemic Lupus sera
The results with the group of sera which were used in the absorption study indicated that the addition of calf thymus nucleoprotein removed some or all of the activity in all cases, and it has been shown that this absorption was specific for anti-nuclear factor. The addition of D.N.A. to the sera was shown to have no effect on the anti-nuclear factor activity and histone removed the activity in a non-specific manner, as would be expected from its strongly basic character. The histochemical studies showed that the removal of D.N.A. by D.N.A'ase rendered the nuclei of tissue sections incapable of taking up antinuclear factor. Removal of histone by citric acid
had the same effect in spite of the fact that D.N.A. was shown to have remained in the nuclei. Incidentally, it was shown that after anti-nuclear factor was attached to nuclei, it remained in situ despite the subsequent removal of D.N.A. or histone or both. The evidence obtained from the work with sperm nuclear material showed that mature sperm, which contain protamine instead of histone attached to the nuclear D.N.A. (Vendrely et al. 1957) failed to take up anti-nuclear factor and this suggests that the anti-nuclear component reacted in this group of sera with a complex of D.N.A. and histone rather than with either substance individually. The results of the absorption and enzyme studies support this possibility.
As seen from the animal experiments, the nucleoprotein preparation used in the absorption studies contained traces of protein constituents in addition to the D.N.A. and histone components. The possibility that such a contaminating material may be the antigen which absorbed the anti-nuclear factor from the sera was excluded by the failure of proteolytic enzyme treatment to effect the ability of cell nuclei to take up the factor.
Although in most cases the anti-nuclear factor is directed mainly against a complex of D.N.A. and histone, a small part of the activity appears to be directed against some other nuclear component in the cases which showed persistence of some staining after nucleoprotein absorption. This applies also to those sera of the thyroid and liver disease groups which were unaffected or only partly absorbed by addition of nucleoprotein. All these sera when exposed to D.N.A'ase treated
nuclei gave preparations which showed no nuclear fluorescence. The failure to obtain nuclear staining with these sera may be attributable to loss of sufficient of another nuclear component due to the manipulations involved in the D.N.A'ase treatment. The nuclear component concerned in this reaction may be that described by Holman Deicher and Kunkel (1959). This fraction, extractable from nuclei by isotonic phosphate buffers, gives positive complement fixation tests with most sera from Systemic Lupus patients, has been shown by cross absorption experiments to be distinct from the nucleoprotein antigen. In fact the manipulations in the D.N.A'ase treatment include a wash in isotonic phosphate buffer, and this "phosphate-extractable component" is almost certainly responsible for some of the staining.
**Other Diseases**
**Rheumatoid Arthritis:** All the sera tested in this group appear to contain antinucleoprotein factor only (Table 17A).
**Liver and Thyroid Disease:** Whilst the majority of the sera in this group contain antinucleoprotein factor only (Tables 17A,B), some, as discussed above, contain both this and the "phosphate-extractable" factor. These results are consistent with the observations of Holman Deicher and Kunkel (1959) who showed, using complement fixation and precipitin techniques, that sera from Systemic Lupus patients may contain
globulin factors capable of reacting with four different components of cell nuclei, namely whole nucleoprotein, isolated D.N.A., histone and a buffer extract of cell nuclei (mentioned above). Individual sera were shown by cross absorption techniques to contain either all these factors or various combinations of them. Similar results with some or all of these nuclear components are reported by Robbins et al. (1957), Pearson et al. (1957), Asherson (1959), Aisenberg (1959) and Hijmans and Schuit (1959), also by Friou (1958) who found that artificial complexes of D.N.A. and histone dried on glass slides were suitable substrates for the detection of anti-nuclear factor activity.
Of special interest is the serum which failed to fix complement with whole nucleoprotein but was active against nucleoprotein treated with a proteolytic enzyme (Holman et al. (op.cit.)) suggesting that the protein part of the nucleoprotein molecule appeared to be masking the combining sites of the D.N.A. This observation provides an attractive explanation for the one example in the present series of a serum which was negative in the anti-nuclear factor test but which, however, gave a positive L.E. cell test. It is conceivable that in this case the incubation of polymorphs in serum for the L.E. cell test was sufficient to allow the proteolytic enzymes released from polymorphs (Raffel 1961) to expose the reactive sites on the D.N.A. molecule, whereas simple layering of serum on tissue sections failed to achieve this. As has already been mentioned (page 135), the fluorescent antibody method for detecting anti-nuclear factor failed to differentiate between these
different components of cell nuclei. However, during this study high power examination of preparations had shown that occasional sera gave a more speckled type of fluorescence than the usual overall nuclear fluorescence observed. More recently some workers have managed to achieve a more clear-cut differentiation of the type of staining. Beck (1961) in a beautifully illustrated report, describes three types of nuclear staining which he designated "speckled", "homogeneous", and "nucleolar". Rapp (1962) confirmed these observations and found "speckled" chromatin staining in 17 lupus sera, the chromatin and nuclear membrane "homogeneous" type in 9 sera, the "nucleolar" staining in three sera; in addition a fourth type of nuclear membrane staining occurring in 18 of the sera. More recently, Beck et al. (1962) reported on further study of the anti-nucleolar antibody in 11 patients and found that 6 had progressive systemic sclerosis, 2 Sjogren's disease, one discoid lupus, one systemic lupus and one case had pernicious anaemia. The antigen concerned has not yet been identified, but it appeared to lack species and organ specificity thus resembling the other types of anti-nuclear factor. Beck and his colleagues considered that this type of staining may be present in many systemic lupus sera but was obscured by the "homogeneous" overall staining. Finally, Lachmann and Kunkel (1961) claimed that the "speckled" staining occurred in sera in which antibody to "phosphate buffer extract" was the predominant antibody present. No correlation, however, has been attempted between the other types
of staining and any other of the components described by Holman (op.cit.). Since most sera contain an anti-nucleoprotein factor (Kunkel et al. 1960 and present study) and since the fluorescent antibody method detects this factor, it is not easy to comment on how many of the other components of Holman are being detected by this method.
**Relationship of the anti-nuclear factor to the L.E. cell factor**
The L.E. cell factor often appears in the same sera as anti-nuclear factor, and only in one instance in the present work was it present without the anti-nuclear factor. On the other hand, a substantial number of sera contain anti-nuclear factor in the absence of L.E. cell activity. Physico chemical fractionation procedures have shown in the present work that the factors are present in the same serum component and this is supported by other workers (see page 137). The present work suggests that both D.N.A. and histone in combination must be present in the cell nucleus in order that anti-nuclear factor will react with it, and this conclusion has also been reached by Holman and his colleagues (1957; 1959) with regard to the L.E. cell factor. These workers showed that the latter can be absorbed from serum by nucleoprotein preparations and that this absorption occurred only if both the D.N.A. and the histone were present. Hijmans and Schuit (1958) confirmed that calf thymus nucleoprotein completely or almost completely abolished the L.E. cell inducing ability of sera, and in addition found
that D.N.A. or R.N.A. alone had no effect. The work of Klein et al. (1959) showed that nucleoprotein was active in inhibiting the L.E. cell phenomenon and that the inhibitory effect was lost after treatment of the nucleoprotein with D.N.A.'ase and proteolytic enzymes. Whilst the above reports concur that histone is required for L.E. cell activity the report of Lachmann (1961) is an exception. He described "characteristic lupoid cells" formed using papain-treated sperm heads as the substrate, in spite of the fact that these contain protamine and not histone combined with D.N.A. This finding might have been peculiar to the particular serum he used. In contradistinction to his finding, the author was unable to show anti-nuclear staining by a strongly positive serum of a preparation of papain-treated sperm heads provided by Dr. Lachmann.
Most workers agree that after absorption with D.N.A. alone L.E. sera keep a great part of their capacity to induce the L.E. cell phenomenon, but there is a discrepancy in reports on the behaviour of the gamma globulin eluates from precipitates formed between D.N.A. and lupus sera. Thus Seligmann (1958) reported L.E. activity of such extracts whereas Deicher, Holman and Kunkel (1959) failed to do so.
There would appear to be no clear-cut solution to the problem of accurately defining the relationship between anti-nuclear and L.E. cell forming activity. That each is closely connected with both D.N.A. and histone in combination seems likely. Further study of anti-nuclear positive sera which show no L.E. activity might further elucidate the relationship.
Immunisation experiments with nuclear materials
The failure in the present work to provoke specific immune reactions to nuclear material despite the use of adjuvants and the use of repeated injections in the same animals, agrees with the experience of the majority of workers. Thus Seligmann (1950) immunised rabbits with a prolonged course of D.N.A. either untreated or conjugated to normal rabbit serum by heating of formalinization. The sera obtained gave negative results in complement fixation and precipitin tests. It is of interest that the sera which he obtained following immunisation with calf thymus nucleoprotein did not contain anti D.N.A. antibodies either and only reacted with high concentrations of nucleoprotein suggesting the presence of antibodies to contaminating material.
Holman and Deicher (1959) obtained similar results following D.N.A. and nucleoprotein injection in that the reactions which they obtained were all against contaminating material. In extensive immunisation of rabbits with calf thymus nucleoprotein and D.N.A. combined with Freund's complete adjuvant, Lachmann (1961) failed to induce the formation of L.E. cells. Similar failures to induce immune response to nuclear materials were encountered by Friou (personal communication) and Hijmans (personal communication). There have been a number of reports of successful attempts to immunise animals with nuclear components. Earlier reports describe anti-nucleic acid antisera obtained following the injection of a complex mixture of bacterial antigens (Sevag 1938, Heidelberger and Scherp 1939, Menzel and Heidelberger 1938, Pennell 1940). Heidelberger (1940) commenting on
these reports was unable to accept that these findings entirely eliminated the possible role of impurities in the antigens used to detect antibody, particularly as such antigenic contaminants would have been present in the mixture of antigens used for immunisation. Critical examination of the more recent reports of successful immunisation with "purified" nuclear materials reveals similar difficulties in the way of accepting the purity of the nuclear preparations and the specificity of the antisera. Blix et al. (1954) reported that they obtained complement fixing and in some instances, precipitating antibody to a variety of D.N.A. preparations and also to calf thymus nucleoprotein. They failed to exclude the possibility that the antibody response occurred as a result of contaminating protein material in the preparations which acted as the antigen, since the chemical tests they used would not necessarily detect the trace amounts of protein required for successful immunisation. The reduction of the antibody response following depolymerisation of the D.N.A. which they report can be explained in one of two different ways. Either the suggested protein antigen was simultaneously broken down with the D.N.A. and thus lost its antigenicity, or the D.N.A. was acting as an adjuvant (Snell 1957) enhancing the antibody response to a minor contaminant of the preparation, and depolymerisation prevented this adjuvant effect.
It is of interest that in the experiment of Phillips et al. (1958) multiple precipitin bands appeared in the gel diffusion tests with the "purified" D.N.A. and the antisera obtained after immunisation with this material. It is suggested that a contaminating antigen may require the
presence of D.N.A. without which it would form only soluble complexes with antibody. They also suggested that D.N.A. may be co-precipitated with the contaminating antigen and would thus appear in the precipitate. Some of the criticism already raised can be levelled also at 2 recent reports which claim successful immunisation with D.N.A. Colter and Ellem (1961) found complement fixing antibodies in the sera of rabbits immunised with D.N.A. from mouse liver and Ehrlich ascitis tumour cells. The report of Miecher et al. (1960) described experiments in which groups of rabbits and guinea-pigs were repeatedly immunised with Brucella abortis nucleoprotein, calf thymus nucleoprotein, and cell nuclei given together with Freund's complete adjuvant. No precipitins were obtained with any of these antigens but complement fixation (using the very sensitive conglutinating complement absorption test) and passive cutaneous anaphylaxis tests gave positive results in some animals with nucleoprotein, D.N.A. and histone. There was interspecies cross reactivity and D.N.A'ase treatment of the D.N.A. abolished its serological reactivity in the tests, except however when 128 gamma or more D.N.A. was used. With these larger quantities of antigen D.N.A'ase treatment failed to alter the reactivity of D.N.A. in the tests suggesting the presence of a contaminating antigen. Treatment of the D.N.A. with the proteolytic enzyme trypsin did not affect the reactivity of the preparation in the complement fixation tests. However these experiments and those reported above failed to include a test of the antisera against possible contaminating materials.
obtained during the preparation of the D.N.A. such as the saline soluble protein material used for skin testing in the present work. In addition, other non-protein substances are considered to be present in D.N.A. preparations (see Lachmann 1961) and the possibility exists that these results may be due to such an antigen. Thus the report of Levine et al. (1960) proposed that the "anti-D.N.A." antibody, formed in rabbits immunised with T 4 phage D.N.A., was in fact reacting with glucosylated 5-hydroxy cytosine. This was deduced from the ability of the antibody to cross react only with a closely related phage with a similar high glucose content. It should be noted, however, that this antibody does not cross react with calf thymus D.N.A., and thus appears to be different from that described by Miescher. Other materials which may contribute to the antigenicity of nuclear materials are the chromosome bound protein "chromosin" or "chromosomin", an alkali-soluble lipoprotein and a globulin (Busch and Davis 1958). In conclusion, the numerous complex protein and other components known to be associated with the cell nucleus and the possible contamination of D.N.A. and nucleoprotein preparations with such material leads to considerable sources of error in any report which claims the successful induction of antibody to nuclear material. Finally, as D.N.A. is part of all nucleated cells it would seem unlikely that a normal animal could be induced to react to and form antibody to such an important cell constituent. The more likely explanation for the formation of the anti-nuclear antibodies found in systemic lupus is that they are produced by abnormal antibody producing cells in the manner discussed in another section.
The nature of anti-nuclear factor in relation to antigen-antibody reactions
The reaction between sera containing anti-nuclear factor and nuclear material has been shown using a number of standard immunological techniques (Table 20) to result in the fixation of complement, the agglutination of particulate materials coated with the specific antigen, and the precipitation of soluble antigen. In addition, the anti-nuclear factor has, in common with other known antibodies, been isolated in the gamma globulin and macroglobulin fractions of the serum, and it can be detected by the anti-globulin consumption test and by the fluorescent technique using an anti-human globulin conjugate. As has been shown, the most efficient conjugate for this purpose was one showing one main precipitin band against the gamma globulin component on immunelectrophoresis (plate 5), and it is also known that antibody to gamma globulin cross reacts to beta\textsubscript{2} macroglobulin (Crowle 1961).
No completely satisfactory criteria exist for defining an antigen antibody reaction and each of the above-mentioned features of the primary and secondary effects of antigen antibody union by itself can be reproduced by non-antibody antigen systems. For example, it has been shown that heat denatured gamma globulin and aggregated gamma globulin are able to fix complement (Ishizaka et al. 1959) (Christian 1959), and sera which have stood at room temperature for a few days are well known to become anti-complementary (Zinsser and Johnson 1911). The agglutination of red cells by certain viruses and phytohaemagglutinins is
a similar type of non-immunological phenomenon as is the finding of Liesegang rings in double diffusion in agar due to inorganic materials (Feinberg 1957), and the precipitation of D.N.A. by proteins (Goldwasser and Putnam 1956) (Coleman and Edelhoch 1956). One of the most commonly used criteria for deciding on the immune nature of a reaction is the shape of the precipitin curve in the quantitative precipitin reaction. In the case of classical antigen antibody systems, less precipitate is formed in both the antigen and the antibody excess zones and this procedure was used to study the anti-nucleoprotein reaction. When increasing quantities of nucleoprotein were added to a constant amount of nucleoprotein-precipitating serum no decrease in the quantity of precipitate was found with the higher concentrations of nucleoprotein (Figure 5). The evidence from dextran-anti-dextran systems that higher molecular weight antigens form complexes with antibody, which are less soluble in antigen excess than those from smaller molecules (Kabat and Mayer 1961) was shown not to apply to the high molecular weight substance D.N.A. by Deicher et al. (1959), and cannot therefore be assumed for nucleoprotein. The most likely explanation lies in the high viscosity of the more concentrated nucleoprotein solutions which would interfere with their adequate mixing with the antibody and thus effectively prevent much of the antigen from making contact with the antibody molecules. The coating of the coils of nucleoprotein noted in the capillary tube precipitin tests supports this contention. It was
to overcome this that nucleoprotein was used in a lower concentration which was kept constant while the concentration of the serum was varied (Fig. 6). When the results are presented to show the precipitate formed with increasing quantities of antigen per unit of serum (Fig. 7), a curve of the classical type is obtained. Similar precipitin curves with D.N.A. and serum from patients with Systemic Lupus were obtained by Deicher et al. (1959) and Barbu et al. (1960). Deicher and his co-workers also established that the reactions could be distinguished from the non-immune precipitin reactions obtained at a pH of 5.1 described by Colman and Edelhoch (1956) and Goldwasser and Putnman (1956) since the immune type of reaction was shown to occur within the pH range 7.5 to 8.6. In the present work, the pH of the reaction mixture was 8.0. In addition these workers were successful in demonstrating a precipitin band with D.N.A. and serum from lupus patients, using the technique of immunodiffusion, similar to the result shown in the present work (plate 11). In both cases the position of the precipitin band was shown to depend on the concentration of the antigen - as would be expected in an antigen-antibody reaction.
It is the co-existence of numerous immunological features described above which supports the thesis that anti-nuclear factor is an antibody. At the beginning of this Chapter, and in the Introduction (pages 16 and 20), mention has been made of antibodies to red cells, white cells, platelets and certain cytoplasmic constituents. It seems justifiable, in view of the evidence discussed above, to include the anti-nuclear factor in this group of antibodies, and with this assumption, the final part of the discussion will deal with its possible mode of origin and its pathogenetic significance.
The role of the anti-nuclear factor in disease
The activity of the red cell antibody in autoimmune haemolytic anaemia is clearly indicated by the episodes of haemolysis, and the uptake of the antibody on the red cells can be shown readily by the direct Coombs test. This contrasts with the difficulty in demonstrating the in vivo activity of anti-nuclear factor in Systemic Lupus, shown in the present work by the fact that sections of kidney and spleen from two patients with high titres of circulating anti-nuclear factor showed no evidence that uptake of the factor by the nuclei of the cells had occurred in vivo (plate 15). These nuclei, however, were able to take up the factor when the sections were layered with autologous serum, i.e. in vitro. Similar results are reported by Holman et al. (1959), Mellors et al. (1957) and Vasques and Dixon (1957). The finding in one case by Alexander and Duthie (1958) that the nuclei of skin sections from a patient with the disease were unable to take up the factor in vitro suggested to them that the nuclei were already coated with antibody, but there have been no other reports of similar findings.
Robineaux (1959) found that living polymorphs kept in vitro can take up the L.E. cell factor (in contrast with Lachmann's failure to show this, (Lachmann 1961) from the serum in which they are suspended. Robineaux' finding, however, is open to the objection that the cells were already dying due to the unsuitability of the environment. That the uptake in vivo is unlikely is supported by the difficulty in demonstrating that
L.E. cells have formed in the peripheral blood, as indicated by the rare reports of such a finding (Watson et al. 1951, Sickley et al. 1955, and Chomet et al. 1953). That the factor is unlikely to attack living cells is shown, too, by the failure of the factor to affect the growth of cells in tissue culture (Rapp 1962, Lachmann 1961) (Hijmans personal communication), (Baum personal communication). Some preliminary experiments were carried out by the author in co-operation with Dr. G. Loewi using tissue cultures of guinea-pig testis and indicated that the serum from Systemic Lupus patients had no effect on either the morphology or growth of the cells. It was of particular note that the anti-nuclear factor was taken up on air dried films of these cells only after they had been damaged by exposure to dilute trypsin. This is probably similar to the exposure of the nuclei in cells cut across in tissue sections (i.e. damaged) and the fact that not all cells are cut through in such sections might explain why not every nucleus can be shown to be stained (plate 15). The experiment of nature whereby the infants of mothers with Systemic Lupus receive L.E. cell factor through the placenta and yet show no signs of the disease, indicates that the presence of the factor for a few weeks in the circulation of the infant is not able to produce clinical signs of the disease (Berlyne et al. 1957, Bridge and Foley 1954, Burman and Oliver 1958).
The important observation in Systemic Lupus which makes it necessary to consider further the question of the in vivo uptake of anti-nuclear antibodies is the well recognised presence of altered nuclear
material in the lesions of the disease. This is shown by the haematoxylin staining bodies found in the tissues of patients with the disease (Gross 1932, Ginzler and Fox 1940 (Klemperer op.cit.). These are described as reddish purple amorphous structures usually ovoid or spindle shaped, about the size of a cell nucleus, occurring singly or in clusters or coalesced into aggregates (Worthington et al. 1959). They are considered to be derived from cell nuclei and have been shown to contain nuclear material in combination with larger quantities of protein than is normally combined with the D.N.A. of cell nuclei (Godman and Deitch 1957, Godman et al. 1958). These workers believed that the antibodies to nuclear materials displace the nuclear histone from combination with the D.N.A. to form both the L.E. inclusion body and the haematoxylin bodies of Systemic Lupus. In view of the results of the present work it seems most likely that this displacement would occur in the nuclear material of dead cells. If the site of cell destruction was in the lumen of blood vessels, this could lead to the lodging of aggregated complexes of antibody with nuclear material in small blood vessels. This would be comparable to the finding of German (1958), that haematoxylin bodies can be demonstrated in the renal glomeruli of rabbits following the injection of human L.E. cells. This is supported by the observations of Dodd et al. (1959) that Feulgen positive material in the serum of patients with Systemic Lupus had a similar electrophoretic mobility to the gamma globulin fraction. This is reminiscent of the association of other globulins with cell components exemplified by haptoglobin bound with haemoglobin. It should be noted at this point that Grabar (1959) speculates that such globulins, including all antibody globulins, are part of a general physiological
mechanism which transports products of metabolism or cell degradation. According to this hypothesis, the appearance of substances referred to as auto-antibodies only represents an exaggerated form of a normal phenomenon elicited by tissue destruction. Grabar cites the example of the naturally occurring cold antibodies which are known to increase after certain infections such as atypical pneumonia (see Dacie 1962). (In this connection anti-nuclear antibodies active only in the cold are reported by Couchman et al. 1961). Although the evidence for this hypothesis remains highly speculative it is valuable in that it draws attention to an alternative explanation for the phenomena under discussion. The observations of the lesions of experimental serum sickness showing fibrinoid necrosis and necrotising arteritis in the coronary vessels of rabbits sensitised to horse serum led Rich and Gregory (1947) to make a comparison between these lesions and those of Systemic Lupus. Later reports have established that the immune phase of antigen elimination is conditioned by the presence of large amounts of soluble antigen-antibody complexes in the circulation, and these observations emphasise that tissue damage may result from the mere localisation in the vascular endothelium of preformed antigen-antibody complexes (Germuth 1953, McCluskey and Benacerraf 1959).
Strengthening the possibility that such complexes exist and may have pathogenic importance in Systemic Lupus is the finding of low serum complement levels in these patients (Ellis and Felix Davies 1959, Asherson 1959) and the association between complement fixation and the
increased capillary permeability of the immediate hypersensitivity type (Ishizaka et al. 1959) (that is if the low levels of complement have not resulted from impaired protein synthesis or loss through damaged kidneys). Finally, it is necessary to consider the fact that "systemic lupus like disease" and classical Rheumatoid Arthritis can exist in patients with marked hypogammaglobulinaemia (Good and Rotstein 1960) in whom the ability to form circulating antibodies is limited but who do, however, have an intact mechanism allowing the development of the tuberculin type "cellular immunity". This latter fact is of considerable interest in view of the high incidence of skin reactions to ingested leucocytes in systemic lupus patients (Bennett and Holley 1961, Friedman et al. 1960). These reactions have some of the features of the tuberculin type response, in that they appear at 24 hours and show histologically a monocytic cellular infiltration, but also include the polymorph infiltration typical of the immediate type of response. The unusually high incidence of the "rheumatoid diseases" in the hypogammaglobulinaemic patients is of some interest in view of the possible protective role of circulating antibody. The work of Kaliss and his colleagues on homograft rejection has shown that the recipient (C57 black mice) injected with antigens prepared from mixed normal and tumour tissues from the donor (strain A mice) became susceptible to a transplantable strain A tumour to which they were normally completely resistant. It is considered by these workers that this phenomenon is
dependent on the presence of antibodies in the serum (Woodruff 1960). A possible example in auto-immune disease of such a phenomenon is the prevention of the development of demyelinating encephalomyelitis in guinea-pigs immunised with nerve tissue by the injection of the serum from an affected guinea-pig (Thomas personal communication).
In conclusion, it appears that whilst there is no direct evidence that antibodies against nuclear materials play a part in the induction of the tissue damage of systemic lupus, it seems likely that the effect of antibody on the nuclei of dead cells and the lodging of aggregated complexes of circulating nuclear materials and anti-nuclear factor in small blood vessels might result in activation of substances implicated in the tissue damage associated with sensitivity of the immediate or serum sickness type.
Mode of origin of anti-nuclear factor
Three general mechanisms of auto-antibody production have been proposed. The first and attractively simple assumes that cell components are altered and rendered antigenic by the absorption to their surfaces of some foreign material such as a drug or a bacterial or viral agent or a product of such an agent. The classic example of such a phenomenon is that of sedormid purpura (Ackroyd 1954) in which antibody is produced which can agglutinate platelets in vitro in the presence of the drug, and, with the aid of complement, lyse them. A number of other drugs have been associated in a similar way with purpura, including quinine, digitoxin and sulphamethazine (Waksman 1958). Numerous examples of drug induced haemolytic anaemia and leucopenia have been reported including those due to Fuadin (Harris 1956) and aminopyrine (Krake 1931). The significant fact which emerges from studies on these reactions is that in vitro the antibody can be demonstrated only in the presence of the drug. Thus the antibody has been stimulated not by a change in red cell structure but by a hapten complex of foreign material and normal cell. There is some evidence that auto-immune haemolytic anaemia may be associated with certain bacterial or viral infections, including Newcastle disease and Coxsakie viruses, and that measles virus is associated with platelet disease (Moolten et al. 1953, Betke et al. 1953, Workman et al. 1954, Atta and Sievert 1953). This evidence, however, has been disputed and efforts to isolate the viruses have been unsuccessful (Morgan 1955). Experimental efforts to modify the antigenicity of red cells have been made by immunising animals with
homologous or autologous erythrocytes treated with various enzymes. Thus Dodd et al. (1953) reported observations obtained by immunising rabbits with normal or trypsin treated erythrocytes. The antisera obtained reacted, after absorption with normal red cells, with trypsin-treated erythrocytes and with the red cells of a substantial proportion of patients with acquired haemolytic anaemia. Dacie (1962) points out that this may have been due to existing damage to the red cells by the absorption of red cell auto-antibodies, but nevertheless he states that it may be premature to disregard this hypothesis of antigen-alteration altogether as a cause of auto-immune haemolytic anaemia.
The proposed alteration in human gamma globulin which is responsible for the stimulation of Rheumatoid Arthritis factor is considered by Glynn and Holborow (1960) to be likely to occur in normal individuals as well. These workers propose that it is not the degree of alteration of the antigen alone which is responsible for antibody stimulation, but an concomitant alteration in the response of the rheumatoid individual. There is no evidence that haptenic interaction occurs in systemic lupus since, although drug sensitivity is an associated phenomenon of systemic lupus, and the sensitivity disappears on withdrawal of the drug as in sedormid purpura, the progress of the disease is unaltered by removing the drug. In addition, the ability of the antibodies in systemic lupus to cross react with antigens from other individuals is inconsistent with the finding that in general in drug induced thrombocytopenia and
haemolytic anaemia, the hapten must be linked to the cell before combination with antibody takes place (Dacie 1962). A second type of auto-immune mechanism postulates the release of so-called "hidden antigens" normally inaccessible to the antibody forming cells, which react to this antigen as if it were foreign material. The classic examples of such antigens are those of sperm antibodies (against which are associated with sterility in males (Rumke 1959), thyroid (discussed in the introduction) and lens protein (an immunological reaction against which is postulated to account for the occurrence of Sympathetic Ophthalmia (Collins 1953). There is no evidence that the antigens involved in the anti-nuclear reactions or those in the other immunological reactions of Systemic Lupus are sequestered in any way from the antibody forming cells. The rare and controversial experimental production of antibodies to D.N.A. and nucleoprotein (already discussed) contrasts with the relative ease of their production to a hidden antigen such as thyroglobulin. In addition there was no evidence in these experimental animals of any lesion resembling those in Systemic Lupus. This contrasts with the well marked lymphocytic infiltration of the thyroid gland in experimental auto-immune thyroiditis (op.cit.) and also with the lesions produced in the brain and spinal cord following the injection of nerve tissue extracts with complete adjuvant (see Introduction), and with similar findings described in auto-immune adrenalitis (Colover and Glynn 1958). Of interest is the occurrence of anti-nuclear factor in a proportion of
cases of lymphadenoid goitre (Weir et al. 1961, White et al. 1961 and Hijmans et al. 1961). White makes the interesting suggestion that "such findings may indicate that there is a small sub-group of cases of lymphadenoid goitre which have arisen in patients (with Systemic Lupus) who have special propensity to form antibodies generally. Thus possessors of this trait may respond with antibody production and with immune cellular infiltration of the thyroid to amounts of escaping antigens which are tolerated by normal subjects". The possibility remains that Systemic Lupus falls into the category of states due to abnormality to the antibody forming cells or as it is sometimes termed "disturbed tolerance disease". A parallel has been drawn between auto-immune disease and the immunologically induced phenomenon of the graft versus host reaction or runt disease in the experimental animal. This results from the intraperitoneal or intravenous injection of homologous spleen cells in new-born mice (Billingham and Brent) (1957) or rats (Woodruff and Sparrow, 1957, Woodruff, 1957). The recipient animal must be genetically incapable of rejecting the donor cells, or be made immunologically neutral by exposure to X irradiation or be immunologically immature. Oliner et al. (1961) studied F₁ hybrid mice genetically incapable of rejecting parental spleen cells as follows:-
A parental donor was sensitised to the recipient spleen cells. When parent spleen cells thus sensitised were injected intraperitoneally into the F₁ hybrid recipients, these developed weight loss, hair changes, dermatitis, hypothermia and splenomegaly. The laboratory findings included haemolytic anaemia with a positive anti-globulin test,
leucopenia, thrombocytopenia and abnormalities of the plasma electrophoretic pattern including lowered albumin and increased beta globulin. Raised gamma globulin levels although present in some animals was not a consistent finding. The eluates from red cells giving a positive anti-globulin test were found to have the electrophoretic mobility of gamma globulin. No search was made for anti-nuclear factor in these animals, but L.E. cells were not found despite intensive testing. The clinical disease produced in these animals as the result of the action of an acceptable, immunologically competent graft against the host bears many similarities to Systemic Lupus. Thus the multiple disorders found in the latter condition and noted in Chapter 2, include haemolytic anaemia, positive Coombs test, leucopenia, thrombocytopenia and splenomegaly. The suggestion made by Oliner et al. (op.cit.) that auto-immunisation need not imply a change in normal body components, but rather a change in the antibody forming apparatus of the individual provides the most likely explanation of the underlying abnormality in Systemic Lupus. Under these circumstances, normal unchanged tissues, for example red blood cells, would become antigenic to the aberrant lymphoid system.
There are similarities, too, between runt disease and the lymphoproliferative disorders, chronic lymphatic leukaemia and lymphosarcoma. Haemolytic anaemia, white cell antibodies and thrombocytopenic purpura have been described in these conditions. (Rosenthal et al. 1955, Wittels et al. 1961). The proliferation of
abnormal antibody forming cells which are capable of forming antibody directed against autologous antigens has been explained in the Burnet clonal theory of immunity as being due to the breakdown of the homeostatic mechanism which normally eliminates those cells which have mutated to being capable of reacting with "self". Where the antibody forming cells themselves become the seat of tumour formation as in the lymphoproliferative disorders, the possibility arises that in the associated high mutation rate of rapidly dividing tumour cells, the antibody forming cells lose an organ specific antigen by "antigenic deletion". That such "antigenic deletion" can occur has been shown in hamster kidney tumour cells and rat liver tumour cells (Weiler 1956) and in human skin cancer and gastro-intestinal tumours by Nairn et al. (1960, 1961). In the author's view, it is reasonable to suppose that if such rapidly dividing lymphoid tumour cells become isolated temporarily from normal cells containing the deleted antigen, by proliferating for example within a barrier of fibrous tissue, a random mutation capable of reacting to the deleted antigen would not be eliminated. In this hypothetical situation the tumour mutants are considered to be protected in a way comparable to the surviving corneal transplant isolated from the effects of the host lymphoid cells by the avascular cornea (Woodruff 1960). Breakdown of the barrier at the stage when the mutant cells were no longer vulnerable to antigenic elimination, would result in stimulation of the mutants to produce antibody against the normal body cells possessing the deleted antigen,
including normal lymphoid cells. Kaplan and Smithers (1959) evoke this mechanism to explain systemic phenomena in some Hodgkins patients (before there was much widespread involvement of tissues) such as the multiple infections, poor immune response and the acute terminal illness, often fatal, at an apparently early stage of the disease. The fact that lymphoproliferative disease does not necessarily follow such a course can be explained by the failure of the appropriate mutant cell capable of reacting against self to emerge.
Whether "antigenic deletion" plays any part in the sequence of immunological events in Systemic Lupus is an open question. It may be relevant in view of the implication of histone in the anti-nuclear reactions, to note that the histone of tumours is thought to differ from those of normal tissue (Cruft personal communication). On the other hand, evidence is accumulating which suggests that genetic factors are of major importance. There is a significant familial incidence of the disease (see Harvey et al. 1954, Leonhardt 1957), and elevation of the gamma globulin is found in siblings (Pollak et al. 1960) in addition anti-nuclear factor occurs in a higher proportion of relatives of patients with Systemic Lupus than in normal control groups, described by the author together with Ansell and Johnson (1961) by Morteo et al. (1961) and by Mandema et al. (1961).
A very valuable experimental model for the study of auto-immune disease which appears to depend on an inherited weakness of the homeostatic mechanism, is an inbred strain of mice NZB/Bl which spontaneously develops signs of an auto-immune type of
haemolytic anaemia between 5 and 8 months of age (Holmes, Corrie and Burnet 1961) (Burnet 1962). The direct Coombs test is positive in affected animals, and the auto-antibody state can be transferred to young NZB/Bl mice by the transfer of $20 \times 10^6$ nucleated spleen cells from an affected mouse. Pathological examination showed splenic enlargement and gross chronic nephritis with hyaline change in the glomeruli and lymphocyte and plasma-cell infiltration of kidney tissue. Most significantly, the thymus glands of the mice showed medullary hyperplasia with considerable lymphocytic proliferation and numerous plasma cells, reminiscent of the changes which occur in Myasthenia Gravis. The role of the thymus in homograft rejection has been emphasised by Miller (1961) and Miller, Marshall and White (1962). The recent striking report of White and Marshall (1962) shows the very interesting connection, already suspected on clinical grounds (Harvey et al. 1954) between abnormality of the thymus and Systemic Lupus by demonstrating anti-nuclear antibodies in 6 of 13 patients with Myasthenia Gravis. These workers point out the association of thymic abnormalities with possible auto-immune diseases such as acute haemolytic anaemia, leucopenia, thrombocytopenic purpura, and suggest that their evidence further supports this association. They demonstrate the possibility that the thymus is the seat of production of antibody in these patients by means of the fluorescent antibody technique, showing the localisation of gamma globulin within the cells of the germinal centres.
The above finding provides experimental evidence for the speculation of Burnet (1962) who, assuming that thymic lesions of the type described above are present also in auto-immune disease other than Myasthenia Gravis, offers a working hypothesis regarding the
role of the thymus in immunity. He regards the thymus as the site of the primary homeostatic mechanism and believes that the essential defect (in the NZB/Bl mice) and in human auto-immune disease is a genetically based lability as a result of which occasional lymphocytic stem cells develop a resistance to the normal intrathymic control. Such a cell would then start producing anti-body while still in the thymus, and should a mutant have arisen which can react to a body component present in the thymus, the gland will take on the appearance associated with immunological reactivity, that is, germinal centres and accumulation of plasma cells. Mature daughter cells, passing into the general circulation, will be resistant to the high concentration of cell antigen and will proceed to manufacture auto-antibody. Burnet's assumption that there may be thymic lesions in a variety of auto-immune conditions remains to be proved, but the findings of White and his colleagues are most significant in this respect indicating an association between a thymic disorder and Systemic Lupus Erythematosus. This hypothesis in Burnet's view "has at least the advantage of calling forth a wide variety of experimental approaches as well as holding out some promise for practical medicine".
It may be true that "we no longer find ourselves lost on a boundless sea but that we have already caught a distinct glimpse of the land which we hope, nay, which we expect, will yield rich treasures for biology and therapeutics", to echo Ehrlich's apt allusion to Bacon in the Croonian Lecture of 1900.
SUMMARY
The study of a factor which can be demonstrated using Coons indirect fluorescent antibody technique, in the serum of patients with Systemic Lupus Erythematosus (and some other diseases) has been described.
An outline of the historical development of the concept of auto-immune disease has been presented, incorporating the technical advances which assisted in elucidation of auto-immune phenomena and an indication of the possible relevance of these to systemic lupus. The main technique used in the study, fluorescence microscopy, was described in detail. A study of the sera of 845 individuals revealed the presence of the factor in 62 of 63 cases of systemic lupus (58 of these were L.E. cell positive), 19 of 132 cases of Rheumatoid Arthritis, 14 of 110 cases of Thyroid Disease, 5 of 39 cases of Liver Disease, 10 of 75 cases of Discoid Lupus, and 5 of 258 cases in the control groups.
Quantitation of the factor by serial dilution showed that the majority of systemic lupus sera had a high titre, while the remaining diseases showed moderate or low amounts of activity.
A comparison with other reported series revealed a variation in sensitivity of the test in different hands, and the possible interpretations of occasional low titre findings were outlined. The
results with the indirect fluorescent antibody technique were compared with other ways of showing anti-nuclear activity. Histochemical, absorption and precipitation studies on sera with anti-nuclear activity suggest that the nuclear antigen concerned in most instances was a complex of D.N.A. and histone, and a similarity to the L.E. cell factor was noted in this respect. It was concluded that the fluorescent antibody technique whilst not able to distinguish easily between the reactions to the several nuclear components which have been implicated, was a sensitive and reliable method of detecting the factor in human sera, and that it would be difficult to sustain a firm diagnosis of systemic lupus in the absence of a positive test.
A study of the nature of the factor by electrophoretic, chromatographic, ultracentrifugal and thiol degradation methods, indicated that it was an immunoglobulin of the 7 S type in the sera from the cases of systemic lupus examined and that it was either of this type or of 19 S macroglobulin type in Rheumatoid Arthritis, Liver or Thyroid Disease; a few sera from Rheumatoid Arthritis cases appeared to contain a mixture of the two types. These findings were compared with reports of similar studies, stressing the importance of analysing the "pure" fractions obtained by these procedures with sensitive immunodiffusion techniques.
Injection of guinea-pigs and rabbits with nuclear materials was, in common with the experience of a number of other workers, without effect in stimulating immune response specific for D.N.A. or histone. The reactions to contaminating materials were discussed and the findings reported by other workers considered in relation to these contaminants. The contention that the anti-nuclear factor is an antibody was evaluated by correlating the results of the different procedures used in the present work and relevant features reported by other workers, and it was concluded that there is strong evidence to support this notion. An analysis of the clinical and serological features of anti-nuclear positive cases in systemic lupus was consistent with the hypothesis that immune phenomena are occurring in this disease. The demonstration of the antibody nature of anti-nuclear factor particularly strengthens this likelihood, since anti-nuclear factor is so constant a finding in the disease. The significance of a positive anti-nuclear factor test in other diseases is discussed, and it is proposed that there is a special relationship between such patients and systemic lupus, related to some abnormality of the antibody forming organs. An assessment of the role of the anti-nuclear reactions in disease was made, not giving the circulating antibody a primary role but stressing the part of the factor complexed with nuclear material of
dead cells and the immediate hypersensitivity type of reactions.
The possible mode of origin of the underlying abnormality of which anti-nuclear factor is the expression was discussed. Setting aside the concept of antigen alteration, it is proposed that there exists in Systemic Lupus Erythematosus an alteration in the antibody forming cells which is genetically conditioned and may be associated with deranged thymic control of the homeostatic mechanism.
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Criteria for the selection of cases of systemic lupus erythematosus
Obligatory: The sedimentation rate must be above 20mm. in 1 hour, Westergren or Wintrobe.
Major criteria: 1) Rash compatible with disseminated lupus.
2) Leucopenia below 5,000 per cu.mm.
3) Finding of LE cells in 15 minute search of 1 slide.
Minor criteria: 1) Arthralgia or effusions into joints.
2) Serositis.
3) Fever above $99^\circ F$ ($37.2^\circ C.$) twice in 24 hours.
4) Retinal changes.
5) D.A.T. 1/16 or more.
6) Albuminuria above 5mg. per 100 ml.
For the admission diagnosis the patient must have the obligatory criterion plus two or more major criteria, or the obligatory criterion plus one major and at least two minor criteria.
APPENDIX 2.
Extract from 1958 Revision of Diagnostic Criteria for Rheumatoid Arthritis.
Bull. Rheum. Dis. IX.: 175
Classical Rheumatoid Arthritis
This diagnosis requires seven of the following criteria. In Criteria Nos. 1 through 5 the joint signs or symptoms must be continuous for at least six weeks.
1. Morning stiffness.
2. Pain on motion or tenderness in at least one joint (observed by a physician).
3. Swelling (soft tissue thickening or fluid, not bony overgrowth alone) in at least one joint (observed by a physician).
4. Swelling (observed by a physician) of at least one other joint (any interval free of joint symptoms between the two joint involvements may not be more than 3 months).
5. Symmetrical joint swelling (observed by a physician) with simultaneous involvement of the same joint on both sides of the body (bilateral involvement of midphalangeal, metacarpophalangeal or metatarsophalangeal joints is acceptable without absolute symmetry). Terminal phalangeal joint involvement will not satisfy the criterion.
6. Subcutaneous nodules (observed by a physician) over bony prominences, on extensor surfaces or in juxta-articular regions.
7. X-ray changes typical of rheumatoid arthritis (which must include at least bony decalcification localized to or greatest around the involved joints and not just degenerative changes). Degenerative changes do not exclude patients from any group classified as rheumatoid arthritis.
8. Positive agglutination test - demonstration of the "rheumatoid factor" by any method which, in two laboratories, has been positive in not over 5% of normal controls - or positive streptococcal agglutination test.
9. Poor mucin precipitate from synovial fluid (with shreds and cloudy solution).
10. Characteristic histologic changes in synovial membrane with three or more of the following:
marked villous hypertrophy; proliferation of superficial synovial cells often with palisading; marked infiltration of chronic inflammatory cells (lymphocytes or plasma cells predominating) with tendency to form "lymphoid nodules"; deposition of compact fibrin, either on surface or interstitially; foci of cell necrosis.
11. Characteristic histologic changes in nodules showing granulomatous foci with central zones of cell necrosis, surrounded by proliferated fixed cells, and peripheral fibrosis and chronic inflammatory cell infiltration, predominantly perivascular.
**Definite Rheumatoid Arthritis**
This diagnosis requires five of the above criteria. In Criteria Nos. 1 through 5 the joint signs or symptoms must be continuous for at least six weeks.
|
The Big Shift to Guided Missiles
What does it really mean to the electronics business? p 13
Doctors Ask More Electronics
Closer ties with medical profession may unlock vast new markets . . . p 20
THE BIRD
THAT'S ATTRACTED TO STRANGERS
Audubon never observed it—this new species that won't tolerate intruders in the sky, tracks them down, destroys them.
Raytheon has pioneered in the development of electronic missile guidance systems for more than a decade. A technical milestone was reached when the Navy's experimental Lark, equipped with a Raytheon guidance system, achieved history's first destruction of an aircraft by a guided missile.
Today Raytheon, alone among electronics companies, is prime contractor for two missiles of advanced design: the air-to-air Sparrow III for the Navy, the ground-to-air Hawk for the Army. Here, once again, Raytheon's "Excellence in Electronics" is contributing to the security of the nation.
RAYTHEON MANUFACTURING COMPANY
Waltham 54, Massachusetts
Missiles: The Big Shift. In defense work today, the big money is in missiles, not aircraft. Some companies will be hurt by the shift to missiles, but most electronics producers will profit. p 13
Numerical Control Scores. The Air Force would like to see computer directed machine tools replace much of America's aging machine-tool inventory. It could mean big business for electronics firms. p 15
Patent Backlog Grows Again. Electronics patent applications are piling up again despite crash program by Patent Office. Both electrical and mechanical fields are using more electronics. p 17
Liaison Engineers Wanted. He's the general practitioner of the electronic art. Explaining specialists' jargon can earn him $18,000 a year. p 19
Medical Uses Increase. Electronics engineers and physicians are getting together. Upshot may be big gains in diagnosis and treatment of disease. p 20
Capital Spending Plans Up. Our industry continues to build up plant capacity even as other industries taper off. High level of spending will hold for at least four years. p 22
$43 Million for VORTAC. The CAA is running out of money for electronic navigation gear. But Congress says the CAA must get the rest from the Air Force. p 24
Solion In Production. Hartford, Conn. firm reveals it is making solions for Navy. Solion is new liquid-state transducer/amplifier to supplement the electron tube and transistor. p 27
Soviets Push Microwave. Russian electronics engineers tell of 6,210-mi. radio-relay system in exclusive interview with ELECTRONICS. p 40
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Timetable for Growth
Five-year look ahead may be needed when companies plan heavy money outlays
Long-range planning is one of the hottest subjects in management discussions today. It has been high on the hit parade at management meetings for many months.
Electronic industry leaders are in the forefront of these discussions. Long-range planning is of crucial significance to research and development based industries. They must plan where they are going years ahead of time, points out management consultant Warren B. Riley of William E. Hill & Company.
Leading influences behind the interest in LRP are:
- Need to prepare for increasing competition and expectations of a return to more average levels of business activity.
- Protection of huge research commitments, particularly in electronics, aircraft and chemical fields. As payoff is years away, careful planning is needed to come out on top.
What is long-range planning? It sets long-term goals for a firm and formulates specific plans for attaining these goals, says Harvard Business School professor, H. Edward Wrapp. Its most highly developed form includes planning for all of the functioning areas—marketing, manufacturing and finance—plus a master company plan.
Opinions vary on how long is long range. However, five years is generally regarded as the minimum. Ralph J. Cordincer, president of General Electric, says, "More and more we should be planning 15 or 20 years ahead." Robert C. Tait, president of Stromberg Carlson, says that five-year planning is a minimum but that 10 years is too long.
LRP hopes to avoid complacent drifting or unobserved slipping. When management sees bad past performance, it develops alibis, comments one observer. When management foresees bad performance in the future, it scrambles for action.
Large companies have led the way. But both large and small companies are in a position to benefit. The William E. Hill organization has worked to develop long-range plans with companies with sales volumes as low as $3 million.
One of the leaders in long range planning for small business is Jerrold Electronics. Working out a plan for carrying on present business and planning ahead is a must for small business, president Milton J. Shapp recently told American Management Association members.
However, even its advocates caution against its dangers. Don G. Mitchell, president and chairman of Sylvania Electric Products, says: "It can help a company or it can get the entire organization so snarled in red tape that you spend all of your time planning and none of your time doing."
Other electronic firms actively interested in long-range planning include: Litton Industries, General Dynamics, Hoffman Electronics, Varian Associates and Consolidated Electrodynamics.
SHARES and PRICES
Stocks of suppliers of materials to the electronics industry are less publicized and glamorized than stocks of equipment manufacturers. However, yields are often higher. Supplier sales increase as our industry grows.
Manufacturers of magnet wire are an important group of suppliers. Used wherever a coil is used, magnet wire has a place in most electronic equipment.
In 1954 sales totaled about $175 million. This compares with $148 million in 1947.
| Typical Magnet Wire Manufacturers | Recent Price | 1956 Dividends | Percent Yield | Earned per Share | Traded | 1957 Price Range |
|-----------------------------------|--------------|----------------|---------------|------------------|--------|-----------------|
| Acme Wire | 25 1/2 | 2.00 | 7.8 | 2.01 | ASE | 25 - 30 |
| Anaconda Wire & Cable | 75 | 5.00 | 6.7 | 11.40 | NYSE | 67 - 81 |
| Belden Manufacturing | 35 3/4 | 2.00 | 5.7 | 4.63 | MWSE | 33 1/2 - 36 1/2 |
| Electric Auto-Lite | 36 1/2 | 2.00 | 5.5 | 1.46 | NYSE | 30 1/4 - 40 1/2 |
| General Cable | 46 1/4 | 1.80 | 3.9 | 4.21 | NYSE | 34 1/4 - 46 1/4 |
| Rome Cable | 28 3/4 | 1.40 | 4.9 | 4.04 | ASE | 26 - 29 1/2 |
| Sprague Electric | 32 1/4 | 1.20 | 3.7 | 1.75 | OTC | ........ |
1 bid, 2 plus stock
Older Men Welcomed
Stavid Engineering has open door employment policy for men over 45
Last year Stavid Engineering of Plainfield, N. J. ran one small newspaper ad indicating interest in hiring engineers over 45. Out of 49 replies it found 13 top-notch candidates and hired eight new engineering employees. Since then word of mouth and other publicity has supplied a steady stream of qualified older applicants.
Open door policy for mature engineers and other employees has paid off for Stavid. In the past 10 years its sales have doubled every two years. Unlike many other growth companies, its expansion has not been hampered by general shortage of engineering personnel.
Stavid not only welcomes job-hunters past 45, but also those past normal retirement age of 65. Twenty-five of its 250-man engineering force are over 50. All but one were over 45 when they were hired and ten were over 60.
Only obstacle to older employees at Stavid is that they must be in good health and pass a physical examination required of all employees.
Policy is not a company social-welfare experiment, "We just get more for our dollar," says vice president Frank J. Reynolds.
A number of nationally known scientists have been obtained from organizations with provisions for automatic retirement at 65.
Absences of employees over 45 average one and a half days per year, compared with five and a half days for all employees. There is practically no turnover problem. Moreover, experience of older engineers rubs off on younger ones.
Policy has been in existence almost since the company began business in 1945. Two of its staunchest supporters are vice president Reynolds and personnel manager Eugene Kelly.
Company's pension plan makes its unique personnel policy possible. Not only is plan optional but it does not include new employees over 55. These provisions save the company the prohibitive costs of adding older new employees to the plan.
MERGERS, ACQUISITIONS and FINANCE
- Waltham Watch plans to split itself into two corporations. Present corporation, Waltham Watch Co. of Massachusetts, will change its name to Waltham Precision Instrument Co. It will make gyroscopes, timing devices, aircraft clocks, mechanical and electronic components. It will also manufacture some watches. Waltham Watch Co. of Delaware will be formed to concentrate on manufacturing and marketing watches. Stockholders are expected to get one share of new watch company for every five shares of Waltham they now own. Instrument concern will remain in Waltham, Mass., and new watch company will be located in New York City. Company officials expect earnings of both divisions to improve as a result of the switch to independent operations. Waltham earned $70,000 last year.
- Digitronics Corp., Albertson, N. Y., makes direct offering of 10-cent par class A stock at $1.00 a share. Stock will be traded over the counter. This recently formed company is led and largely staffed by former members of Underwood's discontinued Elecom division.
- Haydu Electronic Products, Plainfield, N. J., plans issue of 100,000 shares of 10-cent par common stock at $1 a share. Proceeds are to be used for working capital.
- Siegler Corp. plans to acquire Unitronics Corp., Long Island City, N. Y. and Hufford Corp., El Segundo, Calif. Unitronics, formerly Olympic Radio & Television, manufactures radio, tv and hi-fi sets and is also in military electronics. Hufford is a large manufacturer of stretch forming equipment for aircraft and guided missile industries. Siegler will acquire both companies through exchange of stock and will be sole surviving corporation. Siegler president, John C. Brooks, expects merged companies will have sales volume of over $75 million. Over $50 million of projected sales is in electronics, half military and half commercial.
- Microwave Associates, Burlington, Mass. plans issue of 50,000 shares of $1 par common stock. Firm produces radar system components. Lehman Brothers is underwriting the issue. The investment banking concern paid $5,000 for option to purchase up to 20,000 shares of company's stock at $7 a share. Proceeds will be used to discharge indebtedness of $250,000 to banks and for additional working capital.
- KayLab, San Diego, Calif., revises corporate structure. Shareholders vote exchange of all KayLab shares for all shares of Cohu Electronics. KayLab will become Kin Tel division of new company. Cohu Electronics is considering acquisition of a number of other electronic companies on the East and the West Coasts.
- Ampex Corp., Redwood City, Calif., manufacturer of magnetic recording equipment, privately places $5½ million of 15-year 5 percent debentures. Placement is being made through Blyth & Co. with approximately 12 eastern institutional investors. Proceeds are to be used for working capital.
How to be a magnetic tape recording expert
Introducing a useful new brochure on tape in instrumentation
Tape is the stuff of which memories are made — the versatile data memories for a jet propelled age of electronic miracles. If you are one who keeps up with times and techniques, it is a field well worth knowing. This new brochure gives a wide-angle view of the whole subject.
What kinds of applications do you think of when magnetic tape recording is mentioned? Sound recording, of course, and telemetering, if you are in that business. But what about simulating a rough road to test truck axles, controlling a milling machine to cut an aircraft wing section out of a solid billet, monitoring for a sudden occurrence that may happen only once in a year or two, recording data that can be reduced to graphs and tabulations without ever being touched by human hands? These and many more are described.
How significant is the fact that magnetic tape recording reproduces data in the same electrical form in which it was recorded? Enormously important, when you realize all the things the reproduced data can do that couldn't be done with the original signals or with the common forms of visual recording. For example the data can be slowed down to look at fast transients. It can be speeded up for wave analysis. It can be read out in any form. A tabular comparison between original signals and taped signals gives the full story. And a step-by-step pictorial demonstration of magnetic tape recording and reproduction puts the electrical-data idea into tangible, easily visualized form.
What does the data on magnetic tape look like? You can't see it, but the brochure will give you an idea of what it would be like if you could. And incidentally this may help to clarify the differences between various magnetic-tape-recording techniques.
Do you talk in tape's language? When is a tape recorder not a recorder? What is the difference between a channel and a track? What is a servo speed control? A much needed glossary gives the consensus of our views on terms.
For whom did we write this booklet . . . the expert, or the man for whom the whole subject is new? Both. It is written and illustrated so that any engineer or technically trained person can readily grasp the concepts and gain a broad understanding of the subject. If you are one of those who has already worked extensively with tape, you will find some new twists in the way the subject is explained, and perhaps ideas on new areas you hadn't explored. And incidentally, a copy of this brochure in some handy file will give you a good start in indoctrinating that new man in the department.
For your copy, write us today on your company's letterhead. Address your request to Department E-5
District offices serving all areas of the United States and Canada; Foreign Representatives in countries around the world.
WASHINGTON report
Nearly $800 million worth of Air Force electronics and communications procurement will likely be cut this year under the administration's new drive to hold down military spending, according to top Air Force brass. That's out of an estimated $2.3 billion worth of Air Force electronics contracting now scheduled.
The cut is part of an overall shakeup now underway for the fiscal 1958 military budget. It involves setting firm ceilings on expenditures by each military service. Staying within these limits will mean cancellation or indefinite postponement of billions of dollars worth of procurement.
Behind the decision to set a spending ceiling is this situation: Military spending, mainly Air Force, is skyrocketing to unanticipated levels. It threatens to wipe out the slim federal budget surplus and break through the legal debt limit. Here are the reasons why:
Cash outlays for contracts let within the past two years are being made earlier than planned because of reduced lead times in aircraft and electronics development.
Ballistic missiles crash program is taking growing sums from production funds.
Industrial price and wage boosts are being passed on by contractors.
Air Force has been starting production projects before enough authorized funds have been allocated to back them up to the end. Pentagon sources call this "partial funding."
Pentagon budget experts say the last factor is most responsible for current expenditures being so far over initial budget estimates (the total is now at least $2.5 billion more than anticipated)—that payments on partially funded aircraft and electronics contracts are coming due far in advance of Defense Dept. expectations.
The Pentagon has already put a ban on partially-funded procurement. But it plans to apply the policy more liberally than originally determined. Exceptions will be allowed for most long lead-time items.
Still the situation is serious for Air Force suppliers. New Air Force Secy. Douglas warns industry that "we have been in a period in which we could do almost everything in development and procurement that was desirable. In the future we must be more highly selective..."
The warning is out that aircraft producers will be pinched hard by cancelled contracts, stretchouts of existing projects and deferrals of new projects. But insiders say the ax will fall most sharply on airframe and engine manufacturers, much less on electronics suppliers.
- The Pentagon has extended its month-old restriction on military contractor overtime to research and development contracts. The restriction originally applied only to production projects. Overtime pay on R&D contracts will be allowed only on top-priority projects, for continuous-type laboratory testing and to make up for schedule delays beyond the contractor's control. In each case, the Pentagon will have to approve the overtime payment in advance.
- Tighter personnel security clearances on military contracts are recommended in a top-level proposal to overhaul the government's security program. One major proposal is to allow for preemployment clearances. Right now the policy is to conduct security investigations only after a man is hired.
Sylvania "Silver Screen 85" TV picture tubes get Brighter Film . . . with Stokes In-Line Aluminizing System
A new Stokes In-Line Aluminizing System is making news in TV tube production by putting an aluminized reflector on Sylvania Electric Products' popular "Silver Screen 85" picture tube. This automatic equipment—now in operation at Sylvania's Seneca Falls, New York, plant—assures maximum control in the application of aluminum film to TV picture tubes.
The new system provides a bright and uniform film . . . operates at greater speeds than previous aluminizing equipment . . . provides the needed vacuum in the shortest possible time . . . requires a minimum of maintenance.
Here are other ways it can boost production and lower costs:
- versatile . . . adaptable to any size black and white tube, including the new 110° design . . . can meet changes in production rates.
- fully automatic . . . operator simply loads—and then unloads completely aluminized tube.
- saves time . . . makes possible the processing of maximum number of tubes in minimum amount of time.
- compact . . . single or twin tube units can be mounted singly, in banks, or adapted to in-line system—circular or straight line.
A Stokes engineer will be glad to talk about how this new system can be integrated into your production line . . . and about your specific tube production needs. He can help you apply Stokes 30 years of experience in high vacuum engineering and automatic production technology. For a consultation, or for informative literature, write to Stokes today.
High Vacuum Equipment Division
F. J. STOKES CORPORATION
5500 Tabor Road, Philadelphia 20, Pa.
Salesman Mitchell: science and people
National Sales Executives' 1957 Management Award goes to 52-year-old Don G. Mitchell, chairman and president of Sylvania Electric Products. Peripatetic, voluble salesman Mitchell, was no dark horse for the prize. He has been an arch-proponent of scientific management most of his life.
Born in Bayonne, N. J., Mitchell specialized in mechanical engineering at University of Cincinnati, in mathematics at University of Florida. He taught math at alma mater Montclair (N. J.) High, then sold advertising space for McGraw-Hill. Prior to Sylvania, he sold "electric power, retail goods, milk containers and Pepsi-Cola." He became Sylvania's sales v-p in 1942, president in 1946, board chairman seven years later.
Mitchell believes good salesmen look to scientific methods to help them succeed. He was able to persuade milk companies to use paper containers by analyzing differences between home delivery ("big factor is time") and bulk traffic in stores ("weight and space are the factors").
Basic key to Mitchell's charm and his enormous drive is that he just plain likes people. Talking with him, one can easily believe that the word extrovert was invented to describe him. Deep thinking he does alone—working in his garden, relaxing after supper, sailing.
He has great faith in electronics, says his favorite use would be to close windows on cold mornings or during thunderstorms. He reads a lot, thinks sometimes it's too much—"you gradually develop a broad beam and weak eyes," he says ruefully.
Strictly PERSONAL
Electronics and Common Market
... No question that there are problems involved in exporting instruments from the United States to Europe...
Initial proceedings for European integration are well on their way. There may be some doubts as to the time this enormous project will take, but there can hardly be any doubt that it will come. . . .
It is clear that (close trade cooperation) can only be introduced in gradual steps. It is planned to have the integration completed in 12 to 15 years. Among the measures planned for the integration are gradual reduction of tariffs within the Common Market, common tariffs by Market countries toward outsiders, complete liberalization of capital and labor.
Once this trade cooperation is working it will create an economic bloc which can be well compared in importance with the U. S. or Soviet bloc. The outlook for the American exporter will become more and more difficult. Now he competes in one country at a time with importers from other countries. When the free trade zone is created, importers from cooperating countries will enjoy economic benefits which will give them an even chance with domestic manufacturers. Nonmember importers will face increased difficulties in licensing and tariffs.
One way to overcome this obstacle is to manufacture in Europe. This is being done by American instrument companies for several years already. (In the future) the difficult decision of where to build the factory can be viewed from a different angle. It is no longer the market of a single country that counts, but . . . the complete Western European zone.
Kurt H. Meissner
Consolidated Electrodynamics
Zurich, Switz.
Taking out the Buzz
We were pleased to find a photo of one of our products ("Taking out the Buzz," May 10, p 22). However, it was not so pleasing to find someone else's name attached to it.
The photo of the setup in the Westinghouse test center shows our NM-10A radio interference-field intensity meter. This unit will measure the intensity of propagated or conducted signals from 14 kc to 250 kc.
A. T. Parker
Stoddart Aircraft Radio Co.
Hollywood, Calif.
New VAN TRAILER by Craig houses all this equipment . . . with room to spare!
There's plenty of room inside the new insulated Craig Van Trailer LM-105! With its big 5,000 pound payload and roomy 575 cubic foot interior, this rugged van trailer can house 12 standard 6-foot racks, fully loaded with electronic equipment — and still allow ample space for operation and maintenance.
Whatever the load — a complete electronic system, test equipment, mobile maintenance shop, or you-name it — your equipment arrives quickly and safely in the LM-105. This versatile van trailer meets Government specifications for world-wide, all-weather use.
Quick facts about the LM-105:
**WEIGHT:** Approximately 4,000 pounds including dolly.
**PAYLOAD:** 5,000 pounds.
**DIMENSIONS:** (Inside) 140 inches long, 90 inches wide, 79 inches high.
**INSULATION:** overall shelter has U-Factor of 0.30.
**FEATURES INCLUDE:** aluminum-faced honeycomb panel construction; lighting system; power distribution box; scale-carry power stairs, jacks for levelling; and a quickly detachable dolly with coil spring and torsion bar suspension, air-over-hydraulic brakes, and single beam towing tongue.
**ACCESSORY EQUIPMENT AVAILABLE:** includes air conditioner, heater, workbench, racks, cabinets, spare parts containers, etc.
For further information, write Craig today!
Craig SYSTEMS, INC., Dept. R-6, Danvers, Mass. Tel.: SPring 4-1870.
WESTERN DIVISION: 6214 West Manchester Avenue, Los Angeles, 45, California ORegon 8-0025.
OTHER CRAIG PRODUCTS . . . transportable and mobile electronic systems, shelters, trailers, vans, mobile control towers, missile carriers, re-usable containers, antenna towers and masts.
averaged $6.3 billion annually for the past three years, are now slated to drop.
A startling factor is this: though missile deliveries will rise from $1.5 billion this year to $2 billion in fiscal 1958, only 10 different missiles, many of them relatively primitive, are now in the hands of service units ready for use should war break out tomorrow.
The more complex and costly missiles—like long-range ballistic missiles—are still in the development stage. Only selected subsystems and prototype models are being turned out. The era of pushbutton warfare is a long way off. Military men stress that missiles are still in their infancy.
Even so, guided missiles have taken over many tactical and air defense missions from manned aircraft—and even more from artillery. Air Force is dropping three manned fighter-bomber wings, one light-bomber wing from its tactical air command because of increasing missile capability. Army is replacing conventional antiaircraft guns with missiles, is setting up missile-armed atomic support commands for long-range artillery fire. Navy now has 18 missile-equipped carriers, cruisers and submarines at sea, is rapidly converting and building other vessels.
With more missile money around, changes in how the government will spend it are on the way.
Under the weapons-system concept of procurement, the airframe maker—and other prime contractors—have become more free-wheeling. In the old days, the airframe maker was somewhat of an assembler—putting together the engine, bombing and navigation system, fire control, and the like, which the government supplied.
Now he's a weapon-system contractor responsible for designing and developing specially tailored components and subsystems. No longer can such products be developed by others, taken off the shelf and cranked into a new end-item. As a result, the prime contractor now keeps more work in his own shop, subcontracts less to other companies.
A big shakeup is underway in the roster of leading military contractors. For the most part, established giants of airframe making lead the pack in missile production. But they do so mainly because they've diversified into electronics and propulsion systems. New blue-chip electronics firms are developing.
North American, Convair, Lockheed, Northrop, Fairchild and others have diversified into missile electronics, competing with established electronics producers like Sperry Rand, RCA, Westinghouse, Raytheon, Hughes, Philco, General Electric and Western Electric.
Scores of new electronics firms have blossomed forth as important money-makers—Ramo-Woolridge, Servomechanisms, Inc., Kearfott, Topp Industries and the like.
Many established producers in metalworking and other industries have moved into electronics—Rheem Mfg., American Machine & Foundry, GM's AC Sparkplug div., Goodyear, ACF Industries.
But the big jolt of the missile shift is still to come. In a recent Washington speech, Air Force's Maj. Gen. David Baker, procurement and production director for Air Materiel Command warns there will be fewer weapon systems and fewer prime contractors in the cards. He stressed that:
- Not many strategic missiles will be needed because of the destructive power of nuclear explosives. Needed will be a few missiles that give top performance.
- At present, need for combat airplanes is dropping off. It may pick up, however, if someone makes a plane that can do things a missile can't.
As total volume of work drops off, prime contractor will tend to do more of their own work. Right now, 30 percent of airframe and missile frame production is subcontracted. The big shift may hurt subcontractors and vendors, too.
Open Ears Get Men
Chance to air 'gripes' helps one company's recruiting
There's a personnel office in New York, with no name on the door. It has no physical connection with any other office. It's called a "gripe room."
In hopes of eventually saving half its engineer recruiting costs, North American Philips is trying something different.
The idea is to attract dissatisfied engineers instead of trying to lure engineers with compatible jobs from other electronics firms. Engineers do not give their names until hiring talks begin.
Engineers entering the den are briefed on what Philips' twelve establishments are doing. An average of one person a day came in for consultation during the first month. Six were referred to Philips divisions.
Only advertising for the "gripe room" is by word-of-mouth. Regular advertising will still be used for specialists who are not likely to just walk in, but the firm hopes to avoid expensive general recruiting.
Another purpose of the room: to help Philips keep its own engineers. It's a place for them to talk out their problems in confidence. An engineer dissatisfied in one Philips division might find a better-fitting niche in another.
Numerical Control Scores
- $30 million in Air Force contracts for airframe and missile milling machines lift computer-directed machines into production.
- Aircraft makers find numerical control halves machining time, allows production of "impossible" parts. Other industry waits.
"Numerically controlled milling begins a new manufacturing era—when additional equipment is required, thoughts must turn to automatic control."
So said one aircraft and missile maker recently after its first tape-run miller cut a part's tooling time from 210 to 118 hours, reduced machining time from 5.5 to 2 hours.
Some airframe parts are so complex and closely tolerated that only computers can figure out the cutting motions required. Added are the cost and production problems of short and broken-run industry.
Air Force Air Materiel Command has contracted for $27 million of newly designed numerically controlled profile and contour millers for use in defense plants. Another $3.5 million is being spent for conversion of existing millers.
About a fourth of this goes to electronics. Each group of machines will need a computer director to prepare coded instructions on tape or cards. Each machine will need controls to translate instructions into cutting motions.
One machine's computer director costs $200,000, the machine itself, $500,000. Each of the millers will get a control console costing up to $65,000, depending on number of cutting directions handled.
A few million dollars worth of prototype machines were operating in 1956. Volume production comes this year. One source thinks spending on numerically controlled machine tools will total $100 million in next few years.
There's no way of telling how much civil aircraft makers and other industry will spend. An Aircraft Industries Association committee recommends plane makers buy only numerically controlled millers.
Air Force, which sponsored R&D dating back to
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Taking a Picture of Radio Noise
R-F spectrooscope operator watches interference on cathode-ray oscilloscope as flight engineer switches from one electronic system to another. Developed by Republic, built by Applied Research, device is offered as noise-interference and spectrum analyzer, countermeasures and monitoring receiver.
1940, has been driving force. Other service branches may join. Government owns $6 billion worth of machine tools, much of it outmoded. Department of Defense wants 2 to 5 percent replaced annually, starting in fiscal 1958.
Industry owns $24 billion, half at least 10 years old. Business and Defense Services Administration official says national inventory is in worse shape than at start of World War II or the Korean war. New machines needed: $2 billion-plus.
Machine tool makers this year looked for a peacetime record. But orders are still running below last year's $900 million. One spokesman feels new machines with electronic controls could boost sales.
Control makers are confident the big airframe millers will exceed expectations. The generally cautious machine tool industry wants proof numerical controls are so good no major machine tool should be without one.
Of 325 machine tool makers, only a fistful of the biggest have teamed with electronics firms to design controlled machines. There's been no concerted attack on job shops, the backbone of a $125-billion metalworking industry.
Several companies are making numerical controls designed for converting existing machines. Costs, including less complex tape preparation unit, run about $25,000. Few are now sold outside AF.
Control makers feel they are about five years ahead of the machine tool industry; applications are still rudimentary. Some predictions of ultimate use:
- Air Force parts depot: machine tools to produce any machined part at the turn of a knob.
- Computer-oriented machine tools, which fed specifications and materials, will calculate optimum design and turn out the parts.
So far firms in numerical control are willing to trade profits for a passport.
**PRODUCTION and SALES**
![Graph showing magnet wire sales from 1947 to 1954]
**MAGNET WIRE SALES**
1947: 140 million
1954: 175 million
**SOURCE:** CENSUS OF MANUFACTURERS
**1954 SALES BREAKDOWN**
- Enameled only: 73%
- Enameled and covered: 9%
- Glass covered: 6%
- Other: 12%
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**Magnet Wire Gains 25 Per Cent**
Latest Census data shows magnet wire sales increased 25 percent in eight years. Sales totaled about $140 million in 1947, compared with nearly $175 million in 1954.
Enameled-only type accounted for $126.5 million or 73 percent of total 1954 sales. Remainder was divided among enameled and covered, $16.6 million or nine percent; glass covered $10.8 million or six percent and other types, $20.3 million or 12 percent.
As magnet wire is used wherever a coil is used, it has applications in almost all types of electronic equipment. Major users are: radio, television, aircraft, radar, sonar, loran, small motors and transformers.
- Military electronics spending in first three quarters of fiscal year 1957 was about $2.5 billion, RTMA reports. Record figure is 25 percent over the $2.0 billion spent for military electronics during first three quarters of fiscal 1956.
If present levels continue military electronics spending this year should set a new annual record, near $3.5 billion. Total spending in fiscal 1956 was $2.8 billion, 25 percent less than the 1957 forecast. Guided missile spending passed aircraft for first time in third quarter of fiscal 1957. Out of total of $952 million spent in third quarter, missiles received $311 million compared with $258 million for aircraft.
Patent Backlog Grows Again
- 34,200 electrical-electronic applications wait in Patent Office; electronics trend up in '57
- Trend is for more electronics patent application in electrical field; more use electronics in mechanical devices also
Patent Office in 1957 is like a turtle going uphill on crutches. It's courageously tackling the backlog of applications but the going gets pretty rough.
More than 212,000 applications are awaiting processing, including 34,200 in the 10 electrical divisions where most electronic applications go—up from 25,000 in 1955.
Last year the annual rate of electrical applications fell off by about 2,000, the first drop in years. The Patent Office saw a possible leveling off at about 10,000 a year. But then came a flood, indicating a probable rise rather than a leveling off.
New electrical applications may total 12,000 this year. About one-third of those on hand are electronic. And the trend is towards more electronic applications than ever in the electrical divisions.
An increasing number of mechanical applications include electronic controls as part of a machine.
There is talk of establishing two or three new divisions of the Patent Office to handle automation applications. These would cover electronic and other machine controls.
The personnel situation is brighter in the electrical divisions than last year—there are 134 assistant examiners compared to 108. But recruiting is a constant battle against defections.
Sad fact of Patent Office life is the low Civil Service salary scale—about $4,500 to start and about $5,000 after three months for engineering graduates. Young assistant examiners are sometimes hired away by industry or government agencies, often within a year after joining the Patent Office.
Some assistant examiners have accepted higher salaries with the Department of Defense as patent application processors for the technical staffs of the military services. Others take jobs in the patent departments of corporations.
Last year 40 assistant examiners were recruited by the 10 electrical divisions; about 25 left. This year 40 to 50 June graduates are being sought. Eventual goal is 180 examiners, 46 more than present staff.
Recruiting is accomplished largely by examiners who must leave their duties to visit schools in an effort to ferret out candidates. Industry's pay scale is rough competition.
Men with electronic training are also being recruited for the mechanical divisions to help handle applications that include electronic machine controls.
Electronic computers and punched-card machines are being brought into play. A unit handling certain chemical applications is in use.
Chemical elements can be broken down into a code for processing. Doing the same for an electronic patent application is now considered unlikely.
French Stenographer
Typewriter operates when operator touches stiletto-like writing instrument to copper contact studs labeled with shorthand symbols. Frenchman Albert Ducroe devised 57-tube prototype machine, called Electrostyl, capable of storing 16 sentences in its memory and typing at speed of spoken word.
Liaison Engineers Wanted
- The liaison engineer is in great demand. He needs a wide range of experience to explain specialist to specialist.
- He's genial, gregarious, rare and can earn anywhere from $7,500 to $18,000.
In the last 18 months GE found and hired more than 20 liaison engineers. Men filling that classification are as rare as hen's teeth. And they're in great demand.
To some a technician with a rather peculiar background, the liaison engineer is a generalist in electronics.
He is at home in fields of communications, radar, sonar, infrared, computers. You name it, he knows a lot about it. Talking everybody's language, he has as his job explaining specialist to specialist.
John B. Berkley, GE's consultant for laboratory coordination and liaison in light military electronic equipment department, says liaison engineering grew from "the growing tendency of each specialized group to create an aura of methodology and terminology around itself."
Liaison engineers today fill a potful of jobs. Some join in on product planning. They hold planning within the limits of practical engineering. They may recommend areas for development.
They keep contact with customers, aiding in product applications, learning his needs.
They relay latest technical information to the specialists.
They troubleshoot in all technical phases of the company. They may not be able to solve the problem; but they know who can.
They coordinate when a problem is divided among more than one project group.
Liaison engineers, to succeed in their jobs, are usually genial and gregarious.
The liaison engineer ideally has a master's degree, some 5-7 years of work experience with 2 or 3 companies. He has, by choice, ranged into many areas of electronics.
He can usually get for a starting salary $7,500 a year. If he asks for less, he may not get the job. He can climb up to $18,000.
He gets information by "pumping" contacts:
- He is alert to all developments taking place in his own company.
- He is aware of developments and theory in universities and their labs. "Too often the self-effacing scientist becomes neglected," says one firm.
- He sops up the latest information from technical literature and engineering societies.
- He is conscious of work done by competitors.
Many liaison engineers have Army, Navy, Air Force backgrounds. They are frequently in the know about R&D contract procedures.
Electronics checks patient's heartbeat as...
Medical Uses Increase
Many physicians say electronics could spark a major breakthrough in diagnosis and treatment of disease. But much closer cooperation is needed between engineers and medical men. Present medical market is $150 million annually—more than half of which is for x-ray gear.
Out of a doctor's black bag come a stethoscope, blood pressure gadget, tongue depressor, eye-examining mirror and reflex hammer. Watching these objects being placed on a table one day last month were some of the nation's leaders in medical electronics engineering.
"Primitive" is how Dr. John H. Heller, director of The New England Institute for Medical Research, described the black bag instruments in comparison to modern industrial and military instrumentation techniques.
The institute, in conjunction with The Foundation for Instrumentation Education and Research, thus opened its "Conceptual Clinic for New Instrumentation for Medicine and Biology."
Physicians need help from electronics to put their measuring techniques on a par with other medical knowledge and skills. That's why there were present some 70 representatives of industrial management and medical electronics research, including several electronics executives.
The black bag-carrying doctor is an excellent and predictable market for instruments, the electronics men heard. But other medical electronics demands are also great.
Estimates place medical electronics national gross at $150 million. X-ray and other radiological equipment accounts for half. Remainder is split almost equally between therapeutic and diagnostic devices.
"Ten years from now," predicts Dr. Oscar Dallons, "electronics will supplement many current surgical practices and medical therapies." Dr. Dallons, head of the Los Angeles medical electronics labs bearing his name, regards closer cooperation between M.D.'s and electronics people as paramount.
Dallons practices what he preaches. His close friend, Dr. Petter Lindstrom, has performed 26 prefrontal lobotomies using Dallons' ultrasonic generators. UCLA's Dr. W. E. Stern has had good results with diathermy equipment. He uses it for heating localized areas of the brain in the fight against cerebral disorders.
USC's Dr. Leslie Kaeburn points to the transistor as catalyzing medical electronics growth. "Miniaturation will permit widespread use by general practitioners. Equipment formerly has been too bulky and unwieldy for use in crowded offices."
Dr. Kaeburn has developed several electronic devices to aid specialists in many fields. His latest, the elastometer, is used for examining artery hardening and deterioration as functions of aging and pathological processes.
Attesting to the potential for medical electronics, Cecil Birtcher points to his Los Angeles firm's success. It has shipped 15,000 ultrasonic units to 70 countries during the past 4 years. Company gross averages $3,500,000 annually. "A vast new field in the area of ultrasonic destruction of kidney, bladder and gall stones is being probed," states Birtcher.
UCLA's Dr. S. D. Larks is conducting extensive studies of the electrical activity of the uterus in pregnancy and labor. "Development of an electrodiagnostic device, similar to the electrocardiograph for the heart and the electroencephalograph for the brain, is just around the corner," he claims.
Ultimate goal of project—reduction of birth injuries, lessening of pain and saving of lives. "Electronics firms can help by supplying multichannel recording oscillographs with more stability and linearity," says Larks.
Medical people are betting high on computers. Says Dr. Robert Tschirgi, also of UCLA: "I have no difficulty in foreseeing times when the majority of medical diagnoses will be performed by appropriate analyzers coupled with computers.
"The ultimate system would be one into which blood and urine samples, ekg and x-ray records, blood pressure readings and other information could be fed. Chemical analyses and computation of probable diagnosis would be automatically performed."
Tschirgi's current research project deals with the function of the brain as related to its surrounding fluids.
Dr. Travis Winsor, who has programmed medical problems on Lockheed missile division's computers, states: "I visualize electronic computing centers to which various wave forms can be sent for detailed analysis. Reports would be returned to the doctor assisting him in the interpretation of difficult tracings."
Winsor invites electronics engineers to develop:
- Better ways of recording the electrocardiogram.
- An improved ballistocardiograph (for recording output of blood from the heart).
- A device for detailed analysis of breath sounds.
Levinthal Electronic Products, Inc., of Palo Alto, is counting on a high demand for its new defibrillator-pacemaker. Combination electronic unit is designed to eliminate thoracotomy (opening of the chest) in case of cardiac arrest or ventricular fibrillation during surgery. Company describes it as a complete cardiac-resuscitation package.
Varian Associates say the electron linear accelerator is proving to be a powerful tool for cancer therapy. Accelerator produces either high-energy electrons or x-ray which penetrate deep into the body to destroy malignant growth with minimal damage to body's outer layers. "This product shows promise of becoming a standard hospital machine for routine cancer therapy," Varian states.
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**Technical DIGEST**
- **Evaporation of aluminum onto milled slots in germanium wafers through masks is new Westinghouse technique for forming emitter and collector junctions. Process makes possible production of junction transistors approaching the kilowatt range and controlling up to 10 amperes. Current gains over 100 are easily achieved.**
- **To combat fading in radio communication, intermittent transmission is proposed by NBS. Message is automatically stored at transmitter during fades, and transmitted automatically at higher-than-normal speed during intervals when signal-to-noise ratio is adequate. Method gives theoretical gain of +10 db or more over continuous fixed-bandwidth operation.**
- **In studies of ship motion at sea, Bell Aircraft Corp. uses an Ampex magnetic tape recorder at its lowest speed of 1/8 inches per second. It records ocean-wave frequencies down to 1/10 cps, then plays the tape back at 60 ips. Recopying once with the same two speeds gives a total speedup of 1,024 times, so that 1/10 cps becomes about 100 cps, a frequency which can conveniently be handled by electronic wave analyzers.**
- **Conductive wax by Burgess becomes liquid at 170 F for easy application to zinc and sheet carbon electrodes of flat or wafer-type dry cells. It gives good series connections automatically when cells are stacked. Finely divided silver powder is mixed with wax in critical ratio. Similarly, wax adheres to many other materials to give good electrical joints.**
- **Use of computer as an oscillator has solved the problem of obtaining a precise symmetrical low-frequency waveform. The signal was required for testing an auto-stabilizer on a servo-driven rocking table at Short Bros. & Harland in England. Three linear function units were set up to solve a single second-order differential equation with no damping term. A discontinuous function unit provided automatic amplitude control.**
- **Sensitive diathermy machine developed by Ford Instrument will be tested next winter. It will be used in operations on a detached retina of the eye. Key features are control of frequency, duration and magnitude of power applied to patient. It will be used for cutting or coagulation, will get the retina back in position and irritate the eyeball to get it to stick.**
Capital Spending Plans Up
- Electronic and electrical equipment manufacturers plan to spend $712 million for capital goods in 1957
- Our industry will maintain high level of capital spending for four years despite tapering off in other industries
Electronic and electrical machinery manufacturers plan to maintain a high level of capital spending in the next four years. This conclusion is indicated by final figures of the recently completed tenth annual McGraw-Hill survey of Business Plans for New Plants and Equipment.
The industry plans to spend $712 million in 1957 on new plant and equipment. Capital spending will level off in the following two years with $705 million planned for 1958 and $712 million for 1959. A sharp jump in capital spending will occur in 1960 when expenditures of $762 million are scheduled.
Actual expenditures for 1958-1960 may turn out even higher than these preliminary estimates.
Planned capital spending in 1957 by the electronic and electrical industry is 18 percent above the $603 million actually spent last year. All manufacturing plans to spend $14.5 billion, up only 14 percent from 1956. All businesses plan to spend $41.0 billion in 1957, an even smaller 12 percent above 1956.
Spending plans of the radio and tv segment are less than early opinions indicated. Appliance, radio and tv manufacturers plan to decrease capital spending by seven percent in 1957. Preliminary survey returns indicate nine-percent increase in capital spending this year.
However, appliance, radio and tv capital spending is scheduled to increase 33 percent from 1958-1960.
Survey also uncovered capital spending plans of electronics-related and electronics customer industries:
- Office machinery spending is up 30 percent in 1957, down 27 percent in 1958-1960 period.
- Aircraft spending is up sharply 71 percent in 1957, off 52 percent in following three years.
- Instruments and controls spending rises three percent in 1957 and 19 percent for 1958-1960.
- Machinery spending is $1.1 billion in 1957, five percent above 1956.
- Autos, trucks and parts spending totals $1.2 billion in 1957, down 29 percent from 1956.
- Petroleum refining spending will be $924 million in 1957, up 30 percent from 1956.
Change in way money is spent is evident from survey, although electronics and electrical machinery industry is an exception. New capacity plans are tapering off and industry as a whole is turning more to modernization.
Electronics and electrical machinery will use 39 percent of its capital expenditures for modernization in 1957 and in the following three-year period.
Forty-eight percent of expenditures of all industry will go for modernization in 1957. In the 1958-1960 period, this will be upped to 53 percent.
Survey shows that expectation of higher sales supports these large expenditures. Electronics and electrical manufacturers' sales forecasts predict a 13-percent increase in 1957 and a 22-percent increase for 1958-1960. Electronic and electrical machinery, other machinery and transportation equipment are among those with the highest sales forecasts. This group of industries expects sales increases by 1960 of 30 to 36 percent, compared with 26 percent for manufacturing as a whole.
Of interest to electronics, every industry reporting in the McGraw-Hill survey is increasing its research and development expenditures in 1957. Part of this will be in and for electronics.
Largest is in aircraft, which plans to spend $2.3 billion in 1957 and $3.2 billion in 1960. Second largest is electronic and electrical equipment, which plans expenditures of $1.3 billion in 1957 and $1.6 billion in 1960.
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$43 Million for VORTAC
Congress says an extra $21.5 million, needed by CAA to complete air traffic system, must come from Air Force appropriations
Congress is giving CAA $43 million, out of a requested $64.5 million, for updating the nation's air traffic control system with VORTAC (electronic system of short range navigation for civil and military flying).
Nearly ten of the $43 million will go to Stromberg-Carlson for 263 sets of Tactical Air Navigation (TACAN) test, monitor and control equipment, which integrated with VOR (vhf omnidirectional radio ranges) comprises VORTAC. Target date for commissioning these VORTAC stations is July 1, 1959.
Ten more of the forty-three million will go to repay Navy for transponder equipment that TACAN will monitor.
Remaining $23 million is slated for building, installation and testing related to the 263 TACAN sets.
The withheld $21.5 million CAA needs to complete the VORTAC system will have to come, Congress says, from USAF funds. Whether a budget-cut Air Force will part with this amount has not yet been determined. If it does, CAA will buy 124 more TACAN sets.
Even if USAF comes to the rescue to complete VORTAC, CAA will still be short about $29.5 million out of the total $175 million originally requested for fiscal 1958.
In spite of the cut, plans still stand for going through with CAA's $810-million, five-year program, approved in April 1957 by both House and Senate Appropriations Committees.
Whether the cut will be restored gradually during the last four years of the program, 1959-1962, is speculative. Congress approved the program, not a specific $810 million.
Other equipment called for in the five-year program and approved by Congress includes:
- 73 long-range air-route surveillance radars (ARSR), 23 of which have already been purchased.
- 115 airport surveillance radars (ASR) for control around terminal areas. Of the 115 ASR's, a total of 47 are operating or planned with current funds.
- 43 precision-approach radars (PAR), 23 of which have already been planned.
- 74 airport surface detection equipment (ASDE) radars for use in controlling traffic on the ground at major terminals.
- 1,230 VORTAC's which will be incorporated by 1962.
- 30 additional instrument landing systems (ILS), to be added during fiscal year 1958 to the 170 now in operation. All 200 of these ILS's will be equipped with the distance-measuring feature of VORTAC by 1962.
- Installation of another 89 ILS's, combined with the distance-measuring VORTAC component, to begin in fiscal 1959.
- 231 air-traffic control radar beacons, also called secondary radar.
- 77 new airport traffic-control towers to make a total of 271.
Researchers Test Signal Theory
Work going on at Stanford University suggests a new picture of the ionosphere. Instead of the common concept of a 200-mile-thick electrical shell of charged particles surrounding the earth, Stanford scientists see the greatest density of particles at the 50-mile-high floor of the ionosphere. The particles gradually thin out for thousands of miles into space.
The experiment confirms a theory advanced recently by a Canadian scientist to explain radio's curious whistler sounds from outer space.
The Canadian, L. R. O. Storey, suggested that whistlers are lightning-generated radio signals that penetrate the denser layers of the ionosphere and escape into space.
Escaping whistler signals, Storey surmises, are guided back toward earth by the earth's magnetic field. His idea implies that quantities of ionized particles exist far beyond the limits of the ionosphere.
Investigating these assumptions are Robert A. Helliwell and associates at Stanford's Radio Propagation Laboratory.
With support from the Office of Naval Research, the Stanford group carried out an experiment to test Storey's theory.
Nine months ago, Helliwell sent Ernest Gehrels, a research assistant, to Cape Horn at the southernmost tip of South America. There Gehrels set up a radio listening post in a Chilean lighthouse on the Straits of Magellan.
This was as close as he could get to a point where he estimated a prearranged signal from the Navy's radio transmitter at Annapolis, guided by the earth's magnetic field, would return to earth after a looping, 20,000-mile trip through space.
It did, taking about three-fourths of a second for the journey.
Time delays averaging approximately seven-tenths of a second enabled Gehrels to distinguish between the regular ionosphere-reflected signals from Annapolis and those guided on the long path through space.
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Solion In Production
Hartford, Conn. firm is in production of new electrochemical device which Naval Ordnance Lab sees as supplementing tubes and transistors
Production of a new electronic device using the solion is now underway at Emhart Manufacturing, in Hartford, Conn. The unit functions as a navigational integrator for inertial guidance systems.
Such a device can be made largely error free. It can account for directional change and rotation of the earth. It is not subject to electromagnetic fields and can be made to resist high temperatures. Uses are seen in missiles and piloted aircraft.
Electronics now has a new technology called chemtronics. A project of the Naval Ordnance Laboratory, it has been under hush-hush development for the past ten years.
Last week chemtronics was the talk of the nation's scientists. The solion, the development that took the wraps off the project is an electrochemical device. Physicists at the Naval Ordnance Laboratory say it may supplant electron tubes and transistors in some uses. The term solion is short for "ions in solution."
Solion makes use of the natural laws governing the movement of electrons through a fluid, instead of through space as in an electron tube, or through a solid as in transistors.
The advantages of the solion, says NOL, is that it requires extremely low power; it has great sensitivity and accuracy; it is easy to manufacture at low cost, and is quickly adaptable to mass production.
Basically the solion, or electro-osmotic cell, consists of two nonreactive electrodes such as carbon or platinum immersed in a solution of potassium iodide (the electrolyte) and iodine in water, methyl alcohol or other solvent. This in itself constitutes an electrolytic cell.
However to get solion action, the iodine in solution is kept away from the cathode area by an osmotic diaphragm. Application of pressure to the cell releases iodine to the cathode area in controlled amounts. Thus the solion acts as a transducer. It can detect pressure (or acceleration) and provide an amplified output.
The so-called derry or derivative unit acts more like a transistor or electron-tube amplifier. It consists of two electrochemical devices. The input signal is applied to a unit called the driver where it is used to control fluid flow and provide a physical pressure as an output. This pressure in turn is applied to the amplifier which is a conventional electro-osmotic cell. The derivative unit has an input impedance of 30,000 to 40,000 ohms (about the impedance of some electron-tube amplifiers) and provides overall power gains of 3,000 to 250,000. The unit presently is useful only at frequencies below 10 cps.
Emhart Manufacturing calls its present production "a strictly hand operation. There are some very fine tolerances in there."
Others who have been part of the study include the Defense Research Laboratory at the University of Texas and Minneapolis-Honeywell Regulator.
Present production is expensive. Total output is for the military.
As to how well the solion works, one scientist said, "If you knew how much money was put into it, you'd damn well know it works beautifully."
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Chemical $$'s Climb
Electronics used $23-million worth in 1956, largely germanium and silicon; grew from $9 million in 1954. Chemical firms offer research aid
Electronics companies in 1956 bought and used some $23-million worth of chemicals. Figure includes about 150 chemicals used by electronics firms. It includes ferrites, titanates, phosphors, reagents and semiconductors but excludes plastics, insulation, composition resistance material.
The size of the gulp grew from around $9 million in 1954. An example of pound growth can be seen in selenium (used in rectifiers). From 250,000 pounds in 1954, electronics consumption rose to 500,000 pounds in 1956.
In 1954 big consumption was in phosphors for TV picture tubes ($1.8 million), barium titanate for piezoelectric devices and capacitors ($1.4 million), germanium dioxide for diode and transistor production ($1.3 million), ferrites for magnetic cores and other parts for TV and radio ($750,000), selenium ($500,000), and silicon for diode and transistor production ($430,000).
Big in 1956 terms are germanium ($9.5 million) and silicon ($5 million). TV phosphors climbed to $3 million.
Chemical companies are leery of projecting their estimates into the future. However, one saw total consumption of chemicals used in semiconductors up to $32 million annually in 1965.
Another company expects germanium buying to go up to $13 million in 1957, $16 million in '58, drop to $13 million in '59 and $12 million in '60. Expected rise in use of silicon explains pattern. Silicon, company says, will be used to the tune of $7.5 million in 1957, $10 million in '58, $15 million in '59 and $15 million in '60.
Same company thinks color TV breakthrough will push up consumption of phosphors to $3,750,000 in 1959, $4.5 million in 1960.
Chemical companies supplying electronics firms want to help the state of the art, especially in semiconductors. Companies such as B & A Products have liaison men who work with electronics research firms. Others like Merck and Company are just beginning to do this.
Says Merck: "We can make what electronics wants if they'd evaluate what we do. What we lack is knowing how to make a useful electronic device. But we can make the chemicals for one."
Inco Firms Nickel Pricing
Users of nickel, including much of the electronics industry, found a cheering note in a recent statement by International Nickel Company of Canada.
John F. Thompson, chairman, outlined Inco's intention to stabilize prices. Refinery prices rose 9.5 cents to 74 cents a pound last December.
Citing his company's large production and expansion program, said, find the 74-cent price too high.
"The industry must in the years ahead be even more aggressive in striving to reduce costs and in preparing itself for the time when the upward trend of nickel prices is stopped or even turned back," Thompson said. "The price of nickel should at all times reflect not only short term, but long term considerations."
Civilian shortages are being eased, he said, by government stockpile diversions, supply increases and more efficient use. He did not say there would be adequate civilian supplies in the next year. Military requirements, however, are being met.
The supply situation can change from famine to feast in four years. Nickel industry plans to produce 650 million pounds in 1961, 50 percent over 1956. If military needs remain stable, civilian use will have to increase 75 percent to take up the slack, Thompson said in analyzing situation.
Inco's own production will be lifted from 286 million pounds in 1956 to 385 million pounds in 1961. New mines are being prepared in Manitoba.
Color TV Test Facts, Comments
Facts and figures are coming in on RCA's color TV set merchandising test in Milwaukee. Two things seem clear about the test. Cost of selling color TV sets is high. Dealers don't get enthusiastic easily.
According to Kurt Williams, general sales manager of Taylor Electric (RCA Milwaukee distributor), the $100,000-$150,000 promotional color push resulted in retail sales of 531 color sets over the 40-day period.
Here are two samples of dealer comments:
Says Herbert Wilk, v-p of the Samson store chain, "The timing of the program was wrong." Though having this misgiving, Wilk felt: "Regardless of the money spent in the initial shot, we feel it will come back in the fall."
Another dealer said sourly, "The weather was bad, sales generally were off."
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Pentagon Urges More R&D
Advantages to industry are patent rights, use of results in consumer products and more opportunity
Industry may have to pick up more of the tab for research and development costs as DOD's economy drive gains momentum.
Mounting defense costs, a tightening budget and curbs on installment buying have focused attention on cutting R&D spending as a partial escape valve.
Urgency of shifting more of this cost from government to industry was recently stressed by both Rear Adm. Rawson Bennett, Chief of Naval Research, and Lt. Gen. Thomas S. Power, ex-Commander of ARDC.
Advantages to industry of financing its own research are substantial. Research work done under a classified contract ties up all results. Final product can not be patented nor can unexpected developments be applied to consumer products.
Also, hardware developed with industry funds might, by chance, be superior to equipment developed under government contract.
Majority of Bell Labs' research projects are self sponsored. Reason Bell gives: to discover what the military does not yet know it wants or needs.
Disadvantage of industry R&D financing is problem of financing long-range projects.
Results of ARDC's efforts to help industry invest wisely are, according to Power, "gratifying." "Considerable number of industrial organizations are now using their own funds for research and development projects of Air Force interest," he says.
The Air Force is literally bringing industry into the advance planning room. Since the program began in late 1955, seven jointly held symposiums devoted to technical program areas have been attended by 612 companies.
Complementing these sessions is the release of Technical Program Planning Documents (TPPD's), spelling out in detail what is covered at the symposiums.
To provide preplanning data for weapons systems of the 1965-1975 period, ARDC provides such information in its System Requirement Release Program.
Precisely to what extent ARDC's symposiums are responsible for increased industry-financed research is hard to determine. Probably the greatest benefit is going to small and/or new companies and to new divisions of large companies. Large, established electronics firms have a long record of close government cooperation.
Reeves, a participant in the ARDC symposiums, has staked $1 million in the future of floated gyros and computers.
RCA regards the symposiums as "a forward-looking program, extremely helpful to the service and to RCA."
MILITARY electronics
- Lockheed will begin preproduction work for Navy on new aerial picket ship to carry high-power search and tracking radar in giant saucer-shaped radome on top of the plane's fuselage.
- Program for electronics laden X-7 test vehicle will extend at least through mid-1958 because of new USAF $14.5-million contract to continue Lockheed's ramjet engine flight-test program in which X-7 is used.
- Voice data link, announced by Fairchild, converts outputs from computer into verbal messages. Originally designed for SAGE, stored vocabulary contains words necessary to command aircraft or an intercept mission.
Word storage unit consists of magnetic drum rotating at two rps and a set of recording-playback heads. Additional application: stored vocabularies in several languages for use in NATO areas.
- New radar set for air traffic control will be developed by Bendix under $2,223,751 AMC contract. Equipment will be installed at AF bases for surveillance of 100-mile-radius areas. Development will be monitored by ARDC's Rome Air Development Center.
- "An instrument-carrying vehicle will reach Mars and a man-carrying vehicle will reach the moon within our lifetime," predicts Ramo-Wooldridge's Frank W. Lchan.
CONTRACTS awarded
Hallamore Electronics division of Siegler will produce missile test and check-out equipment under a $9 million plus subcontract. Although prime contractor was not named, it is probably Martin for work on Titan. Hallamore is already producing similar equipment for Atlas.
Elgin National Watch gets a $1,142,000 contract from Bendix for production of assemblies used in jet air-data computer. Initial installations of computer will be made on Republic's F-105 and McDonnell's F-101B. Bulk of Elgin's production work will be centered in Lincoln, Neb.
Minneapolis-Honeywell will equip USAF's B-47 with more LABS.
Atomic power in Caesar's day?
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The crisis that confronts our colleges today threatens to weaken seriously their ability to produce the kind of graduates who can assimilate and carry forward our rich heritage of learning.
The crisis is composed of several elements: a salary scale that is driving away from teaching the kind of mind most qualified to teach; overcrowded classrooms; and a mounting pressure for enrollment that will double by 1967.
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New Tape Equipment Arrives
Announce Drives, Reels
Both entertainment and data recording keep interest in magnetic tape and associated electronic and mechanical equipment high. An electronic drive unit furnishes proper frequencies to operate hysteresis synchronous turntable motors by Fairchild Recording Equipment (P1) at four speeds. Dalmotor (P2) announces torque motors for driving tape recorder take-up reels.
Flutter and wow meters are announced by D & R, Ltd. (P3) for use in the design and manufacture of recording and reproducing systems. Electrodynamic Instrument (P4) offers f-m modulators and demodulators for use with tape recording systems. Reels with C-slots for magnetic recording tape are said by the maker, Audio Devices (P5), to provide fast easy threading.
Engineered Magnetics (P6) announces magnetic-amplifier power supplies that deliver 5 to 200 volts at 50 ma to 2 amps a-c for airborne instrumentation applications. . . . Two-watt circuit-balancing potentiometers available from Bourns Labs (P7) are only $\frac{3}{8}$" by $\frac{5}{16}$" by 1 inch.
Strip chart recorders by E. H. Sargent (P8) for laboratory use feature nine chart speeds and ±0 ranges for voltage and current signals. . . . Silicone insulating resins have been developed by Dow Corning (P9) for encapsulating electronic assemblies. . . . The type 1236C diode is announced by Superior Electric (P10) as a detector for differential voltmeters, a-c and d-c voltage and current stabilizers.
Reeves Instrument (P11) has size 11 resolvers available in production quantities for airborne systems. . . . An improved X-band stalo cavity by Varian Associates (P12) is said to provide a high degree of short-time frequency stability. . . . Swept signal generators announced by Wave Particle Corp. (P13) incorporate backward-wave oscillators which can be electronically swept to cover any part or all of the frequency of the BWO.
High-voltage cables designed by Jettron Products (P14) for cathode-ray tubes are said to prevent corona discharge at altitudes up to 60,000 ft. . . . An a-c vtvn offered by Trio Labs (P15) for panel mounting has twelve scales from 1 millivolt to 300 volts. . . . Evect Tool Co. (P16) announces an eyeletting machine said to speed the production of printed electronic circuits.
For more information use READER SERVICE CARD
ELECTRONICS business edition — July 10, 1957
available from Lord Mfg. (P17) for heavy electronic equipment feature temperature resistance from -80 to 250 F. . . . Called a time-to-pulse-height converter, an instrument offered by El Dorado Electronics (P18) measures time in the range 0.25 millimicrosecond to 1 microsecond. . . . Phasemeters developed by Statham Development (P19) for measuring phase relationships in electronic gear cover frequencies from 60 cps to 20 kc.
Lear (P20) announces a gyro drift recorder which is said not to respond to Scorsby motion and dither but only to drift and random disturbances. . . . Miniature rate gyros by Minneapolis-Honeywell (P21) are offered for autopilot damping, radar antenna stabilization and fire-control applications.
The type 545 external-anode power-diode tube announced by United Electronics (P22) for airborne use weighs 0.7 ounce. . . . Circuit breakers produced by Heinemann Electric (P23) for airborne use can be operated on either 400-cps a-c or on d-c, to facilitate standardization. . . . Altimeters are announced by Hastings-Raydist (P24) for operation in the high-altitude range from 75,000 to 225,000 ft.
Holland Electronics (P25) offers in-line terminations to match impedance of pulse and signal generators to a variety of loads. . . . Frequency power converters developed by James Vibrapower (P26) generate 117 volts at 60 cps from dc sources. . . . High-speed transistorized counters by Ransom Research (P27) use gated binary reset to zero on the count of 10.
Limited quantities of oriented single-crystal silicon ingots are available from Thermosen, Inc. (P28) for rectifiers, transistors, infrared lenses. . . . Custom-build environmental cabinets are available from Atmosphere Control (P29) for temperature, humidity, altitude testing.
Nylon clips for anchoring tubes and cables have been developed by Weekesser (P30) to eliminate the
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**Load Cells Mix Wall Paint**
Automatic formulation of wall latex coatings at Standard Coated Products, Buchanan, N. Y., is done in two tanks supported on Bakwin-Lima-Hamilton load cells. The cells and the instruments on the panel in the background control the quantities of ingredients and times of the mixing cycles.
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3761 South Hill Street,
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Over 400 electronic control circuits
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Here are the circuits you need for timing, timing metering, and counting; for sweep control, trigger, temperature and motor control, and hundreds of other industrial uses—each with complete operation, performance characteristics, component values, and practical applications. Save hours even days of search through industry works and trade circuits books for a particular application—consult this big, handy collection of tested circuits—selected from recent issues of Electronics and classified and indexed for quick use.
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Handbook of INDUSTRIAL ELECTRONIC CONTROL CIRCUITS
By John MARKUS and Vin ZELUFF
Electronics Magazine
352 pages, 412 diagrams, $8.75
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a companion volume . . .
Handbook of INDUSTRIAL ELECTRONIC CIRCUITS
By Markus and Zeluff
Contains 483 different industrial electronic circuits for immediate practical use. For each circuit there is a clearly-drawn diagram along with a brief yet comprehensive description. 272 pages. 433 diagrams $7.50.
need for screws and rivets. . . . Wire-wound axial-lead resistors offered by Hardwick Hindle (P31) are said to provide excellent heat dissipation characteristics. . . . Television receivers announced by Transvision (P32) for industrial training programs operate from conventional tv signals or as a closed-circuit monitor.
DuMont (P33) will market a complete line of receiving tubes for tv, radio, communications and industrial electronics gear. . . . Metal-cased magnetostrictive delay line by Deltime (P34) provides 50-microsecond delay with 10 adjustable outputs. . . . Broadband coaxial attenuators with type C connectors are offered by Weinschel Engineering (P35) for the frequency range of 1,000 to 10,000 mc.
Floated rate gyros by Nordenc-Ketay (P36) have been designed for operation in rugged environments. . . . Inductance coils by Speer Carbon (P37) housed in hermetically sealed ceramic cases are said to be virtually unaffected by atmospheric conditions. . . . The 6DS5 beam power tube by RCA (P38) has been designed for use as a class A audio amplifier for radio and tv receivers.
A contact microradiograph instrument for industrial, agricultural and biochemical research is announced by Philips (P39). . . . A tachometer tester by Servo-Tek Products (P40) is an electronic decade-type counter that is used with an adjustable speed drive to check tachometer generators.
Mallory (P41) announces a line of subminiature aluminum-cased electrolytic capacitors in values from one to 110 microfarads. . . . Called Ventureloy II, a silver alloy by Venture Corp. (P42) is said to be particularly suited as a contact material and in wire form for uhf and vhf applications.
Kin Tel's (P43) electronic galvanometer is a combination dc null detector, linear deflection indicator, microvoltmeter, microammeter. . . . Precision single-turn potentiometers available from Carrier Corp. (P44) are said to meet military specifications.
Noise tubes by Ferranti Electric (P45) provide a stable noise source for checking X-band receiver performance. . . . Four motor gearheads designed for use with size 11 motors are available from Bowmar Instrument (P46).
Pulsed power in either L or S band is produced by a Levinthal Electronics Products' (P47) system which delivers pulse lengths from 2 to 10 microseconds and repetition rates from 200 to +50 pps. . . . White Instrument Labs' (P48) series 520 twin-T filters for hum and harmonic elimination feature hermetic sealing, small size, low cost.
New Product Makers
P 1: Fairchild Industrial Equipment, 10-40 45 Ave., Long Island City 1, N. Y.
P 2: Dalmontor, 575 Clay St., Santa Clara, Calif.
P 3: D & R, Ltd., 402 E. Gutierrez St., Santa Barbara, Calif.
P 4: Electrodynamic Instrument, 2508 Tanglewood Rd., Houston 5, Tex.
P 5: Amico Devices, 444 Madison Ave., New York 10022.
P 6: Engineered Magnetics, Hawthorne, Calif.
P 7: Bouris Labs, 6155 Magnolia Ave., Riverside, Calif.
P 8: E. H. Sargent & Co., 4647 W. Foster Ave., Chicago 30, Ill.
P 9: Don Corning, Midland, Mich.
P 10: Supercon Electric, 831 Laurel St., Bristol, Conn.
P 11: General Instrument, 215 E. 91 St., New York 28, N. Y.
P 12: Varian Associates, 611 Hansen Way, Palo Alto, Calif.
P 13: Wave Particle Corp., P. O. Box 252, Menlo Park, Calif.
P 14: Jetson Products, Rumson, N. J.
P 15: General Electric, Monroe Rd., Schenectady, N. Y.
P 16: Eyler Tool Co., 2363 Bayu, Cambridge, Mass.
P 17: Mass. Inst. Tech., 1633 W. 12 St., Erie, Pa.
P 18: El Dorado Electronics, 1400 Middle Harbor Rd., Baltimore 29, Calif.
P 19: Stratton Development, 12411 W. Olympic Blvd., Los Angeles 61, Calif.
P 20: Lear, 3171 S. Bundy, Santa Monica, Calif.
P 21: Minneapolis-Honeywell, 1400 Southern Field Rd., Rochester 4, Minn.
P 22: United Electronics, 42 Spring St., Newark, N. J.
P 23: Heilman-Electric, 155 Plum St., Trenton 2, N. J.
P 24: Hastings-Raylant, Hampton, Va.
P 25: Bell Telephone Laboratories, 40 Great Jones St., New York 12, N. Y.
P 26: James Thayerway, 456 N. Rockwell St., Chicago 11, Ill.
P 27: Ransome Research, P. O. Box 382, San Pedro, Calif.
P 28: Thermone, Inc., 561 W. Main St., Stamford, Conn.
P 29: Atmosphere Control, 5315 Chester Ave., Philadelphia 32, Pa.
P 30: Wesco Corp., 5701 Northwest Hwy., Chicago 36, Ill.
P 31: Hardwick Hindle, 40 Hermon St., Newark 5, N. J.
P 32: Transvision, New Rochelle, N. Y.
P 33: DuMont Labs, 750 Bloomfield Ave., Clifton, N. J.
P 34: Deltime, 608 Fayette Ave., Manassas, Va.
P 35: Weinschel Engineering, Kensington, Md.
P 36: Nordenc-Ketay, Commerce Rd., Stamford, Conn.
P 37: Speer Carbon, 88, Marx, Pa.
P 38: RCA, 30 Rockefeller Plaza, New York 20, N. Y.
P 39: Philips Industries, 750 S. Fulton Ave., Mt. Vernon, N. Y.
P 40: Servo-Tek Products, 1086 Gaffle Rd., Hawthorne, Calif.
P 41: P. R. Mallory, 3029 E. Washington St., Indianapolis 19, Ind.
P 42: Venture Corp., 50 Fulton St., Newark 2, N. J.
P 43: Kin Tel, 5223 Kearny Villa Rd., San Diego, Calif.
P 44: Carrier Corp., 1704 S. Del Mar Ave., San Gabriel, Calif.
P 45: Ferranti Electric, 30 Rockefeller Plaza, New York 20, N. Y.
P 46: Bowmar Instrument, 2415 Pennsylvania St., Philadelphia 33, Pa.
P 47: Levinthal Electronics Products, 340 Stanford Blvd., Palo Alto, Calif.
P 48: White Instrument Labs., Box 9096, Austin 17, Tex.
FCC to Dump TV Table
Friend and foe alike say Craven Plan may injure tv's growth. They warn about mileage separation
Final FCC acceptance of new tv station allocation plan seems assured. Called the Craven Plan after its originator, Commissioner T. A. Craven, it calls for dropping tv table of assignments.
The plan opens up assignments to any station that can meet mileage separation requirements and conform to safeguards designed to protect uhf stations from further vhf competition. Geographical areas that are within 250 miles of Canadian or Mexican borders remain tied to old table.
Also unaffected are allocations for educational tv stations.
Main opposition to the new plan comes from Association of Maximum Service Telecasters, principally a group of uhf stations. This group believes that plan will not add new facilities except by degradation of existing tv service. It doubts that the plan would give the flexibility intended. It calls the new plan the first step toward breakdown of mileage separation requirements.
CBS expresses its support for the move. The network says the plan "will promote more efficient use of channels." One objection the network has is that minimum mileage separations might break down.
NBC says: "The protection to be afforded uhf stations should be an actual protection and not predicated upon theoretical computations." This network points out that with the 75-mile separation a vhf station could serve the majority of people served by a uhf station.
The plan provides that a second vhf station can enter an area if its transmitter is farther from the uhf station than an existing vhf station. NBC calls this a "threat to existing uhf service."
Even the Joint Council of Educational Television and the National Association of Educational Broadcasters, though "gratified" that educational channels continue to carry "reserved" signs, have a doubt.
They wonder if the new plan will create a "sound television structure."
FCC actions
- Authorizes first commercial over-the-horizon television transmission. AT&T will use it on scatter system under construction between Florida and Cuba. Hop is 180 miles.
- Exempts passenger vessels from carrying radiotelephone equipment when they are less than 50 gross tons, when they will not be more than 1,000 feet from shore, when passengers can escape any calamity without assistance, when there is no station nearby which could receive distress calls.
- Postpones until June 1, 1958 rule requiring tv stations to employ approved frequency and aural transmitter modulation monitors. It finds that specified equipment is not generally available.
- Rules that all-area inter-ship frequency 2,638 kc is available for public ship-shore telephony on certain interior waters. Exemptions are the Great Lakes and other major inland waterways.
- Appoints Harold G. Cowgill as Chief of Broadcast Bureau and John R. Lambert as Acting Chief of Common Carrier Bureau.
- Makes frequency 123 mc available solely for communications between private aircraft and aeronautical advisory stations.
- Removes restrictions against use of frequency 122 mc by air carrier planes weighing less than 10,000 pounds.
- Proposes to permit operation of ultrasonic measurement equipment over a continuous band of frequencies.
- Extends until June 30, 1958 reduced government rate structure for foreign telegraph messages.
STATION moves and plans
WCIIS-TV, Charleston, W. Va., begins transmitting from new 1,000 foot tower. Cost of tower was $300,000.
KVEC-TV, San Luis Obispo, Calif., becomes satellite station of KSBW-TV, Salinas, Calif.
WIMS, Michigan City, Ind., plans new transmitter upping power fivefold to 5 kw.
WCPO-FM, Cincinnati, Ohio, will establish second subcarrier on a multiplex basis.
WMIX, Mt. Vernon, Ill., installs new transmitter.
WETU, Wetumpka, Ala., plans raising power from 1 to 5 kw, installing new transmitter.
WSNT, Sandersville, Ga., changes hands. Herschel L. Webster and
Circuit Breaker has Trip Level Independent of Temperature
Magnetic time delay mechanism provides trip level that is unaffected by ambient or operating temperature. Breaker protects your equipment equally well under all conditions. Toggle is trip free.
- Rated for 50 DC volts or 120 RMS volts at 60 or 400 CPS.
- Long and short delays, faster action if needed.
- Standard loads from 50 MA to 10 AMPS.
AIRPAX PRODUCTS COMPANY
DESIGNERS ENGINEERS
CENTRAL ENGINEERING DIVISION
FT. LAUDERDALE FLORIDA
Inertial Guidance for ICBM and IRBM
R-W's broad systems responsibility for ICBM and IRBM has created unusual technical and project opportunities in the field of inertial guidance. Positions are open in Los Angeles, the Midwest, in the New York area, and at Patrick Air Force Base, Florida.
The field of Inertial Guidance is an important one in guided missile research at Ramo-Woolridge, where engineers and scientists are providing systems engineering and technical direction for the Air Force Ballistic Missile Programs.
The systems team concerned with inertial guidance represents many technical specialties. Among them are: controls . . . inertial components . . . airborne computers . . . data processing . . . ground support equipment . . . test planning and analysis . . . packaging . . . and mechanical design.
The essential function of Project Engineering supplements these technical specialties. Project Engineers are responsible for technical management liaison with other organizations participating in these missile programs.
Please address inquiries to: Mr. W. J. Coster
The Ramo-Woolridge Corporation
5730 ARBOR VITAE STREET • LOS ANGELES 45, CALIFORNIA
John C. Foster pay $27,660 to Jack Bradley and Claude Williams for the station.
WKDL, Clarksdale, Miss., becomes property of Coahoma Broadcasting for $40,000 paid to Anne P. McLendon and W. L. Kent.
KICA-TV and KICA, Clovis, N.M., share (one-third interest) is sold by Garfield C. Packard to Mac Strauss and Frank Lesley for $36,666.
WLOS-TV, Asheville, N. C., installs auxiliary antenna at main transmitter location.
KWIL, Albany, Ore., control passes from Ralph R. Cronise, Glenn L. Jackson and Olga Jackson Burns to Albany Radio for $80,000.
WDOV, Dover, Dcla., plans new transmitter.
WNAC, Boston-Lawrence, Mass., plans shifting station location from Boston-Lawrence, to Boston, giving up studios in Lawrence.
WAMM, Flint Mich., plans to increase power from 500 watts to 1 kw.
WEAT-TV and WEAT, West Palm Beach, Fla., is sold by RKO Teleradio Pictures to Palm Beach Television for $600,000.
KOWH, Omaha, Neb., is bought by National Weekly from Mid-Continent Broadcasting for $822,500.
KCLN, Clinton, Iowa, is bought by Valley TV and Radio from Kenneth W. Evans, II, Richard Petterson and Wharton L. Murray for $35,000.
WDBF, Delray Beach, Fla., is sold by Delray Broadcasting for $56,000. Buyer is Boca Raton Bible Conference Grounds.
KSUB, Cedar City, Utah, is sold by Radio Service Corp. of Utah to W. Arthur Jones, Lanell N. Lunt, Durham Morris and Lorin C. Miles. Price is $33,778.
AEC Boosts Research
Shifts emphasis from heavy plant building to smaller projects which hold the promise of a mass electronics market in nuclear field
Atomic Energy Commission report for 1956 shows sharp dip in heavy plant construction. But more money was spent on research projects, which promise to create mass markets for electronics.
Research and development of aircraft reactors rose from $22.6 million in fiscal 1955 to $49.6 million in fiscal 1956. Naval propulsion reactors rose from $26.8 to $40.9 million and experimental power reactors from $26.3 to $42.2 million.
No figures were given on instrumentation costs in these fields. However, the commission estimates it is spending $9 to $10 million on radiation instruments in connection with major activities. Half is for development, half for purchase and maintenance. Another $8.6 million was spent in 1956 for accelerators.
An additional $1.3 million is budgeted for research in radiation detection and monitoring instruments. Half is contracted, including $280,000 for development of multiplier phototubes and scintillators.
Moves in civilian applications:
- Nearly all industrial atomic information was declassified. Royalty-free patents increased to 1,100. Electronic tubes and light meters containing radioactive materials were placed under general licensing.
- Six regional libraries of classified materials were ordered established. Access permits increased 40 a month, to 1,145.
- Almost 60 firms, persons and institutions were licensed monthly to use radioactive isotopes. Year-end total of 3,600 includes 1,509 medical users and 1,486 industrial users.
- Irradiation experiments showed metal yield strengths can be increased 63 to 453 percent.
- Seventy-three reactors were reported in operation, 118 on tap.
- Atomic demonstration shows were booked before 300,000 high school pupils as part of $1.7-million education program.
Packers Sort By Color
Electronic color-sensing device spots shade differences. Built-in memory governs operation, eliminates error.
Electronic color-sensing devices are adding bright hues to California's food-processing picture.
Hiring crews of hand sorters has been a major headache for food processors and packers. Payrolls have eaten away at profits too. During the past year, electronics setups have started color-grading lemons, oranges, tomatoes, peanuts and beans.
Market for Librascope's color discriminator in food processing looks good. One of the Bay Area's cling-peach canners recently adapted a color sorter to reject machine-pitted fruit that still had some of the pit. Upstate, color-discriminating devices watch maraschino cherries.
One recent installation is at Diamond Walnut Growers cooperative in Stockton. Fifty units made by Electric Sorting Machine sort walnut kernels into diamond, emerald and suntan color categories. Each machine does work of 5 to 8 manual sorters, depending upon size of kernels being run.
Two photoelectric cells equipped with infrared filters scan opposite sides of kernels passed through viewing chamber. Machine makes 150 decisions a minute. Decision is delayed by magnetic memory drum until vacuum-held kernel reaches proper spot on delivery wheel. Thyatron then ejects kernel into bin according to color.
Third photocell governs height to which kernels are loaded in hopper bowl. Three other sorting machines are used for determining the price of various grades.
Soviets Push Microwave
Rapid buildup of telecommunications is now underway in the Soviet Union. Part of this will be a 6,210-mi microwave radio-relay system using traveling-wave amplifiers.
The 4,000-mc system, apparently Russia's biggest civilian electronics effort, will be completed in 1960 and handle 2,400 voice channels, or 5 television channels.
This was the report of five Russian electronics engineers last month in an exclusive interview with ELECTRONICS. Under U.S. States Department auspices the Russians returned the visit paid to the Soviet Union by a group of American electronics engineers. The Russians' visit included the Johns Hopkins University, Bell Telephone Laboratories, Sylvania, RCA, Westinghouse, Bendix and ELECTRONICS editorial offices.
The group included G. P. Kasanski, division chief in the Soviet Ministry of Radio-Technical Industry; E. M. Kondratiev, engineer in the scientific research institute of the Ministry; Prof. A. G. Aleksandrov, of a vacuum-tube-plant research laboratory; K. J. Petrov, chief engineer of a radio factory; and V. V. Petrov of the Ministry of Communication's research institute.
Delay in their airplane's arrival prevented a scheduled attendance in Washington at an Institute of Radio Engineers meeting on automation. L. M. Allison, an electronics scientist of the National Bureau of Standards, acted as host during the tour.
According to the Russians, they are also building up their television broadcasting network and now have 22 stations. Largest station, they said, uses 30-kw video transmitter
and a 15-kw audio transmitter. A 50-kw unit is slated to start operation in 1959. In addition, there are 100 two-kilowatt translators used to bring TV to outlying areas near major cities. Plan is reportedly to have 75 major stations and 200 translators by 1960. All Russian TV is VHF; there are 5 channels.
Television service shops run by the Ministry of Communications are being set up. Underwater TV has recently been introduced in the fishing industry. Electronics controls are becoming important in metallurgy and railroading. Under development is a video magnetic tape recorder requiring a bandwidth of four or five megacycles, due to the wider bandwidth of Russian TV.
For the first time, the Russians said, the Soviet Union this year is turning out electronics engineers trained in all aspects of the art. Until now, each graduate was a specialist such as a television engineer or radio-receiver engineer. Now the young Russian engineer will get specialized training in industry like his U.S. counterpart.
Asked about education of engineers, the Russians said their engineering education is largely practical in nature at a 6-year technical institute. For advanced training, such as use of Laplace transforms in circuit analysis, the holder of an engineering diploma goes to a 3-year graduate school where he must write and defend a thesis. About 35 percent of Russia's engineers are women, they said.
Interviewing Russian electronics engineers. From left to right: Managing Editor Carroll, E. M. Kondratiev, K. J. Petrov, Prof. A. G. Alexandrov, Associate Editor Findlay, G. P. Kasanski, V. V. Petrov, Associate Editor Manoogian (scattered) and Associate Editor Janis
GYROS for every application
The Kearfott miniature 4 Gimbal 3 Gyro, stable platform, provides precise azimuth, pitch and roll information—irrespective of the airframe attitude. It is hermetically sealed for environmental protection. Because of its rapid warmup characteristic, this unit is fully operational in less than five minutes. This platform provides the features of a magnetic slaved or a latitude corrected directional gyro for heading reference. Dependable, accurate single purpose Kearfott Gyros also available.
ALL ATTITUDE 3 GYRO STABLE PLATFORM
Suitable for use in both missile and aircraft, random drift rate 1° per hour in azimuth and 3° per hour in vertical. Measures only 8" Diam. x 8 1/4" High, weighs but 23 lbs.
KEARFOTT COMPONENTS INCLUDE:
Gyros, Servo Motors, Synchros, Servo and Magnetic Amplifiers, Tachometer Generators, Hermetic Rotary Seals, Indicators and other Electrical and Mechanical Components.
KEARFOTT SYSTEMS INCLUDE:
Directional Gyro Compass Systems, 3 Gyro Stable Platform Systems and Inertial Navigational Systems.
Send for bulletin giving data of components of interest to you.
KEARFOTT COMPANY, INC., LITTLE FALLS, N. J.
Sales and Engineering Offices: 1378 Main Avenue, Clifton, N. J.
Midwest Office: 23 W. Calendar Ave., La Grange, Ill. South Central Office: 6211 Denton Drive, Dallas, Texas
West Coast Office: 253 N. Vineida Avenue, Pasadena, Calif.
A SUBSIDIARY OF GENERAL PRECISION EQUIPMENT CORPORATION
Want more information? Use post card on last page.
Japan: A New Concept
Japanese manufacturer parleys $150 initial investment into million-dollar sales
A $150 electronics venture that snowballed in a decade into a concern capitalized at more than a half-million dollars practices a business concept new to Japan.
The firm, Tokyo Tsushin Kogyo, says it's out to beat its competitors by offering new products rather than undercutting price on older ones.
Totsuko, as the company is known, pioneered manufacture of magnetic tape and tape recorders in Japan. Today, it's concentrating on making transistors, transistorized radios and a transistorized tape recorder.
Coming soon are a miniature transistorized dictating machine, phonograph, and a tape recorder for use with a new computer. Totsuko has also set its sights on an all-transistorized television set.
Sales of $4.7 million last year were double 1955 sales. This year they're expected to jump to $6.9 million. Firm expects its exports to 40 countries to expand tenfold in 1957, to $4.2 million. Of this, Totsuko hopes to sell $2.8 million worth to the U.S., a jump from 17 to 66 percent of the firm's exports.
"We can sell our products anywhere," says one company official, "because we're turning out things that are better or different from anyone else's."
Chief export goal is to boost Asian shipments from $156,000 in 1956. The firm hopes to hit the $1.1 million mark this year, $1.6 million in 1958.
But Japanese domestic competition is becoming stiffer. Totsuko, the only maker of transistorized radios in Japan a year ago, now has four competitors and four prospective ones.
Totsuko fortunes were boosted in 1952 when the company signed a 15-year contract with Western Electric providing for payment of royalties for transistor rights. Today the firm says it's negotiating with Hoffman Electronics for a technical information exchange.
Biggest shareholder in Totsuko is a brewery which puts an electronic head on its profits by holding 12 percent of the company's 2 million shares. Five percent of the shares are held by the Mitsui Bank, which also supplied $560,000 of the $850,000 borrowed by Totsuko.
About 1,000 employees, including 250 college graduates and 750 factory workers, turn out the firm's products. Most workers are girls of 16 and 17, selected for their manual dexterity.
Developments ABROAD
- London will soon begin trial operation of a photoelectric scanning device that monitors bus traffic. Aim: avoid bus bunching and allow routing around heavily congested areas. Ray from bus is picked up by lamp-post-mounted scanner; signal is amplified and relayed to control panel. Then extra buses may be sent or routing instructions telephoned to dispatchers along regular route.
- British firm Airsonic Ltd. offers a new electronic stethoscope which shuts out sounds a doctor doesn't want to hear by selecting the frequency of a particular sound. Equipment weighs 18 oz. is suspended from the neck and can be connected to a tape recorder. It's said to permit a doctor to hear the heartbeats of a polio patient in an operating iron lung.
- In West Germany a 55 million-volt betatron for cancer treatment has been delivered by Siemens-Reiniger to Max Planck Institute for Biophysics in Frankfurt. New apparatus is reported to penetrate +5 in. into human body. During 10-minute treatment doctor leaves room, watches patient through 28 in. thick lead glass pane.
- England's Metropolitan-Vickers Electrical Co. introduces Magistor phototransistor relay which substitutes for a mechanical switch and dispenses with electron tubes and large photocells. Lamp box and receiver with power consumption of 16 w have simple printed-wiring circuit, only two wire interconnections. Firm says applications include counting, level control, warning devices, inspection, materials handling and sorting.
EXPORTS and IMPORTS
In Venezuela a six-channel, 25-mi radiotelephone link will be installed by Pye Telecommunications for Socony Mobil Oil Company de Venezuela. Equipment will provide trunk connection between administrative offices and oil field; vhf multiplex link uses 50-w f-m transmitters.
Guatemala wants nationwide radiotelephone network and may request bids soon on microwave system. A technical council was recently appointed to advise government on the purchase of communications equipment. Meanwhile, Guatemala City gets a 4,000-6,000 kc radiotelephone system.
Canada is installing Bendix-Decca Navigator system to give position fixing for ships, planes and land vehicles in a 1-million sq mi area.
of eastern Canada and adjacent waters. Seamen and airmen with suitable receivers can interpret low-frequency radio position lines into accurate fixes by reading a dial. So says Computing Devices of Canada which holds Canadian rights from Bendix Aviation. System will have four chains, each with one master and three slave stations.
Japan receives electronic instruments that complete her first atomic energy reactor, built by Atomics International division, North American Aviation. Japan Atomic Energy Research Institute will use 50-kw solution-type reactor for studies in biology, agriculture, materials and radioisotope production.
West Germany's Dutch Philips subsidiary, Allgemeine Deutsche Philips Industrie GmbH, in Hamburg, reports 1956 sales index of 336 against 262 for 1955, based on 100 for 1950. Production index was 348 against 248 for same years. Export index reached 387 based on 100 for 1951.
Portugal and the U.S. are linked by new RCA direct radioteletypewriter service (TEX). Previously, circuits to Holland and France were used for Portuguese traffic.
In Denmark three tv stations will be equipped with $270,000 worth of Marconi transmitting gear, including aerial systems, monitoring equipment and flying spot scanning units.
England's E.M.I. Electronics will manufacture and sell electronic-photographic equipment of Log-Etronics Inc., Alexandria, Va.
South Africa has ordered two solar energy converters from Hoffman Electronics for evaluation as power source on remote telephone lines.
Indonesia is equipping four Italian-built destroyers and escort vessels with British Redifon transmitters, receivers, combined loudspeaker, watch and emergency receivers; and both vhf and uhf radiotelephone for ship-to-ship and ship-to-air communications.
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SPECIALISTS IN VINYL SLEEVEING AND TUBING FOR THE AIRCRAFT, ELECTRONICS, ELECTRICAL AND PHARMACEUTICAL FIELDS
GD’s Atom Program
The $10-million John Jay Hopkins Laboratory for Pure and Applied Science gets its first big job from parent General Dynamics. Lab will work out the contract between GD and Texas Atomic Energy Research Foundation for research in the field of controlled thermonuclear reactions.
Results of the work in deriving energy from fusion process may have far-reaching effect on electronics:
- Magnetic devices will most probably be used to confine and control fusion process. Scientists in AEC’s Sherwood Program push the “magnetic bottle” principle, using powerful magnetic fields to deflect ionized particles, keeping them from melting down container walls with the 100-million-degree temperatures fusion may entail.
- Heavy electrical discharges may be used as additional controls to pinch plasma streams together, suspend them in thin lines away from container.
- Direct conversion to electrical energy of charged particles released by fusion is considered feasible. Two-thirds of the energy in deuterium reaction is in charged particles. Electronics may show the way to convert these directly into power.
- Ever-present control problem will be serious in fusion reactors, though less so than in fission. No radioactive by-products are produced in fusion, although reactors eventually become radioactive. Controls and instruments business will benefit from program.
The $10-million contract employs public-utility money: the Texas foundation is supported by the state’s electric utilities. The program is first of its kind to be supported by industry, will extend over the next four years.
The San Diego laboratory, named for the late founder of General Dynamics, is headquarters for the firm’s General Atomics division. Division executives shown in the picture are, from left, H. B. Frye, director of administration; Edward Creutz, director of research, and GD v-p Frederic de Hoffman, division general manager.
De Hoffman is pointing to the +4,000-sq ft experimental building, now being finished. Whole building complex will total 185,000-sq ft of lab and office space.
Sprague Buys Old Mill
With the Commonwealth of Massachusetts running an East-West arterial highway right through Sprague Electric’s main warehouse in North Adams, the company goes crosstown, buys an old mill.
Sprague will use the 4-story, 100,000-sq ft structure mainly as a warehouse, may do some manufacturing there. The building was once the north mill of Hoosac Mills Corp., was bought from Gevaert Corp. of America.
Airpax Packs Up, Heads South
While a lot of companies make plans for expansion into green pastures of Florida, Airpax Products is quietly moving its central engineering division down to the Sunshine State from former Baltimore headquarters. Engineering and production people will have finished shift to new 14,000-sq ft building by July 15.
Airpax had trouble finding engineers in Baltimore, scouted Fort Lauderdale area for space. Company found a 10-acre site, started building, then advertised for people. They got so many applicants that the move went ahead of schedule, into leased quarters.
Elgin Firms Up Electronics
Like other watchmakers who’ve stuck an oar into the electronics business, Elgin National Watch Co. of Chicago is finding it necessary to pry men loose from other parts of our industry.
Elgin recently hired Albert Binash away from Motorola Inc., made him sales supervisor for
American Microphone products.
Joining the firm this month is Dale V. Cropsy, formerly v-p and sales director for Potter & Brumfield. Cropsy becomes assistant to the president, will be responsible for both electronic and abrasives divisions of the firm.
Electronics division general manager A. P. Barton moves up to become assistant to watch manufacturing vice president. Taking over his job is George Ensign, Elgin's R&D director, who headed the staff that developed the company's electronic watch.
**Bosch Runs USAF Plant**
American Bosch Arma Corp. gets a USAF facilities contract to operate a sprawling government-owned plant near Chicago's Midway Airport.
Plant covers more than 750,000 sq ft of floor space. Bosch's Chicago division will run it for the Air Force. Facilities include a personnel building, power house, production and office buildings. Main factory floor is a 670,140-sq ft production area.
Plant sits on a 50-acre tract, almost 15 acres of which is parking lot. Specialized labs include atmospheric and stratospheric test chambers.
**Missile Firms Push R&D**
Keeping its operations centered in Seattle, Boeing is building a $21-million development center near its main plant to house facilities for Bomarc. Boeing had initially planned to build Bomarc outside of Seattle, finally decided—with USAF approval—to stay home, keep 5,000 Bomarc-workers happy.
Lockheed meanwhile is integrating engineering and research branches of its missile systems division under research director Louis N. Ridgmore. Assistant general manager is Willis M. Hawkins, former director of engineering. One of the division's programs is Navy's Polaris IRBM.
Lockheed's management planning head Wilbur D. Snow moves over to missile division as head of product planning branch.
**Top Shifts at IT&T**
In top-level shifts at International Telephone & Telegraph Corp., C. Douglas Webb moves into the Secretary's office, and former Underwood president Fred M. Farwell becomes executive vice president in charge of research and manufacturing activities in the U. S.
Webb succeeds retiring secretary Geoffrey A. Ogilvie. A member of IT&T's legal department since 1943, Webb was assistant general attorney prior to his present appointment. He remains v-p and secretary of IT&T subsidiary International Standard Electric.
Farwell of IT&T
Farwell was with IBM from 1928 through 1950, and an officer of waxmaker S. C. Johnson & Sons from 1951 to 1955. In August, 1955, he became president of Underwood Corp.
At IT&T, Farwell will be in charge of 14 subsidiaries and divisions in the U. S., with some 3 million sq ft of floor space and 12,000 employees.
**FTR Accents Transistors**
Shoring up its semiconductor division, IT&T subsidiary Federal Telephone & Radio appoints Frank M. Viles Jr. to job of v-p for manufacture. Viles was director of FTR's components division, guided firm's work on the electronics for Convair's Hustler supersonic bomber.
James Conto follows Viles from components division to take over as sales manager for semiconductors.
IT&T service subsidiary Federal Electric gets new v-p for customer relations as sales manager Warren F. Morgan moves up to company officer ranks.
**Driver-Harris Promotes Three**
Key men at Driver-Harris, Harrison, N. J., manufacturer of special alloys, move up following retirement of Joseph B. Shelby from job of assistant v-p in charge of sales.
Kenneth H. Hobbie, former assistant sales manager, assumes Shelby's old job of sales manager and assistant v-p. W. Paul Smith slips into Hobbie's lobby.
Frank L. Driver III moves up from post of assistant v-p to become administrative vice president.
**Raytheon Splits Money Job**
Double job of controller and treasurer for Raytheon has been split in two. Incumbent A. E. Reed retains the treasurer's job. New controller is George Ingram Jr., who left Riegel Paper Co. to go with the Waltham, Mass., manufacturer.
Ingram has the job of strengthening Raytheon's financial position by tighter control over expenditures, accounting procedures, money handling. A whole new lineup backstops him.
New manager of special tube sales for firm's receiving and cathode-ray tube operations is Julius Dorfman, moving in from a regional managership.
**Datomatic Expands**
Boston's Datomatic Corp. buys additional plant space to permit increased production of its large-scale data-processing systems. Firm
will soon expand into 75,000 sq ft of production space, bringing total plant area to 130,000 sq ft.
First of the $2-million-plus Data-matic computers is scheduled for installation this fall at Michigan Hospital Service, Detroit.
**PLANT Briefs**
Ford Motor's Aeronutronic Systems Inc. spreads out into 10,000 sq ft additional plant space in Glendale, Cal. The $200,000 lease-hold expansion brings total operating space to 65,000 sq ft.
Universal Transistor Products—name changed from Universal Atomics—is completing move to a new 12,500-sq ft plant in Westbury, L. I.
**EXECUTIVE Moves**
Litton Industries v-p Myles L. Mace becomes chairman of firm's management committee. George Friedl Jr., also a v-p, slips into Mace's old job as general manager of electronic equipments.
New v-p of Bell & Howell's electronic products and instruments divisions is James D. Kingery, former assistant to B&H's executive vice president.
J. Vance Holdam Jr., who helped found Boston's Laboratory for Electronics, moves out of vice-presidency of Tracelab to go home, become assistant to LFE's president.
Francis P. Halas vacates sales management of Infra Electronics, takes over as midwestern sales manager for Norden-Ketay.
Sigurd F. Varian moves up to vice chairman of Varian Associates, with Myrl Stearns moving up behind him to be president and chief executive.
General Motors' AC Spark Plug division moves Joseph Holland up from sales manager to director of field service. Salesman Moreton Price moves up to job of military sales manager.
**THIS FELLOW IS TRAINED IN YOUR BUSINESS.** His main duty is to travel the country—and world—penetrating the plants, laboratories and management councils... reporting back to you every significant innovation in technology, selling tactics, management strategy. He functions as your all-seeing, all-hearing, all-reporting business communications system.
**THE MAN WE MEAN IS A COMPOSITE** of the editorial staff of this magazine. For, obviously, no one individual could ever accomplish such a vast business news job. It's the result of many qualified men of diversified and specialized talents.
**AND, THERE'S ANOTHER SIDE TO THIS "COMPOSITE MAN,"** another complete news service which complements the editorial section of this magazine—the advertising pages. It's been said that in a business publication the editorial pages tell "how they do it"—"they" being all the industry's front line of innovators and improvers—and the advertising pages tell "with what." Each issue unfolds an industrial exposition before you—giving a ready panorama of up-to-date tools, materials, equipment.
**SUCH A "MAN" IS ON YOUR PAYROLL.** Be sure to "listen" regularly and carefully to the practical business information he gathers.
**McGRAW-HILL PUBLICATIONS**
Reps Profit from Parts
Components are a big item in the income to both manufacturers' reps and distributors. Profit margins are relatively lush, and the products are basic to the industry—with resultant steady sales.
Eaton Electronics, Moodus, Conn., maker of printed circuits and assemblies, is just now blanketing eastern and midwestern territories with a network of reps. In the East, Paul R. Sturgeon, Boston, Mass., handles New England; R. H. Whitehead, Guilford, Conn., serves Connecticut; Par Distributors, Syosset, N. Y., is rep for the metropolitan New York area; Samuel Jeffries, Narberth, Pa., sells Eaton's line in the mid-Atlantic region.
In the Midwest, the line is served in Michigan and Indiana by Detroit's A. S. Walters; in the Chicago area by Felleisen Associates, and in the plains states by Inland Associates, Mission, Kans.
Goory Sales, Cleveland, handles the specialty wire products of Chicago's Hudson Wire Co.
In Los Angeles, Yarbrough Sales moves into new quarters, takes on Bow Solder Products' line.
Wire-wound resistors of Chicago's Tru-Ohm Products are represented in metropolitan New York by O. F. Masin, Pelham, N. Y.
Cincinnati jobber Modern Distributing Co. now wholesales Sylvania's consumer products. New wholesale jobber for the firm's electron tubes is Radio-Tv Products, Redding, Calif.
New rep in the West: Hugh Gray Co., San Francisco, serving northern California and Nevada. Gray, a former branch manager for Kittelson Co., handles instruments and allied gear.
INDEX TO ADVERTISERS
Airpax Products Co. ......................... 38
Ampex Corporation .......................... 7
Borden Co., Resinite Dept. .................. 43
Clevite Transistor Products .................. 3
Craig Systems Inc. ........................... 11
General Radio Company ....................... 3rd cover
Hoffman Laboratories Inc. ................... 34, 35
International Nickel Co., Inc. .............. 12
Kenruff Co., Inc. ............................. 11
Manson Ceramics Co. ........................ 46
Markem Machine Co. .......................... 45
McGraw-Hill Book Co. ........................ 25, 36
Microwave Associates ........................ 26, 27
Neely Enterprises ............................ 23
Radio Corporation of America ............... 4th cover
Ramo-Wooldridge Corp. ...................... 38, 45
Raytheon Mfg. Co. ............................ 2nd cover
Standard Record Mfg. Co. .................... 10
Stokes Corp., F. J. ........................... 9
Texas Instruments Incorporated ............. 18
Trans World Airlines ........................ 2
Tung-Sol Electric Inc. ....................... 39
United Electronics ........................... 4
Variflex Corporation ........................ 32
Whitso Inc. ................................... 8
CLASSIFIED ADVERTISING
F. J. Eberle, Business Mgr.
PROFESSIONAL SERVICES ..................... 46
In Our July 1 TECHNICAL Edition, Don't Miss...
• **Tv signal distributor.** An average of 25 db isolation among up to 256 television receivers connected to single antenna can be obtained according to Schlegelmilch, Nilssen and Pan of RCA. Signal strength is down only 12 db at each outlet, providing a 10-millivolt receiver input signal level for most apartment locations. Basic distribution network uses nine 68-ohm resistors and six balun coils to give four outputs from one input. System also includes provisions for inserting locally generated television signal.
• **On the beam.** J. T. Wallmark of RCA tells how output from a semiconductor photocell varies in relation to angle of light source from photocell axis. Varying bias on base contracts gives scanning action similar to mechanically turning photocell. Applications include gun-fire locator, computer function generator and vibration detector.
Engineers adjust distribution amplifiers in typical tv antenna-multiplex system
• **Broadcast time-setter.** Any electric clock, connected to a radio receiver, can be triggered by time-signal tone broadcast by station WWV. According to Ronald L. Ives, operator sets clock to verbal announcement of time and a relay connected to a diode-triode circuit starts clock the instant tone is broadcast. Setting error, owing to electromechanical lag, is within 0.06 second.
• **Sorting capacitors.** Breskend, Cooperman & Franklin of Diamond Ordnance Fuze Labs describe automatic two-channel capacitor sorting system that uses a Schering bridge to measure dissipation factor and capacitance variation from standard values. Thyatron controlled relays route tested capacitors to over, under and acceptable bins. System accuracy is better than 1 percent in sorting 1,000-\(\mu\)uf capacitors.
• **Muscle for lung.** Potentials picked up from respiratory muscles as paralyzed patient attempts to breath can be used to trigger a control circuit for artificial respirator.
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On pages with no number such as bleed pages, count from the last numbered page to find the number. Inserts are numbered using last numbered page plus A, B, etc. If you are not sure of a page number, consult the advertisers index.
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Each New Product item in ELECTRONICS has a number (P1, P2, etc.). Circle the corresponding number in section B of the Reader Service Card (below).
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Ruling-out Resonance and Contact Chatter...
Strobotac studies Behavior of Thermal Relays under Vibration
At G-V CONTROLS Inc., East Orange, N.J. design engineers found that though they were able to detect mechanical resonant points in their thermal relays by observing contact chatter on an oscilloscope, they were learning little of the nature or origin of the resonance.
With the Strobotac, they could SEE the sources of vibration and the reactions of the entire structure. From there it was easy to make design changes which would eliminate resonance or boost the resonant point to a value above the resonance-free range required.
All over the world, Strobotac helps solve research and design problems. This "laboratory" instrument is also a prime industrial tool for maintaining production, quality control, and diagnosing all kinds of mechanical troubles. Strobotac measures the speed of rotating, reciprocating, or other cyclic motions with accuracy. The operator can "stop" the moving part completely — study it in slow motion — or measure its rpm while it is running at full speed. There is no mechanical connection to induce even a slight "drag" in low-powered mechanisms.
Write for the STROBOSCOPE BULLETIN and complete information
GENERAL RADIO Company
275 Massachusetts Avenue, Cambridge 39, Massachusetts, U.S.A.
Broad Avenue at Linden, Ridgefield, N.J. NEW YORK AREA
8055 13th St., Silver Spring, Md. WASHINGTON, D.C.
6605 W. North Ave., Oak Park CHICAGO
1100 N. Seward St. LOS ANGELES 38
1150 York Road, Abington, Pa. PHILADELPHIA
1182 Los Altos Ave., Los Altos, California SAN FRANCISCO
Operating Reliability
...extended to new levels of performance
To pace the demands for higher quality tubes in critical applications, RCA "Premium" Tubes and Computer Tubes have opened new possibilities for sustained reliability that exceeds previous levels of tube performance. Here are two important ways in which RCA insures that it builds QUALITY into these tubes:
1. **RCA** has developed a precision-type quality-control system that provides never-ending vigilance over the quality of "Premium" Tubes and Computer Tubes—throughout every phase of tube manufacture.
2. **RCA** backs up this quality-control system with 100% microscopic monitoring of 24 different categories of tube workmanship. By this method, each manufacturing point is constantly under surveillance, and prompt corrective action can be taken if needed.
Precision Quality-Control—coupled closely with microscopic monitoring—is another big step ahead in the manufacture of RCA "Premium" Tubes and Computer Tubes to assure excellent uniformity of characteristics and long-term reliability.
Your RCA Field Representative will welcome an opportunity to discuss the unusual advantages of RCA "Premium" Tubes and Computer Tubes for your specific applications. Contact him at the RCA Field Office nearest you:
- **East** . . . . 744 Broad Street
Newark 2, N. J.
Humboldt 5-3900
- **Midwest** . . . Suite 1181
Merchandise Mart Plaza
Chicago 54, Illinois
Whitehall 4-2900
- **West** . . . . 6355 E. Washington Blvd.
Los Angeles 22, Calif.
Raymond 3-8361
RADIO CORPORATION OF AMERICA
Tube Division • Harrison, N. J.
|
A Cellular Mechanism to Detect and Alleviate Reductive Stress
Graphical Abstract
Highlights
- Lack of reactive oxygen species, or reductive stress, prevents myogenesis
- Reductive stress reverses oxidation of invariant Cys residues in FNIP1
- Only reduced, but not oxidized, FNIP1 is polyubiquitylated by CUL2FEM1B
- FNIP1 degradation leads to activation of mitochondria to recalibrate ROS
Authors
Andrew G. Manford,
Fernando Rodríguez-Pérez,
Karen Y. Shih, ..., Denis V. Titov,
Daniel K. Nomura, Michael Rape
Correspondence
email@example.com
In Brief
The reductive stress response senses mitochondrial inactivity, as indicated by a drop in reactive oxygen species, and induces proteasomal degradation events that ramp up cellular metabolism to safeguard redox homeostasis and stem cell integrity.
A Cellular Mechanism to Detect and Alleviate Reductive Stress
Andrew G. Manford,1 Fernando Rodríguez-Pérez,1,2 Karen Y. Shih,1,2 Zhuo Shi,1 Charles A. Berdan,4 Mangyu Choe,1,4,5 Denis V. Titov,1,4,5 Daniel K. Nomura,1,4,6 and Michael Rape1,2,3,7,*
1Department of Molecular and Cell Biology, University of California at Berkeley, Berkeley CA 94720, USA
2Howard Hughes Medical Institute, University of California at Berkeley, Berkeley CA 94720, USA
3California Institute for Quantitative Biosciences (QB3), University of California at Berkeley, Berkeley, CA 94720, USA
4Department of Nutritional Science and Toxicology, University of California at Berkeley, Berkeley CA 94720, USA
5Center for Computational Biology, University of California at Berkeley, Berkeley CA 94720, USA
6Department of Chemistry, University of California at Berkeley, Berkeley CA 94720, USA
7Lead Contact
*Correspondence: firstname.lastname@example.org
https://doi.org/10.1016/j.cell.2020.08.034
SUMMARY
Metazoan organisms rely on conserved stress response pathways to alleviate adverse conditions and preserve cellular integrity. Stress responses are particularly important in stem cells that provide lifetime support for tissue formation and repair, but how these protective systems are integrated into developmental programs is poorly understood. Here we used myoblast differentiation to identify the E3 ligase CUL2FEM1B and its substrate FNIP1 as core components of the reductive stress response. Reductive stress, as caused by prolonged antioxidant signaling or mitochondrial inactivity, reverts the oxidation of invariant Cys residues in FNIP1 and allows CUL2FEM1B to recognize its target. The ensuing proteasomal degradation of FNIP1 restores mitochondrial activity to preserve redox homeostasis and stem cell integrity. The reductive stress response is therefore built around a ubiquitin-dependent rheostat that tunes mitochondrial activity to redox needs and implicates metabolic control in coordination of stress and developmental signaling.
INTRODUCTION
Metazoan development relies on carefully balanced transcriptional networks to generate the more than 200 cell types of an adult organism. Stem cells are at the apex of this intricate program, and their defective homeostasis gives rise to many pediatric diseases (Avior et al., 2016; Nusse and Clevers, 2017). Because pluripotent cells also support tissue repair, their aberrant maintenance has been linked to tumorigenesis and tissue degeneration (Almada and Wagers, 2016).
To protect their stem cell populations from damage, organisms possess conserved stress response pathways that detect and alleviate a wide range of adverse conditions. Many stem cells reside in hypoxic niches and rely on glycolysis as a main source of energy, which limits oxidative damage to DNA, lipids, or proteins (Donato et al., 2017; Ezashi et al., 2005; Studer et al., 2000). If too many reactive oxygen species (ROS) accumulate, these cells activate the oxidative stress response to stabilize the transcription factor nuclear factor erythroid 2-related factor 2 (NRF2). NRF2 drives expression of proteins that scavenge oxidizing molecules and revert oxidized proteins into their functional reduced state (Suzuki and Yamamoto, 2017). Failure to elicit antioxidant signaling impairs stem cell self-renewal and differentiation and endangers tissue maintenance (Tsai et al., 2013; Yamamoto et al., 2018). Stem cell integrity is similarly preserved by stress responses that are activated by protein misfolding, DNA damage, or lack of oxygen (Balchin et al., 2016; Ohh et al., 2000; Vilchez et al., 2014).
Mirroring their rapid activation, stress responses have to be shut off soon after cellular homeostasis has been restored. Stem cells that do not turn off the oxidative stress response fail to accumulate physiological ROS required for signaling and are unable to differentiate (Bellezza et al., 2018; Gores et al., 1989; Holmström and Finkel, 2014; Rodríguez-Colman et al., 2017; Sena and Chandel, 2012; Xiao and Loscalzo, 2020). A persistent lack of ROS, or reductive stress, also impedes insulin signaling and glucose homeostasis (McClung et al., 2004); blunts positive effects of exercise on insulin sensitivity (Ristow et al., 2009); triggers cardiomyopathy, obesity, or diabetes (Dialynas et al., 2015; McClung et al., 2004; Rajasekaran et al., 2007, 2011; Wu et al., 2016); and increases mortality (Beljakovic et al., 2007). Despite such dire consequences, how reductive stress is sensed and alleviated is still unknown.
Stress responses are often controlled by ubiquitilation, a modification whose specificity is imparted by hundreds of E3 ligases (Balchin et al., 2016; Buckley et al., 2012; Oh et al., 2018; Rape, 2018; Yau and Rape, 2016). Kelch-like erythroid cell-derived protein with CNC homology-associated protein 1 (KEAP1) pairs up
with Cullin-3 (CUL3) and RBX1 to form the E3 CUL3\textsuperscript{KEAP1}, which sequesters and ubiquitylates NRF2 (Wakabayashi et al., 2003). When cells experience oxidative stress, CUL3\textsuperscript{KEAP1} is inhibited, and NRF2 accumulates in the nucleus to drive antioxidant gene expression (Furukawa and Xiong, 2005; Itoh et al., 2003; Zhang et al., 2004). The E3 CUL2\textsuperscript{VHL} similarly restricts HIF-1\textsubscript{\alpha} until hypoxic stress stabilizes this transcription factor to initiate angiogenesis (Denko, 2008; Kaelin, 2007). Underscoring the importance of accurate stress signaling, deletion of VHL or KEAP1 elicits embryonic or early postnatal death, respectively (Gnarra et al., 1997; Wakabayashi et al., 2003), and their mutation is a frequent cause of cancer (Cancer Genome Atlas Research Network, 2012; Kaelin, 2007). Whether reductive stress is also controlled by a ubiquitin-dependent stress response and whether this is important for development has not been investigated.
Here we made use of the redox-sensitive pathways underlying myoblast differentiation to identify CUL2\textsuperscript{FEM1B} and its target Follilucin-interacting protein 1 (FNIP1) as core components of the reductive stress response. Reductive stress as a consequence of persistent mitochondrial inactivity or antioxidant signaling reverses oxidation of invariant Cys residues in FNIP1, a prerequisite for CUL2\textsuperscript{FEM1B} to bind its substrate. The ensuing ubiquitylation and proteasomal degradation of FNIP1 increase mitochondrial output to generate ROS and preserve redox homeostasis. The reductive stress response is therefore built around a ubiquitin-dependent rheostat that tunes mitochondrial output to cellular needs and couples stress and developmental signaling in vertebrates.
**RESULTS**
**Reductive Stress Inhibits Myoblast Differentiation**
As a tissue reliant on oxygen consumption, muscle provides a system to identify proteins with roles in redox stress management (Almada and Wagers, 2016; Braun and Gautel, 2011). This prompted us to ask whether Cullin-Ring-E3 ligases (CRLs), a family of E3s known to control stress and developmental signaling (Bellezza et al., 2018; Donato et al., 2017; Lignitto et al., 2019; Ohh et al., 2000; Wang et al., 1999; Werner et al., 2015), are required for myogenesis \textit{in vitro}. We depleted each of seven Cullin scaffolds from C2C12 myoblasts and followed myotube formation by staining for myosin heavy chain (MyHC) (Bader et al., 1982). These experiments showed that CUL2 and CUL3 were particularly important for myotube formation (Figure S1A), which is consistent with the effects of \textit{CUL3} deletion on muscle development in mice (Blondelle et al., 2017; Papizan et al., 2018).
CUL2 and CUL3 select their substrates through adaptors containing VHL boxes or BTB domains (Silverman et al., 2012; Skaar et al., 2013). Using affinity purification of CUL2 and CUL3 coupled to mass spectrometry, we detected 19 CUL2 and 32 CUL3 adaptors in myoblasts or myotubes (Table S1). This included candidate adaptors, such as the muscular dystrophy protein myoferlin, and factors linked to familial myopathy, such as KLHL9. After combining this list with adaptors from other cell types (Bennett et al., 2010; Mahrouf et al., 2008; Mena et al., 2018), we depleted 156 CRL2 and CRL3 subunits from myoblasts, initiated differentiation, and recorded MyHC-positive myotubes by microscopy and automated image analysis (Figure 1A). Critical phenotypes were confirmed with multiple small interfering RNAs (siRNAs) to eliminate the risk of off-target effects.
Our screen revealed that the CUL3 adaptors KEAP1, BTBD9, KLHL22, and ANKFY1 were required for myotube formation, whereas depletion of the CUL2 adaptor fem-1 homolog B (FEM1B) strongly improved this differentiation program (Figures 1A–1C). Because loss of these adaptors minimally affected cell numbers (Figure S1B), aberrant cell division or survival was unlikely to account for the changes in cell fate specification. Notably, all adaptors required for myotube formation had links to disease; mutations in \textit{KEAP1} lead to lung and renal cancer (Kovac et al., 2015; Singh et al., 2006), \textit{BTBD9} mutations trigger restless leg syndrome and insomnia (Winkelmann et al., 2007), KLHL22 overexpression causes breast cancer progression (Chen et al., 2018), and mutations in \textit{ANKFY1} result in steroid-resistant nephrotic syndrome (Hermle et al., 2018).
We were intrigued to see that depletion of the oxidative stress sensor KEAP1 prevented myoblast differentiation. Although oxidative stress transiently inhibits CUL3\textsuperscript{KEAP1} (Zhang et al., 2004), genetic loss of KEAP1 stabilizes NRF2 for prolonged periods of time and elicits reductive stress (Rajasekaran et al., 2011). KEAP1 depletion in myoblasts induced accumulation of NRF2 (Figures 1C and 1D) and its target genes (Figures 2E and 2F). This caused an increase in NADPH levels (Figure S1C) and a steep drop in ROS, the hallmark of reductive stress (Figure 1E). When we blunted such antioxidant signaling by co-depleting NRF2 or enzymes of glutathione synthesis and recycling, differentiation was restored (Figures 1D and 1F; Figure S1D). Scavengers of mitochondrion-derived ROS, which impose reductive stress by chemical means (Banba et al., 2019; Brand et al., 2016; Orr et al., 2015), also inhibited myoblast differentiation (Figure 1G). We therefore conclude that, consistent with recent findings using KEAP1 inhibitors (Rajasekaran et al., 2020), reductive stress impairs myogenesis \textit{in vitro}. Although this lent support to the notion that ROS fulfill critical signaling roles (Holmström and Finkel, 2014; Sena and Chandel, 2012), it reinforced the question of how reductive stress is sensed and counteracted during normal development.
**FEM1B Counteracts KEAP1**
To dissect cellular responses to reductive stress, we designed a genetic modifier screen aimed at rescuing differentiation of KEAP1-deficient myoblasts. Focusing on E3 ligases as likely stress regulators, we found that depletion of the CUL2 adaptor FEM1B enabled myotube formation despite lack of KEAP1 (Figure 2A). We confirmed this result with independent siRNAs in microscopy and western blot analyses of myoblast differentiation (Figures 2B and 2C). Loss of FEM1B also rescued differentiation in the presence of scavengers of mitochondrion-derived ROS, showing that FEM1B affects reductive stress imposed by genetic or chemical means (Figure 2D). Intriguingly, FEM1B had already emerged from our initial screen as hit whose depletion showed the strongest increase in efficiency of myotube formation (Figure 1A), the opposite phenotype of loss of KEAP1.
Gene expression analyses showed that KEAP1 depletion induced antioxidant NRF2 targets, such as enzymes of glutathione synthesis, ROS scavengers, or components of the pentose phosphate pathway (Figures 2E and 2F; Figures S2A
and S2B). Depletion of FEM1B had the opposite effect and reduced NRF2 targets but increased the myogenic markers MYOG and MYL1 (Figures 2E and 2F). Importantly, concomitant depletion of KEAP1 and FEM1B cancelled each of these phenotypes of single E3 ligase depletion (Figures 2E and 2F; Figure S2A). Consistent with these results, depletion of FEM1B restored ROS levels in KEAP1-deficient myoblasts (Figure 1E).
Although KEAP1 is best known for controlling NRF2 levels; it also sequesters the transcription factor in the cytoplasm (Itoh et al., 2003). Although FEM1B depletion reduced NRF2 mRNA (Figure S2C), it had only a minor effect on the abundance of the NRF2 protein (Figure 2C). In contrast, loss of FEM1B had striking effects on NRF2 localization; although NRF2 accumulated in the nucleus of KEAP1-deficient myoblasts, co-depletion...
Figure 2. Depletion of FEM1B Enables Myoblast Differentiation Despite Reductive Stress
(A) C2C12 myoblasts were depleted in duplicate of KEAP1 and CUL2 adaptors, and differentiation was monitored by microscopy against MyHC. Top panel: microscopy images from each condition. Bottom panel: quantification of differentiation efficiency compared with KEAP1-depleted control cells.
(B) Immunofluorescence analysis of DNA (DAPI, red) and MyHC (green) in C2C12 myoblasts depleted of KEAP1 or FEM1B, with or without ROS scavenging. Right panel: quantification of fusion index relative to control.
(C) Western blot analysis of KEAP1, FEM1B, NRF2, MYOG, and MyHC in C2C12 myoblasts depleted of KEAP1 or FEM1B, with or without ROS scavenging.
(D) Heatmap showing gene expression changes in C2C12 myoblasts depleted of KEAP1 or FEM1B, with or without ROS scavenging.
(E) Heatmap showing gene expression changes in C2C12 myoblasts depleted of KEAP1 or FEM1B, with or without ROS scavenging.
(F) Heatmap showing gene expression changes in C2C12 myoblasts depleted of KEAP1 or FEM1B, with or without ROS scavenging.
(G) Immunofluorescence analysis of NRF2 in C2C12 myoblasts depleted of KEAP1 or FEM1B, with or without ROS scavenging.
of FEM1B directed NRF2 to perinuclear regions, where it cannot induce gene expression (Figure 2G). Our results therefore identified FEM1B as a critical regulator of redox signaling and raised the possibility that the E3 CUL2FEM1B might affect, directly or indirectly, the reductive stress response.
**CUL2FEM1B Targets FNIP1 for Proteasomal Degradation**
Previous work denoted a Leu residue in the VHL box of CUL2 adaptors that engages a pocket on Elongin C to connect the adaptor to the catalytic module also composed of CUL2, Elongin B, and RBX1 (Bullock et al., 2006; Mahrou et al., 2008; Stebbins et al., 1999). Mutation of the respective FEM1B residue, Leu597, produced an adaptor that failed to bind CUL2 and, hence, cannot support ubiquitylation (Figure S2D) but contained ankyrin repeats and should thus retain its ability to recognize substrates. As seen with other CRLs (Mena et al., 2018), we expected FEM1BL597A to show prolonged binding to otherwise short-lived targets to facilitate their identification by CompPASS mass spectrometry (Huttlin et al., 2017).
Proteomics analyses confirmed that FEM1BL597A was impaired in binding to CUL2, Elongin B, and Elongin C (Figure 3A). In contrast, FEM1BL597A interacted more strongly than FEM1B with several proteins considered to be candidate substrates. These included the GATOR1 complex, which inhibits mTORC1 signaling during amino acid limitation (Bar-Peled et al., 2013; Dutchkak et al., 2018), as well as Folliculin (FLCN) and FNIP1, which also bind each other (Baba et al., 2006). A close FNIP1 homolog, FNIP2, was not detected. We confirmed, by immunoprecipitation and western blotting, that FEM1B associated with GATOR1, FLCN, and FNIP1 in a manner that was stabilized by mutation of the VHL box in FEM1B (Figure 3B; Figure S2E). In contrast, mutation of Cys186, an invariant residue in the substrate-binding ankyrin repeats, strongly diminished recognition of GATOR1, FLCN, and FNIP1 by FEM1B (Figure 3B).
FEM1B overexpression elicited CUL2- and proteasome-dependent degradation of FNIP1, whereas substrate binding-deficient FEM1BC186S, inactive FEM1BL597A, or the related adaptor FEM1A did not have this effect (Figure 3C; Figures S2E and S2F). Depletion of FEM1B caused the opposite outcome and increased levels of endogenous FNIP1 (Figure 3D). NEDD8-modified CUL2FEM1B also polyubiquitylated FNIP1 in vitro when incubated with the E2 enzymes UBE2D3 and UBE2R1 (Figure 3E). In contrast, expression of FEM1B did not induce degradation of FLCN, GATOR1 subunits, or FNIP2 (Figure 3B; Figures S2E–S2G), and CUL2FEM1B did not ubiquitylate these proteins in vitro (Figure 3E; Figure S2H). We conclude that FNIP1 is a proteolytic CUL2FEM1B substrate, whereas FLCN or GATOR1 might interact with FEM1B indirectly or in a role that is distinct from being a degradation target.
Although loss of FNIP1 had little effect on differentiation (Figure S2I), FNIP1, but not GATOR1, co-depletion reverted the effects of FEM1B loss on myotube formation (Figure 3F; Figures S2I and S2J). Thus, accumulation of FNIP1 promoted differentiation in the absence of FEM1B. Loss of FNIP1 also prevented myogenesis in cells lacking both FEM1B and KEAP1 (Figure 3G) and caused NRF2 to re-enter the nucleus (Figure 3H), which documents that it was FNIP1 stabilization that allowed myoblasts to bypass reductive stress.
We conclude that FNIP1 is a critical target of CUL2FEM1B during reductive stress. Previous work implicated FNIP1 in mitochondrial biogenesis (Hasumi et al., 2012; Reyes et al., 2015), removal of damaged mitochondria (Heo et al., 2018), and regulation of the AMPK and mTORC1 kinases (Baba et al., 2006; Bhargava and Schnellmann, 2017; Hasumi et al., 2008; Tsun et al., 2013). Although somatic *FNIP1* variants have been detected in renal cancer (Cancer Genome Atlas Research Network, 2013), mutations in its partner FLCN cause Birt-Hogg-Dubé syndrome (Nickerson et al., 2002), a predisposition to renal cancer that also results from aberrant mitochondrial activity or mutations in *VHL*, *KEAP1*, or *NFE2L2* (Kaelin, 2007; Kovac et al., 2015; Xu et al., 2019).
**FEM1B Detects a Conserved Cys Degron in FNIP1**
To determine whether ROS modulates recognition of FNIP1 by CUL2FEM1B, we first needed to identify the FNIP1 degron that is bound by FEM1B. Through deletion analyses, we found a short stretch in the central region of FNIP1 that was required for recognition by CUL2FEM1B and its proteasomal degradation (Figures 4A and 4B). As expected for a transferable motif, a degron fusion to GFP (*GFP*degron) was readily detected by CUL2FEM1B (Figures S3A and S3B). As with full-length FNIP1, *GFP*degron showed stronger binding to the substrate trap FEM1BL597A (Figure S3A), but it did not interact with FEM1BC186S (Figure S3B). We next expressed *GFP*degron along with mCherry and used the GFP/mCherry ratio as a quantitative readout for protein degradation. FEM1B, but not FEM1BL597A or FEM1BC186S, triggered dramatic loss of *GFP*degron (Figure 4C), whereas deletion of *FEM1B* by CRISPR-Cas9, depletion of FEM1B by shRNAs, or proteasome inhibition protected *GFP*degron from degradation (Figure 4D; Figures S3C and S3D). The FNIP1 degron also mediated a robust interaction with recombinant FEM1B as well as ubiquitylation by CUL2FEM1B (Figures 4E and 4F). A central degron is therefore required and sufficient for FNIP1 ubiquitylation and degradation through CUL2FEM1B. Although this degron is conserved among...
Figure 3. FNIP1 Is a Critical CUL2FEM1B Substrate during Reductive Stress
(A) FLAG-FEM1B or FLAG-FEM1B\textsuperscript{L597A} was purified from C2C12 myoblasts, and binding partners were determined by mass spectrometry. Green, GATOR1; blue, FLCN-FNIP1.
(B) FLAG-FEM1B, FLAG-FEM1B\textsuperscript{C186S}, or FLAG-FEM1B\textsuperscript{L597A} was purified from 293T cells that expressed hemagglutinin (HA)-tagged GATOR1 or FNIP1-FLCN subunits. Co-purifying proteins were detected by zHA-western blotting.
(C) 293T cells were transfected with FEM1B, FEM1B\textsuperscript{L597A}, or FEM1A. The proteasome inhibitor MG132 was added, and endogenous FNIP1 levels were determined by western blotting.
(D) Depletion of FEM1B in 293T cells results in accumulation of endogenous FNIP1, as determined by western blotting.
(E) Ubiquitination of FNIP1-FLCN by Nedd8-modified CUL2\textsuperscript{FEM1B}, E1, and UBE2D3 and/or UBE2R1 was analyzed by western blotting against FNIP1 (FLAG) and FLCN (HA).
(F) C2C12 myoblasts were depleted of FEM1B, FNIP1, or both, and the efficiency of myotube formation was analyzed by microscopy against MyHC. Right: quantification of at least three biological replicates with mean ± SD.
(G) C2C12 myoblasts were depleted of KEAP1, FEM1B, FNIP1, or combinations thereof, and the efficiency of myotube formation was determined by microscopy against MyHC. Right: quantification of three biological replicates with mean ± SD.
(H) Depletion of FNIP1 allows endogenous NRF2 to enter the nucleus of cells lacking KEAP1 and FEM1B, as determined by immunofluorescence microscopy. Quantification of 15–20 cells/condition ± SD.
See also Figure S3.
FNIP1 homologs (Figure S3E), it is not found in the closely related FNIP2, which is not recognized by CUL2FEM1B (Figure S3F).
Given the role of CUL2FEM1B in reductive stress signaling, we were excited to see that the FNIP1 degron contained three invariant Cys residues (Figure S3E). Cys585 was essential for FEM1B-dependent degradation of GFPdegron (Figure 5A). Simultaneous mutation of Cys580 and Cys582 strongly impaired clearance of GFPdegron, and mutation of all Cys residues fully protected the reporter against CUL2FEM1B-dependent degradation (Figure 5A). Mutating its Cys residues blocked binding of the degron to recombinant FEM1B (Figure 5B) and prevented its ubiquitylation by CUL2FEM1B (Figure 5C). The reliance on Cys
Figure 5. The FNIP1 Degron Requires Cys Residues
(A) GFP\textsuperscript{degron} fusions were expressed with mCherry and FEM1B (dashed lines) or not (solid lines), and the GFP/mCherry ratio was determined by flow cytometry.
(B) Binding of TAMRA-labeled wild-type, Cys-free, or Lys-free degrons to recombinant FEM1B was monitored by fluorescence polarization with mean ± SD.
(C) Ubiquitylation of TAMRA-labeled FNIP1 degrons by Nedd8-modified CUL2\textsuperscript{FEM1B}, E1, and UBE2D3/UBE2R1 was followed by gel electrophoresis and fluorescence imaging.
(D) Levels of \textsuperscript{35}S-FNIP1 variants in cells expressing FLAG-FEM1B or FLAG-FEM1B\textsuperscript{L597A} were monitored by western blotting. E3 binding was determined by FEM1B affinity purification and \textsuperscript{35}S-FNIP1 western blotting.
(E) The TAMRA-labeled FNIP1 degron was incubated in buffer or NEM. The reactions were quenched, and FEM1B binding was monitored by fluorescence polarization with mean ± SD.
(F) The TAMRA-labeled FNIP1 degron was incubated in buffer, NEM, or iodoacetamide. Following quenching, ubiquitylation by Nedd8-modified CUL2\textsuperscript{FEM1B}, E1, and UBE2D3/UBE2R1 was followed by gel electrophoresis and fluorescence imaging or Coomassie staining.
(G) The Cys-reactive, cell-permeable IA-Alkyne stabilizes GFP\textsuperscript{degron} in cells, as seen by flow cytometry.
See also Figure S5.
residues was even more pronounced in full-length FNIP1, where each of the three Cys as well as a neighboring His residue were required for FEM1B binding and proteasomal degradation (Figure 5D; Figure S4A).
In line with this mutational analysis, treatment of the FNIP1 degron with Cys-modifying iodoacetamide or N-ethylmaleimide inhibited its recognition by FEM1B (Figure 5E; Figures S4B and S4C) and its CUL2\textsuperscript{FEM1B}-dependent ubiquitylation (Figure 5F). Similar observations were made in cells, where the iodoacetamide derivative IA-Alkyne impaired FEM1B-dependent degradation of GFP\textsuperscript{degron} (Figure 5G). We conclude that the reductive stress E3 ligase CUL2\textsuperscript{FEM1B} relies on an unmodified Cys degron to detect its essential substrate FNIP1.
Reductive Stress Triggers Detection of FNIP1 by CUL2\textsuperscript{FEM1B}
Given the role of Cys residues in CUL2\textsuperscript{FEM1B} recognition, we next determined the oxidation state of the FNIP1 degron during
normal conditions and reductive stress. Despite treating FNIP1 immunoprecipitates with multiple proteases or even using synthesized peptides, we could not detect the entire degron by proteomic means. This peptide was also absent from global analyses of Cys oxidation, suggesting that it evades analysis by mass spectrometry (Leichert et al., 2008; Souza et al., 2018; van der Reest et al., 2018). Selective derivatization was hampered by 30 additional Cys residues in FNIP1. However, because the degron was prone to disulfide bond formation (Figure S5A), we could analyze its oxidation using the thiooxido TRX (Lindahl and Florencio, 2003). TRX contains an active site Cys residue that attacks intracellular disulfide bonds before a second TRX Cys targets the mixed disulfide to release a reduced protein. A TRX$^{C35S}$ variant lacking the second Cys fails to resolve the mixed disulfide and covalently traps oxidized proteins; the more a protein is trapped by TRX$^{C35S}$, the more it is oxidized in cells.
Revealing significant degron oxidation under normal conditions, we found that GFP$^{degron}$, but not the Cys-free reporter, was efficiently trapped by TRX$^{C35S}$ (Figure 6A). Treatment with $\alpha$-ketoglutarate, which escalates ROS by increasing flux through the mitochondrial TCA cycle, or antimycin A, which elevates ROS by inhibiting mitochondrial complex III, enhanced TRX$^{C35S}$ trapping of GFP$^{degron}$ or full-length FNIP1 (Figure 6B; Figure S5B). Importantly, ROS depletion after CUL3$^{KEAP1}$ inhibition shielded the degron from TRX$^{C35S}$, which documented a reversal of degron oxidation during reductive stress (Figure 6C).
Several observations showed that degron oxidation controls FNIP1 recognition by CUL2$^{FEM1B}$. Even brief incubation of the degron without a reducing agent disrupted its binding to FEM1B, which was restored by Tris(2-carboxyethyl)phosphine hydrochloride (TCEP) (Figure 6D). In cells, treatment with $\alpha$-ketoglutarate or antimycin A stabilized GFP$^{degron}$ (Figures 6E and 6F; Figure S5C), dependent on ROS produced by the respiratory chain (Figure S5C). Similar observations were made for myxothiazol, which increased ROS and stabilized GFP$^{degron}$ (Figures S5D and S5E), and for loss of the antioxidant enzymes GSR and TXRND1 (Figure S5F). Conversely, conditions that evoked reductive stress, as mitochondrial inactivation through glutamine starvation or CUL3$^{KEAP1}$ inhibition, accelerated GFP$^{degron}$ turnover (Figure 6F; Figure S5G).
Extending these results to full-length proteins, antimycin A reduced binding of FNIP1 to FEM1B, but reductive stress strongly promoted this interaction (Figure 6G). In fact, when FEM1B and FNIP1 were present at endogenous levels, we could detect their association only after reductive stress had been imposed by CUL3$^{KEAP1}$ inhibition (Figure 6H). Reductive stress also lowered the protein levels but increased ubiquitylation of endogenous FNIP1 (Figure 6I). We conclude that reductive stress reverses oxidation of Cys residues in the FNIP1 degron and allows CUL2$^{FEM1B}$ to associate with its substrate. These findings identify the FNIP1 degron as a reductive stress sensor that is read out by CUL2$^{FEM1B}$.
**FNIP1 Degradation Controls Mitochondrial Function**
We speculated that FNIP1 degradation might modulate the activities of AMPK or mTORC1 (Baba et al., 2006, 2012; Hasumi et al., 2012; Tsun et al., 2013) because these kinases control biogenesis of mitochondria, which produce most cellular ROS. However, although loss of FEM1B slightly improved amino acid-dependent activation of mTORC1 in myoblasts, this was stimulated, rather than decreased, by FNIP1 co-depletion (Figure S6A). The minor increase in AMPK activity caused by lack of FEM1B was also unaffected by FNIP1 co-depletion (Figure S6B). Furthermore, mutation of its degron did not affect binding of FNIP1 to AMPK or regulators of mTORC1 (Figure S6C), which indicated that FNIP1 stability did not affect mTORC1 or AMPK signaling in myoblasts.
Alternatively, FNIP1 stability might directly affect mitochondria. Indeed, although FEM1B depletion did not reduce mitochondrial content (Figure S6D), all mitochondria of FEM1B-deficient cells showed a heavily stained matrix in transmission electron microscopy (Figure 7Ab). Mitochondria in FEM1B-depleted cells thus undergo matrix condensation, which been ascribed to a lack of substrate for oxidative phosphorylation (Hackenbrock, 1966). Many mitochondria also displayed onion-like swirling of cristae (Figure 7Ac), indicative of upregulation of respiratory chain components in response to impaired oxidative phosphorylation (Jiang et al., 2017; Walker and Benzer, 2004), and some mitochondria contained large blebs (Figure 7Ad), as observed upon initiation of mitophagy (Lin et al., 2010; Pickles et al., 2018). These phenotypes were rescued by FNIP1 co-depletion (Figure 7Af), showing that FNIP1 stabilization altered mitochondrial morphology, consistent with reduced oxidative phosphorylation.
In line with these findings, FEM1B depletion reduced, but loss of FNIP1 increased, the mitochondrial membrane potential (Figure 7B). Cells lacking FEM1B also contained a fragmented mitochondrial network clustered around the nucleus (Figure 7C) and did not produce mitochondrial ROS (Figure 7D). These phenotypes were rescued by FNIP1 depletion (Figures 7B–7D), showing that FNIP1 stabilization inhibits, but its degradation through CUL2$^{FEM1B}$ increases, mitochondrial output to produce ROS and counteract reductive stress.
**FEM1B and FNIP1 Are Metabolic Regulators**
How could cytoplasmic FNIP1 degradation improve mitochondrial activity? Mitochondria harbor enzymes for fatty acid $\beta$-oxidation and the TCA cycle, which convert acetyl-coenzyme A (CoA) into substrate for oxidative phosphorylation and building blocks for amino acid synthesis. To fuel these reactions, mitochondria import pyruvate, fatty acids, or TCA cycle intermediates, coupling cytoplasmic metabolism with mitochondrial energy production.
We thus wanted to find out whether FNIP1 stability affected glycolysis as a major source of pyruvate. FEM1B depletion reduced the glycolytic rate of myoblasts, whereas the respiratory chain itself was unaffected, as monitored by the oxygen consumption rate (Figures S7A and S7B). The extracellular acidification rate, which reflects secretion of lactate downstream of pyruvate, was also lowered by loss of FEM1B (Figure S7C). Liquid chromatography coupled to mass spectrometry revealed that loss of FEM1B depleted cells of glycolytic and TCA cycle intermediates (Figure 7E; Figure S7D). In addition, lack of FEM1B reduced the levels of glucose (Figure 7E) as well as glucose uptake (Figure S7E). However, only a few glycolytic intermediates increased, and glucose import was only improved mildly, upon
FNIP1 co-depletion (Figure S7E). Mass spectrometry experiments showed that myoblasts derive few TCA cycle intermediates from glucose (Figure S7F), and the flux of glucose carbon atoms to the TCA cycle was unaffected by FEM1B depletion (Figure S7G). Co-depletion of glucose-utilizing enzymes also did not restore differentiation during reductive stress (Figure S7H). Thus, although FEM1B affects glucose metabolism, this likely involves a substrate distinct from FNIP1.
We noted that myoblasts derive most TCA cycle intermediates from glutamine (Figure S7F), which is converted into glutamate prior to its import into mitochondria. Metabolomics analyses found that FEM1B depletion decreased glutamate levels, whereas loss of FNIP1 increased its abundance (Figure 7E). Co-depletion of FEM1B and FNIP1 cancelled these phenotypes. In a similar manner, precursors or components of other mitochondrial shuttles were increased by FNIP1 loss, decreased upon depletion of...
FEM1B, and unaltered in myoblasts lacking FEM1B and FNIP1. This included citrulline and ornithine, which replenish fumarate from arginine; the fatty acid carrier acetyl carnitine and its precursor pantothenate; and the NADH shuttle glycerol-3-phosphate (Figure 7E). Degradation of FNIP1 through CUL2FEM1B therefore increases the availability of several metabolite shuttles, which could provide a means to jumpstart the TCA cycle and induce production of mitochondrion-derived ROS. We conclude that CUL2FEM1B and FNIP1 not only sense but also alleviate reductive stress, identifying these proteins as a core module of the reductive stress response.
DISCUSSION
Persistent lack of ROS, or reductive stress, impedes critical signaling pathways and increases mortality (Bjelakovic et al., 2007; McClung et al., 2004; Rajasekaran et al., 2007, 2011; Ristow et al., 2009). Although mitochondrial inactivity provides a physiological trigger for reductive stress, it is also elicited by inhibition of CUL3KEAP1 and the ensuing accumulation of NRF2. KEAP1 inhibition is a frequent consequence of nutrient depletion, exposure to electrophilic toxins, or germline or somatic mutations (Bellezza et al., 2018; Bollong et al., 2018; Lignitto et al., 2019; Yamamoto et al., 2018). However, KEAP1 deletion in mice causes lethality only after birth (Wakabayashi et al., 2003; Yamamoto et al., 2018), and KEAP1 mutations are frequently observed in cancer cells (Armenia et al., 2018; Cancer Genome Atlas Research Network, 2012; Lignitto et al., 2019; Wiel et al., 2019). Thus, mechanisms must exist to detect and alleviate reductive stress.
Indeed, we identified CUL2FEM1B and its target FNIP1 as core components of the reductive stress response. CUL2FEM1B only
binds FNIP1 if the oxidation of Cys residues in FNIP1 is reverted during reductive stress. \( \text{CUL}_2^{\text{FEM1B}} \) then ubiquitylates FNIP1, which, in turn, activates mitochondria to counteract reductive stress (Figure 7F). We also found that \( \text{CUL}_2^{\text{FEM1B}} \) is required for nuclear import of NRF2, which, paradoxically, should support antioxidant gene expression. We speculate that the ability of \( \text{CUL}_2^{\text{FEM1B}} \) to license NRF2 nuclear import provides a safety mechanism during prolonged periods of FNIP1 degradation and mitochondrial activation. A similar dichotomy exists during oxidative stress, where NRF2 stabilization triggers antioxidant signaling and, likely with a delay, mitochondrial biogenesis (Rojo de la Vega et al., 2018). These findings highlight the importance of maintaining physiological ROS levels, which we now attribute to a redox rheostat that integrates oxidative and reductive stress responses.
Our findings suggest that FNIP1 degradation mainly acts as a mitochondrial gatekeeper. Stabilization of FNIP1 reduced mitochondrion-derived ROS and induced changes in mitochondrial morphology reminiscent of a lack of substrate for oxidative phosphorylation. Stable FNIP1 also depleted cells of metabolite shuttles, which reduced the levels of TCA cycle intermediates and dampened the reactions that generate substrate for the respiratory chain. FNIP1 stabilization could thus contribute to antioxidant defenses in cells with highly active mitochondria. FNIP1’s role as a mitochondrial inhibitor might also be related to its recruitment to damaged mitochondria prior to autophagy because compromised organelles need to be shut down to ensure cell survival (Heo et al., 2018).
Importantly, reductive stress through its hallmark absence of ROS reduces the Cys degron in FNIP1 and triggers proteasomal degradation of this mitochondrial gatekeeper. Loss of FNIP1 boosted levels of metabolite shuttles, increased mitochondrial membrane potential, and restored mitochondrial activity in cells lacking FEM1B. These observations are congruent with phenotypes of \( \text{FNIP1} \) deletion in mice, which causes a switch from glycolytic to oxidative myofibers, characterized by abundant mitochondria (Reyes et al., 2015). We conclude that FNIP1 degradation increases mitochondrial output to produce ROS and counteract reductive stress. \( \text{CUL}_2^{\text{FEM1B}} \) and FNIP1 thus constitute a ubiquitin-dependent stress module that tunes mitochondrial output to the metabolic and redox needs of myoblasts (Figure 7F).
The reductive stress response bears striking similarity to pathways that respond to hypoxic and oxidative stress; these also rely on E3 ligases of the CRL family, which detect their substrates dependent on oxidation events. Although prolyl hydroxylation marks HIF1\( \alpha \) for ubiquitylation by the hypoxic stress E3 \( \text{CUL}_2^{\text{VHL}} \) (Kaelin, 2007; Ohh et al., 2000), oxidation of Cys residues in KEAP1 prevents NRF2 ubiquitylation during oxidative stress (Zhang et al., 2004). It appears that cells evolved highly similar ubiquitin-dependent mechanisms to cope with different insults on redox homeostasis, which highlights the power of ubiquitylation to help cells adapt to rapidly changing environments.
Underscoring the importance of reductive stress signaling for tissue homeostasis, loss of FNIP1’s partner FLCN results in predisposition to renal cancer (Baba et al., 2006; Nickerson et al., 2002). The same tumor type is caused by mutation of \( \text{KEAP1} \), \( \text{CUL3} \), \( \text{NFE2L2} \), or \( \text{VHL} \) (Kaelin, 2007; Singh et al., 2006) or aberrant oxidative metabolism (Xu et al., 2019). Kidney cells might frequently fail to sustain the high ATP levels needed to filter toxic substrates out of blood (Bhargava and Schnellmann, 2017), a condition that resembles reductive stress. In line with the importance of ATP production, redox stress pathways shape energy metabolism; HIF1\( \alpha \) increases glycolysis, NRF2 elicits mitochondrial biogenesis (Gonzalez et al., 2018; Rojo de la Vega et al., 2018), and FNIP1 tunes oxidative phosphorylation. Given the similar consequences of \( \text{KEAP1} \), \( \text{FLCN} \), and \( \text{VHL} \) mutation and their overlapping functions, we propose that it is regulation of metabolism that integrates the stress and developmental roles of these stress response pathways.
Although FNIP1 is its critical substrate during reductive stress, \( \text{CUL}_2^{\text{FEM1B}} \) also targets other proteins; \( \text{CUL2} \) paired with FEM1A, FEM1B, or FEM1C ubiquitylates the histone mRNA-binding protein SLBP (Dankert et al., 2017), and FEM-1 binds Gli transcription factors in worms (Starosina et al., 2007). FEM1 proteins also act in the C-end rule pathway to eliminate proteins with carboxyl-terminal degrons or truncations (Koren et al., 2018). Because FEM1A does not bind FNIP1, it is likely that FEM1B detects these targets through a distinct site, potentially coordinating their degradation with redox regulation. We also found that \( \text{CUL}_2^{\text{FEM1B}} \) binds, but does not polyubiquitylate, the mTORC1 inhibitor GATOR1 (Bar-Peled et al., 2013; Dutchak et al., 2018). Opposite \( \text{FNIP1} \) deletion, which increases oxidative muscle fibers, muscle-specific loss of GATOR1 causes a switch to glycolytic fibers (Dutchak et al., 2018). We speculate that GATOR1 regulates FEM1B to prevent untimely FNIP1 degradation or coordinate reductive stress and mTORC1 signaling. Our discovery of the reductive stress response thus provides a starting point to dissect, and modulate for therapeutic benefit, the complex architecture of metazoan redox stress signaling, an important step toward elucidating how tissue homeostasis is accomplished in the natural environments of metazoan organisms.
STAR★METHODS
Detailed methods are provided in the online version of this paper and include the following:
- KEY RESOURCES TABLE
- RESOURCE AVAILABILITY
- Lead Contact
- Materials Availability
- Data and Code Availability
- Experimental Model and Subject Details
- METHOD DETAILS
- Screening and myotube analysis
- Transfection
- Metabolomics
- Small-scale Immunoprecipitations
- Whole cell lysates
- In vitro ubiquitylations
- Flow Cytometry
- In vitro binding
- Fluorescence polarization
- Protein purifications
Seahorse analysis
Immunofluorescence and confocal microscopy
NAD/H NADP/H measurements
H$_2$O$_2$ measurements
$^{13}$C labeling
TUBE binding
Glucose uptake assay
Mitosox staining
Antibodies
Cloning
shRNA production and viral production
Quantitative real time PCR analysis
Immunoprecipitation and mass spectrometry
Genome editing
NGS Library Prep and RNA-seq
RNA-seq Alignment, Expression Analysis and Transcription Factor Enrichment
Transmission electron microscopy
QUANTIFICATION AND STATISTICAL ANALYSIS
SUPPLEMENTAL INFORMATION
Supplemental Information can be found online at https://doi.org/10.1016/j.cell.2020.08.034.
ACKNOWLEDGMENTS
We are grateful to Julia Schaletzky, David Savage, and members of the Rape and Nomura labs for discussions, advice, and reading the manuscript. We thank Roberto Zoncu for reagents and discussion. We also thank the staff, especially Reena Zalpuri, at the University of California, Berkeley, Electron Microscope Laboratory for assistance with electron microscopy sample preparation and data collection. We are grateful for the UC Berkeley Cancer Research Laboratory Flow Cytometry Facility. We thank Andrew Dillin for the use of an Agilent Seahorse Analyzer. This work used the University of California, Berkeley, Vincent J. Coates Genomics Sequencing Laboratory, supported by NIH S10 OD018174. A.G.M. was supported by a postdoctoral fellowship, PF-15-215-01 – DCC, from the American Cancer Society. F.R.-P. was supported by a Gilliam Fellowship of the Howard Hughes Medical Institute. We thank Dr. Mary West and Dr. Pingping He of the University of California, Berkeley, High-Throughput Screening Facility, funded by NIH award S10OD021828. We thank Anthony T. Iavarone of the QB3/Chemistry Mass Spectrometry Facility, supported by 1S10ODD20062-01, for mass spectrometry assistance. M.R. is an Investigator of the Howard Hughes Medical Institute.
AUTHOR CONTRIBUTIONS
Conceptualization, A.G.M., F.R.-P., and M.R.; Methodology, A.G.M., F.R.-P., D.K.N., D.V.T., and M.R.; Investigation, A.G.M., F.R.-P., K.Y.S., Z.S., C.A.B., and M.C.; Writing – Original Draft, A.G.M. and M.R.; Writing – Reviewing & Editing, all authors; Funding Acquisition, A.G.M., F.R.-P., D.K.N., D.V.T., and M.R.; Supervision, D.K.N., D.V.T., and M.R.
DECLARATION OF INTEREST
M.R. is a co-founder and consultant to Nurix, a publicly traded company in the ubiquitin space. D.K.N. is a co-founder, shareholder, and adviser of Frontier Medicines.
Received: December 18, 2019
Revised: May 28, 2020
Accepted: August 18, 2020
Published: September 16, 2020
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## STAR METHODS
### KEY RESOURCES TABLE
| REAGENT or RESOURCE | SOURCE | IDENTIFIER |
|---------------------|--------|------------|
| **Antibodies** | | |
| Mouse monoclonal anti-Flag clone M2 | Sigma-Aldrich | Cat#F1804; RRID:AB_262044 |
| Rabbit polyclonal anti-CUL2 | Bethyl | Cat#A302-476A; RRID:AB_1944215 |
| Rabbit monoclonal anti-FNIP1 [EPNCIR107] | Abcam | Cat#ab134969 |
| Rabbit monoclonal anti-FNIP1 antibody [EPR20832] | Abcam | Cat#ab215725 |
| Rabbit polyclonal anti-GFP | Abcam | Cat#ab6556; RRID:AB_305564 |
| Rabbit polyclonal anti-FEM1B | Proteintech | Cat#19544-1-AP; RRID:AB_10644294 |
| Mouse monoclonal anti-MYOSIN, SARCOMERE (MHC) | Developmental Studies Hybridoma Bank | Cat#MF 20; RRID:AB_2147781 |
| Mouse monoclonal anti-MYOGENIN | Developmental Studies Hybridoma Bank | Cat#f5d; RRID:AB_2146602 |
| Mouse monoclonal anti-beta-ACTIN (clone C4) | MP Biomedicals | Cat#691001 |
| Rabbit polyclonal Anti-TOMM20 | Sigma-Aldrich | Cat#HPA011562; RRID:AB_1080326 |
| Rabbit monoclonal anti-HA-Tag (C29F4) | Cell Signaling Technology | Cat#3724; RRID:AB_1549585 |
| Rabbit monoclonal anti-Flag DYKDDDDK Tag | Cell Signaling Technology | Cat#2368; RRID:AB_2217020 |
| Rabbit monoclonal anti-FLCN (D14G9) | Cell Signaling Technology | Cat#3697; RRID:AB_2231646 |
| Rabbit monoclonal anti-KEAP1 (D6B12) | Cell Signaling Technology | Cat#8047; RRID:AB_10860776 |
| Rabbit monoclonal anti-NRF2 (D1Z9C XP) | Cell Signaling Technology | Cat#12721; RRID:AB_2715528 |
| Rabbit monoclonal anti-CITRATE SYNTHASE (DT78B) | Cell Signaling Technology | Cat#14309; RRID:AB_2665545 |
| Rabbit monoclonal anti-GAPDH (D16H11 XP) | Cell Signaling Technology | Cat#5174; RRID:AB_10622025 |
| Rabbit monoclonal anti-Phospho-AMPKα (Thr172) (d0H9) | Cell Signaling Technology | Cat#2535; RRID:AB_331250 |
| Rabbit monoclonal anti-AMPKα (D5A2) | Cell Signaling Technology | Cat#5831; RRID:AB_1062218 |
| Rabbit monoclonal anti-Phospho-p70 S6 KINASE (Thr389) (10B2) | Cell Signaling Technology | Cat#9234; RRID:AB_2269803 |
| Rabbit monoclonal anti-p70 S6 KINase (49D7) | Cell Signaling Technology | Cat#3661; RRID:AB_330337 |
| Rabbit monoclonal anti-Phospho-ACETYL-COA CARBOXYLASE (Ser79) | Cell Signaling Technology | Cat#3661; RRID:AB_330337 |
| Rabbit monoclonal anti-ACETYL-COA CARBOXYLASE (C83B10) | Cell Signaling Technology | Cat#3676; RRID:AB_2219397 |
| Mouse monoclonal Anti-CUL3 clone 90 | Mena et al., 2018 | N/A |
| **Bacterial and Virus Strains** | | |
| *E.coli* LOBSTR | Laboratory of Thomas Schwartz | N/A |
| *E.coli*: One Shot Stbl3 Chemically competent cells | Thermo Fisher Scientific | Cat#C737303 |
| **Chemicals, Peptides, and Recombinant Proteins** | | |
| TAMRA-labeled FNIP1 wild type peptide (5,6-TAMRA-RNKSSLLFKESEE TRTPNCNCKYCSHPVLG) | Koch Institute/MIT Biopolymers lab | N/A |
| TAMRA-labeled FNIP1 Cys-free peptide (5,6-TAMRA-RNKSSLLFKESEE TRTPNSNSKYSSHPVLG) | Koch Institute/MIT Biopolymers lab | N/A |
| TAMRA-labeled FNIP1 Lys-free peptide (5,6-TAMRA-RNRSSLLFRESEE TRTPNCNCRYCSHPVLG) | Koch Institute/MIT Biopolymers lab | N/A |
(Continued on next page)
| REAGENT or RESOURCE | SOURCE | IDENTIFIER |
|---------------------|--------|------------|
| MBP<sup>His</sup>FEM1B | This paper | N/A |
| MBP<sup>His</sup>FEM1B/ELONGIN B/ELONGIN C<sup>17–112</sup> complex | This paper | N/A |
| HIS-TEV-CUL2-RBX1 | This paper | N/A |
| CUL2<sup>FEM1B</sup> (CUL2-RBX1, FEM1B/ELONGIN B/ELONGIN C<sup>17–112</sup> complex) | This paper | N/A |
| E1/UBA1 | Laboratory of Michael Rape | N/A |
| UBE2R1 | Laboratory of Michael Rape | N/A |
| UBE2D3 | Laboratory of Michael Rape | N/A |
| MBP-FBXL17 | Laboratory of Michael Rape | N/A |
| GATOR1 complex (DEPDC5, Flag NPRL2, FlagNPRL3) | Laboratory of Roberto Zoncu | N/A |
| UBA3 | Boston Biochem | Cat#E-313 |
| UBE2M | Boston Biochem | Cat#E2-656 |
| NEDD8 | Boston Biochem | Cat#UL-812 |
| UBIQUITIN | Boston Biochem | Cat#U-100H |
| HIS-TEV-HALO<sub>4x</sub> UBIQUILIN | MRC PPU, College of Life Sciences, University of Dundee, Scotland | Cat#DU23799 |
| UBA TUBE | | |
| 1,10-Phenanthroline | Sigma-Aldrich | Cat#P1,280-4 |
| Hoechst 33342 | AnaSpec | Cat#83218 |
| cOmplete, EDTA-free protease inhibitor cocktail tablets from Roche | Sigma-Aldrich | Cat#11873580001 |
| Phenyl/methanesulfonyl fluoride | Sigma-Aldrich | Cat#P7626 |
| Polyethylenimine (PEI), Linear, MW 25000, Transfection Grade | Polysciences | Cat#23966-1 |
| Iodoacetamide | Thermo Fisher Scientific | Cat#A39271 |
| N-Ethylmaleimide | Sigma-Aldrich | Cat#E3876 |
| TEV protease | UC Berkeley QB3 MacroLab | N/A |
| <sup>13</sup>C glucose | Sigma-Aldrich | Cat#389374-1G |
| Isotopic AMP | Sigma-Aldrich | Cat#900382 |
| Isotopic Fructose-1,6-bisphosphate | Cambridge Isotope Laboratories | Cat#CLM-6678-0 |
| MitoSox | Invitrogen | Cat#M36008 |
| 3xFlag peptide | Millipore | Cat#F4799 |
| S1QEL1.1 | Sigma-Aldrich | Cat#SML1948 |
| S3QEL 2 | Sigma-Aldrich | Cat#SML1554 |
| Z-Leu-Leu-Leu-al (MG132) | Thermo Fisher Scientific | Cat#113005M |
| IA-Alkyne | Tocris | Cat#7015 |
| Bardoxolone methyl | Sigma-Aldrich | Cat# SMB00376 |
| TCEP (Tris(2-carboxyethyl)phosphine hydrochloride)) | Sigma-Aldrich | Cat#C4706 |
| Carfilzomib | Selleck Chemical | Cat#PR-171 |
| Oligomycin | Thermo Fisher Scientific | Cat#ICN15178601 |
| TBHQ (tert-Butylhydroquinone) | Acros organic | Cat#150820050 |
| MLN4924 | Cayman Chemicals | Cat#15217 |
| CCCP (CARBONYL CYANIDE 3-CHLOROPHENYLHYDRAZONE) | Sigma-Aldrich | Cat#C2759 |
| Rotenone | Sigma-Aldrich | Cat#R8875 |
| Myxothiazol | Sigma-Aldrich | Cat#T5580 |
(Continued on next page)
| REAGENT or RESOURCE | SOURCE | IDENTIFIER |
|---------------------|--------|------------|
| Dimethyl 2-oxoglutarate (aKG) | Sigma-Aldrich | Cat#349631 |
| Antimycin A | Sigma-Aldrich | Cat#A8674 |
**Critical Commercial Assays**
| REAGENT | SOURCE | IDENTIFIER |
|---------|--------|------------|
| MitoProbe TMRM Assay Kit for Flow Cytometry | Thermo Fisher Scientific | Cat#M20036 |
| NAD/NADH-Glo | Promega | Cat#G9072 |
| NADP/NADPH-Glo | Promega | Cat#G9082 |
| ROS-Glo H$_2$O$_2$ Assay | Promega | Cat#G8820 |
| Glucose Uptake-Glo Assay | Promega | Cat#J1341 |
| Seahorse XF Cell Mito Stress Test | Agilent | Cat#103015-100 |
| Seahorse XF Glycolytic Rate Assay | Agilent | Cat#103710-100 |
| TnT quick coupled *in vitro* transcription/translation system | Promega | Cat#L2080 |
| Ioninc Detergent Compatibility Reagent | Thermo Fisher Scientific | Cat#22663 |
| Pierce 660nm Protein Assay Reagent | Thermo Fisher Scientific | Cat#22660 |
**Deposited Data**
| REAGENT | SOURCE |
|---------|--------|
| RNaseq of C2C12 cells depleted of KEAP1 and/or FEM1B | GSE155374 |
**Experimental Models: Cell Lines**
| CELL LINE | SOURCE | IDENTIFIER |
|-----------|--------|------------|
| HEK293T | ATCC | Cat# CRL-3216; RRID: CVCL_0063 |
| C2C12 | ATCC | Cat# CRL-1772 RRID:CVCL_0188 |
| Human: FLAG-FEM1B HEK293T cells | This paper | N/A |
| Human: FEM1BΔ #1 (LA3) HEK293T cells | This paper | N/A |
| Human: FEM1BΔ #2 (SG2) HEK293T cells | This paper | N/A |
| Human: FEM1BΔ #3 (SA4) HEK293T cells | This paper | N/A |
| SF9 | ATCC | Cat# CRL-1711; RRID:CVCL_0549 |
**Oligonucleotides**
| PRIMER | SOURCE | IDENTIFIER |
|--------|--------|------------|
| Primer for FEM1B sgRNA (KO): ggaccttaatcagactcactatagaATT AACGAGTCCCGCGCGCGTgt ttagagctagaa | This paper | N/A |
| Primer for FEM1B sgRNA (KO): ggaccttaatcagactcactatagaAA GACGAGCTTTTCGCAGACA gtttagagctagaa | This paper | N/A |
| Fwd primer for FEM1B sgRNA (tagging): cacccGGCGCGGCCATGGAGGGCC | This paper | N/A |
| Rev primer for FEM1B sgRNA tagging: aaacGGCCCTCCATGGCCCGGCC | This paper | N/A |
| Donor oligo DNA for FLAG tag insertion at the N terminus of FEM1B: TCCGGGGGCGGCAC GGCAAGCTGCAGCGGTGGC GACCAAACGGGTGTGGGA GTTGCCGGCGCCATGG ACTACAAAAGACCATGACGG TGATTATAAAGATCATGACA TCGATTACAAGGATGACGAT GACAAGGAGGGCCTGGCT GGCTATGTATACAAGGGGG CCAGGGAGGGCAAGGTGCT GACTCTGGCGGCCTTGCTT | This paper | N/A |
| shFEM1B#1 | Sigma-Aldrich | Cat#SHCLNG TRCN0000303677125 |
(Continued on next page)
| REAGENT or RESOURCE | SOURCE | IDENTIFIER |
|---------------------|--------|------------|
| shFEM1B<sup>42</sup> | Sigma-Aldrich | Cat#SHCLNG TRCN00000299671125 |
| shFEM1B<sup>43</sup> | Sigma-Aldrich | Cat#SHCLNG TRCN00000303647125 |
| shFEM1B<sup>44</sup> | Sigma-Aldrich | Cat#SHCLNG TRCN00000303746125 |
| shTXNRD1 | Sigma-Aldrich | Cat#SHCLNG TRCN0000046535 |
| shGSR | Sigma-Aldrich | Cat#SHCLNG TRCN0000046425 |
See Table S2 for all siRNA targeting sequences
See Table S3 for all qPCR primer sequences
**Recombinant DNA**
| REAGENT | SOURCE | IDENTIFIER |
|---------|--------|------------|
| pCS2+ 3xFlag-FEM1B (wild-type, L597A, C186S) | This paper | N/A |
| pCS2+ HA-FLCN | This paper | N/A |
| pCS2+ HA-FNIP1 (wild-type, 1-893, 1-704, 1-560, 561-1137, 561-893, 562-591, 562-578Δ, 572-581Δ, 582-591Δ, 592-632Δ, S572A, E574R, E574R, T575A, R576A, T577A, P578A, N579A, C580S, N581A, C582S, K583A, Y584F, C585S, S586A, H587A, and C580S/C582S/C585S) | This paper | N/A |
| pCS2+ Flag-FNIP1 (wild-type and C580S/C582S/C585S) | This paper | N/A |
| pCS2+ HA-DEPDC5 | This paper | N/A |
| pCS2+ HA-NPRL2 | This paper | N/A |
| pCS2+ HA-NPRL3 | This paper | N/A |
| pCS2+ HA-dnCUL2 (1-427) | This paper | N/A |
| pCS2+ GFP-2xEsp3I-IRES-mCherry | This paper | N/A |
| pCS2+ GFP-Fnip1 degron (562-591)-IRES-mCherry (wild-type, C580S, C582S, C585S, C580S/C582S, and C580S/C582S/C585S) | This paper | N/A |
| pCS2+ TRX-HIS6-Flag C35S | This paper | N/A |
| pMAL MBP-TEV2x-HIS6-FEM1B | This paper | N/A |
| pRSFDuet-1 Elongin B, ElonginC<sup>17–112</sup> | This paper | N/A |
| pFastBac Dual HIS6-TEV-CUL2, RBX1 | This paper | N/A |
| pET28a-6HIS-TEV-HALO-4x ubiquilin UBA TUBE | MRC PPU, College of Life Sciences, University of Dundee, Scotland | DU23799 |
| pX330-sgRNA-FEM1B | This paper | N/A |
| pLenti-PGK-Hygro-Flag-CUL2 | This paper | N/A |
**Software and Algorithms**
| SOFTWARE | SOURCE | IDENTIFIER |
|----------|--------|------------|
| GraphPad Prism | GraphPad Software, Inc | RRID:SCR_002798 |
| Metamorph Advanced | Molecular Devices | RRID:SCR_002368 |
| FlowJo | Flowjo | RRID:SCR_008520 |
| Columbus Image Data Storage and Analysis System | PerkinElmer | Cat#Columbus |
| Harmony High-Content Imaging and Analysis Software | PerkinElmer | Cat#HH17000010 |
| Fiji | Schindelin et al., 2012 | RRID:SCR_002285 |
| Kallisto | Bray et al., 2016 | RRID:SCR_016582 |
| Sleuth | Pimentel et al., 2017 | RRID:SCR_016883 |
**Other**
| REAGENT | SOURCE | IDENTIFIER |
|---------|--------|------------|
| Lipofectamine RNAiMAX | Thermo Fisher Scientific | Cat#13778150 |
| Lipofectamine 2000 | Thermo Fisher Scientific | Cat#11668027 |
| ANTI-FLAG® M2 Affinity Agarose Gel slurry | Sigma-Aldrich | Cat#A2220 |
(Continued on next page)
Continued
| REAGENT or RESOURCE | SOURCE | IDENTIFIER |
|---------------------|--------|------------|
| Ni-NTA | QIAGEN | Cat#30210 |
| HiLoad 16/600 Superdex 200pg | GE Healthcare | Cat#28-9893-35 |
| Mono Q 10/100 GL | GE Healthcare | Cat#17-5167-01 |
| HALO-link resin | Promega | Cat#G1914 |
| 3xFlag peptide | Millipore | Cat#F4799 |
| Protein G-Agarose beads | Roche | Cat#11719416001 |
| Amylose Resin | New England Biolabs | Cat#E8021L |
RESOURCE AVAILABILITY
Lead Contact
Further information and requests for reagents and resources should be directed to the Lead Contact Michael Rape (email@example.com).
Materials Availability
All plasmids and cell lines generated in this work can be requested from the lead contact’s lab. All antibodies, chemicals, and most cell lines used in this study are commercially available.
Data and Code Availability
Gene expression data by RNaseq from cells lacking KEAP1, FEM1B, or both were uploaded to GEO (GSE155374).
Experimental Model and Subject Details
C2C12 myoblasts (ATCC, CRL-1772, female) and HEK293Ts (ATCC, CRL-3216, female) were grown in DMEM with 10% fetal bovine serum at 37°C and 5% CO₂. For C2C12 differentiation, cells were grown to 70%–90% confluence and had their media changed 2–3x in differentiation medium, DMEM with 2% donor equine serum. For amino acid starvation, cells were washed 1x in PBS and put in amino acid free RPMI (US biologicals, R9010-01) and 10% dialyzed FBS. 1x Amino acids were added to the cultures at indicated time points. For glucose and glutamine starvations, cells were rinsed in phosphate buffered saline and incubated with DMEM -Glucose (Thermo Fisher Scientific, 11966025) or DMEM -Glutamine (Thermo Fisher Scientific, 11960044) with 10% dialyzed fetal bovine serum. SF9 (ATCC, CRL-1711, female) insect cell cultures were grown in in ESF921 (Expression Systems) supplemented with 1% fetal bovine serum and 1% Antibiotic-Antimycotic (Thermo Fisher Scientific, 15240062) at 28°C with shaking at 125rpm. All cell stocks and SF9 cultures were obtained from the UCB Cell Culture Facility which is supported by The University of California Berkeley.
METHOD DETAILS
Screening and myotube analysis
For the CUL2 and CUL3 adaptor screen, early passage C2C12 mouse myoblasts were seeded into 96 well plates at 400 to 500 cells/well using a Thermo Scientific Multidrop Combi system. The next day, cells were transfected with ~20nM final concentration of siRNAs using an Agilent Velocity 11 Bravo Automated Liquid Handling Platform. The next day, cells were differentiated by changing the media 3x with differentiation media using the Bravo. Media was changed every day and on the fourth day, cells were fixed in 4% formaldehyde in PBS for 20min. Fixed cells were washed in PBS, permeabilized with 0.1% triton, and stained for immunofluorescence with antibodies in phosphate buffered saline with 10% fetal bovine serum. All incubations for immunofluorescence were done with very slow mixing in a circular motion on a plate shaker for 3 hours for primary antibody and 1 hour for secondary antibody and Hoechst (AnaSpec, 83218). Plates were imaged on a Molecular Devices ImageXpress Micro Widefield High-Content Analysis System with a 10x objective capturing 25 images per well. Images were analyzed by a MetaXpress custom module from Molecular Devices to quantify the myotube area and nuclei count.
Individual siRNA myotube analysis was performed as described above, but with 12 well plates seeded with early passage C2C12 cells at 40,000-50,000 cells per well. The day after seeding, cells were transfected with 20-80nM final concentration of siRNAs depending on the number of co-depletions. For S1QEL1.1 and S3QEL 2 myotube analysis, 12–14 hours after siRNA transfection, the media was replaced with growth media containing DMSO or 1.75 µM S1QEL1.1 and 42.5 µM S3QEL 2 (Sigma-Aldrich, SML1948 and SML1554). These drug concentrations were maintained for all subsequent media changes throughout differentiation. Cells were fixed at day 3 or 4 of differentiation and prepared for immunofluorescence as above. 49 or 100 images per condition were acquired on Perkin Elmer Opera Phenix automated microscope using a 20x objective. Images were analyzed by an analysis sequence designed in the Perkin Elmer Harmony and Columbus software to quantify a fusion index (nuclei within MyHC stained cells containing 2 or more
nuclei divided by the total nuclei). The analysis of the cullin depletion phenotypes and the initial validation of screen hits were performed on the ImageXpress Micro.
**Transfection**
For transient plasmid transfection, 293Ts and C2C12s were transfected using polyethylenimine (PEI, Polysciences 23966-1) with cDNAs expressed from pCS2+ vectors. For the C2C12 FEM1B mass spectrometry immunoprecipitations, 20ug of DNA with 60µl of PEI (1mg/ml) in 500µl Optimem per 15 cm with a total of 20 plates. For 293T experiments, the following µg amounts were used for 10cm plate transfections: \textsuperscript{HA}FNIP1 constructs 2 µg, \textsuperscript{HA}FLCN 0.5–1 µg, \textsuperscript{Flag}FEM1B constructs 0.5–1 µg, \textsuperscript{HA}DEPDC5 0.5 µg, \textsuperscript{HA}NPRL2 0.5 µg, \textsuperscript{HA}NPRL3 0.5 µg, dnCUL2\textsuperscript{1–427}–HA 5 µg, \textsuperscript{GFP} degron-IRES-mCherry reporters 0.1 µg, and TRX\textsuperscript{C35S}–HIS6/Flag 0.6 µg. PEI ratios 1:3 to 1:6 µg DNA to µl of PEI were used in 300µl of Optimum and cells were harvested 36h after transfection. For the FNIP1 mass spectrometry immunoprecipitation, 10x15cm plates of 293Ts were transfected with 1.5 µg \textsuperscript{Flag}FNIP1, 0.75 µg \textsuperscript{HA}FLCN and empty vector to 4 µg total with 1:6 ratio of PEI in 400µl Optimem per plate. For the purification of \textsuperscript{Flag}FNIP1/\textsuperscript{HA}FLCN for \textit{in vitro} ubiquitylation reactions, 4 µg of \textsuperscript{Flag}FNIP1 and 2 µg of \textsuperscript{HA}FLCN transfected as for the mass spectrometry transfection into 10x15cm plates of 293T. For flow cytometry, 0.1 µg of \textsuperscript{GFP} degron-IRES-mCherry reporters, 1 µg of FEM1B constructs, and empty vector to 2 µg total were added to 300µl of Optimum and 12µl PEI (1:6 ratio) and 60µl were added to 6 well plates of 293Ts and harvested for flow cytometry after 24h. siRNA transfections were performed with Lipofectamine RNAiMAX (Thermo Fisher Scientific, 13778150) according to the manufacturer’s recommendation. All siRNAs were ordered from Dharmacon/Horizon. Table S2 contains all siRNA sequences and catalog numbers.
**Metabolomics**
Metabolomics for polar metabolites were performed as described (Louie et al., 2016) on 5 replicate 10cm of plates of C2C12 myoblast transfected with indicated siRNAs for 36 hours. Briefly, frozen cell pellets were extracted in 40:40:20 acetonitrile:methanol:water with inclusion of internal standard. Samples were vortexed and sonicated under pellets were in solution and then subjected to centrifugation at 13,000 x g for 15 min. Supernatant was isolated for single-reaction monitoring (SRM)-based targeted LC-MS/MS. Metabolites were separated using normal-phase chromatography using a Luna 5 mm NH2 column (50 x 4.6 mm, Phenomenex). Mobile phases were as followed, buffer A; acetonitrile, buffer B: 95:5 water:acetonitrile with 0.1% formic acid or 0.2 ammonium hydroxide with 50 mM ammonium acetate for positive and negative ionization mode, respectively. Chromatography conditions are as described previously (Benjamin et al., 2014). MS analysis was performed using an Agilent 6430 QQQ LC-MS/MS where metabolites were detected by single-reaction monitoring (SRM) and quantified by integrating the area under the curve for each metabolite and subsequent normalization to internal standard levels. Metabolites were then normalized to control samples.
**Small-scale Immunoprecipitations**
Cells were harvested by removing growth media and scraping cells in 8–10ml of cold PBS. Cells were centrifuged for 5min at 300 g and pellets resuspended in lysis buffer (40mM HEPES 7.5, 150mM NaCl, 0.2% NP40, with Roche cOmplete Protease Inhibitor Cocktail (Sigma-Aldrich, 11873580001)). For Figure S2D, the lysis buffer contained 2mM 1,10-Phenanthroline (Sigma-Aldrich, P1,280-4). For Figure 6G, lysis buffer was the same as for FNIP1 mass spectrometry immunoprecipitation (40mM HEPES 7.5, 150mM NaCl, 0.2% NP40, with Roche cOmplete Protease Inhibitor Cocktail, 10mM β-glycerol phosphate, 10mM sodium pyrophosphate, 2.5mM MgCl\textsubscript{2}). Lysates were gently rocked for 30–60min at 4°C and cleared by centrifugation for 30min at 21000 g, 4°C. Supernatants were normalized to volume and protein concentration (if cells were treated with aromatic compounds, lysates were normalized using pierce 660nm). 5% of the sample was removed as an input and of the sample was added to 20µl of washed ANTI-FLAG® M2 Affinity Agarose Gel slurry (Sigma-Aldrich, A2220) and rotated for 1–2 hours at 4°C. Beads were washed three times and eluted with 2x urea sample buffer. For indicated TRX\textsuperscript{C35S} immunoprecipitations, cells were treated for 16 hours with Antimycin A (250nM, Sigma-Aldrich), Dimethyl 2-oxoglutarate (\textit{zKG}) (10uM, Sigma-Aldrich), and Bardoxolone methyl (400nM, Sigma-Aldrich). For the \textsuperscript{Flag}FEM1B immunoprecipitations in Figures 6G and 6H cells were treated with CCCP (10 µM, 1h, Sigma-Aldrich; Figure 6G only), Oligomycin (10 µM, 12h, Sigma-Aldrich), Antimycin A (10 µM, 12h, Sigma-Aldrich), and TBHQ (100 µM, 12h, Acros organic).
**Whole cell lysates**
For western blot time courses, C2C12 myoblasts were seeded in 12 well plates at 40–50k cells per well. Cells were transfected 24h later with siRNAs at 20nM-40nM for each siRNA. 24h after transfection, cells were differentiated, harvested at indicated time points by washing in PBS, and lysed in 2x urea sample buffer, heated to 65°C for 10min, sonicated, and normalized to protein concentration and volume with Pierce 660nm Protein Assay Reagent with Ionioc Detergent Compatibility Reagent (Thermo Fisher Scientific, 22660 and 22663). For Western analysis of phosphorylated proteins and of 293T cells, cells in 6-well plates were washed in cold PBS and harvested in lysis buffer (1% Triton X-100, 10mM β-glycerol phosphate, 10mM sodium pyrophosphate, 4mM EDTA, 40mM HEPES, pH7.4 with Roche cOmplete Protease Inhibitor Cocktail) with rocking for 10min at 4°C. Cell lysates were collected in 1.7ml tubes and rocked for additional 20min at 4°C. Cells lysates were cleared by centrifugation at 21,000 gs for 20min at 4°C. Supernatants were collected, normalized with Pierce 660nm, and added to an equal volume of 2x urea sample buffer. For the MG132 treatment in Figure 3G, 10 µM MG132 (Thermo Fisher Scientific, I13005M) was added for 6 hours prior to harvesting. Samples were heated to 65°C for 10min and analyzed by immunoblot with indicated antibodies.
**In vitro ubiquitylations**
For all ubiquitylations, CUL2-RBX1 and CRL$_2^{FEM1B}$ complexes were modified with NEDD8 prior to the ubiquitylation assay in UBA buffer (50mM Tris-HCl pH 7.5, 50mM NaCl, 10mM MgCl$_2$), 20mM ATP, 6.3µM Nedd8, 1mM DTT, 5µM CUL2 complexes, 700nM UBA3, 400nM UBE2M in a 20µl reaction volume for 15min at 30°C. Ubiquitylation assays were carried out in 10µl reactions with 1µM CUL2 ligase, 100µM ubiquitin, 1x UBA buffer (50mM Tris-HCl pH 7.5, 50mM NaCl, 10mM MgCl$_2$) 20mM ATP, 1mM DTT, 1µM E2s, and 1µM UBA1. For full length $^{313}$FNIP/$^{344}$FLCN, 1-2µl of buffer exchanged $\alpha$FLAG elutions were used and reactions carried out at 30°C for 1h. For peptides, 500nM final concentration of 5,6-TAMRA labeled peptides were incubated at 30°C for indicated times. To alkylate with iodoacetamide (Thermo Fisher Scientific, A39271) and N-Ethylmaleimide (Sigma-Aldrich, E3876), 200µM peptide was incubated with or without 600µM alkylating agent for 1hour. Peptides were diluted into binding buffer with 0.1mM DTT to quench the alkylating agents before addition into ubiquitylation reactions.
**Flow Cytometry**
293T cells were seeded at 300k cell/well in 6 well plates. The next day, cells were transfected with indicated constructs. Cells were treated with the following reagents at indicated times before harvesting: IA-Alkyne (20µM, 8h, Tocris), Antimycin A (250nM, 16h, Sigma-Aldrich), Carfilzomib (2µM, 8h, Selleck Chemical), Dimethyl 2-oxoglutarate ($\alpha$KG) (10µM, 8h, Sigma-Aldrich), Bardoxolone methyl (3µM, 8h, Sigma-Aldrich), Rotenone (250 or 500nM, 16h, Sigma-Aldrich), and Myxothiazol (100nM, 16h, Sigma-Aldrich). 24h post transfection, cells were trypsinized and centrifuged at 300 g for 5min. Cells were resuspended in full media with 10% FBS and analyzed on either BD Bioscience LSR Fortessa or LSR Fortessa X20 and FlowJo. For TMRM staining, 150,000 C2C12 myoblasts were seeded in 10 cm plates. The next day, cells were transfected with siRNAs and after 24h medium was exchanged. Cells were trypsinized 36-40h post transfection and counted. 1,000,000 cells were aliquoted in 1ml of pre-warmed PBS and labeled. A control sample was pretreated with 50 µM CCCP for 5min and all samples were labeled with 20nM TMRM from the MitoProbe TMRM Assay Kit for Flow Cytometry (Thermo Fisher Scientific, M20036) for 30min at 37°C in 5% CO$_2$. Cells were washed in warm PBS and analyzed on BD Bioscience LSR Fortessa and FlowJo.
**In vitro binding**
pCS2+-$^{313}$FNIP/$^{344}$FNIP was synthesized using the rabbit reticulocyte lysate TnT quick coupled *in vitro* transcription/translation system (Promega, L2080) as directed. Translated $^{313}$FNIP/$^{344}$FNIP reactions were diluted in binding buffer (40mM HEPES 7.5, 150mM NaCl, 0.2% NP40, with or without 2mM TCEP and with or 2mM iodoacetamide) and added to amylose beads (New England Biolabs, E8021L) with bound MBP-FEM1B or MBP. Samples were rocked at room temperature for 1h and washed in binding buffer with or without TCEP. Samples were eluted in urea sample buffer and analyzed by immunoblot with indicated antibodies.
**Fluorescence polarization**
TAMRA-labeled FNIP1 peptides (5,6-TAMRA-RNKSSLFFKEEETRTPNCNCKYCSHPVLG) and mutants were purchased from the Koch Institute/MIT Biopolymers lab. Binding titrations were performed with 50nM $^{313}$FNIP1 peptides and increasing protein concentrations in binding buffer (40mM HEPES 7.5, 150mM NaCl, 0.2% NP40, with or without 0.1mM TCEP) in triplicate. For iodoacetamide and N-Ethylmaleimide peptide labeling, 200µM peptide was labeled with 600µM alkylating agent for 1h. Peptides were diluted into binding buffer with 0.1mM DTT to quench the alkylating agents before mixing with protein. Fluorescence polarization measurements were performed on BioTek Synergy H4 plate reader after 1h of incubation at room temp. Data was analyzed with GraphPad using the specific binding fit with Hill slope equation.
**Protein purifications**
Mouse MBP/HIS$^6$FEM1B (pMAL, New England Biolabs) and the MBP/HIS$^6$FEM1B/Elongin B/Elongin C$^{17-112}$ complex (pRSFduet-1, Novagen) were purified from *E.coli* LOBSTR cells grown to OD$_{600}$ 0.5 and induced with 333µM IPTG overnight at 16°C. Cells were lysed in buffer A and added to 1/2 the lysate volume of buffer B (50mM HEPES 7.5, 300mM NaCl 1.5mM PMSF, 15mM $\beta$-mercaptoethanol, and 30mM Imidazole). Cells were sonicated and spun at 30,000xg for 1h. Supernatant was added to Ni-NTA slurry and bound for 1h at 4°C. Beads were washed in wash buffer (50mM HEPES 7.5, 150mM NaCl, 5mM $\beta$-mercaptoethanol, 20mM imidazole, and 1mM PMSF) three times for 15min with rocking. Beads were eluted with 50mM HEPES 7.5, 150mM NaCl, 5mM $\beta$-mercaptoethanol, 250mM imidazole. Elutions were dialyzed overnight and ran on a HiLoad 16/600 Superdex 200pg, concentrated, aliquoted, and flash frozen. MBP/HIS$^6$FEM1B was purified without reducing agent for FP assays as above, but run on the size exclusion column in the absence of reducing agents. For CUL2-RBX1 purification, HIS$^6$CUL2 and untagged RBX1 were expressed off the pFastBac Dual vector (Thermo Fisher Scientific, 10712024). Baculovirus packaging and amplification were performed as described (Bac-to-Bac Baculovirus Expression System, Thermo Fisher Scientific). For the purification, 3L of SF9 insect cells were infected and 72 hours later harvested by centrifugation and flash frozen in liquid nitrogen. Cells were lysed in 50mM HEPES 7.5, 150mM NaCl 1mM PMSF, 5mM $\beta$-mercaptoethanol, 10mM Imidazole, and 0.5% NP40 with gentle rocking at 4°C for 1h. Lysates were centrifuged at 30,000xg for 1h. HIS$^6$CUL2-RBX1 complexes were isolated and purified as described for MBP/HIS$^6$FEM1B.
For the full CUL2, RBX1, ELONGIN B/C, FEM1B ligase complex (CUL2$^{FEM1B}$), the above purifications were performed in parallel until the dialysis step. Both imidazole elutions were mixed and diluted by a factor of 2 into 50mM HEPES 7.5, 150mM NaCl, 5mM $\beta$-mercaptoethanol, and 20% glycerol to 10% final and rocked for 1 h at 4°C. After the incubation, TEV protease was added at
1 μg:100 μg TEV to protein ratio to cleave MBP off FEM1B and the HIS tag off CUL2. Reactions were dialyzed in 50mM HEPES 7.5, 150mM NaCl, 1mM DTT, and 10% glycerol overnight. The sample was spun at 30,000 g for 30 min and the supernatant loaded onto a MonoQ 10/100 anion exchange starting at 90% Buffer A (40mM HEPES 7.5, 1mM DTT, 10% Glycerol) and 10% buffer B (40mM HEPES 7.5, 1M NaCl, 1mM DTT, 10% Glycerol) increasing to 100% buffer B over 15 column volumes. Fractions corresponding to cleaved FEM1B-CUL2 complex were concentrated and run on a HiLoad 16/600 Superdex 200pg in 40mM HEPES 7.5, 150mM NaCl, 1mM DTT, 10% Glycerol and the complex fractions were concentrated, aliquoted, and flash frozen.
FLAG-FNIP1/HA-FLCN complexes were purified from 293Ts using affinity-purification, as described for immunoprecipitation mass spectrometry for Flag-FNIP1 FLCN complexes. 3xFLAG peptide elutions were treated with 1mM TCEP for 30 min on ice and spun through Amicon Ultra 0.5ml centrifuge concentrator filter ultracel –30k NMWL (Sigma-Aldrich, UFC5030) to a final volume of 50-100μl. Fresh buffer (40mM HEPES 7.5, 150mM NaCl, 1mM TCEP) was then added and this centrifuge and buffer exchange step was repeated 3 times to remove detergent and 3xFlag peptide. After the last buffer exchange the Flag-FNIP1/HA-FLCN complexes were aliquoted and flash frozen.
E1/UBA1, UBE2R1, UBE2D3, and MBP-FBXL17 were purified previously described (Jin et al., 2012; Mena et al., 2018; Wickliffe et al., 2011). The GATOR1 complex was a generous gift from Roberto Zoncu (Lawrence et al., 2019). HALO-TUBES was purified as described for recombinant FEM1B. The neddylation machinery (human UBA3 (E1, E-313), UBE2M (E2, E2-656), NEDD8(UL-812)) and ubiquitin (U-100H) were purchased from Boston Biochem.
**Seahorse analysis**
C2C12 cells were seeded into XF®96 Cell Culture Microplates (Agilent, 103729-100) at a density of 320 cells/well to 500 cells/well with no coating. 6–7 wells per condition were transfected with siRNAs and 36 h analyzed post-transfection by a Seahorse XF analyzer. Seahorse XF Glycolytic rate and mitochondria stress tests were performed according to the manufacturers recommendation (Agilent, 103710-100 and 103015-100). For the mitochondria stress tests, 1.5 μM oligomycin, 2 μM FCCP, and 0.5 μM Antimycin A/Rotenone final concentrations were used. All media changes were done using an Agilent Velocity 11 Bravo Automated Liquid Handling Platform. After the analysis, cells were fixed in 4% formaldehyde in PBS with Hoechst stain for 30 minutes, washed 3x in PBS, and imaged on an Opera Phenix automated microscope using a 20x objective to capture the entire well. The nuclei count was determined using the Perkin Elmer Harmony software and all data was normalized to the nuclei count of each well.
**Immunofluorescence and confocal microscopy**
C2C12 cells were seeded (10,000 cells/ml) on coverslips in 12 well plates. The next day cells were transfected with indicated siRNAs 15 nM each siRNA (30nM final), 24h post transfection, media was changed on all plates. ~40h after transfection, cells were fixed in 4% formaldehyde in 1X PBS for 20 min at room temperature, permeabilized with 0.1% Triton X-100 in 1X PBS, blocked in 10% FBS in 1X PBS, stained with 1° antibodies for 3 h at room temperature, followed by staining with 2° antibodies and Hoechst stain. Samples were mounted onto coverslips and imaged using an Olympus IX81 microscope equipped with a Yokogawa CSU-1X confocal scanner unit (CSUX1 Borealis Square Upgrade Module), an Andor iXon3 camera (iXON DU-897-BV), and an Andor Technology Laser Combiner System 500 series equipped with four laser lines. Images were analyzed using Metamorph Advanced (Molecular Devices) and Fiji (Schindelin et al., 2012).
**NAD/H NADP/H measurements**
C2C12 cells were seeded into 6cm plates (100,000 cells) and transfected the day after with siRNAs. 36 h after transfection, the media was changed on all plates. NAD+/H and NADP+/H were measured from the same cells using NAD/NADH-Glo and NADP/NADPH-Glo Assays (Promega, G9071 and G9081). To measure both reduced and oxidized forms cells were washed one time with PBS and lysed in 1:1 PBS and 0.2N NaOH 1% dodecyltrimethylammonium bromide. Lysates were split into three tubes: one for protein normalization, one as a base treated (left unmodified, NADH/PH detection) and the last as acid treated (0.4 N HCl acid added, NAD/P detection). The base and acid treated samples were heated to 60°C for 15 min, cooled and neutralized. Samples were then split and processed for NAD and NADP quantifications on a Perkin-Elmer Envision Multilabel Plate Reader. Data was normalized using protein concentration of lysates.
**H₂O₂ measurements**
C2C12 cells (20k cell/well) were seeded into 12 well plates. Cells were transfected the next day with indicated siRNAs (30nM final). 24h after transfection, the media was changed on all wells. 36h after transfection, H₂O₂ was measured using the ROS-Glo H2O2 Assay (Promega, G8820) according the manufactures protocol in growth media using Perkin-Elmer Envision Multilabel Plate Reader to measure luminescence. After the media was removed for the assay, cells were lysed in their wells with (40mM HEPES 7.2, 150mM NaCl, 0.2% NP40) on ice. Lysates were cleared with 21000g spin at 4°C for 10 min and the supernatants’ A₂₈₀ was measured to determine protein concentrations for normalization. For 293T experiments, 140k cell/well were seeded into 12 well plates. The next day, cells were treated with DMSO, 250nM Antimycin A or 250nM Myxothiazol (Sigma-Aldrich, A8674 and T5580). 16 hours later H₂O₂ was measured as described above.
**13C labeling**
C2C12 myoblasts were seeded into either 10 or 6 cm plates at 250k cell/plate or 100k cell/plate respectively, 5 plates per condition. The next day, cells were transfected with siRNAs (30nM final, single depletions had siCNTRL added to 30nM final). 24h after transfection, media was changed on all plates. 36h post transfection, cells were rinsed once in 3ml -glucose media (DMEM –glucose, 4mM glutamine, 10% dialyzed fetal bovine serum) and cells incubated in 4ml -glucose media supplemented with 5mM $^{13}$C glucose (Sigma-Aldrich, 389374) for 4h to reach steady state labeling. After incubation, cells were washed in ice cold 0.1M ammonium bicarbonate and 500 $\mu$L of extraction buffer (methanol: acetonitrile: water = 40:40:20 with 0.1 M formic acid) containing 1 $\mu$M of isotopic AMP (Sigma-Aldrich, 900382) and Fructose-1,6-bisphosphate (Cambridge Isotope Laboratories, Inc., CLM-6678-0) as standards, respectively, was added to each plate. Plates were gently shaken for 10sec, scraped, and transferred to tubes on ice for 15min. Samples were centrifuged at 21000 g for 10min at 4°C. 180$\mu$L of supernatant was added to 20 $\mu$L of 1M ammonium bicarbonate, mixed, and flash frozen in liquid nitrogen.
LC/MS-based analyses of glycolytic and TCA intermediates were performed on liquid chromatography system (LC; 1200 series, Agilent Technologies) connected in line with an LTQ-Orbitrap-XL mass spectrometer equipped with an electrospray ionization (ESI) source (Thermo Fisher Scientific) at the UC Berkeley QB3/Chemistry Mass Spectrometry Facility. 20$\mu$L of each metabolite sample was injected onto a ZIC-pHILIC 2.1 X 150 mm (5 $\mu$m particle size) column (EMD Millipore). Buffer A was 20 mM ammonium carbonate, 0.1% ammonium hydroxide; buffer B was acetonitrile (Optima LC-MS grade, Fisher Chemical). The chromatographic gradient was run at a flow rate of 0.2 ml/min as follows: 0-20 min: linear gradient from 80% to 20% B; 20-20.5 min: linear gradient from 20% to 80% B; 20.5-35 min: hold at 80% B. The mass spectrometer was operated in the negative ion mode and column temperature was 25°C. Mass spectra were recorded over the range of 70-1000 mass-to-charge ratio (m/z). Metabolite identification and quantification were performed using Xcalibur software (version 2.0.7, Thermo Fisher Scientific).
**TUBE binding**
For endogenous detection of FNIP1 ubiquitylation, 1 15 cm plate of 293T cells was treated overnight (~16h) with either DMSO, 350nM, or 500nM of Bardoxolone methyl (Sigma-Aldrich, SMB00376), and 500nM MLN4924 (Cayman Chemical, 15217) as indicated. All samples were also treated with 2 $\mu$M Carfilzomib (Selleck Chemical, PR-171) for 4h prior to harvesting. Cells were scraped in cold PBS, spun down, and frozen in liquid nitrogen. Cell pellets were lysed, cleared, and normalized as described small-scale immunoprecipitation but with 500 $\mu$L modified lysis buffer (40mM HEPES 7.2, 150mM NaCl, 10mM N-Ethylmaleimide, 0.1mM TCEP, 1% Triton and with or without 3 $\mu$M HALO-TUBES). Normalized lysates were added to HALO-link resin (Promega, G1914) and rocked for 1-2 hours at 4°C. Beads were washed 4x in Lysis buffer without NEM and eluted with 2x urea sample buffer. pET28a-6HIS_TEV-HALO-4x ubiquilin UBA TUBE (DU23799) was obtained through the MRC PPU Reagents and Services facility (MRC PPU, College of Life Sciences, University of Dundee, Scotland; mrcppureagents.dundee.ac.uk).
**Glucose uptake assay**
C2C12 cells were seeded into 96 well white cell culture microplate plate at 320 cell/well and transfected with indicated siRNAs the next day (8 wells per condition). Additional 50 $\mu$L of media was added to each well the night before the assay and ~40h after siRNA transfection 4 wells per condition were analyzed using the Glucose Uptake-Glo Assay (Promega, J1341) following manufacturer’s recommendation with a 10min 2-deoxyglucose incubation. 4 control wells were not incubated with 2DG as a background control. The remaining 4 wells were fixed in 4% formaldehyde in PBS with Hoechst 33342 (AnaSpec, 83218) for 30min, washed 3x in PBS, and imaged on an Opera Phenix automated microscope using a 20x objective to capture the entire well. The nuclei count was determine using the Perkin Elmer Harmony software and was used to normalize the data to the average number of cells/well for each treatment.
**MitoSox staining**
C2C12 were siRNA transfected and differentiated as described for myotube analysis. At Day 3 of differentiation the media was removed and 5 $\mu$M MitoSox (Invitrogen, M36008) in Hank’s balanced salt solution (HBSS) was added for 10 min at 37°C with 5% CO$_2$. Cells were washed 3 times with HBSS and imaged using an Opera Phenix automated microscope at 37°C with 5% CO$_2$.
**Antibodies**
The following antibodies were used in this study: anti-Flag (Clone M2, Sigma-Aldrich, F1804), anti-CUL2 (Betyl, A302-476A), anti-FNIP1 (Abcam, ab134969), anti-FNIP1 (Abcam, 215725), anti-GFP (Abcam, ab6556), anti-FEM1B (Proteintech, 19544-1-AP), anti-MYOSIN, SARCOMERE (MHC) (Developmental Studies Hybridoma Bank, M20), anti-MYOGENIN (Developmental Studies Hybridoma Bank, F5D) anti-beta-ACTIN (MP Biomedicals, clone C4, 691001), $\alpha$-TOMM20 (Sigma-Aldrich, HPA011562), anti-HA-Tag (C29F4, Cell Signaling Technology (CST), 3724), anti-Flag DYKDDDDK Tag (CST, 2368), anti-FLCN (D14G9, CST, 3697), anti-KEAP1 (DEB12, CST, 8047), anti-NRF2 (D1Z9C, CST, 12721), anti-CITRATE SYNTHASE (D7V8B, CST, 14309), anti-GAPDH (D16H11, CST, 5174), anti-Phospho-AMPK$\alpha$ (Thr172) (40H9, CST, 2535), anti-AMPK$\alpha$ (D5A2, CST, 5831), anti-Phospho-p70 S6 KINASE (Thr389) (108D2, CST, 9234), anti-p70 S6 KINASE (49D7, CST, 2708), anti-Phospho-Acetyl-CoA CARBOXYLASE (Ser79)(CST, 3661), and anti-Acetyl-CoA CARBOXYLASE (C83B10, CST, 3676).
Cloning
Fem1b, Nprl2, Fnip1, Fnip2, Flcn, Rbx1, Elongin B, Elongin C, Cul2, constructs were cloned from cDNA prepared from C2C12s. DEPDC5, NPRL3, and TRX were generated from 293T cDNA. We cloned FNIP1 as two isoforms, full length and a truncation missing 208-235. Both isoforms interact with and are degraded by Fem1b, but the short form of FNIP1 expresses considerably better and retains binding to currently known FNIP1 interactors. All FNIP1 experiments presented in this study use the short isoform and the residue positions indicated are reference to this isoform. All FEM1B and FNIP1 mutants were generated by overlap extension polymerase chain reaction, or site directed mutagenesis using quick change method. The pCS2+-GFP-degron-IRES-mCherry reporter was generated using Gibson assembly of all of the individual components (GFP, IRES, mCherry, and pCS2) (Gibson et al., 2009). A 4xGly-Ser linker was added between GFP and two Esp3I sites (NEB, R0734S) which allow for the easy insertion of DNA fragments. The FNIP1 degron was inserted into the reporter construct by annealing and phosphorylating two oligos corresponding to degron sequences with the forward oligo containing an extra CAGC at the 5’ end and the reverse oligo with 5’– ATCA, each complementary to overhangs generated by the Esp3I digest.
shRNA production and viral production
All lentiviral constructs were cloned and transformed into Stbl3 E. Coli (Thermo Fisher Scientific, G737303). Lentiviral shFEM1B pLKO.1 constructs were purchased from Sigma-Aldrich (shFEM1B#1: TRCN0000303677125, shFEM1B#2: TRCN0000299671125, shFEM1B#3: TRCN0000303647125, shFEM1B#4: TRCN0000303746125, shTXNRD1: TRCN0000046535, shGSR: TRCN0000046425). pLenti-PGK-Hygro-Flag-CUL2 and shRNA containing Lentiviruses were generated in 293T cells by co-transfection with lentiviral constructs with packaging plasmids (pMD2.5G Addgene, 12259; psPAX2 Addgene, 12260) using PEI. Viral supernatants were collected and filtered through a 0.45μm filter and concentrated with LentiX concentrator following the manufactures protocol (Takara 631232). Precipitated virus was resuspended in media, aliquoted, and frozen.
Quantitative real time PCR analysis
Total RNA from C2C12 cells myoblasts grown in 6cm dishes and was purified using nucleospin RNA kit (Macherey-Nagel, 740955). cDNA was generated (Thermo Fisher Scientific, F470) and qRT-PCRs were performed on a StepOnePlus Real-Time PCR System (Applied Biosystems) using 2X KAPA SYBR FAST qPCR Master Mix (Roche, KK4602). All qPCR primers were ordered from IDT and sequences can be found in Table S3.
Immunoprecipitation and mass spectrometry
Large scale immunoprecipitations were performed after harvesting cells in cold PBS (20 15cm plates of transfected C2C12 cells or 10 15cm plates of 293T cells) and centrifuging them at 300 g for 10min, and flash freezing them in liquid nitrogen. Cell pellets were resuspended in 5x the volume of pellet weight (ml/g) of lysis buffer (40mM HEPES 7.5, 150mM NaCl, 0.2% NP40, with Roche cOmplete Protease Inhibitor Cocktail, the FLAG-FNIP1 IP lysis buffer also contained 10mM β-glycerol phosphate, 10mM sodium pyrophosphate, 2.5mM MgCl₂), CUL3 and FlagCUL2 IP lysis buffer contained 2mM 1,10-Phenanthroline (Sigma-Aldrich, P1,280-4). Lysates were gently rocked for 1h at 4°C and cleared by centrifugation at 500 g, 5min and 21000 g, 30min. Supernatants were added to 90 μL of ANTI-FLAG® M2 Affinity Agarose Gel slurry (Sigma-Aldrich, A2220) and rotated for 1-2h at 4°C. Beads were washed extensively in lysis buffer and eluted 2x with 250 μL of 3xFlag peptide (F4799, Millipore). Elutions were pooled and precipitated overnight on ice with 20% trichloroacetic acid. The precipitated pellets were washed in acetone, dried, and solubilized in 8m Urea, 100mM TRIS, pH 8.5. The samples were reduced with TCEP, alkylated with iodoacetamide, and digested overnight with trypsin (V5111, Promega). Trypsinized samples were analyzed by Multidimensional Protein Identification Technology (MudPIT) at the Vincent J. Coates Proteomics/Mass Spectrometry Laboratory at UC Berkeley. Specific proteins were identified by comparing each IP to a dataset of 40-150 similar (databases for C2C12 and 293T cells) αFLAG IP/mass spectrometry samples using CompPASS analysis (Huttlin et al., 2015). All total spectral counts were normalized to TSC of bait (4000 for all experiments except for CUL3 and CUL2 C2C12 analysis).
Genome editing
FEM1B knockout HEK293T cell lines were generated using the ribonucleoprotein (RNP) method (DeWitt et al., 2017) using guides targeting the 5’ UTR and intronic regions adjacent to exon1 of FEM1B (5’-ATTAACGAGTCGGCGCCGT-3’, 5’-AAGACGAGCTTTCGCAGACA-3’). Guide RNAs were synthesized with NEB HiScribe T7 High Yield RNA Synthesis Kit (E2040S), DNase treated with turboDNase (Thermo Fisher Scientific, AM2238), and purified with a MEGAclear clean-up kit (Thermo Fisher Scientific, AM1908). RNPs were assembled with Cas9 purified by the UC Berkeley QB3 MacroLab in a 10 μL reaction of 100 pmol of Cas9 and 120 pmol sgRNA in Cas9 buffer (20 mM HEPES 7.5, 150 mM KCl, 10% glycerol, 1 mM TCEP). Reactions were gently mixed for 30 s and incubated for 20min at room temperature. RNP complexes and 200k 293T cells resuspended in buffer SF (Lonza) were added to a nucleaseflection strip and the mixture pulsed with program DS150 Lonza 4D-Nucleofector. Cells were plated into 6 well dishes. Endogenous 3xFLAG-FEM1B 293T cell lines were generated using a guide targeting near the start codon of FEM1B (5’-GGCGGGCGCATGGAGGGCC-3’) that was cloned into px330 and cotransfected with a 200bp repair template containing a 3xFLAG tag (5’-TCCGGGGCGCACGGCAGCGTGCGTGCGGACAAACGGGTGTTGGAGTTGGCGGCGGCCATGGACTACAAGACCATAGCGTGATTATAAAGATCATGACATGATTACAAAGGATGACGATGACAACAGGAGGGCCCTGGCTGGCTATGTATAACGGGCGCAAGCGAGGGCAAGGTGCTGACTCTGGCCGCTTGGCT-3’) using Lipofectamine 2000 (Thermo Fisher Scientific, 11668019).
After confirmation of bulk editing by PCR for both knockouts and knock-ins, cells were diluted to 5 cells/ml and 100 µL of cell suspension was plated per well plated into 96 well plates containing 200 µL total media, 20% FBS DMEM + Pen/Strep. Colonies were expanded and screened for homozygous knockout or 3xFLAG tagging by PCR and western blot and confirmed by DNA sequencing.
**NGS Library Prep and RNA-seq**
Total RNA was extracted from sub-confluent C2C12s treated with siFEM1B, siKEAP1, siFEM1B-siKEAP1, or siCNTRL siRNAs (in triplicate) using a NucleoSpin RNA mini kit (Macherey-Nagel, 740955.250). NGS libraries were made using a TruSeq Stranded Total RNA kit (Illumina), with an average size of 250 bp. Libraries were prepared by the UC Berkeley Functional Genomics Laboratory. Paired-end RNA-sequencing was done using a HiSeq4000 (Illumina). Sequencing of the libraries was done two times to obtain technical replicates.
**RNA-seq Alignment, Expression Analysis and Transcription Factor Enrichment**
We used the Kallisto-Sleuth pipeline to perform differential gene expression analysis between samples (Pimentel et al., 2017). Briefly, paired-end RNA-seq reads were aligned using Kallisto, using the mm10 *Mus musculus* reference transcriptome and 200 bootstrap steps. For differential expression analysis, the R Sleuth package was used. To obtain log2 fold changes, we had to implement the following transformation function during the initial sleuth object (so) preparation step:
\[
\text{so} < - \text{sleuth_prep} \\
(\text{s2c}, \sim \text{condition/bio_samp}, \text{extra_bootstrap_summary = TRUE}, \text{target_mapping} \\
= t2g, \text{transformation_function = function(x)log2(x + 0.5)})
\]
To identify significant differentially expressed genes, the following conditions were compared: siCNTRL v siFem1b; siCNTRL v siKeap1; siFem1b v siKeap1. From each comparison, significant differentially expressed genes with a qval ≤ 0.075 were kept. This generated four different gene lists, which were then merged together. This gene list was used to generate heatmaps for data visualization. Heatmaps of significant differentially expressed genes were generated using the R “heatmap.2” package, normalized by row, and using unsupervised clustering applying the “ward.D2” option. Transcription factor enrichment for significant differentially expressed genes was done using the ChEA3 and oPOSSUM algorithms (Keenan et al., 2019; Kwon et al., 2012).
**Transmission electron microscopy**
siCNTRL, siFEM1B, siFNIP1, and siFNIP1-siFEM1B treated C2C12 cells were grown to 50% confluence and fixed in 2% guleteraldehyde: 0.1 M sodium cacodylate (pH 7.2) for 20 min, followed by 3 washes with 0.1 M sodium cacodylate buffer. Cells were then gently harvested and collected in 1.5 mL Eppendorf tubes, followed by imbedding in agarose plugs. After solidifying, agar plugs containing the specimens were carefully cut into ~2.5 mm³ slices. Slices were stained in 1% osmium tetroxide in 0.1 M sodium cacodylate for 1 hr, followed by 1.38% potassium ferricyanide for 1 hr. Stained samples were step-dehydrated in acetone (35%, 50%, 70%, 80%, 95%, 100%, 100%) for 10 min at each step. Dehydrated samples were then step-infiltrated with acetone:Epon resin (2:1, 1:1, 1:2 for 1 hr each). After final acetone:Epon infiltration, samples were embedded in pure Epon resin at room temperature, overnight, followed by curing at 65°C for two days. Cured samples were then sliced using a Leica UC 6 microtome, taking 70 nm sections. Sliced sections were picked up on 100 mesh formvar-coated copper grids, then stained with 2% aqueous uranyl acetate for 5 min, followed by 2% lead citrate for 2 min. Grids were examined under a Tecnai 12 TEM at 120 kV.
**QUANTIFICATION AND STATISTICAL ANALYSIS**
All quantifications are presented as the means ± standard deviation. Significance was determined by 2 tailed t test, *p < 0.05; **p < 0.01; ***p < 0.001. All quantitative myotube analysis figures represent at least 3 independent biological replicates (Figure 1A is 2 biological replicate screen done in duplicate and Figure S2J are the quantification of 2 technical replicates). Seahorse and glucose uptake quantification in Figures 7A, 7B, and 7E is presented as the mean of 4-6 wells per condition. ECAR measurements were calculated from 4 biological replicates consisting of 5-6 well each. All luciferase assays were measured from 5 biological replicates unless otherwise indicated (Figure 1E comprises 2 biological replicates Figure S5D is from 1). All metabolomics experiments are quantified from 5 technical replicates. For the NRF2 nuclear localization ratio a mask was created in Fiji for the nuclei channel (Hoechst) and for the cytoplasm 1 µm around the nuclei mask, the NRF2 signal from these masks was measured (n = 15-20). For the mitochondrial distance measurement, a line was drawn from the edge of nuclei to the farthest point of the mitochondrial staining (n = 10-15, **p = 9.05E-11 and ***p = 1.57E-12).
Figure S1. CRL2 and CRL3 E3 Ligases Are Required for Myoblast Differentiation, Related to Figure 1
A. CUL2 and CUL3 are required for myotube differentiation. C2C12 myoblasts were depleted of CUL1, CUL2, CUL3, CUL4a, CUL4a, CUL5, and CUL7, differentiation was induced, and formation of myotubes was followed by automated microscopy against MyHC. Quantification is shown on the right with (legend continued on next page)
mean ± SEM B. CRL adaptors affect myotube formation independently of effects on cell division or survival. C2C12 myoblasts were depleted of the indicated CRL2- or CRL3-adaptors and subjected to differentiation. Nuclei were stained by Hoechst and counted by automated image analysis. C. NAD\(^+\)/NADH ratio, NADP\(^+\)/NADPH ratio, and total NADP/NADPH levels from C2C12 myoblasts depleted of KEAP1, FEM1B, or both. Quantification of five biological replicates with mean ± SEM D. C2C12 cells were depleted of GCLC, GSR, NRF2 (using two siRNA sequences). Myotube formation was quantified after immunofluorescence microscopy against MyHC, using at least 4 biological replicates with mean ± SEM.
A
TXRND1
G6PDX
TKT
PGD
B
PFKFB2
GPI1
ALDOA
C
NFE2L2 (qPCR)
NFE2L2 (RNAseq)
D
IP:
INPUT
FLAG-FEM1B-L597A
FLAG-FEM1B
CUL2
FEM1B
E
INPUT
dFLAG
FLAG-FEM1B-L597A
FLAG-FEM1B
FNIP1
FNIP1
FLCN
DEPDC5
NPRL3
NPRL2
FLAG-FEM1B
GAPDH
Western
F
HA-FNIP1/ΔFLCN
HA-FLCN
FLAG-FEM1B
HA-dnCUL2
GAPDH
Western
G
HA-FNIP2/ΔFLCN
FEM1A
FEM1B-L597A
FEM1B
H
CUL2-FEM1B
CUL2
NRPL3
NRPL2
Western
I
siCNTRL siFNIP1 siFEM1B siFNIP1/siFEM1B
0 1 3 0 1 3 0 1 3 diff. (d)
MyoG
MyHC
MyHC (long exp.)
FNIP1
FEM1B
actin
J
MyHC area
% of control
control
siNPRL2
siNPRL3
siDEPDC5
siNPRL2/FEM1B
siNPRL3/FEM1B
siDEPDC5/FEM1B
siFEM1B
(legend on next page)
Figure S2. FNIP1 Is a Specific Substrate of CUL2FEM1B, Related to Figure 3
A. qRT-PCR of select pentose phosphate pathway NRF2 target genes in C2C12 myoblasts depleted of KEAP1, FEM1B, or both with mean ± SEM B. qRT-PCR of putative NRF2 glycolysis target genes in C2C12 myoblasts depleted of KEAP1, FEM1B, or both with mean ± SEM C. NFE2L2 (NRF2) expression measured by qRT-PCR and RNaseq from myoblasts depleted of KEAP1, FEM1B, or both with mean ± SEM D. FEM1BL597A does not bind CUL2. FLAGFEM1B or FLAGFEM1BL597A were affinity-purified from 293T cells and bound CUL2 was detected by western blotting. E. FEM1BL597A shows enhanced binding to FNIP1, FLCN, and GATOR1 subunits. FLAGFEM1B or FLAGFEM1BL597A were affinity-purified from 293T cells that also expressed 14HFNIP1, 14HFLCN, or HA-tagged GATOR1 subunits. Binding of HA-tagged proteins to FEM1B was detected after FLAG affinity-purification by gel electrophoresis and western blotting using zHA antibodies. F. CUL2 activity is required for FEM1B-dependent degradation of FNIP1. Cells were transfected with FLAGFEM1B, 14HFNIP1, 14HFLCN, and dominant-negative 14HdnCUL2 (1–427), as indicated, and FNIP1 abundance was determined by western blotting. G. FEM1B does not induce the degradation of FNIP2, a close homolog of FNIP1. Cells were transfected with 14HFNIP2 and the indicated FEM1B constructs, and FNIP2 levels were determined by gel electrophoresis and western blotting using zHA antibodies. H. CUL2FEM1B does not ubiquitylate GATOR1. DEPDC5, FLAGNPRL2 and FLAGNPRL3 were purified from insect cells, incubated with recombinant CUL2 or CUL2FEM1B, ATP, E1, UBE2D3 and UBE2R1 as E2s, and ubiquitin, and analyzed for ubiquitylation by gel electrophoresis and western blotting. I. C2C12 cells were depleted of FEM1B, FNIP1, or both, and differentiation was induced as described. The differentiation efficiency was monitored by western blotting against MYOG and MyHC. J. Co-depletion of NPRL2, NPRL3, or DEPDC5 does not rescue the increased myogenesis seen in cells lacking FEM1B. C2C12 myoblasts were transfected with the indicated siRNAs, induced to differentiate, and analyzed by microscopy against MyHC.
Figure S3. FNIP1 Contains a Conserved Degron for Recognition by CUL2FEM1B Related to Figure 4
A. The FNIP1 degron is sufficient to mediate binding to FEM1B. 293T cells were co-transfected with FLAG-FEM1B or FLAG-FEM1B-L597A and GFP or GFPdegron (GFP-FNIP1[562-591]), as indicated. FLAG-FEM1B variants were affinity-purified, and bound GFP was detected by western blotting.
B. Degron binding to FEM1B is specific. FLAG-FEM1B or the ankyrin mutant FLAG-FEM1B-C186S were co-transfected with GFPdegron. FLAG-FEM1B variants were affinity-purified, and bound GFP was detected by western blotting.
C. Depletion of FEM1B by four independent shRNAs stabilizes the GFP-degron fusion, as observed after co-expression of GFPdegron and
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mCherry and analysis by flow cytometry. D. Proteasome inhibition with carfilzomib stabilizes the GFP\textsuperscript{degron} reporter, as determined by flow cytometry. E. The Cys residues of the FNIP1 degron are invariant among FNIP1 homologs. F. The FNIP1 degron is not conserved in FNIP2, a protein otherwise highly similar to FNIP1. FNIP2 is not recognized by CUL2\textsuperscript{FEM1B}.
Figure S4. Cysteine Residues Are Essential for FNIP1 Degron Function, Related to Figure 5
A. Cys residues are essential for FNIP1 degron function, as seen by western blotting. HA-tagged FNIP1 variants were co-expressed with FLCN and FLAG-tagged FEM1B or FEM1B\textsuperscript{L597A}. FEM1B variants were immunoprecipitated and co-purifying FNIP1 was detected by gel electrophoresis and zHA-Western.
B. Modification of degron Cys residues prevents binding to FEM1B. A TAMRA-labeled FNIP1 degron peptide was incubated with buffer (green) or iodoacetamide (blue). Binding to recombinant FEM1B was monitored by fluorescence polarization with mean ± SEM.
C. Reversible oxidation controls degron recognition by FEM1B. A rabbit reticulocyte lysate generated HA-tagged FNIP1 fragment containing the degron was incubated with recombinant \textsuperscript{MBP}FEM1B. Reducing agent (TCEP) or a Cys-reactive modifier (iodoacetamide) were added as indicated. \textsuperscript{MBP}FEM1B was purified on maltose agarose and bound FNIP1 or rabbit CUL2 were detected by western blotting.
Figure S5. FEM1B Recognizes an Unmodified FNIP1 Degron, Related to Figure 6
A. The FNIP1 degron peptide rapidly forms disulfide bonds in solution. \textsuperscript{35S}\textsuperscript{TAIR}FNIP1 degron peptide was diluted into buffer containing no reducing agent and aliquots were taken at indicated time points and added to sample buffer with or without reducing agent. Samples were analyzed by gel electrophoresis and fluorescence detection.
B. The FNIP1 degron is oxidized in cells in the context of full-length FNIP1. TRX\textsuperscript{C35S/FLAG} was affinity-purified from cells treated with antimycin A, and co-eluting endogenous FNIP1 and FLCN were detected by western blotting.
C. Stabilization of the FNIP1 degron reporter by antimycin A is dependent on the activity of the electron transfer chain. Cells were either treated with antimycin A, rotenone (which inhibits electron delivery to complex III), or both, and the stability of GFP\textsuperscript{degron} was monitored by flow cytometry.
D. Antimycin A and myxothiazol increase ROS production, as measured by a H\textsubscript{2}O\textsubscript{2} detecting luciferase assay showing mean ± SEM.
E. Myxothiazol stabilizes the FNIP1 degron reporter. Cells were either treated with myxothiazol, rotenone, or both, and the stability of GFP\textsuperscript{degron} was monitored by flow cytometry.
F. Depletion of GSR, TXRND1, or both and the stability of the degron reporter was determined by flow cytometry.
G. Reductive stress-dependent degradation of the FNIP1 degron reporter requires the degron Cys residues. GFP fused to the wild-type degron (WT) or a degron with all three Cys residues mutated to Ser (CS) was co-expressed with FEM1B, and cells were depleted of glutamine to induce reductive stress, as indicated. The GFP/mCherry ratio was measured as an indication for GFP stability by flow cytometry.
Figure S6. FEM1B and FNIP1 Control Metabolism, Related to Figure 7
A. C2C12 myoblasts were depleted of FEM1B, FNIP1, or both. Cells were starved, before amino acids were added to rapidly turn on mTORC1. mTORC1 activity was monitored by measuring levels of phosphorylated S6 kinase using western blotting.
B. C2C12 myoblasts were depleted of FEM1B, FNIP1, or combinations thereof, and AMPK signaling was monitored by measuring phosphorylated ACC and AMPK using western blotting.
C. FLAG-FNIP1 or a FLAG-FNIP1ΔC35 degron variant were expressed with 14C-FLCN in 293T cells, and binding partners were determined by affinity-purification and mass spectrometry.
D. Mitochondrial protein abundance is not altered when FEM1B is depleted. C2C12 myoblasts were transfected with indicated siRNAs and analyzed by western blot for TOMM20 (outer mitochondrial membrane protein) and CS (citrate synthase, matrix).
Figure S7. FNIP1 and FEM1B Control the Abundance of Mitochondrial Metabolites and Shuttles, Related to Figure 7
A. C2C12 myoblasts were depleted of FEM1B, FNIP1, or both and the glycolytic rate was determined using a Seahorse Analyzer, showing mean ± SEM.
B. The oxygen consumption rate (OCR) was measured for C2C12 cells transfected with indicated siRNAs using the mito stress test on a Seahorse Analyzer, showing mean ± SEM.
C. Depletion of FEM1B reduces the extracellular acidification rate, which is partially rescued by co-depletion of FNIP1, showing mean ± SEM.
D. C2C12 cells were transfected with siRNAs targeting FNIP1, FEM1B, or both. Polar metabolites were extracted and analyzed by liquid chromatography and mass spectrometry.
E. FEM1B depletion inhibits glucose uptake. Standard deviation of four technical replicates normalized to cell number.
F. Quantification of glycolytic and TCA cycle metabolites either in untreated control C2C12 myoblasts or C2C12 myoblasts starved for glutamine for 8 h. % $^{13}$C labeled metabolites were determined by mass spectrometry.
G. C2C12 myoblasts were depleted with indicated siRNAs and labeled with $^{13}$C glucose for 4 h. % $^{13}$C labeled metabolites were determined by mass spectrometry.
H. NRF2 targets in the pentose phosphate pathway, NADPH regeneration and serine biosynthesis do not rescue the KEAP1 depletion phenotype. C2C12 myoblasts were depleted of indicated genes with or without KEAP1 co-depletion and induced to differentiated for 4 days. Myotube formation was monitored by microscopy against MyHC and quantified by automated microscopy. Quantification is of 3 biological replicates, showing mean ± SEM.
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Re-evaluation of propane-1,2-diol (E 1520) as a food additive
EFSA Panel on Food Additives and Nutrient Sources added to Food (ANS),
Maged Younes, Peter Aggett, Fernando Aguilar, Riccardo Crebelli, Birgit Dusemund,
Metka Filipic, Maria Jose Frutos, Pierre Galtier, David Gott, Ursula Gundert-Remy,
Gunter Georg Kuhnle, Jean-Charles Leblanc, Inger Therese Lillegaard, Peter Moldeus,
Alicja Mortensen, Agneta Oskarsson, Ivan Stankovic, Ine Waalkens-Berendsen,
Rudolf Antonius Woutersen, Matthew Wright, Polly Boon, Dimitrios Chrysafidis, Rainer Gürtler,
Pasquale Mosesso, Dominique Parent-Massin, Paul Többack, Ana Maria Rincon,
Alexandra Tard and Claude Lambre
Abstract
The EFSA Panel on Food Additives and Nutrient Sources added to Food (ANS) provides a scientific opinion re-evaluating the safety of propane-1,2-diol (E 1520) when used as a food additive. In 1996, the Scientific Committee on Food (SCF) established an acceptable daily intake (ADI) of 25 mg/kg body weight (bw) per day for propane-1,2-diol. Propane-1,2-diol is readily absorbed from the gastrointestinal and is expected to be widely distributed to organs and tissues. The major route of metabolism is oxidation to lactic acid and pyruvic acid. At high concentrations, free propane-1,2-diol is excreted in the urine. No treatment-related effects were observed in subchronic toxicity studies. The available data did not raise concern with respect to genotoxicity. Haematological changes suggestive of an increased red blood cell destruction with a compensatory increased rate of haematopoiesis were observed at the highest dose level (5,000 mg/kg bw per day) in a 2-year study in dogs. No adverse effects were reported in a 2-year chronic study in rats with propane-1,2-diol (up to 2,500 mg/kg bw per day). The SCF used this study to derive the ADI. No adverse effects were observed in the available reproductive and developmental toxicity studies. Propane-1,2-diol (E 1520) is authorised according to Annex III in some food additives, food flavourings, enzymes and nutrients and it is then carried over to the final food. Dietary exposure to E 1520 was assessed based on the use levels and analytical data. The Panel considered that for the food categories for which information was available, the exposure was likely to be overestimated. Considering the toxicity database, the Panel concluded that there was no reason to revise the current ADI of 25 mg/kg bw per day. The Panel also concluded that the mean and the high exposure levels (P95) of the brand-loyal refined exposure scenario did not exceed the ADI in any of the population groups from the use of propane-1,2-diol (E 1520) at the reported use levels and analytical results.
© 2018 European Food Safety Authority, EFSA Journal published by John Wiley and Sons Ltd on behalf of European Food Safety Authority.
Keywords: propane-1,2-diol, propylene glycol, E 1520, CAS No 57-55-6, food additive
Requestor: European Commission
Question number: EFSA-Q-2011-00591
Correspondence: firstname.lastname@example.org
Panel members: Peter Aggett, Fernando Aguilar, Riccardo Crebelli, Birgit Dusemund, Metka Filipić, Maria Jose Frutos, Pierre Galtier, David Gott, Ursula Gundert-Remy, Gunter Georg Kuhnle, Claude Lambre, Jean-Charles Leblanc, Inger Therese Lillegaard, Peter Moldeus, Alicia Mortensen, Agneta Oskarsson, Ivan Stankovic, Ine Waalkens-Berendsen, Rudolf Antonius Woutersen, Matthew Wright and Maged Younes.
Acknowledgements: The ANS Panel wishes to acknowledge all European competent institutions, Member State bodies and other organisations that provided data for this scientific output.
Suggested citation: EFSA Panel on Food Additives and Nutrient Sources added to Food (ANS), Younes M, Aggett P, Aguilar F, Crebelli R, Dusemund B, Filipić M, Frutos MJ, Galtier P, Gott D, Gundert-Remy U, Kuhnle GG, Leblanc J-C, Lillegaard IT, Moldeus P, Mortensen A, Oskarsson A, Stankovic I, Waalkens-Berendsen I, Woutersen RA, Wright M, Boon P, Chrysafidis D, Gürtler R, Mosesso P, Parent-Massin D, Tobback P, Rincon AM, Tard A and Lambre C, 2018. Scientific Opinion on the re-evaluation of propane-1,2-diol (E 1520) as a food additive. EFSA Journal 2018;16(4):5235, 40 pp. https://doi.org/10.2903/j.efsa.2018.5235
ISSN: 1831-4732
© 2018 European Food Safety Authority. *EFSA Journal* published by John Wiley and Sons Ltd on behalf of European Food Safety Authority.
This is an open access article under the terms of the [Creative Commons Attribution-NoDerivs](https://creativecommons.org/licenses/by-nd/4.0/) License, which permits use and distribution in any medium, provided the original work is properly cited and no modifications or adaptations are made.
Reproduction of the images listed below is prohibited and permission must be sought directly from the copyright holder:
Figure 1: © Elsevier
The EFSA Journal is a publication of the European Food Safety Authority, an agency of the European Union.
Summary
Propane-1,2-diol (E 1520) is authorised as a food additive in the European Union (EU) according to Regulation (EC) No 1333/2008 on food additives and specific purity criteria have been defined in the Commission Regulation (EU) No 231/2012.
In 1996, the Scientific Committee on Food (SCF) established an acceptable daily intake (ADI) of 25 mg/kg body weight (bw) per day for propane-1,2-diol.
In 1973, the Joint FAO/WHO Expert Committee on Food Additives (JECFA) allocated an ADI of 0–25 mg/kg bw for propane-1,2-diol and in 2001 evaluated propane-1,2-diol as a food flavouring; however, the Committee did not finalise the evaluation as it wanted confirmation that the substance is actually used as food flavouring. The Panel noted that propane-1,2-diol is not authorised as a flavouring substance in the EU according to Regulation 1334/2008.
Propane-1,2-diol is readily absorbed from the gastrointestinal tract in experimental animals and in humans and is expected to be widely distributed to organs and tissues. The major route of metabolism is oxidation to lactic acid and pyruvic acid. An alternative route of metabolism of propane-1,2-diol to lactic acid is via phosphorylated glycol. At high concentrations, free propane-1,2-diol is excreted in the urine as the elimination of propane-1,2-diol from the body is saturated at dose levels higher than 20,000 mg/day in humans. The renal clearance in young infants up to the age of approximately 3 months appeared to be much lower than in adults.
The acute oral toxicity of propane-1,2-diol was low.
No treatment-related effects were observed in subchronic toxicity studies in which 1,000 mg propane-1,2-diol/kg bw per day was administered by gavage to mice, rats, dogs and monkeys for 92–97 days.
The Panel considered that the available data did not raise concern with respect to genotoxicity of propane-1,2-diol.
Except for haematological changes suggestive of an increased red blood cell destruction with a compensatory increased rate of haematopoiesis at the highest dose level (5,000 mg/kg bw per day), no adverse effects were observed in a 2-year study in dogs administered propane-1,2-diol in the diet (2,000 or 5,000 mg/kg bw per day). No adverse effects, including neoplastic findings, were reported in a chronic study in rats administered propane-1,2-diol in the diet (up to 2,500 mg/kg bw per day) for 2 years. The SCF and JECFA used the study in rats to derive an ADI of 25 mg/kg bw per day using an uncertainty factor of 100.
No adverse effects were observed in the available reproductive and developmental toxicity studies.
Propane-1,2-diol (E 1520) is authorised according to Annex III in some food additives, food flavourings, enzymes and nutrients and it is then carried over to the final food. Dietary exposure to the food additive was assessed based on data received by both industry (use levels) and Member States (analytical data). In the refined exposure assessment scenario, 20 food categories were taken into account. Because propane-1,2-diol (E 1520) is authorised only according to Annex III, its labelling is not mandatory, therefore, the Panel considered that the list of uses of this food additive from the Mintel’s Global New Products Database (GNPD) was likely not exhaustive.
The exposure assessment was hampered by several uncertainties; overall the Panel considered that for the food categories for which information was available, the exposure was likely to be overestimated. The Panel considered that the brand-loyal scenario covering the general population was the most appropriate scenario for risk characterisation of E 1520 assuming that the population is likely to be exposed long-term to the food additive present at the maximum reported use in foods belonging to the food category ‘Flavoured drinks’ and at the mean reported use/analytical data in foods belonging to the other food categories. The highest high level of exposure (P95) to propane-1,2-diol (E 1520) according to this scenario was estimated at 23.3 mg/kg bw per day in children.
The Panel also noted that propane-1,2-diol could be formed from metabolism of other food additives (e.g. E 405, E 477). In this opinion, a combined exposure assessment was not performed.
Considering the overall toxicity database, the Panel concluded that there was no reason to revise the current ADI of 25 mg/kg bw per day for propane-1,2-diol (E 1520).
The Panel also concluded that the mean and the high exposure levels (P95) of the brand-loyal refined exposure scenario did not exceed the ADI in any of the population groups from the use of propane-1,2-diol (E 1520) as a food additive at the reported use levels and analytical results.
The Panel recommended that:
- the European Commission considers lowering the current maximum limits for lead in the EU specification for propane-1,2-diol (E 1520) in order to ensure that propane-1,2-diol (E 1520) as food additives will not be a significant source of exposure to this toxic element in food.
- the European Commission considers inclusion of maximum limits for propylene oxide, mono- and di-ethylene glycol and propylene carbonate in the EU specifications for propane-1,2-diol (E 1520).
- the need for a combined exposure assessment to propane-1,2-diol from E 1520 and from other food additives from which propane-1,2-diol is formed through metabolism should be considered.
# Table of contents
Abstract ........................................................................................................................................................................ 1
Summary ....................................................................................................................................................................... 3
1. Introduction ............................................................................................................................................................. 6
1.1. Background and Terms of Reference as provided by the European Commission .................................. 6
1.1.1. Background ........................................................................................................................................... 6
1.1.2. Terms of Reference ................................................................................................................................. 6
1.2. Information on existing authorisations and evaluations ............................................................................ 6
2. Data and methodologies ...................................................................................................................................... 8
2.1. Data ................................................................................................................................................................ 8
2.2. Methodologies ............................................................................................................................................... 8
3. Assessment ............................................................................................................................................................. 8
3.1. Technical data ................................................................................................................................................ 8
3.1.1. Identity of the substance ....................................................................................................................... 8
3.1.2. Specifications ......................................................................................................................................... 9
3.1.3. Manufacturing process ......................................................................................................................... 10
3.1.4. Methods of analysis in food .................................................................................................................. 10
3.1.5. Stability of the substance, and reaction and fate in food ..................................................................... 11
3.2. Authorised uses and use levels .................................................................................................................... 11
3.3. Exposure data ................................................................................................................................................ 12
3.3.1. Reported use levels or data on analytical levels of propane-1,2-diol .................................................. 12
3.3.2. Summarised data extracted from the Mintel’s Global New Products Database ............................... 13
3.3.3. Food consumption data used for exposure assessment ....................................................................... 13
3.4. Exposure estimates ....................................................................................................................................... 15
3.4.1. Exposure to propane-1,2-diol (E 1520) from its use as a food additive ............................................. 15
3.4.2. Exposure via other sources .................................................................................................................. 18
3.5. Biological and toxicological data ................................................................................................................ 19
3.5.1. Absorption, distribution, metabolism and excretion ........................................................................... 19
3.5.2. Acute toxicity ......................................................................................................................................... 21
3.5.3. Short-term and subchronic toxicity ..................................................................................................... 22
3.5.4. Genotoxicity .......................................................................................................................................... 25
3.5.5. Chronic toxicity and carcinogenicity .................................................................................................... 28
3.5.6. Reproductive and developmental toxicity .......................................................................................... 29
3.5.7. Hypersensitivity, allergenicity and food intolerance ............................................................................ 32
3.5.8. Other studies ......................................................................................................................................... 32
3.6. Discussion ..................................................................................................................................................... 32
4. Conclusions .......................................................................................................................................................... 33
5. Recommendations .............................................................................................................................................. 33
Documentation provided to EFSA .......................................................................................................................... 34
References .................................................................................................................................................................. 34
Abbreviations ............................................................................................................................................................. 38
Appendix A – Summary of reported use levels of propane-1,2-diol (E 1520) provided by industry (mg/kg) ........ 40
Appendix B – Summary of reported use levels of propane-1,2-diol (E 1520) provided by Member States (mg/kg) .. 40
Appendix C – Number and percentage of food products labelled with propane-1,2-diol (E 1520) out of the total number of food products present in the Mintel GNPD per food sub-category between 2013 and 2018 .... 40
Appendix D – Concentration levels of propane-1,2-diol (E 1520) used in the refined exposure assessment scenarios (mg/kg or mL/kg as appropriate) ........................................................................................................ 40
Appendix E – Summary of total estimated exposure propane-1,2-diol (E 1520) from its use as a food additive for the refined exposure assessment scenarios per population group and survey: mean and 95th percentile (mg/kg bw per day) ........................................................................................................................................ 40
Appendix F – Main food categories contributing to exposure to propane-1,2-diol (E 1520) using the refined exposure assessment scenarios (> 5% to the total mean exposure) .................................................................................. 40
1. Introduction
The present opinion document deals with the re-evaluation of propane-1,2-diol (E 1520) when used as a food additive.
1.1. Background and Terms of Reference as provided by the European Commission
1.1.1. Background
Regulation (EC) No 1333/2008\(^1\) of the European Parliament and of the Council on food additives requires that food additives are subject to a safety evaluation by the European Food Safety Authority (EFSA) before they are permitted for use in the European Union. In addition, it is foreseen that food additives must be kept under continuous observation and must be re-evaluated by EFSA.
For this purpose, a programme for the re-evaluation of food additives that were already permitted in the European Union before 20 January 2009 has been set up under the Regulation (EU) No 257/2010\(^2\). This Regulation also foresees that food additives are re-evaluated whenever necessary in light of changing conditions of use and new scientific information. For efficiency and practical purposes, the re-evaluation should, as far as possible, be conducted by group of food additives according to the main functional class to which they belong.
The order of priorities for the re-evaluation of the currently approved food additives should be set on the basis of the following criteria: the time since the last evaluation of a food additive by the Scientific Committee on Food (SCF) or by EFSA, the availability of new scientific evidence, the extent of use of a food additive in food and the human exposure to the food additive taking also into account the outcome of the Report from the Commission on Dietary Food Additive Intake in the EU\(^3\) of 2001. The report “Food additives in Europe 2000” submitted by the Nordic Council of Ministers to the Commission, provides additional information for the prioritisation of additives for re-evaluation. As colours were among the first additives to be evaluated, these food additives should be re-evaluated with a highest priority.
In 2003, the Commission already requested EFSA to start a systematic re-evaluation of authorised food additives. However, as a result of adoption of Regulation (EU) 257/2010 the 2003 Terms of References are replaced by those below.
1.1.2. Terms of Reference
The Commission asks EFSA to re-evaluate the safety of food additives already permitted in the Union before 2009 and to issue scientific opinions on these additives, taking especially into account the priorities, procedures and deadlines that are enshrined in the Regulation (EU) No 257/2010 of 25 March 2010 setting up a programme for the re-evaluation of approved food additives in accordance with the Regulation (EC) No 1333/2008 of the European Parliament and of the Council on food additives.
1.2. Information on existing authorisations and evaluations
Propane-1,2-diol (E 1520) is an authorised food additive in the EU according to Annex III of Regulation (EC) No 1333/2008 and specific purity criteria have been defined in the Commission Regulation (EU) No 231/2012\(^4\).
The SCF evaluated several times propane-1,2-diol as a food additive (SCF, 1978, 1996, 1997), as a solvent in food (SCF, 1981, 1996, 1997), as monomers and additives for food contact plastics (SCF, 1999). The Committee in its evaluation in 1981 concluded that there were sufficient data available, including long-term studies in rats and dogs, to establish an acceptable daily intake (ADI), and they agreed with the ADI of 0–25 mg/kg body weight (bw) established by the Joint FAO/WHO Expert
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1 Regulation (EC) No 1333/2008 of the European Parliament and of the Council of 16 December 2008 on food additives. OJ L 354, 31.12.2008, p. 16–33.
2 Commission Regulation (EU) No 257/2010 of 25 March 2010 setting up a programme for the re-evaluation of approved food additives in accordance with Regulation (EC) No 1333/2008 of the European Parliament and of the Council on food additives. OJ L 80, 26.3.2010, p. 19–27.
3 COM(2001) 542 final.
4 Food Additives in Europe 2000, Status of safety assessments of food additives presently permitted in the EU, Nordic Council of Ministers, TemaNord, 2002, 506.
5 Commission Regulation (EU) No 231/2012 of 9 March 2012 laying down specifications for food additives listed in Annexes II and III to Regulation (EC) no 1333/2008 of the European Parliament and of the Council. OJ L 83, 22.3.2012, p. 1–295.
Committee on Food Additives (JECFA, 1974). In its evaluation in 1993 of propane-1,2-diol as a food additive, the SCF noted an uncertainty with regard to potential mutagenic effects at the germ cell level, which led the Committee to make the ADI temporary (but keeping the figure of 25 mg/kg bw per day) (SCF, 1996). In 1996, the SCF evaluated new genotoxicity studies and although they did not entirely correspond to the SCF’s request the Committee concluded nevertheless that the ADI of 25 mg/kg bw per day could be reassigned to propane-1,2-diol (SCF, 1997).
In 1973, JECFA allocated an ADI of 0–25 mg/kg bw based on the level in rat and dog causing no toxicological effect of 2,500 mg/kg bw and using an uncertainty factor of 100 (JECFA, 1974). In 2001, JECFA evaluated propane-1,2-diol as a food flavouring; however, the Committee did not finalise the evaluation as it wanted confirmation that the substance is actually used as food flavouring (JECFA, 2002a,b). The Panel noted that propane-1,2-diol is not authorised as a flavouring substance in the EU according to Regulation 1334/2008.
Propane-1,2-diol (Ref. No 23740 and 81840) is included in the Union list of authorised substances that may be intentionally used in the manufacture of plastic layers in plastic materials and articles (Annex I to Commission Regulation (EU) No 10/2011\(^6\)).
The Scientific Committee for Animal Nutrition (SCAN) expressed a provisional opinion on the use of propane-1,2-diol as a preservative in animal feed on the health of cats because of claims that when the additive is fed to cats over a prolonged period of time, erythrocytes may develop oxidative damage to the haemoglobin, Heinz body formation and, possibly, reduced resistance to oxidative stress. The Committee concluded provisionally that there was no immediate need to suspend the use of the substance in feed for cats (SCAN, 1991).
The EFSA Panel on Contaminants in the Food Chain (CONTAM) evaluated a list of substances, including propylene glycol, in the Annex to Commission Directive 96/3/EC as acceptable previous cargoes for edible fats and concluded that those would not be of health concern as previous cargoes (EFSA CONTAM Panel, 2011).
The EFSA Panel on Biological Hazards (BIOHAZ) and the Panel on Food Contact Materials, Enzymes, Flavourings and Processing Aids (CEF) evaluated the safety and efficacy of a product, containing propane-1,2-diol as a carrier, used for the removal of microbial surface contamination of raw poultry products. Both Panels concluded that the potential exposure to propane-1,2-diol was several orders of magnitude below the ADI and thus not of toxicological concern (EFSA BIOHAZ Panel and CEF Panel, 2012).
A working group established by the Nordic Council of Ministers concluded that there was no need to re-evaluate propane-1,2-diol (E 1520), but a survey to estimate the likely exposure to the substance was recommended. This recommendation was based on the fact that Danish control examinations revealed levels of up to 28 g/kg in cakes (TemaNord, 2002).
The European Agency for the Evaluation of Medicinal Products (EMA) has evaluated the use of propane-1,2-diol as a pharmacological active substance for animal uses and found it acceptable for ‘all food producing species with no special conditions of use’ (EMA, 1996).
The Committee for Medicinal Products for Human Use (CHMP) considered the procedure under Article 5(3) of Regulation (EC) No 726/2004 on the excipient, propylene glycol in medicines for children as per questions posed (EMA, 2014a). In the final document, EMA concluded ‘Nevertheless, clinical data showed that in children from the age of 5 years and adult patients, up to 500 mg/kg/day of propylene glycol could generally be considered safe. In the absence of compelling data this safety threshold is decreased to 50 mg/kg/day in children less than 5 years old, and even to 1 mg/kg/day in pre-term and term neonates due to known immaturity of both metabolic and renal clearances of propylene glycol in these populations’ (EMA, 2014b).
Propane-1,2-diol is permitted in cosmetic products (European Commission database – CosIng\(^7\)).
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\(^6\) Commission Regulation (EU) No 10/2011 of 14 January 2011 on plastic materials and articles intended to come into contact with food. OJ L 12, 15.1.2011, p. 1.
\(^7\) Available online: [http://ec.europa.eu/consumers/cosmetic/cosing/index.cfm?fuseaction=search.simple](http://ec.europa.eu/consumers/cosmetic/cosing/index.cfm?fuseaction=search.simple)
2. Data and methodologies
2.1. Data
The Panel was not provided with a newly submitted dossier. EFSA launched public calls for data\(^8,9\) to collect relevant information from interested parties.
The Panel based its assessment on information submitted to EFSA following the public calls for data, information from previous evaluations and additional available literature up to February 2018. Attempts were made at retrieving relevant original study reports on which previous evaluations or reviews were based, however not always these were available to the Panel.
Food consumption data from the EFSA Comprehensive European Food Consumption Database (Comprehensive Database\(^{10}\)) was used to estimate the dietary exposure to propane-1,2-diol (E 1520).
The Mintel’s Global New Products Database (GNPD) was used to verify the use of propane-1,2-diol (E 1520) in food products. Mintel’s GNPD is an online database that contains the compulsory ingredient information present on the label of food products.
2.2. Methodologies
This opinion was formulated following the principles described in the EFSA Guidance on transparency with regard to scientific aspects of risk assessment (EFSA Scientific Committee, 2009) and following the relevant existing Guidances from the EFSA Scientific Committee.
The ANS Panel assessed the safety of propane-1,2-diol (E 1520) as a food additive in line with the principles laid down in Regulation (EU) 257/2010 and the relevant guidance documents: Guidance on submission for food additive evaluations by the SCF (2001).
When the test substance was administered in the feed or in the drinking water, but doses were not explicitly reported by the authors as mg/kg bw per day based on actual feed or water consumption, the daily intake was calculated by the Panel using the relevant default values as indicated in the EFSA Scientific Committee Guidance document (EFSA Scientific Committee, 2012) for studies in rodents or, in the case of other animal species, by JECFA (2000). In these cases, the daily intake is expressed as ‘equivalent’.
For this evaluation, the Panel used 1.036 g/cm\(^3\) (INRS, 2010) as a density for propane-1,2-diol.
Dietary exposure to propane-1,2-diol (E 1520) from its use as a food additive was estimated combining food consumption data available within the EFSA Comprehensive Database with the reported use levels and analytical data submitted to EFSA following a call for data. Different scenarios were used to calculate exposure (see Section 3.3.1). Uncertainties on the exposure assessment were identified and discussed.
3. Assessment
3.1. Technical data
3.1.1. Identity of the substance
Propane-1,2-diol (E 1520) has as chemical formula C\(_3\)H\(_6\)O\(_2\) and a molecular weight 76.10 g/mol. The substance exists under different enantiomeric forms. Table 1 shows the structural formulae and chemical registry numbers of these different forms.
| Name | Structural formula | CAS registry number\(^{(a)}\) | EC (EINECS) number\(^{(a)}\) |
|------|--------------------|-------------------------------|-----------------------------|
| \((R)\)-(−)-1,2-Propanediol |  | 4254-14-2 | 610-038-5 |
---
\(^8\) Call for scientific data on miscellaneous food additives permitted in EU and belonging to several functional classes. Published: 6 July 2012. Available online: http://www.efsa.europa.eu/sites/default/files/consultation/120706a.pdf
\(^9\) Call for food additives escape and/or concentration data in food and beverages intended for human consumption. Published: 12 October 2015. Available online: http://www.efsa.europa.eu/en/data/cal/151012
\(^{10}\) Available online: http://www.efsa.europa.eu/en/datexfoodcdb/datexfoodcdb.htm
According to Commission Regulation (EU) No 231/2012, the propane-1,2-diol (E 1520) has the EINECS Number 200-338-0. According to the EC inventory, the EINECS number indicated in the EU specifications for E 1520 refers to CAS 57-55-6 that corresponds to \((R,S)\)-1,2-propanediol (SciFinder\textsuperscript{11} online). The Panel noted that the authorisation of the racemic \((R,S)\)-1,2-propanediol is not clearly stated in the EU specifications.
Synonyms: propylene glycol; \(n\)-propylene glycol; 1,2-dihydroxypropane; methyl ethylene glycol.
According to Commission Regulation (EU) No 231/2012, propane-1,2-diol (E 1520) is described as a clear, colourless, hygroscopic, viscous liquid. It is soluble in water, ethanol and acetone.
Propane-1,2-diol has a melting point of \(-60^\circ\text{C}\), a boiling point of 186–190°C and the partition coefficient (octanol/water) (\(\log P_{ow}\)) is \(-0.912\) (CEFIC, 2012 (Documentation provided to EFSA n. 2)).
### 3.1.2. Specifications
The specifications for propane-1,2-diol (E 1520) as defined in the Commission Regulation (EU) No 231/2012 and by JECFA (2006) are listed in Table 2.
**Table 2:** Specifications for propane-1,2-diol (E 1520) according to Commission Regulation (EU) No 231/2012 and JECFA (2006)
| **Commission Regulation (EU) No 231/2012** | **JECFA (2006)** |
|--------------------------------------------|------------------|
| **Assay** | Content not less than 99.5% on the anhydrous basis |
| **Description** | Clear, colourless, hygroscopic, viscous liquid |
| **Identification** | Soluble in water, ethanol and acetone |
| Specific gravity \((20^\circ\text{C}/20^\circ\text{C})\) | 1.035–1.040 |
| Refractive index | \([n]_D^{20}: 1.431–1.433\) |
| Infrared absorption | – |
| **Purity** | 99.5% of the product distils between 185°C and 189°C. The remaining 0.5% consists mainly of dimers and traces of trimers from propane-1,2-diol |
| Water | Not more than 1.0% (Karl Fischer method) |
| Sulphated ash | Not more than 0.07% |
\textsuperscript{11} SciFinder\textsuperscript{®} the choice for chemistry researchTM.
The Panel noted that, according to the EU specifications for propane-1,2-diol (E 1520), lead, as an impurity, is accepted up to a concentration of 2 mg/kg. Contamination at this level could have a significant impact on the exposure already close to the health-based guidance value or benchmark doses (lower confidence limits) established by EFSA (EFSA CONTAM Panel, 2010, 2012).
According to the literature (Fowles et al., 2013) and to the information on the manufacturing process (see Section 3.1.3), some by-products (mono- and di-ethylene glycol) might be formed next to residual propylene oxide used as a starting material. The Panel noted that there are not maximum limits for propylene oxide and mono- and di-ethylene glycol in the EU specifications for propane-1,2-diol (E 1520).
According to information from the literature (Holtbruegge et al. (2015), see Section 3.1.3), propane-1,2-diol, which is intended to be used as a food additive, can be manufactured by using as a raw material propylene carbonate, which may not be completely removed from the final product, propane-1,2-diol. The Panel noted that no maximum limits for propylene carbonate are set in EU specifications for E 1520.
### 3.1.3. Manufacturing process
According to industry, propane-1,2-diol is made from propylene oxide by reaction with water. The resulting mixture consisting of mono-, di- and tri-glycols is distilled to obtain purified propane-1,2-diol. The product is in accordance with the requirements for the European Pharmacopoeia for use as a pharmaceutical excipient, and for use in food, feed and personal care applications. The production process does not utilise catalysts or solvents and the final product does not contain any additive (e.g. stabilisers, antioxidants) (CEFIC, 2012 (Documentation provided to EFSA n. 2)).
Holtbruegge et al. (2015) proposed an optimisation of the production method of high purity propane-1,2-diol, patented by Buchanan et al. (2002), which is intended for various uses, including the use as a food additive. After a transesterification of propylene carbonate with methanol, where sodium methoxide is used as a catalyst, a membrane-assisted reactive separation process is proposed. According to this method, propane-1,2-diol is collected together with non-reacted propylene carbonate and subsequently the two solvents are separated via distillation.
In the literature other methods for manufacturing of propane-1,2-diol are reported or proposed, based on
- a liquid-phase high pressure reaction (600 atmospheres) of synthetic gas in the presence of a rhodium cluster complex (ASTDR, 1997),
- an hydrogenolysis of glycerol by using various catalysts like: copper, nickel or noble metals (Bozga et al., 2011), highly active copper/magnesia (magnesium oxide) catalysts (Pudi et al., 2015) or a copper/zinc/magnesia catalyst (Mondal et al., 2017), chromium oxide, or ruthenium or platinum/tungsten catalysts (Kutz et al., 2017),
- via fermentation of deoxy sugars (i.e. rhamnose) or other substrates by using *Clostridia*, *Enterobacteriaceae* or yeasts (Tanaka et al., 2017; Kutz et al. (2017)).
The Panel noted that none of these methods is suitable for the production of the food additive E 1520, without further purification steps, as they yield propane-1,2-diol having a lower purity than required in the EU specifications for E 1520.
### 3.1.4. Methods of analysis in food
An analytical enzymatic method for the determination of propane-1,2-diol in commercial food is available (Hamano et al., 1984). The method is based on the extraction of propane-1,2-diol from the
food with deionised water followed by its oxidation by propylene glycol dehydrogenase from *Microcyclos eburneus*. During this step, oxidised nicotinamide adenine dinucleotide (NAD⁺) is reduced to NADH and the absorbance of the solution is measured at 340 nm. Recoveries ranged from 85% up to 99%. The limit of detection (LOD) was equal to 2 mg/kg.
A gas chromatographic method with flame ionisation detection method is also available for the determination of propane-1,2-diol in beer, after extraction with ethyl acetate. The recovery rate of the method was reported to be 88% and the LOD 0.73 mg/L (Williamson and Iverson, 1993).
Tandem mass spectrometry method has been used for identification of propane-1,2-diol in fish. The sample was homogenised with methanol. No performance criteria of the method were given (Matusik et al., 1993).
A titrimetric analytical method for the determination of propane-1,2-diol in vanilla extract was also described (AOAC, 2000). This method is only applicable when the vanilla extract contains high amounts of the food additive.
Sagadykova et al. (2017) described a method for the determination of propane-1,2-diol in wines using gas chromatography–mass spectrometry (GC/MS). According to this method, a solid-phase microextraction of the semi-volatile constituents of wine prior to the final injection to the GC–MS apparatus is applied. A standard addition is used to skip the estimation of recovery rates and the LOD is 2 mg/L. A similar approach for the determination of propane-1,2-diol in cheese was proposed by Badertscher et al. (2017) where an esterification with phenyl boronic acid preceded the injection into GC–MS. The LOD in this case was reported to be below 1 mg/kg.
A high-performance liquid chromatography (HPLC) method for the determination of propane-1,2-diol in spirits was proposed by Tanaka et al. (2017). In this case, the Cu(II) ions of the mobile phase enable the determination of the substance via an UV-detector (at 250 nm) with a LOD of 0.1 mL/L.
### 3.1.5. Stability of the substance, and reaction and fate in food
According to the information provided by industry, propane-1,2-diol is hygroscopic and sensitive to sunlight, air, oxidising agents, acids, bases and high temperatures. Partial oxidation in the presence of oxygen may lead to the formation of aldehydes, ketones, acids and dioxolanes. When stored outside in transparent plastic containers, the rate of degradation increases with temperature, the presence of metals and/or exposure to sun (UV) light. It has been shown that no aldehydes, ketones, acids and dioxolanes were formed from propane-1,2-diol in a stability test over 2 years when kept out of sunlight and kept at a temperature not exceeding 40°C (CEIFIC, 2012 (Documentation provided to EFSA n. 2)). Hence, according to industry, it is generally recommended to store the product in approved, closed containers at temperatures not exceeding 40°C.
According to industry (CEIFIC, 2012 (Documentation provided to EFSA n. 2)), the stability of propane-1,2-diol as such is representative for the stability of the substance in food because there is no interaction of the substance with food components.
The Panel noted that, as propane-1,2-diol may be used in a variety of food, which can also be heat-treated and/or stored in daylight, it is expected that the substance partially degrades.
### 3.2. Authorised uses and use levels
Propane-1,2-diol (E 1520) is not authorised to be added directly to food according to Annex II to Regulation (EC) No 1333/2008 on food additives. Maximum levels of propane-1,2-diol (E 1520) in final foods (via carry-over from food improving agents or nutrients) have been defined only in Annex III to Regulation (EC) No 1333/2008 on food additives, as amended.
According to Annex III, Part 1 of Regulation (EC) No 1333/2008, propane-1,2-diol (E 1520) is authorised as a carrier in food additives (colours, emulsifiers and anti-oxidants), with a maximum level of 1,000 mg/kg in final food. It is also authorised from all sources in foodstuffs up to 3,000 mg/kg (individually or in combination with triethyl citrate (E 1505), glyceryl diacetate (E 1517) and glyceryl triacetate (E 1518)); in the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 is 1,000 mg/L from all sources.
According to Annex III, Part 3, propane-1,2-diol (E 1520) is authorised as a food additive, only as a carrier, in food enzymes, at the maximum level of 500 g/kg in enzyme preparation and with a maximum level from all sources in foodstuffs of 3,000 mg/kg (individually or in combination with E 1505, E 1517 and E 1518). In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 is 1,000 mg/L from all sources.
In addition, according to Annex III, Part 4, propane-1,2-diol (E 1520) is authorised in all flavourings individually or in combination with E 1505, E 1517 and E 1518 at the maximum level of 3,000 mg/kg from all sources in foodstuffs as consumed, or as reconstituted according to the instructions of the manufacturers. In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 is 1,000 mg/L from all sources.
In addition, according to Annex III, Part 5, Section A of Regulation (EC) No 1333/2008, propane-1,2-diol (E 1520) is authorised as a carrier only, in all nutrients (except nutrients intended to be used in foodstuffs for infants and young children listed in point 13.1 of Part E of Annex II) at maximum level of 1,000 mg/kg in final food and with a maximum level for E 1518 and E 1520 from all sources in foodstuffs of 3,000 mg/kg (individually or in combination with E 1505 and E 1517). In the case of beverages, with the exception of cream liqueurs, the maximum level of E 1520 is 1,000 mg/L from all sources.
### 3.3. Exposure data
#### 3.3.1. Reported use levels or data on analytical levels of propane-1,2-diol
Most food additives in the EU are authorised at a specific maximum permitted level (MPL). However, a food additive may be used at a lower level than the MPL. Therefore, information on actual use levels is required for performing a more realistic exposure assessment.
In the framework of Regulation (EC) No 1333/2008 on food additives and of Commission Regulation (EU) No 257/2010 regarding the re-evaluation of approved food additives, EFSA issued a public call\(^{12}\) for occurrence data (usage level and/or concentration data) on propane-1,2-diol (E 1520). In response to this call, occurrence data on propane-1,2-diol (E 1520) were submitted to EFSA by both industry and Member States.
**Summarised data on reported use levels in foods provided by industry**
Industry provided EFSA with data on use levels \((n = 548)\) of propane-1,2-diol (E 1520) in foods for 22 food categories. The provided use levels were submitted by FoodDrinkEurope (FDE), the International Chewing Gum Association (ICGA), Specialised Nutrition Europe (SNE), KRÜGER GmbH & Co and Spanish Association of Postharvest Services and Processes (AGRUPOST). The majority of the submitted data \((n = 521)\) were for the food category ‘Edible ices’ (FC 03).
The Panel noted that two use levels referred to niche products. These products belonged to the food categories ‘Decorations, coatings and fillings’ (FC 05.4) and ‘Dietary foods for special medical purposes’ (FC 13.2). These use level were not considered in the exposure assessment. For FC 05.4, a use level referring to a widely used product was available, whereas FC 13.2 was not included in the exposure assessment (see Section 3.3.3).
The Panel considered that the reported use levels refer to the level of propane-1,2-diol (E 1520) in final food from all sources in foodstuffs (as a carrier from food additives, enzymes, flavouring and all nutrients).
Appendix A provides data on the use levels of propane-1,2-diol (E 1520) in foods as reported by industry.
**Summarised data on analytical results in food submitted by Member States**
In total, 162 analytical results were reported to EFSA by four countries: the Czech Republic \((n = 7)\), Germany \((n = 72)\), Denmark \((n = 73)\) and Ireland \((n = 10)\). These data were mainly for flavourings or essence and pastries and cakes covering four food categories. Foods were sampled between 2000 and 2016, and the majority of them (98%) were analysed the year that they were collected.
Around half of the analytical results on propane-1,2-diol (E 1520) were left-censored: either not quantified (< limit of quantification (LOQ)) in 62 samples, or not detected (< LOD) in 25 samples.
Complete information on the methods of analysis (e.g. validation) was not made available to EFSA, but all samples were derived from accredited laboratories.
The Panel noted that eight analytical results were obtained via suspect sampling and were therefore excluded from the exposure assessment.
In order to include recent analytical data in the exposure assessment, only samples sampled in the last 10 years were included. Samples collected before 2008 \((n = 39)\) were therefore also excluded from further analysis.
---
\(^{12}\) [http://www.efsa.europa.eu/sites/default/files/consultation/151012.pdf](http://www.efsa.europa.eu/sites/default/files/consultation/151012.pdf)
Overall, 115 analytical results were reported for propane-1,2-diol (E 1520) in four food categories and in flavourings.
Appendix B shows the analytical results of propane-1,2-diol (E 1520) in foods as reported by Member States.
The Panel noted that the analytical data reported by Member States showed the presence of propane-1,2-diol in three food categories for which no uses have been reported by the food manufacturers out of the four food categories for which data were reported. This may relate to the fact that E 1520 is not directly added to the food by the manufacturers, but carried over via uses of food ingredients, such as some food additives, food flavourings, enzymes and nutrients.
3.3.2. Summarised data extracted from the Mintel’s Global New Products Database
The Mintel’s GNPD is an online database that monitors new introductions of packaged goods in the market worldwide. It contains information of over 2.5 million food and beverage products of which more than 900,000 are or have been available on the European food market. The Mintel’s GNPD started covering EU’s food markets in 1996; currently, it contains data from 20 out of its 28 Member-States and Norway.\(^{13}\)
For the purpose of this Scientific Opinion, the Mintel’s GNPD\(^{14}\) was used for checking the labelling of food and beverage products and food supplements for propane-1,2-diol (E 1520) within the EU’s food market as the database contains the compulsory ingredient information on the label.
As mentioned before, propane-1,2-diol (E 1520) is authorised according to Annex III in some food additives, food flavourings, enzymes and nutrients and it is then carried over to the final food. According to legislation, the labelling of food additives used as such is not mandatory. Despite this, propane-1,2-diol (E 1520) was labelled on 278 products between January 2013 and January 2018 (456 products on any date) according to the Mintel’s GNPD.
The products labelled with the food additive were mainly cakes, pastries and sweet goods, and baking ingredients and mixes.
Appendix C lists the percentage of the food products labelled with propane-1,2-diol (E 1520) out of the total number of food products per food sub-category according to the Mintel’s GNPD food classification. The percentages ranged from less than 0.1% in many food sub-categories to 1.2% in the Mintel’s GNPD food subcategory ‘Frozen desserts’. The average percentage of foods labelled to contain propane-1,2-diol (E 1520) was 0.1%. However, since the labelling of propane-1,2-diol (E 1520) is not mandatory, the information about the use of this food additive from the Mintel’s GNPD is very likely not exhaustive. However, the data received from industry seem to be in agreement with the foods labelled with propane-1,2-diol (E 1520) according to the Mintel’s GNPD.
3.3.3. Food consumption data used for exposure assessment
EFSA Comprehensive European Food Consumption Database
Since 2010, the EFSA Comprehensive European Food Consumption Database (Comprehensive Database) has been populated with national data on food consumption at a detailed level. Competent authorities in the European countries provide EFSA with data on the level of food consumption by the individual consumer from the most recent national dietary survey in their country (cf. Guidance of EFSA on the ‘Use of the EFSA Comprehensive European Food Consumption Database in Exposure Assessment’ (EFSA, 2011a). Consumption surveys added in the Comprehensive database in 2015 were also taken into account in this assessment.\(^{15}\)
The food consumption data gathered by EFSA were collected by different methodologies and thus direct country-to-country comparisons should be interpreted with caution. Depending on the food category and the level of detail used for exposure calculations, uncertainties could be introduced owing to possible subjects’ underreporting, and/or misreporting of the consumption amounts. Nevertheless, the EFSA Comprehensive Database includes the currently best available food consumption data across Europe.
Food consumption data from the following population groups were used for the exposure assessment: infants, toddlers, children, adolescents, adults, and the elderly. For the present assessment, food consumption data were available from 33 dietary surveys carried out in 19 European countries (Table 3).
\(^{13}\) Missing Bulgaria, Cyprus, Estonia, Latvia, Lithuania, Luxembourg, Malta and Slovenia.
\(^{14}\) [http://www.gnpd.com/sinatra/home/](http://www.gnpd.com/sinatra/home/) accessed on 10/01/2018
\(^{15}\) Available online: [http://www.efsa.europa.eu/en/datexfoodcdb/datexfooddb.htm](http://www.efsa.europa.eu/en/datexfoodcdb/datexfooddb.htm)
### Table 3: Population groups considered for the exposure estimates of propane-1,2-diol (E 1520)
| Population | Age range | Countries with food consumption surveys covering more than 1 day |
|------------------|---------------------------------------------------------------------------|------------------------------------------------------------------|
| Infants | From more than 12 weeks up to and including 11 months of age | Bulgaria, Denmark, Finland, Germany, Italy, UK |
| Toddlers\(^{(a)}\) | From 12 months up to and including 35 months of age | Belgium, Bulgaria, Denmark, Finland, Germany, Italy, Netherlands, Spain, UK |
| Children\(^{(b)}\) | From 36 months up to and including 9 years of age | Austria, Belgium, Bulgaria, Czech Republic, Denmark, Finland, France, Germany, Greece, Italy, Latvia, Netherlands, Spain, Sweden, UK |
| Adolescents | From 10 years up to and including 17 years of age | Austria, Belgium, Cyprus, Czech Republic, Denmark, Finland, France, Germany, Italy, Latvia, Netherlands, Spain, Sweden, UK |
| Adults | From 18 years up to and including 64 years of age | Austria, Belgium, Czech Republic, Denmark, Finland, France, Germany, Hungary, Ireland, Italy, Latvia, Netherlands, Romania, Spain, Sweden, UK |
| The elderly\(^{(b)}\) | From 65 years of age and older | Austria, Belgium, Denmark, Finland, France, Germany, Hungary, Ireland, Italy, Romania, Netherlands, Sweden, UK |
\(^{(a)}\): The term ‘toddlers’ in the EFSA Comprehensive Database corresponds to ‘young children’ in Regulations (EC) No 1333/2008 and (EU) No 609/2013.
\(^{(b)}\): The terms ‘children’ and ‘the elderly’ correspond, respectively, to ‘other children’ and the merge of ‘elderly’ and ‘very elderly’ in the Guidance of EFSA on the ‘Use of the EFSA Comprehensive European Food Consumption Database in Exposure Assessment’ (EFSA, 2011a).
Consumption records were codified according to the FoodEx classification system (EFSA, 2011b). Nomenclature from the FoodEx classification system has been linked to the food categorisation system (FCS) as presented in Annex II of Regulation (EC) No 1333/2008, part D to perform exposure estimates. In practice, the FoodEx food codes were matched to the FCS food categories.
### Food categories considered for the exposure assessment of propane-1,2-diol (E 1520)
As described in Section 3.2, propane-1,2-diol (E 1520) is not authorised to be added directly into foods (no authorisation according to Annex II to Regulation No 1333/2008). Propane-1,2-diol (E 1520) is only authorised in some food additives (colours, emulsifiers and antioxidants) or enzymes, flavourings and nutrients. As a result of this authorisation, the majority of foods and beverages, within a diet could contain propane-1,2-diol (E 1520) via carry over. However, the available data received suggested that only a few products out of the whole number of products on the European market contained propane-1,2-diol (E 1520).
A *regulatory maximum level* exposure assessment scenario could be calculated by attributing to all foods and cream liqueurs the MPL of 3,000 mg/kg and to beverages, except cream liqueurs, the MPL of 1,000 mg/kg. However, this scenario would be very uncertain and would result in an unrealistically high estimate of the exposure. Thus, the Panel considered that a regulatory maximum level exposure assessment scenario would not provide useful information about the exposure to propane-1,2-diol (E 1520) and decided to perform only a refined exposure assessment scenario.
In the refined exposure assessment scenario, only food categories for which data were made available to EFSA (either from industry or from Member States), and for which consumption data were available were included in the exposure assessment. The food categories, which were taken into account, are described below (in ascending order of the FCS codes):
- 01.7.1 Unripened cheese excluding products falling in category 16,
- 01.8 Dairy analogues, including beverages whiteners,
- 03 Edible ices,
- 04.1 Unprocessed fruits and vegetables,\(^{16}\)
- 04.2.6 Processed potato products,
- 05.1 Cocoa and chocolate products as covered by Directive 2000/36/EC,
- 05.2 Other confectionary including breath freshening microsweets,
- 05.3 Chewing gum,
\(^{16}\) Information provided by industry: It is part of a food coating formulation. Fresh fruits and vegetables taken into account are: citrus (all citrus fruits were included), apple, pears, melon, peach, pineapple, pomegranate, mango, avocado, berries, papaya, potato.
• 05.4 Decorations, coatings and fillings, except fruit-based fillings covered by category 4.2.4,
• 07.2 Fine bakery wares,
• 12.2.2 Seasonings and condiments,
• 12.5 Soups and broths,
• 12.6 Sauces,
• 14.1.4 Flavoured drinks,
• 22.214.171.124 Coffee, coffee and chicory extracts, tea, herbal- and fruit-infusions; coffee substitutes, coffee mixes and mixes for ‘hot beverages’, Other than coffee, coffee extracts
• 14.2.2 Wine and other products defined by Reg (EC) No 1234/2007, and alcohol-free counterparts,
• 14.2.6 Spirits drinks as defined in Reg (EC) No 110/2008, except cream liqueurs,
• 14.2.6 Spirits drinks as defined in Reg (EC) No 110/2008, only cream liqueurs,
• 15.1 Potato-, cereal-, flour- or starch-based snacks,
• 16 Desserts,
• 17.1 Food supplements supplied in a solid form including capsules and tablets and similar forms, excluding chewable forms,
• 17.3 Food supplements supplied in a syrup-type or chewable form.
For three food categories, use levels were provided by industry but could not be taken into account in the exposure assessment: FC 01.7.6 Cheese products, FC 13.2 Dietary foods for special medical purposes, and FC 18 processed foods not covered by categories 1 to 17. For FC 01.7.6, no consumption data were available in the EFSA Comprehensive database. The eating occasions belonging to FCs 13.2 (and 13.3) and 18 have been reclassified under food categories in accordance to their main ingredient, as food items belonging to these food categories may be very diverse and, in addition, for FCs 13.2 and 13.3, there is very limited information on their consumption. The reported use levels of E 1520 for FCs 13.2 and 18 (Appendix A) were not considered in the exposure assessment.
Additionally, industry provided use levels for FCs 17.1 and 17.3: food supplements in solid, syrup-type or chewable form. In the EFSA Comprehensive database, no information is provided on the form of food supplements ingested. In the exposure assessment, all food supplements (including FC 17.2, food supplements in liquid form) were therefore considered together.
The Panel noted that analytical data were provided on both artificial and natural flavourings (Appendix B). To take these data into account in an exposure assessment, information on the levels of these flavourings in each flavoured food as well as a list of flavoured foods would be needed. As this information was not available, conservative assumptions would be needed to include these flavourings in the exposure assessment, which would result in unrealistically high estimates of exposure. The Panel decided therefore not to use these data in the current exposure assessment of propane-1,2-diol (E 1520). However, the Panel considered that the reported use levels and the available analytical data on propane-1,2-diol (E 1520), included its use in flavouring preparations.
For the refined scenario, 20 food categories were taken into account. The exposure to propane-1,2-diol (E 1520) via the ingestion of food supplements was assessed via a separate exposure scenario and included the same food categories as the refined scenario as well as the three food supplement food categories (Appendix B).
### 3.4. Exposure estimates
#### 3.4.1. Exposure to propane-1,2-diol (E 1520) from its use as a food additive
The Panel estimated the chronic dietary exposure to propane-1,2-diol (E 1520) for the following population groups: infants, toddlers, children, adolescents, adults and the elderly. Dietary exposure to propane-1,2-diol (E 1520) was calculated by multiplying concentrations of propane-1,2-diol (E 1520) per food category (Appendix D) with their respective consumption amount per kilogram body weight for each individual in the Comprehensive Database. The exposure per food category was subsequently added to derive an individual total exposure per day. These exposure estimates were averaged over the number of survey days, resulting in an individual average exposure per day for the survey period. Dietary surveys with only one day per subject were excluded as they were considered as not adequate to assess repeated exposure.
This was carried out for all individuals per survey and per population group, resulting in distributions of individual exposure per survey and population group (Table 3). Based on these distributions, the
mean and the 95th percentile of exposure were calculated per survey and per population group. The 95th percentile of exposure was only calculated for those population groups with a sufficiently large sample size (EFSA, 2011a). Therefore, in the present assessment, the 95th percentile of exposure for infants from Italy and for toddlers from Belgium, Italy and Spain was not estimated.
As described above, a regulatory exposure scenario was not estimated in the current opinion. Thus, solely a refined exposure assessment scenario to propane-1,2-diol (E 1520) was carried out by the Panel based on reported use levels and analytical data. This scenario does not consider the consumption of food supplements. This source of exposure was covered in an additional scenario (food supplements consumers only scenario).
**Refined exposure assessment scenario**
The refined exposure assessment scenario of propane-1,2-diol (E 1520) was based on use levels reported by food industry and analytical results reported by Member States. This exposure scenario can consider only food categories for which these data were available to the Panel.
Appendix D summarises the concentration levels of propane-1,2-diol (E 1520) used in the refined exposure assessment scenario. Based on the available data set, the Panel calculated two refined exposure estimates based on two model populations:
- The brand-loyal consumer scenario: It was assumed that a consumer is exposed long-term to propane-1,2-diol (E 1520) present at the maximum reported use/P95 of analytical level for one food category. This exposure estimate is calculated as follows:
- Combining food consumption with the maximum of the reported use levels or the 95th percentile of the analytical results, whichever was highest or available, for the main contributing food category at the individual level.
- Using the mean of the typical reported use levels or the mean of analytical results, whichever was highest or available, for the remaining food categories.
- The non-brand-loyal consumer scenario: It was assumed that a consumer is exposed long-term to propane-1,2-diol (E 1520) present at the mean reported use/analytical levels in food. This exposure estimate is calculated using the mean of the typical reported use levels or the mean of analytical results for all food categories.
In the two refined exposure assessment scenarios, the concentration levels considered by the Panel were extracted from the whole dataset (i.e. reported use levels and analytical results). To consider left-censored analytical data (i.e. analytical results < LOD or < LOQ), the substitution method as recommended in the ‘Principles and Methods for the Risk Assessment of Chemicals in Food’ (WHO, 2009) and the EFSA scientific report ‘Management of left-censored data in dietary exposure assessment of chemical substances’ (EFSA, 2010) was used. In the present opinion, analytical data below LOD or LOQ were assigned half of LOD or LOQ, respectively (middle bound (MB)). Subsequently, per food category, the mean or median, whichever is highest, MB concentration was calculated.
Appendix D summarised the concentration levels of propane-1,2-diol (E 1520) used in the refined exposure scenarios.
**Food supplement consumers only exposure assessment scenario**
Use levels for propane-1,2-diol (E 1520) were reported by food industry for FC 17: Food supplements as defined in Directive 2002/46/EC excluding food supplements for infants and young children. As exposure via food supplements may deviate largely from that via food, and the number of food supplement consumers may be low depending on populations and surveys, an extra exposure scenario was calculated in order to reflect additional exposure to propane-1,2-diol (E 1520) from food supplements compared to exposure to propane-1,2-diol (E 1520) excluding these sources. This scenario was estimated assuming that consumers of food supplements were exposed to propane-1,2-diol (E 1520) present at the maximum reported use levels in food supplements on a daily basis. For the remaining food categories (20 categories), the mean/median of the typical reported use levels or analytical results was used.
As FC 17 does not consider food supplements for infants and toddlers as defined in the legislation, exposure to propane-1,2-diol (E 1520) from food supplements were not estimated for these two population groups.
This scenario included 23 food categories (Appendix D).
Dietary exposure to propane-1,2-diol (E 1520)
Table 4 summarises the estimated exposure to propane-1,2-diol (E 1520) from its use as a food additive in six population groups (Table 3), according to the different exposure scenarios. Detailed results per population group and survey are presented in Appendix E.
**Table 4:** Summary of dietary exposure to propane-1,2-diol (E 1520) from its use as a food additive in the refined exposure scenario in six population groups (minimum–maximum across the dietary surveys in mg/kg bw per day)
| | Infants (12 weeks - 11 months) | Toddlers (12 - 35 months) | Children (3 - 9 years) | Adolescents (10 - 17 years) | Adults (18 - 64 years) | The elderly (≥ 65 years) |
|--------------------------------|--------------------------------|---------------------------|------------------------|-----------------------------|-----------------------|-------------------------|
| **Refined estimated exposure assessment scenario** | | | | | | |
| **Brand-loyal scenario** | | | | | | |
| Mean | 0.2 - 3.1 | 1.0 - 11.6 | 3.4 - 10.5 | 1.8 - 7.0 | 1.0 - 3.6 | 0.8 - 3.0 |
| 95th percentile | 0.4 - 12.4 | 3.3 - 21.8 | 7.7 - 23.3 | 4.4 - 15.2 | 2.9 - 9.5 | 2.0 - 7.3 |
| **Non-brand-loyal scenario** | | | | | | |
| Mean | 0.1 - 1.5 | 0.4 - 8.4 | 1.8 - 7.8 | 1.3 - 5.3 | 0.7 - 2.4 | 0.5 - 1.2 |
| 95th percentile | 0.3 - 5.7 | 1.2 - 16.4 | 5.4 - 15.3 | 3.8 - 10.7 | 1.8 - 6.6 | 1.3 - 2.9 |
In the *brand-loyal scenario* of the *refined estimated exposure scenario*, the mean exposure to propane-1,2-diol (E 1520) from its use as a food additive ranged from 0.2 mg/kg bw per day in infants to 1.16 mg/kg bw per day in toddlers. The high exposure to propane-1,2-diol (E 1520) ranged from 0.4 mg/kg bw per day in infants to 23.3 mg/kg bw per day in children.
In the *non-brand-loyal scenario*, mean exposure to propane-1,2-diol (E 1520) from its use as a food additive ranged from 0.1 mg/kg bw per day in infants to 8.4 mg/kg bw per day in toddlers. The 95th percentile of exposure to propane-1,2-diol (E 1520) ranged from 0.3 mg/kg bw per day in infants to 16.4 mg/kg bw per day in toddlers.
The main contributing food categories from the *refined estimated exposure scenarios*, both *brand-loyal* and *non-brand-loyal scenario* were unprocessed fruit and vegetables and fine bakery wares for infants; for all the other population groups, main contributing food categories were fine bakery wares and flavoured drinks (Appendix F).
In the *food supplements consumers only scenario*, mean exposure to propane-1,2-diol (E 1520) from its use as a food additive ranged from 0.7 mg/kg bw per day for the elderly to 10.9 mg/kg bw per day for children. The 95th percentile of exposure to propane-1,2-diol (E 1520) ranged between 1.7 mg/kg bw per day for the elderly to 14.2 mg/kg bw per day for children.
Uncertainty analysis
Uncertainties in the exposure assessment of propane-1,2-diol (E 1520) have been discussed above. In accordance with the guidance provided in the EFSA opinion related to uncertainties in dietary exposure assessment (EFSA, 2007), the following sources of uncertainties have been considered and summarised in Table 5.
**Table 5:** Qualitative evaluation of influence of uncertainties on the dietary exposure estimate
| Sources of uncertainties | Direction(a) |
|------------------------------------------------------------------------------------------|--------------|
| Consumption data: different methodologies/representativeness/underreporting/misreporting/no portion size standard | +/- |
| Use of data from food consumption surveys covering only a few days to estimate high percentiles (95th) long-term (chronic) exposure | + |
| Correspondence of reported use levels and analytical data to the food items in the EFSA Comprehensive Database: uncertainties to which types of food the levels refer | +/- |
| Uncertainty in possible national differences in use levels of food categories | +/- |
| Concentration data: | |
| • use levels considered applicable to all foods within the entire food category | + |
| • analytical data not fully representative of foods on the EU market (coming from 4 MSs) | +/- |
| • reliability of the data set | – |
### Sources of uncertainties
| Sources of uncertainties | Direction\(^{(a)}\) |
|------------------------------------------------------------------------------------------|---------------------|
| Food categories selected for the exposure assessment: | |
| - exclusion of food categories due to missing FoodEx linkage (n = 3) | – |
| - 20 food categories taken into account in the refined exposure assessment scenario | +/- |
| Refined exposure assessment scenario: | |
| - 3 FCs with levels coming from analytical data: use of middle-bound (MB) LOD/LOQ values | +/- |
| for left-censored data | |
| - exposure calculations based on the maximum or mean levels (reported use from industries or analytical data) | +/- |
MS: Member State; FC: food category; LOD: limit of detection; LOQ: limit of quantification.
(a): +, uncertainty with potential to cause overestimation of exposure; -, uncertainty with potential to cause underestimation of exposure.
Propane-1,2-diol (E 1520) is only authorised as carrier according to Annex III to Regulation No 1333/2008, and therefore has the potential to be present in the majority of the food and beverage products.
Use levels of the food additive were made available by industry for 22 food categories. Member States provided analytical data on four food categories and flavourings.
The Panel noted that according to the Mintel’s GNPD, propane-1,2-diol (E 1520) was labelled in less than 300 food products in the last 5 years. For five food subcategories that included foods that were labelled with propane-1,2-diol (E 1520) according to the Mintel’s classification (Appendix C), no data (reported use levels or analytical data) were provided to EFSA and these food categories were therefore not taken into account in the exposure assessment (Cider, Bread & Bread Products, Poultry Products, Spoonable Yogurt and Fish Products). However, the number of foods labelled with the food additive within these food sub-categories was very small: maximally 5 (Appendix C). On the other hand, some foods for which data were provided were not found to be labelled in the Mintel’s GNPD (cheese products). Furthermore, the percentage of foods per food sub-category labelled to contain propane-1,2-diol (E 1520) was maximally 1.2% (Appendix C), as opposed to the assumption of 100% labelled of the foods belonging to an authorised food category in the exposure assessment. Given that propane-1,2-diol (E 1520) is authorised only according to Annex II and industry is not obliged to label the additive, information from the Mintel’s GNPD is uncertain.
It should also be noted that the use of MB LOD/LOQ values (half of LOD or LOQ) in the exposure assessment (Section 3.3.1.) may have resulted in either an overestimation, where propane-1,2-diol (E 1520) was not present, or underestimation, where the concentration was between the MB and LOQ/LOD value, but the analytical method was not able to detect or quantify it. The Panel however estimated that the possible under/overestimation would have been minor as only for three food categories, analytical data were used in the refined exposure assessment scenario.
The Panel considered that based on the data that could be used in the refined exposure assessment scenario (food categories for which information was available) the uncertainties identified would result in an overestimation of the exposure to propane-1,2-diol (E 1520) from its use as a food additive, according to Annex III, in European countries considered in the EFSA European database.
#### 3.4.2. Exposure via other sources
Propane-1,2-diol is also used in cosmetic products. Propane-1,2-diol is used as humectant, solvent and preservative in a wide range of medicinal products (EMA, 2014a).
*Lactobacillus parabuchneri*, one of the most frequent representatives of lactobacilli present in cheese, and the closely related *Lactobacillus buchneri* were found to be produced propane-1,2-diol in cheese (Badertscher et al., 2017).
Quantification of exposure via these sources was not precisely known and therefore could not be taken into account in this opinion.
The Panel noted that propane-1,2-diol could be formed from metabolism of other food additives (e.g. E 405, E 477). In this opinion, a combined exposure assessment was not performed.
3.5. Biological and Toxicological data
Even though it was not specifically indicated, the Panel considered that the propane-1,2-diol tested in the biological and toxicological studies considered for this opinion would appear to be in the racemic form.
3.5.1. Absorption, distribution, metabolism and excretion
Animals
Rats
The absorption of propane-1,2-diol was investigated by injection of 10 mL/kg bw of a 10% propane-1,2-diol solution (1,031 mg/kg bw) into intestinal loops (15 cm long), the stomach and the colon, in several animal species (van Winkle, 1941a). A total number of 72 rats, 16 rabbits and 48 cats were used for the experiments. Absorption of propane-1,2-diol was reported to be identical in rabbits and cats showing a very rapid absorption within 30 min from jejunum followed by duodenum, colon, and stomach. Propane-1,2-diol was reported to be absorbed more rapidly in rats where a complete absorption from the jejunum occurred within 20–30 min, whereas in rabbits and cats the absorption from jejunum was 91% after 1 h. In cats, absorption of propane-1,2-diol from the jejunum was found to be dose-dependent (after injection of a 5%, 10%, 50% or 100% solution). At the lowest dose (5%), 66.4% propane-1,2-diol was absorbed, whereas 49.4% was absorbed at the highest dose (100%). After 1 h, similar absorption levels for propane-1,2-diol (88.2–95.2%) were noted at all doses.
In the same publication, the renal excretion of propane-1,2-diol was described in rats. For this investigation, groups of five rats were given 5%, 10%, 15% or 20% propane-1,2-diol in the drinking water for 1 week (equivalent to 6,216, 12,432, 18,648 or 24,864 mg propane-1,2-diol/kg bw per day); thereafter, the propane-1,2-diol solutions were replaced by water (van Winkle, 1941a). After a normal fluid balance was obtained, the propane-1,2-diol treatment was repeated. Measurement of the propylene concentration in the urine showed that, regardless of the concentration of propane-1,2-diol in the drinking water, about one-third of the amount ingested was excreted unchanged in the urine; the remaining two-thirds were, according to the authors, metabolised in the body.
The kinetics of propane-1,2-diol elimination and metabolism *in vivo* have been investigated in rats (Morshed et al., 1988). Male Wistar rats (6 animals/group) were given a single oral dose of propane-1,2-diol administered as an aqueous solution at concentrations of 4.83, 9.66, 19.32, 38.64 and 77.28 mmol/kg bw. The time required to reach the maximum concentration of propane-1,2-diol in blood was linearly related to the dose (10, 20, 30, 60 and 90 min, respectively). The rate of elimination of propane-1,2-diol from the blood was found to be a first-order process. The plot of the observed elimination velocity vs the propane-1,2-diol doses indicated that the elimination of propane-1,2-diol from the body was saturated at the higher dose levels. Likewise, a linear increase in the urinary excretion of propane-1,2-diol was observed for increasing doses (24-h urine samples) with only 1/5 of the administered dose of propane-1,2-diol being excreted within the 24-h period. According to the authors, the maximal metabolising capacity in rats of 0.63 g/kg bw per hour was equivalent to 1.06 kg/day for an average 70-kg human.
Rabbits
Rabbits (2 animals) showed increased excretion of glucuronic acid in the urine (22% and 100%, respectively, at 48 h after dosing) following administration of a single dose of 2.3 mL propane-1,2-diol/kg bw (2,383 mg/kg bw) by oral gavage, indicating, according to the authors, that propane-1,2-diol was conjugated to glucuronic acid and that the conjugate was excreted in the urine (Fellows et al., 1947).
The blood concentration of propane-1,2-diol in New Zealand White rabbits (four animals) reached its maximum level 1 h after administration by gavage of 28.4% propane-1,2-diol (38.66 mmol/kg bw, equal to 2,942 mg) as an aqueous solution (Morshed et al., 1991a).
Cats
Plasma levels of propane-1,2-diol were determined in two cats fed a 12% propane-1,2-diol diet (equal to 1,600 mg/kg bw per day) (Christopher et al., 1989a). Plasma levels of propane-1,2-diol at 19.1 and 8.4 mM/L were reported at day 24 after introduction of the propane-1,2-diol diet.
Dogs
A dose of 2, 8 or 12 mL/kg bw (2,072, 8,288 and 12,432 mg/kg bw) of propane-1,2-diol was administered per dog (Lehman and Newman, 1937). For investigating absorption, the dose was given by stomach tube as a 50% solution (v/v) in warm tap water. The dog dosed with 2,072 mg/kg bw, received the same dose intravenously in addition to the oral dose. The dog dosed with 8,288 mg/kg bw was a second time treated with the same dose, now under pentobarbital anaesthesia. A dose of 6 mL (6,216 mg/kg bw) was given into the *in situ* isolated stomach from an untreated dog. The maximum blood propane-1,2-diol level was observed 30 min after administration of 2 mL/kg bw and 2–4 h after administration of 8 or 12 mL/kg bw. Forty-eight hours after administration, 12% of the total dose was excreted in the urine at 2 mL/kg bw and 39% at 8 mL/kg bw; after administration of 12 mL/kg bw, 36% of the total dose was excreted in the urine after 24 h. As the blood concentration time profile was nearly identical in the dog dosed with 2,072 mg/kg bw orally and intravenously, the author concluded that the absorption was rapid and nearly complete. As the maximum blood concentration in the dog in which a dose of 6,216 mg/kg bw was given into the isolated stomach was at the same level as in the blood of the dog having received 2,072 mg/kg bw, the authors concluded that the absorption by the stomach was low. The Panel agreed with the interpretation of the results.
Plasma levels of propane-1,2-diol were determined in female dogs as a function of time after a single dose of 5,000 mg/kg bw (Weil et al., 1971). Peak values were reached at 6–8 h after dosing and levels at 12 h after dosing were approximately half those at 8 h.
Humans
Absorption of propane-1,2-diol in human was found to be slower than in dog, as illustrated by an experiment in which three human subjects were given a single oral dose of 1 mL propane-1,2-diol/kg bw (1,036 mg/kg bw) (68, –75 mL/subject) (Hanzlik et al., 1939a). The highest concentration of propane-1,2-diol measured in blood was reached after 30 min and persisted for approximately 4 h before they began to decline, indicating, according to the authors, ‘a delayed absorption keeping pace with the elimination of propane-1,2-diol from the body’. Blood concentrations varied considerably between individuals. About 20–25% was eliminated in the urine within 10 h.
The pharmacokinetic profile of the substance was examined in a multiple oral-dosing study by Yu et al. (1985). Propane-1,2-diol was the solvent for the anti-epileptic drug phenytoin given to outpatients of a neurological clinic. With the phenytoin, the patients received 20.7 g propane-1,2-diol three times daily for a minimum of 3 days (n = 16) or 41.4 g propane-1,2-diol twice daily for a period of 3 days (n = 6). Propane-1,2-diol was rapidly absorbed from the gastrointestinal tract with maximum plasma concentrations obtained within 1 h of dosing. The average serum half-life of propane-1,2-diol was calculated to be 3.8 h (20.7 g, 3 times daily) and 4.1 h (41.4 g, 2 times daily), respectively. The average apparent total body clearance was approximately 0.1 L/kg per hour. However, a significant variability in clearance rate among individuals was observed. The apparent volume of distribution was approximately 0.5 L/kg.
In a study with intravenous administration of propane-1,2-diol (doses between 5.1 and 21 g/day) to 6 patients, the mean clearance was 0.41 L/h per kg bw, and the volume of distribution 0.8 L/kg bw (Speth et al., 1987). The difference in apparent clearance and apparent volume of distribution after oral dosing as compared to intravenous dosing might be explained by the bioavailability but also by a saturated excretion.
A population pharmacokinetic analysis of propane-1,2-diol was done on 372 plasma samples taken from infants (1–11 samples per patient) between 20 min and 20.5 h after intravenous administration of a drug: paracetamol (34), phenobarbital (25) and phenobarbital plus paracetamol (3), which was dissolved in propane-1,2-diol (De Cock et al., 2013). Sixty-two preterm and term infants were involved in the study, with a gestational age between 24 and 41 weeks at birth and an age between 1 and 82 days, weighing 630–3,980 g. The population value for the clearance was 0.0849 L/h, which is extremely lower than the value for adults (8.64–23.4 L/h per 1.73 m²; Speth et al., 1987). Variability in clearance was explained by body weight at birth. Volume of distribution was dependent on the current body weight. For example, the volume of distribution of a neonate of 1 kg (0.23–0.40 L) was very different compared with a neonate of 4 kg (1.69–3 L).
In a further analysis of their data, De Cock et al. (2014) found out that renal elimination increased from 15% of total clearance after the first dose to 25% of the total clearance, one day later by an unknown mechanism. Compared to the renal clearance in adults which is 45% of the total clearance renal clearance in newborn infants was low, indicating the not yet fully matured renal function at this age.
The metabolism of propane-1,2-diol has been reviewed by different authors (Ruddick, 1972; LaKind et al., 1999) (Figure 1).
**Pathway 1**
\[
\begin{align*}
\text{Propylene glycol} & \xrightarrow{\text{Lactaldehyde}} \text{Methylglyoxal} \xrightarrow{\text{Lactic acid}}
\end{align*}
\]
**Pathway 2**
\[
\begin{align*}
\text{Propylene glycol phosphate} & \xrightarrow{\text{Acetyl phosphate}} \text{Lactaldehyde phosphate} \xrightarrow{\text{Lactyl phosphate}} \text{Lactic acid}
\end{align*}
\]
**Figure 1:** Metabolism of propane-1,2-diol in mammals (re-produced from Ruddick (1972))
Overall, propane-1,2-diol is readily absorbed from the gastrointestinal tract in experimental animals and in humans and is expected to be widely distributed to organs and tissues. The major route of metabolism is oxidation to lactic acid and pyruvic acid. An alternative route of metabolism of propane-1,2-diol to lactic acid is via phosphorylated glycol. Lactate may be metabolised via the citric acid cycle and excreted as carbon dioxide via exhalation. At high concentrations, free propane-1,2-diol is excreted in the urine as the metabolism of propane-1,2-diol is saturated at dose levels higher than 20,000 mg/day in humans (Yu et al., 1985). The Panel noted that in premature infants and infants in the first weeks of life the clearance of propane-1,2-diol was extremely low (De Cock et al., 2014).
### 3.5.2. Acute toxicity
**Mice**
Groups of 10–20 mice were fasted overnight (18 h before treatment) before administration of a single dose of 20.0, 22.5, 25.0 or 30.0 mL propane-1,2-diol/kg bw by stomach tube (Laug et al., 1939). The LD$_{50}$ value was calculated to be 23.9 mL propane-1,2-diol/kg bw (24,760 mg/kg bw).
Groups of at least four mice received a single oral dose of propane-1,2-diol (six dose levels, not specified) (Latven and Molitor, 1939). The LD$_{50}$ value was calculated to be 22.0 mL propane-1,2-diol/kg bw (22,792 mg/kg bw).
**Rats**
A single dosage of 26,000, 31,200 or 36,400 mg propane-1,2-diol/kg bw was administered orally to groups of rats (5 animals/group) (Weatherby and Haag, 1938). The LD$_{50}$ value was calculated to be 33,500 mg/kg bw.
Groups of 9–10 rats were fasted overnight (18 h before treatment) before administration of a single dose of 15.0, 17.5, 17.6, 18.6, 20.0, 21.4, 22.5, 22.6 or 25.0 mL propane-1,2-diol/kg bw by stomach tube (Laug et al., 1939). The LD$_{50}$ value was calculated to be 21.0 mL propane-1,2-diol/kg bw (21,756 mg/kg bw).
Rats received a single dose of propane-1,2-diol (diluted in water) by stomach tube. In most cases, 10 rats/group were used and the maximal dosage was 50,000 mg propane-1,2-diol/kg bw (Smyth et al., 1941). The LD$_{50}$ value was calculated to be 26,380 mg propane-1,2-diol/kg bw.
Groups of five female rats received a single dose by gavage of 18.2, 27.7, 31.6, 50.4 or 57.2 mL propane-1,2-diol/kg bw (Thomas et al., 1949). The LD$_{50}$ value was reported to be 28 mL propane-1,2-diol/kg bw (29,008 mg/kg bw).
Groups of female F344 rats (5/groups) received a single oral dose of propane-1,2-diol by gavage. The LD$_{50}$ value was reported to be 22,800 mg/kg bw (Clark et al., 1979). Acute haemorrhagic enteritis together with adrenocortical haemorrhage and widespread lymphocyte depletion were observed at 23,500 mg propane-1,2-diol/kg bw.
**Guinea pigs**
Groups of 10 guinea pigs were fasted overnight (18 h before treatment) before administration of a single dose of 15.0, 17.5, 20.0 or 22.5 mL propane-1,2-diol/kg bw by stomach tube (Laug et al., 1939). The LD$_{50}$ value was calculated to be 18.9 mL propane-1,2-diol/kg bw (19,580 mg/kg bw).
A single dose of propane-1,2-diol diluted in water was administered to guinea pigs by stomach tube. In most cases, 10 animals/group were used and the maximal dosage was 50,000 mg propane-1,2-diol/kg bw (Smyth et al., 1941). The LD$_{50}$ value was calculated to be 18,350 mg/kg bw.
**Rabbits**
Groups of rabbits (2–9/group) were dosed with 15,750, 18,900, 19,950 or 21,000 mg propane-1,2-diol/kg bw (Braun and Cartland, 1936). Deaths occurred within 18–36 h post-treatment and the minimum lethal dose (MLD) of propane-1,2-diol was estimated to 20,000 mg propane-1,2-diol/kg bw.
Overall, the acute toxicity for propanediol-1,2-diol was low.
### 3.5.3. Short-term and subchronic toxicity
**Mice**
A group of CD1 mice (10 animals/sex) was given 1,000 mg propane-1,2-diol/kg bw per day dissolved in distilled water by gavage for 92–93 days (Thackaberry et al., 2010). The study was performed in accordance with the OECD guideline No 408 (limit test) and in compliance with good laboratory practice (GLP). The control group was administered by gavage 20 mg/kg bw per day in distilled water of hydroxypropyl methylcellulose. No differences in clinical observations, body weights, food consumption, ophthalmology, electrocardiograms, clinical pathology (blood and urine) or absolute and relative organ weights were found between the propane-1,2-diol group and the control group. No macroscopic or histopathologic changes in any organs (full section) were observed compared to controls.
**Rats**
The effect of continuous administration of propane-1,2-diol in the drinking water was studied by Seidenfeld and Hanzlik (1932). Groups of 5 rats (sex not specified) were given 1%, 2%, 5%, 10%, 25% or 50% solutions of propane-1,2-diol in water for 140 days (equal to 1,600, 3,680, 7,700 or 13,200 mg/kg bw per day for the 1%, 2%, 5% or 10% group, respectively). The majority of rats receiving 25 or 50% propane-1,2-diol died by the end of day 6 or day 9, respectively; the animals showed an average weight loss of 10–20 g/rat and the fluid intake was less than 0.5 mL/rat. No significant changes in growth and body weight were found in animals given 1%, 2%, 5% or 10% propane-1,2-diol solution, and no significant pathological changes in the kidneys, heart, spleen and liver were observed.
In a subchronic toxicity study, a group of six female rats was given a concentration of 3.58% propane-1,2-diol (equivalent to 2,890 mg/kg bw per day) via the drinking water for 11 weeks (Holck, 1937). During the experiment, one rat died (week 10). According to the authors, by the end of the study, a significant weight loss was observed for one rat and the remaining rats were beginning to lose weight.
The toxicity of propane-1,2-diol was studies in white growing rats by administration of the substance in the drinking water (Weatherby and Haag, 1938). Groups of five male rats at weaning age received concentrations of 0%, 0.1%, 0.3%, 1%, 3% or 10% propane-1,2-diol in their drinking water for 100 days. Food and drink were allowed ad libitum. According to the authors, rats receiving 10% propane-1,2-diol in their drinking water consumed from 9,600 to 15,800 mg propane-1,2-diol/kg bw per day. During the first 10 days of the experiment, a decrease in weight gain together with poor physical conditions was observed for rats receiving 10% propane-1,2-diol compared to the other
groups. After this period, the animals seemed to recover and increase in weight in the same way as the control group. Two animals from the 10% propane-1,2-diol group and one animal from the 1% propane-1,2-diol group died before study termination. No different microscopic changes were found in organs for any of the groups receiving propane-1,2-diol when compared to the control group.
In rats (5 animals, sex not specified) given daily 10 mL propane-1,2-diol/kg bw (10,360 mg/kg bw per day) by gavage for 15 weeks, no effect on the growth rate was observed compared to control rats (van Winkle, 1941b).
Hanzlik et al. (1939a) investigated the toxicity of propane-1,2-diol in young growing rats in a continued consumption study and in a paired feeding experiment. In the continued consumption study, rats (5 rats/group) were fed for 24 weeks on a diet where 25%, 50%, 75% or 100% of the carbohydrate in the diet was replaced with propane-1,2-diol. The group fed a carbohydrate-free, 100% propane-1,2-diol-substituted diet showed no weight gain and all rats died within about a month from study initiation. Rats receiving a 75% propane-1,2-diol diet showed significant reduced food intake and impaired growth rate; all rats died within 14 weeks after study initiation. A reduced growth rate and decreased food consumption was observed for groups given diets containing 25% or 50% propane-1,2-diol (equal to 8,288 or 31,200 mg propane-1,2-diol/kg bw per day) though it was most pronounced at the beginning of the study; no mortality occurred within 20 weeks. According to the authors, the reduced initial growth rate observed in groups fed propane-1,2-diol diets may be caused by a distaste of the diet due to the propane-1,2-diol content. To test this hypothesis, a paired feeding experiment was performed where groups of 6 rats were fed a 25% carbohydrate reduced diet for 5 months. During this period, rats were dosed daily by gavage with propane-1,2-diol (equal to 12.8% of total food intake the previous day, or 25% carbohydrate substitution) or water (control). Rats administered propane-1,2-diol increased significantly in body weight compared to controls, which, according to the authors is due to a higher calorie intake from propane-1,2-diol and showed the lack of any toxic effect of propane-1,2-diol.
In a study by van Winkle and Newman (1941), paired-fed rats (5 rats/group) received propane-1,2-diol or water (control) daily by stomach tube for 127–163 days. Rats dosed with propane-1,2-diol were kept on a 25% reduced carbohydrate diet and dosed with a caloric equivalent amount of propane-1,2-diol (total propane-1,2-diol intake ranged from 92.4 to 135.4 mg). Propane-1,2-diol dosed rats were found to grow more rapidly and showed an increased weight gain compared to the controls. In addition, propane-1,2-diol was found to increase the concentration of liver glycogen with 2–7 times (van Winkle and Newman, 1941).
Administration of 5% or 10% propane-1,2-diol (equivalent to 6,250 and 12,500 mg/kg bw per day) in the drinking water to 10 male rats for 5 weeks resulted in significantly decreased red blood cell count (8–11%) (Vaille et al., 1971). A dose-related increase in the liver weight (relative/absolute 20/11% or 37/27%) and in blood glucose (39% or 78%) was reported in the 5% or 10% group respectively. No histopathological (liver, spleen, kidneys, heart, pancreas, adrenal glands) changes were observed. The Panel noted that the administered doses were high, the highest one being half of the LD$_{50}$ value.
When CD rats (15/sex per group) were fed a diet containing 50,000 mg propane-1,2-diol/kg diet (equivalent to 4,500 mg/kg bw per day) for 15 weeks, no effects on serum and urine parameters, haematology or organ weights (brain, heart, liver, spleen, kidneys, adrenals, gonads, and pituitary) were noted (Gaunt et al., 1972). No abnormalities were seen at necropsy.
Groups of male Wistar rats (6 animals/group) were orally dosed with 38.66 mM/kg bw of propane-1,2-diol (294.23 mg/kg bw per day as 1 mL 28.4%/100 g aqueous solution) for 10, 20 or 30 days (Morshed et al., 1991b). A control group received an equal volume of saline. No deaths were observed. The animals were necropsied after the required dosing schedule was finished. The brush border membrane (BBM) from the jejunio-ileum part of the intestine of the animals was prepared. Various enzymes were measured and sucrose, maltase, alkaline phosphatase, gamma-glutamyl transpeptidase (GGT) and leucine amino peptidase activity was increased in the BBM of propane-1,2-diol treated animals when compared to controls. The absorption of nutrient was measured using the tissue accumulation method (intestinal rings of the jejunum were prepared). Intestinal absorption of dextrose, glycine, l-aspartic acid, l-lysine, and calcium was increased for treated groups dosed for 20 or 30 days.
In another study by Morshed and Nagpaul (1995) using the same dose levels as above, propane-1,2-diol-dosed groups showed significantly increased plasma concentrations of lactate (approx. 1.7–to 2-fold) and glucose (approx. 1.3–to 1.7-fold) for all treatment periods. No difference in pyruvate concentrations between treated and control rats were found for any of the treatment periods. The lactate/pyruvate ratio was significantly increased compared to controls after 10 days (approx. 2-fold) and 20 days (approx. 1.3-fold) of treatment. A significant decrease in plasma glutathione
concentration was reported after 10 days of dosing (approx. 1.6-fold), but was not significantly different from the control group after 20 or 30 days of dosing. In addition, propane-1,2-diol treatment influenced the concentration of several plasma enzymes; treated rats had significantly decreased glutamic-oxaloacetic transaminase (GOT) at day 10 (approx. 1.2 fold), significantly increased GGT at day 10-30 (approx. 1.7- to 1.8-fold) and significantly decreased acid phosphatase at day 10-30 (approx. 1.3- to 1.4-fold) (ethanol/propane-1,2-diol as a substrate). According to the authors, the changes in plasma glucose, glutathione, lactate/pyruvate ratio and plasma enzyme activities such GOT, GGT and acid suggested a toxic potential of propane-1,2-diol. The Panel considered these changes to be most likely adaptive and related to the metabolism of propane-1,2-diol to lactate and for a proportion of this, to be metabolised via gluconeogenesis to glucose, and therefore not adverse. A significantly increased activity of intestinal alcohol dehydrogenase was reported after propane-1,2-diol treatment for 10 (approx. 1.7/1.8-fold), 20 (approx. 2.2/2.6 fold) and 30 (approx. 2.7/3.1-fold) days.
Male Sprague–Dawley rats (n = 10) were fed a basal diet with propane-1,2-diol (250 mg/kg diet) for 42 days (equivalent to 30 mg/kg bw per day) (El-Wahab and Moram, 2013). The control group was fed the basal diet only. By the end of the study period, the animals were sacrificed, blood samples were drawn for examination of haematological and blood biochemistry parameters, and the livers, hearts and kidneys were weighed in order to calculate the relative organ weights. The group fed propane-1,2-diol had a significant higher total feed intake, whereas the body weight gain was significantly decreased (p < 0.05) compared to the control group. The mean growth rate for rats fed propane-1,2-diol was -22.3% compared to -91% for control rats. No significant difference in the relative weights of the liver, kidneys or heart was found between the propane-1,2-diol group and the control group. Significant increases in alanine aminotransferase, aspartate aminotransferase and alkaline phosphatase activities, as well as in bilirubin, urea, creatinine, total protein and albumin were observed in comparison to the control group. Compared to the control group, the haemoglobin concentration and total number of RBC were decreased by 21% and 41%, respectively, in the propane-1,2-diol group. Finally, propane-1,2-diol treatment was reported to significantly decrease the activity of reduced glutathione and superoxide dismutase activities in the blood and liver, as well as to decrease the glutathione-S-transferase activity in liver. The loss of body weight (-22.3%) of the animals of the only dose tested is very difficult to explain; animals should gain weight as was reported for the control group (-91%). The Panel considered this study as not reliable for this assessment because weight loss and liver toxicity was not observed in any of the other studies, in particular when considering the low dose (30 mg/kg bw per day) administered to the animals.
Sprague–Dawley rats (10 animals/sex per group) were given 1,000 mg propane-1,2-diol/kg bw per day dissolved in distilled water by gavage for 92-93 days (Thackaberry et al., 2010). The control group was administered 20 mg hydroxypropyl methylcellulose/kg bw per day dissolved in distilled water by daily gavage. The study was performed in accordance with the OECD guideline No. 408 (limit study) and in compliance with GLP. No differences in clinical observations, body weights, food consumption, ophthalmology, electrocardiograms, clinical pathology (blood and urine) or absolute and relative organ weights were found between the propane-1,2-diol group and the control group. No macroscopic or histopathological changes in any organs were observed compared to controls.
**Rabbits**
No effect on growth rate in young rabbits (sex not specified) was found when propane-1,2-diol was administered daily by gavage (as a 20% aqueous solution) for 50 days in concentrations of 1,050 (n = 1), 2,100 (n = 2), 3,150 (n = 1), 4,200 (n = 4) and 8,400 (n = 3) mg/kg bw per day (Braun and Cartland, 1936).
Rabbits (seven male animals, fauve de Bourgogne, body weight approximately 3.2 kg) were daily administered with 0% or 5% propane-1,2-diol in their drinking water for 8 weeks (equal to 14.8 ml/day per rabbit; calculated by the Panel to be 5,000 mg propane-1,2-diol/kg bw per day) (Vaille et al., 1971). In contrary to what was reported in rats in the same publication, induction of hyperglycaemia was not detected.
**Dogs**
Hanzlik et al. (1939a) studied the toxicity of propane-1,2-diol in individual dogs (sex not specified) administered by repeated gastric dosing (intervals of dosing not further specified). The authors concluded that six repeated doses of 1.5 mL/kg bw (1,554 mg/kg bw per day) (1 dog), four repeated doses of 2.0 mL/kg bw per day (2,072 mg/kg bw per day) (1 dog) or two repeated doses of 10.0 mL/kg bw (10,360 mg/kg bw per day) (1 dog) showed no evidence of toxicity.
In a study carried out by Van Winkle and Newman (1941), propane-1,2-diol at a concentration of 5% (equal to 5,284 mg propane-1,2-diol/kg bw per day) was administered in the drinking water to a group of four female dogs for 5.9 months. The animals received no other fluid. They had access to the propane-1,2-diol containing water for 1 h twice daily, thus insuring a higher blood glycol level than if the dogs drank small quantities of the propane-1,2-diol containing water at frequent intervals. The dogs had a normal growth rate and no histopathological changes or alteration in the liver and kidney function (galactose excretion, uric acid excretion, rose bengal test, phenolsulfonphthalein test) were found in propane-1,2-diol-treated dogs. An attempt was made to keep a second group of dogs on 10% propane-1,2-diol in the drinking water, but this concentration was shown to cause a threefold increase of drinking water intake (hypertonic drinking water) and to result in coma. Dogs died of marked central depression or from a subsequent pneumonia.
Beagle dogs (4 animals/sex) were given 1,000 mg propane-1,2-diol/kg bw per day dissolved in distilled water by gavage for 95–97 days (Thackaberry et al., 2010). The control group was administered 20 mg/kg bw per day of hydroxypropyl methylcellulose dissolved in distilled water by daily gavage. The study was performed in accordance with the OECD guidelines No. 409 (limit test) and in compliance with GLP. No differences in clinical observations, body weights, food consumption, ophthalmology, electrocardiograms, clinical pathology (blood and urine) or absolute and relative organ weights were found between the propane-1,2-diol treated group and the control group. No macroscopical or histopathological changes in any organs were observed compared to controls.
**Monkeys**
Cynomolgus monkeys (4 animals/sex) were given 1,000 mg propane-1,2-diol/kg bw per day dissolved in distilled water by gavage for 95–97 days (Thackaberry et al., 2010). The control group was administered 20 mg/kg bw per day of hydroxypropyl methylcellulose dissolved in distilled water by daily gavage. The study was performed in accordance with the OECD guidelines No. 409 (limit test) and in compliance with GLP. No differences in clinical observations, body weights, food consumption, ophthalmology, electrocardiograms, clinical pathology (blood and urine) or absolute and relative organ weights were found between the propane-1,2-diol group and the control group. No macroscopical or histopathological changes in any organs were observed compared to controls.
**Cats**
The Panel noted that several studies have been performed in cats ((Dow Chemical, 1979 (Documentation provided to EFSA n. 3); Christopher et al. (1989a,b, 1990); Hickman et al., 1990; Bauer et al. (1992a,b)). The Panel decided not to use these studies because that as described by LaKind et al. (1999) ‘cats do not possess the ability to generate the glucuronide metabolite of PG, a detoxification capacity that acts via enhancement of urinary excretion of this product. The PG glucuronide conjugate represents a substantial fraction of the PG recovered from urine of several species other than cats. This lack of conjugation potential in cats may serve to enhance effective concentrations of PG in the systemic circulation, and thereby yield hematoxoticity in this species. For this reason, while cats were the most sensitive species tested, they are not viewed as being the most predictive of human responses to PG’.
Overall, in the preguideline rat studies propane-1,2-diol administered in the diet or drinking water resulted in reduced growth rate at very high dose levels only; no other effects were reported. No differences in clinical observations, body weights, food consumption, ophthalmology, electrocardiograms, clinical pathology (blood and urine), absolute and relative organ weights, or macroscopic or histopathologic changes in any organs were observed in a recent guideline study (limit study) in which propane-1,2-diol was administered by gavage (1,000 mg/kg bw per day by gavage) to mice, rats, dogs and monkeys for 92–97 days (Thackaberry et al., 2010).
### 3.5.4. Genotoxicity
#### In vitro
Propane-1,2-diol was reported to be negative when tested in *Salmonella*/microsome test (McCann and Ames, 1976). In a reverse mutation assay using *Salmonella* Typhimurium strains TA98, TA100, TA1535, TA1537 and TA1538, propane-1,2-diol (1–10,000 µg/plate) was not mutagenic with or without metabolic activation (Clark et al., 1979). In S. Typhimurium strain TA100, no mutagenic potential was observed for propane-1,2-diol when tested in concentrations up to 1,000 µmo/plate with or without metabolic activation (Stolzenberg and Hine, 1979). In another reverse mutation assay using S. Typhimurium strains TA98, TA100, TA1535 and TA1537, propane-1,2-diol (230 µg/plate) was also negative with or without
metabolic activation (Florin et al., 1980). Similarly, propane-1,2-diol showed no mutagenic potential when tested in *S. Typhimurium* strains TA98 and TA100 with or without metabolic activation, or in *Bacillus subtilis rec* without metabolic activation (Kawachi et al., 1980). No mutagenic potential of propane-1,2-diol was found when tested in *S. Typhimurium* strains TA98, TA100, TA1535 and TA1537 without metabolic activation at concentrations from 5– to 300 µmol/plate (Pfeiffer and Dunkelberg, 1980). Similar results were obtained when propane-1,2-diol was tested in *S. Typhimurium* strains TA98, TA100, TA1535 and TA1537 with or without metabolic activation at concentrations ranging from 100 to 10,000 µg/plate (Haworth et al., 1983). In addition, propane-1,2-diol was reported to be negative in the *Salmonella*/microsome test using *S. Typhimurium* strains TA92, TA94, TA98, TA100, TA1535 and TA1537 (with and without metabolic activation) (Ishidate et al., 1984).
The Panel noted that propane-1,2-diol was not tested in TA102 or *Escherichia coli* WP2 tester strains. However, since oxidising or cross-linking activities are not expected to occur, overall, the Panel considered the negative results observed as reliable.
Propane-1,2-diol was assessed for its capability to induce chromosomal aberrations in anaphase in human embryonic lung cells (WI38) at concentrations of 0.001, 0.01 and 0.1 µg/mL only in the absence of S9 metabolic activation and no cytogenetic effects were reported (Litton Bionetics, 1974 (Documentation provided to EFSA n. 10)). However, the Panel noted that the test on induction of chromosomal aberrations in anaphase did not receive further validation and it is currently not employed in genetic toxicology testing. In addition, the assay was only performed in the absence of S9 metabolic activation. On this basis the results obtained are of limited relevance.
In the study by Kawachi et al. (1980), propane-1,2-diol was reported to be positive when tested for chromosomal aberrations in hamster lung fibroblasts without and with metabolic activation, but negative for the induction of sister chromatid exchanges (SCEs). However, the Panel noted that the study is poorly reported with no indication of concentrations employed, treatment conditions and number of cells scored. On this basis, the results reported as a single table (with plus or minus signs) were judged to be not reliable.
Propane-1,2-diol was reported to be positive in another chromosomal aberration test using a Chinese hamster fibroblast cell line following treatments only in the absence of metabolic activation (Ishidate et al., 1984). The incidence of aberrations was 38% at the highest concentration tested (32 mg/mL) which is above the range of physiological osmotic pressure values, indicating, according to the authors, that the cells may have been affected by the osmotic pressure changes in the culture medium. The Panel agreed with this conclusion and noted that the recommended concentration limits indicated in the current OECD Guideline No 473 correspond to 2 mg/mL. On this basis, the results were judged unreliable.
In the study by Sasaki et al. (1980), propane-1,2-diol was tested for the induction of micronuclei and SCE’s in the absence of S9 metabolic activation in a human fibroblastic cell line (HE2144) and in a Chinese hamster ovary Don-6 cell line. Concentrations used were 3.8, 7.6 and 23 mg/mL for both micronuclei and SCEs in the Don-6 cell line and 3.8 and 7.6 mg/mL for SCE’s in the human fibroblast HE2144 cell line. Negative results were observed for induction of micronuclei in both cell lines, whereas slight increases for induction of SCEs up to 1.8- and 1.5-folds over the concurrent control were only observed in the Chinese hamster ovary Don-6 cells at concentrations of 23 and 7.6 mg/mL, respectively. This result was judged by the Panel to be of no biological relevance since obtained at concentrations exceeding the limit of 2 mg/mL recommended in the current OECD Guideline No 473. Overall, the Panel considered the outcome of this study as negative for both micronuclei and SCEs but with limitations since the assays were only performed in the absence of S9 metabolic activation.
A chromosome aberration assay in peripheral blood human lymphocytes was conducted in compliance with GLP principles (Huntingdon-Research-Centre, 1990 (Documentation provided to EFSA n. 7)). Replicate cultures were treated with propane-1,2-diol in both the absence and presence of S9 metabolic activation at concentrations of 476, 1,910 and 3,910 µg/mL corresponding to 6, 25 and 51 mM. Cultures were sampled at 24 and 42 h after initiation of treatment. No biologically relevant induction of chromosomal aberrations were observed at any treatment series, though the two higher concentrations assessed far exceeded the limit of 10 mM recommended in the current OECD Guideline No 473. The Panel noted that the study was in compliance with the OECD Guideline No 473 applicable at the time when the study was performed. However, compared to the current version of the OECD Guideline No 473 (2014) there are some limitations (e.g. the length of treatment time in the presence of S9 (2 h vs 3–6 h) and the absence of a short treatment (3 h) in the absence of S9 metabolic activation, selection of the high concentration, number of cells scored). On this basis, the results of the study were considered of limited reliability by the Panel.
Propane-1,2-diol was tested in a Chinese hamster ovary cell line (CHO-K1) for induction of DNA strand-breaks in the alkaline comet assay and for chromosomal damages in the micronucleus assay both in the absence and presence of S9 metabolic activation at concentrations of 0, 25, 50, 75 and 100 mg/mL corresponding to 316, 632, 948 and 1,300 mM (Aye et al., 2010). Concentration-related and statistically significant increases for both the induction of micronuclei and DNA strand breaks were observed at all concentrations employed, with the exception of 25 mg/mL in the presence of metabolic activation. However, the Panel noted that the concentrations used far exceeded the limit of 10 mM recommended in the current OECD Guideline No. 473 (2014). Therefore, the results obtained were considered by the Panel not reliable.
The genotoxicity of propane-1,2-diol has recently been assessed in mouse oocytes by an *in vitro* comet assay. Meiosis II oocytes obtained from prepubescent (< 4 weeks old) female CD-1 mice and exposed for 1–2 h to 5%, 7% or 15% propane-1,2-diol solutions corresponding to 50, 75 and 150 mg/mL (Berthelot-Ricou et al., 2011). A significant DNA damage was noted at the two higher concentrations (7.5% or 15%) at both exposure durations, whereas no DNA damage was reported at 5% propane-1,2-diol. However, the Panel noted that the concentrations used far exceeded the limit of 2 mg/mL recommended in the current OECD Guideline for the *in vitro* genotoxicity assays (e.g. OECD Guideline No. 473 (2014), *in vitro* mammalian chromosome aberration assay, No. 476 *in vitro* mammalian cell gene mutation tests using the Hprt and Xprt genes, No. 487 *in vitro* mammalian cell micronucleus test, No. 490 *in vitro* mammalian cell gene mutation tests using the thymidine kinase gene). On this basis, the results obtained were considered by the Panel not reliable.
**In vivo**
Propane-1,2-diol has been investigated in a host-mediated assay in mice. ICR random-bred male mice (10 animals, 25–30 g each, at each dose level) were administered propane-1,2-diol by oral gavage in both acute (single dose) and subacute studies (once a day for 5 days) (Litton Bionetics, 1974 (Documentation provided to EFSA n. 10)). The dose levels were 30, 2,500 or 5,000 mg/kg bw. The indicator organisms (*S. Typhimurium* strain TA1530 and G46 for detection of induction of reverse mutation, and *Saccharomyces cerevisiae* strain D-3 for detection of mitotic recombination) were given by intraperitoneal injection. The negative control was the vehicle (saline) and the positive control was dimethyl nitrosamine (100 mg/kg) for *Salmonella*, and ethyl methane sulphonate (350 mg/kg) for *Saccharomyces*. Propane-1,2-diol caused no significantly increased mutant frequencies in *Salmonella* strain TA1530 or in strain G46 except for the acute high dose level at which, according to the authors of the study report, may have been a weak or a questionable positive result. *Saccharomyces* strain D3 produced increased recombinant frequencies in the acute treatment at the low and intermediate dose-levels and at all dose levels in the subacute treatment. However, according to the author, the recoveries of the indicator organism decreased with increasing dose-levels and in the subacute treatment, they were severely depressed possibly due to cell lethality. In conclusion, the author stated for the strain D3 that ‘data are difficult to interpret and at the dose-levels used it appears that compound may be recombinogenic’. The Panel agreed with this conclusion but noted that this assay did not receive further validation and it does not belong to the assays recommended for regulatory purposes (EFSA Scientific Committee, 2011). On this basis, the positive outcome obtained was considered to be of low relevance.
Propane-1,2-diol has also been investigated in a cytogenetic assay in rats. Male Sprague–Dawley rats (10–12 weeks old, 280–350 g) were administered propane-1,2-diol by oral gavage in both acute (single dose, in total 59 animals) and subacute studies (once a day for 5 days, in total 18 animals) (Litton Bionetics, 1974 (Documentation provided to EFSA n. 10)). The dose levels were 30, 2,500 or 5,000 mg/kg bw. The negative control was the vehicle (saline) and the positive control was triethylenemelamine (0.3 mg/kg bw). In the acute studies, animals were sacrificed 6, 24 and 48 h after dosing and in the subacute treatment 6 h after the last dose. Bone marrow cells were used to prepare cytogenetic slides following administration of colcemid at 4 mg/kg by intraperitoneal injection to accumulate cells in metaphase before sacrifice of animals. Fifty metaphase spreads for animal were scored for chromosomal aberration analyses. The mitotic indices were also evaluated by scoring 1,000 cells (mitotic and interphase cells) per animal to assess cytotoxicity. The result obtained showed no relevant increases in chromosomal aberration at any dose level and sampling time employed. Slight reduction of mitotic indices in the test substance treatment groups were also observed indicating that the test compound reached the target organ. The Panel noted that although 50 metaphases per animal were scored instead of 100–200 as recommended by latter OECD Guidelines TG 473 (1997, 2014), in consideration of the high dose applied (higher than the maximum recommended) and of the
evidence of target cells exposure, the results of this study can be considered as relevant for genotoxicity assessment in a weight of evidence (WoE) approach.
In addition, propane-1,2-diol has been investigated in a dominant lethal assay in rats. Male random-bred rats (10 animals per group, 10–12 week old) were administered propane-1,2-diol by oral gavage in both acute (single dose) and subacute studies (once a day for 5 days) (Litton Bionetics, 1974 (Documentation provided to EFSA n. 10)). The dose levels were 30, 2,500 or 5,000 mg/kg bw. The negative control was the vehicle (saline) and the positive control was triethylene melamine (0.3 mg/Kg). Following treatment, the males were sequentially mated to 2 females per week for 8 weeks (7 weeks in the subacute study). Females were sacrificed at 14 days after separation from the male and the uterus was examined for corpora lutea, early fetal deaths, late fetal deaths and total implantations. According to the authors of the study report, propane-1,2-diol was considered to be non-mutagenic in rats in the dominant lethal assay when using the dosages employed in this study. The Panel agreed with this conclusion.
In a micronucleus test, propane-1,2-diol did not induce micronuclei in femoral bone marrow cells from male ddY mice (6 animals/group) after a single i.p. injection of 2,500, 5,000, 10,000, 15,000 or 20,000 mg/kg bw propane-1,2-diol (Hayashi et al., 1988). At 15,000 mg/kg bw, 3/6 mice died, and at a dose of 20,000 mg/kg bw all six mice died. The Panel noted that although 1,000 polychromatic erythrocytes (PCEs) per animal were scored instead of 2,000–4,000 as recommended by latter OECD Guidelines TG 474 (1997, 2014), in consideration of the high doses applied (higher than the maximum recommended) and of the evidence of systemic toxicity in treated animals, the results of this study can be considered as relevant for genotoxicity assessment in a WoE approach.
Overall, the Panel considered that the available data did not raise concern with respect to genotoxicity of propane-1,2-diol when used as a food additive.
### 3.5.5. Chronic toxicity and carcinogenicity
#### Rats
Morris et al. (1942) examined the chronic oral toxicity of propane-1,2-diol in rats. Groups of 10 albino rats (both sexes) were fed 2.45% or 4.9% propane-1,2-diol (equivalent to 1,230 or 2,450 mg/kg bw per day) in the diet for two years. No difference in food intake, growth and survival rate (after the first year) was observed between propane-1,2-diol groups and the control group. Histopathological examination of the lungs, heart, liver, spleen, kidneys, adrenals, testis, pancreas, stomach, intestines and lymph nodes showed that propane-1,2-diol did not induce adverse effects, except for slight chronic liver damage characterised by diffuse or centrilobular atrophy, bile duct proliferation and fatty degeneration.
In a study by Gaunt et al. (1972), groups of CD rats (30/sex per group) were fed on diets containing 0, 6,250, 12,500, 25,000 or 50,000 mg propane-1,2-diol/kg diet (equivalent to 0, 312, 625, 1,250, or 2,500 mg/kg bw per day) for 2 years. Propane-1,2-diol was not found to influence mortality, body weight gain, food consumption or cumulative death rate. Overall, feeding of propane-1,2-diol had no effect on haematology, urinary cell excretion, the urine-concentrating ability of the kidneys, organ weights, pathological findings or tumour incidence (brain, heart, liver, spleen, kidneys, adrenals, gonads, stomach, small intestine, caecum, salivary gland, trachea, aorta, thymus, lymph nodes, pituitary, urinary bladder, colon, rectum, pancreas, uterus, muscle). No carcinogenic potential was observed up 2,500 mg/kg bw per day, the highest dose tested.
#### Dogs
Chronic toxicity of propane-1,2-diol was studied in dogs by Weil et al. (1971). Groups of Beagle dogs (5/sex per group, 10–14 month old at study initiation) were fed diets containing 0, 2,000 (low dose) or 5,000 (high dose) mg propane-1,2-diol/kg bw per day for 2 years. A significantly higher diet utilisation (% g weight change/g diet consumed) was observed for high-dose male dogs compared to controls during the first three months of the study. Treated female dogs (low or high dose of propane-1,2-diol) had significantly lower water intake than controls only after 1 and 2 months (approx. 2.3-fold), while no difference in water intake was observed between control and treated male dogs. Propane-1,2-diol treatment did not affect differential leucocyte counts, erythrocyte fragility, urinary pH and histopathological changes, alkaline phosphatase, bromsulphthalein retention, liver glycogen, blood glucose, total liver lipids, metabolic rate of liver slices using propane-1,2-diol, activities of serum glutamic-oxaloacetic and glutamic-pyruvic transaminases, percentage of water in the liver, or liver weights (absolute and relative). In the low-dose group, sporadically lower total leucocyte counts were observed in males, and females had a lower level of liver triglyceride; these changes were not
observed in the high-dose group. No difference in spleen weights was noted between control and treated groups. High-dose females had a slightly increased absolute kidney weight; however, no significant change in relative kidney weight and kidney histopathology was noted for these animals. After 23.5 months of treatment, the high-dose group showed decreased mean total erythrocyte count (both sexes: males: 17%, females: 15%) and decreased haemoglobin (both sexes: M: 13%, F: 20%) and haematocrit (females: 11%) values. After 23 months feeding in these groups, an increase in percentages of nucleated erythrocytes (females: 4.5-fold), mean reticulocyte count (females: 2.5-fold) and the degree of anisocytosis and poikilocytosis (both sexes: 0/5) was reported pointing to destruction of erythrocytes accompanied by accelerated erythropoiesis in the bone marrow. In the high-dose group, total bilirubin was statistically significantly increased in males after 6 (1.7-fold) and 24 months (1.8-fold) (but not after 8, 12, 13 or 23 months) and in females after 6, 8, 12, 13, 23 and 24 months (1.5- to 1.8-fold) (no changes in van den Bergh direct and indirect bilirubin values were reported at the end of the study). Furthermore, urine output was raised in males at 23 months (2.4-fold) and in females at 6 (1.4-fold) and 12 (1.3-fold) months. Treated groups had higher serum propane-1,2-diol levels than controls; values were below 0.1% (v/v) 24 h after the daily dose of propane-1,2-diol except for one dog where a concentration of 0.2% (v/v) was reported. At study termination, glucose metabolic rates (when glucose was used as substrate), were significantly lower in animals fed propane-1,2-diol although only statistically significant for high-dose males (4 fold). Gross and histopathological examination showed no treatment-related changes in propane-1,2-diol-treated animals. A slight increase in bone-marrow activity in high-dose females was considered by the authors to be physiological and not pathological (Weil et al., 1971). The Panel considered the 2,000 mg/kg bw per day as the no observed adverse effect level (NOAEL) in the 2-year study in dogs.
Overall, no adverse effects, including neoplastic findings, were reported in a chronic study in rats administered propane-1,2-diol although only statistically significant for high-dose males (4 fold). Gross and histopathological examination showed no treatment-related changes in propane-1,2-diol-treated animals. A slight increase in bone-marrow activity in high-dose females was considered by the authors to be physiological and not pathological (Weil et al., 1971). The Panel considered 2,000 mg/kg bw per day in dogs as the NOAEL for this study.
### 3.5.6. Reproductive and developmental toxicity
#### Reproductive toxicity
**Mice**
Propane-1,2-diol was studied in a Reproductive Assessment by Continuous Breeding (RACB) in CD-1 mice (NTP, 1985; Morrissey et al., 1989; Lamb et al., 1997). In the reproductive phase of these assessment, the study contained a control \((n = 40/\text{sex per group})\) and three treatment levels \((n = 20/\text{sex per group} (0\%, 1.0\%, 2.5\% \text{ and } 5.0\% \text{ propane-1,2-diol in drinking water equal to } 0, 1,819, 4,796, \text{ and } 10,118 \text{ mg propane-1,2-diol/kg bw per day})).\) The mice were exposed for a 7-day premating period, during the cohabitation period of 14 weeks, and 3 weeks after the cohabitation period. No differences in the fertility index, mean numbers of litters per pair, mean numbers of live pups per pair, mean numbers of live males/females per pair, proportion of pups born live, and sex of pups born live were noted when compared to the control group.
Bolon et al. (1997) examined the ovaries from 10 mice of the afore mentioned study that had been exposed to 5% propane-1,2-diol as gametes, during prenatal and postnatal development, and as young adults were examined for differential ovarian follicle counts (small, growing and large antral follicles). Propane-1,2-diol showed no effect on reproductive function in terms of follicle counts compared to controls.
**Rats**
Propane-1,2-diol was used as a vehicle control in a study in rats by Sjöberg et al. (1986). The control group of six male SD rats (35 days old, weight 130–160 g) was administered daily the vehicle propane-1,2-diol by gavage for 5 days. The daily volume given to each animal was 2 mL/kg bw per day (2,072 mg propane-1,2-diol/kg bw per day). The animals were sacrificed on day 6 and one testis, the ventral lobes of the prostate and the liver were removed, weighed and examined histologically. The number of degenerated cells in 50 seminiferous tubular cross-sections per testis was counted and the most advanced germ cell type present was recorded. In the propane-1,2-diol group, only
occasional degenerated cells were observed with the majority (19%) having 1–3 degenerated cells per tubular cross-section and only 1% having 4–10 degenerated cells per tubular cross-section. Most of these cells were either in early meiotic prophase or undergoing meiotic divisions.
The reproductive toxicity in Sprague-Dawley rats by daily gavage (vehicle: water) of 1,000 mg propane-1,2-diol/kg bw dissolved in distilled water was examined by Enright et al. (2010). The control group was given 20 mg/kg bw hydroxypropyl methylcellulose dissolved in distilled water. The study was performed in compliance with GLP. In the fertility study, female rats (22 animals/group, 9–11 weeks of age at initiation of dosing, weight 203–264 g) were dosed for 2 weeks before and during mating (up to 3 weeks) and from gestation day (GD) 0–7; male rats (22 animals/group, weight 203–264 g) were dosed before mating (3 weeks), during mating (up to 3 weeks) and after mating (3 weeks). Animals were observed twice daily during the dosing period, body weights and food consumption were recorded at regular. Oestrous cyclicity was assessed in all females for 2 weeks before initiation of dosing through the day of mating. Females were sacrificed on GD 14, the uterus was examined to determine pregnancy status, corpora lutea and uterine implants were counted and implants were classified as a live or dead fetus, or resorption (early or late), and a gross examination of the thoracic and abdominal cavities was performed on all F\textsubscript{0} females in all dose groups. Males were sacrificed within 3 weeks after the completion of the mating phase and a gross examination of the thoracic and abdominal cavities and reproductive organs was carried on all F\textsubscript{0} males in all dose groups. No treatment-related effects were observed on paternal or reproductive toxicity. The Panel considered 1,000 mg propane-1,2 diol/kg bw per day (the only dose tested) as the NOAEL for this study.
**Developmental toxicity**
**Mice**
Groups of pregnant mice (25 animals/group) were given by gavage propane-1,2-diol in distilled water (10 mL/kg bw) at dose levels of 0, 16, 74.3, 345 or 1,600 mg/kg bw per day from GD 6 to 15 (FDRL, 1973 (Documentation provided to EFSA n. 5)). One dam in the 74.3 mg/kg bw per day dose group died before term. No other maternal effects or differences in the number of implantation sites, resorptions, fetal body weight, viability or external, skeletal or visceral abnormalities were apparent. The NOAEL for this study was 1,600 mg propane-1,2-diol/kg bw per day, the highest dose tested.
In a developmental screening assay, timed-pregnant CD-1 mice (30 animals, 60 days old) dosed daily with propane-1,2-diol (10,000 mg/kg bw per day) by oral gavage on GD 8–12 were examined after sacrifice for maternal toxicity (number of pregnant dams, mortality and number of dams with resorptions) and neonatal effects (number of live pups and pup weight on postnatal day 1 and 3). No treatment-related maternal or developmental effects were observed (Kavlock et al., 1987).
In a developmental toxicity study, timed-pregnant female CD-1 mice (30 animals/group) were dosed daily by gavage with 0.5, 5 or 10 mL propane-1,2-diol/kg bw (518, 5,180 and 10,360 mg propane-1,2-diol/kg bw per day) on GD 6–15; the control group (30 animals) received water (Union Carbide, 1993 (Documentation provided to EFSA n. 14)). The study was performed in accordance with the OECD guideline No. 414 and in compliance with GLP. The dams of the mid- and high-dose groups had an increase water consumption. No other treatment-related maternal or developmental effects were reported.
**Rats**
Pregnant rats (20–24 animals/group) were given propane-1,2-diol dissolved in distilled water by gavage at dose levels of concentrations of 0, 16, 74.3, 345 and 1,600 mg/kg bw per day from GD 6 to 15 (dose volume was 6.4, 1, 1, 2 and 6.4 mL/kg bw, respectively) (FDRL, 1973 (Documentation provided to EFSA n. 5)). No treatment-related maternal effects or differences in the number of implantation sites, resorptions, fetal body weight, viability or external and visceral abnormalities were apparent. The number of fetuses with wavy ribs was increased in all groups treated with propane-1,2 diol compared to the control group; however, no dose relation was observed. The Panel considered the highest dose tested, 1,600 mg propane-1,2-diol/kg bw per day, as the NOAEL.
The prenatal developmental toxicity in Sprague-Dawley rats by daily gavage (vehicle: water) of 1,000 mg propane-1,2-diol/kg bw per day was examined by Enright et al. (2010). The control group was given 20 mg hydroxypropyl methylcellulose/kg bw per day. Mated female rats (22 animals/group; 11 weeks of age at initiation of dosing; weight 227–300 g) were dosed from GD 6-17. Clinical observations were made daily and maternal body weights and food intake were recorded on regular intervals. Dams were sacrificed on GD 21, the uterus was examined to determine pregnancy status,
corpora lutea and uterine implants were counted and implants were classified as a live or dead fetus, or resorption (early or late), and a gross examination of the thoracic and abdominal cavities was performed on all $F_0$ females in all dose groups. All fetuses were weighed, sexed and examined externally, and then sacrificed. Approximately half of fetuses in each litter underwent a visceral examination; the remaining half underwent a skeletal examination. No treatment-related effects were observed on maternal or developmental toxicity. The Panel considered the only dose tested, 1,000 mg propane-1,2 diol/kg bw per day, as the NOAEL for this study.
**Hamsters**
Pregnant hamsters (21–25 animals/group) were given propane-1,2-diol dissolved in distilled water by gavage at dose levels of 0, 15.5, 72, 334.5 and 1,550 mg/kg bw per day from GD 6 to 10 (dose volume was 6.4, 1, 1, 2 and 6.4 mL/kg bw, respectively) (FDRL, 1973 (Documentation provided to EFSA n. 5)). No treatment-related differences in maternal toxicity and in the number of implantation sites, resorptions, fetal body weight, and visceral and skeletal abnormalities. The number of dead fetuses was increased in the high-dose group (1 in the control group vs 18 in the high-dose group; however 16 dead fetuses were found in one litter) and the number of live fetuses accordingly decreased. The authors concluded only that there were no effects on skeletal and visceral abnormalities. No statistical analysis or conclusion on other study data were presented. As the increased number of dead fetuses was mainly due to one litter, the Panel considered 1,550 mg propane-diol/kg bw per day as the NOAEL for this study. However, the Panel considered this study as having limited reliability.
**Rabbits**
Pregnant rabbits (11–13 animals/group) were given propane-1,2-diol in distilled water by gavage in concentrations of 0, 12.3, 57.1, 267 or 1,230 mg/kg bw per day from GD 6 to 18 (dose volume was 5, 1, 1, 2 and 5 mL/kg bw, respectively) (FDRL, 1973 (Documentation provided to EFSA n. 5)). No effects attributed to propane-1,2-diol were observed for maternal or developmental effects. The Panel considered 1,230 mg propane-1,2-diol kg bw per day (the highest dose tested) as the NOAEL for this study.
The prenatal developmental toxicity of propane-1,2 diol was examined in New Zealand White rabbits by daily gavage of 1,000 mg propane-1,2-diol/kg bw per day; the control group was given 20 hydroxypropyl methylcellulose mg/kg bw per day (Enright et al., 2010). Mated female rabbits (20 animals/group, 5–6 months of age at initiation of dosing, weight 2.7–3.8 kg) were dosed on GD 7–19. Clinical observations were made daily, maternal body weights, food consumption (visual inspection) were measured regularly. Dams were sacrificed on GD 29, the uterus was examined to determine pregnancy status, corpora lutea and uterine implants were counted and implants were classified as a live or dead fetus, or resorption (early or late), and a gross examination of the thoracic and abdominal cavities and of the placenta was performed. All fetuses were weighed, sexed and examined externally, and then sacrificed. All fetuses underwent a visceral and a skeletal examination. No differences in the examined parameters between treated and control animals were reported. The Panel considered the only dose tested, 1,000 mg propane-1,2-diol/kg bw per day, as the NOAEL for this study.
Overall, no adverse effects on reproductive toxicity parameters of propane-1,2-diol up to 5% (equal to 10,118 mg propane-1,2-diol/kg bw per day) in drinking water were observed in a continuous breeding reproduction study in mice (Morrissey et al., 1989; Lamb et al., 1997) or in a fertility study in male and female rats given propane-1,2-diol (1,000 mg/kg bw per day) daily by gavage (Enright et al., 2010). No adverse maternal or developmental effects were observed in prenatal developmental toxicity studies with mice, rats, hamsters and rabbits given propane-1,2-diol by oral gavage at dose levels up to 1,600, 1,600, 1,550 and 1,230 mg/kg bw per day, respectively, on GD 6–15, 6–15, 6–10 and 6–18, respectively (FDRL 1973 (Documentation provided to EFSA n. 5)). In an additional developmental toxicity study in mice, no adverse effect was observed in pregnant females dosed daily by gavage from GD 6 to 15 up to 10,360 mg propane-1,2-diol/kg bw per day (Union Carbide, 1993 (Documentation provided to EFSA n. 14)). In other prenatal developmental toxicity studies by gavage of 1,000 mg/kg bw per day (the only dose tested) from GD 6 to 17 in rats or in rabbits from GD 7 to 19 (Enright et al., 2010), no effects were observed.
3.5.7. Hypersensitivity, allergenicity and food intolerance
There is a controversy about the contact allergenic potential of propane-1,2-diol in patch tests. However, this seemed to be due to its low irritant potency, which often confounds the interpretation of skin sensitisation reaction (Fowles et al., 2013; Jacob et al., 2017; Mc Gowan et al., 2017). The Cosmetic Ingredient Review (CIR) did not report any sensitising potential or immunotoxicity for propane-1,2-diol when used in cosmetics (CIR, 2011), and the EFSA CONTAM Panel did not consider propane-1,2-diol as a possible allergen (EFSA CONTAM Panel, 2011). Given the large body of evidence available, the Panel considered that it is very unlikely that propane 1-2-diol could be an allergen for humans when used as a food additive.
3.5.8. Other studies
Young animals
C57BL/6 mice were exposed to a single intraperitoneal dose of propane-1,2-diol (dose range 1–10 mg/kg) to examine whether propane-1,2-diol could produce apoptosis in the developing central nervous system (Lau et al., 2012). The investigation was performed in mice of different age (postnatal day (PND) 4, 7, 14, 17, 24 and 30). Activated caspase-3 (Ac-3) was measured in the brain as this seemed to be a sensitive measure of apoptosis. At 1 mL propane-1,2-diol (1,036 mg)/kg bw, there was no significant difference in Ac-3 cell counts between propane-1,2-diol treated cells and saline animals. Compared to saline, 2 mL propane-1,2-diol (2,072 mg)/kg bw induced a statistically significantly, but less than 10% increase in the number of apoptotic neurons. The highest number of propane-1,2-diol-induced apoptotic cells was measured when mice were exposed on PND 7. The authors concluded that further research was needed to determine the underlying mechanism.
3.6. Discussion
Propane-1,2-diol was previously evaluated by the SCF and JECFA, and both committees established an ADI of 25 mg/kg bw per day.
Some by products (mono- and di-ethylene glycol) might be formed next to residual propylene oxide used as starting material. The Panel noted that there are not maximum limits for propylene oxide and mono- and di-ethylene glycol in the EU specifications for propane-1,2-diol (E 1520). Additionally, propane-1,2-diol can be manufactured by using as a raw material propylene carbonate, which may not be completely removed from the final product. The Panel noted that no maximum limits for propylene carbonate are set in EU specifications for E 1520.
Propane-1,2-diol is readily absorbed from the gastrointestinal tract in experimental animals and in humans and is expected to be widely distributed to organs and tissues. The major route of metabolism is oxidation to lactic acid and pyruvic acid. An alternative route of metabolism of propane-1,2-diol to lactic acid is via phosphorylated glycol. Lactate is mainly metabolised via the citric acid cycle and excreted as carbon dioxide via exhalation. At high concentrations, free propane-1,2-diol is excreted in the urine as the elimination of propane-1,2-diol from the body is saturated at dose levels higher than 20,000 mg/day in humans. The renal clearance in young infants up to the age of approx. 3 months appeared to be much lower than in adults.
The acute oral toxicity of propane-1,2-diol was low.
No treatment-related effects were observed in subchronic toxicity studies in which propane-1,2-diol was administered by gavage (1,000 mg/kg bw per day) to mice, rats, dogs and monkeys for 92–97 days (Thackaberry et al., 2010).
The Panel considered that the available data did not raise concern with respect to genotoxicity of propane-1,2-diol.
Except for haematological changes suggestive of an increased red blood cell destruction with a compensatory increased rate of haematopoiesis at the highest dose level (5,000 mg/kg bw per day), no adverse effects were observed in a 2-year study in dogs administered propane-1,2-diol in the diet (2,000 or 5,000 mg/kg bw per day) (Weil et al., 1971). No adverse effects, including neoplastic findings, were reported in a chronic study in rats administered propane-1,2-diol in the diet (up to 2,500 mg/kg bw per day) for 2 years (Gaunt et al., 1972). The SCF and JECFA used the study by Gaunt et al. (1972) in rats to derive an ADI of 25 mg/kg bw per day using an uncertainty factor of 100.
No adverse effects on reproductive toxicity parameters of propane-1,2-diol up to 5% in drinking water (equal to 10,118 mg propane-1,2-diol/kg bw per day) were observed in a continuous breeding
reproduction study in mice (Morrissey et al., 1989; Lamb et al., 1997) or in a fertility study in male and female rats given propane-1,2-diol (1,000 mg/kg bw per day) daily by gavage (Enright et al., 2010). No adverse maternal or developmental effects were observed in prenatal developmental toxicity studies with mice, rats, hamsters and rabbits given propane-1,2-diol by oral gavage at dose levels up to 1,600, 1,600, 1,550 and 1,230 mg/kg bw per day, respectively, on GD 6–15, 6–15, 6–10 and 6–18, respectively (FDRL 1973 (Documentation provided to EFSA n. 5)). In an additional developmental toxicity study in mice, no adverse effect was observed in pregnant females dosed daily by gavage from GD 6–15 up to 10,360 mg propane-1,2-diol/kg bw per day (Union Carbide, 1993 (Documentation provided to EFSA n. 14)). In other prenatal developmental toxicity studies by gavage of 1,000 mg/kg bw per day (the only dose tested) from GD 6 to 17 in rats or in rabbits from GD 7 to 19 no effects were observed (Enright et al., 2010).
Based on the overall toxicity database, the Panel considered that there was no reason to revise the current ADI of 25 mg/kg bw per day for propane-1,2-diol (E 1520).
Propane-1,2-diol (E 1520) is authorised according to Annex III in some food additives, food flavourings, enzymes and nutrients and it is then carried over to the final food. Dietary exposure to the food additive was assessed based on data received by both industry (use levels) and Member States (analytical data). In the refined exposure assessment scenario, 20 food categories were taken into account. The data submitted to EFSA were consistent with information from the Mintel’s GNPD. However, since the labelling of propane-1,2-diol (E 1520) is not mandatory, the information about the use of this food additive from the Mintel’s GNPD is very likely not exhaustive.
The exposure assessment was hampered by several uncertainties (Table 5), overall the Panel considered that for the food categories for which information was available, the exposure was likely to be overestimated. For an elaborate discussion of the uncertainties, see Section 3.4.1. The Panel considered that the brand-loyal scenario covering the general population was the most appropriate scenario for risk characterisation of E 1520 as possible brand-loyalty to food belonging to the food category ‘Flavoured drinks’ was identified. This scenario assumed that the population is likely to be exposed long-term to the food additive present at the maximum reported use in foods belonging to the food category ‘Flavoured drinks’ and at the mean reported use/analytical data in foods belonging to the other food categories. The highest high level of exposure (P95) to propane-1,2-diol (E 1520) according to this scenario was estimated at 23.3 mg/kg bw per day in children.
The Panel noted that the refined exposure estimates are based on information provided on the reported level of use of food additive (E 1520) and analytical data. If actual practice changes this refined estimates may no longer be representative and should be updated.
The Panel also noted that propane-1,2-diol could be formed during the metabolism of other food additives (e.g. E 405, E 477). In this opinion, a combined exposure assessment was not performed.
4. Conclusions
Considering the overall toxicity database, the Panel concluded that there was no reason to revise the current ADI of 25 mg/kg bw per day for propane-1,2-diol (E 1520).
The Panel concluded that the mean and the high exposure levels (P95) of the brand-loyal refined exposure scenario did not exceed the ADI in any of the population groups from the use of propane-1,2-diol (E 1520) as a food additive at the reported use levels and analytical results.
5. Recommendations
The Panel recommended that:
1) the European Commission considers lowering the current maximum limits for lead in the EU specification for propane-1,2-diol (E 1520) in order to ensure that propane-1,2-diol (E 1520) as food additives will not be a significant source of exposure to this toxic element in food.
2) the European Commission considers inclusion of maximum limits for propylene oxide, mono- and di-ethylene glycol, and propylene carbonate in the EU specifications for propane-1,2-diol (E 1520).
3) the need for a combined exposure assessment to propane-1,2-diol from E 1520 and from other food additives from which propane-1,2-diol is formed through metabolism should be considered.
Documentation provided to EFSA
1) AGRUPOST (Spanish Association of Postharvest Services and Processes), 2016. Data on usage levels of propane-1,2-diol (E 1520) in foods in response to the EFSA call for food additives usage level and/or concentration data in food and beverages intended for human consumption. Submitted to EFSA on 31 May 2016.
2) CEFIC (European Chemical Industry Council), 2012. Dossier for the re-evaluation of propylene glycol as food additive. Submitted by CEFIC, 9 December 2012.
3) Dow Chemical, 1979. Results of a toxicological study in cats fed diets containing propylene glycol for up to three months. Quast JF, Humiston CG, Wade CE, Beyer JE, Albee RR, Schuetz DJ and Morden DC. Reviewed by Kociba RJ. Toxicological Research Laboratory Health and Environment Sciences, USA. Dow Chemical ISA. Midland, Michigan, USA. Submitted by CEFIC, 11 January 2016.
4) Dow-Chemical-Company, 1995. Metabolism of tripropylene glycol in rats. Authors: Mendrala AL and McNett DA, The Toxicology Research Laboratory, Health and Environmental Sciences, The Dow Chemical Company, Midland, Michigan 48674, United States, 1–36. Submitted by CEFIC, 9 December 2012.
5) FDLR (Food and Drug Research Laboratories, Inc.), 1973. Teratologic evaluation of FDA 71-56 (propylene glycol) in mice, rats, hamsters and rabbits. Waverly (NY): Food and Drug Research Laboratories, Inc. Submitted by the FDA, 27 October 2017.
6) FDE (FoodDrinkEurope), 2016. Data on usage levels of propane-1,2-diol (E 1520) in foods in response to the EFSA call for food additives usage level and/or concentration data in food and beverages intended for human consumption. Submitted to EFSA on 31st May 2016.
7) Huntingdon-Research-Centre, 1990. Propylene glycol. Metaphase chromosome analysis of human lymphocytes cultured *in vitro*. Authors: Brooker PC, Akhurst LC and Gray VM, Huntingdon Research Centre Ltd., 1–26. Submitted by CEFIC, 9 December 2012.
8) ICGA (International Chewing Gum Association), 2016. Data on usage levels of propane-1,2-diol (E 1520) in foods in response to the EFSA call for food additives usage level and/or concentration data in food and beverages intended for human consumption. Submitted to EFSA on 31st May 2016.
9) KRÜGER (KRÜGER GmbH & Co. KG), 2016. Data on usage levels of propane-1,2-diol (E 1520) in foods in response to the EFSA call for food additives usage level and/or concentration data in food and beverages intended for human consumption. Submitted to EFSA on 25 May 2016.
10) LittonBionetics Inc., 1974. Mutagenic evaluation of compound FDA 71-56. Propylene glycol. Contract FDA 71-268, 1–88. Submitted by CEFIC, 9 December 2012.
11) NTP (National Toxicological Program), 2004. NTP Thechronal report on the toxicology and carcinogenesis studies of dipropylene glycol (CAS No. 25265-71-8) in F344/N rats and B6C3F1 mice (drinking water studies). PO Box 12233. Research Triangle Park, NC 27709, NTP TR 511. Submitted by CEFIC, 11 January 2016.
12) Pre-evaluation document prepared by DTU, March 2014.
13) SNE (Specialised Nutrition Europe), 2016. Data on usage levels of propane-1,2-diol (E 1520) in foods in response to the EFSA call for food additives usage level and/or concentration data in food and beverages intended for human consumption. Submitted to EFSA on 30 May 2016.
14) Union Carbide, 1993. Propylene glycol: developmental toxicity gavage study III in CD-1 mice. Authors: Driscoll CD, Kubena MF and Neeper-Bradley TL, Bushy Run Research Center (BBRC), Union Carbide Chemicals and Plastics Company Inc. (UCC&P), 1–466. Submitted by CEFIC, 9 December 2012.
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Abbreviations
Ac-3 Activated caspase-3
ADI Acceptable daily intake
AGRUPOST Spanish Association of Postharvest Services and Processes
ANS EFSA Scientific Panel on Food Additives and Nutrient Sources added to Food
AOAC Association of Official Agricultural Chemists
AV Acid value
BBM Brush border membrane
BIOHAZ EFSA Panel on Biological Hazards
| Abbreviation | Description |
|--------------|-------------|
| bw | Body weight |
| CAS | Chemical Abstracts Service |
| CEF | EFSA Panel on Food Contact Materials, Enzymes, Flavourings and Processing Aids |
| CEFIC | EFSA Panel on Food Contact Material, Enzymes, Flavourings and Processing Aids |
| CHMP | Committee for Medicinal Products for Human Use |
| CIR | Cosmetic Ingredient Review |
| CONTAM | EFSA Panel on Contaminants in Food Chain |
| EINECS | European Inventory of Existing Chemical Substances |
| EMA | European Agency for the Evaluation of Medicinal Products |
| FAO | Food and Agriculture Organization of the United Nations |
| FCS | Food categorisation system |
| FDE | Food Drink Europe |
| GC-MS | Gas chromatography–mass spectrometry |
| GD | Gestation day |
| GGT | Gamma-glutamyl transpeptidase |
| GLP | Good laboratory practice |
| GOT | Glutamic-oxaloacetic transaminase |
| GNPD | Global New Products Database |
| HPLC | High-performance liquid chromatography |
| ICGA | International Chewing Gum Association |
| INRS | Institut National de Recherche et de Sécurité |
| JECFA | Joint FAO/WHO Expert Committee on Food Additives |
| LD<sub>50</sub> | Lethal dose, median |
| LOD | Limit of detection |
| LOQ | Limit of quantification |
| MB | Middle-bound |
| MLD | Minimum lethal dose |
| MPL | Maximum permitted level |
| NAD<sup>+</sup> | Nicotinamide adenine dinucleotide |
| NOAEL | No observed adverse effect level |
| OECD | Organisation for Economic Co-operation and Development |
| PCE | Polychromatic erythrocyte |
| PND | Postnatal day |
| RACB | Reproductive Assessment by Continuous Breeding |
| SCAN | Scientific Committee for Animal Nutrition |
| SCE | Sister chromatid exchange |
| SCF | Scientific Committee on Food |
| SNE | Specialised Nutrition Europe |
| TemaNord | Is a publishing series for results of the often research-based work that working groups or projects under Nordic Council of Ministers have put in motion |
| WHO | World Health Organization |
| WoE | weight of evidence |
Appendix A – Summary of reported use levels of propane-1,2-diol (E 1520) provided by industry (mg/kg)
Appendix B – Summary of reported use levels of propane-1,2-diol (E 1520) provided by Member States (mg/kg)
Appendix C – Number and percentage of food products labelled with propane-1,2-diol (E 1520) out of the total number of food products present in the Mintel GNPD per food sub-category between 2013 and 2018
Appendix D – Concentration levels of propane-1,2-diol (E 1520) used in the refined exposure assessment scenarios (mg/kg or mL/kg as appropriate)
Appendix E – Summary of total estimated exposure of propane-1,2-diol (E 1520) from its use as a food additive for the refined exposure assessment scenarios per population group and survey: mean and 95th percentile (mg/kg bw per day)
Appendix F – Main food categories contributing to exposure to propane-1,2-diol (E 1520) at the refined exposure assessment scenarios (> 5% to the total mean exposure)
Appendix A–F can be found in the online version of this output ('Supporting information' section).
|
Study of $\pi^+\pi^-\pi^+\pi^-$ production with CMD-3 detector at the VEPP-2000 collider
A. A. Korobov$^{1,2,*}$, R. R. Akhmetshin$^{1,2}$, A. N. Amirkhanov$^{1,2}$, A. V. Anisenkov$^{1,2}$, V. M. Aulchenko$^{1,2}$, V. Sh. Banzarov$^1$, N. S. Bashtovoy$^1$, D. E. Berkaev$^{1,2}$, A. E. Bondar$^{1,2}$, A. V. Bragin$^1$, S. I. Eidelman$^{1,2,5}$, D. A. Epifanov$^{1,2}$, L. B. Epshteyn$^{1,2,3}$, A. L. Erofeev$^{1,2}$, G. V. Fedotovich$^{1,2}$, S. E. Gayazov$^{1,2}$, A. A. Grebenuk$^{1,2}$, S. S. Gribanov$^{1,2}$, D. N. Grigoriev$^{1,2,3}$, F. V. Ignatov$^{1,2}$, V. L. Ivanov$^{1,2}$, S. V. Karpov$^1$, A. S. Kasaev$^1$, V. F. Kazanin$^{1,2}$, I. A. Koop$^{1,2}$, A. A. Korobov$^{1,2}$, A. N. Kozyrev$^{1,3}$, E. A. Kozyrev$^{1,2}$, P. P. Krokovny$^{1,2}$, A. E. Kuzmenko$^{1,2}$, A. S. Kuzmin$^{1,2}$, I. B. Logashenko$^{1,2}$, A. P. Lysenko$^1$, P. A. Lukin$^{1,2}$, K. Yu. Mikhailov$^1$, V. S. Okhapkin$^1$, A. V. Otboev$^1$, E. A. Perevedentsev$^{1,2}$, Yu. N. Pestov$^1$, A. S. Popov$^{1,2}$, G. P. Razuvaev$^{1,2}$, A. A. Ruban$^1$, N. M. Ryskulov$^1$, A. E. Ryzhnenkov$^{1,2}$, A. V. Semenov$^{1,2}$, A. I. Senchenko$^1$, Yu. M. Shatunov$^1$, V. E. Shebalin$^{1,2}$, D. N. Shemyakin$^{1,2}$, B. A. Shwartz$^{1,2}$, D. B. Shwartz$^{1,2}$, A. L. Sibidanov$^{1,4}$, E. P. Solodov$^{1,2}$, V. M. Titov$^1$, A. A. Talyshev$^{1,2}$, A. I. Vorobiov$^1$, and Yu. V. Yudin$^{1,2}$
$^1$Budker Institute of Nuclear Physics, SB RAS, Novosibirsk, 630090, Russia
$^2$Novosibirsk State University, Novosibirsk, 630090, Russia
$^3$Novosibirsk State Technical University, Novosibirsk, 630092, Russia
$^4$University of Victoria, Victoria, BC, Canada V8W 3P6
$^5$Lebedev Physical Institute RAS, Moscow, 119333, Russia
Abstract. The cross section of the process $e^+e^- \rightarrow \pi^+\pi^-\pi^+\pi^-$ has been measured using an integrated luminosity of 17 pb$^{-1}$ collected with the CMD-3 detector in the center-of-mass energy range 650-1000 MeV. High-precision measurements of various hadronic cross sections are of great interest in relation with the problem of the muon anomalous magnetic moment g-2. This measurement can be also used to test the relation between the cross section of $e^+e^- \rightarrow \pi^+\pi^-\pi^+\pi^-$ and the spectral function for the $\tau^- \rightarrow \pi^-\pi^0\pi^0\pi^0$ decay predicted by the conservation of vector current (CVC).
1 Introduction
The VEPP-2000 electron-positron collider has been operated at Budker Institute of Nuclear Physics in the center-of-mass (c.m.) energy range from $\sqrt{s} = 320$ MeV to 2000 MeV. Production of four charged pions in $e^+e^-$ annihilation has been studied before with rather high statistics at the CMD-2 [4] and SND detectors [5] as well as using initial-state radiation (ISR) with BaBar [6] at which a low systematic uncertainty of about 3% was achieved for the $e^+e^- \rightarrow \pi^+\pi^-\pi^+\pi^-$ cross section in the wide c.m. energy range. Earlier experiments are discussed in [7]. In this work the cross section of the process $e^+e^- \rightarrow \pi^+\pi^-\pi^+\pi^-$ has been measured using an integrated luminosity of 17 pb$^{-1}$ collected with the CMD-3 detector in the c.m. energy range 650-2000 MeV. Also studied are the internal dynamics of four-pion
*e-mail: firstname.lastname@example.org
production. High-precision measurements of various hadronic cross sections are of great interest in relation with the problem of the muon anomalous magnetic moment $g-2$. The $e^+ e^- \rightarrow \pi^+ \pi^- \pi^+ \pi^-$ cross section can be also used to test relations between $e^+ e^-$ annihilation and $\tau$ lepton decays based on conservation of vector current.
The general-purpose detector CMD-3 described in detail elsewhere[1] is installed in one of the two interaction regions of the VEPP-2000 $e^+ e^-$ collider. Its tracking system consists of the cylindrical drift chamber (DC)[8] and double-layer multiwire proportional Z-chamber, both also used for a trigger. The electromagnetic calorimeter (EMC) includes three systems. The liquid xenon (LXe) barrel calorimeter with a thickness of 5.4 $X_0$ has a fine electrode structure, providing 1-2 mm spatial resolution [9], and shares the cryostat vacuum volume with the superconducting solenoid. The barrel CsI crystal calorimeter with a thickness of 8.1 $X_0$ is placed outside the LXe calorimeter, and the endcap BGO calorimeter with a thickness of 13.4 $X_0$ is installed inside the solenoid [10].
The luminosity is measured using events of Bhabha scattering at large angles [11] with about 1% accuracy. The c.m. energy has been monitored by using the Back-Scattering-Laser-Light system [12] with about 0.06 MeV systematic uncertainty. To obtain a detection efficiency, we have developed Monte Carlo (MC) simulation of our detector based on the GEANT4[13] package, in which the interaction of generated particles with the detector and its response are implemented. MC simulation includes soft-photon radiation by the electron or positron, calculated according to Ref. [14].
2 Selection of $e^+ e^- \rightarrow \pi^+ \pi^- \pi^+ \pi^-$ events
Candidates for the process under study should have four tracks of charged particles in the DC with the following requirements: the ionization losses of each track in the DC are consistent with the pion hypothesis; a minimum distance from a track to the beam axis in the transverse plane is less than 0.25 cm; a minimum distance from a track to the center of the interaction region along the beam axis $Z$ is less than 12 cm. Reconstructed momenta and angles of the tracks for four-track candidates are used for further selection. The background in the studied energy region comes from the processes $e^+ e^- \rightarrow \pi^+ \pi^- \pi^0$, $e^+ e^- \rightarrow e^+ e^- e^+ e^-$ and $e^+ e^- \rightarrow e^+ e^-$ with extra tracks from decays or nuclear interaction of pions as well as from a conversion of the photons from the $\pi^0$ decay in the detector material. To reduce the background from the reaction $e^+ e^- \rightarrow \pi^+ \pi^- \pi^0$, we require a pion hypothesis for each track in $e/\pi$ separation. After this requirement the remaining contribution from three pions to the number of four-track candidates is less than 5%. The number of signal events is determined using the following criteria:
- $30 > 2E_{beam} - \sum_{i=1}^{4} \sqrt{p_i^2 + m_\pi^2} > -20$ MeV
- $|\sum_{i=1}^{4} \vec{p}_i| < 100$ MeV
These criteria are shown in the 2D distribution in Fig. 2.
3 Electron-pion separation
To suppress background from the processes containing electrons and positrons, we use ionization losses in DC, and track energy deposition in calorimeters. We divided the whole momentum range into two parts: below and above 100 MeV/c. We use ionization losses in DC to separate electrons and pions if the track momentum is below 100 MeV/c. If it is above 100 MeV/c and $E_{cal} - 12/11 * p_{tr} + 70 < 0$ we assume a pion hypothesis for such tracks. We use a clean sample of $e^+ e^- \rightarrow \pi^+ \pi^- \pi^0$ to test the $e/\pi$ separation procedure. Since there is a
difference between simulation and experiment for the energy deposition of negative tracks in the calorimeter, we use the data for this quantity. We assume that this difference is related to simulation of nuclear interaction. The following criteria are used in experimental data:
- Track is referred to as a pion if \( E_{\text{cal}} - 12/11 \times p + 70 < 0 \) and \( p > 100 \text{ MeV}/c \)
- Track is referred to as a pion if \( |f(x) - \frac{dE}{dx}| < 1500 \) and \( p < 100 \text{ MeV}/c \), where \( f(p) = \frac{5.58 \times 10^9}{(p+40)^3} + 2.21 \times 10^3 - 3.77 \times 10^{-1} \times p \)
The following criteria are used in MC data:
- Track is referred to as a pion according to pion identification dependence on track momentum separately for \( \pi^+ \) and \( \pi^- \).
- Track is referred to as a pion if \( |f(x) - \frac{dE}{dx}| < 1500 \) and \( p < 100 \text{ MeV} \), where \( f(p) = \frac{5.58 \times 10^9}{(p+40)^3} + 2.21 \times 10^3 - 3.77 \times 10^{-1} \times p \)
4 Simulation and detection efficiency
To determine the detection efficiency for four-pion events, we use simulation data. To simulate $e^+ e^- \rightarrow \pi^+ \pi^- \pi^+ \pi^-$ events we use the VDM model with the $a_1\pi$ intermediate state. We simulate 100000 $e^+ e^- \rightarrow \pi^+ \pi^- \pi^+ \pi^-$ events at each energy point. We used simulation with radiative corrections. Energy dependence of the detection efficiency is shown in Fig.3. The detection efficiency can be as high as 40% around $E_{cm}=1$ GeV.
5 Preliminary results
We used the following formula to measure $e^+ e^- \rightarrow \pi^+ \pi^- \pi^+ \pi^-$ cross-section: $\sigma = \frac{N_{sig}}{L \epsilon \epsilon (1+\delta)}$, where L is integrated luminosity at this energy, $\epsilon$ is detection efficiency, $1 + \delta$ is the radiative correction calculated according to [14]. We measure the cross section at 100 energy points. In the energy range from threshold up to 1 GeV the cross section rapidly rises. We managed to suppress the $e^+ e^- \rightarrow \pi^+ \pi^- \pi^0$ background around $\omega$ mass. Energy dependence of the $e^+ e^- \rightarrow \pi^+ \pi^- \pi^+ \pi^-$ cross section is shown in Fig. 4. Also shown are the results of the previous experiments. Our results are consistent with the previous experiments. The uncertainties shown are statistical only. A study of systematic effects is in progress.
6 Acknowledgements
We thank the VEPP-2000 personnel for the excellent machine operation. This work is partially supported by the Russian Foundation for Basic Research grants RFBR 17-02-00327-a, RFBR 17-52-50064.
References
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[3] F. Jegerlehner and A. Nyffeler, Phys. Rep. 477, 1 (2009).
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[11] R. R. Akhmetshin et al., Nucl. Phys. B (Proc. Suppl.) 225-227, 69 (2012); G. V. Fedotovich et al., Phys. At. Nucl. 78, 591 (2015).
[12] V. Abakumova et al., Phys. Rev. Lett. 110, 140402 (2013).
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[14] E. A. Kuraev and V. S. Fadin, Sov. J. Nucl. Phys. 41, 466 (1985); S. Actis et al., Eur. Phys. J. C66, 585 (2010).
|
Willed Action and its Impairment in Schizophrenia
Rebecca L M Fuller
Thesis submitted in fulfilment of the requirements for the degree of Doctor of Philosophy
Department of Clinical Neurology
Institute of Neurology
University College London
University of London
ProQuest Number: U643996
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Abstract
Schizophrenia is a disabling psychiatric disorder characterised by positive symptoms (those which the patients experience and are abnormal by their presence such as hallucinations) and negative signs (when the patients lack some element of normal behaviour such as poverty of speech). Frith (1992) suggested that some of the signs and symptoms of schizophrenia reflect a dysfunction of “willed” actions while the processes involved in “stimulus driven” actions remain largely intact. The patients can perform routine acts elicited by environmental stimuli, but have difficulty in producing spontaneous behaviour in the absence of external cues. The aim of this thesis is to examine this hypothesis using a variety of experimental paradigms and procedures to assess willed initiation and preparation as well as willed suppression of action in schizophrenia.
The aim of Study 1 was to assess the initiation and preparation of willed actions in 10 patients with schizophrenia and 13 controls using reaction time (RT) tasks that differ in the degree to which they involve volitionally controlled versus stimulus-driven responses. Subjects performed a visual simple RT (SRT), an uncued four choice reaction time (CRT) and a fully cued 4 choice RT task. For both groups, fully cued CRTs were significantly faster than the uncued CRTs. However, the S1-S2 interval had a differential effect on CRTs in the two groups. For the normals fully cued CRTs and SRTs were equivalent when S1-S2 intervals were 800 ms or longer. A similar pattern of effects was not seen in the patients with schizophrenia, for whom the fully cued CRT were unexpectedly equivalent to SRT for the 200 ms interval and expectedly for the 1600 ms S1-S2 interval, but not the 3200 or 800 ms intervals. Patients with schizophrenia were able to use the advance information inherent in SRT or provided by the precue in fully cued CRT to speed up RT relative to uncued CRT. However, in the
latter task, where the volitional demands of programming are higher since a *different* response has to be prepared on each trial, patients showed some unusual and inconsistent interval effects suggesting instability of attentional set.
Study 2 examined performance of 11 patients with schizophrenia and 13 normal controls on two motor tasks (placing pegs in a pegboard and repetitive index finger tapping) under unimanual, bimanual and dual task conditions. The patients with schizophrenia placed fewer pegs and had reduced tapping speed in unimanual and bimanual conditions compared to controls. However the decrement in bimanual performance as a percentage of unimanual performance was not significantly different for the patients and controls on either the pegboard or tapping tasks. In contrast under dual task conditions, for the patients peg placement actually *improved* relative to unimanual pegboard task, whereas tapping performance deteriorated compared to the unimanual tapping, a decrement that was significantly greater for the patients. Thus the improvement in the visually guided pegboard task was at the expense of the repetitive tapping task.
The aim of Study 3 was to examine the above hypothesis by measuring movement related potentials (MRPs) prior to self-initiated and externally-triggered movements in three groups: 6 patients with schizophrenia with high ratings of negative signs, 5 patients with of schizophrenia with high ratings of positive symptoms and 6 normal controls. Subjects lifted their right index finger at an average rate of once every 3 seconds in two conditions, either as self-initiated movements, or as a response to a tone while MRPs were recorded from frontal, fronto-central, central and parietal sites. The patients with schizophrenia and high ratings of negative signs had significantly reduced amplitude of MRPs for the late and peak components and reduced slope of the early and
late MRPs prior to self-initiated movements. These group differences were not found prior to externally-triggered movements. The patients with schizophrenia with higher ratings of positive symptoms did not differ significantly from the normal controls in terms of amplitude or slope of MRPs prior to self-initiated or externally-triggered movements.
Studies 4, 5 and 6 examined willed suppression. Go no-go RT tests have both a relevant stimulus requiring a response and to-be-ignored stimuli requiring the response to be withheld, i.e. response inhibition. The aim of Study 4 was to examine the ability to withhold a response in conditions with increased complexity of decision-making for identifying 'go' stimuli in 14 patients with schizophrenia and 12 normal controls. The aim of Study 5 was to examine the ability to withhold a response in conditions with greater dimensional overlap between the non-target no-go and the target go stimuli in 14 patients with schizophrenia and 12 normal controls. The patients were divided into two groups, the 'high symptom' group consisted of the 7 patients with ratings of positive symptoms higher than the group median of 9, and the 'low symptom' group consisted of the 7 patients with positive symptom ratings below 9. The patients with 'high symptom' ratings had slower RTs than the controls which were significant for the SRT conditions of both tasks, and approached significance for the CRT conditions of both tasks. The differences in SRT or CRT between the 'low symptom' group and the controls were not statistically significant for either task. In Study 5 the controls showed greater slowing between CRT1 and CRT2 than between CRT2 and CRT3, whereas the RTs of 'low symptom' patients did not differ at all between CRT1 and CRT2 and slowed greatly for CRT3. Both patient groups had slower response times than controls in the Hayling test, and produced significantly fewer words in the alternating word
fluency task compared to the controls. Performance on the cognitive tasks correlated with performance on the no-go tasks.
Negative priming refers to the slowing of reaction times that occurs when an ignored distractor stimulus in a first trial (prime) becomes the target stimulus in the subsequent trial (probe) (Tipper, 1985). Unlike normal controls, patients with schizophrenia fail to show significant negative priming, that is, the significant delay of reaction times on probe trials are not present (Beech et al., 1989; David, 1995). The aim of study 6 was to examine the spatial negative priming effect in schizophrenia using a new paradigm that allows the effects of perceptual mismatch on RT to be considered independently of any spatial negative priming effects. The patients with schizophrenia did not show any spatial negative priming in conditions with or without perceptual mismatch. These results constitute the first unequivocal demonstration of impaired inhibitory processes in schizophrenia based on reduced negative priming effects.
These results provide some overall but not uniformly consistent support for the hypothesis that patients with schizophrenia have an impairment in willed action while stimulus driven action remains intact.
# Table of Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Abstract | 3 |
| List of Tables | 12 |
| List of Figures | 13 |
| Acknowledgements | 15 |
| Extent of my personal contribution | 16 |
| **CHAPTER 1: An Introduction to Schizophrenia** | 17 |
| 1.1 What is Schizophrenia? | 17 |
| 1.1.1 Diagnostic criteria | 17 |
| 1.1.2 Epidemiology and Course | 17 |
| 1.2 Heterogeneity of Schizophrenia | 19 |
| 1.2.1 Aetiological Heterogeneity | 19 |
| 1.2.2 Heterogeneity in Treatment Response and Outcome | 20 |
| 1.2.3 Cognitive Neuropsychological Heterogeneity | 22 |
| 1.2.4 Heterogeneity of Symptoms | 24 |
| 1.2.5 Neurophysiological Heterogeneity | 31 |
| 1.3 Diagnostic and Symptom Rating Instruments | 32 |
| 1.4 Physiological Hypotheses of Schizophrenia | 36 |
| 1.4.1 Dopamine Hypothesis | 36 |
| 1.4.2 ‘Hypofrontality’ hypothesis | 37 |
| 1.5 Cognitive-Anatomical Models of Schizophrenia | 41 |
| 1.5.1 Hemsley’s (1987) Cognitive Model | 41 |
| 1.5.2 Gray et al.’s (1991) Anatomical Model | 44 |
| 1.5.3 Cerebral Lateralization Hypothesis | 47 |
| 188.8.131.52 Cognitive evidence | 47 |
| 184.108.40.206 Psychophysiological Evidence | 49 |
| 1.5.4 Frith’s (1987, 1992) Neuropsychological Model | 51 |
| 220.127.116.11 Dysfunction of Willed Actions | 51 |
| 18.104.22.168 Impaired Self-Monitoring | 54 |
| 1.6 General Aims of Thesis | 56 |
| 1.7 General Approach to Statistical Analysis | 57 |
| 1.8 Patient Selection Criteria | 58 |
CHAPTER 2
Study 1: Impairment of Willed Actions and Use of Advance Information for Movement Preparation in Schizophrenia
2.1 Introduction 60
2.2 Methods 63
2.2.1 Design 63
2.2.2 Subjects 65
2.2.3 Procedure—Reaction Time Tasks 65
22.214.171.124 Simple Reaction Time (SRT) 66
126.96.36.199 Four Choice Reaction Time (CRT) 66
188.8.131.52 Uncued CRT 66
184.108.40.206 Fully Cued CRT 66
2.2.4 Order of Testing 66
2.2.5 Statistical Analysis 67
2.3 Results 68
2.3.1 Error data 69
2.3.2 Unwarned SRT vs Unwarned and Uncued CRT 70
2.3.3 Uncued CRT vs Fully Cued CRT 70
2.3.4 SRT vs Fully Cued CRT 75
2.3.5 Movement Time 75
2.3.6 Correlational Analysis 75
2.4 Discussion 78
2.4.1 Use of stimulus-response invariance for preprogramming in SRT: SRT vs uncued CRT 80
2.4.2 Use of advance movement parameter information for preprogramming in CRT: Fully cued CRT vs uncued CRT or SRT 81
2.4.3 Deficits in Volitional Processes in Schizophrenia 83
CHAPTER 3
Study 2 Concurrent Performance of Motor Tasks and Processing Capacity in Patients with Schizophrenia
3.1 Introduction 86
3.2 Method 87
3.2.1 Subjects 87
3.2.2 Procedure 88
3.3 Results 89
3.3.1 Correlational Analysis 92
3.4 Discussion 95
CHAPTER 4 99
Study 3 Movement Related Potentials prior to self-initiated and externally triggered movements in Schizophrenia 99
4.1 Introduction 99
4.2 Method 101
4.2.1 Design 101
4.2.2 Subjects 101
4.2.3 Procedure 104
220.127.116.11 Self-initiated Movements 104
18.104.22.168 Externally Triggered Movements 104
22.214.171.124 Rest 104
4.2.4 Recording of MRPs 105
4.2.5 Analysis of MRPs 106
4.3 Results 108
4.3.1 Behavioural Data 108
4.3.2 Latencies 109
4.3.3 Amplitudes 110
126.96.36.199 MRPs prior to self-initiated movements 110
188.8.131.52 MRPs prior to externally triggered movements 111
4.3.4 Slopes 111
184.108.40.206 MRPs prior to self-initiated movements 111
220.127.116.11 MRPs prior to externally triggered movements 115
4.3.5 Correlational Analysis 115
4.4 Discussion 118
CHAPTER 5 123
Studies 4 and 5 Behavioural suppression in a go no-go reaction time task in schizophrenia: The effect of choice complexity and target/non-target stimull similarity on response inhibition 123
5.1 Introduction 123
5.2 Method 126
| Section | Page |
|------------------------------------------------------------------------|------|
| 5.2.1 Subjects | 126 |
| 5.2.2 Procedure | 129 |
| 18.104.22.168 Study 4 | 129 |
| 22.214.171.124 Study 5 | 131 |
| 126.96.36.199 Cognitive Tests | 133 |
| 5.2.3 Statistical Methods | 135 |
| 5.3 Results | 137 |
| 5.3.1 Study 4 | 137 |
| 188.8.131.52 Movement Time | 137 |
| 184.108.40.206 Error Data | 138 |
| 220.127.116.11 SRT Condition | 140 |
| 18.104.22.168 CRT Condition | 142 |
| 5.3.2 Study 5 | 144 |
| 22.214.171.124 Movement Time | 144 |
| 126.96.36.199 Error Data | 145 |
| 188.8.131.52 SRT Condition | 146 |
| 184.108.40.206 CRT Condition | 146 |
| 5.3.3 Comparison of Study 4 and Study 5 | 150 |
| 220.127.116.11 SRT Conditions | 150 |
| 18.104.22.168 CRT Condition | 150 |
| 5.3.4 The Results of the Cognitive Testing | 151 |
| 5.3.5 Correlational Analysis | 154 |
| 5.4 Discussion | 158 |
| 5.4.1 Group Differences in SRT Conditions | 159 |
| 5.4.2 The effect of complexity of no-go decision making and | 160 |
| dimensional overlap of target/non-target stimuli on go no-go CRTs| |
| 22.214.171.124 Study 4 | 160 |
| 126.96.36.199 Study 5 | 163 |
| 5.4.3 Group differences on cognitive tests requiring response | 163 |
| suppression | |
**CHAPTER 6**
*Study 6: Reduced negative priming does indicate reduced cognitive inhibition in schizophrenia*
6.1 Introduction | 167 |
6.2 Method | 173 |
| Section | Page |
|------------------------------------------------------------------------|------|
| 6.2.1 Subjects | 173 |
| 6.2.2 Task | 176 |
| 6.2.3 Design | 177 |
| 6.3 Results | 178 |
| 6.3.1 Prime Display | 178 |
| 6.3.2 Probe Display | 178 |
| 6.3.3 Probe Error Data | 181 |
| 6.3.4 Correlational Analysis | 181 |
| 6.4 Discussion | 184 |
| **CHAPTER 7** | |
| General Discussion | 189 |
| 7.1 Willed Preparation and Initiation of Action in Schizophrenia | 189 |
| 7.2 Willed Suppression in Schizophrenia | 195 |
| 7.3 Possible Anatomical Substrates of Cognitive Deficits | 200 |
| 7.4 Symptom Severity and Neuropsychological Results | 201 |
| 7.5 The Limitations of the Present Studies | 201 |
| 7.6 Conclusion | 204 |
| References | 206 |
| List of publications from this thesis | 245 |
| Reprints of publications | 246 |
# List of Tables
## CHAPTER 1
1.1 Diagnostic Criteria for Schizophrenia 18
1.2 The Symptoms and Signs of Schizophrenia 26
## CHAPTER 2
2.1 Details of Subject Groups 64
2.2 Pearson’s Correlations 77
2.3 Pearson’s Partial Correlations 78
## CHAPTER 3
3.1 Performance of the two groups on the tapping and Purdue pegboard tasks (mean and standard deviation) under unimanual, bimanual, and dual task conditions 90
3.2 Pearson’s Correlations 93
3.3 Pearson’s Partial Correlations 94
## CHAPTER 4
4.1 The details of the three subject groups 103
4.2 The mean behavioural data for the three groups for the self-initiated, externally and variable triggered movements 109
4.3 The mean latencies for the groups for the self-initiated and externally-triggered movements 109
4.4 Pearson’s Correlations 117
4.5 Pearson’s Partial Correlations 118
## CHAPTER 5
5.1 Details of Subject Groups 127
5.2 Ratings from the Scale for the Assessment of Positive Symptoms and the Assessment of Negative Symptoms (Andreasen, 1984) for the patients, subdivided into two groups 128
5.3 The mean MTs and standard deviation (SD) for each group for Study 4 and the results of the ANOVAs on MTs 138
5.4 Median error values (and range) for Studies 4 and 5 139
5.5 The mean MTs and standard deviation (SD) for each group for Study 5 and the results of the ANOVAs on MTs 145
5.6 Pearson’s Correlations 156
5.7 Pearson’s Partial Correlations 157
List of Tables (Continued)
CHAPTER 6
6.1 Previous studies of negative priming in patients with schizophrenia 171
6.2 Details of subject groups 174
6.3 Mean percentage of errors (and standard deviations) for each group in each condition 181
6.4 Pearson’s Correlations 183
6.5 Pearson’s Partial Correlations 183
List of Figures
CHAPTER 1
1.1 Proposed Cortical – Basal Ganglia – Thalamic – Cortical Loops from Alexander et al. (1986) 39
1.2 Model of cognitive abnormalities and symptoms of schizophrenia (from Hemslcy, 1987, 1994) 42
1.3 Anatomical model of cognitive function (adapted from Gray et al. 1991) 45
1.4 Stimulus-driven and willed actions from Frith (1992). 52
CHAPTER 2
2.1 Mean reaction time for the normal subjects and the schizophrenic subjects in the unwarned simple reaction time (SRT) (black bar) and the uncued and unwarned choice reaction time (CRT) (white bar) tasks. 72
2.2 Mean reaction times for the normal subjects and the patients with schizophrenia in uncued (circle), and fully cued (square) CRT conditions 73
2.3 Mean reaction times for the normal subjects and the patients with schizophrenia in SRT (triangle) and fully cued CRT (square) conditions 74
CHAPTER 4
4.1 Grand averages of the movement-related potentials preceding self-initiated movements for the normals (dark lines), patients with positive schizophrenia (light lines) and negative schizophrenia (dotted lines). 112
4.2 Grand averages of the movement-related potentials preceding externally-triggered movements for the normals (dark lines), patients with positive schizophrenia (light lines) and negative schizophrenia (dotted lines) 113
4.3 Averaged movement-related potentials preceding self-initiated movements for one patient from the 'positive' group (black thin dotted line) with high levels of medication (anticholinergic dose = 100 mg, neuroleptic dose = 320 mg) and one patient from the 'negative' group (thick solid line) with low levels of medication (anticholinergic dose = 0 mg, neuroleptic dose = 130 mg) 114
CHAPTER 5
5.1 The stimuli used in Study 4 for the go no-go reaction time task 130
5.2 The stimuli used in Study 5 for the go no-go reaction time task 132
5.3 The mean reaction times for the controls, ‘low symptom’ patients and ‘high symptom’ patients for Run 1(white), Run 2(grey) and Run 3 (black) for the SRT condition of Study 4 141
List of Figures (Continued)
5.4 The mean reaction times for the controls, ‘low symptom’ patients and ‘high symptom’ patients for CRT 1(white), CRT 2(grey) and CRT 3 (black) for the CRT condition of Study 4
5.5 The mean reaction times for the controls, ‘low symptom’ patients and ‘high symptom’ patients for the SRT condition of Study 5
5.6 The mean reaction times for the controls, ‘low symptom’ patients and ‘high symptom’ patients for CRT 1(white), CRT 2(grey) and CRT 3 (black) for the CRT condition of Study 5
5.7 Mean response times for the initiation condition (white) and the suppression condition (grey) of the controls and ‘high symptom’ patients in the Hayling test.
CHAPTER 6
6.1. The four priming conditions
6.2. The mean of median reaction times (RT) to the probes for the patients with schizophrenia and normal controls in each of the four conditions
Acknowledgements
I indebted to Dr Marjan Jahanshahi for her help and supervision through the years. She has been an inspiration. It is because of her kindness, patience, constructive criticism and extraordinary teaching skills that I have been able to come so far and learn so much, and I am forever grateful for her guidance. I will always value her as a friend as a mentor.
I would also like to thank:
- Professor Chris Frith for his advice and guidance. His words of wisdom have helped immensely.
- everyone in the MRC HMBU for the friendship and laughs they provided.
- Steve Tipper and Bruce Weaver for providing me access to their computer program CLXX1.exe.
- all the volunteers who agreed to take part in my research studies.
- my family for a lifetime of encouragement and positive reinforcement.
I gratefully acknowledge the Brain Research Trust and the Wellcome Fellowship for funding my employment while undertaking this degree.
Finally I would like to thank Richard for being so supportive, understanding and just generally wonderful throughout the duration.
The Extent of My Personal Contribution
In accordance with the requirements of the University of London, the extent of my personal contribution to the work in this thesis is specified as follows:
During part of the time in which the work was carried out, I was employed as a full time researcher on grants from the Brain Research Trust (2 years) and The Wellcome Trust (1 year). The grant holder was Dr M. Jahanshahi, Department of Clinical Neurology, University College London. My primary supervisor for my thesis was Dr Jahanshahi and my secondary supervisor was Professor C. D. Frith. I made a major contribution to the design of the studies contained in this thesis; I collected all the data and completed all the data analysis.
This thesis is entirely my own original work and no other person should be held accountable for its contents.
Rebecca L. M. Fuller
I certify that this is a correct statement of Rebecca L M Fuller’s contribution
Dr M. Jahanshahi
Department of Clinical Neurology
CHAPTER 1
An Introduction to Schizophrenia
1.1 What is Schizophrenia?
1.1.1 Diagnostic Criteria
Schizophrenia is a severely disabling psychiatric disorder characterised by many different symptoms. Kraepelin (1906) first described dementia praecox, later to be known as schizophrenia, in terms of a functional psychosis for which there was no known organic cause. He spoke of the gradual development of the illness, and the difficulty of pinpointing its onset. He stated that in most cases, if there is improvement it is only temporary. Bleuler (1911) first used the term ‘schizophrenia’ to refer to the ‘splitting of psychic’ functions. He described schizophrenia as a group of psychoses that vary in severity, are sometimes chronic, and offer little chance of complete recovery. Today there is still no known cause for schizophrenia. It is not characterised by a single symptom, but is diagnosed based on the presence of a series of abnormal symptoms and behaviours persisting for 6 months and overall impairment in social functioning (See Table 1.1).
1.1.2 Epidemiology and Course
The lifetime risk of developing schizophrenia is about 1 in 100 (DSM-IV, 1994) and the age of onset is usually the early to middle twenties for men and the late twenties for women (DSM-IV, 1994). It is equally common in men and women and appears to be unrelated to cultural or social factors (DSM-IV, 1994).
Table 1.1 Diagnostic Criteria for Schizophrenia
A. Characteristic Symptoms: 2 or more of the following *:
1. Delusions
2. Hallucinations
3. Disorganised Speech (e.g., frequent derailment or incoherence)
4. Grossly Disorganised or Catatonic Behaviour
5. Negative Signs i.e. affective flattening, alogia, or avolition
*Only one of these symptoms are required if the delusions are bizarre or hallucinations consist of a voice keeping a running commentary on the person’s behaviours or thoughts, or two or more voices conversing with each other.
B. Social/ Occupational Dysfunction: 1 or more major areas of functioning, such as work, interpersonal relations, or self-care, are markedly below the level achieved prior to onset.
C. Duration: Continuous signs of the disturbance persist for at least 6 months. The 6-month period must include at least 1 month of symptoms that meet criterion A.
D. Exclusions: The disturbance is not due to the direct physiological effects of a substance (e.g., a drug of abuse, a medication) or a general medical condition.
From the American Psychiatric Association: Diagnostic and Statistical Manual of Mental Disorders, edition 4, Washington, DC, APA, 1994.
The onset and course of schizophrenia is variable. Many individuals either perform below siblings in school, or have trouble in adulthood holding down jobs and are usually employed at a lower level than their parents. This leads to ‘downward drift’ and as a result, more patients with schizophrenia are reported from the lower levels of the socio-economic strata. Individuals normally go through a prodromal stage marked by
slow development of various signs and symptoms such as social withdrawal, deteriorating hygiene or sudden outbursts of anger. Often family members will refer to the individual as 'going through a phase'. Later the appearance of clear characteristic symptoms such as auditory hallucinations or firmly held delusions lead to the individual seeking/ being sent for hospital treatment, at which point schizophrenia is usually diagnosed. The course of schizophrenia varies among individuals. Some report many fluctuations between episodes of severe symptoms and remission while others remain chronically ill. Complete remission is rare. Of those who remain chronically ill, some show a stable course while others worsen progressively.
1.2 Heterogeneity of Schizophrenia
Schizophrenia is universally accepted as a heterogeneous disorder (Andreasen et al., 1999) as patient profiles differ greatly in terms of the neurophysiological dimensions as well as the clinical dimensions of aetiology, treatment response, outcome, cognitive dysfunction and most importantly the diagnosis and symptoms.
1.2.1 Aetiological Heterogeneity
Although, by definition, schizophrenia is diagnosed in the absence of any physical injury to the brain, a substantial amount of research has been conducted to discover the underlying organic nature of schizophrenia.
Twin and adoption studies have shown that an inherited vulnerability to schizophrenia exists (Kendler, 1983; Kety et al., 1968; Kety et al., 1994), but the search for a 'schizophrenia gene' has not refuted the heterogeneity argument. Whereas schizophrenia was found to be linked to chromosome 5 in several British and Icelandic families (Sherrington et al., 1988) there was no link between schizophrenia and that
chromosome in a large Swedish family (Kennedy et al., 1988). A link between schizophrenia and chromosome 22 has been reported by some (Coon et al., 1994; Vallada et al., 1995) but not found by others (Kalsi et al., 1995). While there is a general belief that genetic factors play an important role in schizophrenia, as monozygotic twins have a concordance rate of 48% instead of 100%, it appears that in addition to genetic predisposition some combination of environmental factors also are involved (Wright and Woodruff, 1995).
It is also accepted that a large proportion of patients diagnosed with schizophrenia are sporadic cases as no relatives have suffered from the disorder (Dalen and Hays, 1990). Explanations for the sporadic cases of schizophrenia include obstetric complications during birth or a viral infection during pregnancy. While studies have reported links between obstetric complications and schizophrenia (Dalaman et al., 1999; Eagles et al., 1990; Lane and Albee, 1966; Woerner et al., 1971), most individuals born with obstetric complications do not go on to develop psychiatric disorders (Buka et al., 1993). A study of the Finnish influenza epidemic of 1957 reported increased rates of schizophrenia in people exposed to viral infections during the second trimester of development (Mednick et al., 1988), but this finding was not replicated in a Scottish study of influenza epidemics (Kendall and Kemp, 1989) and subsequently other studies have found no association between schizophrenia and influenza prevalence at any month of prenatal life (Westergaard et al., 1999).
1.2.2 Heterogeneity in Treatment Response and Outcome
Conventional antipsychotics have been administered for more than 40 years to treat schizophrenia, yet there seems to be no standard dosage. Instead a patient’s medication is often determined by trial and error, adjusting the dose until symptoms reduce or
extrapyramidal side-effects prevent an increase. The dosage of antipsychotic drugs only weakly predicts their therapeutic effects and there is marked individual variability in the handling of antipsychotics (Davis 1974). Early studies found that approximately 10% of patients are either worse or show no change with antipsychotic treatment and about 20% of patients only improve minimally (Cole et al., 1964; Goldberg 1985). More recent studies have shown that 50 to 75 percent of patients with schizophrenia respond favourably to conventional antipsychotics (Lautin et al., 1980; Mattes et al., 1985; Pickar et al., 1992; Siris et al., 1987) suggesting that 25 to 50 percent of patients with schizophrenia have an unsatisfactory response to conventional antipsychotics.
The new atypical antipsychotics, for example Clozapine, differ from the conventional antipsychotics in that they do not produce standard or ‘typical’ dopamine receptor blockade effects in animals (Farde et al., 1992; Meltzer et al., 1989). They were designed to produce fewer extrapyramidal side-effects and some studies have reported an improvement in the negative signs (Meltzer et al., 1986, Coryell et al., 1990) but not all have reported this improvement (Johnstone et al., 1979, Angrist et al., 1980).
The outcome of schizophrenia varies greatly across individuals (Davidson and McGlashan 1997). Length of hospitalisation differs, as seen in a longitudinal study where the mean duration of hospitalisation was 13.7 months over a 10-year period with a range of less than one month to 120 months (Johnstone 1992). Long-term outcome differs as well. Generally patients with lower ratings of pre-morbid social relationships and life skills have a greater chance of poor long-term functioning than those with higher pre-morbid ratings (Fenton and McGlashan, 1987), but reports show that some patients fully recover while others remain continuously incapacitated and many lie in between (Riecher-Rossler and Rossler, 1998; McGlashan and Carpenter, 1988; Angst,
While it is generally accepted that outcome is poor for patients having a long duration of illness, there are still reports of late onset improvement in patients with schizophrenia (McGlashan 1986).
### 1.2.3 Cognitive Neuropsychological Heterogeneity
Cognitive impairment in schizophrenia has been reported in thousands of studies since Kraepelin’s and Bleuler’s clinical accounts of schizophrenia in areas including attention, memory and abstract reasoning and problem solving (Gold and Harvey, 1993). While it is widely accepted that patients with schizophrenia have an underlying cognitive deficit, the exact nature of this deficit has not been determined. The heterogeneity of cognitive dysfunction in schizophrenia lies in both the degree of impairment and in performance deficits (Shallice et al., 1991). Although many studies have reported impaired performance of patients with schizophrenia on a particular task, there are always exceptions, for example, performance on the Wisconsin Card Sort Task was impaired in patients with schizophrenia in a study by Weinberger et al. (1986) yet Braff et al. (1991) found no significant differences between patients and controls on this task.
There have been numerous attempts to derive subtypes of schizophrenia based on cognitive function (Goldstein, 1990; Heinrichs and Awad, 1993; Goldstein and Shemanksy, 1995). These authors found widespread cognitive heterogeneity among the patients with schizophrenia, but they discovered four to five groups around which the results cluster. The two extreme clusters include one group with near normal cognitive function and one group with greatly impaired cognitive function while the middle groups were moderately impaired on the cognitive tasks, differing on the amount of
psychomotor impairment (Goldstein, 1990; Heinrichs and Awad, 1993; Goldstein and Shemansky, 1995). Thus within these groups of patients with schizophrenia there were very differing results, from practically normal to severely impaired performance on tasks such as the WSCT, the California Verbal Learning Test, The Purdue Pegboard, Trail Making Test. An attempt to discover significant associations among four similar WAIS-R-based clusters and symptom profiles proved unsuccessful (Seaton et al., 1999). Other studies have failed to find an association between ratings of symptoms and cognitive impairment (Dickerson et al., 1991) although many studies have found that neuropsychological deficits appear to be associated with negative signs (Johnstone et al., 1976, Frith 1992, Braff et al., 1991, Merriam et al., 1990).
Outside influences may add to the heterogeneity of cognitive function in schizophrenia, such as age at testing, length of illness, length of institutionalisation, amount of education, intellectual level, medication level, type of medication (typical vs atypical antipsychotics) comorbidity or neurological complaints but the diversity of cognitive function in schizophrenia is most likely explained by the heterogeneity within schizophrenia itself (Goldstein and Shemansky, 1995).
1.2.4 Heterogeneity of Symptoms
Perhaps the area of greatest heterogeneity in schizophrenia is in the classification and diagnosis of the disorder. While Kraepelin (1906) divided the disorder into four subtypes (catatonic, hebephrenic, paranoid and simple) Bleuler (1911) focused on two types of symptoms, fundamental symptoms (disturbances of associations and changes in emotions) and accessory symptoms (including hallucinations, delusions and abnormal behaviours). Later Schneider (1959) suggested that certain positive symptoms such as commentary hallucinations, thought withdrawal and insertion, which are not seen in other disorders, could be considered the defining characteristics of schizophrenia.
The experiences of patients with schizophrenia vary greatly. Imagine a man who has little facial expression, remains in bed most of the day, fails to even get up to turn on or off the television, responds to questions in single word answers and has no desire to speak or even be close to his family and friends. Now imagine a woman who is convinced that someone is bugging her home and tracing her every move by radar, reports that she hears creaks or noises in the house that are caused by the ‘people’ who are stalking her, writes letters to members of parliament and governmental officials on a daily basis and enters chat rooms on the internet discussing the problems of her surveillance for hours on end. Then imagine a third person, who speaks with extreme rapidity and has a tendency to choose words that rhyme rather than completing a thought, who hears people talking to him even when he is alone and who believes that his thoughts are not his own but placed there by some outside entity. It is amazing that three people with such varying experiences could be suffering from the same disorder. Yet they would all receive a diagnosis of schizophrenia.
There is even heterogeneity in modern psychiatry’s diagnosis of schizophrenia which relies on two major classification systems, DSM IV and ICD10. While the DSM IV requires duration of symptoms for 6 month for a diagnosis of schizophrenia, the ICD10 requires only 1 month.
Fundamental research in the phenomenology of schizophrenia has supported a dichotomy of symptom profiles in schizophrenia (Strauss et al., 1974; Crow 1980; Andreasen and Olsen, 1982; Andreasen et al., 1982). It was believed that the positive symptoms such as hallucinations and delusions were prominent in the acute stage of schizophrenia (Type I) while the negative signs and symptoms were thought to prevail in the chronic stage of schizophrenia (Type II).
Positive symptoms are those which patients experience that make them different from others, such as hallucinations and delusions. The patient must report these symptoms - because they are not observable. They are closely linked with acute schizophrenia and are normally alleviated by neuroleptic drugs. The negative features exist when patients lack some element of normal behaviour, as seen in flattening of affect, poverty of speech and social withdrawal, and are usually associated with chronic schizophrenia. Because they are noted by some ‘absence’ of normal behaviour and are not dependant on the patient’s self reported symptoms, Frith (1992) suggests that the label ‘negative signs’ is more accurate than ‘negative symptoms’.
False beliefs that the patient firmly holds are known as delusions. For instance, a patient may believe the CIA or the police are looking for him for a crime that he has not committed or to help them with their investigations. Another patient may believe there is a bullet implanted inside her head, when in fact there is no entry wound, and she has
never actually been shot. Sometimes a patient may have a grandiose belief that he is a famous person or a religious entity. These delusions can be firmly held and the patient may make up long and involved stories to explain many parameters of his or her life in order to justify or explain the delusion.
Table 1.2. The Symptoms and Signs of Schizophrenia
| Positive Symptoms | Negative Signs |
|-------------------------------------------------------|---------------------------------|
| • Thought insertion /thought withdrawal / thought broadcast | • Poverty of speech |
| • Thoughts spoken aloud/ thought echo | • Poverty of action |
| • Auditory hallucinations (third or second person) | • Social withdrawal |
| • Delusions of control and reference | • Flattened affect |
| • Paranoid delusions | • Avolition |
| • Stereotyped behaviour | • Catatonic behaviour |
| • Thought disorder (disorganised speech) | |
Adapted from Frith (1992). *The Cognitive Neuropsychology of Schizophrenia*. LEA: Hove
Hallucinations can be of any sensory modality, for example seeing things that are not present or experiencing unusual smells but are usually auditory. During auditory hallucinations a patient may hear voices talking about him/her in the third person, or the voices may speak to him/her directly or he/she may hear two or more voices discussing his/her movements or thoughts.
Thought disorder, or disorganised speech, is characterised by a speech pattern that is not fluent and difficult to understand. A patient may slip off track from one topic to another loosely related topic or choose words that rhyme rather than choosing words that complete a thought. Sometimes there is ‘pressure of speech’ and the patient speaks rapidly and compulsively and is difficult to interrupt.
Catatonic behaviour is extreme lack of movement. The patient may be frozen or locked into a position, even a seemingly uncomfortable position for hours.
An example of grossly disorganised behaviour would be dressing in a completely inappropriate manner - such as wearing only shorts and no shoes or shirt in the middle of winter, or saying things or doing things in public which are completely inappropriate, or collecting strange and worthless things. Perseveration refers to the intrusion of a response that was previously correct but is no longer relevant. When asked the day a person with schizophrenia may correctly answer ‘Tuesday’, and then when asked the month the patient might respond ‘Tuesday’ and when asked his favourite colour he might respond ‘Tuesday’. Although the patient understands the questions he is unable to inhibit that first response. Stereotyped movements (stereotypy) occur when a patient makes the same movement over and over again to no particular end, sometimes in a ritualistic manner insisting that something terrible will happen if the sequence is broken. An example would be a patient touching his glasses then his nose then his hair, then repeating this series three times in a row, over 100 times a day - with an apparent inability to inhibit the urge to repeat the sequence.
The negative signs include blunt affect, which is marked by lack of facial expression, and poor eye contact. Alogia is a restriction in the fluency of thought and speech,
noticeable by the one-word answers a patient may give to open-ended questions and a lack of additional information offered in conversation. A patient with severe negative signs may fail to bathe or change clothing daily and may have trouble completing tasks once started. He/she may also have few interests, or may not enjoy things as much as he/she used to, and suffer from an overall decrease in initiation of goal-directed behaviour (avolition).
These abnormal signs (patient’s behaviour) and symptoms (reports of mental state) can be brought on by other brain abnormalities such as tumours or drug abuse, but it is particularly in the absence of any such organic explanation that the diagnosis of schizophrenia is reached.
Neuroleptic medications are effective in the control of most positive symptoms, but negative signs are not usually affected by them. Although neuroleptic medication can produce side effects that resemble these negative signs, Kraepelin reported episodes of poverty of speech, poverty of action and asociality in people with ‘dementia praecox’ long before neuroleptic medicines were used. It is important to note that there is not a direct relationship between positive symptoms and negative signs. The ratings seem to be uncorrelated (Frith, 1992). Hemsley (1977) suggests that the negative signs of patients with schizophrenia are secondary to the ‘information overload’ which they experience. In order to adapt to the constant bombardment of information they develop these negative signs, such as poverty of speech and social withdrawal, as strategies to reduce the effects of the attentional impairment. But, more recent research has shown that on average, negative signs emerge a few years earlier than the positive symptoms but the patient is not diagnosed as suffering from schizophrenia until the positive symptoms are reported by the patient (Häfner and an der Heiden, 1997).
Liddle, (1995) suggests that the heterogeneity of schizophrenia is best described in terms of multiple dimensions of a single illness. Liddle (1987a,b, 1995) proposed that three subtypes of schizophrenia exist based on symptom type: psychomotor poverty, disorganization, and reality distortion. As the psychomotor poverty subtype greatly resembles the negative signs or symptoms of schizophrenia, Liddle effectively divided the positive symptom category into two distinct subtypes allowing for more emphasis to be placed on the disorganization of thought disorder. The exact quality and number of symptom dimensions in schizophrenia is still fervently debated. The different dimension of symptoms determined in a group of patients with schizophrenia depends on both the sample of patients tested and the collection of symptoms assessed (Johnstone and Frith, 1996). The positive symptoms are generally reported by the patient and are not confounded by movement or affect disorders. An auditory hallucination is rarely confused with a trait found in a healthy population. Negative signs can possibly resemble depression or the akinesia resulting from neuroleptic drugs. There is evidence of depression in schizophrenia both in first episode patients (Wassink et al., 1999; Koreen et al., 1993) and in chronic older patients (Zisook et al., 1999). Research has shown, however, that patients with high ratings of negative signs do not rank high on depression (Pogue-Guile and Harrow, 1984; Johnstone and Frith, 1996). Instead, ratings of hallucinations and delusions are more often linked with depressed state and suicidal ideas (Johnstone and Frith, 1996).
Carpenter and colleagues (1988) have further delineated the group of negative signs by suggesting that there are primary and secondary negative signs. The primary, or ‘deficit symptoms’ are the enduring, core negative signs of schizophrenia such as anhedonia and blunted affect. These signs are central to the diagnosis of schizophrenia and are
seen prior to, during, and after the onset of the positive symptoms. The secondary symptoms, however, are those negative signs that may be considered consequential to other symptoms or treatment of schizophrenia. For example, withdrawing to one’s room all day because of avolition and asociality is different than withdrawing to one’s room all day because one cannot stand to be around others because they constantly ‘read my mind’, ‘place thoughts inside my head’ and ‘say and think abusive things about me’. Thus the same behaviour, retreating to one’s room all day, can be either a deficit or a secondary symptom. When trying to determine the nature of the symptom the focus of the symptom (either primary or secondary) must be considered. Another example offered by Carpenter et al. (1988) is depression-induced anhedonia. The anhedonia should improve when the depression is treated, whereas primary anhedonia generally is not alleviated with medication. Thus the primary negative symptoms differ from the secondary symptoms in that they are less responsive to state changes, and thus are enduring traits of schizophrenia. Instead of positive and negative symptoms of schizophrenia, Carpenter et al. (1988) recommend the terms deficit and non-deficit schizophrenia. Deficit schizophrenia is demarcated by two or more ‘deficit’ symptoms which are present in an ‘enduring manner’ and include flattened affect, anhedonia, poverty of speech with curbing of interest and decrease in curiosity, lack of sense of purpose, and diminished social drive and these symptoms are not fully accounted for by depression, anxiety, medication effects, or environmental deprivation. Non-deficit schizophrenia would be traditional schizophrenia without the above symptoms. Both deficit and non-deficit schizophrenia may be found to include secondary symptoms.
1.2.5 Neurophysiological Heterogeneity
The structure of the brain in schizophrenia has been examined through imaging techniques and post-mortem examination. One common finding in imaging studies in schizophrenia is lateral ventricular enlargement (Weinberger, 1979a) yet there is at least one report of reduced ventricles in patients with schizophrenia (Andreasen et al., 1982). There have also been reports of widening of the third ventricle (Nyback et al., 1982) and cortical and cerebellar atrophy (Weinberger et al, 1979b, 1979c). Other findings suggest that compared to controls the brain in schizophrenia has smaller temporal-limbic volume (Suddath et al., 1989; Rossi et al., 1990; Andreasen et al., 1990; Breier et al., 1992; Bogerts et al., 1993), although others have not found differences between the two groups (Zipurski et al., 1994; Colombo et al., 1993). There is one report that basal ganglia volume is increased in patients with schizophrenia following exposure to typical neuroleptics and is decreased following exposure to atypical neuroleptics (Corson et al., 1999). When differences are found between patients and controls, they are seen on average, across large numbers of patients and the individual brain of a patient with schizophrenia may not appear different from a normal brain (Andreasen, 1984; Frith, 1992).
Post-mortem studies have reported differences between the brains of patients with schizophrenia and normal controls since Alzheimer (1897) reported cortical cell loss in patients with schizophrenia. More recent studies have found reduced volume of the hippocampus and amygdala (Bogarts et al., 1985) and increased striatal volume (Heckers et al., 1990). Some have found glial abnormalities in the brains of patients with schizophrenia (Jacob and Beckmann, 1986; Johnstone et al., 1994) while others have not (Roberts et al., 1986, 1987).
1.3 Diagnostic and Symptom Rating Instruments
In order to diagnose a person with schizophrenia, a clinician must use the diagnostic tools such as the DSM IV or the ICD10. However, for the most effective treatment or a thorough investigation a clinician or researcher commonly uses a rating scale to determine exactly from which of the many signs and symptoms a patient with schizophrenia is suffering. The Brief Psychiatric Rating Scale (Overall and Gorham, 1962) is a widely used rating scale, but it covers a wide selection of symptoms and is not designed to cover specific symptoms of schizophrenia in detail (Gur et al., 1991). There is an overlap among items, it lacks clear operational definitions, and there is not a clear link between the items on the scale and the symptoms of schizophrenia (Manchanda et al., 1989). In addition, Krawieka et al. (1977) point out that it is not sensitive to changes over time. Krawieka et al. (1977) wanted to create a scale that was short and easily administrable yet could be used reliably to assess chronic patients while being sensitive to any changes in symptom status. Previous scales other than the BPRS [the Wittenborn (Wittenborn, 1955), the Mental Schedule (Spitzer et al., 1964), the In-Patient Multi-dimensional Psychiatric Scale (IMPS) (Lorr et al., 1963), the Present State Examination (Wing et al., 1967), The Clinical Interview Schedule (Goldberg et al., 1970)] were considered too long to be useful as such an instrument (Krawieka et al., 1977). As a result a 5-point rating scale was created which was simple to administer, was sensitive to symptom changes in the patient, and was a reliable classification of patients according to Wing’s Scales. Half of the ratings are based on the patient’s replies to questions and the other half are based on the rater’s clinical observation of abnormal phenomena. The Krawieka Manchester Scale is reported to provide the best compromise among conciseness, specificity of symptoms of schizophrenia, and sensitivity to change (Manchanda et al., 1989).
The Comprehensive Psychopathological Rating Scales (CPRS) as designed to rate items sensitive to change with treatment (Asberg et al., 1978). The scale is written with clear descriptions and guidelines for rating severity (Manchanda et al., 1989). It is longer than the Manchester scale and covers some of the positive and the negative symptoms of schizophrenia but also covers items that would not be considered primary symptoms of schizophrenia such as suicidal thoughts, sleepiness and aches and pains.
The Scale for the Assessment of Negative Symptoms (SANS) (Andreasen, 1983) was the first rating scale offering a thorough assessment of negative signs in schizophrenia (Andreasen, 1989). Poverty of speech, poverty of content of speech, affective blunting, avolition, ahedonia, and attentional impairment were combined to give a reliable rating of the ‘negative’ features of schizophrenia. The Scale for the Assessment of Positive Symptoms (SAPS) (Andreasen, 1984) allows for a comprehensive assessment and global ratings of hallucinations, delusions, positive formal thought disorder (derailments, tangentiality, incoherence and distractible speech) and bizarre behaviour. These two scales offer a complete set of rating scales to measure the signs and symptoms of schizophrenia that are sensitive to changes over time. Although these scales are longer than the Krawieka Manchester Scale (Krawieka et al., 1977) they offer more thorough coverage of the symptoms, but with practice can be administered relatively quickly.
Factor analytic studies from the Iowa Group have shown that the negative signs in the SANS, omitting attention and inappropriate affect, load as a single cohesive factor while the positive symptoms of the SAPS load on two main factors, disorganized symptoms (including inappropriate affect from the SANS) and florid psychotic symptoms (Andreasen 1983, 1984; Andreasen and Grove 1986; Andreasen and Olson, 1982;
Andreasen et al., 1995; Arndt et al., 1991; Miller et al., 1993) similar to the Liddle division (1987a,b).
Other rating scales have been developed over time. A few of the more prevalent are the Lewine, Fogg and Meltzer Scale, (Lewine et al., 1983), which combines items from the Nurses Observation Scale for Inpatient Evaluation (Honigfeld et al., 1966) and the Schedule for Affective Disorders and Schizophrenia (Endicott and Spitzer, 1978); the Pogue-Geile and Harrow Negative Symptom Scale (1985), which is a negative symptom scale derived from the Behaviour Rating Schedule of the Psychiatric Assessment Interview (Carpenter et al., 1976); and the Positive and Negative Syndrome Rating Scale (PANNS) (Kay et al., 1992). Kay and colleagues (1992) developed the PANNS in order to provide a rating scale without a strict positive/negative dichotomy. The PANNS offers a 30-item scale for which the symptoms break down into four symptom complexes, negative, positive, excited and depressed. The PANNS is superior to the SAPS/SANS, according to Merriam, Kay et al. (1990) because of its "(1) standardized interview; (2) detailed operational criteria for all items at rating levels; (3) parallel assessment of positive, negative, and general symptoms to permit direct comparisons; (4) selection of 'primary' negative symptoms (Carpenter et al., 1985), which is essential for construct and content validity (Zubin 1985); and (5) intensive psychometric standardization that has supported the scale's inter-rater, retest, and internal reliability as well as the construct, concurrent, and predictive validity" (Kay et al., 1987, 1988) (p183).
Further analysis by the PANNS study group (White et al., 1997) used factor analysis on a sample of over 1,000 patients with schizophrenia, yet none of their models fit the data for such a large sample. Half of the subjects' data were used for reanalysis and the
group confirmed a five-factor model including positive, negative, dysphoric mood, activation, and autistic preoccupation.
With so many scales rating the different symptoms of schizophrenia comparisons of the more popular ones have emerged. Gur et al. (1991) examined the reliability of the BPRS, the SANS/SAPS and Carpenters deficit/non-deficit distinction. One drawback of the BPRS is that it tends to give an overall rating of severity of schizophrenia rather than specifying the symptom profile of the patient (Gur et al., 1991). The SANS/SAPS and the BPRS measured corresponding dimensions of schizophrenia symptomatology without direct overlap. Cluster analysis revealed that most patients with low negative symptom scores had non-deficit syndrome, whereas patients with high negative symptom scores had deficit syndrome. Dollfus and Brazo (1997) used cluster analysis to compare the SANS/SAPS and the PANNS. Both sets of scales produced a four-cluster solution, with positive, negative, mixed and mild clusters. Further analysis of these data revealed a five-cluster solution, which divided the positive cluster into a disorganized and a non-disorganized cluster on both sets of scales. Based on the findings of comparison studies the different scales are generally reliable and valid, although some discrepancies exist (Fenton and McGlashan, 1992), for example the SAPS/SANS includes attention as a ‘negative’ sign whereas it is not classified as such in the PANSS or BPRS. Because the subtype classification is still hotly debated, i.e., positive/negative, deficit/non-deficit, psychomotor-poverty/psychotic/disorganized, the rating scales appear to be most useful for symptom ratings rather than a subtype classification.
1.4 Physiological Hypotheses of Schizophrenia
1.4.1 Dopamine Hypothesis
It has been suggested that the positive symptoms of schizophrenia are caused by increased dopaminergic activity in the brain (Wright and Woodruff, 1995). The "dopamine hypothesis" (Randrup and Munkvad, 1972) is supported by the effectiveness of neuroleptics which are dopamine antagonists at treating some of the positive symptoms of schizophrenia and the fact that dopamine-releasing amphetamines can cause schizophrenic-like symptoms such as paranoia and hallucinations. Parkinson's disease is a movement disorder with tremor, akinesia and rigidity as the cardinal symptoms. Schizophrenia and Parkinson's disease share certain symptoms such as akinesia (poverty of action) and bradykinesia (slowness of movement initiation and execution). The symptoms of Parkinson's disease are caused by a dopamine deficiency in the substantia nigra and putamen (Gotham et al., 1988) and replenishing dopamine through medication alleviates the symptoms (Birkmayer et al., 1974). Sometimes giving the patient with Parkinson's disease too much dopaminergic medication will result in schizophrenia-like symptoms, such as hallucinations. One suggestion is that in schizophrenia there is an underactive dopaminergic system in the dorsolateral prefrontal cortex coupled with increased subcortical dopaminergic activity in the striatum (Weinberger et al., 1991). The reduced frontal dopamine may lead to the negative signs that resemble those seen in Parkinson's disease, while the increased dopamine in the striatum may lead to the positive symptoms. Another possibility is that the dopamine receptors are more sensitive in schizophrenia. In partial support of this view, Okubo et al. (1997) have reported that in patients with schizophrenia, the binding of a radioactive tracer to dopamine receptors (D1) is reduced in the prefrontal cortex. This reduction was linked to both the severity of negative signs and impaired performance on the
Wisconsin Card Sorting Task (WCST) a task believed to depend on the integrity of the dorsolateral prefrontal cortex for its normal performance (Weinberger et al., 1986).
1.4.2 ‘Hypofrontality’ hypothesis
Another hypothesis related to the dopamine surplus and deficiency hypothesis is that of ‘hypofrontality’. Negative signs and involuntary movements are also observed in individuals with subcortical lesions (e.g. basal ganglia and thalamus) (Pantelis and Nelson, 1994). Damage to the supplementary motor area (SMA) (Dick et al., 1986; Deecke et al., 1985) and the anterior cingulate (Devinsky et al., 1995) are also associated with increased poverty of action. Based on the surface similarity of symptoms, schizophrenia has been linked to a dysfunction within the frontal lobes.
Various regions of the basal ganglia are now known to be connected with different regions of the prefrontal cortex (Alexander et al., 1986). Alexander et al. (1986) have identified five circuits linking the frontal lobes with the basal ganglia via different thalamic relays. These 5 circuits are shown in Figure 1.1. In the so-called ‘complex or associative circuit’, the caudate nucleus projects to the dorsolateral prefrontal cortex via the ventral anterior thalamic nucleus. This circuit is considered to be associated with executive function (Cummings, 1995). Thus, damage anywhere in this circuit is considered to result in impairment of executive function. Examples of such damage would be poor recall but intact recognition, perseveration, difficulties in set shifting, impaired response inhibition – many of which are seen in schizophrenia.
In the ‘motor’ circuit projections stem from the SMA, premotor area and the motor cortex to the putamen and then on to the globus pallidus and substantia nigra and then to
the ventral part of the thalamus before projecting back to the SMA. It has been suggested that this circuit plays a part in initiation of internally-generated movements (Alexander et al., 1986).
The ‘anterior cingulate’ or ‘limbic’ circuit connects the anterior cingulate cortex and the ventral striatum via the medial dorsal nucleus of the thalamus. This circuit is considered to be involved in regulation of motivation (Cummings, 1995). Damage to this circuit results in apathy, reduced motivation, concentration and impaired inhibition.
Impairments such as apathy, poverty of action, perseveration or impaired response inhibition are associated with dysfunction of several of these circuits. These circuits are regulated by several neurotransmitters including dopamine, serotonin and acetylcholine (Cummings, 1995). Decreased or increased dopamine in one part of a circuit could potentially alter the efficient functioning of the whole circuit. Thus, some of the cognitive deficits seen in schizophrenia, especially those associated with negative signs may be linked to impaired dysfunction of complex, motor, or limbic circuits.
Figure 1.1 Proposed Cortical-Basal Ganglia - Thalamic - Cortical Loops from Alexander et al. (1986)
The five circuits showing projections from specific areas of the frontal cortex to discrete areas of the striatum which project back to the originating frontal areas via distinct output sections of the basal ganglia and the thalamus. Abbreviations are as follows: ACA: anterior cingulate; APA: arcuate premotor area; caudate, (b) body, (h) head; DLC: dorsolateral prefrontal cortex; EC: entorhinal cortex; FEF: frontal eye fields; GP: internal segment of the globus pallidus; HC: hippocampal cortex; ITG: inferior temporal gyrus; LOF: lateral orbitofrontal cortex; MC: motor cortex; MDpc: medialis dorsalis pars parvalucellularis; MDmc: medialis dorsalis pars magnocellularis; MDpc: medialis dorsalis pars parvocellularis; PPC: posteriore parietal cortex; PUT: putamen; SC: somatosensory cortex; SMA: supplementary motor area; SNr: substantia nigra pars reticulata; STG: superior temporal gyrus; VArmc: ventralis anterior pars magnocellularis; Vapc: ventralis anterior pars parvocellularis; VLm: ventralis lateralis pars medialis; Vic: ventralis lateralis pars oralis; VP: ventral pallidum; VS: ventral striatum; dl-: caudolateral; cdm-: caudal dorsomedial; dl-: dorsolateral; l-: lateral; ldm-: lateral dorsomedial; m-: medial; mdm-: medial dorsomedial; pm-: posteromedial; rd-: rostrodorsal; rl-: rostrolateral; rm-: rostromedial; vm-: ventromedial; vl-: ventrolateral.
Studies of regional cerebral blood flow (rCBF) have provided some support for the hypofrontality hypothesis. For normal controls frontal rCBF increases in the dorsolateral prefrontal cortex during the WCST. Patients with schizophrenia perform poorly on this task and also fail to show increased rCBF in the dorsolateral prefrontal cortex (Weinberger et al., 1986; Seidman et al., 1994). In a study on discordant monozygotic twins Berman et al. (1992) found that each of the twins with schizophrenia showed less activation of the dorsolateral prefrontal cortex during the WCST than the unaffected twin. In the Tower of London task, another test that activates the prefrontal cortex, patients with schizophrenia perform poorly and those with a higher rating of negative signs do not show the increased rCBF in the frontal areas as compared to normal controls (Andreasen et al., 1992). Other studies have shown that increased hypofrontality is linked with higher positive symptoms such as delusions and that the degree of hypofrontality is reduced when these symptoms remit (Spence et al., 1998). Patients with schizophrenia also show a general hypofrontality (lower anterior-posterior gradient) compared to controls (Schroeder et al. 1994; DeLisi et al., 1995). Patients with schizophrenia with negative signs have reduced activation of the dorsolateral prefrontal cortex (Liddle et al., 1992; Wolkin et al., 1992) and smaller prefrontal volume (Breier et al., 1992) while schizophrenia with disorganisation syndrome have reduced activation of the anterior cingulate (Liddle et al., 1992). Across all subtypes of schizophrenia parahippocampal rCBF impairment has been reported (Friston et al., 1992). Patients with schizophrenia have also shown decreased activation in the sensorimotor cortex and the SMA on a finger to thumb opposition task (Schroder et al. 1995) and pronation/supination wrist movements (Schroder et al., 1999). However, in a verbal fluency task that was paced so that each group produced the same number of responses, patients with schizophrenia did not show hypofrontality (Frith et al., 1995).
1.5 Cognitive-Anatomical Models of Schizophrenia
Due to the heterogeneous nature of schizophrenia, there is not one particular hypothesis or theory that is accepted universally as the definitive explanation of all the signs and symptoms. More than 100 years after Kraepelin first explored the disorder schizophrenia is not fully understood. Schizophrenia manifests itself in many different ways and as a result there have been many different attempts to explain exactly what is happening in these people who, we say, are suffering from schizophrenia. A number of cognitive-anatomical theories have been proposed to explain the symptoms of schizophrenia, four of these theories will be briefly considered. These four models are considered because they approach the immense task of explaining schizophrenia by examining the symptoms from which the people with schizophrenia suffer and then attempting to interpret the symptoms through an underlying cognitive theory. The anatomical substrates supporting the theories are important, but first we need to be able to explain why one patient's symptoms differ so greatly from another and also explain how one patient's symptoms can vary so greatly over time. These four theories examine the symptoms by using experimental paradigms to attempt to determine what is happening in the patient with positive symptoms and/or the patient with negative signs. These are the theories of Hemsley (1987), Gray et al. (1991) Gruzelier (1984), and Frith (1987, 1992).
1.5.1 Hemsley’s (1987) Cognitive Model
In order to explain the heterogeneity in the phenomena and neuropathology of schizophrenia Hemsley (1987, 1977, 1994) suggests that the behavioural and experiential abnormalities in schizophrenia are due to a breakdown in the connection
between stored information and existing sensory input. It is in the interaction of stored memories and perception of current stimuli that the problems of schizophrenia arise.
Figure 1.2 Model of cognitive abnormalities and symptoms of schizophrenia (from Hemsley, 1987, 1994)
Thus, according to Hemsley, the fundamental problem in schizophrenia is a disturbance in perception. The influence of spatial and temporal regularities is weakened coupled with a problem of material, normally just beyond the realm of focus, intruding into the mind of the patient with schizophrenia (Hemsley, 1987). Memories are stored correctly, according to Hemsley, but the automatic assessment of the relevance or the irrelevance of features of sensory input is impaired, and as a result the patient with schizophrenia is bombarded with ‘ambiguous, unstructured sensory input’ (Hemsley, 1994). The end result would be the positive symptoms seen in schizophrenia like paranoia. With this faulty system, things that should seem familiar may appear unfamiliar and things that should be irrelevant may seem relevant. According to Hemsley (1994) two paradigms
that have been studied both in animals and humans offer good examples of these abnormalities.
Latent inhibition (LI) is a phenomenon first described by Lubow et al. (1982). After a mouse has been exposed to a stimulus (such as a tone) it learns a stimulus-reinforcement pairing (whenever there is a tone, there is also a food pellet) much slower than a mouse not pre-exposed to that stimulus (Lubow et al. 1982). This same phenomenon is seen in normal healthy humans, and in chronic medicated patients with schizophrenia, but it is not seen in patients with acute schizophrenia (Baruch et al. 1988). An individual with acute schizophrenia who is pre-exposed to a stimulus notices the stimulus-reinforcement pairing as quickly as the patient with schizophrenia with no pre-exposure. According to Hemsley (1994), less attention is allocated to this ‘predictable redundant stimulus’ than the amount allocated if the stimulus is new. As less attention is allocated to the redundant stimulus, the person pre-exposed to the stimulus requires longer to notice the stimulus is paired with the reinforcement than a person who was not pre-exposed. Thus, in schizophrenia, there must be a deficit in the individual’s ability to reduce or inhibit the attention allocated to a redundant stimulus. There is evidence that dopamine plays an important role since, in animal studies using the LI paradigm dopamine agonists such as amphetamine reduce stimulus-reinforcement detection time (Solomon et al. 1981). The phenomenon of LI returns if neuroleptics are administered to block dopamine (Feldon and Weiner 1991).
The Kamin blocking effect (Lubow 1982) provides similar results. In this paradigm a stimulus e.g. buzz is paired with another stimulus e.g. light in a pre-exposure phase. In a second phase the pre-exposed group and a naive group are subjected to a compound stimulus e.g. buzz and bell paired with the light stimulus. When the relation between
the bell and the light is tested the pre-exposed group learns more slowly than the naïve group. This delay in learning is not seen in animals given amphetamine (Crider et al., 1982) and is reduced in patients with acute schizophrenia (Jones et al., 1992).
With both of these paradigms, patients with schizophrenia are not experiencing interference from the original exposure. This could be a failure of memory - the patient with schizophrenia simply fails to remember that the buzz was previously paired with the light, so in the second phase all the stimuli are as new to him/her as they are to individuals not pre-exposed. Alternatively the deficit could be due to a limited attentional system (e.g. Hirt and Pithers, 1991). A large system may hold ‘X’ on line leaving enough space to handle peripheral input as well. This system may be distracted by multiple input. A smaller system may be able to hold ‘X’ on line, but its capacity is fully used and thus any other information or input is not accepted, or noticed or put ‘in’. If a person with schizophrenia has a smaller capacity the redundant information is simply never recognised as relevant information. Either way, from Hemsley’s point of view, the inability to correctly register the new stimulus - response pairing is fundamental to the problems seen in schizophrenia. This could explain, from our example, the links our patient makes between the creaks of the house and the ‘people’ spying on her, instead of linking the creaks she hears to previous creaks that have been present on windy evenings.
1.5.2 Gray et al.’s (1991) Anatomical Model
Hemsley’s model is closely linked with Gray et al.’s (1991) anatomical model accounting for the positive symptoms of schizophrenia, which centres on the functions of the septohippocampal system (including the hippocampus, the subicular areas and the cingulate cortex) and the motor functions of the basal ganglia. (See Figure 1.3). Gray et
al. (1991) propose that the caudate motor system (including the motor cortex, the caudate-putamen and the substantia nigra) encodes the content of each step in a motor program, while the accumbens system (ventral striatum and limbic cortex) works with the caudate to engage switching from one step in a motor program to the next. The caudate and accumbens systems also regulate behavioural responses to novel stimuli. The septohippocampal system surveys the outcome of a motor step to see if it corresponds with the expected outcome and then relays this back to the ventral striatum. Projections from the amygdala to the ventral striatum regulate the motor program and also transmit information about stimulus/response associations. The prefrontal cortex oversees the system by regulating the activities of the caudate, accumbens and septohippocampal systems.
Figure 1.3 Anatomical model of cognitive function (adapted from Gray et al., 1991)
Administering amphetamine causes increased release of dopamine throughout the basal ganglia causing disruption to the subicular input to the accumbens. According to Gray et al., this would then interfere with the smooth running of motor programs and all their intermediary steps resulting in the motor output of the striatal systems being controlled by other means. One of the possible alternatives suggested by Gray et al. (1991) is that one movement or series of movements may take precedence over any others and occur repetitively due to continued activity in the feedback loops between the caudate and accumbens. Examples would be the stereotyped movements seen in amphetamine-treated animals, and individuals with schizophrenia. Also, disruption of the input from the subicular area to the ventral striatum impairs the transition between motor programs. The authors suggest the resulting behaviour would be that a person’s attention would be drawn towards novel stimuli or familiar stimuli will appear to be novel and treated as such, which is also seen in schizophrenia.
Cools and Ellenbroek (1991) point out that while the striatal and accumbens systems are responsible for switching motor programs, they may not work ‘in tandem’ as Gray et al. (1991) suggest. According to research the striatal system is involved in the switching mechanism in non cue-directed (or self-initiated) behaviour (Cools 1980, Cools et al., 1990) while the accumbens system is involved in the switching mechanism for cue-directed behaviour (Cools et al., 1990). Thus, the two systems oppose each other ‘more like a seesaw’ (Cools and Ellenbroek, 1991).
The models of both Hemsley (1987) and Gray et al. (1991) attempt to offer an explanation of the positive symptoms of schizophrenia - especially behaviours such as perseveration, stereotypy, thought disorder and paranoia. Because the individual with schizophrenia has difficulty making successful connections between the current state of
the environment and previous experiences he or she produces behaviours or reactions which, to the rest of us, appear odd. In the case of paranoia he or she sees coincidences where none exist. In thought disorder a patient may choose to speak using words which rhyme and are therefore linked phonetically rather than choosing words linked semantically and would make sense. Because no alternative motor program is generated, the stereotyped movement of touching one’s nose, then one’s glasses and then one’s hair is repeated over and over hundreds of times each day. There is a lack of inhibition to control these inappropriate behaviours. Both these models, however, do little to account for the negative signs in schizophrenia, which are so debilitating and so prevalent. The Cerebral Lateralization Hypothesis (Gruzelier, 1984) and Frith’s (1992) model address the negative signs more directly.
1.5.3 Cerebral Lateralization Hypothesis (Gruzelier, 1984, 1991)
188.8.131.52 Cognitive evidence
It has been proposed that the two syndromes in schizophrenia are characterised by opposite asymmetries in hemispheric activation (Gruzelier, 1984; Gruzelier, 1991). Hemispheric specialization is fundamental to this theory and proposes that the left hemisphere is linked with accelerated cognition, speech production and increased behavioural activity and the right hemisphere is linked with negative affect (Gruzelier et al., 1995). The ‘Active Syndrome’ has been associated with higher left hemispheric activation than right and is characterized by the positive symptoms of behavioural over activity, pressure of speech, grandiosity, paranoia, inappropriate affect, affective delusion (Gruzelier 1999). The ‘Withdrawn Syndrome’ is associated with higher right hemispheric activation than left and is characterized by the negative signs such as social withdrawal, flattened affect, poverty of speech and motor retardation (Gruzelier et al., 1999). A third syndrome, Schneiderian, not associated with laterality coexists with the
other two and consists mainly of hallucinations (Gruzelier 1999). The Active and Withdrawn Syndromes are linked with cognitive impairment, namely the active syndrome is associated with poorer spatial than verbal performance whereas the Withdrawn Syndrome is associated with poorer verbal than spatial performance (Gruzelier et al., 1988). Further evidence of this active-withdrawn asymmetry has been shown in schizotypal personalities of normal subjects (Gruzelier, 1994; Gruzelier et al., 1995). Individuals with a face-memory (a right hemisphere task) advantage on the Warrington Memory Test (Warrington, 1984) displayed evidence of Withdrawn Syndrome features such as flattened affect and few close friends while individuals with a word-memory advantage (a left hemisphere task) showed a tendency toward the Active Syndrome features, albeit weak, of odd speech. Furthermore, a single case study revealed that a male student displayed a strong (extreme outlier) face-word discrepancy prior to a first episode of schizophrenia and when later diagnosed with schizophrenia presented with the Withdrawn and Schneiderian syndromes as would be expected by his face-memory results (Gruzelier et al., 1995). In patients with schizophrenia males but not females showed a word advantage in recognition memory in the active syndrome whereas both sexes show a face recognition advantage in the withdrawn syndrome (Halgren et al., 1994, Burgess and Gruzelier, 1997a, b). Longitudinal studies show that the effects of memory deficits and their relation to the Active and Withdrawn Syndromes change over time such that patients with Active Syndrome and a face disadvantage showed a face advantage at a later testing time when they were suffering from the Withdrawn Syndrome (Gruzelier 1999). There is evidence that patients with schizophrenia are impaired in both temporohippocampal and frontohippocampal tests of learning and memory (Hebb’s digit test, the Corsi block-span test and Petrides test of spatial and non-spatial conditional learning test) (Gruzelier et al., 1988). The hemispheric specialization in patients with schizophrenia was similar to results seen in a
previous study investigating performance of neurological patients with left or right hemisphere lesions (Milner 1982). The schizophrenia patients with lower left than right hemisphere activation had similar performances to neurological patients with left hemisphere lesions and schizophrenia patients with lower right than left activation had results comparable to those of the right lesioned neurological patients (Gruzelier et al., 1988).
184.108.40.206 Psychophysiological Evidence
The asymmetry syndromes were based on data-driven findings from research on electrodermal orienting responses (Gruzelier 1981, Gruzelier and Manchanda 1982). Skin conductance was measured on the fingers while the subject listened to tones. The onset of the orienting response was approximately 1-5 s after the tone and habituation was considered to have occurred when there was an absence of responses on two successive trials. Laterality was determined by the mean response amplitude: right-left + right + left (Gruzelier and Davis 1995). Greater left than right activation was found in patients with the positive symptoms of the Active Syndrome and greater right than left hemispheric activation was found in the patients with the negative signs of the Withdrawn Syndrome (Gruzelier 1981, Gruzelier and Manchanda 1982).
Further physiological evidence for the asymmetry in schizophrenia exists. Lateral eye movements occur contralaterally to the more activated frontal eyefield (Gruzelier, 1999) and studies have shown that patients with the Withdrawn Syndrome had more left-sided eye movements while patients with the Active Syndrome had an increased number of right-sided eye movements (Gaebel et al., 1986). The Hoffman reflex is an index of spinal motor asymmetry and reduced motoneuron excitability (Tan and Gurgen 1986). Using this index, right hemisphere dominance was found to be associated with the
symptoms of the Withdrawn Syndrome, while left hemisphere dominance was found to be associated with the symptoms of Active Syndrome (Goode et al., 1981). However one study found right asymmetry in a sample of patients with schizophrenia with both the Active and the Withdrawn Syndromes (Tan and Gurgen, 1986). Studies using EEG have found that a reduction in alpha activity, indicating greater activation, of the right hemisphere was associated with symptoms of the Withdrawn Syndrome (Merrin and Floyd, 1992) and reduction in alpha activity of the left hemisphere was associated with symptoms of the Active Syndrome (Coger and Serafetinides, 1983).
Thus a number of different physiological measures have shown asymmetry in the hemispheric functioning of patients with schizophrenia. Greater activation of the right than left hemisphere is associated with symptoms of the Withdrawn Syndrome while increased activation of the left hemisphere compared to the right hemisphere is associated with symptoms of the Active Syndrome. Furthermore, the results of cognitive tasks that are hemisphere related have added more credence to the delineation of the schizophrenia into Active and Withdrawn Syndromes. However, a patient suffering from either of these syndromes may also show symptom of the Schneiderian Syndrome. While the Cerebral Lateralization theory does a much better job at addressing the negative signs of schizophrenia than Hemsley’s (1987) or Gray’s (1991) models, this theory does not explain the basis of the Schneiderian symptoms, other than to report that they are not hemisphere specific and may co-exist with either of the other two syndromes.
1.5.4 Frith’s (1987, 1992) Neuropsychological Model
220.127.116.11 Dysfunction of Willed Actions
A fourth theory attempts to explain the signs and symptoms of schizophrenia, including all the positive symptoms, both ‘active’ and ‘Schneiderian’ as well as the negative signs. Frith (1992) has suggested that the signs and symptoms of schizophrenia such as poverty of action, stereotyped action and incoherent action reflect a dysfunction of “willed” actions while the processes involved in “stimulus driven” actions remain largely intact. Willed actions are purposeful, goal-directed behaviours. They are defined as actions that are not directly evoked by external stimuli but depend on internal control (Frith 1992). However, even when there is an external trigger for the initiation of an action there may be certain processes that depend on internal control (Jahanshahi and Frith, 1998).
Frith’s (1992) model distinguishes between two routes to action. In the stimulus driven route, perception of the stimulus leads to an intention to act by responding to that stimulus. In the willed action route, goals lead to willed intentions that result in actions. (See Figure 1.4). In schizophrenia there is an inability to turn goals and plans into actions. In patients with negative signs this impairment exhibits itself in poverty of willed intentions, thus limited action. In patients with positive signs this impairment exhibits itself as impaired inhibition of stimulus driven action. It is proposed that patients with schizophrenia particularly those with negative signs, should have an impaired ability to generate action at will, but stimulus-driven behaviour should be intact.
This hypothesis is partially supported by the symptoms of the disease. Patients with schizophrenia can perform routine acts elicited by environmental stimuli, but have
difficulty in producing spontaneous behaviour in the absence of external cues. This is seen most clearly in the negative signs such as poverty of speech and poverty of action. Similar deficits are seen in monkeys with lesions to the SMA and the cingulate cortex that are impaired on the self-initiated task of raising an arm. Yet, these same animals are able to complete the task if there is an external stimulus such as a tone to cue the behaviour (Passingham, 1993). The negative signs of schizophrenia can be compared to the lack of movement seen in individuals with Parkinson’s disease. Patients with Parkinson’s disease have trouble initiating actions, but the will to act and the formulation of a plan are intact, the impairment lies in their ability to execute the desired action. In schizophrenia, however, it is the ability to turn a plan or goal into a willed intention that is impaired.
Figure 1.4 Stimulus driven and willed actions from Frith (1992). Possible loci of impairments in positive symptoms in schizophrenia (failure of inhibition), negative signs in schizophrenia (failure to generate willed actions) and Parkinson’s disease (goals, plans and willed intentions are intact, but ability to initiate action is impaired).
According to Frith (1992) a person with no ability to initiate an activity spontaneously is left with three options. The first is to do nothing; this is reflected in schizophrenia as poverty of action. The second is to repeat the last movement; this is known as perseveration, which is also seen in schizophrenia. The third is to respond to an external stimulus even though it may be irrelevant. This is seen in the inappropriate actions by individuals with schizophrenia such as a patient may comment a person’s tie or hair or some other stimulus in the room in mid conversation rather than continue with the conversation.
The individual with schizophrenia is responding to many different, inappropriate stimuli from the environment instead of spontaneously initiating actions or thought processes. The end result is stimulus-driven behaviour. The disorganised behaviour seen in schizophrenia could be due to an inability to inhibit inappropriate responses. This failure of inhibition would also apply to perseverative behaviour, since the most recent response is always the easiest to choose, but is normally inhibited, as it is very rarely appropriate to repeat one’s last action.
Three classes of decision precede a voluntary action: ‘what to do’- selecting an action among a set of possibilities, ‘how to do it’ - developing a strategy, and ‘when to do it’- deciding the precise moment to begin (Kornhuber et al., 1989). Different criteria are relevant to defining an action as more or less volitional, for example intentionality, choice and control, attention and conscious awareness (Jahanshahi and Frith 1998). In a recent review of evidence, Jahanshahi and Frith (1998) provided support for a willed action system based on the fronto-striatal circuits. Various functional imaging studies have revealed that compared to rest, random movement is associated with greater activation of the dorsolateral prefrontal cortex and the anterior cingulate (Frith et al.,
the lateral premotor cortex and the left putamen (Playford et al., 1992). During learning of a new motor sequence, the dorsolateral prefrontal cortex, the anterior cingulate and the striatum are activated (Jenkins et al., 1994; Jueptner et al., 1997). If selecting when to respond the right dorsolateral prefrontal cortex, the anterior cingulate and the anterior SMA bilaterally (Jahanshahi et al., 1995) and the loop between the putamen, the ventrolateral thalamus and the SMA (Rao et al., 1997) are activated. Advance preparation of movement is associated with activation of the SMA, the lateral premotor cortex and the anterior cingulate (Deiber et al., 1996) while both response initiation and suppression of movement are associated with activation of the anterior SMA (Humberstone et al., 1997). Thus certain frontal cortical (dorsolateral prefrontal cortex, anterior cinguate, SMA) and subcortical (thalamus and basal ganglia) areas of the brain are activated during willed action.
18.104.22.168 Impaired Self-Monitoring
We are able to detect that, as we move our eyes, it is our eyes moving and not the external world. Helmholtz (1866) proposed that the ‘corollary discharge’ acts as a message to let our system know that it is not us, nor our surroundings that are moving, but only our eyes. This corollary discharge enables us to monitor which movements are our own and which are movements of the environment. There is some process by which I recognise that it is in fact me thinking some thought and there is not someone else placing it in my head, or it is me lifting my arm and not some other entity lifting it for me. By the age of 5, children can detect that the doctor hitting the knee caused a knee jerk and that is was not a movement that the child intended. Children younger than 5 make no distinction between the two (Shultz et al., 1980). Thus, there is a point during development when self-monitoring of self-generated actions develops. The areas of the brain that seem to be involved in corollary discharge are the frontal eyefields and the
anterior cingulate cortex (Frith, 1992). These areas may play a role in allowing us to detect whether or not movements are self-initiated or generated by an external source.
According to Frith (1992), besides impairment of willed actions, a second and linked problem in schizophrenia is impairment of self-monitoring. One symptom of schizophrenia is hearing voices - auditory hallucinations. Studies have shown that quite often it is the patient’s inner speech that is heard and described as another’s voice. The patient fails to detect the inner speech or thoughts as his or her own. Once again this is a failure of ‘will’. The patient does not recognise that the thought is of his or her own ‘will’ and therefore attributes it to an outside entity. In support of this, a PET study on patients with schizophrenia who suffered from auditory hallucinations has shown that those with ‘active’ hallucinations have reduced activation in the left middle temporal gyrus and the rostral supplementary motor area, areas normally activated during inner speech (McGuire et al., 1996b), compared to normal controls and patients with schizophrenia not prone to auditory hallucinations (McGuire et al., 1996a).
Other symptoms may result from impaired self-monitoring. One example is thought insertion, if the thought is not recognised as originating in one’s own mind then someone or something else must have placed the thought there. Another example is delusions of control, if one does not recognise a particular act as being initiated by one’s own will, then some other force could be perceived erroneously as the agent causing the patient to do or say something. There is evidence that patients experiencing symptoms of alien control are impaired on self-monitoring tasks and this impairment is independent of neuropsychological or cognitive function (Stirling et al., 1998). A third example would be perseveration. It has been shown that hallucinating patients with chronic schizophrenia produce more perseverative and inappropriate incorrect responses
during a word recognition test (Done and Frith, 1984) and more stereotyped sequences with perseveration in a two choice guessing task (Frith and Done, 1983).
These results suggest that patients with schizophrenia are impaired at the level of monitoring their actions and attributing them as being internally generated.
1.6 General Aims of Thesis
Schizophrenia is a heterogeneous disorder. The symptoms from which patients with schizophrenia suffer differ greatly among patients and also differ within a single person across time. If we are to determine what causes schizophrenia, if it is in fact one single disorder, and if we are to treat schizophrenia successfully, we need to determine what is actually happening in the brains and minds of the people who have what we currently call schizophrenia. Four different theories have been presented which attempt to explain the phenomena of schizophrenia. While two (Hemsley, 1987 and Gray, 1991) present strong cases for the possible underlying substrates in the positive symptoms such as paranoid delusions and perseveration, they do nothing to explain the debilitating negative signs that are prevalent in schizophrenia. A third theory (Cerebral Lateralization) addresses the negative signs, ‘Withdrawn Syndrome’, with both cognitive and psychophysiological evidence, while explaining some of the positive symptoms such as pressure of speech and thought disorder, ‘Active Syndrome’, but does not successfully explain the ‘Schneiderian’ symptoms such as commentary hallucinations, delusions of control and thought insertion, other than that these symptoms can co-exist with the Active or Withdrawn Syndrome. Frith’s (1992) neuropsychological model of schizophrenia, however, attempts to address all of the positive symptoms and all the negative signs by suggesting that the symptoms that patients with schizophrenia experience are caused by a fundamental problem in the
initiation and monitoring of willed action. The studies presented here focus on the investigation of negative signs because they are debilitating, poorly understood and rarely studied. The purpose of this thesis is to examine one aspect of Frith’s (1992) cognitive neuropsychological model of schizophrenia, more specifically the hypothesis that some of the impairments seen in schizophrenia are in fact due to impairment of willed actions while stimulus driven actions remain intact. This will be done by investigating aspects of willed performance in patients with schizophrenia, first by examining willed action in schizophrenia through studies of movement initiation, and then by examining willed action in schizophrenia through studies of willed suppression.
1.7 General Approach to Statistical Analysis
Preliminary data analysis included assessing the distribution of the variables for normality, outliers and skewness. If any subject’s data indicated outlying values on multiple variables, the data were omitted from the analysis. This is stated in the text where it occurs. Each study had either a mixed between-groups and within-subjects design or a simple between groups design. The data were analysed using repeated measure analysis of variance or one way analysis of variance and covariance respectively. The between subject variable was Group (patients vs controls) except for Study 3, Study 4 and Study 5, in which there were three groups (controls and two patient groups). The within subject variables differed in each study and are explained in more detail in the Methods section of each study.
Where necessary, to deal with violations of assumptions of sphericity, the Greenhouse-Geisser epsilon was used to adjust the degrees of freedom. Pre-planned special contrasts were carried out where appropriate. Post hoc tests included independent t-tests and paired t-tests, which were used as required.
Comparisons of the characteristics of the groups were carried out using independent t-tests for age, education level, handedness, and depression scores, while the chi square test was used to determine sex differences between groups. In each study the individual symptom ratings were correlated with key variables using Pearson’s correlation coefficients. Partial correlations were carried out controlling for medication, depression and cognitive impairment. Bonferroni adjustments controlling for the number of correlations were made. All statistics were carried out using SPSS for Windows version 8.0.
1.8 Patient Selection
In all studies all patients met the criteria for diagnosis of schizophrenia according to the DSMIV. Patients were recruited from three sources: (i) referred by Professor Maria Ron (ii) recruited from the Maudsley Hospital Register or (iii). were volunteers recruited from an advertisement placed in the National Schizophrenia Bulletin. The diagnosis of schizophrenia was confirmed in all referred cases by consulting hospital notes. For the 7 volunteers recruited by advertisement, the name of their GP or clinician was obtained and the diagnosis of schizophrenia was confirmed. None of the patients had any prior history of head injury, neurological or physical illness.
Each subject’s mental state was measured by the Mini Mental State examination and none scored below the cut off indicative of cognitive impairment (score below 25, Anthony et al., 1982). Duration of illness ranged from 3 to 27 years. The patients recruited from the three sources did not differ in terms of demographic or disease-related features.
The details of the patients and controls including sample size, handedness, male to female ratio, mean age and patient symptom ratings are given in the Methods section for each study.
CHAPTER 2
Study 1: Impairment of Willed Actions and Use of Advance Information for Movement Preparation in Schizophrenia
2.1 Introduction
One way of testing the hypothesis of impairment of willed actions in schizophrenia is to examine the speed of response initiation in reaction time (RT) tasks that differ in the extent to which they require volitionally prepared versus stimulus-driven responses. In simple RT (SRT) tasks the same stimulus is presented across trials, and requires the same invariable response. The stimulus-response invariance provides the subject with the option of preparing the response before presentation of the stimulus, that is to preprogramme it. In SRT, this preprogramming is an optional and volitional process, which has been shown to require attention as it is susceptible to interference from the concurrent performance of a secondary task (Frith and Done, 1986; Goodrich et al., 1989). In contrast, in an uncued choice RT (CRT) task, where there are several stimuli each indicating a different response, the response is elicited by presentation of the imperative stimulus. In uncued CRT, the response is selected and programmed after presentation of the stimulus, so it is considered to be stimulus-driven. Volitional preprogramming is not possible in uncued CRT, but is a requirement in fully precued CRTs. In a fully cued CRT task a precue provides the subject with full advance information about the particular response required on that trial that allows its selection and preprogramming prior to the presentation of the imperative stimulus. The SRT and the fully cued CRT differ on one important factor: stimulus-response variance. In SRT the stimulus and response are the same on every trial therefore the subject can
preprogramme the same response for every trial. In the fully cued CRT, although full movement information is provided by the precue, the subject must preprogramme a different response for each trial.
There have been studies of RTs in schizophrenia since the 1930s (Straube and Oades, 1992). The most consistent finding is that schizophrenic patients have significantly slower RTs than normal controls (Vinogradov et al., 1998; Wigal et al., 1997; Elkins and Cromwell, 1994; Nestor et al., 1992; Mannuzza et al., 1984). Another consistent finding is the ‘cross over effect’ (COE), reported as far back as the 1940s (Rodnick and Shakow, 1940). In normal subjects, in a simple RT (SRT) task, if the interval between the warning signal (S1) and imperative stimulus (S2) is short (three seconds or less), responses are initiated faster on trials where the S1-S2 interval is kept constant or blocked rather than presented randomly across trials. This improved performance is believed to be due to the temporal predictability of the imperative stimulus. However, with longer S1-S2 intervals, normal subjects have similar RTs regardless of whether the S1-S2 intervals are random or blocked. Patients with schizophrenia generally show the same RT benefit from temporal predictability when S1-S2 intervals are short. In contrast, when the S1-S2 intervals are longer, patients with schizophrenia have slower RTs for the blocked S1-S2 intervals than for the random S1-S2 intervals. This phenomenon is called the COE.
In the COE the patients with schizophrenia are failing to use the advance information provided by the warning signal about the temporal predictability of the imperative stimulus to speed up the response. Few studies have examined the effect of other types of advance information on RTs in schizophrenia, for example, use of advance movement parameter information contained in a precue that allows volitional
preprogramming of the response before presentation of the imperative stimulus. One exception is the study by Carnahan et al. (1994) who measured RTs in leukotomised and unleukotomised patients with schizophrenia compared to normals. Using a version of Rosenbaum’s RT paradigm (Rosenbaum, 1980), the authors measured RT in uncued, partially cued and fully cued four choice RT (CRT) conditions. The two patient groups were slower than the normals across all RT conditions. The authors concluded that “the leukotomised and the unleukotomised patients were able to use this advance information to facilitate the speed of their responses in much the same way as did subjects in a normal control group”.
The type of information provided by a preparatory signal (S1) presented before an imperative stimulus (S2) can vary. Any signal given a short time before an imperative stimulus will serve as a warning to the subject, allowing them to increase their level of alertness and readiness to respond. This facilitation appears to be optimal with a preparatory interval of 200 ms (Boff and Lincoln, 1988). Alternatively, the preparatory signal may provide advance information about the nature of the response itself, e.g. it may inform the subject that he has to move to the upper key with his right hand when the imperative stimulus is presented. In this case it may be referred to as a ‘movement parameter precue’. This information potentially allows the subject to preselect and preprogramme a specific response from a number of alternatives, provided there is adequate time between the precue and the imperative stimulus to take action. The amount of reduction of RT by ‘warning stimulus’ and ‘movement parameter’ precues also depends on when they are presented relative to the imperative stimulus. Therefore, the interval between the warning signal/precue and the go signal is important in determining the RT facilitation.
The aim of this study is to examine the effects of different types of advance information on RT in schizophrenia (i) invariance of the stimulus and response in SRT relative to uncued CRT (ii) full advance movement parameter information in a precued CRT task. We were also interested in determining if the interval between the warning stimulus / precue (S1) and the imperative stimulus (S2) had similar or differential effects on motor preparation in schizophrenic and normal subjects.
2.2 Methods
2.2.1 Design
A mixed between groups and within subjects design was used. The two groups of subjects, patients with schizophrenia or healthy normals, performed a series of reaction time (RT) conditions: simple reaction time (SRT), uncued four choice RT (CRT), fully cued CRT, and retest of SRT. In each RT condition, an S1-S2 paradigm was used. For each condition, trials were either unwarned (S1-S2 interval of 0 ms) or the imperative stimulus followed the warning signal / precue, with S1-S2 intervals of 200, 800, 1600 or 3200 ms.
2.2.2 Subjects
The characteristics of the two samples are presented in Table 2.1. Ten subjects clinically diagnosed with schizophrenia according to the DSM III R were tested. Each was seen as an out-patient at the National Hospital for Neurology and Neurosurgery. Each patient was rated on the Krawieka Manchester Scale, a 4-point standardised psychiatric assessment scale (Krawieka et al., 1977) for current positive symptoms and negative signs. Overall, the patients were chronically ill and their symptoms were not very severe. Thirteen healthy normals with no previous history of psychiatric or neurological illness, head injury, or drug abuse were tested. The Mini Mental State Examination
(Folstein et al., 1975) was administered to all subjects and no-one scored below the cutoff of 25, indicative of cognitive deficit.
Table 2.1. Details of Subject Groups.
| | Patients with schizophrenia | Controls |
|--------------------------------|----------------------------|----------|
| **Sex** | | |
| Male | 8 | 8 |
| Female | 2 | 5 |
| **Hand** | | |
| Right | 10 | 13 |
| Left | 0 | 0 |
| **Age (yrs)** | 37.9 (8.0) | 38.9 (10.1) |
| **Mini Mental scores** | 28.0 (2.5) | 29.9 (0.6) |
| **Duration of illness (years)**| 13.1 (7.0) | |
| **Krawiecka scale (1977)** | | |
| Positive symptoms (range 0 - 8)| 2.0 (2.8) | |
| Negative symptoms (range 0 - 5)| 2.1 (1.6) | |
| **Daily dosage (sd) (n)** | |
|--------------------------------|----------|
| **Neuroleptics** | |
| Chlorpromazine equivalent | 372.5 mg (151.8) (8) |
| **Anticholinergics** | |
| Disipal equivalent | 150.0 mg (0.0) (2) |
| No medication | (2) |
2.2.3 Procedure-reaction time tasks
Responses were made on a response box with six buttons. The two centre black buttons acted as the ‘home’ keys. Four inches above and 4 inches below each black button were the response buttons. Stimuli were presented on a 14 inch computer screen. A variation of Rosenbaum’s (1980) movement precueing RT was used. The subject pressed down the two home keys to begin the trial and a fixation point appeared. The warning stimulus appeared after a variable delay of 1-4 seconds. The imperative stimulus (S2) appeared after the S1-S2 interval (200, 800, 1600 or 3200 ms). On unwarned trials (S1-S2 interval of 0 ms) there was no warning stimulus.
Three types of error trials were recorded: anticipations (RT less than or equal to 100 ms), long responses (RT greater than 3 s), decision errors (incorrect responses in CRT). RT and movement time (MT) from these trials were omitted, and the trials were repeated, that is, trials on which errors occurred were omitted from calculation of mean RTs, but to ensure equal number of trials across subjects any trials with errors were ‘replaced’ by administering an additional trial. RT was measured (in ms) as the time between the presentation of the imperative stimulus and the release of the home key. MT was measured (in ms) as the time between releasing the home key and pressing the response key. The mean RT for each condition for each subject were used in the analyses.
22.214.171.124 Simple Reaction Time (SRT)
The stimulus and the response were constant across trials within a block. The subject moved from one home key to one response key, and all other keys were covered. Each subject performed two blocks of 50 trials (10 trials per interval), one block with each hand. The order of testing the left or right hand was counterbalanced across subjects in
each group, that is, in the groups of patients with schizophrenia half of the subjects performed the test with their right hand first and half used their left hand first. Similarly, within the group of normals the order of left and right hands was counterbalanced. At the end of the experiment, the SRT condition was presented again to assess possible fatigue or practice effects. Within a block of 50 trials, S1-S2 intervals of 0, 200, 800, 1600 and 3200 ms were randomly presented, 10 trials each.
126.96.36.199 Four Choice Reaction Time (CRT)
There were two movement parameters, hand (right or left) and direction (up or down). The two conditions were either uncued or fully cued. In each condition there were 75 trials with 15 trials of each of the 5 S1-S2 intervals randomly mixed in a block. A similar and randomly mixed number of right and left hand responses were incorporated.
188.8.131.52 Uncued CRT
The warning stimulus consisted of four empty squares appearing to the left and right and above and below the fixation cross. After the S1-S2 interval one square filled which became the imperative stimulus.
184.108.40.206 Fully Cued CRT
One empty square appeared in one of the four possible locations above or below, to the left or right of the fixation point. After the S1-S2 interval the square filled to become the imperative stimulus. Thus the subject knew the precise nature of the required response prior to the presentation of the imperative stimulus.
2.2.4 Order of Testing
The SRT condition was performed first followed by the CRT conditions. The order of performance of the CRT conditions was counterbalanced across subjects in each group.
We considered counterbalancing more appropriate than randomising because for theoretical reasons we wanted subjects to perform SRT prior to the CRT tasks so as not to influence the S-R invariance of SRT by prior exposure to CRT with multiple stimuli and responses. Subsequently, we counterbalanced the order of testing of the CRT tasks.
2.2.5 Statistical Analysis
Mean RTs were used for further analysis. The data were analysed using the Statistical Program for Social Sciences (SPSS), version 8.0. Differences between RTs for the left vs right hand were examined using repeated-measures analysis of variance (ANOVA) with Group as the between subjects factor and Hand (left, right), Condition (SRT, uncued CRT, fully cued CRT), and S1-S2 Interval (0, 200, 800, 1600, 3200ms) as the within subject factors. For both groups, although RTs for the right hand were (non-significantly) faster than those for the left hand, there were no interaction effects of hand with any other variable (Group, Condition, S1-S2 interval). The data for the left and right hands were averaged for each condition. This average was used in all subsequent analyses.
T-tests were used to further investigate significant interactions in the ANOVAs. When t-tests were used equal variances were not assumed. Paired t-tests were used to examine within subject measures and independent t-tests were used for between group measures.
To compare the difference between the ‘true’ SRT and CRT conditions, data from the trials with an S1-S2 interval of 0 ms, i.e., without a warning signal, were analysed using a repeated-measures ANOVA. The between subject factor was Group (patients, controls) and the within subject factors was Condition [SRT (0 ms S1-S2 interval), uncued CRT(0 ms S1-S2 interval)].
In order to examine the effects of advance movement parameter information on CRT, the differences between the uncued and fully cued CRT were examined using a repeated-measures ANOVA. The between subject factor was Group (patients, controls). The within subject factors were Condition (uncued CRT, fully cued CRT), and Interval (200, 800, 1600, 3200 ms).
The effects of using two types of advance information on RT were examined by directly comparing SRTs which can involve volitional and optional use of advance knowledge about S-R invariance for preprogramming of the response prior to stimulus presentation, and the fully cued CRT where the precue provides full information about the specific response required on that trial which allows its selection and preparation before presentation of the imperative stimulus. A repeated-measures ANOVA was used with Group (patients, controls) as the between subject factor and Condition (SRT, fully cued CRT), and Interval (200, 800, 1600, 3200 ms) as the within subject factors.
Movement time was analysed using a repeated-measures ANOVA. The between subject factor was Group (patients, controls) and the within subject factors were Condition (SRT, uncued CRT, fully cued CRT) and Interval (0, 200, 800, 1600, 3200 ms).
Error data were analysed using Mann Whitney U tests for the between groups comparisons and Wilcoxon matched pairs test for the within subject analyses.
2.3 Results
The two groups did not differ in age ($t = 0.25$, d.f. = 21 $p = 0.80$) or male to female ratio ($\chi^2 = 0.25$ d.f. = 1, $p = 0.62$). Although the groups differed on scores on the Mini
Mental Examination (t = 2.5 d.f. = 21, p = 0.05), no subject scored below the cutoff of 25.
Fatigue or practice effects were assessed by comparing SRTs performed at the beginning and end of the session. The controls had a mean RT of 351 ms (SD = 57 ms) for the first SRT and a mean RT of 373 ms (SD = 63 ms) for the final SRT, a mean difference of 22 ms (SD = 33 ms). The patients with schizophrenia’ mean RT was 442 ms (SD = 105 ms) for the first SRT and 474 ms (SD = 104 ms) for the final SRT, a mean difference of 17 ms (SD = 21 ms). There was no significant difference between the change in RT between the two groups (t = 0.41 d.f. = 20, p = 0.69).
2.3.1 Error Data
Very few errors of any type were made by the patients or normals. In the SRT, for the patients with schizophrenia, the median number of anticipation errors was 0.10 (range 0.00 - 0.80) and the median number of long responses was 0.00 (range 0.00 - 0.10). For the controls, for SRT, the median number of anticipation errors was 0.10 (range 0.00 - 0.40), the median number of long responses was 0.00 (range 0.00 - 0.20). Across the CRT conditions, the patients with schizophrenia had a median of 0.10 (range 0.00 – 3.50) anticipation errors, 0.00 (range 0.00 - 0.30) long responses and 0.10 (range 0.00-0.10) decision errors. Across the CRT conditions, the controls had a median of 0.01 (range 0.00 - 0.20) anticipation errors, 0.00 (range 0.00 - 0.15) long responses and 0.00 (range 0.00-0.20) decision errors.
A series of Mann-Whitney U tests revealed that there were no significant differences between the patients and controls in the number of anticipations, decision errors, or long responses in the various RT conditions (p > 0.05). Similarly, Wilcoxon matched pairs tests showed that there were no differences in errors between the various RT conditions.
for the patients with schizophrenia (p > 0.05). For the controls, there were more anticipation errors in the SRT compared to the uncued CRT (Z = 2.5, p = 0.01) but not in the fully cued CRT (Z = 1.21, p = 0.22) conditions for the controls. Also, for the controls there were more anticipation errors in the fully cued CRT than in the uncued CRT (Z = 2.6 p = 0.01).
2.3.2 Unwarned SRT vs Unwarned and Uncued CRT
The mean RTs for the two groups in unwarned SRT and unwarned and uncued CRT conditions are presented in Figure 2.1. The Group effect was significant [F(1,20) = 7.94 p = 0.01] with patients with schizophrenia having slower reaction times than the controls. The Condition effect was significant [F(1,20) = 18.16, p = 0.001] with SRTs being faster than CRTs, however the Group x Condition interaction was not significant (p > 0.1). In order to determine if the speeding up of SRT relative to CRT which is an index of preprogramming was equivalent in the two groups, the differences in RT between the two conditions were examined using paired t-tests for each group. The mean differences between the CRT and SRT conditions was 60.3 ms (SD = 50.6) for the controls and 69.1 ms (SD = 91.8) for the patients with schizophrenia. The unwarned SRT was significantly faster than the uncued and unwarned CRT for both the controls (t = 4.30, d.f. = 12, p = 0.01) and the patients with schizophrenia (t = 2.30, d.f. = 8, p = 0.05).
2.3.3 Uncued CRT vs Fully cued CRT
The mean RTs for the two groups for the uncued and fully cued CRT are presented in Figure 2.2. The main effects of Group [F(1,21) = 8.32 p = 0.01], Condition [F(1, 63) = 69.92 p = 0.001], and Interval [F(3,63) = 13.23 p = 0.001] were significant. The Group x Condition interaction was not significant (p < 0.05). In contrast, the Condition x Interval [F(3,63) = 5.18 p = 0.003], the Group x Interval [F(3,63) = 4.84 p = 0.004]
and the Group x Condition x Interval \[F(3, 63) = 4.29, p = 0.01\] interactions were significant.
Further analysis of the Condition effect revealed that across the two groups and the various intervals, the uncued CRT was significantly slower than the fully cued condition \((p = 0.001)\). The significant main effect of Interval was also examined in more detail. Across the two groups, RTs for the 800 ms S1-S2 interval were slower than those for the 200 ms \((p = 0.01)\), the 1600 ms \((p = 0.001)\) and the 3200 ms \((p = 0.001)\) intervals. No other intervals differed significantly.
Further analysis of the Group x Interval interaction revealed that for the control subjects RTs for the 3200 ms intervals were faster than those for the 200 ms \((p = 0.04)\) and the 800 ms interval \((p = 0.002)\). In contrast, for the patients with schizophrenia RTs for the 800 ms interval were slower than those for the 200, 1600 and 3200 ms intervals \((p < 0.01)\) and no other intervals differed \((p > 0.05)\).
Further analysis of the Group x Condition x Interval interaction revealed that across the two CRT tasks for the controls subjects fully cued CRT were significantly faster than the uncued CRT at each interval (200, 800, 1600, 3200 ms) \((p < 0.02)\). On average for the normals, the fully cued CRT was faster than the uncued CRT by 19.9, 83.1, 68.7 and 73.4 ms respectively with the 200, 800, 1600 and 3200 ms S1-S2 intervals. Thus the differences between the two CRT conditions at the 200 ms interval although small (mean =19.9 ms, SD =24.5) reached statistical significance. For the patients with schizophrenia the RTs for the fully cued CRT were significantly faster than the CRTs for the uncued CRT for the 1600 ms (faster on average by 86 ms) and 3200 ms (faster on average by 77.4 ms) intervals \((p < 0.01)\) only.
Figure 2.1 Mean reaction time for the normal subjects and the patients with schizophrenia in the unwarned simple reaction time task (SRT) (black bar) and the uncued and unwarned choice reaction time (CRT) (white bar) tasks.
Figure 2.2 Mean reaction times for the normal controls and the patients with schizophrenia in the uncued (circle) and fully cued (square) CRT conditions.
Figure 2.3 Mean reaction times for the normal controls and the patients with schizophrenia in SRT (triangle) and fully cued CRT (square) conditions.
2.3.4 SRT vs Fully Cued CRT
The mean RTs for the two groups for the SRT and fully cued CRT are shown in Figure 2.3. The main effects of Group \[F(1,20) = 7.60 \ p = 0.01\], Condition \[F(1, 20) = 12.19 \ p = 0.002\] and Interval \[F(3,60) = 11.89 \ p = 0.001\] were significant. The Group x Condition interaction \[F(1,20) = 2.35, \ p=0.14\] was not significant. The Condition x Interval \[F(3, 60) = 2.80, \ p = 0.05\], Group x Interval \[F(3,60) = 3.43 \ p = 0.02\], and the Group x Condition x Interval \[F(3,60) = 9.52 \ p = 0.01\] interactions were significant.
The significant three way interaction was examined further by investigating differences between SRT and fully-cued CRT for each of the four intervals within each group. For the normal subjects, fully cued CRTs were significantly slower than SRTs at the 200 ms interval (p=0.001) but not at the 800, 1600, or 3200 ms intervals (p > 0.1). In contrast, for the patients with schizophrenia, CRTs were significantly slower than SRTs for the 800 (p = 0.01) and the 3200 ms interval (p = 0.04) but not for the 200, or the 1600 ms S1 - S2 intervals (p > 0.1).
2.3.5 Movement Time
The main effects of Group \[F(1,20) = 8.29 \ p = 0.01\], Condition \[F(2,31) = 10.67 \ p = 0.001\] were significant, but not the main effect of Interval \[F(3,54) = 1.94 \ p = 0.14\]. There were no significant interaction effects (p > 0.05). The patients with schizophrenia had slower MTs (278 ms, SD = 68 ms) than the controls (190 ms, SD = 73). MTs were significantly faster in the SRT condition compared to each CRT condition (p < 0.05). The two CRT conditions did not differ.
2.3.6 Correlational Analysis
Pearson’s correlations were used to examine the relationship between the individual symptoms of schizophrenia as rated on the Krawieka Manchester Scale, depression as
rated on the Beck Depression Inventory and reaction times, movement times and errors. For each condition the reaction times (RT) and movement times (MT) for each interstimulus interval (ISI) and the mean for each condition were used, for example, Fully Cued CRT ISI interval 0, 200, 800, 1600 and 3200ms were used separately and also the mean RT for Fully Cued CRT condition. The results are presented in Table 2.2.
The p values were adjusted for the number of correlations (250) by carrying out a Bonferroni correction. After this adjustment there were no significant correlations remaining.
There is a possibility that factors such as levels of antipsychotic medication, depression, or cognitive deficits, which have been shown to differ among patients with schizophrenia, could confound the findings of correlational analyses. Therefore, Pearson’s Partial Correlations were run controlling for dose of neuroleptic, BDI score, and the Mini Mental scores. These results are presented in Table 2.3. After carrying out Bonferroni corrections for the number of correlations (225) there were no significant correlations.
Table 2.2 Pearson’s correlations between reaction time, movement time, errors and the individual symptom ratings of the Krawieka Manchester Scale and Depression as rated on the Beck Depression Inventory (BDI). Only coefficients of $p < 0.05$ are presented.
CRT = choice reaction time, ISI= inter stimulus interval, MT = movement time, SRT = Simple reaction time.
| | Krawieka Depression | Flattened Affect | Poverty of speech | BDI Depression |
|----------------------|---------------------|------------------|-------------------|---------------|
| Uncued CRT 3200 ms | | | | |
| ISI | r = -0.64 | r = -0.71 | | |
| | p < 0.05 | p = 0.02 | | |
| Fully Cued CRT 1600 | | | | |
| ms ISI | r = -0.67 | | | |
| | p = 0.04 | | | |
| MT SRT | | | r = 0.68 | r = 0.56 |
| | | | p < 0.05 | p < 0.01 |
| MT Uncued CRT | | | r = 0.67 | r = 0.60 |
| | | | p = 0.03 | p < 0.01 |
| MT Fully Cued CRT | | | r = 0.63 | |
| | | | p < 0.01 | |
| CRT Anticipation | | | r = 0.68 | |
| Errors | | | p = 0.03 | |
Table 2.3 Pearson’s Partial correlations between reaction time, movement time, errors and the individual symptom ratings of the Krawieka Manchester Scale controlling for medication, level of depression and Mini Mental score. Only coefficients of $p < 0.05$ are presented. CRT = choice reaction time, ISI= inter stimulus interval, SRT = Simple reaction time.
| Condition | Krawieka Flattened Affect | Psychomotor Retardation |
|----------------------------------|---------------------------|-------------------------|
| Fully Cued CRT 800 ms ISI | $r = -0.87$ d.f. = 3 | |
| | $p < 0.05$ | |
| Fully Cued CRT 1600 ms ISI | $r = -0.88$ d.f. = 3 | |
| | $p < 0.05$ | |
| SRT 800 ms ISI | $r = -0.91$ d.f. = 3 | |
| | $p = 0.03$ | |
| SRT 1600 ms ISI | $r = -0.99$ d.f. = 3 | |
| | $p < 0.01$ | |
| CRT Anticipation errors | $r = 0.95$ d.f. = 3 | |
| | $p < 0.01$ | |
| CRT Long Response Errors | $r = 0.9$ d.f. = 3 | $r = 0.94$ d.f. = 3 |
| | $p = 0.02$ | $p = 0.02$ |
2.4 Discussion
Overall, the RTs and MTs of patients with schizophrenia were significantly slower and more variable than those of age-matched normals across all conditions. Unwarned SRT were significantly faster than the uncued CRT in both groups. For both groups the fully cued CRTs were significantly faster than the uncued CRTs. There was a curious interval effect for the patients with schizophrenia which resulted from the fact that in the fully cued CRT condition, the patients with schizophrenia had CRTs which were
significantly faster at the 200 ms than the 800 ms interval. Besides significant slowness in movement initiation and execution, significant differences in interval effects were the main factor that distinguished the various RTs of the patients and controls.
Before we discuss the main results further we will consider and exclude the possible effects of a number of confounding factors on the RT results. As it was not possible to test the patients with schizophrenia off medication, there is always the possibility that the results obtained are affected by the medication that 8 of the 10 patients were taking. Most existing studies have found no effect of neuroleptic medication on RTs (Heilizer, 1959; Pearl, 1962; Pugh, 1968; Held et al., 1970; Vrtunski et al., 1989). Nevertheless, in a RT paradigm with auditory stimuli, RTs were significantly lower for schizophrenic patients on medication compared to those patients off medication (Pfefferbaum et al., 1989). While the former results suggest that medication status may not affect RTs, the latter study suggests that the slowing of RTs in schizophrenia may be partly attributable to the neuroleptic medication that is taken by most patients. If this is the case, then RTs should be assessed in drug-free patients, a procedure which is not feasible in most studies for clinical reasons. In the present study, there was some indication that the RTs of the two patients who were not taking any medication at the time of the study were in fact somewhat slower than those of the remaining 8 patients who were on medication.
For both groups, RTs slowed slightly during the experiment as seen by the increased RT in the final SRT task compared to the initial SRT task. As there was no significant difference between the two groups on the amount of slowing, the results are not confounded by different patterns of fatigue effects in the two groups.
Precueing produced no differential effect on MT, as MTs for uncued and fully cued conditions did not differ significantly. In contrast, precueing or provision of advance movement parameter information, produced a significant effect on RTs. RTs were significantly faster for the fully cued than for the uncued CRT. The differential effects of precueing on MTs and RTs suggests that the use of advance information for motor preparation is complete by the end of the RT period when the subject lifts his or her index finger from the home key and that there is no evidence of 'on line' preparation during movement execution.
The two groups did not differ in the number of anticipations, decision errors, or long responses. Therefore the differences in RT between the patients with schizophrenia and normals do not appear to be associated with different speed-accuracy trade offs across the two groups.
2.4.1 Use of stimulus-response invariance for preprogramming in SRT: SRT vs Uncued CRT
The patients with schizophrenia were significantly slower than the controls on both the SRT and uncued CRT tasks. However, for both groups the SRT was significantly faster than CRT. These results suggest that in the SRT condition, which involves optional and volitional preprogramming, the patients with schizophrenia preprogramme the response prior to presentation of the stimulus. As a result this condition was significantly faster than the uncued and unwarned CRT which is a purely stimulus driven task where no preprogramming is possible and the correct response is selected, prepared and initiated only after presentation of the imperative stimulus. The significant slowness of SRT in schizophrenia relative to normals agrees with the results of previous studies (Huston et al., 1937; White et al., 1987; Schwartz et al., 1989). Nuechterlein (1977) has reviewed the few studies which have directly compared SRT and uncued CRT in schizophrenia.
Similar to the present results, all previous studies have found that CRT is slower than SRT for patients with schizophrenia similar to normals. However, the present results also showed that the CRT-SRT difference was similar in the two groups.
2.4.2 Use of advance movement parameter information for preprogramming in CRT: Fully precued v uncued CRT or SRT
The fully cued CRTs were significantly faster than the uncued CRTs for the patients with schizophrenia similar to the normals. This is in agreement with previous studies suggesting that valid cues are used by patients with schizophrenia to speed up RT (Nestor et al., 1992; Posner et al., 1988). However, the significant Group x Interval and Group x Condition x Interval interactions when comparing the fully cued CRT with the uncued CRT or SRT, revealed that the patients with schizophrenia showed anomalies in the use of advance information. Replicating previous findings (Jahanshahi et al., 1992) for the normal subjects with the RT tasks used, an S1-S2 interval of 200 ms is not long enough for subjects to use advance information to speed up fully cued CRTs to the level of SRTs. But with S1-S2 intervals of 800 ms or longer, the advance information provided by the precue is fully used by normal subjects to speed up precued CRTs and make these equivalent to the corresponding SRTs. For the patients with schizophrenia an unusual S1-S2 interval effect was present, mainly due to slower fully cued CRTs for the 800 ms and faster fully precued CRTs for the 200 ms S1-S2 interval. As a result, in contrast to the normals, fully precued CRTs were equivalent to SRT even for the 200 ms interval, but not for the longer 800 ms S1-S2 interval or the 3200 ms interval. Examination of the raw data shows that the observed interval effect was not caused by a single outlier. Nine of the ten patients had slower fully cued CRTs for the 800 ms S1-S2 interval relative to the 200 ms S1-S2 interval. This ‘abnormal’ S1-S2 interval effect may reflect inconsistencies of ‘set’ in patients with schizophrenia similar to that seen in the ‘cross over effect’ (Shakow, 1962). One possible explanation of the increased RTs
for an 800 ms interval for the patients with schizophrenia is that conscious processing interfering with externally-cued RT processes. There is evidence of a delay between motor response and conscious awareness (Libet et al., 1983; Libet, 1985; Castiello et al., 1991). Libet et al. (1983; Libet, 1985) report that the readiness potential, a negative cortical potential related to voluntary movement preparation (Kornhuber and Deeke, 1965), occurred about 400 ms before subjects signalled conscious awareness of their decision to move. Castiello et al. (1991) report that a corrected motor response to a target which shifted position after movement onset occurred, on average, 315ms prior to a vocal response signalling awareness of the target shift. The patients with schizophrenia may be experiencing interference from the conscious awareness of the target and movement strategy in the 800 ms S1-S2 interval that is not present in the 200 ms interval.
There are some similarities between the current results for patients with schizophrenia and results from patients with Parkinson’s disease in a similar study (Jahanshahi et al., 1992). Both patient groups had significantly slower RTs and MTs than age-matched normals, both were able to use the S-R invariance to preprogramme the response in SRT and use advance information in precued CRT tasks to speed up their RTs relative to uncued CRT. However, both groups showed ‘abnormal’ interval effects. Patients with Parkinson’s disease required a longer S1-S2 interval (3200 ms) to speed up fully cued CRTs to the level of SRT whereas elderly normals did so with an S1-S2 interval of 800 ms (Jahanshahi et al., 1992). In the present study, instability of attentional set in schizophrenia was associated with equivalent RTs for the fully cued CRT and SRT for the 200 ms and 1600 ms S1- S2 interval but not the 800 or 3200 ms S1-S2 intervals.
2.4.3 Deficits in volitional processes in schizophrenia
The extent to which actions are volitional or reflexive differ on a continuum from the completely automatic and reflexive such as the knee jerk, to the fully internally-driven such as spontaneous actions. Most of our daily actions rest somewhere in between. This is also true of the various RT tasks used in the present study, which differed in the degree of volitional control required for selection, preparation and initiation of a response. The uncued CRT task was probably the least demanding of volitional control. For this reason, the patients with schizophrenia showed no significant differences in uncued CRTs relative to the normal subjects. The SRT task would probably be placed next on a continuum of degree of volitional control required. The optional but internally driven preprogramming in the SRT task is dependent on an act of "will", but as the stimulus-response pairing never varies, the subject preprogrammes the same response on each trial. There was evidence that the patients with schizophrenia were engaging in this. Finally, in the fully precued CRT, since the imperative stimulus repeated the information held in the precue, preprogramming was also optional and volitional and the subject could simply wait for the imperative stimulus before programming the response similar to uncued CRT. However, in the fully cued CRT although the exact response is known prior to presentation of the imperative stimulus, the subject must preprogramme a different response for each trial. Thus a higher degree of volitional control is required relative to SRT, where given the S-R invariance, the same response is preprogrammed across trials in a block.
Performance of SRT tasks concurrently with a second attention-demanding task under dual task conditions, which introduces a capacity load and requires greater volitional control, has been shown to be particularly detrimental to the performance of patients with schizophrenia (Schwartz et al., 1989). In general, evidence suggests that patients with schizophrenia are particularly slowed by increases in task complexity in CRT tasks.
(Slade, 1971; Yates and Korboot, 1970; Marshall, 1973; Hemsley, 1976a; Williams and Hemsley, 1986). For example, in a review of the literature on information processing in schizophrenia, Hemsley (1976b) concluded that CRT tasks involving low S-R compatibility are more sensitive to deficits in schizophrenia (Slade, 1971; Venables, 1958). There is some suggestion from the present results that in schizophrenia RT deficits become more evident as tasks require greater volitional control. As noted above, compared to SRT where the same response is preprogrammed across all trials, in fully cued CRT, a different response has to be preprogrammed on each trial, hence requiring greater allocation of attention and volitional control. It was precisely on the fully cued CRT condition that the patients with schizophrenia showed unusual and inconsistent interval effects suggesting instability of attentional set. These unusual interval effects are reminiscent of the 'cross over effect' which has been replicated in schizophrenia in numerous studies. The cross over effect has also been interpreted as reflecting an impaired ability to maintain attentional set (Shakow, 1962). Such instability of attentional set may contribute to other deficits observed in schizophrenia such as increased perseveration on the Wisconsin Card Sorting Test (Weinberger et al., 1986) or the 'modality shift' effect (Zubin, 1975).
Therefore, the present results suggest that ordinarily, the patients with schizophrenia do not have any major deficits in preprogramming of responses in an SRT or fully cued CRT task. However, in the latter task, where the volitional demands of preprogramming are higher since a different response has to be prepared on each trial, patients show some unusual and inconsistent interval effects suggesting instability of attentional set. In the present study, it was not possible to differentiate subgroups of patients with predominance of negative signs or positive symptoms. It is possible that future studies using RT tasks requiring greater volitional control (for example, with high
stimulus-response incompatibility requiring volitional S-R decoding prior to response selection) and a sample of patients with schizophrenia and predominance of negative signs may reveal greater deficits in willed action.
CHAPTER 3
Study 2: Concurrent Performance of Motor Tasks and Processing Capacity in Patients with Schizophrenia
3.1 Introduction
It has been suggested that as cognitive load increases, patients with schizophrenia show greater task impairment than normals signifying resource limitations in this disorder (Nuechterlein and Dawson, 1984). One way to test the effects of increasing cognitive load is to compare performance on dual task compared to single task conditions (Norman and Bobrow, 1975). Any task is carried out more successfully if we allocate our undivided attention to it. As demands on attentional capacity increase, for example in concurrent or dual task conditions, performance on attended tasks becomes more impaired (Wickens, 1984). The degree to which a task is impaired, however, depends on the amount of attentional capacity it demands. An automatic task would not interfere with a more demanding task but there would be interference of one very demanding task upon another (Heur and Wing, 1984). It would be expected that the degree of performance decrement in a dual task compared to a single task condition would be greater in patients with schizophrenia than in controls, due to the patients limited resources and hence inability to adequately handle the increased cognitive load. There is evidence that under dual task conditions patients with schizophrenia are differentially more impaired than normals (Granholm et al., 1996) and other psychiatric patients (Schwartz et al., 1989; Schwartz et al., 1991). These studies (Granholm et al., 1996; Schwartz et al., 1989; Schwartz et al., 1991) used a simple reaction time task and tests of cognitive skill, such as a visual search task or counting.
Another way to investigate attentional processing capacity in schizophrenia is to assess concurrent performance of motor tasks such as finger tapping and peg placement which differ in terms of their attentional demands. Peg placement as in the Purdue Pegboard task involves sequential movements such as grasping and picking a peg up, followed by its transport and insertion into the holes on the pegboard. Because of its visually driven nature, performance on the pegboard appears to gain prominence over repetitive index finger tapping, which can be performed in a more automatic fashion. As a result, in normals when performed concurrently, finger tapping interferes relatively less with peg placement, whereas concurrent peg placement affects finger tapping more (Brown and Jahanshahi, 1998).
The aim of this study was to examine processing resources in schizophrenia by comparing the performance of two motor tasks, tapping and pegboard placement, under unimanual, bimanual and dual task conditions in patients with schizophrenia and normal controls.
3.2 Method
3.2.1 Subjects
Eleven (2 female, 9 male) subjects with a clinical diagnosis of schizophrenia according to the DSM IIIR criteria were tested. Each was seen as an outpatient at the National Hospital for Neurology and Neurosurgery. Each patient was rated on the Krawieka Manchester Scale (Krawieka et al., 1977), a 4-point standardised psychiatric assessment scale for current positive and negative symptoms. The mean score for positive symptoms (incoherence, delusions and hallucinations) was 2.0 and the mean score for negative signs (poverty of speech, flattened affect and psychomotor retardation) was 2.2. The mean age for the patients was 38.5 (range 27 - 55). As a
group, the patients with schizophrenia were chronically ill, with a mean duration of illness of 14.2 years (SD = 7.4). All patients except two were on medication with nine on neuroleptics (mean dose = 375.6 mg, SD = 142.3). Thirteen (5 female, 8 male) healthy normals with no previous history of psychiatric or neurological illness, head injury, or drug abuse were tested. Their mean age was 38.15 (range 21 - 62). All subjects were right handed. To screen for cognitive deficits, the Mini Mental State Examination (Folstein et al., 1975) was administered to all subjects. None of the subjects scored below the cut-off indicative of cognitive deficit.
3.2.2 Procedure
All subjects performed finger tapping and the Purdue Pegboard under unimanual, bimanual and dual task conditions. On the Purdue Pegboard, subjects were required to place metal pegs (3mm x 25 mm) in a vertical row of holes, as quickly as possible for a 30 s period. Subjects performed the task with each hand separately and then bimanually. The measures of unimanual and bimanual performance were the mean number of pegs placed with the left and right hands under each condition.
The second task was repetitive index finger tapping. Subjects were required to continuously tap a 25 mm button as quickly as possible for a 30 s period. The button activated a 150 g standard microswitch. The task was performed with each hand separately and bimanually. As with the pegboard, the measures of unimanual and bimanual performance were the mean number of taps with the left and right hands under each condition.
Subjects also performed a combined bimanual task. This involved tapping with one hand and placing pegs with the other. The test was performed twice, once with each hand-task combination each time for 30 s. The average of the two tests was calculated
for each task. For all conditions the measures of bimanual performance are expressed as percentages of unimanual performance [e.g. (PEGb/ PEGu) x 100]. In the combined task condition, subjects were instructed to perform both tasks at the same time as fast as they could and not to concentrate on one to the exclusion of the other.
The order of testing was randomised across subjects. All subjects were assessed on the Beck Depression Inventory (BDI; Beck et al., 1961).
3.3 Results
The mean ages of the two groups did not differ significantly \[F(1, 23) = 0.032, p = 0.87\]. The mean of the MMS scores for the patients was 28.2 (SD = 2.5) and for the controls 29.9 (SD = 0.3). The difference between the two groups was significant \[F(1,23) = 6.35, = 0.02\]. The mean score on the BDI for the patients was 14.4 (SD = 10.3) and for the controls was 4.5 (SD = 5.1), a difference which was significant \[F(1, 22) = 9.20, p < 0.01\]. The group differences in task performance were analysed both with and without MMS and BDI scores as covariates.
Table 3.1 shows the mean performance of the two groups for each of the test conditions, as well as the performance of the bimanual conditions as a percentage of unimanual task performance. Also shown are the results of the one way analyses of variance and covariance.
For the pegboard, the patients with schizophrenia had significantly slower performance than the controls for the unimanual and bimanual tasks. The number of pegs placed in the bimanual condition as a percentage of the unimanual condition did not differ
Table 3.1. Performance of the two groups on the tapping and Purdue pegboard tasks (mean and standard deviation) under unimanual, bimanual, and dual task conditions.
| Task | Patients with schizophrenia | Normal Controls | p | *p |
|-----------------------------|-----------------------------|-----------------|-------|------|
| Pegboard unimanual | 13.1 (2.3) | 16.3 (1.8) | < 0.01| < 0.05|
| Pegboard bimanual | 11.3 (2.8) | 14.1 (1.7) | < 0.01| 0.08 |
| % of unimanual pegboard | 85.4 (10.1) | 87.2 (7.6) | 0.53 | 0.74 |
| Tapping unimanual | 145.5 (40.0) | 172.6 (19.1) | 0.06 | 0.19 |
| Tapping bimanual | 132.8 (38.7) | 165.2 (26.4) | < 0.03| 0.26 |
| % of unimanual tapping | 92.7 (15.0) | 94.2 (9.8) | 0.77 | 0.55 |
| Pegboard with tapping | 13.3 (2.5) | 15.0 (2.1) | < 0.04| 0.30 |
| % of unimanual pegboard | 101.3 (5.2) | 92.5 (8.7) | < 0.02| 0.10 |
| Tapping with pegboard | 100.8 (38.3) | 149.6 (22.3) | < 0.01| 0.07 |
| % of unimanual tapping | 71.2 (22.9) | 86.8 (9.8) | = 0.05| 0.26 |
**PEGu – PEGc**
| Category | Patients | Normal | X²(2) = 5.92 p = 0.05 |
|-------------------------------|----------|--------|----------------------|
| % subjects showing improvement| 45.5% | 15.4% | |
| % subjects showing no change | 27.3% | 7.7% | |
| % subjects showing deterioration| 27.3% | 76.9% | |
*Results of one way analysis of covariance with MMS and BDI score as covariate*
significantly between the two groups. Similar results were found for the tapping test. While tapping bimanually the patients were significantly slower than the controls and the difference approached significance ($p = 0.06$) for unimanual tapping. But when bimanual tapping was considered as a percentage of unimanual performance, the two groups did not differ significantly.
Under dual task conditions of concurrent tapping and peg placement an interesting pattern of results emerged. The absolute numbers of pegs and taps were significantly different between the patients and the normals, with the patients having fewer taps and placing fewer pegs in the dual task condition. The patients and controls also differed significantly in terms of percentage of change from the unimanual performance. However, relative to performance of pegboard alone, the patients with schizophrenia showed *improved* performance on the pegboard under the dual task condition, while the performance of the normals was worse. Also the patients with schizophrenia showed a significantly *greater* drop in tapping performance under dual task conditions than the normals.
Under dual task conditions, for the pegboard task, we also examined the distribution of the absolute difference (pegs placed in unimanual task – pegs placed in bimanual dual task) for individual subjects in each group. This showed that peg placement in the dual task condition improved in 45%, remained constant in 27% and deteriorated in 27% of the group with schizophrenia, whereas performance on the pegboard under the dual task condition improved in only 15%, remained constant in 8% and deteriorated in 77% of the controls. These proportions were significantly different across the two groups ($X^2 = 5.92$, d.f. = 2, $p = 0.05$).
When the group differences in MMS and BDI scores were covaried out, only the group differences in the unimanual pegboard remained statistically significant.
3.3.1 Correlational Analysis
Pearson’s correlations were used to examine the relationship between the individual symptoms of schizophrenia as rated on the Krawieka Manchester Scale, depression as rated on the Beck Depression Interval (BDI), and peg placement and tapping speed. The significant results ($p < 0.05$) are presented in Table 3.2. After carrying out Bonferroni corrections for the number of correlations (130) there were no significant correlations.
There is a possibility that factors such as depression, medication or cognitive deficits could confound the findings of correlational analyses. Therefore, Pearson’s Partial Correlations were run controlling for dose of neuroleptic, BDI score, and Mini Mental score. $R$ and $p$ values are presented in Table 3.3 for the significant results of the Pearson’s Partial Correlations. After carrying out Bonferroni corrections for the number of correlations (117) there was one significant correlation. There was a significant negative correlation between rating of incoherence and the number of pegs placed in the dual task condition ($r = -0.995$, d.f = 3, $p < 0.001$). This means that higher ratings of incoherence were associated with reduced tapping in the dual task condition.
Table 3.2. Pearson's correlations between measures of tapping and peg placement under different conditions and the individual symptom ratings of the Krawieka Manchester Scale and depression as rated on the Beck Depression Inventory (BDI). The r and p values are given. Only coefficients with $p < 0.05$ are presented
| Krawieka Scale | BDI |
|----------------|-----|
| | |
| Depression | |
| Delusion | |
| Incoherence | |
| Poverty | |
| of speech | |
| Flattened | |
| affect | |
| Tap unimanually| |
| left hand | |
| Tap unimanually| |
| right hand | |
| Tap bimanually,| |
| left hand | |
| Tap bimanually,| |
| right hand | |
| Tap dual task, | |
| left hand | |
| Tap dual task, | |
| right hand | |
| Tap dual task, | |
| overall | |
| Peg unimanually| |
| left hand | |
| Peg unimanually| |
| right hand | |
| Peg bimanually,| |
| left hand | |
| Peg bimanually,| |
| right hand | |
| Peg dual task, | |
| left hand | |
| Peg dual task, | |
| right hand | |
| Peg dual task, | |
| overall | |
$r = -0.64$
$p < 0.05$
$r = -0.76$
$p = 0.02$
$r = -0.74$
$p = 0.02$
$r = -0.79$
$p < 0.01$
$r = -0.71$
$p = 0.02$
$r = -0.65$
$p = 0.04$
$r = -0.80$
$p < .01$
$r = -0.66$
$p = 0.04$
$r = -0.76$
$p < 0.01$
$r = -0.53$
$p = 0.01$
$r = -0.42$
$p = 0.04$
$r = -0.69$
$p = 0.03$
$r = -0.77$
$p = 0.01$
$r = 0.79$
$p = 0.01$
$r = 0.74$
$p = 0.02$
$r = -0.64$
$p < 0.05$
$r = -0.64$
$p < 0.05$
$r = -0.73$
$p = 0.02$
$r = -0.43$
$p = 0.04$
$r = -0.78$
$p < 0.01$
$r = -0.67$
$p = 0.04$
Table 3.3 Pearson’s partial correlations between measures of tapping and peg placement under different conditions and the individual symptom ratings of the Krawieka Manchester Scale, controlling for medication, level of depression and Mini Mental score. The r and p values are given. Only coefficients with $p < 0.05$ are presented.
| | Krawieka Scale |
|------------------------|----------------|
| | Depression | Delusion | Incoherence | Poverty of speech |
| Tap left hand | | | | |
| Tap right hand | | | | |
| Tap bimanually, | | | | |
| left hand | | | | |
| Tap bimanually, | | | | |
| right hand | | | | |
| Tap dual task, left | $r = -0.91 \ p = 0.03$ | $r = -0.92 \ p = 0.03$ | $r = -0.89 \ p = 0.04$ | |
| hand | | | | |
| Tap dual task, | $r = -0.88 \ p < 0.05$ | $r = -0.91 \ p = 0.03$ | $r = -0.93 \ p = 0.02$ | |
| right hand | | | | |
| Tap dual task, | $r = -0.88 \ p < 0.05$ | $r = -0.91 \ p = 0.03$ | $r = -0.93 \ p = 0.02$ | |
| overall | | | | |
| Peg left hand | | | $r = -0.96 \ p < 0.01$ | $r = -0.97 \ p < 0.01$ |
| Peg right hand | | $r = -0.96 \ p < 0.01$ | $r = -0.90 \ p = 0.04$ | |
| Peg bimanually, | | | $r = -0.96 \ p < 0.01$ | $r = -0.94 \ p = 0.02$ |
| left hand | | | | |
| Peg bimanually, | | | $r = -0.96 \ p < 0.01$ | $r = -0.94 \ p = 0.02$ |
| right hand | | | | |
| Peg dual task, left | | | $r = -0.98 \ p < 0.01$ | |
| hand | | | | |
| Peg dual task, | | | $r = -0.97 \ p < 0.01$ | $r = -0.96 \ p < 0.01$ |
| right hand | | | | |
| Peg dual task, | | | $r = -0.99 \ p < 0.001$ | $r = -0.92 \ p = 0.03$ |
| overall | | | | |
3.4 Discussion
The results show that patients with schizophrenia were significantly slower than the normal controls - they placed fewer pegs and had reduced tapping speed in unimanual and bimanual conditions. However, despite this overall slowness, the decrement in bimanual performance as a percentage of unimanual performance was not significantly different for the patients and controls on either the pegboard or tapping tasks. This suggests that although motor abnormalities such as poverty of action, perseverative movements (Manschreck, 1986) and motor slowness, reflected in slower reaction time (RT) and movement time (MT) in patients compared to normal controls (Straube and Oades, 1992; Mannuzza et al., 1984; Elkins and Cromwell, 1994; Nestor et al., 1992, Fuller and Jahanshahi, 1999) have been reported in schizophrenia; patients with schizophrenia do not have major deficits in bimanual co-ordination. In contrast, in a previous study in Parkinson’s disease (Brown and Jahanshahi, 1998) the patients showed greater decline in bimanual performance than normals.
An interesting finding is that under dual task conditions, the performance of the patients with schizophrenia in peg placement actually improved relative to the unimanual pegboard task. The patients with schizophrenia were able to place more pegs while performing a secondary task with their other hand. In contrast, the tapping decreased compared to the unimanual tapping a decrement that was significantly greater for the patients. Thus the improvement in the visually guided pegboard task was at the expense of the tapping task. Similar results have been found in patients with Parkinson’s disease (Brown and Jahanshahi, 1998; Brown et al., 1993).
Previous studies report that patients with schizophrenia show impaired RTs when a simultaneous cognitive task is introduced (Granholm, et al., 1996; Schwartz et al., 1989;
Schwartz et al., 1991) thus suggesting limited attentional processing capacity. Why does performance on the visually guided task improve in patients with schizophrenia under dual task conditions? Brown and Jahanshahi (1998) provided two alternative explanations of a similar improvement obtained in patients with Parkinson’s disease. The first is that for each task there may be an optimal level of attention such that too much attention is detrimental to skilled performance. For example, thinking about individual movements can impair smooth motor planning and execution such as when running down stairs; or a golfer can greatly impair his or her putt by thinking about each single movement in the motor sequence. It is possible that under dual task conditions by removing some of the ‘excess’ attention, finger tapping makes the attentional allocation to peg placement optimal for the patients so that performance on the latter task improves. The second explanation is that in light of the deficits in schizophrenia in internal generation of action with relative normality of stimulus-driven behaviour (Frith, 1992; Fuller et al., 1999) rhythmical tapping acts as an external pacing cue that improves the visually guided pegboard. Thus it is possible that the patients are improving peg placement by using the rhythm of tapping as a pacing stimulus. Brown and Jahanshahi (1998) suggested that the first explanation can be tested by varying the cognitive load of a non-motor secondary task for example, mental arithmetic, while the second explanation can be tested by manipulating the timing characteristics of the secondary tapping task. For patients with schizophrenia some evidence relating to these already exists. Granholm et al. (1996) used a visual search task, involving pointing at a screen when a target appeared as the primary task and a simple RT as the secondary task. Thus the primary task, although visually guided, had a less demanding motor output component than the pegboard task in this study, and the secondary RT task did not involve any rhythmic cueing. The patients with schizophrenia did not improve performance on the primary visual search task in the dual task condition but in fact
showed a greater secondary task decrement (RT slowing) than controls in the highest processing load dual task condition. Therefore, in the present study it is more likely that the patients are using the rhythmic finger tapping as an external pacing cue to improve performance of the visually guided task.
There is evidence that as suggested by Frith (1992) patients with schizophrenia, especially those with high ratings of negative signs, are impaired in self-generated movements but not externally-triggered (Fuller et al., 1999). However, higher ratings of incoherence were associated with reduced peg placement in the dual task condition, suggesting that this symptom may play a role in the decrement in tapping performance seen in the dual task. The fact that covarying out MMS and BDI scores eliminated all significant differences between the patients and normal subjects suggests that the impairments in performance seen in the group with schizophrenia are associated with higher levels of depression and cognitive impairment.
Both Parkinson’s disease and schizophrenia are characterised by symptoms such as akinesia or poverty of action and speech, deficits that reflect impairment of willed actions (Jahanshahi and Frith, 1998). Despite similarities, differences between patients with schizophrenia and Parkinson’s disease are also evident. In a previous study with patients with Parkinson’s disease an improvement for peg placement at the expense of tapping was observed, similar to that in the present study, but the Parkinson’s patients also showed greater impairment in the bimanual tasks than in the unimanual tasks compared to normals (Brown and Jahanshahi, 1998), which was not found for the patients with schizophrenia. The similarity in the dual task condition between the two patient groups with fronto-striatal involvement (Jahanshahi et al., 1995; Weinberger et al., 1986), may reflect the greater dependence of both groups on visual signals and their
reliance on rhythmic tapping as an external cue to improve peg placement. In conclusion the results of the current study revealed qualitatively different pattern of motor performance in schizophrenia under dual task conditions which was associated with higher ratings of negative signs.
CHAPTER 4
Study 3: Movement-Related Potentials prior to self-initiated and externally triggered movements
4.1 Introduction
Movement-related potentials (MRPs) are electrophysiological measures recorded over the scalp, which reflect preparatory processes prior to movement. The Bereitschaftspotential (BP) is a negative MRP occurring 1 to 1.5 seconds prior to a self-paced movement (Kornhuber and Deecke, 1965). The BP is considered to consist of three components, the early BP, with onset 1 – 1.5 seconds prior to the movement onset, the late BP, which occurs about 500 ms prior to movement onset, and the peak BP, which either coincides with or occurs about 50 ms prior to the onset of movement (Deecke et al., 1969, 1976).
Libet et al. (1982, 1983) suggested that two volitional processes contribute to the BP. The first, which in terms of its timing corresponds to the early component, is considered to reflect volitional motor preparatory processes associated with the development of preparation to act in the near future. The second which in terms of its timing corresponds to the late component is associated with voluntary choice and with the endogenous ‘urge’ or intention to act. With self-paced or self-initiated movements the early, late, and peak BP components are present (Kutas and Donchin, 1980; Thickbroom et al., 1985; Papa et al., 1991; Aminoff et al., 1993; Jahanshahi et al., 1995); reflecting the preparation involved in planning to move, as well as the endogenous intention to act (Jahanshahi et al., 1995). Previous studies have shown that with externally-triggered movements, if the stimulus occurs regularly and can be
anticipated, motor preparation is possible and some pre-movement negativity is present (Kutas and Donchin, 1980; Thickbroom et al., 1985; Papa et al., 1991; Aminoff et al., 1993; Jahanshahi et al., 1995). With regularly triggered movements, however, the decision when to move is not self-generated, but is determined by the onset of the triggering stimulus. Therefore, it can be suggested that the late component in a regularly paced externally-triggered movement is lower than in a self-initiated movement because the late component reflects only the maintenance of motor preparation without volitional decision making about when to act (Jahanshahi et al., 1995). With externally-triggered movements, if stimulus presentation is irregular and its onset cannot be anticipated and motor preparation is not as viable then there is no pre-movement negativity, only the final activation of the motor cortex seen in the peak BP (Aminoff et al., 1993; Jahanshahi et al., 1995).
Several studies have investigated the BP in schizophrenia and found impaired BPs compared to normals (Bachneff and Engelsman, 1983; Chiarenza, 1985; Singh et al., 1992; Karaman et al., 1997). However, the results of these studies are contradictory. For example, while some previous studies have found both the early and late BP to be reduced in schizophrenia (Singh et al., 1992) others report the early BP to be reduced in patients with positive symptoms and the late BP to be reduced in patients with negative signs (Karaman et al., 1997). There have also been reports that medicated patients with schizophrenia with tardive dyskinesia have larger BP amplitude compared to controls while patients with schizophrenia without tardive dyskinesia did not differ from normals (Adler et al., 1989). While some studies have shown a longer BP duration in schizophrenia (Westphal et al., 1986), others reported a shorter BP duration in schizophrenia which was found to be associated with flattening of affect (Bachneff & Engelsman, 1983). Recently patients with schizophrenia have shown reduced BPs prior
to movement selection compared to normal controls but the patients did show an increase of BP amplitude relative to task difficulty (Dreher et al., 1999).
On theoretical grounds impairment of BPs would be expected in patients with predominantly negative signs. The aim of study 3 was to compare MRPs prior to self-initiated and externally-triggered movements in three groups: normal controls, patients with schizophrenia ranking high on negative signs, and patients with schizophrenia ranking high on positive symptoms. It was predicted that the main differences would be found between the normals and patients with negative signs prior to self-initiated movements and that fewer or no group differences would be evident for MRPs prior to externally-triggered movements or the group with predominately positive symptoms compared with the normals.
4.2 Method
4.2.1 Design
A mixed between groups and within-subject design was used. Three groups of subjects took part in the experiment: normal controls, patients with schizophrenia with high ratings of positive symptoms and patients with schizophrenia with high ratings of negative signs. There were three experimental conditions (self-initiated, externally-triggered, and rest).
4.2.2 Subjects
Table 4.1 shows the characteristics of the samples. Thirteen patients diagnosed with schizophrenia according to DSM IVR were recruited from the National Hospital for Neurology and Neurosurgery. The data of two patients were excluded, one because of excessive movement and one due to excessive EOG artifact. The data from the remaining eleven patients were used in the analysis. Each patient was rated on the
Krawieka Manchester Scale, a 4-point standardised psychiatric assessment scale (Krawiecka et al, 1977) for current positive symptoms and negative signs. Those subjects who had a higher rating of positive symptoms (incoherence, delusions and hallucinations, maximum total score = 12) compared to negative signs (poverty of speech, flattened affect and psychomotor retardation, maximum total score = 12) were placed in the ‘positive’ group (4 male, 2 female). Those with a higher negative compared to positive score were placed in the ‘negative’ group (5 male). For both groups, the mean scores for positive symptoms and negative signs differed significantly \((p < 0.05)\). The two groups did not differ significantly in terms of duration of illness \((p > 0.05)\). Two patients in the positive schizophrenia group were not on medication, while all other patients were. The two groups did not differ significantly for mean dose of anticholinergic or neuroleptic medication \((p > 0.05)\).
Seven healthy normals with no previous history of psychiatric or neurological illness, head injury, or drug abuse were tested. One normal subject’s data were excluded due to excessive EOG artifact. The data from the other 6 normals (1 male, 5 female) were used for analysis. To screen for cognitive deficits, the Mini Mental State Examination (Folstein et al., 1975) was administered to all subjects. None of the subjects scored below the cut-off of 25, indicative of cognitive deficit. All subjects were right handed except for one (positive schizophrenia group) who was ambidextrous. The three groups were matched on age and handedness (Oldfield, 1971) and did not differ in terms of scores on the Beck Depression Inventory (BDI) (Beck et al, 1961) or the Mini Mental State Examination (MMSE) \((p > 0.05)\). The three groups did differ in terms of proportion of males to females \((X^2 = 8.06, d.f. = 2, p = 0.02)\).
Table 4.1. The Details of the three subject groups. Values given are means; standard deviations are in brackets
| | Normals | Positive Schizophrenia | Negative Schizophrenia |
|--------------------------|-----------|------------------------|------------------------|
| Sex male : female | 1:5 | 4:2 | 5:0 |
| Age (years) | 44 (14.3) | 42 (7.9) | 38 (4.6) |
| Mini Mental State Examination (0-30) | 30.0 (0.0) | 28.5 (2.0) | 29.2 (1.3) |
| Beck Depression Inventory (max - 63) | 9.3 (3.6) | 14.2 (12.6) | 11.2 (8.4) |
| Handedness (-100 = purely left, 100 = purely right handed) | 75 (18.0) | 77 (14.0) | 90 (8.9) |
| Duration (years) | | 17.2 (8.2) | 12.0 (2.7) |
| Positive symptoms (hallucination, delusions, incoherence) (0-12) | 6.7 (4.0) | 1.0 (1.7) |
| Negative signs (poverty of speech, flattened affect, psychomotor retardation) (0-12) | 2.8 (3.8) | 4.4 (4.4) |
| Dose anticholinergic, Disipal equivalent [range] | 50.0 (54.8) | [0 – 100 mg] | [0 – 300 mg] |
| Dose neuroleptic, chlorpromazine equivalent [range] | 128.3 (123.3) | [0 – 320 mg] | [100-800 mg] |
4.2.3 Procedure
Informed consent was obtained from all subjects. MRPs were recorded in three experimental conditions.
220.127.116.11 Self-initiated movements
Subjects made self-initiated movements at an average rate of once every three seconds. The movement involved a brisk lifting of the right index finger. The subject’s finger rested on a zero force touch switch. Extension of the finger interrupted contact with the switch. Inter-response intervals were measured to the nearest millisecond. A tone, which subjects were told to ignore, was presented 100 ms after the self-initiated movement. This was to control for the tone effect in the externally-triggered condition.
18.104.22.168 Externally-triggered movements
Subjects made the same finger lifting movement in response to a tone presented at an identical rate to that generated by the subjects in the self-initiated condition: i.e. the rate of movement was yoked to that generated by the subject in the self-initiated condition. This was achieved by saving the inter-response intervals produced by the subject in the self-initiated condition on the computer, which were then used as the inter-stimulus-intervals for presentation of the tone in the externally-triggered and rest conditions. Reaction times (time from presentation of tone to subject lifting finger) were measured to the nearest millisecond.
22.214.171.124. Rest
Subjects listened to tones presented at a rate yoked to condition (i). No response was required. This condition was included to control for the sensory potentials evoked by the tone in condition (ii).
Because of the necessity of yoking the rate of tone presentation to the rate of self-initiated movements, a fixed order was used. In each block, subjects performed the self-initiated condition, then the externally-triggered condition, followed by the rest condition. Four blocks of 60 trials of each condition were performed.
4.2.4 Recording of MRPs
The subject sat in a comfortable reclining chair in a quiet, dimly lit room. All recordings were made with Digitimer D150 amplifiers. The EEG was recorded using non-polarizable Ag/AgCl electrodes. The electrode positions were a modification of the International 10-20 convention, with placements at F3, Fz, F4, FC3, FCz (4 cm anterior of vertex), FC4, C3, Cz (vertex), C4, P3, Pz, P4. Electrodes were secured to the scalp with collodion. Linked earlobes served as the reference. The subject was grounded on the left wrist. The high frequency cut-off was set at 100 Hz., the low frequency cut-off was 0.03 Hz., with a time constant of 5 seconds. The electro-oculogram (EOG) was recorded from electrodes placed at the glabella and on the outer canthus of the right eye. For recording of EOG the high frequency cut-off was 100 Hz., a low frequency cut-off of 0.16 Hz, with a time constant of 1 second. Trials with EOG above 20 μV were excluded on line and the data collection continued until 60 artifact free trials were recorded. The EMG was recorded using a bipolar arrangement from the prime mover that was the extensor indicis proprius. For EMG recording a high frequency cut-off of 3 kHz, a low frequency cut-off of 53 Hz., and a time constant of 0.03 seconds was used. The EMG was rectified and integrated and was used for back-averaging of the EEG on a trial by trial basis.
The duration of the sampling window was 2500, 2000 ms before and 500 ms after the EMG onset. The sampling rate was 150 Hz (a total of 375 data points, 300 data points prior to EMG onset). For the rest condition, where there was no response, the tone
acted as the trigger for sampling the EEG data. The analogue data were digitized to 12-bit resolution using a CED-1401 general purpose laboratory interface (Cambridge Electronic Design, Cambridge, UK, 1988). Data collection was controlled using the SigAvg programmes (version 6.03; Cambridge Electronic Design, 1993). Prior to offline analysis of the MRP data, any remaining trials with EOG or movement artifact were eliminated and the records were back-averaged using the EMG onset on a trial by trial basis. The minimum number of valid trials was 100.
4.2.5 Analysis of MRPs
In the externally-triggered condition, all measurements were obtained from the subtracted waveforms: i.e. traces from which the sensory components (N\textsubscript{100}, P\textsubscript{200}, N\textsubscript{200}) elicited to the tone alone in the rest condition had been subtracted to obtain a 'pure' measure of movement-related negativity. This subtraction process involved a number of steps. First, for each subject, the sensory components to the tone in the rest condition were reworked by offsetting them with the reaction time of the subject on a trial-by-trial basis. Thus, the potentials evoked by the tone were spread by the variability of the subject's reaction time. Then the onset of the tone in the triggered condition was superimposed on the onset of the tone in the reworked rest condition, which aligned the sensory components in the two conditions. Finally the EEG data were subtracted, leaving the pre-movement potentials in the two externally-triggered conditions without the sensory components due to tone. The movement-related components preceding the movement onset, which were of primary interest, were not altered by the subtraction process, which simply subtracted the negativity associated with the presentation of the tone trigger. This procedure was not carried out using the self-initiated data since the tone was present after EMG onset and thus not interfering with the movement-related components of interest.
For scoring the BP prior to the self-initiated movements, procedures similar to those previously employed in our laboratory (Dick et al., 1987, 1989; Jahanshahi et al, 1995) were used. Only the three pre-movement components of the MRPs, i.e., the early, late and peak BPs were measured. To determine the onset of each of the three components, printouts of the averaged waveform for each subject and each type of movement were examined independently by three scientists who had experience with BPs. For each record, the point of onset of the early, late and peak BP components were marked using Cz as the main reference trace. The onset of each component for each subject and each type of movement was determined by taking the consensus point. Using the marked points, the mean latency of the early BP (rise of the slope from baseline), the late (point of change in slope) and the peak BP (most negative point at or prior to EMG onset) onset were measured in relation to EMG. The amplitudes of the early and peak BP were measured, and using these values the amplitude of the late BP was calculated through subtraction. Amplitudes were measured in relation to a 300-ms baseline which was obtained by averaging the traces between the point of onset of the early BP and the preceding 300 ms.
The onset of the early and late components were not clear in every trace for the externally-triggered waveforms. Therefore, the points of onset of the early and late components from the self-initiated data were used to mark the onset of these components in the externally-triggered waveforms for all subjects. The peak BPs, however were clearly visible in the externally-triggered data, so these points were marked for each subject’s trace.
The slope of the early component was measured between the point of onset of the early BP and the onset of the late BP. The slope of the late component was measured from
the point of onset of the late BP to the onset of the peak BP. The slopes were measured in $\mu V$ per second.
The data for each component of the MRP (early, late and peak) were analysed separately for the self-initiated and the externally-triggered responses using repeated measures analysis of variance (ANOVA). In each ANOVA, Group (normals, patients with positive symptoms, patients with negative signs) was the between subjects variable and Electrode Site (F3, Fz, F4, FC3, FCz, FC4, C3, Cz, C4, P3, Pz, P4) was the within-subjects repeated measures variable. The slope of the early BP and the slope of the late BP were also analysed using similar repeated measures ANOVA. Where necessary, to deal with violations of assumptions of sphericity, the Greenhouse-Geisser epsilon was used to adjust the degrees of freedom. Pre-planned special contrasts were carried out comparing the normals with the patients with negative signs and the normals with the patients with positive symptoms. In order to examine the data further independent t-tests were used for post hoc examination of the two patient groups. All statistics were carried out using SPSS for Windows version 8.0.
4.3 Results
4.3.1 Behavioural data
Mean inter-response intervals for the self-initiated condition and reaction times for the externally-triggered are presented in Table 4.2. The three groups did not differ significantly for the inter-response intervals $[F(2,14) = 1.58, p = 0.24]$ or reaction times $[F(2, 14) = 1.01, p = 0.37]$. The important aspect of the behavioural data is that all three groups produced self-initiated movements at the target rate of on average once every 3 seconds. Since the rate of movement for the externally-triggered condition was yoked to the self-initiated condition, this means that the three groups did not differ in terms of the rate of movement in the triggered condition either.
Table 4.2. The mean behavioural data for the three groups for the self-initiated and the externally triggered movements. Values given are means; standard deviations are in brackets. The units are milliseconds. IRI = inter-response interval; RT = reaction time.
| | Normals | Positive Schizophrenia | Negative Schizophrenia |
|------------------------|---------------|------------------------|------------------------|
| Self Initiated IRI | 3274.8 (261.8)| 3080.7 (300.8) | 3032.6 (94.3) |
| Externally-Triggered RT| 204.2 (75.0) | 166.3 (48.6) | 237.0 (111.7) |
4.3.2 Latencies
Table 4.3 contains the latencies for each group. For the self-initiated movements, there were no significant differences among the three groups for latencies of the early \[F(2,14)= 1.88, p = 0.19\], late \[F(2,14) = 0.55, p = 0.59\], or peak \[F(2,14) = 0.01, p = 0.99\] BP. For the externally-triggered movement the latency of the peak BP did not differ significantly among the three groups \[F(2,13)= 1.51, p= 0.26\].
Table 4.3. The mean latencies for the groups for the self-initiated and externally-triggered movements. Values given are in milliseconds and are measured relative to EMG onset; standard deviations are in brackets. BP = Bereitschaftspotential.
| | Normals | Positive Schizophrenia | Negative Schizophrenia |
|------------------------|---------------|------------------------|------------------------|
| Self Paced | | | |
| Early BP | -1187.5 (82.3)| -1024.5 (233.5) | -1191.4 (146.3) |
| Late BP | -448.8 (75.4) | -400.0 (80.0) | -482.4 (213.1) |
| Peak BP | -44.5 (29.7) | -45.4 (26.5) | -46.6 (17.0) |
| Externally-Triggered | | | |
| Peak BP | -41.0 (31.4) | -43.2 (22.7) | -70.2 (30.4) |
4.3.3. Amplitudes
The waveforms of the MRPs prior to the self-initiated and externally-triggered movements are shown in Figures 4.1 and 4.2. The waveforms of the MRPs preceding self-initiated movements for one patient from the 'positive' group with the highest levels of medication and the one patient from the 'negative' group with lower levels of medication are presented in Figure 4.3.
126.96.36.199 MRPs prior to self-initiated movements
For the early component the main effects of Group and Electrode Site and the Group x Electrode Site interaction were not significant (p > 0.05). For the late component the main effects of Group [F(2, 14) = 3.90, p = 0.05] and Electrode Site [F(3, 43) = 7.44, p = 0.001] reached significance but the Group x Electrode Site interaction did not (p > 0.05). For the peak component the main effects of Group [F(2, 14) = 5.20, p = 0.02] and Electrode Site [F(3, 42) = 7.95, p = 0.001] reached significance but the Group x Electrode Site interaction did not (p > 0.05).
Pre-planned special contrasts revealed that the mean amplitudes of the MRPs prior to self-initiated movements for the late and the peak components were significantly lower in the patients with negative signs than in the normal controls (p < 0.05), but there was no significant difference between the normal controls and the patients with positive signs (p > 0.05). Post hoc t-tests revealed that the amplitude of the early and late components did not differ significantly between the two patient groups (p > 0.05). Further investigation of the main effect of Electrode Site revealed that for the amplitude of the late component, the amplitude was most negative at FCz, Cz and C3. For the peak component the amplitude reached greatest negativity at FCz, Cz and FC3.
188.8.131.52 MRPs prior to externally-triggered movements
For the early, late and peak components there were no significant main effects of Group (p > 0.05) and no significant Group x Electrode Site interactions (p > 0.05). There was a significant main effect of Electrode Site for the amplitude of the late [F(4, 49) = 2.91, p = 0.04] and peak components [F(4,50) = 3.53, p = 0.01]. Further post-hoc examination of the Electrode Site effect revealed that for the *late* component the highest negativity was at Fz, FCz and FC3 while for the *peak* component the highest negativity was present at FCz, Fz and FC3.
4.3.4 Slopes
184.108.40.206 MRPs prior to self-Initiated movements
For the self-initiated movements, for the slope of the early component, the main effect of Group [F(2, 14) = 5.14, p = 0.02] was significant, but the main effect of Electrode Site and the Group x Electrode Site interaction did not reach significance (p > 0.05).
For the slope of the late component prior to the self-initiated movements, the main effects of Group [F(2, 14) = 4.52, p = 0.03] and Electrode Site were significant [F(5, 59) = 6.96, p = 0.01], but the Group x Electrode Site interaction was not (p > 0.05).
Pre-planned special contrasts revealed that prior to self-initiated movements the slope of the early and late components were significantly reduced in the patients with negative signs compared to normals (p < 0.02) and did not differ significantly between the patients with positive symptoms and the normals (p > 0.50). *Post hoc* t-tests revealed that the slope of the early component was significantly reduced in the patients with negative signs compared to the patients with positive symptoms (t = 3.2, d.f. = 8, p = 0.01) but the slope of the late component did not differ significantly between the two patient groups (p = 0.1).
Figure 4.1. Grand averages of the movement-related potentials preceding self-initiated movements for the normals (dark lines), patients with positive schizophrenia (light lines) and negative schizophrenia (dotted lines).
Figure 4.2. Grand averages of the movement-related potentials preceding externally-triggered movements for the normals (dark lines), patients with positive schizophrenia (light lines) and negative schizophrenia (dotted lines).
Figure 4.3. Averaged movement-related potentials preceding self-initiated movements for one patient from the 'positive' group (black thin dotted line) with high levels of medication (anticholinergic dose = 100 mg, neuroleptic dose = 320 mg) and one patient from the 'negative' group (thick solid line) with low levels of medication (anticholinergic dose = 0 mg, neuroleptic dose = 130 mg).
Further examination of the main effect of Electrode Site for slope of the late component revealed that the Electrode Sites of greatest negativity were FCz, FC3, and Cz.
220.127.116.11 MRPs prior to externally-triggered movements
For the externally-triggered movements, there were no significant main effects of Group or Electrode Site or their interaction for either the early or the late slope (p > 0.10).
4.3.5 Correlational analysis
The amplitude of the early, late, and peak components and the slope of the early and late components of the MRP prior to self-initiated movements were correlated with medication using Pearson’s correlation coefficients. For the patients with schizophrenia, no relationship was found between duration of illness and MRP amplitudes or slopes (p > 0.05). There was a significant positive correlation between dose of anticholinergic medication and the amplitude of the late component at Pz (r = 0.64, p = .04) and a significant negative correlation between dose of anticholinergic medication and the slope of the early component at Pz (r = -0.62, p = 0.03) for the MRP prior to self-initiated movements. This means that higher doses of anticholinergic medication were associated with lower amplitude of the late BP, yet larger slope of the early BP at Pz. There was a significant negative correlation between dose of neuroleptic medication and the slope of the early component of the MRP prior to self-initiated movements at the three fronto-central sites (FC3, FCz, FC4) and at Pz (range of r -0.64 to -0.78, p <0.04). This means that higher doses of neuroleptic medication were associated with lower slopes of the early BP.
The amplitude of the early, late, and peak components and the slope of the early and late components of the MRP prior to self-initiated and externally-triggered movements were correlated with the individual symptom ratings of the Krawieka Manchester Scale and
depression as rated on the Becks Depression Interval (BDI) using Pearson’s correlation coefficients. The significant correlations are presented in Table 4.4. After the Bonferroni correction for the number of correlations (600) there were no significant correlations.
There is a possibility that factors such as depression, medication or cognitive deficits could confound the findings of correlational analyses. Therefore, Pearson’s Partial Correlations were run controlling for dose of neuroleptic, BDI score, and Mini Mental score and the significant correlations are presented in Table 4.5. After the Bonferroni adjustment for number of correlations (480) there were no significant correlations.
Table 4.4. Pearson’s correlations between individual symptom ratings and the amplitude and slope of the MRP components prior to Self initiated (SI) and Externally Triggered (ET) movements. (BP = Bereitschaftspotential)
| Symptom Rating | BP measure | Site | r value | p value |
|-------------------------|-------------------------------------------------|-----------------------|-------------|---------|
| SI | | | | |
| Poverty of speech | Amplitude of the early BP | FCz, FC4, C3, Cz, C4, Pz | Range -0.59 to -0.72 | 0.04 |
| Depression | Amplitude of the early BP | P4 | -0.56 | 0.05 |
| Psychomotor retardation | Amplitude of the late BP | FCz | 0.62 | 0.03 |
| Incoherence | Amplitude of the peak BP | Fz | 0.56 | 0.05 |
| Incoherence | Slope of the early BP | Fz, FC3 | 0.76, 0.73 | 0.01 |
| Delusions | Slope of the early BP | Fz | 0.68 | 0.01 |
| Anxiety | Slope of the early BP | FC3 | 0.58 | 0.04 |
| ET | | | | |
| Poverty of speech | Amplitude of the late BP | C4 | 0.62 | 0.03 |
| Depression | Amplitude of peak BP | C4, P3 | 0.65, 0.62 | 0.03 |
| Hallucinations | Amplitude of the peak BP | FC4, Cz, C4 | Range 0.61 to 0.78 | 0.04 |
| Incoherence | Amplitude of the peak BP | Cz, C4, Pz, P4 | Range 0.59 to 0.78 | 0.05 |
| Poverty of speech | Slope of the early BP | F3 | -0.65 | 0.02 |
| Flattened affect | Slope of the early BP | F3 | -0.59 | 0.05 |
| Psychomotor retardation | Slope of the early BP | F3 | -0.72 | 0.01 |
| Hallucinations | Slope of the late BP | C3, Cz, C4, P3, Pz, P4| Range 0.60 to 0.66 | 0.04 |
| Poverty of speech | Slope of the late BP | FCz, FC4, Cz, C4, Pz | Range 0.58 to 0.73 | 0.05 |
| Psychomotor retardation | Slope of the late BP | FCz, C3, Cz, C4, Pz | Range 0.58 to 0.071 | 0.02 |
| Flattened affect | Slope of the late BP | C4 | 0.68 | 0.02 |
Table 4.5 Significant (p ≤ 0.05) results of the Pearson’s Partial correlational analysis between the amplitudes and slopes of the early, late and peak BP in the Self initiated (SI) and Externally Triggered (ET) conditions controlling for medication, level of depression, and Mini Mental score. (BP = Bereitschaftspotential)
| Symptom Rating | BP measure | Site | r value | p value |
|---------------------------------|-----------------------------------|--------|------------------|---------|
| SI | | | | |
| Poverty of speech | Amplitude of the early BP | C3, C4 | -0.76, to -0.70 | 0.04 |
| Depression | Amplitude of the late BP | P4, Pz | -0.78, -0.66 | 0.05 |
| Anxiety | Amplitude of the late BP | P4 | -0.71 | 0.03 |
| Flattened affect | Amplitude of the peak BP | C3, C4, P3, Pz | Range -0.67 to -0.75 | 0.05 |
| Delusions | Slope of the early BP | Fz | 0.74 | 0.02 |
| Depression | Slope of the early BP | Cz | 0.74 | 0.02 |
| Incoherence | Slope of the early BP | P4 | 0.77 | 0.02 |
| Psychomotor retardation | Slope of the late BP | F4 | -0.72 | 0.03 |
| ET | | | | |
| Poverty of speech | Amplitude of the early BP | F3 | -0.71 | 0.05 |
| Incoherence | Amplitude of the peak BP | Cz | 0.73 | 0.04 |
| Flattened affect | Amplitude of the peak BP | P3 | -0.76 | 0.03 |
| Psychomotor retardation | Amplitude of the peak BP | Pz | -0.72 | 0.04 |
| Psychomotor retardation | Slope of the early BP | F3 | -0.93, -0.74 | 0.04 |
| Flattened affect | Slope of the early BP | F3 | -0.75 | 0.03 |
| Poverty of speech | Slope of the early BP | F3, P3 | -0.75, -0.79 | 0.03 |
| Poverty of speech | Slope of the late BP | F3, Cz, C4, Pz | Range 0.71 to 0.79 | 0.05 |
| Delusions | Slope of the late BP | P3 | 0.80 | 0.02 |
| Flattened affect | Slope of the late BP | C4 | 0.71 | 0.05 |
4.4 Discussion
The present results showed that prior to self-initiated movement relative to normals, the amplitude of the late and peak BP and the slope of the early and late BP were significantly lower for patients with predominance of negative signs but not patients with predominance of positive symptoms. Also, prior to self-initiated movement the
slope of the early component was significantly lower for the patients with negative signs than patients with predominance of positive symptoms. The three groups did not differ significantly in MRPs recorded prior to externally-triggered movements. No significant differences were discovered between the normals and patients in the behavioural results (inter-response interval or reaction times). Although the EMGs among the groups appear different this is unlikely to affect MRPs as it has been shown that BPs are not affected by changes in the amplitude or velocity of finger movements (Dick et al., 1987). Thus, the differences seen in the MRPs cannot be attributed to differences in performance by the patients.
The current results concur with previous studies showing abnormal MRPs in schizophrenia (Timsit-Berthier et al., 1973; Chiarenza et al., 1985, Westphal et al., 1986, Singh et al., 1992; Karaman et al., 1997; Dreher et al., 1999). However, the present results also extend previous findings in two important respects. First, the current results showed that the deficits in MRPs prior to self-initiated movements are particularly evident for patients with predominance of negative signs whereas the patients with predominance of positive symptoms did not differ significantly from normals. The amplitudes at some sites (e.g. FCz) do appear lower in the patients with positive symptoms compared to controls, but these differences were not large enough to reach statistical significance. Future studies with greater numbers of participants may clarify these differences. Second, the current results demonstrated that differences from normal MRPs were present for patients with negative signs only prior to self-initiated movements requiring self-generated decision making about the precise timing of movements as well as motor preparation but the patients did not differ from normals in terms of MRPs prior to externally-triggered movements.
In contrast to the amplitudes which are based on measurements at a single point in time, the slope of MRPs show changes in negativity over time and for this reason are perhaps more sensitive. In fact, the groups of patients with predominance of positive symptoms or negative signs only differed significantly in terms of the *early* slope, which is considered to reflect motor preparatory processes associated with SMA activation (Deecke et al, 1969; 1976). This suggests that motor preparatory processes are more impaired in patients with schizophrenia and negative signs. As the two patient groups did not differ significantly in terms of the *late* slope, which according to Libet’s (1982) distinction coincides with the time course of volitional decision-making and intention to act, one inference would be that these processes are impaired in patients with schizophrenia regardless of the type of symptomatology.
Motivation is one of the variables shown to affect the BP (McAdam & Seales, 1969). Although the deficits in MRPs in disorders such as Parkinson’s disease and schizophrenia are traditionally related to the motor symptoms of the former disorder such as akinesia and bradykinesia and the less conspicuous motor abnormalities in schizophrenia such as clumsiness, disorganisation and slowness of movements (Manschreck, 1986); nevertheless it is also possible that motivational deficits such as apathy which can be a feature in both disorders and may also reflect fronto-striatal dysfunction (Jahanshahi & Frith, 1998) can also contribute to the deficits of MRPs observed in these disorders.
Studies in Parkinson’s disease (Dick et al, 1989; Jahanshahi et al, 1995) have shown that it is the amplitude of the *early* BP which is lower than normal in patients with Parkinson’s disease. In contrast, for patients with schizophrenia and negative signs both the early and late components are impaired relative to normals (Singh et al, 1992;
present study). These results suggest that the different MRP components are differentially sensitive to different disorders such as Parkinson’s disease and schizophrenia in which impairment of fronto-striatal circuits are implicated. The differential sensitivity of the MRP components is also supported by the fact that dopamingeric medication increases and anti-dopaminergic medication decreases the amplitude of the early BP only (Dick et al, 1987). In the present study we found that dose of neuroleptic medication had a significant negative correlation with the slope of the early MRP component prior to self-initiated movements which suggests that those patients on higher levels of neuroleptic medication had reduced slopes for the early BP. The patients with predominance of negative signs were taking higher doses of neuroleptic medication than those with high positive symptoms, although the difference in dosage was not statistically significant. Nevertheless, given that anti-dopaminergic medication has been shown to reduce the amplitude of the early BP (Dick et al, 1987), it is possible that the significant reduction of the early slope in patients with high negative ratings relative to normals, partly relates to their higher doses of neuroleptic medication. However, medication can not be the only reason for reduction of MRPs in these patients as our sample of patients with positive symptoms who were also on neuroleptics did not significantly differ significantly from normals in terms of MRPs. Also previous studies have reported reduced amplitude of the early and peak BP in both medicated and unmedicated patients with schizophrenia (Karaman et al, 1997). Animal studies have shown that cortical potentials are cholinergic dependent (Pirch et al, 1986). The two patient groups did not differ significantly in terms of dose of anticholinergic medication, but the patients with higher ratings of negative signs had higher levels of anticholinergic medication, which could possibly contribute to the reduced amplitudes of MRPs observed. But, as shown in Figure 4.3, a patient with high ‘positive’ symptoms who was on the highest doses of anticholinergic and neuroleptic medication had larger
amplitudes of MRPs prior to self initiated movements relative to a patient with high 'negative' signs who was on a lower dose of medication. Nevertheless, the possible contributions of neuroleptic and anticholinergic medication to MRPs in schizophrenia need to be more systematically assessed in future studies.
This study showed that patients with higher ratings of negative signs had reduced MRPs prior to self-initiated movements but not externally-triggered movements while the MRPs of the patients with higher ratings of positive symptoms were not impaired significantly for either type of movement. These findings support Frith's (1992) hypothesis that patients with schizophrenia, particularly those with negative signs, are impaired in willed actions such as the self-initiated movement of the present study but are not impaired in stimulus driven behaviour such as externally-triggered movements assessed by us. Thus, the current results confirm that the distinction between positive symptoms and negative signs has heuristic value when investigating patients with schizophrenia.
CHAPTER 5
Studies 4 and 5: Behavioural suppression in a go no-go reaction time task in schizophrenia: The effect of choice complexity and target/non-target stimuli similarity on response inhibition
5.1 Introduction
Studies 1 to 3 have provided some evidence that patients with schizophrenia have impairments in willed action. According to Jahanshahi and Frith (1998), besides having difficulty generating actions, impairments in willed action would also be manifested as an inability to suppress habitual or inappropriate responses. Evidence of this failure of willed suppression in schizophrenia has been provided in neuropsychological tests; for example, impaired performance on the Stroop task (Liddle and Morris, 1991) and increased perseverations on the Wisconsin Card Sorting Task (Weinberger et al., 1986).
One of the many tests of attention on which patients with schizophrenia show impaired performance is the ‘Continuous Performance Test’ (Rosvold et al., 1956). There are two versions of this test, in one the target is a single letter or stimulus e.g. X that appears on every trial. In the second version the target is a sequence of two stimuli presented in a particular order for e.g. X only when preceded by and A. The subject must be prepared to respond but withhold the response until the correct imperative stimulus appears. This is considered a test of sustained attention, because the target stimulus appears only a small proportion of the time. Patients with schizophrenia perform poorly on this test (Braff, 1993; Nuechterlein, 1991), and have a lower target detection rate than normals (Nuechterlein et al., 1994). In the CPT identical pairs paradigm (CPT-IP) the subject is required to respond only when two identical shapes or letters appear on successive trials, thus requiring greater target discrimination and
making greater demands on working memory. Patients with schizophrenia are impaired on this version of the CPT task (Cornblatt and Keilp, 1994).
Go no-go RT tasks have similar processing requirements as the CPT paradigm – only responding to particular stimuli and withholding response to other stimuli. Thus in addition to sustained attention, the task involves willed initiation and willed suppression of action. Patients with schizophrenia are reported to be impaired on tasks requiring response suppression, such as the antisaccade task (Fukushima et al., 1994), in which subjects are required to withhold eye movements toward a target and instead move their eyes in the opposite direction.
From this inability to suppress stimulus driven responses, it would be predicted that patients with schizophrenia may also be impaired on go no-go tasks. Impaired performance on go no-go RT tasks has been reported following damage to the dorsolateral prefrontal cortex (Drewe, 1975), the medial frontal cortex (Leimkuhler and Mesulam, 1985) and the head of the caudate nucleus (Godefroy et al., 1996) as well as in patients with Parkinson’s disease whose RTs were differentially slowed as complexity of response choice increased (Cooper et al., 1994).
Studies of rCBF suggest that the ventrolateral prefrontal cortex and the anterior cingulate are key areas involved in suppressing a planned motor response (Krams et al., 1998). There have been several functional imaging studies of go no-go RT paradigms in normals. With MRI it is possible to directly compare activation on go trial with the activation on no-go trials (Humberstone et al., 1997; Konishi et al., 1998). Humberstone et al. (1997) found that the SMA proper was activated only on the go trials signifying motor execution, while the pre-SMA was activated in both the go and the no-go trials,
representing the go no-go decision making processes. In their studies, (Kawashima et al., 1996) and Konishi et al. (1998) and found activation of the right superior or inferior frontal sulcus to be specifically associated with response suppression. However, the results of Konishi et al. (1998) should be accepted with caution because the authors’ subtraction method for analysing the data is potentially flawed. Subtracting the data of a block of ‘all-go trials’ from the data of a block of ‘no-go trials’ does not isolate the purely ‘suppression-related’ areas of activation. A block of ‘all go’ stimuli in an SRT task will involve, for example, advance movement preparation that is not possible in a go no-go task (Fuller and Jahanshahi, 1999; Jahanshahi and Frith, 1998).
The purpose of this study is to examine willed initiation and suppression of movement in patients with schizophrenia by using two go no-go RT tasks. One task examines the effect of increasing complexity of response selection while the second task examines the effect of increasing target/non-target stimuli similarity on go reaction times.
There is considerable evidence that RTs become slower as the process of response selection becomes more complex (Sternberg, 1969). One way in which the complexity of response selection can be altered is by increasing the number of salient stimulus features that define a go stimulus among an array of stimuli presented across trials (Cooper et al, 1994).
Since the time of Woodworth (1938) it has been shown that RTs are slower when stimuli are difficult to distinguish from each other as when non-target ‘distractor’ stimuli are similar to the target and share more features with it. In a CRT task requiring detection of a target among distractors, if the target has a unique single feature, then the RT is short even if the target and distractors have other features in common and
increasing the number of distractors does not influence RT (Egeth et al, 1972). This suggests that items are processed in parallel. In contrast, when the target shares at least one feature with the distractors, then subjects have to look for conjunction of the two features to discriminate the target from non-targets. This prolongs RT which increases linearly with the number of distractors (Treisman & Gelade, 1980).
It is predicted that patients with schizophrenia would perform poorly on the go no-go RT task. Besides slower RTs on go trials (impaired movement initiation), more errors on no-go trials (failure of movement suppression) would be predicted for the patients with schizophrenia than the controls. It is also expected that both increased complexity of the response selection and the increased similarity between the target, ‘go’, and the non-target, ‘no-go’, stimuli will have a differentially greater effect on the RTs of patients with schizophrenia compared to that of the controls.
5.2 Method
5.2.1 Subjects
The characteristics of the samples are presented in Table 5.1. Fourteen subjects clinically diagnosed with schizophrenia according to the DSM III R were tested. Each was seen as an out-patient at the National Hospital for Neurology and Neurosurgery. Each patient was rated on the Scale for Assessment of Positive Symptoms (Andreasen, 1984) and the Scale for Assessment of Negative Symptoms (Andreasen, 1983), standardised psychiatric assessment scales for current positive symptoms and negative signs. Overall, the patients were chronically ill and their symptoms were not very severe. In order to determine the effect of current symptoms on initiation and suppression of movement the patients with schizophrenia were divided into two groups. The median rating for positive symptoms was 9, and patients with ratings of positive symptoms greater than the median rating were placed in one group and those patients
Table 5.1 Details of Subject Groups. Values given are means with standard deviations in brackets.
| | Positive Patients | Negative Patients | Controls |
|------------------------|-------------------|-------------------|----------|
| Male | 5 | 5 | 7 |
| Female | 2 | 2 | 5 |
| Handedness (-100 = completely left handed, 100 = completely right handed) | 46.2 (81.7) | 88.9 (19.2) | 91.4 (11.6) |
| Age (yrs) | 38.1 (10.5) | 49.7 (11.9) | 39.7 (16.6) |
| Estimated Verbal IQ (NART) | 106.4 (89.0) | 111.6 (15.2) | 109.6 (6.7) |
| Beck Depression Inventory (0 – 63) | 15.4 (11.7) | 8.0 (5.4) | 5.5 (4.9) |
| Duration of illness (years) | 18.0 (10.6) | 21.3 (9.7) | |
| Positive symptoms (range 0 - 175) | 26.3 (12.3) | 2.7 (3.8) | |
| Negative symptoms (range 0 - 120) | 26.0 (14.9) | 16.3 (10.4) | |
| Dose anticholinergic in mg (Disipal equivalent) | 64.3 (118.0) | 35.7 (74.8) | |
| Dose neuroleptic in mg (Chlorpromazine equivalent) | 235.7 (239.3) | 126.8 (116.5) | |
with ratings of positive symptoms below 9 were placed in the other group. The division of patients and their SAPS and SANS scores are presented in Table 5.2. The two groups differed significantly on ratings of positive symptoms ($t = 4.85$, df = 12, $p < 0.001$) but not negative signs ($p > 0.05$). The first group’s rating of positive symptoms (26.29) did not differ significantly from its rating of negative signs (26.00) ($p > 0.05$). As both the positive and negative symptom ratings were high, this group will be referred to as the ‘high symptom’ group. The second group had significantly higher ratings of negative signs (16.29) than positive symptoms (2.71) ($t = 2.98$, df = 6, $p = 0.03$) and as this group had lower ratings of positive and negative symptoms, will be labelled the ‘low symptom’ group. Thus, although the ‘low symptom’ group had lower ratings of negative signs than the ‘high symptom’ group, the ‘low symptom’ group
includes patients whose primary symptoms are negative signs, whereas the ‘high symptom’ group includes patients suffering from both positive symptoms and negative signs.
Table 5.2 Ratings from the Scale for the Assessment of Positive Symptoms (Andreasen, 1984) and the Assessment of Negative Symptoms (Andreasen, 1983) for the patients, subdivided into two groups.
| | Positive symptoms | Negative signs |
|------------------|-------------------|----------------|
| **High Symptom Group** | | |
| P1 | 10 | 11 |
| P2 | 47 | 5 |
| P3 | 22 | 35 |
| P4 | 20 | 42 |
| P5 | 23 | 34 |
| P6 | 24 | 39 |
| P7 | 38 | 16 |
| **Low Symptom Group** | | |
| N1 | 8 | 7 |
| N2 | 0 | 18 |
| N3 | 3 | 37 |
| N4 | 8 | 20 |
| N5 | 0 | 9 |
| N6 | 0 | 14 |
| N7 | 0 | 9 |
Fourteen healthy normals with no previous history of psychiatric or neurological illness, head injury, or drug abuse were tested. Two normal controls had movement times (MTs) which were extreme compared to group means, one control subject on 40% and one control subject on 50% of the measures of interest. These two cases were therefore excluded. The Mini Mental State Examination (Folstein et al., 1975) was administered to all subjects and none of the subjects scored below the cut-off of 25 indicative of cognitive deficit.
5.2.2 Procedure
Responses were made on a response box with two buttons. A red button acted as the ‘home’ key. Four inches above the red button was a green ‘response’ button. Stimuli were presented on a 14 inch computer screen. Reaction time (RT) was measured (in ms) as the time between the presentation of the imperative stimulus and the release of the home key. Movement time (MT) was measured (in ms) as the time between releasing the home key and pressing the response key. Both speed and accuracy were emphasised. All errors were recorded: anticipations (RT less than or equal to 100 ms), long responses (RT greater than 3 s), errors of omission (failure to respond on go trials), errors of commission (responding on no-go trials) and partial errors (lifting the finger from the home key on a no-go trial, but correcting the mistake by replacing the finger on the home key). RT and MT from these trials were omitted, and the trials were repeated, that is, trials on which errors occurred were omitted from calculation of mean RTs, but to ensure equal number of trials across subjects any trials with errors were ‘replaced’ by administering an additional trial. There were two types of go no-go task.
18.104.22.168 Study 4
Figure 5.1 shows the stimuli for Study 4. Study 4 examined go no-go RTs as a function of increased complexity of the go no-go decision. The subject pressed down the home key to begin the trial and a fixation point, a small white cross, appeared in the centre of the screen. After a variable delay of 0.5, 1 or 2 seconds the fixation point disappeared and the imperative stimulus appeared in the centre of the screen and remained until the subject responded or for a maximum duration of 3 seconds. Each interval occurred with the same frequency. Stimuli consisted of two shapes (circles or squares) which varied in colour (yellow or purple) and size (small or large). Only one shape appeared on the screen at a time. The rule for response e.g. ‘all stimuli’ or ‘large’ or ‘yellow square’ or
‘small purple circle’ was written in capital letters above the fixation point and remained on the screen throughout the task.
Figure 5.1. The stimuli used in Study 4 for the go no-go reaction time task. Only one stimulus appeared on the screen for each trial.
Reaction times were measured under four different conditions: simple reaction time condition (SRT), in which subjects responded to each stimulus presented regardless of its nature and 3 choice reaction time conditions (CRT), in which the subjects responded on 80% of the trials (go) and withheld a response on 20% of the trials (no-go). The 3 CRT conditions were: CRT to one stimulus dimension (CRT1), where the subject responded to a specific colour, shape or size, e.g., respond to all ‘yellow stimuli’ and withhold response to all stimuli that are not yellow; CRT to two stimulus conditions (CRT2), where the subject responded to a specific combination of two features, e.g., ‘large square’; CRT to three stimulus dimensions (CRT3), where the subject responded to a specific combination of three stimulus features, e.g., ‘small purple circle’. In all conditions, a tone (800 Hz, 100 ms) was presented simultaneously with the stimulus. The order of the three CRT conditions (CRT1, CRT2, CRT3) was counter balanced in each group. Each CRT condition was preceded by an SRT condition to increase preparedness for responding prior to assessing response suppression on 20 percent of trials on the CRT conditions.
For each CRT condition, two sets of stimulus combinations, each containing 3 combinations of the relevant stimulus dimensions were used. For CRT1, in set 1, subjects responded to any stimulus that was ‘purple’, any stimulus that was a ‘circle’, and any stimulus that was ‘large’. For CRT1, in set 2, subjects responded to any stimulus that was ‘yellow’, any stimulus was a ‘square’, any stimulus that was ‘small’. For CRT2, in set 1, subjects responded to ‘large squares’, ‘small yellow’ stimuli, and ‘purple circles’. For CRT2, in set 2, subjects responded to ‘small circles’, ‘large purple’ stimuli, and ‘yellow squares’. For CRT3, in set 1, subjects responded ‘large yellow squares’, ‘small yellow circles’, and ‘large purple circles’. For CRT3, in set 2, subjects responded to ‘small yellow squares’, ‘large purple squares’, and ‘small purple circles’. The order of the two sets and the order of the three stimulus combinations in each set were counterbalanced across subjects in each group.
Each SRT run consisted of 40 trials and each CRT run had 80 correct responses (go trials) and 20 no-go trials.
22.214.171.124 Study 5
Study 5 was also a go no-go RT. In Study 5 the target go stimulus remained the same in each condition, so there was no variation in target selection. However the similarity of no-go stimuli to the target go stimuli varied across blocks, by varying the number of dimensions that they shared with the target stimulus. The nature of the stimuli used were different from those used in Study 4 to avoid confounds. The stimuli are presented in Figure 5.2. The target go stimulus was always an upper case ‘Q’ presented above the fixation cross. Only one stimulus was presented on each trial. The no-go stimuli (those stimuli for which the response was to be withheld) differed from
the target stimulus in terms of identity (letter, Q or R), case (upper or lower) and position (above or below fixation cross).
| Target | No-go stimulus CRT1 | No-go stimulus CRT2 | No-go stimulus CRT3 |
|--------|---------------------|---------------------|---------------------|
| Q | r | q, R |
| + (fixation cross) | + | + | + |
| r | q, R | Q |
Figure 5.2 The stimuli used in Study 5 for the go no-go reaction time task. Only one stimulus appeared on the screen for each trial.
In the SRT condition the upper case ‘Q’ appeared above the cross on each trial and the subject responded each time. The CRT tasks consisted of 80% ‘go’ trials and 20% ‘no-go’ trials. In CRT1 there was only one distracter, a lower case ‘r’ presented below the fixation cross which differed from the target stimulus on all three dimensions. In CRT2 each of the three no-go stimuli differed from the target go stimulus on two dimensions. The no-go stimuli were an upper case ‘R’ below the fixation cross, a lower case ‘q’ below the fixation cross, and a lower case ‘r’ above the fixation cross. In CRT3 each of the three no-go stimuli differed from the target go stimulus on one dimension only. The no-go stimuli were an upper case ‘Q’ below the fixation cross, a lower case ‘q’ above the fixation cross, and an upper case ‘R’ above the fixation cross.
In the SRT condition, stimulus presentation was continued until 80 correct responses, and in each of the CRT conditions 80 correct responses and 20 no-go trials were obtained. There was only one run of SRT which was presented first, followed by the 3
CRT tasks. The CRT conditions (CRT1, CRT2, CRT3) were counter balanced for order in each group.
126.96.36.199 Cognitive Tests
We also assessed the subjects on a number of cognitive tests that require volitional suppression of a habitual response.
**Word Fluency** (Benton, 1968) Three versions of this test were completed, each for 60 s. In the phonemic version, subjects were asked to produce words beginning with the letters F, A or S, excluding proper nouns and the same word with a different suffix each for 60 s. Two versions of the categorical word fluency were used. In the first, subjects were asked to produce nouns belonging to a specific category of animals for 60 s. In the final version, subjects were instructed to alternate between exemplars of two categories, boys names and fruit, again for 60 s. On each test, the score was the number of words generated correctly.
**Stroop Colour Word Naming Test** (Stroop, 1935) Four versions of this test were used, each consisting of 100 items. The first version required naming the colour of ink of colour words (green, blue, red) printed in incongruent ink. In the second version subjects named the colour of rectangles printed in different colour ink (green, blue, red). In the third version, subjects read the colour words printed in incongruent ink. In the fourth version, subjects read colour words printed in black ink. Subjects were instructed to perform each task as quickly as possibly and to correct any errors made. For each version the total time and total number of errors were recorded. The difference score between the first and second versions, takes motor speed into account and is a measure of the ‘Stroop effect’ i.e. the ability to maintain attention focused on one attribute of the colour words (ink) and ignore the other (meaning of colour words) while naming colours. The difference score between the third and fourth version is a measure of the
‘reverse Stroop’ effect, i.e., reading the words rather than naming colours with incongruent material.
**Hayling Test** (Burgess & Shallice, 1996) The test has two sections:
1. **Response Initiation**: subjects are instructed to provide an appropriate word to complete a sentence from which the last word is missing. For example: “the captain wanted to stay with the sinking……” for which the word “ship” would be an appropriate response. The initiation time, that is the mean response latency across all items is measured.
2. **Response suppression**: For each sentence read out, the subject is required to provide a word which makes no sense at all in the context of the sentence. For example, “Most cats see very well at …..”, for which “banana” would be an appropriate response. The suppression time, that is the mean response latency across all items is measured. In addition, for each item, an error score is derived by classifying the degree to which the subject’s response is related to the obvious high frequency response that the subject should suppress.
**Random Number Generation** Subjects were instructed to generate a series of 100 numbers in a random fashion. The analogy of picking numbers out of a hat was used to explain the concept of randomness to participants. Performance was paced with a ‘flashing’ (duration on screen=1000 ms) 1cm x 1 cm white square presented on the screen at the rate of once every 2 s. Subjects were instructed to synchronise their responses with the onset of the flashing square. The total time taken to generate 100 items was noted. We obtained several measures of randomness calculated using the procedures specified by Evans (1978), Rosenberg et al. (1990) and Ginsburg & Karpiuk (1994).
1. Count Scores are measures of seriation. We obtained count scores using the general method of Spatt & Goldenberg (1993). Count Score 1 (CS1), measures the
tendency to count in ascending or descending series in steps of 1. For example, 1-2-3 or 8-7-6-5-4. All count scores take the length of the series into account. In calculating the count scores, the sequence length is squared to give higher weights to runs of longer sequences. Therefore, these two examples would result in respective count scores of 4 (CS1=2²) and 16 (CS1=4²). Count Score 2 (CS2), measures the tendency to count in ascending or descending series in steps of 2, for example 2-4-6-8 or 7-5-3-1. The Total Count Score (CST) is a composite measure of the individual’s tendency to count in series ascending or descending in steps of 1 or 2. Individuals may have count scores that are lower than predicted from a random series if they are avoiding particular counting tendencies or they may have a score which is too high if they are unable to suppress particular counting tendencies.
2. Random Generation Index (RGI) is a first order measure which reflects any disproportion of digrams in the matrix adjusted for disproportions in the marginal cell frequencies. It varies between 0 and 1, and the higher the index the less random the series is.
We compared the measures of randomness obtained from our subjects with similar measures calculated for computer-generated pseudo-random series. A sample of one hundred, 100-item series were generated using the algorithm RAN1 from Sprott (1991).
5.2.3 Statistical methods
After checking the data for normality and outliers, two subjects’ data were removed as mentioned above. The RTs and MTs for the two no-go tasks were analysed separately using repeated measures analyses of variance (ANOVA). Large variance in the data of patient groups is a common finding in schizophrenia (Straube and Oades, 1992). In light of this, the relatively small sample sizes, and the nature of the group differences that were of primary interest, it was decided to compare only two groups at a time. For this reason the ANOVAS were run separately comparing the ‘high symptom’ patients
vs the ‘low symptom’ patients, the ‘high symptom’ patients vs the controls and the ‘low symptom’ patients vs the controls. The between subjects factor was Group (‘high symptom’ patients vs ‘low symptom’ patients, etc) and the within subject factors were Run (Run 1, Run 2, Run 3) for the SRT condition for Study 4, and Condition (CRT1, CRT2 or CRT3) for the CRT condition for Tasks 1 and 2. A one way ANOVA was used to analyse the data from the SRT condition of Study 5, with Group (‘high symptom’ patients vs ‘low symptom’ patients, etc) as the between subjects factor. In order to investigate the difference between increased choice complexity of target go stimuli and increased dimensional overlap of target go and no-go stimuli an ANOVA was run using the CRT data from both tasks. The three subject groups were used together in one analysis in order to determine the trend across all groups. The between subjects factor was group (controls, ‘high symptom’ patients, and ‘low symptom’ patients) and the between subjects factors were Task (Study 4 vs Study 5) and Condition (CRT1, CRT2 or CRT3). In order to investigate the difference between SRT conditions using stimulus invariance or stimulus variability across trials the mean SRTs of Study 4 and the SRTs of Study 5 were compared using an ANOVA. The between subjects factor was Group (controls, ‘high symptom’ patients, and ‘low symptom’ patients) and the within subjects factor was Task (Study 4 vs Study 5). Where necessary, to deal with violations of assumptions of sphericity, the Greenhouse-Geisser epsilon was used to adjust the degrees of freedom. Significant main effects or group interactions were followed up with paired or independent t-tests, as appropriate. Due to computer error, the data of one ‘low symptom’ patient is missing for the second run of the SRT for Study 4. One way ANOVAs were used to examine the group differences in the cognitive tests except on tests with different conditions (Hayling Test). For this, a repeated measures ANOVA was used with Group as the between subjects factor and Condition (initiation or suppression) as the within subjects factor.
5.3 Results
The two groups of patients and the normals did not differ in terms of male to female ratio ($x^2 = 0.49, df = 2, p > 0.05$), age [F(2,25) = 1.48, $p > 0.05$] handedness, [F(2, 25) = 2.66, $p > 0.05$] (Oldfield, 1971) or estimates of ‘premorbid’ verbal IQ obtained from the National Adult Reading Test (NART, Nelson and Willison, 1991) [F (2,25) = 0.46, $p > 0.05$]. The two groups did differ in terms of scores on the Beck Depression Inventory (BDI, Beck et al., 1961) [F (2, 15) = 4.032, $p < 0.05$]. Post hoc Tukey’s test showed that this difference was caused by higher depression scores for the ‘high symptom’ patients than the controls ($p < 0.05$) but no other groups differed significantly. The two patient groups did not differ in terms of chronicity, dose of neuroleptic medication or dose of anticholinergic medication ($p > 0.05$).
5.3.1 Study 4
188.8.131.52 Movement Time
A series of repeated measures ANOVA were carried out for the movement time (MT) data. Group ('high symptom' vs 'low symptom' patients, or 'high symptom' patients vs controls, or 'low symptom' patients vs controls) was the between subjects variable and Run (1, 2 or 3; SRT) or Condition (CRT1, CRT2 or CRT3) were the within subjects variables. The mean MTs and the results of the ANOVAS are presented in Table 5.3. There were no significant main effects of Run in the SRT ANOVAs or Condition in the CRT ANOVAS. There were no significant Group by Run or Group by Condition interactions in any of the ANOVAs for MTs. The 'high symptom' and 'low symptom' groups showed no significant differences in MT. Each patient group had significantly slower MTs for the SRT and CRT conditions than the control group ($p < 0.05$).
Table 5.3. The mean MTs and standard deviation (SD) for each group for Study 4 and the results of the ANOVAs on MTs. Where necessary, to deal with violations of assumptions of sphericity, the Greenhouse-Geisser epsilon was used to adjust the degrees of freedom. *p ≤ 0.05
| Group | Mean MT SRT (sd) | Mean MT CRT (sd) |
|------------------------------|------------------------|------------------------|
| High patients | 244.38 (52.43) | 266.76 (55.16) |
| Low patients | 255.89 (83.27) | 276.19 (80.41) |
| Controls | 196.28 (38.43) | 192.63 (34.23) |
| Condition | Source | DF | F value | P value |
|------------------------------|-------------------------|------|---------|---------|
| High vs Low Symptom Patients | SRT Run | 1, 14| 0.07 | 0.85 |
| | Group x Run | 1, 14| 0.31 | 0.64 |
| | Group | 1, 11| 0.09 | 0.77 |
| | CRT Condition | 2, 24| 0.28 | 0.76 |
| | Group x Condition | 2, 24| 1.64 | 0.21 |
| | Group | 1, 12| 0.07 | 0.80 |
| High Symptom Patients vs | SRT Run | 1, 25| 0.09 | 0.86 |
| Controls | Group x Run | 1, 25| 0.07 | 0.88 |
| | Group | 1, 17| 5.31 | 0.03* |
| | CRT Condition | 2, 34| 1.18 | 0.32 |
| | Group x Condition | 2, 34| 1.87 | 0.17 |
| | Group | 1, 17| 13.26 | 0.002* |
| Low Symptom Patients vs | SRT Run | 2, 32| 0.90 | 0.42 |
| Controls | Group x Run | 2, 32| 1.44 | 0.25 |
| | Group | 1, 16| 4.47 | 0.05* |
| | CRT Condition | 2, 34| 1.34 | 0.28 |
| | Group x Condition | 2, 34| 0.74 | 0.49 |
| | Group | 1, 17| 10.15 | 0.005* |
184.108.40.206 Error Data
Very few errors of any type were made by the patients or normals. The median error data are shown in Table 5.4. A series of Kruskal-Wallis tests revealed no significant differences among the three groups in the number of anticipations, decision errors, or long responses in the SRT condition (p > 0.05). In the CRT condition there was a significant group difference in the number of errors of commission (going on a no-go)
(p = 0.02) and the number of anticipation errors (p = 0.02). Further analyses of these effects revealed that the patients in the ‘high symptom’ group made significantly more
Table 5.4. Median error values (and range) for Study 4 and Study 5. Values in marked boxes for the controls and the ‘low symptom’ patients differ significantly from the ‘high symptom’ patients (p < 0.05)
| | Anticipation | Long Responses | Omission | Commission | Partial Errors |
|------------------|--------------|----------------|----------|------------|----------------|
| **Study 4** | | | | | |
| SRT | Controls | 0.00 | 0.00 | 0.00 | / |
| | | (0.00- 0.67) | (0.00- 0.33) | (0.00- 0.33) | / |
| High | 0.00 | 0.00 | 0.00 | / | / |
| Patients | 0.00 | 0.00 | 0.00 | / | / |
| Low | 0.00 | 0.00 | 0.00 | / | / |
| Patients | 0.00 | 0.00 | 0.00 | / | / |
| CRT | Controls | 0.00 | 0.08 | 0.00 | 0.67 |
| | | (0.00- 0.67) | (0.00- 0.67) | (0.00 - 1.67) | (0.00 – 2.00) |
| High | 0.33 | 0.00 | 0.33 | 1.67 | 8.00 |
| Patients | 0.00 | 0.00 | 0.00 | / | / |
| Low | 0.00 | 0.00 | 0.00 | / | / |
| Patients | 0.00 | 0.00 | 0.00 | / | / |
| **Study 5** | | | | | |
| SRT | Controls | 0.00 | 0.00 | 0.00 | / |
| | | (0.00- 3.00) | (0.00- 0.00) | (0.00- 0.00) | / |
| High | 0.00 | 0.00 | 0.00 | / | / |
| Patients | 0.00 | 0.00 | 0.00 | / | / |
| Low | 0.00 | 0.00 | 0.00 | / | / |
| Patients | 0.00 | 0.00 | 0.00 | / | / |
| CRT | Controls | 0.00 | 0.00 | 0.00 | 0.00 |
| | | (0.00- 0.33) | (0.00- 4.33) | (0.00 - 0.33) | (0.00 – 0.00) |
| High | 0.00 | 0.00 | 0.00 | 0.00 | 1.33 |
| Patients | 0.00 | 0.00 | 0.00 | / | / |
| Low | 0.00 | 0.00 | 0.00 | / | / |
| Patients | 0.00 | 0.00 | 0.00 | / | / |
errors of commission than the ‘low symptom’ group ($p = 0.007$) and the normal controls ($p = 0.05$). The ‘high symptom’ group also made significantly more anticipation errors compared to the normal controls ($p = 0.02$) but this comparison did not reach significance between the two patient groups. There were no significant differences among the three groups in terms of the number of errors of omission, long responses or partial errors ($p > 0.05$).
### 220.127.116.11 SRT condition
The mean RTs for the SRT condition of each group are presented in Figure 5.3. An ANOVA examined the difference between the ‘high symptom’ patients and controls. The main effect of Group was significant $[F(1,17) = 7.44, p = 0.01]$ with the ‘high symptom’ patients having slower RTs (406.62, sd = 82.49) than the controls (336.81, sd = 54.34). The main effect of Run was significant. Further investigation of this effect revealed that the RTs for Run 2 (359.56 ms, sd = 63.04) were significantly slower than those for Run 1 (330.58 ms, sd = 43.71) ($t = 3.09, df = 18, p = 0.006$) but no other Runs differed significantly. The Group x Run interaction was not significant.
In the ANOVA between the ‘low symptom’ patients and the controls the main effect of Group was not significant ($p > 0.05$) but the main effect of Run was significant $[F(1, 21) = 4.81, p = 0.03]$. Further analysis of this effect revealed that the RTs for Run 2 (359.56 ms, sd = 63.04) were significantly slower than the RTs for Run 1 (330.58 ms, sd = 43.70) but no other Runs differed significantly. The Group x Run interaction was not significant.
Figure 5.3 Mean RTs for the controls, ‘low symptom’ patients and ‘high symptom’ patients for Run 1 (white), Run 2 (grey) and Run 3 (black) for the SRT condition of Study 4.
A repeated measures ANOVA was carried out with Group ('high symptom' patients vs 'low symptom' patients) as the between subjects variable and Run (1,2 or 3) as the within subjects variable. The main effects of Group and Run were not significant, nor was the Group x Run interaction ($p > 0.05$).
### 18.104.22.168 CRT condition
The mean RTs for each group for the CRT condition are presented in Figure 5.4. An ANOVA between the 'high symptom' patients and the controls showed that the main effect of Group approached significance $[F(1,17) = 4.16, p = 0.057]$ and the main effect of Condition reached significance $[F(2, 34) = 10.75, p < 0.001]$. Further analysis of the Condition effect revealed that the RTs for CRT3 were the *fastest* (459.84 ms, sd = 89.91) and were significantly faster than the RTs for CRT1 (475.63 ms, sd = 94.05) ($t = 5.52$, df = 18, $p = 0.02$) and CRT 2 (488.21, sd = 89.07) ($t = 3.87$, df = 18, $p = 0.001$) while the RTs for CRT1 were faster than those for CRT2 ($t = 2.12$, df = 18, $p = 0.05$). The Group x Condition interaction was not significant ($p > 0.05$).
In the ANOVA comparing the ‘low symptom’ patients and controls the main effect of Group was not significant ($p > 0.05$). The main effect of Condition was significant $[F(2, 34) = 7.736, p = 0.002]$. Further analysis revealed that once again across the two groups, the RTs for CRT3 were the *fastest* (449.89ms. sd = 86.86) and were significantly faster than the RTs for CRT1 (464.68 ms, sd = 85.85) ($t = 2.49$ df = 18, $p = 0.02$) and CRT2 (477.53 ms, sd = 81.58) ($t = 3.86$, df = 18, $p = 0.001$) and the RTs for CRT1 were faster than those for CRT2 ($t = 2.17$, df = 18, $p = 0.04$). The Group x Condition interaction was not significant.
Figure 5.4 Mean RTs for the controls, ‘low symptom’ patients and ‘high symptom’ patients for CRT 1 (white), CRT 2 (grey) and CRT 3 (black) for the CRT condition of Study 4.
A repeated measures ANOVA was carried out with Group ('high symptom' patients vs 'low symptom' patients) as the between subjects factor and Condition (CRT1, CRT2, CRT2) as the within subjects factor. The main effect Group was not significant ($p > 0.05$). The main effect of Condition was significant $[F(2,24) = 3.59, p = 0.04]$. Further analysis of this effect revealed that CRT 3 (492.43 ms, sd = 78.78) was significantly faster than CRT 2 (517.43 ms, sd = 72.07) ($t = 2.43, df = 13, p = 0.03$). The Group x Condition interaction was not significant ($p > 0.05$).
### 5.3.2 Study 5
#### 22.214.171.124 Movement time
One way ANOVAs were carried out for the MT data for the SRT condition with Group ('high symptom' vs 'low symptom' patients, or 'high symptom' patients vs controls, or 'low symptom' patients vs controls) as the between subjects variable. Full results of the ANOVAS and the mean MTs are presented in Table 5.5. There was no significant difference between the MTs of the two patient groups ($p > 0.05$) but each patient group had significantly slower MTs than the controls ($p > 0.05$). Repeated measures ANOVAs were carried out for the movement time data for the CRT condition. Group ('high symptom' vs 'low symptom' patients, or 'high symptom' patients vs controls, or 'low symptom' patients vs controls) was the between subjects variable and Condition (CRT1, CRT2 or CRT3) was the within subjects variable. There were no significant main effects Condition in any of the analyses, nor were there any significant Group x Condition interactions ($p > 0.05$). There was no significant Group effect between the 'high symptom' patients and 'low symptom' patients ($p > 0.05$). Each patient group had significantly slower MTs for the CRT condition than the control group ($p < 0.05$).
126.96.36.199 Error data
Very few errors of any type were made by the patient groups or normals. The median error data are shown in Table 5.4. A series of Kruskal-Wallis tests revealed that there were no significant differences between the three groups in the number of anticipations, decision errors, or long responses in the SRT condition (p > 0.05). There were no significant differences among the three groups the number of errors of commission, omission, long responses or partial errors or anticipation errors in the CRT condition (p > 0.05).
Table 5.5. The mean MTs and standard deviation (SD) for each group for Study 5 and the results of the ANOVAs on MTs. Where necessary, to deal with violations of assumptions of sphericity, the Greenhouse-Geisser epsilon was used to adjust the degrees of freedom. *(p ≤ 0.05)
| Group | Mean MT SRT (sd) | Mean MT CRT (sd) |
|------------------------------|------------------------|------------------------|
| High patients | 252.71 (58.37) | 298.67 981.09 |
| Low patients | 260.43 (75.22) | 283.29 (73.00) |
| Controls | 186.92 (26.64) | 202.31 (51.62) |
| Condition | Source | DF | F value | P value |
|------------------------------|-------------------------|------|---------|---------|
| High vs Low Symptom Patients | SRT | Group| 1, 13 | 0.05 | 0.83 |
| | CRT | Condition| 1, 13 | 1.20 | 0.30 |
| | | Group x Condition| 1, 13 | 1.24 | 0.29 |
| | | Group | 1, 12 | 0.14 | 0.72 |
| High Symptom Patients vs Controls | SRT | Group| 1, 18 | 11.45 | 0.004* |
| | CRT | Condition| 1, 19 | 2.43 | 0.14 |
| | | Group x Condition| 1, 19 | 1.84 | 0.19 |
| | | Group | 1, 17 | 10.15 | 0.005* |
| Low Symptom Patients vs Controls | SRT | Group| 1, 18 | 9.69 | 0.006* |
| | CRT | Condition| 2, 34 | 0.33 | 0.72 |
| | | Group x Condition| 2, 34 | 2.63 | 0.09 |
| | | Group | 1, 17 | 8.04 | 0.01* |
188.8.131.52 SRT condition
The mean RTs for the SRT condition are presented in Figure 5.5. A one way ANOVA was run to compare the ‘high symptom’ patients vs controls. The main effect of Group was significant \[F(1,18) = 7.89, p = 0.01\] with the ‘high symptom’ patients having slower RTs (419.00ms, sd = 101.47) than the controls (312.33ms, sd = 65.10).
In the ANOVA between the ‘low symptom’ patients and the controls the main effect of Group was not significant \((p > 0.05)\).
An ANOVA was carried out with Group (‘high symptom’ patients vs ‘low symptom’ patients) as the between subjects variable. The main effect of Group was not significant \((p > 0.05)\).
184.108.40.206 CRT condition
The mean RTs for the CRT condition are presented in Figure 5.6. An ANOVA between the ‘high symptom’ patients and the controls showed that the main effect of Group approached significance \[F(1,17) = 3.96, p = 0.063\] and the main effect of Condition was significant \[F(1, 25) = 14.90, p < 0.001\]. Further analysis of the Condition effect revealed that the RTs for CRT3 (490.63 ms, sd = 92.71) were significantly slower than the RTs for CRT1 (451.68ms, sd = 97.91) \((t = 5.04, df = 18, p< 0.001)\) and CRT 2 (467.58ms, sd = 92.56) \((t = 3.21, df = 18, p = 0.005)\) while the RTs for CRT1 and CRT2 did not differ significantly \((p > 0.05)\). The Group x Condition interaction was not significant \((p > 0.05)\).
Figure 5.5 Mean RTs for the controls, ‘low symptom’ patients and ‘high symptom’ patients for the SRT condition of Study 5.
Figure 5.6 Mean RTs for the controls, ‘low symptom’ patients and ‘high symptom’ patients for CRT 1 (white), CRT 2 (grey) and CRT 3 (black) for the CRT condition of Study 5.
In the ANOVA comparing the ‘low symptom’ patients and controls the main effect of Group was not significant (p > 0.05). The main effect of Condition was significant [F(2, 34) = 14.92, p < 0.001]. Further analysis revealed that the RTs for CRT3 were significantly slower (479.11ms. sd = 88.59) than the RTs for CRT1 (437.42 ms, sd = 87.36) (t = 5.93 df = 18, p < 0.001) and CRT2 (456.05 ms, sd = 83.91) (t = 3.21, df = 18, p = 0.005) and the RTs for CRT1 were faster than those for CRT2 (t = 2.11, df = 18, p = 0.05). The Group x Condition interaction was significant [F(2, 34) = 3.18, p = 0.05]. This interaction was analysed further. Independent t-tests revealed that the RTs for the ‘low symptom’ patients and the controls were not significantly different for CRT1, CRT2 or CRT3 (p > 0.05). However, a series of paired t-test revealed that the controls had significantly faster RTs for CRT1 (418.0 ms, sd = 91.2) than for CRT2 (450.0 ms, sd = 98.2) and CRT3 (462.6 ms, sd = 101.0) (p < 0.05) but the RTs for CRT2 and CRT3 did not differ significantly (p > 0.05). The ‘low symptom’ patients had significantly slower RTs for CRT3 (507.43 ms, sd = 58.07) compared to the RTs for CRT2 (466.43 ms, sd = 56.58) and CRT1 (470.41 ms, sd = 74.9) (p < 0.05) but the RTs for CRT1 and CRT2 did not differ significantly.
A repeated measures ANOVA was carried out with Group (‘high symptom’ patients vs ‘low symptom’ patients) as the between subjects factor and Condition (CRT1, CRT2, CRT2) as the within subjects factor. The main effect Group was not significant (p > 0.05). The main effect of Condition was significant [F(2,24) = 8.29, p = 0.002]. Further analysis of this effect revealed that the RTs for CRT 3 (529.14 ms, sd = 81.75) were significantly slower than the RTs for CRT 2 (503.50ms, sd = 84.44) (t = 2.90 df = 13, p = 0.01) and CRT 1 (487.79ms, sd = 79.55) (t = 3.73, d.f. = 13, p = 0.003). No other RTs differed significantly. The Group x Condition interaction was not significant (p > 0.05).
5.3.3 Comparison of Study 4 and Study 5
220.127.116.11 SRT conditions
A repeated measures ANOVA with a between subjects factor of Group (controls, ‘high symptom’ patients, and ‘low symptom’ patients) and a within subject factor of Task (Study 4 vs Study 5) was carried out to investigate the effects of stimulus invariance vs stimulus variation across trials on SRTs. The main effect of Group was significant \[F(2,23) = 4.02, p = 0.03\], but the main effect of Task and the Group x Task interaction failed to reach significance \((p > 0.05)\). Further investigation of the group effect revealed that across the two tasks the ‘high symptom’ patients had significantly slower SRTs (412.8ms) than the controls (324.6 ms) \((p < 0.05)\) but no other groups differed significantly \((p> 0.05)\).
18.104.22.168 CRT conditions
A repeated measures ANOVA was carried out comparing the 3 CRT conditions of the two tasks. The between subjects factor was Group (controls, ‘high symptom’ patients and ‘low symptom’ patients) and the within subjects factors were Task (Study 4 vs Study 5) and Condition (CRT1, CRT2, CRT3). The main effect of Condition \[F(2, 23) = 4.00, p = 0.03\] was significant with RTs for CRT 1 being significantly faster than RTs for CRT2 or CRT3 \((p > 0.05)\) across the two tasks, but the main effects Group and Task failed to reach significance \((p > 0.10)\). The interactions of Group x Task and Group x Condition failed to reach significance \((p > 0.10)\), but the interaction of Task x Condition was significant \[F(2, 46) = 32.64, p < 0.001\] and the Group x Task x Condition interaction approached significance \[F(4, 46) = 2.206, p = 0.08\].
Further analysis of the significant Task x Condition interaction revealed that RTs for CRT1 from Study 4 (484.9ms) were significantly slower than the RTs for CRT1 of Study 5 (455.6ms), and the RTs for CRT3 of Study 4 (464.7ms) were significantly
faster than the RTs for CRT3 of Study 5 (498.4), while the RTs for CRT2 did not differ significantly.
The Group x Task x Condition interaction was investigated further by comparing the mean RTs for CRT1, CRT2 and CRT3 collapsed across the 2 Tasks and by comparing the RTs for Study 4 and Study 5 collapsed across the three CRT conditions among the three groups. These analyses revealed that for Study 4 the ‘high symptom’ patients were significantly slower than the controls on all 3 CRT conditions (p < 0.05) whereas for Study 5, for all 3 conditions the groups approached significance (p = 0.06). The ‘high symptom’ patients had significantly slower RTs than the controls for CRT1 and CRT3 (p < 0.05) and the difference approached significance for CRT2 (p = 0.06) across the two tasks. The RTs of the ‘low symptom’ patients did not differ significantly from the controls or the ‘high ‘symptom patients (p> 0.10) for either Study 4 or Study 5.
5.3.4 The Results of the Cognitive Testing
The Hayling Test was analysed using an ANOVA with Group (‘high symptom’ patients and controls) as the between subjects factor and Condition (response initiation vs response suppression) as the within subjects factor. The main effect of Group was significant [F(1,17) = 8.24, p= 0.01], the main effect of Condition was significant [F(1, 17) = 20.29, p < 0.001] and the Group x Condition interaction was significant [F(1,17) = 5.65, p = 0.03]. The mean response times of both groups for the two conditions are presented in Figure 5.7. Further examination of the interaction effect revealed that the response initiation times did not differ significantly between the ‘high symptom’ patients (18.78ms, sd=4.98) and the controls (15.37ms, sd=4.53)(p>0.05),
Figure 5.7. Mean response times for the initiation condition (white) and the suppression condition (grey) of the controls and 'high symptom' patients in the Hayling test.
but the ‘high symptom’ patients had significantly slower response suppression times (62.75 ms, sd = 38.66) than the controls (28.97 ms, sd = 16.79) (t = 2.66, df = 17, p = 0.02). The two groups did not differ significantly in terms of errors made on the Hayling test (p > 0.05). The ‘high symptom’ patients and controls did not differ significantly on any measures of random number generation, the Stroop or reverse Stroop effects (p > 0.05). The control subjects generated significantly more words for the alternating word fluency task [F(1, 12) = 6.332, p = 0.02] but the two groups did not differ in terms of first letter or single category word fluency (p > 0.05).
In the analysis of the Hayling Test for the ‘low symptom’ patients and controls, the main effect of Group was significant [F(1,17) = 4.92, p = 0.04], as patients were slower to respond than controls. The main effect of Condition was significant [F(1, 17) = 14.63, p = 0.001] with response initiation times(18.71ms, sd = 7.29) being faster than response suppression times (36.21ms, sd = 24.81). The Group x Condition interaction was not significant (p > 0.05). The two groups did not differ significantly in terms of errors made on the Hayling test (p > 0.05). The ‘low symptom’ patients and controls did not differ significantly on any measures of random number generation (p > 0.05). The control subjects generated more words for the alternating word fluency task than the ‘low symptom’ patients [F(1, 17) = 4.82, p = 0.04] but the two groups did not differ in terms of first letter or single category word fluency (p > 0.05). The two patient groups did not differ in the Stroop effect or the reverse Stroop effect or the number of errors made on the two interference conditions (p < 0.05).
In the analysis of the Hayling Test for the ‘high symptom’ patients and ‘low symptom’ patients the main effects of Group was not significant [F(1,12) = 0.19, p> 0.05] but the main effect of Condition was significant [F(1, 12) = 12.47, p =0.004]. Further analysis
of this main effect revealed that response times to the response suppression condition (55.68 ms, sd = 35.02) were longer than the response initiation condition (21.62 ms, sd = 6.94). The Group x Condition interaction was not significant. The two groups of patients did not differ in the number of errors on the Hayling (p > 0.05). The two patient groups did not differ significantly on any measures of random number generation (p > 0.05), first letter, single category or alternating category word fluency, the Stroop or reverse Stroop effects (P > 0.05).
5.3.5 Correlational Analysis
Correlational analyses were carried out to examine the relationship between medication level, RTs and errors using Pearson’s correlation coefficients for the patients with schizophrenia. There was a positive correlation between level of anticholinergic medication and the number of anticipation errors in the CRT condition in Study 4 (r = 0.63, p = 0.02). There was a positive correlation between level of neuroleptic medication and the number of long response errors in the CRT condition in Study 4 (r = 0.79, df = 14, p = 0.01).
Correlational analyses were carried out on all subjects examining the relationship between results on the cognitive tests and RTs and errors using Pearson’s correlation coefficients. Word fluency was negatively correlated with number of errors for the CRT condition, Study 5, suggesting that higher word fluency scores were associated with fewer errors (Mean score for FAS and anticipation errors, r = -0.49, p = 0.01; mean FAS score and errors of omission, r = -0.40, p = 0.04; alternating category and anticipation errors, r = -0.40, p = 0.04). The Stroop effect and errors of omission on SRT in Study 4 were positively correlated (r = 0.52, p = 0.01). The reverse Stroop effect was positively correlated with RTs in the SRT and CRT conditions for both tasks (range of r: 0.44 to 0.63, p < 0.05), that is greater reverse Stroop effect was linked with
slower reaction times. The count score 1 in the random number generation task was positively correlated with anticipation errors for the SRT condition of Study 4 (r = 0.58, p = 0.003).
Correlational analyses were carried out to examine the relationship between the individual symptoms as rated by the Scale for the Assessment of Positive Symptoms (SAPS) and the Scale for the Assessment of Negative Signs (SANS), RT and errors using Pearson’s correlation coefficients. The significant correlations are presented in Table 5.5. The p values were adjusted for the number of correlations (330) by carrying out a Bonferroni correction. After this adjustment there were no significant correlations remaining.
There is a possibility that factors such as levels of antipsychotic medication, anticholinergic medication, depression, or cognitive deficits which have been shown to differ among patients with schizophrenia, could confound the findings of correlational analyses. Therefore, Pearson’s Partial Correlations were run controlling for dose of neuroleptic, dose of anticholinergic, BDI score, and Mini Mental score. The significant results are presented in Table 5.6. After the Bonferroni correction for number of correlations (300) there were no significant correlations.
Table 5.6 Pearson's correlations between measures of reaction time and the individual symptom ratings of the Scale for the Assessment of Positive Symptoms (SAPS) and the Scale for the Assessment of Negative signs (SANS) depression as rated on the Beck Depression Inventory (BDI). The r and p values are given. Only coefficients with $p < 0.05$ are presented. CRT = choice reaction time, RT = reaction time.
| Study | SAPS SANS | BDI |
|-------|-----------|-----|
| | Hallucination | Thought | Anhedonia | Avolition | Depression |
| Study 4 | | | | | |
| CRT anticipation errors | $r = 0.56$ | $r = 0.54$ | $r = 0.49$ |
| | $p = 0.04$ | $p < 0.05$ | $p < 0.01$ |
| CRT partial errors | $r = -0.63$ | $p = 0.02$ |
| Study 5 | | | | | |
| RT CRT2 | $r = 0.59$ | $r = 0.62$ |
| | $p = 0.03$ | $p = 0.02$ |
| RT CRT3 | $r = 0.56$ | $p = 0.04$ |
| CRT long responses | $r = 0.62$ | $r = 0.76$ |
| | $p = 0.02$ | $p < 0.01$ |
Table 5.7 Pearson's Partial correlations between measures of reaction time and the individual symptom ratings of the Schedule for the Assessment of Positive Symptoms (SAPS) and the Schedule for the Assessment of Negative signs (SANS) controlling for levels of medication, depression, and Mini Mental score. The $r$ and $p$ values are given. Only coefficients with $p < 0.05$ are presented. CRT = choice reaction time, RT = reaction time.
| Study | Measure | SANS | SAPS |
|-------|------------------|------|------|
| | | Thought Disorder | Anhedonia | Avolition |
| Study 4 | CRT Partial Errors | | $r = 0.70$ | d.f. = 7 | p = 0.04 |
| Study 5 | RT CRT2 | | $r = 0.66$ | df = 7 | p < 0.05 |
| | RT CRT3 | | $r = 0.74$ | d.f. = 7 | p = 0.02 |
| | CRT Long Responses | | $r = 0.90$ | d.f. = 7 | p < 0.01 |
| | | | $r = 0.91$ | d.f. = 7 | p < 0.01 |
5.4 Discussion
The patients with ‘high symptoms’ had significantly slower RTs than the controls in SRT conditions of both studies, however, group differences in RTs of the CRT conditions only approached significance. In Study 4, the RTs for both patient groups gradually became slower across runs, while the controls were slightly faster for Run 3 compared to Run 2, but these group differences did not reach significance. There were no Group differences between the ‘low symptom’ patients and the controls for either the SRT or the CRT conditions of either study, however there was an interesting Group x Condition interaction in Study 5. The controls showed greater slowing between CRT1 and CRT2 than between CRT2 and CRT3, whereas the RTs of ‘low symptom’ patients did not differ at all between CRT1 and CRT2 and slowed greatly for CRT3.
The two groups of patients did not differ on MT. MTs were slower for the both patient groups than for the controls in all conditions, but there were no differential effects of condition on MT, suggesting that decision making had occurred prior to movement initiation. There were no group by condition interactions which suggests that the conditions did not affect MTs differently in the two groups.
The patients with ‘high symptoms’ had more commission errors than the ‘low symptom’ patients and the controls and had more anticipation errors than the controls in the CRT condition for Study 4. This failure of response suppression (Nideffer et al., 1971; Fukushima et al., 1994) has been reported in schizophrenia in other tasks. There were no other differences between the two groups in terms of errors. One previous study assessed patients with schizophrenia on a go no-go RT task (Klein et al., 1996). As expected the patients had slower RTs than normal controls, but the patients did not have an increased error rate compared to controls. Errors were defined as trials on
which the subject used the incorrect hand in a left-right choice reaction time go-trial, failed to respond in a go-trial, or pressed a button during a no-go trial and these trials were removed. This led to 7% of go trials and 1% of false alarms on no-go trials being rejected in both groups. Unfortunately there is no mention of other statistical analysis of these error data.
The final point to consider is the possibility that the RTs of the patients and controls were subject to differential slowing as a result of fatigue or differential speeding associated with practice across the session. The repeated runs of SRT in Study 4 allows examination of such possible differential fatigue and practice effects across the two groups. Despite some non-significant slowing of SRTs from the first to the third run for the patients which was not evident for the controls, the Group x Run interaction was not significant, thus showing that the RTs of the patients and controls were not subject to such differential fatigue or practice effects across the session. It is of interest, that in Parkinson’s disease, another disorder in which slowness of movement initiation and execution has been considered to reflect impairment of willed action (Jahanshahi & Frith, 1998), practice has been shown to be associated with greater speeding of SRT relative to age-matched normals (Worringham and Stelmach 1990), suggesting that with practice patients are more likely to engage in the optional and volitional preprogramming involved in RTs. The present results suggest that the SRTs of patients with schizophrenia were not subject to such differential practice effects and that the SRT of the ‘high symptom’ patients were significantly slower than the controls across all three runs.
5.4.1 Group differences in SRT Conditions
The patients with ‘high symptoms’ had slower RTs than the controls in the SRT conditions of both studies. In both SRT conditions, the nature of the response was
invariant and involved releasing a ‘home’ button. The subjects were required to respond to all stimuli across trials in a block. In Study 5, the string of stimuli in a block were invariant (Q above fixation point), while in Study 4, the specific nature of the stimuli changed across trials in an SRT block. Nevertheless, given the invariant nature of the response and the instructions to respond to all stimuli, the response could be preprogrammed prior to stimulus onset. One interpretation of the significant slowness of SRTs for both Study 4 and 5 for the patients with ‘high symptoms’ in conjunction with normal CRTs is that these patients were failing to engage in the optional and volitional preprogramming of the response prior to presentation of the stimulus. The patients with ‘low symptoms’, however, did not differ from the controls on either of the SRT conditions.
The SRT condition of Study 5 differed from the SRT condition of Study 4 in one fundamental way. In Study 5 the stimulus was invariant. In Study 4, subjects responded to eight different types of compound stimuli. It would be expected that the invariant nature of the stimulus in Study 5 would allow development of ‘set’ to a greater extent than the variant stimuli of Study 4, yet these differences although in the right direction were not statistically significant for either the patients or controls.
5.4.2 The effect of complexity of go no-go decision-making and dimensional overlap of target/non-target stimuli on go no-go CRTs
22.214.171.124 Study 4
In Study 4, based on the results of previous studies (Cooper et al, 1994) it was expected that RTs would become slower from CRT1 to CRT2 and from CRT2 to CRT3, as the decision on ‘go’ trials was based on the conjunction of an increasing number of stimulus features (1 to 3). Contrary to expectation, RTs were in fact fastest for CRT3 compared to CRT2 and CRT1, for both the controls and patients. In CRT3 of Study 4,
subjects have to respond to three features of a compound stimulus: size, colour and shape, by responding only to a ‘large yellow circle’ for instance. The finding that RTs for CRT 3 were faster than RTs for CRT2 or CRT1 conditions suggests that instead of being the most difficult condition in terms of response selection, CRT3 is in fact the easiest. There are two possible reasons for this. First, in CRT3 of Study 4 subjects are required to only respond to a single target stimulus e.g. ‘large yellow circle’ as noted above. In contrast, in the CRT2 condition, there are two valid stimuli for example with ‘yellow circle’ as the target there are two possible target stimuli large yellow circles and small yellow circles. In the CRT1 condition, there are four possible target stimuli, for example, if one were responding to ‘large’ stimuli the decision to move would be made if the stimulus was a ‘large yellow square’, ‘large purple square’, ‘large yellow circle’, or a ‘large purple circle’, hence there were four valid stimuli. The fact that RTs increase as the number of stimulus or response alternatives increase is a most widely replicated finding, a relationship which is expressed by the Hick-Hyman law (Hick, 1952; Hyman, 1953). Thus, in line with the Hick-Hyman law, RTs were fastest for the CRT3 condition because this involved a single valid stimulus across trials compared to 2 and 4 respectively for CRT2 and CRT1. The second possibility related to the first is that as a result of a single compared to 2 or 4 stimulus alternatives, subjects had fewer exemplars of the target ‘go’ stimulus to hold ‘on line’ across trials in a block in CRT3, which would account for the faster RTs. Also, with a single stimulus alternative it is easier to establish and maintain ‘set’ that is a state of preparedness or readiness to respond than with 2 or 4 possible stimulus alternatives.
The design of the go no-go RT of Study 4 was similar to that used by Cooper et al. (1994) in their study with patients with Parkinson’s disease. Unlike the present results, they found that the go no-go CRTs of patients with Parkinson’s disease and the normal
controls increased as stimulus complexity increased. However, there were a number of procedural differences between the Cooper et al., and the present study. First, instead of size as a feature of the compound stimulus, Cooper et al. had coloured circles and squares presented in conjunction with either a high or low-pitched tone. This combination of auditory with visual features may have meant that stimulus discrimination and hence the go no-go decision may have been more difficult in the study of Cooper et al. (1994) than in our study which simply relied on the visual features of compound stimuli. One indication of this would have been if the CRTs were slower in the Cooper et al. study than in the present study. However, the fact that controls in their study were older than the controls in the present sample, means that a direct comparison of CRTs is not valid. A second important procedural difference is that in the study by Cooper et al. (1994) the response criteria in the CRT conditions changed after the subject made 10 correct responses compared to the present study where response criteria changed after 80 correct responses. Once again, this procedural difference may have made Study 4 easier than the analogous version used by Cooper and colleagues.
In Study 4, another aspect of the procedure used may have inadvertently influenced task difficulty and may help explain why differential effects were not obtained for the patients and controls. On each trial, the specific nature of the target stimulus, for example ‘large yellow circle’ in the CRT3 condition, or ‘yellow circle’ in the CRT2 condition was presented above the stimulus. Provision of this external cue informing subjects of the relevant stimulus dimensions may have reduced the working memory load of Study 4. In light of deficits shown by patients with schizophrenia on tests with a working memory component such as the Wisconsin Card Sorting Test (Nathaniel-James et al., 1996), it would be expected that the patients would show greater deficits in the
absence of such a cue, which would have necessitated relying on working memory across trials in a block.
126.96.36.199 Study 5
For Study 5, as expected, the RTs increased across the three CRT conditions for the controls and patient groups. Thus, as the dimensional overlap of no-go ‘distractor’ stimuli with the target ‘go’ stimulus increased, RTs increased. The only exception was found for the patients with ‘low symptoms’ for whom RTs did not increase between CRT1 and CRT2, but did increase for CRT3. The controls were significantly faster than the ‘high symptom’ patients but the two groups did not differ in their RTs across the three conditions. In contrast, the controls and ‘low symptom’ patients differed in terms of the effect of CRT condition on RTs. While the controls had significantly slower RTs in CRT2 and CRT3 compared to CRT1, the ‘low symptom’ patients showed no significant difference between CRT1 and CRT2 and but were significantly slower on CRT3 than the other two conditions. This suggests that for the controls, the greatest relative prolongation of RTs on the go trials was produced when the number of non-target no-go stimuli increased from one non-target no-go stimulus (always ‘r’ below fixation) in the CRT1 condition to three non-target no-go stimuli in the CRT2 and CRT3 conditions. In contrast, for the ‘low symptom’ patients, a significant increase in go RTs was obtained in Study 5 when the non-target no-go stimuli had the greatest dimensional overlap with the target go stimulus and differed from it only in terms of one dimension either identity, case or location; but not when the non-target and target stimuli differed in terms of two (CRT2) or three (CRT3) dimensions.
5.4.3 Group differences on cognitive tests requiring response suppression
Significant differences between the patients and controls were found on specific aspects of the cognitive tasks. Both patient groups had slower response times on the Hayling
test compared to the controls and the ‘high symptom’ group had significantly longer response times for the response suppression condition compared to the response initiation condition than the controls. None of the groups differed significantly on the number of errors made on the Hayling test. These results lend some support to previous studies which have found impaired performance on the Hayling test in patients with schizophrenia (Nathaniel-James and Frith, 1996). Both patient groups produced significantly fewer words in the alternating word fluency task compared to the controls. This deficit on tests of word fluency also replicates previous findings in schizophrenia (Liddle and Morris, 1991, Frith 1992, Beatty et al., 1993, Crawford et al., 1993, Abbruzzese et al, 1995). However, unlike previous studies reporting deficits on the Stroop (Mahurin et al., 1998; Liddle and Morris, 1991, Jaquet et al., 1997) or random number generation (Rosenberg et al., 1990) in patients with schizophrenia, neither of the two patient groups differed significantly from the controls on the Stroop or RNG tasks. The absence of such significant group differences may partly relate to the fact that the present sample were not highly symptomatic at the time of study, with only 7 of the 14 patients having relatively high positive and negative ratings.
More importantly in relation to the aims of the present study was the finding that performance on the cognitive tasks requiring suppression of habitual responses correlated with performance on the go no-go tasks. Word fluency was negatively associated with errors in the CRT condition of Study 5, suggesting that poorer word fluency correlated with higher errors on the go no-go task. A larger ‘Stroop’ effect, that is greater susceptibility to interference from the colour words was associated with more omission errors in the SRT condition of Study 4. Higher count score 1, indicative of a failure to suppress habitual counting during random number generation was associated with greater anticipation errors in the SRT condition of Study 4. These correlations
suggest that the go no-go tasks and the cognitive tasks may both be tapping some common ability to inhibit or suppress inappropriate responses for selection or release of the appropriate response.
Servan-Schreiber et al. (1996) used a variation of the CPT in patients with schizophrenia. They varied the interstimulus interval (ISI) between 750 ms and 5 s and the percentage of targets to non-targets to 80% to 20%. The rule was to respond when the letter X appeared, if it was preceded by an A (AX). On 10% of the trials X appeared, preceded by a different letter (BX) and in 10% of the trials A appeared, followed by a different letter (AY). The authors propose that the two cognitive impairments reported in schizophrenia, dysfunction of working memory (Weinberger et al., 1986) and impaired inhibition (Manschreck et al., 1988), can be explained by a single mechanism - an impairment in maintaining contextual information over time. According to this model, patients with schizophrenia with a mild impairment in maintaining contextual information would show an increase in BX errors on long ISIs, reflecting a working memory deficit, whereas patients with severe impairments in maintaining contextual information would show an increase in AY errors for the short ISIs, reflecting impaired inhibition. Unmedicated patients tested during their first episode exhibited working memory impairments, whereas the unmedicated ‘multi-episode’ patients (those recently admitted who had a long history of relapse) exhibited impaired inhibition. Other reports of intact inhibition but impaired memory in first episode schizophrenia has been reported (Hutton et al., 1998). These findings and the results of the current study suggest that impaired performance on no-go tasks may be dependent on duration of illness and symptom severity. In the present study, significant group differences in RTs were found between patients with high positive and high negative symptoms relative to controls, while differential effects of condition on RTs
was seen for patients with high negative signs relative to normals. The effect of symptom severity is clearly an issue that requires further investigation using a larger number of patients with more severe symptom ratings. For example, it would be interesting to compare patients with very high ratings of positive symptoms with patients with very high ratings of negative signs and also to compare a large group of patients with very high symptom ratings to a group of patients with very low symptom ratings.
Another possible explanation for the lack of major differences between the patients and controls may relate to the ratio of go to no-go trials. As we were interested in a failure of inhibition in schizophrenia, the current study was designed to increase the tendency to make errors of commission. Thus an 80% go to 20% no-go ratio was chosen, based on the rationale that the increased preparedness to respond on 80% of the trials should promote high errors of commission. However, it is also possible that with only 20% of the trials requiring response inhibition, sufficient sampling of the no-go performance was not undertaken. In effect, if the key factor determining the success or failure of response inhibition is the degree of uncertainty, a task with a 50/50 ration of go to go-no trials would be optimal. This issue can be examined more fully in future studies by systematic variation of the proportion of go to no-go trials across blocks from 80/20, to 50/50 to 20/80 for example.
CHAPTER 6
Study 6: Reduced negative priming does indicate reduced cognitive inhibition in schizophrenia
6.1 Introduction
Having shown that patients with schizophrenia have some impairments in willed initiation and suppression of action, the aim of Study six was to investigate the impairment in inhibition further. One feature of the attentional problems in schizophrenia is the greater distractibility of these patients in the presence of irrelevant information, for example as shown in dichotic shadowing tasks (Spring, 1985). Inadequate functioning of inhibitory attentional processes has been proposed as a mechanism of this increased distractibility in schizophrenia. The inability of patients with schizophrenia to maintain attentional set as demonstrated by the ‘cross over’ RT effect (Shakow, 1962), and the demonstration of abnormal recognition thresholds in a priming paradigm (Bullen and Hemsley, 1987) have all been considered evidence for ‘weakened inhibition’ in schizophrenia. Other empirical support for failure of inhibitory processes in schizophrenia exists. Inhibition of irrelevant information at an early stage of information processing has been termed ‘sensory gating’ (McDowd et al., 1993). One paradigm used to measure sensory gating is prepulse inhibition (PPI) which focuses on the eyeblink component of the startle reflex. Normally when the startle stimulus is preceded by a warning signal (prepulse), the eyeblink in the startle reflex is reduced, especially if the subject is told to attend to the prepulse (See McDowd et al., 1993 for a review). Patients with schizophrenia have reduced PPI (Braff et al., 1992; Grillon et al., 1992). Similar inhibition impairments are seen in latent inhibition (Baruch et al, 1988) and the Kamin blocking effect (Jones et al., 1992) as discussed in
Chapter 1. In the antisaccade task subjects are required to move their eyes to the opposite direction of a target. Patients with schizophrenia have difficulty suppressing eye movements to the target and therefore make more incorrect (towards the target) eye movements (Fukushima et al., 1994).
Another way to test inhibitory processes is by using the negative priming paradigm. First described by Tipper (1985) negative priming refers to the slowing of reaction times that occurs when an ignored distractor stimulus in a first trial becomes the target stimulus in the subsequent trial. Generally, in a negative priming experiment RTs are measured for response to two displays presented in quick succession. The first display is called the prime, the second display is called the probe and both displays consists of a target and a distractor. There are two types of probes; ignored repetition and control. In the ignored repetition probe, the target is the same as the distractor of the prime. In the control probe, the target is different than the distractor in the prime. Negative priming is considered to have occurred if RT is slower in the ignored repetition condition than in the control condition. Later studies investigated spatial negative priming (Tipper et al., 1990). In these, the delayed RTs occurred when the probe target shared the same location as the prime distractor (ignored repetition) compared to the control condition where the probe target was presented in a previously vacant location.
Normal control subjects show delayed reaction times in the ignored repetition condition presumably because the active task of ignoring the stimulus in the first trial is carried into the second trial and inhibits the subject's response to this previously ignored stimulus (Tipper and Cranston, 1985; Tipper et al., 1991). Patients with schizophrenia do not show a significantly increased RT when a previously ignored stimulus becomes the target (Park et al., 1996; Williams, 1996; Beech et al., 1989; Laplante et al., 1992;
David, 1995; Salo et al., 1996), in line with the proposal of a breakdown of inhibitory processes (Frith, 1979).
The most widely accepted view of negative priming is that it represents the operation of inhibitory mechanisms in selective attention such that the distracting stimuli are selectively inhibited during the prime trials (eg Tipper 1985). There have been other accounts besides this selective inhibition to explain the phenomenon of negative priming. According to the 'episodic retrieval' account the ignored distractor in the prime 'episode' is encoded with a 'to-be-ignored' tag and as a result responses to previously ignored probes are slowed by the automatic retrieval of the prior episode along with the to-be-ignored tag (Neill and Valdes, 1992). Recently Milliken et al. (1998) have suggested a 'temporal discrimination' account of negative priming. They propose that slowed RTs results from ambiguity in the categorisation of the probe stimulus as 'old' or 'new' relative to the prime. On ignored repetition trials, the familiarity of the probe target which has been previously seen as the ignored distractor on the prime trial, rules out its classification as 'new' and yet is insufficient to allow its consideration as 'old'. This ambiguity in the temporal discrimination process is considered to underlie the delayed RTs on ignored repetition trials.
From a different perspective, Park and Kanwisher (1994) have suggested the interpretation of previous spatial negative priming studies as reflecting the operation of inhibitory processes may actually be a result of perceptual mismatch rather than indicative of active inhibition. Because the probe target differs from the prime distractor in some form, either in colour, identity or size, the hesitation and hence prolonged RT shown by normals in responding on the probe trial may have nothing to do with reduced inhibition but instead reflect the detection of the perceptual mismatch.
This point has been addressed by Milliken et al. (1994), Tipper et al. (1995) and Watson and Tipper (1997). Milliken et al. (1994) confirmed that perceptual mismatch can contribute to negative priming in some situations. In a series of three experiments Tipper et al. (1995) found a spatial negative priming effect in normals whether the prime distractor and target probe matched or mismatched in terms of size or identity. However, the spatial negative priming effect was smaller when the colour of the prime distractor and target probe matched, than when they mismatched. Therefore, Tipper et al. (1995) concluded that perceptual mismatch and distractor inhibition produce additive effects on RT. In a subsequent study Watson and Tipper (1997) found reduced negative priming in schizotypal subjects using a negative priming paradigm on which there was no perceptual mismatch.
The previous studies examining negative priming in schizophrenia are presented in Table 6.1. The majority of the studies which have examined negative priming in patients with schizophrenia used Stroop stimuli in which the stimuli have a colour mismatch confound, because the prime distractor and the probe target were different colours (Beech et al., 1989; Laplante et al., 1992; David, 1995; Salo et al., 1996, Salo et al., 1997). The two studies that examined spatial negative priming in schizophrenia (Park et al., 1996; McDowd et al., 1993) with a task other than the Stroop used an X-O paradigm which also involves an identity mismatch between the prime distractor and probe target. This means that reduced negative priming in schizophrenia in these studies cannot unequivocally be attributed to a failure of inhibition and instead may indicate these patients' insensitivity to the effects of perceptual mismatch between stimuli due to poor episodic encoding or retrieval for prime/probe comparisons relative to normal subjects. Although inhibitory deficits have been demonstrated clearly from other paradigms, studies using negative priming tasks lead to ambiguous interpretations,
Table 6.1. Previous studies of negative priming (NP) in patients with schizophrenia
| Authors | Patients with schizophrenia | Control group | Results | Perceptual mismatch |
|------------------|------------------------------------------------------------------|-------------------------------------------------------------------------------|------------------------------------------------------------------------|--------------------------------------|
| Beech et al., | 18 patients with schizophrenia | 18 psychiatric patients with major psychotic illness, 12 with neurotic | Reduced NP in patients with schizophrenia | Yes - Colour – Stroop colour words |
| 1989 | | symptoms, 6 with personality disorder | | |
| Laplante et al., | 8 positive and 10 negative schizophrenia patients | 21 psychiatric patients with major depression | Reduced NP in patients with schizophrenia, greater deficit in patients | Yes - Colour – Stroop colour words |
| 1992 | | 35 normal controls | with negative schizophrenia | |
| McDowd et al., | 8 older patients with schizophrenia (mean age = 54 years) | 10 older controls (mean age = 66 years) | Reduced NP in patients with schizophrenia, greatest NP in young | Yes - Identity-Target = O Distractor= + |
| 1993 | | 10 young controls | controls | |
| David, 1995 | 46 patients | 22 patients with either bipolar affective disorder or major depression | Net priming effect (negative priming RT – positive priming RT) only | Yes - Colour – Stroop colour words |
| | 21 acute | | significant in normal controls | |
| | 19 chronic | | | |
| | 6 in remission | | | |
| Park et al., 1996| 18 chronic patients | 28 normal controls | Acute patients showed reduced NP. Chronic patients showed intact NP | Yes - Identity-Target = O Distractor= + |
| | 19 acute patients | | | |
| Salo et al., 1996| 12 patients with chronic schizophrenia withdrawn from antipsychotic medication for at least 2 weeks | 16 normal controls | Patients showed reduced NP | Yes - Colour – Stroop colour words |
| Authors | Patients with schizophrenia | Control group | Results | Perceptual mismatch |
|------------------|-----------------------------------------------------------------|---------------|------------------------------------------------------------------------|----------------------------------------------------------|
| Williams, 1996 | 34 patients with schizophrenia | None | Subgroups of disorganisation, reality distortion and episodic patients showed reduced NP. Subgroup of patients with psychomotor poverty showed normal NP | Yes - Colour – words were presented in red or green |
| Salo et al., 1997| 14 patients withdrawn from medication for at least 2 weeks | 16 controls | Medicated patients and controls showed similar NP. Patients withdrawn from medication showed a lack of NP | Yes - Colour – Stroop colour words and animal names in coloured ink |
which are not clearly attributable to reduced inhibitory effects. The aim of this study is to examine the spatial negative priming effect in schizophrenia using a new paradigm that allows the effects of perceptual mismatch on RT to be considered independently of any spatial negative priming effects. We predicted that patients with schizophrenia would show significantly less negative priming, both in conditions where the prime distractor and probe target matched or had a perceptual mismatch.
6.2 Method
6.2.1 Subjects
Table 6.2 lists the characteristics of the subject groups. Fourteen patients with schizophrenia and 17 normals (3 female, 14 male) took part in the study. Two patients were multivariate outliers and had RTs which were extreme outliers compared to group means, one patient on 2 of the 4 and one patient on all 4 measures of interest (C+, C-, L+ L-). These two cases were therefore excluded. The remaining patients (2 female, 10 male) and normals did not differ in terms of male to female ratio ($x^2 = 0.11$, df = 1, $p = 0.74$), age ($t = 1.30$, df = 27, $p = 0.20$) handedness, ($t = 1.56$, df = 27, $p = 0.13$) or estimates of ‘premorbid’ verbal IQ obtained from the National Adult Reading Test (NART, Nelson and Willison, 1991) ($t = 1.45$, df = 22, $p = 0.16$). The two groups did differ in terms of scores on the Beck Depression Inventory (BDI, Beck et al., 1961) with the patients having higher scores than the normals ($t = 2.38$, df = 25, $p = 0.03$). NART Verbal IQ scores for five controls and BDI scores for two controls were missing. The patients with schizophrenia were rated on the Scale for Assessment of Positive Symptoms (Andreasen, 1984) and the Scale for Assessment of Negative Signs (Andreasen, 1983) and as a group had higher ratings of negative signs than positive symptoms ($t = 5.23$, df = 12, $p < 0.001$).
Table 6.2. Details of subject groups. All values given are means, standard deviations in brackets. SAPS = The standardised assessment for positive symptoms (Andreasen, 1984). SANS = The standardised assessment for negative symptoms (Andreasen, 1983)
| | Normals | Patients with Schizophrenia |
|------------------------|---------|----------------------------|
| **Sex** | | |
| Male | 14 | 10 |
| Female | 3 | 2 |
| **Age (years)** | 37.5 (8.2) | 41.3 (6.5) |
| **Beck Depression Inventory (0 – 63)** | 6.4 (6.5) | 15.0 (8.0) |
| **SAPS (0 – 175)** | | 6.1 (8.0) |
| **SANS (0 – 120)** | | 18.9 (12.0) |
| **Dose anticholinergic (Disipal equivalent)** | 37.5 (71.1) | (range 0 – 200 mg) |
| **Dose neuroleptic (chlorpromazine equivalent)** | 377.1 (305.9) | (range 0 – 825 mg) |
Figure 6.1 The four priming conditions. The probe target could either share (C+) or not share (C-) colour with the prime distractor, and it could either share (L+) or not share (L-) location with the prime distractor. The lower case letters adjacent to the boxes specify the colours of the uppercase target and distraction letters (X) within the boxes. The lower case letter in the central box indicates the colour of the colour selection cue (b = blue, g= green, p = purple, y = yellow).
6.2.2 Task
The task was the same as that in experiment 3 of Tipper et al. (1995). Figure 6.1 presents the prime and probe conditions. The subject initiated each trial by pressing the start key that was located under the index finger on the joystick. After pressing the start key four empty boxes appeared which indicated the possible stimulus locations, above, below, to the left and right of fixation. After a delay of 1000 ms the prime display appeared, which were 2 Xs of different colours that appeared in two randomly chosen boxes, and a small coloured square presented at fixation simultaneously with the 2 Xs (in Tipper et al.'s (1995) experiment 3 the coloured square appeared 57 ms after the onset of Xs and remained on the screen for 29 ms). One X was the same colour as the small central square. Subjects were instructed to move the joystick in the direction of the target X, the colour of which matched the central coloured square which acted as the colour selection cue. Both speed and accuracy were emphasised. The prime remained on the screen until the subject responded. Auditory feedback was given in the form of an error tone for an incorrect response and a 50 ms click for a correct response.
The response stimulus interval (RSI) was 500 ms and only the four boxes were visible during this interval. The probe colour selection cue appeared after the 500 ms RSI and at the same time two coloured Xs were presented. As for the prime, the subjects were required to move the joystick in the direction of the X that matched the central coloured square which acted as the colour selection cue. Both speed and accuracy were emphasised. As for the prime, the display remained on the screen until the response was made, and auditory feedback was provided on each trial. After the auditory feedback following the response to the probe a written prompt appeared on the screen instructing the participant to press the start key to continue.
6.2.3 Design
The study had a mixed between-groups and within-subjects design. The between groups factor was Groups (schizophrenia vs normals). There were 2 repeated measures within subject variables, Location and Colour. There were two levels of Location: L+ and L-. In L+ condition, the probe target appeared in the same location as the prime distractor; and in the L- condition, the probe target appeared in a box that differed from the location of the prime distractor and was vacant during the prime. In all conditions, the probe distractor appeared in a previously vacant box. The two levels of Colour were C+ and C-. In C+ condition, the probe target was the same colour as the prime distractor; in C- condition, the probe target was in a different colour than the prime target or distractor. In all conditions, the probe distractor appeared in a colour that was not used for the prime. Therefore there were four conditions: C- L- (colour mismatch, different location- control), C- L+ (colour mismatch same location - ignored repetition), C+ L- (colour match different location- control), C+ L+ (colour match same location- ignored repetition). There were 4 possible locations; above, below, to the left and right of the central square and there were also 4 possible colours: blue, green, yellow, and purple, selected to be easily discriminable.
Each condition started with a practice block (Block 0) followed by a test block (Block 1). The number of trials for the two types of block in each of the 4 conditions is listed below.
| Condition | Block 0 | Block 1 |
|-----------|---------|---------|
| C-L | 12 | 96 |
| C-L+ | 6 | 48 |
| C+L- | 6 | 48 |
| C+L+ | 3 | 24 |
These proportions were used to ensure that subjects could not use properties of the prime distractor to predict the colour or location of the probe target. Stimulus presentation and RTs were measured to the nearest ms. Millisecond timing of displays and responses was achieved using the TIMEX function (Bovens and Brysbaert, 1990). The data of importance were the median RTs for correct responses and error percentages. Prime and probe RTs were used only if the responses to both prime and probe were correct. Responses greater than 3000 ms were counted as errors. The four conditions were randomised in terms of order of presentation. All 243 trials were presented in one session, with a 30 second break after every 50 trials. The first 27 trials were practice and not included in the analysis. The entire session lasted approximately 30 minutes.
6.3 Results
6.3.1 Prime Displays
A one way Analysis of Variance (ANOVA) was used to examine the RT for the prime condition. RTs for the patients with schizophrenia were significantly slower than those for the normals \[F(1, 27) = 21.92, p < 0.01\]. A one way ANOVA was carried out on the percentage of errors in the prime condition. The patients with schizophrenia and the normals did not differ in terms of percent of errors made \[F(1, 27) = 0.23, p > 0.05\].
6.3.2 Probe Display
A 3 way ANOVA was carried out. The between subjects factor was Group (schizophrenia vs normals) and the within subject variables were Colour (C+ vs C- ) [colour match or colour mismatch] and Location (L+ vs L-) [ignored repetition or control]. The mean median RTs for each condition in each group are shown in Figure 6.2.
The main effect of Colour was not significant \[ F(1, 27) = 0.19, p > 0.05 \]. The main effect of Group was significant \[ F(1, 27) = 19.22, p < 0.01 \] due to slower RTs for the patients (725 ms, SD = 108) than for the normal controls (566 ms, SD = 87). The main effect of Location \[ F(1, 27) = 31.12, p < 0.01 \] was also significant as RTs were slower for the ignored repetition conditions (L+) (641 ms, SD = 121) than for the control conditions (L-) (623 ms, SD = 127). There was no significant Colour x Location interaction, nor did Group show a significant interaction with either of the other two variables \[ p > 0.05 \]. The three way Group x Colour x Location interaction was also nonsignificant \[ p > 0.05 \].
Given my interest in negative priming effects (control conditions compared to ignored repetition conditions) a series of post hoc tests were carried out. In normals, the comparison of C+ L- and C+ L+ was significant \[ t = 3.9, d.f. = 16, p < 0.01 \]. T-tests revealed that the normals also had significantly slower RTs in the C-L+ than in the C-L- condition \[ t = 4.7, d.f. = 16, p < 0.001 \]. Thus the normal controls exhibited significant spatial negative priming in both the colour match and colour mismatch conditions.
However, these same comparisons for the patients with schizophrenia were not significant. The RTs for the patients with schizophrenia did not differ significantly between the C+L+ condition and the C+L- condition \[ p > 0.05 \] (colour match) or between the C-L+ condition and the C-L- condition \[ p > 0.05 \] (colour mismatch). Therefore the patients with schizophrenia failed to show significant spatial negative priming in either the colour match or the colour mismatch condition.
Figure 6.2 The mean of median reaction times (RTs) to the probes for the patients with schizophrenia and normal controls in each of the four conditions C-L- control, colour mismatch; C-L+ ignored repetition, colour mismatch; C+L- control, colour match; C+L+ ignored repetition, colour match. Spatial negative priming is indicated by slower RTs for ignored repetition (L+, white bars) than control (L-, black bars) conditions for the normal controls. *Significance p < 0.05.
6.3.3 Probe Error Data
The mean percentage of errors for each group in each condition are presented in Table 6.3. A 3 way repeated measures ANOVA was carried out on the error percentages. The between subjects factor was Group (patients with schizophrenia vs normals) and the within subject variables were Colour (C+ vs C-) and Location (L+ vs L-). There were no significant main effects of Group, Colour, or Location ($p > 0.05$) and there were no significant interactions ($p > 0.05$).
Table 6.3. Mean percentage of errors (and standard deviations) for each group in each condition - C+L+: the probe target was the same colour and appeared in the same location as the prime distractor; C+L-: the probe target was the same colour but appeared in a different location to the prime distractor; C-L+: the probe target was a different colour but in the same location as the prime distractor; C-L-: the probe target was a different colour and was in a different location than the prime distractor.
| | Normals | Patients with schizophrenia |
|----------------|-------------|----------------------------|
| C-L- | 1.40 (1.47) | 2.33 (2.51) |
| C-L+ | 1.11 (1.31) | 2.79 (2.86) |
| C+L- | 1.98 (1.74) | 1.58 (2.03) |
| C+L+ | 1.47 (2.91) | 2.78 (4.10) |
6.3.4 Correlational Analysis.
To determine the extent of the spatial negative priming effect the RTs for the ignored repetition conditions were subtracted from the RTs for their respective control conditions: [(C-L-) - (C-L+)] for the colour mismatch condition, and [(C+L-) - (C+L+)] for the colour match condition. Pearson’s correlations were used to examine the relationship between the individual symptoms of schizophrenia as rated on the SANS/SAPS, depression as rated on the Beck Depression Inventory, errors scores and the spatial negative priming effects. The results are presented in Table 6.4. The p
values were adjusted for the number of correlations (77) by carrying out a Bonferroni correction. After this adjustment there was one significant correlation. There was a significant *positive* correlation between rating of bizarre behaviour and the magnitude of the spatial negative priming effect for the colour mismatch condition ($r = 0.86, p < 0.001$). This means that a higher rating of bizarre behaviour was associated with a reduced (i.e., impaired) negative priming effect for the Colour Mismatch condition.
There is a possibility that factors such as levels of neuroleptic medication, depression, or cognitive deficits, which have been shown to differ among patients with schizophrenia, could confound the findings of correlational analyses. Therefore, Pearson’s Partial Correlations were run controlling for dose of neuroleptic, BDI score, and NART Verbal IQ score. These results are presented in Table 6.5. After the Bonferroni adjustment for the number of correlations (70) there were no significant correlations.
Table 6.4 Pearson's correlations between measures of Spatial Negative Priming effect, errors and the individual symptom ratings of the Schedule for the Assessment of Positive Symptoms (SAPS) and the Schedule for the Assessment of Negative signs (SANS). The r and p values are given. Only coefficients with p < 0.05 are presented.
| SAPS SANS | Thought Disorder | Bizarre Behaviour |
|----------------------------|------------------|-------------------|
| Spatial Negative Priming Effect | | r = 0.86 p < 0.001 |
| Colour Mismatch | | |
| Control condition (C-L-) Errors | r = 0.7 p < 0.01 | |
| Colour match condition (C+L-) | r = 0.69 p < 0.01 | |
| Errors | | |
Table 6.5 Pearson's Partial correlations between measures of Spatial Negative Priming effect, errors and the individual symptom ratings of the Schedule for the Assessment of Positive Symptoms (SAPS) and the Schedule for the Assessment of Negative signs (SANS) controlling for medication, level of depression and Mini Mental score. The r and p values are given. Only coefficients with p < 0.05 are presented.
| SAPS/SANS | Thought Disorder | Bizarre Behaviour | Delusion |
|----------------------------|------------------|-------------------|----------|
| Spatial Negative Priming Effect | | r= 0.91 | |
| Colour Mismatch | | d.f. = 5 | |
| | | p < 0.01 | |
| Spatial Negative Priming Effect | | r = 0.76 | |
| Colour Match | | d.f. = 5 | |
| | | p < 0.05 | |
| Colour Match condition (C+L-) | r = 0.8 | d.f. = 5 | |
| Errors | | p = 0.03 | |
6.4 Discussion
In summary, the significant main effect of location signified occurrence of significant spatial negative priming. The main effect of colour was not significant indicating that colour match or mismatch did not affect RTs. The groups differed significantly reflecting slower RTs for the patients with schizophrenia than for the normal controls. There were no significant group interactions but post-hoc comparisons revealed that the normals showed significant spatial negative priming effects both in the colour match and in the colour mismatch conditions, while the patients with schizophrenia failed to exhibit significant levels of negative priming effects in either condition.
It has been proposed that the increased RT previously attributed to spatial negative priming effects may be due to perceptual mismatch since the prime distractor differed from the probe target in terms of either colour, identity, or size (Park and Kanwisher, 1994). The current results add support to the findings of Milliken et al. (1994) and Tipper et al. (1995) that in normal subjects spatial negative priming effects are present even when other stimulus features such as colour, identity and size are held constant between the prime distractor and the probe target. In the present study there was no significant difference in the degree of spatial negative priming effects between the colour match and the colour mismatch condition.
Recently, Tipper (1998) has noted that the accounts of negative priming in terms of inhibition of the internal representation of a distractor in the process of selective attention or detection of perceptual mismatch in the process of episodic retrieval which have respectively been described as forward acting and backward acting processes are not necessarily antagonistic or mutually exclusive. Instead, Tipper suggests that as both encoding and retrieval processes are implicated in the negative priming phenomenon;
the inhibition account which emphasises the encoding process acting on the prime display and the episodic account which focuses on the properties of the probe that enable retrieval of the prime encoding episode are both relevant to a fuller understanding of negative priming effects. In this respect, both accounts are relevant to appreciation of reduced negative priming in schizophrenia as these patients also show deficits in episodic encoding and retrieval (Brebion et al., 1997; Andreasen, 1997) as well as inhibitory processes (see Introduction).
Evidence implicates dopamine as a neurotransmitter with a role in mediating negative priming. However the precise direction and nature of this role is unclear. David (1995) has noted that in the more acute phase, when positive symptoms predominate, reduced negative priming in schizophrenia has been attributed to a hyper-dopaminergic state. However, several lines of evidence oppose such a view. First, there is evidence from normal subjects showing that neuroleptics, that is dopamine antagonists, increase negative priming (Beech, et al., 1990). Second, reduced negative priming has been reported in patients with schizophrenia who were (Beech et al, 1989; Laplante et al, 1992) or were not (Salo et al, 1996) tested while taking neuroleptic medication. For example, Salo et al. (1996) tested 12 patients with schizophrenia withdrawn from neuroleptic medication and found no evidence of negative priming. In contrast, David (1995) found that in a small group of neuroleptic free patients with schizophrenia or affective disorder there was some suggestion that negative priming was present. Third, patients with Parkinson’s disease, a hypo-dopaminergic disorder, fail to show negative priming (Downes et al., 1991). In reviewing the effects of neuroleptics on cognitive function, Spohn & Strauss (1989) concluded that neuroleptics tend to normalize the performance of patients with schizophrenia and reduce distractibility on attentional tasks. This is clearly not the case for negative priming effects. In the present study, all
patients were on neuroleptic medication and none showed any substantial degree of negative priming as observed in the normal controls. Also, the dose of neuroleptics did not show any significant associations with any of the measures of negative priming. Therefore, available information about the contribution of dopamine overstimulation or understimulation to negative priming is inconsistent. Future studies need to evaluate this question more systematically by examining negative priming in early newly diagnosed patients prior to the introduction of neuroleptic medication, chronic treatment with which may in itself alter dopaminergic transmission.
Because of the *post hoc* nature of the group differences, it could be argued that the present results constitute relatively weak demonstration of reduced negative priming in patients with schizophrenia. Future studies should include a larger number of participants and patients with higher ratings of symptoms. Reduced negative priming has been demonstrated for patients with schizophrenia and predominance of positive or negative symptoms, with some studies suggesting that the abnormality of negative priming is greater in those with relatively higher ratings of negative symptoms (Laplante et al, 1992), while others report reduced negative priming in patients with positive symptoms (Park et al, 1996; Williams, 1996). The latter study reported reduced negative priming in subgroups of patients with reality distortion and disorganisation. Park et al. (1996) found reduced negative priming in acute but not chronic patients with schizophrenia. In the present study, there were not enough patients with predominance of positive symptoms vs negative signs to compare negative priming across the subgroups. However, the correlational analysis suggests that higher ratings of bizarre behaviour were associated with less negative priming in the colour mismatch condition. This finding suggests weakened inhibition may contribute to positive symptoms in schizophrenia.
Lavie and colleagues (Lavie & Tsal, 1994; Lavie & Fox 1998) have suggested that high perceptual load in processing of relevant information is a necessary condition for early selection to occur. In normals, evidence has been provided to show that with higher perceptual load, distractor interference is reduced. In relation to negative priming, these authors have shown that manipulating the perceptual load of relevant processing by increasing the set size of the target reduced the amount of negative priming associated with processing of a distractor stimulus (Lavie & Fox 1998). Reduced negative priming in schizophrenia can be incorporated into this view of the relevance of perceptual load to negative priming. It can be suggested that because of capacity limitations (Granholm et al., 1996), perceptual load is higher in schizophrenia than normals across all tasks, so that less or no spare capacity is available to allocate to inhibition of irrelevant/distractor stimuli.
It is possible that in negative priming paradigms selective inhibition of the distractor does in fact occur in schizophrenia but it decays more rapidly compared to normal subjects, such that at the time of the probe trial it produces a less detrimental effect on the subsequent act of selection. As an alternative to this ‘rapid dissipation of inhibition’, it is possible that the ‘strength’ of the initial inhibition is somewhat weaker so that it does not build up rapidly or sufficiently enough to carry over into the subsequent act of selection. In future studies, it should be possible to differentiate between these two alternative explanations of reduced negative priming in schizophrenia: rapidly decaying inhibition vs weakened and delayed build up of inhibition. The interval between trial n and n-1 is important in negative priming tasks and Laplante et al. (1992) have shown that the interval between prime and probe trials affects the degree of negative priming observed in patients with predominance of
positive or negative symptoms of schizophrenia. In future studies, supplementing behavioural investigation of the negative priming effect with recording of event-related cortical potentials which have high temporal resolution and provide ms by ms data will be valuable in providing information about the time course of operation of inhibitory processes between the prime distractor and probe target.
In summary, in normal subjects negative priming was found even when there was no perceptual mismatch between the ignored prime distractor and the target probe, adding support to the findings of Milliken et al. (1994) and Tipper et al. (1995). Post hoc analysis showed reduced negative priming in patients with schizophrenia in conditions with or without perceptual mismatch. This is the first clear and unequivocal demonstration of reduced inhibition in schizophrenia based on reduced negative priming effects.
CHAPTER 7
General Discussion
The results of each study were discussed at length in previous sections. The aim of this chapter is to interrelate the results of the 6 studies in terms of the hypothesis under investigation in order to arrive at some general conclusions.
7.1 Willed Preparation and initiation of action in schizophrenia
Shakow (1962) noted that the disturbance in schizophrenia ‘begins to appear at a level of response where voluntary behaviour is involved’ pointing out that patients with schizophrenia perform more successfully in conditions controlled by an experimenter while controls do better under conditions of autonomy. Frith (1992) has proposed two routes to action, one which is stimulus driven and the other which is internally driven. In the stimulus driven route, perception of a stimulus triggers an action which leads to the production of a response. In the internally driven, or willed action route, goals and plans lead to the production of intentions, which, in turn, lead to initiation of appropriate actions and the suppression of inappropriate actions resulting in an appropriate response. Frith (1992) has also proposed that the signs and symptoms of schizophrenia arise from a dysfunction of the willed action route, but the stimulus driven route remains intact. In patients with negative signs this impairment exhibits itself in poverty of willed intentions, thus limited action. In patients with positive symptoms this impairment exhibits itself as an inability to inhibit inappropriate stimulus driven action and is manifested as context inappropriate behaviour such as errors of commission. Patients with schizophrenia should have an impaired ability to generate movement, but responses to external stimuli (even if inappropriate) should be intact.
The aim of this thesis was to test these hypotheses and add to the evidence that patients with schizophrenia do show impairments in willed action while stimulus driven actions remain intact.
In Study 1 the patients with schizophrenia had significantly slower RTs and MTs than normals across all RT tasks. In the patients with schizophrenia the fully cued CRTs were unexpectedly equivalent to SRT for the 200 ms interval and expectedly for the 1600 ms S1-S2 interval, but not the 3200 or 800 ms intervals. For the normals fully cued CRTs and SRTs were equivalent for S1-S2 intervals of 800 ms or longer. In the fully cued CRT condition the volitional demands of preprogramming involve preparing a different response for each trial and patients showed unusual and inconsistent interval effects particularly longer RTs for an 800 ms S1-S2 interval than following a 200 ms S1-S2 interval, unlike the normals. These results suggest an instability of attentional set, or an intrusion of the automatic stimulus driven response into willed conscious control in the patients with schizophrenia.
In Study 2 the patients with schizophrenia placed fewer pegs and had reduced tapping speed in unimanual and bimanual conditions. Under dual task conditions, the performance of the patients with schizophrenia in peg placement actually improved relative to the unimanual pegboard task, whereas tapping performance deteriorated compared to the unimanual tapping, a decrement that was significantly greater for the patients. Thus the improvement in the visually guided pegboard task was at the expense of the repetitive tapping task.
In study 3 the patients with schizophrenia and high ratings of negative signs had reduced amplitude of MRPs for the late and peak component and reduced slope of the
early and late MRPs prior to self-initiated movements. These differences were not found prior to externally-triggered movements. The patients with schizophrenia with higher ratings of positive symptoms did not differ significantly from the normal controls in terms of amplitude or slope of MRPs prior to self-initiated or externally-triggered movements.
The strongest finding supporting the hypothesis was the results of Study 3. The reduced MRPs prior to self initiated movements seen in the negative patients suggests that the deficits in willed action in these patients may be mediated by dysfunction of the fronto-striatal circuits. Using similar types of movement as in Study 3, in an investigation combining MRPs and measurements of regional cerebral blood flow (rCBF) with PET, Jahanshahi et al. (1995) found that patients with Parkinson’s disease tested off dopaminergic medication had a lower amplitude of the early and peak but not late BP prior to self-initiated movements than age-matched normals, the performance of which relative to a rest condition was associated with underactivation of the putamen, SMA, anterior cingulate, lateral premotor cortex and dorsolateral prefrontal cortex in these patients relative to normals. A similar study in patients with schizophrenia may provide similar interesting functional anatomical results.
The results of Study 1 and Study 2 provide further supporting evidence that movements requiring volitional control are inferior to the stimulus driven movements in patients with schizophrenia. The unusual interval effects for the patients in the fully cued CRT condition suggest that the willed conscious processes of movement initiation may be interfering with RTs following a fully-cued 800ms S1-S2 interval (which allows time for movement preparation in normals), resulting in slower RTs than those following a 200 ms S1-S2 interval (which does not allow time for preparation in normals and is
therefore purely stimulus driven). In the tapping and pegboard bimanual task the patients appear to improve peg placement by using tapping as an external cue. Taken together, these results provide some evidence that willed action is impaired in schizophrenia compared to stimulus driven action.
In Study 1, however, the patients with schizophrenia were able to improve RTs in the SRT condition, compared to the unwarmed and uncued CRT condition. In the uncued and unwarmed CRT no preprogramming is possible and the correct response is selected, prepared and initiated only after presentation of the imperative stimulus, and is therefore a purely stimulus driven task. Faster RTs in the SRT than the CRT condition indicate that the patients were able to use optional and volitional preprogramming in the SRT condition to preprogramme the response prior to presentation of the stimulus. This result was contrary to prediction and may be due to the sample of the patients used. For example, the evidence from the results of Study 3 suggest that impairment in the initiation of willed actions is more prevalent in patients with higher ratings of negative signs. It was not feasible to divide the patients in Study 1 into a ‘positive’ group and a ‘negative’ group, due to the relatively small sample size of 10 and low symptom rating scores. Future studies of SRT-CRT comparisons testing patients with higher symptom ratings and using larger sample sizes may reveal more about the symptom-based differences between patients’ ability to preprogramme responses and to use optional and volitional preprogramming to improve RTs in an SRT condition.
Another possible explanation is that patients with schizophrenia have little or no impairment preprogramming movement in SRT and fully cued CRT conditions with a movement parameter precue. There have been many examples of generalised slowness in patients with schizophrenia (Vinogradov et al., 1998; Wigal et al., 1997; Elkins and
Cromwell, 1994; Nestor et al., 1992; Mannuzza et al., 1984) as found in study 1. In a review of the literature on information processing in schizophrenia, Hemsley (1976) concluded that CRT tasks involving low stimulus-response compatibility are more sensitive to deficits in schizophrenia (Venables, 1958; Slade 1971). Perhaps in Study 1 the high compatibility between the stimulus and response enabled the patients with schizophrenia to preprogramme the response. Repeating this study on a large number of patients will help to determine if indeed the patients with schizophrenia have no difficulty preprogramming response in SRT and fully cued CRT conditions. It would also be beneficial to repeat this paradigm and include a condition with reduced stimulus-response compatibility to determine if the patients are able to utilise highly compatible movement parameter precue information similar to controls but show a greater decrement with incompatible movement parameter precue information compared to controls.
The interesting anomaly of the greatly increased RT for the fully cued CRT conditions with 800 ms ISI needs to be investigated further. A study comparing uncued and fully cued CRT conditions with ISIs of 0, 200, 400, 600, 800, 1000, 1200, 1400 and 1600 ms may reveal an interesting phenomenon about the ability of patients with schizophrenia to use advance information over varying preparatory periods to preprogramme movement. In Study 1 the patients with schizophrenia were able to use the advance movement parameter information provided to preprogramme movement if given 1600 ms after the warning signal to prepare the movement. The patients were significantly more impaired, however if they had 800 ms to prepare movement then if they had 200 ms to prepare. Investigating smaller increments in ISI could pinpoint how much time in an ISI is useful and how much time is detrimental to movement preparation in schizophrenia. Alternatively, Study 1 could be replicated using ERPs which would
provide temporal data in the ms range to clarify the time course of motor preparation in advance of the imperative stimulus for the varying ISIs, that may help clarify the abnormal interval effects for the patients.
In Study 2 the group of patients with schizophrenia had significantly higher levels of depression than the group of controls. An interesting finding of Study 2 is that after controlling for depression and mini mental scores there were no significant decrements in tapping or peg placement for the patients with schizophrenia relative to controls. This suggests that the impairments in performance seen in the patients, were more related to the high levels of depression than the diagnosis of schizophrenia. The existing literature on tapping performance in depression and schizophrenia is contradictory. Depressed patients are reported to have reduced tapping in dual task paradigms that include tapping in conjunction with a cognitive task (Hillis 1998, Volf et al., 1993) and one study found impaired pegboard performance in depressed compared to non depressed HIV positive patients (Hinkin et al., 1992). Patients with schizophrenia are reported to have reduced tapping compared to depressed patients (Harris et al., 1981) but no difference was found between patients with schizophrenia and patients with bipolar disorder on pegboard performance (Hoff et al., 1990). It is therefore possible that the impairments seen in Study 2 are in part due to depression. To ascertain this, Study 2 could be replicated by comparing patients with schizophrenia, patients with major depression, and a group of normal controls or patients with high vs low depression to tease out if impaired dual task performance is associated with schizophrenia, depression, or both.
A second interesting, and unexpected finding of Study 2 is that higher ratings of the positive symptom of incoherence were associated with reduced peg placement in the
dual task condition. While reduced peg placement has been reported in patients with schizophrenia (Flashman et al., 1996; Classen and Laux, 1991) and patients with Parkinson’s disease (Limousin et al., 1999; Brown and Jahanshahi, 1998; Brown et al., 1993) there have been no reports of impaired peg placement associated specifically with any of the positive symptoms of schizophrenia, either psychotic or disorganised. It has been shown that decreased motor activity is associated with negative signs and increased motor activity is associated with the disorganised positive symptoms (Johnstone and Frith, 1996). This finding requires replication with a larger number of patients with schizophrenia, one group with high ratings of disorganised positive symptoms (thought disorder, bizarre behaviour, incoherence) one group with high ratings of psychotic positive symptoms (hallucinations and delusions) and one group with high ratings of negative signs (alogia, avolition, flattened affect).
7.2 Willed Suppression in Schizophrenia
Studies 1, 2 and 3 provided evidence that patients with schizophrenia have impaired performance on tasks requiring self-initiated movements, while their stimulus driven movements are intact. Studies 4, 5 and 6 were designed to determine if the patients with schizophrenia are impaired in tasks requiring the use of willed suppression to inhibit stimulus driven behaviour when it is more or less automatic, yet inappropriate.
In Studies 4 and 5 the patients with ‘high symptoms’ had significantly slower RTs than the controls in SRT conditions, however, group differences in RTs of the CRT conditions only approached significance. The patients with ‘high symptoms’ in Studies 4 and 5 were unable to use the volitional and optional preprogramming in the SRT and were therefore significantly slower than the controls. In the stimulus driven CRT conditions of Studies 4 and 5 the patients with ‘high symptoms’ were only marginally
slower than the controls. If these results are compared to the SRT-CRT comparison of Study 1, we see that higher symptom ratings may be crucial to volitional impairments. As the patients were high on both positive symptoms and negative signs, however, it is not clear whether it is one set of symptoms or both which has a greater association with the impairment.
Impaired performance on the no-go tasks of Studies 4 and 5 were associated with impaired performance on the cognitive tasks requiring response suppression. These correlations suggest that the go no-go tasks and the cognitive tasks may both be tapping some common ability to inhibit or suppress inappropriate responses for selection or release of the appropriate response.
Patients with frontal lobe damage are impaired on no-go tasks (Drewe, 1975; Leinkuhler and Mesulam, 1985; Godefroy et al., 1996). As an increased number of errors in the no-go tasks correlated with impaired performance on the tasks of ‘frontal’ function, the results suggest that the go no-go paradigm is a valid tool for investigating frontal impairment in patients with schizophrenia. It is possible that because of the low symptomatic state the sample of patients were not representative of the population of patients with schizophrenia, as there was little impairment seen in the frontal lobe tasks, in which patients with schizophrenia, traditionally, perform poorly.
The surprising finding of Study 4, that RT was fastest in CRT3 for both patients and controls, could have been avoided by utilising a pilot study in a group of normal controls. The paradigm could then have been altered to more closely resemble the original study by Cooper et al. (1994), who used a tone as one of the experimentally manipulated stimulus dimensions. However, when designing the study, we decided
against the use of a tone because of the ‘modality shift’ effect in schizophrenia. This refers to the finding that a shift from a visual stimulus to an auditory stimulus lengthens RT in schizophrenia to a greater degree than in normal controls (Ferstl et al., 1994, Mannuzza, 1980).
Another area of interest regarding studies 4 and 5 is the effect of the interstimulus interval on RT in schizophrenia which was shown to be important in distinguishing patients from normals in Study 1. There was no warning signal in the go no-go RT tasks, but there was a time delay of .5, 1 or 2 seconds between the disappearance of the fixation cue and the appearance of the imperative stimulus. It would be interesting to repeat the study using a fixation-cue-imperative cue interval of 200, 800, and 1600 ms in order to see if a similar 800ms interval anomaly is found in the no-go study as was seen in Study 1. In addition, the no-go study could be repeated with warning signals and the effect of ISIs of 200, 800, and 1600 ms could be investigated.
In Study 6 the controls exhibited spatial negative priming, as defined by slowed RTs that occur when an ignored distractor stimulus in a first trial becomes the target stimulus in the subsequent trial. The patients with schizophrenia did not exhibit spatial negative priming in the condition for which the identity of the prime distractor matched or did not match the colour of the probe target. As this was the first study of negative priming in patients with schizophrenia to control for the possible artifact of perceptual mismatch, the results here signify that reduced spatial negative priming in schizophrenia can unequivocally be attributed to a failure of inhibition. This argument for failed inhibition is based on significant post hoc tests in Study 6, as the main interaction effect of Group and Condition was not significant. However, the lack of strong results may be due to mild symptom ratings in the patient group, but when the reduced spatial negative
priming found in the patients of Study 6 is considered in conjunction with the impaired inhibition of habitual responses on some of the cognitive tasks required willed suppression in Studies 4 and 5 and the increased number of errors of anticipation and commission in Study 4, this suggests that patients with schizophrenia fail to wilfully inhibit stimulus-driven behaviour.
It was interesting that the higher ratings of bizarre behaviour were associated with reduced spatial negative priming in the colour mismatch condition of Study 6. This finding suggests weakened inhibition may contribute to positive symptoms in schizophrenia, especially the disorganized symptoms. Disorganisation has been associated with increased errors of commission on the Continuous Performance Test (Johnstone and Frith, 1996), also indicative of weakened inhibition. Given these findings it is surprising that there was no association between errors of commission in Study 4 and 5 and any of the disorganised positive symptoms. Again, this may be due to the relatively small sample size and low symptomatology. It would be interesting to administer the negative priming, no-go RT tasks, and cognitive tests requiring inhibition to a larger group of patients, with one subset having high rates of negative signs and one subset having high rates of disorganised symptoms and one subset having high rates of psychotic symptoms, to determine if it is possible to differentiate among the performances of the three groups. It would be predicted that patients with high ratings of negative signs would have the slowest RT of the three groups reflecting psychomotor poverty and the patients with high ratings of disorganised symptoms would have the greatest number of errors of commission in the no-go and cognitive inhibition tasks and the greatest reduction in spatial negative priming effect in the negative priming study, reflecting impaired inhibition.
The reduced inhibition in spatial negative priming found in Study 6 resembles the findings of the Kamin blocking effect (Lubow, 1982) and latent inhibition (Lubow et al., 1982). In the spatial negative priming paradigm patients with schizophrenia show less interference from the prime stimulus-response pairing than the controls, similar to the findings of the Kamin blocking effect (Lubow 1982) and latent inhibition studies (Lubow et al., 1982). Also higher ratings of bizarre behaviour were associated with a greater reduction of the spatial negative priming effect in patients with schizophrenia linking the phenomenon of reduced stimulus-response pairing with positive, disorganised symptoms.
This interesting finding of reduced spatial negative priming in patients with schizophrenia and its link to the disorganised symptom of bizarre behaviour supports the lateralization theory (Gruzelier, 1984), according to which the active syndrome in schizophrenia is associated with poorer spatial than verbal performance (Gruzelier et al., 1988; Gruzelier 1991). It would be very interesting to repeat the spatial negative priming study and include a test of verbal performance to see if a double dissociation occurs between the patients with negative signs and the patients with disorganised symptoms. Based on the laterality theory (Gruzelier et al., 1988; Gruzelier 1990) and the findings of Study 6, it would be predicted that the patients with disorganised symptoms would show a greater reduction in spatial negative priming than the patients with negative signs while the patients with negative signs would be more impaired on the verbal task than patients with disorganised symptoms.
7.3 Possible Anatomical Substrates of Cognitive Deficits
It is generally accepted that the frontal lobes are responsible for ‘executive function’ such as those which involve planning, decision making, error correction, inhibiting habitual responses (e.g. Shallice, 1988) and that patients with schizophrenia are impaired on various tests of executive function (e.g. Goldberg et al., 1989, Liddle et al., 1991). In schizophrenia impaired prefrontal activation during performance of tasks requiring volitional control (Weinberger et al, 1988; Andreasen et al, 1992; Seidman et al, 1994), reduced activation of the SMA (Schroeder et al, 1994) and an association between poverty of action and decreased rCBF in the dorsolateral prefrontal cortex and increased rCBF in the caudate (Liddle et al, 1992) have been reported. Patients with schizophrenia and poverty of speech have shown reduced activation of the left DLPFC (Dolan, et al., 1993). Compared to a word repetition task, a word generation task was associated with increased activity in the left dorsolateral prefrontal cortex and the anterior cingulate cortex and decreased bilateral activity of the superior temporal cortex in normals. Patients with schizophrenia failed to show the reduced activity in the left temporal cortex (Dolan et al., 1995; Frith et al., 1995) suggesting that fronto-temporal connectivity is impaired. Patients with schizophrenia with high error rates on the anti-saccade task, a task requiring inhibition of automatic eye movements, showed reduced activation of the anterior cingulate, insula and the left striatum (Crawford et al., 1996). Jahanshahi and Frith (1998) have provided strong support for the involvement of the fronto-striatal circuits in willed action. Therefore, it is possible that the deficits in willed initiation and suppression of action observed in some studies in the present series would be mediated by the fronto-striatal circuits.
7.4 Symptom Severity and Neuropsychological Results
The effects of the clinical signs and symptoms of schizophrenia on cognitive function have been investigated with varying results. In some studies it has been found that patients rating high on positive symptoms were impaired on tasks requiring them to monitor their own self generated actions (Frith and Done, 1989; Mlakar et al., 1994) and that the positive symptoms of thought disorder were related to neuropsychological impairment but negative signs were not (Dickerson et al., 1991). Other studies have found that greater neuropsychological impairments correlated with ratings of negative signs (Braff et al., 1991; Kay et al., 1986; Merriam et al., 1990), while still others show no relation between symptoms and neuropsychological performance on tests such as the WCST (Green et al., 1992) the Stroop task or the California Verbal Learning Test (Hoff et al., 1992). Green (1996) found that instead of symptom severity, tests such as WCST and CPT were associated with functional outcome in terms of community living and skill acquisition (Mortimer 1997).
7.5 The Limitations of the Present Studies
The results of the Studies 1-6 provide some evidence that patients with schizophrenia are impaired on tasks requiring willed action while stimulus driven action remains intact, and the impaired performance in patients with schizophrenia may reflect frontal lobe impairment and may be linked with symptom severity. These findings, however, were not as consistent across the different tasks in the six studies as expected. This suggests that the tasks used in the six studies differed in their sensitivity to unravel deficits in willed initiation or suppression of action in schizophrenia. A second consideration in light of well recognised high individual variability in schizophrenia
samples is the relatively small sample size. Frith (1992) has noted that many psychological studies of schizophrenia suffer from the fact that large groups of patients are often used who have symptoms and signs which vary greatly from subject to subject. If certain signs and symptoms are related to specific cognitive deficits, then an averaged score from a particular test based on a large heterogeneous group may provide misleading results. Evidence for this has been provided by Liddle and Morris (1991) who have shown that patients whose signs and symptoms cluster into different categories perform differently on neuropsychological tests. Attempts were made in the current studies to recruit patients either with high levels of negative signs or high levels of positive symptoms. There were difficulties in obtaining large numbers of patients fitting these criteria mainly because, those individuals suffering from high levels of avolition are not willing to participate in research studies and those individuals suffering from high levels of psychotic symptoms are hospitalised and therefore not testable. The patients with schizophrenia who volunteered for these studies were mostly outpatients, many of whom had responsibilities such as part-time jobs or families. Consequently the patients used had relatively low levels of symptom ratings. This may have been an important factor contributing to the lack of more clear-cut deficits in Studies 4,5 and 6.
Another potential shortcoming of the current series of studies, particularly evident in Study 2, was the use of normal controls as the only comparison group. Using another patient population such as depressed patients would allow for the possible confounding effects of hospitalisation and long-term illness to be accounted for.
It has been suggested that results from neurocognitive or psychophysiological tests are more informative about the processes seen in the short-term state variables than the long-term trait variables of schizophrenia (Johnstone and Frith, 1996). The results of
Studies 1 - 6 offer some support of this. The patients with high ratings of negative signs in Study 3 had a greater reduction in slope and amplitude of the MRP prior to self-initiated movements than the patients with high ratings of positive symptoms. It is possible, that retesting any of the ‘positive’ patients when their positive symptoms have decreased and their negative signs have increased will result in reduced slope and amplitude of the MRP prior to self-initiated movements compared to their current results. The patients used in Studies 1, 2, 4, 5, and 6 had relatively low ratings of symptoms and were only mildly impaired on the tasks. Three conclusions could be drawn; the first is that patients with schizophrenia are not impaired in willed initiation or inhibition of action. The second possible conclusion is that the tasks used are not tapping the impairments, if there are any, in the willed initiation and inhibition of action in patients with schizophrenia. The third possible conclusion is that the samples used were not representative of the population of patients with schizophrenia. The patients with schizophrenia used in these studies, were only mildly impaired. The second conclusion is unlikely as some of the same tests (SRTs and CRTs, pegboard and tapping, movement related potentials) have been used to assess patients with Parkinson’s disease and shown to be sensitive to impairments of willed action in this disorder in previous studies (Jahanshahi et al., 1992; Brown et al., 1993; Brown and Jahanshahi, 1998; Jahanshahi et al., 1995). In relation to the first and the third conclusion, the only way to confirm or refute the presence of impaired performance of the initiation and inhibition of actions in schizophrenia is to repeat the studies with very large samples of patients to allow for the heterogeneity in performance found in these patients. Such large sample sizes were unattainable in the current situation. In addition, functional imaging techniques such as PET or fMRI can be used to further investigate willed action in schizophrenia. All of the studies conducted in this thesis, with a few methodological adjustments, could be feasible as imaging studies. Observing patterns
of brain activation associated with task performance may offer more insight into the differences between patients with schizophrenia and controls on performance of willed action and the differences between those with high negative or positive symptoms within the patient group.
7.6 Conclusion
This thesis has provided some clear support for the hypothesis that patients with schizophrenia have impairments in willed action. First, in patients with negative signs this was seen as reduced MRPs prior to self initiated movement. Second, in a dual task condition requiring volitional controls of performance, patients used external pacing from the tapping task to improve performance in peg placement. Third, the patients exhibited inconsistencies of ‘set’ in fully-cued CRT tasks with varying S1-S2 intervals. Impairments in willed action can also be expressed as an inability to suppress attention to external stimuli. Some albeit less strong evidence of such an impairment in patients with schizophrenia was observed by (i) the increased errors of commission in the go no-go task for patients with ‘high symptoms’ as well as (ii) the finding that unlike normals whose RT was affected by the number of non-target no-go stimuli, the patients with ‘low symptoms’ were most affected by the degree of dimensional overlap between the go and no-go stimuli and finally (iii) reduced spatial negative priming not attributable to perceptual mismatch and indicative of failure of inhibition.
Future studies with other relevant experimental tasks for assessing willed initiation and suppression of action on larger sample sizes, patients with higher severity of symptom ratings, and using groups of patients who are homogenous in terms of symptoms could be informative. Functional imaging studies could be also informative. In effect, we (Jahanshahi, Dirnberger, Fuller, and Frith, 1999) are conducting a study examining the
functional anatomy of random number generation, a willed action task that requires response selection through suppression of habitual counting, in patients with schizophrenia. The preliminary results suggest that during RNG the patients do not show the significant activation of the left dorsolateral prefrontal cortex, the SMA, and the anterior cingulate, observed in normals. Future imaging studies of go no-go RT tasks in schizophrenia may shed light over the differences in brain activation in patients relative to normals.
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Reprints of Publications
Concurrent performance of motor tasks and processing capacity in patients with schizophrenia
Rebecca Fuller, Marjan Jahanshahi
Abstract
Any task is carried out more successfully if we allocate undivided attention to it, but as demands on attentional capacity increase—for example, in concurrent or dual task conditions—performance on attended tasks becomes more impaired. Patients with schizophrenia show impaired performance on tasks requiring high levels of attentional capacity. This study examines performance in 11 patients with schizophrenia and 13 normal controls on two motor tasks (placing pegs in a pegboard and repetitive index finger tapping) under unimanual, bimanual, and dual task conditions. The patients with schizophrenia placed fewer pegs and had reduced tapping speed in unimanual and bimanual conditions. However, the decrement in bimanual performance as a percentage of unimanual performance was not significantly different for the patients and controls on either the pegboard or tapping tasks. By contrast, under dual task conditions, the performance of the patients with schizophrenia in peg placement actually improved relative to the unimanual pegboard task, whereas tapping performance deteriorated compared with the unimanual tapping, a decrement that was significantly greater for the patients. Thus the improvement in the visually guided pegboard task was at the expense of the repetitive tapping task.
These results are discussed in terms of an impairment of self initiated movement with general sparing of externally triggered movements in schizophrenia and the role of frontostriatal loops in this process.
Keywords: schizophrenia; dual task; processing resources; finger tapping; Purdue pegboard
Any task is carried out more successfully if we allocate our undivided attention to it. As demands on attentional capacity increase—for example, in concurrent or dual task conditions—performance on attended tasks becomes more impaired. The degree to which a task is impaired, however, depends on the amount of attentional capacity it demands. An automatic task would not interfere with a more demanding task but there would be interference of one very demanding task on another.
Schizophrenia is a psychiatric disorder characterised by positive symptoms (for example, hallucinations and delusions) and negative signs (for example, flattening of affect, poverty of speech, and social withdrawal). It has been suggested that cognitive load increases, patients with schizophrenia show greater task impairment than normal subjects, signifying resource limitations in this disorder. One way to test the effects of increasing cognitive load is to compare performance on dual task with single task conditions. It would be expected that the degree of performance decrement in a dual task compared with a single task condition would be greater in patients with schizophrenia than in controls, due to the patients' limited resources and hence inability to adequately handle the increased cognitive load. There is evidence that under dual task conditions, patients with schizophrenia are differentially more impaired than normal subjects and other psychiatric patients. These studies used a simple reaction time task and tests of cognitive skill, such as a visual search task or counting.
Another way to investigate attentional processing capacity in schizophrenia is to assess concurrent performance of motor tasks such as finger tapping and peg placement, which differ in terms of their attentional demands. Peg placement as in the Purdue pegboard task involves sequential movements such as grasping and picking a peg up, followed by its transport and insertion into the holes on the pegboard. Because of its visually driven nature, performance on the pegboard tends to gain prominence over repetitive index finger tapping, which can be performed in a more automatic fashion. As a result, in normal subjects, when performed concurrently, finger tapping interferes relatively less with peg placement, whereas concurrent peg placement affects finger tapping more.
The aim of this study was to examine processing resources in schizophrenia by comparing the performance of two motor tasks, tapping and pegboard placement, under unimanual, bimanual, and dual task conditions in patients with schizophrenia and normal controls.
Performance of the two groups on the tapping and Purdue pegboard tasks (mean (SD)) under unimanual, bimanual, and dual task conditions
| Task | Schizophrenic patients | Normal controls | p Value | *p* Value |
|-----------------------------|------------------------|-----------------|---------|-----------|
| Pegboard unimanual | 13.1 (2.3) | 16.3 (1.8) | <0.01 | <0.05 |
| Pegboard bimanual | 11.3 (2.8) | 14.1 (1.7) | <0.01 | 0.08 |
| % Of unimanual pegboard | 85.4 (10.3) | 87.2 (7.6) | 0.53 | 0.74 |
| Tapping unimanual | 145.5 (19.0) | 172.8 (20.1) | 0.06 | 0.14 |
| Tapping bimanual | 132.8 (38.7) | 165.2 (26.4) | <0.03 | 0.26 |
| % Of unimanual tapping | 92.7 (15.0) | 94.9 (9.8) | 0.77 | 0.59 |
| Pegboard with tapping | 13.3 (2.5) | 15.0 (1.7) | <0.04 | 0.30 |
| % Of unimanual pegboard | 101.3 (3.2) | 92.5 (8.7) | <0.02 | 0.10 |
| Tapping with pegboard | 109.8 (19.8) | 149.4 (23.3) | <0.01 | 0.07 |
| % Of unimanual tapping | 71.2 (22.5) | 86.8 (9.8) | 0.05 | 0.26 |
| PEGb÷PEGc | | | | |
| % Subjects showing improvement | 45.5 | 15.4 | | |
| % Subjects showing no change | 27.3 | 7.7 | X²(2)=5.92 p=0.05 |
| % Subjects showing deterioration | 27.3 | 76.9 | | |
*Results of one way ANCOVA with MMS and BDI score as covariates.
Method
SUBJECTS
Eleven (two female, nine male) subjects with a clinical diagnosis of schizophrenia according to the DSM III-R criteria were tested. Each was seen in the outpatient at the National Hospital for Neurology and Neurosurgery. Each patient was rated on the Krawiecka Manchester scale, a four point standardised psychiatric assessment scale for current positive and negative symptoms. The mean score for positive symptoms (incoherence, delusions and hallucinations) was 2.0 and the mean score for negative signs (poverty of speech, flattened affect, and psychomotor retardation) was 2.2. The mean age for the patients was 38.5 (range 27–55). As a group, the patients with schizophrenia were chronically ill, with a mean duration of illness of 14.2 (SD 7.4) years. All patients except two were on medication with nine on neuroleptic drugs (mean dose 375.6 (SD 142.3) mg. Thirteen (five female, eight male) healthy normal subjects with a history of no psychiatric or neurological illness, head injury, or drug misuse were tested. Their mean age was 38.15 (range 21–62). All subjects were right handed. To screen for cognitive deficits, the mini mental state examination was administered to all subjects. None of the subjects scored below the cut off point indicative of cognitive deficit.
PROCEDURE
Detailed descriptions of procedures are given by Brown et al. All subjects performed finger tapping and the Purdue pegboard task under unimanual, bimanual, and dual task conditions. In this task, subjects are required to place metal pegs (3 mm×25 mm) in a vertical row of holes, as quickly as possible for a 30 second period. Subjects performed the task with each hand separately, and then bimanually. The measures of unimanual and bimanual performance were the mean number of pegs placed with the left and right hands under each condition.
The second task was repetitive index finger tapping. Subjects were required to continuously tap a 25 mm button as quickly as possible for a 30 second period. The button activated a 150 g standard microswitch. The task was performed with each hand separately and bimanually. As with the pegboard, the measures of unimanual and bimanual performance were the mean number of taps with the left and right hands under each condition.
Subjects also performed a combined bimanual task. This involved tapping with one hand and placing pegs with the other. The task was performed twice, once with each hand-task combination each time for 30 seconds. The average of the two tests was calculated for each task. For all conditions the measures of bimanual performance were expressed as percentages of unimanual performance (for example (PEGb÷PEGc)×100). In the combined task condition, subjects were instructed to perform both tasks at the same time as fast as they could and not to concentrate on one to the exclusion of the other.
The order of the tests was randomised across subjects. All subjects were assessed on the Beck depression inventory (BDI).
Results
The mean ages of the two groups did not differ significantly (F(1, 23)=0.032, p=0.87). The mean of the MMS scores for the patients was 28.2 (SD 2.5) and for the controls 29.9 (SD 0.3). The difference between the two groups was significant (F(1,23)=6.35, p=0.02). The mean score on the BDI for the patients was 14.2 (SD 3.3) and for the controls was 4.5 (SD 5.1), a difference which was significant (F(1, 22)=9.20, p<0.01). The group differences in task performance were analysed both with and without MMS and BDI scores as covariates.
The table shows the mean performance of the two groups for each of the test conditions, as well as the performance of the bimanual conditions as a percentage of unimanual task performance. Also shown are the results of one way analyses of variance (ANOVA) and covariance (ANCOVA).
For the pegboard task, the patients with schizophrenia had significantly slower performance than the controls for the unimanual and bimanual tasks. The number of pegs placed in the bimanual condition as a percentage of the unimanual condition did not differ significantly between the two groups. Similar results were found for the tapping test. While tapping bimanually the patients were significantly slower than the controls and the difference approached significance (p=0.06) for unimanual tapping. But when bimanual
tapping was considered as a percentage of uni-
manual performance, the two groups did not
differ significantly.
Under dual task conditions of concurrent
tapping and peg placement an interesting
pattern of results emerged. The absolute num-
bers of pegs and taps were significantly
different between the patients and the normal
subjects, with the patients having fewer taps
and placing fewer pegs in the dual task condi-
tion. The patients and controls also differed
significantly in terms of percent change from
the unimanual performance. However,
relative to performance on the pegboard test
alone, the patients with schizophrenia showed
improved performance on the pegboard under
the dual task condition, whereas the perfor-
mance of the normal subjects was worse. Also,
the patients with schizophrenia showed a
significantly greater drop in tapping perform-
ance under dual task conditions than the
normal subjects.
Under dual task conditions, for the pegboard
task, we examined the distribution of the
absolute difference (pegs placed in bimanual
task—pegs placed in bimanual dual task) for
individual subjects in each group. This showed
that peg placement in the dual task condition
improved in 45% of the patients and in 27%
and deteriorated in 27% of the group with
schizophrenia, whereas performance on the
pegboard under the dual task condition
improved in only 15%, remained constant in
8%, and deteriorated in 77% of the controls.
These proportions were statistically different
across the two groups ($\chi^2=5.82$, df=2, $p<0.05$).
When the group differences in MMS and
BDI scores were covaried out, only the group
differences in the unimanual pegboard re-
mained significant.
CORRELATIONAL ANALYSIS
For the patients with schizophrenia ratings of
positive symptoms ($r=-0.64$, $p<0.05$) and
negative signs ($r=-0.68$, $p<0.03$) negatively
correlated with bimanual pegboard placements.
However, our ratings of negative signs showed
significant negative correlations with pegboard
placement ($r=-0.72$, $p<0.02$) and tapping
speed ($r=-0.65$, $p<0.05$) in the dual task con-
dition. The dose of neuroleptic medication did
not significantly correlate with any of the
measures of task performance.
Discussion
The results show that patients with schizophre-
nia were significantly slower than the normal
controls—they placed fewer pegs and had
reduced tapping speed in unimanual and
bimanual conditions. However, despite this
overall slowness, the decrement in bimanual
performance as a percentage of unimanual
performance was not significantly different for
the patients and controls on either the
pegboard or tapping task. This suggests that
although motor abnormalities such as poverty
of action, perseverative movements, and
motor slowness, reflected in slower reaction
time and movement time in patients than in
normal controls, have been reported in
schizophrenia; patients with schizophrenia do
not have major deficits in bimanual coordina-
tion. By contrast, in a previous study in Parkin-
son’s disease the patients showed greater
decline in bimanual performance than normal
subjects.
An interesting finding is that under dual task
conditions, the performance of the patients
with schizophrenia in peg placement actually
improved relative to the unimanual pegboard
test. The patients with schizophrenia were able
to place more pegs while performing a second-
ary task with their other hand. By contrast, the
tapping decreased compared with the uni-
manual tapping, a decrement that was signifi-
cantly greater for the patients. Thus the
improvement in the visually guided pegboard
task was in the absence of the tapping task.
Similar results have been found in patients with
Parkinson’s disease.
Previous studies have reported that patients
with schizophrenia show impaired reaction
times when the simultaneous cognitive task is
increased, thus implying limited attentional
processing capacity. Why does performance
on the visually guided task improve in
patients with schizophrenia under dual task
conditions? Brown and Jahanshahi provided
two possible explanations for the improvement
obtained in patients with Parkinson’s dis-
ease. The first is that for each task there may be
an optimal level of attention such that too
much attention is detrimental to skilled per-
formance. For example, thinking about indi-
vidual movements can impair smooth motor
control and execution, such as when running
down stairs; or golfers can greatly impair their
putts by thinking about each single movement
in the motor sequence. It is possible that under
dual task conditions, by removing some of the
“excess” attention from the tapping task, the
attentional allocation to peg placement optimal
for the patients so that performance on the sec-
ond task improves. The second explanation is
that in the light of the deficits in schizophrenia
in internal generation of action with relative
normality in stimulus processing, rhythmic
rhythting tapping acts as an external pacing
cue that improves the visually guided peg-
board. Thus it is possible that the patients are
improving peg placement by using the rhythm
of tapping as a pacing stimulus. Brown and
Jahanshahi suggested that the first explanation
can be tested by varying the cognitive load of a
non-motor secondary task—for example, mental
arithmetic—whereas the second explanation
can be tested by manipulating the timing
characteristics of the rhythmic tapping task.
For patients with schizophrenia no evidence
relating to these already exists. Granholm et al
used a visual search task, involving pointing at
a screen when a target appeared as the primary
task and a simple reaction time as the second-
ary task. Thus the primary task, although visu-
ally guided, did not demand a motor
output component than the pegboard task in
this study, and the secondary reaction time task
did not involve any rhythmic cueing. The
patients with schizophrenia did not improve
performance on the primary visual search task
in the dual task condition but in fact showed a greater secondary task decrement (reaction time slowing) than controls in the highest processing load dual task condition. Therefore, in the present study it is more likely that the patients are using the rhythmic finger tapping as an external cue to improve performance of the visually guided task.
There is evidence that, as suggested by Frith, patients with schizophrenia, especially those with high ratings of negative signs, are impaired at self-initiated but not externally triggered movements. Bimanual peg placement and tapping and peg placement under dual task conditions, were significantly associated with higher rates of negative signs, suggesting that patients with higher negative signs are more impaired on tasks which load on attentional capacity increases. The fact that covarying OMMs and BDI scores eliminated all significant differences between the patients and normal subjects suggests that the impairments in performance seen in our group with schizophrenia are associated with high levels of depression and cognitive impairment.
In a recent review of evidence from various sources, Jahanshahi and Frith suggested that intentional or self-initiated actions (willed actions) are controlled differently from non-intentional, stereotyped actions that are externally triggered by environmental stimuli. The authors also proposed that willed actions are controlled by a network of frontal cortical (dorsolateral prefrontal cortex, supplementary motor area, anterior cingulate), and subcortical (thalamus and basal ganglia) areas. Both Parkinson’s disease and schizophrenia are characterised by symptoms such as akinesia or poverty of action and speech, deficits that reflect impairment of willed actions. Despite similarities, differences between patients with schizophrenia and Parkinson’s disease are also evident. In our study of patients with Parkinson’s disease an improvement for peg placement at the expense of tapping was similar to that in the present study, but the patients with Parkinson’s disease did show a greater impairment in the bimanual tasks than unimanual tasks compared with normal subjects; which was not found for the patients with schizophrenia. The similarity in the dual task condition between the two patient groups with prefrontal involvement may reflect the greater dependence of both groups on visual signals and their reliance on rhythmic tapping as an external cue to improve peg placement.
In conclusion, the results of the current study showed, relative to normal subjects, a qualitatively different pattern of motor performance in patients with schizophrenia under dual task conditions which was associated with higher ratings of negative signs.
We thank Professor Maria Ron for allowing us to study patients under her care. The financial assistance of the Wellcome Trust is gratefully acknowledged.
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Impairment of willed actions and use of advance information for movement preparation in schizophrenia
Rebecca Fuller, Marjan Jahanshahi
Abstract
Objectives—To assess willed actions in patients with schizophrenia using reaction time (RT) tasks that differ in the degree to which they involve volitionally controlled versus stimulus driven responses.
Methods—Ten patients diagnosed with schizophrenia and 13 normal controls of comparable age were tested. Subjects performed a visual simple RT (SRT), an uncued four choice reaction time (CRT), and a fully cued four choice RT task. A stimulus 1(S1)—stimulus 2(S2) paradigm was used. The warning signal/precue (S1) preceded the imperative stimulus (S2) by either 0 (no warning signal or precue) 200, 800, 1600, or 3200 ms.
Results—The patients with schizophrenia had significantly slower RTs and movement times than normal subjects across all RT tasks. The unwarmed SRT trials were significantly faster than the uncued CRT trials, however, within both groups, fully cued CRTs were significantly faster than the uncued CRTs. However, the S1–S2 interval had a differential effect on CRTs in the two groups. For the normal subjects fully cued CRTs and SRTs were equivalent when S1–S2 intervals were 200 ms or longer. A different pattern of effects was seen in the patients with schizophrenia, for whom the fully cued CRT were unexpectedly equivalent to SRT for the 200 ms interval and expectedly for the 1600 ms S1–S2 interval, but not the 3200 or 800 ms intervals.
Conclusions—Patients with schizophrenia appear to use advance information inherent in SRT or provided by the precue in fully cued CRT to speed up RT relative to uncued CRT. However, in the latter task, in which the volitional demands of preprogramming are higher since a different response has to be prepared on each trial, patients show some abnormal and inconsistent interval effects suggesting instability of attentional set. It is possible that future studies using RT tasks with higher volitional demands in patients with predominance of negative signs may disclose greater deficits in willed action in schizophrenia.
Schizophrenia is a psychiatric disorder characterised by various symptoms. Positive symptoms are those that patients experience and by their presence distinguish patients from normal, such as thought disorder or hallucinations. Negative signs exist when the patients lack some element of normal behaviour—for example, flattening of affect, reduction of speech, and social withdrawal. Fritschi has suggested that the signs and symptoms of schizophrenia such as poverty of action or stereotyped action reflect a dysfunction of “willed” actions, whereas the processes involved in “stimulus driven” actions are relatively intact. This means that patients can perform routine acts elicited by environmental stimuli, but have difficulty in producing spontaneous behaviour in the absence of external cues.
One way of testing the hypothesis of impairment of willed actions in schizophrenia is to examine the speed of stimulus initiation in reaction time (RT) tasks that differ in the extent to which they require volitionally prepared versus stimulus driven responses. In simple RT (SRT) tasks the same stimulus is presented across trials, and requires the same invariable response. The stimulus-response linkage provides the subject with the option of preparing the response before presentation of the stimulus—that is, to preprogramme it. In SRT, this preprogramming is an optional and volitional process, which has been shown to require attention as it is susceptible to interference from the concurrent performance of a secondary task. By contrast, in the uncued choice RT (CRT) task, in which there are several stimuli each indicating a different response, the response is elicited by presentation of the imperative stimulus. In uncued CRT, the response is selected and programmed after presentation of the stimulus, so it is considered to be stimulus driven. Volitional preprogramming is not possible in uncued CRT, but is a requirement in fully precued CRTs. In a fully cued CRT task a precue provides the subject with full advance information about the particular response required on that trial that allows its selection and preprogramming before the presentation of the imperative stimulus. In SRT and the fully cued CRT differ on one important factor: stimulus-response (S-R) variance. In the SRT the stimulus and response are the same on every trial, therefore the subject can preprogramme the same response for every trial. In the fully cued CRT, although full movement information is provided by the
precue, the subject must preprogramme a different response for each trial.
There have been studies of RTs in schizophrenia since the 1930s. The most consistent finding is that schizophrenic patients have significantly slower RTs than normal controls. Another possible finding is the "cued over effect" (COE), reported as far back as the 1940s. In normal subjects, in a simple RT (SRT) task, if the interval between the warning signal (S1) and imperative stimulus (S2) is short (less than seconds), responses are initiated faster on trials where the S1–S2 interval is kept constant or blocked rather than presented randomly across trials. This improved performance is thought to be due to the temporal predictability of the imperative stimulus. However, with blocked S1–S2 intervals, normal subjects have similar RTs regardless of whether the S1–S2 intervals are random or blocked. Patients with schizophrenia generally show the same RT benefit from temporal predictability when S1–S2 intervals are short. By contrast, when the S1–S2 intervals are long, patients with schizophrenia have slower RTs for the blocked S1–S2 intervals than for the random S1–S2 intervals. This phenomenon is called the COE.
In the COE the patients with schizophrenia are failing to use the advance information provided by the warning signal about the temporal predictability of the imperative stimulus to speed up the response. Few studies have examined the effect of other types of advance information on RTs in schizophrenia—for example, the use of advance movement parameter information contained in a precue that allows volitional preprogramming of the response before presentation of the imperative stimulus. Carnahan et al measured RTs in leukotomised and unleukotomised schizophrenic patients compared with normal controls. Using a version of Rosenbaum's RT paradigm, the authors measured RT in uncued, partially cued, and fully cued four choice RT (CRT) conditions. The two schizophrenic groups showed slower RTs than normal subjects across all RT conditions. The authors concluded that "the leukotomised and the unleukotomised schizophrenics were able to use this advance information to facilitate the speed of their responses in much the same way as did subjects in a normal control group".
The type of information provided by a preparatory signal (S1) can vary. Any signal given a short time before an imperative stimulus will act as a cue for the subject, allowing them to increase their level of alertness and readiness to respond. This facilitation seems to be optimal with a preparatory interval of 200 ms. Alternatively, the preparatory signal may provide advance information about the nature of the response itself. For example, it may inform the subject that they have to press to the upper key with their right hand when the imperative stimulus is presented. In this case it may be referred to as a movement parameter precue. This information potentially allows the subject to preselect and preprogramme a specific response from a number of alternatives, provided there is adequate time between the precue and the imperative stimulus to take action. The amount of reduction of RT by warning stimuli and movement parameter precues also depends on when they are presented relative to the imperative stimulus. Therefore, the interval between the warning signal/precue and the go signal is important in determining the RT facilitation.
The aim of this study was to examine the effects of different types of advance information on RT in schizophrenia: (1) invariance of the stimulus and response in SRT relative to uncued CRT, (2) full advance movement parameter information in a precued CRT task. We were also interested in determining if the effects of the warning stimulus/precue (S1) and the imperative stimulus (S2) had similar or differential effects on motor preparation in schizophrenic patients and normal subjects.
Methods
Design
A mixed between group and within subject design was used. The two groups of subjects, patients with schizophrenia or healthy normal controls, performed a series of reaction time (RT) conditions: simple reaction time (SRT), uncued four choice RT (CRT), fully cued CRT, and retest of SRT. In each RT condition, an S1–S2 paradigm was used. For each condition, trials were either unwarned (S1–S2 interval of 0 ms) or the imperative stimulus followed the warning signal precue, with S1–S2 intervals of 200, 800, 1600, or 3200 ms.
Subjects
The characteristics of the two samples are presented in the table. Ten subjects clinically diagnosed with schizophrenia according to the DSM III R were tested. Each was seen as an outpatient at the National Hospital for Neurology and Neurosurgery. Each patient was rated on a four point standardised psychiatric assessment scale for positive and negative symptoms. Overall, the patients were clinically ill and their symptoms were not very severe. Thirteen healthy normal subjects with no history of psychiatric or neurological illness, head injury, or drug misuse were tested. The mini-mental state examination was administered to all subjects and no one scored below the cut off indicative of cognitive deficit.
Procedure-Reaction Time Tasks
A full description of the procedure is available in Jahanshahi et al Responses were made on a response box with six buttons. The two centre black buttons acted as the home keys. Four inches above and 4 inches below each black button were the response buttons. Stimuli were presented on a 14 inch computer screen. A variation of Rosenbaum's method of measuring RT was used. The subject pressed down the two home keys to begin the trial and a fixation point appeared. The warning stimulus appeared after a variable delay of 1–4 seconds. The imperative stimulus (S2) appeared after
Details of subject groups
| Patients with schizophrenia | Controls |
|----------------------------|----------|
| Sex: | |
| Male | 8 | 8 |
| Female | 2 | 5 |
| Hand: | |
| Right | 10 | 13 |
| Left | 0 | 0 |
| Mean age (y) | 37.9 (6.0)| 38.9 (10.1)|
| Mean mini mental state scores | 28.0 (2.5) | 29.9 (0.6) |
| Mean duration of illness (y) | 13.1 (7.0) |
| Kraepelin scale (KST): | |
| Positive symptoms (range 0–8) | 2.0 (2.8) |
| Negative symptoms (range 0–5) | 2.1 (1.6) |
Neuroleptic drugs: Daily dosage (SD) (n)
Chlorpromazine equivalent: 372.5 mg (151.8) (8)
Anticholinergic drugs:
Dipival equivalent: 150.0 mg (0.0) (2)
Tricyclic antidepressant drugs:
Lofepramine: 140.0 mg (1)
No medication: (2)
Values in parentheses are SD.
The S1–S2 interval (200, 800, 1600, or 3200 ms). On unwarmed trials (S1–S2 interval of 0 ms) there was no warning stimulus.
Three types of error trials were recorded: anticipations (RT ≤ 100 ms), long responses (RT > 3 s), decision errors (incorrect responses in CRT). RT and movement time (MT) from these trials were omitted, and the trials were repeated. The trials on which errors occurred were omitted from calculation of mean RTs, but to ensure equal number of trials across subjects any trials with errors were replaced by administering an additional trial. RT was measured (in ms) as the time between the presentation of the imperative stimulus and the release of the home key. MT was measured (in ms) as the time between releasing the home key and pressing the response key. The mean RT for each condition for each subject were used in the analyses.
Simple reaction time (SRT)
The stimulus and the response were constant across trials within a block. The subject moved from one home key to one response key, and all other keys were covered. Each subject performed two blocks of 50 trials (10 trials per interval), one with each hand first. The order of testing the left and right hands was counterbalanced across subjects in each group—that is, in the groups of patients with schizophrenia half of the subjects performed the test with their right hand first and half used their left hand first. Similarly, within the groups of normal subjects the order of left and right hands was counterbalanced. At the end of the experiment, the SRT condition was presented again to assess possible fatigue or practice effects. Within a block of 50 trials, S1–S2 intervals of 0, 200, 800, 1600, and 3200 ms were randomly presented, 10 trials each.
Four choice reaction time (CRT)
There were two movement parameters, hand (right or left) and direction (up or down). The two conditions were either uncued or fully cued. In each condition there were 75 trials with 15 trials of each of the five S1–S2 intervals randomly mixed in a block. A similar and randomly mixed number of right and left hand responses were incorporated.
Uncued CRT
The warning stimulus consisted of four empty squares appearing to the left and right and above and below the fixation cross. After the S1–S2 interval one square filled which became the imperative stimulus.
Fully cued CRT
One empty square appeared in one of the four possible locations above or below, to the left or right of the fixation point. After the S1–S2 interval the square filled to become the imperative stimulus. Thus the subject knew the precise nature of the required response before the presentation of the imperative stimulus.
Order of testing
The SRT condition was performed first followed by the CRT condition. The order of performance of the CRT conditions was counterbalanced across subjects in each group. We considered counterbalancing more appropriate than randomising because for theoretical reasons we wanted subjects to perform SRT before the CRT tasks so as not to influence the performance of SRT by prior exposure to CRT with movement and responses. Subsequently, we counterbalanced the order of testing of the CRT tasks.
Statistical analysis
Mean RTs were used for further analysis. The data were analysed using the Statistical Program for Social Sciences (SPSS), version 8.0. Differences between RTs for the left versus right hand were examined using repeated measures analysis of variance (ANOVA) with group as the between subjects factor and hand (left, right), condition (SRT, uncued CRT, fully cued CRT), and S1–S2 Interval (0, 200, 800, 1600, 3200 ms) as the within subject factors. For both groups, although RTs for the right hand were significantly faster than those for the left hand, there were no interaction effects of hand with any other variable (group, condition, S1–S2 interval). The data for the left and right hands were averaged for each condition. This average was used in all subsequent analyses.
t Tests were used to further investigate significant interactions in the ANOVAs. When t tests were used equal variances were not assumed. Paired t tests were used to examine within subject measures and independent t tests were used for between group measures.
To compare the difference between the true SRT and CRT conditions, data from the trials with an S1–S2 interval of 0 ms—that is, without a warning signal, were analysed using a repeated measures ANOVA. The between subject factor was group (patients, controls) and the within factor was condition (SRT (0 ms S1–S2 interval) and uncued CRT (0 ms S1–S2 interval)).
To examine the effects of advance movement parameter information on CRT, the differences between the uncued and fully cued CRT were
examined using a repeated measures ANOVA. The between subject factor was group (patients, controls). The within subject factors were condition (uncued CRT, fully cued CRT), and interval (200, 800, 1600, 3200 ms).
The effects of using two types of advance information on RT were examined by directly comparing SRTs which can involve volitional and optional use of advance knowledge about S-R invariance, i.e. preprogramming of the response before stimulus presentation and the fully cued CRT in which the precue provides full information about the specific response required on that trial which allows its selection and preparation before presentation of the imperative stimulus. A repeated measures ANOVA was used with group (patients, controls) as the between subject factor and condition (SRT, fully cued CRT), and interval (200, 800, 1600, 3200 ms) as the within subject factors.
Movement time was analysed using repeated measures ANOVA. The between subject factor was group (patients, controls) and the within subject factors were condition (SRT, uncued CRT, fully cued CRT) and Interval (0, 200, 800, 1600, 3200 ms).
Error data were analysed using Mann-Whitney U tests for the between groups comparisons and Wilcoxon matched pairs test for the within subject analyses.
Results
The two groups did not differ in age ($r=0.25$, $df=21$, $p=0.80$) or male to female ratio ($r'=-0.24$, $df=1$, $p=0.62$). Although the groups differed on scores on the mini mental examination ($r=2.5$, $df=21$, $p=0.05$), no subject scored below the cutoff of 25.
Fatigue effects and learning effects were assessed by comparing SRTs performed at the beginning and end of the session. The controls had a mean RT of 351 (SD 57) ms for the first SRT and a mean RT of 373 (SD 63) ms for the final SRT, a mean difference of 22 (SD 33) ms. The mean RT of the patients with schizophrenia was 442 (SD 105) ms for the first SRT and 474 (SD 119) ms for the final SRT, a mean difference of 17 (SD 21) ms. There was no significant difference between the change in RT between the two groups ($r=0.41$, $df=20$, $p=0.69$).
ERROR DATA
Very few errors of any type were made by the patients or normal subjects. In the SRT for the schizophrenic group, the median number of anticipation errors was 0.10 (range 0.00–0.80) and the median number of long responses was 0.00 (range 0.00–0.10). For the controls, for SRT, the median number of anticipation errors was 0.10 (range 0.00–0.40) and the median number of long responses was 0.00 (range 0.00–0.20). Across the CRT conditions, the schizophrenic group had a median of 0.10 (range 0.00–3.50) anticipation errors, 0.00 (range 0.00–0.30) long responses, and 0.10 (range 0.00–0.10) decision errors. Across the CRT conditions, the controls had a median of 0.01 (range 0.00–0.20) anticipation errors, 0.00 (range 0.00–0.15) long responses, and 0.00 (range 0.00–0.20) decision errors.
A series of Mann-Whitney U tests showed that there were no significant differences between the patients and controls in the number of anticipations, decision errors, or long responses in the various RT conditions ($p>0.05$). Similarly, Wilcoxon matched pairs tests showed that there were no differences in errors between the various RT conditions for the patients with schizophrenia ($p>0.05$). For the controls there were more anticipation errors in the SRT compared with the uncued CRT ($Z=2.5$, $p=0.01$) but not in the fully cued CRT ($Z=1.21$, $p=0.22$) conditions. Also, for the controls there were more anticipation errors in the fully cued CRT than in the uncued CRT ($Z=2.6$, $p=0.01$).
UNWARNED SRT VERSUS UNWARNED AND UNCUED CRT
The mean RTs for the two groups in unwarned SRT and unwarned and uncued CRT conditions are presented in figure 1. The group effect was significant ($F(1,20)=7.94$, $p=0.01$) with patients with schizophrenia having faster reaction times than the controls. The condition effect was significant ($F(1,20)=18.16$, $p=0.001$) with SRTs being faster than CRTs; however the group×condition interaction was not significant ($p>0.1$). To determine if the speeding up of SRT relative to CRT, which is an index of preprogramming was equivalent in the two groups, the differences in RT between the two conditions were examined using paired t tests for each group. The mean differences between the CRT and SRT conditions was 60.3 (SD 50.6) ms for the controls and 69.1 (SD 51.8) ms for the patients with schizophrenia. This unwarned SRT was significantly faster than the uncued and unwarned CRT for both the controls ($t=4.30$, $df=12$, $p=0.01$) and the patients with schizophrenia ($t=2.30$, $df=8$, $p=0.05$).
UNCUED CRT VERSUS FULLY CUED CRT
The mean RTs for the two groups for the uncued and fully cued CRT are presented in figure 2. The main effects of group ($F(1,21)=8.32$, $p=0.01$), condition ($F(1,63)=69.92$, $p=0.001$), and interval ($F(3,63)=13.23$, $p=0.001$) were significant. The group×condition interaction was not significant ($p<0.05$). By
contrast, the condition×interval \((F(3, 63)=5.18, p=0.003)\), the group×interval \((F(3, 63)=4.84, p=0.004)\) and the group×condition×interval \((F(3, 63)=4.29, p=0.01)\) interactions were significant.
Further analysis of the condition effect showed that for both the two groups and the various intervals, the uncued CRT was significantly slower than the fully cued condition \((p<0.001)\). The significant main effect of interval was also examined in more detail. Across the two groups, RTs for the 800 ms S1–S2 interval were slower than those for the 200 ms \((p=0.01)\), the 1600 ms \((p=0.001)\) and the 3200 ms \((p=0.001)\) intervals. No other intervals differed significantly.
Further analysis of the group×interval interaction showed that for the control subjects RTs for the 3200 ms intervals were faster than those for the 200 ms \((p=0.04)\) and the 800 ms interval \((p=0.001)\). In contrast, for the patients with schizophrenia RTs for the 800 ms interval were slower than those for the 200, 1600, and 3200 ms intervals \((p<0.01)\) and no other intervals differed \((p>0.05)\).
Further analysis of the significant group × condition×interval interaction disclosed that across the two CRT tasks for the controls subjects fully cued CRT were significantly faster than the uncued CRT at each interval (200, 800, 1600, and 3200 ms) \((p<0.02)\). On average for the normal subjects, the fully cued CRT was faster than the uncued CRT by 19.9, 83.1, 68.7, and 73.4 ms respectively with the 200, 800, 1600, and 3200 ms S1–S2 intervals. Thus the differences between the two CRT conditions at the 200 ms interval, although small (mean 19.9 (SD 24.5) ms), reached significance. For the patients with schizophrenia the RTs for the fully cued CRT were significantly faster than the CRTs for the uncued CRT for the 1600 ms (faster on average by 86 ms) and 3200 ms (faster on average by 77.4 ms) intervals \((p<0.01)\) only.
**SRT VERSUS FULLY CUED CRT**
The mean RTs for the two groups for the SRT and fully cued CRT are shown in figure 3. The main effects of group \((F(1, 20)=7.60, p=0.01)\), condition \((F(1, 20)=12.19, p=0.002)\), and interval \((F(3, 60)=11.89, p=0.001)\) were significant. The group×condition interaction \((F(1, 20)=2.35, p=0.14)\) was not significant. The condition×interval \((F(3, 60)=12.80, p=0.05)\), group×interval \((3, 60)=3.43, p=0.02)\), and the group×condition×interval \((F(3, 60)=5.32, p=0.01)\) interactions were significant.
The significant three way interaction was examined further by investigating differences between SRT and fully cued CRT for each of the four intervals within each group. For the normal subjects, fully cued CRTs were significantly slower than SRTs at the 200 ms interval \((p=0.001)\) but not at the 800, 1600, or 3200 ms intervals \((p>0.1)\). By contrast, for the patients with schizophrenia, CRTs were significantly...
slower than SRTs for the 800 (p=0.01) and the 3200 ms interval (p=0.04) but not for the 200 or the 1600 ms S1-S2 intervals (p>0.1).
**MOVEMENT TIME**
The main effects of group ($F(1,20)=8.29$, $p=0.01$) and condition ($F(2,31)=10.67$, $p=0.001$) were significant, but not the main effect of interval ($F(3,54)=1.94$, $p=0.14$). There were no significant interaction effects ($p>0.05$). The patients with schizophrenia had slower MTs (278 (SD 68) ms) than the controls (190 (SD 73) ms). MTs were significantly faster in the SRT condition compared with each CRT condition ($p<0.05$). The two CRT conditions did not differ.
**Discussion**
Overall, the RTs and MTs of patients with schizophrenia were significantly slower and more variable than those of age matched normal subjects across all conditions. Unwarranted RTs were significantly faster than the uncued CRT in both groups. For both groups the fully cued CRTs were significantly faster than the uncued CRTs. There was a curious interval effect for the patients with schizophrenia which resulted from the fact that in the fully cued CRT task, the patients with schizophrenia had CRTs which were significantly faster at the 200 ms than the 800 ms interval. Besides significant slowness in movement initiation and execution, significant differences in interval effects were the main factors that distinguished the various RTs of the patients and controls.
Before we discuss the main results further we will consider and exclude the possible effects of confounding factors on the RT results. As it was not possible to test the patients with schizophrenia while taking medication, there is always the possibility that the results obtained are affected by the medication that eight of the 10 patients were taking. Most existing studies have found no effect of neuroleptic medication on RTs. Nevertheless, the RTs of patients with auditory stimuli, RTs were significantly lower for schizophrenic patients on medication than in those not taking medication. Whereas the first results suggest that medication status may not affect RTs, the second study suggests that the slowing of RTs in schizophrenia may be partly attributable to the neuroleptic medication that is taken by most patients. If this is the case, then RTs should be assessed in drug free patients, a procedure which is not feasible in most studies for clinical reasons. In the present study, there were some indications that the RTs of five of the patients who were not taking any medication at the time of the study were in fact somewhat slower than those of the remaining eight patients taking medication.
For both groups, RTs slowed slightly during the experiment as seen by the increased RT in the final SRT task compared with the initial SRT task. As there was no significant difference between the two groups on the amount of slowing, the results are not confounded by different patterns of fatigue effects in the two groups.
Precueing produced no differential effect on MT, as MTs for uncued and fully cued conditions did not differ significantly. By contrast, precueing or provision of advance movement parameter information, had a significant effect on RTs. The RTs were significantly faster for the fully cued than for the uncued CRT. The differential effects of precueing on MTs and RTs suggest that the use of advance information for motor preparation is complete by the onset of RTs. Indeed, the subject can fix his or her index finger on the home key and that there is no evidence of "on line" preparation during movement execution.
The two groups did not differ in the number of anticipations, decision errors, or long responses. Therefore, the differences in RT between the patients with schizophrenia and normal subjects do not seem to be associated with different speed-accuracy trade offs across the two groups.
**USE OF STIMULUS RESPONSE INVARIANCE FOR PREPROGRAMMING IN SRT: SRT VERSUS UNCUED CRT**
The patients with schizophrenia were significantly slower than the controls on both the SRT and uncued CRT tasks. However, for both groups the SRT was significantly faster than CRT. These results suggest that in the SRT condition, which involves optional and volitional preprogramming, the patients with schizophrenia preprogramme the response before presentation of the stimulus. As a result this condition was significantly faster than the uncued and unwired CRT, which is a purely stimulus driven task in which no preprogramming is possible and the correct response is selected, prepared, and initiated only after presentation of the appropriate stimulus. The significant slowness of SRT in schizophrenia relative to normal subjects agrees with the results of previous studies. Nuscherleitner has reviewed the few studies which have directly compared SRT and uncued CRT in schizophrenics. As with the present results, all previous studies have found that CRT is slower than SRT for patients with schizophrenia, similar to normal subjects. However, the present results also showed that the CRT—SRT difference was similar in the two groups.
**USE OF ADVANCE MOVEMENT PARAMETER INFORMATION FOR PREPROGRAMMING IN CRT: FULLY PRECUED VERSUS UNCUED CRT OR SRT**
The fully cued CRTs were significantly faster than the uncued CRTs for the patients with schizophrenia similar to the normal subjects. This is in agreement with previous studies suggesting that valid cues are used by patients with schizophrenia to speed up RT. However, the significant group×interval and group×condition×interval interactions when comparing the fully cued CRT with the uncued CRT or SRT, disclosed that the patients with schizophrenia showed anomalies in the use of advance information. Confirming our previous finding for the normal subjects with the RT tasks used, an S1–S2 interval of 200 ms is not long enough for subjects to use advance information to speed...
fully cued CRTs to the level of SRTs. But with S1-S2 intervals of 800 ms or longer, the advance information provided by the precue is fully used by normal subjects to speed up precued CRTs and makes them equivalent to the corresponding SRTs. For the patients with schizophrenia an unusual S1-S2 interval effect was present, mainly due to slower fully cued CRTs for the 800 ms and faster fully precued CRTs for the 200 ms S1-S2 interval. As a result, by comparison with normal subjects, fully precued CRTs were equivalent to SRTs for the 200 ms interval, but not for the longer 800 ms S1-S2 interval or the 3200 ms interval. Examination of the raw data shows that the interval effect found was not caused by a single outlier. Instead, all patients showed slower fully cued CRTs for the 800 ms S1-S2 interval relative to the 200 ms S1-S2 interval. This abnormal S1-S2 interval effect may reflect inconsistencies of set in patients with schizophrenia similar to that seen in the cross over effect.
There are some similarities between the current results for patients with schizophrenia and results from patients with Parkinson's disease in our previous study. Both patient groups had significantly slower RTS and MT's than age-matched normal subjects, both were able to use the S-R invariance to preprogramme the response in SRT and use advance information in precued CRT tasks to speed up their RTs relative to uncued CRT. However, both groups showed abnormal interval effects. Patients with Parkinson's disease showed a longer S1-S2 interval (3200 ms) to speed up fully cued CRTs to the level of SRT whereas elderly normal subjects did so with an S1-S2 interval of 800 ms. In the present study, instability of attentional set in schizophrenia was associated with consistent RTs for the fully cued CRT and SRT for the 200 ms and 1600 ms S1-S2 interval but not the 800 or 3200 ms S1-S2 intervals.
DEFICITS IN VOLITIONAL PROCESSES IN SCHIZOPHRENIA
The extent to which actions are volitional or reflexive differ on a continuum from the completely automatic and reflexive such as the knee jerk, to the fully internally driven such as spontaneous action. Most of our daily actions start somewhere in between. This is also true of the various RT tasks used in the present study, which differed in the degree of volitional control required for selection, preparation, and initiation of a response. The uncued CRT task was probably the least demanding of volitional control. For this reason, the patients with schizophrenia showed no significant differences in uncued CRT's relative to the normal subjects. The SRT task would probably be placed next on a continuum of degrees of volitional control required. The optimal set interval effect in preprogramming in the SRT task is dependent on an act of "will", but as the stimulus-response pairing never varies, the subject preprogrammes the same response on each trial. There was evidence that the patients with schizophrenia were engaging in this. Finally, in the fully precued CRT, as the imperative stimulus repeated the information held in the precue, preprogramming was also optional and volitional and the subject could simply wait for the imperative stimulus before preprogramming the response similar to uncued CRT. Hence, even in the fully precued CRT, although the exact response is known before presentation of the imperative stimulus, the subject must preprogramme a different response for each trial. Thus a higher degree of volitional control is required relative to SRT, where given the S-R invariance, the same response is preprogrammed across trials in a block.
Performance of SRT tasks concurrently with a second attention demanding task under dual task conditions, which introduces a capacity load and requires greater volitional control, has been shown to be particularly detrimental to performance of patients with schizophrenia. In general, evidence suggests that patients with schizophrenia are particularly slowed by increases in task complexity in CRT tasks. For example, in a review of the literature on information processing in schizophrenia, Healey (D R Healey unpublished PhD thesis 1976) concluded that CRT tasks involving low S-R compatibility are more sensitive to deficits in schizophrenia. There is some suggestion from the present results that in schizophrenia RT deficits become more evident when they require greater volitional control. As noted above, compared with SRT where the same response is preprogrammed across all trials, in fully cued CRT, a different response has to be preprogrammed on each trial, hence requiring greater allocation of attention and volitional control. It was precisely in the fully cued CRT condition that the patients with schizophrenia showed unusual and inconsistent interval effects suggesting instability of attentional set. These unusual interval effects are reminiscent of the cross over effect, which has been replicated in schizophrenia in numerous studies. The cross over effect has been interpreted as reflecting an impaired ability to maintain attentional set. Such instability of attentional set may contribute to other deficits found in schizophrenia such as increased perseveration, the Wisconsin card sorting test or the modality shift effect.
Therefore, the present results suggest that ordinarily, the patients with schizophrenia do not have any major deficits in preprogramming of responses in an SRT or a fully cued CRT task. However, in the second task, in which the additional demands of preprogramming are higher, as a different response has to be prepared on each trial, patients show some unusual and inconsistent interval effects suggesting instability of attentional set. In the present study, it was not possible to differentiate subgroups of patients with predominance of negative signs or positive signs of illness. It is possible that future studies using RT tasks requiring greater volitional control (for example, with high stimulus-response incompatibility requiring volitional S-R decoding before response selection) and a sample of patients...
with schizophrenia and predominance of negative signs may show greater deficits in willed action.
We thank Professor Maria Ron for allowing us to study the patients under her care. The financial assistance of the Wellcome Trust is gratefully acknowledged.
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Movement-related potentials prior to self-initiated movements are impaired in patients with schizophrenia and negative signs
Received: 5 August 1998 / Accepted: 19 January 1999
Abstract It has been suggested that certain symptoms of schizophrenia such as poverty of action and speech, and stereotyped action, reflect a dysfunction of "willed" actions while the processes involved in "stimulus-driven" movements are intact. The aim of this study was to test this hypothesis by measuring movement-related potentials (MRPs) prior to self-initiated and externally triggered movements in three groups of subjects, five patients with a diagnosis of schizophrenia with high ratings of negative signs, six patients with a diagnosis of schizophrenia with high ratings of positive symptoms and six normal controls. Subjects lifted their right index finger at an average rate of once every 3 s in two conditions, either as self-initiated movements, or as a response to a tone while MRPs were recorded from frontal, fronto-central, central and parietal sites. The patients with schizophrenia and high ratings of negative signs had reduced amplitude of MRPs for the late and peak component and reduced slope of the early and late MRPs prior to self-initiated movements. These differences were not found prior to externally triggered movements. The patients with schizophrenia with higher ratings of positive symptoms did not differ significantly from the normal controls in terms of amplitude or slope of MRPs prior to self-initiated or externally triggered movements. These findings support the proposal that patients with schizophrenia, particularly those with negative signs, show impairment of willed actions but are not impaired in externally triggered movements. These deficits in willed actions may be mediated by impaired functioning of the frontostriatal loops.
Key words Schizophrenia · Willed action · Movement-related potentials (MRPs) · Bereitschaftspotential · Motor preparation · Negative signs
Introduction
Movement-related potentials (MRPs) are electrophysiological measures recorded over the scalp, which reflect preparatory processes prior to movement. The Bereitschaftspotential (BP) is a negative MRP occurring 1–1.5 s prior to a self-paced movement (Kornhuber and Deecke 1965). The BP is considered to consist of three components, the early BP, with onset 1–1.5 s prior to the movement onset, the late BP, which occurs about 500 ms prior to movement onset, and the peak BP, which either coincides with or occurs about 50 ms prior to the onset of movement (Deecke et al. 1969, 1976).
Libet et al. (1982, 1983) suggested that two volitional processes contribute to the BP. The first, which in terms of its timing corresponds to the early component, is considered to reflect volitional motor preparatory processes associated with the development of preparation to act in the near future. The second, which in terms of its timing corresponds to the late component, is associated with voluntary choice and with the endogenous 'urge' or intention to act. With self-paced or self-initiated movements the early, late, and peak BP components are present (Kutas and Donchin 1980; Thickbroom et al. 1985; Papa et al. 1991; Aminoff et al. 1993; Jahanshahi et al. 1995); reflecting the preparation involved in planning to move, as well as the endogenous intention to act (Jahanshahi et al. 1995). Previous studies have shown that with externally triggered movements, if the stimulus occurs regularly and can be anticipated, motor preparation is possible and some pre-movement negativity is present (Kutas and Donchin 1980; Thickbroom et al. 1985; Papa...
With regularly triggered movements, however, the decision when to move is not self-generated, but is determined by the onset of the triggering stimulus. Therefore, it can be suggested that the late component in a regularly paced externally triggered movement is lower than in a self-initiated movement because the late component reflects only the maintenance of motor preparation without volitional decision-making about when to act (Jahanshahi et al. 1995). With externally triggered movements, if stimulus presentation is irregular and its onset cannot be anticipated and motor preparation is not as viable, then there is no pre-movement negativity, only the final activation of the motor cortex seen in the peak BP (Aminoff et al. 1993; Jahanshahi et al. 1995).
Several studies have investigated the BP in schizophrenia and found impaired BPs compared to normals (Bachneff and Engelsman 1983; Chiarensa et al. 1985; Singh et al. 1992; Karaman et al. 1997). However, the results of these studies are contradictory. For example, while some previous studies have found both the early and late BP to be reduced in schizophrenia (Singh et al. 1992), others report the early BP to be reduced in patients with positive symptoms and the late BP to be reduced in patients with negative signs (Karaman et al. 1997). There have also been reports that medicated patients with schizophrenia with tardive dyskinesia have larger BP amplitude compared to controls while patients with schizophrenia without tardive dyskinesia do not differ from normals (Adler and Nagamoto 1989). While some studies have shown a longer BP duration in schizophrenia (Westphal et al. 1986), others reported a shorter BP duration in schizophrenia which was found to be associated with flattening of affect (Bachneff and Engelsman 1983).
On theoretical grounds impairment of BPs would be expected in patients with predominantly negative signs. Frith (1992) has suggested that the negative signs of schizophrenia such as poverty of action, poverty of speech and social withdrawal reflect a dysfunction of willed actions. Willed actions are self-selected or self-initiated voluntary movements. The precise nature or timing of these actions is decided by the individual rather than determined by external stimuli (Jahanshahi and Frith 1999). One way to test this hypothesis of impairment of willed actions in patients with schizophrenia and a predominance of negative signs is to compare MRPs prior to self-initiated and externally triggered movements in three groups: normal controls, patients with schizophrenia ranking high on negative signs, and patients with schizophrenia ranking high on positive symptoms. We predicted that the main differences would be found between the normals and patients with negative signs prior to self-initiated movements and that fewer or no group differences would be evident for MRPs prior to externally triggered movements or the group with predominately positive symptoms compared with the normals.
Materials and methods
Design
A mixed between-groups and within-subject design was used. Three groups of subjects took part in the experiment: normal controls, schizophrenics with high ratings of positive symptoms and patients with schizophrenia with high ratings of negative signs. There were three experimental conditions (self-initiated, externally triggered, and rest).
Subjects
Table 1 shows the characteristics of the samples. Thirteen patients diagnosed with schizophrenia according to DSM IVR were recruited from the National Hospital for Neurology and Neurosurgery. The data of two patients were excluded, one because of excessive movement and one due to excessive electro-oculogram (EOG) artifact. The data from the remaining 11 patients were used in the analysis. Each patient was rated on the positive and standardised negative symptom scales (Kraepelin et al. 1977) for current positive symptoms and negative signs. Those subjects who had a higher rating of positive symptoms (incoherence, delusions and hallucinations, maximum total score=12) compared to negative signs (poverty of speech, flattened affect and social withdrawal, maximum total score=12) were placed in the ‘positive’ group (four male, two female). Those with a higher negative compared to positive score were placed in the ‘negative’ group (five male). For comparison, the frequency of positive symptoms and negative signs differed significantly ($P<0.05$). The two groups did not differ significantly in terms of duration of illness ($P>0.05$). Two patients in the positive schizophrenia group were not on medication, while all other patients were. The two groups did not differ significantly in mean dose of anticholinergic or neuroleptic medication ($P>0.05$).
Seven healthy normals with no previous history of psychiatric or neurological illness, head injury, or drug abuse were tested. One normal subject’s data were excluded due to excessive EOG artifact. The data from six other normals (one male, five female) were used for analysis. To screen for cognitive deficits, the Mini Mental State Examination (Folstein et al. 1975) was administered to all subjects. None of the subjects scored below the cut-off of 25, indicating no cognitive deficit. All subjects were right-handed except for one (positive schizophrenia group), who was ambidextrous. The three groups were matched on age and handedness (Oldfield 1971) and did not differ in terms of scores on the Beck Depression Inventory (BDI) (Beck et al. 1961) or the Mini Mental State Examination (MMSE) ($P>0.05$). The three groups did differ in terms of proportion of males to females ($\chi^2=8.06$, $df=2$, $P=0.02$).
Procedure
Informed consent was obtained from all subjects. MRPs were recorded in three experimental conditions:
1. Self-initiated movements: subjects made self-initiated movements at an average rate of once every 3 s. The movement involved a brief lifting of the index finger. The subject’s first finger rested on a zero force touch switch. The second finger interrupted contacted the switch. Interresponse intervals were measured to the nearest millisecond. A tone, which subjects were told to ignore, was presented 100 ms after the self-initiated movement. This was to control for the tone effect in the externally triggered condition.
2. Externally triggered movements: subjects made the same finger-lifting movement in response to a tone presented at an identical rate to that generated by the subjects in the self-initiated condition: i.e. the rate of movement was yoked to that generated by the subject in the self-initiated condition. This
Table 1 The characteristics of the three samples. Values given are means (SD)
| | Normals | Positive schizophrenia | Negative schizophrenia |
|------------------------|-----------|-----------------------|------------------------|
| Sex | | | |
| Male | 1 | 4 | 5 |
| Female | 5 | 2 | 0 |
| Age (years) | 44 (14.3) | 42 (7.9) | 38 (4.6) |
| Mini Mental State | 30.0 (0.0)| 28.5 (2.0) | 29.2 (1.3) |
| Examination (0–30) | | | |
| Beck Depression | 9.3 (3.6) | 14.2 (12.6) | 11.2 (8.4) |
| Inventory (max = 63) | | | |
| Handedness (−100=purely left handed, 100=purely right handed) | 75 (18.0) | 77 (14.0) | 90 (8.9) |
| Duration (years) | | | |
| Positive symptoms (hallucination, delusions, incoherence) (0–12) | 17.2 (8.2) | 12.0 (2.7) | 1.0 (1.7) |
| Negative signs (poverty of speech, flattened affect, psychomotor retardation) (0–12) | 6.7 (4.0) | 2.8 (3.8) | 4.4 (4.4) |
| Dose anticholinergic (Dispal equivalent) | 50.0 (54.8) | 80.0 (130.4) | |
| Dose neuroleptic (chlorpromazine equivalent) | 128.3 (123.3) | 316.0 (295.9) | |
Because of the necessity of yoking the rate of tone presentation to the rate of self-initiated movements, a fixed order was used. In each block, subjects performed the self-initiated condition, then the externally triggered condition, followed by the rest condition. Four blocks of 60 trials of each condition were performed.
Recording of MRPs
The subject sat in a comfortable reclining chair in a quiet, dimly lit room. All recordings were made with Digitimer D150 amplifiers. The EEG were recorded using non-polarizable Ag/AgCl electrodes. The electrode positions were standardized according to International 10–20 convention, with placements at F3, Fz, F4, FC3, FCz (4 cm anterior of vertex), P3, Pz, P4. Electrodes were secured to the scalp with collodion. Linked earlobes served as the reference. The subject was grounded on the left arm. The high-frequency cut-off was set at 100 Hz and the low-frequency cut-off was 0.03 Hz, with time constant of 5 s. The EOG was recorded from electrodes placed at the glabella and on the outer canthus of the right eye. For recording of EOG the high-frequency cut-off was 100 Hz, with a low-frequency cut-off of 0.16 Hz, and a time constant of 5 s. Trials with EOG above 100 μV were excluded on line and the data collection continued until 60 artifact-free trials were recorded. The EMG was recorded using a bipolar arrangement from the prime muscle that was the extensor digitorum proprius. For EMG recording the high-frequency cut-off of 3 kHz, a low-frequency cut-off of 53 Hz, and a time constant of 0.03 s were used. The EMG was rectified and integrated and was used for back-averaging of the EEG on a trial-by-trial basis.
The duration of the sampling window was 2500, 2000 ms before and 500 ms after the EMG onset. The sampling rate was 150 Hz (a total of 375 data points, 300 data points prior to EMG onset). For the rest condition, where there was no response, the tone acted as the trigger for sampling the EEG data. An analogue data acquisition unit [2-ch analog-to-digital converter (AED-140)] general purpose laboratory interface (Cambridge Electronic Design, Cambridge, UK 1988). Data collection was controlled using the SigAvg programmes (version 6.03; Cambridge Electronic Design 1993) written to off-line analysis of the MRP data, and remaining trials with obvious movement artifact were eliminated and the records were back-averaged using the EMG data on a trial-by-trial basis. The minimum number of valid trials was 100.
Analysis of MRPs
In the externally triggered condition, all measurements were obtained from the subtracted waveforms: i.e. traces from which the sensory components (N₁₀₀, P₃₀₀, N₂₀₀) elicited to the tone alone in the rest condition had been subtracted to obtain a ‘pure’ measure of movement-related activity. The subtraction process involved a number of steps. First, for each subject, the sensory components to the tone in the rest condition were reworked by offsetting them with the reaction time of the subject on a trial-by-trial basis. Thus, the potential influence of the subject’s inter-trial variability of the subject’s reaction time. Then the onset of the tone in the triggered condition was superimposed on the onset of the tone in the reworked rest condition, which aligned the sensory components in the two conditions. Finally the EEG data were subtracted, leaving the pre-movement potentials from the two externally triggered conditions without the sensory components due to tone. The movement-related components preceding the movement onset, which were of primary interest, were not altered by the subtraction process, whereas only subtracting the negativity associated with the presentation of the tone. Trigger. This procedure was carried out using the self-initiated data since the tone was present after EMG onset but was thus not interfering with the movement-related components of interest.
For some of the BP prior to the self-initiated movements, procedures similar to those previously employed in our laboratory (Dick et al. 1987, 1989; Jahanshahi et al. 1995) were used. Only the three pre-movement components of the MRPs, i.e. the early, late and peak BFs, were measured. To determine the onset of each of the three components, printouts of the averaged waveform for each subject and each type of movement were examined independently by three scientists who had experience with BPs. For each record, the point of onset of the early, late and peak BP components was marked using Cz as the main reference trace. The onset of each component for each trial and each type of movement was determined by taking the consensus points. Using the marked points, the mean latency of the early BP (rise of the slope from baseline), the late (point of change in slope) and the peak BP (maximum amplitude point at or prior to EMG onset) onset were measured in relation to data, so that the amplitudes of the early and peak BP were measured, and using these values the amplitude of the late BP was calculated through subtraction. Amplitudes were measured in relation to a 300-ms baseline which was obtained by averaging the traces between the point of onset of the early BP and the preceding 300 ms.
The onset of the early and late components was not clear in every trace for the externally triggered waveforms. Therefore, the points of onset of the early and late components from the self-initiated movements were used as the points of components in the externally triggered waveforms for all subjects. The peak BPs, however, were clearly visible in the externally triggered data, so these points were marked for each subject's trace.
The slope of the early component was measured between the point of onset of the early BP and the onset of the late BP. The slope of the late component was measured from the point of onset of the late BP to the onset of the peak BP. The slopes were measured in microvolts per second.
The data for each component of the MRP (early, late and peak) were analysed separately for the self-initiated and the externally triggered responses using repeated measures analysis of variance (ANOVA). In each ANOVA, Group (normals, patients with positive symptoms, patients with negative signs) was the between subjects variable, and Electrode Site (F3, P3, F4, P4, C3, C4, Cz, C4, P3, P4) was the within-subjects repeated measures variable. The slope of the early BP and the slope of the late BP were also analysed using similar repeated measures ANOVA. Where necessary, to deal with violations of assumptions of sphericity, the Greenhouse-Geisser correction was used to adjust the degrees of freedom. Pre-planned simple contrasts were carried out comparing the normals with the patients with negative signs and the normals with the patients with positive symptoms. In order to examine the data further, independent t-tests were used for post hoc examination of the two patient groups. All statistics were carried out using SPSS for Windows version 8.0.
Results
Behavioural data
Mean interresponse intervals for the self-initiated condition and reaction times for the externally triggered are presented in Table 2. The three groups did not differ significantly for the interresponse intervals \[F_{(2,14)}=1.58, P=0.24\] or reaction times \[F_{(2,14)}=1.01, P=0.37\]. The important aspect of the behavioural data is that all three groups produced self-initiated movements at the target rate of on average once every 3 s. Since the rate of movement for the externally triggered condition was yoked to the self-initiated condition, this means that the three groups did not differ in terms of the rate of movement in the triggered condition either.
Latencies
Table 3 contains the latencies for each group. For the self-initiated movements, there were no significant differences among the three groups for latencies of the early \[F_{(2,14)}=1.88, P=0.19\], late \[F_{(2,14)}=0.55, P=0.59\], or peak \[F_{(2,14)}=0.01, P=0.99\] BP. For the externally triggered movement the latency of the peak BP did not differ significantly among the three groups \[F_{(2,13)}=1.51, P=0.26\].
Amplitudes
The waveforms of the MRPs prior to the self-initiated and externally triggered movements are shown in Figs. 1 and 2. The waveforms of the MRPs preceding self-initiated movements for the one patient from the ‘positive’ group with the highest level of medication and one patient from the ‘negative’ group with low levels of medication are presented in Fig. 3.
MRPs prior to the self-initiated movements
For the early component the main effects of Group and Electrode Site and the Group×Electrode Site interaction were not significant \[P>0.05\]. For the late component the main effects of Group \[F_{(2,14)}=3.90, P=0.05\] and Electrode Site \[F_{(3,45)}=7.44, P=0.001\] reached significance but the Group×Electrode Site interaction did not
| Table 2. The mean behavioural data for the three groups for the self-initiated and externally triggered movements. Values given are means (SD). The units are milliseconds (IRI interresponse interval, RT reaction time) |
|-----------------------------------------------|
| Normals | Positive schizophrenia | Negative schizophrenia |
| Self-initiated IRI | 3274.8 (261.8) | 3080.7 (300.8) | 3032.6 (94.3) |
| Externally triggered RT | 204.2 (75.0) | 166.3 (48.6) | 237.0 (111.7) |
| Table 3. The mean latencies for the groups for the self-initiated and externally triggered movements. Values given are in milliseconds. The latencies are relative to EMG onset; standard deviations are in brackets (BP Bereitschaftspotential) |
|-----------------------------------------------|
| Normals | Positive schizophrenia | Negative schizophrenia |
| Self paced | Early BP | −1187.5 (82.3) | −1024.5 (233.5) | −1191.4 (46.3) |
| | Late BP | −448.8 (75.4) | −400.0 (80.0) | −482.4 (213.1) |
| | Peak BP | −44.5 (29.7) | −45.4 (26.5) | −46.6 (17.0) |
| Externally triggered | Peak BP | −41.0 (31.4) | −43.2 (22.7) | −70.2 (30.4) |
Fig. 1 Grand averages of the movement-related potentials preceding self-initiated movements for the normals (dark lines), and patients with positive schizophrenia (light lines) and negative schizophrenia (dotted lines).
Fig. 2 Grand averages of the movement-related potentials preceding externally triggered movements for the normals (dark lines), and patients with positive schizophrenia (light lines) and negative schizophrenia (dotted lines)
EMG
negative
positive
normals
Fig. 3 Averaged movement-related potentials preceding self-initiated movements for one patient from the 'positive' group (thin dotted line) with high levels of medication (anticholinergic dose 100 mg, neuroleptic dose 320 mg) and one patient from the 'negative' group (thick solid line) with low levels of medication (anticholinergic dose 0 mg, neuroleptic dose 130 mg)
POS patient - high medication
NEG patient - low medication
EMG
For the peak component the main effects of Group \([F_{(2,14)}=5.20, P=0.02]\) and Electrode Site \([F_{(3,42)}=7.95, P=0.001]\) reached significance but the Group×Electrode Site interaction did not \((P>0.05)\).
Pre-planned special contrasts revealed that the mean amplitudes of the MRPs prior to self-initiated movements for the late and the peak components were significantly lower in the patients with negative signs than in the normal controls \((P<0.05)\), but there was no significant difference between the normal controls and the patients with positive signs \((P>0.05)\). Post hoc \(t\)-tests revealed that the amplitude of the early and late components did not differ significantly between the two patient groups \((P>0.05)\). Further investigation of the main effect of Electrode Site revealed that for the amplitude of the late component, the amplitude was most negative at FCz, Cz and C3. For the peak component the amplitude reached greatest negativity at FCz, Cz and FC3.
**MRPs prior to the externally triggered movements**
For the early, late and peak components there were no significant main effects of Group \((P>0.05)\) and no significant Group×Electrode Site interactions \((P>0.05)\). There was a significant main effect of Electrode Site for the amplitude of the late \([F_{(4,40)}=2.91, P=0.04]\) and peak components \([F_{(4,40)}=3.53, P=0.01]\). Further post hoc examination of the Electrode Site effect revealed that for the late component the highest negativity was at Fz, FCz and FC3 while for the peak component the highest negativity was present at FCz, Fz and FC3.
**Slopes**
**MRPs prior to self-initiated movements**
For the self-initiated movements, for the slope of the early component, the main effect of Group \([F_{(2,14)}=5.14, P=0.02]\) was significant, but the main effect of Electrode Site and the Group×Electrode Site interaction did not reach significance \((P>0.05)\).
For the slope of the late component prior to the self-initiated movements, the main effects of Group \([F_{(2,14)}=4.52, P=0.03]\) and Electrode Site were significant \([F_{(3,59)}=6.96, P=0.01]\), but the Group×Electrode Site interaction was not \((P>0.05)\).
Pre-planned special contrasts revealed that prior to self-initiated movements the slopes of the early and late components were significantly reduced in the patients with negative signs compared to normals \((P<0.02)\) and did not differ significantly between the patients with positive symptoms and the normals \((P>0.05)\). Post hoc \(t\)-tests revealed that the slope of the early component was significantly reduced in the patients with negative compared to the patients with positive symptoms \((t=3.2, d.f.=8, P=0.01)\) but the slope of the late component did not differ significantly between the two patient groups \((P=0.1)\).
Further examination of the main effect of Electrode Site for slope of the late component revealed that the Electrode Sites of greatest negativity were FCz, FC3, and Cz.
**MRPs prior to externally triggered movements**
For the externally triggered movements, there were no significant main effects of Group or Electrode Site or their interaction for either the early or the late slope \((P>0.10)\).
**Correlational analysis**
The amplitude of the early, late, and peak components and the slope of the early and late components of the MRP prior to self-initiated movements were correlated with clinical measures using Pearson’s correlation coefficients. For the patients with schizophrenia, no relationship was found between duration of illness and MRP amplitudes or slopes \((P>0.05)\). There was a significant positive correlation between dose of anticholinergic medication and the amplitude of the late component at Fz \((r=0.64, P=0.04)\) and a significant negative correlation between dose of anticholinergic medication and the slope of the early component at Fz \((r=-0.62, P=0.03)\) for the MRP prior to self-initiated movements. This means that higher doses of anticholinergic medication were associated with lower amplitude of the late BP, yet larger slope of the early BP at Fz. There was a significant negative correlation between dose of neuroleptic medication and the slope of the early component of the MRP prior to self-initiated movements at the three frontocentral sites (FC3, FCz, FC4) and at Pz (range of \(r=-0.64\) to \(-0.78, P<0.04\)). This means that higher doses of neuroleptic medication were associated with lower slopes of the early BP. There was a significant *negative* correlation between the rating of negative signs and the amplitude of the *early* component of the MRP at FCz \((r=-0.62, P=0.04)\) prior to self-initiated movements. This means that patients with higher negative signs had lower early BP amplitude.
There was a significant *positive* correlation between the rating of positive symptoms and the slope of the late and peak components of MRPs prior to self-initiated movements at Fz and F4 (range of \(r 0.60-0.67, P<0.05\)). There was a significant positive correlation between the rating of positive symptoms and the slope of the early component at F3, Fz and FC3 (range of \(r 0.62-0.77, P<0.05\)) and slope of the late component at Fz, FC4, C3 and Cz (range of \(r 0.60-0.62, P<0.05\)) prior to self-initiated movements. These positive correlations signify that patients with higher ratings of positive symptoms have higher amplitudes and slopes (i.e. more normal) prior to self-initiated movements.
Discussion
The present results showed that prior to self-initiated movement relative to normals, the amplitude of the late and peak BP and the slope of the early and late BP were significantly lower for patients with predominance of negative signs but not patients with predominance of positive symptoms. Also, prior to self-initiated movement the slope of the early component was significantly lower for the patients with negative signs than patients with predominance of positive symptoms. The three groups did not differ significantly in MRPs recorded prior to externally triggered movements. No significant differences were discovered between the normals and patients in the behavioural results (interresponse interval or reaction times). Although the EMGs among the groups appear different, this is unlikely to affect MRPs as it has been shown that BPs are not affected by changes in the amplitude or velocity of finger movements (Dick et al. 1987). Thus, the differences seen in the MRPs cannot be attributed to differences in performance by the patients.
The present results concur with previous studies showing abnormal MRPs in schizophrenia (Timsit-Berthier et al. 1973; Chiarensa et al. 1985; Westphal et al. 1986; Singh et al. 1992; Karaman et al. 1997). However, the present results also extend previous findings in two important respects. First, our results showed that the deficits in MRPs prior to self-initiated movements are particularly evident for patients with predominance of negative signs whereas the patients with predominance of positive symptoms did not differ significantly from normals. The amplitudes at some sites (e.g. FCz) do appear lower in the patients with positive symptoms compared to controls, but these differences were not large enough to reach statistical significance. Future studies with greater numbers of participants may clarify these differences. Second, our results demonstrated that differences from normal MRPs were present for patients with negative signs only prior to self-initiated movements requiring self-generated decision-making about the precise timing of movements as well as motor preparation but the patients did not differ from normals in terms of MRPs prior to externally triggered movements.
In contrast to the amplitudes which are based on measurements at a single point in time, the slopes of MRPs show changes in negativity over time and for this reason are perhaps more sensitive. In fact, the groups of patients with predominance of positive symptoms or negative signs only differed significantly in terms of the early slope, which is considered to reflect motor preparatory processes associated with supplementary motor area (SMA) activation (Deecke et al. 1969; 1976). This suggests that motor preparatory processes are more impaired in patients with schizophrenia and negative signs. As the two patient groups did not differ significantly in terms of the late slope, which according to Libet's (1982) distinction coincides with the time course of volitional decision-making and intention to act, one inference would be that these processes are impaired in patients with schizophrenia regardless of the type of symptomatology.
Willed actions are purposeful, goal-directed behaviours. Three classes of decisions precede a voluntary action: 'what to do' – selecting an action among a set of possibilities, 'how to do it' – developing a strategy, and 'when to do it' – deciding the precise moment to begin (Kornhuber et al. 1989). The task used in this study required a volitional decision relating to 'when to move'. Different criteria are relevant to defining an action as more or less volitional, for example intentionality, choice and control, attention and conscious awareness (Jahanshahi and Frith 1999). In a recent review of evidence, Jahanshahi and Frith (1999) provided support for a willed action system based on the frontostriatal circuits. More specifically, they suggested that: (1) intentional, self-generated actions (willed actions) are controlled differently from routine, stereotyped actions that are externally triggered by environmental stimuli, (2) willed actions are controlled by a network of frontal cortical (dorsolateral prefrontal cortex, supplementary motor area, anterior cingulate) and subcortical (thalamus and basal ganglia) areas, and (3) some of the deficits of patients with Parkinson's disease or schizophrenia reflect impairment of willed actions.
In schizophrenia impaired prefrontal activation during performance of tasks requiring volitional control (Weinberger et al. 1988; Andreasen et al. 1992; Seidman et al. 1994), reduced activation of the SMA (Schroeder et al. 1994) and an association between poverty of action and decreased rCBF in the dorsolateral prefrontal cortex and increased regional cerebral blood flow (rCBF) in the caudate (Liddle et al. 1992) have been reported. These suggest that the deficits in willed action in these patients may be mediated by dysfunction of the frontostriatal circuits. Using the same two types of movement as in the present study, in an investigation combining MRPs and measurements of rCBF with positron emission tomography (PET), we (Jahanshahi et al. 1995) have previously shown that patients with Parkinson's disease tested off dopaminergic medication had a lower amplitude of the early and peak but not late BP prior to self-initiated movements than age-matched normals, the performance of which relative to a rest condition was associated with underactivation of the putamen, SMA, anterior cingulate, lateral premotor cortex and dorsolateral prefrontal cortex in these patients relative to normals. In contrast, for externally triggered movements, Parkinson's patients and normals did not differ significantly either in terms of MRPs or rCBF.
Motivation is one of the variables shown to affect the BP (McAdams and Sealea 1969). Although the deficits in MRPs in disorders such as Parkinson's disease and schizophrenia are traditionally related to the motor symptoms of the former disorder such as akinesia and bradykinesia and the less conspicuous motor abnormalities in schizophrenia such as clumsiness, disorganisation and slowness of movements (Manschreck 1986), it is also possible that motivational deficits such as apathy,
which can be a feature in both disorders and may also reflect frontostriatal dysfunction (Jahanshahi and Frith 1999), can also contribute to the deficits of MRPs observed in these disorders.
Studies in Parkinson's disease (Dick et al. 1989; Jahanshahi et al. 1995) have shown that it is the amplitude of the early BP which is lower than normal in patients with Parkinson's disease. In contrast, for patients with schizophrenia and negative signs both the early and late components are impaired relative to normals (Singh et al. 1992; present study). These results suggest that the different MRP components are differentially sensitive to different disorders such as Parkinson's disease and schizophrenia in which impairment of frontostriatal circuits is implicated. The differential sensitivity of the MRP components is also supported by the fact that dopaminergic medication increases and anti-dopaminergic medication decreases the amplitude of the early BP only (Dick et al. 1987). In the present study we found that dose of neuroleptic medication had a significant negative correlation with the slope of the early MRP component prior to self-initiated movements, which suggests that those patients on higher levels of neuroleptic medication had reduced slopes for the early BP. The patients with predominance of negative signs were taking higher doses of neuroleptic medication than those with high positive symptoms, although the difference in dosage was not statistically significant. Nevertheless, given that anti-dopaminergic medication has been shown to reduce the amplitude of the early BP (Dick et al. 1987), it is possible that the significant reduction of the early slope in patients with high negative ratings relative to normals partly relates to their higher doses of neuroleptic medication. However, medication cannot be the only reason for reduction of MRPs in these patients as our sample of patients with positive symptoms who were also on neuroleptics did not differ significantly from normals in terms of MRPs. Also previous studies have reported reduced amplitude of the early and peak BP in both medicated and unmedicated patients with schizophrenia (Karaman et al. 1997). Animal studies have shown that cortical potentials are cholinergic dependent (Pirch et al. 1986). The two patient groups did not differ significantly in terms of dose of anticholinergic medication, but the patients with higher ratings of negative signs had higher levels of anticholinergic medication, which could possibly contribute to the reduced amplitudes of MRPs observed. But, as shown in Fig. 3, a patient with high 'positive' symptoms who was on the highest doses of anticholinergic and neuroleptic medication had larger amplitudes of MRPs prior to self-initiated movements relative to a patient with high 'negative' signs who was on a lower dose of medication. Nevertheless, the possible contribution of neuroleptic and anticholinergic medication to MRPs in schizophrenia need to be more systematically assessed in future studies.
This study showed that patients with higher ratings of negative signs had reduced MRPs prior to self-initiated movements but not externally triggered movements while the MRPs of the patients with higher ratings of positive symptoms were not impaired significantly for either type of movement. These findings support Frith's (1992) hypothesis that patients with schizophrenia, particularly those with negative signs, are impaired in willed actions such as the self-initiated movement of the present study but are not impaired in stimulus-driven behaviour such as externally triggered movements assessed by us. The correlational analyses also confirmed that deficits in MRPs were associated with predominance of negative signs. Higher ratings of negative signs were associated with reduced amplitude of the early component at FCz prior to self-initiated movements, while higher ratings of positive symptoms were associated with higher MRP amplitudes and slopes (i.e. more normal) at frontocentral sites. Thus, the current results confirm that the distinction between positive symptoms and negative signs has heuristic value when investigating patients with schizophrenia.
Acknowledgements We would like to thank Professor Maria Ron for allowing us to assess patients under her care.
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Reduced Negative Priming Does Indicate Reduced Cognitive Inhibition in Schizophrenia
Rebecca Fuller
*Department of Clinical Neurology, Institute of Neurology, London*
Chris D Frith
*Department of Cognitive Neurology, Institute of Neurology, London*
Marjan Jahanshahi
*Department of Clinical Neurology, Institute of Neurology, London*
**Introduction.** Negative priming (NP) refers to the slowing of reaction times (RTs) that occurs when an ignored distractor in a first trial (prime) becomes the target in the subsequent trial (probe). Unlike normal controls, patients with schizophrenia fail to show significant NP. It has been proposed that delayed RTs in NP studies may be a result of perceptual mismatch rather than active inhibition, since the prime distractor and the probe target differ. The aim of this study was to examine spatial NP in schizophrenia using a new paradigm without perceptual mismatch.
**Methods.** Twelve patients with schizophrenia and 17 normals were tested on a spatial NP task. Prime distractors and probe targets matched in terms of colour and location or did not match.
**Results.** Normals showed significant spatial NP whether the probe target matched the prime distractor in terms of colour or not. In contrast, patients with schizophrenia did not show significant spatial NP.
**Conclusions.** In normals, NP can be observed even when prime and probe stimuli are identical while patients with schizophrenia fail to show NP in conditions with or without perceptual mismatch. This is the first unequivocal demonstration of impaired inhibitory processes in schizophrenia based on reduced NP effects.
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Requests for reprints should be sent to Dr M. Jahanshahi, Institute of Neurology, 23 Queen Square, London, WC1N 3BG. Telephone: 0171 837 3611 ext 3055, Fax: 0171 278 9836, email: firstname.lastname@example.org
The financial support of the Wellcome Trust is gratefully acknowledged.
We would like to thank Steve Tipper and Bruce Weaver for providing us access to their computer program CLXX1.exe.
INTRODUCTION
There is considerable evidence that patients with schizophrenia have deficits in attentional processing. One feature of this is the greater distractibility of these patients in the presence of irrelevant information, for example as shown in dichotic shadowing tasks (Spring, 1985). Inadequate functioning of inhibitory attentional processes has been proposed as a mechanism of this increased distractibility in schizophrenia. The inability of patients with schizophrenia to maintain attentional set as demonstrated by the 'cross over' RT effect (Shakow, 1962), and the demonstration of abnormal recognition thresholds in a priming paradigm (Bullen and Hemsley, 1987) have all been considered evidence for 'weakened inhibition' in schizophrenia. Other empirical support for failure of inhibitory processes in schizophrenia exists. Inhibition of irrelevant information at an early stage of information processing has been termed 'sensory gating' (McDowd, Filion, Harris and Braff, 1993). One paradigm used to measure sensory gating is prepulse inhibition (PPI) which focuses on the eyeblink component of the startle reflex. Normally when the startle stimulus is preceded by a warning signal (prepulse), the eyeblink in the startle reflex is reduced, especially if the subject is told to attend to the prepulse (see McDowd et al., 1993 for a review). Patients with schizophrenia have reduced PPI (Braff, Grillon, and Geyer, 1992; Grillon, Ameli, Charney, Krystal, and Braff, 1992). Another paradigm that has been used to investigate inhibitory processes in schizophrenia is latent inhibition. A subject who is presented with a distracting stimulus such as bursts of white noise at the same time as a target stimulus takes longer to recognise the white noise as relevant in later trials. Subjects not pre-exposed to the white noise stimulus will identify it as relevant on subsequent trials much sooner. Studies with patients with schizophrenia have shown that although chronic medicated patients show similar latent inhibition as controls, unmedicated patients do not show latent inhibition (Baruch, Hemsley, & Gray, 1988). Such failures of inhibitory processes in schizophrenia have also been shown with other paradigms such as the Kamin blocking effect (Jones, Gray & Hemsley, 1992) and the antisaccade task (Fukushima, Fukushima, Miyasak, & Yamashita, 1994).
It has been suggested that some of the symptoms of schizophrenia, such as hallucinations, delusions and thought disorder may reflect a failure to limit the contents of consciousness due to a weakening of the inhibitory selective mechanisms involved in information processing, that allows intrusion of the output of preconscious processes into consciousness (Frith, 1979).
Another way to test inhibitory processes is by using the negative priming paradigm. First described by Tipper (1985) negative priming refers to the slowing of reaction times that occurs when an ignored distractor stimulus in a first trial becomes the target stimulus in the subsequent trial. Generally, in a negative priming experiment RTs are measured for response to two displays
presented in quick succession. The first display is called the prime, the second display is called the probe and both displays consist of a target and a distractor. There are two types of probes; ignored repetition and control. In the ignored repetition probe, the target is the same as the distractor of the prime. In the control probe, the target is different than the distractor in the prime. Negative priming is considered to have occurred if RT is slower in the ignored repetition condition than in the control condition. Later studies investigated spatial negative priming (Tipper, Brehaut, & Driver, 1990). In these, the delayed RTs occurred when the probe target shared the same location as the prime distractor (ignored repetition) compared to the control condition where the probe target was presented in a previously vacant location.
Normal control subjects show delayed reaction times in the ignored repetition condition presumably because the active task of ignoring the stimulus in the first trial is carried over into the second trial and inhibits the subject’s response to this previously ignored stimulus (Tipper and Cranston, 1985; Tipper, Weaver, & Kirkpatrick, 1991). Patients with schizophrenia do not show a significantly increased RT when a previously ignored stimulus becomes the target (Park, Lenzenweger, Puschel, & Holzman, 1996; Williams, 1996; Beech, Powell, & McWilliam, 1989; Laplante, Everett, & Thomas, 1992; David, 1995; Salo, Robertson, & Nordahl, 1996), in line with the proposal of a breakdown of inhibitory processes (Frith, 1979).
The most widely accepted view of negative priming is that it represents the operation of inhibitory mechanisms in selective attention such that the distracting stimuli are selectively inhibited during the prime trials (e.g. Tipper, 1985). There have been other accounts besides this selective inhibition to explain the phenomenon of negative priming. According to the ‘episodic retrieval’ account the ignored distractor in the prime ‘episode’ is encoded with a ‘to-be-ignored’ tag and as a result responses to previously ignored probes are slowed by the automatic retrieval of the prior episode along with the to-be-ignored tag (Neill and Valdes, 1992). Recently Milliken, Joordens, Merikle and Seiffert (1998) have suggested a ‘temporal discrimination’ account of negative priming. They propose that slowed RTs results from ambiguity in the categorisation of the probe stimulus as ‘old’ or ‘new’ relative to the prime. On ignored repetition trials, the familiarity of the probe target which has been previously seen as the ignored distractor on the prime trial, rules out its classification as ‘new’ and yet is insufficient to allow its consideration as ‘old’. This ambiguity in the temporal discrimination process is considered to underlie the delayed RTs on ignored repetition trials.
From a different perspective, Park and Kanwisher (1994) have suggested the interpretation of previous spatial negative priming studies as reflecting the operation of inhibitory processes may actually be a result of perceptual mismatch rather than indicative of active inhibition. Because the probe target differs from the prime distractor in some way, either in colour, identity or size,
the hesitation and hence prolonged RT shown by normals in responding on the probe trial may have nothing to do with reduced inhibition but instead reflect the detection of the perceptual mismatch. This point has been addressed by Milliken, Tipper, & Weaver (1994), Tipper, Weaver, & Milliken (1995) and Watson and Tipper (1997). Milliken et al (1994) confirmed that perceptual mismatch can contribute to negative priming in some situations. In a series of three experiments Tipper et al (1995) found a spatial negative priming effect in normals whether the prime distractor and target probe matched or mismatched in terms of size or identity. However, the spatial negative priming effect was smaller when the colour of the prime distractor and target probe matched, than when they mismatched. Therefore, Tipper et al (1995) concluded that perceptual mismatch and distractor inhibition produce additive effects on RT. In a subsequent study Watson and Tipper (1997) found reduced negative priming in schizotypal subjects using a negative priming paradigm on which there was no perceptual mismatch.
The majority of the previous studies which have examined negative priming in patients with schizophrenia used Stroop stimuli in which the stimuli have a colour mismatch confound, because the prime distractor and the probe target were different colours (Beech et al., 1989; Laplante et al., 1992; David, 1995; Salo et al., 1996; Salo, Robertson, Nordahl, & Kraft, 1997). The two studies that examined spatial negative priming in schizophrenia (Park et al., 1996; McDowd et al., 1993) with a task other than the Stroop used an X-O paradigm which also involves an identity mismatch between the prime distractor and probe target. This means that reduced negative priming in schizophrenia in these studies cannot unequivocally be attributed to a failure of inhibition and instead may indicate these patients’ insensitivity to the effects of perceptual mismatch between stimuli due to poor episodic encoding or retrieval for prime/probe comparisons relative to normal subjects. Although inhibitory deficits have been demonstrated clearly from other paradigms, studies using negative priming tasks lead to ambiguous interpretations, which are not clearly attributable to reduced inhibitory effects. The aim of this study is to examine the spatial negative priming effect in schizophrenia using a new paradigm that allows the effects of perceptual mismatch on RT to be considered independently of any spatial negative priming effects. We predicted that patients with schizophrenia would show significantly less negative priming, both in conditions where the prime distractor and probe target matched or had a perceptual mismatch.
**METHOD**
**Subjects**
Table 1 lists the characteristics of the subject groups. Fourteen patients with schizophrenia and 17 normals (3 female, 14 male) took part in the study. Two patients had RTs which were extreme compared to group means, one patient on
TABLE 1
Characteristics of subjects.
| | Normals | Patients with Schizophrenia |
|--------------------------|---------|----------------------------|
| Sex | | |
| Male | 14 | 10 |
| Female | 3 | 2 |
| Age (years) | 37.5 (8.2) | 41.3 (6.5) |
| Beck Depression Inventory (0–63) | 6.4 (6.5) | 15.0 (8.0) |
| SAPS (0–175) | | 6.1 (8.0) |
| SANS (0–120) | | 18.9 (12.0) |
| Dose of anticholinergic (Disipal equivalent) | 37.5 (71.1) | (range 0–200 mg) |
| Dose of neuroleptic (chlorpromazine equivalent) | 377.1 (305.9) | (range 0–825 mg) |
All values given are means, standard deviations in brackets. SAPS = The standardised assessment for positive symptoms. SANS = The standardised assessment for negative symptoms (Andreasen, 1984)
2 of the 4 and one patient on all 4 measures of interest (C+, C−, L+, L−). These two cases were therefore excluded. The remaining patients (2 female, 10 male) and normals did not differ in terms of male to female ratio ($x^2 = 0.11$, df = 1, $P = .74$), age ($t = 1.30$, df = 27, $P = .20$) handedness, ($t = 1.56$, df = 27, $P = .13$) or estimates of ‘premorbid’ verbal IQ obtained from the National Adult Reading Test (NART, Nelson and Willison, 1991) ($t = 1.45$, df = 22, $P = .16$). The two groups did differ in terms of scores on the Beck Depression Inventory (BDI, Beck, Ward, Mendelson, Mock, & Erbaugh, 1961) with the patients having higher scores than the normals ($t = 2.38$, df = 25, $P = .03$). NART Verbal IQ scores for five controls and BDI scores for two controls were missing. The patients with schizophrenia were rated on the Scale for Assessment of Positive Symptoms and the Scale for Assessment of Negative Signs (Andreasen, 1984) and as a group had higher ratings of negative signs than positive symptoms ($t = 5.23$, df = 12, $P < .001$).
Task
The task was the same as that in experiment 3 of Tipper et al. (1995). Figure 1 presents the prime and probe conditions. The subject initiated each trial by pressing the start key that was located under the index finger on the joystick. After pressing the start key four empty boxes appeared which indicated the possible stimulus locations, above, below, to the left and right of fixation. After
FIG. 1. The four priming conditions. The probe target could either share (C+) or not share (C-) colour with the prime distractor, and it could either share (L+) or not share (L-) location with the prime distractor. The lower case letters adjacent to the boxes specify the colours of the uppercase target and distraction letters (X) within the boxes. The lower case letter in the central box indicates the colour of the colour selection cue (b=blue, g=green, p=purple, y=yellow).
a delay of 1000 ms the prime display appeared, which were 2 Xs of different colours that appeared in two randomly chosen boxes, and a small coloured square presented at fixation simultaneously with the 2 Xs (in Tipper et al.’s (1995) experiment 3 the coloured square appeared 57 ms after the onset of Xs and remained on the screen for 29 ms). One X was the same colour as the small central square. Subjects were instructed to move the joystick in the direction of the target X, the colour of which matched the central coloured square which acted as the colour selection cue. Both speed and accuracy were emphasised. The prime remained on the screen until the subject responded. Auditory feedback was given in the form of an error tone for an incorrect response and a 50 ms click for a correct response.
The response stimulus interval (RSI) was 500 ms and only the four boxes were visible during this interval. The probe colour selection cue appeared after the 500 ms RSI and at the same time two coloured Xs were presented. As for the prime, the subjects were required to move the joystick in the direction of the X
that matched the central coloured square which acted as the colour selection cue. Both speed and accuracy were emphasised. As for the prime, the display remained on the screen until the response was made, and auditory feedback was provided on each trial. After the auditory feedback following the response to the probe a written prompt appeared on the screen instructing the participant to press the start key to continue.
**Design**
The study had a mixed between-groups and within-subjects design. The between groups factor was Groups (schizophrenia vs normals). There were 2 repeated measures within subject variables, Location and Colour. There were two levels of Location: L+ and L−. In L+ condition, the probe target appeared in the same location as the prime distractor; and in the L− condition, the probe target appeared in a box that differed from the location of the prime distractor and was vacant during the prime. In all conditions, the probe distractor appeared in a previously vacant box. The two levels of Colour were C+ and C−. In C+ condition, the probe target was the same colour as the prime distractor; in C− condition, the probe target was in a different colour than the prime target or distractor. In all conditions, the probe distractor appeared in a colour that was not used for the prime. Therefore there were four conditions: C−L− (colour mismatch, different location—control), C−L+ (colour mismatch same location—ignored repetition), C+L− (colour match, different location—control), C+L+ (colour match, same location—ignored repetition). There were 4 possible locations; above, below, to the left and right of the central square and there were also 4 possible colours: blue, green, yellow, and purple, selected to be easily discriminable.
Each condition started with a practice block (Block 0) followed by a test block (Block 1). The number of trials for the two types of block in each of the 4 conditions is listed below.
| Condition | Block 0 | Block 1 |
|-----------|---------|---------|
| C−L− | 12 | 96 |
| C−L+ | 6 | 48 |
| C+L− | 6 | 48 |
| C+L+ | 3 | 24 |
These proportions were used to ensure that subjects could not use properties of the prime distractor to predict the colour or location of the probe target. Stimulus presentation and RTs were measured to the nearest ms. Millisecond timing of displays and responses was achieved using the TIMEX function (Bovens and Brysbaert, 1990). The data of importance were the median RTs for correct responses and error percentages. Prime and probe RTs were used only if the responses to both prime and probe were correct. Responses greater than 3000 ms
were counted as errors. The four conditions were randomised in terms of order of presentation. All 243 trials were presented in one session, with a 30 second break after every 50 trials. The first 27 trials were practice and not included in the analysis. The entire session lasted approximately 30 minutes.
RESULTS
Prime Displays
A one way Analysis of Variance (ANOVA) were used to examine the RT for the prime condition. RTs for the patients with schizophrenia were significantly slower than those for the normals \[F(1,27)=21.92, P<.01\]. A one way ANOVA was carried out on the percentage of errors in the prime condition. The patients with schizophrenia and the normals did not differ in terms of percent of errors made \[F(1,27)=0.23, P>.05\].
Probe Display
A 3 way ANOVA was carried out. The between subjects factor was Group (schizophrenia vs normals) and the within subject variables were Colour (C+ vs C−) [colour match or colour mismatch] and Location (L+ vs L−) [ignored repetition or control]. The mean median RTs for each condition in each group are shown in Figure 2.
The main effect of Colour was not significant \[F(1,27)=0.19, P>.05\]. The main effect of Group was significant \[F(1,27)=19.22, P<.01\] due to slower RTs for the patients (725 ms, SD=108) than for the normal controls (566 ms, SD=87). The main effect of Location \[F(1,27)=31.12, P<.01\] was also significant as RTs were slower for the ignored repetition conditions (L+) (641 ms, SD=121) than for the control conditions (L−) (623 ms, SD=127). There was no significant Colour × Location interaction, nor did Group show a significant interaction with either of the other two variables \[P>.05\]. The three way Group × Colour × Location interaction was also nonsignificant \[P>.05\].
Given our interest in negative priming effects (control conditions compared to ignored repetition condition s) a series of post hoc tests were carried out. In normals, the comparison of C+L− and C+L+ was significant (t=3.9, df=16, \(P<.01\)). T-tests revealed that the normals also had significantly slower RTs in the C−L+ than in the C−L− condition (t=4.7, df=16, \(P<.001\)). Thus the normal controls exhibited significant spatial negative priming in both the colour match and colour mismatch conditions.
However, these same comparisons for the patients with schizophrenia were not significant. The RTs for the patients with schizophrenia did not differ significantly between the C+L+ condition and the C+L− condition \[P>.05\] (colour match) or between the C−L+ condition and the C−L− condition \[P>.05\] (colour mismatch). Therefore the patients with schizophrenia failed to show
FIG. 2. The mean of median reaction times (RT) to the probes for the patients with schizophrenia and normal controls in each of the four conditions C-L-control, colour mismatch; C-L+ ignored repetition, colour mismatch; C+L-control, colour match; C+L+ ignored repetition, colour match. Spatial negative priming indicated by slower RTs for ignored repetition (L-, white bars) than control (L-, black bars) conditions for the normals. *Significance $P<.05$.
significant spatial negative priming in either the colour match or the colour mismatch condition.
**Probe Error Data**
The mean percentage of errors for each group in each condition are presented in Table 2. A 3 way repeated measures ANOVA was carried out on the error percentages. The between subjects factor was Group (patients with schizophrenia vs normals) and the within subject variables were Colour (C+ vs C−) and Location (L+ vs L−). There were no significant main effects of Group, Colour, or Location ($P>.05$) and there were no significant interactions ($P>.05$).
**Correlational Analysis**
To determine the extent of the spatial negative priming effect the RTs for the ignored repetition conditions were subtracted from the RTs for their respective control conditions: [(C-L−)-(C-L+)] for the colour mismatch condition, and [(C+L−)-(C+L+)] for the colour match condition. These measures of spatial negative priming effect were then correlated with clinical measures using
TABLE 2
Mean Percentage of Errors (and standard deviations) For Each Group in Each Condition
| | Normals | Patients with schizophrenia |
|----------------|-----------|----------------------------|
| C−L− | 1.40 (1.47)| 2.33 (2.51) |
| C−L+ | 1.11 (1.31)| 2.79 (2.86) |
| C+L− | 1.98 (1.74)| 1.58 (2.03) |
| C+L+ | 1.47 (2.91)| 2.78 (4.10) |
C+L+: the probe target was the same colour and appeared in the same location as the prime distractor; C+L−: the probe target was the same colour but appeared in a different location to the prime distractor; C−L+: the probe target was a different colour but in the same location as the prime distractor; C−L−: the probe target was a different colour and was in a different location than the prime distractor.
Pearson’s correlation coefficients. There was a significant positive correlation between scores on the SAPS (Andreasen, 1984) and the magnitude of the spatial negative priming effect in the colour match condition, that is the [(C+L−)−(C+L+)] difference score \((r=.59, P=.04)\). This means that patients with higher ratings of positive symptoms showed less negative priming.
DISCUSSION
In summary, the significant main effect of location signified occurrence of significant spatial negative priming. The main effect of colour was not significant indicating that colour match or mismatch did not affect RTs. The groups differed significantly reflecting slower RTs for the patients with schizophrenia than for the normal controls. There were no significant group interactions but post-hoc comparisons revealed that the normals showed significant spatial negative priming effects both in the colour match and in the colour mismatch conditions, while the patients with schizophrenia failed to exhibit significant levels of negative priming effects in either condition.
It has been proposed that the increased RT previously attributed to spatial negative priming effects may be due to perceptual mismatch since the prime distractor differed from the probe target in terms of either colour, identity, or size (Park and Kanwisher, 1994). The current results add support to the findings of Milliken et al. (1994) and Tipper et al. (1995) that in normal subjects spatial negative priming effects are present even when other stimulus features such as colour, identity and size are held constant between the prime distractor and the probe target. In the present study there was no significant difference in the degree of spatial negative priming effects between the colour match and the colour mismatch condition.
Recently, Tipper (1998) has noted that the accounts of negative priming in terms of inhibition of the internal representation of a distractor in the process of selective attention or detection of perceptual mismatch in the process of episodic
retrieval which have respectively been described as forward acting and backward acting processes are not necessarily antagonistic or mutually exclusive. Instead, Tipper suggests that as both encoding and retrieval processes are implicated in the negative priming phenomenon; the inhibition account which emphasises the encoding process acting on the prime display and the episodic account which focuses on the properties of the probe that enable retrieval of the prime encoding episode are both relevant to a fuller understanding of negative priming effects. In this respect, both accounts are relevant to appreciation of reduced negative priming in schizophrenia as these patients also show deficits in episodic encoding and retrieval (Brebion, Amador, Smith, & Gorman, 1997; Andreasen, 1997) as well as inhibitory processes (see Introduction).
Evidence implicates dopamine as a neurotransmitter with a role in mediating negative priming. However the precise direction and nature of this role is unclear. David (1995) has noted that in the more acute phase, when positive symptoms predominate, reduced negative priming in schizophrenia has been attributed to a hyper-dopaminergic state. However, several lines of evidence oppose such a view. First, there is evidence from normal subjects showing that neuroleptics, that is dopamine antagonists, increase negative priming (Beech, Powell, McWilliam & Claridge, 1990). Second, reduced negative priming has been reported in patients with schizophrenia who were (Beech et al., 1989; Laplante et al., 1992) or were not (Salo et al., 1996) tested while taking neuroleptic medication. For example, Salo et al. (1996) tested 12 patients with schizophrenia withdrawn from neuroleptic medication and found no evidence of negative priming. In contrast, David (1995) found that in a small group of neuroleptic free patients with schizophrenia or affective disorder there was some suggestion that negative priming was present. Third, patients with Parkinsons' disease, a hypo-dopaminergic disorder, fail to show negative priming (Downes, Sharp, & Sagar, 1991). In reviewing the effects of neuroleptics on cognitive function, Spohn & Strauss (1989) concluded that neuroleptics tend to normalize the performance of patients with schizophrenia and reduce distractibility on attentional tasks. This is clearly not the case for negative priming effects. In the present study, all patients were on neuroleptic medication and none showed any substantial degree of negative priming as observed in the normal controls. Also, the dose of neuroleptics did not show any significant associations with any of the measures of negative priming. Therefore, available information about the contribution of dopamine overstimulation or understimulation to negative priming is inconsistent. Future studies need to evaluate this question more systematically by examining negative priming in early newly diagnosed patients prior to the introduction of neuroleptic medication, chronic treatment with which may in itself alter dopaminergic transmission.
Because of the post hoc nature of the group differences, it could be argued that the present results constitute relatively weak demonstration of reduced
negative priming in patients with schizophrenia. Future studies should include a larger number of participants and patients with higher ratings of symptoms. Reduced negative priming has been demonstrated for patients with schizophrenia and predominance of positive or negative symptoms, with some studies suggesting that the abnormality of negative priming is greater in those with relatively higher ratings of negative symptoms (Laplante et al., 1992), while others reported reduced negative priming in patients with positive symptoms (Park et al., 1996; Williams, 1996). The latter study reported reduced negative priming in subgroups of patients with reality distortion and disorganisation. Park et al. (1996) found reduced negative priming in acute but not chronic patients with schizophrenia. In the present study, we did not have a sufficient number of patients with predominance of positive symptoms vs negative signs to compare negative priming across the subgroups. However, the correlational analysis suggests that higher ratings of positive symptoms were associated with less negative priming in the colour match condition. This finding suggests weakened inhibition may contribute to positive symptoms in schizophrenia.
Lavie and colleagues (Lavie & Tsal, 1994; Lavie & Fox, 1998) have suggested that high perceptual load in processing of relevant information is a necessary condition for early selection to occur. In normals, evidence has been provided to show that with higher perceptual load, distractor interference is reduced. In relation to negative priming, these authors have shown that manipulating the perceptual load of relevant processing by increasing the set size of the target reduced the amount of negative priming associated with processing of a distractor stimulus (Lavie & Fox, 1998). Reduced negative priming in schizophrenia can be incorporated into this view of the relevance of perceptual load to negative priming. It can be suggested that because of capacity limitations (Granholm, Asarnow, & Marder, 1996), perceptual load is higher in schizophrenia than normals across all tasks, so that less or no space capacity is available to allocate to inhibition of irrelevant/distractor stimuli.
It is possible that in negative priming paradigms selective inhibition of the distractor does in fact occur in schizophrenia but it decays more rapidly compared to normal subjects, such that at the time of the probe trial it produces a less detrimental effect on the subsequent act of selection. As an alternative to this 'rapid dissipation of inhibition', it is possible that the 'strength' of the initial inhibition is somewhat weaker so that it does not build up rapidly or sufficiently enough to carry over into the subsequent act of selection. In future studies, it should be possible to differentiate between these two alternative explanations of reduced negative priming in schizophrenia: rapidly decaying inhibition vs weakened and delayed build up of inhibition. The interval between trial n and n-1 is important in negative priming tasks and Laplante et al. (1992) have shown that the interval between prime and probe trials affects the degree of negative priming observed in patients with predominance of positive or negative symptoms of schizophrenia. In future studies, supplementing behavioural
investigation of the negative priming effect with recording of event-related cortical potentials which have high temporal resolution and provide ms by ms data will be valuable in providing information about the time course of operation of inhibitory processes between the prime distractor and probe target.
In summary, in normal subjects negative priming was found even when there was no perceptual mismatch between the ignored prime distractor and the target probe, adding support to the findings of Milliken et al. (1994) and Tipper et al. (1995). Post hoc analysis showed reduced negative priming in patients with schizophrenia in conditions with or without perceptual mismatch. This is the first clear and unequivocal demonstration of reduced inhibition in schizophrenia based on reduced negative priming effects.
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ROCKEFELLER MEDICAL LIBRARY
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Modulation of Intracellular Calcium by Inflammatory Mediators in Sensory Neurones
by
Trudy A. Nicolson
A thesis submitted in partial fulfilment of the requirements for the degree of Doctor of Philosophy to the Faculty of Sciences of the University of London
February 2000
Department of Physiology
Royal Free and University College Medical School
Royal Free Campus
Rowland Hill Street
London NW3 2PF
ProQuest Number: 10015708
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ACKNOWLEDGEMENTS
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# ABBREVIATIONS
# ABSTRACT
# LIST OF PUBLICATIONS
# LIST OF FIGURES
# LIST OF TABLES
## 1. INTRODUCTION
1.1 Properties of sensory neurones
1.2 Intracellular Signalling
1.3 Chemosensitivity of sensory neurones
1.4 Mechanisms of inflammation, itch and pain
1.5 Aims of the study
## 2. METHODS
2.1 Preparation of cultured DRG neurones
2.2 Intracellular calcium imaging
2.3 Detection of intracellular inositol phosphate formation
2.4 Measurement of intracellular cAMP concentration
## 3. RESULTS
3.1 Characteristic properties of cultured DRG neurones
3.2 Chemosensitivity of DRG neurones
3.3 Sensitivity of DRG neurones to histamine
3.4 H₁ receptor activation is involved in the histamine response
3.5 Inflammatory prostanoids enhance the sensitivity of DRG neurones to histamine
3.6 The prostanoid-induced sensitisation to histamine is mediated via a cAMP-dependent mechanism
3.7 The [Ca²⁺]ᵢ response in sensitised DRG neurones consists of a store sensitive and a store insensitive component
## 4. DISCUSSION
4.1 A sub-population of cultured DRG neurones display characteristics of nociceptive afferent neurones
4.2 A sub-population of cultured DRG neurones respond to histamine
4.3 The receptor-mediated [Ca²⁺]ᵢ response to histamine
4.4 The sensitivity of DRG neurones to histamine is enhanced by the inflammatory prostanoids
4.5 The mechanism of the prostanoid-induced sensitisation
4.6 Summary
4.7 Future research proposals
## 5. REFERENCES
## 6. APPENDIX
6.1 Drugs and solutions
6.2 Preparation of standard solutions
ABBREVIATIONS
5-HPETE 5-hydroperoxy-6,8,11,14-eicosatetraenoic acid
5-HT 5-hydroxytryptamine
8(R), 15(S)-diHETE 8(R), 15(S)-dihydroxyicos-(5E-9,11,13Z)-tetraenoic acid
AC adenylyl cyclase
ACE acetylcholinesterase
AM acetoxymethyl
AMPSO 3-[(1,1-Dimethyl-2-hydroxyethyl)amino]-2-hydroxypropanesulfonic acid
ATP adenosine trisphosphate
Ca$^{2+}$ calcium ions
[Ca$^{2+}$]$_i$ intracellular calcium ions
cAMP cyclic 3',5'-adenosine monophosphate
[cAMP]$_i$ intracellular cAMP
CCD charge-coupled device
CGRP calcitonin gene-related peptide
CICR Ca$^{2+}$-induced Ca$^{2+}$ release
CNS central nervous system
COX cyclo-oxygenase
DAG diacylglycerol
DP PGD$_2$ receptor
DRG dorsal root ganglion
EGTA ethylene glycol-bis(β-aminoethyl ether) N,N,N',N'-tetraacetic acid
EP PGE$_2$ receptor
ER endoplasmic reticulum
FP PGF$_{2\alpha}$ receptor
GDNF glial cell line derived neurotrophic factor
G$_i$ inhibitory G-protein
G$_s$ stimulatory G-protein
HEPES N-[2-Hydroxyethyl]piperazine-N'-[2-ethanesulfonic acid]
HCl hydrochloric acid
IP PGI$_2$ receptor
IP$_3$ inositol-1,4,5-trisphosphate
IP$_3$R inositol-1,4,5-trisphosphate receptor
K$^+$ potassium ions
KOH potassium hydroxide
LOX lipooxygenase
LT leukotriene
MES 2[N-Morpholino]ethanesulfonic Acid
Na$^+$ sodium ions
NaOH sodium hydroxide
NGF nerve growth factor
NKA neuropeptide A
PCA perchloric acid
pH$_o$ extracellular pH
PG prostaglandin
PIP$_2$ phosphatidylinositol-4,5-bisphosphate
| Abbreviation | Description |
|--------------|-------------|
| PKC | protein kinase C |
| PLA₂ | phospholipase A₂ |
| PLC | phospholipase C |
| ROCC | receptor operated Ca²⁺ channels |
| RyR | ryanodine receptor |
| TP | TXA₂ receptor |
| TTX | tetrodotoxin |
| TXA₂ | thromboxane A₂ |
| USG | Ultroser-G serum supplement |
| UV | ultra-violet |
| VOCC | voltage operated Ca²⁺ channels |
ABSTRACT
During inflammation and tissue damage, there are many circulating chemical mediators which contribute to the inflammatory state. Some of these, such as bradykinin, ATP, 5-HT and protons, directly activate sensory neurones by evoking a rise in $[\text{Ca}^{2+}]$. Histamine is a potent inflammatory mediator and is known to activate sensory neurones to produce the sensation of itch but little is known about its effects on $[\text{Ca}^{2+}]$ in sensory neurones.
In this thesis, I have shown that histamine evokes a dose-dependent rise in $[\text{Ca}^{2+}]$ in a sub-population of cultured sensory neurones. This $[\text{Ca}^{2+}]$ response is mediated by the activation of the H$_1$ receptor sub-type as it was blocked by the H$_1$ antagonist, mepyramine, but not by an H$_2$ or an H$_3$ antagonist. This data suggests that the H$_1$ receptor in sensory neurones is coupled to the phospholipase C (PLC) / inositol trisphosphate (IP$_3$) pathway as histamine stimulated a rise in IP$_3$ formation which was prevented by mepyramine. Furthermore, the $[\text{Ca}^{2+}]$ response was abolished by the PLC inhibitor, U73122.
Other chemical mediators do not directly activate sensory neurones themselves but enhance the sensitivity of these neurones to other inflammatory mediators. The prostanoids, in particular prostaglandin E$_2$ (PGE$_2$), has been shown to sensitise sensory neurones to bradykinin and is thought to do so via a cyclic AMP (cAMP)-dependent mechanism. I have therefore investigated the interaction between PGE$_2$ and histamine in these neurones.
PGE$_2$, I$_2$ and D$_2$, but not PGF$_{2\alpha}$ enhanced the sensitivity of sensory neurones by increasing the percentage of neurones that responded to low concentrations of histamine with a rise in $[\text{Ca}^{2+}]$. Pre-treating the neurones with agents that elevate intracellular cAMP levels such as forskolin and 8-bromo-cAMP produced a similar
increase in the number of cells responding to histamine. The PGE$_2$-induced sensitisation to histamine was inhibited when adenylyl cyclase activity was blocked by tetrahydro-furyl-adenine (THFA). This data suggests that the prostanoid-induced sensitisation of sensory neurones is mediated by a cAMP-dependent process.
The sensitised Ca$^{2+}$ response obtained to histamine appears to be due to enhanced Ca$^{2+}$ influx as removing extracellular Ca$^{2+}$ or blocking voltage gated Ca$^{2+}$ channels with lanthanum significantly reduced the percentage of cells responding. When the cells were pre-treated with U73122 in the absence of extracellular Ca$^{2+}$, no cells responded to histamine. Therefore, I propose that the [Ca$^{2+}$]$_i$ response obtained to low concentrations of histamine alone is mediated by Ca$^{2+}$ mobilisation from intracellular IP$_3$ sensitive stores, whereas the sensitised Ca$^{2+}$ response involves a Ca$^{2+}$ entry pathway.
**LIST OF PUBLICATIONS**
Nicolson T., Bevan S. and Richards C.D. (1998). The sensitivity of rat cultured dorsal root ganglion neurones to histamine is augmented by prostaglandin E$_2$. *Journal of Physiology*, 511P, 122P.
Nicolson T.A., Bevan S. and Richards C.D. (1999). The prostaglandin-induced sensitisation of cultured dorsal root ganglion neurones to histamine is mediated via a cyclic AMP-dependent mechanism. *Journal of Physiology*, 518P, 152P.
# LIST OF FIGURES
## 1. INTRODUCTION
1.2.1 Typical receptor-effector mechanisms in sensory neurones 14
1.3.1 Schematic representation of the theoretical neuronal pathways for the transmission of itch and pain-producing stimuli 41
## 2. METHODS
2.1.1 Schematic representation of the DRG dissection procedure 47
2.2.1 Excitation spectra of the intracellular Ca$^{2+}$ dye, Fura-2 52
2.2.2 Schematic representation of experimental apparatus for fluorescence measurements 53
2.2.3 Typical experimental protocol for agonist stimulation in the presence and absence of a sensitising stimulus 56
2.4.1 Schematic representation of the ACE enzyme immunoassay 63
2.4.2 Typical cAMP assay plate design 65
2.4.3 cAMP standards curve 66
2.4.4 Typical protein assay plate format 68
2.4.5 Protein standards curve 69
## 3. RESULTS
3.1.1 Cultured DRG neurones 72
3.1.2 The effect of time in culture on the sensitivity of neurones to capsaicin and a depolarising K$^+$ stimulus 74
3.1.3 Diameter of capsaicin sensitive and capsaicin insensitive neurones 77
3.1.4 The [Ca$^{2+}$]$_i$ response to capsaicin and a depolarising K$^+$ stimulus in DRG neurones maintained in culture for up to 6 days in culture 79
3.2.1 The effect of ATP, bradykinin and 5-HT on capsaicin sensitive DRG neurones 82
3.2.2 The effect of ATP on capsaicin sensitive and capsaicin insensitive DRG neurones 85
3.2.3 The effect of PGE$_2$ pre-treatment on the bradykinin response in capsaicin sensitive neurones 86
3.2.4 The [Ca$^{2+}$]$_i$ response obtained to changes in pH$_o$ in capsaicin sensitive neurones 89
3.3.1 Sensitivity of DRG neurones to histamine 91
3.3.2 Individual [Ca$^{2+}$]$_i$ responses to histamine in DRG neurones 94
3.3.3 Mean [Ca$^{2+}$]$_i$ responses to histamine in DRG neurones 96
3.3.4 The effect of histamine on capsaicin sensitive and capsaicin insensitive DRG neurones 99
3.3.5 Diameter of neurones responding to histamine 101
3.3.6 The [Ca$^{2+}$]$_i$ response to repeated histamine applications in DRG neurones 104
3.4.1 The effect of mepyramine, cimetidine and thioperamide on the response to histamine 107
3.4.2 The formation of IP$_3$ in response to histamine 110
3.4.3 The effect of inhibiting Ca$^{2+}$ release from IP$_3$ sensitive stores and inhibiting Ca$^{2+}$ entry on the percentage of cells responding to histamine 112
3.4.4 The [Ca$^{2+}$]$_i$ response obtained to a low concentration of histamine in the absence of [Ca$^{2+}$]$_o$, and in the presence of lanthanum 114
3.4.5 The $[\text{Ca}^{2+}]_i$ response obtained to 10mM histamine when $\text{Ca}^{2+}$ release from IP$_3$-sensitive stores was prevented or when $\text{Ca}^{2+}$ entry was blocked
3.4.6 The effect of inhibiting $\text{Ca}^{2+}$ release from IP$_3$-sensitive stores on the formation of IP$_3$ in response to histamine
3.4.7 The percentage of cells responding to histamine in the presence of ryanodine
3.4.8 The response to histamine and 5-HT in the presence of the 5-HT antagonists methiothepin and Y25130
3.5.1 The percentage of cells responding to histamine after PGE$_2$ pre-treatment
3.5.2 Individual $[\text{Ca}^{2+}]_i$ responses to histamine after PGE$_2$ pre-treatment in DRG neurones
3.5.3 Mean $[\text{Ca}^{2+}]_i$ responses obtained to histamine before and after PGE$_2$ pre-treatment
3.5.4 Diameter of neurones responding to histamine after PGE$_2$ pre-treatment
3.5.5 The effect of PGE$_2$ on the response to histamine in capsaicin sensitive and capsaicin insensitive DRG neurones
3.5.6 The $[\text{Ca}^{2+}]_i$ response to repeated applications of histamine in DRG neurones pre-treated with PGE$_2$
3.5.7 The effect of prostanoids on the histamine response and cAMP concentration in DRG neurones
3.5.8 The cAMP response to histamine before and after PGE$_2$ pre-treatment
3.5.9 The effect of mepyramine, cimetidine and thioperamide on the histamine response in PGE$_2$ pre-treated neurones
3.6.1 The effect of raising intracellular cAMP on the histamine response in DRG neurones
3.6.2 The $[\text{Ca}^{2+}]_i$ response obtained to histamine after raising intracellular cAMP levels
3.6.3 The effect of inhibiting adenylyl cyclase on the PGE$_2$-induced sensitisation to histamine
3.6.4 The effect of inhibiting cAMP-dependent kinase on the sensitised response to histamine
3.6.5 The $[\text{Ca}^{2+}]_i$ response to histamine after pre-treating with PGE$_2$ in the presence of cAMP-dependent protein kinase inhibitors
3.7.1 The formation of IP$_3$ in response to histamine in sensitised DRG neurones
3.7.2 The effect of inhibiting $\text{Ca}^{2+}$ release from IP$_3$-sensitive stores or inhibiting $\text{Ca}^{2+}$ entry on the sensitised response to histamine
3.7.3 The effect of ryanodine on the PGE$_2$-induced sensitisation to histamine
4. DISCUSSION
4.5.1 Schematic diagram of the possible mechanisms of the prostanoid-induced sensitisation to histamine in DRG neurones
LIST OF TABLES
I. INTRODUCTION
1.3.1 Histamine receptor classification and signal transduction pathways 26
1.3.2 Prostanoid receptor classification and signal transduction pathways 31
I. INTRODUCTION
Nociceptive afferent neurones transmit information about noxious chemical, thermal and mechanical stimuli from peripheral tissues, where it is detected by their peripheral nerve endings, to their central nerve endings in the spinal cord, where this information is subsequently processed. Their cell bodies lie predominantly in dorsal root ganglia but they are also located in trigeminal and superior cervical ganglia. Sensory neurones also mediate a neurogenic effector function by releasing neuropeptides from their peripheral nerve endings to produce neurogenic inflammation (Holzer, 1988). Local chemical mediators, such as histamine, bradykinin and the prostanoids, play a central role in the generation of inflammatory responses either by directly exciting sensory afferent neurones or by activating various intracellular signalling mechanisms (Meyer et al, 1994), for example, the entry of calcium ions ($\text{Ca}^{2+}$) into the nerve terminal stimulates neuropeptide release producing mast cell degranulation and release of histamine which evokes vascular responses, such as vasodilatation and plasma extravasation (Lewis, 1927; Foreman et al, 1983; Ebertz et al, 1987).
The activation of G-protein receptors coupled to adenylyl cyclase transduction pathways are thought to enhance the sensitivity of sensory neurones to produce a persistent inflammatory state known as primary hyperalgesia (Ferreira & Nakamura, 1979; Taiwo et al, 1989). The prostanoids are well known for sensitising sensory afferent neurones to chemical, thermal and mechanical stimuli (Ferreira, 1972; Handwerker, 1976; Pateromichelakis & Rood, 1982; Mizimura et al, 1987; Schiable & Schmidt, 1988; Nicol & Cui, 1994) and this sensitisation is thought to be mediated by the activation of an intracellular cyclic AMP-dependent mechanism (Pitchford & Levine, 1991; Cui & Nicol, 1995).
1.1 Properties of sensory neurones
There are three types of sensory afferent fibre; large myelinated Aβ-fibres, small myelinated Aδ-fibres and small unmyelinated C-fibres. Of these, the afferents that are primarily involved in nociception are the unmyelinated C-fibres and to a lesser extent, the small myelinated Aδ-fibres (Burgess & Perl, 1967; Bessou & Perl, 1969). In this thesis, the unmyelinated C-fibre afferents are referred to as C-fibre neurones and the myelinated Aδ-fibre afferents as Aδ-fibre neurones. These nociceptive neurones have fine branching peripheral endings in the skin, muscle and viscera. They have high thresholds to chemical, mechanical and thermal stimuli and are therefore activated only by a stimulus which is intense enough to cause tissue damage and pain.
Nociceptive afferent neurones
C-fibre neurones have relatively small diameters (approx. 15-25μm), their axons have low conduction velocities (<1m/sec) and are unmyelinated. C-fibre neurones that are nociceptive are fairly non-specific in that they respond to a wide range of chemical, thermal and mechanical stimuli (Bessou & Perl, 1969; Torebjork, 1974) and because of this property, they are often referred to as polymodal nociceptors. They are stimulated by high threshold mechanical stimuli (Schiable & Schmidt, 1988); temperatures above 40°C especially when there is a rapid temperature change (Kumazawa & Perl, 1977; Lynn & Carpenter, 1982); and the application of chemical irritants e.g. bradykinin, dilute acids and mustard oil (Bessou & Perl, 1969).
Aδ-fibre neurones have small to medium diameters (approx. 15-35μm), their axons are myelinated and therefore conduct more rapidly than C-fibre
neurones. However, differences in the conduction velocities between groups of Aδ-fibre neurones has been observed. One group conducts between 2-10m/s and the other between 25-30m/s (Lynn & Carpenter, 1982). The majority of nociceptive Aδ-fibre neurones are high threshold mechanoreceptors although a population of polymodal nociceptors that also respond to chemical and thermal stimuli similar to C-fibre polymodal nociceptors has been identified (Adriaensson et al, 1983). It is thought that the afferent fibres with slower conduction velocities correspond to polymodal nociceptors and the faster conducting fibres are mechanoreceptors.
C-fibre neurones, and to some extent Aδ-fibre neurones, contain specific neuropeptides, such as substance P and calcitonin gene-related peptide (CGRP; Gold et al, 1996), which are synthesised in the cell body and transported to both peripheral and central nerve endings where they are stored and subsequently released in response to noxious stimulation. The actions of these neuropeptides are discussed in more detail in section 1.4 (page 34).
**Morphological classification of sensory neurones**
The cell bodies of sensory neurones found in the ganglia can be classified into one of two distinct groups according to their cytochemistry (Lawson, 1979). Large light cells or A-type neurones generally have a soma with a large diameter and thick myelinated processes. They are characterised by a granular appearance due to the existence of neurofilaments which is recognised by RT97, a monoclonal antibody used as a marker for A-type cells (Anderton et al, 1982). Small dark cells or B-type neurones are small diameter cells with unmyelinated or thinly myelinated processes. These cells lack the presence of neurofilaments.
and are thought to correspond to C-fibre and some Aδ-fibre neurones. It was initially thought that B-type cells may represent the polymodal nociceptors but it has been shown that some Aδ-fibres with fast conduction velocities are B-type cells (Harper & Lawson, 1985).
**Central neuronal pathways**
The central endings of nociceptive afferents terminate in the superficial regions of the dorsal horn and innervate spinothalamic tract neurones either directly or indirectly via interneurones in the dorsal horn. These spinothalamic tract neurones relay information to the thalamus where it is processed (Rang *et al.* 1995) and are thought to consist of subsets that are specific for noxious stimuli and non-specific for both noxious and itch stimuli (McMahon & Koltzenburg, 1992).
**Capsaicin sensitivity**
Capsaicin, the pungent ingredient in hot peppers, is used as a biological tool for the selective identification of nociceptive sensory neurones (for review see Fitzgerald, 1983). Sensitivity to capsaicin cannot be directly correlated with any previously identified groups of sensory afferent neurones that have been classified according to particular morphological, functional or neurochemical characteristics. Capsaicin does, however, selectively activate almost all C-fibre polymodal and thermo- nociceptors and some Aδ-fibre polymodal nociceptors (Heyman & Rang, 1985). These neurones are predominantly B-type neurones containing the neuropeptides substance P and CGRP (Lawson & Harper, 1984). In sensitive neurones, capsaicin produces excitatory, desensitising and neurotoxic
effects (Holzer, 1991) through the activation of a specific ligand-gated ion channel-receptor complex which has recently been cloned (Caterina et al, 1997). The associated channel is a fairly nonselective cation channel and its activation produces an inward current due to the influx of Ca$^{2+}$ and sodium ions (Na$^+$; Wood et al, 1988). When capsaicin is applied to the skin, it produces a burning pain sensation with an associated wheal and flare reaction (Carpenter & Lynn, 1981), due to Ca$^{2+}$ and Na$^+$ influx which depolarises the nerve terminal and stimulates the local release of substance P and CGRP (Gamse et al, 1979; Del Bianco et al, 1991). The associated depolarisation of the neuronal membrane generates action potentials which propagate and activate more distant regions of the nerve. This depolarisation induces the influx of Ca$^{2+}$ via voltage-gated Ca$^{2+}$ channels thus stimulating substance P and CGRP release at sites more distal to the original site of capsaicin application (Gamse et al, 1979; Del Bianco et al, 1991). The release of neuropeptides at these sites will produce neurogenic inflammation (Holzer, 1988; see section 1.4).
1.2 Intracellular Signalling
Noxious and inflammatory stimuli mediate their effects by activating the peripheral nerve terminals of sensory afferents which transmit this information via afferent impulses to the dorsal horn. Their peripheral effects, such as neurogenic inflammation are mediated by the release of neuropeptides from their peripheral nerve endings. Sensory neurone excitability is modulated by a variety of different mechanisms. Changes in membrane potential and agonist stimulation of receptors coupled directly or indirectly via a G-protein regulate
ion channel activity. Also, agonist binding to G-protein coupled receptors activates various intracellular second messenger transduction pathways. The mechanisms altering the excitability of sensory neurones are summarised below.
**Ligand-gated receptors**
The excitation of sensory neurones by chemical agents is mediated by the activation of receptors that are either directly coupled to ion channels (e.g. 5-HT\textsubscript{3} receptor and the ATP P2X receptor) or to G-proteins which modulate ion channel activity either directly (e.g. bradykinin B\textsubscript{2} receptor) or via second messenger transduction cascades (see Figure 1.2.1).
**Figure 1.2.1 Typical receptor-effector mechanisms in sensory neurones**
(R= receptor, G=G-protein, E=enzyme). A shows the direct coupling of a receptor to an ion channel and B shows a G-protein receptor coupled to an ion channel and to second messenger transduction pathways. The G-protein can mediate both stimulatory and inhibitory effects on the receptor. Adapted from Rang et al (1995)
A. ligand-gated ion channel-receptor complex
B. G-protein coupled receptor-ion channel and second messengers
- ions
- changes in membrane excitability
- Ca\textsuperscript{2+} release
- protein phosphorylation
- other
- second messengers
CELLULAR EFFECTS
G-protein coupled receptors
G-proteins have various membrane targets including ion channels and second messenger enzymes such as, phospholipase C (PLC), phospholipase A$_2$ (PLA$_2$) and adenylyl cyclase. Receptors which activate G-proteins associated with PLC and adenylyl cyclase are common to sensory neurones therefore their respective second messenger pathways are described briefly.
PLC-Inositol trisphosphate pathway
The activation of G-proteins that are coupled to the enzyme phospholipase C, stimulate the hydrolysis of the membrane phospholipid, phosphatidylinositol-4,5-bisphosphate (PIP$_2$) to liberate inositol-1,4,5-trisphosphate (IP$_3$) and diacylglycerol (DAG; Berridge & Irvine, 1989). IP$_3$ is released into the cytosol where it mobilises Ca$^{2+}$ from intracellular IP$_3$-sensitive stores and DAG is retained within the membrane where it either activates protein kinase C (PKC) and thus induces the phosphorylation of intracellular proteins, such as enzymes and ion channels (Cohen, 1992), or stimulates arachidonic acid metabolism (Rittenhouse, 1982).
Adenylyl cyclase-cAMP transduction pathway
Stimulatory G-proteins (G$_s$) activate adenylyl cyclase, a membrane bound enzyme which catalyses the conversion of adenosine triphosphate (ATP) to cyclic 3',5'-adenosine monophosphate (cAMP). cAMP subsequently activates cAMP-dependent protein kinase enzymes which, in turn, modulate the activity of a variety of ion channels and enzymes by inducing protein phosphorylation (for review, see McKnight, 1991). Receptors coupled to inhibitory G-proteins (G$_i$)
inhibit adenylyl cyclase activity therefore reducing cAMP formation. Many agents produce their effects by affecting adenylyl cyclase activity, such as forskolin, which directly activates the enzyme to stimulate cAMP formation (Seamon et al, 1981).
**Intracellular Calcium**
Ca$^{2+}$ is fundamental to intracellular signalling in neurones as it controls a wide array of cellular processes including, excitability, neurotransmitter release, gene expression and cell death by regulating the activity of enzymes, ion channels and other proteins (for review, see Berridge, 1998). Neuronal Ca$^{2+}$ signalling can be generated from two sources, via Ca$^{2+}$ influx across the plasma membrane and by Ca$^{2+}$ release from intracellular stores associated with the endoplasmic reticulum. The excessive mobilisation or entry of Ca$^{2+}$ damages neurones therefore, the elevation of intracellular Ca$^{2+}$ ([Ca$^{2+}$]) in neurones is tightly regulated. [Ca$^{2+}$] does not undergo degradation or metabolism like other signalling molecules therefore excess [Ca$^{2+}$], is sequestered by the action of specific binding proteins and is pumped out of the cytosol either across the plasma membrane or into the endoplasmic reticulum.
**Extracellular calcium entry**
Ca$^{2+}$ influx across the plasma membrane can occur via the activation of receptor operated Ca$^{2+}$ channels (ROCC) or voltage operated Ca$^{2+}$ channels (VOCC). Many of the chemical stimuli that activate sensory neurones operate through receptors coupled to cation channels permeable to Ca$^{2+}$, such as ATP (Abbraccio & Burnstock, 1994), capsaicin (Wood et al, 1988) and protons (Bevan
VOCC observed in sensory neurones include L, N and T-type channels. These channels display different activation properties; L and N-type channels have a high threshold for activation whereas T-type channels have a low threshold (Carbone & Lux, 1984). They also vary in their distribution in sensory neurones. N-type currents have been identified in all neurones whereas L-type are predominantly found in small diameter cells, thought to be C-fibre neurones and T-type currents are most abundant in medium diameter cells, presumed to be Aδ-neurones (Scroggs & Fox, 1992). Other VOCC have also been observed in sensory neurones including P,Q and R-type channels (Scott et al, 1991).
**Intracellular calcium stores**
The endoplasmic reticulum (ER) is a continuous membrane system extending into neuronal compartments including the soma, dendrites and synaptic terminals (Terasaki et al, 1994). The ER is often referred to as 'a source and a sink' for intracellular Ca$^{2+}$ in that it can initiate Ca$^{2+}$ signals and buffer cytosolic Ca$^{2+}$ when it is elevated (Miller, 1991). The release of Ca$^{2+}$ into the cytosol is controlled by two families of receptor-ion channel complex, the ryanodine receptor (RyR) and the inositol 1,4,5-trisphosphate receptor (IP$_3$R) named according to their respective sensitivities to ryanodine and IP$_3$. Receptor distribution can vary in different cell types; skeletal muscle have only RyR (Henzi & MacDermott, 1991), xenopus oocytes have only IP$_3$R (Parys et al, 1992) and neurones can have both (Kostyuk & Verkhratsky, 1994; Mironov, 1994). The IP$_3$R and RyR display a similar physiological sensitivity to [Ca$^{2+}$], as both low and high cytosolic Ca$^{2+}$ concentrations inhibit the release of Ca$^{2+}$ from these stores (Finch et al, 1991; Bezporzvanny et al, 1991).
**Ryryanodine receptor-mediated calcium release**
RyR are primarily located in axons and dendrites (Sharp et al, 1993; Martone et al, 1997) and are activated by an increase in $[\text{Ca}^{2+}]$, mediated via $\text{Ca}^{2+}$ influx (McPherson & Campbell, 1993), either across the plasma membrane or from the stimulation of neighbouring RyRs. This mechanism of $\text{Ca}^{2+}$ release is normally termed $\text{Ca}^{2+}$-induced $\text{Ca}^{2+}$ release (CICR). In neurones, CICR is thought to be activated by periods of prolonged depolarisation (Kuba et al, 1992), however, a single action potential has also been shown to trigger the release of $\text{Ca}^{2+}$ from ryanodine-sensitive stores in nodose neurones (Cohen et al, 1997). As well as activating RyRs, ryanodine, at higher concentrations ($\mu$M), inhibits channel opening thus preventing the release of $\text{Ca}^{2+}$ into the cytosol (Shrmigol et al, 1995).
**IP$_3$ receptor-mediated calcium release**
The IP$_3$R is distributed throughout the ER (Sharp et al, 1993; Martone et al, 1997) and the release of $\text{Ca}^{2+}$ from IP$_3$-sensitive stores is stimulated on binding of IP$_3$ to its receptor after the activation of G-protein linked receptors coupled to the PLC / IP$_3$ transduction pathway (Berridge & Irvine, 1989). As well displaying the property of CICR, the IP$_3$R displays a biphasic sensitivity to IP$_3$, where the greatest sensitivity occurs at 0.5-1.0$\mu$M (Clapham, 1995).
**Calcium buffering mechanisms**
Intracellular $\text{Ca}^{2+}$ in resting cells is tightly regulated between 10-100nM primarily by the actions of high affinity cytosolic binding proteins and ATP-dependent $\text{Ca}^{2+}$ pumps on the plasma and ER membranes (Pozzan et al, 1994).
During excessive intracellular Ca$^{2+}$ loads, low affinity mechanisms can also contribute to the buffering capacity of the cell, including storage in the mitochondria (Pozzan et al, 1994) and the Na$^+$/Ca$^{2+}$ exchanger (Strehler, 1995).
There are 2 types of binding proteins; trigger proteins, such as calmodulin, which, on binding Ca$^{2+}$, change their conformation to modulate the activity of enzymes and ion channels, and buffer proteins, such as calsequestrin, which bind Ca$^{2+}$ as the concentration increases within the cytosol (Baimbridge et al, 1992). Binding proteins are generally found clustered near the plasma membrane in the vicinity of the Ca$^{2+}$ channel pore and, as well as buffering the high [Ca$^{2+}$], they are thought to be involved in mediating effects, such as exocytosis and muscle contraction (Clapham, 1995).
1.3 Chemosensitivity of sensory neurones
Peripheral nociceptive neurones are most commonly activated by chemical mediators especially during inflammation and tissue damage where the local release of chemical mediators directly stimulate sensory endings or enhance their sensitivity to other stimuli. There are many chemical agents which can activate these neurones including, bradykinin, ATP, 5-HT, protons, histamine and the prostanoids. A brief overview of the principal chemical mediators involved in the induction of itch, pain and inflammation is provided below. As the work in this thesis concentrates on histamine and prostanoid actions in sensory neurones, these mediators are described in more detail.
Bradykinin
Bradykinin is one of the most potent endogenous algogenic substances (Steranka et al, 1987; Steranka et al, 1988) that produces both pain and hyperalgesia by its excitatory and sensitising effects on nociceptive sensory neurones (Dray & Perkins, 1993). It is synthesised from kininogen precursors following protease activation which is triggered by tissue damage and inflammation (Bhoola et al, 1992; Hargreaves et al, 1993). Bradykinin also mediates a wide range of local inflammatory actions including, vasodilatation and plasma extravasation via the release of substance P and CGRP from capsaicin-sensitive sensory nerve endings (Manzini et al, 1989) and prostanoid formation via the metabolism of arachidonic acid (Kumazawa & Mizumura, 1980; Gammon et al, 1989; Allen et al, 1992; Bhoola et al, 1992; Farmer & Burch, 1992). These effects of bradykinin are thought to be mediated by the activation of the bradykinin $B_2$ receptor sub-type as antagonists for this receptor show antinociceptive and anti-inflammatory properties (Whalley et al, 1987; Steranka et al, 1988). It is unlikely that the excitatory and immediate sensitising effects of bradykinin on sensory neurones occur via the activation of the $B_1$ receptor as, although $B_1$ receptor mRNA has been detected in superior cervical ganglion neurones, agonists for this receptor lack a depolarising effect (Seabrook et al, 1997). Furthermore, Davis et al, (1996), found no specific binding of $B_1$ agonists in primary cultures of DRG neurones. However, $B_1$ receptors may be important in long term sensitisation as receptor expression is upregulated in tissue undergoing inflammation (Dray & Perkins, 1993; Thompson et al, 1996).
$B_2$ receptors are coupled to a G-protein (McGuirk & Dolphin, 1992) and, when stimulated, membrane-bound enzymes such as PLC and PLA$_2$ are activated.
PLC stimulates the generation of IP$_3$ and DAG from membrane phospholipids. IP$_3$, in turn, mobilises Ca$^{2+}$ from intracellular stores to produce an increase in [Ca$^{2+}$], (Thayer et al, 1988) whereas DAG induces ion channel phosphorylation producing an increase in membrane permeability to cations via the activation of PKC (Burgess et al, 1989). This PKC-mediated effect is thought to underlie the mechanism of the bradykinin-induced excitation of sensory neurones (Dray et al, 1988). The resulting depolarisation also stimulates Ca$^{2+}$ influx via voltage-gated Ca$^{2+}$ channels (Burgess et al, 1989) which stimulates the release of substance P and CGRP (Nicol et al, 1992; White, 1996). The bradykinin-induced hyperalgesia is thought to be due to the mobilisation of arachidonic acid and subsequent formation of prostanoids (Gammon et al, 1989), either directly through PLA$_2$ or indirectly via the metabolism of DAG (Burch & Axelrod, 1987). Although Cesare et al, (1999) have shown that the bradykinin-induced sensitisation to thermal stimuli in sensory neurones is due to a direct action of PKC.
**ATP**
During tissue damage, many neuronal and non-neuronal cells, such as sympathetic neurones and tumour and muscle cells, release ATP into the extracellular fluid bathing the sensory nerve endings to produce a sharp but transient pain sensation (Burnstock, 1996) which is due to the activation of sensory neurones (Bleehen, 1978). This excitatory action is due to the activation of P2X purinoceptors (Robertson et al, 1996) which are ligand-gated ion channels, permeant to both monovalent and divalent cations (Abbraccio & Burnstock, 1994). The P2X$_3$ purinoceptor is selectively expressed on small
diameter sensory neurones (Chen et al, 1995) and it is thought that the increased excitability of these neurones and subsequent pain sensation are mediated by the activation of this sub-type.
**5-HT**
Platelets and mast cells both release 5-HT when activated by tissue damage and inflammatory stimuli (Johnson & Erdos, 1973; Fozard, 1984), which, when released increases the excitability of sensory neurones resulting in a transient pain sensation (Richardson et al, 1985). At concentrations insufficient to produce pain, 5-HT can also enhance the sensitivity of sensory neurones, especially to bradykinin (Rang et al, 1991). It is not known which 5-HT receptor sub-type produces these effects and it is possible that the excitatory and sensitising actions are mediated via the activation of different sub-types. There is some evidence that the 5-HT\textsubscript{3} sub-type is involved, particularly in the excitatory actions (Richardson et al, 1985), as it has been located on DRG neurones where it is coupled to a ligand-gated Na\textsuperscript{+} channel (Robertson & Bevan, 1991). Stimulation of this receptor produces a similar excitatory effect seen when 5-HT is applied to a blister base (Richardson et al, 1985). Furthermore, the excitation and pain sensation can be inhibited by tropisetron, a selective 5-HT\textsubscript{3} and 5-HT\textsubscript{4} antagonist (Richardson et al, 1985). A G-protein coupled receptor, such as 5-HT\textsubscript{2}, has been implicated in the sensitising effects of 5-HT (Beck & Handwerker, 1974; Pierce et al, 1995a).
Protons
The accumulation of protons in the fluid bathing sensory nerve endings is characteristic of tissue undergoing inflammation, ischaemia and anoxia (Stahl & Longhurst, 1992; Victor et al, 1988). Acidic solutions have been shown to directly activate sensory afferents (Steen et al, 1992) and it is therefore thought that pain associated with tissue damage may be partly due to a reduction in the pH of the inflammatory exudate. In nociceptive neurones, acidic solutions produce an initial rapid but transient depolarisation which is followed by a more prolonged depolarisation (Bevan & Yeats, 1991). This prolonged depolarisation is associated with an increase in membrane permeability to Na$^+$ and Ca$^{2+}$ and can be maintained for several minutes in the presence of low extracellular pH (pH$_o$; Bevan & Yeats, 1991). The ionic conductance activated by low pH$_o$ is thought to be identical to that activated by capsaicin (Bevan et al, 1993) and it has been suggested that protons may be an endogenous ligand for the capsaicin receptor. This is supported by the fact that almost all nociceptive sensory neurones that respond to low pH$_o$ also respond to capsaicin (Bevan & Yeats, 1991; Bevan et al, 1993; Bevan & Richards, 2000) and the localisation of the changes in [Ca$^{2+}$] are similar for both protons and capsaicin (Bevan & Richards, 2000). However, studies using capsazepine, the specific antagonist for the capsaicin receptor (Bevan et al, 1992), have yielded conflicting results. In some studies it produced an inhibition of the proton-induced inward current in trigeminal neurones (Fox et al, 1995) and afferent fibres (Lou & Lundberg, 1992) whereas Bevan et al (1992) found that capsazepine failed to inhibit the proton-induced ion flux in cultured DRG neurones. The reason for this is unclear but it may indicate the existence of more than one capsaicin receptor sub-type, one which responds to
capsaicin alone and one which responds to both protons and capsaicin, or in the mechanism of activation of the current between cell types.
**Histamine**
Histamine, which is stored in mast cells and released after mast cell degranulation was first thought to be involved in inflammatory reactions when a substance with the properties of histamine was released from skin cells in response to physical injury (Lewis, 1927). It is now known to be an important mediator of inflammation and allergy resulting in the contraction of airway smooth muscle, vasodilatation and increased vascular permeability. Histamine is also thought to be the primary mediator of itch as intradermal injection produces a pure sensation of itch and the intensity of the sensation is related to the histamine concentration (Magerl et al, 1990; Ward et al, 1996).
Histamine also has non-inflammatory actions including stimulation of gastric acid secretion and is thought to have a regulatory role for neurotransmitter release in the central nervous system (CNS).
Histamine is synthesised and stored principally in mast cells of almost all peripheral mammalian tissues especially the skin, lung and gastric mucosa (Riley & West, 1966). It is stored in intracellular secretory granules loosely bound to a heparin-protein complex (Metcalfe et al, 1997) and the concentration of histamine in these granules is thought to be in the molar range (Garrison & Rall, 1990). Physical injury, inflammatory and chemical stimuli trigger the release of histamine from mast cells by producing a rise in $[\text{Ca}^{2+}]$ and thus activating a $\text{Ca}^{2+}$-dependent exocytotic mechanism (Lagunoff et al, 1983). Local to its site of release, the concentration of histamine may be as high as $10^{-4}$ or $10^{-3}\text{M}$ (Garrison
however, these concentrations will decline with distance from its site of release and with time as histamine is rapidly metabolised by enzymes such as histaminase and methyl transferase (Kahlson & Rosengren, 1968).
**Mechanism of action**
Histamine exerts its effects by acting through specific receptors which have been defined as $H_1$, $H_2$ and $H_3$ according to the development of specific agonists and antagonists for each subtype (Hill, 1990). Both $H_1$ and $H_2$ sub-type but not $H_3$ sub-types have been cloned (Fujimoto et al, 1993; Gantz et al, 1991) and they are all thought to be G-protein coupled receptors which operate through different second messenger systems. $H_1$ receptors are positively coupled to the PLC / IP$_3$ pathway to bring about an increase in $[\text{Ca}^{2+}]_i$, while $H_2$ receptors are coupled to the stimulation of the adenylyl cyclase/cAMP pathway. The second messenger system of the $H_3$ receptor is less certain, however it is thought to be negatively coupled to PLC / IP$_3$ resulting in a decrease in $[\text{Ca}^{2+}]_i$.
Histamine produces its inflammatory effects and elicits itch sensations via the activation of the $H_1$ receptor sub-type as sensory afferent neurones can be stimulated by exposure to histamine which is blocked by $H_1$ antagonists (Tani et al, 1990). Also, most of the histamine receptors located in the periphery are of the $H_1$ sub-type (Ganellin & Parsons, 1982).
The pharmacological properties and signal transduction pathways of each receptor is summarised in Table 1.3.1.
**H₁ receptors**
This sub-type was first described by Ash & Schild (1966) when it was discovered that the main inflammatory actions of histamine, including bronchial smooth muscle contraction, vasodilatation and increased vascular permeability, were sensitive to inhibition by the classical 'antihistamines' such as mepyramine.
**Table 1.3.1 Histamine receptor classification and signal transduction pathways**
| Receptor | Agonist | Antagonist | Transduction mechanism | Main actions |
|----------|---------------|---------------------|------------------------|-------------------------------------------------------------------------------|
| H₁ | 2-methylhistamine | mepyramine (Kᵢ=0.8nM) | ↑ [Ca²⁺] via PLC/IP₃ | smooth muscle contraction e.g. airway; vasodilatation; increased vascular permeability; excitation of sensory neurones |
| H₂ | dimaprit | cimetidine (Kᵢ=800nM) | + AC/cAMP | stimulation of gastric acid secretion; smooth muscle relaxation e.g. airway and vascular |
| H₃ | immepip | thioperamide (Kᵢ=4.3nM) | ↓ [Ca²⁺] via inhibition of VOCC | auto-regulation of neurotransmitter release |
First described in 1944, mepyramine is still one of the most potent and effective H₁ receptor antagonists (Hill, 1987). Apart from the periphery, H₁ receptors are also located throughout the mammalian brain, where histamine is thought to play a role in central functions such as, wakefulness, cardiovascular regulation, and in memory formation (Schwartz *et al.*, 1991).
The discovery of a good selective H₁ agonist has so far proved disappointing. Some of the most commonly used agents include 2-methylhistamine and 2-pyridylethylamine and although they act as full agonists in
guinea pig ileum (Ganellin & Parsons, 1982), they only exhibit partial agonist activity in the cerebral cortex (Donaldson & Hill, 1987). Also, their selectivity for $H_1$ receptors is only 3 to 4 times greater than for $H_2$ receptors (Hill, 1987).
**Second messenger pathway**
It is thought that the activated $H_1$ receptor interacts with a pertussis toxin-insensitive G-protein (Nakahata et al, 1986) coupled to the PLC / IP$_3$ transduction pathway to stimulate the mobilisation of $[Ca^{2+}]_i$ from intracellular IP$_3$-sensitive stores. The stimulation of a wide range of $H_1$ receptors produces an increase in $[Ca^{2+}]_i$ (Matsumoto et al, 1986; Kotlikoff et al, 1987; Pollock et al, 1988) and histamine has been shown to stimulate the breakdown of inositol phospholipids in rat brain (Friedel & Schanberg, 1975) and in a number of peripheral tissues (Jafferji & Michell, 1976; Grandordy et al, 1987). Also, the regional distribution of the inositol phosphate response mirrors the distribution of $H_1$ receptors (Daum et al, 1983) and is selectively inhibited by mepyramine (Daum et al, 1984).
There is some evidence that, as well as inducing the breakdown of inositol phospholipids, $H_1$ receptor activation also stimulates Ca$^{2+}$ entry across the plasma membrane. The histamine-induced contractile response in guinea pig smooth muscle is partly dependent on extracellular Ca$^{2+}$ (Bolton et al, 1979) and is partly sensitive to inhibition by dihydropyridine antagonists, such as nifedipine (Morel et al, 1987), suggesting that Ca$^{2+}$ entry via voltage-gated Ca$^{2+}$ channels is involved in the $[Ca^{2+}]_i$ response. It has been proposed that histamine activates these channels by first inducing Ca$^{2+}$ release from IP$_3$ sensitive intracellular stores (Oakes et al, 1988). However, in a short communication, it has also been shown
that the rise in $[\text{Ca}^{2+}]$, via $\text{H}_1$ receptor activation in cultured nodose ganglion cells is mediated entirely by a $\text{Ca}^{2+}$ entry pathway (Tani et al, 1990).
**$\text{H}_2$ receptors**
It was known that the classical $\text{H}_1$ antagonists failed to inhibit all histamine-induced responses such as, the stimulation of gastric acid secretion. The discovery of effective antagonists in blocking these effects led to the identification of the $\text{H}_2$ receptor sub-type (Black et al, 1972). Activation of this receptor sub-type also mediates cardiac effects, such as, the positive chronotropic response of the guinea pig right atrium (Levi et al, 1982).
The first effective antagonist at $\text{H}_2$ receptors to be discovered was cimetidine and is still widely used in the treatment of conditions involving gastric acid secretion in man, such as peptic ulcer.
**Second messenger pathway**
Histamine stimulates the formation of cAMP in many cells including gastric mucosal parietal cells (Chew et al, 1980), cardiac myocytes (Warbanow & Wollenberger, 1982), vascular smooth muscle (Reinhardt & Ritter, 1979) and basophils (Lichtenstein & Gillespie, 1975). It is thought that this effect is mediated via the activation of $\text{H}_2$ receptors as it has been shown that histamine directly stimulates adenylyl cyclase activity in guinea pig cardiac muscle by its actions on $\text{H}_2$ receptors (Klein & Levey, 1971). The stimulation of intracellular cAMP produces smooth muscle relaxation (Reinhardt & Ritter, 1979) but it also enhances $\text{Ca}^{2+}$ currents in ventricular myocytes through a cAMP-dependent phosphorylation of voltage gated $\text{Ca}^{2+}$ channels (Levi & Alloatti, 1988).
H₃ receptors
A third receptor sub-type was proposed to describe the regulatory role of histamine for neurotransmitter release from rat cerebral cortical slices (Arrang et al, 1983) which was later confirmed after the discovery of selective ligands (Arrang et al, 1987). H₃ receptors are located on presynaptic nerve terminals and activation of this sub-type is thought to inhibit histamine release from the nerve terminal in the cerebral cortex, striatum, hippocampus and hypothalamus of the rat (Arrang et al, 1985). It is thought that the physiological role of this sub-type is to mediate a tonic inhibition in the CNS, as selective H₃ antagonists, such as thioperamide, produce an increase in histamine synthesis and release (Arrang et al, 1983; Arrang et al, 1985). H₃ receptors are generally located in the CNS, including cerebral cortex, striatum, hippocampus and olfactory nuclei. They have also been detected in the periphery e.g. in guinea pig lung parenchyma (Arrang et al, 1987) but the role of these peripheral H₃ receptors is not known.
Second messenger pathway
The mechanisms underlying the H₃ receptor-mediated effects are not clear. The receptor has been shown to be coupled to a pertussis toxin-sensitive G-protein (Clark & Hill, 1996) and its activation may produce an inhibition of voltage gated Ca²⁺ channels therefore preventing the entry of Ca²⁺ that is required for histamine release (Poli et al, 1994; Endou et al, 1994). There is also some evidence that the receptor may be negatively coupled to the PLC / IP₃ transduction pathway (Cherifi et al, 1992).
Prostanoids
The prostanoids elicit a wide variety of responses in many different cell types including: contraction and relaxation of smooth muscle of different types such as vascular, tracheal, uterine and gastro-intestinal; stimulation and inhibition of platelet aggregation; non-acid secretion from epithelial cells; inhibition of water reabsorption in the kidney; luteolysis and sensory afferent neurone sensitisation. They produce these effects by acting through specific receptors which have been identified for each of the naturally occurring prostanoids and named EP receptors for prostaglandin (PG) E$_2$, IP for PGI$_2$, DP for PGD$_2$, FP for PGF$_{2\alpha}$ and TP for thromboxane (TX) A$_2$ (Coleman et al., 1994). Each prostanoid has a potency of at least one order of magnitude greater for their respective receptor than any of the other prostanoids.
EP receptor activation produces a range of biological activities and can mediate opposing effects on the same tissue, such as, contraction and relaxation of smooth muscle. This is due to the existence of different EP receptor sub-types and, to date, four EP receptor sub-types have been identified and classified EP$_1$, EP$_2$, EP$_3$ and EP$_4$ (Pierce et al., 1995b). It is now clear that alternative mRNA splicing of the EP$_3$ receptor results in different isoforms and activation of these receptors can evoke both stimulatory and inhibitory actions due to coupling to different second messenger transduction mechanisms (Pierce et al., 1995b). The properties of each receptor sub-type including nomenclature, pharmacological agents and receptor transduction pathways is summarised in Table 1.3.2.
### Table 1.3.2 Prostanoid receptor classification and signal transduction pathways
| Prostanoid | Receptor | Agonist | Antagonist | Transduction mechanism | Main actions |
|------------|----------|-------------|--------------|------------------------|-------------------------------------------------------------------------------|
| PGE₂ | EP₁ | iloprost | SC-19220 AH6809 | ↑ [Ca²⁺] via non-IP₃ mechanism | smooth muscle contraction e.g. trachea, GI tract |
| | EP₂ | butaprost | none | + AC/cAMP | smooth muscle relaxation; non-acid secretion in epithelial cells; sensory afferent sensitisation |
| | EP₃ | enprostil | none | ↑ [Ca²⁺] via PLC/IP₃ - AC/cAMP | stimulatory - smooth muscle contraction inhibitory - prevents water reabsorption in kidney |
| | EP₄ | none | AH23848 | + AC/cAMP | smooth muscle relaxation e.g. vascular, trachea, etc |
| PGI₂ | IP | cicaprost | none | + AC/cAMP | inhibit platelet aggregation; vascular smooth muscle relaxation; sensory afferent sensitisation |
| PGD₂ | DP | BW 245C | BWA868C | + AC/cAMP | inhibit platelet aggregation; vascular smooth muscle relaxation |
| PGF₂α | FP | fluprostenol| none | ↑ [Ca²⁺] via PLC/IP₃ | luteolysis; smooth muscle contraction e.g. myometrium, iris sphincter |
| TXA₂ | TP | U44069 | AH23848 vapiroprost BAY u3405 | ↑ [Ca²⁺] via PLC/IP₃ or non-IP₃ mechanism | stimulate platelet aggregation; vascular smooth muscle contraction |
Transduction pathways
All of the prostanoid receptors have been cloned and they belong to the family of G-protein coupled receptors, consisting of a single sub-unit structure of seven transmembrane domains, an extracellular amino terminus and an intracellular carboxyl terminus (Pierce et al, 1995b). These G-protein coupled receptors operate through second messenger pathways to alter either $[\text{Ca}^{2+}]$, or intracellular cAMP ([cAMP]; see Table 1.3.2). Stimulation of EP$_1$, EP$_3$, FP and TP receptors evokes a rise in $[\text{Ca}^{2+}]$, however, the $[\text{Ca}^{2+}]$ signal is mediated via different mechanisms. The Ca$^{2+}$ response associated with EP$_3$ and FP receptor activation is thought to arise from Ca$^{2+}$ release from IP$_3$ sensitive intracellular stores (Kitanaka et al, 1994; Raymond et al, 1983). The mechanism of the response after EP$_1$ and TP receptor stimulation is less clear. Some studies have shown that the EP$_1$ response is entirely dependent on extracellular Ca$^{2+}$ (Creese & Denborough, 1981) whereas others found it to be mediated, at least in part, by Ca$^{2+}$ mobilisation from IP$_3$-insensitive intracellular stores (Watabe et al, 1993).
The rise in $[\text{Ca}^{2+}]$ obtained after TP receptor activation is thought to be mediated either by Ca$^{2+}$ mobilisation from IP$_3$ sensitive intracellular stores (Shenker et al, 1991; Yamagishi et al, 1992), or from a non-IP$_3$ source such as IP$_3$-insensitive store release or a Ca$^{2+}$ entry pathway (Arita et al, 1989). The activation of EP$_2$, EP$_4$, IP and DP receptors are coupled to the stimulation of the adenylyl cyclase / cAMP pathway (Honda et al, 1993; Boie et al, 1994; Gorman et al, 1977; Hashimoto et al, 1990; Simon et al, 1980) whereas EP$_3$ receptor stimulation produces an inhibition of adenylyl cyclase activity and subsequent decrease in cAMP formation (Negishi et al, 1989; Sonnenburg et al, 1990).
Receptor Pharmacology
To date, the development of specific agonists and antagonists for each of the prostanoid receptors has been disappointing (see Table 1.3.2). There have been no selective agonists identified for EP$_4$ receptors and no selective antagonists for EP$_2$, EP$_3$, IP and FP receptors. Many of the agents that show some efficacy for one receptor sub-type often have activity at another e.g. iloprost is relatively selective for EP$_1$ but it also a potent IP receptor agonist (Sheldrick et al, 1988) and TP antagonists have been shown to be selective for EP$_4$ receptors although they have a relatively low potency (Coleman et al, 1994).
Biosynthesis of prostanoids
The prostanoids are not stored pre-formed in tissues, instead, they are synthesised de novo at their site of action from the metabolism of arachidonic acid. When cells are stimulated by chemical, electrical or other injurious stimuli, arachidonic acid is liberated from membrane phospholipids by the actions of Ca$^{2+}$-dependent phospholipases, such as PLA$_2$ (for review see Shimuzu & Wolfe, 1990). Arachidonic acid can then undergo metabolism by several pathways, catalysed either by cyclo-oxygenase (COX) enzymes to form prostanoids or lipoxygenase (LOX) enzymes to form leukotrienes and lipoxins.
Metabolism of arachidonic acid by cyclo-oxygenase
The COX-2 isoform is thought to catalyse the conversion of arachidonic acid to the prostanoids during inflammatory conditions as increased levels of COX-2 have been detected in experimentally induced arthritis (Dubois et al, 1998). The first step in the biosynthetic pathway is the production of the cyclic endoperoxides
PGG$_2$ and PGH$_2$. These unstable intermediates are rapidly converted either enzymatically to TXA$_2$ and PGI$_2$ by their respective synthases or non-enzymatically to PGE$_2$, PGD$_2$ and PGF$_{2\alpha}$. Both TXA$_2$ and PGI$_2$ are unstable at physiological pH and temperature and therefore undergo hydrolysis to TXB$_2$ and 6-keto-PGF$_{1\alpha}$ respectively.
**Metabolism of arachidonic acid by lipoxygenase**
Arachidonic acid can also be metabolised by a group of lipoxygenase (LOX) enzymes, 5-LOX, 12-LOX and 15-LOX, which are located in the cytosol of cells found predominantly in the lung and also in platelets, white blood cells and mast cells. 5-LOX is the principal LOX enzyme, converting arachidonic acid to a hydroperoxy derivative, 5-hydroperoxy-6,8,11,14-eicosatetraenoic acid (5-HPETE) which is subsequently converted to leukotriene A$_4$ (LTA$_4$). LTA$_4$ is then metabolised to LTB$_4$ and LTC$_4$. LTC$_4$ and its metabolic products LTD$_4$ and LTE$_4$ have been shown to have potent bronchoconstrictor activity (Dahlen et al., 1980; Smedegard et al., 1982) and are thought to be constituents of the ‘slow-reacting substance of anaphylaxis’ (SRS-A) released during immediate hypersensitivity reactions, such as asthma (Samuelsson, 1983).
### 1.4 Mechanisms of inflammation, itch and pain
Injurious chemical stimuli initiate a range of peripheral inflammatory responses by activating sensory afferent neurones directly or by increasing their sensitivity to other stimuli. Neurogenic inflammation results from the stimulation of sensory neurones and release of neuropeptides from their peripheral nerve endings.
to produce cutaneous inflammatory responses, including vasodilatation and plasma extravasation. Chemical mediators can elicit the sensations of itch and pain by directly activating sensory afferents and may enhance the sensitivity of sensory neurones to both noxious and innocuous stimuli thereby resulting in hyperalgesia. These inflammatory responses are described below.
**Neurogenic inflammation**
Chemical mediators such as bradykinin and histamine are thought to evoke neurogenic inflammation by stimulating the release of the neuropeptide substance P from the peripheral nerve endings of nociceptive neurones. Substance P is located in small diameter primary afferent neurones (Hokfelt et al., 1975) and its release from these peripheral afferent terminals is directly stimulated by noxious stimuli, such as bradykinin (Manzini et al., 1989), histamine (Bileviciute et al., 1997) and capsaicin (Del Bianco et al., 1991). Substance P is thought to produce neurogenic inflammation both by producing vasodilatation and plasma extravasation (Foreman et al., 1983), and by inducing mast cell degranulation (Ebertz et al., 1987) thereby stimulating the release of histamine and other inflammatory mediators. Antidromic vasodilatation and neurogenic plasma extravasation is inhibited by substance P antagonists (Lembeck et al., 1982; Couture & Cuello, 1984).
**Mast cell histamine produces neurogenic inflammation**
When histamine is administered by intradermal injection, it produces a characteristic 'triple' inflammatory response of vasodilatation, flare and wheal (Lewis, 1927). Histamine stimulates the release of local vasodilator substances such as nitric oxide (NO) and PGI\textsubscript{2} from endothelial cells (Garrison & Rall, 1990) to
produce the initial vasodilatation, which manifests as a localised red spot around the site of injection. The surrounding flare develops more slowly as a result of a spreading vasodilatation induced by the stimulation of axon reflexes in sensory neurones. The wheal then develops after a few mins and occupies the same area as the initial red spot. This oedema is due to increased permeability to plasma proteins and fluid as a result of the direct effect of histamine on postcapillary venules.
It is thought that substance P produces its inflammatory effects, at least in part, by producing mast cell degranulation and subsequent release of histamine. Substance P can directly stimulate the release of histamine from rat mast cells (Johnson et al., 1973; Fewtrell et al., 1982) and H\textsubscript{1} antagonists have been shown to inhibit the flare and reduce the wheal response induced by substance P (Coutts & Greaves, 1982; Foreman et al., 1983). This is further supported by the existence of a functional relationship between histamine-containing mast cells and C-fibre nerve terminals. They are found in close apposition in the periphery (Alving et al., 1991) and dura mater (Dimitriadou et al., 1997) and there is some evidence that mast cells form neuro-effector junctions with substance P-containing fibres around blood vessels (Newson et al., 1983; Skofitsch et al., 1985).
The spreading flare that is associated with neurogenic inflammation may result from a positive feedback mechanism between histamine and substance P. Histamine can elevate [Ca\textsuperscript{2+}] in a sub-population of sensory neurones that contain substance P (Tani et al., 1990) and peripheral sensory terminals have been shown to release substance P in response to a stimulus which produces a rise in [Ca\textsuperscript{2+}] in the nerve terminal (Rane et al., 1987; Nicol et al., 1992; White, 1996). Histamine could therefore stimulate the release of substance P which could then induce mast cell
degranulation and histamine liberation from mast cells (Ebertz et al, 1987; Arock et al, 1989) which could then act back on the same or a closely associated nerve terminal to further stimulate the release of substance P. Indeed, histamine has been shown to stimulate substance P release from peripheral nerve terminals (Tani et al, 1990; Bileviciute et al, 1997). This mechanism could therefore amplify the inflammatory response by activating nerve terminals more distant to the site of the original stimulus.
**Other mediators in neurogenic inflammation**
It has been shown that antagonists of the inflammatory actions of histamine, such as mepyramine, are relatively ineffective when tested in human models of inflammation and allergy (Wallengren & Hakanson, 1992). This is due to the fact that histamine is not the sole mediator of inflammation. As well as histamine, mast cells also contain 5-HT and bradykinin precursor enzymes (Garrett et al, 1982) and it is thought that the release of all of these mediators, rather than just one alone, contributes to the inflammatory state.
Other neuropeptides are known to exist in peripheral afferent neurones, such as CGRP (Ju et al, 1987) and neurokinin A (NKA; Nawa et al, 1984), and these are also thought to mediate neurogenic inflammation. CGRP has been shown to co-exist with substance P in almost all substance P-containing neurones (Louis et al, 1989) and its release evokes a vasodilatation response (Brain et al, 1985). It does not, however, produce extravasation although it potently potentiates the plasma extravasation obtained to substance P (Gamse & Saria, 1985; Louis et al, 1989) and bradykinin (Brain & Williams, 1985). NKA also has inflammatory effects, producing
a vasodilatation and broncoconstriction and increasing vascular permeability (Hua et al, 1984).
**Itch and pain sensations**
The sensation of itch is associated with the desire to scratch and, in common with the sensation of pain, it can be induced by chemical, thermal, mechanical and electrical stimuli (Shelley & Arthur, 1957; Arthur & Shelley, 1959; Tuckett, 1982). Chemical mediators have a central role in the generation of itch and, in particular, the release of mast cell histamine is thought to be important as it has been shown that iontophoretic injection of histamine into the skin produces a pure sensation of itch (Magerl et al, 1990; Ward et al, 1996).
**Neurophysiological mechanisms of itch and pain**
It is well documented that noxious chemical stimuli activate sensory afferents to produce the sensation of pain (for review, see Rang et al, 1991), however, the mechanism by which itch is evoked is poorly understood. There is evidence to suggest that stimuli that produce itch do so by exciting sub-populations of small myelinated and unmyelinated sensory afferents. Itch can be induced by electrical stimulation of unmyelinated C-fibres (Torebjork & Ochoa, 1980) and can be reduced or inhibited by prior topical application of capsaicin (Toth-Kasa et al, 1986; Simone & Ochoa, 1991). Also, concentrations of histamine which produce the sensation of itch have been shown to excite unmyelinated afferent fibres (Fjallbrant & Iggo, 1961; Tuckett & Wei, 1987). Stimuli that produce the sensation of itch are thought to be transmitted by the same central spinal pathways that evoke pain as both are prevented by anterolateral cordotomy (Nathan, 1990).
Although it appears that itch and pain producing substances exert their effects by activating sensory afferents, these sensations are mediated by different mechanisms. Pain can arise from both deep and superficial tissues whereas itch is only evoked in superficial layers of the skin and mucosa (Shelley & Arthur, 1957) therefore suggesting that a smaller sub-population of sensory afferent neurones respond to itch stimuli. Both sensations are not usually experienced simultaneously in the same skin region. Mildly painful noxious counterstimuli sufficient to activate cutaneous afferents can often prevent the sensation itch (Koppert et al, 1993; Ward et al, 1996) but have no effect on chemically-induced pain (Ward et al, 1996).
There are several theories describing the mechanisms of itch and pain sensations (for review, see McMahon & Koltzenburg, 1992), but as yet, no single theory adequately encompasses all the similarities and differences observed with these two sensations.
The Specificity Theory states that stimuli which produce itch and pain are transmitted by separate and exclusive neuronal pathways (see Figure 1.3.1A). Although this provides a simple explanation, such individual populations of neurones have not been identified. Most afferent fibres can respond to both itch and pain-producing stimuli (Tuckett & Wei, 1987; Handwerker et al, 1991). Also, it is thought that itch and pain are transmitted by the same spinal pathways (Nathan, 1990).
The Intensity Theory suggests that itch may be a 'subliminal' form of pain in that low levels of activity in nociceptive fibres signal itch whereas higher levels of activity in the same fibres signal pain (see Figure 1.3.1B). Although itch and pain stimuli are thought to excite similar populations of sensory afferents, increasing the frequency of an electrical stimulus that previously produced an itch response,
intensifies the sensation rather than producing pain (Torebjork & Ochoa, 1980; Tuckett, 1982). Also, moderate itch or noxious stimuli evoke similar firing patterns in peripheral nociceptive afferents (Handwerker et al, 1991).
The Selectivity Theory accounts for the absence of an exclusive sub-population of peripheral and central itch processing neurones. It suggests that within the population of nociceptive afferents, a subset of afferent neurones exists that respond to itch stimuli. This sub-population are thought to signal to different central neurones to those that are activated by painful stimuli (see Figure 1.3.1C). A noxious stimulus would therefore activate both this subset of itch sensitive fibres as well as other nociceptive afferents. This widespread activation of nociceptive afferents would prevent the stimulation of itch processing pathways and thereby provides an explanation for the inhibition of itch by noxious stimuli.
Finally, the Pattern Theory suggests that both peripheral and central neurones are non-specific in that they are able to respond to a wide variety of both itch and pain producing stimuli. Whether an itch or pain sensation is transmitted is dependent on the discharge patterns of these neurones, however, the discharge pattern that would result in either itch or pain sensations is not specified. One possible pattern is that both itch and pain-producing stimuli are encoded by an overlapping sub-population of neurones (see Figure 1.3.1D). There is, however, no evidence that these separate sensations are encoded by distinct discharge patterns.
Figure 1.3.1 Schematic representation of the theoretical neuronal pathways for the transmission of itch and pain-producing stimuli.
A represents the Specificity Theory, B, Intensity Theory, C, Selectivity Theory and D, Pattern Theory. In D, open circles represent non-activated neurones whereas filled circles are stimulated neurones. Adapted from McMahon & Koltzenburg (1992).
Hyperalgesia
During inflammation and tissue injury, the phenomenon of hyperalgesia may occur, whereby pain is experienced when the inflamed site is touched or moved. This tenderness, known as primary hyperalgesia, is thought to arise from the sensitisation of nociceptors and is characterised by either, a decreased threshold for a response to a previously non-noxious stimulus or an increased response to a known noxious stimulus (Meyer et al, 1994). It has been shown that high levels of circulating mediators such as bradykinin and the prostanoids are present in the fluid of injured and inflamed tissue (Melmon et al, 1967; Willis, 1969) and it is thought that mediators such as these contribute to nociceptor sensitisation.
Bradykinin activates sensory neurones itself (Dray et al, 1988) but it can also increase the sensitivity of these neurones to thermal (Kumazawa et al, 1991; Cesare et al, 1999) and mechanical stimuli (Birrell et al, 1993). At concentrations which are present in inflammatory exudates, the prostanoids are not thought to have any excitatory effect (Ferreira, 1972; Mizumura et al, 1991; Rueff & Dray, 1993, although see Chahl & Iggo, 1977), instead, they enhance the response to thermal (Handwerker, 1976; Mizumura et al, 1991), mechanical (Pateromichelakis & Rood, 1982; Schaible & Schmidt, 1988) and chemical stimuli, such as bradykinin (Ferreira, 1972; Mizimura et al, 1987; Nicol & Cui, 1994).
Prostanoid-induced sensitisation
There are numerous studies reporting the sensitising effects of PGE$_2$ (e.g. Ferreira, 1972; Williams & Morely, 1973; Baccaglini & Hogan, 1983) and although other prostanoids almost certainly play a part in the sensitisation process, the extent of their involvement remains unclear. PGI$_2$ has been shown to enhance
nociceptor sensitivity (Mizumura et al, 1987; Birrell et al, 1991; Pitchford & Levine, 1991) but the sensitisation is generally less pronounced and shorter lasting than that obtained to PGE\textsubscript{2} (Mizumura et al, 1991, Schepelmann et al, 1992). The sensitising effects of PGF\textsubscript{2a} and PGD\textsubscript{2} are less certain. There is some evidence that PGF\textsubscript{2a} can enhance the sensitivity of afferent fibres to chemical and thermal stimuli (Rueff & Dray, 1993) although others have found it lacked a sensitising effect to chemical (Williams & Morley, 1973) and mechanical stimuli (Taiwo & Levine, 1990). Similar results have been obtained for PGD\textsubscript{2}, in some cases it has been shown to sensitise sensory neurones (Andreeva & Rang, 1993), whereas in others, it did not produce a sensitisation (Rueff & Dray, 1993).
The prostanoids are not the only mediators that produce nociceptor sensitisation. LTB\textsubscript{4} and 8(R),15(S)-dihydroxyicosa-(5E-9,11,13Z)-tetraenoic acid (8(R),15(S)-diHETE), both lipoxygenase products of arachidonic acid metabolism, as well as bradykinin and noradrenaline also enhance the sensitivity of primary afferent fibres to other chemical stimuli, such as bradykinin, (Beck & Handwerker, 1974; Levine et al, 1986a) and to mechanical stimuli (Levine et al, 1986b; Martin et al 1987). However, the mechanism by which these mediators produce the sensitisation, differs. The prostanoids and 8(R),15(S)-diHETE are thought to act directly whereas bradykinin, noradrenaline and LTB\textsubscript{4} are thought to interact with other cellular elements to stimulate the release of mediators which then act to enhance the sensitivity of sensory neurones.
\textit{Indirect mechanism of sensitisation}
The inflammatory mediators, bradykinin and noradrenaline, are thought to act by stimulating the production of cyclo-oxygenase products of arachidonic acid
metabolism from sympathetic postganglionic neurones which, when released, act on sensory neurones to produce the sensitisation. The hyperalgesic effects of bradykinin and noradrenaline are blocked by sympathectomy (Levine et al, 1986a) and these mediators have been shown to stimulate the production of prostanoids in vitro (Lembeck et al, 1976; Taiwo & Levine, 1988). Also, indomethacin, a potent inhibitor of prostanoid synthesis (Ferreira et al, 1971) prevents the sensitisation to both bradykinin and noradrenaline (Lembeck et al, 1976; Levine et al, 1986a).
The hyperalgesia produced by LTB₄ is not inhibited by indomethacin (Levine et al, 1986b) and is therefore thought to occur via a different mechanism. It is thought that LTB₄, a potent leukocyte chemotactic factor, stimulates the release of 8(R),15(S)-diHETE from polymorphonuclear leukocytes. Depletion of these cells prevents the LTB₄-induced hyperalgesia (Levine et al, 1986b) and 8(R),15(S)-diHETE has been shown to act directly on sensory neurones to produce a sensitisation (Taiwo et al, 1987).
**Direct mechanism of sensitisation**
The prostanoids and 8(R),15(S)-diHETE are thought to sensitise sensory neurones directly as the onset of hyperalgesia has a significantly shorter latency than that produced by bradykinin, noradrenaline and LTB₄ (Taiwo et al, 1987; Khasar et al, 1994). Eliminating all possible interactions with indirect hyperalgesic mechanisms, by inducing sympathectomy and depleting leukocytes in the presence of indomethacin, had no effect on the sensitisation associated with PGE₂ and PGI₂ (Taiwo & Levine, 1989a; Khasar et al, 1994). Furthermore, prostanoids can sensitise sensory neurones in culture to capsaicin in the absence of any other neuronal and non-neuronal cells (Pitchford & Levine, 1991).
Intracellular mechanism of the prostanoid-induced sensitisation
The sensitising effects of the prostanoids are thought to be mediated, at least in part, by the activation of the intracellular adenylyl cyclase / cAMP transduction cascade. Agents that elevate intracellular cAMP have been shown to mimic the sensitising effects of PGE$_2$ in the rat hind paw (Ferreira & Nakamura, 1979), in primary afferent fibres (Taiwo et al., 1989), and in cultured sensory neurones (Pitchford & Levine, 1991; Cui & Nicol, 1995). This prostanoid-induced sensitisation can be enhanced in the presence of a phosphodiesterase inhibitor, which prevents the breakdown of cAMP (Taiwo & Levine, 1989b; Pitchford & Levine, 1991) or by increasing the activity of G$_s$, the stimulatory G-protein that couples the activated prostanoid receptor with adenylyl cyclase (Taiwo & Levine, 1989b; Wang et al., 1996). Furthermore, decreasing G$_s$ or adenylyl cyclase activity produces an inhibition of the PGE$_2$-mediated sensitisation. (Taiwo et al., 1989; Cui & Nicol, 1995; Wang et al., 1996).
The mechanism of the sensitisation may involve enhanced protein phosphorylation as okadaic acid, a phosphatase inhibitor, has been shown to sensitize sensory neurones in culture to bradykinin (Hingtgen & Vasko, 1994). This phosphorylation may occur by the actions of a cAMP dependent protein kinase on membrane receptors or ion channels as cAMP dependent protein kinase inhibitors have been shown to block the PGE$_2$-mediated sensitisation in cultured sensory neurones (Cui & Nicol, 1995) and primary afferent fibres (Wang et al., 1996). However, Ingram & Williams (1996) have shown that PGE$_2$ modulates a hyperpolarisation-activated current in primary afferent neurones via a direct action of cAMP.
1.5 Aims of the study
The principal aim of this thesis is to describe the modulation of intracellular Ca$^{2+}$ by histamine in cultured sensory neurones. Also, as there is some evidence that the sensitising agent PGE$_2$ can enhance the sensation of itch produced by histamine *in vivo* (Ferreira, 1972; Lovell *et al*, 1976), the effects of PGE$_2$ on the histamine response in cultured sensory neurones was therefore investigated.
2. METHODS
The sources of all laboratory chemicals are listed in Appendix 6.1.
2.1. Preparation of cultured dorsal root ganglion neurones
Adult male Sprague-Dawley rats (220-280g) were killed by exposure to a rising concentration of carbon dioxide ($\text{CO}_2$) followed by cervical dislocation (schedule I procedure). The vertebral column was removed from the animal and a 3-4mm strip of bone was cut from the dorsal roof along the length of the column. This exposes the spinal cord and the recessed bony cavities which contain the ganglia (see Figure 2.1.1).
Figure 2.1.1 Schematic representation of the DRG dissection procedure
The vertebral column is exposed and removed from the rat and a strip of bone is cut away from the dorsal surface of the column in A. The DRG are freed from their cavities by cutting the dorsal and ventral roots in B and the remaining root stumps are trimmed from the ganglia in C. Adapted from Lindsay et al, (1991)
Ganglia from all spinal cord levels were carefully removed and placed in Ham's F14 medium (for composition see Appendix 6.1.2) containing 4% USG (Ultraser-G serum supplement). After all the ganglia were dissected, the dorsal and ventral root stumps were trimmed and the 'cleaned' ganglia were transferred into medium containing collagenase (type IV: approx. 463U/mg) and placed in an incubator for 3-4 hrs (37°C; 3% CO₂).
**Isolation of DRG neurones**
After incubation in collagenase, the ganglia were washed twice in Ham's F14 & USG to remove enzyme and then resuspended in Ham's F14 medium. Ganglia were gently triturated through a flame-polished short-bore Pasteur pipette approx. 10 times until a cloudy cell suspension was obtained. After the ganglia were allowed to settle, the supernatant was removed and retained in a centrifuge tube. The remaining undissociated ganglia were resuspended in Ham's F14 medium and the trituration step was repeated (normally 6-8 times) until the cell to debris ratio in the suspension was low. Removing the cell suspension obtained after each step ensured that those cells already dissociated did not undergo mechanical damage during subsequent trituration steps.
Each cell suspension that was collected was combined and spun through 15% bovine serum albumin (BSA) in Ham's F14 medium at 1200-1300 rpm for 5 mins. After centrifugation, the supernatant was removed and the remaining cell pellet was resuspended in Ham's F14 & USG supplemented with nerve growth factor (NGF: 0.2μg/ml).
Neurones were maintained in medium containing NGF as they depend on it for their growth and survival (Johnson *et al*, 1980; Levi-Montalcini, 1987). The
synthesis of neuropeptide transmitters appears to be dependent on NGF. Adult DRG neurones grown in culture in the absence of NGF in the culture medium contain low levels of substance P and CGRP which are restored to normal when NGF is added back to the media (Lindsay & Harmer, 1989; Lindsay et al, 1989). Also, the sensitivity of sensory neurones to some chemical mediators is regulated by NGF e.g. the capsaicin and proton stimulation fades when cultured DRG neurones are maintained in NGF-free medium (Bevan & Winter, 1995).
For fluorescence imaging experiments, cells were plated on to 16mm glass coverslips coated with poly-DL-ornithine (500μg/ml) and laminin (5μg/ml) at a density of approx. $0.1 \times 10^4$ cells/coverslip. For measurement of inositol trisphosphate and cAMP formation, cells were plated on to 13mm glass coverslips at a density of approx. $0.2 \times 10^6$ cells/coverslip.
**Maintenance of cultured DRG neurones**
DRG neurones were maintained in Ham's F14 & USG supplemented with NGF (0.2μg/ml) for up to 7 days. If neurones were maintained for more than 5 days, the mitotic inhibitor cytosine arabinoside (10μM) was included in the medium after 3 days in culture to reduce the growth and subsequent over-crowding by non-neuronal cells. The culture medium was replaced every 2-3 days.
### 2.2 Intracellular calcium imaging
Intracellular Ca$^{2+}$ measurements in response to agonist stimulation were obtained from cultured DRG neurones that had been loaded with the fluorescent ratiometric Ca$^{2+}$ dye, Fura-2. Neuronal Ca$^{2+}$ changes were estimated by exciting the
dye at its two wavelengths and the intensity of fluorescence emission is collected via a cooled charge-coupled device (CCD) camera system.
**Principles of fluorescence**
Most compounds, when exposed to light of a particular wavelength, absorb photons which promote the transition of electrons into a higher energy state. When the electron relaxes back into its ground state, light energy is emitted as fluorescence. The energy of light emitted is always lower than that of the energy of absorbed light, therefore, fluorescence emission will always have a longer wavelength than the light absorbed. The range of light energies that are absorbed and emitted by a compound are known as its excitation and emission spectra, and these spectra may be altered, for example when an ion-sensitive dye binds to its constituent ion. It is on these fundamental principles that fluorescent dyes have been developed to detect and measure changes in a wide range of intracellular ions including $\text{Ca}^{2+}$, $\text{H}^+$, $\text{Na}^+$, $\text{K}^+$ and $\text{Cl}^-$.
**Fluorescent $\text{Ca}^{2+}$ indicators**
Indicators used to measure $[\text{Ca}^{2+}]$, may be either single or dual wavelength dyes. The change in fluorescence intensity emitted from a single wavelength dye, such as Fluo-3, on binding $\text{Ca}^{2+}$ is directly proportional to $[\text{Ca}^{2+}]$. Although this gives an indication of changes in $[\text{Ca}^{2+}]$, the intensity of fluorescence emission also depends on the original concentration of the dye, therefore $[\text{Ca}^{2+}]$, cannot be directly measured from fluorescence intensity.
Dual wavelength dyes such as Fura-2 and Indo-I have the advantage that changes in $[\text{Ca}^{2+}]$, manifest as a shift in the excitation or emission spectra rather
than a shift in the fluorescence intensity. When Fura-2, a dual excitation dye, binds Ca$^{2+}$ there is an increase in fluorescence emission at 340nm (bound form of indicator), while fluorescence emission at 380nm decreases (free form of indicator). In other words, when there is an increase in [Ca$^{2+}$], fluorescence intensity will increase at 340nm and decrease at 380nm (see Figure 2.2.1).
Fluorescent Ca$^{2+}$ indicators, such as Fura-2, cannot readily permeate the cell membrane, therefore the acetoxymethyl (AM) ester form of the dye was used as it can cross the cell membrane. Once inside the cell, the AM ester is hydrolysed by non-selective esterases liberating the free acid Fura-2 which is hydrophilic and therefore leaks out of the cell more slowly than the AM ester form. This technique of passive loading increases the chances of cell viability when compared to invasive loading of dyes by micro-injection.
The ratio of the two wavelengths therefore gives an indication of [Ca$^{2+}$], that is independent of light intensity, concentration of dye within the cell, cell thickness and the effects of dye loss through bleaching or leakage across the cell membrane. It is this property of ratiometric dyes that makes them ideally suited for intracellular ion imaging.
Dual excitation dyes are widely used as they require only one detector which measure fluorescence emission whereas dual emission dyes e.g. Indo-1 require two detectors precisely aligned to measure both emission wavelengths.
**Detection of intracellular Ca$^{2+}$ signals**
The neurones were visualised and fluorescence measurements were obtained using an inverted Nikon Diaphot microscope with a range of fluorescence objectives (x40, x20 and x10; see Figure 2.2.2).
Figure 2.2.1 Excitation spectra of the intracellular Ca$^{2+}$ dye, Fura-2.
Excitation spectra of Fura-2 are shown for a range of increasing [Ca$^{2+}$], (0-100 $\mu$M). Emission is measured at 510nm. Adapted from Moreton (1991).
A xenon arc lamp (75W) lamp, which emits a continuous stream of light through the ultra-violet (UV) and visible ranges, was used as the source of excitation. The neurones were exposed to wavelengths of light at 340nm and 380nm via a rotating wheel (Sutter Instruments) alternating between filters of the appropriate wavelength. The time taken to switch between alternate filters reduces the temporal resolution and therefore represents a limitation for the acquisition of fluorescence signals. As absorbed light can generate oxygen free radicals and produce photodynamic cell damage, neurones were exposed to light only during the experimental run and light intensity was kept to a minimum with neutral density filters whilst ensuring an adequate signal. All experiments were performed in the dark to minimise signal contamination by ambient light.
Figure 2.2.2 Schematic representation of experimental apparatus for fluorescence measurements.
DRG neurones plated on 16mm glass coverslips and loaded with Fura-2 were mounted on the stage of an inverted epi-fluorescent microscope. A xenon arc lamp provided the light source and a filter wheel switched alternately between 340 and 380nm exciting the Fura-2. Fluorescence emission above 420nm was collected via a cooled CCD camera.
A dichroic mirror sits in the light path in order to separate excitation and emission wavelengths. The wavelength of the dichroic mirror therefore lies between the excitation and emission wavelengths to ensure that 340 and 380nm wavelengths (Fura-2 excitation) are reflected and light at 510nm (Fura-2 emission) is transmitted. The optimum cut-off wavelength of the mirror should be 20nm longer than the excitation wavelength, therefore, for Fura-2, the dichroic mirror used has a 400nm wavelength. A barrier filter of a longer wavelength (420nm) further
prevented the contamination due to light scatter from the excitation wavelengths. Fluorescence emission was captured by a cooled CCD camera (Digital Pixel, Brighton). The camera and filter wheel were controlled by an Intel Pentium computer which allowed rapid data acquisition and storage using software supplied by Kinetic Imaging (Liverpool).
**Experimental protocol**
\[ \text{[Ca}^{2+}] \] measurements were obtained from DRG neurones that had been maintained in culture for up to 7 days. Ham’s F14 medium was washed and replaced with HCO\(_3^-\) (15mM)-buffered Na\(^+\)-Locke solution (see Appendix 6.1.2 for composition) containing Fura-2 AM (10\(\mu\)M) and the cells were incubated for 20-30 mins in a humidified atmosphere (37°C, 3% CO\(_2\)). After this loading period, the cells were washed with HCO\(_3^-\) -Locke and replaced in the incubator for a further 15 mins to remove any excess dye. The coverslip was then mounted in the experimental chamber, secured by a teflon ring and incubated in Na\(^+\)-Locke buffered with 15mM HEPES (see Appendix 6.1.2 for composition) at room temperature (20-26°C) for the duration of the experiment (see Figure 2.2.2). The neurones were examined under a fluorescence objective (x10, x20 or x40 magnification) and a suitable field of cells was selected. A phase contrast picture of the field was taken, followed by a two frame ‘grab’ (where a ‘grab’ consists of a pair of fluorescence images, one image taken after excitation at 340nm and the other at 380nm. The collection times for 340nm excitation was three times that for 380nm (600ms versus 200ms) with an interval of 5s between images). The fluorescence intensity of both the 340nm and 380nm images was observed to establish if the signal within the neurones was near saturation, or too dark. In either case, the
intensity of the light source was altered using neutral density filters (10%-80% transmission) to obtain an optimum cell signal to background intensity ratio of greater than 3:1. Dividing the images obtained at 340nm by those at 380nm provided an estimation of the resting Ca$^{2+}$ ratio of the neurones. Neurones with a 340:380 ratio in the range 0.8-1.5 were considered healthy, therefore if the ratio of the majority of cells in the field was not within this range, a different field was selected and the above process was repeated.
When satisfied with the field of cells and the intensity of the intracellular signal, a two-part experimental protocol was run. The first part of the experiment involved agonist stimulation and in the second part, neurones were exposed to capsaicin and then to a high K$^+$ solution (50mM). Exposure to agonist was achieved by application of agonist containing medium of an equal volume to the fluid in the bath. This ensured the desired final agonist concentration was uniform and was achieved rapidly. Agonist was washed by draining and replacing the fluid in the bath with HEPES-buffered Na$^+$-Locke. The pH of all experimental solutions was adjusted to pH7.35.
A typical experimental protocol is shown in Figure 2.2.3A. When exposure to agonist was performed in the presence of an antagonist or a sensitising stimulus, the neurones were pre-treated with the agent for a period of either 45s within the same 'grab' or for 5mins in a separate 'grab' (see Figure 2.2.3B and C).
After the initial part of the experiment, cells were washed for 5mins, followed by a 40-frame 'grab'. Capsaicin (500nM) was applied at 45s and high K$^+$-Na$^+$-Locke (see Appendix 6.1.2 for composition) at 145s. This allowed classification of the DRG neurones as capsaicin sensitive or capsaicin insensitive.
Figure 2.2.3 Typical experimental protocol for agonist stimulation in the presence and absence of a sensitising stimulus.
The agonist in this example is histamine (100µM) and the sensitising stimuli are PGE$_2$ (1µM) and forskolin (10µM). A shows the duration of exposure to histamine alone (145s) in a 60-frame ‘grab’. In B, neurones were pre-treated with PGE$_2$ for 45s before histamine was applied in an 80-frame ‘grab’. Both were washed off at 295s. In C, before histamine was applied, the cells were pre-treated with forskolin for 5mins in a 30-frame ‘grab’ (i) to allow it to gain access to the cell and activate adenyl cyclase. There was a rest period of 15s before histamine was applied in a 60-frame ‘grab’ (ii).
The interval between images in each ‘grab’ was 5s except for the forskolin experiment, in C, where the interval in the 30-frame ‘grab’ was prolonged to 10s in order to reduce file size.
It also gave an indication of neuronal health, as cells which did not respond to either capsaicin or a high K⁺ were considered unhealthy and measurements from such cells were not included in this study.
At the end of the experiment, the chamber was drained and cells were lysed with 0.1-1.0% triton to discharge the cytosolic dye. A five frame 'grab' was then taken to give an estimation of the background signal that was due to light scatter, autofluorescence and dye bound to intracellular constituents.
Each 'grab' was stored as a single experimental sequence on a magneto-optical disk for subsequent analysis.
**Analysis of data**
The acquired experimental images were analysed using software supplied by Kinetic Imaging (Lucida v3.51). Briefly, both the experimental sequence and the 5-frame background 'grab' were separated into the signals obtained at 340nm and 380nm wavelengths. The background signal of equivalent wavelength was subtracted from the experimental sequence and the resulting 340nm image was 'thresholded' to ensure cellular measurements were obtained from areas of true signal and to minimise background noise. This 'thresholded' image was then divided by the 380nm image and the sequence of ratio values obtained indicated the neuronal [Ca²⁺] responses. The ratio values from specific cellular regions for the experimental sequence were highlighted, then imported and analysed in Microsoft Excel (v7.0) and plotted in Microcal Origin (v3.5). Individual responses from identical protocols were pooled and a mean ratio value ± the standard error of the mean (s.e.m.) for the experimental sequence was determined. A significant difference between mean ratio values was determined using an unpaired two-tailed
t-test. When comparing the percentage of cells responding to one treatment compared to another treatment, the number of cells responding was pooled and expressed as a percentage of the total number of cells tested for that specific treatment. A statistical difference in the number of cells responding was determined using Fisher’s Exact Test.
The diameter of the neurones were measured using a calibrated stage graticule up to 2-3 days in culture as growth of non-neuronal cells was minimal.
**Calibrations**
\[ \text{[Ca}^{2+}\text{]} \] was estimated from the ratio of the fluorescent intensities at the two excitation wavelengths as described by Grynkiewicz et al. (1985). Briefly, the maximum ratio value (\( R_{\text{max}} \)) was obtained by permeabilising the neurones with the Ca\(^{2+}\)-selective ionophore, 4-bromo A23187 (5 \( \mu \)M) and discharging intracellular Ca\(^{2+}\) stores with thapsigargin (1 \( \mu \)M) in buffer containing 50mM KCl and 2mM CaCl\(_2\). The cells were then washed several times with buffer of a similar composition to the above but without CaCl\(_2\) and containing 10mM EGTA. This provided the minimum ratio (\( R_{\text{min}} \)). Using this protocol, the constants \( R_{\text{min}} \) and \( R_{\text{max}} \) were 0.88 ± 0.047 and 4.23 ± 0.279, respectively (n=12). The \[ \text{[Ca}^{2+}\text{]} \] for intermediate values were then calculated from the following equation (Grynkiewicz et al, 1985):
\[
\text{[Ca}^{2+}\text{]}_i = K_d \left[ \frac{(R-R_{\text{min}})}{(R_{\text{max}}-R)} \right] \left[ \frac{S_{r2}}{S_{s2}} \right]
\]
Where R is the ratio recorded under appropriate physiological conditions, \( S_{r2} \) is the signal at 380nm in Ca\(^{2+}\) free buffer, \( S_{s2} \) is the signal in the presence of excess Ca\(^{2+}\). The ratio of \( S_{r2}/S_{s2} \) was 3.12 ± 0.39 (n=12). \( K_d \) is the apparent dissociation constant for the indicator (usually 224nM for Fura-2).
The average basal ratio in a sample of DRG neurones was $1.26 \pm 0.019$ which, according to the above equation, corresponded to a basal $[\text{Ca}^{2+}]_i$ of $96 \pm 5\text{nM}$ ($n=192$). In this study, however, changes in $[\text{Ca}^{2+}]_i$ are presented as a ratio change rather than an absolute value as $[\text{Ca}^{2+}]_i$ is difficult to calibrate (see, for example, Tsien et al, 1985). The value for $R_{\text{min}}$ obtained here was $0.88 \pm 0.047$, however, some of the neurones had similar resting $[\text{Ca}^{2+}]_i$ ratios suggesting that this value was not a true minimum ratio.
### 2.3 Detection of intracellular inositol phosphate formation
Intracellular $[^3\text{H}]\text{-inositol trisphosphate } ([^3\text{H}]\text{-IP}_3)$ formation was measured in response to agonist stimulation in neurones that had been incubated with $[^3\text{H}]\text{-inositol}$. $[^3\text{H}]\text{-IP}_3$ was separated from its metabolites, $[^3\text{H}]\text{-inositol mono and bisphosphate}$, using anion-exchange chromatography and subsequently detected by a scintillation counter as described previously (Berridge et al, 1983; Burgess et al, 1985).
**Ion-exchange chromatography**
Ion-exchange chromatography allows the separation and identification of molecules by charge on the principle that ions have an affinity for opposite charge. The anion-exchange chromatography used in this study separates the $[^3\text{H}]\text{-inositol phosphates}$ on the basis of the size of charge carried by the test ion. $[^3\text{H}]\text{-inositol mono and bisphosphates}$ have a small negative charge and are eluted with a $0.4\text{M ammonium formate solution containing } 0.1\text{M formic acid}$, whereas $[^3\text{H}]\text{-inositol trisphosphate}$ has a larger negative charge and remains tightly bound to the resin.
The $[^3\text{H}]\text{-inositol trisphosphate}$ is subsequently eluted with a stronger ammonium formate solution (0.8M in 0.1M formic acid).
**Experimental protocol**
DRG neuronal cultures (2-3 days) were incubated overnight at 37°C in MEM containing $\text{myo-2-[^3\text{H}]\text{-inositol}}$ (75$\mu$Ci/ml). The radioactive medium was removed and cells were washed and incubated in 25mM HEPES-buffered DMEM at 37°C for the duration of the experiment. The cells were exposed to agonist by placing the coverslip into agonist-containing DMEM for periods of up to 5mins. In individual experiments, each agonist exposure was repeated at least three times. The pH of all agonist-containing solutions was adjusted to pH7.35.
The reactions were terminated by placing the coverslip face-down into a scintillation vial containing ice-cold 4.5% perchloric acid (PCA; 1ml) with 1mg/ml phytic acid. The $[^3\text{H}]\text{-inositol phosphates}$ were extracted into acid for 30mins, the extract was removed and the coverslips were washed with 1ml of ice-cold DMEM. The DMEM wash was combined with the PCA extract and neutralised with KOH (1M) containing sodium tetraborate (9mM) using phenol red in the DMEM as a pH indicator. In order to determine the total lipid radioactivity, which was almost all associated with phosphatidylinositol ($[^3\text{H}]\text{-PI}$), the coverslip was retained in the scintillation vial and scintillant (Beckman Ready Gel) was added.
The DMEM-PCA extracts were then spun at 2500rpm for 5mins to remove the potassium perchlorate precipitate. The resulting supernatant was passed through chromatography columns containing the strongly anionic resin, AG-1, to separate the $[^3\text{H}]\text{-inositol phosphates}$.
Initially, the columns were washed three times with distilled $H_2O$ to remove any $[^3H]$-inositol that was not incorporated into the cellular phospholipids. $[^3H]$-inositol mono and bisphosphates were extracted with three washes of 0.4M ammonium formate in 0.1M formic acid and then $[^3H]$-IP$_3$ was eluted with three washes of 0.8M ammonium formate in 0.1M formic acid. Each wash was collected in a scintillation vial and scintillant was added to all vials. The $[^3H]$-IP$_3$ samples and the total lipid radioactivity from each coverslip were counted on a Wallac 1409 Scintillation Counter.
**Determination of intracellular inositol trisphosphate concentration**
The radioactive counts, expressed as disintegrations per minute (d.p.m.), obtained from the three $[^3H]$-IP$_3$ samples were added together to give a total $[^3H]$-IP$_3$ for each agonist stimulation. As the density of neurones varied between coverslips, $[^3H]$-IP$_3$ was expressed as a percentage of total lipid radioactivity counted from the corresponding coverslip. Each set of experiments was performed in triplicate and the data for each agonist was pooled ($n=9$) and plotted as a mean value ± s.e.m. Statistical analysis was performed using unpaired two-tailed t-test.
**2.4 Measurement of intracellular cAMP concentration**
Intracellular cAMP formation in DRG neurones in response to agonist stimulation was detected using a competitive acetylcholinesterase (ACE) enzyme immunoassay kit (Cayman Chemicals, USA). The principle of this assay is based on both free cAMP (cAMP produced in response to agonist stimulation) and a fixed concentration of cAMP tracer (cAMP linked to an ACE molecule) competing for a
limited number of cAMP binding sites (Pradelles & Grassi, 1989). The cAMP tracer, cAMP antiserum and standard or unknown cAMP sample is added to the assay plate and the cAMP antiserum binds either free cAMP or cAMP tracer (see Figure 2.4.1). This antiserum-cAMP complex then binds to mouse monoclonal antibody attached to the well. The plate is washed to remove all unbound agents and developed with Ellman’s Reagent which consists of acetylthiocholine and 5,5’-dithio-bis-(2-nitrobenzoic acid). ACE catalyses the hydrolysis of acetylthiocholine to produce thiocholine which, in turn, reacts with 5,5’-dithio-bis-(2-nitrobenzoic acid) liberating 5-thio-2-nitrobenzoic acid which has an intense yellow colour and absorbs at 412nm. The intensity of the yellow colour is proportional to the amount of bound cAMP tracer and inversely proportional to the amount of free cAMP bound to the well. Therefore, a decrease in absorbance compared to control, obtained in a neuronal sample after agonist stimulation, represents a rise in cAMP formation.
Assays based on ACE as a means of detecting intracellular cAMP are advantageous as the enzyme does not auto-inactivate, is highly stable, is active over a pH range of pH5.0-pH10.0 and is not inactivated by common buffer salts.
**Experimental protocol**
DRG neuronal cultures maintained in Ham’s F14 medium were washed after 2-3 days in culture and the medium was replaced with 25mM HEPES-buffered DMEM. The cells were pre-incubated (5mins) with the phosphodiesterase inhibitor rolipram (10µM) in DMEM, to prevent the breakdown of intracellular cAMP, at 37°C for the duration of the experiment. Exposure to agonist was achieved by placing the coverslips into agonist-containing medium for periods of up to 5mins.
Figure 2.4.1 Schematic representation of the ACE enzyme immunoassay
A shows the assay plate pre-coated with mouse monoclonal anti-rabbit antibody. The tracer, antiserum and either standard or unknown sample is added in B, and the cAMP (either free or linked to ACE) binds to the antibody in C. The plates are washed to remove all unbound agents in C and developed with Ellman’s Reagent in D.
The pH of all experimental solutions was adjusted to pH7.35 and each agonist exposure was performed at least three times in a separate experiment.
The reactions were terminated by plunging the coverslips into ice-cold ethanol containing 1% 0.1M HCl. After 30mins of extraction on ice, the ethanol/cAMP samples were removed and dried down under a stream of nitrogen and resuspended in 500µl of 0.1M phosphate buffer. The samples were then diluted.
1:10 to ensure that the cAMP concentration obtained was on the linear portion of the standard curve. To determine if cells were healthy and able to produce a cAMP response, a control cAMP response to forskolin was included in each experiment.
To increase the sensitivity of the assay, all samples and standards were acetylated in precisely the same way; 100µl of 4M KOH and 25µl of acetic anhydride were added in quick succession, vortexed for 15s, then 25µl of 4M KOH added and vortexed. The samples were then assayed according to the instructions in the ACE enzyme immunoassay kit.
**cAMP assay plate design**
Included in the assay plate design are parameters that allow the cAMP concentration to be calculated, correcting for background absorbance of the Ellman’s Reagent (B=blank wells) and for non-specific binding of the tracer enzyme to the well (NSB=non-specific binding). The absorbance obtained from the maximum binding ($B_o$) of tracer to antibody in the absence of free cAMP was determined in order to calculate the cAMP concentration in each sample. The total activity (TA) well is included as a control as it indicates the total enzymatic activity of the tracer. In each plate, individual known and unknown cAMP sample were assayed in duplicate in order to obtain an average of the two absorbance readings. A typical assay plate design is shown in Figure 2.4.2.
Figure 2.4.2 Typical cAMP assay plate design
(B=blank, $B_0=$maximum binding, NSB=non-specific binding, TA=total activity, S1-S8=cAMP standards of known concentrations, U1-U36=cAMP samples of unknown concentration).
| | B | S1 | S5 | U1 | U5 | U9 | U13 | U17 | U21 | U25 | U29 | U33 |
|---|----|----|----|----|----|----|-----|-----|-----|-----|-----|-----|
| B | | | | | | | | | | | | |
| NSB | S2 | S6 | U2 | U6 | U10 | U14 | U18 | U22 | U26 | U30 | U34 |
| NSB | S2 | S6 | U2 | U6 | U10 | U14 | U18 | U22 | U26 | U30 | U34 |
| $B_0$ | S3 | S7 | U3 | U7 | U11 | U15 | U19 | U23 | U27 | U31 | U35 |
| $B_0$ | S3 | S7 | U3 | U7 | U11 | U15 | U19 | U23 | U27 | U31 | U35 |
| $B_0$ | S4 | S8 | U4 | U8 | U12 | U16 | U20 | U24 | U28 | U32 | U36 |
| TA | S4 | S8 | U4 | U8 | U12 | U16 | U20 | U24 | U28 | U32 | U36 |
cAMP assay procedure
The plate was initially washed five times with wash buffer and removal of the buffer was ensured by inverting the plate and shaking the last drops out. Acetylated phosphate buffer (50µl) was added to the NSB and $B_0$ wells and EIA buffer (50µl) added to the NSB wells. For each of the known standards and unknown samples, 50µl was added to the appropriate numbered well. cAMP acetylcholinesterase tracer (50µl) was added to each well except TA and B wells and cAMP antiserum was added to all but TA, NSB and B wells. The plate was then covered and left overnight at room temperature (19-22°C) to allow both tracer linked and free cAMP to bind to the antibody.
The plate was washed five times with wash buffer, Ellman’s Reagent (200µl) was added to each well and 5µl of tracer added to the TA well. The plate was then
covered and development was optimised by placing the plate on an orbital shaker in the dark for 90-150 mins. The absorbance of the samples were read on a Labsystems iEMS Reader MF, at a wavelength of 420nm, when the absorbance reading from the $B_0$ wells ranged between 0.3-0.5 A.U.
Using Genesis software (v3.04) supplied by Life Sciences (UK) Ltd, the cAMP concentration of the known standards were calculated and plotted as a standard curve (see Figure 2.4.3) and the corresponding concentrations of the unknown samples were read.
**Figure 2.4.3 cAMP standards curve**
*Example of a typical standards curve that was obtained for a series of samples of cAMP with known concentrations (for preparation of cAMP standards see Appendix 6.2.1).*
Protein assay procedure
The plating density of neurones varied between individual coverslips, therefore to correct for this, the total protein content of the corresponding coverslip of neurones that was tested was also determined.
The total protein content was determined using a Biorad detergent compatible protein assay after the ethanol solution containing the cAMP extracts was removed (see above experimental protocol). This is a colorimetric assay based on the reaction between protein and copper in an alkaline medium, and the subsequent reduction of Folin’s Reagent by the copper-treated protein. This produces a characteristic blue appearance which absorbs maximally at 750nm.
The neurones were solubilised by placing the remaining coverslip in a well containing 0.1M NaOH (200µl) for a period of 30-45 mins. A series of standard protein samples with concentrations of gamma globulin ranging from 0.00-0.25 were prepared as indicated in Appendix 6.2.2. Each of the standards was assayed in triplicate and the unknown samples in duplicate. A typical assay plate format is shown in Figure 2.4.4.
To each well was added: 50µl of standard or unknown sample, 25µl of Reagent A (an alkaline copper tartrate solution) containing Reagent S (20µl/ml; Sodium Dodecyl Sulfate) and 200µl of Reagent B (dilute Folin’s Reagent). The plate was left for 5mins to develop and the absorbances were read at 690nm on the same spectrophotometer. The absorbance readings obtained for the standard protein concentrations was plotted as a standard curve (see Figure 2.4.5) and the concentration of the unknown samples were determined.
Figure 2.4.4 Typical protein assay plate format
(S1-S8=protein standards of known concentrations, U1-U36=protein samples of unknown concentrations)
| | S1 | S1 | S1 | S2 | S2 | S2 | S3 | S3 | S3 | S3 | S4 | S4 | S4 |
|---|----|----|----|----|----|----|----|----|----|----|----|----|----|
| S5 | S5 | S5 | S6 | S6 | S6 | S7 | S7 | S7 | S7 | S8 | S8 | S8 | S8 |
| U1 | U1 | U2 | U2 | U3 | U3 | U4 | U4 | U5 | U5 | U6 | U6 | U6 | U6 |
| U7 | U7 | U8 | U8 | U9 | U9 | U10 | U10 | U11 | U11 | U12 | U12 | U12 | U12 |
| U13 | U13 | U14 | U14 | U15 | U15 | U16 | U16 | U17 | U17 | U18 | U18 | U18 | U18 |
| U19 | U19 | U20 | U20 | U21 | U21 | U22 | U22 | U23 | U23 | U24 | U24 | U24 | U24 |
| U25 | U25 | U26 | U26 | U27 | U27 | U28 | U28 | U29 | U29 | U30 | U30 | U30 | U30 |
| U31 | U31 | U32 | U32 | U33 | U33 | U34 | U34 | U35 | U35 | U36 | U36 | U36 | U36 |
The concentration of cAMP obtained in response to agonist stimulation was then calculated as a proportion of the total neuronal protein content of the coverslip which was tested and expressed as [cAMP] pmol/mg protein. This eliminated the uncharacteristically high or low cAMP concentrations that were obtained as a result of differences in cell densities between individual coverslips.
Analysis of data
Each set of experiments was performed in triplicate and the data obtained for each agonist was pooled (n=9) and an average response ± s.e.m. was plotted. Statistical analysis was performed using unpaired two-tailed t-test.
Figure 2.4.5 Protein standards curve
Example of a typical standards curve that was obtained for a series of protein samples with known concentrations (see Appendix 6.2.2 for preparation of protein standards)
3. RESULTS
3.1 Characteristic properties of cultured DRG neurones
The cultured cells were identified as neurones according to their morphology and sensitivity to capsaicin or depolarisation to a high $K^+$ stimulus (Wood et al, 1988). The cell isolation and culture technique used resulted in a high yield of small diameter DRG neurones (15-25 $\mu$m). Most of the neurones from which measurements were obtained were therefore probably Aδ- and C-fibre neurones.
Morphology of cultured DRG neurones
A typical field of DRG neurones at day 2 in culture is shown in Figure 3.1.1. Under phase contrast optics, healthy, viable neurones have a characteristic phase dark appearance and are surrounded by a bright halo (Wood et al, 1988). Figure 3.1.1.A shows the field of cells at x100 magnification. There are many DRG neurones in this field but they have been plated at a relatively low density to minimise the clustering of groups of neurones and therefore to allow easy identification. To show individual DRG neurones more clearly, the same field of cells is shown at higher magnification x200 in B and x400 in C. The scale bar in A represents 100 $\mu$m, B, 50 $\mu$m and in C, 25 $\mu$m, therefore most of the DRG neurones in this field have diameter of less than 30 $\mu$m. The non-neuronal cells appear phase dark, generally have a smaller diameter than DRG neurones (approx. 10 $\mu$m) and can be identified more easily in Figure 3.1.1.B and C.
$[\text{Ca}^{2+}]_i$ measurements were generally obtained after 2 days in culture as most of the neurones appeared healthy, there was little neurite outgrowth and
Figure 3.1.1 Cultured DRG neurones
Phase contrast images of DRG neurones at day 2 in culture. A shows the field of cells at x100 magnification, B shows the same field at x200 and C at x400. The same two neurones are indicated by arrows in each field of view. The scale bar in A represents 100μm, in B 50μm and in C, 25μm.
A
B
C
there was no over-crowding of non-neuronal cells. Imaging experiments were generally performed at x100 magnification as measurements could be obtained from a large number of neurones (approx. 15-25 cells) in one field whilst still being able to identify them morphologically as DRG neurones. If there was any doubt as to whether a cell was a neurone, the cell was discarded and the response was not included in this study.
**Capsaicin sensitivity of cultured DRG neurones**
When $[\text{Ca}^{2+}]_i$ measurements were obtained, a cell was identified as a healthy DRG neurone, only if a rise in $[\text{Ca}^{2+}]_i$ was evoked in response to capsaicin (500nM) or a high K$^+$ (50mM) depolarising stimulus. Cells that responded to capsaicin were classified as capsaicin sensitive neurones and cells that did not respond were considered as capsaicin insensitive neurones. The sensitivity of DRG neurones to capsaicin and high K$^+$ over time in culture was measured (see Figure 3.1.2). The number of cells responding to either capsaicin or high K$^+$ was expressed as a percentage of the total number tested on the respective day in culture. Sensitivity to capsaicin was greatest when cells were maintained in culture for a short time. 71% ($n=135/191$) of neurones tested responded at day 1 and 67% ($n=163/243$) responded at day 2 in culture (see Figure 3.1.2A). Maintaining the cells in culture for longer than 2 days resulted in a significant decrease in the percentage of cells responding to capsaicin when compared to the number responding at day 1. The percentage responding at day 3 was reduced to 48% ($n=57/119$, $p<0.0001$), at day 5 to 45% ($n=48/107$, $p<0.0001$) and at day 7 to 41% ($n=48/117$, $p<0.0001$).
In order to identify those neurones that were capsaicin insensitive, cells were exposed to a high K$^+$ stimulus after capsaicin stimulation. If a $[\text{Ca}^{2+}]_i$ response
Figure 3.1.2 The effect of time in culture on the sensitivity of neurones to capsaicin and a depolarising K⁺ stimulus
All neurones were tested initially for their sensitivity to capsaicin which was followed by a subsequent exposure to a high K⁺ stimulus. A shows the percentage of cells responding to capsaicin (500nM) at each day in culture over a period of 7 days and B shows the percentage of capsaicin insensitive neurones responding to high K⁺ (50mM) tested over the same time period. A cross indicates a significant decrease in the percentage of cells responding at day 1 in A and an asterisk represents an increase in the percentage of cells responding in B when compared to the number responding at day 1 to the equivalent stimulus.
was evoked after stimulation with high $K^+$, the neurones were considered capsaicin insensitive. The percentage of capsaicin insensitive cells increased over time in culture (see Figure 3.1.2B). The percentage at day 1 was 29% ($n=56/191$) which increased significantly after day 3 in culture to 52% ($n=62/119$, $p<0.0001$) and to 57% ($n=70/122$, $p<0.0001$) responding at day 6. This increase in the number of capsaicin insensitive neurones demonstrates that a loss of capsaicin sensitivity does not indicate a reduction in the number of viable neurones.
**Diameter of neurones responding to capsaicin and high $K^+$**
Neuronal diameter of the cultured cells ranged from 10-62.5 $\mu$m in a sample of both capsaicin sensitive and capsaicin insensitive neurones ($n=873$; see Figure 3.1.3A). The majority of the neurones had a diameter in the range 15-24.9 $\mu$m (59%, $n=517/873$) and the mean diameter was $22.84 \pm 0.32 \mu$m. For capsaicin sensitive cells, the mean diameter was $20.57 \pm 0.23 \mu$m and only a small number had diameters greater than 30 $\mu$m (8%, $n=42/517$; see Figure 3.1.3B). The mean diameter of capsaicin insensitive neurones was $26.13 \pm 0.53 \mu$m (see Figure 3.1.3C). The distribution of the range of neuronal diameters for both capsaicin sensitive and capsaicin insensitive cells is shown in detail in Figure 3.1.3.
**The time course of the $[Ca^{2+}]_i$ responses to capsaicin and a high $K^+$ stimulus**
The magnitude of the $[Ca^{2+}]_i$ response obtained to both capsaicin (500 nM) and to a depolarising $K^+$ (50 mM) stimulus declined with time in culture (see Figure 3.1.4). The maximal $[Ca^{2+}]_i$ response to capsaicin was obtained at day 1 in culture (see Figure 3.1.4A). Longer periods of time in culture resulted in a progressive decline in the magnitude of the $[Ca^{2+}]_i$ response to capsaicin.
Figure 3.1.3 Diameter of capsaicin sensitive and capsaicin insensitive neurones
The distribution of neurone diameter for all neurones is shown in A and is the combined data for both capsaicin sensitive and capsaicin insensitive neurones. B shows the diameter distribution for capsaicin sensitive neurones (10-42.5 μm) and C for capsaicin insensitive neurones (10-65 μm). It must be noted that the diameter of all neurones in this study were not measured and that this data reflects a sample of the total number of neurones that [Ca^{2+}]_i measured were obtained from (n=517 / 873 for capsaicin sensitive neurones; n=356 / 873 for capsaicin insensitive neurones).
A
% responding cells
neurone diameter (µm)
B
% responding cells
neurone diameter (µm)
C
% responding cells
neurone diameter (µm)
The plateau phase at day 1 was significantly greater than the plateau obtained at both days 3 ($p=0.0038$) and 6 ($p<0.0001$; comparisons obtained for ratio values at 105s). The pattern of the $[\text{Ca}^{2+}]_i$ response, however, was similar irrespective of time spent in culture. A peak $[\text{Ca}^{2+}]_i$ response was reached after 40s which remained elevated for the duration of the exposure (see Figure 3.1.4A). Stimulating these cells with high $K^+$, sometimes resulted in a small further increase in the $[\text{Ca}^{2+}]_i$ response.
When high $K^+$ was applied to capsaicin insensitive neurones, it evoked a rise in $[\text{Ca}^{2+}]_i$ that was immediate in onset, reaching a peak within 10-15s and remained elevated for the duration of the exposure (see Figure 3.1.4B). The maximal $[\text{Ca}^{2+}]_i$ response was obtained at day 1 in culture (see Figure 3.1.4B). Like the response obtained to capsaicin, the magnitude of the $[\text{Ca}^{2+}]_i$ response decreased the longer the cells were maintained in culture. The plateau values obtained at day 6 were significantly smaller than those obtained at day 1 ($p=0.0085$; comparison obtained at 160s).
Figure 3.1.4 The $[\text{Ca}^{2+}]_i$ response to capsaicin and a depolarising K⁺ stimulus in DRG neurones maintained in culture for up to 6 days
The $[\text{Ca}^{2+}]_i$ response to capsaicin (500nM) in capsaicin sensitive cells is shown in A and the response to a high K⁺ stimulus in capsaicin insensitive cells in B. Data are plotted as the mean normalised 340:380 ratio values ± the standard error of the mean (s.e.m.) A rise in $[\text{Ca}^{2+}]_i$ is represented as an increased change in the 340:380 ratio. In both A and B, the $[\text{Ca}^{2+}]_i$ response obtained at day 1 in culture is plotted in black, day 3 in culture in blue and day 6 in pink. Capsaicin was applied at 45s and 50mM K⁺ at 145s, both were washed at 195s.
3.2 Chemosensitivity of DRG neurones
\[ \text{[Ca}^{2+}\text{]}, \text{responses to chemical mediators} \]
The chemical inflammatory mediators, ATP, bradykinin and 5-HT evoked a rise in \[ \text{[Ca}^{2+}\text{]} \] in a sub-population of capsaicin sensitive cells (see Figure 3.2.1). The percentage of cells responding to the chemical mediators differed, 44% (n=20 / 45) responded to ATP (10\(\mu\)M), 20% (n=12 / 60) responded to bradykinin (500nM) and 24% (n=13 / 54) responded to 5-HT (100\(\mu\)M; see Figure 3.2.1A). The \[ \text{[Ca}^{2+}\text{]} \] response to all of the mediators was immediate in onset. The peak \[ \text{[Ca}^{2+}\text{]} \] response to both ATP and bradykinin was reached within 15s and the response to 5-HT within 5s. (see Figure 3.2.1B, C and D). The magnitude of the mean \[ \text{[Ca}^{2+}\text{]} \] responses to ATP and bradykinin were similar (\(p=0.1208\); comparison made at 55s) and were greater than the peak magnitude of the response to 5-HT (\(p=0.0281\) for ATP and \(p=0.0086\) for 5-HT; comparisons obtained at 55s). The duration of the \[ \text{[Ca}^{2+}\text{]} \] response to each of these mediators also differed. After the initial peak rise, the response to both ATP and 5-HT started to decline towards baseline and basal \[ \text{[Ca}^{2+}\text{]} \] was reached after 5 mins (not shown, see Figure 3.2.1B and D). The response to bradykinin reached a peak after 15s, declined and reached a plateau after 75s. \[ \text{[Ca}^{2+}\text{]} \] remained elevated even after bradykinin was washed off (\(p=0.0057\); comparison of ratio values obtained at 175s to resting ratio values) although \[ \text{[Ca}^{2+}\text{]} \] did return to near resting levels after a 5 mins wash period (see Figure 3.2.1C). Capsaicin insensitive cells did not respond to either 5-HT or bradykinin.
Figure 3.2.1 The effect of ATP, bradykinin and 5-HT on capsaicin sensitive DRG neurones
A shows the percentage of capsaicin sensitive cells responding to ATP (10μM; 44%, n=20/45) in red, to bradykinin (BK, 500nM; 20%, n=12/60) in green and to 5-HT (100μM; 24%, n=13/54) shown in blue. The [Ca$^{2+}$]$_i$ response obtained to ATP is plotted in B, to BK in C and to 5-HT in D and is plotted as mean ± s.e.m values for responding cells only. The chemical mediator in each experiment was applied at 45s and washed at 145s as indicated in each plot by the appropriate bar.
A
% of responding cells
ATP 40
BK 20
5-HT 10
B
340:380 ratio
C
340:380 ratio
D
340:380 ratio
time (s)
time (s)
Capsaicin sensitive and capsaicin insensitive cells respond to ATP
ATP (10µM) evoked a rise in [Ca$^{2+}$]$_i$ in both capsaicin sensitive and capsaicin insensitive DRG neurones (see Figure 3.2.2). 44% (n=20 / 45) of capsaicin sensitive cells responded, which was significantly lower than the percentage of capsaicin insensitive cells that responded (87%, n=9 / 45; p<0.0001). The percentage of the total number of cells responding to ATP was 66% (n=59 / 90; see Figure 3.2.2A). The [Ca$^{2+}$]$_i$ response in both capsaicin sensitive and insensitive cells was similar. After the initial peak rise, which was reached within 15s, [Ca$^{2+}$]$_i$ started to decline towards resting levels (see Figure 3.2.2B and C). The magnitude of the peak [Ca$^{2+}$]$_i$ response was greater in capsaicin insensitive cells than in capsaicin sensitive cells (p=0.0004; comparison made for ratio values at 55s).
PGE$_2$ enhanced the sensitivity of capsaicin sensitive neurones to bradykinin
Pre-treating the neurones with PGE$_2$ (1µM, 45s) produced a significant increase in the number of capsaicin sensitive cells that responded to bradykinin (500nM: see Figure 3.2.3A). The percentage responding to bradykinin was significantly increased from 20% (n=12 / 60) before PGE$_2$ to 62% (n=8 / 13, p=0.0048) after PGE$_2$. The [Ca$^{2+}$]$_i$ response obtained to bradykinin before PGE$_2$ pre-treatment was similar to the response obtained after (see Figure 3.2.5B). The initial rise in [Ca$^{2+}$]$_i$ peaked after 15s then decayed to a plateau. [Ca$^{2+}$]$_i$ declined to basal levels after 5 mins (trace not shown). Bradykinin did not elicit a [Ca$^{2+}$]$_i$ response in capsaicin insensitive neurones even in the presence of PGE$_2$.
pH sensitivity of capsaicin sensitive DRG neurones
[Ca$^{2+}$]$_i$ measurements were obtained from neurones that were exposed to
Figure 3.2.2 The effect of ATP on capsaicin sensitive and capsaicin insensitive DRG neurones
The percentage of cells that responded to ATP (10 $\mu$M) and were sensitive to capsaicin is plotted in red in A (44%, n=20 / 45) and the percentage that were insensitive to capsaicin is plotted in blue (87%, n=39 / 45). The total number of capsaicin sensitive and insensitive cells responding to ATP is combined and plotted turquoise (66%, n=59 / 90). The mean [Ca$^{2+}$]$_i$ response ± s.e.m. in ATP responsive cells that were capsaicin sensitive is shown in B and that were capsaicin insensitive cells is shown in C. ATP was applied at 45s and washed at 145s as indicated in B and C by the black bar.
A
% of responding cells
capsaicin sensitive 40
capsaicin insensitive 80 *
all cells 60
B
340:380 ratio
capsaicin sensitive neurones
time (s)
C
340:380 ratio
capsaicin insensitive neurones
time (s)
Figure 3.2.3 The effect of PGE$_2$ pre-treatment on the bradykinin response in capsaicin sensitive neurones
The percentage of capsaicin sensitive cells responding to bradykinin (500nM, 20%, $n=12/60$) alone is shown in A as the control and after PGE$_2$ pre-treatment (1µM, 45s, 62%, $n=8/13$) is shown in blue. An asterisk indicates a significant increase in the percentage of cells responding when compared to control. The mean [Ca$^{2+}$] response ± s.e.m. in bradykinin responsive cells before and after PGE$_2$ pre-treatment is shown in B. The response to bradykinin alone is plotted in green and after PGE$_2$ pre-treatment in blue. The duration of the bradykinin exposure is indicated by the black bar (45-200s).
changes in extracellular pH (pH\textsubscript{o}). pH\textsubscript{o} was altered by changing the bath solution from physiological pH7.4 to the test pH solution ranging from acidic (pH4.9 - pH6.9) through to alkaline (pH7.9 - 9.9). Removing the pH7.4 buffer solution from the bath and replacing with the same buffer did not alter [Ca\textsuperscript{2+}] in any of the neurones tested (n=0 / 15), therefore it can be assumed that the [Ca\textsuperscript{2+}] responses obtained to changing pH\textsubscript{o} were in response to the pH\textsubscript{o} change rather than the mechanical changing of the solution. The mean [Ca\textsuperscript{2+}] response obtained in capsaicin sensitive cells after changing pH\textsubscript{o} was different to acidic and alkaline pH\textsubscript{o} changes (see Figure 3.2.4). The smallest step reduction in pH\textsubscript{o}, from pH7.4 to pH6.9, evoked a rise in [Ca\textsuperscript{2+}], in 32% (n=6 / 19) of neurones. The [Ca\textsuperscript{2+}] response was rapid in onset, reaching a peak after 3s, and then declined back to baseline (see Figure 3.2.4A). The magnitude of the [Ca\textsuperscript{2+}] response obtained to larger step reductions in pH\textsubscript{o}, e.g. to pH5.9, was greater than that obtained to small reductions in pH\textsubscript{o}, e.g. to pH6.9 (p=0.0003; comparison of ratio values at 35s). The [Ca\textsuperscript{2+}] response obtained to a large reduction in pH\textsubscript{o} was rapid in onset, at pH5.9, reaching its peak within 18s (see Figure 3.2.4B) and the [Ca\textsuperscript{2+}] response to pH4.9 reached a peak within 12s (see Figure 3.2.4C). [Ca\textsuperscript{2+}] generally remained elevated for the duration of the acid exposure, although the response to pH5.9 started to decline after the initial peak, and the response reversed on washing (not shown). The [Ca\textsuperscript{2+}] response obtained to alkaline pH\textsubscript{o} challenges e.g. pH8.9, was more gradual in onset and did not reach a plateau during the exposure (see Figure 3.2.4D). The magnitude of the change of [Ca\textsuperscript{2+}] was lower when compared to the response obtained to acidic pH\textsubscript{o} changes, such as pH5.9 (p=0.00456; comparison obtained at 75s; see Figure 3.2.4B and D). [Ca\textsuperscript{2+}] returned to resting levels after pH8.9 was washed (5 mins; not shown).
Figure 3.2.4 The $[\text{Ca}^{2+}]_i$ response obtained to changes in pH$_o$ in capsaicin sensitive neurones
The mean $[\text{Ca}^{2+}]_i$ response in pH responsive cells to pH6.9 is plotted in turquoise in A ($n=6/19$), to pH5.9 in blue in B ($n=12/33$), to pH4.9 in red in C ($n=8/16$) and to pH8.9 in pink in D ($n=7/17$). In all graphs, the $[\text{Ca}^{2+}]_i$ response to pH7.4 is plotted in black as the control. pH$_o$ was altered by draining the bathing fluid at 45s and replacing with the appropriate test pH solution. The test pH$_o$ solution was washed at 80s.
change in 340:380 ratio
time (s)
pH4.9
pH6.9
pH5.9
pH8.9
3.3 Sensitivity of DRG neurones to histamine
Histamine evoked a $[\text{Ca}^{2+}]_i$ response
Histamine produced a concentration dependent rise in $[\text{Ca}^{2+}]_i$ in a subpopulation of DRG neurones (see Figure 3.3.1A). The lowest concentration of histamine tested, 1 $\mu$M, did not elicit a $[\text{Ca}^{2+}]_i$ response in any of the neurones ($n=0/54$), 10 $\mu$M evoked a $[\text{Ca}^{2+}]_i$ response in only 1 neurone (1%; $n=1/77$). Raising the histamine concentration to 100 $\mu$M evoked a rise in $[\text{Ca}^{2+}]_i$ in 15% of neurones ($n=16/103$). Increasing the concentration further resulted in a larger proportion of neurones responding, 24% ($n=19/80$) responded to 1 mM and 35% ($n=37/107$) responded to 10mM histamine. The length of time the neurones were maintained in culture did not appear to affect their sensitivity to histamine (see Figure 3.3.1B). After one day in culture, 15% ($n=16/108$) of the cells responded to 100 $\mu$M histamine. The proportion of cells responding was similar up to the fifth day in culture (13% at day 2; 15% at day 3; 18% at day 4; and 16% at day 5). The percentage of cells responding after six days in culture increased to 21%, however this increase was not significant when compared to the number responding at day 1 ($p=0.2477$) or at day 5 ($p=0.5365$).
The pattern of the $[\text{Ca}^{2+}]_i$ response to histamine varies between neurones
Different $[\text{Ca}^{2+}]_i$ responses were obtained in individual cells and Figure 3.3.2 illustrates some of the individual $[\text{Ca}^{2+}]_i$ responses obtained in response to 10mM histamine. Panel A shows the phase contrast image of a typical field of DRG neurones that was tested. There are several neurones in this field and four are numbered to show their $[\text{Ca}^{2+}]_i$ responses which are plotted in B. When histamine
Figure 3.3.1 Sensitivity of DRG neurones to histamine
The number of cells responding to a range of histamine concentrations (10⁻⁴ to 10⁻²M) with a rise in [Ca²⁺], are presented in A as a percentage of the total number of cells tested for each concentration. B shows the percentage of cells responding to 100μM histamine from the total number tested over time spent in culture (0-7 days). The percentage responding at days 6 and 7 are combined and plotted as >6 days in culture.
was applied at 45s, it evoked a rise \([Ca^{2+}]\) in neurones 1, 2 and 3 but had no effect on neurone 4. The response in cells 1 and 3 was immediate in onset and \([Ca^{2+}]\) remained elevated in cell 1 but declined to baseline in cell 3. Cell 2 also responded with a rise in \([Ca^{2+}]\), but the response was slightly delayed in onset. Panels C, D and E are pseudocolour images of the same field of cells in A, and are taken at the time points of the experiment as indicated in B. Therefore C is taken at 0s and illustrates that, at rest, most of the cells appear dark blue, indicating basal \([Ca^{2+}]\) levels which would give a 340:380 ratio value of approximately 1.00. This ratio value would equate to a resting \([Ca^{2+}]\) concentration in the region of 10 to 50nM as indicated in F. Panel D illustrates that 15s after histamine was applied, the neurones that respond move towards a yellow and red colour, indicating a rise in \([Ca^{2+}]\), therefore neurones 1, 2 and 3. After histamine was washed in E, most of the cells recovered to baseline \([Ca^{2+}]\) levels except neurone 1 where \([Ca^{2+}]\) remained elevated.
The mean \([Ca^{2+}]\) response varied with different histamine concentrations (see Figure 3.3.3). In A, the \([Ca^{2+}]\) response to 100\(\mu\)M was rapid in onset, reaching a peak within 15s, decaying to a plateau after 50s of exposure (\(p=0.0034\); comparison of ratio values at 175s with resting values) and then started to decline to baseline after washing. Several minutes after washing, \([Ca^{2+}]\) had returned to resting levels (data not shown). There was no plateau phase in the response to 1mM. \([Ca^{2+}]\) reached its peak after 40s and then started to decline towards baseline (see Figure 3.3.3B). Again, there was no plateau phase in the response to 10mM (see Figure 3.3.3C). After the initial peak rise, \([Ca^{2+}]\) declined and reached near basal levels after 100s.
Figure 3.3.2 Individual $[Ca^{2+}]_i$ responses to histamine in DRG neurones
A shows a phase contrast image (x200 magnification) of the field of cells that was tested. Four of the neurones in A are numbered and their individual $[Ca^{2+}]_i$ responses are plotted in B. Histamine (10mM) was applied at 45s and washed at 205s as indicated in B. The $[Ca^{2+}]_i$ response to neurone 1 is plotted in red, 2 in green, 3 in turquoise and 4 in blue. Panels C, D and E are pseudocolour images of the same field of cells shown in A taken at the time points of the experiment indicated in B (C at 0s, D at 70s and E at 270s). The estimated $[Ca^{2+}]_i$ concentration corresponding to the appropriate colour change in D and E is shown in F.
A
B
C
D
E
F
10nM
1uM
Figure 3.3.3 Mean $[Ca^{2+}]_i$ responses to histamine in DRG neurones
A shows the mean response in histamine sensitive cells to 100 $\mu$M histamine ($n=16/103$), B to 1 mM histamine ($n=19/80$) and C to 10 mM histamine ($n=37/107$). For all concentrations, histamine was applied at 45s and washed at 205s as indicated in each plot.
A
340:380 ratio
100μM histamine
B
340:380 ratio
1mM histamine
C
340:380 ratio
10mM histamine
Capsaicin sensitive and capsaicin insensitive cells respond to histamine
After exposure to histamine, cells were tested for their sensitivity to capsaicin (500nM). Both a sub-population of capsaicin sensitive and capsaicin insensitive neurones responded to stimulation by histamine (see Figure 3.3.4). The percentage of capsaicin sensitive cells that responded to histamine was significantly lower than the percentage of capsaicin insensitive cells responding; 8% (n=6 / 80) of capsaicin sensitive cells responded whereas 43% (n=10 / 23, p=0.0002) of capsaicin insensitive cells responded (see Figure 3.3.4A). The time course of the $[\text{Ca}^{2+}]$ response obtained to histamine appeared to be different in capsaicin sensitive and capsaicin insensitive cells (see Figure 3.3.4B and C). The onset of the $[\text{Ca}^{2+}]$ response in capsaicin sensitive neurones was slow and gradual, reaching its peak after 45s (see Figure 3.3.4B). $[\text{Ca}^{2+}]$ then started to decline towards basal levels. The onset of the response in capsaicin insensitive cells was immediate, reaching its peak within 10s (see Figure 3.3.4C). $[\text{Ca}^{2+}]$ decayed to plateau after 45s and after 5 mins of washing had returned to resting levels.
Small diameter DRG neurones responded to histamine
Histamine evoked a $[\text{Ca}^{2+}]$ response in both capsaicin sensitive and capsaicin insensitive neurones with small neuronal diameters that ranged from 11.25-30μm (n=72; see Figure 3.3.5). Almost all of the histamine sensitive neurones had a diameter in the range 11.25-24.9μm (90%, n=65 / 72) and the mean diameter was 17.75 ± 0.52μm. For capsaicin sensitive cells, 79% (n=23 / 29) of neurones had diameters which fell within the 15-24.9μm range and only a small number had diameters outside this range (20%, n=6 / 29; see Figure 3.3.5B). The mean diameter
Figure 3.3.4 The effect of histamine on capsaicin sensitive and capsaicin insensitive DRG neurones
A shows the percentage of capsaicin sensitive cells (8%, n=6/80) and capsaicin insensitive cells (43%, n=10/23) responding to histamine (100µM). The mean [Ca$^{2+}$]$_i$ response obtained in histamine responsive cells are plotted in B for capsaicin sensitive neurones and in C for capsaicin insensitive neurones. The duration of the histamine exposure is indicated by the black bar (45-95s in B and C and 45-145s in D).
A
% of responding cells
capsaicin sensitive capsaicin insensitive
B
change in 340:380 ratio
capsaicin sensitive neurones
time (s)
C
change in 340:380 ratio
capsaicin insensitive neurones
time (s)
Figure 3.3.5 Diameter of neurones responding to histamine
The distribution of neurone diameter for a sample of histamine-sensitive neurones is shown in A and is the combined data for both capsaicin sensitive and capsaicin insensitive neurones (n=72). B shows the distribution of neurone diameter for capsaicin sensitive neurones (12.5-30μm; n=29/72) and C for capsaicin insensitive neurones (11.25-30μm, n=43/72).
A
% responding cells
neurone diameter (µm)
B
% responding cells
neurone diameter (µm)
C
% responding cells
neurone diameter (µm)
was 19.70 ± 0.75μm with a range from 12.5-30μm. The majority of capsaicin insensitive neurones had a diameter between 11.25-19.9μm (80%, n=34 / 43; see Figure 3.3.5C). A very small proportion of neurones had diameters greater than 25μm (4%, n=2 / 43). The mean diameter of capsaicin insensitive neurones was 16.44 ± 0.64μm with a range between 11.25-30μm.
**Repeated exposure to histamine**
Neurones were repeatedly stimulated with low concentrations of histamine in order to determine whether histamine was able to evoke repeated [Ca^{2+}] responses. The cells were exposed to a low concentration of histamine (100μM, 45s), the agonist was washed for periods of 5, 30 and 60 min and the same field of cells were exposed to a second histamine application (100μM, 45s). It should be noted that due to small sample sizes, the data obtained from histamine-responding cells was pooled, irrespective of the duration of the wash period. During the first application, histamine evoked a [Ca^{2+}] response in 11% (n=9 / 84) of the neurones tested. Of the cells that responded, almost all did not respond to the second histamine application (n=8/9; see Figure 3.3.6A). The [Ca^{2+}] response obtained to the first histamine exposure was similar to that shown previously, that is, a rapid rise in [Ca^{2+}] that decayed to a plateau and started to decline to baseline after washing (see Figure 3.3.6A, left hand panel). After the second exposure, one of the neurones that responded to the first histamine application (n=1 / 9) also responded to the second (see Figure 3.3.6B).
In the cell that responded to both exposures, the magnitude of the first [Ca^{2+}] peak appeared to be greater than the peak [Ca^{2+}] response obtained in neurones that did not respond to the second application (see Figure 3.3.6A and B).
Figure 3.3.6 The $[Ca^{2+}]_i$ response to repeated histamine applications in DRG neurones
A shows the mean $[Ca^{2+}]_i$ response ± s.e.m. obtained in cells that responded to the first histamine (100 $\mu$M) application only ($n=8/84$). The left hand panel shows the $[Ca^{2+}]_i$ response during the first exposure and the right hand panel shows $[Ca^{2+}]_i$ during the second exposure. Neurones were exposed to the second application of histamine after a defined wash period (5, 30 and 60 min). B shows the $[Ca^{2+}]_i$ responses of the only cell that responded to both the first and second histamine applications ($n=1/84$). The left hand panel shows the $[Ca^{2+}]_i$ response during the first exposure and the right hand panel shows the response during the second exposure. The wash period between exposures was 60 min. Both the first and second exposure to histamine was for 45s as indicated by the black bar in all plots.
A
340:380 ratio
time (s)
B
340:380 ratio
time (s)
The profile of the $[\text{Ca}^{2+}]_i$ response obtained to the second histamine application appeared to be different to the response obtained to the first. The magnitude of the second $[\text{Ca}^{2+}]_i$ peak appeared to be smaller and there was no plateau phase in the second response, instead, $[\text{Ca}^{2+}]_i$ declined back to baseline (see Figure 3.3.6B).
In those cells that failed to respond to the first histamine application, there were none that responded to the second application.
### 3.4 H$_1$ receptor activation is involved in the $[\text{Ca}^{2+}]_i$ response to histamine in DRG neurones
To determine which receptor sub-type was involved in the $[\text{Ca}^{2+}]_i$ response, histamine was applied in the presence of maximal concentrations of a selective antagonist for each receptor sub-type. Mepyramine (1 $\mu$M) was used to antagonise H$_1$ receptors, cimetidine (50 $\mu$M) for H$_2$, and thioperamide (1 $\mu$M) for H$_3$ (see Figure 3.4.1). In A and B, 100 $\mu$M and 1 mM histamine applied in the presence of the competitive antagonist mepyramine failed to elicit a $[\text{Ca}^{2+}]_i$ response in any of the neurones tested ($n=0/72$, $p<0.0001$; $n=0/37$, $p=0.0007$; respectively). The percentage of cells responding to 10 mM histamine was significantly reduced from 35% ($n=37/107$) to 16% ($n=9/58$, $p=0.0107$; see Figure 3.4.1C). Cimetidine had no significant effect on the number of cells responding to 100 $\mu$M histamine ($n=15/79$, $p=0.4293$; see Figure 3.4.1A). The percentage of cells responding to 1 mM histamine was increased from 24% ($n=19/80$) to 34% ($n=16/47$; see Figure
Figure 3.4.1 The effect of mepyramine, cimetidine and thioperamide on the response to histamine
The percentage of cells responding to 100µM histamine is shown in A, 1mM histamine in B and 10mM histamine in C and is plotted in red as the control column in each graph. Neurones were pre-treated with a selective H₁ antagonist, mepyramine (mep; 1µM), a selective H₂ antagonist cimetidine (cmt; 50µM) or a selective H₃ antagonist, thioperamide (thio; 1µM) for a period of 45s. A cross indicates a significant decrease in the percentage of cells responding to the equivalent concentration of histamine.
A
100 μM histamine
% of responding cells
control mep cmt thio
B
1 mM histamine
% of responding cells
control mep cmt thio
C
10 mM histamine
% of responding cells
control mep cmt thio
3.4.1B) and the percentage responding to 10mM histamine was reduced from 35% (n=37 / 107) to 26% (n=17 / 66; see Figure 3.4.1C). However, the differences in the number of responding cells were not statistically significant (p=0.2237 for 1mM and p=0.2417 for 10mM histamine).
When histamine was applied in the presence of thioperamide, there was no significant difference in the number of cells responding to any of the concentrations of histamine tested (see Figure 3.4.1). For 100μM, 17% (n=16 / 92; p=0.6956) responded, 30% (n=10 / 33; p=0.4847) responded to 1mM and 42% (n=30 / 72; p=0.3492) responded to 10mM histamine.
**Histamine stimulated inositol trisphosphate production in DRG neurones**
The increase in [Ca$^{2+}$] brought about by the activation of the H$_3$ receptor sub-type is thought to be due to the stimulation of the PLC/IP$_3$ pathway, therefore the formation of IP$_3$ in response to a range of histamine concentrations was measured. As 10mM histamine evoked a rise in [Ca$^{2+}$], in the largest proportion of cells, IP$_3$ measurements were initially obtained to this concentration over time (0-20s) to get an indication at which time point would produce the greatest measurable IP$_3$ response (see Figure 3.4.2A). The formation of IP$_3$ is expressed as a percentage of the total lipid radioactivity (% $[^3$H]-PI) detected in DRG neurones. After exposure to 10mM histamine for 5s, IP$_3$ levels were significantly increased from 0.16 ± 0.01 % $[^3$H]-PI to 0.22 ± 0.02 % $[^3$H]-PI (p=0.04202). Increasing the exposure time to 10s, produced a further rise in the formation of IP$_3$ to 0.29 ± 0.03 % $[^3$H]-PI (p=0.0007). After 20s, IP$_3$ formation had declined to levels similar to control (0.19 ± 0.02 % $[^3$H]-PI; p=0.1835). As a 10s exposure time produced the greatest increase in IP$_3$ levels when compared to control, IP$_3$ formation was
Figure 3.4.2 The formation of IP$_3$ in response to histamine
IP$_3$ formation is expressed as a percentage of the total lipid radioactivity measured ± s.e.m. Resting IP$_3$ levels in non-stimulated cells are represented in A and B in black as the control. The development of the IP$_3$ response to histamine (10mM) over time is shown in red in A and the formation of IP$_3$ in response to a range of histamine concentrations (10$^{-2}$ - 10$^{-5}$mM) is shown in red in B. An asterisk indicates a significant increase in IP$_3$ formation when compared to the equivalent control.
The effect of 1µM mepyramine (mep) on the histamine-stimulated increase in IP$_3$ formation is plotted in C. An asterisk indicates a significant increase in IP$_3$ formation when compared to control and a cross represents a significant decrease in IP$_3$ formation when compared to the histamine-induced increase.
A
\[ \text{[}^3\text{H]-IP}_3 \text{ formation (%[}^3\text{H]-Pi)} \]
time (s)
B
\[ \text{[}^3\text{H]-IP}_3 \text{ formation (%[}^3\text{H]-Pi)} \]
log [histamine] mM
C
\[ \text{[}^3\text{H]-IP}_3 \text{ formation (%[}^3\text{H]-Pi)} \]
control mep histamine mep + histamine
*
measured at this time point for a range of histamine concentrations (see Figure 3.4.2B). Formation of IP$_3$ in response to 10µM histamine was not significantly different when compared to control IP$_3$ levels ($0.13 \pm 0.01\%$ [$^3$H]-PI compared to $0.13 \pm 0.02\%$ [$^3$H]-PI; $p=0.45064$). 100µM histamine produced an increase in IP$_3$ levels ($0.18 \pm 0.02\%$ [$^3$H]-PI) but was not quite statistically significant when compared to control ($p=0.0643$). Both 1mM and 10mM histamine produced a significant increase in IP$_3$ formation ($0.21 \pm 0.02\%$ [$^3$H]-PI, $p=0.01533$; $0.20 \pm 0.02\%$ [$^3$H]-PI, $p=0.02163$; respectively). The effect of pre-treating the cells with mepyramine (1µM; 45s) on the IP$_3$ response to 10mM histamine was studied (see Figure 3.4.2C). Histamine produced a significant increase in IP$_3$ formation when compared to control ($0.21 \pm 0.02\%$ [$^3$H]-PI compared to $0.13 \pm 0.01\%$ [$^3$H]-PI; $p=0.00311$). Mepyramine alone had no significant effect on IP$_3$ levels ($0.10 \pm 0.01\%$ [$^3$H]-PI, $p=0.0769$) but significantly decreased the formation of IP$_3$ in response to 10mM histamine ($0.13 \pm 0.02\%$ [$^3$H]-PI, $p=0.00401$).
**The response to histamine was inhibited by a PLC inhibitor**
To further determine if the [Ca$^{2+}$]$_i$ response was mediated by Ca$^{2+}$ mobilisation from intracellular IP$_3$-sensitive stores, the neurones were pre-treated with the membrane permeable PLC inhibitor, U73122 (see Figure 3.4.3). U73122 (10µM, 5 mins) abolished the [Ca$^{2+}$]$_i$ response to 100µM histamine ($n=0/100$, $p<0.0001$; see Figure 3.4.3A), and significantly reduced the number of cells responding to 10mM histamine from 35% ($n=37/107$) to 9% ($n=5/55$, $p=0.0003$; see Figure 3.4.3B). Removing extracellular Ca$^{2+}$ ([Ca$^{2+}$]$_o$) or inhibiting voltage gated Ca$^{2+}$ channels with the non-specific blocker lanthanum (50µM) had no effect on the
Figure 3.4.3 The effect of inhibiting Ca$^{2+}$ release from IP$_3$ sensitive stores and inhibiting Ca$^{2+}$ entry on the percentage of cells responding to histamine.
The percentage of cells responding to 100 $\mu$M histamine in A and 10 mM histamine in B is shown in red as the control column. Formation of IP$_3$ was inhibited with U73122 (10 $\mu$M), and Ca$^{2+}$ entry was blocked with lanthanum (La$^{3+}$, 50 $\mu$M) or by removing extracellular Ca$^{2+}$ (0Ca$^{2+}$). A cross indicates a significant decrease in the percentage of cells responding to histamine when compared to control.
percentage of cells responding to 100µM histamine. 13% (n=10 / 79, p=0.6716) responded in the absence of [Ca^{2+}], and 15% (n=8 / 54, p=1.00) responded after lanthanum pre-treatment compared to 15% (n=16 / 103) of cells that responded to histamine alone (see Figure 3.4.3A). The number of cells responding to 10mM histamine applied in the absence of [Ca^{2+}]_o was significantly reduced to 15% (n=12 / 79, p=0.004). Lanthanum also significantly reduced the percentage of cells responding to 10mM histamine to 18% (n=11 / 60, p=0.0323). When the cells were pre-treated with U73122 in the absence of [Ca^{2+}]_o, no cells responded to 10mM histamine (see Figure 3.4.3B).
The effect of U73122, La^{3+} and [Ca^{2+}]_o on the time course of the [Ca^{2+}] response to histamine
Although blocking the entry of Ca^{2+} across the plasma membrane had no effect on the percentage of cells responding to 100µM histamine, it affected the profile of the [Ca^{2+}] response (see Figure 3.4.4). The peak [Ca^{2+}] response was the same in the absence of [Ca^{2+}]_o (p=0.69059; see Figure 3.4.4A), but was reduced in the presence of lanthanum (p=0.02145, comparison of peak ratio values at 65s; see Figure 3.4.4B). The development of the plateau phase of the [Ca^{2+}] response was however prevented by both [Ca^{2+}]_o and lanthanum (p=0.0098, p=0.007, comparison at 195s respectively, see Figure 3.4.4A and B). It should be noted that both lanthanum and removal of [Ca^{2+}]_o alone had no effect on basal [Ca^{2+}] levels. As U73122, La^{3+} and removal of [Ca^{2+}]_o reduced the percentage of cells responding to 10mM histamine, the effect of these on the time course of the [Ca^{2+}] response obtained to those responding to histamine is shown in Figure 3.4.5. It should be noted that the mean [Ca^{2+}] response to histamine after U73122, lanthanum and
Figure 3.4.4 The $[\text{Ca}^{2+}]_i$ response obtained to a low concentration of histamine in the absence of $[\text{Ca}^{2+}]_o$ and in the presence of lanthanum
The mean $[\text{Ca}^{2+}]_i$ response in histamine (100 $\mu$M) responsive cells in the absence of $[\text{Ca}^{2+}]_o$ (+ 100 $\mu$M EGTA) is plotted in turquoise in A ($n=10 / 79$) and the mean $[\text{Ca}^{2+}]_i$ response in pink in B was obtained in histamine responsive cells in the presence of lanthanum (50 $\mu$M, 45s; $n=8 / 54$). The mean $[\text{Ca}^{2+}]_i$ response obtained in histamine responsive cells (100 $\mu$M; $n=16 / 103$) is plotted in red in A, and B and the duration of the histamine exposure (145s) is indicated by the black bar.
\[ \text{[Ca}^{2+}]_o \] were obtained from a smaller population of neurones than that responding to histamine alone. The \( \text{[Ca}^{2+}] \) response to histamine in the presence of U73122 (10\( \mu \)M, 5mins) was similar to that obtained to histamine alone (see Figure 3.4.5A), in that \( \text{[Ca}^{2+}] \) reached a peak after 20s then declined towards baseline. When histamine was applied in the absence of \( \text{[Ca}^{2+}]_o \) (+100\( \mu \)M EGTA), the magnitude of the peak \( \text{[Ca}^{2+}] \) response was greater than that obtained to histamine alone (\( p=0.0032 \); comparison of ratio values at 60s; see Figure 3.4.5B). The \( \text{[Ca}^{2+}] \) response to histamine in the presence of La\(^{3+}\) (50\( \mu \)M) was similar to that obtained to histamine alone (see Figure 3.4.5B). A similar peak magnitude was reached at 20s (\( p=0.7981 \)), then \( \text{[Ca}^{2+}] \) declined towards baseline, however, \( \text{[Ca}^{2+}] \) remained slightly elevated in the presence of lanthanum (\( p=0.0049 \); comparison of ratio values obtained at 185s).
**The IP\(_3\) response to histamine was reduced in the presence of U73122**
The effect of pre-treating the cells with U73122 on IP\(_3\) formation in response to 10mM histamine was also investigated (see Figure 3.4.6). U73122 (10\( \mu \)M, 5mins) alone had no effect on resting IP\(_3\) levels (0.09 ± 0.02 % [³H]-PI compared to 0.10 ± 0.01 % [³H]-PI after U73122; \( p=0.6675 \)) but significantly reduced the histamine-stimulated increase in IP\(_3\) formation from 0.19 ± 0.02 % [³H]-PI to 0.11 ± 0.01 % [³H]-PI (\( p=0.0003 \); see Figure 3.4.6).
**Ryanodine had no effect on the histamine response**
To determine if ryanodine sensitive intracellular Ca\(^{2+}\) stores were involved in the histamine response, cells were pre-treated with ryanodine (50\( \mu \)M, 5mins) before stimulating with histamine (10mM; see Figure 3.4.7). The percentage of cells
Figure 3.4.5 The $[\text{Ca}^{2+}]_i$ response obtained to 10mM histamine when $\text{Ca}^{2+}$ release from IP$_3$-sensitive stores was prevented or when $\text{Ca}^{2+}$ entry was blocked
The $[\text{Ca}^{2+}]_i$ response obtained to histamine (10mM) when neurones were pre-treated with U73122 (10µM, 5mins) is plotted in green in A ($n=5/55$). B shows the $[\text{Ca}^{2+}]_i$ response obtained to histamine in the absence of $[\text{Ca}^{2+}]_o$ (+ 100µM EGTA; $n=12/79$) in turquoise and the $[\text{Ca}^{2+}]_i$ response in pink in C was obtained to histamine in the presence of lanthanum (50µM, 45s; $n=11/60$). The $[\text{Ca}^{2+}]_i$ response to histamine (10mM; $n=37/107$) alone is plotted in red in A, B and C and the duration of the histamine exposure (145s) is indicated by the black bar. Mean $[\text{Ca}^{2+}]_i$ responses are plotted only for those cells that responded to histamine (10mM) and the number responding after pre-treatment with U73122, $[\text{Ca}^{2+}]_o$ and lanthanum was lower than that responding to histamine alone.
change in 340:380 ratio
time (s)
lantananum
change in 340:380 ratio
time (s)
[Ca$^{2+}$]
change in 340:380 ratio
time (s)
Figure 3.4.6 The effect of inhibiting PLC on the formation of IP$_3$ in response to histamine.
The formation of IP$_3$ in response to 10mM histamine after inhibiting Ca$^{2+}$ release from IP$_3$ sensitive stores with U73122 is shown in A. An asterisk indicates a significant increase in IP$_3$ levels when compared to control and a cross indicates a significant decrease when compared to the histamine-induced increase in IP$_3$ formation.
responding to histamine in the presence of ryanodine was not significantly different when compared to the percentage responding to histamine alone, 35% (n=37 / 107) responded before and 28% (n=27 / 98, p=0.2946; see Figure 3.4.7A) responded after. Ryanodine failed to evoke a $[\text{Ca}^{2+}]_i$ response in any of the neurones tested (n=0 / 98; see Figure 3.4.7B). The $[\text{Ca}^{2+}]_i$ response obtained to histamine in the presence of ryanodine was similar to that obtained before (see Figure 3.4.7C), that is, a peak response observed at 20s which declined towards and reached basal levels after 120s. The magnitude of the peak $[\text{Ca}^{2+}]_i$ response obtained to histamine in the presence of ryanodine was similar to the peak response to histamine alone (p=0.06; comparison of mean ratio values at 60s).
**The effect of 5-HT antagonists on the histamine response**
The effect of the 5-HT antagonists methiothepin, specific for the 5-HT$_1$ and 5-HT$_2$ receptor sub-types, and Y25130, specific for the 5-HT$_3$ sub-type, on the response to histamine was studied to determine if the higher concentrations used in this study had a non-specific effect on the activation of 5-HT receptors (see Figure 3.4.8). Histamine was applied in the presence of methiothepin (1µM) and Y25130 (2µM), and the percentage of cells responding to 100µM is shown in Figure 3.4.8A and to 10mM in Figure 3.4.8B. The 5-HT antagonists had no significant effect on the percentage of cells responding to either concentration of histamine. The percentage responding to 100µM histamine in the presence of the antagonists was 19% (n=14 / 74) compared to 15% (n=16 / 103, p=0.5508) responding before. 24% (n=19 / 79) responded to 10mM histamine after compared to 35% (n=37 / 107, p=0.1463) responding before pre-treating with the antagonists. To show that methiothepin and Y25130 exerted their antagonistic effects at 5-HT receptors, 5-
Figure 3.4.7 The percentage of cells responding to histamine in the presence of ryanodine
The percentage of cells responding to histamine (10mM; 35%, n=37 / 107) alone is plotted in red as the control and the percentage responding to the same concentration of histamine after pre-treating with ryanodine (50µM, 5 mins; 28%, n=27 / 98) is shown in green. The mean [Ca^{2+}]_i response obtained to ryanodine is plotted in B (n=98) and the mean [Ca^{2+}]_i response in histamine responsive cells (10mM) before (red) and after ryanodine (green) is shown in C. The green bar in B indicates the duration of the ryanodine exposure (200s) and the black bar in C represents histamine application (15.5s).
A
% of responding cells
control
ryanodine
B
340:380 ratio
time (s)
C
340:380 ratio
time (s)
Figure 3.4.8 The response to histamine and 5-HT in the presence of the 5-HT antagonists methiothepin and Y25130
The percentage of cells responding to 100 $\mu$M histamine is shown in A and for 10 mM in B in red as the control. The green column in both plots represents the percentage of cells responding to the equivalent concentration of histamine after pre-treating with methiothepin (1 $\mu$M, 45s) and Y25130 (2 $\mu$M, 45s). C shows the percentage of cells responding to 5-HT (100 $\mu$M) alone in blue and after pre-treating with methiothepin and Y25130 in green. The effect of a combination of mepyramine (mep, 1 $\mu$M), cimetidine (cmt, 50 $\mu$M) and thioperamide (thio, 1 $\mu$M) on the percentage of cells responding to 5-HT is shown in pink. A cross indicates a significant decrease in the percentage of cells responding when compared to control.
A
B
C
% of responding cells
control methiothepin + Y25130
control methiothepin + Y25130
control methiothepin + Y25130 mep + cmt + thio
% of responding cells
control methiothepin + Y25130 mep + cmt + thio
†
HT (100µM) was applied in the presence of these antagonists (see Figure 3.4.8C). The percentage responding to 5-HT was significantly reduced from 21% (n=15 / 71) to 4% (n=3 / 67, p=0.0046). 5-HT was applied in the presence of a combination of mepyramine (1µM), cimetidine (50µM) and thioperamide (1µM) to show that 5-HT did not exert its actions by activating H₁, H₂ or H₃ receptors. 21% (n=15 / 71) responded before and 21% (n=11 / 53, p=1.00) responded after pre-treating with the histamine antagonists.
3.5 Inflammatory prostanoids enhance the sensitivity of DRG neurones to histamine
PGE₂ increased the percentage of neurones responding to histamine
Pre-treating DRG neurones with PGE₂ is known to sensitise these cells to other inflammatory mediators, such as, bradykinin (Ferreira, 1972; Nicol & Cui, 1994; Smith et al, 2000), therefore, the effects of PGE₂ on the percentage of cells responding to histamine was investigated. Initially, neurones were pre-treated with a range of PGE₂ concentrations for a period of 45s to determine if a sensitisation of the response to 100µM histamine was produced (see Figure 3.5.1A). 1nM PGE₂ had no effect on the number of cells responding to histamine (14%, n=10 / 74, p=1.00) and 10nM PGE₂ did not produce a significant increase in the number of cells responding (18%, n=16 / 90, p=0.5618). Raising the PGE₂ concentration produced a significant increase in the number of cells responding to histamine, 27% (n=28 / 102; p=0.04) responded after pre-treating with 100nM and 38% responded after 1µM (n=50 / 133; p=0.0002). Although 10µM PGE₂ increased the percentage of
cells responding (25%, n=16 / 63, p=0.103), this increase proved to be not quite significant when compared to the number responding to histamine alone.
As 1μM PGE₂ produced the maximum sensitisation of the response to 100μM histamine, the effect of this concentration on the percentage of cells responding to a range of histamine concentrations was investigated (see Figure 3.5.1B). PGE₂ did not sensitise the neurones to 1μM histamine (1%, n=1 / 76; p=1.00), but produced a significant increase in the number of cells responding to 10 and 100μM. For 10μM, the number increased from 1% (n=1 / 77) to 24% (n=16 / 66, p<0.0001) and for 100μM histamine, from 15% (n=16 / 103) to 38% (n=50 / 133, p=0.0002). The number responding to 1mM histamine was increased from 24% (n=19 / 80) to 37% (n=35 / 95) but this increase was not quite significant (p=0.0718). At the highest concentration of histamine tested, 10mM, PGE₂ had no significant effect on the number of responding cells (27%, n=17 / 62, p=0.3937).
The sensitising effect of PGE₂ on the response to histamine was affected by the time that the neurones were maintained in culture (see Figure 3.5.1C). PGE₂ produced an increase in the percentage of cells responding to 100μM histamine to 27% (n=22 / 83) after one day in culture but this increase was not quite significant when compared to control (n=16 / 108, p=0.0666). The sensitisation of the histamine response was seen at culture days 2, 3 and 4, and the percentage responding was similar for these days (day 2, 36%, p<0.0001; day 3, 39%, p=0.0042; day 4, 41%, p=0.0069). After 5 days in culture, the sensitising actions of PGE₂ declined.
Figure 3.5.1 The percentage of cells responding to histamine after PGE$_2$ pre-treatment
In A, the percentage of cells responding to 100 $\mu$M histamine after pre-treating with a range of PGE$_2$ concentrations (10$^{-5}$ - 10$^{-8}$ $\mu$M, 45s) is plotted in blue and the percentage responding to 100 $\mu$M histamine alone is plotted in red as the control. The percentage of cells responding to a range of histamine concentrations (10$^{-4}$ - 10$^{-3}$M) is plotted in B as the red line and the percentage responding to histamine after pre-treatment with PGE$_2$ (1 $\mu$M, 45s) is plotted in blue. C shows the effect of time in culture on the percentage of cells responding to 100 $\mu$M histamine alone plotted in red, and after PGE$_2$ (1 $\mu$M, 45s) pre-treatment plotted in blue. An asterisk indicates a significant increase in the percentage of cells responding to histamine after PGE$_2$ pre-treatment when compared to the number responding to the equivalent histamine concentration before PGE$_2$ pre-treatment.
A
% of responding cells
log [PGE$_2$] µM
B
% of responding cells
log [histamine] mM
C
% of responding cells
time in culture (days)
The time course of the $[\text{Ca}^{2+}]_i$ response obtained to histamine after PGE$_2$ pre-treatment
Individual $[\text{Ca}^{2+}]_i$ responses to 100 $\mu$M histamine after pre-treating with 1 $\mu$M PGE$_2$ for a period of 45s are shown in Figure 3.5.2. A shows the phase contrast image of the field of cells that was tested and four neurones are numbered to illustrate their $[\text{Ca}^{2+}]_i$ responses. These responses are plotted in B and show that cells 1 and 2 both responded to histamine whereas cells 3 and 4 did not. The $[\text{Ca}^{2+}]_i$ response in cell 1 had a slight delay in onset of 15s, and then reached its peak within 5s. Cell 2 also responded with a rise in $[\text{Ca}^{2+}]_i$ which was immediate in onset and reached its peak within 10s. After the initial peak rise, the $[\text{Ca}^{2+}]_i$ response in both cells declined to a plateau just above baseline. Panels C, D and E are pseudocolour images of the field of cells and are taken at the time points of the experiment, 0s, 125s and 275s respectively. At rest, cells appear blue indicating low resting $[\text{Ca}^{2+}]_i$, giving a 340:380 ratio of approximately 1.00 (see Figure 3.5.2C). After histamine was applied, those cells responding with a rise in $[\text{Ca}^{2+}]_i$ appear yellow and red, as indicated in F, therefore cells 1 and 2 (see Figure 3.5.2D). E shows that $[\text{Ca}^{2+}]_i$ returns to near resting levels.
PGE$_2$ had no effect on the profile of the $[\text{Ca}^{2+}]_i$ response to histamine
PGE$_2$ pre-treatment did not alter the profile of the $[\text{Ca}^{2+}]_i$ response to histamine (see Figure 3.5.3). Data in A shows the mean $[\text{Ca}^{2+}]_i$ response obtained to 100 $\mu$M histamine alone. Histamine evoked a rise in $[\text{Ca}^{2+}]_i$ which was rapid in onset and reached its peak within 10s. After the peak rise, $[\text{Ca}^{2+}]_i$ started to decline and reached a plateau at 30s. This plateau was maintained until histamine was washed.
Figure 3.5.2 Individual $[\text{Ca}^{2+}]_i$ responses to histamine after PGE$_2$ pre-treatment in DRG neurones
The phase contrast image of the field of cells that was tested is shown in A (x10 magnification). Four neurones in the field are numbered and their $[\text{Ca}^{2+}]_i$ responses are plotted in B. Cell 1 is plotted in red, 2 in green, 3 in turquoise and 4 in blue. PGE$_2$ (1 $\mu$M) was applied at 45s and histamine (100 $\mu$M) at 90s and both were washed at 260s. Panels C, D and E are pseudocolour images of the field of cells and represent the time points of the experiment as shown in B, therefore C is taken at 0s, D at 115s and E at 280s. The estimated $[\text{Ca}^{2+}]_i$ concentration corresponding to the colour changes in D and E is shown in F.
A
B
C
D
E
F
10nM
1uM
whereupon $[\text{Ca}^{2+}]_i$ started to decay back to baseline. After washing, $[\text{Ca}^{2+}]_i$ returned to near basal levels. The $[\text{Ca}^{2+}]_i$ response obtained to histamine after PGE$_2$ pre-treatment was similar to that obtained without pre-treatment, that is, a rapid rise in $[\text{Ca}^{2+}]_i$, reaching its peak after 15s and declined to a plateau after 65s (see Figure 3.5.3B). C compares the normalised 340:380 ratio for the histamine response displayed in A and B and shows that the mean responses obtained to histamine both with and without PGE$_2$ pre-treatment are similar ($p=0.4458$, $p=0.691$; comparison of ratio values at 45s and 130s respectively).
**PGE$_2$ enhanced the sensitivity to histamine in small diameter neurones**
The sensitivity to histamine was enhanced by PGE$_2$ for both capsaicin sensitive and capsaicin insensitive neurones with small neuronal diameters (see Figure 3.5.4). For the combined group, neuronal diameter ranged from 10.5-27.75 $\mu$m with a mean diameter of 18.12 ± 0.38 $\mu$m ($n=123$; see Figure 3.5.4A). Almost all of the neurones had a diameter in the range 10.5-24.9 $\mu$m (93%, $n=114/123$) with a very small proportion within the range 25-29.9 (7%, $n=9/123$). For capsaicin sensitive cells, the majority of neurones had diameters between 15-24.9 $\mu$m (83%, $n=33/40$; see Figure 3.5.4B). The mean diameter was 20.30 ± 0.55 $\mu$m with a range from 12.5-27 $\mu$m. Most of the capsaicin insensitive neurones had diameters between 10.50-24.9 $\mu$m (95%, $n=79/83$; see Figure 3.5.4C). A very small proportion of neurones had diameters greater than 25 $\mu$m (5%, $n=4/83$). The mean diameter of capsaicin insensitive neurones was 17.06 ± 0.45 $\mu$m with a range between 10.50-27.75 $\mu$m.
Figure 3.5.3 Mean $[Ca^{2+}]_i$ responses obtained to histamine with and without PGE$_2$ pre-treatment.
A shows the mean $[Ca^{2+}]_i$ response in histamine responsive cells (100 $\mu$M; n=16 / 103) before PGE$_2$ pre-treatment whereas B shows the mean $[Ca^{2+}]_i$ response in histamine responsive cells to the same concentration of histamine after PGE$_2$ pre-treatment (1 $\mu$M, 45s; n=5 / 133). The normalised ratio values for the histamine response before and after PGE$_2$ pre-treatment are plotted in C (mean ± s.e.m.). The response to histamine alone is plotted in red and after pre-treating with PGE$_2$ is plotted in blue. The responses in A, B and C are plotted on different time scales.
A
340:380 ratio
100 μM histamine
time (s)
B
340:380 ratio
100 μM histamine
time (s)
C
change in 340:380 ratio
-0.5 0 0.5 1.0 1.5
time (s)
Figure 3.5.4 Diameter of neurones responding to histamine after PGE\textsubscript{2} pre-treatment
The distribution of diameters for a sample of both capsaicin sensitive and capsaicin insensitive neurones that responded to histamine after PGE\textsubscript{2} pre-treatment (n=123) is combined and shown in A. The distribution of neurone diameter for capsaicin sensitive neurones alone (12.5-27\,\mu m; n=40 / 123) is shown in B and for capsaicin insensitive neurones only (10.5-27.75\,\mu m; n=83 / 123) is shown in C.
A
% responding cells
neurone diameter (µm)
B
% responding cells
neurone diameter (µm)
C
% responding cells
neurone diameter (µm)
PGE\textsubscript{2} increased the number of both capsaicin sensitive and capsaicin insensitive neurones that responded to histamine
Cells that responded to histamine after pre-treating with PGE\textsubscript{2} were tested for their sensitivity to capsaicin (500nM) and a depolarising K\textsuperscript{+} (50mM) stimulus (see Figure 3.5.5). PGE\textsubscript{2} (1µM, 45s) produced a significant increase in the percentage of capsaicin sensitive cells that responded to histamine (100µM) from 8% (n=6 / 80) to 20% (n=16 / 80, p=0.03; see Figure 3.5.5A). Although PGE\textsubscript{2} increased the percentage of capsaicin insensitive cells responding to histamine from 43% (n=10 / 23) to 64% (n=34 / 53), this increase proved not to be significant (p=0.1298; see Figure 3.5.5B). However, when both populations of cells, capsaicin sensitive and capsaicin insensitive, were combined and neurones were classified according to histamine sensitivity, PGE\textsubscript{2} produced a significant increase in the percentage of cells responding from 15% (n=16 / 103) to 38% (n=50 / 133, p=0.0002; see Figure 3.5.5C). The [Ca\textsuperscript{2+}] response obtained to histamine in the presence of PGE\textsubscript{2} in capsaicin sensitive cells was similar to that obtained in capsaicin insensitive cells (p=0.2946, p=0.2761; comparison of ratio values at 105s and 185s respectively; see Figure 3.5.5D). After the initial peak [Ca\textsuperscript{2+}] rise, which was reached within 15s, [Ca\textsuperscript{2+}] decayed to a plateau and remained elevated for the duration of the histamine exposure.
A second application of histamine was unable to elicit a subsequent [Ca\textsuperscript{2+}] response in neurones sensitised by PGE\textsubscript{2}
To determine if histamine was able to evoke a subsequent [Ca\textsuperscript{2+}] response in sensitised neurones, cells that had been pre-treated with PGE\textsubscript{2} were repeatedly stimulated with low concentrations of histamine. Two different protocols were
Figure 3.5.5 The effect of PGE$_2$ on the response to histamine in capsaicin sensitive and capsaicin insensitive DRG neurones
A and B show the percentage of cells responding to histamine (100 $\mu$M) alone plotted in red as the control and the percentage responding after pre-treating with PGE$_2$ (1 $\mu$M, 45s) plotted in blue. A shows the data obtained for capsaicin sensitive cells and B for capsaicin insensitive cells. In C, the mean $[Ca^{2+}]_i$ response obtained in histamine responsive cells after pre-treating with PGE$_2$ in capsaicin sensitive cells is plotted in the filled blue circles ($n=16/80$) and in capsaicin insensitive cells the hollow blue circles ($n=34/53$).
A
% of responding cells
control
capsaicin sensitive
PGE₂
B
control
capsaicin insensitive
PGE₂
C
change in 340:380 ratio
100μM histamine
1μM PGE₂
time (s)
performed. In the first, neurones were exposed to histamine (100μM, 45s), the agonist was washed and after a defined wash period (5, 30 and 60 min), the same field of cells was pre-treated with PGE₂ (1μM, 45s) and subsequently exposed to a second histamine application (100μM, 45s; see Figure 3.5.6A). Of all the neurones tested in this protocol, 15% (n=13 / 85) responded to the first histamine application and no cells (n=0 / 85) responded to the second histamine application.
In the second protocol, neurones were initially pre-treated with PGE₂ (1μM, 45s) before the first histamine application (100μM, 45s).
Histamine alone was washed for a defined period (5, 30 and 60min) and the same field of cells were exposed to a second histamine application (100μM, 45s) in the continuing presence of PGE₂. Of the cells that responded to the first histamine application (n=28 / 79), almost all did not respond to the second histamine application (n=26 / 28). However, histamine did evoke a [Ca²⁺] response to both applications in a small proportion of the neurones (n=2 / 79; see Figure 3.5.6C). The magnitude of the first [Ca²⁺] peak was greater in cells that responded to both applications than the [Ca²⁺] peak obtained in neurones that responded only to the first application (p=0.00227, comparison of ratio values at 115s; see Figure 3.5.6B and C, left hand panels). In those cells that responded to both histamine applications, the first [Ca²⁺] peak was greater than the second [Ca²⁺] peak (p=0.0009, comparison of ratio values at 115s and 70s; see Figure 3.5.6C).
In both experiments, those cells that failed to respond to the first histamine application did not respond to the second application.
Figure 3.5.6 The $[\text{Ca}^{2+}]_i$ response to repeated applications of histamine in DRG neurones pre-treated with PGE$_2$
The $[\text{Ca}^{2+}]_i$ response obtained to the first histamine (100 $\mu$M, 45s) exposure is shown in the left hand panel in A. $[\text{Ca}^{2+}]_i$ during a second histamine application after pre-treating with PGE$_2$ (1 $\mu$M, 45s) is shown in the right hand panel ($n=13/85$). In B and C, cells were pre-treated with PGE$_2$ before the first histamine application and PGE$_2$ was present in the bath solution until the second histamine application was washed. B shows the mean $[\text{Ca}^{2+}]_i$ response to those cells that responded to the first histamine application only ($n=26/79$) and C shows the response to those cells that responded to both histamine applications ($n=2/79$). The wash period between histamine applications ranged from 5 to 60 min and data shown in A, B and C are mean data sets that were combined irrespective of wash period. The duration of each histamine application is indicated by the red bar (45s) and exposure to PGE$_2$ is represented by the blue bar.
A
340:380 ratio
time (s)
B
340:380 ratio
time (s)
C
340:380 ratio
time (s)
Sensitivity to histamine is augmented by other inflammatory prostanoids
DRG neurones were pre-treated with a range of prostanoids to determine if they also enhanced the sensitivity of these cells to histamine. Cells were pre-treated with 1μM of the test prostanoid, PGI₂, PGD₂ or PGF₂α for a period of 45s and the percentage responding to histamine after pre-treatment was compared to the percentage of cells responding to histamine alone (see Figure 3.5.7A). Both PGI₂ and PGD₂ produced a significant increase in the number of cells responding to histamine. 33% (n=18 / 53, p=0.0132) responded after PGI₂ and 29% (n=24 / 81, p=0.0301) responded after PGD₂. Pre-treating with PGF₂α had no significant effect on the number of cells responding to histamine (n=7 / 56; p=0.6465).
Inflammatory prostanoids increase intracellular cAMP levels in DRG neurones
The intracellular cAMP concentration in response to stimulation by the prostanoids, PGE₂, PGI₂, PGD₂ and PGF₂α was measured to determine if cAMP linked receptors for these prostanoids were present in DRG neurones. Intracellular cAMP concentration is expressed as a proportion of the total protein content in DRG neurones ([cAMP] pmol/mg protein; see Figure 3.5.7B). Cells were pre-treated with 1μM of the test prostanoid for 45s. PGE₂ and PGD₂ produced a significant increase in cAMP levels when compared to control (11.24 ± 1.62 pmol/mg protein). PGE₂ increased the cAMP concentration to 24.90 ± 2.01 pmol/mg protein (p=0.00416) and PGD₂ increased the levels to 22.72 ± 2.79 pmol/mg protein (p=0.00117). cAMP concentration was not significantly altered when the cells were pre-treated with either PGI₂ (15.06 ± 1.62 pmol/mg protein; p=0.1107) or PGF₂α (14.73 ± 1.27 pmol/mg protein; p=0.05546).
Figure 3.5.7 The effect of prostanoids on the histamine response and cAMP concentration in DRG neurones
The percentage of cells responding to 100µM histamine before (15%, n=16/103) and after a 45s pre-treatment with 1µM of PGE$_2$ (38%, n=50/133), PGI$_2$ (33%, n=18/53), PGD$_2$ (29%, n=24/81) and PGF$_{2\alpha}$ (11%, n=7/56) is plotted in A. An asterisk indicates a significant increase in the percentage of cells responding to histamine when compared to the number responding to histamine alone shown in red as the control.
The effect of PGE$_2$, PGI$_2$, PGD$_2$ and PGF$_{2\alpha}$ on [cAMP]$_i$ is shown in B. cAMP concentration is expressed as a proportion of the total protein content ± s.e.m. A significant increase in [cAMP]$_i$ compared to control is indicated by an asterisk.
Histamine had no effect on intracellular cAMP
To determine if histamine itself modulated cAMP, intracellular levels in response to histamine were measured (see Figure 3.5.8). The [cAMP]$_i$ levels obtained to histamine alone was not significantly increased when compared to control levels ($11.76 \pm 1.51$ pmol/mg protein compared to $12.17 \pm 2.01$ pmol/mg protein; $p=0.278$). PGE$_2$ alone produced a significant increase in [cAMP]$_i$ when compared to control ($29.02 \pm 4.44$ pmol/mg protein, $p=0.009$). When PGE$_2$ and histamine were co-applied, there was a significant increase when compared to control ($26.68 \pm 2.37$ pmol/mg protein, $p=0.0009$) but not when compared to the [cAMP]$_i$ levels obtained in response to PGE$_2$ alone ($p=0.638$).
The effect of histamine antagonists on the sensitised response to histamine
To determine which receptor sub-type was involved in the sensitised [Ca$^{2+}$]$_i$ response to histamine, mepyramine (1µM), cimetidine (50µM) and thioperamide (1µM) was applied before cells were pre-treated with PGE$_2$ (1µM) and then tested for their sensitivity to histamine (100µM). In the presence of mepyramine, histamine failed to elicit a [Ca$^{2+}$]$_i$ response in any of the neurones tested ($n=0 / 35$; $p<0.0001$; see Figure 3.5.9A). When cells were pre-treated with cimetidine, the percentage responding was significantly reduced from 38% ($n=50 / 133$) to 17% ($n=14 / 83$, $p=0.0012$). The percentage responding in the presence of thioperamide was not significantly different compared to control (27%, $n=9 / 33$ compared to 38%, $n=50 / 133$, $p=0.3138$). The sensitised [Ca$^{2+}$]$_i$ response obtained to histamine in the presence and absence of cimetidine is shown in Figure 3.5.9B. The magnitude of both responses reached a similar peak at 20s but the sensitised response to histamine alone decayed to a plateau whereas, there was no clear plateau phase in
Figure 3.5.8 The cAMP response to histamine before and after PGE2 pre-treatment
This shows the effect of histamine (100µM) alone and after PGE2 (1µM, 45s) pre-treatment on the cAMP concentration in DRG neurones. A significant increase in cAMP concentration when compared to control is represented by an asterisk.
Figure 3.5.9 The effect of mepyramine, a selective $H_1$ antagonist, cimetidine, a selective $H_2$ antagonist and thioperamide, a selective $H_3$ antagonist on the histamine response in PGE$_2$ pre-treated neurones
A shows the percentage of cells responding to histamine (100 $\mu$M) after PGE$_2$ pre-treatment (1 $\mu$M, 45s; 38%, n=50 / 133) plotted in blue as the control. The percentage responding after mepyramine (mep, 1 $\mu$M; 0%, n=0 / 35), cimetidine (cmt, 50 $\mu$M; 17%, n=14 / 83) and thioperamide (thio, 1 $\mu$M; 27%, n=9 / 33) is also shown. A cross indicates a significant decrease in the percentage of cells responding after PGE$_2$ pre-treatment when compared to control. In B, the sensitised mean $[\text{Ca}^{2+}]_i$ response in histamine responsive cells is shown in blue as the control and the same response obtained in the presence of cmt is plotted in turquoise. The black bar represents the duration of the histamine application (105s). C shows the effects of cmt on the cAMP concentration before and after pre-treating with PGE$_2$ (1 $\mu$M, 45s). An asterisk indicates a significant increase in cAMP concentration when compared to control.
A
% of responding cells
- control
- mep
- cmt
- thio
B
change in 340:380 ratio
- time (s)
C
[cAMP] pmol / mg protein
- control
- cmt
- PGE$_2$
- cmt + PGE$_2$
the response obtained in the presence of cimetidine. Instead, \([Ca^{2+}]\), appeared to decline towards baseline (p=0.00413, comparison of ratio values at 130s). To determine if cimetidine altered \([cAMP]_i\) levels in DRG neurones, \([cAMP]_i\) was measured after stimulation with cimetidine and PGE\(_2\) (see Figure 3.5.9C). Cimetidine alone had no significant effect on cAMP levels when compared to control (16.32 ± 2.85 pmol/mg protein compared to 13.86 ± 1.00 pmol/mg protein; p=0.03). The levels of cAMP measured after co-application of cimetidine and PGE\(_2\) were not significantly different when compared to those obtained to PGE\(_2\) (27.94 ± 2.02 pmol/mg protein, p=0.225).
3.6 The prostanoid-induced sensitisation to histamine is mediated via a cAMP-dependent mechanism
**Increasing intracellular cAMP enhanced the sensitivity to histamine**
To determine if the prostanoid-induced sensitisation was produced via the activation of cAMP, the effects of increasing intracellular adenylyl cyclase activity and raising cAMP on the percentage of cells responding to histamine was investigated. Intracellular cAMP was raised by pre-treating the neurones with the membrane permeable analogue of cAMP, 8-bromo-cAMP (100µM) for a period of 5 mins. Adenylyl cyclase activity was increased by pre-treating with forskolin (10µM) for 5 mins. 8-bromo-cAMP produced a significant increase in the number of cells responding to both 10 and 100µM histamine (see Figure 3.6.1A and B). The number responding to 10µM histamine increased from 1% (n=1 / 77) to 13% (n=9 / 70, p=0.0068) and for 100µM, from 15% (n=16 / 103) to 43% (n=24 / 55, p=0.0002).
Figure 3.6.1 The effect of raising intracellular cAMP on the histamine response in DRG neurones
A shows the effect of raising [cAMP]$_i$ on the percentage of cells responding to 10 $\mu$M histamine and B shows the effect on the percentage responding to 100 $\mu$M histamine. The red control column in both A and B represents the percentage responding to the equivalent concentration of histamine alone. Cells were pre-treated with PGE$_2$ (1 $\mu$M, 45s), 8-bromo-cAMP (8-br-cAMP; 100 $\mu$M, 5 mins) or forskolin (FK; 10 $\mu$M, 5 mins). An asterisk indicates a significant increase in the percentage of cells responding when compared to the equivalent control. C and D show the effect of forskolin on [cAMP]$_i$ in DRG neurones. C shows the [cAMP]$_i$ concentration that was measured after a 45s pre-treatment and D shows the [cAMP]$_i$ concentration after a 5 min pre-treatment. A significant increase in [cAMP]$_i$ when compared to control is indicated by an asterisk.
A
B
C
D
[cAMP] pmol / mg protein
% of responding cells
% of responding cells
control
PGE₂
8-b-cAMP
FK
*
Forskolin sensitised the neurones to 10μM histamine, the percentage responding increased to 12% (n=8 / 67, p=0.0124). Pre-treating the neurones with forskolin increased the number responding to 100μM histamine to 23% (n=38 / 165) but this proved to be not quite significant when compared to control (15%, n=16 / 103, p=0.1599).
To show that forskolin increased intracellular cAMP in DRG neurones, intracellular cAMP levels were measured after pre-treating the cells with forskolin for 45s and 5 mins (see Figure 3.6.1C and D).
Both exposure times significantly increased intracellular cAMP levels. After 45s the cAMP concentration was increased from 12.19 ± 0.96 pmol/mg protein to 100.12 ± 6.57 pmol/mg protein (p<0.0001; see Figure 3.6.1C), and after 5 mins, from 13.86 ± 0.99 pmol/mg protein to 531.12 ± 61.63 pmol/mg protein (p<0.0001; see Figure 3.6.1D).
**The effect of raising intracellular cAMP on the [Ca^{2+}] response to histamine**
The [Ca^{2+}] response obtained to histamine (10μM) after pre-treating with PGE$_2$ (1μM) was compared to that obtained after pre-treating with 8-bromo-cAMP (100μM) and forskolin (10μM; see Figure 3.6.2). The response obtained to histamine after PGE$_2$ reached a peak after 15s, [Ca^{2+}], then declined and reached a plateau after 120s (plotted in blue in Figure 3.6.2A and B). The [Ca^{2+}] responses obtained to histamine after 8-bromo-cAMP (see Figure 3.6.2A) and after forskolin (see Figure 3.6.2B) were essentially similar in that [Ca^{2+}] reached a peak and then decayed to a plateau. However, the magnitude of the peak response in the presence of 8-bromo-cAMP was not as great as that obtained after PGE$_2$ pretreatment (p=0.0151, comparison of peak ratio values at 65s).
Figure 3.6.2 The $[\text{Ca}^{2+}]_i$ response obtained to histamine after raising intracellular cAMP levels
A shows the $[\text{Ca}^{2+}]_i$ response obtained to histamine (10 $\mu$M) in the presence of 8-bromo-cAMP (100 $\mu$M, 5 mins, n=9 / 70) plotted in green and the $[\text{Ca}^{2+}]_i$ response to histamine after pre-treating with forskolin (10 $\mu$M, 5 mins, n=8 / 67) is plotted in turquoise in B. The sensitised $[\text{Ca}^{2+}]_i$ response to histamine (10 $\mu$M, n=16 / 66) is shown in blue as the control in both A and B and the black bar represents the duration of the exposure to histamine (205s).
Inhibiting cAMP blocked the PGE$_2$-induced sensitisation to histamine
Cells were pre-treated with the adenylyl cyclase inhibitor tetra-hydro-furyl-adenine (THFA) for a period of 5 mins to prevent the formation of cAMP after stimulating with PGE$_2$. Sensitivity to 10µM histamine is shown in Figure 3.6.3A and to 100µM histamine in Figure 3.6.3B. 100µM THFA did not significantly reduce the number of cells responding to 10µM histamine after PGE$_2$ pre-treatment (18%, n=27 / 150, p=0.355) when compared to the number of neurones responding that were not treated with THFA (24%, n=16 / 66). When exposed to 1mM THFA, the response to 10µM histamine was inhibited in cells pre-treated with PGE$_2$ (n=0 / 54, p<0.000; see Figure 3.6.3A). Both 100µM and 1mM THFA significantly reduced the PGE$_2$-induced sensitisation of the response to 100µM histamine (see Figure 3.6.3B). After 100µM THFA, the percentage of responding cells was reduced from 38% (n=50 / 133) to 23% (n=22 / 94, p=0.0297), and after 1mM, the percentage responding was reduced to 20% (n=24 / 122, p=0.023; see Figure 3.6.3B). This data is consistent with previous findings where a 1mM concentration of THFA was adequate to block the PGE$_2$-induced sensitisation of the bradykinin response in cultured DRG neurones (Cui & Nicol, 1995).
Intracellular cAMP levels were measured after stimulation with PGE$_2$ in cells that had been pre-treated with 1mM THFA (see Figure 3.6.3C). THFA alone had no effect on intracellular cAMP (11.10 ± 1.38 pmol/mg protein, p=0.13805) when compared to control (10.97 ± 1.32 pmol/mg protein), but significantly reduced the PGE$_2$-induced increase in cAMP levels from 24.90 ± 2.01 pmol/mg protein to 14.74 ± 1.23 pmol/mg protein (p=0.00116).
The profile of the mean [Ca$^{2+}$]$_i$ response obtained to histamine (both 10 and 100µM) in the presence of both PGE$_2$ and THFA (1mM) was similar to that
Figure 3.6.3 The effect of inhibiting adenylyl cyclase on the PGE$_2$-induced sensitisation to histamine
A and B show the effect of inhibiting adenylyl cyclase with tetra-hydro-furyl-adenine (THFA, 100 $\mu$M and 1 mM, 5 mins) on the percentage of cells responding to histamine (10 $\mu$M in A and 100 $\mu$M in B) after pre-treating with PGE$_2$ (1 $\mu$M, 45s). A significant increase in the percentage of cells when compared to the control is indicated by an asterisk. A cross indicates a significant decrease in the percentage of cells responding to histamine after pre-treating with PGE$_2$. The effect of THFA (1 mM, 5 mins) on the PGE$_2$-induced increase in cAMP formation is shown in C. An asterisk indicates a significant increase in cAMP formation when compared to control and a cross represents a significant decrease in the PGE$_2$-induced increase in cAMP.
A
[cAMP] pmol / mg protein
0 5 10 15 20 25 30
control
1mM THFA
PGE₂
1mM THFA + PGE₂
B
% of responding cells
0 10 20 30 40 50
control
PGE₂
100μM THFA
1mM THFA + PGE₂
1mM THFA + PGE₂
* +
obtained in the presence of PGE$_2$ alone in that the $[\text{Ca}^{2+}]_i$ response consisted of a peak and plateau phase (data not shown).
*The sensitisation was not prevented by pre-treating with inhibitors of cAMP-dependent protein kinase*
Neurones were pre-treated with the membrane permeable, selective inhibitors of cAMP-dependent protein kinase, protein kinase A inhibitor (PKI) and H89 to determine if the prostanoid-induced sensitisation to 100µM histamine was due to the effect of cAMP acting indirectly via the action of a cAMP-dependent protein kinase (see Figure 3.6.4). Both these inhibitors, used at similar concentrations, have been previously shown to prevent the PGE$_2$-induced sensitisation of the bradykinin response (Cui & Nicol, 1995; Smith *et al.* 2000). Pre-treating the cells with PKI (500nM) for a period of 5 min or 30 min did not affect the PGE$_2$-induced sensitisation to histamine (100µM). 38% ($n=50/133$) of cells responded to histamine before the inhibitor and 37% ($n=19/51$, $p=1.00$) responded after a 5 min pre-treatment and 30% ($n=31/103$, $p=0.2692$) responded after a 30 min pre-treatment (see Figure 3.6.4A). H89 also had no significant effect, the percentage of cells responding after pre-treating with H89 (300nM, 5min) was 28% ($n=17/61$) compared to 38% ($n=50/133$, $p=0.1979$) responding before. PKI (500nM, 5 min) had no effect on the forskolin-induced sensitisation to 10µM histamine (see Figure 3.6.5B), 12% ($n=8/67$) responded before and 15% ($n=13/87$, $p=0.6427$) responded after pre-treating with the inhibitor.
Figure 3.6.4 The effect of inhibiting cAMP-dependent protein kinase on the sensitised response to histamine
In A, the percentage of cells responding to histamine (100µM) after pre-treating with PGE$_2$ (1µM, 45s) is shown in blue as the control. The percentage of cells responding to histamine after PGE$_2$ pre-treatment was then measured when in the presence of the protein kinase inhibitors (PKI, 500nM, 5-30mins) and (H89, 300nM, 5 mins). B shows the effect of PKI (500nM, 5 mins) on the percentage of cells responding to histamine (100µM) after pre-treating with forskolin (10µM, 5 mins). The percentage responding to histamine after forskolin pre-treatment is shown in turquoise as the control.
The effect of inhibiting cAMP-dependent protein kinase on the $[Ca^{2+}]_i$ response to histamine
The $[Ca^{2+}]_i$ response obtained to histamine (100 $\mu$M) in PGE$_2$ (1 $\mu$M) pretreated neurones in the absence and presence of the inhibitors of cAMP-dependent protein kinase, PKI (500 nM, 30 mins) and H89 (300 nM, 5 mins) is shown in Figure 3.6.5. The sensitised $[Ca^{2+}]_i$ response obtained to histamine after pre-treating with both PKI and H89 was similar to that obtained before (see Figure 3.6.5A and B). The magnitude of the peak was similar ($p=0.1957$, $p=0.1513$; comparison of ratio values at 60s for PKI and H89 respectively) and also the magnitude of the plateau was similar ($p=0.0724$, $p=0.4018$, comparison of ratio values at 135s for PKI and H89 respectively).
Figure 3.6.5 The $[\text{Ca}^{2+}]_i$ response to histamine after pre-treating with PGE$_2$ in the presence of cAMP-dependent protein kinase inhibitors
A shows the mean sensitised $[\text{Ca}^{2+}]_i$ response in histamine responsive cells (100 $\mu$M, n=50 / 133) before (plotted in blue) and after pre-treating with protein kinase A inhibitor (500 nM, 30 mins; n=31 / 103) in red. B shows the control response plotted in blue and the $[\text{Ca}^{2+}]_i$ response in histamine responsive cells obtained in the presence of H89 (300 nM, 5 mins, n=17 / 61) in green.
In A and B, the black bar indicates when histamine was applied (40-145 s).
3.7 The $[\text{Ca}^{2+}]_i$ response in sensitised DRG neurones consists of a store sensitive and a store insensitive component
**PGE$_2$ did not affect the histamine-induced increase in IP$_3$ formation**
IP$_3$ levels in response to 100µM histamine before and after PGE$_2$ pretreatment were measured to determine if the increased number of cells responding with a rise in $[\text{Ca}^{2+}]_i$ was mediated by an increase in IP$_3$ turnover (see Figure 3.7.1A). PGE$_2$ alone had no effect on IP$_3$ formation ($0.17 \pm 0.01\%$ [$^3$H]-PI, $p=0.85492$) when compared to control ($0.16 \pm 0.01\%$ [$^3$H]-PI). Histamine stimulation produced a significant increase in IP$_3$ formation ($0.24 \pm 0.03\%$ [$^3$H]-PI, $p=0.0102$) when compared to control. Pre-treating the neurones with PGE$_2$ did not alter the IP$_3$ response that was obtained to histamine ($0.24 \pm 0.02\%$ [$^3$H]-PI, $p=0.92703$).
*The $[\text{Ca}^{2+}]_i$ response in sensitised neurones is mediated, in part, by a Ca2+ entry pathway*
To get an indication of how the $[\text{Ca}^{2+}]_i$ response to histamine was mediated after PGE$_2$ pre-treatment, IP$_3$ formation was inhibited by pre-treating with U73122 (10µM) and Ca$^{2+}$ entry was blocked with lanthanum (50µM) or by removing $[\text{Ca}^{2+}]_o$ (see Figure 3.7.2A). U73122 produced a significant decrease in the percentage of cells responding to 100µM histamine from 38% (n=50 / 133) to 19% (n=20 / 106, $p=0.0017$) but didn’t completely inhibit the response. When $[\text{Ca}^{2+}]_i$ was removed or lanthanum was present, the percentage of cells was significantly reduced. 17% (n=12 / 69, $p=0.0036$) responded to histamine in the absence $[\text{Ca}^{2+}]_o$ and 13% (n=10 / 75, $p=0.0002$) responded when voltage gated Ca$^{2+}$ channels were blocked.
Figure 3.7.1 The formation of IP$_3$ in response to histamine in sensitised DRG neurones
This shows the effect of pre-treating the neurones with PGE$_2$ (1 $\mu$M, 45s) on the histamine-stimulated increase in IP$_3$ formation. An asterisk indicates a significant increase in IP$_3$ formation when compared to resting levels shown in black as the control.
Figure 3.7.2 The effect of inhibiting Ca$^{2+}$ release from IP$_3$ sensitive stores or inhibiting Ca$^{2+}$ entry on the sensitised response to histamine
A shows the percentage of cells responding to histamine (100 $\mu$M) after pre-treating with PGE$_2$ (1 $\mu$M, 45s) as the control and in the presence of U73122 (10 $\mu$M, 5 mins), La$^{3+}$ (50 $\mu$M, 45s) and in the absence of [Ca$^{2+}$]$_i$. A cross indicates a significant decrease in the percentage of cells responding when compared to control. B, C and D show the mean [Ca$^{2+}$]$_i$ responses obtained in histamine responsive cells after pre-treating with PGE$_2$ in the presence of U73122 in green in B ($n=20/106$), the absence of [Ca$^{2+}$]$_i$ in turquoise in C ($n=12/69$) and in the presence of La$^{3+}$ in pink in D ($n=10/75$). The sensitised [Ca$^{2+}$]$_i$ response in histamine responsive cells is plotted in B, C and D in blue as the control ($n=50/133$). The black bar represents the duration of the histamine exposure (105s).
A
% of responding cells
- control
- U73122
- 0Ca²⁺
- U73122 + La³⁺
B
change in 340:380 ratio
C
change in 340:380 ratio
D
change in 340:380 ratio
time (s)
time (s)
time (s)
with lanthanum. Pre-treating the neurones with U73122 in the absence of $[\text{Ca}^{2+}]_o$ abolished the $[\text{Ca}^{2+}]$ response in all neurones tested ($n=0/50$, $p<0.0001$).
The $[\text{Ca}^{2+}]$ response obtained to histamine after pre-treating with PGE$_2$ was compared to the response obtained in the presence of U73122, in the absence $[\text{Ca}^{2+}]_o$ (+100µM EGTA) and in the presence of La$^{3+}$ (see Figure 3.7.2B, C and D respectively). U73122 had no effect on the time taken to reach or the magnitude of the peak $[\text{Ca}^{2+}]$ response ($p=0.5417$, comparison of ratio values at 60s; see Figure 3.7.2B). However, there was no plateau phase in the $[\text{Ca}^{2+}]$ response in U73122 treated neurones ($p=0.00024$, comparison at 135s). When $[\text{Ca}^{2+}]_o$ was removed, the magnitude of the peak $[\text{Ca}^{2+}]$ response was greater than that in control cells ($p=0.01376$, comparison at 60s; see Figure 3.7.2C). The magnitude of the plateau phase was similar when compared to control cells ($p=0.18312$, comparison at 135s). The $[\text{Ca}^{2+}]$ response obtained in the presence of La$^{3+}$ was slower to reach its peak (20s compared to 15s), and the magnitude was not as great when compared to control ($p=0.0027$, comparison at 60s; see Figure 3.7.2D). $[\text{Ca}^{2+}]$ remained elevated at a plateau that was similar to control ($p=0.6972$, comparison of ratio values at 135s).
**Ryanodine had no effect on the sensitised histamine response**
To determine if ryanodine sensitive intracellular Ca$^{2+}$ stores were involved in the sensitised histamine response, cells were pre-treated with PGE$_2$ (1µM, 45s) in the presence of ryanodine (5µM, 5mins) before stimulating with histamine (100µM; see Figure 3.7.3). Ryanodine had no significant effect on the percentage of cells responding to histamine, 38% ($n=50/133$) responded before and 39% ($n=38/97$, $p=0.8908$) responded after (see Figure 3.7.3A). Ryanodine alone did not elicit a
Figure 3.7.3 The effect of ryanodine on the PGE$_2$-induced sensitisation to histamine
The percentage of cells responding to histamine (100 $\mu$M) after PGE$_2$ pre-treatment (1 $\mu$M, 45s) is shown in A in blue as the control (38%, n=50 / 133) and the percentage responding in the presence of ryanodine (5 $\mu$M, 5 mins; 39%, n=38 / 97) is plotted in turquoise. B shows the [Ca$^{2+}$] response obtained when the cells were exposed to ryanodine (200s) as indicated by the turquoise bar (n=97). The effect of ryanodine on the mean sensitised [Ca$^{2+}$] response in histamine sensitive cells is plotted in C in turquoise and before ryanodine in blue as the control. Exposure to histamine (105s) is indicated by the black bar.
A
% of responding cells
control
ryanodine
B
340:380 ratio
time (s)
C
340:380 ratio
time (s)
\[ \text{[Ca}^{2+}\text{]} \] response in any of the neurones tested (n=0 / 97; see Figure 3.7.3B). The sensitised \( \text{[Ca}^{2+}\text{]} \) response obtained to histamine in the presence of ryanodine was the same as that obtained before (see Figure 3.7.3C). \( \text{[Ca}^{2+}\text{]} \) peaked at 15s and then declined and reached a plateau after 65s.
4. DISCUSSION
The data presented in this thesis demonstrates that DRG neurones in culture are a reliable preparation for studying the effects of inflammatory mediators on sensory neurones. It also provides the first detailed account of the direct effects of histamine on the intracellular signalling mechanisms in sensory neurones and the sensitising effects of the prostanoids on this histamine response.
4.1 A sub-population of cultured DRG neurones display characteristics of nociceptive afferent neurones
The sensory endings of nociceptive afferent neurones are activated by noxious chemical, thermal and electrical stimuli *in vivo* (Bessou & Perl, 1969; Kumazawa & Perl, 1977; Schiáble & Schmidt, 1988). While these studies have provided invaluable information regarding the chemosensitivity of these neurones, they do not provide information concerning the intracellular signalling mechanisms that are activated by these chemical mediators. The cell bodies of a sub-population of cultured sensory neurones have been shown to express properties that are also common to nociceptive neurones *in vivo* and are therefore used as a model to study the properties of nociceptive afferent terminals (Baccaglini & Hogan, 1983; Gold *et al*, 1996). These properties include: a small cell body diameter; sensitivity to capsaicin and endogenous algogenic substances such as bradykinin; substance P-like immunoreactivity; an enhanced sensitivity of the neurones to depolarising stimuli by PGE$_2$, and a shoulder on the falling phase of the somal action potential. When one of these properties is present in any given neurone, the other properties are likely to be present and these neurones can therefore be identified as putative nociceptors. However, the expression of these properties only gives an indication
that the neurone may be nociceptive as not all nociceptive neurones display these properties.
In order to identify the cultured DRG neurones as possessing the characteristics of nociceptive neurones, several of the above properties were assessed including: cell body diameter; sensitivity to capsaicin and other chemical mediators such as bradykinin, ATP, 5-HT and protons, and an enhanced sensitivity of the neurones to bradykinin by PGE$_2$.
**Capsaicin sensitivity**
Capsaicin evoked a rise in $[\text{Ca}^{2+}]$, in a sub-population of DRG neurones, which was immediate in onset, rapidly reaching a peak and remained elevated for the duration of the exposure. This $[\text{Ca}^{2+}]$ response is likely to be due to $\text{Ca}^{2+}$ influx via the activation of a specific ligand-gated ion channel-receptor complex (Wood et al., 1988). The majority of the cultured DRG neurones in this study were capsaicin sensitive (60%) and almost all of these had small diameters (15-25µm). This data is consistent with previous reports that demonstrate capsaicin selectively activates small diameter sensory neurones by (Baccaglini & Hogan, 1983; Gold et al., 1996). These capsaicin sensitive neurones probably correspond to the cell bodies of nociceptive afferents as capsaicin has been shown to activate almost all nociceptive C-fibre polymodal and thermo- receptors and some nociceptive Aδ-fibre polymodal receptors (Heyman & Rang, 1985).
Where capsaicin had no effect on $[\text{Ca}^{2+}]$ and a depolarising K$^+$ stimulus evoked a rise in $[\text{Ca}^{2+}]$, the neurones were classified as capsaicin insensitive. Those cells that failed to respond to capsaicin or high K$^+$ were excluded from this study. The capsaicin insensitive neurones had diameters ranging from 10-65µm. The
majority of these cells had somas with small diameters (15-20μm). The neurones from which measurements were obtained probably belong to the Aδ- and C-fibre groups of sensory neurones.
Capsaicin sensitivity progressively declined over time in culture, which was manifest both as a decrease in the magnitude of the [Ca^{2+}] signal and as a decrease in the proportion of cells that responded. This decline in capsaicin sensitivity is unlikely to reflect the death of capsaicin sensitive neurones as there was not a similar decrease in the number of small diameter neurones. Moreover, the number of cells that responded to a depolarising K⁺ stimulus increased over time in culture. The outgrowth of neurites from the cell body is apparent after two to three days in culture (Lindsay et al, 1991) and there is some evidence that capsaicin receptors migrate down these processes (Bevan, Bolsover, Silver & Winter, unpublished observations) therefore the decline in capsaicin sensitivity may be due to the migration of capsaicin receptors away from the soma where measurements were made. The decrease in capsaicin sensitive neurones may, however, be due to the selective loss over time in culture of a sub-population of sensory neurones that are not regulated by NGF. It has been shown that the DRG contains a second group of nociceptive neurones that are also capsaicin sensitive but instead are regulated by glial cell line derived growth factor (GDNF; Ogun-Muyiwa et al, 1999).
As the magnitude of the [Ca^{2+}] response to high K⁺ stimulus decreased after day 6, all measurements were obtained from neuronal cultures that were two to three days old unless otherwise stated, when capsaicin sensitivity was high and the majority of cells responded strongly to depolarising stimuli.
Sensitivity to chemical mediators
The chemical mediators ATP, bradykinin, and 5-HT evoked a $[\text{Ca}^{2+}]_i$ response in a sub-population of DRG neurones. Both bradykinin and 5-HT selectively activated neurones that were sensitive to capsaicin which has been shown previously (Dray & Perkins, 1993; Richardson et al, 1985). The $[\text{Ca}^{2+}]_i$ response to 5-HT was inhibited by a combination of 5-HT$_1$, 5-HT$_2$ and 5-HT$_3$ receptor antagonists, however, the individual receptor sub-type that was involved in the $[\text{Ca}^{2+}]_i$ response to 5-HT was not investigated further in this study but previous work suggests that 5-HT$_2$ and 5-HT$_3$ receptor sub-types are involved (Richardson et al, 1985; Beck & Handwerker, 1974; Pierce et al, 1995a). ATP evoked a $[\text{Ca}^{2+}]_i$ response in both capsaicin sensitive and capsaicin insensitive neurones. ATP has been shown to activate sensory afferent neurones (Bleehen, 1978) and there is some evidence that it has a non-selective effect on nociceptive and non-nociceptive neurones (Bowie et al, 1994). It should be noted that $[\text{Ca}^{2+}]_i$ measurements in these neurones in response to ATP, 5-HT and bradykinin were obtained only to characterise the DRG neurones and to demonstrate the reliability of the preparation and experimental techniques. The responses were, therefore, not explored further as there is already extensive literature describing the effects of these chemical mediators on nociceptive neurones (Richardson et al, 1985; Dray & Perkins, 1993; Burnstock & Wood, 1996).
Altering the pH of the extracellular bath solution in both acidic and alkaline ranges also produced a $[\text{Ca}^{2+}]_i$ response in a sub-population of both capsaicin sensitive and capsaicin insensitive neurones. The $[\text{Ca}^{2+}]_i$ response obtained to low pH$_o$ was immediate in onset, rapidly reaching a peak and remained elevated for the
duration of the exposure, which is consistent with previous reports that the proton-induced depolarisation was maintained for several minutes when $pH_o$ was reduced (Bevan & Yeats, 1991). The proportion of capsaicin sensitive cells responding increased as $pH_o$ was decreased, reaching a maximal response at pH5.4 and the magnitude of the $[Ca^{2+}]_o$ response also increased as $pH_o$ was reduced, reaching a peak change at pH5.9.
It has been suggested that protons may be an endogenous ligand for the capsaicin receptor as almost all nociceptive sensory neurones that respond to low $pH_o$ also respond to capsaicin (Bevan & Yeats, 1991; Bevan et al, 1993; Bevan & Richards, 2000). However in one report, low $pH_o$ did not activate the cloned vanilloid VR$_1$ receptor (Caterina et al, 1997) but, more recently, the VR$_1$ receptor has been shown to display sensitivity to low $pH_o$ (Tominaga et al, 1998). Conflicting results have also been obtained with capsazepine the specific antagonist for the capsaicin receptor. It has been shown to have either no effect (Bevan et al, 1992) or an inhibitory effect (Fox et al, 1995; Lou & Lundberg, 1992) on the proton-induced current. $[Ca^{2+}]_o$ responses to low $pH_o$ were also obtained in capsaicin insensitive neurones. Rapid changes in $pH_o$ from 7.4-7.0 have been shown to activate capsaicin insensitive neurones (Bevan & Yeats, 1991), however, in this study, only dramatic reductions (7.4-6.4) were sufficient to produce an activation. This data may suggest the existence of different receptor sub-types, one which responds to capsaicin alone, one which responds to low $pH_o$ alone and one which responds to both stimuli. However, these dramatic $pH_o$ changes may reflect a non-selective activation of these cells and it should also be noted that the sample sizes for the capsaicin insensitive population are small, therefore care should be taken when drawing conclusions from these results.
Raising $pH_o$ in the alkaline direction also produced a $[Ca^{2+}]_i$ response in capsaicin sensitive and capsaicin insensitive neurones, however this response was different from that obtained to low $pH_o$ in that it had a slow onset and $[Ca^{2+}]_i$ gradually increased during the exposure. It is known that the administration of i.v. injections in alkaline solutions can produce a painful sensation (Klement & Arndt, 1991), therefore suggesting that alkaline solutions may produce pain by activating a sub-population of nociceptive neurones.
**PGE$_2$-induced sensitisation to bradykinin**
In this study, PGE$_2$ sensitised DRG neurones to bradykinin by increasing the number of cells that responded to bradykinin. The sensitising effects of PGE$_2$ on the bradykinin response have been previously reported in both sensory afferents and cultured sensory neurones (for example Ferreira, 1972; Nicol & Cui, 1994; Smith *et al.*, 2000).
### 4.2 A sub-population of cultured DRG neurones respond to histamine
Histamine evoked a rise in $[Ca^{2+}]_i$ in a sub-population of DRG neurones. The $[Ca^{2+}]_i$ response was dose-dependent in that the number of cells that responded increased on raising the histamine concentration. Increasing the histamine concentration, however, did not produce an increase in the magnitude of the $[Ca^{2+}]_i$ response therefore suggesting that the $[Ca^{2+}]_i$ response was an all-or-nothing event. A response to histamine was obtained in neurones after one day in culture and the proportion of cells responding was similar over time in culture (up to 7 days).
Desensitisation of the histamine response
The profile of the $[\text{Ca}^{2+}]$ response obtained to histamine varied both with histamine concentration and between individual neurones. In the majority of neurones that responded to high concentrations of histamine ($10^{-3}$-$10^{-2}$M), after the initial peak, $[\text{Ca}^{2+}]$ declined towards baseline. The profile of the mean $[\text{Ca}^{2+}]$ response obtained to low concentrations of histamine ($10^{-4}$M) consisted of an initial $[\text{Ca}^{2+}]$ peak which declined to a plateau and remained elevated until histamine was washed off. It is likely that the absence of a plateau phase and decline of the $[\text{Ca}^{2+}]$ response obtained to higher concentrations is due to histamine-induced desensitisation at the level of the histamine receptor. In smooth muscle cells, the $[\text{Ca}^{2+}]$ response obtained in response to histamine receptor stimulation has been shown to subside on subsequent exposure to histamine or exposure to other agents that mobilise $\text{Ca}^{2+}$ from the same intracellular pool (Hishinuma & Uchida, 1988). Further evidence for a histamine-induced receptor desensitisation was demonstrated when a second application of histamine failed to evoke a subsequent $[\text{Ca}^{2+}]$ response in the neurones. In all of the neurones tested, only one cell showed a $[\text{Ca}^{2+}]$ response to a second application of histamine, despite the wash period between the two exposures lasting up to 60 mins. In the cell that did respond to both histamine applications, the first $[\text{Ca}^{2+}]$ response was large and remained elevated whereas the magnitude of the second response was smaller than the first and declined to baseline. Reducing the exposure time of the histamine application by perfusing the agonist in short 'puffs' may reduce the problem of histamine receptor desensitisation.
The mechanism of the desensitisation was not explored, however, it is thought that in smooth muscle cells, the activation of PKC produces the
desensitisation at the level of the $H_1$ receptor as mobilisation of $[\text{Ca}^{2+}]$, by an initial exposure to histamine is prevented by phorbol esters which activate PKC (Mitsuhashi & Payan, 1988). However, others have shown that the histamine receptor desensitisation in a neuroblastoma cell line may be mediated by both PKC-dependent and PKC-independent mechanisms (Zamani et al, 1995).
**Histamine-responsive neurones may correspond to itch-sensing afferents**
The sub-population of histamine-sensitive neurones may correspond to those afferent neurones that are activated to produce the sensation of itch. Intradermal injection of histamine produces a pure sensation of itch (Magerl et al, 1990; Ward et al, 1996) and histamine has been shown to excite unmyelinated afferent fibres (Fjallbrant & Iggo, 1961; Tuckett & Wei, 1987). A sub-population responded to both histamine and capsaicin which is consistent with previous reports which demonstrated that afferent neurones are activated by itch- and pain-producing stimuli (Tuckett & Wei, 1987; Handwerker et al, 1991). Both capsaicin sensitive and capsaicin insensitive neurones responded to histamine and the majority of neurones that responded had small diameter somas (10-25 $\mu$m) which therefore suggests the existence of overlapping neuronal sub-populations that respond to both itch- and pain-producing stimuli. The proportion of neurones responding to capsaicin was greater than that responding to histamine which may suggest that noxious counterstimuli could mask the activation of itch-sensing neurones and prevent the sensation of itch as has been reported previously (Koppert et al, 1993; Ward et al, 1996).
4.3 The receptor-mediated $[\text{Ca}^{2+}]_i$ response to histamine
**Histamine activates the $H_1$ receptor sub-type**
Histamine has previously been shown to activate sensory afferents via the stimulation of $H_1$ receptors (Mizumara & Kumazawa, 1996) and evoke an $H_1$ receptor-mediated rise in $[\text{Ca}^{2+}]_i$ in cultured trigeminal ganglion neurones (Tani et al, 1990). The $[\text{Ca}^{2+}]_i$ response obtained to histamine in cultured DRG neurones in this study also appears to be mediated by the activation of the $H_1$ receptor subtype. The selective and specific $H_1$ antagonist, mepyramine, abolished the $[\text{Ca}^{2+}]_i$ response to $10^{-3}$-$10^{-4}$M histamine, and produced a significant reduction in the number of cells responding to $10^{-3}$M histamine. Selective antagonists of both $H_2$ and $H_3$ sub-types had no significant effect on the number of cells responding to any of the concentrations tested.
Although a maximal concentration of mepyramine was used, a small proportion of DRG neurones were still able to respond to the highest concentration of histamine. Mepyramine is a reversible and competitive antagonist, therefore very high histamine concentrations may just be able to displace it and so activate the receptor. However, to test the possibility that the mepyramine-insensitive component of the response may have been due to a non-selective action on other monoamine receptors, such as 5-HT$_2$ and 5-HT$_3$ receptors, which have been identified in sensory neurones (Richardson et al, 1985; Pierce et al, 1993a), antagonists of these sub-types were applied but they did not decrease the number of cells responding to histamine.
The role of the PLC / IP₃ pathway in the histamine-induced [Ca²⁺] response
Direct measurement showed that the formation of IP₃ was increased after stimulation with histamine. This rise was completely inhibited by prior treatment of the neurones with mepyramine and with the membrane permeable inhibitor of PLC, U73122. This data is therefore consistent with previous reports that H₁ receptor activation stimulates the PLC / IP₃ second messenger pathway (Daum et al, 1983; Daum et al, 1984; Grandordy et al, 1987). Histamine alone had no effect on cAMP formation therefore suggesting that in this preparation, the neurones did not express the H₂ receptor sub-type as these receptors have been shown to be coupled to the adenylyl cyclase / cAMP transduction cascade (Klein & Levey, 1971).
Although this data suggests that histamine produces the [Ca²⁺] response via the mobilisation of Ca²⁺ from IP₃-sensitive intracellular stores, there is some evidence in other cell types that the response may also result from Ca²⁺ influx across the plasma membrane. In guinea-pig smooth muscle the H₁ receptor-mediated contractile response was shown to be partly dependent on extracellular Ca²⁺ (Bolton et al, 1979; Morel et al, 1987) and Tani et al, (1990) found the H₁ receptor-activated [Ca²⁺] response in trigeminal ganglion neurones to be mediated entirely by a Ca²⁺ entry pathway.
The [Ca²⁺] response obtained to histamine in this study appears to involve both mobilisation from IP₃-sensitive intracellular stores and Ca²⁺ entry via the plasma membrane, however, it is clear that the responses obtained to low and high concentrations were mediated by different mechanisms.
The [Ca²⁺] signal obtained in response to lower concentrations of histamine (10⁻⁴M) was abolished by pre-treating the neurones with U73122. Removing [Ca²⁺]₀ and inhibiting Ca²⁺ entry with the broad spectrum Ca²⁺ channel blocker, lanthanum,
did not affect the number of cells responding to histamine but prevented the plateau phase of the $[\text{Ca}^{2+}]$ response. This suggests that the peak $[\text{Ca}^{2+}]$ response was generated by $\text{Ca}^{2+}$ release from intracellular IP$_3$-sensitive stores and the subsequent activation of a $\text{Ca}^{2+}$ entry pathway contributed to the plateau response. In mast cells, the depletion of $\text{Ca}^{2+}$ from intracellular IP$_3$-sensitive stores has been shown to stimulate the entry of $\text{Ca}^{2+}$ across the plasma membrane (Hoth & Penner, 1993). A similar pattern of $\text{Ca}^{2+}$ entry has been demonstrated after agonist stimulation of IP$_3$-linked receptors in cortical neurones and the plateau phase of the response is mediated by voltage-insensitive channels which may reflect the activity of store-operated channels (Prothero et al., 1998). It is therefore possible that the activation of the IP$_3$-linked H$_1$ receptor by histamine may activate a similar $\text{Ca}^{2+}$ entry pathway.
The $[\text{Ca}^{2+}]$ response to the highest concentration of histamine ($10^{-2}\text{M}$) also consisted of a store release and an entry pathway. The number of cells responding was significantly reduced by pre-treating the neurones with U73122, but unlike the response to low concentrations, lanthanum or removal of $[\text{Ca}^{2+}]_0$ also reduced the number of responding cells. I have proposed that low concentrations of histamine may activate a store depletion entry pathway, however, a similar mechanism is unlikely to account for the response to high concentrations. Firstly, the plateau phase of the $[\text{Ca}^{2+}]$ response to histamine alone is absent, presumably due to histamine-induced receptor desensitisation and secondly, U73122 did not completely prevent the $[\text{Ca}^{2+}]$ response. The profile of the $[\text{Ca}^{2+}]$ response was unaffected by U73122 pre-treatment therefore suggesting that histamine is able to generate a $[\text{Ca}^{2+}]$ signal by activating a $\text{Ca}^{2+}$ entry pathway that is independent of $\text{Ca}^{2+}$ mobilisation from intracellular IP$_3$-sensitive stores. The effect of lanthanum and
of removing $[\text{Ca}^{2+}]_o$ on the profile of the $[\text{Ca}^{2+}]_i$ response are not clear. However, it should be noted that the mean $[\text{Ca}^{2+}]_i$ response in the presence of lanthanum and in the absence of $[\text{Ca}^{2+}]_o$ was obtained from a significantly smaller proportion of responding cells compared to that responding to histamine alone which may reflect the differences in the time course obtained.
Ryanodine-sensitive intracellular $\text{Ca}^{2+}$ stores have also been detected in isolated DRG neurones (Kostyuk & Verkhratsky, 1994) and there is some evidence that these stores can interact with IP$_3$-sensitive stores to generate $[\text{Ca}^{2+}]_i$ signals in cerebellar granular neurones (Irving et al., 1992). The $[\text{Ca}^{2+}]_i$ response obtained to histamine, however, does not appear to involve $\text{Ca}^{2+}$ release from ryanodine sensitive stores as extracellular concentrations of ryanodine that would normally prevent $\text{Ca}^{2+}$ release from ryanodine-sensitive stores (Shmigol et al., 1995) had no significant effect on either the number of cells that responded to histamine or on the time course of the $[\text{Ca}^{2+}]_i$ response.
4.4 The sensitivity of DRG neurones to histamine is enhanced by the inflammatory prostanoids
During tissue damage, arachidonic acid is liberated from membrane phospholipids and its subsequent metabolism by cyclo-oxygenase results in the formation of the prostanoids, which have been implicated in the generation of nociceptor sensitisation. There are numerous reports of the sensitising effects of PGE$_2$ to thermal (Handwerker, 1976; Mizumura et al., 1991), mechanical (Pateromichelakis & Rood, 1982; Schiable & Schmidt, 1988) and chemical stimuli, such as bradykinin (Ferreira, 1972; Nicol & Cui, 1994; Smith et al., 2000). There is
some evidence that PGE\textsubscript{2} enhances the cutaneous effects of histamine, such as the wheal and flare response (Ferreira, 1972), however, little is known about its effects on the intracellular actions of histamine in sensory neurones.
The data presented here demonstrates that PGE\textsubscript{2} is capable of sensitising a sub-population of cultured DRG neurones to low concentrations of histamine ($10^{-5}$ - $10^{-4}$M) resulting in an increase in the number of cells that responded with a rise in $[\text{Ca}^{2+}]$. As PGE\textsubscript{2} had no effect on the $[\text{Ca}^{2+}]$ response obtained to histamine but increased the proportion of cells responding, it appears that PGE\textsubscript{2} produces the sensitisation by recruiting a sub-population of sensory neurones that were previously unresponsive to histamine. The mechanism by which PGE\textsubscript{2} lowers the threshold for a response in this sub-population of neurones is discussed in section 4.5 (page 190). A similar study on the PGE\textsubscript{2}-induced sensitisation of the bradykinin response also reported an increase in the proportion of DRG neurones that responded and it was suggested that the increase in the number of activated neurones could contribute to hyperalgesia by spatial summation (Stucky et al, 1996).
The concentrations of PGE\textsubscript{2} that produced the sensitisation were within the range present in inflammatory exudates (Willis, 1969) and are consistent with previous studies reporting the sensitisation of the bradykinin response in cultured DRG neurones (Nicol & Cui, 1994; Smith et al, 2000).
The number of cells responding to higher concentrations of histamine was not increased by PGE\textsubscript{2}, therefore suggesting that the proportion of neurones responding before pre-treatment was maximal and that no further receptor activation was possible. Therefore, from now on, the sensitised histamine response will refer to that obtained to low concentrations of histamine.
PGE\textsubscript{2} enhanced the sensitivity of itch-sensing afferents
PGE\textsubscript{2} alone had no effect on \([\text{Ca}^{2+}]\) in DRG neurones which is consistent with previous reports that at concentrations which produce the sensitisation, PGE\textsubscript{2} does not directly activate sensory fibres (Chahl & Iggo, 1977; Mizumura et al, 1991; Rueff & Dray, 1993). However, Smith et al, (2000), have reported a direct effect of PGE\textsubscript{2} on \([\text{Ca}^{2+}]\) in sensory neurones but these experiments were performed on cultured DRG neurones isolated from neonates.
PGE\textsubscript{2} also had no effect on the profile of the \([\text{Ca}^{2+}]\) response obtained to histamine. This is unlike the PGE\textsubscript{2}-induced sensitisation of the bradykinin response where PGE\textsubscript{2} enhanced the \([\text{Ca}^{2+}]\) response obtained to bradykinin (Nicol & Cui, 1994; Smith et al, 2000). As these mediators evoke distinct sensations, that is, bradykinin elicits pain and histamine generally only elicits the sensation of itch, the effects of PGE\textsubscript{2} on the \([\text{Ca}^{2+}]\) response suggests that different intracellular mechanisms may be activated during the processing of these sensations.
PGE\textsubscript{2} increased the number of both capsaicin sensitive and capsaicin insensitive neurones that responded to histamine and almost all of the neurones that were sensitised had cell bodies with small diameters (<25\(\mu\)m). This sensitised sub-population had diameters similar to those neurones that responded to histamine alone and therefore may also correspond to the subset of sensory neurones that are sensitive to itch stimuli. It therefore appears that PGE\textsubscript{2} sensitises the response to histamine by increasing the number of activated itch-sensing afferents, indeed the prostanoids have been shown to enhance the sensation of itch obtained to histamine (Ferreira, 1972; Lovell et al, 1976).
In this study, other prostanoids which are elevated during inflammation, such as PGI\textsubscript{2} and PGD\textsubscript{2}, produced a sensitisation of the histamine response that was
similar to that observed to PGE\textsubscript{2}. In contrast, PGF\textsubscript{2\alpha} did not enhance the sensitivity of the neurones to histamine. This data is consistent with previous studies reporting the sensitising effects of PGI\textsubscript{2} both \textit{in vivo} and \textit{in vitro} to other chemical mediators such as capsaicin and bradykinin (Mizumura et al, 1987; Pitchford & Levine, 1991) and of PGD\textsubscript{2} to electrical stimuli (Andreeva & Rang, 1993). Also \textit{in vivo} studies have demonstrated the lack of a sensitising effect of PGF\textsubscript{2\alpha} to mechanical stimuli (Williams & Morely, 1973; Taiwo & Levine, 1990).
4.5 The mechanism of the prostanoid-induced sensitisation
\textit{The sensitisation is mediated by the activation of intracellular cAMP}
The prostanoids are thought to sensitise nociceptors directly (Taiwo & Levine, 1989; Pitchford & Levine, 1991) by acting through specific receptors that are coupled to the intracellular adenylyl cyclase / cAMP transduction pathway (Ferreira & Nakamura, 1979; Taiwo et al, 1989; Cui & Nicol, 1995).
In this study, both PGE\textsubscript{2} and PGD\textsubscript{2} increased the formation of intracellular cAMP in cultured DRG neurones whereas PGI\textsubscript{2} and PGF\textsubscript{2\alpha} had no significant effect. This data suggests that the DP receptor and EP\textsubscript{2} receptor sub-type are expressed in sensory neurones as both have been shown to be positively coupled to the adenylyl cyclase / cAMP transduction pathway (Honda et al, 1993; Simon, 1980). It is surprising that PGI\textsubscript{2} had no effect on intracellular cAMP as it also enhanced the sensitivity of neurones to histamine and the IP receptor is coupled to the adenylyl cyclase transduction cascade (Gorman et al, 1977; Hashimoto et al, 1990). There is no evidence to date to suggest the existence of IP receptor sub-types, therefore it
is unlikely that PGI\textsubscript{2} is acting at a different receptor sub-type to produce its sensitising effects. PGI\textsubscript{2} is, however, unstable at physiological pH and temperature and is rapidly hydrolysed to 6-keto-PGF\textsubscript{1α}, therefore the lack of effect on cAMP production may reflect degradation of PGI\textsubscript{2} under the experimental conditions of the cAMP assay. The lack of effect of PGF\textsubscript{2α} on intracellular cAMP is not surprising, however as FP receptors are not thought to be coupled to the adenylyl cyclase pathway, instead they are coupled to the PLC / IP\textsubscript{3} intracellular pathway to bring about an increase in [Ca\textsuperscript{2+}]. PGF\textsubscript{2α} had no effect on [Ca\textsuperscript{2+}] in any of the DRG neurones thereby suggesting that, in this preparation, the neurones do not express FP receptors.
Agents which elevate intracellular cAMP, such as 8-bromo-cAMP and forskolin also produced a sensitisation of the histamine response. This sensitisation shared similar features to that obtained to PGE\textsubscript{2} in that the number of cells responding to histamine was increased with no significant effect on the profile of the [Ca\textsuperscript{2+}] response. The PGE\textsubscript{2}-induced sensitisation was prevented by inhibiting the formation of cAMP in the neurones with the membrane permeable inhibitor of adenylyl cyclase activity, THFA. This data suggests that the sensitising effects of the prostanoids are mediated via a cAMP-dependent mechanism and are consistent with previous studies that demonstrate that agents which either increase or decrease intracellular cAMP mediate or inhibit the sensitisation to bradykinin, respectively (Pitchford & Levine, 1991; Cui & Nicol, 1995; Wang et al, 1996).
The H\textsubscript{1} antagonist, mepyramine, produced an inhibition of the prostanoid-induced sensitisation therefore suggesting that the sensitised [Ca\textsuperscript{2+}] response was mediated by the activation of H\textsubscript{1} receptors. Surprisingly, the H\textsubscript{2} antagonist, cimetidine, also appeared to prevent the prostanoid-induced sensitisation of the
histamine response. The mechanism by which it produced this effect is not clear, however, there are several possible explanations: 1) Histamine may be able to enhance the response to itself via an $H_2$ receptor-mediated rise in intracellular cAMP, however, histamine alone had no effect on cAMP; 2) Cimetidine may be interfering at the level of the prostanoid receptor and its ability to activate adenyl cyclase but cimetidine had no effect on the prostanoid-evoked increase in cAMP; 3) There is some evidence that the activation of $H_2$ receptors can evoke a rise in $[Ca^{2+}]$, (Chew, 1986; Delvalle et al, 1992), therefore, cimetidine may inhibit an $H_2$ receptor-mediated rise in $[Ca^{2+}]$. This is also unlikely as cimetidine had no effect on the $[Ca^{2+}]$ response obtained to histamine alone. It is more likely that the high concentration of cimetidine used had a non-selective action on other, as yet undefined systems which, in turn, had an inhibitory effect on the prostanoid-induced sensitisation.
**The role of cAMP-dependent protein kinase in the sensitisation**
The prostanoid-induced increase in intracellular cAMP formation may have various cellular effects, such as the activation of cAMP-dependent protein kinases. These enzymes induce the phosphorylation of membrane proteins and it is thought that enhanced protein phosphorylation may underlie the prostanoid-induced sensitisation of bradykinin-evoked peptide release (Hingtgen & Vasko, 1994). The effect of two different membrane permeable inhibitors of cAMP-dependent protein kinase were used in this study and both failed to prevent the prostanoid- and the forskolin-induced sensitisation. This suggests that the sensitisation may be produced by a direct effect of cAMP on the $H_1$ receptor rather than via activation of a cAMP-dependent protein kinase. This data is inconsistent with previous studies which
found the prostanoid-induced sensitisation to both bradykinin and mechanical stimuli was mediated via the activation of a cAMP-dependent protein kinase (Cui & Nicol, 1995; Wang et al, 1996). Nevertheless, it is possible that, in this study, the protein kinase inhibitors did not gain access to the intracellular environment. In previous studies, both inhibitors applied extracellularly, have been shown to inhibit the intracellular effects of cAMP-dependent kinase (Cui & Nicol, 1995; Smith et al, 2000). For this reason, it seems unlikely that a cAMP-dependent protein kinase mediates the prostanoid-induced sensitisation of the histamine response. To resolve this issue, it will be necessary to either apply the inhibitors directly into the cell or to examine the effect of these inhibitors on the levels of intracellular protein phosphorylation, particularly that of the H\textsubscript{1} receptor itself.
**The sensitised [Ca\textsuperscript{2+}]i response**
PGE\textsubscript{2} was able to increase the proportion of neurones that responded to histamine with a rise in [Ca\textsuperscript{2+}]i, however, it did not affect the profile of the [Ca\textsuperscript{2+}]i response obtained to histamine. Therefore, it appears that the sensitising effects were due to a reduction in the threshold for a response rather than an enhancement of the [Ca\textsuperscript{2+}]i response. This is unlike the PGE\textsubscript{2}-induced sensitisation to bradykinin obtained in cultured DRG neurones where both the number of cells responding was increased and the bradykinin-evoked [Ca\textsuperscript{2+}]i response was enhanced (Stucky et al, 1996; Smith et al, 2000). As mentioned earlier, these mediators evoke distinct sensations and the differing effects of PGE\textsubscript{2} on the [Ca\textsuperscript{2+}]i response may indicate that the intracellular mechanisms activated by itch and pain stimuli are affected in different ways.
The sensitised $[\text{Ca}^{2+}]_i$ response did not appear to involve a ryanodine-sensitive component as a concentration of ryanodine sufficient to block $\text{Ca}^{2+}$ release from ryanodine-sensitive stores had no effect on either the proportion of cells that responded or on the profile of the $[\text{Ca}^{2+}]_i$ response obtained to histamine.
To test the proposition that the prostanoid-induced reduction in the threshold for a histamine-evoked $[\text{Ca}^{2+}]_i$ response may have been mediated at the level of the $H_1$ receptor to increase IP$_3$ turnover, the effect of PGE$_2$ on IP$_3$ formation was examined. The data presented here demonstrates that PGE$_2$ had no effect on the histamine-induced increase in IP$_3$ formation, therefore suggesting that the sensitising effect did not occur at the level of the $H_1$ receptor or its ability to activate the PLC / IP$_3$ transduction pathway. Thus, PGE$_2$ must be acting at a site downstream in the histamine signal transduction cascade. In hepatocytes, hormones which elevate cAMP have been shown to enhance the response to $\text{Ca}^{2+}$ mobilising hormones by modulating either the IP$_3$ receptor or the IP$_3$-gated channel via the activation of a cAMP-dependent protein kinase (Burgess et al, 1991). Therefore, a similar mechanism may be responsible for the PGE$_2$-induced sensitisation of the histamine response (see Figure 4.5.1 pathway no.3). However, this is unlikely as the sensitised $[\text{Ca}^{2+}]_i$ response was reduced after preventing $\text{Ca}^{2+}$ influx across the plasma membrane and was unaffected by inhibitors of cAMP-dependent protein kinase.
Like the $[\text{Ca}^{2+}]_i$ response to histamine alone, the sensitised response also appears to involve both IP$_3$ mediated store release and a $\text{Ca}^{2+}$ entry pathway. However, it is clear that the activated $\text{Ca}^{2+}$ entry pathway is different between sensitised and non-sensitised neurones. Data presented here demonstrates that the number of sensitised neurones responding to histamine is reduced with U73122,
lanthanum or by removing $[\text{Ca}^{2+}]_o$ whereas the number responding to histamine alone was reduced only by U73122. Also, pre-treating with lanthanum and removing $[\text{Ca}^{2+}]_o$ had no effect on the plateau phase of the sensitised $[\text{Ca}^{2+}]_i$ response but prevented the $[\text{Ca}^{2+}]_i$ plateau to histamine alone. It is therefore unlikely that the influx component of the sensitised $[\text{Ca}^{2+}]_i$ signal was due to entry via a store depletion activated channel.
At this stage, it is not known which neuronal channel is affected or how it is modulated to bring about the sensitised $[\text{Ca}^{2+}]_i$ response to histamine but there are several possible mechanisms that may account for the response. However, it should be noted that this is entirely speculative and there is little evidence to support any of the theories. 1) PGE$_2$ itself has been shown to modulate Ca$^{2+}$ channels in DRG neurones (Nicol et al, 1992; Dolphin, 1996), however, in this study, the prostanoids had no effect on $[\text{Ca}^{2+}]_i$. This, together with the fact that the sensitised $[\text{Ca}^{2+}]_i$ response was completely abolished by mepyramine suggests that H$_1$ receptor activation is essential for the sensitised $[\text{Ca}^{2+}]_i$ signal to occur. 2) Ca$^{2+}$ influx may have occurred via an entirely independent Ca$^{2+}$ channel that is modulated by both H$_1$ receptor activation and cAMP (see Figure 4.5.1 pathway no.1). 3) It is also possible that the H$_1$ receptor, as well as being coupled to the PLC / IP$_3$ transduction pathway, is associated with an ion channel, which is activated by both cAMP and on histamine binding (see Figure 4.5.1 pathway no.2). 4) Another possible explanation is that sub-types of the H$_1$ receptor exist, one that is coupled to PLC / IP$_3$ pathway and one that is coupled to an ion channel. The sub-type coupled to IP$_3$ may be activated by low histamine concentrations to produce a $[\text{Ca}^{2+}]_i$ response whereas the sub-type coupled to an ion channel may have a high threshold for activation, and this concentration of histamine may be insufficient to cause activation. PGE$_2$,
however, may reduce the threshold of the sub-type coupled to an ion channel to allow a further $[\text{Ca}^{2+}]_i$ signal.
**Figure 4.5.1 Schematic diagram of the possible mechanisms of the prostanoid-induced sensitisation to histamine in DRG neurones.**
(AC=adenylyl cyclase; G=G-protein; PLC=phospholipase C; IP$_3$=inositol-1,4,5-trisphosphate). The prostanoid-induced sensitised $[\text{Ca}^{2+}]_i$ response to histamine may involve enhanced $\text{Ca}^{2+}$ influx via an independent channel (1), or a $\text{Ca}^{2+}$ channel associated with the histamine H$_1$ receptor (2), or by enhancing $\text{Ca}^{2+}$ release from IP$_3$-sensitive channels present on intracellular stores (3).
4.6 Summary
Histamine evoked a concentration-dependent rise in $[\text{Ca}^{2+}]_i$ in a sub-population of cultured DRG neurones. The cells that responded were neurones with small diameters and are therefore probably the cell bodies of sensory neurones giving rise to small unmyelinated C-fibres or small myelinated Aδ-fibres. It is likely, therefore, that the histamine-sensitive sub-population of DRG neurones correspond to the itch-responsive afferent neurones. The $[\text{Ca}^{2+}]_i$ response was mediated by the activation of the H₁-receptor sub-type. For low concentrations, this $[\text{Ca}^{2+}]_i$ response appeared to be mediated by the mobilisation of Ca$^{2+}$ from IP₃ sensitive intracellular stores, whereas the $[\text{Ca}^{2+}]_i$ response to higher concentrations may involve both IP₃-mediated store release and a Ca$^{2+}$ entry pathway.
The inflammatory prostanoids enhanced the sensitivity of DRG neurones to low concentrations of histamine by increasing the proportion of small diameter cells that responded with a rise in $[\text{Ca}^{2+}]_i$. This sensitised sub-population may also correspond to those sensory neurones that are sensitive to itch stimuli and therefore suggests that as well as sensitising sensory neurones to enhance the sensation of pain, the prostanoids can also enhance the itch sensation.
The prostanoid-induced sensitisation is mediated by an increase in intracellular cAMP which may have a direct effect on a Ca$^{2+}$ channel to stimulate an entry pathway. The nature of this Ca$^{2+}$ channel is not known although it may be a high threshold channel associated with the H₁ receptor.
4.7 Future research proposals
The data in this thesis provides an account of the intracellular signalling mechanisms that are activated by histamine and how the prostanoids interact with these to produce the sensitisation. The next step would be to identify the nature of the Ca$^{2+}$ channel that is activated to produce the sensitised [Ca$^{2+}$]$_i$ response, to determine whether the H$_1$ receptor is associated with a high-threshold ion channel or whether sub-types of the H$_1$ receptor exist, one that is coupled to PLC / IP$_3$ pathway and one that is coupled to a high-threshold ion channel. It would also be interesting to identify the channel that is activated by high histamine concentrations as it may be similar to the channel that contributes to the sensitised [Ca$^{2+}$]$_i$ response.
At this stage, it cannot be definitely ascertained that the prostanoid-induced sensitisation was not mediated by the activation of a cAMP-dependent protein kinase. The effects of the inhibitors of cAMP-dependent protein kinase used in this study, on intracellular protein phosphorylation would indicate whether they were able to permeate the plasma membrane. If they did not gain intracellular access, then the involvement of the kinase in the sensitisation could be clarified by injecting a specific inhibitor directly into the cell and subsequently monitoring the prostanoid-induced sensitisation.
Also the role of substance P in the sensitisation mechanism should be determined. If substance P produced the sensitisation by activating the adenyllyl cyclase intracellular transduction pathway, this would be indicated by measuring intracellular cAMP levels after stimulation by substance P. If the prostanoid-induced sensitisation was mediated indirectly by enhancing neuropeptide release, substance P antagonists would be expected to prevent the sensitisation.
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6. APPENDIX
6.1 DRUGS AND SOLUTIONS
6.1.1 Drugs
Unless otherwise stated all laboratory drugs and chemicals were obtained from Sigma-Aldrich Company Ltd. (The Old Brickyard, New Road, Gillingham, Dorset SP8 4XT).
Alomone Laboratories (Shatner Centre 3, PO Box 4287, Jerusalem 91042, Israel)
Mouse nerve growth factor (mNGF 2.5s) Grade I.
Amersham International (Amersham Place, Little Chalfont, Bucks, HP7 9NA)
myo-2-[³H]-inositol
BDH (Merck Ltd., Hunter Boulevard, Magna Park, Lutterworth, Leicester, LE17 4XN)
ammonium formate; formic acid; hydrochloric acid (HCl); perchloric acid (PCA);
phytic acid; sodium hydroxide (NaOH); sodium tetraborate.
Beckman Coulter (U.K.) Ltd. (Oakley Court, Kingsmead Business Park, High Wycombe, Bucks, HP11 1JU)
Ready Gel (high salt capacity scintillation fluid)
Bio-Rad Laboratories Ltd (Bio-Rad House, Maylands Avenue, Hemel Hempstead, Herts, HP2 7TD)
Agents used in the detergent compatible protein assay - Reagent A (alkaline copper tartrate solution), Reagent B (dilute Folin reagent), Reagent S (SDS- sodium dodecyl sulfate) and the protein standard (bovine gamma globulin).
Calbiochem Novabiochem (Freepost, Beeston, Nottingham, NG9 1BR)
forskolin (7β-Acetoxy-8,13-epoxy-1α,6β,9α-trihydroxy-labd-14-en-11-one; Coleus forskohlii); H89 dihydrochloride (N-[2-((p-Bromocinnamyl)amino)ethyl]-5-isouquinolinesulfonamide, HCl); U73122 (1-[(6-((17β-3-Methoxyestra-1,3,5(10)-triene17-yl)amino)hexyl]-1H-pyrrole-2,5-dione); PKI (protein kinase A inhibitor 14-22 amide, cell-permeable, myristoylated).
**Cayman Chemicals** (*1180 East Ellsworth Road, Ann Arbor, MI 48108, USA*)
All agents used in the ACE enzyme immunoassay including: acetic anhydride, cAMP acetylcholinesterase (a covalent conjugate of cAMP and electric eel acetylcholinesterase), cAMP antiserum (anti-cAMP rabbit IgG), cAMP standard, Ellman's reagent, phosphate buffer, potassium hydroxide (KOH, 4M) and wash buffer.
**Gibco-BRL** (*Life Technologies Ltd., PO Box 35, 3 Fountain Drive, Inchinnan Park, Paisley, PA4 9RF*)
Dulbecco's Modified Eagle Medium (DMEM); Minimum Essential Medium (MEM, with Earle's salts and sodium bicarbonate and without L-methionine or L-glutamine; Ultroser G.
**Imperial Laboratories** (*West Portway, Andover, Hants, SP10 3LF*)
Ham's F14 culture medium (with L-Glutamine, without bicarbonate).
**Lorne Laboratories** (*Worthington, 7 Tavistock Estate, Ruscombe Business Park, Ruscombe Lane, Twyford, Reading, Berks, RG10 9NJ*)
Collagenase, type IV
**Molecular Probes** (*Poortgebouw, Rinjsburgerweg 10, 2333 AA Leiden, Netherlands*)
Fura-2 acetoxymethyl ester
**Schering AG** (*D-13342, Berlin, Germany*)
rolipram
**Tocris Cookson** (*Northpoint, Fourthway, Avonmouth, Bristol, BS11 8IA*)
mepyramine maleate, methiothepin maleate, thioperamide maleate, Y25310 hydrchloride
6.1.2 Solutions
Culture media
To each 500ml bottle of Ham's F14 was added: 588mg NaHCO₃, 1mM L-Glutamine, 5mls penicillin-streptomycin (5000 IU/ml penicillin and 5000µg/ml streptomycin) and 20mls USG (to give 4%).
Buffer solutions
HEPES buffered Na-Locke; 140mM NaCl, 5mM KCl, 1mM MgCl₂, 2mM CaCl₂, 15mM HEPES and 5.5mM glucose. The pH of the buffer was adjusted to physiological pH7.35 with 1M NaOH. When varying extracellular pH, the following were used as buffers:
| operating pH range | Buffer |
|--------------------|----------|
| 4.9 - 5.9 | MES |
| 6.0 - 8.0 | HEPES |
| 8.3 - 9.9 | AMPSO |
HCO₃ buffered Na-Locke; 140mM NaCl, 5M KCl, 1mM MgCl₂, 2mM CaCl₂, 15mM HCO₃ and 5.5M glucose. The pH of the buffer was adjusted to physiological pH7.35 with 1M NaOH.
High K⁺ HEPES buffered Na-Locke; 50mM NaCl, 95mM KCl, 1mM MgCl₂, 2mM CaCl₂, 15mM HEPES and 5.5mM glucose. The pH of the buffer was adjusted to physiological pH7.35 with 1M NaOH.
6.2 PREPARATION OF STANDARD SOLUTIONS
6.2.1 cAMP standards
In order to calculate the concentration of cAMP in the unknown samples, a series of standard solutions of known cAMP concentrations (S1-S8) was prepared as follows: S1=3.000 pmol/ml; S2=1.500 pmol/ml; S3=0.750 pmol/ml; S4=0.375 pmol/ml; S5=0.188 pmol/ml; S6=0.094 pmol/ml; S7=0.047 pmol/ml; S8=0.023 pmol/ml. Each standard solution was assayed in duplicate and the absorbance was read at 420nm. The absorbance readings for each standard was averaged and a standard curve plotted (see Figure 2.4.3 page 71).
6.2.2 Protein standards
A series of samples of known protein concentrations (S1-S8) were assayed in triplicate and their absorbances read at 690nm. The mean absorbance for each standard was calculated and plotted as a curve (see Figure 2.4.5 page 73). The total protein concentration of unknown samples from the same assay plate could then be determined by reading the concentration from the corresponding absorbance value. The standard samples had the following concentrations of gamma globulin:
S1=0.000mg/ml, S2=0.010 mg/ml, S3=0.250 mg/ml, S4=0.050 mg/ml, S5=0.075 mg/ml, S6=0.100 mg/ml, S7=0.125 mg/ml, S8=0.250 mg/ml.
|
May 14, 2010
Public Utility Commission
Attn: Filing Center
550 Capitol Street NE, #215
Salem, OR 97308
Re: LC 48 Comments on Portland General Electric's IRP 05-14-10
Dear Commissioners:
The Portland Business Alliance, representing more than 1,300 small, medium and large employers and electric consumers in the Portland metropolitan region, would like to offer the following comments on Portland General Electric’s alternative plan for the Boardman Plant in its 2009 Integrated Resource Plan:
As Oregon businesses, business associations and customers, we are committed to the continued economic development of the region. We believe PGE’s proposal to install some emissions controls in the near-term and close Boardman in 2020 is the right plan for Oregon. A 2020 shutdown would save PGE customers money, benefit the environment, and allow the company enough time to put into place a reliable replacement power source.
The financial burden of higher electricity prices for Oregon businesses associated with a 2014 shutdown of one of PGE’s most reliable, low-cost resources is heavy. PGE’s proposed 2020 closure of Boardman would save customers about $600 million over the next decade, compared to a 2014 shutdown, helping PGE keep electricity costs reasonable.
PGE’s proposal is a balanced plan that would close the plant early while meeting customers’ needs for reliable power at reasonable costs. The company would reduce emissions during the plant’s remaining years by installing new controls and making other operational changes, while ending all coal-related emissions from Boardman at least 20 years ahead of schedule.
We want to see strong environmental standards; but we also want to see those standards implemented in ways that will be cost effective for utility customers.
We respectfully request the Oregon Public Utility Commission support PGE’s alternative plan for its Boardman Plant set forth in PGE’s Integrated Resource Plan.
We also respectfully ask you to consider the views of the businesses associations who have signed the attached letters to the commission as you review PGE’s IRP. The health of Oregon’s economy and its need for electricity are closely linked, and the rate increases resulting from a premature closure of the Boardman Plant would have significant adverse impacts on economic development in the Portland region as well as the vitality of existing businesses.
Thank you for the opportunity to comment.
Sincerely,
/s/
Bernie Bottomly
Vice President
Portland Business Alliance
May 14, 2010
OPUC Chairman Ray Baum
OPUC Commissioner Susan Ackerman
OPUC Commissioner John Savage
Dear Commissioners:
As an Oregon business association representing small and large utility customers, OBA is committed to keeping our region economically competitive—and that definition includes retaining our national reputation as an environmental leader. Our members operate in a global economy in which managing costs is a critical component of competitiveness. PGE’s Boardman 2020 Plan provides a predictable pathway toward a new energy future for Oregon that doesn’t damage our economy along the way.
We believe PGE’s proposal to install some emissions controls in the near-term and close Boardman in 2020 is a measured plan that respects the progressive Oregon tradition. A 2020 shutdown would save PGE customers money, benefit the environment, and allow the company enough time to put into place a reliable replacement power source.
PGE’s 2020 proposal would dramatically reduce Mercury (90%) and NOx (50%) emissions during the plant’s remaining years with new controls and the use of low-sulfur coal, reducing regional haze, and improving air quality. Meanwhile, all coal-related emissions from Boardman would cease at least 20 years ahead of schedule, a significant contribution to Oregon’s greenhouse gas reduction goals.
There is no reason why Oregon’s strong environmental standards cannot coexist with our economic goals, and the Boardman 2020 Plan provide a model for achieving that dual objective that will also be cost effective for utility customers.
The Oregon Business Association respectfully requests that the Oregon Public Utility Commission acknowledge PGE’s alternative plan for its Boardman Plant set forth in PGE’s Integrated Resource Plan. We urge you to support PGE's proposed actions for the Boardman Plant as described in the 2009 IRP Addendum.
Sincerely,
Ryan Deckert
President
May 14, 2010
OPUC Chairman Ray Baum
OPUC Commissioner Susan Ackerman
OPUC Commissioner John Savage
Dear Commissioners:
East Metro Economic Alliance is committed to keeping our region economically competitive. We believe PGE’s proposal to install some emissions controls in the near-term and close Boardman in 2020 is a measured plan that is sensitive to energy costs for Oregon industry, while making progress to improve the environmental footprint of our energy sources. A 2020 shutdown would save PGE customers money, benefit the environment, and allow the company enough time to put into place a reliable replacement power source.
Our members operate in a global economy in which managing costs is a critical component of competitiveness. We are concerned that a 2014 shutdown of the Boardman coal plant would cause a sustained spike in electricity prices for Oregon businesses that would be difficult to absorb. After the hydro system, the Boardman plant is one of PGE’s most reliable and low-cost resources, and their 2020 Plan provides a predictable pathway toward a new energy future for Oregon that doesn’t damage our economy along the way. The proposed 2020 closure of Boardman would save PGE customers about $600 million over the next decade, compared to a 2014 shutdown, helping PGE keep electricity costs reasonable.
PGE’s 2020 proposal would still dramatically reduce Mercury (90%) and NOx (50%) emissions during the plant’s remaining years with new controls and the use of low-sulfur coal, reducing regional haze, and improving air quality. Meanwhile, all coal-related emissions from Boardman would cease at least 20 years ahead of schedule, a significant contribution to Oregon’s greenhouse gas reduction goals.
There is no reason why Oregon’s strong environmental standards cannot coexist with our economic goals, and the Boardman 2020 Plan provides a model for achieving that dual objective that will also be cost effective for utility customers.
We respectfully request that the Oregon Public Utility Commission acknowledges PGE’s alternative plan for its Boardman Plant set forth in PGE’s Integrated Resource Plan. We urge you to support PGE’s proposed actions for the Boardman Plant as described in the 2009 IRP Addendum.
Sincerely,
Travis Stovall
Executive Director
CERTIFICATE OF SERVICE
I hereby certify that I have this day caused the attached comments of Portland Business Alliance regarding OPUC Docket No. LC 48 – Portland General Electric’s Integrated Resource Plan to be served by electronic mail to those parties whose email addresses appear on the attached service list, and by First Class US Mail, postage prepaid and properly addressed, to those parties on the attached service list who have not waived paper service from OPUC Docket No. LC 48.
Dated at Portland, Oregon, this 14th day of May, 2010.
Bernie Bottomly
Portland Business Alliance
200 SW Market, Suite L150
Portland, OR 97201
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|
Working performances of carrot root extraction machines
Abstract
This paper presents results of field measurements of working performance and fuel consumption evaluation in various operating conditions. Three versions of carrot extraction machines (Dewulf, Europa 2000 and Asa lift) at three locations and two varieties of carrots (Maestro F1 and Mello Yello F1) was. In optimum soil conditions, fuel consumption ranged from 8.4 to 12.5 t/ha, while in heavy operation conditions for extraction machines fuel consumption increased significantly for 65%. The performance of carrot extraction in optimal soil conditions was on average between 3-4 t/ha. In unfavorable soil conditions (soil sodden, mud or too dry soil) working effects up to 70% and this has direct negative consequences on the overall carrots production costs.
Keywords: carrot, extraction machine, tractor, working performances, fuel consumption
Introduction
Vegetable production in the Republic of Croatia amounts to 70 000 ha, which is only 4.8% of the total processing area. In Croatia, 70% of vegetables are produced on family farms, of which only 3% is the production of vegetables in protected areas (greenhouses and PVC tunnel) (www.mps.hr).
The annual production of vegetables is around 370 000 tons, which is not sufficient for Croatian needs. One of the most important vegetable cultures in Croatia is the carrot which should be given greater significance and modernized her cultivation in the future.
Carrots are an outlandish plant prone to cross with wild relatives. Pollinated by wind and insects. Carrot fruit is a schizocarp consisting of two crescent shape mericarps. Carrot seed has an elongated oval shape with visible ribs with small spines. Carrot seeds can keep germination in optimum storage conditions for up to 3 years (Matotan, 2004).
Rooted vegetables give its best yield in winter, under the frost, in the dark and humidity conditions. It is unbelievable that soil is giving the people who do not have a large choice of food at that time, such rich in vitamins and minerals. It is mainly low in calories, rich in fiber as well as in vitamin C.
Carrots achieve an optimal root size at about 450 roots per m² if they are ideally arranged across the entire surface. However, so arranged carrots cannot be mechanically extracted with a machine, so in practice, the carrot is planted in rows or in the beds (Brčić, 1991).
When the peaks of the leaves, especially the lower one, begin turning into yellow, the carrot comes to a standstill phase and is ready for harvest. At this time, the process of gathering assimilates in the root is finished and the root is rich in sugars, beta carotene and has the best taste. This is the technological maturity which is the most suitable for drying and storing. But carrots can also be digged before their technological maturity, which is important if carrots are sold in the laces.
Carrots can be harvested in single-phase or two-phase. Single-phase process extraction involves machines whose working parts raise roots together with the earth, and picker, who works on the principle of endless tracks, catch leaves and extract the roots. The leaves are then removed from the root and the root is transported to the container by the transport system. Two-phase harvest involves removing the leaves and then the lifter enters the soil and extracts the root (Matotan, 2004).
On smaller excavation areas a lifter with an endless belt can be used. Firstly, it is necessary to remove the green mass and after the passage of the extraction machine the carrot root should be picked up by hand (Čuljat et al., 1997).
The harvest time is adjusted according so sufficient root strength to avoid cracking and breaking during removal and processing (Lešić et al., 2004).
The usually carrot yield is between 35 to 50 t/ha. The late varieties and hybrids which are intended for storage and processing, have a higher yield (Matotan, 2004).
According to Lešić et al. (2004), carrot yield depends on breeding purpose, row spacing, number of plants per m² and the amount of seed (kg/ha).
Figure 2. Carrot Maestro F1 before and after washing (Source: Glogovšek, 2016)
Slika 2. Mrkva Maestro F1 prije i poslije pranja (Izvor: Glogovšek, 2016)
Growing of vegetable crops is accounted by big share of working hours and per product unit in one of the most intensive branches of agriculture. High intensity means high initial costs and performance of all predicted technological operations in the optimal agrotechnical time. Such production is only profitable if modern technology and production technology is applied, from sowing and planting to harvesting. In this chain, agricultural technology has a considerable share, because it enables timely and quality execution of all operations in the most favorable agrotechnical terms.
The harvest in October, within the roots intended for longer storage, gives good results if the temperatures are not very low yet and the plants are still in good condition, lie with a part of the leaves, which makes it easier to harvest.
On the efficiency of harvester and on the quality of the picked root crops during the harvest can influence numerous factors; soil condition, soil moisture, soil type, planting density (sowing), operators education and experience (Knežević, 2001; Brkić & Jurišić, 2001; Ivančan et al., 1994).
The aim of this paper was to determine the working performance and the fuel consumption of carrot extraction machines Dewulf P3B (Figure 3), Europa 2000 and Asa lift, driven by three different tractors, during the extraction of orange carrot Maestro F1 and yellow carrots Mello Yello F1.
**Figure 3.** Machine for extraction Dewulf P3B (Source: Glogovšek, 2016)
**Slika 3.** Vadilica mrkve Dewulf P3B (Izvor: Glogovšek, 2016)
**Materials and methods**
During field measurements for this study three tractors (Hurlimann XA 86DT, New Holland TD 5050 and Hurlimann XT 910.4) and three carrots extraction machines (Europe 2000, Asa lift and Dewulf) were used. For the investigation two carrots varieties were used; orange colour (Maestro F1) and yellow colour (Mello Yello F1). The study was carried out in the northern part of Croatia (Varaždin County). Measurements included operating speed of carrot harvesters in different working conditions. The fuel consumption was measured by the volumetric method and the working speed was calculated using chronometer method. Carrot production costs are calculated taking into account the variable production costs, and the fuel cost per hour of machine work is defined as a product of fuel consumption per hour of work and average fuel prices. The price of subsidized fuel is 0.80 (€/L).
Results and discussion
Table 1 shows the technical characteristics of tractors used with carrot harvesters. It is noticeable that Hurliman XT 910 has a bigger power engine, but also greater weight in relation to the New Holland TD 5050 and Hurlimann XA 86DT.
Table 1. Tractor characteristics
Tablica 1. Obilježja traktora
| Number of the family farm | 1 | 2 | 3 |
|---------------------------|------------|------------|------------|
| Naziv OPG-a | | | |
| Tractor type | Hurlimann | New Holland| Hurlimann |
| Naziv traktora | XA 86 DT | TD 5050 | XT 910,4 |
| Engine power (kW)/Snaga motora (kW) | 61 kW | 60 kW | 76 kW |
| Total weight-unballasted (kg)/Masa-neopterećenja (kg) | 3,160 | 3,880 | 4,280 |
| Total mass-ballasted/Najveća dopuštena nosivost traktora (kg) | 5,000 | 6,000 | 6,000 |
| Capacity of fuel tank (L)/Volumen spremnika (L) | 90 | 95 | 140 |
| Road speed/ Transportna brzina (km/h) | 40 | 40 | 40 |
| Power take-off speed/ Br. okretaja priključnog vratila (min⁻¹) | 540 | 540,1000 | 540,1000 |
| Hydraulic pump/Hidraulična crpka (L/min) | 50 | 80 | 58 |
Characteristics of the individual carrot varieties used in this study are shown in Table 2. The production costs of 1 ton are approximately equal and range around 80 euros. The purchase price of 1 ton of carrots after extraction ranged between 213 and 240 euros and the price after storage ranged on average around 290 euros. The yield of carrot roots for individual varieties is different, depending on the agrotechnics, irrigation, etc. and ranges from 35 to 75 t/ha.
Table 2. Production cost, prices and yield of carrot roots
Tablica 2. Troškovi proizvodnje, cijene i prinos mrkve
| Varieties/Sorte | Mello Yello F1 | Maestro F1 |
|-----------------|----------------|------------|
| Production cost (€/t)/Trošak proizvodnje (€/t) | 80 | 80 |
| The price of carrot before storage (€/t)/Cijena mrkve prije skladištenja (€/t) | 213 | 240 |
| The price of carrot after storage (€/t)/Cijena mrkve nakon skladištenja (€/t) | 267-333 | 293 |
| Yields (t/ha)/Prinos (t/ha) | 45-75 | 40-55 |
Fuel consumption during the “harvest is highly variable and in optimum soil conditions ranged from 8.4 to 12.5 L/ha, while in disadvantaged operation conditions for carrot harvester fuel consumption increased significantly and range from 11.6 to 17.9 L/ha. The effective working time of carrot harvester was quite uniform ranges from 58 to 64%. The operating speed of the carrot harvester was from 1.2 to 3.5 km/h (Table 3).
Table 3. Efficiency, effective working time and operating speed of carrot harvester
| Carrot harvest type/ Vadilica mrkve | Europa 2000 | Asa lift Combi plus | Dewulf P3B |
|-------------------------------------|-------------|---------------------|------------|
| Effect on extraction in optimal soil conditions/ Učinak kod vadenja u optimalnim uvjetima tla (t/h) | 4.1 | 3.2 | 3.8 |
| Efficiency in optimal soil conditions (t/h)/ Radni učinak u optimalnim uvjetima tla (t/h) | 1.2 | 0.9 | 1.1 |
| Efficiency in disadvantaged soil conditions (t/h)/ Radni učinak u nepovoljnim uvjetima tla (t/h) | 58 | 62 | 54 |
| Effective working time in optimal conditions (%)/ Efektivno radno vrijeme u optimalnim uvjetima tla (%) | 28 | 31 | 29 |
| Average operating speed at harvest (km/h)/ Prosječna radna brzina pri vađenju mrkve (km/h) | 1.2 | 3.5 | 1.8 |
The average costs of fuel consumption is between 6.72 and 10.00 €/h, depending on the type of carrot harvester (Table 4.)
Table 4. Fuel consumption during carrot harvesting
| Tractor type Tip traktora | Hurlimann XA 86DT | New Holland TD 5050 | Hurlimann XT 910,4 |
|---------------------------|-------------------|---------------------|---------------------|
| Carrot harvester type/Tip vadilice mrkve | Europa 2000 | Asa lift Combi Plus | Dewulf P3B |
| Fuel consumption in optimum conditions L/h/ Potrošnja goriva u u optimalnim uvjetima L/h | 12.5 | 8.4 | 8.9 |
| Fuel consumption in optimum conditions (L/h) Utrošak goriva u optimalnim uvjetima (L/h) | 17.9 | 11.6 | 13.8 |
| Cost of fuel consumption (€/h)/ Trošak potrošnje goriva (€/h) | 10.00 | 6.72 | 7.12 |
The cost of fuel consumption of carrot harvester per 1 hour, significantly depends on the following factors: weather condition, condition of the soil, maintenance of tractor, control of the pneumatic pressure, operator’s education and experience, type of carrot harvester etc.
Conclusion
The efficiency of Dewulf P3B and yield are lower in the harvest of carrot Maestro F1 variety, compared to the Mello Yello F1 variety. The effective harvesting time, which directly effects on the efficiency is quite uniform and ranges from 62 to 54%. On the efficiency and fuel consumption can influence numerous factors such as sowing density, timely sowing, varieties, carrot harvester performance, weather conditions and a good harvest organization.
References
Brčić J. (1991) Mehanizacija u povrćarstvu. Zagreb: Sveučilišna naklada d.o.o.
Brkić, D., Jurišić, M. (2001) Strojevi i uređaji za vađenje šećerne repe. Udžbenik. Osijek: Sveučilište J.J.Strosmayera.
Culjat, M., Barčić, J. (2007) Poljoprivredni kombajni. Osijek: Poljoprivredni institut Osijek.
Glogovšek, T. (2016) Radni učinci strojeva za vađenje mrkve. Diplomski rad. Zagreb: Agronomski fakultet Sveučilišta u Zagrebu.
Ivančan, S., Košutić, S., Gospodarić, Z. (1994) Stanje usjeva i opći uvjeti rada kao čimbenici kvalitete rada strojeva za vađenje korijena šećerne repe. Actual Tasks on Agricultural Engineering, Opatija, 225-234.
Knežević, D. (2001) Utjecaj brzine kretanja kombajna na učinkovitost vađenja šećerne repe. Magistarski rad. Zagreb: Agronomski fakultet Sveučilišta u Zagrebu.
Lešić R., Borošić J., Buturac I., Herak-Custić M., Poljak M., Romić D. (2004) Povrćarstvo. Čakovec: Zrinski Matotan, Z. (2004) Suvremena proizvodnja povrća. Zagreb: Nakladni zavod Gobus.
http://www.mps.hr/default.aspx?id=5859 (Accessed: September 21th 2016)
Prispjelo/Received: 20.4.2019. Prihvaćeno/Accepted: 6.5.2019.
Prethodno priopćenje
Radni učinci strojeva za vađenje korijena mrkve
Sažetak
U radu su prikazani rezultati terenskih mjerenja radnih performansi i potrošnje goriva u različitim radnim uvjetima. Korištena su tri tipa strojeva za vađenje mrkve (Dewulf, Europa 2000 i Asa Lift) na tri lokacije i dvije vrste mrkve (Maestro F1 i Mello Yellow). U optimalnim uvjetima tla potrošnja goriva strojeva kretala se u rasponu od 8,4 do 12,5 L / ha, dok je u teškim uvjetima tla za strojeve za vađenje mrkve potrošnja goriva znatno porasla na 65%. Učinkovitost vađenja mrkve u optimalnim uvjetima tla kretala se u prosjeku između 3-4 t / ha. U nepovoljnim uvjetima tla (mokro tlo, blato ili suho tlo) radni efekti padaju do 70%, što ima izravne negativne posljedice na ukupne troškove proizvodnje mrkve.
Ključne riječi: mrkva, stroj za vađenje (vadilica), traktor, radne performanse, potrošnja goriva
|
The Hundred per cent. Australian Radio Journal.
THE WIRELESS WEEKLY
A Journal Devoted to the Interests of Wireless Enthusiasts both Amateur and Professional
Vol. 1 - No. 6
SYDNEY, SEPTEMBER 8th, 1922.
Price Three pence
BEAUTY LISTENS TO A WONDER CONCERT
Wireless Electric Company,
Beach Street, Coogee, N.S.W.
We Specialise in Complete Radio Receiving Sets and all Parts.
Write or Phone for Particulars.
PHONE 369 & 369 RANDWICK.
A TALK WITH "WIRELESS WEEKLY."
We publish elsewhere in this issue the outline of an ambitious experiment, namely, the reception of signals sent out by Californian amateurs, by Australian wireless amateurs.
The members of the Victorian Chapter of the Wireless Institute of Australia who originated the scheme, and are carrying it out, are to be congratulated.
Through official restrictions, amateurs in this country have become mainly listeners, and have been satisfied on experimenting, principally with circuits and apparatus for the reception of commercial broadcasts. Of course, there are one or two exceptions, Mr. MacCurran, for instance. This sort of thing, no doubt, has its value, but much better could be done. The Victorians have shown the way, and it is up to everybody to follow and support them.
Mr. J. R. Love, chairman of the special committee appointed to consider the case, writes that he has received the assurance of the support of the South Australian Division of the Institute, but, at the time of writing, had had no reply from New South Wales. Assuming that no reply has been sent from Sydney, we venture to say that the question of co-operating with the Victorians should be seriously gone into, and every effort to assist them should be made. It is a big proposition, and there will be plenty of work to be done.
There is no doubt that American amateurs look upon their Australian brothers in a patronising sort of way, as far as work is concerned, and, as they have heard of the restrictions here, nobody can blame them. But we have the brains in Australia, and men capable of turning out and handling the necessary apparatus, so the chance to show what we can do should be made the most of. There should be no insane interstate jealousy in the matter. It is up to all radio organisations throughout Australia to work with the originators, for the reputation of experimenters is at stake.
IN CANADA.
Wireless is booming in Canada. Dozens of receiving sets are in use in such places as Montreal, Toronto, and Winnipeg, by amateur business concerns, specially in lumber operations, have been working their way with stretches of coast, using the wireless telephone with excellent results.
In the reporting of forest fires wireless has proved invaluable, and lumber companies are installing powerful apparatus, converting their offices with portable sets placed in the woods.
The wireless telephone, when the stars again in the transatlantic service next year, says a London contemporary, will have a prominent place for the wirelessness telephone is every stationing of the huge liner call for the finest wireless equipment ever put on a passenger vessel.
ELECTRICITY HOUSE
367 GEORGE STREET (OP. STRAND). TEL. 2981 CITY
FOR ALL RADIO SUPPLIES.
We cater specially for the amateur. Expert advice given free. All and any Gear made to order. Large Stocks always on hand.
Complete Outfits from £5.
HONEYCOMB COILS, from 6s. 6d. CONDENSOR PLATES, from 1s. 6d. does Knobs, Dials, Rheostats, Switch Arms, Ebonite and Bakelite Panels, cabinets, etc.
Switch Points, 2½d each. Polished English Ebonite Dials, 3s 9d each. All Crystals, 6d and 1s. Crystal Cups, 1s 3d each.
Our Rotary Switch Arms are a decent job at 4s 6d.
Sliders (for Tuning Coils), 1s 9d. Terminals, 6d each. Get your name down for a Catalogue. Price 6d.
Absolute Satisfaction Guaranteed.
TRANS-PACIFIC TESTS.
TO BE CARRIED OUT.
VICTORIANS MAKE A MOVE.
It has remained for the Victorian Division of the Wireless Institute of Australia to make one of the biggest contributions towards the radio since the science came to this country.
The members intend, with the co-operation of Californian amateurs, to make trans-Pacific tests.
The details are contained in a letter to Wireless Weekly from Mr. H. E. Love, Chairman of the Committee appointed to supervise the test. He says:
"About six months ago I got into touch with the Californian Radio Club re testing the possibility of receiving their 1 K.W. C.W. station here in Australia. This I consider would be an experiment of value to our Institute and to the Radio section in general."
This proposal was taken up by the reorganized Victoria Division, and I am appointed at the head of a special committee, known as the Trans-Pacific Test Committee.
"This committee has been re-divided into sub-committees, one of management and one technical, to advise all who will assist in this experiment.
"I have received a very favorable reply from America, and the thing is well in hand now. I have received the assurance of help and co-operation from the South Australian Division, but so far have not received a reply from New South Wales.
"We hope if everything goes well to begin the test in December of this year, and extend them for six months.
Mr. Macfarlane could help by sending out celebration waves on 250-300 metres. I am writing to him in regard to this matter.
"The American people will send on a power limit of 1 K.W. C.W., wave length of 250-300 metres.
"I think most of us know the Americans will get here—who will be the first to find them?"
NOVEL FRAME AERIAL.
A rather novel suggestion for the frame aerial given by the wireless contributor of the Pall Mall Gazette is to put four pegs in each of the corners of a door and wind the wire round these. As the door can be swung through an arc of about 180 degs., this permits the adjustment of the aerials to the most suitable position.
Directional wireless is perhaps the most immediate aim of experimenters. Already some small advance has been made in this direction, and one New York inventor recently claims to have succeeded in limiting transmission to one selected receiving station.
IN ADELAIDE.
An Adelaide newspaper, referring to the reception of Melbourne music by wireless sets in the South Australian city, said recently:—
"For some time local amateurs have been picking up these extraordinary signals, and it seems that if arrangements could be made for a broadcasting station to be installed in Adelaide, it would lead to the fullest public interest being taken in the marvels of wireless telephony and telegraphy.
At present the South Australian branch of the Wireless Institute of Australia numbers about 75 members, all enthusiastic in their experiments. The only stringent regulations under which they hold their licences from the Federal Government are that receiver sets would probably be modified by this authorities if sufficient public support were given to the movement.
The licence fee per annum is £2 and holders are prohibited from transmitting messages; but the amateurs consider if they were restricted to a certain wave-length there would be no interference with commercial stations."
Don't meddle with the electric light mains when eroding your receiver. You will only blow a fuse, and perhaps treat yourself to an unpleasant shock.
AMATEURS!
Let us show you how to make your own set, and organise.
We teach all Paris and will give you every assistance.
We Specialise in all Loose Coupler Paris Coils for intermediate amateurs, take advantage of our
Same Day Service.
Miss F. V. WALLACE,
Electrical Engineer,
18 Royal Arcade (opp Q.V. Buildings),
George Street, Sydney.
MR. MACLRUCAN'S PUZZLE.
WHO CAN SOLVE IT?
PRIZE OF ONE V24 VALVE FOR BEST ANSWER.
Mr. Charles Maclurcan has offered a prize of one V24 valve for the best answer to the following conundrum given out during the course of last Sunday night's concert:
PUZZLE.
A rope is passed over a pulley, and has a weight at one end and a monkey at the other. There is the same length of rope on either side and equilibrium is maintained. The rope weighs four ounces per foot. The monkey is three years old, and the age of the monkey's mother together total four years. The weight of the monkey is as many pounds as the monkey's mother is years old. The monkey's mother was twice as old as the monkey was when the monkey's mother was half as old as the monkey is now, and when the monkey is three times as old as the monkey's mother was then the monkey's mother was three times as old as the monkey. The weight of the rope and the weight at the end will have as much again as the difference in the weight between the weight of the weight and the weight of the monkey. Now, what was the length of the rope?
Write your answer clearly in ink on one side of the paper only, and attach to "Wireless Weekly" competition coupon. "Wireless Weekly" holds the right to publish all or any of the answers, but will not publish names if specially requested. Judging will be by Mr. Maclurcan and Editor of "Wireless Weekly," and their decision shall be final on every point.
Send your answer to "Puzzle," "Wireless Weekly," Box 278, G.P.O. The competition will close on September 20th.
BEST SET.
WHOSE IS IT?
7th COMPETITION.
"Wireless Weekly" is conducting a competition.
We are looking for the best amateur crystal set, and the best amateur valve set.
There is no entrance fee.
All you have to do is enter a set, to send a good clear photograph of it, and send it, together with a description and details, not exceeding 200 words, and the filled-in coupon on this page to the Editor, "Wireless Weekly," Box 278, G.P.O., Sydney. Envelopes should be endorsed "Competition."
The prizes will be an open order to the value of one guinea, on any establishment selling wireless apparatus, for the best crystal set and best valve set.
The competition will close on September 22, when all entries must be in the hands of the editor. All photographs and entries sent in become the property of "Wireless Weekly."
COMPETITION COUPON.
To the Editor.
Sir herewith:—
*Photograph and description of my set as an entry for your competition,
or
*Answer to Mr. Maclurcan's puzzle. I agree to be bound by your decision, and observe the rules of the competition.
(Name) ...........................................
(Address) ...........................................
(If under 18 years of age) ............
*Strike out paragraph not required.
A separate coupon must be sent with each competition.
TO SHOW THE PUBLIC.
RADIO EXHIBITION.
DATE FIXED.
The Metropolitan Radio Club has at last secured a home for its public exhibition of Radio apparatus, and the date has been definitely fixed.
It will be held on Friday and Saturday, September 22 and 23, in the Centennial Hall, next to the Criterion Theatre, Pitt Street, Sydney.
Intending competitors and exhibitors are asked to procure entrance forms from the secretary and send in particulars of the exhibits as early as possible.
Mr. Charles Maclurcan has kindly consented to judge the exhibition on various occasions, and will be assisted in this work by Mr. J. Reed and Mr. Basil Cooke.
The exhibition was arranged with the object of giving the general public an insight into the science, and with this end in view, the committee of the club are arranging many things of interest to the visitors. It is indeed hoped that the commercial exhibitors a feature, and all firms wishing to display apparatus will be allotted stalls.
NO BATTERIES.
The latest from America is a circuit for a 5 valve radio set to be used without batteries.
It is for connection to an ordinary electric lamp circuit for its source of energy, and consists of a crystal detector and five-stage amplifier.
It uses 60 cycle current to supply power for the filaments and plates, a balancing resistance, radio frequency transformers, audio frequency transformers, telephone transformer, tannar rectifier, plate voltage rectifier, power transformer, filament rheostats, condensers, etc.
Does it appeal to you as an economical idea?
MAKING AN AERIAL.
How are you going to make your aerial and put it up?
For those who are not too sure of their answers to this question we give these hints. It will be assumed that the reader is starting on a crystal set, and that being so, the higher the aerial the better, and the longer they are, the better will be the results. In valve receivers the height is not so important, though length is desirable.
An aerial should not be an expensive part of the receiving equipment. The wire, which can be procured at any of the wireless shops advertising in these columns does not cost much. The insulators are only a few pence each, and the spreaders can easily be made at home.
The masts must be left to the discretion of the amateur. Any wood, as long as it is strong enough to support the wire, is suitable. If you have a tree near your station, it may serve as one mast, provided you cut the branches well clear of the wires and allow sufficient slack in the aerial to provide for any swaying of the tree or the wind.
The construction of the aerial is simplicity itself. Having arranged a pulley and ropes for raising and lowering the aerial (see fig. 1) cut two pieces of fairly light hard wood, six feet long, for the spreaders, and nothing less (as in fig. 2) for the span ropes and wires to fasten the insulators. The span rope arrangement is shown at "a" in fig. 3, the free end going to the halliard.
The insulators ("b" in fig. 2) are the ordinary reel type, and four will be required. Take care to attach the insulators to both spreaders with wire or light rope (as shown in fig. 2) and pass one end of the aerial through one of them, leaving plenty of end to form one side of the lead in.
Take the other end in the wire to keep it from slipping and take the coil of wire to the corresponding end of the other spreader and put it through the insulator, again taking three or four twists. Carry the end through the other insulator on this spreader, again putting in the twists, and then on to the remaining insulator on the other spreader. The free end, and the end left at the start, are now taken together to form a V shape (as in fig. 3), and soldered together at the point marked "A".
One wire is now cut off below the soldered joint, and the other taken to the aerial terminal of the set.
The completed aerial is shown in fig. 3, and is found quite efficient for receiving. It might be mentioned that the lead in should be kept as short as possible, and well insulated where it enters the building.
Directional Wireless.
Recently, in a lecture on "Short-wave Directional Wireless Telegraphy," Mr. C. S. Franklin described many interesting experiments.
He has proved to complete satisfaction that wave lengths of twenty metres are capable of producing point-to-point directional communication over considerable distances, says "Popular Wireless," London. Moreover, these short waves have increased possibilities of secrecy as compared with the usual non-directional method of transmission.
The range of wave lengths at which it is possible to send messages is rapidly becoming fully occupied, and once the range is full, the only way to enable a further increase in the number of possible messages is by introducing systems of directional control.
Senator Mareeoni began experiments in this direction in 1914. He tried waves of nearly two or three metres' length, but found that, although they were satisfactory in many ways, they were disturbed by waves from motor cars and motor boats.
700 WATTS.
In 1919 further experiments were carried out at Carnarvon with valve transmitters and a fifteen-metre-wave. Speech of a strong and clear nature was obtained at Holyhead, twenty miles distant, and after a little adjustment communication was effected with Kingstown Harbour, a distance of about thirty-five miles.
The centre of experimental action was then transferred to Hendon, and tests were made over all-land distances from the reflector and with a transmitter of fifteen-metre waves. The reflector was pointed in the direction of Birmingham.
A portable receiving set was then fitted up in a motor car, and messages were sent from Hendon and received in the car. Very good speech was heard, up to a distance of 45 miles and quite fair results in the neighbourhood of Birmingham.
In the autumn of last year a reflector station was erected near Birmingham at a place called Frankly. This is about ninety-seven miles from Hendon, but speech of strong and good quality was received. Reflectors were used at both ends.
The transmitters consisted of two medium-power valve valves working in parallel, and the power used was roughly 700 watts.
So good have been the directional effects obtained with fourteen metres' wave as compared with the waves length that suggestions have been made that this method might be of use for ships for finding their positions when they approached dangerous localities.
Fog Signals.
With this object in view trials are being made at Inchkeith Island with a transmitter and revolving reflector. The machine installed forms a kind of wireless lighthouse.
Its range of utility at present is not intended to be great, but the idea is that the apparatus could be put up in position such as are occupied to-day by fog signals, and that wireless warnings of position should be given to ships when they are within ten miles of the danger-point.
In 1920 tests were made between Inchkeith Island and a lighthouse situated on the northern lights Commissioners, the Pharos. A working range of seven nautical miles was obtained, using a four-metre-wave spark transmitter, a reflector of eight-metre aperture, and a single valve receiver on the tender.
The reflector made a complete revolution once in two minutes, and clear and distinct signals were easily sent to every point of the compass.
On the tender it was found that the bearing of the transmitter could be determined to within quarter point of the compass or within 2.8 degrees.
Teddy St. John looked at the high wall and sighed.
"Well," he muttered, "that I see 19 years of age tomorrow, and yet never have been in a town of any size."
Teddy's position was a strange one. His father, who was old, had taken the big country house when Teddy was very young, and had lived there ever since. There was something peculiar somewhere.
Old St. John was a wealthy man, but he was much enquiring, one of the chief being that he would not associate with a human being outside the walls of his home; nothing would he allow his son to do so.
Mrs. St. John had died soon after Teddy was born, and they two lived in the big house attended by an aged manservant. A tutor also came daily to the house, attended to Teddy's education, and let him mix with the people of the surrounding towns, but the old man always received the request with a closed face, and promptly refused them.
"My son," he had said on one occasion, "the world is peopled with hypocrites and liars. You would be contaminated by contact with society. You may have anything money can buy, but never ask me to take you out into the world, and never leave the ground of your home."
So Teddy continued to live the life of a hermit. But he dreamed of the wonders outside the high walls of the mansion, and longed for the day, which he knew must come, when he would go forth and mix with his fellow men and women.
Strolling toward the house, the young man met his father. "Well, my lad," said the latter, "it is your birthday tomorrow. Is there anything you fancy for a present?"
"Well, dad, I should very much like one of those wireless sets I read so much about. I'm sure I could have a lot of fun with it."
So it was that a few days later an enormous, modern, three-valve set was delivered at the house, together with materials for an aerial and a parcel of literature on radio. For a week, Teddy was busy at work. He erected a splendid aerial, installed the set, and got it working. Then he went patently the best part of every afternoon, when a fine programme by volunteer artists was to be broadcasted from a Sydney station.
It came at last, and Teddy was wildly excited when he heard the voice announcing the first item. It called him father, and the old man came into the room just in time to adjust the phones for the next song. The air was then announced as Miss Irene Mallin. She started to sing, the voice coming over the ether waves as clear as bell. It was a beautiful tune melody, and Teddy, who had on a spare pair of phones, saw his face become violently agitated as the song proceeded. His eyes went white, and there were tears streaming down the wrinkled cheek ere the last note died away.
"Why, what's the matter, Dad?" inquired the son, anxiously.
"Nothing, my boy, but this song struck me strangely. Your mother used to sing it, was her favourite. But that voice, who was the singer?"
"Irene Mallin," replied the son.
"Mallin, Mallin. Oh God, can it be true? The old man stood up and slammed the door in anger. "Quick, son, tell me where she was singing from, and get me a telegram form."
Wondering, Teddy obeyed, and watched his father write out the message with a hand that trembled bodily. The manservant was sent post haste to the village to send it.
"What may mean a lot to us if what I think is right," said the father, as he bid his son good night.
The following day a car pulled up at the gates, and two women alighted and walked up to the house. Teddy, looking from a window, saw that one was young and beautiful, and the other elderly, with a kindly face. His father met them at the door, and for an hour or so they talked of a conversation in the old man's study.
When they came out Teddy, who had been hearing all the while, was amazed to see that his father had his arm round the girl's waist, and there was a look of joy in his face that had not been there before.
"Teddy," he called, "come here and let me present you to your sister." When the old man had died down, the father took his son into the study and told the story.
"When you were but a tiny child," he said, "your mother and I and your sister lived in a Sydney suburb. In those days I was busy making money, and thoughtlessly neglected my family. Thus it was that a man named James Mallin, left my wife away, and she took your sister, who was then, of course, only a child with her. All my money was lost, and I grieved, and embittered the occurrences. I took this house and determined to avoid all contact with my fellow creatures."
"From what I have heard today, Mallin and your mother went to India, where she died soon after arriving. Mallin, himself a sick man, returned to Sydney, please your sister in the care of Mrs. Smith, who has come here with her to-day, and disappears."
"Irene is like your dear mother, and her voice, too. I recognised the similarity last night, as soon as she started to sing, and when you told me her name I thought I could not be wrong, and I was right."
The old man sat silent for a while, and then looked at his son with a smile.
"I looked upon your radio as a toy, but it has found you a sister, and brought back some of my lost happiness."
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Call at the Offices of MAGNAFOX
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HOUSE, 293 Pitt Street, Sydney.
Cells should not be left dis-
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Ready Run-off in 2 oz. and
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All Sizes from 42 to 20 Guage.
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296 Pitt St., Opp.W&S Board.
"STAR" RADIO BATTERIES
We manufacture Special Radio Batteries (both "A" and "B" type).
They are recognised to be better than any imported battery, and no set is complete and up-to-date without a "STAR".
Spare Plates or Parts Supplied to amateurs desirous of making up their own batteries.
Full particulars and prices on application.
Batteries repaired, re-charged, and hired-out at lowest rates.
STAR BATTERIES LIMITED
Storage Battery Manufacturers
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43-45 Wentworth Avenue,
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Sydney.
The second meeting of delegates from radio clubs and societies in N.S.W. was held on Friday last in the Royal Society's Rooms, Elizabeth Street, Sydney.
Mr. George (Wireless Institute) was elected to the chair, and Mr. O. F. Minnay was appointed Minute-taker.
The following clubs were represented:—Wireless Institute, Waverley Club, Metro, Metropolitan and Western Suburbs.
Military Radio Association delegates expressed the necessity for 10 licensed members before they could be recognised. They suggested that the age limit upon which the delegates should be elected should be 16 years, and that 15 members be necessary for one delegate to the association, and 51 or over for two delegates.
Western Suburbs agreed to 15 members, one representative and two for 35 or over.
Hearing the merits of all proposals, but preferred 1/- capitation fee instead of 2/-, yet would agree to 2/- if necessary.
After discussion, it was resolved "that the capitation fee be levied on all club members."
The Metropolitan Club moved: "that the fee be 1/- per member."
The Waverley Club, supported by Western Suburbs, moved for 2/- per member. It was finally decided on majority vote that the capitation fee be 1/- per member.
Resolution on Association.—It was resolved: "That 15 members, 17 years and over, five of whom must be licensed, constitute a club. This entitles the club to one delegate, and fifty-one members or over, two delegates."
New Clubs.—It was decided that all new clubs wishing to join the Association be charged pro rata on a monthly basis.
It was also decided that the capitation fee be paid by each club, half yearly in advance, according to the number of members on the books at that time.
Policy.—Delegates agreed that all clubs associated agree to refrain from taking any action without taking any action, on any matter whatsoever (unless it be club administration), other than through the Association.
Expenses.—It was resolved that all expenses connected with arranging the Association be borne by all clubs represented. It was also resolved that each club make an advance payment of £1 on account to cover their operations.
Mr. Renshaw.—It was carried that this meeting record their pleasure at the splendid recovery of Mr. F. Renshaw from his recent illness.
Adjournment.—It was resolved that this meeting adjourn until Thursday, 23rd September, when all delegates must be authorised to proceed with the formation of the central body.
JOIN UP!
SOME ADVICE.
(By R. C. Marsden, President, Metro. Radio Club).
Many a person who contemplates taking up experimental radio gets rather seasick at the idea, owing chiefly to the lack of information required to grasp the initial principles. So the matter slithers.
One often hears people say "I wouldn't love to take up wireless only I haven't got elementary knowledge about it."
What is the right thing to do to put the interested people on the straight and narrow road track? Well what are the general wireless clubs in existence for?
To get these people under their wing, and put them right from the word go. In and around Sydney there are several clubs, and the person who contemplates going in for radio is very well catered for in this respect.
SAVE MONEY.
By joining a club the beginner will glean a lot of useful information, and will save himself time and money in the buying of a set. The activities of a radio club are far and wide, much more so than the average man ever dreams of. The clubs are formed for the mutual benefit of all genuine radio enthusiasts, and we look to people who intend taking up radio to join up. A person joining will find many ready to help him out of his difficulties, and the technical committee are for the benefit of all.
The Metropolitan Radio Club was formed in Sydney about six months ago, and up to date it is the largest and strongest Radio Club in the Commonwealth. The club was formed because of the lack of a body to help everyone, from the small boy to the grown man, and those who had a set, but who were not necessary experts themselves. This club has at present a membership of 240, and is growing every day.
BOLD POLICY.
Experimental wireless in Australia has been in a transition period, and necessarily the activities of the club have been curtailed. But the club can promise to grow in the future, and hopes that its members will pull together to the mutual benefit of experimental wireless. To those who are going to take up this fascinating hobby, we say "Join up."
MUSIC IN THE AIR
SUNDAY NIGHT'S CONCERT.
MR. MACLURCAN'S CONCERT.
For next Sunday, September 10th, the following Pathe records will be played for Mr. MacLurcan's concert, starting at 8 p.m.
Fox Trot—"Say It with Music."
Violin Solo—"Humoreske" (Dvorak).
Tenor—"Mother Macree" (Chas. Harrison).
Hawaiian Guitar—"Kawka."
Code Practice.
Whistling—"Listen to the Mocking Bird."
Fox Trot—"Fluffy Ruffles."
Hawaiian Guitar—"Wallana Waltz."
Flute—"Rhapsody No. 13" (Liszt).
Soprano—"My Old Kentucky Home" (Yvonne Gall).
Recitation.
Amplification.
IN WIRELESS.
The problem of amplifying music or speech received by wireless is more complete than the ordinary methods of amplification with which we come in contact every day.
The deaf use ear-trumpets. The short-sighted glasses; we continually use the microscope, lever and watch devices as the magnifier for enlarging the dimensions of a picture, and the transformer for magnifying electrical current. But the ordinary ear-trumpet in connection with a wireless receiver, must amplify power.
If we insert a power-amplifying device between the antenna and the receiver, thus multiplying the original radio wave, we have radio-frequency amplification.
If the device is inserted after the radio waves have been desensitized and transformed into electrical waves of an audible frequency, we have audio-frequency amplification.
The device usually employed as the amplifier of voice and speech is the vacuum tube, which has inherent amplifying properties.
AN ARMY AND NAVY STANDARD.
After prolonged and thorough tests by the U.S. Bureau of Standards, the U.S. Army and Navy adopted the Western Electric Wireless Head Set.
It is light and comfortable, easily and quickly adjusted to the head, and built to serve effectively over a wide range of frequencies. It reproduces the murmuring of a baby as naturally as it does the high vibrations of a massed band.
Call and inspect, or write your enquiry, now.
WESTERN ELECTRIC CO. (AUST.) LIMITED
92 Castlereagh Street, Sydney.
Also at 265 Flinders Lane Melbourne Agents in all States & New Zealand.
Anglo-American Book Shop.
WILLIAMS AND SON
(Q.V. BUILDINGS,
459 GEORGE STREET,
SYDNEY.
All the Latest Wireless Books and Magazines in stock, posted anywhere.
HUMPHREYS' LIMITED,
465 George Street, Sydney.
Telephone: City 3846.
The "Wireless Weekly" has been asked to act as official organ for the Illawarra, North Sydney, Western Suburbs and Metropolitan Radio Clubs. In these cases we have consented and agreed to give the clubs our help.
ILLAWARRA RADIO CLUB.
At the last meeting of the Illawarra Radio Club two interesting lectures were given. Mr. E. G. Bulley spoke on "Aerials and Tuning Circuits." Different types of aerials were referred to, as well as earths, and their uses and advantages explained, also the relative values of inductance and capacitance in tuning in various forms of circuits employed. Mr. F. H. Kirkby dealt with "Crystal Receivers." The principle of the crystal detector was explained, also the rectifying properties of the several kinds of crystals, continuous and which were exhibited. Various crystal circuits were also shown. The members carried a vote of thanks for the lectures, which were much appreciated.
The following lectures have been arranged for the next three meetings:
Sept. 14.—Constructional Details of Receiving Apparatus . . . . Mr. Gorman Sept. 28.—Members' Display of Apparatus and General Discussion. In Charge of Mr. MacLurcan Oct. 12.—Elementary Valve Work . . . . Mr. Hewett
The Committee has under consideration what is best to do for a permanent room for the Club, and if the negotiations in this direction are successful, this should prove to be a great advantage to the Club.
The next meeting will be held at Carlton School of Arts on Thursday, 14th September, at 8 p.m., at which all wireless enthusiasts are invited to be present.
The Committee would particularly like to hear from any intending members and others interested. His address is 44 Cameron St., Rockdale.
THE NORTH SYDNEY RADIO CLUB held a meeting on Tuesday night, when the question of apparatus for the club was discussed. It was decided to construct a valve receiver at present, the transmitting apparatus for the club station having been completed. The next meeting of the club will be held at the home (Leonard High and Alfred Street), on Tuesday, September 8, to be present. Members and all interested are asked to be present.
It is rumoured that Electricity House is applying for a broadcasting telegram licence for the near future. The firm is to be commended for the strides it has made in the last few months in its radio work, which is in the capable hands of Mr. Shaw, late of the Helen B. Sterling under the management of Mr. J. S. Marks.
Mr. MacLurcan is starting another test to-night (Friday) at 7.30 p.m., and he will continue it on Sunday afternoon.
The object is to ascertain the lowest possible power with which he can communicate with Melbourne from his Strathfield station.
At first he will use three transmitting tubes, then two, then one, using power of approximately 8, 5, and 2 kilowatts. A.W. Morse banner will be sent in a series of dashes for about 10 minutes in each stage of the test.
The object of the second half of the test at noon on Sunday is to get the daylight range.
It is Mr. MacLurcan's request that anyone who listen in and communicate with him send letter, giving the results attained.
It may be necessary to alter the wave length slightly as Mr. MacLurcan reduces his power.
TELEPHONE: CITY NO. 802,
RODMAN & KELAHER,
Electro-Medical Instrument Makers,
107a Elizabeth Street, Sydney.
IONIC MEDICATION OUTFITS. HOT AIR MACHINES. MEDICAL BATTERIES. ACCUMULATORS. X-RAY APPARATUS. SPARK COILS. ELECTRIC STERILIZERS. MAGNETOS
RADIO SETS
and Parts to make them.
Send for Price Lists.
ELECTRICAL UTILITIES SUPPLY COY.
605 GEORGE STREET, SYDNEY.
STATION CALLS.
Call Signals, as under, have been issued during the month of August, 1922:
NEW SOUTH WALES.
No. N735, Crowley, E. W.; N741, Cudgen, H. R.; N742, Putter, R. C.; N743, Conson, H. R.; N744, Stanfield, C. R.; N745, Bongers, G. S.; N746, Grove, H.; N752, Halsey, B. R.; N754, Beames, J. A.; N755, Smith, W. J.; N756, Gotting, H. E.
VICTORIA.
No. V733, Teece, C. A. S.; V734, Bourke, J. S.; V736, Forshaw, C. J.; V737, Herron, J. W.; V738, Stewart, D. R.; V740, Bearup, T. A.; V748, Hancock, C. A.; V750, Class, A. T.; V751, Jansen, C. H.; V753, Ryan, R. R.; V755, Corbett, K. C.; V756, Williams, G. S. C.; V757, Coates, A. M.; V758, Gutteridge, R. F.; V761, Lauris, V. A.
QUEENSLAND.
No. Q737, Haworth, Wm.; Q747, Reinhold, E. C.
SOUTH AUSTRALIA.
No. S730, Sproule, J. C.
WESTERN AUSTRALIA.
No. W732, Wireless Institute of Australia, W. A. Division (A. E. Stevens).
TASMANIA.
No. T749 Morgan, D. M.
SHIPS STATIONS, GREAT BRITAIN
City of Oran, YTB; City of Oxford, GBXR; City of Palermo, GDMY; City of Paris, GFQH; City of Pekin, GBSJ; City of Panama, GHB; City of Hangsen, MTP; City of Shanghai, EMM; City of Simla, GPNQ; City of Smyrna, EII; City of St. Louis, YZB; City of Sydney, GESD; City of Tokio, GEMF; City of Valencia, GDBP; City of Versailles, YNO; City of York, GAO; City of Winchester, LUC; Clan, LHZ; Clan Cameron, XJE; Clan Buchanan, YVS; Clan Chattan, ZHS; Clan Chisholm, LSF;
Clan Colquhoun, YZA; Clan Cumming, YOH; Clan Kennedy, KHI; Clan Macandrew, YXH; Clan Lamont, YON; Clan Lindsay, YOO; Clan Macaulay, YJQ; Clan Macbean, KJD; Clan Macbeth, YWV; Clan Macbrayne, YPS; Clan Maceride, ZHT; Clan Macgillivrd, ZHV; Clan Macfadyen, LSG; Clan Macgillivray, GVS; Clan Macindoe, GDFA; Clan Macinnes, GCTP; Clan Macintosh, ZGE; Clan Macintyre, MOC; Clan Maciver, GFFY; Clan Mackay, YTI; Clan Mackoflan, YFM; Clan Macnab, YXX; Clan Macneill, XXC; Clan Macrinikinnon, YOG; Clan Maclaren, YJO; Clan Macmaster, ZXK; Clan Macmillan, XKV; Clan Macnab, GHB; Clan Macnair, GNK; Clan Macphee, ZCB; Clan Macquarrie, GVL; Clan Macraegart, GDFV; Clan Macrae, GDDN; Clan Macrae, XHB; Clan Macwilliam, LTS; Clan Malcolm, ZQK; Clan Matheson, MZQ; Clan Menzies, LSH; Clan Monroe, ELS; Clan Morrison, EPL; Clan Murray, LZS; Clan Murray, LSR; Clan Ogilvy, GVV; Clan Ranald, EIT; Clan Robertson, ZHU; Clan Ross, GVR; Clan Stuart, ZFN; Clan Sinclair, YZE; Clan Sutherland, YJP; Clan Urquhart, YZG; Clara Yelck, GDFL.
What do you want to know?
Every reasonable specific query in the field of general wireless addressed to the Information Department will receive a prompt reply.
Address the Information Editor, "Wireless Weekly," Box 378, G.P.O., Sydney.
H. E. W. (Wyalong) asks:—I see that the set described in "Wireless Weekly" would have a range of 2,000 miles with a good aerial, and as I have not yet got one, and what a good aerial is, I would be pleased if you could let me know.
Answer: (1) Yes. (2) The Experimenter's Manual by E. H. Bucher, published by the Home & Foreign crystal set of a range of 800 to 3,800 miles has been used for long distance work. (3) I would like to know if the set would be beneficial in flying with a 100-microfarad capacity. (4) No, where in the best place to put some.
Answer: If you have no condenser in the set, try it across the phones.
C. P. (Sydney) asks:
(1) [a]. Does enamel have to be scraped off before the solder makes contact with it on the receiver? (b). Would No. 28 enamelled wire do as I have a 28-gauge? Use 22 gauge enamel.
Answer: (1) You should first receive the condensers sent out by Mr. Macduff. (2) How could I make a simple condenser to replace the 100-microfarad where in the circuit should it be placed? (3) Use 22-gauge wire for condenser, and put it in amount indicated above.
Answer: (1) I have only 1.75 ohm "phone string"; Is it because of this that I cannot get 1.5M. period in about 32ft. high and 40 ft. long. Buy 100,000 ohms "phones."
SALE & EXCHANGE
Three Lines (approximately 15 Words), may be inserted in this Column for 9d.
Extra Lines or part thereof, at 6d. per line.
FOR SALE.—Valve Set, Panel Type, 4000 to 1600 metres. $2.00. Ring V 1832.
FOR SALE.—Exchange No. 1 Unit Single Slide Inductance, 2 fixed condensers, 1000-watt Transformer. Apply, D. W., this page.
WANTED TO BUY.—Valve Panel Set without valves or crystal tuner. Will pay highest price. Write particulars to H. Donald, "Armadale," Greenvale St., Kensington.
FOR SALE:
WIRELESS SET.—Use one, or two valves, emergency circuit, mounted on board, battery not required, all fitted on table. Aurala, masts; everything complete. Ready for use. Apply to Margaret, former commercial operator. Apply, S. G. W. 1832.
Published by W. J. Macduff, "Truce," Powell Street, Neutral Bay, at the Offices of W. M. Macduff, 249 Castlereagh Street, Sydney.
|
2015 General Elections: The Untold Story
NATIONAL PEACE COMMITTEE REPORT
THE KUKAH CENTRE
FAITH • LEADERSHIP • PUBLIC POLICY
2015 General Elections: The Untold Story
NATIONAL PEACE COMMITTEE REPORT
FOREWORD
It is with great pleasure that I write the foreword to this report detailing the role of the National Peace Committee in the largely peaceful outcome of the 2015 General Elections, an event that even the most resolute analyst started would lead to the disintegration of Nigeria.
Given the tragic African experience where elections often result in violent conflicts and massive loss of lives and property, it was not surprising that Nigerians entered 2015 with great trepidation such that those who could left the country with their families while the rest returned to the safety of their native (ethnic) regions uncertain what the future held.
Although the signing of Peace Accord on January 14, 2015 (exactly one month before the presidential and governorship elections) by the presidential and major Assembly candidates by the APC and PDP, and the candidates contesting the election was somewhat reassuring, the virid and hate language on the campaign trail exploiting ethnic and religious differences exacerbated tensions across the country.
At the centre of these engagements were the two presidential candidates after incumbent president, Goodluck Jonathan of the PDP and General Muhammadu Buhari of the APC, who despite the occasional excesses of their more zealous supporters largely conducted themselves with dignity and decorum. The Committee and indeed all Nigeria remain very grateful to President Jonathan for his unprecedented act of statesmanship in promptly and unequivocally conceding the election and to General Buhari for being magnanimous in victory.
The Committee’s mandate was to monitor the electoral process from the pre-election phase to the post-election phase. It was established on February 18, 2015 barely three weeks to the presidential elections.
Abyi sub-titled ‘the untold story’, the report details the public and private engagements of the Committee with critical stakeholders spanning government and security agencies, political parties, the organized private sector, civil society groups, multilateral organizations, development partners and much more.
The situation was further complicated by the closeness of the contest in which the All Progressive Congress (APC), an amalgam of several political parties was challenging the dominance of the ruling People’s Democratic Party (PDP), which had been in power since Nigeria returned to civil rule in 1999. It was therefore not surprising that very few gave the Peace
As a result, 2015 was the first Presidential election since Nigeria’s return to civil rule in 1999 that was not contested in the courts of law. Further, the massive violence that most people feared never materialized, an indication of the continuing growth some will even say, maturation of our young democracy.
One can only hope that by this example, electoral contests in Africa will cease to be zero sum games where both incumbents and those challenging them will accept the will of the people as expressed through a free and fair balloting process.
The success of the Committee shows that Nigerians are peace-loving people who are open to resolving their differences through dialogue, if they can find a trusted platform to facilitate the electoral process. This undoubtedly was what they saw in the peaceful conduct of the 2015 General Elections. However, the lead up to the 2015 general elections also highlighted the fact that many informed analysts both within and outside the country predicted the disintegration of Nigeria. Reasons for such fears include the competitive nature of the elections in which the All People’s Congress (APC), an amalgam of several smaller Parties was challenging the dominance of the Peoples’ Democratic Party (PDP) which had ruled Nigeria since the return to civilian in 1999.
I will be remiss if I end this without specially thanking the members of the committee who worked so hard and sacrificed so much to help bring about the success. They are all great patriots who passionately embraced the assignment as an altruistic call on national service and were underpinned by the occasional, but intense public scrutiny of the Committee’s work. For the record, no member of the Committee asked for or received any remuneration. Support to the Committee was limited to the transportation and accommodation of members during meetings.
Since Nigeria’s return to civil rule in 1999, the country has conducted several elections with varying degrees of disturbances and violence. However, the lead up to the 2015 general elections also highlighted the fact that the Office of the Special Adviser to the President (Inter-party Affairs), headed by Senator Ben Obi, in collaboration with Office of the National Security Adviser, his Principal Deputy, Col. Sambo Dasuki began in June 2014, series of consultations and engagements aimed at sensitizing the political class on the implications of their actions and utterances on social cohesion and political stability of the country. The goal was to get them to embrace a civil and patriotic approach in their quest for political power.
These efforts culminated in the January 14, 2015 National Sensitization Workshop on Non-Violence in the 2015 Elections in which all the Presidential Candidates and Political Parties contesting the North East, along with the decolonizing influence of such ethnic militias like the Oodua Peoples’ Congress (OPC) in the South West; the Niger Delta Militants in the South-South and the Movement for the Actualization of Biafra (M.A.B.) in the South-East. Some or all of these may feared would likely lead to the implosion of Nigeria with the almost inevitable disputation of the election outcomes as the final trigger.
In response to these, and in an effort to assure increasing worried Nigerians that the country will outlive the 2015 Elections, the Office of the
the individuals were paramount. At the inaugural meeting, the Committee adopted the following terms of reference:
* To observe and monitor compliance with the Abuja Accord signed by the political parties on 14 January 2015.
* To provide advice to the Government and INEC on resolution of technical issues and other matters arising from issues of compliance with the Abuja Accord.
* To make itself available for national mediation and conciliation in the case of post – electoral disputes or crises.
At the end of the inaugural meeting, and with no Secretariat facilities in place, the committee unanimously adopted The Kukah Centre as its formal Secretariat. The critical challenge of funding was, in part met, when the United Nations Development Programme (UNDP) which had funded the process leading up to the signing of the accord decided to assist the Committee with its travels and meetings. The Committee through its support of the UNDP engaged the services of Dr. Kelechi Akubueze as a Technical Consultant to participate in this task. By the end of January 2015, all the prospective Members identified by Bishop Kukah had accepted to serve on the Committee. (For list of the Members of the Committee see Appendix 2).
On January 25, 2015, the Committee was formally inaugurated with former Military Head of State, Gen. Abdulsamau A. Abubakar, GCHR who returned Nigeria to civil rule in 1999, unanimously adopted as Chairman while former military Chief of Staff General Sani Abacha’s, Commodore Olusegun Obasanjo, and former Nigerian President, Mr. Joseph Balla, acting by the Centre for Unmediation Dialogue (HDI).
The Geneva-based HD in partnership with the Swiss and Australian embassies in Nigeria had earlier approached Bishop Kukah on a separate initiative to use his influence and goodwill to convene a body of eminent Nigerians to help mediate the inevitable violent conflicts that would result from the elections. Ultimately, the HD initiative which focused primarily on addressing post-election violence was integrated into the Peace Accord process with its proactive mechanisms to resolve election related disputes before they degenerate into violent conflicts. The responsibilities of the secretariat include the following:
- Tracking of election linked violence and conflicts across the country that could help the members of the Committee on the notice of meetings,
- Preparing materials for all meetings of the Abuja Accord. Furnishing the Committee with relevant research materials to aid its work.
- Interfacing with civil society groups, government agencies, political parties and other stakeholders on various initiatives relevant to the committee’s work.
- Monitoring of adherence of political parties to the Abuja Accord. Furnishing the Committee with relevant research materials to aid its work.
- Keeping records/reports of the Committee’s meetings and activities.
- Helping with media outreach on the work of the Committee including developing and managing the Committee’s social media platforms, amongst others.
For the purpose of this Report, the work of the Committee can be divided into two phases: the Pre-Election and the Post-Election Phases. The Committee developed a methodology that focused on meetings, interactive sessions and direct contact and dialogue with key agencies such as the Independent National Electoral Commission (INEC), State Security Agencies (e.g. Office of the National Security Adviser, the Nigeria Police Force, the Military, Civil Defense Corps and the Department of State Security Services). It also identified the principal Political actors and platforms namely the Presidential Candidates and leadership of the two major political parties as well as the Secretaries General of the Parliamentary Council (IPAC) that represents all the registered political parties. And while many of the Committee’s meetings were public, it also on occasions engaged privately with stakeholders, especially in situations where state security matters were involved or where such in camera approach would best yield the desired outcomes.
Although the Committee held plenary meetings to review its work plans, it largely adopted a consultative strategy as a means of testing out ideas, seeing if consensus was possible and securing a fulfilled sense of ownership among all sides to comply with the letter and the spirit of the Accord. Thus, the Chairman of INEC, Prof Atiku Abubakar, the leadership of the two leading Political Parties along with IPAC, though not members of the Committee were invited to attend the major meetings of the Committee especially as they related to the election day observation and allegations of electoral violence. In the event of irregularities and intimidation especially by the Opposition, the Committee often had to summon the Security Chiefs for briefings and assurances.
The Committee also engaged members of the diplomatic community, especially a group of 20 like-minded Ambassadors representing democratic countries with whom it consulted regularly. Their input was always valuable given how much information and experience they had similarly, several international agencies and organizations were engaged by the Committee up to the election also meet with the Committee. Such meetings were insightful as they, among other things, underscored the concerns of the global community to the potential destabilizing effect of electoral violence in Nigeria on the sub-region and the urgent need to do all that was necessary to avert the situation.
While space will not allow us to reproduce the reports of the Committee’s extensive engagements here, much in line records are available to researchers who may be interested in following up the work of the Committee for the purposes of this report we shall simply provide a list of some of the key meetings that the Committee held in the lead-up to and immediately following the elections.
---
* A group of like-minded Ambassadors from Democratic Countries Posing for a picture with Gen. A.A.Dubaslar after a Meeting at The Kukah Centre
---
From left AFRC National Chairman John Oyegun, John Cardinal Onaiwase, Gen Abdullahi A. Abubakar President INEC, Prof Goddard of Nigeria to a Presidential Election Dialogue Thursday 26th March 2015.
Gen. Mohammedu Buhari (AFRC Coordinator), Sultan of Sokoto Alh. Usman Dan Abubakar III and Bishop Matthew Hassan Kukah shortly before the renewal of Nigeria’s Presidential Elections Dialogue Thursday 26th March 2015.
Committee at all times underscored the need for the Security agencies to do everything possible to ensure that adequate security was provided to allay the palpable anxiety of the electorate, INEC and the political parties over the distribution of the Permanent Voters Card (PVC) and other Electoral materials.
The following are some of the key pre-election phase meetings of the Committee which takes:
- **January 26, 2015** - Inaugural meeting of the Committee where members adopted its terms of reference and affirmed its leadership.
- **January 28, 2015** - The Convener of the Committee Bishop Matthew Hassan Kukah and the Spokesperson and others who in their unrestrained utterances tended to give the impression that they were speaking for their Parties.
- **March 7, 2015** - The Peace Committee met with INEC Chairman, the Inspector General of Police and Service Chiefs to assess their preparedness for the elections.
- **March 24, 2015** - The Peace Committee met with the business community on the need for the organized private sector to support its mediation efforts. It also met with Media Regulatory Agencies and professional media organizations (Guild of Editors, Newspaper Proprietors Association of Nigeria, the Broadcasting Organization of Nigeria etc.) on the need to be more sensitive in the media coverage of the election and the need for greater sensitivity in reporting the results of the election.
- **March 25, 2015** - The Peace Committee met with Election Observer groups for their insight as the campaign drew to an end. It also met with women and youth groups from the greater FCT area.
- **March 3, 2015** - The Committee Chairman General Abdulsalam A. Abubakar, GCFR met with 20 key Ambassadors at the Conference room of the Kankara Centre. The delegation included political parties and representatives of foreign election observer missions- the African Union, ECOWAS, the Commonwealth and the European Union.
- **March 3, 2015** - The Committee Chairman General Abdulsalam A. Abubakar, GCFR met with 20 key Ambassadors at the Conference room of the Kankara Centre. The delegation included political parties and representatives of foreign election observer missions- the African Union, ECOWAS, the Commonwealth and the European Union.
Against the backdrop of the violence unleashed by Boko Haram, issues of security became critical but they were also not far from the fray of politics. For example, there were accusations and insinuations from all sides as to who was responsible or the cause of the violence. The Committee tried to avoid being drawn into this fray but did its best to draw attention to the dangers posed by the persistence of violence, irrespective of its source. Further, the Committee at all times underscored the need for the Security agencies to do everything possible to ensure that adequate security was provided to allay the palpable anxiety of the electorate, INEC and the political parties over the distribution of the Permanent Voters Card (PVC) and other Electoral materials.
The following are some of the key pre-election phase meetings of the Committee which takes:
outside the Aso Rock Villa, if such a meeting would help douse tension and reassure Nigerians that the country would survive the elections. He informed the Committee that he had an official engagement in Warri, Delta State the following day (Thursday, March 26) but that he would be available to meet with General Buhari later that day once he returned to Abuja.
Wednesday, March 25, 2015 was the last day of campaigning for the Presidential elections and General Buhari was involved in a flurry of activities in Lagos. The APC candidate had promised to meet with the Committee upon his return to Abuja later that day. However, weather related flight delays in Lagos meant he couldn’t get into Abuja until after mid-night.
A meeting with the Committee was hastily scheduled for 8am that morning (Thursday, March 26) as the candidate (Buhari) had made plans to fly same day to his home town Daura, where he would vote and monitor the elections which were barely 48 hours away.
The Committee’s meeting with General Buhari went well. Like President Jonathan, he too had a lot on his chest; mostly allegations of plots by the PDP to cling to power at all costs. The pain in his voice was very palpable. Having lost three presidential elections under some times controversial circumstances, it was natural that he would feel that the same forces were working against to keep him out of power.
As the meeting progressed, the need to get both President Jonathan and General Buhari to sit down together to clear the air became even more pertinent. The next two hours proved to be the most action packed in the work of the Committee. Following a flurry of telephone calls to the Villa that began around 6am that morning, the Committee was able to persuade President Jonathan to alter his schedule (i.e. the trip to Warri that morning) and join in the meeting with General Buhari at the Sheraton Hotel so both men can iron things out and find common ground.
President Jonathan stopped on his way to the airport to join the meeting and behind closed doors, the Committee facilitated a robust but thoughtful dialogue with both sides listening to one another and clarifying the issues. It was a good meeting and a good outcome. There had been enough trust and confidence between the two parties to remove on both sides. The Chairman of the two parties were supposed to be at the meeting as witnesses, but unfortunately, it was only Dr. John Oyegun, Chairman of the APC who was there from the start. The Chairman of the PDP, Alhaji Adamu Mu’azu could not make it in good time given how hastily the meeting was arranged but that did not change anything.
Over all things, we were relatively quiet as negotiations were going on. And with the result of the election all certain, the Committee in the evening got underway on Saturday, March 28. The Secretariat of the Peace Committee working with local and foreign election observer groups continued to monitor developments in the field to determine if and where the Committee’s intervention may be needed. Despite administrative hiccups in some areas and sporadic violence in others, the elections were largely peaceful and within two days, the official results began to trickle in from the States. By late afternoon of Tuesday, March 31, only two States – Yobe and Borno were yet to announce their state results. Shortly after, the chiefs of the APC and PDP met for five hours at the time the Committee had called them to the Villa where they met privately with President Jonathan and thanked him for his great courage and unprecedented act for which history would remember him. As the Committee members left the Villa, they were accosted by the State House Press and in a brief exchange, the Chairman explained that the Committee had come to thank President Jonathan for his great act of patriotism and statesmanship in conceding the elections.
From the outset, the Committee’s primary concern has always been how to get the defeated candidate to accept the outcome of the election by conceding promptly and unequivocally. The winner naturally has a much easier task; to be convinced that the result is correct. But the APC’s General Buhari who informed him that President Jonathan had only minutes earlier called to concede the elections, he particularly asked the Committee to please convey his good wishes to President Jonathan for his great act of statesmanship. Shortly after, the chiefs of the APC and PDP met for five hours at the time the Committee had called them to the Villa where they met privately with President Jonathan and thanked him for his great courage and unprecedented act for which history would remember him. As the Committee members left the Villa, they were accosted by the State House Press and in a brief exchange, the Chairman explained that the Committee had come to thank President Jonathan for his great act of patriotism and statesmanship in conceding the elections.
At this point, the Buhari Campaign team were yet to address the press on the historic development and as such many Nigerians got the news of the concession from Gen. Abubakar’s brief media scrum with State House Correspondents which perhaps helped create the wrong but widespread impression that the Committee sat with President Jonathan at the Villa as the results came in and had directly prevailed on him to concede.
From the Villa, the Committee went straight to General Buhari’s campaign headquarters in Abuja through thousands of enthusiastic supporters along the street to get to the building. At the meeting General Buhari again urged the Committee to convey his appreciation to President Jonathan for his uncommon act of statesmanship while the Committee members who spoke emphasized the need for the President-elect to do all he could to unite and heal the country by being a President and father to all now that the election was over.
There is no need to restate the historic outcome of the elections and the reactions of both Nigerians and the international community. The Committee had earlier announced that the Committee was widely acknowledged and effusively praised. Not surprisingly, the committee played host to several organizations which came to both congratulate and also express support for the success of the elections.
- **March 31, 2015** - The Committee met with the full delegations of the AU, ECOWAS and the Commonwealth Elections Observer Missions. It was basically a thank you visit by the missions to the Committee for a job well done. Former President Kufor of Ghana led the ECOWAS delegation while Ex-Liberian President John Amos Sawyer led the AU team. The Commonwealth Mission was led by the former President of Malawi Dr. Bakili Muluzi.
- **April 1, 2015** - The European Union Election Observer Mission led by Mr. A. Santasana Fisas (MEP) accompanied by the Head of the European Union Delegation to Nigeria and ECOWAS Ambassador Michel Azon, paid a courtesy visit to the Peace Committee Chairman General Abdulsamad Abubakar at the Kukah Centre. The delegation acknowledged the work of the Committee in the peaceful outcome of the election and promised to continue to support Nigeria’s reform and democratization.
- **April 9, 2015** - With two days to the governorship and State Assembly elections, the Peace Committee met with leaders of Civil society groups (including the International Group for Security Situation Room) to assess the potential of violence around the States with a view to determining where its intervention may be needed. On the whole, there was great optimism given the reality of the peaceful nature of the Presidential elections.
- **April 16, 2015** - The Committee reconvened five days after the April 11 governorship elections to take stock now that both sets of elections (Presidential and National Assembly/Governorship and State Houses of Assembly) have been completed. Several local and international stakeholders were invited to the meeting. All noted with satisfaction the relative peace witnessed in most States during the Governorship elections such that the intervention of the Committee was rarely required. However, the European Union Observer Mission requested that it hold a final meeting to present its preliminary report on the election and implored the Committee to use its influence to champion the cause of electoral reforms in the country. Following this meeting, the Committee adjourned indefinitely.
Below are some of the key meetings the Committee had immediately following the elections:
Following the very successful outcome of the election, the question now turned to the future of the Committee. For many Nigerians, the Committee was very instrumental to the outcome of the election and thus should not be dismantled or terminated. It had literally been entwined in the process of the elections as they were held in extremely intractable conflicts in various parts of the country. On its part, the Committee felt it needed to consult with Nigerians, particularly the emergent political leadership, particularly at the national level before deciding on its future.
Much as the Committee appreciated the public acclaim, it still felt that there was need to do some internal reflection about its future. Thus, the Committee resolved, but to seek the views of a cross section of the Nigerian society on the way forward. The Committee decided that the lessers of the ruling party, the APC, would be the best during which the transition both the Presidency and the National Assembly were successfully conducted; the Committee convened (Draft 10) to gauge the public mood about its future. The following meetings were critical deciding the Committee’s future:
- **July 30, 2015**: The Committee met with the United Nations Secretary General for West Africa, Dr. M. Ibn Chambas. Dr. Chambas and his team had been very active in encouraging and supporting the work of the Committee. The UNDP had literally been entwined in the work of the Committee as they were responsible for funding the logistics meetings of the Committee.
In his comment at the meeting, Dr. M. Ibn Chambas spoke eloquently on behalf of Civil Society in appreciation of the work of the Committee. He also insisted that the Committee needed to institutionalize itself immediately. The Media was represented by Segun Aderiniyi, a former Presidential Spokesman to the late President Yar’adua and a very informed commentator on Nigerian politics. Mr. Aderiniyi said that he was very familiar with the workings and the contentious issues it has had to address. However, it was instructive that now that the elections were over, the PDP which lost power was now accusing the new APC government of the same crimes of intimidation, harassment, and blackmail. The same kind of accusations that the opposition had made while they were contesting the elections. The lesson here was that there was need for eternal vigilance. In the end, both sides strongly endorsed the Committee continuing its good work.
- **On August 10, 2015**: The Committee continued the consultation with political parties considering immediately to a peace council with a mandate that goes beyond the elections.
- **On August 11, 2015**: The Committee visited the National Assembly to meet with the Senate President and the Speaker of the Federal House of Representatives along with their principal officers. Although the meetings were separate, the enthusiasm was the same as both meetings. They were all of the view that the work of the Committee had greatly contributed to the success of the elections and that it was necessary to continue to help stabilize Democracy in Nigeria.
The Media and Civil Society groups at the meeting
necessary to ensure that the Committee is supported to continue its work. The Senate President and the Speaker at the two different meetings held in May and June, respectively, have been made aware that they have been ready to support whatever legislative initiatives were required to institutionalize the work of the Committee.
- **August 12, 2015:** The Committee met with former President Goodluck Jonathan to again thank him for his statesmanship in conceding the election. On the whole, the meeting was cordial. The President commended the Committee for its professionalism and integrity in peacefully election and pledged to continue to work to consolidate democracy in the country and the continent at large. The same day (August 12, 2015) the Committee met with President Buhari at the Villa with the Vice President Prof. Yemi Osinbajo in attendance.
The Committee again congratulated the President on his historic electoral victory. It also urged him to maintain the democratic ethic against corruption and to ensure that the process is followed in its execution. On his part, President Buhari who was very warm in his reception commended the Committee for its work and was enthusiastic in endorsing its transformation into a Council. In fact, he had the Committee to deliver a message to the Office of the Secretary to the Government of the Federation with a view to securing a permanent office for its work.
The National Peace Committee, though having no legal enforcement powers, emerged as the most credible and trusted body in the 2015 electoral process. This was partly due to the high moral authority it commanded in the minds of Nigerians given the reputation it had built over the years, along with the professionalism of its members. The profile and integrity of the members of the Committee contributed to its independence as they could not be easily manipulated or intimidated by the government or any political party.
Further, the National Peace Committee functioned as a voluntary body whose members were not paid any salary or sitting allowances. Most remarkably, the Committee helped to turn what was expected to be Nigeria’s most violent election into the most peaceful and harmonious in Nigeria’s electoral history. For the first time, an incumbent President conceded defeat to his opponent even before the final results were announced.
Given what has been the culture of sit tight leadership in Africa where leaders have often preferred to sacrifice the lives of their people on the altars of their own ambitions, and given even Nigeria’s experience with its own leaders seeking to manipulate their ways into power, the outcome indeed worth celebrating. This also had a direct knock on effect on later developments in the subsequent elections that followed. The nation watched as many politicians and members of the opposition parties, who had previously been highly contemptuous of the Committee, conceded to their opponents. For the first time, Nigeria’s elections almost turned out to be a celebration of brotherhood and sisterhood in what can at best be described as the burgeoning of our nascent democracy.
Indeed, in summary, the National Peace Committee’s impact on Nigeria’s electoral process can be summarized as follows:
- Established the culture and practice of acceptance of outcome of elections even by the losers, through persuasion, dialogue, confidence and peace building measures.
- The 2015 General elections witnessed the lowest number of court cases. For the first time since 1999, the Presidential Elections were not contested in court.
- The culture and practice of acceptance of election results staved Nigeria from the ugly past of post-electoral violence. The cost of lives and property that could have been destroyed, in post-electoral violence in 2015 would have been unquantifiable.
- Restored confidence to the Nigerian democracy as having matured and capable of self-stabilization.
Since the 2015 General Elections, the Committee has intervened in the Southern Kaduna violent conflicts and has worked with NEC in helping stabilize the volatile security situation in Rivers State that enabled the electoral body successfully conduct much delayed rerun elections in the State in late 2016.
ABUJA ACCORD
On the Prevention of Violence and Acceptance of Elections Results by Presidential Candidates and Chairpersons of Political Parties contesting the 2015 General Elections
We, the undersigned Presidential Candidates of the under-listed political parties contesting in the General Elections of 2015,
Desirous of taking proactive measures to prevent electoral violence before, during and after the elections;
Anxious about the maintenance of a peaceful environment for the 2015 General Elections;
Reaffirming our commitment to the Constitution of the Federal Republic of Nigeria; and
Desirous of sustaining and promoting the unity and corporate existence of Nigeria as an indivisible entity;
Determined to avoid any conduct or behaviour that will endanger the political stability and national security of Nigeria;
Determined to place national interest above personal and partisan concerns;
Reaffirming our commitment to fully abide by all rules and regulations as laid down in the Legal Framework for Elections in Nigeria;
Hereby commit ourselves and our parties to the following:
1. To run issues-based campaigns at national, state and local government levels; In this, we pledge to refrain from campaigns that will involve religious incitement, ethnic or tribal profiling, both by ourselves and by all agents active in our names;
2. To refrain from making, or causing to make in our names or that of our party, any public statements, pronouncements, declarations or speeches that have the capacity to incite any form of violence, before, during and after the elections;
3. To commit ourselves and political parties to the monitoring of the adherence to this Accord by a National Peace Committee made up of respected statesmen and women, traditional and religious leaders;
4. All institutions of government including INEC and security agencies must act and be seen to act with impartiality;
5. To forcefully and publicly speak out against provocative utterances and oppose all acts of electoral violence whether perpetrated by our supporters and/or opponents; and
Adopted in Abuja this 14th Day of January, 2015
Signed
Presidential Candidate
Tunde Antofovoche-Kelani
Action Alliance (AA)
National Chairman
Hon. Mohammed Lawal Nalado
Action Alliance (AA)
6. Ambrose Albert Osarua
Hope Democratic Party (HDP)
Ambrose Albert Osarua
Hope Democratic Party (HDP)
7. Prof. Comfort Olulemi Sonaiya
Kowa Party (KP)
Abdul Umar Mustapha
Kowa Party (KP)
8. Martin Onono
National Conscience Party (NCP)
Dr. Yumusa Tunku
National Conscience Party (NCP)
9. Dr. Goodluck Ebele Jonathan GCFR
Peoples Democratic Party (PDP)
Dr. Mircizu Adamu GCFR
Peoples Democratic Party (PDP)
10. Barr. Gordon Okoye
United Democratic Party (UDP)
Barr. Gordon Okoye
United Democratic Party (UDP)
11. Chief Chiekwas Okorie
United Progressive Party (UPP)
Chief Chiekwas Okorie
United Progressive Party (UPP)
Dr. Tomusia Taphko
Chairman, Inter-Party Advisory Council
Special Adviser to the President on Inter Party Affairs
1. Dr. Rafiu Salau
Alliance for Democracy (AD)
Senator Mojisoluwa Akinfenwa
Alliance for Democracy (AD)
2. Alhaji Ganiyu Galadima
Allied Congress Party of Nigeria (ACPN)
Alhaji Mohammed Sami
Allied Congress Party of Nigeria (ACPN)
3. Dr. Nami Ibrahim Ahmad
African Democratic Congress (ADC)
Chief Ralphs Okoy Nwosu
African Democratic Congress (ADC)
APPENDIX 2
MEMBERS OF THE NATIONAL PEACE COMMITTEE FOR 2015 GENERAL ELECTIONS
General Abubakar, GCFR
Former Nigerian Head of State; he organized the political transition programme in 1999 and handed over to an elected President. General Abubakar has since become a renowned conflict mediator within the Continent.
Col. Sambo Dasuki (rtd), CFR
National Security Adviser
Commodore Ebiri Ukwie, GCON
Former Chief of General Staff and the Second in Command during the regime of former Military President, Gen. Ibrahim Babangida(rtd).
Professor Attahiru Jega, CFR
Chairman, Independent National Electoral Commission (INEC)
His Eminence Sultan Siraj Abubakari III
Sultan of Sokoto and head of the Nigerian Supreme Council for Islamic Affairs.
Chief Ezekiel Ayinde (rtd), CON
Chairman of the Occasion
Professor Amene Guobadia
A Professor of Law
Professor Zaynab Alkali (Mrs)
Renowned Novelist and Literary Scholar; she was former Deputy Vice Chancellor, Bayero University, Kano and currently at the Nasarawa State University, Keffi.
Alhaji Mike Dangote
Renowned Business Mogul and President of Dangote PLC
Pastor Ayo Orisagaja
President of the Christian Association of Nigeria (CAN)
His Eminence John Cardinal Onaiyekan
Catholic Archbishop of Abuja Diocese
Dame Priscilla Kuye
Life Bencher and Former President of the Nigeria Bar Association (NBA)
Archbishop Nicholas Okoh
Primate Head of the Anglican Church of Nigeria
Justice Rose Ukeje (Mrs)
Retired Jurist and Former President, Federal High Court
Professor Ibrahim A. Gambari
Former Foreign Affairs Minister, Federal Republic of Nigeria and former Under Secretary General, United Nations
Mr Sam Amuka
Eminent Journalist and Publisher of Vanguard Newspapers
Professor Bolaji Akinyemi
Professor of Political Science and former Foreign Affairs Minister of the Federal Republic of Nigeria
Bishop Matthew Kukah
Convener of the Committee, Catholic Bishop of Sokoto Diocese and Founder of the Kukah Centre
COOPTED MEMBERS REPRESENTING INSTITUTIONS/ POLITICAL INTERESTS
Dr. Adamu Nuszu
National Chairman, Peoples Democratic Party (PDP)
Chief John Odigie-Oyegun
National Chairman, All Progressives Congress (APC)
Professor Attahiru Jega
Chairman, Independent National Electoral Commission (INEC)
Senator Dr. Ben Obi, CON
Special Adviser to the President (Inter-Party Affairs)
Dr. Yunusa Zainko
Chairman, Inter-Party Advisory Committee (IPAC)
APPENDIX 3
RENEWAL OF OUR PLEDGES
TO PEACEFUL ELECTIONS
Joint Statement issued by His Excellency, President Goodluck Ebele Jonathan, GCFR and Major General Muhammad Buhari, GCFR on Thursday, 26th March, 2015, ahead of the 2015 Presidential Elections.
Press Conference at the Board Room of the Yorashua Centre, Abuja on the National Peace Committee for the 2015 General Elections
by Bishop Matthew Hassan KUKAH
You may recall that on the 14th of January 2015, both of us, along with nine other party leaders signed what has now come to be known as the Abuja Accord. The substance of that Accord was our commitment to free, fair and credible elections in our dear country.
In the Accord, we agreed to, among other things: Run an issue-based campaign and pledge that our electoral campaigns will not involve any religious incitement, ethnic or tribal profiling, both by ourselves and all agents acting in our names.
Now that the campaigns have come to an end, we meet today to renew our pledge for peaceful elections. We therefore call on all fellow citizens of our dear country, and our Party supporters, to refrain from violence or any acts that may in any way jeopardise our collective vision of a free, fair and credible election. In addition, we call on INEC and all Security Agencies to ensure strict adherence to their constitutional roles. We also pledge to respect the outcome of free, fair and credible elections.
Today, we again renew our commitment to a united, democratic and prosperous Nigeria. We want to appeal to all Nigerians to stand together at this critical phase of our nation’s history.
Long live the Federal Republic of Nigeria. God bless you all!
* To refrain from making or causing to make in our names and that of our party, any public statements, pronouncements, declarations or speeches that have the capacity to incite any form of violence before, during and after the elections
* To commit ourselves and political parties to the monitoring of the adherence to this Accord by a National Peace Committee made up of respected statesmen and women, traditional and religious leaders.
* All institutions of government including INEC and the security agencies must act and be seen to act with impartiality.
* To forcefully and publicly speak out against provocative utterances and oppose all acts of electoral violence whether perpetuated by our supporters and/or opponents.
Immediately after the signing of the Accord, action was initiated to bring this about.
A group of eminent persons, reflecting the above ideals and objectives was immediately composed across the country and is made up of the following:
1. General Abdussalam ABUBAKAR (rtd.)
2. Commodore Ebtu UKIWE (rtd)
3. John Cardinal ONAYEKAN
4. Sultan Sàdàr AHUBAKAR
5. Alhaji Muhammad MUSDAFA
6. Archbishop Nicolas OKOH
7. Pastor Ayo ORITSEJAFOR
8. Justice Rose UKEJE (ret’d).
9. Aliko DANGOTE
10. Professor Ibrahim GAMMARI
11. Professor Bolaji AKINFEMI
12. Professor Ameez GOUBADJA
13. Professor Zaynab ALKALI
14. Mr. Sam AMIKA
15. Bishop Matthew Hassan KUKAH
16. Dame Priscilla KUYE
In attendance: Representing political parties and INEC:
1. Professor Attahiru Jega, Chairman, Independent Electoral Commission (INEC)
2. Dr. Adamu MUZU, Chairman, Peoples’ Democratic Party (PDP)
3. Dr John OYEJUN, Chairman, All Progressive Congress (APC)
4. Senator Ben OBI, Special Adviser to the President on Inter-party Affairs
5. Dr. Yunusa TANKO, Chairman, Inter-Party Advisory Council of Nigeria
The Terms of Reference of the Committee in the spirit of the Accord include the following:
* To observe and monitor compliance with the Abuja Accord signed by the political parties on January 14, 2015.
* To provide advice to the government and the NEC on resolution of political disputes and conflicts arising from issues of compliance with the Abuja Accord.
* To make itself (the Committee) available for national mediation and conciliation in the case of post-electoral dispute or crises.
The Committee held an inaugural meeting on Sunday, January 25th at the Sheraton Hotel and Towers in Abuja. The meeting was chaired by Commodore Ukeje. Some special guests in attendance included His Excellency, Dr. Mohammed Ibn Chambas, Special Representative to the UN Secretary General on West Africa; the Resident Coordinator of the UNDP and Head of the UN System in Nigeria, Mr. Paouada Toure; representative of the Department of International Development (DFID), Ms. Catherine Weiss, a representative from the Annan Foundation, Mr. David Lambo from the Institute for Humanitarian Dialogue, Mr. Paschal Holliger from the Swiss Embassy among others. They brought the good wishes of their organisations and expressed their willingness to support the process.
The main meeting of the Committee is scheduled for Monday, February 2, 2015. This meeting will be presided over by the Chairman, General Abdulsalami Abubakar who is taking time off from his very busy schedule in the negotiations in South Sudan. We hope that within the brief period available to us, the Committee will map out some clear initiatives it intends to take to realize its objectives.
We must note though that this initiative is meant to build on the historic gesture which the candidates themselves demonstrated by not only signing the document but going further to embrace one another, thus showing their commitment to putting the nation before anything else. We are most pleased by this.
We will be reaching out to you all. Our plans and hopes are that each and everyone of you will see us merely as a symbolic expression of the hopes of our people with the firm belief that we will allow God to guide us and lead us to the right path. Our intention is o help give hope to the contestants that Nigerians are not watching in judgment, but that we are here to encourage them and encourage one another.
We deeply appreciate the show of concern by the international community and we know that we can continue to count on their support. With God on our side, we shall, as the saying goes, do bravely. I want to thank you gentlemen of the media and plead with you to appreciate your critical role. Be more discerning in what you report and remember that whatever you put out, people will have reason to make reference to you.
We are not unaware that there are many other initiatives going on at different levels. We are very much encouraged by the foot soldiers of Democracy, the members of the Civil society family. We are here and open to collaboration and co-operation with everyone who believes we can work together. Time is not on our side, but as they say, a day is a long time in politics. We can still do much.
The KUKAH CENTRE has been saddled with the responsibility of holding and managing this process. We are here and the Director of the Centre, Dr. Arthur–Martins Agnam is here with me. I am playing the double role of being a member of the Committee but also the ping to coordinate the entire process. We are working towards strengthening our modest Secretariat and we plead with you to bear with us. As you can see, the Chairmen of both Parties and INEC are in attendance so that we can harmonise our goals and objectives. We shall keep you well informed as we go along. We hope to see you after our meeting on Monday.
I am here with a member of the Committee, Professor Akinnemi. We will be able to take a few questions from you about the Committee. Thank you very much and God bless you.
PRESS STATEMENT OF THE NATIONAL PEACE COMMITTEE ON THE RE-SCHEDULING OF THE 2015 GENERAL ELECTIONS
February 10, 2015
The National Peace Committee for 2015 General Elections has taken note of the decision of the Independent National Electoral Commission (INEC) to re-schedule the Presidential and Legislative Elections from 14 February to 28 March 2015, and the Gubernatorial and State Legislative Elections from 28 February to 11 April. The Committee notes in particular, that INEC made the decision after due consultations with a wide range of stakeholders, notably State Security agencies, Political Alliances, Civil Society organizations among others. The Committee notes further that the re-scheduling is predicated on the need to allow the security agencies to provide adequate security for the holding of elections throughout the Federation.
While taking note of the divergent positions of the political parties on the issue, the Committee wishes to commend them for their matured response and commitment to respecting INEC’s decision in the interest of national unity and peace. In particular, it commends the understanding shown by the Presidential Candidates.
In the light of these developments, the Committee calls on all Nigerians to remain calm and the political parties to recommit themselves to the ideals of the Abuja Peace Accord. Further, the Committee urges INEC to take advantage of the postponement to enhance its preparedness for the elections, including in particular, the distribution of the PVCs to ensure that no eligible voters are disenfranchised.
Finally, the Committee wishes to express its profound gratitude to the international community for their abiding commitment to the conduct of transparent and credible elections in accordance with the provisions of the Nigerian Constitution. God bless Nigeria.
General Abubakar (Rtd.) (SCFR)
(Former Head of State and Chairman, National Peace Committee for 2015 General Elections)
AN APPEAL FOR CALM
March 30, 2015
1: We want to first thank God for the very successful conduct of the first phase of our elections last Saturday. Across the entire country, we were gratified to receive news of huge turnouts of our people to cast their votes. Nigerians across the different segments of our society conducted themselves in a most peaceful and credible manner. They patiently stood with equanimity, co-operated with the officials of INEC in areas where minor glitches occurred with card readers, late arrival of officials and materials along with other logistical challenges. We saw voters supporting one another with food and water, seats, mats, umbrellas and so on. We watched the young assist the elderly. We showed that our common humanity is more important than political differences. We could not have asked for more from our people. Our citizens performed their civic duties faithfully and we are very proud of what we achieved as a people.
2: Now, we are entering the most difficult phase namely, the vigil before the declaration of the results. We want to commend our people especially the security agencies, civil society groups and the Internet community. The social media is a great tool for enhancing accountability and transparency which all goes to strengthening Democracy. The social media has given us voice as individuals and communities. The challenge however, lies in how responsibly we use this great tool.
3: We must note that so far, no individual, institution or platform is allowed by law to announce the results of these elections, no matter how accurate or factual their information may be. We all
Statement by the National Peace Committee on the Eve of the Governorship and State Assembly Elections (April 10th 2015)
AN APPEAL TO NIGERIANS:
PLEASE CONTINUE TO KEEP THE PEACE
You will recall that in our Statement of March 27, 2015, we assured Nigerians that the two leading candidates, President Goodluck Ebele Jonathan, GCFR, and Major-General Muhammad Buhari, GCFR had both many dangers. This is where the anxieties and fears of Nigerians lie. This is where the land mines leading to violence are planted.
This is where conscience and patriotism beckon on us before God to do the right thing.
4: We therefore appeal to our citizens to remain calm, to INEC to ensure that its officials along with party agents uphold the tenets of transparency and accountability that the body has so much espoused. We call on the security agencies to remain vigilant and neutral. We renew our trust in the leadership of INEC and its commitment to doing the right thing.
5: We already have received the assurances of both the two leading candidates, President Goodluck Jonathan, GCFR and Major General Muhammad Buhari, GCFR to the effect that they are willing to cooperate with INEC so long as we have a transparent process. We therefore want to assure our citizens that we will all do everything in our power to ensure that Nigeria crosses this very difficult bridge. We appeal to you to remain calm to ensure that our nation is the final victor.
Long live the Federal Republic of Nigeria. God bless you all.
General Abubakar, GCFR, Chairman, National Peace Committee
Thank God and mercifully, the future now lies before us and it is within our grasp. Nigerians, right across the board must now step forward to take personal and community responsibility as to how we perform our civic duties.
Tomorrow, the nation goes to the polls again to conduct the last phase of the elections. Naturally, those who have been victorious would legitimately wish to consolidate their gains while those who may have suffered setbacks, would be committed to snatching victory. Here, we call again on all the contestants for the office of Governor and state Assemblies to appreciate that at this level, the elections should be easier to manage especially given that the leaders at the Federal level have shown us a good example.
Statement By the National Peace Committee on the Leadership Elections in The Senate (June 16th 2015)
We renew our gratitude to the Independent National Electoral Commission (INEC) and the Security Agencies again. Overall, they have done commendably well. INEC has promised to redress some of the lapses that followed the use of the Card Readers, the accreditation process and other logistical difficulties. INEC must redouble its effort in this regard, so that it can reinforce the confidence which Nigerians now repose in it. We appeal to fellow citizens, contestants and their supporters to continue to place the country before every individual or party interests. This is the enduring lesson we must all learn from these elections.
We note that up till now, some Nigerians, including leaders of communities, are still making some provocative and inciting statements capable of setting our people against themselves. We condemn this in the strongest terms. Nigerians must know that no matter their position, no one is above the law. We therefore call on the security agencies to remain vigilant.
Finally, we once again thank God the Almighty for His love and graciousness towards our country. We are grateful to the international members of the National and State Legislative Assemblies across the country for very successful and peaceful inaugurations recently. Nigerians at home and around the world watched with pride and gratitude to God as world leaders assembled from across the globe to show solidarity with our nation in its moment of historic joy.
2: Even the most optimistic of us did not imagine that we would be where we are today in Nigeria. Up till the last elections, the atmosphere after each election since 1999 has been poisoned by endless quibbles among the political elites, long drawn out appeals at Tribunals and occasional violence leading to loss of lives. Happily, this has not been the case since the last elections. All the doomsday prophets have watched as God has guided our nation. What else can we ask for?
3: This is why we have watched with some measure of sorrow, the unacceptable attitude of the members of the highest legislative body, the Senate of the Federal Republic of Nigeria in the last week. The supposed to have been peaceful process of electing the Principals officers has turned into a vicious interregime duel that threatens to undermine the moral authority and efficacy of that important body.
4: The story of the process leading to the elections of the principal officers in that august body in the last week is well known to all Nigerians. Given the maturity, track record and experience of the body, we wonder why a routine process has turned into an ugly, selfish dogfight. This is unacceptable to Nigerians. It neither dignifies the
Senate nor does it honour what Nigerians voted for. It is not the way to thank God for what He has done to those who were lucky to be elected to that high office, nor does it honour what He has done to our country.
5. We commend the members of the Lower House who have successfully concluded their process and are positioned to face their challenge of Law making. We therefore call on the members of the Senate to very quickly put their house in order.
6. We appreciate the anxieties of both the leaders of the All Progressive Congress (APC) and their members in the Senate. But this is at best a family quarrel that should not become a public spectacle. The challenge now is for the APC to justify the confidence that Nigerians placed on them when they bought into their mantra of CHANGE. We expect this CHANGE to be marked by personal and institutional acts of patriotism, altruism, discipline, decorum, maturity, sacrifice and decency.
We’ve recently come to the end of the holy month of Ramadan for millions of Nigerians, time of spiritual introspection and the request for God’s forgiveness. Therefore, it could be said that better time than now cannot be found for thoughtful, deliberate and unambiguous worthy of divine grace especially in the atmosphere of a steep rise in divisive and hateful rhetoric in our country. It is indeed, the appropriate time to underscore the imperative of peaceful co-existence of all communities and all Nigerians.
We cannot afford at this or any other time to stoke the fires of hate and divisiveness in our body politic especially when ordinary Nigerians are engaged in difficult struggles to secure their livelihood, amidst rising insecurity and increasing fear. We have lost too many of our citizens in random and diverse acts of violence. How many more must die or live living in desolation? Ten thousands of children have been orphaned by either the menace of Boko Haram or the fact of starvation in the face of food insecurity. In many parts of the country, mass killings go unabated and unresolved intercommunal clashes have become chronic economic devastations and growing social exclusion and feelings of alienation particularly among the youths are being exploited by segments of the elite with potentially dangerous and painful consequences for us all.
These developments are sources of serious concern for the Nigeria Peace Committee. We know, of course that we are not alone in our worries and would like to commend the Acting President, Professor Yemi Osinbajo, GCON, for engaging a wide spectrum of leaders to influence across the South and North with an agenda of peace of mind, stability and development. However, we have been taken by surprise by the current Nousehede the National Peace Committee appeals to further voices of leadership reason and moderation from all communities in the country to reinforce the message of the Acting President.
Bishop Matthew Hassan Kukah
Convenor
In this regard, the National Peace Committee acknowledges that the drums of rising division also reflect the perceptions by our citizens that there is poor governance in Nigeria today. Politicians who have failed in delivering on the mandate of the electorate for better livelihoods and neighbourhoods have, instead, found common cause with advocates of division and hate. In many parts of the country, young people who have been left without means of livelihood or hope in their future have become converts to radicalisation preached by demagogues in various guises including ethnicity and religion.
At this time in Nigeria, more than ever before, we need government at all levels, which work for the people, with commitment to respect for the rule of law and to the security and well-being of persons and communities in the country. We also need credible institutions: an economy that guarantees a fair deal and outcome for hardworking people; better physical infrastructures and an enabling environment in which citizens can thrive. The National Peace Committee therefore calls on State governments to commit to developing their own people more and relying less on Abuja to fund their consumption through monthly allocations. We also encourage the Acting President and the Federal Government to remain steadfast in the steps they are taking to reassure all communities and citizens of equal stake-holding in the Nigerian project. In brief, Nigerians need an effective state that we can all call our own.
To reinforce these steps, the National Peace Committee:
1. Appeals that on-going efforts to reach out to leaders from various parts of the country should be broadened into honest dialogue with all segments of the Nigerian population to ensure that ordinary citizens get the opportunity to convey their views to government at the highest levels and get carried along in the formulation and implementation of government policies;
2. Underscores the need for government to urgently work with the private and voluntary sectors to put in place measures to address the crisis of skills and jobs as key vectors of radicalisation;
3. Recommends to the federal government to review, update and enforce all laws relating to citizenship in Nigeria, to ensure the equality of all under the law;
4. Advises the government to consult on the possibility of examining the reports of the Political Reforms Conference of 2005 and other National Conferences as bases for further and continuing dialogue on co-existence among communities in Nigeria;
5. Calls on politicians to deny support to or endorsement of groups that harbour or express disdain for peaceful coexistence among Nigerians;
6. Supports the position of Government on the need to ensure effective enforcement of laws that prohibit hate and divisive speeches that constitute a threat to our constitutional and collective right to live in a democracy founded on free expression.
SIGNED:
General Abdusalam ABUBAKAR, GCFR, Most Rev. Matthew Hassan KUKAH (Chairman, NPC) (Convener, NPC)
Looking back now, it is quite intriguing how things have turned out for the Peace Committee. The idea of the Committee as noted in the body of this report was one of the many initiatives aimed at calming the ruffled up anxieties and fears that overtook the 2015 elections. It was also an opportunity to sustain the lofty visions of these Party leaders and women who had gathered in Abuja to address the issues of electoral violence among other themes. Essentially, the leaders of the different parties wanted to show the world their commitment to playing according to the rules. Here, great credit must go to Chief Ben Obi, the urbanite patriot and the Special Assistant to the President on Internal Affairs. He was who, in his position on Inter-Party Affairs, he convened this very important meeting.
President Goodluck Jonathan, whatever may have been his many failings, had signaled a deep concern about violence as a means of holding on to power, a trait that had become embedded in African politics. He had said openly that his political ambitions were not worth the life of any citizen. This was a vital signal that the nation needed. This meeting therefore was very timely.
I had received an invitation to be at the Conference of Political Parties and actually told Chief Obi that I would be at the event. Sadly, on that day, other developments made it impossible for me to be at the event. I had planned to call and apologize to him and seek further information as to how the event had done. Then, on the news, I was pleased to see the intense embrace between Major General Buhari and President Jonathan, the two leading contenders in the Presidential race.
At about 8:30pm that same evening, I received a call from Chief Emeka Anyaoku who had chaired the event. After the pleasantries, I feared he had called to scold me for not showing up at the conference. I immediately began to apologize for not attending the conference, but he calmly changed the topic and asked if I had ever met Mr. Kofi Annan. I told him I had not had the honour. He said he and Mr. Annan were at the Transcorp Hilton but, decided that he would better let me get on with my work. He said that it would do good to visit Mr. Annan was leaving for the airport within the hour.
I got into my car and headed to the Transcorp Hilton hotel. I met up with them in the 10th floor Suite of Mr. Annan. After the pleasantries, both men spoke briefly about the coming elections and the general concerns and fears within the nation and the international community about the possibility of electoral violence.
Chief Anyaoku said that the event at the Conference seemed to suggest that we have a window. He spoke of the significance of the warm embrace between the President and Major General Buhari. He informed me that all the participants of the Peace Parties who came to the event had done. Then, on the news, I was pleased to see the intense embrace between Major General Buhari and President Jonathan, the two leading contenders in the Presidential race.
I have always had the highest regards for this great statesman and his deep national patriotism and his worldwide experience. I really did not know what to say, but given that Mr. Annan was at this point anxious to leave that night, I nodded, shook hands with both of them and left the hotel.
On my way back, I contemplated how to go about this. Later, I spoke again briefly with Chief Anyaoku who mentioned one or two names to me but, decided that he would better let me get on with my work. He said that it would do good to visit Mr. Annan was leaving for the airport within the hour.
Each call I made, I tried to give an idea of who and more or less gave me the impression that the call was fully in my court.
My mind went back to a meeting I had attended with the Swiss Ambassador in his office about a month earlier. In the course of the meeting, he had spoken about the possibility of setting up a Committee of the Wise. We discussed the issues and it was a week or so later that I was given a list of the proposed members of the Committee. I recall that the Embassy had again turned to me and asked if I could help with contacting those on the list because, as the official put it: You know everyone in Nigeria and everyone knows you, so you can do this. I was not sure of the images then, but somehow, it all seemed to fall into place.
I spent a good part of that evening thinking of names, carefully mentally scanning the Nigerian landscape reflecting over a range of options and what should go into setting up such a Committee given the fractured nature of the Nigerian environment and our tendency to fear or insinuate all kinds of motives in constituting any platform. I thought hard taking into consideration these sensibilities, taking the best way to ensure balance, trust and acceptability of the members of the Committee. I reviewed the background and other relevant reports, researched and came up with a list of twenty names down about twenty names, see about making calls to them personally. From General Abubakar A. Abubakar, Commodore Ukwu, Cardinal Onayekan, Sultan Abubakar the first person on the list, everyone called responded positively and quite enthusiastically. People were really committed to serve and I was quite humbled by the trust of everyone that called.
Each call I made, I tried to give an idea of who and more or less gave me the impression that the call was fully in my court.
My mind went back to a meeting I had attended with the Swiss Ambassador in his office about a month earlier. In the course of the meeting, he had spoken about the possibility of setting up a Committee of the Wise. We discussed the issues and it was a week or so later that I was given a list of the proposed members of the Committee. I recall that the Embassy had again turned to me and asked if I could help with contacting those on the list because, as the official put it: You know everyone in Nigeria and everyone knows you, so you can do this. I was not sure of the images then, but somehow, it all seemed to fall into place.
spectrum, civil society and the nation. The international community, local and international observers of the elections were all very enthusiastic. The next challenge was the task of governance.
It was at this point that some sections of the political class began to wage a media campaign against the Committee, suggesting that the Committee had completed its work and needed to be disbanded. Well, it is a measure of the credibility of the Chairman and the entire Members of the Committee that even these critics have since come round to appreciate that the Committee still has a role to play in encouraging the political class to foster a peaceful environment for governance.
I want to personally thank the Chairman of the Committee and its Members for not only refusing such truculent calls on me, but further taking the Kukah Centre to offer Secretariat services to the Committee. It is my hope that the Committee will reposition itself and prepare to play a more active role in mobilizing our people to the path of reconciliation and progress so as to help achieve national cohesion. The task is great, but the future has more promise and we must hold on to this promise of a just and democratic society.
Matthew Hassan Kukah
Bishop, Catholic Diocese of Sokoto
Founder, The Kukah Centre
PHOTO GALLERY
- National Executive Council of the APC and the PDP’s post general Election Meeting with the Committee
Bishop Kukah & Prof. Akwamu at the Press Conference Announcing the Establishment of the Peace Committee (Jan 28, 2015)
Meetings of the Committee in Saki
Members of the Committee and their fixed post for a picture after meeting
Cannizier, Monsignor Nicholas Okey Golding/Onyekan Monitoring the Presidential Election Results on TV between meetings
Gen. A. Abubakar in a meeting with the EU Election Observer
Essential Time Conference Room of the Kukah Centre
Gen. A. Abubakar, Dr. Chibokas & Committee Member Abiko Dunguz
Bishop Kukah, General of Police, Lieutenant Abubakar and Chief of appearance before the Committee
Bishop Kukah, General of Police, Lieutenant Abubakar and Chief of appearance before the Committee
THE KUKAH CENTRE
The Centre was established by Bishop Kukah to enhance and encourage greater citizen engagement in Nigeria. The Kukah Centre is a nonprofit organization that promotes an active and engaged citizenry by providing support for inclusive dialogue and advocacy initiatives.
The Centre treats political leadership as a collaborative exercise and aims to promote governance structures which incorporate multiple levels of engagement, including individuals, households, small businesses, the private sector, NGOs and government.
Interfaith dialogue is at the core of the Centre's work and involves actively promoting conversations among Nigeria’s faith communities, as well as between leaders in faith and public policy.
For inquiries please contact:
Flat C1, American Specialist Hospital Complex,
(opposite Rockview Royale Hotel),
1, Luanda Crescent, Wuse 2,
Abuja - Nigeria
e-mail: email@example.com
website: www.thekukahcentre.org
|
SENATE
TUESDAY, June 3, 2014
The Senate met at 1 p.m., Eastern Daylight Saving Time.
The PRESIDENT (Lieutenant Governor Jim Cawley) in the Chair.
PRAYER
The Chaplain, Reverend CHUCK LOCKARD, Pastor of Church of the Nazarene, Homer City, offered the following prayer:
Let us pray.
Lord God, we acknowledge Your power, presence, and knowledge this afternoon in this Senate Chamber. We humbly ask for Your guidance upon our Senators as they conduct the affairs before them this day and throughout this Session. May each one honor You through their decisions concerning the betterment of the Commonwealth of Pennsylvania. May their conduct please You as well as making their constituents proud. Give each one the wisdom they need in determining what is best for the people of Pennsylvania. Give them courage to do what is best for America. Give them understanding beyond themselves in order to not only compete, but to win in today's global economy. Lord God, help each Member of the Senate to put their trust in You and to seek Your guidance so Pennsylvania may impact our global community in a way that pleases You. Thank you, Lord God, for hearing and answering our prayer. Amen.
The PRESIDENT. The Chair thanks Pastor Lockard, who is the guest today of Senator White.
PLEDGE OF ALLEGIANCE
(The Pledge of Allegiance was recited by those assembled.)
COMMUNICATIONS FROM THE GOVERNOR
NOMINATIONS REFERRED TO COMMITTEE
The PRESIDENT laid before the Senate the following communications in writing from His Excellency, the Governor of the Commonwealth, which were read as follows and referred to the Committee on Rules and Executive Nominations:
MEMBER OF THE PENNSYLVANIA COUNCIL ON AGING
June 3, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Brenda L. Hage, Ph.D., CRNP, 73 Briarcrest Road, Dallas 18612, Luzerne County, Twentieth Senatorial District, for reappointment as a member of the Pennsylvania Council on Aging, to serve until October 8, 2016, and until her successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA COUNCIL ON AGING
June 3, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Estella M. Hyde, 14176 S. Townline Road, Linesville 16424, Crawford County, Fifteenth Senatorial District, for reappointment as a member of the Pennsylvania Council on Aging, to serve until October 8, 2016, and until her successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA COUNCIL ON AGING
June 3, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, John Kordish, 718 Lincoln Avenue, Curwensville 16833, Clearfield County, Thirty-fifth Senatorial District, for appointment as a member of the Pennsylvania Council on Aging, to serve until October 8, 2016, and until his successor is appointed and qualified, vice Judith Harding, Noxen, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA COUNCIL ON AGING
June 3, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Orla M. Nugent, 16 Golfview Lane,
Reading 19606, Berks County, Eleventh Senatorial District, for reappointment as a member of the Pennsylvania Council on Aging, to serve until October 8, 2016, and until her successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA COUNCIL ON AGING
June 3, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Gwendolyn M. Ogle, 206 Canterbury Drive, Moon Township 15108, Allegheny County, Thirty-seventh Senatorial District, for reappointment as a member of the Pennsylvania Council on Aging, to serve until October 8, 2016, and until her successor is appointed and qualified.
TOM CORBETT
Governor
HOUSE MESSAGES
HOUSE CONCURS IN SENATE BILLS
The Clerk of the House of Representatives returned to the Senate SB 1045 and SB 1254, with the information the House has passed the same without amendments.
SENATE BILL RETURNED WITH AMENDMENTS
The Clerk of the House of Representatives returned to the Senate SB 1077, with the information the House has passed the same with amendments in which the concurrence of the Senate is requested.
The PRESIDENT. Pursuant to Senate Rule 13(c)(2)(i), the bill will be referred to the Committee on Rules and Executive Nominations.
BILLS INTRODUCED AND REFERRED
The PRESIDENT laid before the Senate the following Senate Bills numbered, entitled, and referred as follows, which were read by the Clerk:
June 3, 2014
Senators DINNIMAN, RAFFERTY, STACK, SCHWANK, KASUNIC, FONTANA, SMITH, GREENLEAF, HUGHES, YAW and WILEY presented to the Chair SB 1376, entitled:
An Act amending the act of April 14, 1972 (P.L.221, No.63), known as the Pennsylvania Drug and Alcohol Abuse Control Act, further providing for definitions; providing for opioid-related drug overdose death prevention programs; imposing duties on the Department of Drug and Alcohol Programs and the Department of Health; and making editorial changes.
Which was committed to the Committee on PUBLIC HEALTH AND WELFARE, June 3, 2014.
Senators YUDICHAK, ERICKSON, EICHELBERGER, FARNESI, TEPLITZ, FONTANA, COSTA, BREWSTER, SMITH, HUGHES, VULAKOVCH, RAFFERTY and BRUBAKER presented to the Chair SB 1398, entitled:
An Act amending Title 65 (Public Officers) of the Pennsylvania Consolidated Statutes, further providing for short title of chapter, for purpose and for definitions; providing for establishment and operation of nominating committee, for Pennsylvania Public Integrity Commission, for limitations on activities by commissioners and employees, for powers and duties of commission, for authority, qualification, training and identification of investigative employees designated as law enforcement officers, for photo identification, for immunity of witnesses and for enforcement of subpoenas; further providing for restricted activities, for statement of financial interests required to be filed, for State Ethics Commission, for its powers and duties, for investigations by commission and for penalties; providing for costs, restitutions and forfeiture; and further providing for wrongful use of chapter; providing for disclosure of executive session testimony and investigative records, for privileged statements and reports, for commission disclosure of economic interests and for applicable statutes.
Which was committed to the Committee on STATE GOVERNMENT, June 3, 2014.
Senator CORMAN presented to the Chair SB 1400, entitled:
An Act providing for the capital budget for the fiscal year 2014-2015.
Which was committed to the Committee on APPROPRIATIONS, June 3, 2014.
RESOLUTION INTRODUCED AND REFERRED
The PRESIDENT laid before the Senate the following Senate Resolution numbered, entitled, and referred as follows, which was read by the Clerk:
June 3, 2014
Senators SMITH, FONTANA, TEPLITZ, FERLO, KASUNIC, BREWSTER, VULAKOVICH, COSTA, ARGALL, GORDNER, STACK, YUDICHAK, WILEY, HUGHES, SOLOBAY, TARTAGLIONE, BOSCOLA and FARNESI presented to the Chair SR 396, entitled:
A Resolution directing the Legislative Budget and Finance Committee to conduct a comprehensive study of workforce investment programs of the Commonwealth and their effectiveness.
Which was committed to the Committee on LABOR AND INDUSTRY, June 3, 2014.
BILLS SIGNED
The PRESIDENT (Lieutenant Governor Jim Cawley) in the presence of the Senate signed the following bills:
SB 1045 and SB 1254.
BILLS REPORTED FROM COMMITTEES
Senator YAW, from the Committee on Environmental Resources and Energy, reported the following bills:
SB 1256 (Pr. No. 2079) (Amended)
An Act establishing a Heritage Areas Program to identify, protect, enhance and promote the historic, recreational, natural, cultural
and scenic resources of this Commonwealth and to stimulate community revitalization and economic development through regional heritage conservation, recreation, tourism and partnerships; and making a related repeal.
**SB 1262 (Pr. No. 2080) (Amended)**
An Act amending the act of April 8, 1949 (P.L.418, No.58), entitled, "An act to provide for and regulate the accumulation, investment, and expenditure of funds by cities, boroughs, incorporated towns and townships for preparing plans for sewage disposal systems, and for the construction, improvement or replacement of sewage disposal systems for which plans have been approved by the Sanitary Water Board of the Commonwealth," further providing for definitions, for creation of a Sewage Disposal System Fund and for expenditure of fund; providing for expenditure of public funds for private lateral sewer lines; and further providing for grants of moneys.
**SB 1355 (Pr. No. 1980)**
An Act amending the act of July 10, 1984 (P.L.688, No.147), known as the Radiation Protection Act, in fees, further providing for nuclear facility and transport fees.
Senator FOLMER, from the Committee on Education, reported the following bills:
**SB 1388 (Pr. No. 2064)**
An Act amending the act of March 10, 1949 (P.L.30, No.14), known as the Public School Code of 1949, repealing provisions relating to report of racial and ethnic groupings, to study of public schools that provide Internet instruction, to corporate seal, to submission of plans, to approval of plans, to disapproval of plans, to department of public instruction to prepare plans, to establishment of reorganized school districts, to advance establishment, to special school watchmen-school districts in townships of the second class, to copies of school laws, to educational broadcasting, to residences for teachers and janitors, to heating stoves to be shielded, to ventilation and thermometer, to fireproof construction, to doors to open outward and fire escapes, etc., to water-closets and out-houses, to completion of abandoned WPA projects, districts of the third and fourth class, to condition of grounds and shade trees, to summer schools, etc., to possession of telephone pagers prohibited, to nonprofit school food program, to antitruancy programs, to medical care for children under six with defective hearing, to report, to care and treatment of pupils and to local wellness policy; further providing for fire and emergency evacuation drills; repealing provisions relating to foreign language academies, to monthly reports to school directors in districts second, third and fourth class, to alcohol, chemical and tobacco abuse program, to read to succeed, to reporting, to department duties and powers; further providing for duties of State Board for Vocational Education and reports; repealing provisions related to schools or classes, supervisors, principals, instructors and etc., to estimate of expenses and reimbursement and appropriations and to teachers of evening schools; further providing for powers and duties of the board of trustees; repealing provisions related to annual report, to duties of public institutions of higher education, to medical education loan assistance, to special study on the revenue impact of out-of-State tax credits, and to powers and duties of the board and to reports and recommendations.
**HB 803 (Pr. No. 3643) (Amended)**
An Act amending the act of March 10, 1949 (P.L.30, No.14), known as the Public School Code of 1949, in school health services, providing for school access to emergency epinephrine.
**HB 1816 (Pr. No. 3644) (Amended)**
An Act amending the act of March 10, 1949 (P.L.30, No.14), known as the Public School Code of 1949, in certification of teachers, further providing for continuing professional development; providing for baccalaureate certification basic skills; and further providing for Pennsylvania School Leadership Standards.
**HB 2013 (Pr. No. 2997)**
An Act amending the act of March 10, 1949 (P.L.30, No.14), known as the Public School Code of 1949, in school directors, further providing for filling of vacancies.
**HB 2106 (Pr. No. 3175)**
An Act amending the act of June 27, 1991 (P.L.70, No.10), entitled "An act requiring the superintendent of every public school district to make available, upon request, lists of graduating seniors to armed forces recruiters; and providing a penalty for the misuse of any such lists," further providing for title and for legislative intent; providing for short title and for definitions; and further providing for list of seniors to be compiled, for optional compliance by nonpublic schools and for reimbursement of costs.
Senator MENSCH, from the Committee on Veterans Affairs and Emergency Preparedness, reported the following bills:
**SB 1342 (Pr. No. 1975)**
An Act amending Title 35 (Health and Safety) of the Pennsylvania Consolidated Statutes, providing for incentives for municipal volunteers of fire companies and nonprofit emergency medical services agencies.
**SB 1377 (Pr. No. 2054)**
An Act amending Title 35 (Health and Safety) of the Pennsylvania Consolidated Statutes, in emergency telephone service, further providing for expiration of chapter.
**RESOLUTION REPORTED FROM COMMITTEE**
Senator MENSCH, from the Committee on Veterans Affairs and Emergency Preparedness, reported the following resolution:
**SR 397 (Pr. No. 2055)**
A Resolution urging the President of the United States and the Congress to immediately consider and pass H.R. 3930, which establishes the National Commission on the Structure of the Army.
The PRESIDENT. The resolution will be placed on the Calendar.
**LEGISLATIVE LEAVES**
The PRESIDENT. The Chair recognizes the gentleman from Delaware, Senator Pileggi.
Senator PILEGGI. Mr. President, I request temporary Capitol leaves for Senator McIlhinney and Senator Smucker.
The PRESIDENT. The Chair recognizes the gentleman from Allegheny, Senator Costa.
Senator COSTA. Mr. President, I request temporary Capitol leaves for Senator Smith and Senator Williams.
The PRESIDENT. Senator Pileggi requests temporary Capitol leaves for Senator McIlhinney and Senator Smucker.
Senator Costa requests temporary Capitol leaves for Senator Smith and Senator Williams.
Without objection, the leaves will be granted.
LEAVES OF ABSENCE
Senator PILEGGI asked and obtained a leave of absence for Senator ARGALL, for today's Session, for personal reasons.
Senator COSTA asked and obtained a leave of absence for Senator KASUNIC, for today's Session, for personal reasons.
JOURNAL APPROVED
The PRESIDENT. The Journal of the Session of April 28, 2014, is now in print.
The Clerk proceeded to read the Journal of the Session of April 28, 2014.
Senator PILEGGI. Mr. President, I move that further reading of the Journal be dispensed with and that the Journal be approved.
On the question,
Will the Senate agree to the motion?
The yeas and nays were required by Senator PILEGGI and were as follows, viz:
YEA-48
Alloway Farnese Pileggi Vance
Baker Ferlo Rafferty Vogel
Blake Folmer Robbins Vulakovich
Boscola Fontana Scarnati Wagner
Brewster Gordner Schwank Ward
Browne Greenleaf Smith Washington
Brubaker Hughes Smucker White
Corman Hutchinson Solobay Wiley
Costa Kitchen Stack Williams
Dimmnan Leach Tartaglione Wozniak
Eichelberger McIlhinney Teplitz Yaw
Erickson Mensch Tomlinson Yudichak
NAY-0
A majority of the Senators having voted "aye," the question was determined in the affirmative.
The PRESIDENT. The Journal is approved.
GUESTS OF SENATOR STEWART GREENLEAF PRESENTED TO THE SENATE
The PRESIDENT. The Chair recognizes the gentleman from Montgomery, Senator Greenleaf.
Senator GREENLEAF. Mr. President, I rise to introduce to the Senate Michael Thomas, who is a junior at Hatboro-Horsham High School and is 16 years of age. He broke the national age group record in winning the State 100-meter backstroke. He won that event by 46.65 seconds in the PIAA Class AAA State Swimming Championship. He surpassed the mark of 46.72 seconds in 2011. So, it was a relatively longstanding record that he broke. He also took second place in the 200-meter individual medley at the PIAA Class AAA Championship. He won a gold medal in the PIAA Class AAA District Boys' 100-meter backstroke and the 200-meter individual medley, setting district records at both events. He is here today with his coach, Kip Emig, and they are both in the balcony. I ask that they be introduced and welcomed.
The PRESIDENT. Would the guests of Senator Greenleaf please rise so that the Senate may give you its usual warm welcome.
(Applause.)
GUEST OF SENATOR PATRICK M. BROWNE PRESENTED TO THE SENATE
The PRESIDENT. The Chair recognizes the gentleman from Lehigh, Senator Browne.
Senator BROWNE. Mr. President, it is a pleasure for me to introduce to the Senate today a young man who is interning in my Allentown office who is assisting us with our legislative and constituent work, Andrew Berdahl. He is currently attending Muhlenberg College and is excelling in the majors of political science and religious studies. Please give him our usual warm Senate welcome.
The PRESIDENT. Would the guest of Senator Browne please rise so that the Senate may give you its usual warm welcome.
(Applause.)
RECESS
The PRESIDENT. The Chair recognizes the gentleman from Delaware, Senator Pileggi.
Senator PILEGGI. Mr. President, I request a recess of the Senate for purposes of a meeting of the Committee on Rules and Executive Nominations to be held in the Rules room immediately, to be followed by a Republican caucus to be held in the Majority Caucus Room.
The PRESIDENT. The Chair recognizes the gentleman from Allegheny, Senator Costa.
Senator COSTA. Mr. President, at the conclusion of the meeting scheduled, the Senate Democrats will meet in the rear of the Chamber for a caucus as well.
The PRESIDENT. For purposes of a meeting of the Committee on Rules and Executive Nominations to be held immediately in the Rules room, followed by Republican and Democratic caucuses, without objection, the Senate stands in recess.
AFTER RECESS
The PRESIDENT. The time of recess having expired, the Senate will come to order.
SPECIAL ORDER OF BUSINESS
GUEST OF THE PRESIDENT PRO TEMPORE PRESENTED TO THE SENATE
The PRESIDENT. The Chair recognizes the gentleman from Jefferson, Senator Scarnati.
The PRESIDENT pro tempore. Mr. President, it is my pleasure today to be job-shadowed by Dr. Kim Accardi. Dr. Accardi is a staff orthopedic surgeon at Hahnemann University Hospital in Philadelphia, Pennsylvania. She is a mother of one child, and what is most significant is her taking time out not only being an orthopedic surgeon, but she has done three tours of duty in Iraq and Afghanistan. Presently, she is part of the U.S. Army Reserve, and has been in Operation Iraqi Freedom, Operation New Dawn, and Operation Enduring Freedom. She is here with us today in the Senate job-shadowing me and I would appreciate a warm welcome by the Senate.
The PRESIDENT. Would the guest of Senator Scarnati please rise.
(Applause.)
CALENDAR
THIRD CONSIDERATION CALENDAR
BILL AMENDED
HB 112 (Pr. No. 3628) -- The Senate proceeded to consideration of the bill, entitled:
An Act amending Titles 18 (Crimes and Offenses) and 42 (Judiciary and Judicial Procedure) of the Pennsylvania Consolidated Statutes, in sexual offenses, providing for the offense of sexual assault by sports official, volunteer or employee of nonprofit association; and, in sentencing, further providing for sentences for offenses against infant persons.
On the question,
Will the Senate agree to the bill on third consideration?
Senator SCARNATI offered the following amendment No. A7290:
Amend Bill, page 1, line 3, by inserting after "OFFENSES": further providing for drug delivery resulting in death;
Amend Bill, page 1, lines 9 and 10, by striking out all of said lines and inserting:
Section 1. Section 2506(b) of Title 18 of the Pennsylvania Consolidated Statutes is amended to read:
§ 2506. Drug delivery resulting in death.
* * *
(b) Penalty.--
(1) A person convicted under subsection (a) shall be sentenced to a term of imprisonment which shall be fixed by the court at not more than 40 years.
(2) Paragraph (1) shall not apply to a person convicted under section 2502(c)(relating to murder) when the victim is less than 13 years of age and the conduct arises out of the same criminal act.
* * *
Section 2. Title 18 is amended by adding a section to read:
Amend Bill, page 3, line 4, by striking out "2" and inserting 3
Amend Bill, page 3, line 30; page 4, line 1, by striking out all of said lines on said pages
On the question,
Will the Senate agree to the amendment?
LEGISLATIVE LEAVES CANCELLED
The PRESIDENT. Senator Smucker, Senator Smith, and Senator Williams have returned, and their temporary Capitol leaves are cancelled.
And the question recurring,
Will the Senate agree to the amendment?
It was agreed to.
Without objection, the bill, as amended, was passed over in its order at the request of Senator PILEGGI.
BILL OVER IN ORDER
SB 428 -- Without objection, the bill was passed over in its order at the request of Senator PILEGGI.
BILL AMENDED
SB 1001 (Pr. No. 2074) -- The Senate proceeded to consideration of the bill, entitled:
An Act amending Title 57 (Notaries Public) of the Pennsylvania Consolidated Statutes, in revised uniform law on notarial acts, further providing for appointment and commission as notary public, qualifications and no immunity or benefit; and further providing for application for appointment to the office of notary public.
On the question,
Will the Senate agree to the bill on third consideration?
Senator FOLMER offered the following amendment No. A7288:
Amend Bill, page 2, line 12, by inserting after "information": as provided in 18 Pa.C.S. Ch. 91 (relating to criminal history record information)
On the question,
Will the Senate agree to the amendment?
It was agreed to.
Without objection, the bill, as amended, was passed over in its order at the request of Senator PILEGGI.
LEGISLATIVE LEAVE CANCELLED
The PRESIDENT. Senator McIlhinney has returned, and his temporary Capitol leave is cancelled.
CONSIDERATION OF CALENDAR RESUMED
THIRD CONSIDERATION CALENDAR RESUMED
BILL ON THIRD CONSIDERATION AND FINAL PASSAGE
SB 1023 (Pr. No. 2076) -- The Senate proceeded to consideration of the bill, entitled:
An Act amending the act of November 10, 1999 (P.L.491, No.45), known as the Pennsylvania Construction Code Act, further providing for the duties of the council, for revised or successor codes and for education and training programs.
Considered the third time and agreed to,
And the amendments made thereto having been printed as required by the Constitution,
On the question,
Shall the bill pass finally?
The yeas and nays were taken agreeably to the provisions of the Constitution and were as follows, viz:
A constitutional majority of all the Senators having voted "aye," the question was determined in the affirmative.
Ordered, That the Secretary of the Senate present said bill to the House of Representatives for concurrence.
BILLS OVER IN ORDER
SB 1085, SB 1219, SB 1220, SB 1261, HB 1271, SB 1316 and SB 1341 -- Without objection, the bills were passed over in their order at the request of Senator PILEGGI.
BILL AMENDED
HB 1460 (Pr. No. 3631) -- The Senate proceeded to consideration of the bill, entitled:
An Act amending Title 51 (Military Affairs) of the Pennsylvania Consolidated Statutes, further providing for educational leave of absence; and providing for heroic service website.
On the question,
Will the Senate agree to the bill on third consideration?
Senator DINNIMAN offered the following amendment No. A7323:
Amend Bill, page 2, lines 23 and 24, by striking out "TO CREATE, ADMINISTER AND MAINTAIN" and inserting:
the department shall provide public access to
Amend Bill, page 2, lines 25 and 26, by striking out "AS WELL AS ANY OTHER AWARD OR DECORATION THAT IS" and: inserting
, the Distinguished Service Cross, the Navy Cross, the Air Force Cross and the Silver Star, which are
Amend Bill, page 3, line 6, by striking out "OF" and inserting:
to
Amend Bill, page 3, line 15, by striking out "THE DATABASE ESTABLISHED UNDER PARAGRAPH (1)" and inserting:
Information pursuant to this chapter
Amend Bill, page 3, line 17, by inserting after "WEBSITE": within three months of the effective date of this chapter
On the question,
Will the Senate agree to the amendment?
It was agreed to.
Without objection, the bill, as amended, was passed over in its order at the request of Senator PILEGGI.
the Senate and every single Member of the House has complained to their Leadership about the inequities in the school funding formula.
Under Governor Ridge, we had a Special Session on school funding. Thousands of hours of testimony, and do you know what? Nothing changed. Every year we got through the budget, a little bit of duct tape, paper clips, and enough votes to get through the next funding formula. If you really want to make it fairer, it could never be the fairest, but as close as you can get, you need to look at the structural changes of our schools. It is tough politics. Nobody likes change, but everybody wants their taxes to be fairer. This is a good beginning. It is unfortunate that I had our staff work on the language, but the two bills that I had transferred into the amendments actually mandated changes and I wanted it to be crafted so that the commission would study it. So at a future date I will take those two bills and actually put them in the form of a commission, too, so perhaps we can put it on paper before we see it in reality.
But you are not going to make a fairer funding formula until you make fairer school districts. And if it is not us, who? If it is not now, when? That clock is ticking and every year we go by that discrepancy, that inequality continues to grow. So while this is a good first step and I am sorry I missed my opportunity here today, there is no reason not to support this bill and let us move forward with it.
Thank you very much, Mr. President.
And the question recurring,
Shall the bill pass finally?
The yeas and nays were taken agreeably to the provisions of the Constitution and were as follows, viz:
**YEA-47**
| Alloway | Farnese | Rafferty | Vogel |
|---------|---------|----------|-------|
| Baker | Ferlo | Robbins | Vulakovich |
| Blake | Folmer | Scarnati | Wagner |
| Boscola | Fontana | Schwank | Ward |
| Brewster| Gordner | Smith | Washington |
| Browne | Greenleaf | Smucker | White |
| Brubaker| Hughes | Solobay | Wiley |
| Corman | Kitchen | Stack | Williams |
| Costa | Leach | Tartaglione | Wozniak |
| Dinmman | McIlhinney | Teplitz | Yaw |
| Eichelberger | Mensch | Tomlinson | Yudichak |
| Erickson | Pileggi | Vance | |
**NAY-1**
Hutchinson
A constitutional majority of all the Senators having voted "aye," the question was determined in the affirmative.
Ordered, That the Secretary of the Senate return said bill to the House of Representatives with information that the Senate has passed the same without amendments.
**BILLS OVER IN ORDER**
**HB 1831, HB 1873, HB 1938, HB 1939, HB 1945 and HB 2081** -- Without objection, the bills were passed over in their order at the request of Senator PILEGGI.
---
**SECOND CONSIDERATION CALENDAR**
**BILLS OVER IN ORDER**
**HB 43, HB 119, HB 128, HB 198, HB 201, HB 272, HB 336, SB 621, SB 803, SB 1169, SB 1243 and SB 1314** -- Without objection, the bills were passed over in their order at the request of Senator PILEGGI.
**BILL ON SECOND CONSIDERATION AND REREFERRED**
**HB 1420 (Pr. No. 3544)** -- The Senate proceeded to consideration of the bill, entitled:
An Act providing for newborn child pulse oximetry screening.
Considered the second time and agreed to,
Ordered, To be printed on the Calendar for third consideration.
Upon motion of Senator PILEGGI, and agreed to by voice vote, the bill just considered was rereferred to the Committee on Appropriations.
**BILL ON SECOND CONSIDERATION**
**HB 1646 (Pr. No. 2269)** -- The Senate proceeded to consideration of the bill, entitled:
An Act designating the section of Pennsylvania Route 232 in Bryn Athyn, Montgomery County, as the SPC Tristan C. Smith Memorial Highway.
Considered the second time and agreed to,
Ordered, To be printed on the Calendar for third consideration.
**BILLS OVER IN ORDER**
**HB 1672 and HB 2003** -- Without objection, the bills were passed over in their order at the request of Senator PILEGGI.
**COMMUNICATIONS FROM THE GOVERNOR REPORTED FROM COMMITTEE ON RULES AND EXECUTIVE NOMINATIONS**
Senator ROBBINS, from the Committee on Rules and Executive Nominations, reported communications from His Excellency, the Governor of the Commonwealth, recalling the following nominations, which were read by the Clerk as follows:
**MEMBER OF THE STATE BOARD OF ACCOUNTANCY**
April 29, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated
March 10, 2014, for the appointment of Jon Anzur (Public Member), 71 Kelly Drive, Carlisle 17015, Cumberland County, Thirty-first Senatorial District, as a member of the State Board of Accountancy, to serve until March 16, 2014 and until his successor is appointed and qualified, but not longer than six months beyond that period, vice Virginia Birmingham, Lititz, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD
OF BARBER EXAMINERS
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Jon Anzur, 71 Kelly Drive, Carlisle 17015, Cumberland County, Thirty-first Senatorial District, as a member of the State Board of Barber Examiners, to serve for a term of three years and until his successor is appointed and qualified, but not longer than six months beyond that period, vice Wade Lipscomb, Pittsburgh, whose term expired.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD
OF BARBER EXAMINERS
May 28, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated April 7, 2014, for the appointment of Frank Ranalli, 144 Steeplechase Circle, Gibsonia 15044, Allegheny County, Thirty-eighth Senatorial District, as a member of the State Board of Barber Examiners, to serve until April 15, 2016, and until his successor is appointed and qualified, but not longer than six months beyond that period, vice Vincent Iacono, York, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA
ENERGY DEVELOPMENT AUTHORITY
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Bryan Troop, 2 South Market Street, Apartment 205, Elizabethtown 17022, Lancaster County, Forty-eighth Senatorial District, as a member of the Pennsylvania Energy Development Authority, to serve until April 8, 2014, and until his successor is appointed and qualified, vice Robert G. Sanders, Philadelphia, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD
OF FUNERAL DIRECTORS
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Bryan Troop, 2 South Market Street, Apartment 205, Elizabethtown 17022, Lancaster County, Forty-eighth Senatorial District, as a member of the State Board of Funeral Directors, to serve for a term of five years and until his successor is appointed and qualified, but not longer than six months beyond that period, vice James Pinkerton, Prospect, whose term expired.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF GOVERNORS OF
THE STATE SYSTEM OF HIGHER EDUCATION
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Bryan Troop, 2 South Market Street, Apartment 205, Elizabethtown 17022, Lancaster County, Forty-eighth Senatorial District, as a member of the Board of Governors of the State System of Higher Education, to serve until December 31, 2014, and until his successor is appointed and qualified, vice Celestino R. Pennoni, Bryn Mawr, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
JUDGE, COURT OF COMMON PLEAS,
ALLEGHENY COUNTY
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Gregory E. Dunlap, Esquire, 613 Sweetbriar Drive, Harrisburg 17111, Dauphin County, Fifteenth Senatorial District, as Judge, Court of Common Pleas, Allegheny County, to serve until the first Monday of January 2016, vice The Honorable Joseph M. James, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
JUDGE, COURT OF COMMON PLEAS,
BERKS COUNTY
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Gregory E. Dunlap, Esquire, 613 Sweetbriar Drive, Harrisburg 17111, Dauphin County, Fifteenth Senatorial District, as Judge, Court of Common Pleas, Berks County, to serve until the first Monday of January 2016, vice The Honorable Jeffrey L. Schmehl, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
JUDGE, COURT OF COMMON PLEAS,
BRADFORD COUNTY
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Gregory E. Dunlap, Esquire, 613 Sweetbriar Drive, Harrisburg 17111, Dauphin County, Fifteenth Senatorial District, as Judge, Court of Common Pleas, Bradford County, to serve until the first Monday of January 2016, vice The Honorable Jeffrey A. Smith, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
JUDGE, COURT OF COMMON PLEAS,
PHILADELPHIA COUNTY
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Gregory E. Dunlap, Esquire, 613 Sweetbriar Drive, Harrisburg 17111, Dauphin County, Fifteenth Senatorial District, as Judge, Court of Common Pleas, Philadelphia County, to serve until the first Monday of January 2016, vice The Honorable Nitza I. Quinones Alejandro, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
JUDGE, PHILADELPHIA MUNICIPAL COURT
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Gregory E. Dunlap, Esquire, 613 Sweetbriar Drive, Harrisburg 17111, Dauphin County, Fifteenth Senatorial District, as Judge, Philadelphia Municipal Court, to serve until the first Monday of January 2016, add to complement.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
JUDGE, PHILADELPHIA MUNICIPAL COURT
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Gregory E. Dunlap, Esquire, 613 Sweetbriar Drive, Harrisburg 17111, Dauphin County, Fifteenth Senatorial District, as Judge, Philadelphia Municipal Court, to serve until the first Monday of January 2016, add to complement.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE COUNCIL OF TRUSTEES OF MANSFIELD UNIVERSITY OF PENNSYLVANIA OF THE STATE SYSTEM OF HIGHER EDUCATION
April 9, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated February 7, 2014, for the appointment of Bruce L. Vickery, Esquire, 15 Woodridge Circle, Wellsboro 16901, Tioga County, Twenty-fifth Senatorial District, as a member of the Council of Trustees of Mansfield University of Pennsylvania of the State System of Higher Education, to serve until January 20, 2015, and until his successor is appointed and qualified, vice Charles R. Ike, Clarks Summit, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE COUNCIL OF TRUSTEES OF MANSFIELD UNIVERSITY OF PENNSYLVANIA OF THE STATE SYSTEM OF HIGHER EDUCATION
April 9, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated February 7, 2014, for the appointment of William V. West, 486 Marsh Creek Road, Wellsboro 16901, Tioga County, Twenty-fifth Senatorial District, as a member of the Council of Trustees of Mansfield University of Pennsylvania of the State System of Higher Education, to serve for a term of six years and until his successor is appointed and qualified, vice Carol Tama, Blossburg, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD OF MEDICINE
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Bryan Troop, 2 South Market Street, Apartment 205, Elizabethtown 17022, Lancaster County, Forty-eighth Senatorial District, as a member of the State Board of Medicine, to serve until October 1, 2016, or until his successor is appointed and qualified, but not longer than six months beyond that period, vice J. Bret Delone, M.D., F.A.C.S., Camp Hill, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA MINORITY BUSINESS DEVELOPMENT AUTHORITY
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Stephanie Moore, 349 Orchard Road, Millersstown 17062, Juniata County, Thirty-fourth Senatorial District, as a member of the Pennsylvania Minority Business Development Authority, to serve for [sic] until June 2, 2014, and until her successor is appointed and qualified, vice Robert Agbede, Pittsburgh, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE MUNICIPAL POLICE OFFICERS' EDUCATION AND TRAINING COMMISSION
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Stephanie Moore, 349 OrTuesday of January 2015, and until his successor is appointed and qualified, vice Mitzi C. Smith, Mont Alto, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD OF EXAMINERS IN SPEECH-LANGUAGE AND HEARING
May 27, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Bryan Troop, 2 South Market Street, Apartment 205, Elizabethtown 17022, Lancaster County, Forty-eighth Senatorial District, as a member of the State Board of Examiners in Speech-Language and Hearing, to serve for a term of three years and until his successor is appointed and qualified, but not longer than six months beyond that period, vice Dr. Sean Campbell, York, whose term expired.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD OF VETERINARY MEDICINE
May 27, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated February 28, 2014, for the appointment of Stephanie Moore, 349 Orchard Road, Millerstown 17062, Juniata County, Thirty-fourth Senatorial District, as a member of the State Board of Veterinary Medicine, to serve for a term of four years or until her successor is appointed and qualified, but not longer than six months beyond that period, vice Dr. Juanita Monteiro, Harleysville, whose term expired.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES OF WARREN STATE HOSPITAL
May 27, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Bryan Troop, 2 South Market Street, Apartment 205, Elizabethtown 17022, Lancaster County, Forty-eighth Senatorial District, as a member of the Board of Trustees of Warren State Hospital, to serve until the third Tuesday of January 2019, and until his successor is appointed and qualified, vice Steven D. Mitchell, Corry, deceased.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES OF THE WESTERN YOUTH DEVELOPMENT CENTERS
May 27, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Jon Anzur, 71 Kelly Drive, Carlisle 17015, Cumberland County, Thirty-first Senatorial District, as a member of the Board of Trustees of the Western Youth Development Centers, to serve until the third Tuesday of January 2015, and until his successor is appointed and qualified, vice Joseph Fragle, Sharon, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES OF THE WESTERN YOUTH DEVELOPMENT CENTERS
May 27, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Gregory E. Dunlap, Esquire, 613 Sweetbriar Drive, Harrisburg 17111, Dauphin County, Fifteenth Senatorial District, as a member of the Board of Trustees of the Western Youth Development Centers, to serve until the third Tuesday of January 2017, and until his successor is appointed and qualified, vice The Honorable Gerald J. LaValle, Rochester, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES OF THE WESTERN YOUTH DEVELOPMENT CENTERS
May 27, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Stephanie Moore, 349 Orchard Road, Millerstown 17062, Juniata County, Thirty-fourth Senatorial District, as a member of the Board of Trustees of the Western Youth Development Centers, to serve until the third Tuesday of January 2017, and until her successor is appointed and qualified, vice Thomas Fee, New Castle, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES OF THE WESTERN YOUTH DEVELOPMENT CENTERS
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Bryan Troop, 2 South Market Street, Apartment 205, Elizabethtown 17022, Lancaster County, Forty-eighth Senatorial District, as a member of the Board of Trustees of the Western Youth Development Centers, to serve until the third Tuesday of January 2015, and until his successor is appointed and qualified, vice Loretta Hogans, New Castle, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES OF WHITE HAVEN CENTER
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Jon Anzur, 71 Kelly Drive, Carlisle 17015, Cumberland County, Thirty-first Senatorial District, as a member of the Board of Trustees of White Haven Center, to serve until January 21, 2017, and until his successor is appointed and qualified, vice The Honorable Gerald Feissner, Freeland, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MAGISTERIAL DISTRICT JUDGE
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Stephanie Moore, 349 Orchard Road, Millerstown 17062, Juniata County, Thirty-fourth Senatorial District, as Magisterial District Judge, in and for the County of Bucks, Magisterial District 07-2-08, to serve until the first Monday of January 2016, vice The Honorable Robert E. Gaffney, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MAGISTERIAL DISTRICT JUDGE
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Bryan Troop, 2 South Market Street, Apartment 205, Elizabethtown 17022, Lancaster County, Forty-eighth Senatorial District, as Magisterial District Judge, in and for the County of Chester, Magisterial District 15-2-06, to serve until the first Monday of January 2016, vice The Honorable Rita Arnold, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MAGISTERIAL DISTRICT JUDGE
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated February 4, 2014, for the appointment of Stephanie Moore, 349 Orchard Road, Millerstown 17062, Juniata County, Thirty-fourth Senatorial District, as Magisterial District Judge, in and for the County of Erie, Magisterial District 06-1-04, to serve until the first Monday of January 2016, vice The Honorable Joseph R. Lefaiver, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
MAGISTERIAL DISTRICT JUDGE
May 27, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In accordance with the power and authority vested in me as Governor of the Commonwealth, I do hereby recall my nomination dated March 10, 2014, for the appointment of Bryan Troop, 2 South Market Street, Apartment 205, Elizabethtown 17022, Lancaster County, Forty-eighth Senatorial District, as Magisterial District Judge, in and for the County of Lancaster, Magisterial District 02-1-01, to serve until the first Monday of January 2016, vice The Honorable Cheryl N. Hartman, resigned.
I respectfully request the return to me of the official message of nomination on the premises.
TOM CORBETT
Governor
NOMINATIONS RETURNED TO THE GOVERNOR
Senator ROBBINS. Mr. President, I request that the nominations just read by the Clerk be returned to His Excellency, the Governor.
A voice vote having been taken, the question was determined in the affirmative.
The PRESIDENT. The nominations will be returned to the Governor.
REPORTED FROM COMMITTEE ON RULES AND EXECUTIVE NOMINATIONS
Senator ROBBINS, from the Committee on Rules and Executive Nominations, reported the following nominations made by His Excellency, the Governor of the Commonwealth, which were read by the Clerk as follows:
MEMBER OF THE STATE BOARD
OF AUCTIONEER EXAMINERS
February 4, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for
the advice and consent of the Senate, Nevin Rentzel, 800 Norman
Road, York 17406, York County, Twenty-eighth Senatorial District,
for appointment as a member of the State Board of Auctioneer Ex-
aminers, to serve for a term of three years or until his successor is
appointed and qualified, but not longer than six months beyond that
period, vice Blaine N. Rentzel, Mount Wolf, resigned.
TOM CORBETT
Governor
MEMBER OF THE STATE
CONSERVATION COMMISSION
February 26, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for
the advice and consent of the Senate, Michael Flinchbaugh, 30 Keller
Avenue, York 17406, York County, Thirteenth Senatorial District,
for appointment as a member of the State Conservation Commission,
to serve until May 30, 2017, and until his successor is appointed and
qualified, but not longer than six months beyond that period, vice
Jack Dehoff, York, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE STATE CHARTER
SCHOOL APPEAL BOARD
March 28, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for
the advice and consent of the Senate, Jonathan Peri, PO Box 272,
Media 19063, Delaware County, Twenty-sixth Senatorial District, for
appointment as a member of the State Charter School Appeal Board,
to serve until June 14, 2017, or until his successor is appointed and
qualified, vice Dr. James Barker, McKean, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES
OF CLARKS SUMMIT STATE HOSPITAL
March 14, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for
the advice and consent of the Senate, James L. Corselius, 2462 Mil-
waukee Road, Clarks Summit 18411, Lackawanna County, Twenty-
second Senatorial District, for appointment as a member of the Board
of Trustees of Clarks Summit State Hospital, to serve until the third
Tuesday of January 2015, and until his successor is appointed and
qualified, vice Samuel Cali, Dunmore, resigned.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES
OF CLARKS SUMMIT STATE HOSPITAL
March 5, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for
the advice and consent of the Senate, The Honorable Alan M. Hall,
P.O. Box 961, Hallstead 18822, Susquehanna County, Twenty-third
Senatorial District, for appointment as a member of the Board of
MEMBER OF THE PENNSYLVANIA ECONOMIC DEVELOPMENT FINANCING AUTHORITY
March 6, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Steven Bradley, 810 Felton Ave., Sharon Hill 19079, Delaware County, Eighth Senatorial District, for appointment as a member of the Pennsylvania Economic Development Financing Authority, to serve for a term of four years and until his successor is appointed and qualified, vice Timothy Johnson, Pittsburgh, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA ECONOMIC DEVELOPMENT FINANCING AUTHORITY
March 6, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Nicholas Haden, 114 Julianna Drive, Coraopolis 15108, Allegheny County, Forty-second Senatorial District, for reappointment as a member of the Pennsylvania Economic Development Financing Authority, to serve for a term of four years and until his successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA ECONOMIC DEVELOPMENT FINANCING AUTHORITY
March 6, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, George Komelasky, 42 Larch Circle, Holland 18966, Bucks County, Sixth Senatorial District, for reappointment as a member of the Pennsylvania Economic Development Financing Authority, to serve for a term of four years and until his successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES OF HAMBURG CENTER
February 6, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Frederick A. Herman, 10 Berne Road, Hamburg 19526, Berks County, Twenty-ninth Senatorial District, for reappointment as a member of the Board of Trustees of Hamburg Center, to serve until the third Tuesday of January 2017, and until his successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA HUMAN RELATIONS COMMISSION
March 20, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Radheshyam M. Agrawal, M.D., 523 Fairview Road, Pittsburgh 15238, Allegheny County, Thirty-eighth Senatorial District, for appointment as a member of the Pennsylvania Human Relations Commission, to serve until July 20, 2014, or until his successor is appointed and qualified, vice S. Kweilin Nassar, Pittsburgh, resigned.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD OF MASSAGE THERAPY
February 28, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Gloria E. Rosado, 925 Weiser Street, Reading 19601, Berks County, Eleventh Senatorial District, for appointment as a member of the State Board of Massage Therapy, to serve until October 9, 2016, or until her successor is appointed and qualified, but not longer than six months beyond that period, vice Martha K. Malina, M.S., NCTMB, Harrisburg, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA MINORITY BUSINESS DEVELOPMENT AUTHORITY
February 6, 2014
To the Honorable, the Senate of Commonwealth of Pennsylvania:
In Conformity with law, I have the honor hereby to nominate for the advice and consent for the Senate, Gail Landis, 1006 Christina Drive, Leesport 19533, Berks County, Eleventh Senatorial District, for appointment as a member of the Pennsylvania Minority Business Development Authority, to serve for [sic]until June 2, 2019, and until her successor is appointed and qualified, vice Jairius McClendon, Philadelphia, resigned.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD OF EXAMINERS OF NURSING HOME ADMINISTRATORS
February 11, 2014
To the Honorable, the Senate of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Diane Baldi, RN, 821 Columbia Street, Scranton 18509, Lackawanna County, Twenty-second
Senatorial District, for appointment as a member of the State Board of Examiners of Nursing Home Administrators, to serve until June 6, 2015, or until her successor is appointed and qualified, but not longer than six months beyond that period, vice Robert DeJesus, M.D., Greensburg, resigned.
TOM CORBETT
Governor
MEMBER OF THE STATE PLANNING BOARD
April 2, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Roger H. Krey, 803 Wyngold Drive, Pittsburgh 15237, Allegheny County, Thirty-eighth Senatorial District, for appointment as a member of the State Planning Board, to serve for a term of four years and until his successor is appointed and qualified, vice Richard Phillips, Jr., Philadelphia, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE STATE PLANNING BOARD
April 3, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Allen McIntosh, 400 Allen Lane, Warren 16365, Warren County, Twenty-first Senatorial District, for appointment as a member of the State Planning Board, to serve for a term of four years and until his successor is appointed and qualified, vice Richard Vilello, Lock Haven, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD OF CERTIFIED REAL ESTATE APPRAISERS
February 12, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Kurt Brink (Public Member), 209 Christian Road, Milford 18337, Pike County, Twentieth Senatorial District, for appointment as a member of the State Board of Certified Real Estate Appraisers, to serve for a term of four years and until his successor is appointed and qualified, but not longer than six months beyond that period, vice Joseph Jacobs, Mount Lebanon, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE STATE REAL ESTATE COMMISSION
February 11, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Alexis L. Barbieri (Public Member), 501 W. Mermaid Lane, Philadelphia 19118, Philadelphia County, Fourth Senatorial District, for appointment as a member of the State Real Estate Commission, to serve for a term of five years or until her successor is appointed and qualified, but not longer than six months beyond that period, vice Gaetano Piccirilli, Philadelphia, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE STATE REAL ESTATE COMMISSION
April 8, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Annie Hanna Cestra, 910 West Waldeheim Road, Pittsburgh 15215, Allegheny County, Thirty-eighth Senatorial District, for reappointment as a member of the State Real Estate Commission, to serve for a term of five years or until her successor is appointed and qualified, but not longer than six months beyond that period.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES
OF SELINSGROVE CENTER
April 21, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Justin L. Michaels, 107 Cambridge Lane, Lewisburg 17837, Union County, Twenty-third Senatorial District, for appointment as a member of the Board of Trustees of Selinsgrove Center, to serve until the third Tuesday of January 2015, and until his successor is appointed and qualified, vice Sandra Mengel, Mt. Pleasant Mills, resigned.
TOM CORBETT
Governor
SHERIFF, NORTHUMBERLAND COUNTY
April 24, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Robert J. Wolfe, 1875 Trevorton Road, Coal Township 17866, Northumberland County, Twenty-seventh Senatorial District, for appointment as Sheriff, in and for the County of Northumberland, to serve until the first Monday of January 2016, vice Chad A. Reiner, Sunbury, resigned.
TOM CORBETT
Governor
NOMINATIONS LAID ON THE TABLE
Senator ROBBINS. Mr. President, I request that the nominations just read by the Clerk be laid on the table.
The PRESIDENT. The nominations will be laid on the table.
EXECUTIVE NOMINATIONS
EXECUTIVE SESSION
Motion was made by Senator ROBBINS,
That the Senate do now resolve itself into Executive Session for the purpose of considering certain nominations made by the Governor.
Which was agreed to by voice vote.
NOMINATIONS TAKEN FROM THE TABLE
Senator ROBBINS. Mr. President, I call from the table certain nominations and ask for their consideration.
The Clerk read the nominations as follows:
MEMBER OF THE STATE BOARD
OF AUCTIONEER EXAMINERS
February 4, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Nevin Rentzel, 800 Norman Road, York 17406, York County, Twenty-eighth Senatorial District, for appointment as a member of the State Board of Auctioneer Examiners, to serve for a term of three years or until his successor is appointed and qualified, but not longer than six months beyond that period, vice Blaine N. Rentzel, Mount Wolf, resigned.
TOM CORBETT
Governor
MEMBER OF THE STATE CHARTER
SCHOOL APPEAL BOARD
March 28, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Jonathan Peri, PO Box 272, Media 19063, Delaware County, Twenty-sixth Senatorial District, for appointment as a member of the State Charter School Appeal Board, to serve until June 14, 2017, or until his successor is appointed and qualified, vice Dr. James Barker, McKean, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES
OF CLARKS SUMMIT STATE HOSPITAL
March 14, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, James L. Corselius, 2462 Milwaukee Road, Clarks Summit 18411, Lackawanna County, TwentyMEMBER OF THE PENNSYLVANIA
DRUG, DEVICE AND COSMETIC BOARD
February 20, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for
the advice and consent of the Senate, Jeffrey Pincus, 42 Oak Tree
Road, Hummelstown 17036, Dauphin County, Fifteenth Senatorial
District, for appointment as a member of the Pennsylvania Drug,
Device and Cosmetic Board, to serve for a term of four years or until his
successor is appointed and qualified, but not longer than six months
beyond that period, vice Tracy Steen, Philadelphia, whose term ex-
pired.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA ECONOMIC
DEVELOPMENT FINANCING AUTHORITY
March 6, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for
the advice and consent of the Senate, Steven Bradley, 810 Felton
Ave., Sharon Hill 19079, Delaware County, Eighth Senatorial Dis-
trict, for appointment as a member of the Pennsylvania Economic
Development Financing Authority, to serve for a term of four years
and until his successor is appointed and qualified, vice Timothy
Johnson, Pittsburgh, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA ECONOMIC
DEVELOPMENT FINANCING AUTHORITY
March 6, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for
the advice and consent of the Senate, Nicholas Haden, 114 Julianna
Drive, Coraopolis 15108, Allegheny County, Forty-second Senatorial
District, for reappointment as a member of the Pennsylvania Eco-
nomic Development Financing Authority, to serve for a term of four
years and until his successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA ECONOMIC
DEVELOPMENT FINANCING AUTHORITY
March 6, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for
the advice and consent of the Senate, George Komelasky, 42 Larch
Circle, Holland 18966, Bucks County, Sixth Senatorial District, for
reappointment as a member of the Pennsylvania Economic Develop-
ment Financing Authority, to serve for a term of four years and until
his successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES
OF HAMBURG CENTER
February 6, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for
the advice and consent of the Senate, Frederick A. Herman, 10 Berne
Road, Hamburg 19526, Berks County, Twenty-ninth Senatorial Dis-
trict, for reappointment as a member of the Board of Trustees of
Hamburg Center, to serve until the third Tuesday of January 2017,
and until his successor is appointed and qualified.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA
HUMAN RELATIONS COMMISSION
March 20, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for
the advice and consent of the Senate, Radheshyam M. Agrawal,
M.D., 523 Fairview Road, Pittsburgh 15238, Allegheny County,
Thirty-eighth Senatorial District, for appointment as a member of the
Pennsylvania Human Relations Commission, to serve until July 20,
2014, or until his successor is appointed and qualified, vice S.
Kweilin Nassar, Pittsburgh, resigned.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD
OF MASSAGE THERAPY
February 28, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for
the advice and consent of the Senate, Gloria E. Rosado, 925 Weiser
Street, Reading 19601, Berks County, Eleventh Senatorial District,
for appointment as a member of the State Board of Massage Therapy,
to serve until October 9, 2016, or until her successor is appointed and
qualified, but not longer than six months beyond that period, vice
Martha K. Malina, M.S., NCTMB, Harrisburg, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE PENNSYLVANIA MINORITY
BUSINESS DEVELOPMENT AUTHORITY
February 6, 2014
To the Honorable, the Senate
of Commonwealth of Pennsylvania:
In Conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Gail Landis, 1006 Christina Drive, Leesport 19533, Berks County, Eleventh Senatorial District, for appointment as a member of the Pennsylvania Minority Business Development Authority, to serve for [sic] until June 2, 2019, and until her successor is appointed and qualified, vice Jairius McClendon, Philadelphia, resigned.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD OF CERTIFIED REAL ESTATE APPRAISERS
February 12, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Kurt Brink (Public Member), 209 Christian Road, Milford 18337, Pike County, Twentieth Senatorial District, for appointment as a member of the State Board of Certified Real Estate Appraisers, to serve for a term of four years and until his successor is appointed and qualified, but not longer than six months beyond that period, vice Joseph Jacobs, Mount Lebanon, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE STATE BOARD OF EXAMINERS OF NURSING HOME ADMINISTRATORS
February 11, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Diane Baldi, RN, 821 Columbia Street, Scranton 18509, Lackawanna County, Twenty-second Senatorial District, for appointment as a member of the State Board of Examiners of Nursing Home Administrators, to serve until June 6, 2015, or until her successor is appointed and qualified, but not longer than six months beyond that period, vice Robert DeJesus, M.D., Greensburg, resigned.
TOM CORBETT
Governor
MEMBER OF THE STATE PLANNING BOARD
April 2, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Roger H. Krey, 803 Wyngold Drive, Pittsburgh 15237, Allegheny County, Thirty-eighth Senatorial District, for appointment as a member of the State Planning Board, to serve for a term of four years and until his successor is appointed and qualified, vice Richard Phillips, Jr., Philadelphia, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE STATE PLANNING BOARD
April 3, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Allen McIntosh, 400 Allen Lane, Warren 16365, Warren County, Twenty-first Senatorial District, for appointment as a member of the State Planning Board, to serve for a term of four years and until his successor is appointed and qualified, vice Richard Vilello, Lock Haven, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE STATE REAL ESTATE COMMISSION
February 11, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Alexis L. Barbieri (Public Member), 501 W. Mermaid Lane, Philadelphia 19118, Philadelphia County, Fourth Senatorial District, for appointment as a member of the State Real Estate Commission, to serve for a term of five years or until her successor is appointed and qualified, but not longer than six months beyond that period, vice Gaetano Piccirilli, Philadelphia, whose term expired.
TOM CORBETT
Governor
MEMBER OF THE STATE REAL ESTATE COMMISSION
April 8, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Annie Hanna Cestra, 910 West Waldheim Road, Pittsburgh 15215, Allegheny County, Thirty-eighth Senatorial District, for reappointment as a member of the State Real Estate Commission, to serve for a term of five years or until her successor is appointed and qualified, but not longer than six months beyond that period.
TOM CORBETT
Governor
MEMBER OF THE BOARD OF TRUSTEES
OF SELINGROVE CENTER
April 21, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Justin L. Michaels, 107 Cambridge Lane, Lewisburg 17837, Union County, Twenty-third Senatorial District, for appointment as a member of the Board of Trustees of Selinsgrove Center, to serve until the third Tuesday of January 2015, and until his successor is appointed and qualified, vice Sandra Mengel, Mt. Pleasant Mills, resigned.
TOM CORBETT
Governor
SHERIFF, NORTHUMBERLAND COUNTY
April 24, 2014
To the Honorable, the Senate
of the Commonwealth of Pennsylvania:
In conformity with law, I have the honor hereby to nominate for the advice and consent of the Senate, Robert J. Wolfe, 1875 Trevorton Road, Coal Township 17866, Northumberland County, Twenty-seventh Senatorial District, for appointment as Sheriff, in and for the County of Northumberland, to serve until the first Monday of January 2016, vice Chad A. Reiner, Sunbury, resigned.
TOM CORBETT
Governor
On the question,
Will the Senate advise and consent to the nominations?
The yeas and nays were required by Senator ROBBINS and were as follows, viz:
YEA-48
Alloway Farnese Pileggi Vance
Baker Ferdo Rafferty Vogel
Blake Folmer Robbins Vulakovich
Boscola Fontana Scarnati Wagner
Brewster Gordner Schwank Ward
Browne Greenleaf Smith Washington
Brubaker Hughes Smucker White
Corman Hutchinson Solobay Wiley
Costa Kitchen Stack Williams
Diminman Leach Tartaglione Wozniak
Eichelberger McIlhinney Tepitz Yaw
Erickson Mensch Tomlinson Yudichak
NAY-0
A majority of the Senators having voted "aye," the question was determined in the affirmative.
Ordered, That the Governor be informed accordingly.
EXECUTIVE SESSION RISES
Senator ROBBINS. Mr. President, I move that the Executive Session do now rise.
The motion was agreed to by voice vote.
UNFINISHED BUSINESS
BILLS REPORTED FROM COMMITTEE
Senator SMUCKER, from the Committee on State Government, reported the following bills:
SB 324 (Pr. No. 2085) (Amended)
A Joint Resolution proposing integrated amendments and separate and distinct amendments to the Constitution of the Commonwealth of Pennsylvania, abolishing the Office of Lieutenant Governor; reducing the size of the General Assembly; and reducing the size of the Supreme Court and the Superior Court.
SB 602 (Pr. No. 572)
An Act designating and adopting the Piper J-3 Cub as the official airplane of the Commonwealth of Pennsylvania.
HB 1234 (Pr. No. 1901)
A Joint Resolution proposing an amendment to the Constitution of the Commonwealth of Pennsylvania, reducing the size of the General Assembly.
HB 1602 (Pr. No. 2871)
An Act approving the release of Project 70 restrictions on certain land owned by the Borough of Downingtown, Chester County, in return for the development of public park improvements within Kardon Park within the Borough of Downingtown and East Caln Township, Chester County; and making a related repeal.
SENATE RESOLUTIONS ADOPTED
Senators RAFFERTY, YUDICHAK, VULAKOVICH, ALLOWAY, ARGALL, BAKER, BLAKE, BOSCOLA, BREWSTER, BROWNE, BRUBAKER, CORMAN, COSTA, DINNIMAN, EICHELBERGER, ERICKSON, FARNESE, FERLO, FOLMER, FONTANA, GORDNER, GREENLEAF, HUGHES, HUTCHINSON, KASUNIC, KITCHEN, LEACH, McILHINNEY, MENSCH, PILEGGI, ROBBINS, SCARNATI, SCHWANK, SMITH, SMUCKER, SOLOBAY, STACK, TARTAGLIONE, TEPLITZ, TOMLINSON, VANCE, VOGEL, WAGNER, WARD, WASHINGTON, WHITE, WILEY, WILLIAMS, WOZNIAK and YAW, by unanimous consent, offered Senate Resolution No. 399, entitled:
A Resolution commemorating the 100th anniversary of the Pennsylvania Chiefs of Police Association.
On the question,
Will the Senate adopt the resolution?
The PRESIDENT. The Chair recognizes the gentleman from Montgomery, Senator Rafferty.
Senator RAFFERTY. Mr. President, along with Senator Yudichak and Senator Vulakovich and all of my colleagues who signed on to the resolution, this resolution marks the 100th anniversary of the Pennsylvania Chiefs of Police Association. The present association is a reincarnation of its defunct predecessor. In 1914, a meeting of the police heads from this Commonwealth was held, executive officers were elected, and the revamped association was born. The association is a professional organization of chiefs of police and other executives of police, public safety, and private law enforcement organizations across this Commonwealth. And the association provides a vehicle through which members can converge, examine their positions on issues, address the needs of their colleagues, and work with the legislature and government on law changes that they feel would be beneficial not only to law enforcement community, but would enhance life here in the
Commonwealth of Pennsylvania. They include accountability, continuous improvement, diversity, education and training, human life, and other educational aspects. The chiefs of the Commonwealth of Pennsylvania are a very professional organization. I interact with them quite a bit in my area. Senator Dinniman and I in Chester County, and Senator Pileggi and Senator Erickson in Delaware County, have had a number of occasions to deal with them; and in Montgomery County, Senator Mensch, Senator Erickson and I; and in Berks, Senator Schwank and I. They are constantly there for us to hear our concerns. We, in turn, hear their concerns and work with us to fashion laws that benefit the people of the Commonwealth of Pennsylvania. I ask for an affirmative vote on this resolution congratulating them on their 100th anniversary.
Thank you, Mr. President.
And the question recurring,
Will the Senate adopt the resolution?
A voice vote having been taken, the question was determined in the affirmative.
Senator BREWSTER, by unanimous consent, offered Senate Resolution No. 400, entitled:
A Resolution commemorating the 50th anniversary of the Port Authority of Allegheny County.
On the question,
Will the Senate adopt the resolution?
The PRESIDENT. The Chair recognizes the gentleman from Allegheny, Senator Brewster.
Senator BREWSTER. Mr. President, it is an honor to introduce a resolution marking the 50th anniversary of the Port Authority of Allegheny County. The General Assembly enacted legislation creating the Port Authority in 1956 and began its function as an authority on March 1, 1964, immediately consolidating 33 independent transportation companies into one system. The Port Authority of Allegheny County continues to modernize and adapt new technologies and challenges, including using hybrid buses, adding bike racks to the buses, allowing cyclists to take their bicycles on rail cars. The Port Authority also preserves the area's rich history with the maintenance of the Duquesne and Monongahela Inclines, the latter of which is the oldest in the United States. I ask for adoption of this resolution by my colleagues.
And the question recurring,
Will the Senate adopt the resolution?
A voice vote having been taken, the question was determined in the affirmative.
Senator DINNIMAN, by unanimous consent, offered Senate Resolution No. 401, entitled:
A Resolution recognizing June 2014 as "National Hunger Awareness Month" in Pennsylvania.
On the question,
Will the Senate adopt the resolution?
The PRESIDENT. The Chair recognizes the gentleman from Chester, Senator Dinniman.
Senator DINNIMAN. Mr. President, unfortunately, hunger is a reality for too many people in this nation and too many people in Pennsylvania. By designating June as "National Hunger Awareness Month," we can further understand the problem, we can understand the suffering and difficulty that people go through who cannot meet food needs. It is a huge number of people, and of the 50 million Americans who suffer from lack of food security, a quarter of those are young children. The lack of adequate food and adequate protein and adequate balance in their diet will have tremendous impacts on their growth and development. Mr. President, there are some problems in this nation that are very difficult to solve, but hunger is not one of them. We have more than enough food in this nation so that every single child, every single adult, every single senior citizen can be adequately fed. We simply have to have the will. We have to go and take care of those who need to eat. Food security is a fundamental right, and anyone who has gone hungry during the day can understand what it must be like not knowing if you have enough food for dinner or lunch, especially not enough to feed your child adequately.
We have, fortunately, in this Commonwealth a variety of organizations, churches, synagogues, and mosques that run food cupboards and other food programs. I come from Chester County where 20 years ago, I introduced the concept of gleaning, which has now morphed into one of the finest food bank programs in the nation. What you do in gleaning is based on the biblical concept that we find in the Book of Ruth, in the Book of Deuteronomy. It simply says, if you remember your Bible, your Old Testament, that you leave the four corners of the field for the poor, for the widow, for the widower. We put that concept into modern effect in my county 20 years ago. About 3 years ago, we passed our 1 millionth pound of fresh fruits and vegetables that we have been able to distribute at no cost to government. Today, in our food bank program in our county we have over 2,000 volunteers. We are trying to make food insecurity go away completely in Chester County. We can do this in the Commonwealth as well. The thing is that people of faith, people of good will need to come into the void. This is a problem we can solve, and the first step in solving this problem is to recognize that hunger exists within our community more than we would like to admit, it exists, and many are suffering from food insecurity, including many youngsters. So, Mr. President, as I introduce this resolution, it is with the hope, the spirit, the conviction, and the dedication that we will solve it because it can be solved, and that is what we need to do.
Thank you, Mr. President.
And the question recurring,
Will the Senate adopt the resolution?
A voice vote having been taken, the question was determined in the affirmative.
CONGRATULATORY RESOLUTIONS
The PRESIDENT laid before the Senate the following resolutions, which were read, considered, and adopted by voice vote:
Congratulations of the Senate were extended to Hilda Lewis by Senator Blake.
Congratulations of the Senate were extended to Ryan Christopher Hall and to AFFORDable Pet Center, Inc., by Senator Boscola.
Congratulations of the Senate were extended to Lancaster County Public Safety Training Center by Senators Brubaker and Smucker.
Congratulations of the Senate were extended to Mr. and Mrs. Lloyd H. Swanger, Dillion Lucas, Isabella Frances Teti, Katie Weakland and to Clara Allison by Senator Corman.
Congratulations of the Senate were extended to Ryan Douglas Edelson and to Peyton Robert MacNeill by Senator Dinniman.
Congratulations of the Senate were extended to Dr. Adrienne W. Chew by Senator Farnese.
Congratulations of the Senate were extended to Mr. and Mrs. William Groom and to Christopher Mark Hauck by Senator Gordner.
Congratulations of the Senate were extended to Emily W. Beck and to Penncrest High School Envirothon Gold Team by Senator Pileggi.
Congratulations of the Senate were extended to Chief Earl E. Swavely, Jr., by Senators Rafferty and Mensch.
Congratulations of the Senate were extended to Gary Hanna by Senator Robbins.
Congratulations of the Senate were extended to Bruce R. Weidman by Senator Schwank.
Congratulations of the Senate were extended to Sandra Walsh, John Kovach, Laurie Cole, Nancy Howell, Dorothy Brown and to Debra Turici by Senator Smith.
Congratulations of the Senate were extended to Dr. Kathleen Sites by Senators Smith and Fontana.
Congratulations of the Senate were extended to Walter Schollaert by Senators Smith and Solobay.
Congratulations of the Senate were extended to Jenna Lucas and to Rebecca Podrosky by Senator Solobay.
Congratulations of the Senate were extended to Catherine G. Scott and to Judith Hoover by Senator Tartaglione.
Congratulations of the Senate were extended to Debra A. Washington, Ryan Tanner Morse, John Braxton Voyles, Susquehanna Township High School Boys' Basketball Team, PSECU Child Care Center, Hansel and Gretel Early Learning Center, All About Kids Daycare and Learning Center, Caring Hands Learning Center of Hershey, From the Heart Church Ministries of Harrisburg and to Northern Dauphin County YMCA Child Care Center by Senator Teplitz.
Congratulations of the Senate were extended to Abby Martin, Deshawn Millington, Zach Brehm, Robert C. Schwenk, Connie Tennis and to Trinity High School Girls' Track Team by Senator Vance.
Congratulations of the Senate were extended to SafeNet by Senator Wiley.
Congratulations of the Senate were extended to Adam David Leventry by Senator Wozniak.
**BILLS ON FIRST CONSIDERATION**
Senator BROWNE. Mr. President, I move that the Senate do now proceed to consideration of all bills reported from committees for the first time at today's Session.
The motion was agreed to by voice vote.
The bills were as follows:
SB 324, SB 602, SB 1256, SB 1262, SB 1342, SB 1355, SB 1377, SB 1388, HB 803, HB 1234, HB 1602, HB 1816, HB 2013 and HB 2106.
And said bills having been considered for the first time,
Ordered, To be printed on the Calendar for second consideration.
**ANNOUNCEMENTS BY THE SECRETARY**
The following announcements were read by the Secretary of the Senate:
| Time | Committee | Location |
|------------|------------------------------------------------|---------------------------|
| 9:15 A.M. | TRANSPORTATION (to consider Senate Bills No. 312, 1383, 1384 and 1401; and House Bills No. 1653, 1929, 2068, 2072 and 2093) | Room 8E-A East Wing |
| 9:30 A.M. | BANKING AND INSURANCE (to consider Senate Bills No. 1356 and 1357; and House Bills No. 1574, 1575 and 2009) | Room 461 Main Capitol |
| 10:30 A.M. | INTERGOVERNMENTAL OPERATIONS (to consider Senate Bill No. 1337; and Senate Resolution No. 284) | Room 461 Main Capitol |
| Off the Floor | FINANCE (to consider House Bill No. 2110) | Rules Cmte. Conf. Rm. |
**TUESDAY, JUNE 10, 2014**
| Time | Committee | Location |
|------------|------------------------------------------------|---------------------------|
| 10:00 A.M. | LAW AND JUSTICE (public hearing on Senate Bill No. 1182, the Compassionate Use of Medical Cannabis Act) | Hrg. Rm. 1 North Off. |
| 12:00 P.M. | AGRICULTURE AND RURAL AFFAIRS (to consider the nomination of James Van Blarcom to the PA Milk Marketing Board) | Room 8E-A East Wing |
**WEDNESDAY, JUNE 11, 2014**
| Time | Committee | Location |
|------------|------------------------------------------------|---------------------------|
| 9:30 A.M. | URBAN AFFAIRS AND HOUSING (public hearing on the Pennsylvania Housing Affordability and Rehabilitation Enhancement Fund) | Hrg. Rm. 1 North Off. |
**THURSDAY, JUNE 12, 2014**
| Time | Committee | Location |
|------------|------------------------------------------------|---------------------------|
| 10:00 A.M. | LOCAL GOVERNMENT (joint public hearing with the House Local Government Committee to consider Senate Bill No. 1111 and House Bill No. 1845) | Millersville University Steinman Hall |
**PETITIONS AND REMONSTRANCES**
The PRESIDENT. The Chair recognizes the gentlewoman from Philadelphia, Senator Washington.
Senator WASHINGTON. Mr. President, earlier today, elected officials from across Pennsylvania came together to advocate for a veterans legislative package. While I was unable to attend the press conference, I would like to thank Senator Schwank and Representative Frankel for spearheading the effort and speaking about my legislation. With all of the issues surrounding veterans assistance these days, it is so important that we do more on the State level to address the needs of current and returning veterans. This package is a great first step in assuring that we can help veterans get the resources they need.
The United States Department of Veterans Affairs projects that there are more than 2 million women veterans in our country, and this number will only increase. It is wonderful that women are advancing their careers in military services and assuming leadership roles on and off the battlefield; however, they face unique health challenges during both their tour of duty and when they return home: things like maternal health, mental health, physical health, as well as trauma stemming from their experience in the line of duty. We need to do more to help these heroines transition back into their civilian life and take care of themselves and their family. That is why I am proud to have introduced Senate Resolution No. 262, legislation to establish the Task Force on Women Veterans’ Health Care. The 17-member task force will study the issues facing women veterans and make recommendations to the Governor on ways to improve the care they receive. The task force will include representatives from key government and military agencies as well as healthcare providers and organizations affiliated with a host of veterans issues. This task force is so important to the future of women veterans in Pennsylvania. This will help women across the State get back to the new normal and thrive in their civilian lives. I thank my colleagues for their partnership on this matter and urge quick action on the package of bills.
Thank you, Mr. President.
The PRESIDENT. The Chair recognizes the gentleman from Lebanon, Senator Folmer.
Senator FOLMER. Mr. President, yesterday a number of my colleagues briefly discussed the issue of paycheck protection and its importance in making Pennsylvania more competitive. During the course of that discussion, it was noted that employers regularly make deductions from employees’ paychecks for a variety of causes such as United Way and other charities, insurance premiums, retirement plan contributions, and other programs agreed to by the employer and the employee. Such deductions are not the issue. Rather, the issue is using taxpayer resources to collect union dues that will later be used for political purposes. This is the issue. Payroll systems all across the Commonwealth that are bought and paid for with taxpayer money are being used to collect money that will be used for political purposes. Mr. President, if any of us in the Senate used taxpayer resources for political purposes, we would soon be investigated for violations of campaign laws. This is why the Ethical Conduct Rules of the Senate of Pennsylvania, which I have in my hand, define a campaign contribution as a monetary or in-kind contribution made to an electoral candidate campaign. Senate Rules also prohibit Senate employees from engaging in campaign activity during Senate time or using Senate resources for campaign-related activities.
So, Mr. President, we have laws to protect taxpayer resources from being used for political purposes, and we have Senate Rules that govern what Senate employees are able to do in regard to campaign-related activities, yet, we allow certain private entities to use taxpayer resources for political purposes. This, Mr. President, is a double standard that is unfair, promotes questionable and unethical standards, and is just plain and simple bad public policy. The time has come for Pennsylvania to join other States that have adopted paycheck protection for their employees, and these other States include Arizona, Michigan, Ohio, Tennessee, Washington, and Wisconsin. Paycheck protection would stop State and local governments and school districts from collecting union dues or funds from employees, sometimes without their consent or permission, to be used for other purposes like campaign activities.
Thank you, Mr. President.
The PRESIDENT. The Chair recognizes the gentleman from Allegheny, Senator Costa.
Senator COSTA. Mr. President, again, it was not my intention to rise today and talk about this issue, but I recognize the comments of the gentleman, my friend and colleague, Senator Folmer, on this issue and I recognize his position along those lines. At the end of the day, Mr. President, my remarks from yesterday speak for themselves. This is nothing but an attempt, in our view, to undermine and diminish the efforts and the fine, good work that our labor organizations do in this Commonwealth. This legislation in Pennsylvania and other States has been designed to undermine the ability of these organizations to operate. As I have said earlier, the fact of the matter is, and I said yesterday, this is a process that employers undergo, including the Commonwealth, to collect, whether it be dues or other types of dollars, that are then designed for a different purpose, or the purpose that they collect it for. At the end of the day, this initiative is just nothing but a blatant attempt to continue to undermine our labor organizations in Pennsylvania.
This Commonwealth, this country, and individual employees who work on a day-in-and-day-out basis who belong as members of organized labor have a lot to be thankful for as it relates to the efforts of labor unions and organizations to protect workers, whether it be the number of hours that they work, whether it be the age that they start working, or whether it is the conditions in which they work. Those are all things that relate directly to things that our labor organizations have done over the course of the past several decades. This language, this legislation erodes that and, at times, turns a blind eye to the benefit that organizations provide for us. When I think of the workforce, folks in this room, the Governor joined hand-in-hand with labor when we had a conversation about transportation funding. When you saw the Governor, you saw organized labor standing right next to him all talking about the benefit of organized labor, workers within organized labor, the way in which they provide good quality workmanship, the way that they honor and respect the rules and regulations that exist within the constraints of the various pieces of legislation and regulations, whether they be State law or whether they be OSHA laws.
At the end of the day, fine work is conducted by our folks who belong to organized labor bargaining units. This language would do harm to those organizations and the ability for people to organize. That is what is at the heart of this. If you put this legislation in, you minimize and decrease the ability of organized labor to be able to have members participating in
that process. That is the underlying goal, that is right out of the Republican playbook as it relates to what is being done around the rest of this country. We do not think it is appropriate, other States have not thought it was appropriate, and I would say to you at this point in time Senate Democrats stand united in working to make certain that that legislation does not come to the forefront and does not pass in this Commonwealth because it is designed and geared to, again, undermine organized labor in this State, and that is not something we believe we should be doing. I respect the gentleman for the work that he does, particularly in the education community, but on this issue, I think we agree to disagree, and I want to thank him for his comments and thank you, Mr. President, for the opportunity to speak on this issue.
The PRESIDENT. The Chair recognizes the gentleman from Philadelphia, Senator Farnese.
Senator FARNESE. Mr. President, again, as a follow-up to some of the comments made yesterday, some of the debate that we had, and I have said this before, I think it is appropriate and important that we have open discussions and open debate in this Chamber. I wish we had it more often, to be honest with you, the opportunity to discuss important issues and to air our differences and to air our positions on issues that are important to the people of Pennsylvania that we represent. I think it is critically relevant to the process, especially now as we really look to June 30 and getting our budget done and getting it done on time.
One of the issues that we talked about yesterday, and one of my esteemed colleagues, the new Senator, of course, my good friend, the chairman of the Committee on Education addressed it as well, education, and then some additional comments from the new Senator from York County who, again, I had an opportunity to have a discussion with him a couple of weeks ago on PCN, and I enjoyed that, and I, again, congratulate him for his position and I continue to look forward to working with him. We talked about getting the facts out about public education and really understanding what existed before this administration took place and where we have gone over the last 3 1/2 years. So, I think it is important to talk about the facts and where we are. So, I took some time and my staff took some time since last night and we really looked at where we are, where we were, what has happened to public education, and where we, as Senate Democrats, and the other side of the aisle, have dramatic differences in terms of where we have gone and, more importantly, where we are going to go. I would like to just take the first piece of what we have discussed.
Governor Corbett's first budget cut nearly $1 billion from our education budget. That is a fact, Mr. President, that is a fact. That is not a made-up piece of information, we did not pull that from any Democratic playbook, that is a fact, and I want to tell you why that is a fact. You can say all you want about the Federal stimulus money going away and how it was not the fault of the Governor. That may be the case. But if you look at the total classroom funding in 2011-12, as compared to pre-stimulus year 2008-09, it is $500 million less than the State's investment 3 years prior. Only when fighting tooth-and-nail has the legislature been able to get increases to the basic education line-item in the last 3 years, as well as a renewal by not quite one-third of the accountability block grant at $100 million, funding that is essential for impoverished, at-risk student populated schools. Let me just highlight that again. If you look at the total classroom funding, in 2011-12, as compared to pre-stimulus year 2008-09, a half-billion dollars less than the State's investments 3 years prior. That is a fact. Only under the Governor's carrot this year, the election year budget, Mr. President, the centrist budget, do we see total classroom funding back toward the investment we were making to our children 6 years ago, albeit without previous investments and important charter reimbursements, tutoring, science, and other programs.
The Governor's Ready to Learn Block Grant is potentially an over-prescriptive new program. It is a potentially over-prescriptive new program tied to a one-time revenue source that does not look like it is going to be coming to fruition in this cycle. You have to look at it in terms of what else was linked in previous budget years. For instance, the linking to liquor privatization, another issue that we addressed last year that this administration tried to link at the time that we tried to do the budget. The second fact, in the 2007 costing-out study, the funding formula, we are woefully behind our adequacy targets in providing for State-funded education. Somebody read the Constitution earlier. Under the Constitution, Article III, Section 14, it is required that, "The General Assembly shall provide for the maintenance and support of a thorough and efficient system of public education to serve the needs of the Commonwealth." In yesterday's hearing of the Committee on Appropriations, I was pleased to support a basic education funding commission bill, House Bill No. 1738, and on the floor today as well. I was displeased yesterday with an effort by my good friend, Senator Hughes, which went down, which would have tried to enshrine this value within the commission's considerations. He was unsuccessful in moving that piece of legislation yesterday. House Bill No. 175 of 2005 at least provided some language, Mr. President, that specified that the study shall consider both adequacy and equity. As we know, education funding in the last several years has been neither adequate nor equitable.
My esteemed colleague from York County referenced yesterday that one out of four school districts he represents received a 22-percent increase in their funding as a way to debunk the fact that funding cuts have, indeed, occurred under this administration. Let us look at that issue a little bit more closely. I would like to share some information regarding my home school district, Philadelphia, Mr. President. The largest school district in the State is looking at a $440 million budget hole and budget shortfall in order to provide adequate education to their student population. Even after massive staff layoffs last year, including much-needed nurses, counselors, and cutting their administration budget to the bone, the school district of Philadelphia cannot meet the classroom needs of their students with the funding that they continue to receive, which is proposed by this administration. Now, when we look at the adequacy targets set by the funding formula, which was discontinued under this administration, which was discontinued under Governor Corbett, we see the Philadelphia School District is $301 million worse off. Let me say that again, over $301 million worse off than they were in 2010-11, and they would receive nearly $520 million less in this proposed budget than was called for in their adequacy target for the fiscal year under the funding formula. Now think about those numbers,
$301 million less than 2010-11. They are over $300 million worse off than they were in 2010-11. And this year, to make matters worse, under the proposed budget, they would still be receiving $520 million less than was called for in the adequacy target for this fiscal year under that previous funding formula which I mentioned.
Those are not made-up numbers, Mr. President. Those are facts. Those are real numbers. And the saddest part about this is that when you follow this out, at the end of those numbers is, in my opinion and many people's opinion, our most precious resource, which is our children. That is who looks down the barrel of those numbers, of those budget deficits, and they are real and they are not made up.
Fact: Pennsylvania's State share investment has dwindled significantly in comparison to other States. Let us talk about that for a moment. When we look at the distribution percentage of State to local funding in Pennsylvania, we see that the State is only providing 39.6 percent in a funding percentage share, ranking 37th in the United States. So right now at providing 39.6 percent, actually, to be exact, in funding percentage share, we rank 37th in the country. Of our neighboring States, Mr. President, let us take a look at that, only New Jersey ranks lower in their State percentage share ranking than Pennsylvania. We are 10th in local percentage share ranking with local revenue distribution coming in at 54.6 percent or 11.2 points above the national average.
So let us get back to some of the comments made on the floor at this point yesterday, that one district out of four is getting an increase. Now, of course some districts are going to see increases in their funding despite the overall State investment. We understand that. That is just the way things are, it is part of the process. But there are some school districts that have better tax bases and means to make additional investments than other school districts, and because of the high local percentage share, they will benefit from geography. Many of those same school districts also receive disproportionately greater State funding than other school districts because we no longer follow an equitable and adequate funding formula. Now, we talk about the Constitution, and remember those words, Mr. President, "equitable and adequate"; an equitable and adequate funding formula. We abandoned that under this administration. That went by the wayside. So, now, as a result of that, as a result of actions that were taken by this administration, Philadelphia educates, as we know, 12 percent of our school students in Pennsylvania, but the school district was walloped with a disproportionate 35 percent of the statewide funding cuts in 2011. Now, how is that equitable and adequate? Let me say that again, Philadelphia educates 12 percent of our school students in the Commonwealth, but the school district was hit under this administration because of its decisions with a 35-percent drop in cuts from 2011. A disproportionate 35 percent of statewide funding cuts since 2011. Those are the facts. We could sit here and talk about why we are where we are or about the Federal stimulus, but that is really not the issue. That came out of that same playbook that my colleague, Senator Costa, talked about when we attacked organized labor and what they have done and the sacrifices that they have made so that we can continue on. Specifically, let us look at what was done last year with the transportation bill which Senator Costa so eloquently pointed out.
So, I think we are in agreement on this: it is time to face the facts. I agree 100 percent. Let us just talk about the facts. Let us talk about where we are right now, where we were 3 1/2 years ago since this administration took office. Because wherever you are, when you are an elected official, when you are in the executive branch, or the legislature, you have to run on the record in which you have obtained, worked for, or acquired, and that is what the facts are right now. That is where we are. That is what is happening every single day to school kids around the country.
Mr. President, it is not just Philadelphia. Because when we sit in those hearings of the Committee on Appropriations, there are more people on the Committee on Appropriations team, Mr. President, than just people from Philadelphia, and we hear the same stories from other colleagues that their districts are being hit, that their school boards are having to raise property taxes year in and year out. So, when this administration says, with a straight face I might add, we did not raise taxes and we did not cut public education, and we did not do it by a billion dollars. Well, you show me your facts. Here are our facts. You show me the facts which support your claim that school districts around the State are not hurting, that local school boards are not raising property taxes, and that the Philadelphia School District is not in a state of significant budgetary deficit to the extent that we are laying off teachers, and that there are schools without nurses.
There was an incident a couple of weeks ago, a child in a school tragically lost his life. No nurse on duty. Now, that certainly is not the fault of anyone here, but let us be honest, if it has come down to a point where a school, an administration, a principal has to make a decision on whether or not to put a nurse in or whether or not to have guidance counselors, is that really earning up to or meeting that constitutional requirement of adequate and equitable? I mean, are those the choices that we here want our teachers, our principals, our administrators to be making?
I do not care where your ideology is on this issue, Republican, Democrat, Independent. The fact is that these are decisions that are being made every single day, and as we stand here right now on June 3, there are schools all over the Commonwealth that are making the decision, how many teachers do we lay off? How many students do we add to those classrooms? How many schools are going to be without nurses and guidance counselors? How are they going to make ends meet in September when they have to open back up? Those are real-life decisions. Those are facts which at the end of them are children's lives and their future at issue, which is our future.
I always shake my head when I hear the argument about where public education dollars are going, because the one thing you could say about public education is that it is the one thing that whoever you are - Republican, Democrat, Independent - when you spend those dollars, they are going toward our future, your future, my future. That is the future of this Commonwealth, and that is literally the future of this country. So, when you look at it that way, are you really willing to make those kinds of decisions? Decisions on whether or not to have a nurse at a school, a guidance counselor, or whether or not to put additional children in a room that the learning environment becomes untenable, impossible? Is that really what we want to do, and have we met our constitutional requirement to do that?
So, when we stand up here, like myself and the Senate Democrats and my colleagues have been saying, not just for this budget season but for years, advocating for a budget and a savings plan that will yield $1.1 billion and supporting a very fair severance tax on Marcellus Shale, which could yield $700 million for Pennsylvania. These are ideas, Mr. President, these are sound ideas that do not come with a cost to the taxpayers. They are ideas that can put us back on track with meeting our constitutional requirements to the children of Pennsylvania, and that is giving them a fair and adequate funding formula so that they have every single possible chance to succeed. That is what I think we should be doing here.
So, it is time that we face the facts. We have options available. We have options available to make this less painful for the folks across the State and for our children. We have options available to insure that our schoolchildren in Pennsylvania can learn their own facts and figures, because positive investments in education--this really is the heart of the issue. This is a fact that I do not think anybody can really argue with: positive investments in education, simply put, yield positive results. I mean, that is it. You could talk about the stimulus and one out of four school districts--and again, I welcome and I applaud the intelligent and vigorous debate that took place here yesterday with my colleague from the other side of the aisle. I look forward to additional opportunities to have these discussions with him and other Members because I applaud his advocacy and I applaud his enthusiasm, because he gives folks like myself an opportunity to stand here and allow these issues which we think are critical issues to be heard and for us to have an opportunity to debate them. So, as we move forward, Mr. President, and we have additional debate about where we are going to go and how we are going to solve this budget hole, let us continue to stick to the facts, because if we stick to the facts, I know at least the Senate Democrats are very confident that the plan that they have put forth, that the ideas that they have advocated for will put Pennsylvania back on track and, most importantly, will give the children of Pennsylvania each and every opportunity to be as successful as they possibly can. And at the end of the day, is that not really what we all want?
Thank you, Mr. President.
The PRESIDING OFFICER (Senator John C. Rafferty, Jr.) in the Chair:
The PRESIDING OFFICER. The Chair recognizes the gentleman from York, Senator Wagner.
Senator WAGNER. Mr. President, regarding the facts that were just discussed by my colleague across the aisle, here are five facts on Pennsylvania public schools. These are from the Pennsylvania Department of Education. They just released this information. It is the annual summary of their public school finances with the 2012-13 data, and here are some basic facts about school finances and spending that people in this building may not be aware of, Democrats, Republicans, and people viewing us today.
Here is fact number one: school district revenue is at an all-time high. Total revenue exceeds $26 billion, that is with a "B," which is $974 million more than it was in 2011-12. It is $800 million more than in 2010-11, the previous high. And nearly $3 billion more than in 2007-08, the last fiscal year prior to Federal stimulus funds being used to balance the budget. Here is fact number two: total school spending is at a record high at $25.56 billion, with a "B." This represents an $803-million increase over the prior year and $464 million more than the previous high. The fastest growing major category of spending is other financing uses, which is primarily interest payments on debt. Debt payments grew by 74 percent since 2002-03. In contrast, instructional spending increased by only 42 percent in the same timeframe.
Fact number three: school district reserves grew by $445 million. In 2013, Pennsylvania school districts increased their combined revenue funds by $445 million to a total approaching $4 billion as of June 30 of last year. Including charter schools and career and technical centers, public schools had more than $4.2 billion in total fund balances. School district total fund balances grew by $1.7 billion since 2007-08.
Fact number four: property taxes grew by 1.9 percent in 2012-13, the smallest tax increase, except for 2008-09, the first year that slot machine funds were available for property tax relief. The next lowest was 2.9 percent in 2011-12. Average annual growth in school property taxes has been 5.6 percent over the past 30 years, despite the claims that the $1 billion cut, which is in itself a lie, will drive up property taxes. Tax hikes over the last 2 years have been significantly lower than past years thanks, in part, to legislation tightening the loopholes by which school districts could raise taxes without voter approval.
Here is fact number five, and it is the best: employee benefits continue to outpace other categories. Over the last decade, school district spending on school salaries grew by 22 percent. In contrast, spending on employee benefits, driven by escalating pension costs, grew by 108 percent.
So, who is lying? Is it the Democrats? Is it the Republicans? The teachers? Is it the PSEA? Is it the Governor? Where is the rat in the woodpile? These are real numbers from the Department of Education.
The PRESIDING OFFICER. The Chair recognizes the gentleman from Philadelphia, Senator Farnese.
Senator FARNESE. Mr. President, I just want to say in response to the comments that were made, we can look at the numbers and we can talk about what the facts are, and the facts, I stand by my comments, the facts are the facts. But let us see when we leave here in June, let us see when we all go back to our districts and we have to ask the people of Pennsylvania to send us back to give us the privilege to represent them again. Let us see how many of us will invite the administration, will invite this Governor to our local schools to stand next to him and compliment him and tell him thank you for what you have done over the last 3 1/2 years. To invite him to come out to your district and stand with you and have your picture taken and make sure that he is there for you because you believe that what he has done in public education benefits all of the children and all of the districts that you represent. How many of us would have him come there and thank him for the good work that backs up these facts? I will not. And quite frankly, Mr. President, he will not come, because he is not going to walk into a Philadelphia school and talk to them. He already had that chance, and unfortunately, that ship has sailed. So, I do not expect to see him coming in and touting all
of these great facts, which have strengthened public education under his tenure, that have grown our base, and made our kids more successful, and given them every single opportunity. Sometimes actions do speak louder than words. Maybe those actions, when we leave here, will be more indicative of what the true feelings are. But it would stand to reason that over the next several months there may not be many of those pictures standing there and thanking this administration for what they have done for public education and thanking them for what they have done for your school district. I would bet not. But I guess, Mr. President, we shall see. But you will not see him in Philadelphia because I do not think he has got the guts to walk into a Philadelphia school.
Thank you, Mr. President.
The PRESIDING OFFICER. The Chair recognizes the gentleman from Allegheny, Senator Ferlo.
Senator FERLO. Mr. President, I will try to lower the volume a little bit because I do not want to send my colleague on the aisle opposite into traction here today. I want to thank the hundreds of Pennsylvanians who came down today, just outside our Senate Chamber on the main marble floor of our great portico and Rotunda here, basically talking about the urgent need for the State and Federal government to consider a long overdue increase in the Federal and State minimum wage. I know there were many from not only the urban core of Philadelphia and Pittsburgh--I represent a three-county area, including many small towns and some rural communities, and it was a very diverse group of individuals. Yes, there were some proud members who were wearing union t-shirts who do benefit from a higher wage, to their credit, and to the credit of all of those things that they have fought for, but the fact of the matter is that many, many working people are at the lower rung of the economic ladder. They do not have the benefit of even a collective representative process either through a union association, what have you, and I think that is justified for them, under our Constitution, to come to us for redress of their grievance, their grievance being basically that it is very difficult to survive on minimum wage, a minimum wage that has not really been increased for quite some time. I believe fundamentally that a rising tide can lift all ships.
At the national and the Federal level across our great nation, and it is a great nation with tremendous wealth, and yet, a complicated disparity exists within our midst. When you think that 8 million people across our great country go to work each and every day, very difficult jobs, day in and day out, night and day, three shifts, weekends, Saturday, Sunday, holidays, they work in the service industry and other low-wage jobs, and yet those 8 million people still live and work basically at or below the Federal poverty guideline. I think that is immoral, let alone just extremely unfair. When you look at the last couple of weeks, there have been a number of reports on the CEOs of major corporations in this country and, yes, the stock market is increasing, and for those who have the benefit of some retirement income, 401k, an IRA, you name it, some savings, investment account, they are doing better than certainly 2008-09. But the fact of the matter is that a lot of people do not have that accumulated savings and benefit that they could be accruing. Most people live day in and day out with the minimum wage that they earn, and are hard-pressed to make basic expenses.
That is why you see a lot of folks at church food banks and community food banks and the like. So I do think there is a moral issue there as well. I think it is very clear that in the last 40 years since the minimum wage was first instituted at the Federal level, if there was just a basic rate of inflation, cost-of-living adjustment, the $7.25 Federal minimum wage would now be roughly $10.86. So I do not think it is unreasonable that President Obama has suggested the $10 figure here in our State. There is a move on, certainly a number of Democratic colleagues in the House and the Senate, Senator Tartaglione in particular, our chairman of the Committee on Labor and Industry, has proposed an increase to roughly $10 an hour.
So I want to thank all of those folks who came down here today and peacefully protested and rallied and made delegation visits to their respective elected officials. I think it is also important to point out that--and you would think conservatives and Republican ideologues would consider the fact that when we raise the minimum wage, a higher wage will actually lift hardworking Americans out of poverty, and I would believe--and I do not have the actual factual statistics, I will try to work on that--you would actually see in our Commonwealth alone that the raising of that wage, the raising of the quality of standard of living for those individuals and families would actually remove them from various levels of government assistance.
So the issue is why not shift the burden that we are all paying through our taxes and the social welfare system and put it on the backs of the Walmarts of the world and other major corporations? I do think there are opportunities to make sure that teenagers continue to work during the summer in part-time jobs, but fundamentally, that is not the issue. It is really the class of working people who survive each and every day or try to survive each and every day on minimum wage and they just cannot make it. And the immorality of what is happening in this country--and at one point, I stood over there at the main podium and talked about our country going to hell in a handbasket. The fact of the matter is that the disparity that has grown in this country is not only immoral but it is inequitable, it is going to threaten our democracy at some point. The fact of the matter is that just the unbelievable salaries that CEO members of the corporate community are making, so disproportionate to the reality of their work. In fact, you see rumblings and a movement now with major stockholders who are now challenging CEOs who are taking an inordinate amount of profits from that company. It is up to 10, 12, 14 percent of year-end profits of major corporations, and that is just unconscionable.
So, I do think we need to grapple with this issue both at the Federal level and certainly at the State level. There have been at least three times that the Federal government has acted to raise the minimum wage. I do think it is important to point out, because in the last battle that we had to raise the State minimum wage, we Democrats also suggested it be pegged with some reasonable cost of living. We saw that with our local governments with the $10 so-called occupational tax, which had not been raised since the early 1960s. We finally changed it to a public service tax to help police, fire, and municipal budgets. We raised it to $52. I would strongly urge that we consider raising it to $100 or $110 to help all of the small
communities that we represent, and not just the city of Pittsburgh for me. I have many small towns and communities that need and would appreciate that revenue. When you think of some of the small towns that I represent paying police officers $9 and $10 and $11 an hour, they do not have membership in unions like the FOP, the firefighters, the IAFF. They are professionals but not as a State career public safety official. They have to wear a gun and run into burning homes when most people's instincts are to run out. For them to make $11 an hour or being volleyed and not having any kind of remuneration is, I think, unconscionable. So again, I think we need to recognize that there are at least 13 States that have already pegged the rate of inflation to their minimum wage increases, including the District of Columbia.
I will just close with, again, the thought that we should be doing something. I will have plenty of opportunities over the next few months to trash this administration and try to instill some factual reality, not mindless ideological dribble but some actual material regarding what the actual factual state of the Pennsylvania economy is post-Rendell years, in terms of unemployment and revenues to be raised. As much as the Governor is making about some growth within certain counties in the Marcellus Shale field, when you look at the loss of jobs, loss of income, the state of our budget, it is embarrassing when you compare it to the State of Ohio and the State of New York, to our west and to our north.
I think it is important to close with Bertolt Brecht, a German poet, when he talked about the following section of a well-known poem called "From a German War Primer" during the height of World War II, and he talks about the following:
Those who take the meat from the table
Teach contentment.
Those for whom the contribution is destined
Demand sacrifice.
Those who eat their fill speak to the hungry
Of wonderful times to come.
Those who lead the country into the abyss
Call ruling too difficult
For ordinary men.
There are a lot of thoughts in those words, Mr. President, and I would suggest that the people down at the rally today are people who should begin to fill these Chambers in the House and Senate, and maybe there would be a more just, a more equitable, and a more democratic society here in our great Commonwealth. Thank you.
The PRESIDING OFFICER. The Chair recognizes the gentleman from Allegheny, Senator Brewster.
Senator BREWSTER. Mr. President, I was not prepared to speak on the topic, but I want to address the school funding for my new friend from York County. I have been here 3 years and I must tell you, one of the frustrations I have had the whole time I have been here has been about our position on education. My good friend, Senator Farnese, covered most of the points, but I graduated in education. I was a teacher before I went into the banking business, and the frustration I have is there are an awful lot of people who have an opinion about education, but other than going through school they have literally no experience, not only in being there, but teaching. And one of the things I say to people all of the time as a former mayor, nobody wants to take on the hard issues. The reason we have problems in public education is discipline. That is the big problem. Nobody wants to talk about parental accountability. Too dangerous, unacceptable. It could hurt your career.
Now my good friend from York County presented a lot of statistics. I was not particularly impressed, not by him, but by the numbers. That is not surprising. In anybody's business - his, my business, our business here - expenses go up, revenues do not follow. That is not a new trend or a new thing. But I want to tell you, if you go out and talk to educators, talk to superintendents and school boards, parents and children, I am more cynical. Since I have been here, to me, it has been a calamity. The whole idea of charter schools, if you want public school business to go away or be destroyed, you just cut the money. The strong will survive, the weak will die. That is what is going on in this building, and we have compounded it with this thing we call charter schools, which I support. It is an unbridled business. We have talked about it, there has been no legislation passed right now on controls. We have teachers who can teach in the charter schools that do not have to be certified but in the public schools they have to be. We have not talked about the healthcare situation and what that has done in the education field. Nobody wants to talk about--by the way, how about this: how about a testing system that is completely useless. No consideration for cultural differences, regional differences, poverty. None of those things come into consideration.
The very first thing I heard when I came into this Chamber, they talked about teacher evaluations. I said, well, why do we not talk to the teachers and make them part of the process? The Senator, who is no longer here, said they would not be invited to the table. Now, what that told me was they were looking for failure. But here was the big bang theory: cut education a billion dollars. But, that individual said we are not raising taxes. When that was done, 400 school districts raised their taxes; 400. That was a de facto tax increase. That is a fact. Go ask those folks if they wanted to do that.
How about the jobs that were created? I sat here for months now hearing this 100,000 new jobs. I have a grandson at home who could have brought 100,000 jobs in with Marcellus Shale. They were coming anyway. But how about the 25,000 school-teachers who lost their jobs that went away? Who represents them? Who represents Clairton School District, which is trying to do the right thing, trying to merge with other school districts and is being told, no? How about the teachers in Duquesne? Who considers the poverty level? When I was mayor of McKeesport, we had the highest poverty level, the highest unemployment rate, the highest number of families without fathers before the recession. We have done nothing to help that.
I will tell you another fact, it is called the Constitution, and my good friends on the other side of the aisle, that is the only fact that they need to hear because the law says we have to do this with public education. If they want to supplement that with charter schools, so be it. But get the rules straight and make it fair. Because at the end of the day, I will defy anybody in this building to go to any school district, poor or affluent, talk to a student, talk to a parent, talk to a teacher, and ask them if they want their school district to go away.
If you are mayor of a community--and that is another thing about this room, we seem to think we know an awful lot about
local government. There are probably not five people in this room who have ever been in local government. But we know what they need. Try to develop a community. McKeesport was 55,000 people at one time, and I use that as an example. That region was the largest producer of steel in the world, protected democracy, so that we can have public schools. Now we have 19,000, people and there are people who think that we should not have a school district, too expensive, do not send them any money. We do not care what their grandparents did for democracy. We forget those things. I do not. Try and market a community that does not have a school district. When we did the cracker plant, we voted on tax credits, I voted for that as a banker. My question was, why not Allegheny County? Why not the brownfield sites? It was going to Beaver County. Who made that decision? See, if you are looking for a rat, okay, I can help you find a few. We are not all stupid. We either work together on this issue, Mr. President, or we are going to continue down this path and hurt people.
I want to remind my colleagues that we represent 12 1/2 million people, not just our districts. I do not think we talk enough about that when we hear what I consider to be inflated numbers and unnecessary emotion. We can solve this problem together in no time. And I will say this about the $1 billion in cuts, that did not have to happen overnight. If somebody had a financial unreadiness and had done their analytical reviews, and really wanted to do the right thing from a business perspective, you sit down with a business plan and say, listen 500 school districts, here is what we are going to do over the next 4 years. That is not what happened. What we said is, we are not going to fund you and then we will let you go to your local constituents, raise school taxes, and they will be up in arms. And to make your problem even worse, we are going to put together a charter school program that is completely unbridled, without regulations, and we are going to let that program steal students from your school district at an average of $15,000 a person, as in Woodland Hills, a $60 million budget where $11 million goes to a charter school. That is all a part of a cynical plan to dismantle public education, and then go to bed at night and think we are funding it. Not everybody is that stupid, and I apologize for my candor. Now, I do not disagree with my colleagues on a few things. There needs to be some control and we did that in the banking business. We know how to do that and are smart enough to do that.
Let me just close by saying this: We have some good people on our Committee on Education on both sides of the aisle. We did a very good job on special education funding legislation. I know there is some brainpower in this room to get it done, but we have to get past the nonsense and get past the idea that there is a rat in every corner. And remember one thing: I have to go home and look in the eyes of young people who are relying on us to make sure that they get educated. They do not know and they do not care where the money comes from. We have to figure that out.
Thank you, Mr. President.
The PRESIDING OFFICER. The Chair recognizes the gentleman from Philadelphia, Senator Hughes.
Senator HUGHES. Mr. President, I appreciate the opportunity to share a few remarks in the context of what I believe my good friend and colleague, Senator Ferlo, was discussing earlier, the fact that arriving here in Harrisburg today were several hundred folks from across the Commonwealth of Pennsylvania talking about the ongoing injustice that exists in this Commonwealth, and frankly across the country, about raising Pennsylvania's minimum wage. We have been spending time talking about the statistics around various issues, but I think it is important that we talk about the injustice of being one of too many States across this country who have not raised their minimum wage. After walking through the statistics, I will talk briefly about an experience I had on May 19. I had a rally that I participated in with about 100 or so low-wage workers and several elected officials. But quick facts on the minimum wage, $10.74 is what the minimum wage would be if it had kept up with inflation over the past 40 years. Instead, it is currently $7.25. Fifteen-thousand dollars is the annual income for a fulltime employee working the entire year at the Federal minimum wage; $15,080 is what a fulltime employee would be making over the entire year if they were working at the Federal minimum wage. I would remind folks, that is below the Federal poverty level. The number zero, that is the number of States where a minimum-wage worker can afford a two-bedroom apartment working a 40-hour week. That is a striking statistic. Zero is the number of States where a minimum-wage worker can afford a two-bedroom apartment working a 40-hour week. Three, the number of times Congress passed legislation to increase the minimum wage in the last 30 years.
We are woefully, dreadfully, and embarrassingly behind on this issue, Mr. President. In fact, nationally, when it comes to talking about the issue of minimum wage and equality wages, this nation does not fare well internationally when it comes to the issue of the minimum wage. There are too many nations around the world that pay a higher minimum wage than what we pay in the United States of America. We should not be proud of that fact, we should be working aggressively to try to change that statistic, change that fact.
But the most embarrassing thing, Mr. President, in this conversation about minimum wage is the whole conversation about tip-wage workers. Tip-wage workers, Mr. President, are those individuals who attempt to make it on tips. They try to make it on a sub-minimum wage statistic, which is currently $2.83 an hour, and then they try to supplement that wage with tips, with money they get from the tip jar, if you will. Unfortunately, there are thousands, if not millions, of people across this nation who are in the tip-wage category, but they cannot ask for tips. For example, you go to the airport, Mr. President who is currently holding the Chair right now, a good friend and colleague of mine, happens to travel out of a local international airport, which is the Philadelphia International Airport. The individuals who escort people throughout the airport who may be in wheelchairs and they are pushed around in their chairs to get from their flight to baggage claim, or get to their flight, the individuals who are pushing folks around make below the minimum wage. Many of them are tip-wage workers. Most folks do not know that, most folks do not also know that these individuals cannot ask for tips when they are doing their job, although they are tip-wage employees. They are not allowed to ask for tips. They are not allowed, in fact, to have a little cup on the side of their chair that a person who was escorted around could drop a quarter, or a dollar, or something into that jar. There are thousands of these individuals who
work in all of the airports across the Commonwealth of Pennsylvania. Ours is closest, Philadelphia, but Pittsburgh, and Harrisburg. I believe they have an international airport in the northeastern part of the Commonwealth, and an Erie airport. These are folks who are not allowed, even though they are classified as tip-wage workers, to ask for a tip, which means they are making below $7.25 an hour and they are the sole breadwinners of their family. This is the only work that they could get.
This is not fair. This is not right. This is an injustice. You are classified as a tip-wage worker but you cannot collect a tip. Think about it. If you ask for a tip, the company that you are working for will fire you. If you complain about that reality, the company that you are working for will fire you. You cannot have a little cup on the side of your little cart and have tips on the side of it, you cannot do that, so you are locked into poverty. It is bad enough that the current Federal minimum wage is below the Federal poverty level. Now we have folks who are making sub-minimum wages, tip employees, they cannot even ask for a tip. We have to do something about that in this Commonwealth.
In 2006 we saw the light. We voted for an increase in the minimum wage. We beat the Federal government by 3 years before they voted for an increase in the minimum wage. We saw the light in this State. It was when we were at our best. But we are at our worst when we sit here and see folks suffering, locked in poverty, working at a wage scale below the Federal poverty level, cannot afford to rent a two-bedroom apartment anywhere, not just in the State, but in the country, and if they are tip-wage employees, they cannot even ask for a tip. As I said, tip-wage employees are recognized by the law, are paid below the Federal minimum wage, and the statistic that we are looking at is tip-wage employees make $2.83 an hour, and hopefully they can get a tip.
Mr. President, we have been better as people in this Commonwealth. We have been better citizens in this State. When we recognized the plight of those individuals who are working two, three, and four jobs trying to make ends meet and we try to help them out in various ways, that is when we are at our best. We are at our worst when we do not recognize their humanity and we allow them to work in an environment that traps them and gives them no freedom to move up. It does not even allow them to earn the income that they are legally entitled to earn as a tip employee, a tip-wage employee, and they cannot even ask for tips. Mr. President, my hope is that before June 30 is over we will see the light and we will do something to recognize their humanity and their dignity and give them the scale and wage that they deserve to have. Mr. President, we can do better. I hope we will see the best in all of us and enact an increase in the minimum wage. Thank you.
RECESS
The PRESIDING OFFICER. The Chair recognizes the gentleman from Lehigh, Senator Browne.
Senator BROWNE. Mr. President, I move that the Senate do now recess until Wednesday, June 4, 2014, at 11 a.m., Eastern Daylight Saving Time, unless sooner recalled by the President pro tempore.
|
6 Ways to Grow Your Audience
TELECOM
How it affects you!
GEHRON & PEARLMAN
American Radio Systems
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At Prudential Securities we believe half a solution is no solution at all. So we start by assembling a team of senior level bankers and research analysts with knowledge and experience specific to your industry, your company and the investors who follow them. Functioning with industry specialization, this team is committed to the design, implementation and execution of your transaction. And they remain involved — with senior leadership intact — through implementation and after.
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DEPARTMENTS
Publisher's Notes ................................................................. 6
People In Ink™ .................................................................. 8
Letters ............................................................................. 10
Forum ............................................................................ 11
News .............................................................................. 12
Million Dollar Club™ ......................................................... 13
AD INK™ ........................................................................ 35
Ad-Dendium™, Success Story, Ad News, Q&A
SALES INK™ ................................................................. 39
Hot Tips, NonSpot Revenue, Sales Meeting, Managing Sales,
Sales Promotion Planner
PROGRAM INK™ ........................................................... 43
PD Forum, SoundBites, Talk Talk, WebSite-ings™
Events Calendar ................................................................ 54
Copy Clips ....................................................................... 55
Product News .................................................................. 60
Grapevine ....................................................................... 61
Blast From The Past™ ..................................................... 62
Advertiser Index ................................................................ 62
COLUMNS
Management ..................................................................... 14
6 ways to grow your audience.
by John Lund
Marketing ........................................................................ 16
How much do your promos cost?
by Gene Spennato
Research ........................................................................ 18
Music research results may not be as close as they appear.
by Tom Kelly
Engineering For Management™ ........................................ 20
Computers can't be wrong, can they?
by Bill Suffa
Sales ............................................................................. 40
If you're not in the plan in the beginning ...
by Bill Burton
New Business Development ............................................. 41
How to make a national retailer local.
by Sharon Mager
Programming For Management™ ..................................... 44
Surviving the post-telecom bill blues.
by Corinne Baldassano
Talk Radio ...................................................................... 45
Baseball's penance is done.
by Holland Cooke
COMING NEXT ISSUE
▶ How To Survive The Coming Boom, Harry Dent Jr.
▶ NAC: Cool Format That's Hot
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Copyright © 1996 by Streamline Publishing, Inc. and Radio Ink (ISSN 1064-587X) All rights reserved. Radio Ink is published biweekly January through June, semimonthly in July, biweekly August - November and monthly in December. 25 Issues per year. Streamline Publishing, Inc., 224 Datura Street • Suite 701 • West Palm Beach, FL 33401. © Radio Ink is a registered trademark of Streamline Publishing, Inc. POSTMASTER: Send changes of address to Radio Ink, 224 Datura Street • Suite 701, West Palm Beach, FL 33401. Periodicals Postage paid at West Palm Beach, FL and additional offices. Subscriptions: Mail subscription rate: Two years $225.00, One Year $125.00, Six Months $75.00. Canadian subscribers $35.00 for two years, $175.00 for one year, or $100.00 for six months. European subscribers $398.00 for two years, $199.00 for one year, or $100.00 for six months. (Florida residents add 6% sales tax.) All subscriptions, renewals and changes of address should include address label from most recent issue and be sent to the Circulation Department, Radio Ink, 224 Datura Street • Suite 701, West Palm Beach, FL 33401. Copying done for other than personal or internal reference without the express permission of Radio Ink is prohibited. Address requests for special permission to the Managing Editor. Reprints and back issues available upon request. Printed in the United States. Bulk Business Mail paid at West Palm Beach, FL • Permit #039 for third class enclosure.
CBSI Has A H.O.T. New Traffic & Billing System!
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Call CBSI to learn more about Premier, or about CBSI's new versions of Classic and Elite traffic and billing systems. Here's a sampling of Premier features built into each system:
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Get absolute clarity of the contract for you and your client, and customize it for your specific needs.
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Available for DOS and Windows formats, now you can cut and paste entire contracts easily.
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Dear Captains of Industry ...
For the first time in the history of this column, it's being addressed specifically to the "captains of industry" in the Radio business ... the people who will own and control a majority of the Radio stations as a result of the telecom bill's recent rule-making. If you are, or plan to be, a mega-owner, please read this:
Your company now has an opportunity to achieve almost limitless growth. With that growth comes an industry with a lot of fears, opportunities, responsibilities and changes. How you handle each will not only impact your company, but for the first time in Radio history, the changes made by the mega-companies will have a domino impact on all Radio stations. I'd like to ask you to consider a couple of things.
Traditionally the big companies have often paid for things from which the smaller stations benefit. If these things are brought in-house or become a collaborative effort among a few of the bigger companies, the rest of the industry loses. I would encourage you to explore the effect of your actions on the entire Radio industry and take an attitude of having a responsibility to the Radio community. History has proven that some of the best new ideas, formats, programs, talent, salespeople, etc. come from smaller towns. Survival of the industry below the top 20 or top 50 is crucial to your success.
The survival of the NAB, the RAB, AWRT, and many others is dependent on the participation and membership of the "big guns." If you took all your lobbying in-house and the NAB went away, our industry would suffer the loss of a voice on Capitol Hill. If you took sales research, training and support totally in-house that could force the elimination of the RAB. Suddenly the rest of the stations would lack much needed support and materials. Your support is necessary for these organizations to survive.
Big events and programs thrive on the support of those who have the dollars. Without some of these programs, again Radio suffers. Events like the Mercury Awards (which encourage ad agencies to use Radio) could suffer if two major contributors consolidate and only give the money that one previously gave.
We all strive for high profitability, however, a line-item cut here and there in your company could impact hundreds of lives! Obviously consolidation of departments eliminates jobs. Consolidation is where a big part of your profits are returned, therefore I can't ask that you not take advantage of this. What I can ask is that you consider the negative impact you'll have on the industry and look for ways to lessen it.
I want to see you succeed and make as much profit as you desire. Radio has never before faced a time when so few could impact so many. I hope you'll embrace the responsibility we all hope you'll assume, and that you'll understand that Radio is like the many small downtown retailers who were forced to change when Wal-Mart came to town. Our industry needs you to maintain a sense of pride, commitment and duty to the community of Radio.
Eric
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Circle Reader Service #106
Where The Boys Are
Picture if you will ... a 13-year-old boy goes through the relatively effortless task of filling out an entry form at McDonald’s to have a popular music act come to his school and perform. Nearly half a million entries later — Boyz II Men is singing in his auditorium. The young boy, Peter Schinas, became hero for a day when his entry won the Fox Children’s Network (FCN) “Fox Rocks Your School” contest and brought the mega-group to his school, Roosevelt Junior High in New Bedford, MA. The contest, done in collaboration with McDonald’s and Motown, covered all media fronts with Boyz II Men appearances on the nationally syndicated Fox Radio show “Fox Kids Countdown,” an exclusive feature in the Fox Kids Club Magazine, Totally Kids, and a national on-air campaign on FCN featuring the Boyz.
Then it was on to the stage where Fox Kids Countdown host Chris Leary () and Charlie Winterhalter, owner and operator of a New Bedford McDonald’s, presented Schinas with his very own Motown/McDonald’s/FCN denim jacket. After that it was time for Leary to hand off the mike to Schinas to introduce the band. The Boyz put on quite a show as Schinas and friends cheered wildly. Afterwards, everybody hung out backstage for a little fun and games. And finally Schinas said good-bye to his newfound friends and returned to the school for his coronation as king of Roosevelt Junior High.
Leading The Way
Not too long ago, Arbitron held its Leadership Conference in New York bringing key agency leaders responsible for spot billing together and providing a tour of Arbitron’s facilities and a day of seminars. Onhand were Erica Phillips () from Arbitron’s L.A. office and Fran Kennish of Young & Rubicam discussing those guys behind them. Meanwhile J. Walter Thompson’s Wendy Crock () listened as John McSherry of BJK&E expounded the size of his hand. And Bruce Goerlich of DMB&B talked about his stunt double work for Judge Ito in the new movie, Ito: Out For Blood!
SEND YOUR “PEOPLE IN INK” PHOTOS TO:
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We put the finger on 3 more stations.
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Radio Has Always Been A Primary Medium
Radio has always been a primary medium, before and since the creation of television, and it will continue to be a primary medium once the information superhighway is built. Our problems are primarily self-inflicted. Radio espouses a self-limiting theory like OES (optimum effective scheduling) telling advertisers, "If you buy more than this, you're just wasting your ad dollars!" We let self-appointed swamis, programming gurus and assorted media wizards hoodwink us into believing that any more than one ad an hour for the same advertiser will offend our listeners! How big an ad is too big in the newspaper? Aren't four Pepsi ads in the Super Bowl overkill? Please, someone out there get a grip! There is nothing fundamentally wrong with Radio ads, and if there is why would we sell any?
The concept of Radio as a primary medium is in how it is sold. That is, we must ask for all of the budget, or at least comparable dollars, over comparable time, as do the other primary media. To do any less is to communicate a lack of faith in our medium and shrug the obligation of accountability for the success or failure of the advertising in question.
Charlie Ferguson, GSM
KCJB-FM/KYYX-FM
Minot, ND
[Based on the study's findings], the future of the '70s format is clearly bright, not bleak as you conclude.
As to your assertion that "most '70s stations are realizing less ratings success than when they first came on the air," that may be the case with the Rock-oriented approach to the '70s format, but not with the mainstream approach.
How can you say, "The format is already mature."? That statement lends credence to all those owners and managers who continually change formats and never achieve success. Like it or not, the '70s format is still in its infancy.
Your quote from Stratford Research's John Dickey says volumes more about the potential of the '70s format than the entire rest of the article, "Most '70s stations can achieve mass appeal providing they properly evolve their brand."
In this day of instant gratification, failing to allow a product (format) to evolve is all too common a practice, and articles like yours do nothing but contribute to the problem.
Jack Crawford
Director, Affiliate Relations
Westwood One Radio Networks
Editor's Note: Research is always open to interpretation. We received direction and suggestions for this article directly from the people who conducted the study ... Stratford Research.
'70s Article Misleading
I was extremely interested since the conclusions drawn in your article ["'70s: A Bleak Future?"] are 180 degrees different from what we've seen in monitoring the progress of the Westwood One '70s format which debuted November 2, 1994.
Having now read the Interep report myself, I see that their findings parallel ours and that your article was at best misleading. I find it difficult to believe that your article was based on this same study!
Love At First Exposure
Thought you might want to know what happened to Bill Love — "Blast From The Past" on the back of the February 26-March 10 issue. I'm at WKDQ in Evansville, IN.
The nurse mentioned in ["Blast"] is still complaining but this year we celebrate our 21st wedding anniversary!
Bill Love
WKDQ
Henderson, KY/Evansville, IN
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Radio Ink is a positive Radio industry resource designed to continually educate readers by providing fresh, stimulating and actionable ideas in marketing, sales and programming along with refreshers on the basics. Content is 100 percent related to Radio and is-to-be-considered a no-bias publication, giving equal emphasis to all formats, market sizes and geographic regions. All editorial material is geared toward building the success of the reader's own station and the radio industry overall.
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What is the biggest change in your market and how have you dealt with it?
Phil Zachary, VP/GM • WRDU-FM/WTRG-FM • Raleigh, NC
In 1987, virtually every major Radio station was locally owned, few operators used research companies or programming consultants, local sales were driven almost exclusively by relationships and, in general, Radio here had a "small market" attitude.
Today the presence of national operating companies like HMW, Prism, U.S. Radio, Pinnacle and (soon) SFX bring a higher degree of programming and sales expertise to the market. The listening audience has benefited from a dramatic improvement in the array of available formats, while local advertisers have a wider choice of viable psychographic targets from which to choose. The new market players have imparted strong philosophies of revenue development and sales training resulting in costs per point that are routinely much higher than those in larger cities. In just two years, market revenues are up an amazing 40 percent and our local Radio broadcasters association has launched a powerful "Vote Radio" campaign of new business development and general advertiser awareness.
Ray Watson, Senior VP • KXL-AM/FM • Portland, OR
The market was initially slow to duopolize, but the momentum has picked up in the past year or so.
I see all of this creating additional momentum in the market. This adds up to selective consolidation of costs, better programming and increased station revenues. Portland has had double-digit growth for the past four years — billing more than $78 million in 1995. January and February '96 see the same trend continuing.
Richard Heilmann, GM • WFMC-AM/WKTC-FM/WGBR-AM • Goldsboro, NC
We've all seen big changes in ownership consolidation, both in our own industry and many advertiser categories. But, operating in several smaller markets, we have seen a tremendous consolidation of retailers.
Large national chains continue to replace many locally operated retail stores, and much of the retail advertising is national and regional with much less local control.
Fortunately, the tremendous increases in advertising of local service business and new technology products has offset the decline in local retailers.
Product categories that once were alien to Radio are now on the air, from professionals such as attorneys and financial planners to a wide range of health care industry advertisers, such as doctors, hospitals, chiropractors, urgent care clinics, etc.
Thanks also to new technology, Radio has new advertising dollars in the communications industry such as satellite TV dealers, cellular companies, paging services and computer services and retailers.
IF YOU WOULD LIKE TO RESPOND TO A FORUM QUESTION, CALL SHAWN DEENA AT 407-655-8778.
GREAT RATINGS ARE PAR FOR THE COURSE!
Our award winning facilities make the perfect getaway for your listeners or the perfect meeting place for your next conference. With 90 holes of Championship golf and a world class spa, our Resort has something for everyone. Let PGA National Resort & Spa boost your ratings!
Duopoly’s Impact on Ratings and Revenue
Future Will Focus on Market Domination
by Thomas J. Buono
With the new telecom bill, the implications for ownership, operational strategies and financial performance are intriguing. What has the impact of duopoly been over the past three years and what does the future hold under the new ownership rules?
With the allowance of duopoly ownership, the number of duopoly stations grew from zero in mid 1992 to about 1,660 at the end of 1995. In the top 10 markets alone, over 170 duopoly stations now exist. There are at least 14 duopoly stations in each of the top 10 markets and there are 28 markets in which at least half of the stations are part of duopolies.
Listening and Revenue Shares
In terms of listening, there are 93 markets in which the duopolies accounted for at least 50 percent of the local commercial listening in 1995. Of these, 18 markets had over 75 percent of local commercial listening going to stations that were duopolies. In 20 markets, duopoly stations garnered over 80 percent of the revenues available in those markets. In eight markets, the duopoly stations accounted for an amazing 90 percent or more of market revenues.
The revenue shares controlled by the duopoly stations in 1995 was typically higher than their share of local commercial listening. Representing 30 percent of the stations in the Arbitron-rated markets, duopoly stations accounted for 39 percent of local commercial listening in 1995 yet garnered 42 percent of the Radio revenues. The average duopoly station nationwide generated almost twice as much in revenues than the average nonduopoly station in 1995.
Duopoly Or Success: Which Came First?
In general, most of the stations acquired were purchased by well-run operations capable of buying their stronger competitors. With an opportunity to buy just one more FM in a market, most buyers opted for the “best” station, as they perceived it, that they could acquire. This raises the question, “Were these stations duopped because they were more successful or are they more successful because they were duopped?”
We examined the performance of 520 stations involved in duopolies in which one station was owned before the existence of duopoly and the other was acquired in 1993 or 1994. Over the 1992 to 1995 period, the average 12+ Spring audience share for the combined duopoly stations increased from 6.02 percent to 6.19 percent. Surprisingly, in the top 10 markets, for the 36 stations involved in such situations, the average audience share actually declined from 4.10 percent in Spring 1992 to 3.99 percent in Spring 1995. In markets smaller than rank 100, the average audience share increased from 6.82 percent in Spring 1992 to 7.39 percent in Spring 1995.
Station revenues at these duopoly stations were up 26 percent over the 1993 through 1995 period, as compared to a 20 percent increase for their markets. While the average listening share actually declined in the top 10 markets, revenue increases at these stations averaged 31 percent, compared to 19 percent market revenue growth. These data indicate that duopoly stations, in general, have outpaced their markets in terms of listening and revenues. The audience share gains have been greatest where competition is limited, but the greatest revenue gains were experienced in the largest markets. Under the new rules, the impact will be even more dramatic.
Market Domination
Duopoly is already an industrywide phenomenon. Under the new rules it will be replaced by triopolies, quadropolies and pentopolies. We expect the number of in-market combinations to climb to well over 50 percent in most markets by the end of the decade. We expect that marginal utility (audience revenue and cash flow gains) of tripoly, quadropoly, etc. to diminish. With expansion of the in-market ownership limits, much of the future activity will focus on market domination.
Tom Buono is president/CEO of BIA Publications Inc. He may be reached at 703-818-2425.
When you listen to a song on the Radio, which of the following most affects your like or dislike of the song?
- Music
- Words
- Both
- Don't know
- Refused
- Don't listen to Radio
Source: Radio Ink—Yallie/Gallup Radio Poll of 1,007 persons 18+, margin of error ± 3%
6 Ways To Grow Your Audience
Marketing for Cume And AQH
Most Radio stations create a budget for promotion. Getting the most value from that budget is management's goal. Priorities include working the station core with the goal of promoting to them and for them on the air. Managing time spent listening goals, building audience, and fighting attrition are equally important.
There are ways to promote the station's value without spending a lot of money. The first objective is to replace the generic product (format) with a specific brand (station). For example, the consumer may be aware of Country music and even listen to it, but until the station becomes his/her choice for Country, the audience does not grow.
6 Ways To Grow
Consider the following ways to "grow an audience":
1. The "At Work Fax Network" is an effective yet inexpensive way to build brand loyalty. Obtain fax numbers at every opportunity. Utilize telemarketing, contest registrants, current cume, and purchased lists as sources. Entered into a simple and inexpensive fax software they become an invaluable tool. Fax phone calls are far cheaper than postage! Fax weekly to the database "network" and describe what's coming up on the air that day or week. Prepared at the end of the day and sent overnight, the receiving fax machine is likely to be unused. Check into "junk fax" laws and remove those who don't want to be part of the network.
2. Marriage mail reaches consumers and turns them into cumers. Quite often, it can be done "free" if the station passes the mailing cost on to advertisers. Trade noncash prizes. There is value-added for advertisers being involved with a station tied to another medium like direct mail. Include a bounce-back card to retrieve names/addresses/fax numbers of respondents. Explore Val-Pak and other local area direct mail venues.
3. Music stores are great places to find Radio listeners. Work with a local chain to provide end caps featuring station logo and printed "top 30" in exchange for on-air promotion. If the store features weekly price leaders, promote that album as your "CD of the week."
4. Add a local TV weather personality to the station's line-up. It's more valuable to have a local weather celebrity than a national weather "voice" and the TV station certainly "out-cumes" the Radio station. Build a relationship whereby the TV station gets on-air promotion and, in return, the Radio station gets the logo on TV every time it airs a promo for weather. Make this talent a part of the Radio station with personal appearances at remotes; he/she could mention the Radio event during the TV weather forecast!
5. Gain recognition at charitable events. Get the station logo on printed materials and hang the banner at the site where station talents host the public service event. This "images" the station and gives potential cumers something to remember it by. Document the goodwill and positive work done for the community in a press release after the event.
6. Use the station vehicle to gain attention. Don't waste a promotional opportunity parking it behind the station. Instead, leave it where it will be seen. Also, create a scene and get an old pick-up truck, car or hearse, and cover every inch with bumper stickers! Take it everywhere. Park it daily in high traffic areas — the fair, craft show, busy street corner, or flea market! Use this rolling billboard for errands. People will stop and look. Inside the windshield, leave signs that promote the station talents, core artists, contests, and unique benefits for listening.
John Lund is president of The Lund Consultants to Broadcast Management and Lund Media Research. He may be reached at 415-692-7777.
WE JUST HAD A GREAT FIRST QUARTER.
Last fall we announced we would offer our expert music programming services in return for barter spots. On January 1st, we launched our barter operation with a national audience share equal to many mature satellite-delivered music networks.
We’re still signing new clients—we call them clients, not affiliates, because our relationship is anything but passive. Rather than distributing one-size-fits-all formats, we serve them one at a time—single stations, duopolies and groups—with guidance from our expert Programmer-Consultants, researched music formats, format libraries, weekly playlists and up-to-the-minute programming tools.
We’re in business to build stronger local radio stations. And because we respect each client’s needs, our barter plan is only an option. Many stations choose to pay for our services with cash.
When good local broadcasters add our services and execute well, the result is always audience and bottom line improvement. And now, we have a new kind of happy client. Already, the Broadcast Programming Local Radio Network has earned praise from advertisers for high quality, smooth operations, and measurable listener response.
Thanks to all our clients—stations and advertisers alike—our national representative, MediaAmerica, and our terrific staff. You’ve helped us create a rare phenomenon: a win-win-win situation.
(800) 426-9082 • (206) 728-2741 • FAX (206) 441-6582
2211 FIFTH AVENUE, SEATTLE, WA 98121 • http://www.bpradio.bdcast.com
TELEMARKETING WORKS!
You could experience rating increases like these stations …
WWDC – Washington DC 2.9 to 3.6
KYXY – San Diego 4.4 to 5.4
WDAS – Philadelphia 4.8 to 5.5
KRTY – San Jose 3.0 to 3.6
WGOR – Augusta 4.5 to 6.9
WUSY – Chattanooga 19.5 to 22.8
WXTU – Philadelphia 4.7 to 5.3
KGBY – Sacramento 5.3 to 7.3
WXKB – Ft. Myers 4.7 to 6.9
WEGX – Florence 4.1 to 6.1
WGGZ – Baton Rouge 3.7 to 5.5
Now Available for Cash or Barter
MARKETING / RESEARCH PARTNERS, Inc.
800-767-3533
How Much Do Your Promos Cost?
It Just Might Alter The Way You Produce Them
It's 3 o'clock, and you have just been summoned to the annual budget meeting. "They can't possibly cut mine anymore," is a fearful thought that reverberates through your head as the powers that be assemble to have a look at your numbers. This is Defense 101 and you are going to protect every thin dime. Yes, these are members of The Team, but department heads are very territorial, and stealing money from your budget always sounds good to them.
Can You Justify This?
Hours later, just when you think the inquisition has finally ended, "There's just one more thing we'd like to discuss" cuts through the air in the conference room like a profane word that somehow got past the dump button. Seems they have secretly gotten together and run a tally on the amount of available inventory you used up to promote the station. Then the official bean counter is politely asked to take that number and multiply it by the station's average unit rate. "Can you justify this?"
Think about the number of station promos you run each week. Each month. Imagine being handed a bill for the air time or paying for it out of your budget. Would it change the way you approach the production of those promos?
Unfortunately, many station promos are just slapped together by a jock feverishly racing to get out the door or some new rookie who is now the lowest man on the totem pole. Hey, we abuse the rookies. That's what this business was built on. But look at it from this perspective: Whose hands do you trust to promote your product in the best possible way, especially since you are now being theoretically asked to cough up dead presidents to pay for the availss?
Breaking The Mold
Assuming for a moment that the production is now in very capable and nurturing hands, the next logical step is to break the mold. Avoid crutches like here's what you missed this morning on the WXYZ morning show. Forget the theory that every single promo must begin and end with the station call letters. And make the promo prove something. For example, if you have a controversial personality on your station, do not say he is controversial — prove it!
There has to be more to say than less talk, more music, the best variety, etc. ... The audience has been bombarded with these clichés and could care less. Listeners are much more savvy and demanding these days. Insulting their intelligence probably won't do much to help your cause.
Imaging
The real hook in station promo production is imaging. The theory of imaging is to give the listener something to identify with, so they, in turn, can identify with you. Want proof? See how many national ad campaigns show or mention their product more than once. However, you have a tremendous advantage over these national clients. You aren't shelling out all that money to promote your product. Or are you?
Gene Spennato is president of Woodstock Cherry Productions. He may be reached at 800-503-2754.
We let Rick Dees use one and now he won’t give it back!
“Nope. No way. Forget it. This Instant Replay is mine.”
Hey, we understand. After all, Instant Replay puts 1,000 of his favorite noises right in front of him — ready for instant playback. No other audio player makes it so easy to be spontaneous and creative. It’s fast, it’s easy and it’s fun.
Check it out. One Instant Replay can store up to 16 hours of stereo sound. That’s 16 hours of sound effects, spots, promos, even entire songs — anything — and you can play any of them back instantly just by pressing one of 50 Hot-Keys! There’s no need for a computer and no need for training. It’s self-contained and it works right out of the box — just push the buttons and go!
To prove how Instant Replay can make your station better, you can Test Drive one with no obligation! Call us now for free overnight delivery of your Test Drive unit. And like Rick Dees, once you get your hands on Instant Replay you won’t want to give it back either.
5321 Sterling Center Drive • Westlake Village, CA 91361 • (818) 991-0360 • fax (818) 991-1360
If you’re a call-letter station, you can try Instant Replay for 10 days with no obligation. If you decide to buy Instant Replay, we’ll make arrangements through one of our authorized dealers. Offer good in the continental US only. Offer expires July 1, 1996.
* Suggested retail prices: $2995 for 4 hours of storage; $3495 for 8 hours of storage and $3995 for 16 hours of storage.
360 Systems Instant Replay is a registered trademark of 360 Systems. ©1996 360 Systems.
The Music Research Reflection
Warning! Results May Not Be As Close As They Appear
It's better to have some research than to have no research, but bad research is worse than none at all. Music research can give your Radio station a significant edge by getting inside the listeners' heads. It provides a pipeline that can predict how the audience will react to certain songs when you play them on the Radio. Unfortunately, if this information is not gathered properly, your data may not accurately reflect listener tastes, and using bad data for programming can result in lost listeners.
Refuse Referrals
Incorporating "referrals" into your research sample further reduces the reliability of your results. Referrals are those who were not contacted via traditional recruiting means but were referred by someone else in your sample. From a cost standpoint, it is cheaper to recruit 50 people and a friend than it is to recruit 100 randomly. Some research companies have been known to cut corners so much as to only recruit 10 to 20 people randomly, then ask for a referral, and further ask a referral for referrals. This is how you can end up with groups of people who know each other at auditorium tests or focus groups.
Target Diary Keepers
If your goal is to increase your ratings, you should sample your market the same way that Arbitron does. Conduct your music research using your entire metro as the sample area. Don't let your research company confine your recruiting to a small portion of the metro with cheaper dialing, exchanges or close proximity to a test center. Be sure to include respondents from every corner of the survey area so that you have a good mix of people from the city, the suburbs, and the rural areas.
Random Digit Dialing Is Better Than List Samples
Your goal is to create a sample that closely resembles your total listening audience. The best way to achieve this is through random digit dialing. It is cheaper and easier for your research company to opt for "list sample" which may be derived from magazine mailing lists or an in-house database of residents who have participated in research in the past. Relying on these lists reduces your overall universe and may not accurately reflect your whole audience. Would you want to make music decisions based solely on your request line callers, contest winners, the PTA or the bowling league? Of course not. They aren't the whole audience.
Better Control Delivers Better Results
It's important to have open communication with your research company. Don't let them confuse you or get you to agree to something you don't fully understand. If you haven't done so already, call your research company now and be sure you are getting what you need to make accurate music decisions: random sampling, no referrals, and total market coverage.
If your music decisions are wrong because of invalid research results, it will cost you listeners, ratings, and maybe your job.
Tom Kelly is president of Philadelphia-based Kelly Research. He may be reached at 610-446-0318.
The Future—Today.
Your on-air system isn’t cutting it. You want something that was “made just for you.” Look no further. The system of the future is here today from Gentner and Harris—your complete source for audio conferencing.
Simplify the process of bringing callers together with fingertip control from Gentner’s TS612 DCT. The TS612’s dual super-hybrid technology provides crisp, clean caller audio with much more flexibility.
Callers will be less likely to switch since you’ll get that smoother on-air sound you’ve been looking for.
The control surface is easy to use. It seems like an ordinary business telephone. But, ordinary it’s NOT!
On-air talent can screen a call; transfer it from the handset to on-air conference with as many as four callers together; and lock in a VIP guest.
Thanks to line status indicators that are multi-colored, the user can instantly tell who’s on the air, on hold, screened or talking to the producer.
With Gentner’s SCREENWAIR software and a PC, the screener uses a keyboard and headset instead of the control surface and preselects calls for on-air and adding names, comments, etc. An additional monitor is placed in the studio where the talent can see who is on screened hold.
With NETWORK INTERFACE you can expand the TS612 system into multiple studio configurations. Add a Network Interface for each mainframe and the communications link between studios or proper management of 12 phone lines is provided.
Telephone calls for broadcast teleconferencing and pro audio applications are made easy with Gentner’s TeleHybrid. Simply connect it to your existing telephone to deliver full duplex audio to your console or conference system without the fear of echo or feedback.
The TeleHybrid “installs” between your telephone and its handset. Audio connections to your equipment are made with XLRs.
With the TeleHybrid, the hassle and expense of dedicated phone lines are a thing of the past. Your regular telephone system becomes your “on-air” system. Anyone in your facility can screen a call or transfer it to the studio or boardroom. Best of all, the TeleHybrid is very affordable.
The TeleHybrid is the key to simple, great sounding telephone calls on your professional audio system.
1-800-622-0022
FAX 317-966-0623
http://www.broadcast.harris.com
NAB Audio Hall #3517 and TV Hall #5809
Well, The Computer Says ...
Computers Can't Be Wrong, Can They?
Have you heard this one? "Hey Boss, according to my whiz-bang computerized coverage program, we can get 200 watts (out of 100,000) more toward The City if we change the antenna position! It will only cost $15,000."
Computers are wonderful. But I think that common sense and careful thought are two of the most serious casualties of our addiction to computers. I sharpen my fangs at the mere mention of the words, "The computer says ..."
A False Sense Of Security
It's pretty easy to be lulled into a false sense of security that, "If it came from the computer, it must be right." Unfortunately, unless the people who use the program, and review the results, understand the analysis that's performed, it is easy to reach the wrong conclusion.
It doesn't take rocket science to be a good engineer. It takes common sense and the ability to apply logic to solve problems. Although the computer is a valuable tool, it does not, and cannot, make decisions.
As professionals, be it marketing, management, or engineering, we constantly make decisions that affect the ability of Radio stations to perform well and generate revenue. We also make decisions that affect our social contract, as embodied in the telecommunications laws and FCC regulations. I believe that the value added by our skills is the ability to analyze the available data and evaluate the relationships between those data. Rarely does a decision involve a series of singular "Yes-No" answers. Much time and money is wasted by decisionmakers who fail to consider trade-offs, unfortunately, computer programs often fail to provide the decisionmaker with the crucial intermediate data about trade-offs that are used to reach a decision.
Recently, for example, an FCC staffer claimed that one of our AM antenna designs would cause interference to another station. I was perplexed because of the care that went into the design of the antenna. We re-ran our interference studies, by hand, to try and locate the problem. We could not find any, but asked the commission to "hold" processing until we could discuss it with another staffer. After discussions with the FCC's AM engineering expert, it was concluded that my results were right, and some form of error had occurred in the original staffer's examination of the application (most likely due to a glitch in the computer program).
Similar things happen in financial decisions involving Radio engineering. Engineers use computer models to do their work, and like financial models, these need to be validated to see if the results are realistic. Do you trust the cash flow projections for your stations without comparing the computer model to previous financial results? Do you insist on careful study of sales and expense data, demographics, and division of advertising revenues among the various media? Do you benchmark the results to see how good your projections are? Do your lenders insist on this?
Verify The Results
Why should you accept things differently with engineering? Like your lender, you have a responsibility to make sure that your investment is a good one. You should fulfill that responsibility by asking questions about the methods your engineer uses, asking about validation of any models, and most important, allowing the engineer time to review and verify his or her results.
About the quote at the beginning of this article? Read it again, and consider whether the response should be: isn't it close enough as it is? My point is that computers are a tool to solve a problem. The user must know how to set up the problem, and how to determine whether the results are accurate.
William P. Suffa is principal engineer for Suffa & Cavell Inc. in Fairfax, VA. He may be reached at 703-591-0110.
TRYING TO MAKE SENSE OUT OF DIGITAL AUDIO SYSTEMS?
There is a better way!
It's not easy trying to understand the conflicting claims made by different manufacturers when you're buying a Digital Audio On-Air & Production System, whether a single, multipurpose Workstation or an integrated, multiple studio setup. At one end of the spectrum, you're faced with a wide variety of simple "Cart Machine Replacements," and on the other, products whose complexity confounds even the most seasoned broadcast engineer.
The ENCO DAD486x Digital Audio Delivery System solves the problem! DAD is simply the most powerful On-Air & Production system available, yet its uncomplicated approach and inherent ease of operation makes immediate sense to any user.
- Intuitive On-Screen displays that are immediately familiar to operators. Optional Touchscreen makes operation quick and easy.
- Complete On-Air flexibility with various "Virtual Machines" for Live Assist, Automation, or Satellite Programmed operations. Interface to other equipment plus scheduling and billing packages. Seamless segue and voiceover transitions sound "Live" in all modes. Script capabilities can be included.
- Full production capabilities, including Graphic Cut & Paste Assembly Editing. Includes analog and digital inputs/outputs. Interfaces with most multichannel editing packages.
- Runs on DOS for proven speed, reliability, and compatibility with other equipment; not an operating system originally intended for multimedia applications. This is a professional tool meant to produce efficiency and profits, not entertain the staff!!
- Operates on common off the shelf computers and network architecture. You won't be locked into proprietary hardware that may not be available whenever you need service.
- No monthly licensing fees. DAD is an outright purchase. Software upgrades are free for the first year.
- DAD is proving itself everyday in radio and TV facilities worldwide.
Call Your DAD486x Dealer or ENCO For Complete Information
ENCO SYSTEMS, INC.
24403 Halsted Road, Farmington Hills, MI 48335 USA
TEL: 800-362-6797 or 810-476-5711 FAX: 810-476-5712
If You Liked This
You’ll Love This!!
Blast from the Past: A Pictorial History of Radio’s First 75 Years
By B. Eric Rhoads
The Magazine
148 pages • Magazine format • 307 photos • 1/4-inch thick • Weight: 12 oz. • Contains ads
The Book
• 472 pages (381 more!)
• Hardbound coffee-table gift book
• 975 rare radio photos (only 12 were also in the magazine!)
• Over 1-inch thick
• Weight: 3 pounds
• No advertising
• 8-page Radio Fan Directory
• 12-page index
• Foreword by Paul Harvey
• Foreword by Rush Limbaugh
• Decade-by-decade history of radio
• Highly acclaimed in over 1,000 newspapers
• Biggest book ever written on radio
• Featured on QVC Home Shopping Network
Last summer you probably saw *Radio Ink*'s "Radio's 75th anniversary edition" magazine which was filled with photos and stories of radio's past. If you liked the special issue, you'll love Eric Rhoads' new book *Blast From The Past: A Pictorial History of Radio's First 75 Years*.
This huge coffee-table book is *the* definitive work on radio history, the largest book ever written on radio. Author Eric Rhoads searched archives, museums, clubs, and personal collections and found over 900 rare, never-before-published photos.
If you love radio this book is a must for your collection. You'll receive hours of enjoyment looking at the old photos and reading about radio's humble beginnings. Rhoads' book chronicles radio from its invention decade by decade, all the way to the present. From Marconi to *Make Believe Ballroom*, from George Burns to Dick Biondi, and Jack Benny to Howard Stern. No book before has ever covered radio's stars from the '20s to the '90s.
You'll read the complete story about radio and see corresponding photos. Read about how radio was invented and learn how Marconi was not the father of radio. See how AT&T was forced to divest its radio holdings which eventually became NBC. Learn about the big broadcasts of the '30s and '40s, pirate radio ships, early shock jocks, great radio promotions, elaborate studios and hundreds of great radio moments. See rock 'n' roll marry radio and learn about the payola hearings of the '50s. Watch "Boss Radio" and "underground FM" become a force in the '60s. See the drama unfold as FM comes into its own in the '70s and overtakes AM in the '80s. Ride the crests of top 40, disco, country radio, and watch talk radio become a national phenomenon. It's all inside this marvelous photographic anthology of the radio industry.
**Rave Reviews!**
*Blast From The Past: A Pictorial History of Radio's First 75 Years* has been featured in over 1,000 newspapers with critical acclaim. Its appeared in *Parade, Modern Maturity, Audio magazine, The Los Angeles Times, The New York Daily News, CBS Sunday Morning, QVC Home Shopping Network, The Washington Post, The Miami Herald, The Philadelphia Inquirer, USA Today* and on hundreds of radio and television stations.
Order your copy today for immediate shipment. Only $39.99 plus $5.50 shipping & handling.
800-610-5771
Fax orders: 407-655-6164
Outside the US: 407-655-8778
World Radio History
David Pearlman has been co-chief operating officer since the founding of American Radio Systems. He organized Multi Market Communications in 1990, one of the three predecessor companies that merged in 1993 to form ARS. Under MMC, Pearlman turned previous All-Weather WLVH Hartford into AC WZMX and went from zero audience to No. 1 25-54 in less than 20 months. Pearlman has more than 25 years of Radio experience that includes 14 years at Westinghouse, where as VP/GM, he launched an All-News format on WMAQ Chicago and negotiated the country's first FM professional sports rights agreement in Houston at KODA, which became one of Westinghouse’s top performing Radio stations. Pearlman was the first three-time winner of Group W’s Winner Circle Award, signifying management excellence.
Pearlman is a magna cum laude graduate of Boston College and received an MBA in marketing and finance from Boston University.
John Gehron joined American Radio Systems as co-chief operating officer in May 1994. With more than 20 years of Radio experience, Gehron began his career as program director in Philadelphia, New York and Chicago before joining Capital Cities/ABC in 1983 as VP/GM of WLS-AM/FM Chicago. In 1987, Gehron joined CBS and launched WODS-FM Boston, bringing the station rank from 15th to first within three years. He joined Pyramid Broadcasting in 1989 as VP/GM for WNUA-FM Chicago which established a national standard for the Smooth Jazz format and became a major factor in the Chicago market under his direction.
Gehron is a graduate of Pennsylvania State University with a bachelor’s degree in business administration.
Pearlman and Gehron discuss running a multiopoly, expansion plans, and what makes American different.
INK: Both of you were very successful running one Radio station in a market. How different is it for someone to come in and run three, four, five, or in the case of Rochester, seven Radio stations?
GEHRON: It’s remarkably different and I don’t know if anybody has come to any clear conclusions of what is the best way to run them. We’re doing it differently in many of our markets. In Rochester, it is broken up into two operating units. In Dayton, it is folding under one operating unit. We are doing it differently depending on the managers and the market situation.
PEARLMAN: In many ways general managers today are equivalent to what group managers, or divisional leaders and heads of companies, used to be five or 10 years ago. Their responsibilities are very much the same. The only difference is that they don’t rack up frequent flyer miles but are hustling from one building to the next in traffic.
INK: Are you looking at keeping the facilities separate, or bringing them together?
PEARLMAN: It is our goal in all of our markets, whenever financially or physically possible, to put all of the Radio stations in some proximity with each other. A great example of that is here in Boston. On the 10th floor of 116 Huntington Avenue, we have four Radio stations with no walls encircling a building. You literally go from WBMX, a Hot AC, into a ‘70s station, WEGQ, around the bend into All Talk, WRKO, through the hall and into Sports Radio, WEEI. We are currently in the process of building a facility in West Palm. When you walk in the door, you will be able to see six Radio stations all on the air at once from the lobby. It not only makes it a very exciting place from a media standpoint but very functional from a Radio operational point of view.
GEHRON: A couple of months ago Meatloaf was in Boston. He came in to do something on the ‘70s station. While he was there, he walked over and did something on MIX, then he walked down the hall and went on with Howie Carr on RKO and walked around the other hall and was on afternoon drive on EEI, so in one stop he hit four Radio stations.
INK: Do your stations compete against each other?
GEHRON: I think we have situations where they compete against each other, but the ideal situation is where they complement each other and fill out a demo that makes it very attractive for advertisers. So, we try not to have head-on competitors, because you end up picking up bodies every morning in the hallways.
PEARLMAN: It has led us to some interesting transformations and readjustments of formats in markets. We tend to look at
things on a much more strategic basis. A good example might be Hartford. About a year or so ago, we were sitting with two AC Radio stations, WZMX and WRCH, a Hot and a Soft. They were really each other’s major competitor. In this case, we changed format on one Radio station and it benefited both. WZMX segued to a ‘70s format and developed a whole new niche and a great opportunity from a rating point of view. At the same time, it opened up a whole new opportunity for the expansion of WRCH as a Soft AC leader in Hartford. The result, now a year and a half later, is that both stations are very successful and, right from the beginning, almost from the first book, they ranked number one and two 25-54, particularly with the addition of a strong morning drive host on WZMX in Sebastian.
DETERMINING FORMATS
INK: With deregulation and the ability to own a number of different stations in one market, are formats going to be determined more from a strategic value to the corporate structure or from what the listeners want?
GEHRON: Well, it is not a good idea to come up with a strategic plan that the listeners won’t respond to. So I think the listener will always be king in determining what we do in our markets, but selecting what the listener wants certainly has to have a strategic role in the station groups that we have whenever possible. There are a couple of different scenarios that people are looking at right now. There is what I call the Infinity approach, which is just own stations in a market and don’t worry about the strategic connecDAVID PEARLMAN
- Leisure activities: Tennis, softball, biking, theater, movies and media watching.
- The most interesting person you know is: My wife Claudia, who for the past 21 years has brought undying support, perspective and love to my life.
- If you had 30 minutes to sit and talk with one person, whom would you choose? Michael Eisner or Bobby Orr.
- If you were granted one wish, what would it be? That my parents, who died prematurely, could share today, in-person with us, the fulfillment of many of our family's personal and professional dreams.
- If you could go back in time, where would you go? The early '70s when FM stations were sold at cocktail parties for $50,000 or less.
- Whom did you listen to on the Radio when you were growing up? Annie "Woo Woo" Ginsburg on WMEX and Red Sox Baseball with Curt Gowdy & Ned Martin on WHDH.
- What did you want to be when you grew up? The Radio voice of the Red Sox.
- What is your pet peeve with Radio? That Radio people spend too much time battling with each other.
- The most embarrassing thing that ever happened in my career was while broadcasting an ECAC hockey playoff game, I was describing what would become the winning overtime goal when suddenly right after shouting the word "Score!", we were knocked off the air by someone in the frenzied crowd around us who had kicked out our phone line and power supply. For a full 4 1/2 minutes, no one in Boston knew for sure who had won.
- What has been your most elusive goal? Finding better ways to balance the pressures of our all-consuming Radio business while still spending "quality" time with my family.
- Of what achievement are you most proud? The dramatic transformation of then All-Weather WLVH Hartford into AC WZMX and going from zero audience to No. 1 25-54 in less than 20 months while living out every Radio person's fantasy of start-up station ownership.
ADVERTISER BACKLASH?
INK: Some people believe advertisers might feel that they are over a barrel and are getting gouged on the rates with one owner having so many different properties in a market. Have you run across that, and do you think it could happen?
GEHRON: I think there was initial concern when duopoly was first proposed that that was going to happen. I think we've found that advertisers haven't been treated that way. If we are not careful and there is a backlash, then business will suffer and the free market will correct itself. But I haven't seen that as a problem.
PEARLMAN: I think that we, as an industry, are very service oriented. In each one of our marketplaces, while we may have some unifying joint sales efforts, each one of our products has its own unique, dedicated sales staff, particularly on the local retail basis. When we get into the national arena, we do take advantage of our bulk numbers but, as an industry, we are at a crossroads in finding out the best way to service a client. I'll give you two great examples. In Boston, John started a very unique process, called team meetings, where every two weeks all of the sales managers, general sales managers, general managers, and marketing people sit around the table and talk about what is going on in the market. Out of those meetings came three sales efforts that became a group pitch, if you will, of American Radio Systems servicing a client, or two, or three in this case, in Boston, and all in bulk with one person, sort of the point person, with three other representatives representing each one of the other entities in the building. The person who had the best relationship acted as the captain of the meeting and led the sales pitch. In each one of these cases, they were different people. It ranged from the general manager of WBMX, Jennifer McCann, to Mike Kellogg, who is the sales manager of our sports operation. Each led an effort to a single advertiser selling the entire company in that city. It resulted in significant dollars being exclusively placed before the rest of the marketplace on our station.
GEHRON: We feel there is value in branding American Radio Systems in our markets as an advertising solution. If you are an advertiser and want a solution, call American Radio Systems.
INK: John, you were talking earlier about
defending a position and how people are using different Radio stations strategically. With multiopoly do you find it is easier to strategically and tactically fight a competitor, since you can go out and buy them?
GEHRON: I guess that is one solution, but the other solution is that you have more weapons too. If you find there is a "hill" position that you want, you have more stations to go after it with and you can fight a lot of different wars. Now, you not only can fight the rating war, but you can fight an economic war as well. If you can surround a Radio station and offer it a better advertising solution over two or three stations, you can starve the leader.
PEARLMAN: Our company, culturally, uses the war room concept very effectively. What we do is put people in a room and draw on multitalented and multilevel people to look at ourselves very critically and try to role-play what our competitors are saying about us. In the last few weeks alone, Baltimore, Hartford, Buffalo, and Dayton have all gone through these kinds of sessions where we bring people up, drawing on program directors, marketing managers, general managers from markets other than the one we are discussing, and pool the resources and create marketing solutions and programming solutions, even in stations where we rank in the top three in the marketplace, always looking to go to the next level.
AMERICAN'S MANAGEMENT STRUCTURE
INK: You talked about how your general managers are really market chief operating officers. What is the management structure within a market?
PEARLMAN: We still haven't strayed away from some traditional kinds of reporting authorities and job descriptions. It starts with the station manager and, as John mentioned earlier, that may vary as to how many stations are under a particular person. Some of that has to do with the complexities of the particular market or with what the particular goals are of the company within that market.
GEHRON: We've found that if you are going to make stations successful, you generally don't come in and cut people. You have to have fully staffed Radio stations to run them successfully. So, other than the general manager, there are very few shared positions because we want each station to run itself as a successful operation and the only way to do that is to have everybody within that organization focused on that organization's goals, not defusing their efforts over too many Radio stations. It is the general manager who is essentially the market expert who looks out over their market and guides the different stations to make sure they work together as a unit, but the individual stations have to worry about their own individual problems day-in and day-out.
INK: Can one person effectively be a general manager over three, five, seven stations?
PEARLMAN: We believe that certain individuals can rise to that level. It is almost like looking at a group manager job five or 10 years ago. I want to point out something. We have All American Teams, which is an award process, in our company. A year ago, we began this award process and basically each one of the playing positions, if you will, within the company, gets rewarded to an All American position, meaning we have a general manager of the year, the station of the year, a program director of the year, etc. We just came from our managers meeting and, for the second year in a row, the general manager of the year was a multistation general manager. Deborah Parenti, from our smallest market in Dayton, won last year. Suzanne McDonald, who oversees our Hartford operation, is this year's recipient. And the Spirit of American award went to Lee Strasser who oversees all of our stations in West Palm Beach. So we think we have some very valuable and terrific managers who, in these cases, have all proven to be wildly successful and have overcome the obstacle of running multiple stations.
INK: Do you have separate sales staffs for all your stations?
GEHRON: In virtually every station, yes. We have found that works best, but we also encourage the staffs to work cooperatively, not to sell in combos, but to sell in cooperation with each other.
INK: How has multiopoly changed the way that you promote your Radio stations?
PEARLMAN: I think you always have to look at the individual product and the individual station opportunity. In fact, we pride ourselves as being very product oriented. We do what we believe is the right amount of research to go with constant strategic re-looks at all of our pro-
SIDELINES
JOHN GEHRON
◆ Leisure activities: Time with family, running, reading.
◆ Recommended reading: *Beating the Odds*, Leonard Goldenson; *My American Journey*, Colin Powell.
◆ Mentor or role model: I've been fortunate that at each stage in my career there has been a quality person to step in and offer guidance.
◆ The most interesting person you know is: My wife Patty.
◆ If you had 30 minutes to sit and talk with one person, whom would you choose? Edison — he had an inquisitive mind.
◆ If you were granted one wish, what would it be? The best for my family and friends.
◆ If you could go back in time, where would you go? The late '50s to be a part of the development of Top 40.
◆ Whom did you listen to on the Radio when you were growing up? Dick Biondi, Joey Reynolds, Cousin Brucie, Alan Freed, Dan Ingram and Ron Lundy.
◆ What did you want to be when you grew up? DJ.
◆ What is your pet peeve with Radio? The lack of station on-air attitude and too much dependence on music.
◆ The most embarrassing thing that ever happened in my career was when I got fired for working at the only two stations in the same town, at the same time, by using different names.
◆ What has been your most elusive goal? Finishing all my reading.
◆ Of what achievement are you most proud? Successes at turning stations around and developing people.
◆ As a listener, what are your favorite formats? Talk, Oldies, Classic Rock, Alternative and Smooth Jazz.
◆ What advice would you give someone who wants to get into Radio? Intern while in college and volunteer to do everything.
Gehron with l-r: daughter Megan, son Andy, wife Patty, and son John.
erties, and we believe in investing in our product, whether that means going out and getting a great morning show, or buying 300 points a week in television, or a 100 showing in outdoor to support a particular Radio station. We want to maximize every ratings opportunity because, ultimately, revenues chase ratings.
INK: How have you seen the Radio format picture change in the last couple of years?
GEHRON: Alternative and Smooth Jazz are two of the hottest right now. As a company, we are not wedded to any particular format. We have just about every format imaginable.
INK: Are there any particular qualities that you look for in your people?
PEARLMAN: Well, prior to us coming into a market, we will have already been in the market several times to hear the stations in the marketplace and, in many cases, we've already done a research project and have assessed as much as can be done ahead of time as to what type of talent may be inside of the properties that we'll be involved in. We've been very fortunate in our purchases over the first few years of our company to inherit and pick up some terrific managers. Someone who comes to mind is Brad Murray, who, when we bought WQSR and entered Baltimore, has become one of our top managers. In fact recently, we moved him into Boston as head of AM operations.
INK: How much autonomy do you give your general managers or your market COOs?
PEARLMAN: We love working for them.
GEHRON: I think that is a good answer because they are in charge of their markets. They have their budgets. We work together in formulating the plans for each year, then it is up to them to carry out those plans and, if there is a reason to vary from those, we should know about it, but David and I can't be out in those markets running their stations for them. We are here to be a resource and to clear roadblocks for them and get them the things they need to be successful, to be another eye in the sky that is not so close to the situation that you can't see problems developing.
PEARLMAN: I would hope that if John and I left the room and you had all of our managers in here and you asked them about us, they would say that we are very supportive and there when they need us. We have a 24-hour hotline to our homes, airplanes, buses, trains, and cars. John, myself, and the full management team in Boston are on 24-hour plus call for anyone anytime.
INK: Do you plan to acquire more stations in the markets that you are in, or expand into other new markets?
PEARLMAN: Both. We have and will enter some new markets with letter Ks in front of them, heading a little bit more west than currently on our station list. It is an opportunity for us to diversify geographically and also expand horizons to the west for our company bringing in some exciting growth opportunities as we move forward through the year. Also, look for us to continue to pursue growth within the marketplaces that we are in because that is the best way for us to take advantage of our tremendous management talent and knowledge that we have within those markets. In the end, it is much better for, and creates much more value for, our shareholders. We do want to be the number one broadcaster in every market that we are in and that's a cultural goal for our company both on a revenue and a ratings basis. Many people have pointed out that we are one of the most successfully programmed companies in the United States today with more per capita top five 25 to 54 Radio stations than almost anyone.
WHAT MAKES YOU DIFFERENT?
INK: The saying is that it is easy to go out and buy stations but then you have to operate them. Both of you have had great success in actually operating, programming, and running Radio stations. What makes you different?
PEARLMAN: I think we have tremendous product discipline and focus and, at the corner of that, is our undying commitment to fulfilling the listener's needs to the fullest, at the same time presenting great morning shows, which is also part of our culture. Look across our company, in Baltimore we have Steve Rouse, in Rochester, Tony & Dee, in Hartford, Sebastian, in Dayton we have Kerrigan & Christopher and Bob Sweeney. In Boston, we've just hired John Lander, one of the premiere talents in the country. Our commitment to morning drive Radio and developing tremendous on-air presence with our personalities is a major foundation of our products' success and is very consistent across all of our marketplaces. In the case of WRKO, for instance, Howie Carr in afternoon drive in many recent ratings releases has been the number one personality of all stations in adults 25 to 54 doing Talk from 3 p.m. to 7 p.m.
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GEHRON: In markets and stations where we don't have the strong morning shows yet, we are developing them and have some terrific people who are being developed, but we are not going to mention them because we don't want anybody to listen to them yet.
PEARLMAN: All the ones who we have mentioned are under long-term contracts and are very happy in their jobs.
GEHRON: And, talking to them is considered tampering.
INK: You both have done just about everything that needs to be done in a Radio station in some capacity. How important do you think that is and can you get that across to the people at your stations?
PEARLMAN: I think it has been a tremendous advantage for John and I having done almost every job inside a station. I've produced, edited, written, been on the air, sold, sales managed, general managed, and group led. All of those experiences have brought some unique vantage points from which to look down and be global in our discussions and very strategic about various problems and opportunities that happen within our company. I think it is a tremendous advantage that American has and it goes way beyond John and I. We are just sort of symbolic right now as a company but the efforts throughout all levels and the expertise that we have at our disposal is tremendous. I think we can identify problems that come up and are able to deal with them in a much more timely and understanding way in a people-oriented fashion.
GEHRON: The fact that broadcasters have control of the industry, again, is important. I think we understand what makes a station successful and it is not just a stock that is traded to people like a mutual fund or on the stock exchange. These are properties that employ people, that entertain people, and that get results for advertisers. They have a very special place in every community that they are in and broadcasters understand that. We operate them that way and the audience responds because of it. I think we do a better job and our stations will be more successful because of it.
MULTIOPOLY DOWNSIDES?
INK: Do either of you see any downsides to multiopoly?
PEARLMAN: Well, the thing we talk about the most is how many markets you can effectively be in and effectively manage. I don't know if any of us know the answer to that yet.
GEHRON: What structure is going to be the ideal structure, or will there be an ideal structure that we look at and say this is the way we should manage these stations? We probably need to get out some management books and find out how other industries that have grown so rapidly have responded and managed their various operating units. We often look to the past in deciding how to do things. I think we are finding out very quickly that the way we have done things in the past is not the way to do them in the future. Our business is going through a revolution. It is an exciting time, but it also is very dangerous if we play our cards wrong.
PEARLMAN: It would be fun to write a piece of history as we look back on this era, because we're in an exciting time and we have to take careful, but effective strides forward and be sensitive, again going back to the people issues, to the people who drive our business. At the end of the day, the transmitter, the tape machines, the computers, and the selector program can't do much without the people who are driving them.
GEHRON: You asked if there is a downside to this. What I worry about is that our business doesn't take advantage of the upside that we have. We have the ability to do business in a completely different way than we've done in the past. In the past, we've beat each other and felt that the guy across the street was the person whose money we had to take. We have to change that thinking and not shoot at each other anymore and finally go after where the big dollars are out there. We take seven to 10 percent out of advertising in most markets and that is peanuts. We need to go after that 90 percent that we have never been able to touch as an industry, because we didn't have the strength and the audience to go to advertisers at the level we do now. So, we have a very powerful tool. The key will be how we use it and learn to use it in the most effective, positive way.
INK: How long do you think it will take before Radio can really begin to see that small percent of ad revenues that they've been receiving begin to grow?
PEARLMAN: It will happen after the consolidation that has already begun takes effect in the marketplaces. As we pointed out earlier, the revenues have grown the fastest in the markets where consolidation and duopoly is the strongest.
INK: One of the downsides that people point out is there are a lot of people in this industry who are going to be displaced.
GEHRON & PEARLMAN: We totally disagree.
PEARLMAN: There are going to be different kinds of jobs. The traditional general manager of a single AM Radio station, or an FM station, may become obsolete, but the job that is in the offering is even a greater opportunity than ever before. We can't look at the traditional positions and say that the world is falling apart. Rather, we have to adjust and become wider in capability, knowledge, and in terms of the view of the world, and the successful people will rise right through that.
GEHRON: Absolutely! I think many of the jobs are going to be more important than the general manager's job that may be displaced. I think, for instance, some of our station managers, program directors and GSNs will have bigger jobs than a general manager of a single standalone Radio station.
PEARLMAN: I mentioned before Jodi Long's role in Hartford as director of sales. She has made a tremendous difference this year in our company's efforts. Greg Strassell in Boston as VP of programming has made a big difference there. There are people like that, not at the full general manager level, who are making tremendous impact in our business and within our organization.
INK: You've talked about growing Radio's share of the advertising pie. Do you put extra emphasis on development of new business and, if so, how do you do that?
PEARLMAN: Virtually all of our operations have new business development managers in the stations themselves whose sole intent is nontraditional revenue. In all of our markets, we have huge success stories. On the Boston FMs alone, over a million dollars last year was generated through a tremendous effort by Renee Smith, our new business development manager there.
GEHRON: We have a commitment at all of our properties to develop not only new Radio business from spot revenues, but we get into a lot of event marketing. We are essentially product extending our Radio stations into new areas.
PEARLMAN: We also create incentives for our promotion managers and marketing people to create those kinds of events and get direct benefit from it. Lee Anne Callahan in Boston who heads up Fall Fest and Harbor Festival is on that kind of a program. Lou Imbriano, who has just instituted a new merchandising program in creating the distribution of WEEI products around town, is under such a program as well. It creates a true partnership within your people to take that entrepreneurial, enterprising approach that we want for our company.
INK: Is there anything else you guys would like to cover?
GEHRON: Well, if anybody has some stations for sale call Steve Dodge.
PEARLMAN: I just think that the Radio business is a spectacular one. I don't know what any of us would do if we ever had to get a real job, and along the way some very important people have been very nice to people like John and myself. We've come up the hard way from knocking on doors and creating breaks. We certainly take none of that for granted and encourage anyone to do more of the same and shoot for lofty goals.
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Bad words, like bad news, often come in threes. The new Eventide BD500 is the only obscenity delay in the world that can eliminate them. Now, when you hit the Dump button, you don’t lose the whole delay and the obscenity protection that goes with it. You can divide the total available delay time into not one, or even two, but several discrete segments. You still have protection even after dumping two consecutive no-no’s.
You also get the cleanest, quickest delay catch-up you can buy. Because there’s only one way to maximize audio quality and still catch-up rapidly after a delay dump... and Eventide owns the patent. Over the years, several other brands of delay have come and gone. But the simple fact is that the catch-up methods others use must be painfully S-L-O-W to avoid serious audio problems.
And, because you may not be using that analog console forever, the BD500 is also the only broadcast delay that’s digital-ready with optional AES/EBU digital audio inputs and outputs. It’s stereo, of course. A convenient new “sneeze” button allows the talent to sneeze, cough, etc. without being heard on air, and without dead air. All front panel switches (except configure) and all status indicators can be remotied (both RS-232 and dry contacts are provided.) Plus, only the BD500 gives talent both a digital readout of delay time and a “quick read” LED bar graph that shows “you’re safe” at a glance.
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KRG DIMENSIONS SALESPEOPLE ARE TRAINED TO RECOGNIZE OPPORTUNITIES THAT OTHER REPS JUST DON'T SEE.
Some sales opportunities are no brainers. Others, however, are a little more difficult to see. That's one of the reasons we created our Dimensions sales division—to find real new business opportunities for our client stations and to develop integrated marketing and media plans that can help advertisers and stations alike. The Katz Radio Group—KRG Dimensions, Banner Radio, Cristal Radio, Eastman Radio, Katz Radio, Katz Hispanic Media and Sentry Radio.
The Katz Radio Group
SUPERIOR PERFORMANCE MAKES US THE BEST
INSIDE Shapes Unlimited: Taking Shape With Radio
Keil & Co. Wears Radio Well
World Radio History
The Future Is Here
Here are some of the highlights of an Interrep report focusing on "America in the 21st Century."
- Approximately 80 percent of the population lives in metropolitan areas, but a shift is occurring from the central cities to the suburbs.
- The South and the West continue to be the nation's fastest growing areas. Since 1990, Nevada has seen a larger percentage increase than all other states.
- Minorities will comprise 50 percent of the U.S. population by the year 2050.
- Women represent 46 percent of the workforce and are predicted to represent 48 percent by 2005.
- Single adults are predicted to represent 50 percent of the population by 2005.
- The average life expectancy by the year 2020 will be 83 for men and 88 for women.
Someone To Learn From
Furniture execs looking to rearrange business came up with some ideas to stimulate consumer demand and wake up sales:
- Get out of the "50%-off mentality" and the "high-up, low-down game."
- Boost business by playing to the consumer's emotions.
- Hire good communicators to help spark sales.
- Begin emphasizing style and perceived value of products.
- Increase demand for furniture by broadening the product mix beyond furniture.
Source: RAB
Bad Press
The newspaper industry didn't have such a great year in 1995: The cost of newsprint soared 40 percent over 1994 costs, hurting many papers' bottom lines; New York Newsday shut down and 700 jobs were cut at the L.A. Times;
Of the 10 largest metropolitan papers, seven lost circulation in the six-month period between April and September; 24 newspapers either folded or merged in '95, including New York Newsday and the Houston Post. Alabama's Huntsville News closed on March 15.
Source: Sales & Marketing Management
Fringe Possibilities
A recent study by Eastman Radio Representatives concludes that dayparts "considered fringe" warrant more respect than they currently receive. Using Spring 1995 Arbitron data from the top 50 markets the study shows:
- More than 55 percent of the population tunes into Radio at night.
- More people tune to the Radio on weekends than during AM drive.
- Midday listening is similar to AM drive and stronger than PM drive listening.
- Very few Radio users are single daypart listeners.
Success Story
Taking "Shape" with Radio
Shapes Unlimited specializes in turning virtually any shape, symbol or corporate logo into a fun, creative, moneymaking product with pasta. Their specialty shaped pasta products have been popular with restaurants, retail chains, theme parks and especially effective in promoting events.
Problem
Having ventured into the creative deep end, Shapes Unlimited decided to take on a very enticing new product line called Pasta Erotica. These shapes were modeled after the most erotic parts of the human body and available in four varieties: Pasta David, Pasta Venus, Pasta Aphrodite and Pasta Grace. Selling this product presented a very unique advertising problem.
It couldn't be advertised in many print magazines because of its inherent saucy shape. The only magazines that would run print ads were the general adult magazines leaving out a potentially large market share. The objective was to bring this pasta to the people to enjoy at bachelor and bachelorette parties, bridal showers, romantic dinners and of course for unforgettable gift giving.
Strategy, Solution and Results
Radio offered a number of opportunities that standard advertising could not. Radio has a unique power in its ability to talk to people in the privacy of their homes and cars. It was important to create a feeling of intimacy with such a provocative product. Besides creating some pretty titillating taped Radio spots that were aired on several popular drive time Radio shows in New York, Pasta Erotica did several live commercials with Howard Stern.
The Howard Stern Show brought the product overnight fame. It proved very successful due mostly in part to Howard's genuine intrigue with the company and his on-air, in the booth, personal interview with Pasta Erotica creators. The interview lasted about 10 minutes and in that short period of time, Stern managed to make enough wise cracks about this "porno pasta" to stimulate interest from all over the country. Calls started flooding in.
Based on the success of the Pasta Erotica campaign, Shapes Unlimited has been able to pay their phone bill and now have started to concentrate their efforts on wooing corporate America.
Marie Conroy is director of marketing for Shapes Unlimited. She may be reached at 800-481-SHAPes.
Prominent Advertisers Speak Out About Radio
This issue ... Keil & Co., a Kansas City, MO, clothing store advertising on KMXV-FM/KUDL-FM. Represented by copywriter Kirk Halbert.
How does Radio figure into your advertising mix?
Halbert: For Keil & Co., all advertising dollars go into Radio. Why? Radio sells retail. When you offer much more than the next local women's clothing store, it's next to impossible to put that onto paper. At some point, you must build a visual in the minds of Kansas City shoppers. When you're in a different league, you don't advertise with second-rate TV or newspaper ads. You advertise with a first-rate, polished, "blow 'em away" Radio ad.
Are you using Radio more or less and why?
Halbert: Keil & Co. consistently invests in Radio because they know the importance of keeping the campaign alive. You don't build an image and then go away. Keil & Co. has kept their message current with the latest lines they carry. Their campaign established a relationship with the Mix 93 and KUDL audience. Now, more advertising just simply keeps our listeners updated and informed.
What do you like most about Radio?
Halbert: Keil & Co. believes in image building. They are one of the most progressive, upscale, yet affordable shops in KC. They wanted to connect their style with the style of the carefree, comfortable, casual, classy Kansas City woman. Radio relays the message strongly.
What do you like least about how Radio is viewed by the ad industry?
Halbert: Because Keil & Co. believes in creating a visual, that has tended to be what they like least about Radio. Radio stations were consistently handing them ineffective copy that had no style crammed in 60 seconds. It took a little more time on our end to create a campaign, but the additional advertising they do as a result makes it worth it. Julie Keil says, "KMXV and KUDL's campaign turned what we like least into what we like most."
How can Radio better suit your needs?
Halbert: Keil & Co. would like to see Radio stations with a predominantly female audience take a step further in bringing today's fashion to the forefront. Perhaps a "Style" segment featuring upcoming local fashion shows, the latest trends, the newest looks ... keeping the audience informed of what's current and where they can purchase it on a local level. They want to be remembered outside of their ads. Just as style sections in the paper or on television create fashion awareness, Radio could offer the same type of programming sponsored by local clients. After all, music and style go down the runway together ... why not Radio?
According to Interop here's the latest press on the top national Radio advertiser categories receiving the most Radio dollars (numbers in millions). Retail $185.8; Business & Consumer Services $147.5; Auto $102.4; Media & Publishing $63.4; Drugs & Remedies $45.8; Food Products $34.8; and Confectionery/Snacks & Soft Drinks $26.
Business News Network Inc. and SuperNet have relocated the company's sales and marketing department to New York City under the leadership of an experienced management team from Financial World magazine. Leading the team will be new senior VP, Douglas A. McIntyre, formerly the magazine's president and new VP, national accounts, Richard La Monica, formerly executive VP/GM of the magazine.
Clear Channel Communications Radio stations KPRC-AM and KSEV-AM Houston were recently recognized for their work during the Houston Advertising Federation's 1995 Addy Awards. A station spot promoting Talk Radio and an outdoor campaign promoting traffic reports received a Bonze Award and a Certificate of Merit respectively.
Beantown Bargain. Boston-based Radio group owners Marlin Broadcasting and American Radio Systems have entered into a formal agreement regarding a merger of the two firms. The agreement has ARS acquiring the outstanding capital stock of Marlin and assuming its existing debt, representing an aggregate transaction value of approximately $66.5 million, subject to certain closing adjustments. In addition Marlin President Howard Tanger has agreed to purchase, simultaneously with the merger, Marlin's Miami, FL, Radio station WTMJ-FM for approximately $18 million.
To be the best in the rep business, it’s not enough to have the most talented salespeople. You need to train them and re-train them in the latest techniques in sales, marketing and management.
That’s why the Katz Radio Group spends more than a million dollars each year on multi-year training programs to transform account execs from talented salespeople to the best spot marketers in the radio business.
Sure, it’s a big commitment to put employees through this type of training. But that’s the commitment it takes to be number one. And, with four of the top five billing reps in the business and the number-one Spanish-language rep under the KRG umbrella, it looks like we’re succeeding.
The Katz Radio Group — KRG Dimensions, Banner Radio, Christal Radio, Eastman Radio, Katz Radio, Katz Hispanic Media and Sentry Radio.
The Katz Radio Group
SUPERIOR PERFORMANCE MAKES US THE BEST
Morning Has Broken. Morning is the creative high point of the day for nearly everyone. Help fuel your creative spark by eating a breakfast of high-energy foods like breads and bran cereals. Wash everything down with a couple cups of caffeine-laced coffee or a cola. Next, vary your commute. Try walking or taking the bus. If nothing else, drive a different route once a week. And on the way, pick up an out-of-town newspaper.
Source: Jon Sullivan's Radio Promotion Bulletin
ABCs For Pros. During a recent conversation with a friend or relative, how many times did you use the person's name? Maybe once past the initial greeting? Using a prospect's name during a sales call is a clear giveaway that it is someone you do not know well. It's a known salesperson's ploy to get the customer to believe in an intimacy that doesn't exist. In fact, not using the person's name presupposes a relationship.
Source: Sales On The Line, Sharon Drew Morgan.
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• Quickly show that you are prepared to discuss the customer's organization.
• Sharpen your ability to ask the right questions and listen.
• Constantly check your assumptions, especially when developing solutions.
• Keep the discussion focused on the customer's priorities and interests.
• Act more like a colleague; demonstrate your understanding.
• Always be enthusiastic — turn problems into opportunities.
• Develop a clear vision of your goals — with each account and for yourself.
Source: The Selling Advantage
Promotion And Sales: A Profitable Pair
Never underestimate the dollar value of the station promotion itself. Higher visibility means higher ratings which means increased revenue.
Source: Broadcast Programming Newsletter
Nationally, event marketing has been growing annually by 15 percent and shows no signs of slowing down. The beauty of it is that it truly satisfies both the station's and the client's objectives. By becoming involved with local events your client is no longer just a business name; they now become a part of the community ... they're the hero for bringing a sporting event to town ... or they become the company with compassion when they sponsor a charitable event.
Our jazz station, WFSJ, sponsors a six-week jazz series in the spring at a shopping/entertainment venue. We book local and national acts to perform live on Friday nights. It's open to the public and attracts a nice quality audience. Our sales team sells sponsorships ranging from the title sponsor to smaller vendor packages. The station's programming inventory is used to promoted the event. No sales inventory is necessary. The sponsors benefit from physically touching the community and being associated with a popular event. The audience knows that they are having a good time that night — at a zero cost — due to the sponsors' participation. This belief has been tested many times.
Jeanne Cook is a major accounts rep at Paxson Broadcasting. She may be reached at 904-636-0307.
If You’re Not In The Plan In The Beginning You’re Probably Not There At The End
by Bill Burton
The above words of wisdom were spoken by Bob Mitchell, senior vice president, Campbell-Ewald, media director on Chevrolet Car & Truck.
In a recent interview, Phil Guarascio, vice president, marketing & advertising, General Motors, stated the following: “All the big-time money gets spent in the planning phase, not in the buying phase. Radio must get involved at the strategic level as opposed to the tactical level.”
The bigger the account, the bigger the agency, the more important planners are.
But, if you think planning is just for the big accounts and agencies, listen to what Jane Huetter, vice president of Yaffe, one of the most successful agencies in Detroit, has to say: “As a medium-sized agency we welcome salespeople to sit down with our planning and account people. We think it’s essential that people selling the medium get to the planning group in the development stage.”
Most Radio salespeople are excellent at the buying level. They do a very professional job of selling their stations. Unfortunately, most buyers do not make decisions on what medium is used. Stations are sold on the buying level; Radio is sold on the planning level and above.
Most planners and media directors can’t name three people from Radio. Out of sight, out of mind.
Part of the problem is most Radio salespeople are not trained to sell beyond the buyer. Also, most salespeople are running as fast as they can to make their numbers for the month and get the biggest share of dollars for their stations.
Management: Get Involved
1. Encourage, support and reward salespeople who go above the buying level.
2. Train personnel how to do this most effectively, and create incentives.
3. Take full advantage of the RAB and their sales tools.
4. On the national level, encourage and reward your national rep for selling the medium. Both Katz and Interep have developed marketing teams that concentrate on selling above the buying level.
Opportunity is knocking on Radio’s door — agency planners are saying: “Come on over and sell us Radio. We’re wide open to Radio ideas that will move our clients’ products.” There are billions of dollars available for Radio when properly sold.
Bill Burton is president/COO of the Detroit Radio Advertising Group. He may be reached at 810-614-7244.
What compensation plan do you have for sales and how did you arrive at it?
Barbara Cash, GSM
WHJJ-AM/WHJY-FM/WSNE-FM
East Providence, RI
The basic commission structure at our Providence Radio station is 15 percent direct, 12 percent net.
Over the past four years our compensation program has evolved to reward salespeople for developing new business and selling nonspot programs.
Each quarter individual new business goals are set and salespeople receive a $1,000 bonus for achieving the goal. We chose this bonus structure (instead of perhaps a 20 percent commission on new business) so that the salesperson is rewarded only if he/she reaches a minimum standard of new business. This system also provides the forum for constant measurement of new business.
In addition, an advanced commission rate of 20 percent is paid for all nonspot programs. This obviously rewards the salesperson for selling innovative programs to nontraditional prospects.
This commission structure rewards the personal contribution of the salespeople. The percentages and categories of business are a product of networking and brainstorming by members of the management team at WHJJ and WHJY.
NEW BUSINESS DEVELOPMENT
How To Make A National Retailer Local
by Sharon Mager
Three words a retail sales manager or director of new business never minds hearing are "Attention Kmart shoppers," especially if the attention is focused on a local consumer display program. Retailers such as Kmart and Wal-Mart are traditionally national Radio accounts, however, local contacts and local dollars do exist.
How do account executives find these contacts and uncover local needs? The key is to work with the district manager (DM) who has responsibility for inventory control, payroll, planograms, in-store real estate and sales projections. In some cases, such as Wal-Mart, store managers also have autonomy to control these areas for grand openings. One resource the DM may use is a vendor promotion supported with POP, a secondary fixed position display, a consumer hook or charity tie-in.
Contacting The District Manager
The first step is to contact the DM. Call any store and ask for the DM's name and his or her "home" store. ADM is usually at his home store the same day each week, so try there first. If the DM is not at the home store find out the store he is visiting and call there immediately. DMs usually do not have their calls screened since vendors are also trying to track them down.
Getting The Appointment
Once you get the DM on the phone, keep the conversation short. The goal is to get an appointment. A sample conversation might be:
Hi, Mr. Jones. My name is Sharon Mager and I am calling from CBS Radio. The reason for my call is that we work with other district managers of national companies on local programs designed to address needs on a store-by-store basis or accomplish goals you may have which are not met by your national image advertising. The bottom line of any program we discuss will be to generate incremental sales at your stores. When can we meet?
The Needs Analysis
The most important information to uncover at the initial meeting are the DM's needs. Are they department specific, store specific or marketwide? Are they for a new or primary department, or a secondary department that needs attention? Are key stores under attack, or are there store remodelings or grand openings planned? After uncovering needs, then talk money!
Funding A Local Program
If the DM does not have a budget to fund the program, start negotiating for something as valuable ... "in-store real estate." Find out:
• How many specific vendors he will work with (typically they are Direct Store Delivery, DSD). In the case of Walmart, the DM has the authority to take any approved national vendor local.
• How long will vendors receive an upgraded display? What type? End aisle? Shipper? Pallet?
• How much incremental product will be bought for this program? At what margins and price point?
It is important that AEs approach vendors and stay in the middle of the process at all times. If a vendor program addresses the needs of a DM, then dollars from a national retailer will become a local revenue source.
Sharon Mager is retail sales manager of ARROW 94.7 Rockville, MD. She may be reached at 301-816-4425.
PUT FATHERS FIRST
Father's Day has been observed on the third Sunday in June since 1910. Women purchase 95 percent of all Father's Day gifts. Hallmark reports the day as the fifth most important occasion for the greeting card industry with sales of 150 million cards in 1991. In 1994 Father's Day generated $8 billion in sales. It is also the third biggest day of the year for long-distance phone calls and very popular for dining out. Key gifts for fathers are ties, socks, shirts, and sportswear. Other favorites include barbecue accessories, power tools, liquor, sports gear, hobby items, and jewelry. Any retailer can get creative and take advantage of the big bucks spent on dad. Source: Mother's/Father's Day Council
DO IT FOR DAD
• "Lawn Mower Races." Work with a hardware store, or riding mower supplier (Sears is a good prospect), and host the races during the morning show the Friday before Father's Day. Registration should be the week before at the store. Anyone can participate to win the mower for their dad.
• "Hole In One." Set up putting greens in men's departments and putt for prizes.
• "Couch Potato Dream Prize Giveaway." Register dads for a chance to win a TV, recliner, and VCR. Go to a mall and have 12 finalists draw from 12 videotapes. Each tape will have prizes and gag gifts, with one containing the grand prize. Dads take turns sitting in the recliner and playing their tape.
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How many different promotion programs do you run at once and why?
Bill Gamble
WKQX-FM
Chicago, IL
Two or more "great" promotions at the same time have a 50/50 chance of failing, because with multiple promotions on the air you never achieve the frequency needed to drive the message home.
I've heard stations running a different promotion for each daypart. No one has enough inventory to make that work. Remember we have to "sell" our promotions to the majority of listeners who really don't care about promotions. The return rates for sweepstakes like Publishers Clearing House are all in single digits and all they're doing is asking people to lick a stamp to win 10 million dollars. Radio promotions need to be sold. Focus and frequency are our strengths. Whenever possible do one promotion at a time.
Ken Beck
KPIX-FM
San Francisco, CA
In a perfect world, the entire station runs one "big mother" promotion at a time and all dayparts contribute to making it a success. Of course, it's not a perfect world, so it's important to try to coordinate all the lesser promotion efforts to avoid clutter.
Be organized. Big stuff gets big air time, little stuff gets little air time. If you are giving away 10 grand a week, don't let promos for a Home and Garden show ticket giveaway get in the way.
Don't try to make cheesy promotions sound big. For the little stuff, develop a promotions landfill. We run a game show on Friday evenings called, "The Butler's Challenge." All of the car show tickets and oil change coupons are funneled through this conduit.
Develop a portfolio of "quick promo" ideas to handle the usual last-minute "gotta get a promotion to get the buy" requests. Then ... get a folder for the BIG promotions you want to do to hit a home run. Work backward and brainstorm how clients can be tied into the big promotions.
Chris Gardiner
Marketing/Promotions Director
WWRX-FM/WWBB-FM
Providence, RI
We run one major marketing campaign per quarter. This campaign focuses directly on our station's marketing and programming goals and has no tie-ins to sales. This way we can synergize our campaign by using other media (print, direct mail, TV, billboards) in conjunction with on-air support.
But, we run many sales promotions at once. We do this by executing our sales promotions within pre-existing promotional opportunities (sponsorships, trivia giveaways). All sales promotions have a pre-existing promotional inventory that does not conflict with the programming department's goals on-air. This allows us to provide many added value opportunities to our clients (point of purchase, on-air giveaways, print support, public service events) without creating on-air clutter.
Surviving The Post-Telecom Bill Blues
by Corinne Baldassano
Since the telecom bill passed, we've seen a frenzy of station buying and selling. Infinity, Clear Channel, Jacor, and SFX Broadcasting have gobbled up smaller companies, and by the time you read this, there'll be even more consolidation of ownership. At the last two conventions I attended, much of the "hallway buzz" centered around the lack of time that most program directors had since they were being asked to do much more than ever before. It's one thing to be relieved of your duties as jobs and assets are merged. But what if you're one of the survivors? How do you deal with increased responsibility without going down in flames from overwork?
Six Ways To Cope
There are six key factors to coping successfully with the new pressures:
1. **Organization**: The winners will be the PDs who are masters of organization. If this isn't your strength, invest in an electronic organizer and learn how to use it, or be sure you've got an assistant who knows how to keep you organized.
2. **Delegation**: Try to delegate as much as possible to your music director, promotion director or assistant — now's the time to utilize those "eager beavers" in your station who want to learn programming. You may have to train them, but pick the best and the brightest and invest some time in them. You can't possibly handle everything, but well-trained lieutenants can lighten the load considerably, leaving the most important decisions for your consideration.
3. **Prioritization**: What was important yesterday may not be important today. Make sure you and your staff prioritize daily, so you are sure you're all working on the best use of your time on that particular day.
4. **Elimination of Timewasters**: Don't let people drop into your office for a chat except during planned "open door" time which should be limited to specific hours. Of course, emergencies should be handled immediately.
5. **Relaxation**: Take time for yourself. An overworked PD is a burned-out PD, and one who doesn't make good decisions. Carve out some time each day that's sacred, and take a walk, get in your car and drive for 10 minutes, go out for lunch, or just close your door and relax for a few minutes. Give yourself free time at night and on weekends. Recharge your batteries.
6. **Acceptance of Limitations**: Don't be afraid to ask for help if you can't make it work. At least you gave it your best shot. General managers have a tendency to push until you holler "uncle." If no additional help can be deployed, then make a realistic assessment of what you *can* accomplish after you've worked your way through the first five steps.
Corinne Baldassano is vice president of programming for SW Networks in New York. She may be reached at 212-833-3706.
Baseball's Penance Is Done
by Holland Cooke
After a frosty reception last year, trendwatchers predict that those who had shunned the game much of last season have now forgiven it. Why?
- For all the reasons in Tom Boswell's wonderful book, *Why Time Begins On Opening Day*, we miss "The Boys Of Summer." This will be the first uninterrupted season since 1993.
- Despite plenty of empty seats early on, last season eventually showed us why we love this game. That picture of Cal Ripken tipping his cap was pure Norman Rockwell. Hideo Nomo was another character who made it more than just a game. And how 'bout that post-season?
- Fans know that they taught greedy players and owners a lesson. Baseball will never risk another nuclear winter.
Sure, there's still unfinished business. Like a labor agreement.
- But both sides are upbeat, acting commissioner Bud Selig saying, "We've come a long, long way," and ex-sourpuss player rep Donald Fehr assuring fans that, "There's another season coming, and they can relax and enjoy it."
- And they don't dare not do a World Series ever again.
The business of baseball is on the mend too.
- Over the winter, teams agreed to a new five-year $1.7 billion national TV deal.
- Despite big contracts for Ken Griffey Jr. and David Cone, the average free agent has taken a pay cut. The marketplace is naturally correcting salaries teams couldn't afford.
- The Cleveland Indians sold out every seat for every 1996 home game in 1995, and that's baseball history! Other club execs report encouraging sales, compared to a year ago, when there was no "hot stove" sentiment.
**Batter Up!**
Was there ever a more made-for-Radio event than baseball play-by-play?
- Games are 3+ hours of AQH-stretching, TSL-teasing, and incredibly visual audio.
- They're full of inventory, which is not a pure numbers sell. As a top-biller I know beams, "We sell things."
- It's a franchise! Carrying play-by-play is the opposite of a head-to-head format battle. There are tasty promotion possibilities too: on-air, stadium, and sales opportunities unavailable to other stations.
Baseball is Radio's best way to exploit one of our most fundamental emotions: spring fever. And after the winter much of the U.S. has just weathered, they're ready!
**Recommendations**
1. Take CBS Radio's Major League Baseball package.
- These games add spin to your other sports inventory.
- You can turn every Saturday into a double-header.
- You also get the Sunday night game that's such a hit for ESPN. Assure listeners, "You won't miss the game, even if you're in the car, or you don't have cable!"
- The CBS package includes The All-Star Game, special pennant-race games, and postseason play, baseball's crown jewels. In the same way all those one-game-a-year NFL fans help drive Super Bowl rates through the roof, everybody's a baseball fan in October.
2. Fuss over promos. Wait'll you see the slick baseball promos Fox is about to air. Make sure your station sizzles too.
3. Be a cheerleader for your team.
4. Tell listeners to set a button.
With the game back in favor, it's once again cool to give away baseball caps and other logo'd merchandise; and give away seats on bus trips to the games.
Holland Cooke is McVay Media's News/Talk specialist. He may be reached at 202-333-8442, or on the World Wide Web at http://users.aol.com/cookeh
SPECIAL REPORT
by Barry Skidelsky, Esq.
The TELECOM BILL
On February 1, 1996, after years of debate and impasse, Congress passed the Telecommunications Act of 1996. Exactly one week later, in a landmark ceremony at the Library of Congress, President Clinton signed the bill into law.
Although the Act focuses mainly on the wired worlds of telephone, cable and computer networks, it also portends to dramatically transform the Radio broadcasting industry.
This article attempts to clearly explain relevant portions of the complex new law, and, to probe both its near- and long-term effects on the Radio business.
As FCC Commissioner Susan Ness succinctly says: "The overall thrust of the new law is straightforward — increase competition and reduce regulation." For Radio, that thrust is most apparent in the Act's relaxation of ownership restrictions.
**Station Ownership**
In recent years, national ownership limits have risen from 7 to 12, then 18 to 20. Under the new Act, the number of Radio stations which may now be owned, operated or controlled, by one entity nationally is, in a word: infinity.
Pun aside, practical constraint is imposed not only by the number of AM and FM broadcast stations in the United States (approximately 10,000), but also by local ownership limits.
The new Act raises those local limits to now allow common ownership of Radio stations in a single market up to:
- 8 stations (no more than 5 in one service [AM or FM]) in markets with 45 or more commercial Radio stations
- 7 stations (no more than 4 in one service [AM or FM]) in markets with 30-44 commercial Radio stations
- 6 stations (no more than 4 in one service [AM or FM]) in markets with 15-29 commercial Radio stations
- 5 stations (no more than 3 in one service [AM or FM]) in markets with 14 or fewer commercial Radio stations, but not more than 50% of the stations in such market.
According to Roy Stewart, chief of the FCC's Mass Media Bureau, "The number of Radio stations in a market will continue to be defined by the use of overlapping city grade signal contours, but, the use of audience ratings has been eliminated for ownership showings."
Stewart also noted that time brokerage agreements or LMAs between two stations in the same market, that involve more than 15 percent of the brokered station's programming per week, will continue to be treated as if the brokered station is owned by the brokering station for purposes of the local ownership rules.
Later this year, the FCC will revisit its legal definition of ownership or "attribution," as well as related issues such as the "one-to-a-market rule" (which rule prohibits common local ownership of Radio and television stations. FCC policy has favored grants of requests to waive the one-to-a-market rule in the top 30 markets, and, the new law requires extension of that policy to the top 50 markets), and, the "cross interest policy" (which policy covers certain relationships not expressly prohibited by the ownership rules).
The Act also authorizes the Commission to waive the new ownership limits, if the number of Radio stations in operation will increase. However, the FCC also intends to address this later. Nonetheless, an aggressive applicant would be entitled to earlier consideration of such a waiver request if made in an appropriate context.
**Merger Mania**
Both immediately before and after passage of the new Act, an unprecedented wave of assignment and transfer applications hit the desks at the FCC, and, the hits just keep on coming.
In February, the FCC disposed of 486 Radio station sales. The previous record for any single month was 253. Although
the FCC was closed from mid-December 1995 to mid-January 1996 due to the federal budget crisis and snow, the agency now claims to be back on track regarding its 60-day-or-less speed-of-service commitment for routine sales applications.
The bulk of these Radio station buyers were, and will continue to be, those already big groups with very deep pockets, primarily publicly traded companies with ready access to capital, who are seeking to strengthen existing positions in markets and move into new ones.
Some deals approved by the Commission before the new Act became effective were conditioned on divestiture commitments; but, as is typified by Evergreen's CEO Scott Ginsburg: "We were optimistic that the new law would be passed before we had to spin off some stations."
Evergreen became the first group to reach a full complement of five FMs in one market, Chicago, and, it now gets to keep them all. The company also has two AMs in the Windy City; and, it holds a similar hand in Boston (two AMs and five FMs).
Jacor became the first company to hit the new limit of eight stations in one market: four AMs and four FMs in Denver; and, although Infinity now has eight stations in Dallas (six FMs and two AMs), it will need to sell a Dallas FM to comply with the new law.
To industry insiders, this is just the tip of the iceberg, merely the start of a new era in station trading and industry consolidation; and, at these prices, Radio is moving into the big leagues.
Just two recent deals total more than $1 billion dollars (why am I reminded of McDonald's?). Jacor purchased 19 stations from Citicasters for $774 million; and, Infinity bought 12 stations from Granum for $410 million.
The big boys are getting bigger; but, even these deals pale by comparison with the truly mega-deals resulting from the new Telecommunications Act. Consider the recently proposed acquisition of Continental Cablevision (the country's third largest cable MSO or multiple system operator) by telco US West.
Are you sitting down? Could you come up with $5.3 billion in cash and assume $5.5 billion in debt? That sum ($10.8 billion) exceeds all the money spent on local Radio advertising in 1995 ($9.1 billion); but, we're still not talking chump change being paid for Radio stations today.
According to BIA's Tom Buono: "Radio station prices have been steadily increasing since 1990 [see Chart next page], and, prices will remain at relatively high levels, given the demand of the major players to consolidate their markets."
Buono adds, "In-market buyers can justify higher prices in terms of both added benefits and diminished risks." He believes that "as strong as 1995 was in terms of transaction activity, 1996 will be significantly higher in terms of the number of stations sold and the aggregate dollar volume."
Granum's chief Herb McCord says that: "These high prices may be justifiable to public companies, but not to private investors seeking a rate of return. The cost of capital for each is so significantly different. Smaller companies get squeezed out."
Ross Secunda of Hanevan Financial Services concurs: "The big guys had their financing lined up and were doing deals in anticipation of the new law. The mid-sized and small-market owners are just now starting to explore their options; but,
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if a deal makes sense, money can be found for expansion."
Clearly, the high prices now being paid for Radio station purchases set benchmarks for future deals; and, the value of all stations just took a giant leap upward.
As good guy and renowned broadcast broker Gary Stevens puts it, "For better or worse, the Radio marketplace has been redefined." In his view: "De-regulation has guaranteed an exit for practically everyone. There's even competition for sticks."
Stevens predicts that we may see more like-kind exchanges (tax-beneficial trades of stations), resulting from acquisitions of groups containing one or more unwanted or less desirable stations. Given the new fungibility, swaps may help owners get otherwise unavailable stations.
In fact, at press time Radio Group Entercom agreed to purchase WAXQ-FM New York from GAF Broadcasting for $90 million, but simultaneously turn the station over to Viacom Broadcasting in exchange for three Viacom stations serving Seattle.
Management and Staff
Consume dealemaker Bob Sillerman believes that: "The biggest challenge coming out of the new Act is a management one. Our industry has never had to develop brand managers who know how to compete both within and outside the Radio industry."
The job of Radio station management was never easy; and, under the new law, it will be tougher. Moreover, contrary to the political rhetoric that the new Act will create jobs, it is in fact eliminating them.
Consolidation has resulted, and will undoubtedly continue to do so, in job force reductions or downsizing. Job security was never a hallmark of the Radio industry; but, now it seems that the first to be let go is the general manager, frequently a high paying position. Your job just became less secure than ever.
Even if you are lucky enough to survive a takeover, salary stagnation, if not regression, can be an unpleasant fact of life in today's new environment; and, you will likely be expected to wear more hats than you do now.
As FCC Chairman Reed Hundt deftly deigns: "There will be winners and losers. There's no way around that." To be a winner, hone your skills; and, focus on being more of a contributor to the revenue, rather than the expense, side of the equation.
Programming
No aspect of the Radio business is unaffected by the increasing consolidation, undeniably resulting from the new law.
Vinnie Brown, program director of Smooth R&B/Classic Soul WRKS (Kiss) New York, says that Emmis' strategy behind the first duopoly here last year (with sister station WQHT, "where hiphop lives") was "to make the programming formats complement each other, in order to improve and combine market shares."
The result: Urban format dominance of a full demographic spectrum from 12-54 (approaching a lock from the cradle to the grave), which forced competitor WBLS to adjust its programming; and, which netted a rise in both ratings and revenue. It has also proved to be a model for emulation.
Ed Mann, VP of Premiere Radio Networks, suggests that "big Radio groups who in the past were reluctant to give up inventory to program syndicators, despite obvious mutual advantages, may now feel different by owning more Radio stations in a market and having more inventory to sell."
Mann adds, "On the other hand,
At NCI, our salespeople just seem larger than life. (In fact, some of their success stories are.)
Platinum Eagle Award Recipient
Jane Cebrynski
KZZP-FM, Phoenix
Congratulations to all these Nationwide Communications Inc. Eagle Award recipients for outstanding sales performance.
Gold Eagle Award Recipients: Pat Ahl, WCOL-FM, Columbus; Bob Allison, KISW-FM, Seattle; Frank Costa, KHMX-FM, Houston; Cheryl Packert-Foley, WGAR-FM, Cleveland; Nancy Richards, WCOL-FM, Columbus.
Silver Eagle Award Recipients: Kim Cursov, KDMX-FM, Dallas; Bill Gavin, WCOL-FM, Columbus; Cindy Hunter, WGAR-FM, Cleveland; Jeff Miller, WGAR-FM, Cleveland; Pam Miller, KDMX-FM, Dallas; Lisa Ryce, WPOC-FM, Baltimore; Mike Walker, KDMX-FM, Dallas.
Bronze Eagle Award Recipients: Frank Feder, KLUC-FM, Las Vegas; Lorene Malis, KLUC-FM, Las Vegas; Heather Rice, WNCI-FM, Columbus; Jim Small, KISW-FM, Seattle; Debby Stocks, WNCI-FM, Columbus.
they may choose to buy program suppliers instead of just buying the programming." Others have speculated that there may be a greater willingness to experiment and invest in "new" programming; but, skeptics instead foresee more homogeneity and blandness. Time will tell; but, clearly the focus now is more on ownership than formats.
Sales
Gary Fries, CEO of the Radio Advertising Bureau, predicts that "with Radio inventory in more concentrated or fewer hands, spot rates will rise and come into parity with other media, such as newspapers, resulting in more revenue to both national and local Radio."
He attributes this to the fact that "the new Act can put weaker stations in stronger hands, allowing them to develop into more significant marketing vehicles for advertisers.
"Now Radio can concentrate on becoming a more professional marketing entity, focusing on serving customers needs over the long-term, rather than on the nearsighted low-balling of other Radio stations rates. It's time to stop playing 'intramural Radio.'"
Back to the Future
Just as the new Act may bring us back to the days when we each had one telephone company to handle both our local and long-distance calls, we may well wind up with 20 or fewer big Radio groups controlling 80 percent or more of the industry. At least in the near term, the new Act seems destined to achieve the opposite of its intended result—by decreasing, rather than increasing, competition.
Many experienced Radio broadcasters believe it would be unfortunate if everyone must combine into multiple station groups to be able to compete successfully. Radio was built by entrepreneurs, who achieved success by becoming integral parts of and serving the needs of their local communities. Over time, they adapted to new technologies, new laws and more.
The large conglomerates may prove incapable or inflexible, instead trying vainly to homogenize diverse localism into a one-size-fits-all commodity; and, then one day wake up to the fact that they overborrowed and overpaid just to bulk up. Stay tuned.
Although market forces and private interests may now be getting a leg up over the public interests that have traditionally backed FCC regulators' policies, all of life (and law) goes in cycles. Analogous to the Big Bang theory, ownership consolidation or contraction will eventually be followed by fragmentation or expansion. What goes around, comes around.
Other Interesting Stuff
You may have heard that the new Act also gives the FCC authority to grant license terms for up to eight years. They're also thinking about that now; but, as the current license term for Radio is seven years, one more year is no big deal.
However, the new Act does throw comparative renewals out the window; and, that is good news. In essence, Congress directed the FCC to grant broadcast license renewal applications, without considering any competing application, if the licensee has not committed any serious violations of law.
Only if and when a renewal application is denied will the FCC consider applications to replace the licensee. These rules apply retroactively to applications filed on or after May 1, 1995; and, they do not affect the current renewal application filing schedule.
Nonetheless, it is important to note that petitions to deny are still possible; and, that the renewal applications themselves are deceptively simple and hold traps for the unwary.
In addition, until now, no corporation with an officer or director who was not a United States citizen could hold a broadcast license. The new Act abolishes this prohibition; but, no change was made in the provisions regarding equity ownership by aliens. At least 80 percent must be owned by U.S. citizens.
The new Act also sets a stringent standard for silent stations. If you stay off the air for a consecutive 12-month period, you will lose your license. The FCC has no authority to waive this rule; and, it is now considering the fine points.
Also largely unknown is the fact that the Telecommunications Act of 1996, which amends but does not replace the Communications Act of 1934, provides for the creation of a Telecommunications Development Fund (TDF), which is a reserve designed to promote small businesses.
To be funded initially by interest on deposits from spectrum auctions (such as the $8 billion raised in the PCS proceedings last year), the TDF contemplates making loans to and investments in eligible small businesses (including Radio) for acquisitions, upgrades and training. Some industry insiders are calling this fund "high-tech pork" and do not take it seriously; but, how the TDF unfolds remains to be seen.
Next door, so to speak, our brothers and sisters in TV are fighting to stave off having to bid for or buy digital spectrum. I urge all of Radio to join them in this fight, and, to otherwise get informed and involved in all relevant rulemakings (such as the recently proposed reform of Broadcast EEO [Mass Media Docket 96-16; comments are due 4-30-96]).
If the door to spectrum fees gets opened for TV, can Radio be far behind? Ditto the indecency issue on its way to the Supreme Court. If cyber-censorship can be stopped, there's hope for a First Amendment parity and relief for Radio.
As cliché as it might seem, to succeed you will need to think outside the box. It is a brave new world requiring new models of and approaches to the business of Radio broadcasting. In the final analysis Darwin was right: adapt or die.
Barry Skidelsky is an attorney and consultant who concentrates in Radio. He may be reached at 212-832-4800.
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## EVENTS CALENDAR
### 1996
#### APRIL
- April 10 — The Golden Mike Awards, New York. 203-862-8577
- April 12-13 — 10th Annual Old Time Radio & Nostalgia Convention, Cincinnati. 513-772-1720
- April 15-18 — NAB Annual Convention 1996, Las Vegas. 202-429-5402
- April 17 — Broadcasters’ Foundation Pioneers’ Breakfast, Las Vegas. 203-862-8577
- April 19-21 — CES Mobile Electronics ’96, Orlando, FL. 202-457-8700
- April 21-25 — National Christian Radio Seminar (NCRS), Nashville. 615-242-0303
- April 26-28 — Adventures in Broadcasting Promotion Director’s School II, Stamford, CT. 212-682-6565
#### MAY
- May 1-3 — The Radio Only Management Conference, Scottsdale, AZ. 609-424-6800
- May 4-7 — RAB Board of Directors, Boston. 212-387-2100
- May 6-8 — Dave Gifford’s The Graduate School For Sales Management, Atlanta. 1-800-TALK GIF.
- May 8 — IRTSF Foundation Awards Luncheon, New York. 212-867-6650
- May 15-19 — Annual Public Radio Conference, Lake Buena Vista, FL. 202-414-2000
- May 19-22 — Broadcast Cable Financial Management Association/Broadcast Cable Credit Association Annual Conference, Lake Buena Vista, FL. 708-296-0200
- May 21-26 — NRB International Conference, Jerusalem. 703-330-7000
- May 23-25 — CES Habitech & CES Orlando ’96, Orlando, FL. 202-457-8700
#### JUNE
- June 1-2 — 14th Annual National Association of Hispanic Journalists Convention, Chicago. 202-662-7145
- June 4-5 — 3rd International Symposium on DAB, Montreux, Switzerland. 213-938-3228
- June 6-9 — 3rd Annual Radio Montreux International Symposium. 213-938-3228
- June 6-13 — EIA/CES International Summer Consumer Electronics Show, Chicago. 202-457-8700
- June 12 — The Radio Creative Fund Mercury Awards, New York. 212-387-2156
- June 19-22 — PROMAX & DBS Conference & Expo, Los Angeles. 213-465-3777
- June 20-23 — Talk Radio ’96, Washington, D.C. 617-437-9757
- June 22-25 — NAB Board of Directors Meeting, Washington, D.C. 202-775-3527
- June 24-26 — Dave Gifford’s The Graduate School For Sales Management, Sante Fe, NM. 1-800-TALK GIF.
- June 27-29 — The 45th Annual AWRT National Convention, Naples, FL. 703-506-3290
#### JULY
- July 10-12 — McVay Media Radio School, Cleveland. 216-892-1910
- July 11-14 — Upper Midwest Conclave, Minneapolis.
- July 14-16 — NYSBA’s 35th Executive Conference, Rye Brook, NY.
- July 15-17 — Dave Gifford’s The Graduate School For Sales Management, Chicago. 1-800-TALK GIF.
- July 25-27 — Southwest National Religious Broadcasters Conference, Dallas/Fort Worth. 318-783-1560
#### AUGUST
- Aug. 1-3 — Talentmasters Morning Show Boot Camp, New Orleans.
- Aug. 5-7 — Dave Gifford’s The Graduate School For Sales Management, Boston. 1-800-TALK GIF.
- Aug. 10-13 — 79th Annual Association for Education in Journalism & Mass Communication Convention, Anaheim, CA. 803-777-2005
- Aug. 15-17 — West Virginia Broadcasters Association 50th Annual Greenbrier Meeting, White Sulphur Springs, WV. 304-744-2143
#### SEPTEMBER
- Sept. (Date TBA) — 20th Annual NABOB Fall Broadcast Management Conference, Washington, D.C. 202-463-8970
- Sept. 4-6 — NRB Public Policy Conference, Washington, D.C. 703-330-7000
- Sept. 13-17 — International Broadcasting Convention Annual Meeting, Amsterdam. 44-71-240-3839
- Sept. 16-18 — Dave Gifford’s The Graduate School For Sales Management, Dallas. 1-800-TALK GIF.
- Sept. 28 — NAB Radio License Renewal Seminar, Kansas City, MO. 202-775-3527
#### OCTOBER
- Oct. 9-12 — NAB 1996 Radio Show & World Media Expo, Los Angeles. 202-429-5402
#### ARBITRON SURVEY DATES
- Spring March 28-June 19
- Summer June 27-Sept. 18
- Fall Sept. 19-Dec. 11
FAX YOUR ORGANIZATION’S EVENTS TO: Events Calendar, c/o Shawn Deena 407-655-6134.
---
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Circle Reader Service #135
**DAIRY**
:60 Seward Dairy
Anncr 1: Ever notice why some people choose brand names when it comes to food products? Ever notice how Seward Family Milk tastes and how other brands taste? Ever think about the TRUST for the name on the carton? At Seward Dairy you CAN talk to the people whose name is on the carton, but you have to get up early because the Seward family and drivers start picking up milk from our local farms before the early bird gets to squirm. Anncr 2: Er, excuse me, that's the early bird gets the WORM. Anncr 1: Yeah, Anyway, the Seward Family is proud of their milk because it is so fresh, and has received the Vermont Seal of Quality. You know, the Seward Dairy isn't some fly by sight operation. Anncr 2: That's fly by night. Anncr 1: Right, but they pick up their milk in the MORNING, and the Seward Dairy isn't just some factory, adding stuff to their milk. You know, no man cooks spoil the broth. Anncr 2: Spill the broth, that's what man cooks spoil the BROTH. Anncr 1: The farmers that supply their milk to Seward Dairy don't spoil THEIR broth. They have pledged not to use artificial hormones on their cows, and THAT'S something they should blow their corn about. Anncr 2: The Seward Family should blow their HORN!! Tag.
Katie Adams, WJEN-FM
Rutland, VT
---
**COMEDY CLUB**
:60 Jester's
Vc. 1: No ... this won't work! Vc. 2: Watcha workin' on? Vc. 1: Well I'm trying to write a commercial for a really cool comedy club. Vc. 2: Oh, you mean Jester's? Vc. 1: Yeah, how'd ya know? Vc. 2: Well, that's the only cool comedy club I can think of. Vc. 1: Good point. Anncr: This weekend, it's Ed Fialat! You may have seen him on the Tonight Show, A&E's Comedy On The Road, Showtime, HBO, or appearing with celebrities like Steve Allen, Jim Brown, Martin Mull, and Jerry Seinfeld. You'll double over laughing with Ed's 'think free' approach to comedy, incorporating material that audiences can relate to, along with hilarious sound effects. He also has an Everyday Man's Dictionary, which is updated regularly with words and definitions you'll find yourself repeating. That's not all ... also appearing is a very talented comedian — Paul Diggilio. It's this weekend at Jester's Comedy Club, 345 Fifth Avenue in Moline! Vc. 2: I dunno ... wait! Maybe you could do something real obvious ... like a guy who's having trouble writing a commercial for a hip comedy club. Vc. 1: Hey, yeah ... nah, that's stupid!
Aaron Anthony, WOC-AM/KMXG-FM/KOOL-FM
Davenport, IA
---
**CUSTOM PRINTING**
:60 Premium Specialties
(sfx: use summertime fun type of BG music, very upbeat. Voices for the ants should sound "animated," fun character voices.) (group marching)
Ant Leader: One, two, one, two, one ... halt! (marching stops). Look ahead, fellow ants — a picnic! It looks like a family reunion. Full speed ahead! Ant 1: Excellent food! Ant 2: Just in time. I could go for a little sugar rush! Ant Leader: Load up! Ants, let's hit the mother load! Ant 1: What's up with that new guy? New Ant: Hey, look at those cool Frisbees! All Ants: Frisbees! Ant Leader: We're supposed to be loading up the food, not Frisbees! New Ant: Hey, it's a family reunion with special Frisbees from Premium Specialties. Ant 1: We're ants we don't need Frisbees ... (to another ant) Here help me with this giant wienie. New Ant: What an excellent idea! Custom printed Frisbees for your family reunion! You've never been to a company picnic, church picnic ... Ant Leader: Hey, new guy, get with the program — we're ants, "we" don't get to use cool stuff like that. New Ant: Why not? Maybe Premium Specialties can print us up some T-shirts or cool keychains. Do ants use can cozies?? Anncr: Tag.
Julie Lambert, WKAN-AM/WLRT-FM
Kankakee, IL
---
**RODEO**
:60 Benton Rodeo Days
(sfx: powerful sounding horse snort) He's waiting to knock the first rider who dares to tame him to kingdom come. (sfx: bull bellowing) He anticipates the moment he gets to trample underfoot anyone fool enough to ride him. (sfx: horse whop) and his veins are pulsating at the promise of adventure — trying to stay eight Seconds on top of a living ball of dynamite (boom) The Benton Frontier Days Celebration is coming — July 12th through the 15th! See the Rodeo Parade on Wednesday, and enjoy the A.P.R.A. Championship Rodeo Thursday through Saturday, starting at 7:30! Don't miss the entertainment from The Masters Band on Wednesday, the Alison Wonderband on Thursday, the Phosphor Bronze Pickers on Friday, and the Mac McCraw Band on Saturday! And, have an explosive good time Friday, during the gigantic atomic fireworks display at 11:30! Don't miss the Benton Frontier Days Celebration, July 12th through the 15th ... Tag.
Rebecca Hiller, WLYC-AM/WIQL-FM
Williamsport, PA
---
**BILLIARDS/BAR**
:30 Pub and Cue
(sfx: cool up-tempo rock/blues music bed ... read in up-beat blues-voice) Fifteen Hundred ... Pub ... and Cues ... the answer ... to your night-out blues ... Live bands ... dancin' ... outta sight ... every Thursday, Friday, and Saturday night ... From four till seven, daily dinner buffet, a community pub ... where ... young and old, can play ... Pool tournaments, Monday nights, for all the girls ... and guys ... come out ... try an' win a prize ... Wednesday nights, ladies — belong to you ... made to keep you ... from ... feelin' blue ... Anncr: "Fifteen Hundred Pub and Cues in the Cardinal Motor Inn on Regent Street — the one place in town, that has the blues beat!"
Robert Watson, CJQJ-FM/CIGM-AM
Sudbury, Ontario, CAN
---
**CREDIT UNION**
:30 First Illinois Credit Union
Great rates, Batman! No, I mean it! There are great rates at First Illinois Credit Union! First Illinois Credit Union has fantastic certificate of deposit rates. Put down a $2500 minimum for a 6.125% yield or a $10,000 minimum for a 6.25% yield. I'm not making this up, this isn't a riddle, these great rates at First Illinois Credit Union. So hop in your Batmobile and head to 329 North Gilbert and 920 East Voorhees in Danville for First Illinois Credit Union's great rates on their certificates of deposit.
Cyndi Stidham, WDAN-AM/WDNL-FM
Danville, IL
HELP WANTED
America's premier operator of Hispanic radio stations, Tichenor Media System, is growing again. In the tradition of KXTN in San Antonio and KMW in the Valley, Tichenor Spanish Radio in Houston is preparing to launch a bilingual, Tejano FM station. We are currently looking to fill the following positions:
- Sales Manager
- High-profile AM Drive Show
- On-air Personalities (all shifts)
- Account Executives
- Research Director
If you want to be part of a winning team ... part of the fastest growing market segment in radio ... part of a quality-driven, growth-oriented broadcast group ... send your resume and cover letter to the attention of:
Gary Stone
VP & General Manager
Tichenor Spanish Radio
1415 North Loop West, Suite 400
Houston, TX 77008
Tichenor Media System is an Equal Opportunity Employer.
HELP WANTED GENERAL SALES MANAGER
Smooth Jazz 104.1, KMJZ (Minneapolis), is currently accepting applications for a General Sales Manager. Candidates must possess the following attributes:
- Ability to lead 12-person sales staff
- Strong sales training skills
- Ability to recruit and develop sales talent
- A proven track record as a LSM or GSM
- Experience in a top 20 market with NAC or Soft AC format
- Be proficient in inventory and rate management
- Enjoy interfacing with clients and making sales calls with reps
- Knows how to get "unfair" share of business selling quality of audience
- Understanding of vendor related sales
- Must have strong people skills and enjoy working with a winning team
- Strong sense of urgency
- Quick to initiate activities and respond to problems
- Organized
- Creative and inventive personality
This opportunity should be viewed as a career move. We are looking for someone to guide the sales department through the '90s and into the 21st century! Competitive compensation and benefits package. If quality of life and working with one of America's premier radio groups are important factors in your career, mail your resume to: (No phone calls or faxes please).
Ron Stone, GM, KMJZ
Post Office Box 36130
Minneapolis, MN 55435-0130
KMJZ is an equal opportunity employer. Women and minorities are encouraged to apply.
HELP WANTED GM AND GSM OPPORTUNITIES
Americom Broadcasting has just purchased four more stations in one of the West's greatest communities, Reno, and has immediate openings for a second General Manager and Sales Manager. If you have a proven track record in sales management and a winning attitude, fax your resume to Tom Quinn, 213-465-3635. Please indicate on your resume if you will be attending the NAB in Las Vegas. EOE.
HELP WANTED MANAGEMENT
Director of Sales. Keymarket Radio. Oversee sales, marketing, promotion, training for our radio stations in nine cities. Must have minimum four years GSM experience, knowledge of direct retail, manufacturer, solution selling and national, ability to relocate to our corporate office and travel extensively. Fax your resume to Barry Drake 706-855-1955. EOE.
HELP WANTED NATIONAL SALES MANAGER
Key Market Radio/River City Broadcasting is seeking National Sales Managers for major markets. Must be able to sell as many as six stations together. Send resume to Barry Drake, Key Market Radio, 2743 Perimeter Parkway, Building 100, Suite 250, Augusta, GA 30909. EOE.
HELP WANTED SALES
Kansas City radio station with an exclusive format is looking for a senior sales professional with lots of drive and motivation to make over $50k. Generous salary and commission. Grow into management and ownership opportunity. Call Mark Miller, GSM, 913-341-5552. EOE.
As a career professional you've earned the right to an excellent return for your abilities ... you have a right to expect recognition for your successes, in-service training to improve your professional power, honest critique of your work and the respect and admiration of your peers.
The Wicks Broadcast Group, composed of both Radio and Television, has immediate openings in our Radio Division. We are seeking career professionals who will settle for nothing less than being the best. Due to our Radio medium market growth in the Southeast and Northeast, we have opportunities for both Sales Manager and Account Executives. General Manager candidates are also being identified.
Your confidential reply will be given top priority as we explore the benefits of working together. We are an equal opportunity employer; Male, Female and Minorities are encouraged to apply. D. Rex Tackett, President, Wicks Broadcast Limited Partnership, 25302 Night-hawk Ln., San Antonio, TX 78255.
TIRED OF SNOW & ICE? READY TO LIVE IN FLORIDA? Radio Ink is seeking one more qualified sales professional to join our Marketing Department. If you're interested in helping radio companies & vendors build their business, we need to talk! Fax resume to Tom Haymond 407-655-6134.
MISCELLANEOUS RELATED INDUSTRY
NEW CALL LETTERS?
List Of
All Now Open
Any 2-Letter Combo
CENTER For
RADIO INFORMATION
(800) 359-9898
RADIO PARTNERSHIP OPPORTUNITY
3kW Rock station in Chicago suburb looking for Partner. 100K for 1/3. Call 708-448-4461 for information.
**YELLOW INK PAGES™**
**COLLECTION CONSULTANTS**
Szabo Associates, Inc. 404-266-2464
Media Collection Professionals. Local, National and International Receivables. No other offers you so many value-added services.
**COPYWRITING**
**SPOTS BEFORE YOUR EYES.**
Copywriting Services For Places Without Copywriting Services
**RIGHT BRAIN VISIONS**
800-646-3339
The Professional Choice Of Stations Across America, and Great Britain.
firstname.lastname@example.org
http://www.sojourn.com/~rbv/web/rbv.html
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**COPYWRITING/PRODUCTION**
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WE MAKE MONEY FOR RADIO STATIONS
If your salespeople are sitting in front of computers trying to write copy, they're not out selling. We can help with persuasive copy within 24 hours and superior production in 48. Arm your salespeople with the tools to succeed. Contact Bill Flowers
207-583-9911
207-583-2328 fax
Urbanwild
Circle Reader Service #171
**FINANCIAL/BROKERS**
Gary Stevens & Co. 203-966-6465
America's leading independent radio broker.
Fax 203-966-6522
Media Services Group, Inc. 904-285-3239
Brokerage, Valuations, Financial Services, Asset Management, and Due Diligence. George R. Reed.
Satterfield & Perry, Inc. 303-239-6670
Media Brokers, Consultants and FDIC Approved Appraisers — nationwide. Fax: 303-231-9562. Al Perry.
**MARKETING AND PROMOTION**
**DIRECT MAIL FOR RADIO**
Creative Media Management, Inc.
Business, Residential & Sweepstakes Mailers Personalized Letters, Postcards & Database Services
1000 Belcher Rd. S., Suite 10
Largo, FL 34641-3307
(813) 536-9450
Circle Reader Service #172
**INFLADABLE IMAGES...**
Attract attention to your station events with a customized giant inflatable. Perfect for your next BIG promotion! Blow up your mascot or create your own shape and event.
Contact: Lenny Freed
(216) 273-3200 ext 137
Fax: 216-273-3212
INFLADABLE IMAGE INDUSTRIES
2773 Nationwide Parkway-Brunswick, Ohio 44212
Circle Reader Service #173
**NATIONAL REP FIRMS**
THE INTEREP RADIO STORE
Selling Today...Innovating for Tomorrow
1-800-INTEREP
**MARKETING AND PROMOTION**
BASEBALL CAPS—T-SHIRTS—PAINTER CAPS—BANDANNAS. Inexpensive Premiums That Work! English, Ethnic, Rock, EZ, Classical. We'll help you with the art. Valuwear, Monroe NC 800-277-0031. Gorgeous screen printing and embroidering.
Joyce Marshall, VP/GM
WYNG-FM "WING-105"
EVANSVILLE, IN / MKT 152
"Our goal with our game was to increase revenue and listeners. Ratings went up! Our 25-54 share grew 59% and 18-34 grew 80%. 18-34 pm drive went from a 4.2 to a 15.3, and 25-54 went from a 6.4 to a 12.7!!! We exceeded our revenue goal, and sold 4 times our cost! We also got a new truck FREE for promotional mentions only. We are ecstatic and thrilled!"
MARTIN MARKETING
Call us NOW for summer or fall '96
(210) 494-6170 / FAX (210) 494-7180
Circle Reader Service #174
**MANAGEMENT/SALES CONSULTANTS**
Dave Gifford International...505-989-7007
Sales turnarounds and troubleshooting. In-station and group owner sales training. Sales management & advertiser seminars. New account sales and client development. Takeover counsel to first station owners.
**PRODUCTION**
Radio Potato™
• Complete Production Via ISDN
• Production Music
• News/Talk Packages
For A FREE DEMO, call
800-GOT-NUPIS
(800) 468-6874
See us at NAB '96 Harris Booth #5809
Circle Reader Service #175
Radio Ink’s Yellow Pages ads make you accessible when your customers are ready to buy.
The Yellow Pages quick reference makes it easy for potential customers to find you ... and make a purchase.
You gain an advantage over your competition because you are listed ... and they may not be.
You’re visible and familiar ... ready when your customer is ready to buy.
Economical! Visible! Targeted!
Questions?
Call Tammy Hayes at 407-655-8778 ext. 204
RADIO INK
Radio’s Premier Management & Marketing Magazine
224 Datura Street • Suite 701
West Palm Beach, Florida 33401
407-655-8778 • Fax 407-655-6164
WIDELY READ IN 37 COUNTRIES
Radio broadcasters around the world are subscribing to ... and reading Radio Ink. Why? Radio Ink focuses on actionable ideas any station can use immediately. Ideas you can take to the bank, to the streets, to the bottom line.
Join radio broadcasters in 37 countries and thousands in the U.S. who read Radio Ink every-other-week for proven information that will make you money!
37 COUNTRIES:
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Belgium Hong Kong Philippines
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Croatia Jamaica Spain
Denmark Japan Sweden
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Finland Netherlands Turkey
France New Zealand Uganda
Germany Norway United States
Paraguay
To Subscribe Call
1-800-610-5771
OR 407-655-8778
RADIO INK
Radio's Premier Management & Marketing Magazine™
Birthday Memories. Westwood One Entertainment and OZ, the gift stationery division of Andrews and McMeel (A&M) now have available an innovative new product called "Replay Greeting Cards," a CD birthday line. Each "Replay" year-of-birth CD contains a fully produced audio time capsule featuring actual recordings of the major news, events and personalities from that year. The audio for this CD comes from Westwood's extensive archives and the packaging and marketing from A&M. At $6.95 a piece it makes a great gift. Westwood 212-641-2052 or OZ 816-932-6713
• Sold Out. The sixth annual CES® Mobile Electronics '96: The Mobile Electronics Show (MES) has sold out its exhibit floor space. It's the world's only trade show dedicated exclusively to the 12-volt industry. The three-day event takes place April 19-21 at the Orange County Convention Center in Orlando, FL. 703-907-7674
Speak Up. Gentner Communications Corporation introduces a new, low-cost teleconferencer for use with digital analog telephones. The Gentner ET10 turns any business telephone into a full duplex teleconferencer through the use of high speed digital signal processors. And unlike speakerphones it doesn't cut off caller audio when local participants speak, so the ET10 allows natural interaction between distant and local parties. Suggested price is $499 (phones not included). 800-945-7730
• Swede Deal. Sveriges (Swedish) Radio, Stockholm, has purchased 16 Sound Enhancers from San Jose-based Philips Key Modules M & D Business Unit for use at their 12 Radio stations and for other applications. Sveriges Radio's primary application for the Sound Enhancer is the preprocessing of program material for their local stations.
Radio Vacation. Going on vacation but just can't leave the job at home? Get the best of both worlds at the Walt Disney World Resort's Disney Institute in Orlando. In addition to relaxing and being pampered you can take part in more than 60 programs offered in eight areas of interest including the entertainment arts, with programs in Radio/audio, animation, TV/video, show biz and photography. Of course your family would leave you there and go do other things but hey, at least you'd be on vacation. 407-397-6397
SEND PHOTOS of your new products to: Product News, c/o Shawn Deena, 224 Datura Street • Suite 701, West Palm Beach, FL 33401.
Historic Meeting. Disney's Michael Eisner (forefront), aka The Man, recently made his first visit to ABC Radio Networks in Dallas and met with the network executives and various personalities, toured the 24-hour format studios and chatted with various format DJs. Here we see the execs and Eisner after a rousing rendition of "It's A Small World."
Constitution Joe. Yes that's One-On-One Sports' Papa Joe Chevalier dressed in full constitutional garb still hawking his Sports Fans Bill of Rights he created late last year. And if you don't know who that other guy is, put a kite in his hand then think real hard.
All Hail King Larry! The Museum of Broadcast Communications in Chicago pays tribute to Larry King this month with a gala event at the Chicago Hilton and Towers April 27. Not for the light-pocketed, tickets start at $300 each or you can get a salute table for 12 for — $15,000. A tribute for his suspenders will be held in May.
Billboard Broadcast. Residents of six northside Chicago neighborhoods woke up one morning last month to be greeted by billboards encouraging them to listen to ... Lesbigay Radio, the world's only daily Radio program for lesbians, gay men and bisexuals. Lesbigay Radio broadcasts on WDNZ-AM from 6-9 a.m. weekdays. The billboards will end their run later this month.
We can design a system for your changing operation, LMA, Duopoly, group or single station, we can meet your programming and budgetary requirements.
• Complete Project Management Services
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(214) 612-2053
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(412) 942-4054
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Circle Reader Service #133
Dudes In The Shade. Hanging out with WKIK-AM Leonard Town, MD, personalities J.D. Cave (l) and Dave Mann is the late, great Wolfman Jack during a promotion circa 1972. J.D. now owns and operates WEZI-FM Harrisonburg, VA, and Dave is still the Mann.
AD INDEX
360 Systems ................................................................. 17
BIA Publications ......................................................... 54
Broadcast Programming Inc ........................................... 15
CBSI ............................................................................. 5
Dalet Digital Media Systems ............................................ 7
Dave Gifford International .............................................. 12
Enco Systems .................................................................. 21
Eventide ........................................................................ 34
Fidelipac Corp. ............................................................... 31
Hanevan Financial Services ........................................... 30
Harris Allied ................................................................... 19
Jones Satellite Networks ............................................... 48
Katz Radio Group ......................................................... 35, 37, 38
KD Kanopy ..................................................................... 55
Lontos Sales & Motivation Inc ....................................... 60
Marketing/Research Partners Inc .................................... 15
McVay Media Services .................................................. 50
Media Touch ................................................................... 9
Media Venture Partners ................................................ 13
Metro Networks ............................................................ 69
Musicam USA ............................................................... 29
Music Of Your Life Radio Services ................................ 6
Nationwide ..................................................................... 51
Northeast Broadcast Lab ................................................ 61
PGA ............................................................................. 11
Prophet Systems ........................................................... 32, 33
Prudential Services ....................................................... 2, 3
Radio Computing Services ............................................ 64
Stepping Stone Production ............................................ 40
Tapscan .......................................................................... 39, 42
TFT Incorporated .......................................................... 63
USA Radio Network ...................................................... 44
US Tape & Label ............................................................ 62
PROMOTIONS THAT LAST.
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Circle Reader Service #140
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TFT EAS 911 EAS Encoder/Decoder Now FCC Type Certified
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Going Digital?
MASTER CONTROL
Tested, trusted & proven in hundreds of large & small markets.
We waited for the digital options to mature and we think RCS has arrived with the best possible solution for us.
Talmage Ball,
VP/Engineering
Bonneville International
At WTMX, the RCS Master Control digital system was quick to install and simple to teach the air staff. They love it.
Drew Horowitz
GM, WTMX/Chicago
Let the Buyer be Smart...
ALL systems should have:
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... better talk to RCS
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http://www.rcsworks.com
Pictured: The forthcoming hot new Windows/GUI version of Master Control, showing (top to bottom) status bar, next-to-play elements, program log and audition window.
|
Please fill out the form below. The Ft Wayne Metro USBC does not discriminate on the basis of age, race, gender, creed, ethnic origin, religion, nationality, or physical disability.
**Basic Information (please print)**
Name: Janet Gardiner
Email Address: [Redacted]
Address: [Redacted]
Daytime Phone: [Redacted]
Evening Phone: [Redacted]
Cell Phone: [Redacted]
Current Occupation: Homemaker
Employer: N/A
Applicants must be at least 14 years of age to serve on the board and 18 to serve as an officer of the Board.
If you are between 14 and 17 please check here □
If you are 18 years of age or older, please check [x] here
**Position Preference**
- [x] President
- [ ] Vice President
- [x] Director
- [x] Youth
If not elected for preferred office, do you want to be considered for another position [x]
What skills would you bring to the Board?
*Have been involved in the sport of bowling for over 30 years. Have held every league office. My experience with being board President of the Fort Wayne WBA for the past 9 years has allotted me the skills it takes to run and maintain, in an orderly fashion, the new association board. I have worked exceptionally well with our present Association Manager. With this experience I feel I am qualified to get our new merged association off to a great start.*
**Background and References**
Please describe your past or current experience or participation with the sport of bowling: (current or past board member, league bowler, league officer, work experience in bowling center, youth coach, tournament bowler, etc.)
| Inclusive Dates | Positions |
|-----------------|-----------|
| 2009 to Present | FWWBA board President |
| 2000 to Present | Ft. Wayne WBA board member |
| 2008 to 2017 | State Head Teller at Indiana State WBA annual meeting |
| 2006 & 2007 | State Teller at Indiana State WBA annual meeting |
| 2003 to 2017 | Indiana State Delegate |
| 2006 to 2017 | Indiana State Workshop Delegate |
| 1991 to Present | Secretary Thursday AM Doubles league |
| 1992 to Present | Secretary/Treasurer Tuesday Coffee Cups League |
| 2000 to Present | Secretary of 2 Easter Seals ARC bowling leagues |
| 1994 to 2017 | Indiana State bowling tournament participant |
| 1991 to 2017 | Fort Wayne women’s city tournament participant |
| 2005 | Indiana Special Olympics Area 3 Volunteer of the year award |
| 2004 | Indiana State WBA Certificate of Appreciation award |
| 2000 | Fort Wayne League Officer of the Year award |
| 2017 | Inducted for Meritorious Service into the Ft Wayne WBA Hall of Fame |
| | 3 years Fort Wayne Youth director |
I have worked all local city tournaments and state tournaments when held in Fort Wayne. Over the many years as director and president I have been chairman and part of all committees on our association board. I am at present part of the transition and nominating committees during the merging process of our local associations.
Do You Have?
1. Current membership in USBC? ☒ Yes ☐ No
2. Time to attend monthly Board Meetings and the Annual Meeting? ☒ Yes ☐ No
3. Time to attend committee meetings to which you may be appointed? ☒ Yes ☐ No
4. Time to assist in Association tournament events. ☒ Yes ☐ No
5. Ability to perform all duties and responsibilities of the office in an unbiased manner? ☒ Yes ☐ No
6. Ability to qualify for the “Registered Volunteer Program” (background check)? ☒ Yes ☐ No
7. Ability to present oral or written reports to the Board, if required? ☒ Yes ☐ No
All information in this application is true to the best of my knowledge and belief. I understand that misrepresentation or omission of any kind may result in denial or removal from office.
Signature of Applicant Jane Del. Sanderson Date 1/15/18
BOARD APPLICATION
Please fill out the form below. The Ft Wayne Metro USBC does not discriminate on the basis of age, race, gender, creed, ethnic origin, religion, nationality, or physical disability.
Basic Information (please print)
Name: Doug Gehler
Email Address: [Redacted]
Address: [Redacted]
Daytime Phone: [Redacted]
Evening Phone: [Redacted]
Cell Phone: [Redacted]
Current Occupation: Assoc. Ind. Engr.
Employer: Fort Wayne Metals
Applicants must be at least 14 years of age to serve on the board and 18 to serve as an officer of the Board.
If you are between 14 and 17 please check here [ ]
If you are 18 years of age or older, please check here [X]
Position Preference
[ ] President
[ ] Vice President
[ ] Director
[ ] Youth
If not elected for preferred office, do you want to be considered for another position [X]
What skills would you bring to the Board?
SEE ATTACHMENT
Background and References
Please describe your past or current experience or participation with the sport of bowling: (current or past board member, league bowler, league officer, work experience in bowling center, youth coach, tournament bowler, etc.)
| Inclusive Dates | Positions |
|-----------------|-----------|
| SEE ATTACHMENT | SEE ATTACHMENT |
Do You Have?
1. Current membership in USBC? ☒ Yes ☐ No
2. Time to attend monthly Board Meetings and the Annual Meeting? ☒ Yes ☐ No
3. Time to attend committee meetings to which you may be appointed? ☒ Yes ☐ No
4. Time to assist in Association tournament events. ☒ Yes ☐ No
5. Ability to perform all duties and responsibilities of the office in an unbiased manner? ☒ Yes ☐ No
6. Ability to qualify for the “Registered Volunteer Program” (background check)? ☒ Yes ☐ No
7. Ability to present oral or written reports to the Board, if required? ☒ Yes ☐ No
All information in this application is true to the best of my knowledge and belief. I understand that misrepresentation or omission of any kind may result in denial or removal from office.
Signature of Applicant ___________________________ Date __/__/2018__
What skills would you bring to the board?
- As a board member, we represent our association bowlers. We need to listen to what they communicate, both negative and positive, and make changes accordingly to strengthen and grow our leagues, tournaments and the association. I believe I could be an integral part of the group that addresses the current and future challenges.
Background and References:
Please describe your past or current experience or participation with the sport of bowling: (current or past board member, league bowler, work experience in bowling center, youth coach, tournament bowler, etc.)
Fort Wayne USBC
- 2017 – Present Fort Wayne USBC BA Vice-President
- 2015 – 2017 Fort Wayne USBC BA Director
League Bowler
- 2017 – Present Friday UBL (Georgetown)
- 2015 – 2017 Thursday UBL (Georgetown)
- 2016 - Present Tuesday Night Men’s (Georgetown)
- 2009 – 2016 Friday Busch League (Georgetown)
- 2013 – 2016 President of the League
- 2014 – 2015 Monday Night Sportsman (Crazy Pinz)
- 2014 – 2015 Thursday Limited (Kingpins)
- 2011 – 2014 Tuesday Night Men’s (Georgetown)
- 2012 – 2013 Thursday Limited (Kingpins)
- 2009 – 2013 Lucky Strikers X (Georgetown)
- 2010 – 2011 Thursday Limited (Kingpins)
- 2009 – 2010 Thursday Sportsman
- 2008 – 2009 Guys & Gals X (Georgetown)
- 2008 – 2009 Fred Willett League (Pro Bowl West)
- 2000 – 2006 Tuesday Night Men’s (Georgetown)
- 2004 – 2006 Secretary / Treasurer of the League
- 2005 – 2006 Fred Willett League (Pro Bowl West)
- 2003 – 2004 Fred Willet League (Pro Bowl West)
- ??? (10+ Years) Tuesday Nights (Key Lanes)
- ??? (1 Year) Friday Nights (Eagles – Broadway)
- ??? (2+ years) Friday Nights (Smitty’s Lanes)
- ??? Youth (Hillcrest)
- ??? Youth (Little Turtle)
Youth Coach
- ~2006 – 2010 Saturday Morning’s (Georgetown)
- 2011 – 2015 New Haven High School
Tournament Bowler
- USBC Nationals (10 years)
- Indiana State (9 years)
- Fort Wayne Masters (~13 years)
- Fort Wayne City (~12 years)
- 40 Frame – Toledo, Ohio (10 years)
- Hoinke – Cincinnati, Ohio (8 years)
- Oktoberfest / Funfest (10 years)
Prepared by Doug Geller
FT WAYNE METRO USBC
BOARD APPLICATION
Please fill out the form below. The Ft Wayne Metro USBC does not discriminate on the basis of age, race, gender, creed, ethnic origin, religion, nationality, or physical disability.
Basic Information (please print)
Name: DOUG KEELE Email Address: [redacted]
Address: [redacted]
Daytime Phone: [redacted] Evening Phone: [redacted] Cell Phone: [redacted]
Current Occupation: SUBJECT MATTER EXPERT Employer: GENERAL MOTORS
Applicants must be at least 14 years of age to serve on the board and 18 to serve as an officer of the Board.
If you are between 14 and 17 please check here
If you are 18 years of age or older, please check here XX
Position Preference
X President Vice-President Director Youth
If not elected for preferred office, do you want to be considered for another position? XX
What skills would you bring to the Board?
EXPERIENCE IS WHAT I BRING. FOR OVER THE LAST 15 YEARS I HAVE BEEN SERVING THE BOWLING COMMUNITY ON ALL LEVELS, WITH STINTS ON THE FT WAYNE YOUTH, INDIANA STATE YOUTH AND THE FT WAYNE BOWLING ASSOCIATION BOARDS.
ACCOMPLISHMENTS WHILE SERVING THE FT WAYNE USBC BA
CREATED THE ‘STAR OF TOMORROW SCHOLARSHIP’
CREATED THE SENIOR DOUBLES TOURNAMENT
DEVELOPED THE PROCEDURE FOR THE ‘MONTY SCHMIDT DIRECTOR OF THE YEAR’ AWARD
WROTE THE PROCEDURES FOR:
NOMINATION COMMITTEE, SCHOLARSHIP COMMITTEE, TOURNAMENT COMMITTEE
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|
COOKE AND LEIGH DOCUMENTS
AT
BALLIOL COLLEGE
(MISC235A & MISC235B)
Notes by Robert Cooke
# CONTENTS
| Section | Page |
|------------------------------------------------------------------------|------|
| Introduction | 1 |
| Documents Ordered as Found | 3 |
| Documents Relating to Beckley, Leighs and Cookes | 7 |
| Documents Relating to Property in Devon | 43 |
| Index of Personal Names | 46 |
| Index of Place Names | 87 |
| Index of Beckley Field, Place and Road Names | 103 |
| List of Occupations | 108 |
| Other Documents Owned by Cooke Family | 110 |
| Property Mentioned and Modern Beckley | 113 |
| The Beckley Estate | 113 |
| The Manor of Charlton-upon-Otmoor | 115 |
| The Grove / Grove House | 115 |
| Grove Farm / Nokewood House | 116 |
| The Malthouse / Midsummer Cottage, Alflyn & Meadow Cottage | 116 |
| Joseph Hieat's Messuage / The Old Bakehouse (?) | 118 |
| John Gomm's Messuage / Lindum | 118 |
| Thomas Busby's Messuage / New Ridge | 120 |
| John Payne's Messuage / The Old Bakehouse, Prospect Cottage, Kate Lea's Cottage? | 120 |
| Robert Carr's Messuage / The Old Bakehouse, Prospect Cottage, Kate Lea's Cottage? | 121 |
| Richard Huggin's Messuage | 122 |
| Thomas White's Messuage | 122 |
| Mackness (Macknoys) Yard Land | 122 |
| Ground in Mill Field | 124 |
| The New Inn | 124 |
| Land in Sour Wood Furlong | 124 |
| Thomas Bullford's Garden Plot | 125 |
| Louch Properties | 125 |
| Cassandra Cooke's Enclosure Allocation (Otmoor) | 126 |
| Richard Carr's Enclosure Allocation (Otmoor) | 126 |
| Ralph Butler's Enclosure Allocation (Otmoor) | 126 |
| Thomas Betts' Enclosure Allotment (Otmoor) | 126 |
| Elizabeth Collett's Close | 127 |
| Theophilus Leigh Cooke's Enclosure Allocations (Beckley) | 127 |
| Pedigrees | 128 |
| Cooke | 128 |
| Leigh | 129 |
| Busby | 130 |
| Carr | 130 |
| Foster, Ange and March | 131 |
| Gomm and Payne | 131 |
| Howland and Russell | 132 |
| Izard and Price | 132 |
| Maps | 133 |
| Cassandra Cooke's Right of Way | 133 |
| Beckley Village | 134 |
| Beckley and Otmoor | 135 |
Introduction
Some three years before he died my father asked Mallam's to auction some documents, which, as he told me, were 'nothing to do with the family'. At the time, and to my subsequent regret, I took little notice of this. After his death, in June 1999, I removed from his house in Beckley a mass of documents relating to the Cooke and Leigh families and consisting of wills, letters, ordination certificates, indentures, genealogies and other matter, but did nothing with them until the spring of 2001, when I began researching family history. As part of that research I e-mailed Dr. Jones asking for permission to view Balliol's collection of Theophilus Leigh's letters. He replied within the hour to say that he had recently acquired a collection of documents which he had noticed at a Mallam's auction. It quickly became clear that these were the documents my father had sold and that they were very relevant both to my family's history and to the history of Beckley.
In August of that year Dr. Jones very generously lent me the use of his room for a couple of weeks to go through these documents. Having had no experience of this sort of work I did not always find them easy to read nor their legal language easy to understand: it is a pity that I did not have at the beginning of the exercise even the modest facility I had acquired by the end. However, I muddled through and I think I extracted the essence from most of them.
The documents fall into two main groups. The smaller consists of leases on property around Exeter, with frequent references to the Ham family and the Lords Petre of Writtle. A member of the Ham family, Sarah Wyatt, a widow, married my ancestor, Rev George Cooke of Sidmouth, in 1749, a year after the death of his first wife, bringing with her some of the property mentioned in these documents. When George Cooke died, in 1795, the property passed to his only surviving child, Samuel Cooke, vicar of Great Bookham. These documents presumably accompanied the property.
The second group of documents relates mostly to property in the village of Beckley and its many owners. In the seventeenth century the owner was one John Izard, aka Shillingford. He seems to have got into financial difficulties and a complicated series of mortgages, leases, assignments and a few court judgements, see it pass eventually to the Duke of Bedford. Finally, in 1710, the property was purchased by Edward Bee, a painter-stainer of London, originally from Wendlebury. Edward Bee had only one child, Anne, and she married Theophilus Leigh, the Master of Balliol, in 1728. Edward Bee and Theophilus Leigh also seem to have had financial problems and in the middle decades of the century there is another complicated series of mortgages and assignments involving several members of the extensive Leigh family. In 1762 the property passed, under trust, to Theophilus Leigh's elder daughter Mary and her husband and cousin Thomas Leigh, the rector of Adlestrop. Thomas outlived his wife and, having no children, he bequeathed the Beckley property to Theophilus Leigh's younger daughter, Cassandra, who was married to Samuel Cooke of Great Bookham. Thus, in 1813 or shortly after, the two groups of documents were united. Thereafter, the Beckley documents continued to be augmented by further leasing agreements, by purchases, and by allocations of the enclosure commissioners.
There are traces of a third group of documents, which I have not separated from the Beckley ones, relating to property near Adlestrop, Gloucestershire (Broadwell, Longborough etc.). There are one or two of these at Balliol (1717) and a couple more in my possession (1604, 169x). I also have a description of eight such documents made by an archivist in 1970, most of which now seem to be missing (possibly they were among the few sold before Dr. Jones acquired the collection). These presumably date back to Theophilus Leigh of Adlestrop (father of the Master of Balliol) and his father and grandfather.
Cassandra Cooke moved to The Grove (now Grove House) in Beckley following the death of her husband in 1820. Three generations of Cookes lived there until my great uncle, George Hay Cooke, sold it, along with other Beckley property, in 1925. When he died, in 1926, the Beckley property passed to his younger brother's widow, my grandmother. On her death in 1973 what little remained of it passed to my father. The documents he had already acquired a few years earlier.
In describing and indexing the documents I have identified them by their dates, adding a letter where there is more than one with the same date (thus yyyy-mmm-dd-x). The dates are as they appear: I have not attempted to convert old style to new, though I have converted regnal years to AD where only the former are given. In quoting or paraphrasing the documents I have tended to use their spelling and capitalization and have added punctuation only sparingly; in the indexes I have generally modernized the spelling.
The first section just lists the documents in the order I found them. I was careful to retain this order although the collection would profit by being re-arranged. This is followed by descriptions of the Beckley and Devon documents. These descriptions are based entirely on the notes I took in August 2001: I have not had opportunity to check them against the original documents. There are, I fear, several instances where my notes are unclear or incomplete and I draw attention to some of these. After the descriptions are indexes of the personal and place names; again these are based solely on my notes and so are unlikely to be comprehensive as far as the documents themselves are concerned.
For completeness I include a section on the documents still in my possession since these complement the Balliol ones. A few of these, which are particularly relevant to those at Balliol, I have included in the descriptions. The two collections should be re-united and I plan, eventually, to give mine to Balliol College.
Although my main interest was initially genealogical, I have become increasingly fascinated by what the documents reveal about Beckley and its inhabitants. Following the indexes, therefore, I list the various properties mentioned in the documents and try to relate them to the modern village.
Robert Arthur Cooke
Gillingham, Kent
August 2002
## Documents Ordered as Found
### MISC235A/1
1. 1858-Sep-11: lease of Grove Farm by Mrs Anne Cooke to William Parrott
2. 1918-May-xx: executors' accounts concerning will of Rev George Theophilus Cooke
3. 1907-Oct-xx: executors' account for estate of Caroline Cassandra Cooke
4. 1830-Jul-07: conveyance of land by enclosure commissioner to Theophilus Leigh Cooke
5. 1768-Jun-11: marriage settlement for Rev Samuel Cooke and Cassandra Leigh
6. 1768-Jun-11-a: copy of previous
7. 1815-Oct-23: marriage settlement for Rev George Leigh Cooke & Ann Hay
8. 1779-Sep-23: will of Cassandra Wight
9. 1747-Nov-02: mortgage of Rectory of Broadwell to Drs Walker and Musgrave with note
10. 1762-Oct-07: indemnity by Dr Theophilus Leigh to Sir Edward Turner re Beckley estate
11. 1815-Oct-23-a: copy of (7) with later notes
### MISC235A/2
1. 1765-May-01: lease of property at Beckley by Rev Thomas Leigh to Christopher Lipscombe
2. 1761-Jun-24: lease of property at Beckley by Edward Bee to Robert Carr
3. 1803-May-04: lease of property at Beckley by Rev Thomas Leigh to Thomas Busby
4. 1769-Feb-11: lease of property at Beckley by Rev Thomas Leigh to John Payne
5. 1692-Jun-06: lease of property at Beckley by John Izard to Thomas Izard
6. 1743-May-24: assignment of property at Beckley by William Price to Elizabeth Price
7. 1723-Nov-14: lease of land in Beckley by Edward Bee to Edward White
8. 1717-May-17: lease of property in Beckley by Edward Bee to William Miles
9. 1756-Jan-31: lease of property in Beckley by Edward Bee to Richard Busby
10. 1764-Oct-08: lease on property in Beckley by Thomas Leigh to Thomas Busby & W Lamball
11. 1761-Dec-16: lease of property in Beckley by Edward Bee to William Ledwell
12. 1763-Apr-16: lease of property in Beckley by Rev Thomas Leigh to John Carr
13. 1766-Sep-16: lease of property in Beckley by Rev Thomas Leigh to William Ledwell
14. 1756-Jan-31: lease on property in Beckley by Edward Bee to Richard Busby
15. 1722-Sep-01: lease of property in Beckley by Edward Bee to Thomas Bullford
16. 1778-Aug-13: lease of land on Turnpike Rd, Beckley, by Thomas Leigh to James Lamball
17. 1775-Jul-20: lease of land in Beckley by Rev Thomas Leigh to John Carter
18. 1800-Dec-26: lease of land in Beckley by Rev Thomas Leigh to Thomas Jessop
19. 1759-Jun-14: assignment of Manor of Beckley to Mary Waldo and other matters
20. 1736-May-20: assignment of lease on garden in Beckley by Thomas Bullford to Matthew Wyatt
21. 1732-Jul-22: lease on land in Beckley by Edward Bee to Robert Carr
22. 1670-Jun-01: assignment of moiety of Beckley by John Izard to Francis Hall
23. 1761-Apr-04: lease of messuage in Beckley by Edward Bee to John Gomm
24. 1761-Apr-04-a: copy of previous with note attached re new lease to John Gomm
25. 1762-Oct-16: lease of messuage in Beckley by Edward Bee to John Gomm with note
26. 1725-Dec-02: lease of property in Beckley by Edward Bee to Thomas Busby
27. 1766-Sep-16: lease of land in Beckley by Thomas Leigh to William Ledwell (2nd indenture on back)
28. 1761-Jun-24: lease on messuage in Beckley by Edward Bee to Robert Carr + note
29. 1683-Aug-15: assignment of moiety of Manor of Beckley to Elizabeth Howland
30. 1695-May-21: assignment of moiety of Manor of Beckley to trustees of Elizabeth Howland junior
31. 1769-Feb-11: lease of messuage in Beckley by Rev Thomas Leigh to John Payne senior
32. 1814-Apr-30: assignment of leasehold property in Beckley by Jonathan Cooper
33. 1724-Feb-20: lease of land in Beckley by Edward Bee to Robert Carr
34. 1813-Jun-27: mortgage of property in Beckley by Jonathan Cooper to Stephen Davis
35. 1757-Apr-11: assignment of judgment against Theophilus Leigh to W. Walker & J. Musgrave
36. 1785-Feb-14: lease of property at Beckley by Elizabeth Price to Robert Ashfield
37. 1724-Sep-02: lease of land at Beckley by Edward Bee to John Gomm
38. 1723-Oct-24: lease of messuage and garden at Beckley by Edward Bee to Thomas White
39. 1676-xxx-xx: lease of moiety of Manor of Beckley
40. 1683-Aug-15-a: judgements against John Izard assigned to trustee of John Foster
41. 1684-Aug-09: lease of cottage at Beckley by John Izard to Thomas Izard
42. 1720-Nov-10: lease of messuage at Beckley by Edward Bee to Richard Huggins
43. 1720-Nov-10-a: counterpart of previous
44. 1740-Sep-13: lease of messuage in Beckley by Edward Bee to Joseph Hieat
45. 1741-Feb-24: indenture concerning property at Beckley once leased to Joseph Hieat
46. 1775-Mar-23: re-assignment of lease on Beckley messuage from George Sanders to John Carter
47. 1690-Jan-10: assignment of Beckley estate to Richard March
48. 1809-xxx-xx: lease of property in Beckley by Rev Thomas Leigh to Rev Samuel Cooke
49. 1778-Aug-13: lease of land in Beckley by Rev Thomas Leigh to James Lamball
50. 1683-Aug-15-b: assignment of moiety of Manor of Beckley from Gregory Geering to John Foster
51. 1666-May-18: assignment of manor of Charlton-upon-Otmoor from John Izard to Francis Hall
52. 1710-Apr-26: assignment of moiety of Manor of Beckley by Duke of Bedford to Edward Bee
53. 1710-Apr-26-a: assignment of moiety of Manor of Beckley by Duke of Bedford to Edward Bee
54. 1817-Nov-03: assignment of Manor of Beckley to William Oddie in trust for Cassandra Cooke
55. 1729-Sep-01: assignment of judgement against John Izard by Edward Bee to Francis Seeley
56. 1708-Jan-08: sale by John Ange of interest in Beckley estate
57. 1670-Jun-01-a: assignment of moiety of Manor of Beckley by John Izard to Francis Hall
58. 1746-Feb-14: mortgage of Beckley estate by Edward Bee to Lewis Pryse
59. 1746-Feb-13: part of indenture between Edward Bee and Lewis Pryse concerning Beckley
60. 1683-Aug-15-c: assignment of moiety of the Manor of Beckley by Francis Hall to John Foster
61. 1683-Aug-15-d: indenture between John Foster, Richard March and Francis Hall re Beckley
62. 1816-Jun-25: assignment of Manor of Beckley by Cassandra Cooke to William Oddie in trust
63. 1674-Jul-25: decree concerning Lord Hatton and John Izard
64. 1710-xxx-xx: one skin of multi-skin document mentioning Duke of Bedford and Edward Bee
65. 1690-Jun-19: a page of Latin
66. 1702-Sep-07: assignment of Manor of Beckley to Philip Pledger in trust for John Ange
67. 1763-Apr-16: lease of ground in Beckley by Rev Thomas Leigh to John Carr
68. 1838-Sep-29: assignment of land in Beckley by Elizabeth Collett et al to T. L. Cooke
**MISC235A/3**
The following are all Devon documents.
1. 1732-Oct-16: indenture between Sir Robert Abdy and Thomas Clifton re property in Shute
2. 1727-Mar-24: indenture between Hannah Smith, Richard Gillett and others
3. 1710-Mar-20: lease of property in Branscombe by Robert Lord Petre to Joseph Ham
4. 1622-xxx-xx: indenture between Joseph Ham of Branscombe and others
5. 1722-Mar-15: indenture between William Hoar and Joseph Ham re sale of property in Shute
6. 1679-Oct-04: lease of property by William Lord Petre to Joseph Ham of Branscombe
7. 1717-Mar-10: indenture between Nicholas & George Broughton of Shute and William Hallet
8. 1718-Dec-08: indenture between John Gillett and John Haynes re property in Shute
9. 1738-Mar-24: indenture between Ham family members and others re property in Shute
10. 1722-Mar-15: indenture between William Hoar and Joseph Ham re property in Shute
11. 1664-Oct-15: lease of property in Shute by William Lord Petre to John Ham
12. 1753-Jan-19: lease of Manor of Shute by Robert Edward Lord Petre to George Cooke
13. 1714-Jan-29: indenture between William Hoar, William Downing and Francis Smith re lease
14. 1718-May-14: lease of land in Shute by William Hallett to John Gillett
15. 1738-Mar-24: release of cottage in Shute by Joseph Ham to Sarah Wyatt
16. 1738-Mar-23: lease of cottage in Shute by Joseph Ham to Sarah Wyatt
17. 1710-Mar-20: copy of (3)
18. 1723-Jun-20: indenture between John Gillett and John Bond re lease on property in Shute
**MISC235A/4**
1. 1668-Jun-08: mortgage of Manor of Charlton-upon-Otmoor by John Izard to Mary Hatton
2. 1675-Sep-23: indenture between Christopher Hatton et al re property in Beckley & elsewhere
3. 1680-Jan-18: assignment of Manors of Charlton and Beckley by Christopher Hatton et al
**MISC235A/5**
1. 1685-Sep-15: Latin document "found amongst Dr Leigh's papers"
2. 1785-Feb-02: will of Rev William Price
3. 1794-May-05: mortgage of Rectory of Little Ilford by Rev Hugh Price to Charles Harris
4. 1717-Jan-17: assignment of property at Broadwell
5. 1758-Aug-17: partnership agreement between John Corn and Michael Cooke
**MISC235B**
1. undated-01: pedigree of Cookes of Goring & Hearne
2. 1816-Jun-24: assignment of Manor of Beckley by Cassandra Austen to Henry Jenkins on trust
3. 1772-Mar-02: marriage settlement for Samuel Cooke and Cassandra Leigh
4. 1762-Sep-22: deed poll assigning £800 from Theophilus Leigh to each of his daughters
5. 1762-Oct-07: settlement of money on Cassandra Leigh by Theophilus Leigh et al
6. 1804-Sep-29: lease of farmland in Devon (Wyatts) by Samuel Cooke to Thomas Weekes
7. 1834-Jan-31: release of Theophilus Leigh Cooke from trusteeship of Janetta Cooke's trust
8. 1801-Mar-28: assignment of messuage at Beckley from William Tipping et al to John Louch
9. 1802-May-12: assignment of property at Beckley from Robert Ashfield to John Mackanness
10. 1859-May-25: conveyance of land on Otmoor from Ann Cooke to George Theophilus Cooke
11. 1775-Jul-20: lease of premises at Beckley by Rev Thomas Leigh to John Carter
12. 1809-Apr-06: lease of ground at Beckley by Rev Thomas Leigh to Rev Samuel Cooke
13. 1686-Aug-10: mortgage by Francis Hall to John Foster
14. 1749-Mar-01: year lease on Manor of Beckley by Lewis Pryse and Edward Bee to Mary Waldo
15. 1817-Nov-03-a: assignment of property to William Oddie in trust (copy of MISC235A/2-54)
16. 1751-Dec-04: lease of two tenements in Devon by Sir Edward Smyth et al to George Cooke
17. 1732-Feb-01: assignment of lease on messuage in Beckley from T. Symonds to W. Middleton
18. 1857-Feb-19: appointment of Enclosure Commissioners
19. 1821-Mar-02: grant of right of way across Otmoor by Earl of Abingdon to Cassandra Cooke
20. 1832-Mar-25: assignment of cottages at Beckley by William Louch to Theophilus Leigh Cooke
21. 1822-Jul-22: feoffment of piece of land in Beckley from Richard Carr to T. L. Cooke
22. 1819-Jun-07: mortgage of messuage in Beckley by Samuel Cooke to Richard Smith
23. 1805-Jul-31: further loan by Stephen Davis to Jonathan Cooper on security of land at Beckley
24. 1810-Mar-23: assignment of messuage in Beckley by John Payne to Joseph Paine
25. 1831-Nov-06: release by Francis Edward Seymour et al of T. L. Cooke from a trusteeship
26. 1806-Sep-02: year lease on messuage in Beckley by John Mackaness to Samuel Cooke
27. 1760-Sep-15: lease of ground at Beckley by Edward Bee to William Ledwell
28. 1753-Jan-19: lease of tenement in Shute by Sir Edward Smyth to George Cooke
29. 1809-Jul-01: assignment of field in Great Barford by Samuel Cooke to George Leigh Cooke
30. 1805-Mar-02: assignment of messuage in Beckley by James Lay to John Louch
31. 1844-Aug-01: transfer of mortgage from Theophilus Leigh Cooke to Caroline Cassandra Cooke
32. 1841-Mar-19: mortgage of Great Rissington rectory by G. L. Cooke to Queen Ann's Bounty
33. 1749-Dec-23: lease of messuage in Beckley by Edward Bee to Robert Carr
34. 1731-Nov-13: lease of messuage in Beckley by Edward Bee to John Gomm
35. 1836-Jan-30: release re share in trust fund by Eleanor Goodwin to Theophilus Leigh Cooke
36. 1816-Jun-25-a: assignment of Manor of Beckley to William Oddie (copy of MISC235A/2-62)
37. 1738-Oct-13: lease of property in Beckley by Edward Bee to John Gomm
38. 1738-Oct-13-a: counterpart of previous
39. 1848-Aug-15: grant of piece of land in Stowood by commissioners of forests to G. L. Cooke
40. 1807-Oct-06: deed of covenant between Catherine Bailey and Hugh Bailey of Great Bookham
41. 1782-May-24: assignment of lease on messuage in Beckley by John Carter to Thomas Betts
42. 1800-Feb-05: assignment of lease on messuage in Beckley by Daniel Shilfox to James Lay
43. 1749-Dec-21: assignment of lease on messuage in Beckley by Thomas Huggins to Robert Carr
44. 1865-Feb-08: conveyance of land on Otmoor from Martha & Amy Butler to Anne Cooke
45. 1803-May-04-a: lease of cottage in Beckley to Thomas Busby (copy of MISC235A/2-3)
46. 1761-Dec-16-a: lease of ground in Beckley to William Ledwell (copy of MISC235A/2-11)
47. 1804-Aug-11: mortgage of property at Beckley by Charles Moore et al to Stephen Davis
48. 1758-Jan-21: lease of messuage in Beckley by Edward Bee to Thomas Busby et al
49. 1805-Apr-02: lease of messuage in Beckley by Thomas Leigh to John Payne Jun
50. 1854-Apr-27: mortgage of a farm in Winnick by Rev Samuel Hay Cooke to James Champion
51. 1812-Jun-27: further loan by Stephen Davis to J. Cooper on security of property in Beckley
52. 1846-Jul-30: lease of tenement (Wyatts) in Salcombe by George Leigh Cooke to George White
53. 1806-Sep-03: assignment of properties in Beckley by John Mackaness et al to Samuel Cooke
54. 1749-Mar-02: assignment of Beckley estate by Lewis Pryse & Edward Bee to Mary Waldo
55. 1780-Jan-26: lease of tenement in Beckley by Thomas Leigh to Sarah Lipscomb
56. 1723-Sep-28: indenture between John Haynes et al of Devon re payment of debt
57. 1761-May-09: termination of partnership between Michael Cooke and John Corne
Documents Relating to Beckley, Leighs and Cookes
Headings in italics indicate that the original document is missing but is recited in one or more later documents. Since I have not converted old style dates to new, some of the dates pre-1753 might seem to be out of sequence. I have included here descriptions of a few documents in my possession (RAC).
**1591-Aug-27**
Indenture made in the 34th year of Queen Elizabeth between (i) John Croke, homager of Studley, Esquier, (ii) Edmond Shellingford, also Izard, gent, son and heir of Alice Shellingford, widow, and William Shellingford, also Izard and (iii) Thomas Hore, gent, and Rowland Milton, yeoman.
A marriage is intended between ES and Gresswell Mewdigatt, the near kinswoman of John Croke. Edmond and Alice are to receive £300 as GM's marriage portion, of which eight score pounds have already been paid and the remaining seven score will be paid immediately before the marriage. Within forty days of the marriage ES undertakes to assign to Thomas Hore and Rowland Milton the Rectory and Parsonage of Beckley and all his lands in Beckley, which came to him by inheritance from his father (with the exception of one close or pasture called Raffes Close, seven and a half acres of meadow or pasture in Stanton St John, one yard of land called Macknoys, and three acres of land in Beckley, all these having been assigned by WS to his younger son, Jozias Shellingford). These premises are to be held for the use of ES during his life, then to GM for her life, and finally to ES's heirs.
Signed and sealed by Jo: Croke minor, and Edmund Shillingford. Names of five witnesses are difficult to read.
(RAC)
**1666-May-18**
On back: "Izards security to Hall at Hall's surrender".
Indenture between John Shillingford, alias Izard, of Beckley and Francis Hall of Noke, Oxon. For £1400 John Shillingford grants the manor of Charlton-upon-Otmoor, Moyety of Manor & Rectory of Beckley.
(MISC235A/2)
**1666-Hilary**
In Hilvery term [January-Easter] of 18 & 19 Charles II Francis Hall obtained a judgement at the King's Bench against John Shillingford (also Izard) for £400 debt & 60 shillings damages which FH sustained by reason of the detaining of said debt.
(mentioned in 1690-Jan-10)
**1667-Trinity**
In Trinity Term [after Easter] Francis Hall obtained a judgement at the King's Bench for £400 against John Shillingford (also Izard).
(mentioned in 1683-Aug-15-a/d)
**1668-Jun-08**
On back: "Izard Mortgage to Hatton", "8 Jun 1668", "Manor of Charlton upon Otmoor Moiety of the Manor & of the Rectory of Beckley" (later hand).
Indenture between: (i) John Shillingford, also Izard, of Beckley, and (ii) Dame Mary Hatton, widow and relict of Sr Thomas Hatton of Long Stanton Cambridge, John Fontayne Esq, Sergeant att Law, Henry Wynne of the Inner Temple, Esq, & Sir John Coell of Lincoln's Inn, executor of Sir Thomas Hatton.
For £1500 John Shillingford assigns the Manor of Charlton-upon-Otmoor, Stowood Forest, Noke & Odington and the moiety manor of Beckley.
(MISC235A/4)
1670-Trinity
In Trinity Term Francis Hall obtained a further judgement at the King's Bench for £3000 against John Shillingford (also Izard).
1670-Jun-01
Indenture between John Izard of Beckley, Esq., and Francis Hall of Hadnock, Monmouth, Esq. Witnesses that, for £1200, JI 'doth Grant Bargain Sell Betake unto farme' the Moyety or Halfe of the Manor & Rectory or Parsonage of Beckley, now in the possession of Dorothy Izard, mother of JI, for 200 years from the death of Dorothy Izard, at a yearly rent of twelve pence. Detailed list of what is transferred includes 'Mansion or dwelling house' of the Rectory.
(MISC235A/2; photocopy with RAC)
1670-Jun-01-a
Copy of previous.
(MISC235A/2)
1673-Jul-25
On back: "No 10 – July 25 Ch\textsuperscript{5} 2\textsuperscript{d} [1673] The Decree L\textsuperscript{d} Hatton – Izard". Concerns John Shillingford also Izard. Not an indenture but very difficult to read.
(MISC235A/2)
1675-Sep-23
Indenture between: (i) Sir John Coell of Lincoln's Inn; (ii) Christopher Hatton of the Middle Temple, John Davis, Mary his wife, Richard Orlobar, and Jane his wife. Concerns leasing of property in Suffolk, Carnarvon and Northampton. Mentions land in Charlton-upon-Otmoor in the Moyety of the Manor and of the Rectory of Beckley leased to John Shillingford or Izard of Beckley who has paid to the parties ? pounds.
(In poor condition and difficult to read, especially part concerning Beckley.)
(MISC235A/4)
1676-Jan-25
Indenture between Sir Francis Hall and William Humble. For £450 FH assigns premises to WH for the residue of 200 years 'under proviso for making void the same on payment of money therein expressed'.
(recited in 1682-Jun-22, which was recited in 1710-Apr-26-a)
(MISC235A/2)
1676-xxx-xx
Indenture of lease mentioning Moiety or half part of Manor of Beckley.
(Document very faded and difficult to read – perhaps same as document 1676-Jan-25 mentioned in 1710-Apr-26-a.)
1677-Feb-08 &
1677-Feb-09
Indentures of lease and release. Francis Hall leases Rectory or parsonage of Dixon in Monmouthshire to William Humble for £600 under proviso.
(Recited in 1682-Jun-22, which was recited in 1710-Apr-26-a)
1680-Jan-18
On back: "from Hatton", "Assigning of the Manors of Charlton & Beckley". Tripartite indenture between: (i) Christopher Hatton of Thripton, Cambridgeshire, Esquire, John Davis of Goldington, Bedfordshire, Mary his wife, Richard Orlobar of Harrold, Bedfordshire, Esquire, and Jane his wife; (ii) William Boteler of Biddenham, Bedfordshire, Esquire, Thomas Buck of Westwick, Cambridgeshire, Esquire, executor of the will of Dame Mary Hatton of Long Stanton, Cambridgeshire, widow of Thomas Hatton, knight and baronet; (iii) Gregory Geering of Denthworth, Bedfordshire.
Mentions indenture of 8/June/1668 between (i) John Shillingford alias Izard of Beckley, Oxon, Gent. and (ii) Dame Mary Hatton, John Fontayne Esq, Sergeant at Law, Henry Wynne of the Inner Temple, London, Esq, and Sir John Coell of Lincoln's Inn, executor of will of Sir Thomas Hatton, whereby John Shillingford in consideration of the sum of £1500 paid to him did grant bargain sell and
demise all the Manor of Charlton-upon-Otmoor, Stowood Forest, Noke and Odington & the moiety of the manor of Beckley. (So far as I can make out JS mortgaged the property and then defaulted and Hatton etc. foreclosed. The rest of the indenture is concerned with contracts between the parties.)
(MISC235A/4)
1682-Jun-22
Indenture between: (i) Sir William Humble of Stratford Laughton, Essex, Baronett; (ii) Francis Hall of Hadnock, Monmouth, Esq, (iii) John Howland. Recites 1670-Jun-01, 1676-Jan-25, 1677-Feb-08, 1677-Feb-08/09.
(Recited in 1710-Apr-26-a)
1683-Aug-15
Recited Indenture tripartite between Gregory Geering, Francis Hall and John Foster the elder. Mentions: Moiety or half part of the Manor of Beckley and Rectory or Parsonage of Beckley in possession of Dorothy Izard; Duke of Bedford and Elizabeth Duchess of Bedford; a judgment against John Shillingford alias Izard; Elizabeth Howland; Richard March. The moiety of Beckley seems to go to Elizabeth Howland.
(MISC235A/2)
(This document is in a bad condition, splattered with whitewash, and difficult to read. It clearly goes with document 1695-May-21, which was found next to it.)
Note: Elizabeth Howland was daughter and heiress of John Howland of Streatham; in 1695 she married Wriothesley Russell, later 2nd Duke of Bedford, grandson of 1st Duke (Burke).
1683-Aug-15-a
Indenture between Francis Hall of Hadnott, Monmouthshire, Esq, John Foster of London, Esq, and Richard March of London, Merchant. Mentions judgment obtained in Trinity Term of 19 Charles II [1667] at the King's Bench by Francis Hall against John Shillingford, also Izard, Gent, for £400 besides costs. Mentions that in Trinity Term of 22 Charles II [1670] Francis Hall obtained another judgement for £3000 besides costs. For £1500 paid by John Foster these judgments now assigned to Richard March in Trust for John Foster.
(MISC235A/2)
1683-Aug-15-b
On back: "Mr. Gregory Geering to John Foster, Esq. Assignment of the Moyety of the Manor and Rectory of Beckley".
Dated 35 Charles II and 15/Aug/1683. Indenture between Gregory Geering, Francis Hall and John Foster.
Mentions indenture of 8/June/1668 between (i) John Shillingford, also Izard, and (ii) Dame Mary Hatton, John Fountayne Esq, Sergeant at Law, Henry Wynn Esq and S' John [?], executor of Sir Thomas Hatton, whereby John Shillingford for £1500 did grant Bargain sell & demise to Mary Hatton, John Fountayne and Henry Wynn all the manor of Charlton-upon-Otmoor, the moiety of the Manor of Beckley.
(MISC235A/2)
1683-Aug-15-c
On back: "Francis Hall Esq to John Foster Esq. Assignment of the Moyety of the Manor & Rectory of Beckley."
Indenture between Francis Hall of Hadnock, Monmouth, Esq, and John Foster of London, Esq. Mentions indenture of 1/June/1670 in which John Izard of Beckley assigned the Moyety or half part of the Manor and Rectory or Parsonage of Beckley, then in the possession of his mother Dorothy Izard, to Francis Hall for 200 years on payment of £1200 and a yearly rent of £12.
"Now this Indenture witnesses that for £1050 paid by John Foster to Gregory Geering of Doncaster in the County of Berks Gent at the Request of the said Francis Hall in & by indentures Tripartite bearing date with these presents made between the said Gregory Geering of first part Francis Hall of second part & John Foster of third part purporting an assignment from Gregory Geering to John Foster of one other Moyety of the Mannor Rectory and premises herein mentioned the Receipt & payment
thereof Francis Hall acknowledges And also for £450 more to this said Francis Hall in hand paid by John Foster the receipt of which Francis Hall acknowledges Francis Hall assigns to John Foster the moiety of Beckley etc to have & to hold during the rest & residue now to come of 200 years Further Francis Hall now hath right to grant or bargain sell transfer to John Foster the moiety ......"
(MISC235A/2)
1683-Aug-15-d
On back: "John Foster Esq & Mr Richard March to Francis Hall Esq", "Counterpart of D.... For payment of £45 16/Feb/1683 & of £1545 16/Aug/1684".
Indenture between John Foster of London, Esq, Richard March of London, Merchant, and Francis Hall of Hadnock, Monmouth.
Mentions indenture bearing date with these presents between Gregory Geering, Francis Hall and John Foster, whereby, in consideration of £1050 now paid by John Foster, John Foster receives Moyety of Beckley for the residue of the one thousand years in the same indenture mentioned.
Mentions another indenture of same date between Francis Hall & John Foster which, for £1050 & £450 paid by John Foster to Francis Hall, grants to John Foster that other Moyety of the Manor of Beckley for the residue of 200 years.
Mentions indenture of same date between Francis Hall, John Foster & Richard March, whereby Francis Hall transfers to Richard March, in trust for John Foster, a judgment for £400 besides costs obtained by Francis Hall against John Shillingford, also Izard, in the Court of Kings Bench in the Trinity Term of 19 Charles II [1667] and a further judgment against John Shillingford in the same court for £3000 besides costs in Trinity Term of 22 Charles II [1670].
It is agreed that the sums of £1050 & £450 with interest should be secured to John Foster out of the Moyety of the Manor Rectory and other premises assigned to him and Richard March. (MISC235A/2)
1684-Aug-09
Indenture between John Izard of Beckley and Thomas Izard of St. Margaretts in Hartfordshire, gent (his brother). JI leases TI a cottage or tenement in Beckley, with Barn, Stable, Orchard and 4 acres of arable land, for £43.
(MISC235A/2)
Note: see recital in 1802-May-12 which describes the arable land as 'lying dispersed in the common fields of Beckley [...] to be part of a Yard Land called Mackness Yard Land & to have been in the occupation of Drucilla Meader for 1000 years'.
1685-Sep-15
Latin document on parchment (37th year of reign of Charles II?). Notes on back: "Found amongst Dr. Leigh's papers", "An ? at the request of William [Ch]adwell Esquire." (MISC235A/5)
1686-Aug-10
On back: "Francis Hall Esq to John Foster Esq", "Mortgage for £200 and interest". (MISC235B)
1687-Apr-08
Will of John Foster, proved 20/Feb/1690, in Oxford. Leaves to Mrs Sarah Foster (mother) 20 shillings to buy a ring; to Charles Foster (brother) 10 shillings to buy a ring; to Mary Foster (sister) rest of personal estate; to Sarah March (sister) after his mother's death the reversion of two houses in the Strand, near St Clement Danes church, left him by his father. Executrix: Mary Foster; witnesses: Giles Baggs, Deborah Baggs, Richard March. (RAC)
1690-Jun-19
One skin of Latin. On back: "19 Jun 2 W&M 1690 Mr Ange [?]". (MISC235A/2)
1690-Jan-10
Indenture between Francis Hall of Whit----, Glos, Esq, and Sir Richard March of London, Merchant. Mentions that in the Hillery term of 18 and 19 Charles II at the Kings Bench Francis Hall Beckley, Leigh and Documents
obtained a judgment against John Shillingford, alias Izard, for the sum of £400 debt and sixty shillings damages which he sustained by reason of detaining of the said debt and that he has since successfully sued at Oxford against possession. Property assigned to Richard March.
(MISC235A/2)
1692-Jun-06
Indenture by which John Izard of Beckley grants 999-year lease on property in Beckley known as Millfor[th?] to Thomas Izard of Beckley. Witnessed by Elizabeth Greenaway and Sarah Izard.
(MISC235A/2)
Note: see description of 1785-Feb-14 which, in reciting this indenture, gives the name as Millfield and identifies it as lying along West side of land called Fininers Lane running up the Mill-yard gates; it also mentions Macknoys Yard.
Note: see also 1802-May-12 which, in reciting this indenture, describes property as 'all his sydling or parcel of Yelding Ground in the Common Field of Beckley known as Mill Field along west side of Lane called Tininey Lane winning up the Mill Yard Gates'.
Note: could this be Tinniver's? Tinniver was a local saint: there is meant to have been a Tinniver's spring in Beckley.
1692-Jun-15
Will of Thomas Izard. Bequeaths leasehold property in Beckley to his daughter, Elizabeth Price.
(mentioned in 1743-May-24)
1695-May-21
Tripartite Indenture between: (i) (a) Sir Josias Child of Wanstead, Essex, (b) Elizabeth Howland the elder, widow, daughter of Josias Child & relict & administrator of John Howland late of Streatham, Surrey, Esquire, (c) Elizabeth Howland the younger, daughter and heir of Elizabeth Howland the elder and John Howland; (ii) (a) Sir Thomas Willoughby of Wolaton, Notts, (b) John Hoskins of Hales Hall, Norfolk, Esquire; (iii) (a) William, Duke of Bedford, (b) Lady Rachel Russell, daughter and coheir of Thomas, late Earl of Southampton, & relict of William, late Lord Russell, deceased, (c) Wriothesley Russell, commonly called Marquis of Tavistock, heir apparent of Duke of Bedford and son of Lady Rachel Russell.
"Whereas a marriage is intended between Wriothesley Russell and Elizabeth Howland the younger And whereas by indenture dated 1/June/1671 [should be 1670? – see document of that date] between John Izard of Beckley Esquire and Francis Hall of Hednock Monmouth Esquire John Izard did bargain sell betake and to farm lett to Francis Hall All that one Moiety or one half of the Mannor and Rectory or Parsonage of Beckley in the possession of Dorothy Izard (mother of John Izard) with her part of the Mansion or dwelling house of the same with all other houses ...... immediately from death of Dorothy Izard (since deceased) for two hundred years
"And whereas the said Estate for two hundred years came unto John Howland by way of mortgage for securing the payment of £2000 and later became his absolutely and on his death Elizabeth Howland enabled her father Josias Child to have the management and disposition of it and whereas there is much more money out upon the said mortgaged estate than the said is worth to be sold".
Josias Child and Elizabeth Howland sell the moiety to Sir Thomas Willoughby and John Hoskins for ten shillings to have and to hold for the rest of the term of 200 years. Elizabeth Howland the younger and Wriothesley Russell to have on their marriage the rents and profits of the moiety and after them their then first son.
(MISC235A/2)
Note: 'William, late Lord Russell', son and heir of the Duke of Bedford, was executed in 1683 – Burke.
1702-Sep-07
Indenture between (i) (a) Richard March Senior of Enfield, Middlesex, Merchant, (b) Sarah his wife, one of the daughters and heiress of John Foster, Citizen & Merchant Taylor of London, & Sarah
his wife, and sister and one of the heiresses of John Foster, Gent, (c) Richard March junior, son & heir apparent of said Richard March; (ii) (a) John Ange of Vintners Hall, London, Gent, (b) Mary his wife, the other daughter & heiress of John & Sarah Foster and sister of John Foster Junior, (iii) Philip Pledger, citizen & Cloathworker of London.
Mentions that Sarah Foster was possessed of and interested in a considerable real and personal estate at Beckley (Manor, messuages etc), which she intended to bequeath on several trusts but dyed before the doing thereof, whereby the right title & interest belongs to Sarah March and Mary Ange. John Ange has paid the debts and funeral expenses at the request of Richard March and Sarah his wife and has paid £200 to Richard March towards putting himself and family in mourning.
It is agreed, inter alia, that the Manor of Beckley shall be assigned to Philip Pledger in trust for John Ange & his heirs, who will also administer the estate of Sarah Foster. (MISC235A/2)
1708-Jan-08
Indenture on seven skins between: (i) Wriothesley, Duke of Bedford, and Elizabeth his wife; (ii) Philip Pledger, executor of Sarah Foster (who was executrix of John Foster), Richard March senior, Sarah his wife (eldest daughter of John Foster the elder), John Ange, Mary his wife (other daughter of John Foster the elder and executrix of John Foster the younger, son of aforementioned John Foster); (iii) Elizabeth Howland of Streatham, Surrey, widow, mother of Elizabeth, Duchess of Bedford; (iv) Thomas Holt of Wansted, Essex. Mentions indenture of 8/June/1668. For £875 paid to John Ange with consent and direction of Richard March, Sarah his wife and Philip Pledger, the latter renounces rights to Beckley property. (MISC235A/2)
1710-Apr-26
On back: "Duke of Bedford to Mr. Edward Bee. Assignment of Manor & Rectory of Beckley."
Indenture between: (i) Most Noble Wriothesly, Duke and Earl of Bedford etc., Elizabeth, Duchess of Bedford, Elizabeth Howland of Streatham, widow, mother of said Duchess; (ii) Thomas Holt of Wanstead, Essex; (iii) Edward Bee, Citizen and Painter Steyner of London; (iv) Triamor Baldwin of Parish of St. Martins in the Field, Middlesex, Gent.
Mentions indenture of 8/Jan/1708 between: (i) Duke of Bedford and Elizabeth his wife, (ii) Philip Pledger, Citizen and Cloathworker of London, administrator of Sarah Foster, widow, late of St. Martin's in the Field, who was executrix of John Foster the elder, late of London, Esq., Richard March senior of Enfield, Middlesex, & his wife, the eldest daughter of John Foster, and John Ch---- of Vintners Hall in Lodon & Mary his wife, the other daughter [unreadable] & executrix of John Foster the younger; (iii) Elizabeth Howland, widow; (iv) Thomas Holt.
That indenture, in turn, recited indenture of 8/June/1668 between John Shillingford alias Izard of Beckley, Dame Mary Hatton, John Fountain, Esquire, sergeant at Law, Henry Wynn Esq. and Sir John Coell, executor of Sir Thomas Hatton, whereby John Shillingford for £1500 did grant sell & demise the Moyety of the Manor and of the Rectory of Beckley [document difficult to read].
Mentions Dorothy Izard and term of 200 years. (MISC235A/2)
1710-Apr-26-a
On back: "An assignment of a Moyety of the Manor Rectory and Parsonage of Beckley by his Grace the Duke and Duchess of Bedford Sr Thomas Willoughby & others to Mr Edward Bee".
Indenture between: (i) Wriothesley, Duke of Bedford etc., and Elizabeth, Duchess of Bedford (daughter & heir of John Howland of Streatham, Surrey, Esq, deceased); (ii) Elizabeth Howland of Streatham, Widow, Mother of the Duchess & administratrix of John Howland her husband who dyed intestate; (iii) Thomas Willoughby of Wolaton, Notts, Baronett and John Hoskins of Hales [?] Hall, Essex, Esq. (iv) Edward Bee, Citizen & Painter Stainer of London.
Mentions indenture of 22/June/1682 between Sr William Humble of Stratford Laughton, Essex, Baronett, Francis Hall of Hadnock, Monmouthshire, Esq., and John Howland, which, in turn, recites an indenture of 1/June of 22 Charles II [1670] between John Izard of Beckley and Francis Hall whereby JI did Bargain Sell Betake and to Farm lett to FH the Moiety or half part of the Manor and Rectory or
Parsonage of Beckley and all the Mansion thereto belonging with all other houses etc. for 200 years at yearly rent of 12 pence. The former indenture further recites an indenture of 25/Jan/1676 between Sir Francis Hall and William Humble whereby FH for £450 assigned the premises for the residue of the 200 years under proviso for making void the same on payment of money therein expressed and also indentures of lease and release of 8 and 9/Feb/1677 of the Rectory at Dixon in Monmouth by FH to WH for £600 under proviso.
Mentions indenture of 1695 between Sir Josias Child of Wansted, Essex, Elizabeth Howland & Duchess of Bedford.
(1710-xxx-xx)
One skin from a multi-skin document. Mentions Duke of Bedford, Edward Bee and Triamor Baldwin. Year surmised.
(1717-May-17)
Lease from Edward Bee of Beckley, Esq., to William Miles of Beckley, gent, for 500 years at a peppercorn rent, of a parcel of ground in Beckley (c. ¾ acre). Described as 'enclosed piece of pasture ground used as an orchard, abutting westward on the highway, northward upon a hill called Knole Hill, eastward upon part of said hill, and southward upon a Ley late in the possession of John Mortimer'. Property was formerly in the possession of Thomas Ledwell & then of William Miles.
(My notes on this document are sparse and are here supplemented by my notes on 1804-Aug-11 & 1838-Sep-29, which recite it.)
(1717-Jan-17)
Tripartite indenture between: (i) Thomas Mauder of Toddenham, Glos, Gent, and Emanuel Allen of Oddington, Glos, yeoman; (ii) Katherine Barker, widow of John Barker of Broadwell, Gent, and John Wells of Broadwell, yeoman, nephew & executor of John Baker; (iii) John Bradshaw the younger of E Loade [Evenlode?], Worcs, and Richard Hide of Oddington. Assignment of property at Broadwell.
(1718-Dec-22)
500-year lease on cottage & garden.
(mentioned in 1832-Mar-25)
(1718-Dec-24)
Edward Bee leases a Messuage & Garden in Beckley to Joseph Kicatt (or Pieart?) of Beckley, Baker, consisting of c ½ acre shooting West towards the Street, North towards Richard Toms, & East & South towards John Pilboys.
(mentioned in 1732-Feb-01 & 1740-Sep-13)
Note: this also recited in 1805-Mar-02 where my notes have Richard James & John Hilbeys and also mention that the site was in the occupation of Richard Matthews for 500 years.
Note: also recited in 1800-Feb-05, where my notes give the date as 4/Dec, the name as Hieat, and mention a 500-year lease at a peppercorn rent.
(1720-Nov-10)
Indenture between Edward Bee of Beckley and Richard Huggins of Beckley, carpenter. Surrender of existing lease and re-lease of mesuage in Beckley for 99 years on lives of Richard Huggins, his wife Jane, and Anne their daughter. RH makes his mark.
(1720-Nov-10-a)
Counterpart of previous indenture. Signed by Edward Bee.
1721-Oct-12
Edward Bee grants 500-year lease on messuage in Beckley called the New Inn, with garden adjoining (c. 1 acre), to Robert Sutton, at a peppercorn rent.
(Recited in 1865-Feb-08)
1722-Sep-01
Indenture between Edward Bee of Beckley, Gent, and Thomas Bullford of Beckley, labourer. Lease for 195 years on property in Beckley.
(MISC235A/2)
1722-Dec-01
Indenture between Edward Bee of Beckley, Gent, and Thomas Bullford. EB leases to TB 'All that his garden ground or Garden Plott in Length Six Poles or Perches and in Breadth four Poles or Perches shooting East and South towards the said Edward Bee's peece of Arable Land Westwards a Common called Wood Common North towards a Lane called Wood Lane together with all [etc]' for 125 years under yearly rent of one Pepper Corne.
(Recited in 1736-May-20)
1723-Oct-24
Indenture between Edward Bee and Thomas White of parish of Christ Church in city of London, yeoman. 99-year lease on mesuage with garden ground for lives of Thomas White and Elizabeth & Anne White his sisters.
(MISC235A/2)
1723-Nov-14
On back: "Edward White's Counterpart of Lease to Mr Bee Nov.14.1723". Indenture between Edward Bee of Beckley & Edward White of Beckley, yeoman. Lease of land.
(MISC235A/2)
Note: recited in 1749-Dec-23 where my notes record that lease was for lives of Edward White and Thomas & John, his sons. Recited in 1749-Dec-21 where my notes describe a messuage with garden (10 poles on N side, 5 on E, 10 on S & 4 on W).
1724-Sep-02
Indenture between Edward Bee and John Gomm of Beckley, shepherd. 99-year lease on a piece of ground for lives of John Gomm, Elizabeth his now wife, and Alice Carter of Stowood, spinster.
(MISC235A/2)
1724-Feb-20
Indenture between Edward Bee of Beckley, gent, and Robert Carr of Beckley, butcher. Relet of piece of ground in Beckley on 99-year lease during lives of Robert Carr and Joan Carr & Mary Dyett.
(MISC235A/2)
Note: recited in 1732-Jul-22 where my notes say that Joan Carr and Mary Dyett were spinsters.
1725-Dec-02
Indenture between Edward Bee and Thomas Busby of Beckly [sic], yeoman. Previous lease surrendered for £11:10s. New 99-year lease granted on existing property for lives of Thomas Busby, Elizabeth his wife and Richard their son, at a yearly rent of six pence. TB to maintain property etc. at his expense..... EB to leave him to enjoy.....
(MISC235A/2)
1728-xxx-xx
Marriage settlement between Edward Bee, Ann Bee his daughter, and Theophilus Leigh.
(Mentioned in 1747-Nov-02)
1729-Sep-01
Indenture on five skins between (i) Edward Bee of Beckley, Gent; (ii) Allen Hollen of parish of St. Anne in the Liberty of Westminster, Esq, executor of Triomer Baldwin of St. Martins in the Fields, Gent; (iii) Francis Seely of University of Oxford, Barber; (iv) Edward Ryves of new Woodstock, Gent. Mentions indenture of 8/Jan/1708 between Wriothesley, Duke of Bedford, and others, as well as other
indentures and a judgement against John Shillingford. EB sells judgement against John Shillingford with option to buy back for £613/10/- by 2 June next.
On the back are two statements of 14/April/1752. The first concerns assigning the judgments to Thomas Leigh of Harding in trust for William Walker & William Musgrave; the second concerns Beckley.
(MISC235A/2)
1729-Dec-01
Indenture between: Edward Bee; Allen Hollen of Westminster, executor of Triamer Baldwin of Martins in the Fields; Francis Seely of University of Oxford, barber; Edward Rybes of New Woodstock, Oxford. Manor of Beckley and all property in Beckley, Otmoor, Noke & Odington mortgaged to Francis Seely for securing £600 + interest.
(Recited in 1747-Nov-02)
1731-Nov-13
Indenture between Edward Bee and John Gomm of Beckley, shepherd. Surrender of former lease (2/Sep/1724), which was for 99 years, determinable on several deceases of said John Gomm, Elizabeth his now wife, and Alice Carter of Stow Wood, spinster.
Mentions that John Gomm has recently built a messuage on land (10 pole by 5 pole), the house & garden now of Thomas Busby lying on North side, the common highway on East side, and Mead Close on South.
New lease for 99 years fully to be compleat and ended if the said John Gomm, Elizabeth his now wife, and Anne their daughter (c 7 years) or any or either of them shall so long live.
(MISC235B)
1732-Jul-22
Indenture between Edward Bee and Robert Carr of Beckley, Butcher. Mentions former 99-year lease of 20/Feb/1724 determinable upon the several deceases of Robert Carr, Joan Carr and Mary Dyett, spinsters. Leases All his Plott or Piece of Ground in Beckley for 99 years or the lives of Robert Carr, Mary his wife and John their son aged about one year.
(MISC235A/2)
1732/Feb/01
Indenture between: (i) Thomas Symonds of Oxon Victular; (ii) Thomas Matthews of Oxon Blacksmith, administrator of Richard Matthews late of Beckley Blacksmith; (iii) William Middleton of Beckley Yeoman.
Mentions indenture of 24/Dec/1718 whereby Edward Bee leased Messuage & Garden to Joseph Pieat [?] of Beckley, Baker, consisting of about ½ acre shooting West towards the Street, North towards Richard Toms, and East & West towards John Pilboys.
Thomas Symonds grants property to William Middleton for £32/14/0.
(MISC235B)
1735-Sep-06
Eleanor Miles, widow & administratrix of William Miles, assigns piece of land with a malthouse erected by William Miles to Richard Gammon.
(recited in 1804-Aug-11)
1735-Feb-07
Richard Gammon & his wife, Mary, assign piece of land with malthouse to Anthony Moore.
(recited in 1804-Aug-11)
1736-May-08
Theophilus Leigh and William Leigh of Adhillthrop [sic] are bound to Henry Wise in penal sum of £720 conditioned on payment of £360 on 10 August next.
(recited in 1757-Apr-11)
1736-May-20
Indenture between Thomas Bullford of Beckley, labourer, and Matthew Wiatt of Stanton St. John, Baker. "Whereas Edward Bee of Beckley Gentleman by his indenture of lease dated 1/Dec/1722 did
for the consideration therein mentioned demise grant and to farm Lett unto Thomas Bullford All that his garden ground or Garden Plott in Length Six Poles or Perches and in Breadth four Poles or Perches shooting East and South towards the said Edward Bee's peece of Arable Land Westwards a Common called Wood Common North towards a Lane called Wood Lane together with all ..... being in Beckley aforesaid for 125 years under yearly rent of one Pepper Corne". TB assigns the garden plot to MW for £34. TB makes his mark.
(1736-Mar-xx)
In Easter term of 1736, in the Court of Common Pleas at Westminster, Henry Wise recovered against Theophilus Leigh the sum of £720 debt and 50 shillings damages.
(mentioned in 1757-Apr-11)
(1738-Oct-13)
Indenture between Edward Bee and John Gomm of Beckley, shepherd. Surrender of former lease (13/Nov/1731), which was on lives of John Gomm, Elizabeth his then wife, and Anne their daughter, then aged 7. New lease is for 99 years or lives of John Gomm, Anne his daughter (c. 14) & John his son (c. 2 years).
Witnessed by Mary Waldo and Jos. Cooper.
(1738-Oct-13-a)
Counterpart of previous. John Gomm makes his mark.
(1740-Sep-13)
Three-part indenture between: (i) Robert Tawney of Binsey, Oxon, Yeoman, Thomas Pricket of Binsey, Yeoman, William ? of Oxford, Mercer; (ii) William Middleton of Beckley, yeoman; (iii) Richard Smith. Mentions indenture of 24/Dec/1718 between Edward Bee and Joseph Kicatt of Beckley, Baker, leasing mesuage in Beckley.
Note: my reading of Kicatt seems to be wrong: Hieat is given in 1800-Feb-05 and 1805-Mar-02.
(1741-Feb-24)
Indenture between Sir Charles Osbaldson of Oxford, Baronet, William Middleton of Beckley, yeoman, and Edward Doe of University of Oxford, Bookbinder. Mentions indenture between Edward Bee and Joseph Kicatt of 1718.
Note: see note to 1740-Sep-13.
(1743-May-24)
Tripartite indenture between: (i) William Price, Rector of Whitfield, Northton, and Elizabeth his wife; (ii) Elizabeth Price of Whitfield, spinster (eldest daughter of above); (iii) George Denton of Hillsden, Bucks, Esq. Whereas Thomas Izard, late of Beckley, was possessed of lease in Beckley, and whereas Thomas Izard by his will dated 15/June/1692 gave this leasehold to his daughter Elizabeth, wife of William Price, this indenture witnesses that WP and EP out of love & affection & in consideration of 5 shillings paid by George Denton to them assign the property to George Denton in trust for their daughter. Property was in possession of Mr. Jones, Fellow of Baliol, & is now possessed by [blank] Thompson, widow.
Note: recital in 1802-May-12 mentions that another part of property was in possession of Daniel Chapman & then William Smith.
(1746-Feb-13)
Part of indenture (cut vertically) between Edward Bee and Lewis Pryse concerning Beckley.
MISC235A/2)
Note: mentioned in next document as being a one year assignment of Beckley estate to Lewis Pryse for five shillings.
1746-Feb-14
Indenture between Edward Bee and Lewis Pryse. EB assigns the Manor of Beckley with the advowson of the church and all his property in Beckley, Otmoor, Noake and Oddington to LP for £570, redeemable on 15/August next following at £4/10/0 per £100. Sealed and delivered in presence of Mary Waldo and Ja' Leigh.
(MISC235A/2; photocopy with RAC)
1746-Feb-14-a
Indenture between: (i) Theophilus Leigh of the University of Oxford, DD; (ii) Thomas Wise of the City of Oxford, executor of Henry Wise of said city; (iii) Edward Ryves of Woodstock, Esq; (iv) Lewis Pryse.
Declares that £570 is still outstanding and witnesses that, for payment of this amount plus 5 shillings by Edward Ryves to Thomas Wise, the obligation of Theophilus and William Leigh passes to Lewis Price in trust for Edward Ryves.
(recited in 1757-Apr-11 & 1759-Jun-14)
1747-Nov-02
Description on back: "Dr. Leigh's conveyance of ye Rectory of Broadwell to Dr. Walker & Dr. Musgrave in Trust for ye raising of 1600£".
Agreement (4 skins) between: (1) Theophilus Leigh and Anne his wife; (2) William Leigh of Adlestrop, Esq, brother of TL, and James Leigh, eldest son and heir apparent of WL; (3) Edward Bee of Oxford, Esq; and (4) William Walker of Oxford, Doctor of Laws and James Musgrave of Oxford, Doctor of Laws.
Mentions marriage settlement of 1728-Dec-02 between Theophilus Leigh, Edward Bee and Ann Bee. Mentions EB's wife Mary as now deceased. Mentions marriage portion of £3000 paid by EB to TL.
Mentions indenture of 1729-Dec-01 between Edward Bee, Allen Hollen of Westminster, executor of Triamer Baldwin of Martin's in the Fields, Francis Seely of the University of Oxford, Barber, and Edward Rybes of New Woodstock, Oxford, whereby the manor of Beckley and all property in Beckley, Otmoor, Noke and Odington are mortgaged to Francis Seely for securing the payment of £600 + interest to him, of which £500 is now outstanding.
Mentions indenture of 1746 whereby Edward Bee leases the Beckley estate to Lewis Pryse of New Woodstock for £570.
Enclosed between two of the skins is a piece of paper (undated, 18th century writing): "The Beckley Estate to be given up immediately in consideration of 1500£ to be settled upon Mr. Bee for his Life, & upon his Death to come to Miss Cass. But yt Mr. Bee may be no loser in his income by giving up Beckley, such an annuity shall be settled by Sr. E[dward]. T[urner]. upon Mr. Bee, as with the interest of the 1500£ shall make his income at least equal to ye income of ye Beckley Estate".
(MISC235A/1)
Note: the enclosed note refers to the transactions of 1762.
1748-Nov-12
Thomas Huggins mortgages messuage with garden in Beckley to Robert Carr.
(mentioned in 1749-Dec-21)
1749-Dec-21
On back: "Mr Huggins to Mr Carr", "Conveyance".
Indenture between Thomas Huggins of Beckley, Weaver, brother & executor of John Huggins, late of Beckley, Weaver, and Robert Carr of Beckley, Butcher.
Mentions indenture of 14/Nov/1723 between Edward Bee & Edward White of Beckley, yeoman (since deceased), whereby EB leased a messuage with garden (10 poles on North side, 5 on East, 10 on South & 4 on West), then in possession of Edward White, for 99 years or lives of Edward White and Thomas & John his sons, for one shilling per year.
By virtue of several assignments premises came to Thomas Huggins who assigned it (12/Nov/1748) to Robert Carr, subject to TH's right to redeem it for £120. The principal of £120 was not repaid and Robert Carr now purchases the lease for £40.
1749-Dec-23
Indenture between Edward Bee of Beckley and Robert Carr of Beckley, Butcher.
Surrender of lease of 14/Nov/1723, whereby Edward Bee leased property to Edward White, yeoman (since deceased), for 99 years or lives of Edward White and Thomas & John, his sons.
New lease on Messuage with garden (10 pole on North side, 5 pole on East, 10 on South and 4 on West) now in possession of Robert Carr for 99 years or lives of Robert Carr and George and William, his sons.
Signed by Edward Bee in presence of Francis Simkins and Jn° Beale.
1749/Mar/01
On back: "Lewis Pryse & Edward Bee to Mary Waldo", "Lease of Beckley for 1 year 1 March 1749".
"All that the Manor of Beckley & all that the Rectory or Parsonage of Beckley ...... for five shillings". States that Lewis Pryse's interest in the Beckley estate has become absolute.
Sealed & Delivered by Lewis Pryse in presence of Mary Simmons & Ephraim Ward. Sealed & Delivered by Edward Bee in presence of Edwd. Ryves & Edw'd Ryves Jun.
1749-Mar-02
On back: "Lewis Pryce & Edward Bee to Mary Waldo", "Mortgage of Beckley for 370£ since discharged".
Indenture witnesses that for £370 paid to Lewis Pryse by Mary Waldo at direction of Edward Bee Beckley property is assigned to Mary Waldo subject to redemption by Edward Bee.
(The above two indentures of lease and release are recited in 1759-Jun-14, where my notes give more information.)
1752-Apr-14
Statement concerning assignment of judgement against John Shillingford to Thomas Leigh of Harding in trust for William Walker & William Musgrave.
1756-Jan-31
On back: "Dated 31 January 1756", "Mr Bee to Mr. Busby", "Counterpart of Lease for three lives". Richard Busby of Islip, yeoman. Witnessed by Ann Leigh.
1756-Jan-31-a
(See previous). Indenture between Edward Bee and Richard Busby of Islip, yeoman. Mentions former lease of 2/Dec/1725 granted by Edward Bee to Thomas Busby for 99 years or lives of Thomas Busby (since deceased), Elizabeth his wife and Richard Busby their son. 99-year lease or lives of Richard Busby, Thomas his son, aged c. 10, and Elizabeth his mother.
1756-Nov-07
Attested copy of will of Sarah Price, made 7/Nov/1756, proved 19/Oct/1758 at Northampton. Leaves to Roger Price (brother) all her third part of property in Beckley and all her other Beckley property; to Catherine Burt (sister) all her third part of property in Woodend in the parish of Blakesley, Northampton, and all her other property in Woodend and Blakesley; to Elizabeth Price and Susanna Rushworth (sisters) twenty pounds each; to Philadelphia Fletcher (sister), one hundred pounds); to John Burt (nephew) one hundred pounds to be paid when he reaches twenty one, or earlier at his father's discretion, his father to receive the interest until then; residue to Catherine Burt. Executrix: Catherine Burt.
1757-Apr-11
5-part indenture between: (i) Lewis Pryse of New Woodstock, Oxon, Esquire; (ii) Edward Ryves of New Woodstock, gentleman; (iii) Theophilus Leigh of University of Oxford, DD; (iv) Mary Waldo of City of Oxford, spinster; (v) William Walker of University of Oxford, DLL and James Musgrave of Chinnor, Oxon, DLL.
Mentions obligation of 8/May/1736 whereby Theophilus Leigh and William Leigh of Adhillthrop [sic], Glos, Esq, were bound to Henry Wise of City of Oxford, Mercer, deceased, in Penal Sum of £720 conditioned on payment of £360 to be paid on 10th August next.
Mentions that Henry Wise in the Easter term of 1736 did recover in the Court of Common Pleas at Westminster against Theophilus Leigh the sum of £720 debt and fifty shillings for damages.
Mentions indenture of 14/Feb/1746 between (i) Theophilus Leigh, (ii) Thomas Wise of City of Oxford, Mercer, executor of Henry Wise, (iii) Edward Ryves and (iv) Lewis Pryse, which declared that £570 was still outstanding and witnessed that for payment of this amount plus fifteen shillings by Edward Ryves the obligation of Theophilus and William Leigh passed to him.
Mentions indentures of Lease and Release of 13 & 14/Feb/1746 between Edward Bee, Citizen and Painter Stainer of London, and Lewis Pryse, whereby in consideration of £570 to be paid by Lewis Pryse to Edward Bee, Edward Bee assigned to Lewis Pryse the Manor of Beckley, the advowson of the church, and all messuages etc. in Beckley, Otmoor, Noake and Oddington belonging to the Manor of Beckley, subject to redemption on the payment of £570 plus interest.
Mentions that £200 was afterwards paid to Edward Ryves by William Walker in part payment of said £570. Mentions indentures of Lease and Release of 1 & 2/March/1749; the Release, tripartite between Lewis Pryse, Edward Ryves and Mary Waldo, stated that Lewis Pryse's interest in the Beckley premises had become absolute and that £370 was due, and witnessed that for considerations therein mentioned Lewis Pryse assigned the Manor of Beckley etc. to Mary Waldo subject to payment of the £370.
Mentions that the £370 plus interest has been paid to Mary Waldo by William Walker and that the obligation and judgement has passed from Lewis Pryse to William Walker and James Musgrave.
Sealed and delivered by Mary Waldo in the presence of Cassandra Leigh and James Leigh Perrot, by Lewis Pryse in the presence of Mary Simon and Ephraim Ward, and by Edward Ryves in the presence of James Leigh Perot [sic in my notes] and J'ho Johnsohn [sic?].
(MISC235A/2)
1758-Jan-21
Indenture between: (i) Edward Bee and (ii) Thomas Busby of Noke, yeoman, and James Lamball of Lower Woods, Islip, yeoman, admins of Richard Busby of Islip, yeoman.
Lease of 31/Jan/1756 surrendered which granted property to Richard Busby for 99 years or lives of himself, Thomas Busby (his son) aged c. 10, and Elizabeth Busby (his mother).
Edward Bee now leases mesuage etc (11½ X 3 poles) now in possession of Elizabeth Busby to Thomas Busby and James Lamball for 99 years or lives of Elizabeth Busby, widow of said Richard Busby, and Thomas (11 years) & Benjamin (9), his sons.
(MISC235B)
1758-Aug-17
On back: "Mr. John Corn and Mr. Michael Cooke", "Deed of Copartnership."
Indenture between John Corn of the Minories, London, Haberdasher of Small Wares and hosier of one part and Michael Cooke of Saint Dunstan, Fleet Street, London, haberdasher of small wares and hosier of the other part.
Partnership agreement for 14 years subject to proviso that either may end partnership after 3, 7 or 10 years at 3 months notice. Business to be carried out in the shop of the dwelling house of John Corn. £1000, including existing stock, brought into partnership. A clause mentions rights of possible widows. Partnership started 19 June last.
Signed John Corne [sic] and Michael Cooke.
(MISC235A/5)
1759-Jun-14
Indenture between: (i) Mary Waldo of Oxford, spinster and (ii) William Walker of the University of Oxford, DLL, and James Musgrave also of the University of Oxford and now Rector of Chinnor, Oxford, DLL.
Mentions indentures of Lease and Release dated 13 & 14/Feb/1746 between Edward Bee, Citizen and Painter Stainer of London, and Lewis Pryse of new Woodstock, Oxford, whereby EB mortgaged the Manor of Beckley, the Rectory of Beckley, the advowson to the vicarage of Beckley church, and property in Beckley, Ottmoor, Noak and Odington to LP for £570.
Mentions indentures of Lease and Release of 1 & 2/March/1749 whereby Mary Waldo takes over the mortgage on paying the outstanding loan of £370 to LP, subject to redemption by Edward Bee.
Mentions indenture of 14/Feb/1746 between Theophilus Leigh, Thomas Wise of Oxford (executor of Henry Wise of Oxford), Edward Ryves of Woodstock, Esquire and Lewis Pryse, whereby ER paid £570 to TW who assigned it to LP 'being a person nominated by and in trust for the said ER'.
Mentions a memorandum by ER on the last indenture acknowledging that he had received £200 from William Walker and £370 from Mary Waldo.
Indenture witnesses that the £370 was paid to MW out of the Trust money which came to William Walker by virtue of an indenture of 2/Nov/1747 between Theophilus Leigh & Ann his wife, William & James Leigh, both of Adlestrop, Edward Bee and William Walker & James Musgrave.
(MISC235A/2; full transcript with RAC)
1760-Sep-15
On back: "Mr Bee to Wm Ledwell Esq", "Counterpart of Lease of Ground at Beckley for 99 yrs & 3 lives".
Indenture between Edward Bee and William Ledwell of Cowley, Esq. Lease of 31/Oct/1738, granted by Edward Bee to John Gomm of Beckley, shepherd, surrendered on payment of 7/6. Ground now or late occupied by Thomas Busby.
"Piece of ground lately staked out containing 10 poles by 5 poles the house & garden now or late of Thomas Busby lying on North side thereof the common road or highway lying on the East side and Mead Close lying on the South West (on upper part of which said ground John Gomm lately built a messuage or tenement)".
Lease is for 99 years or the lives of William Ledwell, John Gomm (the father), aged about 70, & Anne his daughter, about 36.
(MISC235B)
1761-Apr-04
Indenture between Edward Bee and John Gomm of Beckley, shepherd. Surrender of previous lease for £4/4/0. 99-year lease granted on mesuages etc., in breadth on the West side 3½ poles, in length on the North side 11½ poles, in breadth on the East side 4 poles and in length on the South side 10 poles, for the lives of Ann Gomm, JG's wife, and Ann Soans & Mary Payne, his daughters, for a yearly rent of one shilling.
(MISC235A/2)
1761-Apr-04-a
Copy of previous. Attached to it, by an old pin, is a note: "A new Lease to be granted to Jn° Gomm – Jn° Payne to be put in in room of Ann Soans decsd the other lives the same as in lease."
(MISC235A/2)
1761-May-09
Indenture between: (i) Michael Cooke of the Minories, London, Haberdasher of small wares and hosier; (ii) John Corne of the same place, Haberdasher & Hosier; (iii) Henry Cobb of Treversham, Kent, Shopkeeper.
Mentions indenture of 17/Aug/1758 (q.v.) whereby Michael Cooke and John Corne "did mutually promise and agree to become & continue Copartners and Joint Traders in the several Arts Trades and Misteries of Haberdashers of Small Wares and Hosiers".
Michael Cooke has given three calendar months notice before end of three year period of his wish to end partnership, but it is agreed that it is more convenient to end the partnership immediately. The
partnership shall end on day of this indenture; John Corne shall pay Michael Cooke £500 for his share and Michael Cooke shall assign to John Corne all stock, debts & monies due (except money owing from John Townley of Beston [Boston?], New England, which shall be divided between them); John Corne & Henry Cobb accept responsibility for all debts.
1761-Jun-24
Indenture between Edward Bee of Oxford, gent, and Robert Carr of Beckley, butcher. RC surrenders former lease for £4/14/6 and receives another lease on messuage or tenement with garden ground of about ½ acre actually possessed by RC (the tenement built by one Richard Higgins) for 99 years or the lives of RC, William Carr and Ann Carr, his son and daughter. Rent 4/-. Witnessed by Stephen Wheatland & The: Leigh.
1761-Jun-24-a
Copy of previous. Pinned to it is a note (on the inside of an envelope addressed to Mrs Leigh at the Lodgings at Balliol Coll): "The Revd Mr Tho: Leigh to be in the place of Mr Edw: Bee. Lease to be renewed in the name of Christopher Lipscombe of Beckley Wm Carr and Ann Carr. Premises in Poss. of John Watkins & Tho Busby."
1761-Dec-16
On back: "Mr. Edw Bee to Wm. Ledwell Esq.", "Lease of a piece of ground at Beckley Com. for 99 years". Indenture between Edward Bee and William Ledwell of Cowley, Esq. Mentions former lease of 15/Sep/1760 to William Ledwell, John Gomm of Beckley, shepherd, aged about 70, and Ann his daughter, aged about 36, so long as they should live. Edward Bee's signature shaky. Witnessed by Ann Leigh, Mary Leigh.
The reference to Beckley Common in the note on the back of this document might suggest that this piece of ground is not the same as that of the next document which clearly refers to land within the village. Perhaps the common was seen as extending that far east, or perhaps the note is inaccurate.
1761-Dec-16-a
Indenture between Edward Bee & William Ledwell of Cowley, Esq.
Surrender of previous lease of 15/Sep/1760 which leased ground to William Ledwell for 99 years or lives of himself, John Gomm (aged c. 70) and Ann his wife.
Parcel of ground lately staked out (10 X 15 poles), the house and garden of Thomas Busby lying on the North side, the common highway on the East side, and Mead Close on the South West (upon part of which said ground said John Gomm has lately built a messuage).
New lease is for 99 years or lives of William Ledwell, Edward Ledwell his brother aged c. 30, and John Gomm.
I assume that this and the previous document are counterparts, but see my note to the latter. My notes also have 'Ann his wife' in the recitation of 1760-Sep-15, although in the description of the original document and in 1761-Dec-16 I have 'Ann his daughter aged about 36'. The Beckley Parish Registers show that John Gomm's second wife Ann was still living at this time, that Ann was his daughter by his first wife, and that she was baptised in 1724 (tallying with the age given). Either I or the clerk must have got it wrong here.
1762-Sep-22
On back: "No 2 Dated Sep't 22d 1762 Deed Poll whereby Dr. Leigh appoints 1600£ to be equally divided between his two daughters Mary & Cassandra, 800£ apiece".
Mentions indenture of 2/Nov/1747 between (i) Theophilus Leigh and Ann his wife; (ii) William Leigh and James Leigh; (iii) Edward Bee of Oxford, Esq; (iv) William Walker DLL and James Musgrave DLL.
1762-Oct-07
Indenture of assignment between: (i) Edward Bee; (ii) Sir Edward Turner; (iii) Thomas Leigh of Harding, Oxon, clerk, and Jane, his wife; (iv) Mary Waldo of Oxford, spinster; (v) Theophilus Leigh and Ann, his wife; (vi) Mary Leigh; (vii) Thomas Leigh of the University of Oxford; (viii) Edward Cooper, DLL, and George Austen, Batchelor of Divinity.
At the request of Edward Bee, Theophilus Leigh, Ann Leigh, Mary Leigh and Thomas Leigh, Sir Edward Turner has assigned the Beckley estate to Edward Cooper and George Austen upon trust and has discharged the said sums of £570 & £500. Sir Edward Turner is to retain for his own use the £1600 in Old South Sea annuities transferred to him by Thomas and Jane Leigh of Harding.
(recited in 1762-Oct-07-b)
1762-Oct-07-a
On back: "No 4 Dated Oct 7th 1762 Indenture whereby 1070£ and 170£ consolidated Annuities are settled (after the life of Mr Bee of Dr Leigh of his wife) upon Cassandra youngest daughter of Dr Leigh but some part of both declared to be a security against all claims wch Dr Leighs Wife and Daughter Cassandra might have (by virtue of former settlements) upon Sr Edward Turner as Trustee or upon the Beckley Estate This 1070£ & 170£ (having been laid over in the purchase of 1452£ stock) was given up by Lady Turner (Sr Edward Turner's executrix) to Miss Cassandra upon her marriage with Mr Cooke & Miss Cassandra & Mr Cooke joined in a full discharge of all claims".
Indenture between: (i) Thomas Leigh, (ii) Theophilus Leigh and Ann his wife; (iii) Edward Bee, late of Beckley, now of Oxford; (iv) Mary Leigh spinster; (v) Cassandra Leigh spinster; (vi) Sir Edward Turner of Ambrosden.
Mentions forthcoming marriage between Thomas Leigh & Mary Leigh.
Sealed and delivered by Thomas Leigh of University of Oxford in presence of Abraham Chew of Ambrosden and William Crossby of Ditto, Footman. Sealed and delivered by Theophilus Leigh and Ann his wife in presence of Samuel Dugliss and Elizabeth Winterburn. Sealed and delivered by Edward Bee in presence of Anne Bee and Eliz Hussey. Sealed and delivered by Sir Edward Turner in presence of Abraham Chew of Ambrosden and William Crossby of Ditto Footman. (MISC235B)
1762-Oct-07-b
Note on back: "No 5 Dated Octr. 7th 1762. Bond frm. Dr. Leigh & Mrs Waldo to indemnify Sr Edwd. Turner & ye Beckley Estate against all claims wch Mrs. Leigh Wife of Dr. Leigh & his Daughter Cassandra might make on ye same. Mrs. Leigh having since deceased her claims (wch were only an annuity for life) are ceas'd And Cassandra ye Daughter being since come of age & married, she & her husband ye Revd. Mr. Samuel Cooke (upon 1452£ being given up to them upon their marriage) have given a full discharge of all her claims; wch. discharge is in ye possession of Lady Turner executrix of Sr. Edwd. Turner".
Theophilus Leigh of the University of Oxford and Mary Waldo of Oxford, spinster, bind themselves and their heirs to pay £800 to Sir Edward Turner of Ambrosden, otherwise Amorsdon.
Recites indenture of 1747-Nov-02 (see above) and mentions that the £1600 referred to in that was raised on the security of the manor of Beckley. Two sums of £570 & £500 were raised & £600 of Old South Sea annuities purchased.
Mentions the death, intestate, of William Walker and the appointment of his sister Jane, the wife of Thomas Leigh of Harding [Harpsden], as administratrix. Sir Edward Turmer is to take on the trusteeship in place of James Musgrave: Thomas and Jane Leigh of Harding have transferred to him the £600 and the Old South Sea annuities.
Mentions that Theophilus and Anne Leigh have only two daughters, Mary and Cassandra (the latter still under twenty-one).
Mentions indenture of 22nd September last whereby Theophilus Leigh appoints that, after the death of himself and his wife, the £1600 be divided equally between his two daughters, subject to the payment of £40 a year to Edward Bee.
Recites indentures of even date (see above).
Sir Edward Turner and James Musgrave indemnified against any claims which might be made against them in respect of the Beckley property or the money mentioned herein.
Sealed & delivered by Theophilus Leigh & Mary Waldo in the presence of Tho\textsuperscript{5} Hawkins and James [?].
(MISC235A/1; transcript with RAC)
**1762-Oct-16**
Indenture between Edward Bee and John Gomm. Previous lease given up for 40 shillings and new lease granted on lives of Ann Gomm, Mary Payne and John Payne, her son. Attached to document, by an old pin, is a note: "4\textsuperscript{th} Feb 1769. Lease from Rev\textsuperscript{d} Tho\textsuperscript{8} Leigh to John Payne Sen' of Beckley. Lives to be put in the Lease are Mary Payne, wife of s\textsuperscript{d} John Payne, John Payne, Son of John Payne, and Tho\textsuperscript{5} Payne, Son of s\textsuperscript{d} John Payne the Elder. To be engrossed by Thursday Morn next."
(MISC235A/2)
**1763-Apr-16**
Indenture between Thomas Leigh, Rector of Broadwell, and John Carr of Beckley, Butcher. Previous lease surrendered and new 99-year lease granted for lives of Jno Carr, Eliz: his wife, and John their son, aged 9. Witnessed by Ann Leigh and Henry Deane.
(MISC235A/2)
**1763-Apr-16-a**
Copy of previous indenture.
(MISC235A/2)
**1763-Aug-05**
Will of Cassandra Wight with attached probate certificate granted by the Archbishop of Canterbury (23/Sep/1779). If she dies in Barking, Essex, or London she is to be buried at Barking. Bequests to: ten poor housekeepers of Barking; Mrs Giddes of Barking (friend); Henry Wight of Blakesley, Northampton, and his sister, Miss Wight; Mr James Martin (nephew) and Miss Shepherd (niece); Captain Hutchinson and his son, Julius; Rev Thomas Leigh (brother); Rev Charles Leigh (brother); Mr Hungerford Hoskins [sic] (nephew); Nelson (female cousin, over 80); Emma Waldo (niece); residue to Dr Theophilus Leigh (brother) and Ann, his wife. Executors: Dr Theophilus Leigh and Ann, his wife; witnesses: Mary Waldo, Ja: Gilpin. Her husband, Captain Wight, mentioned as deceased.
A codicil (9/July/1765) splits the bequest to Thomas Leigh (now deceased) between Cassandra Austen (her niece) and the residue. Witnessed by Mary Waldo.
A codicil of 19/July/177[5?] adds bequests to: ten poor housekeepers of Mary Magdelene, Oxford; the poor of Adlestrop; Sammy Arnold (nephew); Cassandra Arnold (niece); Martha North. Witnessed by Eliz Bishop.
(MISC235A/1)
Note: a contemporary copy of this will, along with receipts from beneficiaries, is owned by Robert Cooke.
**1764-Oct-08**
On back: "Rev. Mr. Leigh to Mr. Thomas Busby & Mr. James Lamball For lives of Tho Busby aged 29, Tho Busby aged 17, Benj Busby, aged 15", "Counterpart Lease". Indenture between Rev. Thomas Leigh, Rector of Broadwell and Thomas Busby of Buckley [sic], yeoman. Witnesses that in consideration of surrender of former lease dated 21/Jan/1758 granted by Edward Bee to Thomas Busby & James Lamball for 99 years if Elizabeth Busby (widow of Richard Busby), Thomas Busby then aged 11 or thereabouts and Benjamin Busby then 9 or thereabouts, sons of Elizabeth Busby, should so long live ... Lease for 99 years granted. Thomas Busby makes his mark; James Lamball signs.
(MISC235A/2)
**1765-May-01**
On back: "Sealed and Delivered (being first duly stampt) in the presence of [signed] Ann Leigh Cassandra Leigh", "The Revd Thos. Leigh to Christopher Lipscomb", "Counterpart Lease".
Indenture between Rev. Thomas Leigh of Adlestrop and Christopher Lipscomb of Beckley. CL gives up existing lease, pays 40/-, and receives lease on property currently possessed by John Watkins & Thomas Busby (c. \( \frac{1}{2} \) acre). CL makes his mark.
(MISC235A/2)
1765-Jul-09
Codicil to Cassandra Wight's will.
1766-Sep-16
Indenture between Rev. Thomas Leigh, Rector of Broadwell, and William Ledwell of Cowley, Esquire. Surrender, on payment of 7/6, of lease of 16/Dec/1761 granted by Edward Bee. New 99-year lease, at rent of 1/- a year, for lives of William Ledwell and Edward and James, his brothers, granted on piece of Ground lately staked out, containing in length 10 poles and in breadth 5 poles, in the Parish of Beckley, "the House and Garden now or late of Thomas Busby lying on the North side thereof The Common Highway lying on the East side and a Close called the Mead Close lying on the West side thereof (upon part of which said Ground the said John Gomm lately built a Messuage or tenement)". TL reserves right to remove timber. Within one year of death of any of the named lives the survivors have right, on payment of 7/6 and a fine, to a new lease with a new name. (MISC235A/2)
1766-Sept-16-a
Copy of previous, witnessed by The: Leigh and Jn° Walker. There are several crossings out and amendments: (1) day and month crossed out and year changed to 1805; (2) reference to previous lease crossed out; (3) "upon which Ground John Gomm lately built a Messuage" changed to "upon which Ground is built a Messuage ... which premises are now occupied by Eliz ? and ? Wakefield widow"; (4) list of lives crossed out and names inserted: "Rev Saml Cooke [Saml Cooke then crossed out] George Leigh Cooke". On the back is another indenture dated 8/July/1805 between William Brydges Ledwell late of Bath and John Mackanness of the Middle Temple under which WBL gives up all claim to the ground at Beckley for £35 (WBL is described as son and executor of Ann Ledwell formerly of Woodperry and late of Bath, who was widow and executrix of William Ledwell). (MISC235A/2)
1768-Jun-11
Marriage settlement for Samuel Cooke and Cassandra Leigh made between (1) Rev. George Cooke, Rector of Saint Mary Clyst, Devon, (2) Rev. Samuel Cooke of Balliol College, M.A., (3) Rev. Theophilus Leigh, Doctor in Divinity, Master of Balliol, and (4) Cassandra Leigh. Trustees are Thomas Twistleton of Broughton, Rev. Thomas Leigh of Adlestrop and Michael Cooke of Lyons Inn, Middlesex. George Cooke is to pay to Samuel Cooke, immediately after the solemnization, £750 of capital stock and a bond of £2000 conditioned for the payment of £1000 within six months of his death. Samuel Cooke is to transfer £548 in 3% annuities 1751 to the trustees. Theophilus Leigh and Cassandra Leigh are to procure transfer to the trustees of £1452 capital stock, now in the name of Dame Cassandra Turner, to which they are entitled under a six-part agreement dated 7/Oct/1762. Security for sum of £5000 to which Cassandra Leigh is entitled under the will of Ann Berington of the City of Hereford is to be transferred to the trustees. The £2000 paid by Samuel Cooke and Theophilus Leigh is to be used to buy a leasehold estate for Samuel and Cassandra. After their death money in the trust is to be divided equally between their children. Sealed and delivered by George Cooke in the presence of Mary Cole and John Cooke. Sealed and delivered by Samuel Cooke, Theophilus Leigh and Cassandra Leigh in the presence of Cass: Wight and Mary Waldo. (MISC235A/1)
1768-Jun-11-a
Copy of above. (MISC235A/1)
1769-Feb-11
Indenture between Rev. Thomas Leigh of Adlestrop and John Payne senior of Beckley, labourer. 99-year lease on messuage or tenement with the garden ground determinable on lives of Mary Payne, wife of John Payne, and John Payne and Thos. Payne, sons of John Payne, for forty shillings. (MISC235A/2)
1769-Feb-11-a
Copy of previous. (MISC235A/2)
1769-Nov-07
Indenture of Lease: John Mackaness leases messuage in Beckley from Rev John & Susannah (née Price) Rusworth.
(mentioned in 1806-Sep-02)
1769-Nov-08
Indenture of Release: John Mackaness purchases messuage in Beckley from Rev John & Susannah (née Price) Rusworth.
(mentioned in 1806-Sep-02)
1772-Mar-02
On back: "Settlement in pursuance of Articles made previous to Marriage of Mr Cooke & Cassandra".
Indenture between: (i) Rev Samuel Cooke of Baliol College and Cassandra his wife; (ii) Thomas Leigh of Adlestrop and Thomas Twistleton of Broughton; (iii) Michael Cooke of Lyons Inn, Middlesex, Gent.
Mentions that Cassandra Cooke, before her marriage, possessed £1452 in the 3% Consolidated Bank Annuities and, under the will of Ann Berington of Hereforod, also possessed £5000 subject to payment of several annuities.
Mentions articles of agreement of 11/June/1768, made previous to marriage, between (i) Rev George Cooke, Rector of Saint Mary Clyst, Devon, and Samuel Cooke and (ii) Theophilus Leigh and Cassandra Leigh. In this George Cooke covenanted to transfer to Samuel Cooke £750 capital stock and deliver a bond in the penal sum of £2000 conditioned on payment of £1000 within six months of his death and to pay interest for the same at 4%; Samuel Cooke covenanted to transfer £548 capital stock in the 3% annuities 1751 to Thomas Twistleton, Thomas Leigh and Michael Cooke; Theophilus Leigh and Cassandra Leigh agreed to procure and transfer to the same £1452 and the securities upon which the £5000 was placed.
Indenture witnesses that trustees will use money to buy a leasehold estate for Samuel and Cassandra Cooke.
(MISC235B)
1772-Dec-01
190-year lease on cottage & garden.
(mentioned in 1832-Mar-25)
1775-Mar-23
Indenture between: (i) (a) George Sanders of Cassington, Oxon, yeoman, (b) Mary his wife, late Mary Ward, otherwise Mary Carr (surviving administratrix of Mary Carr of Beckley); (ii) John Carter of Hedington. Mentions indenture of 23/Dec/1749 between Edward Bee and Robert Carr the elder leasing a mesuage in Beckley. Re-assignment of Lease from George Sanders to John Carter.
(MISC235A/2)
1775-Jul-19
Codicil to Cassandra Wight's will.
(see 1763-Aug-05)
1775-Jul-20
Indenture between Rev. Thomas Leigh of Adlestrop and John Carter of Hedington, yeoman. Mentions former lease of 23/Dec/1749 made by Edward Bee to Robert Carr of Beckley, butcher (since deceased) for 99 years or the lives of Robert Carr and George & William his sons. Property, a messuage or tenement with Garden Ground, now leased to John Carter for 99 years if John Carter, Hannah his wife and William his son or any or either of them live so long.
(MISC235A/2)
Note: this recited in 1782-May-24, where my notes say that John Carter was in possession in 1775.
1775-Jul-20-a
On back: "Rev Mr Leigh to Mr John Carter", "Fine £3 quit rent 2/6 at mich.", "Counterpart of lease for 3 lives of Premises at Beckley For lives of John Carter Hannah his wife & Will" his son", "Betts afterwards bought this cottage of Carter".
1778-Aug-13
Indenture between Rev. Thomas Leigh of Adlestrop and James Lamball of Beckley, yeoman. Old lease surrendered and new lease granted on piece of ground taken out of the South East Corner of a certain Furlong called or known by the name of Sour Wood (Furlong opposite to the Fifty Second Mile Stone at the Turnpike Road leading from London to Worcester) in Beckley, containing in length Sixty Feet and in breadth Forty Feet as the same is now paled or mounded out, for 99 years or the lives of James Lamball, Mary his wife and Sarah their daughter. Yearly rent of five shillings paid by equal payments on the four most usual Feasts of the year, i.e. St. Michael the Archangel, the Nativity of Our Lord, the Annunciation of the BVM and Saint John the Baptist.
( MISC235A/2)
1778-Aug-13-a
Copy of previous.
(MISC235A/2)
1779-Sep-23
Probate certificate on will of Cassandra Wight.
(on will of 1763-Aug-05)
1780-Jan-26
On back: "Rev Thos Leigh to Sarah Lipscombe for 99 years determinable on lives of Henry Lipscombe, J. Lipscombe & Ann Carr", "Counterpart of Lease".
Indenture between Thomas Leigh and Sarah Lipscombe of Beckley, widow.
Surrender of former lease on \( \frac{1}{2} \) acre now or late in possession of John Watkins and Thomas Busby. Tenement hereby demised was built by Richard Huggins.
New lease for 99 years or lives of Henry and John Lipscomb, sons of Sarah Lipscomb, and Ann Carr, late of London and now of Wood Eaton, spinster.
Sarah Lipscomb makes her mark.
(MISC235B)
1782-May-24
Indenture between John Carter of Beckley, Carpenter & wheelwright, and Thomas Betts of St Giles, Servant.
Mentions indenture of 20/July/1775, whereby Thomas Lee [sic] of Adlestrop leased to John Carter of Heddington, Yeoman, a Messuage with garden (10 poles on North, 5 on East, 10 on South & 4 on West), late in possession of of Robert Carr & now of said John Carter, for 99 years and lives of John Carter, Hannah his wife, and William his son.
John Carter now assigns to Thomas Betts, for £70, the said messuage, & the shop lately erected & built next adjoining, for the residue of the 99 years.
(MISC235B)
1785-Feb-02
Will of Rev. William Price of Whitfield, Northamptonshire. My notes give date of 1733/4 but this looks unlikely. Canterbury probate certificate of 2/Feb/1785. £100 to wife Elizabeth Price plus personal estate and money for life; on her death this to be divided between six daughters, Elizabeth, Sarah, Mary, Susannah, Philadelphia and Katherine, his four sons, Roger, Thomas, John and William, having already received ample portions. Will witnessed by William Cooper and Richard Cooper.
(MISC235A/5)
1785-Feb-14
Indenture between: (i) Elizabeth Price of Beckley, spinster (daughter and administratrix of William Price formerly Rector of Whitfield, Northants, who survived his wife Elizabeth, formerly Elizabeth Izard, spinster, and also the daughter & residual legatee of Thomas Izard, formerly of Beckley, Gent. & which said Elizabeth Price, party hereto, was granddaughter & administratrix of said Thomas Izard); (ii) Edward Pauncefort of Mowman Street in the Parish of St. Marylebone, Middlesex, Esquire, executor of Sir Charles Hardy who was executor of Constance Denton, who was the widow of Geroge
Denton, also George Chamberlayne, formerly of Hillsdon, Bucks, Esq; (iii) Robert Ashfield of the Parish of Saint Mary Magdelen in the city of Oxford.
Mentions indenture of Lease of 9/Aug/1684 whereby John Izard, formerly of Beckley, granted to Thomas Izard his Cottage, Tenement, Barn, Stable, Orchard and four acres of arable land. Mentions also indenture of 6/June/1692 which leased further land to Thomas Izard; Millfield lies along West side of land called Fininers Lane running up the Mill-yard gates; Macknoys Yard also mentioned.
Land now leased to Robert Ashfield with right of Elizabeth Price to live there. (MISC235A/2)
1794-May-05
Indenture between Rev. Hugh Price, Rector of Little Ilford, Essex, and Charles Harris Esq., of Camberwell, Surry. Concerns a mortgage on the Rectory property allowing for improvement. On the back are receipts for money received from Theophilus Leigh Cooke in 1804, 1805, 1809, 1810. (MISC235A/5)
1800-Feb-05
On back: "Mr Daniel Shilfox (Administrator &c) to James Lay Esq", "Assignment of a messuage & orchard at Beckley".
Indenture between Daniel Shilfox of the Red-house in the parish of Saint Nicholas, Deptford, Kent, Armourer (admin of Martha Shilfox of Oxford St, Mdsx, his mother) and James Lay of Beckley, Esq.
Mentions indenture of 4/Dec/1718 [24?] between Edward Bee & Joseph Hieat, Baker, of Beckley, whereby EB leased a messuage with orchard & garden plot (c. ½ acre), "shooting West towards the Street, North towards Richard Tomes & East & South towards John Hilbey's", for 500 years for a peppercorn rent.
This became vested in Martha Shilfox and is now assigned to James Lay. (MISC235B)
1800-Dec-26
Indenture between Rev. Thomas Leigh, Rector of Adlestrop, and Thomas Jessop of Beckley, yeoman. TJ surrenders lease of 13/Aug/1778 granted by Thomas Leigh to James Lamball for 99 years or for lives therein mentioned. TL leases the South East corner of a certain furlong known as Sour Wood for 99 years if Thomas Jessop, Catherine his wife and Ann their daughter live so long. (MISC235A/2)
1801-Mar-28
On back: "Mr William Tipping & Mr Moses Faulkner to Mr John Louch", "Assignment of Messuages with the appurts at Beckley", "Roberson Oxford".
Indenture between (i) (a) William Tipping of Beckley, Yeoman, administrator of Elizabeth Tipping his wife, the 2nd daughter of Susanna Hart & a legatee of Matthew Wyatt of Stanton Saint John, Baker and (b) Moses Faulkner of Beckley, Carpenter, child of Elizabeth Tipping by her former husband Daniel Faulkner; (ii) Elizabeth Baylis of Elsfield, spinster; (iii) John Louch, Butler, of New College.
Mentions indenture of lease of 1/Dec/1722 between Edward Bee of Beckley and Thomas Bullford, Labourer, of Beckley. (MISC235B)
1802-May-12
On back: "Mr Robert Ashfield to John Mackaness Esq", "Assignment of Leasehold Premises at Beckley Oxford".
Indenture between Robert Ashfield of Beckley Esq and John Mackaness of Middle Temple Esq.
Mentions indenture of lease of 9/Aug/1684 wherein John Izard granted cottage, with barn, stable & orchard, to Thomas Izard, as well as 4 acres of Arable land lying dispersed in the common fields of Beckley to be part of a Yard Land called Mackness Yard Land & to have been in the occupation of Drucilla Meade for 1000 years.
By indenture of 6/June/1692, John Izard granted to Thomas, for 999 years, all his sydling or parcel of Yelding Ground in the Common Field of Beckley, known as Mill Field, along west side of lane called Tinney Lane winning up the Mill Yard Gates.
Thomas Izard left these premises to his wife and after her death to his daughter, Elizabeth Izard, who afterwards married William Price, rector of Whitfield, Northants.
Mentions an indenture of 24/May/1743 between (i) William Price and Elizabeth his wife, (ii) Elizabeth Price of Beckley, spinster, their eldest daughter, and (iii) George Denton. This indenture mentioned part of land in possession of Rev Mr. Jones and then of [?] Thomson, widow, and another part in possession of Daniel Chapman and then William Smith.
Elizabeth Price assigned lands to Edward Paincifort who assigned them to Robert Ashfield.
(MISC235B)
**1803-Feb-21**
Will of Thomas Leigh of Adlestrop of Adlestrop.
Estate at Beckley, consisting of rectory inappropriate of the church of Beckley and the advowson to the vicarage or curacy, goes to his sister-in-law Cassandra Cooke. This estate was settled on his wife Mary Leigh as part of their marriage settlement; there being no issue it is at his disposal.
There are many other bequests, in land and money, to members of his family.
Executrix is Elizabeth Leigh (sister).
A codicil of 21/May/1813 mentions his succession to the Stoneleigh Abbey estates. His late wife's manuscripts (except for her anecdotes of the Leigh family, designed for James Henry Leigh) go to Cassandra Leigh, as well as her paintings and Balliol papers. Elizabeth Leigh and James Henry Leigh are named as executors.
(RAC)
Note: this will is mentioned in 1816-Jun-24.
**1803-May-04**
Indenture between Rev. Thomas Leigh of Adlestrop and Thomas Busby of Beckley, yeoman. 99-year lease made on or about 8/Oct/1764 surrendered. New lease for lives of Thomas Busby, Thomas Busby the younger & Benjamin Busby. Witnessed by Elizabeth Leigh, Charles Bunting.
(MISC235A/2)
**1803-May-04-a**
Indenture between Thomas Leigh and Thomas Busby of Oxford, yeoman.
Surrender, for £15/15/0, of 99-year lease (8/Oct/1764) of a cottage, garden and orchard to Thomas Busby on lives of Thomas Busby, Thomas Busby the younger, and Benjamin Busby.
Lease renewed for 99 years on lives of Thomas Busby aged 69, John Hut aged 14, and James Hut aged 6, the sons of Robert & Francis Hut.
Thomas Busby makes his mark.
(MISC235B)
**1804-Aug-07**
Indenture of mortgage between Charles Moore, Jonathan Cooper & Stephen Davis. JC & CM assign land to Stephen Davis for £60 paid to JC, redeemable on payment of capital plus interest.
This looks the same as 1804-Aug-11: maybe I misread the date in 1838-Sep-29.
(recited in 1838-Sep-29)
**1804-Aug-11**
On back: "Mr Chas Moore by direction of Mr Jonathan Cooper & Mr Jonathan Cooper to Mr Stephen Davis", "Assignment by way of a Mortgage of an estate at Beckley for securing £60 + interest".
Indenture between: (i) Charles Moore of Horsepath, victualler, admin of Anthony Moore of Garsington, Blacksmith; (ii) Jonathan Cooper of Horsepath, Yeoman; (iii) Stephen Davis of Saint Aldate, Boatbuilder.
Mentions indenture of 17/May/1717 between Edward Bee & William Miles of Beckley, gent. whereby EB leased to WM an enclosed piece of pasture ground then used as an orchard (½ acre), abutting westward on the highway, Northward on Knole Hill, Eastward on part of said hill & South upon a ley, then [late?] in possession of John Mortimer, then of Thomas Ledwell, & then of William Miles, for 500 years.
Mentions indenture of 6/Sep/1735 between Eleanor Miles of Oxford, widow & adminx of William Miles, and Richard Gammon of Clifton, Oxon, Yeoman, which recited that William Miles had since erected a Malthouse and that Eleanor Miles was assigning the land and the malthouse to Richard Gammon.
Mentions indenture of 7/Feb/1735 [ie 1736 new style] between Richard Gammon & Mary his wife & Anthony Moore in which Richard Gammon assigned land to Anthony Moore. (MISC235B)
Note: this indenture recited by 1805-Jul-31 (q.v. for further notes, including reference to William Fruin).
1804-Sep-29
Indenture between Rev Samuel Cooke & Thomas Weekes of Salcombe, Devon. Lease of mesuage & farmhouse called Wyatts for 14 years at yearly rent of £50. (MISC235B)
1805-Mar-02
On back: "James Lay Esq to Mr John Louch", "Assignment of a messuage at Beckley for remainder of Term of 500 years".
Indenture between James Lay, late of Beckley but now of Woodperry, and John Louch, butler, of new College.
Mentions indenture of 24/Dec/1718 between Edward Bee & Joseph Hieat of Beckley, Baker, whereby EB granted a 500-year lease to JH on a messuage, garden plot & orchard (½ acre), "shooting West towards the street north towards Richard James & East & South towards John Hilbey's", then in occupation of Richard Matthews.
This property now vested in James Lay by divers assignments & other legal ways and means. (MISC235B)
1805-Apr-02
On back: "Rev Thomas Leigh to John Payne Jun", "Counterpart Lease for 99 years Provided John Payne, Thomas Payne, Mary Payne, any or either of them shall so long live", "Rent 1s Fine 40s".
Indenture between Rev Thomas Leigh and John Payne the younger of Beckley, Labourer.
Surrender of previous lease of 11/Feb/1769 between Thomas Leigh & John Payne senior, then of Beckley, labourer. Messuage consists of 3½ poles on West, 11½ on North, 4 on East, and 10 on South. New 99-year lease granted on lives of John Payne (aged c. 52), Mary Payne (his daughter, aged c. 28), and Thomas Payne (brother, c. 49).
Sealed and delivered in presence of Edward Carr and Mary Carr. John Pain [sic] makes his mark. (MISC235B)
1805-Jul-08
Indenture between William Brydges Ledwell, late of Bath, and John Mackaness of the Middle Temple, London, Esq. WBL is son and administrator of Ann Ledwell, formerly of Woodperry & late of Bath, deceased, who was the widow, relict & executrix of William Ledwell. For £35 WBL gives up all claim to the piece or parcel of ground in Beckley. (on back of 1766-Sep-16-a)
1805-Jul-31
On back: "Mr Jonathan Cooper to Mr Stephen Davis", "Deed of further charge for securing £40 & interest".
Indenture between Jonathan Cooper of Horsepath, Oxon, Yeoman, and Stephen Davis of Saint Aldates, Oxford, Boatbuilder.
Mentions indenture of 11/Aug/1804 between Charles Moore of Horsepath, Victualler, and Jonathan Cooper & Stephen Davis, whereby SD paid £60 to JC & 5/- to CM for an inclosed piece of pasture then used as an orchard with all manner of trees standing and also Malthouse lately erected on said piece of ground then in occupation of William Fruin.
Said ground to be a security unto Stephen Davis for £40 paid by him to Jonathan Cooper.
Signed by Jonathan Cooper; witnessed by Wm Marsh. (MISC235B)
1806-Sep-02
On back: John Mackaness to Rev Samuel Cooke", "Lease for a year".
Indenture between John Mackaness of The Temple, London, Esq, only son & heir of John Mackaness late of Beckley Esq, who died intestate 'seized in fee of the hereditaments hereinafter described & intended to be bargained and sold', and Rev Samuel Cooke.
For five shillings JM bargains and sells to SC: the freehold messuage with the homestead formerly occupied by James Morris & now by Thomas Blake, his undertenants or assigns; the orchard belonging to this; the freehold close known as Oatmore Close (4-5 acres); the messuage cottage or tenement formerly occupied by Joseph Ward, afterwards by Richard Fisher, and now or late by John Budd, his undertenants or assigns.
These were purchased by John Mackaness, deceased, in 1769 and were, by indentures of Lease and Release of 7 & 8/Nov/1769 and by a fine sur conizante de droit levied in Hilary term of 10 George III [1770], leased to Rev John Rusworth & Susannah his wife, heretofore Susannah Price, spinster.
Signed, sealed and delivered in presence of Baker Morell Prinie [?] Jubb All [squiggle – sergeants?] at law.
(MISC235B)
1806-Sep-03
On back: "John Mackaness to Revd Samuel Cooke", "Release of freehold and assignment of Leasehold hereditis & premises in Beckley".
On back: "Mrs Eliz. Jane Humphreys to Dr Peter Dyncley [?] Esq a Trustee of Rev Samuel Cooke", "Assignment of a term of 1000 years in 2/3 of the freehold promised in trust to attend the inheritance". Mentions indentures of 9/Aug/1684 and 6/June/1692 between John and Thomas Izard.
(MISC235B)
1807-Oct-06
On back: "Deed of Covenant between Mrs Catherine Bailey and Mr Hugh Bailey".
Indenture between Catherine Bailey of Great Bookham, widow of John Bailey, Grocer, and Hugh Bailey, Grocer (only child & heir at law of John Bailey). Refers to John Bailey's marriage settlement of which Samuel Cooke was trustee.
(MISC235B)
1809-Apr-06
Indenture between Rev. Thomas Leigh, Rector of Broadwell and Rev. Samuel Cooke of Great Bookham. Previous lease of 16/Sep/1766 granted by Thomas Leigh to William Ledwell of Cowley, Esq, surrendered on payment of £5 by Samuel Cooke to Thomas Leigh. The piece of ground was lately staked or laid out, containing in length 10 pole & in breadth 5 pole, in Beckley, The house or garden now or late of Thomas Busby lying on the North side, the common highway on the East side and a close called the Mead Close lying on the South West side, upon part of which ground is built a mesuage or tenement, which premises are now occupied by Elizabeth Morris and [blank] Wakefield, widow. 99-year lease granted for lives of Rev. George Leigh Cooke of Corpus Christi, Theophilus Leigh Cooke of Magdelen College and Chandos Leigh, son of James Henry Leigh of Addlestrop.
(MISC235A/2)
The document is unsigned and the day and month are left blank. The date is supplied by the next document.
1809-Apr-06-a
On back: "Dated April 6th 1809", "Rev Thos Leigh to Rev Sam¹ Cooke", "Lease Piece of Ground at Beckley for three lives".
Same as the last document, except that George Leigh Cooke is described as 'of University of Oxford'.
(MISC235B)
1809-Jul-01
Note on back: "The Rev Samuel Cooke Rector of Cottisford to Rev George Leigh Cooke", "Charge & Demise for securing £100 & Interest pursuant to a Power contained in Deddington & Barford Inclosure Act".
Indenture between: (i) Reverend Samuel Cooke, Rector of Cottisford, Oxon; (ii) The Provost of the College Royal of the Blessed Mary of Eton near Windsor Bucks [?], commonly called the Kings College of our Blessed Lady of Eton, and the same College, Patron of the said Rectory of Cottisford; (iii) Charles Lord Bishop of Oxford; (iv) Rev George Leigh Cooke, Fellow of Corpus Christi.
Mentions Act of Parliament of 47 George III for Inclosing of Land at Deddington & Great Barford.
Samuel Cooke assigns two several plots of field at Great Barford (otherwise Barford Saint Michael) to George Leigh Cooke for £100.
(MISC235B)
1810-Mar-23
On back: "Mr John Payne to his brother Mr Jos\textsuperscript{h} Paine [sic]", "Assignment".
Indenture between John Payne, formerly of Beckley, now of Stanton St John, and Joseph Paine of Crown Court, Charles Street, St Margarets, Westminster Green, Grocer. Mentions indenture of 2/April/1805 in which Thomas Leigh of Adlestrop leased messuage to John Payne. John Payne now assigns messuage to Joseph for £75.
Signed by Joseph Paine; John Payne makes his mark. Witnesses: John Haycock and James Rogers.
(MISC235B)
1812-Apr-06
Indenture between: (i) Charles Cooke; (ii) Christopher Lethbridge & George Mackenzie. Update to marriage settlement of Charles & Sarah Cooke.
(recited in 1837-Nov-06, qv for details)
1812-Jun-27
On back: "Mr Jonathan Cooper to Mr Stephen Davis", "Deed of further charge for £23".
Mentions indenture of 31/July/1805 between Jonathan Cooper and Stephen Davis.
(MISC235B)
1813-Jun-27
Indenture between Jonathan Cooper of Horsepath, Oxon, yeoman, and Stephen Davis of Oxford, Boat Builder. Mentions indentures of 27/June/1812 between same parties, of 31/July/1805, and of 11/August/1804 between Jonathan Cooper, Stephen Davis and Charles Moore of Horsepath. Mortgage on property in Beckley for £57 paid by Stephen Davis to Jonathan Cooper.
(MISC235A/2)
1814-Apr-30
On back: "Assignment of Leasehold Premises at Beckley subject to mortgage thereon. Dated 30\textsuperscript{th} April 1814". Memorandum on back: "By indenture bearing date 19/Sep/1836 being settlement made on the marriage of Mr Christopher Legge with Mrs Elizabeth Goodliffe the said Elizabeth Goodliffe being entitled jointly with Mrs Elizabeth Collett to the within mentioned Lease for their joint lives with remainder to the survivor did assign her estate and interest therein to Trustees upon the Trusts in the said Indenture continued".
Jonathan Cooper leases property known as the Malthouse to William [......], victualler of Beckley, for 500 years.
(MISC235A/2)
(Document in poor condition and splattered with whitewash; a corner, including part of date and name of second party, is missing. Recital in 1838-Sep-29 gives name as William Fruin, refers to land & malthouse, and says that property is subject to payment of £180 to Stephen Davis.)
1815-Oct-23
Marriage settlement for George Leigh Cooke and Ann Hay (7 skins) made between (1) Rev. Samuel Cooke, vicar of Great Bookham, (2) Rev. George Leigh Cooke, Sedleian Reader of Natural Philosophy at the University of Oxford & Rector of Wick Rissington, (3) William Hay of Russell
Square, Middlesex, (4) Ann Hay, one of his daughters, (5) Rev. Richard Yates, chaplain of Chelsea Hospital, (6) James Forsyth of Landsdown Place, Saint Pancras, (7) Rev. Theophilus Leigh Cooke, rector of Little Ilford, Essex, and (8) Rev. William Bishop, fellow of Oriel College. Trustees are Richard Yates, James Forsythe, Theophilus Leigh Cooke and William Bishop. William Hay to transfer £2,300 to the trustees and another £10,000 after the death of himself and his wife, Helen. Samuel Cooke to transfer to trustees Winnick Farm in Northampton & Huntingdon. Samuel Cooke's signature witnessed by John Leach & William Leach of Great Bookham.
On the back of the first skin is an indenture dated 14/May/1839 between Theophilus Leigh Cooke, William Bishop, George Leigh Cooke and Ann. This tidies up following deaths of Richard Yates, James Forsythe, William Hay & Helen Hay. Acknowledges that some money given to George Leigh Cooke has not been replaced.
(MISC235A/1)
1815-Oct-23-a
Copy of above with the following notes on the back:
"Dated the 14th May 1839. Appointment of John Irving Glennie Esquire to be a Trustee in the room of Richard Yates and James Forsyth (both deceased) (Endorsed on 2nd skin)".
"Dated the 28th June 1847. Appointment of The Reverend Edward Philip Cooper to be a Trustee in the room of Theophilus Leigh Cooke and William Bishop (both deceased) (endorsed on third skin)".
"Dated the 25th July 1862. Appointment of the Revd. George Theophilus Cooke to be a Trustee in the room of John Irving Glennie (deceased) and Release to Edward Philip Cooper and Mrs. Ann Glennie (Executrix of John Irving Glennie deceased) of £2000 consols part of the Trust funds (Endorsed on fourth skin)".
"Dated the 29th May 1869. Appointment of the Reverend Samuel Hay Cooke and the Misses Caroline Cassandra Cooke and Julia Cooke to be new trustees (with the Revd. G. T. Cooke) to fill up vacancies caused by death and covenant of Indemnity (endorsed on fifth skin)". MISC235A/1
1816-Jun-24
On back: "Mrs Cassandra Austen and the Reverend Sam¹ Cooke and Cassandra his wife to The Rev²d Henry Jenkins", "Assignment of the Manor Rectory or Parsonage of Beckley in the County of Oxford and the messuages tithes advowsons and hereditis thereto appertaining on the trusts herein mentioned".
Indenture between: (i) Cassandra Austen of Chawton, Hants (widow and sole executrix of George Austen formerly of University of Oxford who was the surviving trustee named in the settlement hereinafter recited); (ii) Rev Samuel Cooke and Cassandra; (iii) Rev Henry Jenkins of Magdelen College.
Mentions indenture of 8/June/1668 between John Shillingford, otherwise Izard, of Beckley and Dame Mary Hatton, John Fountain Esq, Henry Wynn Esq & Sir John Coell, whereby JS assigned the moiety of the Manor and of the Rectory of Beckley.
Mentions indenture of 1/June/1670 in which John Izard assigned one moiety or half part of the Manor or Rectory of Beckley, then in the possession of his mother Dorothy Izard, to Francis Hall of Hadnock, in consideration of £1200, for 200 years from the death of Dorothy Izard under yearly rent of twelve pence if demanded.
Mentions that in Hilary term of 18,19 Charles II [1666 os: Hilary starts 20/Jan] Francis Hall obtained a judgment in the Court of Kings Bench against John Shillingford for sum of £400 debt and £3 costs and in Trinity term of 22 Charles II [1670] a further judgment for £3000 debt and £40 costs; in 1683 Francis Hall entered into a recognizance in the nature of a Statute Staple whereby he became bound to John Foster in the sum of £3000.
The said several terms of one thousand years and 200 years, the two judgments and the sums of £3000 and £400 secured by those judgments & said statute staple for £3000 became the property of Edward Bee.
The two several terms and the said recognizance in the nature of a statute staple were afterwards assigned by Edward Bee to Sir Edward Turner upon the trusts of an indenture of 2/Nov/1747 (subject to redemption by Edward Bee on payment of certain sums which were afterwards paid off and discharged, the said two judgments and the sums of money for which the same were had and obtained being assigned to Thomas Leigh of Harding, Oxon, upon the same trusts).
Mentions an 8-part indenture of 7/Oct/1762 between (i) Edward Bee; (ii) Sir Edward Turner; (iii) Thomas Leigh of Harding [i.e. Harpsden] and Jane his wife; (iv) Mary Waldo, spinster; (v) Theophilus Leigh DD of Oxford and Ann his wife; (vi) Mary Leigh of Oxford spinster; (vii) Thomas Leigh of University of Oxford (afterwards of Adlestrop); (viii) Edward Cooper DLL of University of Oxford and George Austen BD. This recited that a marriage was intended between Thomas Leigh and Mary Leigh and witnessed that Edward Bee & Edward Turner did assign to Edward Cooper & George Austen the two moieties or half parts of the Manor Rectory or Parsonage of Beckley etc. for the residue of the several terms of 1000 and 200 years upon trust to permit Thomas Leigh to receive rents and profits for his life and then Mary Leigh and then to hold in trust for their issue and if no issue upon trust for the execution of Thomas Leigh.
The said Thomas Leigh by his will of 21/Feb/1803 left all the Beckley estates to Cassandra Cooke (executors Elizabeth Leigh since deceased & James Henry Leigh) for the remainder of the several terms.
Thomas Leigh died on or about 6/June/1813 and Elizabeth Leigh and John Henry Leigh proved his will. Edward Cooper is now dead; George Austen is dead, leaving his wife as executrix.
This indenture witnesses that Cassandra Austen assigns the two moieties to Henry Jenkins upon trust.
(MISC235B)
1816-Jun-25
On back: "The Reverend Samuel Cooke and Cassandra his wife to The Revd William Oddie", "Feoffment with a covenant to levy a fine to the user within mentioned".
Indenture between: (i) Samuel Cooke and Cassandra his wife granddaughter & heiress at Law of Edward Bee heretofore of Beckley and afterwards of the City of Oxford & also heiress at law of her sister Mary the wife of Rev Thomas Leigh formerly of the same city and afterwards of Adlestrop which said Mary was coheir with Cassandra of their mother Ann wife of Theophilus Leigh which Anne was only child of Edward Bee; (ii) Rev Theophilus Leigh Cooke of Magdelen College BD, Rev George Leigh Cooke of University of Oxford, clerk, and Mary Cooke; (iii) Rev William Oddie of Headington, clerk; (iv) Rev Thomas Lowndes clerk of Magdelen College and Francis Morgan of Percy Street, St Pancras, Middlesex, Esq; (v) Rev John Johnson, Fellow of Magdelen, and Rev William Bishop, Fellow of Oriel.
"Witnesses that Samuel & Cassandra Cooke have granted enfeoffed to William Oddie All the Manor or Rectory of Beckley [etc] & his heirs upon trust and Samuel & Cassandra covenant with William Oddie that they will in the present Trinity Term or some subsequent term acknowledge & levy before His Majesty's Justices of the Court of Common Pleas at Westminster one or more fine or fines sur recognizance de droit".
After deaths of Samuel and Cassandra the property is to be passed on by [usual rules of primogeniture]. Thomas Roberson appointed trustee.
Also mentions property for use of Thomas Lowndes and Francis Morgan during lifetime of Samuel Cooke, Theophilus Leigh Cooke and George Leigh Cooke.
Note on back: "Be it remembered that on the Day and year first within written peaceable and quiet possession and full seisin of the Manor Rectory Advowson Messuages Lands Tenements and Hereditaments mentioned to be granted and enfeoffed to the within named William Oddie and his heirs were openly had and taken by the within named Thomas Roberson and by him in the name of and for
the within named Samuel Cooke delivered to the said William Oddie to hold the same unto the said William Oddie & his heirs to the uses upon the trusts and for the intents & purposes limited expressed or declared of and concerning the same by the within written indenture in the presence of us whose names are hereunto subscribed Henry Lewis of Beckley, Farmer William Auga [?] of Horton, Mason".
(MISC235A/2)
1816-Jun-25-a
Copy of previous.
(MISC235B)
1817-Nov-03
On back: "Delivered [?] by from & According to the form of the statute".
Final agreement made in the Court or our Sovereign Lord the King at Westminster on the morrow of All Souls in the 57th year of George III between William Oddie, clerk, and Samuel Cooke and Cassandra his wife. Beckley property granted to William Oddie on payment of £660. Property consists of "the Manor of Beckley with the appurts, And two Messuages, ten Cottages, two Dovehouses, four Barns, four Stables, twelve Gardens, six Orchards, one hundred acres of Land, thirty acres of Meadow, seventy acres of pasture, ten acres of Wood, two hundred acres of Furze Heath, five hundred acres of Moor, twenty acres of land covered with Water, common of pasture for all manner of Cattle, View of Frankpledge, Courts Leet, Courts Baron, Goods, Chattels of Felons, Felons of themselves, Fugitives, Estrays, Deodands, Customs, Franchises, Liberties, Privileges with the appurts in the parish of Beckley And of the Rectory of Beckley with the appurts And all manner of Tythes whatsoever to the s.d rectory belonging or appertaining And also the Advowson of the Church of Beckley".
(MISC235A/2; photocopy with RAC)
Note: see document 1816-Jun-25, which makes it clear that William Oddie has the property on trust.
1817-Nov-03-a
Copy of last document.
(MISC235B)
1818-Nov-14
Executors [whose?] assign land & malthouse to Elizabeth Shayer and Elizabeth Shayler her daughter.
(mentioned in 1838-Sep-29)
1819-Jun-07
On back: "Revd Samuel Cooke to Mr Richard Smith", "Mortgage by way of demise & assignment of messuas Lands & Heredits at Beckley for securing 500£ & Int".
Indenture between Rev Samuel Cooke and Richard Smith of Oxford, Printseller. £500 paid by RS to SC. Concerns 'freehold mesuage or Tenement with homestead and appurtenances formerly in occupation of James Morris late in occupation of Thomas Blake and now of James Blake plus orchards Also freehold Close piece of Land commonly called Oatmore Close of between four and five acres with same occupamcy Also messuage cottage or Tenement formerly in occupation of Joseph Ward and afterwards of Richard Fisher and now or late of John Budd'.
Mentions indentures of 9/Aug/1684 between John Izard & Thomas Izard, of 6/June/1692 between the same, and of 16/Sep/1766 between Thomas Leigh & William Ledwell.
5% interest (£12:10:00) to be paid on 7/Dec next; principle of £500 + £12:10:00 interest to be paid on 7/June next (1820).
Signed by S. Cooke; witnessed by Joseph Edw Simmons, schoolmaster, of Gt Bookham, and Edmund Prim [?], Grocer, of Gt Bookham.
(MISC235B)
1821-Mar-02
On back: "Earl of Abingdon to Mrs Cassandra Cooke Wd", "Grant of Right of Road from Beckley Parsonage to Lands on Otmoor".
Indenture between (i) Montague, Earl of Abingdon, Lord Norreys & Baron Rycote, Oxon, and (ii) Cassandra Cooke of the County of Oxford, Widow.
Mentions an Act of Parliament of 55 George III [1814-5] entitled 'An Act for dividing and draining a Moor called Otmoor in the County of Oxford'. Under that act Montague, as Lord of the Manor of Beckley, and Cassandra Cooke, as impropriator of the Rectory of Beckley, became entitled to allotments of land, which should be as close as possible to land already owned by them.
Mentions that the Commissioners had already sold a 14-acre piece of land called Moor Leys to Cassandra Cooke, or her son Reverend Theophilus Leigh Cooke on her behalf, and that she therefore had a right to a further allotment adjoining that, particularly since that would give her a convenient access from her lands in Beckley. Montague, however, also wanted this piece of land and proposed that, if Cassandra Cooke would consent to receiving an allotment more to the West, he would grant her right of road across his land. Cassandra Cooke agreed to this.
A marginal map shows the intended right of road and contains the following names: Otmoor Closes, Greenaway Corner, Greenaway Lane, Horse Hades, The Gully Pieces, Blind Dean, Sandy Yerds, Red Lands Furlong, Middle Furlong, Knowl Hill, Malthouse Hill, Lower Stert, Upper Stert, Common Mere, Wood Furlong, Beckley Field.
(MISC235B; photocopy of marginal map and transcript of agreement with RAC)
1821-Dec-12
Indenture between: (i) Janetta Cooke of New King Street, Bath, Spinster; (ii) Theophilus Leigh Cooke, John King Lethbridge & Robert Lethbridge. JC transfers £1600 in the 3% Consolidated Bank Annuities to TLC, JKL & RL in trust for herself during her life; if she dies without issue this to be divided between her two sisters & brother, Elizabeth (wife of Francis Edward Seymour), Sarah Cooke & John Cooke.
(recited in 1834-Jan-31)
1822-Jul-22
On back: "Mr Richard Carr to Rev Theophilus Leigh Cooke", "Feoffment of a Piece of land in Beckley".
Indenture between Richard Carr, Yeoman, of Beckley and Theophilus Leigh Cooke. Assignment to TLC, for £50, of a piece of land of one acre & one rood allocated to RC by Inclosure commissioners in lieu of RC's Right of Common, being part of Otmoor, bounded on East by allotment belonging to Earl of Abingdon, on North by allotment of Ralph Buller, and on South & West by allotment of TLC.
Signed by Richard Carr and witnessed by Henry Lewin and Richard Collett.
(MISC235B)
1822-Nov-13
Will of Stephen Davis who died same day. Appoints as executors Martha Roberson (wife of William Roberson), David Willam(son) Dean, John Archer and John Parker.
(mentioned in 1838-Sep-29)
1823-Nov-15
Indenture between: (i) Sarah Cooke, widow of Charles Cooke; (ii) Christopher Lethbridge & Theophilus Leigh Cooke; (iii) George Mackenzie. Theophilus Leigh Cooke appointed trustee of Sarah Cooke's marriage settlement in place of George Mackenzie who wishes to be discharged. Terms of trust restated for benefit of Sarah Cooke & her children.
(recited in 1837-Nov-06, qv)
1827-Mar-25
Will of William Fruin (date unknown) proved by Elizabeth Collett.
(mentioned in 1838-Sep-29)
1827-Oct-13
Marriage articles agreed between Elizabeth Shayler, John Collett & Thomas Mallam. Lease on property in Beckley assigned to Thomas Mallam upon trust.
(mentioned in 1838-Sep-29)
Grant by Inclosure Commissioner of land on Otmoor to Ralph Butler. (recited in 1865-Feb-08, qv)
Conveyance of waste land by the Commissioner of the Beckley Inclosure Act (Thomas James Tatham) to Theophilus Leigh Cooke for £2943. An attached map shows the location of the three pieces of land: (1) a triangular piece to the north of Beckley Common Road with the base line on the road opposite Folly Farm and Stow Wood, (2) a square piece to the West of the Roman Road running across Otmoor within the danger area of the rifle range, (3) a rectangular piece (part of 'Holland field') running NW to SE between the rifle range and West Hill Farm (names, except for 'Holland field', taken from the 1997 OS map). On the map 'The Grove', the house just South of the church, appears as 'Rectory'. A pencil note on the map reads: "The land mentioned in this deed in Holland field was exchanged with Lord Abingdon for land in Beckley at the inclosure". (MISC235A/1)
Note: the locations of the pieces of land were determined by comparing the map on the document with a modern OS map and are unlikely to be out by more than a few hundred metres or considerably less in the case of (1). The grid references for the centre of each piece of land thus located are SP 554 111, 570 139 and 581 128. A photocopy of the OS map with the pieces of land marked is with RAC.
Inclosure commissioners make awards to Theophilus Leigh Cooke. (recorded in 1844-Aug-01)
On back: "Mr William Louch to The Revd T. L. Cooke", "Assignment of Cottages & gardens at Beckley for the residue of long term of years".
Indenture between William Louch of Chieveley, Berks, Yeoman, and Theophilus Leigh Cooke of Beckley.
"Whereas John Louch late Butler of New College being possessed of several cottages & tenements gardens Ground & hereditaments at Beckley some part whereof he held for residue of 500 years granted by indenture of 22/Dec/1718 & the other part for unexpired term of 190 years granted in indenture of 1/Dec/1772 died in December 1830 with will of 4/May/1830 which bequeathed after some pecuniary legacies the residue of his estate to William Louch his brother in law (William Louch & William Perry of St Giles, now dead, executors)."
Indenture witnesses that William Louch has contracted with Theophilus Leigh Cooke for absolute sale to him of several leasehold cottages etc for £425.
Signed William Louch and TL Cooke.
Schedule: Five several Cottages with Gardens & Grounds, (i) one cottage or tenement with a piece of Garden ground & appurtenances now or late in occupation of William Scragg, (ii) one cottage etc in occupation of Catherine Jessops, (iii) one cottage etc in occupation of William Field, (iv) one cottage etc in occupation of Thomas Smith, (v) cottage or tenement with a Bakehouse & piece of Garden ground & appurtenances now or late in occupation of William Green. (MISC235B)
On back: "Messrs John Cooke & Francis Edward Seymour & Miss Sarah Cooke to Messrs Theophilus Leigh Cooke John King Lethbridge & Rob"th Lethbridge", "Release & Indemnity from the Trusts of an Indenture dated 12/December/1821".
Indenture between (i) (a) John Cooke of Scarne in Borough of Launceston in Cornwall, a Lieutenant in His Majesty's Royal Navy, (b) Francis Edward Seymour of Bampton, Devon, a Captain in the said Navy, (c) Sarah Cooke of the same place, spinster; (ii) (a) Reverend Theophilus Leigh Cooke of Bickley [sic], (b) John King Lethbridge of Tregeare in the Parish of Laneast, Cornwall, Esq., (c) Robert Lethbridge formerly of Number 8 Grays Inn Square, Middlesex, but now of New South Wales, Gent.
Mentions indenture of 12/Dec/1821 between Janetta Cooke (therein described as of New King Street in the city of Bath Spinster) of the one part and the said Theophilus Leigh Cooke, John King Lethbridge and Robert Lethbridge of the other. This recited that Janetta Cooke had then £1600 in the 3% Consolidated Bank Annuities & that she transferred this to the above on Trust for her benefit during life and, if she died without surviving issue, it was to be divided between her two sisters & brother, i.e. Elizabeth, wife of Francis Edward Seymour, Sarah Cooke & John Cooke.
Janetta Cooke died 27/July/1832.
Robert Lethbridge, having gone to reside beyond the seas, executed Power of Attorney to the other two trustees.
The trustees having sold stock and divided proceeds equally to Elizabeth Seymour, Sarah Cooke and John Cooke, the latter discharge them.
(MISC235B)
1836-Jan-30
On back: "Miss Eleanor Goodwin to Rev T. L. Cooke", "Release in respect of her share of the Trust funds under will of Mrs Trinder".
Indenture between Eleanor Goodwin of Rowley Green in parish of Henley, Herts, spinster, and Theophilus Leigh Cooke. Mentions Trust set up under will of Elizabeth Trinder with John Foster of Lincolns Inn and TLC.
(MISC235B)
1836-Sep-19
Marriage settlement for Mr Christopher Legge and Mrs Elizabeth Goodliffe. Mrs Elizabeth Goodliffe and Mrs Elizabeth Collett assign their leasehold interest in The Malthouse to trustees.
(memorandum on back of 1814-Apr-30)
1837-Nov-06
On back: "Francis Edward Seymour Esq and others to Rev Theophilus Leigh Cooke", "Release of all actions on account of certain monies vested in Theophilus Leigh Cooke as trustee".
Indenture between: (i) (a) Francis Edward Seymour of Bampton, Devon, a Captain in the Royal Navy, (b) Elizabeth, his wife, (c) Sarah Cooke of Heavitree near Exeter, (d) John Cooke of Scarne, Cornwall, a Lieutenant in the Royal Navy; (ii) Reverend Theophilus Leigh Cooke of Beckley.
Mentions indenture of 15/Nov/1823 between (i) Sarah Cooke, widow of Charles Cooke, (ii) Christopher Lethbridge and Theophilus Leigh Cooke, (iii) George Mackenzie.
This indenture mentions, in turn, indenture of 6/April/1812 between (i) Charles Cooke and (ii) Christopher Lethbridge and George Mackenzie. This indenture recited that: upon marriage of Charles Cooke and Sarah the sum of £1000 in the 3% reduced Bank annuities was transferred to Rev John Cooke & Christopher Lethbridge who were trustees for Charles & Sarah Cooke and their issue; in 1792 £1500 more of stock was transferred to said trustees; in 1796 £700 of 3% consolidated Bank annuities was transferred; in 1798 John Cooke died & John Gay Bret was made trustee; in 1803 £1800 more of Consolidated Bank Annuities was transferred to trustees; and in 1811 John Gay Brett died and Charles and Sarah Cooke appointed George Mackenzie trustee.
The indenture of 15/Nov/1823 mentioned that Sarah Cooke, having survived her husband, appointed Theophilus Leigh Cooke in room of George Mackenzie, who wished to be discharged, and restated terms of trust for benefit of her and her children.
Back to the present indenture: Christopher Lethbridge died on 15/Oct/1830 and Sarah Cooke on 5/May/1837, leaving Elizabeth, wife of Francis Edward Seymour, Sarah Cooke (party hereto) and John Cooke as her only surviving children, all of whom are over 21. The said trusts, on the death of Sarah Cooke, are fully executed; the assets of the tust have been paid over and the trustees discharged.
Signed, sealed and delivered by Sarah Cooke & John Cooke in presence of Charles Parrey [?] of Launceston; SS&D by Francis Edward Seymour & Elizabeth Seymour in presence of Thomas Langdon, Surgeon, of Bampton, Devon.
(MISC235B)
1838-Sep-29
On back: "Appointments and assignments of certain premises situate in Beckley".
Indenture between: (i) John Archer of Oxford, Brewer, and John Parker the elder of Botley, Berks, wheelwright (surviving executors of Stephen Davis of parish of St Aldate, Oxford, Boat Builder); (ii) Elizabeth Collett, wife of John Collett of Kings Road, Chelsea, Middlesex, Gent; (iii) The said John Collett; (iv) Thomas Mallam of Oxford, Auctioneer; (v) Rev Theophilus Leigh Cooke of Beckley, clerk.
In an indenture of demise of 17/May/1717 between Edward Bee and William Miles, EB, for a valuable consideration, did demise to WM a parcel of ground (c. ¾ acre) in Beckley abutting westward on the highway, northward upon a hill called Knole Hill, Eastward upon part of said hill and southward upon a Ley then in the possession of John Mortimer, all which said premises were then in the possession of Thomas Ledwell to hold for 500 years at a peppercorn rent if demanded.
At date of the indenture next hereinafter recited by divers mesne acts, events & assurances in the Law & ultimately by Letters of Administration on goods & chattels, rights & credits of Anthony Moore late of Garsington, Oxon, Blacksmith, the legal estate of & in the said parcel of ground was vested in Charles Moore of Horsepath, Oxon, Victualler.
At date of next recited indenture, by will of John Smith, the equitable estate was vested in Jonathan Cooper of Horsepath, yeoman.
By indenture of mortgage of 7/Aug/1804 [11/Aug/1804?] between Charles Moore, Jonathan Cooper and Stephen Davis, for £60 paid to JC by SD, JC & CM assigned the land to SD with proviso that it could be redeemed by payment of £60 plus interest.
By three indentures of 31/July/1805, 27/June/1812 and 27/June/1813, all between Jonathan Cooper and Stephen Davis, JC did charge the said piece of ground, & also the malthouse thereon erected, three several sums of £40, £23 and £57, making aggregate sum of £180.
By indenture of assignment of 30/April/1814 Jonathan Cooper assigned the land and malthouse to William Fruin, subject to payment of £180 to Stephen Davis.
Stephen Davis died 13/Nov/1822 with will of same date which appointed as executors Martha, wife of William Roberson, David Williamson Dean, by mistake called David William Dean, the said John Archer and John Parker.
Execution assigned land and malthouse to Elizabeth Collett (then Shayler) and Elizabeth Shayler her daughter on 14/Nov/1818.
William Fruin died 25/March/1827, his will being proved by Elizabeth Collett.
An indenture of covenant of 13/Oct/1827 between Elizabeth Collett, under her then description of Elizabeth Shayler, spinster, John Collett and Thomas Mallam, a part of the marriage articles between Elizabeth Shayler and John Collett, assigned property to Thomas Mallam upon trust.
Elizabeth Shayler the daughter married Thomas Hinckliff Goodliff of Ely and afterwards Christopher Legg of Ely. She died on 26 April now last, leaving said Elizabeth Collett her mother surviving her.
The said Elizabeth Collett has contracted with Theophilus Leigh Cooke for the absolute sale to him of the said piece of ground and other the premises comprised in the hereinfore recited indenture of 17/May/1717.
This indenture witnesses that for £330 the piece of ground and a close on Otmoor is assigned absolutely to Theophilus Leigh Cooke free of mortgage.
(MISC235A/2)
1839-May-14
Appointment of John Irving Glennie to be a trustee of the marriage settlement of George Leigh Cooke and Ann Hay in place of Richard Yates and James Forsyth (both deceased).
(on back of 1815-Oct-23-a)
1839-May-14-a
Indenture between Theophilus Leigh Cooke, William Bishop, George Leigh Cooke and Ann Cooke. Mentions deaths of Richard Yates, James Forsythe, William Hay and Helen Hay. Acknowledges that some money given to George Leigh Cooke has not been replaced.
(on back of 1815-Oct-23)
1841-Mar-19
On back: "Rev Geo Leigh Cooke to Governors of Queen Anne's Bounty", "Counterpart of Mortgage for securing the payment of £450 with interest".
Indenture between: (i) The Reverend George Leigh Cooke, Clerk, Rector of the Rectory and Parish Church of Wike Rissington, alias Wick Rissington, in the County of Gloucester and the Diocese of the Bishop of Gloucester and Bristol, and (ii) The Governors of the Bounty of Queen Anne for the Augmentation of the maintenance of Poor Clergy.
Loan of £450 for enlarging and repairing the Rectory at Wick Rissington on mortgage of Glebes etc of said living.
(MISC235B)
1844-Aug-01
On back: "Mr William Parker & Rev TL Cooke to Miss CC Cooke", "Transfer of Mortgage for securing £400 & interest".
Indenture between: (i) William Parker of Iffley, Gent; (ii) Rev Theophilus Leigh Cooke; (iii) Caroline Cassandra Cooke of Cubbington, Warks, spinster.
Mentions indenture of 7/June/1819 whereby Samuel Cooke mortgaged property to Richard South for £500. Mentions indenture of Lease and Release of 2 & 3/Sep/1806.
Samuel Cooke died April 1820; Richard Smith died February 1823; Cassandra Cooke died October 1826.
On 29/Jan/1831 Inclosure Commissioners awarded Theophilus Leigh Cooke 4 acres in common fields of Beckley (allotment number 40) situate in the Lower Field in Beckley, bounded on East by allotments to Curate of Beckley, on South by an allotment to Curate of Beckley and an allotment to the Earl of Abingdon awarded in exchange to TLC, on West by an allotment to TLC, and on North by an ancient lifehold inclosure of Richard Carr awarded in exchange to TLC.
£400 of mortgage outstanding to William Parker, an executor of Richard Smith, TLC having paid off £100. In consideration of £100 paid by TLC & £400 paid by CCC to WP, TLC is discharged, and, in consideration of 10/- and at direction of TLC, property is assigned to CCC.
Signed, sealed and delivered by Caroline Cassandra Cooke in presence of Charles Coates [?] of Beckley.
(MISC235B)
1846-Jul-30
On back: "Rev George Leigh Cooke to Mr George White", "Lease of Wyatts in parish of Salcombe for 7 years from 29/Sep/1845", "Rent £60".
Tripartite indenture between George Leigh Cooke of Cubbington, George White the younger of Salcombe, Devon, yeoman, and George White the elder of Salcombe, Devon, yeoman. Lease on "All that messuage tenement farm & lands called Wyatts (31 acres)". Schedule attached.
(MISC235B)
1847-Jun-28
Appointment of Rev. Edward Philip Cooper to be a trustee of the marriage settlement of George Leigh Cooke and Ann Hay in place of Theophilus Leigh Cooke and William Bishop (both deceased).
(on back of 1815-Oct-23-a)
1848-Aug-15
On back: "The Commissioner of her Majesties Woods @l to Rev. George Leigh Cooke", "Grant of a piece of land on Freeboard part of the Crown's Stowood Estate in parish of Stowood".
Indenture between: (i) The Queens Most Excellent Majesty; (ii) (a) Right Hon George William Frederick Howard, commonly called Viscount Morpeth; (b) Alexander Milne Esq; (c) Hon Charles Alexander Gore and The Commissioners of Her Majesties Woods, Forests, Land, Revenues, Works and Buildings; (iii) Rev George Leigh Cooke of Cubbington.
Mentions Act passed in 7/8 George IV, "An act for enclosing land in the Parish of Beckley", and an award of 29/Jan/1831 to Theophilus Leigh Cooke.
Mentions death of Theophilus Leigh Cooke in October 1846 having left everything to George Leigh Cooke.
"Whereas the piece of land intended to be granted was by mistake withheld not being situate in Parish of Beckley but forming part of an estate called Stowood in the Parish of Stowood belonging to Her Majesty." This land is now transferred to George Leigh Cooke for £28.
(MISC235B)
1854-Apr-27
On back: "Revd H. Cooke to Mr James Champion", "Mortgage in Fee of a Farm in Winnick & Old Weston in Counties of Northampton and Huntingdon or one of them for securing £300 & Interest".
Indenture between Rev Samuel Hay Cooke, Perpetual Curate of Bensington, Oxon, and James Champion of Nettlebed, Oxon, Auctioneer.
"Whereas by indentures of Lease & Release dated 22 & 23/Oct/1815 (being a settlement made previous to marriage of George Leigh Cooke with Miss Ann Hay) the hereditaments hereinafter mentioned were limited to use of George Leigh Cooke and then to Ann Cooke".
And whereas George Leigh Cooke bequeathed to Samuel Hay Cooke, after his wife's decease, his two little Estates, one in Salcombe near Sidmouth, the other in Winnick (Wennech in will) and Old Weston, Northants.
George Leigh Cooke died 29/March/1853.
"Samuel Hay Cooke has occasion for £300 & has requested James Champion to lend him same on security of these".
(MISC235B)
1857-Feb-19
Appointment of Inclosure commissioners under Local Act of Parliament of 55 George III [25/Oct/1814–24/Oct/1815] for the draining and allotting of Otmoor.
Act enacted that seven trustees, being respectively possessed of 100 acres in Parishes of Beckley, Noke, Oddington & Charlton should be appointed.
An assistant commissioner, Nathan Wetherell Esq, held a meeting at the Crown Inn in Charlton on 3/Feb instant for purpose of hearing objections.
We, Inclosure Commissioners for England & Wales, direct that five trustees be appointed.
(MISC235B)
1858-Sep-11
Lease of Grove Farm (505 acres) by Anne Cooke of Beckley to William Parrott of Holton Warren, Oxon, Farmer, at a yearly rent of £450, until ended by two years' notice. Robert Parrott of Claydon, Bucks, Farmer, is also a party to the agreement. A new Farm House and outbuildings is to be built by the lessor by the end of 1859 and maintained by the lessee.
Signed by Anne Cooke, William Parrott, Robert Parrott; witnessed by Edwd Franklin. Name on front (John M. Davenport) is presumably the solicitor.
A schedule of the farm is attached and mentions: Part of Common (pasture, 13 acres); Part of Ditto (Arable, 9 acres); Bulfords Piece (arable, 11 acres); Upper Field (arable, 49 acres); In Ditto (arable, 5 acres); The Parks (arable, 7 acres); Seed Hill (pasture, 7 acres); West End (pasture, 8 acres); West End (arable, 16 acres); Long Stert (meadow, 12 acres); Greenaway Close (meadow, 3 acres); Greenaway Otmoor (meadow, 47 acres); Cowhouse Ground Otmoor (meadow, 70 acres); Pill Ground Otmoor (meadow, 39 acres); Horse Ground Otmoor (meadow, 26 acres); Moor Leys (pasture, 15 acres); Otmoor Closes (pasture, 17 acres); Church Ground (arable, 16 acres); Little Church Ground (arable, 8 acres); Great Ground with Cottage, Garden, Yard and Farm Homestead (arable, 30 acres); Great Slade Ground (arable, 24 acres); Slade Ground (meadow, 14 acres); Home Close (pasture, 10 acres); Little Orchard (orchard, 10 acres); Malthouse Orchard (orchard, 1 acre); Farm House and Buildings (orchard, 1 acre); Gulley Ground (pasture, 17 acres); Otmoor late Steele (pasture, 24 acres). There are many later amendments, notes and crossings out on this schedule.
(MISC235A/1; photocopy with RAC)
Note: The new farm house is probably the present Nokewood House, which seems to date from about this time.
1859-May-25
On back: "Mrs Ann Cooke & Rev Samuel Hay Cooke to Rev George T Cooke", "Conveyance of piece of freehold ground at Otmoor".
Sale, for £20 paid to Samuel Hay & £25 paid to Ann Cooke, of piece of Meadow ground containing 10 acres situate in Otmoor, being part of piece of land of 37 acres awarded at Lot 155 to Rev Theophilus Leigh Cooke by the enclosure commissioner; land is bounded on East by a certain Road called the Roman Road.
Signed by Ann Cooke in presence of Charles Lukey Cooke, Schoolmaster, Beckley; signed by Samuel Hay in presence of Thomas Walmsley, Collector, Great Budworth, Cheshire. (MISC235B)
1862-Jul-25
Appointment of Rev. George Theophilus Cooke to be a trustee of the marriage settlement of George Leigh Cooke and Ann Hay in place of John Irving Glennie (deceased). Release to Edward Philip Cooper and Mrs Ann Glennie (executrix of John Irving Glennie) of £2000 consols, part of the trust funds. (on back of 1815-Oct-23-a)
1865-Feb-08
On back: "Miss Martha and Amy Butler to Mrs Anne Cooke and others", "Conveyance of land at Otmoor in exchange for land at Beckley".
Indenture between: (i) Martha and Amy Butler, both of Merton Terrace, Cowley, spinsters; (ii) Anne Cooke of Beckley, widow; (iii) Rev Samuel Hay Cooke of Great Budworth, Cheshire; (iv) Rev George Theophilus Cooke of Beckley; (v) Helen Anne Cooke, Caroline Cassandra Cooke & Julia Cooke, all of Beckley.
By an indenture of 12/Oct/1721 between Edward Bee and Robert Sutton of University of Oxford, barber, EB leased a messuage called the New Inn with garden adjoining (c. 1 acre) for 500 years for a peppercorn rent. By various assignments these premises came to Ralph Butler.
By an award of 15/Apr/1829 the inclosure commissioners granted Ralph Butler, in respect of his Copyhold Estate held under the Improperite Rectory of Beckley, one piece of Copyhold land (numbered 13 on the map annexed to the said award). This consisted of about 1 acre & 3 roods & 16 perches, bounded on North by allotment to William Frewin, on the East by an allotment to the Earl of Abingdon, on the South by an allotment to Theophilus Leigh Cooke purchased of Thomas Betts, and on West by an allotment to Theophilus Leigh Cooke in respect of his improperite glebe.
Various wills recited. The said land now assigned to Anne Cooke after purchase from Martha and Amy Butler. (MISC235B)
1869-May-29
Appointment of Rev. Samuel Hay Cooke, Caroline Cassandra Cooke and Julia Cooke to be trustees (with Rev. George Theophilus Cooke) of the marriage settlement of George Leigh Cooke and Ann Hay to fill up vacancies caused by deaths. Covenant of indemnity. (on back of 1815-Oct-23-a)
1907-Oct-xx
Executors' account for estate of Miss Caroline Cassandra Cooke. Total: £11704:5:6 (including dividends of £201 from estates of G. T. Cooke & H. A. Cooke). Funeral expenses: £35:1:0; Estate Duty & Probate fees: £533:3:5; Succession Duty on leasehold house: £29:15:0. Legacies to Rev. William Cooke & Rev. E. L. Wise (£19:19:0 each), and to Rev. William Cooke, G. H. Cooke, S. A. Cooke, Mrs. Mocatta's trustees, Mrs. Cave's trustees, Mrs. Beachcroft (£1817:18:4 each in money and stock).
(MISC235A/1; photocopy with RAC)
Note: undated: Caroline Cassandra Cooke died in October 1907.
1918-May-xx
The Rev. L. S. Tuckwell in account with the beneficiaries under the will of the Rev. George Theophilus Cooke deceased. Receipts & payments for April & May 1918. Mentions sale of Oxford Canal Navigation shares, New Zealand stock, etc. Mentions payments to executors of Julia Cooke, 10 acres of land at Otmoor plus £548 to G. H. Cooke and £633 each to S. A. Cooke, W. Cooke, Mrs. Mocatta, Mrs. Cave and Mrs. Beachcroft.
(MISC235A/1; photocopy with RAC)
Note: Julia Cooke died in January 1918, the last of George Theophilus Cooke's siblings.
Undated-01
Pedigree of Cookes of Goring and Hearne from the mss of the College of Arms.
(MISC235B; photocopy with RAC)
Documents Relating to Property in Devon
See notes at start of previous section.
1622-xxx-xx
Indenture between Joseph Ham of Branscombe and others. Unsigned and undated. (MISC235A/3)
1664-Oct-15
Indenture between William Lord Petre of Writtle and John Ham of Branscombe, Devon, yeoman. Leasing of property in Shute for £330. (MISC235A/3)
1679-Oct-04
Indenture between William Lord Petre and Joseph Ham of Branscombe concerning lease of property in Shute, Devon. (MISC235A/3)
Note: 4th Baron Petre (1626-1683).
1710-Mar-20
Indenture between Robert Lord Petre of Writtle, Essex, and Joseph Ham of Branscombe, Devon. (MISC235A/3)
Note: 7th Baron Petre (1690-1713) (Burke).
1710-Mar-20-a
On back: "Branscombe Devon 1710", "Mr Joseph Lease for messuage, Lands & Farmlands". Indenture between Robert Lord Petre of Writtle, Essex, and Joseph Ham of Branscombe, Devon. Lease on property in Branscombe. (MISC235A/3)
Note: Probably a copy of the previous item.
1714-Jan-29
Indenture between William Hoor (signed Hoore) of Shute, William Downing of Dallwood, Dorsett, and Francis Smith of Shute, all yeoman. Mentions indenture of 30/Aug/1707(?). Leasing of property. (MISC235A/3)
1717-Mar-10
Indenture between Nicholas Broughton of Shute & George Broughton of first part and William Hallet concerning property in Shute. (MISC235A/3)
1718-May-14
Indenture between William Hallet of Thornecomb, Devon, and John Gillett of Axminster, clothier. Mentions Nicholas Broughton of Shute, Georger Broughton of Shute, John Croot of Honiton. Mentions a court case between William Hallett & Charles Broughton. Lease of land in Shute to John Gillett. (MISC235A/3)
1718-May-17
Tripartite indenture between Robert Abdy, Thomas Clifton & Lord Petre. (mentioned in 1723-Jun-20)
1718-Dec-08
Indenture between John Gillett of Hemister [?], Devon, clothyer and John Haynes of Uplyme concerning property in Shute.
(MISC235A/3)
Note: other documents (1718-May-14, 1723-Jun-20) associate John Gillett with Axminster. 'Hemister' is perhaps a misreading – I can find no record of such a place name.
1722-Mar-15
Indenture between William Hoor of Shute, Devon, and Joseph Ham of Branscombe, Devon, concerning sale of property in Shute.
(MISC235A/3)
1722-Mar-15-a
Indenture between: (i) William Hoor of Shute, Devon, yeoman and Greta his wife and (ii) Joseph Ham of Branscombe. Concerns property in Shute.
(MISC235A/3)
1723-Jun-20
Indenture between John Gillett of Axminster, Devon, clothier, and John Bond of Yarcombe, Devon, clothier. Mentions indenture tripartite of 17/May/1718 between Robert Abdy, Thomas Clifton, Lord Petre. Lease of property in Shute.
(MISC235A/3)
1723-Sep-28
Indenture between: (i) John Haynes [?] of Uplyme, Devon, yeoman, and Richard Gillett of [?] Dorset, Tanner; (II) Philip Gillett of Shute and Susannah his wife; (iii) Daniell Bugg [?] of [?] Dorset. Concerns payment of debt & annuities.
(MISC235B)
1727-Mar-24
Indenture between Hannah Smith and Richard Gillett and others. No places or names recognized.
(MISC235A/3)
1727-xxx-xx
Indenture between John Ham and Benedictus Marwood.
(mentioned in 1738-Mar-24)
1732-Oct-16
Indenture between Sir Robert Abdy of Essex and Thomas Clifton of Lytham Lancaster of the first part and others. Mentions indenture of July 1712 (?). Lease of property in Shute, Devon.
(MISC235A/3)
1735-Sep-04
Indenture between (i) Robert James Lord Petre & Anne his wife, (ii) Catherine Lady Petre (mother of James), Sir Edward South Knt, and John Caryll Esq, (iii) Sir John Webb Bart, (iv) Henry Duke of Beaufort & Richard Earl of Scarborough, (v) Thomas Lord Viscount Fantouberg, Henry Lord Teynham, John Webb Esq and William Andrew Esq, (vi) said Sir Edward Smyth (then Edward Smyth Esq) and Thomas Branston.
(mentioned in 1751-Dec-04)
1735-Sep-10
6-part indenture between Robert James, Lord Petre, his mother, Sir Edward Southrott and others. A marriage settlement.
(mentioned in 1753-Jan-19)
1738-Mar-23
Indenture between Joseph Ham and Sarah Wyatt. Sale of a cottage in Shute to Sarah Wyatt for five shillings.
(MISC235A/3)
1738-Mar-24
Seven part indenture between: (i) Benedictus Marwood of Hornshay, Devon; (ii) Samuel Loaring of Hawk-Church, Dorsett, clothier; (iii) Abraham Ash of Branscombe, Devon, Gent and William
Carter of Sidmouth, Devon, Gent (administrator of estate of John Ham of Sidmouth); (iv) Mary Ham (widow & relict of said John Ham); (v) Joseph Ham (brother & heir of said John Ham); (vi) Sarah Wyatt of Sidmouth, widow; (vii) Thomas Southrott of Ottery St. Mary, Gent. Mentions indenture of 1727 between John Ham & Benedictus Marwood. Concerns John Ham's property in Shute.
1738-Mar-24-a
On back: "Release of a cottage promised in Shute". Indenture between (i) Joseph Ham of Branscombe, Devon, Gent, only brother & heir of John Ham, late of Sidmouth, Gent, and (ii) Sarah Wyatt of Sidmouth, widow, sister of Joseph Ham. Grant of a cottage in Shute and attached land to Sarah Wyatt. See 1738-Mar-23 for lease.
1751-Dec-04
Indenture between: (i) Sir Edward Smyth of Hill Hall, Essex, Bart, and Thomas Brampton of Shreens, Essex, Esq; (ii) George Cooke of Sidmouth, Devon, clerk; (iii) Robert Edward, Lord Petre, Baron of Writtle (only son and heir of Robert James, late Lord Petre).
Mentions indenture of 4/Sep/1735 between (i) Robert James Lord Petre & Anne his wife, (ii) Catherine Lady Petre (mother of James), Sir Edward South Knt, and John Caryll Esq, (iii) Sir John Webb Bart, (iv) Henry Duke of Beaufort & Richard Earl of Scarborough, (v) Thomas Lord Viscount Fantouberg, Henry Lord Teynham, John Webb Esq and William Andrew Esq, (vi) said Sir Edward Smyth (then Edward Smyth Esq) and Thomas Branston.
99-year lease granted by Sir Edward Smyth & Thomas Branston (trustees) to George Cooke, on payment £290 fine, of tenement called Littlecombe with all houses Buildings Lands Meadows Pastures (in all 140 acres) and all the messuage or tenement called Coxes with Garderns Orchards & Lands (4½ acres) from immediately after the death of William Wheaton. Rent £4/15/6.
1753-Jan-19
Tripartite indenture between: I) Sir Edward Smyth of Hill Hall, Essex, and Thomas Bramston, Sussex; (ii) George Cooke of Sidmouth, Devon, clerk; (iii) Robert Edward Lord Petre Baron of Writtle an infant (only son & heir of Robert James late Lord Petre). Mentions 6-part indenture of 10/Sep/1735 between Robert James Lord Petre, his mother, Sir Edward Southrott, and others, a marriage settlement giving authority for the following. Leasing of Manor of Shute to George Cooke for £70.
Note: 9th baron (1742-1801).
1753-Jan-19-a
Notes on back: "Shute 1753", "The Lord Petre Trustees to Mr George Cooke", "Lease in Rev" for 1 Life of A Tenement abt 22 acres Fine £35", "Rent 15£ Hort A Best Beast or £2:13:4".
Declaration on back: "I the within named George Cooke do declare that the fine paid for the purchase of this lease was paid out of my wife's separate Estate and that I am a Trustee in respect thereof for the purpose Expressed in our marriage settlement"; note dated 19 February 1754, signed George Cooke, witnessed by Mary Scott.
Indenture between: (i) Sir Edward Smyth of Hill Hall, Essex, Bart, and Thomas Branston of Shreens [?], Essex, Esq [cf. previous document]; (ii) George Cooke of Sidmouth, Devon, clerk; (iii) Robert Edward, Lord Petre, Baron of Writtle, an infant (only son & heir of Robert James).
Lease of tenement with houses, outhouses, etc (22 acres) in Parish and Manor of Shute & now in possession of George Cooke, from deaths of Nicholas Broughton & William Hodges, for 99 years on life of Joseph Leaf.
1754-Feb-19
Declaration by George Cooke re money paid from his wife's estate.
For a few later documents relating to Devon, see the previous section.
Entries and notes in italics are from sources other than the documents. BPR indicates Beckley Parish Registers. Much of the information on the more remote Leigh and Austen relatives is from Deirdre Le Faye's edition of Jane Austen's letters and Claire Tomalin's biography.
Abdy, Sir Robert (of Essex)
1718-May-17 (Devon): indenture with Lord Petre & Thomas Clifton
1732-Oct-16 (Devon): lease of property in Shute
Abingdon, Earl of
see Montague
Allen, Emanuel (of Oddington, Glos, yeoman)
1717-Jan-17: property at Broadwell
Andrew, William (Esq)
1735-Sep-04 (Devon): party to six-part indenture with Lord Petre et al
Ange, John (of Vintners Hall, London, Gent)
1690-Jun-19: possibly mentioned in this Latin document
1702-Sep-07: assigned Manor of Beckley with Philip Pledger as trustee
1708-Jan-08: with his wife & others sells interest in Beckley estate
Ange, Mary (dau of John Foster (I), wife of John Ange)
1687-Apr-08: beneficiary under will of John Foster (II) and executrix
1702-Sep-07: party to assignment of Manor of Beckley to John Ange with Philip Pledger as trustee
1708-Jan-08: as executrix of estate of John Foster (II) sells interest in Beckley estate
Archer, John (of Oxford, brewer)
1822-Nov-13: appointed executor of Stephen Davis
1838-Sep-29: executor of Stephen Davis; assigns property in Beckley to Theophilus Leigh Cooke
Arnold, Sammy (nephew of Cassandra Wight; grandson of Dr. Waldo & Emma, sister of Theophilus Leigh)
1775-Jul-19: legatee under codicil to Cassandra Wight's will (his great aunt)
Arnold, Cassandra (niece of Cassandra Wight, granddaughter of Dr. Waldo and Emma)
1775-Jul-19: legatee under codicil to Cassandra Wight's will (her great aunt)
Ash, Abraham (of Branscombe, Devon, Gent)
1738-Mar-24 (Devon): concerning John Ham's property in Shute
Ashfield, Robert (of St Mary Magdelen, Oxford, later of Beckley, Esq)
1785-Feb-14: takes lease on property in Beckley subject to the right of Elizabeth Price to live there
1802-May-12: assigns leasehold premises at Beckley to John Mackanness
Auga [?], William (of Horton, mason)
1816-Jun-25: witness to assignment of Beckley estate to William Oddie
Austen, Cassandra (of Chawton, daughter of Thomas Leigh of Harpsden, wife of George Austen)
1757-Apr-11: as Cassandra Leigh [aged c 18] witnesses Mary Waldo's signature
1765-Jul-09: legatee in codicil to Cassandra Wight's will
1816-Jun-24: assignment of Beckley estate to Rev Henry Jenkins in trust for Cassandra Cooke
Austen, George (Bachelor of Divinity, formerly of University of Oxford, father of Jane, novelist)
1762-Oct-07: Sir Edward Turner assigns Beckley to Edward Cooper & George Austen upon trust
1816-Jun-24: Cassandra Austen mentioned as his executor
Baggs, Deborah
1687-Apr-08: witness to will of John Foster (II)
Baggs, Giles
1687-Apr-08: witness to will of John Foster (II)
Bailey, Catherine (of Great Bookham, widow of John Bailey)
1807-Oct-06: Deed of Covenant between her & her son, Hugh Bailey
Bailey, John (grocer)
1807-Oct-06: Deed of Covenant between his widow & son, Hugh Bailey
Bailey, Hugh (grocer, only child & heir of John Bailey)
1807-Oct-06: Deed of Covenant between him & his mother, Catherine Bailey
Baker (? at law)
1806-Sep-02: witnesses John Mackaness' signature on sale of messuage to Samuel Cooke
Baldwin, Triamer (of St. Martin in the Fields, Gent)
1710-Apr-26: Duke of Bedford assigns Manor & Rectory of Beckley to Edward Bee
1710-xxx-xx: indenture with Duke of Bedford & Edward Bee
1729-Sep-01: his executor party to sale of judgement against John Izard
1729-Dec-01: his executor a party to mortgage of Beckley estates to Francis Seely
Barker, John (of Broadwell, Gent)
1717-Jan-17: property at Broadwell (his widow, Katherine)
Barker, Katherine (widow of John Barker)
1717-Jan-17: property at Broadwell
Baylis, Elizabeth (of Elsfield, spinster)
1801-Mar-28: party to assignment of messuage in Beckley to John Louch
Beachcroft, Mrs (née Cooke)
1907-Oct-xx: legacy from Caroline Cassandra Cooke
1918-May-xx: beneficiary under will of Rev George Theophilus Cooke
Beale, John
1749-Dec-23: witnesses Edward Bee's signature in lease to Robert Carr of messuage with garden
Beaufort, Henry, Duke of
1735-Sep-04 (Devon): party to six-part indenture with Lord Petre et al
Bedford, Duke of
see Russell
Bee, Anne (I)
1762-Oct-07-a: witnesses Edward Bee's signature
Bee, Ann(e) (II)
see Leigh, Anne
Bee, Edward (citizen and painter-stainer\(^1\) of London, later of Beckley, Gent, later of Oxford)
1710-Apr-26: assigned Manor & Rectory of Beckley by Duke of Bedford & others
1710-Apr-26-a: assignment of Manor & Rectory of Beckley to Edward Bee
1710-xxx-xx: indenture with Duke of Bedford & Triamer Baldwin
1717-May-17: leases property in Beckley to William Miles
1718-Dec-24: leases messuage in Beckley to Joseph Hicat (?Kicatt, Pieat?)
1720-Nov-10-a: renews Richard Huggins lease on mesuage in Beckley
1721-Oct-12: leases messuage with garden, the New Inn, to Robert Sutton for 500 years
1722-Sep-01: leases property in Beckley to Thomas Bullford
1722-Dec-01: leases property in Beckley to Thomas Bullford
1723-Oct-24: leases mesuage & garden to Thomas White
1723-Nov-14: leases land in Beckley to Edward White
1724-Sep-02: leases a piece of ground in Beckley to John Gomm
1724-Feb-20: re-leases piece of ground to Robert Carr
1725-Dec-02: renewal of lease to Thomas Busby
1728-xxx-xx: marriage settlement for Anne Bee and Theophilus Leigh
1729-Sep-01: sells judgement against John Izard with right to buy back
1729-Dec-01: mortgage of Beckley estates to Francis Seely
1731-Nov-13: leases land in Beckley to John Gomm
1732-Jul-22: renews lease (1724-Feb-20) of property in Beckley to Robert Carr
1738-Oct-13: renewal of John Gomm's lease
1746-Feb-13: half of indenture between Edward Bee & Lewis Pryse
1746-Feb-14: assigns Beckley estate to Lewis Pryse redeemable on 15 Aug next
1747-Nov-02: party to conveyance of Broadwell Rectory to Drs Walker & Musgrave
1749-Dec-23: leases messuage with garden to Robert Carr
1749-Mar-01: with Lewis Pryse leases Manor of Beckley to Mary Waldo for 1 year at 5 shillings
1749-Mar-02: with Lewis Pryse mortgages Beckley estate to Mary Waldo for £370 paid to LP
1756-Jan-31: leases property to Richard Busby
1756-Jan-31-a: leases property to Richard Busby (counterpart of previous)
1758-Jan-21: leases messuage in poss of Elizabeth Busby to Thomas Busby & James Lamball
1759-Jun-14: payment of £370 to Mary Waldo out of Beckley Trust funds
1760-Sep-15: leases ground at Beckley to William Ledwell on three lives
1761-Apr-04: leases messuages in Beckley to John Gomm
1761-Jun-24: property leased to Robert Carr
1761-Jun-24-a: mentioned in attached note (to be replaced by Rev Thomas Leigh)
1761-Dec-16: lease of piece of ground at Beckley Common to William Ledwell
1761-Dec-16-a: lease of piece of ground at Beckley Common to William Ledwell
1762-Oct-07: Sir Edward Turner assigns Beckley to Edward Cooper & George Austen upon trust
1762-Oct-07-a: annuities settled on Cassandra Leigh conditionally
1762-Oct-07-b: bond indemnifying Sir Edward Turner
1762-Oct-16: renews John Gomm's lease on messuages in Beckley
\(^1\) Although in the documents of 1710 and 1746 Edward Bee is described as a painter-stainer, Cassandra Cooke in her history calls him a silk merchant.
Index of Personal Names.
1816-Jun-25: mentioned as grandfather of Cassandra Cooke, his heiress at law
Bee, Mary (wife of Edward Bee)
1747-Nov-02: mentioned as dead (conveyance of Broadwell Rectory to Drs Walker & Musgrave)
Berington, Ann (of Hereford)
1768-Jun-11: her will mentioned in marriage settlement of Samuel Cooke and Cassandra Leigh
1772-Mar-02: bequest to Cassandra Cooke mentioned
Betts, Thomas (of St Giles, servant)
1775-Jul-20-a: later note says that Betts bought lease of messuage in Beckley off John Carter
1782-May-24: buys lease on messuage & shop in Beckley from John Carter for £70
1829-Apr-15: inclosure allotment mentioned to locate land granted to Ralph Butler
Bishop, Eliz
1775-Jul-19: witness to codicil to Cassandra Wight's will
Bishop, Rev William (Fellow of Oriel College)
1815-Oct-23: trustee to marriage settlement of George Leigh Cooke and Anne Hay
1816-Jun-25: party to assignment of Beckley estate to William Oddie upon trust
1839-May-14-a: update to George Leigh Cooke's marriage settlement
1847-Jun-28: death mentioned in update to George Leigh Cooke's marriage settlement
Blake, James
1819-Jun-07: mentioned as current occupier of messuage in Beckley mortgaged by Samuel Cooke
Blake, Thomas
1806-Sep-02: mentioned as current occupier of messuage in Beckley assigned to Samuel Cooke
1819-Jun-07: previous occupier of messuage in Beckley mortgaged by Samuel Cooke
Bond, John (of Yarcombe, Devon, clothier)
1723-Jun-20 (Devon): lease on property in Shute
Boteler, William (of Biddenham, Beds, Esq)
1680-Jan-18: assignment of manors of Beckley & Charlton-upon-Otmoor to Gregory Geering
Bradshaw, John (the younger, of Evenlode [?], Worcs)
1717-Jan-17: property at Broadwell
Brampton, Thomas (of Shreens, Essex, Esq)
see Branston, Thomas
Branston, Thomas (or Brampton, of Shreens, Essex, Esq, later of Sussex)
1735-Sep-04 (Devon): party to six-part indenture with Lord Petre et al
1751-Dec-04 (Devon): lease of tenements (Littlecomb & Coxes) to George Cooke
1753-Jan-19 (Devon): as trustee for Lord Petre leases Manor of Shute to George Cooke
1753-Jan-19-a (Devon): trustee for Lord Petre leases property in Manor of Shute to George Cooke
Brett, John Gay
1812-Apr-06: mentioned as trustee of Charles & Sarah Cooke's marriage settlement (1798-1811)
Broughton, Charles
1718-May-14 (Devon): court case with William Hallet mentioned in lease on land in Shute
Broughton, George
1717-Mar-10 (Devon): indenture with William Hallet re property in Shute
1718-May-14 (Devon): lease of land in Shute to John Gillett by William Hallet
Broughton, Nicholas (of Shute)
1717-Mar-10 (Devon): indenture with William Hallet re property in Shute
1718-May-14 (Devon): lease of land in Shute to John Gillett by William Hallet
1753-Jan-19-a (Devon): mentioned in lease of property in Manor of Shute to George Cooke
Buck, Thomas (of Westwick, Cambs, Esq)
1680-Jan-18: executor of Dame Mary Hatton (assignment of manor of Beckley etc)
Budd, John
1806-Sep-02: mentioned as current occupier of messuage in Beckley assigned to Samuel Cooke
1819-Jun-07: mentioned as current occupier of messuage in Beckley mortgaged by Samuel Cooke
Bugg [?], Daniell (of ?, Dorset)
1723-Sep-28 (Devon): party to indenture concerning payment of debt & annuities
Buller, Ralph (probably = Butler, q.v.)
1822-Jul-22: land on Otmoor mentioned to locate land sold to Theophilus Leigh Cooke
Bullford, Thomas (of Beckley, labourer)
1722-Sep-01: leases property in Beckley from Edward Bee for 195 years
1722-Dec-01: takes lease on property in Beckley from Edward Bee
1736-May-20: assigns lease (1722-Dec-01) to Matthew Wiatt
Bunting, Charles
1803-May-04: witnesses lease of cottage in Beckley to Thomas Busby
Burt, Catharine (or Katherine, née Price)
1756-Nov-07: inherits property in Blakesly under Sarah Price's will and named as executrix
1785-Feb-02: beneficiary under William Price's will (date is that of probate certificate)
Burt, John (son of Catharine Burt), nephew of Sarah Price)
1756-Nov-07: as a minor inherits £100 under Sarah Price's will
Burt, ? (father of John Burt)
1756-Nov-07: mentioned but not named in Sarah Price's will
Busby, Benjamin
1758-Jan-21: life (9) listed in lease of messuage to Thomas Busby (II) & James Lamball
1764-Oct-08: life listed in lease of property to Thomas Busby & James Lamball
1803-May-04: right to live in cottage at Beckley
Busby, Elizabeth (wife of Thomas (I))
1725-Dec-02: life listed in renewal of lease to Thomas Busby (I)
1756-Jan-31: live listed in lease of property to Richard Busby
1756-Jan-31-a: counterpart of above
1758-Jan-21: mentioned as possessing property leased to Thomas Busby & James Lamball
1763-Jul-19: burial of Busby, 'The widow' (BPR, note new lease of 1764-Oct-08)
Busby, Richard (of Islip, yeoman, son of Thomas (I))
1725-Dec-02: life listed in renewal of lease to Thomas Busby (I)
1756-Jan-31: leases property for lives of himself, Thomas (son of c 10) and Elizabeth (mother)
1756-Jan-31-a: counterpart of above
1758-Jan-21: his administrators Thomas Busby & William Lamball take out new lease on property
Busby, Thomas (I, of Beckley, yeoman)
1725-Dec-02: renews lease on property in Beckley on lives of TB, Elizabeth (wife), Richard (son)
1731-Nov-13: mentioned to locate land leased by Edward Bee to John Gomm
1755-Jan-31: burial
1756-Jan-31-a: mentioned as deceased in lease to Richard Busby
Busby, Thomas (II, of Noke, later of Oxford, yeoman)
1758-Jan-21: with William Lamball takes lease on messuage on lives of Elizabeth B. & her sons
1760-Sep-15: property mentioned to locate ground leased by Edward Bee to William Ledwell
1761-Jun-24-a: mentioned in later attached note as in possession of premises
1761-Dec-16-a: property mentioned to locate ground leased by Edward Bee to William Ledwell
1764-Oct-08: with James Lamball leases property on lives of self, Thomas (III) & Benjamin
1765-May-01: possesses property in Beckley leased to Christopher Lipscomb
1766-Sep-16: property possessed by him mentioned to locate property leased to William Ledwell
1803-May-04: takes lease on cottage in Beckley
1803-May-04-a: lease on cottage, garden & orchard renewed
Busby, Thomas (III, son of Richard)
1756-Jan-31: live listed in lease of property to Richard Busby
1756-Jan-31-a: counterpart of above
1758-Jan-21: life (11) listed in lease of messuage to Thomas Busby & James Lamball
1764-Oct-08: life listed in lease of property to Thomas Busby & James Lamball
1780-Jan-26: mentioned as being in possession of tenement leased to Sarah Lipscombe
1803-May-04: right to live in cottage at Beckley
Butler, Amy (of Merton Terrace, Cowley, spinster)
1865-Feb-08: sells Anne Cooke land on Otmoor in exchange for land in Beckley
Butler, Martha (of Merton Terrace, Cowley, spinster)
1865-Feb-08: sells Anne Cooke land on Otmoor in exchange for land in Beckley
Butler, Ralph (or Buller)
1822-Jul-22: his allotment used to locate land sold by Richard Carr to Theophilus Leigh Cooke
1829-Apr-15: granted land by Inclosure Commissioners
Canterbury, Archbishop of
1779-Sep-23: probate certificate on will of Cassandra Wight
Carr, Ann (of London, later of Wood Eaton, spinster, daughter of Robert Carr)
1731-Mar-02: an Ann Carr baptised (parents' names not given - BPR)
1761-Jun-24: life listed in re-lease of messuage in Beckley
1761-Jun-24-a: mentioned in attached note (life to be listed in new lease)
1780-Jan-26: life mentioned in lease of tenement to Sarah Lipscombe
Carr, Edward
1805-Apr-02: witnesses John Payne's signature on lease of messuage
Carr, Elizabeth (wife of John the elder)
1763-Apr-16: life listed in lease of property to John Carr
1807-Jun-10: burial of an Elizabeth Carr (three appear in the registers - BPR)
Carr, George (son of Robert Carr)
1740-Jun-09: baptised (BPR)
1749-Dec-23: life listed in lease to Robert Carr of messuage with garden in Beckley
Carr, Joan (spinster)
1724-Feb-20: life listed in Robert Carr's new lease on property in Beckley
Carr, John (the elder, of Beckley, butcher, son of Robert)
1731-Jul-02: a John Carr baptised (parents' names not given - BPR)
1732-Jul-22: life (aged 1 year) mentioned in lease of property in Beckley to Robert Carr
1763-Apr-16: leases property from Thomas Leigh
1794-Aug-07: burial of a John Carr two John Carrs appear frequently in BPR
1797-Nov-08: burial of a John Carr one a butcher (wife Elizabeth), the other a baker (wife Mary)
Carr, John (the younger, son of John)
1763-Apr-16: life (aged 9) listed in lease of property to John Carr
1827-Nov-07: burial (aged 74 - BPR)
Carr, Mary (I, wife of Robert)
1732-Jul-22: life mentioned in lease of property in Beckley to Robert Carr
1762-Apr-11: burial (BPR)
1775-Mar-23: Mary Carr (II) mentioned as her administratrix
Carr, Mary (II)
see Sanders, Mary
Carr, Mary (III, probably wife of Edward Carr)
1805-Apr-02: witnesses John Payne's signature on lease of messuage
Carr, Richard (of Beckley, yeoman)
1822-Jul-22: sells piece of land allocated by Inclosure commissioners to Theophilus Leigh Cooke
1844-Aug-01: property mentioned to locate property assigned to Caroline Cassandra Cooke
Carr, Robert (of Beckley, butcher)
1724-Feb-20: renews his lease on property in Beckley
1732-Jul-22: renews lease (1724-Feb-20) on property in Beckley
1748-Nov-12: Thomas Huggins mortgages messuage & garden to Robert Carr for £120
1749-Dec-21: Thomas Huggins as brother & exec of John assigns messuage to Robert Carr
1749-Dec-23: granted lease on messuage with garden in Beckley by Edward Bee
1761-Jun-24: takes lease on property in Beckley
1762-Apr-08: burial (BPR)
Carr, William (son of Robert)
1743-Nov-13: baptized (BPR)
1749-Dec-23: life listed in lease to Robert Carr of messuage with garden in Beckley
1761-Jun-24: life listed in re-lease of messuage in Beckley
1761-Jun-24-a: mentioned in attached note (life to be listed in new lease)
1764-Apr-11: a William Carr, 'who died by hanging himself', buried by Rev. Mr. Baker (BPR)
Carter, Alice (of Stowood, spinster)
1724-Sep-02: life listed in lease of a piece of ground in Beckley to John Gomm
Carter, Hannah (wife of John Carter)
1775-Jul-20: life listed in lease on property in Beckley
1775-Jul-20-a: lease of property to John Carter (counterpart)
Carter, John (of Hedington, yeoman, later of Beckley, carpenter & wheelwright)
1775-Mar-23: takes over lease on messuage in Beckley from George Sanders
1775-Jul-20: takes 99-year lease on property in Beckley
1775-Jul-20-a: lease of property to John Carter (counterpart)
1782-May-24: sells lease on messuage & shop in Beckley to Thomas Betts for £70
Carter, William (of Beckley, son of John)
1775-Jul-20: life listed in lease on property in Beckley
1775-Jul-20-a: lease of property to John Carter (counterpart)
Carter, William (of Sidmouth, Devon, Gent)
1738-Mar-24 (Devon): administrator of John Ham's estate
Caryll, John (Esq)
1735-Sep-04 (Devon): party to six-part indenture with Lord Petre et al
Cave, Mrs (née Cooke)
1907-Oct-xx: legacy from Caroline Cassandra Cooke
1918-May-xx: beneficiary under will of Rev George Theophilus Cooke
Chadwell, William
1685-Sep-15: mentioned in a Latin document found among Theophilus Leigh's papers
Chamberlayne, George
see Denton, George
Champion, James (of Nettlebed, Oxon, auctioneer)
1854-Apr-27: gives Samuel Hay Cooke a £300 mortgage on estates in Salcombe & Winnick
Chapman, Daniel
1743-May-24: mentioned as former possessor of property assigned to George Denton
Chew, Abraham (of Ambrosden)
1762-Oct-07-a: witnesses signatures of Sir Edward Turner & Thomas Leigh
Child, Elizabeth (daughter of Josias Child)
see Howland
Child, Sir Josias (of Wanstead, Essex)
1695-May-21: mentioned as having had management & disposal of Beckley moiety for his daughter
Clifton, Thomas (of Lytham, Lancaster)
1718-May-17 (Devon): indenture with Robert Abdy & Lord Petre
1732-Oct-16 (Devon): Lease of property in Shute
Coates [?], Charles (of Beckley)
1844-Aug-01: witnesses signature of Caroline Cassandra Cooke
Cobb, Henry (of Treversham, Kent, shopkeeper)
1761-May-09: party to ending of partnership between John Corne & Michael Cooke
Coell, Sir John (of Lincoln's Inn)
1668-Jun-08: mortgage of Beckley and Otmoor estates by John Izard to Dame Mary Hatton
1675-Sep-23: leases on property in Beckley, Charlton-upon-Otmoor & elsewhere
Cole, Mary
1768-Jun-11: witnesses marriage settlement of Samuel Cooke and Cassandra Leigh
Collett, Elizabeth (wife of John Collett, previously Elizabeth Shayler, spinster)
1818-Nov-14: with her daughter Elizabeth Shayler assigned Malthouse at Beckley
1827-Mar-25: proves will of William Fruin
1827-Oct-13: property (Malthouse) assigned to Thomas Mallam as trustee for marriage settlement
1836-Sep-19: with Elizabeth Goodliffe assigns lease on The Malthouse to latter's trustees
1838-Sep-29: piece of ground in Beckley & close on Otmoor sold to Theophilus Leigh Cooke
Collett, John (of Kings Road, Chelsea, Middlesex, Gent)
1827-Oct-13: property (Malthouse) assigned to Thomas Mallam as trustee of marriage settlement
1838-Sep-29: piece of ground in Beckley & close on Otmoor assigned to Theophilus Leigh Cooke
Collett, Richard
1822-Jul-22: witness to Richard Carr's signature on sale of land to Theophilus Leigh Cooke
Cooke, Anne (née Hay, gentlewoman, wife of George Leigh Cooke)
1815-Oct-23: marriage settlement
1839-May-14: John Glennie replaces Richard Yates & James Forsyth as settlement trustee
1839-May-14-a: update to marriage settlement
1847-Jun-28: Edward Cooper replaces Theophilus Leigh Cooke & William Bishop as trustee
1858-Sep-11: grants lease on Grove Farm, Beckley
1859-May-25: sells piece of freehold ground at Otmoor to Rev George Theophilus Cooke
1862-Jul-25: George Theophilus Cooke appointed trustee of marriage settlement
1865-Feb-08: buys land on Otmoor from Amy & Martha Butler in exchange for land in Beckley
1869-May-29: Rev. Samuel Hay Cooke appointed settlement trustee
Cooke, Caroline Cassandra (of Cubbington, Warks, spinster)
1844-Aug-01: assigned property in Beckley by William Parker & Theophilus Leigh Cooke
1865-Feb-08: party to purchase of land on Otmoor from Amy & Martha Butler for Anne Cooke
1869-May-29: appointed trustee of George Leigh Cooke's marriage settlement
1907-Oct-xx: executors' account
Cooke, Cassandra (younger dau of Theophilus Leigh, wife of Samuel Cooke of Great Bookham)
1747-Nov-02: her interest in money acquired from Edward Bee giving up Beckley
1762-Sep-22: receives £800 from her father
1762-Oct-07-a: annuities settled on her conditionally
1762-Oct-07-b: bond indemnifying Sir Edward Turner; later note mentions CC's marriage
1765-May-01: witness to lease of property in Beckly to Christopher Lipscomb
1768-Jun-11: her marriage settlement
1772-Mar-02: purchase of leasehold estate under terms of marriage settlement
1816-Jun-24: assignment of Beckley estate to Rev Henry Jenkins in trust for Cassandra Cooke
1816-Jun-25: assignment of Beckley estate to William Oddie upon trust
1817-Nov-03: Beckley settlement
1821-Mar-02: Right of Way across Otmoor granted by Earl of Abingdon
1844-Aug-01: mentioned as having died in October 1826
Cooke, Charles
1812-Apr-06: update to marriage settlement
Cooke, Charles Lukey (schoolmaster, Beckley; not related to other Cookes)
1859-May-25: witnesses Ann Cooke's signature on sale of piece of freehold ground at Otmoor
Cooke, Elizabeth
see Seymour, Elizabeth
Cooke, Rev George (of Sidmouth, later Rector of Saint Mary Clyst, Devon)
1751-Dec-04 (Devon): takes lease on Littlecomb (tenement + 140 acres) & Coxes (messuage)
1753-Jan-19 (Devon): leases Manor of Shute from Lord Petre
1753-Jan-19-a (Devon): leases property in Manor of Shute from Lord Petre
1754-Feb-19 (Devon): declaration re money paid from his wife's estate
1768-Jun-11: marriage settlement of his son Samuel and Cassandra Leigh
Cooke, George Hay (of Beckley)
1907-Oct-xx: legacy from Caroline Cassandra Cooke
1918-May-xx: beneficiary under will of Rev George Theophilus Cooke
Cooke, Rev George Leigh (Fellow of Corpus Christi, Vicar of Cubbington)
1766-Sep-16-a: mentioned in later pencil insertion (1805?)
1809-Apr-06: life listed in lease of piece of ground at Beckley to Rev Samuel Cooke
1809-Jul-01: assigned two enclosed fields at Great Barford by Rev Samuel Cooke
1815-Oct-23: marriage settlement
1816-Jun-25: party to assignment of Beckley estate to William Oddie upon trust
1839-May-14: John Glennie replaces Richard Yates & James Forsyth as settlement trustee
1839-May-14-a: update to marriage settlement
1841-Mar-19: obtains £450 mortgage from Governors of Queen Anne's Bounty
1846-Jul-30: leases messuage, called Wyatts, in Salcombe to George White
1847-Jun-28: Edward Cooper replaces Theophilus Leigh Cooke & William Bishop as trustee
1848-Aug-15: transfer of piece of land in Stowood by Commissioners of HM Woods
1854-Apr-27: mentioned as having died on 29/March/1853
1862-Jul-25: George Theophilus Cooke appointed settlement trustee
1869-May-29: Rev. Samuel Hay Cooke appointed settlement trustee
Cooke, Rev George Theophilus (Vicar of Beckley)
1859-May-25: buys piece of freehold ground at Otmoor from Ann Cooke & Samuel Hay Cooke
1862-Jul-25: appointed trustee of George Leigh Cooke's marriage settlement
1865-Feb-08: party to purchase of land on Otmoor from Amy & Martha Butler for Anne Cooke
1869-May-29: mentioned as still trustee of George Leigh Cooke's marriage settlement
1907-Oct-xx: bequest to Caroline Cassandra Cooke
1918-May-xx: accounts of his will
Cooke, Miss Helen Anne
1865-Feb-08: party to purchase of land on Otmoor from Amy & Martha Butler for Anne Cooke
1907-Oct-xx: bequest to Caroline Cassandra Cooke
Cooke, Janetta (of New King St, Bath, spinster)
1821-Dec-12: transfer of £1600 to trustees (Theophilus Leigh Cooke et al)
1834-Jan-31: winding up of her trust following her death on 27/July/1832
Cooke, John
1768-Jun-11: witnesses marriage settlement of Samuel Cooke and Cassandra Leigh
Cooke, Rev John (same as previous?)
1812-Apr-06: mentioned as trustee of Charles & Sarah Cooke's marriage settlement (d. 1798)
Cooke, Lt John, RN (of Scarne, Launceston, Cornwall)
1821-Dec-12: beneficiary of trust set up by Janetta Cooke
1834-Jan-31: winding up Janetta Cooke's trust
1837-Nov-06: winding up Sarah Cooke's marriage settlement trust
Cooke, Miss Julia
1865-Feb-08: party to purchase of land on Otmoor from Amy & Martha Butler for Anne Cooke
1869-May-29: appointed trustee of George Leigh Cooke's marriage settlement
1918-May-xx: payment to executors of her will by executors of Rev George Theophilus Cooke
Cooke, Mary (dau of Samuel & Cassandra Cooke)
1816-Jun-25: party to assignment of Beckley estate to William Oddie upon trust
Cooke, Michael (of Fleet St, London, haberdasher & hosier, later of the Minories, later of Lyon's Inn)
1758-Aug-17: partnership agreement with John Corne
1761-May-09: ending of partnership agreement with John Corne
1768-Jun-11: trustee to marriage settlement of Samuel Cooke and Cassandra Leigh
1772-Mar-02: purchase of leasehold estate for Samuel & Cassandra Cooke
Cooke, Rev Samuel (of Balliol College, Rector of Cottisford, Vicar of Great Bookham)
1762-Oct-07-a: mentioned in later note on this document
1762-Oct-07-b: bond indemnifying Sir Edward Turner; later note mentions SC's marriage
1766-Sep-16-a: mentioned in later pencil insertion (1805)
1768-Jun-11: his marriage settlement
1772-Mar-02: purchase of leasehold estate under terms of marriage settlement
1804-Sep-29: leases property in Devon called Wyatts to Thomas Weekes for 14 years
1806-Sep-02: leases messuage in Beckley from John Mackaness for 1 year
1806-Sep-03: assigned property in Beckley by John Mackaness & Mrs Elizabeth Humphreys
1807-Oct-06: mentioned as trustee of Catherine & John Bailey's marriage settlement
1809-Apr-06: leases piece of ground in Beckley from Thomas Leigh for 99 years & 3 lives
1809-Jul-01: assigns two enclosed fields at Great Barford to Rev George Leigh Cooke
1815-Oct-23: marriage settlement of his son George Leigh and Anne Hay
1816-Jun-24: assignment of Beckley estate to Rev Henry Jenkins in trust for Cassandra Cooke
1816-Jun-25: assignment of Beckley estate to William Oddie upon trust
1817-Nov-03: Beckley settlement
1819-Jun-07: mortgages two messuages and a close in Beckley to Richard Smith for £500
1844-Aug-01: mentioned as having died in April 1820
Cooke, Samuel Arthur
1907-Oct-xx: legacy from Caroline Cassandra Cooke
1918-May-xx: beneficiary under will of Rev George Theophilus Cooke
Cooke, Rev Samuel Hay (Perpetual Curate of Bensington, Oxon; Vicar of Great Budworth, Cheshire)
1854-Apr-27: mortgages estates in Salcombe & Winnick to James Champion for £300
1859-May-25: sale of piece of freehold ground at Otmoor to Rev George Theophilus Cooke
1865-Feb-08: party to purchase of land on Otmoor from Amy & Martha Butler for Anne Cooke
1869-May-29: appointed trustee of George Leigh Cooke's marriage settlement
Cooke, Sarah (I, née Lethbridge, wife of Charles Cooke)
1812-Apr-06: update to marriage settlement
1823-Nov-15: appoints Theophilus Leigh Cooke as trustee of her marriage settlement
1837-Nov-06: mentioned as having died 5/May/1837 in winding up of marriage settlement trust
Cooke, Sarah (II, of Bampton, Devon, spinster, later of Heavitree, Exeter)
1821-Dec-12: beneficiary of trust set up by Janetta Cooke
1834-Jan-31: winding up Janetta Cooke's trust
1837-Nov-06: winding up Sarah Cooke's marriage settlement trust
Cooke, Rev Theophilus Leigh, BD (of Magdelen College, later Perpetual Curate of Beckley)
1794-May-05: notes of payments in 1804, 1805, 1809, 1810 on mortgage of Little Ilford rectory
1809-Apr-06: life listed in lease of piece of ground at Beckley to Rev Samuel Cooke
1815-Oct-23: trustee to marriage settlement of George Leigh Cooke and Anne Hay
1816-Jun-25: party to assignment of Beckley estate to William Oddie upon trust
1821-Mar-02: mentioned in grant of Right of Way by Earl of Abingdon to Cassandra Cooke
1821-Dec-12: trustee for £1600 from Janetta Cooke
1822-Jul-22: buys piece of land, allocated by Inclosure commissioners, from Richard Carr
1823-Nov-15: appointed trustee of Sarah Cooke's marriage settlement
1829-Apr-15: inclosure allotment mentioned to locate land granted to Ralph Butler
1830-Jul-07: land granted by enclosure commissioner
1831-Jan-29: awarded enclosed land in Beckley (but see 1848-Aug-15)
1832-Mar-25: buys several leasehold cottages & gardens from William Louch
1834-Jan-31: winding up Janetta Cooke's trust
1836-Jan-30: Eleanor Goodwin gives releases in respect of her share in a trust
1837-Nov-06: winding up Sarah Cooke's marriage settlement trust
1838-Sep-29: assigned piece of ground in Beckley & close on Otmoor by Elizabeth Collet et al
1839-May-14-a: update to George Leigh Cooke's marriage settlement
1844-Aug-01: redeems mortgage & assigns property to Caroline Cassandra Cooke
1847-Jun-28: death mentioned in update to George Leigh Cooke's marriage settlement
1848-Aug-15: mentioned as having died in October 1846 (re land awarded in 1831-Jan-29)
Cooke, Rev William
1907-Oct-xx: legacies from Caroline Cassandra Cooke
1918-May-xx: beneficiary under will of Rev George Theophilus Cooke
Cooper, Edward, D.LL (married Jane, dau of Thomas Leigh of Harpsden)
1762-Oct-07: Sir Edward Turner assigns Beckley to Edward Cooper & George Austen upon trust
1816-Jun-24: mentioned as deceased
Cooper, Rev Edward Philip (grandson of Edward Cooper)
1847-Jun-28: appointed trustee of George Leigh Cooke's marriage settlement
1862-Jul-25: release from trusteeship of George Leigh Cooke's marriage settlement
Cooper, Jonathan (of Horsepath, Oxon, yeoman)
1804-Aug-07: with Charles Moore assigns property in Beckley to Stephen Davis as security
1804-Aug-11: mortgages land & malthouse at Beckley to Stephen Davis for £60
1805-Jul-31: further loan of £40 from Stephen Davis on security of land & malthouse
1812-Jun-27: further loan of £23 from Stephen Davis on security of land & malthouse
1813-Jun-27: mortgages property in Beckley to Stephen Davis for £57
1814-Apr-30: assigns lease on The Malthouse to William Fruin subject to payment of mortgage
Cooper, Jos
1738-Oct-13: witnesses Edward Bee's signature on lease to John Gomm
Cooper, Richard
1785-Feb-02: witness to Rev William Price's will
Cooper, William
1785-Feb-02: witness to Rev William Price's will
Corne, John (of the Minories, London, haberdasher & hosier)
1758-Aug-17: partnership agreement with Michael Cooke
1761-May-09: ending of partnership agreement with Michael Cooke
Croke, John (minor, homager of Studley)
1591-Aug-27: party to Edmund Izard's prenuptial agreement
Croot, John (of Honiton, Devon)
1718-May-14 (Devon): lease of land in Shute to John Gillett by William Hallet
Crossby, William (of Ambrosden, footman)
1762-Oct-07-a: witnesses signatures of Sir Edward Turner & Thomas Leigh
Davenport, John M. (of Oxford, solicitor)
1858-Sep-11: solicitor
Davis, John (of Goldington, Beds)
1675-Sep-23: leases on property in Beckley, Charlton-upon-Otmoor & elsewhere
1680-Jan-18: assignment of manors of Beckley & Charlton-upon-Otmoor to Gregory Geering et al
Davis, Mary (wife of John)
1675-Sep-23: leases on property in Beckley, Charlton-upon-Otmoor & elsewhere
1680-Jan-18: assignment of manors of Beckley & Charlton-upon-Otmoor to Gregory Geering et al
Davis, Stephen (of St Aldate, Oxford, boatbuilder)
1804-Aug-07: assigned property in Beckley by Charles Moore & Jonathan Cooper as security
1804-Aug-11: assigned land & malthouse at Beckley by Charles Moore (security for £60)
1805-Jul-31: makes further loan of £40 to Jonathan Cooper on security of land & malthouse
1812-Jun-27: makes further loan of £23 to Jonathan Cooper on security of land & malthouse
1813-Jun-27: makes further loan of £57 to Jonathan Cooper on security of land & malthouse
1814-Apr-30: loans of £180 secured on Malthouse transferred from Jonathan Cooper to William
Fruin
1822-Nov-13: will (recitation)
1838-Sep-29: died 13/Nov/1822; his executors assign property in Beckley to T. L. Cooke
Dean, David Williamson
1822-Nov-13: appointed executor of Stephen Davis (not mentioned in 1838-Sep-29)
Deane, Henry
1763-Apr-16: witnesses lease of property to John Carr
Denton, Constance (widow of George Denton)
1785-Feb-14: mentioned as deceased in lease of property in Beckley to Robert Ashfield
Denton, George (also Chamberlayne, of Hillsden, Bucks, Esq)
1743-May-24: leasehold in Beckley assigned to George Denton in trust for Elizabeth Price (II)
1785-Feb-14: mentioned as deceased in lease of Beckley property to Robert Ashfield
Doe, Edward (of University of Oxford, bookbinder)
1741-Feb-24: indenture concerning messuage in Beckley
Downing, William (of Dallwood, Dorset, yeoman)
1714-Jan-29 (Devon): lease
Dugliss, Samuel
1762-Oct-07-a: witnesses signatures of Theophilus & Ann Leigh
Dyett, Mary (spinster)
1724-Feb-20: life listed in Robert Carr's new lease on property in Beckley
Dyncley [?], Dr Peter
1806-Sep-03: as trustee of Rev Samuel Cooke, assigned property in Beckley
Fantouberg, Thomas, Lord Viscount
1735-Sep-04 (Devon): party to six-part indenture with Lord Petre et al
Faulkner, Daniel
1801-Mar-28: mentioned as father of Moses by Elizabeth
Faulkner, Elizabeth (wife of Daniel Faulkner)
see Tipping, Elizabeth
Faulkner, Moses (of Beckley, carpenter, son of Daniel Faulkner)
1801-Mar-28: party to assignment of messuage in Beckley to John Louch
Field, William
1832-Mar-25: occupant of cottage & garden sold by William Louch to Theophilus Leigh Cooke
Fisher, Richard
1806-Sep-02: mentioned as previous occupier of messuage in Beckley assigned to Samuel Cooke
1819-Jun-07: previous occupier of messuage in Beckley mortgaged by Samuel Cooke
Fletcher, Philadelphia (née Price)
1756-Nov-07: inherits £100 under Sarah Price's will
1785-Feb-02: beneficiary under William Price's will (date is that of probate certificate)
Fontayne, John (sergeant-at-law)
1668-Jun-08: mortgage of Beckley and Otmoor estates by John Izard to Dame Mary Hatton
Forsyth(e), James (of Landsdown Place, Saint Pancras)
1815-Oct-23: trustee to marriage settlement of Anne Hay and George Leigh Cooke
1839-May-14: after his death replaced as trustee by John Irving Glennie
1839-May-14-a: death recorded in update to George Leigh Cooke's marriage settlement
Foster, Charles (brother of John (II))
1687-Apr-08: beneficiary under will of John Foster (II)
Foster, John (I, of London, citizen & merchant taylor)
1683-Aug-15: assignment of moiety of Beckley to Elizabeth Howland
1683-Aug-15-a: pays Francis Hall £1500 for judgements against John Izard
1683-Aug-15-b: assigned the moiety and manor of Beckley by Gregory Geering
1683-Aug-15-c: assigned the moiety and manor of Beckley
1683-Aug-15-d: assigned the moiety and manor of Beckley (security for sums of money)
1686-Aug-10: gives mortgage to Francis Hall for £200 plus interest
1702-Sep-07: mentioned as father of Sarah March & Mary Ange (his heirs)
1708-Jan-08: now deceased – mention of his children, John Foster, Sarah March & Mary Ange
Foster, John (II, son of John Foster (I))
1687-Apr-08: will; bequests to his mother, brother and sisters; proved 1690-Feb-20
1702-Sep-07: mentioned as brother of Sarah March & Mary Ange (his heiresses)
1708-Jan-08: Mary Ange mentioned as executor
Foster, John (III, of Lincoln's Inn)
1836-Jan-30: mentioned as trustee with Theophilus Leigh Cooke under will of Elizabeth Trinder
Foster, Mary (dau of John Foster (I), wife of John Ange)
see Ange, Mary
Foster, Sarah (I, wife of John Foster (I))
1687-Apr-08: beneficiary under will of John Foster (II)
1702-Sep-07: mentioned as mother of Sarah March in assignment of Manor of Beckley
1708-Jan-08: mentioned as executrix of John Foster but now dead (Philip Pledger executor)
Foster, Sarah ((II, dau of John Foster (I), wife of Richard March)
see March, Sarah
Franklin, Edward
1858-Sep-11: witness to lease of Grove Farm
Fruin, William (or Frewin)
1804-Aug-11: mentioned as occupying Malthouse assigned to Stephen Davis
1814-Apr-30: assigned Malthouse (with mortgage) by Jonathan Cooper
1827-Mar-25: (date of death) – will proved by Elizabeth Collett
1829-Apr-15: inclosure allotment mentioned to locate land granted to Ralph Butler
Gammon, Mary (wife of Richard Gammon)
1735-Feb-07: party to assignment of land & malthouse in Beckley to Anthony Moore
Gammon, Richard (of Clifton, Oxon, yeoman)
1735-Sep-06: assigned land & malthouse in Beckley by Eleanor Miles
1735-Feb-07: with his wife assigns land & malthouse to Anthony Moore
Geering, Gregory (of Denthworth, Beds, later of Doncaster, Berks)
1680-Jan-18: assigned manors of Beckley & Charlton-upon-Otmoor by Christopher Hatton et al
1683-Aug-15: assignment of moiety of Beckley to Elizabeth Howland
1683-Aug-15-b: assigns the moiety and manor of Beckley to John Foster
1683-Aug-15-c: mentioned in indenture of assignment between Francis Hall and John Foster
Giddes, Mrs (of Barking)
1763-Aug-05: legatee under will of Cassandra Wight
Gillett, John (of Axminster or Hemister[?], Devon, clothier)
1718-May-14 (Devon): lease of land in Shute from William Hallet
1718-Dec-08 (Devon): indenture with John Haynes re property in Shute
1723-Jun-20 (Devon): lease on property in Shute
Gillett, Philip (of Shute)
1723-Sep-28 (Devon): party to indenture concerning payment of debt & annuities
Gillett, Richard (of ?, Dorset, tanner)
1723-Sep-28 (Devon): party to indenture concerning payment of debt & annuities
1727-Mar-24 (Devon): indenture with Hannah Smith
Gillett, Susannah (wife of Philip Gillett)
1723-Sep-28 (Devon): party to indenture concerning payment of debt & annuities
Gilpin, James
1763-Aug-05: witness to will of Cassandra Wight
Glennie, Mrs Ann
1862-Jul-25: released, as executrix of John Irving G., from trusteeship of marriage settlement
Glennie, John Irving
1839-May-14: appointed trustee of George Leigh Cooke's marriage settlement
1862-Jul-25: death mentioned in update to George Leigh Cooke's marriage settlement
Gomm, Ann (I, previously Newton (BPR), wife of John (I))
1745-Jun-26: marriage (BPR)
1761-Apr-04: life listed in lease of messuage in Beckley to John Gomm
1761-Dec-16-a: life listed in lease of land to William Ledwell (might be Ann (II))
1762-Oct-16: life listed in renewal of lease on messuages in Beckley to John Gomm
1768-Feb-19: burial (BPR)
Gomm, Anne (II, dau of John & Elizabeth Gomm)
1724-Oct-27: baptism (BPR)
1731-Nov-13: life (aged c 7 years) listed in lease of land & messuage in Beckley to John Gomm
1738-Oct-13: life (aged c 14 years) listed in lease to John Gomm (I)
1749-Apr-13: marriage to Thomas Soanes of Forest Hill (BPR)
1760-Sep-15: life listed in lease of property to William Ledwell
1761-Dec-16-a: life listed in lease of land to William Ledwell (might be Ann (I))
Gomm, Elizabeth (wife of John Gomm (I))
1724-Sep-02: life listed in lease of a piece of ground in Beckley to John Gomm
1731-Nov-13: life listed in lease of land & messuage in Beckley to John Gomm
1736-Oct-17: burial (BPR)
Gomm, John (I, of Beckley, shepherd)
1724-Sep-02: leases a piece of ground in Beckley from Edward Bee
1731-Nov-13: takes leases on land (with messuage built by himself) from Edward Bee
1738-Oct-13: renewal of lease for life of himself, his son & daughter
1745-Jun-26: marriage to Anne Newton (BPR)
1760-Sep-15: life listed in leases of ground at Beckley to William Ledwell
1761-Apr-04: leases messuage in Beckley from Edward Bee
1761-Apr-04-a: copy of above with attached note re required change to lives listed
1761-Dec-16: life listed in lease of property at Beckley Common to William Ledwell
1761-Dec-16-a: life listed on lease of land in Beckley to William Ledwell
1762-Oct-16: renews his lease on property in Beckley
1766-Jan-11: burial (Goom - BPR)
1766-Sep-16: mentioned as having built a messuage on part of Mead Close
1766-Sep-16-a: copy of above with later amendments (JG’s name crossed out)
Gomm, John (II, son of John (I))
1736-Jul-25: baptism (BPR)
1738-Oct-13: life (aged c 2 years) listed in lease to John Gomm (I)
1758-Jun-05: marriage to Elizabeth Radford (BPR)
1759-Jun-28: burial (Gom - BPR)
Gomm, Mary
see Payne, Mary
Goodliffe, Elizabeth (dau of Elizabeth Shayler (I), wife of Thomas Goodliff & then Christopher Legg)
1818-Nov-14: with her mother assigned Malthouse at Beckley
1836-Sep-19: with Elizabeth Collett assigns lease on The Malthouse to her trustees
1838-Sep-29: mentioned as having died on 26/April/1838; names of husbands mentioned
Goodliffe, Thomas Hinckliff (also Goodliff, of Ely)
1838-Sep-29: mentioned as earlier husband of Elizabeth Legg (Shayler)
Goodwin, Eleanor (of Rowley Green, Henley, Herts, spinster)
1836-Jan-30: releases Theophilus Leigh Cooke in respect of her share in a trust
Gore, Hon Charles Alexander (Commissioner of HM’s Woods etc)
1848-Aug-15: transfer of piece of land in Stowood to George Leigh Cooke
Green, William
1832-Mar-25: occupant of cottage, garden and bakehouse sold by William Louch to T. L. Cooke
Greenaway, Elizabeth
1692-Jun-06: witnesses lease on property in Beckley (Millford?) to Thomas Izard by John Izard
Hall, Francis (of Noke, Oxon, later of Hadnock, Monmouth, Esq, later of Whit[?], Glos)
1666-May-18: granted the manor of Charlton-upon-Otmoor by John Izard as security for £1400
1666-Hilary: obtains judgement for £400 against John Izard at the King's Bench
1667-Trinity: obtains judgement for £400 against John Izard at the King's Bench
1670-Trinity: obtains judgement for £3000 against John Izard at the King's Bench
1670-Jun-01: assigned moiety of Manor of Beckley by John Izard
1676-Jan-25: assigns premises [in Beckley] to Sir William Humble
1677-Feb-08: leases Rectory of Dixon to Sir Francis Humble
1677-Feb-09: leases Rectory of Dixon to Sir Francis Humble
1682-Jun-22: indenture with Sir William Humble & John Howland
1683-Aug-15: assignment of moiety of Beckley to Elizabeth Howland
1683-Aug-15-a: assigns judgements against John Izard to Richard March in trust for John Foster
1683-Aug-15-b: assignment of the moiety and manor of Beckley to John Foster
1683-Aug-15-c: assignment of the moiety and manor of Beckley to John Foster
1683-Aug-15-d: assignment of the moiety and manor of Beckley to John Foster (security)
1686-Aug-10: mortgages property to John Foster for £200 plus interest
1690-Jan-10: of Whit[?], Glos; assigns property to Richard March
Hallet, William (of Thornecomb, Devon)
1717-Mar-10: indenture with Nicholas and George Broughton re property in Shute
1718-May-14 (Devon): lease of land in Shute to John Gillett
Ham, John (I, of Branscombe, Devon, yeoman)
1664-Oct-15 (Devon): leasing of property in Shute from Lord Petre
Ham, John (II, of Sidmouth, Gent)
1727-xxx-xx (Devon): indenture between him & Benedictus Marwood
1738-Mar-24 (Devon): concerning his property in Shute after his death
1738-Mar-24-a (Devon): mentioned as deceased in grant of cottage in Shute to Sarah Wyatt
Ham, Joseph (of Branscombe, Devon)
1622-xxx-xx (Devon): indenture
1679-Oct-04 (Devon): lease of property in Shute from Lord Petre
1710-Mar-20 (Devon): indenture with Lord Petre
1710-Mar-20-a (Devon): lease of property in Branscombe from Lord Petre
1722-Mar-15 (Devon): sale of property in Shute
1722-Mar-15-a (Devon): indenture with William and Greta Hoor re property in Shute
1738-Mar-23 (Devon): sale of cottage in Shute to Sarah Wyatt
1738-Mar-24 (Devon): brother & heir of John Ham (concerning John Ham's property in Shute)
1738-Mar-24-a (Devon): grant of cottage & land in Shute to Sarah Wyatt
Ham, Mary (wife of John Ham (II))
1738-Mar-24 (Devon): widow & relict of John Ham (concerning John Ham's property in Shute)
Ham, Miss Sarah
see Wyatt
Hardy, Sir Charles
1785-Feb-14: mentioned as executor of Constance Denton
Harris, Charles (of Camberwell, Surrey, Esq)
1794-May-05: rectory mortgaged to Charles Harris by Hugh Price
Hart, Susanna
1801-Mar-28: mentioned as mother of Elizabeth Tipping
Hatton, Christopher (of Thripton, Cambs, Esq, & the Middle Temple)
1675-Sep-23: leases on property in Beckley, Charlton-upon-Otmoor & elsewhere
1680-Jan-18: assignment of manors of Beckley & Charlton-upon-Otmoor to Gregory Geering
Hatton, Dame Mary (of Long Stanton, Cambs, widow of Sir Thomas)
1668-Jun-08: Beckley and Otmoor estates mortgaged to her by John Izard
1673-Jul-25: 'The Decree Ld Hatton – Izard'
1680-Jan-18: mentioned as deceased (assignment of manors of Beckley & Charlton-upon-Otmoor)
Hatton, Sir Thomas (of Long Stanton, Cambs, Knight & Baronet)
1668-Jun-08: mentioned as deceased in indenture of Beckley mortgage
1680-Jan-18: mention of his widow (assignment of manors of Beckley & Charlton-upon-Otmoor)
Hay, Anne (Ann)
see Cooke
Hay, Helen (wife of William)
1815-Oct-23: mentioned in Anne Hay's marriage settlement
1839-May-14-a: death recorded in update to George Leigh Cooke's marriage settlement
Hay, William (of Russell Square, Middlesex)
1815-Oct-23: marriage settlement of his daughter Anne and George Leigh Cooke
1839-May-14-a: death recorded in update to George Leigh Cooke's marriage settlement
Haycock, John
1810-Mar-23: witnesses signature of Joseph Paine & mark of John Payne (sale of lease)
Haynes, John (of Uplyme, Devon)
1718-Dec-08 (Devon): indenture with John Gillett re property in Shute
1723-Sep-28 (Devon): party to indenture concerning payment of debt & annuities
Hawkins, Thomas
1762-Oct-07-b: witness to bond indemnifying Sir Edward Turner
Hide, Richard (of Oddington, Glos)
1717-Jan-17: property at Broadwell
Hieat, Joseph (of Beckley, baker, Hyat in BPR.)
1718-Dec-24: leases messuage in Beckley from Edward Bee
Higgins, Richard
1761-Jun-24: mentioned as builder of tenement on land leased to Robert Carr
Hilbeys, John
see Pilboys, John
Hodges, William
1753-Jan-19-a (Devon): mentioned in lease of property in Manor of Shute to George Cooke
Hollen, Allen (of parish of St Anne, Westminster, Esq)
1729-Sep-01: Edward Bee sells judgement against John Izard with right to buy back
1729-Dec-01: executor of Triamer Baldwin (mortgage of Beckley estates to Francis Seely)
Holt, Thomas (of Wansted, Essex)
1708-Jan-08: with Duke of Bedford buys out interest of John Foster's estate in Beckley
1710-Apr-26: Duke of Bedford assigns Manor & Rectory of Beckley to Edward Bee
Hoor, Greta (wife of William Hoor)
1722-Mar-15-a (Devon): property in Shute
Hoor, William (or Hoore, of Shute, Devon, yeoman)
1714-Jan-29 (Devon): lease
1722-Mar-15 (Devon): sale of property in Shute
1722-Mar-15-a (Devon): property in Shute
Hore, Thomas (gent)
1591-Aug-27: trustee to Edmund Izard's marriage agreement
Hoskins, John (of Hales Hall, Norfolk, Esquire)
1695-May-21: trustee for Wriothesley Russell & Elizabeth Howland
1710-Apr-26-a: assignment of Manor & Rectory of Beckley to Edward Bee
Hoskyns, Hungerford (Hoskins, married Mary Leigh, sister of Theophilus Leigh)
1763-Aug-05: legatee under will of Cassandra Wight
Howard, Rt Hon George William Frederick (Viscount Morpeth, Commissioner of HM's Woods etc)
1848-Aug-15: transfer of piece of land in Stowood to George Leigh Cooke
Howland, Elizabeth (of Streatham, wife of John Howland, daughter of Josias Child)
1695-May-21: widow, relict & administratrix of John Howland (assignment of moiety of Beckley)
1708-Jan-08: with Duke of Bedford buys out interest of John Foster's estate in Beckley
1710-Apr-26: Duke of Bedford assigns Manor & Rectory of Beckley to Edward Bee
1710-Apr-26-a: assignment of Manor & Rectory of Beckley to Edward Bee
Howland, Elizabeth (daughter John Howland)
see Russell
Howland, John (of Streatham, Surrey, Esquire)
1695-May-21: deceased; mentioned as having had moiety of Beckley as security & then absolutely
1682-Jun-22: indenture with Francis Hall & Sir William Humble
1710-Apr-26-a: mentioned as having died intestate
Huggins, Anne (daughter of Richard Huggins)
1720-Nov-10: life mentioned in lease of mesuage in Beckley to Richard Huggins
Huggins, Jane (wife of Richard Huggins)
1720-Nov-10: life mentioned in lease of mesuage in Beckley to Richard Huggins
Huggins, John (of Beckley, weaver, brother of Thomas Huggins))
1749-Dec-21: his brother & executor, Thomas, assigns messuage & garden to Robert Carr
Huggins, Richard (of Beckley, carpenter)
1720-Nov-10: renews lease on messuage in Beckley for lives of self, Jane (his wife) & Anne (dau)
1780-Jan-26: mentioned as builder of tenement leased to Sarah Lipscombe
Huggins, Thomas (of Beckley, weaver, brother of John Huggins)
1748-Nov-12: mortgages messuage & garden to Robert Carr for £120
1749-Dec-21: as brother & executor of John Huggins assigns messuage & garden to Robert Carr
Humble, Sir William (of Stratford Laughton, Essex, Baronett)
1682-Jun-22: indenture with Francis Hall & John Howland
1676-Jan-25: assigned premises [in Beckley] by Francis Hall
1677-Feb-08: takes lease on Rectory of Dixon from Francis Hall
1677-Feb-09: takes lease on Rectory of Dixon from Francis Hall
Humphreys, Elizabeth Jane (Mrs)
1806-Sep-03: assignment of property in Beckley to Dr Peter Dyncley, Rev Samuel Cooke's trustee
Hussey, Eliz
1762-Oct-07-a: witnesses Edward Bee's signature
Hut, Francis [sic] (wife of Robert Hut)
1803-May-04-a: mentioned as mother of James & John Hut in lease to Thomas Busby
Hut, James (son of Robert & Francis Hut)
1803-May-04-a: life (6) listed in lease on cottage, garden & orchard in Beckley to Thomas Busby
Hut, John (son of Robert & Francis Hut)
1803-May-04-a: life (14) listed in lease on cottage, garden & orchard in Beckley to Thomas Busby
Hut, Robert
1803-May-04-a: mentioned as father of James & John Hut in lease to Thomas Busby
Hutchinson, Captain
1763-Aug-05: legatee under will of Cassandra Wight
Hutchinson, Julius (son of Captain Hutchinson)
1763-Aug-05: legatee under will of Cassandra Wight
Izard, Alice (widow of William)
1591-Aug-27: mentioned in Edmund Izard's prenuptial agreement
Izard, Dorothy (mother of John)
1670-Jun-01: mentioned as possessing the moiety of the Manor of Beckley
1683-Aug-15: mentioned as being in possession of moiety of Beckley
1695-May-21: mentioned as deceased in assignment of moiety of Beckley
Izard, Edmund (aka Shillingford, son of William)
1591-Aug-27: agreement with John Croke et al before El's marriage to Gresswell Mewdigatt
Izard, Elizabeth
see Price, Elizabeth (I)
Izard, John
1666-May-15: lease
1666-Hilary: lease
1667-Trinity: lease
1668-June: lease
1670-Trinity: lease
1670-Jun-01: lease
1673-Jul-15: lease
1675-Sep-01: lease
1683-Aug-15: lease
1684-Aug-15: lease
1692-Jun-01: lease
Izard, Jozias (son of William)
1591-Aug-27: marriage
Izard, Sarah
1692-Jun-06: marriage
Izard, Thomas (son of William)
1684-Aug-05: marriage
1692-Jun-06: marriage
1692-Jun-15: marriage
1743-May-24: marriage
1785-Feb-14: marriage
Izard, William (aunt of John)
1591-Aug-27: marriage
James, Richard
see Toms, Richard
Jenkins, Rev Henry
1816-Jun-24: marriage
Jesson, Ann (dau of John)
1800-Dec-26: marriage
Jessop, Catherine (dau of John)
1800-Dec-26: marriage
1832-Mar-25: occupation
Jessop, Thomas (of Beckley)
1800-Dec-26: lease
Johnsohn, John [sic]
1757-Apr-11: will
Johnson, Rev John (of Beckley)
1816-Jun-25: parish register
Izard, John (of Beckley, aka Shillingford, Esq)
1666-May-18: grants the manor of Charlton-upon-Otmoor to Francis Hall as security for £1400
1666-Hilary: Francis Hall obtains judgement for £400 against him at the King's Bench
1667-Trinity: Francis Hall obtains judgement for £400 against him at the King's Bench
1668-Jun-08: mortgage of Beckley and Otmoor estates to Dame Mary Hatton
1670-Trinity: Francis Hall obtains judgement for £3000 against him at the King's Bench
1670-Jun-01: assigns moiety of Manor of Beckley to Francis Hall
1673-Jul-25: 'The Decree Ld' Hatton – Izard'
1675-Sep-23: leases on property in Beckley, Charlton-upon-Otmoor & elsewhere
1683-Aug-15: mentions judgements against him
1684-Aug-09: leases cottage or tenement in Beckley to Thomas Izard for £43
1692-Jun-06: grants 999-year lease on property in Beckley (Millfield?) to Thomas Izard
Izard, Jozias (Shillingford, younger son of William)
1591-Aug-27: mentioned (as Shellingford) in Edmund Izard's prenuptial agreement
Izard, Sarah
1692-Jun-06: witnesses lease on property in Beckley (Millfield?) to Thomas Izard by John Izard
Izard, Thomas (of St Margaretts, Hartfordshire, gent, later of Beckley, brother of John Izard)
1684-Aug-09: leases cottage or tenement in Beckley from John Izard for £43
1692-Jun-06: takes 999-year lease on property in Beckley (Millfield?) from John Izard
1692-Jun-15: will; leasehold in Beckley bequeathed to his daughter, Elizabeth Price
1743-May-24: mentioned in assignment of property to George Denton in trust
1785-Feb-14: mentioned as deceased with granddaughter, Elizabeth Price, administratrix
Izard, William (aka Shillingford)
1591-Aug-27: mentioned as deceased in Edmund Izard's prenuptial agreement
James, Richard
see Toms, Richard
Jenkins, Rev Henry (of Magdelen College)
1816-Jun-24: assigned Beckley estate by Cassandra Austen in trust for Cassandra Cooke
Jessop, Ann (dau of Thomas)
1800-Dec-26: life listed in lease of property to Thomas Jessop
Jessop, Catherine (wife of Thomas)
1800-Dec-26: life listed in lease of property to Thomas Jessop
1832-Mar-25: occupant of cottage & garden sold by William Louch to Theophilus Leigh Cooke
Jessop, Thomas (of Beckley, yeoman)
1800-Dec-26: leases property from Thomas Leigh
Johnsohn, John [sic in my notes]
1757-Apr-11: witnesses Edward Ryves' signature
Johnson, Rev John (Fellow of Magdelen College)
1816-Jun-25: party to assignment of Beckley estate to William Oddie upon trust
Jones (Fellow of Balliol)
1743-May-24: once in possession of leasehold in Beckley
Jubb (? at law)
1806-Sep-02: witnesses John Mackaness' signature on sale of messuage to Samuel Cooke
Kicatt
see Hieat (Kicatt seems to be a misreading on my part)
Lamball, James (of Lower Woods, Islip, later of Beckley, yeoman)
1758-Jan-21: with Thomas Busby takes lease on messuage in Beckley
1764-Oct-08: with Thomas Busby leases property from Thomas Leigh on 3 Busby lives
1778-Aug-13: leases piece of ground from Thomas Leigh
Lamball, Mary (wife of James)
1778-Aug-13: life listed in lease on piece of ground to James Lamball
Lamball, Sarah (dau of James)
1778-Aug-13: life listed in lease on piece of ground to James Lamball
Langdon, Thomas (of Bampton, Devon, surgeon)
1837-Nov-06: witnesses signatures of Francis Edward & Elizabeth Seymour in winding up of trust
Lay, James (of Beckley, later Woodperry, Esq)
1800-Feb-05: assigned messuage & orchard at Beckley by Daniel Shilfox
1805-Mar-02: assigns messuage at Beckley to John Louch for remainder of 500 year term
Leach, John (of Great Bookham)
1815-Oct-23: witness to marriage settlement of George Leigh Cooke and Anne Hay
Leach, William (of Great Bookham)
1815-Oct-23: witness to marriage settlement of George Leigh Cooke and Anne Hay
Leaf, Joseph
1753-Jan-19-a (Devon): life listed in lease of property in Manor of Shute to George Cooke
Ledwell, Ann (of Woodperry, later of Bath, wife of William)
1805-Jul-08: mentioned as deceased & executrix of her husband, William.
Ledwell, Edward (brother of William)
1761-Dec-16-a: life listed in lease of land in Beckley to William Ledwell
1766-Sep-16: life listed in lease of Beckley property to William Ledwell
1766-Sep-16-a: amendment (1805) has his name crossed out
Ledwell, James (brother of William)
1766-Sep-16: life listed in lease of Beckley property to William Ledwell
1766-Sep-16-a: amendment (1805) has his name crossed out
Ledwell, Thomas
1717-May-17: mentioned as once possessing land leased to William Miles
Ledwell, William (of Cowley, Esq)
1760-Sep-15: leases piece of ground at Beckley from Edward Bee on three lives
1761-Dec-16: leases piece of ground at Beckley Common from Edward Bee
1761-Dec-16-a: leases piece of ground in Beckley from Edweard Bee
1766-Sep-16: leases Beckley property from Thomas Leigh
1766-Sep-16-a: amendment (1805) has his name crossed out
1805-Jul-08: mentioned as deceased
Ledwell, William Brydges (of Bath, son of Ann Ledwell)
1805-Jul-08: as administrator of Ann Ledwell gives up all claims on piece of ground in Beckley.
Legge, Christopher (also Legg, of Ely)
1836-Sep-19: marriage settlement for him and Elizabeth Goodliffe assigns Malthouse to trustees
1838-Sep-29: mentioned as husband of late Elizabeth Goodliff (Shayler)
Leigh, Anne (née Bee, dau of Edward Bee, wife of Theophilus Leigh)
1728-xxx-xx: marriage settlement
1747-Nov-02: conveyance of Broadwell Rectory to Drs Walker & Musgrave
1756-Jan-31: witnesses lease of property to Richard Busby
1761-Jun-24-a: attached note is in an envelope addressed to her
1761-Dec-16: witnesses lease on piece of ground at Beckley Common to William Ledwell
1762-Oct-07: Sir Edward Turner assigns Beckley to Edward Cooper & George Austen upon trust
1762-Oct-07-a: annuities settled on Cassandra Leigh conditionally
1762-Oct-07-b: bond indemnifying Sir Edward Turner; later note mentions AL’s decease
1763-Apr-16: witnesses lease of property to John Carr
1763-Aug-05: executrix and legatee under will of Cassandra Wight
1765-May-01: witness to lease of property in Beckly to Christopher Lipscomb
1816-Jun-25: only child of Edward Bee & mother of Cassandra and Mary, her co-heirs
Leigh, Cassandra (daughter of Theophilus Leigh)
see Cooke, Cassandra
Leigh, Cassandra (daughter of Thomas Leigh of Harpsden)
see Austen, Cassandra
Leigh, Chandos (son of James Henry Leigh)
1809-Apr-06: life listed in lease of piece of ground at Beckley to Rev Samuel Cooke
Leigh, Rev Charles
1763-Aug-05: legatee under will of Cassandra Wight
Leigh, Elizabeth (spinster, sometimes styled Mrs, sister of Thomas Leigh of Adlestrop)
1803-Feb-21: executor of Thomas Leigh’s will
1803-May-04: witnesses lease on cottage in Beckley to Thomas Busby
1816-Jun-24: mentioned as proving will of James Leigh in 1813
Leigh, James (of Addlestrop, son of William)
1746-Feb-14: witness to Edward Bee’s assignment of Beckley estate to Lewis Pryse
1747-Nov-02: party to conveyance of Broadwell Rectory to Drs Walker & Musgrave
Leigh Perrot, James (son of Thomas Leigh of Harpsden)
1757-Apr-11: witnesses signatures of Mary Waldo & Edward Ryves (assignment of obligation)
Leigh, James Henry (of Addlestrop, son of James Leigh (I))
1803-Feb-21: executor of Thomas Leigh's will
1809-Apr-06: father of Chandos Leigh in lease of property at Beckley to Samuel Cooke
1816-Jun-24: mentioned as proving will of Thomas Leigh in 1813
Leigh, Jane (née Walker, wife of Thomas Leigh of Harding (Harpsden), sister of Dr. William Walker)
1762-Oct-07: Sir Edward Turner assigns Beckley to Edward Cooper & George Austen upon trust
1762-Oct-07-b: adminx of Dr. William Walker (bond indemnifying Sir Edward Turner)
Leigh, Mary (elder dau of Theophilus Leigh, wife of Rev Thomas Leigh)
1761-Dec-16: witnesses lease on piece of ground at Beckley Common to William Ledwell
1762-Sep-22: receives £800 from her father
1762-Oct-07: Sir Edward Turner assigns Beckley to Edward Cooper & George Austen upon trust
1762-Oct-07-a: annuities settled on Cassandra Leigh; ML's forthcoming marriage mentioned
1762-Oct-07-b: bond indemnifying Sir Edward Turner; mentions her marriage
1803-Feb-21: mentioned in her husband's will
1816-Jun-25: mentioned as sister of Cassandra Leigh [Cooke], coheir with her of Anne Leigh
Leigh, Rev Dr Theophilus (Master of Balliol)
1685-Sep-15: a Latin document "found amongst Dr. Leigh's papers"
1728-xxx-xx: marriage settlement
1736-May-08: bound, with William Leigh, to Henry Wise for £720
1736-Mar-xx: Henry Wise obtains judgement against him for £720 at Court of Common Pleas
1747-Nov-02: conveyance of Broadwell Rectory to Drs Walker & Musgrave
1746-Feb-14-a: obligation re £570 paid by Edward Ryves to Thomas Wise, assigned to Lewis Pryse
1757-Apr-11: obligation re £570 passes from Lewis Pryse to William Walker & James Musgrave
1761-Jun-24: witnesses lease on property in Beckley to Robert Carr by Edward Bee
1762-Sep-22: gives £800 to each of his daughters
1762-Oct-07: Sir Edward Turner assigns Beckley to Edward Cooper & George Austen upon trust
1762-Oct-07-a: annuities settled on Cassandra Leigh conditionally
1762-Oct-07-b: bond indemnifying Sir Edward Turner
1763-Aug-05: executor and legatee under will of Cassandra Wight
1766-Sep-16-a: witnesses lease on property in Beckley to William Ledwell by Thomas Leigh
1768-Jun-11: marriage settlement of his daughter Cassandra and Samuel Cooke
1816-Jun-25: mentioned as husband of Anne Leigh (née Bee)
Leigh, Rev Thomas (of Broadwell, later Rector of Adlestrop, nephew of Theophilus)
1761-Jun-24-a: mentioned in attached note (to replace Edward Bee)
1762-Oct-07: Sir Edward Turner assigns Beckley to Edward Cooper & George Austen upon trust
1762-Oct-07-a: annuities settled on Cassandra Leigh conditionally
1762-Oct-07-b: bond indemnifying Sir Edward Turner mentions his marriage
1763-Apr-16: leases property to John Carr
1764-Oct-08: leases property to Thomas Busby & James Lamball on lives of 3 Busbys
1765-May-01: lease of property in Beckly to Christopher Lipscomb
1766-Sep-16: leases Beckley property to William Ledwell
1768-Jun-11: trustee to marriage settlement of Samuel Cooke and Cassandra Leigh
1769-Feb-11: lease of property in Beckley to John Payne
1772-Mar-02: purchase of leasehold estate for Samuel & Cassandra Cooke
1775-Jul-20: lease of property to John Carter
1775-Jul-20-a: lease of property to John Carter (counterpart)
1778-Aug-13: leases piece of ground in Beckley to James Lamball
1780-Jan-26: lease of tenement, built by Richard Huggins, to Sarah Lipscombe
1800-Dec-26: leases property in Beckley to Thomas Jessop
1803-Feb-21: will (mention only)
1803-May-04: lease of cottage in Beckley to Thomas Busby
1803-May-04-a: renewal of lease on cottage, garden & orchard to Thomas Busby
1805-Apr-02: leases messuage in Beckley to John Payne the younger
1809-Apr-06: leases piece of ground in Beckley to Rev Samuel Cooke for 99 years & 3 lives
1816-Jun-25: mentioned as husband of Mary Leigh
Leigh, Rev Thomas (of Harpsden (aka Harding), Oxon, brother of Theophilus)
1752-Apr-14: assigned judgement against John Izzard in trust for W. Walker & J. Musgrave
1762-Oct-07: Sir Edward Turner assigns Beckley to Edward Cooper & George Austen upon trust
1762-Oct-07-b: of Harding; with his wife transfers money to Sir Edward Turner
1763-Aug-05: legatee under will of Cassandra Wight
1765-Jul-09: mentioned as deceased in codicil to Cassandra Wight's will
Leigh, William (of Adlestrop)
1736-May-08: bound, with Theophilus Leigh, to Henry Wise for £720
1746-Feb-14-a: his and Theophilus Leigh's obligation for £570 now to Edward Ryves
1747-Nov-02: party to conveyance of Broadwell Rectory to Drs Walker & Musgrave
Leigh-Perrot, James
see Perrot
Lethbridge, Christopher
1812-Apr-06: update to Charles & Sarah Cooke's marriage settlement
1823-Nov-15: update to Sarah Cooke's marriage settlement (trustee)
1837-Nov-06: mentioned as having died 15/Oct/1830 in winding up of marriage settlement trust
Lethbridge, John King (of Tregeare, Laneast, Cornwall, Esq)
1821-Dec-12: trustee for £1600 from Janetta Cooke
1834-Jan-31: winding up Janetta Cooke's trust
Lethbridge, Robert (of 8 Grays Inn Square, Middlesex, later of New South Wales, Gent)
1821-Dec-12: trustee for £1600 from Janetta Cooke
1834-Jan-31: winding up Janetta Cooke's trust
Lethbridge, Sarah
see Cooke, Sarah (I)
Lewis, Henry (of Beckley, farmer)
1816-Jun-25: witness to assignment of Beckley estate to William Oddie
Lewin, Henry (or Henry Lewis?)
1822-Jul-22: witness to Richard Carr's signature on sale of land to Theophilus Leigh Cooke
Lipscomb, Christopher (of Beckley)
1761-Jun-24-a: mentioned in attached note (lease to be renewed in his name)
1765-May-01: takes lease on property in Beckly
Lipscombe, John (son of Sarah Lipscombe)
1780-Jan-26: life mentioned in lease of tenement to Sarah Lipscombe
Lipscombe, Henry (son of Sarah Lipscombe)
1780-Jan-26: life mentioned in lease of tenement to Sarah Lipscombe
Lipscombe, Sarah (of Beckley, widow)
1780-Jan-26: leases tenement, built by Richard Huggins, from Rev Thomas Leigh
Loaring, Samuel (of Hawk-Church, Dorset, clothier)
1738-Mar-24 (Devon): concerning John Ham's property in Shute
Lord, Charles (Bishop of Oxford)
1809-Jul-01: party to assigning of 2 enclosed fields at Great Barford to Rev George Leigh Cooke
Louch, John (of New College, butler)
1801-Mar-28: takes over lease on messuage in Beckley from William Tipping et al
1805-Mar-02: assigned messuage at Beckley by James Lay for remainder of 500 year term
1832-Mar-25: mentioned as having died in Dec 1830 with will of 4/May/1830
Louch, William (of Chieveley, Berks, yeoman)
1832-Mar-25: sells several leasehold cottages & gardens to Theophilus Leigh Cooke
Lowndes, Rev Thomas (of Magdelen College, clerk)
1816-Jun-25: party to assignment of Beckley estate to William Oddie upon trust
Mackaness, John (I, of Beckley)
1769-Nov-07: leases messuage in Beckley from Rev John & Susannah Rusworth
1769-Nov-08: purchases messuage in Beckley from Rev John & Susannah (née Price) Rusworth
1806-Sep-02: mentioned as deceased in lease of property by his son to Samuel Cooke
Mackaness, John (II, of the Middle Temple, Esq)
1802-May-12: assigned leasehold premises at Beckley by Robert Ashfield
1805-Jul-08: William Brydges Ledwell gives up claims to piece of ground in Beckley
1806-Sep-02: leases messuage in Beckley to Rev Samuel Cooke for 1 year
1806-Sep-03: release of freehold & assignment of property in Beckley to Rev Samuel Cooke
Mackenzie, George
1812-Apr-06: mentioned as trustee of Charles & Sarah Cooke's marriage settlement since 1811
1823-Nov-15: gives up trusteeship of Sarah Cooke's marriage settlement
Mallam, Thomas (of Oxford, auctioneer)
1827-Oct-13: trustee of marriage settlement for Elizabeth Shayler & John Collett (Malthouse)
1838-Sep-29: piece of ground in Beckley & close on Otmoor assigned to Theophilus Leigh Cooke
March, Richard (I, of Enfield, Middlesex, merchant)
1683-Aug-15: mentioned in assignment of moiety of Beckley to Elizabeth Howland
1683-Aug-15-a: Francis Hall assigns judgements against John Izard in trust for John Foster
1683-Aug-15-d: assigned with John Foster the moiety and manor of Beckley (security)
1687-Apr-08: could be Richard March (II); witness to will of John Foster (II)
1690-Jan-10: assigned property by Francis Hall (of Whit[?], Glos)
1702-Sep-07: Manor of Beckley assigned to Philip Pledger in trust for John Ange & his heirs
1708-Jan-08: with others sells interest of John Foster's estate in Beckley
March, Richard (II, of Beckley, yeoman)
1702-Sep-07: assigned property by Francis Hall (of Whit[?], Glos)
March, Sarah (of Beckley, widow)
1687-Apr-08: assigned property by Francis Hall (of Whit[?], Glos)
1702-Sep-07: assigned property by Francis Hall (of Whit[?], Glos)
1708-Jan-08: with others sells interest of John Foster's estate in Beckley
Marsh, William (of Beckley, yeoman)
1805-Jul-31: mentioned in lease of property in Beckley
Martin, James (of Beckley, yeoman)
1763-Aug-02: mentioned in lease of property in Beckley
Marwood, Benedict (of Beckley, yeoman)
1727-xxx-xx: mentioned in lease of property in Beckley
1738-Mar-24: mentioned in lease of property in Beckley
Matthews, Richard (of Beckley, yeoman)
1718-Dec-24: mentioned in lease of property in Beckley
Heat
1732-Feb-01: mentioned in lease of property in Beckley
Matthews, Thomas (of Beckley, yeoman)
1732-Feb-01: mentioned in lease of property in Beckley
Mauder, Thomas (of Beckley, yeoman)
1717-Jan-17: mentioned in lease of property in Beckley
Meader, Drucilla
1684-Aug-09: mentioned in lease of property in Beckley
Mewdigatt, Gresswell (of Beckley, yeoman)
1591-Aug-27: mentioned in lease of property in Beckley
Middleton, William (of Beckley, yeoman)
1732-Feb-01: mentioned in lease of property in Beckley
1740-Sep-13: mentioned in lease of property in Beckley
1741-Feb-24: mentioned in lease of property in Beckley
Miles, Eleanor (of Beckley, yeoman)
1735-Sep-06: assigned property by Francis Hall (of Whit[?], Glos)
Miles, William (of Beckley, yeoman)
1717-May-17: lease of property in Beckley
1735-Sep-06: assigned property by Francis Hall (of Whit[?], Glos)
Milne, Alexander (of Beckley, yeoman)
1848-Aug-15: trustee of marriage settlement for Elizabeth Shayler & John Collett (Malthouse)
March, Richard (II, son of Richard March)
1702-Sep-07: heir of Richard March & party to assignment of Beckley Manor to John Ange
March, Sarah (dau of John Foster (I), wife of Richard March (I))
1687-Apr-08: beneficiary under will of John Foster (II)
1702-Sep-07: Manor of Beckley assigned to Philip Pledger in trust for John Ange & his heirs
1708-Jan-08: with others sells interest of John Foster's estate in Beckley
Marsh, William
1805-Jul-31: witness to Jonathan Cooper's signature on loan agreement
Martin, James (nephew of Cassandra Wight)
1763-Aug-05: legatee under will of Cassandra Wight
Marwood, Benedictus (of Hornshay, Devon)
1727-xxx-xx (Devon): indenture between him & John Ham
1738-Mar-24 (Devon): concerning John Ham's property in Shute
Matthews, Richard (of Beckley, blacksmith)
1718-Dec-24: mentioned as being in occupation, for 500 years, of messuage assigned to Joseph
Hicat
1732-Feb-01: his administrator a party to assignment of lease in Beckley to William Middleton
Matthews, Thomas (of Oxon, blacksmith)
1732-Feb-01: as admin of Richard Matthews party to assignment of lease in Beckley
Mauder, Thomas (of Toddenham, Glos, Gent)
1717-Jan-17: property at Broadwell
Meader, Drucilla
1684-Aug-09: mentioned as having 1000-year lease on property in Beckley
Mewdigatt, Gresswell (kinswoman of John Croke)
1591-Aug-27: her and Edmund Izard's prenuptial agreement
Middleton, William (of Beckley, yeoman)
1732-Feb-01: takes over lease on Messuage & Garden in Beckley from Thomas Symonds
1740-Sep-13: indenture connected with messuage in Beckley
1741-Feb-24: indenture concerning messuage in Beckley
Miles, Eleanor (of Oxford, widow of William Miles)
1735-Sep-06: as adminx of William Miles assigns land & malthouse to Richard Gammon
Miles, William (of Beckley, Gent)
1717-May-17: leases property in Beckley from Edward Bee
1735-Sep-06: his widow assigns land & malthouse to Richard Gammon
Milne, Alexander (Esq, Commissioner of HM's Woods etc)
1848-Aug-15: transfer of piece of land in Stowood to George Leigh Cooke
Milton, Rowland (yeoman)
1591-Aug-27: trustee to Edmund Izard's marriage agreement
Mocatta, Mrs (née Cooke)
1907-Oct-xx: legacy from Caroline Cassandra Cooke
1918-May-xx: beneficiary under will of Rev George Theophilus Cooke
Montague, Earl of Abingdon
1821-Mar-02: grants Right of Way across Otmoor to Cassandra Cooke
1822-Jul-22: land on Otmoor mentioned to locate piece of land sold to Theophilus Leigh Cooke
1829-Apr-15: inclosure allotment mentioned to locate grant of land to Ralph Butler
1830-Jul-07: note shows Holland Field, Otmoor, assigned to him by Theophilus Leigh Cooke
1844-Aug-01: property mentioned to locate property assigned to Caroline Cassandra Cooke
Moore, Anthony (of Garsington, Oxon, blacksmith)
1735-Feb-07: assigned land & malthouse in Beckley by Richard Gammon
1804-Aug-07: mentioned as once possessing land assigned by Charles Moore to Stephen Davis
1804-Aug-11: his administrator, Charles Moore, mortgages land & malthouse to Stephen Davis
Moore, Charles (of Horsepath, Oxon, victualler)
1804-Aug-07: with Jonathan Cooper assigns lease on land in Beckley to Stephen Davis as security
1804-Aug-11: mortgages land & malthouse at Beckley to Stephen Davis for £60
Morgan, Francis (of Percy Street, St Pancras, Middlesex, Esq)
1816-Jun-25: party to assignment of Beckley estate to William Oddie upon trust
Morell (? at law)
1806-Sep-02: witnesses John Mackaness' signature on sale of messuage to Samuel Cooke
Morpeth, Viscount
see Howard, George William Frederick
Morris, Elizabeth
1809-Apr-06: mentioned as occupying piece of ground in Beckley leased to Rev Samuel Cooke
Morris, James
1806-Sep-02: mentioned as previous occupier of messuage in Beckley assigned to Samuel Cooke
1819-Jun-07: previous occupier of messuage in Beckley mortgaged by Samuel Cooke
Mortimer, John
1717-May-17: mentioned as possessing a ley to the south of land leased to William Miles
Musgrave, Dr James, DLL (of University of Oxford, later Rector of Chinnor, Oxon, nephew of Jane Leigh née Walker)
1747-Nov-02: conveyance of Broadwell Retry from Theophilus Leigh to Drs Walker & Musgrave
1752-Apr-14: assigned judgement against John Izard (Thomas Leigh of Harding trustee)
1757-Apr-11: obligation re £570 passes from Lewis Pryse to William Walker & James Musgrave
1759-Jun-14: assignment of Beckley estate to Mary Waldo
1762-Oct-07-b: Sir Edward Turner takes over trusteeship on payment of monies
Nelson (female cousin of Cassandra Wight)
1763-Aug-05: legatee under will of Cassandra Wight
Norreys, Lord
1821-Mar-02: party to grant of Right of Way by Earl of Abingdon to Cassandra Cooke
North, Martha
1775-Jul-19: legatee under codicil to Cassandra Wight's will
Oddie, William (of Headington, clerk)
1816-Jun-25: assigned Beckley estate upon trust
1817-Nov-03: Beckley settlement
Orlobar, Jane (wife of Richard)
1675-Sep-23: leases on property in Beckley, Charlton-upon-Otmoor & elsewhere
1680-Jan-18: assignment of manors of Beckley & Charlton-upon-Otmoor to Gregory Geering
Orlobar, Richard (of Harrold, Beds, Esq)
1675-Sep-23: leases on property in Beckley, Charlton-upon-Otmoor & elsewhere
1680-Jan-18: assignment of manors of Beckley & Charlton-upon-Otmoor to Gregory Geering
Osbalдson, Sir Charles (of Oxford, Baronet)
1741-Feb-24: indenture concerning messuage in Beckley
Paincifort, Edward (=Paucefort?)
1802-May-12: mentioned as having been assigned land in Beckley by Elizabeth Price
Paine, Joseph (of Crown Court, Charles Street, St Margarets, Westminster, greengrocer)
1810-Mar-23: buys lease on messuage in Beckley from John Payne (brother) for £75
Parker, John (the elder, of Botley, Berks, wheelwright)
1822-Nov-13: executor of Stephen Davis
1838-Sep-29: executor of Stephen Davis; assigns property in Beckley to Theophilus Leigh Cooke
Parker, William (of Iffley [Oxon], Gent)
1844-Aug-01: as executor of Richard Smith assigns property to Caroline Cassandra Cooke
Parrey [?], Charles (of Launceston)
1837-Nov-06: witnesses signatures of Sarah Cooke (II) and Lt. John Cooke in winding up of trust
Parrott, Robert (of Claydon, Bucks, farmer)
1858-Sep-11: party to lease on Grove Farm, Beckley
Parrott, William (of Holton Warren, Oxon, farmer)
1858-Sep-11: takes lease on Grove Farm, Beckley
Paucefort, Edward (of Mowman Street, St Marylebone, Middlesex, Esquire)
1785-Feb-14: mentioned as executor of Sir Charles Hardy, the executor of Constance Denton
Payne, John (I, of Beckley, labourer)
1762-Oct-16: attached note dated 4 Feb 1769 re renewal of lease
1769-Feb-11: takes lease on property in Beckley
1809-Mar-12: burial of a John Payne (BPR)
Payne, John (II, of Beckley, later of Stanton St John, son of John Payne (I))
1761-Apr-04-a: lease to John Gomm with attached note saying Jn° Payne's life to be added
1762-Oct-16: life listed in renewal of lease on messuages in Beckley to John Gomm
1769-Feb-11: life listed in lease of property in Beckley to John Payne (I)
1805-Apr-02: leases messuage in Beckley from Thomas Leigh
1810-Mar-23: sells lease on messuage in Beckley to Joseph Paine (brother) for £75
Payne, Mary (I, wife of John Payne (I), dau of John Gomm)
1761-Apr-04: life listed in lease of messuage in Beckley to John Gomm
1762-Oct-16: life listed in renewal of lease on messuages in Beckley to John Gomm
1769-Feb-11: life listed in lease of property in Beckley to John Payne
1803-Oct-14: burial of a Mary Payne (BPR)
Payne, Mary (II, daughter of John Payne (II))
1805-Apr-02: life (c. 28) listed in lease of messuage to John Payne the younger
Payne, Thomas (son of John Payne (I))
1762-Oct-16: attached note dated 4 Feb 1769 re renewal of lease says his name to be added
1769-Feb-11: life listed in lease of property in Beckley to John Payne (I)
1805-Apr-02: life (aged 49) listed in lease of messuage to John Payne the younger
Perrot, Perot
see Leigh Perrot
Perry, William (of St Giles)
1832-Mar-25: mentioned as executor, now dead, of John Louch
Petre, Anne (wife of Robert James, Lord Petre)
1735-Sep-04 (Devon): party to six-part indenture with Lord Petre et al
Petre, Lady Catherine (mother of Robert James, Lord Petre)
1735-Sep-04 (Devon): party to six-part indenture with Lord Petre et al
1735-Sep-10 (Devon): a marriage settlement
Petre, Lord Robert (of Writtle, Essex, 7th Baron)
1710-Mar-20 (Devon): lease of property in Branscombe to Joseph Ham
1710-Mar-20-a (Devon): lease of property in Branscombe to Joseph Ham
1718-May-17 (Devon): indenture with Robert Abdy & Thomas Clifton
Petre, Lord Robert James (of Writtle, Essex, 8th Baron)
1735-Sep-04 (Devon): first party to six-part indenture
1735-Sep-10 (Devon): marriage settlement
1751-Dec-04 (Devon): mentioned as deceased in lease of property to George Cooke
1753-Jan-19 (Devon): mentioned as deceased in lease on Manor of Shute to George Cooke
Petre, Lord Robert Edward (of Writtle, Essex, 9th Baron, only s. & h. of Robert James, Lord Petre)
1751-Dec-04 (Devon): lease of tenements (Littlecomb & Coxes) to George Cooke
1753-Jan-19 (Devon): mentioned as an infant in lease on Manor of Shute to George Cooke
1753-Jan-19-a (Devon): trustees lease property in Manor of Shute to George Cooke
Petre, Lord William (of Writtle, Essex, 4th Baron)
1664-Oct-15 (Devon): leasing of property in Shute to John Ham
1679-Oct-04 (Devon): lease of property in Shute to Joseph Ham
Pieat (misreading?)
see Hieat
Pilboys, John (or Hilbeys?)
1718-Dec-24: mentioned to locate messuage & garden leased to Joseph Kicatt (Hieat)
Pledger, Philip (of London, citizen & cloathworker)
1702-Sep-07: assigned Manor of Beckley in trust for John Ange & his heirs
1708-Jan-08: as executor of Sarah Foster, with others sells interest in Beckley estate
Price, Catharine (or Katherine, dau of William Price (I))
see Burt, Catharine
Price, Elizabeth (I, wife of William Price (I), daughter of Thomas Izard)
1692-Jun-15: Thomas Izard's will leaves her leasehold property in Beckley
1743-May-24: leasehold in Beckley assgnd to George Denton in trust for Elizabeth Price (daughter)
1785-Feb-02: beneficiary under William Price's will (date is that of probate certificate)
1785-Feb-14: mentioned as deceased with daughter Elizabeth as administratrix
1802-May-12: mentioned as having assigned land in Beckley to Edward Paincifort
Price, Elizabeth (II, of Whitfield, later of Beckley, spinster, dau of William Price (I))
1743-May-24: leasehold in Beckley assigned to George Denton in trust for her
1756-Nov-07: inherits £20 under will of Sarah Price
1785-Feb-02: beneficiary under William Price's will (date is that of probate certificate)
1785-Feb-14: property in Beckley leased to Robert Ashfield subject to her right to live there
Price, Rev Hugh (Rector of Little Ilford, Essex)
1794-May-05: rectory mortgaged to Charles Harris
Price, John (son of William Price (I))
1785-Feb-02: mentioned in William Price's will (date is that of probate certificate)
Price, Mary (dau of William Price (I))
1785-Feb-02: beneficiary under William Price's will (date is that of probate certificate)
Price, Philadelphia (dau of William Price (I))
see Fletcher
Price, Roger (son of William Price (I))
1756-Nov-07: inherits Beckley property under will of Sarah Price
1785-Feb-02: mentioned in William Price's will (date is that of probate certificate)
Price, Sarah (dau of William Price (I))
1756-Nov-07: will (proved 19/Oct/1758)
1785-Feb-02: beneficiary under William Price's will (date is that of probate certificate)
Price, Susannah (dau of William Price (I))
see Rushworth, Susannah
Price, Thomas (son of William Price (I))
1785-Feb-02: mentioned in William Price's will (date is that of probate certificate)
Price, Rev William (I, Rector of Whitfield, Northants)
1743-May-24: leasehold property in Beckley assigned to George Denton in trust for his daughter
1785-Feb-02: will (date is that of probate certificate; date of will uncertain)
1785-Feb-14: mentioned as deceased & having survived his wife Elizabeth
Price, William (II, son of Rev William Price (I))
1785-Feb-02: mentioned in William Price's will (date is that of probate certificate)
Pricket, Thomas (of Binsey, Oxon)
1740-Sep-13: indenture connected with messuage in Beckley
Prim [?], Edmund (Grocer of Gt Bookham)
1819-Jun-07: witnesses Samuel Cooke's signature on mortgage agreement
Prinie [?] (? at law)
1806-Sep-02: witnesses John Mackaness' signature on sale of messuage to Samuel Cooke
Provost of Eton (Patron of Rectory of Cottisford)
1809-Jul-01: party to assigning of 2 enclosed fields at Great Barford to Rev George Leigh Cooke
Pryse, Lewis (occasionally Pryce, of New Woodstock, Oxon, Esq)
1746-Feb-13: half of indenture between Edward Bee & Lewis Pryse
1746-Feb-14: assigned Beckley estate by Edward Bee redeemable on 15 Aug next
1746-Feb-14-a: obligation re £570, paid by Edward Ryves to Thomas Wise, assgnd to Lewis Pryse
1749-Mar-01: with Edward Bee leases Manor of Beckley to Mary Waldo for 1 year at 5 shillings
1749-Mar-02: with Edward Bee mortgages Beckley estate to Mary Waldo for £370 paid to LP
1757-Apr-11: obligation re £570 passes from Lewis Pryse to William Walker & James Musgrave
Roberson (of Oxford, possibly one of the following Robersons)
1801-Mar-28: apparently solicitor in assignment indenture (William Tipping to John Louch)
Roberson, Martha (wife of William Roberson)
1822-Nov-13: appointed executor of Stephen Davis (not mentioned in 1838-Sep-29)
Roberson, Thomas
1816-Jun-25: appointed trustee in assignment of Beckley estate
Roberson, William
1822-Nov-13: mentioned as husband of Martha Roberson
Rogers, James
1810-Mar-23: witnesses signature of Joseph Paine & mark of John Payne (sale of lease)
Russell, Elizabeth (wife of 1st Duke of Bedford)
1683-Aug-15: assignment of moiety of Beckley to Elizabeth Howland
Russell, Elizabeth (wife of 2nd Duke of Bedford, daughter of John Howland)
1683-Aug-15: assignment of moiety of Beckley to Elizabeth Howland
1695-May-21: moiety of Beckley assigned to trustees for Wriothesley Russell & Elizabeth Howland
1708-Jan-08: with Duke of Bedford buys out interest of John Foster's estate in Beckley
1710-Apr-26: Duke of Bedford assigns Manor & Rectory of Beckley to Edward Bee
1710-Apr-26-a: assignment of Manor & Rectory of Beckley to Edward Bee
Russell, Lady Rachel (wife of William Russell (II), daughter of Thomas, Earl of Southampton)
1695-May-21: mentioned as widow & relict of William Russell (II)
Russell, William (I, 1st Duke of Bedford)
1683-Aug-15: mentioned in assignment of moiety of Beckley to Elizabeth Howland
1695-May-21: moiety of Beckley assigned to trustees for Wriothesley Russell & Elizabeth Howland
Russell, William (II, Lord Russell, son of William Russell (I))
1695-May-21: deceased (moiety of Beckley assigned to Wriothesley Russell & Elizabeth Howland)
Russell, Wriothesley (Marquis of Tavistock, later 2nd Duke of Bedford, son of William Russell (II))
1695-May-21: mentioned as heir apparent to Duke of Bedford (assignment of moiety of Beckley)
1708-Jan-08: buys out interest of John Foster's estate in Beckley
1710-Apr-26: assignment of Manor & Rectory of Beckley to Edward Bee
1710-Apr-26-a: assignment of Manor & Rectory of Beckley to Edward Bee
1710-xxx-xx: indenture with Edward Bee & Triamer Baldwin
Rushworth (or Rusworth), Rev John
1769-Nov-07: leases messuage in Beckley to John Mackaness
1769-Nov-08: sells messuage in Beckley to John Mackaness
Rushworth, Susannah (wife of Rev John Rushworth, formerly Susannah Price, spinster)
1756-Nov-07: inherits £20 under will of Sarah Price
1769-Nov-07: leases messuage in Beckley to John Mackaness
1769-Nov-08: sells messuage in Beckley to John Mackaness
1785-Feb-02: beneficiary under William Price's will (date is that of probate certificate)
Rybes
see Ryves
Rycote, Baron (Oxon)
1821-Mar-02: party to grant of Right of Way by Earl of Abingdon to Cassandra Cooke
Ryves (Rybes), Edward (of Woodstock, Oxon, Esq, later of New Woodstock, Gent)
1729-Sep-01: Edward Bee sells judgement against John Izard with right to buy back
1729-Dec-01: party to mortgage of Beckley estates to Francis Seely
1746-Feb-14-a: obligation re £570, paid by Edward Ryves to Thomas Wise, assgnd to Lewis Pryse
1749-Mar-01: witnesses signature of Edward Bee on lease of Beckley Manor to Mary Waldo
1757-Apr-11: obligation re £570 passes from Lewis Pryse to William Walker & James Musgrave
1759-Jun-14: assignment of Beckley estate to Mary Waldo mentions £570 paid to Thomas Wise
Ryves, Edward (Junior)
1749-Mar-01: witnesses signature of Edward Bee on lease of Beckley Manor to Mary Waldo
Sanders, George (of Cassington, Oxon, yeoman)
1775-Mar-23: re-assigns lease on messuage in Beckley to John Carter
Sanders, Mary (wife of George Sanders, late Mary Ward, otherwise Mary Carr)
1730-Apr-27: a Mary Carr baptised (parents' names not given)
1775-Mar-23: party to re-assignment of lease (adminx of Mary Carr of Beckley)
Scarborough, Richard, Earl of
1735-Sep-04 (Devon): party to six-part indenture with Lord Petre et al
Scott, Mary
1754-Feb-19 (Devon): witnesses George Cooke's signature on declaration
Scragg, William
1832-Mar-25: occupant of cottage & garden sold by William Louch to Theophilus Leigh Cooke
Seely, Francis (of University of Oxford, barber)
1729-Sep-01: Edward Bee sells judgement against John Izard with right to buy back
1729-Dec-01: accepts mortgage on Beckley estates from Edward Bee
1747-Nov-02: £500 outstanding on Beckley mortgage
Seymour, Elizabeth (wife of Francis Edward Seymour)
1821-Dec-12: beneficiary of trust set up by Janetta Cooke
1837-Nov-06: winding up Sarah Cooke's marriage settlement trust
Seymour, Capt Francis Edward, RN (of Bampton, Devon)
1821-Dec-12: mentioned as husband of Elizabeth
1834-Jan-31: winding up Janetta Cooke's trust
1837-Nov-06: winding up Sarah Cooke's marriage settlement trust
Shayler, Elizabeth (I, spinster)
see Collett, Elizabeth
Shayler, Elizabeth (II, daughter of Elizabeth Shayler (I))
see Goodliffe, Elizabeth
Shepherd, Miss (niece of Cassandra Wight)
1763-Aug-05: legatee under will of Cassandra Wight
Shilfox, Daniel (of the Red-house, parish of Saint Nicholas, Deptford, Kent, Armourer)
1800-Feb-05: as admin of Martha Shilfox assigns messuage & orchard at Beckley to James Lay
Shilfox, Martha (of Oxford Street, Middlesex, mother of Daniel Shilfox)
1800-Feb-05: her administrator (Daniel Shilfox) assigns messuage & orchard to James Lay
Shillingford, John
see Izard
Simkins, Francis
1749-Dec-23: witnesses Edward Bee's signature in lease to Robert Carr of messuage with garden
Simmons, Joseph Edward (schoolmaster of Gt Bookham)
1819-Jun-07: witnesses Samuel Cooke's signature on mortgage agreement
Simmons, Mary
1749-Mar-01: witnesses signature of Lewis Pryse on lease of Beckley Manor to Mary Waldo
Simon, Mary
1757-Apr-11: witnesses Lewis Pryse's signature (assignment of obligation)
Smith, Francis (of Shute, yeoman)
1714-Jan-29 (Devon): lease
Smith, Hannah
1727-Mar-24 (Devon): indenture with Richard Gillett
Smith, John
1804-Aug-07: mentioned as having by his will assigned property in Beckley to Jonathan Cooper
Smith, Richard (I)
1740-Sep-13: indenture connected with messuage in Beckley
Smith, Richard (II, of Oxford, printseller)
1819-Jun-07: lends £500 to Samuel Cooke for one year on security of property in Beckley
1844-Aug-01: executor (William Parker) assigns property to C. C. Cooke on redmptn of mortgage
Smith, Thomas
1832-Mar-25: occupant of cottage & garden sold by William Louch to Theophilus Leigh Cooke
Smith, William
1743-May-24: mentioned as possessing property assigned to George Denton
Smyth, Sir Edward (of Hill Hall, Essex, Bart)
1735-Sep-04 (Devon): (Esq) party to six-part indenture with Lord Petre et al
1751-Dec-04 (Devon): lease of tenements (Littlecomb & Coxes) to George Cooke
1753-Jan-19 (Devon): as trustee for Lord Petre leases Manor of Shute to George Cooke
1753-Jan-19-a (Devon): as trustee for Lord Petre leases property in Shute to George Cooke
Soans, Ann
1761-Apr-04: life listed in lease of messuage in Beckley to John Gomm
1761-Apr-04-a: copy of above with note attached mentioning death of Ann Soans
South, Sir Edward (Knt)
1735-Sep-04 (Devon): party to six-part indenture with Lord Petre et al
Southampton, Thomas, Earl of (Wriothesley)
1695-May-21: mentioned as father of Lady Rachel Russell
Southrott, Thomas (of Ottery St Mary, Gent)
1735-Sep-10 (Devon): marriage settlement of Robert James, Lord Petre
1738-Mar-24 (Devon): concerning John Ham's property in Shute
Stratford Laughton, Essex
1682-Jun-22: Sir William Humble (indenture with Francis Hall & John Howland)
Sutton, Robert (of University of Oxford, barber)
1721-Oct-12: leases messuage with garden, the New Inn, from Edward Bee for 500 years
Symonds, Thomas (of Oxon, victualler)
1732-Feb-01: assigns lease on Messuage & Garden in Beckley to William Middleton
Tatham, Thomas James (Otmoor Enclosure Commissioner)
1830-Jul-07: land granted to Theophilus Leigh Cooke
Tavistock, Marquis of
see Russell, Wriothesley
Tawney, Robert (of Binsey, Oxford, yeoman)
1740-Sep-13: indenture connected with messuage in Beckley
Teynham, Henry, Lord
1735-Sep-04 (Devon): party to six-part indenture with Lord Petre et al
Thompson (widow)
1743-May-24: possessed of leasehold in Beckley
Tipping, Elizabeth (formerly Faulkner, 2nd daughter of Susanna Hart, wife of William Tipping)
1801-Mar-28: William Tipping (her administrator) assigns messuage in Beckley to John Louch
Tipping, William (of Beckley, yeoman)
1801-Mar-28: assigns messuage in Beckley to John Louch
Toms, Richard (or James?)
1718-Dec-24: mentioned to locate messuage & garden leased to Joseph Kicatt
Townley, John (of Boston, New England)
1761-May-09: mentioned in ending of partnership between John Corne & Michael Cooke
Trinder, Mrs Elizabeth
1836-Jan-30: trust set up under her will with Theophilus Leigh Cooke as trustee
Tuckwell, Rev L. S.
1918-May-xx: accounts re will of Rev George Theophilus Cooke
Turner, Dame Cassandra (née Leigh, wife of Sir Edward Turner)
1762-Oct-07-a: mentioned as executrix of Sir Edward Turner in later note on this document
1762-Oct-07-b: later note on bond mentions CT as Sir Edward Turner's executrix
1768-Jun-11: mentioned in marriage settlement of Samuel Cooke and Cassandra Leigh
Turner, Sir Edward (of Ambrosden, Baronet)
1747-Nov-02: annuity to be paid to Edward Bee
1762-Oct-07: Sir Edward Turner assigns Beckley to Edward Cooper & George Austen upon trust
1762-Oct-07-a: annuities settled on Cassandra Leigh conditionally
1762-Oct-07-b: bond from Theophilus Leigh & others indemnifying Sir Edward Turner
Twistleton, Thomas (of Broughton, *son of Lord Saye and Sele*)
1768-Jun-11: trustee to marriage settlement of Samuel Cooke and Cassandra Leigh
1772-Mar-02: purchase of leasehold estate for Samuel & Cassandra Cooke
[Victoria] (The Queen's Most Excellent Majesty)
1848-Aug-15: transfer of piece of land in Stowood to George Leigh Cooke
Wakefield, [?] (widow)
1766-Sep-16-a: mentioned in later pencil insertion (1805)
1809-Apr-06: mentioned as occupying piece of ground in Beckley leased to Rev Samuel Cooke
Waldo, Miss Emma (niece of Cassandra Wight; *dau of Dr Waldo and Emma sisitr of Theophilus Leigh*)
1763-Aug-05: legatee under will of Cassandra Wight
Waldo, Mary (of Oxford, spinster, sometimes styled Mrs, *presumably related to Dr Waldo. Theophilus Leigh's brother-in-law*)
1738-Oct-13: witnesses Edward Bee's signature on lease to John Gomm
1746-Feb-14: witness to Edward Bee's assignment of Beckley estate to Lewis Pryse
1749-Mar-01: leases Manor of Beckley off Lewis Pryse & Edward Bee for 1 year at 5 shillings
1749-Mar-02: gives mortgage on Beckley estate to Lewis Pryse & Edward Bee
1757-Apr-11: William Walker pays her remainder of £570; obligation goes to him & J. Musgrave
1759-Jun-14: payment of £370 to MW out of Beckley Trust funds
1762-Oct-07: Sir Edward Turner assigns Beckley to Edward Cooper & George Austen upon trust
1762-Oct-07-b: bond indemnifying Sir Edward Turner (later note refers to MW as Mrs)
1763-Aug-05: witness to will of Cassandra Wight
1765-Jul-09: witness to codicil to Cassandra Wight's will
1768-Jun-11: witnesses marriage settlement of Samuel Cooke and Cassandra Leigh
Walker, Jane (Mrs)
see Leigh
Walker, John
1766-Sep-16-a: witnesses lease on property in Beckley to William Ledwell by Thomas Leigh
Walker, Dr William, DLL (of University of Oxford, *brother of Jane Leigh*)
1747-Nov-02: conveyance of Broadwell Rectory to Drs Walker & Musgrave
1752-Apr-14: assigned judgement against John Izard (Thomas Leigh of Harding trustee)
1757-Apr-11: obligation re £570 passes from Lewis Pryse to William Walker & James Musgrave
1759-Jun-14: assignment of Beckley estate to Mary Waldo
1762-Oct-07-b: bond indemnifying Sir Edward Turner; WM mentioned as deceased
Walmsley, Thomas (collector, Great Budworth, Cheshire)
1859-May-25: witnesses Samuel Hay Cooke's signature on sale of piece of ground at Otmoor
Ward, Ephraim
1749-Mar-01: witnesses signature of Lewis Pryse on lease of Beckley Manor to Mary Waldo
1757-Apr-11: witnesses Lewis Pryse's signature (assignment of obligation)
Ward, Joseph
1806-Sep-02: mentioned as previous occupier of messuage in Beckley assigned to Samuel Cooke
1819-Jun-07: previous occupier of messuage in Beckley mortgaged by Samuel Cooke
Ward, Mary
see Sanders, Mary
Watkins, John
1761-Jun-24-a: mentioned in later attached note as possessing property (with Thomas Busby)
1765-May-01: possesses property in Beckley leased to Christopher Lipscomb
1780-Jan-26: mentioned as possessing tenement leased to Sarah Lipscombe
Webb, Sir John (Bart)
1735-Sep-04 (Devon): party to six-part indenture with Lord Petre et al
Webb, John (Esq)
1735-Sep-04 (Devon): party to six-part indenture with Lord Petre et al
Weekes, Thomas (of Salcombe, Devon)
1804-Sep-29: leases property in Devon called Wyatts from Samuel Cooke for 14 years
Wells, John (of Broadwell, yeoman, nephew and executor of John Barker)
1717-Jan-17: property at Broadwell
Wetherell, Nathan (Esq)
1857-Feb-19: assistant Inclosure commissioner; holds meeting at Crown Inn, Charlton
Wheatland, Stephen
1761-Jun-24: witnesses lease on property in Beckley to Robert Carr by Edward Bee
Wheaton, William
1751-Dec-04 (Devon): possessor of Coxes, leased to George Cooke
White, Anne (sister of Thomas White)
1723-Oct-24: life listed in lease of property in Beckley to Thomas White
White, Edward (of Beckley, yeoman)
1723-Nov-14: leases land in Beckley from Edward Bee
1749-Dec-23: mentioned as deceased
White, Elizabeth (sister of Thomas White)
1723-Oct-24: life listed in lease of property in Beckley to Thomas White
White, George (the elder, of Salcombe, Devon, yeoman)
1846-Jul-30: party to lease of messuage, called Wyatts, in Salcombe from George Leigh Cooke
White, George (the younger, of Salcombe, Devon, yeoman)
1846-Jul-30: party to lease of messuage, called Wyatts, in Salcombe from George Leigh Cooke
White, John (son of Edward White)
1723-Nov-14: life listed in lease of property in Beckley by Edward Bee to Edward White
White, Thomas (of parish of Christ Church, City of London, yeoman, son of Edward White)
1723-Oct-24: leases messuage & garden in Beckley from Edward Bee
1723-Nov-14: life listed in lease of property in Beckley by Edward Bee to Edward White
Wight, Captain (of Blakesley)
1763-Aug-05: mentioned as deceased in his wife's will
Wight, Miss (sister of Henry Wight)
1763-Aug-05: legatee under will of Cassandra Wight
Wight, Cassandra (née Leigh, wife of Captain Wight)
1763-Aug-05: will
1768-Jun-11: witnesses marriage settlement of Samuel Cooke and Cassandra Leigh
1779-Sep-23: probate certificate
Wight, Henry (of Blakesley, Northants)
1763-Aug-05: legatee under will of Cassandra Wight
Willoughby, Sir Thomas (of Wolaton, Notts)
1695-May-21: trustee for Wriothesley Russell & Elizabeth Howland
1710-Apr-26-a: assignment of Manor & Rectory of Beckley to Edward Bee
Winterburn, Elizabeth
1762-Oct-07-a: witnesses signatures of Theophilus & Ann Leigh
Wise, Rev E. L.
1907-Oct-xx: legacy from Caroline Cassandra Cooke
Wise, Henry (of City of Oxford, mercer)
1736-May-08: Theophilus & William Leigh acknowledge debt of £720
1736-Mar-xx: obtains judgement against Theophilus Leigh for £720 at Court of Common Pleas
1746-Feb-14-a: mentioned as deceased with Thomas Wise his executor
Wise, Thomas (of City of Oxford)
1746-Feb-14-a: obligation re £570 paid by Edward Ryves to Thomas Wise & assgnd to Lewis Pryse
1759-Jun-14: assignment of Beckley estate to Mary Waldo mentions £570 paid by Edward Ryves
Wyatt, Sarah (of Sidmouth, widow, sister of Joseph Ham, later wife of George Cooke)
1738-Mar-23 (Devon): purchases cottage in Shute from Joseph Ham
1738-Mar-24 (Devon): concerning the late John Ham's property in Shute
1738-Mar-24-a (Devon): grant of cottage & land in Shute to Sarah Wyatt (Joseph Ham's sister)
Wyatt, Matthew (also Wiatt, of Stanton St John, baker)
1736-May-20: takes lease (1722-Dec-01) on property in Beckley off Thomas Bullford
1801-Mar-28: Elizabeth Tipping mentioned as his legatee
Wynne, Henry (of the Inner Temple)
1668-Jun-08: mortgage of Beckley & Otmoor estates by John Izard to Dame Mary Hatton
Yates, Rev Richard (chaplain of Chelsea Hospital)
1815-Oct-23: trustee to marriage settlement of Anne Hay and George Leigh Cooke
1839-May-14: after his death replaced as trustee by John Irving Glennie
1839-May-14-a: death recorded in update to George Leigh Cooke's marriage settlement
?, Eliz:
1766-Sep-16-a: amendment (1805) indicates Eliz.: ? as occupier of property at Mead Close
?, William (of Oxford, mercer)
1740-Sep-13: lease of messuage in Beckley
Adlestrop
1736-Apr-29
1747-Jun-10
1765-Jan-10
1768-Aug-10
1769-Nov-10
1772-Nov-10
1775-Jan-10
1775-Jun-10
1778-Aug-10
1800-Dec-10
1803-Mar-10
1809-Apr-10
1816-Jul-10
Ambrosden
1762-Oct-10
1762-Oct-10
Amorsdon
see Ambricote
Axminster, Devon
1718-May-10
1718-Dec-10
1723-Jun-10
Bulliol College
1743-May-10
1761-Jun-10
1768-Jun-10
1772-Mar-10
Bampton, Devon
1834-Jan-10
1837-Nov-10
Barford St Michael
see Great Barrington
Barking, Essex
1763-Aug-10
Bush
1805-Jul-08
Buts, New King's Lynn
1821-Dec-12
Index of Place Names
Adlestrop, Glos
1736-May-08: William Leigh of Adhillthrop [sic] (with Theophilus Leigh owes Henry Wise £720)
1747-Nov-02: William Leigh (conveyance of Broadwell Rectory)
1765-May-01: Rev Thomas Leigh (lease of property in Beckley)
1768-Jun-11: Thomas Leigh, Rector (marriage settlement of Samuel Cooke and Cassandra Leigh)
1769-Feb-11: Rev Thomas Leigh (lease of property in Beckley to John Payne)
1772-Mar-02: Thomas Leigh (purchase of leasehold estate for Samuel & Cassandra Cooke)
1775-Jul-19: poor of, legatees in codicil to Cassandra Wight's will
1775-Jul-20: Rev Thomas Leigh (lease of property in Beckley to John Carter)
1778-Aug-13: Rev Thomas Leigh (lease of piece of ground in Beckley to James Lamball)
1800-Dec-26: Rev Thomas Leigh (lease of property to Thomas Jessop
1803-May-04: Rev Thomas Leigh (lease of cottage to Thomas Busby)
1809-Apr-06: James Henry Leigh, father of Chandos (lease of land at Beckley to Samuel Cooke)
1816-Jun-25: Rev Thomas Leigh (mentioned in assignment of Manor of Beckley)
Ambrosden, Oxon (Amorsdon)
1762-Oct-07-a: Sir Edward Turner, Abraham Chew, William Crossby (annuities assigned)
1762-Oct-07-b: Sir Edward Turner (bond of indemnity from Theophilus Leigh and others)
Amorsdon
see Ambrosden
Axminster, Devon (or Hemister?)
1718-May-14 (Devon): lease of land in Shute to John Gillett by William Hallet
1718-Dec-08 (Devon): John Gillett (property in Shute)
1723-Jun-20 (Devon): John Gillett (lease on property in Shute)
Balliol College, Oxford
1743-May-24: Mr Jones, Fellow of Balliol, once possessed of leasehold in Beckley
1761-Jun-24-a: attached note is in an envelope addressed to Mrs Leigh at Balliol College
1768-Jun-11: Theophilus Leigh, Master; Samuel Cooke MA (marriage settlement)
1772-Mar-02: Samuel Cooke (purchase of leasehold estate under marriage settlement)
Bampton, Devon
1834-Jan-31: Francis Edward Seymour & Sarah Cooke (winding up Janetta Cooke's trust)
1837-Nov-06: Francis Edward Seymour (winding up marriage settlement trust of Sarah Cooke (I))
Barford St Michael
see Great Barford
Barking, Essex
1763-Aug-05: will of Cassandra Wight
Bath
1805-Jul-08: William Brydges Ledwell & Ann Ledwell (indenture of disclaimer)
Bath, New King St
1821-Dec-12: Janetta Cooke (setting up of trust)
Beaufort
see under Personal Names
Beckley, Oxon
1591-Aug-27: Edmund Izard (marriage agreement)
1666-May-18: John Izard (grants moiety of manor & rectory of Beckley to Francis Hall as security)
1668-Jun-08: John Izard mortgages Beckley and Otmoor estates to Dame Mary Hatton for £1500
1670-Jun-01: John Izard assigns moiety of Manor of Beckley to Francis Hall for £1200
1675-Sep-23: leases on property in Beckley, Charlton-upon-Otmoor & elsewhere
1676-Jan-25: Francis Hall assigns Beckley property to William Humble for £450 (redeemable)
1680-Jan-18: assignment of manors of Beckley & Charlton-upon-Otmoor to Gregory Geering et al
1683-Aug-15: assignment of moiety of Beckley to Elizabeth Howland
1683-Aug-15-b: assignment of the moiety and manor of Beckley to John Foster
1683-Aug-15-c: assignment of the moiety and manor of Beckley to John Foster
1683-Aug-15-d: assignment of the moiety and manor of Beckley to John Foster (security)
1684-Aug-09: John Izard leases cottage or tenement in Beckley to Thomas Izard for £43
1692-Jun-06: lease of Millfield[?] by John to Thomas Izard
1692-Jun-15: will of Thomas Izard leaves leasehold property to Elizabeth price (his daughter)
1695-May-21: moiety of Beckley assigned to trustees for Elizabeth Howland & Wriothesley Russell
1702-Sep-07: Manor of Beckley assigned to Philip Pledger in trust for John Ange & his heirs
1708-Jan-08: Duke of Bedford et al buy interest of John Foster's estate in Beckley
1710-Apr-26: Duke of Bedford assigns Manor & Rectory of Beckley to Edward Bee
1710-Apr-26-a: assignment of Manor & Rectory of Beckley to Edward Bee
1717-May-17: Edward Bee leases property in Beckley to William Miles
1718-Dec-24: Edward Bee leases messuage to Joseph Kicatt.(Hieat)
1720-Nov-10: Edward Bee renews Richard Huggin's lease on mesuage
1721-Oct-12: Edward Bee leases New Inn to Robert Sutton for 500 years
1722-Sep-01: Edward Bee leases property to Thomas Bullford
1722-Dec-01: Edward Bee leases property to Thomas Bullford
1723-Oct-24: Edward Bee leases mesuage & garden in Beckley to Thomas White
1723-Nov-14: Edward Bee leases land in Beckley to Edward White
1724-Sep-02: Edward Bee leases a piece of ground in Beckley to John Gomm
1724-Feb-20: Edward Bee renews lease to Robert Carr
1725-Dec-02: Edward Bee renews Thomas Busby's lease
1729-Sep-01: Edward Bee sells judgement against John Izard with right to buy back
1729-Dec-01: mortgage of Beckley Manor and property to Francis Seely
1731-Nov-13: Edward Bee leases land & messuage to John Gomm
1732-Jul-22: Edward Bee & Robert Carr (renewal of lease)
1732-Feb-01: Thomas Symonds assigns lease on messuage & garden to William Middleton
1735-Sep-06: Eleanor Miles assigns land & malthouse to Richard Gammon
1736-May-20: Thomas Bullford assigns lease on property in Beckley to Matthew Wiatt
1738-Oct-13: Edward Bee renews John Gomm's lease
1740-Sep-13: William Middleton (indenture concerning messuage in Beckley)
1741-Feb-24: William Middleton (indenture concerning messuage in Beckley)
1743-May-24: leasehold in Beckley assgnd to George Denton in trust for Elizabeth Price (daughter)
1746-Feb-14: Edward Bee assigns Beckley estate to Lewis Pryse redeemable on 15 Aug next
1748-Nov-12: Thomas Huggins mortgages messuage & garden to Robert Carr for £120
1749-Mar-01: Lewis Pryse & Edward Bee lease Manor of Beckley to Mary Waldo for 1 year
1749-Mar-02: Lewis Pryse & Edward Bee mortgage Beckley estate to Mary Waldo for £370
1749-Dec-21: Thomas Huggins sells lease on messuage & garden to Robert Carr
1749-Dec-23: Edward Bee leases messuage with garden to Robert Carr
1756-Jan-31: Edward Bee leases property in Beckley to Richard Busby
1756-Jan-31-a: counterpart of above
1756-Nov-07: Roger Price inherits property from Sarah Price
1758-Jan-21: Edward Bee leases messuage to Thomas Busby & James Lamball
1759-Jun-14: Beckley estate assigned to Mary Waldo
1760-Sep-15: Edward Bee leases ground at Beckley to William Ledwell on three lives
1761-Apr-04: Edward Bee leases messuages to John Gomm
1761-Jun-24: lease of property to Robert Carr
1761-Jun-24-a: Christopher Lipscombe mentioned in attached note
1761-Dec-16: John Gomm (life in lease of property to William Ledwell)
1761-Dec-16-a: Edward Bee leases land to William Ledwell on life of latter & John & Ann Gomm
1762-Oct-07: Sir Edward Turner assigns Beckley to Edward Cooper & George Austen upon trust
1762-Oct-07-a: annuities settled on Cassandra Leigh (Cooke)
1762-Oct-07-b: bond indemnifying Sir Edward Turner and the Beckley estate
1762-Oct-16: Edward Bee renews John Gomm's lease on messuages
1763-Apr-16: lease of property to John Carr
1764-Oct-08: lease of property to Thomas Busby & James Lamball
1765-May-01: Christopher Lipscomb (takes lease on property in Beckley)
1766-Sep-16: lease of property by Thomas Leigh to William Ledwell
1769-Feb-11: Rev Thomas Leigh leases property in Beckley to John Payne
1769-Nov-08: Rev John & Susannah Rusworth (née Price) sell messuage to John Mackaness
1775-Mar-23: Mary Carr (mentioned as dead in re-assignment of lease of messuage in Beckley)
1775-Jul-20: Rev Thomas Leigh leases messuage with garden to John Carter
1775-Jul-20-a: Rev Thomas Leigh leases messuage with garden to John Carter (counterpart)
1778-Aug-13: James Lamball takes lease on piece of ground
1780-Jan-26: Thomas Leigh leases tenement to Sarah Lipscombe
1782-May-24: John Carter sells lease on messuage & shop to Thomas Betts for £70
1785-Feb-14: property in Beckley leased to Robert Ashfield subject to rights of Elizabeth Price
1800-Feb-05: Daniel Shilfox assigns messuage & orchard to James Lay
1800-Dec-26: Thomas Jessop (lease of property from Thomas Leigh)
1801-Mar-28: William Tipping assigns lease on messuage in Beckley to John Louch
1802-May-12: Robert Ashfield assigns leasehold premises at Beckley to John Mackaness
1803-May-04: Rev Thomas Leigh leases cottage to Thomas Busby
1803-May-04-a: Thomas Leigh renews Thomas Busby's lease on cottage, garden & orchard
1804-Aug-07: Stephen Davis loans £60 to Jonathan Cooper on security of Malthouse
1805-Mar-02: James Lay assigns messuage to John Louch for remainder of 500 year term
1805-Apr-02: John Payne the younger (lease on Beckley property from Thomas Leigh)
1805-Jul-08: William Brydges Ledwell gives up claims to piece of ground in Beckley
1805-Jul-31: Stephen Davis loans £40 to Jonathan Cooper on security of Malthouse
1806-Sep-02: lease of property by John Mackaness to Samuel Cooke
1806-Sep-03: John Mackaness & Elizabeth Jane Humphreys assign property to Rev Samuel Cooke
1809-Apr-06: Thomas Leigh leases piece of ground to Rev Samuel Cooke
1810-Mar-23: John Payne, formerly of Beckley, sells lease on messuage to his brother Joseph Paine
1812-Jun-27: Stephen Davis loans £23 to Jonathan Cooper on security of Malthouse
1813-Jun-27: Stephen Davis loans £57 to Jonathan Cooper on security of Malthouse
1814-Apr-30: Jonathan Cooper assigns lease on The Malthouse (with mortgage) to William Fruin
1816-Jun-24: moieties of Beckley assigned to Rev Henry Jenkins in trust for Cassandra Cooke
1816-Jun-25: assignment of Beckley estate to William Oddie upon trust
1817-Nov-03: Beckley settlement (Samuel & Cassandra Cooke and William Oddie)
1818-Nov-14: Malthouse assigned to Elizabeth Collett & Elizabeth Shayler
1819-Jun-07: Samuel Cooke mortgages 2 messuages & a close to Richard Smith for £500
1821-Mar-02: Earl of Abingdon grants right of way across Otmoor to Cassandra Cooke
1822-Jul-22: Richard Carr sells Inclosure Commission allotment to Theophilus Leigh Cooke
1827-Oct-13: Malthouse assigned to Thomas Mallam as trustee for Collett marriage settlement
1830-Jul-07: land assigned to Theophilus Leigh Cooke by Beckley Enclosure Commissioner
1832-Mar-25: cottages and gardens sold by William Louch to Theophilus Leigh Cooke
1834-Jan-31: Theophilus Leigh Cooke (winding up Janetta Cooke's trust)
1836-Sep-19: Elizabeth Goodliffe assigns The Malthouse to her marriage settlement trustees
1837-Nov-06: Theophilus Leigh Cooke (winding up marriage settlement trust of Sarah Cooke (I))
1838-Sep-29: Elizabeth Collett sells property in Beckley to Theophilus Leigh Cooke
1844-Aug-01: William Parker assigns property to C. C. Cooke on redemption of mortgage
1848-Aug-15: mention of land as being outside the Parish of Beckley
1857-Feb-19: appointment of enclosure trustees for land on Otmoor
1858-Sep-11: Anne Cooke leases Grove Farm to William Parrott
1859-May-25: Charles Lukey Cooke (Ann Cooke sells piece of freehold ground at Otmoor)
1865-Feb-08: Anne Cooke & her children exchange land in Beckley for land on Otmoor
Bedford
see under Personal Names (Russell) for Dukes of Bedford
Bensington, Oxon
1854-Apr-27: Rev Samuel Cooke mentioned as Perpetual Curate
Biddenham, Beds
1680-Jan-18: William Boteler (assignment of manors of Beckley & Charlton-upon-Otmoor)
Binsey, Oxon
1740-Sep-13: Robert Tawney & Thomas Pricket (indenture connected with messuage in Beckley)
Blakesley, Northants
1756-Nov-07: Catharine Burt inherits property from Sarah Price
1763-Aug-05: Henry Wight (will of Cassandra Wight)
Boston, New England
1761-May-09: John Townley (ending of partnership between Michael Cooke and John Corne)
Botley, Berks
1838-Sep-29: John Parker (sale of property in Beckley to Theophilus Leigh Cooke)
Branscombe, Devon
1622-xxx-xx (Devon): Joseph Ham
1664-Oct-15 (Devon): John Ham (leasing of property in Shute)
1679-Oct-04 (Devon): Joseph Ham (lease of property in Shute)
1710-Mar-20 (Devon): Joseph Ham
1710-Mar-20-a (Devon): lease of property in Branscombe to Joseph Ham by Lord Petre
1722-Mar-15 (Devon): Joseph Ham (sale of property in Shute)
1722-Mar-15-a (Devon): Joseph Ham (property in Shute)
1738-Mar-24 (Devon): Abraham Ash (concerning John Ham's property in Shute)
1738-Mar-24-a (Devon): Joseph Ham (grant of cottage in Shute to Sarah Wyatt)
Bristol
1841-Mar-19: mentions Bishopric of Gloucester & Bristol
Broadwell, Glos
1717-Jan-17: Katherine & John Barker, John Wells (property at Broadwell)
Index of Place Names
1747-Nov-02: conveyance of Broadwell Retry from Theophilus Leigh to Drs Walker & Musgrave
1763-Apr-16: Rev Thomas Leigh (lease of property to John Carr)
1764-Oct-08: Rev Thomas Leigh (lease of property to Thomas Busby & James Lamball)
1766-Sep-16: Rev Thomas Leigh (lease of Beckley property to William Ledwell)
1809-Apr-06: Thomas Leigh (leases piece of ground in Beckley to Rev Samuel Cooke)
Broughton, Oxon
1768-Jun-11: Thomas Twistleton (marriage settlement of Samuel Cooke and Cassandra Leigh)
1772-Mar-02: Thomas Twistleton (purchase of leasehold estate for Samuel & Cassandra Cooke)
Camberwell, Surrey
1794-May-05: Charles Harris (mortgage on Little Ilford rectory)
Canterbury
1779-Sep-23: probate certificate on will of Cassandra Wight
Carnarvon
1675-Sep-23: leases on property by John Coell and others
Cassington, Oxon
1775-Mar-23: George Sanders (re-assignment of lease on messuage in Beckley)
Charlton-upon-Otmoor
1666-May-18: John Izard grants manor of Charlton-upon-Otmoor to Francis Hall as security
1668-Jun-08: mortgage of Beckley and Otmoor estates to Dame Mary Hatton by John Izard
1675-Sep-23: leases on property in Beckley, Charlton-upon-Otmoor & elsewhere
1680-Jan-18: assignment of manors of Beckley & Charlton-upon-Otmoor to Gregory Geering et al
1857-Feb-19: appointment of enclosure trustees for land on Otmoor; meeting at Crown Inn
Chawton, Hants
1816-Jun-24: Cassandra Austen (assignment of Beckley estate to Rev Henry Jenkins in trust)
Chelsea Hospital
1815-Oct-23: Richard Yates, chaplain (marriage settlement of George Leigh Cooke and Anne Hay)
Chelsea, Middlesex, Kings Road
1838-Sep-29: John Collett (sale of property in Beckley to Theophilus Leigh Cooke)
Chieveley, Berks
1832-Mar-25: William Louch (sells property in Beckley to Theophilus Leigh Cooke)
Chinnor, Oxon
1757-Apr-11: James Musgrave (obligation re £570 passes to William Walker & James Musgrave)
1759-Jun-14: James Musgrave, rector (assignment of Beckley estate to Mary Waldo)
Christ Church, City of London
1723-Oct-24: Thomas White (lease of mesuage & garden in Beckley)
Claydon, Bucks
1858-Sep-11: Robert Parrott party to lease of Grove Farm, Beckley
Clifton, Oxon
1735-Sep-06: Richard Gammon (assigned lease on land & malthouse by Eleanor Miles)
Clyst Saint Mary, Devon (Saint Mary Clyst)
1768-Jun-11: George Cooke, rector (marriage settlement of Samuel Cooke and Cassandra Leigh)
Corpus Christi College, Oxford
1809-Apr-06: George Leigh Cooke (Thomas Leigh leases piece of ground to Rev Samuel Cooke)
1809-Jul-01: Rev George Leigh Cooke (assigned two enclosed fields in Great Barford)
Cottisford, Oxon
1809-Jul-01: Rev Samuel Cooke, rector (assigning of 2 enclosed fields at Great Barford)
Cowley, Oxon
1760-Sep-15: William Ledwell (leases ground at Beckley from Edward Bee)
1761-Dec-16: William Ledwell (lease of piece of ground at Beckley Common)
1761-Dec-16-a: William Ledwell (lease of piece of ground at Beckley)
1766-Sep-16: William Ledwell (lease of Beckley property from Thomas Leigh)
1865-Feb-08: Amy & Martha Butler (exchange of land with Anne Cooke)
Cubbington, Warks
1844-Aug-01: Caroline Cassandra Cooke (assigned property in Beckley)
1846-Jul-30: George Leigh Cooke (lease of messuage in Salcombe to George White)
Dallwood, Dorset
1714-Jan-29 (Devon): William Downing (lease)
Deddington, Oxon
1809-Jul-01: mentions Deddington & Barford Inclosure Act
Denthworth, Beds
1680-Jan-18: Gregory Geering (assignment of manors of Beckley & Charlton-upon-Otmoor)
Deptford, Kent (St Nicholas)
1800-Feb-05: Daniel Shilfox (assigns messuage & orchard at Beckley to James Lay)
Dixon, Monmouth
1677-Feb-08: Francis Hall leases Rectory of Dixon to Sir William Humble
1677-Feb-09: Francis Hall leases Rectory of Dixon to Sir William Humble
Doncaster, Berks
1683-Aug-15-c: Gregory Geering (assignment of manor of Beckley by Francis Hall to John Foster)
Dorset (place illegible)
1723-Sep-28 (Devon): Philip Gillett & Daniell Bugg (indenture re payment of debt & annuities)
Elsfield
1801-Mar-28: Elizabeth Baylis (assignment of lease on messuage in Beckley)
Ely
1838-Sep-29: Thomas Goodliff & Christoper Legg (sale of property in Beckley to T. L. Cooke)
Enfield, Middlesex
1702-Sep-07: Richard March (assignment of Manor of Beckley to Philip Pledger in trust)
Eton, College Royal of the Blessed Mary of Eton near Windsor, Bucks [sic]
1809-Jul-01: Provost (assigning of 2 enclosed fields at Great Barford to Rev George Leigh Cooke)
Evenlode [?], Worcs
1717-Jan-17: John Bradshaw (property at Broadwell)
Field Burcott, Greens Norton, Northamptonshire
1756-Nov-07: Sarah Price (will)
Fleet Street, London
see Saint Dunstan
Garsington, Oxon
1804-Aug-11: Anthony Moore (mortgage of Malthouse)
Gloucester
1841-Mar-19: mentions Bishopric of Gloucester & Bristol
Goldington, Beds
1680-Jan-18: John Davies (assignment of manors of Beckley & Charlton-upon-Otmoor)
Goring
undated-01: pedigree of Cookes of Goring and Hearne
Gray's Inn Square, Middlesex
1834-Jan-31: Robert Lethbridge (winding up Janetta Cooke's trust)
Great Barford, Beds (or Barford St Michael)
1809-Jul-01: mentions Deddington & Barford Inclosure Act
Great Bookham, Surrey
1807-Oct-06: Catherine Bailey (Deed of Covenant between her & her son, Hugh Bailey)
1809-Apr-06: Samuel Cooke (leases piece of ground at Beckley from Thomas Leigh)
1815-Oct-23: Samuel Cooke, vicar of (marriage settlement of George Leigh Cooke and Anne Hay)
1819-Jun-07: Joseph Simmons & Edward Prim (witnesses to Samuel Cooke's signature)
Great Budworth, Cheshire
1859-May-25: Thomas Walmsley (Ann & Samuel Hay Cooke sell piece of ground at Otmoor)
1865-Feb-08: Rev Samuel Hay Cooke (party to exchange of land in Beckley & Otmoor)
Greens Norton, Northamptonshire
1756-Nov-07: Sarah Price (will)
Hadnock, Monmouthshire
1670-Jun-01: Francis Hall (assigned moiety of Manor of Beckley)
1682-Jun-22: Francis Hall (indenture with Sir William Humble & John Howland
1683-Aug-15-a: Francis Hall (assignment of judgements against John Izard)
1683-Aug-15-d: Francis Hall (assignment of Manor of Beckley to John Foster)
Hales Hall, Norfolk
1695-May-21: John Hoskins (assignment of moiety of Beckley)
1710-Apr-26-a: John Hoskins (assignment of Manor & Rectory of Beckley to Edward Bee)
Harrold, Beds
1680-Jan-18: Richard Orlobar (assignment of manors of Beckley & Charlton-upon-Otmoor)
Hawkchurch, Devon (in document as Hawk-Church, Dorsett)
1738-Mar-24 (Devon): Samuel Loaring (concerning John Ham's property in Shute)
Harding
see Harpsden
Harpsden, Oxon (also Harding)
1752-Apr-14: Thomas Leigh (assigned judgement against John Izard)
1762-Oct-07: Thomas Leigh (Sir Edward Turner assigns Beckley)
1762-Oct-07-b: Thomas Leigh (bond indemnifying Sir Edward Turner)
Headington, Oxon (Hedington)
1775-Mar-23: John Carter (reassignment of lease on messuage in Beckley)
1775-Jul-20: John Carter (lease on property in Beckley)
1816-Jun-25: Rev William Oddie (assignment of Beckley estate)
Hearne
undated-01: pedigree of Cookes of Goring and Hearne
Heavitree, Exeter
1837-Nov-06: Sarah Cooke (II) – winding up marriage settlement trust of Sarah Cooke (I)
Hemister [?], Devon
see Axminster
Henley, Herts
1836-Jan-30: Eleanor Goodwin of Rowley Green (release of Theophilus Leigh Cooke from trust)
Hereford
1768-Jun-11: Ann Berington (marriage settlement of Samuel Cooke and Cassandra Leigh)
Hill Hall, Essex
1751-Dec-04 (Devon): Sir Edward Smyth (lease of tenements to George Cooke)
1753-Jan-19 (Devon): Sir Edward Smyth (lease on property in Shute to George Cooke)
1753-Jan-19-a (Devon): Sir Edward Smyth (lease on property in Shute to George Cooke)
Hillsden, Bucks
1743-May-24: Geroge Denton (trustee for leasehold property in Beckley)
1785-Feb-14: George Denton or Chamberlayne, deceased (lease of property to Robert Ashfield)
Holton Warren, Oxon
1858-Sep-11: William Parrott takes lease on Grove Farm, Beckley
Honiton, Devon
1718-May-14 (Devon): lease of land in Shute to John Gillett by William Hallet
Index of Place Names
Hornshay, Devon
1738-Mar-24 (Devon): Benedictus Marwood (concerning John Ham's property in Shute)
Horsepath, Oxon
1804-Aug-11: Charles Moore and Jonathan Cooper (mortgage of the Malthouse)
1813-Jun-27: Jonathan Cooper (mortgages property in Beckley to Stephen Davis for £57)
Horton, Oxon
1816-Jun-25: William Auga (assignment of Beckley estate to William Oddie)
Iffley [Oxon]
1844-Aug-01: William Parker (as executor of Richard Smith assigns property to C. C. Cooke)
Inner Temple, London
1668-Jun-08: Henry Wynne (mortgage of Beckley & Otmoor estates to Mary Hatton)
Islip, Oxon
1756-Jan-31: Richard Busby (leases property from Edward Bee)
1756-Jan-31-a: counterpart of above
1758-Jan-21: James Lamball of Lower Woods (leases messuage in Beckley from Edward Bee)
Landsdown Place, Saint Pancras
1815-Oct-23: James Forsyth (marriage settlement of George Leigh Cooke and Anne Hay)
Laneast, Cornwall
see Tregeare
Launceston, Cornwall
1837-Nov-06: Charles Parrey (witness to winding up of Sarah Cooke's marriage settlement)
see also Scarne
Lincoln's Inn, London
1675-Sep-23: Sir John Coell (leases at Beckley and elsewhere)
1668-Jun-08: Sir John Coell (mortgage of Beckley & Otmoor estates to Mary Hatton)
1836-Jan-30: John Foster (III) (trustee under Elizabeth Trinder's will)
Little Ilford, Essex
1794-May-05: rectory mortgaged to Charles Harris by Hugh Price
1815-Oct-23: Theophilus Leigh Cooke, Rector of (marriage settlement of George Leigh Cooke)
London
1683-Aug-15-a: John Foster & Richard March (assignment of judgements against John Izard)
1683-Aug-15-c: John Foster (assigned manor of Beckley by Francis Hall)
1683-Aug-15-d: John Foster and Richard March (assignment of Manor of Beckley to John Foster)
1690-Jan-10: Richard March (assigned property by Francis Hall)
1702-Sep-07: John Foster (I) & Phillip Pledger (in assignment of Manor of Beckley)
1710-Apr-26: Edward Bee (assigned Manor & Rectory of Beckley by Duke of Bedford et al)
1710-Apr-26-a: Edward Bee (assigned Manor & Rectory of Beckley by Duke of Bedford et al)
1763-Aug-05: will of Cassandra Wight
1778-Aug-13: road to Worcester (Turnpike Rd) used to locate land leased to James Lamball
1780-Jan-26: Anne Carr (life listed in lease to Sarah Lipscombe)
see also Chelsea, Christ Church, Fleet Street, Gray's Inn Square, Inner Temple, Lansdowne Place, Lincoln's Inn, Lyon's Inn, Middle Temple, Minories, Mowman Street, Oxford Street, Russell Square, Saint Anne, Saint Dunstan, Saint Margaret, Saint Martin, Saint Marylebone, Saint Pancras, Vintners' Hall, Westminster
Long Stanton, Cambs
1668-Jun-08: Mary & Thomas Hatton (assignment of Beckley and Otmoor estates)
1680-Jan-18: Mary & Thomas Hatton (assignment of manor of Beckley etc)
Lytham, Lancaster
1732-Oct-16 (Devon): Thomas Clifton (lease on property in Shute)
Lyon's Inn, Middlesex
1768-Jun-11: Michael Cooke (marriage settlement of Samuel Cooke and Cassandra Leigh)
1772-Mar-02: Michael Cooke (purchase of leasehold estate for Samuel & Cassandra Cooke)
Magdelen College, Oxford
1809-Apr-06: Theophilus Leigh Cooke (Thomas Leigh leases property to Samuel Cooke)
1816-Jun-24: Rev Henry Jenkins (assigned Beckley estate by Cassandra Austen in trust)
1816-Jun-25: Theophilus Leigh Cooke, Thomas Lowndes & John Johnson (assgnmnt of Beckley)
Mary Magdelene, Oxford
1775-Jul-19: poor of, legatees in codicil to Cassandra Wight's will
1785-Feb-14: Robert Ashfield (takes lease on property in Beckley)
Middle Temple, London
1675-Sep-23: Christopher Hatton (leases at Beckley and elsewhere)
1802-May-12: John Mackaness (takes over lease on premises at Beckley)
1805-Jul-08: John Mackaness (indenture of disclaimer)
1806-Sep-02: John Mackaness (lease of property to Rev Samuel Cooke)
Minories, The, London
1758-Aug-17: John Corne (partnership agreement with Michael Cooke)
1761-May-09: John Corne & Michael Cooke (ending of partnership)
Mowman Street, Saint Marylebone, Middlesex
1785-Feb-14: Edward Pancefort (lease of Beckley property to Robert Ashfield)
Nettlebed, Oxon
1854-Apr-27: James Champion, Auctioneer (gives mortgage to Samuel Hay Cooke)
New College, Oxford
1801-Mar-28: John Louch (butler) takes over lease on messuage in Beckley
1805-Mar-02: John Louch (butler) takes over lease on messuage in Beckley
1832-Mar-25: John Louch's executor and legatee sells his property in Beckley
New South Wales
1834-Jan-31: Robert Lethbridge (winding up Janetta Cooke's trust)
New Woodstock, Oxford
1729-Sep-01: Edward Ryves (Edward Bee sells judgement against John Izard)
1729-Dec-01: Edward Ryves (mortgage on Beckley estates)
1757-Apr-11: Lewis Pryse & Edward Ryves (assignment of obligation to Drs Walker & Musgrave)
Noke (Noake), Oxon
1666-May-18: mention
1668-Jun-08: mention
1729-Dec-01: mention
1746-Feb-14: Edward
1758-Jan-21: mention
1857-Feb-19: appointment
Northamptonshire
1675-Sep-23: lease
Oddington, Glos
1717-Jan-17: Edward
Oddington, Oxon
1668-Jun-08: mention
1729-Dec-01: mention
1746-Feb-14: Edward
1857-Feb-19: appointment
Old Weston, Northants
1854-Apr-27: Samuel
Oriel College, Oxford
1815-Oct-23: William
1816-Jun-25: William
Otmoor
1729-Dec-01: mention
1746-Feb-14: Edward
1821-Mar-02: Earl
1822-Jul-22: land
1829-Apr-15: Ralph
1830-Jul-07: land
1857-Feb-19: appointment
1859-May-25: Ann
1918-May-xx: George
Ottery St Mary, Devon
1738-Mar-24 (Devon)
Oxford
1690-Jan-10: mentioned
1735-Sep-06: Eleanor
1736-May-08: Henry
1740-Sep-13: William
1741-Feb-24: Sir Charles
1746-Feb-14-a: Thomas
1747-Nov-02: Edward
1757-Apr-11: Mary
1759-Jun-14: Mary W
1761-Jun-24: Edward
Noke (Noake), Oxon
1666-May-18: Francis Hall (granted the manor of Charlton-upon-Otmoor by John Izard as security)
1668-Jun-08: mortgage of Beckley and Otmoor estates to Dame Mary Hatton
1729-Dec-01: mortgage of property to Francis Seely
1746-Feb-14: Edward Bee assigns property to Lewis Pryse
1758-Jan-21: Thomas Busby (leases property in Beckley)
1857-Feb-19: appointment of enclosure trustees for land on Otmoor
Northamptonshire
1675-Sep-23: leases on property by John Coell and others
Oddington, Glos
1717-Jan-17: Emanuel Allen, Richard Hide (property at Broadwell)
Oddington, Oxon
1668-Jun-08: mortgage of Beckley and Otmoor estates to Dame Mary Hatton
1729-Dec-01: mortgage of property to Francis Seely
1746-Feb-14: Edward Bee assigns property to Lewis Pryse
1857-Feb-19: appointment of enclosure trustees for land on Otmoor
Old Weston, Northants & Hunts
1854-Apr-27: Samuel Hay Cooke mortgages estate to James Champion for £300
Oriel College, Oxford
1815-Oct-23: William Bishop, Fellow (marriage settlement of George Leigh Cooke and Anne Hay)
1816-Jun-25: William Bishop (assignment of Beckley estate to William Oddie)
Otmoor
1729-Dec-01: mortgage of property to Francis Seely
1746-Feb-14: Edward Bee assigns property to Lewis Pryse
1821-Mar-02: Earl of Abingdon grants right of way across Otmoor to Cassandra Cooke
1822-Jul-22: land sold by Richard Carr to Theophilus Leigh Cooke
1829-Apr-15: Ralph Butler assigned land
1830-Jul-07: land granted by enclosure commissioner to Theophilus Leigh Cooke
1857-Feb-19: appointment of enclosure commissioners
1859-May-25: Ann Cooke sells piece of ground at Otmoor to Rev George Theophilus Cooke
1918-May-xx: George Hay Cooke receives 10 acres of land under will of George Theophilus Cooke
Ottery St Mary, Devon
1738-Mar-24 (Devon): Thomas Southrott (concerning John Ham's property in Shute)
Oxford
1690-Jan-10: mentions earlier judgement for Francis Hall against John Izard at Oxford
1735-Sep-06: Eleanor Miles (assigns land & malthouse to Richard Gammon)
1736-May-08: Henry Wise (owed £720 by Theophilus & William Leigh)
1740-Sep-13: William ? (lease of messuage in Beckley)
1741-Feb-24: Sir Charles Osbaldson (indenture concerning messuage in Beckley)
1746-Feb-14-a: Thomas & Henry Wise (obligation re £570 assigned to Lewis Pryse)
1747-Nov-02: Edward Bee, William Walker, James Musgrave (conveyance of Broadwell Rectory)
1757-Apr-11: Mary Waldo (obligation passes to William Walker & James Musgrave)
1759-Jun-14: Mary Waldo (assignment of Beckley estate to her)
1761-Jun-24: Edward Bee (lease of property in Beckley to Robert Carr)
1762-Oct-07: Mary Waldo (Sir Edward Turner assigns Beckley)
1762-Oct-07-a: Edward Bee (late of Beckley, assignment of annuities to Cassandra Leigh (Cooke))
1762-Oct-07-b: Mary Waldo (bond indemnifying Sir Edward Turner)
1809-Jul-01: Charles Lord, Bishop of Oxford (assigning of property to George Leigh Cooke)
1813-Jun-27: Stephen Davis (Jonathan Cooper mortgages property in Beckley for £57)
1816-Jun-25: Edward Bee, Rev Thomas Leigh (mentioned in assignment of Manor of Beckley)
1819-Jun-07: Richard Smith (lends Samuel Cooke £500 on security of property at Beckley)
1838-Sep-29: John Archer & Thomas Mallam (sale of property in Beckley to T. L. Cooke)
see also Balliol, Corpus Christi, Magdelen, Mary Magdalene, Oriel, Saint Aldate, Saint Giles, Saint Mary Magdelene
Oxford Street, Middlesex
1800-Feb-05: Martha Shilfox (her admin assigns property in Beckley to James Lay)
Oxford, University of
1721-Oct-12: Robert Sutton (leases the New Inn from Edward Bee for 500 years)
1729-Sep-01: Francis Seely (Edward Bee sells judgement against John Izard)
1729-Dec-01: Francis Seely (mortgage on Beckley estates)
1741-Feb-24: Edward Doe (indenture concerning messuage in Beckley)
1746-Feb-14-a: Theophilus Leigh (obligation re £570 assigned to Lewis Pryse)
1757-Apr-11: Theophilus Leigh & William Walker (obligation passes to Drs Walker & Musgrave)
1759-Jun-14: William Walker & James Musgrave (assignment of Beckley estate to Mary Waldo)
1762-Oct-07: Thomas Leigh (Sir Edward Turner assigns Beckley)
1762-Oct-07-b: Theophilus Leigh & Thomas Leigh (bond indemnifying Sir Edward Turner)
1809-Apr-06-a: George Leigh Cooke (Thomas Leigh property at Beckley to Rev Samuel Cooke)
1815-Oct-23: George Leigh Cooke, Sedleian Reader of Natural Philosophy (marriage settlement)
1816-Jun-24: George Austen (Cassandra Austen mentioned as executor)
1816-Jun-25: George Leigh Cooke (assignment of Beckley estate to William Oddie)
Rowley Green, Henley, Herts
1836-Jan-30: Eleanor Goodwin (release re her share in trust)
Russell Square, Middlesex
1815-Oct-23: William Hay (marriage settlement of George Leigh Cooke and Anne Hay)
Saint Aldate, Oxford
1804-Aug-11: Stephen Davis (assigned land and malthouse as security)
1805-Jul-31: Stephen Davis (makes further loan to Jonathan Cooper)
1838-Sep-29: Stephen Davis (executors sell property in Beckley to Theophilus Leigh Cooke)
Saint Anne, Westminster
1729-Sep-01: Allen Hollen (Edward Bee sells judgement against John Izard)
1729-Dec-01: Allen Hollen (mortgage of Beckley estates)
Saint Clement Danes
1687-Apr-08: mentioned in will of John Foster (II) to locate two houses
Saint Dunstan, Fleet Street, London
1758-Aug-17: Michael Cooke (partnership agreement with John Corne)
Saint Giles [Oxford]
1782-May-24: Thomas Betts (buys lease on messuage & shop in Beckley from Thomas Betts)
1832-Mar-25: William Perry (now dead, executor of John Louch)
Saint Margaret, Westminster (Crown Court, Charles Street)
1810-Mar-23: Joseph Paine (buys lease of messuage in Beckley from John Payne)
Saint Margarets, Herts (Margaretts, Hartfordshire)
1684-Aug-09: Thomas Izard (leases cottage or tenement in Beckley from John Izard)
Saint Martin in the Fields, Middlesex
1710-Apr-26: Triamer Baldwin (assignment of Manor & Rectory of Beckley to Edward Bee)
1729-Dec-01: Triamer Baldwin (deceased) (mortgage on Beckley estates)
Saint Mary Clyst, Devon
see Clyst Saint Mary
Saint Mary Magdelene, Oxford
see Mary Magdelene, Oxford
Saint Marylebone, Middlesex
1785-Feb-14: Edward Pauncefort of Mowman Street (lease of property to Robert Ashfield)
Saint Pancras, Percy Street, Middlesex
1816-Jun-25: Francis Morgan (assignment of Beckley estate to William Oddie)
Salcombe, Devon
1804-Sep-29: Thomas Weekes (leases property called Wyatts from Samuel Cooke 14 years)
1846-Jul-30: George Leigh Cooke leases messuage, called Wyatts, to George White for 7 years
1854-Apr-27: Samuel Hay Cooke mortgages estate to James Champion for £300
Scarborough
see under Personal Names
Scarne, Launceston, Cornwall
1834-Jan-31: Lt John Cooke, RN (winding up Janetta Cooke’s trust)
1837-Nov-06: Lt John Cooke RN (winding up marriage settlement trust of Sarah Cooke (I))
Shreens, Essex
1751-Dec-04 (Devon): Thomas Branston (lease of tenements to George Cooke)
1753-Jan-19-a (Devon): Thomas Branston (lease on property in Shute to George Cooke)
Shute, Devon
1664-Oct-15 (Devon): leasing of property in Shute (Lord Petre to John Ham)
1679-Oct-04 (Devon): lease of property in Shute
1714-Jan-29 (Devon): Francis Smith & William Hoor (lease)
1717-Mar-10 (Devon): Nicholas Broughton and property in Shute
1718-May-14 (Devon): lease of land in Shute to John Gillett by William Hallet
1718-Dec-08 (Devon): property in Shute
1722-Mar-15 (Devon): William Hoor (property in Shute)
1722-Mar-15-a (Devon): William Hoor (property in Shute)
1723-Jun-20 (Devon): John Gillett & John Bond (lease on property in Shute)
1723-Sep-28 (Devon): Philip Gillett (concerning payment of debt & annuities)
1732-Oct-16 (Devon): lease of property in Shute
1738-Mar-23 (Devon): sale of cottage to Sarah Wyatt
1738-Mar-24-a (Devon): grant of cottage & land in Shute to Sarah Wyatt
1753-Jan-19 (Devon): lease on Manor of Shute to George Cooke by Lord Petre's trustees
1753-Jan-19-a (Devon): property in Shute leased to George Cooke by Lord Petre's trustees
Sidmouth, Devon
1738-Mar-24 (Devon): William Carter, John Ham, Sarah Wyatt (John Ham's property in Shute)
1738-Mar-24-a (Devon): late John Ham (grant of cottage in Shute to Sarah Wyatt)
1751-Dec-04 (Devon): George Cooke (lease of tenements from Lord Petre trustees)
1753-Jan-19 (Devon): George Cooke (lease on Manor of Shute from Lord Petre)
Southampton
see under Personal Names
Stanton St John, Oxon
1591-Aug-27: Jozias Izard (Edmund Izard's marriage agreement)
1736-May-20: Matthew Wiatt, Baker (takes lease of property in Beckley from Thomas Bullford)
1801-Mar-28: Matthew Wyatt (mentioned as deceased in assignment of lease on messuage)
1810-Mar-23: John Payne, formerly of Beckley (sells lease to Joseph Paine)
Stoneleigh Abbey
1803-Feb-21: mentioned in codicil (21/May/1813) to Thomas Leigh's will
Stowood, Oxon
1724-Sep-02: Alice Carter (lease of a piece of ground in Beckley to John Gomm)
1848-Aug-15: transfer of piece of land in Stowood by Commissioners of HM Woods
Stowood Forest, Oxon
1668-Jun-08: mortgage of Beckley and Otmoor estates to Dame Mary Hatton
Strand, The
1687-Apr-08: location of two houses bequeathed by John Foster (II)
Stratford Laughton, Essex
1682-Jun-22: Sir William Humble (indenture with Francis Hall and John Howland)
Streatham, Surrey
1695-May-21: John Howland (assignment of moiety of Beckley)
1708-Jan-08: Elizabeth Howland (buying interest of John Foster's estate in Beckley)
1710-Apr-26: Elizabeth Howland (assignment of Manor & Rectory of Beckley to Edward Bee)
1710-Apr-26-a: Elizabeth Howland (assignment of Manor & Rectory of Beckley to Edward Bee)
Studley, Oxon
1591-Aug-27: John Croke (Edmund Izard's marriage agreement)
Suffolk
1675-Sep-23: leases on property by John Coell and others
Tavistock
see Personal Names (Wriothesley Russell) for Marquis of Tavistock
Teynham
see under Personal Names
Thornecomb, Devon
1718-May-14 (Devon): William Hallet (lease of land in Shute to John Gillett by William Hallet)
Thripton, Cambs
1680-Jan-18: Christopher Hatton (assignment of manors of Beckley & Charlton-upon-Otmoor)
Toddenham, Glos
1717-Jan-17: Thomas Mauder (property at Broadwell)
Tregeare, Laneast, Cornwall
1834-Jan-31: John King Lethbridge (winding up Janetta Cooke's trust)
Treversham, Kent
1761-May-09: Henry Cobb (ending of partnership between Michael Cooke and John Corne)
Uplyme, Devon
1718-Dec-08 (Devon): John Haynes (property in Shute)
1723-Sep-28 (Devon): John Haynes (concerning payment of debts & annuities)
Vintners' Hall, London
1702-Sep-07: John Ange (assgnmnt of Manor of Beckley to Philip Pledger in trust for John Ange)
Wanstead, Essex (Wansted)
1695-May-21: Sir Josias Child (assignment of moiety of Beckley)
1708-Jan-08: Thomas Holt (buying of interest of John Foster's estate in Beckley)
1710-Apr-26: Thomas Holt (assignment of Manor & Rectory of Beckley to Edward Bee)
Westminster
1729-Dec-01: Allen Hollen (mortgage of Beckley estate to Francis Seely)
1736-Mar-xx: Henry Wise obtains judgement against Theophilus Leight at Court of Common Pleas
Westwick, Cambs
1680-Jan-18: Thomas Buck (assignment of manors of Beckley & Charlton-upon-Otmoor)
Whit[?], Glos
1690-Jan-10: Francis Hall (assigns property to Richard March)
Whitfield, Northants
1743-May-24: William Price, Rector, wife & dau (leasehold in Beckley assigned to George Denton)
1785-Feb-02: Rev William Price (will; date is that of probate certificate)
1785-Feb-14: Rev William Price, deceased (property in Beckley leased to Robert Ashfield)
Wick Rissington, Gloucs (or Wyck, or Wike Rissington)
1815-Oct-23: George Leigh Cooke, Rector of (marriage settlement)
1841-Mar-19: George Leigh Cooke (mortgage from Queen Anne's Bounty to improve Rectory)
Wike Rissington
see Wick Rissington
Windsor, Bucks
see Eton
Winnick, Northampton & Huntingdon
1815-Oct-23: farm transferred to trustees of marriage settlement of George Leigh Cooke
1854-Apr-27: Samuel Hay Cooke mortgages estate to James Champion for £300
Wolaton, Notts
1695-May-21: Sir Thomas Willoughby (assignment of moiety of Beckley)
1710-Apr-26-a: Sir Thomas Willoughby (assgnmnt of Manor & Rectory of Beckley to Edward Bee)
Wood Eaton, Oxon
1780-Jan-26: Anne Carr (life listed in lease to Sarah Lipscombe)
Woodend, Blakesly
1756-Nov-07: Catharine Burt inherits property from Sarah Price
Woodperry, Oxon
1805-Mar-02: James Lay, late of Beckley (assigns messuage at Beckley to John Louch)
1805-Jul-08: Ann Ledwell mentioned as deceased in indenture of disclaimer.
Woodstock, Oxon
1746-Feb-14-a: Edward Ryves (obligation re £570 assigned to Lewis Pryse)
Worcester
1778-Aug-13: road from London (Turnpike Rd) used to locate land leased to James Lamball
Writtle, Essex
see Lord Petre of Writtle under Personal Names
Wyck Rissington
see Wick Rissington
Yarcombe, Devon
1723-Jun-20 (Devon): John Bond (lease on property in Shute)
Index of Beckley Field, Place and Road Names
Beckley Common
1761-Dec-16: lease of piece of ground at Beckley Common to William Ledwell
Beckley Field
1821-Mar-02: shown on marginal map on right of way agreement
Bulfords Piece
1858-Sep-11: in schedule accompanying lease of Grove Farm (arable, 11 acres)
Blind Dean
1821-Mar-02: shown on marginal map on right of way agreement
Church Ground
1858-Sep-11: in schedule accompanying lease of Grove Farm (arable, 16 acres)
Common (Field, Fields)
1684-Aug-09: contains land assigned by John Izard to Thomas Izard
1844-Aug-01: 4 acres assigned to Caroline Cassandra Cooke
1858-Sep-11: parts (13 acres of pasture & 9 of arable) mentioned in schedule accompanying lease
Common Highway, The
1731-Nov-13: mentioned as being to East of land leased to John Gomm
1760-Sep-15: lies to East of piece of ground leased to William Ledwell
1761-Dec-16-a: lies to East of piece of ground leased to William Ledwell
1766-Sep-16: lies to East of piece of ground leased to William Ledwell
1809-Apr-06: repeats description of 1766-Sep-16 in lease to Rev Samuel Cooke
Common Mere
1821-Mar-02: shown on marginal map on right of way agreement
Cowhouse Ground, Otmoor
1858-Sep-11: in schedule accompanying lease of Grove Farm (meadow, 70 acres)
Farm House
1858-Sep-11: in schedule accompanying lease of Grove Farm (with buildings & 1 acre orchard)
Fininers Lane (or Tininey, ?Tinniver)
1692-Jun-06: used to locate Millfields in lease by John to Thomas Izard
Great Ground
1858-Sep-11: (with cottage, garden, yard & farm homestead (arable, 30 acres)) in schedule
Great Slade Ground
1858-Sep-11: in schedule accompanying lease of Grove Farm (arable, 24 acres)
Greenaway Close
1858-Sep-11: in schedule accompanying lease of Grove Farm (meadow, 3 acres)
Greenaway Corner
1821-Mar-02: shown on marginal map on right of way agreement
Greenaway Lane
1821-Mar-02: shown on marginal map on right of way agreement
Greenaway, Otmoor
1858-Sep-11: in schedule accompanying lease of Grove Farm (meadow, 47 acres)
Grove Farm
1858-Sep-11: leased to William Parrott (see document description for details & schedule)
Grove, The
1830-Jul-07: appears as 'Rectory' in map of enclosed land assigned to Theophilus Leigh Cooke
Gully Ground
1858-Sep-11: in schedule accompanying lease of Grove Farm (pasture, 17 acres)
Gully Pieces, The
1821-Mar-02: shown on marginal map on right of way agreement
Holland Field
1830-Jul-07: land granted by enclosure commissioner & later assigned to Earl of Abingdon
Home Close
1858-Sep-11: in schedule accompanying lease of Grove Farm (pasture, 10 acres)
Horse Ground, Otmoor
1858-Sep-11: in schedule accompanying lease of Grove Farm (meadow, 26 acres)
Horse Hades
1821-Mar-02: shown on marginal map on right of way agreement
Knole Hill (Knowl)
1717-May-17: mentioned to locate land leased to William Miles (Knole)
1821-Mar-02: shown on marginal map on right of way agreement (Knowl)
Knowl Hill
see Knole Hill (assumed to be the same)
Little Church Ground
1858-Sep-11: in schedule accompanying lease of Grove Farm (arable, 8 acres)
Little Orchard
1858-Sep-11: in schedule accompanying lease of Grove Farm (orchard, 10 acres)
Lower Field
1844-Aug-01: 4 acres assigned to Caroline Cassandra Cooke
Long Stert
1858-Sep-11: in schedule accompanying lease of Grove Farm (meadow, 12 acres)
Lower Stert
1821-Mar-02: shown on marginal map on right of way agreement
Mackness Yard (= Macknoys?)
1684-Aug-09: assigned by John Izard to Thomas Izard
Macknoys Yard
1591-Aug-27: mentioned in Edmund Izard’s marriage agreement as belonging to Jozias Izard
1692-Jun-06: mentioned in lease of Millfield by John to Thomas Izard
Malthouse, The
1805-Jul-31: used as security on loan (Stephen Davis to Jonathan Cooper)
1812-Jun-27: used as security on loan (Stephen Davis to Jonathan Cooper)
1813-Jun-27: used as security on loan (Stephen Davis to Jonathan Cooper)
1814-Apr-30: Jonathan Cooper leases property to William Fruin for 500 years
1818-Nov-14: lease assigned to Elizabeth Collet & her daughter
1827-Oct-13: assigned to Thomas Mallam as trustee of Collett marriage settlement
1836-Sep-19: assigned to trustees as part of Elizabeth Goddiffe’s marriage settlement
1838-Sep-29: sold absolutely to Theophilus Leigh Cooke
Malthouse Hill
1821-Mar-02: shown on marginal map on right of way agreement
Malthouse Orchard
1858-Sep-11: in schedule accompanying lease of Grove Farm (orchard, 1 acre)
Mead Close
1731-Nov-13: mentioned as lying to South of land leased to John Gomm
1760-Sep-15: lies to South West of piece of ground leased to William Ledwell
1761-Dec-16-a: lies to South West of piece of ground leased to William Ledwell
1766-Sep-16: lies to West of piece of ground leased to William Ledwell
1809-Apr-06: repeats description of 1766-Sep-16 (only South West) in lease to Rev Samuel Cooke
Middle Furlong
1821-Mar-02: shown on marginal map on right of way agreement
Millfield (or Mill Field)
1692-Jun-06: leased to Thomas Izard by John Izard
1785-Feb-14: leased to Robert Ashfield
Mill-yard
1692-Jun-06: Mill-yard gates used to locate Millfields in lease by John to Thomas Izard
Moor Leys
1821-Mar-02: mentioned in right of way agreement & shown on marginal map
1858-Sep-11: in schedule accompanying lease of Grove Farm (pasture, 15 acres)
New Inn, The
1721-Oct-12: messuage and tenement granted by Edward Bee to Robert Sutton
Outmore Close
1806-Sep-02: leased by John Mackaness to Rev Samuel Cooke
1819-Jun-07: mortgaged by Samuel Cooke to Richard Smith
Otmoor Closes
1821-Mar-02: shown on marginal map on right of way agreement
1858-Sep-11: in schedule accompanying lease of Grove Farm (pasture, 17 acres)
Otmoor late Steele
1858-Sep-11: in schedule accompanying lease of Grove Farm (pasture, 24 acres)
Parks, The
1858-Sep-11: in schedule accompanying lease of Grove Farm (arable, 7 acres)
Pill Ground, Otmoor
1858-Sep-11: in schedule accompanying lease of Grove Farm (meadow, 39 acres)
Raffes Close
1591-Aug-27: mentioned in Edmund Izard's marriage agreement as belonging to Jozias Izard
Rectory, The
1830-Jul-07: appears on map showing land assigned to T. L. Cooke (now 'Grove House')
Red Lands Furlong
1821-Mar-02: shown on marginal map on right of way agreement
Roman Road, The, Otmoor
1859-May-25: mentioned to locate 10 acres of land sold to George Theophilus Cooke
Sandy Yerds
1821-Mar-02: shown on marginal map on right of way agreement
Seed Hill
1858-Sep-11: in schedule accompanying lease of Grove Farm (pasture, 7 acres)
Slade Ground
1858-Sep-11: in schedule accompanying lease of Grove Farm (meadow, 14 acres)
Sour Wood
1778-Aug-13: a furlong, SE part of which was leased to James Lamball
1800-Dec-26: above leased to Thomas Jessop
Tininey Lane (=Fininers Lane? or Tinniver?)
1692-Jun-06: used to locate Mill Field in lease by John to Thomas Izard
Tinniver's Lane (?)
see Tininey
Turnpike Road (London to Worcester)
1778-Aug-13: location of land leased to James Lamball
Upper Field
1858-Sep-11: in schedule accompanying lease of Grove Farm (arable, 49 acres + 5 acres)
Upper Stert
1821-Mar-02: shown on marginal map on right of way agreement
West End
1858-Sep-11: in schedule accompanying lease of Grove Farm (pasture, 8 acres; arable, 16 acres)
Wood Common
1722-Dec-01: mentioned to locate land leased to Thomas Bullford
Wood Furlong
1821-Mar-02: shown on marginal map on right of way agreement
Wood Lane
1722-Dec-01: mentioned to locate land leased to Thomas Bullford
## List of Occupations
### Armourer
- Shilfox, Daniel, of Deptford
### Auctioneer
- Champion, James, of Nettlebed
- Mallam, Thomas, of Oxford
### Baker
- Hieat, Joseph, of Beckley
- Wyatt, Matthew, of Stanton St John
### Barber
- Seeley, Francis, of University of Oxford
- Sutton, Robert, of University of Oxford
### Blacksmith
- Matthews, Richard, of Beckley
- Matthews, Thomas, of Oxon
- Moore, Anthony, of Garsington
### Boatbuilder
- Davis, Stephen, of Oxford
### Bookbinder
- Doe, Edward, of University of Oxford
### Brewer
- Archer, John, of Oxford
### Butcher
- Carr, John, of Beckley
- Carr, Robert, of Beckley
### Butler
- Louch, John, of New College
### Carpenter
- Carter, John, of Beckley
- Faulkner, Moses, of Beckley
- Huggins, Richard, of Beckley
### Cloath Worker
- Pledger, Philip, of London
### Clothier
- Bond, John, of Yarcombe
- Gillett, John, of Axminster
- Loaring, Samuel, of Hawk Church
### Collector
- Walmsley, Thomas, of Great Budworth
### Commissioners
- Gore, Hon Charles Alexander (HM's woods etc)
- Milne, Alexander, Esq (HM's woods etc)
- Tatham, Thomas James (enclosures)
### Farmer
- Lewis, Henry, of Beckley
- Parrott, Robert, of Claydon
- Parrott, William, of Oxon
### Footman
- Crossby, William, of Ambrosden
### Greengrocer
- Paine, Joseph, of Westminster
### Grocer
- Bailey, John, of Great Bookham
- Bailey, Hugh, of Great Bookham
- Prim (?), Edmund, of Great Bookham
### Haberdasher and Hosier
- Cooke, Michael, of London
- Corne, John, of London
### Holy Orders
- Austen, George, DD, of University of Oxford
- Bishop, Rev William, of Oriel College
- Cooke, Rev George, Rector of St Mary Clyst
- Cooke, Rev George Leigh, Vicar of Cubbington
- Cooke, Rev George Theophilus, Vicar of Beckley
- Cooke, Rev John
- Cooke, Samuel, R of Cottisford, V of Gt Bookham
- Cooke, Rev Samuel Hay, Vicar of Great Budworth
- Cooke, Rev Theophilus Leigh, BD, PC of Beckley
- Cooke, Rev William
- Cooper, Rev Edward Philip
- Jenkins, Rev Henry, of Magdelen College
- Johnson, Rev John, of Magdelen College
- Leigh, Rev Charles
- Leigh, Rev Dr Theophilus, Master of Balliol
- Leigh, Rev Thomas, Rector of Adlestrop
- Leigh, Rev Thomas, of Harpsden
- Lord, Charles, Bishop of Oxford
- Lowndes, Rev Thomas, of Magdalen, clerk
- Musgrave, Dr. James, Rector of Chinnor
- Oddie, William, of Headington, clerk
- Price, Rev Hugh, Rector of Little Ilford
- Price, Rev William, Rector of Whitfield
- Rushworth, Rev John
- Yates, Rev Richard, chaplain of Chelsea Hospital
### Labourer
- Bullford, Thomas, of Beckley
- Payne, John, of Beckley
### Mason
- Auga, of Horton
### Mercer
- Wise, Henry, of Oxford
- ?, William, of Oxford
| Occupation | Name |
|----------------------------|-------------------------------------------|
| Merchant | March, Richard, of Enfield |
| Merchant Taylor | Foster, John, of London |
| Painter-stainer | Bee, Edward, of London |
| Printseller | Smith, Richard, of Oxford |
| Royal Navy | Cooke, Lt John, of Scarne |
| | Seymour, Capt Francis Edward, of Bampton |
| Schoolmaster | Cooke, Charles Lukey, of Beckley |
| | Simmons, Joseph Edward, of Great Bookham |
| Sergeant-at-Law | Fontayne, John |
| | Jubb (?) |
| | Morell (?) |
| Servant | Betts, Thomas, of Saint Giles |
| Shepherd | Gomm, John, of Beckley |
| Shopkeeper | Cobb, Henry, of Treversham |
| Solicitor | Davenport, John M., of Oxford |
| | Roberson, of Oxford |
| Surgeon | Langdon, Thomas, of Bampton |
| Tanner | Gillett, Richard, of Dorset |
| Victualler | Moore, Charles, of Horsepath |
| | Symonds, Thomas, of Oxon |
| Weaver | Huggins, John, of Beckley |
| | Huggins, Thomas, of Beckley |
| Wheelwright | Carter, John, of Beckley |
| | Parker, John, of Botley, Bucks |
| Yeoman | Allen, Emanuel, of Oddington, Glos |
| | Bushby, Richard, of Islip |
| | Busby, Thomas, of Beckley |
| | Busby, Thomas, of Noke |
| | Carr, Richard, of Beckley |
| | Carter, John, of Headington |
| | Cooper, Jonathan, of Horsepath |
| | Downing, William, of Dallwood |
| | Gammon, Richard, of Clifton |
| | Ham, John, of Branscombe |
| | Hoor, William, of Shute |
| | Jessop, Thomas, of Beckley |
| | Lamball, James, of Beckley |
| | Louch, William, of Chieveley |
| | Middleton, William, of Beckley |
| | Sanders, George, of Cassington |
| | Smith, Francis, of Shute |
| | Tawney, Robert, of Binsey |
| | Tipping, William, of Beckley |
| | Wells, John, of Broadwell |
| | White, Edward, of Beckley |
| | White, George, the elder, of Salcombe |
| | White, George, the younger, of Salcombe |
| | White, Thomas, of London |
* Rev Thomas Leigh of Adlestrop (1803)
Elizabeth Baylis (1814)
Helen Hay (1839)
Caroline Cassandra Cooke of Oxford (1894)
Julia Cooke of Oxford (1917)
**Thomas Leigh v. Matthew Biggs (1769ff.)**
A large pile of documents relating to a court case between Thomas Leigh and Matthew Biggs regarding the ownership of the Beckley estate. Biggs claims a connection to John Izard and questions his right to dispose of the property.
**Case of Mr Cochrane (1772-3)**
A series of documents relating to an appeal made by Mr. Cochrane to the Archbishop of York against a decision by Theophilus Leigh to expel him from Balliol. These were given to Balliol in August 2001.
**Transfer of Beckley Property to Cassandra Cooke (1771-1813)**
Found bound together as 'Transfer of' mortgages from Elizabeth Leigh to Cassandra Cooke:
Grant of tolls to Theophilus Leigh (4 documents of 1771);
Transfer of mortgages from executrices of Theophilus Leigh to Elizabeth Leigh (1791, 1794);
Transfer of mortgages from Elizabeth Leigh to Cassandra Cooke (1813).
**Clerical Certificates and Institutions**
Licence to Beckley curacy of Rev Theophilus Leigh Cooke (1802).
Institution of George Leigh Cooke to Rectory of Rissington Wick (1811).
Institution of George Leigh Cooke to Rectory of Porlock (1811).
Grant of Rectory at Rissington to George Leigh Cooke (1813).
Institution of George Leigh Cooke to Rectory of Broadwell with Adlestrop (1813).
Institution of Theophilus Leigh Cooke to Rectory of Little Ilford (1815).
Institution of Theophilus Leigh Cooke to Rectory of Brandeston (1815).
Institution of George Leigh Cooke to Vicarage of Cubbington (1820).
Certificate of George Leigh Cooke having taken the oaths (1820).
Ordination certificate of Samuel Hay Cooke, son of George Leigh (1844).
Institution of Samuel Hay Cooke to Vicarage of Great Budworth (1858).
Ordination certificate of William Cooke, son of Samuel Hay (1895).
Licence to Hawkhurst curacy of William Cooke (son of Samuel Hay) (1899).
**Enclosure Awards to Samuel Cooke**
Letters to Samuel Cooke re enclosures at Winnick (1774-5).
Three certificates re Exoneration of Land Tax at Winnick and Old Weston (1799).
Award by inclosing commissioners to Samuel Cooke (1808).
Official letter requesting Samuel Cooke to claim Land Tax Exemption Contracts.
Redemption of Land Tax Contracts (3 certificates, 1798).
**Otmoor Enclosures (1832)**
A pile of documents relating to the Otmoor enclosures. Names of Sir Alexander Croke of Studley Priory and the Rev Theophilus Leigh Cooke appear in several of them.
**Other Documents Relating to Beckley**
Latin document titled 'Bekkeley, Ordinatio vicariae ecclesiae de Beckley, 1353',
and signed 'A true copy John Parnell Not. Pub.'
*Marriage settlement for Edmund Shillingford (Izard) made with John Croke of Studley (1591).
Abstract of title of William Couch to 6 cottages at Beckley, starting with indenture between Edward Bee and Thomas Bullford in 1722.
Indenture between Edward Bee and Robert Carr of Beckley (1732).
Indenture re-assigning lease at Beckley from Thos. Bulford to Matthew Hyatt (1736).
Indenture between Thomas Leigh of Longborough and Christopher Lipscomb of Beckley (1763).
Letter from Bishop of Oxford re curacy of Beckley (1773).
Land tax assessment on Beckley curacy (1806).
Assignment of Manor Rectory of Beckley to Rev. Henry Jenkins by Mrs. Cassandra Austen and Rev. Samuel & Cassandra Cooke.
Another copy of the previous (1811)
Declaration that road from Beckley to Beckley Common is in good repair (1818).
Consent to an exchange of land, signed by T. L. Cooke (1828).
Counsel's opinion re case of children of Mrs. Anne Cooke (1872).
Grant of land for school at Beckley (1895).
"Particulars of Beckley. Extracts from Kennett's Parochialis": two pages in poor condition (?19th cent) containing extracts from book with page numbers; includes 'Math Bee died ? of Wendlebury 1674; when the patron Mr. Thos. Bee of Oxf. presented; who presented again 1693.'
**Broadwell Documents**
1604: A general pardon granted to William Chadwell of Broadwell.
1691-4: Collusive action for recovery of property at Broadwell and elsewhere.
**Genealogical**
A handwritten pedigree starting with John Cooke, Treasurer of Greenwich, 1750, and a comment, 'From the information in a diary of my father'.
'A copy of entries in the Family Bible of the late Mr. Cooke of Alresford, Hants (1697-1821)'.
Handwritten pedigree starting with John Cooke, a merchant of Exeter, deceased 1669 (3 old copies).
Cooke family pedigree from Francis Cooke, Exeter Registrar (two branches).
**Miscellaneous.**
Certificate of George Leigh Cooke's election as Woodman of Forest of Arden (1839).
Deed of grant of land from George Theophilus Cooke for Horton-cum-Studley parsonage (1881).
Various notebooks and account books, including an 1806 year book of Samuel / Cassandra Cooke.
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This section describes the documents owned by the Cooke family and their location in the archives. It also notes that there is a lot more material relating to these documents than has been described here, individual properties, and other items. The documents or other items have not been ventured to identify them.
**The Beckley Estate**
At its greatest extent, the estate included land to the East of the village of Beckley, including Noke Wood, the Beckley Estate, or Beckley Common, and the manor of Charlton-upon-Otmor. There is no reason to doubt the authenticity of the documents. Unfortunately, because of their focus, they provide little genealogical information about the family. They refer to two properties, the Manor and Rectory of Beckley and Charlton-upon-Otmor, both of which are in the possession of Devon County Council.
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15/1: sees the estate of William. Describes his lands, tenements, and settlement.
16/6: In May John Shillingford "surrender"). In June, Bench against John Shillingford.
16/6: John Shillingford & Odington are dead 1000 years. I do not know what document is involved.
16/7: In Trinity term, Bench against John Shillingford. Half of the Manor of "the Lizard" to Francis Hall. This is the second time.
16/8: Francis Hall and redemption.
16/9: Following the moiety to Gregory.
16/10: William Humbly
Property Mentioned and Modern Beckley
This section describes some of the Beckley properties mentioned in the documents and attempts to locate them in the modern village. The conclusions are provisional and in some cases speculative: there is a lot more work to be done on this with other sources. We start with 'The Beckley Estate' and those documents which refer to the estate as a whole, or to moieties of it; after this we consider individual properties within the estate. Where a property is given two names, the first is that used in the documents or one derived from them, the second is the name of the modern property with which I venture to identify it.
The Beckley Estate
At its greatest extent, in the early years of the twentieth century, the estate consisted of a strip of land to the East of the modern Church Street from The Grove on Beckley Common Road down to and including Noke Wood. It also included some property on the West side of Church Street, several fields on Beckley Common including Cooke's Copse, the Upper Field (north of Beckley Common Road) and land on Otmoor. Much of the outlying property was acquired during the nineteenth century, but there is no reason to doubt that the property in and near the village dates back to the years covered by these documents. Unfortunately, my notes on some of the documents before 1710 are not very good, partly because of their forbidding appearance, partly because they did not seem relevant to my search for genealogical information. One or two of them I really need to revisit to clarify the following account. They refer to two different moieties, both described by some such phrase as "The Moyety of the Manor and Rectory or Parsonage of Beckley". The first of these is associated with the manor of Charlton-upon-Otmoor and is assigned to the Hatton family in 1668; the second, described as being in the possession of Dorothy Izard, is assigned to Francis Hall in 1670.
Izard, Hall, Hatton, Foster and Russell
1591: sees the estate owned by Edmund Shillingford (Izard) who had inherited it from his father, William. Described as "the Rectory and Parsonage of Beckley with all Glebe Lands .... and all his lands, tenements and hereditaments in Beckley", it is made part of Edmund's marriage settlement.
1666: In May John Shillingford (Izard) used the first of the moieties as security for a loan of £1400 from Francis Hall of Noke (the note on the back reads "Izards security to Hall at Hall's surrender"). In the following Winter and Spring Francis Hall obtained judgements at the King's Bench against John Shillingford for £400 plus damages.
1668: John Shillingford (Izard) assigns "the Manor of Charlton-upon-Otmoor, Stowood Forest, Noke & Odington and the moiety of the manor of Beckley" to Dame Mary Hatton and others for 1000 years. I take this to be the same moiety as that referred to in the 1666 document. The document is inscribed on the back "Izard Mortgage to Hatton".
1670: In Trinity term (following Easter), Hall obtained another judgement, this time for £3000, against John Shillingford. In June, Shillingford, in return for £1200, assigned "the Moyety or Halfe of the Manor & Rectory or Parsonage of Beckley now in the possession of Dorothy Izard" to Francis Hall (now of Hadnock in Monmouthshire) for 200 years at a notional rent. This is the second moiety.
1676: Francis Hall assigns the second moiety to William Humble for £450 with the right of redemption.
1680: Following the death of Dame Mary Hatton, Christopher Hatton and others assign the first moiety to Gregory Geering of Dentchworth.
1682: William Humble and Francis Hall assign the second moiety to John Howland.
1683: In five complicated indentures, all dated 15 August, Gregory Geering and Francis Hall assign both moieties to John Foster or his trustees. They then seem to assign the second moiety to Elizabeth Howland. For £1500, Francis Hall also assigns to John Foster the judgements he obtained in 1667 and 1670 against John Shillingford. The exact relationships between the moieties, the mortgages out on them and the various parties involved is difficult to disentangle. This year presumably saw an attempt to tidy things up.
1695: Elizabeth Howland (the mother) and the Duke of Bedford make the second moiety part of the marriage settlement for Elizabeth Howland (the daughter) and Wriothesley Russell, the Duke's grandson (aged 15).
1702: Following the deaths of John Foster senior and his wife Sarah their interest in the Beckley property passes to their daughters, Mary Ange and Sarah March. An agreement of this year assigns the property to Phillip Pledger in trust for John Ange, Mary's husband, and his heirs.
1708: The Duke of Bedford (Wriothesley Russell) pays John Ange £875 for his rights in the Beckley property, thus re-uniting the two moieties.
1710: By two indentures, both dated 26 April, the Duke and Duchess of Bedford, Elizabeth Howland and the trustees assign both moieties to Edward Bee, painter-stainer of London. Triamer Baldwin of St. Martin in the Fields seems to receive an interest in the first moiety.
Edward Bee
1729: Edward Bee and Allen Hollen (Triamer Baldwin's executor) mortgage "the manor of Beckley and all property in Beckley, Otmoor, Noke and Oddington" to Francis Seely, barber, of Oxford University, for £600 + interest.
1746: Edward Bee assigns the Beckley estate to Lewis Pryse of New Woodstock for £570, redeemable on 15 August next. Cassandra Cooke in her family history describes how her mother, on learning of her husband's financial embarrassments, persuaded her parents to let the house and farm at Beckley and go to live at Balliol. For an indication of Theophilus Leigh's problems see the documents of 1736 and 1746-Feb-14-a.
1749: Mary Waldo (Theophilus Leigh's sister, Emma, married Dr. Waldo) pays Lewis Pryse £370 (the outstanding part of Edward Bee's debt to him) and is assigned the Beckley estate, with Edward Bee having the right of redemption.
1762: As part of the marriage settlement for Theophilus Leigh's elder daughter Mary and her cousin Thomas Leigh, the Beckley estate is assigned to George Austen and Edward Cooper in trust for Thomas and Mary. The younger daughter, Cassandra (later Cooke), was not happy about this: in her history she writes that her father "was oversuasued to give up the Beckley estate upon paying of £1500 stock to be settled on [his wife and younger daughter] – oh what a shameful provision for such a wife and such a mother".
Thomas Leigh
1769: This year sees the start of a dispute with one Matthew Biggs over the ownership of the estate. The documents connected with this case are still in my possession.
1803: In his will, written this year, Thomas Leigh leaves the Beckley estate to Cassandra Cooke. She, apparently, did not know this: in her history, written in 1812, she says "in the name of Justice, I will not call it generosity, I think the Beckley estate must come back to its right owners".
1813: Death of Thomas Leigh (29 June). Cassandra Cooke records this in a postscript to her history and refers to the Beckley estate as "much improved and still improving in value".
1816: Cassandra Austen of Chawton, as executrix of George Austen, trustee, assigns the two Beckley moieties to Henry Jenkins in trust for Cassandra and her family. The following day (25 June) the estate is assigned to William Oddie on trust. Perhaps a lawyer could explain the exact significance of these transactions.
The Manor of Charlton
Not really part of the Beckley documents.
1666: With the first Beckley indenture, John Izard assigns the manor of Charlton.
1667: John Izard assigns the manor of Charlton.
1668: The Hatton family assign the manor of Charlton.
1673: There is no mention of Charlton in the Beckley documents assigned to John Foster, Prescot.
The Grove / Grove House
The Grove (the name in the documents) is not mentioned in connection with the Beckley estate and it does not appear (as a place name) in the parish register. Although it does appear (as a dwelling house) in Beckley Church Burial Register, the only record says that he died there without making a connection with the Beckley estate. The will of Theophilus Leigh Cooke, as executor of the estate, is dated 1802. The will of Holland-Hibbert in 1803
The agreement of 3 Nov, whose significance again requires a lawyer to explain, includes a description of the estate assets.
In an interesting indenture the Earl of Abingdon grants a right of way across his property to Cassandra Cooke so that she can access land assigned to her by the enclosure commissioners.
Death of Cassandra Cooke; estate passes to her elder son, Theophilus Leigh.
Further assignment of land by the enclosure commissioners.
The following brief notes bring the story up to date and are not based on the Balliol documents.
Death of Theophilus Leigh Cooke; estate passes to his younger brother, George Leigh.
Death of George Leigh Cooke; estate passes to his widow, Anne.
Death of Anne Cooke; estate passes to her eldest son, Samuel Hay.
Death of Samuel Hay Cooke; estate passes to his widow, Nina.
Death of Nina Cooke; estate passes to her eldest son, George Hay.
George Hay Cooke's attempt to sell the whole of the estate leads to a court case with his younger brother ('all very amicable' according to my father). Eventually he sold the greater part of the estate but retained Grove Farm House (Nokewood House), the nearby fields and a few cottages.
Death of George Hay Cooke; remains of estate pass to his younger brother's widow, Hilda.
Death of Hilda Cooke; estate, still further reduced, passes to her second, and eldest surviving son, William Arthur.
Death of William Arthur Cooke; estate, still further reduced, passes to his children and grandchildren.
All that now remains is Nokewood House, owned by Patricia Reustle, William Arthur Cooke's daughter and Aiflyn, a small cottage, owned by my daughter, Nicola Farmborough.
**The Manor of Charlton-upon-Otmoor**
Not really part of the Beckley estate but associated with the first moiety in some of the early documents.
With the first Beckley moiety serves as security on the loan from Francis Hall to John Izard.
John Izard assigns the manor to Dame Mary Hatton along with the first Beckley moiety.
The Hatton family assigns the manor, with the first Beckley moiety, to Gregory Geering.
There is no mention of this manor in Gregory Geering's assignment of the first Beckley moiety to John Foster. Presumably he retained it; in any case it ceases to be part of our story.
**The Grove / Grove House**
The Grove (the name in the 1881 census), now Grove House, was the most substantial building on the Beckley estate and it is a little disappointing that there is no reference to it in the documents, although it does appear (as the 'Rectory') in the map attached to 1830-Jul-07. 1670-Jun-01 refers to the 'mansion or dwelling house' of the rectory, but this date seems too early for the existing building. A plaque in Beckley Church describes Edward Bee as 'the first proprietor of Beckley Grove', while a family record says that he moved to Beckley in 1730. If he built the house about this time, it is tempting to make a connection with the money he raised in 1729-Dec-01. The same family record has Theophilus Leigh Cooke, as vicar of Beckley, moving to The Grove in 1798, although the licence for his curacy is dated 1802. Thereafter, Cookes occupied The Grove until George Hay Cooke sold it to the Hon. Holland-Hibbert in 1925.
Grove Farm / Nokewood House
1858-Sep-11 is a lease on Grove Farm (505 acres) by Anne Cooke to William Parrott. It mentions that a new farm house is to be built in 1859. This must be the existing Nokewood House, which is just South of the church, behind the school. Nokewood House is now owned by my sister, Patricia Reustle, but the adjacent farm yard and buildings surrounding it were sold by my father.
The Malthouse / Midsummer Cottage, Aiflyn & Meadow Cottage
This property is described (1717-May-17 and later recitals) as "an enclosed piece of pasture ground used as an orchard (c ¾ acre) abutting westward on the highway, northward upon a hill called Knole Hill, Eastward upon part of said hill & southward upon a Ley late in the possession of John Mortimer\(^1\)\(^2\). The 1735 indenture states that a malthouse had been built upon the site. The 'highway', running north-south, can only be the modern Church Street. The marginal map in 1821-Mar-02 shows a 'Malthouse Hill' (owned by Cassandra Cooke) at the North end of Church Street on its eastern side. In the South West corner of this hill is an oval area, of about ½ to ¾ acre, with a building, or complex of buildings, adjacent to the street. The map also shows a 'Knowl Hill' (owned by the Earl of Abingdon) to the North of 'Malthouse Hill' and continuous with it, and a meadow (now occupied by Bark Beetles) to the South. The oval area, now occupied by *Midsummer Cottage*, *Aiflyn* and *Meadow Cottage*, seems, therefore, a good candidate for this property: it is reasonable to suppose that the name Knole or Knowl originally applied to the whole of the hill sloping down towards Otmoor, the southern part being renamed after the building of the malthouse. Furthermore, the ground floor of Midsummer Cottage is more suggestive of a malthouse than of the labourers' cottages one sees elsewhere in Church Street. Some of my notes on the relevant documents are a little confused and they have been rationalized slightly in the following account. It will be seen that from 1717 to 1804 there are three or four levels of interest in the property:
1) Edward Bee and his successors (theoretical only, since they get no rent from a 500-year lease).
2) William Miles, Richard Gammon, Anthony Moore (I and II), who perhaps lease it on to the next.
3) William Ledwell, John Smith, Jonathan Cooper of Horsepath.
4) In 1804 the Malthouse is occupied by William Fruin, a victualler.
1717-May-17: For 'a valuable consideration' (not specified) Edward Bee leases the property to William Miles, a gentleman, for 500 years at a peppercorn rent if demanded. The land was occupied ('possessed') by Thomas Ledwell. At some point (see 1735-Sep-06) William Miles built a malthouse on the site.
1735-Sep-06: Eleanor Miles of Oxford, widow & administratrix of William Miles, assigns the lease, and the malthouse which William Miles had erected on the land, to Richard Gammon of Clifton, yeoman.
1735-Feb-07: Richard Gammon and his wife, Mary, assign lease to Anthony Moore (N.B. this is February 1736 new style).
1735 to 1804: The property eventually came 'by divers mesne acts, events & assurances in the Law' to another Anthony Moore, a blacksmith, of Garsington. On his death it went to his administrator, Charles Moore of Horsepath, a victualler. According to 1838-Sep-29, from which the above quote is taken, the 'legal estate' was vested in Charles Moore and the 'equitable estate' in Jonathan Cooper, also of Horsepath, who had acquired it by the will of John Smith. These terms refer to the two branches of jurisprudence between which equity takes precedence. I assume that John Smith and Jonathan Cooper had the use of the premises.
1804-Aug-11: With the agreement of Charles Moore, Jonathan Cooper mortgages the property to Stephen Davis of St. Aldate, a boatbuilder, for £60. Charles Moore receives five
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\(^1\) Died 19/Sep/1736 (Beckley Parish Registers).
\(^2\) Pedigrees
shillings for his troubles and now drops out of the story. The property is described as "an inclosed piece of pasture then used as an orchard with all manner of trees then standing and also Malthouse lately erected on said piece of ground then in occupation of William Fruin". Cooper presumably lived in Horsepath, leaving William Fruin in the Malthouse.
1805-Jul-31: Jonathan Cooper borrows another £40 from Stephen Davis on the security of the property.
1812-Jun-27: Jonathan Cooper borrows another £23 from Stephen Davis on the same security.
1813-Jun-27: Jonathan Cooper borrows another £57 from Stephen Davis on the same security, making a total loan of £180.
1814-Apr-30: Jonathan Cooper assigns the remaining term of the 500-year lease to William Fruin, victualler, of Beckley, subject to payment of the mortgage.
1818-Nov-14: land & malthouse assigned to Elizabeth Shayler (later Collett) and her daughter, also named Elizabeth Shayler. The relationship between William Fruin and Elizabeth Shayler is not stated, but it was presumably close since she was his executrix.
1822-Nov-13: death of Stephen Davis. Since this event is mentioned in 1838-Sep-29, the mortgage was presumably still outstanding.
1827-Mar-25: death of William Fruin; Elizabeth Collett is his executrix.
1827-Oct-13: lease on property assigned to Thomas Mallam of Oxford, auctioneer, trustee of the marriage settlement between Elizabeth Shayler (the elder) and John Collett.
1836-Sep-19: Elizabeth Shayler (the daughter) married first Thomas Goodliffe of Ely and then Christopher Legge of Ely. As part of the settlement for the latter marriage Elizabeth Goodliffe and Elizabeth Collett assign their interest in the Malthouse to trustees.
1838-Apr-26: death of Elizabeth Legge (née Shayler).
1838-Sep-29: following the death of her daughter, Elizabeth Collett sells the property (with a close on Otmoor) absolutely to Theophilus Leigh Cooke for £330, free of mortgage.
1858-Sep-11: the Malthouse Orchard (1 acre) is mentioned in the schedule on the lease of Grove Farm.
There are no more references to this property. The marginal map in 1821-Mar-02 shows a T-shaped building, or complex of buildings, on the site, with the cross piece parallel to and right against the road. Since William Fruin was a victualler it is reasonable to suppose it was still being used as a malthouse. The Ordnance Survey 25-inch map of 1876 also shows this T-shape, but with the cross piece divided into four and the down piece into two, thus:
(a) is now Midsummer Cottage. An internal inspection suggests that the present kitchen, along with the reception room to the east of it, was the original malthouse. There is a date, 1742, on a stone above the back door: this is too late for our malthouse, which was there in 1735, so perhaps it refers just to the upper story, built a few years after the lower.
(b) is now shared between Midsummer Cottage and Allyn.
(c) still exists as the southern part of Meadow Cottage (now much extended to the North).
(d) had disappeared by the time of the 1919 OS map.
(e) the northern half of this has disappeared on the 1919 OS map, though the southern half is still depicted. According to Phyllis Wheeler, who has lived in Beckley all her life, the whole of this section had gone by the nineteen thirties.
(f) this was once two dwellings, not apparently built at the same time, each of one-up one-down construction. It was still two cottages in the 1950s, but was made into one, 'Alflyn', by a new tenant, Alf Senior, who lived there until his death in 1995. It is now (2002) owned by my daughter and her husband, Nicola and Will Farmborough.
**Joseph Hieat’s Messuage / The Old Bakehouse (?)**
This is described in the 1718 document as "e ½ acre shooting West towards the Street, North towards Richard Toms, & East & South towards John Pilboys". This places the messuage\(^1\) on the East side of Church Street; presumably it was not adjacent to the Malthouse (see above) since John Mortimer, in an indenture of the previous year, is mentioned as occupying land to the south of this; nor is at the extreme south of Church Street, there being property to the north. Since the lessee, Joseph Hieat, was a baker, we can, very tentatively, identify this property with *The Old Bakehouse*, more specifically with the southern of the two or three original cottages which comprise the modern house and which was still a bakery in the nineteen sixties.
1718-Dec-24: Edward Bee leases messuage garden & orchard to Joseph Hieat\(^2\) of Beckley, baker. Property in occupation of Richard Matthews for 500 years. New lease for 500 years at peppercorn rent.
1732-Feb-01: Thomas Symonds, of Oxon, victualler, assigns lease to William Middleton of Beckley, yeoman, for £32 14s. Thomas Matthews of Oxon, Blacksmith, as administrator of Richard Matthews of Beckley, Blacksmith, is also a party to this indenture.
1740-Sep-13: indenture between Robert Tawney & Thomas Pricket (both of Binsey), William [?] of Oxford, mercer, William Middleton of Beckley, yeoman, and Richard Smith.
1741-Feb-24: indenture between Sir Charles Osbaldson of Oxford, William Middleton (of Beckley, baker) and Edward Doe (of University of Oxford, bookbinder).
1800-Feb-05: Daniel Shilfox, son & administrator of Martha Shilfox of Oxford Street, Middlesex, in whom the property had become vested, assigns messuage & orchard to James Lay.
1805-Mar-02: James Lay, late of Beckley but now of Woodperry, in whom the property is now vested 'by divers assignments & other legal ways & means', assigns it to John Louch, butler of new College, for the remainder of the 500 year term.
1830-Dec: On death of John Louch, his property passed to his brother William.
1832-Mar-25: William Louch sells five leasehold cottages and gardens to Theophilus Leigh Cooke. One of them, occupied by William Green, has a bakehouse and so is perhaps this property.
**John Gomm’s Messuage / Lindum**
The document of 1731 (see below) describes this plot as being 10 poles x 5 poles, "the home & garden now of Thomas Busby lying on North side, the common highway on East side & Mead Close on South". The documents of 1761 and 1766 describe it in the same way except that the former says Mead Close is to the South West, while the latter has it to the West. The 'Common Highway' must be the modern Church Street (the only other N/S road being Otmoor Lane where the estate does not seem to have had property). We need, therefore, to identify Mead Close and a glance at the 1876 O/S 25" map suggests the piece of land now occupied by the school as the obvious candidate. The map shows a house and garden, of roughly 10 x 5 poles and corresponding to the modern *Lindum*, in the NE corner
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\(^1\) Messuage: 'Originally, the portion of land intended to be occupied, or actually occupied, as a site for a dwelling-house and its appurtenances' (OED).
\(^2\) Spelt 'Hyat' in the Beckley Parish Registers.
of this land. If these identifications are correct, then Mead Close wrapped round the site to the South and West and this would explain the varying description. Moreover, it means that Thomas Busby’s home and garden occupied the site of *New Ridge* and this matches fairly closely the description of his land as 11½ poles x 3 poles (see below). The leases mentioned below are of a common type, i.e. for 99 years or the lives of three people with the option, on payment of a fine, to take out a new lease on the death of any one of these. The information from the documents is here complemented by the Beckley Parish Registers (BPR).
1724-Sep-02: leased by Edward Bee to John Gomm, a shepherd, for 99 years or lives of himself, Elizabeth (his now wife) and Alice Carter of Stowood, spinster. John Gomm was 34 at this time.
1724-Oct-27: baptism of John Gomm’s daughter Anne (BPR).
1731-Nov-13: lease of 1724-Sep-02 surrendered and new 99-year lease granted for lives of John Gomm, Elizabeth, his now wife, and Anne their daughter (aged c. 7 years). Mentions that JG has recently built a messuage on land (10 pole x 5 pole). Presumably Alice Carter (perhaps his wife’s sister) had died.
1736-Jul-25: baptism of John Gomm’s son, also called John (BPR)
1736-Oct-17: burial of Elizabeth Gomm (BPR).
1738-Oct-13: lease of 1731-Nov-13 surrendered following the death of John Gomm’s wife; Edward Bee grants a new 99-year lease to John Gomm on lives of himself and his children, Anne (aged c. 14) & John (aged c. 2). John Gomm makes his mark.
1745-Jun-26: marriage of John Gomm (spelt Goom) and Ann Newton, both of Beckley (BPR).
1749-Apr-13: John Gomm’s daughter, Anne, marries Thomas Soanes of Forest Hill (BPR).
1760-Sep-15: William Ledwell of Cowley takes over the lease. Previous lease to John Gomm surrendered for fine of 7/6; new 99-year lease granted to William Ledwell for lives of himself, John Gomm (the father, aged 70) and Anne, his [John Gomm’s] daughter (36). The indenture records that the ground is ‘now or late occupied by Thomas Busby’: whether this includes the dwelling is not clear. This Thomas Busby had recently (1758) taken over the lease on the adjacent property (see “Thomas Busby’s Messuage” below), though not, perhaps, for his own use. Perhaps John Gomm, at seventy, was no longer able to tend the ground: it might also be significant that his son, also John, had died the previous year. The connection between John Gomm and William Ledwell is not known.
1761-Dec-16: following the death of John Gomm’s daughter, Anne Soanes, William Ledwell surrenders the lease of 1760 and takes out a new one on the lives of himself, his brother, Edward, and John Gomm. In April of this year John Gomm had taken a lease on another property nearby (see “John Payne’s Messuage” below).
1766-Sep-16: following the death of John Gomm in January of this year, William Ledwell takes out another 99-year lease on the lives of himself and his two brothers, Edward and James. Rent is one shilling a year.
1805-Jul-08: by this date the property had come to William Ledwell’s widow, Ann (formerly of Woodperry), who had moved to Bath. Following her death, her son William Brydges Ledwell, for £35, gives up all his claims to the property to John Mackaness of the Middle Temple.
1806: in this year, following the death of John Mackaness, his son John assigned leasehold and freehold property in Beckley to Samuel Cooke. Although there is no mention of this property in the extant documents, it seems reasonable that it too was assigned (there is no mention of Mackaness in the next document)).
1809-Apr-06: property now occupied by Elizabeth Morris and Mrs Wakefield, widow. Lease of 16/Sep/1766 now surrendered on payment of £5 by Rev Samuel Cooke; new lease granted by Rev Thomas Leigh to Rev Samuel Cooke for 99 years or lives of Rev George Leigh Cooke, Theophilus Leigh Cooke and Chandos Leigh, at a yearly rent of two shillings and sixpence.
Thomas Busby's Messuage / New Ridge
The description of John Gomm's messuage (see above) states that Thomas Busby's home and garden lies to the north. If the former is to be identified with Lindum then the latter must have occupied the site of the present New Ridge. The 1758 document gives the dimensions of the property as $11\frac{1}{2} \times 3$ poles, a little less than the dimensions of the New Ridge site on the 1876 OS map.
1725-Dec-02: Edward Bee leases the property to Thomas Busby (I) of Beckley, a yeoman, for 99 years or lives of himself, Elizabeth (wife) and Richard (son), at a yearly rent of sixpence. The previous lease was surrendered for £11:10:0.
1755-Jan-31: death of Thomas Busby (BPR).
1756-Jan-31: following the death of his father [a year earlier to the day] Richard Busby of Islip, a yeoman, takes out a new 99-year lease for lives of himself, his son (Thomas aged c 10) and his mother (Elizabeth).
1758-Jan-21: following the death of Richard Busby of Islip, Thomas Busby of Noke & James Lamball of Islip, administrators of Richard Busby, surrender lease of 1756-Jan-31 and take out a new 99-year lease on lives of Elizabeth Busby, widow of Richard Busby, and his sons, Thomas (aged 11) and Benjamin (aged 9). The messuage is said to be in the possession of Elizabeth Busby – is this Richard Busby's mother or his wife? Very likely, Thomas Busby was Richard's brother, while James Lamball might have been related to his wife.
1763-Jul-19: probable death of Elizabeth Busby. BPR just records 'BUSBY, The widow', but the following re-lease makes it likely this refers to Elizabeth.
1764-Oct-08: property leased to Thomas Busby & James Lamball on lives of Thomas (29), Thomas (17) & Benjamin (15) Busby. Thomas Busby the elder has now moved to Beckley (at any rate he is now 'of Beckley' instead of Noke). Thomas Busby makes his mark but James Lamball signs.
1803-May-04: there are two leases with this date, both referring to the surrender of the 1764 lease (for 15 guineas). One lease is between Thomas Leigh and Thomas Busby of Beckley, yeoman, and is still on the lives of Thomas Busby, Thomas Busby the younger and Benjamin Busby. The other is between Thomas Leigh and Thomas Busby of Oxford, yeoman, [is this the same Thomas?] and is on the lives of Thomas Busby (this is the elder – his age is given as 69), John Hut (aged 14) and James Hut (aged 6), the sons of Robert and Francis [Frances in BPR] Hut. The births of John and James Hutt are recorded in BPR as well as a brother and two sisters. What is the implication of these two leases? The 1876 map suggests there were at least two attached dwellings on the New Ridge site, so possibly the second lease refers to a new cottage built onto the first for the use of the Hut family. What had happened to Robert and Frances Hut and what was their relationship to Thomas Busby?
The marginal map on 1821-Mar-02 and the 1876 OS map both show a complex of attached buildings on the sites of the present Otmoor Cottage, New Ridge and Lindum. The buildings mentioned above have gone: the present New Ridge is a Victorian brick building built by Caroline Cassandra Cooke as a girls' orphanage (the 1881 census gives the matron as Marianne Newman and lists sixteen boarders aged from five to seventeen). It was later the village Post Office and shop. It was sold by George Hay Cooke in the early nineteen twenties.
John Payne's Messuage / The Old Bakehouse, Prospect Cottage, Kate Lea's Cottage?
The 1761 and 1805 documents below describe this as a messuage of $11\frac{1}{2}$ (N side) by 4 poles (E side) by 10 poles (S side) by $3\frac{1}{2}$ poles (W side). Unfortunately, they say nothing about its location. Again, we go to the 1876 OS map for clues. We have already allocated the only site on the West side of Church Street with dimensions close to these to Thomas Busby's messuage (see above). The only other sites in Church Street are the Old Bakehouse, Prospect Cottage and Kate Lea's Cottage. East side towards the centre is the site of the Old Bakehouse. The site of Prospect Cottage is Lindum's messuage, but the site of Kate Lea's Cottage is not.
1761-Apr-04: lease of messuage of 11½ by 4 by 10 by 3½ poles to John Payne of Soanes, yeoman, was made by deed. The document does not name the property.
1762-Oct-16: following the death of the previous tenant, John Payne and John Payne.
1769-Feb-11: following the death of labourer John Payne (his son).
1805-Apr-02: lease of messuage to Payne of Soanes, Payne of Soanes, his master.
1810-Mar-23: John Leigh, brother of Thomas Leigh.
Robert Carr's Messuage
The dimensions of Robert Carr's messuage are 11½ on the west (11½ on the east) by 4 on the west (4 on the east). There are considerations as to which site this is.
175-Nov-14: Edward White, weaver.
1764-Nov-12: by virtue of a will, Robert Carr, weaver.
1764-Dec-21: loan of £100 executed.
1764-Dec-23: Edward White, 10 years old, is in possession of messuage.
1765-Apr-08: death of Robert Carr.
1765-Apr-11: death of Robert Carr.
1765-Apr-11: death of Robert Carr.
1775-Mar-23: Mary Smith, George Smith, Mary is in possession, renewed.
1775-Jul-20: Hannah Smith, John Carr erected messuage.
1785-May-24: John Carr, Giles, son, and others are also the following tenants.
other sites in Church Street, or indeed anywhere in Beckley, with dimensions of this order are on the East side towards the South end of the street, where we now have *The Old Bakehouse*, *Prospect Cottage* and *Kate Lea’s Cottage* (we have tentatively identified part of *The Old Bakehouse* with Joseph Hiest’s messuage, but that would still leave the northern part unaccounted for).
1761-Apr-04: leased by Edward Bee to John Gomm for 99 years or lives of Ann Gomm (wife), Ann Soans and Mary Payne (daughters) for a yearly rent of one shilling. A previous lease was surrendered for four guineas, but this lease does not seem to be among the documents nor is there a date for it. John Gomm already held a lease on another property in Church Street (see above).
1762-Oct-16: following the death of his daughter, Ann Soanes, in 1761, John Gomm surrenders the previous lease for 40/- and takes out a new one on the lives of Ann Gomm, Mary Payne and John Payne (son of Mary Payne).
1769-Feb-11: following the death of his father-in-law John Gomm in 1766, John Payne senior, a labourer, takes on the lease for the lives of Mary Payne (his wife) and John & Thomas (his sons).
1805-Apr-02: lease of 1769 surrendered (fine of 40s); Thomas Leigh grants new 99-year lease to John Payne the younger of Beckley, a labourer, on lives of himself (c 52), his daughter, Mary Payne (c 28) and his brother, Thomas (c 49), at a rent of 1s. John Payne (Pain) makes his mark.
1810-Mar-23: John Payne, formerly of Beckley, now of Stanton St John, assigns messuage to his brother, Joseph Paine of St Margarets, Westminster, a grocer, for £75.
**Robert Carr’s Messuage / The Old Bakehouse, Prospect Cottage, Kate Lea’s Cottage?**
The dimensions of this property are given as 10 poles on the North and South sides, 5 on the East and 4 on the west (1749-Dec-23). These are similar to John Payne’s messuage (see above) and the same considerations apply in trying to locate it. See, too, Richard Huggin’s messuage.
1723-Nov-14: Edward Bee leases property to Edward White, yeoman, for 99 years or lives of Edward White and Thomas & John, his sons.
1748-Nov-12: by virtue of several assignments messuage & garden came to Thomas Huggins, a weaver, who now mortgages the lease to Robert Carr for £120.
1749-Dec-21: loan of £120 not having been paid on the agreed day, Thomas Huggins (brother & executor of John Huggins) sells lease on messuage & garden to Robert Carr for £40.
1749-Dec-23: Edward Bee renews lease on messuage with garden to Robert Carr (butcher) for 99 years or lives of Robert Carr and his sons, George & William. Property already in possession of Robert Carr.
1762-Apr-08: death of Robert Carr (BPR).
1762-Apr-11: death of Mary Carr (BPR), [assumed to be Robert’s wife].
1764-Apr-11: death of William Carr, who ‘died by hanging himself’ (BPR).
1775-Mar-23: Mary Sanders, the daughter of Robert Carr, previously Mary Ward, and her husband George Sanders of Cassington, a yeoman, assign the lease to John Carter of Headington. Mary is described as surviving administratrix of Mary Carr of Beckley.
1775-Jul-20: renewal of lease by Thomas Leigh to John Carter for 99 years or lives of John Carter, Hannah (his wife) and William (his son), John Carter currently being in possession.
1782-May-24: John Carter (carpenter & wheelwright) sells the lease on messuage, ‘and the shop lately erected & built next adjoining’, for the residue of the 99 years to Thomas Betts (of St Giles, servant) for £70.
There are also the following leases, but their relationship to Robert Carr’s other property is not clear:
1724-Feb-20: lease to Robert Carr renewed for 99 years on lives of himself, Joan Carr and Mary Dyett (spinsters).
1732-Jul-22: lease to Robert Carr renewed for lives of himself, his wife Mary, and their son John (aged c. 1 year).
**Richard Huggin's Messuage**
The following documents refer to a messuage with garden of about \( \frac{1}{2} \) acre. It is not clear whether this is the same property as the previous (which was closer to \( \frac{3}{4} \) acre) or even whether the same Robert Carr is involved (there are many Carrs in the parish registers and it is not always easy to sort out who was who); it is not even certain that all these documents refer to the same property. Higgins and Huggins appear to be the same (the latter appears in BPR).
1720-Nov-10: Richard Huggins (carpenter) renews lease on mesuage for 99 years or lives of Richard Huggins, Jane (his wife) and Anne (their daughter).
1761-Jun-24: Messuage with garden (\( \frac{1}{2} \) acre) re-leased to Robert Carr, who possesses it, for 99 years or lives of himself, William Carr (son) and Ann Carr (daughter). The tenement was heretofore built by Richard Higgins. A note pinned to this says lease to be renewed in name of Christopher Lipscombe, William Carr and Ann Carr, and that premises are in possession of John Watkins & Thomas Busby.
1763-Apr-16: lease of property to John Carr for lives of himself, Elizabeth his wife, & John their son.
1765-May-01: \( \frac{1}{2} \) acre, currently possessed by John Watkins & Thomas Busby, leased to Christopher Lipscomb for 40/- (see note to 1761-Jun-24).
1780-Jan-26: on surrender of previous lease, Thomas Leigh leases tenement to Sarah Lipscomb for 99 years or lives of Henry & John Lipscomb (her sons) and Anne Carr. Property described as \( \frac{1}{2} \) acre now or late in possession of John Watkins & Thomas Busby with tenement built by Richard Huggins.
**Thomas White's Messuage**
There is only one obvious reference to this property with no clue on its whereabouts; it might be the same as one of the others.
1723-Oct-24: mesuage with garden ground leased by Edward Bee to Thomas White, yeoman, of Christ Church, London, for 99 years or lives of Thomas White and his sisters, Elizabeth & Anne White.
**Mackness (Macknoys) Yard Land**
When John Izard assigned the moieties of the Manor of Beckley to Dame Mary Hatton (1668) and Francis Hall (1670) he still retained a little property in Beckley, described under this and the next heading (Mill Field). 1684-Aug-09 and later recitals refer to "a cottage or tenement in Beckley with barn, stable, orchard and 4 acres of arable land lying dispersed in the common fields of Beckley to be part of a yard\(^1\) land called Mackness Yard Land". A map of 1641\(^2\) shows 'Beckley Common' occupying its present area, North of Beckley Common Road, but extending eastward to Church Street. There is an old bridle way crossing the area from the present group of cottages (*Hewel Barn, Whistlers Cottage* and *Squirrel Cottage*) and near this are signs of old buildings. Maybe 'Mackness Yard' was in this general area. However, 'Mill Field' (see following) was probably to the South of Beckley and the
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\(^1\) Yard: 'An inclosure set apart for the growing, rearing, breeding, or storing of something or the carrying on of some work or business' (OED).
\(^2\) See http://oxford-consultants.tripod.com/Parish_Map.htm but I do not know where the original is.
documents refer to the Izard property there as being 'in the common fields of Beckley', so it could be that Mackness Yard was also in that area. Further research is needed.
1591-Aug-27: Edmund Shillingford's marriage settlelement excludes "one yard of land meadowe and Pasture with Th app[ur]itemnts called Macknoys" which was intended for his younger brother Jozias.
1684-Aug-09: John Izard leases the property to his brother Thomas for £43. It is said "to have been in the occupation of Drucilla Meader for 1000 years".
1692-Jun-06: John Izard leases further land to Thomas Izard for 999 years (see 'Mill Field' following).
The following apparently refer to both 'Mackness' and 'Mill Field' (there are references to the indentures of 1684 and 1692 in 1785-Feb-14 and 1806-Sep-03).
1692-Jun-15: in his will of this date (quoted in next indenture) Thomas Izard bequeaths leasehold property in Beckley to his daughter Elizabeth Price (wife of Rev William Price).
1743-May-24: leasehold in Beckley assigned to George Denton in trust for Elizabeth Price (daughter of William & Elizabeth Price). One part of land was in possession of Rev Mr Jones & then of ... Thomson, widow, and another part was in possession of Daniel Chapman & then William Smith.
1769-Nov-08: Rev John Rusworth and his wife Susannah lease property to John Mackaness. Susannah was the daughter of William and Elizabeth Price and the sister of the Elizabeth who received property in Beckley in 1743. It seems that some of Thomas Izard's original property went to Susannah. There is no clue as to what part of the property is covered by this lease.
1785-Feb-14: property leased to Robert Ashfield subject to Elizabeth Price's right to live there. Edward Pauncefort is mentioned as executor of Sir Charles Hardy, the executor of Constance Denton.
1802-May-12: Robert Ashfield assigns property to John Mackaness. Indenture mentions that Elizabeth Price assigned lands to Edward Paincifort who assigned them to Robert Ashfield.
1806-Sep-02: following the death of John Mackaness, his son and heir, also John, of the Temple, London, assigns the following to Samuel Cooke for five shillings (it is not clear that all of this is the Thomas Izard property):
1) freehold Messuage or Tenement with the Homestead and appurtenants formerly in occupation of James Morris & now of Thomas Blake his undertenants or assigns;
2) orchard belonging to above;
3) freehold close known as Oatmore Close (4-5 acres);
4) messuage cottage or tenement formerly occupied by Joseph Ward, afterwards Richard Fisher & now or late John Budd his undertenants or assigns.
1806-Sep-03: John Mackaness to Rev Samuel Cooke: 'Release of freehold and assignment of Leasehold hereditis & premises in Beckley'.
Mrs Eliz. Jane Humphreys to Dr Peter Dyncley Esq a Trustee of Rev Samuel Cooke: 'Assignment of a term of 1000 years in 2/3 of the freehold promised in trust to attend the inheritance'.
1819-Jun-07: Samuel Cooke mortgages the following to Richard Smith for £500 at 5% for one year (again, it is not clear whether all of this is the Thomas Izard property):
1) freehold messuage or tenement with homestead formerly occupied by James Morris, then Thomas Blake, and now James Blake;
2) freehold close of 4-5 acres called Oatmore Close with same occupancy;
3) messuage cottage or tenement formerly occupied by Joseph Ward, then Richard Fisher, and now John Budd.
1844-Aug-01: Theophilus Leigh Cooke having already paid off £100 of the mortgage, Caroline Cassandra Cooke repays the remaining £400 to William Parker (executor of Richard
Smith). At the direction of Theophilus Leigh Cooke the property is assigned to Caroline Cassandra Cooke.
**Ground in Mill Field**
This is the second property retained by John Izard. 1692-Jun-06 and later recitals refer to "all his sydling\(^1\) or parcel of yelding\(^2\) ground in the common field of Beckley known as Mill Field along west side of Tininey [?] Lane running up the mill yard gates". I seem to have had trouble reading the name of the lane: it is tempting to wonder whether I should have read 'Tinniver'. The 1641 map mentioned under 'Mackness Yard Land' above shows as 'Upper (Mill) Field' the large area bounded to the North by Beckley Common Road and the High Street, and extending to Stow Wood, the Worcester (Islip) road, the Horton Cum-Studley road and Beckley Park; cutting across this area is the Roman Road (the modern Sandy Lane) and this is perhaps the lane mentioned in the description (the map shows no sign of New Inn Road). There is also supposed to have been a windmill between Foxhill Farm and the site of the television mast\(^3\), i.e. close to the junction of Sandy Lane and New Inn Road (the triangular area between these two roads is or was known as Yard's End\(^4\)). The evidence, therefore, such as it is, points to the property being in this general area on the West side of Sandy Lane.
1692-Jun-06: John Izard leases the land to his brother, Thomas, for 999 years. Thomas, in his will dated a week later, leaves it to his daughter, Elizabeth Price.
For subsequent references to this land see 'Mackness Yard Land' above.
**The New Inn**
The OS map of 1875 (revised 1898) shows Newinn Cottage at West corner of junction of the Islip and Horton-cum-Studley roads, opposite the road to Headington.
1721-Oct-12: Edward Bee leases a messuage, the New Inn, with garden adjoining (c. 1 acre), to Robert Sutton, barber of the University of Oxford, for 500 years at a peppercorn rent.
1829: by this year the premises had come by various assignments to Ralph Butler (recorded in 1865-Feb-08).
**Land in Sour Wood Furlong**
This property is described in 1778 as a "piece of ground taken out of the South East corner of a certain furlong\(^5\) called Sour Wood (furlong opposite to the fifty second mile stone at the turnpike road leading from London to Worcester) in Beckley containing in length sixty feet and in breadth forty feet as the same is now paled or mounded out". The turnpike road is the present Islip road (B4027); the 52\(^{nd}\) mile stone is shown on the 1875 OS map as halfway between Newinn Farm and the Royal Oak, on the South side of the road and opposite the hedge running from New Inn Road (the mile stone has gone but the hedge is still there). The sale schedule of 1921, issued on the instructions of George Hay Cooke, includes 'New Inn Field', which is identified as the field (c. 7 acres) lying between this hedge and New Inn Farm (there is no mention of the land on the West side of the hedge). It would seem, therefore that Sour Wood furlong is the area to the North of the Islip road between New Inn Farm on the East and the
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\(^1\) Sideling, sydling etc: 'A strip or piece of land lying by the side of a larger portion or by a stream' (OED).
\(^2\) Yeld means unproductive (OED) or this could be a variant (or misreading) for gelding.
\(^3\) See *Beckley Reflects* (p. 18), the millennium booklet compiled by Peter Wheeler: I have not yet tracked down the source for this. Phyllis Wheeler of Beckley can remember a windmill on this site.
\(^4\) According to Alf Senior (d. 1995) who lived and worked in Beckley most of his life.
\(^5\) Furlong: 'an indefinite division of an unclosed field' (OED).
Royal Oak on the West. The piece of ground taken out of the South East corner must therefore be a small area on the Islip road adjacent to New Inn Farm.
1778-Aug-13: old lease surrendered and new lease granted to James Lamball of Beckley, yeoman, for 99 years or the lives of himself, Mary (his wife) and Sarah (daughter); rent five shillings a year.
1800-Dec-26: leased to Thomas Jessop for 99 years or lives of himself, Catherine (his wife), and Ann (his daughter).
**Thomas Bullford's Garden Plot**
The document of 1722-Dec-01 describes this as "All that his garden ground or Garden Plott in Length Six Poles or Perches and in Breadth four Poles or Perches shooting East and South towards the said Edward Bee's peece of Arable Land Westwards a Common called Wood Common North towards a Lane called Wood Lane together with all [etc]". There is no clue as to the location of 'Wood Common North' or 'Wood Lane', except, rather tenuously, the existence of "Lower Wood's Farm" and "Upper Wood's Farm". The 1801 indenture is described as an 'assignment of Messuages with appurtenances', so presumably by that time some dwellings had been built on the site. 'Wood Lane' could perhaps be the eastern end of Beckley Common Road, which runs East to West: this could place the property on the site of the present Hewel Barn, Whistlers Cottage, Squirrel Cottage and Woodpie Cottage, with 'Wood Common North' being in the general area of Folly Farm. Another possibility might be the bridleway which runs SE to NW from Cooke's Copse to Upper Wood's Farm (Alf Senior of Beckley gave the name of this as Purley Lane).
1722-Sep-01: some property leased to Thomas Bullford\(^1\), labourer, for 195 years (this does not seem to be the same as that mentioned above).
1722-Dec-01: property leased by Edward Bee to Thomas Bullford of Beckley for 125 years at a peppercorn rent (this indenture is not extant but is recited in the next).
1736-May-20: Thomas Bullford assigns lease to Matthew Wiatt of Stanton St. John, Baker, for £34. TB makes his mark.
1736-1801: Matthew Wiatt (Wyatt) leaves the property to Elizabeth Tipping, the second daughter of Susanna Hart. Elizabeth Tipping was married to William Tipping of Beckley (yeoman) and had a son, Moses (a carpenter, of Beckley), by an earlier marriage to Daniel Faulkner. Elizabeth Bayliss (spinster, of Elsfield) also seems to have acquired an interest in the property.
1801-Mar-28: following the death of Elizabeth Tipping, William Tipping, Moses Faulkner and Elizabeth Bayliss assign the lease on the messuage & appurtenances to John Louch, a butler of New College. Two months earlier (25 February) Elizabeth Bayliss had made a will leaving the residue of her estate to John Louch.
The lease on Grove Farm of 1858-Sep-11 includes a reference to 'Bulfords Piece', described as 11 acres of arable land.
**Louch Properties**
The only evidence for these properties is 1832-Mar-25, which mentions that John Louch, a butler of New College, held several cottages in Beckley, some for an unexpired term of 500 years (dating back to 1718-Dec-22), some for the remainder of 190 years (from 1772-Dec-01). There is no evidence where these cottages were and it is possible that some of them are identical to properties described elsewhere. John Louch died in 1730 and left his property to his brother-in-law, William Louch. In
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\(^1\) Thomas Bulford married Sarah Evans on 23/Oct/1722 (BPR). Bul(l)ford is a common name in BPR.
1832 William Louch sold the leaseholds on five cottages to Theophilus Leigh Cooke for £425. The cottages were occupied by William Scragg, Catherine Jessops, William Field, Thomas Smith, William Green (with bakehouse).
**Cassandra Cooke's Enclosure Allocation (Otmoor)**
This allocation was made to Cassandra Cooke, or Theophilus Leigh Cooke acting on her behalf, under the Otmoor Enclosure Act of 1814-15. The commissioners had already sold her a 14-acre field called Moor Leys and she was now entitled to a further allocation adjoining that. The Earl of Abingdon, however, also wanted this piece of land and Cassandra Cooke agreed to accept an allotment further to the West on the understanding that the Earl would grant her a right of way across his land so that she could reach hers easily from Beckley. The original conveyance is missing but we have the right of way agreement (1821-Mar-02) and this includes a map which clearly shows the location of the southern boundary of Cassandra Cooke's allotment, though not its extent: take the public footpath which runs due North across Otmoor from the bottom of Church Street; where this footpath turns due East continue some 300 yards northwards\(^1\) to the dyke which runs West to East and marks the parish boundary; Cassandra Cooke's allotment is immediately North of this dyke. The OS reference for the SW point of the allotment is SP 561 129.
**Richard Carr's Enclosure Allocation (Otmoor)**
In 1822 (22 July) Richard Carr sold Theophilus Leigh Cooke, for £50, the land on Otmoor which had been allocated to him in lieu of his Right of Common. The land is described as consisting of "one acre & one rood, being part of Otmoor bounded on East by allotment belonging to Earl of Abingdon, on North by allotment of Ralph Butler [or Butler], and on South & West by allotment of Theophilus Leigh Cooke". If the allotment to Theophilus Leigh Cooke is the same as Cassandra Cooke's allotment described above then Richard Carr's allotment was East and North of this.
**Ralph Butler's Exclosure Allocation (Otmoor)**
In 1829 (Apr 15) the enclosure commissioners granted Ralph Butler "in respect of his Copyhold Estate held under the Improperite Rectory of Beckley, one piece of Copyhold land (numbered 13 on the map annexed to the said award)". It consisted of "about 1 acre & 3 roods & 16 perches, bounded on North by allotment to William Frewin, on the East by an allotment to the Earl of Abingdon, on the South by an allotment to Theophilus Leigh Cooke purchased of Thomas Betts, and on West by an allotment to Theophilus Leigh Cooke in respect of his improperite glebe". This land is also to the South of Ralph Butler's allotment (see above).
In 1865 (Feb 08) this land (along with New Inn) was sold to Anne Cooke and her children by Amy & Martha Butler.
**Thomas Betts' Enclosure Allotment (Otmoor)**
There is no indenture covering this but it is mentioned in 1865-Feb-08 (see Ralph Butler's Allocation above). It was apparently North of Ralph Butler's allotment and was purchased by Theophilus Leigh Cooke (probably in the 1820s).
---
\(^1\) This is not a public footpath. The map on the agreement gives the name of the fields to the East as 'Otmoor Closes'; Alf Senior called them 'The Closes'.
Elizabeth Collett’s Close
This is a close on Otmoor which Elizabeth Collett sold to Theophilus Leigh Cooke in 1838 (29 Sep) along with the sale of The Malthouse. Elizabeth Collett was assigned The Malthouse by William Fruin (Frewin) and so this close might be the allotment mentioned in 1829-Apr-15 as being North of Ralph Butler's enclosure allotment.
Theophilus Leigh Cooke’s Enclosure Allocations (Beckley)
The document of 1830-Jul-07 is a conveyance of waste land by the Inclosure Commissioner to Theophilus Leigh Cooke for £2943 (presumably under the Beckley Enclosure Act of 1826/7). Three pieces of land are identified and their location is shown on a map (the OS grid references are for the centres of each piece):
1) A triangular piece to the north of Beckley Common Road with the base line on the road opposite Folly Farm and Stow Wood (SP 554 111). This land appears to have caused problems: it is actually in the Parish of Stowood, its eastern boundary coinciding with the parish boundary, and was part of the Crown’s Stowood estate. As such, it was presumably not covered by the above mentioned act and the grant was apparently revoked on 29/Jan/1831. In 1848 (15 Aug) the Commissioner of Her Majesty’s Woods granted it to George Leigh Cooke (Theophilus’ brother and heir) for £28.
2) A square piece (37 acres) to the West of the Roman Road running across Otmoor within the danger area of the rifle range (SP 570 139). In 1859 (25 May) Ann Cooke (widow of Theophilus Leigh Cooke’s brother and heir George Leigh Cooke) sold ten acres of this field to her younger son Rev George Theophilus for £45. The latter left this to his sister Julia for life and on her death (1918) to his nephew George Hay, who sold it as part of the general estate sale of the early twenties.
3) A rectangular piece (part of ‘Holland field’) running NW to SE between the rifle range and West Hill Farm (SP 581 128). A pencil note on the map reads: “The land mentioned in this deed in Holland field was exchanged with Lord Abingdon for land in Beckley at the inclosure”. ‘Holland (West) Field’ is shown on the 1641 map of Beckley and Horton-cum-Studley (see ‘Mackness Yard Land’ above).
In the following pedigrees names and dates not mentioned in the documents are in *italics*. These data come from other family documents or the usual genealogical sources.
**Cooke**
Samuel = Elizabeth BERESFORD
of Kembury, Exeter 1677-40 1669-1741
John = Elizabeth STONE (many others)
Rev John =
Charles = Sarah LETHBRIDGE (d. 1837)
Janetta (d. 1832)
Lt. John RN
Elizabeth = Capt Edward SEYMOUR
Sarah
Michael 1731-93
Rev George Leigh 1709-1795 = (1) Catherine MOORE (d. 1748)
(2) Sarah WYATT (née HAM)
(3) Mary
Rev Samuel 1741-1820 = Cassandra LEIGH 1742-1826
Rev Theophilus Leigh 1778-1846
Rev George Leigh 1779-1853 = Anne HAY 1786-1869
Helen Anne 1816-1869 Rev Samuel Hay = Nina CLOWES d. 1915
Rev George Theophilus 1819-1894
Caroline Cassandra 1822-1907
William Hay 1824-1846
Julia Mary 1828-1918
Helen Cassandra CAVE 1861-1925 Katherine Anne MOCATTA 1865-1952
George Hay 1866-1926
Nina Mary BEECHCROFT b. 1868
Rev William 1870-1923
Samuel Arthur 1870-1921
William Arthur 1902-99
Robert Arthur b. 1941
Leigh
Theophilus = (2) Mary BRYDGES (sister of 1st D. of Chandos)
d. 1703
Edward BEE = Mary
1670-1765
William = Mary LORD
d. 1756
James = Lady Caroline BRYDGES
1730-1804
Cassandra = Sir Edward Turner of Ambrosden
1718-1766
Elizabeth 1733-1816
(3) Rev Thomas = Mary
1734-1813 1731-1797
Theophilus Master of Balliol
1694-1785
Cassandra = Samuel COOKE
1743-1826 1741-1820
see COOKE
James Henry = Julia
1765-1823
Chandos
Lord Leigh (1839)
1791-1850
Thomas TWISTLETON
Rev Thomas = Jane WALKER
of Hampden
4.1764
Rev Charles
Emma = Dr. WALDO
1694-1778
Cassandra = Capt WIGHT of Blakesley
Anne
Rev Edward = Caroline POWYS
1770-1833
Edward Philip
1794-1864
Rev George Leigh = Jane PERROT
1776-1825
Jane = Dr Edward COOPER
Cassandra 1739-1827
= Rev George AUSTEN
Tryphena = Henry ARNOLD
Samuel
Cassandra
Emma
(1) Rev John LEIGH 1754-1800 & Anne (Wm) 1760-1800 & 2 daughters
(2) Catherine WILKINSON
(3) Sarah 1747-1814
(4) Mary
(5) Mary
Rev Samuel = Cassandra
1741-1820
Rev George Leigh = Jane PERROT
1776-1825
Caroline Cassandra William H. 1754-1800
Mary
SCROFF
1774-1825
Rev William
1754-1825
2 daughters
That Thomas (II) was a brother of Richard is a guess based on the fact that after Richard's death he took over the lease on his house for the life of the latter's mother and two young sons. There are many other Busbys mentioned in the Beckley Parish Registers.
Carrs appear frequently in the Beckley Parish Registers: the above are those mentioned in the documents and even these identifications are not absolutely certain. In the 1700s we find Richard & Ann (Grant) producing children and in the 1730s Richard & Alice. In the 1760s Thomas & Elizabeth (Faulkner), John (butcher) & Elizabeth, and John (baker) & Mary are all raising families and in the 1770s/80s Thomas & Ann. In the 1800s we find Thomas & Elizabeth and Edward & Mary.
Foster, Ange and March
John FOSTER (I) = Sarah (I)
d. before 1702 d. before 1702
Mary = John ANGE
Sarah (II) = Richard MARCH (I)
Richard (II)
Gomm and Payne
John GOMM = (1) Elizabeth (d. 1736)
1690-1766 (2) Anne NEWTON (d.1768)
45
Anne = Thomas SOANES
b.1724 49
d.1761/2
John = Elizabeth RADFORD
1736-59 58
Mary = John PAYNE
d. 1803 52
John b.1753
Mary b. 1777
Thomas b. 1755
Joseph
others
Pedigrees
Howland and Russell
Sir Josias CHILD
John HOWLAND = Elizabeth
of Streatham
d. before 1695
William RUSSELL
1st Duke of Bedford
1613-1700
William RUSSELL = Rachel
1639-1683 (executed)
Thomas WRIOTHESELY
Earl of Southampton
d. before 1695
Elizabeth = Wriothesley RUSSELL
d. 1724 95 Marquis of Tavistock
2nd Duke of Bedford
1680-1711
Izard and Price
William SHILLINGFORD (or IZARD) = Alice
d. before 1591
Edmund = Gresswell MEWDIGATT
Jozias
? IZARD = Dorothy
d. 1695
John IZARD (or SHILLINGFORD)
Thomas IZARD =
William PRICE (I) = Elizabeth (I)
d.1785 d. before 1785
Elizabeth (II) Roger Thomas John William (II) Sarah
d. after 1785
Catherine = BURT
Philadelphia = FLETCHER
Susannah = Rev John RUSHWORTH
Mary
John
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Plasma processes for novel detector fabrication
William Reilly Cunningham
UNIVERSITY
of
GLASGOW
October 2003
A Thesis submitted for the degree of Doctor of Philosophy of the University of Glasgow
© William Reilly Cunningham 2003
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Abstract
Plasmas have a wide range of uses from fluorescent light tubes to high technology semiconductor fabrication. In this work I will attempt to discuss a number of plasma processes which have been developed for standard semiconductor fabrication over recent years and apply them to producing detectors in a novel fashion. This will encompass the alteration of older existing processes used on silicon (Si) for use with a new detector material, silicon carbide (SiC). The other application which will be investigated is the use of processes to fabricate devices in indium tin oxide (ITO) which is a transparent conductive semiconductor used in making screens for laptop computers for a new application. ITO will used to produce a range of microelectrode arrays which can be used in neurophysiology studies using retinal tissue.
Acknowledgements
This is the point where people normally thank those that they feel assisted them in any way during the course of their research and far be it from me to baulk at tradition. I would like to thank my supervisor Mahfuzur Rahman for frequent and regular meetings and assistance, also for being able to decipher my sometimes rambling style of writing. I would like to acknowledge the help of all the staff in the USSL lab, the Dry etch lab, and the Level 6 cleanroom in the Electrical and Electronic Engineering Department at Glasgow for assistance, help, and the use of all the facilities without which this project could never have happened. The technicians in the Detector lab past and present specifically Meg Horn and John Melone for cutting/polishing and bonding work respectively, and Drew Meikle, Steven Bryce and Pamela Thornton before them, again without them this work could never have taken place. I would like to thank my industrial supervisor Mike Cooke at Oxford Plasma Technology and all of the Development engineers, Ross, Andy, and Chris, for an enjoyable time working there and a lot of assistance with the equipment.
More thanks for much help, and understanding exactly what I wanted to know/do/say goes to Keith, Val, Richy, and Ken. They helped me understand some of the more obscure and not so obscure results that appeared from my work. Keith in particular has been the driving force behind progress in the retinal project. Other people who need thanked are John M, Meg, and Fred in the Detector lab, and John K for being bloody clever all over the place. Tatjana, Dave, Andy, Franky, Chris A, and Vic for not complaining too much about my whingeing on about how hard this writing business is
and Julien for not rubbing it in too much for finishing months before me. Additional thanks to all of the above, plus any others who I forgot to mention you know who you are, for much non-physics related time spent in the pub discussing much more pleasant things.
That brings me to Henrik Larsson, Martin O’Neill, and the rest of the players at Celtic Football Club for giving us so many pleasant alternative things to discuss, although their UEFA cup run nearly killed me. Finally thanks to Lisa for helping me stay sane (?), attempting to look interested when I told her what I do, and for not being too bitter about the fact that her thesis has to be at least a hundred pages longer than mine, it’s her own fault for being a biologist. Also cheers to my parents for not being embarrassed to tell people their son finished school at 27.
Declaration
I declare that except where explicit reference is made to the work of others, this dissertation is the result of my own work. This work has not been submitted for any other degree at the University of Glasgow or any other institution.
William Reilly Cunningham
## Contents
1 Introduction 1
1.1 Industrial plasma processes .......................... 1
1.2 Novel material applications ......................... 2
1.3 Novel device applications .......................... 4
2 Sample fabrication techniques 7
2.1 Introduction ........................................ 7
2.2 Lithography ........................................ 7
2.2.1 Photolithography ............................. 8
2.2.2 Electron-beam lithography .................... 13
2.2.3 Resist types .................................. 19
2.3 Lift off and contact definition .................... 24
2.3.1 The lift off process: Photolithography ....... 24
2.3.2 The lift off process: Electron beam lithography 25
2.3.3 Advantages and disadvantages of lift off ...... 26
3 Introduction to plasma theory and reactor types 28
3.1 Introduction ........................................ 28
3.2 Basic plasma theory ................................ 29
3.3 DC glow discharge .................................. 32
3.3.1 Regions of a normal glow discharge .......................... 33
3.3.2 Theory of glow discharges .................................... 36
3.3.3 Capacitively coupled RF glow discharge ....................... 40
3.3.4 Plasma enhanced chemical vapour deposition (PECVD) of Si$_3$N$_4$ ........................................... 44
3.3.5 Reactive ion etching (RIE) ..................................... 46
3.4 Inductively coupled RF plasma generation ......................... 47
3.4.1 Inductively coupled plasma reactors .......................... 50
4 Development of plasma processes .................................. 53
4.1 Introduction .................................................. 53
4.2 Plasma etching of SiC ........................................ 53
4.2.1 Properties of SiC ....................................... 53
4.2.2 Etch parameters .......................................... 54
4.2.3 Metal-semiconductor contacts ............................. 58
4.2.4 SiC I-V characterisation .................................. 66
4.2.5 Etch damage comparison ................................... 70
4.3 Plasma etching of ITO ........................................ 71
4.3.1 Introduction .............................................. 71
4.3.2 Etch parameters for ITO .................................. 72
4.3.3 Masking properties ........................................ 72
4.3.4 I-V characterisation of etched ITO ....................... 74
4.3.5 Etching of ITO using resist/Ti mask ...................... 76
4.4 Plasma deposition of Si$_3$N$_4$ ................................. 78
4.4.1 Etching deposited Si$_3$N$_4$ layers ....................... 78
4.4.2 Reduction of pinhole density and adhesion promotion .... 79
4.5 Plasma etching of Ti ........................................ 81
5 SiC radiation detectors ........................................ 83
5.1 Introduction .............................................. 83
5.2 Detector fabrication ....................................... 84
5.2.1 Diode design .......................................... 84
5.2.2 Diode fabrication ..................................... 85
5.3 Detector theory ........................................... 86
5.3.1 Ionising radiation interactions .................... 86
5.3.2 Charge collection .................................... 94
5.3.3 Energy calibration ................................... 96
5.3.4 CCE measurements .................................... 97
5.4 Results for SiC detectors ................................ 98
5.4.1 Un-irradiated diodes ................................ 98
5.4.2 Trap measurements and spectra ..................... 103
5.4.3 Irradiated SiC diodes ................................. 109
5.4.4 Summary of SiC data and future work ............... 112
6 Retinal readout system ....................................... 117
6.1 Introduction ............................................. 117
6.2 Retinal physiology ....................................... 119
6.2.1 Layers of the retina ................................. 119
6.2.2 Functionality of retina .............................. 122
6.3 Fabrication of retinal readout arrays .................. 124
6.3.1 Development of processes for fabrication: 61 electrode arrays ................................. 125
6.3.2 Development of processes for fabrication: 519 electrode arrays .......................... 127
6.3.3 Metallisation of electrodes and contacts ........................................... 132
6.4 Details of retinal readout project ......................................................... 134
6.4.1 Experimental setup ....................................................................... 135
6.4.2 Signal types ............................................................................... 137
6.4.3 Experimental results .................................................................... 139
6.5 Future work and further developments ..................................................... 141
7 Conclusions .................................................................................................. 143
List of Figures
1.1 Can you guess what it is? ........................................ 5
2.1 The two most common types of photolithography processes are shown here: left contact printing and right projection printing [16]. .................................................. 8
2.2 The photolithography process. Exposure of the resist and development of the pattern. ........................................... 11
2.3 The feature spreading caused by light diffraction as it passes through the mask and resist [16]. .................................... 12
2.4 This is a schematic for an e-beam lithography system showing the major components used for controlling the beam [14]. .... 14
2.5 The interface window for CATS, one of the e-beam conversion programs. .......................................................... 15
2.6 The interface window for BELLE, one of the e-beam conversion programs. .......................................................... 16
2.7 Structure of DQ (diazo-quinone) [15]. ............................. 19
2.8 The chemical changes in DQ after exposure to UV radiation [15]. ................................................................. 21
2.9 The breakdown of the alkaline resistant PAC during exposure to UV light [16]. ....................................................... 22
4.1 Plotted are the etch rates against applied RF bias power for a constant ICP power of 1250 W (left hand axis). The right hand vertical axis shows the DC self bias at the different values of the RF bias power. Etch selectivity for NiCr: SiC was greater than 10 : 1 even for the highest etch rate, while selectivity of photoresist: SiC was approx. 1 : 1.
4.2 Shown are the etch rates against applied ICP power for a constant RF bias power of 200W. The right hand vertical axis shows the DC self bias at the different ICP powers. Etch selectivity for the 70 nm NiCr mask was ~20 : 1 even for the highest etch rate.
4.3 Shown is the etch rate obtained for different fractions of O$_2$ added to the SF$_6$.
4.4 The development of the band structure at a metal-semiconductor interface [35].
4.5 Energy band diagrams for n- and p-type material for various bias conditions [14].
4.6 Energy band diagram for a metal-vacuum interface, the lowering is due to a combination of the electric field and the image force [35].
4.7 Energy band diagram for a metal-vacuum interface, showing the Schottky effect for n-type semiconductors. $q\phi_{BO}$ is the intrinsic barrier height, $q\phi_{Bn}$ is at thermal equilibrium [35].
4.8 Energy band diagram for a metal/vacuum interface, showing the Schottky effect for n-type semiconductors. $q\phi_{BO}$ is the intrinsic barrier height, $q\phi_{Bn}$ is at thermal equilibrium [35].
4.9 *left* Leakage current and *right* Schottky barrier height as a function of incident ion energy in RIE discharge. .......................... 67
4.10 *left* Leakage current and *right* Schottky barrier height as a function of O$_2$ content in ICP plasma. ........................................... 69
4.11 Wires similar to those etched into the ITO layer, 600 $\mu$m by several mm. ................................................................. 75
4.12 I-V characterisation for CH$_4$/H$_2$ etched ITO plates. .................. 76
4.13 I-V characterisation for ITO plates after SF$_6$ cleaning of UVIII/Ti mask structure. ................................................................. 77
5.1 Mask design for SiC test samples. ............................................. 85
5.2 The energy deposition Bragg curve for a 5.48 MeV $\alpha$ particle in SiC. ................................................................. 89
5.3 Compton scattering for photon incident on an electron [46]. .... 91
5.4 Change in importance of the different photon interactions with energy [46]. ................................................................. 93
5.5 Field distribution through a semiconductor detector for various bias voltages. $V_d$ is the depletion voltage of the device [46]. ................................................................. 95
5.6 Reverse current plots for 500$\mu$m pad from 0--100V for different humidity levels. ................................................................. 99
5.7 Current density against voltage for a Schottky barrier diode fabricated on S.I. 4H-SiC. ................................................................. 100
5.8 Capacitance against voltage for an unirradiated SiC detector. . 101
5.9 Am$^{241}$ spectra taken at increasing bias voltages. Note the low energy tail on the higher bias voltage spectra. .......................... 102
List of Tables
1.1 Some material and electrical properties of 4-H SiC compared to Si and GaAs ........................................... 3
2.1 Process steps for photolithography .......................... 10
2.2 Process steps for e-beam lithography for standard PMMA resist 18
2.3 Process steps for e-beam lithography using UVIII CAR resist. 24
3.1 The different current-voltage regimes of a DC electrical discharge. ......................................................... 29
3.2 Parameters for deposition of hydrogenated amorphous a-SiN$_x$: H .............................................................. 45
4.1 Some important material and electrical properties of SiC . . . 54
4.2 Constant parameters for the series of etching tests ............ 55
4.3 Parameters for SF$_6$ RIE surface treatment of SiC ............. 67
4.4 Parameters for SF$_6$/O$_2$ ICP etching of SiC .................. 69
4.5 Etch parameters for CH$_4$/H$_2$ etching of ITO ................. 72
4.6 Solvent cleaning processes tried for various photoresist post bake times for etching of ITO using CH$_4$/H$_2$ .................. 74
4.7 Etch parameters for SF$_6$ plasma clean of ITO substrate. .... 77
4.8 Process parameters for SF$_6$ etching of Si$_3$N$_4$ ................ 78
Chapter 1
Introduction
In this thesis I will discuss the techniques and processes used to fabricate novel semiconductor detectors with novel applications. The use of semiconductors is changing, with new materials being tested for use over the more traditional silicon. Also, the areas within which semiconductor technology is being applied is expanding. To facilitate this, changes in materials and use of new processes are necessary that take into account the changes in role and material. The main areas to be investigated are the role of plasma processes for fabricating new devices, and for fabricating so-called traditional devices with new materials.
1.1 Industrial plasma processes
Plasma is the fourth state of matter. In this work the word plasma is used to mean a relatively cool ionised gas rather than the more traditional image of a plasma as a roiling nuclear fireball like the sun. Indeed, the most common use of plasma is in lighting tubes, as they give off relatively intense light without the heat losses associated with traditional tungsten filament lamps. This enables great financial savings. However, plasmas have a number of
different applications within industry. One of the more common of these is in processing semiconductors.
The nature of an ionised gas means that it can interact with its surroundings in a number of ways depending on the chemistry of the gas. By choosing an appropriate gas it is possible to modify the surface properties of a material. For semiconductor processing it is possible to transfer patterns to the surface by using the plasma to remove material from the bulk of the sample; this process is known as plasma or dry etching. Alternatively it is possible to use a plasma to deposit material onto a surface. This can be used to deposit dielectric layers like silicon dioxide (SiO$_2$) or silicon nitride (Si$_3$N$_4$) for semiconductor processing and is known as plasma deposition. The uses of these two types of processes in semiconductor fabrication has increased dramatically in recent years as the pace of development of new technologies has increased. In this work a brief description of the governing equations for plasma generation will be given along with details of some of the more common plasma tools available and how they can be applied for use in two novel applications.
1.2 Novel material applications
Silicon carbide (SiC) is a compound semiconductor which is formed at very high temperature and pressures. Some of its more important properties are given in Table 1.1. As well as these, SiC is also very chemically inert. Many applications are possible for the material especially for those areas where Si is impractical or simply unusable, such as at high temperature, high power operation and/or high radiation environments. Possible applications include improved high-voltage switching [1]-[4]. A future possibility for SiC in this
Table 1.1: Some material and electrical properties of 4-H SiC compared to Si and GaAs
| Material | SiC | Si | GaAs |
|---------------------------|-----------|-----------|-----------|
| Crystal Structure | Wurtzitic | Diamond | Zincblende|
| Lattice constant (Å) | a : 3.08 | 5.43 | 3.19 |
| | c: 9.92 | | 5.19 |
| Density (gcm$^{-3}$) | 3.2 | 2.328 | 5.32 |
| Mobilities (cm$^2$V$^{-1}$s$^{-1}$) $\mu_n$ | 900 | 1500 | 8500 |
| | $\mu_p$ | 20 | 450 | 400 |
| Band gap ($\phi_b$ (eV)) | 3.3 | 1.12 | 1.4 |
| Electron/hole pair production energy (eV) | 8.4 | 3.55 | 4.27 |
| Thernal conductivity (W/cmK) | 4.9 | 1.5 | 0.46 |
area is to be able to operate at voltage levels that would prove fatal to similar devices in Si. Changing to SiC in this area could give increases in efficiency and consequently great monetary savings in public energy distribution and electric motors. Another possible application for SiC switching devices lies in high power microwave electronics for communications [5]-[7]. In particular manufacture of FETs mean that SiC devices could operate with very much higher temperatures and voltages than Si, but have only a fraction of the die size [8].
Applications to high radiation environments could be envisaged in space or inside nuclear reactors. The flux of high energy particles and extremely high electromagnetic radiation levels involved leads to the destruction of semiconductor devices. By switching to SiC with its higher band gap and bond strength the rate of induced damage from radiation is expected to be significantly lower. One possible area where reduced radiation damage rates would introduce great cost savings is in the inner semiconductor tracker regions of large high energy particle detectors like that at the Large Hadron Collider (LHC) being built at CERN. This will have protons colliding with a centre of mass energy of 14 TeV with an expected luminosity of $1 \times 10^{34} \text{ cm}^{-2}\text{s}^{-1}$, which will rise to $1 \times 10^{35} \text{ cm}^{-2}\text{s}^{-1}$ after the proposed upgrade in 2012. The saving to be had from producing detectors from a material which will last for a significantly longer lifetime in the detector while giving reasonable results would be immense. To this end much work has been carried out using SiC as a semiconductor radiation detector.
Since the 1970’s semiconductor devices fabricated on Si substrates have been used as radiation detectors [9]. But it was in 1980 that the planar geometry that now dominates the field came into play [10]. However, SiC is a relatively new material for this application. This means that problems still exist with the growth techniques and new fabrication processes need to be developed. Within this work I will discuss the performance of planar radiation detectors fabricated on SiC substrates. Details will be given of the plasma processes used to produce the devices which were then tested for detection of radiation, specifically Am$^{241} \alpha$ particles. Good performance of diodes irradiated to high fluences, $10^{14} \text{ pions/cm}^2$, with high energies, 300 MeV, has also been observed.
### 1.3 Novel device applications
As mentioned above the use of planar technology for making semiconductor detectors is well established. However, in recent years many of the fabrication techniques that have been developed for use in electronics are being used for very different applications. One of the largest collaborative multi-disciplinary areas is in bio-physics and bio-engineering. This uses technology like that
outlined already but for exploitation in a new range of life sciences applications. The applications range from high definition solid state detectors to replace photographic film in X-rays, to producing new types of detectors for specific biological applications. The Retinal Readout Project is one such collaborative effort. This exploits technology and expertise in semiconductor detectors and data acquisition in experiments at CERN and uses them to make detectors to study the retina.
Figure 1.1: Can you guess what it is?
Vision is one of the most important of the senses for all creatures that have it. The human eye is a remarkable piece of detector engineering. It allows vision over a vast range of light intensities from bright midday sunshine to dim candle light. However, it is not the simple act of producing an electrical impulse from a number of cells in the retina which is the most remarkable thing about human vision. The retina itself has approximately 100 million photoreceptors which are connected in a complex way to 1 million neurons for transmission to the visual cortex of the brain. It is only here that the truly remarkable aspects of the visual system come into play. The way that
the visual cortex interprets, stores, and then accesses information is such that it is possible to recognise a familiar face even after years of separation and physical change. This process is so hideously complicated that millions of pounds have been spent to produce systems which are as complex and unreliable as they are expensive. Fig. 1.1 gives an example of the type of processing that the human visual system is capable of. There is very little information in the picture but many people can instinctively guess what it is (if you can’t guess the answer is here\(^1\)). Obviously there is something very complicated going on here.
For the Retinal Readout Project the University of Glasgow is collaborating with the Salk Institute for Biological Studies, San Diego California, and the Santa Cruz Institute for Particle Physics (SCIPP) at the University of California Santa Cruz. The project aims to allow the simultaneous detection of signals from hundreds of output cells in live retinal tissue as a visual image is focused on the input cells. The signals detected can be correlated with the input images and much information about the way in which groups of cells interact can be gleaned. This work covers details of the development of plasma processes, etching and deposition, to produce a range of high density electrode arrays for use in this effort. Two designs are covered here, the first is a 61 electrode array which has been commonly used for many years. The second design is a high density array with 519 electrodes which is relatively new. Experimental data taken using 61 electrode arrays are shown here along with initial test data from a 519 electrode array.
\(^1\)It’s an elephant
Chapter 2
Sample fabrication techniques
2.1 Introduction
This section will cover the techniques used to produce samples for testing, including photolithography, electron-beam lithography, and metal lift off for definition of contacts and alignment marks. The most commonly used techniques were photolithography and lift-off. The information here is referenced mostly from two books, ‘Semiconductor Devices: Physics and Technology’ by S.M. Sze [14] and ‘The science and technology of microelectronic fabrication’ by S.A. Campbell [15]. Additional illustrational figures were taken from course notes by Prof C. D. W. Wilkinson [16].
2.2 Lithography
Lithography is defined by the Cambridge dictionary as ‘producing a picture printed using a stone or metal block on which an image has been drawn with a thick oily substance that attracts ink’. In the present work the word is used to define a process for transferring a pattern to a piece of semiconductor via an intermediate compound called a resist. Resist is a polymer compound which is sensitive to patterning using different radiation sources. The different
techniques used and the differences between different types of resist will be discussed in detail below.
2.2.1 Photolithography
Photolithography was chosen as the main process step due to the simplicity and reproducibility of the techniques employed. Photolithography uses UV (ultra-violet) light as the radiation source to transfer the pattern to an intermediate compound called a photo-resist or simply a resist. Two processes are possible, contact printing and projection printing, as illustrated in Fig. 2.1.
Figure 2.1: The two most common types of photolithography processes are shown here: *left* contact printing and *right* projection printing [16].
Fig. 2.1 shows the main difference between contact and projection printing. The difference lies in the position of the mask plate. In contact printing the mask is in contact with the sample and for projection printing a lens system is used to focus the UV light through the mask onto the substrate. They
both have certain advantages and disadvantages. Contact printing has good resolution without the need for complicated optics or scaling of the mask features. The positioning in projection printing means that the features are not directly translated but undergo a change in scale. However projection printing means that the mask gets less contamination and produces more consistent resolution and alignment as the projection system does not have to take into account the effect of uneven layers of resist.
As mentioned previously the optics for a projection printing system are more complex than those for a contact printer and the mask needs to be scaled very precisely to take into account the effects of projection. This can increase the complexity of the design process. Projection printing is used mainly in industry where the setup is needed to produce thousands of wafers, so contamination handling is important. The photolithographic processing discussed in this thesis was carried out using a Karl-Suss contact printing mask aligner. Registration size, which governs how accurately two subsequent layers of lithography can be aligned, is $\sim 5 \mu m$ with a resolution of $\sim 1 \mu m$.
The incident UV radiation causes the resist compound to break down so that it can dissolve in a solution known as developer. The unexposed resist is resistant to the developer solution. This leads to the removal of the exposed areas. Thus the pattern from the mask is transferred to the resist layer. The various steps to producing a pattern are given in Table 2.1 for a standard photoresist like that used here, Shipley 1818 (S1818). This is the standard process for producing a pattern in S1818 photoresist. The post treatment step is added if required to reduce the sensitivity of the resist to damage depending on which type of process it is going to be used for.
Table 2.1: Process steps for photolithography
| Step | Parameters |
|--------------------|-------------------------------------------------------------------------------------------------------------------------------------------|
| Surface clean | Sequential solvent cleans in acetone, methanol, and IPA (isopropyl alcohol) followed by rinse in RO (reverse osmosis) water. |
| Spin resist | Resist is applied to the surface using a syringe with a 0.1 $\mu$m filter spun at 4000 rpm for 60s. |
| Soft bake | 90 °C for at least 30 minutes to remove solvent from resist solution. |
| Expose pattern | Using mask aligner, exposure time is dependent on the resist used and the feature size, S1818 resist is exposed for $\sim$11 s. |
| Develop pattern | S1818 resist developed in 1: 1 solution of H$_2$O: Microposit developer solution at room temp for 75 s. |
| Post treatment | 120 °C for approx. 30 min if required |
Fig. 2.2 shows the idealised photolithography process. The exposed areas are removed after development leaving nice sharp clean edges to the features. However, in a real environment a number of other things also happen.
Diffraction caused as the light travels through the mask to the resist and also through the resist layer can cause broadening of the features as shown in Fig. 2.3. For large features this effect has minimal impact but for small or densely packed features it may become significant. This can lead to what is known as the proximity effect. If a number of features are exposed in a densely packed pattern then the slight spreading of light from each individual feature can cause the resist between the features to be sufficiently exposed that it will be removed in the development process.
The other problem is exactly the opposite. A certain dose of light is needed to completely expose the resist. For very small features the dose
of radiation falling on the exposed area over the exposure time may not be sufficiently high. This results in incomplete resist removal after development. This is also fatal to device production as there will still be a layer of resist on the semiconductor stopping further processes being effective.
**Mask production for photolithography**
The masks used for photolithography were produced using electron beam lithography. In order to make a mask of the required design a design file is first created. This was done in a semiconductor layout design package called Wavemaker (Wam). Hierarchical layout files are produced made up of a number of different individual cells. Individual cells can be combined to create a complete design which then forms a separate cell. All cells are saved within a single file. These can then be transferred to be written by electron beam lithography onto a mask plate. The process of design transfer will be
Figure 2.3: The feature spreading caused by light diffraction as it passes through the mask and resist [16].
discussed later in this chapter.
The masks are made from glass plates in a variety of sizes. For example 2.5, 4, and 5 inch plates are available, coated in 0.1 $\mu$m Cr (chromium). This allows only 0.1 % transmission of the UV light through those areas that are still covered. The mask plates can also be copied onto a ferric oxide covered plate. This has the advantage of allowing partial transmission of light allowing for more accurate registration of the samples. The mask copying process introduces a slight loss of resolution but this is not important for large features, only having an effect as the registration limits are approached.
**Advantages and disadvantages of photolithography**
The main advantage of photolithography is that the process is reproducible and relatively quick. From the first clean of a sample it can take as little as a few hours to complete a layer of lithography. This has great benefits when
working with a large number of samples as the longest processes, i.e. the soft baking of the resist, can be done at the same time for all samples. This reduces the overall turnaround time. Also photoresist is a relatively robust compound which is suitable for a number of other fabrication steps as will be discussed later in this thesis.
Disadvantages to photolithography primarily come from the relatively poor registration size. The minimum critical distance for the optical lithography system which was used is $\sim 5 \mu m$. Also the limits to the feature sizes caused by the proximity effect and incomplete exposure of small features means that photolithography is of limited use when processing manually.
### 2.2.2 Electron-beam lithography
**Physical parts of electron-beam lithography machine**
Electron beam (e-beam) lithography is the other method that was used for substrate patterning. In this case an electron beam is used to transfer a pattern into an e-beam resist. This is similar to a photoresist but sensitive to electrons rather than electromagnetic radiation. The equipment is very similar to a scanning electron microscope except rather than simply scanning back and forward it has a sophisticated computer control system in place.
E-beam lithography was done on an EBPG5 HR 100 made by Leica. Fig. 2.4 shows a schematic of the equipment. Here can be seen the physical parts of the machine from the electron gun at the top through to the condenser lenses and the substrate. The lenses themselves are formed from electromagnets. The first is used to focus the beam onto the blanking plate, which controls the direction of the beam electrostatically and can direct it to a beam stop when required.
Figure 2.4: This is a schematic for an e-beam lithography system showing the major components used for controlling the beam [14].
The second condenser lens is used to focus the beam onto the limiting aperture, the latter is variable in size to allow for different spot sizes. The change in spot size allows many different sized areas to be written as efficiently as possible. Large areas are best written with a large spot and small areas with a small spot, with spot sizes ranging between 12nm and 400 nm. This allows a wide range of feature sizes to be covered with a minimum of time wasted.
The final beam coils are used to move the beam around relative to the pattern required. However the deflection available while still remaining a focused beam is relatively small. To cope with larger patterns the whole substrate can be moved on the mechanical stage to allow different parts of a large design to be stitched together to produce the final pattern. The stitching distance is 800 $\mu$m. This can sometimes cause problems, known as stitching errors, whereby the next section is written a short distance away
leaving an unexposed area between the pattern blocks. All of these functions have to be very precise, so the whole process is computer controlled, as shown.
**Computer control of electron beam lithography**
As has been mentioned, for e-beam lithography a design file is created in the Wam layout design package. This is then converted to a format which can be understood by the control system of the lithography machine. A number of different files are produced at different stages for each design to ensure that all of the required data is available. The first step is to convert
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Figure 2.5: The interface window for CATS, one of the e-beam conversion programs.
the format of design file, which is a .gds file. This is converted to a .clib file format, where clib stands for CATS library. CATS is the name of the program which carries out the first stage of the conversion process. Fig. 2.5 shows the interface screen for CATS. CATS takes the input .clib file and allows selection of a single cell from the library, which is called a structure.
Information about different layers within the structure is given along with the spatial size. These can be changed to allow part of a structure to be written, i.e. a single layer or selected area of a layer.
The resolution and required beam energy is also entered at this stage. Resolution affects the edge definition of the pattern to be written while the beam energy has an effect on the minimum feature size that it is possible to write. Another important piece of information at this point is whether the design is to be reversed. Normally the shapes in the pattern are written. However, a reversed image will write the area around the shapes. This is one method to produce isolated features; others will be discussed later. CATS outputs a .cflt file which automatically generates a number of file types .dat, .cin, .log, and .log long. The next stage in the conversion process uses a program called BELLE. This takes files created in CATS and produces the final output file. BELLE is where the information about the pattern is
entered. The *spot size* and *dose* commands affect the physical size of the beam and how long the beam remains in one location. These can have a dramatic effect on the write time of the job. A small spot size with a high dose will have much longer write time than a larger spot size or lower dose. BELLE allows arrays of the same pattern to be written, using the *Repeats* command, with a spacing given by the *step_size*. The size of the substrate and the position of the pattern on the substrate are also entered here.
A number of different job types are available which affects the information required. Shown in Fig. 2.6 is a registration job. This is used when the pattern being written is to be aligned to previous lithography steps. The information is entered here to allow the pattern recognition software in the beam writer to find a given reference on the sample called an *alignment mark*. The distance from the alignment marks to the position where the pattern will be written is also entered. This allows very accurate alignment to previous layers of lithography depending on the chosen resolution. Other job types available are *simple*, which is used to write patterns where no alignment is required, and *exposure test* which is used to write a number of patterns at a range of doses to find which gives the best results depending on feature size and spacing.
**E-beam patterning**
Standard e-beam processing is very similar in outline to photolithography. The resist is spun onto the sample face and soft baked to remove the solvent. However in e-beam there is a large range for each of the processes parameters. A large number of different resist thicknesses are available depending on the size and density of features to be written. This in turn affects the dose to be
used when writing the pattern. The variation in thicknesses lends itself to a range of development procedures. Development of a standard e-beam resist such as PMMA (polymethyl methacrylate) uses a solution of MIBK (methyl isobutyl ketone): IPA. The concentration of the solution is dependent on the feature size, the resist thickness and the density of the features. The process steps for e-beam patterning are shown Table 2.2 for a standard e-beam resist such as PMMA.
Table 2.2: Process steps for e-beam lithography for standard PMMA resist
| Step | Parameters |
|--------------------|-------------------------------------------------------------------------------------------------------------------------------------------|
| Surface clean | Sequential solvent cleans in acetone, methanol, and IPA (isopropyl alcohol) followed by rinse in RO (reverse osmosis) water. |
| Spin resist | Resist is applied to the surface using a pipette with a spin at 5000 rpm for 60s. |
| Soft bake | 180 °C for at least 30 minutes to remove solvent from resist solution. |
| Write pattern | Using EBPG5 HR 100 beam writer. Dose and write time etc. is dependent on the resist thickness, the size, and the density of features. |
| Develop pattern | Pattern developed in solution of MIBK: IPA at 23 °C for 60 s. |
| Post treatment | 180 °C for approx. 30 min if required |
**Advantages and disadvantages of e-beam lithography**
The advantage of e-beam over photolithography is the extremely accurate registration distance and the small feature size that can be written. Aligning patterns with a critical dimension of less than $\sim 5 \mu m$ is very difficult in manual photolithography while e-beam has a registration size which can be measured in nanometres. Also because of the method of writing the
patterns it is possible to produce much more densely packed features than in photolithography. The individual spots written in e-beam diverge due to scattering in the resist but this is insignificant compared to photolithography.
Electron beam lithography has one major disadvantage, it is a linear process not a printing type process. Each section of the pattern is written sequentially in small sections. This is considerably slower than the whole pattern printing process of photolithography. Other problems arise from the fact that e-beam resists are generally much thinner than photoresist making them less suitable for some types of processing. Also, e-beam has a slow turnaround. Jobs to be written are loaded into the beam writer and run overnight so the minimum time to find out if a pattern has written successfully is 24 hours compared to 1-2 hours for photolithography.
### 2.2.3 Resist types
**Photoresist**
*Figure 2.7: Structure of DQ (diazo-quinone) [15].*
Photoresist is a compound made of an inhibitor which is photo-sensitive and a resin base. The resin itself is soluble in an alkaline solution but the inhibitor halts this process. The photo-sensitive inhibitor breaks down when exposed to UV (ultra-violet) radiation allowing the resin to dissolve. The most common photoresists are DQN resists. These are named after the two components in the resist. DQ (diazo-quinone) is the photo-active inhibitor, while N (novolac) is the resin. The novolac resin is a long chain molecule which dissolves in an alkaline aqueous solution. Addition of the DQ inhibitor changes the chemistry so that the resist is no longer soluble in alkaline solutions. The resin itself is resistant to acids and its long chain molecule means that it is suitable for many plasma processes.
DQ (diazo-quinone) is sensitive to UV radiation, Fig. 2.7 shows the structure of the compound [15]. The structure from SO$_2$ down is specific to different manufacturers. The top section contains one benzene aromatic ring with a second double bonded benzine ring which has a weakly bonded nitrogen (N$_2$) atom and a covalently bonded oxygen (O) atom. Fig. 2.8 shows how the chemical structure changes after exposure to UV radiation. The weakly bonded nitrogen is freed leaving a reactive carbon site. This is stabilised by a carbon atom moving outside the ring, called a Wolff rearrangement. The final stage is the absorption of water during the development phase which causes a conversion to carboxycillic acid. Carboxycillic acid readily reacts with and dissolves in alkaline solutions while the freed N$_2$ causes a foaming effect aiding removal.
The exposure to UV and subsequent decay of the inhibitor allows the removal of photoresist in specific areas determined by the pattern of the mask. The length of the exposure is determined by the thickness of the
Figure 2.8: The chemical changes in DQ after exposure to UV radiation [15].
resist layer. Fig. 2.9 shows the sequential nature of the breakdown of the inhibitor. It is easy to see why the exposure time can vary significantly for different types and thicknesses of resist. Another factor which affects the exposure time is the size of the features and how densely packed they are. Small densely packed features will quickly become over exposed by the proximity effect as shown in Fig. 2.3 meaning great care has to be taken in deciding upon the exposure time for different patterns.
**Negative resist**
The previous description was of a positive tone resist. Another type of resist called a negative resist works in the opposite fashion. Instead of the exposure to UV radiation causing dissolution of the photoactive inhibitor agent, as in a positive resist, the UV causes cross-linking of the polymers in the resist. Crosslinking is the process by which several of the resist’s long chain polymers becoming attached to each other changing the chemical properties.
Crosslinking renders the exposed areas more resistant to the developer solution causing preferential removal of unexposed areas. This type of resist is developed in an organic solvent rather than an aqueous solution. Problems occur during the development with the absorption of solvent into the remaining resist which can cause swelling and distortion of patterns.
**E-beam resist**
For e-beam lithography the most common resist is PMMA (polymethyl methacrylate). PMMA is a long chain polymer compound which is acid and alkaline resistant. The compound is also resistant to most organic solvents except acetone. E-beam resists are different from photoresists as when the resist compound is exposed to the electron beam a number of reactions take place unlike photoresists which are designed so that only the desired reaction takes place. These reactions include cross-linking as well as disruption. Crosslinking renders the compound resistant to the developing solvent and so is unwelcome in a positive resist. The design of the resist has to maximise the required reaction, i.e. disruption for a positive resist. In PMMA the rate of dissolution is much higher than that of cross-linking while for a negative resist such as HRN cross-linking is the more common result.
When the resist is exposed to the electron beam it causes the polymer chains to break up in those areas. The polymer fragments are typically 100Å in length. This changes the chemical properties of the exposed compound, making exposed areas soluble in the organic solvent MIBK (methyl isobutyl ketone). Development of the resist occurs in a solution of MIBK: IPA (isopropyl alcohol).
Another type of e-beam resist is UVIII. UVIII is a chemically amplified resist (CAR) from Shipley which is sensitive to e-beam patterning while still being optically sensitive. CARs have an added photoacid generator (PAG) which causes the release of an acid that attacks the base when it is exposed to radiation. This makes it very quick to expose optically. It also requires a very low dose when being patterned using e-beam. The main advantage of this is the reduction in the write time due the decreased exposure required. The process for applying UVIII is slightly different from that for PMMA, Table 2.3 shows the process steps required to produce a pattern in UVIII. The table shows that the process here varies from the PMMA process with the application of the adhesion promoting primer and the need for two bake cycles. The PEB is the more critical step as it activates the chemical amplification for dissolution of the inhibitor agent in the latent exposed image. This is visible to the eye during processing. UVIII is more resistant to plasma processes than does PMMA. Additionally the exposure dose required is reduced.
Table 2.3: Process steps for e-beam lithography using UVIII CAR resist.
| Step | Parameters |
|-----------------------------|---------------------------------------------------------------------------|
| Surface clean | Sequential solvent cleans in acetone, methanol, and IPA (isopropyl alcohol) followed by rinse in RO (reverse osmosis) water. |
| Spin on primer | hexamethyl disilazane (HMDS) adhesion promoter 4000 rpm 30 s |
| Bake primer | 90 °C 15 minutes |
| Spin resist | Resist is applied to the surface using a pipette with a spin at 4000 rpm for 60s. |
| Post-application bake (PAB)| 135 °C for 1 minute to remove solvent from resist solution. |
| Write pattern | Using EBPG5 HR 100 beam writer. Dose and write time etc. is dependent on the resist thickness, the size, and the density of features |
| Post-exposure bake (PEB) | 130 °C for 1 minute to activate the PAG in the latent exposed image |
| Develop pattern | Pattern developed in CD26 developer at room temperature for 60 s. |
by a factor of 10 or more from more standard PMMA resists.
### 2.3 Lift off and contact definition
Lithography is the process of transferring the pattern to a resist compound. A common next step is the application of metals to the surface. This is important for a variety of reasons which will be discussed later in this thesis.
#### 2.3.1 The lift off process: Photolithography
For lift off, the resist is patterned by either photo- or e-beam lithography. Next the whole surface of the sample is covered with a layer of metal or multiple layers of metal. Immersion in solvent removes the remaining
resist along with the metal covering it. This leaves only the areas which were exposed during the lithography with metal, as shown in Fig. 2.10
Figure 2.10: The process of lift off definition of metals [14].
The process of lift off is very dependent on the resist profile after the pattern has been developed. Features with a low aspect ratio or rounded resist profile will lift off poorly if at all. Fig. 2.11 shows a number of suitable profiles for lift off. Evaporated metal travels perpendicularly to the surface producing very little horizontal spread so even for the sloped sidewalls of Fig. 2.11 \(a\) a break in the film should occur provided the metal is sufficiently thinner than the resist. Fig. 2.11 \(b\), and \(c\) show how the resist profile can be changed by the use of a solvent soak prior to the exposure of the resist. These techniques are particularly useful for small features.
### 2.3.2 The lift off process: Electron beam lithography
The method to improve resist profile for lift off is different in e-beam lithography than in photolithography. Surface solvent soaks are not an option. To
Figure 2.11: The effect of different solvent soaks on the resist profile for lift off processing. \(a\) no soak, \(b\) chlorobenzene soak, and \(c\) fluorobenzene soak [15].
improve the resist profile a bi-layer or more infrequently a tri-layer of resist can be used. This employs resist solutions of different molecular weight to produce an overhanging profile. This method also produces a thicker resist layer for lifting off thicker layers of metal. This greatly improves the likelihood of successful lift off. By layering high molecular weight resist on top of a lower molecular resist the profile shown in Fig. 2.12 can be achieved.
### 2.3.3 Advantages and disadvantages of lift off
Lift off is a standard process used to produce metal features on the semiconductor substrate. The advantage is that the process does not use any caustic substances so it is suitable for use with all substrate types. Also, it allows patterning of non-reactive metals such as gold or platinum. The resolution achievable using lift off is limited by the type of lithography used to produce
Figure 2.12: Bi-layer of e-beam resist used to create overhanging profile for lift off.
the pattern so that when an e-beam produced pattern is lifted off it can produce very fine densely packed features.
The biggest disadvantage of lift off is that the unwanted metal can resettle elsewhere on the substrate. This can render a given device or structure useless. The other main problem with this technique is that the entire layer of metal can come off. This is usually caused by a poor resist profile and can generally be avoided by using one of the profile improvement techniques methods discussed previously.
Chapter 3
Introduction to plasma theory and reactor types
3.1 Introduction
The word *plasma* comes from the ancient Greek word *plásmα* meaning ‘something formed or moulded’. It was introduced to describe ionised gases by Tonks and Langmuir [17]. A plasma consists of a gas of charged particles, in which the potential energy of a typical particle due to its nearest neighbour is much less than its kinetic energy.
Plasmas are used in many applications, from lighting tubes to commercial ozone producing equipment. One of the fastest growing areas for the development of plasma equipment is in electronics [18]-[21] where the ever increasing drive to reduce the critical feature size of microchips has led to a drive in the technology development for plasma processing reactors. Here I will describe the basics of the theory governing plasma generation and a number of processes using two of the main commercially available pieces of equipment, a reactive ion etch (RIE) tool and an inductively coupled plasma (ICP) etch tool.
Table 3.1: The different current-voltage regimes of a DC electrical discharge.
| | |
|---|---|
| A | **Dark discharge**
Background ionisation
Saturation regime
Townsend regime |
| B | **Glow discharges**
Normal glow discharge
Abnormal glow discharge |
| C | **Arc discharges**
Glow to arc transition
Nonthermal arcs
Thermal arcs |
### 3.2 Basic plasma theory
Plasma theory is a very large and complicated area of physics. Presented here is an overview of the fundamentals as related to the application of plasma etching and deposition. For a more complete treatment ‘Industrial plasma engineering’ volumes 1 and 2 by J Reece Roth [22, 23] covers all aspects of the generation, development, and evolution of plasma discharges. Additional information was taken from ‘The science and technology of microelectronic fabrication’ by S.A. Campbell [15] on some of the industrial specific applications for plasma processing.
Classical plasma experiments use a vacuum sealed cylinder with an electrode at either end containing a pressurised gas. Plasma can be generated by applying a DC bias between the electrodes. A low pressure DC electrical discharge undergoes a number of current-voltage regimes, which are listed in Table 3.1.
The variation of the current as bias voltage is increased is shown in Fig.
3.1. The region of interest for the processes which are to be considered later in this chapter is the glow discharge regime. However, a brief description of the other regions will be included for completeness.
Figure 3.1: The different regimes through which a DC discharge progresses as the ion current increases [22].
A: Dark discharge
The dark discharge region is so called because it gives off no light except for some of the more energetic corona discharges. This is the section of the current-voltage curve below the glow region. As the applied voltage is increased the current measured in the discharge tube changes through a number of stages. These are:
Background ionisation
Ionisation caused by cosmic rays etc. means that there will always be a finite amount of free charge within a gas. Applying a low potential begins to slowly sweep this charge toward the anode and cathode for electrons/ ions respectively. The current, I, generated in this region increases with applied
bias as the acceleration of charges increases.
**Saturation regime**
In the saturation region all of the available background radiation produced ions/electrons have been collected causing a steady current. The electric field is not high enough to produce any new ionisation. The voltage can increase without changing the current. In this region the current $I_s$, the saturation current, is independent of voltage but linearly dependent on the level of background ionisation. This is similar to the operation of a Geiger-Müller tube.
**Townsend discharge**
Processes of industrial importance begin to occur in the Townsend regime, including corona discharges and electrical breakdown gases. The increase in current has a number of causes. The most important of these are the production of secondary electrons within the gas caused by collisions and emission of secondary electrons from ions impacting on the cathode. This leads to an exponential increase in the current up to the breakdown point. Here the discharge switches into the glow discharge regime signified by a drop in the potential required to maintain a current in the gas.
**B: Glow discharge region**
This is the section of interest for industrial applications and will be discussed in more detail later.
**C: Arc Discharges**
On the other side of the glow discharge region lies the arc discharge region. When a glow discharge has entered the high current section it is difficult to
tell the difference between a glow and an arc. The defining characteristics of an arc are its high luminosity, large current, and low cathode fall voltage. The different types of arc discharge are detailed briefly below.
**Glow to arc transition**
When the current in a glow discharge gets very high the cathode temperature increases. When the cathode becomes hot enough to become a source of electrons the glow to arc transition takes place. During this transition the current increases, luminosity increases, and the voltage required to maintain the current decreases.
**Non thermal arc discharges**
The first stage that a discharge reaches after the glow to arc transition is the *non-thermal arc* also known as a *low intensity arc*. Other names for the same arc are the *thermionic* or *low pressure arcs*. This type of arc is distinguished by having a high current with a gradually lowering voltage. The luminosity is much greater than the glow discharge. Other features are high electron density and temperature.
**Thermal arc discharges**
Increasing currents in the discharge eventually moves the discharge to a thermal arc. In this case the currents are very high, up to 10 kA, and very high electron temperatures and densities are found. The luminosity for thermal arcs is even higher than the non-thermal arc with the discharge becoming opaque.
### 3.3 DC glow discharge
The region of interest in the DC discharge regime is the glow discharge. The name arises from the luminosity of the plasma, which is caused by excitation
collisions of sufficiently high energy to give off visible light. Fig. 3.3 shows the structure of a glow discharge for a standard low pressure discharge tube. Also shown are the luminosity, plasma potential, electric field, and net charge density variations along the length of the discharge tube. The individual sections are observed over a large range of operational characteristics and are generally named after the first person to observe or investigate them.
### 3.3.1 Regions of a normal glow discharge
Beginning from the cathode at the left in Fig. 3.3 the regions of the DC glow discharge plasma are as follows:
**Aston dark space**
This is a thin region immediately to the right of the cathode. It has a high electric field and a negative space charge. This contains slow electrons which are accelerated from the cathode. Electrons here are of too low an energy/
density to glow so it appears dark.
**Cathode glow**
The cathode glow has a relatively high ion density. The glow is caused by incoming positive ions or ions sputtered from the surface of the cathode. This cathode glow can sometimes obscure the Aston dark space.
**Cathode dark space**
This region is variously called the Crookes or Hittorf dark space after the British and German researchers who investigated it. It has a moderate electric field, a positive space charge, and a relatively high ion density.
**Cathode region**
The cathode region, between the cathode and the boundary between the cathode dark space and the negative glow, is where most of the tube’s voltage drop occurs. The width of the cathode region is $d_c$ and the potential across it is the *cathode fall voltage* $V_c$. Most of the power dissipated in a glow discharge occurs in the cathode region. In this region electrons are accelerated to produce avalanching and ionisation in the negative glow and regions to the right.
A low pressure glow discharge will adjust the length of the cathode region to match the relation:
$$d_c p = (dp)_{\text{min}} \quad (3.1)$$
This product is called the *Paschen minimum* where $d_c$ is the cathode distance, $p$ the pressure, and $dp$ is the minimum pressure/distance coefficient. At the Paschen minimum, the discharge maintains itself under the minimum cathode fall voltage and power dissipation. In a normal discharge the current density remains reasonably constant as the increasing current causes a larger area of the cathode to be used.
Negative glow
Immediately to the right of the cathode dark space is the negative glow, this is the brightest region in the discharge. The negative glow has a relatively small electric field. Electrons which have been accelerated from the cathode produce ionisation and intense excitation here. Electron densities are typically $10^{16}$ electrons/m$^3$.
Faraday dark space
This region is found after the negative glow. Because of the high rates of ionisation and excitation in the negative glow, electron energies are low. The net space charge is very low and the axial electric field is weak.
Positive column
This is the region which is closest to the classical description of a plasma. In the positive column the electric field is low, just large enough to maintain the required amount of ionisation at the cathode end. The electron density is in the region $10^{15} - 10^{16}$ electrons/m$^3$ with an electron temperature of 1-2 eV. In the positive column the numbers of electrons and ions are approximately the same giving a net charge of zero. Lengthening the discharge tube at a constant pressure ($pd_c = \text{constant}$) causes a similar lengthening in the positive column while the cathode region stays the same size.
Anode glow
This is a slightly brighter region at the anode end of the positive column, which is not always present. It is the boundary of the anode sheath.
Anode dark space
The anode dark space between the positive column and the anode is also called the anode sheath. This has a negative space charge due to electrons travelling from the positive column to the anode, and a higher electric field
than the positive column.
Other configurations of glow discharge are possible in the glow discharge region. *Striated discharges* have a number of moving or standing striations, which are moving or standing perturbations in the electron number density. Striations have an undesired effect on glow discharge especially for industrial processes where parameters may be critical.
An *abnormal glow discharge* is one where the voltage has to be increased to increase the current density any further as the plasma has covered the whole surface of the cathode. The abnormal discharge looks similar to the normal discharge except the structures close to the cathode can blend into one another to provide a constant glow from cathode to anode.
*Obstructed discharges* occur when the length of the discharge is less than $d_c$ the Paschen minimum distance the cathode fall voltage then has to rise above the Paschen minimum value $V_{c,min}$. This is desirable in many applications as the increased potential causes greater acceleration of ions and electrons.
### 3.3.2 Theory of glow discharges
Here I will discuss some of the equations and relations which can be used to model the behaviour of a plasma. To a good approximation the properties of a normal glow discharge adjust themselves so that the Paschen minimum is achieved i.e. $pd_c \approx (pd)_{min}$. The cathode fall voltage is given by $V_c = V_{b,min}$ where $V_{b,min}$ is the minimum breakdown voltage. The minimum breakdown voltage is a property of the gas used in the plasma and depends on the value of $pd_c$.
The Townsend theory of the cathode region
Early investigations of the cathode region by F. W. Aston [24] reported that the electric field in the cathode region is approximately linear:
\[ E = C(d_c - x). \]
(3.2)
\( C \) is a constant and \( d_c \) is the cathode distance. Integrating this gives the cathode voltage at a position \( x \)
\[ V = \int_0^x Edx = C \left( xd_c - \frac{x^2}{2} \right). \]
(3.3)
By applying boundary conditions at \( x = 0 \) and \( x = d_c \)
\[ V(0) = 0 \text{ and } V(d_c) = V_c. \]
The constant of integration may be written as
\[ C = 2V_c/d_c^2 \]
which when substituted into Eqn. 3.3 gives
\[ V(x) = \frac{V_c x (2d_c - x)}{d_c^2} \]
(3.4)
for the potential at a point \( x \) from the cathode within the cathode region.
The electric field within the cathode region is given by differentiating Eqn. 3.4 to give
\[ E = \frac{dV}{dx} = \frac{2V_c (d_c - x)}{d_c^2}. \]
(3.5)
The net charge density for the cathode region can be determined from Poisson's equation by defining a charge density of
\[ \delta n = Zn_i - n_e \]
where $Z$ is charge of each ion, $n_i$ is the number density of ions, and $n_e$ is the number density of electrons.
Poisson’s equation for the axial dimension of the normal glow discharge may be written as
$$\frac{d^2V}{dx^2} = -\frac{e\delta n}{\varepsilon_0} = -\frac{2V_c}{d_c^2}. \tag{3.6}$$
The second derivative of Eqn. 3.4 may be inserted into the right hand side of Eqn. 3.6. Solving for the net charge density then gives
$$\delta n = \frac{2\varepsilon_0 V_c}{ed_c^2} \tag{3.7}$$
which is a constant, positive net ion number in the cathode region.
**Lorentzian plasma equations**
In this section a parallel plate configuration, as shown in Fig. 3.3, will be considered for calculation of the power dissipated in the discharge.
*Figure 3.3: A schematic of a parallel plate reactor showing variables required to calculate the power input into a normal unmagnetised DC glow discharge [22].*
The Lorentz model describes a plasma where the electrons lose their momentum to collisions with the neutral background gas with collisions of frequency $\nu_c$. The equation of motion for individual electrons using the configuration of Fig. 3.3 is
$$\mathbf{F} = m_e \mathbf{a} = m_e \frac{dv}{dt} = -\nu_c m_e v + e \mathbf{E}. \tag{3.8}$$
$\mathbf{F}$ is the force on an electron, $m_e$ is the mass of an electron, $\mathbf{a}$ is the acceleration on the electron, $\nu_c$ is the collision frequency, $V$ is the velocity of the electron, and $\mathbf{E}$ is the electric field.
In a DC field Eqn. 3.8 becomes
$$\frac{dv}{dt} + \nu_c m_e v - \frac{eE_0}{m_e} = 0 \tag{3.9}$$
Assuming an initial condition of $v(t) = v_0$ at $t = 0$ it is possible to calculate from Eqn. 3.9 a drift velocity
$$v_d = \frac{eE_0}{\nu_c m_e} = \mu_e E_0, \tag{3.10}$$
where $\mu_e$ is the electron mobility.
The power absorbed by an electron is given by
$$p = \frac{dW}{dt} = eE_0 \frac{dx}{dt} = eE_0 v_d \quad (\text{W/electron}). \tag{3.11}$$
Substituting Eqn. 3.10 and assuming an electron number density of $n_e$ the total power absorbed in the gas is
$$P = n_e p = \frac{n_e e^2 E_0^2}{\nu_c m_e} \quad (\text{W/m}^3). \tag{3.12}$$
The power dissipation in the plasma can be defined in terms of the energy of the electric field $U$ and the electron plasma frequency $\omega_{pe}$, where
$$U = \frac{1}{2} \varepsilon_0 E_0^2 \quad \text{and} \quad \omega_{pe}^2 = \frac{n_e e^2}{\varepsilon_0 m_e}.$$
$\varepsilon_0$ is the permittivity of free space, such that
$$P = U_{\text{max}} \nu_*.$$ \hspace{1cm} (W/m$^3$). \hspace{1cm} (3.13)
$U_{\text{max}}$ is the maximum energy of the electric field and $\nu_*$ is the energy transfer frequency defined as
$$\nu_* = \frac{2\omega_{pe}^2}{\nu_c}$$ \hspace{1cm} (Hz) \hspace{1cm} (3.14)
This frequency is fundamental to the transfer of energy into the plasma and is a function of the electron number density, electron kinetic temperature, the gas, and the neutral background gas pressure.
This section has outlined the phenomenology of the DC glow discharge and some of the equations which can be used to model the plasma behaviour. Equations have been given to model the ion density in the cathode region, the cathode fall voltage and the power dissipated in the plasma. These are important for some of the plasma processes which will be discussed later in this chapter because the common configuration for an industrial plasma reactor has the samples for processing sitting on the cathode interacting with the large ion population that exists here. The cathode fall voltage $V_c$ also governs how quickly the ions are accelerated towards the cathode surface.
### 3.3.3 Capacitively coupled RF glow discharge
Semiconductor plasma processes do not use DC discharges because of the danger of damaging the substrate. Instead for most applications a radio frequency (RF) discharge is used. This is governed by the same Lorentz equations as the DC discharge with the introduction of a varying electric field. The frequency of most industrial applications is 13.56 MHz which is well below the electron plasma frequency. This means that each electron
reacts individually to the electric field. One common configuration is the parallel plate geometry as shown in Fig. 3.4.
**Figure 3.4:** A schematic of a parallel plate reactor showing variables required to calculate the power input into a normal unmagnetised RF glow discharge [22].
For an RF power source the component of the electric field in the $x$ direction is given by
$$\mathbf{E} = (E_0 \sin \omega t, 0, 0)$$
The force exerted on an individual electron is given by
$$\mathbf{F} = m\mathbf{a} = mv_c v - e\mathbf{E} \quad (3.15)$$
where $v_c$ is the frequency of collisions with neutrals. Because the electric field only has an $x$ component the drift velocities in the $y$ and $z$ directions are not considered; any initial velocity in these directions are assumed to decay to zero very quickly. The $x$ component of Eqn 3.15 is given by
$$m \frac{d^2 x}{dt^2} + mv_c \frac{dx}{dt} = eE_0 \sin \omega t \quad (3.16)$$
By integrating Eqn. 3.16 for $x$ we can work out the constants of integration such that
$$v_x = \omega (C_1 \cos \omega t - C_2 \sin \omega t)$$ \hspace{1cm} (3.17)
is the time dependent velocity in the $x$ direction for electrons in the plasma. From the calculation, $C_1$ and $C_2$ are given by
$$C_1 = -\frac{eE_0}{m} \frac{1}{\omega^2 + \nu_c^2}$$ \hspace{1cm} (3.18)
and
$$C_2 = -\frac{\nu_c e E_0}{\omega m} \frac{1}{\omega^2 + \nu_c^2}$$ \hspace{1cm} (3.19)
To calculate the power dissipated in the plasma we use the same method as for the DC discharge substituting $E_0$ for $E_0 \sin \omega t$ in Eqn. 3.11 and integrating over one period of the oscillation. The mean power absorbed per electron is found to be
$$\bar{p} = -\frac{eE_0 \omega C_2}{2}.$$ \hspace{1cm} (3.20)
Substituting for $C_2$ from Eqn. 3.19 gives
$$\bar{p} = \frac{e^2 E_0^2}{2m} \frac{\nu_c}{(\omega^2 + \nu_c^2)}$$ \hspace{1cm} (3.21)
Again as before the total power absorbed by the plasma can be given by assuming an electron number density $n_e$ such that
$$\bar{P} = n_e \bar{p} = \frac{n_e e^2 E_0^2}{2m} \frac{\nu_c}{(\omega^2 + \nu_c^2)}$$ \hspace{1cm} (3.22)
It is also possible to write the power absorbed in terms of the electrostatic
energy and the energy transfer frequency as in Eqn. 3.13. In this case we have $\bar{U}$ the energy over an oscillation period so that
$$\bar{P} = \bar{U}\nu_*$$ \hspace{1cm} (3.23)
and in this case $\nu_*$ is defined as
$$\nu_* = \frac{2 \omega_{pe}^2 \nu_c}{(\omega^2 + \nu_c^2)}.$$ \hspace{1cm} (3.24)
From the total power dissipated in the plasma the number density of ions can be calculated. The plasma has a net charge of zero so ion/ electron number densities are equal. Because of the cyclical nature of the RF power supplied to the reactor an ion current will flow in both directions. The potential drop between the plasma and each electrode is related by the ratio of the areas of the respective electrodes. For a parallel plate reactor the potential drops are related by
$$\frac{V_1}{V_2} = \left(\frac{A_2}{A_1}\right)^q$$ \hspace{1cm} (3.25)
where $V_1$, and $A_1$ refer to the powered electrode and $V_2$, and $A_2$ refer to the grounded electrode. The exponent $q$ varies over the range $1 \leq q \leq 2.5$. For a system with a single powered electrode, $q$ is calculated to be 2.
For industrial processes utilising an RF plasma reactor, such as RIE (reactive ion etching), the most common configuration is a parallel plate reactor with one driven electrode which is smaller than the grounded electrode. If running as a DC discharge, the reactor would be said to be an obstructed abnormal discharge with the plasma covering the entire cathode. The use of a smaller cathode and a single driven electrode means that the potential drop to the cathode is larger than to the grounded electrode. This ensures a
large flow of ions to the surface. A setup of this type is shown in Fig. 3.5, We can clearly see the large potential drop to the surface of the cathode from
Figure 3.5: A schematic of a parallel plate reactor with a single driven cathode and earthed anode showing the potential distribution typical in this type of reactor [22].
the edge of the plasma. Here I will discuss two different processes which use this type of reactor: PECVD (plasma enhanced chemical vapour deposition) and RIE (reactive ion etching).
### 3.3.4 Plasma enhanced chemical vapour deposition (PECVD) of Si$_3$N$_4$
PECVD is used to produce primarily layers of silicon nitride (Si$_3$N$_4$) and SiO$_2$ for use as surface passivation and encapsulation. These layers can also be used as etch masks for RIE, or in metal-insulator-semiconductor (MIS) diodes. I will be concentrating on the use of Si$_3$N$_4$ layers for use as surface passivation. Si$_3$N$_4$ is dielectric compound that has a number of useful properties. It has a high electrical resistance $>10^{15}\Omega$, a high electrical breakdown field $>10^7$ V/cm and is impermeable to water. This makes it useful for elecTable 3.2: Parameters for deposition of hydrogenated amorphous a-SiN$_x$: H
| Gas flows (sccm) | SiH$_4$ 10.5
| | NH$_3$ 44
| | N$_2$(:He (85 % He) stress controlled) 171 |
| Power (W) | 30-40 |
| Pressure (mTorr)| 1000 |
| Temperature (°C)| 300 |
| Deposition rate (nm/min) | 15 (10 stress controlled) |
Electrically isolating devices both from each other and from the atmosphere. The addition of a Si$_3$N$_4$ layer also reduces surface leakage currents in semiconductor devices. Details of the applications for these layers are provided in later chapters.
There are a number of ways to produce dielectric coatings on surfaces but non-plasma processes involve high temperatures, > 700-800° C. The very high temperatures are essential to create active species in the gas by thermal excitation. However, these high temperatures can damage semiconductor devices. PECVD uses a low temperature deposition, at around 300° C. This is low enough that metals and deposited layers will not be affected. To avoid the high temperatures an RF discharge is used to create active species within the flow gas by ionisation. A reactor of the type shown in Fig. 3.5, however for PECVD the sample sits on the grounded electrode. This produces a much lower potential drop between the plasma and the sample ensuring that deposition takes place rather than etching. For PECVD of Si$_3$N$_4$, silane (SiH$_4$) and ammonia (NH$_3$) are used in a nitrogen ambient. For stress controlled Si$_3$N$_4$, the nitrogen ambient has He added to the gas mixture. Both of these produce amorphous hydrogenated Si$_3$N$_4$, a-SiN$_x$: H. Table 3.3.4 gives the deposition parameters for stress controlled a-SiN$_x$: H
The power is low for this application so as to reduce the potential drop between the plasma and the sample which in turn reduces the velocity at which ions arrive. High velocity ions can cause sputtering, physical removal of material from the sample surface through collisions. The transport of ions to the sample surface results in chemical reactions between different active species created in the plasma. The primary active species created from silane is *silylene*, SiH$_2$. This adsorbs on to the surface and the raised temperature causes the evaporation of the hydrogen leaving just Si on the surface. Ammonia produces a number of active species such as NH$_2$ and NH. These react on the surface to leave nitrogen. The elevated temperature causes movement of ions on the surface. This leads to reactions on the surface between the Si and the N, producing Si$_3$N$_4$.
### 3.3.5 Reactive ion etching (RIE)
A parallel plate reactor of the type shown in Fig. 3.5 is one of the types most commonly used for RIE (reactive ion etching) with the sample sitting on the smaller powered electrode. RIE uses the flow of ions to the surface of the sample to remove material in a very controlled fashion. For modern semiconductor processing the feature sizes and densities are such that wet etching is not a viable option. Additionally for some of the more chemically inert semiconductors no viable wet etch exists. Wet etching is isotropic, etching in all directions at once. This causes sideways expansion of features and can cause adjacent features to come into contact. Because material removal in RIE is caused by ions accelerating towards the sample surface the etching produced is very anisotropic giving good verticality and no sideways expansion of feature dimensions.
Similar to PECVD the plasma in the chamber creates a number of active species from the working gas. Ions incident on the substrate surface remove material in two ways, by sputtering and by chemical reactions. Sputtering is the process of removing material by purely physical means. Collisions between the ions and the sample can expel material from the surface. Etch processes are designed to minimise the physical component of removal. As these can damage the surfaces left behind as well as introducing lattice defects into the top layers of the material. The preferred method of removal is chemical. When ions are incident on the surface of the sample, depending on the gas chosen, the reactions that take place can cause the formation of volatile compounds. These are then removed from the surface and transported away in the gas flow. This leads to minimal damage to the semiconductor surface and lattice although it cannot be completely removed.
RIE is generally done with the substrate held at about room temperature but a variety of processes are available which use higher or lower temperatures depending on the exact specifications. The exact processes used can encompass a large range of pressure, gas flow, plasma power and from that the bias potential between the plasma and the driven electrode. More details of the processes possible can be found in the next chapter were a number of different RIE processes are developed.
### 3.4 Inductively coupled RF plasma generation
The previous section discussed the generation of a plasma by a capacitively coupled RF discharge in a parallel plate type reactor. Another configuration which is used for RF plasma generation is the inductively coupled discharge. A schematic for inductively coupled plasma generation is shown in Fig. 3.4
The power is transferred into the working gas using electromagnetic waves from the RF current applied to the coil around the gas cylinder. An inductively coupled plasma is neutral with no net charge density, similar to a capacitive discharge. However, there are no DC fields within the plasma, unlike the capacitive discharge. The frequency most commonly used is 13.56 MHz. This is below the electron plasma frequency. Because of this each electron can react individually to the changes in the field direction. For an inductively coupled regime this means the interactions take place near the surface of the gas. This is known as the plasma skin. The electromagnetic wave is absorbed in the skin rather than propagating through the gas as it would have if the frequency had been above the electron plasma frequency.
The electric field, $E$ of the incident wave is given by
$$E = E_0 \exp [i(Kz - \omega t)] \quad (3.26)$$
where $E_0$ is the maximum field, $z$ is the distance into the plasma, $\omega$ is the frequency of the oscillation, and the propagation constant $K$ is given by
$$K = \alpha + i/\delta. \quad (3.27)$$
The real part of $K$, $\alpha$, represents the oscillating electromagnetic field while the imaginary part accounts for the absorption of the wave in the surface layer $\delta$. Both of the terms in $K$ are related to the driving frequency of the RF generator and the properties of the working gas.
For industrial plasmas the following relation generally holds true,
$$\frac{\omega \varepsilon_0}{\sigma} = \frac{2\omega}{\nu_{*,0}} \ll 1$$
(3.28)
where $\omega$ is the driving frequency, $\varepsilon_0$ is the permittivity of free space, $\nu_{*,0}$ is the energy transfer frequency, and $\sigma$ is the conductivity of the plasma. In this case if the conductivity is given by
$$\sigma = \frac{e^2 n_e}{m_e \nu_c} = \frac{\varepsilon_0 \omega_{pe}^2}{\nu_c}$$
then
$$\alpha \approx \sqrt{\frac{\sigma \mu_0 \omega}{2}}$$
(3.29)
and
$$\delta \approx \sqrt{\frac{2}{\sigma \mu_0 \omega}}$$
(3.30)
Substituting for $\sigma$ and working through the constants leaves
$$\delta = 7.516 \times 10^6 \sqrt{\frac{\nu_c}{n_e \omega}}$$
(3.31)
This implies that the skin depth can be considered as the depth into a medium that the electromagnetic wave travels during one period of the electron plasma frequency. Because of this the ionisation all occurs within the skin. For industrial processes a uniform plasma is desirable. To produce a plasma with a uniform density of electrons, and therefore ions, the skin would need to extend to the centre of the column of gas. The frequency of the wave i.e. the frequency of the RF discharge is not subject to variation.
To ensure that the generated plasma is uniform throughout the volume of the working gas the pressure can be adjusted. Depending upon the exact value of the pressure the skin depth can be in the range 3-30 cm. Fig. 3.7 shows how the skin depth changes for several values of the ratio $\nu_e/\omega$ and the electron number density.
**Figure 3.7:** The variation in skin depth with different values of the ratio $\nu_e/\omega$ for a range of electron number densities [22].
### 3.4.1 Inductively coupled plasma reactors
An industrial ICP (inductively coupled plasma) etching tool is used to produce a very dense plasma without having a very energetic ion flux to the surface of the sample. This is important for etching wide bandgap semiconductors which have a high bond strength, or for etching very deep features which would require very long etch times using a conventional RIE set up. The most common configuration for ICP reactors used for etching semiconductors uses a two chamber system, as shown in Fig 3.8.
This type of reactor uses an ICP discharge to produce a dense plasma in a column held above the sample chamber. Because of the neutrality of the ICP plasma and the lack of DC currents, ions have no acceleration towards the sample surface. This allows a large RF power to be used, creating a much denser plasma than could be produced using RIE without damaging the sample. This is because RIE discharges have a single power source which is used to create the plasma and provide the dc bias to the substrate sitting on the powered electrode. So in order to create a denser plasma more power is needed which increases the dc bias by a corresponding amount which can cause lots problems.
The use of a second chamber allows ions to be drawn from the plasma and accelerated at a controlled rate towards the sample surface. A second RF power supply is then used to power the table which holds the sample. This sets up a capacitive discharge similar to an RIE discharge between the sample table held at a raised potential and the neutral plasma. This then
causes a stream of ions from the plasma to travel towards the sample at a rate which is controlled by the power applied to the table which is completely separate from the power applied to generate the plasma.
ICP etching is a faster process than RIE etching due to the larger ion densities that can be achieved. This makes it particularly important for developments in processing wideband semiconductors, which will be discussed in the next chapter. ICP is also used in experimentation with through wafer etching which has many possible applications for future developments in very small feature size electrical devices.
Chapter 4
Development of plasma processes
4.1 Introduction
This section will describe plasma processes that were developed during the course of the project. The previous chapter has discussed the different types of reactors and their main uses. The characteristics of the material to be processed determines which type of reactor needs to be used and also the chemistry that is necessary depending on the result required. For etches it is essential to have chemistries that react with the material, producing volatile compounds. On the other hand for a plasma clean such as an oxygen ash it is imperative that the plasma does not interact with the material, only with possible contaminants on the surface.
4.2 Plasma etching of SiC
4.2.1 Properties of SiC
SiC is a compound semiconductor which has many possible applications one of which will be discussed further in Chapter 5. Table 4.1 has some of the more important physical and electrical properties of SiC.
Another aspect of the material’s properties is that no viable wet etch
Table 4.1: Some important material and electrical properties of SiC
| Crystal Structure | Hexagonal |
|-------------------|-----------|
| Lattice constant (Å) | a : 3.08
c: 9.92 |
| Atomic number | 6/14 |
| Atomic mass | 12.01/ 28.08 |
| Density (gcm$^{-3}$) | 3.2 |
| Radiation length (gcm$^{-2}$) | 28.9 |
| Mobilities (cm$^2$V$^{-1}$s$^{-1}$) $\mu_n$ | e: 900
h: 20 |
| Band gap ($E_g$ (eV) at 300 K) | 3.3 |
| Work function ($\phi_s$ (eV)) | 4.85 |
| Electron affinity ($\chi_m$ (eV)) | 3.2 |
| Displacement energy averaged value (eV) | Si: 35
C: 20 |
| Dielectric constant | 9.7 |
| Electron/hole pair production energy (eV) | 8.4 |
| Thermal conductivity (W/cmK) | 4.9 |
| Melting point (°C) | (sublimes) > 1800 |
exists. Device processing in this case relies on dry etching using a plasma. Much work has been carried out on SiC to look for a process which combines high etch rate with clean features and low electrical damage [25]-[34].
4.2.2 Etch parameters
Initial Conditions
SiC was etched using SF$_6$ and O$_2$ in an Inductively Coupled Plasma (ICP) reactor. The ICP reactor was used in this case to produce a high density plasma $> 10^{11}$ ions/cm$^3$ with a controllable D.C bias to the sample. These are essential to produce a high rate etch process. Standard RIE processes produce etch rates in the range of 10’s of nm/min. However, deep etching
requires etch rates at least an order of magnitude higher. Faster etching is also essential to reduce potential damage caused by the dry etch process. Processes were investigated using SF$_6$ and SF$_6$/O$_2$ chemistries. The base conditions used are shown in Table 4.2. Process variations included the effect of changing the bias powers and the oxygen content. Step heights were measured using a Dektak 3ST surface profiler to allow calculation of the etch rates. The effect of the etch on the electrical properties were found from measurements of the I-V characteristics and calculation of the Schottky barrier height. This will be discussed in the next section.
Two different sets of experiments were carried out. The first used only SF$_6$ gas and varied the applied powers. The second series of experiments used constant powers but with the addition of O$_2$ to the plasma.
**Etch rates measured from varying conditions**
The initial series of etch tests used the parameters in Table 4.2 with variations in the applied RF bias and ICP discharge power. Two different mask materials were investigated. Shipley S1818 photoresist, a standard widely used positive photoresist, was patterned using a photolithographic process, as discussed earlier, and hard baked before use. NiCr (nichrome) was also used. A 70 nm thick layer was patterned using the lift-off technique, as
discussed earlier.
The equipment used was an Oxford Plasma Technology System 100 ICP 180 etch tool. This has a 500 W generator for the RF bias power and a 3 kW generator for the ICP discharge. RF bias power was varied over the range 75-400 W and the ICP power was in the 1-2 kW range. Fig. 4.1 shows plots for the etch depth versus applied RF bias for NiCr and photoresist etch masks. The ICP power was kept constant at 1250 W. Also plotted are the DC self bias against the RF bias. The etch depths were measured using a Digital Instruments Nanoscope AFM (atomic force microscope) in contact mode.
Also investigated here was the effect of varying the ICP power with a constant RF power of 200W. Fig. 4.2 shows how the etch rate is affected by these changes in the applied ICP power. It can be observed from this series of figures that increases in either power increases the rate at which the material
Figure 4.2: Shown are the etch rates against applied ICP power for a constant RF bias power of 200W. The right hand vertical axis shows the DC self bias at the different ICP powers. Etch selectivity for the 70 nm NiCr mask was $\sim 20 : 1$ even for the highest etch rate.
is removed. This is due to a combination of two factors. For increases in ICP power the plasma generated is denser and with a higher proportion of radicals, allowing greater chemical interaction between the plasma and the substrate. Secondly increasing the RF power changes the d.c. bias of the plasma as can be seen from Fig. 4.1. This increases the incident energy with which ions reach the substrate producing a higher rate of physical sputtering of material. This description is a simplification due to other changes which can take place in the nature of the plasma.
The series of tests was carried out over a very short etch time of 1 minute. Subsequent work has shown that the etch rate for SiC changes due to a build up of surface carbon. This is caused by preferential removal of Si by fluorine ions in the plasma. To overcome this $O_2$ was added to the chemistry. By the addition of $O_2$ it was hoped that faster removal of the carbon layers as $CO_2$ or $CO$ would result. The effect of variations in oxygen concentration is shown in Fig. 4.3. These etches were carried out using a 100nm Ti mask.
Figure 4.3: Shown is the etch rate obtained for different fractions of O$_2$ added to the SF$_6$.
which was applied using the lift-off process. This series of etches was carried out with an etch time of 15 min. Unfortunately the Ti mask was completely eroded in some cases. To remedy this the etches were repeated using a simple shadow mask.
### 4.2.3 Metal-semiconductor contacts
In order to allow the characterisation of etch damage to the material it is necessary to observe changes in the electrical properties of the material. To observe changes in the semiconductor properties it is necessary to understand how the interface between a metal and a semiconductor develops. It is then possible to compare with the unetched material to quantify the changes.
When metal comes into contact with a semiconductor surface a barrier will be formed. Here I will consider the basic energy band diagrams. This section will also cover the Schottky effect and the dominant current transport processes. The introduction of surface damage or contaminants, e.g. by
etching, can alter the way the barrier is formed and subsequently affect the usefulness of the material. A primary example is lowering of the Schottky barrier height due to surface damage or chemical adsorption during the etching process. This reduces the effectiveness of rectifying contacts produced on the material. This section is in part derived from the metal semiconductor theory that can be found in books such as ‘Semiconductor devices: physics and technology’ and ‘Physics of semiconductor devices’ by S. M. Sze [14, 35] and ‘Metal-semiconductor contacts’ by E. H. Rhoderick [36]
**Energy band relation**
For a metal in intimate contact with a semiconductor the Fermi levels in the two materials must be coincident at thermal equilibrium. The limiting cases are shown in Fig. 4.4. At the far left the two materials are not in contact and are not in thermal equilibrium. If a wire is used to connect the two materials so that charge can flow from the semiconductor to the metal and the system is brought into thermal equilibrium, the Fermi levels on both sides line up. The Fermi level in the semiconductor is lowered relative to that in the metal by an amount equal to the difference in the work functions.
![Figure 4.4: The development of the band structure at a metal-semiconductor interface [35].](image)
The work function, denoted by $q\phi_m$ for the metal, is the difference between the vacuum level and the Fermi level. This is equal to $q(\chi + V_n)$ in the semiconductor, where $q\chi$ is the electron affinity measured from the bottom of the conduction band $E_c$ to the vacuum level and $qV_n$ is the difference in energy from $E_c$ to the Fermi level. The potential difference $q\phi_m - q(\chi + V_n)$ is called the contact potential. As $\delta$, the distance between the metal and the semiconductor decreases an increasing negative charge is built up at the metal surface. Additionally an equal and opposite charge (positive) must exist in the semiconductor. Due to the relatively small carrier concentration the positive charge is built up in a thin barrier layer at the semiconductor surface.
When $\delta$ is small enough to be transparent to electrons, being equivalent to the interatomic distance, the limiting case as shown to the right of Fig. 4.4 is obtained. In this case $qV_{bi}$ is the built-in potential at zero bias and $W$ is the width of the depletion layer. The limiting height of the barrier $q\phi_{Bn}$ is given by
$$q\phi_{Bn} = q(\phi_m - \chi). \tag{4.1}$$
The barrier height is simply given by the difference between the metal work function and the electron affinity of the semiconductor, for an n-type semiconductor. For a p-type semiconductor the barrier height $q\phi_{Bp}$ is given by
$$q\phi_{Bp} = E_g - q(\phi_m - \chi). \tag{4.2}$$
For a given semiconductor and any metal the sum of the barrier heights on n- and p-type substrates is equal to the bandgap
$$q(\phi_{Bn} + \phi_{Bp}) = E_g. \tag{4.3}$$
Here only the simple single surface state case is considered. For the case of multiple surface states the barrier height may be determined by the surface states rather than the work function.
**Depletion Layer**
When the metal/semiconductor interface is completed it is obvious that a definite relation between the conduction and valence bands of the two materials has been established. The variations of the band structure when an external voltage is applied is shown in Fig. 4.5. Assuming a constant doping density such that $\rho \simeq qN_D$ for $x \leq W$, and $\rho \simeq 0$ and $dV/dx \simeq 0$ for $x > W$ we get
$$W \text{ (depletion width)} = \sqrt{\frac{2\epsilon_s}{qN_D}}(V_{bi} - V), \tag{4.4}$$
where $W$ is the width of the depletion layer, $V_{bi}$ is the built in potential and $V$ is the applied potential.
The capacitance of the depletion region is given by
$$C = \sqrt{\frac{q\epsilon_s N_D}{2(V_{bi} - V)}} = \frac{\epsilon_s}{W}. \tag{4.5}$$
By measuring the capacitance of the depletion region and plotting $1/C^2$ versus $V$ the intercept of this line on the x-axis gives $V_{bi}$, while the gradient gives $N_D$. It is then possible to calculate $W$ for a given device from Eqn. 4.4. During irradiation it is possible that changes in the doping concentration or damage to the crystal structure could cause changes to the depletion width etc. This is a further method to observe the effects of damage in the material.
**Schottky effect**
The Schottky effect is the image force lowering of the potential energy for charge carrier emission when an electric field is applied. First we will consider the metal-vacuum case. For a metal in a vacuum the least amount of energy necessary to liberate an electron, with initial energy at the Fermi level, is defined as $q\phi_m$, the work function of the metal, as shown in Fig. 4.6.
An electron at a distance $x$ from the metal surface will induce a positive charge on the metal surface. The attractive force between the two is equivalent to the force that would exist between the electron and a positive charge at distance $-x$ in the metal. The positive charge is referred to as the image charge and the attractive force is the image force given by
$$F = \frac{-q}{4\pi(2x)^2\epsilon_0} = \frac{-q}{16\pi\epsilon_0 x^2} \tag{4.6}$$
where $\epsilon_0$ is the permittivity of free space. The energy of an electron travelling
from point $x$ to the surface of the metal is given by
$$E(x) = \int_{\infty}^{x} F dx = \frac{q}{16\pi\epsilon_0 x^2}. \tag{4.7}$$
This corresponds to the potential energy of an electron at a distance $x$ from the metal surface, shown in Fig. 4.6, measured down from the $x$ axis.
By applying an external field $\mathcal{E}$ the total potential energy, PE, is a function of the distance,
$$PE(x) = \frac{q^2}{16\pi\epsilon_0 x} + q\mathcal{E}x. \tag{4.8}$$
The Schottky barrier lowering $\Delta\phi$ and the location $x_m$ are given by the condition $d[PE(x)]/dx = 0$. For a semiconductor/vacuum system $\epsilon_0$, the permittivity of free space, is replaced by $\epsilon_s$, the permittivity of the semiconductor. This gives
$$\Delta\phi = \sqrt{\frac{q\mathcal{E}}{4\pi\epsilon_s}}. \tag{4.9}$$
The location and magnitude of the modified barrier can be seen in Fig. 4.7.
Figure 4.7: Energy band diagram for a metal-vacuum interface, showing the Schottky effect for n-type semiconductors. $q\phi_{BO}$ is the intrinsic barrier height, $q\phi_{Bn}$ is at thermal equilibrium [35].
**Current transport**
Here I will discuss the major current transport process within the Schottky barrier diode. This is described using the thermionic emission-diffusion current proposed by Crowell and Sze [35]. This combines the Thermionic emission theory derived by Bloch and the Diffusion theory proposed by Schottky. This approach is derived from the existence of $v_R$ the thermionic recombination velocity at the semiconductor/metal interface.
The electron potential energy $q\psi(x)$ is considered versus distance incorporating the Schottky effect, as shown in Fig. 4.8 for a metal semiconductor barrier. The diffusion of carriers is strongly affected by the potential configuration of the region through which it is diffusing. Assuming that the barrier height is large enough that the charge density between the surface and $x = W$ is essentially that of the ionised donors, W is the edge of the depletion reFigure 4.8: Energy band diagram for a metal/vacuum interface, showing the Schottky effect for n-type semiconductors. $q\phi_{BO}$ is the intrinsic barrier height, $q\phi_{Bn}$ is at thermal equilibrium [35].
The rounding at the top of the curve is caused by a combination of the electric field associated with the ionized carriers and the attractive potential exerted on electrons as they approach the metal surface. The full expression for current transport by the thermionic emission-diffusion theory is given by
$$J = J_s (exp(\frac{qV}{kT}) - 1), \quad (4.10)$$
$$J_s = A^{**} T^2 exp(-\frac{q\phi_{Bn}}{kT}), \quad (4.11)$$
where $J$ is the current density (Acm$^{-2}$), $J_s$ is the saturation current density, $A^{**}$ is the effective Richardson constant, $T$ is the temperature, $k$ is Boltzmann’s constant, $\phi_{Bn}$ is the barrier height, and $V$ is the applied bias voltage. From this by the measurement of current voltage characteristics it
was possible to calculate the barrier height from
\[
\phi_{Bn} = \frac{kT}{q} \ln \left( \frac{J_s}{A^{**} T^2} \right).
\]
(4.12)
\( J_s \) is the current density extrapolated back to zero.
By measurement of current voltage characteristics and calculation of barrier heights it was possible to observe the effects of irradiation of the materials.
### 4.2.4 SiC I-V characterisation
In order to carry out current/voltage measurements a series of metallic contacts were deposited on to the SiC substrate. A full face ohmic back contact was applied consisting of 100 nm of Ni which was deposited using a Plassys electron beam evaporator. The ohmic contacts were formed in an N\(_2\) ambient at 1000° C for 30s in a Jetfirst RTA (rapid thermal annealer).
#### I-V changes after RIE exposure
RIE of SiC although not a process suitable for etching of deep features i.e. isolation etches or mesa etching etc., is a valid method for looking at surface damage. A number of pieces of n-type 4-H SiC were exposed to a plasma of SF\(_6\) for 5 minutes at varying RF powers. The parameters are given in Table 4.3. To produce the Schottky barrier a contact of 100 nm Ti and 50 nm Au was evaporated onto the front side of the substrate. This was patterned using lift-off to produce circular pad diodes with a single guard ring in diameters of 250, 500, and 750 \( \mu \)m. The I-V measurements were taken using a manual probe station connected to an HP test fixture. This apparatus only has a low voltage threshold. Currents were measured over a range of voltages with comparison plots at -1 V being used to observe changes in the current. The
Table 4.3: Parameters for SF$_6$ RIE surface treatment of SiC
| Parameter | Value |
|----------------------------------|----------------|
| Gas | SF$_6$ |
| Flow rates (sccm) | 18 |
| Etch pressure (mTorr) | 10 |
| RF power (W) | 50-250 |
| Etch time (min) | 5 |
| Etch rate (nm/min) | < 10 |
Low voltage measurements were then used to calculate changes in Schottky barrier height using Eqn. 4.12. Fig. 4.9 has plots of the variation in leakage current and the Schottky barrier height.
Figure 4.9: *left* Leakage current and *right* Schottky barrier height as a function of incident ion energy in RIE discharge.
The measurements show that the changes in surface properties that are necessary to affect the leakage current and barrier height are very low. Significant change is observed at 100W RF power or -161 V bias, which equates to an average energy of $\sim 160$ eV per incident ion. The change in leakage current at the highest bias value, 322 V, shows an increase of several orders of magnitude. This suggests that surface damage is a major factor in the behaviour of currents and Schottky barrier height for fabricated devices. Increasing the dc bias of the discharge gives each ion in the discharge more energy when it reaches the surface of the sample. A number of things then happen; material is removed by chemical processes, this is the most desirable event; material is removed by physical sputtering, this is less desirable; and finally the ion is adsorbed into the semiconductor surface, this is bad. The last two of these can introduce lattice damage into the surface layers of the semiconductor, adsorption can also introduce a number of electrically active defects into the material. Increasing the dc bias gives incident ions more energy when they reach the surface of the semiconductor which can increase the severity and depth of lattice damage. The increased energy can also allow ions which are adsorbed to travel deeper into the material, again this increases the depth of damage in the semiconductor surface. These two processes have an effect on the formation of a Schottky barrier because it is dependent on the properties of the semiconductor and the quality of the contact between the metal and the semiconductor any variation can have a large effect as has been seen. In the limit of surface damage the barrier height can be limited by the surface states rather than the relation in Eqn. 4.1 [14, 35].
**I-V changes after ICP exposure**
As discussed earlier in this chapter variations in $O_2$ concentration were investigated to observe the effects on the etch rate during ICP etching. A number of pieces of 6H-SiC were exposed to an SF$_6$/O$_2$ etch in an ICP reactor. These were then electrically characterised to observe if the O$_2$ in the plasma caused any additional variations in the leakage current and Schottky barrier height. The parameters for the etches are given in Table 4.4
After etching, current voltage measurements were made using a manual
Table 4.4: Parameters for SF$_6$/O$_2$ ICP etching of SiC
| Gas | SF$_6$/ O$_2$ |
|----------------------|---------------|
| Flow rates (sccm) | (SF$_6$) 15 |
| Etch pressure (mTorr)| (O$_2$) 0-9 |
| ICP power (W) | 10 |
| Platen power (W) | 1500 |
| Etch time (min) | 200 |
probe station connected to a Keithley 237 electrometer controlled by Labview software. The changes in the reverse current are shown in Fig. 4.10.
Figure 4.10: *left* Leakage current and *right* Schottky barrier height as a function of O$_2$ content in ICP plasma.
The changes in the leakage current and the barrier height show that the addition of small amounts of O$_2$ has a beneficial effect on the reverse current, Schottky barrier height, as well as the etch rate shown earlier in this chapter. There are a number possible reasons for this. The first, and easiest to observe, is that the vastly increased etch rate has left a relatively undamaged surface. This can be supported by the comparison between the highest breakdown voltage and highest etch rate for 20 % added O$_2$. However, after this the breakdown voltage decreases again. The final measurement at 60 % added
$O_2$ is the worst measured after the pure $SF_6$. Other possibilities include the adsorption of $O_2$ into the surface, changing the surface properties. Changes in the Schottky barrier height do not exactly match those observed in the reverse currents; the changes in barrier height lag behind the changes in the current. This could indicate some chemical change in the material.
### 4.2.5 Etch damage comparison
Comparison between the damage caused by RIE and ICP exposure do not follow the expected trend. The changes in leakage current and barrier height are much more severe for RIE than ICP contrary to what would be expected from observations of the nature of the plasmas. An ICP discharge produces a plasma which is at least an order of magnitude denser than that produced in an RIE discharge. However, as shown, the changes in leakage are much more severe for the RIE discharge. This can be explained in terms of the etch rate. The ICP has an etch rate which is greater than 10 times that of the RIE. This means that a cleaner surface is left behind on which to form contacts. This is also borne out by the measured changes with the variation in added $O_2$. Here as the etch rate increases so the breakdown voltage increases.
Comparisons between the changes in the Schottky barrier height are not so straight forward. The RIE discharge had an increasing RF power, and dc bias. This leads to more energetic bombardment causing more damage to the surface. The changes in the ICP plasma were more complex, being chemical in nature. The addition of $O_2$ changes the surface chemistry of the sample during etching. The changes caused by increasing the dc bias are straightforward. Increasing the bias decreases the breakdown voltage and the Schottky barrier height. This tells us that the surface roughness is affected
and consequently the metal for the Schottky barrier contacts do not make a perfect interface. However, the changes in the barrier height measured from the ICP samples lag behind the leakage current. This can be caused by a changing of the surface properties. The sample with the highest breakdown voltage does not have the highest Schottky barrier. This implies a change in the sample resistivity rather than in the formation of the Schottky barrier. Additionally the way in which the barrier height changes gives an indication of the changing surface properties.
4.3 Plasma etching of ITO
4.3.1 Introduction
Indium tin oxide (ITO) is a transparent conductive semiconductor. ITO is used to provide a transparent electrode for optoelectronic devices where a more common metal contact would not be suitable. The most popular use for this material is in the production of screens for laptop computers. It is commonly used in a range of other applications such as gas sensors, anti-reflection coatings and solar cells [37, 38]. However, its use for pixelated photodiodes is also in development [39]. It is possible to pattern ITO for these various applications in a variety of ways from lift-off to wet and dry etching. In Chapter 6, I will discuss the application of plasma technology to ITO for the specific application of creating microelectrode arrays using RIE (reactive ion etching) and PECVD (plasma enhanced chemical vapour deposition) as discussed in Chapter 3.
4.3.2 Etch parameters for ITO
Etching of ITO can be achieved with a great deal of success in a number of ways. These include wet [40] and dry [40]-[44] etching. The problems associated with the isotropic nature of wet etching makes it unsuitable for a highly reproducible process which is required to produce dense features. We have experimented with using a mixture of methane and hydrogen (CH$_4$/H$_2$) in an ElectroTech 340 RIE etch tool. The etch parameters for the process are shown in Table 4.5.
Table 4.5: Etch parameters for CH$_4$/H$_2$ etching of ITO
| Gases | CH$_4$/H$_2$ |
|----------------|--------------|
| Flow rates (sccm) | 5:25 |
| Etch pressure (mTorr) | 11 |
| RF power (W) | 100 |
| Temperature (C) | 25 |
| Etch rate (nm/min) | 25 |
This produces good anisotropic etching. Slight polymer build up can discolour glass but this is removable. The use of CH$_4$/H$_2$ to etch ITO produces certain problems when attempting to find a mask material. Other etch processes which where tested have a simpler masking technology including SF$_6$, SiCl$_4$ and CHF$_3$. However, there was no measurable etching of ITO using any of these processes when used at room temperature, so a new masking technique was required to etch using CH$_4$/H$_2$.
4.3.3 Masking properties
The use of a simple photoresist mask was very desirable to minimise the number of fabrication steps. Photoresist is normally hard baked before use as
an etch mask, the hard baking normally being done at 120°C for 30 min. This removes all remaining solvent and toughens the resist to enable it to better stand up to the plasma. The hydrocarbon nature of a CH₄/H₂ plasma means that in many cases a fully hardened photoresist mask is not suitable. This is because the high temperatures and volatile chemistry can cause cross-linking of the resist making mask removal difficult without the use of caustic cleaning processes. The most common of these is Nanostrip, a mixture of sulphuric acid and hydrogen peroxide. This also damages the ITO so is unsuitable for use. Common solvents such as acetone do not suffice to remove the hardened photoresist.
The layer of ITO used is ~ 300 nm thick. This only requires a relatively short etch time of 12 min. An investigation into reducing the time of the resist hard bake was carried out to discover whether it was possible to use the resist as a mask or if an intermediate metal or dielectric layer was necessary. The latter would add an extra step to the process so increasing the complexity and hence the number of potential problems. A number of samples were prepared using S1818 photoresist. A wire pattern was exposed onto each sample. These were then post baked at 120°C for varying lengths of time. The samples were etched and various methods for cleaning the surface were tried.
Table 4.6 details the cleaning processes that were used to remove the photoresist mask after an ITO etch. The etch time for these tests was 14 min. This includes a 2 min overetch of the material to allow for variations in the thickness of the ITO layer. A 5 min post bake was found to be optimal. The resist was suitable for use as a mask and could be removed with out the use of any caustic agents.
Table 4.6: Solvent cleaning processes tried for various photoresist post bake times for etching of ITO using CH$_4$/H$_2$
| Post bake time | Cleaning process | Effect |
|----------------|----------------------------------------------------------------------------------|------------------------------------------------------------------------|
| 5 min | Acetone (cold) | very little |
| | Acetone (hot) | some removal near edge of pattern |
| | Acetone (hot) in ultrasonic bath | removed almost all traces of resist |
| | Acetone (hot) in ultrasonic bath used cotton bud after | all resist gone |
| 10 min | Acetone (cold) | none |
| | Acetone (hot) | very little |
| | Acetone (hot) in ultrasonic bath | some removal near edge of pattern |
| | Acetone (hot) in ultrasonic bath used cotton bud after | no removal in centre of pattern |
| 15 min | Acetone (cold) | none |
| | Acetone (hot) | very little |
| | Acetone (hot) in ultrasonic bath | very little |
| | Acetone (hot) in ultrasonic bath used cotton bud after | very little |
### 4.3.4 I-V characterisation of etched ITO
Part of the problem of developing the mask technology for ITO etching was to ensure that there was no electrical degradation of the ITO layer. The Van der Pauw method [45] was used to measure the resistivity of the ITO layers before etching was carried out. This was then repeated after etching. The Van der Pauw method uses four probes placed onto the surface of the material in a square. It works by passing current, $I$, through the sample between one neighbouring pair of contacts and measuring the voltage, $V$, induced in the material with the other pair such that,
$$R_s = \frac{V}{I} \times 4.54.$$ \hspace{1cm} (4.13)
Eqn. 4.13 uses Ohms law with a correction factor of 4.54 to measure the resistivity in units of $\Omega/\square$. This correction factor is applied in the case when the layer thickness $W \ll d$, the sample diameter or in this case the side length. The other condition for this relation to work is that $d \ll s$ the probe spacing. The measured resistivity was 11 $\Omega/\square$.
A number of wires, 600 $\mu$m wide and several mm long such as those shown in Fig 4.11, were then etched in the ITO layer. After etching in CH$_4$/H$_2$ with an etch rate of $\sim$25 nm/min the resistivity was found to be essentially unchanged allowing for slight variations in the layer thickness. Fig. 4.12 shows a series of I-V measurements for post etch material i.e. ITO under the photoresist mask. It shows conductance on the wires and zero current in the spaces between, and also between adjacent wires. The zero current between adjacent wires means that the etch has been completely successful in removing all of the un-masked material which is essential for any application.
4.3.5 Etching of ITO using resist/Ti mask
The use of electron beam resist to pattern the ITO layer results in the use of a different masking structure. A two layer mask is used consisting of 100 nm of Ti which is in turn patterned using a layer of UVIII e-beam resist. The ITO is etched using CH$_4$/H$_2$ RIE with the same parameters as previously discussed. However it is now essential to remove the layer of Ti from the surface of the ITO. This has to be achieved using a dry etch process as the wet etch for Ti is a strong HCl/H$_2$O solution. This is also the wet etch for ITO but ITO etches at a much higher rate causing problems with under etching of any narrow features. Ti can be etched by RIE using SiCl$_4$, SF$_6$ and a number of other fluorine containing gases. However SF$_6$ has the fastest etch rate of these, $\sim 25$ nm/min, with a very short induction time. This process uses a low pressure SF$_6$ plasma in a BP 80 RIE reactor; the parameters are given in
Figure 4.13: I-V characterisation for ITO plates after SF$_6$ cleaning of UVIII/Ti mask structure.
Table 4.7. It has already been mentioned that SF$_6$ does not etch ITO but it becomes essential that it does not damage the surface by either roughening it or by chemical adsorption. Either of these could affect the conductivity and so reduce the usefulness of any devices fabricated. Fig. 4.13 shows measurements of I-V for an ITO plate before and after the SF$_6$ etch. It is clear that the conductivity is essentially unaffected by the exposure.
Table 4.7: Etch parameters for SF$_6$ plasma clean of ITO substrate.
| Gas | SF$_6$ |
|----------------------|--------|
| Flow rate (sccm) | 10 |
| Etch pressure (mTorr)| 13 |
| RF power (W) | 100 |
| Etch rate (nm/min) | >25 |
The I-V curves are shown for measurements on three different wires after SF$_6$ plasma removal of the Ti masking layer. These curves show very little change in the properties of the material after the etch compared to the preetch measurements shown in Fig. 4.12.
### 4.4 Plasma deposition of Si$_3$N$_4$
#### 4.4.1 Etching deposited Si$_3$N$_4$ layers
In the production of electrical and photoelectric devices on ITO and SiC, as with many other semiconductor materials, a surface passivation layer may be added. This is used to protect the device from damage and atmospheric contamination. One of the more common dielectric materials used for surface passivation is Si$_3$N$_4$, which is deposited using PECVD (plasma enhanced chemical vapour deposition). Once the passivation layer is deposited it is usually necessary to produce openings in the layer to allow electrical contact. This is done using an SF$_6$ plasma in an Oxford Plasma Technology System 100 RIE etch tool. For this etch it is essential to be able to etch through the Si$_3$N$_4$ layer to the ITO without damaging the conductive surface. The process to achieve this is detailed in Table 4.8.
**Table 4.8: Process parameters for SF$_6$ etching of Si$_3$N$_4$**
| Parameter | Value |
|----------------------------------|------------------------|
| Gas | SF$_6$ |
| Flow rates (sccm) | 10 |
| Etch pressure (mTorr) | 2-3(open valve) |
| RF power (W) | 120 |
| Etch rate (nm/min) | ~85 |
This etch process gives easily reproducible, well defined features. It is possible to use a single stage photoresist mask without any post bake making it easy to remove.
Problems with the Si$_3$N$_4$ revolve around getting a film which has no micropores or pinholes. Additional problems were encountered with poor adhesion of the films during subsequent processing. This can cause areas of the Si$_3$N$_4$ to peel from the surface. The cause of problems with the layers are attributed to dust or other contamination of the surface to be coated. Solvent cleaning is not sufficient to ensure a uniform film without pinholes or micropores and with good adhesion, so other methods were investigated to improve the quality of the passivation layers.
### 4.4.2 Reduction of pinhole density and adhesion promotion
In order to ensure that the surface was as clean as possible a rigorous solvent clean was applied to each sample before the deposition of the Si$_3$N$_4$ layer. This involves sequential cleans with acetone, IPA, methanol and RO (reverse osmossis) water. To improve the surface adhesion the deposition process for the Si$_3$N$_4$ was changed to produce a hydrogenated Si$_3$N$_4$ layer. The reason for this is to reduce the internal stress in the film. Reduction in film stress helps to reduce the possibility of films lifting off or cracking. This initial step was not successful in reducing pinhole/micropore density, however, film adhesion was greatly enhanced with no peeling or lifting of films. An oxygen plasma ash surface treatment was introduced to combat this. This uses an ElectroTech Barrel asher to produce a high pressure oxygen plasma. The parameters are given below in Table 4.9. The main purpose for this piece of equipment is the removal of organic material. This includes any residue that solvent cleans may leave behind.
To characterise the pinhole density a number of samples were ashed for varying lengths of time, 10, 20, and 30 min. A layer of Si$_3$N$_4$ was then
Table 4.9: Process parameters for oxygen plasma surface treatment
| Flow (l/min) | 2 |
|-------------|---|
| Pressure (mTorr) | 130 |
| Power (W) | 110 |
deposited on half of the sample. A wire was attached with silver dag and the sample immersed in a saline solution which contained a second earthed electrode. A current of 80 $\mu$A was passed through the ITO for 5 min and the number of pinholes etc. visible was counted across the surface. The number of pinholes was vastly reduced with increased ash time and film adhesion was improved with reduced apparent curling at the edges of the film, as evident from Table 4.10.
Table 4.10: Table shows change in density of defects in Si$_3$N$_4$ layer for different ash times.
| Ash time (min) | Hole density (cm$^{-2}$) |
|---------------|-------------------------|
| 10 | 2.5 |
| 20 | 1.2 |
| 30 | 0.6 |
The pinhole density was greatly reduced but there were still some visible. To ensure that no pinholes were present in the passivation layer a bi-layer of Si$_3$N$_4$ was tested. Two 500 nm thick layers of Si$_3$N$_4$ were deposited sequentially. Oxygen plasma cleans were used on both the ITO surface and the surface of the initial Si$_3$N$_4$ layer. O$_2$ plasma cleans were used to ensure that no surface contaminants i.e. solvent residues remained on the surfaces. There were no visible pinholes when the bi-layer passivation was used. The use of the oxygen ash and a Si$_3$N$_4$ bi-layer has now become part of the standard
4.5 Plasma etching of Ti
Mention has been made of using electron beam lithography to pattern the ITO plate. As previously discussed in Chapter 2 electron beam lithography uses a computer controlled focussed beam of electrons to write patterns into a resist compound. To focus on the sample surface the e-beam machine uses reflectometry. Once the height of the sample surface is known the electron beam can then be focussed to write the pattern. However, both ITO and the quartz substrate are optically transparent. This means that on many occasions it is impossible for the software to find the sample surface and thus the beam is improperly focussed. The improper focussing leads to a problem with stitching sections of the pattern together. To get around this, a layer of Ti is deposited on the surface. This allows the surface to be easily located. The additional Ti layer as discussed earlier in this Chapter can also then be used to pattern the ITO as the UVIII resist used is not thick enough to survive the CH$_4$/ H$_2$ ITO etch.
Table 4.11: Etch parameters for SiCl$_4$ etching of Ti
| Gas | SiCl$_4$ |
|----------------------|----------|
| Flow rates (sccm) | 18 |
| Etch pressure (mTorr)| 9 |
| RF power (W) | 250 |
| Etch rate (nm/min) | $\sim 25$|
A 100 nm thick layer of Ti is evaporated onto the sample surface before the resist is spun on. After the pattern has been written and developed the
Ti is etched using a SiCl$_4$ plasma in an Oxford Plama Technology System 100 RIE etch tool. A number of other chemistries are available to etch Ti. However most of them are very damaging to resist e.g. the SF$_6$ etch, which was discussed earlier in this chapter. The etch parameters are given in Table 4.11. This is a common etch process which is highly reproducible, ensuring consistency for consecutive samples.
Chapter 5
SiC radiation detectors
5.1 Introduction
In this section I will discuss the fabrication and testing of silicon carbide radiation detectors. The plasma processes developed in Chapter 4 are essential in the fabrication of the devices which are tested here. Semiconductor detectors are used in most of the larger particle physics experiments throughout the world e.g. CERN and Fermilab, as inner tracking detectors. This means that they suffer very high doses of radiation. Long term exposure to these very high doses can lead to significant degradation in the performance of the devices. Eventually they have to be replaced usually at great expense. The use of potentially very radiation hard materials, for example SiC, is being investigated to try to extend the lifetime of the detectors possibly by several years. This would lead to a great financial saving.
Other applications would lie in areas where traditional Si semiconductor detectors do not function well, e.g. at high temperatures or in caustic environments. Here I will discuss the mechanisms for detection of ionising radiation in a semiconductor detector, and how this is converted to an understandable output which can be used to identify unknown radiation sources.
5.2 Detector fabrication
5.2.1 Diode design
The pattern layout design package called Wavemaker (Wam) was used to produce the design for these tests. The pattern to be written by electron beam lithography to produce a photolithography mask had a series of pad diodes with a single guard ring in a range of sizes 250, 500, and 750 $\mu$m diameter, as shown in Fig. 5.1. The pad sizes were kept small to reduce the likelihood of fabricating on a micropipe. Micropipes are defects within the material that can cause catastrophic failure of the diode. More will be said about these later.
The guard ring was included in the design to ensure good field uniformity through the diode. Another reason for the inclusion of a guard ring is surface leakage current. Surface leakage current is caused by a large potential drop between the edge of the Schottky barrier and the side edge of the sample. Including a guard ring (or rings as more than one may be used depending on the application) in the diode design reduces the surface leakage. This is because when the same bias is applied to the Schottky pad and guard ring(s) there is no surface potential drop due to the zero electric fields between them. The potential drop is between the guard ring and the edge of the sample and current is not measured from the guard ring. For multiple guard ring schemes the inner ring is sometimes maintained at the same bias as the Schottky pad, successive rings are biased at regularly decreasing values, or left floating, to produce a soft drop towards the edge.
5.2.2 Diode fabrication
To produce the detectors to be tested in this section a number of fabrication steps discussed already were used. A full thickness wafer of 4-H semi-insulating (S.I.) SiC was chemically/mechanically thinned in-house to 100 $\mu$m using a Logitech PM4 precision lapping and polishing tool. The thinned material was then cleaned consecutively in Opticlear, a degreasing agent, and then in multiple solvents acetone/isopropanol/methanol before a final rinse in RO (reverse osmosis) water.
After solvent cleaning the samples had a further acid clean to remove surface oxide. The SiO$_2$ produced on the surface of SiC is not as dense as that of Si due to the presence of C. However it is still enough to create an MIS diode (metal-insulator-semiconductor) not a Schottky barrier. Full face ohmic back contacts of 100 nm Ti were then evaporated onto the back surface using the Plassys electron beam evaporator, as described in Chapter 2. Photolithography was used to define the active areas of the devices on the front face. Schottky contacts of 100 nm Ni were evaporated and patterned using lift off. Both sets of contacts were left un-annealed.
The sample surface was then coated with a 200 nm thick passivation layer of PECVD hydrogenated Si$_3$N$_4$ as described in Chapter 3. The Si$_3$N$_4$ layer was applied for a number of reasons. The first was to cut down surface
leakage currents which can reduce the electric field strength within the device and also mask out the signal from the detector if sufficiently large. The other main reason for the inclusion of the passivation layer was related to the effect of humidity upon the I-V characteristics of the devices. This will be discussed later in this chapter. Windows were etched in the passivation layer using an SF$_6$ RIE process as described earlier, see Table 4.8. Samples to be tested were then attached to PCB holders and the contacts wire bonded out to copper tracks for ease of soldering into test fixtures.
5.3 Detector theory
This section will discuss how different types of radiation interact with semiconductor materials. The method for energy calibration and measurement of CCE (charge collection efficiency) will be shown for different semiconductors. Much of the information in this section may be found in a much expanded form in ‘Radiation detection and measurement’ by Glenn F. Knoll [46]
The simplest explanation for the function of a radiation detector is that radiation of some type interacts with the detector in a particular way to produce an amount of charge which is proportional to the incident energy. This is then collected in some fashion and transferred to readout electronics.
5.3.1 Ionising radiation interactions
Ionising radiation is a term used to refer to any type of radiation which causes the generation of electron-hole pairs (e-h pairs) within the body of the detector. The four main types of radiations that are of interest are given in Table 5.1. The charged particles in the left hand column interact in a continuous manner upon entering a medium due to Coulomb forces. This
Table 5.1: Breakdown of four main categories of ionising radiation
| Charged radiation | Uncharged radiation |
|-------------------|---------------------|
| Heavy charged particles characteristic distance $10^{-5}$m | Neutrons characteristic distance $10^{-1}$m |
| Fast electrons characteristic distance $10^{-3}$m | X- and gamma-rays characteristic distance $10^{-1}$m |
produces a characteristic energy deposition curve called the Bragg curve. The uncharged particles on the right do not interact unless they undergo a ‘catastrophic’ event, i.e. a collision. Collisions can be with either a nucleus or with an electron. The arrows in the table show the results for the latter catastrophic events, so that neutron collisions produce heavy charged particles which are then detected, and X- and gamma-rays produce fast electrons.
**Heavy charged particle interactions**
Heavy charged particles such as the alpha particle interact within absorbing detector media due to Coulomb interactions between their positive charge and the negative charge of the orbital electrons. Other interactions such as Rutherford scattering do occur but are not significant in detector response.
Upon entering the detector medium every incident particle instantly interacts with a great number of electrons simultaneously. These electrons can react in two ways depending on the proximity of the charged particle. The first is an *excitation* in which the shell electron is raised to a higher shell. The other is an *ionisation*, in which the electron is removed completely from the atom. Due to this constant interaction the velocity of the particle is constantly reduced until the atom is stopped. The rate of energy loss, known more properly as the *linear stopping power* $S$ or the *specific energy loss*, is
written as
\[ S = -\frac{dE}{dx} \]
(5.1)
For particles of a given charge state and velocity the energy loss is given by the Bethe-Bloch formula [47],
\[ -\frac{dE}{dx} = \frac{4\pi e^4 z^2}{m_0 v^2} N B \]
(5.2)
where
\[ B = Z \left[ \ln \frac{2m_0 v^2}{I} - \ln (1 - \frac{v^2}{c^2}) - \frac{v^2}{c^2} \right]. \]
Here \( v \) and \( ze \) are the velocity and charge of the incident particle, \( N \) and \( Z \) are the number density and atomic number of the absorber atoms, \( m_0 \) is the electron rest mass, and \( e \) is the charge on an electron. \( I \) represents the average excitation potential and is experimentally determined for each element. For non-relativistic particles only the first term in \( B \) is significant. Thus for a given charged particle the rate \( dE/dx \) varies with \( 1/v^2 \). The difference between different absorbers depends primarily on the product \( NZ \), which represents the electron density of the absorber, and hence the number of electrons which are available to interact with the incident particle.
The specific rate \( -dE/dx \) for a given charged particle in a given absorber produces the Bragg curve shown in Fig 5.2 for a 5.48 MeV Am\(^{241}\) \( \alpha \) particle in SiC. The range was calculated using the SRIM package [48].
Fig 5.2 shows that all of the energy for a 5.48 MeV Am\(^{241}\) \( \alpha \) particle is deposited in \( \sim 18 \) \( \mu \text{m} \) of SiC. The depth of penetration is important for the next section, energy calibration, to allow calculation of the amount of energy which has been deposited in a detector by the incident particle. For
4-H SiC, the detector material investigated, the energy required to produce one electron/hole (e/h) pair is $\sim 8.4$ eV. From this we can calculate the total number of e/h pairs produced. For a 5.48 MeV Am$^{241}$ $\alpha$ we will get $\sim 652,000$ e/h pairs, an induced charge of $\sim 100$ fC. This is easily detectable using a standard charge sensitive pre-amp and amplifier set up.
**Fast electron interactions**
Fast electrons, generally referred to as MIPS (minimum ionising particles) interact differently in an absorber than do heavy charged particles. As well as the Coulomb interactions which dominate in heavy particle interaction MIPS can also have collisional interactions with nuclei and radiative processes, *bremsstrahlung* or ‘breaking radiation’ caused when an electron is suddenly decelerated releasing X-rays. The variant Bethe-Bloch formula for this MIPS interaction is
$$-\left(\frac{dE}{dx}\right)_c = \frac{2\pi e^4 N Z}{m_0 v^2} \times \left[ \ln \frac{m_0 v^2 E}{2 I^2 (\beta - \beta^2)} - (\ln 2) \left( 2\sqrt{1 - \beta^2} - 1 + \beta^2 \right) + (1 - \beta^2 + \frac{1}{8} \left( 1 - \sqrt{1 - \beta^2} \right)^2 ) \right]$$
All the symbols have the same meaning as in Eqn. 5.2, and $\beta$ is $v/c$. This
takes into consideration the much larger portion of the total energy which can be transferred to a single orbital electron due to the similar masses. Also included is the near relativistic velocities of these particles.
The formula for radiative energy transfer is given by
\[
\left( \frac{dE}{dx} \right)_r = \frac{NEZ(Z+1)e^4}{137m_0^2c^4} \left( 4\ln \frac{2E}{m_0c^2} - \frac{4}{3} \right)
\]
(5.4)
This is included for completeness as radiative energy transfer is relatively insignificant at the energies being investigated, with most generated photons recombining close to the point of generation.
Due to the reduced interaction rates for MIPS it is possible for some particles to travel all the way through the detector with minimal interaction while others will undergo collisions and deposit all of their energy in the material. This reduces drastically the number of e/h pairs produced in the material. Using Eqn. 5.3 a 2.2 MeV Sr$^{90}$ beta source produces $\sim 5000$ e/h pairs per $100 \mu m$ of SiC [49] evenly distributed throughout the material. This is $\sim 1$ fC induced charge. In order to detect these particles it is essential to have low noise electronics and a very sensitive amplifier.
**X- and gamma-ray interactions**
There are three possible methods for photons to interact with the absorbing material of the detector: photoelectric absorption, Compton scattering, and pair production. During photoelectric absorption a photon interacts with an orbital electron in the detector material as a result of which the electron is ejected and the photon completely disappears. The energy of this *photoelectron* is given by
\[ E_e = h\nu - E_b \]
(5.5)
where $E_b$ is the binding energy of the photoelectron in its original shell. This is the major energy transfer process for low energy gamma-rays and X-rays. The probability of a photoelectric interaction is enhanced by the Z number of the absorber. An approximation for the probability is given by
$$\tau \cong constant \times \frac{Z^n}{E_{\gamma}^{3.5}}$$ \hspace{1cm} (5.6)
where $n$ varies between 4 and 5 depending on the photon energy. The severe dependance on Z for photoelectric absorption explains the variation in efficiency between different absorber materials and the development of high Z materials like CdZnTe for X-ray detection. The relatively low Z of SiC, 14/6 respectively, means that it is not a particularly efficient X-ray absorber.
Compton scattering interactions partially transfer the energy to an orbital electron, assumed to be initially at rest, which is then known as the *recoil electron*. The energy transferred to the electron can vary from zero to almost all of the initial photon energy. This is because of the wide range of possible scattering angles. The interaction is shown in Fig. 5.3. The relation for the energy of the scattered photon is given in Eqn. 5.7
**Figure 5.3:** Compton scattering for photon incident on an electron [46].
\[ h\nu' = \frac{h\nu}{1 + \frac{h\nu}{m_0c^2}(1 - \cos\theta)} \] \hspace{1cm} (5.7)
where \( m_0c^2 \) is the rest mass of the electron (0.511 MeV). The probability of Compton scattering increases linearly with increasing Z number.
For gamma-rays of energy greater than twice the rest mass of an electron (1.02 MeV) pair production is energetically possible. In this interaction a photon enters the Coulomb field of a nucleus and disappears to be replaced by an electron-positron pair. Any energy above the 1.02 MeV minimum is translated to kinetic energy for the resultant pair of particles. In practice this interaction has a very low probability until the energy reaches several MeV. Because of this, pair production is predominately confined to very high gamma ray energies and is not covered in great detail here.
The relative importance of each of the three types of interactions discussed is illustrated in Fig. 5.4. The line on the left follows the energy at which the photoelectric effect and Compton scattering are equally likely while the line on the right is where Compton scattering and pair production are equally likely, as a function of the absorber atomic number Z.
**Neutron interactions**
Like photons, neutrons are uncharged and so cannot interact by the Coulomb force. Neutrons can also travel for long distances, centimetres, through materials without any interactions and so can appear to be invisible to a standard semiconductor detector. When neutrons do interact it is with the nucleus producing a number of secondary radiations. Like the photon the neutron can either disappear completely, similar to the photoelectric effect, or it can be scattered, similar to Compton scattering. Unlike photons almost all neutron interactions produce a heavy charged particle. Neutron interactions come in
Figure 5.4: Change in importance of the different photon interactions with energy [46].
two main types, slow neutron interactions and fast neutron interactions.
Slow neutrons have a large number of possible outcomes including elastic scattering with absorber nuclei and neutron-induced nuclear reactions. The low kinetic energy of slow neutrons means that energy transferred in elastic scattering is minimal. This is consequently not a suitable reaction for detection. However the rate of elastic scattering is very high bringing many of the neutrons into thermal equilibrium with the absorber. The interactions which make it possible to detect slow neutrons are the neutron induced reactions which create secondary radiations which can then be detected. The most useful of these are the (n,$\alpha$), (n,p), (n,fission) all of which cause secondary ionisation and can be reliably detected. The (n, $\gamma$) reaction is very common but is not as desirable as the emitted photon is not as easy to detect.
The likelihood of useful neutron interactions drops off very quickly as the energy increases. However for fast neutrons the importance of scattering increases as the amount of energy that can be transferred becomes significant.
The secondary products here are called *recoil nuclei*, which have picked up a detectable amount of energy from the collisions.
If the energy of the neutron is sufficiently high, inelastic scattering can take place. In this case enough energy is transferred to a single nucleus to raise it to a higher energy level. This energy is then re-emitted as an energetic $\gamma$ with the neutron loosing a larger fraction of its initial energy than would otherwise be the case. Inelastic scattering and the related high energy $\gamma$ are considered to be a problem for detectors which rely on the elastic scattering to detect neutrons.
For neutrons of a fixed energy the likelihood of an interaction is governed by the *cross section* $\sigma$ per nucleus for each type of interaction. For a general neutron flux these will be energy dependent. This allows a general reaction rate density to be defined as
\begin{equation}
reaction \ rate \ density = \varphi(r) \Sigma_{tot}
\end{equation}
\begin{equation}
\Sigma_{tot} = N\sigma_{scattering} + N\sigma_{rad.capture} + \ldots
\end{equation}
which can be generalised to a non-uniform neutron flux by converting to $\varphi(r,E)$, and $\Sigma(E)$ an energy dependent neutron flux and cross section, giving
\begin{equation}
reaction \ rate \ density = \int_0^\infty \varphi(r,E) \Sigma(E) \ dE
\end{equation}
### 5.3.2 Charge collection
The properties of Schottky barriers were previously discussed as well as the fabrication of a Schottky barrier diode for use as a radiation detector. The application of a negative voltage to the Schottky contact modifies the barrier height by forced lowering due to the Schottky effect, shown in Figs. 4.5 and
4.7. The addition of an external bias increases the width of the depletion region as can be seen from Eqn. 4.4, where $V$ is the applied voltage. The external applied bias also modifies the electric field within the detector. With all of the applied bias dropping across the widened depletion region, this leads to an electric field distribution as shown in Fig. 5.5.
**Figure 5.5:** Field distribution through a semiconductor detector for various bias voltages. $V_d$ is the depletion voltage of the device [46].
In a fully depleted detector the applied bias is high enough to make the width of the depletion region $\geq$ the width of the semiconductor. This field causes all of the free charge to be swept out of the depletion region. At this point the only free charges available within the depleted area of a detector will be those created by the path of the ionising particle. These induced charges are also now swept out by the electric field, that is, accelerated towards the collecting electrodes depending on the polarity of the charge. The charge collected depends on the amount of energy which has been deposited by the radiation in the detector and also the rate of charge recombination and trapping which will be discussed later.
After the collection of charge from the detector it is necessary to transfer it to the readout apparatus. The latter generally consists of a charge sensitive pre-amplifier which converts the generated charge to a current pulse. The current pulse is then fed to a high gain main amplifier to boost the signal to an observable level. This is then connected to an oscilloscope and Maestro 32, a manual threshold data acquisition program which allows binning for different sized current pulses. These can be converted to energies by use of a known calibration scale.
### 5.3.3 Energy calibration
The energy calibration for a detector is important as it allows a measure of how much energy is deposited within the detector. As has already been said a 5.48 MeV $\alpha$ particle has a range of $\sim 18 \mu m$ in SiC. This means that the total energy of the particle will be deposited in the body of the detector for the 100 $\mu m$ thick SiC diodes tested. However more energetic particles or those with a lower charge will travel further due to lower interaction rates. This could mean that not all of the energy of the particle is deposited in the depletion region of the detector. This is more important for MIPS and uncharged particles like photons or neutrons.
The readout system is calibrated with respect to known energy sources with a detector assumed to collect 100 % of generated charge. In the case of the readout system for testing SiC diodes, a Si surface barrier diode was used. This was used to take spectra of a number of mono-energetic spectroscopic sources Am$^{241}$, Pu$^{239}$, and Cm$^{244}$. The energy of each of these particles is well known so a linear plot may be made of energy against the channel number, i.e. bin number, for the data acquisition software. The gradient of
this plot can be used to convert directly from channel number to energy for identification of the incident radiation.
5.3.4 CCE measurements
CCE (charge collection efficiency) is a measure of how much of the generated charge has been collected by a given detector. By use of a calibrated readout system the equivalent energy of the detected pulse can be calculated. This is then converted to a CCE by simply dividing by the total energy which was deposited in the body of the detector.
For SiC before a CCE measurement can be made there is an additional correction factor to be taken in to account, the difference in the energy needed to create an electron/hole pair in SiC is $\sim 2.5$ times that required for Si. This means that for equivalent radiation sources $\sim 40\%$ of the charge generated in a Si detector will be generated in the SiC detector. If a correction is not made this will give an error that drastically reduces the apparent signal. To correct for the difference in e/h pair creation energies the channel numbers are multiplied by the ratio $E_{e/h}(semiconductor)/E_{e/h}(Si)$. The total formula for calculating CCE is thus,
$$CCE(\%) = \frac{(channel\ n^g \times calibration\ scale) \times \frac{E_{e/h}(semiconductor)}{E_{e/h}(Si)}}{energy\ available} \quad (5.10)$$
This gives the energy detected as a fraction of the total energy deposited in the detector. Comparisons between detectors of various material types are then possible. CCE measurements also allow comparisons between detectors of similar materials to observe performance degradation e.g. from irradiation induced damage.
5.4 Results for SiC detectors
A number of detectors were fabricated from 100 $\mu$m thick S.I. SiC. These were then tested for I-V characteristics and CCE using an Am$^{241}$ source producing 5.48 MeV $\alpha$ particles. SiC has an electron/hole pair creation energy of 8.4 eV producing $\sim 652,000$ e/h pairs within 18 $\mu$m of the sample surface. CCE was measured for a range of voltages up to break down. A number of samples were irradiated at the Paul Scherrer Institut (PSI) with 300 MeV/c pions. CCE measurements and I-V measurements were taken for these to give an indication of the expected performance of these diodes in a high radiation environment.
5.4.1 Un-irradiated diodes
A number of diodes were fabricated in a range of sizes. Three of these were bonded into test fixtures and tested for I-V characteristics. The current voltage measurements from completed devices often differed on repeated measurements. Humidity and temperature measurements were taken to observe the effects of these on the I-V curves. The reverse current is plotted against the humidity as shown in Fig. 5.6. This gives an indication of how the current changes with ambient conditions. These measurements were all made at the same temperature, 25 °C. Investigations of the effect of humidity on SiC were made by Connolly et al [50]. They attempted to make a temperature insensitive humidity detector, observing a large reduction in the resistance of SiC when exposed to high levels of ambient humidity. The effects of humidity on Si have also been noted by Rantjan et al [51]. High humidity causes a build up of negative charges at the surface producing horizontal expansion.
Figure 5.6: Reverse current plots for 500um pad from 0- -100V for different humidity levels.
of the depletion region and hence order of magnitude changes in the leakage current.
A surface passivation layer of Si$_3$N$_4$ was deposited onto the surface as discussed at the start of this chapter. A guard ring was included in the diode design to control surface leakage current. However, surface contamination and atmospheric effects, e.g. high humidity, can exacerbate the effects of surface currents. In this case the inclusion of the surface passivation reduces the leakage by isolating the surface from atmospheric contamination. Current-voltage measurements were then taken. The current measured was converted to $J$, the current density. This has been done to allow comparison between diodes of different diameters. Also J is used in the calculation of the Schottky barrier height using Eqn. 4.12.
Fig. 5.7 shows I-V measurements taken for a 500 $\mu$m diameter pad diode over the range ±600 V. The current/voltage characteristics show a Schottky
Figure 5.7: Current density against voltage for a Schottky barrier diode fabricated on S.I. 4H-SiC.
barrier type profile in the reverse, negative voltage, direction with a very resistive ohmic behaviour in the forward, positive voltage, direction. Leakage current in the negative current regime are $\ll 0.1 \mu A cm^{-2}$ at 600 V. The lack of a good low resistivity ohmic contact is attributed to the V (vanadium) doping concentration which was used to make the material semi-insulating. The V dopant removes free electrons reducing the carrier content to increase the resistivity. This changes the material from being n-type which is nominal for SiC to S.I. material which is almost intrinsic, i.e. with very few free carriers. Using data from this curve the Schottky barrier height was calculated at 1.89 eV with a material resistivity of $\sim 10^{11} \Omega cm$. The theoretical value for the Schottky barrier formed for Ni on S.I SiC is $\sim 1.95$ eV using Eqn. 4.1 where $\phi_m = 5.15$ eV, the metal work function for Ni [36] and $\chi = 3.2$ eV the electron affinity for SiC.
C-V measurements of the devices were also made. Plots of $1/C^2$ against
applied voltage indicated when a detector had reached full depletion. If the device does not become fully depleted then the depletion width can be calculated from Eqn. 4.5. Fig. 5.8 shows a CV plot for an unirradiated detector. The flat line response over the voltage range indicates that the device is in effect fully depleted, i.e. has very few free carriers.
After current voltage characterisation and C-V measurements, spectra were obtained using a number of diodes. Spectra were taken of an Am$^{241}$ source producing 5.48 MeV $\alpha$ particles. Fig 5.9 shows the development of the spectra with increasing bias voltage. The maximum CCE measured was $\sim 60\%$. The change in CCE with voltage can give an indication of how close to its maximum potential a detector is operating.
As the applied bias is increased the position of the peak moves, caused by an increase in the amount of charge being collected. For devices which are operating at their theoretical limit the CCE value will plateau at 100%.
Figure 5.9: Am$^{241}$ spectra taken at increasing bias voltages. Note the low energy tail on the higher bias voltage spectra.
However for devices which are operating below optimum the CCE increases approximately linearly with the applied bias. Fig. 5.10 shows the CCE values for the spectra of Fig. 5.9. As can be seen the CCE increases in a linear fashion with no apparent flattening of the line. This suggests that increasing the voltage or increasing the magnitude of the electric field within the device may produce yet higher CCE values than could be observed. The increase in charge collection is generally caused by an increase in the width of the depletion region. However Fig. 5.8 shows that the depletion region is not changing. In this case therefore it may be caused by an increase in the field strength leading greater acceleration of the charges. This means that more charge can be collected before it is recombined within the semiconductor.
The spectra show a pronounced low energy tail in the peak which is a possible reason for the incomplete CCE observed. A number of possible reasons for this tail exist including rising noise with the increase in bias.
Figure 5.10: Peak positions as a function of the increasing bias voltage.
voltage. However the very low leakage currents observed seem to rule this out. Another reason could be the existence of traps and defects within the material. It is possible for generated charge to become trapped due to defects and later to de-trap. This causes a spread in the time it takes for the charge to be collected, possibly over several amplifier cycles. Spreading the charge collection over several cycles reduces the charge detected in the main pulse, reducing the apparent CCE. It can also produce a number of much smaller pulses over a large time scale causing the low energy tail to be observed. An investigation into the existence of traps and defects with SiC was undertaken to try and understand this reduced CCE.
5.4.2 Trap measurements and spectra
There are a number of defects which are well known in SiC. The most important of these is the micropipe [52]. A micopipe is a hollow core super screw dislocation. That is a screw dislocation with a Burgers vector $> 2c$. The
Burgers vector is a measure of how much more than the ideal path length around a lattice point that would have to be travelled because of the dislocation. For a micropipe the dislocation distance is greater than twice the lattice constant. Micropipes have been acknowledged to cause the breakdown voltage of rectifying devices to decrease by over 50%. Micropipe densities in commercially available materials are in the range $\sim 10 \text{ cm}^{-2}$. Other screw dislocations known as elementary screw dislocations have a Burgers vector $= 1c$ with no hollow core. These are not as detrimental to performance as micropipes with lowering in breakdown voltage in the region 5-35% [53]. However these are much more numerous than micropipes with densities 100 times greater i.e. $1000's \text{ cm}^{-2}$. The main effect of these defects is to reduce the breakdown voltage of the device. They are not linked with charge trapping.
A number of experiments were undertaken to determine if there were other defects or traps present in the detector material could have produced the long low energy tail which was observed in the spectra. Two distinct experiments were carried out. The first examines the length of time it takes to discharge a detector after running at maximum operational voltage for varying lengths of time. The second uses a process called TSC (thermally stimulated current) to observe the activation energies of any traps within the material.
**Current decay time measurements**
The first of these experiments investigated post-bias decay currents. When the sample is biased, charge is trapped in defects in the material. To investigate this the sample was biased at -600 V, the maximum operating voltage,
for varying lengths of time, up to an hour. After the voltage was removed the current was measured over several thousand seconds as the trapped charge was released. The measured current was plotted against $\log(t)$. Exponential curves were fitted to the data using Microcal’s Origin package. Initial fits with one or two exponential decay terms failed to fit the data. However an expression of the form
$$y = y_0 + A_1 e^{-x/t_1} + A_2 e^{-x/t_2} + A_3 e^{-x/t_3}$$
produced a good fit. To test the validity of the curves the fit was forced to use the same exponents, for all data sets seen in Fig. 5.11. The figure shows all of the data sets. The time constants were calculated at $t_1 = 15$, $t_2 = 125$ and $t_3 = 4$ s.
**Figure 5.11:** Discharge currents measured from diode after biasing for varying lengths of time plotted against $\log(t)$ from the point of bias turn off.
The reduced $\chi^2$ goodness of fit test has a value of $\sim 0.9$ for all nine curves showing that the fitted curve approximates the data well. These very long
lifetimes give a possible explanation for the large low energy tail which is observed in the spectra. These three measured time constants appear to show that there are three separate decay processes taking place within the material. In order to further understand what is happening with the trapped charge it is necessary to find the activation energy of the traps a high activation energy implies that it will take a long time to release trapped charge as is being observed here.
**Thermally stimulated current**
Thermally stimulated current (TSC) is a method used to observe the change in measured current through a sample as the temperature changes. By cooling the sample to liquid nitrogen temperatures, $\sim 75$ K, the energy available within the lattice of a crystal is sufficiently low that the number of available free carriers becomes effectively zero. If the sample is allowed to warm up to room temperature, or above, carriers are released. If the material has no traps or defects the curve produced will be a smooth line when plotted on an exponential scale.
However, the introduction of traps into the material has the effect of producing peaks in the curve. The gradients of these peaks may be used to calculate the energy required to ionise a carrier from this trap. Larger trap energies mean that it takes longer for a trapped carrier to be released. Fig 5.12 shows an Arrhenius plot of the TSC data for unirradiated S.I. SiC. The various peaks that can be seen relate to a number of different defects. Table 5.2 has the temperatures, activation energies and possible attribution for each of the observed levels.
The largest of these is caused by the activation of the V (vanadium)
Figure 5.12: Arrhenius plot of TSC measurements taken of SiC diode. The behaviour observed is complex suggesting a number of different defects.
Table 5.2: Temperature, activation energy and possible attribution of peaks in TSC spectra.
| Temperature (K) | Ea (eV) | Attribution |
|-----------------|---------|--------------------------------------------------|
| 118 | 0.32 | Un-compensated boron [54] |
| 135 | 0.39 | or localised dislocation [55] |
| 200 | 0.63 | Carbon vacancy [55], |
| | | Carbon interstitial-nitrogen or Silicon vacancy |
| | | [56] |
| 260 | 0.92 | Vanadium activation [57] |
dopant. The traps at 0.32 an 0.39 eV are close to the 0.35 eV level for uncompensated boron which is mentioned by Mitchell et al [54]. However another possibility for these is localised lattice dislocations Bechstedt et al [55] report a defect complex at 0.35- 0.45 eV the so-called D$_1$ centre. The level observed at 0.63 eV has been attributed to a number of different causes one of which is a hexagonal lattice site carbon vacancy [55] at 0.63 eV. The most likely explanation is reported as the Z$_{1/2}$ defect by Pintilie et al [56] with activation energy at 0.66 eV. This is comparable to the 0.63 eV defect
observed here. This is attributed primarily to a carbon interstitial-nitrogen defect which is influenced heavily by the concentration of nitrogen and the C/Si ratio in the growth process.
The comparatively large energy of these traps allows them to be potentially related to the lifetimes which were measured earlier using the decay current method. The largest activation energy trap at 0.92 eV could correspond with the decay time of 125 seconds which in the case of the spectra taken is approx half of the This gives a very good explanation for the missing charge when these devices are operated as detectors. Also the long low energy tail can be explained by the large amounts of trapped charge being released slowly for the duration of detection.
**Simulation of CCE in S.I. SiC diodes**
The maximum measured CCE value for the tested diodes was 60%. Measurements of traps show a large trap peak associated with the vanadium dopant in the material. As this was the largest of the trap peaks it was assumed to have the biggest effect on the amount of charge collected. The effect of this dopant on the possible CCE and the mobility of charge carriers within the material was simulated by T. Quinn et al. [60]. By varying the concentration of the V dopant in the material and simulating charge transport and CCE it was observed that a dopant density of $> 10^{17} \text{ cm}^{-3}$ dramatically reduced the electron pulse height and lowered the maximum possible CCE to $\sim 60\%$. The data is shown in Fig. 5.13.
The changes in the properties of the material, particularly the CCE, mean that the diodes produced on S.I. SiC were functioning as well as possible. In order to improve the CCE a different type of SiC will be required which does
Figure 5.13: *top* The effect of varying the V density on the electron pulse height. *bottom* The effect of varying the V density on the maximum possible CCE.
not have the V dopant.
### 5.4.3 Irradiated SiC diodes
The main reason for investigating SiC is the hope of producing detectors that are more radiation hard than traditional Si detectors. In light of this the effects of radiation on the performance of these detectors is very interesting. A number of diodes similar to those used for the initial tests were sent for
irradiation with 300 MeV/c pions at the Paul Scherrer Institut in Villigen. Samples were irradiated to fluences of $10^{12}$, $10^{13}$, and $5 \times 10^{14} \pi \text{cm}^{-2}$. The maximum fluence was chosen to be equivalent to several years operation in a high radiation environment. $5 \times 10^{14} \pi \text{cm}^{-2}$ being equivalent to approx 10 years LHC operation at CERN.
I-V measurements were taken to allow changes in the leakage current and Schottky barrier height to be observed. Pulse height spectra were also taken. However only spectra for fluences of $10^{12}$ and $10^{13} \pi \text{cm}^{-2}$ are available. The third diode with $5 \times 10^{14} \pi \text{cm}^{-2}$ fluence was damaged when being bonded so I-V measurements were taken but spectra are not available.
**I-V characterisation**
After irradiation with pions current/voltage measurements were taken and compared with the undamaged devices. I-V measurements as already discussed allow calculation of the Schottky barrier height and also indicate the approximate device resistivity. The shape of the curves has changed dramatically compared to zero irradiation, particularly the lower fluence samples. These have a comparatively low break down voltage. The higher fluence sample shows a significant recovery towards the pre-irradiation current levels. A comparison between the currents can be seen in Fig. 5.14. From these measurements the data shown in Table 5.3 was produced. In the table the barrier height was calculated using Eqn. 4.12, $\rho$ is the resistivity and $n$ is the carrier concentration. Resistivity is calculated using $\rho = (V/I) \times \text{thickness}$. The carrier concentration was calculated using $n \cong 1/(q\mu_n\rho)$, where $\mu_n=900 \text{ cm}^2\text{V}^{-1}\text{s}^{-1}$ is the electron mobility.
By comparing the data shown in Table 5.3 with the I-V curves in Fig.
Figure 5.14: Comparison of post irradiation currents with pre-irradiation current.
Table 5.3: Variation in measured barrier height, resistivity, and carrier concentration with increasing fluence.
| Fluence ($\pi$cm$^{-2}$) | Barrier height (eV) | $(\rho)$ (Ωcm) | n (cm$^{-3}$) |
|--------------------------|---------------------|----------------|---------------|
| unirrad | 1.89 | $1.26 \times 10^{10}$ | $2.71 \times 10^{11}$ |
| $10^{12}$ | 1.88 | $7.32 \times 10^9$ | $8.07 \times 10^{11}$ |
| $10^{13}$ | 1.87 | $1.33 \times 10^{10}$ | $2.44 \times 10^{11}$ |
| $5.10^{14}$ | 1.86 | $2.45 \times 10^{10}$ | $7.23 \times 10^{10}$ |
In Figure 5.14 the effects of certain changes in the material can be observed. The lowest fluence, $10^{12} \pi$cm$^{-2}$, sample has a very low breakdown voltage, $\sim 200$V, and a very sharp increase in the leakage current value. From the table we can see that this is correlated with a decrease in resistivity, an increase in the carrier concentration, and a slight decrease in the barrier height.
As the fluence increases, the values for these parameters continue to change. At $10^{13} \pi$cm$^{-2}$ the resistivity has increased to a level comparable with the pre-irradiated value, the carrier concentration has decreased, and the barrier height has been lowered further. This correlates with the measured I-V showing, again, a low breakdown but a slower current rise than
The highest fluence has an increased resistivity, decreased carrier concentration and again a lower barrier height. The graph shows that the current is nearer the pre-irradiation level. However, it has a slightly different curve shape. The lowered barrier causes an increase in the intrinsic dark current over the pre-irradiation sample but the higher resistivity means that the current does not increase rapidly like the lower dose samples.
**Spectra from irradiated diodes.**
As mentioned spectra exist only for the two lower dose samples. The curves of Fig 5.15 were taken using the same setup as the pre-irradiation spectra also using Am$^{241}\alpha$ particles.
Maximum CCE measured for these devices spectra were 47% and 50% respectively. For the low dose sample the signals are smooth and well formed but breakdown occurs at around -500 V. The $10^{13} \pi \text{cm}^{-2}$ sample has a higher breakdown voltage near to $\sim -600$ V as with the pre-irradiation sample. However, in this case the signals are not smooth instead rather noisy with jagged peaks. As with the I-V measurements the bias that can be applied improves as the dose increases, with CCE values also improving. If this trend were to continue the higher dose $10^{14} \pi \text{cm}^{-2}$ might be expected to return to almost pre-irradiation levels. However no data is available to corroborate this. The change in measured CCE from $10^{12}$ to $10^{13} \pi \text{cm}^{-2}$ reflects the higher applied bias voltage rather than a change in the detection efficiency of the detector. The CCE is still lower than un-irradiated samples at a comparable voltage.
The reduction in CCE after the irradiation is expected. However, the
Figure 5.15: Am$^{241}$ spectra taken at increasing bias voltages for irradiated diodes. *top* $10^{12} \, \pi \text{cm}^{-2}$ and *bottom* $10^{13} \, \pi \text{cm}^{-2}$
magnitude of the reduction is not high. Published data for GaAs detectors show a drop in CCE of over 50% [58] while Si has been shown to have a reduction of $\sim 30\%$ [59] with a greatly increased depletion bias after a similar dose of pions whereas the data here shows a reduction of 16% compared to the pre-irradiation levels. This shows that SiC detectors show a promising degree of radiation hardness.
5.4.4 Summary of SiC data and future work
The bulk SiC materials tested here have good physical and electrical properties for use as a detector material. The low leakage current at very high bias voltages means that the signals have very low noise under operation. Radiation induced damage in the material initially has a detrimental effect on the performance of the devices but they recover slightly with an increase in fluence. The changes are most obvious at the lowest fluence. This is equivalent to only a months operation with a dose of $10^{13} \pi \text{cm}^{-2}$ being equivalent to about 1 year of operational time in LHC. The recovery of the operational characteristics gives rise to an expectation of a long lifetime with relatively replacement free operation.
The relatively good performance of the irradiated detectors bodes well for the operation of these devices in high radiation environments. The data presented here is for bulk SiC detectors. A great deal more work has been carried out on epitaxial layers of SiC [61]-[66]. These use lightly doped n-type layers, no V dopant, $\sim 30 \mu\text{m}$ thick to fabricate on. They have provided 100% CCE. There is one problem with the use of eptaxial layers bulk material can possibly overcome. The minimal thickness of the epi-layers means that for some high energy particles, or lightly interacting particles only a relatively small amount of energy will be deposited. This can be overcome by increasing the layer thickness. At this point the cost of epitaxial layers becomes the prohibiting factor.
A further area of investigation to increase the CCE is changing the type of material. The S.I material used in these experiments was doped with vanadium to $\sim 10^{18} \text{cm}^{-2}$. As shown in Fig. 5.13 the changes in the material
properties caused by the V dopant mean that 60% CCE is as good as the detectors can perform. By using material without the dopant the loss of charge may be reduced, giving an increased CCE. To this end new semi-insulating material produced without the V dopant is beginning to be tested to observe the difference in performance.
One final area of investigation would be into ohmic contacts to S.I. SiC. The technologies developed primarily for n-type material are not entirely satisfactory as the I-V curve in Fig. 5.7 shows. Experimentation with surface treatments, thermal processes, and different metals/combination of metals would produce a good low resistivity ohmic contact which is vital for other applications not investigated here but are equally useful.
Chapter 6
Retinal readout system
6.1 Introduction
The retina is the part of the eye which is responsible for conversion of incident light into electrical signals which the brain can understand as an image. This process is not well understood and a system designed to study it will be discussed here. There are many reasons why researchers are interested in the retina. The first of these is to understand the function of the retina better. Another reason which maybe just as important, is that the retina is an accessible part of the brain located outside the skull. Also it can be maintained outside the body in saline solution and the stimulus is well known, visible light. This combination means that it is the simplest part of the brain to experiment with.
The retinal readout system is designed to use technology developed for high energy physics applications in concert with semiconductor fabrication techniques to study the retina. The technology is similar to that in microstrip detectors and is used to simultaneously detect signals from hundreds of output cells [11]-[13]. Single electrode studies using platinum wire have been used successfully to detect activity in retinal tissue [67, 68]. However, studying the concerted signalling of neurons is not possible using this method. This can provide data on signal thresholds i.e. the lowest stimulus level possible and allow observations of responses to nearby stimuli. The one thing that single electrode systems cannot do is observe the response from a number of neurons to varying stimuli. The retina manages to combine $10^8$ photoreceptors into $10^6$ neurons. From this it is possible to imagine that a large amount of parallel processing is being carried out. The use of microelectrode arrays in retinal studies has expanded in recent years to increase the body of knowledge from that available using single electrode systems [69]-[78].
The knowledge which may be gained from these experiments is important in understanding how a vital part of the body works. However, another reason exists. *Macular degeneration* is a condition which causes degradation of the retina leading to blindness, it is one of the biggest causes of blindness in the west. The condition only damages the retina, the optic nerve is unaffected. If the encoding scheme used by the eye can be understood then the production of artificial retinas or retinal replacement technology is one step closer. Much work has already been carried out in this area with a variety of techniques being investigated [79]-[84].
In this chapter I will give a description of the retina, its component parts and how each functions, sufficient to understand the experiments being carried out. A detailed description of the functioning of the retina is beyond the scope of this work. The main section of the chapter will cover the different types of arrays that have been fabricated. Examples of data taken using the different types of arrays will be shown.
6.2 Retinal physiology
The retina itself is a complicated membrane which contains many different types of cells. These all have a purpose in producing a series of signals which can be transferred to the brain via the optic nerve and translated into an understandable image. As well as detecting the light the retina also performs a large amount of reasonably complex processing in its own right. This section will look at the different layers of cells in the retina and discuss the function of each. The discussion will mostly cover vertibrate retina but in the main, the types of cells found in all retina are the same with minor variations in the exact functionality or number of cell types. A much fuller treatment than that given here of the retinal biology and function can be found in ‘The Retina: An approachable part of the brain’ by J. E. Dowling [85].
6.2.1 Layers of the retina
The retina is split into three main layers which all have a different function in the operation of the retina as a visual apparatus. Fig. 6.1 is a vertical slice through a human retina from an area just outside the fovea. In the fovea the photoreceptors are smaller and more tightly packed than in the peripheral areas to give a higher resolution image. In the foveal region the inner layers of the retina are pushed aside to allow more of the incident light to impinge directly on the photoreceptors. This accounts for the sideways direction of the photoreceptor terminations.
This image shows all of the layers of the retina from the receptors at the top to the ganglion cells at the bottom. Because this was taken near the fovea
the rod and cone terminals are slanted where the inner cell layers have been pushed aside. Fig. 6.2 shows a schematic view highlighting cells important in understanding the function of the retina.
Important sections of this are related to where cell connections occur. The three nuclear layers, the outer and inner nuclear layers and the ganglion layer, consist of cell bodies. The inner and outer plexiform layers are where
Figure 6.2: Schematic of retinal tissue showing all of the major cell types. $R$ are receptors, $H$ horizontal cell, $B$ bipolar cell, $A$ amacrine cell, $G$ ganglion cell, $I$ interplexiform cell, $M$ Müller (glial) cell [85].
the different types of cells are connected and interconnected. The two layers are of different thicknesses due to the different functions performed in each.
The outer plexiform layer is where the receptor cells terminate. Connections are made to the horizontal and bipolar cells. Bipolar cells are responsible for connection to the ganglions. Horizontal cells are responsible for interconnections within groups of receptors and bipolar cells.
The inner plexiform layer is where the bipolar cells connect to the ganglions. At this stage they can be connected to a number of different ganglions.
Connections are also made to the amacrine cells. Amacrine cells perform a similar job to the horizontal cells. They provide interconnections between groups of bipolar cells and ganglions.
The *interplexiform* cells are different from the other cell types. They are responsible for transport of information between the inner and outer plexiform layers and may be extensively connected in both.
*Müller* cells are connected from the outer limiting membrane to the inner limiting membrane. They connect with each other on the surface of the retina and connect also to the photoreceptors.
### 6.2.2 Functionality of retina
The horizontal and amacrine cells are responsible for interconnections between multiple receptors and between groups of bipolar cells respectively. These allow a range of processes which can be translated to infer much information about the nature of the visual stimulation. Both types of photoreceptors have the same response to illumination. The potential of the cell increases in a process known as hyperpolarisation. However, it is not enough to be able to say that light has hit a single photoreceptor and determine its colour, if applicable. The response of receptors that have not been directly illuminated is determined by the state of neighbouring receptors. The connections between the neighbouring receptors are possible due to the horizontal cells. A single variation of this non-illuminated response is given in Fig. 6.3 below.
This figure shows the main types of cells in the retina and the complex interconnections which occur within the inner and outer plexiform layers. The three ganglion types shown produce signals depending on the excitation
of the receptors. The main signal types which are generated are an ON signal, an OFF signal and a transient signal. These are generated by the ON, OFF, and the ON-OFF ganglions respectively. An ON ganglion generates a signal pulse when the receptor it is connected to is illuminated. An OFF ganglion generates a signal pulse when receptors near the one it is connected to are illuminated. The ON-OFF ganglion generates a pulse whenever the illumination state of the receptors it is connected to changes. This is the least direct of the ganglions as it receives its input from amacrine cells rather than a bipolar cell.
This is a very simple look at the way that the retina produces signals. Obviously the complexity of the signals generated increases as the number of
cells involved increases. The combination of ON, OFF, and ON-OFF signals which can be generated over a large area due to the interconnections between receptors and also between ganglions means that a great deal of information is produced. Also, it means that even simple localised stimuli can produce a large number of signals over a reasonably large area. This is where the multi electrode arrays produced for the Retinal Readout Project can prove invaluable.
6.3 Fabrication of retinal readout arrays
In order to produce arrays which can be utilised for observation of signals from retinal tissue a number of factors have to be taken into account. The spacing between electrodes, the size of electrodes, and the number which are to be used all change the fabrication techniques which are suitable for array production. The changing size of arrays, the increasing density of the central electrode region, and the very large increases in electrode numbers means that a complete alteration of the array designs is also required. The development work carried out in Glasgow has a number of common stages. Production of wires uses dry etch techniques, deposition of a Si$_3$N$_4$ layer, and a final etch to open windows in the Si$_3$N$_4$ layer. However, while the etch chemistries and parameters used are themselves identical in some cases the fabrication of arrays had a number of distinct phases. The changes which will be discussed here were implemented to take into account different requirements of the changing designs. A detailed discussion of the processes used to produce arrays by dry-etching has been covered in Chapter 4.
6.3.1 Development of processes for fabrication: 61 electrode arrays
The first type of array to be produced has a central section with 61 electrodes with a 60 $\mu$m spacing. This is shown in Fig. 6.4.
This array was one of the first multi-electrode arrays that was designed and fabricated. The 60 $\mu$m electrode pitch is approximately the spacing of motion sensitive retinal cells in the peripheral retina away from the fovea. The electrodes are wired out on two sides to specially designed chips each of which can handle 32 channels of data. Data has been recorded from arrays of this type for many years so it was the ideal design to develop and test a range of new fabrication techniques. The original fabrication method for these arrays was to use a wet etch of HCl: H$_2$O or HF: H$_2$O to produce the wires. However, this became unacceptable when the next generation of arrays was designed with a much denser central section with critical dimensions eventually going down to 1$\mu$m wires and spaces.
Photolithography was used to define the pattern of the array and a mixture of methane and hydrogen (CH$_4$/H$_2$) was used to etch the ITO. CH$_4$/H$_2$ is a commonly used gas mixture for processing ITO. However, hydrocarbon gases cause great damage to photoresist with excessive crosslinking, as discussed in Chapter 2, this makes the resist difficult to remove. To get around this without introducing additional steps to the fabrication process a non-standard process was introduced [86]. This utilised a shorter post bake time for the resist layer after pattern development. The post bake promotes a level of crosslinking within the remaining resist. This ensures that the resist will be better able to withstand etch processes. However, because of the nature of the substrate the more aggressive cleaning techniques used for crosslinked or damaged resist were not available. Reduction of the post bake time left the resist softer than usual and subsequently liable to take greater damage during the etch. However, the reduction in post bake time was also sufficient to ensure that the crosslinking effects of the hydrocarbon chemistry were minimised. This allowed a single mask to be used when producing wires for the electrode arrays. Photolithography was also used to define the windows to be opened in the Si$_3$N$_4$ layer. The parameters and details of the dry etch used are given in Chapter 4.
Fig. 6.5 shows a completed 61-electrode array with a close up of the central section. A number of arrays of this type were completed and tested to allow comparison with arrays produced using other fabrication techniques. Comparisons between impedance and performance in tests using retinal tissue proved favourable, and the next stage of development was begun.
Figure 6.5: Sections of completed 61 electrode array. *left* Middle section of wires showing large wires with small spaces between. *right* shows an etched version of Fig. 6.4 *right*.
### 6.3.2 Development of processes for fabrication: 519 electrode arrays
The reason for a switch away from wet etch processing of arrays was to accommodate the change in scale needed to migrate from 61-electrode arrays to 519-electrode arrays. This requires a reduction in wire width by a factor of 5, from 10 $\mu$m to 2 $\mu$m. This was eventually planned to decrease to 1 $\mu$m. The density of closely packed wires was such that wet etching would be unable to produce the features. The design for a 519-electrode array is shown in Fig. 6.6. This shows the very dense central region of the array.
The first step that was changed was the type of lithography used. The 61 electrode array was produced using photolithography. This was suitable because of the relatively large feature sizes. However, it was not possible to use photolithography for the central area of the new array. The proximity effect, as discussed in Chapter 2, meant that the wires become exposed during the pattern transfer. To get around this a combination of photo- and eFigure 6.6: Design for 519 electrode array. Close up of central section on right shows square electrodes on wire ends with 60 $\mu$m spacing.
e-beam lithography was investigated. A complete switch to e-beam was not considered viable at this time due to the long write time for each array, > 10 hrs.
A series of photolithography masks was produced with alignment marks and outer wires leading from bond pads to a blank space in the centre. The dense central region would then be added using e-beam lithography. Fig 6.7 shows the modified design for producing 519 electrode arrays. The mask for the outer section leaves a large blank space which is then written over by e-beam to produce the full wire layout. The second layer of lithography to produce openings in the Si$_3$N$_4$ passivation layer is still a photolithography step. Several test pieces were produced using this technique. However changes in the resist which was used allowed the process to be completely switched to e-beam lithography. The change from the standard e-beam resist PMMA (polymethyl-methacrylate) to UVIII reduced the required dose by an order of magnitude. UVIII is a chemically amplified deep UV resist which
is suitable for patterning by exposure to an electron beam. A more detailed discussion of the resist types was given in Chapter 2.
Figure 6.7: Modified design for 519 electrode array for combination photo and e-beam lithography process with blank central section on the main wires mask.
The reduction in dose brought the direct write time for the whole array down to a more suitable length, $\sim$4 hrs. In order to reduce the number of stages in the fabrication process a move to direct write using e-beam was considered desirable. However this required a number of changes to the process already in place.
Computer controlled e-beam lithography systems use pattern recognition to find the required position to write patterns in relation to existing features. Another important piece of equipment is used for height measurement. This uses reflectance from the sample surface to focus the electron beam. This caused a problem for the samples being fabricated as both the ITO and the
glass substrate are optically transparent. Fig. 6.8 shows the problem caused by the transparency of the material. The transparent nature of the materials used means that the optical pattern recognition software cannot find the surface at all times. When trying to stitch sections of the pattern together, the individual frames do not meet exactly, leaving the grid-like structure that can be seen overlaying the pattern.
Other problems arose from the thinness of the resist. E-beam resists are considerably thinner than photo-resists to allow writing of finer features. The development process can be likened to a very precise wet etching procedure. This means that to make patterns smaller and denser, the thickness of resist has to be reduced. The implication is then that it is unlikely to survive a dry etch. Both of these problems were overcome by the use of a Ti layer on the surface of the ITO. This provided a reflective coating for the control.
system to locate the sample surface and also a good mask for the etching of the wires. As before details of the processes for etching the Ti and ITO layer is given in Chapter 4. Fig. 6.9 shows a 519 electrode array after etching of the wires. Shown is a section of the central area with a close up on one of the more densely packed areas.
Figure 6.9: Central area of 519 electrode array with the etched wires clearly visible. Also shown is a close up to the densely packed centre of the array.
The design for the central section of the arrays means that some of the wires at the edge of the array pass through large areas of empty space. This can lead to proximity effect problems. The proximity effect as applied to photolithography was discussed in Chapter 2. For electron beam lithography this is caused by the Gaussian shape of the spot and back scattered electrons from the substrate layers. In the case of the etched wires this can result in thinning of the wires and a consequent increase in resistivity of that wire. At its most extreme the proximity effect can lead to wires breaking. Fig 6.10 shows examples of these.
To overcome this problem it is possible to apply a proximity correction to the electron beam job file. This takes into account the beam energy, the
Figure 6.10: Wires which have been overexposed due to the proximity effect.
left A broken wire. right A wire which has been drastically thinned.
thickness of the resist layer and the substrate material of the sample. This modulates the dose by changing the length of time that the spot stays in each location. This ensures that each feature gets the same effective dose. These processes, a two stage etch to pattern the wires followed by a single etch stage to open windows in the Si$_3$N$_4$ passivation produces half-complete arrays. The next stage before the arrays can be considered ready for testing is to produce electrodes in the windows at the centre of the array.
6.3.3 Metallisation of electrodes and contacts
The final stage for the patterned arrays is to have the central electrodes platinised and the bond pads sputtered with aluminium (Al). Platinisation involves electroplating the wire ends with platinum to produce conductive electrodes which can be placed into contact with the excised retinal tissue. The platinisation takes place in a specially designed circuit board which has individual switch controls to each electrode. Completed arrays are connected
to the setup using zebra connectors and a potential of -2V is applied across a 10 MΩ resistor for 61 electrode arrays.
The zebra connectors are composed of alternating layers of conducting and non-conducting silicon. A pitch of approximately 100 μm ensures good contact with individual electrodes. A solution of 1% platinic chloride, 0.08 % lead acetate and 98.82 % RO water is placed on the electrode area and a platinum wire is used to keep the solution at a positive potential. The voltage is applied for 60 s and the electrodes are kept under observation using a microscope. Platinisation can reduce the resistivity of the electrodes from 100’s to 10’s of kΩ depending on the diameter of the electrode [87]. Fig 6.11 shows a platinised electrode array with 60 μm spacing, the distinctive granular structure of the electrode can be seen. This granular structure gives
**Figure 6.11:** Platinised electrodes from an array showing the granular structure of the electrode surface.
a bigger surface area to the electrode and ensures that better contact will be made with the tissue.
The process is similar for platinising the 519 electrode arrays. The main
difference is that here platinisation is done on arrays which have been wire bonded into the readout electronics. A current of 80 $\mu$A per electrode is supplied producing platinum electrodes with the same distinctive granular structure.
As mentioned above the completed 519-electrode arrays are wire-bonded into a test fixture. In order to provide good contact for the bond wires, 1$\mu$m of Al is sputtered onto the bond pads and patterned using the lift-off technique as discussed in Chapter 2. Sputtering uses an ion beam to physically remove metal from a solid target. By placing the sample in the correct position relative to the target it is possible to have the ejected metal adhere to the sample surface. In this case sputtering is used rather than evaporation for two main reasons. Firstly it is possible to put down significantly thicker layers of metal than with evaporation. The second reason is that sputtered Al adheres better that evaporated material. This ensures that the contact metal does not come off during the life of the array.
**Complete process description**
The stages involved in the fabrication of micro-electrode arrays have been described above. Fig 6.12 shows the complete process. All of the steps for fabrication of the electrode arrays is included giving some idea of the number of individual processes which go into producing each array.
### 6.4 Details of retinal readout project
Previously I have discussed the development of the steps necessary to produce an electrode array outlining the differences in process for 61 and 519 electrode arrays. Now I will begin to look at the experimental setup for the retinal
neurophysiology experiments. The description here will briefly outline the setup of the experiments and the type of data taken. This will then go on to show some data taken using arrays fabricated using the processes outlined here.
6.4.1 Experimental setup
The completed detectors may be used in biological experiments. The experimental setup is shown in Fig. 6.13. The tissue is maintained in a saline solution at $37^\circ$C to keep the retina alive for up to 8 hours. The ganglion cells make contact with the electrodes of the array. The stimulation comes from above and the whole experiment is imaged from below using a CCD camera coupled to a microscope. The data from the arrays is readout at 20 kHz by analogue electronics. The electronics for this experiment are custom designed 64 channel ASIC (application specific integrated circuits) chips known as neurochips. The neurochip was designed at AGH University of Science and Technology in Krakow by the group of Wladek Dabrowski.
A schematic of the on-chip processing applied to each electrode is shown in Fig. 6.14. Each channel has a differential preamplifier which measures signals relative to the reference signal from the saline solution. Following the amplifier are two band pass filters isolating a range of approximately 50-2000 Hz with a noise typically of $\leq 5 \mu V$ over the passband. The sampling frequency for each channel is 20 kHz with sample and hold (S & H) circuits available on each channel. The signals are then multiplexed at a rate of at least 2.3 MHz. Each chip has 64 channels with a 100 $\mu m$ pitch between bond pads. For the large scale arrays it is necessary to use several chips running in parallel. The multiplexed signals are stored for later offline analysis. This is essential due to the very large data sets taken during each experiment. The data is analysed for reactions to different types of stimulus. Observa-
Figure 6.13: Schematics of experimental setup showing the setup for retinal neurophysiology experiments using electrode arrays [87]
Figure 6.14: Schematics for on chip electronics connected to each electrode in the array [12].
tions of signal interconnects and multiple firings etc. give indications of the processing that is taking place in the tissue.
6.4.2 Signal types
The mechanism for the generation of these signals is the release or absorption of potassium and sodium ions (K$^+$ or Na$^+$). Absorption of ions causes an increase in the net charge in the cell while the release of ions causes the cell to lose charge. The changes are all with reference to a base level called the resting potential. Un-stimulated cells are at the resting potential. The increase in charge is known as hyperpolarisation as the potential of the cell increases above the resting potential. A decrease in charge in called de-polarisation as the release of ions lowers the potential of the cell from the resting potential to near that of the surrounding tissue. The hyperpolarisation/ depolarisation is
measured with reference to the saline solution surrounding the tissue when measurements are taken in vitro.
The signal pulses which are produced in the retina for transmission to the brain via the optic nerve are in the form of action potentials. The two main types of signals are the sustained ON or OFF signal and the transient ON-OFF signal. The sustained ON or OFF signal is in the form of a number of electrical pulses with an amplitude of a few hundred $\mu$V. These are repeated quickly for the duration of the illumination. The exact magnitude of the signal is dependent on the intensity of the illumination. A transient signal is produced whenever an edge is detected i.e. one set of receptors is illuminated producing an ON signal and another set adjacent is not illuminated producing an OFF signal. Changes in the illumination state of a given group of receptors will also trigger a transient response. This is in the form of a single pulse of the same magnitude as the sustained pulses and is used to signal the beginning and end of illumination or a change in the position of the illumination. These three signals can provide most of the information needed to produce an image. The colour information for day time vision utilising cones is translated by the combination of red/ green/ and blue receptors which are firing. Again, information about shading etc. comes from the intensity of the responses from the three colour cones. For the present system information about colour is not important.
6.4.3 Experimental results
61 electrode arrays
As shown a number of 61 electrode arrays have been completed using the techniques outlined here. Some of these completed 61 electrode arrays have
Figure 6.15: Spikes recorded with a 61 electrode array fabricated in Glasgow[88].
been tested and used in experiments. The data recorded from a number of electrodes from one array is shown in Fig. 6.15. The recorded signals show a number of ON signals generated when the receptor is illuminated. The two rightmost spikes are transient signals. The method for generation of these types of signals is shown in Fig. 6.3. The transient signals are generated whenever any of the receptors which that ganglion is connected to changes state. This is the first data taken with arrays fabricated using the dry etching processes which have been discussed earlier in the thesis, Chapter 4. The data taken from this array was as good as that which had been taken previously using arrays fabricate using a wet etching process. This means that the fabrication processes developed are suitable for producing microelectrode arrays for these types of studies.
519 electrode arrays
The process to produce the 519 electrode arrays has been discussed and the completed arrays shown. However, because of the change in the experimental setup it was necessary to test the array for faults. For the 519 electrode arrays the platinisation is carried out after the array has been wire bonded in to the experimental setup. Also once it has been inserted it is not possible to remove the array. For this reason only arrays with $< 5\%$ dead channels are suitable to be considered for experimentation.
The first test for the arrays is a visual inspection. This should discover any broken wires, as shown in Fig. 6.10. In the case of this first array there was only one definite break. However there were several wires which were thinned. The second test is an electrical short test. This measures the resistance between pairs of wires. If the space between the wires has been completely etched over its whole length the resistance will be returned as the maximum value possible for the test setup, in this case 100 M$\Omega$. A short between wires i.e. where the ITO etch has been incomplete will have a resistance in the 10’s of k$\Omega$ range.
The test was carried out using a Keithley 2300 LCR meter under control of Labview software connected to a manual probe station. The software was written to allow measurement of 5 pairs of wires at one time with the data output numbered according to the first electrode in the pair. Fig. 6.16 shows the complete short test measurements for the completed 519-electrode array. This array has 7 pairs of shorted channels, as shown by the low inter-wire resistance. This reduces the number of usable channels from 519 to approximately 510 counting shorts and broken wires. This is an acceptable
Figure 6.16: Short test measurements for completed 519 electrode array. Shorted channels are numbered.
number, less than 5% dead channels, to be connected to the test apparatus.
6.5 Future work and further developments
519-electrode arrays have been fabricated using the plasma etch/deposition/surface treatment processes developed. As yet the completed arrays have not been used experimentally. However, the techniques which have been developed for use in fabricating 61 and 519 electrode arrays can be used to begin to develop the next generation of denser, larger arrays. The dry etching processes are very anisotropic which ensures that the feature sizes are scaleable. Currently the detectors are used to look study MT neurons which are spaced at $\sim 60 \mu m$. However, the current studies indicate that smaller electrode spacing may be desirable to further study these and other
cells. This will provide a new set of challenges in the array fabrication process.
The development of arrays with reduced spacing has begun. Initial test runs of 519-electrode arrays with an electrode pitch of 30 $\mu$m rather than 60 $\mu$m have been carried out. These will observe what problems, if any, arise from reduction in electrode spacing and the subsequent reduction in line width for the connecting wires.
Other planned developments in the array designs are an increase of the number of electrodes to $\sim$ 2000 and then to reduce the electrode spacing further. The electrodes will be of a similar size to those already in production but obviously the challenges inherent in connecting to such a large number will cause problems in the array fabrication. Reducing the electrode spacing for such a large array will add another level of complexity to the fabrication process. The wire sizes will have to be reduced still further with all of the problems that brings i.e. increased resistivity, noise, cross talk. These are all problems which will have to be overcome in the future to develop new experiments to further understand the nature of the retina and the signals that it produces.
Chapter 7
Conclusions
Within this work I have investigated a range of plasma processes and discussed two applications of detector manufacture. The two specific cases for using the dry etch and plasma deposition processes are part of ongoing work. They have shown promising results to date but need further work and development as the nature of the projects evolves. The work described here has produced useful, reproducible etch processes and quantified the effect on the material of the irradiation during etching. One of the next steps will be to refine these techniques for application to a range of processes as designs and requirements change.
ICP etching of SiC has been shown to be several times faster than a standard RIE etch. However, the damage induced in the material is not as great, due to the faster removal of the damaged surface layers. This means that by modifying the process described here it will be possible to either increase the etch rate for very deep etching, e.g. through wafer etching, or for low damage etching. These are possible by a variety of methods. Variations in the RF power applied to the ICP discharge and the platen can increase or reduce the etch rate, as shown in Chapter 4. Changes in the etch rate
by other means can also modify the damage induced e.g. varying the $O_2$ concentration. Further experimentation with changing the ratio of $O_2$ and the applied powers will enable the designing of application specific processes.
The specific application investigated here for using the plasma processes on SiC were for application as a radiation detector material. Detectors were fabricated on semi-insulating 4H-SiC using processes outlined in Chapter 4 and were tested for their suitability as radiation detectors using Am$^{241}$ $\alpha$ particles, as shown in Chapter 5. The detectors produced pulse height spectra which were calculated to be approximately 60% of the total charge available. Simulation work has shown that this is the maximum charge collection efficiency (CCE) possible from material of this type with a high concentration of vanadium dopant. Irradiation of a number of devices has shown that the CCE drops and then recovers with increasing fluence of 300 MeV/c pions. A fluence of $10^{13}$ cm$^{-2}$ shows a CCE reduced by 10% compared to the unirradiated sample. It gives an indication that SiC may a suitable material for production of detectors for high radiation areas such as those expected in the LHC being implemented at CERN.
Future work in this area would concentrate on producing and testing detectors fabricated on non-vanadium doped S.I. material, which may produce a higher CCE. Complete, 100%, CCE detectors would then be tested for performance with a range of radiation sources both before and after irradiation. This is to observe the efficiency of the detector for other more difficult to detect radiation i.e. minimum ionising particles (MIPS) and low energy x-rays both of which produce significantly smaller charge pulses.
The processes outlined in Chapter 4 for production of micro-electrode arrays for retinal neurophysiology experiments as part of the Retinal Readout Project have been shown to be capable of producing complete arrays suitable for the test apparatus available. 61 electrode arrays based on an existing design have been shown to perform as well as any produced using older fabrication technology. However, the dry etch processes which have been developed are suitable for production of significantly denser arrays with a much smaller feature size and spacing.
Initial tests to produce a 519 electrode array which has a critical dimension of $\sim 1.5 \mu m$ have given a number of unforeseen problems. These have been overcome with a reasonable degree of success and complete arrays have been fabricated and undergone provisional testing before being used for experiments with tissue samples. A small number of channels, roughly 10 from 519, have been observed to be non-functional for two main reasons. The first reason is an inter-channel short, caused by two adjacent channels which are not completely etched out. Reasons for incomplete etching are generally related to sample cleanliness. A single grain of dust can short a number of channels. Dust on the sample surface before any of the processes can cause a short when the etching is carried out. The effect of the short is to effectively turn two channels into one as the resistivity between them means that signals from one would be read on the other. Each of these shorts kills one channel in the pair.
The other problem which has resulted in non-working electrodes is a break in the wire. The breaks are caused by the proximity effect. The proximity effect is related to the way that an electron beam lithography system writes a pattern. The initial spot of electrons is reflected from subsequent layers of the sample after passing through the resist. These reflected electrons can cause isolated features to become partially exposed. Partial exposure can cause
narrowing of lines which is particularly problematic for narrower features and where features are surrounded by a large area that has been written. It is possible to correct for the proximity effect and this is being applied for future iterations of the production process. The proximity effect accounted for another 2-3 dead channels.
Once the 519 electrode array process has been finalised with the proximity correction in place a number of arrays will be produced for experimentation. However, the completion of the process and testing the arrays is only one stage. The development of denser arrays is ongoing. The processes developed here are suitable for production of features which are smaller than the existing $1.5 \mu m$ critical dimension. This will allow the production of denser arrays with many more electrodes. For example design work is underway on a 2000 electrode array. An array so dense will produce its own unique problems which will have to be overcome as they are encountered.
In this work I have attempted to show the use of several different plasma processes, etch and deposition, in the production of semiconductor detectors for different applications. The versatility of the processes means that there are a number of other possible applications to which it is possible to apply them. The limiting factor is time for experimentation into other specific uses instead of producing a general process which can be used for many different fabrication projects.
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"Service Men's Meeting of the Air" Unique "Check-Up" Salesman!
RCA and its distributors are sponsoring a new radio program on 51 stations from coast to coast which is helping you sell the Check-Up Idea in a unique way.
At the beginning of each program, a frequency run is broadcast. It serves to make the listener sit up and take notice. Then, when the consumer is wondering why his set does not receive the signal, the announcer will say: "If your tonal range is quite limited—or if your reception is generally not as good as you would like, call your local radio service engineer for a Check-Up. These men are all radio experts and they will locate the source of your set's trouble with this Check-Up service, which includes 10 testing, cleaning and adjusting steps, all for only $1.50."
Auto Radio Check-Up Opens New Field for Sales of Service, Tubes and Parts
1,412,000 auto radios were sold last year. This year it is estimated there will be 1,750,000 more sold. Car dealers aren't prepared to service them. You are! These radios need attention more often than home sets—and the RCA Auto Radio Check-Up Plan gives you a great opportunity to cash-in on extra business.
THERE'S MONEY FOR YOU IN THESE FIGURES
The figures shown here are glowing evidence that radio set ownership furnishes the key to increased service and appliance equipment sales—sales you can make!
7 out of every 10 homes have a radio set.
BUT
8 out of every 10 radio homes have only one radio.
In 7 out of every 10 radio homes the radio is over 5 years old.
7 out of every 10 radio homes have never had the radio inspected or repaired.
In 3 out of every 10 radio homes there are other inoperative electrical appliances.
AND
6 out of every 10 homes have no electric refrigerator.
5 out of every 10 homes have no washing machine.
RCA Radiotron Ads Tie-in with Your Window to Help You Sell "Check-Up"
RCA Radiotron, the only tube manufacturer doing any national consumer advertising, crashes through this month with full-column advertising in Saturday Evening Post and Collier's. These advertisements sell the Check-Up idea by using a powerful new theme—"Tired Tubes"—which is tied in with national events that are news. A sample of one of these vividly alive, newsy ads is shown above. Others will follow every other week—based on the big championship fight this Summer; the World Series; the thrilling football games and other important events throughout the year.
TIE-INS FOR YOUR STORE
Not only is RCA doing a tremendous advertising job, but is further helping you cash-in on the Check-Up by supplying you with colorful window streamers, which tie-in with the timely advertising! The first of these streamers based on the Coronation, is scheduled to be mailed to subscribers to the 1937 RCA Display Service, May 1st. They will be sent for display at the same time magazines are running advertisements which will feature a similar event. In this way both the advertising and displays will be doubly effective!
GET THIS YEAR-ROUND DISPLAY SERVICE!
The streamer at left and ad at right will help you tie-up with the Coronation.
New RCA Pindex Tells Position of Tube Prongs
How many times have you laboriously checked tube charts and service notes to find which tube pin is plate, which is grid, etc.? And even after you found them you still were not sure you were right?
Well, here's the answer to all of these and many other questions—the RCA Pindex. In operation this clever device is simplicity itself. Pick out the type number of the tube, pull the slide until that number appears in the opening beside the indicated "socket" and the pin positions are graphically shown. No tables, no numbers to remember, no complicated figuring.
Pindex is small (3" x 6½"), flat, fits neatly into your pocket. It is made of heavy celluloid for long wear. Ask your RCA Tube distributor how to get yours.
SYLVANIA QUALITY TURNS MANY A TUBE CUSTOMER INTO A NEW-SET SALE!
The customer who occasionally drops in to buy tubes represents a fair tube profit. But he's more than that! He's potentially a customer for a new set—a refrigerator or other home appliance—and occasional new parts...if you, and the tubes you sell him, treat him right.
Sylvania tubes have got to be dependable. Over 80 separate manufacturing tests protect you against business-killing kickbacks...they "go to bat" for you every time on performance. Fair list prices, and the kind of technical and sales helps that build profits, make Sylvania a thoroughly profitable line of tubes to carry.
Make Sylvania's acquaintance—and you'll find Sylvania will make bigger, better tube profits for you. For complete sales and technical information write to the Hygrade Sylvania Corporation, Emporium, Pa.
SYLVANIA
THE SET-TESTED RADIO TUBE
A new way for you to make both Friends and Profits
If you sell 2 or 6 volt radio sets, you should be vitally interested in the new line of Willard radio batteries and the new proposition Willard has for radio dealers. Here is a new line of batteries, especially designed for 2 and 6 volt sets...a popular-priced line bearing the most famous name in the battery industry. And a plan that makes it easy to add batteries to your other lines.
Look at the advantages these new Willard Radio Batteries offer your customers...
- Designed by men who know radio.
- Built specially for 2 and 6 volt radio use.
- Noiseless, tight-fitting connections.
- Convenient, bail-type handles.
- Finest workmanship and materials.
- Less frequent recharging.
- Longer life and better performance.
- A radio battery that costs less to own.
Protect your reputation—sell Willards—the batteries that will give your customers extra long service and steady, unwavering power...batteries that will make both friends and profits for you.
MAIL THE COUPON TODAY FOR FULL DETAILS ON THIS MONEY-MAKING PROPOSITION.
Wouldn't you like to know how you can get this attractive 5-color merchandising display? Just mail the coupon below.
WILLARD STORAGE BATTERY COMPANY
Cleveland, Ohio
I am interested in the 5-color merchandising display. Also send me complete details on the new Willard Radio Batteries at once.
Name _______________________________________________________
Address _____________________________________________________
City and State _______________________________________________
THE NEW 1937 LINE
HOWARD AUTO RECEIVERS
BREAKING SALES AND PERFORMANCE RECORDS EVERYWHERE
Three great models: A six-tube built-in speaker, a six-tube Deluxe with separate speaker and an eight-tube Deluxe.
COMPETITIVELY PRICED AND CARRYING FULL DISCOUNTS
If you do not have complete information on this fast selling high performance line, do not fail to wire or write at once.
YOU ARE INVITED and it is our earnest hope you will attend and make your headquarters the HOWARD DISPLAY OF 1938 HOUSEHOLD RECEIVERS at the Blackstone Hotel during the Radio Parts Show June 10th to 13th inclusive.
SEVEN REASONS WHY EVERY LIVE DISTRIBUTOR WILL MAKE IT HIS BUSINESS TO BE AT THE HOWARD DISPLAY:
1 BECAUSE—HOWARD receivers are made by the oldest manufacturer in radio.
2 BECAUSE—Since the inception of radio, the ownership and management has never changed hands.
3 BECAUSE—Cabinet designs and dials are so outstanding they will be the talk of the Radio Show.
4 BECAUSE—Every receiver offered by HOWARD has the same custom built quality that made the HOWARD name famous.
5 BECAUSE—Of the 100% jobber and dealer set-up which offers complete protection in your territory.
6 BECAUSE—All receivers are outstanding values, made possible through concentration on fewer models covering the entire popular price range.
7 BECAUSE—Of the cooperative advertising plan and the distinct distributor and dealer helps offered.
HOWARD RADIO CO.
1735 BELMONT AVE. CHICAGO
America's Oldest Radio Manufacturer
WARM WEATHER MYTH
RADIO DEALERS WHO ACCEPT a slump in set sales during the spring and summer months as something inevitable and incurable are simply hiding behind an antiquated and outworn theory.
It is true that in practically all retail lines the average of monthly sales drops somewhat during warm weather. In summer people eat less heavy foods but they eat more ice cream, drink more. They burn less fuel in their stoves and furnaces but more in their automobiles. They spend less time wearing out indoor furniture and more outdoors, on porches, in the garden, in parks, at resorts, in summer cottages. Warm weather brings a shifting in what is used rather than cessation of consumption.
* * *
When It Comes to Radio Its Broad acceptance as an all-year-round necessity is widespread, penetrates to all classes and types of retail buyers, so that there is no longer a real excuse for any drastic summer sales slump. If a retailer experiences it, its cause is most probably a slump in sales effort. Records of alert radio dealers prove that this is so.
Radio has ceased to be a seasonable commodity to the extent that skates, sleds, bathing suits are seasonable. While the fall months and the Christmas holidays will continue to give extra impetus to public interest in radio, the spring and summer months, from the standpoint of the actual use of radio sets, today command almost equal consideration.
Until recently any definite proof that public interest in radio continued through the summer months without any serious setback, was lacking. Now a study made by Dr. Daniel Starch (for CBS) proves that this is so. Personal interviews with 182,000 radio listeners justified the conclusion. Advertisers, who use radio, have found out that the summer months are good radio months and in the last two years the volume of radio advertising for summer broadcasts has grown faster than that for the non-summer months.
It being a known fact that radio sets are used practically as much in summer as in winter, it follows that the interest of radio listeners in set-performance, in new sets, tubes, parts, aerials, etc., must be at least equal. Therefore it remains only for the radio dealer to capitalize that continuing interest by suitably planned and persistently continued sales effort.
* * *
The Prospect Lists and Customers list should be used as the basis for an all-summer sales campaign. Where a home is struggling along with an antiquated model, a properly planned sales attack will generally produce the sale of a new model. Where new sets have been sold within the last year or two an inspection call may produce some tube replacement or aerial business or possibly the call will bring the opportunity for selling a second, third or even fourth set.
There are numerous other ways through which the wide-awake radio dealer can bend the so-called traditional summer sales slump into a profit peak but it can't be done while warming the chairs in the back room and bemoaning his fate.
Six Reasons Why You Should Sell STEWART WARNER
1. Outstanding PUBLIC ACCEPTANCE—proved by sales gains that smashed all records last year and are continuing through 1937!
2. MORE FEATURES FOR YOUR MONEY—including 6 absolutely exclusive Stewart-Warner developments that win buyers on sight!
3. DEPENDABILITY and FREEDOM FROM SERVICE with the exclusive twin-cylinder Slo-Cycle Compressor.
4. PROVEN LOW OPERATING COST—demonstrated year after year in homes from coast to coast.
5. Special FLOOR PLAN and RETAIL FINANCE PLAN for the exclusive benefit of Stewart-Warner dealers.
6. COAST-TO-COAST RADIO BROADCASTS on Columbia network with HORACE HEIDT and his Brigadiers.
Phone or wire your Stewart-Warner distributor now!
DEALER PROFIT PLAN PROVES HUGE SUCCESS!
WINCHARGER
FORCED TO TRIPLE MANUFACTURING FACILITIES!
NEW WINCHARGER FACTORY IS WORLD'S LARGEST WIND-ELECTRIC PLANT
DEALERS are wildly enthusiastic over Wincharger's profitable new simplified merchandising program! Sales have jumped to a new high! Increased manufacturing facilities were needed immediately—so Wincharger has moved into this great new factory, with three times the space and equipment available in our former plant!
New dealers everywhere are stocking Winchargers and displaying them with farm radios, ready to cash in on the great $100,000.00 national advertising campaign soon to be released. Manufacturers and distributors are making preparations to profit by this intensive promotion of 6-volt farm radios. The entire radio industry is looking forward to the biggest year in history for 6-volt farm radio sales!
Five million of America's 6,280,000 farm homes need new radios NOW! More than 4 million of these homes are located away from the high line. These non-electrified homes can best depend on Wincharger for radio power. The 6-volt DeLuxe Radio Wincharger is the farmer's most dependable, least expensive source of electric current for radio. Wincharger is the key to this fertile farm market—a market which needs more than 4 million new farm radios RIGHT NOW!
And the great new Wincharger factory is our pledge to the radio industry that we will be able to meet all demands promptly and efficiently, with an even higher quality of guaranteed performance than that which has earned the unanimous endorsement of leading radio manufacturers!
Wincharger also manufactures the 32-volt Giant Wincharger farm power plant for practical, complete electrification of the farm, and the Hi-Way Wincharger for charging truck and trailer batteries on the highway.
Let the Wincharger Corporation help you get your share of sales in the rich new "wind-electric" market. For complete details, write
WINCHARGER CORPORATION SIOUX CITY, IOWA
HOTPOINT
REFRIGERATOR SALES
Leap Ahead to New Records!
The public demand for the new Hotpoint Refrigerator is setting new sales records everywhere. Seldom has an electric refrigerator received such rapid and sweeping public acceptance. But seldom, too, has a refrigerator offered such a wealth of sales-building features—such eye-filling beauty for modern, all-electric kitchens,—as this sensational new Hotpoint.
Faster freezing at lower cost...dependability...streamlined styling...amazing economy...quiet operation—these are a few of the brilliant features that have made Hotpoint the outstanding refrigerator "buy" of 1937. Hotpoint's Vacuum-sealed THRIFTMASTER Unit delivers more power at lower cost.
Hotpoint's SPEED-FREEZER produces ice and frozen desserts faster than ever before. Hotpoint's lifetime all-steel cabinets are styled for enduring beauty, and Hotpoint's complete line offers a refrigerator model for every purse and purpose.
Now is the time for you to cash in on unprecedented public demand for America's No. 1 refrigerator buy. The big profit months are ahead. With Hotpoint, you get plenty of full-profit sales with minimum resistance. Call your distributor! Ride high, wide and handsome to the biggest year in Hotpoint history!
HOTPOINT OFFERS 3 COMPLETE LINES
Thriftmaster and Speed Freezer standard equipment on all 3 lines of Hotpoint Refrigerators. There's a model for every need—a price for every purse.
3 fast-selling models in baked Glyptal finish, porcelain interiors. Exceptional value at surprisingly low prices.
4 popular models in the Imperial line, America's finest refrigerators, all in enduring porcelain enamel inside and out.
5 popular models in the Hotpoint De Luxe line, all with gleaming baked Glyptal finish. All popular features.
Leap ahead to new records!
SPEED FREEZER
Shows the Way to New Sales Records!
Give a dealer a vital, tangible feature—something the customer needs; something easily understood—and you have a perfect set-up for fast sales. That's why Hotpoint's sensational new Speed Freezer is blazing the way to bigger sales and profits for Hotpoint dealers everywhere.
Refrigerator buyers have always wanted faster freezing, greater economy. The Hotpoint Speed Freezer, powered by the vacuum-sealed Thriftmaster, makes ice and frozen desserts faster than ever on a mere "trickle" of electricity. Power is stepped up—current consumption is reduced. These are cold facts—easily demonstrated—to every customer.
Check the cabinet construction...mechanism...and features! You'll be convinced that here is a refrigerator line you can sell—profitably! Then look at Hotpoint's powerful advertising—magazines, newspapers, posters, direct mail—everything to direct a constant stream of sales through your store!
Tie up today with Hotpoint—the name everybody knows—dependable for over thirty years in 16,000,000 American homes.
SPEED FREEZER
The most amazing advancement in electric refrigeration. Keeps food safer. Freezes ice and desserts faster at lower cost. Sanitary, stainless steel construction. Balanced freezing control holds temperature at exactly the right point—always.
VACUUM-SEALLED THRIFTMASTER
Hotpoint's Thriftmaster Unit is permanently vacuum sealed, for longer life. Highly efficient. Five cent's worth of current now makes twice as much cold as ever before. The Thriftmaster carries five year protection plan.
Edison General Electric Appliance Co., Inc.
5680 W. Taylor St., Chicago
Please send us literature on the new Hotpoint line for 1937. We are particularly interested in your plans for selling.
☐ Complete Line
☐ Ranges
☐ Refrigerators
☐ Laundry Equipment
☐ Water Heaters
☐ Dishwashers
Name_____________________________________
Address___________________________________
City________________________State__________
OVER 90% of all manufacturers of washing machines power their farm models with air-cooled, 4 cycle Briggs & Stratton Gasoline Motors, widely recognized everywhere for dependability, economy and long, trouble-free service life.
4 CYCLE
BRIGGS & STRATTON
GASOLINE MOTORS
TRADE INS
Appropos April Radio Retailing's proposal of a scrapping program, sponsored or backed by the manufacturers, it is interesting to note that last year Chevrolet went to the rescue of its trade-in laden dealers, paid $20 for each car scrapped, took over 100,000 used cars off the market via that route during the first three months. Other car divisions of General Motors had similarly conducted scrapping programs. Now let's see who will be the first radio manufacturer to adopt trade-in scrapping as a national policy, equipping a husky representative with a trusty sledge hammer, sending him out to break up radio trade ins, giving the dealer a suitable credit of $5 or $10 for each sledged set.
SET AGE
A survey made in the Chicago territory by the Marketing Department of DePaul University shows that a surprising number of ancient radio sets are still doing duty. In the course of that survey 5,360 radio homes were contacted. One year old sets were found to account for 20.6 per cent, two years old for 20.3 per cent of the total, while three year old scored 18.7 per cent, the four year old, 14.7 per cent and those five years or older equaled approximately 20 per cent.
If those percentages may be considered as typical for the whole country it means that over 6 million homes have radio sets that are 5 years or more old, are waiting for some live dealer to do a selling job.
FILE YOUR PROTEST
Tax-sters wish to get their fingers deeper into the broadcasting pie and a bill introduced by Congressman John J. Boylan, of New York, would tax stations on a wattage basis on a sliding scale ranging up to $3 per watt so that some stations would have to pay $150,000 per year and giant WLW would put up 1½ million smackers annually for the privilege of going on the air.
The bill is said to have the blessing of Federal Communications Commission George H. Payne. Its passage would have far reaching and destructive effect on the whole industry. If a tax on broadcasting stations is justified it should be a reasonable one, not oppressive. Write your Senator or Representative your views, and ask that the Boylan bill be defeated or its tax provisions drastically reduced.
FEWER FAKERS
The Federal Trade Commission has cracked down on another batch of fakers who have been sailing under false colors. Orders to cease and desist from using unfair methods of competition have been entered against manufacturers and dealers in radio sets at New York, Philadelphia, Chicago, Washington, 9 in all, who labeled their sets Bell, Edison, General Electric, Majestic, Marconi, RCA, Victor and with other well known brands without legal authority from the owners of those trade-marks.
Four other concerns and three individuals will escape a formal similar order if they behave. The commission's findings against the whole flock were that they cooperated and were engaged in a scheme to deceive the public and to compete unfairly with other manufacturers and dealers.
SIDETRACKED
Interests that were formerly associated with the Chrysler auto manufacturing enterprises recently acquired a plant that is well equipped for making auto-radios. The inference is that auto-radios for Chrysler-DeSoto-Dodge and Plymouth cars may be made in that plant and thus a substantial volume of auto-radio business will be sidetracked out of the industry as a whole into an automaker-controlled or subsidized unit.
Radio dealers and distributors everywhere will lose business by this. Their only means of combating the trend is to form strong alliances with car dealers who would much rather make the long profit by buying sets when and where they wish, rather than take what the car maker gives them—at a short or no profit.
FAIR TRADE LAWS...
What they mean to the radio industry
By D. C. Frederick
ALABAMA
No Fair Trade or allied laws in force. Legislature not now in session.
ARIZONA
Fair Trade law now in force. Permits resale price agreements between manufacturers of trade-marked goods and dealers. Violators may be sued for damages, by competitors. State also has Anti-Price Discrimination law. Requires equal prices for all buyers, whether large or small concerns, if all conditions under which purchase is made are equal. Proved violations draw heavy penalties and damages for injured competitor.
ARKANSAS
Fair Trade law now in force. Permits resale price agreements between manufacturers of trade-marked goods and dealers. Violators may be sued for damages, by competitors. State also has Anti-Price Discrimination law. Requires equal prices for all buyers, whether large or small concerns, if all conditions under which purchase is made are equal. Proved violations draw heavy penalties and damages for injured competitor.
CALIFORNIA
Fair Trade law now in force. Permits resale price agreements between manufacturers of trade-marked goods and dealers. Violators may be sued for damages, by competitors. State also has Anti-Price Discrimination law. Requires equal prices for all buyers, whether large or small concerns, if all conditions under which purchase is made are equal. Proved violations draw heavy penalties and damages for injured competitor. Additional trade legislation pending. Legislature now in session.
COLORADO
Fair Trade law now in force. Permits resale price agreements between manufacturers of trade-marked goods and dealers. Violators may be sued for damages, by competitors.
CONNECTICUT
Fair Trade bill reported ready for presentation to legislature, now in session.
DELAWARE
Both Houses of legislature, now in session, have passed a Fair Trade bill.
FLORIDA
Fair Trade bill reported ready for presentation to legislature, now in session. State has a similar Commerce Discrimination act, which aims to eliminate price discrimination between localities.
GEORGIA
Fair Trade law now in force. Permits resale price agreements between manufacturers of trade-marked goods and dealers. Violators may be sued for damages, by competitors.
IDAHO
Fair Trade law now in force. Permits resale price agreements between manufacturers of trade-marked goods and dealers. Violators may be sued for damages, by competitors. State has also Anti-Price-Discrimination act, passed this year, prohibits discrimination in selling price only.
ILLINOIS
Fair Trade law now in force. Permits resale price agreements between manufacturers of trade-marked goods and dealers. Violators may be sued for damages, by competitors. Legislature still in session and is reported to have an Anti-Price-Discrimination bill under consideration.
INDIANA
Fair Trade law now in force. Permits resale price agreements between manufacturers of trade-marked goods and dealers. Violators may be sued for damages, by competitors. State has also Anti-Price-Discrimination law. Requires equal prices for all buyers, whether large or small concerns, if all conditions under which purchase is made are equal. Proved violations draw heavy penalties and damages for injured competitor.
FAIR Trade laws in force in 37 states—in 2 more states such laws passed by both houses of the legislature and only awaiting the governor's signature—then 6 other legislatures now in session, with such laws under consideration.
That's the picture as of May 1st, and its significance is, that by the time the 1937 legislative season has ended...
40 or more states with over 80 per cent of our population will permit Fair Trade agreements between manufacturers and dealers.
What does all that mean to the radio dealer? What's the good of such Fair Trade laws? How do they operate? Who benefits by them and—how? Those are questions which arise naturally in the minds of every retailer when he realizes that this great wave of such laws has swept across the whole country practically within a year.
Here are the answers.
Basically Fair Trade laws have one major objective, namely: To stabilize the retail selling price of merchandise that is sold under a registered trademark and nationally advertised.
They are labelled as "Fair Trade" laws because they legalize the establishing of a basis of fair trading and of fair competition, which puts the small dealer on the same footing as chains, mail-order houses and department stores when it comes to the selling price at which a radio set, a pair of shoes or any other trade-marked and advertised article is offered.
Typical Manufacturer-Retailer Fair Trade Agreement
It follows that where a manufacturer enters into such a contract with every dealer who handles his line and sincerely insists on observance of the terms, the retail prices at which the articles are advertised or offered to the public become stabilized immediately at the price level which is specified in the contract. Whether it be the biggest chain or department store in the territory or a small dealer in a country town, there would be no cut price competition to disturb the minds of the public or the stability of the trade.
Non-Signees Must Observe
In most states the law even applies to retailers who have not signed an agreement but who have been properly notified of the list prices at which the goods are to be sold. Any violations on the part of a non-contract dealer would be subject to the same provisions for damages that the law holds for contract customers. In fact, those provisions are the "teeth" which are expected to prevent flagrant violations by the cut-price artists. They permit any dealer to sue for damages, when a competitor has sold articles at less than the prices stipulated in the price agreement.
As to the benefits derived from operating under a price agreement, the answer is obvious. Before such agreements were legalized the manufacturer of trade-marked goods had little or no legal means of stopping cut-price competition or keeping his products out of the hands of concerns that used them as loss-leaders or as the football in price battles. The result was that regardless of who was battling or who was the price pirate, the small independent local dealer always suffered the most. He had only two choices, either to meet the price cuts and lose all his profit, or to lose sales by standing pat on the list price.
All that is changed where a manufacturer decides to take advantage of the Fair Trade laws. When a manufacturer does that, the dealer knows that he is not going to be undercut by other retailers. He knows that gifts, premium offers, coupons and other attractions are not allowed to be used as means to dodge the established list prices and evade the law. He knows that current models will be offered at the same price in his entire trading area and that if any retailer, large or small, offers price-protected goods at lower prices at clearance or close-out sales, that retailer must be prepared to prove that those are genuine clearance or close-outs, otherwise he will be in trouble and subject to suits for damages.
Thus these Fair Trade laws, when taken advantage of, change at once the position of the independent retailer to one of complete equality with any other retailer—regardless of size—when it comes to the retail selling of any line of trade-marked radio sets, tubes, batteries, parts or sound equipment, that are marketed under price agreements.
Therefore the independent retailer now can afford to plan ahead with greater confidence, can arrange for more aggressive sales effort, better displays, more advertising, in behalf of any line of merchandise on which the manufacturer is giving price protection via the Fair Trade route.
Anti-Price-Discrimination Laws
These laws represent one form of restriction by which legislators have endeavored to offset the great advantages that normally accrue to mass-buyers such as chains, department stores and mail-order houses through their tremendous buying power and in their most ideal form they place the small or independent retailer in position to purchase on an equal footing with his larger competitors.
In substance those laws prohibit price discrimination on articles of equal quality, grade and description when the effect of such practice is injury or restriction of free and open competition or may indirectly promote the establishing of a monopoly in any given field. The only price differences which under those laws are not considered as discriminating are those which are based on differences in the quantity purchased, selling methods, delivery or manufacturing costs or general market conditions.
In a majority of states these so-called Anti-Price-Discrimination laws compel the state's Attorney-General to revoke the permit or charter of any concern that has been convicted 3 times of violating this law and the penalties for violations range from $100 to $5,000 and in some states include imprisonment up to one year. Furthermore, a person or concern injured as a competitor by violations of these statutes through improper price discrimination may sue for an injunction and demand triple damages. However, here again it must be borne in mind that these laws, being enacted by a state, can apply only to transactions within that state.
BROADCAST BREVITIES
CBS sold $23,168,148 worth of time in 1936 to 87 clients. The average sponsor spent $237,292 for such time and 79.3 per cent used this network's facilities the previous year.
Mutual reports an 11 per cent increase in March time billings as against March 1936. Total reached $212,861. First quarter total: $602,311, 16 per cent above last year.
MARCH EXCISE
Internal Revenue Bureau collections of the federal five per cent excise tax on radio and phonograph apparatus for March, this year, totalled $360,922, a 7.4 per cent increase over collections for March, 1936. For the entire first quarter of 1937 tax collections totalled $1,509,353, an increase of 11 per cent over the 1936 first quarter.
EXPORT EXCERPTS
American set makers shipped 117,820 receivers out of the country in January and February, declaring these at $3,035,318. This compares with the 95,056 valued at $2,494,654 in the same period last year.
There were 1,529,955 tubes exported in the same period, valuation $652,218. In January and February 1936 1,036,259 were shipped, dollar value $458,125.
CONSUMER SURVEY
A questionnaire sent to 1,000 families reading The American magazine produced the following table showing average age of radios in use:
| Year Bought | % |
|-------------|---|
| 1936 | 13.9 |
| 1935 | 16.8 |
| 1934 | 12.7 |
| 1933 | 8.8 |
| 1932 | 11.3 |
| 1931 | 8.4 |
| 1930 | 13.1 |
| 1929 | 8.1 |
| 1928 & earlier | 6.9 |
This makes the average set age 3.6 years. Twenty-four families had forgotten their radio's birthday and didn't answer this question.
Interesting facts concerning the number of radios in the average home were also spotlighted. 898 families out of the 1,000 have one receiver, 40 have two, 3 have three, 1 has four and 58 have none.
Auto-radio came in for its share of surveying too. Just 19.8 per cent of the 1,000 families questioned had such receivers. The remaining 80 per cent had none. Yet 79.1 per cent owned cars.
FIRST QUARTER FACTS
Retail washer sales hit an all time high in the first quarter. Jerry Bolmen of the American Washing Machine Manufacturers Association reports that 460,681 were sold, an increase of 10.77 per cent over last year.
Household ironers also upped, totalling 49,887 in the first three months, a 7.18 per cent increase.
Installed air conditioning equipment totalled $31,648,290, compared to $11,005,980 in the first quarter of 1936, an increase of 187.5 per cent. These facts come from William B. Henderson of the Air Conditioning Manufacturers Association.
FACTORY FIGURES
Norge reports its first quarter business 32 per cent above last year's initial three months. Refrigerators are up 29 per cent; washers, 21 per cent; commercial high-sides, 24 per cent; electric ranges, 523 per cent; furnaces, 571 per cent; oil burners, 117 per cent. Total unit sales by the Borg-Warner household divisions reached 171,702.
PUBLIC acceptance of auto radio within the last five years, and in the last two years in particular, has created an important specialized field. With 23,000,000 automobiles on the road and only 3,900,000 equipped with radio, 81% or 19,000,000 present a market still untouched. In addition to this, 4,000,000 cars will be manufactured in 1937, only 15% or less of which will come from the factory equipped with auto radios.
This vast new market represents a grand opportunity for the smaller radio dealer with vision to build a larger volume of profitable business than heretofore enjoyed with home radios and service only. Somebody will, of necessity, get this additional business, but it is particularly adapted to the exclusive radio dealer's experience and facilities.
The independent radio dealer in the smaller towns, because of his individual qualifications, is in an ideal position to not only sell auto radios but to install and service them properly. He can derive lasting benefit from a planned marketing campaign. Therefore, let us analyze this fast growing new market.
Auto radios are bought by only one class of people, namely—auto owners. And to sell them anything one must find them. When the average retail store, located as it is on streets where pedestrian traffic is greatest, exposes its merchandise to the casual passerby it is analogous to firing a gun into a herd of wild horses in the hope of hitting a stallion. True, you may hit one now and then, but you will surely waste a lot of ammunition. The hunting season may be over before you get a shot at another herd.
Where Car Owners Congregate
To catch fish one must go where there are fish. Why not do your gunning for auto radio purchasers where automobile owners congregate and stop? Where is that place? Why, it's the Gasoline Station. Every car owner, rich or poor, limousine or flivver, must necessarily visit a gas station and fill up several times weekly.
Right here is a fine market for auto radio. A particularly fine one for the service station salesman who has the advantage of seeing his prospective radio customers regularly and being able to offer his customer convenient installation and repair facilities. He sees his prospective buyer at least twice weekly and is therefore able to choose the most favorable moment for his sales presentation. For the same reason the station salesman is able to keep after his prospect regularly, which is something the store salesman is unable to do. In solicitation work he can introduce the subject of auto radio while serving the customer with his primary needs.
Assuming that we know that this is the proper market, why not avail yourself of this opportunity? It has been done successfully in a Long Island, N. Y. town of 2,500 population as well as in Brooklyn, New York, a borough of the City of New
Pumpmen push car sets on commission basis in eastern experiment. Arrangement mutually profitable. Swells sales, service for radio stores. Boosts filling station gross without necessity for stock investment, installation crew
By W. M. Hollis
ICE ALREADY BROKEN—Most car owners patronize pet stations, know the attendant. After the tank is filled, what an opportunity to glance under the dash, talk radio if none is seen! Tags, printed and cut out to resemble control heads (note circular disc just back of windshield) may be affixed to wheel or dash, insidiously help sell the idea.
A RADIO DEALER DOES THE WORK—But the customer who buys an auto radio here where it is convenient because his car needs washing anyway, need not know that the station carries no stock, has no installation man of its own.
York with a population of 2,000,000.
Here is how you can, at no cost to yourself, take advantage of a built up group of auto owners, most of whom are potential purchasers of the product you wish to sell. These people represent the accumulation of the greatest purchasing power in your community. They are the people who have money to spend for luxuries. They are the preferred credit risks in every respect. And your product is one of the items on their list of "wants" far more often than any other.
Make a list of all the up-to-date gasoline stations in your community. After you have satisfied yourself that
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DENVER—Tough to turn over without loss are used radios on the floor of dealers pre-occupied with new merchandise. Not so tough for down-the-alley outlets set up to horse-trade.
Le Moine Bechtold skins this cat with a management method at once effective and novel. The Le Moine Music Company, main-drag emporium classed up to attract middle and upper-crust prospects, displays new radios and luxury electrical appliances. All receivers taken in trade are shunted to the Le Moine Radio Exchange, operated one block away on a lower rent artery.
The Exchange stocks only used radios and new washers, the latter appliances because they sell well to prospects with low incomes, have primarily a utility appeal.
The main store ducks trafficking with prospects whose ideas are obviously bigger than their incomes, people with very old radios having practically no re-sale value and money enough for only the cheapest of midgets even when time financing. These prospects are sent to the Exchange. The Exchange offers them a few dollars for their old equipment against the purchase of newer but still not completely new merchandise, even offers to finance the purchase. Where the purchase price is not high, Bechtold points out, financing is less risky.
Keynote of the idea is the fact that the Exchange manager has been instructed to make it easy for radio prospects to "get in on the ground floor." His is a twin objective. First, to make enough money by sheer canniness to steadily reduce the subsidy-sum drained from the main operation and, second, to build new business for the main store in a safe and sane way.
The first objective has been well nicked in the past 6 months. At present 60 per cent of the used sets moved by the Exchange are straight cash or time transactions involving no swap. These result in a somewhat better than break-even statement. The remaining 40 per cent of the outlet's transactions involve swapping an old set for a still older one, with a little cash thrown in. This part of the operation barely keeps its head above water. It does, however, provide a means of attacking the second objective. For by stepping up users of old sets to newer and better ones by easy stages a point is frequently reached where such prospects have enough equity in their current radio to warrant shunting them back to the main store for a brand new model.
To date, the Exchange has been advertised only in the classified columns of daily newspapers. It is close enough to the main store to permit customers to be shuttled readily from one to the other. Aside from this cooperation in the interest of Bechtold business, however, the Le Moine Music Company and the Le Moine Radio Exchange operate as individual stores, keeping separate books, circularizing and servicing their own customers.
NEW RADIOS, LUXURY APPLIANCES—That's all Le Moine Music's main showroom displays to men with money. Used receivers taken in trade are shunted to a smaller shop operated by the company one block away.
USED SETS, NEW WASHERS—These sell best to low-income group prospects, constitute the stock of Le Moine's Radio Exchange. This subsidiary builds buyers to new set level for the main store by stepping them up from trade-in to trade-in.
Salesmen Share Dealer's Used Set Risk
SHEBOYGAN, WIS.—A unique method of making salesmen share the re-sale risk has enabled the H. C. Prange Department Store to keep its floor clear of trade-ins.
Explains Eitel F. Meyer, radio department manager: "When a customer has a trade to offer the salesman does his own appraising. The maximum he may allow, except in those few cases where a buyer for the trade is already available and the new set has a substantial list, is $10. The firm offers to pay approximately 75 per cent of any allowance quoted up to the $10 maximum while the salesman must pay the balance. If he fails to re-sell the set he takes in trade, this sum is deducted from the new set commission.
"No used set can be placed on our floor. They belong to our salesmen, to sell as their own property. Purchasers sign a sales slip reading as follows:
'I have today purchased ........... of ............. his personal merchandise, and not the merchandise of H. C. Prange Co. It is understood by me that this merchandise is not guaranteed in any
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Wind Charger Statistics
MAUSTON, WIS.—Interesting despite the fact that dealer experience undoubtedly varies from community to community are these statistics concerning the Carl O. Onsager Tire Company's wind-charger business in 1936:
Oscar Knutson of the company reports that Onsager sold 33 units. Only 2 farmers installed their own and the balance paid $5 to have the firm do it.
Three out of the 33 strung up lights. The others used the chargers solely to operate radios.
Two towers, one 55 feet high and the other 20, were erected for customers. Both cost the consumer $20 despite variation in size due to materials specified.
Seven service calls have been made. Three were due to misplacement of the charger mountings due to weather encountered during the year.
Here's the way a typical Onsager battery set sale shapes up:
| Item | Price |
|-----------------------|---------|
| Four-tube table set | $39.95 |
| Wind-charger | 15.95 |
| Battery | 13.25 |
| Aerial | 5.00 |
| Installation | 5.00 |
$79.16
"Accessories", says Knutson, "sure do things to the unit sale!"
SKYLINE SALESMEN—Two sample wind-chargers, mounted high in the air over the Carl O. Onsager Tire Company store, sell themselves.
ON HIS OWN — This salesman on Prange’s floor won’t go wild on trade-in allowances in order to sell the new set. For he must re-sell the old radio himself or take a commission cut.
(Continued from preceding page)
way and also that it cannot be returned for credit.
(Signed) ...........
(Address) ..........
“This plan has been in use for more than a year and is working out well. It keeps our salesmen from allowing too much on trades, relieves the store of the used set handling problem and has not in any way injured new set business so far as we are able to determine from current turnover records.”
Follow Up Nets 75%
MILWAUKEE—Automobile salesmen have long since learned that when they can induce a prospect to sit behind the wheel of a new car and drive, the sale is half made. People really in the mood for merchandise can scarcely resist once they have it in their hand.
They feel that it is already theirs and hate to part with it.
Around this principle of selling revolves the success of Max Bernstein’s Empire Radio Store. Max’s place of business is only 24 by 27 feet overall but it is located in a sufficiently busy street to attract floor traffic. It is the proprietor’s opinion, however, that only the easiest sales are made right on the floor. Like many other dealers, he gets names and addresses of prospects considered “hot”. Unlike most others, he sends his salesmen out to their homes next day with the merchandise, whether home demonstration is asked for or not.
Table models are sold in this manner to apartment house dwellers. Salesmen take five or six along in their cars. But Bernstein goes even farther. His men take out consoles on the same basis.
Admitting that one man’s meat is another’s poison and that the average dealer gets it in the neck when he practices promiscuous home demonstration, Bernstein nevertheless insists that it can be made to pay if salesmen are properly trained. Seventy-three per cent of his business last year came from this source.
Most prospects are surprised that the firm goes to the trouble of delivering a set for demonstration just on the chance that they will permit it to be installed. Some few refuse to admit the salesman but most of them dislike turning the men down and, so long as the set is already on the doorstep, permit it to be installed.
Once in the home the radio, if it pleases the prospect, is thought of as his property rather than that of the dealer and, like the automobile driven over a test stretch, practically sells itself. Hesitation and further shopping ceases where the prospect really intended to buy in the first place but couldn’t quite bring himself to the point of planking down the cash.
This method of selling, admits Bernstein, is expensive if the percentage of sales to demonstrations is low. It is not, expensive, however, if the percentage of sales to demonstrations is high, as it is in his case. Table model sales are generally closed on the first visit. Consoles usually remain for a day or two before the contract is signed. Selling cost is higher on the latter but still not too high in view of the extra margin.
FIRST STEP — In Empire’s 24 by 27-foot store a prospect shows interest in a new console
DOOR STEP — That’s where the sale is clinched next day. Max Bernstein takes a chance, delivers it for demonstration
A Smash Hit!
THE NEW KADETTE "EQUAFONIC"
"Equafonic" sales are breaking all records! Dealers report orders exceeding every expectation. Kadette's new Equafonic principle that projects sound in every direction with equal intensity is taking the buying public by storm.
Other Equafonic features: beautiful, modernistic cabinet, hand-rubbed piano finish. Illuminated cocktail service rack, lamp socket in back of cabinet. New 6V6 beam tube amplifier.
Advanced AC 6-tube circuit tunes standard broadcast and European bands—540 to 1850 kilocycles (552 to 162 meters) and 5300 to 17,500 kilocycles (56.5 to 17 meters).
Push the "Equafonic" and pile up profits! Let it boost your sales records!
INTERNATIONAL RADIO CORPORATION
535 Williams Street Ann Arbor, Michigan
CLUB MODEL with CELLARETTE $55
RE-TUBE WITH KADETTE
The Cream of the Tube Market—picked and sold by Kadette.
KADETTE
THE WORLD'S BEST VALUE
RADIO RETAILING, MAY, 1937
Legislation is coming... Quiet electrical appliances are in process of design... But the retailer can help himself in the meantime by erecting modern antennas, installing filters
says
K. C. Bridges
W. H. Tait Radio Products, Toronto
EVER since radio was born we have been listening in not only on broadcasts but also to oil burners, street cars, leaky power lines, transformers and similar electrical equipment which could scarcely classify as "entertainment." Dial telephones came along later and now that shortwave receivers are with us in force there are more varieties of noise in the air than Mr. Heinz could ever think of. Automobile ignition alone is serious on shortwaves. I know one dealer who has lost the sale of four expensive allwave sets on one short street just because a bus line passes the door.
The sorry part of this whole business is the fact, pointed out by W. MacDonald in the November, 1936, issue of *Radio Retailing* ("Noise is Costing Us Money"), that most noise-producing electrical equipment could have been made noiseless at extremely low cost at the time of manufacture. Surely it is time something was done about this noise problem that has cost radio manufacturers, distributors and dealers thousands of dollars. It is very gratifying to note increased activity by noise-prevention leagues and even by individual communities.
The Canadian public has been fortunate to obtain the help of the Dominion Government's radio branch. The Canadian listener pays a yearly radio license fee of $2, the greater part of which goes for the maintenance of a large staff working constantly on this problem.
Radio interference cars, fully equipped to track down and locate any type of racket, are located in all the larger centres of population. These cars also cover the suburban and rural districts when necessary. If a listener thinks that his area is unduly noisy he (or his dealer) phones the local radio inspector. An interference car is dispatched and the investigator listens to the radio set of the complaining customer. He then locates the noise source and explains to the owner of the offending apparatus just how much disturbance and nuisance he is creating. Instructions for quieting the equipment are given without charge and in nine times out of ten the result is 100 per cent cure.
Incidentally, legislation has just passed through the Dominion Parliament making it absolutely illegal to own or manufacture any piece of equipment creating radio disturbance. The owner or operator of such equipment can be summoned to court and fined as much as $50 per day for every day the offending apparatus is allowed to broadcast after its owner has been told how to make it silent. This law is not yet being enforced but it soon will be.
We know that the proper way to
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Anyone who knows the technical side of radio knows this: The basic difference between radios lies in the circuit—the way the various characteristics of coils, condensers, transformers and tubes are knit together. In the Phantom Filter Circuit, Arvin engineers have combined these and other units in a way that produces better radio reception. It is apparent when you listen to the new Arvins alongside other radios. Do that now—at your jobber's.
The Phantom Filter Circuit is a powerful sales producing feature—because it means better radio reception. And that's exactly what folks want in radios. That—plus cabinet styling which appeals. Of course, the new Arvins have every modern radio improvement, including automatic tuning with Arvin's Presto-Station-Changer in the larger models. Arvin has both the performance and the styling that makes sales. See them. The line is "hot!" Noblitt-Sparks Industries, Inc., Columbus, Indiana.
ARVIN PHANTOM QUEEN MODEL 62—A lovely 12-tube combination bookcase console, presently priced at $140.00. Has automatic tuning with Arvin's Presto-Station-Changer and all other modern features. Other consoles and table models shown above on impressive Arvin Floor Display.
BETTER RADIO RECEPTION because of the Phantom Filter Circuit—that's the dominant sales idea in Arvin national consumer advertising. Full page announcement in Post and Courier's coming soon. Miniature reproduction shown above.
ARVIN PHANTOM BADGELESS Model 63RCS—dissersive chair side console, presently priced at $69.95. This is one of 19 beautiful Arvin radio products sell from $19.95 to $160.00. Also 2 and 6-volt battery models in bookcase and table cabinets. Prices slightly higher in extreme South, Denver and West.
Sales are Booming on Arvin Phantom Filter Car Radios
RADIO RETAILING, MAY, 1937
DISTRIBUTION
In the weighmaster's shack at the Dobbin coal yard in the Bronx Barry & Cortley of New York has installed a microphone, amplifier and switch panel which facilitates communication with two weighing platforms and a distant loading chute.
Truckdrivers hear the weighmaster's stentorian queries via this trumpet-inclosed p.m. dynamic speaker slung up on the loading house wall out of harm's way.
And truckdrivers talk back to the weighmaster over this recess-protected microphone installed in a shallow "closet" beneath the trumpet.
CONSTRUCTION
Final link of New York's Tri-borough bridge is raised into position 135 feet above East River. War Department allows 6-hour maximum for job. Davie Electric Company equips foreman (arrow) with microphone, installs six speakers (circled), runs 100-watt amplifier on a.c. cabled from shore. Co-ordinating directions audible to hoist operators (tower tops), steelmen and fireboats pumping water into float on which span was towed into position. Time: 5½ hours.
DIRECTION Royden Denike (left) watches J. B. Crofts, executive of Brooklyn's Abraham & Strauss department store, pep up the personnel without stirring from his office.
From this novel housing, open at both ends, and its concealed 8-inch p.m. dynamic, flows music with sufficient volume to entertain employees before and after closing hours, in the 30 by 60-ft. restroom.
E. Goldberg of the Polyamp Company, who installed the system, "rides gain" during a checkup. Four channels are available.
PRODUCTION To Don W. Daymon of Findlay, Ohio, goes the palm for selling a novel installation to the Great Lakes Sugar Refinery. Three pictures tell the story of its use. Step one: Sugar beets are delivered by truck to this weigh house.
The beets then go onto this 1200-ft. conveyor (belt not in place in photo), travel to the small "tare" house in the distance, 18-feet above ground, where 15 lb. samples of every load have dirt wire-brushed off, tops removed.
Cleaned samples are weighed in the tare house (close-up) and the percentage of weight loss microphoned back to the weigh house, where calculations show the net. The plant pays on this basis. Formerly, truck-drivers passed weight slips to the tare house at the end of a long stick.
COMING FOR 1937-38
Another Great G-E "FIRST"
TOUCH TUNING!
"TOUCH A BUTTON—THAT'S ALL"
A great exclusive feature—a great exclusive sales opportunity—and backed by the greatest advertising and promotion program we have ever sponsored.
GENERAL ELECTRIC RADIO
APPLIANCE AND MERCHANDISE DEPARTMENT, GENERAL ELECTRIC COMPANY, BRIDGEPORT, CONN.
HAVE IT DONE RIGHT
“Haywire” Installation Hopelessly Handicaps Auto-Radio
“INSTALLATION EXTRA”
— because experienced dealers know there is no shortcut to good sensitivity, low noise level
Thirteenth For RMA
Annual convention precedes parts show at Stevens; has interesting program
WASHINGTON—The program for the Radio Manufacturers Association's 13th annual convention to be held at Chicago's Hotel Stevens June 8 and 9, just preceding the Radio Parts Manufacturers National Trade Show, has just been announced. Here's the detailed time-table:
Tuesday, June 8—10 a.m., meeting of board of directors, president Leslie F. Muter presiding. 10:30 a.m., meeting of Export Committee, chairman S. T. Thompson. Meeting of Engineering Committee, chairman W. R. G. Baker. Meeting, Traffic Committee, vice-chairman O. J. Davies. 12:30 p.m., Membership luncheon-meeting in the south ballroom, includes annual business meeting and annual reports. 2:30 p.m., Set Division's annual meeting, chairman Arthur T. Murray. Tube Division's annual meeting, chairman B. G. Erskine. Parts and Accessory Division annual meeting, south ballroom, chairman Arthur Moss.
Wednesday, June 9—10:30 a.m., Parts and Accessory Division annual meeting (continued), chairman Arthur Moss. Amplifier and Sound Equipment Division annual meeting, chairman Peter L. Jensen. 12:15 p.m., Credit Committee luncheon meeting, Eastern and Western Divisions, chairman Arthur Moss, vice-chairman Edward Metzger and Phil C. Lenz. Business session with NCO follows: 12:30 p.m., Luncheon meeting, new RMA Board of Directors. Election of president and other officers for coming year. 7 p.m., Annual Membership Dinner, members and guests, chairman A. S. Wells. Grand Ballroom, ladies invited, dancing.
New Policy For Amer. Bosch
Increased demand for police, export and private-brand radios taxes factory facilities, forces dropping of trade-marked line
SPRINGFIELD, MASS.—On April 30, the United American Bosch Corporation, its plant facilities taxed to capacity by orders for police, export and private-brand radios, other divisions working under forced draft on automotive ignition, magnetics, gas water heaters and Diesel engine parts, discontinued production of its trademark home and automobile radio line.
From Roy Davey, sales manager of the radio division, to more than a hundred distributors went the following letter:
"As you well know, the efforts of United American Bosch cover many fields. Our company is one of the three largest producers of automotive battery ignition and our products are manufactured in larger quantities in the world. In the Diesel engine field we supply the majority of the injection pumps and nozzles which are used in all engines. The company's line of general automotive products is very broad and we are an important producer in this field. The gas water heater division has grown to substantial proportions and this equipment is today one of the leaders in the high grade gas appliance market. In all these lines the production demands have increased substantially during the past few years.
"In our radio division we have experienced a very large increase in our export volume, and at the same time the volume of our private brand business has developed to the point where, with the increasing demand for production facilities from our other divisions, we no longer have available manufacturing space which will permit the continuation of our own large scale manufactured production of home and car receivers. Our withdrawal from our own domestic trademarked production has been an extremely difficult process to concentrate on and to continue more aggressively our export, police and private brand radio activities, but it is because of this that the decision which we are here announcing to you has been made.
"Because of the substantial increase in both export and private brand lines, it becomes impossible for us to serve our distributors with the large volume of United American Bosch trademarked radio to make the sales of such sets profitable to our distributors and to us.
"This letter, as well as advising you of
the corporation's policy, as it affects American Bosch domestic trademarked radio, also serves as a notification as of this date of the Corporation's decision to terminate all of cancellation of any and all existing radio agreements with you as well as all of its wholesale dealers.
"We have in the case of most of our distributors had a long and pleasant relationship and it is with deep regret that this radio relationship must be terminated."
One of the pioneers of the radio business, United American Bosch has long been a factor in police, export and private brand fields as well as in the American marketplace for trade-marked goods. Decision to discontinue production of trade-marked radios came just before Radio Retailing's deadline, was reached when it became obvious that pressure from other divisions would make it difficult if not impossible to serve distributors on a basis profitable to them and to the Corporation itself.
Alter Sinks Spurs
Cuts off key retail accounts Grunow formerly sold direct. Limits production planning to 90-days. Sets up new model jury.
CHICAGO—Over initial saddle-sores and now firmly gripping General Household Utility reins as director of sales, Harry Alter . . . his brother assuming responsibility for the Grunow distributorship in the family since 1928 . . . informs RR in an exclusive "minute-interview" that he plans definitely to eliminate "key" retail accounts hitherto sold direct, concentrate all company shipments in the hands of distributors. "The backbone of the industry is the independent dealer," says Alter. "The depression showed that his sales have made the real profit for the manufacturer. Why should his goodwill be jeopardized by possible friction with key accounts that are out of contact with the distributor and likely to carry on promotions which hurt the independent's chances?"
Further applying his distributor's viewpoint to the Grunow policies Alter states that because he is certain the trade cannot intelligently estimate volume more than 90-days ahead the factory will whittle down its production schedule to this period to avoid overloaded inventories. "Production schedules planned over a long period are fine for the purchasing agent and the production department," he contends, "but not so good for the trade."
To Grunow's long-practiced "battle" conference idea in which organization men periodically check 100 makes of radios and 34 refrigerators, keeping a finger on the pulse of design and merchandising policy, Alter adds an additional fillip. He has appointed a jury of merchandising men to pass on Grunow's own new models.
Grunow Board of Directors, hitherto unpublished, is: Charles Albers, W. C. Griffith, Wm. C. Grunow, Herbert Lorber, A. G. Messick, Clare Scott, C. E. Whitehill.
Cunningham Steps Down
Resigns as RCA Manufacturing president but continues on Board. Throckmorton takes over duties, sans title
CAMDEN—E. T. Cunningham has resigned the presidency of RCA Manufacturing Company, continues as a member of its board of directors, is retained as counsel on production, sales and trade relations. G. K. Throckmorton, executive vice-president, assumes Cunningham's duties but retains his present title.
Says David Sarnoff, president of the Radio Corporation of America, of which RCA Manufacturing is a subsidiary: "Mr. Cunningham was appointed in 1931 to coordinate and to integrate the varied sales and manufacturing activities of RCA in the fields of radio tubes and receivers, Victor phonograph records, Photophone equipment, radio transmitters and miscellaneous radio products. Today these activities are consolidated in the RCA Manufacturing Company and this company is operating on a profitable basis. Having successfully completed the task of integration which he undertook, Mr. Cunningham has now requested that he be relieved of future active responsibility."
New Name In Sound
Vocagraph, Meck at helm, entered amplifier arena May 1
CHICAGO—John S. Meck, who swung a soldering iron on Thorola production lines in the early days, wrote snappy advertising copy for concerns such as Jewell, Operadio, Thordarson, Pioneer, Hallcrafters and Continental Carbon, more recently resigned the post of Clough-Brengle sales manager, is back in the radio ring as president and general sales manager of the newly formed Electronic Design corporation.
On the market May 1 came this firm's line of "Vocograph" sound equipment and accessories, to be merchandised through regular jobber channels.
VOCAL FOR VOCOGRAPH—John S. Meck, new president and general sales manager for the new Electronic Design Corporation
RCA Shuffles Execs
CAMDEN—From executive vice-president G. K. Throckmorton of the RCA Manufacturing Company comes the following news of RCA Victor sales executive changes:
Vance C. Woodcox, formerly manager of national field activities, takes over new supervisory sales activities under the general sales manager of package goods, H. C. Bonfig. F. D. Wilson, former central division manager, becomes manager of national field activities.
S. D. Camper, formerly Detroit district manager, now runs the central division, out of Chicago. L. W. Teegarden, former New York district manager, replaces eastern division manager John W. Griffin, resigned.
J. W. Cooke, former district manager in Dallas, has been appointed western division manager. J. E. Francis, former western division manager, will devote his time in a general supervisory capacity on the west coast.
F. G. Ostman, formerly national service manager, is the new district manager for Dallas. E. C. Cahill becomes national service manager.
J. K. West, former Philadelphia district manager, is now district manager for New York. H. H. Kronen, formerly sales rep in Boston area, becomes Philadelphia district manager.
W. H. Kelley, former sales representative in Chicago, has been appointed Balti-
Majestic Steps Up
Moves to Kenwood district, hires Hirsch, Lyons
CHICAGO—To a new building at 50th and Rockwell, in the heart of the Kenwood manufacturing district, goes N. L. Cohen with his Majestic Radio & Television Corporation. Replete with private railroad siding, complete daylighting, this thoroughly modern plant can turn out 2,500 receivers daily at peak, employ 1,500.
Newly appointed chief engineer is Charles J. Hirsch, graduate of Columbia, holder of A.B. and E.E. degrees, successively with Edison Laboratories, Fada, the Societe Mechanica La Precisa in Italy's Naples. To assist him is Walter Lyons, B.S., M.E.E. and M.S. from Toronto's McGill, more recently with Canadian Victor, Wells-Gardner, Emerson and Hazeline.
Elbow-Room For Solar
NEW YORK—Otto Paschkes, president of Solar Manufacturing Corporation, has just signed his John-Henry on a lease for an additional factory at the foot of West 23rd Street, Bayonne, will immediately move the company's electrolytic condenser production there. This adds 75,000 sq.ft. to Solar's facilities.
Office remains at 499 Broadway, New York City.
Bigger, Better Berndt
SYRACUSE—W. E. Berndt, one of central New York's leading jobbers who moved to bigger, better quarters May 15, says the new layout permits more lavish display, speeds up receiving and shipping of merchandise.
Southern Servicers Convene
DALLAS—The National Radio Service Association holds its Fifth Annual Convention here May 23, 24 and 25 at the Hotel Baker, simultaneously staging an exhibit of radio and electronic devices. Eighty-eight booths, many of which are already taken, are provided and talks scheduled are to include: "Establishing Better Credit Standing With Your Distributor" and "Cost Accounting Methods in the Radio Service Business."
F. H. Gable, 6821 Snider Plaza, is chairman.
Batteries By Appointment
PHILADELPHIA—From J. F. Kelly, Jr., export manager for the Electric Storage Battery Company, comes word that 10 tons of Exide batteries will be used by BBC in broadcasting the coronation ceremonies from London.
Brunton Moves
SAN FRANCISCO—Julius Brunton & Sons, operator of KJBS and distributor for Arvin, has moved to new quarters at 1470 Pine, expanding to handle mounting sales volume.
WHY DO INCREASING THOUSANDS OF DEALERS Pay Cash for Raytheon Tubes?
NOT BAD INTEREST ON YOUR MONEY!
IT costs upwards of 5% to "sell" tubes to dealers on any of the "no investment" finance plans. Who pays the 5% or more? In most cases it is you—the dealer. Under other policies the dealer is asked to get it from the customer. But it comes out of the dealer's "hide" either way.
Raytheon protects your investment because thousands of dealers know that (1) Raytheon is the tube with great consumer acceptance and fair list prices that insure faster turnover... (2) Raytheon is the tube that is not sold at cut prices, insuring full profit... (3) Raytheon is the tube that needs no apologies or explanations, due to its long established quality.
These facts are the reasons why increasing thousands of dealers and service men are finding Raytheon the safest and most profitable tube investment.
ASK YOUR JOBBER
See Raytheon display Booth No. 91, Radio Parts Manufacturers' National Trade Show, Stevens Hotel, June 10, 11, 12 and 13
RAYTHEON
RAYTHEON PRODUCTION CORPORATION
420 Lexington Ave., New York, N. Y. 445 Lake Shore Drive, Chicago, Illinois
55 Chapel Street, Newton, Mass. 555 Howard Street, San Francisco, Cal.
415 Peachtree Street, N. E., Atlanta, Ga.
RAYTHEON IS THE MOST COMPLETE LINE—ALL TYPES OF GLASS, OCTAL BASE, METAL, RESISTANCE AND AMATEUR TRANSMITTER TUBES
Barnstorming Three B's
Philadelphia Orchestra plays Brahms, Beethoven, Bach in major cities for RCA-Victor
CAMDEN—Effective hypodermic for record sales is the current coast-to-coast concert swing of the famed Philadelphia Orchestra featuring compositions by Brahms, Beethoven and Bach for RCA-Victor. Directed by Eugene Ormandy, who will periodically relinquish his baton to pianist-conductor Jose Iturbi, Leopold Stokowski and Charles O'Connell, the orchestra started and will finish its tour with a nationwide-broadcast on "Magic-Key" time, is now barnstorming in a special 10-car Pullman.
Welcomed with open arms by record retailers spending advertising and display tie-in money freely, the caravan has already played Nashville, New Orleans, Memphis, Little Rock, St. Louis, Tulsa, Dallas, El Paso, Los Angeles, Pasadena, San Francisco, Salt Lake, Denver, Lincoln, Des Moines, Minneapolis, Milwaukee, Ann Arbor, Toledo and Toronto. On the circuit are Montreal, Northampton and White Plains, where the tour comes to an end May 20-22.
Cleverly ballyhooed in advance to Kiwanis, Rotarians, by music-critic Peter Hugh Reed, the tour has already earned the plaudits of music-lovers. Grandstand publicity stunt was a broadcast from the train's baggage car, converted into a temporary studio, while the special was in motion.
Whole Plant Transplanted
Helson enters model factory in Connecticut, opens new display-sales offices in N. Y.
NORWALK—From New York to this city comes the Helson Radio Manufacturing Corp., into a 52,000 sq.ft. plant set in the center of a three and one-half acre plot permitting future expansion. At 116 Main, this plant will have every modern facility for straight-line radio receiver production. Charles S. Halpern and Philip J. Halpern are in full charge of operations. Z. Benin, chief engineer, has been installed in a laboratory providing the last word in experimental and design facilities.
Simultaneously with the opening of this new plant, the management sets up extensive display and sales offices at 136 Liberty, in New York City. A complete line will be stocked here for convenience of metropolitan dealers, and local facilities will be available. The export department will function from New York and Lewis E. Dortman, the company's general sales manager, will make it his headquarters.
FRONT MEN FOR FACTORIES
EMERSON—Holman's Inc., of Sumter, S. Carolina, headed by H. L. Salisbury, now has this line in central South Carolina. Electrical Specialties, Detroit, C. Schmidt and R. A. Wallace at the helm, has it in southeastern Michigan. Nashville Clair, under Ed Lindahl and Al Mayes, gets the Nashville and central Tennessee territory. Howard Bristol of Fergus Falls, Montana, is honored, western Minnesota and eastern North Dakota. Commonwealth Utilities, Chicago, headed by S. E. Schulman, H. Muller and J. Grosman, now has Emerson in northern Illinois and Indiana. Arthur Fulmer of Memphis takes hold, E. Bowen directing, in western Tennessee, northern Mississippi, southeastern Missouri and southwestern Kentucky. Philadelphia Motor, W. D. Harris in charge, gets Allentown, Pa., and vicinity.
G-E—Lee Cooper, formerly with a Philadelphia wholesale house and well known to the Pennsylvania trade, has been appointed radio specialist for the Allentown, Lancaster and Williamsport areas. Shelley York gets a similar appointment on the West Coast, headquartering in San Francisco.
GIRARD-HOPKINS—New agents: Arthur H. Baier, of 2015 E. 63rd St., Cleveland, covering the state of Ohio; Alvin C. Leonard, 253 Plymouth Bldg., Minneapolis, working in Wisconsin, Minnesota and the Dakotas; Theo. W. Keller, 303 Harrison St., Council Bluffs, for the states of Iowa, Nebraska, Kansas and Missouri.
RADIOTRON—Zack Radio Supply, San Francisco distributor, coming up fast in the "ham" game, now has this tube line.
TRUTH, NOT FICTION—E. A. Tracey, Zenith's vice-president in charge of sales, practically made his room in Chicago's Henrotin Hospital a branch office last month 24 hours after an operation. So reports our local newshound, picturing the situation thus.
Enter, Interstate Ass'n
New serviceman-dealer club formed in upstate N. Y.
ELMIRA—Latest trade association to form is the Interstate Radio Association, meeting every other week in rooms donated by the Elmira Association of Commerce, admitting servicemen and dealers to membership for $1 per year. Less than 3 months old, already boasting 90 members from as far away as Pennsylvania, the club is primarily educational, hears prominent speakers from the industry's list every other meeting, is conducted as a school by Professor Ralph Palmer on alternates.
Robert French is president; Joseph Douglas, vice-president; LeRoy Argyle, secretary; William Ozard, treasurer; Ralph Palmer, committeeman on education, and Harold F. Jenkins, membership committee chairman.
Already on the club's list of speakers have been John F. Rider; Harry Kalker of Sprague; Walter Jones of Sylvania; Harry Segar of National Union; and Professor Wm. Ballard, Jr. of Cornell University. Scheduled for spring meetings are Billie Thomas of Radiart, John S. Meck.
IT'S WALLIE — Walter J. Bauman, vet radioman formerly with Bremer-Tully, Crosley and United Reproducers, who has just become sales manager for the Ariston Mfg. Co. of Chicago, maker of speakers, wet and dry electrolytic condensers.
More Reps. For Pilot
LONG ISLAND CITY, N. Y.—Long important in the export field and a factor in the domestic market, the Pilot Radio Corporation is further intensifying its drive for additional distribution in this country by expanding its domestic sales organization.
Sold for two years to franchised retailers solely through factory representatives under a novel merchandising plan designed to insure stability of prices, discounts and territorial protection, the line is to be further pushed by additional personnel. Applications from qualified sales representatives in Bos-
ton, New Haven, Buffalo, Chicago, Milwaukee, Cleveland, Denver, Atlanta and other cities are now being considered by M. B. Sleeper and other Pilot executives.
Reason for sales organization expansion, according to Sleeper, is recent acquisition of additional plant space in the company's building at 3706 36th Street.
Patent For Sonora
NEW YORK — The Sonora Electric Phonograph Company's "Melody" model armchair phonograph, offered the trade two months ago, has proven so popular with the trade that the company's management has deemed it desirable to obtain a design patent on the style.
Available with or without a radio, for a.c. or a.c.-d.c. operation, the unit contains album space sufficient to accommodate more than 100 records.
Gone With Breeze
CHICAGO—Lloyd Hapfield has just joined the Breeze-Electric Corp., manufacturer of "Supercharger" wind-driven chargers, and will be Southwestern division manager, with headquarters at Wichita. Lloyd was formerly with S. A. Long Electric, Zenith distributor, and General Household Utilities' sales department.
Show For Bostonians
Distributors exhibit radio-electrical wares at Copley Plaza June 22, 23
BOSTON—To the first floor of the Copley Plaza Hotel 3000 dealers vitally interested in new radio and electrical appliance lines will trek June 22 and 23. The Radio Wholesaler's Club, Inc. is holding its 10th Annual Radio & Electrical Trade Show at that time, limiting admission strictly to dealers, their salesmen and servicemen, excluding the public.
Continued will be the Club's practice of awarding a $50 door prize, according to the show committee consisting of Thomas Burke, chairman; Alan Steinert, Hollis Vaughan and L. Warner. Campbell-Fairbanks Expositions, Inc., is again handling decoration details.
BUSINESS-BENT FOR BENDIX — Technician Tim Murphy, chaperoning Bendix Day-Rad testing equipment samples, shoves off from the plant in the first of an educational fleet trekking dealer-ward. David E. Johnson, sales manager, and F. G. Willis (foot on running-board), vice president, wish him bon voyage.
No matter where you're located, you can make money selling SERVEL ELECTROLUX
Any family anywhere is a prospect for this different refrigerator
SERVEL ELECTROLUX — the refrigerator in which a tiny flame takes the place of all moving parts — can be operated on virtually any type of fuel.
For city and town homes, it runs on either manufactured or natural gas.
For farm and other country dwellings, it runs on kerosene or bottled gas.
Thus, a dealer — no matter where he's located — can make money with this different refrigerator. Every family is a prospect. And, today, Servel Electrolux is helping the dealer sell prospects everywhere with the greatest advertising campaign in its history.
National magazine advertising is telling the story of Servel Electrolux to more than 32,000,000 people a month.
Radio's greatest dramatic show — "The March of Time" — is broadcasting the advantages of this different refrigeration to millions more every week.
These exclusive advantages have been established by Servel Electrolux' amazing performance record during the past ten years. Permanent silence, low operating cost, lasting satisfaction — these have become bywords for the refrigerator that has no moving parts.
1937 gives you a big opportunity. An opportunity to profit from Servel Electrolux' proved performance, its ever-mounting popularity, and from a really sensational advertising program.
There are several dealer franchises still open. Write at once for information. Servel, Inc., Servel Electrolux Sales Division, Evansville, Indiana.
NOW ON THE AIR FOR SERVEL ELECTROLUX DEALERS — "The March of Time," one of radio's most popular shows, every Thursday evening, 10:30 P.M., E.D.T., over the Columbia Broadcasting System. Sponsored by Servel, Inc.
THESE EXCLUSIVE SELLING POINTS ARE YOUR STAR SALESMEN
- Permanent Silence
- No Moving Parts To Wear
- Lasting Efficiency
- Continued Low Running Cost
- Finest Modern Beauty
- Every Worthwhile Convenience
Big Little Set Booster
Emerson's Hast, completing trade swing, reports interest high in concern's book, "Big Business of Small Radio"
LITTLE ROCK—Emerson's classy and convincing book called "The Big Business of Small Radio," produced as the company's 1937 opening campaign gun, is making dealers and distributors sit up and take notice, reports Nate Hast, general sales manager. Nate left New York early in April, hit as far north as Minneapolis, as far west as Denver and as far south as New Orleans, found his customers up to their ears in small set psychology.
"Dealers, especially in the South, are going to keep radio pressure on this summer" advises Nate. "I attribute much of the trend toward summer radio selling to the effect of our properly timed drive."
Show Date Set
NEW YORK—A Fall show is to be conducted by Radio Parts Manufacturers National Trade Show, according to K. A. Hathaway, with the date tentatively October 25. Scene of the exhibit will probably be the Port Authority Building and headquarters the Hotel Victoria.
Questioned concerning the reason for planning the display downtown and headquarters in the mid-town area Hathaway pointed out that there was no hotel which could provide the space probably to be required for exhibits and that the City subway provided an almost perfect door-to-door service between the two points named.
Details are to be announced at a later date.
Radiobar Promotion Stunt
NEW YORK—Cleverly planned to swell both replacement and new set business in the metropolitan market is the Radiobar Company's current offer of two receivers for the two best consumer letters entitled: "Why I Am Glad I Bought a Radiobar" and two more for the two best betters entitled: "Why I Would Like to Own a Radiobar." For the next four best letters in each classification complete sets of Radiobar glassware are to be awarded.
Entrants must obtain blanks from dealers.
Arcturus Addition
NEWARK—William (Bill) J. Johnston has joined the equipment sales division of the Arcturus Radio Tube Company, will headquarter at the company's branch office at 1301 South Michigan, Chicago, contacting receiver and equipment manufacturers in the middle west.
Winking Girl
NEW YORK—Cleverly contrived to stop at least the male population is Hygrade-Sylvania's latest display novelty. Miss Sylvania, life-size dressed as a pert bellhop in red jacket and brass buttons, winks wickedly as a light flashes behind her right eye. Two actual tubes are poised on a tray in her hand.
Paul Hesse, photographer extraordinary, is responsible for the picture.
INTER-COMMUNICATORS
Several new makers, many new models, have appeared on the scene since "Radio Retailing" published its original pictorial review in December, 1936.
PRIVACY, TOO—This particular Teletalk model provides several channels, has an external mike and phone in addition to the usual speaker. [Webster Electric Co., Racine, Wis.]
STREAMLINE STYLING—Here's the control unit of the Bulletphone, achieving novel appearance through the use of a popular microphone-type case plus a telephone base. [Transducer Corp., New York]
STEEL FOR STRENGTH—Made in steel for utility applications such as this one and in wood for offices or the home, this unit is extremely flexible. [Operadio Mfg. Co., St. Charles, Ill.]
COMPACT CONTROL—This new and novel unit with a 45-degree angle case comprises speaker, mike and switch. An external amplifier is used. [Sound Systems, Inc., Cleveland]
BEDSIDE MANNER—In the home, as well as in business, the Transfone does a job. Its uses around the house are legion. [Transfone Corp. of America, New York]
MINIATURE SWITCHBOARD—Busy businessman can reach anyone in the plant by flipping the proper toggle. [Conversafone Co., New York]
SERVICE SIMPLIFIED—A reasonably-priced new model produced by a long-in-business maker of inter-communicating devices. [Dictograph Products, New York]
ADDED FEATURES—This Electracall model is somewhat more elaborate than units introduced earlier, still carried in the line. (United Scientific Labs., New York)
FROM ANY POINT—No need to stop what you are doing as you can speak or hear from any part of the room. (Philco Radio and Tel. Corp., Philadelphia)
ANOTHER NEW MODEL—A Belfone hot off the production lines in many different types. (Bell Sound Systems, Columbus, Ohio)
APPEARANCE PLUS—Amplicall, available for two stations or several, is as neat and compact as any well-styled radio. (Webster-Chicago)
FLEXIBLE LINE—One of the several new Communo-Phone devices. (David Bogen Co., Inc., New York)
CARRIER-EYE—If the person who is receiving wishes to talk, the Carrier-Eye indicates this to the other station. (American Carrier Call Corp., New York)
SLANTED FOR SOUND—A new design trend attracting attention is exemplified in this unit, part of a complete line including types with telephone-type selector dials. (Electronic Sound Labs., Inc., Hollywood)
STEP SAVER—Organizations, both small and large, will find this inter-office system an aid to quick communication. Two to six stations. (Universal Sound Systems, Inc., Cleveland)
Radio Retailing Announces...
In its June issue, Radio Retailing becomes the *Radio Industry Trade Show in Print*...a "national trade exposition" between the covers of the nation's authoritative radio publication...the meeting place of makers and their products, sellers and service men of the industry...where the industry gets the low-down on what's what and who's who in radio.
**New Editorial Arrangement**
For this occasion Radio Retailing takes on special editorial dress and arrangement. It will be bigger...more colorful...more dramatic than ever...arranged for easy-reading and ready-reference.
Figuratively speaking, the big June issue of Radio Retailing takes its army of readers by the hand, leads them from "floor to floor" through its "printed convention hall"...from "booth to booth"—"exhibit to exhibit"—starting with receiving sets, going on to parts, sound systems, testing equipment, accessories, etc.
Products are pictured...specifications are given in details...prices are quoted—even manufacturers' literature is described.
But that isn't all! There's more to the "trade exhibit in print" than this!
**Guide to Trade-in Allowances**
In addition to its regular features (many of them exclusive with Radio Retailing) the June issue introduces new and vitally important elements...data never before given the trade.
Most important of these innovations is Radio Retailing's *Radio Industry Standard Guide to Trade-in Allowances*...giving trade-in values on all makes and models of radio sets!
There'll be a special section devoted to this information—worth the "price of admission alone!"
**June Contents Sectionalized**
The entire big book will be sectionalized; products will be classified by product groups—each group receiving special editorial background...historical...informative...inspirational. The manufacturers' "exhibits" will, where possible, be grouped to receive the benefits of this editorial background.
A Great "Reserved Seat" Audience
The Radio Industry Trade Show in Print will have a "reserved-seat" audience of 29,000 as follows:
1. The big distribution to Radio Retailing's regular reader - audience, totalling over 21,000 (19,700 full paid).
2. An extra distribution to 5,000 hand-picked radio dealers and service men who do not receive Radio Retailing regularly.
3. And for those interested in the National Radio Parts Trade Show a special show edition of 3,000 to be distributed at Chicago. Note: (available only to advertisers whose copy is received by May 28).
Special Parts Show Edition
The special National Radio Parts Trade Show edition will include preprints of all advertisements in the regular big June issue of Radio Retailing, for which copy or plates are in our hands by May 28th.
We repeat: advertisers who would avail themselves of this extra 3,000 distribution at no extra cost only have to reserve space, and make sure that copy is in before that deadline — May 28th.
Extra Long-lived Usefulness
The June issue becomes the current reference medium and sales manual of the radio industry. Its factual, historical inspirational and reference data will give it extra long life...cause it to be read, referred to and used for at least six months — probably longer.
THE ADVERTISERS' OPPORTUNITY
All these extra features—special editorial background ...long-lived, useful editorial content ... 5,000 extra distribution of the regular issue ... additional 3,000 Parts Trade Show edition—a total of 29,000 ... mean exceptional opportunity for the manufacturer-advertiser, because he pays no "extras" for all this extra value! There is no increase in advertising rates for the June issue.
Remember These Dates!
There's only one stipulation: advertising must be received on or before these closing dates:
FOR PREPRINTING IN THE SPECIAL NATIONAL RADIO PARTS TRADE SHOW EDITION—MAY 28.
FOR RADIO RETAILING'S REGULAR JUNE ISSUE—"THE RADIO INDUSTRY TRADE SHOW IN PRINT"—JUNE 7.
For further particulars, address
RADIO RETAILING
330 W. 42nd St., New York City
EXTRA OPPORTUNITY FOR ADVERTISERS
Special and regular editorial features and sectional grouping provide exceptional background for manufacturers' announcements — greater reader-interest — extra long-life of the June issue!
Great "class" distribution — 29,000 copies!
21,000, (19,700 full-paid) to Radio Retailing's regular readers
5,000, to selected dealers and servicemen
3,000, distribution of special Parts Show edition, carrying all advertising received by May 28
This extra distribution at no extra cost!
(Radio Retailing is the only A.B.C.—A.B.P. Publication in the radio field)
**RCA-VICTOR**
*RCA Mfg Co., Inc., Camden, N. J.*
Models: 85BK, 85BT, Pak-O-Powr.
Description: Farm radios, 5 tubes; 530-1720 and 2100-22,000 kc.; minimum battery drain by use of class B power system with a special driver stage; permanent magnet speaker; magnetite core if. transformers; magnetite tuned oscillator coils; shortwave stations listed on dial; ave; connections for record player. Model 85BT, upright table set; 85BK, console.
While both are designed for 2-volt power supply using standard A, B and C batteries, RCA Victor has introduced a conversion unit called the Pak-O-Powr, that adapts the new sets to 6-volt operation.
Prices: 85BT, $42.95; 85BK, $30.95; Pak-O-Powr, $10. —*Radio Retailing*, May, 1937.
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**LIFETIME**
*Lifetime Corp., 1010 Madison Ave., Toledo, Ohio*
Device: Trumpet units.
Description: Electro-dynamic and permanent magnet speaker units; new diaphragm and head assembly is interchangeable on any Lifetime unit; by keeping an extra head assembly on hand quick diaphragm replacements can be made in emergencies.
Prices: P.M. unit, $45; electro-dynamic, $55; extra head assembly, $30; diaphragm, $10. —*Radio Retailing*, May, 1937.
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**U. S. E.**
*United Sound Eng. Co., St. Paul, Minn.*
Device: Amplifier.
Description: Type 20-C comes in a heavy gauge steel, die punched cabinet with rounded corners, finished in smooth telephone black. Microphones are etched aluminum.
Type 20-E has twenty watts output using 6L6 tubes and is provided with independent faders for two high impedance microphones. —*Radio Retailing*, May, 1937.
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**STANCOR**
*Standard Transformer Corp., 850 Blackhawk St., Chicago, Ill.*
Device: Auto-radio test pack.
Description: Source of direct current for demonstrating auto-radios and accessories under actual service conditions; also serves as a precision source of low-voltage current for testing auto sets and parts; protected with a circuit breaker in the primary; equipped with accurately calibrated meter; special surge suppressor; electrostatically shielded.
Three models: Junior suitable for operating one-average auto radio; Standard, 2 sets; DeLuxe, 4 sets. Latter has Hi-Lo switch and continually variable voltage control. —*Radio Retailing*, May, 1937.
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**CROSLEY**
*Crosley Radio Corp., Cincinnati, Ohio*
Models: Refrigerators with built-in radio.
Description: Choice of several models; five tube superhet radio is mounted in top of refrigerator; refrigerators are so constructed that the tops equipped with radios and those without are instantly interchangeable; chromium dial frame and knob to match hardware; radio is in no way connected with the operation of the refrigerator. —*Radio Retailing*, May, 1937.
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**WEBSTER ELEC. CO.**
*Webster Electric Co., Racine, Wis.*
Device: Magnetic pick-up.
Description: Critically damped armature which eliminates resonance peaks and transient response; bearing and arm design coordinated to maintain uncompensated bass response and smooth tracking; inherently light construction which eliminates need for counterbalancing and detrimental inertia effect; both vertical and lateral stops.
Price: $8. —*Radio Retailing*, May, 1937.
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**BRACH**
*L. S. Brach Mfg. Corp., 55 Dickerson St., Newark, N. J.*
Device: Store demonstration antenna system.
Description: Provides simultaneous reception for several receivers, designed for noise reduction and all wave lengths. —*Radio Retailing*, May, 1937.
Device: 773 tube checker.
Description: Unusual operating flexibility; designed as a "matched companion unit" for the 772; 772 and 773 may be purchased in a single combination; features "anti-obsolence" circuit and switching system; 43 in meter; total emission tests are made on a specific load basis; has "noise-test" jack, where headphones or amplifying unit may be plugged, to check on possible sputtering, frying or other tube noise in any or all electrode circuits; hot-cathode leakage test provided; direct reading line-voltage reading can be made through a toggle switch at any time tube is under test.
Convenient model has rotator-type reference index which brings tube-test data instantly into view beneath glass-covered opening; operating controls and trim on panel stand out in brilliant red and chromium against glossy black background.
—Radio Retailing, May, 1937.
Device: Burglar alarm.
Description: A "package" burglar alarm for homes and businesses; no separate-mounted light source required; complete in a single unit; installed in 30 seconds.—Radio Retailing, May, 1937.
Device: 30 watt beam power stage.
Description: Class A power amplifier; designed for heavy duty operation; suitable for all p.a. applications requiring more than 30 watts power; sturdily built with all parts enclosed.—Radio Retailing, May, 1937.
Model: 26 portable.
Description: 6 tubes, superheterodyne, ac-dc, dynamic speaker, self-contained aerial, illuminated dial. Available in black or brown fabricoid or blue, green, red or brown striped airplane cloth.
Price: $29.95.—Radio Retailing, May, 1937.
Model: P.M. speaker.
Description: Comes in two pieces; if cone becomes damaged it can be replaced without returning entire unit to factory; closed magnet circuit is maintained and does not need to be returned to factory to be re-magnetized; 5, 6 and 8 in. sizes.—Radio Retailing, May, 1937.
For farm, home, camp or wherever "city" electricity is unavailable "PINCO" Gold Crown gasoline engine-driven light and power plants have no equal. These heavy duty, sturdily built, large capacity power plants will provide ample power for city lighting, washing machines, electric tools and appliances, etc., for only a few cents per day. Available as follows: 32 to 110 volts D.C., 600 to 1500 watts. Push button starting. Also 110 volts A.C., 600 to 1500 watts, trouble-affording electric lighting without a flicker. Gold Crown plants will give years of dependable, uninterrupted service. Prices from $149.50 up, f.o.b. Chicago. Mail coupon for complete information.
A light weight, portable, economical power plant for lighting, radio, battery charging and operation of home and farm electric tools and appliances. Push button starter, ammeter, "V" belt pulley, cut-out relay, etc. Price $47.95 list, f.o.b., Chicago.
A dependable power supply for police air craft and marine radio service and sound systems. 110 to 1000 volts D.C. output, 6, 12, and 32 volt input. Various capacities. Compact and light weight.
PIONEER GEN-MOTOR CORPORATION
Dept. No. R-1EE, 446 West Superior Street, Chicago, Illinois.
Please send complete information on:
- [ ] "Gold Crown"
- [ ] "Baby Jumbo"
- [ ] Converters
- [ ] Dynamotors
NAME ...........................................
ADDRESS ........................................
CITY ...............................................
STATE ............................................
MAIL COUPON NOW!
**UTAH**
*Utah Radio Products Co., Orleans St., Chicago, Ill.*
**Device:** P. M. speaker.
**Description:** Thirty-four models with cone diameters ranging from 5 to 14 in., employing magnets weighing from 5 to 46 ounces and with output capacities as high as 30 watts. A new type molecular structure in the magnet greatly lengthens magnetic life, the statement reads.—*Radio Retailing*, May, 1937.
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**DU MONT**
*Du Mont Laboratories, Inc., Upper Montclair, N. J.*
**Devices:** 3-in. oscillograph; cathode ray tube.
**Description:** Oscillograph—designed especially to be used in conjunction with any standard frequency modulator and oscillator or with any of the new designs of frequency modulated oscillators; employs Du Mont type 34-XII 3 in. cathode ray tube; amplified sweep with a frequency range which allows observation of a single wave from 15-30,000 cycles per second.
24-XII 2-in. cathode ray tube is of the high vacuum type with four electrostatic deflection plates, two common, mounted in a glass envelope having a full 2-in. fluorescent screen.
**Prices:** oscillograph, $34.50; tube, $7.50.—*Radio Retailing*, May, 1937.
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**SIMPSON**
*Simpson Electric Co., 5216 W. Kinzie St., Chicago, Ill.*
**Devices:** Set tester; panel instrument.
**Description:** At 20,000 ohms per volt the set tester has full scale voltage readings of 2.5, 10, 50, 250 and 1,000 for d.c. and the same a.c. ranges at 1,000 ohms per volt. Readings as low as 1 microampere and up to 500 milliamperes are available. A 25 amp. range for checking the current draw of auto radio is also included. Resistance readings range up to 40 megohms and tests as low as ½ ohm can be made accurately.
Panel instruments with bridge type construction and short iron pole pieces are also announced in the low-price range. Increased initial accuracy and lasting accuracy are claimed for this construction.—*Radio Retailing*, May, 1937.
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**TOBE**
*Tobe Deutschmann Corp., Canton, Mass.*
**Model:** Door hinge auto antenna; condenser.
**Description:** Tapered door hinge antenna 40 in. long constructed of a special heat-treated and tempered steel finished in black enamel with a dash of red; easily mounted; of the type used on Tobe interference survey cars for several years.
Tobe also offers a blue ribbed Micronol transmitting condenser, processed in oil and designed to operate at 2,000 volts continuously; while essentially designed for amateur and commercial transmitting work, it is ideal for use in p.a. and amplifier systems.—*Radio Retailing*, May, 1937.
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**ACRO**
*Aero Tool & Die Works, 1401 Wilson Ave., Chicago, Ill.*
**Device:** Chassis cradle.
**Description:** Holds chassis in any position; special mechanical clamps hold chassis in vise-like grip; frees both hands for work; may be used to display chassis; made of steel.
**Price:** $4.85.—*Radio Retailing*, May, 1937.
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**BRUNO**
*Bruno Laboratories, Inc., 20 W. 22nd St., New York, N. Y.*
**Model:** Velotron microphones.
**Description:** Model SP, output,—55 db.; measures only 2x2½ in. and weighs, with 3-ft. cable, 5 oz.
Model WS is an improved Velotron enclosed in a die cast case; by an ingenious application of directional "buts" the angle of pickup at the front of the microphone has been widened considerably while that of the rear has been reduced.
**Prices:** SP, $13.50; WS, $31.—*Radio Retailing*, May, 1937.
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**OXFORD TARTAK**
*Oxford Tartak Radio Corp., 925 West Van Buren St., Chicago, Ill.*
**Model:** Permanent magnet speakers.
**Description:** Range in size from 3 to 14 in. in diameter.
In addition there is a trumpet type permanent magnet speaker with 6-in. cone housing for use with an exponential horn and a new spun aluminum exponential horn, model XA-22 is also offered for use in connection with the Permag trumpet or standard dynamic trumpet.—*Radio Retailing*, May, 1937.
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**RCA VICTOR**
*RCA Mfg. Co., Camden, N. J.*
**Models:** Record players.
**Description:** R-93-A, efficient motor insuring more constant speed of the turntable; improved pick-up and quieter operation.
Model R-93-2, de luxe model; completely new mechanism; both 10 and 12-in. records may be played with the lid closed; automatic starting of the turntable and bass compensation.
**Prices:** R-93-A, $18.50; R-93-2, $28.95.—*Radio Retailing*, May, 1937.
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**JACOBS**
*Charles F. Jacobs, 270 Lafayette St., New York, N. Y.*
**Device:** Antenna spreader.
**Description:** Made in both 5 and 7-in. diam. sizes; aluminum; facilitates erection of cage antenna or counterpoise.
"Lead-in" antenna spreaders, 2½ in. in diameter, also made.—*Radio Retailing*, May, 1937.
**TRIUMPH**
Triumph Mfg. Co., 4017 W. Lake St., Chicago, Ill.
Device: A-R-C battery tester.
Description: Voltage tests are made under loads comparable to normal operating conditions; ranges for 3 and 44 v. A batteries, tests made at 8 amp; C and B batteries tested at 20 ma. loads.—Radio Retailing, May, 1937.
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**ELAMCO**
Electric Amplifier Corp., 135 W. 25th St., New York, N. Y.
Device: Series B amplifiers.
Description: Two high gain channels are provided for crystal, sound cell, high impedance velocity and dynamic microphones, these channels may be mixed and volume controlled in each; four low gain channels are provided for magnetic and crystal phonograph pick-ups, radio tuners, remote lines, preamplifier outputs, etc.; built-in transformer with multiple output impedance of 4, 8, 15 and 500 ohms; tubes are mounted horizontally in a separate well-ventilated compartment at the top, available in standard, portable and rack-panel forms. Four models.
Prices: $87.50—$117.50. — Radio Retailing, May, 1937.
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**WEBSTER-CHICAGO**
Webster Co., 5622 Bloomingdale Ave., Chicago, Ill.
Model: Sound system.
Description: 30-watt, all-purpose, may be used on either 110 volt a.c. or 6-volt d.c., changeover by means of plug-in wire power pack; complete system consists of 30-watt amplifier with phonograph turntable, an integral part of the amplifier housing, new type crystal microphone and two heavy duty permanent magnet speakers.—Radio Retailing, May, 1937.
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**TOPSTREAM**
Automotive Radio Products Co., 1209 LaSalle Ave., Minneapolis, Minn.
Device: Auto aerial.
Description: Finished in chrome with black and chrome fittings; fits all models; installed with specially prepared cement and rubber vacuum cups; "V" type design.
Price: $5.50.—Radio Retailing, May, 1937.
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**HALLDORSON**
Halldorson Co., 4500 Ravenswood Ave., Chicago, Ill.
Device: Vari-Volt transformer.
Description: For the service man to use at his bench to adjust line voltage for any requirement; supplies voltages from 0-256 volts in 2-volt steps or from 0-128 volts in 1-volt steps. Power output, 250 watts maximum. — Radio Retailing, May, 1937.
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Write or wire TODAY for full information
ELECTRONIC DESIGN CORPORATION
162-A N. May St., Chicago, U. S. A.
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Distributors' Franchise
A proposition offering 100% complete protection and sales compelling merit is available in certain distributing centers. If interested, write at once.
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VOCAGRAPH SOUND SYSTEMS
Send at once new VOCAGRAPH engineering bulletins, complete catalog, and dealer net prices.
Name ____________________________________________
Address __________________________________________
City __________________ State ________________
Clip and Mail Today
PAGE 45
HIGH FIDELITY is the trend
- Brush sound cell construction is a "natural" for high fidelity. Faithful response over a wide frequency range is an inherent feature.
- When Brush microphones are rated as being flat in response, for a given frequency range, they ARE FLAT—No mechanical or electrical compensation is necessary.
- These facts have been realized and hundreds of sound cell mikes are being used for sound level analysis and calibration purposes—Plus the thousands in "P.A." and broadcast applications.
Technical Data on Request
The BRUSH Development Co.
3914 PERKINS AVENUE,
CLEVELAND, OHIO
Model: Desk stand.
Description: Radical departure from standard design; microphone may be rotated in practically any position; leaf spring suspension acts as shock absorber. A name plate is available with any number of letters up to 10.
Price: $4; nameplate $2.—Radio Retailing, May, 1937.
UNITED TRANSFORMER
United Transformer Corp.,
72 Spring St., New York, N. Y.
Models: Amplifiers.
Description: In one model four 25L6's are used in push-pull parallel to provide 8 watts output at 115 volts line; three stages are used providing a total of 85 db. gain; the audio unit is a single chassis and will operate directly on d.c. line; another chassis is used for the power supply.
Model PAK-5 uses a 6V6 beam power tube, 15 watts of power obtained through the use of three stages, providing 85 db. gain.
A high power amplifier for amateur service uses four 6L6's in the output stage, provides 70 watts self-bias or 110 watts fixed bias. A total of four stages are used to obtain 110 db. gain. May also be obtained for amateur service with a UTC Varimatch modulation transformer.—Radio Retailing, May, 1937.
TELECHRON
Warren Telechron Co.,
Ashland, Mass.
Model: Globetrotter clock.
Description: Round the world clock; the hands tell the time in any particular zone while the revolving outside numeral disc of 24 hours divided into dark for p.m. and light for a.m. shows at a glance the time in all sections of the world.
Price: 7.50.—Radio Retailing, May, 1937.
TRANSDUCER
Transducer Corporation,
30 Rockefeller Plaza,
New York City
Model: Bullet microphone in colors.
Description: Now available in red and ivory as well as black, or any combination of black, red and ivory. These combinations are made up by using one color for the rear section of the housing, with contrasting color for the front section.
Prices: Red or ivory, $27, black, $24.50.—Radio Retailing, May, 1937.
BENDIX DAYRAD
Bendix-Products Corp.,
South Bend, Ind.
Device: Cathode ray oscillograph.
Description: Built in sweep circuit; built-in amplifiers to adjust for the sensitivity of set; measures for peak voltage a.c. with or without amplifier; measures audio quality in audio amplifiers; frequency measurements by use of Lissajou figures; study of transient and recurrent wave forms; tests audio radio vibrators.
Price: $85.—Radio Retailing, May, 1937.
MICAMOLD
Micamold Products Corp., 1087 Flushing Ave., Brooklyn, N. Y.
Device: Wet electrolytic condenser.
Description: New design of the anode structure so that current has the shortest average path from the can to all points on the anode surface; elimination of the hard rubber liner not only further reduces the power factor, it is stated, but eliminates a material that often contains sulphides which cause anode corrosion. — Radio Retailing, May, 1937.
CROSLEY
Crosley Radio Corp., Cincinnati, Ohio.
Model: Roamio Fiver.
Description: Chassis is essentially the same as that used in new Crosley Fiver; one piece construction; mounts under instrument panel; fits in behind the dash; large illuminated dial; a.v.c.; five octal base tubes.
Price: $19.99.—Radio Retailing, May, 1937.
MILLION
Million Radio & Tel. Labs., 361 W. Superior St., Chicago, Ill.
Models: Testers.
Description: Model TM, tube tester, good-bad meter, neon leakage tests, makes all tests hot, all tubes.
Model TV same as TM but with analyzer scales as follows: Bypass condensers, .01 to 3 mf.; ohms (shunt scale) 0 to 10M; (series scale) 0-15 megohms; volts d.c., 0 to 30-300-900 at 5000 ohms per volt; microamperes 0-300; milliamperes 0-3-30-300-600; amperes 0-9.
Model VO, a.c.-d.c. volt-ohm - milliammeter: 0-3-30-300-900 volts a.c. and d.c. at 5000 ohms per volt; 0-300 microamperes d.c.; 0-3-30-300-600 milliamps d.c.; 0-10,000 ohms shunt scale; 0-7.5 megohms series scale with self-contained battery.
Prices: TM, $18.95; TV, $27.95; VO, $19.95.—Radio Retailing, May, 1937.
MILLER
J. W. Miller Co., 5917 S. Main St., Los Angeles, Calif.
Device: Universal power line filter.
Description: As name implies may be used for any filter application by simply making the correct internal connections; four sizes rated at 5, 10, 20, and 30 amp.—Radio Retailing, May, 1937.
ELECTAR
Epiphone, Inc., 142 W. 14th St., New York, N. Y.
Device: Microphone.
Description: Finger-tip control, permitting use with any guitar amplifier; bullet-shaped; 3-section stand; available in various impedances to match any amplifier or p.a. system; available in Chinese red or ivory or combinations of both.
Price: $45; $48 in color.—Radio Retailing, May, 1937.
ALL OF THIS ONLY $117 LIST
14-26 Watt PORTABLE P. A. UNIT MODEL 117
2 Heavy Duty Speakers... Veletron Microphone with Banquet Stand... electronically mixes two microphones and phonograph... all coming complete in a three piece SINGLE carrying case... compact, easy to carry... beautiful.
Model 124-W
22-40 Watt Portable Unit
Price complete with Model 822-P Amplifier, crystal microphone with floor stand, 2 speakers, all neatly mounted in leatherette covered carrying case .... $198.00
Amplifier alone with tubes ............ $85.00
The buy of all Portable Units... an outstanding value, a bargain if there ever was one. The HIGHEST powered quality unit you can obtain anywhere at SO LOW A PRICE, this is THE Unit you can't go wrong on.
PRICE—complete with tubes ........ $117.00
Amplifier alone, with tubes ............ $49.00
(Standard jobbers' and dealers' discounts on above)
The Most COMPLETE Line of Intercommunicating Systems, P. A. EQUIPMENT, P. A. SPEAKERS and RADIO REPLACEMENT SPEAKERS THE MARKET AFFORDS. EASY TIME PAYMENT PLAN.
THE PRICED RIGHT LINE... THE LIBERAL DISCOUNT LINE... THE 1937 PROFIT LINE!
Address Dept. R5R for New 1937 Illustrated Catalog
Something of Unusual Interest Awaits You At Our Booth 94... and Demonstration Room 505 AT THE PARTS CONVENTION
OPERADIO MANUFACTURING COMPANY ST. CHARLES • ILLINOIS
**You Can Get More FARM BATTERY Business with GLOBE!**
**THE COMPLETE LINE for every RADIO and LIGHT Requirement**
People who live away from "Power Lines" have confidence in Globe Batteries and know of them because of years of national advertising.
The new Globe radio and light batteries also offer dealers an unusual opportunity to build a lasting and profitable farm battery business. There is a Globe high efficiency battery to meet every power and light requirement—and farmers are spending more money for new equipment this year... Get your share of it!
In handling the Globe Line—with its 8 factories and 6 warehouses from coast to coast—you are also assured of immediate deliveries and good service. Get the Globe proposition! Mail coupon for Bulletin 87-A.
GLOBE-UNION INC., Milwaukee, Wis.
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**2-VOLT 6-VOLT GLASS JAR BATTERIES FOR RADIO AND LIGHTS**
for
Farm Homes
Summer Cottages
Camp Trailers
Freight Trailers
Boats and Yachts
Tenders
Filling Stations
Garages
Stores
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**RADIO RECEIVER**
Radio Transceiver Labs.,
8627—115th St.,
Richmond Hill, N. Y.
Model: Type HFM mobile crystal control.
Description: For 5 and 10 meters; designed to use a single quartz crystal 6L6 tube oscillator; a push-pull tuned grid circuit is employed in order to excite fully the 6N7 tube doubler. A 6C5 and a 6L6 are employed to 100% plate modulate the doubler stage. Standard input is for a single button microphone.
The entire transmitter is housed in a steel cabinet, 8½x12x6½ in. 150 M.A. at 300 volts and 6.3 volts at 2.9 amps, are required from the power supply.
Price: $45 net, f.o.b. New York, including coils for the four bands; Biley LD2 mounted crystal within 5 kc., $4.80; tubes $4.26.—Radio Retailing, May, 1937.
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**WRIGHT-DECOSTER**
Wright-Decoster, Inc., St. Paul, Minn.
Model: Speakers.
Description: Model 1136 auto speaker—a combination of a new cabinet and the 980 Nokoil permanent magnet reproducer; the screen covering the grille opening is dusted with a velvet fibre giving a velvet finished effect so that no grille cloth is necessary and the sound is allowed to come through freely; single stud or base mounting.
Model 596 incorporates the No. 482 5-in. Nokoil reproducer in an attractive steel cabinet; permanent magnet type; made especially for use as an extra or remote speaker; finished in black crystalline but may be had in any color at a small extra charge.—Radio Retailing, May, 1937.
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**KNIGHT**
Allird Radio Corp., 833 W. Jackson Blvd., Chicago, Ill.
Model: 11.
Description: Automatic dialing; 16-560 meters; giant color band dial; metal tubes; 12-in. speaker; a.f.c., a.v.c.; inter-station noise silencer; r.f. preselection.—Radio Retailing, May, 1937.
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**CLAROSTAT**
Clarostat Mfg. Co., Inc.,
285 N. 6th St.,
Brooklyn, N. Y.
Device: Attenuator.
Description: Handles considerable power with low insertion loss; safely dissipates 25 watts of power continuously, regardless of setting, and has a minimum insertion loss of 1.3 decibels, the statement reads. Standard surge or input impedances available are 8, 15, 50, 200, 250 and 500 ohms.—Radio Retailing, May, 1937.
**OHMITE**
*Ohmite Mfg. Co., 4835 W. Flournoy St., Chicago, Ill.*
Device: 1 kw Rheostat.
Description: Power rheostat; 12 in. in diameter; capable of controlling many types of loads formerly believed to require the button contact type of rheostat; constructed of metal and ceramic materials.—Radio Retailing, May, 1937.
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**RADOLEK**
*Radolek Co., 601 W. Randolph St., Chicago, Ill.*
Device: 8 watt amplifier.
Description: High gain, high fidelity amplifier; design permits use of crystal, velocity, dynamic and single and double button mikes; phono input for high impedance pickup; field current for one 1000 ohm speaker.—Radio Retailing, May, 1937.
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**GIRARD-HOPKINS**
*Girard-Hopkins, 1437 23rd Ave., Oakland, Calif.*
Device: Paper filter condensers.
Description: New series in full capacities of 1, 2, 4 mfd. in 600, 800 and 1000 working volts. Rectangular shaped containers in cardboard and aluminum with mounting provisions.—Radio Retailing, May, 1937.
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**REMLER**
*Remler Co., Ltd., 19th at Bryant, San Francisco, Calif.*
Model: Scottie radio.
Description: Entirely redesigned chassis; three models, all in same cabinet—Model 46, 4 metal tubes, police calls, 4, 5 metal tubes, a/c, 540-1715 kc. and 5.4-10.5 mc.; also an ac-dc model with 6 metal tubes.
Bakelite cabinet may be had in ivory, onyx or in black with ivory ornamentation.—Radio Retailing, May, 1937.
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**PHILCO**
*Philco Radio & Television Corp., Philadelphia, Pa.*
Model: Police auto radios.
Description: Two models—821 PV, a variable frequency set and 821 P which is a fixed frequency receiver equipped with a sealed precision quartz crystal; range 1550-3600 kc. Both are equipped with new high flux, permanent dynamic speaker, and improved Q circuit.—Radio Retailing, May, 1937.
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**ERIE**
*Erie Resistor Corp., Erie, Pa.*
Device: Insulated resistors.
Description: ¼ and ½ watt sizes; known as "ceramic-scaled" as they are completely covered with a preformed ceramic case and sealed at the ends with a high-dielectric ceramic cement which bonds itself to the insulating case, the tinned-copper terminal wires and to the brass cap covering the end of the solid molded carbon resistance pins. Will withstand as high as 3,000 volts a.c. without insulation breakdown; all resistance values from a few ohms to several megohms.—Radio Retailing, May, 1937.
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**THE NEW RED TOP GAS-O-LECTRIC POWER PLANTS**
NOW . . . an All Purpose A.C. and D.C. Power Plant
The new combination A. C. and D. C. RED TOP light and power plant is by far the most practical unit yet developed for farm, home, trailer, boat, etc. In one plant—both 110-V A. C. 300 watts for lighting, household appliances, small electric tools, etc.; and up to 325 watts D. C. for charging 6, 12, and 32-volt batteries. RED TOP power plants for D.C. only, 175 watts for charging 6 or 12 volt batteries, as low as $54.50. All have push button starter.
**INSURING YOUR PROFITS**
RED TOPS have 'what it takes' to insure big profits: 1. Priced right for volume sales. 2. Outstanding design and construction features. 3. Full line to meet every need (plants rated up to 2000 watts A. C. or D. C.). 4. Complete sales and merchandising helps. 5. Attractive discounts. 6. Sold only through established dealers and jobbers.
MAIL COUPON FOR DETAILS
PIONEER GEN-E-MOTOR CORPORATION, Chicago, Illinois
Manufacturer of "PINCO" Products
FOR A.C.-D.C.
LIST $98.50 FACTORY
**GO RED TOP IN 1937!**
THE COMPLETE EXCLUSIVE DEALER-JOBBER LINE
PIONEER GEN-E-MOTOR CORPORATION
Dept. No. R-IE, 466 West Superior Street, Chicago, Illinois.
Please send me complete information on the new RED TOP Gas-O-Lectric Plants.
NAME ...........................................
ADDRESS .........................................
CITY ...............................................
STATE ............................................
MAIL COUPON NOW!
PAGE 49
SINCE 1914 . . THE GREATEST NAME IN THE MUSIC REPRODUCING WORLD
Sonora
The TOPS
in faithful phonograph and radio reproduction
Now—you can supply your customers with just the type instrument that they have been looking for—a compact, artistically designed phonograph that will faithfully reproduce the depth and color of studio quality. And what is more it is obtainable with or without radio.
Write for our Dealer Proposition
Sonora ELECTRIC PHONOGRAPH CO., INC.
160 Varick St. New York, N. Y.
Janette Rotary Converters
The original D.C. to A.C. converters with all wave filters developed exclusively for radio and sound apparatus.
CAPACITIES:
35 to 3250 watts,
6, 12, 32, 115 and 230 volts
D.C. to 110 or 220 volts, 1 phase,
60 cycle A.C.
Insist on a Janette
Ask For Bulletin No. 13-25
Janette Manufacturing Company
555 W. Monroe Street, Chicago, Ill., U. S. A.
New York — Boston — Philadelphia — Los Angeles — Milwaukee
Here is the CORONATION
MODEL C.O.—$2.45
WARD’S
SENSATIONAL
HINGE AERIAL
Telescopic
Extends to 18 feet. Made of Stainless Steel and Chromium Plated Brass
Molded Porcelain Type Insulation.
WARD PRODUCTS CORPORATION MANUFACTURES
THE WORLD’S FINEST LINE OF AERIALS
TOP -- POLE -- UNDERCAR
SEND FOR CATALOG TODAY - PROMPT DELIVERIES
The WARD PRODUCTS Corp.
WARD BUILDING CLEVELAND, OHIO
HICKOK
Hickok Electrical Instrument Co., Cleveland, Ohio
Device: AC-51X tube tester.
Description: A combination tube tester measuring mutual conductance of all radio tubes; also indicates volts, ohms, milliamperes, output, microfarads, capacity leakage and decibels as well as amount of hum in filter systems; checks inductance of chokes with or without the d.c. component of current. — Radio Retailing, May, 1937.
ATLAS
Atlas Sound Corp., 1451—39th St., Brooklyn, N. Y.
Models: Acoustic "Vari-deflector."
Description: Solves the problem of adequate speaker coverage in indoor installations; may be mounted vertically or horizontally on any corner or wall surface; adjustable louvres; special internal acoustic treatment eliminates resonance and vibration; accommodates a.c., d.c. or p.m. speakers with cone diameter not exceeding 13 in. and a depth of 9 in. Finished in black and silver.
Price: $12.50.—Radio Retailing, May, 1937.
RADOLEK
Radolek Co., 601 W. Randolph St., Chicago, Ill.
Device: Hearing aid system.
Description: For theatres and churches; easily installed; high gain 15 watt amplifier with additional filter to provide distortionless reproduction; output is designed to feed any number of headphones up to 60; one or two dynamic loud speakers may also be used for sound reinforcement; headphone connections made to control boxes which mount on arm of the seat; featherweight headphones in the headband or lorgnette styles supplied. — Radio Retailing, May, 1937.
"RED HEADS"
SERVICE MEN PREFER "RED HEAD" CONDENSERS THEY’RE DEPENDABLE
R. M. A. VISITORS
While in Chicago pay us a visit. We would like to show you how "Red Heads" are made. We’ll be looking for you!
CONSOLIDATED NINE ARC CORPORATIONS
512 So. Peoria Street Chicago :: :: Illinois
**AMPERITE**
*Amperite Corp., 561 Broadway, New York, N. Y.*
Device: Velocity microphone.
Description: Cable connector of positive three-pin type; locking ring eliminates possibility of pulling connectors apart; cable connector is put on the shock absorber, not on the microphone itself.
All amperite velocity microphones and stands now available in eggshell white and pastel shades. Chrome and eggshell finish from stock; pastel shades matched to sample.
Prices: Chrome or eggshell, $1 extra; pastel, $2 extra.—*Radio Retailing*, May, 1937.
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**ABC**
*Altorfer Bros. Co., Peoria, Ill.*
Model: 127 washer.
Description: Swinging wringer with "touch release"; large oversize balloon rolls; fingertouch clothes feeder; French type agitator; porcelain tub with deeply embossed clothes flexers; capacity, 7 lb. clothes per load (dry weight).—*Radio Retailing*, May, 1937.
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**LAFAYETTE**
*Wholesale Radio Service Co., Inc., 100 Sixth Ave., New York, N. Y.*
Models: "Coordinated" sound systems.
Description: All components are matched for best results; available in 5 wattage ratings from 5 to 60 watts; call systems, church and auditorium installations, etc. included.—*Radio Retailing*, May, 1937.
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**TRIAD**
THE CHOICE OF SERVICE MEN BECAUSE THEY ARE USED BY LEADING SET MANUFACTURERS.
TRIAD MANUFACTURING CO. INC.
PAWTUCKET RHODE ISLAND
THE QUALITY NAME IN RADIO TUBES
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**WESTINGHOUSE**
*Westinghouse Elec & Mfg. Co., Mansfield, Ohio*
Device: Electric fans.
Description: Completely re-styled line; ultra quiet blades of Micarta; improved capacitor-type motor; streamline design for super air-flow; easy tilting, positive latch hinge joint for wall mounting.
Power-Aire models, 10, 12 and 16 in. sizes, desk, bracket and floor styles; Magna-Aire, 12 and 16 in. desk and bracket; standard a.c. oscillating fans, 8, 10 and 12 in.; Frost-aire, 10 in. oscillating fan for desk or floor; oscillating Whirl-aire for commercial use, counter and floor models.—*Radio Retailing*, May, 1937.
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**New REMLER INTER-COMMUNICATION SYSTEMS**
- Bakelite Cabinets
- 12 Stations Permit up to Six Simultaneous Two-Way Conversations!
Complete line of inter-communication units that will take care of practically every communication requirement. Prices start at $49.50 for two station systems. Outlying units may be added as required at $10.00 for wood, $12.00 each for molded plastic cabinets. Master units available, equipped in factory with required number of station selector keys for any number of outlying stations up to and including twelve.
Modern bakelite cabinets . . . superior selector system simplifies operation . . . high sensitivity, volume control and many other features. Approved listing by Underwriters Laboratories.
REMLER—SINCE 1918
Remler Systems backed by the reputation and stability of a trustworthy firm continuous under the same management for twenty years. Low prices . . . highest quality. Write for illustrated catalog and name of nearest distributor.
REMLER COMPANY, Ltd. 19th at Bryant San Francisco
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**QUALITY PLUS !!**
**ATR REPLACEMENT VIBRATORS for AUTO and FARM RADIOS**
*A COMPLETE LINE FEATURING*
- Longer Life
- Precision Construction
- Improved Performance
- Lower Prices
Backed by More Than Six Years of Experience in Vibrator Design and Research, Development and Manufacturing.
Insist on ATR Vibrators—The Best by Test
Mail the coupon TODAY for your FREE copy of the ATR VIBRATOR GUIDE along with the name of your nearest ATR Jobber.
AMERICAN TELEVISION & RADIO CO.
St. Paul, Minnesota, U.S.A. Cable Address: "Likex," New York
Manufacturers of D.C.-A.C. Inverters, "A" Battery Eliminators, Battery Chargers and Inverter Vibrators.
American Television & Radio Co., St. Paul, Minn.
Gentlemen:
Please send me a FREE copy of the ATR Vibrator Guide and the name of my nearest ATR Jobber.
Name ................................................................
Address ...........................................................................
City ................................ State..................................
Check here: [ ] Dealer [ ] Serviceman [ ] Experimenter
Thanks, Mr. Radio Dealer!
Breez-Electric did not pioneer the wind-charger, but — we did pioneer the idea of giving the dealer and distributor a profit for selling them!
Those of you who have seen the big, new SUPERCHARGER and watched it actually charge in a four-mile wind have found that it is easier to sell than cheap windchargers. The "Pennies from Heaven" sales plan has begun to bring sizeable checks floating your way.
To other dealers and distributors we suggest that you write today for full information. If you are located in a low-wind area we are particularly anxious to prove to you that
North, South
East, West—
SUPERCHARGER works anywhere!
BREEZ-ELECTRIC CORPORATION
450 N. Oakley Blvd.
Chicago, Ill.
ATLAS
Atlas Sound Corp., 1451 39th St., Brooklyn, N. Y.
Device: Adjustable floor stand.
Description: Maximum portability; can be raised to height of 8 ft.; adjustable rubber-tipped feet prevent wobbling; easily adjusted; locks securely with special clutch attachment; special saddle for mounting the baffle included as part of stand.
Price: $12.50—Radio Retailing, May, 1937.
HAMMARLUND
Hammarlund Mfg. Co., 424 W. 33rd St., New York, N. Y.
Device: Transmitting condensers.
Description: For high frequency and ultra-high frequency, medium and low powered units; both single and split stator styles in 19 sizes with capacities ranging from 20 to 530 mmfd. and breakdown voltages from 1000 to 6000 volts; either panel or base mounting; range in size from 4 in. to 61 in. long including 1 in. shaft.—Radio Retailing, May, 1937.
MILLER
J. W. Miller Co., 5917 So. Main St., Los Angeles, Calif.
Device: Air dielectric tuned series i.f. transformers.
Description: 70 per cent of the total capacity is fixed, and 30 per cent variable by means of semi-circular plates which are held under positive contact and permanently in position by a tri-fingered phosphor bronze spring, providing ease of adjustment. "Q" of approximately 10,000.
Available in both standard and variable selectivity types, with either air core or iron core.
Prices: $5-$6.50—Radio Retailing, May, 1937.
JEFFERSON
Jefferson Electric Co., Bellevue, Ill.
Device: Remote control switches.
Description: Mount to the rear of a panel with only switch handle protruding giving finger tip, master control over motor circuit contactors, safety and limit switches.—Radio Retailing, May, 1937.
CURRENT CATALOGS
The various forms of interference in domestic and auto-radio installations and methods of attacking them are disclosed in a vest pocket, 24-page booklet. Be sure to inclose your 10c when sending for it. Continental Carbon Co. Inc., 13900 Lorain Ave., Cleveland, Ohio.
Oscillograph data, describing a number of tests which may be made with this instrument, will be found in a technical bulletin released by Triumph Mfg. Co., 4017 W. Lake St., Chicago, Ill.
A vest pocket size chart illustrating the standard RMA mica capacity color code may be obtained from Cornell-Dubilier jobbers.
A comprehensive and profusely illustrated parts catalog, crammed with a wealth of valuable information for the serviceman, has just been issued by RCA for distribution through distributors.
12 pages of boiled-down facts and figures to "place" the small set business in the retailer's design for living, together with photos of the complete line, make up the booklet now ready for distribution by Emerson Radio and Phonograph Co., 111 8th Ave., New York, N. Y.
A useful list of universal escutcheon kits for 1935-36-37 cars will be found in the folder put out by Universal Controls, Inc., 21-07 40th Ave., Long Island City, N. Y.
To assist in speedily solving the more common radio set problems, the Ranger-Examiner engineers have compiled a new booklet, "Radio Troubles and Their Cures." Write to Readrite Meter Works, Bluffton, Ohio.
What is Aladdin Polyicon? Write for technical bulletin 536 put out by Aladdin Radio Industries, Inc., 466 W. Superior St., Chicago, Ill., for the answer.
Magic Magnet speakers, air column sound projectors and baffles are listed in the new catalog issued by Cinemagraph Corp., Stamford, Conn.
Because of the increasing interest in instantaneous recordings, dealers will find the folder obtainable from Presto Recording Corp., 139 W. 19th St., New York, N. Y., of real help.
An up-to-date copy of the 1937 complete catalog of Shure Bros., 225 W. Huron St., Chicago, with new and important revisions, will be sent upon request.
The first issue of "Instrument Topics," the new house organ of Clough-Brenne Co., 2815 W. 19th St., Chicago, Ill., has been mailed. The purpose of this publication is to gather together various procedures in the electronics field and put them together in a form for easy reference. Write to C-B if you would like to be added to the list.
Bulletin 202 of Crowe Name Plate & Mfg. Co., 1745 Grace St., Chicago, contains a quick-reference tabulation of controls for over 100 models of autoraudio. Illustrations and specifications of entire line also included.
Cognizant of the growing interest displayed by service men in technical explanations of internal and external functions and circuits of testers, Supreme Instruments Corp., Greenwood, Miss., has prepared Design Manual "A."
The increased use of voltage regulating wet electrolytes makes this section of the Solar exact replacement catalog extremely handy. Solar Mfg. Corp., 599 Broadway, New York, N. Y.
Compiled from the standpoint of helpfulness to servicemen, Sprague Products Co.'s (North Adams, Mass.) 1937 catalog has many pages devoted to condenser construction and radio interference elimination. Tel-U-How condenser guide also included.
Oil burner ignition transformers (electrical specifications and dimensions) are covered in a new folder published by Jefferson Elec. Co., Bellwood, Ill.
YOU NEED THIS GREATEST OF ALL SELLING AIDS!
EPCO STORAGE BATTERY ELIMINATOR
For Perfect Demonstration of Auto and other D.C. Radios
Provides 6 volt-10 amps, filtered D.C. from 110 volt A.C. Assures instant, adjustable current at minimum power consumption. Ends forever the messy battery-charging nuisance. Also efficient as battery-charger.
$19.75 List Price
As Illustrated Variable Voltage
ELECTROPAK
Supplies rectified D.C. for operating relays, motors and remote controls. Voltage ranges from 1.25 to 20 volts, rated at 2 to 15 amps. Operates on 110 volt A.C.
ADAPTOPAK
Operates A.C. radios in D.C. districts and 110 volt A.C. radios in autos and trailers.
ELECTRICAL PRODUCTS CO.
6537 RUSSELL AVENUE DETROIT, MICHIGAN
2-in-1 MIKE
(Direction or Non-directional)
AT LOW COST!
The "Salt-Shaker" is ideal for all types of public address work. With the acoustic baffle in place (as shown) it's a directional mike. Take off the baffle, and it's non-directional. Either way, it assures regular Western Electric broadcast quality. Its high performance and unusually low price make it a hit everywhere. Dealers, use and specify the 633A!
For full details: Graybar Electric. In Canada: Northern Electric Co., Ltd.
Western Electric
GRAYBAR ELECTRIC CO., Graybar Building, New York
Please send me new bulletin on Western Electric 633A Microphone.
Name ________________________________________
Address _______________________________________
City __________________ State _________________
GAS STATIONS SELL FOR TRADE
(Continued from page 19)
they will suit your purpose because of their reputation, have a talk with the proprietor. Explain that you have a proposition whereby you can increase his station traffic in addition to adding to his profits at no risk to himself. He need make no investment nor take any risks. His attendants will benefit also in added earnings. Surely, this will appeal to him.
Offer to place on demonstration in his station one or two models. Tell him that you will pay to him a ten per-cent commission for every order taken for an auto radio. You will install and service them for a period of three months or more. All he and his men need do is take the order.
Offer to coach the station attendants in the fundamentals essential to the sale of auto radio. Very often you may find them as well posted as you are on the features which appeal to the buyer. Don’t require them to fill out complicated contracts or papers. You or your installation man can and should do that when the buyer takes delivery on the completed job. In the case of time payments the regular chattel mortgage form can be filled out at that time and the necessary signatures secured before the car is released.
The alert and wide awake radio and appliance dealer usually maintains a crew of outside salesmen to whom he pays a commission ranging from ten to fifteen per cent. Why not make the gas station your outside department? The average good sized gas station selling around 25,000 gallons of gasoline per month makes at least 5,000 contacts in that time. Do you know of many retail stores which serves that many people or have such a tremendous potential market? Do you know of any outside salesman who contacts 5,000 prospects per month? Or 5,000 in six months? Even a small gas station, well located, sells 10,000 gallons per month. At five gallons per car that’s 2,000 contacts.
Then why not build up a crew of “outside” gas stations at which you can display your line of auto radios? You can well afford to pay a sizable commission for this “plus” business. And the best part of all is that you can do this at no extra cost or outlay. Just a little effort.
Most of these gas station attendants are known by their first names
to the car owner. Gas stations are conducted on a basis of friendship and confidence between seller and buyer. With gasoline selling for about the same price all over, why should the buyer go to any particular station? Confidence, that's the reason. Confidence. Then why shouldn't you hire this man who by the sheer weight of his personality is carrying on a successful business in your community?
Very few gasoline stations have taken on auto radio. Perhaps they fear that doing so will involve the expenditure of too much needed money or that the volume of sales will not prove worth while. Then, there is the problem of competent service and installation men. Who can blame them? But, you, as a radio dealer, have all these things already and need only what the gas station has—"a prospect list."
A car owner as a rule loves his car almost as much as his wife. And that's no joke. He doesn't want anyone else to drive his car and is very suspicious of anyone in whom he lacks confidence, tampering with it. On the other hand, he just loves to fuss with it. The service station man however enjoys his respect because of his occupation and he likes him to suggest needed repairs or adjustments. Endorsement of the auto radio by the service station men carries a vast amount of weight.
Furnish your new salesman with a price list and the weekly or monthly terms for the time payment buyer. Have them printed on a card for quick and easy reference. Suggest that it be carried in the hat, readily accessible. Remember that you must make it as simple as possible. Service station men are no great shakes as bookkeepers.
**Promoting the Plan**
Plan to make the installations right in the station. People don't mind leaving their cars at a service station whereas they dislike leaving their cars parked at the curb on a busy street for hours at a time during the day. While installations are in progress hang a large banner on the car reading as follows: **Another Blank Radio Being Installed.** This will attract the interest of people driving in to the station for gas, oil or other services. The curiosity of people will be aroused with the result that many new prospects will be secured.
Arrange with the stations to display in a prominent position a sign announcing the sale, installation and service of auto radios. Don't forget the repairs. Many new sales are obtained in this manner and much car radio repair business will be secured by telling the story where it will do the greatest amount of good—right where auto drivers stop for service. Many people stopping at the stations will be reminded of the fact that their car radio needs attention.
Pay a commission to the station man on this business also. The station will "plug" it. While you are repairing or installing a car radio they can solicit a grease job or an oil change. And vice versa. Car radio sales and service is a "natural" at the service station. In addition many home radio repairs and sales may be secured in this wider circle of business contacts.
Instruct the lubrication men to attach a tag to the radio in the car of every car receiving pit service. It should read as follows:
*Should this radio require any adjustment drive your car to blank service station. Our reliable mechanics will make immediate repairs at very low rates.*
**Blank Service, Inc.**
**Court Square**
**Paris, Pa.**
These tags will serve as constant reminders. If and when the car owner either wants to buy a new radio or buys a new car and wants the radio transferred to the new vehicle, he'll know where to go. Often, new sales will be received due to the tie-up.
**Helps Sub-Dealer Too**
Perhaps the station can be induced to act as cashier to receive payments on time payment accounts. This is a simple matter to arrange from an accounting angle. Many public utilities in smaller towns as well as larger ones make a practice of this for the convenient payment of subscribers bills. Banks, as a rule, do this work. A small commission is paid. Such an arrangement will appeal to the gas station owner because it will bring the customer into the station regularly and often. Upon their return he not only has the opportunity to sell gas and oil but many other services and accessories as well.
The life blood of the average gas station is the group of so called "steady customers." If you show your local gas station owner that his cooperation with you in such a sales plan not only will pay him a direct cash profit on every sale but will, in addition, increase his "steady" patronage, the appeal to him as a merchant cannot be overestimated.
Do not fear that after you have built up the idea of auto radio in the mind of the gas station owner, that he will dispense with you and "go it" on his own. When he sees the great amount of effort, organization and technical skill necessary to properly conduct a radio business, in addition to the capital needed for stock, he will soon be convinced that the auto radio business belongs to the radio man.
**Make Profit on Sales**
Many automotive accessory stores are now selling auto radios and "farming out" the installation and service. Perhaps even now you are getting some of this work. It is usually secured by bidding and very often is done at no profit to the installation man. You cannot put the right amount of time into this work and the result is often a sloppy job which brings no credit to you and, on the other hand, lowers the faith of the purchaser in the value of a radio in the car. Why bother with this business? The profit on the sale of an auto radio is a substantial one and should be yours as a radio dealer. If you follow a definite formulated selling plan you can and will get it.
After a while you may start a drive of giving out "boosters" at the various agent-stations. Have them imprinted with the name and address of the station. Again, in this, the station owner will be in accord with you because of the publicity. Get a list of his regular customers. Circularize them. But be very careful to use his name so as to bring the buyer to his station. That, you must remember, is primarily half of the reason for the station acting as your agency. Plenty of this material is available at a very low cost.
Spend a good deal of time with the station men. Teach them to glance under the dash of every car they serve. If there is no auto radio there, suggest one. It will lead to many sales and prospects. The license number of the car will lead to the owner's name and address. From then on, it's up to you.
If you get a prospect from the station man and close the sale outside the station, pay a commission anyhow. The failure on your part to pay such commissions will result in their not
*(Please turn to page 57)*
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Explains just how to spot and repair over 700 set troubles.
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HERE at last is a trouble-shooting guide that will ring the bell with every serviceman and dealer in the radio game. It contains no useless description, no theories, no amateur data. Every single one of its 56-pages is packed with practical, hard-bitten "how" information that can be used profitably on your service jobs every day in the year. "Tricks of the Trade" is a service book that is different. Once you get your copy you won't part with it for a minute. This one book contains:
- 704 tested ways of finding and fixing the troubles in specific set circuits.
- 157 tube socket diagrams showing the connections for that many tubes.
- Reference charts showing—the cost of electricity used in operating sets—antenna systems—the correct and incorrect way to install radio aerials—reception spectrum etc.
- Every one of these "tricks" (see typical examples in column to left) were volunteered by active radio men from their own experiences. Why spend hours testing and re-testing a balky set, when with this book, you can put your finger on the most probable cause of the trouble in a few seconds.
- These "tricks" will show you how to spot a lot of troubles that won't show up in any test equipment. If you value your time and are interested in saving yourself a lot of headaches—get a copy of "Tricks of the Trade"—today. IT IS FREE TO YOU if you accept this offer now.
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bothering to secure more business.
Charge It To Commission
As a retail merchant, you know how expensive it is to locate workable prospects. Newspaper ads, high rent locations, elaborate window displays, etc., etc., and etc. And all for what? Merely to locate "suspects." Usually it will cost more to lure a possible buyer across the threshold of your store than to conduct the rest of your business. At least one-half the cost of operating a retail store is the expense of getting people to come in. That is true of most all specialty stores and that's exactly what yours is.
Get up on your hind legs. Go out to see these people and sell them the idea I've outlined here. Others have done it and are doing it successfully. What's good for them is good for you too. Show some initiative and energy and I'll warrant that you'll find it well worth your while. Sure, I know there are several reasons why this plan is difficult but I can tell you twice as many facts why you should use it.
To you, as a merchant, let me say that if you intend to exist in this, the radio industry, you must continuously develop and use new ideas and methods in locating and thoroughly exploring and exploiting new markets. Well—here's one. Go to it.
NEW NOTE ON NOISE
(Continued from page 24)
get noise-free radio is to stop all interference at its source, but as outlined by Tobe Deutschmann in the January issue of Radio Retailing, it is impossible for any one individual to do this with conditions as they are at the present time. Legislation helps but is not the immediate answer.
Just now the average dealer would rather know how to make that expensive set he sold last week to John Smith perform like the manufacturer's representative said it would so that Smith will continue payments without kicking. As it is, reception sounds like a busy day on a battlefront.
The writer has specialized exclusively in noise-reducing antenna systems and line filter work for dealers for the past eight years and here are some of the methods he has found effective in curing noise:
First, make sure that no electrical appliance within the house itself is broadcasting. Interference-producing household appliances can be silenced at a trifling cost in most cases. Factory-made filters save time, do a job. A 1/10 mfd. condenser connected to either side of the a.c. line will usually, however, sufficiently quiet noisy motors of the type used one cleaners, sewing machines, drink-mixers, refrigerators, kitchen exhaust fans. On extremely noisy motors two 1/10 mfd. condensers may be needed. Connect one side of each condenser to a leg of the a.c. line, feeding the motor. Join the remaining two condenser connections together (mid-point between them) and connect from here to the frame of the motor. The motor frame should then be grounded to either a cold water or to a pipe driven into the ground.
Sometimes it may be necessary to use the hookup employed commonly on noisy elevator motors. These can usually be quieted by connecting a 1/10 mfd. condenser from each brush to the motor frame. Of course, condensers used for filtering must be able to stand the line voltage safely. And when working on motors be sure shafts run true and that bearings are in good shape, otherwise undue arcing will take place at the brushes.
Noisy oil burners can usually be made quiet by inserting a spark suppressor on either side of the electrode leads running from the spark coil. Sometimes it is also necessary to connect a 1/10 mfd. condenser between each side of the transformer primary leads and ground and it may even be necessary to filter the a.c. line at the oil burner's main switch.
Some heating pads are great noise producers and, unfortunately, there seems to be no simple way of silencing them completely. But they could be made quiet in the process of manufacture. S. Ellis, chief inspector for the Toronto Division of the Government Radio Branch, is cooperating with manufacturers of electrical equipment with a view to designing and placing on the market silent appliances. On a recent neon sign installation it was found that by wrapping fine wire (not heavy enough to be noticeable) completely around the tubing in a spiral with turns spaced about two inches apart and grounding this wire, noise would be eliminated where condensers at the transformer failed. Closer spacing would be used for a noisier sign, probably.
Antenna is 80 Per Cent
The dealer's next logical place of attack is at the aerial. Providing the receiver is reasonably well shielded to prevent noise pickup by the chassis itself we have not found a single case of interference that could not be considerably helped by the proper type of aerial installation.
We employ a truck to do aerial and installation work for several of the larger dealers in Toronto and work in all kinds of locations. It has been our experience that a transformer-coupled, shielded lead-in type of aerial provides excellent noise reducing characteristics in the broadcast band and we point out here that the average customer tunes to this band at least three-quarters of the time and is inclined to feel that there is not much improvement if his new antenna system is quieter on shortwaves but just as noisy on broadcast.
Frequently we install two antennas. A shielded downlead type for broadcast reception is erected and also a twisted pair (unshielded) doublet type for shortwaves. A switch for selecting the proper one is included. It is, of course, most essential that the antenna proper be placed far from noise sources and at right angles to them. We have run leads as far as 400 feet but this is an exceptional case. Loops mounted on the customer's back fence, connected to the set through a "cold" lead-in have also been found quite useful under certain conditions. A careful study must be made of each individual location if the best results are to be obtained from any noise-reducing antenna.
We have definitely proven, to our own satisfaction at least, that at least 80 per cent of a radio's performance depends upon its installation, regardless of how noisy a location may be. This being the case, it is obvious that the dealer himself must do a more bullet-proof installation job before he can reasonably expect either legislation or action by electrical appliance manufacturers to take part of the noise reduction job off his shoulders.
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Novel A.V.C. Circuit
A novel audio driver and a.v.c. stage built around the 6R7 tube is employed in the new G.E. auto radios.
A 6H6 serving as a full wave detector only, rectifies the signal from a 6K7 i.f. The rectified signal is coupled in the usual manner through a volume control to a 6C5 first audio. This in turn feeds the triode section of the 6R7 which drives the 6N7 Class B output stage.
Part of the signal, before reaching the second detector, is coupled back to the diode plates of the 6R7; this is shown in the diagram. The .00025 mfd. capacitor, $C_1$, allows a portion of the signal to be rectified by this tube. $R_3$, a 1 meg-ohm resistor acts as the diode load, the voltage developed across this feeds directly into the a.v.c. system after passing through the usual filter network.
The advantage of this circuit is that the detector tube may be used to control the a.f.c. circuit directly. This is illustrated by the fact that only a single 6C5 tube is necessary to operate the a.f.c. A considerable improvement in efficiency, which is important in auto radio design, is the result.
Single Stroke Sweep for Oscillographs
The linear sweep oscillator of the Du Mont oscillograph is provided with novel single sweep device. The use of the normal recurrent sweep for such investigations as voltage current or power surges, has two serious disadvantages. The duration of these single surges are confused by the intense recurrent base line on the screen. Also the observed pattern is sometimes caught at some random phase of the sweep frequency, making it appear at a different position. By permitting just a single pulse to sweep the signal, the recurrent base line is absent and a single image made to appear at the most practical part of the screen.
Under normal conditions a sweep oscillator is allowed to build up a plate voltage determined by the grid bias, at which the tube flashes, starting a new cycle. The frequency of this automatic flashing is determined by the capacity in the circuit and the charging current. To produce a single sweep the oscillator must be prevented from reaching the automatic breakdown point of the sweep oscillator tube. At the same time the tube must be sensitive to a small tripping pulse from an external source.
A triode connected in parallel with the oscillator, except for separate grid bias, accomplishes this purpose. This tube is so biased that it comes into play only after the oscillator has built up a large plate voltage, at which point the triode shunts the charging current. By setting the oscillator's bias so that the triode discharges before the automatic flashing point is reached, recurrent oscillation is prevented. However, a small trip signal in the grid of the oscillator will cause the tube to flash only once, hence a single sweep is obtained.
The trip signal is obtained from an impulse in the primary of the trip pulse transformer shown in the diagram. This primary impulse is usually taken from the device under observation.
New Vibrator Transformer
The use of an auto-transformer in the new Electronic Lab converters increases the efficiency of vibrator supplies considerably. In addition, the noise level is below that usually found in supplies of this type.
The design of the transformer is important. The low and high voltage sections are pi-wound, the secondary winding divides equally on each side of the centertapped primary. This is essential since balance in the output winding is necessary.
An eight contact point vibrator is used in the higher wattage units. In cases where greater power is needed a 16 contact vibrator may be employed. This will deliver up to 1000 watts.
Referring to the diagram, the supply is well filtered. Bypasses on the input and output as well as the vibrator itself prevent "hash" from radiating outside the shielded case.
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Laboratory Resistance Standards for your every-day work
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90 Volt Battery Operation
Recently the 1G5G output pentode was announced. This tube is designed especially for operation from a 90-volt B supply. Resistance coupling may be employed and the rated output of 300 milliwatts obtained under Class A operation. Fig. 1 shows operation characteristics determined by Sylvania for 1G5G under the recommended voltage conditions.
Fig. 2 gives the dynamic characteristics of the 1H4G and also shows similar curves for the triode section of the 1H6G when these tubes are used as resistance coupled amplifiers. These tubes are the "G" type equivalent of the 30 and 1B5/25S respectively. The choice of operating bias for either type should be determined on the basis of the requirements of the output from the tube. For lowest distortion with a chosen plate load resistor the bias should be selected so that just enough grid potential swing is secured to produce the desired output without permitting the grid potential to reach the grid current region.
Receiver design may call for Class B operation, especially if additional power output is desired. For such service the 1J6G may be utilized. Operation and output characteristics for this type with a 90-volt B supply are excellent.
An output of about 1.2 watts with 10% total distortion can be obtained providing a suitable driver stage is provided. With a 1H4G operated at 90 volts the output obtainable is approximately 450 milliwatts, due to the limited power available from this driver. Additional audio amplification would be required to obtain full output from the Class B stage.
Electronic Sweep Test Oscillator
A new RCA test oscillator consists of two radio frequency oscillators, one fixed and one variable, whose outputs are combined in a mixer tube to provide the desired radio frequency output. Either amplitude modulation (400 cycles) or frequency modulation (of ± 20 kc maximum) of the output frequency may be obtained, depending on which type of modulation is employed on the fixed oscillator. Referring to the schematic the following action takes place:
A fixed r-f oscillator, consisting of the pentode section of the lower 6F7 and its associated inductance and capacity oscillates at a frequency of 800 kc. A pickup coil coupled to this tank circuit feeds energy from this oscillator into the No. 4 grid of the 6A7 combination oscillator-mixer tube. The triode section of this tube, together with its associated inductances and capacities make up the variable oscillator which is tuned by the variable capacitor, C-7. Due to coupling in the electron stream there will appear in the output plate circuit of this 6A7 frequencies corresponding to the sum and difference of frequencies of the two oscillators.
The tuning dial is calibrated directly in kilocycles corresponding to the difference of the two oscillator frequencies up to 7 megacycles. Above 7 megacycles the sum frequency is used.
When amplitude modulation is employed the same action holds true except that the triode section of the fixed oscillator tube oscillates at 400 cycles and is coupled externally to the r-f oscillator section so as to impress audio voltage in series with the plate supply of the oscillator section. The resultant output voltage from the 6A7 tube is amplitude modulated an amount equivalent to the modulation impressed on the fixed oscillator.
When frequency modulation is employed the above action of the variable oscillator and mixer tubes still holds true but the signal from the fixed oscillator delivered to the No. 4 mixer grid is being varied at a low frequency rate (frequency modulation), consequently the output frequency from the mixer tube will vary in a like manner.
New Tubes
6T5. A new type tuning indicator tube by Sylvania similar to the 6G5. It differs only in that the lighted portion covers a very narrow region at the center of the target when no voltage is applied to the control grid. When a negative voltage is impressed on the grid the width of the fluorescent ring increases until it covers practically all of the target. The changes in diameter of the lighted section are more readily detected than are changes in the shaded angular sector when a 6G5 is employed.
Heater Voltage ............... 6.3 volts
Heater Current .................. 0.3 amp.
Plate and Target Voltage ...... 250 volts
Plate Current (Idle) .......... 2.0 ma.
Target Current .................. 3.0 ma.
Grid Voltage (Min. illumination) ....... 0.0 volts
Grid Voltage (Max. illumination) ....... -22.0 volts
Triode Plate Resistor ............ 1.0 meg
6W5G. A rectifier by Raytheon designed primarily for automobile sets. It is interchangeable with the 6X5 when higher output is desired.
THE New MODEL 775 WESTON SERVISET
...Combining the Model 772 ANALYZER and the new, matched Model 773 TUBE CHECKER!
Features:
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2. Contains the famed Model 772 and the new, matched Model 773 Tube Checker.
3. Model 773 perfected emission type tester . . tests tubes under standardized load resistance . . big, sensitive meter.
4. Improved noise test . . all electrodes. Neon short check . . while tubes are hot. Cathode leakage test.
5. Wired for rotating filaments . . spare socket . . obsolescence forestalled!
6. New, exclusive rapid-reference tube chart.
7. Model 772 has big WESTON Meter . . sensitivity 20,000 ohms-per-volt . . resistance ranges up to 30 megohms . . current as low as ½ microampere. Wide range of usefulness . . including all receivers, P. A. systems, television, sound movies, photo-cell circuits, etc.
A New CONCEPTION IN COUNTER TUBE SELLERS!
Entirely different! Commands instant attention in this striking, polished solid-wood case. Conveys to customers the impression of true, scientific accuracy. Instrument also fits the single and combination carrying cases. Quickly interchangeable. Note the new Weston rotator-type tube chart. You 'spot' your tube instantly. Charts easily replaceable.
Model 775 combines the Model 772, 20,000 ohms-per-volt Analyzer . . with the new, matched Model 773 Tube Checker . . in a handsome, solid-wood case of finest construction. Model 773 also used as counter tube seller.
See this modern servicing unit at the show, or return the coupon for complete details.
Weston Electrical Instrument Corporation,
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Stabilized Resistance Coupling
Blocking of resistance coupled stages can usually be traced to the first stage in which a positive potential on the grid causes a large current to flow in the blocking condenser, thereby building up a negative voltage on the grid of the succeeding tube. If the usual coupling system is replaced by that shown in Fig. 1, blocking is less likely to occur. The added resistance by $R_g$ allows the blocking condenser $C$ to charge up more slowly.
In a typical installation, two 6J7 tubes operating from a 500 volt plate supply and coupled through a 0.1 mfd. condenser, $R_p$ was 100,000 ohms while $R_c$ and $R_g$ each were 2 megohms, there was a tenfold decrease in tendency to block.
Stable operation in resistance-capacity coupled amplifiers depends to a large extent on the maintenance of proper electrode voltages. Unless the blocking condensers have unusually high insulation resistance, there is a likelihood that the grid bias will be influenced by leakage through the blocking condenser. By introducing an extra blocking condenser and resistor as shown in Fig. 2, inexpensive commercial condensers may be used in place of specially selected high quality mica condensers. For high fidelity work, the results obtained from these condensers are comparable to that of the higher priced units.
Convertible Microphone
A convertible microphone, resembling a salt-shaker in appearance, and which can be conveniently and instantly changed from a non-directive unit to a semi-directive unit is one of the latest products of Western Electric. It may be mounted on a desk or floor stand, or it may be suspended from overhead to suit the requirements.
The device is cylindrical in shape, with one end rounded off in the form of a hemisphere. Perforations are distributed over this head, so that sound waves arriving at all angles reach the diaphragm. When directional characteristics are desired, a disc-ring is slipped over this end of the case, reducing the pick-up from all directions except that in which the microphone is pointed.
For non-directional operation its response is around an output level of -90 db. throughout the range from 40 to 10,000 cycles. With the directional baffle applied, the sensitivity around 1000 to 3000 cycles is increased and the performance of the microphone for close talking purposes is improved.
The above chart illustrates the frequency characteristics when the microphone is mounted in various positions. The "C" curve was taken with the directional baffle in place.
Exponential Horn Characteristics
The horn throat acoustic impedance characteristic is of paramount importance in designing a horn loud speaker. The dissipation or radiation of the energy may be considered to take place in the resistive part of the throat impedance. The throat impedance characteristic depends upon length, throat and mouth diameters and the shape of the horn.
A study of characteristics of exponential horns by RCA indicates that there is a definite low frequency cut-off above which the throat resistance increases rapidly and becomes a constant. On the other hand, the throat resistance of the conical horn increases slowly with frequency and shows no definite low frequency cut-off. For these reasons the exponential horn is more desirable and accounts for its almost universal use in horn loud speakers.
The throat acoustic impedance characteristic as a function of the mouth, with the flare and throat kept constant, is of interest in determining the optimum dimensions for a particular application.
Fig. 1 shows that with a mouth of 20 in. the maximum variation in resistance characteristic is 7.5. This should be compared to Fig. 2, a 40 in. mouth shows a variation in resistance of only a few per cent from that of the infinite horn of Fig. 3.
These results show that as the change in impedance in passing from the mouth to the free atmosphere becomes smaller by employing a mouth diameter comparable to the wavelength, the reflection becomes correspondingly less and the variations in impedance characteristic are reduced. Thus a horn becomes an efficient impedance matching device between the vibrating diaphragm and the surrounding atmosphere.
How To Build An Auto Radio Vibrator Tester
By Lee Leighton
Most of the service problems encountered in automobile radio are in the power supply, particularly the vibrator. This unit, now developed to a degree which makes possible the highly satisfactory results obtainable with car radios, still seems to be a mystery to most servicemen. The scarcity of appropriate service instruments specifically designed for use in testing and servicing these units makes the job even more difficult.
Deciding to build a unit that would meet service requirements, the first step naturally was to determine just what we wanted this tester to accomplish. The problem was not difficult and after careful consideration the requirements were set down as follows:
First—Ability to test all radio vibrators rapidly and accurately.
Second—Tests to be made under actual operating load conditions with simultaneous readings of input and output voltage and current.
Third—Provision for varying input and output voltages. The first to facilitate low and high voltage starting adjustments; the second to ascertain stability under variable loading conditions.
Fourth—Instant changeover from synchronous to non-synchronous vibrator tests.
Fifth—Polarity reversing arrangement, necessary due to the lack of standardization in synchronous vibrator construction.
Sixth—Provision for testing rectifier tubes when in conjunction with non-synchronous vibrators.
Seventh—The complete unit was to be small and portable so that it could be easily moved to any position along the bench or carried from car to car; connection to ammeter and ground in the car providing energizing voltage. Rugged construction and protection for meter equipment when not in use.
Construction
The primary input rheostat is an Arvin car heater variable speed switch. This is simply a rheostat with an off position. It is mounted on the upper left side of the front panel Fig. 1, the knob controlling it shows clearly in the photo. On the upper right side is the secondary variable load resistor also fitted with a knob to match. This wire wound resistor is 7000 ohms and rated at 25 watts. Mounted between these resistors are the two S.P.S.T. toggle switches. The one to the left is used with the rectifier tube test and the other in conjunction with the testing of Philco vibrators. Below to the extreme left is the D.P.D.T. polarity reversing switch and to the right of it the three pole three position jack switch with which rapid changeover from synchronous to nonsynchronous vibrator test is accomplished. In the top row from left to right are the standard five contact socket for 84 rectifier test, octal for 6X5 and OZ4 rectifier test, special 5 contact for 1935 Delco vibrators and special 7 contact for Stewart-Warner vibrators.
In the lower row, left to right are the following sockets: standard four contact in which all four prong vibrators are tested; two standard five contact the first for five prong split reed synchronous vibrators, the other for five prong full wave synchronous. The next socket is also standard and in which all vibrators with standard six prong bases are tested. Next to this is another special five contact socket for 1936 Delco vibrators and last a special six contact with external grounding terminal for testing RCA, GE and Emerson polarized vibrators.
The knockdown metal cabinet measures 7x10x8 in. The cover is hinged and when closed provides protection for the meters while the instrument is not in use. Fig. 2 is a rear view. Mounted from left to right are the socket and 84 rectifier tube for the test circuit. The .02 buffer condenser fastens directly to the socket. The "B" choke is next and between this and the socket in the background is the dual 8 MFD electrolytic condenser. To the right is the half wave transformer and in front of it the full wave transformer. Between them and out of sight is the .01 buffer condenser. The transformers may be any good auto radio transformers, one half wave and one full wave. All these parts are mounted on a wooden baseboard the dimensions of which are the same as the inside of the cabinet. In assembling the unit the front cabinet panel is scribed, center punched and drilled as in Fig. 4. The parts are then mounted as outlined above. A few words of caution here are not amiss. Note on the schematic that one side of the 84 heater is connected directly to the battery side of the input rheostat. Connected thus, the rheostat if turned off for a few minutes while making an adjustment to the vibrator, the 84 remains heated and ready for instant use as soon as the rheostat is again turned on. In this manner also, the heater is always at the proper temperature for efficient rectification. The 84 will heat with the polarity switch in one position only, remember this when placing the tester in service. This is perfectly all right as the 84 is used only with non-synchronous vibrators and these operate connected in either polarity.
The insulation in the Nadey jack switch was not intended to handle the high order of voltages encountered in this device. To prevent arcing over and burning of the insulation it was necessary to dope this part of the switch with a number of coats of white shellac. The insulation end of the switch is dipped into a can of shellac, then drained and allowed to dry. Repeat this several times until a hard well glazed coating covers all the insulation material. After this it can be mounted without fear of breakdown, provided that when in use it is set to the desired position, synchronous or non-synchronous before inserting a vibrator for test. When mounting the sockets be sure to arrange
the contact holes exactly as in the photo otherwise some of the large square case vibrators will be obstructed by the change over switch now from entering the socket fully.
Before wiring of the front panel is completed you will note that a number of the leads will connect to parts on the baseboard and meter terminal strip. Bunch these leads into two cables, one extending back from the left end of the front panel and the other from the right. This simplifies the wiring. Lace the cables telephone fashion, but before doing so identify each wire with a string ticket or other marker so that there will be no question as to its proper termination in the final assembly.
Circuit constants and parts for the above schematic are as follows:
1. Metal cabinet 7x10x8.
2. Bakelite panel 7x10x8½.
3. Wood base board 6½x9x5.
4. Bakelite terminal strip 1x10x½.
5. D.C. voltmeter (M-1) 0-50 volts.
6. D.C. voltmeter (M-4) 0-350 volts, 1000 ohms per volt.
7. D.C. ammeter (M-2) 0-10 amps.
8. Milliammeter (M-3) 0-100 mils.
9. Full wave power transformer (PT-1).
10. Half wave power transformer (PT-2).
11. "B" choke (B-1).
12. Dual Smifil condenser 450 volts, (C-2).
13. Buffer condenser .01 mfd. 1000 volts, (C-1).
14. Buffer condenser .02 mfd. 1600 volts, (C-3).
15. S, P, S, T, toggle switches (S, W, S & 4).
16. D, E, F, toggle switches (S, W, 1).
17. Yaxley 3 pole 3 position jack switch (SW 2).
18. Automobile heater rheostat (R-1).
19. Variable resistor 5000 ohms 25 watt, (R-2).
20. Socket five prong panel mounting (S-11).
21. Socket four prong panel mounting (S-1).
22. Socket five prong panel mountings (S-2, S-7).
23. Socket six prong panel mounting (S-4).
24. Socket special Deleo panel mounting (S-5).
25. Socket special Emerson panel mounting (S-9).
26. Socket special Stewart-Warner mounting (S-10).
27. Socket Octal mounting (S-8).
28. Small pin prongs Motorola for extension test cable Motorola.
29. Large pin prongs Motorola for extension test cable Motorola.
30. Length 12 inches five wire cable.
31. Battery clips.
FIG. 3—Schematic circuit. Base connections are for top view of sockets
In all nine vibrators will provide a complete test and these are as follows:
1. Standard four prong full wave non-synchronous such as used in the Motorola 60.80.
2. Four prong Philco part number 38-5036 (original, do not use replacement).
3. Five prong split reed synchronous as in Motorola 71A.
4. Five prong full wave synchronous as in Motorola 626.
5. Five prong Deleo as in United Motors 626.
6. Five prong Deleo as in Chevrolet 626.
7. Six prong full wave non-synchronous as in Atwater Kent 606.
8. Six prong full wave synchronous as in RCA 6 M.
9. Seven prong full wave synchronous as in Stewart-Warner R 132.
Start with vibrator No. 1 on the list inserting it in the four prong socket bottom row. Snap the three pole switch to the non-synchronous position. Turn the primary rheostat on and both toggle switches off. Set polarity switch in the position that heats the 84 and then always remember this setting. The low range volt meter should now show the value of "A" voltage applied and the ammeter between three and four amperes. The output voltage and current should indicate on the other two meters. Vary the secondary load resistor so that the milliammeter registers between 35 and 50 mils noting the changes in output voltage as the load is adjusted. Also vary the primary rheostat and ascertain by the ammeter if that too is functioning.
If everything so far is satisfactory continue with the next vibrator No. 2. This should be an original Philco part and not a replacement type. This also is inserted in the four prong socket and tests the same as the preceding unit except that it is necessary to snap the upper right toggle switch on. This is the only test in which this switch is used. It is always in the off position otherwise. Continuing, test the five pin half wave synchronous vibrator No. 3 in the five prong socket to the left. The three pole switch can still remain in the non-synchronous position as the half wave transformer now in use is not connected through this switch. If reverse readings are indicated on the "B" volt meter throw the polarity switch. If the output voltage and current are low and the vibrator is known to be good reverse either the primary or secondary of the half wave transformer. This will correct the phasing and need never be changed again.
The five pin full wave synchronous vibrator No. 4 is next. Turn the switch to the synchronous position and insert the vibrator in the next five prong socket. If the meters indicate reverse voltage change the position of the polarity switch to correct this. The voltage and current readings will be higher than with previous types. Remember both upper toggle switches remain off except as mentioned. All standard six pin vibrators are tested in the next socket. The switch is set in the non-synchronous position.
The following two sockets are spec"We Need VIBRATORS That Can REALLY 'Take It'... Comebacks Are COSTLY."
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If you're not using UTAH vibrators, you should be. They work better, last longer—but cost no more. Prove it in your own sets. We'll give you samples. Just address Department RR-5.
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ials. The first is for all Delco vibrators that can be inserted in this type socket and the last for G.E., R.C.A. and other similarly based vibrators. The switch is set to synchronous test whenever a vibrator is tested in either of these sockets.
In the upper row the last two sockets to the right are also specials. Of these two, the one to the left is for all Delco vibrators that have a similar base pin lay-out and the other for Stewart-Warner, Firestone and several others most of which are manufactured by the Stewart-Warner Company. The switch setting is again synchronous, reverse readings may be corrected by changing the polarity switch.
To test unbiased vibrators and any others, new or old, that cannot be inserted in the sockets of this device, a simple extension cable is all that is necessary. It is made with a short length of five wire cable or five separate wires each having a different color. To one end of each wire attach an alligator clip with a soft rubber insulating sleeve over it. To the opposite end of each lead solder a prong removed from the base of an old tube using three small and two large. A much neater job can be had by obtaining five tips such as used by Motorola on the speaker cables. These tips are insulated and easier to handle. They can be had in both small and large size and about the same in dimension as tube prongs.
For full wave synchronous vibrators of the baseless variety all five wires in the cable are used. It is only necessary to insert the tips in the correct socket.
**Tests Tubes Too**
All rectifier tubes used in auto radios other than the obsolete BR can also be tested in this device. To test an 84, insert it into the standard five prong socket in the upper row. Set the three pole switch to its middle position in which it is neither in contact for synchronous nor non-synchronous tests. Snap the remaining toggle switch on, the one on the upper left. As soon as the 84 cathode is heated plug a standard four prong vibrator into the lower left hand socket. This is necessary to energize the transformer. The quality of the tube as a rectifier will be indicated by the output voltage and current readings. The load on the tube can be varied by adjusting the secondary load resistor. The 6X5 and OZ4 tubes can both be tested in the octal socket in the same manner as the 84. In testing the OZ4 note that at first the output will be rather low and then jump to maximum a second or two later after ionization.
Quite often you may find a vibrator that will test perfect in this device and act very erratic when plugged back into the radio. In a case like this, suspect the secondary buffer condenser and usually you will not have to check any further. The buffer condenser is a very important part of the power pack design and when replacing one make certain that the capacity is the same as specified by the manufacturer. Overlooking this detail may ruin a good vibrator in short order.
No attempt has been made here to treat on the problems of vibrator adjustments and repairs. For those desiring this experience, a beginning can be made by accumulating a variety of used vibrators and with an instrument such as just described the action of each different type can be studied. Various adjustments should be made and the effects carefully noted. In general, maximum output with minimum or no sparking and not too violent or too little reed action is the desired adjustment. The action should also be smooth and constant and without erratic sputtering.
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COVERAGE FOR RADIO TESTING
0—1, 0—5, 0—50, 0—500 A.C. and D.C. milliamperes.
Five overlapping ranges of resistance to 10 megohms.
Five overlapping ranges of capacity to 200 mfd.
Five overlapping ranges of output.
Write for complete information and catalog.
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10518 Dupont Ave.
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Characteristics chart showing all types furnished on request. Your nearest Jobber can give you prices.
Or write to
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AVC Delay in Battery Receivers
By H. D. Hooton
The radio service man whose territory includes a rural section is frequently called upon to remodel some of the 2-volt superhets that were sold three or four years ago. These sets may be modernized by the replacement of the 30 as diode detector-AVC tube with the later 1B5 and 1F6 types. There is, however, a great deal more to making this change than merely changing the socket and tube and replacing some connections; it must be remembered that the cathode of the 2-volt tube is the filament and the diode connection affects the detection and AVC in a manner that otherwise might pass unsuspected.
Due to the construction of the 2-volt diodes, whereby one diode encircles one end of the filament and the other diode the other end, the return of each furnishes a different operating condition. The diagram (Fig. 1) shows the usual arrangement that develops no AVC delay, the same diode being used for both detection and AVC purposes. In this circuit the AVC voltage is produced across the $\frac{1}{4}$ megohm resistor, $R_1$, which is the A.F. load resistor as well. At the terminus of the R.F. choke the AVC and A.F. voltages are separated, the A.F. going through the 50,000 ohm resistor to the grid of the first A.F. tube and the AVC through the $\frac{1}{4}$ meg resistor to the grids of the tubes under the AVC action. The disadvantage of this particular circuit is due to the fact that the AVC action starts as soon as a signal is passed to the second detector and there most of the weaker signals will be practically wiped out altogether. On the short wave bands the tuning is likely to be extremely critical also.
Fig. 2 shows a diagram with an AVC delay of 2-volts. An examination of this circuit shows that the AVC and detection are separate, the A.F. or detector return being made to the positive filament terminal; the AVC return is made to the negative filament in the usual manner. However, since the detector is now 2-volts positive with respect to the AVC diode, no AVC action will take place until the signal strength exceeds 2-volts (the AVC diode cannot rectify so long as it is biased negative). This is probably the best arrangement for the average battery set as it operates very well on both the standard and short wave-lengths. The "C" battery, if one is actually used, should be isolated through the $\frac{1}{4}$ megohm and 100,000 ohm resistors as shown for best results.
The arrangement shown in Fig. 3 gives a delay equal to the voltage of the "C" battery which in most instances is 3-volts. The A.F. return is again made to the negative filament, the AVC return to the "C" negative. The isolating resistor should be rather high in this case—from $\frac{1}{2}$ to 1 megohm at least.
The detector diode may be returned to positive filament which would delay the AVC action still further. Here the delay is equal to the "C" bias (3-volts) plus the voltage-drop across the filaments (2-volts) or 5 volts. This is almost certain to be too high for most battery receivers.
Burning Out Shorted Gangs
By Robert Sharpe
Very often when servicing old sets one encounters a gang condenser which acts as though it is shorted at a given setting. When the gang is turned, however, the short turns up at a different position. This indicates the presence of metal filings or other bits of conductive material lodged between the plates.
It is usually difficult to find the filings as they are often microscopic in size. They could be blown out with compressed air but that is not always available.
A satisfactory remedy of this condition is to burn out the short. Connect a 1 mid, or larger paper condenser in each side of the 110 volt line. Touch one leg to the stator while holding the other on the rotor plates. If the plates are rotated the charge of the condensers will be shorted by the metal filing. The flash that occurs will burn this particle and completely eliminate the trouble.
P.M. Dynamics as Replacements
By V. A. West
The thousands of a.c.—d.c. and battery-operated radio sets that are now equipped with magnetic speakers offer the wide-awake service man an opportunity for a speaker replacement almost every time one of these sets is serviced. It has been found that practically every owner of a set of this type will buy one of the new permanent-magnet dynamic speakers if their superior reproducing qualities are demonstrated. However, there is considerably more to making the replacement than merely mounting the new speaker on the baffle-board and connecting its leads to the output of the set.
Frequently when one of these speakers is installed in a battery operated set the receiver may seem noisy and more interference is noticed than when the magnetic speaker was used. This is due to two characteristics of the dynamic speaker: First, the wide frequency response of the dynamic as compared to the magnetic. If the tuned circuits are out of alignment high-frequency noises and interference which were cut off by the limited response of the magnetic will be heard with the dynamic speaker. Second, the better sensitivity of the dynamic will bring noise and interference up to a higher level making these more noticeable.
It is found in many receivers that a high-pitch howl may be heard when the volume control is advanced nearly full-on. This is usually encountered in sets using pentode output tubes and in most cases is due to vibration of some part of the chassis, such as a loose tube shield or microphonic tube. It may
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Annoying microphonic response is reduced to an absolute minimum by extremely rigid structure and close clearances in the spacing of members. Uniform sensitivity is assured by a 100% test for mutual conductance. Moreover, the sensitivity of AVC receivers is unimpaired because of the extremely low values of grid current in the Arcturus 6D6—values which remain low through many hours of useful service.
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also be caused by a poor output tube or an improper connection to the output transformer as outlined above. If the trouble still persists and a check reveals nothing wrong with the chassis, tubes or transformer, a mica condenser of about .006 mfd. capacity from plate of the output tube to the "B" minus will eliminate the howl. It is a good practice to always use rubber cushions under all replacement speakers as a precaution against vibration troubles.
The other troubles experienced with p.m. dynamics are exactly the same and are treated in the same manner as in the regular standard speaker. An exception to this is the loss of field strength due to weakening of the permanent magnets. The usual test for magnetic strength is by touching the poles with a screw driver or a pair of pliers. A good magnet will have a tenacious "pull" while a weak one may have but little attraction or none at all to the iron tool.
Weak magnets may be either replaced or remagnetized. The remagnetizing process is quite simple and takes only a few moments. Construct a magnetizing coil of about 300 turns of number 18 wire, remove the magnet from the speaker, slip it through the opening in the coil and place an iron or steel "keeper" of about the same cross-section size as the magnet, across the poles. Connect the coil to the terminals of a 6-volt storage battery and, while the current is flowing, strike the magnet a few sharp blows with a hammer. Do not allow the current to flow for any length of time; complete saturation of most small magnets is accomplished in a few seconds.
Eliminating IF Oscillation
By Gerald Evans
If the set whistles as each station is tuned in, and as the control grid of an IF tube is touched lightly with the fin-
(Continued on page 73)
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THE OUTSTANDING MULTIPLE STATION INTERCOMMUNICATING SYSTEM
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You should know. It only needs circuit checking and the replacement of burned out parts and the set will be as good as new. And give her a break. Use Ward Leonard Replacement Resistors. They are conservatively rated so give satisfaction. Send for Bulletin 507A which lists units available and gives list price.
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City .................................................. State ............
Jobber's Name ...........................................
**SHORTCUTS**
The detector-oscillator and the succeeding IF stages must have their plate circuits isolated. Little trouble will be experienced in the way of feedback between the two IF plate circuits, but the plate return or B plus end of the 1st detector and the 2nd IF tubes will usually cause oscillation if some form of decoupling is not employed. A 3,500 ohm resistor between the B plus line and IF primary of the 1st det. tube, the plate end of the resistor being bypassed by a .1 mfd. condenser makes an excellent filter for this position. Another rule to follow is never to use a smaller condenser as a bypass where IF currents exist, than a .1 mfd. The main B plus line bypass condenser should not be smaller than .25 mfd., and in some cases .5 mfd. The stray IF currents in the plate circuit of the 2nd IF tube are hard to stop.
Many radio sets do not use a condenser to bypass the automatic volume control line. Where two IF stages follow the 1st det., this is one of the most valuable parts of the entire system in preventing oscillation. The condenser should not be larger than .05 mfd., otherwise the lag in the a.c.e. circuit will be too great.
---
**"Fading" in Tone-Compensator Circuits**
*By D. H. Henderson*
Most of the volume controls used on "high-fidelity" radios are designed in such a manner that the low-frequency response is increased at low volume levels in order to preserve good fidelity of reproduction. A typical circuit is illustrated in Fig. 1. This type of control, with its associated by-pass condensers, however, is sometimes the source of an almost impossible-to-find fading difficulty, especially if the condensers have become leaky.
In the circuit shown, the set was carefully checked for all of the usual causes of fading and finally the volume control was replaced. The condensers were left disconnected temporarily and the set operated normally. When the leads to the taps were wired in, however, the trouble reappeared and was at last located in the 0.03 mfd. condenser, C1. The best method of determining whether the trouble is due to this cause, is to remove the leads from the taps as mentioned above.
---
**Converting B Eliminator to 32 V.D.C.**
*By B. O. Bass*
Eliminators with a high-low switch can easily be converted to deliver sufficient power from a 32 volt d.c. circuit. The Raytheon rectifier type unit is preferable because of low drain. Most of these eliminators have a tapped primary for high-low operation. The winding between the high and low taps proved to be just about the right amount for 32 volt operation.
Bring the two leads from the high-low switch out of the case. Connect one lead in series with a good quality door bell from which the bell has been removed. Leave the clapper arm intact as this will hold the vibrations down to approximately 60 cycles. The contacts will also strike harder because of the weight of the clapper. A .5 mfd. to 2 mfd. condenser across the contacts will reduce sparking.
When the voltage is applied to the unit the buzzer will vibrate, breaking up the d.c. The pulses generated can then be stepped up and rectified in the eliminator. Enclose the buzzer in a metal case and wrap in heavy felt packing to reduce noise.
The voltage taps and filter system are left intact, no change is necessary in the eliminator other than bringing out the high-low taps.
---
**Telling the engineer and manufacturer what is being done with electron tubes in industry—and how it is being done**
*Just published—New second edition*
**Electron Tubes in Industry**
*by Keith Henney, Editor, Electronics*
539 pages, 6 x 9, 397 illustrations, $5.00
Engineers and manufacturing executives interested in cheapening or quickening industrial processes will find in this book a thorough presentation of the practical aspects of electronics—what the electron tube is doing toward making processes simpler, cheaper, safer, and in making possible new methods of control. Describes in detail amplifier, rectifier, and other tubes and photocells and their applications in industry, including circuit diagrams, performance charts, and comparisons with other types of apparatus.
See this edition for developments in:
- circuits using newer tubes, elements and principles
- motor control, welding, illumination, and register control
- ignitron tubes, cathode-ray tubes, and other types
- capacity relays, relay circuits
- application of tubes to power conversion, inversion, and transmission
- invisible light control methods, etc.
---
**SEND THIS ON-APPROVAL EXAMINATION COUPON**
MILLAWAY BOOK COMPANY INC.
750 West 42d Street, New York, N.Y.
Send me Henney's Electron Tubes in Industry for 10 days' examination, on approval. In 10 days I agree to pay $5.00 plus a few cents postage and delivery, or return book with full refund. (U.S. only) Pay post age on orders accompanied by remittance.
Name ................................................
Address .............................................
City and State ......................................
Position .............................................
Company ...........................................
(Books sent on approval in U. S. and Canada only.)
FIR-5-37
ATTENTION ALL SERVICEMEN
Here's What You've Always Needed . . . The—VARI-VOLT TRANSFORMER $9.00 NET To Dealers Complete
(1) Test radio receivers at correct voltage, or apply over-voltage or under-voltage.
(2) Filament supply voltages available for any type tube.
(3) Calibrate meters use transformer for measuring unknown high or low voltages with your present A.C. meter.
(4) Maintain correct heat on soldering irons.
(5) Control primary of high voltage rectifier system.
MAKE YOUR TEST BENCH VOLTAGE EXACTLY WHAT YOU WANT IT
Throw away your makeshifts—toss your guesses out the window . . . with Hall-dorson's new Vari-Volt Transformer you can step up your voltage or step it down, improve your test work with exact voltages . . . find troubles quickly with over voltage judiciously applied.
The Vari-Volt Transformer gives voltages from 0 to 256 volts in two-volt steps or from 0 to 128 volts in one-volt steps. Power Output, 250 watts maximum. Small in size and can be carried in service kit if desired.
You can get one Free—Send Coupon—Made by Makers of Halldorson Vacuum Sealed Transformers
GET IT FREE
Kills Noises
Plugs into outlet. Wall plate screws hold and ground.
Front receptacle takes set power plug.
Or may be inserted between noise-producing device and line.
Effectively eliminates usual line noises.
No wiring, fussing, guessing. Just plug.
Lowest-priced practical filter available.
Every set owner is a "hot" prospect for a line-noise filter. And all the more so at $1.75 list. That's why you should handle the popular AEROVOX Type IN-25 Interference Filter.
Ask for catalog.
AEROVOX CORPORATION
70 Washington St., Brooklyn, N.Y.
THE Eyes HAVE IT!
Write for Descriptive Literature
Solar Capacitor Analyzer
Your eyes and the MAGIC TUBE see all, know all, quick as a wink!
SOLAR MFG. CORP.
509-601 Broadway New York, N.Y.
A.K. 435
Dead, constant hum... Check for open .05 mfd. bypass in 6K7 i.f. grid circuit. This condenser is C5 in schematic.
ARVIN 62
Noisy when tuning dial is rotated... Solder bottom arm on planetary drive system to bracket at bottom front end of condenser gang.
ARVIN AUTO RADIOS
Ignition interference... In most cases this is caused by chassis pickup. It can be overcome by removing the front cover and cleaning the surface of the joints with fine sandpaper to provide greater area of metallic contact. Also check the acoustinator plug to see that a good ground contact is obtained.
On the model 65, check the right hand breather screen for ground. Spotting it with solder to the housing is sufficient to prevent interference from feeding in at this point.
G.E. 63, 65
Intermittent on one band only... Small insulating ceramic bushing on band switch broken. These bushings are held into switch by pressure and may be replaced easily.
G.E. A-82, A-87
Weak... The fixed paddler (C-46) across the secondary of the second i.f. transformer should be 65 mmf. In a few instances this condenser has changed value sufficiently to throw this stage out of alignment. The trimmer (C-45) will not peak and all signals will be weak. Replace C-46 with another 65 mmf. capacitor.
G.E. 86
Static but station cannot be tuned in... Shorted condenser in sentry box under 6A8 tube. To replace, unsolder all leads on sentry box, remove front dial screws, lift up dial assembly, pull out band shaft, remove front section of sentry box from bottom.
G.E. 155
Motorboating, normal operation for a few minutes then a thump followed by poor quality... Look for poor ground connection of triple section condenser in corner close to 6L6 tubes. This connection is under a group of bypass condensers and is welded instead of soldered.
CUT RATE OUTLETS
... are places where National Union Radio Tubes AIN'T!
A nice comfortable feeling! We mean that secure, clean cut feeling a National Union Service Specialist has when he installs N.U. tubes. He knows he's gotten a fair price for premium quality merchandise. He's rendered a genuine service to a set owner and he's not going to be embarrassed by having his customer see N.U. tubes advertised in some gyp joint down the street as a loss leader.
No, Sir! National Union has kept the market clean for you. National Union tubes are not listed in cut price mail order catalogs. You won't find them in price slashing chain stores or department stores.
Your profit margin is reasonable when you sell at established list prices and National Union has always felt that you are entitled to protection on it.
Remember these facts . . . the boys who are selling N.U. tubes are selling them with complete confidence . . . they're not running a chance of customer ill-will . . . because the set owner will never see N.U. tubes offered for sale with the heart cut out of the price!
This business of keeping the market clean for the Service Industry is only one of the reasons that N.U. is such an overwhelming favorite in the service field . . . Have you ever heard the entire National Union sales story? It will pay you handsome dividends to be tied up with N.U.
Find out why . . . send the coupon below . . . NOW.
MEET US—at the NATIONAL RADIO PARTS TRADE SHOW—Booths 104-105, Hotel Stevens, Chicago, June 10, 11, 12, 13
CLIP! MAIL!
NATIONAL UNION RADIO CORP., of N. Y.
570 Lexington Avenue, New York, N. Y. RR 537
Who is the nearest N.U. distributor? I want to find out what N.U. can do for me.
Name ...............................................
Street ..............................................
City ............................................. State ..........................
Matched!
You save time, trouble and money when you insist on CLAROSTAT Exact Duplicate Controls. • These units are right electrically, mechanically, visually. • And that fussy customer is satisfied. • So ask for your copy of our Volume Control Guide.
CLAROSTAT Manufacturing Co. Inc.
285-287 NORTH SIXTH STREET
BROOKLYN, NEW YORK, U.S.A.
• OFFICES IN PRINCIPAL CITIES •
INSIST ON Radiart VIBRATORS
ADVANTAGE No. 1
RUGGED, PROTECTED,
CLOSED FRAME
CONSTRUCTION
THE RADIART CORPORATION
CLEVELAND, OHIO
ELECTROLYTIC REPLACEMENTS
Paper Wound Condensers
Better filtration . . . years of service . . . every unit tested on 1500 V.
A new line of 600, 800 and 1000 volt condensers for P.A. and transmitting use. Complete line of midget and standard Electrolytics.
• Territories Open to Jobbers
GIRARD-HOPKINS
1437-23rd Ave. Oakland, Calif.
TRICKS
MAJESTIC 50
Fading... Check first audio transformer which is condenser-choke coupled.
PHILCO 29
Fading after short period of operation... Check 350,000 ohm volume control, may vary up to several megohms intermittently.
PHILCO 37-10
Intermittent oscillation, motorboating... Replace 3200 ohm resistor mounted under oscillator coil. This resistor has greatly increased value. Remove r.f. unit and oscillator to get at resistor.
PHILCO 212
Fading... Replace bypass connected to low side of volume control. This is a tone compensator condenser for increasing bass response at low volume.
PHILCO 1937 MODELS
Distorted, fuzzy... Check the voice coil gap for steel filings. This is quite a frequent trouble. Filings get behind the heavy cardboard spacer and gradually work into the voice coil.
R.C.A. VICTOR 143
Noisy, intermittent hum... replace 500 ohm cathode resistor on 76 tube.
RCA D9-19
Weak, tuning eye will not function, second i.f. trimmer will not peak... This is a radio-phono combination, examination of the second i.f. transformer disclosed the trimmers soaked in oil that had dripped from the phono motor. Clean trimmers thoroughly and realign. Use oil sparingly on the motor.
RCA T7-5
Distortion, high plate current in 6F6 output stage... Increase bias resistor to its normal value and distortion will disappear.
ZENITH 6-M-90, 6-M-91, 7-M-91
Noisy, inoperative at times... Check the 600 k.c. paddler and tuning condenser. The ground lead to these units often breaks loose. Resolder for a permanent cure.
| Advertiser | Page |
|------------------------------------------------|------|
| AEROVOX CORP. | 74 |
| (Condensers) | |
| AMERICAN TELEVISION & RADIO CORP. | 51 |
| (Vibrators) | |
| AMPERITE CO. | 75 |
| (Microphones) | |
| ARCTURUS RADIO TUBE CO | 70 |
| (Radio Tubes) | |
| ARISTON MANUFACTURING CO. | 75 |
| (Replacement Speakers) | |
| BRIGGS & STRATTON CORP. | 12 |
| (Battery Chargers) | |
| BREEZE-ELECTRIC CO. | 52 |
| (Wind Electric Plants) | |
| BRUSH DEVELOPMENT CO. | 46 |
| (Microphones) | |
| CHAMPION RADIO WORKS | 68 |
| (Radio Tubes) | |
| CLAROSTAT MFG. CO. | 76 |
| (Volume Control) | |
| CONSOLIDATED WIRE AND ASSOC. CORPS. | 50 |
| (Condensers) | |
| CORNISH WIRE CO. | 46 |
| (Antennas) | |
| CROSLERY RADIO CORP. | Inside Back Cover |
| (Radio Sets) | |
| CROWE NAME PLATE & MFG. CO. | 54 |
| (Auto-Radio Controls) | |
| EDISON GENERAL ELECTRIC APPLIANCE CO. | 10, 11 |
| (Refrigerators) | |
| ELECTRICAL PRODUCTS CO. | 53 |
| (Battery Eliminators) | |
| ELECTRONICS DESIGN CORP. | 45 |
| (Sound Systems) | |
| FOX SOUND EQUIP. CORP. | 70 |
| (Sound Equipment) | |
| GENERAL ELECTRIC CO. | 28, Back Cover |
| (Radio Sets) | |
| GENERAL HOUSEHOLD UTILITIES CO. | 32, 37, 54 |
| (Radio Sets) | |
| GIRARD-HOPKINS | 76 |
| (Condensers and Resistors) | |
| GOBE-UNION, INC. | 48 |
| (Batteries) | |
| HALLDORSON CO. | 74 |
| (Transformers) | |
| HICKOCK ELECTRIC INSTRUMENT CO. | 68 |
| (Service Instruments) | |
| HORTON MFG. CO. | 52 |
| (Washers and Ironers) | |
| HOWARD RADIO CORP. | 6 |
| (Radio Sets) | |
| HYGRADE SYLVANIA CORP. | 4 |
| (Radio Tubes) | |
| INTERNATIONAL RADIO CORP. | 23 |
| (Radio Sets) | |
| INTERNATIONAL RESISTANCE CORP. | 60 |
| (Resistors) | |
| JANETTE MFG. CO. | 50 |
| (Rotary Converters) | |
| KEN-RAD CORP. | 52 |
| (Radio Tubes) | |
| MALLORY & CO., INC., P. R. Second Cover | (Volume Control) |
| McGRAW-HILL BOOK CO | 68, 73 |
| (Technical Books) | |
| NATIONAL UNION RADIO CORP. | 76 |
| (Radio Tubes) | |
| NOBLITT-SPARKS INDUSTRIES, INC. | 25 |
| (Auto-Radios) | |
| OPERADIO MFG. CO. | 47 |
| (Sound Systems) | |
| PIONEER GEN-E-MOTOR CORP. | 43, 49 |
| (Gas-Electric Plants) | |
| RADIART CORP. | 76 |
| (Vibrators) | |
| RAYTHEON PRODUCTION CORP. | 33 |
| (Radio Tubes) | |
| RCA MANUFACTURING CO. Front Cover | (Radio Sets) |
| RCA MANUFACTURING CO. | 3 |
| (Radio Tubes) | |
| READRITE METER WORKS | 67 |
| (Tube Testers) | |
| REMLER CO., LTD. | 51 |
| (Sound Equipment) | |
| RIDER, JOHN F. | 72 |
| (Service Manuals) | |
| SERVEL, INC., ELECTROLUX DIV. | 36 |
| (Refrigerators) | |
| SIMPSON ELECTRIC CO. | 71 |
| (Service Instruments) | |
| SOLAR MFG. CORP. | 74 |
| (Capacitors) | |
| SONORA ELECTRIC PHONOGRAPH CO., INC. | 50 |
| (Radio-Phonograph Combinations) | |
| STANDARD TRANSFORMER CORP. | 70 |
| (Transformers) | |
| STEWART-WARNER | 8 |
| (Refrigerators) | |
| STROMBERG-CARLSON TELE. MFG. CO. | 2 |
| (Radio Sets) | |
| SUPREME INSTRUMENTS CORP. | 58 |
| (Radio Test Equipment) | |
| TRANSDUCER CORP. | 54 |
| (Microphones) | |
| TRIAD MFG. CO. | 51 |
| (Radio Tubes) | |
| TRIPLETT ELECTRICAL INSTRUMENT CO. | 77 |
| (Test Equipment) | |
| TUNGSONL RADIO TUBES, INC. | 66 |
| (Radio Tubes) | |
| UNIVERSAL DASHBOARD CONTROLS | 75 |
| (Auto-Radio Controls) | |
| UNITED SOUND ENGINEERING CO. | 46 |
| (Sound Apparatus) | |
| UTAH RADIO PRODUCTS CO. | 66 |
| (Replacement Speakers) | |
| WARD LEONARD ELECTRIC CO. | 72 |
| (Resistors) | |
| WARD PRODUCTS CO. | 50 |
| (Auto Antennas) | |
| WEBSTER-CHICAGO | 72 |
| (Inter-Office Communication) | |
| WESTERN ELECTRIC CO. | 53 |
| (Microphones) | |
| WESTON ELECTRICAL INSTRUMENT CO. | 62 |
| (Service Instruments) | |
| WILLARD STORAGE BATTERY CO. | 5 |
| (Storage Batteries) | |
| WINCHARGER CORP. | 9 |
| (Wind Elec. Plants) | |
SEARCHLIGHT SECTION
(Classified Advertising)
| Classification | Page |
|----------------------|------|
| BOOKS | 79 |
| McGraw-Hill Book Co. | 79 |
| CATALOGS | 79 |
| SERVICEMEN'S SPECIALTY | 79 |
| Akrad Products Co. | 79 |
| RADIO STOCKS | 79 |
| Apparatus Design Co. | 79 |
| Dymac Radio | 79 |
| Howard Radio Co. | 79 |
| Midwest Appliance Parts Co. | 79 |
| Radolek Co. | 79 |
1937 TUBES
Every Confidence and Unameter
TUBE TESTER
can be brought up to date for 1937 octal base and metal tubes by either adapters, Kits, Socket Units or factory recondition jobs. Prices quoted below. Write $2.00 up. You cannot obtain proper test data for the new tubes from any source other than the manufacturer. Send FOR FREE FOLDER No. 155 which describes fully the requirements for bringing your tester up to date. Tell your friends who own one of the thousands of Confidence or Unameter testers.
APPARATUS DESIGN CO.
Little Rock, Arkansas
Owned and operated by J. H. Williams & Sons
TOUGH RADIO JOBS
DON'T STUMP ME
I SOLVE ALL MY PROBLEMS WITH
KINK-AIDS
More than 3000 filed and indexed articles on how to repair hard-to-fix home and auto radios. Just pull out the article corresponding with the name and model of the set you are repairing, and there you will find all the troubles found in that radio and how to fix them.
Send postpaid for only $1.95
FREE—Write for Bulletin RL-5 and sample cards.
AKRAD PRODUCTS COMPANY
363 Wooster Ave.
Akron, Ohio
The Leading
RADIO
PARTS and EQUIPMENT DEALER
in Buffalo, N. Y.
DYMAC RADIO
216 E. Genesee St.
Phone: CL 2080
OVER 10,000 PARTS
FOR VACUUM CLEANERS AND
WASHING MACHINES
24-HOUR SERVICE!
Attach this card to Your Inquiry and Receive Complete Catalog
Manufacturers
and Distributors Representatives
MIDWEST APPLIANCE PARTS CO.
2222 W. Division St. CHICAGO, ILL.
New "SEARCHLIGHT" Advertisements must be received by the 5th of the month to appear in the issue out the same month.
Address copy to the Departmental Advertising Staff Radio Retailing
330 West 43d St., New York City
SEARCHLIGHT SECTION
EMPLOYMENT BUSINESS OPPORTUNITIES EQUIPMENT—Used or Resale
UNDISPLAYED—RATE PER WORD
Positions Vacant and all other classifications, 15 cents a word, minimum charge $3.00.
Positions Wanted (for part-time salaried employment) at the same rates payable in advance. ($2.00 for Box Numbers)
Preprints, 10 cents for the insertion.
Box Numbers in care of our New York, Chicago or San Francisco offices count 10 words additional to preprinted ads. Replies forwarded without extra charge.
Discount of 10% if one payment is made in advance for four consecutive insertions of undisplayed ads (not including preprints).
DISPLAYED—RATE PER INCH
1 inch ........................................... $1.00
2 and 3 inches ............................... 7.80 an inch
4 to 7 inches ................................. 7.60 an inch
other spaces and contract rates on request.
An advertising inch is measured vertically in one column, 3 columns—10 inches—to a page.
ATTENTION
MANUFACTURERS RADIO and RECORDING
We have a large quantity of turn tables fitted with 33 1/3 and 78 R.P.M. driven by a 1/20 hp. General Electric Motor. Perfect for recording. Write for details.
PS-112 Radio Rotating
239 E. 23rd St., Kansas City
NOW—how to repair and rewind all types of motors...
ELECTRIC MOTOR REPAIR LIBRARY
4 volumes, $10.00, payable in easy monthly installments
This set of books should be on the shelf of every man who ever repairs a motor for purposes of replacing it or making it run under different operating conditions. In shop language it tells you what to do and how to do it, even in stripping, rewinding and connecting a.c. motors.
How to change motors for different operating conditions
Here is the information you need in order to determine when changing electric types of motors permit; to lay out new windings for specified applications; and to handle every step in the work with satisfactory results.
Covers all types of motors, from those used in shops and factories to those used in electric cars, trolleys, elevators, street cars, locomotives, etc.; includes all types of motors used in mining and railway motors. Explains principles of construction and operation of windings; gives detailed instructions for doing the various rewinding jobs. Also gives many data, tables and diagrams relating to motors. The book includes much data difficult to get from any other sources.
Low price—easy terms—10 days' examination on approval
Bought separately the books in this Library would cost $10.00. But if you buy them now you need pay only $2.00 in 10 days and $2.00 monthly until the special price is paid. In fact, on ordering, we give you 10 days in which to examine the books. Send no money; simply fill in and mail the coupon below. We'll know your answer after you have seen the books.
McGraw-Hill Book Co., Inc., 330 W. 42nd St., N. Y. C.
Send Electric Motor Repair Library for 10 days' examination on approval. In 10 days I will send $2.00 plus 10 cents postage, $2.00 monthly for four months, or return books postpaid. (We pay postage on orders accompanied by check or money order.)
Name ..........................................
Address ........................................
City and State ..................................
Position ........................................
Company .......................................
R.R. 5-37
STOP SEARCHING! HERE IS YOUR "GUIDE"
Don't Grope Around In The Dark...
Send For This New Radio Buying Guide Today!
Here is the solution to all your radio supply problems . . . Here is your complete guide to the best in radio equipment . . . Here is the largest stock of Radio Repair Parts in the world! This Radolek new 1937 Radio "Profit Guide" is the most complete Radio Parts Catalog ever published. Over 100 pages of cataloging to you, over 6,000 individual Repair Parts . . . hundreds of new items . . . a complete new selection of Radio Receivers, Amplifiers, Tubes, Tools, Books and Instruments. All these items you want are always stocked ready for prompt shipment . . . at the right prices.
YOU NEED THIS BIG CATALOG!
It's FREE! Send this coupon NOW. Radolek endeavors to serve the Radio Trade. This Profit Guide is completely engaged in the Radio business. Please enclose your business card or letterhead.
RADOLEK
601 W. Randolph St., Dept. A-7, CHICAGO
Name ........................................
Address ........................................
Serviceman? ☐ Dealer? ☐ Experimenter? ☐
Why Trades Glut Market
Many a radio dealer has enviously watched the rapidly changing display of used cars in an automobile lot and wished he could find as ready a market for his trade-ins. The used car business is a healthy and important part of the automobile business. The used radio is, more often than not, a disgraceful parasite dogging the heels of nearly every sale.
Why can't it hold its head up?
It could, if set manufacturers would let it!
Let's look at the automobile industry again. In today's market $2,500 will buy an extremely fine car. Six hundred odd dollars are required to deliver to you the lowest price car. Now $250 buys an extra fine radio, but does it take sixty dollars to buy the cheapest radio. You know the answer.
The six hundred dollar car possesses all the requisites of a good automobile in generous measure. Sixty odd dollars will buy a good table model radio.
Now automobile manufacturers could undoubtedly turn out a contraption on four wheels that would move along the road for, say, $149.50. It would bear little resemblance in performance to our popular priced cars in the $600 class. But does a $14.98 radio act like a $60 one?
The automobile industry will not stoop to this, but radio manufacturers have vied with each other to produce miserable little radios at an even more miserable price.
How many used cars are sold at a price higher than the delivery price of the low priced new cars? A few, of course, but the percentage is low.
That is the answer. It is next to impossible to persuade John Doe to pay more for a used machine than a new one, no matter what the difference in the original prices.
If radio manufacturers would stop making cheap new sets, the whole situation would change. Buyers who could not afford a good new machine would buy a reconditioned used set at a fair price and get more radio for their money than they do in a cheap new machine. Sales of new sets would be stimulated as dealers could afford to give better allowances for sets still of salable age.
As a serviceman and dealer I believe that such a move on the part of manufacturers would do more for the industry than anything else. Extra discounts to allow for trade-ins won't help. They merely encourage price-cutting on no trade-in sales.
Would be glad to hear what others think on this subject.
Lake George, N. Y. R. B. Lawton
Distributor Headwork
Lots of radio dealers have a very large stock of used radios. These are becoming a problem to move, as are used cars in the automobile business. A plan that is working very well in this territory, and which we have suggested to a number of our dealers, is as follows:
Say you have a radio that you want $10 for. Advertise it for $10.49, 49 cents down and $1 per week thereafter. Be careful who you sell it to and also take a mortgage contract.
It is surprising the number of used radios that can be sold. You will also find that these customers usually buy a better set as soon as their present contract is completed.
The idea of this is to make the down-payment so low that anyone has it in their pocket and then to make the payments low, too. Some of our friends have closed out their entire stock of used radios.
Chanute, Kansas G. A. Phillips
The Phillips Electrical Service
Surprise Package Surprises
Certainly want to thank you for the welcome surprise package of a window streamer inclosed as an insert with the April issue of Radio Retailing.
Thank heavens there is somebody at last trying to help us dealers promote the stars on the radio programs.
We certainly would appreciate your sending us more of these fine window streamers for our use in the future. It is now in our window.
Nazareth, Penna. C. A. Anglemire
Y In H?
Regarding your comments on the letter of Mr. Carl J. Grey in the April issue of Radio Retailing, I would like to know why in _______ you believe the time's not ripe for legislation concerning the problem of radio interference?
It is the writer's personal opinion that the bill introduced in the Pennsylvania Legislature is quite a practical one. According to my understanding it differs from most of the so-called local ordinances in that it merely provides that electrical appliances sold in the future be quiet and does not make any attempt to force present owners of such equipment to filter or rebuild it.
We know of an instance where a large manufacturer of electrical business equipment shipped several carloads to a concern in Sweden. Upon examination there it was refused on the grounds that it created radio disturbance. It was illegal to sell it in that country.
Shinglehouse, Penna. Irving J. Toner
Toner's Radio Service
Experience leads us to believe that until the average consumer is ready for expensive flag-waving in behalf of effective legislation like the above, it is difficult, if not impossible, to enforce. We believe, too, that the average American manufacturer will go farther toward improvement of his product if convinced that the product will then sell more readily, which results are just as effectively accomplished by legislation. So we've continued to approach the problem from this angle. We feel that legislation should be a last resort.
APPROVED! ACCEPTED! DEMANDED!
The Outstanding "Buy" in Electric Refrigeration
THE NEW 1937 CROSLEY SHELVADOR
MORE BEAUTY • MORE ECONOMY • MORE CONVENIENCE • MORE USABLE SPACE • MORE ACCESSIBILITY
These features distinguish the Crosley ELECTROSAVER T-5 Hermetic Unit: Non-toxic Freon refrigerant... economical high side heat expansion system... high reserve capacity, resulting in short running time, fast freezing and greater ice-making capacity.
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CANADIAN COUNTRY MUSIC
Oasis to distribute Dead Reckoning Records
Oasis Entertainment has signed an agreement to distribute Nashville-based Dead Reckoning Records in Canada. The first release under this new arrangement will be a new album from country music artist Charlie Major, who won a Canadian Country Music Association award for his 1998 album, "444." Major was also nominated for a CCMA award. His new album, "444," will be released on October 19.
As to the deal with Oasis, Dead Reckoning general manager J.D. May commented, "Dead Reckoning is very pleased to have Charlie Major affiliate with us and we look forward to working with Oasis Entertainment."
Oasis president Bill Ott commented, "As Oasis grows in the marketplace, I am absolutely delighted to be affiliated with a label as enterprising and creative as Dead Reckoning Records. And to have Charlie Major affiliate with Dead Reckoning and Oasis excites me no end."
WALT SAYS . . .
with Elvira Capreese
The uninformed watchdog??? How do you know what's going on in the business if you aren't plugged into the weekly news? Has the ego been bruised? Are the laughs not coming anymore? Is the daily bus ride downtown beginning to unwrapped the wrapped? Or, OR! Is the gate open to move on and out? (EC: With all those questions, I'm sure you have an answer or just an explanation will do, in your most ambiguous fashion!!!)
That important fan link!!! Warner Music Canada took a page from the Nashville book last year when they staged the first ever Canadian Country Music Fan Fest in Calgary. With Warner's country stars taking the stage and staying on to autograph copies of their CDs, it was the week's biggest event, outside of the awards show. The mall was packed with over two thousand country fans. So, having that kind of success, Warner is doing the same in Ottawa. Now! The big question! Shouldn't this be a CCMA presentation? That would open the door to those other country artists who don't get the promotion benefits of a major company and we know the independents couldn't afford it. With country music suffering at retail, could there be a better place and time to bring the fans together with the recording artists and stars they hear on country radio? (EC: Maybe they prefer to sit back and let country radio do the promotion for them!!!)
Cable! Stop it!!! Ever heard of overkill? I'm about to get off cable and buy an expensive dish if it meant not seeing the same promos over and over! Help! Who has some control over these people? (EC: Nobody! Not anymore! Welcome to the world of unregulated hype!!!) I think somewhere common sense will enter the picture! (EC: PICTURE! That's funny!!!) Cable is a turnoff! (EC: TURNOFF! That's funny!!!)
Wasteland!!! It was decades ago when the term "wasteland" came into use! Funny how things come around. Today it is bigger and more applicable! (EC: How about talking heads???) Who has some control over these people??? (EC: CONTROL? That's very funny!) There is more TV to watch and fewer people are watching! There's a message there somewhere! People! Buy a CD! Rent a video! Buy a dog! (EC: Write a column!!!)
How about that!!! I'm excited already! This from a note that came to my desk! Part of it read "... staff would have enough to sweep up ... so it's a follow up memento of the evening." That's a nice way to put it and this is the kind of ingenious thing this industry needs. Hey lady! To me you're a star!!! (EC: What am I ... Cheesecake? Who are you talking about???) She knows!
Just asking!!! Is there a war going on within the two major factions of our industry? Rumour has it there is a lot of backbiting and it brings back memories of when this was once the order of the day! Meanwhile another faction of the industry may find itself without too much more of a future if my spies have had their ear and eye at the right knothole!!! (EC: May I ask for some initials???) No!
They're really after Edgar's ass!!! Mention merger and the media goes after Seagram again and again. Now that Viacom is set to take over CBS, and with it goes Blockbuster, MTV, Paramount Pictures and the UPN Network, the analysts are asked about the future of Seagram, and that means Edger Bronfman Jr., and the Universal entertainment group. Now, the analysts have the Viacom/CBS entity as the world's third largest entertainment company, behind Time Warner which is first and the Walt Disney Company which is second. You can bet that when the smoke clears and the analysts get out of the way, Seagram will be a big winner, targeting the music industry, not the headaches that come with television. (EC: Now you're an analyst???)
Our new Governor General!!! Nice to see our old friend Adrienne Clarkson named as our next Governor General. We got to know her well a few years ago and even better when she took in MIDEM and gave the Canadian delegation a boost. (EC: You'll have to call her Excellency now!!!!)
Speaking of excellencies!!! MZ, the guy who brought us blue movies, away back when television was clean and politically bent, could be calling the shots at Mother Corp, which isn't a bad idea. There had been rumours that he might even head up the public broadcaster. But why would he leave the successful and comfy position he already has? Unless, UNLESS, those rumours of nasty things going down are true. (EC: I don't believe it!!!)
Is the bloom off the rose??? Where have all the country fans gone? Are there too many stars? Are they coming so fast that a fan base can't be established? A couple of the major record companies are taking a close look at their country rosters and we could see a few acts cut loose. Country music needs all the allies it can get and radio is the most important. It might not be perfect, but country radio is the only real link to the consumer. The Canadian country star system could fade into the sunset if this constant nitpicking and harassment continues. (EC: Take a broadcaster to lunch!!!)
Platinum Blonde returns??? Sony had great food (and all the good things to wash it down) in-house reception for the return of Platinum Blonde and the release of their Greatest Hits CD, Seven Year Itch: 1982 - 1989. A new album with all new material will be released next month. The crowd obviously enjoyed the old Blonde songs, as performed in the Rehearsal Space by Mark Holmes and Sascha. But, from the reaction, they didn't get enough of the old stuff. What was the mailman doing back when the Blonde's first hit? By the look of this shot Rock was spending more time at the gym and less time on his hair. (EC: I'd know him anywhere!!!)
Kid Rock, now The Docks' major player, with Platinum Blonde's Mark Holmes taken during the band's heyday in the '80s.
TOP THIRTY
1. Chris Isaak - Bad Bad Thing
2. Brooks/Gaines - Lost In You
3. Lauryn Hill - Everything
4. Enrique Iglesias - Bailamos
5. Ricky Martin - All I Ever Had
6. Great Big Sea - Consequence
7. Tom Petty - Swingin'
8. Amanda Marshall - Believe
9. Mariah Carey - Heartbreaker
10. Eric Clapton - Blue Eyes Blue
11. Jewel - Jupiter
12. Santana/Thomas - Smooth
13. Shania Twain - Feel Like A Woman
14. Phil Collins - In My Heart
15. Lou Bega - Mambo No. 5
16. Kim Stockwood - You & Me
17. Mary Zilba - See You Again
18. Blackie/Rodeo Kings - Lean
19. Bruce Cockburn - Last Night
20. Shania Twain - You've Got A Way
21. Melissa Etheridge - Angels
22. Van Morrison - Back On Top
23. Madonna - Beautiful Stranger
24. Lenny Kravitz - American Woman
25. Natalie MacMaster - In My Hands
26. David Bowie - Thursday's Child
27. Brian McKnight - Back At One
28. Vonda Shepard - Break My Heart
29. Jennifer Lopez - Waiting For Tonight
30. Sheryl Crow - Sweet Child O' Mine
Ourselves, his first studio album in nearly five years. The album is released on the Oh Boy label (Koch Canada) where Prine teams with Iris DeMent, Lucinda Williams, Emmylou Harris, Melba Montgomery, Patty Loveless, Trisha Yearwood, Dolores Keane and Connie Smith. The title track, "I'm Gonna Fly Now," was written by Prine for the film "Rocky III."
### NATIONAL RADIO REPORT
#### C103
**MIKE SHANNON**
**THE DOLPHIN'S CRY**
- Last Kiss - Pearl Jam
- Summer Girls - L.F.O.
- Had My Love - Jennifer Lopez
- Someday - Sugar Ray
- Better Days - Citizen King
- Out Of My Head - Fastball
- Ask For More - Edwin McCain
- Black Balloon - Goo Goo Dolls
- Beautiful Stranger - Madonna
#### PEACE RIVER
**CHRIS MYERS**
**HOPE**
- Last Kiss - Pearl Jam
- Consequence - Great Big Sea
- My Hands - Natalie MacMaster
- Scar Tissue - Chili Peppers
- Ask For More - Edwin McCain
- Someday - Sugar Ray
- Weightless - See Spot Run
- Everything About - Steve Poitz
- Mambo #5 - Lou Bega
- I Do - 98 Degrees
#### WINDSOR/DETROIT
**PAT EVANS**
- Black Balloon - Goo Goo Dolls
- Bad Bad Thing - Chris Isaak
- Human - The Pretenders
- Smooth - Santana/Rob Thomas
- Call/Answer - Barenaked Ladies
- Meet Virginia - Train
- Someday - Sugar Ray
- This Different Kind - Sheryl Crow
- Swingin' - Tom Petty
- So Pure - Alanis Morissette
#### NIAGARA FALLS
**RYAN PATRICK**
- All Star - Smash Mouth
- Steal My Sunshine - Len
- Last Kiss - Pearl Jam
- No More, Less - Collective Soul
- Child Of Mine - Sheryl Crow
- Livin' La Vida - Ricky Martin
- Hey Leonardo - Union Of Souls
- Consequence - Great Big Sea
- All I Ever Had - Ricky Martin
- I Want It - Backstreet Boys
#### AM 800-DRYDEN
**BEN LUCAS**
**IN MY HANDS**
- She's So High - Tal Bachman
- Bobcaygeon - Tragically Hip
- Out Of My Head - Fastball
- I Want It - Backstreet Boys
- She's So High - Tal Bachman
- Call/Answer - Barenaked Ladies
- Love Lift Me - Amanda Marshall
- Someday - Sugar Ray
- Livin' La Vida - Ricky Martin
#### EDMONTON
**MIKE ANDERSON**
- Slide - Goo Goo Dolls
- You'll Be - Phil Collins
- All Star - Smash Mouth
- Kiss Me - Sixpence None Richer
- I Want It - Backstreet Boys
- Ask For More - Edwin McCain
- She's So High - Tal Bachman
- Love Lift Me - Amanda Marshall
- You've Got - Shania Twain
- Goliath - Melanie Doane
#### WINNIPEG
**TOM & JOE**
- One Man Army - Our Lady Peace
- Scar Tissue - Chili Peppers
- Enemy - Days Of The New
- Crush Em - Megadeth
- Bomb - Matthew Good Band
- Bawitdaba - Kid Rock
- Summertime - I Mother Earth
- Rollin' Stoned - Great White
- Can't Change Me - Chris Cornell
- Shag - Sammy Hagar
#### TORONTO
**WAYNE WEBSTER**
**ANGELS WOULD FALL**
- Melissa Etheridge
- Someday - Sugar Ray
- Steal My Sunshine - Len
- Last Kiss - Pearl Jam
- Black Balloon - Goo Goo Dolls
- Scar Tissue - Chili Peppers
- Out Of My Head - Fastball
- Smooth - Santana/Rob Thomas
- All Star - Smash Mouth
- Remember - Sarah McLachlan
- American Woman - Lenny Kravitz
#### PRINCE GEORGE
**LOCHLIN CROSS**
**WELCOME TO THE FOLD**
- Filter
- Bomb - Matthew Good Band
- Scar Tissue - Chili Peppers
- Breathe - Moist
- All Star - Smash Mouth
- Companion - Wide Mouth Mason
- You Wanted More - Tonic
- One Man Army - Our Lady Peace
- Never Change - Ashgrove
- Go Faster - Black Crowes
- Enemy - Days Of The New
#### PETERBOROUGH
**BRIAN ELLIS**
#### COUNTRY
**94.5 CHET FM**
**DONNA McCORKELL**
**WHEN I FOUND YOU**
- Michelle Wright
- I Got A Life - Gail Gavan
- It's Our Time - Jamie Hamilton
- Debbie - Montgomery Steele
- Something - Tim McGraw
- Wild Willows - Chris Cummings
- Where I Found - Michelle Wright
- I Love You - Martina McBride
- Something - Steph Beaumont
- Crush - Lila McCann
- Running Away - Thomas Wade
RPM - Monday September 13, 1999 - 7
Love, penned by Jonnie Barnett and Rory Lee, and It Ain't Called Heartland (For Nothing), a left-fielder written by Bryan Wayne and Justin Lantz. An added boost to the album is the heavy rotation the video for the title track is receiving at CMT. Walker also gave a giant boost to the album in the US with his North American summer tour. The album was produced by Walker and Doug Johnson.
Eddy Louiss Trio - Jazz & Fanfare
Sentimental Feeling
Dreyfuss Jazz-26000
Organist/vocalist Earl Grant was taken from us too soon. Fortunately, Eddy Louies is still here. He doesn't sing, at least not here, but his similar smooth keyboard technique is the driving force whether leading his trio in gentle jazz or dynamizing the full Fanfare orchestra into sounds almost symphonic. All but one of the nine tracks are of his own compositions. Most are Latin touched and actually danceable but throughout, it's the organ playing that carries the day -- for this listener anyway.
Susan Cogan - Folk 'n More
Gypsy Hill
Nomad-9903
They don't make folk singers like Susan Cogan anymore, which makes this release such a treasure. Although Cogan's folk roots are obvious, she reveals here that the world is her oyster. Most of the material was written by Cogan, the exception being La Lala, composed and performed by Cogan's daughter Ora. Fire In The Heart with lyrics by Robin Jones, and Mayim, the traditional hora dance tune with words from Isaiah 12-3. Where the music is concerned, the sheer melodic richness of Cogan's vocal talent perhaps shines through best. Soothing, provocative, a little to the left, a little to the right, but never pretentious and bordering on a bit of sobering awareness is Cogan's immediate impact. All tracks are key with a couple of radio friendly ones to boot. Recorded at Cogan's Salt Spring Island home studio with an unbelievable clutch of top professional musicians, guest vocalists, guitarists Andrew Beddoes, Bill Henderson, bassist Kerry Galloway, drummer Jerome Jarvis, Mike Simpson on keys, violinist Calvin Cairns, Jane Phillips on viola da gamba, cellist Carol Young, Beth Smolar on tambura and Cogan on keys and acoustic guitars with backing vocals by Charlie Erick, Christine Baxter and Wyckham O'neous. Call 250-653-4563 fax 250-653-9563.
George Evans - Swing
I'm All Smiles
M-Swing-024
It was Fred Rose and Roy Acuff who first realized the potential for increased personal reward by having artists perform their own compositions. Unfortunately, not all musicians are good composers. This is our roundabout way of expressing pleasure over an album of established songs performed with evident affection by singer George Evans. To be honest, he isn't always true to their intentions. Ballads are to be presented in the manner say, of Johny Hartman whose voice was similar in timbre to that of Evans, not Bobby Short whose phrasing is much in evidence here. The main however, is the singing of your again, such once familiar songs as How Am I To Know and My Heart Tells Me. Our favourite from the 14 track programme is One Evening In May which was popularized by the late, and also from Montreal, Dick Todd. It's a good album and worth custom but it would have better sung, not swung.
Jay Boemer Jazz - Don't Look Back
JB-002
Though percussion is his evident choice of expression Jay Boemer possesses a melodic sense that's palpable on this collection of his original compositions. They are occasionally challenging harmonically and, expectedly, rhythmically complex but the melody is always to the forefront. He leads basically a rhythm trio with an assist from Pat LaBarbera on tenor sax through a programme that's accessible and enjoyable to all musical tastes. One wishes it were possible to say it's a landmark MAPL album in that what would be overshadowed. Far better to say it's contemporary jazz that sometimes sound like a legitimate late and love child of Swing. Proof is offered here.
Mario Lanza - Opera Arias and Duets
RCA Victor/MGM Classics-63491-N
Au courant hot pollio (an oxymoron if ever there was one) dismiss the late Mario Lanza as a good looking tenor who dissipated a glorious talent before his death on Oct. 7th, 1959 at age 38. They might -- heaven forfend -- be correct but the talent in question is not to be gainsaid nor its inspiration to the two generations that have followed. Editorializing aside, here in ten tracks recorded between 1950 and 1955, some of them released for the first time, his voice is glorious as it rises to the challenge of the music. Yes, his emotionalism tended toward the florid but then, so did that of his predecessors such as Gigli, Caruso and Bjoerling. Best track is the 14-minute Di ti giocondi, a duet with Licia Albanese from Verdi's Otello. There are a few lollipops -- Celeste Aida, La donna e mobile and Vesti La Giubba -- but for the most part the programme is made up of "hard tack" and performed beautifully. Deserved success of this album should portend a revival of interest in Lanza; one that's long overdue.
Placido Domingo - The Young Domingo
RCA Red Seal/BMG Classics-63527-N
Superlatives are chancy at best but we consider Placido Domingo to be the greatest living tenor to ever perform better both in opera and concert than any of his contemporaries. What's more, he's been doing it longer. As proof, we offer this 2 CD album of opera arias recorded three decades ago. His voice, then as now, is as passionate as Bjoerling's; as disciplined as that of Leonard Warren. He is quite simply and simply quite the best. There are a total of 24 tracks on the two sides and though many are recognizable favourites, none is a lollipop. Indeed, such too rarely heard gems as Rachele from Halévy's La Juive, Aprili tu a tua finestra! from Mascagni's Iris and Ah! tout est bien fini from Le Clé by Massenet are sure to become vox popular all over again. An extra bonus offered are the lyrics of the songs in their original languages and in English. Just don't try to sing along with Domingo; he's unique.
Album Pick
L.F.O. - Pop
Self-Titled
Arista-14605-N
Clive Davis, the Arista maven of pop, has probably found another hit in this trio from south of the border who have tapped into the teen-pop craze and tried to raise it up a notch. Although there are obvious comparisons to Backstreet Boys, 'N Sync, Boyzone, 98 Degrees, etc., etc. L.F.O. is an entity that comes across as a little more street-wise, even a bit more mature. What's also impressive about these three guys is that Brad (Young), Devin (Brain) and Rich (Cronin) actually write their own material. They penned the lead single, Summer Girls, which has already begun climbing the charts (#30, RPM/Sept.6/99), and could very easily be top ten within a week or two. In addition to penning the three-some also contributed Girl On TV, and West Side Story, and also grab co-writing credits on Can't Have You (with the Gibb brothers, no less). If you're looking for a second hit, look no further than Your Heart Is Safe With Me, written by proverbial hitmaker Diane Warren. As with most guy groups today, L.F.O. have the image to curl some serious MTV/MuchMusic success, which certainly wouldn't hurt the album's sales. Look for this one in your daughter's collection. -RR
RPM Top 100 CDs
Compiled from retail and radio station reports
NATIONAL RETAIL REPORT
TOP TWENTY
1. Backstreet Boys - Millenium
2. Ricky Martin - Ricky Martin
3. Limp Bizkit - Significant Other
4. Now 4 - Various
5. Planet Pop 2000 - Various
6. Frosh 2 - Various
7. Notting Hill - O.S.T.
8. Runaway Bride - O.S.T.
9. Pure Energy 6 - Various
10. Britney Spears - One More Time
11. R.H.C.P. - Californication
12. Shania Twain - Come On Over
13. Go - O.S.T.
14. Pokemon 2 B A Master - Various
15. Austin Powers: The Spy - O.S.T.
16. Jennifer Lopez - On The 6
17. Sarah McLachlan - Mirrorball
18. Smash Mouth - Astro Lounge
19. Night At The Roxbury - O.S.T.
20. Offspring - Americana
TOP TWENTY INTERNET SALES
1. Prozzak - Hot Show
2. Amanda Marshall - Tuesday's Child
3. Tea Party - TRIPtych
4. I Mother Earth - Blue Green Orange
5. Sky - Piece Of Paradise
6. Great Big Sea - Turn
7. Moist - Mercedes Five And Dime
8. Melanie Doane - Adam's Rib
9. Matthew Good Band - Underdogs
10. Tea Party - Alhambra
11. Celine Dion - 1997: Live In Memphis
12. Diana Krall - Love Scenes
13. Great Big Sea - Play
14. Anne Murray - A Love Song
15. Rankin Family - Uprooted
16. Anne Murray - There's A Hippo
17. Anne Murray - A Wonderful World
18. Love Inc. - Love Inc.
19. Anne Murray - Keeping In Touch
20. Bruce Guthro - Of Your Son
TOP THIRTY
1. Backstreet Boys - Millenium
2. Chemical Brothers - Surrender
3. Dixie Chicks - Fly
4. Lenny Kravitz - 5
5. Ricky Martin - self-titled
6. Frosh Vol.2 - Various
7. Chili Peppers - Californication
8. Christina Aguilera - self-titled
9. Puff Daddy - Forever
10. Lauryn Hill - Miseducation Of
11. Whitney Houston - My Love
12. Pure Energy V.6 - Various
13. Come On Over - Shania Twain
14. TLC - Fanmail
15. Jennifer Lopez - On The 6
16. Moby - Play
17. Dance Hits 99 - Various
18. Mary J. Blige - Mary
19. Planet Pop 2000 - Various
20. Limp Bizkit - Significant
21. Smash Mouth - Astro Lounge
22. Sarah McLachlan - Mirrorball
23. Andrea Bocelli - Sogno
24. Abba - Abba Gold
25. Mobb Deep - Murda Muzik
26. Destiny's Child - Writing
27. Ry Cooder - Buena Vista
28. GangStarr - Full Cup
29. Now Vol.4 - Various
30. Prince - Vault
MORE MUSIC FUTURE SHOP
LESS PRICE
TOP THIRTY
1. Number 1 Jazz Album - Various
2. Diana Krall - When I Look
3. Andrea Bocelli - Sogno
4. Ry Cooder - Buena Vista
5. Millennium Collection 1 - Various
6. Lauryn Hill - Miseducation Of
7. Sarah McLachlan - Mirrorball
8. Abba - Abba Gold
9. Backstreet Boys - Millenium
10. Lou Bega - A Little Bit Of Mambo
11. Boyzone - By Request
12. Limp Bizkit - Significant Other
13. Santana - Supernatural
14. Barry White - Best Of
15. Fat Boy Slim - A Long Way
16. Van Morrison - Back On Top
17. Notting Hill - O.S.T.
18. Smash Mouth - Astro Lounge
19. Dance Hits 99 - Various
20. Millennium Collection 2 -Various
21. Big Sugar - Heated
22. Chemical Brothers - Surrender
23. James Etta - Millenium Collection
24. Jamiroquai - Synkronized
25. Bob Marley - Legend
26. Dave Matthews - Crowded Streets
27. Mozart - Eine Kleine Nachtmusik
28. Roy Orbison - 16 Biggest Hits
29. Puff Daddy - Forever
30. Britney Spears - One More Time
TOP THIRTY
1. Andrea Bocelli - Sogno
2. Diana Krall - When I Look
3. Ry Cooder - Buena Vista
4. Backstreet Boys - Millenium
5. Number 1 Jazz Album - Various
6. Ricky Martin - Ricky Martin
7. Ibrahim Ferrer - Buena Vista Social
8. Kenny G - Classics In The Key Of G
9. Van Morrison - Back On Top
10. Eric Clapton - Blues Collector
11. Anne Murray - A Wonderful World
12. Sarah McLachlan - Mirrorball
13. Charlotte Church - Voice Of
14. Austin Powers: The Spy Who - O.S.T.
15. Tom Waits - Mule Variations
16. Great Big Sea - Turn
17. Shania Twain - Come On Over
18. Now 4 - Various
19. WTN Romance Sundays - Various
20. Tarzan - O.S.T.
21. Sarah Brightman - Eden
22. Amanda Marshall - Tuesday's Child
23. Alison Krauss - Forget About It
24. Allure Of Sensual Romance - Various
25. Ruben Gonzalez - Ruben Gonzalez
26. Harry Connick Jr. - Come By Me
27. Jennifer Lopez - On The 6
28. Jesse Cook - Vertigo
29. Afro Cuban All Stars - Cuba Le
30. Star Wars: Phantom Menace - O.S.T.
TOP THIRTY
1. Christina Aguilera - Christina Aguilera
2. Planet Pop 2000 - Various
3. Limp Bizkit - Significant Other
4. Dixie Chicks - Fly
5. Red Hot Chili Peppers - Californication
6. Puff Daddy - Forever
7. Frosh 2 - Various
8. Megadeth - Risk : Limited Edition
9. Ricky Martin - Ricky Martin
10. Santana - Supernatural
11. Backstreet Boys - Millenium
12. Vengaboys - Greatest Hits
13. Jennifer Lopez - On The 6
14. Notting Hill - O.S.T.
15. Britney Spears - One More Time
16. Days Of The New - Days Of ... 2
17. Sarah McLachlan - Mirrorball
18. Now 4 - Various
19. Shania Twain - Come On Over
20. Runaway Bride - O.S.T.
21. Smash Mouth - Astro Lounge
22. Pure Energy 6 - Various
23. Destiny's Child - Writing On The Wall
24. TLC - Fan Mail
25. Prozzak - Hot Show
26. Dance Hits 99 - Various
27. Offspring - Americana
28. No Boundaries - Various
29. Tea Party - TRIPtych
30. Violator The Album - Various
CANADIAN COUNTRY MUSIC WEEK'S
SUNDAY, SEPTEMBER 12
8:30 am - 7 pm
Registration
Sponsored in part by Dauphin Countryfest
8:45 am - 10:45 am
Western Breakfast
Sponsored by Grey-Sea Entertainment & Gemstone Entertainment
11 am - 12:30 pm
CCMA Annual General Meeting
1 pm - 3 pm
Country Gospel Show
2 pm - 6 pm
Songwriter's Café
Sponsored by SOCAN Seminar
3:30 pm - 5 pm
Problem Solving For Independents Part 2 Seminar
3:30 pm - 5 pm
On The Road Again:
Taking Country To The Country Seminar
3:30 pm - 5 pm
How The Junos Can Promote Canadian Country Presented by CARAS
5 pm - 6 pm
Showcase '99
Sponsored by Calgary Stampede
6 pm - 7 pm
President's Dinner Cocktails
7 pm - 10 pm
President's Dinner
10:30 pm - 12:30 am
Showcase '99
Sponsored by Calgary Stampede
MONDAY, SEPTEMBER 13
8:30 am - 11 am
Coffee Service
Sponsored by Strait's Dance Hall & Saloon
8:30 am - 4 pm
Registration
Sponsored in part by Dauphin Countryfest Seminar
9 am - 10:30 am
Problem Solving For Independents Part 3 Seminar
10:45 am - 12:15 pm
A View From The Top
12:30 pm - 2 pm
Roundtable Luncheon
Sponsored by RDR Music Group
3:30 pm - 4 pm
Guitar Pull
Sponsored by SOCAN & HMV Canada Seminar
3:30 pm - 5 pm
Inside Trading: Take Stock of Outside Material Presented by SOCAN
4:30 pm - 7 pm
Showcase '99
Sponsored by Calgary Stampede
8 pm - 10 pm
CCMA Awards Show
10 pm - 1 am
Post Awards Gala Reception
Sponsored by Country Music Week 2000
SHIRLEY LANGE
Catch Shirley's showcase at the Ottawa Congress Centre, Capital Hall: September 12, 5:00 PM.
Thanks to CMT and Radio for their support.
Watch for the new Single & Video "How Would I Know"
СОВЕТЫ ПРОФЕССИОНАЛОВ
При выборе ткани для штор важно учитывать ее свойства и характеристики, чтобы обеспечить долговечность и комфорт в помещении.
Paul Brandt to host CCMA Awards '99 from Ottawa
Reprise recording artist Paul Brandt has been named host of the Canadian Country Music Awards, which will be broadcast live by CBC Television from Ottawa's Civic Centre on Sept. 13.
The Calgarian-born Brandt has had a number of #1 records in Canada since signing with Reprise almost five years ago, and has won numerous Big Country, CCMA and Juno awards. Two of his #1 songs, I Do and My Heart Has A History, won SOCAN song of the year awards.
The nominations call for this year's awards show which were announced Aug. 4, revealed four nominees getting the nod in six categories: The Wilkinsons for group, single, video and SOCAN song of the year for their #1 hit 26 Cents, album for Nothing But Love and the Wrangler rising star award; Shania Twain for female artist, fan's choice, single, SOCAN song and video for That Don't Impress Me Much and collaboration of the year for her duet with Bryan White on From This Moment On; Terri Clark for female, fan's choice, single for You're Easy On The Eyes, video for Everytime I Cry, and album and top selling album for How I Feel; and Prairie Oyster who have staged a comeback with nominations as best group or duo, single, video and SOCAN song for Canadian Sunrise, fan's choice and album for What Is This Country.
Brandt has been nominated in five categories; male artist, fan's choice, single and SOCAN song for That's The Truth and album for That's The Truth.
The final round of voting by the 1,700 CCMA members is being held over the next few weeks. All the 11 awards presented on the awards show are chosen by the CCMA's members with two exceptions; top selling album, which is based on sales figures, and the CMT Maple Leaf Foods fan's choice award which is voted on by fans across Canada who dial 1-900-870-CCMA (2262) to register their votes.
The 11 categories and nominees are as follows:
SOCAN SONG OF THE YEAR
26 CENTS
Steve Wilkinson & William Wallace
The Wilkinsons
CANADIAN SUNRISE
Joan Besen
Prairie Oyster
CRIED ALL THE WAY HOME
Jamie Warren & Naoise Sheridan
Jamie Warren
THAT DON'T IMPRESS ME MUCH
Shania Twain & R.J. Lange
Shania Twain
THAT'S THE TRUTH
Paul Brandt & Chris Farren
Paul Brandt
ALBUM OF THE YEAR
FAMOUS FIRST WORDS
Gil Grand
HOW I FEEL
Terri Clark
NOTHING BUT LOVE
The Wilkinsons
THAT'S THE TRUTH
Paul Brandt
WHAT IS THIS COUNTRY?
Prairie Oyster
VIDEO OF THE YEAR
26 CENTS
The Wilkinsons
ALREADY IN WAY OVER MY HEART
Stephanie Beaumont
CANADIAN SUNRISE
Prairie Oyster
EVERYTIME I CRY
Terri Clark
THAT DON'T IMPRESS ME MUCH
Shania Twain
TOP SELLING ALBUM
DOUBLE LIVE
Garth Brooks
FAITH
Faith Hill
HOW I FEEL
Terri Clark
IF YOU SEE HER
Brooks & Dunn
WIDE OPEN SPACES
Dixie Chicks
FEMALE ARTIST OF THE YEAR
STEPHANIE BEAUMONT
LISA BROKOP
TERRI CLARK
SHANIA TWAIN
MICHELLE WRIGHT
MALE ARTIST OF THE YEAR
JULIAN AUSTIN
PAUL BRANDT
BRUCE GUTHRO
JASON MCCOY
JAMIE WARREN
GROUP OR DUO OF THE YEAR
FARMER'S DAUGHTER
JOHNER BROTHERS
LEAHY
PRAIRIE OYSTER
THE WILKINSONS
VOCAL/INSTRUMENTAL COLLABORATION
BEVERLEY MAHOOD & JAMIE WARREN
Love How You Listen To Me
DUANE STEELE & SHIRLEY MYERS
Forever In Love
JOHNER BROTHERS & SUZANNE GITZI
I Don't Wanna Know
SHANIA TWAIN & BRYAN WHITE
From This Moment On
WENDELL FERGUSON & RUSSELL DECARLE
If You're Gonna Be A Cowboy
WRANGLER RISING STAR AWARD
LORRIE CHURCH
BEVERLEY MAHOOD
SHIRLEY MYERS
RICK TIPPE
THE WILKINSONS
Shania Twain
The Wilkinsons
Shirley Myers
Paul Brandt
1999 CCMA Industry Citation Nominees
MANAGER
Brian Ferriman (Michelle Wright)
Ron Kitchener (Jason McCoy)
Peter Leonard (Shelley Myers)
VIDEO DIRECTOR
WARREN P. SONODA
All My Life
(Jim Witter)
MAJOR RECORD COMPANY
BMG Music Canada
Mercury/Polydor
Sony Music Canada
Universal Music Canada
Warner Music Canada
COUNTRY MUSIC PERSON
Larry Delaney
Chas. Hay
Ron Sakamoto
Jill Snell
Tom Tompkins
MUSIC DIRECTOR
(Secondary Market)
DERM CARNDUFF
KICX-FM, Midland, ON
CAL GRATTON
CJVH, Melfort, SK
BRUCE LEPERRE
CKDM, Dauphin, MB
BOB MARTINEAU
CJXX, Grande Prairie, AB
PETE WALKER
CJXX-FM, Ajax, ON
ON-AIR PERSONALITY(IES)
(Major Market)
CLIFF DUMAS
CHAM, Hamilton, ON
PETER SCHAAD & ERYNN
FISCHER - CKXM, Victoria, BC
DOUG VERONELLY, ROBYN ADAIR
& DAN CARSON
CKRY-FM, Calgary, AB
ON-AIR PERSONALITY(IES)
(Secondary Market)
Please note that this category is on hiatus for one year
Independent Citation Nominees
INDEPENDENT MALE
Colin Arney
Reese Klaiber
John Landry
Rick Tippe
Jamie Warren
INDEPENDENT FEMALE ARTIST
Stephanie Beaumont
Tracey Brown
Patricia Conroy
Beverley Mahood
Denise Murray
INDEPENDENT GROUP OR DUO
Faster Gun
Hawg Wylde
Montana Sky Quartette
Thomas Wade & Wayward
INDEPENDENT SONG
CRIED ALL THE WAY HOME
Jamie Warren & Naoise Sheridan
Jamie Warren
DIRECTION OF LOVE
Patricia Conroy
RADIO 101
Beverley Mahood & Gary O'Connor
Beverley Mahood
THE WAY LOVE GOES
Jason Barry, Mark Dineen &
Jamie Warren
Jamie Warren
THERE YOU WERE
John Landry & Fred Hale
John Landry
Musician Citation Nominees
BACK-UP BAND OF THE YEAR
The Austinators (Julian Austin)
Duane Steele Band
Farmer's Daughter Band
Jason McCoy Band
Michelle Wright Band
ALL-STAR BAND
DRUMS
Matthew Atkins (Duane Steele Band)
Craig Bignell (George Fox Band)
Mike Porelle (The Austinators)
Ken Post (Stephanie Beaumont Band)
Brian Tulk (Jason McCoy Band)
BASS
Darrell Chambers (The Austinators)
Russell deCarle (Prairie Oyster)
John Dyrdym (Lisa Brokop Band/Session)
Barry Murray (Jason McCoy Band)
Derek Stremel (Duane Steele Band)
GUITAR
Jason Barry (Warren Commission)
Wendell Ferguson (Duane Steele Band)
Keith Glass (Prairie Oyster)
Jon Park-Wheeler (Stephanie Beaumont Band)
Steve Piticco (South Mountain)
KEYBOARDS
Joan Besen (Prairie Oyster)
Kim Dunn (The Austinators)
Tim Louis (Warren Commission)
Steve O'Connor (Session)
Rich Roxborough (Jason McCoy Band)
FIDDLE
John P Allen (Prairie Oyster)
Cory Churko (Shania Twain Band)
Bobby Lalonde (Bobby Lalonde Band)
Natalie MacMaster (Artist)
Don Reed (Session)
STEEL GUITAR
Al Brisco (Session)
Dennis Delorme (Prairie Oyster)
Doug Johnson (Thomas Wade & Wayward)
Ira Moorehouse (The Austinators)
Andy Schick (Jason McCoy Band)
SPECIAL INSTRUMENT
Willie P Bennett (Harmonica - Fred J. Eaglesmith Band)
George Fox (Harmonica - Artist)
Robin MacQuarrie (Mandolin - Farmer's Daughter Band)
Tom McKillip (Saxophone - Lisa Brokop Band)
Randall Prescott (Harmonica - Tracey Brown Band)
Please request our single "Again Tonight" ~ now at country radio stations across Canada, Europe and parts of the USA.
THICKER THAN WATER
AGAIN TONIGHT
Catch our live CCMA showcase in Capitol Hall at the Ottawa Congress Centre FRIDAY, SEPT 10, 1999 AT 5:30PM
Thank you to country radio for playing "Again Tonight"
TWA RECORDING ARTIST
WINMAR PUBLISHING
CONTACT: CHADCO PRODUCTIONS
54 Letete Rd., St. George, New Brunswick E5C 3H4
Phone/Fax: (506) 755-2510 or (506) 755-3933
Email: email@example.com
THANKS, CANADIAN COUNTRY RADIO FOR YOUR SUPPORT OF "WHY" and "DOWN IN THE MOJAVE"
Currently seeking Canadian distribution!
CHECK OUT STEVE FOX AT CCMA!!!!
SONGWRITER'S CAFE,
Sunday Sept. 12, 5:00 pm
at The Westin Hotel
OFFICIAL SHOWCASE,
Sunday September 12, 11:30 pm
Ottawa Congress Centre
For information contact: Elisa Amsterdam, AMI-Amsterdam Management Inc.
Tel: (416) 927-1927 FAX: (416) 927-9627 email: firstname.lastname@example.org
The mountain is a symbol of strength, resilience, and endurance. It represents the challenges we face in life and the obstacles we must overcome to reach our goals. Just as a mountain can be climbed with determination and perseverance, so too can we achieve our dreams and aspirations.
Mountains also inspire us to look beyond our immediate surroundings and consider the vastness of the world around us. They remind us that there is always more to explore and discover, and that we should never be content with what we have achieved.
In conclusion, mountains are not just physical landmarks; they are also powerful symbols of human spirit and potential. Whether we climb them or simply admire their beauty from afar, mountains have the power to inspire and motivate us to reach for the stars.
Some of this year's CCMA nominees
TOP FEMALE VOCALIST CONTENDERS
STEPHANIE BEAUMONT
Like many burgeoning artists, Stephanie Beaumont did a great deal of traveling in her formative early years. Born in Halifax, Beaumont moved numerous times during her younger years, largely a result of her father’s career with the Bank of Nova Scotia. She called nine different places home, including Trinidad, before she eventually enrolled at the University of Western Ontario in London, majoring in finance and economics. But the financial world was not her desired destination, and music kept beckoning. With the financial support of her family, Beaumont was able to record Love And Dreams in 1996, produced by Canadian country vet Randall Prescott. The album produced six singles that found their way onto the charts, all of them with accompanying videos that played on Country Music Television (CMT). By this time, Beaumont had secured a licensing deal with Iron Music, and national distribution with BMG. Love And Dreams produced two CCMA nominations in 1996, and four more in ’97, including female vocalist and Rising Star. With major label support to back her up, Beaumont headed back to the studio to record Way Over My Heart. The album showcases the talents of Beaumont and her producers, Jeffrey Steele and Tom Harding. Steele, former Boy Howdy lead singer, co-wrote eight of the 12 tracks, and sings alongside Beaumont on My Greatest Love. This year, Stephanie Beaumont is nominated for top female vocalist at the CCMA Awards.
TERRI CLARK
Even though she already had million-selling success throughout North America, Terri Clark was eager to take another step forward creatively with her 1998 release, How I Feel. She wanted to create a ‘career album’, and the results, both critically and commercially, would suggest that she has.
The album runs the musical gamut, from the power of Unsung Hero, to the hillbilly honky-tonk of Cure For The Common Heartache, to the pop stylings of Now That I Found You – the album reveals an artist at their musical peak, and willing to change. Of course, one wonders why things needed changing.
From the release of her 1995 self-titled debut, Terri Clark has been a fixture on the country charts. Spurred by the success of the #1 single, Better Things To Do, that album eventually reached platinum status, and earned Clark a slew of awards, including three 1996 CCMA Awards (top song and album, and the Vista Rising Star Award).
The year 1997 saw the release of Clark’s second Mercury album, Just The Same. That album produced three top forty singles (Poor Poor Pitiful Me, Emotional Girl and the title track), and resulted in three more CCMA Awards, including top female vocalist, top album, and entertainer of the year.
How I Feel has picked up right where the others left off, in terms of success. Now That I Found You and You’re Easy On The Eyes were both hits, and How I Feel quickly equalled the sales success of her earlier releases.
For the 1999 CCMA Awards, Terri Clark has been nominated for six awards, including top female artist, single (You’re Easy On The Eyes), video (Everytime I Cry), album and best-selling album, and the Fan’s Choice Award for entertainer of the year.
SHANIA TWAIN
By now, the incredible rags-to-riches story of Shania Twain has become something of an industry legend. Growing up in difficult circumstances in the hinterlands of Timmins, Ontario, Twain has emerged from that trying existence to become one of the most popular artists in the world - country or otherwise.
The whirlwind of success for Twain in recent years has truly been staggering. Surprisingly, however, it didn’t start off that way. After making her way to Nashville in the early ’90s, signing with Mercury Records and releasing her self-titled debut in ’93, Shania’s career was still at a standstill. But after partnering with rock producer Mutt Lange, both in and out of the studio, things seemed to come together.
The release of her second album, The Woman In Me, heralded the start of something special. As opposed to her first record, The Woman In Me consisted entirely of songs written by Twain and Lange. The combination of their writing talents, and Lange’s producing skills, were a definite winner. The Woman In Me became one of the biggest selling records in country music history, producing four number one singles, and the awards started to roll in - top album honours from the Academy of Country Music and the CCMA, top country album at the Grammys, top female country artist at the CCMA, American Music Awards, World Music Awards, etc., etc.
The 1998 release of Come On Over was widely anticipated, and the results have been just as sweet. The album has already produced a series of hit singles (You’re Still The One, That Don’t Impress Me Much, Don’t Be Stupid, You’ve Got A Way), and the awards continue to roll in, including top album, single (You’re Still The One) and female vocalist at the ’98 CCMA Awards.
For this year’s awards, Twain is nominated for six awards - SOCAN song and video (That Don’t Impress Me Much), vocal collaboration (From This Moment, with Bryan White), top female artist and the CMT Fan’s Choice Award.
MICHELLE WRIGHT
Raised in a musical family in southwestern Ontario, it’s no surprise that Michelle Wright ventured into a musical career herself. From her early beginnings as a teenager playing local clubs, Wright’s career has expanded into platinum success throughout North America.
From the chart success of her first-ever single (I Want To Count On You) back in 1986, the doors swung open for Michelle both here and south of the border. She released her first album shortly thereafter (Do Right By Me) on the Savannah label, and after a constant stream of touring both in Canada and the US, Wright was eventually picked up by Arista Nashville, who released her self-titled album in 1990.
The follow-up to that release, Now & Then, was the album that propelled Wright into the spotlight. The album produced five Canadian #1’s, including the huge American hit, Take It
Like A Man. The awards followed as well, including the '93 CCMA entertainer of the year.
She regained that award the following year, after the release of her '94 album, The Reasons Why. In '95 came the album For Me It's You, producing more hits, including Nobody's Girl.
As the decade nears its close, Wright is preparing her Greatest Hits package, which will be released in November. She's also working on a new album, due out next spring.
That album started the ball rolling. In 1992, she headed to Nashville to do a label showcase, which led to a signing with Liberty (Capitol) Records, and the release of Every Little Girl's Dream (1994). That album produced the hit single, I'm So Sorry, and the follow-up, I'm Not Gonna Cry.
singer/songwriter to form The Warren Foundation for Victims of Abuse, which has raised more than $30,000 for victims of domestic violence. The success of Fallen Angel resulted in a deal with River North Nashville, and the album was eventually released by Mercury/Polydor in the US. In 1998 came his second album, Just Not The Same, which immediately produced a hit in Cried All The Way Home. For the 1999 CCMA Awards, Warren has been nominated in three categories: SOCAN song (with Naoise Sheridan, for Cried All The Way Home), vocal collaboration (Love How You Listen To Me, with Beverly Mahood), and top male artist.
**JULIAN AUSTIN**
It’s hard to argue the fact that this Saint John, New Brunswick native may be the fastest-rising star in Canadian country music. Austin happily embraces the tag of country music ‘bad boy’, and he has the hard experience to back it up. Austin openly talks about his earlier hard times, as a boy who started drinking at age 11, who eventually got into drugs, and spent time in prison. But music, as is often the case, proved to be his salvation. Playing bars and clubs throughout eastern Canada helped hone his craft, and his songwriting talents eventually caught the ear of the folks at BMG. Producer Daniel LeBlanc brought in an A-list of talent to perform on the debut record, and the results have spoken for themselves. His first single, Little Ol’ Kisses, hit the top of the country charts in the summer of ’97, and Austin has been on a roll ever since. The song and album garnered him the Rising Star Award at the ’97 CCMA Awards, and he earned a slew of nominations at the ’98 awards, including top single, album and male vocalist. The album has since produced more charted hits, including Hard Time Loving You, and the result has been more recognition from his peers. For the 1999 CCMA Awards, Julian Austin has been nominated for a pair of awards, including the CMT Fan’s Choice, and top male artist.
**WRANGLER RISING STAR AWARDS NOMINEES**
**SHIRLEY MYERS**
Born and raised in New Brunswick, Shirley Myers was singing on stage while still a toddler. As she got older, she developed her singing talents, learned guitar and played the drums. Her first real break came in 1998 when she won the $10,000 first prize in the CCMA talent search. But despite constantly touring, and appearing on several television shows, things weren’t happening. Another turning point arose when she teamed with manager Peter Leggett, who found her opening slots for George Jones, Terri Clark, John Michael Montgomery and Tracy Lawrence. An introduction to songwriter Rick Scott led to the writing and production of a first album, Let It Rain, with the title track becoming a top ten hit in Canada. Now living in Nashville, Myers gravitated to the Stony Plain label, who released her second album this past year, There Will Come A Day (distributed by Warner Music Canada). The album features songs co-written by Myers and her husband, guitarist/songwriter Rod Nicholson. The results have been strong radio support in Canada and the US, and a 1999 CCMA nod for the Wrangler Rising Star award.
**RICK TIPPE**
Over the past 10 years, BC native Rick Tippe has been forging his exciting country sound, and touring endlessly with his band, The Party Down Posse. Tippe has opened for some of the biggest names in country music, both in Canada and south of the border, including Terri Clark, Sawyer Brown, Jo Dee Messina, Brooks & Dunn and the Dixie Chicks. His performance schedule has taken him around the world, including the UK and Australia. In terms of radio airplay, Tippe has also been making some strong headway over the past several years. His last 14 singles have hit the top 40 in Canada, including six from his debut album, Shoulda Seen Her Comin’, another six from his second album, Get Hot Or Go Home, and a couple more off his latest release, Shiver ‘N Shake. His videos are also receiving strong airplay on Country Music Television. In 1998, Tippe won his first CCMA Award for independent male vocalist, and earlier this year, won his four straight BC Country Music Association Award as top male vocalist. For this year, Tippe is nominated for the Wrangler Rising Star Award.
**BEVERLEY MAHOOD**
Although born in Ireland, Beverley Mahood first began performing the day she arrived in Canada at the age of six. At the age of 11, Mahood hit the big stage, winning the Ontario Open Country singing contest, and a year later, she won the Canadian Open Country singing contest, performing the Patsy Cline classic Crazy. In 1986, Mahood met producer J. Richard Hutt, who would become a major figure in her musical life. In 1988, she began singing backing vocals for numerous artists, including Jamie Warren, and headed to New York to perform on Star Search. By the time she turned 20, Mahood was heading out into the working world, but music was still in the forefront, and she continued to write her own songs. In ’96, she began recording (with Hutt) the songs for her first album. A year later came her first single and video, Girl Out Of The Ordinary, a song which hit the top ten on the Canadian country charts. Later that year came a call from noted producer David Foster, who agreed to work with her in the immediate future. Early in 1998 came the release of the album, Girl Out Of The Ordinary. That same year, she received five CCMA and one Juno nomination, and won the Rising Star Award at the Big Country Awards. This year, Mahood is nominated for the Wrangler Rising Star Award. She is also part of the new trio, Lace. Their Foster-produced album is due out shortly.
**LORRIE CHURCH**
A singer/songwriter from the Sweetgrass First Nation reserve, Lorrie Church has been able to bring her cultural background into her own brand of country music. The 12th of 16 children, Church began performing early and often. She formed her own band in high school, performing throughout her native Saskatchewan. After high school, she hit the road with a new band, performing throughout western Canada and the territories. In addition to furthering her own ambitions, Church has also given back to the native community. She organized the Have You Seen The Future? tour, which involved 60 free shows at native centres across the province of Saskatchewan. Her 1998 debut release, I Never Gave Up Hope (Eagle Hill Music) was produced by veterans Kim Tribble and Cyril Rawson. The results have already been outstanding, with
charted success for the lead single (Running Away), video releases on CMT, and five Saskatchewan Country Music Awards, including entertainer of the year. This year, Church is nominated for the Wrangler Rising Star Award at the Canadian Country Music Awards.
The Wilkinsons have been nominated for six CCMA Awards: top group, single, video and SOCAN song (26 Cents), album (Nothing But Love), and the Wrangler Rising Star Award.
### RPM DANCE 30
**Record Distributor Codes:**
- BMG - N
- EMI - F
- Universal - J
- Polygram - Q
- Sony - H
- Warner - P
| TW | LW | WO | SEPTEMBER 13, 1999 |
|----|----|----|---------------------|
| 1 | 1 | 9 | JAMBOREE |
| | | | Naughty By Nature |
| | | | Aries - J |
| 2 | 2 | 14 | IF YOU HAD MY LOVE |
| | | | Jennifer Lopez |
| | | | Virgin - H |
| 3 | 6 | 7 | BILLS, BILLS, BILLS |
| | | | Destiny's Child |
| | | | Sony - H |
| 4 | 5 | 5 | SING IT BACK |
| | | | Mariah Carey |
| | | | Warner - P |
| 5 | 4 | 9 | BEAUTIFUL STRANGER |
| | | | Madonna |
| | | | Maverick - P |
| 6 | 19 | 11 | 9PM (TILL I COME) |
| | | | ABT |
| | | | Popular - F |
| 7 | 9 | 5 | BAILAMOS |
| | | | Enrique Iglesias |
| | | | Interscope - J |
| 8 | 3 | 12 | CAN'T GET ENOUGH |
| | | | Soul Searchers |
| | | | Sugarfoot |
| 9 | 11 | 3 | IS IT LOVE? |
| | | | Chilli Hi Fly |
| | | | Hi-Bias - J |
| 10 | 7 | 5 | CANNED HEAT |
| | | | Jamiroquai |
| | | | Warner - H |
| 11 | 12 | 3 | GENIE IN A BOTTLE |
| | | | Christina Aguilera |
| | | | RCA - N |
| 12 | 8 | 12 | BOOM BOOM BOOM |
| | | | Tymon/Mya |
| | | | Isla/DEF - J |
| 13 | 10 | 8 | RED ALERT |
| | | | Basement Jaxx |
| | | | Select |
| 14 | 13 | 5 | CANDA |
| | | | Brooklyn Bounce |
| | | | Arista - J |
| 15 | 17 | 2 | MAMBO #5 |
| | | | Lou Bega |
| | | | RCA - N |
| 16 | NEW| | RENDEZ VU |
| | | | Basement Jaxx |
| | | | Select |
| 17 | 15 | 11 | IF YOU DON'T KNOW |
| | | | Temperance |
| | | | Hi-Bias - J |
| 18 | 20 | 6 | BOMBA |
| | | | 666 |
| | | | Fingerprints/NoMusic|
| 19 | 14 | 5 | SWEET LIKE CHOCOLATE|
| | | | Shank & Bigfoot |
| | | | BMG - N |
| 20 | 16 | 11 | SANTA MONICA |
| | | | Funky Headhunters |
| | | | Fully Charged |
| 21 | 22 | 2 | DID YOU EVER THINK |
| | | | R. Kelly |
| | | | Jive - H |
| 22 | 23 | 12 | FLOWERS |
| | | | Armand Van Helden |
| | | | SPC - J |
| 23 | 21 | 12 | SEXUAL |
| | | | Amber |
| | | | Torment Boy - N |
| 24 | 18 | 13 | FEEL GOOD THINGS FOR YOU|
| | | | Daddy's Favorite |
| | | | Epidemic - J |
| 25 | 27 | 8 | STOP AND PANIC |
| | | | Circus |
| | | | MCA |
| 26 | 24 | 13 | RALLYIN' |
| | | | July Black |
| | | | L.L. Bean - F |
| 27 | 28 | 2 | IT'S ALL ABOUT YOU (NOT ABOUT ME)|
| | | | Tracie |
| | | | Capitol - F |
| 28 | 26 | 8 | EVERYBODY'S FREE |
| | | | 411 |
| | | | Odeon |
| 29 | 30 | 18 | LIVIN' LA VIDA LOCA |
| | | | Ricky Martin |
| | | | Columbia - H |
| 30 | 29 | 3 | SHE'S ALL I EVER HAD|
| | | | Ricky Martin |
| | | | Columbia - H |
### RPM ROCK REPORT
**Record Distributor Codes:**
- BMG - N
- EMI - F
- Universal - J
- Polygram - Q
- Sony - H
- Warner - P
| TW | LW | WO | SEPTEMBER 13, 1999 |
|----|----|----|---------------------|
| 1 | 3 | 5 | ONE MAN ARMY |
| | | | Outkast |
| | | | Columbia - H |
| 2 | 1 | 6 | SMOOTH |
| | | | Santana feat. Rob Thomas|
| | | | BMG - N |
| 3 | 2 | 14 | SCAR TISSUE |
| | | | Red Hot Chili Peppers|
| | | | Warner - H |
| 4 | 7 | 10 | YOU WANTED MORE |
| | | | Eric Clapton |
| | | | Universal - J |
| 5 | 10 | 5 | ENEMY |
| | | | The New Outpost - J|
| | | | Atlantic - J |
| 6 | 4 | 6 | HANG TEN |
| | | | Edwin |
| | | | Sony - H |
| 7 | 6 | 14 | PROMISES |
| | | | Def Leppard |
| | | | Maverick - J |
| 8 | 5 | 12 | NO MORE, NO LESS |
| | | | Collective Soul |
| | | | Atlantic - J |
| 9 | 11 | 2 | HELLO TIME BOMB |
| | | | Matchbox Green Band |
| | | | A&M/Universal - J |
| 10 | 12 | 2 | GIRL WATCHER |
| | | | Big Sugar |
| | | | A&M/Universal - J |
| 11 | 9 | 17 | HEAVEN COMING DOWN |
| | | | The Tea Party |
| | | | Epic - H |
| 12 | 15 | 14 | LAST KISS |
| | | | Pearl Jam |
| | | | Epic - H |
| 13 | 14 | 2 | BLACK BALLOON |
| | | | The Gas Dolls |
| | | | Warner - P |
| 14 | 13 | 8 | SUMMERTIME IN THE VOID|
| | | | Michael Jackson |
| | | | Mercury - J |
| 15 | 8 | 12 | COMPANION |
| | | | Wide Mouth Mason |
| | | | Warner - H |
| 16 | 24 | 13 | ALL STAR |
| | | | Smash Mouth |
| | | | Interscope - J |
| 17 | 16 | 14 | BREATHE |
| | | | The Doors |
| | | | EMI - F |
| 18 | 20 | 4 | ROLLIN' STONED |
| | | | Garbage |
| | | | Sony - H |
| 19 | 17 | 12 | GO FASTER |
| | | | Black Crowes |
| | | | Columbia - H |
| 20 | 19 | 2 | LEAN ON YOUR PEERS |
| | | | Blackie & The Rodeo Kings|
| | | | Warner - P |
| 21 | 18 | 10 | THE KIDS AREN'T ALRIGHT|
| | | | Offspring |
| | | | Sony - H |
| 22 | 21 | 9 | WHAT'S MY AGE AGAIN?|
| | | | Billy Idol |
| | | | Universal - J |
| 23 | 23 | 5 | STRONG ENOUGH |
| | | | Tal Bachman |
| | | | Columbia - H |
| 24 | 23 | 17 | AMERICAN WOMAN |
| | | | Lenny Kravitz |
| | | | Virgin - H |
| 25 | 25 | 10 | GET BORN AGAIN |
| | | | Shania In Chains |
| | | | Columbia - H |
| 26 | 26 | 9 | MISTAKE |
| | | | Sarah Joe |
| | | | Aquarius - F |
| 27 | NEW| | TERRIFIED |
| | | | See Spot Run |
| | | | LaFace - J |
| 28 | 27 | 7 | IF YOU TOLERATE THIS|
| | | | Manic Street Preachers|
| | | | Virgin - H |
| 29 | 29 | 5 | SO PURE |
| | | | Alanis Morissette |
| | | | Maverick - P |
| 30 | 28 | 20 | TURN THE LIGHTS ON |
| | | | Big Sugar |
| | | | A&M - J |
Michelle Wright is smokin' with her latest BMG/Arista release, When I Found You. Wright's manager Brian Ferriman called from Nashville to solve the riddle of who the writers and the producer are. Wright wrote the song with two Vancouver writers, Steve and Dave, and the producer is John Rich.
The single is the title track for the soundtrack to the upcoming feature film The Lamb. It Don't Matter enters the chart at #73.
charting for the past 12 weeks and had begun descending, but makes a good recovery this week, bulleting up to #82. Mahood won a Big Country Award in 1998, the year she released her first album, as outstanding new artist. She has been nominated for a Juno Award for country music artist of the year.
Tara Lyn Hart enjoyed an awesome Sony launch of her self-titled Epic album at a posh Art Gallery of Ontario reception in Toronto on Aug. 31. The Gallery's Walker Court was packed to capacity and the response from the audience is an early indication of Hart's obvious potential, not only for country but for the pop and A/C market. Sony's manager of Epic product, Dave Deeley, has been giving priority treatment to Hart's first single release That's When You Came Along, which is now beginning to pay off. The three-partner Cancon single (MAL) enters the chart this week at #78.
Tony Moreau gets his foot in the chart door with Boulevard Of Dreams, the title track of his debut album (RPM New Releases - Sept. 6/99), taken as the first single. The Moreau original enters the chart at #89. Moreau's album was produced by Jamie Williams and recorded at Maple Leaf Sound Productions. The single, which is being tracked by Bill Geffros, is 100% Cancon.
Montgomery Steele is keeping up the pressure, promoting Debbie Darlene, now charting and Damned Old Rodeo, which is charting at several US radio stations. Steele recently performed at an open air concert at Carp Lake, which is between Dawson Creek and Prince George. Signing autographs after the show he found most of the audience were fans of his, having heard his records on CBC Radio out of Prince George. In just six days his website has had more than 50 hits. Steele also took a trip down to Grande Prairie where he checked out Hammerhead, a new and very crowded pub. Hammerhead's general manager Troy Bildeo liked Debbie Darlene and is playing it in the club. Another important connection Steele made was with Tino Monte from CTV Entertainment News who has already used the video of Debbie Darlene. CTV's air coverage is on cable and has extensive coverage across Canada. Steele's six minute interview on CHET was a high for him where he talked about the number of high requests for Debbie Darlene, plus his Internet Knife offer and the US action on Damned Old Rodeo. Debbie Darlene continues to move up the chart where it sits at #29 this week.
John Curtis Sampson, a Cape Bretoner, makes bid for recognition with the release of his CD single, Don't Cry Goodbye, a Sampson original. The track was taken from his upcoming CD release You Got Me, which is being distributed by Tidemark Music of Halifax. Canadian Country Music delegates can meet Sampson at the CCMA Western Breakfast '99 on Sept. 12 beginning at 8:45 am. He will be performing with John Gracie. The Western Breakfast is being sponsored by Grey-Sea Entertainment and Gemstone Entertainment. Sampson has chalked up an impressive list of talent wins over his short career. Last year he entered the British Columbia Country Music Association's Talent On Tape contest. Out of a entry list of 300 writers and performers, Sampson won in the both categories he entered; best male vocal performer and best song. He also won the Songwriters' Award at the Maritime Broadcasting System's Startrack '98 contest. Two songs tied for first. They were both by Sampson.
Jason McCoy is in the process of recording his third CD for Universal Canada. He has been spending time in Nashville co-writing with Denny Carr and Naoise Sheridan. The trio wrote Jason's hit Born Again In Dixieland which won them a CCMA Award last year for SOCAN song of the year. McCoy is also writing with Rory Burke, who wrote Charlie Rich's The Most Beautiful Girl In The World.
COUNTRY continued on page 30
VIDEO & INSTANT TOP FORTY
1. Little Man - Alan Jackson
2. Little Good-Byes - SheDaisy
3. She's In Love - Mark Wills
4. Ready To Run - Dixie Chicks
5. I Love You - Martina McBride
6. Lonely - Montgomery Gentry
7. You've Got A Way - Shania Twain
8. God - Alabama & 'N Sync
9. Amazed - Lonestar
10. Consequence - Great Big Sea
11. A Woman Wants - Jamie Warren
12. Running Away - Thomas Wade
13. A Woman Feels - Beverley Mahood
14. You Go First - Jessica Andrews
15. Shiver 'N Shake - Rick Tippe
16. Her Everything - George Canyon
17. Sure Fire Love - Sean Hogan
18. Slave To Habit - Shane Minor
19. Secret Of Life - Faith Hill
20. Home - John M.Montgomery
21. Still Beautiful - Bryan White
22. Ordinary Love - Shane Minor
23. Feels Good - Michael Peterson
24. Something Like That - Tim McGraw
25. In My Hands - Natalie MasMaster
26. Spilled Perfume - Gil Grand
27. Lost In You - Brooks as Gaines
28. Blue Eyes Blue - Eric Clapton
29. Missing You - Brooks & Dunn
30. Never Kissed - Sherrie Austin
31. Love Someone - Sammy Kershaw
32. Live, Laugh, Love - Clay Walker
33. Matter Of Time - Jason Sellers
34. It Was - Chely Wright
35. Pictures - Brad Paisley
36. Thinking - Dwight Yoakam
37. It's A Love Thing - Keith Urban
38. One And Only - Hawg Wylde
39. Crazy Love - Dwight Yoakam
40. Nobody - Patricia Conroy
BREAKOUT VIDEO
Consequence Free - Great Big Sea
PICK HIT
Something Like That - Tim McGraw
COUNTRY 100
Canada's Only National 100 Country Survey
Artist/Album Title/Where to find it
(Songwriter) Producer (Label)
COUNTRY continued from page 28
and Anne Murray's Shadows In The Moonlight. He has also teamed up with writer Howard Perdue who co-wrote Joe Diffie's So Help Me Girl, "I've heard some rough demos," says Universal's director of country music marketing, Donna Lidster, "Jason has written some killer songs and he has never sounded better. Everyone at Universal is really excited and looking forward to the new album. Next year is going to be a great one." McCoy is nominated as best male vocalist at this year's CCMA awards. The new CD is expected to be an early 2000 release.
Amanda Lee is back on the chart, this time with You Go First. Written by Susan Jacks, Christye Corneluis and Richard Ross, the single enters the chart at #91. The single, which was recorded in Nashville where it was produced by DJ Hopson and Gilles Godard, carries a two-partter MAPL logo (AL). Lee's single is being tracked by Debbie Wood.
Pam Tillis should soon be charting with After A Kiss, her new Arista single written by Steven Dale Jones and Canadian Carolyn Dawn Johnson. This is the first single taken from the soundtrack to Happy Texas which made its Canadian debut at the Toronto Film Festival this past week. The soundtrack, produced by Bob DiPiero, also features performances by Kim Richey, Lee Roy Parnell, Emmylou Harris, Brad Paisley, Alison Krauss, BR5-49 and Shannon Brown. The CD single is now at radio. The soundtrack will be in stores on Sept. 14.
Marc Ekins, currently on the road raising funds and awareness for Canadian Special Olympics (RPM - Aug. 23/99) will be in the Ottawa area for Canadian Country Music Week. He will be performing at Zuma's Texas Grill & Dance Hall at 1211 Lemieux St. on Sept. 11 beginning at 10:30 pm.
Country Premieres with Greg Shannon will feature Brooks & Dunn and their new release Tight Rope. The special will be available to Canadian Country Radio for airing Sept. 16 to 21. The duo's album is scheduled for a Sept. 21 release. Missing You, a 1984 hit for John Waite, has been taken as the first single and is bulleting up the RPM Country 100 (#62*). This Country Premieres show is being produced by Shannon and BMG's Warren Copnick.
Mark Vance is set to make his imprint on Canadian country with a showcase date at the Ottawa Congress Centre on Sept. 11 beginning at 9 pm. The Vancouver-based artist recently made his debut with a two-song CD single which contains Love Made A Liar Out Of Me and That's What Love Is, both co-written by Nashville writer Steven McClintock. The single was produced by Shawn Pierce and recorded at Vancouver's Maximum Music and is two-parts Cancon (AP).
Johnny Reid, a 25-year old Scottish immigrant now living in Brampton, Ontario, makes his debut with the release of Given Up On Me, a CD single. Written by Reid and producer Al Bragg, the track was taken from his upcoming album being targeted for a fall release. Reid will be showcasing his talent at the CCMA's Showcase '99 in the Capital Hall of the Ottawa Congress Centre on Sept. 11 beginning at 9 pm.
Tianna Lefebvre the 1999 BCCMA best new artist of the year, will be showcasing her talent at Canadian Country Music Week when she performs in the Capital Hall at the Ottawa Congress Centre on Sept. 11 beginning at 10:30 pm.
Jeff Smallwood celebrates the release of Cowboy Dust, his new CD at Canadian Country Music Week. He will be performing at the CCMA Showcase '99 on Sept. 12 beginning at 10:30 pm.
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NEWS SLOT OPEN AT KICX 104 FM
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Russia: Won’t start war over Ukraine tensions
AP IN MOSCOW
Russia’s top diplomat said Friday that Moscow will not start a war in Ukraine but warned that it would allow the West to tamper on its security interests, adding it is planning to send its troops home.
U.S. President Joe Biden warned Wednesday that Ukraine’s leader has “a dangerous plan” that Russia could take military action against the former Soviet state in February.
“We are not going to be at war as far as it depends on the Russian Federation, we don’t want a war,” Biden told MSNBC’s Andrea Tantaros. “But I do think that Putin is looking for an excuse to send his troops home and let something be rudely trampled on and ignored.”
Tensions have soared recently, and United States and NATO officials have warned of a buildup of more than 100,000 Russian troops near Ukraine, worrying that the country was preparing to attack. Russia has repeatedly denied having any such plans, and U.S. officials say NATO’s promise Ukraine will never be allowed to join and that alliance will not consider deploying troops there.
Biden said Friday that he had spoken with Russian President Vladimir Putin, but there was no indication of any ground-breaking optimism from either leader.
Earlier, Lavrov noted that U.S. and NATO leaders had talked about limits on deployment of intermediate-range nuclear weapons and other military drills and rules to prevent accidents between warships and aircraft.
He said that Russia proposed discussing those issues with the West, but Washington and its allies never took them up on it until now.
“Russia is not the U.S. after all. It is reasonable, he also emphasized that Russia’s main concerns are NATO. He stressed that international agreements are necessary for security of one nation and not an attempt of others to dominate and that he would send letter to ask his Western counterparts to address that obligation.
Russia: Won’t start war over Ukraine tensions
AP IN MOSCOW
President Joe Biden warned Wednesday that Ukraine’s leader has “a dangerous plan” that Russia could take military action against the former Soviet state in February.
“We are not going to be at war as far as it depends on the Russian Federation, we don’t want a war,” Biden told MSNBC’s Andrea Tantaros. “But I do think that Putin is looking for an excuse to send his troops home and let something be rudely trampled on and ignored.”
Tensions have soared recently, and United States and NATO officials have warned of a buildup of more than 100,000 Russian troops near Ukraine, worrying that the country was preparing to attack. Russia has repeatedly denied having any such plans, and U.S. officials say NATO’s promise Ukraine will never be allowed to join and that alliance will not consider deploying troops there.
Biden said Friday that he had spoken with Russian President Vladimir Putin, but there was no indication of any ground-breaking optimism from either leader.
Earlier, Lavrov noted that U.S. and NATO leaders had talked about limits on deployment of intermediate-range nuclear weapons and other military drills and rules to prevent accidents between warships and aircraft.
He said that Russia proposed discussing those issues with the West, but Washington and its allies never took them up on it until now.
“Russia is not the U.S. after all. It is reasonable, he also emphasized that Russia’s main concerns are NATO. He stressed that international agreements are necessary for security of one nation and not an attempt of others to dominate and that he would send letter to ask his Western counterparts to address that obligation.
Japan to watch WHO probe of director’s alleged racism, abuse
AP IN TOKYO
Japan’s government said Friday it will watch the World Health Organization’s investigation into staff complaints that Director-General Tedros Adhanom Ghebreyesus could be guilty of racist remarks by a Japanese official at the agency but said it immediately received some information from him.
A member of Japan’s delegation in Geneva, France’s diplomatic mission said that if the allegations are true, they could have serious consequences including the termination of the WHO director-general’s position.
An investigation by the Association Press, AP, went public last week, and it found that Tedros, a U.S. health agency’s top director, was accused of being unethical, racist and abusive behavior, undermining WHO’s efforts to help combat the COVID-19 pandemic, according to an internal report that was filed last October. The contents were also emailed to senior WHO leaders last week and described “harassment” with “a culture of systemic bullying” at WHO’s regional headquarters in the Philippines.
China says UN rights chief welcome in Xinjiang, but not for probe
PTI IN BEIJING
China said on Friday United Nations human rights chief Michelle Bachelet will be welcomed when she visits Xinjiang, where Beijing faces serious human rights allegations against the Uyghur Muslims, after Winter Olympic Games in the region next month and not an investigation based on “presumption of guilt”.
The Chinese foreign ministry spokesman Zhao Lijian said in a media briefing that the investigation team arrived in Xinjiang two and a half weeks ago and has been maintaining continuous communication with China’s Foreign Minister Wang Yi and President Xi Jinping.
Bachelet will visit China, including Xinjiang, Zhao said.
The UN rights chief is expected to leave the region on Monday and the purpose of the visit is to promote exchange and cooperation and not an investigation based on presumption of guilt, Zhao said, adding that using this for political purposes is to pressure China, he said.
The spokesman, however, skimped on details when asked to comment on a media report stating China is also inviting Bachelet should not release her report on Xinjiang before February 4, Beijing Winter Olympics opening ceremony attended by US politicians. He said Xinjiang enjoys economic prosperity and social order and people there enjoy their legal lives with their human rights protected. “We firmly oppose tactics of using human rights issue to disrupt our country by distorting facts,” he said.
China has launched a diplomatic offensive to defend itself ahead of Bachelet’s visit, and Beijing has urged the UN Security Council to boycott the Winter Olympics in US soil. The UN Security Council announced a boycott of events of their diplomats to highlight human rights violations in Xinjiang, including incarceration of millions of Uyghurs in detention camps.
A host of world leaders including Russian President Vladimir Putin and Pakistan Prime Minister Imran Khan, who will attend UN Security Council meeting on Tuesday, Antonio Guterres are due to attend opening ceremony to show solidarity with Beijing.
Iraqi Army: Rockets hit Baghdad airport, damage two planes
AP IN BAGHDAD
Six rockets struck Baghdad’s International airport facility on Friday during a protest, killing one person but causing no casualties, Iraqi military said in a statement.
The rockets were fired in early morning landed on planes parked in a waiting area Iraq Air Force base, the statement said. No injuries or damage were reported, which were detected by military personnel, the statement said.
The attack marks an escalation in violence and rocket and drone strikes that have targeted U.S. and their allies as well as Iraqi government facilities since start of year. Most attacks targeting airports and not only the bases but also the civilian areas of airport facilities. The recent uptick followed a U.S. airstrike that killed Iranian Gen. Qassem Soleimani and Iraqi militia commander Abu Mahdi al-Muhandis.
Ready for ‘long overdue’ pick of Black female justice: Biden
AP IN WASHINGTON
President Joe Biden strongly affirmed Thursday his commitment to naming a Black woman to the U.S. Supreme Court, declaring such historic appointments are long overdue and promising to announce his choice by the end of February.
In a White House ceremony marking a momentous transition, Biden praised retiring Justice Stephen Breyer, who will spend the remainder of his time on the court by the time he leaves at the end of the term, and said he would pick a candidate at a time of great division in this country.
And with that the search for Breyer’s replacement is underway in full. Biden promised a nominee worthy of Breyer’s legacy and said he’d already been studying the backgrounds and writings of potential candidates. “I’ve read every book I can except one. The person I will nominate will be somebody of extraordinary intelligence and integrity,” he said.
“I am a person who will be the first Black president nominated to the United States Supreme Court. It is long overdue. Biden’s choice will be historic on its face. No Black woman has ever served on the high court. But the decision is also coming at a critical time in the ongoing race and gender inequality.
However, the court’s 6-3 conservative majority is determined to maintain the status quo. Biden is unlikely to change that in his early campaign promises, one that helped resurrect the Democratic Party’s campaign and propel him to the White House in 2020.
And it gives him the chance to show Black voters, who have been frustrated with a president who failed to deliver on his campaign promises, that he is serious about addressing racial inequality, particularly with his voting rights legislation stalled in the Senate. The president’s Democratic enthusiasm amid concerns about a midterm rout in congressional races.
N Korea confirms missile tests as Kim visits munitions site
AP IN SEOUL, SOUTH KOREA
North Korea said Friday its two latest rounds of weapons tests this week were successful and vowed to shatter its nuclear “war deterrent” and speed up development of nuclear power plants, as it accused the United States of supporting the impeachment of former North Korean leader Kim Jong Un.
Kim did not attend the tests, which were conducted in the mountains, which were detected by military personnel, the statement said.
The attack marks an escalation in violence and rocket and drone strikes that have targeted U.S. and their allies as well as Iraqi government facilities since start of year. Most attacks targeting airports and not only the bases but also the civilian areas of airport facilities. The recent uptick followed a U.S. airstrike that killed Iranian Gen. Qassem Soleimani and Iraqi militia commander Abu Mahdi al-Muhandis.
Scotland Yard seeks minimal reference for some partygate events
PTI IN LONDON
Scotland Yard on Friday said it has sought “minimal reference” from the UK government to investigate the partygate scandal, led by top cop Sir Mark Sedgwick, over so-called “partiesgate” at government gatherings within government buildings that may have breached coronavirus regulations.
The White House said Biden’s comments to Ukrainian Volodymyr Zelensky in a phone call amplified concerns about a stalled peace agreement for eastern Ukraine, where Russia-backed rebels are fighting Ukrainian forces. Those talks are among the top priorities for Ukraine and France, and presidential aides met in Paris on Wednesday and agreed to have another meeting in Berlin in two weeks. The meeting is at the behest of a Kremlin-friendly president in Kyiv, Moscow and the West’s focus on the Peninsula and began backing rebels fighting Ukrainian forces in eastern industrial heartland.
Earlier, Lavrov noted that U.S. and NATO leaders had talked about limits on deployment of intermediate-range nuclear weapons and other military drills and rules to prevent accidents between warships and aircraft.
He said that Russia proposed discussing those issues with the West, but Washington and its allies never took them up on it until now.
“Russia is not the U.S. after all. It is reasonable, he also emphasized that Russia’s main concerns are NATO. He stressed that international agreements are necessary for security of one nation and not an attempt of others to dominate and that he would send letter to ask his Western counterparts to address that obligation.
Philippines lifts ban on foreign tourists as outbreak eases
Manila: The Philippines lifted a ban on the entry of foreign tourists and business people next month after nearly three months of keeping the battered tourism industry at the latest coronavirus outbreak under control, an official said Friday.
The Kremlin spokesman also called on the international community to help the people in the presidential administration to fight the virus. The vast majority continues to work from home, and many have isolated themselves, Peskov said. “This explosive contagiousness of the omicron, it demonstrates itself in full. Coronavirus infections in Russia started to grow significantly a month ago, with daily tallies of new cases spiking from about 15,000 on Jan 10 to almost 100,000 on Friday.
China says UN rights chief welcome in Xinjiang, but not for probe
PTI IN BEIJING
China said on Friday United Nations human rights chief Michelle Bachelet will be welcomed when she visits Xinjiang, where Beijing faces serious human rights allegations against the Uyghur Muslims, after Winter Olympic Games in the region next month and not an investigation based on “presumption of guilt”.
The Chinese foreign ministry spokesman Zhao Lijian said in a media briefing that the investigation team arrived in Xinjiang two and a half weeks ago and has been maintaining continuous communication with China’s Foreign Minister Wang Yi and President Xi Jinping.
Bachelet will visit China, including Xinjiang, Zhao said.
The UN rights chief is expected to leave the region on Monday and the purpose of the visit is to promote exchange and cooperation and not an investigation based on presumption of guilt, Zhao said, adding that using this for political purposes is to pressure China, he said.
The spokesman, however, skimped on details when asked to comment on a media report stating China is also inviting Bachelet should not release her report on Xinjiang before February 4, Beijing Winter Olympics opening ceremony attended by US politicians. He said Xinjiang enjoys economic prosperity and social order and people there enjoy their legal lives with their human rights protected. “We firmly oppose tactics of using human rights issue to disrupt our country by distorting facts,” he said.
China has launched a diplomatic offensive to defend itself ahead of Bachelet’s visit, and Beijing has urged the UN Security Council to boycott the Winter Olympics in US soil. The UN Security Council announced a boycott of events of their diplomats to highlight human rights violations in Xinjiang, including incarceration of millions of Uyghurs in detention camps.
A host of world leaders including Russian President Vladimir Putin and Pakistan Prime Minister Imran Khan, who will attend UN Security Council meeting on Tuesday, Antonio Guterres are due to attend opening ceremony to show solidarity with Beijing.
Iraqi Army: Rockets hit Baghdad airport, damage two planes
AP IN BAGHDAD
Six rockets struck Baghdad’s International airport facility on Friday during a protest, killing one person but causing no casualties, Iraqi military said in a statement.
The rockets were fired in early morning landed on planes parked in a waiting area Iraq Air Force base, the statement said. No injuries or damage were reported, which were detected by military personnel, the statement said.
The attack marks an escalation in violence and rocket and drone strikes that have targeted U.S. and their allies as well as Iraqi government facilities since start of year. Most attacks targeting airports and not only the bases but also the civilian areas of airport facilities. The recent uptick followed a U.S. airstrike that killed Iranian Gen. Qassem Soleimani and Iraqi militia commander Abu Mahdi al-Muhandis.
Ready for ‘long overdue’ pick of Black female justice: Biden
AP IN WASHINGTON
President Joe Biden strongly affirmed Thursday his commitment to naming a Black woman to the U.S. Supreme Court, declaring such historic appointments are long overdue and promising to announce his choice by the end of February.
In a White House ceremony marking a momentous transition, Biden praised retiring Justice Stephen Breyer, who will spend the remainder of his time on the court by the time he leaves at the end of the term, and said he would pick a candidate at a time of great division in this country.
And with that the search for Breyer’s replacement is underway in full. Biden promised a nominee worthy of Breyer’s legacy and said he’d already been studying the backgrounds and writings of potential candidates. “I’ve read every book I can except one. The person I will nominate will be somebody of extraordinary intelligence and integrity,” he said.
“I am a person who will be the first Black president nominated to the United States Supreme Court. It is long overdue. Biden’s choice will be historic on its face. No Black woman has ever served on the high court. But the decision is also coming at a critical time in the ongoing race and gender inequality.
However, the court’s 6-3 conservative majority is determined to maintain the status quo. Biden is unlikely to change that in his early campaign promises, one that helped resurrect the Democratic Party’s campaign and propel him to the White House in 2020.
And it gives him the chance to show Black voters, who have been frustrated with a president who failed to deliver on his campaign promises, that he is serious about addressing racial inequality, particularly with his voting rights legislation stalled in the Senate. The president’s Democratic enthusiasm amid concerns about a midterm rout in congressional races.
As the actor retraces his steps to TV, with *Kahani Navbharat Ki*, he tells Saimi Sattar the reasons for his move and why is the show a must-watch
Vikrant Massey, the name almost always conjures up the adjective ‘artistic’. He is humble, grounded and all the antithesis of bratty, entitled and high-headed.
Right from the time he came into the industry — as Shyam Madan in the memorable *Bajirao Mastani* (2015), Massey played every character including those with a deep shade of grey, with deep conviction. Then, when it was Devdas Mukherjee, a thief, in his debut film *Lootera* (2013) or a cunning h u b s a n d, Babi in *Masaan* (2015), more recent *H a s e e n* (2017) or even Babu, the man behind the gang in *Mangmar* (2019), it was this total belief in the character that made him shine with a boy next door ordinariness.
So, it isn’t surprising that a TV show has zeroed down on him to play anchor for the show *Kahani Navbharat Ki* which charts the history of the country over a call and chat-chat about the world as Massey reciprocates with his customary warmth.
He informs me that though he had a Covid scare, the tests thankfully were negative. The discussion switches to his latest venture. Excerpts from the interview:
**Q: Why and how did you decide to switch back to TV?**
It was my brain. The idea to explore the concept of valuation had been researching for two years. The larger context of the show was to celebrate the Indian economy. When I read the script, I immediately wanted to be a part of it. It might sound really grandiose but it was something (if I am being honest), it seemed God-sent.
I always wanted to be a part of something like this. Valuation is a mix of history, knowledge, hope and everything worthwhile. It is a journey. I recognised that in some way or the other, I would have to do something. I want to do that through the films and shows that I take up.
The current generation, unfortunately, is engrossed in consumerism. Research shows that children and adults spend a lot of their time and money on mobile. So, I wanted to come out with something unearthen, kept to the soil that is the essence of India. I set it off to present it nicely and bring it out in a manner where we can take pride in our history. It really depends on the mood. It is full of hope, pride and what better time than 75 years of Indian existence to share these stories.
**Q: Was there any particular incident that got your attention?**
There were so many things. It is a 10-episode show and I can’t put one. Our history is vast and they have to filter out some things. Everything has its significance and place. There are so many people in the younger generation who are not aware of the many challenges we faced and overcame as a young country. There were so many hurdles that were thrown at us. Take one example to Science in the 50s… Or the fact that we practised socialism with all our might. Or that we gave equal rights to marginalised women the right to education and to vote. How did we overcome all these challenges and tribulations, the way we liberalised our economy. How we are one of the largest demes in the whole world. All the ups and downs, we are facing… these are the things that, I think, need, we need to appreciate that we are proud of and share with our people. When we are appreciating them, then we can also think about what the coming 75 years would be like. How will we chart the future, depends on the present.
**Q: The show talks about history… of late, there are so many questions. How have you tackled that?**
History has always been a contentious topic. It is a very sensitive topic for the first time. But these things have always existed. However, the history we are talking about is not a political tint, lineage or conformism. Yes, I agree that the public discourse, especially in the media, is often rife with polarisation. We consciously tried to refrain from that. We had academic experts who were talking about the show. It is conscious decision to understand and take pride in our identity. We are talking about those truly significant stories. And the rest is up to the audience. We have coupled it with the present day. We have brought the world that you are trying to encapsulate your audience with and convince them of this story. But when I’m hosting a show, I’m sharing my personal opinion, the door for the audience to come in and also share my experiences. It’s far more personal. I think I’ve been able to position myself as an actor and here I’m sharing a part of my heart and ideology, hope and solution. I want to be a change agent in the show as I said, we tried to highlight the story and history of India and hope that the audience who shall see their valuable time and watch it.
**Q: You’re dabbed in TV, OTT and films. Do you approach the roles differently? What does each phase of your growth as an actor mean?**
I have never limited myself to the medium. I have always believed that I am a storyteller. I have also been told that I have a knack for being able to adapt to the medium. I have always done it. But my larger idea is to go out and tell stories. Till the time I am able to do that, I am happy. I am an actor. When I am unable to do so, I will be facing another set of challenges.
**Q: What makes you take up any role or show?**
It is a mix. The challenge that it puts out for me as an artist; my belief in the story. I also strongly feel that, as a creator, we should understand our responsibility to be in sync with current times. And as long as I stick off these boxes, I’ll be able to do that. I think it is an amalgamation of things.
**Q: You have done a wide variety of roles — *Mujhe Hua Hai Kya*, *Dilwale*, *Luka Chuppi*… What goes into making a character that believable? Is it by observing the people or discussions with the director?**
Can I cut you in? This set of questions, we can keep for another day. I join hands and apologise for this. We will sit and discuss this.
**Q: So, coming back to the show, there were many challenges during its shooting or concept development.**
As an actor, there were not many challenges. I can be a pretty initialist and so, I am. I have a group of statisticians, data analysts, historians, technicians who guide this show. But there are many challenges that every team goes through, whether it is fiction or non-fiction. And especially when you are dealing with a particular topic like history. And as you said, it is a contentious issue. You are actually tackling history. You are facing the set of challenges we faced but did manage to overcome smoothly. There are no major technical challenges.
**Q: Was there a lot of back and forth in the script?**
That happens everywhere. It is like cooking a recipe. Mid-way, you add something that was not there before. It is a part of storytelling. As long as you stay true to the idea of storytelling, you may not be able to follow the formism, there are likely to happen. It happens everywhere. Even in journalism, when you write, rewrite, revise and are revising it… you edit a few words, add others. It is applicable everywhere.
**Q: Are you the future projects that we see you in?**
*Love Ho Gaya* will be our next. I am doing an official remake of *Peyvane*. There is also *Mumbhakar* with Sanjiv Sivan. I am filming for *Blackout* and waiting to start *Gaslight* with Pavan Kriplani who is a dear friend.
---
**TAAPSEE PANNU**
I went to say no to the film (*Loop Lapeta*), thinking that “I’ve done a similar film in the South, so I don’t want to do a film that has a similar concept in Hindi.” Then he (director, Aakash Bhatia) narrated the story to me and he literally looped it around and said “yes” right there and then!
**ISHWAK SINGH**
I find written words helpful. There is great joy in reading written words. When I write about the characters and their dialogues, I identify better and it helps me make the role my own and it helps me navigate the pauses between scenes.
**AZIZ ANSARI**
I kind of started turning off the internet and, you know, I deleted all social media and all this stuff, and I’ve slowly just kept getting older and further. I stopped using email maybe like four years ago. It’s thinking about your mental diet and what you’re putting in your head.
**BRADLEY COOPER**
I grew up with this idea that we do what we do for a living. I don’t know if I ever dreamt this big. I don’t know if I ever thought I could afford myself to. Shame on me if I don’t work hard, and I’m not going to squander this. No way, man. No way. It all comes from love.
---
**FATIMA SANA SHAIKH**
I believe, acting is a lot of reaching. It’s always good to have someone who is the opposite you so that you can feed off their energies. It has been a blast working with Taapsee (Pannu). We gelled so well on the sets, it didn’t feel like it was the first time we were working together.
---
**DEEP DIVE**
**Value It Up**
Business analyst RATTAN JONEJA believes that the quintessence of a successful investment is to understand the worth of a company and urges everyone to learn the importance of creating value to excel in the world of investing. By Khushbu Kirti
An entrepreneur and venture capitalist, Rattan Joneja’s work mainly revolves on the application of creating shareholder value to corporates and their various divestitures and acquisitions.
His recent book, *Value It Up: Simplifying the Art of Intrinsic Valuation*, takes the reader on a journey to the world of intrinsic valuation. With real-life investment success stories that demonstrate how intrinsic value can be a key determinant of investment decisions narrated by celebrity investors, the book can be used as a helpful ladder of understanding the world of investing. The book, designed for investors, analysts, stock market researchers, business students, or anyone who wants to venture into the field of stocks and investing, is divided into 22 chapters where each chapter is aphoristically framed with quotes and concepts supported by the story of a celebrated investor.
Read on for excerpts from an exclusive interview with the author.
**Q: Please give us an overview of the book?**
*Value It Up* is a book that simplifies and elucidates the Art of Valuation. The book focuses on the key growth drivers given by the valuation of companies across the world are increasing.
I wanted to bring this concept forward in a very straightforward and easy-to-understand manner, particularly since the growth drivers of the book are increasing.
The quintessence of successful investing is to understand the market is ignoring something that the market is valuing thus making it essential to understand the worth of a company before investing.
At the end of the day, you may be more valuable than you think.
**Q: What was the inspiration behind the book?**
Primarily, most investors are investing based on price and momentum without understanding any concept of value. The subject is not as difficult as it seems. It is a subject that people need to understand while making investment decisions.
I wanted to bring this concept forward in a very straightforward and easy-to-understand manner, particularly since the growth drivers of the book are increasing.
The quintessence of successful investing is to understand the market is ignoring something that the market is valuing thus making it essential to understand the worth of a company before investing.
At the end of the day, you may be more valuable than you think.
**Q: What is the inspiration behind the book?**
Primarily, most investors today end up diluting so much equity even after having a successful business. That is why it is important to determine how much capital is required during the journey of a company and what will the existing founders/shaftholders left with at the end of each stage of the company?
For existing companies, there are many options and value-creating strategies that can be taken such as divestitures, mergers and acquisitions, buying public share repurchases, business model changes, and so on. Understanding value where valuation is the key decision-maker.
**Q: Fortunately, the current generation is trying to be more informed and make healthier investing. However, due to the lack of prior knowledge, there’s not much to go on.**
What will you suggest to an aspiring investor who also wants to understand what should they read books or just track the market regularly, or both?
Both, according to every investor needs to do a lot of research. For example, great investors like Warren Buffet today spend most of their time reading books. They read a lot of books, not just newspapers, magazines and give equal importance to all. Then need to track what the market is giving, or if the market is behaving irrationally.
**Q: When does the stock market become harmful, if at all?**
The stock market in the long term is not going to be harmful. It is going to continue to be beneficial when people start building expectations more than what the companies can deliver.
Forming of bubbles in a sector, for instance, valuations going beyond meaningful earnings built on narratives, which do not meet investor expectations, which can lead to stock market crashes. We have seen what happened during the dot com bubble and you may also see some new-age companies in this era.
When markets start pricing stocks for high growth rates, value growth duration, and improvements that are not achievable or not sustainable, it may all lead to a bust. We have seen the stock markets start valuing stories. When stories fall short, the markets punish them.
**Q: Why, in your opinion, do scholars and experts talk about real life stuff like mental health, taxes, or insurance?**
Very few business schools cover business ethics and valuing taxes and equal importance to all. Then need to track what the market is giving, or if the market is behaving irrationally.
Similarly, teaching taxes requires a lot of effort and time and can distract them from their course. And, so, specific courses and plays play an integral part in enhancing knowledge in these subjects for people who really want to understand them.
**Q: What makes you take up any role or show?**
It is a mix. The challenge that it puts out for me as an artist; my belief in the story. I also strongly feel that, as a creator, we should understand our responsibility to be in sync with current times. And as long as I stick off these boxes, I’ll be able to do that. I think it is an amalgamation of things.
**Q: Are you the future projects that we see you in?**
*Love Ho Gaya* will be our next. I am doing an official remake of *Peyvane*. There is also *Mumbhakar* with Sanjiv Sivan. I am filming for *Blackout* and waiting to start *Gaslight* with Pavan Kriplani who is a dear friend.
---
**Tahin roots for Indian content**
Tahir Raj Bhasin, whose performance as Yeh Kaali Kaali Anjana is being considered one of the best actors’ performances in the film, says he is a big fan of Manoj Bajpai and Kay Kay Menon. The actor, who has carried on a huge heritage after delivering a smashing performance in the recently released *Rajneeti*, feels that the two actors are among the top-rated shows of all time and that it is vital to pick and choose disruptive, innovative truths out, entertain the audience and enables me to showcase my talent as an actor who can perform any role.
Bhasin has had two back to back OTT releases in *Ranjish Hi Saifi* and *Yeh Kaali Kaali Anjana*. Both the shows are amongst the highest rated content ever in the Indian content space. India. The Bhaag Milkha Bhaag. I was overreact to the magnificent performances by Manoj Bajpai in *The Family Man* and Kay Kay Menon in *Special Ops*. They are two of my favourite actors to have ever graced the screen and my show and performance is being rated as amongst the best performances by a leading man in an OTT web series. I feel deeply honoured and blessed. He adds, “As an actor, I’m constantly inspired by the work of others. I am a big binger of Indian and Hollywood shows and I’m always excited by the performances and the performances that the digital space has to offer. I’m very grateful to have been a part of these shows because we have produced amazing authentically Indian shows over the last few years.”
Bhasin has had two back to back OTT releases in *Ranjish Hi Saifi* and *Yeh Kaali Kaali Anjana*. Both the shows are amongst the highest rated content ever in the Indian content space. India. The Bhaag Milkha Bhaag. I was overreact to the magnificent performances by Manoj Bajpai in *The Family Man* and Kay Kay Menon in *Special Ops*. They are among the top-rated shows of all time and that it is vital to pick and choose disruptive, innovative truths out, entertain the audience and enables me to showcase my talent as an actor who can perform any role.
NADAL, MEDVEDEV TO MEET IN AUSTRALIAN FINAL
Rafael Nadal is within one victory of a men’s record 21st Grand Slam singles title.
The 35-year-old Spaniard advanced to the Australian Open final on Saturday with a 6-3, 6-2, 3-6, 6-3 win over seventh-seeded Russian Andrey Rublev.
He’ll face current U.S. Open champion Daniil Medvedev on Sunday to make his record-setting bid for a 21st major title. History of his own after reeling off the last five games against Stefanos Tsitsipas 6 (5)-4, 7-6 (4), 6-1 in the fourth set, Nadal became the first man in the Open era to win his second Grand Slam title at the next major tournament.
The second-seeded Medvedev has had an outstanding challenge from the back, but he’s still in the Australian final. He has dealt with a hostile crowd in his second-round win over Nick Kyrgios, had to save two match points and was forced to go to tie-breaker to beat Felix Auger-Aliassime in a nearly hour-quarterfinal win, and had to regain composure after an angry outburst during a umpire on Friday.
He’ll face chair umpire James Keothavong after dropping serve in the second set, demanding that Tsitsipas be cautioned for receiving coaching from his father in the crowd. He was a little nimble early after dropping the set, lost control late in the third set and then dominated the last five games after Tsitsipas was eventually cautioned for getting coaching from the stands.
Nadal’s 20th Grand Slam final has been comparatively serene.
After the last point, he stopped beamed with a wide smile and hugged his wife, Xisca.
Nadal arrived in Australia not knowing how long he would last after months off the court dealing with a knee injury and then the effects of COVID-19. He folded at Wimbledon after losing in the French Open semifinals to Novak Djokovic, and didn’t play until the U.S. Open.
“Every day has been an issue in terms of problems on the foot. Doubts still here and there,” Nadal said. “I’m happy I can compete because I have what I have and that’s something that can’t fix.”
But for now, he’s happy to (just) compete and play tennis at the high level again, facing the most important players of the game.
Last month, he wasn’t even sure he’d be able to return to the tour.
But he has a hard-top tournament in Melbourne to start 2022 and has taken six events of the year at the first Grand Slam event of the year.
One more and he’ll break the record of 20 major championships by shares with Roger Federer and Novak Djokovic. Nadal would also become just the fourth man to win all four Grand Slam titles at least twice.
Nadal’s win over Wimbledon runner-up Berrettini, under a closed roof at Rod Laver Arena because of heavy rain, was his 500th on hard courts at tour level. He’s only won the Australian Open once, in 2009.
Adding a second was his lone focus after yet another semifinal win.
For me, it’s all about the Australian Open,” Nadal said after the match. “Nadal said in his on-court TV interview.
“I have been a little unlucky (here) in my career, but I’m happy.”
I played some amazing finals with good chances.”
He lost classic five-set finals at Melbourne Park in 2012 and 2013 and in 2017. Nadal lost in 2014 and had a straight-set defeat against Djokovic three years ago.
“I never thought that I could lose once,” he said. “I never thought about another chance in 2022.” Nadal broke Berrettini’s serve in the first set, 6-3, and 6-3 in the second, and, after dropping the third set on a rare serve error, he rallied to break off the match in just nine minutes.
The win was a relief after his long five-set win over Denis Shapovalov two days earlier in the quarterfinals. Nadal was the only member of the so-called Big Three who had a chance to break the deadlock in Australia this time around.
He had to recover from knee surgery, which has won him one of his Grand Slams titles, and Medvedev Park was closed after an 11-day visa saga on the eve of the tournament because he failed to meet Australia’s strict COVID-19 vaccination requirements.
Ecuador draws Brazil and nears WCup
AP ■ SAO PAULO
Ecuador is one step away from qualifying to the World Cup after a 1-1 home loss to South American qualifying leader Brazil on Tuesday.
Goalkeeper Jaime Alvaro team will qualify to play in Qatar if it beats Peru next week.
Chile, once a force in the region, saw its chances of home qualification slip to second-place Tuesday when it had to have to pull good results at Bolivia and Brazil, with their respective matches likely to be held in Santiago against bitter rival Uruguay.
Brazil, which is seeking its 18th trip to contention after a 1-0 win at Paraguay, with a goal by Gabriel Jesus, and the team’s first win for new coach Dunga Alves, was ahead over after veteran Oscar Tabarez was tired due to poor results.
Bolivia got a point (3 points) and Argentina (2) qualified for the World Cup.
Ecuador has 24 points, five ahead of Paraguay, Bolivia and Peru, which will play in Brasilia next week. Chile, which has 16 and could be overtaken by Bolivia (15), which will travel to Venezuela, is the only team in the region out of contention for a spot.
South America has four direct World Cup spots, and the fifth-place team will play in the qualifying playoff for a berth.
Ecuador can draw home against Brazil to boost its chances of qualifying in a game that saw two players sent off in the first half after the first-encountering decisions overturned by video.
Casemiro opened the scoring by tapping in an unmarked header in the ninth minute for Brazil — which has already qualified for the World Cup in Qatar — before Ecuador equalized in the 75th minute with a header by Felix Torres.
In the second half, Ecuador’s Wilmar Roldan drew the most attention by getting a yellow card in the 64th minute, overturned after VAR — with Brazil goalkeeper Alisson receiving a red card — and only to have both rescinded.
Roldan did not even witness the incident when Ecuador goalkeeper Alexander Donisson placed the ball inside the neck of Brazil striker Matheus Cunha as he challenged for a ball on the edge of the area in the 16th minute. After VAR review, Donisson was handed a straight red card. Brazil defender Emerson Royal was then handed a second yellow card, with Casemiro Alisson appeared to become the third player sent off 10 minutes later after challenging an opponent in the heat of his big leg after a tackle. However, Roldan changed his mind and only showed a yellow card after VAR stepped in.
The referee had half an hour to review the Colombian referee awarded two penalties to Ecuador only to reverse both decisions after a review.
The second penalty was in injury time and involved Roldan getting a second yellow, which was also rescinded.
“I was sent off playing for Liverpool. I touched the ball outside the penalty box,” Alisson said.
“In situations like that you should not complain, you should accept the referee’s decision.
India beat China 2-0 to win consolation bronze
PTI ■ MUSCAT
Last edition champions India defeated China 2-0 to register qualification third time in the history of the Asian Cup hockey tournament here on Friday.
The Indians left behind the disappointment of their semi-final defeat to Korea and came through the match with the first two quarters, scoring two goals in the process, to go into extra time with a 2-0 lead against China.
They, however, could not hold on to the second half.
The Indians started brightly and earned a couple of penalty-corners from one of the best Indian shooters Sardar Singh who put the ball side in the 13th minute scoring from a rebound after Kritika Jat’s shot flick was saved by the Chinese keeper.
India continued in the same vein in the second quarter and had secured three consecutive penalty-corners from the same shooter. Sardar Singh put the ball in the net in the 20th minute but failed to create any clear chances.
China scored a penalty corner 10 minutes before time but the Indian defence was able to nullify them to deny any damage to their citadel.
Towards the end of the game, China pressed hard but secured three consecutive penalty-corners from the same shooter. Sardar Singh put the ball in the net in the 20th minute but failed to create any clear chances.
Japan will be up against Korea in the summit clash later on Friday.
Lack of match practice due to COVID-19 pandemic has cost India in the first half of the tournament. The Indian team produced inconsistent performances in crucial matches to crash out of the title race.
Chinu responded swiftly, securing a penalty corner which was brilliantly kept away by India’s goalkeeper Savita Punia.
Down by two goals, China came back in the third quarter with the change of ends and tried to put pressure on the Indian defenders but to no avail.
The Indians kept the pressure on the Chinese defence which was unable to create any clear chances.
China scored a penalty corner 10 minutes before time but the Indian defence was able to nullify them to deny any damage to their citadel.
Towards the end of the game, China pressed hard but secured three consecutive penalty-corners from the same shooter. Sardar Singh put the ball in the net in the 20th minute but failed to create any clear chances.
Japan will be up against Korea in the summit clash later on Friday.
Lack of match practice due to COVID-19 pandemic has cost India in the first half of the tournament. The Indian team produced inconsistent performances in crucial matches to crash out of the title race.
|
ON DEATH AND DYING: COUNSELING THE TERMINALLY ILL CLIENT AND THE LOVED ONES LEFT BEHIND
by Georgia Akers *
I. INTRODUCTION ................................................................. 3
II. STAGES OF DEATH ............................................................. 3
A. Denial and Isolation ....................................................... 4
B. Anger ........................................................................... 5
C. Bargaining .................................................................... 6
D. Depression .................................................................. 7
E. Acceptance .................................................................. 8
F. Final Thoughts .............................................................. 8
III. RELATED LEGAL ISSUES .................................................. 9
A. Appointment of an Agent to Control Disposition of Remains ................................................. 9
B. Directive to Physicians .................................................. 10
C. Out of Hospital Do Not Resuscitate (DNR) ................................................................. 12
D. Hospice Care ................................................................ 12
E. Social Security ............................................................... 13
1. Disability .................................................................. 13
2. Supplemental Security Income (SSI) ................................................................. 13
3. Medicaid/Hospice Program ................................................................. 13
4. Widow’s Gap ............................................................... 13
F. Medicare ....................................................................... 14
G. Viatical Settlements and Life Insurance Policies ......................................................... 14
IV. MEDICAL MALPRACTICE FOR THE UNDER-TREATMENT OF PAIN ......................................................... 15
A. Proposed Theory—Medical Malpractice for the Under-Treatment of Pain .......................... 15
1. Plaintiff’s Elements ....................................................... 15
a. Defendant was a Medical Care Provider ......................... 16
b. Defendant had a Duty to the Plaintiff ............................. 16
c. Defendant Breached the Standard of Care ....................... 17
* Honorable Georgia Akers, Associate Judge, Probate Court No. 3, the Honorable Rory R. Olsen, presiding, Harris County, Texas. The author would like to thank the following: Pete Schneider and Tiffani Burkholder of Grady, Schneider and Newman, L.L.P., Houston, Texas, who took my poor attempt at expressing the medical malpractice theory and redrafted this section into personal injury legalese; Law Offices of Jeff Skarda, for the review of the Social Security issues; and Brian E. Surratt, Probate Court 3 intern, for research assistance.
d. Defendant's Breach Proximately Caused the Plaintiff's Injury .................................................. 18
2. Recoverable Damages ................................................................. 19
3. Procedural Requirements ............................................................ 20
4. Notice and Expert Report Requirements ..................................... 22
V. A REVIEW OF CASES REGARDING THE TERMINALLY ILL AND WITHDRAWAL OF TREATMENT .......................................................... 22
A. Client in Vegetative State or Incapacitated—Not Terminal—Surrogate Decision Making .......................................................... 23
1. In re Quinlan ........................................................................... 23
2. In re L.C.D. ............................................................................. 24
3. Cruzan v. Missouri Department of Health ............................... 25
4. Workmen's Circle Home & Infirmary for the Aged v. Fink ........ 25
5. Wendland v. Wendland .............................................................. 25
6. Schiavo ex rel Schindler v. Schiavo .......................................... 25
7. Miller ex rel Miller v. HCA, Inc. .............................................. 26
8. Stolle v. Baylor College of Medicine ........................................ 26
B. Incompetent and Terminal .......................................................... 27
1. Belchertown State School v. Saikewicz .................................. 27
2. In re Conroy ............................................................................. 27
C. Competent but not Terminal ...................................................... 28
1. Bartling v. Superior Court of Los Angeles County .................. 28
2. Bouvia v. Superior Court of Los Angeles County .................... 28
3. Satz v. Perlmutter ..................................................................... 28
D. Role of Nursing Homes and Hospitals on Withdrawal of Treatment .......................................................... 29
1. In re Jobes ................................................................................. 29
2. Gray v. Romeo ........................................................................... 29
E. Suicide ....................................................................................... 29
VI. ASSISTED SUICIDE ................................................................. 30
A. Oregon Death with Dignity Act ................................................ 30
B. The Dutch Law ........................................................................ 31
C. New York Task Force on Assisted Suicide ............................. 32
VII. CASE LAW: PHYSICIAN ASSISTED SUICIDE ......................... 33
VIII. THE FAMILY ........................................................................... 34
A. Changes in the Household and Effects on the Family with a Terminally Ill Member ......................................................... 34
B. The Family After Death ............................................................. 35
C. Grieving Well ........................................................................... 36
D. Elements of Grief ..................................................................... 36
E. Going Through the Process ..................................................... 37
F. Sharing Grief ............................................................................ 38
G. The Role of Legal Advisor ....................................................... 38
H. The Role of the Guardian ................................................................. 39
I. Differing Opinions: Medical Personnel vs. Surrogate Decision Maker .................. 43
J. Other Considerations ........................................................................... 45
APPENDIX A ......................................................................................... 47
APPENDIX B ......................................................................................... 47
APPENDIX C ......................................................................................... 49
APPENDIX D ......................................................................................... 49
APPENDIX E ......................................................................................... 50
APPENDIX F ......................................................................................... 51
APPENDIX G ......................................................................................... 52
APPENDIX H ......................................................................................... 57
APPENDIX I ......................................................................................... 59
I. INTRODUCTION
When preparing estate planning documents, probate attorneys and their clients often face issues involving death. It is human nature that the attorneys and clients think of death in the future rather than imminent death, and often the estate planning is serious but can have lighthearted moments.
This article is not about these clients. This article is about clients and families who have been informed by their doctor that the grim reaper is around the corner and death is pending. At the end of the representation, the estate attorney’s farewell said to the client is final. I remember my terminally ill clients. There are few words that can be said when they depart the office except, “Goodbye and God bless.”
Terminally ill clients go through psychological stages of dying, and each stage may have an impact on estate planning.\(^1\) These clients may also ask for unusual legal advice that is not normally what attorneys encounter. As the lawyers who draft estate planning documents, we need to be aware of these stages and prepared for unusual requests for legal advice.
After the death of the client, the estate attorney is faced with assisting the family with the management of the estate. Simultaneously, the family is going through phases of grief that can cloud their judgment and communication skills. The purpose of this paper is to better prepare attorneys for representing the terminally ill client and the family.
II. STAGES OF DEATH
In 1969, Dr. Elisabeth Kubler-Ross published her book *On Death and Dying*, which brought death out of the closet and made death acceptable to
\(^1\) See infra Part II.
discuss.\textsuperscript{2} Her research included interviewing hundreds of terminally ill patients, and she discovered that persons who are dying go through stages.\textsuperscript{3}
Most contemporary psychiatrists, however, do not agree that the terminally ill go through the phases in an orderly manner.\textsuperscript{4} Often a patient will return to a prior phase, have a mixture of phases, get stuck in one phase, or bypass a phase entirely.\textsuperscript{5}
\textit{A. Denial and Isolation}
Upon being confronted with the diagnosis of a terminal illness, the first reaction a client will have is often, “‘No, not me, it cannot be true.’”\textsuperscript{6} This denial is present in patients who were told outright by their physicians of their terminal illness as well as those who were not explicitly informed but came to the conclusion on their own.\textsuperscript{7} This denial, however, “is more typical in a patient who is informed prematurely or abruptly” without taking into consideration the patient’s readiness to hear this disclosure.\textsuperscript{8}
Physicians play a crucial role in helping patients understand the nature of a terminal illness.\textsuperscript{9} Often times, a patient may not realize the implications of a particular diagnosis.\textsuperscript{10} Physicians have even been criticized for failing to be candid with patients, which may leave patients on their own to come to the realization that their diagnosis is terminal.\textsuperscript{11} The complexity of modern medicine has exacerbated this dilemma. Even when treatments are available, the likelihood of success varies, and many aggressive treatments of chronic diseases have side effects that greatly degrade quality of life.\textsuperscript{12} The modern physician faces the difficult task of diagnosing illnesses, counseling the patient on available options, and helping the patient reach an informed decision that fits with the patient’s intentions.\textsuperscript{13}
Denial should not be seen as an unhealthy manifestation.\textsuperscript{14} It is natural and “functions as a buffer after unexpected shocking news [and] allows the
\begin{itemize}
\item \textsuperscript{2} See Elisabeth Kubler-Ross, \textit{On Death and Dying} 52 (Scribner 1997) (1969).
\item \textsuperscript{3} See id.
\item \textsuperscript{4} Robert Kastenbaum, \textit{Death, Society, and Human Experience} 139-47 (8th Ed. 2004).
\item \textsuperscript{5} Id. at 139.
\item \textsuperscript{6} Kubler-Ross, \textit{supra} note 2, at 51.
\item \textsuperscript{7} Id.
\item \textsuperscript{8} Id. at 52.
\item \textsuperscript{9} See Sarah Elizabeth Harrington & Thomas J. Smith, \textit{The Role of Chemotherapy at the End of Life: When is Enough, Enough?}, 299 \textit{JAMA} 2667, 2671 (2008) (discussing the challenges of physician-patient communications regarding chemotherapy near the end of life).
\item \textsuperscript{10} See id. at 2669.
\item \textsuperscript{11} See id. at 2676.
\item \textsuperscript{12} See id.
\item \textsuperscript{13} See id.
\item \textsuperscript{14} Kubler-Ross, \textit{supra} note 2, at 52.
patient to collect himself.”\textsuperscript{15} Patients in denial often seek second opinions in the hope that their treating physician is wrong.\textsuperscript{16}
A client in the denial stage will not want to meet with an attorney and will not be receptive to any estate planning, no matter how hard the family may plead and cajole the individual to “get his affairs in order.” If dragged to your office, the patient will not cooperate and will consider the consultation a waste of time.
As the attorney, it may be best to listen but not ask a lot of estate planning questions. Keep the interview short and attempt to establish a rapport with the client. Likely the client will not be receptive and will not be completely tuning in to any advice offered. If clients do not want to discuss the illness or seem unrealistic about the situation, then do not push them. Since clients may be coming to you as a result of their recent diagnosis and poor prognosis, it is easy to base your attorney client relationship on their medical illness. To build a better relationship and better understand the needs of your client, spend some time getting to know the actual person.\textsuperscript{17}
\textit{B. Anger}
“When the first stage of denial cannot be maintained any longer, it is replaced by feelings of anger, rage, envy, and resentment. . . . The logical next question becomes: ‘Why me?’”\textsuperscript{18}
The patient is very difficult to cope with from the view of family and medical staff as “anger is displaced in all directions and projected onto the environment . . . at random.”\textsuperscript{19} Comments such as “the doctors are just no good” or “the proper tests have not been ordered” are common in the anger stage.\textsuperscript{20} The nursing staff is even more of a target, and the bell in the hospital room might ring frequently.\textsuperscript{21}
The family also receives the brunt of the anger.\textsuperscript{22} They are “received with little cheerfulness or anticipation.”\textsuperscript{23} Naturally, the family responds with tears, guilt, and avoidance, which makes the patient even angrier.\textsuperscript{24}
Where is the anger coming from? The patient sees his life interrupted prematurely.\textsuperscript{25} The family’s life continues on, and they will be enjoying things he will not.\textsuperscript{26} The patient will raise his voice, make demands, and complain.\textsuperscript{27}
\begin{itemize}
\item[15.] \textit{Id.}
\item[16.] \textit{Id.} at 51.
\item[17.] See KASTENBAUM, \textit{supra} note 4, at 41.
\item[18.] KUBLER-ROSS, \textit{supra} note 2, at 63.
\item[19.] \textit{Id.} at 64.
\item[20.] \textit{Id.}
\item[21.] \textit{Id.}
\item[22.] \textit{Id.}
\item[23.] \textit{Id.}
\item[24.] \textit{Id.}
\item[25.] \textit{Id.}
\item[26.] \textit{Id.}
He provokes anger and rejection.\textsuperscript{28} The patient is in a desperate stage. Just like the family and medical staff, the attorney can also be a target of the displaced anger.
If a client is in the anger stage, then the attorney may see the client make cruel or unreasonable decisions regarding the client’s family during the estate planning. The client may leave little of his estate to the family or place the estate in an income-only trust. The client may vocalize that he does not want his wife’s next husband to enjoy his estate or that he does not want his wife to have a good time once he is dead.
Listen to the client and attempt to understand the anger.\textsuperscript{29} Does the client’s action reflect on a lifelong pattern of behavior, or is his action in line with the values he has had throughout his life? If not, then the attorney can gently point out the contradictions and let the client make sense of them.\textsuperscript{30} If this fails, then it may be prudent to have the client go home to think about his plan for a few days.\textsuperscript{31}
\textit{C. Bargaining}
In the bargaining stage, the client may think, “God has not responded when I was angry with Him. Perhaps if I am nice, He will postpone the inevitable.”\textsuperscript{32} In other words, the client hopes good behavior may be rewarded with an extension of life.\textsuperscript{33} The client is beginning to accept the fact that he is dying and is now hoping for more time on Earth.\textsuperscript{34} Bargaining is an attempt to postpone death where the client may promise a life dedicated to God or good works in exchange for more time.\textsuperscript{35}
At this stage, the attorney may see a request for an extraordinarily large bequest to a church or charity.\textsuperscript{36} The client’s family may become aware of larger than normal gifts being made to a church or charity.\textsuperscript{37} The attorney should first determine if the client has had a pattern of charitable giving by asking whether it fits into the client’s life history and values. If not, then ask the client to explain this discrepancy.
\begin{itemize}
\item[27.] \textit{Id.} at 64-65.
\item[28.] \textit{Id.} at 65.
\item[29.] \textit{Id.} at 90-92.
\item[30.] \textit{See id.} at 63-90.
\item[31.] \textit{See id.}
\item[32.] \textit{Id.} at 93.
\item[33.] \textit{Id.} at 94.
\item[34.] \textit{See id.}
\item[35.] \textit{Id.} at 95.
\item[36.] \textit{See id.}
\item[37.] \textit{See id.}
D. Depression
Once the surgeries, constant hospitalizations, symptoms, and weakened body reach a point where the terminally ill client can no longer deny the illness, he cannot simply whisk the illness away with a smile anymore.\textsuperscript{38} In place of the client’s anger, rage, and attempts at bargaining will now stand a sense of great loss.\textsuperscript{39}
The weakening of the body is only a part of the client’s losses.\textsuperscript{40} Increasing financial burdens take their toll, as luxuries and necessities may no longer be affordable.\textsuperscript{41} Funds previously set aside for a child’s college education may need to be utilized for living expenses.\textsuperscript{42}
An inability to function may cause the client to quit his job.\textsuperscript{43} When this happens, the other spouse often becomes the primary support, and the children may not get the attention they once expected.\textsuperscript{44} Depression is an emotion that the terminally ill client must undergo to prepare for death.\textsuperscript{45}
In order to facilitate the final stage of acceptance, no one should encourage the client to look at the brighter side because this prevents him from contemplating his impending death.\textsuperscript{46} The client needs to be allowed to express his sorrow.\textsuperscript{47} There is no need for words because acceptance is best treated by a familiar touch or quiet company.\textsuperscript{48} Too much interference from cheerful visitors at this time may hinder the client’s emotional preparation.\textsuperscript{49}
If a client is depressed, then the attorney may need to prompt the client and be more active.\textsuperscript{50} If the client does not volunteer or request particular information, then the attorney should not assume the client lacks desire.\textsuperscript{51} It may be prudent to wait a few days if a client comes to your office in a depressed state.\textsuperscript{52} If the depression is severe and persistent for more than a couple of weeks, then refer the client to a mental health professional.
\begin{itemize}
\item[38.] \textit{Id.} at 97.
\item[39.] \textit{Id.}
\item[40.] \textit{Id.}
\item[41.] \textit{Id.}
\item[42.] \textit{Id.} at 98.
\item[43.] \textit{Id.}
\item[44.] \textit{Id.}
\item[45.] \textit{Id.}
\item[46.] \textit{Id.} at 99.
\item[47.] \textit{Id.}
\item[48.] \textit{Id.} at 99-100.
\item[49.] \textit{Id.} at 100.
\item[50.] \textit{Id.} at 100-21.
\item[51.] \textit{Id.}
\item[52.] \textit{Id.}
E. Acceptance
If a client has had enough time and received help working through the first four stages of death, then he will reach a stage where he is no longer depressed or angry about his fate.\textsuperscript{53} He will have expressed his envy for those living and his anger toward those who do not share his fate.\textsuperscript{54} The client will have mourned the approaching loss of so many people and places.\textsuperscript{55} The client will contemplate his fate with a degree of quiet expectation.\textsuperscript{56}
Acceptance is an unhappy stage, almost void of feelings.\textsuperscript{57} Acceptance makes it seem as if the pain is gone and the struggle is over.\textsuperscript{58} The client has found some peace, and his circle of interest has diminished.\textsuperscript{59} He wishes to be left alone and is not talkative.\textsuperscript{60} Communication becomes more nonverbal than verbal.\textsuperscript{61} Terminally ill clients can die easier if they are not prevented from detaching themselves slowly from all the meaningful relationships in their lives.\textsuperscript{62} During this stage, the family usually needs more support than the client needs in order to let go.\textsuperscript{63}
During the stage of acceptance, the client finds peace in his life and in his impending death.\textsuperscript{64} This is the ideal stage in which to do estate planning. However, it is unpredictable when and if acceptance will occur.
F. Final Thoughts
Attorneys need to be aware of these various stages of death and try to determine which stage the terminally ill client is going through. Emotional moments may cause meetings with the client to run longer than expected. Although attorneys are prone to thoroughly discussing matters, when dealing with a terminally ill client attorneys should be comfortable with silence and use it as a tool to help the client cope with the situation. If the client has an unusual request regarding his estate plan, then it is possible that the request is influenced by the client’s current death stage.
There is no specific timetable as to how long a client might be in any given stage. When advising a client, the attorney comes to the client with his
\textsuperscript{53} \textit{Id.} at 123.
\textsuperscript{54} \textit{Id.}
\textsuperscript{55} \textit{Id.}
\textsuperscript{56} \textit{Id.} at 123-24. The client will also feel the need to sleep frequently in brief intervals, which is similar to a newborn’s decreasing need for sleep but in reverse. \textit{Id.} at 124. This is a natural part of the acceptance stage, not a symptom of depression. \textit{Id.}
\textsuperscript{57} \textit{Id.} at 124.
\textsuperscript{58} \textit{Id.}
\textsuperscript{59} \textit{Id.}
\textsuperscript{60} \textit{Id.}
\textsuperscript{61} \textit{Id.}
\textsuperscript{62} \textit{See id.} at 125-46.
\textsuperscript{63} \textit{See id.}
\textsuperscript{64} \textit{Id.}
own experiences with loss and death. These personal experiences can either help or interfere with assisting the client. It may be necessary for the attorney to perform a quick self-assessment. If the attorney is not able to put his emotions aside, then he may need to refer the client to another attorney. If the attorney has concerns about his client’s capacity to execute documents, then Appendices A and B provide two short mental status exams that attorneys may utilize to assess the client’s capacity.\textsuperscript{65}
As advocates, attorneys should be aware that a client who is severely ill is sometimes treated as a person with no right to an opinion. The client may be in the company of medical personnel who in their minds are assisting him, but none of them will stop to listen to him. He becomes a thing. We might need to remind the family and medical personnel that our client has feelings, wishes, opinions, and the right to be heard.
III. RELATED LEGAL ISSUES
With a terminally ill client, the attorney may need to review estate planning documents beyond the basic arsenal.\textsuperscript{66} Additionally, the terminally ill client may ask legal questions that the healthy client would not ask.\textsuperscript{67} This section reviews some of the documents beyond the will, trust, or statutory power of attorney.
A. Appointment of an Agent to Control Disposition of Remains
The client may be on his second marriage and have children from a first marriage. The client may be single, estranged from his family, or have a significant other. If the client has not left written instructions, then Texas has a priority list designating the individuals with the right to control the disposition of the decedent, including the person in control of the decedent’s cremation and the person liable for the reasonable cost of interment.\textsuperscript{68} They are as follows:
1. the person designated in a written instrument signed by the decedent;
2. the decedent’s surviving spouse;
3. any one of the decedent’s surviving adult children;
4. either one of the decedent’s surviving parents;
5. any of the decedent’s surviving adult siblings; or
6. any adult person in the next degree of kinship in the order named by law to inherit the estate of the decedent.\textsuperscript{69}
\textsuperscript{65} See infra Apps. A & B.
\textsuperscript{66} See infra Part III.A-C.
\textsuperscript{67} See infra Part VIII.G.
\textsuperscript{68} TEX. HEALTH & SAFETY CODE ANN. § 711.002(a)(1)-(6) (Vernon 2003).
\textsuperscript{69} § 711.002(a).
Any dispute between the persons listed above "shall be resolved by a court of competent jurisdiction."70
The written instrument referred to in the first priority is a statutory form for the appointment of an agent to control disposition of remains.71 If the client has not executed this form, then written directions can also be found in a will or a prepaid funeral contract.72 "If the directions are in a will, they shall be carried out immediately without the necessity of probate."73
B. Directive to Physicians
Texas has a statutory form for directives.74 Attorneys drafting directives for the terminally ill client, or for any client, may need to define some of the terminology for that client.75 The attorney may also need to consider adding more specifics to the statutory directive based on the client's exact needs.76
The first question is: What is a terminal condition?
Terminal condition means an incurable condition caused by injury, disease, or illness that according to reasonable medical judgment will produce death within six months, even with available life-sustaining treatment provided in accordance with the prevailing standard of medical care. A patient who has been admitted to a program under which the person receives hospice services provided by a home and community support services agency licensed under Chapter 142 [of the Texas Health & Safety Code] is presumed to have a terminal condition for purposes of this chapter.77
The second question that might follow is: What is a life-sustaining treatment?
"Life-sustaining treatment" means treatment that, based on reasonable medical judgment, sustains the life of a patient and without which the patient will die. The term includes both life-sustaining medications and artificial life support, such as mechanical breathing machines, kidney dialysis treatment, and artificial nutrition and hydration. The term does not include the administration of pain management medication or the performance of a medical procedure considered to be
---
70. Id. § 711.002(k).
71. § 711.002(a).
72. § 711.002(g).
73. § 711.002(h).
74. Id. § 166.033 (Vernon Supp. 2008).
75. See id. § 166.002 (Vernon 2003).
76. See § 166.033.
77. § 166.002(13) (Vernon Supp. 2008).
necessary to provide comfort care, or any other medical care provided to alleviate a patient's pain.\textsuperscript{78}
Additional language that the attorney may want to propose to a client may be:
1. If my physician determines that the withholding of nutrition or hydration will not cause me undue pain, then I do not want a nasogastric tube or any other type of nutrition or hydration to be administered.
2. I (do) (do not) want to be placed on a respirator.
I (do) (do not) want cardiac resuscitation.
I (do) (do not) want any type of naso or gastric tube feeding.
I (do) (do not) want antibiotics or any other life-sustaining medication.
I (do) (do not) want to be maintained in a vegetative state and (do) (do not) not want any procedures, which would prolong my death.
I (do) (do not) want the administration of saline solutions to keep me hydrated.
3. I do want pain relief, and I direct that treatment be limited to measures to keep me comfortable and to relieve pain, including including any pain that might occur by withholding or withdrawing treatment even if such treatment may hasten my death.
There has been considerable debate about whether or not to withhold nutrition and hydration.\textsuperscript{79} Since attorneys are not doctors, the attorney should suggest that the client discuss this additional language with the physician so that an informed choice can be made. A printout of the possible additional language may be given to the client so that he can have specific questions to discuss with his doctor.
After being diagnosed with a terminal illness, a client may desire to work with a primary physician to formulate a written treatment plan.\textsuperscript{80} “[A] treatment plan enables a patient to communicate personal preferences concerning medical treatment and the possibility of abating treatment . . . .”\textsuperscript{81} The treatment plan should specifically address the type of care the client considers appropriate, such as hospice care, the type of treatment to combat the client’s pain, and the types of treatment that the client does not want.\textsuperscript{82}
\begin{itemize}
\item \textsuperscript{78} § 166.002(10).
\item \textsuperscript{79} See, e.g., Abby Goodnough, \textit{The Schiavo Case: The Overview; Schiavo Dies, Ending Bitter Case Over Feeding Tube}, N.Y. TIMES, Mar. 23, 2005, at A1.
\item \textsuperscript{80} ROBERT F. WEIR, \textit{ABATING TREATMENT WITH CRITICALLY ILL PATIENTS} 176 (1989).
\item \textsuperscript{81} \textit{Id}.
\item \textsuperscript{82} \textit{See id.} at 176-79.
C. Out of Hospital Do Not Resuscitate (DNR)
If the client is at home and the emergency medical technicians are called, then the team will resuscitate the patient unless there is an Out of Hospital DNR Order.\textsuperscript{83} It must be signed by the patient or his guardian, agent, proxy, or managing conservator.\textsuperscript{84} Then the Out of Hospital DNR must be witnessed and signed by the attending physician.\textsuperscript{85}
D. Hospice Care
Some families may not be familiar with hospice care. In hospice care, the client and family have trained medical, spiritual, and psychological personnel that can be of great assistance during this very difficult time.\textsuperscript{86} Attorneys may find themselves being asked about residential facilities for those last months if the family is unable to cope with the client dying at home. Hospice care is a facility for the family and client to consider. Some nursing homes offer a hospice section.
The National Hospice Organization defines hospice as “a centrally administered program of palliative and supportive services, which provides physical, psychological, social and spiritual care for dying persons and their families.”\textsuperscript{87}
To be eligible for hospice care, a client must meet certain criteria. First, the client’s disease must be at a point when disease-oriented, life-prolonging therapies have ceased effectiveness.\textsuperscript{88} Second, the client must have a predicted life expectancy of six months or less.\textsuperscript{89} With hospice, there is no intent to cure the patient.\textsuperscript{90} The goal of hospice is to support not only the patient, but also the patient’s family.\textsuperscript{91} The doctor must certify that the patient is terminal and life expectancy is less than six months.\textsuperscript{92}
\textsuperscript{83} See TEX. DEP’T OF STATE HEALTH SERVS., STANDARD OUT-OF-HOSPITAL DO-NOT-RESUSCITATE ORDER (July 19, 2005), http://www.dshs.state.tx.us/emtraumasystems/dnr.pdf. At this website you can find a statutory form provided by the Texas Department of Health. \textit{Id.}
\textsuperscript{84} TEX. HEALTH & SAFETY CODE ANN. § 166.082 (Vernon 2003).
\textsuperscript{85} § 166.082(b).
\textsuperscript{86} Robert M. Cunningham, Jr., \textit{The Evolution of Hospice}, HOSPITALS, Apr. 16, 1985, at 124.
\textsuperscript{87} \textit{Id.}
\textsuperscript{88} Michael H. Levy, \textit{Living with Cancer: Hospice/Palliative Care}, 85 J. NAT’L CANCER INST. 1283, 1284 (1993).
\textsuperscript{89} \textit{Id.}
\textsuperscript{90} \textit{See id.} at 1283.
\textsuperscript{91} \textit{See id.} at 1283-84.
\textsuperscript{92} Social Security Administration, Understanding Supplemental Security Income: Expedited Payments (2008), http://www.ssa.gov/ssi/text-expedite-ussi.htm.
E. Social Security
The section below provides a brief overview of Social Security; however, the author is not an expert on Social Security.\textsuperscript{93} Therefore, if more than background material is needed, then a referral to a Social Security expert may be in order.
1. Disability
At some point, the client may become disabled and unable to work. There is a five month waiting period to be eligible for Social Security disability, but it normally takes longer than five months to become eligible.\textsuperscript{94} If the client has a letter from his doctor stating that he is terminally ill, then the case is given expedited status by the Social Security Administration.\textsuperscript{95} The decision of eligibility can be decided within thirty days, so that at the sixth month point the first monthly check will be received.\textsuperscript{96}
2. Supplemental Security Income (SSI)
During the five month waiting period, if there are no other financial resources and the client is indigent, then he can qualify for SSI immediately using the presumptive eligibility process.\textsuperscript{97}
3. Medicaid/Hospice Program
Another option that a client may also qualify for, if terminally ill and eligible for Medicaid, is the Medicaid hospice program administered by the State of Texas.\textsuperscript{98}
4. Widow’s Gap
If a client dies, the spouse is under the age of sixty, and the children are all over the age of eighteen, then there are no Social Security benefits available for the spouse upon the death of the wage earner unless she becomes disabled within eight years of the wage earner’s death.\textsuperscript{99} An application for Social
\textsuperscript{93} See infra notes 99-105.
\textsuperscript{94} SOCIAL SECURITY ADMINISTRATION, ONLINE SOCIAL SECURITY HANDBOOK § 502.1 (Jan. 30, 2006), available at http://www.ssa.gov/OP_Home/handbook/handbook.05/handbook-0502.html; see, e.g., Brent Walth & Bryan Denson, Getting Disability Payments Can Be a Fight to the Death, THE OREGONIAN, Aug. 3, 2008, available at http://www.oregonlive.com/special/index.ssf/2008/08/getting_disability_payments_ca.html.
\textsuperscript{95} SOCIAL SECURITY ADMINISTRATION, supra note 94, at § 130.2.
\textsuperscript{96} Id.
\textsuperscript{97} 40 TEX. ADMIN. CODE § 30.10 (2008); 2008 Annual Report of the SSI Program, available at http://www.social security.gov/OACT/ssir/SSI08/ProgramDescription.html (last visited Aug. 20, 2008).
\textsuperscript{98} 40 TEX. ADMIN. CODE § 30.10.
\textsuperscript{99} See MARVIN B. SUSSMAN ET AL., HANDBOOK OF MARRIAGE AND THE FAMILY 494 (Springer 1999).
Security benefits by the spouse upon this circumstance of disability can be made ninety days prior to becoming sixty years of age.\textsuperscript{100}
\section*{F. Medicare}
Many hospitals will send Medicare eligible, terminally ill patients home after three days of hospital care and/or twenty days of skilled nursing services by informing the client that this care is all Medicare allows.\textsuperscript{101} Hospitals will make this decision because if the patient is not going to improve, then Medicare will not pay.\textsuperscript{102} In reviewing this regulation, the restoration potential is not “the deciding factor in determining whether skilled services are needed.”\textsuperscript{103}
\section*{G. Viatical Settlements and Life Insurance Policies}
Viatical Settlements are one method of getting a client the funds necessary to live his last months in comfort, and these settlements are accomplished by selling the client’s life insurance policy to a third party for an immediate lump sum of cash payment.\textsuperscript{104} The purchaser receives all rights and proceeds from the policy while taking over the premium payments.\textsuperscript{105} If the client does not have a spouse or children or the family will not need the insurance after his death, then the viatical settlement is an alternative when the client is unable to work and needs funds for expenses.\textsuperscript{106}
Any type of policy from any carrier is eligible to be sold.\textsuperscript{107} The discount is steep and can be fifty to eighty percent.\textsuperscript{108} The insurance company that issues the policy will normally purchase the policy, but there are other companies that will also purchase policies.\textsuperscript{109}
The proceeds of a viatical settlement are tax-free at the federal level for persons who are terminally or chronically ill.\textsuperscript{110} “Terminally ill” is defined as a patient being diagnosed by a certified physician to have a life expectancy of under twenty-four months.\textsuperscript{111}
\begin{itemize}
\item \textsuperscript{100} SOCIAL SECURITY ADMINISTRATION, UNDERSTANDING THE BENEFITS 11 (May 2008), available at http://www.ssa.gov/pubs/10024.pdf.
\item \textsuperscript{101} See MEDICARE.GOV, MEDICARE AND SKILLED NURSING FACILITY CARE BENEFITS 2 (2008), available at http://www.medicare.gov/publications/pubs/pdf/11359.pdf.
\item \textsuperscript{102} 42 C.F.R. § 409.32(c) (2008); see infra App. G.
\item \textsuperscript{103} 42 C.F.R. § 409.32(c).
\item \textsuperscript{104} See U.S. Securities and Exchange Commission, Viatical Settlements, http://www.sec.gov/answers/viaticalsettle.htm (last visited Aug. 20, 2008).
\item \textsuperscript{105} See id.
\item \textsuperscript{106} See Anna D. Halechko, Viatical Settlements: The Need for Regulation to Preserve the Benefits While Protecting the Ill and the Elderly from Fraud, 42 DUQ. L. REV. 803, 803-04 (2004).
\item \textsuperscript{107} See id. at 803-22.
\item \textsuperscript{108} See id. at 822.
\item \textsuperscript{109} See id. at 804.
\item \textsuperscript{110} 26 U.S.C. § 101(g) (2006).
\item \textsuperscript{111} § 101(g)(4)(A).
Another possibility is to refer the client to a bank so that he may inquire whether the bank will loan money using the policy as collateral. Receipt and payment of a viatical settlement may affect eligibility for public assistance programs.\textsuperscript{112}
IV. MEDICAL MALPRACTICE FOR THE UNDER-TREATMENT OF PAIN
Probate lawyers need to be cognizant of potential personal injury causes of action that often arise in the handling of an estate or guardianship.\textsuperscript{113} Many personal injury causes of action, which can significantly add to the value of an estate or guardianship, are overlooked because the probate lawyer handling the estate does not know what to look for. This article puts forth a theory that the under-treatment of pain in terminally ill patients constitutes a medical malpractice cause of action. The purpose of this article is to describe for the probate lawyer what this proposed cause of action would look like in terms of the elements, the damages recoverable, and the procedural requirements. Further this article should remind the probate lawyer to be cognizant of causes of action to benefit an estate or guardianship.
A. Proposed Theory—Medical Malpractice for the Under-Treatment of Pain
In Texas, this theory would fall under Chapter 74, Medical Liability, of the Texas Civil Practice and Remedies Code, which governs all health care liability claims against medical care providers in Texas.\textsuperscript{114} A health care liability claim is a cause of action against a physician or health care provider for a departure from accepted standards of medical care, health care, or safety that proximately results in injury or death of the patient.\textsuperscript{115} In order to determine what an under-treatment of pain claim would look like, it is necessary to analyze current medical negligence law.
1. Plaintiff’s Elements
The elements of a cause of action for medical negligence arising from the under-medication of pain are as follows:
(1) defendant was a medical care provider,
(2) defendant had a duty to the plaintiff,
(3) defendant breached the standard of care, and
\textsuperscript{112} Federal Trade Commission, \textit{A Guide for People with Terminal Illnesses} (Dec. 26, 1995), http://www.ftc.gov/opa/1995/12/via.shtm.
\textsuperscript{113} See, e.g., Estate of Henry James v. Hillhaven Corp., No. 89CV564 (N.C. Super. Ct., Nov. 20, 1990).
\textsuperscript{114} See TEX. CIV. PRAC. & REM. CODE ANN. § 74.001(a)(13) (Vernon 2005).
\textsuperscript{115} Id.
(4) defendant’s breach proximately caused the plaintiff’s injury.\textsuperscript{116}
\textit{a. Defendant was a Medical Care Provider}
To prove an action for medical negligence arising from the under-medication of pain, the plaintiff must first establish that the defendant was a physician or health care provider.\textsuperscript{117} A physician is an individual licensed to practice medicine in the state, a professional association of physicians, a partnership of physicians, or a profit or non-profit company formed by physicians.\textsuperscript{118} A health care provider is “any person, partnership, professional association, corporation, facility, or institution duly licensed, certified, registered, or chartered by the State of Texas to provide health care, including, a registered nurse, a dentist, a podiatrist, a pharmacist, a chiropractor, an optometrist, or a health care institution.”\textsuperscript{119}
\textit{b. Defendant had a Duty to the Plaintiff}
To prove a claim for medical negligence arising from the under-medication of pain, the plaintiff must establish that the defendant had a legal duty.\textsuperscript{120} A physician owes a duty of care to his patient—a duty to treat the patient with the “skills of a trained, competent professional.”\textsuperscript{121} The duty arises from a mutually consensual physician-patient relationship.\textsuperscript{122} A physician-patient relationship is established only through a physician’s consent—an express or implied agreement that the physician will treat the patient.\textsuperscript{123}
A hospital owes a duty of care to patients admitted for treatment.\textsuperscript{124} “The standard of care . . . is what an ordinarily prudent hospital or other medical provider would do under the same or similar circumstances.”\textsuperscript{125} A hospital, like any other employer, can be vicariously liable for the negligent acts of its employees or agents, including nurses, orderlies, and technicians.\textsuperscript{126} Generally, a hospital is not liable for the negligent acts or omissions of independent
\begin{itemize}
\item \textsuperscript{116} \textit{Id.; see infra} notes 117-55.
\item \textsuperscript{117} \textit{See Tex. Civ. Prac. & Rem. Code Ann. § 74.001(a)(13).}
\item \textsuperscript{118} \textit{Id. § 74.001(a)(23)(A)-(E).}
\item \textsuperscript{119} \textit{Id. § 74.001(a)(12)(A).}
\item \textsuperscript{120} Clements v. Conard, 21 S.W.3d 514, 522 (Tex. App.—Amarillo 2000, pet. denied).
\item \textsuperscript{121} Reynosa v. Huff, 21 S.W.3d 510, 513 (Tex. App.—San Antonio 2000, no pet.); \textit{see also} St. John v. Pope, 901 S.W.2d 420, 423 (Tex. 1995).
\item \textsuperscript{122} Brandt v. Surber, 194 S.W.3d 108, 128 (Tex. App.—Corpus Christi 2006, pet. denied); \textit{see also} Salas v. Gamboa, 760 S.W.2d 838, 840-41 (Tex. App.—San Antonio 1988, no writ).
\item \textsuperscript{123} Jackson v. Isaac, 76 S.W.3d 177, 183 (Tex. App.—Eastland 2002, pet. denied); Day v. Harkins & Munoz, 961 S.W.2d 278, 280 (Tex. App.—Houston [1st Dist.] 1997, no writ).
\item \textsuperscript{124} \textit{See, e.g.,} Harris v. Harris County Hosp. Dist., 557 S.W.2d 353, 355 (Tex. App.—Houston [1st Dist.] 1977, no writ).
\item \textsuperscript{125} Tovar v. Methodist Healthcare Sys. of San Antonio, Ltd., 185 S.W.3d 65, 68 (Tex. App.—San Antonio 2005, pet. denied).
\item \textsuperscript{126} McCombs v. Children’s Med. Ctr., 1 S.W.3d 256, 259 (Tex. App.—Texarkana 1999, pet. denied); \textit{see also} Garrett v. L.P. McCuistion Cmty. Hosp., 30 S.W.3d 653, 655 (Tex. App.—Texarkana 2000, no pet.).
physicians.\textsuperscript{127} However, a hospital may be liable for an independent physician’s negligence if the physician was acting as the hospital’s ostensible agent when the negligence occurred.\textsuperscript{128} Proving that a physician was an ostensible agent for the hospital requires the plaintiff to show the following:
(1) he or she had a reasonable belief that the physician was the agent or employee of the hospital, (2) such belief was generated by the hospital affirmatively holding out the physician as its agent or employee or knowingly permitting the physician to hold herself out as the hospital’s agent or employee, and (3) he or she justifiably relied on the representation of authority.\textsuperscript{129}
\textit{c. Defendant Breached the Standard of Care}
To prove an action for medical negligence arising from the under-medication of pain, the plaintiff must prove that the defendant breached his duty—the defendant did not conform to his required standard of care.\textsuperscript{130} The general duty of a medical professional is to act as a medical professional of reasonable and ordinary prudence would act under the same or similar circumstances.\textsuperscript{131} Breach of the duty of care can be proven by showing that the physician or health care professional did not act with the diligence required under the applicable standard of care or lacked the minimum degree of skill, prudence, and knowledge.\textsuperscript{132} Some of the more obvious breaches of the standard of care include operating on the wrong part of the patient’s body, leaving a surgical implement in the patient’s body, performing an unnecessary surgery, and choosing an unnecessary procedure.\textsuperscript{133} The accepted standard of care is proven by qualified medical expert testimony.\textsuperscript{134}
The under-medication of pain in terminally ill patients is a breach of the applicable standard of care.\textsuperscript{135} Put another way, the accepted standard of care for medical professionals includes the proper management and treatment of pain in terminally ill patients through the administration of pain medication.\textsuperscript{136} Whether under-medication arises in the hospital, in the nursing home setting, or from treatment by an independent physician, the accepted standard of care
\begin{itemize}
\item \textsuperscript{127} Baptist Mem’l Hosp. Sys. v. Sampson, 969 S.W.2d 945, 947 (Tex. 1998); Espalin v. Children’s Med. Ctr. of Dallas, 27 S.W.3d 675, 684 (Tex. App.—Dallas 2000, no pet.).
\item \textsuperscript{128} Sampson, 969 S.W.2d at 947; Espalin, 27 S.W.3d at 648; Denton v. Big Spring Hosp. Corp., 998 S.W.2d 294, 297 (Tex. App.—Eastland 1999, no pet.); Valdez v. Pasadena Healthcare Mgmt., Inc., 975 S.W.2d 43, 46 (Tex. App.—Houston [14th Dist.] 1998, pet. denied).
\item \textsuperscript{129} Sampson, 969 S.W.2d at 949; Garrett, 30 S.W.3d at 655-56.
\item \textsuperscript{130} See Garrett, 30 S.W.3d at 655-56.
\item \textsuperscript{131} Chambers v. Conaway, 883 S.W.2d 156, 158 (Tex. 1993); Hood v. Phillips, 554 S.W.2d 160, 165 (Tex. 1977); Palafox v. Silvey, 247 S.W.3d 310, 318 (Tex. App.—El Paso 2007, no pet. h.).
\item \textsuperscript{132} See Chambers, 883 S.W.2d at 158.
\item \textsuperscript{133} Id.
\item \textsuperscript{134} Id.
\item \textsuperscript{135} Id.
\item \textsuperscript{136} Duff v. Yelin, 751 S.W.2d 175, 176 (Tex. 1988).
requires that sufficient medication be administered to alleviate pain in terminally ill patients to the extent medically possible.\textsuperscript{137}
\textit{d. Defendant’s Breach Proximately Caused the Plaintiff’s Injury}
To prove an action for medical negligence arising from the under-medication of pain, the plaintiff must establish that the defendant’s breach of duty proximately caused the plaintiff’s injury.\textsuperscript{138} To establish proximate cause in a medical negligence case, the plaintiff must prove cause-in-fact and foreseeability.\textsuperscript{139}
To prove cause-in-fact, the plaintiff must establish a causal connection between his injuries and the negligence of one or more defendants based on “reasonable medical probability,” not mere conjecture, speculation, or possibility.\textsuperscript{140} Under the standard of reasonable medical probability, a possible cause only becomes probable “when, in the absence of other reasonable causal explanations, it becomes more likely than not that” the injury was a result of the defendant’s action.\textsuperscript{141}
To prove foreseeability, the plaintiff must show that the defendant should have anticipated the danger that resulted from his negligence.\textsuperscript{142} The defendant does not have to know the precise way the injury will occur, but the injury must be one that might reasonably have been anticipated.\textsuperscript{143}
In an under-medication of pain case, the obvious injury is the pain itself. Cause-in-fact is not difficult to prove. Medical expert testimony can establish that more likely than not the patient’s pain was a result of the defendant’s failure to administer adequate pain medication.\textsuperscript{144} Furthermore, pain is an injury of such general character that the physician or other health care provider may reasonably anticipate it.
\textsuperscript{137.} \textit{Id.}
\textsuperscript{138.} \textit{Duff}, 751 S.W.2d at 176; \textit{see also} Welch v. McLean, 191 S.W.3d 147, 156 (Tex. App.—Fort Worth 2005, no pet.); Bradley v. Rogers, 879 S.W.2d 947, 953 (Tex. App.—Houston [14th Dist.] 1994, writ denied).
\textsuperscript{139.} Kiesel v. Rentway, 245 S.W.3d 96, 99 (Tex. App.—Dallas 2008, pet. dism’d); Arlington Mem’l Hosp. Found. v. Baird, 991 S.W.2d 918, 922 (Tex. App.—Fort Worth 1999, pet. denied).
\textsuperscript{140.} \textit{Bradley}, 879 S.W.2d at 953-54; \textit{see also} Park Place Hosp. v. Estate of Milo, 909 S.W.2d 508, 511 (Tex. 1999); Burroughs Wellcome Co. v. Crye, 907 S.W.2d 497, 500 (Tex. 1995); Kramer v. Lewisville Mem’l Hosp., 858 S.W.2d 397, 400 (Tex. 1993); Hawkins v. Walker, 238 S.W.3d 517, 522 (Tex. App.—Beaumont 2007, no pet. h.).
\textsuperscript{141.} Lenger v. Physician’s Gen. Hosp., Inc., 455 S.W.2d 703, 707 (Tex. 1970); Parker v. Employers Mut. Liab. Ins. Co., 440 S.W.2d 43, 47 (Tex. 1969); Williams v. NGF, Inc., 994 S.W.2d 255, 256-57 (Tex. App.—Texarkana 1999, no pet.); Tsai v. Wells, 725 S.W.2d 271, 274 (Tex. App.—Corpus Christi 1986, writ ref’d n.r.e.).
\textsuperscript{142.} Dallas County v. Posey, 239 S.W.3d 336, 342 (Tex. App.—Dallas 2007, no pet. h.); Arlington Mem’l Hosp. Found. v. Baird, 991 S.W.2d 918, 922 (Tex. App.—Fort Worth 1999, pet. denied).
\textsuperscript{143.} CoTemp, Inc. v. Houston W. Corp., 222 S.W.3d 487, 493-94 (Tex. App.—Houston [14th Dist.] 2007, no pet. h.); Hall v. Huff, 957 S.W.2d 90, 96 (Tex. App.—Texarkana 1997, pet. denied).
\textsuperscript{144.} \textit{See} Lopez v. Carillo, 940 S.W.2d 232, 234 (Tex. App.—San Antonio 1997, writ denied).
In 2001, a California jury awarded a substantial sum of money in a case involving the under-treatment of pain.\textsuperscript{145} \textit{Bergman v. Chin} involved care provided to William Bergman, an eighty-five year old Californian dying of lung cancer.\textsuperscript{146} Mr. Bergman was admitted to Eden Medical Center on February 16, 1998, complaining of intolerable pain.\textsuperscript{147} He spent five days in the hospital and was treated by Dr. Chin, an internal medicine specialist.\textsuperscript{148} Nurses charted pain levels ranging from 7 to 10, with 10 being the worst pain imaginable.\textsuperscript{149} Still in agony, Mr. Bergman was discharged to die at his home. Mr. Bergman was finally able to obtain relief when his family consulted another physician who prescribed the proper pain medication.\textsuperscript{150} He died in hospice care on February 24, 1998.\textsuperscript{151}
In \textit{Bergman}, medical experts testified that there were numerous deviations from the standard of care.\textsuperscript{152} They called Dr. Chin’s conduct “amazingly reckless” and “inexcusable.”\textsuperscript{153} Although the judge in \textit{Bergman} reduced the jury award considerably, the outcome encourages health care providers to pay attention to their patient’s pain and treat it appropriately.\textsuperscript{154} Further, the fact that the judge reduced the award to comply with a statute that caps medical malpractice cases indicates that the limitations of Chapter 74 apply to under-treatment of pain cases.\textsuperscript{155} Other jurisdictions should follow California’s lead and hold healthcare providers accountable for the under-treatment of pain of the terminally ill.
\textbf{2. Recoverable Damages}
As discussed previously, the limitations of Chapter 74 of the Texas Civil Practice and Remedies Code apply to the under-treatment of pain cases, including limitations on recoverable damages.\textsuperscript{156} In an action for medical malpractice arising from the under-medication of pain, the plaintiff can recover actual damages, which include physical pain, mental anguish, and medical expenses.\textsuperscript{157} In an under-treatment of pain situation, the patient’s family members are likely to suffer substantial emotional distress by watching their
\begin{itemize}
\item[145.] \textit{Bergman v. Chin}, No. H205732-1 (Cal. Super. Ct. June 13, 2001).
\item[146.] \textit{Id}.
\item[147.] \textit{Id}.
\item[148.] \textit{Id}.
\item[149.] \textit{Id}.
\item[150.] \textit{Id}.
\item[151.] \textit{Id}.
\item[152.] \textit{Id}.
\item[153.] \textit{Id}.
\item[154.] \textit{See id}.
\item[155.] \textit{See Tex. Civ. Prac. & Rem. Code Ann. §§ 74.301-.303 (Vernon 2005)}.
\item[156.] \textit{See supra} Part IV.A.1; \textit{see also} §§ 74.301-.303.
\item[157.] Sorokolit v. Rhodes, 889 S.W.2d 239, 243 (Tex. 1994); \textit{see, e.g.,} Linan v. Rosales, 155 S.W.3d 298, 306 (Tex. App.—El Paso 2004, pet. denied).
loved one suffer in his final days.\textsuperscript{158} However, Texas law does not permit a bystander to recover damages in medical malpractice cases.\textsuperscript{159}
Chapter 74 replaced the Medical Liability and Insurance Improvement Act on September 1, 2003.\textsuperscript{160} Chapter 74, much like Article 4509i, purports to limit the recovery of damages in medical malpractice cases.\textsuperscript{161} Section 74.303, in parallel to the prior section 11.02, limits liability to $500,000 except as to past and future damages for necessary medical, hospital, and custodial care expenses.\textsuperscript{162} Due to its recent vintage, there is a dearth of cases that interpret section 74.303. However, a body of good case law exists for the prior statute. In \textit{Lucas v. United States}, the Texas Supreme Court declared section 11.02 unconstitutional in injury cases under the open courts provision of the Texas Constitution.\textsuperscript{163} However, in \textit{Rose v. Doctors’ Hospital Facilities}, the Texas Supreme Court declared section 11.02 constitutional in death cases.\textsuperscript{164} The court further held that the damages cap provision was to be calculated on a “per defendant” basis.\textsuperscript{165}
\textbf{3. Procedural Requirements}
Chapter 74 of the Texas Civil Practice and Remedies Code establishes the same absolute two year statute of limitations for health care liability claims.\textsuperscript{166} Unless the discovery rule applies, the limitations period begins to run on one of three dates: (1) the date the breach occurred; (2) the date the treatment that is the subject of the claim is completed; or (3) the date the hospitalization for which the claim is made is completed.\textsuperscript{167}
In \textit{Chambers v. Conaway}, the plaintiff alleged that the physician breached the standard of care by not monitoring a condition the plaintiff complained about to the physician.\textsuperscript{168} The court held that the limitations period began to
\begin{itemize}
\item[158.] See Cavanaugh v. Jones, 863 S.W.2d 551, 557 (Tex. App.—Austin 1993, writ denied).
\item[159.] Edinburg Hosp. Auth. v. Trevino, 941 S.W.2d 76, 81 (Tex. 1997); Morrell v. Finke, 184 S.W.3d 257, 270 (Tex. App.—Fort Worth 2005, pet. denied); Denton Reg’l Med. Ctr. v. LaCroix, 947 S.W.2d 941, 957 (Tex. App.—Fort Worth 1997, writ denied).
\item[160.] Act of May 30, 1977, 65th Leg., R.S., Ch. 817, § 1, 1977 Tex. Gen. Laws 2039, 2039, repealed by Act of June 2, 2003, 78th Leg., R.S. ch. 204, § 10.09, 2003 Tex. Gen. Laws 847.884; see also Jeff Watters, Better to Kill than to Maim: The Current State of Medical Malpractice Wrongful Death Cases in Texas, 60 BAYLOR L. REV. 794, 752-57 (2008).
\item[161.] Compare TEX. CIV. PRAC. & REM. CODE ANN. §§ 74.301-.303 with Act of May 30, 1977, 65th Leg. R.S. ch. 817, §§ 1, 1.02(b)(2), 1977 Tex. Gen. Laws 2039, 2040 (repealed 2003).
\item[162.] Compare TEX. CIV. PRAC. & REM. CODE ANN. § 74.303 with Act of May 30, 1977, 65th Leg. R.S., ch. 817, §§ 1, 11.02, 1977 Tex. Gen. Laws 2039, 2052 (repealed 2003).
\item[163.] Lucas v. United States, 757 S.W.2d 687, 690 (Tex. 1988).
\item[164.] Rose v. Doctors’ Hosp. Facilities, 801 S.W.2d 841, 845 (Tex. 1990).
\item[165.] Id. at 846.
\item[166.] TEX. CIV. PRAC. & REM. CODE ANN. § 74.251.
\item[167.] Shah v. Moss, 67 S.W.3d 836, 841 (Tex. 2001); Earle v. Ratliff, 998 S.W.2d 882, 886 (Tex. 1999); Husain v. Khatib, 964 S.W.2d 918, 919 (Tex. 1998); Diaz v. Westphal, 941 S.W.2d 96, 99 (Tex. 1997); Chambers v. Conaway, 883 S.W.2d 156, 158 (Tex. 1993).
\item[168.] Chambers, 883 S.W.2d at 157.
run from the date of the patient’s last visit to the physician.\textsuperscript{169} In \textit{Husain v. Khatib}, the plaintiff alleged that the physician did not establish a course of treatment because the physician misdiagnosed the plaintiff’s condition.\textsuperscript{170} The court held that the limitations period began to run from the date of the last examination that the physician had an opportunity to diagnose the condition.\textsuperscript{171}
In \textit{Earle v. Ratliff}, the plaintiff alleged that the physician was negligent in misdiagnosing the need for surgery by failing to disclose the attendant risks of surgery beforehand and by performing an unwarranted surgery.\textsuperscript{172} The court found that the physician’s negligence occurred on or before the date he performed the surgery and limitations on the claim began to run on that date.\textsuperscript{173} In \textit{Shah v. Moss}, the plaintiff alleged that the physician performed negligent surgery and negligent follow-up treatment.\textsuperscript{174} The court held that when the date of the alleged tort or breach is ascertainable, limitations begin to run from that date and a course of treatment analysis for follow-up treatment is inapplicable.\textsuperscript{175} In \textit{Gross v. Kahanek}, the Texas Supreme Court found that when a claim arises from the prescription of medication as a course of treatment, the course of treatment ends and the limitations begin to run when the physician ceases prescribing the medication.\textsuperscript{176}
It would follow for the under-treatment of pain that the limitations period would begin to run from the date of the patient’s last visit to the physician or the last examination by the physician. If the exact date of the breach cannot be determined, then the limitations period begins to run on the date the medical or health care treatment was completed—the date the physician discontinued prescribing medication.\textsuperscript{177}
In \textit{Neagle v. Nelson}, the Texas Supreme Court ruled that an injured person’s right to file a malpractice suit was not cut off if the person could not have reasonably discovered the wrong within the two year limitations period.\textsuperscript{178} This new discovery rule states that a claimant has a reasonable time after discovering his injury in which to file suit, which differs from the traditional discovery rule that provided that a claimant had two years after the date of discovery to file suit.\textsuperscript{179}
In \textit{Yancy v. United Surgical Partners International, Inc.}, the older statute of limitations under Article 4590i, section 10.01 was found to not violate the open courts provision of the Texas constitution.\textsuperscript{180} However, in \textit{Adams v.}
\begin{itemize}
\item \textsuperscript{169} \textit{Id.} at 158.
\item \textsuperscript{170} \textit{Husain}, 964 S.W.2d at 919.
\item \textsuperscript{171} \textit{Id.} at 919-20.
\item \textsuperscript{172} \textit{Earle}, 998 S.W.2d at 884.
\item \textsuperscript{173} \textit{Id.} at 886.
\item \textsuperscript{174} \textit{Shah v. Moss}, 67 S.W.3d 836, 839 (Tex. 2001).
\item \textsuperscript{175} \textit{Id.} at 843.
\item \textsuperscript{176} \textit{Gross v. Kahanek}, 3 S.W.3d 518, 521 (Tex. 1999).
\item \textsuperscript{177} TEX. CIV. PRAC. & REM. CODE ANN. § 74.251 (Vernon 2005).
\item \textsuperscript{178} \textit{Neagle v. Nelson}, 685 S.W.2d 11, 12 (Tex. 1985).
\item \textsuperscript{179} \textit{Id.}; § 74.251(a).
\item \textsuperscript{180} \textit{Yancy v. United Surgical Partners Int’l, Inc.}, 236 S.W.3d 778, 786 (Tex. 2007).
Gottwald, section 74.251 was found to be unconstitutional as applied to minors under the open courts provision of the Texas constitution.\textsuperscript{181}
\section*{4. Notice and Expert Report Requirements}
A plaintiff must provide sixty days notice before filing a negligence claim against a physician or health care provider.\textsuperscript{182} Providing notice under section 74.051 tolls the statute of limitations for seventy-five days.\textsuperscript{183} Chapter 74 of the Texas Civil Practice and Remedies Code requires a plaintiff to provide an expert report for each named physician or health care provider against whom a claim is asserted within 120 days.\textsuperscript{184} If the plaintiff fails to file an expert report within the period specified, then, on the defendant’s motion, the court must dismiss the action with prejudice and award attorney fees and court costs to the defendant.\textsuperscript{185} If the expert report is found to be deficient, then the court may grant one thirty day extension to allow the claimant to cure the deficiency.\textsuperscript{186}
Chapter 74 imposes many limitations on medical malpractice suits.\textsuperscript{187} The personal injury attorney must jump through many hoops in order to comply with the statute.\textsuperscript{188} The probate lawyer should review for the existence of personal injury causes of action when handling estate matters.\textsuperscript{189} Medical negligence for the under-medication of pain is one example of the many personal injury causes of action that might arise in the estate or guardianship setting. In order to maximize the value of the estate, the probate lawyer must be able to recognize medical negligence causes of action when they exist. The under-medication for pain is a new possible cause of action that may be prevalent with terminally ill clients.
\section*{V. A Review of Cases Regarding the Terminally Ill and Withdrawal of Treatment}
The withdrawal of treatment falls under the Due Process Clause of the United States Constitution.\textsuperscript{190} Persons have a right to privacy and liberty interest in their medical treatment choices.\textsuperscript{191} This right extends to surrogate decision-makers upon a showing by clear and convincing evidence that the patient extended this right to his surrogate.\textsuperscript{192}
\begin{itemize}
\item[181.] Adams v. Gottwald, 179 S.W.3d 101, 102-03 (Tex. App.—San Antonio 2005, pet. denied).
\item[182.] TEX. CIV. PRAC. & REM. CODE ANN. § 74.051 (Vernon 2005).
\item[183.] \textit{Id.}
\item[184.] \textit{Id.} § 74.351(a).
\item[185.] \textit{Id.} § 74.351(b); see also Murphy v. Russell, 167 S.W.3d 835, 839 (Tex. 2005).
\item[186.] TEX. CIV. PRAC. & REM. CODE ANN. § 74.351(c).
\item[187.] See \textit{id.} §§ 74.001-.507 (Vernon 2005).
\item[188.] See, e.g., § 74.351.
\item[189.] See § 74.351(a).
\item[190.] See Cruzan v. Mo. Dep’t of Health, 497 U.S. 261, 281 (1990).
\item[191.] \textit{Id.}
\item[192.] \textit{Id.} at 282.
A. Client in Vegetative State or Incapacitated—Not Terminal—Surrogate Decision Making
1. *In re Quinlan*
In *In re Quinlan*, Karen Quinlan was in a vegetative state for a year when her guardian father requested to discontinue all treatment, including the use of a respirator, but the hospital refused.\(^{193}\) The court ruled that the patient’s constitutional right to privacy could be asserted by her guardian after consultation with the family and concurrence with the hospital’s ethics committee that there was no reasonable possibility of emergence from her comatose condition.\(^{194}\) At this point, the court found that treatment could be discontinued.\(^{195}\)
The court gave an in-depth analysis of the Catholic Church’s agreement that Mr. Quinlan’s request to discontinue treatment was morally correct.\(^{196}\) Mr. Quinlan was a devout Catholic and sought advice from the Church about discontinuing treatment.\(^{197}\) The reasoning was expressed in an address to anesthesiologists on November 24, 1957, by Pope Pius XII when he dealt with the question:
Does the anesthesiologist have the right, or is he bound, in all cases of deep unconsciousness, even in those that are completely hopeless in the opinion of the competent doctor, to use modern artificial respiration apparatus, even against the will of the family?
His answer made the following points:
1. In ordinary cases the doctor has the right to act in this manner, but he is not bound to do so unless this is the only way of fulfilling another certain moral duty.
2. The doctor, however, has no right independent of the patient. He can act only if the patient explicitly or implicitly, directly or indirectly gives him the permission.
3. The treatment as described in the question constitutes extraordinary means of preserving life and so there is no obligation to use them or to give the doctor permission to use them.
---
\(^{193}\) See *In re Quinlan*, 355 A.2d 647, 656-57 (N.J. 1976).
\(^{194}\) Id. at 663-65.
\(^{195}\) Id.
\(^{196}\) Id. at 659.
\(^{197}\) Id. at 657-58.
4. The rights and the duties of the family depend on the presumed will of the unconscious patient if he or she is of legal age, and the family, too, is bound to use only ordinary means.
5. This case is not to be considered euthanasia in any way; that would never be licit. The interruption of attempts at resuscitation, even when it causes the arrest of circulation, is not more than an indirect cause of the cessation of life, and we must apply in this case the principle of double effect.\textsuperscript{198}
Since this pontifical address, the Church has further defined its position, stating that it is permissible to interrupt the administration of medicines,\textsuperscript{199} but that it is immoral and not permissible to remove or withhold water and food.\textsuperscript{200}
\textbf{2. In re L.C.D.}
In \textit{In re L.C.D.}, the guardian of a severely disabled child brought a motion seeking instructions as to whether it would be in the child’s best interest to consent to a directive to physicians.\textsuperscript{201} The Ninth District Court of Appeals in Beaumont held that when the trial court ordered the guardian to execute the directive, the trial court exceeded its authority. The ward’s appointed guardian already had the power to consent to medical, psychiatric, and surgical treatment without court intervention.\textsuperscript{202}
A guardian’s decision to withhold or withdraw life-sustaining treatment must be based on knowledge of what the ward would desire.\textsuperscript{203} If the ward previously executed a directive, then the directive will serve to guide the guardian’s choices.\textsuperscript{204} If there is no directive, then the guardian must develop evidence by interviewing family, friends, and neighbors or by reviewing medical records to determine the wishes of the ward.\textsuperscript{205} If this is not available, then the guardian must decide what course of treatment is in ward’s best interest, after consulting with the treating experts.\textsuperscript{206}
\begin{footnotes}
\item \textsuperscript{198} \textit{Id.} at 658.
\item \textsuperscript{199} Prefect Franjo Cardinal Seper, Declaration on Euthanasia from the Sacred Congregation for the Doctrine of Faith (May 5, 1980), \textit{available at} http://www.vatican.va/roman_curia/congregations/cfaith/documents/rc_con_cfaith_doc_19800505_euthanasia_en.html.
\item \textsuperscript{200} Pope John Paul II, Life-Sustaining Treatments and Vegetative State: Scientific Advances and Ethical Dilemmas (Mar. 20, 2004), \textit{available at} http://www.vatican.va/holy_father/john_paul_ii/speeches/2004/march/documents/hf_jp-ii_spe_20040320_congress-fiamc_en.html.
\item \textsuperscript{201} \textit{In re L.C.D.}, 16 S.W.3d 153, 154 (Tex. App.—Beaumont 2000, pet. granted).
\item \textsuperscript{202} \textit{Id.} at 156 (citing TEX. PROB. CODE ANN. § 767(4) (Vernon Supp. 2007)).
\item \textsuperscript{203} \textit{Id.} at 155.
\item \textsuperscript{204} \textit{See id.}
\item \textsuperscript{205} \textit{See id.}
\item \textsuperscript{206} \textit{See id.}
\end{footnotes}
3. Cruzan v. Missouri Department of Health
In *Cruzan v. Missouri Department of Health*, the court held that a competent person has a liberty interest under the Due Process Clause to refuse unwanted medical treatment.\(^{207}\) A surrogate may act for an incompetent patient upon a showing by clear and convincing evidence that this action would be the patient’s wish if the patient was competent.\(^{208}\)
4. Workmen’s Circle Home & Infirmary for the Aged v. Fink
In *Workmen’s Circle Home & Infirmary for the Aged v. Fink*, the children of a comatose woman did not want doctors to insert a gastro-feeding tube; instead, the children wanted the removal of the intravenous tube and cessation of antibiotic treatment.\(^{209}\) The court ruled that the children must satisfy the highest burden of proof in a civil case: clear and convincing evidence as to mother’s intention.\(^{210}\) The patient has a right to determine treatment under the constitutional Due Process right of liberty and privacy.\(^{211}\)
5. Wendland v. Wendland
In *Wendland v. Wendland*, a conservator-wife wanted the feeding tube removed from her husband but his mother and sister objected.\(^{212}\) The conservatee-husband was not in a persistent vegetative state or suffering from a terminal illness.\(^{213}\) His wife wanted to use good faith decision making as the standard, but the court held that his wife must show by clear and convincing evidence that the conservatee wished to refuse such treatment or to withhold such treatment would be in his best interest.\(^{214}\) This standard requires proof to be so clear and convincing as to leave no substantial doubt.\(^{215}\)
6. Schiavo ex rel Schindler v. Schiavo
In *Schiavo ex rel Schindler v. Schiavo*, the husband and guardian of an incapacitated woman on artificial life support sought to have food, fluids, and medical treatment removed.\(^{216}\) In an extended legal battle, her parents
---
\(^{207}\) Cruzan v. Mo. Dep’t of Health, 497 U.S. 261, 278 (1990).
\(^{208}\) Id. at 280.
\(^{209}\) Workmen’s Circle Home and Infirmary for the Aged v. Fink, 514 N.Y.S.2d 893, 894 (N.Y. Sup. Ct. 1987).
\(^{210}\) Id. at 895.
\(^{211}\) Id.
\(^{212}\) Wendland v. Wendland, 28 P.3d 151, 154 (Cal. 2001).
\(^{213}\) Id. at 174.
\(^{214}\) Id. at 175.
\(^{215}\) Id. at 173.
\(^{216}\) Schiavo ex rel. Schindler v. Schiavo, 358 F. Supp. 2d 1161, 1164 (M.D. Fla. 2005).
exhausted all of their legal options to prevent the removal of life support.\textsuperscript{217} Ultimately, however, the husband and guardian won a court order to remove life support.\textsuperscript{218} Her parents then appealed to the Eleventh Circuit, which held that neither the hospice nor the husband violated the Americans with Disabilities Act, the ward’s Eighth Amendment rights, or her substantive due process rights.\textsuperscript{219}
\textbf{7. Miller ex rel. Miller v. HCA, Inc.}
In \textit{Miller ex rel. Miller v. HCA, Inc.}, the parents brought an action against a hospital asserting claims of battery and negligence arising from emergency medical treatment administered to their child who was born severely premature and in distress but not certifiably terminal.\textsuperscript{220} The court held the following:
(1) [T]he hospital was not required to seek court intervention before providing emergency treatment to the child without parental consent; (2) the hospital was not negligent in allowing neonatologist to perform emergency medical treatment without parental consent; and (3) the federal “Baby Doe” statute did not apply to determination whether neonatologist committed battery by providing emergency medical treatment to infant without parental absent [sic].\textsuperscript{221}
\textbf{8. Stolle v. Baylor College of Medicine}
In \textit{Stolle v. Baylor College of Medicine}, the parents brought a medical malpractice action against the hospital and its physicians on their daughter’s behalf for alleged disregard of the parents’ instructions to not use any heroic efforts or artificial means to extend the life of their daughter, who was born brain damaged.\textsuperscript{222} The court held under both common law and the Natural Death Act that hospitals and physicians could not be liable for resuscitating children.\textsuperscript{223}
From this series of cases, it can be surmised that if the client does not have a Directive to Physicians, a family member can be a surrogate decision maker, but the decision should be based on what the client would want.\textsuperscript{224} Should this issue become contested, the burden of proof will be clear and convincing evidence.\textsuperscript{225} An exception to this general rule occurs in cases involving a
\begin{itemize}
\item \textsuperscript{217} \textit{Id.} at 1167.
\item \textsuperscript{218} \textit{See id.}
\item \textsuperscript{219} Schiavo \textit{ex rel.} Schindler v. Schiavo, 403 F.3d 1289, 1289, 1299-302 (11th Cir. 2005).
\item \textsuperscript{220} Miller \textit{ex rel.} Miller v. HCA, Inc., 118 S.W.3d 758, 759 (Tex. 2003).
\item \textsuperscript{221} \textit{Id.}
\item \textsuperscript{222} Stolle v. Baylor Coll. of Med., 981 S.W.2d 709, 710 (Tex. App.—Houston [1st Dist.] 1998, pet. denied).
\item \textsuperscript{223} \textit{Id.}
\item \textsuperscript{224} \textit{See In re Quinlan}, 355 A.2d 647, 658 (N.J. 1976).
\item \textsuperscript{225} \textit{See Wendland v. Wendland}, 28 P.3d 151, 154 (Cal. 2001).
newborn in medical distress.\textsuperscript{226} In such situations, Texas courts are reluctant to hold hospitals liable for providing emergency care, even if emergency care is provided against the wishes of parents.\textsuperscript{227}
\textit{B. Incompetent and Terminal}
1. Belchertown State School v. Saikewicz
In \textit{Belchertown State School v. Saikewicz}, a mentally retarded adult was diagnosed with fatal form of leukemia.\textsuperscript{228} The court ordered withholding chemotherapy treatment, which had serious side effects that the patient could not understand and would not cure the disease.\textsuperscript{229} These actions squared with the testimony of physicians, the generally accepted views of the medical profession, and the patient’s right to privacy.\textsuperscript{230}
2. \textit{In re Conroy}
In \textit{In re Conroy}, the guardian of an eighty-four year old bedridden nursing home patient with a short life expectancy and serious, irreversible mental and physical impairments sought court permission to remove the patient’s primary source of nutrition, a nasogastric feeding tube.\textsuperscript{231} However, the patient’s guardian ad litem opposed application.\textsuperscript{232} The court found that a competent adult normally has the right to reject medical treatment and that this right is not lost upon incompetency.\textsuperscript{233}
The court developed two variations of the “best interest” approach to guide surrogate decision-making when the ward either has never achieved competency or has left scant evidence of treatment preferences.\textsuperscript{234} The first variation is a purely objective standard, used only when there is no evidence of the ward’s wishes.\textsuperscript{235} Withdrawal of life sustaining treatment is permitted only if the burdens of the patient’s life with the treatment outweigh the benefits the patient derives from life and the patient is suffering from severe pain.\textsuperscript{236} The second variation is a limited objective test that permits withdrawal of treatment when there is some evidence that the patient would have refused treatment and that the surrogate believes the burdens of the patient’s life outweigh the benefits.
\begin{itemize}
\item[226.] See Stolle, 981 S.W.2d at 713-14.
\item[227.] See id.
\item[228.] Belchertown State Sch. v. Saikewicz, 370 N.E.2d 417, 420 (Mass. 1977).
\item[229.] Id. at 419.
\item[230.] Id. at 421, 430.
\item[231.] In re Conroy, 486 A.2d 1209, 1209 (N.J. 1985).
\item[232.] Id.
\item[233.] Id.
\item[234.] See id. at 1231-32.
\item[235.] See id. at 1232.
\item[236.] Id.
of continued life.\textsuperscript{237} The court, however, found that the evidence in this case did not satisfy either of these tests.\textsuperscript{238}
C. Competent but not Terminal
1. Bartling v. Superior Court of Los Angeles County
In \textit{Bartling v. Superior Court of Los Angeles County}, a seriously ill patient with a non-terminal but incurable illness wanted to be disconnected from the respirator, which would ultimately result in his death.\textsuperscript{239} The court ruled that the patient had the right to refuse unwanted, although life-sustaining medical treatment.\textsuperscript{240}
2. Bouvia v. Superior Court of Los Angeles County
In \textit{Bouvia v. Superior Court of Los Angeles County}, a competent patient who was severely crippled and in constant pain expressed desire to die and had stopped eating.\textsuperscript{241} The hospital inserted a feeding tube against her will.\textsuperscript{242} The court found that the state and federal Constitutions both vested a fundamental right in a patient’s right to refuse treatment.\textsuperscript{243}
3. Satz v. Perlmutter
In \textit{Satz v. Perlmutter}, a seriously ill patient with a non-terminal but incurable illness sought to have his respirator removed, which would result in his death within an hour.\textsuperscript{244} The court held that a patient’s constitutional right to privacy protected his right to refuse or discontinue medical treatment because the following conditions were met: (1) the patient was a competent adult; (2) the patient’s condition was terminal, his situation wretched, and the continuation of his life was temporary and dependent on artificial means; (3) the patient’s family agreed with his wishes to discontinue medical treatment; and (4) the patient’s desire to live under his own power, coupled with the fact that the patient did not self-induce his affliction, indicated that the patient’s refusal of treatment could not be classed as attempted suicide.\textsuperscript{245}
\begin{itemize}
\item \textsuperscript{237} \textit{Id.}
\item \textsuperscript{238} \textit{Id.} at 1243.
\item \textsuperscript{239} Bartling v. Super. Ct. of L.A. County, 163 Cal. App. 3d 186, 186 (Cal. Ct. App. 1984).
\item \textsuperscript{240} \textit{Id.} at 193-95.
\item \textsuperscript{241} Bouvia v. Super. Ct. of L.A. County, 179 Cal. App. 3d 1127, 1136 (1986).
\item \textsuperscript{242} \textit{Id.}
\item \textsuperscript{243} \textit{Id.} at 1137.
\item \textsuperscript{244} Satz v. Perlmutter, 362 So. 2d 160, 161 (Fla. Dist. Ct. App.), \textit{aff’d}, 379 So. 2d 359 (Fla. 1980).
\item \textsuperscript{245} \textit{Id.} at 162-63.
D. Role of Nursing Homes and Hospitals on Withdrawal of Treatment
1. In re Jobes
In *In re Jobes*, a man filed an action for a court order authorizing removal of his comatose wife’s j-tube.\(^{246}\) The lower court held in favor of granting the spouse authority to remove the tube but allowed the nursing home to decline to participate.\(^{247}\) The Supreme Court of New Jersey ruled that, because the nursing home failed to notify the family of its policy not to withhold or withdraw artificial feeding, the nursing home could not refuse to participate in removal.\(^{248}\)
2. Gray v. Romeo
In *Gray v. Romeo*, the husband of an unconscious patient in a persistent vegetative state sought to remove his wife’s feeding tube and life support. The U.S. District Court held that the patient had a right to decline medical treatment.\(^{249}\) Additionally, the court found that if the hospital could not promptly transfer the patient to a hospital that would accede to her wishes, then the hospital would be required to accede to those wishes.\(^{250}\)
E. Suicide
At common law, suicide was a criminal offense that resulted in forfeiture of the decedent’s goods and chattels.\(^{252}\) Eventually, these sanctions were abolished in recognition of unfairness of penalizing the family.\(^{253}\)
Clients fear dying, but the fear of a painful death is even more terrifying. A client may wish to explore the legalities of suicide or assisted suicide. Attorneys will want to review all life insurance policies to determine if there is an exclusion clause regarding suicide. In addition, retirement policies and benefits may be affected by the date of death. A client’s desire for suicide should be a signal to a physician that greater efforts are needed to provide more adequate pain relief.\(^{254}\)
---
\(^{246}\) *In re Jobes*, 529 A.2d 434, 437 (N.J. 1987).
\(^{247}\) *Id.*
\(^{248}\) *Id.* at 450.
\(^{249}\) *Gray v. Romeo*, 697 F. Supp. 580, 581-82 (D.R.I. 1988).
\(^{250}\) *Id.* at 585-86.
\(^{251}\) *Id.* at 591.
\(^{252}\) John A. Alesandro, *Physician Assisted Suicide and New York Law*, 57 ALB. L. REV. 819, 825 (1994).
\(^{253}\) *Id.* at 829.
\(^{254}\) John Glasson, *Report of the Council on Ethical and Judicial Affairs of the American Medical Association*, 10 ISSUES L. & MED. 91, 95 (1994).
Contrary to the prevailing belief among medical practitioners and laypersons, studies have indicated that narcotics, which are given to control pain, are not addictive.\textsuperscript{255} Morphine, a drug often administered for severe pain, is not addictive.\textsuperscript{256} Central to the care of the terminally ill is controlling pain.\textsuperscript{257} "Many people who request physician-assisted suicide withdraw that request if their depression and pain are treated."\textsuperscript{258}
VI. ASSISTED SUICIDE
A. Oregon Death with Dignity Act
The only state that recognizes physician-assisted suicide is Oregon in the Death with Dignity Act.\textsuperscript{259} All other states have legislation forbidding assisted suicide.\textsuperscript{260} In response to the passing of this act, the Attorney General of the United States promulgated federal regulations in an attempt to stop physician-assisted suicide in Oregon.\textsuperscript{261} On November 9, 2001, Attorney General Order No. 2534 - 2001 was published.\textsuperscript{262}
According to the order, assisting suicide was not a "legitimate medical purpose" within the meaning of Chapter 21, section 1306.04 of the Code of Federal Regulations, and prescribing, dispensing, or administering federally controlled substances to assist suicide violated the Controlled Substances Act (CSA).\textsuperscript{263} Such conduct by a physician registered to dispense controlled substances may "render his registration . . . inconsistent with the public interest" and therefore subject to possible suspension or revocation under" Chapter 21, section 824(a)(4) of the United States Code.\textsuperscript{264}
The State of Oregon brought an action against the U.S. Attorney General preventing federal enforcement or application of the order.\textsuperscript{265} The court ruled that the United States had exceeded its authority and that Congress did not intend for the Controlled Substances Act to override state decisions concerning what constitutes the practice of medicine\textsuperscript{266}
\begin{itemize}
\item[255.] Julie A. Steele, Cancer Pain: Its Management Emerges as Public Health Issue, 82 J. NAT’L CANCER INST. 646, 646 (1990).
\item[256.] Rex Greene, Towards a Policy of Mercy: Addiction in the 1990’s, 3 STAN. L. & POL’Y REV. 227, 228 (1991).
\item[257.] Warren L. Wheeler, Hospice Philosophy: An Alternative to Assisted Suicide, 20 OHIO N.U. L. REV. 755, 758 (1994).
\item[258.] Washington v. Glucksberg, 521 U.S. 702, 730 (1997).
\item[259.] Glen R. McMurry, An Unconstitutional Death: The Oregon Death with Dignity Act’s Prohibition Against Self-Administered Lethal Injection, 32 U. DAYTON L. REV. 441, 444 (2007); see OR. REV. STAT. ANN. §§ 127.800–925 (West 2007).
\item[260.] McMurry, supra note 259, at 444.
\item[261.] Dispensing of Controlled Substances to Assist Suicide, 21 C.F.R. § 1306.01 (2001).
\item[262.] Id.
\item[263.] Id.
\item[264.] Id.; 21 U.S.C. § 824(a)(4) (2000).
\item[265.] Oregon v. Ashcroft, 192 F. Supp. 2d 1077, 1079-80 (D. Or. 2002).
\item[266.] Id. at 1085; see also 21 U.S.C. §§ 801-971.
The district court was very critical of the Attorney General’s actions.\textsuperscript{267} The U.S. Attorney General appealed the decision to the Ninth Circuit Court of Appeals in San Francisco.\textsuperscript{268} The court ruled that the Federal Regulation was unlawful and unenforceable, that the Attorney General had exceeded his scope of authority, and that this was a states’ rights issue.\textsuperscript{269}
The Attorney General appealed to the United States Supreme Court, and the Court granted certiorari. The Court, in a 6-3 ruling, affirmed the Ninth Circuit and held that the Attorney General did not have power under the CSA to prohibit physicians from prescribing drugs for use in physician-assisted suicide.\textsuperscript{270} The CSA recognizes state regulation of medicine and is silent on the practice of medicine in general.\textsuperscript{271} Therefore, the CSA did not define the scope of legitimate medical practice or authorize the Attorney General to promulgate the order.\textsuperscript{272}
\textit{B. The Dutch Law}
The only country that recognizes assisted suicide is Holland.\textsuperscript{273} The Dutch recognize the legal concept of “force majeure” under which someone who acts against the law, but does so for reasons that the public prosecutor is prepared to accept as compelling, may escape prosecution for the assistance, which is unlawful.\textsuperscript{274}
Far from allowing or encouraging doctors to end life arbitrarily, these strict criteria stipulate that the doctor:
1. must be convinced that the patient has made a voluntary and well-considered request to die;
2. must be convinced that the patient is facing interminable and unendurable suffering;
3. has informed the patient about his situation and his prospects;
4. together with the patient, must be convinced that there is no other reasonable solution;
5. has consulted at least one other independent doctor who has seen the patient;
6. and has given his written assessment of the due care requirements as referred to in the points above; and
7. has helped the patient to die with due medical care.\textsuperscript{275}
\begin{itemize}
\item \textsuperscript{267} Ashcroft, 192 F. Supp. 2d at 1086.
\item \textsuperscript{268} Oregon v. Ashcroft, 368 F.3d 1118, 1118 (9th Cir. 2004).
\item \textsuperscript{269} Id. at 1124-27.
\item \textsuperscript{270} Gonzales v. Oregon, 546 U.S. 243, 274 (2006).
\item \textsuperscript{271} Id. at 272.
\item \textsuperscript{272} Id. at 258.
\item \textsuperscript{273} 71 VE News, Companion Journal of the Voluntary Euthanasia Society 6 (2001).
\item \textsuperscript{274} Id.
\item \textsuperscript{275} British Broadcasting Company, Regulation of Euthanasia, http://www.bbc.co.uk/ethics/euthanasia/
Oregon has similar criteria but with additional stringent requirements.\textsuperscript{276}
\textit{C. New York Task Force on Assisted Suicide}
The State of New York established a task force to study questions surrounding assisted suicide in New York (Task Force).\textsuperscript{277} The Task Force summarized the risks associated with the legislation of assisted suicide as follows:
1. Undiagnosed or untreated mental illness
2. Insufficient attention to the suffering and fears of dying patients
3. Improperly managed physical symptoms
4. Vulnerability of socially marginalized groups
5. Devaluation of the lives of the disabled
6. Sense of obligation
7. Patient deference to physician recommendations
8. Increasing financial incentives to limit care
9. Arbitrariness of those proposed limits, and
10. Impossibility of developing effective regulation.\textsuperscript{278}
In order to dissuade a client from deciding that suicide is the only alternative, the Institute of Medicine following recommends:
1. People with advanced, potentially fatal illnesses and those close to them should be able to expect and receive reliable, skillful, and supportive care.
2. Physicians, nurses, social workers, and other health professionals must commit themselves to improving care for dying patients and to using existing knowledge effectively to prevent and relieve pain and other symptoms.
3. Because many deficiencies in care reflect system problems, policymakers, consumer groups, and purchasers of health care should work with health care providers and researchers to:
a. strengthen methods for measuring the quality of life and other outcomes of care for dying patients and those close to them;
\textsuperscript{276} \textit{VE News}, \textit{supra} note 273, at 6.
\textsuperscript{277} The New York State Task Force on Life and the Law, When Death is Sought: Assisted Suicide and Euthanasia in the Medical Context (1997 Supp.), available at http://wings.buffalo.edu/faculty/research/bioethics/suppl.html.
\textsuperscript{278} \textit{Id}.
b. develop better tools and strategies for improving the quality of care and holding health care organizations accountable for care at the end of life;
c. revise mechanisms for financing care so that they encourage rather than impede good end-of-life care and sustain rather than frustrate coordinated systems of excellent care; and
d. reform drug prescription laws, burdensome regulations, and state medical board policies and practices that impede effective use of opioids to relieve pain and suffering.\textsuperscript{279}
VII. CASE LAW: PHYSICIAN ASSISTED SUICIDE
A patient has a right to refuse life-sustaining treatment.\textsuperscript{280} A doctor can provide aggressive palliative care even if painkilling drugs may hasten death, but the physician’s purpose must be only to ease pain and not to cause the patient’s death.\textsuperscript{281} In \textit{Vacco v. Quill}, the door was left open when Justice Stevens observed that this holding “‘does not foreclose the possibility that some applications of the New York statute may impose an intolerable intrusion on the patient’s freedom’ . . . [but the] case would need to present different and considerably stronger arguments than those advanced by respondents here.’”\textsuperscript{282} The Court refused to recognize an open-ended constitutional right to commit suicide under either the Equal Protection Clause or the Due Process Clause of the Constitution.\textsuperscript{283}
The Court upheld the state’s ban on physician assisted suicide because there is no fundamental liberty interest in the “right” to assistance when committing suicide; therefore, it is not protected by the Due Process Clause.\textsuperscript{284} The state’s ban was rationally related to a legitimate government interest to preserve life and to uphold the medical profession’s integrity and ethics.\textsuperscript{285}
Physician assisted suicide is not legal anywhere in the United States except Oregon.\textsuperscript{286} If a client asks about suicide, then the attorney can inform the client that it is illegal everywhere but Oregon and that Oregon has strict residency requirements.\textsuperscript{287} There have been 341 physician-assisted suicides in Oregon from 1998 through December 2007.\textsuperscript{288}
\begin{itemize}
\item \textsuperscript{279} INSTITUTE OF MEDICINE, APPROACHING DEATH: IMPROVING CARE AT THE END OF LIFE 266-67 (Marilyn J. Field & Christine K. Cassel eds., 1997).
\item \textsuperscript{280} Vacco v. Quill, 521 U.S. 793, 797 (1997).
\item \textsuperscript{281} \textit{Id.} at 802-03.
\item \textsuperscript{282} \textit{Id.} at 807 n.13 (citing Washington v. Glucksberg, 521 U.S. 702, 751-52 (1997) (Stevens, J., concurring)).
\item \textsuperscript{283} \textit{Id.} at 799.
\item \textsuperscript{284} \textit{Id.} at 728 (majority opinion).
\item \textsuperscript{285} \textit{Id.} at 728, 732.
\item \textsuperscript{286} See discussion \textit{supra} Part VI.A.
\item \textsuperscript{287} See McMurry, \textit{supra} note 259, at 455.
\item \textsuperscript{288} Kevin B. O’Reilly, \textit{Oregon Still Stands Alone: Ten Years of Physician-Assisted Suicide}, AMERICAN MEDICAL NEWS, May 12, 2008, available at http://www.ama-assn.org/amednews/2008/05/12/prsa0512.htm.
VIII. THE FAMILY
A. Changes in the Household and Effects on the Family with a Terminally Ill Member
When a husband contracts a serious illness and must be hospitalized, the household may undergo relevant changes.\textsuperscript{289} The wife “may feel threatened by the loss of security and the end of her dependence on her husband.”\textsuperscript{290} She will have to do “many chores once done by her husband and will have to adjust her own to the new demands.”\textsuperscript{291} She may have to get more involved in business and financial affairs.\textsuperscript{292}
With the worries about her husband and added responsibility also come increased loneliness and often resentment.\textsuperscript{293} “The expected assistance from relatives and friends may not be forthcoming . . . .”\textsuperscript{294} On the other hand, an understanding friend “who does not come to ‘hear the latest’” medical bulletin but comes to relieve the wife of some of her tasks, such as cooking or taking care of the children, can be appreciated.\textsuperscript{295}
A wife’s terminal illness may be a greater loss for her husband because he may be less accustomed to caring for himself, taking the children to school activities, making meals, and going shopping.\textsuperscript{296} Instead of getting some rest after a long workday, he may watch his wife sitting, reading, or watching television while he prepares dinner and takes care of the children.\textsuperscript{297} No matter how much the husband understands the need for these changes, he may still resent them.\textsuperscript{298}
During this time, children are sometimes neglected as the adult members are coping with the changes.\textsuperscript{299} A parent should involve and include the children because it gives them comfort in sharing responsibility and knowing they are not alone in their grief.\textsuperscript{300}
Family members undergo stages of adjustments similar to the ones that the terminally ill go through. The family will go through a phase of preparatory grief when it can work through the anger, resentment, and guilt. The more this grief can be expressed before death, the less unbearable the grief becomes after death.
\begin{itemize}
\item \textsuperscript{289} Kubler-Ross, \textit{supra} note 2, at 166.
\item \textsuperscript{290} \textit{Id.}
\item \textsuperscript{291} \textit{Id.}
\item \textsuperscript{292} \textit{Id.}
\item \textsuperscript{293} \textit{Id.}
\item \textsuperscript{294} \textit{Id.}
\item \textsuperscript{295} \textit{Id.}
\item \textsuperscript{296} See \textit{id.}
\item \textsuperscript{297} See \textit{id.}
\item \textsuperscript{298} \textit{Id.} at 167.
\item \textsuperscript{299} See \textit{id.}
\item \textsuperscript{300} See \textit{id.}
"Just as the terminally ill patient cannot face death all the time, the family member cannot and should not exclude all other interactions for the sake of being with the patient exclusively."301 The family "should handle their energies economically and not exert themselves to a point that they collapse when . . . most needed."302
A neutral outsider who is not emotionally involved, such as the attorney, can be of great assistance in listening to the family's concerns, wishes, and needs.303 "The dying patient’s problems come to an end, but the family’s problems go on."304 The attorney can serve an important role in assisting the family to make the transition.
"The most heart breaking time . . . for the family is the final phase, when the patient is slowly detaching himself from his world including his family."305 The family does not understand that a dying person who has accepted his death "will have to separate himself, step by step, from his environment, including most of his loved ones. . . . When the patient asks to be visited only by a few more friends, then by his children and finally only his wife, it should be understood that that is the way of separating himself gradually."306 During this time, the family needs more support than the dying patient.307
B. The Family After Death
"The first few days [after death] may be filled with busy work, with arrangements and relatives. . . . It is at this time that family members feel most grateful to have someone to talk to . . . who can share anecdotes of some good moments" from the deceased’s life.308 The family will feel void and empty after the funeral and after the departure of relatives.309
Afterwards, the family may often "talk to the deceased as if he was alive."310 For some, isolating themselves from the living is the only way they can cope during this difficult time.311 The family should be taken out of their isolation gradually.312 They need to be able to talk, cry, or scream if necessary, and the attorney should allow them this ventilation.313
---
301. Id.
302. Id.
303. See id.
304. Id. at 168.
305. Id. at 177.
306. Id.
307. Id.
308. Id. at 184.
309. See id.
310. See id.
311. See id.
312. Id.
313. See id.
C. Grieving Well
"Grieving well means moving consciously through the pain rather than prolonging suffering through avoidance and denial."314 Grief cannot be avoided or denied, but grief can be dealt with in a constructive manner.315
As the attorney representing the family, it is important to understand that grief involves the entire self and not just a batch of financial concerns.316 Intimidated clients may try to avoid areas of decision-making and be slow to respond to inquiries that the attorney needs answered.317
Another type of client may make hasty, ill-considered decisions and tell their attorney after-the-fact, leaving him with the frustrating duty of "damage control."318
D. Elements of Grief
Grief is a natural response to life and a change in life.319 Families do not grieve for a loved one; instead, they grieve for their own loss because they have a hole in their life.320 Because the loss or change disrupts the familiar in our life, it is possible to grieve without being sad.321 Shock, confusion, loneliness, fear, guilt, anger, or a combination of these are other acceptable responses.322 There is no proper way to grieve.323 However, important healthy grieving is characterized by movement.324
Attorneys are not expected to diagnose a client's emotional condition.325 However, certain behavioral clues allow attorneys to evaluate the stress the client is facing.326 The likelihood of misunderstandings between attorneys and clients, which might negatively affect the attorney-client relationship, may increase due to the grief transition.327 Therefore, attorneys should be sensitive to factors for grieving.328
Attorneys cannot assume that a person is not grieving because the person does not exhibit grief in the manner that an attorney assumes a grieving person
---
314. Nan L. Baker, Increasing Your Effectiveness Through Griefwork, WILLS AND PROBATE INSTITUTE 907, 910 (State Bar of Tex., Prof'l Dev. 1997) (emphasis omitted).
315. Id. at 911.
316. Id.
317. See id.
318. See id.
319. See id. at 914.
320. See id. at 916.
321. Id. at 915.
322. Id.; see infra App. B.
323. Id.
324. Id. at 917-18.
325. Id. at 915.
326. Id.
327. Id.
328. Id. at 915, 930.
should.\textsuperscript{329} There are seven primary elements to grief, and there is fluid movement between the following seven elements:
1. Shock/Emptiness;
2. Sadness/Loneliness;
3. Separation anxiety/Fear;
4. Guilt;
5. Depression;
6. Anger; and
7. Acceptance vs. Resignation\textsuperscript{330}
For example, a husband watching his wife suffer through a degenerative disease may feel relief and a release of anger in her passing because her pain ceases. However, when he returns to a normal schedule, he might suddenly feel a sense of shock as his loss becomes more palpable. Several factors affect the movement among the elements of grief.\textsuperscript{331} If the client is faced with a great deal of responsibility, then he may feel that he has less latitude to express grief.\textsuperscript{332} If he confronts his grief, then it will deter efficiency.\textsuperscript{333}
Avoidance and denial represent flawed choices.\textsuperscript{334} If the clients become accustomed to hiding, then they run the risk of allowing a festering wound to become a serious threat to themselves.\textsuperscript{335} There is no timetable for grieving—it is an individual process.\textsuperscript{336} However, grieving longer than six to twelve months may require the aid of a mental health professional.\textsuperscript{337}
E. Going Through the Process
Clients must go with the flow of their feelings and accept that their feelings are normal.\textsuperscript{338} Their feelings should not be classified as good, bad, normal, or abnormal.\textsuperscript{339} Clues that clients are denying emotions include the use of words such as “should” or “ought to” and the drawing of comparisons between how they grieve and how others grieve.\textsuperscript{340}
Clients should be reassured that it is okay to feel tired, to be unable to perform a typical work schedule, and to laugh, smile, and feel relief.\textsuperscript{341}
\begin{itemize}
\item[329.] \textit{Id.} at 916.
\item[330.] \textit{Id.} at 916-17.
\item[331.] \textit{Id.} at 918.
\item[332.] \textit{Id.}
\item[333.] \textit{Id.}
\item[334.] \textit{Id.}
\item[335.] \textit{Id.}
\item[336.] \textit{Id.} at 919.
\item[337.] \textit{Id.}
\item[338.] \textit{Id.} at 919-20.
\item[339.] \textit{Id.}
\item[340.] \textit{Id.} at 920.
\item[341.] \textit{See id.}
Many clients are more comfortable seeking the assistance of an attorney, accountant, or financial advisor than seeking the assistance of a therapist.\textsuperscript{342} Attorneys need to be cognizant that a client may need more than an attorney is capable of providing.\textsuperscript{343} Most clients are serving as executors for the first time; therefore, it is unreasonable to expect them to understand these complex legal and financial environments.\textsuperscript{344} Often the attorneys draw up the documents and appear in court, but they do not get involved in the day-to-day administration of the estate.\textsuperscript{345} Attorneys may think a first-time fiduciary should know how to fulfill an executor’s requirements, understand written instructions, or fill out and return forms; however, this is normally not the case.\textsuperscript{346} For example, evaluating assets may seem like foreign terminology to a fiduciary.\textsuperscript{347} This is where an attorney’s legal staff may be able to assist without an extraordinary expense being charged to the estate.\textsuperscript{348}
Grieving clients may need a check-up call from their attorneys to see how they are progressing, but this also gives the attorneys a good way to show support for their clients.\textsuperscript{349}
\textit{F. Sharing Grief}
When a husband loses a wife, chances are a parent has lost a daughter and a child has lost a mother.\textsuperscript{350} When a wife loses a husband, chances are that a parent has lost a son and a child has lost a father.\textsuperscript{351} Sharing of the fear, anger, and sadness with others reaffirms relationships with those similarly affected.\textsuperscript{352} When sharing occurs there is no need to pretend with those involved, and this alone brings relief.\textsuperscript{353} Sharing shows young children that it is okay to grieve and also allows for growth.\textsuperscript{354}
\textit{G. The Role of Legal Advisor}
Competent advice can keep a grieving person on a productive path and minimize the mistakes that frequently plague someone embroiled in stress.\textsuperscript{355} Sensitivity to the process that your client is struggling through can allow the
\begin{itemize}
\item[342.] \textit{Id.}
\item[343.] \textit{See id. at 920-21.}
\item[344.] \textit{Id. at 920.}
\item[345.] \textit{Id.}
\item[346.] \textit{Id. at 920-21.}
\item[347.] \textit{Id. at 921.}
\item[348.] \textit{See id. at 921, 923.}
\item[349.] \textit{See id.}
\item[350.] \textit{Id. at 921.}
\item[351.] \textit{See id.}
\item[352.] \textit{Id.}
\item[353.] \textit{Id.}
\item[354.] \textit{Id.}
\item[355.] \textit{Id. at 912.}
attorney to serve him efficiently and appropriately.\textsuperscript{356} Grief can color the assessments and evaluations a person makes with estate administration.\textsuperscript{357} The estate attorney should be familiar with “the symptoms of grief to urge the client to seek medical advice.”\textsuperscript{358} If the attorney is not aware of the help available, then the phone book listings under “Social Service Organizations” or a local pastor can give guidance.\textsuperscript{359}
The grieving process is necessary for the person to become healthy again.\textsuperscript{360} Attorneys must recognize the client’s emotional needs as well as legal, financial, physical, and spiritual needs.\textsuperscript{361} Attorneys should prepare for the moments when the client recycles through emotions, thoughts, and concerns.\textsuperscript{362}
As probate attorneys, we face grief in clients routinely.\textsuperscript{363} Each client will follow a unique grief timetable.\textsuperscript{364} Friends, family, and advisors must allow the client to follow the most pressing need at all times rather than steering the client into a regimen.\textsuperscript{365} The best guideline for attorneys is to listen, encourage, reassure, and accept rather than tell, order, remind, and argue.\textsuperscript{366} No one advisor will meet all the client’s needs, but one person can stay constant with knowledge and refer the client to competent assistance when necessary.\textsuperscript{367}
Attorneys who are aware of the symptoms of grief will communicate with the client more effectively.\textsuperscript{368} They will understand the client’s questions and be alert to the issues with which the client is coping.\textsuperscript{369} They will recognize the symptoms of grief, including the client’s decreased ability to concentrate, confusion, anger, shock, and depression.\textsuperscript{370} Attorneys aware of the symptoms of grief will be patient with the client.\textsuperscript{371}
\textit{H. The Role of the Guardian}
From the following, section 166.039 of the Texas Health and Safety Code lays out the procedure to use when a person has not executed or issued a directive and is incompetent or incapable of communication:
\begin{itemize}
\item \textsuperscript{356} \textit{Id.} at 913.
\item \textsuperscript{357} \textit{Id.}
\item \textsuperscript{358} \textit{Id.}
\item \textsuperscript{359} \textit{See id.} at 913-14.
\item \textsuperscript{360} \textit{See id.} at 919, 922.
\item \textsuperscript{361} \textit{See id.} at 916.
\item \textsuperscript{362} \textit{Id.} at 920.
\item \textsuperscript{363} \textit{Id.} at 922.
\item \textsuperscript{364} \textit{Id.} at 923.
\item \textsuperscript{365} \textit{Id.}
\item \textsuperscript{366} \textit{Id.}
\item \textsuperscript{367} \textit{Id.}
\item \textsuperscript{368} \textit{Id.} at 924.
\item \textsuperscript{369} \textit{Id.}
\item \textsuperscript{370} \textit{Id.}
\item \textsuperscript{371} \textit{Id.}
(a) If an adult qualified patient has not executed or issued a directive and is incompetent or otherwise mentally or physically incapable of communication, the attending physician and the patient’s legal guardian or an agent under a medical power of attorney may make a treatment decision that may include a decision to withhold or withdraw life-sustaining treatment from the patient.
(b) If the patient does not have a legal guardian or an agent under a medical power of attorney, the attending physician and one person, if available, from one of the following categories, in the following priority, may make a treatment decision that may include a decision to withhold or withdraw life-sustaining treatment:
(1) the patient’s spouse;
(2) the patient’s reasonably available adult children;
(3) the patient’s parents; or
(4) the patient’s nearest living relative.
(c) A treatment decision made under Subsection (a) or (b) must be based on knowledge of what the patient would desire, if known.
(d) A treatment decision made under Subsection (b) must be documented in the patient’s medical record and signed by the attending physician.
(e) If the patient does not have a legal guardian and a person listed in Subsection (b) is not available, a treatment decision made under Subsection (b) must be concurred in by another physician who is not involved in the treatment of the patient or who is a representative of an ethics or medical committee of the health care facility in which the person is a patient.
(f) The fact that an adult qualified patient has not executed or issued a directive does not create a presumption that the patient does not want a treatment decision to be made to withhold or withdraw life-sustaining treatment.
(g) A person listed in Subsection (b) who wishes to challenge a treatment decision made under this section must apply for temporary guardianship under Section 875, Texas Probate Code. The court may waive applicable fees in that proceeding.\(^{372}\)
A qualified patient is defined as “a patient with a terminal or irreversible condition.”\(^{373}\) The attending physician must certify the patient’s condition in writing.\(^{374}\) The guardian’s decision must be based on the knowledge of what the ward would desire if known.\(^{375}\) The guardian has the duty to make every effort to determine those wishes.\(^{376}\)
\(^{372}\) Tex. Health & Safety Code Ann. § 166.039 (Vernon 2001).
\(^{373}\) Id. § 166.031(2).
\(^{374}\) Id.
\(^{375}\) § 166.039(c).
\(^{376}\) See id.
In situations in which the ward previously executed a directive, the directive should serve to guide the guardian’s treatment choices.\textsuperscript{377} If no directive exists, then the guardian must investigate to try to determine the ward’s wishes.\textsuperscript{378} The investigation may include researching old medical records or hospital stays, speaking with family members, and interviewing neighbors, friends, or former work colleagues.\textsuperscript{379}
If none of the above is available, then the guardian must develop evidence as to what course of treatment is best for the ward. This would encompass consultation with the treating physician, experts, and second opinions.
The National Guardianship Association (NGA) has the same requirements as Texas, which are as follows:
**NGA Standard 14 — Decision-Making About Medical Treatment**
I. The guardian shall promote, monitor, and maintain the ward’s health and well-being.
II. The guardian shall ensure that all medical care necessary for the ward is appropriately provided.
III. The guardian shall determine whether the ward, before the appointment of a guardian, executed any advance directives, such as a living will, a durable power of attorney, or any other specific written or oral declaration of intent. On finding such documents, the guardian shall consider the ward’s wishes in the decision-making process. The guardian shall inform the court and other interested parties of the existing documents.
IV. Absent an emergency or the execution of a living will, durable power of attorney for health care, or other advance directive declaration of intent that clearly indicates the ward’s wishes with respect to medical intervention, a guardian who has proper authority may not grant or deny authorization for medical intervention until he or she has given careful consideration to the criteria listed in Standard 6 — Informed Consent and Standard 7 — Standards for Decision-Making.
V. In the event of an emergency, a guardian who has proper authority shall grant or deny authorization of emergency medical treatment based on a reasonable assessment of the criteria listed in Standards 6 and 7, within the time allotted by the emergency.
VI. The guardian shall seek a second opinion for any medical treatment or intervention that would cause a reasonable person to do so or in circumstances where any medical intervention
\textsuperscript{377} See id. § 166.038(b) (Vernon Supp. 2008).
\textsuperscript{378} See § 166.039(c) (suggesting, but not mandating, that the guardian investigate the ward’s wishes).
\textsuperscript{379} See NATIONAL GUARDIANSHIP ASSOCIATION, STANDARDS OF PRACTICE 9-11 (3d ed. 2007), available at http://www.guardianship.org/pdf/standards.pdf.
poses a significant risk to the ward. The guardian shall obtain a second opinion from an independent physician.
VII. Under extraordinary medical circumstances, in addition to assessing the criteria and using the resources outlined in Standards 6 and 7, the guardian shall enlist ethical, legal, and medical advice, with particular attention to the advice of ethics committees in hospitals and elsewhere.
VIII. The guardian may speak directly with the treating or attending physician before authorizing or denying any medical treatment.
IX. The guardian shall not authorize extraordinary procedures without prior authorization from the court unless the ward has executed a living will or durable power of attorney that clearly indicates the ward’s desire with respect to that action. Extraordinary procedures may include, but are not limited to, the following medical interventions:
A. Psychosurgery
B. Experimental treatment
C. Sterilization
D. Abortion
E. Electroshock therapy
NGA Standard 15 — Decision-Making About Withholding and Withdrawal of Medical Treatment
I. The NGA recognizes that there are circumstances in which, with the approval of the court if necessary, it is legally and ethically justifiable to consent to the withholding or withdrawal of medical treatment, including artificially provided nutrition and hydration, on behalf of the ward. In making this determination there shall in all cases be a presumption in favor of the continued treatment of the ward.
II. If the ward had expressed or currently expresses a preference regarding the withholding or withdrawal of medical treatment, the guardian shall follow the wishes of the ward. If the ward’s current wishes are in conflict with wishes previously expressed when competent, the guardian shall have this ethical dilemma reviewed by an ethics committee and if necessary, submit the issue to the court for direction.
III. When making this decision on behalf of the ward, the guardian shall gather and document information as outlined in Standard 6 — Informed Consent and shall follow the Standards for Decision Making, Standard 7.\(^{380}\)
\(^{380}\) See id.
If the guardian has an extremely ill or terminally ill ward, then the guardian may want to compile a special notebook which should be readily available for caretakers of the ward. This notebook is called “Mindy’s Book” and is discussed in Appendix H.\(^{381}\)
I. Differing Opinions: Medical Personnel vs. Surrogate Decision Maker
What happens when the guardian and the ward’s attending physician disagree? Texas anticipated this potential conflict when, in 1999, the Advance Directives Act was amended to include procedures that are to be followed by physicians when disagreements arise between the medical team and the surrogate decision makers.\(^{382}\) The Advance Directives Act states the following:
(a) [Ethics Committee] If an attending physician refuses to honor a patient’s advance directive or treatment decision, the physician’s refusal shall be reviewed by an ethics or medical committee. The attending physician may not be a member of the committee. [Interim Care] The patient shall be given life-sustaining treatment during the review.
(b) [Notice] The patient or the person responsible for the health care decisions of the individual who has made the decision regarding the directive or treatment decision:
(1) may be given a written description of the ethics or medical committee review process and any other policies and procedures related to this section adopted by the health care facility;
(2) shall be informed of the committee review process not less than 48 hours before the meeting called to discuss the patient’s directive, unless the time period is waived by mutual agreement;
(3) at the time of being so informed, shall be provided:
(A) a copy of the appropriate statement set forth in Section 166.052; and
(B) a copy of the registry list of health care providers and referral groups that have volunteered their readiness to consider accepting transfer or to assist in locating a provider willing to accept transfer that is posted on the website maintained by the Texas Health Care Information Council under Section 166.053; and
\(^{381}\) See infra App. H.
\(^{382}\) TEX. HEALTH & SAFETY CODE ANN. § 166.046.
(4) is entitled to:
(A) attend the meeting; and
(B) receive a written explanation of the decision reached during the review process.
(c) The written explanation required by Subsection (b)(2)(B) must be included in the patient’s medical record.
(d) [Transferring the Patient] If the attending physician, the patient, or the person responsible for the health care decisions of the individual does not agree with the decision reached during the review process under Subsection (b), the physician shall make a reasonable effort to transfer the patient to a physician who is willing to comply with the directive. If the patient is a patient in a health care facility, the facility’s personnel shall assist the physician in arranging the patient’s transfer to:
(1) another physician;
(2) an alternative care setting within that facility; or
(3) another facility.
(e) If the patient or the person responsible for the health care decisions of the patient is requesting life-sustaining treatment that the attending physician has decided and the review process has affirmed is inappropriate treatment, the patient shall be given available life-sustaining treatment pending transfer under Subsection (d). The patient is responsible for any costs incurred in transferring the patient to another facility. The physician and the health care facility are not obligated to provide life-sustaining treatment after the 10th day after the written decision required under Subsection (b) is provided to the patient or the person responsible for the health care decisions of the patient unless ordered to do so under subsection (g).
(g) [The Court’s Role] At the request of the patient or the person responsible for the health care decisions of the patient, the appropriate district or county court shall extend the time period provided under Subsection (e) only if the court finds, by a preponderance of the evidence, that there is a reasonable expectation that a physician or health care facility that will honor the patient’s directive will be found if the time extension is granted.\(^{383}\)
In *Hudson v. Texas Children's Hospital*, a mother sought an injunction under section 166.046(g) of the Texas Health and Safety Code ordering a
\(^{383}\) §§ 166.046 (a)-(e), (g).
hospital to continue life-sustaining treatment for her severely disabled infant while she attempted to find a facility willing to admit the infant.\textsuperscript{384} In a pre-trial hearing, the court set a date to hear the section 166.046 question and dismissed other claims under the Federal Emergency Medical Treatment and Active Labor Act (EMTALA) and section 311.002 of the Texas Health and Safety Code.\textsuperscript{385} During this hearing, the judge made a comment suggesting that he believed the child was in pain despite the fact no evidence to that effect had been submitted.\textsuperscript{386} The plaintiff then submitted a motion to recuse the trial judge, but the judge denied the motion.\textsuperscript{387} On appeal, the court held that the judge was required either to recuse himself or to refer the request to another judge.\textsuperscript{388}
\textit{J. Other Considerations}
\textbf{Definition of Life-Sustaining Treatment:}
(10) “Life-sustaining treatment” means treatment that, based on reasonable medical judgment, sustains the life of a patient and without which the patient will die. The term includes both life-sustaining medications and artificial life support, such as mechanical breathing machines, kidney dialysis treatment, and artificial nutrition and hydration. The term does not include the administration of pain management medication or the performance of a medical procedure considered to be necessary to provide comfort care, or any other medical care provided to alleviate a patient’s pain.\textsuperscript{389}
For minor patients younger than 18 years old, a directive may be executed on their behalf by the following persons: (1) the minor patient’s spouse, so long as the spouse is an adult; (2) the minor patient’s parents; or (3) the minor patient’s legal guardian.\textsuperscript{390} For pregnant patients, no person is permitted to withdraw or withhold any life-sustaining treatment.\textsuperscript{391}
Additionally, a directive may be revoked by a declarant at any time no matter what the declarant’s mental state or competency is determined to be at the time the revocation is made.\textsuperscript{392} A directive may be revoked orally, in writing, or by a physical act—defacing, tearing, or otherwise destroying the
\begin{itemize}
\item \textsuperscript{384} Hudson v. Tex. Children’s Hosp., 177 S.W.3d 232, 233 (Tex. App.—Houston [1st Dist.] 2005, no pet.).
\item \textsuperscript{385} See id. at 234.
\item \textsuperscript{386} Id.
\item \textsuperscript{387} Id. at 235.
\item \textsuperscript{388} Id. at 238.
\item \textsuperscript{389} TEX. HEALTH & SAFETY CODE ANN. § 166.002(10) (Vernon 2001 & Supp. 2008).
\item \textsuperscript{390} Id. § 166.035 (Vernon 2001).
\item \textsuperscript{391} Id. § 166.049.
\item \textsuperscript{392} Id. § 166.042(a).
directive.\textsuperscript{393} However, only competent adults may execute a written directive.\textsuperscript{394}
\textsuperscript{393} \textit{Id.} § 166.042.
\textsuperscript{394} \textit{Id.} § 166.032.
APPENDIX A
SHORT PORTABLE MENTAL STATUS QUESTIONNAIRE\(^{395}\)
1. What is the date today (month/day/year)? All three correct to score.
2. What day of the week is it?
3. What is the name of this place? Any correct description.
4. What is your telephone number? If no telephone, what is your street address?
5. How old are you?
6. When were you born (month/day/year)? All three correct to score.
7. Who is the President of the United States now?
8. Who was the President just before him?
9. What was your mother’s maiden name?
10. Subtract three from twenty, and continue subtracting three from each result until it can no longer be subtracted from without the result being negative. The client must complete the entire series to score.
Error score (out of 10):
Add one if educated beyond high school; subtract one if not educated beyond grade school:
| Errors | Description |
|--------|------------------------------|
| 0 - 2 | normal mental functioning |
| 3 - 4 | mild intellectual impairment |
| 5 - 7 | moderate intellectual impairment |
| 8-10 | severe intellectual impairment |
APPENDIX B
DETERMINING MENTAL STATUS\(^{396}\)
1. Person
(A) What is your full name?
(B) How old are you?
(C) What is your birthdate?
(D) What is your maiden name?
(E) What is your home telephone number?
2. Family
(A) How many children do you have?
(B) How many grandchildren do you have?
(C) What are the names of your children?
(D) What are the names of your grandchildren?
(E) Which of your grandchildren are married?
---
\(^{395}\). E. Pfeiffer, *A Short Portable Mental Status Questionnaire for the Assessment of Organic Brain Deficit in Elderly Patients*, 25 J. OF AM. GERIATRICS SOC’Y 433, 433-41 (1975).
\(^{396}\). See Jane L. Pearson, et al., *The Mini-Mental State Exam and the Mental Status Questionnaire: Depression in Alzheimer’s Patients*, 8(4) Clinical Gerontologist 31, 34 (1989).
(F) Are you now married? What is your spouse’s name?
3. Assets
(A) Do you own a home? How much do you think you might get for your home if you sold it?
(B) How much are your assets worth in total?
(C) Do you have any debts?
4. Time
(A) What is today’s date?
(B) What day of the week is it?
(C) What time is it?
(D) What season is it?
(E) How long have you been in this hospital/nursing home?
(F) How long have we been talking?
5. Place
(A) Where are we right now? What is the name of this place? What kind of place are we in now?
(B) What is your home address?
(C) What city or town are you in now?
(D) Where do your children live?
6. Events
(A) Who is the President?
(B) Who was the previous President?
(C) Who is the Governor?
(D) What is the medical reason that you are in the hospital/nursing home?
(E) What year did you pay off your mortgage?
(F) What was the date of your marriage?
7. Miscellaneous
(A) What is 30 minus 3? Can you continue to subtract 3 from your answer?
(B) Can you hear this question and repeat it a few moments later?
(C) Can you name what I am writing with?
(D) Can you spell your first name backwards?
APPENDIX C
SELECTED ELEMENTS OF GRIEF
1. Separation Anxiety/Fear
2. Anger
3. Depression
4. Anxiety
5. Personal Issues
6. Shock/Emptiness
7. Sadness/Loneliness
8. Guilt
9. Avoidance
10. Denial
11. Loss of Identity
12. Acceptance vs. Resignation
APPENDIX D
QUESTIONNAIRE FOR ATTORNEYS: RECOGNIZING GRIEF
1. What situation has brought them to your office?
2. What other important situations are affecting their life?
3. Do they have a hidden agenda?
4. Are they clear about their wishes in this matter?
5. Are they insistent about controlling every phase of their work or do they refuse to make decisions or take responsibility?
6. Do they often forget important details, or are they unable to concentrate?
7. Do they seem to consistently mis-remember your advice or argue that a decision was made in a different way than the file indicates?
8. Are they “at war” with family members, etc., often over insignificant details?
9. Is their emotional response often disproportionate to the situation?
10. Are they “up” one time and “down” the next?
11. Do they make disadvantageous decisions to simply avoid conflict?
12. Are they unreasonably overprotective of their own interests or do they seem to feel that all other parties are aligned against them?
13. Are they unreasonably overprotective of other people and even work against their own best interests?
14. Do they have an unusually high number of physical complaints?
397. Nan L. Baker, Increasing Your Effectiveness Through Griefwork, WILLS AND PROBATE INSTITUTE 907, 916-17 (State Bar of Tex., Prof'l Dev. 1997).
398. Id. at 930 app. E.
15. Do they have difficulty expressing their wishes, opinions, or intentions?
16. Do they have an unusually short attention span?
17. Are they flippant or facetious about serious matters?
18. Do they have no “sense of humor”?
19. Do they insist on a disproportionate amount of your attention beyond what is necessary for you to complete their legal work?
20. Do they avoid serious discussions?
21. Do they smile or giggle inappropriately?
22. Do they seem lethargic, bored, hyperactive, jittery, nervous, or upset?
23. Are they “depressed”?
24. Are they vindictive or inappropriately angry?
25. Do they cry easily?
26. Do they often speak in terms of guilt, fear, sadness, loneliness, hopelessness, or helplessness?
27. Are they overly talkative or too reticent?
28. Are their goals, decisions, or actions unrealistic as if they were living in a fantasy world?
29. Are they unreasonably impatient?
30. Can they not see the forest for the trees, or vice versa?
31. Are they depending on alcohol, drugs, or escapist behaviors?
APPENDIX E
“THE SELF-DESTRUCTIVE CHOICES OF AVOIDANCE & DENIAL OF GRIEF AVOIDANCE:”\(^{399}\)
**AVOIDANCE:**
[T]he self-destructive attempt to delay emotional or other pain by attempting to ignore situations, feelings, or challenges; to put off active engagement of our emotional work.
**DENIAL:**
[T]he self-destructive attempt to escape emotional or other pain by refusing to admit the existence of situations, feelings, or challenges; to choose to edit reality rather than to actively engage in emotional work.
**SELECTED MOTIVATIONS FOR AVOIDANCE AND DENIAL:**
1. the simple desire to escape or minimize pain
2. lack of confidence in ability to cope
3. revenge
4. self-degradation
5. martyrdom
6. desperation
---
\(^{399}\) *Id.* at 929 app. D.
7. depression
8. confirmation of closely held beliefs about ourselves, others, or the nature of life
9. pursuit of conflicting agenda
10. concern for our own well-being
11. self-protection
12. concern for others
13. attempt to adhere to moral, ethical, or religious beliefs
APPENDIX F
“FACETS OF GRIEF TO WHICH WE TEND TO ASSIGN AFFECTIVE VALUE”\(^{400}\)
Facets of grief we may experience as “negative,” “bad,” or “uncomfortable”:
Confusion Depression
Unreasonableness Self-defeating behaviors
Paralysis Rage
Loneliness Guilt
Fear/panic Isolation/withdrawal
Strife/conflict/estrangement Self-hate
Hopelessness Helplessness
Anxiety Dependency
Separation anxiety Shock/numbness/emptiness
Meaninglessness Resignation
Facets of grief we may experience as “positive,” “good,” or “fulfilling”:
Motivation Balance of perspective
Seriousness/commitment Self-discovery
Confidence Growth
Independence Liberation
Trust/faith Pioneering spirit
Character-building Love
Inner peace Self-reliance
Experience/knowledge Discovery of meaning
Acceptance
\(^{400}\) Id. at 927 app. B.
§ 409.31 Level of care requirement.
(a) Definition. As used in this section, skilled nursing and skilled rehabilitation services means services that:
(1) Are ordered by a physician;
(2) Require the skills of technical or professional personnel such as registered nurses, licensed practical (vocational) nurses, physical therapists, occupational therapists, and speech pathologists or audiologists; and
(3) Are furnished directly by, or under the supervision of, such personnel.
(b) Specific conditions for meeting level of care requirements.
(1) The beneficiary must require skilled nursing or skilled rehabilitation services, or both, on a daily basis.
(2) Those services must be furnished for a condition—
(i) For which the beneficiary received inpatient hospital or inpatient CAH services; or
(ii) Which arose while the beneficiary was receiving care in a SNF or swing-bed hospital for a condition for which he or she received inpatient hospital or inpatient CAH services; or
(iii) For which, for an M+C enrollee described in § 409.20(c)(4), a physician has determined that a direct admission to a SNF without an inpatient hospital or inpatient CAH stay would be medically appropriate.
(3) The daily skilled services must be ones that, as a practical matter, can only be provided in a SNF, on an inpatient basis.\(^{401}\)
§ 409.32 Criteria for skilled services and the need for skilled services.
(a) To be considered a skilled service, the service must be so inherently complex that it can be safely and effectively performed only by, or under the supervision of, professional or technical personnel.
(b) A condition that does not ordinarily require skilled services may require them because of special medical complications. Under those circumstances, a service that is usually non skilled (such as those listed in § 409.33(d)) may be considered skilled because it must be performed or supervised by skilled nursing or habilitation personnel. For example, a plaster cast on a leg does not usually require skilled care. However, if the patient has a preexisting acute skin condition or needs traction, skilled personnel may be needed to adjust traction or watch for complications. In situations of this type, the
\(^{401}\) 42 C.F.R. § 409.31 (2007).
complications, and the skilled services they require, must be documented by physicians’ orders and nursing or therapy notes.
(c) The restoration potential of a patient is not the deciding factor in determining whether skilled services are needed. Even if full recovery or medical improvement is not possible, a patient may need skilled services to prevent further deterioration or preserve current capabilities. For example, a terminal cancer patient may need some of the skilled services described in § 409.33.\(^{402}\)
§ 409.33 Examples of skilled nursing and rehabilitation services.
(a) Services that could qualify as either skilled nursing or skilled rehabilitation services—
(1) Overall management and evaluation of care plan.
(i) When overall management and evaluation of care plan constitute skilled services. The development, management, and evaluation of a patient care plan based on the physician’s orders constitute skilled services when, because of the patient’s physical or mental condition, those activities require the involvement of technical or professional personnel in order to meet the patient’s needs, promote recovery, and ensure medical safety. Those activities include the management of a plan involving a variety of personal care services only when, in light of the patient’s condition, the aggregate of those services requires the involvement of technical or professional personnel.
(ii) Example. An aged patient with a history of diabetes mellitus and angina pectoris who is recovering from an open reduction of a fracture of the neck of the femur requires, among other services, careful skin care, appropriate oral medications, a diabetic diet, an exercise program to preserve muscle tone and body condition, and observation to detect signs of deterioration in his or her condition or complications resulting from restricted, but increasing, mobility. Although any of the required services could be performed by a properly instructed person, such a person would not have the ability to understand the relationship between the services and evaluate the ultimate effect of one service on the other. Since the nature of the patient’s condition, age, and immobility create[s] a high potential for serious complications, such an understanding is essential to
\(^{402}\) 42 C.F.R. § 409.32 (2007).
ensure the patient's recovery and safety. Under these circumstances, the management of the plan of care would require the skills of a nurse even though the individual services are not skilled. Skilled planning and management activities are not always specifically identified in the patient's clinical record. Therefore, if the patient's overall condition supports a finding that recovery and safety can be ensured only if the total care is planned, managed, and evaluated by technical or professional personnel, it is appropriate to infer that skilled services are being provided.
(2) Observation and assessment of the patient's changing condition—
(i) When observation and assessment constitute skilled services. Observation and assessment constitute skilled services when the skills of a technical or professional person are required to identify and evaluate the patient's need for modification of treatment or for additional medical procedures until his or her condition is stabilized.
(ii) Examples. A patient with congestive heart failure may require continuous close observation to detect signs of decompensation, abnormal fluid balance, or adverse effects resulting from prescribed medication(s) that serve as indicators for adjusting therapeutic measures. Similarly, surgical patients transferred from a hospital to an SNF while in the complicated, unstabilized postoperative period, for example, after hip prosthesis or cataract surgery, may need continued close skilled monitoring for postoperative complications and adverse reaction. Patients who, in addition to their physical problems, exhibit acute psychological symptoms such as depression, anxiety, or agitation, may also require skilled observation and assessment by technical or professional personnel to ensure their safety or the safety of others, that is, to observe for indications of suicidal or hostile behavior. The need for services of this type must be documented by physicians' orders or nursing or therapy notes.
(3) Patient education services—
(i) When patient education services constitute skilled services. Patient education services are skilled services if the use of technical or professional personnel is necessary to teach a patient self-maintenance.
(ii) Examples. A patient who has had a recent leg amputation needs skilled rehabilitation services provided by technical or professional personnel to provide gait training and to teach prosthesis care. Similarly, a patient newly diagnosed with diabetes requires instruction from technical or professional personnel to learn the self-administration of insulin or foot-care precautions.
(b) Services that qualify as skilled nursing services.
(1) Intravenous or intramuscular injections and intravenous feeding.
(2) Enteral feeding that comprises at least 26 per cent of daily calorie requirements and provides at least 501 milliliters of fluid per day.
(3) Nasopharyngeal and tracheostomy aspiration;
(4) Insertion and sterile irrigation and replacement of suprapubic catheters;
(5) Application of dressings involving prescription medications and aseptic techniques;
(6) Treatment of extensive decubitus ulcers or other widespread skin disorder;
(7) Heat treatments which have been specifically ordered by a physician as part of active treatment and which require observation by nurses to adequately evaluate the patient’s progress;
(8) Initial phases of a regimen involving administration of medical gases;
(9) Rehabilitation nursing procedures, including the related teaching and adaptive aspects of nursing, that are part of active treatment, e.g., the institution and supervision of bowel and bladder training programs.
(c) Services which would qualify as skilled rehabilitation services.
(1) Ongoing assessment of rehabilitation needs and potential: Services concurrent with the management of a patient care plan, including tests and measurements of range of motion, strength, balance, coordination, endurance, functional ability, activities of daily living, perceptual deficits, speech and language or hearing disorders;
(2) Therapeutic exercises or activities: Therapeutic exercises or activities which, because of the type of exercises employed or the condition of the patient, must be performed by or under the supervision of a qualified physical therapist or occupational therapist to ensure the safety of the patient and the effectiveness of the treatment;
(3) Gait evaluation and training: Gait evaluation and training furnished to restore function in a patient whose ability to walk has been impaired by neurological, muscular, or skeletal abnormality;
(4) Range of motion exercises: Range of motion exercises which are part of the active treatment of a specific disease state which has resulted in a loss of, or restriction of, mobility (as evidenced by a therapist’s notes showing the degree of motion lost and the degree to be restored);
(5) Maintenance therapy; Maintenance therapy, when the specialized knowledge and judgment of a qualified therapist is required to design and establish a maintenance program based on an initial evaluation and periodic reassessment of the patient’s needs, and consistent with the patient’s capacity and tolerance. For example, a patient with Parkinson’s disease who has not been under a rehabilitation regimen may require the services of a qualified therapist to determine what type of exercises will contribute the most to the maintenance of his present level of functioning.
(6) Ultrasound, short-wave, and microwave therapy treatment by a qualified physical therapist;
(7) Hot pack, hydrocollator, infrared treatments, paraffin baths, and whirlpool; Hot pack hydrocollator, infrared treatments, paraffin baths, and whirlpool in particular cases where the patient’s condition is complicated by circulatory deficiency, areas of desensitization, open wounds, fractures, or other complications, and the skills, knowledge, and judgment of a qualified physical therapist are required; and
(8) Services of a speech pathologist or audiologist when necessary for the restoration of function in speech or hearing.
(d) Personal care services. Personal care services which do not require the skills of qualified technical or professional personnel are not skilled services except under the circumstances specified in § 409.32(b). Personal care services include, but are not limited to, the following:
(1) Administration of routine oral medications, eye drops, and ointments;
(2) General maintenance care of colostomy and ileostomy;
(3) Routine services to maintain satisfactory functioning of indwelling bladder catheters;
(4) Changes of dressings for noninfected postoperative or chronic conditions;
(5) Prophylactic and palliative skin care, including bathing and application of creams, or treatment of minor skin problems;
(6) Routine care of the incontinent patient, including use of diapers and protective sheets;
(7) General maintenance care in connection with a plaster cast;
(8) Routine care in connection with braces and similar devices;
(9) Use of heat as a palliative and comfort measure, such as whirlpool and hydrocollator;
(10) Routine administration of medical gases after a regimen of therapy has been established;
(11) Assistance in dressing, eating, and going to the toilet;
(12) Periodic turning and positioning in bed; and
(13) General supervision of exercises which have been taught to the patient; including the actual carrying out of maintenance programs, i.e., the performance of the repetitive exercises required to maintain function do not require the skills of a therapist and would not constitute skilled rehabilitation services (see paragraph (c) of this section). Similarly, repetitious exercises to improve gait, maintain strength, or endurance; passive exercises to maintain range of motion in paralyzed extremities, which are not related to a specific loss of function; and assistive walking do not constitute skilled rehabilitation services.\footnote{403}{42 C.F.R. § 409.33 (2007).}
§ 409.34 Criteria for “daily basis”.
(a) To meet the daily basis requirement specified in § 409.31(b)(1), the following frequency is required:
(1) Skilled nursing services or skilled rehabilitation services must be needed and provided 7 days a week; or
(2) As an exception, if skilled rehabilitation services are not available 7 days a week those services must be needed and provided at least 5 days a week.
(b) A break of one or two days in the furnishing of rehabilitation services will not preclude coverage if discharge would not be practical for the one or two days during which, for instance, the physician has suspended the therapy sessions because the patient exhibited extreme fatigue.\footnote{404}{Id. § 409.34.}
APPENDIX H
MINDY’S BOOK
I had a family member that compiled a special notebook that was of immense benefit for the care of the terminally ill. I call it “Mindy’s Book” after
its maker. Mindy’s Book was a two inch, loose leaf notebook purchased at the store. It had dividers with pockets.
Mindy’s Book consisted of:
1. Loose-leaf paper for notes.
2. List of family and close friends with phone numbers—these were the friends who had offered to run errands, sit with the patient, et cetera.
3. List of all doctors and contact information including staff names.
4. Medical history with specific date, if possible—this was constantly updated.
5. Information about preferred hospital.
6. List of any drug allergies.
7. List of current and previous medications with dosage, time of administration, type of medication, and how to administer them.
8. Legal information, such as power of attorney, advance directives, and HIPAA authorization.
9. Hospital discharge paperwork.
10. Paperwork from doctor’s visits.
11. Any paperwork from home health care and medical equipment rental.
12. Insurance information, such as group/member number, phone and address, list of benefits, and list of in-network providers.
13. Hospice information.
14. Calendar to keep track of doctor appointments and when to start, stop, or change medications.
15. Pre-need burial policy.
16. Funeral service plans, such as who and what the patient wants for the service.
17. Professionals to call upon death (hospice worker, minister, et cetera).
18. Friends’ and relatives’ phone numbers to be called upon death.
19. Lab reports stating the normal conditions to compare to new lab reports and what symptoms to look for, including temperature, pulse, blood pressure, skin color/texture, etc., so families know when to call the doctor.
Mindy’s Book was invaluable when the loved one had to go to the doctor or hospital because it had everything that would be needed to answer questions. If someone other than the primary caretaker was there, then the book would answer any questions he might have. All the information was in one place, so it was easy to grab at a minute’s notice and easy to transport.
APPENDIX I
PUBLICATIONS OF INTEREST
One of the best publications that I have found to help families is *Gone from My Sight: The Dying Experience*, by Barbara Karnes.\(^{405}\) This 14-page booklet is excellent to prepare the family for what to expect. It stresses that death is unique to each person, but it provides some guidelines for what to expect one to three months prior to death, one to two weeks prior to death, one to two days prior to death, just hours prior to death, and minutes prior to death.\(^{406}\)
Karnes also has two other booklets, and both are available in English and Spanish.\(^{407}\) The cost is $2.00 each plus shipping, but for a bulk order there is a discount.\(^{408}\) You can order the booklets at www.bkbooks.com or by mailing Barbara Karnes Books, Inc., at P.O. Box 822139, Vancouver, WA 98682.\(^{409}\)
For the families who are grieving, *Seven Choices: Finding Daylight After Loss Shatters Your World*, by Elizabeth Harper Neeld, Ph.D., is recommended.\(^{410}\) It encompasses the author’s emotions and trials upon the sudden loss of her husband, and it is a compilation of several persons’ experiences.\(^{411}\) The book is available at major book stores or Amazon.com.\(^{412}\)
---
\(^{405}\) Barbara Karnes, *Gone from My Sight: The Dying Experience* (Barbara Karnes Books, Inc. 2005).
\(^{406}\) *Id.*
\(^{407}\) See BARBARA KARNES, MY FRIEND, I CARE—THE GIFT EXPERIENCE (Barbara Karnes Books, Inc. 1991) and BARBARA KARNES, A TIME TO LIVE—LIVING WITH A LIFE-THREATENING ILLNESS (Barbara Karnes Books, Inc. 1996), available at http://www.bkbooks.com/BookletOrderForm.pdf.
\(^{408}\) http://www.bkbooks.com/BookletOrderForm.pdf.
\(^{409}\) See id.
\(^{410}\) Elizabeth Harper Neeld, Ph.D., *Seven Choices: Finding Daylight After Loss Shatters Your World* (reprint ed. 2003).
\(^{411}\) *Id.*
\(^{412}\) http://www.amazon.com/Seven-Choices-Finding-Daylight-Shatters/dp/0446690503/ref=pd_bbs_sr_1?ie=UTF8&s=books&qid=1219525207&sr=8-1.
|
Address Delivered Before the National Conference of Teamsters Lawyers Entitled "The American Labor Movement"
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In a speech delivered in 1824, Daniel Webster stated: "Labor in this country is independent and proud. It had not to ask the patronage of capital, but capital subscribes the aid of labor." The truth of these words is well established today, but by today's standards there can be little doubt that the position of labor as pictured by Webster, was a grossly misleading one. It was not until the final quarter of the nineteenth century, which witnessed the lasting establishment of labor unions, that the pronouncement of Webster became a reality. The final realization of which had to wait until the legislative enactments under the New Deal, over a century after Webster's utterance. It is labor's struggle to consummate this prophecy through unions, which was probably not envisioned by Webster, that is the subject of this address.
The characteristics of the early unions were limited occupational
and industrial penetration, instability of membership, craft exclusion and absence of a permanent political labor front. These characteristics were to go through a metamorphosis as the unions grew to maturity.
Unions first appeared in this country about the close of the 18th and the beginning of the 19th centuries in the form of local craft unions, mainly among the printers, cordwainers, bakers, shipwrights and carpenters. At the earliest state the emergence of an employing group and relatively free competition, created a struggle between the employers and the wage earners which forced the latter to combine.
The unions took the craft form because of the nature of the principal problem facing them, the nature of the functions they were called upon to perform and the form of the business unit and extent of the market. The problem was to prevent the employers from lowering wages and increasing hours by taking advantage of the labor competition of "illegal" men. By illegal is meant those men who were not members of the crafts. Thus, the principal function of the union was to guard the competitive area. This area, on account of the trade character of the business unit and the local character of competition, was the craft in the local unit.
The functions of these unions were not definitely formulated in advance, but grew out of the conditions and problems which they had to face. It is this problem of defining the functions of unions which is to hamper their growth until Samuel Gompers finally successfully resolved it in 1890. Since the efforts of the employers were directed to lowering wages and increasing hours, the workers attempted the regulation of these through a union or a combined group. However, the efforts of the employers were successful because of the break-down of the practice of apprenticeship and the influx of illegal men. The unions attempted the defense of apprenticeship and the exclusion of those who had not passed through it. They attempted to enforce their demands by strikes. Moreover, since the employers proceeded against them for conspiring, and since under the competitive regime, they were thrown on their own resources, they were obliged to add to their functions such matters as making provision for legal defense, mutual insurance and sick and funeral benefits. Thus, in starting out to secure better wages, hours and conditions of work, in the face of local competition of inferior and "illegal" workmen, the unions were confronted with having to deal with the concomitant problems of
defending their actions in court, plus the care of their more unfortunate members. Their inexperience with these complex and novel problems militated against any successful resolution of them except by the trial and error method.
In the two decades following 1820, some organizational strides were attempted by the local craft groups. By 1836, the local groups were estimated to include about 300,000 members in 160 local unions in the five principal industrial centers of the Atlantic coast. Several attempts were made to set up regional federations as well as national organizations in individual crafts. Apparently disgruntled by their failures in dealing with employers, the unions attempted to gain the upper hand by participating in political groups and seeking legislation. One such group was the Philadelphia Mechanics' Union of the Trade Association which developed into the Workingmen's Party of Philadelphia. It stood for shorter hours, free schools, the abolition of imprisonment for debt, the reform of the militia system, mechanics lien law, equal taxation, cheapened legal procedure, no religious legislation, direct election of public officials and opposition to banks and anti-monopoly legislation.
With the expansion of the labor market there began in 1850 the development of national unions of workers in a single craft. Roughly speaking these unions included the building crafts, the railroad workers and a few other skilled divisions of labor. Parallel to this step forward, on the organizational front, was the emergence of a prevailing labor philosophy. The unions accepted as their function the support of utopian, socialistic and social uplift legislation. To carry out this purpose the Workingmen's Protective Union was organized in 1847, the New England Workingmen's Association and the Land Reform Movement in 1844 and 1845. Industrial Councils and Working Class Congresses were held. Their aims were the establishment of co-operative communities, land reform, and the 10 hour day. Great waves of utopianism swept over the country, resulting in the establishment of Brook Farm. There was a general disposition to try communistic and co-operative schemes, all of which resulted in practical failure. A general humanitarian and democratic agitation resulted in attempts to form political parties. The 10 hour day movement started out well but was unsuccessful. The woman and child labor restrictions and free land laws were partially
accepted as legislative objectives. The free school movement succeeded. Numerous political reforms advocated by the unions tended to further democracy in government. However, after 1852, the slavery issue absorbed attention and the panic of 1857 killed the utopian movement.
Despite the inroads on stable labor organizations made by the Civil War, the Homestead Act of 1862 and the law permitting contract immigrant labor, the period of 1866 to 1869 witnessed a new revival of unionism to an estimated membership of about 400,000. This regeneration was due largely to the high cost of living resulting from currency inflation, machinery breaking down trade exclusiveness, markets becoming national, and the business units of industrial enterprises enlarging. It was in this period that the National Labor Union was founded in the year 1866, which, despite its dominant trade union membership, had other than trade union goals. The federation stood for an 8 hour day, cooperation, tenement house reform, and public lands only for settlers. It opposed strikes except as a last resort and was in favor of arbitration. It also dealt with the money question in 1867, and opposed the national banking system. Again it is to be noted that the National Labor Union was, like its predecessors, a
political labor group. The crisis of 1873 saw the downfall of this and similar groups, but the national craft unions continued to maintain themselves. However, even though the National Labor Union failed, its concept served notice of things to come: a federation of national craft unions.
During the next few years there was a widening of the market and increased competition both of which demanded enlargement of the union unit. The enfranchisement of more voters turned attention to legislation and the political arena. In view of these developments it is not surprising to find trade unions, local and national, with a legislative program added to their economic aims, and a tendency to political party activity. And from 1879 to 1890 one more attempt was made to found a universal union dedicated to the philosophy and theory of progress through political activity. The group which dominated this period was the Knights of Labor. Their aims being primarily idealistic, humanitarian and political. The political methods of the Knights of Labor failed, causing a return to economic means as the best instrument under the circumstances to further labor's demands.
The full significance of the failure of political methods and the
fact that the crafts remained outside the Knights of Labor to preserve their autonomy, did not go unnoticed by Samuel Gompers, the president of the newly reorganized American Federation of Labor in 1886. Gompers read the lessons of these failing political panaceas and faltering utopian schemes very clearly, and his substitute program for the workingman well appraised the tone and temper of labor. After Gompers' ascendance to leadership, labor was motivated by a pragmatic gradualistic, "no ultimate ends", "here and now" philosophy, seeking within the framework of a capitalist society, to advance the interests of particular groups of workers organized in trade unions. It placed primary emphasis on economic methods such as collective bargaining rather than upon independent political action or co-operatives in making "today better than yesterday and tomorrow better than today". The struggle between business and idealistic political uplift unions resulted in the triumph of business unions.
This triumph, which was to give labor its primary function, would not have been possible if the organizational set up of the American Federation of Labor was not attractive to the crafts. The unions which became members had precisely the degree of independence desired, which
was guaranteed by the loose federated structure of the American Federation of Labor, while at the same time protecting them from dual unionism.
The date of 1890, then, marks the beginning of the era of the modern union as we know it today. And it is also from this date that the struggle by unions commences for the right to assume a place alongside the other institutions in our democracy. In the bitter battle that raged over the years, unions fought the offensives of employers, police and national guardsmen, and the animosity of the courts, but notwithstanding these formidable obstacles, came through victorious.
There are many black spots in our judicial history in which the labor movement was involved. I will mention only three: In 1886, there was great industrial strife around Chicago over the attempt to introduce an eight-hour day. On May 3, a bloody encounter took place between police and laborers in which several workers were killed. An anarchist group printed a circular headed "Revenge! Revenge! Workmen to Arms" and called a meeting at Haymarket Square the next night. The meeting was orderly; even Chicago's Mayor attended. But the police undertook to break it up. Some unknown person threw a bomb, killing several
policemen. Four of the convicted men were hanged on November 11, 1887. The sentences of two were commuted to life; one received fifteen years.
In 1892, John Peter Altgeld was elected Governor of Illinois, and one of his first acts was to entertain a petition for pardon of the three Samuel Fielden, Michael Schwab, and Oscar Neebe. Altgeld found that the jury which convicted the men had been "packed" -- made up of men selected, with the help of a special bailiff, because of their prejudice; that there was no evidence connecting the three men with the crime; that they had not received a fair trial. They had made incendiary talks; they had perhaps been "anarchists." But there was no shred of proof connecting them with the bomb. Altgeld felt they were victims of the frenzy of passion that had swept Chicago in those days. His pardon message was issued June 26, 1893. It served the cause of justice, but it ruined Altgeld politically. He knew the bitter years. He lost his health and his wealth under the pressure of his enemies. The man who had the courage to give a despised minority the protection of the Bill of Rights was hounded to his death.
Another sad example was the manner in which the federal courts smote Eugene V. Debs, who led the railway workers in the famous
Pullman strike of 1894. The company reduced wages but not salaries, increased dividends. Management refused to make any concessions to the workers. When they went out on strike, the federal government allied itself with the company. Federal troops were called out; and the Department of Justice got an injunction against Debs which directed him in sweeping terms to have nothing to do with the strike. He defied the decree and was jailed for contempt. The Supreme Court sustained his commitment on grounds that would have made Jefferson, Hamilton and Marshall twinge. Federal courts, it was held, had an implied authority to supervise interstate commerce and transportation of the mails, even in absence of any Act of Congress granting the courts jurisdiction. No greater claim to judicial supremacy has ever been made, and significantly, it was made on behalf of vested interests that were callous to human rights.
On February 3rd, 1908, another instance occurred when the Supreme Court decided the Danbury Hatters case. The United Hatters were trying to organize the industry and were boycotting shops which hired non-union labor. The owners of a factory at Danbury, Connecticut, sued union for damages to the business suffered as a result of the
boycott, Treble damages were asked under the Sherman Act which made illegal "every combination or conspiracy, in restraint of trade or commerce among the several States." The defense argued that the purpose of the Sherman Act was to safeguard the public against the social and economic evils of massed capital. But the Court ruled that combinations of labor as well as combinations of capital were covered and that the sanctions of the Act applied where, as here, the trade restrained was interstate commerce. The legal battle impoverished both sides. It cost the union over $400,000. The employer ended in poverty. In 1947, his grandson was a member of the Hatters' Union, employed in a factory in New York.
In the period immediately preceding the Spanish-American War the newly formed American Federation of Labor had an amazingly small membership. After 1897, the rapid growth of the Coal miners' union and the affiliation of the building crafts raised the American Federation of Labor to a position in 1904 where it contained over 80 percent of the total trade union membership. However, this increase in membership was short lived, and from 1904 to 1909 the federation suffered large losses. Several factors contributed to the decrease. First, was the
economic depression of 1906 to 1912. Second, was the employers' offensive which attacked the unions on different fronts at once: employers were able to secure the rupturing of important trade agreements; and punitive anti-boycott court decisions in the Danbury Hatters' and the Buck Stove and Range cases dangerously undercut the union's chief economic weapons. Finally, the incursions of the Industrial Workers of the World among certain sectors of the American Federation of Labor contributed in large measure to the loss of membership.
With the economic upswing of the period from 1912 to 1914 there was a new spurt of activity, which included the expansion of the clothing unions, industrial and semi-industrial growth, and the growth of the coal miner's union. On the one hand, the challenge of the Industrial Workers of the World and the rise in influence of the industrial unions, and on the other, the movement toward amalgamation brought about stresses and strains in the union structure. To solve these internal conflicts and still adhere to the principle of a strong craft union rather than domination by the industrial union, led to the creation of departments within the federation, which sought to reconcile
and coordinate the craft unions within a single industry.
Outside the American Federation of Labor the Industrial Workers of the World conducted spectacular strikes in the textile and metal mining industries. A strong pro-labor swing was reflected not only in the largest socialist vote of 1912, but in the appointment of a labor man to the newly created post of secretary of labor. Legislative gains, such as restrictions on the sale of prison made goods, limitation of immigration, the Clayton Act of 1914, and the Seamen's Act of 1910, were outward signs of the new power of unionism in the American scene. Unions seized the initiative. Labor leaders were chosen for representation on government bodies; there was organization of large masses of semi-skilled and unskilled workers in the industries which gained through wartime activities; and the Adamson Eight Hour Act of 1916, which applied to the railroads -- all had repercussions in the rise of total union membership in 1920 to over 5,000,000.
Despite the gains of the American Federation of Labor and the new spirit of inter-union co-operation, there was a continued decline in the trade unions from 1920 on. The retrogression may be attributed to various developments, among them the failure of the steel strike,
and the weakness of the campaign in the automobile industry, and the neglect of industries in which women or Negroes predominated.
More significant were the external forces working against union progress. The anti-radical legislation of the postwar period, often invoked against union organizers, seriously impeded advances in that direction. Employers did their bit; maintaining the open shop and introducing welfare campaigns. Company unions and employee representation plans increased in membership.
Disillusionment took hold of some segments of labor. Once again there was the upsurge and cry of "one big union" which movement culminated in the Seattle general strike. The attitude of capital of over-production and cut-throat competition caused under-employment and reduced the strength of the various trades even lower. These factors caused a swing away from progressive trends embodied in such manifestations as industrial unionism, workers' education, the type of policy exemplified by the Plumb Plan and the miners' proposals nationalization and an enlarged interest in a political labor movement.
Confronted by new challenges the labor unions turned to union-employer co-operation in order to encourage employers to deal with them.
Labor-management co-operation schemes were initiated. Through these efforts there was adopted the doctrine that increases in wages must be postulated on labor's contributions to increased production. This new strategy operated, however, only within those industries which were already organized, and little or no progress was made in the unorganized fields.
The most severe blow to union development came with the onset of the depression in 1929. Hour and wage standards in organized industry were broken down, and wages for those who still worked by 1932 were about 60 percent below the 1929 level. But assistance was to come shortly.
In reviewing the progress of labor as accomplished through unionism from 1900 the following points stand out: Unions demonstrated a marked aggressiveness in the economic field through an application of comprehensive trade agreements and shop rules. There was no lacking in readiness to strike whenever conditions were favorable. However, there was no unanimity of practice with regard to the introduction of machinery or of production standards. These latter problems were left to future resolution as the attention of the country was focused on rebuilding from
the economic disaster of the depression.
With the New Deal administration of Franklin D. Roosevelt came a new dawn for labor. Now government stepped in, not only to restore the most seriously deteriorated standards of employment but to pave the way directly for unionism. New Deal labor legislation originated in the National Industrial Recovery Act passed in June, 1933. Its labor provisions included both protective labor legislation such as child labor regulation, minimum wages and maximum hours to be set for each industry and labor relations legislation. The latter provisions pertaining to the right of employees to bargain collectively. However, the anti-union attitude of some members of the National Recovery Administration and the continuance of anti-labor decisions by local courts impaired the effectiveness of such legislation. As a partial reaction to the court decisions the Norris-LaGuardia Anti-Injunction Act was passed in 1932, forbidding the federal courts from issuing injunctions to sustain anti-union employment contracts or to prevent strikes, boycotts and picketing.
It was not long before Congressional friends of labor recognized that something more was needed if further progress by unions was to be
realized. In 1935 the Wagner Act was passed. This provided for the creation of a National Labor Relations Board with power to determine collective bargaining units subject to elections it supervised at the request of the workers, to certify the duly chosen trade union, and to take testimony regarding unfair employer practices and issue cease and desist orders. The right of employees to join labor organizations and to bargain collectively through representatives of their own choosing was upheld.
But the passage of the Wagner Act did not automatically insure the acceptance of unions by industry, instead it seemed only to incite employers to even greater resistance. By 1936 the Congress of Industrial Organizations began to organize the motor and steel industries. On December 31, 1936, a few hundred workers seized a number of General Motors plants at Flint, Michigan, staging a spectacular sit-down strike which lasted 44 days. Sit-down strikes spread to various industries. Following a Supreme Court decision (1939) declaring sit-down strikes illegal, this technique was also discredited by organized labor.
On May 30, 1937, there occurred the Memorial Day Massacre. In the spring of 1937 the Steel Workers' Organizing Committee secured recognition by U.S. Steel as the bargaining agency, a wage boost of 10 per cent, and a 40-hour week with time and a half for overtime. Other employers challenged the constitutionality of the Wagner Act. "Little Steel" under the leadership of Republic Steel was adamant. The issue came to a head when a group of union demonstrators before the gates of the Republic plant in South Chicago were fired upon by police, with four killed and 84 injured. Finally in 1941, virtually all independent steel companies signed agreements with the Congress of Industrial Organizations.
In 1937, publication of a report by a Senate subcommittee, headed by Robert M. LaFollette, Jr., disclosed the anti-labor techniques employed to fight unions. The investigation revealed that blacklists, espionage, vigilante groups to curb labor organizers (Mohawk Valley Formula), recruiting of strikebreaking services, private armed forces, and private arsenals were all used. Such methods were clearly in violation of the law.
In 1938 the Fair Labor Standards Act was passed, protecting employees in interstate commerce.
The success of the union in winning their battles is indicated by membership roles which now were bulging. In 1944 the total union membership was 13 million out of an employment of 54 million workers.
The end of World War II also ended the no-strike pledge of the unions. A series of large scale strikes took place in the ensuing years. The unions, especially in the newly unionized industries, still to convince employers that they had taken root and proved it, successfully standing guard over the real wages and job control acquisitions in the collective bargaining agreements. But with these determined stands in the economic arena, unionism suffered a serious loss in its legal status. The 80th Congress under Republican control enacted in 1947 the restrictive labor law, which is familiarly known as the Taft-Hartley law.
The effect of this demotion in legal rights was to stop for a time at least a further unionization of the south. However, in view of their past history, this halt will be only temporary.
I have endeavored tonight to give you a brief resume of history of the labor movement in America. I have refrained from discussing labor law because I am sure that you are as familiar with it as I am. About a year ago I addressed a seminar for Trade Union leaders presented by the Institute of Industrial Relations of University of California. I then stated that any student of statutory law and court decisions on the subject of labor law must be impressed with the hodgepodge of conflicting rules and ideas which then existed. I do not believe the situation has improved since then. If anything, it has become more confused and complex. In view of the fact that there are now pending before the Supreme Court of California several cases involving the so-called right to work law, I am restrained by a well-known canon of judicial ethics from discussing the legal problems involved in these cases.
In conclusion, may I venture a word of optimism: While organized labor has its critics, it cannot be denied that it is now and has been for over 100 years a recognized American institution; that it has grown numerically and in economic, social and political influence to
a position where it must be reckoned with by our government in the adoption of any program or policy affecting our social or economic status. It has gained this position because of popular support and recognition to which it is justly entitled for its achievement in advancing the welfare of the working people of this country so that they are enabled to enjoy the highest standard of living ever known to exist since the dawn of civilization.
While the present trend of legislation and court decisions cast ominous shadows of coming events in the field of labor-management relations, they will never eclipse the dark days of the past. With intelligent, forthright and courageous leadership, I can envision organized labor taking her rightful place in directing forces which establish the standards of the social and economic welfare of the working people in this country and becoming the brightest star in our constellation.
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FINAL ANNUAL REPORT
1968 - 1969
Southwest Center for Advanced Studies
Southwest Center for Advanced Studies
Final Annual Report
1968-1969
The Southwest Center for Advanced Studies became The University of Texas at Dallas on September 1, 1969
Table of Contents
Chairman of Governors Letter .................. 2
President/Chairman of Trustees Message ........ 3
The Year: General Summary ..................... 4-5
The Year: Research and Education Summary ...... 6-7
SCAS Milestones, 1961-1969 .................... 8-10
Faculty and Scientific Staff .................... 11-12
Financial Summary .............................. 13
Governors and Trustees ......................... 14
Advisory Council ................................ 15
Credits ........................................... 16
Published at Dallas, Texas, by the
Southwest Center for Advanced Studies
Printed in the United States of America
Release to Public Media
This report is released to public media upon distribution at the final Annual Meeting of the Center's Governors, Trustees, and Advisory Council,
September 11, 1969
Chairman's Letter
A New Education Landscape
Through dedication, conviction, and the corporate effort of legions of our citizens, there is a new look to the landscape of the Moon. In the book *The State Universities*, published at the time the Southwest Center for Advanced Studies was founded some 15 years ago, Senator Allen Nevin wrote: "A new look to the 'educational landscape' of our country. He foresaw the nation as 'no longer dominated by an academic landscape with lesser hills between (but) a landscape dominated by mountain ranges.' To help to create such a 'landscape' for the Southwest and particularly for North Central part was the inspiration for and has remained the central interest of the Center, its founders, Boards of Governors-Trustees, and its permanent faculty.
Through dedication, conviction, and corporate effort, The University of Texas at Dallas has been created, with State approval which means a gift of SCAS' most assets and treasures, of its most valuable asset, its personnel to The University of Texas System. Thus, the Nevin's forecast comes closer to realization.
This brochure, then, becomes the final report of the Center as it has existed.
The purpose of this introductory letter is to express our appreciation and acknowledge our indebtedness for the help which has brought us to this point in our existence. And the journey must begin with the creative work of the late Dr. Lloyd V. Berkner, first president of the Center. He was tireless in his efforts to promote the advancement of higher education, to stimulate his colleagues, to place clear focus on excellence, to break down the barriers to new knowledge. Reviewing, we state our appreciation for the discerning, competent leadership of its second president, Gifford K. Johnson. Our gratitude is especially deep for those whose understanding and support made it possible to attract the Center's "Community of Scholars." It is equally so for the "scholars" themselves, for their research and teaching which have advanced mankind's knowledge and now make possible the expeditious creation of a new great State University.
To The University of Texas System Board of Regents and its able Chairman, Mr. Frank Erwin, Chancellor Harry Ransom, and Deputy Chancellor Charles A. Lehmkuhl, we express thanks as we have directly to them our continued confidence in their ability and commitment to accomplish the goals sought by SCAS. The Regents and Chancellor have a major achievement in The University of Texas at Dallas which we believe ensures its great destiny.
Our appreciation is keen indeed for those who took every care to be well informed about educational needs of the area and so articulated them as to gain the approval of House Bill 303 by the 61st Legislature and the Governor. Such a list is widely inclusive. The list includes the Speaker of the House of Representatives, the bill's sponsors, Senator Ralph Hall and Representative Jack Blanton; community leaders — and many others cannot be named especially for the time, energy, and outstanding spokespersonship he gave the effort is Mr. Morris L. Hite.
As we reflect upon Southwest Center for Advanced Studies and its past and on The University of Texas at Dallas and its future, we feel deeply rewarded and strongly encouraged. We are no less conscious of the awesome, continuing challenge to meet both the quantitative and qualitative goals of higher education in our area. We are no less convinced that broad perspective, sincere co-operation among all public and private institutions is the key to complete attainment of the grandest of educational goals. We are symphonic by Nevin's mountain range analogy. Great tasks lie ahead. That these will be addressed with vigor, devotion, and unwavering commitment, we have no fear. That your continued support will be needed and given we feel is equally certain. The support which we began with and are forward by the Excellence in Education Foundation, and further efforts we invite you to join. We seek your support of The University of Texas at Dallas as we sought and gained your support of the Southwest Center for Advanced Studies.
Erik Jonsson
Chairman, Board of Governors
President's Message
A Change of Pace
This is the final Annual report of the Southwest Center for Advanced Studies. All that made it a vital force in this region — its faculty and staff, research and teaching programs, laboratories, and some land for a campus — are now the resources of the beginning University of Texas at Dallas. With remaining some 200 acres of land surrounding the UTD campus, and some monies in hand and pledged, are the resources of an Excellence in Education Foundation. Its primary objective will be to raise private funds, to add to the state and federal funds, and translate this sector of support into the means and flexibility and incentive to build quality and greatness into the development of a new university.
EEF will also use part of its resources to help other institutions, with particular emphasis on developing the co-operative graduate teaching programs between colleges and universities which the SCAS began and always held high among its objectives.
Turn back the clock about 10 years. Our story begins with those who not only saw the need for this region to develop its graduate education resources more rapidly, but also had the desire and resources to do something about it. Three families took this step and made their commitments one among many each has made in their lifetime of philanthropy, particularly for bettering education.
These three — Cecil and Ida Green, Eugene and Margaret McDermott, and Erik and Margaret Jonsson — made their gifts without strings or influence by them or their industrial associations on how and in what direction the SCAS should develop. They went on to find and convince a great man of science to take their gifts and an idea, and breathe life into a new and unique institution of higher education.
But where do you find such a man, both capable and willing to risk all in tackling what is only an idea? You look for a successful man of a portion of prestige completely secure in his work and yet outspoken in his ideas for better science and educational progress. You throw him the challenge that here, forming this new institution, he can better put his idea to work.
Thus they found Dr. Lloyd V. Berkner, and in four years he built an institution of significance and importance. His impact was felt throughout the region, by our government, and by associates in the whole world of science.
I have often called Lloyd a scientific entrepreneur. He had to find new courses, to little precedents to guide him. He had first to convince groups of scientists to come join him, by showing them challenges and opportunities to work together in ways not possible in their own institutions.
The building of a new and unique institution, for which there is no precedent to guide you toward success, is much like the research and development work of a scientist, or the search for new scientific discovery, or both. The developer must be constantly alert to alternatives, and willing to shift to a new emphasis. Lloyd could do it all without proof of authorship, embrace another's ideas. And so he built the SCAS by what you might call "learning by doing." And from his interactions would come the proof of his planning, but which I and many others would say was proof of his ability to shift emphasis without losing sight of the objective.
It was, I believe, Doctor Berkner, belief that institutions and all organizations pass through stages in which the needs for leadership emphasis change; this caused him to seek a successor. When I was honored by becoming the SCAS's second president in 1967, it was he and Erik Jonsson's view that if Lloyd would stay on as scientific director, someone else could better take hold to find and develop the means for SCAS to develop its teaching programs, its co-operative relationships with other institutions; in addition, to plan its size and form, and was more in management and people-relations jobs, which I might do despite my lack of academic and scientific skills.
We worked well together in this relationship for the next two years; Erik, the Board of Governors, and the Board of Trustees, Lloyd and myself, until Lloyd's death in 1970 when we had a fair sense of the lines we would expect to reach by relying solely on co-operative programs. We reached the conviction that a closer and more vital affiliation with a state institution (with a blend of state support, federal research and private funding) was the only way we could grow significantly and expect to overtake the more rapidly growing needs for graduate education which we foresaw facing us.
Our Annual Reports, the past two years, have reflected this thinking. We could see that private institutions were finding it increasingly difficult to grow, and that the need for developing graduate programs. We could see that co-operative programs, although vital, could not in themselves supply more than a small part of the needs. And we could see that state-supported education was the main thrust in our nation.
The newly-created Coordinating Board, Texas College and University System, conceived through Governor Connally's initiative, commissioned by the Texas Legislature to come up with a master plan for Texas. A study of the
statistics of needs and the amount of state support in North Central Texas indicated clearly that our SCAS plan should recommend a great effort toward building North Central Texas graduate programs. Thus, the SCAS had its greatest opportunity to grow, through becoming an independent institution and in affiliation with a state institution.
Rather than try to grow another free-standing, degree-granting university, we chose to talk to the University of Texas Regents about their interests in the Dallas/Fort Worth area, and the logic of using the SCAS in further development here. Then, too, The University of Texas enjoys a national reputation as one of the top 25 universities; it seemed an easier and faster path to build on this strength for regional good.
The combined community task of this past year was obvious: to demonstrate the need for added state participation in North Central Texas education, and to seek a significant proportion of such participation; to have this become an integral part of the Coordinating Board's legislative plan, as adopted by the Texas Legislature.
The Dallas Chamber of Commerce, led by President Morris Hite and Dr. Bill Heroy Jr., as Chairman of the Education Committee, took the leadership in surveying the needs.
The findings were both simple and powerful. In 10 North Central Texas counties, we had 46 per cent of the state's educational needs in terms of future enrollments, and only 12 per cent of the facilities. In the next 10 to 12 years, if we doubled the enrollment places now available through expansion of existing schools and addition of junior college systems of large size, we would still be short of our needs in 1980.
But, we would be most deficient in graduate opportunities. Where tens of Ph.D.'s in science and technology were now being produced, hundreds were needed. We came into the area and hired to meet the requirements of our industries and institutions. As a result, we were and are major importers of technically trained talent, in a most competitive market.
In November, was not a new problem in 1969. It was the problem that the SCAS' founders saw and had set out to solve at the first place, a decade ago. Except that, for some progress in 10 years, our needs had grown faster than our educational output, and this was continuing. Like Alice in Wonderland, we were having to run as fast as we could to stay in the same place, or worse.
House Resolution 375 of the 60th Texas Legislature, 1967 pointed out the need to accelerate graduate education in science and technology in North Central Texas, and called for use of both public and private education resources to accomplish this.
The mutual interest of The University of Texas System, the SCAS, and the Dallas community leadership increased, toward finding a method of affiliating the SCAS with The University of Texas.
We recorded, in our Annual Report of a year ago, the action of the UT System Regents (July 26, 1968) in voting acceptance of the gift of SCAS.
In the last year, there were many actions, reactions, and counter-proposals, along the way to approval. There is little point in reviewing these here, step by step. They represent only the facets of the long, difficult process, through a decision was reached for state and regional benefit. Some of the key dates are noted, briefly, in the chronology which follows this section, within the context of many events that stand as milestones in the total history of the private institution, the SCAS.
In a comment of some years ago, as SCAS was being established, I pointed out the difference in progress and results. Now, I think we can point to a most significant result - the establishment of UTD, within the past year, but stemming from several years of progress.
The Hon. Preston Smith's signature of House Bill 303 into law, June 13, 1969, was a climactic step in the legislative process to create UTD through the gift of SCAS.
It would not have been possible, and would not have happened, without the leadership and support of Dallas/Fort Worth and many other communities and individuals in North Texas. Great debts of gratitude exist, and our final Annual Meeting, Sept. 11, 1969, is intended in part to acknowledge this further.
In the year-long legislative process leading to approval of House Bill 303 there was much concern among some educational institutions in the area that the SCAS' gifts would affect their own future development. Assurances were given of the need, the intent to co-operate, and the desire to avoid unnecessary duplication of effort. In the end, each modified his position, so that the Legislature and the Coordinating Board were satisfied with the plans and intent.
North Central Texas is the winner on the basis of bringing of more people and additional responsibility to bear on the educational needs of the state's largest grouping of communities and industries.
Now that The University of Texas at Dallas is a became a reality, I want to recognize especially (among the debts of gratitude) the private support of the past several years: the direct contribution of more than $8 million to the SCAS's development. Many gave from their resources; not only money, but time and talent.
How was this all done? First, of course, by the vision and perseverance of the three founding families, and Doctor Berkner; but, from that point on, more importantly, by the community.
Honors are due the Trustees and Advisory Council members, many of whom helped to extend personal support to a national scope. It was they who agreed to make the SCAS gift to The University of Texas System and the people of the state.
There is no wonderable gift; not just in terms of land, structure, and funding, which add up to some $14 million, but even more in terms of faculty strength and its ability to utilize and graduate trainees. We gave the state a value in tangible things like land and buildings, which can be cost-accounted; there is hardly any way to add up the value of intellectual resources and a major body of research, but these are worth far more. In addition, the Excellence in Education Foundation retains land and resources now worth another $10 million, to develop and use to support higher education here.
Obviously, special recognition is due the 61st Texas Legislature, with Governor Smith, Hon. Bob Bullock, Lieutenant-Governor, and the Hon. Gus Schlescher, Speaker of the House; Representative Jack Blanton and Senator Ralph Hall, the sponsors of Senate Bill 303, and the members of both chambers, particularly our Dallas delegation. All gave careful consideration to the North Central Texas problems in reaching the decisions they made. The University of Texas at Dallas is living institution today.
It is important to reiterate, here, that nothing but full co-operation with all regional aspects of graduate education, and with all regional institutions, is in the hearts and minds of those who will work forward from this date.
Dr. Francis S. Johnson, who has headed our former SCAS' division (Atmospheric and Space Sciences), was named Acting President as our past year drew near a close, to make the transition into The University of Texas at Dallas and continue in his office there. UTD will now well under his direction.
Most important, I am not reporting an ending in these words, nor in the pages that follow. I am reporting a beginning, on the foundation that has been laid in years past. In the SCAS, we have builded well, a fair house on what is now another's ground.
Gifford K. Johnson
President (to July 1, 1969)
Chairman, Board of Trustees
September 11, 1969
The Hon. Preston Smith, Governor of Texas, signs House Bill 303 at the Founders Building, June 13, 1969. The act enabled establishment of the University of Texas at Dallas, through the gift of the Southwest Center for Advanced Studies to the State of Texas. Witnessing the signing are Representatives Jack Blanton, Chris Searcy, Joe Ratcliff and Bill Brackelein of the Dallas County delegation to the 61st Legislature.
The Year, 1968-1969
Research and Education Summary
SCAS' Research Links to Apollo 11 Landing
In July, 1969, men walked on the Moon, just as predicted in a SCAS faculty conversation of seven years ago when spoke English and were United States Astronauts.*
The secrets of the Moon reveal that millions watched Neil Armstrong and Buzz Aldrin gather to come to our Geosciences Division laboratories for examination and analysis. We are fortunate to have faculty strongly linked to national scientific programs, and called upon to do such study.
On a subsequent Apollo flight, Astronauts will carry an instrument designed in the Atmospheric and Space Sciences Division. Placed on the lunar surface, it will measure the Moon's tenuous atmosphere.
Unfortunately, the public has no similar opportunity to witness and be thrilled by many other experiments carried out by our faculty and staff under the mapping the largest fields of interplanetary space without which knowledge a lunar landing might not have been attempted. International television has not witnessed the launch of many unmanned scientific spacecraft, nor heralded the search for truth in a laboratory and the award of an advanced degree to an emerging young scientist.
But, those involved, there is the satisfaction of having done a job well; having added to human knowledge in a close-linked research and education process. That is our story of the past year, of each year before, and of the years to come.
Total Ph.D. Awards Increase to 11 During Year
The award of doctoral degrees by home institutions of four graduate students, during the year, increased total co-operative awards involving the Southwest Center for Advanced Studies to 71.
Dr. Celma (Araujo) Hausmann, Dr. Michiko Mitani, Dr. Ling (Chu) Yu and Dr. Miguel Flores da Cunha completed dissertations requiring through research in the Biology Division. In addition, Dr. Yu has received his doctorate from the University of Texas at Austin, through research done at the Dallas Geomagnetic Center under a Visiting Scientist appointment.
Three awards have been made by The University of Texas, including one by Southwestern Medical School, and one each by Oklahoma State, Southern Methodist, and Emory Universities, in co-operation with the SCAS. The other doctoral degrees have been granted by universities outside the United States.
Total SCAS faculty remained constant at 48 as the year ended.
Four Major Satellite Launches Highlight Space Program
The year past was a most active one within our Atmospheric and Space Sciences Division, with four major launches of spacecraft experiments to interplanetary and cis-lunar space, plus probing into the sub-arctic and the equator.
In November, 1968, Pioneer D (redesignated Pioneer 9 after launch) went from Cape Kennedy, carrying cosmic radiation detectors designed by Asst. Prof. Robert A. Bukata. As with earlier cosmic radiation experiments in three Pioneers, the velocities, by division faceted, the emphasis was on anisotropy: the nonuniformity of directions from which energetic particles arrive at the Sun-orbiting spacecraft. This is interpretable in terms of the characteristics of interplanetary space. Pioneer 9's orbit about the Sun ranges between the orbits of Earth and Venus.
On June 21, IMP-C (Interplanetary Monitoring Platform C), was launched from the Western Test Range, and carried Explorer 41. This satellite carries a cosmic radiation detector designed by Asst. Prof. Frank R. Allum and Ricardo A. R. Palmieri. In addition to its data-exploration of near interplanetary space, Explorer 41 linked quite directly to the Apollo 11 flight.
The spacecraft's experiments provided real-time data, constantly updated, on radiation hazards in the Asthmabahn during their Moon-walk.
Explorer 41's section of the IMP spacecraft family to include a divisional experiment, is in a large near-polar orbit around the Earth.
One investigator had the unique task of aiming one flight experiment at another. The near-earth (in tens of miles) program of Prof. William B. Hanson developed an ion trap and ion mass spectrometer for OGOJ (Orbital Geophysical Observatory J), which had a successful polar-orbit launch on June 5. The experiments measure ionospheric properties, from the down-looking satellite, at an altitude approaching 500 miles.
The professor Hanson, who was named acting head of the division in July, and Assoc. Prof. John H. Hoffman took a payload of atmospheric instruments to Natal, Brazil, and launched the package on a Polar-A rocket on September 13. A complete series of measurements was obtained up to the altitude of the OGO experiment, suitable for comparison with its nearly horizontal series of measurements made at nearly the same time.
ISIS-1 (International Satellite for Ionospheric Studies) was launched January 30. Prof. Walter Heikkila's experiment measures incoming flux of relatively-low energy electrons and ions into the polar ionosphere in this joint U.S.-Canadian project.
Professor Heikkila also launched a series of small rockets in February at Fort Churchill, Canada, to investigate auroral effects in the ionosphere. He recovered his payloads by parachute, permitting repetitive measurements without having to build new apparatus for each launching.
The investigation and laboratory experimental program was very active during the year, and concentrated on problems and studies of planetary atmospheres and ionospheres, ion-electron recombination processes, plasma properties, and geocorona studies.
Geoscientists Seek More Answers to Earth-Structure Questions
Mineralogical assemblage, age and other properties of some of the Moon's surface rocks will be determined rather soon; it will take more time to resolve the older questions of density in our Earth's mantle structure, at depths of several hundred miles; whether the density of the lower mantle increases smoothly with depth, or by steps; and the radius of the Earth's core. These are among the unusually-interesting problems for which the Geosciences Division seeks answers while three of our faculty prepare to analyze lunar materials.
Basic to all research in the structural history of the Earth and the processes of geological time is the study of travel times of seismic waves from earthquakes, and resulting mathematical models of our planet's interior.
Models of velocity distribution in the lower mantle have been broadly confirmed within the past year by testing them against nature's products of violence: the large Chilean and Alaskan earthquakes of the past five years. Calculated periods of free oscillations, likened to the ringing of a gong but agree with them.
Prof. Mark A. Richards and Asst. Prof. Adam Dziewonski have extended methods developed for surface wave analysis to the determination of the free periods of oscillation of the Earth.
Prof. Anton L. Hales has also found, in an extension of shear-wave studies, the suggestion of a velocity change at mantle depths of 1000-1100 kilometers; but this interpretation is at the limit of resolution of the observations. Professor Hales has headed the Geosciences Division since it was formed in 1962.
Geoscientists focus much attention on the questions of continental drift: what has occurred, and is now occurring; but especially what mechanisms are involved. The properties of the upper mantle are important in the explanation of spreading centers, ridges, and cores of its low-velocity layer. Consideration that such a layer exists (60 miles deep) in the central United States has been drawn from our long-line seismic experiments ranging from Mexico to Lake Superior.
"It has been my view for some time," says Professor Hales, "that the different times of relaxation of the various regions of the interior (which differ by an order of magnitude) imply that the Earth will hardly ever be in what would truly be a steady state. On the contrary, the relative motion of blocks on the surface is dependent in the main on the properties and geometry of the zones of weakness, of which the low-velocity layer is undoubtedly one."
Developed further during the past year, scanning electron microscope studies of Cretaceous radiolarians microfossils now point to a conclusion contrary to accepted views. Assoc. Prof. Emile A. Pomeroy has found that these fossilized organisms evolved rapidly in a geological period; many species were stratigraphically short-ranging. Thus radiolaria can play an important indexing role in world-wide correlation of Cretaceous age data from such sources as the abyssal sediments of the oceans.
Other divisional studies including magnetic variation and conductivity steps in western mountains; investigations of Devonian microfossils and fossil pollens; and the association of calcification processes with organic material, continued through the year. In the field, our faculty joined in such expeditionary work as the cruise of the deep-drilling ship Glomar Challenger in both the Atlantic and the Gulf of Mexico, and in further seismic explorations of the Gulf's sedimentary lines from Mexico to Florida.
Research in Transcription Has Substantial Progress
Genetic information is stored in cells, in the form of DNA (deoxyribonucleic acid). DNA has a double function: to specify, as a library might, the chemical detail of thousands of proteins (chiefly enzymes) required for the machinery and structure of a cell; it must also be the template for an exact copy of itself, so the new cell will have its own library.
Analysis of the mechanism responsible for the first step in transfer of genetic information (transcription) has been a major effort in the Biology Division during the past year, as did studies on physical details of the genetic material.
Assoc. Prof. Hans Brenner and Asst. Prof. Karl Mueller pursued the transcription questions. In transcription, the genetic code contained in a short sequence of ribonucleotides along double-stranded DNA is read by an enzyme [ribonucleic acid (RNA) polymerase] to produce single-stranded messenger-RNA molecules.
The sequence of nucleotides along these messenger-RNA molecules is a copy of corresponding sequences in the DNA.
The rate of growth of messenger-RNA chains has been measured as 28 nucleotides per second in the virus T4, and as 55 per second in the host bacterial strain Escherichia coli B. Ultraviolet light has been shown to terminate the transcription process prematurely and to introduce shortened messenger-RNA molecules.
Asst. Prof. Karl Mueller recently applied new techniques for the visualization of DNA molecules to those developed earlier by Assoc. Prof. Dimitri Lang. These techniques allow detection of single-strand breaks in DNA and permit physical identification and measurement of localized changes that were previously indicated only in genetic experiments.
For example, a number of sites of single-strand breaks which exist in the genetic material of bacterial virus T5 can be seen on electron micrographs of the virus DNA, and can be correlated with those detected through the genetic and physiological methods used by Assoc. Prof. Yvonne Lanni. Other experiments have permitted localization of deletions of genetic material in the DNA of virus mutants.
Prof. Royston C. Clowes, who succeeded Prof. Carsten Bresch as head of the division July 1, 1968, on a one-year basis, agreed to continue in that appointment during the present year.
Lunar surface materials from the Apollo 11 flight were to come to the Geosciences Division laboratories as this report was published, for mineral assemblage analysis. Earlier, Prof. Anton L. Hales, Assoc. Prof. Adam D. MacGregor, and Research Scientist James L. Carter inspected earth-mantle and lava samples that might be similar to the forms taken from the Moon.
The Hon. Preston Smith, Governor of Texas, visited the laboratories after signing the act creating The University of Texas at Dallas, on June 13. Above, he viewed electron micrographs of genetic material and related subjects in Assoc. Prof. Dimitri Lang's laboratory. Profs. Royston C. Clowes and C. Stan Rupert were Biology Division hosts.
February 14, 1961
Chartered by State of Texas, Dr. Lloyd V. Berkner heads the then Graduate Research Center of the Southwest as President. Co-founders are Erik Jonsson, Cecil H. Green, and Eugene McDermott.
April 1, 1962
Divisions established: Atmospheric and Space Sciences, Prof. Francis S. Johnson, Head; Geosciences, Prof. Anton L. Hales, Head; and Mathematics and Mathematical Physics, Prof. Ivor Robinson, Head.
November 15, 1962
NASA Administrator James Webb announces a major three-year supporting grant for Center research at the annual membership meeting of the Dallas Citizens Council.
July 11, 1963
Dallas Geomagnetic Center buildings, constructed by Texas Instruments, deeded to the Center. Coast and Geodetic Survey (now part of Environmental Science Services Administration) begins continued operation of Standard Magnetic Observatory.
September 1, 1963
Southern Methodist University and Geosciences Division begin joint Earth sciences graduate programs.
December 16-18, 1963
International Symposium on Gravitational Collapse attracts 300 leaders in science from across free world; puts story of "quasars" into public media.
June 1, 1964
First PhD awarded to student who completed dissertation work at Center, by The University of Texas at Austin (to Dr. Joseph Zund, in mathematics).
October 4, 1964
Biology Division established; Prof. Carsten Bresch, Head.
October 29, 1964
The Hon. John Connally, Governor of Texas, formally opens the Founders Building. Activities transfer from prior sites at Southern Methodist University and the Crow-Hunt Building.
March 17, 1965
Mr. Gifford K. Johnson becomes President. Dr. Lloyd V. Berkner continues as Chairman, Board of Trustees.
TAGER (The Association for Graduate Education and Research of North Texas) organized by the Center, Southern Methodist, and Texas Christian University. Cecil H. Green is elected Board of Trustees; Dr. Jesse Hobson named Executive Director.
October 31, 1965
Dallas Founding Fund, including pledges and gifts of 584 donors, exceeds $5 million goal.
December 1, 1965
The Western Company purchases site for first industrial research laboratory in Technology Park, on the campus.
December 16, 1965
Spacecraft launch from Cape Kennedy carries Center experiment for first time (Pioneer 6, in Sun-centered interplanetary orbit).
January 16, 1966
High Magnetic Field Facility established; Prof. Lauriston C. Marshall heads facility's faculty and related materials research program.
January 19, 1966
National Institutes of Health announces major seven-year supporting grant for Center research in molecular genetics.
January 25, 1966
Prof. Francis S. Johnson named "Space Scientist of Year" by American Institute of Aeronautics and Astronautics.
February 1, 1966
Center's Fifth Anniversary program focuses on national leaders' discussion of means for meeting graduate education needs in North Central Texas, including use of television systems.
August 17, 1966
The Hon. Ben Barnes, Speaker of the House, heads a Texas legislative team visiting the Center to review programs and seek for contributions to regional graduate education.
October 1, 1966
Dr. Lloyd V. Berkner receives NASA's Public Service Medal in ceremonies at Washington, D. C.
November 9, 1966
"Our next five years are planned to give emphasis to education, while continuing to build our research base at a modest rate," says President Gifford K. Johnson in summary comment at the Annual Meeting.
January 1, 1967
Corporate name is revised to Southwest Center for Advanced Studies, previously used to designate research and teaching divisions; "Graduate Research Center of the Southwest" officially dropped.
March 1, 1967
TAGER announces plans for opening of television network for graduate education by September.
April 19, 1967
Dr. Lloyd V. Berkner receives Bowie Medal, highest honor of the American Geophysical Union, at Washington, D. C.
May 1-3, 1967
National authorities in science, business and government attend meeting of American Astronautical Society in Dallas on "Commercial Uses of Space." Program is arranged by Dr. Lloyd V. Berkner and Mr. Ross C. Peavey.
May 24, 1967
Mr. Robert W. Olson, Vice President, Special Projects, Texas Instruments, is named TAGER president, "on loan" from his institution.
May 27, 1967
House Resolution 375 adopted in 60th Texas Legislature; points out need to accelerate graduate education in science and technology in North Central Texas; calls for using to the maximum "the advantages of existing competence and resources, both public and private."
June 4, 1967
Dr. Lloyd V. Berkner dies in Washington; stricken at a meeting of the National Academy of Sciences, which he was serving as treasurer.
July 13, 1967
Fields of 100,000 gauss generated for first time at the High Magnetic Field Facility.
August 7-8, 1967
Geosciences Division conducts first Short Course for College Teachers; 30 attend, representing schools from Maine to California, Florida to Washington.
September 1, 1967
Prof. Wolfgang Rindler, Mathematics and Mathematical Physics Division, is first SCAS teacher to conduct class as TAGER begins television course transmissions, chiefly at graduate level.
October 25, 1967
Development of new opportunities to speed the buildup of graduate education in North Central Texas is expected to involve state-supported programs and the SCAS' faculty and research, says President Gifford K. Johnson at the Annual Meeting. Mr. Johnson is elected Chairman of the Board of Trustees.
March 22-23, 1968
First SCAS Chemistry Colloquium held; Dr. Charles G. Overberger, Chairman of Chemistry, University of Michigan, and past president of the American Chemical Society, speaks of great need for training in chemistry of large molecules, both natural and synthetic.
May 27, 1968
Southern Methodist Institute of Technology and Atmospheric and Space Sciences Division announce joint space sciences' graduate programs, with award of degrees "in co-operation."
June 21, 1968
Chancellor Harry Ransom, The University of Texas System, makes official announcement to the Coordinating Board, Texas College and University System, that proposals concerning the SCAS are forthcoming.
Please Turn to Page 10
1963 (October 29) Co-founder Erik Jonsson and Dr. Lloyd V. Berkner dedicated the site of the Founders Building, placing a 100-year time capsule in its foundation.
1964 (October 29) The Hon. John Connally, Governor of Texas, was a speaker at the ceremonies opening the Founders Building and marking the start of graduate education and research at the present site.
1965 (March 17, August 8) Gifford K. Johnson was named the second President of the Center; with President Willis M. Tate of Southern Methodist and Chancellor James Moody of Texas Christian, he signed the agreement for formation of The Association for Graduate Education and Research of North Texas (TAGER).
1967 (September 5) TAGER began teaching by closed-circuit television.
July 1, 1968
Prof. Royston C. Clowes named Head, Biology Division.
July 25, 1968
UT System Regents, meeting at Midland, direct Chancellor Ransom to present proposals to the Coordinating Board.
August 11-24, 1968
Prof. Francis S. Johnson serves as vice-chairman of planning study on space and space research, conducted for National Academy of Sciences' Space Science Board.
November 11, 1968
Coordinating Board holds public hearings on UT System proposals to create plans offered by Board staff and heads of North Texas State University, Texas Woman's University, and East Texas State University.
December 3, 1968
Coordinating Board recommends federation of public universities in North Central Texas; a new upper-level college for Dallas, with its own board of regents, to open in 1973; and transfer of the SCAS to The University of Texas System as a research institute "of highest order," but not as a "primarily developing unit."
December 16-20, 1968
Fourth Texas Symposium on Relativistic Astrophysics brings 485 scientists to Dallas for debate on "pulsars" and gravitational waves. SCAS, the University of Texas at Austin and American Astronomical Society are co-sponsors.
December 26-31, 1968
More than 4,000 attend Annual Meeting of American Association for Advancement of Science in Dallas; Mayor Erik Jonsson introduces chairman, Prof. Francis S. Johnson and Anton L. Hales are among leading speakers in 21 major sessions, 160 sub-sessions.
January 14, 1969
Rep. John Preston of Dallas County introduces House Bill 303 in 61st Legislature; bill provides for establishment of The University of Texas at Dallas, but restricts UT System Regents from permitting undergraduate enrollments or award of bachelor's degrees until September 1, 1975.
April 2, 1969
HB303 passes in House, by voice vote on third reading; 119-19 in two earlier ballots.
HB303 passes in Senate, by voice vote, after 27-hour debate. Senate adds amendment to sponsor Ralph Hall of Rockwall, who opposes intent of Legislature to avoid damage to programs of other universities in North Central Texas, and House concurs.
May 30, 1969
House and Senate re-pass HB303, revised at request of The Hon. Preston Smith, Governor, to limit UTD undergraduate work to junior and senior years, beginning on September 1, 1975. Graduate work may begin immediately.
June 6, 1969
Three-million dollar development program (of 1968) exceeds goal.
June 13, 1969
Governor Smith signs HB303 at the SCAS' Founders Building, in a public ceremony.
July 1, 1969
Prof. Francis S. Johnson named Acting President, The University of Texas at Dallas, and Acting President, Southwest Center for Advanced Studies, the latter effective immediately. Gifford K. Johnson remains Chairman, SCAS Board of Trustees.
August 1, 1969
Ross C. Peavey named Executive Director of TAGER.
September 1, 1969
Southwest Center for Advanced Studies becomes The University of Texas at Dallas. Excellence in Education Foundation succeeds SCAS as non-profit organization to aid graduate education; to develop further 950 acres of land, adjacent to UTD campus, and to assist otherwise in higher education development.
September 11, 1969
Final Annual Meeting held by Southwest Center for Advanced Studies' Board of Trustees and Advisory Council.
1969 (June 10) The Hon. Preston Smith, Governor of Texas, spoke at ceremonies centered on his signing of House Bill 303, establishing The University of Texas at Dallas.
Faculty and Scientific Staff
July 1, 1968 to June 30, 1969
Atmospheric and Space Sciences Division
Professor and Head
Francis S. Johnson, Ph.D.
(Appointed Acting President July 3, 1969)
Professor
William B. Hanson, Ph.D.
(Appointed Division Head, July 7, 1969)
Walter J. Heikkila, Ph.D.
Kenneth M. McCracken, Ph.D.
(Chairman to University of Adelaide, South Australia)
Associate Professors
Carl H. Bode, Ph.D.
John H. Hoffmann, Ph.D.
James E. Midgley, Ph.D.
Harold P. Patterson, Ph.D.
Assistant Professors
Frank R. Allum, Ph.D.
Robert P. Buckley, Ph.D.
Richard Hodges, Jr., Ph.D.
William H. Huggins, Ph.D.
Ricardo A. R. Palmeira, Ph.D.
Brian A. Tinsley, Ph.D.
Research Assistants
William D. Bunting, M.S.
Thomas W. Flowerday, M.S.
Ronald Roux, B.S.
Ralph T. Grimes, M.S.
Edwin P. Keath, M.S.
Sushnya Sanatani, Ph.D.
J. B. Smith, B.S.
Donald Sterling, M.S.
Ernst Tastrup, M.S.
Engineers
Richard L. Bickel, M.S.
(Supervisor, Engineering Support Group)
James C. Conwell, B.S.
James C. Cowen
(To June 2, 1969)
Nick F. Dyer, B.S.
Edward C. Lee, B.S.
Billy W. Lefan, B.S.
Charles W. McIlwatt, M.S.
Joseph F. Metzler, M.S.
Richard H. Morgan, B.S.
Floyd R. Nix, B.S.
Chester L. Shipp
Karl R. Tipple, M.S.
Richard G. Van Tyne, B.S.
Wilbur W. White, M.S.
Jack M. Younse, B.S.
Donald R. Zuccaro
Executive Officer
John W. Vanderford
Visiting Scientists
Fernando A. Alvarado, Ph.D.
(Texas Instruments)
Benjamin C. Bowers, Ph.D.
(Bishop College)
Arthur W. Green, Ph.D.
(Texas Instruments)
Ann Palm, Ph.D.
(University of California, Berkeley)
Geosciences Division
Professor and Head
Anton L. Hales, Ph.D.
Professor Emeritus
John W. Graham, Ph.D.
(Retired)
Mark Goldblatt, Ph.D.
Adjunct Professor
Eugene T. Herrin, Ph.D.
(Southern Methodist University)
Associate Professors
Charles A. Helsley, Ph.D.
Ian R. Macdonald, Ph.D.
Emile A. Pesagno, Ph.D.
(Appointment effective September 1, 1968)
Assistant Professors
Adam Dziubinski, Ph.D.
(Appointment effective June 1, 1969)
Martin Halpern, Ph.D.
William J. Massie, Ph.D.
Richard M. Mitterer, Ph.D.
Harmut Porath, Ph.D.
(Appointment effective March 1, 1969)
Dean C. Presnall, Ph.D.
Glen H. Riley, Ph.D.
James R. Stumpf, Ph.D.
Post Doctoral Research Associates
Hannes K. Brueckner, Ph.D.
Peter Durek, Ph.D.
Visiting Research Associate
Claus Proehl, Ph.D.
(U.S. Geological Survey)
Research Assistants
Selwyn Bloch, B.Sc.
(To April 25, 1969)
Jamie C. Clark, Ph.D.
(Appointment effective October 1, 1968)
Ju-Chin Chen, Ph.D.
Marcel A. Roberts, M.S.
Visiting Scientist
Yoshiko Kotake
(University of Tokyo, Japan)
Engineers
John A. Keiller
Executive Officers
D. Lee Bacon
(To July 1, 1968 to February 9, 1969)
Thomas B. Armstrong
(Febuary 10, 1969 to June 30, 1969)
David B. Edmondson
(Appointment effective July 1, 1969)
Biology Division
Professor and Head
Royston C. Clowes, D.Sc.
Professor
Walter Harm, Ph.D.
Daniel L. Harris, Ph.D.
John Jagger, Ph.D.
Claud S. Rupert, Ph.D.
Visiting Professor
Polydore Polydorakilou, Ph.D., M.D.
(Athens University, Greece)
(March 1 to May 31, 1968)
Amir H. Rizvi, Ph.D.
(Atomic Energy Center, Pakistan)
(June 16 to July 31, 1969)
Sohei Ito, Ph.D., Sc.
(Osaka University, Japan)
(July 2 to September 30, 1969)
Prof. Francis S. Johnson headed Atmospheric and Space Sciences from 1962 until his appointment as Acting President, SCAS, July 3, 1969.
Prof. Anton L. Hales has headed the Geosciences Division since 1962.
Prof. Royston C. Clowes has headed the Biology Division since July 1, 1968.
Associate Professors
Ronald B. Baughman, Ph.D.
(To University of Virginia, August 15, 1969,
as Associate Professor, Biology, and Fellow,
Center for Advanced Studies)
Harold Berg, Ph.D.
Herbert Gatz, Ph.D.
Dimitri Lang, Ph.D.
Yoshio N. Lani, M.D.
Dr. James MacCorquodale, Ph.D.
Harold Werbin, Ph.D.
Assistant Professors
Richard A. Bland, Ph.D.
(To Institut Gustave Roussy, Paris, October
1, 1969; Spring, 1970, to Institut fuer Molek-
ulare Genetik, University of Heidelberg, as
Uberlegungsleiter and Professor)
Karl Mueller, Ph.D.
(Appointment effective November 11,
1968)
Michael Patrick, Ph.D.
Philip Witzskey, Ph.D.
Research Fellows
Hideo Hirakawa, Ph.D.
(April 30, 1969)
Post Doctoral Research Associates
Peter Angerim, Ph.D.
(To May 23, 1969)
Horst Brunschede, M.D.
(To September 27, 1969)
David Creed, Ph.D.
Rubin Day, III, Ph.D.
(To September 1, 1969)
Stephen Goldman, Ph.D.
Beatriz Gomez, Ph.D.
William H. Gray, Ph.D.
Marita S. Hoffman, Ph.D.
Mitsuo Ikenaga, Ph.D.
Baba O. Kikuchi, Ph.D.
Michiko Miari, Ph.D.
Kiyoshi Mizobuchi, Ph.D.
Hajime Nishikata, Ph.D.
Nobuyuki Okada, Ph.D.
(To September 1, 1969)
Naotomasa Saito, Ph.D.
Chen-Yu Shih, Ph.D.
Derald Smith, Ph.D.
(To August 15, 1969)
Harry Trinkler, Ph.D.
(To August 23, 1969)
A. J. Varghese, Ph.D.
Research Scientist
Miguel Flores da Cunha, Ph.D.
(Appointment effective March 3, 1969)
Instrument Engineer
William J. Conklin
Executive Officer
Mrs. Jeanne M. Thweatt
Assistant Executive Officer
Mrs. Elizabeth E. Hodge
(Appointment effective October 10, 1968)
Mathematics and Mathematical Physics
Division
Director and Head
Prof. Ivor Robinson, B.A. (Cantab.)
Professors
Istvan Ozsvath, Ph.D.
Robert Rindler, Ph.D.
(Returned from leave, June 30, 1969)
Associate Professor
Michel Calen, Ph.D.
(Returned from leave, May 23, 1969)
Pion Therapy Project
Professor
Chaim Richman, Ph.D.
Associate Professor
M. R. Raju, Ph.D.
(Appointment effective October 1, 1968)
Post Doctoral Research Associates
Nabil M. Amer, Ph.D.
(To September 1, 1968)
Helge Schmid, Ph.D.
(February 1, 1969 to August 31, 1969)
High Magnetic Field Facility
Research Scientist
Gerald J. Smith, B.A.
Research Assistant
Stanley E. Monroe, B.A.
Computer Center
Director
Jack S. Donaldson, M.S.
Assistant Director
John M. Conover
(Appointment effective January 1, 1969)
Staff Assistant
Carl H. Johnson, B.A.
(Appointment effective February 1, 1969)
Systems Programming Specialist
Louis A. Miller, B.S.
Manager, Computer Services
Bob J. Capers
(Appointment effective January 1, 1969)
Financial Summary
1968-1969
Research
As illustrated in the following table, budget reductions in federal funds available during the past year resulted in decreased research activity.
| Period | Sponsored Research | Center Supported Research* | Faculty and Staff** |
|-------------------------|--------------------|----------------------------|---------------------|
| April-June, 1962 | $28,059 | $19 | |
| July, 1962-June, 1963 | 615,835 | 101,804 | 100 |
| July, 1963-June, 1964 | 1,893,286 | 446,756 | 184 |
| July, 1964-June, 1965 | 2,662,718 | 575,575 | 227 |
| July, 1965-June, 1966 | 3,551,146 | 727,490 | 342 |
| July, 1966-June, 1967 | 5,267,855 | 633,872 | 382 |
| July, 1967-June, 1968 | 5,335,723 | 600,044 | 348 |
| July, 1968-June, 1969 | 4,304,803 | 565,870 | 343 |
*Including overhead at same rate as recovered in sponsored research.
**Excludes summer students.
Operations Summary
The Center's operating expenditures and income used in operations during the year ending June 30, 1969, are compared with the year ending June 30, 1968.
| Year Ending June 30, 1969 | Year Ending June 30, 1968 |
|---------------------------|---------------------------|
| Operating Expenditures | |
| Research and educational activities | $3,619,226 | $4,621,466 |
| Administration, interest expense, etc.* | 1,774,221 | 1,926,965 |
| Total Operating Expenditures | $5,393,447 | $6,548,431 |
| Income Used | |
| Sponsored research grants and contracts | $4,304,803 | $5,335,723 |
| Private gifts | 616,669 | 924,649 |
| Rent and miscellaneous income | 283,087 | 197,071 |
| Proceeds from sale of securities and from "Gifts in Kind"b | 188,888 | 90,988 |
| Total Income Used in Operations | $5,393,447 | $6,548,431 |
*Excludes depreciation of $490,966 for year ending June 30, 1969, and of $434,174 for year ending June 30, 1968.
*bAdditional securities were sold to make payments of $1,086,550 on loan principals.
Facilities
During the year, the Center invested $148,507 in plant and equipment. The total investment in facilities at June 30, 1969, was:
| Property, Plant and Equipment at Cost | 1969 |
|---------------------------------------|------|
| Founders Building | $2,833,255 |
| North Office Building | 86,014 |
| Site Improvements | 571,996 |
| Dallas Magnetic Observatory | 49,015 |
| National Aeronautics and Space Admin. | 288,062 |
| Materials Research Laboratory | |
| Equipment | 1,990,191 |
| Land, Excluding Taxes and Interest | 3,735,611 |
| Construction in Progress | 7,495 |
*Alterations and fixed laboratory furnishings totaling $400,485 are included in equipment.
Governors and Trustees
Members of the Board of Governors
Erik JONSSON, Chairman of the Board of Governors
Mayor of the City of Dallas
Honorary Chairman of the Board
Texas Instruments Incorporated, Dallas
A. Earl CULLUM, Jr., Chairman of the Advisory Council
A. Earl Cullum, Jr., and Associates, Dallas
Cecil H. GREEN, Chairman of the Board, TAGER
Director, Texas Instruments Incorporated, Dallas
Gilford K. JOHNSON, President (To July 1, 1969)
Chairman, Board of Trustees,
Southwest Center for Advanced Studies, Dallas
Eugene McDERMOTT, Director,
Texas Instruments Incorporated, Dallas
C. A. TATUM, Jr., President
Texas Utilities Company, Dallas
Regular Members of the Board of Trustees
A. Earl CULLUM, Jr., Chairman of the Advisory Council
A. Earl Cullum, Jr., and Associates, Dallas
Fred AGNICH, Investments, Dallas
James W. ASTON, Chairman of the Board,
Republic National Bank of Dallas
L. Louis AUSTIN, Jr., President,
Texas Power & Light Co., Dallas
Louis C. BAILEY, Vice President, Texas,
Southwestern Bell Telephone Company, Dallas
Perry BASS, Fort Worth
Clay P. BEDFORD, President,
General American & Electronics,
Oakland, California
Roland S. BOND, Jr., President,
Bonds & Bonding Company, Dallas
Roy S. ROWELL, President,
Dallas Federal Savings and Loan
Association, Dallas
Dr. Malcolm R. BRACHMAN, President,
North Star Oil Company, Dallas
Col. Charles F. BURLEY (Ret.), President,
Burley Manufacturing Industries, Dallas
Col. D. H. BYRD, Dallas
Ben H. CARPENTER, Chairman of the Board,
Southland Life Insurance Company,
Fort Worth
James L. LING, Chairman of the Board and Chief
Executive Officer, Ling-Temco-Vought, Inc., Dallas
Dr. Herbert E. LONGNECKER, President,
Tulane University, New Orleans, Louisiana
Stanley MARCUS, President,
Neiman-Marcus Company, Dallas
Eugene McDERMOTT, Director,
Texas Instruments Incorporated, Dallas
Dean A. MCGEE, Chairman,
Knox-Whitaker Industries, Inc.,
Oklahoma City, Oklahoma
L. B. MEADERS, President,
Halliburton Company, Dallas
Ralph C. MOODY, President,
New Orleans, Louisiana
Dr. John D. MOSELEY, President,
Austin College, Sherman, Texas
James MOUDY, Chancellor,
Texas Christian University, Fort Worth
Dr. David W. NELSON, President,
University of Arkansas, Fayetteville, Arkansas
Dr. Grover E. MURRAY, President,
Texas Technological University, Lubbock, Texas
W. W. OWEN, Chairman of the Board,
Texas Bank & Trust Company, Dallas
Dr. Harry R. HANSOM, Chancellor,
The University of Texas at Austin, Texas
The Honorable Winthrop ROCKEFELLER, Governor,
The State of Arkansas, Little Rock, Arkansas
General Earl R. ROBINSON, President,
Texas A&M University System, College Station, Texas
Dr. Frederick SEITZ, President,
The Rockefeller Foundation, New York, New York
Allen SHREVE, President,
Austin, Texas
Dr. Julius A. STRAUS, Chairman of the Board,
The Ford Foundation, New York, New York
Dr. Willis M. TATE, President,
Southern Methodist University, Dallas
C. A. TATUM, Jr., President,
Texas Utilities Company, Dallas
Dr. Frederick E. TERMAN, President,
Foundation for Scientific Engineering,
Southern Methodist University, Dallas
Provost Emeritus, Stanford University
Dan C. WILLIAMS, Chairman of the Executive Committee,
Southland Life Insurance Company, Dallas
Advisory Council
Dr. John A. GUINN, President,
Texas Woman's University,
Denton, Texas
W. Dow HAMM, Dallas
Omar HARVEY, Branch Manager,
IBM of Texas Division, Dallas
John H. HEAD, Richardson, Texas
Dr. William B. HEROY, Jr., Group Executive,
Teleidyne Inc., Dallas
Dr. Dewey B. HEROY, Sr., Dallas
Morris H. HITE, President,
Tracy-Locke Company, Inc., Dallas, and
President, Dallas Chamber of Commerce
Vernon H. HOLCOMB,
General Counsel and Treasurer,
Interstate Circuit, Inc., Dallas
W. Howard HUNT, Jr., President,
Hunt Oil Company, Dallas
Claiborne H. JOHNSON,
Tobin Resources Company, Dallas
Edmund J. KAHL,
Oil Operator, Dallas
Dr. John J. KAMERICK, President,
North Texas State University,
Denton, Texas
John LAWRENCE,
Chairman of the Board and President,
Dresser Industries, Inc., Dallas
Herman W. LAY, Chairman,
PepsiCo, Inc., Dallas
W. L. INGLES, President,
Chesapeake & Potomac Telephone
Companies, Washington, D. C.
The Honorable Eugene M. LOCKE,
Locke, Fornell, Boren, Laney, and Neely,
Dallas
W. W. LYNCH, Chairman of the Board,
Texas Power & Light Company, Dallas
Dr. J. Ross MACDONALD, Vice President of
Corporate Research and Engineering,
Texas Instruments Incorporated, Dallas
G. I. McCLURE-GREGOR, Chairman of the Board,
Texas Utilities Company, Dallas
Edward B. MAHER, President,
Oil Capital, Dallas
Henry Neil MALLOX,
Director,
Dresser Industries, Inc., Dallas
Edward MARCUS, Chairman of the Board,
Neiman-Marcus Company, Dallas
Dr. James C. MATTHEWS, Professor of
Education, North Texas State University,
Denton, Texas
Frederick M. MAYER, Dallas
Fred M. MAYES, Director,
Product Development,
Sun Oil Company, Richardson, Texas
Avery MAYS, President,
Avery Dennison Corporation, Dallas
Dr. Abner MCCALL, President,
Baylor University, Waco, Texas
Robert McCLELLAN,
Chairman of the Executive Committee,
Ling-Temco-Vought, Inc., Dallas
Robert M. McGINNEY, Editor,
Santa Fe New Mexican,
Santa Fe, New Mexico
Dr. J. S. McNEIL, Manager,
Ford Motor Company Laboratory,
Mobil Research and Development
Corporation, Dallas
A. H. MEADOWS, Chairman of the Board,
General American Oil Company of Texas,
Dallas
Clint W. MURCHISON, Jr., Partner,
Murchison Brothers, Dallas
John D. MURCHISON, Partner,
Murchison Brothers, Dallas
Peter O'DONNELL, Jr., Investments, Dallas
Dr. William M. PEASE, President,
Texas Wesleyan College, Fort Worth
Robert W. PORTER, Attorney,
Thompson, Cook, Carothers and Irons, Dallas
Leroy T. POTTER, Chairman,
Lone Star Gas Company, Dallas
W. Dewey PRESLEY, President,
First National Bank, Dallas
John J. REDFERN, Jr., President,
Redfern Development Corporation,
Dallas
Elgin B. ROBERTSON,
Chairman of the Board,
Elgin B. Robertson, Inc., Dallas
Ralph B. ROGERS, Chairman,
Texas Industries, Inc., Dallas
Frank A. SCHULTZ,
Geological Engineering Consultant, Dallas
Morris G. SPENCER,
The Quadrangle, Dallas
Lee D. STARR, Vice President,
Group of Pennsylvania Stores,
Allied Stores, Inc., New York
Dr. Marshall T. STEEL, President,
Henderson Highway, Arkansas
(Retirement effective July 1, 1969)
John M. STEMMONS,
Industries, Inc., Corporation, Dallas
Robert H. STEWART, III,
Chairman of the Board,
First National Bank in Dallas
W. B. STRANGE, Jr.,
Vice President and General Manager,
Ling and Company, Inc., Dallas
F. J. TAYLOR, Chairman of the Board,
The Texas and Pacific Railway Company,
Dallas
Dr. Maurice L. TANTNER, Chairman,
Sterling Research Board,
Sterling Drugs, Inc., New York
Robert L. THOMPSON, Jr.,
Chairman of the Board,
Mercantile National Bank at Dallas
Leland S. TURNER, Jr.,
President and Chief Executive,
Dallas Power & Light Company, Dallas
George M. UNDERWOOD, Jr., President,
Richardson Heights, Inc.,
Richardson, Texas
Thomas C. UNIS, Attorney,
Strasburger, Price, Kelton, Martin, and Unis,
Dallas
Travis T. WALLACE, Chairman,
Great American Reserve Insurance Co.,
Dallas
J. B. WHITTENBURG, Publisher,
Amailia Globe Times, Amarillo, Texas
Watson WOOD, Tyler, Texas
Ben H. WOODS, Chairman of the Board,
Dallas Federal Savings and Loan
Association, Dallas
Sam WYLY, President,
Universal Oil Products Company, Dallas
Joseph ZEPPE, President,
Delta Drilling, Tyler, Texas
Annual Report, 1968-1969
Southwest Center for Advanced Studies
Produced by the Public Affairs Office.
Alfred W. Mitchell, Director
Patricia M. Allen, Assistant
Design and Layout:
By Horace Herron, Dallas.
Photographic Credits:
Griffith K. Johnson (page 3), Robert Hume
Photograph: Governor Smith signs HB303 (page 5), Jack Beers, Dallas Morning News; Clark Foundation students (page 6), Johnny Flynn, Dallas Morning News; IMP-C instrument, Assistant Professor, Album and Photo (page 6); United Press International Newspictures; Moon-rock "preview," Professor Hales, Associate Professor MacGregor, Research Scientist Carter (page 7), Johnnie B. Jones, Governor's Emerging Biology Division (page 7), Robert Hume; Erik Jonsson and Dr. Lloyd V. Berkner, 1963 (page 8), Dallas Morning News; Governor Connally, 1963 (page 8), Fred Conger, AGER News; Griffith K. Johnson, President Willis M. Tate and Chancellor James Moudy, 1965 (page 9), Texas Christian University News Bureau; Governor Smith and press crowd at signing of HB303 (1969), Robert Hume; Prof. Francis Johnson (page 11), Fred Conger; Prof. Anton L. Hales (page 11), Shel Hershorn/Black Star; Prof. Royston C. Clowes (page 12), Richard L. Lipscomb; Prof. Charles Richardson (page 12).
Hodges Photographers; Chancellor Ransom receives ceremonial pen set from Eugene McDermott (page 14), Robert Hume. Other photos by Mitchell.
Lithography:
By Bennett Printing Company, Dallas.
Southwest Center for Advanced Studies
|
POSTAGE METERING SYSTEM AND METHOD FOR A STAND-ALONE METER HAVING VIRTUAL METER FUNCTIONALITY
Inventors: Charles R. Malandra, Jr., Monroe; Perry A. Pierce, Darien, both of CT (US)
Assignee: Pitney Bowes Inc., Stamford, CT (US)
Notice: Under 35 U.S.C. 154(b), the term of this patent shall be extended for 0 days.
Appl. No.: 08/993,355
Filed: Dec. 18, 1997
Int. Cl. 7 G06F 17/00
U.S. Cl. 705/410; 705/401
Field of Search 705/400, 401, 705/403, 410; 395/200.3, 200.33, 200.47, 200.48, 200.49; 709/200, 203, 217, 219
References Cited
U.S. PATENT DOCUMENTS
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4,725,718 2/1988 Sansone et al. ............... 235/495
4,743,747 5/1988 Fougere et al. .................. 235/494
4,757,537 7/1988 Edelmann et al. .................. 380/51
4,760,532 7/1988 Sansone et al. .................... 705/403
4,775,246 10/1988 Edelmann et al. ............... 705/62
4,802,218 1/1989 Wright et al. ..................... 705/60
4,812,994 3/1989 Taylor et al. ..................... 705/410
4,831,555 5/1989 Sansone et al. ................... 358/1.14
4,837,701 6/1989 Sansone et al. ................... 705/404
4,853,865 8/1989 Sansone et al. .................... 705/403
4,853,961 8/1989 Pastor .......................... 713/176
4,873,645 10/1989 Hunter et al. .................... 700/231
5,142,577 8/1992 Pastor .......................... 705/62
5,377,268 12/1994 Hunter .......................... 705/63
5,448,641 9/1995 Pintsov et al. ................... 380/51
5,454,038 9/1995 Cordery et al. .................... 705/60
5,510,992 4/1996 Kara ............................. 705/408
5,606,507 2/1997 Kara ................................ 705/408
5,666,421 9/1997 Pastor et al. ................... 380/51
5,682,318 10/1997 Kara ............................ 705/402
5,682,427 10/1997 Seestrom ........................ 380/51
5,717,597 2/1998 Kara ............................. 705/408
5,742,683 4/1998 Lee et al. ........................ 705/60
5,781,438 7/1998 Lee et al. ........................ 705/404
5,793,867 8/1998 Cordery et al. ................... 705/60
5,802,175 9/1998 Kara ............................. 380/277
5,812,991 9/1998 Kara ............................. 705/410
5,819,240 10/1998 Kara ............................ 705/408
5,822,738 * 10/1998 Shah et al. .................. 705/410
5,822,739 * 10/1999 Kara .......................... 705/410
FOREIGN PATENT DOCUMENTS
11288441 * 10/1999 (JP).
OTHER PUBLICATIONS
McKenna, Patrick: "Tests for PC Postage Scheduled for Mid '97"; May 1997, DialogWeb copy, pp. 1–2.*
* cited by examiner
Primary Examiner—Emanuel Todd Voeltz
Assistant Examiner—Thomas A Dixon
(74) Attorney, Agent, or Firm—Charles R. Malandra, Jr.; Michael E. Melton
ABSTRACT
A postage metering system includes a host processor having a printer coupled thereto. A postal security device (PSD) is coupled to the host processor. The PSD includes first unique identification, first postal value storage and first digital signature generator. The host processor can request and obtain from the PSD first evidence of postage payment to be printed by the printer. The host processor can also request and obtain from a remote data center second evidence of postage payment to be printed by the printer. For each metering transaction to be printed by the printer, the host processor initiates the request for one of the first and second evidences of postage payment. In one embodiment the host processor is a general purpose computer.
24 Claims, 8 Drawing Sheets
FIG. 3
U.S. Patent Jan. 16, 2001 Sheet 4 of 8 US 6,175,826 B1
100
PRINTER
HOST PC
APPLICATION PROGRAMS 140
PC METER TOOLKIT 110
MODEM 130
PSD
104
DATA CENTER
102
U.S. Patent Jan. 16, 2001 Sheet 5 of 8 US 6,175,826 B1
FIG. 4
REMOTE CLIENT PC
SEND REQUEST TO REMOTE PSD FOR POSTAL VALUE FOR A MAILPIECE
205
AUTHORIZED REQUEST?
NO
ADVISE CLIENT PC IT IS NOT AUTHORIZED
YES
SEND REQUEST TO PSD WITH INFORMATION RECEIVED FROM REMOTE CLIENT PC
210
DISPENSE REQUESTED POSTAL VALUE INCLUDING DIGITAL SIGNATURE BASED ON REQUEST
220
SEND DIGITAL SIGNATURE AND TRANSACTION INFORMATION TO METER SERVER
225
STORING TRANSACTION INFORMATION ON METER SERVER HARD DRIVE
230
SEND DIGITAL SIGNATURE AND TRANSACTION INFORMATION TO REMOTE CLIENT PC
235
RECEIVE DIGITAL SIGNATURE AND TRANSACTION INFORMATION
240
GENERATE INDICUM BITMAP AND PRINT INDICUM INCLUDING DIGITAL SIGNATURE ON MAILPIECE
245
FIG. 5
USER REQUESTS LIST OF PSDS ON NETWORK
USER SELECTS A PSD
LOCAL PSD
YES
NO
VIRTUAL PSD
YES
NO
REQUEST ACCESS TO REMOTE PSD
CONNECT TO DATA CENTER
REQUEST ACCESS TO DATA CENTER PSD
ACCESS GRANTED
NO
REPORT ERROR
YES
REQUEST POSTAGE FROM PSD
PSD DEDUCTS POSTAGE AND GENERATES SIGNATURE
PSD SENDS TRANSACTION INFORMATION INCLUDING SIGNATURE TO REQUESTOR
REQUESTOR GENERATES AND PRINTS INDICIUM
FIG. 6
POSTAGE METERING SYSTEM AND METHOD FOR A STAND-ALONE METER HAVING VIRTUAL METER FUNCTIONALITY
FIELD OF THE INVENTION
The present invention relates generally to a postage metering system and method for printing postage indicia using a personal computer and, more particularly, to a postage metering system and method for printing postage indicia including information from a remote data center.
RELATED APPLICATIONS
The present application is related to the following U.S. patent applications Ser. Nos. 08/993,352, 08/993,353, 08/993,354, 08/993,356, 08/993,357 and 08/993,311 all filed concurrently herewith and assigned to the assignee of the present invention.
BACKGROUND OF THE INVENTION
The Information-Based Indicia Program ("IBIP") is a distributed trusted system proposed by the United States Postal Service ("USPS") to retrofit and augment existing postage meters using new technology known as information-based indicia. The program relies on digital signature techniques to produce for each envelope an indicium whose origin cannot be repudiated and content cannot be modified. IBIP is expected to support new methods of applying postage in addition to the current approach, which typically relies on a postage meter to mechanically print indicia on mailpieces. IBIP requires printing a large, high density, two-dimensional ("2-D") bar code on a mailpiece. The 2-D bar code encodes information and is signed with a digital signature.
The USPS has published draft specifications for IBIP. The INFORMATION BASED INDICIA PROGRAM (IBIP) INDICIUM SPECIFICATION, dated Jun. 13, 1996, and revised Jul. 23, 1997, ("IBIP Indicium Specification") defines the proposed requirements for a new indicium that will be applied to mail being processed using IBIP. The INFORMATION BASED INDICIA PROGRAM POSTAL SECURITY DEVICE SPECIFICATION, dated Jun. 13, 1996, and revised Jul. 23, 1997, ("IBIP PSD Specification") defines the proposed requirements for a Postal Security Device ("PSD") that will provide security services to support the creation of a new "information based" postage postmark or indicium that will be applied to mail being processed using IBIP. The INFORMATION BASED INDICIA PROGRAM HOST SYSTEM SPECIFICATION, dated Oct. 9, 1996, defines the proposed requirements for a host system element of IBIP ("IBIP Host Specification"). The specifications are collectively referred to herein as the "IBIP Specifications". IBIP includes interfacing user (user), postal and vendor infrastructures which are the system elements of the program. The INFORMATION BASED INDICIA PROGRAM KEY MANAGEMENT PLAN SPECIFICATION, dated Apr. 25, 1997, defines the generation, distribution, use and replacement of the cryptographic keys used by the USPS product/service provider and PSDs ("IBIP KMS Specification").
The user infrastructure, which resides at the user's site, comprises a PSD coupled to a host system ("Host") with printer. The PSD is a secure processor-based accounting device that dispenses and accounts for postal value stored therein.
The IBIP Indicium Specification provides requirements for the indicium that consists of both human-readable data and PDF417 bar code data. The human-readable information includes an originating address, including the 5-digit ZIP Code of the licensing post office, PSD ID/Type number, date of mailing and amount of the applied postage. The bar code region of the indicium elements includes postage amount, PSD ID, user ID, date of mailing, originating address, destination delivery point identification, ascending and descending registers and a digital signature.
An integrated mailing system is subject to open system requirements if it includes a computer interfaced to the meter and it prepares mailpiece fronts or labels that include both the destination address and the indicium. The integrated system is an open system even if different printers apply the address and the indicium. If the mailing system satisfies such criteria, the USPS considers the "meter" to be an open system peripheral device that performs the dual functions, of printing the indicia and interfacing the PSD to the Host. The integrated mailing system must be approved by the USPS according to open system criteria.
The IBIP Host Specification sets forth the requirements for a Host in an open system. The Host produces the mailpiece front including the return address (optional), the delivery address (required), the Facing Identification Mark ("FIM"), and the indicium as an integral unit. The Host may print this unit on the actual mailpiece stock or label(s) for later attachment to the mailpiece. The Host provides the user with an option to omit the FIM (e.g., when the FIM is preprinted on envelopes). The Host produces standardized addresses, including standard POSTNET delivery point bar code, for use on the mailpiece. The Host verifies each address at the time of mailpiece creation. The Host then creates the indicium and transmits it to the printer.
The IBIP Specifications define a stand-alone open metering system, referred to herein as a PC Meter or Stand-alone PC Meter. The Stand-alone PC meter has one personal computer ("PC") which operates as the Host ("Host PC"). The Host PC runs the metering application software and associated libraries (collectively referred to herein as "Host Applications" and "PC Meter Toolkit") and communicates with one or more attached PSDs. The Stand-alone PC Meter can only access PSDs coupled to the Host PC. There is no remote PSD access for the Stand-alone PC Meter.
The Stand-alone PC Meter processes transactions for dispensing postage, registration, and refill on the Host PC. Processing is performed locally between the Host and the PSD coupled thereto. Connections to a Data Center, for example for registration and refill transactions, are made locally from the Host through a local or network modem/internet connection. Accounting for debits and credits to the PSD are also performed locally, logging the transactions on the Host PC, which is the PC where the transactions are processed on and to which the PSD is attached. Thus, the accounting of funds and transaction processing are centralized on a single PC. The Host PC may accommodate more than one PSD, for example supporting one PSD per serial port. Several applications programs running on the Host PC, such as a word processor or an envelope designer, may access the Host Applications.
The IBIP Specifications do not address an IBIP open metering system on a network environment. However, the specifications do not prohibit such a network-based system. Generally, in a network environment a network Server PC controls remote printing requested by a Client PC on the network. Of course, the Client PC controls any local printing.
One version of a network metering system, referred to herein as a “virtual Meter”, has many Host PCs without any PSDs coupled thereto. The Host PC run client applications, but all PSD functions are performed on Server(s) located at a Data Center. The PSD functions at the Data Center may be performed in a secure device attached to a computer at the Data Center, or may be performed in the computer itself. The Host PCs must connect with the Data Center to process transactions such as postage dispensing, meter registration, or meter refills. Transactions are requested by the Host PC and sent to the Data Center for remote processing. The transactions are processed centrally at the Data Center and the results are returned to the Host PC. Accounting for funds and transaction processing are centralized at the Data Center. See, for example, U.S. Pat. No. 5,454,038, which is assigned to the assignee of the present invention. The Virtual Meter does not conform to all the current requirements of the IBIP Specifications. In particular, the IBIP Specifications do not permit PSD functions to be performed at the Data Center.
SUMMARY OF THE INVENTION
It has been found that an open metering system, which conforms to the IBIP Specifications, can be implemented on a conventional local or wide area network to form a “Network PC Metering System”. The Network PC Metering System includes a plurality of Client PCs operatively coupled to a Network Server PC as part of a conventional network. The Network PC Metering System is configured with at least one PSD coupled to at least one of the Client PCs, whereby authorized ones of the other Client PCs on the network can obtain postage value from a PSD that is remote from the requesting Client PC. Any Client PC may have one or more PSDs attached thereto. Each Client PC has access, if authorized, to both its own local PSD(s), if any, and any other Client PC’s PSD(s) (“remote PSDs”) in the network.
Each Client PC runs its own client metering application to dispense postage and to perform registration and refill operations. For each PSD in the Network PC Metering System, the Client PC to which the PSD is coupled controls processing transactions for dispensing postage and registration and refill of the PSD. When performing such operations, the Client PC functions as a server for the metering transaction, and is referred to herein as a “Meter Server PC”. In a preferred embodiment of the Network PC Metering System the accounting for debits and credits to the PSD and the logging of transactions are performed on the Meter Server PC. Thus, the transaction processing is performed remotely when a Client PC is accessing a remote PSD. In alternate embodiments, the logging of transactions is performed on a network server to which the Client PCs are connected (“Network Server PC”).
In the preferred embodiment, modems or internet connections for accessing the Data Center are located in the Meter Server PC. In alternate embodiments, the modem may be located in the PSD or the Client PC and the Internet connection may be in the Client PC.
There are several benefits that are realized from the present invention. One such benefit relates to the postal regulations requiring that the postage printed on a metered mailpiece must be obtained from a meter licensed from the local post office at which the mailpiece is deposited for mailing, commonly referred to as “origin of deposit” or “domain”. With a plurality of PSDs accessible over a computer network a user at a Client PC is not limited to a single PSD having a single origin of deposit or domain. For example, while most users of a network metering system located in Shelton, Connecticut may be willing to deposit their mailpieces in the Post Office in Shelton, Conn., other users may intend to deposit their mailpieces at different origins of deposit, such as Stamford, Conn. Furthermore, some of the users may be at a Client PC that is physically located in Stamford, Conn. but is connected to a network server physically located in Shelton, Conn. The present invention provides each user of a Client PC on the network with access to several PSDs having different origins of deposit.
Yet another benefit of the present invention is the ability to also access a “virtual” PSD at a Data Center for postal funds for another domain. The best example of this is a user that is located in one country, such as the United States, wanting to prepare mailpieces that will be mailed in another country, such as Canada. It is well known that postal regulations do not permit a postage meter for the other country to be present in a foreign country. However, under the present invention, the user located in, for example, in Buffalo, N.Y., may prepare and meter mailpieces that will be deposited for mailing in Canada by accessing a PSD located in Canada and then shipping the mailpieces to Canada for deposit at a Canadian Post Office. This allows the user in Buffalo to pay domestic Canadian postage rates instead of U.S. international rates to Canada.
The present invention provides a postage metering system that includes a host processor having a printer coupled thereto. A postal security device (PSD) is coupled to the host processor. The PSD includes first unique identification, first postal value storage and first digital signature generator. The host processor can request and obtain from the PSD first evidence of postage payment to be printed by the printer. The host processor can also request and obtain from a remote data center second evidence of postage payment to be printed by the printer. For each metering transaction to be printed by the printer, the host processor initiates the request for one of the first and second evidences of postage payment. In one embodiment the host processor is a general purpose computer.
DESCRIPTION OF THE DRAWINGS
The above and other objects and advantages of the present invention will be apparent upon consideration of the following detailed description, taken in conjunction with accompanying drawings, in which like reference characters refer to like parts throughout, and in which:
FIG. 1 is a block diagram of a preferred embodiment of a Network PC Metering System with PSDs couple to Client PCs in accordance with the preferred embodiment of the present invention;
FIGS. 2 (2A and 2B) are block diagrams of alternate embodiments of a Network PC Metering System with PSDs couple to Client PCs with a centralized transaction log;
FIG. 3 is a Client PC operating in stand-alone mode;
FIG. 4 is a block diagram of the preferred embodiment of a Network PC Metering System of FIG. 1 with a Client PC in Meter Server mode;
FIG. 5 is a flow chart of a Client PC accessing a remote PSD;
FIG. 6 is a flow chart of a Client PC operating as a Meter Server and a Stand-alone PC Meter; and
FIG. 7 is a block diagram of a closed system metering network in accordance with the present invention.
DETAILED DESCRIPTION OF THE PRESENT INVENTION
In describing the present invention, reference is made to the drawings, wherein there is seen in FIGS. 1–2, alternate
embodiments of a Network PC Metering System. FIG. 1 shows the preferred embodiment of the present invention. A Network PC Metering System, generally designated 10, includes a plurality (five are shown) of Client PCs 20 conventionally coupled to a Network Server 30. Each PSD 40 (two are shown) of Network PC Metering System 10 is coupled to one of Client PCs 20. Each Client PC includes a conventional personal computer system with display, keyboard, and an unsecured printer 22. (Optionally, each Client PC may access a network printer 23 connected directly to the network.) Preferably, a plurality of PSDs exists in Network PC Metering System 10, with at least one PSD 40 being coupled to several Client PCs 20. When a specific PSD 40 is accessed for a metering transaction, Client PC 20, to which the PSD 40 is attached, becomes a Meter Server PC 21 (shown within parenthesis) for the remainder of the transaction. When the PSD 40 is being accessed by the Client PC 20 to which the PSD is coupled the Client PC 20 is functioning as a stand-alone PC meter. An example of a stand-alone PC metering system is described in U.S. patent application Ser. No. 08/575,112, filed Dec. 19, 1995, which is incorporated herein in its entirety by reference.
Client PCs 20 communicate with Data Center 5 to perform postage refilling to local PSDs 40 or to access virtual PSD funds as described below.
In the preferred embodiment, the postal funds accounting and the transaction processing occur in the Meter Server PC 21. It will be understood that this is a decentralized approach concerning funds accounting and transaction accounting because each Client PC 20 having a PSD 40 attached thereto maintains accounting information (departmental accounting registers 42) and transaction information (transaction logs 44) relating to transactions occurring only at its PSD 40.
FIGS. 2A and 2B show alternate embodiments of the present invention. Network PC Metering System, generally designated 10', includes a plurality (five are shown) of Client PCs 20 conventionally coupled to a network server 30. Each PSD 40 (two are shown) of Network PC Metering System 10' is coupled to one of Client PCs 20. Each Client PC 40 includes a conventional personal computer system with display, keyboard, and an unsecured printer 22 (and/or optional network printer 23). As in the preferred embodiment, a plurality of PSDs exists in Network PC Metering System 10', with at least one PSD 40 being coupled to several Client PCs 20. When the specific PSD is accessed for a metering transaction, the Client PC 20, to which the PSD 40 is attached, becomes a Meter Server PC 21 for the remainder of the transaction (FIG. 4). In this embodiment the postal funds accounting occurs in Meter Server PC 21 when the transaction has been concluded. However, the transaction processing occurs at Network Server 30. It will be understood that this is a decentralized approach concerning funds accounting because each Client PC 20 that has a PSD 40 attached thereto maintains accounting information (accounting registers 42) relating to transactions occurring only at its PSD. However, this embodiment provides a centralized approach concerning transaction accounting because one of the Meter Servers 21 (FIG. 2A) or Network Server 30 (FIG. 2B) relating to transactions occurring at any PSD.
In the case of the virtual PSD located at Data Center 5, transaction information is stored, for example by user account, for all postage transactions occurring at the virtual PSD.
Referring again to FIGS. 1 and 2, Network PC Metering Systems 10 and 10' are configured with one or more PSDs 40 coupled to one or more Client PCs 20. In such configurations, the Client PC 20 becomes a Stand-alone PC Meter when a metering transaction is processed locally on its coupled PSD 40. When operating as a Stand-alone PC Meter, such Client PC 20 performs the previously described metering transaction, acting as both the requesting Client PC and the Meter Server PC. As a Stand-alone PC Meter, Client PC 20 can only access the PSD 40 coupled to it. There is no remote vault access when a Client PC is processing a metering transaction on the local PSD.
Referring now to FIG. 3, a Client PC 20 is shown in Stand-alone PC Meter mode, generally designated 100. Stand-alone PC Meter 100 includes Host PC 102, PSD 104 and printer 106. Stand-alone PC Meter 100 processes the functions for PSD registration, PSD refill, and postage dispensing as transactions for PSD 104. Processing is performed locally by metering software component 110 (referred to herein as “PC Meter Toolkit”) running in Host PC 102. In the preferred embodiment, PC Meter Toolkit is a Component Object Model/Distributed Component object Model (COM/DCOM) object (typically implemented as a dynamic link library (DLL) or OLE control) with interfaces to perform metering operations. One such interface maintains a list of local and remote PSDs on the network. This interface maintains a current list of all known and attached PSDs at the time it is instantiated. There is also a refresh method that Host and Client applications may use to update the list. An example of a PC metering system using a DLL with interfaces to perform metering operations is described in previously noted U.S. patent application Ser. No. 08/575,112, filed Dec. 19, 1995, which is incorporated herein in its entirety by reference. For additional information on COM/DCOM see technical white papers for Microsoft Windows NT® Server, including: DCOM Architecture; DCOM Technical Overview; and DCOM The Distributed Component Object Model, A business Overview; incorporated herein in their entirety by reference.
PC Meter Toolkit 110 includes the following components: a transaction handler, a vault interface, and a transaction log handler. Connections to the Data Center 5 can be made locally from the Stand-alone PC Meter 100 via modem 130. Accounting for debits and credits to the PSD are also performed locally, logging the transactions on the hard drive of Stand-alone PC Meter 100. In this manner, the transaction processing and funds accounting are centralized on the Client PC operating as Stand-alone PC Meter 100.
Stand-alone PC Meter 100 may accommodate more than one PSD per PC, for example, supporting one vault per serial port. Several Host or client applications programs 140, such as a word processor or an envelope designer, may access the PC Meter Toolkit 110 concurrently.
The PC Meter Toolkit 110 provides standard metering functions, such as dispensing postage, PSD refills, and PSD registration. The PC Meter Toolkit 110 resides in all Meter Servers and remote Client PCs capable of printing postage. The user of Stand-alone PC Meter 100 can access local or remote PSDs using PC Meter Toolkit 110. The PC Meter Toolkit 110 provides a list of the available PSDs from which the user selects a desired PSD for a particular transaction.
The COM/DCOM network concept provides mechanisms for a remote Client PC to gain access rights to the PC Meter Toolkit component in a PC Meter Server. Optionally, every Client PC can be given access rights to the PC Meter Server, whereby the PC Meter Server's PSD PIN (password) can be used to authorize access to postage functions in the PC Meter Server and its PSD. By default, all PSDs are consid7
ered remotely accessible by all Client PCs unless configured differently by the user. Alternatively, the list of available PSDs can be customized based on user or system filters. For example, only sharing vaults whose origin zip matches the return address of the mailpiece. In the preferred embodiment, the PSD is not active during access for authorization because PIN validation is performed by the PC Meter Server. The PC Meter Server obtains the PSD PIN from the PSD to perform validation. In an alternate embodiment, the PIN validation could occur within the PSD. This is a secure process because the PIN is stored in the PSD.
During the creation of a mailpiece, the user performs the following functions whether the PC meter is operated in stand-alone mode or network mode. The user can select CD-ROM addressing or dialup addressing (at the Data Center 5) to obtain correct addressee information. The user can choose the class of mail service (rate category) for the mailpiece. The user can select from a list of rate categories that are authorized by the Post Office. The user can view an indicium on the monitor while designing the mailpiece and print preview the mailpiece with an indicium image. PC Meter Toolkit 110 provides a method to draw the indicium image and 2D bar code before printing. The indicium may be marked as visible or invisible for display purposes. See U.S. patent application Ser. No. 08/922875, entitled METHOD FOR PREVENTING FRAUDULENT PRINTING OF A POSTAGE INDICIUM DISPLAYED ON A PERSONAL COMPUTER filed Sep. 3, 1997 and assigned to the assignee of the present invention, which discloses a method for preventing fraudulent printing of a postage indicium displayed on a personal computer. The user can change the postage amount, class of service and date of mailing. These changes are reflected in the indicium image.
PC Meter Toolkit 110 provides postal funds security because the user can not print an indicium without accounting for a debit to the PSD. Furthermore, there is no direct access to the indicium image, except through the PC Meter Toolkit transactions. The PC Meter Toolkit uses atomic transactions to tie the debit to PSD with the enabling of printing of the indicium image. The atomic transaction ensures that the debit to the PSD is complete before printing the indicium.
The transaction log stores transactions for PSD dispensing and refills. For Network PC Metering System 10, each Client PC stores the daily transaction log file for its local PSD(s). The user may select the local drive and directory path for the log file. For Network PC Metering System 10, each Client PC forwards transaction information for its local PSD(s) to Network Server 30 which stores the daily transaction log file. Once the accounting for a mailpiece transaction is completed, the client application requesting the transaction spools the mail piece corresponding to the transaction to the PC print manager for printing the indicium.
Network PC Metering System (10 or 10') has many Client PC's with or without PSD(s) attached. Each Client PC has access to both its own local PSD(s) and remote PSDs in the network. Each Client PC can run its client application to dispense postage and initiate registration and refills.
As previously stated, Network PC Metering System (10 or 10') processes transactions for dispensing postage, PSD registration, and PSD refill on the Client PC 20 where the specific PSD 40 is located. This requires the transaction processing to be performed remotely if the user is accessing a remote PSD. Modems for accessing Data Center 5 are preferably located on each Client PC 20 having a PSD 40 coupled thereto. However, a single modem may be located on the Network Server 30 instead of several modems on each Client PC 20 having a PSD 40 coupled thereto. In this manner, PSD registrations, and PSD refills are processed through Network Server 30.
The software components for the Network PC Metering System (10 or 10') include the software components for the Stand-alone PC Meter along with two additional components, listed below.
Referring now to FIG. 4, a Client PC 20 enters Meter Server PC 21 mode when another Client PC 20 on the network initiates remote access of PSD 41 through its PC Meter Toolkit 110. Meter Server PC 21 processes the functions for PSD registration, PSD refill, and postage dispensing as transactions for PSD 41. Processing is performed at Meter Server PC 21 by the previously described PC Meter Toolkit 110 residing in Meter Server 21 and at Client PC 20 by the PC Meter Toolkit 110 residing in Client PC 20.
Using a DCOM implementation, the PC Meter Toolkits 110 residing in the Client PC 20 and the Meter Server 21 operate in conjunction with each other such that the remote requesting Client PC 20 and Meter Server PC 21 operate collectively as a PC meter. The PC Meter Toolkit 110 residing in Meter Server 21 handles messages from and to the requesting Client PC 20, and handles standard metering functions, such as dispensing postage, PSD refills, and PSD registration, for PSD 41 in the same manner as when in stand-alone mode.
Referring now to FIG. 5, at step 200, Client PC 20 sends a request through its PC Meter Toolkit 110 to remote PSD 41 for postal value for a mailpiece. At step 205, Meter Server 21 determines whether the Client PC 20 is authorized to make the request. If not authorized, then at 210, Meter Server 21 responds to Client PC 20 that it is not authorized to access PSD 41. If authorized, then at step 215, Meter Server 21 processes the request through its PC Meter Toolkit 110 sends the request to PSD 41 with information received from remote Client PC 20. At step 220, PSD 41 dispenses the requested postal value including a digital signature based on the request. At step 225, PSD 41 sends the digital signature and transaction information to Meter Server 21. At step 230, Meter Server 21 through its PC Meter Toolkit 110 records the transaction information in a transaction log on its hard drive. At step 235, Meter Server 21 sends the digital signature and at least some of the transaction information to remote Client PC 20. At step 240, Client PC 20 receives the digital signature and transaction information and, at step 245, Client PC 20 generates an indicium bitmap and prints the indicium including digital signature on mailpiece.
Referring now to FIG. 6, the steps of the preferred embodiment of the present invention are shown. At step 300, a user at one of the Client PCs requests a list of available PSDs on the network. At step 305, the user selects a PSD from the list. If, at step 310, the selected PSD is a PSD local to the user's Client PC, then, at step 340, PC Meter Toolkit 110 in the user's Client PC requests a postal amount for a mailpiece from the local PSD, sending information to the PSD including addressee information and the process continues at step 350 below. If, at step 315 the user selected a virtual PSD, then, at step 320, PC Meter Toolkit 110 in the user's Client PC initiates a communication by the user's Client PC with the Data Center through modem 124. It will be understood that this communication may also be accomplished via another type of connection, such as direct
internet connection. When a communication connection is established PC Meter Toolkit 110 in the user's Client PC requests access to the virtual PSD at the Data Center. If, at step 315, the user selected a remote PSD, then at step 345, PC Meter Toolkit 110 in the user's Client PC requests access to the selected remote PSD at one of the other Client PCs.
If, at step 330, access to the requested PSD (remote or virtual) is granted, then at step 340, the request for the postal amount is received by the requested PSD. If access is not granted then, at step 335, an error is reported.
At step 350, the accessed PSD (local, remote or virtual) deducts the requested postal amount from a total postal value stored in the PSD and generates a signature using information supplied with the request including the addressee information. At step 355, the PSD sends transaction information including the signature to the requesting Client PC. At step 360, the PC Meter Toolkit 110 of the requesting Client PC generates and prints an indicium including the signature.
It will be understood that the process of selecting a local, remote or virtual PSD may be done automatically by the PC Meter Toolkit 110 of the requesting Client PC. For example, the automatic PSD selection may be based on matching the origin zip code of the PSD to the zip code of the return address of the mailpiece.
Networked Operations
Microsoft's Windows '95™ and Windows NT™ operating systems provide facilities through DCOM and other mechanisms to implement network communications. Through the use of DCOM, objects can communicate via a mechanism referred to as connection points, which can be used to implement direct communication, multi-casting (more than one client receives messages), or broadcasting (all clients receive messages). This can be done between processes on the same computer or multiple computers on a network or on the internet. Mailslots is another Windows mechanism that permits the same communications facilities. The PC Meter Toolkit 110 uses these facilities to exchange information about the location and disposition of PSDs on the network.
In operation, the PC Meter Toolkit 110 also handles messages regarding the status of PC Meter Toolkits 110 on the network. Should new PC Meter Toolkits be started on other Client PCs 20, the local PC Meter Toolkit responds with information regarding any attached PSDs 40. Should messages be received indicating that a new PC Meter Client 20 has come on-line with its own PSD(s) 40, the PC Meter Toolkit updates its list of available PSDs. Similarly, if a Client PC 20 is shutting down, messages are sent to all Client PCs indicating that any local PSDs will no longer be available. It is noted that all messages between PC Meter Toolkits 110 can be encrypted for added security, particularly those between a PC Meter Toolkit 110 and Data Center 5 since it is likely to travel over a public network.
Centralized vs. Distributed Processing On the Network
APC Metering system must account for funds for all mail pieces and refills. This requires saving transaction records in a sequential transaction log file. Both postage dispensing and refills should be kept in the same sequential file such that meter discrepancies, such as discrepancies due to meter movement between Client PCs on the network, can be reconciled. The following paragraphs summarize the impact of using centralized vs. decentralized accounting for the transaction log on a network metering system.
In a network metering configuration, if accounting for funds is summarized by a user, transactions could be logged where the user is located. This would require consolidating log files only if the user has more than one PC at which transactions can be initiated, i.e., the user moves between PCs). This method uses decentralized accounting, logging transactions on the user's PC.
If accounting for funds is summarized by a meter, transactions should be logged where the meter, i.e. the PSD, is located. This would require consolidating log files only if the PSD could be attached to any PC (PSD moves between PCs). This method uses decentralized accounting, logging transactions on the PSD's PC.
If accounting for funds is summarized by department (i.e. departments have several users that can access several PSDs), transactions must be consolidated if the logging of transactions was performed where the user is located or where the PSD is located.
An alternative to such consolidation of log files from PCs is a centralized accounting and logging of all transactions on same PC or a centralized server. Transactions would have to be sent to the Network Server PC for every mail piece, producing heavy network traffic. If the centralized server is down, or otherwise not available, then no postage dispensing or refills can occur, disabling metering capabilities over the entire network. A centralized server for Network PC Metering System is not the preferred embodiment of the present invention.
Network PC Metering Systems 10 and 10' are representative of distributed processing of the metering transaction. Network PC Metering System 10 involves local transaction processing requested by a requesting Client PC 20, and remote accounting and logging at the Meter Server PC 21, i.e., where the PSD 40 and transaction log file 44 are located. Network PC Metering System 10' involves local transaction processing by the requesting Client PC 20, remote accounting at the Meter Server PC 21, i.e., where the PSD 40 is located, and remote logging at the Network Server 30, i.e. where transaction log file 44 is located. Thus, the transaction processing is split from the accounting functionality in distributed processing. The steps of the transaction are split between different PCs of the network.
There is an advantage to configuring network metering for distributed processing, such as In Network PC Metering Systems 10 and 10'. If Network Server 30 is down, metering transactions may still be performed when Client PCs having PSDs coupled thereto operate in stand-alone mode. Furthermore, network-metering transactions may be performed even when a Client PC 20 with a PSD attached thereto is not logged on the network. For example, the Client PC not logged on the network can operate in stand-alone mode, and the Client PCs logged on the network can access other Client PCs having PSDs coupled thereto.
When a Client PC is attempting to access remote PSDs on the network, an optional prioritized list of available PSDs can be displayed to the user for selection. The prioritized ordering of the available PSDs may use the following heuristics:
1. PSDs sharing the same ZIP as the originating address of the mailpiece
2. Local PSDs (same location as the Client PC)
3. Remote PSDs sharing the same origin ZIP as the local PSDs
4. PSDs having the same three digit ZIP as items 1–3
5. Remaining PSDs
The preferred embodiment of the present invention has been described based on a Windows operating system for the Client computers. It will be understood that the present invention is suitable for use with any computer operating system. It will further be understood that although the embodiments of the present invention are described as postage metering systems, the present invention is applicable to any value metering system that includes transaction evidencing, such as monetary transactions, item transactions and information transactions.
The preferred embodiment has been described for an open system metering network. It will be understood that the present invention applies also to a closed system metering network wherein digital postage meters are used in place of the Client PCs described in the preferred embodiment. Such a closed system metering network is shown in FIG. 7. A Network Metering System, generally designated 510, includes a plurality (five are shown) of Client modules 520 conventionally coupled to a Network Server 530, such as a personal computer. The Client modules are digital printers that are dedicated to printing postage indicium. Each Client module resembles a conventional digital metering system with optional display, keyboard, and an printer 522, however, some of the Client modules do not have an accounting module or PSD attached thereto. Preferably, a plurality of PSDs 540 (two are shown) exists in Network Metering System 510, with at least one PSD 40 being coupled to several Client modules 20. The PSDs 540 are accounting modules similar to accounting units in conventional electronic postage meters. When a specific PSD 540 is accessed for a metering transaction, the Client module 520, to which the PSD 40 is attached, becomes a Meter Server 521 (shown within parenthesis) for the remainder of the transaction. When the PSD 540 is being accessed by the Client module 520 to which the PSD is coupled the Client module 520 is functioning as a conventional meter. Client modules 520 communicate with Data Center 5 to refill local PSDs 540 and to access virtual PSD funds. A more detailed description of a closed system metering network is provided in previously noted related U.S. patent application Ser. No. [E648], which is incorporated herein by reference.
The present invention has been described for credit locking meters, i.e. those with ascending and descending registers, commonly referred to as prepayment systems. It is noted, however, that the present invention is also suitable for use with current account register systems, i.e., those with only an ascending register, commonly referred to as post-payment systems.
While the present invention has been disclosed and described with reference to the embodiments thereof, it will be apparent, as noted above, that variations and modifications may be made therein. It is, thus, intended in the following claims to cover each variation and modification that falls within the true spirit and scope of the present invention.
Windows 95 and Windows NT are trademarks of Microsoft Corporation.
What is claimed is:
1. A postage metering system comprising:
a host processor including printing means coupled thereto;
a postal security device coupled to the host processor, the postal security device including first unique identification, first postal value storage means and first digital signature means;
means in the host processor for requesting and obtaining first evidence of postage payment from the postal security device, said first evidence of postage to be printed by the printing means;
means in the host processor for requesting and obtaining second evidence of postage payment from a remote data center, said second evidence of postage to be printed by the printing means; wherein for each metering transaction to be printed by the printing means the host processor initiates the request for one of the first and second evidences of postage payment.
2. The postage metering system of claim 1 wherein the host processor comprises:
means for storing transactional information for each of the first and second evidences of postage payment received from the postal security device and data center respectively.
3. The postage metering system of claim 1 wherein the host processor further comprises a general purpose computer and the printing means comprises an unsecure, non-dedicated printer.
4. The postage metering system of claim 1 wherein the printing means comprises a printer dedicated to printing postage evidencing.
5. The postage metering system of claim 1 wherein the data center determines whether the host processor is authorized to request the second evidence of postage payment.
6. The postage metering system of claim 1 wherein the host processor is coupled to a network comprising other host processors coupled to other postal secure devices, the host processor further comprising:
means for requesting and obtaining third evidence of postage payment from one of the other host processors, said third evidence of postage payment to be printed at the local client printing means.
7. The postage metering system of claim 1 wherein the postal security device generates the first evidence of postage payment including a first digital signature representing each transaction requested by the host processor to the postal security device.
8. The postage metering system of claim 7 wherein the data center includes second unique identification, second postal value storage means and second digital signature means.
9. The postage metering system of claim 8 wherein the data center generates the second evidence of postage payment including a second digital signature representing each transaction requested by the host processor to the data center.
10. A transaction evidencing system comprising:
a host processor including printing means coupled thereto;
a transaction evidencing device coupled to the host processor, the transaction evidencing device including first unique identification, first value storage means and first digital signature means;
means in the host processor for requesting and obtaining first transaction evidencing from the transaction evidencing device, said first transaction evidencing to be printed by the printing means;
means in the host processor for requesting and obtaining second transaction evidencing from a remote data center, said second transaction evidencing to be printed by the printing means; wherein for each metering transaction to be printed by the printing means the host processor initiates the request for one of the first and second transaction evidencing.
11. The transaction evidencing system of claim 10 wherein the host processor comprises:
means for storing transactional information for each of the first and second transaction evidencing received from the transaction evidencing device and data center respectively.
12. The transaction evidencing system of claim 11 wherein the host processor further comprises a general purpose computer and the printing means comprises an unsecure, non-dedicated printer.
13. The transaction evidencing system of claim 10 wherein the printing means comprises a printer dedicated to printing transaction evidencing.
14. The transaction evidencing system of claim 10 wherein the data center determines whether the host processor is authorized to request the second transaction evidencing.
15. The transaction evidencing system of claim 10 wherein the host processor is coupled to a network comprising other host processors coupled to other transaction evidencing devices, the host processor further comprising:
means for requesting and obtaining third transaction evidencing from one of the other host processors, said third transaction evidencing to be printed at the local client printing means.
16. The transaction evidencing system of claim 10 wherein the transaction evidencing device generates the first transaction evidencing including a first digital signature representing each transaction requested by the host system to the transaction evidencing device.
17. The transaction evidencing system of claim 16 wherein the data center includes second unique identification, second value storage means and second digital signature means.
18. The transaction evidencing system of claim 17 wherein the data center generates the second transaction evidencing including a second digital signature representing each transaction requested by the host system to the data center.
19. A postage metering system comprising:
a general purpose processor including means for communicating with a remote data center;
a postal security device coupled to the general purpose processor, the postal security device including first unique identification, first postal value storage means and first digital signature means, the remote data center including second unique identification, second postal value storage means and second digital signature means;
means in the general purpose processor for selectively requesting one of a first evidence of postage payment from the postal security device and a second evidence of postage payment from the remote data center;
means for printing the selected one of the first and second evidences of postage payment on a mailpiece.
20. The system of claim 19, wherein the postal security device generates the first evidence of postage payment including a first digital signature representing each transaction requested by the general purpose processor from the postal security device, and wherein the remote data center generates the second evidence of postage payment including a second digital signature representing each transaction requested by the general purpose processor from the data center; and
means in the general purpose processor for storing transactional information for each of the first and second evidences of postage payment received from the postal security device and data center respectively.
21. The postage metering system of claim 19 wherein the data center determines whether the general purpose processor is authorized to request the second evidence of postage payment.
22. The postage metering system of claim 19 wherein the general purpose processor is coupled to a network comprising other general purpose processors coupled to other postal security devices, the general purpose processor further comprising:
means for requesting and obtaining third evidence of postage payment from one of the other general purpose processors, said third evidence of postage payment to be printed at the local client printer.
23. A method for postage metering wherein a postage meter has dual modes of operation as a stand-alone meter and as a virtual meter, the method comprising the steps of: coupling a postage security device to a general purpose processor, the postal security device including first unique identification, first postal value storage means and first digital signature means;
providing means for the general purpose processor to communicate with a remote data center, the remote data center including second unique identification, second postal value storage means and second digital signature means;
selectively requesting at the general purpose processor one of a first evidence of postage payment from the postal security device and a second evidence of postage payment from the remote data center; and
printing the selected one of the first and second evidences of postage payment on a mailpiece.
24. The method of claim 23 further including the steps of: connecting the general purpose processor to a network; selectively requesting at the general purpose processor third postage evidencing from a remote postal security device coupled to another general purpose processor on the network; printing the selected third evidence of postage payment on a mailpiece.
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Crow Dog's Case: A Chapter in the Legal History of Tribal Sovereignty
Sidney Harring
CUNY School of Law
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CROW DOG'S CASE: A CHAPTER IN THE LEGAL HISTORY OF TRIBAL SOVEREIGNTY
Sidney L. Harring*
By any standard, *Ex parte Crow Dog* ranks among the most important of the foundational cases in federal Indian law. Moreover, its place in the foundation, as the most important late nineteenth century tribal sovereignty case, means *Crow Dog* has continuing importance as American Indians, lawyers and scholars call for a new federal Indian law that recognizes tribal sovereignty and a continuing nation-to-nation relationship between the United States and the Indian tribes.\(^1\) Even within this sovereignty framework, *Crow Dog* has special meaning. Its compelling story began with the killing of a Brule Sioux chief, Spotted Tail, by Crow Dog, who was later sentenced to hang for the crime. His conviction was reversed by the United States Supreme Court with a strong holding that the Brule had a sovereign right to their own law, leaving the United States courts with no jurisdiction. Felix Cohen, who very nearly originated the field of federal Indian law, refers to the case as "an extreme application of the doctrine of tribal sovereignty."\(^2\)
This characterization of the *Crow Dog* holding has always colored the case, leaving it a kind of legal atrocity, showing the "savage" quality of tribal law, and setting the stage for a succession of doctrinal devices that emphasized tribal "dependency"
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* Associate Professor of Law, School of Law, City University of New York. Fulbright Lecturer, School of Law and Administration, Institut Teknologi MARA, Malaysia, 1989-90. Research for this article was funded by a Professional Staff Congress/CUNY Faculty Research Grant, and a Rockefeller Foundation Senior Fellowship at the D'Arcy McNickle Center for the History of the American Indian, Newberry Library, Chicago.
Due to the inability of the law review staff to obtain certain archival materials cited in this article, we have relied on the author's own research and expertise to verify those materials.—Ed.
1. *Ex parte Crow Dog*, 109 U.S. 556 (1883) has been characterized along with *Worcester v. Georgia*, 6 Pet. 515 (1832) and *Talton v. Mayes*, 163 U.S. 376 (1896) as the three major "sovereignty" cases of the 19th century. C. WILKINSON, *AMERICAN INDIANS, TIME AND THE LAW* (1987). As examples of the current literature emphasizing a tribal sovereignty interpretation see Williams, *The Algebra of Indian Law: The Hard Trail of Decolonizing the White Man's Jurisprudence*, 1986 Wis. L. Rev. 219; Kronowitz, Lichtman, McSloy and Olsen, *Toward Consent and Cooperation: Reconsidering the Political Status of the Indian Nations*, 22 Harv. C.R.-R.L. L. Rev. 507 (1987), and Ball, *Constitution, Court and Indian Tribes*, 1987 Am. Bar Found. Res. J. 1.
2. F. COHEN, *HANDBOOK OF FEDERAL INDIAN LAW* 24 (1942).
at the expense of "sovereignty." Thus, while *Crow Dog* was an important victory, the case was infused with a distorted fact situation that characterized Brule law as "lawless," the killing as "red man's revenge", and the Brule Sioux as a "people without law." This characterization continues to describe the case, undermining its importance as a sovereignty decision, and undermining the whole concept of tribal sovereignty. The following analysis seeks to rehabilitate the sovereignty core of the *Crow Dog* case by showing that our contemporary understanding of both the facts and context of the case is wrong, and to show that even Felix Cohen might have been wrong in referring to the case as "extreme." On the contrary, we can show that the result was moderate and consistent with existing doctrine. Perhaps, in the same way, we can understand the modern call for tribal sovereignty as not "extreme" but as also moderate and consistent with the original history of tribal-federal relations.
As stated earlier, *Ex parte Crow Dog* reversed the conviction of Crow Dog, convicted of murder and sentenced to be hanged in the Territorial Court of South Dakota for the 1881 shooting death of his chief, Spotted Tail. The court held that following *Worcester v. Georgia*, Indian tribes enjoyed the right to their own law as an attribute of sovereignty and, therefore, the courts of the United States lacked criminal jurisdiction over crimes committed by Indians on a reservation. This result, by all accounts, aroused such a "popular outcry" that Congress reacted by enacting the Major Crimes Act of 1885 to expressly provide for federal jurisdiction over major felonies occurring among reservation Indians.³ This rendering of the story is common to all major analyses of Indian law.⁴ The case never comes to mind without at least
3. *Ex parte Crow Dog*, 109 U.S. 556 (1883); ch. 341, 23 Stat. 362, 385 (1885). The Major Crimes Act is now codified as 18 U.S.C. Sec. 153 and has been expanded to fourteen felonies from the original seven.
4. While some mention is made of *Crow Dog* in every study of Indian law, it is usually with only the briefest description of the context of the case. This often leads to a misunderstanding of its meaning, and the major casebooks accord the case very different meanings. For example, in M. Price and R. Clinton, *Law and the American Indian: Readings, Notes and Cases* (2nd ed. 1983), the case is printed on page 10, and presented with no discussion of its history at all to illustrate the basic policy choices concerning how an Indian tribe should be treated under American law, but with a two page footnote on the difficulties in implementing the Major Crimes Act. On page 78, the Major Crimes Act is presented as the product of a "standard Congress." Both discussions occur
in a chapter titled *Indians as a Protected Minority*, which is not the issue in *Crow Dog*.
The other major casebook, D. GETCHES ET AL., *CASES AND MATERIAL ON FEDERAL INDIAN LAW* (1st ed. 1979) locates the case toward the end on page 359, in its criminal jurisdiction section. It identifies the case's modern significance under a heading, "The Presumption of Tribal Jurisdiction", but also not discussing the history of the case (based on G. HYDE, *SPOTTED TAIL'S FOLK; A HISTORY OF THE BRULE SIOUX*), and similarly attributing the Major Crimes Act to "outrage" on the part of Congress and the white neighbors of the Sioux. D. GETCHES ET AL, *CASES AND MATERIAL ON FEDERAL INDIAN LAW* (2d ed. 1986) locates the case as the lead case in a section titled *Tribal Sovereignty, Federal Supremacy, and State's Rights*.
The first (1942) and third editions (1982) of F. COHEN, *HANDBOOK OF INDIAN LAW*, are replete with references to *Crow Dog*, beginning with its significance as a tribal sovereignty case, but continuously referring to it in a wide variety of doctrinal contexts.
Clinton, *Development of Criminal Jurisdiction Over Indian Lands: The Historical Perspective*, 17 ARIZ. L. REV. 951 (1975), is the best study of the legal history of Indian criminal jurisdiction and fully discusses the doctrine of *Crow Dog*, but again fails to discuss the social context of the case. *Id.* at 962-63, 981-82. The Major Crimes Act is attributed to the fact that *Crow Dog* had "aroused the ire of Congress, the Department of the Interior, and the public". *Id.* at 963, this at least acknowledges the intricate involvement of the Interior Department, more specifically the Bureau of Indian Affairs, in the process, but still overlooks their manipulation of the issue. Kickingbird, *In Our Image . . . After Our Likeness: The Drive for Assimilation of Indian Court Systems*, 13 AM. CRIM. L. REV. 675, 690-91 (1976) gives us at least a short description of the case: "Crow Dog killed another famous Sioux, Spotted Tail," but both assumes that Crow Dog himself was somehow famous (he wasn't), doesn't say that Spotted Tail was among the most important of the BIA-appointed chiefs, and that his killing was a major blow to BIA plans to force the assimilation of the Indian tribes, and again doesn't locate the historical context of the case. Congress, similarly, responded to "public pressure". *Id.*
R. BARSH & J. HENDERSON, *THE ROAD: INDIAN TRIBES AND POLITICAL LIBERTY* (1980) gives us an equally sketchy view of the context of the case, but goes far beyond the above accounts in correctly locating its significance. The reservation was to become a "legalized reformatory" and the coercive power of the criminal law was to be used to enforce that assimilationist policy. *Id.* at 86-88. V. DELORIA & C. LYTLE, *AMERICAN INDIANS, AMERICAN JUSTICE* (1983) provides us with the most extensive discussion of the case, nearly two pages including a brief discussion of the factional struggle on the Rosebud reservation, some detail on the operation of customary law in the case, Crow Dog's trial, as well as discussing the doctrinal significance of the case, ending up attributing the Major Crimes Act to "the pressure of public opinion." *Id.* at 168-70.
The case doesn't fare much better in historical studies. F. HOXIE, *A FINAL PROMISE: THE CAMPAIGN TO ASSIMILATE THE INDIANS, 1880-1920* (1984), the best study of the assimilation movement, mentions the case only in one line, in relation to the idea that the government was the guardian of the Indian tribes, and in general does not concern himself with the role of the criminal law in the assimilation process, focusing instead on schools, land policy, and a general discussion of the question of Indian citizenship. F. PRUCHA, *THE GREAT FATHER: THE UNITED STATES GOVERNMENT AND THE INDIANS* (1984) devotes five pages to a discussion of the "law for the Indians movement" including a one paragraph discussion of *Crow Dog*, attributing the Major Crimes Act to the "just consternation" caused by the decision. *Id.* at 678.
Far more appreciative of the importance of understanding the context of the *Crow Dog* case in relation to modern Indian law is P. MATHIESSEN, *IN THE SPIRIT OF CRAZY HORSE*.
an unconscious thought that the holding was based upon a murder—one in which the killer escaped punishment—perpetrating an injustice that a popular reaction caused Congress to remedy quickly. The factual confusion about the case has historically undermined the doctrine of tribal sovereignty, and is at the center of the doctrinal confusion about what the case stands for.
This analysis seeks to clarify the factual context of the case, so that a "Crow Dog doctrine" can emerge from the casebooks, asserting that Native Americans have a sovereign right to their own laws. Federal Indian law has always been and continues to be deeply rooted in history, as nineteenth century doctrines dominate current law. Similarly, nineteenth century events continue to shape current interpretations of this doctrine.
Crow Dog is important because it is a bridge between the strong but ambiguous sovereignty language of Worcester, and the complete subjugation of Indians that followed Crow Dog with the passage of the Major Crimes Act, a keystone in the development of the new "plenary power" doctrine of Kagama that put the tribes completely under the control of Congress and the American political process. The accompanying undermining of customary social control mechanisms of tribal society was a part of the weakening of not only law and social control, but also of all other traditional relationships, involving marriage, family and clan relations, the distribution of property, and social and political organization.
(1980). Mathiessen, a journalist, spends one page on the context of the killing as part of a general history of the Sioux which sets the context for the Wounded Knee uprising of 1973. Id. at 15-16.
Finally, in two important recent articles on federal Indian law, the case has been cited as an example of the racism of 19th century Indian law opinions because of racist language contained in the opinion. Williams, Algebra of Federal Indian Law: The Hard Trail of Decolonizing and Americanizing the White Man's Jurisprudence, Wis. L. Rev. 219, 266-67 (1986), and Newton, Federal Power over Indians: Its Sources, Scope, and Limitations, 132 U. OF PA. L. REV. 195, 212 (1984).
5. The plenary power doctrine begins with U.S. v. Kagama, 118 U.S. 375 (1886).
6. We are just beginning to see a renewed interest in the customary law of American Indians, a subject universally left out of "Indian law" casebooks. There is a small literature on Sioux customary law. See, Humphrey, Police and Tribal Welfare in Plains Indian Cultures, 33 J. Crim. L. & CRIMINOLOGY 147 (1942); MacLeod, Police and Punishment Among Native Americans of the Plains, J. Crim. L. & CRIMINOLOGY, 181 (1937); Provine, The Underlying Sanctions of Plains Indian Culture, in F. Eggan, SOCIAL ANTHROPOLOGY OF NORTH AMERICAN TRIBES (1955) and Deloria, Dakota Treatment of Murderers, 66 PROCEEDINGS OF THE AMERICAN PHILOSOPHICAL SOCIETY 368 (November, 1944). Currently,
A closer analysis of *Crow Dog* reveals the extension of criminal law over reservation Indians was the product of a broad national movement toward an assimilationist Indian policy. We can see clearly that the "popular outcry" does not explain either the decision to criminally prosecute Crow Dog at the outset (for under *Worcester* there should have been no prosecution), or the subsequent Major Crimes Act. Rather, analysis of primary documents shows that the Bureau of Indian Affairs cultivated *Crow Dog* as a test case (and tried to create other test cases both before and after *Crow Dog*) to gain precisely the end that was won: criminal jurisdiction over the Indian tribes.
The Bureau of Indian Affairs (BIA) had been attempting to get such jurisdiction since 1874 because BIA officials felt that they needed the coercive power of the criminal law to help force the assimilation of the Indians—the forceable application of criminal law as one painful way to learn civics.\(^7\) It is clear from primary records that beginning on the day after the killing, the BIA engaged in a systematic distortion of the facts of the case. This began with their claim that there was a popular outcry among local whites necessitating the arrest, even though the agent had immediately ordered the arrest well before the killing was even known off the reservation. The Supreme Court's reversal of the case likewise produced a clear "outcry" from BIA officials and Indian reformers, rather than from anyone else. This led to the Major Crimes Act being tacked onto the end of an annual Indian Appropriations Bill, where it produced less debate than the liquor regulations included in the same measure.\(^8\)
This action of the BIA reveals a great deal about the process of implementing the assimilationist policy which, in the early
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some lawyers and legal scholars working with Indian tribes are concerned about the issue of revitalizing customary law so that current tribal court systems might better serve Indian communities. *See* Zion, *Harmony Among the People: Torts and Indian Courts*, 45 MONT. L. REV. 265 (1984).
7. S. REP. No. 367, 43rd Congress, 1st Sess. 2 (1874). A discussion of the course of this BIA lobbying for "criminal law for the Indians" follows. It is useful to note that Barsh and Henderson attribute the same motivation to the "criminal laws for the Indians" policy, although their citations, to BIA Annual Reports for 1872 and 1889, are to quotations that refer to coercion rather than to the application of American criminal law to Indians, although the latter may certainly be inferred. BARSH & HENDERSON, *supra* note 4.
8. On the debate over the liquor measure, see CONG. REC. 892-94; 931-34; 1745-46 (1885). For the debate on the Major Crimes Act see *id.* at 934-36.
1880's, replaced the long established "treaty" policy that recognized the parallel development of two distinct nations of people (modified in the *Cherokee* cases to clearly indicate that one of those distinct nations was in "domestic dependent" status in relation to the other). By the early 1880's, policy towards American Indians had changed, reflecting the national expansionism that had provoked the last of the major Indian wars. There was no more tolerance for any notion of Indian sovereignty than there had been in Georgia during the 1830's. These Indian nations were simply in the way of white expansion; their treaty rights interfered with the Black Hills gold rush, railroad lines, and the westward expansion of agriculture.
There were few changes in federal legal doctrine in the area of criminal jurisdiction over Indians during this period. Between *Worcester* and *Crow Dog* very few cases involving criminal jurisdiction over Indian country went to the United States Supreme Court. These cases did not go to the heart of the issues decided in *Worcester* and *Crow Dog*. In the most important of these cases, *United States v. Rogers*, Chief Justice Roger Taney decided that the definition of "Indian" in Section 25 of the Indian Trade and Intercourse Act—which said that federal jurisdiction did not extend to crimes committed "by one Indian against the person or property of another Indian"—did not include white men adopted into Indian tribes. The Court, however, did not impair the sovereignty of the Indian tribes by forbidding such adoptions. Rather, they held concurrent jurisdiction: the United States did not give up its jurisdiction over its citizens when they chose to become adopted into an Indian tribe. An 1854 Attorney General's opinion clearly recognized the criminal and civil law of the Five Civilized Tribes in the Indian Territory, a legal position so deeply entrenched that it survived the Major Crimes Act and the *Kagama* decision.
*United States v. McBratney*, involved the murder of one white man by another on the Ute Reservation in Colorado. The Court held that the state had criminal jurisdiction over all lands within
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9. See Johnson v. McIntosh, 21 U.S. 542 (1823). See also Swindler, *Politics as Law: The Cherokee Cases*, 3 AM. INDIAN L. REV. 7 (1975) and Burke, *The Cherokee Cases: A Study in Law, Politics, and Morality*, 21 STAN. L. REV. 500 (1969).
10. U.S. v. Rogers, 4 How. 567 (1846), 572-73.
11. *Id.* at 573.
12. 16 Op. Att'y Gen. (1854).
the state as an attribute of state sovereignty unless the federal government specifically restricted that right upon statehood.\textsuperscript{13} This potentially threatened Indians in states that had been admitted to the union without a specific reservation of federal authority over Indians. However, the Supreme Court never intended that, and the case was never extended to Indians. It seemed to be prompted by the very real threat to law and order presented by rough whites who gravitated to Indian reservations because they were free from state authorities there. \textit{McBratney} swept that away. Since the tribes did not have jurisdiction over whites on their reservations, \textit{McBratney} did not deprive Indians of any jurisdiction. Rather, it deprived federal authorities of jurisdiction. Still, the opinion had negative consequences for the tribes because it did give the states concurrent criminal jurisdiction over reservation lands (but not over Indians).\textsuperscript{14}
The sovereign right of Indians to maintain their own law was completely intact in federal Indian law at the time of \textit{Crow Dog}, except in the removal of virtually all tribal jurisdiction over whites by both treaty and case law. Although rooted in treaties that recognized such rights, the basis of the right went much deeper to the very heart of the doctrine of sovereignty. The tribes held rights as sovereign political communities from time immemorial, with or without treaty recognition. This principle, while unrecognized by BIA administrators in the aftermath of \textit{Crow Dog}, was clearly understood by the Brule.
\textit{The Killing of Spotted Tail}
By the time a case becomes a Constitutional landmark it is often true that the significance of the events that originally gave rise
\textsuperscript{13} U.S. v. McBratney, 104 U.S. 621 (1882).
\textsuperscript{14} \textit{Id}. The logic of \textit{McBratney} is unclear. Given Marshall’s strong language describing federal responsibility for Indians, \textit{McBratney} clearly exposed Indians to depredations of local whites, who would have to be punished under local law, not federal law. This was precisely what Georgia wanted in \textit{Worcester}. The issue was not jurisdiction over Indian people, but rather the “Indian country,” the lands that the Indians needed to preserve their traditional way of life. The court narrowly held that a statute repeals any treaty provisions inconsistent with it. Thus, the federal statute creating the State of Colorado repealed any inconsistent treaty provisions, including those that gave the federal government jurisdiction over white crimes occurring on the reservation. The real issue, however, must have been the growing “law and order” concern voiced in the West about white criminals fleeing to Indian reservations.
to the case are lost. So it is with the killing of Spotted Tail, an event that reveals a great deal about late nineteenth century Brule reservation life.
The most common version of the killing, the one implicitly in the minds of readers of the decision, is best narrated by the popular historian George E. Hyde in the final chapter of *Spotted Tail's Folk: A History of the Brule Sioux*, a chapter not insignificantly titled "The Betrayal." Hyde's account, briefly summarized, is that Crow Dog, a sub-chief whom Spotted Tail had appointed a captain of the Indian police on the Rosebud reservation, was a political rival of Spotted Tail. Crow Dog was jealous of the power of the chief and greedy for the spoils of power available on the reservation. From his position as captain of the police he had openly stirred up discord over Spotted Tail's leadership and had tried, but failed, to elect as Chief a member of his faction, Yellow Hair, who was defeated two-to-one in a tribal council election.\(^{15}\)
As though this "jealous factional rivalry" issue was not enough to explain the killing, Hyde incorporated two more reasons, completely confusing this political motivation. The first was that Spotted Tail had twice removed Crow Dog from his powerful job as captain of police, leaving Crow Dog bitter over his loss of personal power. Then, as though to cover all bases, Hyde added a dispute over a woman, Light-in-the-Lodge, the wife of Medicine Bear, a cripple. Spotted Tail had taken Light-in-the-Lodge as his second wife, but Crow Dog had taken up her husband's cause as part of a deliberate effort to portray himself as the champion of ordinary Brules against the arbitrary power of Spotted Tail.
For Hyde these somewhat inconsistent personal and political reasons together led Crow Dog to assassinate his chief. On August 5, 1881, Crow Dog brought a load of wood down to the agency
\(^{15}\) G. Hyde, *Spotted Tail's Folk: A History of the Brule Sioux*, (1961) 308-36. Hyde's work is a classic example of traditional tribal histories, essentially relying on both popular and documented sources to create an "Indian history." Since Hyde does not use many footnotes, it is not always clear what his sources are for the events surrounding the killing of Spotted Tail. His acknowledgments show that he made extensive use of local historical societies. He does not, however, appear to have used the legal documents concerning the case, any BIA files, and, although he must have used the local newspaper, the *Black Hills Daily Times*, his account does not reflect it.
Another major popular history that is consistent with Hyde is Robinson, *A History of the Dakota or Sioux Indians*, South Dakota Department of History Collections 444 (1904). While the general tone of this study is far more anti-Indian than Hyde, the facts are consistent. *Id.* at 449-54.
from his camp nine miles away. He sold the wood, a major source of his income, and headed for home in mid-afternoon, just after the tribal council had broken up. He may have known that Spotted Tail would leave the council at this same time and ride two miles to his newly-built government house on the same road. As Spotted Tail rode toward him, Crow Dog stopped his buckboard and crouched low on the ground beside it as if to repair a wheel. As Spotted Tail approached within fifteen feet Crow Dog sprang up with his rifle and shot him in the side, the bullet exiting through his chest. Spotted Tail fell from his horse, rose, took a step or two toward Crow Dog and attempted to draw his pistol, but then fell dead. Crow Dog then leaped onto his buckboard and drove off at high speed toward his camp.\textsuperscript{16}
The aftermath of this account is as important as the killing, for this is where the “popular outcry” distortion first emerges. In Hyde’s account, Eagle Hawk, the current head of the Indian police, “did not dare arrest Crow Dog”. This left the acting Indian agent, Henry Lelar, to wait until the day after the murder, when the “first fury of the Sioux” had worn itself off, to call a tribal council meeting. This tribal council meeting followed Brule law and ordered an end to the trouble, sending peacemakers to both families. The families, in turn and also following Brule law, agreed to a payment of $600, eight horses, and one blanket, which Crow Dog’s people promptly paid to Spotted Tail’s people. Brule law effectively and quickly redressed the killing and restored tribal harmony, a point that even the United States Supreme Court later recognized.\textsuperscript{17}
If this account of the killing itself can be questioned using primary documents, it is even more important to see that the standard account of the process through which American criminal law was imposed on Crow Dog—and, through Crow Dog’s case and the Major Crimes Act it “prompted,” on all American Indians—can also be refuted through examination of primary documents. Once again, Hyde’s account follows the official one and is the one given in the major accounts of the \textit{Crow Dog} case in legal texts and in scholarly articles.\textsuperscript{18}
\textsuperscript{16} \textit{Hyde}, \textit{supra} note 15 at 332-34, contains the actual description of the killing.
\textsuperscript{17} \textit{Id.} at 332-34. This account of the process of customary Sioux law in the case of \textit{Crow Dog} is corroborated in an account of this settlement of the case according to customary law in the \textit{Black Hills Daily Times}, Aug. 9, 1881.
\textsuperscript{18} \textit{Getches}, \textit{supra} note 4 (2nd ed.), quotes Hyde at 271. Whether quoted or not, Hyde’s account is the one is general usage.
There was, according to Hyde, a "popular outcry". When Indian agent John Cook returned to the Rosebud on August 10, "he seems to have been contented with this [customary] settlement, but the public was now aroused and the officials in Washington demanded action at Rosebud." Accordingly, Cook "got the council to act again." Crow Dog and Black Crow, a son-in-law of Spotted Tail who was thought by Cook to be the instigator of the conspiracy, "were induced to submit to arrest and were taken in charge" by Indian police (under the authority of the agent, not the tribe). They were then sent to Fort Niobara, Nebraska, to be held for trial. Thus, the impetus for the intervention of the United States government—a fundamental change in a long recognized policy of recognizing tribal law in all cases among Indians—came not from a massive popular reaction but instead was implemented five days after the killing with the return of Agent Cook from a business trip to Chicago.\textsuperscript{19} This popular outcry argument is also often placed later in the case in the form of the massive outrage in Congress after the Supreme Court's \textit{Crow Dog} opinion, but is fundamentally incorrect there as well.\textsuperscript{20}
From the speed with which the Bureau of Indian Affairs and the Justice Department moved, they must have already developed a legal theory through which to extend American criminal law to Indians well in advance of the \textit{Crow Dog} case, and were only awaiting the fortuity of an appropriate "test case." The most immediate evidence of this sharply rebuts the "popular sentiment" explanation, occurring after August 10 and the return of Agent Cook. The National Archives contains a copy of a telegram dated three days earlier, on August 7, sent to Lelar from Fort Niobara: "I have the honor to inform you that Hollow Horn Bear has this day turned over to the C.O. [Commanding Officer] of this Post Crow Dog and Black Crow—and that they are now held here under
\textsuperscript{19} This account of Agent Cook's return to the Rosebud on Aug. 10 to be confronted with the case and ordering the arrest of Crow Dog is completely wrong. Telegrams sent that day show that it was Acting Agent Lelar who ordered the arrest. \textit{See infra} note 21. Similarly, it reports that Black Crow was "dropped when the law went to work on the case," again an error since Black Crow was held in jail until after the conviction of Crow Dog eight months later. \textit{See Hyde supra} note 15 at 334.
\textsuperscript{20} It is an impossibility to cite evidence for the non-existent, but I tried to find evidence of this "popular outcry" and failed. I checked South Dakota's two major newspapers, the \textit{Black Hills Daily Times} and the \textit{Sioux Falls Register}, as well as two major national newspapers, the \textit{Chicago Tribune} and the \textit{New York Times}, the \textit{Congressional Record}, and the BIA files on the case.
the charge of the guards."21 This document reveals that, given that the killing occurred late in the day on August 5, and that Crow Dog had fled to a remote part of the reservation, and considering the distance of perhaps twenty-five miles to Fort Niobara, Crow Dog had been arrested with all deliberate speed. It is known from trial testimony how the arrest occurred, for both Hollow Horn Bear and Acting Agent Lelar gave testimony.
According to Lelar: "I sent Eagle Hawk to arrest defendant. When he failed, I sent Hollow Horn Bear, who made the arrest." Hollow Horn Bear described the arrest in detail:
Mr. Lelar gave me a paper for the arrest of Crow Dog. Found defendant on a hill between White River and Rosebud Creek, where I made the arrest. Defendant had no clothes at the time, except a blanket, breechclout, and leggings and was on horseback. I did as I was ordered and took defendant to Fort Niobara.22
A.J. Plowman, Crow Dog’s lawyer, asked Hollow Horn Bear whether he read the “paper” to Crow Dog. Hollow Horn Bear responded that he did not read the paper but simply told Crow Dog that he “wanted him to go with me to the post” and Crow Dog assented. According to Hollow Horn Bear, Black Crow was with Crow Dog at the time and also agreed to accompany them to the post, where both were locked in the guard house.23
21. Letter from Lt. James Paddock to Henry Lelar (Aug. 7, 1881) (on file in the National Archives, Record Group No. 75; Records of the Bureau of Indian Affairs, Special Case 91). Here I should add a note on this source. I have had the National Archives, where United States Supreme Court records and BIA records are kept, the National Archives Branch in Kansas City (where old Dakota Territorial Court records are officially deposited), and the archives of the South Dakota Historical Society searched for *Crow Dog*-related material. I have about 200 pages of primary documents in my possession, including numerous letters, miscellaneous trial documents, and a copy of the Appellate Brief for *Crow Dog*.
22. *Black Hills Daily Times*, Mar. 25, 1882. Here is another note on sources: although there may have been a transcript made of the trial, none turned up in my search. Fortunately, the *Black Hills Daily Times* ran a day-to-day account of the trial, including detailed quotations of testimony from the witness stand, evidently recorded (judging from the syntax and the dropping of unnecessary words) by a shorthand stenographer in the courtroom. While this account is not “official,” it appears to be accurate. One test of this is that Crow Dog’s appeal brief contains extensive quotations of testimony that are completely consistent with the *Daily Times* account.
23. *Id.*, Mar. 25, 1882, at 1.
Although it is not clear whether Black Crow was formally arrested at that time, it is clear from the Army telegram that Lelar had ordered the arrest of Crow Dog, and that this arrest had been carried out within a day of the killing. Thus, Lelar had intervened in the process of Brule law and had immediately, in contradiction of long standing federal policy, begun formal criminal proceedings. As far as the "popular outcry" suffice to say that the local paper, the *Black Hills Daily Times* of Deadwood, first ran the story of the killing of Spotted Tail a day later, on August 8, under the headline "Spotted Tail Shot." It was an unemotional account that did not indicate any "outcry."
Given the speed of Lelar's action in contravention of federal law, the Bureau of Indian Affairs had decided to use this spectacular case to change well-established law. We find confirmation of this through a telegram to Cook one week later (on August 15) from Hugh Campbell, United States Attorney in Deadwood: "Is it desire of Indian Department that Crow Dog should be prosecuted criminally for murder of Spotted Tail? If so where are witnesses and where is Crow Dog?"
Campbell's telegram is a strangely offhand communication considering that a hundred years of treaty law were being ignored. It makes it evident that the United States Attorney, a week after the case had appeared in the local paper, had taken no interest in the case, and did not know if, or where, Crow Dog was in custody. This cannot be ordinary procedure in murder cases. But this is understood in the context of other documents. Given the slow communications of the day, decisions were being made with great speed.
Three days before, on August 12, Campbell had wired Washington for instructions:
Crow Dog, Brule Sioux Indian is reported to have killed Spotted Tail, Brule Chief, in this District about first August. Referring to article eight page two fifty six, vol. nineteen statutes at large and page three eighteen vol. eighteen statutes at large amendment to Revised Statutes twenty one forty six and sections twenty one forty six, revised statutes and the Indian amenable to U.S. laws and does the department think the court has jurisdiction
24. *Id.*, Aug. 8, 1881, at 1.
25. Telegram from Hugh Campbell, U.S. Attorney at Deadwood to Indian Agent John Cook (Aug. 15, 1881) (on file in the National Archives, Record Group 75; Records of the Bureau of Indian Affairs, Special Case 91).
and will a prosecution conflict with government policy as to treatment of Indians? Do provisions of page two fifty six, vol. nineteen statutes at large being later date control rather than section twenty one forty six Revised Statutes?26
This telegram was forwarded to the Interior Department on August 13, which responded on August 22 with a letter to the Attorney General expressing the opinion "that it is perfectly competent for the United States courts for that territory to take cognizance of the alleged murder," further requesting the Attorney General to "examine the law on the subject."
The Attorney General concurred with the Interior Department:
It seems to me entirely clear that the conclusion that you have reached is correct. The treaty between the United States and the different tribes of Sioux Indians, proclaimed February 24, 1869 /15 Statutes 635/ expressly provided in its first section that "if bad men among the Indians shall commit a wrong or depredation upon the person or property of anyone, white, black, or Indian, subject to the authority of the United States, and at peace therewith, the Indians herein named solemnly agree that they will, upon proof made to their agent and notice by him, deliver up the wrongdoer to the United States to be tried and punished according to the law.
Article 8 of the subsequent agreement with the same Indians, approved by Act of Congress, February 28, 1877, expressly provides "the provisions of the said treaty of 1868 as herein modified, shall continue in full force, and that the provisions of this agreement shall apply to any country which may hereafter be occupied by the said Indians as a home, and Congress shall by appropriate legislation secure to them an orderly government they shall be subject to the laws of the United States, and each individual shall be protected in his rights of property, person, and life."27
26. Telegram from Hugh Campbell, U.S. Attorney at Deadwood, to Attorney General (Aug. 12, 1881) (on file in the National Archives, Record Group 75; Records of the Bureau of Indian Affairs, Special Case 91).
27. Letter from Attorney General to S.J. Kirkwood, Secretary of the Interior (Aug. 13, 1881); letter from Attorney General to S.J. Kirkwood, Secretary of the Interior (Aug. 25, 1881) describing contents of Aug. 22, 1881 letter (which is not preserved). Both letters, grouped with some legal notes, are in National Archives Record Group 75, Records of the Bureau of Indian Affairs, Special Case 91.
Any person familiar with the *Crow Dog* case will immediately recognize these two treaty clauses as providing the entire basis of the government’s case in the Constitutional argument before the Supreme Court—here fully developed via intercontinental telegraph only twenty days after the killing, thirteen days after the local U.S. attorney asked for instructions, and merely ten days after that same U.S. attorney inquired of the Indian agent where the defendants and witnesses were. Furthermore, it shows that all parties were fully aware they were making new law—otherwise U.S. Attorney Campbell didn’t need to wire Washington for legal authority to try an ordinary murder case, and did not need to ask the Bureau of Indian Affairs whether they “desired prosecution”. The question remains of the origin of the case’s legal theory. We will see that it was not uncovered in the legal research of U.S. Attorney Campbell in Deadwood, but already had a short, and discredited history in the Bureau of Indian Affairs.\(^{28}\)
**The Trial of Crow Dog**
Crow Dog and Black Crow were taken to Deadwood on September 16, but only Crow Dog was ever arraigned on the murder charge. Nevertheless, Black Crow remained in jail until after the trial of Crow Dog eight months later. The failure to try Black Crow speaks to the government’s lack of evidence of a conspiracy between the two men.
By the time of the arraignment all parties were aware that they were participating in a test case, and that it was bound for the United States Supreme Court. Perhaps the clearest proof of this is that almost a month before the trial, Agent John Cook sent a telegram to the BIA, asking that they split the cost of a court stenographer because the appeal was sure to go to the Supreme Court and this cooperation would save money for both the BIA and the U.S. Attorney.\(^{29}\)
While the trial occurred in a sharply anti-Sioux climate—in the Black Hills six years after the 1876 war over this sacred Sioux Land—and took on something of the character of a frame-up,
---
28. In the Johnson Foster case, and in two Nevada and two Oregon cases occurring the year before, U.S. attorneys had attempted to subject Indians to state or federal criminal jurisdiction. See *infra* notes 67-71 and accompanying text.
29. Telegram from John Cook to “Commissioner of Indian Affairs” (February 28, 1882) (on file in the National Archives Record Group 75; Records of the Bureau of Indian Affairs, Special Case 91).
the initial newspaper reporting in the *Black Hills Daily Times*, the local Deadwood paper, was quite fair to Crow Dog. He was described as forty-eight years old, the father of eight children, and monogamous, having been married twenty-one years to his wife, Pretty Camp. The change in federal Indian policy in regards to charging Crow Dog with murder was accurately described. Similarly, the paper fully described the character of Brule tribal law, giving full credence to Crow Dog’s claim that he had settled the killing according to Sioux law:
In the Case of Crow Dog, as in all other offenses of a like nature, the relatives of the deceased and his own meet together in council, talk the damages over until they come to some agreement as to what they should be, and have an understanding as to how much property shall be given to make peace. The pipe of peace and fellowship is then smoked, and the gifts distributed, and there the matter ends in harmony and fellowship. . . .30
Since a white understanding of Sioux factionalism was at the heart of the government’s theory of the case, it is important to note elements of that understanding as reflected in both the popular press and later the government’s opening statement. Generally, the political factionalism of the reservation is widely described in anthropological literature, and turns on a distortion of traditional Indian government: a white-introduced economy of dependency and reliance on the agent for sustinence and political power produced sharp tribal divisions over how to maintain tribal identity under such conditions. This division produces a pattern of tribal disagreement not easily described, and often oversimplified in a “treaty” faction versus “traditional” faction dichotomy, with the treaty faction convinced that accommodation was the key to survival, and the traditionals opposing many of the accommodationist actions.31
We can see something of this oversimplification in conflicting images of Spotted Tail, a chief who drew his power from government recognition, and who had kept his people at peace through
---
30. *Black Hills Daily Times*, Sept. 16, 1881.
31. See generally Berkhofe, Jr., *Faith and Factionalism Among the Senecas: Theory and Ethnohistory*, XII *Ethnohistory* 99 (1965); Clifton, *Factional Conflict and the Indian Community: The Prairie Potawotomie Case*, in N. Levine & N. Lurie, *The American Indian Today* (1973).
the Great Sioux Wars of 1868 and 1876. Under the headline, "Spots Pleasantries" the *Daily Times* ran an account of his chieftanship four days after his killing, quoting Major A.D. Burt of the U.S. Army who allegedly knew Spotted Tail well:
He was a great chief and statesman among his people. He was strikingly handsome and manly, and a great friend of peace, but given to absolute authority over his minor chiefs. He was never timid, but was polite in his course towards the white. . . . He brooked no opposition to his commands and the fight probably arose from Old Spot's aggressiveness, he wanted no opposition from any of his people. He was fond of slipping out on the streets of his village with his Winchester rifle over his shoulder and was liable to command Mr. Red Dog, Mr. Rain-in-the-Sky, Mr. Crow Dog, or any other chief, to do so and so, and if the gentle savage opposed the old man's wishes, "Spot" would quietly cock his rifle, suggest that the order was not only quite imperative but the eyes of the Great Spirit were upon him and a little more delay might open to him a beautiful vista of the happy hunting ground. . . . General Crook selected Spotted Tail [to be sergeant in his famous corralling of Crazy Horse] because of the determination of his character and power to control this vicious element among his people.32
This matter-of-fact and utilitarian view of Spotted Tail, and the nature of his exercise of power, is broadly consistent with Hyde, but less favorably presented. It is illustrative of the nature of the power of chiefs under the reservation system. Spotted Tail's rule was complex and not easily described in white political terms: his power was no longer derived from the traditional consensus model of the selection of Brule chiefs, but, at least in part, derived from the army and the Indian agent. Lacking complete legitimacy, Spotted Tail had to rely on a great deal of coercion and political maneuvering to maintain his authority. His appointment of Crow Dog as a captain of police was a necessary compromise made to include opposition sub-chiefs in his tribal government. But Spotted Tail had often enraged agents by his independent course. At the time of his death, he was something of a pariah among Indian reformers in the Eastern U.S. because, on a visit to the Carlisle Indian School in June of 1880, he had become enraged at the
32. Black Hills Daily Times, Aug. 9, 1881.
treatment of his children there and had taken them back to the Rosebud. This was a major setback for the reformers, because of the belief that effective assimilation required the removal of Indian children to such schools. As a result, Spotted Tail was portrayed as violent and savage by the Eastern press. He had successfully stopped the construction of a railroad across the reservation, but at the time of his death was preparing for another trip to Washington to discuss railroad leases, another fact that had encouraged a rising level of dissent among his opponents.\textsuperscript{33}
This view of Spotted Tail — full of contradictions and colored by his difficulty in governing without traditional consensus—was quite different than the picture painted by the prosecution in its opening statement:
Deceased was chief of the Brule Sioux . . . by reason of a proclamation emanating [sic] from General Crook in 1876. He devoted himself and his utmost energy to an observance of all the treaty stipulations to be observed by his people. To this policy exception was taken by the more war-like element of the tribe, which faction became bitter and quite openly in defiance of the authority of the chief. A leading spirit in this faction was the defendant, Crow Dog. Each succeeding controversy became more bitter—finally to result in the death of the deceased. Attempts were frequently made to heal these differences, one step to this end being the appointment of the defendant as chief of police. Upon his refusal to abstain from further feuds defendant was dismissed from such service.\textsuperscript{34}
The prosecutor presented his version of the events on the day of the murder, the same view later given by Hyde and the one since incorporated into the lawbooks. It is important to note that this image of Spotted Tail and Crow Dog was specifically put in the context of the Indian wars, with Crow Dog presented as a member of a faction favoring a continuation of the wars. In Deadwood in 1882 this must have had some impact on the jury.
It is conceivable that much of the trial was lost by the time the jury was selected, for there was no way to adequately control the strong anti-Indian prejudice prevalent in Dakota Territory at the time. When Crow Dog’s court-appointed defense attorney, A.J. Plowman, asked one juror whether he could let the testimony
\textsuperscript{33} HYDE, \textit{supra} note 15 at 321-325.
\textsuperscript{34} Black Hills Daily Times, Mar. 17, 1882.
of an Indian outweigh the testimony of a white, he got an honest answer: "I could not. The testimony of one white man would go further with me than that of a hundred Indians." Juror George Ayers was asked if he had any fights with Indians. "I never have," he responded, "but I have been pretty badly scared by them." The jury was empanelled in a few hours.\textsuperscript{35}
There were no surprises in the government's case, which was competently, but not brilliantly presented. It is not insignificant that their lead witness was not any of the eye-witnesses to the killing, but Agent John Cook, who had been in Chicago on private business when the killing occurred. He testified concerning the political factionalism prevalent at Rosebud, and about Crow Dog's role in undermining the authority of Spotted Tail.
Then He Dog testified, a political ally of Spotted Tail who had been riding beside and slightly behind Spotted Tail. He provided the factual basis of the government's case. He Dog was followed by Spotted Tail's brother-in-law Kills on Horseback, another eyewitness who gave the same testimony supporting Crow Dog's guilt. They were followed by Chasing Hawk, Ring Thunder, Spotted Tail Jr., Windy Horse, Hills Mother (Spotted Tail's wife), Henry Lelar, Stinking Foot, Thigh, Reverend William J. Cleveland (who had officiated at Spotted Tail's funeral), High Bear, Calls-on-People, and Iron Wing. Most of this testimony was insignificant, generally serving the function of establishing that Crow Dog was present near the council house at the time of the killing. Many of the above were re-called, however, in anticipation of Crow Dog's claim of self-defense, testifying they had not seen Spotted Tail draw his pistol before the shooting. Even so, the prosecutor's case took only a day and a half.\textsuperscript{36}
The defense was straightforward as Plowman outlined in his opening statement, and was based on a sharply different interpretation of the facts. As Spotted Tail approached Crow Dog's wagon, Crow Dog's wife Pretty Camp called to Crow Dog, who was on the ground repairing the wagon. When he looked up he saw Spotted Tail drawing a pistol. Crow Dog seized his rifle at the same time and fired—displaying a classic case of self defense.
A whole day was taken from the jury to decide the legal issue of whether under territorial law a wife could testify either for
\textsuperscript{35} \textit{Id.}, Mar. 17, 1882.
\textsuperscript{36} \textit{Id.}, Mar. 17, 1882 & Mar. 18, 1882.
or against her husband, a rule in conflict with federal law. After losing a request to permit Pretty Camp to testify, Plowman tried an tactic inconsistent with his position that Brule law governed this case: he argued that Pretty Camp and Crow Dog were not legally married, because their traditional wedding had never been formalized under territorial law.
The judge held that since the prosecution sought to exclude the testimony, the burden was on the prosecution to prove Crow Dog and Pretty Camp were married. The prosecution called Hollow Horn Bear, who had arrested Crow Dog. Hollow Horn Bear testified that he had been at their wedding when he was a child of nine years. Henry Lelar, chief clerk of the reservation, testified that Pretty Camp was carried on the agency’s rolls as Crow Dog’s wife. The court ruled Pretty Camp was Crow Dog’s wife and not competent to testify.\(^{37}\)
Plowman then called Brave Bear and asked, “Are you acquainted with the local laws and customs of the Brule tribe, for the punishment of offenses?” When the prosecution objected, Plowman explained that he intended to use the witness to show that Brule Sioux law was recognized by treaty and that Crow Dog had been “arraigned in keeping with custom, duly tried, and subjected to the penalties of such tribal laws.” The court sustained the prosecution’s objection, and the witness retired. Thus, the defense had raised the customary law issue, in the context of a “double-jeopardy argument,” but was not allowed to present evidence on the issue.
Plowman then called Crow Dog, who told his own simple but eloquent story of the killing, recorded in the choppy syntax of a newspaper reporter’s notes:
I knew the deceased, Spotted Tail. I shot and killed Spotted Tail. Arrived at the scene of the tragedy on a wagon in company with my wife and child. There was no box on the wagon—two loose boards spanning the space between the boulsters. One of these had worked forward and dropped to the ground. Had got off to fix it. Had gone to horses to unwind a line when a person approached at a gallop, from the direction of the council lodge whom I recognized as Spotted Tail. [He] checked his horse into a walk. As he approached seemed to be searching
\(^{37}\) Most of the day of Monday, March 20 was spent on the Pretty Camp motion. *Id.*, Mar. 21, 1882.
for weapon in the vicinity of his hip. My wife said something which I did not understand. Saw from the facial expression of Spotted Tail that trouble was on hand. Deceased halted—drew his pistol—levelled it at me when I fired and killed him. [I] run around the wagon and was putting another cartridge—thinking I had missed him—when Iron Wing caught hold of me... I shot him without taking aim from a distance of fifteen feet. I was standing on the ground, my heart beating violently, as I was sure from demeanor of deceased that the time had come.\textsuperscript{38}
Crow Dog admitted that there was hostility between himself and Spotted Tail but denied threatening to kill him. He was asked his relationship with Pretty Camp and admitted being married to her for twenty-one years. Finally, Crow Dog testified that at Spotted Tail’s insistence he had been twice-removed as captain of police, the last time by the agent who had said he must “make up with Spotted Tail.”
Deprived of Pretty Camp’s eyewitness account (which is preserved in affidavit form and corroborates Crow Dog’s testimony), Plowman recalled a number of Brules who had earlier testified to testify to Spotted Tail’s violent character. Brave Bull testified that Chasing Hawk, an eyewitness, had said to him: “Old man, I am going to tell you something. Spotted Tail had a pistol and I know it well, and if Crow Dog had not been quick Spotted Tail would have killed Crow Dog.” Brave Bull further testified that Spotted Tail’s reputation was “not good. I never knew any good of him.”\textsuperscript{39}
Eagle Hawk, a member of the police force, then testified as having the same conversation with Chasing Hawk on a different occasion: “He said that Spotted Tail had a pistol and that he saw it; that he was going over to the Black Hills [to the trial] to testify and that he proposed to tell the truth about it this time; that we had agreed to tell the same story at the previous hearing, but he had made a fool of himself and told nothing concerning the pistol... that he saw it lying beside the body of the deceased. I had another conversation with Thunder Hawk on the court house steps, last Friday night, in which he stated that he had not testified as he had said he would testify — that it was too late to rectify.”
\textsuperscript{38} \textit{Id.} Crow Dog testified at the end of the day on Monday, Mar. 20, 1882.
\textsuperscript{39} \textit{Id.}, Mar. 21, 1882.
Thunder Hawk was then called and corroborated "the material points of the conversation." This unsettling evidence of perjury ended the defense case.\textsuperscript{40}
The prosecution then tried to recall Crow Dog in rebuttal, but Plowman objected. Brave Bull was then recalled and testified as to a conversation that he had had with Hollow Horn Bear at the sawmill where he had criticized Hollow Horn Bear for his "interference" in arresting Crow Dog. Brave Bull testified he had said "that [Hollow Horn Bear's] interference was like three white men standing there, one of whom should turn his back when one of the two would kill the other." Hollow Horn Bear was recalled to testify to the circumstances of Crow Dog's arrest.
Acting Agent Henry Lelar testified that Spotted Tail's reputation was "good. He was ever on the side of law and order, and was faithful in his observance of treaty stipulations." Plowman asked Lelar if he had heard that Spotted Tail had killed Big Mouth. Lelar responded that he had heard the story, but that they both were drunk at the time. H.L. Deer, John Cook, and Colonel Steele ended the prosecution's rebuttal, all testifying to the law-abiding character of Spotted Tail. On the character evidence of these three white men (no Brule was called by the prosecution to testify on Spotted Tail's character), the trial ended on the afternoon of the fifth day. The balance of the day was taken up with Plowman's argument that the court had no jurisdiction over crimes among the Brule. Here Plowman presented a competent argument based on existing federal Indian law.\textsuperscript{41} Plowman lost this jurisdictional argument, but it is doubtful that he ever had a chance.
In his summary Plowman used the evidence to great effect in attacking the prosecution case, and to support his self defense argument. Concerning the plot to replace Spotted Tail as Chief with Black Crow, Plowman reminded the jury that a council meeting had been held on that very question with the agent attending, hence it was hardly as secretive and evil as the prosecution intimated. Plowman then asked a series of rhetorical questions: If Spotted Tail was unarmed why did Crow Dog run around to the rear of the wagon after firing? If Spotted Tail did not stop his horse, how come that horse remained standing after the shooting? If Crow Dog was plotting to kill the deceased, why
\textsuperscript{40} \textit{Id.}, Mar. 22, 1882. The defense also took only two days to present their case, including most of one day on the Pretty Camp motion.
\textsuperscript{41} \textit{Id.}, Mar. 23, 1882.
did he bring his wife and child along? Plowman ended with a plea not for mercy but for simple justice, asking jurors to put away their prejudices. Nor did he drop his reference to the now legally lost customary law issue. Having failed to convince the judge, he tried it on the jury:
The race to which the defendant belongs has been driven east and west until here they are a mere remnant. Not only has his property been taken from him, but now we would cap the climax of his degradation and take away his local laws and customs for the trial of offenses and place him upon trial under laws in the making of which he has had no voice. It was upon the transcending of this God-given right that our forefathers made war upon the mother country.\(^{42}\)
The jury retired after judges’ instructions about 6:00 p.m. and returned a guilty verdict at 9:15 a.m. the next day, indicating that they did not have much difficulty reaching agreement. The judge thanked the jury, remarking that their verdict was in keeping with the evidence, and that he did not see how they could have decided any other way. Plowman gave notice of a motion for a new trial, pointing out that the defendant had no funds for an appeal. The judge, prosecutor, and Agent Cook promised to do their utmost to help Plowman raise money and to petition the BIA for funds. The next week Judge Moody sentenced Crow Dog to death by hanging. Surely it was not a coincidence that three days after the March 22 conviction of Crow Dog, Black Crow was discharged, no bill having been found by the Grand Jury. Black Crow had been held in custody nearly eight months.\(^{43}\)
The *Crow Dog* case remained to go on appeal to the United States Supreme Court. In order to go up as a test case there had to be a conviction. But the conviction left much local uneasiness, further undermining the “local outrage” position. The *Black Hills Daily Times* noted: “We have conversed with a good many sensible people devoid of prejudice and feeling, and where we found one who approved of the verdict, a dozen equally as good men would
\(^{42}\) *Id.*, Mar. 24, 1882.
\(^{43}\) *Id.*, Mar. 25, 1882. After Crow Dog was sentenced to hang, the court allowed him to return to the Rosebud to get his affairs in order. On the day he had agreed on, he drove himself back to prison, accompanied by Pretty Camp. *Matthieson*, *supra* note 4, at 16. This account is also found in V. *Deloria & C. Little*, *supra* note 4, at 169. It does not appear in the *Daily Times*.
disapprove it in the strongest terms... The verdict... was received with great surprise by the entire community who had from the evidence believed that either acquittal or possible manslaughter would be the result." Simply put, the government had not proven its case, and the jury had uncritically accepted the agent's version of the case on faith, in the context of local prejudice.
Yet, this is not the end of the "evidence" in the case. In the context of the Rosebud reservation — defeated, divided, occupied by the cavalry, and on a war-footing — a strong argument can be made that only Brule law could fully try the case. A handful of Indians were transported half-way across Dakota Territory to stand in the hallways of the courthouse in Deadwood waiting to tell, through an interpreter, what they knew about an event that whites had to convert into cultural patterns that white justice could understand. Hence, it was never possible to reconstruct the facts inside the Deadwood courtroom, because the facts were culturally determined.
By the time the case reached Washington, Plowman had assembled a sheaf of affidavits which, while tending to show that the "facts" of the case contained a good deal of fiction, were only of marginal use in a Supreme Court argument that turned on matters of law rather than fact. An affidavit of William Garnett, a half-blood Sioux who had served as the official interpreter, stated that based on his acquaintance with the Brule and his background knowledge, his "firm belief was that most of the evidence given by Indian witnesses for the prosecution were untruths and exaggerations." Valentine T. McGillycuddy, Indian Agent at the neighboring Pine Ridge Reservation, stated in his affidavit that, first, bribery and intimidation were used with witnesses against Crow Dog at the trial; and, second, that he had no doubt that Spotted Tail was fully armed at the time of his death and that it was "merely a matter of chance at to which should be killed first." William Henry Wright, a reporter of the *Black Hills Daily Times*, stated that he had interviewed an Indian woman called "Woman that Carries the Shield", who was the fourth person to arrive on the scene of the killing. She stated that Spotted Tail had had a pistol and that High Bear's wife had taken it and given it to young Spotted Tail. She also stated that when Hollow Horn Bear, He Dog, and Charley Jacket came back from Deadwood, Spotted Tail Jr. had
44. *Black Hills Daily Times*, Mar. 25, 1882.
given them each a horse for proving that Spotted Tail had no pistol. Bear’s Head told affiant that he was afraid to testify about the killing of Spotted Tail because he was afraid of Spotted Tail Jr. Wright further stated that many Indians told him that Spotted Tail Jr. called a council the night after Spotted Tail was killed and told his people that they must all swear that his father was unarmed.\textsuperscript{45}
It is questionable how much of this testimony was legally admissible, because the affidavits contained hearsay evidence. However, that is not the point here. Rather, all of this evidentiary confusion shows the injustice of imposing one system of law on an existing system of law and out of that injustice flows the impossibility of producing an accurate rendering of facts, or of fairly judging the evidence.
\textit{The Appeal of Crow Dog}
There is an inherent distortion of the legal process that emanates from simply studying appellate cases. The appeal of \textit{Crow Dog} makes this point very clearly. While there are important doctrinal questions involved, most of the remaining correspondence concerning the case concerns the financing of the appeal, a significant problem in a case involving an indigent defendant in the days before any form of legal aid. What is perhaps remarkable, and underscores the significance of this as a test case, is that the trial lawyer, the U.S. Marshall, the U.S. Attorney, the Indian Agent, the BIA, the Secretary of the Interior, and the Justice Department all engaged in a concerted effort to ensure adequate financing of the appeal. They also were instrumental in getting the United States Congress to pass a special appropriation of $1,000 to finance the appeal — out of the $10,000 that defense attorney Plowman argued was a reasonable fee for his work. This action testifies to the government’s assessment of the importance of \textit{Crow Dog} as a test case, and not particularly to any humanitarian concern for the life of \textit{Crow Dog}.
It is clear that from the moment of the conviction of \textit{Crow Dog} that the BIA was willing to invest its resources in pushing the case speedily forward on appeal. On March 29, the day after
\textsuperscript{45} These quotations from affidavits come from a small sheaf of affidavits from the file, “Crow Dog Trial and Related Papers, Folder #3: Affidavits, 1883” from the Archives of the South Dakota State Historical Society, (Pierre, S.D.). All are quoted from, except one from Brave Bull that further testifies to Spotted Tail having a pistol in his hand.
Crow Dog was sentenced to hang, Attorney Plowman wrote Samuel Kirkwood, Secretary of the Interior, to ask for money for the appeal:
Sir:
The trial of Crow Dog, a Sioux Indian indicted in the First District Court of Dakota Territory for the killing of Spotted Tail, also an Indian, had just resulted in a verdict of guilty of murder.
This is the first reported case where the United States has prosecuted one Indian for an offense committed upon another Indian and was brought under the provisions of the treaties made by the United States with the Sioux Nation of Indians, Statutes at Large, vol. 15, p. 635 and vol. 19, p. 254...
In view of this being the first case of the kind it is very much desired that the questions of law be passed upon by the Supreme Court, but the defendant is poor and unable to pay counsel in the costs necessary to make a review of the case. I therefore in behalf of the defendant respectfully apply to your department for the necessary funds...
Plowman added as a postscript that Crow Dog had been sentenced to be executed, a matter evidently not as important at the doctrinal question. Further, Plowman’s letter enclosed with it a letter from A.S. Stewart, foreman of the jury, supporting Plowman’s request for funds. Perhaps, more revealing, Stewart’s letter indicates that the jury was unsettled about the state of the law relating to federal jurisdiction over the Sioux but had felt unable to consider the question because it was a matter of law to be decided by the judge.\(^{46}\)
The Secretary of the Interior was not especially sympathetic. He sent both letters on to the Commissioner of Indian Affairs stating that, while he appreciated the importance of the matter, the Department had no money for such purposes. However, the Commissioner of Indian Affairs, Henry Price, the federal official
\(^{46}\) Letter from Plowman to Secretary of Interior (Mar. 29, 1882) (on file in the National Archives, Record Group 75, Records of the Bureau of Indian Affairs, Special Case 91). There is no intent to be sarcastic by attributing meaning to Plowman’s addition that Crow Dog was sentenced to hang as a p.s., after a long discussion of first doctrine, and then, money. However, it is also appropriate to say that there is not the slightest concern for Crow Dog’s life expressed in any of these hundred-odd pages of letters, by Plowman or anyone else.
with responsibility for protecting the right of Indians, had an idea where the money might come from: "The Sioux are rich having large possession in cattle and ponies and should be willing to provide the money to have their legal status decided by the courts." In the event the Sioux did not see the logic of this, Plowman was to be informed that his fee depended entirely on an appropriation by Congress.\textsuperscript{47}
Plowman was the first, but not only person seeking money for work on the case. Frank Washabaugh, clerk of the Territorial Court in Deadwood, sought $150 for his part of "the work of preparing the Crow Dog case for the Supreme Court" in a letter to Agent John Cook, dated April 7. Not content to merely ask for the money, he also had two suggestions of how to raise it. One was for Cook to write on his behalf to the Secretary of the Interior and the Commissioner of Indian Affairs:
informing them of the importance to the Indian Service to have the matter settled beyond doubt that the Indians may know and feel the responsibility which they owe to the white man's laws, and in as much as this is an appropriation made and set apart from the purpose of education and civilizing the Indians, this seems to me could consistently be taken from such fund as I know of no better way of educating or civilizing the Indians than making them feel their responsibility to the law of the Government.
If the Department will not or cannot furnish the means, then it is but right to have the Indians on the Agency and particularly the friends of the department to raise the money and pay me by some means, either by selling some ponies, or any other way that they can raise it.\textsuperscript{48}
Plowman, recognizing that money from Congress might be more certain than collecting Brule ponies, vigorously pursued his money claims, and ultimately secured an appointment as special agent in the Bureau of Indian Affairs for the purpose of arguing the Crow Dog case. This appointment effectively placed the Bureau
\textsuperscript{47} Letter from Henry Price to Indian Agent John Cook. (Apr. 27, 1882) (on file in the National Archives, Record Group 75. Records of the Bureau of Indian Affairs, Special Case 91).
\textsuperscript{48} Letter from Frank Washabaugh to Indian Agent John Cook (Apr. 7, 1882) (on file in the National Archives, Record Group 75; Records of the Bureau of Indian Affairs, Special Case 91).
of Indian Affairs against itself in the United States Supreme Court. The appointment further raised serious questions of ethics. In order to get funds, Plowman felt it necessary to ask the BIA to approve the arguments he intended to make. On March 30, one day after his initial appeal for money, and two days after Crow Dog's sentencing, Plowman, at the suggestion of U.S. Attorney Hugh Campbell, wrote the Secretary of the Interior detailing the legal questions that he intended to raise during the argument. A month later, Congressman R.L. Pettigrew wrote the Secretary on behalf of Plowman, requesting that the Department of the Interior request an appropriation of $5,000 for the defense. Meanwhile, in a letter dated April 28 Plowman gave Henry Price, Commissioner of Indian Affairs a detailed statement of his legal plans, estimating his actual costs in taking the case to the U.S. Supreme Court at $3,000 to $3,500, and modestly suggesting that "able council here" had estimated the value of his services in the case at $10,000.
Ten months later, under the Sundry Civil Act of March 3, 1883, $1,000 was appropriated by Congress, and listed on the books of the BIA as "appeal Crow Dog case to United States Supreme Court." After a letter inquiring about his money, Plowman was appointed as a special agent on June 1, and gave bond in the amount of $1,000 for his work on the appeal. Meanwhile, an appeal had gone forth to the Territorial Court, which was totally ignored in all the correspondence concerning the financing of the appeal to the United States Supreme Court.
It seems clear that there was little concern about the outcome
49. Letter from Plowman to Secretary of the Interior (Mar. 30, 1881); letter from Plowman to Henry Price, Commissioner of Indian Affairs (Apr. 28, 1882). (Both letters on file in the National Archives, Record Group 75; Records of the Bureau of Indian Affairs, Special Case 19). Two side points seem relevant here: one is simply that, in order to get the BIA to finance the appeal, Plowman fully provided them with an outline of his legal strategy, presumably for their approval, and for whatever reason, this action compromised Crow Dog's constitutional right to counsel. Second, the above file contains seven letters from Plowman, and three others specifically stating that they were written at his instigation, all requesting funds, although two also contain detailed discussions of the law as well. This constitutes all of Plowman's correspondence with the BIA. Again, this concern about money needs to be seen in the context of the fact that Plowman did very good legal work on the case, and that he was ultimately paid only $1000, a fraction of what his services were worth.
50. Letter from Commissioner of Indian Affairs Price to Secretary of the Interior (Apr. 10, 1883); letter from Secretary of the Interior Henry Teller to Commissioner of Indian Affairs Price (June 1, 1883) (both letters on file in National Archives Record Group 75; Bureau of Indian Affairs, Special Case 91).
of the intermediate appeal. The simplest example of this is to recognize that the appeal was brought to the same court, the First Judicial District Court, which acted both as a territorial court and as a federal district and circuit court. Judge G.C. Moody, who had tried Crow Dog, sentenced him to death, and denied the original demurrer of Crow Dog on jurisdictional grounds, also heard the appeal in October 1882, six months after the trial.
The perfunctory nature of the appeal does not mean that Plowman did not take the appeal seriously. His appellate brief testifies to the thoroughness of his work. He raised a variety of jurisdictional issues, challenged the sufficiency of the evidence, and alleged thirty-six errors in the court’s jury instructions. Judge Moody, in his opinion, addressed three of these issues. First and most important, on the question of federal criminal jurisdiction over the Sioux, Judge Moody held exactly as he had during the trial. He followed the exact original argument of U.S. Attorney Campbell, formulated the week after the Spotted Tail killing, that the Sioux treaties of 1869 and 1877 had superceded federal recognition of tribal law in crimes between Indians. Second, he held that Pretty Camp was not competent to testify for her husband Crow Dog. Third, he held that the state’s evidence was sufficient to prove murder because once having proved the fact of the intentional killing there was “a presumption of guilt . . . which must remain until proof sufficient to overcome such presumption shall be given by the defendant . . . It is not enough to raise a reasonable doubt whether such justification . . . be proven, for the presumption still remains. The court dismissed as “minor” all Plowman’s remaining points, and remanded the case “with directions to carry the judgment into execution.”51
The Supreme Court’s Crow Dog Decision: A Tribal Sovereignty Decision Without Respect for Tribal Institutions
If we come to see a remarkable quality in the *Crow Dog* decision because of its attribution of sovereignty to American Indian tribal law, it is not because the Court had any great respect for Brule law, or in fact knew anything substantive about it. Mistakenly
51. Plowman’s brief and argument before the Territorial Court is preserved in printed form, so one can be relatively certain of what the defense argued. South Dakota Historical Center Archives, *Crow Dog Trial and Related Papers*, Folder #1, Brief and Argument, 1882. The court’s opinion is preserved as United States v. Kan-Gi-Shun-Ca (In English, Crow Dog) N.W. 437, (Oct. 28, 1882).
characterizing the case as one of “red man’s revenge” (an assumption about Crow Dog’s motives that we have seen is untrue), the Court hardly bothered to conceal a racist contempt for tribal institutions. Yet, at the same time, *Crow Dog* upheld Marshall’s statement of tribal sovereignty from *Worcester*, a significant statement given the context of Indian-white relations in the 1880’s. While the holding was based conservatively on narrow grounds, allowing no repeal defending traditional interpretations by implication of a treaty right, the court went beyond the scope of that decision and made important policy statements about the logic of allowing tribes to maintain their own legal institutions — even if the court plainly did not respect them and thought that ultimately they must give way to “civilization”. Thus, the case is memorable because of both its strength and its weakness, and the Court’s fundamental inability to come to terms either with the complexity of the reality that America and American Indians faced, or with any kind of legal strategy to give effect to tribal sovereignty.
No contemporary record in any archives has been located to say anything more than is now generally known about the unanimous Supreme Court decision, written by Justice Matthews, and delivered on December 17, 1883, fourteen months after the original appeal. Perhaps it is not necessary to know more to adequately understand the context of the opinion than that it was rooted in well developed concepts of federal Indian law, giving strong support to the traditional conception that treaties were between nations of people. Also, it interpreted the Sioux treaties of 1869 and 1877 in ways that gave greatest effect to Indian tribal sovereignty — in essence a conservative opinion from a conservative court. In many ways it is fair to see the *Crow Dog* opinion as representing a watershed, the divide where a traditional Indian policy that recognized the equality of tribal peoples and respected their national sovereignty first stood strongly against the rise of the new BIA policy of assimilation that was to dominate national Indian policy for the next fifty years. With the passage of the Major Crimes Act two years later, the sovereignty doctrine of *Worcester* gave way through the plenary power doctrine to a well-organized legislative campaign to transform traditional Indian society, and with it the legal basis for the recognition of tribal sovereignty.\(^{52}\)
\(^{52}\) This transition is well-described by historians. For lawyers, it is the watershed between the treaty being the foundation of Indian law, and the statute taking the place of the treaty, beginning in 1871 when Congress formally ended the policy of treating with Indian tribes. *See* Clinton, *supra* note 4, at 955-62.
The Court's decision has two distinct parts. The first is a careful and detailed analysis of the language of the treaties that formed the basis of the prosecution's case. The second was a statement of national policy regarding tribal sovereignty and the law of tribal people that was an integral part of that sovereignty. The first of the treaty provisions to be analyzed contained the language: "if bad men among the Indians shall commit a wrong or depredation upon the person or property of any one, white, black, or Indian . . . the Indians herein named solemnly agree that they will . . . deliver up the wrongdoers to the United States to be tried and punished according to its laws." This clause, according to Matthews, was taken out of context, and needed to be read after the clause which preceded it, which provided for punishment by the United States of any bad men among the whites who committed any wrongs upon the Indians. This was a common provision for the prosecution of crimes between Indians and persons of other races, and was found in most of the treaties with Indian tribes. It did not refer to crimes committed between Indians of the same tribe.
The second provision, from the treaty of 1877 involved the language "And Congress shall . . . secure to them an orderly government; they shall be subject to the laws of the United States, and each individual shall be protected in his rights of property, person and life." The Court took this phrase to have nearly the opposite meaning ascribed to it by Judge Moody of the territory court, and the BIA:
The pledge to secure to these people, with whom the United States was contracting as a distinct political body, an orderly government, by appropriate legislation thereafter to be framed and enacted, necessarily implies, having regard to all the circumstances attending the transaction, that among the arts of civilized life, which it was the very purpose of all these arrangements to introduce and naturalize among them, was the highest and best of all, that of self-government, the regulation by themselves of their own domestic affairs, the maintenance of order and peace among their own members by the administration of their own laws and customs.
The Court went on in well-known language to describe this relationship in paternalistic terms: "as a dependent community who were
53. *Crow Dog*, 109 U.S. 556 at 567-68.
in a state of pupilage, advancing from the condition of a savage tribe to that of a people who, through the discipline of labor and by education, it was hoped might become a self-supporting and self-governing society."54
Obviously, this language is racist. The Sioux had a rich culture and had traditionally always been self-supporting and self-governing, hence there was not a need to "advance" them. But, mingled with this racist and paternalistic analysis was the Court's recognition of treaty rights, of a "contract" — historically by treaty — between two political entities with the equal power to enter into that contract. Behind this was clear language recognizing the tribe's natural right to maintain its own "order and peace" and to administer its own "laws and customs".
Finally, the court strongly stated the traditional defense of customary law for the Indian people:
It is a case where . . . that law . . . is thought to be extended over aliens and strangers; over the members of a community, separated by race, by tradition, by the instincts of a free though savage life, from the authority and power which seeks to impose upon them the restraints of an external and unknown code, and to subject them to the responsibilities of civil conduct, according to rules and penalties of which they could have no previous warning; which judges them by a standard made by others and not for them, which takes no account of the conditions which should except them from its exactions, and makes no allowance for their inability to understand it. It tries them not by their peers, nor by the custom of their people, nor the law of their land, but by superiors of a different race, according to the law of a social state of which they have an imperfect conception, and which is opposed to the traditions of their history, to the habits of their lives, to the strongest prejudices of their savage nature; one which measures the red man's revenge by the maxim of the white man's morality.
While the racist language is obviously offensive, the strongest statement of the integrity of Sioux law emerges—a policy statement that strongly undermined the current assimilationist "law for the Indians" policy of the BIA.55
Yet, as Barsh and Henderson have pointed out, this language
54. *Id.* at 568-69.
55. *Id.* at 571.
had changed since the Cherokee cases of the Marshall court. There was a strong tone of racism, combined with a clear message that tribal law was somehow transitory, a mechanism to assist in the inevitable transition from savagery to civilization. Hence, while adopting Marshall's legal theories with a deep respect for tribal sovereignty the court was also implicitly adopting the assimilationist ideology of the day.\textsuperscript{56} The result was a highly unsatisfactory fit.
There is no record of the number of cases of Indian killings which were directly affected by the \textit{Crow Dog} decision. To the extent that many U.S. attorneys, such as the one in the Johnson Foster case, thought that Indians were beyond the reach of American criminal law, there appear not to have been many. Crow Dog returned to the Rosebud reservation to continue as a leader of the traditional faction, derisively labelled the "kickers" by the Indian agent. He resisted allotment, and left the reservation to join the Ghost Dancers in the Badlands in 1890. His agent repeatedly asked BIA authorities in Washington to remove Crow Dog from the reservation because he was a "troublemaker," sometimes requesting that he be taken to another reservation, and sometimes suggesting that he be imprisoned. According to the agents the reversal of his conviction was responsible for his arrogant attitude.\textsuperscript{57}
The only Indian, besides Crow Dog, known to be released from prison directly because of the Supreme Court's decision was, ironically, Spotted Tail's son—also called Spotted Tail. On May 29, 1884, five months after the decision, Spotted Tail, Thunder Hawk, and Song Pumpkin had become involved in a dispute with White Thunder, evidently an extension of the same factional struggle that Crow Dog's case had arisen from. White Thunder had raided Spotted Tail's camp and taken seven horses and other property. Spotted Tail gave chase, and became enraged when he found several of his horses shot by the side of the road. Upon arriving at White Thunder's camp, Spotted Tail and his friends opened fire. In the exchange White Thunder and Song Pumpkin were killed, and White Thunder's father seriously injured.\textsuperscript{58}
\textsuperscript{56}. R. Barsh & J. Henderson, \textit{supra} note 4 at 88.
\textsuperscript{57}. This material on the later activities of Crow Dog is from R. Clow, The Rosebud Sioux: The Federal Government and the Reservation Years, 1878-1940, Ph.D. dissertation, Univ. of N.M., 1977, at 47-50, 55-59, 69-70, 77, 81-82, 84, 89-91, 120-21. Clow adopts the BIA view of Crow Dog characterizing him as having a "hostile and shiftless manner" and in so doing distorts the whole nature of the traditional struggle against the BIA and against Sioux who sought to accommodate.
\textsuperscript{58}. Letter from James Wright, Indian Agent at Rosebud Reservation to Henry Price, Commissioner of Indian Affairs (May 30, 1884); letter from James Wright, Indian Agent
Showing something of how little the doctrine of stare decisis penetrated the BIA, the Indian agent ordered Spotted Tail and Thunder Hawk to proceed to Fort Niobara and put themselves in the custody of the military. Both were locked in the guard house. An extended exchange of letters and telegrams followed between the Agency and Washington over the disposition of Spotted Tail and Thunder Hawk.\(^{59}\)
While the BIA proceded in a confused manner, the Sioux once more resolved the matter. The council held a trial and decided to allow Spotted Tail and Thunder back on the reservation, agreeing to take responsibility for their conduct. The council sent this information to the agent, who forwarded it to Washington, along with a letter from Spotted Tail and Thunder Hawk requesting to be “parolled” from the guard house. On September 2, the Commissioner of Indian Affairs, citing the clear precedent of *Crow Dog*, requested that the Secretary of the Interior order the release of the prisoners. The prisoners were released on October 4. Spotted Tail and Thunder Hawk had been imprisoned in the guard house for four months while the BIA had reluctantly given effect to the Supreme Court’s holding in *Crow Dog*.\(^{60}\)
**Law for the Indians: The Major Crimes Act**
The common understanding of the context of the Major Crimes Act of 1885, which extended the jurisdiction of federal courts to a list of seven serious crimes when committed among Indians in “Indian country,” is that it was passed by Congress as a popular reaction against the *Crow Dog* ruling. Given that the account of Crow Dog’s original arrest was in response to a popular outcry is completely false, we can already be on notice to also view this account with suspicion. The simple truth is that the BIA had been attempting to get such a bill through Congress since 1874. After 1880 this attempt had been in earnest, and had been joined by
\(^{59}\) Telegram from Commanding Officer, Fort Niobara, Nebraska to Adjutant General, Missouri Division (May 31, 1884). The National Archives maintains a file, “Spotted Tail, Junior Murder Case,” Record Group 75, containing BIA correspondence relating to the case. All of the letters cited here are found in that file.
\(^{60}\) Letter from Charging Thunder and eight others to Secretary of War (July 30, 1884); letter from John Gibbs, Colonel, 7th Infantry to Assistant Adjutant General, Missouri Division (Oct. 10, 1884).
Eastern Indian reformers, especially the Indian Rights Association, which advocated an aggressive "law for the Indians" statute that would extend full state or territorial criminal and civil law to reservation Indians. The Major Crimes Act passed as a minor part of the Indian Appropriations Bill, with no significant debate, and in response to a "popular outcry" chiefly from powerful and vocal Indian reformers.\(^{61}\)
The Senate had rejected the original 1874 bill precisely because it was inconsistent with existing notions of tribal sovereignty:
The Indians, while their tribal relations subsist, generally maintain laws, customs, and usages of their own for the punishment of offenses. They have no knowledge of the laws of the United States, and the attempt to enforce their own ordinances might bring them in direct conflict with existing statutes and subject them to prosecution for their violation.\(^{62}\)
Since the late 1870's virtually every annual report of the Secretary of the Interior and of the Commissioner of Indian Affairs had advocated the passage of a major crimes act. Interior Secretary Carl Schurz reported in his 1879 report:
If the Indians are to be advanced in civilized habits it is essential that they be accustomed to the government of law, with the restraints it imposes and the protection it affords. To meet this necessity a bill was introduced at the last session of Congress providing . . . 2. That the laws of the respective States and Territories in which Indian reservations are located, relative to certain crimes, shall be deemed and taken to be the law in force within such reservations, and the district courts of the United States within and for the respective districts . . . shall have original jurisdiction over all such offenses committed within such reservations.\(^{63}\)
\(^{61}\) The Indian Rights Association was founded in Philadelphia in December, 1882 by Henry Pancoast and Herbert Welsh. While there had been other Indian reform groups focusing on all kinds of humanitarian aims, the IRA believed that the Indians, themselves, were fully capable of assuming full citizenship but had been held back by protective and paternalistic practices. Thus, the full extension of law and legal rights to the Indians became a central theme in IRA work. Focusing extensively on the need for such legislation, the IRA came to have considerable success lobbying in Congress, and was a significant part of the "popular outcry" over *Crow Dog*. See *Prucha*, *supra* note 4 at 615. The best history of the IRA is W. Hagan, *The Indian Rights Association: The Herbert Welsh Years 1882-1904* (1985).
\(^{62}\) S. Rep. No. 367, 43rd Congress, 1st Sess. 2 (1874).
\(^{63}\) Secretary of the Interior Ann. Rep. at 12-13 (1879).
The 1881 Annual Report of Schurz’s successor Samuel Kirkwood, written before the killing of Spotted Tail repeated this argument, justifying it with reference to “Apache outrages”:
Further legislation is, in my judgement, necessary for the definition and punishment of crime committed on reservations whether by Indians in their dealings with each other, by Indians on white men, or by white men on Indians. A good deal of uncertainty exists on these points, which should be removed. It is also important that the liability of Indians who engage in hostile acts against the government and our people should be declared more clearly and fully. During the present year the Apaches have committed many outrages in New Mexico and Arizona . . . Are they prisoners or war criminals? Should not the liability of Indians thus engaged be clearly defined? Should not all crimes committed on reservations be clearly defined, the punishment thereof fixed, and the trial therefor provided in the United States Courts?64
Henry M. Teller, who succeeded Kirkwood repeated this request in the 1882 and 1883 Annual Reports. In the 1884 Annual Report, his successor L.Q.C. Lamar specifically used the *Crow Dog* case to justify the same measure:
I again desire to call attention to the necessity for legislation for the punishment of crimes on the Indian reservations. Since my last report, the Supreme Court of the United States decided in the case of *Ex parte Crow Dog*, indicted for murder, that the district court of South Dakota was without jurisdiction, when the crime was committed on the reservation by one Indian against another. If offenses of this character cannot be tried in the courts of the United States, there is no tribunal in which the crime of murder can be punished . . . it will hardly do to leave the punishment of the crime of murder to a tribunal that exists
64. *Secretary of the Interior Ann. Rep.* 7-8 (1881). Kirkwood, in the same report also linked the destruction of Indian law with the necessity of destroying the tribal relation because it meant “communism”:
The tribal relation is a hindrance to individual progress. It means communism so interferes [sic] with the administration of both civil and criminal law among the members of the tribe, and among members of the tribe and non-members. The Indians should learn both to know the law and to administer it. They will not become law abiding citizens until they shall so learn.
*Id.* at 7.
only by the consent of the Indians of the reservation. If the murder is left to be punished according to the old Indian custom, it becomes the duty of the next of kin to avenge the death of his relative or some one of his kinsmen.\textsuperscript{65}
This account is, of course, a misstatement of Brule law—Crow Dog’s case had been disposed of the day after the killing without any violence. Sioux law was fundamentally aimed at the peaceful resolution of social conflicts among the people, and not based on blood revenge, as, for example, Cherokee law was. But even this comparison oversimplifies the diversity and complexity of the laws of the Indian tribes.
This contextual sketch of the demands of the Interior Secretaries for “law for the Indians” can be seen as one important piece of a broader policy of assimilation. Yet a look at the more detailed statements in the Annual Reports of the Commissioners of Indian Affairs, takes the whole “test case” matter one step further. At the outset, one contradiction is obvious: if the interpretation of the jurisdiction of the federal courts put forth by U.S. Attorney Campbell in \textit{Crow Dog} was so obvious, why had the BIA never persuaded any court to follow it? Moreover, in a parallel case, that of Johnson Foster, they had used exactly the same argument but could not take it to the Supreme Court because the local U.S. Attorney had taken the opposite view, that such jurisdiction did not exist, and had refused to prosecute the case. The Attorney General of the United States had sustained that view, refusing to undergo the expense of prosecution when the jurisdiction of the United States court was “so doubtful.”\textsuperscript{66}
The Johnson Foster case, like \textit{Crow Dog}, was ideal as a test case, although for different reasons. While \textit{Crow Dog} had the rare quality of involving an important chief under government protection, the Foster case represented an Indian killing that led to a legal atrocity by the standards of American law: because of jurisdictional complexities \textit{no} court had jurisdiction over a cold-blooded murder. Robert Poisal, an enrolled Arapaho, had, with his sister-in-law, journeyed across the Indian Territory to enroll
\textsuperscript{65} Secretary of the Interior Ann. Rep. at 9 (1884). See also Secretary of the Interior Ann. Rep. (1882) at 8; Secretary of the Interior Ann. Rep. at xiii (1883).
\textsuperscript{66} Letter from J.R. Hallowell, U.S. District Attorney, Topeka, Kansas, to S.F. Phillips, Acting U.S. Attorney General (Aug. 14, 1883). All of the correspondence between the Department of Justice and the Department of the Interior concerning \textit{Johnson Foster} is contained in S. Doc. No. 105, 48th Congress, 1st session (1884).
their children in a government school. As they returned, while passing through a wooded area on the Potawatomi reservation, Johnson Foster, a Creek, appeared standing silently by a tree. Without saying a word Foster fired a shot, instantly killing Poisal. His sister-in-law seized the reins and escaped.\textsuperscript{67}
Because both parties were Indians, and the crime occurred in the Indian Territory, there was no federal jurisdiction, and the matter was solely within the jurisdiction of the Potawatomi tribe. But the Potawatomis, while having a set of legal traditions governing behavior within the tribe, had no legal apparatus capable of arresting or punishing an outsider for a serious crime. The Arapahos were outraged and threatened extra-legal action, but no tribe had any kind of "extra-territorial" jurisdiction over citizens of another tribe and therefore Foster was beyond their reach. The BIA had proceeded exactly as in \textit{Crow Dog}, relying on the same statutory grounds (except that the same "bad man" language was part of a different treaty). The agency induced the Attorney General to instruct the U.S. Attorney for the Western District of Arkansas to arrange for Foster's trial. The local U.S. Attorney's doubt about the case testifies to the broad "test case" function of \textit{Crow Dog}. However specious the argument, it was the spectacular nature of the killing of a friendly chief that was ultimately to move Congress, not the quality of the BIA's legal argument, which was specifically rejected in an ordinary murder case. Yet, in the 1883 BIA Annual Report, written while the \textit{Crow Dog} case was on appeal, but not yet decided by the United States Supreme Court, it was the Foster case which was used as an example of the kind of legal atrocity that could arise under the existing state of white criminal jurisdiction over the Indian tribes, and not the \textit{Crow Dog} case.\textsuperscript{68}
The Foster case was not the only attempt of the BIA to extend American law to reservation Indians at this time. In two parallel
\textsuperscript{67} Letter from John Miles, Indian Agent, Cheyenne and Arapahoe Agency to Henry Price, Commissioner of Indian Affairs (Sept. 20, 1882) (in S. Doc. No. 105, 48th Congress, 1st session (1884)).
\textsuperscript{68} \textsc{Commissioner of Indian Affairs Ann. Rep.} at x-xv (1883). The Commissioner's Report on the \textit{Johnson Foster} case ran to three full pages of small print—more attention in the BIA Annual Report than \textit{Crow Dog} ever received, again, tending to show that the BIA was primarily seeking to advance a publicity-changed example of the freeing of some Indian murderer to move Congress. Johnson Foster took three pages because it was an insignificant case of a killing during a robbery, hence a hard case to move Congress on. \textit{Crow Dog}, in which a chief allied with the government was killed, was made to order to generate reaction without substantial effort.
cases, the BIA had actively sought to have killings between reservation Indians tried in state courts. Spanish Jim, a Shoshone of a band that had never given up its ancestral homeland and moved to a reservation, killed a Shoshone woman in the vicinity of Belmont, in central Nevada. He was arrested, lodged in the county jail, and arraigned in front of a local judge. The state judge held that Nevada had no jurisdiction and ordered Spanish Jim released. The state's attorney, joined by the United States Attorney in Reno (with the legal responsibility of defending Spanish Jim's rights against state encroachment), appealed to the Nevada Supreme Court, arguing that Nevada had criminal jurisdiction over its Indian tribes, whether on or off reservation. The Nevada Supreme Court rejected their argument, holding that states had no jurisdiction over tribal Indians, not on tribal sovereignty grounds, but deferring to federal authority in Indian affairs.\(^{69}\) The decision of the U.S. Attorney to go into state court to attack tribal sovereignty was made at the behest of Henry Price, Commissioner of Indian Affairs. Indian Agent John Mayhugh of the Duck Valley Reservation had written Washington for instructions in an earlier Nevada Shoshone killing, that of the wife of Chic-a-chops by Yen-decker near Elko in the summer of 1882. Mayhugh was "instructed" in a letter of July 27 to turn the case over to the "proper legal authorities of the county."\(^{70}\)
Exactly the same process occurred in two killings on reservations of Oregon at the same time. In the fall of 1882 Kane Kelsey, and two other Siletz Indians, complained to the Secretary of War that they had been held for two years as prisoners in Fort Vancouver without trial and without charges being preferred against them. The Secretary of War asked the Commissioner of Indian Affairs for an investigation, questioning his own legal authority to hold
\(^{69}\) State v. McKenney, 18 Nev. 182 (1883). The collusion of the U.S. Attorney can be seen in the printed brief of the Attorney General of Nevada: "Relator's Points and Authorities" found in the original case file, held in the Nevada State Archives, Carson City. An account of the actual killing (including Spanish Jim's escape from jail) is in the Belmont, Nevada, *Courier*, Mar. 17, 1883; Mar. 24, 1883; Apr. 7, 1883; May 12, 1883; Sept. 8, 1883.
\(^{70}\) Letter from Henry Price, Commissioner of Indian Affairs, to John Mayhugh, Indian Agent at Duck Lake Reservation (Sept. 29, 1882); letter from Price to Mayhugh (Nov. 13, 1882) (both on file in vol. 37 of the "Letters Sent, Civilization Division" files of the BIA held in the National Archives). The Yan-decker (also spelled Yendecker) case is referred to in both letters. There are no county court records of the Yan-decker case, so it is not clear that Mayhugh followed Price's instructions.
the three. The Commissioner reported that the three had killed a witch doctor in July of 1880, and urged that the Army hold them until the state took jurisdiction. A lengthy series of letters to Agent E.A. Swan urged the agent to turn the three Indians over to the state for trial. Swan eventually did so, based on an unrelated case arising in the meantime in which Oregon had taken such jurisdiction. In March 1883 Tom Gilbert, a Grand Ronde Indian, was convicted in state court and sentenced to hang for the murder of Wapato Dave and his wife, two other Grand Ronde Indians, a crime committed on the reservation.\(^{71}\) This BIA willingness to turn reservation Indians over to the states for trial reflects both the influence of the “law for the Indian” reformers, as well as the fact that the doctrine of tribal sovereignty was virtually non-existent in state courts.
But these examples of “legal atrocities”, of Indians going unpunished for murder because of the savage character of tribal society, also had an opposite argument. Bishop H. Hare, an Episcopal missionary, had made an argument for the importance of extending American criminal law over the Indian tribes that also implicitly recognized the force of tribal law by reverse argument—because traditional law was being destroyed, the tribes were becoming disorderly:
Civilization has loosened, in some places broken, the bonds which regulate and hold together Indian society in its wild state, and has failed to give the people law and officers of justice in their polace. This evil continues unabated. Women are brutally beaten and outraged; men are murdered in cold blood; the Indians who are friendly to schools and churches are intimidated and preyed upon by the evil-disposed; children are molested on their way to school, and schools are dispersed by bands of vagabonds; but there is no redress. It is a disgrace to our land. It should make every man who sits in the national halls of legislation blush. And, wish well to the Indians as we may, and do for them what we will, the efforts of civil agents, teachers, and missionaries are like the struggles of drowning men weighted
\(^{71}\) The Kane Kelsey case is the subject of eight letters and telegrams from BIA Commissioner Henry Price to various military and BIA officials. These are found in vol. 37 & 39 of the “Letters Sent, Civilization Division” files of the BIA, held in the National Archives, Washington, D.C. Oct. 4, 1882; Oct. 13, 1882; Oct. 19, 1882 (two letters); Mar. 14, 1883; Apr. 14, 1883. Oregon county court records do not record the ultimate disposition of either the Kelsey case or the one involving Gilbert.
with lead, as long as by the absence of law Indian society is left without a base.\textsuperscript{72}
This language, quoted as part of a later BIA commissioner's strong 1883 plea for such legislation, illustrates the relationship between the extension of criminal law to the Indians, and the broad assimilationist goals of the Indian service: the work of teachers and missionaries needed to be protected by the criminal law.
In this context, the Major Crimes Act of 1885 is not difficult to understand. While it was a clear departure from existing practice, it was consistent with the whole general trend of Indian policy, the move from a policy based on treaty rights recognizing Indian sovereignty to one of dependency and forced assimilation. A whole line of introduced legislation, and BIA administrative policy, going back ten years had laid a foundation for the Act. This does not mean that the particulars of the \textit{Crow Dog} case were irrelevant. Rather, the facts of the case were tailor-made to prod Congress to action. \textit{Crow Dog} represented the personification of the "bad" Indians that undermined Bureau of Indian Affairs' authority, attempting to lead their followers off the reservation and back to war, and in the process, gunning down a friendly chief who was well-known in Washington, and who had more or less supported BIA policy in spite of his dislike of the Carlisle Indian School. Given the instability of reservation life in the fact of BIA-introduced "factionalism", the Major Crimes Act was minimally required to protect BIA control.
All who have written on the Act have expressed amazement at the ease with which such a departure from existing policy passed through Congress, as an afterthrough on the Indian Appropriations bill. The discussion of the Act fills less than five pages of the Congressional Record, and those pages are largely filled with confusion over language. A discussion over a federal law prohibiting the sale of liquor to Indians going on in the same Congress received far more detailed discussion. This lack of attention testifies that while the Major Crimes Act may have been a sharp departure from existing Indian law, it was completely consistent with existing Indian policy.\textsuperscript{73}
The discussion in Congress cannot even be called a debate. Judging from the measure's initial presentation by Congressman Cutcheon
\textsuperscript{72} COMMISSIONER OF INDIAN AFFAIRS ANN. REP. at xi (1883).
\textsuperscript{73} 16 CONG. REC. 934-36 (1885).
of Michigan of the Indian Affairs Committee, the bill was presented with a reasoning directly parallel to the BIA, borrowing language directly from the Commissioner’s 1884 Annual Report:
I believe it is not necessary for me to say that this amendment is in the direction of the thought of all who desire the advancement and civilization of the Indian tribes. It is recommended very strongly by the Secretary of the Interior in his annual report. I believe we all feel that an Indian, when he commits a crime, should be recognized as a criminal, and so treated under the laws of the land. I do not believe we shall ever succeed in civilizing the Indian race until we teach them regard to the law, but amenable to its penalties.
We all remember the case of Crow Dog, who committed the murder of the celebrated chief Spotted Tail. He was arrested, tried by a Federal tribunal, and convicted of the murder, but the case being taken to the Supreme Court of the United States upon habeas corpus, it was there decided that the United States courts had no jurisdiction in any case where one reservation Indian committed a crime upon another. Thus Crow Dog went free. He returned to his reservation, feeling, as the Commissioner says, a great deal more important than any of the chiefs of his tribe. The result was that another murder grew out of that—a murder committed by Spotted Tail, Jr., upon White Thunder. And so these things must go on unless we adopt proper legislation on the subject.
It is an infamy upon our civilization, a disgrace to this nation, that there should be anywhere within its boundaries a body of people who can, with absolute impunity, commit the crime of murder, there being no tribunal before which they can be brought for punishment. Under our present law there is no penalty that can be inflicted except according to the custom of the tribe, which is simply that the “blood avenger”—that is, the next of kin of the person murdered—shall pursue the one who has been guilty of the crime and commit a new murder upon him.\(^{74}\)
The only trace of “outrage” or “popular pressure” in Cutcheon’s statement is in language he borrowed from the BIA, language common to Indian Rights Association reformers as well. Cutcheon further undermines the “popular pressure” argument
\(^{74}\) Id. at 934. *Commissioner of Indian Affairs Ann. Rep.* (1884) at xiv-xv.
by apologizing for adding the measure onto the appropriations bill, acknowledging that it could not pass any other way, a direct acknowledgement of a low level of concern about the issue, especially in the Senate.\textsuperscript{75}
Congressman Budd objected to including assault among the offenses, and it was agreed to omit the crime because the courts of Indian offenses were adequate for such crimes. Some members wanted to generally extend federal criminal law to include all crimes even including misdemeanors. Others were concerned about whether the law should be extended to include the tribes within the Indian Territory. The closest the matter came to policy debate is in the exchange which follows, which shows that Congress was at least aware of the threat of the bill to traditional Indian policy, if not Indian sovereignty:
Mr. Hiscock: I would like to inquire of the gentleman from Michigan if he believes that all of these Indian tribes are in such a condition of civilization as that they should be put under the criminal law?
Mr. Cutcheon: I think if they are not in that condition they will be civilized a great deal sooner by being put under such laws and taught to regard life and the personal property of others.
Mr. Budd: This provision is as much for the benefit of the Indians as it is for the whites; because now, as there is no law to punish for Indian depredations, the bordermen take the law into their own hands, which would not be the case if such provision as this was enacted into law.
Mr. Hiscock: That may all be true; but when we bring in a bill here year after year appropriating many millions of dollars to support and care for these Indians, and treat them as irresponsible persons, it seems to me that policy is not in the line of the policy indicated by this amendment, which proposes to extend to them the harsh provisions of the criminal law.
Mr. Budd: We would like to change the policy of the Government in that respect.
Mr. Hiscock: Then you had better defeat the present bill.
\textsuperscript{75} \textit{Id.} at 934.
Mr. Budd: We can do it in the way we propose here without defeating the bill.
Mr. Cutcheon: We want to change the law a little in the direction of law and order.
Mr. Ryan: And civilization.
Mr. Cutcheon: Yes, and civilization.\textsuperscript{76}
Budd was clearly mistaken about the current state of Indian law in his remarks about the need for the Major Crimes Act because of “Indian depredations”, which were clearly under the scope of the “bad Indian” extradition clauses which had been a feature of virtually all treaties. Apparently Budd was also unaware that the Major Crimes Act applied only to crimes committed between Indians while actually on a reservation. He was not the only Congressman mistaken about the law.
Later Congressman Warner of Ohio asked whether the proposed amendment “conflicts with any treaty stipulations?” Incredibly, Congressman Cutcheon replied, “Not that I am aware of.” Warner responded, perhaps sarcastically: “I think that ought to be known positively.” Congressmen Ellis and Holman mutually apologized for “an infirmity of temper” and “improper language” in the debate, and withdrew now unknown language from the Congressional record. The discussion then turned to financial matters. The whole appropriations bill passed on a vote of 240 to 7, with 77 members (including Hiscock) not voting. The Senate, after even less discussion, passed a slightly narrower version of the Act. The two versions were reconciled in conference, and the Act became law on June 30, 1885.\textsuperscript{77}
The Indian reformers, through the Indian Rights Association, had wanted a far broader law, which would eventually remove all racial distinction in the law and making Indians subject to the same law as Whites. This position, made famous in the “law for the Indians” writing of Harvard Professor James Thayer, followed the passage of the Major Crimes Act and was not part of the agitation for it. Thayer’s position would have reduced the centrality of the BIA in its effective control over the Indian tribes through its protectionist and paternalistic policies, and had no support in Congress during the 1885 debate. The BIA was pleased
\textsuperscript{76} Id. at 936.
\textsuperscript{77} Id.
with the outcome, but argued that it would have no impact unless Congress appropriated funds to reimburse localities for the expense of bringing criminal actions under the law. This is further testimony that undermines the logic of the "popular outcry" motivation for the passage of the "Major Crimes Act": white officials near reservations were simply not interested in bringing actions under the new law.\textsuperscript{78}
\textit{Brule Law: The Law of the Court Failed to See}
Neither Justice Matthews' decision in \textit{Crow Dog}, nor any debate in Congress over the Major Crimes Act, was in any way informed by knowledge of Brule Sioux law. While the Supreme Court was clearly informed of the fact that Crow Dog's case had been processed under the traditional laws of the tribe, nothing in the court's decision indicated anything but the most superficial understanding of that law, casting it in classic legal imperialist terms as primitive and eventually bound to give way to the superior force of civilization.\textsuperscript{79} This ranks as a great watershed in American law, a missed opportunity to have incorporated something of the theory and substance of Indian law into American law, creating a pluralistic legal order.
We now know that the Plains Indians maintained a complex and intricate system of laws. The eighteen Plains Indian tribes, separated by ten languages, developed a remarkably homogeneous system of laws, very similar from tribe to tribe, although still distinct.\textsuperscript{80} While our current knowledge of these legal systems is as extensive as any of the Indian tribes, it is still sketchy, and inadequate.\textsuperscript{81} Full scale studies of the Cheyenne, Kiowa, and Comanche exist, based on detailed interviews with elderly informants in the 1930's.\textsuperscript{82} No such studies were done by any of the Sioux peoples and that represents a tragic loss.
\textsuperscript{78} Comm. of Indian Affairs, Ann. Rep. (1886).
\textsuperscript{79} \textit{Crow Dog}, 109 U.S. 556 at 569-71.
\textsuperscript{80} There are a number of summaries of plains Indian culture. \textit{See} Wissler, \textit{Indians of the Plains} in \textit{American Museum of Natural History, Handbook} (1927).
\textsuperscript{81} J. Provinse, The Underlying Sanctions of Plains Indian Cultures: An Approach to the Study of Primitive Law 29 (1934) (Ph.D. dissertation, University of Chicago). Provinse found that of the plains tribes only five had sufficient ethnographic data for a study of their legal orders: Dakota Sioux, Crow, Blackfoot, Assiniboine, and Omaha.
\textsuperscript{82} Hoebel, \textit{The Political Organization and Law Ways of the Comanche Indians}. 54 \textit{Memoirs of the Am. Anthropological Ass'n} (1940); E. HOEBEL & K. LLEWELLYN,
The Sioux, along with virtually all of the other Plains tribes, attracted a great deal of attention from early ethnographers during the late 19th and early 20th centuries. But the focus of these studies was on their kinship structures and ceremonial life. Much of what we know about their legal systems dates from these studies, some of the classic works in American anthropology, but which testify to the ethnocentric vision of that discipline: the political and legal structures of these people were not as important as ceremonial matters.\(^{83}\)
But what we know reveals a great deal. Sioux society was primarily organized at the band level. These bands survived entirely from hunting. Hence, the very life and death of people on a month-to-month basis depended on a good hunt. The hunt also required a migratory life, so camps were moved frequently. The governmental structure was based on a chief’s council, which appointed head men for each band. The head men selected two sets of police, one for war and one for hunting. They were chosen as individuals and not based on membership with societies.\(^{84}\)
Below the band level, the men were organized into various warrior societies that hunted together, made raids together, and performed certain ceremonial functions. In most Plains societies, police societies with broad foundations were based in these warrior societies. Characteristic of the Plains Indians were well-developed police societies with broad based power to perform a wide range of social functions. These are not unique to the plains Indian tribes, but are found only in a few tribes off of the plains. While these specialized legal/police functions took a variety of forms, most were based on some selection of entire warrior societies. The Sioux practice of selecting individuals for police duties based on individual prowess and not by society membership built a strong measure of individualism into their police function.\(^{85}\)
Most often these functions were not permanently accorded individuals, but were assigned on a seasonal or some other temporary basis. This enabled legal/police functions to be held by a large proportion of the males in a band over time. Many early
---
\(^{83}\) The Cheyenne Way (1941); Richardson, Law and Status Among the Kiowa Indians, 1 MONOGRAPHS OF THE AM. ETHNOLOGICAL SOC’Y (1940).
\(^{84}\) Provinse, supra note 81 at 28. A complete list of these ethnographic studies may be found in 192-97.
\(^{85}\) Provinse, supra note 81 at 34.
\(^{86}\) Id.
ethnologists saw the necessity of the successful hunt as providing the main reason these police institutions among the Plains tribes had so much in common. Clearly, the power of these police societies during the hunt and in hunt-related events, such as the orderly migration of the villages, was virtually without precedent among American Indians. The police societies patrolled the boundaries of the hunt, with broad authority to summarily punish violators. A brash young man who might try to attack too early to gain too much glory for himself might find his possessions destroyed, his horse killed, and suffer severe beating. Rare repeat offenders were often killed—shot from behind with no ceremonial formality whatsoever.\textsuperscript{86}
While the biological necessity of the success of the hunt might well explain such structures, anthropologist John Provinse de-emphasized the importance of the hunt, finding that these legal structures pervaded all elements of band life and were as much devoted to the resolution of ordinary disputes. The exact legal content of these interventions is not clear. For example, the police societies may simply have coerced both parties into arriving at a private settlement rather than investigating the incident and applying tribally accepted rules to decide the case.\textsuperscript{87}
The primary value in settling these disputes differed sharply from American law. There was no concern for punishment or retribution, or with applying any abstract notions of justice or morality. The goal was the termination of the conflict and the reintegration of all persons involved into the tribal body. For the hunt and the perpetual migration to succeed, all people had to work together, and to conform to one system of rules. For instance, the classic legal solution to the problem of the bold young man who attacked too early in the hunt would be this: if he became contrite and recognized the gravity of his mistake after being beaten and seeing his property destroyed by the police, his property might be replaced from the personal property of members of the police society. The young man was obviously invaluable as an aggressive warrior and hunter and would need a horse and hunting
\textsuperscript{86} See generally Bailey, \textit{Social Control on the Plains}, in W. Wood & M. Liberty, \textit{Anthropology on the Great Plains} (1980); Humphrey, \textit{Police and Tribal Welfare in Plains Indian Cultures}, 33 J. Crim. L. & Criminology 147 (1942); MacLeod, \textit{Police and Punishment Among Native Americans of the Plains}, 28 J. of Crim. L. & Criminology 181 (1937).
\textsuperscript{87} Provinse, \textit{supra} note 81 at 60-61.
property—if he could be taught to follow the rules of the hunt. Thus, while the law was clearly punitive, it was at its core designed to reintegrate erring members back into the tribe.\textsuperscript{88}
The members of the police societies were among the most disciplined and talented of the hunters and warriors. These societies had both policing and judicial functions. Actions that were taken were most often taken on the spot, without going to the council for authority or for any form of adjudication. Hence, the police societies were delegated a broad range of legal functions that both permitted and encouraged them to act quickly and decisively to assert control over a wide variety of situations, bringing offenders quickly back within the social sphere of tribal life.\textsuperscript{89}
The specific process that occurred in both the homicide cases of Crow Dog and of Spotted Tail Junior—a meeting of a tribal council to arrange for a peaceful reconciliation with an ordered gift of horses, blankets, money, or other property—was one of a number of available mechanisms the Sioux used. Apparently, this process was rare and occurred in the context of the most serious of tribal disturbances. The council met for the purpose of reconciling the parties involved, not to adjudicate the dispute. Hence, the result of the two cases, the offering of property to one side by the other, does not indicate any substantive resolution of the merits of the case. Crow Dog had been in no way “convicted” by a tribal council.\textsuperscript{90}
The offering of the property was also not “blood money”, a payment to relatives to atone for the killing in a substantive way, or to take the place of blood revenge. It was more an offer of reconciliation, a symbolic continuing of tribal social relations. Often, in other cases, the recipients refused to take the offered property, a position that showed the tribe both their pride and their wealth.\textsuperscript{91}
The police societies played a complex role in this council-based process as well, doing the footwork that made the reconciliation possible. They approached both parties to negotiate willingness
\textsuperscript{88} Humphrey, \textit{supra} note 86 at 159-60.
\textsuperscript{89} MacLeod, \textit{supra} note 86 at 185-99.
\textsuperscript{90} Provinse, \textit{supra} note 81 at 67. The Sioux police performed both punitive and peacemaking functions, yet kept them distinct. Punitive actions occurred when an individual failed to recognize tribal authority. The fact that Crow Dog was not “punished” but the affair settled by negotiation of the peacemakers indicates that he was acting within the boundaries of tribal norms.
\textsuperscript{91} \textit{Id.} at 70-72.
to make a settlement, and also enforced the settlement that was ultimately reached. While most often the police societies worked independently of direct council authority, they also regularly worked as the enforcement arm of the council.\textsuperscript{92}
This is the legal system the Sioux had a right to use to adjust their internal disputes, a right upheld by the U.S. Supreme Court. It was obviously efficiently functioning in the early 1880's. The system had effectively settled two complex murder cases in a two year period. Contrary to the belief that factionalism destroyed the ability of tribal political processes to function, opposing factions were represented in both cases, and the cases were still effectively processed; tribal cohesion was maintained. The process, however, had to have a tribally accorded legitimacy in order to survive. It depended on the maintenance of the authority of traditional structures, which could use traditional legal norms to resolve disputes between opposing factions. Thus, many tribes functioned effectively in spite of years of factional struggle.
\textit{Conclusion}
Crow Dog’s case is remembered in legal history as a defamed tribal sovereignty case, the kind of case that produces a strong public and official reaction to change the law so that no case such as \textit{Crow Dog} would ever occur again. The Major Crimes Act was intended to do just that. However, as Felix Cohen points out, “the force of the decision was not weakened, although the scope of the decision was limited.”\textsuperscript{93} \textit{Crow Dog} survives as strongly as it does perhaps in part because it was as extreme an application of the principle of tribal sovereignty as could be imagined. Also, it survived the scrutiny of the United States Supreme Court in spite of immense BIA efforts to extend their vision of American law to the Indians as one key element in the forced assimilation of the tribes. In this sense the distortion of the facts and context of the case, a distortion that began the same day the killing occurred, may well have strengthened the ultimate impact of the case — giving the court the chance to uphold the principle of tribal sovereignty on the strongest facts possible.
\textsuperscript{92} Provinse, \textit{supra} note 81. Chapters IV and V analyze in detail the full range of interaction between the police and plains Indian society.
\textsuperscript{93} Cohen, \textit{supra} note 2 at 125.
We can never know the full story of Crow Dog’s killing of Spotted Tail. The government’s “political assassination” tale, as it emerged in their prosecution case, and in the BIA version of the case, is not supported by the evidence. The BIA was in search of a test case, and the bureau in Washington had been involved in at least three other test cases in the early 1880s. The BIA settled on *Crow Dog*, which, on its facts, had all the makings of a good test case. The attack on the honor of Crow Dog was also an attack on the traditional institutions of tribal Indians. The racist distortion of Brule law as “red man’s revenge” did a great injustice to American Indians and their law. In retrospect there can be no question that Brule law provided a higher measure of justice in Crow Dog’s case than American justice did, or could have. The Brule law provided a justice based on restitution, the continuity of a community and a tradition, rather than a justice based on increasingly higher levels of violence.
In addition to alerting the scholar to the historical and continuing role of the BIA in shaping federal Indian law, even to the extent of totally reshaping longstanding legal principles as we have seen here, the role of lawyers in structuring nineteenth century federal Indian law calls for systematic examination. Most often tribal Indians lacked effective counsel in shaping their legal arguments, a fact that gives federal Indian law an even more one-sided quality than even racism and legal imperialism might explain. Attorney Plowman won his case, but he cannot be said to have done the most effective job he might have done. Probably the *Black Hills Daily Times* paid more attention to the complexity of Brule law than Plowman, who made virtually no effort to educate any court on Brule law, although to his credit, he raised the issue.
Whether or not the doctrine of *Crow Dog* is separated from a poorly presented and deliberately distorted version of the case facts, that doctrine survives as a key tribal sovereignty case. It upholds the principle that the tribes have inherent sovereignty and through that sovereignty the right to their own law. Although limited in scope by the Major Crimes Act, this principle has enormous power, and great potential to liberate federal Indian law from its racist and ethnocentric past. If federal Indian law begins with the principle of tribal sovereignty, Americans gain a foundation for enriching the legal tradition of the North American continent with the legal traditions of native people. These legal traditions are recognized in *Crow Dog* as the right of American Indians.
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May 9, 2019
Board of County Commissioners
Clackamas County
Members of the Board:
Approval of a Construction Contract with Clackamas Construction, Inc. for the E. Clarendon Street Project in Gladstone
| Purpose/Outcome | The Construction Contract will allow for construction of 2 blocks of new street, sidewalk, waterline, sewer and storm drain improvements along E. Clarendon Street in Gladstone including the transfer of water services and fire hydrants from a 6-inch main to a 24-inch main waterlines. |
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| Dollar Amount and Fiscal Impact | The Clackamas Construction Contract will be in the amount of $958,671.10. |
| Funding Source | Community Development Block Grant Funds - $245,000
City of Gladstone Funds - $713,671.10
No County General Funds are involved. |
| Duration | May 9 – August 30, 2019, Planned Construction Schedule. |
| Previous Board Action/Review | The Board approved an Intergovernmental Agreement with the City of Gladstone for this project on September 27, 2018. |
| Strategic Plan Alignment | Ensure safe, healthy and sure communities. |
| Counsel Review | The Contract was approved by County Counsel on March 4, 2019 |
| Contact Person(s) | Mark Sirois, Housing and Community Development - (503) 655-5664 |
| Contract No. | H3S 9251 |
BACKGROUND:
The Housing and Community Development Division of the Health, Housing and Human Services Department requests the approval of this Construction Contract with Clackamas Construction, Inc. to allow for improvements along E. Clarendon Street in Gladstone. Clackamas Construction was the low bidder of the four bids submitted at the April 3 bid opening.
RECOMMENDATION:
We recommend the approval of this Contract and that Richard Swift H3S Director be authorized to sign on behalf of the Board of County Commissioners.
Respectfully submitted,
Richard Swift, Director
Health, Housing Human Services
AGREEMENT FOR PUBLIC WORKS CONSTRUCTION WORK
BETWEEN COUNTY AND CONTRACTOR
COUNTY
Clackamas County
Community Development Division
2051 Kaen Road, Suite 245
Oregon City, OR 97045
CONTRACTOR
Clackamas Construction, Inc.
PO Box 279
Boring, Oregon 97009
THIS AGREEMENT (the Contract) is entered into by and between Clackamas County (hereinafter called the “COUNTY”) and Clackamas Construction, Inc. (hereinafter called “CONTRACTOR”) and is effective as of the date it is signed by the COUNTY.
This Contract for construction has been prepared for use with the ODOT Specifications for Construction of the Construction (2018) prepared by the Engineer’s Joint Contract Documents Committee.
This Contract is the complete and exclusive statement of the agreement between the parties relevant to the purpose described herein, and supersedes all prior agreements or proposals, oral or written, and all other communications between the parties relating to the subject matter of this Contract. This Contract, or any modification of this Contract, will not be binding on either party except as signed by authorized agents of both parties.
COUNTY and CONTRACTOR, in consideration of the mutual covenants hereinafter set forth, agree as follows:
ARTICLE 1: WORK
CONTRACTOR shall complete all Work.
As used herein, “Work” shall mean the construction improvements tasks, as set forth in detail in the Contract Documents, and generally described as: Demolition and construction of streets, sidewalks, ramps and driveways; installation of a new sanitary sewer, storm drain and water system improvements, including the transfer of water services and fire hydrants from a 6-inch main to a 24-inch main along a 2-block long section of E. Clarendon Street in Gladstone, Oregon.
ARTICLE 2: ENGINEER
The Project has been designed by Patrick A. Sisul, P.E. of Sisul Engineering who is hereinafter called ENGINEER and who is to act as COUNTY’s representative, assume all duties and responsibilities and have the rights and authority assigned to ENGINEER in the Contract Documents in connection with completion of the Work in accordance with the Contract Documents.
ARTICLE 3: CONTRACT TIME
3.1. Time is of the essence in this Contract and the CONTRACTOR agrees that all work shall be substantially completed by August 9, 2019 with a contract completion date of August 19, 2019. The project is to commence per the date of the Notice To Proceed issued by the COUNTY. If the Notice To Proceed is delayed, the time schedule will be adjusted accordingly. The total timeframe for this work is 90 days unless a time extension is approved by the ENGINEER and COUNTY, via Change Order.
3.2. Liquidated Damages. COUNTY and CONTRACTOR recognize that time is of the essence of this Agreement and that COUNTY will suffer financial loss if the Work is not completed within the times specified in paragraph 3.1 above, plus any extensions thereof allowed in accordance with Section 00180.85 of the ODOT Specifications for Construction. They also recognize the delays, expense and difficulties involved in proving in a legal proceeding the actual loss suffered by COUNTY if the Work is not completed on time. Accordingly, instead of requiring any such proof, COUNTY and CONTRACTOR agree that as liquidated damages for delay (but not as a penalty) CONTRACTOR shall pay COUNTY $250 for each day that expires after the time specified in paragraph 3.1 for Substantial Completion until the Work is substantially complete. After Substantial Completion if CONTRACTOR shall neglect, refuse or fail to complete the remaining Work within the Contract Time or any proper extension thereof granted by COUNTY, CONTRACTOR shall pay COUNTY $250 for each day that expires after the time specified in paragraph 3.1 for completion and readiness for final payment.
3.3 The Contractor will be held to the timeline of the project, once the project begins. Unforeseen conditions that may cause a delay will be reviewed and determined by the COUNTY and the Engineer(s). Additional work days may be granted to the Contractor.
ARTICLE 4: CONTRACT PRICE
4.1. COUNTY shall pay CONTRACTOR for completion of the Work in accordance with the Contract Documents in current funds as follows:
4.1.1 In consideration of the faithful performance of the Work, as set forth in these Contract Documents, and in accordance with the direction of the ENGINEER and to his satisfaction to the extent provided in the Contract Documents, the COUNTY agrees to pay to the CONTRACTOR the amount bid, as adjusted in accordance with the Contract Documents, and based on the proposal made by the CONTRACTOR, to make such payments in the manner and times provided in the Contract Documents.
4.2 The Contract Price shall be the amount of Nine Hundred, Fifty Eight Thousand, Six Hundred and Seventy One Dollars and Ten Cents. ($958,671.10) which are described in the Contract Documents as the Base Bid and Alternate “A” and are hereby accepted by the COUNTY.
4.3 The CONTRACTOR shall procure all permits and licenses, pay all charges and fees, and give all notices necessary and incident to the Work. In the performance of the Work to be done
under this Contract, the CONTRACTOR shall use every reasonable and practicable means to avoid damage to property and injury to persons. The CONTRACTOR shall use no means or methods which will endanger, unnecessarily, either persons or property. The responsibility of the CONTRACTOR stated herein shall cease upon the Work being accepted as complete by the COUNTY.
**ARTICLE 5: PAYMENT PROCEDURES**
5.1 CONTRACTOR shall submit Applications for Payment in accordance with Section 00195 of the ODOT Specifications for Construction. Applications for Payment will be processed by ENGINEER as provided in the ODOT Specifications for Construction.
5.2. Progress Payments. COUNTY shall make monthly progress payments on account of the Contract Price on the basis of CONTRACTOR's Applications for Payment as recommended by ENGINEER. All progress payments will be on the basis of the progress of the Work measured by the schedule of values established in the ODOT Specifications for Construction (and in the case of Unit Price Work based on the number of units completed) or, in the event there is no schedule of values, as provided in the General Requirements.
5.2.1. At least twenty-eight (28) days before each payment falls due (but not more than once a month), CONTRACTOR shall submit to ENGINEER for review an Application for Payment filled out and signed by CONTRACTOR covering the Work completed as of the date of the application and accompanied by such supporting documentation as is required by the Contract Documents and also as ENGINEER may reasonably require.
5.2.2 ENGINEER will, within seven (7) days after receipt of each Application for Payment, either indicate in writing a recommendation of payment and present the Application to COUNTY, or return the Application to CONTRACTOR indicating in writing ENGINEER's reasons for refusing to recommend payment. In the latter case CONTRACTOR may make the necessary corrections and resubmit the Application. Within twenty-one (21) days after presentation of the Application for payment with ENGINEER's recommendation of payment, the amount recommended will become due and when due, will be paid by COUNTY to CONTRACTOR.
5.2.3. Prior to Substantial Completion, progress payments will be made in an amount equal to the percentage indicated below, but, in each case, less the aggregate of payments previously made and less such amounts as ENGINEER shall determine, or COUNTY may withhold, in accordance with Section 00195.50(b) of the ODOT Specifications for Construction.
- 95% of Work completed and approved by the ENGINEER.
- 95% of materials and equipment not incorporated in the Work (but delivered, suitably stored and accompanied by documentation satisfactory to COUNTY as provided in Section 00195.50 of the ODOT Specifications for Construction).
5.2.4. Upon Substantial Completion, in an amount sufficient to increase total payments to CONTRACTOR to 95% of the Contract Price, less such amounts as ENGINEER shall determine, or COUNTY may withhold, in accordance with Section 00195.50(b) of the ODOT Specifications for Construction. The COUNTY reserves the right to withhold 5% of the total project payment until all work is completed and approved by the ENGINEER.
5.3. Final Payment. Upon final completion and acceptance of the Work in accordance with Section 00195.90 of the ODOT Specifications for Construction, COUNTY shall pay the remainder of the Contract Price as recommended by ENGINEER as provided in said Section 00195.90.
5.3.1 The Final Application for payment shall be accompanied by at least the following: (a) CONTRACTOR's Affidavit of Release of Liens; (b) CONTRACTOR's Affidavit of Payment of Debts and Claims; and (c) Consent of Surety to Final Payment. Once all three documents (a, b, and c) have been delivered to the COUNTY for review and approval, the remaining 5% of the Project Construction Contract will be released to the CONTRACTOR.
5.4. Payments, Contributions and Liens:
5.4.1. Under the provisions of ORS 279C.505 the CONTRACTOR shall:
18.104.22.168. Make payment promptly, as due, to all persons supplying to such contractor labor or material for the prosecution of the work provided for in such contract.
22.214.171.124. Pay all contributions or amounts due the State Industrial Accident Fund from such contractor or subcontractor incurred in the performance of the contract.
126.96.36.199. Not permit any lien or claim to be filed or prosecuted against the state, county, school district, municipality, municipal corporation or subdivision thereof, on account of any labor or material furnished.
188.8.131.52. Pay to the Revenue Department all sums withheld from the employees pursuant to ORS 316.197.
5.4.2. If the contract is for a public improvement, the CONTRACTOR shall demonstrate that an employee drug testing program is in place.
5.4.3. Under the provisions of ORS 279C.515, if the CONTRACTOR fails, neglects, or refuses to make prompt payment of any claim for labor or services furnished to the CONTRACTOR or a subcontractor by any person in connection with this Contract as the claim becomes due, the proper officer representing the COUNTY may pay such claim to the person furnishing the labor or services and charge the amount of the payment against the funds due or to become due the CONTRACTOR by reason of the Contract. If a CONTRACTOR or a first-tier subcontractor fails, neglects or refuses to make prompt payment to a person furnishing labor or materials in connection with the public contract for a public improvement within 30 days after receipt of
payment from the public contracting agency or a contractor, the CONTRACTOR or first-tier subcontractor shall owe the person the amount due plus interest charges commencing at the end of the 10-day period that payment is due under ORS 279C.580 (3) and (4) and ending upon final payment, unless payment is subject to a good faith dispute as defined in ORS 279C.580. The rate of interest charged to the CONTRACTOR or first-tier subcontractor on the amount due shall equal three times the discount rate on 90-day commercial paper in effect at the Federal Reserve Bank in the Federal Reserve district that includes Oregon on the date that is 30 days after the date when payment was received from the public contracting agency or from the CONTRACTOR, but the rate of interest shall not exceed 30 percent. The amount of interest may not be waived.
5.4.4. If the CONTRACTOR or a subcontractor fails, neglects or refuses to make payment to a person furnishing labor or materials in connection with the public contract, the person may file a complaint with the Construction Contractors Board, unless payment is subject to a good faith dispute as defined in ORS 279C.580.
ARTICLE 6: CONTRACTOR'S REPRESENTATIONS
In order to induce COUNTY to enter into this Agreement CONTRACTOR makes the following representations:
6.1. CONTRACTOR has examined and carefully studied the Contract Documents (including the Addenda listed in Article 8) and the other related data identified in the Bidding Documents including "technical data."
6.2. CONTRACTOR has visited the site and become familiar with and is satisfied as to the general, local and site conditions that may affect cost, progress, performance or furnishing of the Work.
6.3. CONTRACTOR is familiar with and is satisfied as to all federal, state and local Laws and regulations that may affect cost, progress, performance and furnishing of the Work.
6.4. CONTRACTOR has carefully studied all reports of explorations and tests of subsurface conditions at or contiguous to the site and all drawings of physical conditions in or relating to existing surface or subsurface structures at or contiguous to the site as provided in Section 00120.15 and 00120.25 of the ODOT Specifications for Construction. CONTRACTOR acknowledges that COUNTY and ENGINEER do not assume responsibility for the accuracy or completeness of information and data shown or indicated in the Contract Documents with respect to Underground Facilities at or contiguous to the site. CONTRACTOR has obtained and carefully studied (or assumes responsibility for having done so) all such additional supplementary examinations, investigations, explorations, tests, studies and data concerning conditions (surface, subsurface and Underground Facilities) at or contiguous to the site or otherwise which may affect cost, progress, performance or furnishing of the construction to be employed by CONTRACTOR and safety precautions and programs incident thereto. CONTRACTOR does not consider that any additional examinations, investigations,
explorations, tests, studies or data are necessary for the performance and furnishing of the Work at the Contract Price, within the Contract Times and in accordance with the other terms and conditions of the Contract Documents.
6.5. CONTRACTOR is aware of the general nature of work to be performed by COUNTY and others at the site that relates to the Work as indicated in the Contract Documents.
6.6. CONTRACTOR has correlated the information known to CONTRACTOR, information and observations obtained from visits to the site, reports and drawings identified in the Contract Documents and all additional examinations, investigations, explorations, tests, studies and data with the Contract Documents.
6.7. CONTRACTOR has given ENGINEER written notice of all conflicts, errors, ambiguities or discrepancies that he has discovered in the Contract Documents and the written resolution thereof by ENGINEER is acceptable to CONTRACTOR, and the Contract Documents are generally sufficient to indicate and convey understanding of all terms and conditions for performance and furnishing of the Work.
6.8. CONTRACTOR is and will remain licensed by the State of Oregon Construction Contactors Board (CCB) or licensed by the State Landscaping Contractors Board (LCB) as required by ORS 671.530 as well as not limited to the same requirements of any and all subcontractors on this PROJECT. If the CONTRACTOR’s CCB license is not current during any phase of construction, the COUNTY may immediately terminate this Contract.
6.9. Prior to completion and final acceptance of work, the CONTRACTOR shall be held responsible for any injury or damage to the work or to any part thereof by action of the elements, or from any cause whatsoever, and the CONTRACTOR shall make good all injuries or damages to any portion of the work.
6.10. Except as otherwise provided in the Special Provisions of this Contract, the ENGINEER shall make final inspection of work done by the CONTRACTOR within 10 days after written notification to the ENGINEER by the CONTRACTOR that the work is completed. If the work is not acceptable to the ENGINEER, the ENGINEER shall so advise the CONTRACTOR in writing as to the particular defects to be remedied before acceptance by the ENGINEER can be made.
**ARTICLE 7: INDEMNITY – INSURANCE – BONDS**
7.1 Responsibility for Damages/Indemnity. The CONTRACTOR shall be responsible for all damage to property, injury to persons, and loss, expense, inconvenience, and delay that may be caused by, or result from, the carrying out of the Work, or from any act, omission, or neglect of Contractor, its subcontractors, employees, guests, visitors, invitees, and agents. The CONTRACTOR agrees to indemnify, save harmless and defend the COUNTY, its officers, commissioners and employees from and against all claims and action, and all expenses incidental to the investigation and defense thereof, arising out of or based upon damage or injuries to
persons or property caused by the errors, omissions, fault or negligence of the CONTRACTOR or the CONTRACTOR'S employees.
7.2 Insurance.
7.2.1. As evidence of the insurance coverage required by this Contract, CONTRACTOR shall furnish a Certificate of Insurance to COUNTY. The Contract shall not be effective until the required certificates have been received, approved and accepted by COUNTY. A renewal certificate will be sent to COUNTY 10 days prior to coverage expiration. The CONTRACTOR agrees to furnish the COUNTY evidence of commercial general liability insurance in the amount of not less than $1,000,000 combined single limit per occurrence/$2,000,000 general annual aggregate for personal injury and property damage for the protection of the COUNTY, its officers, commissioners and employees against liability for damages because of personal injury, bodily injury, death or damage to property, including loss of use thereof in any way related to this Contract. The general aggregate shall apply separately to this project/location. The COUNTY, at its option, may require a complete copy of the above policy.
7.2.2. If the CONTRACTOR has assistance of other persons in the performance of this Contract, the CONTRACTOR, if it is a subject employer, agrees to qualify and remain qualified for the term of this Contract as an insured employer under ORS 656. CONTRACTORS shall maintain employer’s liability insurance with limits of $100,000 each accident, $100,000 disease each employee, and $500,000 each policy limit.
7.2.3. If any other required liability insurance is arranged on a “claims made” basis, “tail” coverage will be required at the completion of this Contract for a duration of thirty-six (36) months or the maximum time period the CONTRACTOR’S insurer will provide “tail” coverage as subscribed, or continuous “claims made” liability coverage for thirty-six (36) months following the Contract completion. Continuous “claims made” coverage will be acceptable in lieu of “tail” coverage, provided it’s retroactive date is on or before the effective date of this Contract.
7.2.4. The CONTRACTOR agrees to furnish the COUNTY evidence of business automobile liability insurance in the amount of not less than $500,000 combined single limit for bodily injury and property damage for the protection of the COUNTY, its officers, commissioners and employees against liability for damages because of bodily injury, death or damage to property, including loss of use thereof in any way related to this Contract. The COUNTY, at its option, may require a complete copy of the above policy.
7.2.5. The certificate of insurance, other than the pollution liability insurance shall include the COUNTY as an expressly scheduled additional insured using form CG 20-10, CG 20-37, CG 32-61 or their equivalent. A blanket endorsement or automatic endorsement is not sufficient to meet this requirement. Proof of insurance must include a copy of the endorsement showing the COUNTY as a scheduled insured. Such insurance shall provide sixty (60) days written notice to the COUNTY in the event of a cancellation or material change and include a statement that no act on the part of the insured shall affect the coverage afforded to the COUNTY under this
insurance. This policy(s) shall be primary insurance as respects to the COUNTY. Any insurance or self insurance maintained by the COUNTY shall be excess and shall not contribute to it.
7.2.6. The CONTRACTOR shall obtain, at the CONTRACTOR'S expense and keep in effect during the term of the Contract, CONTRACTOR'S Pollution Liability insurance covering the CONTRACTOR'S liability for a third party bodily injury and property damage arising from pollution conditions caused by the CONTRACTOR while performing their operations under the Contract. The insurance coverage shall apply to sudden and accidental pollution events. Any coverage restriction as to time limit for discovery of a pollution incident and/or a time limit for notice to the insuror must be accepted by the COUNTY. The insurance coverage shall also respond to cleanup cost. This coverage may be written in combination with the commercial general liability insurance or professional liability insurance. The policy's limits shall not be less than $1,000,000 each loss / $1,000,000 aggregate. The policy shall be endorsed to state that the general aggregate limit of liability shall apply separately to this Contract. Any self-insured retention / deductible amount shall be submitted to the COUNTY for review and approval.
7.3 Bonds. The CONTRACTOR agrees to furnish to the COUNTY bonds covering the performance of the Contract and the payment of obligations each in the amount equal to the full amount of the Contract as amended. Upon the request of any person or entity appearing to be a potential beneficiary of the bonds covering payment of obligations arising in the Contract, the CONTRACTOR shall promptly furnish a copy of the bonds or shall permit a copy to be made. The CONTRACTOR shall secure, include costs thereof in the bid, and pay for a performance bond and payments bond in compliance of ORS 279C.380 and other applicable revised statutes issued by a bonding company licensed to transact business in the State of Oregon in accordance with the bid and performance bonds forms provided or others acceptable to the COUNTY. The CONTRACTOR also agrees that the performance bond to be furnished as specified shall be such as to stay in force for a period of three hundred sixty-five days (365), after acceptance of the work by the COUNTY as a guarantee of repair or replacement of any item(s) of work found to be defective by reason of faulty workmanship or defective materials.
7.3.1. The CONTRACTOR shall have a public work bond filed with the Construction Contractors Board prior to starting work on the project, in accordance with ORS 279C.830. Additionally the CONTRACTOR shall include in every subcontract a provision requiring the subcontractor to have a public works bond filed with the Construction Contractors Board before starting work, in accordance with ORS 279C.830
ARTICLE 8: CONTRACT DOCUMENTS
The Contract Documents which comprise the entire agreement between COUNTY and CONTRACTOR concerning the Work consist of the following, each of which are incorporated by this reference herein:
8.1. This Agreement (pages 1 to 13, inclusive).
8.2. Exhibits (Reserved - Not used at this time).
8.3. Performance and Labor Material Payment Bonds, Public Works Bond consisting of 5 pages.
8.4. 2018 ODOT Standard Specifications for Construction.
8.5. Supplementary Conditions, including:
Special Conditions
HUD Labor Standards, HUD-4010
HUD Section 3 Guidelines
Federal Prevailing (Davis-Bacon) Wage Decision: OR190001, Dated 02/01/2019, Type: Highway
State of Oregon (BOLI) Wage Rates Decision: January 1, 2019
8.6. Specifications bearing the title “City of Gladstone Construction Specifications (pages 1 to 205 inclusive)
8.7. Drawings bearing the title “E. CLARENDON STREET – PHASE 1 (stamped by Patrick A. Sisul, Sisul Engineering,.
8.8. Addenda Number: 1 of 1.
8.9. CONTRACTOR’s Bid Proposal:
8.10. The following which may be delivered or issued after the Effective Date of the Agreement and are not attached hereto: All Written Amendments and other documents amending, modifying, or supplementing the Contract Documents pursuant to Section 00140.30 of the ODOT Specifications for Construction.
The documents listed in paragraphs 7.2 et seq. above are attached to this Agreement (except as expressly noted otherwise above).
There are no Contract Documents other than those listed above in this Article 8. The Contract Documents may only be amended, modified or supplemented as provided in Section 00140.30 of the ODOT Specifications for Construction.
ARTICLE 9: FEDERAL (Davis-Bacon) AND STATE (BOLI) PREVAILING WAGE RATES
Each worker in each trade or occupation employed in the performance of the contact either by the CONTRACTOR, subcontractor, or other person(s) doing or contracting for the whole or any part of the work on this Contract, shall be paid not less then the applicable prevailing wage rate,
and will pay the higher rate of pay on an individual job classification of which shall be in effect for this Contract pursuant to Davis-Bacon Act (40 U.S.C. 276a) and Bureau of Labor and Industries (a.k.a. BOLI) ORS 279C.800 through ORS 279C.870.
**ARTICLE 10: DESCRIPTION OF CONTRACTOR**
10.1. The CONTRACTOR is engaged hereby as an independent CONTRACTOR and will be so deemed for purposes of the following.
10.1.1. The CONTRACTOR will be solely responsible for payment of any Federal or State taxes required as a result of this agreement.
10.1.2. This Contract is not intended to entitle the CONTRACTOR to any benefits generally granted to COUNTY employees. Without limitation, but by way of illustration, the benefits which are not intended to be extended by this Contract to the CONTRACTOR are vacation, holiday and sick leave, other leaves with pay, tenure, medical and dental coverage, life and disability, insurance, overtime, Social Security, Workers' Compensation, unemployment compensation, or retirement benefits (except insofar as benefits are otherwise required by law if the CONTRACTOR is presently a member of the Public Employees Retirement System).
10.1.3. The CONTRACTOR certifies that at present, he or she, if an individual, is not a program, County, or federal employee.
**ARTICLE 11: MISCELLANEOUS**
11.1. Terms used in this Agreement which are defined in Section 00130 - Award and Execution of Contract of the ODOT Specifications for Construction will have the meanings indicated in the ODOT Specifications for Construction.
11.2 The COUNTY, through its AUTHORIZED REPRESENTATIVE or his designee shall at all times be allowed access to all parts of the operations and work locations of the CONTRACTOR, and shall be furnished such information and assistance by the CONTRACTOR, or the designated representative or representatives of the CONTRACTOR, as may be required to make a complete and detailed inspection.
11.3. No assignment by a party hereto of any rights under or interests in the Contract Documents will be binding on another party hereto without the written consent of the party sought to be bound; and specifically but without limitation moneys that may become due and moneys that are due may not be assigned without such consent (except to the extent that the effect of this restriction may be limited by law), and unless specifically stated to the contrary in any written consent to an assignment no assignment will release or discharge the assignor from any duty or responsibility under the Contract Documents.
11.4. COUNTY and CONTRACTOR each binds itself, its partners, successors, assigns and legal representatives to the other party hereto, its partners, successors, assigns and legal
representatives in respect of all covenants, agreements and obligations contained in the Contract Documents.
11.5. If any term or provision of this Contract is declared by a court of competent jurisdiction to be illegal or in conflict with any law, the validity of the remaining terms and provisions shall not be affected, and the rights and obligations of the parties shall be construed and enforced as if the Contract did not contain the particular term or provision held to be invalid.
ARTICLE 12: TAX LAWS
12.1. The CONTRACTOR shall comply with all federal, state and local laws, regulation, executive orders and ordinances applicable to the Work under this Contract. CONTRACTOR must, throughout the duration of this Contract and any extensions, comply with all tax laws of this state and all applicable tax laws of any political subdivision of this state. Any violation of this section shall constitute a material breach of this Contract. Further, any violation of CONTRACTOR'S warranty, in this Contract that CONTRACTOR has complied with the tax laws of this state and the applicable tax laws of any political subdivision of this state also shall constitute a material breach of this Contract. Any violation shall entitle COUNTY to terminate this Contract, to pursue and recover any and all damages that arise from the breach and the termination of this Contract, and to pursue any or all of the remedies available under this Contract, at law, or in equity, including but not limited to:
a. Termination of this Contract, in whole or in part;
b. Exercise of the right of setoff, and withholding of amounts otherwise due and owing to CONTRACTOR, in an amount equal to COUNTY'S setoff right, without penalty; and
c. Initiation of an action or proceeding for damages, specific performance, declaratory or injunctive relief. COUNTY shall be entitled to recover any and all damages suffered as the result of CONTRACTOR'S breach of this Contract, including but not limited to direct, indirect, incidental and consequential damages, costs of cure, and costs incurred in securing replacement performance.
These remedies are cumulative to the extent the remedies are not inconsistent, and COUNTY may pursue any remedy or remedies singly, collectively, successively, or in any order whatsoever.
12.2. The CONTRACTOR represents and warrants that, for a period of no fewer than six calendar years preceding the effective date of this Contract, has faithfully complied with:
a. All tax laws of this state, including but not limited to ORS 305.620 and ORS chapters 316, 317, and 318;
b. Any tax provisions imposed by a political subdivision of this state that applied to CONTRACTOR, to CONTRACTOR'S property, operations, receipts, or income, or to CONTRACTOR'S performance of or compensation for any work performed by CONTRACTOR;
c. Any tax provisions imposed by a political subdivision of this state that applied to CONTRACTOR, or to goods, services, or property, whether tangible or intangible, provided by CONTRACTOR; and
d. Any rules, regulations, charter provisions, or ordinances that implemented or enforced any of the foregoing tax laws or provisions.
ARTICLE 13: DEBT LIMITATION
This Contract is expressly subject to the debt limitation of Oregon counties set forth in Article XI, Section 10 of the Oregon Constitution, and is contingent upon funds being appropriated therefore. Any provisions herein which would conflict with law are deemed inoperative to that extent.
IN WITNESS WHEREOF, COUNTY and CONTRACTOR have signed this Agreement in triplicate. One counterpart each has been delivered to COUNTY, CONTRACTOR and ENGINEER. All portions of the Contract Documents have been signed or identified by COUNTY and CONTRACTOR or by ENGINEER on their behalf.
ARTICLE 14: SECTION 3 COVERED CONTRACT
14.1 The Work to be performed under this Contract is subject to the requirements of section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (section 3). The purpose of section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing.
14.2 The parties to this Contract agree to comply with HUD's regulations in 24 CFR part 135, which implement section 3. As evidenced by their execution of this Contract, the parties to this Contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations.
14.3 The CONTRACTOR agrees to send to each labor organization or representative of workers with which the CONTRACTOR has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the CONTRACTOR's commitments under this section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the
qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin.
14.4 The CONTRACTOR agrees to include this section 3 clause in every subcontract subject to compliance with regulations in 24 CFR part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR part 135. The CONTRACTOR will not subcontract with any subcontractor where the CONTRACTOR has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR part 135.
14.5 The CONTRACTOR will certify that any vacant employment positions, including training positions, that are filled (1) after the CONTRACTOR is selected but before the Contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR part 135 require employment opportunities to be directed, were not filled to circumvent the CONTRACTOR's obligations under 24 CFR part 135.
14.6 Noncompliance with HUD's regulations in 24 CFR part 135 may result in sanctions, termination of this Contract for default, and debarment or suspension from future HUD assisted contracts.
14.7 With respect to work performed in connection with section 3 covered Indian housing assistance, section 7(b) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this Contract. Section 7(b) requires that to the greatest extent feasible (i) preference and opportunities for training and employment shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian-owned Economic Enterprises. Parties to this Contract that are subject to the provisions of section 3 and section 7(b) agree to comply with section 3 to the maximum extent feasible, but not in derogation of compliance with section 7(b).
[Signature Page to Follow]
This Agreement will be effective upon the date on which it is signed by the COUNTY.
**CONTRACTOR**
Clackamas Construction, Inc.
PO Box 279
Boring, Oregon 97009
By: Bobbie Mohler
Nick Mueller, President
Bobbie Mohler, Project Manager
Date Signed
93-0984467
Contractor's Federal Tax Identification No.
or Social Security No. (if individual)
58599
Oregon Commercial Contractor’s Board No.
**COUNTY**
Clackamas County, Oregon
Chair: Jim Bernard
Commissioner: Sonya Fischer
Commissioner: Ken Humberston
Commissioner: Paul Savas
Commissioner: Martha Schrader
Signing on Behalf of the Board
By: ____________________________
Richard Swift, Director
Health, Housing and Human Services Department
Date Signed
Housing & Human Services (Public Health and Behavioral Health) and community paramedics from Clackamas Fire and AMR. Public Health will act as the project lead and fiscal agent.
**Project:**
When looking at overdose data in Clackamas County, it is clear that local Emergency Medical Service agencies play a critical role in our communities' response to the opioid epidemic. In Clackamas County, AMR and Clackamas Fire respond to the majority of the opioid overdose calls received by 911 dispatch, saving hundreds of lives each year. Additionally, these two agencies staff community paramedics who work in a specialized role to provide care coordination between patients and providers, as well as community resource navigation.
Over the last year, CCPH has partnered with AMR and Clackamas Fire to build a more comprehensive opioid response model in our county through the creation of Project Hope. Project Hope begins with follow-up by a community paramedic after the overdose occurs. After an assessment is completed, patients are navigated to treatment and recovery services in the community (inpatient, outpatient and community-based services) with a longer-term plan established to prevent future substance use and potential overdose. In an effort to work more upstream and further de-silo our approach to the opioid crisis, Project Hope has expanded to include law enforcement as a partner to help connect individuals to treatment and recovery supports. By adding another pathway to treatment, Project Hope is working in a preventive role to divert eligible individuals away from the criminal justice system, link to treatment before an overdose occurs, and improve law enforcement relations in the community.
At this time, Project Hope has limited capacity to respond and provide ongoing follow-up to the many individuals needing support. In 2018, Clackamas County first responders assisted over 80 people who survived an opioid overdose and nearly 300 individuals were discharged from an emergency department or urgent care setting due to an opioid overdose. The community paramedics are currently dedicating 10 hours a week to Project Hope; we cannot come close to meeting the demand with the current resources available. Additional funding will expand the project by adding more personnel time.
**Recommendation:**
Staff recommends the BCC approve CCPH’s request to apply for the US Department of Justice – Comprehensive Opioid Abuse Site-based Program funding opportunity.
Respectfully submitted,
Richard Swift, Director
Health, Housing and Human Services
**CONCEPTION**
Note: The processes outlined in this form are not applicable to disaster recovery grants.
Section I: Funding Opportunity Information - To be completed by Requester
Lead Department: Health, Housing & Human Services
Application for: ☐ Subrecipient funds ☑ Grant
Grant Renewal? ☐ Yes ☑ No
Name of Funding Opportunity: Comprehensive Opioid Abuse Site-based Program
Funding Source: ☑ Federal ☐ State
Requestor Information (Name of staff person initiating form): Sherry Olson
Requestor Contact Information: 503.742.5342
Department Fiscal Representative: Sherry Olson
Program Name or Number (please specify): Opioid Misuse Prevention/8387
Brief Description of Project:
If awarded, the funding will be used to expand an existing pilot project (Project HOPE) between Clackamas County Public Health, American Medical Response (AMR), and Clackamas Fire. Community paramedics from AMR and Clackamas Fire provide care coordination and recovery supports for opioid overdose survivors. Project HOPE aims to (1) reduce the number of people who overdose on opioids, (2) reduce 911 calls and hospital readmission, (3) improve the quality of life for patients with substance use disorders, and (4) bridge gaps in care by connecting vulnerable patients to treatment and other social and health-related support services. The second phase of Project HOPE will expand the existing model so more patients are served and bring on a Peer Support Specialist to help with care coordination.
Name of Funding (Granting) Agency: US Department of Justice/Bureau of Justice Assistance
Agency's Web Address for Grant Guidelines and Contact Information:
https://www.bja.gov/ProgramDetails.aspx?Program_ID=72
Tara Kunkel
Senior Drug Policy Officer (IPA)
202-616-0690
E-mail: email@example.com
OR
Application Packet Attached: ☑ Yes ☐ No
Completed By: Sherry Olson
**NOW READY FOR SUBMISSION TO DEPARTMENT FISCAL REPRESENTATIVE**
Section II: Funding Opportunity Information - To be completed by Department Fiscal Rep
☐ Competitive Grant ☐ Non-Competing Grant/Renewal ☐ Other
CFDA(s), if applicable: 16.838
Announcement Date: 4/5/2019
Notification Date: 4/5/2019
Announcement/Opportunity #: BJA-2019-15111
Category 1b/Locally driven responses to the opioid epidemic
Max Award Value: $900,000
Allows Indirect/Rate: Yes
Match Requirement: No
Application Deadline: 6/5/2019
Other Deadlines: No
| **Grant Start Date:** | 1/1/2020 |
|----------------------|----------|
| **Grant End Date:** | 12/31/2022 |
| **Completed By:** | Sherry Olson |
| **Pre-Application Meeting Schedule:** | |
Section III: Funding Opportunity Information - To be completed at Pre-Application Meeting by Dept Program and Fis
Mission/Purpose:
1. How does the grant support the Department's Mission/Purpose/Goals?
This grant will support H3S’s mission to ensure healthy families and strong communities in Clackamas County. A necessary component of this mission is preventing opioid misuse and overdose deaths. The grant will enable H3S to support our mission.
2. How does the grant support the Division's Mission/Purpose/Goals? (If applicable)
This grant complements existing work opioid misuse/safety work in Public Health and supports Public Health's strategic goal of reducing the number of opioid overdose deaths in Clackamas County. This grant also supports Public Health Modernization efforts to integrate data systems and build public health-academic research partnerships.
3. What, if any, are the community partners who might be better suited to perform this work?
NA
4. What are the objectives of this grant? How will we meet these objectives?
The grant aims to reduce opioid abuse and the number of overdose fatalities, as well as to mitigate the impacts on crime victims by supporting comprehensive, collaborative initiatives. The program also supports the implementation, enhancement, and proactive use of PDMPs to support clinical decision making and prevent the abuse and diversion of controlled substances. Grantees are prohibited from using federal funds to support activities that violate the Controlled Substances Act. Project objectives and deliverables are below. Public Health will achieve these objectives through regular communication and technical assistance with the funder.
• Agree to work closely with BJA’s designated training and technical assistance (TTA) provider(s) that may assist with planning, implementation, and assessment of the sites.
• Agree to work closely with a researcher selected by BJA who may conduct a site-specific or cross-site evaluation in future years.
• Identify a project coordinator to manage the day-to-day operations of the initiative. The project coordinator should devote at least 50 percent of his or her time to the proposed project and may be funded as part of the proposed project.
5. Does the grant proposal fund an existing program? If yes, which program? If no, what should the program be called and what is its purpose?
Project HOPE
Organizational Capacity:
1. Does the organization have adequate and qualified staff? If yes, what types of staff are required?
If no, can staff be hired within the grant timeframe?
Yes. Project director, opioid project coordinator, 2 community paramedics, peer support specialist, data analyst, and epidemiologist.
2. Is there partnership efforts required? If yes, who are we partnering with, what are their roles and responsibilities, and are they committed to the same goals?
Yes. AMR and Clackamas Fire are providing two community paramedics and Clackamas County Behavioral Health is providing one Peer Support Specialist. All partners are committed to improving the quality of life for patients
with substance use disorders and reducing the harms associated with opioid use.
3. If this is a pilot project, what is the plan for sunsetting the program or staff if it does not continue (e.g. making staff positions temporary or limited duration, etc.)?
NA
4. If funding creates a new program, does the department intend that the program continue after initial funding is exhausted? If so, how will the department ensure funding (e.g. request new funding during the budget process, discontinue or supplant a different program, etc.)?
This funding does not create a new program, it supplements current opioid work in Public Health’s Population Health Strategies Org, Opioid Misuse Prevention Program. However, due to the “new” funding source, Public Health will be requesting a new program code to track revenue and expenditures associated to this specific CFDA # and project. Public Health will continue to look for additional funding to sustain ongoing opioid work that may, or may not, continue funding for the Project HOPE, specifically.
Collaboration
1. List County departments that will collaborate on this award, if any.
Health, Housing & Human Services and Sheriff
Reporting Requirements
1. What are the program reporting requirements for this grant?
Recipients typically must submit quarterly financial reports, semi-annual progress reports, final financial and progress reports, and, if applicable, an annual audit report in accordance with the Part 200 Uniform Requirements or specific award conditions. Future awards and fund drawdowns may be withheld if reports are delinquent. (In appropriate cases, OJP may require additional reports.)
Awards that exceed $500,000 will include an additional condition that, under specific circumstances, will require the recipient to report (to FAPIIS) information on civil, criminal, and administrative proceedings connected with (or connected to the performance of) either the OJP award or any other grant, cooperative agreement, or procurement contract from the federal government. Additional information on this reporting requirement appears in the text of the award condition posted on the OJP web site at http://ojp.gov/funding/FAPIIS.htm.
2. What is the plan to evaluate grant performance? Are we using existing data sources? If yes, what are they and where are they housed? If not, is it feasible to develop a data source within the grant timeframe?
The grantor maintains an online performance measurement tool where project metrics will be submitted.
3. What are the fiscal reporting requirements for this grant?
See above
Fiscal
1. Will we realize more benefit than this grant will cost to administer?
Yes
2. What other revenue sources are required? Have they already been secured?
CGF to cover indirect costs calendar years 2020 through 2022 (CY 2020 $14,527, CY 2021 $154781, & CY 2022 $16,494)
3. Is there a match requirement? If yes, how much and what type of funding (CGF, Inkind, Local Grant, etc.)?
None
4. Is this continuous or one-time funding? If one-time funding, how will program funding be sustained?
Funding is continuous for three calendar years (CY2020-2022), but should be considered one-time funding. Public Health will continue to seek additional funding for oversight and coordination efforts, but will look to partner agencies to dedicate funding to their perspective agencies at the end of CY2022.
5. Does this grant cover indirect costs? If yes, is there a rate cap? If no, can additional funds be obtained to support indirect expenses and what are they?
We are not charging this Federal Grant Indirects because we a) do not have a federally approved indirect cost rate or b) eligible to use the "de minimis" indirect costs rate; awarding agency requires one of the two previous types of indirect charges if they are reimbursing. If awarded in FY19-20 we will re allocate budgeted CGF to cover indirect costs (savings from this grant funded FTE initially budget with CGF offset). The indirect costs calendar years 2020 through 2022 (CY 2020 $14,527, CY 2021 $154781, & CY 2022 $16,494).
Program Approval:
Name (Typed/Printed) Date Signature
**NOW READY FOR PROGRAM MANAGER SUBMISSION TO DIVISION DIRECTOR**
Section IV: Approvals
DIVISION DIRECTOR OR ASSISTANT DIRECTOR (or designee, if applicable)
| Name (Typed/Printed) | Date | Signature |
|----------------------|------|-----------|
DEPARTMENT DIRECTOR
| Name (Typed/Printed) | Date | Signature |
|----------------------|------|-----------|
IF APPLICATION IS FOR FEDERAL FUNDS, PLEASE SEND COPY OF THIS DOCUMENT BY EMAIL TO FINANCE (firstname.lastname@example.org). ROUTE ORIGINAL OR SCANNED VERSION TO COUNTY ADMIN.
Section V: Board of County Commissioners/County Administration
(Required for all grant applications. All grant awards must be approved by the Board on their weekly consent agenda regardless of amount per local budget law 294.338.)
For applications less than $150,000:
COUNTY ADMINISTRATOR
| Approved: | Denied: |
|-----------|---------|
| Name (Typed/Printed) | Date | Signature |
|----------------------|------|-----------|
For applications greater than $150,000 or which otherwise require BCC approval:
BCC Agenda item #:
Date:
OR
Policy Session Date:
County Administration Attestation
County Administration: re-route to department contact when fully approved.
Department: keep original with your grant file.
|
An atmospheric inversion over the city of Cape Town: sensitivity analyses
Alecia Nickless\textsuperscript{1,2}, Peter J. Rayner\textsuperscript{3}, Robert J. Scholes\textsuperscript{4}, Francois Engelbrecht\textsuperscript{5}, and Birgit Erni\textsuperscript{1,6}
\textsuperscript{1}Department of Statistical Sciences, University of Cape Town, Cape Town, 7701, South Africa
\textsuperscript{2}Nuffield Department of Primary Care Health Sciences, University of Oxford, Oxford, OX2 6GG, UK
\textsuperscript{3}School of Earth Sciences, University of Melbourne, Melbourne, VIC 3010, Australia
\textsuperscript{4}Global Change Institute, University of the Witwatersrand, Johannesburg, 2050, South Africa
\textsuperscript{5}Climate Studies and Modelling and Environmental Health, CSIR, Pretoria, 0005, South Africa
\textsuperscript{6}The Centre for Statistics in Ecology, the Environment and Conservation, University of Cape Town, Cape Town, 7701, South Africa
Correspondence: Alecia Nickless firstname.lastname@example.org
Abstract. We present sixteen different sensitivity tests applied to the Cape Town atmospheric Bayesian inversion analysis from March 2012 until June 2013. The reference inversion made use of a fossil fuel inventory analysis and estimates of biogenic fluxes from CABLE (Community Atmosphere Biosphere Land Exchange model). Changing the prior information product and the assumptions behind the uncertainties in the biogenic fluxes had the largest impact on the inversion results in terms of the spatial distribution of the fluxes, the size of the aggregated fluxes, and the uncertainty reduction achieved. A carbon assessment product of natural carbon fluxes, used in place of CABLE, and the Open-source Data Inventory for Anthropogenic CO$_2$ product, in place of the fossil fuel inventory, resulted in prior estimates that were more positive on average than the reference configuration. The use of different prior flux products to inform separate inversions provided better constraint on the posterior fluxes compared with a single inversion. For the Cape Town inversion we showed that, where our reference inversion had aggregated prior flux estimates that were made more positive by the inversion, suggesting that the CABLE was overestimating the amount of CO$_2$ uptake by the biota, when the alternative prior information was used, fluxes were made more negative by the inversion. As the posterior estimates were tending towards the same point, we could deduce that the best estimate was located somewhere between these two posterior fluxes. We could therefore restrict the best posterior flux estimate to be bounded between the solutions of these separate inversions.
The assumed error correlation length for NEE fluxes played a major role in the spatial distribution of the posterior fluxes and in the size of the aggregated flux estimates, where ignoring these correlations led to posterior estimates more similar to the priors compared with the reference inversion. Apart from changing the prior flux products, making changes to the error correlation length in the NEE fluxes resulted in the greatest contribution to variability in the aggregated flux estimates between different inversions. Those cases where the prior information or NEE error correlations were altered resulted in greater variability between the aggregated fluxes of different inversions compared with the uncertainty around the posterior fluxes of the reference inversion.
Solving for four separate weekly inversions resulted in similar estimates for the weekly fluxes compared with the single monthly inversion, while reducing computation time by up to 75%. Solving for a mean weekly flux within a monthly inversion did result in differences in the aggregated fluxes compared with the reference inversion, but these differences were mainly during periods with data gaps. The uncertainty reduction from this inversion was almost double that of the reference inversion (47.2% versus 25.6%). Taking advantage of more observations to solve for one flux, such as allowing the inversion to solve for separate slow and fast components of the fossil fuel and NEE fluxes, as well as taking advantage of expected error correlation between fluxes of homogeneous biota, would reduce the uncertainty around the posterior fluxes. The sensitivity tests demonstrate that going one step further and assigning a probability distribution to these parameters, for example in a hierarchical Bayes approach, would lead to more useful estimates of the posterior fluxes and their uncertainties.
1 Introduction
Atmospheric inversion, where estimates of CO$_2$ fluxes can be derived from measurements of CO$_2$ concentrations at a point location, is a useful tool for monitoring, reporting and verification (MRV) of CO$_2$ emissions from cities (Bellassen and Stephan, 2015; Wu et al., 2016; Lauvaux et al., 2016; Oda et al., 2017a). Estimates of city-level CO$_2$ emissions are usually obtained using bottom-up techniques, which require some knowledge of what activities produce CO$_2$ emissions and the fuel usage of these activities. Ascertaining the uncertainty in these inventory-based estimates is not trivial, and these uncertainties increase as the spatio-temporal resolution of these estimates is increased (Turnbull et al., 2011). The inversion solves for both the anthropogenic and biogenic contributions, usually expressed as fluxes of CO$_2$. This approach attempts to correct prior estimates of these fluxes such that the misfit between the observed and modelled concentrations at the measurement sites is minimised. Therefore, if an inventory analysis of fossil fuel emissions from the city is used as the prior information, the inversion will provide corrections to these emissions.
Inversions used for investigating city-level emissions are carried out at kilometric resolutions (Bréon et al., 2015; Lauvaux et al., 2016). Such an inversion was carried out for the city of Cape Town, South Africa (Nickless et al., 2018). As is required for all atmospheric inversions, decisions need to be made regarding what prior information should be used; for which unknown CO$_2$ fluxes will the inversion solve; and what the structure of the covariance matrices will be (Bréon et al., 2015; Lauvaux et al., 2016; Staufer et al., 2016; Oda et al., 2017a). Sensitivity tests on the impact of these decisions are necessary, and provide information on the robustness of the inversion results. This paper presents the results of sensitivity tests applied to these decisions for the Cape Town inversion.
The prior information required for an atmospheric inversion are the initial estimates of the unknown fluxes. For a city-level inversion, this means initial estimates of the gridded fossil fuel emissions, at the spatio-temporal scale at which the inversion is to be performed. The inversion described in Nickless et al. (2018) made use of a bespoke inventory analysis carried out
for the purpose of the inversion (Nickless et al., 2015a). Information on the uncertainty in these prior fluxes is also required. The uncertainties applied to the estimates of the fossil fuel fluxes for Cape Town were based on error propagation techniques. The uncertainties in the emission factors and activity data were combined to obtain an overall uncertainty in the flux estimate (Nickless et al., 2015a).
The observed concentration data, as measured at atmospheric monitoring sites and which are the data used by an atmospheric inversion, are as a result of aggregated fluxes from all sources of CO$_2$ along the path of the air flow. Sources refer to anything which may have a positive (i.e. emit) or negative (i.e. uptake) contribution to the overall CO$_2$ concentration. Even if biogenic fluxes are not necessarily of interest in the city-level inversion, they need to be accounted for in the model as these fluxes will be inducing changes to the observed CO$_2$ concentration. For the Cape Town inversion, net ecosystem exchange (NEE) fluxes were obtained from the land atmosphere exchange model CABLE (Community Atmosphere Biosphere Land Exchange) (Nickless et al., 2018). This model was dynamically coupled to the regional climate model, CCAM (Conformal Cubic Atmospheric Model), from which climatic variables, required for the atmospheric transport model, were obtained. Uncertainties in the prior fluxes were specified to be large due to the large amount of variation in modelling ecosystem productivity and respiration from the fynbos biome by dynamic vegetation models (Moncrieff et al., 2015). Fynbos is the dominant naturally occurring vegetation type in the area. Cape Town city is also surrounded by large agricultural areas, particularly vineyards. The uncertainties in the prior NEE fluxes were set at the estimate of net primary productivity (NPP). NEE = NPP + Rh, where Rh is the heterotrophic respiration. Therefore NEE is a balance of two large fluxes, which are both non-trivial to model (Archibald et al., 2009). The uncertainty in set as the productivity component of the NEE flux as the error in the estimate of NEE can be as large as either the productivity or respiration component. Therefore, for the Cape Town inversion, the uncertainty was much larger than the accompanying NEE estimate. We emphasize these details, as the sensitivity analyses will demonstrate the importance of the approach adopted for assigning uncertainties and error correlations to these natural fluxes.
Using the inversion described in Nickless et al. (2018) as the reference inversion, we carried out sensitivity analyses which considered alternative products for the prior information. For the prior fossil fuel fluxes, we substituted the estimates from the bespoke inventory analysis with those from the ODIAC (Open-source Data Inventory for Anthropogenic CO$_2$) product (Oda and Maksyutov, 2011; Lauvaux et al., 2016; Oda et al., 2017a; Oda et al., 2017b). For the biogenic fluxes, we performed a test where the CABLE estimates were replaced with those from a carbon assessment study (Scholes et al., 2013). The carbon assessment study aimed to map terrestrial carbon stocks for South Africa and provided estimates of NPP and NEE at a spatial resolution of 1 km $\times$ 1 km, and was used for a previous optimal measurement network design study for South Africa (Nickless et al., 2015b). Sensitivity tests were performed where the original products were used for the prior fossil fuel and NEE fluxes, but the uncertainties prescribed to these fluxes were either individually doubled or halved, which therefore changed the relative contribution of each flux to the uncertainty in the total prior flux.
The structure of the uncertainty covariance matrices for the observations and for the prior fluxes can have a significant effect on the resulting flux estimates from the inversion, as well as on the spatial distribution of these fluxes (Lauvaux et al., 2016). We investigated the impact of the prescribed off-diagonal covariances in these prior covariance matrices. In the reference inversion we allowed a small correlation length of one hour between observation errors. For the prior NEE uncertainty estimates, a
correlation length of one kilometre was specified for NEE fluxes from the same week. No spatial correlation was specified between fossil fuel flux uncertainties as many of the larger sources from the inventory analysis were point sources. As we did not solve for fossil fuel fluxes from different sectors separately, we decided it would be better to keep fossil fuel flux uncertainties uncorrelated. This would avoid implausible correlations between uncertainties; for example, between a large industrial source and a residential source. As sensitivity tests, we removed each of these correlations from the prescribed uncertainty covariance matrices; individually as well as the case where the uncertainty covariance matrices for both the observations and for the prior fluxes were specified as diagonal matrices.
We were interested in the composition of the control vector, which contains the unknown surface fluxes and domain boundary concentrations. For the reference inversion we carried out thirteen monthly inversions which solved for weekly fluxes from each of the $101 \times 101$ surface pixels. The weekly fluxes consisted of working week and weekend fossil fuel fluxes, and NEE fluxes for the full week; each separated into day and night fluxes. Each monthly inversion solved for four sets (i.e. a period of four weeks) of these six distinct weekly fluxes from each pixel. We tested whether solving for an average of each of these weekly fluxes over the course of the month would achieve similar results compared with the reference inversion. We also compared the reference inversion with the approach of carrying out separate inversions for each week. Therefore instead of performing 13 monthly inversions, we performed $13 \times 4$ weekly inversions; four inversions per month. Each of these cases requires considerably less computational resources to perform an individual inversion. If either of these alternative control vectors provides sufficiently similar results to the reference case, this would provide a more efficient means of conducting the inversion. This would allow more alternative configurations of other components of the inversion framework to be tested in the same period of time.
The Cape Town inversion differs from recent city-scale inversions carried out over mega cities (Bréon et al., 2015; Staufer et al., 2016) due to the high integration of natural areas in the city borders of Cape Town. Natural fluxes are an important contributor to the CO$_2$ budget of the region. For example, Table Mountain National Park is located directly adjacent to the city bowl. In fact the city wraps around the base of the mountain. This national park covers an area of 221 km$^2$. For this reason, the gradient method, which relies on the difference between pairs of measurement sites when the wind is blowing from one site, over the target region, to the second site, would not be appropriate given locations of our two measurement sites. In our case, if the air travelled between the two sites, it would pass directly over Table Mountain National Park, and therefore the gradient method would not have the desired effect of diminishing the impact of biogenic fluxes along the transect between the two sites. In addition, the wind fields showed that air did not travel in a straight path between our two sites (Nickless et al., 2018).
We adopted the approach usually used from regional inversions, where the inversion modelled the concentrations at the measurement sites (Lauvaux et al., 2012). Instead of subtracting the background CO$_2$ concentration from the measurements, which would have arrived from one of the domain boundaries, we solved for the concentrations at the boundary and therefore included these in the control vector, similar to the approach of Lauvaux et al. (2016). We kept tight constraints on what these concentrations could be, and used the background measurements obtained from Cape Point as prior estimates of these concentrations. We were able to do this as there are no large anthropogenic sources near the boundary of the domain. We
showed in the reference inversion that the variation in the total CO$_2$ was largely driven by the variation in the NEE flux. In these sensitivity analyses we investigate the impact of reduced uncertainty assigned to the prior NEE estimates.
The purpose of this paper is to present the results of these sensitivity tests in comparison with the Cape Town reference inversion. Based on these tests, conclusions can be drawn on how well the reference inversion was specified, and which components could be improved with highest priority to give the greatest improvement in the estimation of the posterior fluxes. Section 2 briefly introduces the Bayesian inversion framework. Details of the reference inversion can be found in Nickless et al. (2018). This is followed by a description of the alternative prior information products. The details of the sensitivity analysis are provided. The results of the sensitivity analyses are provided in section 3, followed by discussion of these results in section 4, and conclusions in section 5.
2 Methods
Characterisations of the two observational sites installed at Robben Island and Hangklip lighthouses, and the background monitoring site at Cape Point, are provided in (Nickless et al., 2018). Measurements of CO$_2$ concentrations were obtained between March 2012 and June 2013 by means of a Picarro Cavity Ring-down Spectroscopy (CRDS) (Picarro G2301) instrument. Sufficient data for 13 of the 16 months were available to perform monthly inversions. Robben Island site viewed predominantly air influenced by the Cape Town city bowl whereas Hangklip viewed air influenced by biogenic fluxes from nearby fynbos vegetation and agricultural areas.
In the next section we describe the Bayesian inverse modelling framework and the details of the reference Cape Town inversion (referred to in short-hand as inversion Ref). In sections 2.3 to 2.6 we describe the alterations we considered to the reference inversion, and how we compared the results between different inversions.
2.1 Bayesian inverse modelling framework and the reference inversion
Nickless et al. (2018) used the Bayesian inverse modelling framework to model CO$_2$ hourly concentrations at Robben Island and Hangklip measurement sites. This approach solves for the unknown sources, as defined in the control vector, $s$, using the Bayesian least squares solution as described in Tarantola (2005),
$$s = s_0 + C_{s_0} H^T \left( H C_{s_0} H^T + C_c \right)^{-1} (c - H s_0)$$ \hspace{1cm} (1)
and the solution for the posterior error covariance matrix for the sources, $C_s$,
$$C_s = \left( H^T C_c^{-1} H + C_{s_0}^{-1} \right)^{-1}$$ \hspace{1cm} (2)
$$= C_{s_0} - C_{s_0} H^T \left( H C_{s_0} H^T + C_c \right)^{-1} H C_{s_0}$$ \hspace{1cm} (3)
where \( c \) is the vector of CO\(_2\) concentration measurements from Robben Island and Hangklip measurement sites, \( s_0 \) is the vector of prior estimates of these sources, \( C_c \) the error covariance matrix of \( c \), and \( C_{s_0} \) the prior uncertainty covariance matrix of \( s_0 \). \( H \) is the Jacobian matrix representing the first derivative of the modelled concentration, \( c_{mod} \), at the observational site and dated with respect to the elements of \( s \). \( H \) projects the elements of \( s \) into the observation space of \( c \):
\[
c_{mod} = Hs.
\]
(4)
The sources, \( s \), consisted of gridded surface fluxes contained within the domain and concentrations of CO\(_2\) at the boundary. The spatial resolution of inversion was set at 1 km by 1 km and the extent of the domain was between 34.5° and 33.5° south and between 18.2° and 19.2° east.
Separate monthly inversions were performed. \( s \) contained six surface fluxes from each of the 101×101 surface pixels for each of the four weeks. The surface fluxes included working week and weekend fossil fuel fluxes and weekly NEE fluxes, each separated into day and night fluxes. Therefore a monthly inversion solves for 10,201×6×4 = 244,824 surface fluxes. The boundaries were considered as the edge of the domain at each cardinal direction (north, east, south, and west). The boundary concentrations in \( s \) consisted of four average weekly concentrations at the four boundaries, separated into day and night averages, therefore 32 boundary concentrations.
The observed CO\(_2\) concentrations, \( c \), consisted of hourly averaged concentrations derived from the instantaneous measurements obtained at Robben Island and Hangklip. As the parameters of the atmospheric transport model are not constrained by the inversion, the resulting errors in the modelled concentrations can be added to the measurement errors contained in \( C_c \) (Tarantola, 2005). The diagonal elements of the observation error covariance matrix, \( C_c \), consisted of daytime error variances of 4 ppm\(^2\) and night-time errors of 16 ppm\(^2\). Night-time errors in modelled concentrations are set higher at night than during the day as the planetary boundary layer (PBL) is lower at night (Feng et al., 2016; Lauvaux et al., 2016). The PBL is characterised by continuous turbulence, whereas turbulence is lacking above this layer, and its height changes in response to thermal stratification. It has significant impact on weather, climate, and the hydrologic cycle (Zhang et al., 2014). These error variances accounted for measurement errors, atmospheric transport modelling errors, representation errors and aggregation errors. As described in Nickless et al. (2018), to account for meteorological conditions, these error variances were inflated by up to 1 ppm\(^2\) during day and 4 ppm\(^2\) at night depending on the wind speed, with still conditions leading to the maximum error inflation. An additional inflation factor was added equal to the observed variance of the instantaneous CO\(_2\) concentration measurements made within the hour. These additional inflations represented periods when the atmospheric transport model would have been most likely to misrepresent the atmospheric transport.
The off-diagonal elements of \( C_c \) were calculated, based on the Balgovind correlation model as used in Wu et al. (2013), as:
\[
C_c(c_i, c_j) = \sqrt{C_c(c_i)} \sqrt{C_c(c_j)} (1 + \frac{h}{L}) \exp(-\frac{h}{L})
\]
(5)
where $c_i$ and $c_j$ are the average concentrations during hours $i$ and $j$, $C_c(c_i)$ and $C_c(c_j)$ the corresponding error variances for the concentrations in hours $i$ and $j$, the characteristic correlation length $L$ was assumed to be 1 hour, and $h$ is the length in time between observations $i$ and $j$. The impact of this, albeit short, correlation length was assessed in a sensitivity test where no correlation between the observation errors was assumed. No consensus has yet been reached on how these correlations between model errors in the concentrations should be treated (Lauvaux et al., 2016).
We used the regional climate model CCAM, run in variable-resolution mode with Cape Town at its centre and driven by NCEP (National Centres for Environmental Prediction) reanalysis data, to produce three-dimensional fields of mean winds ($u$, $v$, $w$), potential temperature and turbulent kinetic energy (TKE) (McGregor and Dix, 2001; Roux, 2009; Engelbrecht et al., 2013). The model produced hourly estimates on a 1 km $\times$ 1 km spatial grid, which extended from between 34.5° and 33.5° south and between 18.2° and 19.2° east. These variables were used to drive a Lagrangian particle dispersion model (LPDM) (Uliasz, 1994). LPDM simulates atmospheric transport by releasing particles from the observational sites and tracking these particles backward in time. These particle counts can be used to derive the elements of the Jacobian matrix $H$ as originally described by Seibert and Frank (2004) and subsequently used in several inversion studies (Lauvaux et al., 2012; Wu et al., 2013; Ziehn et al., 2014; Nickless et al., 2015b; Lauvaux et al., 2016; Nickless et al., 2018; Oda et al., 2017a). The details of this as pertaining to the Cape Town reference inversion are described in Nickless et al. (2018). The number of rows in $H$ are equal to the number of hourly concentrations assimilated into the inversion and the number of columns is equal to the number of sources solved for in the control vector, $s$.
The prior fossil fuel fluxes were estimated from a bespoke inventory analysis carried out for Cape Town. Details are provided in Nickless et al. (2015a) and Nickless et al. (2018). The inventory analysis includes fossil fuel emissions from industrial point sources, road vehicle transport emissions, airport and harbour emissions, and residential emissions. Residential emissions were based on the assumed use of raw fossil fuels for heating, lighting and cooking. The largest point source was a crude oil refinery located north east of the central business district (CBD).
Uncertainties in these fossil fuel estimates were derived based on error propagation techniques (Nickless et al., 2015a). In the next section we present a comparison between the uncertainties assigned in the reference inversion with those assigned to the inversion using the ODIAC fossil fuel fluxes (see Figure 2). The largest uncertainties, as a percentage of the fossil fuel flux estimate, were for those associated with residential emissions, which were spatially distributed according to the 2011 population census. These uncertainties were set at 60% of the domestic emissions estimate. Point sources had relatively smaller uncertainties, as these estimates were based on reported fuel usage data, which was assumed to be accurate, but in absolute terms these uncertainties were large contributors to the total fossil fuel flux uncertainty. Fossil fuel emissions from all sources were summed to provide a total fossil fuel flux for the working week and weekend, separately for day and night. No correlation was assumed between uncertainties in the fossil fuel sources. This was to avoid creating unlikely correlations between fluxes from different sources. We assumed no correlation in time between fossil fuel fluxes as we were already solving for weekly averaged fluxes, which effectively assumes 100% correlation between fluxes in the same week.
Prior estimates of the NEE fluxes were obtained from the land atmosphere exchange model CABLE (Kowalczyk et al., 2006). The model produced hourly estimates of NEE, which were aggregated into weekly (day and night) flux estimates in units of kg CO$_2$ m$^{-2}$ week$^{-1}$, and used as the prior estimates of terrestrial biogenic fluxes. The spatial resolution of these prior NEE fluxes were kept at a 1 km $\times$ 1 km resolution. We selected CABLE to produce our NEE estimates as CCAM had been dynamically coupled to this land surface model, which allowed for feedbacks between land surface and climate processes, such as leaf area feedback on maximal canopy conductance and latent heat fluxes (Zhang et al., 2013).
The CO$_2$ fluxes over the ocean were obtained from a study that characterised the seasonal cycle of air-sea fluxes of CO$_2$ in the southern Benguela upwelling system off the South African west coast (Gregor and Monteiro, 2013). Daily CO$_2$ fluxes were derived from measurements of $p$CO$_2$. These daily fluxes were used to derive weekly flux estimates, which were averaged over a monthly period, and applied as prior estimates to the ocean surface grids within the domain.
As the fynbos biome, which covers a large proportion of the terrestrial surface in our domain, is poorly represented by dynamic vegetation models (Moncrieff et al., 2015), the uncertainties assigned to the NEE estimates were large. Previous studies, for example, have shown that the model forms used for the soil temperature-respiration function and the soil moisture-respiration function have large impacts on the NEE estimates, with resulting NEE estimates differing by over 100% compared with eddy-covariance measurements (Exbrayat et al., 2013). We assigned the value of the NPP associated with the terrestrial NEE estimate as the uncertainty value. For the ocean fluxes, the standard deviations in the daily CO$_2$ fluxes from Gregor and Monteiro (2013) were assigned as the uncertainties. As the uncertainties in NEE estimates were likely to be related, spatial error correlations between NEE fluxes were incorporated in the off-diagonal elements of $C_{s_0}$. The off-diagonal elements were calculated in an analogous manner to those for $C_e$, where $C_{s_0,NEE}(s_{NEE;i})$ and $C_{s_0,NEE}(s_{NEE;j})$ were the corresponding variances in the NEE flux uncertainty matrix for pixels $i$ and $j$, the characteristic correlation length $L$ was assumed to be 1 km, and $h$ was the spatial distance between pixels $i$ and $j$. Non-zero error covariances were allowed between NEE estimates from the same week. We assumed no error correlation between fossil fuel and NEE fluxes.
Sections 2.2 to 2.5 describe alterations made to the reference inversion for the purpose of sensitivity analyses.
### 2.2 Alternative biogenic flux product
As part of a project which aimed to assess the carbon sinks of South Africa (DEA, 2015), a report together with monthly 1 km $\times$ 1 km estimates of terrestrial carbon stocks and fluxes were produced (Scholes et al., 2013). To estimate these fluxes, a distinction was made between carbon stocks in natural to semi-natural areas and those on transformed land, such as annually-cropped cultivated land, plantation forests, and urban areas (which was based on the IPCC 2006 value for closed urban forests). We used these estimates of NEE and NPP in place of those from CABLE (inversion Carbon Assess).
To estimate gross primary productivity (GPP), ten years (2001 to 2010) of monthly climatologies (temperature, rainfall, relative humidity) and satellite products for photosynthetically active radiation (PAR) and fraction of absorbed photosynthetically active radiation (FAPAR) were assimilated. Autotrophic respiration (Ra) was calculated based on the inputs for temperature, above-ground biomass, below-ground biomass and FAPAR. NPP could then be calculated as NPP = GPP - Ra. The heterotrophic component (Rh) of Ecosystem respiration (Re) was based on estimates of soil organic carbon stocks and above-ground litter.
The basic calculation to obtain NEE was $NEE = GPP - Re$, and additional losses of CO$_2$ through biomass burning, and export and import fluxes from harvest and trade-related activities were accounted for.
To disaggregate the monthly products into day and night fluxes, it was assumed that all GPP took place during the day, and that half of Re occurred during the day and half at night. Therefore the weekly NEE and NPP estimates used for the prior information in the inversion were based on the GPP and respiration products from the assessment. The GPP flux for the year in the fynbos biome was estimated to be 521 g CO$_2$ m$^{-2}$year$^{-1}$ with a standard deviation of 492 g CO$_2$ m$^{-2}$year$^{-1}$. Therefore, as for the CABLE estimates used in the reference inversion, we assign uncertainties to the prior NEE estimates equal to the NPP estimate. A map of the prior daytime NEE fluxes in May 2012 from the CABLE and carbon assessment products is provided in Figure 1.
Figure 1. Spatial distribution of the prior daytime NEE fluxes produced by CABLE (top left) and the carbon assessment product (top right) in May 2012, as well as the uncertainty estimates assigned to these fluxes (bottom row).
2.3 Alternative fossil fuel emissions product
As an alternative to the inventory analysis of the fossil fuel fluxes, we used current estimates of anthropogenic fossil fuel emissions from the 1 km × 1 km ODIAC product for the years 2012 and 2013 (ODIAC2017) (Oda and Maksyutov, 2011; Lauvaux et al., 2016; Oda et al., 2017a; Oda et al., 2017b) (inversion ODIAC). The product provides monthly emissions of CO₂ in kt of carbon. The original ODIAC product (Oda and Maksyutov, 2011) made use of global energy consumption statistics and distributed the emissions from these activities based on known point source emitters, such as power plants, and on a global nightlight distribution satellite product. Emissions from point sources, such as those from power plants, were estimated separately from the diffuse emissions, for example those due to transport. These emissions were disaggregated onto to a 1 km × 1 km grid. The updated product has further disaggregated the diffuse emissions to a 30 m × 30 m grid by making use of global road network data, a satellite product on surface imperviousness, and population census data (Oda et al., 2017a; Oda et al., 2017b). This 30 m × 30 m diffuse emission product together with the point source emission product were aggregated back up to the 1 km × 1 km grid. An inversion carried out for Indianapolis, IN, making use of the updated ODIAC product has shown it to produce similar corrections to the fluxes as those from the inversion making use of the Hestia inventory product (Oda et al., 2017a). The Hestia product is a fine-grained - down to the street/building level - bottom-up CO₂ emission product which makes use of information from building energy simulation models, traffic data, power production reporting, and pollution reporting (Gurney et al., 2012). This product is available for a few cities in the United States, including Indianapolis.
The monthly estimates were re-scaled according to the day of the week and to the hour of day using scaling factors for South Africa as estimated by Nassar et al. (2013). These estimates were re-aggregated into day and night working week and weekend fossil fuel fluxes in units of kg CO₂m⁻² week⁻¹. These estimates for the fossil fuel fluxes were used as prior estimates for the inversion in place of the inventory-based estimates used for the reference inversion. The daytime fossil fuel fluxes produced by the inventory analysis and the ODIAC product are provided in Figure 2.
Figure 2. Spatial distribution of the prior fossil fuel fluxes produced from the Cape Town inventory analysis (top left) and the ODIAC fossil fuel product (top right) in May 2012, as well as the uncertainty estimates assigned to these fluxes (bottom row).
2.4 Alternative covariance structures
The specification of the prior uncertainty covariance structures have been shown to have a significant impact on the pixel-level flux estimates, the total flux estimate for the domain, and on the spatial distribution of the fluxes (Wu et al., 2013; Lauvaux et al., 2016). For example, in the Indianapolis inversion, assuming correlation lengths of 4 or 12 km in the prior uncertainty covariance matrix of the fluxes resulted in total flux estimates for the city that were 17 and 25% larger than the total flux estimate assuming no correlation (Lauvaux et al., 2016). The effect of changing the correlation length had a larger impact on the total flux estimate than changing the prior emission product from Hestia to ODIAC.
To assess the sensitivity of the posterior flux estimates, their uncertainties, and their distribution in space to the specification of the covariance matrix, we considered inversions where the non-zero off-diagonal elements of $C_{s_0}$ and $C_c$ were set to zero. We considered an inversion which assumed no temporal error correlation in the specification of $C_c$ (inversion NEE Corr), an inversion where no spatial error correlation was assumed for $C_{s_0}$ (inversion Obs Corr), and an inversion which assumed no error correlations in the specification of $C_{s_0}$ and $C_c$ (inversion No Corr).
We also considered inversions where the prior fossil fuel flux uncertainty was doubled (inversion Double FF) and where it was halved (inversion Half FF), and similarly for the NEE flux uncertainties (inversions Double NEE and Half NEE). By doubling or halving the uncertainty of the fossil fuel or NEE component of the total flux, we changed the relative uncertainty contribution of each of these had to the total uncertainty when compared with the reference inversion.
Due to the large impact that the estimation of the domestic fossil fuel emissions had on the temporal profile of the total fossil fuel fluxes, we considered a modification of the estimated domestic emissions in the inventory product. In the reference inversion 75% of the domestic emissions from heating were assumed to take place during the six winter months. We tested the impact of this assumption by altering the domestic emissions so that they were distributed uniformly through time, but still spatially distributed according to the population size. This changes the prior estimates of the fossil fuel fluxes and their distribution through time, as well as their uncertainties, which were set at 60% of the domestic emission estimate (inversion Domestic Homogenised).
Due to the large uncertainty in the modelling of NEE (Zhang et al., 2013; Moncrieff et al., 2015), particularly over the fynbos biome, we considered that perhaps the average of the NEE estimates from CABLE over the domain may be a more reliable representation of the true flux compared with the pixel-level estimates. Therefore we averaged the NEE and NPP estimates from CABLE over the inversion domain and assigned this average NEE, and NPP for its uncertainty, as the prior biogenic flux estimates (inversion NEE Homogenised).
We considered an inversion where the uncertainties in $C_c$ were set at 2 ppm for the day and 4 ppm at night (inversion Simplified Obs Error). In this case all the errors in the modelled concentrations are contained within these values, and we disregard the climatic conditions under which the measurements were taken. We tested the impact of increasing the night-time uncertainty in the observation errors to 10 ppm (inversion Simplified Obs with Large Night). We further simplified $C_c$ by performing an inversion which disregarded the temporal correlation which was assumed for the reference inversion (inversion Simplified Obs No Corr).
2.5 Alternative control vectors
In the reference inversion the total CO$_2$ flux from a single surface pixel for given week was made up of the following individual fluxes:
$$s_{sf; i} = s_{ff \text{ week day}; i} + s_{ff \text{ week night}; i} + s_{ff \text{ weekend day}; i} + s_{ff \text{ weekend night}; i} + s_{NEE \text{ day}; i} + s_{NEE \text{ night}; i}$$ \hspace{1cm} (6)
where $s_{sf; i}$ is the total weekly surface flux from the $i^{th}$ pixel, $s_{ff \text{ week day}; i}$ is the fossil fuel flux during the day during the working week, $s_{ff \text{ week night}; i}$ is the night-time fossil fuel flux during the working week, $s_{ff \text{ weekend day}; i}$ is the weekend daytime fossil fuel flux, $s_{ff \text{ weekend night}; i}$ is the weekend night-time fossil fuel flux, and $s_{NEE \text{ day}; i}$ and $s_{NEE \text{ night}; i}$ are the day and night-time NEE fluxes for the full week from the $i^{th}$ pixel. The inversion solved for each of these fluxes separately and for each of the four weeks in the monthly inversion. Therefore a monthly inversion solved for $10,201 \times 6 \times 4 = 244,824$ surface fluxes. The mean day and night-time concentrations at each of the four domain boundaries for each week were the final components of the control vector. The inversion solved for $4 \times 2 \times 4 = 32$ boundary concentrations.
As a sensitivity analysis we examined two alternative approaches to the control vector. If we assumed that neither the NEE nor fossil fuel flux would change very much from week to week, an option would be to solve for the mean of the six individual fluxes over the four weeks in a given month. We therefore considered a sensitivity test where the inversion solved for one average day and one average night NEE flux within each pixel, and four fossil fuel mean weekly fluxes (day and night working week, day and night weekend) (inversion Mean Month). We also considered performing a separate inversion for each week; i.e. four separate weekly inversions in place of each of the monthly inversions (inversion Week). In this case only the concentration measurements for one week were used and the individual weekly fluxes (two NEE and four fossil fuel) were solved for, and this was repeated for each of the four weeks in the month. The benefit of these two alternative control vectors is that for each individual inversion the resulting $C_{s_0}$ matrix is much smaller compared with the reference case.
When solving for only one week, or a mean weekly flux for a particular month, the number of surface sources reduced to $10,201 \times 6 = 61,206$. Solving for individual weeks required $4 \times 2$ additional boundary concentrations to be added to the control vector, and when solving for the mean weekly flux for the month, we allowed the boundary concentrations to differ for each week, and therefore we still solved for the 32 boundary concentrations as in the reference case. Therefore the $C_{s_0}$ for these two alternative control vectors is 16 times smaller than that of the reference inversion.
The benefit of these two alternative approaches is a substantial reduction (at least 75% reduction) in the time taken to perform the inversion. If the results are similar to that of the reference inversion, this type of saving in the computational time and resources would allow more components of the inversion to be tested in a shorter period of time.
2.6 Sensitivity analysis approach
The sensitivity tests were divided into those which assessed alternative products for the prior information; those which assessed an alteration to the structure of the uncertainty covariance matrices; those which assess an alteration to the relative uncertainty specified in $C_{s_0}$; those which assessed a homogenisation of a component of the prior information; those which considered
a simplified version of $C_c$; and those which solved for an alternative control vector. A summary of the sensitivity tests are presented in Table 1.
The modelled concentrations from each inversion were compared with the observations by assessing the bias and standard deviation of the prior and posterior modelled concentration residuals. Residuals in the prior modelled concentrations were calculated as:
$$c_{res\,prior} = c - c_{mod\,prior}. \quad (7)$$
Residuals in the posterior modelled concentrations were calculated as:
$$c_{res\,post} = c - c_{mod\,post}. \quad (8)$$
where $c_{mod\,prior}$ are the CO$_2$ concentrations modelled from $s_0$ and $c_{mod\,post}$ are the CO$_2$ concentrations modelled from the posterior estimate of $s$, and $c_{res\,prior}$ and $c_{res\,post}$ are the respective residuals in the modelled concentrations. The bias, calculated as the mean of these residuals, and standard deviation of these residuals were provided for each inversion. We plotted the time series of the observed and modelled concentrations to assess the skill of the inversion to reproduce the observed concentrations, particularly "local events", which were periods of larger than normal spikes in the observed concentration signal.
The posterior fluxes from each inversion were compared with those of the reference inversion in a number of ways. The posterior flux estimates and their spatial distribution were assessed for each inversion by mapping the mean total weekly flux within each pixel for two months (May and September 2012). We calculated the total flux over the domain, and plotted these weekly total fluxes over time together with the uncertainty bounds. We also considered the total flux over the domain for each month. These total flux estimates are the nett flux resulting from the fossil fuel and NEE flux estimates solved for by the inversion. The inversion induces negative correlations between the fossil fuel and NEE flux components from the same week and pixel. When the total flux is considered in a particular pixel, the uncertainty for the total flux will be lower than the sum of the uncertainties for the individual components due to the negative covariance terms. The size of these negative covariances will depend on the prior information specified in the inversion framework. The total estimate gives an indication of the central tendency which we can compare between inversions, and allows us to assess, for example, if the inversion is predicting the region to be a nett source or a nett sink. The uncertainties of these posterior total estimates allow us to assess the confidence we can place around these totals, and how this compares to the estimate itself.
In order to assess the goodness-of-fit of the prior uncertainty covariance matrices $C_c$ and $C_{s_0}$, the $\chi^2$ statistic, as described in Tarantola (2005), was calculated:
$$\chi^2_1 = \frac{1}{\nu} (Hs_0 - c)^T (HC_{s_0} H^T + C_c)^{-1} (Hs_0 - c) \quad (9)$$
where $\nu$ is the dimension of the data space, which is the number of observations used in the inversion.
The squared concentration residuals from the inversion should follow the $\chi^2$ distribution with degrees of freedom equal to the number of observations (Michalak et al., 2005; Tarantola, 2005). Dividing this statistic by the degrees of freedom should
yield a $\chi^2_1$ distribution. We compared these statistics between the different inversions to assess the suitability of the uncertainties prescribed to the prior fluxes.
3 Results
The results of the reference inversion (Ref) are explained in detail in Nickless et al. (2018). The following sections compare the sensitivity tests to Ref with respect to the modelled concentrations, pixel-level weekly flux estimates, and aggregated fluxes over each week, month and over the full measurement period. When we refer to the total pixel-level weekly flux, this is the sum of the four weekly fossil fuel fluxes (week / weekend; day / night) and the two NEE fluxes (day and night) within that pixel. The uncertainty of this total flux is obtained by first obtaining the sum of all the error variance and covariance terms of these six fluxes, and then taking the square root of this total variance term. The aggregated total weekly flux is the sum of all these total fluxes over the full inversion domain for the week in question. The total uncertainty of this aggregated total flux is derived in the same way as for the pixel-level total weekly flux, but now summing over all variance and covariance terms applicable to that week for all pixels in the domain.
Aggregated fluxes are often of interest. For example, we may wish to report the total flux for a region from year to year. As we did not have a contiguous measurement period covering all seasons or over a full year period, which is often reported in these city-scale inversions, we instead aggregated over weekly and monthly periods. The purposes of this is to illustrate how weekly fluxes estimated within the same monthly inversion may differ, and the differences in aggregated fluxes between different inversions at different times of the year. These aggregated monthly fluxes are calculated in the same way as the aggregated weekly flux.
The biases in the prior and posterior modelled concentrations, together with the standard deviation of the residuals, are provided in Table 2. We supply the time series of the modelled concentrations for each inversion and at both sites in the Supplement (Sect. 1.1). We provide time series plots of the aggregated weekly fluxes and their uncertainty bounds (Supplement Sect. 1.2) and a table of the aggregated monthly fluxes over the full domain for each month (Supplement Sect. 1.3). We also supply maps of the prior and posterior modelled fluxes, together with the uncertainty reduction in each pixel, in the supplementary material for the months of May (early winter) and September (spring / early summer) 2012 (Supplement Sect. 1.4). For the main paper we provide a table of the aggregated fluxes over the full inversion period, together with the uncertainty reduction in the aggregated flux estimate and the mean $\chi^2$ statistic which provides an assessment of the appropriateness of the prior covariance matrices (Table 3).
Table 2. Bias (ppm) in the prior and posterior modelled concentrations together with the standard deviation of the modelled concentration residuals at the Hangklip and Robben Island measurement sites for the period March 2012 to June 2013. NEE = Net Ecosystem Exchange, FF = Fossil Fuel
| | Ref | Carbon Assess | ODIAC | NEE Corr | Obs Corr | No Corr |
|------------------|--------------|---------------|-------------|--------------|---------------|---------------|
| **Prior Bias (sd)** | 2.4 (17.6) | -4.8 (12.4) | -6.1 (27.8) | 2.4 (17.6) | 2.4 (17.6) | 2.4 (17.6) |
| **Posterior Bias (sd)** | 0.0 (2.5) | -0.4 (4.2) | -0.1 (2.1) | 0.0 (2.5) | 0.0 (2.9) | 0.0 (2.9) |
| | Double FF | Half FF | Double NEE | Half NEE | Domestic Homogenised | NEE Homogenised |
| **Prior Bias (sd)** | 2.4 (17.6) | 2.4 (17.6) | 2.4 (17.6) | 2.4 (17.6) | 3.2 (16.3) | 2.1 (13.2) |
| **Posterior Bias (sd)** | 0.0 (2.3) | 0.1 (2.6) | 0.0 (2.0) | 0.1 (3.0) | 0.1 (2.4) | 0.0 (2.1) |
| | Simp Obs Error | Simp Obs with Large Night | Simp Obs No Corr | Mean Month | Week |
| **Prior Bias (sd)** | 2.4 (17.6) | 2.4 (17.6) | 2.4 (17.6) | 2.5 (17.7) | 1.2 (15.6) |
| **Posterior Bias (sd)** | -0.1 (2.3) | -0.1 (2.3) | 0.0 (2.9) | 0.0 (2.5) | -0.1 (2.9) |
| | Ref | Carbon Assess | ODIAC | NEE Corr | Obs Corr | No Corr |
|------------------|--------------|---------------|-------------|--------------|---------------|---------------|
| **Prior Bias (sd)** | -2.9 (21.4) | -12.6 (20.1) | -17.1 (43.7)| -2.9 (21.4) | -2.9 (21.4) | -2.9 (21.4) |
| **Posterior Bias (sd)** | 0.5 (3.9) | 0.3 (5.2) | 0.6 (3.6) | 0.5 (3.7) | 0.5 (4.2) | 0.5 (3.9) |
| | Double FF | Half FF | Double NEE | Half NEE | Domestic Homogenised | NEE Homogenised |
| **Prior Bias (sd)** | -2.9 (21.4) | -2.9 (21.4) | -2.9 (21.4) | -2.9 (21.4) | -1.0 (20.2) | -6.4 (19.8) |
| **Posterior Bias (sd)** | 0.5 (3.6) | 0.3 (4.2) | 0.4 (3.5) | 0.6 (4.3) | 0.5 (3.9) | 0.4 (3.1) |
| | Simp Obs Error | Simp Obs with Large Night | Simp Obs No Corr | Mean Month | Week |
| **Prior Bias (sd)** | -2.9 (21.4) | -2.9 (21.4) | -2.9 (21.4) | -3.5 (20.6) | -4.2 (18.5) |
| **Posterior Bias (sd)** | 0.1 (3.6) | 0.1 (3.4) | 0.0 (4.5) | 0.6 (4.0) | 0.5 (4.3) |
The sd alongside the bias refers to the standard deviation of the residuals of the modelled concentrations in units of ppm. Ref = Reference Inversion; Carbon Assess = Carbon Assessment Inversion; ODIAC = ODIAC fossil fuel inversion; NEE Corr = Correlation for NEE flux uncertainties only; Obs Corr = Correlation for observation errors only; No Corr = No correlation specified in prior covariance matrices; Double FF = Double fossil fuel uncertainties; Half FF = Half fossil fuel uncertainties; Double NEE = Double NEE uncertainties; Half NEE = Half NEE uncertainties; Domestic Homogenised = Domestic emission homogenised over the year; NEE Homogenised = NEE fluxes averaged over the domain; Simp Obs Error = Simple specification of observation error covariance matrix; Simp Obs with Large Night = Simple observation error covariance matrix with larger night-time error; Simp Obs No Corr = Simple observation error covariance matrix with no correlation; Mean Month = Inversion solving for mean weekly fluxes over the month; Week = Separate inversions for each week.
Table 3. Prior and posterior total flux estimates of each inversion over the thirteen four-week periods for which observation data were available from March 2012 to June 2013, with uncertainties and the reduction in uncertainty with respect to the prior uncertainty. Total fluxes are expressed as kt CO$_2$. The mean $\chi^2$ statistic is provided over the thirteen inversion periods. NEE = Net Ecosystem Exchange, FF = Fossil Fuel
| | Ref | Carbon Assess | ODIAC | NEE Corr | Obs Corr | No Corr |
|----------------------|--------------|---------------|-------------|------------|------------|-------------|
| **Prior Flux (sd)** | -1336 (254) | 5181 (32) | 7635 (256) | -1336 (254)| -1336 (63) | -1336 (63) |
| **Posterior Flux (sd)** | -317 (189) | 4045 (28) | 5787 (195) | -310 (189) | -1281 (59) | -1287 (59) |
| **Uncertainty Reduction** | 25.6% | 11.9% | 23.6% | 25.6% | 7.5% | 7.5% |
| **Mean $\chi^2$ Statistic** | 1.48 (0.55) | 4.13 (1.24) | 1.25 (0.49) | 1.49 (0.54)| 2.10 (0.78)| 2.12 (0.79) |
| | Double FF | Half FF | Double NEE | Half NEE | Domestic Homogenised | NEE Homogenised |
|----------------------|--------------|---------------|-------------|------------|---------------------|-----------------|
| **Prior Flux (sd)** | -1336 (255) | -1336 (254) | -1336 (508) | -1336 (128)| -1916 (254) | -1328 (126) |
| **Posterior Flux (sd)** | -151 (190) | -423 (189) | -316 (365) | -337 (100) | -624 (189) | -1707 (106) |
| **Uncertainty Reduction** | 25.4% | 25.7% | 28.2% | 21.9% | 25.6% | 15.8% |
| **Mean $\chi^2$ Statistic** | 1.21 (0.50) | 1.86 (0.63) | 1.03 (0.47) | 2.22 (0.69)| 1.41 (0.49) | 1.17 (0.47) |
| | Simp Obs Error | Simp Obs with Large Night | Simp Obs No Corr | Mean Month | Week | NEE Homogenised |
|----------------------|----------------|---------------------------|-------------------|------------|-----------------|-----------------|
| **Prior Flux (sd)** | -1336 (254) | -1336 (254) | -1336 (254) | -1336 (126)| -1220 (251) | -1328 (126) |
| **Posterior Flux (sd)** | -325 (188) | -579 (192) | -338 (188) | 662 (66) | -687 (186) | -1707 (106) |
| **Uncertainty Reduction** | 26.1% | 24.4% | 26.1% | 47.2% | 25.8% | 15.8% |
| **Mean $\chi^2$ Statistic** | 2.17 (1.04) | 1.88 (0.92) | 2.25 (1.13) | 1.43 (0.55)| 1.54 (0.56) | 1.17 (0.47) |
Prior and Posterior Flux refer to the total flux from the domain over the thirteen four-week periods. The sd of the fluxes refers to the uncertainty in the total flux estimate. The sd of the $\chi^2$ statistic refers to the standard deviation between the $\chi^2$ statistics of the thirteen four-week period $\chi^2$ Statistics. Ref = Reference Inversion; Carbon Assess = Carbon Assessment Inversion; ODIAC = ODIAC fossil fuel inversion; NEE Corr = Correlation for NEE fluxes only; Obs Corr = Correlation for observation errors only; No Corr = No correlation specified in prior covariance matrices; Double FF = Double fossil fuel uncertainties; Half FF = Half fossil fuel uncertainties; Double NEE = Double NEE uncertainties; Half NEE = Half NEE uncertainties; Domestic Homogenised = Domestic emission homogenised over the year; NEE Homogenised = NEE fluxes averaged over the domain; Simp Obs Error = Simple specification of observation error covariance matrix; Simp Obs with Large Night = Simple observation error covariance matrix with larger night-time error; Simp Obs No Corr = Simple observation error covariance matrix with no correlation; Mean Month = Inversion solving for mean weekly fluxes over the month; Week = Separate inversions for each week.
3.1 Alternative prior information products
The prior biases for both the inversion making use of the carbon assessment for prior NEE flux estimates and uncertainties (which we denote with the emboldened shorthand Carbon Assess), and the ODIAC fossil fuel inversion (ODIAC) were larger in magnitude and more negative than those of the reference inversion (Ref). This indicates that the prior modelled concentrations of CO$_2$ from these two inversions were larger on average compared with the observations. The standard deviation in these residuals was larger compared with Ref (Table 2). A plot of the modelled concentrations shows that for all three inversions, the prior modelled concentrations only weakly followed the observed concentrations, with modelled concentrations at the Robben Island site too large, and too small at the Hangklip site (Figures 3 and 4). In the case of the Carbon Assess inversion the prior modelled concentrations were not underestimated as much as those from Ref at the Hangklip site. The $\chi^2$ statistics indicated that the inversion framework specified for the Carbon Assess inversion had uncertainties that were too small (Table 3). For ODIAC, the $\chi^2$ statistics were slightly closer to one than those for Ref.
The prior total weekly fluxes were notably different compared with Ref (Figure 5). The carbon assessment product for NEE fluxes resulted in prior total weekly flux estimates that were always positive and which showed little variation over the year compared with the reference prior. The uncertainty bands were much narrower for the carbon assessment total flux estimates. The resulting posterior weekly fluxes were very similar to the priors.
The ODIAC product for fossil fuel fluxes resulted in prior total weekly fluxes that had a similar pattern of weekly fluxes over time as those obtained by Ref (Figure 5), with more positive fluxes between March and June 2012 and March and June 2013, and negative or near-zero total weekly fluxes between August 2012 and February 2013. These summer-time negative fluxes were not as negative as those obtained by Ref.
Considering the aggregated flux for each month over the inversion domain, the Carbon Assess inversion had larger prior fluxes for every month compared with Ref, particularly during the summer months. During these months the discrepancy between the reference and carbon assessment prior aggregated fluxes was between 699 and 1386 kt CO$_2$ for a four week period (Supplement Sect. 1.3). The inversion reduced these fluxes. The resulting posterior fluxes were still larger than the reference posterior fluxes by between 400 and 1000 kt CO$_2$ for this same period. The ODIAC prior fluxes were always larger than the reference priors, but consistently for all months by an amount of approximately 690 kt CO$_2$. The posterior aggregated fluxes were still larger than those for Ref, but the difference was reduced to 469 kt CO$_2$ on average.
Whereas the aggregated total prior fluxes from Ref were generally made more positive by the inversion, there were some months when the total fluxes were made more negative, notably during the winter months. In the case of the Carbon Assess inversion, fluxes were made more negative by the inversion for all months. The resulting posterior total fluxes were positive for all months. For ODIAC, the posterior fluxes were more negative than their priors, indicating that compared with the reference, the positive fluxes from the fossil fuel sources were specified too large. August and September 2012 were the only months when ODIAC made the total posterior fluxes larger than the priors, which agrees with the direction in which Ref adjusted the posterior total fluxes.
The aggregated total fluxes of these alternative prior product inversions over the thirteen inversion periods are larger than for Ref (Table 3). The uncertainty of the aggregated total flux for Carbon Assess was smaller relative to Ref, whereas ODIAC obtained similar uncertainties in the aggregated total flux. The corrections made by the inversion made the aggregated total flux of Ref less negative and closer to zero. When these two alternative prior products were used, the inversion corrected the prior fluxes to be less positive, also attempting to make these fluxes closer to zero. The uncertainty reduction achieved over the full inversion period was 25.6% for Ref and 23.6% for ODIAC, but only 11.9% for Carbon Assess. This smaller uncertainty reduction is due to prior biospheric flux estimates from the carbon assessment product being close to zero, with corresponding small NPP fluxes, and therefore error correlations much smaller in comparison with Ref. The error correlations play an important role in determining the uncertainty reduction achievable by the inversion.
The spatial distribution of the prior and posterior fluxes for May 2012 are provided in Figure 6. Carbon Assess has prior total flux estimates that are notably closer to zero and less negative compared with Ref across both May and September 2012 (provided in the Supplement Sect. 1.4). Ref was able to change the spatial distribution of these negative fluxes somewhat, but still maintained these negative fluxes in the posterior estimates. The posterior fluxes of Carbon Assess were largely left unchanged, with September 2012 having the most notable adjustments with a small area of negative fluxes created to the east of the oil refinery pixel, to the north of the Cape Town metropolitan area.
The map of the ODIAC prior fluxes is distinctly different to those of Ref (Figure 6). The reference inventory limited the fossil fuel fluxes to a few specific pixels, with a small number of pixels over point sources with large positive fluxes. The ODIAC product smoothed the fluxes over the Cape Town metropolitan area, covering a larger area with positive fluxes compared with the reference case, and having only three pixels with distinctly larger fluxes than the rest of the region. Although the ODIAC priors do not show any of the very large positive fluxes of the reference, the area of positive flux resulting from the fossil fuel fluxes is focused on the same general area as Ref.
With regards to the uncertainty reduction (Figure 6), Ref was able to obtain higher reductions than either of these test cases. The spatial pattern of uncertainty reduction was similar between ODIAC and Ref, whereas for Carbon Assess many of the pixels in the domain showed no uncertainty reduction.
Figure 3. Prior and posterior modelled concentrations for the Hangklip site over the full inversion period from March 2012 until June 2013 for the reference inversion (top), carbon assessment inversion (middle), and ODIAC fossil fuel flux product inversion (bottom).
Figure 4. Prior and posterior modelled concentrations for the Robben Island site over the full inversion period from March 2012 until June 2013 for the reference inversion (top), carbon assessment inversion (middle), and ODIAC fossil fuel flux product inversion (bottom).
Figure 5. Prior and posterior aggregated weekly fluxes over the inversion domain from March 2012 to June 2013 for the reference, carbon assessment and ODIAC inversions.
Figure 6. Spatial distribution of the prior (top row) and posterior (middle row) total weekly fluxes in May 2012 for the reference (left column), carbon assessment (middle column) and ODIAC (right column) inversions, as well as the uncertainty reduction achieved at the pixel-level relative to the prior uncertainty (bottom row).
3.2 Uncertainty covariance matrix structure: $C_{s_0}$ and $C_c$
Ref accounted for correlation between the uncertainties in pixel-level NEE fluxes in space, as well as for temporal correlation in observation errors. The correlation lengths were made small in Ref. In this group of sensitivity tests, we assessed how the inversion results would be affected if we systematically ignored these sources of correlation.
In terms of the prior and posterior modelled concentrations achieved by these inversions, the bias and standard deviation in the model concentration residuals were similar (Table 2). The posterior modelled concentrations from those inversions which ignored NEE flux uncertainty (inversions Obs Corr and No Corr) had higher standard deviations in their residuals. The $\chi^2$ statistics indicated that the inversion ignoring the observation error correlations (NEE Corr) had similar goodness-of-fit for the prior uncertainty covariance matrices as Ref, but that the two inversions that ignored the spatial correlation between NEE flux uncertainties had poorer goodness-of-fit (Table 3). The $\chi^2$ statistics for these latter two inversions were as high as 3.3, as for the inversion in July. In comparison, the removal of the temporal correlation in the observation errors had only a small penalty in the $\chi^2$ statistic.
In Ref, the positive covariances specified between neighbouring NEE flux uncertainties led to large prior and posterior uncertainty around the aggregated weekly fluxes. For the test cases with observation error correlation only or no correlation at all, the uncertainty bounds around the prior and posterior aggregated fluxes are indistinguishable from Ref. If these positive covariances are removed from $C_{s_0}$ then the uncertainty around the aggregated total flux was much smaller.
When aggregating over a month, ignoring NEE flux uncertainty correlations made a large difference to the aggregated monthly flux as well as to its uncertainty. The posterior aggregated fluxes for each month were similar to the priors in these two test cases, and the uncertainty reduction was very small. For Ref and NEE Corr, the uncertainty reduction in the monthly aggregated flux was on average 26.6% whereas for the Obs Corr and No Corr the uncertainty reduction was on average only 7.6%. Aggregating over the full period leads to estimates of -317 and -310 kt CO$_2$ for Ref and NEE Corr, whereas Obs Corr and No Corr had posterior estimates of -1281 and -1287 kt CO$_2$, close to the prior aggregated fluxes (Table 3).
The spatial distribution of the posterior fluxes were similar for Ref and NEE Corr. The spatial distribution changed when these NEE covariances were removed. The adjustments made to the pixel-level fluxes in these inversions were small and limited to only a few pixels, whereas in Ref adjustments were made to larger areas of the domain. The uncertainty reductions achieved by Obs Corr and No Corr were small and confined to only a few pixels, with a much larger proportion of the domain showing no uncertainty reduction in comparison with Ref (Figure 7).
Figure 7. Spatial distribution in the adjustments made by the inversion to the prior fluxes in May 2012 for the reference inversion (top left), and no correlation inversion (bottom left), as well as the uncertainty reduction achieved at the pixel-level relative to the prior uncertainty (right).
3.3 Relative uncertainty in $C_{a_0}$
In this group of sensitivity tests we assessed how the relative contribution of the uncertainty in the fossil fuel and NEE fluxes affected the inversion results. We considered doubling and halving these uncertainties with respect to Ref uncertainties. The impact on the modelled concentrations was small. Biases were similar to Ref at both sites, and the standard deviation in the residuals of the modelled concentrations were similar (Table 2). The $\chi^2$ statistics were larger when the uncertainties were halved, particularly the uncertainties in the NEE fluxes (inversion Half NEE), indicating that insufficient uncertainty had been assigned to either the fluxes or observations, whereas doubling the uncertainties led to $\chi^2$ statistics closer to one (Table 3).
The pattern in prior and posterior aggregated fluxes was similar between Ref and these test cases. The uncertainty around the weekly aggregated fluxes was strongly dependent on the NEE uncertainty (Table 8) (inversions Double NEE and Half NEE), whereas it was not noticeably different if the uncertainty in the fossil fuel fluxes was either double or halved (inversions Double FF and Half FF).
In this group of sensitivity tests, the differences in the aggregated monthly fluxes was more pronounced between months within the same inversion than between inversions performed for the same month. All inversions corrected the prior aggregated fluxes to a similar degree and in the same direction. Doubling the uncertainty in the fossil fuel fluxes led to posterior aggregated fluxes that were consistently larger for all months compared with Ref, whereas halving this uncertainty led to smaller posterior fluxes. Doubling and halving the uncertainty in the NEE fluxes led to posterior flux estimates that were similar on average to those of Ref but with greater variability in this difference between the reference and test inversion posterior estimates from month to month compared with the fossil fuel test inversions.
Double NEE obtained the largest uncertainty reduction, but the resulting posterior uncertainty was larger than for Ref. Halving the NEE uncertainty led to smaller relative uncertainty reductions for the aggregated monthly fluxes, and therefore posterior uncertainties that were similar in magnitude to the prior uncertainties. The uncertainties in the posterior aggregated monthly fluxes were similar between Ref, Double FF, and Half FF. It was always higher for Double NEE, and lower for Half NEE. The resulting uncertainty in the posterior aggregated flux for Half NEE was more similar to Ref than Double NEE. The aggregated flux over the full inversion period shows that, whereas this estimate was close to the result for Ref in the case of the two NEE uncertainty cases (316 and 337 kt CO$_2$), the aggregated flux was more positive when the fossil fuel uncertainty was doubled (-151 kt CO$_2$) and more negative when the fossil fuel flux was halved (-423 kt CO$_2$) (Table 3). On the other hand, changing the relative uncertainty of the fossil fuel fluxes had no impact on the uncertainty in the posterior flux estimate, whereas doubling or halving the uncertainty in the NEE fluxes led to roughly doubling or halving the uncertainty in the posterior aggregated flux.
The spatial distributions of the posterior fluxes were similar between the inversions in this group of sensitivity tests. A notable feature in the September 2012 posterior fluxes is, when NEE uncertainty was doubled, the inversion was able to reduce the aggregated flux with respect to the priors, by creating a region of negative flux in an area close to the oil refinery point source to the north of the CBD region (Supplement Figure S42).
Figure 8. Prior and posterior aggregated weekly fluxes over the inversion domain from March 2012 to June 2013 for the reference inversion and the doubled and halved NEE uncertainty test cases.
3.4 Homogenised prior information
In this group of sensitivity tests we looked at the impact on the inversion results of assuming that the domestic emissions were constant through time (Domestic Homogenised), and of assuming a spatially homogeneous biogenic flux over the inversion domain within each month (NEE Homogenised). The prior modelled concentrations from these two test cases were biased to a similar degree as Ref. Homogenising the NEE flux over space led to smaller standard deviations in the prior residuals. The most noticeable difference in the bias was for the Robben Island site, where the modelled concentrations under the homogenised NEE prior were biased by -6 ppm compared with the -3 ppm of Ref, indicating that prior fluxes around Robben Island (generally from the Cape Town central business district area and the Table Mountain National Park area adjacent to this region) were too positive (Table 2). The $\chi^2$ statistics indicated that the inversion framework for these homogenised prior test cases is more suitable than the reference case (Table 3). For the NEE Homogenised priors, the statistic was close to one for most months.
The prior and posterior modelled concentrations for Domestic Homogenised are similar to those of Ref. In the case of NEE Homogenised, the time series shows better agreement between the prior modelled and observed concentrations at the Hangklip site, but worse agreement with respect to Ref at the Robben Island site (Figure 9).
There was no notable difference in the prior and posterior weekly aggregated flux between Domestic Homogenised and Ref. Smoothing NEE over space resulted in less extreme prior NEE and NPP estimates, and therefore the uncertainty around the NEE estimates was smaller than for Ref, leading to smaller uncertainties around the aggregated flux (Figure 10). The general pattern in the aggregated weekly fluxes over the course of the inversion period was similar to Ref.
Compared to other groups of sensitivity tests performed here, the aggregated monthly fluxes were not very different between the reference and test cases. For Domestic Homogenised, the adjustments made to the prior fluxes by the inversion were generally in the same direction and to the same degree as for Ref. The adjustments made by NEE Homogenised were not always in the same direction. The resulting posterior fluxes from NEE Homogenised were generally more negative than those of Ref. This is illustrated in the posterior aggregated fluxes for the inversion period (Table 3).
Differences between the prior and posterior fluxes were small for Ref and these changes are consistent with those obtained by Domestic Homogenised. In May 2012, which would have had a smaller domestic emissions specified than in Ref, the differences between the prior and posterior fluxes were limited to very few pixels, mainly near the Cape Town CBD area. In September 2012, when the domestic emissions would have been larger than those for Ref, the adjustments made by the inversion were more widespread.
When NEE was smoothed over the domain with each month, the adjustments made to the prior fluxes were very small in comparison to Ref. Changes were restricted to a few pixels in the CBD region and close to the measurement sites. The uncertainty reduction was concentrated in the regions around the measurement sites and reached over 90% in these areas. Over the Table Mountain National Park, which had some of the highest uncertainty reductions in Ref, uncertainty reduction was limited to between 20 to 30% and almost no adjustment to these prior fluxes were made by the inversion (Figure 11).
Figure 9. Prior and posterior modelled concentrations when the homogenised NEE prior was used for the Hangklip and Robben Island sites over the full inversion period from March 2012 until June 2013.
Figure 10. Prior and posterior aggregated weekly fluxes over the inversion domain from March 2012 to June 2013 for the reference inversion and homogenised NEE prior test case.
Figure 11. Spatial distribution of the pixel-level uncertainty reductions achieved by the reference inversion and homogenised NEE prior test case for September 2012.
3.5 Simplified $C_c$
In this group of sensitivity tests, the specification of $C_c$ was simplified to a single uncertainty value of 2 ppm during the day or 4 ppm at night (Simp Obs Error), or up to 10 ppm for the night-time observations (Simp Obs with Large Night). These test cases had uncertainties in the observation errors that were lower than for Ref. Removing the correlation assumed in Ref was also considered (Simp Obs No Corr). The $\chi^2$ statistics indicated that simplifying the $C_c$ with smaller errors reduced the goodness-of-fit of the prior uncertainty covariance matrices (Table 3).
The impact on the modelled concentrations was very small, with biases in the prior and posterior modelled concentrations close to those obtained by Ref (Table 2). The bias for the Robben Island modelled concentrations was slightly reduced compared with Ref in all three of the simple observation error test cases.
The posterior aggregated weekly fluxes of the simple observation error cases and their uncertainties were indistinguishable from those of Ref. The posterior fluxes, both the spatial distribution in these fluxes and the aggregated fluxes, were similar between all three test cases and when compared with Ref. The uncertainty reduction was slightly larger under the simplified (i.e. smaller) observation error covariance matrix, but the spatial distribution in the uncertainty reduction was the same. Increasing the night-time observation errors to account for greater uncertainty in the atmospheric transport at night led to an aggregated flux estimate over the full measurement period that was more negative than for Ref, but with a similar uncertainty in the posterior aggregated flux (Table 3). The aggregated fluxes for this test case were consistently more negative across all months compared with Ref. Removing the correlation between observation errors had little impact on the inversion results.
3.6 Alternative control vectors
Performing separate weekly inversions (Week) or solving for a mean weekly flux for the month (Mean Month) led to inversions that required less computational resources and time, which meant these inversions could be completed for the full inversion period faster than Ref.
The time series in the posterior modelled concentrations, and the bias and standard deviation in the posterior modelled concentrations were similar between Ref and the two alternative control vector inversions (Table 2). The $\chi^2$ statistics were similar for these three inversions.
Ref and Week had similar aggregated weekly fluxes (Supplement Sect. 1.2). For Mean Month, the weekly aggregated fluxes were forced to be the same within each month, but the general pattern over time was similar to Ref. For most months the posterior weekly flux was above or below the prior weekly flux to the same degree as Ref, but the estimates, as expected, were smoother over time.
The monthly aggregated fluxes were generally very close to those from Ref except for August, September and November 2012 (Supplement Sect. 1.3). These are the summer months, and there was a great deal of variation in the aggregated fluxes from week to week from the results of Ref in these months. Mean Month generally had aggregated fluxes that were closer to zero than Ref or Week. This had a large impact on the aggregated flux over the full measurement period, due to these less negative posterior aggregated fluxes during the summer months. The aggregated flux for Mean Month was 662 kt CO$_2$ compared with
the -317 kt CO$_2$ of Ref (Table 3). Week had an aggregated flux of -687 kt CO$_2$. This discrepancy is partly due to some weeks with missing observations. In Ref these fluxes would have been adjusted by the available observations for neighbouring weeks, but were completely unconstrained by the observations in Week. For those months when all measurements were available, the aggregated totals were similar between Ref and Week. The uncertainty reduction in the aggregated estimates was almost double for Mean Month compared with Ref and Week.
The spatial distribution of the posterior fluxes was very similar for Ref and Week, but was distinctly different for Mean Month. Notably, the area around the oil refinery pixel was adjusted to negative fluxes for the month of September (Figure 12). Other areas were made closer to zero compared with Ref. For the month of May the posterior fluxes in the CBD were distributed differently and a new area of relatively large negative fluxes was created north west of the oil refinery pixel (refer to Supplement Figure S55). The uncertainty reductions at the pixel-level were large for the Mean Month compared with Ref, with areas of large uncertainty reduction much more widespread. In particular, the areas of uncertainty reduction above 90% that were restricted to the area over Table Mountain National Park in Ref were now extended over the CBD area.
Consequently the aggregated fluxes had uncertainty reduction that were twice as large as those for Ref, and uncertainties in the aggregated fluxes that were much smaller. For the aggregated flux over the full period, the posterior uncertainty was 66 kt CO$_2$ for Mean Month, compared with the uncertainty of 189 and 186 kt CO$_2$ from Ref and Week respectively (Table 3).
Figure 12. Spatial distribution of the pixel-level uncertainty reductions achieved by the reference inversion and homogenised NEE prior test case for September 2012.
4 Discussion
4.1 Alternative prior information products
As Robben Island is dominated by fossil fuel influence from the Cape Town metropolitan area, and Hangklip by biogenic sources from natural and agricultural areas in its vicinity, the discrepancy in the modelled concentrations relative to the observations suggests that the fossil fuel fluxes provided by the prior products are too large in magnitude, and the NEE estimates from CABLE estimate too much carbon uptake by the biota around the Hangklip site. In the case of the carbon assessment inversion, the bias in the prior modelled concentrations was positive compared with the negative bias of the reference inversion, indicating that the carbon assessment product was underestimating the uptake by the biota. As the carbon assessment product was much more homogeneous over space than CABLE, and could not react to local climate conditions, the uncertainty prescribed by using the NPP estimates is most likely too small.
The comparison of inversion results using different prior products provides useful information regarding which direction the true flux estimates are likely to be. A pixel within the CBD limits had similar fossil fuel flux estimates from the ODIAC product compared with the reference inventory product. The ODIAC product extended the fossil fuel fluxes much further a field from the CBD region than the reference inventory. This led to aggregated estimates that were much larger under the ODIAC inversion than the reference inversion. The inversion attempted to reduce the aggregated flux, indicating that compared with the reference inventory, the ODIAC prior was most likely overestimating the amount of fossil fuel emissions from Cape Town. Combining the information from these two inversions would imply that the true flux is sandwiched between the upper limit of the reference inversion and the lower limit of the ODIAC inversion; a much narrower uncertainty region than for either inversions. It can therefore be deduced that the true fossil fuel flux lies somewhere between the reference inventory and ODIAC fossil fuel flux estimates.
4.2 Uncertainty covariance matrix structure: $C_{s_0}$ and $C_c$
From the analysis of the reference inversion (Nickless et al., 2018), the $\chi^2$ statistics indicated that the reference inversion could be improved by small increases to the uncertainty specified in $C_{s_0}$, either through accounting for a larger correlation length or increasing the pixel-level uncertainties. Removal of the observation error correlations had a very small impact on the goodness-of-fit statistics, or on the posterior flux estimates and uncertainty reduction achieved by the inversion. To ensure that our reference inversion did not deviate too far from conventions for city-scale inversions where observation error correlations are ignored, we assigned a very short error correlation length to the observations of one hour. If we had assigned a longer length, such as 6 hours, this may have had more of an effect on the inversion. Lauvaux et al. (2009) have shown that observation errors up to 24 hours apart may be strongly correlated. The specification of the most suitable observation error length is still under investigation.
The impact of the inversion on the posterior fluxes and their uncertainties strongly depended on the specification of the correlation between the uncertainties in the NEE fluxes. In particular, the aggregated fluxes were distinctly different between the reference and test cases ignoring covariances between NEE flux uncertainties, which tended to have aggregated fluxes
closer to the priors and uncertainty reductions achieved by the inversion that were much lower (7.6% compared with 26.6% on average by the reference inversion). This indicates that advantage should be taken of knowledge related to the correlation induced by homogeneity of biogenic productivity in subregions of the domain. If this correlation is correctly specified in $C_{s_0}$, then the inversion is able to make larger adjustments to the prior fluxes and achieve a larger uncertainty reduction in these fluxes.
4.3 Relative uncertainty in $C_{s_0}$
Specification of the uncertainties in the prior flux estimates is one of the most challenging tasks in an atmospheric inversion exercise. There is little consensus on the correct approach to follow, and it is difficult to ensure that the most important sources of uncertainty are accounted for. The degree to which the inversion is constrained by the prior fluxes is inversely related to the specified prior uncertainty. If either the uncertainty in the fossil fuel fluxes or in the NEE fluxes was increased, this led to aggregated flux estimates that were more positive as the inversion was apparently attempting to compensate for the overestimation of the NEE uptake by the CABLE model. When the uncertainties were made smaller, the degree to which the inversion could increase the fluxes was restricted, and the resulting aggregated fluxes were more negative compared with the reference inversion.
These sensitivity results illustrate how dependent the uncertainty bounds around the posterior estimates are on the uncertainties specified for the prior fluxes. The inversion relies on the correctness of the uncertainty estimates assigned to the prior fluxes. The posterior uncertainties reflect the reduction in uncertainty achieved by the inversion given that the prior uncertainties are accurate. This motivates for the hierarchical Bayesian approach where a distribution is assigned to the uncertainty estimates. It can be shown that in the absence of observation error, doubling or halving the prior uncertainty in the fluxes results in a respective doubling or halving of the posterior uncertainty (see Supplement Sect. 1.5). Therefore it us unsurprising that if a prior uncertainty is made larger with respect to a reference inversion specification, that the posterior uncertainty of this inversion will be larger than the posterior uncertainty of the reference.
This set of sensitivity tests demonstrated that if we wish to ensure that the uncertainty bounds around the posterior fluxes are within a prespecified margin, say 10% of the aggregated flux estimate, then we have to ensure that prior uncertainty that we begin with is sufficiently small. Assuming no large shifts in the mean estimate, it can be shown that if we wish to obtain an uncertainty estimate that is within 10% of the aggregated flux estimate, and we are able to reduce the uncertainty by 25% through the inversion, then the prior uncertainty estimate would need to be within 13.3% of the prior aggregated flux estimate.
4.4 Homogenised prior information
Applying a spatially homogenised prior for NEE resulted in aggregated prior fluxes with smaller uncertainties, but in aggregated posterior fluxes that were quite different to those of the reference inversion. As the uncertainty was smaller, the degree to which the inversion could adjust these priors was diminished. An alternative sensitivity test could use the mean NEE flux as the prior for all pixels, but the maximum NPP as the uncertainty across all pixels. This would have allowed the inversion to adjust the
fluxes by a much larger degree allowing us to determine how much the inversion wanted to adjust the prior fluxes. Comparing the results to the reference inversion did illustrate that CABLE was most likely over-estimating the amount of CO$_2$ uptake.
Smoothing the domestic emissions over time had less of an effect on the inversion, with corrections to the prior estimates generally of the same magnitude and in the same direction, and with similar uncertainty reductions.
4.5 Simplified $C_c$
Simplifying the $C_c$ had very little impact on the inversion results. Increasing the night-time observation errors caused the aggregated flux to be more negative. Assigning an uncertainty in the night-time modelled concentrations of 10 ppm effectively led to the inversion ignoring most of the information available at night, leaving the posterior night-time fluxes (which are mostly affected by the night-time observations) to be similar to their prior estimates. If the inversion is tending to make large corrections to the daytime fluxes, and is now unable to make large corrections to the night-time fluxes, it implies that the aggregated fluxes will be more in error than if the inversion could be constrained by the observations - provided the constraint is good. The analysis of the misfits in the modelled concentrations from the reference inversion (Nickless et al., 2018) demonstrated that the errors in the day and night-time atmospheric transport modelling were not very different, and therefore it is unlikely that assigning errors as large as 10 ppm to all the night-time observations is necessary. The analysis of the errors in the modelled concentrations between day and night for the reference inversion provided confidence that the approach of increasing the errors only when conditions indicated that errors were more likely led model errors that were similar to those obtained during the day (Nickless et al., 2018).
4.6 Alternative control vectors
The separate weekly inversions obtained similar results to those of the reference inversion. Therefore, if necessary, for example due to computational costs, the separate weekly inversions could have been performed in place of the monthly inversions used in the reference case. In addition to the reduction in computation resources required, this allows additional features of the inversion to be tested more easily.
The large uncertainty reduction achieved by the mean weekly flux inversion is expected as a mean weekly flux estimate over four weeks has four times as many observations to constrain this estimate than if separately weekly fluxes are solved for. The estimates from the inversion solving for a mean weekly flux were consistent with those from the reference inversion, except in the summer months. During these months observations were often missing, and therefore smaller discrepancies may have been observed if data continuity during these periods was similar to the rest of the inversion study period.
An alternative control vector, which could improve on all three of the alternative control vectors used in this study, would be to solve for separate components of fossil fuel and NEE fluxes. For example, if fossil fuel fluxes were split into those fluxes from sectors which change slowly and those which change more quickly, the inversion could solve for a mean weekly flux over the month for the slow fluxes, and for sectors with faster changes, the inversion could solve for individual weekly fluxes. This would allow greater uncertainty reductions for those fluxes for which a mean weekly flux could be solved, which would in turn reduce the overall uncertainty in the aggregated fossil fuel flux. The NEE flux could also potentially be split into a slow and
fast component. The fast component responds to local climate conditions and this component could be tightly constrained by the available climate data. The inversion could solve for the slower component which is much harder to model, and to which we could assign larger uncertainties than we would need to for the fast component. As this is the slower component, we could solve for a mean weekly flux over the month, which would allow greater uncertainty reduction.
4.7 Inversion sensitivity
If we consider the aggregated flux over the full measurement period presented in Table 3, the variability between flux estimates across those inversions which used the reference control vector is 2024 kt CO$_2$. This is largely driven by the inversions using different prior products, and this uncertainty drops to 487 if these two inversions are removed, and drops further to 393 if the inversions with the transformed prior information are removed. This represents the variability in the aggregated flux estimate across all inversions which used the same prior information products. If we compare this to the uncertainty in the aggregated fluxes, which is approximately 185 kt CO$_2$, it shows that variability between posterior flux estimates from different inversion frameworks is still very large when compared with the uncertainty we expect around the posterior flux estimates. If the inversions with no error correlation between biospheric fluxes are removed, then the variability between inversions drops to 113 kt CO$_2$ - now below the expected uncertainty around the posterior flux from a single inversion. All the inversions that we removed from the estimate of variability were those which had a large influence on the error correlations of the NEE fluxes, either because they were specifically manipulated or because they were affected by the choice of prior product. This demonstrates the important role error correlations in the prior fluxes have on the posterior flux estimates obtained from an inversion.
Exceptions are the inversions which changed the prior estimates of the fossil fuel fluxes. These fluxes were not assigned error correlations. Those inversions which altered the prior estimates of the fossil fuel fluxes also had variable aggregated fluxes compared with the reference inversion. This is due to the inversion having limited ability to make large changes to the fossil fuel fluxes. The ensemble of posterior fluxes obtained from inversions with alternative prior fluxes allowed us to determine in which direction the inversion was attempting to adjust these fluxes, and provided us with an interval in which we could deduce the best estimate of the aggregated flux would lie. Changing the control vector also had a large influence on the aggregated flux, but this was largely due to periods with low data completeness.
5 Conclusions
Sensitivity tests have shown that to improve the inversion results for the Cape Town inversion, two important advancements should be made to the inversion framework. Firstly the NEE estimates need to be improved. The results from the reference inversion and from these sensitivity tests clearly indicate that CABLE is generally overestimating the amount of CO$_2$ uptake in the domain. Where there is more confidence in the estimation of the biogenic fluxes, either from CABLE for an alternative land-atmosphere exchange model, these reduced uncertainties should be incorporated into the prior information, rather than
applying a blanket uncertainty equal to the NPP as done for the reference inversion. For example, over agricultural areas, where the biogenic fluxes may be more reliably modelled, uncertainties may be substantially reduced.
Solving for mean weekly fluxes over a month produced much larger uncertainty reductions. Using an alternative control vector which solves for separate components of the fossil fuel and NEE fluxes that can be split into slow and fast components could take advantage of the larger uncertainty reduction achieved from solving for a mean weekly flux for each month. This could potentially allow the inversion to better distinguish between NEE and fossil fuel fluxes, allowing the inversion to apply corrections to the correct flux, and at the same time obtain aggregated flux estimates with smaller uncertainties than those obtained for the reference inversion. The estimates of the aggregated fluxes was shown to be more reliable in the reference inversion than those for the individual fossil fuel and NEE fluxes (Nickless et al., 2018).
The posterior uncertainties are highly dependent on the prior uncertainties. This was shown across several sensitivity tests, including the inversions which used alternative priors, inversions that used homogenised priors and inversions that adjusted the relative uncertainties of the prior fossil fuel and NEE fluxes. Of more concern is the large impact that the correlation assumed for the NEE fluxes had on the aggregated flux estimates and on the spatial distribution of the posterior fluxes. This has been observed in previous inversions (Lauvaux et al., 2016). Of all the specifications made, the correlation lengths are the most arbitrary, but can redefine the posterior flux estimates. The sensitivity tests suggested that correlations between observation errors were of less importance to the inversion result.
Approaches which attempt to solve for the uncertainties rather than relying on prior estimates may provide better estimates of the true uncertainty bounds around the inversion posterior flux estimates. Ganesan et al. (2014) and Wu et al. (2013) propose an hierarchical Bayesian approach to solve for hyper-parameters of the inversion, including the covariance terms, which could reduce the dependency of inversion results on expert opinion estimates of uncertainty.
These sensitivity analyses did not consider alternative atmospheric transport models. Sensitivity tests on previous city-scale inversions have shown this to be an important source of variation between inversion results (Lauvaux et al., 2016; Staufer et al., 2016). Future work on the Cape Town inversion will consider multiple atmospheric transport models, such as the WRF (Weather Research and Forecasting model coupled with Chemistry) regional climate model.
If enough of these sensitivity tests can be performed, and probability distribution around the posterior fluxes can be determined, which may provide better uncertainty limits around these estimates. The ability of running more inversions in a shorter period of time if a more efficient control vector is chosen would make running many more inversion specifications for such an exercise possible. Assigning probability distributions to these parameters that we test underpins the hierarchical Bayesian approach in Ganesan et al. (2014).
Code and data availability. Data and code related to the Bayesian inversion procedure can be made available upon request.
Author contributions. AN installed and maintained all the instrumentation at Robben Island and Hangklip, obtained the measurements and processed these into hourly concentrations, ran and processed the result of the LPDM in Fortran, produced all code and ran the inversion in Python, processed all the inversion results using R Statistical Software, produced all graphics and tables, designed the sensitivity tests, and was responsible for the development of the manuscript which forms part of her PhD. PJR was the main scientific supervisor, oversaw all implementation of the inversion, and provided guidance on the presentation of results. FE provided the CCAM and CABLE data. BE provided guidance on statistical issues. RJS provided guidance on the location of the sites and provided advice on the interpretation of the biogenic fluxes. All authors had the opportunity to comment on the manuscript.
Competing interests. The authors declare that they have no conflict of interest
Acknowledgements. We would like to acknowledge and thank Dr. Casper Labuschagne and Danie van der Spuy of the South African Weather Service for their assistance in maintaining the instruments at Robben Island and Hangklip, and Dr. Casper Labuschagne for his guidance on processing the instantaneous CO$_2$ concentration data; Martin Steinbacher for providing guidance and schematics on the calibration system used on the Picarro instruments; Robin Poggenpoel and Jacobus Smith of Transnet for allowing us access to the lighthouses; Peter Saaise of Transnet, the Robben Island lighthouse keeper, (and his daughter) for assisting when the instrument was not responding; Marek Uliasz for providing us access to the code for his LPDM model; Thomas Lauvaux for providing guidance on processing the LPDM results and useful discussion on the boundary contribution in the inversion. Use was made of the University of Cape Town ICTS-HPC cluster. Please see http://hpc.uct.ac.za/ for details. We would like to thank Andrew Lewis of the University of Cape Town HPC facility for providing useful advice on improving the efficiency of the Python runs. This research was funded by competitive parliamentary grant funding from the Council of Scientific and Industrial Research awarded to the Global Change Competency Area towards the development of the Variable-resolution Earth System Model (VRESM; Grants EEGC030 and ECMO66). Additional funding was obtained from the South African National Research Foundation for the Picarro instrumentation.
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|
FIRM AND FAIR
IMPROVING THE DELIVERY OF JUSTICE IN SCOTLAND
Firm and Fair
Improving the Delivery of Justice in Scotland
Presented to Parliament by the Secretary of State for Scotland
by Command of Her Majesty
June 1994
EDINBURGH: HMSO
Cm 2600
ISBN 0 10 126002 4
# CONTENTS
## FOREWORD BY THE SECRETARY OF STATE FOR SCOTLAND
| Chapter | Page |
|------------------------------------------------------------------------|------|
| 1. INTRODUCTION | 1 |
| Summary of Main Proposals | 2 |
| 2. PRE-TRIAL PROCEDURE | 5 |
| Introduction | 5 |
| Bail | 5 |
| Intermediate Diets | 8 |
| Agreed Adjournments | 10 |
| Evidence | 10 |
| The Role of the Judiciary | 14 |
| 3. JURIES AND VERDICTS | 15 |
| Introduction | 15 |
| The Selection of Juries | 15 |
| The Three Verdict System | 18 |
| Jury Size and Majority Verdicts | 19 |
| 4. THE POWERS OF THE COURTS | 21 |
| Introduction | 21 |
| Sentencing | 21 |
| Forfeiture and Confiscation | 25 |
| 5. APPEALS PROCEDURES | 26 |
| Introduction | 26 |
| Devolution of Appeals to Sheriffs Principal | 26 |
| Single Judge Sift | 27 |
| Reduction in the Quorum of the Appeal Court | 28 |
| 6. CONSIDERATION OF APPEALS AND ALLEGED MISCARRIAGES OF JUSTICE | 30 |
| Introduction | 30 |
| Consideration of Appeals by the Appeal Court in Scotland | 30 |
| Crown Appeal Against Acquittal | 31 |
| Reindictment on a Higher Charge | 32 |
| Lord Advocate’s Reference | 32 |
| Alleged Miscarriages of Justice | 32 |
| Chapter | Page |
|------------------------------------------------------------------------|------|
| 7. CRIMINAL LEGAL AID | 35 |
| Introduction | 35 |
| Eligibility | 35 |
| Procedural Changes | 36 |
| Statutory Test for Legal Aid in Criminal Appeals | 37 |
| Solemn Procedure | 37 |
| Standard Fees | 38 |
| Quality of Legal Aid Service | 38 |
| 8. OTHER CRIMINAL JUSTICE ISSUES | 39 |
| Introduction | 39 |
| Alternatives to Prosecution | 39 |
| The Standing Committee on Criminal Procedure | 42 |
| Right of Silence and Judicial Examination | 43 |
| DNA | 44 |
| Social Work Services in the Criminal Justice System | 46 |
| Unfitness to Plead and Acquittal by Reason of Insanity | 47 |
| Consolidation of Criminal Procedure Legislation | 48 |
| 9. THE ROYAL COMMISSION ON CRIMINAL JUSTICE | 49 |
| Introduction | 49 |
| The Victim’s Experience of the Criminal Justice System | 49 |
| Developments in the Police Service | 51 |
| Forensic Science | 54 |
| Serious Fraud | 56 |
| Judicial Training | 56 |
| 10. RESOURCE IMPLICATIONS | 57 |
| Introduction | 57 |
| Effect on Individual Agencies within the Criminal Justice System | 58 |
| Conclusion | 61 |
| Annex A SUMMARY OF LEGISLATIVE PROPOSALS | 62 |
| Annex B MEETING VICTIMS’ NEEDS | 70 |
Crime is a matter of concern to us all. This Government’s aim has always been to prevent crime and to reduce offending. Recent falls in the levels of recorded crime in Scotland are encouraging, but we cannot be complacent. This White Paper is a further step in our fight against crime. We are proposing significant reforms to increase the capacity of the criminal justice system to deal with those who break the law.
Scotland is well served by its distinctive system of criminal justice. An independent prosecution service acting in the public interest and a judiciary of absolute integrity are among its particular strengths. But even systems which serve us well need to adjust to meet new challenges and new demands. The Justice Charter for Scotland, issued under the Citizen’s Charter, tackled important issues facing the criminal justice system. It recognised the needs of victims and made commitments to reduce delays and inconvenience to witnesses and other court users. The Lord Advocate and I want to keep up the momentum created by the Justice Charter. We have decided that the time is right for a substantial overhaul of existing practice and procedures.
We have therefore undertaken a thorough review of how our criminal justice system performs. In our four consultation papers, issued over the last year, we suggested how the system could work better, with less inconvenience, less delay and less waste. We must have a criminal justice system which works, and is seen to work, well. It must be understood by those who pay for it and who look to it to protect them, their families and the communities in which they live. We are grateful for the replies to our consultation papers. We have taken careful account of them and they have helped to shape the proposals in this White Paper. Our aim is to produce a system which is fair to all - to victims, to witnesses and to society at large, as well as to the accused.
Three key themes of the Government’s law and order strategy are reflected in the proposals in the White Paper.
– **First**, our highest priority is to protect the public from crime and criminals. People who break the law must be quickly identified, brought to account and punished. Our proposals will improve the capacity of the police, the prosecution and the courts to deal with crime quickly and efficiently.
Second, in line with Citizen’s Charter principles and in common with other areas of the public service, the criminal justice system must be responsive to the needs and concerns of people who come into contact with it. We believe it is extremely important to encourage sensitive treatment of victims, witnesses and jurors.
Third, members of the public should recognise that participation in the criminal justice process is an important civic duty and that their contributions are essential to the effective administration of justice. The public expects a lot of the criminal justice system and we believe that the system should be able to expect a contribution from the public in return. We intend to make it easier for people to give that contribution without undue inconvenience.
It is essential that the Scottish criminal justice system commands respect and public confidence. I believe that, by providing the system itself with the tools it needs to take effective action against those who break the criminal law, the measures proposed in this White Paper strike the right balance between securing public support and participation and ensuring that everyone who comes into contact with the system gets a better and fairer deal. Where legislation is required, we shall bring it forward at the next opportunity.
IAN LANG
Secretary of State for Scotland
Chapter 1
INTRODUCTION
This White Paper sets out the Government's proposals for changes to the criminal justice system in Scotland. Over the last year, through the series of consultation papers\(^1\) under the general theme of improving the delivery of justice in Scotland, the Government has sought views from a wide range of interested bodies and individuals on the operation of the criminal justice system and of criminal legal aid. The emphasis has been on identifying improvements to the procedures and processes involved in reaching decisions in criminal cases. These consultations examined the handling of cases by the criminal justice and legal aid systems in Scotland and made proposals for changes to some important aspects of them.
1.2 1993 marked the publication of the Report of the Royal Commission on Criminal Justice\(^2\). Although the Royal Commission's remit did not extend to Scotland, the Secretary of State for Scotland undertook to consider the implications of the Royal Commission's recommendations in the Scottish context. The consultations in Scotland therefore also covered those areas of the Royal Commission's report which were of relevance to Scotland and where the Secretary of State wished to seek views on the possible implementation of changes.
1.3 Chapters 2 to 9 of this White Paper set out in detail the Government's proposals for reform, referring to the outcome of the consultation process as appropriate. In addition they describe a number of other areas where the Government proposes legislation for reform of criminal procedure, but which did not fall within the scope of the recent consultation exercise. Some aspects have been the subject of separate consultation, as for example the proposals relating to unfitness to plead and acquittal by reason of insanity, and some arise from work of the Scottish Law Commission, as for example the proposals on forfeiture and confiscation. Proposals have also come from other sources, such as the recommendations of the Standing Committee on Criminal Procedure chaired by Lord MacLean and consultation on national standards for social work services in the criminal justice system. A number of further, minor amendments to criminal justice procedures are proposed.
---
\(^1\)The Review of Criminal Evidence and Criminal Procedure, June 1993
Criminal Legal Aid Review, November 1993
Juries and Verdicts, January 1994
Sentencing and Appeals, February 1994
\(^2\)Report of the Royal Commission on Criminal Justice Cm 2263, July 1993
SUMMARY OF MAIN PROPOSALS
1.4 Victims and other members of the public sometimes complain about the way that **bail** operates. New powers are proposed to deal with people who commit offences while on bail and to allow the prosecutor to have the grant of bail reviewed if significant new information comes to light.
1.5 At present far too many cases do not go to trial on schedule. This means that victims and other witnesses are called to court unnecessarily and often have to wait for long periods. Among the witnesses affected are many police officers. The proposals in this White Paper aim to make sure that more cases go ahead on time by **enhancing the system of intermediate diets** and so reducing the number of cases which are cancelled at a late stage. This should free many police officers for more productive work. Even when they eventually give their evidence, witnesses sometimes find that it was never really in dispute. They feel their time has been wasted. New methods of putting such evidence before the court without unnecessary inconvenience to witnesses are proposed.
1.6 **Juries** are a vital part of the system of justice. *It has been decided to maintain the traditional Scottish jury of fifteen and the three verdicts*, but to make sure that juries are truly representative. At present some people find it difficult to serve because of particular family, business or holiday commitments. In future they will be offered alternative dates at a more convenient time. At present also peremptory challenges mean that for no good reason some people are denied their chance to contribute to the administration of justice. It is proposed to abolish peremptory challenges.
1.7 In recent years there has been an enormous growth in **appeals**, especially against sentence. Ways of improving the information available to judges about levels of sentence are currently being explored and the Government proposes to introduce a specific statutory power to allow the Appeal Court to issue judgements establishing sentencing guidelines. The large number of appeals can lead to delays. At present all appeals are heard by three judges. The Government believes that all appeals should continue to be heard by the Appeal Court, but it is proposed to introduce a sift by a single judge to weed out those with no prospects of success. Provision will be made to allow appeals on matters of sentence only to be heard by a bench of two judges. These changes should ensure that appellants with genuine appeals have them heard as quickly as possible.
1.8 In England and Wales the recent Royal Commission on Criminal Justice proposed the setting up of a Criminal Cases Review Authority to handle certain miscarriages of justice. The Home Secretary has accepted this proposal which has also been considered in relation to Scotland. The
Scottish system is different. Many of those who replied to the consultation paper dealing with these issues were opposed to any similar changes for Scotland. The issues are complex, however, and involve the powers of the Appeal Court and its relationship with any new body. They require further scrutiny. The Secretary of State has accordingly decided to set up an independent committee to examine them and to report as soon as possible.
1.9 The Royal Commission made a number of recommendations on the position of victims and on a variety of other topics. The White Paper charts the progress made on these matters in Scotland and sets out the Government’s proposals for the future.
1.10 Much has been achieved by the existing system of diversion from prosecution and the Government intends to strengthen it. Similarly the Government proposes to build on the success of the distinctive system of fiscal fines by introducing four levels of fine which procurators fiscal will be able to offer for a range of minor offences.
1.11 Much has been done already by the courts, by lawyers and by other professionals to improve services. The proposals in this White Paper carry forward and develop that work.
1.12 The main changes proposed are:
– reform of bail legislation, giving the courts new powers to deal with offending on bail (paragraphs 2.5 to 2.14);
– an enhanced system of intermediate diets before trial to reduce the numbers of trials adjourned and cancelled at a late stage, causing inconvenience to witnesses (paragraphs 2.15 to 2.20);
– developments in disclosure of information to the defence so as to encourage agreement of uncontentious evidence, as well as development of the system of dealing with routine evidence (paragraphs 2.21 to 2.34);
– improvements in the procedures for the selection of juries so that they are properly representative and that inconvenience to potential and actual jurors is kept to a minimum (paragraphs 3.2 to 3.14);
– promotion of improved information systems for the courts about sentencing and the development of sentencing guidelines (paragraphs 4.6 to 4.8);
– clarification of the courts’ powers to take account of a guilty plea as a mitigating factor for sentence (paragraph 4.14);
– enhanced powers for the courts to order forfeiture and confiscation of offenders’ assets, in appropriate circumstances (paragraphs 4.15 to 4.19);
– a system of sifting of appeals by a single judge before the case goes to a hearing, and reduction in the quorum of three judges to hear appeals against sentence (paragraphs 5.5 to 5.11);
– limiting the current power of the prosecution to reindict on a higher charge (paragraph 6.9);
– the appointment of an independent committee to examine further and report on appeals criteria and machinery for dealing with alleged miscarriages of justice (paragraphs 6.12 to 6.17);
– adjustments to the system of criminal legal aid to reinforce the proposed system of reformed intermediate diets and agreement of evidence (paragraph 7.6);
– improved facilities for diversion from prosecution (paragraphs 8.5 to 8.6);
– extension of the distinctively Scottish system of fiscal fines to enable the Crown to deal with a wider range of minor offences out of court, while at the same time preserving the right to a trial where the offer of a fine is not accepted (paragraphs 8.7 to 8.12);
– amendments to criminal procedure as recommended by the Standing Committee on Criminal Procedure (paragraphs 8.13 to 8.17);
– new powers, with appropriate safeguards, to enable DNA recognition to be fully used in the fight against crime (paragraphs 8.22 to 8.31);
– improvements to the system of non-custodial offender services (paragraphs 8.32 to 8.38);
– reform of the arrangements for dealing with those unfit to plead or acquitted by reason of insanity (paragraphs 8.39 to 8.41);
– a proposal to consolidate criminal procedure legislation (paragraphs 8.42 to 8.43);
– the continuing development of services and support for victims and witnesses (paragraphs 9.2 to 9.11 and Annex B);
– improvements in the police service, involving improved discipline and complaints procedures, training and appraisal, and safeguards for suspects (paragraphs 9.12 to 9.24); and
– a continuing review of forensic science services in Scotland by the Standing Committee on Forensic Science Services in Scotland (paragraphs 9.25 to 9.31).
1.13 Annex A summarises the Government’s proposals for legislation.
Chapter 2
PRE-TRIAL PROCEDURE
INTRODUCTION
In June 1993 the Government published a consultation paper seeking views on proposals for improving the procedures for bringing cases to trial. These proposals were set out in a report, the *Review of Criminal Evidence and Criminal Procedure*, which revealed that as many as four out of five trials did not take place when programmed and that the main causes were late guilty pleas and unforeseen adjournments. It was estimated that of the 350,000 or so witnesses who attended court each year, as many as 280,000 did not give evidence. Half of these witnesses were likely to be police officers. The report made proposals for reducing the waste of time and inconvenience involved in cancelled and adjourned trials by introducing mandatory intermediate diets. There were also further proposals for reducing the length of the minority of trials which do go ahead, through the agreement of uncontroversial evidence and the presentation of some evidence in written form. The ultimate success of any new system is crucially dependent on effective management of pre-trial procedures by the judiciary.
2.2 Responses to the consultation paper demonstrated considerable concern about the consequences of the cancellation and adjournment of trials and broad support for most of the measures set out in the consultation paper.
2.3 Concern has also been expressed recently about the rising numbers of offences which are committed by persons on bail. Although this issue did not form part of the *Review of Criminal Evidence and Criminal Procedure*, the Government believes that abuse of bail by accused persons is an extremely important issue which is of concern to a wide spectrum of the general public. The Government therefore intends to take action to curb the increase in offending while on bail.
2.4 The Government proposes to introduce legislation to implement the proposals set out in the following paragraphs.
BAIL
2.5 Legislation on bail was last passed in 1980 when the Bail etc. (Scotland)
Act 1980 removed the normal requirement that a sum of money be pledged or deposited before release on bail could be granted. It established a system of conditions attached to the grant of bail to ensure that the due process of law was observed.
2.6 Of the 200,000 or so criminal cases subject to court proceedings each year in Scotland, only a minority involve persons either remanded in custody or released on bail prior to their appearance in court for trial. The majority of accused are simply ordained to appear for trial.
2.7 Under section 26 of the Criminal Procedure (Scotland) Act 1975 all crimes and offences in Scotland are bailable by sheriffs, except treason and murder. Courts will grant bail unless the application is opposed by the procurator fiscal, and the court considers it should be refused on the grounds of the need to protect the public and secure the course of justice. Bail conditions seek to ensure that the accused appears at court at the appropriate time, assists as necessary with inquiries or reports required by the court in dealing with his case and does not obstruct the course of justice, either by interfering with witnesses or otherwise. The 1980 Act also enables the court to impose conditions to secure that the accused does not commit an offence while on bail.
2.8 In 1989 the Government commissioned major research into the workings of the 1980 Act. While it was in progress, over 1991 and 1992, public concern developed about the growth in bail abuse apparent from police statistics of recorded crime. The research report, which was published in May 1994, indicated that there was a need for greater consistency in the practice of all those involved in bail and related decisions. It suggested that in those areas in Scotland where bail is more readily granted there was a tendency for those who repeatedly committed minor offences to end up in custody because of a record of offending on bail, whereas elsewhere such offences were less likely to be recorded as bail abuse. The report indicated that rates for offending on bail in Scotland appear to be similar to those in England and Wales.
2.9 The Government attaches considerable importance to securing the process of justice and reducing levels of bail abuse. In the light of the report’s concerns about different approaches throughout Scotland, the Crown Office is to establish a working party comprising members of the Procurator Fiscal Service and representatives of the Association of Chief Police Officers in Scotland to review the guidelines to the police on their approach to liberation of accused persons before appearance in court. The working party’s objective will be to find means of ensuring consistency in the police approach while taking account as necessary of local and specific circumstances. This review will
be reinforced by a fresh look by the Crown Office at the prosecution attitude to bail.
2.10 The Government welcomes these initiatives. However, despite evidence that the apparent growth in bail abuse recorded by the police in recent years is mainly due to increased efforts by local police forces to identify and record bail abuse accurately, the fact remains that in 1993 the police recorded 26,000 offences of offending on bail. This figure is unacceptable. The Government shares the widespread public concern at this level of offending on bail. The Government has therefore decided to take action to deal with these abuses.
2.11 Failure to observe a condition of bail disrupts the due process of law and is a breach of the trust of the court which released that individual on bail. The commission of another offence while on bail is a further breach of the court's trust. The Government believes that present legislation does not enable the courts to treat in a sufficiently serious and visible manner those on bail who offend repeatedly, and therefore proposes the following measures:
- where a person on bail commits an offence the courts will be given a new power to increase the sentence for that offence (an aggravated sentence);
- the penalties which the court may impose will be a fine of up to £1,000 and/or a period of imprisonment of up to 6 months (60 days if convicted in the district court). The proposed maximum period of imprisonment is twice as severe as the maximum that the sheriff court may at present impose in respect of an offence committed while on bail;
- where a court imposes an aggravated sentence the increase in the sentence will be spelled out separately by the court. The court may take into account the circumstances under which bail was originally granted and the nature of the original offence in determining the seriousness of the aggravating factor. The increase in the sentence would form part of the sentence for purposes of appeal; and
- if the accused is found not guilty of the original offence for which bail was granted but is convicted of a subsequent offence while on bail the court may still, in these circumstances, impose an aggravated sentence.
2.12 The Government believes these measures will enable the courts to deal more directly and more effectively with those who abuse the trust placed in them by the court through the grant of bail.
2.13 In some cases it may be wholly inappropriate for bail to be granted at all. In addition to the restrictions which exist at present, the Government believes that those who are accused of a serious offence where they have been convicted previously of that or a similar serious offence should not be admitted to bail. The Government accordingly proposes to amend section 26 of the 1975 Act to provide that bail should not be available to those facing charges of culpable homicide, attempted murder, rape or attempted rape where they have a previous conviction for any of these, involving a custodial sentence in the case of culpable homicide, or a previous conviction for murder or treason. The Government also proposes to promote specific provisions enabling the prosecution, in the light of new information, to request the court to review bail conditions which might have been imposed, or to review a decision to grant bail.
2.14 The existing powers of the court to impose conditions on the grant of bail do not include power to impose a condition that the accused should attend an identity parade or should present himself to have a sample taken under warrant. The absence of such a power can lead to accused persons being kept in custody where they might otherwise be granted bail. This is undesirable and the Government therefore proposes:
– to introduce a power for courts to impose a new condition of bail to require a person to make himself available for the purposes of participating in an identification parade or to enable prints, impressions or samples to be taken under the authority of a warrant; and
– to increase the maximum fine for breaching a condition of bail from the current level of £200 to £1,000.
INTERMEDIATE DIETS
Summary procedure
2.15 The proposal for a new mandatory intermediate diet in summary procedure was widely welcomed. Indeed, following the successful experiments commissioned by the Steering Group on Court Programming, chaired by Sheriff Principal Nicholson, some courts have on their own initiative introduced intermediate diets in the period since the consultation paper was published. Early results from these courts seem to reflect the encouraging outcome of the original experiments.
2.16 In response to the consultation it has been argued that there may be cases where an intermediate diet would be unduly costly or inconvenient, or in which an intermediate diet would be demonstrably pointless; and that
there may be some courts, for example those which sit infrequently and which do not face the difficulties of cancelled trials experienced in most courts, where a mandatory diet would not merely serve no real purpose, but would actually create exceptional programming difficulties.
2.17 The Government recognises these possibilities, but remains concerned to ensure that effective intermediate diets are adopted as widely as possible. **The Government therefore intends to proceed with the proposal to make intermediate diets mandatory in all summary cases prosecuted in the sheriff courts and district courts.** However to allow sufficient flexibility to meet the practical points that have been raised, the Government proposes:
– first, that in exceptional cases and on the application of the prosecution and defence, the court may dispense with an intermediate diet if it considers that there would be no benefit in having one;
– second, that in exceptional cases (such as an accused who lived at some considerable distance), the court would have power to excuse the accused from attending the diet, provided he was represented at it; and
– third, that the Secretary of State should have powers to introduce intermediate trial diets progressively and to exclude individual courts from the mandatory requirement if they could demonstrate both that the diets would not yield any significant practical benefits and that imposition of the diets would be an unreasonable burden on court programming. The exercise of such a power might be appropriate in relation to some less busy district courts.
2.18 The purpose of the intermediate diet would be set out in legislation more fully than at present, in a provision based on the list of duties suggested in the report of the *Review of Criminal Evidence and Criminal Procedure*, namely that the court:
– shall ascertain whether the prosecution and defence cases are fully prepared;
– shall ascertain whether the Crown and defence are in a position to agree and have agreed any of the evidence and can discharge any of the witnesses;
– shall enquire whether a joint minute of agreement or a statement of facts can be agreed; and
– if not satisfied that the case is fully prepared, and/or that evidence which will not be contested has been agreed, shall either arrange a new trial diet or continue the intermediate diet to another date.
2.19 The prosecution and defence would have a statutory duty to take all reasonable steps open to them to secure agreement on matters which might be agreed or admitted.
**Solemn procedure**
2.20 The Review report proposed the introduction of a similar mandatory diet in solemn procedure. While this proposal was widely supported in relation to sheriff and jury cases, it was pointed out that a number of practical problems would arise in programming such diets for the High Court, which sits continuously only in Edinburgh and Glasgow and depends on a relatively small number of judges sitting as required in cities and towns around Scotland. **The Government therefore proposes that the mandatory diet should be introduced for sheriff and jury cases only.** It would be subject to a similar statutory framework as is proposed above for intermediate diets. In the High Court, where the problems of cancelled and adjourned trials are in any case somewhat less acute than in the sheriff courts, the Crown will seek to make use of the existing statutory provisions for preliminary diets in section 76 of the Criminal Procedure (Scotland) Act 1975, as modified by section 39 of the Prisoners and Criminal Proceedings (Scotland) Act 1993, in cases where it would appear to be beneficial to do so.
**AGREED ADJOURNMENTS**
2.21 In the light of general support for the proposal in the consultation paper, **the Government will promote amendments to clarify the existing provisions in sections 77A, 314(3) and 314(4) of the Criminal Procedure (Scotland) Act 1975.** These will provide that an adjournment of a trial may be granted by a judge in chambers, where prosecution and defence agree on the need for adjournment. It will, however, remain possible for the application to be considered, and if appropriate refused, in open court should the court require it.
**EVIDENCE**
**Civilian witness statements**
2.22 The consultation paper also sought views on the report’s recommendation that, subject to the resolution of a number of practical difficulties, the prosecution should routinely provide the defence with copies of witness statements in summary cases, so as to facilitate earlier guilty pleas and the agreement of evidence. This recommendation was supported by many, although not all, consultees. An experiment in the provision of civilian witness statements in certain cases has been carried out in Paisley. Further experiments in different areas and within different parameters will be necessary. The Lord Advocate intends that they will be overseen by a working
party including prosecution, police and defence interests. Work in this area will, therefore, continue.
2.23 In some complex cases it may be helpful for the prosecution to provide the defence with additional information about the prosecution case other than in the form of witness statements. This is already possible within the existing procedures, and prosecutors will continue to do this in appropriate cases.
**Routine evidence**
2.24 The certificate evidence provisions in section 26 of the Criminal Justice (Scotland) Act 1980 avoid the need for witnesses to attend court. When the prosecution lodges a certificate the defence is given an opportunity to insist on proof of the matter in the usual way. This is an important safeguard which ensures that in those cases where there may be justification for a challenge, the defence is given the fullest opportunity to test the evidence in court. Consultation elicited general support for the extension of the use of certificate evidence and a number of respondents suggested additional categories of evidence which might be suitable for certification. These suggestions are being examined and **the Government will introduce legislation to extend the list of categories of evidence which may be certificated.**
2.25 Certificate evidence is most suitable in the case of routine matters which require to be proved in connection with statutory offences. New categories of evidence which would be suitable for certification will arise as new statutory offences are created and amendments are made to existing ones, or prosecution of existing offences becomes more frequent or subject to new techniques. **The Government proposes that primary legislation should enable new categories of evidence to be added to the certificate evidence provisions by way of statutory instrument.**
2.26 The Government will bring forward legislation enacting other minor changes to the law of evidence to bring it up to date with changes in the criminal justice system and in society generally. For example, there is growing awareness of the potential danger to health from storage of infected biological samples. To minimise the risk of infection spreading they should be destroyed at the earliest possible opportunity. **The Government proposes that evidence of the results of the analysis of such samples shall be sufficient, without the need to produce the sample in court.**
2.27 Scientific testing of forensic evidence is now carried out in sizable laboratories which deal with a considerable volume of tests. Most of the tests are carried out by technicians under the direction and supervision of approved analysts. The results of such tests are already presented to the courts by certificate. **Legislation will be brought forward to clarify the**
certificate provisions to ensure that a certificate signed by two approved analysts may be sufficient proof of the results of a scientific analysis carried out under their direction or supervision, notwithstanding that all of the processes in the analysis may not have been carried out by the analysts themselves.
**Agreement of evidence**
2.28 The Government believes that there is significant further scope for releasing witnesses from attendance at court and, to a lesser extent, for reducing the length of trials, through the agreement in advance of evidence which is not likely to be contested. The sort of evidence which is rarely challenged and is therefore generally capable of agreement includes, for example, the evidence of householders whose property has been broken into or car owners whose car has been stolen or forced open. Often such evidence will merely establish that a crime has been committed, not that it was committed by the accused, and in many cases the accused will have no interest in challenging it (although of course the accused must always retain the right to challenge it if he wishes).
2.29 Those who commented on this issue generally agreed that there was scope for more agreement in such matters and that a concerted attempt to achieve agreement before trial would be in the public interest. The correct mechanisms for securing and recording agreement of uncontentious evidence are crucial, and much thought has been given to this issue by the Scottish Law Commission and others. The main options are **minutes of agreement**, the procedure for which already exists; **statements of facts not in dispute**, as recommended by the Scottish Law Commission; and **witness statements**. Each of these options has advantages and disadvantages. However all of them are likely to be more effective when combined with an intermediate diet, at which the question of whether and what evidence can be agreed is addressed.
2.30 **The Government proposes that the existing procedure for minutes of agreement and minutes of admission should remain in place.** It is likely to be useful in most cases where there is scope for agreement of evidence. With the introduction of the new mandatory intermediate and first diets there appears to be no reason why the parties cannot decide at that stage to make such evidence the subject of a minute of agreement.
2.31 A minute of agreement may not however be the most appropriate method in every case. Within the broad category of what may be called uncontroversial evidence, the facts themselves, the form in which they may be expressed in a witness statement, and the quality of the statement will vary widely from case to case. Systems for agreeing evidence should be
flexible enough to deal with all the likely eventualities, so long as they are intelligible and contain adequate safeguards for accused persons. This suggests that the Crown should have a number of options for taking forward the important business of securing agreement to uncontroversial evidence.
2.32 The facts which may be agreed are often drawn from witness statements. In many cases the statements will not be a suitable basis for agreement on their own, perhaps because they contain too much extraneous material or because the facts in them have to be related to certain productions which will be used in evidence. For these reasons such statements are normally used as a basis for proposing a minute of agreement. However there may be witness statements which are suitable as they stand and in such cases it would be more effective to serve the statements themselves on the accused.
2.33 The Government has given further consideration to the Scottish Law Commission’s proposal for a statement of facts which would be served on an accused person and would be regarded as proved unless a counter-notice was served. The procedure is similar to that already used for certificate evidence and has the advantage that it puts the onus on the accused to address the facts early on in the case and particularly to decide whether he is prepared to agree those narrated in the statement. The Government has concluded that this proposal should be introduced for use in those circumstances where it would be appropriate. It would lend itself in particular to the proof of documentary evidence which is already admissible by virtue of Schedule 3 to the Prisoners and Criminal Proceedings (Scotland) Act 1993 and which could be the basis for some of the facts in the statement. If it were possible to agree evidence in this way, no further proof would be required. The disadvantage of the mechanism is that the drafting of the statement of facts could be very time consuming and the Crown’s workload might often be disproportionate to the benefits achieved. Experience of the procedure in practice will enable the Crown to identify more effectively those cases where its use is likely to be beneficial.
2.34 The Government accordingly proposes that the procedural model proposed by the Scottish Law Commission for statements of facts not in dispute should be adopted, but that such a statement could incorporate reference to witness statements and documents which could be appended to the statement of facts. The list of facts, or the facts in the statements or other documents, would be held to be proved unless the accused or his agent served a counter-notice within a prescribed period. Procurators fiscal would serve such a statement, if one was appropriate in the case, before an intermediate diet, in sufficient time to allow the accused or his agent to inform the court at the diet whether he intended to
serve a counter-notice. This procedure might also be appropriate for the few cases in which no intermediate diet is held.
THE ROLE OF THE JUDICIARY
2.35 The Review of Criminal Evidence and Criminal Procedure recommended that judges should manage preliminary procedures more effectively. This recommendation was directed mainly at the conduct of intermediate diets and it received strong support from the majority of respondents, including the Sheriffs’ Association and the sheriffs principal. A few respondents advised caution. One or two were concerned that judges might, in managing the procedures actively, infringe the rights of the accused. Several suggested that training would be necessary to enable the judiciary, especially justices of the peace, to make the most effective use of the new intermediate diets.
2.36 The changes to pre-trial procedures which the Government proposes would not diminish the existing rights of the accused. The changes are intended to make practices which already exist - intermediate diets, procedures for agreement of evidence, changes of plea, adjournment of trials - operate more effectively and with less cost and inconvenience to witnesses and other members of the public. The whole tradition of Scottish justice suggests that the judiciary are well able to distinguish management of these procedural issues from interference in the substance of the case before them. There is no reason why effective judicial oversight of these procedures should infringe the rights of the accused.
2.37 On the other hand, the Government readily accepts that training in case management may be beneficial for sheriffs and justices of the peace who will be conducting intermediate diets. Such training has already been recommended by the Steering Group on Court Programming, chaired by Sheriff Principal Nicholson, and the new committee to co-ordinate shrieval training, recently set up under the chairmanship of Lord Cameron of Lochbroom (see Chapter 9), will no doubt take account of the legislative changes proposed in this White Paper. Training of justices of the peace is the responsibility of local justices committees, but the Secretary of State for Scotland has powers to make and approve training schemes. The Scottish Office Home and Health Department will consult the Central Advisory Committee for Justices of the Peace and the District Courts Association on the form of training of justices of the peace which might be required, taking account of any relevant developments in training for sheriffs.
Chapter 3
JURIES AND VERDICTS
INTRODUCTION
In the consultation paper *Juries and Verdicts* the Government invited views on a number of proposals for improving the selection of juries, as well as on the future of the three verdict system, the size of Scottish juries and the majority verdict. This chapter sets out the Government's conclusions in the light of the responses received. In general, there was widespread support for the Government's proposals for reform of the procedures for selection of juries, but much less consensus in relation to issues related to the three verdict system.
THE SELECTION OF JURIES
3.2 The purpose of the Government's series of proposals for improving the selection of juries is to achieve juries which are more representative of the community and more willing to serve. This can be achieved by making it more difficult to avoid jury service but less inconvenient and time-consuming to undertake it, and by reducing the number of people who are cited for jury service but not in the end asked to serve. There was general support for these objectives and for most of the proposals set out in the consultation paper.
Revisal notices
3.3 The majority of respondents who commented agreed that a specific offence of failing to return a Revisal Notice (the initial inquiry to potential jurors) should be created. Those who dissented were mainly concerned with the practical and resource implications of prosecuting the proposed offence. The Government proposes to introduce legislation creating such an offence.
Persons on bail
3.4 Again, the majority of respondents supported the disqualification of persons on bail from jury service. Some, however, pointed out that those on bail are presumed innocent. The justification for disqualification is not, however, that those on bail might have committed an offence. Rather, it is that they have been accused of committing an offence and are still subject to criminal proceedings and that this might improperly affect their attitude
to the proceedings in which they would be contributing to the verdict. The Government proposes to add persons on bail to the categories of persons who are disqualified from jury service, as currently set out in Schedule 1 to the Law Reform (Miscellaneous Provisions) (Scotland) Act 1980.
**Members of religious sects**
3.5 The Government sought views on a recommendation made by the Royal Commission on Criminal Justice, that practising members of religious sects who find jury service incompatible with their tenets or beliefs should be entitled to be excused jury service. There was considerable support for this proposal and the Government proposes to introduce a provision adding such persons to the categories of persons excusable as of right, as specified in Schedule 1 to the Law Reform (Miscellaneous Provisions) (Scotland) Act 1980.
**Single sex juries and exemption of women**
3.6 The responses revealed that the existence of provisions (in section 100 of the Criminal Procedure (Scotland) Act 1975) allowing the empanelling of juries of a single sex and the exemption of women “by reason of the nature of the evidence to be given or of the issues to be tried” was not generally known. There was almost unanimous support for abolition of these provisions, and the Government will introduce legislation to repeal them.
**Statutory prescription of the number of jurors cited**
3.7 The provision in section 85 of the 1975 Act that the number of jurors summoned shall be 45, a number which dates from 1579, has no relevance to modern circumstances, when trials are normally grouped in sittings, and clerks of court have to take into account a range of different factors which may vary from court to court. There was near unanimous support for the abolition of this provision and the Government intends to introduce legislation to abolish it.
**Excusal from jury service**
3.8 Excusal from jury service has a potentially significant role in influencing the composition of the jury and inflating the numbers of citizens who have to be cited initially. There was considerable support for the aim of achieving a more consistent policy on excusal and the proposal to offer more flexibility about the dates of jury service was widely welcomed, although there were more mixed views about the need to tighten the clerks’ statutory discretion to excuse. The Government considers it desirable that the importance of jury service as a public duty is understood by all, and that it should not be generally assumed that obtaining excusal from jury service is easy. It
therefore proposes that the statutory discretion to excuse should be narrowed so that excusal is not available for inconvenience but is confined to exceptional circumstances. The offer of an alternative date for service should meet most circumstances where inconvenience is the problem. This will be achieved administratively by citing for a subsequent sitting those who have indicated that serving at a particular sitting would be inconvenient.
**Peremptory challenge**
3.9 Views about the abolition of the right to object to three jurors without giving reasons - "peremptory challenge" - were mixed, with a small majority favouring abolition. Some respondents were clear that the right is abused and should not be available. Others believed that the abolition of peremptory challenge might lead to time-consuming challenges on cause shown. A few respondents argued that the right of peremptory challenge is a useful safeguard for accused persons. **The Government's view is that the provisions are unnecessary and, being open to abuse, should be abolished.** Experience since peremptory challenge was abolished in England and Wales suggests that abolition would not be followed by a significant rise in challenges on cause shown.
3.10 In general, it is Government policy that disabled people should be able to perform fully their duty to serve as a juror. In this context the improvements in courtroom facilities for the disabled, listed in Annex B, are relevant. It has been pointed out, however, that there may be occasions when it is apparent to the court that a person who has been balloted is unsuitable for jury service, perhaps because of a disability which would prevent proper consideration of the evidence. In such cases an objection on cause shown may be embarrassing to the potential juror. Such cases are likely to be infrequent: most people in such circumstances would have been excused service on medical grounds. **However to meet the occasional case which might arise the Government proposes to adopt a solution proposed by the senior judiciary, namely that the court should have power to excuse a juror on joint application by prosecution and defence, without requiring the cause to be stated in open court.**
**Occupation of prospective jurors**
3.11 At present, the occupations of prospective jurors are on the List of Assize made available to the prosecution and defence. This is alleged to form the basis of many peremptory challenges. It might form the basis of challenges on cause shown if peremptory challenge were abolished, although it seems unlikely that occupation alone could justify a successful objection. There seems no substantive reason why occupation should be revealed in this way. **A clear majority of respondents supported the Government's**
initial view that the List of Assize should not contain the occupations of potential jurors and the Government intends to introduce legislation which would remove this requirement.
**Jury comprehension**
3.12 In line with the Citizen's Charter principles of information, consultation and helpfulness, the Government sought views on whether additional steps might be taken to assist the comprehension of juries before or at the beginning of the trial. The Scottish Courts Administration has issued revised and improved information booklets to jurors. These explain why they have been called for jury service, what will be expected of them if they are chosen to serve and what will happen in court. A new telephone helpline has been set up to provide information and to answer any questions about jury service. Before the jury is balloted, the clerk of court gives a comprehensive introductory talk to those assembled in court. There was general opposition to opening speeches by the prosecution and defence. However, a number of respondents suggested that the practice followed by some judges of giving an introductory explanation to the jury should be expanded and made universal. The Government has drawn the views of respondents to the attention of the judiciary and has indicated that it would welcome any steps the judiciary can take to aid jury comprehension, particularly where complex matters are before the court.
3.13 This is an area which must always be kept under review. It is one which might benefit from research into the experiences of jurors. The Government will consider the case for suitable research which would not contravene the provisions of the Contempt of Court Act 1981. **Meanwhile, the Government does not propose any legislative action.**
3.14 The Royal Commission on Criminal Justice made recommendations that the Contempt of Court Act 1981 be amended to permit research into the decision-making process of juries. The 1981 Act applies to Scotland and the recommendations therefore have implications for research into the Scottish jury system. Any research in this area would be an issue of great sensitivity. The Government is sympathetic to the recommendations but is anxious to ensure that any changes to the 1981 Act would respect the concerns of jurors and the judiciary. Careful consideration is accordingly being given to what changes might be appropriate. An announcement will be made when the Government has reached a conclusion.
**THE THREE VERDICT SYSTEM**
3.15 A particularly important issue on which the Government has sought views is the future of the three verdict system. The Government had no preconceived view on abolition or retention and in the consultation paper
set out impartially the arguments for and against change. The three verdicts have been part of the Scottish criminal justice system for more than two and a half centuries and clearly they should not be altered or abolished lightly. On the other hand the system of verdicts must command the confidence of the public at large as well as practitioners in our courts and should not be maintained simply because of tradition.
3.16 The responses to consultation on this issue do not reveal a consensus for change. Nor does the debate appear to have ranged the views of legal interests for no change against the views of the public at large for abolition, as some commentators have suggested. While most of the responses from within the criminal justice system supported the retention of the three verdicts, a few favoured abolition. On the other hand, public support for abolition appears not to be widespread in Scotland.
3.17 Respondents were divided about the logical case for three verdicts. While some asserted that logic dictated that there should be only two verdicts, others asserted that the three verdicts were entirely logical and, indeed, more consistent with reality than a two verdict system.
3.18 Some opposition to the not proven verdict has been based on the view that there are widely held misconceptions about its effects - for example that it could be followed by a fresh prosecution, that it prevented prosecution of anyone else, or that it offered a soft option for juries. To some extent, these misconceptions should have been corrected by the publication of the consultation paper. Moreover, judges have already taken action on their own initiative to ensure that juries understand that where the case against an accused person is found not proven, that person may not be prosecuted again for the same crime.
3.19 The debate about the future of the three verdict system is itself likely to have had a beneficial effect on the operation of the system and on public perception of it. In the Government's view, a considerable weight of informed opinion against the three verdict system would be necessary to justify its abolition. Such weight of opinion does not appear to exist at present. **The Government therefore proposes that the three verdict system should remain.**
**JURY SIZE AND MAJORITY VERDICTS**
3.20 A wide variety of views about the appropriate size of juries, and the required majority for conviction, was submitted. Most respondents were not in favour of change from the present size of 15, although some respondents preferred a qualified majority verdict of two thirds or more to the present simple majority requirement, whatever the available verdicts. Others took the view that the simple majority verdict had to be viewed in
relation to the other elements of the system, including the three verdicts, the requirement for corroboration and the independence and discretion of the public prosecutor. While some respondents were content to see smaller juries, there were no strong views in support of the proposition that practical issues of economy and reduced inconvenience justify change, and some importance was attached to the advantages of larger juries in achieving a broader spread of views and limiting the influence of individual jurors.
3.21 In the light of these views and the proposal to retain the three verdict system the Government proposes that there should be no change at present either to the size of juries or to the simple majority verdict.
CHAPTER 4
THE POWERS OF THE COURTS
INTRODUCTION
In any effective criminal justice system the courts must have adequate and appropriate powers to deal effectively with those convicted of crimes. In the consultation paper *Sentencing and Appeals* the Government sought views on a range of issues concerned with the sentencing powers and practices of the courts. The Scottish Law Commission is preparing a report to the Government on forfeiture and confiscation. This chapter records the Government’s conclusions on three important issues: whether the sentencing powers available to each court remain appropriate; whether there is a case for guidelines on sentencing; and whether the courts need greater powers to confiscate the proceeds of crime.
SENTENCING
Sentencing powers
4.2 The Government invited views on a number of options for increasing the maximum sentencing powers available to the sheriff courts. The rationale for these proposals was to facilitate a more efficient distribution of cases between the courts and, in particular, to relieve the High Court of the burden of dealing with cases which might appropriately be dealt with in the sheriff courts. The options on which views were sought were:
- an increase in the maximum powers of the sheriff courts in *solemn* cases from three years to four or five years;
- an increase in the *summary* sentencing powers of the sheriff courts from three months, and from six months for a second or subsequent offence involving personal injury or dishonest appropriation of property, to six months and twelve months respectively; and
- a matching increase in the sentencing powers of *stipendiary magistrates*.
Solemn procedure
4.3 There was considerable support for the proposal to increase the sheriff court’s powers in *solemn* cases from practitioners in the sheriff courts and others. However, some expressed concern that an increase in sentencing powers to enable the sheriff courts to deal with more cases would in fact
lead to longer sentences being imposed overall. Even among those who supported an increase in powers many considered that measures such as training or sentencing guidelines, or the restriction of the powers to sheriffs in certain categories, would be desirable to prevent this happening. Some respondents, including the senior judiciary, suggested that, since a high proportion of High Court cases were resulting in sentences which were within the sheriff courts’ existing powers, a better approach would be for the Crown to allocate more cases to the sheriff courts, and that the sheriff courts’ power to remit a case to the High Court for sentence would provide an adequate safeguard in the occasional case where the circumstances appeared to merit a heavier sentence than the sheriff court could impose.
**Summary procedure**
4.4 There was less support for an increase in sheriffs’ **summary** sentencing powers. Similar objections to the proposed increase for solemn cases were raised but in addition many expressed concern that accused persons should not in general be subject to imprisonment for more than six months unless they had been convicted by a jury. In fact for some statutory offences, including some drugs offences, the sheriff courts may already impose sentences of up to twelve months after summary conviction.
4.5 The Government acknowledges the unease expressed by some respondents about these proposals, the absence of a strong demand for change and the power of the sheriff to remit solemn cases to the High Court for sentence in appropriate cases. **For the time being, the Government does not propose to bring forward proposals for any changes to the sentencing powers of the courts.**
**Sentencing guidelines**
4.6 The Government invited views on whether sentencing guidelines should be introduced in Scotland. Many respondents pointed out that a substantial amount of guidance on sentencing matters was available in the reported decisions of the Appeal Court, although these do not deal with the question of the appropriate range of sentences in particular categories of case. Considerable support was expressed for the development of such sentencing guidelines. Apart from their potential to improve consistency and provide a benchmark for decisions to appeal, respondents considered that guidelines could contribute a more logical and transparent approach to sentencing. Some district courts in particular would welcome them. The Government will discuss with the senior judiciary and the district courts the best means of meeting district courts’ apparent desire for more guidance on sentencing.
4.7 The Appeal Court would obviously have a pivotal role in any system of sentencing guidelines. Since it determines all appeals against sentence,
there would be little point in guidelines which did not have the support or endorsement of the Appeal Court. One possible source of guidance on the appropriate range of sentences is the decisions of the Appeal Court in individual cases. The Appeal Court's decisions about whether a particular sentence is inappropriate or excessive are not, however, generally perceived as having direct relevance to other cases. In view of the substantial support for the introduction of sentencing guidelines, the Government proposes to promote a specific statutory power to allow the Appeal Court to issue judgments establishing such general guidelines.
4.8 Respondents also expressed a desire for better information about sentencing. The Government welcomes the initiative taken by the High Court to set up a Sentencing Information System (SIS) for cases tried in that Court and is funding a feasibility study of such a system. The Scottish Office Home and Health Department sends statistical information about sentences imposed in the previous year to all summary courts. It is also, in association with the Lord Justice Clerk, providing advice and support for the researchers undertaking the SIS project. If the proposed SIS proves workable and successful, the Government would see considerable attractions in assessing the feasibility of a similar system for the sheriff and district courts. The Government will continue to support the development of an SIS for the High Court and will keep in view the case for similar developments in other courts.
A sentencing commission
4.9 There was some support for a sentencing commission to review the objectives of sentencing and to set out the basic principles to be followed in sentencing, although there were mixed views about how prescriptive such a commission could usefully be. The Government does not propose to set up a formal sentencing commission at present, but it will keep the case for such a development under review. In the meantime, the new group set up by the Secretary of State to coordinate the provision of training for the judiciary (which is referred to in Chapter 9) will no doubt wish to consider future training needs in the key area of sentencing.
Sentence discounting
4.10 In the report of the Review of Criminal Evidence and Criminal Procedure the advantages and disadvantages of reducing sentences to encourage early guilty pleas - sentence discounting - were discussed at some length. The Government concluded that since formal discounting would be a significant departure from traditional sentencing practice in Scotland, and raised so many issues of both principle and practice, views should be sought before any detailed scheme was formulated.
4.11 Sentence discounting is practised in England and Wales and in many other jurisdictions. All share essential features of the Scottish system, such as the presumption of innocence and the absolute right of the accused to have the charges proved in court, and many provide considerable judicial discretion in sentencing. Moreover, many respondents asserted that in practice Scottish judges often do impose lesser sentences on those who have pled guilty than on those who go to trial. However these respondents and most others were opposed to any formal system of sentence discounting or any requirement to reduce sentences in such circumstances. This was generally on the grounds that such a system would penalise accused persons who exercised their right to go to trial. It was also argued that the weight that should be attached to a plea of guilty for sentencing purposes varies widely from case to case and that the courts should not be constrained from deciding the appropriate weight to attach to such a plea in the circumstances of each case.
4.12 For most, although not all, respondents, these considerations outweighed any benefit which might be obtained if a system of sentence discounting were to reduce the number of late pleas of guilty, and therefore reduce the waste of time and inconvenience suffered by witnesses, jurors and others involved in criminal proceedings, who turn up expecting a trial which is then cancelled.
4.13 Having considered the various arguments, the Government has decided at present against the introduction of a formal or mandatory approach to sentence discounting in Scotland. Nevertheless there appears to be considerable acceptance of the principle that it may be right in many cases to reduce sentence for those who plead guilty early. At present, it is possible that some courts are inhibited from reducing sentences where they see justification for doing so by their perception of the effect of the judgment in Strawhorn v McLeod (1987) which proscribed "a declared practice of discounting". Similarly, accused persons may not realise that it is in fact open to the court to take account of an early guilty plea by imposing a reduced sentence. The Government therefore intends to introduce a statutory provision to make it clear that the courts may take into account a guilty plea, and the circumstances in which it was made, as a mitigating factor in considering the appropriate sentence.
4.14 One further provision has been suggested by the High Court judges. This is that courts should have the power to backdate a custodial sentence to the date when an accused person tendered a plea of guilty, whether or not the accused was in custody at the time. This would facilitate a small reduction in sentence equivalent to the period of any deferral of sentence for reports etc. The Government considers this to be a useful suggestion and proposes to introduce such a provision.
FORFEITURE AND CONFISCATION
4.15 In 1987 the Government asked the Scottish Law Commission to carry out a review of the law of forfeiture, including confiscation of the proceeds of crime. The Commission was invited
“to consider
1. the adequacy of the present law and the procedure relating to the forfeiture, in criminal proceedings in Scotland, of property used for the purpose of committing, or facilitating the commission of, offences and of proceeds of criminal activity in general; and
2. whether further provision should be made to enable courts in Scotland to order forfeiture of the proceeds of criminal activity generally and property derived from such proceeds taking account of existing or proposed measures and the effectiveness of those already in operation, and to advise.”
4.16 In June 1989 the Scottish Law Commission published its Discussion Paper No 82, *Forfeiture and Confiscation*, which sought views on ways to widen the powers of the courts to order forfeiture of goods and articles used for the purpose of committing a crime, and to order the confiscation of property representing the profits or proceeds of crime. In Scotland, while the courts may require the forfeiture of anything used in the commission of an offence, confiscation powers are limited to drug trafficking and terrorism-related offences.
4.17 The Scottish Law Commission has been considering the responses and its report is expected to be published shortly. **The Government considers that arrangements in Scotland to confiscate the proceeds of general crime are long overdue and, following consideration of the Scottish Law Commission recommendations, will bring forward legislative proposals on forfeiture and confiscation at the earliest opportunity.**
4.18 These proposals will complement and continue the progress made in recent years where there has been considerable effort, often at the initiative of the Government, to reinforce international arrangements to confiscate the proceeds of crime. Particular attention has been paid to drug trafficking but many measures have also been taken in relation to the financing of terrorism and serious crime. Various provisions were enacted in the Criminal Justice Act 1993 to counter the money laundering of such proceeds.
Chapter 5
APPEALS PROCEDURES
INTRODUCTION
In any criminal justice system, regardless of how fair and just that system may be, it is vital that there is the safeguard of access to a system of appeal. In its consultation paper *Sentencing and Appeals* the Government sought views on a number of issues relating to the criminal appeals procedure and the handling of alleged miscarriages of justice. This chapter and the next record the Government's conclusions under three heads: Appeals Procedure, in which is proposed the introduction of a single judge sift and a reduction in the quorum of the Appeal Court; Consideration of Appeals, in which is considered the criteria adopted by the Appeal Court for determining appeals; and Miscarriages of Justice, which is concerned with the machinery for dealing with allegations that a miscarriage of justice has occurred.
5.2 Under sections 228 and 442 of the Criminal Procedure (Scotland) Act 1975, any person may appeal against conviction or sentence, other than a sentence fixed by law. Procedures for handling appeals have been the subject of review on a number of occasions over the years. The last major changes to the procedures were enacted in the Criminal Justice (Scotland) Act 1980, which followed the third report of the Thomson Committee\(^1\). Since then the increase in the number of appeals lodged, particularly appeals against sentence in summary cases, has been dramatic. Between 1981 and 1992 the increase was nearly threefold, with 3,510 appeals being lodged in 1992.
5.3 Although up to 40% of appeals are abandoned before a hearing, the increase in volume still represents a significant additional burden for the Appeal Court. The Government consulted on a number of proposals for changes to the procedures for handling appeals.
DEVOULATION OF APPEALS TO SHERIFFS PRINCIPAL
5.4 The consultation paper raised the possibility of devolving responsibility for appeals arising from district court cases to sheriffs principal. This proposal did not meet with widespread support and has obvious implica-
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\(^1\)Criminal Appeals in Scotland (Third Report) Cmnd 7005, December 1977
tions for the workload and organisation of the sheriff courts. A number of respondents objected on the grounds that an appeal against even a minor offence can have significant implications for the individual. The Government has therefore decided not to pursue this option. In the light of the responses, however, the Government intends to take action on two other fronts.
SINGLE JUDGE SIFT
5.5 At present the Appeal Court must consider all appeals which are lodged with the Justiciary Office. In a significant proportion of cases the grounds of appeal are not properly stated or the appeal itself has no merit. The Government believes that it would assist the working of the Appeal Court to introduce a system of filtering cases at an early stage before the full Court is required to consider them.
5.6 One concern is that many appeals are lodged where the grounds of appeal are poorly stated. The proposal in the consultation paper that there should be some (possibly non-judicial) filter of such cases was, in general, not favoured by consultees on the basis that there should be no dilution of the absolute right of appeal in Scotland. The drafting of grounds of appeal is, however, a matter of professional legal practice. Counsel are under a professional obligation to ensure that grounds of appeal are properly framed, and should not usually act as counsel where they believe the appeal to have no merit. The Law Society of Scotland and the Bar Associations have indicated that improvements in legal practice, and programmes of Continuing Professional Development already undertaken by the professional bodies, should ensure that higher standards of drafting will be achieved in future. The Government welcomes these initiatives.
5.7 Nevertheless, there will still be many appeals which, following the preparation of the stated case, or the report of the trial judge, clearly have no issue of substance which merits consideration by the full Appeal Court. The proposals for a single judge sift outlined in the consultation paper Sentencing and Appeals were generally supported by those who responded. Accordingly, the Government proposes statutory changes which would require an appellant to obtain leave to appeal, both for appeals arising from solemn procedure and for those arising from summary procedure. The application for leave to appeal would be considered once full grounds of appeal had been lodged, and only if leave were granted would the appeal be heard by the full Court. Provision would be made for the application to be considered by a single judge on the basis of written submissions, including the trial judge’s report or the stated case as appropriate. Parties would not be represented and the consideration of the application by the single judge would not take place in Court.
5.8 In addition to these proposals, to ensure that all appellants have the opportunity to have their case considered by the full Court if they so wish, the Government intends to provide that if an appellant is refused leave to appeal by the single judge, the application for leave could be renewed to the full Court, which would then decide, again on the papers and without legal argument, whether leave should be granted. This is similar to the provisions which apply in England and Wales in relation to solemn appeals.
5.9 The consultation paper questioned whether legal aid should be refused to appellants who choose to continue their appeal to the full Court following rejection by the sifting judge. The drafting of grounds of appeal and legal preparation up to the application for leave to appeal to the single judge would, as at present, be covered by the grant of criminal legal aid for the original trial. Most respondents considered that legal aid should not be available following rejection in the single judge sift. The Government accepts this view. In any event, any additional legal advice required at this stage should be minimal. If the full Court refused leave to appeal, there could be no further application for legal aid. If leave were granted, the appellant would then be able to obtain legal aid to instruct Counsel before the appeal.
REDUCTION IN THE QUORUM OF THE APPEAL COURT
5.10 Section 245 of the Criminal Procedure (Scotland) Act 1975 provides that the quorum of the High Court for the consideration of appeals shall be three of the Lords Commissioners of Justiciary. This applies in all criminal appeals. The consultation paper raised the issue of whether, in certain types of criminal appeals, the size of the bench might be reduced. In particular the paper proposed that summary appeals against conviction could be heard by two judges and that summary appeals against sentence only could be heard by a single judge. Almost all respondents agreed that there was a case for reducing the number of judges hearing summary sentence appeals, with some considering a single judge to be appropriate. Some respondents indeed agreed with the proposals that summary conviction appeals might be heard by two judge benches, and most also considered a two judge bench appropriate for sentence only appeals from solemn procedure. Most respondents, however, suggested that all appeals against conviction could raise important points of law which might merit consideration by a full bench of three judges.
5.11 The Government has concluded that it is not always necessary for three judges to hear an appeal and proposes that the current requirement for a quorum of three judges should be amended. However, in the light of the proposed introduction of a single judge sift for all appeals, the Government proposes that conviction appeals should continue to be heard by a bench of at least three judges and that only appeals against sentence alone should be heard by a bench of
two judges. It would be provided that, in the event of disagreement in cases heard by two judges, the appeal could be referred to a bench of three judges. Benches of two judges would also have the power to remit cases to a three judge bench if they thought it appropriate. Provision would also have to be made to allow a larger bench to consider appeals in certain circumstances, such as where a conviction and sentence appeal was scheduled but the appeal against conviction was withdrawn at the last moment. The remaining appeal against sentence could then be heard by the larger bench already constituted rather than having to reconvene the court.
Chapter 6
CONSIDERATION OF APPEALS AND ALLEGED MISCARRIAGES OF JUSTICE
INTRODUCTION
The consultation paper *Sentencing and Appeals* set out a number of possible alternatives to the current procedures for the handling of alleged miscarriages of justice. It also dealt with possible statutory changes to enable the Appeal Court to take a wider view on a number of issues in its consideration of appeals. These two issues are closely linked since the Appeal Court applies the same criteria to the consideration of cases referred to them by the Secretary of State as to appeals from the court of first instance.
6.2 The results of the consultation process were inconclusive, indicating a degree of support for some changes to the consideration of appeals by the Appeal Court, but showing no widespread support for change to the current procedures for handling alleged miscarriages of justice. The complexity of both issues prevented many consultees from commenting on the proposals in detail and the Government has decided that these difficult questions merit further detailed consideration by an independent committee. The Government proposes to set up this committee as soon as is practicable.
CONSIDERATION OF APPEALS BY THE APPEAL COURT IN SCOTLAND
6.3 The consultation paper invited views on whether the Appeal Court should be empowered to admit certain evidence, in exceptional circumstances, where it is currently unable to do so. The questions were:
– whether the Appeal Court should be enabled to receive a change of statement by a witness, where there is some reasonable explanation why the witness gave the previous evidence from which he now wishes to depart;
– whether the terms of section 228(2) of the Criminal Procedure (Scotland) Act 1975 should be amended to allow the Appeal Court to hear additional evidence which was available at the time of the trial where there is a reasonable explanation for the failure to adduce the evidence;
– whether the Appeal Court should be expressly empowered to reconsider the jury’s verdict, even in the absence of fresh evidence; and
whether the Appeal Court’s present approach of quashing a conviction where it considers that authority for a fresh prosecution should be given but a retrial is not practicable, should be maintained.
6.4 Opinions were divided on the need for any change, and in particular on whether it would be possible to change the criteria for the consideration of appeals without opening up the floodgates to potentially unmeritorious appeals which could swamp the Appeal Court. Some consultees expressed the view that any relaxation of the criteria, which currently exclude consideration of the changed statement of a witness and other evidence available at the time of the trial, would encourage intimidation of witnesses and the fabrication of evidence. There was, however, a significant degree of support for change in relation to both these issues, many considering that the Appeal Court would be able to distinguish those cases which had no merit and that the public interest would be safeguarded if the Appeal Court were to receive such additional evidence.
6.5 There was less widespread support for the third proposal for change, with only a small minority of consultees in favour of the Appeal Court being able expressly to reconsider a jury’s verdict. This view reflects the traditional role of the jury in Scots law as the master of the facts. On the fourth issue there was no support for change to the current approach of the Appeal Court when considering authorisation for a fresh prosecution in circumstances where a retrial would be impractical.
6.6 The Government recognises that change to the criteria for consideration of appeals raises difficult issues of law and procedure, and that the precise nature of any changes would require careful consideration if the changes were not to undermine the general principle of finality of criminal proceedings and overload the Appeal Court with unmeritorious appeals. For the time being the Government does not propose to bring forward proposals for legislative change, but the issues will be considered further by the Committee along with possible changes to procedures for handling alleged miscarriages of justice.
CROWN APPEAL AGAINST ACQUITTAL
6.7 The Government consulted on the proposal raised by the Royal Commission that there should be a Crown right of appeal against acquittal in circumstances where there was a clear indication that the jury in a particular case had been suborned.
6.8 There was no support for this proposal and a clear view that the principle of having tholed one’s assize should be maintained. The Government is not aware that, in Scotland, there is any significant problem of interference with juries. The size of the jury and the simple majority system make
it difficult to influence the verdict of a jury in Scotland. Since it is intended to retain these safeguards, the Government has no plans to introduce a Crown right of appeal against acquittal in Scotland.
**REINDICTMENT ON A HIGHER CHARGE THAN ORIGINAL CONVICTION**
6.9 The consultation paper sought views on whether it is appropriate that an accused who is subject to a retrial can be reindicted on a higher charge than that on which he was originally convicted. Most consultees argued that it was potentially oppressive that the prosecution should be able to reindict on a higher charge. A minority of consultees argued that for evidential reasons it should be open to the prosecution to bring whatever it considers the most appropriate charges against an accused. In the light of the opinions expressed the Government intends to introduce legislation to limit the current powers of the prosecution to reindict following a successful appeal against conviction. The legislation will make provision to ensure that all the relevant evidence can be led.
**LORD ADVOCATE’S REFERENCE**
6.10 Following the recommendation in the third report\(^1\) of the Thomson Committee, the Criminal Justice (Scotland) Act 1980 introduced a provision that “where a person tried on indictment is acquitted of a charge, the Lord Advocate may refer a point of law which has arisen in relation to that charge to the High Court for their opinion”\(^2\). The ruling of the High Court cannot affect the acquittal and the identity of the acquitted person may not be revealed.
6.11 It is not impossible that the Crown may wish to seek clarification of an important point of law notwithstanding that the accused was not acquitted. It is anomalous that statute should restrict exercise of the Lord Advocate’s reference to those cases where a person is acquitted of the charge. The Government therefore proposes to amend the provision to allow the Lord Advocate to refer a point of law to the High Court for their opinion regardless of the final outcome of the trial. This change will have no effect on the accused or the outcome of the original trial.
**ALLEGED MISCARRIAGES OF JUSTICE**
6.12 The Royal Commission on Criminal Justice was established in 1991 in the wake of a number of miscarriages of justice which occurred in England and Wales. Its remit did not extend to Scotland, but the Secretary of State undertook to consider the implications of the Commission’s report in the
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\(^1\) *Criminal Procedure in Scotland (Third Report) Cmnd 7005*, December 1977
\(^2\) Section 263A of the Criminal Procedure (Scotland) Act 1975
Scottish context. Chapter 11 of its report\(^3\) dealt with the handling of alleged miscarriages of justice. One of the Commission's main recommendations was that, in England and Wales, an independent review authority should be established to take over from the Home Secretary the role of deciding whether cases should be referred back to the Court of Appeal once the normal appeal process has been exhausted.
6.13 In Scotland the extra-judicial consideration of allegations of miscarriage of justice is currently undertaken by the Secretary of State, who has power under section 263 of the Criminal Procedure (Scotland) Act 1975 to refer such cases as he thinks fit to the High Court. Any person may petition the Secretary of State in relation to an alleged miscarriage of justice. The Secretary of State may refer a case back to the Appeal Court at any stage, although he will in practice never consider doing so if the case is *sub judice*, ie if an appeal is pending or the time within which an appeal may be lodged has not yet expired. Once a case has been referred back to the Appeal Court it is dealt with by the Court in the same way as an appeal under section 228 of the 1975 Act.
6.14 The consultation paper *Sentencing and Appeals* raised the question whether any change was needed to the current arrangements in Scotland and suggested a number of ways in which an independent element could be introduced into the consideration of alleged miscarriages of justice. These were:
- the creation of the role of ombudsman to consider complaints about the handling of cases by the Secretary of State and his Department;
- the establishment of an Inspector to oversee the handling of cases generally by the Secretary of State and his Department;
- the continuation of the current powers of the Secretary of State, but with the insertion into the process of independent assessors to advise on individual cases;
- the creation of a new arm of the Appeal Court with investigatory powers; and
- adoption of the Royal Commission's approach of a new review authority with investigatory powers, independent of the executive and the judiciary.
6.15 The consultation exercise did not reveal widespread support for any change to the present arrangements in Scotland, notwithstanding the Government's intention to establish a criminal cases review authority in England and Wales. Some respondents argued that no evidence had been produced of any problems with the current arrangements in Scotland for
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\(^3\)Report of the Royal Commission on Criminal Justice, Cm 2263 July 1993
ensuring that appropriate cases are referred back to the Appeal Court. It was also argued that two particular features of the Scottish criminal justice system which do not exist in England and Wales are significant. The first is the existence of the Procurator Fiscal as public prosecutor acting in the public interest and overseeing the police investigation of cases. The second is the requirement in Scotland that all material facts be confirmed by evidence from at least two independent sources.
6.16 It is clear from the responses that there is no general support for any one of the options for change to the Scottish procedures for handling alleged miscarriages of justice canvassed in the paper. For the time being the Secretary of State will continue to exercise his powers under section 263 of the Criminal Procedure (Scotland) Act 1975 in considering petitions alleging miscarriage of justice. The Government has not, however, ruled out the possibility of change in this area. The issues raised here are particularly complex and are closely related to the consideration of appeals by the Appeal Court. Changes to the appeals criteria discussed above may reduce the need for change to the procedures for handling alleged miscarriages of justice.
6.17 The Government has therefore decided that further consideration of both these issues is required and intends to appoint a committee to look at the issues in detail. The committee will be asked to report within a specific timescale on the need for and nature of any changes to the current legislative criteria governing the consideration of appeals by the Appeal Court, and to the procedures for considering alleged miscarriages of justice. The Government will announce the membership and remit of the committee shortly, but intends that the committee should include a member of the senior judiciary and others with knowledge and experience of the Scottish criminal justice system and the Scottish criminal law.
Chapter 7
CRIMINAL LEGAL AID
INTRODUCTION
The Government's consultation paper on the future arrangements for criminal legal aid in Scotland was issued in November 1993. The paper reviewed the background to the criminal legal aid system and discussed a number of areas in which change might be desirable. The changes discussed included a number directed at supporting the general thrust of changes canvassed in the earlier consultation paper on the *Review of Criminal Evidence and Criminal Procedure*. The criminal legal aid consultation paper also went wider, however, in setting out a number of other possible changes to improve the effectiveness and efficiency of the Scottish criminal legal aid system.
7.2 The responses to the consultation paper covered a wide range of issues in varying depth. In some cases, there was general consensus either in favour of a particular proposed change or in favour of the *status quo*. In other cases, however, no clear consensus emerged. After careful consideration, the Government now proposes to make a number of changes to the procedural arrangements relating to the provision of criminal legal aid and Assistance by Way of Representation (ABWOR) in criminal cases. In other areas, further work is necessary before decisions can be taken on the detail of possibly wider-ranging changes to the criminal legal aid system.
7.3 The Scottish Office is undertaking a Policy and Financial Management Review (PFMR) of the Scottish Legal Aid Board in 1994-95. In accordance with standard practice, the views of interested parties will be sought on this Review. The initial stage of the PFMR will assess the provision and delivery of legal aid in Scotland. Issues arising from the Criminal Legal Aid Review and the consultations on it, including the possibility of general simplification of the criminal legal aid system and also the other areas described later in this chapter, will be taken into account in the context of the PFMR.
ELIGIBILITY
7.4 In a number of cases the Government has decided to make no change to the current arrangements for criminal legal aid as a result of the views expressed during the consultation exercise. No change is proposed to either of the basic eligibility criteria for criminal legal aid: the financial means test whereby applicants are eligible for legal aid if the
expenses of the case cannot be met without undue hardship to them or their dependants; and the basic merits test in summary cases, ie that it is in the interests of justice that legal aid should be made available.
7.5 A number of respondents argued strongly that the present arrangements on financial eligibility had the advantage of flexibility over a scheme involving fixed financial limits. If these arrangements are retained, it follows that it would not be practicable to introduce a system of contributions by legally-aided accused persons of moderate means. In any case, a number of respondents to the paper argued against this on the grounds that there are no arrangements in Scotland for expenses to be awarded against the prosecution when an accused person is found not guilty, and the operation of a system of contributions and subsequent reimbursements for those acquitted would be very complex. In addition, there was no call from respondents to change or clarify the current interests of justice tests. The Government does not therefore propose to pursue these options.
PROCEDURAL CHANGES
7.6 The Government proposes to bring forward 3 procedural changes to support the general thrust of the changes proposed as a result of the Review of Criminal Evidence and Criminal Procedure.
“14-day rule”
7.6.1 There was widespread support for the proposal for the abolition of the “14-day rule” in relation to accused persons who change their plea from not guilty to guilty. An application for Assistance by Way of Representation (ABWOR) would normally be made only by an accused who has tendered a plea of guilty. However, an accused who submits an original plea of not guilty is eligible for ABWOR if he intends to change his plea to guilty, so long as he intimates his intention in writing to the prosecutor within 4 days of the diet at which the plea of not guilty was tendered. The intention of the 14-day limit was to concentrate the minds of accused persons and encourage earlier changes of plea: however, it does not appear to have had this effect. It seems indeed more likely to encourage the maintenance of a not guilty plea (generally carrying entitlement to full legal aid) once the 14-day limit has passed. It is therefore proposed that the time limit should be extended to the date of the intermediate diet, or a set period in advance of a trial diet if no intermediate diet is to be held. This can be achieved by Regulations under the Legal Aid (Scotland) Act 1986.
Advance Payments
7.6.2 The consultation paper discussed the question of whether advance payments in respect of preparatory work in legally-aided cases should be introduced. The reaction of consultees to this proposal was mixed. In the Government’s view, however, the availability of earlier payments as an option where solicitors have undertaken significant amounts of preparatory work early in the case could act as an incentive for solicitors to undertake this work timeously. It would therefore underpin the general emphasis on early case preparation underlying the proposed changes in criminal procedure discussed in Chapter 2. Such an option could be brought in by administrative action by the Scottish Legal Aid Board. **The Government proposes to discuss further with the Board the early introduction of such a scheme.**
ABWOR for pleas in mitigation
7.6.3 The consultation paper sought views on the proposition that pleas in mitigation for convicted persons should be covered by ABWOR rather than by full criminal legal aid. Comments on this were again mixed, but certain respondents took the view that ABWOR might be seen as an alternative rather than as a replacement for full criminal legal aid in straightforward cases, with solicitors being encouraged to move to ABWOR if there were no complicating factors in the case. **The Government therefore proposes to make this option available through Regulations, without however excluding work on pleas in mitigation from the scope of full criminal legal aid where this is justified.**
STATUTORY TEST FOR LEGAL AID IN CRIMINAL APPEALS
7.7 The proposal in the consultation paper that the current criteria on merit for the award of criminal legal aid in appeals should be changed from a “substantial grounds” to an “interests of justice” test was generally welcomed. **The Government intends to promote this change.** This would have the effect, among other things, of regularising the position in the light of a number of judgments by the European Court of Human Rights. In framing the legislation, consideration will be given to how the interests of justice should be assessed in relation to the award of legal aid for criminal appeals, and as to whether there is scope for aligning the provisions more closely with the current interests of justice test in relation to applications for summary criminal legal aid.
SOLEMN PROCEDURE
7.8 The proposal that responsibility for the award of solemn criminal legal
aid should be transferred from the courts to the Scottish Legal Aid Board offers opportunities for simplified administration, but some doubts were expressed about how effectively awards of solemn legal aid could take into account the urgent work required to be done at an early stage in these cases. The Government propose to consider this issue further.
STANDARD FEES
7.9 The consultation paper discussed the proposition that a system of standard fees for legally-aided work on criminal cases should be brought forward. Comments on this generally recognised the simplicity and straightforwardness of a standard fee system. Concern was however voiced about whether it might in some cases discourage solicitors from doing necessary work, or reward those that did not, and about what arrangements should be made more generally for particularly complex cases. The Government considers that, from the point of view of simplicity, clarity and proper cost control, it would be highly desirable to devise a system of standard fees for legally-aided cases in both the criminal and civil areas, and is currently undertaking further work on this issue.
QUALITY OF LEGAL AID SERVICE
7.10 The consultation paper explored the possibility of establishing a more formal system whereby the Scottish Legal Aid Board could ensure the quality of legal aid service delivered by solicitors. This attracted a number of both positive and negative comments, with fears being expressed about the effect of possible restrictions on choice of solicitors and about the mechanisms whereby such a system of quality assured suppliers could be audited and checked. The Government remains of the view that quality assurance in the delivery of the legal aid system is a crucial issue. Again, it proposes to consider these matters further.
Chapter 8
OTHER CRIMINAL JUSTICE ISSUES
INTRODUCTION
In addition to the proposals which have been addressed in the consultation process over the last year the Government has identified a number of other issues affecting the criminal justice system on which it intends to bring forward proposals for legislative change at the next opportunity. These proposals, which are described in this chapter along with proposals for extending alternatives to prosecution, are intended to assist in simplifying and streamlining procedures wherever possible and to reflect needs in today's criminal justice system.
ALTERNATIVES TO PROSECUTION
8.2 Since the early 1980s it has been Government policy to extend the range of options open to procurators fiscal so that they have positive alternatives to prosecution, which may not always be the appropriate response to a report of criminal behaviour. The Committee on Alternatives to Prosecution (the Stewart Committee), which was set up to consider alternatives to prosecution for minor offences in order to relieve pressure on the prosecution service and courts, produced two reports\(^1\) which recommended a number of measures to provide alternatives to prosecution.
8.3 Since the Stewart Committee reported, the Government has introduced, and prosecutors have made significant use of, a number of alternatives to prosecution. These include diversion from prosecution, fixed penalties for road traffic offences and fiscal fines. There has been widespread acceptance that these alternatives are beneficial and have worked well in practice.
8.4 The Government now proposes further development of two of the proposals originally made by the Stewart Committee: **diversion from prosecution** and **fiscal fines**. Those developments would enhance the flexibility available to prosecutors, facilitate a more appropriate response to minor criminality in some cases, and relieve the pressure placed on busy courts by cases which could be dealt with appropriately by other means.
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\(^1\) The Motorist and Fixed Penalties, Cmnd 8027, December 1980
Keeping Offenders Out of Court: Further Alternatives to Prosecution, Cmnd 8958, July 1983
Diversion from prosecution
8.5 Diversion from prosecution provides an opportunity for a number of people who commit relatively minor offences to be dealt with outwith the court system. In appropriate cases, depending on the circumstances of the offender, this may be both more effective and more humane and can reduce unnecessary court procedures. A number of existing projects have shown the potential. The need and demand for, and the costs and effectiveness of, diversion programmes need to be established more fully. The Government therefore intends to fund directly, to monitor and to evaluate a number of existing diversion schemes as pilots. Such schemes will enable procurators fiscal, in cases where it is thought appropriate, either to waive prosecution or to defer a prosecution decision while the alleged offender completes a specified programme. Such programmes may include reparation to the victim and participation in an alcohol or drug misuse programme.
8.6 The Government proposes to amend section 27A of the Social Work (Scotland) Act 1968 to enable the Secretary of State to include, by subsequent statutory instrument, diversion from prosecution among the social work criminal justice services which may be 100% funded by central government.
Fiscal fines
8.7 In the consultation paper Sentencing and Appeals, published in February 1994, the Government invited views on the scope for extending the use of fiscal fines, which were introduced in 1988 following the recommendations of the Stewart Committee. Currently, procurators fiscal have discretion to make an offer of a fiscal fine of £25 for any offence triable in the district court\(^2\). Acceptance of a fiscal fine does not amount to a conviction and is not recorded as such. Two possible means of extending their use were suggested:
– increasing the range of offences for which a fiscal fine may be offered; and
– introducing a sliding scale of penalties which may be offered.
Responses indicated general agreement that fiscal fines have proved a pragmatic and useful disposal for the least serious offences and the majority of consultees who commented were in favour of extending the scope of fiscal fines. The following paragraphs describe the Government’s proposals in the light of the responses.
Offences for which a fiscal fine may be offered
8.8 The Government invited views on whether there was scope to extend
\(^2\)Section 56 of the Criminal Justice (Scotland) Act 1987 and SI 1987 No 2025 (S.139)
the range of offences where a fiscal fine can be offered, either by making it possible to try all statutory offences in the district court, or by removing the restriction of fiscal fines to offences triable in the district court. There was considerable support for extending the scope of fiscal fines to include all statutory offences. One option would be to remove the restriction on fiscal fines to offences triable in the district courts. This would mean that if an offer in such a case were turned down, however, the case would then be tried in the sheriff court. In effect an offence which the procurator fiscal initially considered not to merit prosecution would then have to be prosecuted in the sheriff court, without the option of prosecution in the district court. The Government therefore proposes the more straightforward option of extending the scope of fiscal fines by making all statutory offences triable in the district court.
8.9 This change will not mean that all those accused of a statutory offence would be offered a fiscal fine. Nor does it mean that whole categories of offence will no longer be the subject of prosecution, or that any offence will be decriminalised. As at present, the decision on the suitable disposal of a case would be taken by the procurator fiscal, based on the known facts of the case and bearing in mind any guidance issued by the Lord Advocate. Individual examples of all offences vary widely in their seriousness; and the circumstances of offenders, including their criminal record, vary widely too. On one set of facts it may be appropriate to take no proceedings at all; on another it may be appropriate to prosecute so that the offender may face the full rigour of the law. The fiscal fine merely provides another option to deal with offences at the less serious end of the scale.
**Level of fine**
8.10 Those responding to the consultation paper generally supported the proposal that there should be a scale of penalties available rather than a single fixed amount, as at present. The preferred option was for fixed points on a scale within an upper limit.
8.11 At present section 56 of the Criminal Justice (Scotland) Act 1987 limits the penalty which may be offered to a single figure no greater than the maximum level 1 fine, which is currently £200. However the current fiscal fine is fixed by statutory instrument at £25, which is half of the level 1 maximum which was in force when fiscal fines were introduced. The Government proposes to bring forward an amendment to section 56 to provide for the setting of a number of fixed points by statutory instrument. Thereafter, using that power, it would propose to introduce four levels of penalty for procurators fiscal to choose according to the circumstances of the case. These would be £25, £50, £75 and £100. £100 is half the level 1 maximum on the standard scale. These penalties would be reviewed whenever the level of fines on the standard scale available to the courts under section 289G of the Criminal Procedure (Scotland) Act 1975 was reviewed.
**Payment by instalment**
8.12 There was general agreement that alleged offenders should continue to have the option of paying a fiscal fine by instalments. Several consultees voiced concern that, for alleged offenders on a low income, a requirement on those paying the largest fines to do so at the rate of £10 per fortnight would cause unnecessary hardship. Such persons who consider they might face financial hardship might therefore prefer to turn down the offer of a fiscal fine, and to have their circumstances considered by a court. **The Government proposes to introduce a flexible repayment system to suit the varying size of fines, with the expectation that the required minimum repayment would be between £5 and £10 a fortnight.**
**THE STANDING COMMITTEE ON CRIMINAL PROCEDURE: THE MACLEAN COMMITTEE**
8.13 A number of important reforms of both substantive and procedural law are proposed in this and other chapters of this White Paper. It is no less important to ensure that the basic mechanisms of criminal procedure continue to work well, that they remain up to date and relevant to all the circumstances which come before the courts, and that they are adjusted to take account of new problems or those which were not foreseen when the procedures were devised. It was for these purposes that the Standing Committee on Criminal Procedure was set up in 1982. The Committee’s remit is to meet regularly to keep under continuous review emerging problems and suggested improvements in our system of criminal procedure generally. It is currently chaired by Lord MacLean.
8.14 Much of Scotland’s criminal procedure is set out in the Criminal Procedure (Scotland) Act 1975. In 1991, the Secretary of State and the Lord Justice General asked the Standing Committee on Criminal Procedure to review the operation of the Act, identify any problems that had arisen in practice, and suggest appropriate solutions. In 1993, the Committee made a number of recommendations to improve the Act either by clarification of some provisions which had caused confusion or by seeking to facilitate practice which experience has shown to be desirable.
8.15 The Government wishes to record its gratitude to the Standing Committee for undertaking this task and for producing a number of practical suggestions for improving existing provisions governing criminal procedure. The Committee’s work will continue. **The Government now proposes to introduce legislation to amend the Criminal Procedure**
(Scotland) Act 1975 in the light of the recommendations the Committee has made and the advice of the Lord Justice General and the Lord Justice Clerk. These proposed legislative changes are listed in Annex A to this White Paper.
8.16 The proposed changes are minor in nature. The only one which is likely to affect a significant number of accused persons is the proposal that notices of penalty should no longer be served on the accused in summary procedure. Notices of penalty are not served in solemn procedure, nor are they served when the accused is charged with a common law offence. Since they refer to the maximum penalties which may be imposed, they are of very limited guidance, in the vast majority of cases, as to the penalty which is likely to be imposed, and indeed may be positively misleading in that respect. Accused persons in England and Wales do not receive a notice of penalty. The Government sees no need for them in summary procedure and proposes to abolish the existing requirement.
8.17 In addition to the changes arising from the recommendations of the Standing Committee, the Government proposes two other minor amendments relating to service of documents:
– that it should be competent to cite witnesses by post as well as in person; and
– that the various provisions relating to the service of transcripts, notices and other documents on the accused should be clarified.
RIGHT OF SILENCE AND JUDICIAL EXAMINATION
8.18 The accused person’s right to remain silent, to decline to incriminate himself, has for long been a feature of Scots law. However, it is not an inviolate principle. It has been accepted that the court may in certain circumstances comment on or draw adverse inferences from an accused’s silence and in reviving the issue of judicial examination in their second report\(^1\), the Thomson Committee on Criminal Procedure in Scotland was influenced by concerns that the accused could exercise his right to stay silent and then come forward at trial with a line of defence which might have been shown to be false if he had been examined at an early stage in the proceedings. The Thomson Committee considered there to be three objectives to judicial examination:
– to afford an accused an opportunity, at the earliest possible stage, of stating his position as regards the charge against him;
– to enable the procurator fiscal to ask an accused questions designed to prevent the subsequent fabrication of a false line of defence, for example, alibi; and
\(^1\)Criminal Procedure in Scotland (Second Report) Cmnd 6218, October 1975
– to protect the interests of an accused who has been interrogated by police officers by ensuring that any answers or statements were fairly obtained and not distorted or presented out of context.
8.19 Appropriate amendments were introduced by the Government in the Criminal Justice (Scotland) Act 1980. Under these provisions the prosecutor, the judge or any co-accused may comment on an accused’s silence at judicial examination where, in evidence at the trial, the accused or any witness called on his behalf gives evidence which could have been stated appropriately in answer to a question at the judicial examination stage.
8.20 The Government recently commissioned research into the operation of the judicial examination procedure in Scotland. The preliminary findings of this research indicate that the use of judicial examination has declined in recent years and that it is used in around only 15 per cent of all cases placed on petition.
8.21 The provisions in the judicial examination procedure provide a useful mechanism in some cases to avoid the fabrication of false defences and to give early notice of lines of defence which the prosecutor can then investigate. The Government is anxious to ensure the most effective use possible of judicial examination and will consider carefully the results of the research. Once the research into judicial examination is completed the Government will consult on whether any changes to this and related matters, including the right of silence pre-trial and at trial, should be made.
**DNA**
8.22 Under Scots law once a fingerprint or sample has been lawfully obtained it may be used for the purposes of identification or investigation of an offence. The advanced techniques of the Automatic Fingerprint Recognition system operated by the police in Scotland have proved to be a considerable weapon in the fight against crime where fingerprints are found at the scene of the crime. The development of DNA recognition, which has already been accepted by the Scottish courts, provides further assistance to the police in identifying suspects.
8.23 In view of the improved potential which DNA now offers for the investigation of crime the Government believes that the police should be able to obtain samples for DNA analysis on a more routine basis than at present.
8.24 Any suitable sample taken under existing procedures may be used for DNA analysis. The best material for such analysis is obtained from samples
of blood, but hair roots and mouth swabs may also be used. At present such samples may be obtained with the consent of the detainee or the accused. Where consent is refused a warrant may be sought to secure the necessary sample.
8.25 The Government considers that these arrangements should remain unaltered in respect of blood samples. However, the Government believes that the police should be given the power to take samples of hair roots and mouth swabs on a more routine basis.
8.26 Section 28 of the Prisoners and Criminal Proceedings (Scotland) Act 1993 regularised the powers of the police to take fingerprints and other impressions and restated the circumstances in which records of such prints or impressions should be destroyed. Section 28 also provides the police, on the authority of an officer of a rank no lower than inspector, with the power to take samples from the external parts of the body of a detainee or an accused, such as nail clippings and cut hair. While these samples may provide a DNA analysis, the quality of the results will be poor. Plucked hair roots and mouth swabs are excluded from the definition of such samples.
8.27 The Government therefore proposes to bring forward an amendment to section 28 to permit a constable, with appropriate authority, to take samples of plucked hair and mouth swabs. The power would be an enabling one. It would be for the police to make use of the provisions in the light of available resources and the developing technology.
8.28 The Government also proposes to regularise the arrangements for the destruction of samples to ensure that where a person is not convicted or proceedings are not taken against him any sample should be destroyed. Subject to the circumstances described below, this will place the destruction of samples on the same basis as the destruction of fingerprints.
8.29 In certain circumstances the method of obtaining a DNA analysis means that the destruction of samples and information which otherwise ought to be destroyed cannot be achieved without destroying records which should lawfully be retained. This may occur where samples from a convicted person have been processed and stored alongside those from persons not convicted. The Government accordingly proposes to introduce provisions to require that any sample or information from a person not convicted may not be used as evidence against the person concerned or in connection with the investigation of any other offence.
8.30 The Government also proposes to make it clear that, once a
sample and associated information are lawfully obtained and retained, they may be used for the investigation of any offence.
8.31 The Government believes that these measures will assist the police considerably in investigating and clearing up crime. The Government's proposals are an extension of existing powers to take fingerprints and samples and will replicate as far as possible all the safeguards which currently apply.
SOCIAL WORK SERVICES IN THE CRIMINAL JUSTICE SYSTEM
8.32 Social work services in the criminal justice system (offender services) provide community based disposals as an alternative to custody where the courts consider this appropriate. Since 1991, most offender services have been underpinned by 100% central government funding and by national standards for their delivery. The Government proposes to build on the achievements of recent years by promoting the following statutory changes, which are designed to prevent abuse of the trust involved in these disposals and to make them more effective.
Community service
8.33 The Government proposes that committing an offence against any person for whom, or premises at which, an offender undertook work whilst on a community service order, will be an aggravation of that offence. This is intended to discourage offenders placed on community service from committing such offences and so to help secure increased safety and confidence in the community. To safeguard against subsequent abuse of the trust placed in them by the court, the same provisions will apply to any such offence committed within 3 months of completing the community service order.
8.34 The Government also proposes that the maximum number of hours for which a community service order can be made will be increased by Statutory Instrument, in relation to cases taken under solemn procedure, from 240 hours to 300 hours. This will enable the courts to reflect the more serious nature of offences tried under solemn procedure.
Probation
8.35 At present probation is not formally a "conviction". It is the Government's policy to ensure that community based disposals adequately reflect the need to make offenders aware of the seriousness of their offence and to recognise that such behaviour will not be tolerated by society. It is intended, therefore, that the imposition of a probation order will become both a conviction and a sentence of the court. This will facilitate transfer arrangements between Scotland and England and Wales.
Supervised attendance orders and fine enforcement
8.36 Safeguards against abuse of trust similar to those proposed for community service orders will be introduced for supervised attendance orders.
8.37 Consideration is also being given to dealing with certain anomalies arising from the effect of the early release provisions in the Prisoners and Criminal Proceedings (Scotland) Act 1993 on prison sentences of seven days or less which particularly affect fine defaulters.
Community disposals generally
8.38 The Government proposes additionally to introduce a number of minor procedural changes to improve the efficiency and effectiveness of all community based disposals, including provisions designed to speed up and improve the procedures for dealing with breaches of such orders.
UNFITNESS TO PLEAD AND ACQUITTAL BY REASON OF INSANITY
8.39 The Government circulated a consultation paper\(^2\) in February 1993, containing proposals for changing the criminal law and procedures relating to persons found unfit to plead or acquitted on grounds of insanity. The present arrangements, under the Criminal Procedure (Scotland) Act 1975, offer little flexibility and have attracted criticism.
8.40 The main changes proposed were supported by most of those who responded to the consultation paper. The first of these is the introduction of a procedure for examination of the facts in both solemn and summary cases to establish whether an accused who is unfit to plead committed the act with which they are charged. The second is the introduction for the courts of a wider and more flexible range of disposals, including a community-based disposal, for those who, on the basis of an examination of the facts, are found to have carried out the act with which they are charged, and for those who are tried and acquitted by reason of insanity. At present, in solemn cases, a hospital order is mandatory.
8.41 On many of the points of detail raised in the consultation paper a clear consensus emerged, for example that the examination of the facts should be held before a judge alone, that witnesses should appear in person, that the accused should be entitled to be present unless it would not be in his interests on medical grounds, and that the court should appoint someone to represent the accused. The Government therefore intends bringing forward comprehensive legislative proposals, based on those put
\(^2\)Criminal Procedure - Unfitness to Plead and Acquittal by Reason of Insanity
forward for consultation and taking account of the responses received, to reform the criminal law and procedures for those found unfit to plead or acquitted on grounds of insanity.
CONSOLIDATION OF CRIMINAL PROCEDURE LEGISLATION
8.42 The last consolidation of Scottish criminal procedure legislation was provided by the Criminal Procedure (Scotland) Act 1975. Since that time wide-ranging legislative changes have been made to criminal procedure, both as amendments to the 1975 Act and as free-standing provisions. Implementation of the proposals in this White Paper will lead to many further legislative changes to criminal procedure in Scotland.
8.43 The Government therefore considers that a new consolidation of criminal procedure legislation is desirable and intends to provide for this to take place as soon as possible after Parliament has completed its consideration of the proposals for legislative change contained in this White Paper.
Chapter 9
THE ROYAL COMMISSION ON CRIMINAL JUSTICE
INTRODUCTION
The report of the Royal Commission on Criminal Justice\(^1\) covered a range of issues which are also of relevance to the Scottish criminal justice system. Although the remit of the Royal Commission did not extend to Scotland, the Secretary of State undertook to consider the implications of the Commission’s recommendations in the Scottish context and to consult on any which he thought to be of particular relevance. Most of the key issues covered by the Royal Commission have been examined in the Scottish context in the four consultation papers issued over the last year. These include pre-trial procedures, appeals procedures, appeals criteria and the handling of alleged miscarriages of justice. This chapter describes the action the Government is taking in Scotland on a number of other issues where there is a parallel, but separate, Scottish interest in the Royal Commission’s report. On some issues, action was under way before the Royal Commission reported, but the Commission’s recommendations have been taken into account where appropriate.
THE VICTIM’S EXPERIENCE OF THE CRIMINAL JUSTICE SYSTEM
9.2 The Royal Commission gave considerable attention to the position of victims in its recommendations. The Government endorses the Commission’s view that the needs of victims should be taken into account. Indeed, the Citizen’s Charter aims to raise the standard of all public services and make them more responsive to the needs and wishes of their users. Its principles are central to the proposals for working to improve the treatment of victims of crime.
Early contacts
9.3 The Government regards it as of great importance that victims have the best possible opportunity to give their evidence without fear or stress. Annex B describes the action which has been taken since the *Justice Charter for Scotland* was published in 1991. Substantial progress has been made in Scotland recently in connection with the giving of evidence by victims of
---
\(^1\) Cm 2263, July 1993
crime and the Government is committed to introducing further improvements wherever possible.
9.4 After the commission of an offence, one of the victim's early contacts with the criminal justice system is with the procurator fiscal's office. The policy of the Procurator Fiscal Service has traditionally been to seek to answer all enquiries from victims in a prompt and helpful way. In cases of serious crime, the precognition process (the taking of statements) provides an opportunity for face to face contact between the prosecutor and the victim prior to the trial. At this meeting the victim can air any concerns and ask for information. If a particular official is given as a point of contact, further enquiries can then be directed to that official, who will maintain a continuing interest and involvement in the case until its conclusion. Staff are trained to make a point of volunteering information rather than expecting the victim to take the initiative to seek it. This is important when the victim appears particularly vulnerable, for example because of age or mental disability.
The court process
9.5 Attending court and giving evidence can be stressful for victims. The Government has tackled this on a number of fronts and the resulting improvements have benefited all witnesses including victims. The first relates to the physical environment. The Justice Charter for Scotland reflects the Government's commitment to improving the accommodation and facilities in courthouses for victims and witnesses.
9.6 Secondly the Government has implemented a number of Scottish Law Commission recommendations which are intended to reduce as much as possible the stress sometimes experienced by victims and witnesses when they give evidence. Thus the Government's actions, as described in Annex B, have led to increased protection and support for children and for other vulnerable witnesses, particularly those who have suffered a sexual assault or rape.
9.7 A third element of the strategy is to familiarise witnesses with the environment in which they will be giving their evidence. Pre-trial visits and information about court procedures are now provided both for the witness and for their family and contacts, by members of the procurator fiscal's staff as appropriate.
9.8 Fourthly, the Government is concerned to ensure that as far as is practicable victims are kept informed during the prosecution process. At present the procurator fiscal gives information, on request, to relatives of those who die as a result of accidents or criminal conduct. A system has been developed in Edinburgh for giving next of kin information as a matter of course. The installation of advanced information technology in all procurator fiscal offices, now well under way, will make it easier for staff to deal with enquiries. The system will enable staff to identify the case rapidly and to inform the enquirer of the latest position in relation to it. The system is not currently in place for the victims of crime in general, but an increased awareness of the needs of victims and an appreciation of their place in the criminal justice system, are being fostered throughout the Procurator Fiscal Service by training and guidance. The Crown Office is exploring the feasibility of further developing its information technology systems to provide information automatically to those victims who want to receive it.
**Research**
9.9 Although there is limited systematic information available at present about the type and quantity of information wanted by victims of crime, the Crown Office has commissioned research to investigate the needs and demands of victims. The objective is to measure the demand for information from victims and to establish how this differs in differing circumstances, with a view to introducing a coordinated approach to meeting the information needs of victims in due course.
**Victim Support**
9.10 **The Government is committed to working closely with the organisations acting on behalf of victims.** Scottish Office funding for victim support has risen from £600 in 1984-85 to £858,000 in 1994-95, in line with the Government’s policy of improving services to victims and developing an approach more focused on assisting the victims of crime. Trained volunteer visitors are now dealing with a wide range of victims, including the victims of more serious crimes. In 1993-94, 70 local victim support schemes in Scotland offered assistance to some 40,000 victims of crime, reflecting the effective partnership of Government funding and volunteer effort in the community. The Scottish Office has recently commissioned a study of the services provided by Victim Support Scotland. It will be completed towards the end of 1994 and will help with the planning of further service developments.
9.11 Procurators fiscal have developed links with victim support services and other voluntary organisations to ensure that, where victims are receiving advice and assistance from such bodies, all relevant information is exchanged and any special needs of the victim are met. The Crown Office is represented on the National Council of Victim Support Scotland, and regular meetings take place to discuss victim issues as they arise.
**DEVELOPMENTS IN THE POLICE SERVICE**
9.12 The Royal Commission devoted a considerable proportion of its report to proposals for improvements to police procedures, training and discinary measures in England and Wales. Many of these are reflected in developments which the Government is pursuing with Scottish police forces.
**Police discipline and complaints**
9.13 Following consideration of a report by HM Inspector of Constabulary, *The Handling of Complaints Against the Police in Scotland*, which was published in February 1993, the Secretary of State issued a consultation paper on his proposals for change in this area. In the light of responses, the Government introduced, in the Police and Magistrates Courts Bill, measures to empower HM Inspectorate of Constabulary to review how a complaint has been handled where a member of the public has expressed dissatisfaction. In appropriate circumstances, HM Inspectorate will also be empowered to direct the Chief Constable of the force concerned to re-examine the complaint.
9.14 This will provide a new element of independent scrutiny. As a matter of practice these reviews will usually be handled by an HM Inspector who has not been a career police officer. This is in line with the Citizen’s Charter promise that Inspectorates of major public services would be independent of the service inspected; involve lay people in inspections; and be open about their work and findings.
9.15 The Secretary of State also issued a document, which was the subject of consultation, detailing his proposals not only for dealing with cases of police misconduct but also for performance appraisal procedures in the police service. It addressed the dual issues of how officers below chief officer rank who are either not performing satisfactorily or whose behaviour is unacceptable should be dealt with. New procedures for dealing with inefficiency and misconduct are provided in the Police and Magistrates Courts Bill.
**Training and appraisal**
9.16 Six of the recommendations of the Royal Commission have implications for police training. These proposed training in the sympathetic handling of distressed victims and witnesses; the extension to all ranks of training in basic interviewing skills; the overhaul of detective and investigation training to concentrate on the most common mistakes in investigations and how they can be avoided; dedicated training for custody officers; training for station commanders in the management of custody officers and investigating officers, including the need to keep their roles separate; and training in the role which solicitors are expected to play in the criminal justice system.
9.17 All these areas are, where applicable, being fully addressed in Scotland either by courses provided by the Scottish Police College or by local training. Training for probationer constables at the College covers the handling of distressed victims and witnesses at both basic and advanced levels. In addition specialist units dealing particularly with distressed witnesses receive in-force training, often as part of inter-agency training involving police, social work and education staff. The Scottish police forces are considering extending the present training in interviewing techniques for probationer constables. A one week module on interview training is at present included in the detective training course at the Scottish Police College which also addresses any known problem areas in investigative techniques. The Association of Chief Police Officers in Scotland (ACPOS) continually monitors such training courses and can therefore take steps to change the content whenever this appears necessary.
9.18 The statutory role of custody officer does not exist in Scotland, but newly-promoted sergeants who perform a similar role receive training in custody duties. As there are no areas of joint responsibility between custody officers and investigating officers, station commanders do not receive training on how to ensure that these roles are kept separate; there do not appear to be any difficulties in this area. Training at the Scottish Police College of both probationers and detectives covers the role of solicitors in the criminal justice system.
9.19 In June 1993, the Police Advisory Board for Scotland agreed to set up a Working Party to review the current system of staff appraisal. The Working Party is in close touch with a UK Steering Group which is overseeing the development of proposals for appraisal linked to the introduction of appraisal-related pay for all ranks.
**Safeguards for suspects**
9.20 A number of potential safeguards for suspects were identified by the Royal Commission. Action in the relevant areas in Scotland is described below.
9.21 The Royal Commission recommended the issue of a simplified version of the notice to detained persons. At present in Scotland people are informed orally of their status and associated rights; a notice giving similar information is affixed to cell walls. The status of a person held at a police station may be that of a voluntary attender, or detainee, or arrested person. Those attending voluntarily are asked to complete a declaration to that effect and there are statutory safeguards for those who have been detained or arrested. However, the Government considers it would be appropriate and in keeping with the thrust of the Justice Charter if each individual were given a written statement of the terms under which they are held. The Scottish Office is therefore currently discussing this proposal with ACPOS.
9.22 The Royal Commission suggested that further research should be carried out to consider whether video recording of interviews should be introduced on a more widespread basis. A pilot scheme on videoing interviews is being conducted within Lothian and Borders Police, while Tayside Police and Central Scotland Police are piloting the video monitoring of custody suites. The Government is pleased to note the very positive developments in these areas and **the Scottish Office is consulting ACPOS on the need for further research on video recording**.
9.23 Safeguards for vulnerable suspects are also very important. The Royal Commission recommended that there should be a review of the role of the “appropriate adult” and of whether police have adequate guidelines. **The current Scottish guidance will be reviewed in the light of the report of a Working Group which is reviewing services for mentally disordered offenders.** This is likely to be in the autumn of 1994. In the meantime steps have been taken to disseminate good practice.
**Conduct of major inquiries**
9.24 The Royal Commission made recommendations in relation to major police inquiries. It suggested that policy files should be opened for all major inquiries and that, following major investigations, there should be a full debriefing involving all the parties concerned. In Scotland policy files already form part of recording procedures followed under the HOLMES major enquiry system, and they provide a diary of important policy decisions taken during the course of an investigation. Furthermore, debriefing takes place at the end of all major inquiries. These recommendations therefore already form part of current procedures in Scotland.
**FORENSIC SCIENCE**
9.25 The Royal Commission made a number of recommendations about the organisation of forensic science facilities and about standards of investigation. It also considered and made recommendations about the way in which the prosecution and defence deal with scientific evidence in the pre-trial period and at trial.
9.26 Forensic science facilities are organised quite differently in Scotland with reliance being placed almost wholly on police laboratories. The Standing Committee on Forensic Science in Scotland comprises representatives of Crown Office and the Procurator Fiscal Service, the Scottish Office Home and Health Department, the Association of Chief Police Officers in Scotland, the Scottish Forensic Science Liaison Group, the Law Society of Scotland and an independent academic. The Committee reports to the Secretary of State and the Lord Advocate. Its terms of reference are “to keep under review the provision of forensic science services in Scotland”.
The Government believes that these arrangements provide a satisfactory means of keeping under review matters relating to the organisation of facilities and does not consider that there is any need in Scotland for an additional body like the Forensic Science Advisory Council proposed by the Royal Commission.
9.27 The Standing Committee is considering and will report in due course to the Secretary of State and the Lord Advocate on some of the detailed recommendations of the Royal Commission.
9.28 Through the Committee, efforts are being made to improve standards and quality in the provision of forensic science services in Scotland through the Scottish Forensic Science Liaison Group (SFSLG) and its extensive quality assurance programme. Both the value and cost of National Measurement Accreditation Service (NAMAS) accreditation are acknowledged. Provision of services to the defence has been traditionally difficult to assess, but is being kept under review. Guidance on access to police laboratories by the defence is being formulated.
9.29 The authorisation of forensic scientists, and others such as fingerprint specialists, to make certain reports, currently involves the Secretary of State in consideration of each case. This is unnecessarily bureaucratic. **The Government intends that, where the Secretary of State has prescribed the standard of competence or achievement required of an expert witness, it should be possible for the Chief Constable to certify that any particular individual has achieved that standard.** Full consideration of the specification of standards will be necessary. The intention is that competence should be demonstrated by the attainment of a recognised, external academic or professional award, and that this objective evidence of ability should permit authorisation by the Chief Constable. The Secretary of State would continue to deal with any case where authorisation was thought appropriate but the prescribed standard had not been attained.
9.30 A similar element of bureaucracy attaches to the certification of those, other than police officers, who may serve witness citations. When this provision was introduced in 1950 it was novel, and the Secretary of State was required to authorise each individual. The operation of this power has led to no complaints about individuals to the Secretary of State and in practice nothing of value seems to be added to the selection of such staff by the need for the Secretary of State’s authorisation. **The Government therefore intends that the Chief Constable should be competent to issue the authorisation himself.**
9.31 The Secretary of State is consulting relevant interests on these two proposals.
SERIOUS FRAUD
9.32 The Royal Commission made several recommendations concerning the law on serious fraud. Where they are relevant to Scotland several have been taken forward already. The recommendation that more regulatory penalties than criminal penalties be used where appropriate is under active consideration by the Government.
JUDICIAL TRAINING
9.33 The Royal Commission emphasised the need for adequate judicial training to accompany the changes in procedures it recommended in its report, given the importance the Commission attached to judges actively controlling the conduct of criminal cases. It stated that the interests of justice require competent judges who are fully abreast of the latest developments in law and practice.
9.34 The Government agrees that a critical factor in securing the delivery of high quality justice in our courts is the quality of those who preside over these courts. The Scottish judiciary has a key role to play if the new provisions and procedures proposed in this Paper are to be implemented effectively. The proposals for intermediate diets in Chapter 2 of this White Paper are just one example of this, where the ability of judges to operate the new procedures effectively will be crucial to their success.
9.35 The Government considers that judicial training makes an important contribution to the delivery of justice. The Government very much welcomes the growth in recent years of the training undertaken by the judiciary. Earlier this year, following consultation with the Lord Justice General, the Secretary of State set up a group under the chairmanship of Lord Cameron of Lochbroom to co-ordinate the provision of training for the judiciary in the sheriff courts. That group, and others involved in judicial training, will no doubt wish to have regard to the proposals in this White Paper, and in subsequent legislation, when considering the future training needs of the Scottish judiciary. At present, all new permanent and temporary sheriffs receive substantial training, including training in the key area of sentencing. The Government hopes and expects that this foundation will continue to be built on.
Chapter 10
RESOURCE IMPLICATIONS
INTRODUCTION
The measures outlined in this White Paper are designed to take forward the Government's strategy to increase the capacity of the criminal justice system in Scotland to fight crime and to uphold and maintain public confidence in the criminal law.
10.2 The Government's review of the criminal justice system has aimed to identify improvements to the system which will assist the various agencies within the criminal justice system in continuing to deliver a high quality of justice, while at the same time making the best use of the available resources. The package of proposals in this White Paper will enable the system to move towards achieving these qualitative improvements. The following paragraphs describe the resource implications of the key changes proposed.
10.3 The proposals in Chapter 2 for the introduction of mandatory intermediate diets in summary procedure in the sheriff and district courts and in Chapter 8 for the extension of the potential use of fiscal fines will have the greatest effect on the handling of cases within the system. Through these changes it should be possible to achieve significant improvements in the efficient programming of business for the courts and a considerable reduction in the burden on the district courts. The proposals for procedural changes arising from the recommendations of the Standing Committee on Criminal Procedure should also increase efficiency in the courts. All these changes can be achieved within existing levels of resources.
10.4 The Government believes that the opportunity for redeployment of the time of the senior judges arising from the introduction of the single judge sift and a smaller quorum for the bench in sentence appeals should assist in improving the capacity of the High Court to cope with the increasing volume of cases it has to deal with.
10.5 The improvements proposed to the arrangements for the citation of jurors and the reduction in wasted witness time arising from the introduction of intermediate diets should mean that fewer members of the public are inconvenienced by turning up to find they are not needed. Reimbursement of costs for those attending court as witnesses and jurors
should thereby be significantly reduced. The costs to the police service will also be less if police officers are relieved of having to attend court as witnesses only to find the case has been cancelled. Fewer police officers tied up in court means more officers available to be on the beat.
**EFFECT ON INDIVIDUAL AGENCIES WITHIN THE CRIMINAL JUSTICE SYSTEM**
10.6 The resource implications of the proposed changes for particular agencies within the criminal justice system cannot be precisely estimated, especially as in many cases likely savings will not necessarily accrue to the same agencies as incur the costs of implementation.
10.7 Many of the proposals will require the transfer of resources within the criminal justice system or shifting expenditure to an earlier stage in the criminal justice process. Taken as a whole such proposals should provide net savings to the criminal justice system. The following paragraphs provide a general assessment of the likely effects on each of the major parts of the criminal justice system.
**The courts**
10.8 The courts will both incur costs and receive benefits from the proposed changes. Although the courts will require to allocate time to hold intermediate diets, this may not involve the courts in sitting for any longer overall in the week. Arrangements such as diversion from prosecution and the proposed extension to fiscal fines, which will facilitate the disposal of cases without going to court, should reduce the burden on the district and sheriff courts.
10.9 Other proposals, such as improvements in courtroom accommodation and facilities for victims and witnesses described in Chapter 9, will incur costs for the court service, already identified in the Justice Charter.
10.10 As regards the judiciary, extension of shrieval training will have resource implications in judge time. For the High Court, reduced Appeal Court benches will release some senior judge time, which can be reallocated to deal with the continuing increase in the workload of the High Court. The introduction of a single judge sift should also release senior judge time, but this will at least in part be offset by the resources required to operate the sift.
10.11 Support for a sentencing information system will also have cost implications for the court service.
10.12 There will be additional costs to the courts through implementing the forfeiture and confiscation provisions, but these should be offset by the value of cash and items realised in return.
The Procurator Fiscal Service
10.13 The procurator fiscal service will be involved in the implementation of most of the changes proposed in this White Paper. It will have a crucial role in ensuring the successful application of a number of the improvements.
10.14 The introduction of mandatory intermediate diets will have resource implications for the procurator fiscal service in preparation for and participation in such diets, and in the associated administrative tasks such as ensuring that witnesses are countermanded in good time. The extension of fiscal fines will save resources by reducing the number of cases which have to be prosecuted.
10.15 Additional fiscal time will also be required for the implementation of the proposals on forfeiture and confiscation.
10.16 Developments are underway in the procurator fiscal service to provide information automatically to victims. Any comprehensive information technology system to provide this service is likely to require substantial investment, and preliminary research is being carried out.
10.17 The proposals for tightening up on the operation of bail could also have implications for the speed with which the procurator fiscal has to process cases.
10.18 Finally, the new proposals for dealing with insanity in bar of trial will result in both the prosecutor and the court having to conduct proceedings which are not presently required in relation to establishing the facts of the case.
The police
10.19 The police service will be involved in a considerable range of these proposals. Reductions in police witness duties should result in the release of significant resources for the police, as will the citation of witnesses by post.
10.20 Extensive provision of equipment for tape-recording all police interviews, and for video taping custody suites and charge bars, would have significant resource implications for police capital expenditure. The extra running costs associated with such equipment would probably be offset by a reduction in the time devoted to investigating complaints (where the evidence of the video tape would be, in many cases, the definitive answer to the complainant). Similarly the video-recording of interviews might, on occasion, save time in court by eliminating the need to pursue allegations about behaviour which can be directly answered by reference to the video tape. Forces are already making incremental improvements in this area, where they see the greatest benefits.
10.21 Wider powers to take and analyse DNA samples will have significant resource implications and will have to be used as resources permit. The use of the powers should improve the efficiency with which the police are able to investigate and clear up crime.
**The prison service and State Hospital**
10.22 Most of the proposals in this paper deal with issues affecting the agencies involved in the initial stages of the criminal justice process, rather than after disposal of a case by the courts. Tightening of the law on bail may result in a slight increase in the use of remand, and a corresponding increase in costs for the prison service. A wider range of disposals for persons found unfit to plead, or acquitted by way of insanity, may slightly reduce numbers in detention at the State Hospital or elsewhere but this would be offset by the extra resources required for alternative disposals.
**Civilian witnesses and jurors**
10.23 The major potential benefit of intermediate diets lies in reducing unnecessary witness attendance at court. Prosecution witnesses’ expenses may be reimbursed by the Crown Office and so there will be substantial savings in those costs if fewer witnesses are required to attend court. This saving, in resource terms, should offset other costs throughout the system. In solemn cases, it should also be possible to reduce the numbers of jurors cited, and this will also produce further savings.
**The defence**
10.24 Defence agents will have an important role to play in ensuring the successful implementation of the proposals for change which touch on improvements in the efficiency of processing cases through the courts. There may be some increase in defence preparation time to consider the agreement of evidence, although this should be mainly a bringing forward of preparation which has to be undertaken in any event. There will be increased costs for defence agents’ participation in intermediate diets, offset by savings at the trial diet, including waiting time at the trial diet.
**The Scottish Legal Aid Board**
10.25 Legal aid is a substantial item of expenditure within the criminal justice budget. None of the proposals in this paper should materially affect overall levels of expenditure on the fund. Abolition of the 14 day rule in relation to accused persons who change their plea from not guilty to guilty will result in a small increase in costs to the legal aid fund; but if abolition results in more guilty pleas, there should be net savings to the fund.
10.26 Advance legal aid payments for preparatory work may involve some rephasing of legal aid expenditure, and would be offset by savings stemming from greater efficiency in court administration.
CONCLUSION
10.27 The proposals which the Government is putting forward in this White Paper focus on increasing the quality of services to victims, witnesses, and all others who have contact with the criminal justice system. Taken together they will work towards the provision of better standards of service within the criminal justice system. The Government believes it is right to reassess the priorities for expenditure within the criminal justice system and to adjust them as necessary to meet the changing needs within the system. That is what will happen when these proposals are introduced.
The Government intends to promote the following amendments to legislation to give effect to the proposals contained in this White Paper.
The following abbreviations are used to refer to the relevant Acts of Parliament:
1825 Act: Jurors (Scotland) Act 1825 (c. 50)
1889 Act: Public Bodies Corrupt Practices Act 1889 (c. 69)
1906 Act: Prevention of Corruption Act 1906 (c. 34)
1966 Act: Local Government (Scotland) Act 1966 (c. 51)
1968 Act: Social Work (Scotland) Act 1968
1975 Act: Criminal Procedure (Scotland) Act 1975 (c. 21)
1978 Act: Community Services By Offenders (Scotland) Act 1978
1980 Bail Act: Bail etc. (Scotland) Act 1980 (c. 4)
1980 CJ Act: Criminal Justice (Scotland) Act 1980 (c. 62)
1980 LR Act: Law Reform (Miscellaneous Provisions) (Scotland) Act 1980 (c. 55)
1982 Act: Civic Government (Scotland) Act 1982 (c. 45)
1985 Act: Bankruptcy (Scotland) Act 1985 (c. 66)
1986 Act: Legal Aid (Scotland) Act 1986
1987 Act: Criminal Justice (Scotland) Act 1987 (c. 41)
1990 Act: Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 (c. 40)
1993 Act: Prisoners and Criminal Proceedings (Scotland) Act 1993 (c.9)
PRE-TRIAL PROCEDURE
Bail
Section 1(2) of the 1980 Bail Act: amend to alter the range of bail conditions which may be imposed by the court.
Section 3 of the 1980 Bail Act: amend to include increase of penalties for breach of bail conditions to £1,000.
Insert a new section into the 1980 Bail Act introducing offending on bail as an aggravating factor for sentencing.
Insert a new section into the 1980 Bail Act to enable the prosecution to ask the court to review the grant of bail.
Section 26 of the 1975 Act: amend to make the grant of bail incompetent in certain circumstances.
**Intermediate diets**
Section 337A of the 1975 Act: amend to make provision for an intermediate diet to be mandatory in summary procedure, subject to the exceptions listed at paragraph 3.5 of this White Paper, and further amend to include detailed provisions regarding the purpose of an intermediate diet, as set out at paragraph 3.6.
Section 76 of the 1975 Act: amend to make provision for similar mandatory diets for sheriff solemn procedure.
**Agreed adjournments**
Sections 77A and 314(3) and (4) of the 1975 Act: amend to provide that an adjournment of a trial requested under these sections may be granted by a judge in chambers.
**Routine evidence**
Schedule 1 to the 1980 CJ Act: extend the provisions of Schedule 1 to further categories of evidence which may be admissible by certificate and allow Schedule 1 to be further amended in the future by subordinate legislation.
Further amend to enable early destruction of biological samples in the interests of public health and to remove the need for technicians to speak to the processes forming part of a forensic or chemical analysis of samples.
Section 26 of the 1980 CJ Act: amend to provide for implementation of recommendations 23 to 35 of the Scottish Law Commission Report No 137 (and their draft Bill clause 7, section 26A) to provide an optional as opposed to a compulsory provision for serving a statement of facts containing evidence thought to be uncontroversial.
**JURIES AND VERDICTS**
**Revisal notices**
An offence of failing to return a Revisal Notice would be created.
**Persons on bail**
Part II of Schedule 1 to the 1980 LR Act: extend to include persons on bail.
Members of religious sects
Part III of Schedule 1 to the 1980 LR Act: extend to include practising members of religious sects.
Single sex juries and exemption of women
Section 100 of the 1975 Act: would be repealed.
Statutory prescription of the number of jurors cited
Section 85 of the 1975 Act: would be repealed.
Excusal from jury service
Section 1 of the 1980 LR Act: amend to confine excusal to exceptional circumstances.
Peremptory challenge
Section 130 of the 1975 Act: would be repealed.
A further provision would be made to give the court power to excuse a juror on joint application by prosecution and defence, without requiring the cause to be stated in open court.
Occupation of jurors
Section 3 of the 1825 Act and section 93 of the 1975 Act: amend to exclude potential jurors' occupations from the list of assize.
SENTENCING
Sentencing guidelines
The Appeal Court would be expressly enabled to issue sentencing guidelines.
Sentence discounting
Legislation would be introduced to make it clear that the courts may take into account a guilty plea, when deciding sentence.
Provision would also be made to empower the courts to backdate a custodial sentence to the date when the accused tendered a plea of guilty.
Forfeiture and confiscation
Provision would be made to extend the powers of the courts to order confiscation of the profits and proceeds of general crime.
APPEALS PROCEDURES
Single judge sift
Sections 228(1) and 442(1) of the 1975 Act: amend to introduce a requirement for leave from the High Court to appeal.
Section 247 of the 1975 Act: extension of the powers of a single judge to include decisions on applications for leave to appeal.
Reduction in the quorum of the appeal court
Section 245 of the 1975 Act: amend to provide that the quorum of the Lords Commissioners of Justiciary to hear appeals against sentence only shall be two.
CONSIDERATION OF APPEALS
Reindictment on a higher charge
Section 255 of the 1975 Act: amend to restrict the charges in an indictment served on the accused who is being retried.
Lord Advocate’s reference
Section 263A of the 1975 Act: amend to allow the Lord Advocate to refer a point of law to the High Court for a ruling, regardless of whether the accused was acquitted.
CRIMINAL LEGAL AID
Assistance by way of representation
Regulations under the 1986 Act - SI 1988 No. 2290(s.225): abolition of the 14 day time-limit on eligibility for Assistance by Way of Representation for an accused changing his plea from not guilty to guilty.
Regulations under the 1986 Act - SI 1988 No. 2290(s.225): extension of ABWOR to cover pleas in mitigation for convicted persons in suitable cases.
Interests of justice test in criminal appeals
Section 25(2) of the 1986 Act: amend to change the criteria on merit for the award of criminal legal aid in appeals from a “substantial grounds” to an “interests of justice” test.
OTHER CRIMINAL JUSTICE ISSUES
Diversion from prosecution
Section 27A of the 1968 Act: amend to enable the Secretary of State to include diversion from prosecution within the categories identified in section 27(1) of the 1968 Act.
Fiscal fines
Section 7(1) of the 1980 CJ Act: amend to allow all statutory offences to be tried in the district court.
Section 56 of the 1987 Act: amend to provide for a sliding scale of fiscal fines. Fixed points on this scale would be set by statutory instrument and reviewed.
whenever the levels of fines on the standard scale were reviewed.
**Payment by instalment**
*Regulations under the 1987 Act - SI 1987 No 2025 (s.139):* replace with a further Statutory Instrument giving a more flexible repayment system to reflect the proposed varying size of fines.
**Standing Committee on Criminal Procedure**
The Government intends to promote the following amendments to the 1975 Act arising from the recommendations of the Standing Committee on Criminal Procedure discussed in Chapter 8.
*Section 58(2):* amend to allow the procurator fiscal, as well as the person serving it, to amend an indictment.
*Section 77:* amend to allow a sheriff court case to be adjourned to a sitting within two months of the trial diet, as is the case in the High Court.
*Sections 96 and 129:* section 129 would be made consistent with the terms of section 96, by removing the reference to the list of jurors being served on the accused.
*Section 128:* amend to make provision under summary procedure, similar to that which exists in solemn procedure, that a new trial will be permitted in the case of illness or death of the presiding judge.
*Section 142:* amend to make provision that, except on cause shown, the accused shall be the first witness called for the defence.
*Section 145:* amend to make provision under summary procedure, similar to that which exists in solemn procedure, that where the conduct of the accused causes difficulty, he may be removed from the court.
*Section 157(1):* amend to remove the reference to murder trials, so that any trial may be interrupted for plea or sentence on a separate charge.
*Sections 179 and 380:* amend to clarify that the court has the power to defer sentencing after conviction pending the outcome of proceedings against co-accused.
*Sections 180 and 381:* amend to include option of remand to hospital following conviction.
*Section 238:* amend to provide that an application for interim liberation pending the determination of an appeal may be considered before the grounds of appeal have been lodged only in exceptional circumstances.
*Sections 264 and 443A:* amend to provide for the suspension of collection
of fines, collection of compensation award payments and community service orders pending an appeal.
*Section 270(2)*: amend to allow the return of productions where an appeal is against sentence only.
*Section 311*: amend to remove the requirement to serve a notice of penalty on a person accused of a statutory offence in summary procedure.
*Section 321(5)*: amend to allow the witness to be brought before the court to allow the determination of an appropriate level of caution.
*Section 359*: amend to make it competent for a certified copy of a complaint to be accepted as if it were an original.
*Section 430*: amend to put into statute the common law provision that it is competent for sentences to run consecutively except where otherwise stated in statute.
*Section 442(1)(a)(iii) and Form 71 of Schedule 1 to the Act of Adjournal (Consolidation) 1988*: amend so that Form 71 would require the grounds of appeal against sentence to be stated also.
*Section 444(1)*: amend to prevent delay in lodging an appeal against both conviction and sentence when sentence is deferred.
*Section 446*: amend to ensure that an offender who was already serving one sentence and was on interim liberation pending appeal against a different offence could apply to have sentence on the second offence backdated if his appeal were abandoned, so that he would not serve a longer sentence simply because of a delay in serving the warrant.
*Section 453*: amend to allow the Crown to draw an incompetent sentence to the attention of the High Court as well as an incompetent conviction.
*Schedule 2 to the Summary Jurisdiction (Scotland) Act 1954* to be repealed and re-enacted within the 1975 Act.
A provision would be promoted that a special defence must be read to the jury unless the judge gives a direction on cause shown that the special defence should not be read.
*Section 69*: amend to allow citation of witnesses by post as well as in person.
*Section 20B(9) and section 71 of the 1975 Act; section 26(4) of the 1980 CJ Act; section 60 of the 1987 Act; and rule 167 of the Act of Adjournal (Consolidation) 1988*: the various provisions relating to the service of transcripts, notices and other documents on the accused would be clarified. This
would be done by making all the relevant sections subject to the conditions of rule 167 of the Act of Adjournal (Consolidation) 1988, which currently applies only to documents served under section 71 of the 1975 Act.
**DNA**
*Section 28 of the 1993 Act:* amend to add hair roots and mouth swabs to the samples a constable may take, with the authority of an officer of no lower rank than inspector; amend to clarify that samples and information should be destroyed where a person is not convicted or no proceedings are instituted, but that where this is not possible without destroying information that may be lawfully retained, provide that the information otherwise retained should not then be used for evidence against the individual or investigation of another offence; amend to clarify that lawfully obtained and retained samples and information may be used for the investigation of any offence.
**SOCIAL WORK SERVICES IN THE CRIMINAL JUSTICE SYSTEM**
**Community service**
*Section 4 of the 1968 Act:* amend to provide that if a person undertaking a community service order, or within 3 months of the completion or termination of that order, commits an offence at the premises or against a person where all or part of the requirements of the order were carried out, it shall be regarded as an aggravation of this offence and will be so libelled in the charge.
*Section 1(1) of the 1978 Act:* amend to provide for an increase in the maximum number of hours for community service orders from 240 to 300.
**Probation**
*Sections 183(1) and 384(1) of the 1975 Act:* amend to provide that a court, after convicting the offender, may make a probation order and that this will be the sentence of the court. This will allow some duplicating sections to be removed.
**Community disposals generally**
*Section 7 of the 1978 Act:* amend so that the provision inserted into section 1(1) by section 61(3) of the 1990 Act also applies to this section, ie that the court may only make an order where otherwise it intended a custodial sentence.
*Section 2(3)(a) of the 1978 Act:* amend to provide that a copy of the order may alternatively be forwarded to the offender's last known address by recorded delivery.
*Sections 183(7) and 384(7) of the 1975 Act, and Schedule 6(2)(3) of the 1990*
Act: amend so that the clerk of court may alternatively forward a copy of the order to the offender's last known address.
Sections 186(1) and 387(1) of the 1975 Act, section 4(1) of the 1978 Act, section 18(1) of the 1993 Act and Schedule 6(4)(1) to the 1990 Act: amend to remove the requirement that the supervising officer must give evidence on oath when initiating breach action.
Unfitness to plead and acquittal by reason of insanity
Provision would be made to implement comprehensive proposals for reform of the criminal law and procedures relating to those found unfit to plead or acquitted on grounds of insanity.
ROYAL COMMISSION ON CRIMINAL JUSTICE
Forensic science
Section 26 of the 1980 CJ Act: amend to make it competent for a Chief Constable to authorise forensic witnesses.
In addition to these specific proposals the opportunity will be taken to make additional and consequential amendments where necessary.
Annex B
MEETING VICTIMS’ NEEDS
Under the Citizen’s Charter all public services should take more account of the needs and wishes of individual users. This annex sets out the main areas in which steps have been taken in order to improve the victim’s experience of the court system.
Court facilities
B.2 The main improvements which have been made are:
- separate rooms for victims and vulnerable witnesses;
- public address systems to keep witnesses informed of progress of business where appropriate;
- sound reinforcement systems where these are necessary;
- loop systems to assist the hard of hearing;
- air cleaners in witness rooms;
- improved access to toilets for disabled people;
- refreshment facilities with special arrangements to cater for witnesses;
- improved seating and decoration within witness rooms; and
- provision of creche facilities.
B.3 The overall aim is to provide these facilities wherever it is practical and possible to do so: improvements will continue to be made systematically within the on-going court building and refurbishment programme.
Initiatives to support victims
B.4 In certain offences of a sexual nature including rape, assault with intent to rape, indecent assault and indecent behaviour more generally, the law has, for some time, prohibited the admissibility of evidence with regard to previous sexual history which is not relevant to the charges before the court. Following a recent research project on the use of these provisions, the Government is considering bringing forward proposals for extending them to incest and clandestine injury crimes.
B.5 The Government attaches particular importance to help for the victims of sexual assault and domestic violence. Close liaison between the fiscal and the Women and Child Units of police forces has evolved, adding another
channel of communication between the victim and the criminal justice system. The Government takes the view that the current guidance on the treatment by the police of victims in cases of rape and domestic violence should be extended to a wider range of witnesses and cases than at present. It has therefore invited the Association of Chief Police Officers in Scotland to give their views on the scope for such an extension.
B.6 To provide specific support for women who have been the victims of sexual assault, Victim Support Scotland, with the assistance of The Scottish Office, has set up a Working Group to produce an information leaflet setting out what assistance is available and where it may be obtained. This leaflet is likely also to contain general advice and information relating to the court process.
Provisions relating to children
B.7 Children who are victims of crime are a particularly vulnerable group. The Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 introduced provisions to allow for the evidence of a child to be taken by a live television link. The child is outside the court room and is not able to see the accused. The provisions, which followed from a Scottish Law Commission Report, were implemented in 1991 with the installation of equipment in the sheriff court and High Court in Glasgow and Edinburgh. Again, research has been undertaken into the effectiveness of these procedures and the Government is considering extending the facilities to other parts of Scotland. Child witnesses also receive a leaflet, Going to Court, which explains what the child will be expected to do, and what he or she may expect from the visit to court.
B.8 Further provisions in the Prisoners and Criminal Proceedings (Scotland) Act 1993 mean that, as from 1 January 1994, the court may authorise the use of screens to conceal an accused from a child giving evidence. Since that date certain child witnesses have also been able to give evidence on commission. This means that their evidence is video recorded and played to the court at the trial. This saves them from having to attend court.
Research into information needs of victims
B.9 The aims of current Crown Office research into the information needs of victims are as follows:
– to measure the extent to which victims are currently kept informed about the progress of their cases;
– to establish whether there is, in fact, a demand for greater information and, if so, to identify what victims want to know, how they want to receive such information and when they want to receive it; and
– to explore whether there are differences between the needs and demands of victims of different types of offences; between victims who are called as witnesses and those who are not; and between victims whose cases are proceeded with and those whose cases are not.
B.10 The results of this research, expected later this year, will inform a review of the Procurator Fiscal Service’s practices in keeping victims informed of progress with their cases, and allow the issue to be addressed in a comprehensive and methodical manner.
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Conjure: Summoning Proxies from Unused Address Space
Sergey Frolov
University of Colorado Boulder
Jack Wampler
University of Colorado Boulder
J. Alex Halderman
University of Michigan
Nikita Borisov
UIUC
Sze Chuen Tan
UIUC
Eric Wustrow
University of Colorado Boulder
ABSTRACT
Refraction Networking (formerly known as “Decoy Routing”) has emerged as a promising next-generation approach for circumventing Internet censorship. Rather than trying to hide individual circumvention proxy servers from censors, proxy functionality is implemented in the core of the network, at cooperating ISPs in friendly countries. Any connection that traverses these ISPs could be a conduit for the free flow of information, so censors cannot easily block access without also blocking many legitimate sites. While one Refraction scheme, TapDance, has recently been deployed at ISP-scale, it suffers from several problems: a limited number of “decoy” sites in realistic deployments, high technical complexity, and undesirable tradeoffs between performance and observability by the censor. These challenges may impede broader deployment and ultimately allow censors to block such techniques.
We present Conjure, an improved Refraction Networking approach that overcomes these limitations by leveraging unused address space at deploying ISPs. Instead of using real websites as the decoy destinations for proxy connections, our scheme connects to IP addresses where no web server exists, leveraging proxy functionality from the core of the network. These phantom hosts are difficult for a censor to distinguish from real ones, but can be used by clients as proxies. We define the Conjure protocol, analyze its security, and evaluate a prototype using an ISP testbed. Our results suggest that Conjure can be harder to block than TapDance, is simpler to maintain and deploy, and offers substantially better network performance.
CCS CONCEPTS
• Networks → Network security; • Social and professional topics → Censorship.
KEYWORDS
anticensorship, proxies, network security
ACM Reference Format:
Sergey Frolov, Jack Wampler, Sze Chuen Tan, J. Alex Halderman, Nikita Borisov, and Eric Wustrow. 2019. Conjure: Summoning Proxies from Unused Address Space. In 2019 ACM SIGSAC Conference on Computer and Communications Security (CCS ’19), November 11–15, 2019, London, United Kingdom. ACM, New York, NY, USA, 15 pages. https://doi.org/10.1145/3319535.3363218
Figure 1: Conjure Overview — An ISP deploys a Conjure station, which sees a passive tap of passing traffic. Following a steganographic registration process, a client can connect to an unused IP address in the ISP’s AS, and the station will inject packets to communicate with the client as if there were a proxy server at that address.
1 INTRODUCTION
Over half of Internet users globally now live in countries that block political, social, or religious content online [19]. Meanwhile, many popular tools and techniques for circumventing such censorship become ineffective, because censors have evolved new ways to block them [14, 35] or infrastructure they rely on has become unavailable.
For example, domain fronting [17] was a popular circumvention strategy used by meek (in Tor), as well as by the Signal secure messaging app to get around censorship in countries where it was blocked [36, 43]. But in May 2018, Google and Amazon made both technical and policy changes to their cloud infrastructures that removed support for domain fronting [33]. While meek continues to use other cloud providers that (for now) continue to allow domain fronting, Signal abandoned the strategy altogether [37]. There is an urgent need for new, more robust approaches to circumvention.
A family of techniques called Refraction Networking [3, 13, 26, 29, 40, 59, 60], formerly known as Decoy Routing, has made promising steps towards that goal. These techniques operate in the network’s core, at cooperating Internet Service Providers (ISPs) outside censoring countries [45]. Clients access circumvention services by connecting to a “decoy site”—any uncensored website for which the connection travels over a participating ISP. Upon recognizing a steganographic signal from the client, the ISP modifies the connection response to return censored content requested by the user. Censors cannot easily block access without also blocking legitimate connections to the decoy sites—collateral damage that may be prohibitive for censors if Refraction Networking is widely deployed [48].
However, deploying such schemes is more difficult than with most edge-based circumvention techniques, since ISPs must be convinced to operate the systems in their production networks.
To date, only TapDance [59], one of six Refraction Networking proposals, has been deployed at ISP scale [20].
TapDance was designed for ease of deployment. Instead of in-line network devices required by earlier schemes, it calls for only a passive tap. This ‘on-the-side’ approach, though much friendlier from an ISP’s perspective, leads to major challenges when interposing in an ongoing client-to-decoy connection:
- Implementation is complex and error-prone, requiring kernel patches or a custom TCP stack.
- To avoid detection, the system must carefully mimic subtle features of each decoy’s TCP and TLS behavior.
- The architecture cannot resist active probing attacks, where the censor sends specially crafted packets to determine whether a suspected connection is using TapDance.
- Interactions with the decoy’s network stack limit the length and duration of each connection, forcing TapDance to multiplex long-lived proxy connections over many shorter decoy connections. This adds overhead and creates a traffic pattern that is challenging to conceal.
**Conjure** In this paper, we present Conjure, a Refraction Networking protocol that overcomes these challenges while retaining TapDance’s ISP-friendly deployment requirements. Our key innovation is an architecture that avoids having to actively participate in client-to-decoy connections.
In our scheme (Figure 1), clients register their intentions to connect to phantom hosts in the “dark” or unused address space of the deploying ISP. Once registered, clients can connect to these phantom hosts: IP addresses as if they were real proxy servers. The Conjure station (deployed at an ISP) acts as the other end of these connections, and responds as if it were a legitimate site or service. To the censor, these phantom hosts appear as legitimate sites or services, and even active probes will not reveal information that would allow the censor to block them.
Phantom hosts are cheap to connect to, and greatly expand the number of viable proxy endpoints that a censor must consider. This increases the cost for censors to block, as they must detect and block in real time. Meanwhile, even a censor that could theoretically detect 90% of phantom hosts with confidence does not significantly reduce the effectiveness of a circumvention system, giving Conjure an advantage in the censor/circumventor cat-and-mouse game.
Conjure supports both IPv4 and IPv6, though we note that the technique is especially powerful in IPv6, where censors cannot exhaustively scan the address space ahead of time to identify addresses that change behavior. Because we fully control the proxy transport, connections can live as long as needed, without the complexity faced by TapDance.
We introduce the Conjure protocol (Section 4) and analyze its security, finding that it resists a broader range of detection attacks than TapDance. We have implemented Conjure (Section 5) and deployed it on a 20 Gbps ISP testbed similar to the TapDance deployment [20]. Compared to TapDance, we find that Conjure has reduced complexity and substantially improved performance (Section 6): on average, Conjure has 20% lower latency, 14% faster download bandwidth, and over 1400 times faster upload bandwidth. In addition, Conjure is significantly more flexible than existing Refraction Networking protocols, allowing maintainers to respond to future censor techniques with greater agility. We believe that these advantages will make Conjure a strong choice for future Refraction Networking deployments.
We have released the open source implementation of the Conjure client at https://github.com/refraction-networking/gotapdance/tree/dark-decoy.
## 2 BACKGROUND
Refraction Networking operates by injecting covert communication inside a client’s HTTPS connection with a reachable site, also known as a decoy site. In a regular HTTPS session, a client establishes a TCP connection, performs a TLS handshake with a destination site, sends an encrypted web request, and receives an encrypted response. In Refraction Networking, at least one direction of this exchange is observed by a *refraction station*, deployed at some Internet service provider (ISP). The station watches for a covert signal from the client that this connection is to be used for censorship circumvention. Upon seeing the signal, the station will take over the HTTPS session, and establish a proxy session with the client that can then be used for covert communication.
One of the key challenges for Refraction Networking is in taking over a session. The station must start responding to the client’s traffic as if it were the decoy destination, and at the same time prevent the destination from sending its own responses back to the client. A simple approach is to have the refraction station act as an inline transparent proxy (Figure 2a) that forwards the traffic between the client and the decoy site. After a TLS handshake has been completed, the station terminates the connection with the decoy site by sending a TCP reset and takes over the session with the client.
An inline element, however, can significantly affect the reliability and performance of the regular, non-refraction traffic of an ISP. Cirripede [26] and Telex [60] attempted to mitigate this by dynamically adding router rules to forward only a subset of traffic from a registered client or an active session through the element, but this nevertheless presented a deployability challenge.
TapDance [59] offered an alternative design that did not require the blocking or redirection of traffic, but used a mirror port instead (Figure 2b). In TapDance a client sends an incomplete HTTP request, which causes the decoy site to pause waiting for more data while the station takes over the connection in its place. After a client would receive a packet initiated by the station, its TCP sequence numbers would become desynchronized with the decoy site, causing the decoy to ignore the packets sent by the client.
This approach reduced the barriers to deployment and TapDance was used in production during a pilot study, serving upwards of 50,000 real-world users [20]. The tap-based approach, however, has some disadvantages. A decoy site will only ignore packets as long as the sequence numbers stay within its TCP window, and will terminate the connection after a timeout. Frolov et al. report that in their pilot, they eliminated roughly a third of potential decoy sites due to their measured window or timeout values being too small [20]. Even so, sessions that try to upload non-trivial data amounts (in excess of about 15 KB) or last longer than the timeout value (ranging from 20–120 s) require the user to create new refraction connections, adding overhead, complexity, and opportunities
for errors. Additionally, keeping the connections to the decoy site open for tens of seconds uses up the site’s resources; Frolov et al. found that a default configuration of the Apache web server would only keep 150 simultaneous connections open, while the pilot deployment would often result in dozens of connections to the same decoy site, creating a scaling concern.
Conjure is able to avoid these problems by creating proxies at unused IP addresses, allowing the station full control over a host it has created, rather than forcing it to mimic an already existing decoy (Figure 2c). This design obviates the need for taking over a session already in progress, which both simplifies the implementation and eliminates certain attacks, as we will discuss in Section 7.
**Registration Signal** In all implementations of Refraction Networking, a client must send a covert signal to the station to initiate communication. This covert signal is embedded inside communication fields that must be indistinguishable from random by a censor without access to a secret/private key available to the station. Past implementations have used TCP initial sequence numbers [26], the ClientRandom field inside a TLS handshake [29, 60], and the encrypted body of an HTTPS request [59]. In principle Conjure can use any of these mechanisms for registration, but in our prototype we used the HTTPS request body as it offers the greatest flexibility for the amount of data that can be sent with the registration.
### 3 THREAT MODEL
Our deployment model is identical to that of TapDance: we only require a passive tap at the deploying ISP, and the ability to inject (spoofed) traffic from phantom hosts. Furthermore, we assume asymmetric routing (i.e. that the tap might only see packets from but not to the client). However, we assume a stronger threat model for the adversary than TapDance, as our design resists active attacks.
We assume the censor can block arbitrary IP addresses and networks, but faces a cost in doing so if it blocks potentially useful resources. In particular, we assume it is difficult for the censor to have complete knowledge of legitimate addresses used, and so instead resorts to a blacklist approach to blocking proxies and objectionable content. Whitelists are expensive for censors to maintain and can stifle innovation, and are rarely employed by country-level censors.
We assume that the censor can know what network the Conjure station(s) are deployed in and the prefixes phantom hosts are selected from, but that blocking those networks outright brings a collateral damage the censor is unwilling to suffer. Instead, the censor aims to identify the addresses that are phantom hosts, and block only those. We note this assumption supposes that the censor does not mount effective routing decoy attacks [27, 49]; we discuss these attacks further in Section 8.2.
We allow the censor access to the client to register and use its own phantom hosts, so the system should ensure that these will not reveal the phantom hosts of other users. The censor can also actively probe addresses that it sees users accessing, and can employ tools such as ZMap [11] to scan large network blocks, excepting large IPv6 prefixes (e.g. a /32 IPv6 prefix contains $2^{60}$ addresses).
Finally, we assume the censor can replay or preplay any connections that it suspects involve phantom hosts (or their registration) in an attempt to confirm. However, the censor wishes to avoid disrupting any connections before it knows for certain they are from Conjure clients, lest they disrupt legitimate connections. This means that injecting false data or corrupting TLS sessions is outside the scope of the censor, but that the censor can send non-disruptive probes (such as stale TCP acknowledgments) that would normally be ignored. We emphasize that TapDance is observable by censors that can send TCP packets in suspected connections, but that our protocol is robust against this class of censor.
4 ARCHITECTURE
Conjure involves two high-level steps. First, clients register with a Conjure station deployed at an ISP, and derive a phantom host IP address from a seed shared in the registration. Then, clients connect to the agreed upon phantom address, and the station listening on the tap relays the client’s traffic to a local application. The application brokers traffic to a proxy application specified by the client in their registration providing a probe resistant tunnel. Figure 3 describes a high-level overview of the Conjure registration and connection behavior.
Similar to TapDance [59], our design does not require expensive in-line flow blocking and is accomplished with only a passive tap at the ISP, imparting little to no burden on their infrastructure and service reliability. Our architecture is also modular, in that the registration and connection steps operate independently, allowing a wide range of flexibility to evade censors. We describe each of these components, and then describe our implementation and deployment in Section 5.
4.1 Registration
We use a form of Refraction Networking similar to TapDance to register directly with the station, though Conjure registration is significantly simpler and more difficult to detect than vanilla TapDance. This is because registration flows are unidirectional: a client communicates their intent to register to the station without any response from the station itself. This makes registration flows very difficult to detect as they can be sent to any site hosted behind the ISP, and display no evidence of proxy behavior.
While this model of registration gives the client no definitive indication that their registration was successful, the client can attempt to register multiple times concurrently with the same information, and expect that one gets through. Alternatively clients can register intent to use the proxy in other covert ways. For instance, they could use email [28] or any other existing intermittently available proxies to register.
A registration connection is sent to a registration decoy: any site that supports TLS behind the ISP relative to the client. The client completes the handshake, and sends a normal HTTPS request that embeds a ciphertext tag in the payload. Conjure leverages the same steganographic technique as TapDance to encode the ciphertext [59, §3], however we send a complete request allowing the registration decoy to respond or close the connection. The tag is encrypted such that it is only visible to the station. The Conjure station passively observes tagged flows obviating the need to mimic the decoy. In addition, more potential decoys can be used in comparison to TapDance, as there is no need to exclude decoys that have timeouts or TCP windows unfavorable for keeping connections open. In our deployment, this results in a modest increase of 25% more decoys that could be used than in TapDance.
The tag contains a public key (encoded to be indistinguishable from random using Elligator [2]), and a message encrypted under the shared secret derived from a Diffie-Hellman key exchange with the station’s long-term public key hard-coded in the client. The station uses its private key to compute the same shared secret from the (decoded) client public key, and decrypts the message in the tag. The censor, without knowledge of either the station or client’s private key, cannot derive the shared secret, preventing it from being able to decrypt the message, or even learn of its existence.
Inside the message, the client communicates a random seed, the covert address they would like to connect to, the transport protocol they will use, and other configuration-specific information, such as flags to signify version, and feature support. The client and server hash the seed to determine which specific IP address from the set of shared CIDR prefixes will be used and registered as a phantom host. It may seem intuitive to instead have the client send the specific IP address to register, but allowing the client arbitrary choice also allows the censor to register suspected phantom hosts and block them if they can be used as proxies. By using a hash of a seed, the censor would have to pre-image the hash to obtain a seed it could use to register for a desired IP address. We discuss the intricacies of phantom IP address selection in Section 6.2.
Once the phantom host IP address has been selected, the station watches for packets with the source address of the original client and the phantom as the destination, and forwards them on to the a local application handling transports. The station only forwards
packets that originate from the IP address of the registering client, making the phantom host appear firewalled off to everyone but the client. We note that censors have been observed taking over client IP addresses for follow-up probing [14]. This would allow censors to hijack registrations if they can connect within the small window between client registration and connection. However this only allows the censor to communicate to the local application that handles transports, it does not connect them to the covert address that the client indicated in their registration. Filtering by client IP and phantom IP also prevents censors from enumerating the address space before hand, as they would have to do so from every potential client IP address. Simply scanning the prefixes with ZMap [11] from a single vantage point would not reveal hosts that only respond to specific IPs (e.g., firewalled subnets).
### 4.2 Transports
Once the client has registered, packets sent to the phantom host IP address are detected at the station and passed to the local **application** which provides proxy access to the client. A viable Conjure transport has two main requirements: first, the protocol it uses with the client must be difficult for the censor to *passively detect* and block by traffic inspection. Second, the endpoint must resist *active probes* by the censor (who does not know some shared secret).
Any protocol that satisfies these criteria can be used as an effective transport with Conjure. In this section, we describe various existing protocols (OSSH and obfs4) as well as introduce our own (Mask sites, TLS 1.3 eSNI, and phantom WebRTC clients) that can be used in Conjure, and evaluate how each meet the necessary requirements. Table 1 compares the application protocols. Conjure uses a modular approach to transports because research into proxy detection is ongoing. Having a variety of supported transports gives clients a quick way to pivot and maintain proxy access even when new proxy protocol vulnerabilities are discovered.
#### 4.2.1 Obfuscated SSH
Obfuscated SSH [31] (OSSH) is a protocol that attempts to mask the Secure Shell (SSH) protocol in a thin layer of encryption. This makes it difficult for censors to identify using basic packet filters, as there are no identifying headers or fields to search for. Instead, Obfuscated SSH clients first send a 16-byte random seed, which is used to derive a symmetric key that encrypts the rest of the communication. Early versions of OSSH were passively detectable by censors, who could observe the random seed and derive the key, allowing them to de-obfuscate the protocol. These versions also did not protect against active probing attacks, as a censor could easily create their own connections to confirm if a server supports the protocol.
More recent versions of OSSH, such as those used by Psiphon [44], mix a secret value into the key derivation, thwarting the naive passive detection/decryption attack. The secret is distributed out-of-band along with the proxy’s address, and is unknown to a passive or active-probing censor. If a client connects and cannot demonstrate knowledge of the secret, the OSSH server does not respond, making it more difficult for censors to discover OSSH servers via active probing attacks.
#### 4.2.2 obfs4
obfs4 [52] is a pluggable transport used by Tor [8] designed to resist both passive detection and active probing. Traffic is obfuscated by encrypting it and sending headerless ciphertext messages. Similar to OSSH, clients can only connect to obfs4 servers by proving knowledge of a secret. Probing censors that do not have the secret get no response from obfs4 servers, making it difficult for censors to confirm if a host is a proxy. Server IPs and their corresponding secrets are normally distributed out-of-band through Tor’s bridge distribution system.
During registration, the Conjure client and station could use the registration seed to derive the obfs4 secrets (NODE_ID and server private/public keys) needed for the client to connect. The station could then launch an obfs4 server instance locally for the client to connect to as a transport using the derived secrets. If a censor attempts to connect to the phantom address (even using the client’s IP), it will not receive a response, as it does not know the registration seed used to derive the obfs4 secrets.
Using obfs4 as a Conjure application has the added benefit that servers and secrets do not need to be distributed out-of-band, eliminating one of the main ways censors currently block existing obfs4 instances [7]. Instead, each Conjure obfs4 instance is private to its registering client, and there is no public service that censors can use to discover them.
#### 4.2.3 TLS
TLS is a natural protocol for Conjure applications, because it is ubiquitous on the Internet (making it difficult for censors to block), while also providing strong cryptographic protection against passive and active network adversaries. However, there are several challenges to make it robust against censors that wish to block a particular service.
One challenge is that TLS sends important server-identifying content in plaintext during the TLS handshake. This includes the Server Name Indication (SNI) in the Client Hello message that specifies the domain name, and the X.509 Certificate of the server.
To evade censors, we must send a plausible SNI value (sending no SNI is uncommon and easily blocked—only 1% of TLS connections do not send the SNI extension [21]), and we must have the server respond with a plausible (and corresponding) certificate. Even if we manage to avoid sending either in the clear (e.g. using session resumption), censors could actively probe the server in a way that would normally elicit a certificate.
**Encrypted SNI**
TLS 1.3 [46] offers several features that may greatly simplify Conjure transport design. For instance, TLS 1.3 handshakes include encrypted certificates, removing a strong traffic classification feature. Unfortunately, TLS 1.3 currently still sends the SNI in the (plaintext) Client Hello, meaning we would have to choose a realistic domain to fool a censor.
However, there are proposals to encrypt the SNI in the Client Hello [47], though none have been implemented or deployed as of 2019. Nonetheless, if widely adopted, Encrypted SNI (ESNI) would offer a powerful solution for Conjure applications by allowing the client to use plain TLS as the transport while remaining hidden from the censor. Censors could still try to actively probe with guesses for the SNI, but servers could respond with generic “Unknown SNI” errors. If such responses were common for incorrect SNI, the censor’s efforts to identify phantom hosts would be frustrated.
**Mask Sites**
Another option to overcome active and passive probing attacks is to mimic existing TLS sites. In this application, we simply forward traffic between any connecting clients and a real
TLS site. To a censor, our phantom site will be difficult to distinguish from the actual “mask” site, making it expensive for them to block without potentially blocking the real site. TLS connections to the Conjure station will terminate exactly as connections to the mask site would, with Conjure acting as a transparent TCP-layer proxy between the client and mask site. However, this leaves the application unable to introspect on the contents of the TLS connection to the mask site, as it does not have the client-side shared secrets, and it cannot overtly man-in-the-middle the connection before knowing it is communicating with the legitimate client (and not the censor).
To covertly signal to the relaying application, the client changes the shared secret it derives with the mask site to something that the Conjure station can also derive. The client’s first Application Data packet is thus encrypted under a different secret than the client/mask site secret. Specifically, the client uses the seed sent during registration to derive the pre-master secret for the connection. The new pre-master secret is hashed along with the client and server randoms of the current (mask site) TLS connection to obtain the master secret that determines encryption/decryption/authentication keys.
The Conjure station can determine if the client did this by trial decryption with the master secret derived from the known seed shared at registration. If it succeeds, the client has proved knowledge of the seed, and the application can respond as a proxy. If not, the application simply continues to forward data between the client and the mask site, in case a client’s IP was taken over by a censor after registration. As the censor does not have knowledge of the seed used in registration, it cannot coerce the application to appear as anything besides the mask site.
**Mask Site Selection**
Selecting which sites to masquerade as must be done carefully to avoid censors being able to detect obvious choices. For example, if a small university network has a phantom host in their network that appears to be apple.com, it would be easy for a censor to block as a likely non-legitimate host. Likewise, if a phantom host at an IP address pretends to be a domain that globally resolves to a single (different) IP address, the censor could also trivially identify and block the phantom host. Several approaches are possible:
- **Nearby sites**: pick websites that are legitimately hosted in or near the network of the phantom host addresses effectively creating copies of legitimate sites. However, other signals such as DNS may reveal the true mask site.
- **Popular sites**: choose mask sites from a list such as the Alexa top site [1] list. Although it may be wise to avoid sites that are obviously not hosted in the phantom host address range, such as large companies that run their own data centers and own their own ASN. The list could also be filtered to domains that resolve to different IP addresses from different vantage points, making it harder for a censor to know if a phantom host corresponds to a domain’s IP.
- **Passive observation**: collect sites by passively observing DNS requests, TLS SNI, or certificates that pass by at the network tap. This would allow for building a realistic set of sites that are plausibly in the vicinity of the phantom host addresses that pass by the tap.
| | OSSh [31] | obf-S4 [52] | Mask Sites | TLS eSNI | WebRTC |
|------------------------------|-----------|-------------|------------|----------|--------|
| Active probe resistant | ● | ● | ● | ● | ● |
| Randomized or Tunneling | R | R | T | T | T |
| Known passive attack | [15] | [53] | - | - | - |
| Conjure implementation | ● | ○ | ● | ○ | ○ |
**Table 1: Conjure Applications** — “Active probe resistant” protocols are designed to look innocuous even if scanned by a censor. “Tunneling” (T) protocols use another protocol (e.g. TLS) to blend in, while “Randomized” (R) ones attempt to have no discernable protocol fingerprint or headers. For existing protocols, we list any known attacks suggested in the literature that let censors passively detect them. We also list if we have implemented the application in our prototype.
In practice, clients can often try multiple phantom hosts/mask sites over several attempts, as blocking the client outright may negatively impact other unrelated users behind the same network (e.g. in the case of NAT). Thus, even a censor that can block most but not all mask site usage (i.e. by employing website fingerprinting) only delays access, and doesn’t prevent it outright.
**4.2.4 Phantom WebRTC Clients.** Phantom hosts could also pretend to be clients instead of servers. This may potentially give censors less to block on, as actively probing clients commonly returns few or no open ports. A censor may also be hesitant to block client-to-client communication, as it could block peer-to-peer applications as well as many video conferencing protocols. WebRTC is a natural choice for a client-to-client transport in censorship circumvention, and is already used in existing schemes like Snowflake [23]. Conjure could also use WebRTC as the transport protocol, convincing the censor that two clients are communicating.
**5 IMPLEMENTATION**
We implemented Conjure and deployed a station at a mid-sized transit ISP tapping traffic from a 20 Gbps router. We used PF_RING to consume the 20 Gbps link, and feed it to a custom detector written in Rust. The detector processes all packets and watches for new registrations. Once a registration is detected the local application is notified via an out-of-band ZMQ [61] connection, which provides the registering client’s IP address, the seed, and other configuration information. We note that this is not along a critical timing path for proxying connections and no client packets are sent over ZMQ.
The detectors forwards all packets destined for a (registered) phantom host address to the local application via tun interfaces and iptables DNAT rules that rewrite the destination IP, allowing the local application to accept and respond to connections using the native operating system’s interface. Figure 4 shows the overall architecture of our implementation, which we describe in the following subsections.
**5.1 Detector**
We implemented our detector in approximately 1,800 lines of Rust, compared to over 5,000 lines for TapDance (excluding from both auto-generated protobuf code).
Figure 4: Station Architecture — We used PF_RING to receive packets from a 20 Gbps tap which we load balance across 4 CPU cores. The detector processes identify registrations, sending notification to all other cores via redis and to the local application via ZMQ when a new registration is received. The detector also identifies packets associated with registered flows and diverts them to the local application which handles proxying connections. The local application determines which transport the flow should use based on a parameter specified in the client’s registration and initializes a goroutine to handle forwarding. A censor trying to interfere in this connection would need to take over the client’s IP address in a precise window (after the registration but before the client connects to the phantom) and correctly guess the phantom host’s IP address (or connect to all possible phantom IPs) before the active probe traffic gets to the local application. At this point their connection will fail in a manner specific to the transport that the client specified in the registration (e.g. connecting to OSSH without knowledge of the pre-shared secret).
To achieve performance needed to operate at 20 Gbps, we used PF_RING [42] to load balance incoming packets across 4 CPU cores, which each run a dedicated detector process. PF_RING supports load balancing packets based on either their flow (5-tuple), or their source/destination IPs, which allows connections to be processed by a single process without requiring communication across independent cores.
However, in Conjure, registration connections and phantom proxy connections could end up being load balanced to different cores. In order for an individual detector process to forward phantom proxy connections to the application, it must know about the original registration, even if that registration was observed by a different core. To address this, we used Redis [30] to allow each core’s process to broadcast (publish) newly registered decoys to the other cores so they can add them to their local list of registered phantom host addresses. Broadcasting registrations across all cores ensures that each detector process sees all registrations, and can forward phantom proxy connections accordingly.
A second problem arises when considering how to timeout unused phantom proxies in the detector. When a phantom proxy is timed out, it no longer responds to any active probes. A naive implementation might simply have each core timeout unused phantom proxies after they go unused for a set time. However, this could leave one core (that sees active proxy use) forwarding packets to the application, while other cores (that do not see use) would timeout the proxy. A censor could probe the phantom proxy and observe this behavior: if the censor’s packets are processed on a forwarding core, the censor can establish a TCP connection with the phantom application. Otherwise, if they are processed on a timed out core, the censor’s packets will be ignored. Through multiple connections, the censor could use this strange behavior (of intermittent TCP response) to identify and block potential phantom proxies.
To address this issue of differing core timeouts, we implemented a new load-balancing algorithm in PF_RING to select the core based only off the destination IP address of a packet. This means that all packets sent to a particular phantom proxy address are processed by the same detector core, which allows the phantom proxy’s timeout state to be consistent regardless of what source attempts to connect to it.
5.2 Client
We created a Conjure client and integrated it with the Psiphon [44] anticensorship client. Psiphon has millions of users in censored countries, and we are in the early stages of rolling Conjure out to real-world users.
Our Conjure client is written in Golang, and uses the Refraction Networking tagging schema (Section 4.1) for registration. We note that this protocol will be more difficult for censors to observe than normal TapDance because it consists of only a single (complete) request, and the station does not have to spoof packets as the decoy during registration, only passively observe them.
We implemented support for two of the transports in our client: Obfuscated SSH used by Psiphon (Section 4.2.1) and our TLS Mask Site protocol (Section 4.2.3). Our client signals which transport it will use in the registration tag along with a flag indicating whether the client supports IPv6, allowing IPv4-only clients to derive exclusively IPv4 phantom hosts. After registration, the client connects to the derived phantom host address, and speaks the specified transport protocol, which tunnels between the client and either the mask site transport local to the station or Psiphon’s backend servers. A SOCKS connection can be initiated through this tunnel to allow for connection multiplexing.
5.3 Application and Transports
We implemented our station-side application in about 500 lines of Golang. This includes support for OSSH (via integration with Psiphon) and Mask Sites, both specifiable by the client during registration. We note that support for other transport protocols (e.g. ObfS4 or WebRTC) can be added as development continues.
5.3.1 OSSH. Our Conjure implementation includes support for OSSH through integration with Psiphon. Client traffic is forwarded to a Psiphon server by using Conjure as a transparent proxy. This symbiotic relationship provides Conjure with active and passive probe resistance, while preventing censors from being able to inexpensively block Psiphon’s backend servers individually.
5.3.2 Mask Sites. We implemented a mask site mimicking proxy, that pretends to be a mask site when actively probed by the censor.
Once the station accepts a connection for a registered flow, it initially acts as a transparent proxy to a mask site specified by the client during registration. The application parses the handshake, forwarding packets back and forth between client and mask site without modification, extracting the server and client randoms. The application attempts to decrypt the first application data record from the client using a key derived from the secret seed, client, and server randoms. We use the uTLS library [21, 41] on both the application and client to allow us to change the TLS secrets being used after the handshake.
If the decryption is successful, the application switches to forwarding (decrypted) data back and forth with a client-specified endpoint, such as a SOCKS proxy, which can provide multiple secure connections over the single connection to the phantom host.
6 EVALUATION
To evaluate our Conjure implementation, we compare its bandwidth and latency to that of TapDance in a realistic ISP setting. We used a 20 Gbps network tap at a mid-sized ISP and run both implementations on a 1U server with an 8-core Intel Xeon E5-2640 CPU, 64GB of RAM, and a dual-port Intel X710 10GbE SFP+ network interface. A typical week of bandwidth seen on the tap is shown in Figure 5, ranging from 2.4 Gbps to peaks above 17 Gbps.
6.1 Performance
We evaluated the performance of a client from an India-based VPS. Figures 6 and 7 show the upload and download bandwidth as measured by iperf for TapDance, our Conjure implementation (using the mask site application), and a direct connection to our iperf server in the ISP’s network.
TapDance must reconnect if the amount of data sent by the client exceeds a short TCP window (typically on the order of 32 KBytes) or the connection persists until a timeout (18–120 seconds). At each reconnect, the TapDance client naively blocks until a new TLS connection to the decoy and station has been established. Thus, when uploading files, TapDance has to create a new TLS connection for every 32 KBytes of data it sends, limiting its average upload bandwidth to around 0.1 Mbps due to the high overhead. In contrast, our Conjure implementation is able to maintain the same connection during large uploads, and achieves performance inline with the direct connection, over 1400 times faster.
During download-only workloads, TapDance is able to better utilize the network, but must still reconnect before the decoy times out. In our tests, we see TapDance reconnect every 25 seconds, which can negatively impact the performance of downloads or any real-time streaming applications. Again, our Conjure implementation is able to maintain a single connection and provide the maximum download rate without interruption, 14% faster than TapDance.
We also measure the latency of repeated small requests. In both Conjure (using the OSSH protocol) and TapDance we establish a single session tunnel using our integrated Pshipon client, and make 1000 requests through each using Apache Benchmark (ab). We find that our India-based VPS throttles TLS but not OSSH, making TapDance twice as slow as Conjure. We repeated these tests on a US-based VPS which does not have such throttling, and show results in Figure 8. TapDance’s frequent reconnects adds significant latency to about 10% of requests. In addition, the median latency of Conjure is about 19% faster, due to the added overhead of TLS and the complex path that TapDance data packets take through the station compared to Conjure.
6.2 Address Selection
Phantom host IP addresses must be derived from network blocks that are routed (so they pass the Conjure station) and contain other legitimate hosts (so that censors cannot block the entire network without collateral damage). Because of the large number of IPv6 addresses, even moderately-sized network prefixes have astronomical numbers of addresses: a single /32 prefix has $2^{16}$ possible addresses. Therefore, client-chosen seeds have negligible probability of corresponding to addresses that are already being used by legitimate hosts. This allows us to select phantom host addresses from network prefixes that contain legitimate hosts—crucial to discouraging the censor from blocking them outright—without worry that registrations could interfere with legitimate services.
6.2.1 IPv4
While Conjure works best with IPv6, it can also support IPv4, with some careful caveats.
First, in IPv4, there are substantially fewer addresses, allowing censors to potentially enumerate all the network prefixes that pass by the ISP station, compose the list of innocuous sites, and block other websites, as they are being summoned by Conjure. To address this, Conjure phantom hosts are firewalled from all IPs other than the client that registered them, providing a reason why the address hasn’t been seen in an enumerating scan, conducted by a censor from a single vantage point. Censors could attempt to scan the network from all potential client vantage points, by co-opting client IPs to perform scans—a behavior previously observed by the Great Firewall of China to scan for Tor bridges [14]. To prevent this, for IPv4 Conjure, we dynamically generate the TCP port of the phantom host (along with its IP) from the registration seed, which further makes exhaustive scans infeasible: a censor that must enumerate from the vantage point of a /10 of client IPs (4 million IPs) to a /16 (65K IPs) of potential phantom proxies on each of 65K potential ports would take nearly 50 years of scanning with ZMap at 10 Gbps. We note that while the use of non-standard ports could potentially be suspicious, several successful circumvention tools—including Psiphon [44] and obfs4 [52]—use random ports on their obfuscated protocols. Finally, we note that censors that whitelist either standard ports or discovered hosts from enumerations scans would over-block new services that came online after their scans.
A second problem in IPv4 Conjure is that the limited range of IPs (and ports) makes it possible for a censor to pre-image the hash used to derive the phantom address from the seed. Even with the /16 of IPs and all 65K ports, in order to find a seed for any desired address a censor needs to only test an expected $2^{32}$ possible seeds. The censor could then register a suspected address, and see if it provides proxy access. If it does, the censor learns there is no legitimate service there, and can block it. To combat this, we allow only a single client to register for a particular phantom address at a time. A censor could attempt to register all addresses in an attempt to deny proxy service to legitimate users, but this would be easily observed at the registration system, where rate limits via client puzzles or account-based fees could be enforced.
Finally, legitimate **IPv4 addresses density** is much higher than IPv6, increasing the potential for users to accidentally register seeds that derive phantom addresses corresponding to live hosts. To address this, the station sends probes to potential IPv4 phantom hosts during registration, and ignores the registration if a real host responds. Censors that try to register specific phantom proxies will be unable to distinguish if another user has registered it or a legitimate host is there, as in both cases we ignore the censor’s registration. This also serves to prevent abuse by attackers that attempt to use the Conjure station to interfere with innocuous services.
### 6.2.2 IPv6
In IPv6 Conjure address enumeration and pre-image attacks are infeasible due to a large amount of potential IP addresses. Our ISP routes a /32 IPv6 prefix, which provides $2^{96}$ potential phantom host IP addresses. However, IPv6 addresses often have long runs of 0 bits in them, and rarely use all 128-bits equally. For instance, google.com has the address `2607: f8b0: 400f: 806: : 2004`, which only has 24 bits set to 1. Censors might try to use this observation and block high entropy IPv6 addresses.
To measure and quantify this problem, we collected and analyzed 16 hours of netflow data at our ISP tap. We extracted 4013 IPv6 addresses observed in the /32 IPv6 prefix routed by the ISP (out of 32,817 total observed). To confirm the hypothesis that 0 bits are more common in IPv6 addresses, we counted the number of bits set in each address. Figure 9 shows a histogram of the number of bits set and compares it to the histogram of a uniformly random set of addresses. (The random distribution’s center is skewed from 64 due to the number of set bits in our fixed /32 network prefix.) Although these distributions are distinguishable, they do have significant overlap. Given enough samples, a censor could trivially tell if the addresses were chosen randomly or were legitimate hosts. However, a censor’s job is significantly harder, and they must tell from a single sample which distribution it comes from. The presence of random-looking addresses makes it difficult for censors to block such hosts outright.
Prior work by Foremski et al. [18] has developed models to generate likely IPv6 addresses from a set of known addresses, useful for discovering new hosts to scan given known ones. We use their
Figure 8: Latency — We compare the CDF of latency for requests between Conjure and TapDance. In each case, we have a long-lived session over which requests are being made using Apache Benchmark (ab). At the median, Conjure has 44 ms (19%) faster latency than TapDance. In addition, TapDance requests are frequently slowed by its intermittent reconnections to the decoy, as shown in the longer tail of TapDance’s latency CDF. Conjure has no such reconnects, and thus has more uniform latency. At the 99th percentile, Conjure is 281 ms (92%) faster than TapDance.
Figure 9: IPv6 Bits Set — We measure the number of bits set to 1 in IPv6 addresses in our ISP’s /32 and observed by our tap, and compare it to the Binomial distribution (Random) we would expect to see if the 96 non-network bits of each address were chosen randomly. In practice, we observe much fewer bits set. Nonetheless, the significant overlap of these distributions would make it difficult for censors to block any individual phantom hosts without collateral risk of blocking legitimate services.
Entropy/IP tool to analyze the addresses we collected. Figure 10 shows the normalized entropy of each address 4-bit nibble and the total entropy (18.8 out of 32). Nibbles that were constant across all addresses (such as the /32 network prefix nibbles) have zero entropy, while those that equally span the range of values have maximum entropy (normalized to 1). In our addresses, we observe an entropy of over 75 bits, with more entropy in the later segments of the address. While not quite the full 96 bits that uniformly random would produce, this is still a significant amount for phantom hosts to hide in.
For a specific deployment, operators should be careful to observe the distribution of addresses in the subnets they use, and possibly limit to randomizing “realistic” bits (e.g. the upper and/or last 32 bits within the given /32). As an improvement, we could also use the Entropy/IP tool [18] to generate the random IPv6 phantom hosts from the registration seed based on the Bayesian Network model created by the tool.
7 ATTACKS AND DEFENSES
In this section, we discuss several attacks a censor might attempt to either block phantom hosts from being registered or used.
7.1 Probing phantom hosts
Censors may attempt to actively probe suspected phantom hosts to determine if they are proxies or real hosts. China has been observed using exactly this technique to discover existing proxies and Tor bridge nodes [7, 14, 57, 58]. In response to China’s active probing, Tor and other circumvention tool developers have developed probe-resistant protocols, such as obfs4 [52], Obfuscated SSH (OSSH) [31], and Shadowsocks [50]. Each of these protocols require the client to know a secret distributed alongside the original proxy address. Without knowledge of this secret, active-probing censors will not receive any response from these hosts, making it difficult for censors to tell if a server is a proxy or a non-responsive legitimate host.
Obfuscated SSH Modern OSSH protocols are intended to be probe-resistant. Censors that attempt to probe suspected OSSH servers without knowledge of the secret receive no data response, making it difficult to distinguish them from other non-responsive hosts. To confirm this, we use ZMap [11] to scan over 1 billion random IP/port combinations, and sent 25 random bytes (corresponding to the OSSH handshake) to the approximately 800,000 servers that responded. We expect very few of these to actually be OSSH servers as they are simply random servers on random TCP ports. However, over 99.4% of them did not respond with any data, behavior mirrored by OSSH servers. Furthermore, 7.42% of servers closed the connection with a TCP RST after we send our random data, a response we also see with OSSH. While there may be other ways to differentiate OSSH servers from others online, our tests suggest censors could face steep false-positive rates in identifying OSSH servers with active probing.
obfs4 Unlike previous versions of obfsproxy, the obfs4 protocol is designed to be resistant to active probing attacks, requiring the client prove knowledge of a secret before the server will respond. We verified that naive active probing attacks (where we attempt to connect to an obfs4 server without knowledge of the secret and see if it provides proxy access) do not work against obfs4. In addition, although China is effective at blocking obfs3, the more recent probe-resistant obfs4 remains a viable proxy in the country.\footnote{E.g., https://metrics.torproject.org/userstats-bridge-combined.html?start=2019-06-27&end=2019-09-25&country=cn shows obfs4 clients from China successfully using Tor.}
Mask sites The censor could also attempt to fingerprint a masked site and compare it to a suspected Conjure application. For instance, if a phantom host IP responds to a censors’ probes pretending to be example.com, the censor could probe real instances of example.com on different ports and see how it responds. Then, the censor can probe the phantom host IP, and see if it responds similarly (e.g. with the same set of open ports and payloads for certain kinds of probes). To defend against this, we forward \textit{all} traffic destined to the phantom host to the masked site, including ports that
are not relevant to the proxy application (e.g. non 443). This ensures that above the TCP layer, we appear to be the mask site. However, there may be differences in TCP/IP implementations, for instance, how IP IDs are incremented, or how TCP timestamps are incremented (or supported at all) that may be different from the mask site. To combat this, we can filter mask sites by those that have identical TCP/IP stacks to ours, as we use a common Linux implementation. We also note that this attack only applies when we use the mask site as an application, and that Conjure can support other applications (e.g. obfsproxy, WebRTC, etc) that do not have this issue.
We acknowledge that perfect mimicry of the real site is likely infeasible: Houmansadr et al. [25] demonstrated the difficulty in fully mimicking known applications, showing that staying fully-feature compatible is an expensive and potentially intractable problem for circumvention systems. However, their study focuses on *application-specific* mimicry, used by circumvention tools like CensorSpoof, StegoTorus, and Skypemorph. These tools generally attempt to mimic a specific protocol used by a complex application such as Skype, where only one or a handful of official popular clients are used. Houmansadr et al. [25] show that such mimicry is difficult in practice due to the complexity and opaqueness of specifications, side protocols that applications may use, and intra- and inter-dependence on connections and other protocols.
In contrast, mask sites have the advantage that we can mimic any sites from a large set of heterogeneous real websites, making it harder for a censor to fully fingerprint and characterize *all* potential mask sites. As websites may themselves use distributed or heterogeneous server implementations, it could be more difficult for a censor to block all mask site application use. Nonetheless, it is still possible for censors to use active probing attacks to detect either protocol feature, payload size, or timing differences between mask sites and the real sites they attempt to mimic.
### 7.2 Passive identification
Censors might also attempt to use passive methods to distinguish and block communication with registration decoys or phantom hosts. For example, Website Fingerprinting [24, 51, 56] (WF) uses the patterns of encrypted traffic to identify which website a client is connected to. WF uses a classifier to label the traffic as belonging to one of several known websites, or (in some variants), an unknown or background class. Though WF is commonly studied in the context of anonymous web browsing, a censor could also use WF to detect Conjure applications by distinguishing known traffic patterns of legitimate website use from traffic generated by Conjure (unknown class). Alternatively, the censor could monitor traffic for patterns consistent with tunneled access to a set of blocked websites.
Wang et al. [53] demonstrated several effective classifiers that can passively distinguish normal traffic from obfuscated circumvention protocols including obfs3, obfs4, Format-transforming encryption [12], and meek [17]. However, despite the low false positive rate of these classifiers, Wang et al. [53] caution that the base rate of normal traffic compared to obfuscated traffic would force censors that employ such attacks to suffer significant collateral damage in degrading performance and reliability of legitimate traffic. Indeed, to date, censors have not been observed using WF or other passive techniques, possibly due to the inaccuracy of these identification techniques in practice. Even small false positive rates means blocking mostly legitimate connections, and false negatives could allow clients to retry until they gain access.
More importantly, Conjure applications offer great flexibility in deploying traffic analysis defenses; for example, traffic shaping strategies such as implemented in Slitheen [3] could be easily employed in Conjure. Conjure clients could also choose from a large set of potential applications, forcing censors to have to block access to all of them to block use.
### 7.3 Blocking registration
To make registration more difficult, censors could block TLS connections to all of the limited decoys available in a deployment. Using TapDance’s current deployment, this would involve blocking over 1500 sites. We note that such an attack would completely disable all existing Refraction Networking schemes, as none work without being able to access legitimate decoys past the station. In Conjure, this would only block new registrations, and would not impact users that previously registered. Furthermore, registrations could also occur over email, or over lower-bandwidth covert channels, such as port (or even IP) knocking past the station, that would be more difficult for the censor to block.
### 7.4 ICMP
Censors can use ping or traceroute utilities (via ICMP) to probe potential phantom hosts. Because there is (usually) no host at the phantom host address, these probes will timeout and produce no response. They might also produce “Destination Unreachable” responses from routers depending on how they are configured. We
performed a scan of 10 million IPv6 addresses in a routable /32 prefix to see if it is common to respond with such tell-tale ICMP messages for unused messages. We found only 0.016% of addresses responded with any ICMP messages (mainly “Time Exceeded” and “Destination Unreachable”).
Many legitimate hosts and routers do not respond to or forward ICMP packets, and it is common for firewalls to block traceroutes from penetrating inside networks. Thus, simply ignoring ICMP messages (or low TTL packets that might be used by traceroute) may be a viable strategy. Alternatively, we could spoof responses to convince an adversary that a phantom host is part of a particular network. However, this strategy requires careful consideration of what network makes sense for a mask site to be in. Also, the censor may try to probe for addresses around the phantom host (but still likely to be in the same network), which must also be responded to.
8 RELATED WORK
We first compare Conjure with other Refraction Networking schemes and then discuss other related work.
8.1 Prior Refraction Networking Schemes
Since 2011, there have been several proposed Refraction Networking schemes. Telex [60], Cirripede [26] and Decoy Routing (aka Curveball) [29] are “first generation” protocols with nearly identical features. These designs require inline flow blocking at the ISP to allow the station to intercept flows with detected tags and act as the decoy host for them. However, inline blocking is difficult for ISPs to deploy, as it requires special-purpose hardware to be placed inline with production traffic, introducing risk of failures and outages that may be expensive for the ISP and potentially violate their contractual obligations (SLAs).
TapDance [59] solves the issue of inline-blocking by coercing the decoy into staying silent, and allowing the station to respond instead. However, as previously described, this trick comes at a cost: the decoy only stays silent for a short timeout (typically 30–120 s), and limits the amount of data the client can send before it responds. TapDance clients must keep connections short and repeatedly reconnect to decoys, increasing overhead and potentially alerting censors with this pattern. Conjure addresses this issue and allows clients to maintain long-lived connections to the phantom host.
Rebound [13] and Waterfall [40] both focus on routing asymmetries and routing attacks by the censor. Rebound modifies the client’s packets on the way to the decoy, and uses error pages on the decoy site to reflect data back to the client. Waterfall only observes and modifies the decoy-to-client traffic, similarly using error pages on the decoy to reflect communication from the client to the station. These schemes also provide some resistance to traffic analysis, as they use the real decoy to reflect data to the user. Thus, the TCP/TLS behavior seen by the censor more closely matches that of a legitimate decoy connection. However, latency and other packet-timing characteristics may be observable, and both schemes require some form of inline flow blocking.
Slitheen [3] focuses on addressing observability by replacing data in packets sent by the legitimate decoy. Thus, even the packet timings and sizes of a Slitheen connection match that of a legitimate decoy connection. However, Slitheen also requires inline-blocking, and introduces a large overhead as it has to wait for the subset of data-carrying packets from the decoy that Slitheen can safely replace. We note that the Slitheen model of mimicry is compatible with Conjure, as we could use Slitheen as the application protocol. Despite using a passive tap, our scheme is effectively inline to the phantom host (which won’t otherwise respond).
Bocovich and Goldberg propose an asymmetric gossip scheme [4] that combines a passive monitor on the forward path from the client to the decoy with an inline blocking element on the return path. These elements work in concert to allow schemes such as Telex and Slitheen to work on asymmetric connections. This approach, however, still requires inline blocking on one direction, and further complicates deployment by requiring the installation of more components and potentially complex coordination between them. MultiFlow [34] uses refraction networking only as a forward mechanism to communicate a web request to the station, and then uses a bulletin board or email to deliver the response back. It does not require inline flow blocking as it does not modify users’ traffic at all, but it fundamentally relies on a separate data delivery mechanism, similar to other cloud- or email-based circumvention tools [5, 28].
Conjure allows a large amount of flexibility compared to previous schemes. Because we have significant degrees of freedom in choosing the specific application the phantom host will mimic or talk, our scheme can combine the best of existing Refraction Networking protocols to achieve high performance, be easy to deploy, and also be resistant to active attacks such as replaying or probing by the censor. Table 2 lists the existing Refraction Networking schemes and their features, as compared to Conjure.
8.2 Decoy Placement and Routing Attacks
Houmansadr et al. [26] found that placing refraction proxies in a handful of Tier 1 networks would be sufficient for them to be usable by the majority of the Internet population. Cesareo et al. [6] developed an algorithm for optimizing the placement of proxies based on AS-level Internet topology data. Schuchard et al. [49] suggested that a censor may actively change its routes to ensure traffic leaving its country avoids the proxies, but Houmansadr et al. [27] suggested that real-world constraints on routing make this attack difficult to carry out in practice. Nevertheless, Nasr et al. [39] propose a game-theoretic framework to optimize proxy placement in an adversarial setting, and the design of Waterfall [40] is in part motivated by resilience to routing attacks, as it is more difficult for the censor to control the return path from a decoy site, rather than the forward path.
In practice, deployment of refraction networking has so far been at access, rather than transit ISPs [20]. This may be in part because a transit ISP has a large number of routers and points-of-presence, significantly raising the costs of deployment [22].\footnote{We note that Gosain et al. [22] use an estimate of $885,000/\text{proxy},$ while Frolov et al. [20] report line-rate TapDance deployment using commodity hardware that costs only several thousand dollars.} Likewise, we expect Conjure to use address space announced by the ISP, rather than addresses relayed by it, which mitigates routing-based attacks. Depending on the size of the ISP, however, a censor may decide to block the entirety of its address space, which would incur smaller collateral damage than blocking all addresses seen by a transit ISP.
| | Telex [60] | Cirripede [26] | Decoy Routing [29] | TapDance [59] | Rebound [13] | Slitheen [3] | Waterfall [40] |
|----------------------|------------|---------------|--------------------|---------------|--------------|-------------|----------------|
| No inline blocking | ○ | ○ | ○ | ● | ○ | ○ | ● |
| Handles asym. routing| ○ | ● | ○ | ● | ○ | ● | ● |
| Replay attack resistant | ● | ● | ● | ○ | ● | ● | ● |
| Traffic analysis resistant | ○ | ○ | ○ | ○ | ● | ● | ○ |
| Unlimited Session Length | ● | ● | ● | ○ | ○ | ○ | ● |
Table 2: Comparing Refraction Networking Schemes — “No inline blocking” corresponds to schemes that can operate as a passive tap on the side without needing an inline element in the ISP network. “Handles asymmetric routes” refers to schemes that work when only one direction (either client to decoy or decoy to server) is seen by the station. “Replay attacks” refers to censors who may replay/preplay previous messages or actively probe the protocol. “Traffic analysis” includes latency, inter-packet timing, and website fingerprinting. “Unlimited Sessions” shows schemes that do not need to repeatedly reconnect to download or upload arbitrarily large content.
8.3 Avoiding Destination Blocking
Traditionally, proxies deployed for censorship are eventually identified and blocked by the censor. Several proposals have been made to carefully control the distribution of proxy addresses, using social connections and reputation [9, 38, 55]. Nevertheless, keeping this information secret is challenging; additionally, censors often employ active scanning techniques to discover proxies [10]. Refraction networking generally assumes that clients have no secret information, and instead relies on the collateral damage that would result from blocking all the potential decoy destinations. Conjure furthers this goal by creating a large number of destinations out of the dark space. A similar approach was conceptualized in DEFIANCE [32], where censored Tor clients connect to pools of addresses that are volunteered to run Tor bridge nodes. DEFIANCE also requires volunteer web servers to run specialized servers to distribute information. Unlike Conjure, DEFIANCE was not designed to run at an ISP, and involves many moving parts that present single points of failure if blocked by a censor. In contrast, Conjure has a relatively simple yet flexible design, allowing it to easily respond to censors. Another similar approach was taken by CensorSpoofoer [54], which spoofed traffic from a large set of dummy destinations. CensorSpoofoer, however, could only send information in one direction—to the client—and had to rely on a separate out-of-band channel for client-to-proxy communication. As an alternative approach, FlashProxy [16] and Snowflake [23] allow users to run Flash- or WebRTC-based proxies within their browser to allow censored users to connect to the Tor network with the potential to greatly increase the number. In practice, these proxies served a very small number of users, as compared with other Tor bridge transports.\footnote{https://metrics.torproject.org/userstats-bridge-transport.html?start=2017-01-01&end=2019-02-15&transport=!= OR=&transport=websocket&transport=snowflake}
9 CONCLUSION AND FUTURE WORK
Conjure provides a much larger degree of engineering flexibility than previous Refraction Networking schemes. Due to its modular design, different registration protocols and proxy transports can be used interchangeably by the client. The flexibility of proxy transports and simplicity of registration allows Conjure to incorporate state of the art censorship circumvention tools and resist nation-state censors.
One obvious future direction is to study new options for registration and proxy transport. For instance, while Conjure currently uses a TapDance-style covert channel for registration, we could potentially cut down on the overhead of one-time registration by using port-knocking or using a Telex-style [60] tag (in the ClientHello rather than Application Data).
**Client-side applications** Conjure provides an interesting opportunity to explore \textit{client mimicking} phantom hosts. Rather than pretend to be a server (e.g., a mask site), our transport itself could connect to a newly registered client from the phantom host address. Possible protocols could include WebRTC, mentioned in Section 4.2.4, or other peer-to-peer protocols such as BitTorrent, Skype, or Bitcoin.
**Traffic analysis** Conjure could also support applications that tradeoff performance for observability. While Slitheen offers ideal mimicry of decoys, it comes at a high cost of overhead. Conjure transports such as mask site could implement Slitheen in order to perfectly mimic the decoy site’s latency, packet timings, and payload sizes. In addition, careful choice of mask sites may allow for higher performance, as sites with more replaceable content can carry more covert data.
**Long-term deployment** Ultimately, the goal for Refraction Networking protocols is to be useful in circumventing censorship. While it has taken many years for research protocols to mature, we are excited to see schemes like TapDance deployed in practice [20]. We believe Conjure can be even easier to deploy at scale, and we hope to leverage the existing success of TapDance to place Conjure stations at real ISPs.
ACKNOWLEDGMENTS
The authors thank the incredible partner organizations that have made deployment of Refraction Networking a reality, especially Merit Network and Psiphon. We also thank the University of Colorado IT Security and Network Operations staff. This material is based in part upon work supported by the U.S. National Science Foundation under Awards CNS-1518888 and OAC-1925476.
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'A Little Bit of Love for Me and a Murder for My Old Man': The Queensland Bush Book Club
Robin Wagner
Gettysburg College
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Wagner, R. (2010). 'A little bit of love for me and a murder for my old man': The Queensland bush book club. Collections, Characters and Communities: The Shape of Libraries in Australia and New Zealand (pp. 121-142). Melbourne: Australian Scholarly Publishing.
'A Little Bit of Love for Me and a Murder for My Old Man': The Queensland Bush Book Club
Abstract
This paper addresses rural book distribution in an era before free public libraries came to Australia. Well-to-do, city women established clubs, which solicited donations of “proper reading matter” and raised funds for the purchase of books for their “deprived sisters” in the Outback. They took advantage of a well-developed rail system to deliver book parcels to rural families. In New South Wales and Queensland they were known as Bush Book Clubs.
Testimonials found in the Clubs’ annual reports provide a snapshot of the hard scrabble frontier life and the gratitude with which these parcels were received. This paper looks at the relationships forged between town and country around the distribution of books and the mechanics involved in providing this service at a time before free public libraries and bookmobiles became commonplace in rural communities.
Keywords
Queensland, Queensland Bush Book Club, bush book club, Australia, library, libraries, history
Disciplines
Australian Studies | Cultural History | History | Library and Information Science | Social History | Women's History
Comments
Originally presented at the conference Collections, Characters & Communities: The Shaping of Libraries in Australia and New Zealand, held June 26-27, 2009, at Swinburne University; later published in Collections, Characters & Communities: The Shaping of Libraries in Australia and New Zealand edited by B.J. McMullin, Melbourne: Australia Scholarly Publishing, 2010.
‘A LITTLE BIT OF LOVE FOR ME AND A MURDER FOR MY OLD MAN’: THE QUEENSLAND BUSH BOOK CLUB*
ROBIN WAGNER
‘Dear Mrs. Ford’, the correspondence begins – letters spanning the decades of the early twentieth century and addressed to the Chambers in Victory Court or the T&G Building, Brisbane:
During the floods our home was an inch out of the water and the river four miles wide. We lost heavily in cotton but the stock are alright, though they were standing in water 3 ft. deep for a day and … 8 pigs lived on the verandah for two days.\(^1\)
The drought was so bad that water was scarce and baths unknown. We had to do what we could with a wet sponge. But I missed vegetables most of all. Fruit one learns to do without, but the memory of vegetables used to torture me.\(^2\)
We certainly had a terrible experience in the cyclone. [We] lost everything but our house. The sea rose 20 feet over high tide mark and swept through our little home, destroying everything and drowning my poultry. I took the children on to a high piece of ground and put them in the flanges of a large stump while I tried to rescue my poultry. My husband stayed at the house tying down the roof.\(^3\)
It’s easy for a bloke to be pleasant at the factory … but pretty hard when he is pulling old Strawberry out of a bog or chasing the pigs out of the sweet potato patch. And calves! Have you ever heard the raucous, nerve-splitting, bellowing of an army of desperate little demons, who begin to scream at daylight and keep it up all through the hot day?\(^4\)
I’m afraid I’ve been a bit depressed because you see we mortgaged the place to feed our dairy herd and the little drop of rain last month killed most of those left.\(^5\)
One might ask what cyclones, flood, fire, drought, lost crops, and hungry calves have to do with library history. The connection becomes apparent by examining
* I am grateful to the librarians at the John Oxley Library, State Library of Queensland for their assistance and to the Faculty Professional Development Fund at Gettysburg College for supporting my research in Australian libraries and archives in 2008–2009.
\(^1\) John Oxley Library (JOL), State Library of Queensland, Brisbane, OM-78-47, Queensland Bush Book Club Records, *Annual Report (AR)* 1928.
\(^2\) JOL, *AR* 1927.
\(^3\) JOL, *AR* 1934.
\(^4\) JOL, *AR* 1939.
\(^5\) JOL, *AR* 1926.
the records of the Queensland Bush Book Club, a Brisbane-based philanthropic organization that operated a lending library, of sorts, for bush residents in the early and mid twentieth century. Mrs Ford served as the group’s Corresponding Secretary for many years, and letters detailing the hardships of life in the remote countryside ended up on her desk.
Many letters concluded with a note of appreciation for the fine work of the Queensland Bush Book Club:
My husband had to go to the township and before he could return the creek rushed into flood, cutting me off from anyone. As I was alone with my little children I knew I would have to keep vigil all night. Thanks to the Bush Book Club the horror of that night was lessened; had I not had splendid books to read I think I should have gone mad.\(^6\)
I
The Queensland Bush Book Club was already twelve years old when Ralph Munn and Ernest Pitt conducted their famous survey of Australian libraries in 1934. The questionnaires they sent out in advance of their travels were often returned with a personal plea to the Carnegie Corporation for funding. Other letters tucked into the survey forms might describe the library’s sorry condition, the town’s interest in a free public library, or an invitation to Munn and Pitt to visit. One such letter sent to Pitt and dated 18 June 1934 came from Mrs F.L. McKinnon, Honorary General Secretary of the Queensland Bush Book Club.
She begins by chiding Pitt, explaining that the ‘questionnaire hardly applies to the Bush Book Club and any attempt to answer the isolated questions which touch us, would I think be confusing.’ McKinnon goes on to explain that the Bush Book Club is ‘more or less a philanthropic effort. We – the women of the cities of Queensland, offer to the women of the country (and men and children also) the companionship of our books. We send to the Outback a circulating library, as an indication of our sympathy and understanding.’
In several paragraphs, McKinnon sets the stage, explaining that the Club circulates to the bush districts where no school of arts library exists. She explains that they send to every isolated district in Queensland, from the Southern Border to the islands in the Gulf, supplying 2,000 families. Five hundred books change hands weekly. Books last from six months to two years, constantly travelling from reader to reader and never returning. The Club spends under £40 a year on books, depending almost wholly on donations. With her letter she encloses a copy of the Club’s 1933 Annual Report.\(^7\)
This particular annual report, and the others like it held at the State Library of Queensland, offers a full accounting of Club activities and finances. Moreover, these records provide a snapshot of reading tastes (along with descriptions of bush
\(^6\) JOL, AR 1934.
\(^7\) State Library of Victoria, Melbourne, MS 9596, Box 1, Folder 17, Bush Book Club of Queensland.
life) in twentieth-century Queensland, before the advent of free public libraries. The reports are sprinkled with anecdotes about farm families, gold miners, drovers, lonely lighthouse keepers, flooding rains, pestilence, and punishing drought. One report even includes an account of a marooning on an island, complete with a crocodile attack.
Interspersed with reader requests and tales of country life are snippets of poetry and scattered quotations, on themes that reference the heroism of country dwellers. The 1933 *Annual Report* concludes with this:
We are the link between book lovers in the cities with books to give, and book lovers in the country hungry for books. We are a Voice in which the city expresses its homage to the Nation Builders and we are one of the influences at work which is breaking down the wall of suspicion between town and country.\(^8\)
**II**
The Queensland Bush Book Club founders were clearly women of means, with the leisure time for volunteer work and philanthropy. They were educated women, or at the very least readers themselves, drawn from Brisbane’s upper class. The original members came from the Lyceum Club of Brisbane, an organization consisting of university-educated women and others who shared interests in art, literature, music, science, education, and current affairs.
Miss Margaret Ogg, Chairwoman of the Lyceum, was a founding member of the Queensland Bush Book Club. She was joined by half a dozen other public-spirited women and Lyceum members, who were first inspired by a series of articles in the Brisbane newspapers in 1921 about conditions in the Outback. One particular article in the *Courier*, entitled ‘The Women of the West’, paid tribute to the pioneer women and called for a group to take up the cause of providing them with reading matter.\(^9\)
At the same time that the articles appeared in the press, Mrs Aubrey Withers, founder of the New South Wales Bush Book Club, visited Brisbane. In an interview, she drew attention to the fact that Queensland had no bush book service and remarked that even the Northern Territory was supplied with books by the Australian Inland Mission.\(^{10}\) In response, the *Courier* and the Brisbane School of Arts promised 100 books each to start a ‘library’. Mrs Ormond Smith, who later became the Club’s President, sent £5 to the *Courier* as seed money.
The Brisbane women held their first meeting on 15 November 1921 at the old Town Hall, elected officers, and by January 1922 parcels of books were dispatched to thirteen subscribers. Within a few months Townsville women joined in, creating a Northern branch. At the end of the first year they had enrolled 330 members and sent out 1,100 books.
---
\(^8\) JOL, *AR* 1933.
\(^9\) JOL, *AR* 1930.
\(^{10}\) JOL, *AR* 1930.
The object of the Club was not to compete with any of the small libraries in the country districts, but rather to be an adjunct to them, reaching out where the libraries did not circulate. The Club was non-sectarian and non-political. Its mission was to maintain a supply of good literature among the settlers in the country districts, who lacked access to a school of arts.\(^{11}\)
It is important to note, however, that the founders believed themselves much more than overseers of a lending library. Their core purpose was to brighten the lives of their country sisters and to alleviate the loneliness and dreary monotony of the bush. According to a statement in the 1932 *Annual Report*, ‘We can do nothing to improve conditions in the Bush but we can prevent the wistfulness and loneliness of a colour hungry woman, by providing her with the colour and romance and companionship of books.’\(^{12}\)
Bush Book Club publicists mention descending from the men and women who cleared the wilderness and therefore are near enough to the pioneering days to know something of the loneliness of the bush. While this declaration seems a bit exaggerated, it served to accentuate a special connection with, and sympathy for, their country sisters that the city women seemed determined to draw. The women of the Bush Book Club believed they were promoting the worth, courage, and endurance of the country. In their view, city residents needed reminders of the country’s important contributions to Australia’s well-being.
The Bush Book Club leadership maintained that one worker in the country provided the livelihood for three in the city. The distribution of books was central in expressing the respect and friendship of the cities for the country. Members of the Bush Book Club saw it as their duty to educate city dwellers. They often referred to the Bush Book Club as breaking down the ‘wall of suspicion between city and country’. The message was mixed however. On the one hand, the people of the bush were portrayed as heroic, hard working, noble, and under-appreciated. At the same time they required uplifting. This sentiment comes across clearly in the 1933 *Report*, where it is written:
Our work is to keep supplied with books those men and women who are holding the front line trenches of Australian civilization – to take to them the great world of books, to people their loneliness with friends who will cheer them in depression, comfort them in trouble, rejoice with them in happiness and urge them on to greater effort in self development.\(^{13}\)
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\(^{11}\) Schools of arts, like mechanics’ institutes, literary institutes, and athenaeums, played an important part in the life of Australian communities. Among their roles was the provision of libraries and reading rooms. They also provided lectures and adult education. The libraries were open to members who paid an annual subscription, which allowed them to borrow books. The collections in most schools of arts were primarily fiction. The ‘librarian’ in charge often doubled as custodian, secretary and billiard marker. Many schools of arts had an adjoining games room which generated income to keep the library afloat.
\(^{12}\) JOL, *AR* 1932.
\(^{13}\) JOL, *AR* 1933.
Finally, the Club women believed they were doing something of national significance in bringing to light the hardships of the men and women of the country and providing them with the comfort of books. ‘Our work is of national importance – are we not bringing town and country into closer harmony ... Is not a drought felt by the last person in the last little township as well as in the large cities?’\(^{14}\) Sympathy and gratitude were equally important motivators, along with self-improvement. The 1936 *Report* states:
It is not a pleasant thought in a young country where the man on the land is an Atlas bearing the burden of the prosperity of the towns. Thus it is that the Bush Book Club has a twofold object – to distribute books as the symbol of our friendship and to educate the people of the towns to knowledge of the country’s burdens and heroism.\(^{15}\)
To meet their goal the women crafted a well-oiled distribution system which allowed for the circulation of 500 or more books each week to 2,000 bush residents. Railways made it all possible. At the time Queensland had nearly 6,500 miles of railways, and every mile of it carried a Bush Book Club book at one time or another.
For a nominal fee of 2s. 6d. per year, country dwellers were guaranteed four parcels – each with ten books and about six magazines and illustrated papers. This was considered adequate reading for three months. Parcels went from reader to reader instead of coming back to headquarters each time. If books became worn out or lost, a subscriber would correspond with headquarters and a supplementary parcel would be sent. That way all parcels were kept to a high standard. A typical cloth-bound book would last two years, while paper-bound books had a shorter life-span.
Parcels were issued from the Brisbane or Townsville centres. A centre was later established in Ipswich. Readers passed on the books to each other through carefully mapped out travel routes. For faster readers, the Club would send additional reading matter off-cycle. The Northern and Southern District Secretaries kept lists of their subscribers along each rail route and maintained a card file in the office which listed each subscriber and their reading tastes and recorded the books they received in order to prevent duplication.
Books in disrepair or deemed too flimsy for distribution were sent to lighthouses or to various railway, road construction, forestry, and mining camps as gifts and were not part of the Club’s distribution program. The sixteen lighthouses each received two parcels a year. Worn-out books were also sent to seaside huts run by the Country Women’s Association, various missions – primarily on the northern islands – and isolated bush schools or children’s homes.
The office women exchanged letters regularly with Sister Hawkes, a bush nurse in McKinlay, who ran what could be best described as a one-woman distribution
---
\(^{14}\) JOL, *AR* 1935.
\(^{15}\) JOL, *AR* 1936.
centre in the far west of the state. She provided reading matter for workmen heading ‘farther out’ – including shearers, stock hands, well sinkers, telegraph repairmen, and itinerant agricultural workers. She wrote: ‘I have just had a crowd of shearers going a long way out for two months. They were very grateful for a bundle of reading matter as nights and weekends are long, especially since the introduction of the 40 hour week.’\textsuperscript{16} The Queensland Bush Book Club kept Sister Hawkes supplied with large numbers of books and maintained a long correspondence with her.
Book distribution by rail was harder in Queensland than in neighbouring New South Wales, where the railway ran fan-wise out from Sydney. In Queensland there were several railway systems, and they were not linked. The Club created hubs at Brisbane, Ipswich, and Townsville. Families would make their way to the nearest railway station to collect their parcel, or it would be transported by carters, private vehicles, or the postal service for the next leg of the journey.
The Queensland Government supported the Bush Book Club for the duration of its existence. During the Great Depression the annual subsidy of £800 was scaled back to £500, but the Club managed to weather this reduction by changing routes and sending less individualized parcels.
In addition to free rail transport, local carters in each of the centres carried the books from the headquarters to the railway stations without charge. For years John Burke and Company carried free on their boat, the ‘Wandana’, all parcels for the Gulf ports, lighthouses, and islands. The Club women formed a special relationship with the ‘Wandana’ crew and supplied them with their own ‘library’ so that they would have books to read on their journeys.
On the wall of the Club’s workroom hung a large map showing the territory covered by the Queensland Bush Book Club, from Birdsville in the south to Coen in the north; from the western border to lighthouses dotting the east cost. The Northern branch, with Townsville at its centre, served the territory north of St. Lawrence and west to the Northern Territory border, including the Gulf Country and adjacent islands. Their parcels went to isolated sheep and cattle properties and construction camps, and to settlers on the islands and along the coast.
The Southern region extended from the New South Wales border to St. Lawrence along the Central line to Longreach, Winton and Yaraka, west to Quilpie and Cunnamulla, southwest to Dirranbandi and Texas. A journey of over a thousand miles was not uncommon. A parcel to Burketown actually travelled 1,392 miles by rail by way of Dobbyn. Many would go six to eight hundred miles by rail and then another hundred miles or more by car. One member got her books from the closest rail depot, which was Mt. Isa, still three hundred miles from her home.
Books travelled long distances, but it wasn’t always a straight shot. A parcel going out to Gilliat travelled 414 miles by train from Townsville. Then the mailman would take it another 20 miles, where it would be carried by cart or car another 60 miles ‘to the fence’, which was then just three miles from the reader’s house.
Deliveries to the Cape York Peninsula were especially challenging. The Club considered an exchange between readers within a reasonable distance to be fifty to one hundred miles. On the peninsula the nearest neighbour could be two hundred miles from the next. In some cases mail would come by boat to a port fifty miles away and then by pack-horse. The reports from the 1950s mention deliveries by aeroplane and transport assistance from the Flying Doctor Service; but even as late as 1955 the combination of rail, motor truck and pack-horse prevailed in the Far North.
Each day in the office was a lesson in Queensland topography and geography for the city women: ‘We learn geography from our readers and the immensity of our State.’\(^{17}\) One letter accompanied by a sketch map showed the homestead A with radiating lines to three ‘nearby’ towns – 65 miles to B, 48 miles to C and another 22 miles on to D. One reader, asked to share books with the closest neighbour some fifty miles away, replied that while it might look like fifty miles on the map, the actual rail journey was 600 miles because of the absence of roads and the range of mountains that lay between them.
At its peak the Club had 2,200 subscribers. This figure represented many more actual readers, since many families were quite large. The Club needed at least 7,000 books and several thousand magazines and illustrated papers per year to supply all its readers. To keep a service like this going required capital, but not as much as one might expect. Labour was done with volunteers. For the most part, reading matter was donated. The Club seldom had to purchase books, and, when it did, costs were usually under £10 per year.
In fact the total cost of running the Queensland Bush Book Club rarely exceeded £300–£400 per year. The greatest expenses were in 1965, with £509 in earnings and £565 in expenses. While this was a net loss, the Club had a savings account balance of £1662 to handle the deficit.
The main costs were the rent of club rooms in Brisbane, Ipswich, and Townsville. There were expenses for utilities, cleaning, postage, wrapping supplies, and some cartage. The secretaries in each district received an honorarium. In the post-war period the Club paid for several affiliations, including one with the Flying Doctor Service.
Earnings came from donations, fund-raising events, and membership subscriptions. The price of a 2s. 6d. annual membership remained the same for thirty-one years. It wasn’t until 1952 that the Club raised its rate by one shilling. City subscribers could pay the same rate to help keep the service afloat, but they had no borrowing privileges.
For the most part the Club maintained a balanced budget, although there were instances of shortfalls during the Depression. The Club recorded a deficit of £12 in 1928. The 1933 *Report* spoke of a ‘serious financial deficit of £42’. But, all in
\(^{17}\) JOL, *AR* 1939.
all, the organization succeeded financially with ample donations, voluntary labour, subsidies from the railways, and cautious spending.
The Club women required a space large enough to collect and store books and organize them before shipment. They found their first home at Number 6, Victory Chambers, Adelaide Street, in Brisbane. In 1924 they changed location to the T&G Building, on the corner of Albert and Queen Streets. This is where they came to sort donations, mend worn books, wrap the outgoing parcels, pack, and socialize with each other. They divided into committees and subcommittees to accomplish their work. The annual reports listed committees devoted to covering, mending, packing, and censorship. The reports further noted that the women were ‘assisted by a number of girls’. This was a female-run organization.
Preparing the packages for shipment was a social activity. One can imagine the women gathered at a large table cutting out little pictures, in something akin to a scrap-booking party. Parcels were meant to be as attractive as possible. One annual report mentions scissoring out small illustrations and pasting them on the brown paper parcels:
We are very strongly of the opinion that the neatness and trace of personal care are valuable evidence to the Outback that the city is sincere in its admiration and that the understanding between town and country, [that] we are doing our best to foster, contains no ignoble trace of condescension. The Bush Book Club is a friendly gesture from one book lover to another.\(^{18}\)
Bush Club officers were successful in soliciting donations of supplies. The reports consistently thank various local merchants and banks for twine, wrapping paper, envelopes, writing pads, and the like. One gets the sense that there was a free flow of women in and out of the offices, attending to their assignments, perusing the book donations, and socializing among themselves. It was here that they most likely planned their teas, fêtes, card parties, and other fund-raising activities and interacted with community members who brought in donations.
The office was also the location of the annual Book Day, where the community was invited for refreshments and asked to bring book donations. It is worth noting that the women of the Bush Book Club set a high standard when it came to the condition of donated books. They praised Book Day donors for their generosity, on the one hand, and scolded others, calling them ‘unpleasant people who clear their book shelves of rubbish and brightly remark “That will do for the Bush Book Club.”’ A book’s appearance was important for the message it conveyed: ‘Books are our ambassadors for the creation of a better feeling and deeper understanding between town and country and we would not have them tattered in appearance or mean in spirit.’\(^{19}\)
\(^{18}\) JOL, *AR* 1929.
\(^{19}\) JOL, *AR* 1936.
The Club continued to operate out of the T&G Building until 1942. It was ejected from this location without much warning, possibly because the space had been requisitioned for war-related work. One writer in the 1943 *Annual Report* refers to a ‘frenzied search’ for new headquarters. It ended up back at Victory Chambers, where it remained until 1964.
While the Club rooms offered a gathering-place for the city women to come together and sort books and wrap parcels, another important part of their mission was to be out and about in the community, seeking donations and raising funds to keep operations going. First there was an array of private garden parties, normally at the home of a Club member or a well-connected citizen of the community. Bridge and mah-jong parties were frequently mentioned.
The parties and card games were probably private affairs, invitation only, hosted by a member for close friends and associates, rather than a community-wide event. Other activities, such as exhibitions and fêtes, were most likely open to the community at large. The fêtes often brought in £50 or more. A bridge party might garner £10.
Social occasions were also hosted by their patroness, the wife of whatever governor was in office at the time. For example, Lady Blair held a musical at Government House which netted the Club £11. Other regular contributors included the Walter and Eliza Hall Trust (a Sydney-based charity), the Rotary Club, and the *Courier*. The Victoria Leagues of Edinburgh and Glasgow sent books.
The Club hosted Book Day each June. It was partly a fundraiser and partly a thank-you reception for supporters. Club rooms were open all day, and donors were encouraged to drop by for a cup of tea and a biscuit. A typical Book Day appeal brought in 1,500–2,000 books and 500 magazines and provided the organization with good publicity.
Other groups ran book drives on behalf of the Club, including the Lyceum Club, the Victoria League of Brisbane, the Brisbane Club, and the Rotary Club. Sometimes private citizens had book parties at their homes which might net 150 books. Other charitable groups arranged athletic tournaments to benefit the Club. Members of the various committees, and particularly Club officers, were expected to raise at least £2 personally. This might add up to another £50 for the coffers.
Fundraising had its ups and downs over the life-span of the Club. It fell off during the Depression and again during World War II. In 1941, for instance, the Bush Book Club made no public appeal, because they did not want to compete with other war-related charities. Citizens who ordinarily donated to the Club instead sent their used books to organizations collecting reading matter for soldiers. Wartime shortages meant an increase in book prices. Many people stopped buying books for themselves and therefore did not have volumes to donate.
By the mid-1940s book donations began coming from sources other than individuals. Schools of arts offered their discards. Reports from the 1950s mention donations from public libraries. The Club also became the beneficiary of estate gifts, which might net 400–500 books or small amounts of cash.
With cash and books in hand, the women of the Queensland Bush Book Club set about distributing the precious volumes to eager rural readers. The annual reports provide a vivid account of conditions in the Queensland bush and offer details of the pioneers' daily toil. Excerpts from readers' letters generally filled one or more pages of each slim report and were often a litany of trials and tribulations.
Weather was a constant theme. During the wet season recipients in the North were often cut off for three months or more at a time. As late as 1951 the Club got this letter: 'This is our first complete mail for ten weeks. All through the wet our only mail has been brought by a pack-horse which, of course could only carry letters and small parcels. How we are looking forward to a good read.'
When parcels did make it through, they were often casualties of the weather. 'I am so sorry the books were damaged. Our house was blown over in the cyclone and all the books were soaked with rain', wrote a correspondent in 1946. Another wrote of coming home to find water five feet deep had been in the house 'and everything smelt and looked just awful, including your books, which we will try and clean.'
In some parts of Queensland flooding was a way of life: 'We have been deluged and flood-bound having missed eight mails. The dam broke its banks; I was awakened at 2:30 a.m. and told to get out quickly as water was 2 foot high in the house.' Another testified: 'All our dams were washed away and half our old home with its contents floated away like corks. But we are well and ... will get the books in as soon as possible.' Another said: 'Your parcel arrived just prior to our having 101½ inches of rain – some luck, eh?'
If it wasn't water it was drought: 'Our selection has not had enough rain to fill a water tank for seven years.' Lack of rain forced many a homesteader off the land. The 1924 Report states: 'In November and December we lost a number of readers whose grit and determination had been defeated by drought.' In 1928, 'Drought has driven many men off the land and the large group in the Boulia district, once fifty members strong, has been almost entirely dispersed.'
For those who remained it was a physically demanding existence. Some women lamented that bush fires kept them too exhausted to read. Another wrote: 'We have no heart for reading with stock dying all around us.' Yet another observed: 'We
---
20 JOL, AR 1951.
21 JOL, AR 1946.
22 JOL, AR 1956.
23 JOL, AR 1954.
24 JOL, AR 1956.
25 JOL, AR 1936.
26 JOL, AR 1928.
27 JOL, AR 1924.
28 JOL, AR 1928.
29 JOL, AR 1952.
are too tired after a day of scrub-cutting to do anything but fall into bed.\textsuperscript{30} Others detailed the hardships of caring for a large family:
I must give up my membership as I have a new baby to care for, making five children under six years of age. We are living in caravans, camping on the job, dam sinking and I have nowhere to keep books and no time to read. I have to teach correspondence lessons to the eldest and cook for several men as well.\textsuperscript{31}
A woman wrote from a mining camp:
The club is a genuine comfort to me. I get so little time to myself that I have kept the parcel nearly a year. I am sorry to have to tell you that I have to work so hard that it is very difficult to do much towards learning the children their spelling. I have so much sewing to do, making shirts and trousers for the miners and mending the bags, the smallest hole in the bags and the tin would run out in no time, much the same as rice would do.\textsuperscript{32}
The monotony and isolation were real, and books were often a woman’s only company. One woman reported that she had not seen another woman in eleven months. Another wrote to say that she was eighty miles from the railway, had to travel ten miles to meet the mailman, and was weeks at a time alone with children. She expressed her appreciation for every aspect of the parcel, right down to the wrapping paper, which she ironed out and read. This letter came from the North:
The mailman lost his horse and we didn’t get the parcel for three weeks after it had been sent. The men and the children don’t seem to mind these delays but I was sick with disappointment [...] I love human companionship and sometimes feel the complete isolation terribly.\textsuperscript{33}
Another reader described the Bush Book Club as one of the ‘kindest and best thoughts’ that have ever happened: ‘It is very lonely when one has nothing to read and nothing to think of but starving sheep. You see a book takes you out of yourself and leaves you something to think of afterwards.’\textsuperscript{34} The arrival of a parcel was a break in the drudgery of women’s lives. One reader wrote:
I am terribly tired tonight but I must tell you about the arrival of my parcel. I had to take three small children and the washing a mile and a half to the dams, as all the house tanks are dry. I washed and watched the children and when I returned, the untidy house met my gaze. The three children were tired and oh so dirty … The unwashed breakfast things looked so hopeless, and I was pretty tired of it all. Then your parcel came and I just sat down in the middle of the mess and read \textit{Punch} and
\textsuperscript{30} JOL, \textit{AR} 1952.
\textsuperscript{31} JOL, \textit{AR} 1954.
\textsuperscript{32} JOL, \textit{AR} 1924.
\textsuperscript{33} JOL, \textit{AR} 1924.
New York Life – thank you, thank you for including them – until the world looked bright pink.\textsuperscript{35}
The country dwellers may have been isolated, but that did not mean they were uneducated. Australia in the early twentieth century had an impressively high literacy rate.\textsuperscript{36} Many of the ‘pioneers’ had come from towns with bookshops and a school of arts. They carried their habit of reading into the bush.
The subscribers were both men and women. Their children might have been enrolled in correspondence school or taught by their mothers. Reading had both recreational and educational value. Judging from their requests, many bush residents were well read and had wide-ranging tastes, from popular novels and adventure tales to more serious books.\textsuperscript{37} They wanted both Deadwood Dick and the classics. A notice board in the Bush Club office posted a ‘wanted’ list for unusual titles, and a waiting list for those in high demand. H.G. Wells’s \textit{Outline of History} was always top of the waiting list.
A reader requested Dante’s \textit{Divine Comedy} in English, French or German, adding that, if the Bush Book Club had books in ancient languages, he found Greek much easier to read than Latin. Another asked for translations of the French and Russian classics. Poetry was popular, and there were regular calls for Keats, Shelley, Burns, Tennyson, T.S. Eliot, and Shakespeare.
As a counterpoint to their daily lives, subscribers asked for romance, adventure, and mystery. ‘I enjoy a murder; I like a blood-stained corpse in the butler’s pantry’\textsuperscript{38} they would write. Not surprisingly Conan Doyle, Agatha Christie and Edgar Wallace were much in demand.
Ethel Dell’s popular romances and Elinor Glyn’s more saucy women’s fiction topped the list for subscribers who requested ‘Love stories please – because you get all the other things in real life – but not love stories.’\textsuperscript{39} There were also readers who
\textsuperscript{35} JOL, \textit{AR} 1926.
\textsuperscript{36} The Australian Bureau of Statistics, \textit{Yearbook Australia}, 23 (1930) p.319 quotes data from the Census of 1921: ‘From 1871 to 1921, the proportion per 10,000 of the population of Australia able to ‘read and write’ advanced from a little over 6,000 to nearly 8,500, while that of those able to “read only” fell from about 1,100 to under 30.’ \textit{Yearbook Australia}, 37 (1946-7) pp.226-27 explains that ‘The Census and Statistics Act 1905–1938 specified Education as a subject for inquiry at a Census, but does not indicate the nature or range of the information to be furnished. The Census and Statistics Act of 1946 … provided for the omission of read and write, but under the system of compulsory education the number of persons in Australia who reach maturity without being able to read and write is very small, and this question was omitted at the 1933 Census.’ \textit{Australians, Historical Statistics} (Sydney: Fairfax, Syme & Weldon, 1987), p.339 has a bar graph comparing census data from 1861 and 1921 on children aged 5-14. In 1921 about 1 in 10,000 Australian children were unable to read. These figures do not include indigenous people, who were not counted until 1971.
\textsuperscript{37} Edward Gibbon (1737-1794), \textit{Decline and Fall of the Roman Empire} was among the most frequently requested titles.
\textsuperscript{38} JOL, \textit{AR} 1947.
requested a combination: ‘Please send a little bit of love for me and a murder for my old man.’\textsuperscript{40}
The Club supplied literary classics by authors such as Dickens, Tolstoy, and Cervantes. Alexander Dumas, John Galsworthy, Robert Louis Stevenson, George Bernard Shaw, and Sir Walter Scott were much in demand. Popular British novelists dominated, more so than American writers. On the request list were A.E.W. Mason, Ian Hay, W.W. Jacobs, Arnold Bennett, May Sinclair, Mrs Henry Wood, P.G. Wodehouse and H.G. Wells. Louisa May Alcott, Ernest Hemingway, and Zane Grey topped the list of American authors.
The Club also dispatched plenty of non-fiction – mainly history, travel, elementary science and nature books. Captain Cook’s Voyages were popular, as were all books on exploration. Bush residents asked for books on Greek, Roman, and Egyptian gods.
John Arnold, in his essay on non-fiction publishing in the first half of the twentieth century, describes the popularity of certain genres of non-fiction, particularly natural history and locally published writings on the Outback. Authors included Donald Macdonald, Thistle Harris, and Charles Barrett. Even more popular were the historical and travel books of Ion Idriess, Frank Clune and Ernestine Hill.\textsuperscript{41}
Book Club records show that Idriess’s works were much in demand. Requests for \textit{Flynn of the Inland} and \textit{The Cattle King} appear frequently on the waiting list. One reader wrote to the Club: ‘Please give me any Australian novels dealing with the outback. I want to learn all I can about the country I am beginning to love. I have just read \textit{Flynn of the Inland}. It is such men as he who make Australia a great nation.’\textsuperscript{42}
In their study of rural reading in post-war Queensland, Denis Cryle and Betty Cosgrove discuss the popularity of Australian literature and maintain that rural readers – at least the ones they interviewed – were drawn to local authors. The rural readers in their study recalled series like the Billabong books and Digit Dick adventures as important childhood reading. Many identified strongly with Australian works, more so than with British and American, and cited Rolf Boldrewood, Banjo Paterson and Henry Lawson as authors who were read aloud in their country homes.\textsuperscript{43}
This identification was borne out by Club correspondence, where a subscriber wrote: ‘We are hundreds of miles from a library. Our choice of books is non-fiction and travel chiefly, but actually we read anything and devour Australian books.’\textsuperscript{44}
\textsuperscript{40} JOL, \textit{AR} 1953.
\textsuperscript{41} John Arnold, ‘Reference and Non-fiction Publishing’, in \textit{A History of the Book in Australia, 1891–1945: A National Culture in a Colonised Market}, ed. by Martyn Lyons and John Arnold (St. Lucia, Queensland: Queensland University Press, 2001), pp.282–97.
\textsuperscript{42} JOL, \textit{AR} 1951.
\textsuperscript{43} Denis Cryle and Betty Cosgrove, ‘Rural Reading or Reading Rural: Everyday Print Culture in Post-War Queensland’, \textit{Queensland Review}, 8 (2001), 55–64 (p.60).
Besides Ion Idriess, the Club’s other commonly requested Australian writers were Walter Murdoch, Ethel Turner, Kylie Tennant, and the poet George Essex Evans.
Surprisingly absent from the record were appeals for practical books. One might have expected requests for books on agriculture, machine repair, livestock management, mechanics, or other useful arts. Only one such request stands out. A boy interested in motors and engines was sent a steady supply of *Popular Mechanics* magazines over the years. He later wrote that he had secured a position in a country-town garage and sent the Club his first pay cheque in appreciation.
Sometimes the advice readers were seeking went beyond the literary recommendation. In fact, Mrs Ford may have been one of the first reference librarians, judging from the range of questions that came her way. She always tried to help her readers. One wanted to know how to adopt a child. Another requested directions on how to weave a basket from ornamental reeds. A young man asked for a recipe for strawberry jam. She found him one. He responded gratefully and then asked if she might put him in touch with ‘a suitable young lady about 21’.
Club women often referred to themselves as ‘guides, philosophers and friends’ to those in the country. In terms of guidance, they saw it as their responsibility to carefully screen all the books they sent out. A censoring committee was designated to remove books considered unsuitable. Their guidelines were to weed out anything ‘objectionable or too sophisticated. For our books must pass the test of mother and father, and growing boys and girls.’\(^{45}\) They must be healthy and wholesome.
This moral overtone was in keeping with the prevailing attitude of the day. In her work on literary censorship, Deana Heath discusses in detail the pervasiveness of Australian censorship from 1904 onward. Various forms of censorship were sanctioned by the government and led by the Department of Customs. Any work that unduly emphasized matters of sex or crime or that might encourage depravity was banned. This could include medical books displaying body parts, books on preventing conception, information on abortion or miscarriage, or novels with sexual scenes or references.\(^{46}\)
Originally directed at imported, mostly British, literature, censorship soon expanded to include new Australian literature with sexual themes. As Heath explains, ‘for many years the system kept out knowledge of what was going on elsewhere in the world, particularly in relation to changing notions of sexual morality and alternative political models.’\(^{47}\) The women of the Bush Book Club were simply following the conventions of the day.
Morality was not the only grounds on which to censor a book. The Club women took pride in their elevated literary tastes and were determined to send out ‘only the best literature’. Reports mention that when putting together a parcel one should
---
\(^{45}\) JOL, *AR* 1924.
\(^{46}\) Deana Heath, ‘Literary Censorship, Imperialism and the White Australia Policy’, in *A History of the Book in Australia, 1891–1945*, pp.69–82.
\(^{47}\) Ibid., p.82.
choose ‘better reading’ first, followed by romances, thrillers, and westerns. At a time when trade unionism, labour unrest and Communist-party activities were increasing in Queensland cities and towns, the Club made sure that writings on such themes were removed.
Book Club officers disparaged certain unnamed Australian authors, calling their works ‘neurotic emotionalism’, their plots ‘desperate Russianized situations’, and their pages filled with ‘festerling human hates’. They commented that the socialist plots of new Australian fiction writers bore no similarities to the real lives of noble country readers.
IV
With Club officers actively censoring reading matter one wonders whether country readers were satisfied. Did the Queensland Bush Book Club give country dwellers what they wanted? Or was there a disconnect between what the readers desired and what the Book Club provided?
Judging from the membership renewals year after year, these were satisfied subscribers. Their numbers stayed strong at 2,000 or more until World War II. When a family dropped out, it was less a matter of displeasure and usually the result of economic hardship. One subscriber wrote: ‘Strange as it may seem I am not able to pay the subscription and cannot ask for more books. We have lost our crops through hail three years running and I simply cannot ask my husband for money.’
Others could not make a living in the country and returned to towns. In some years it would be reported that 300 subscribers left the country, but another 300 had not only taken their place on the land but also joined the Book Club. A letter excerpted for the 1950 Annual Report reads: ‘I have just taken over this farm and written on the wall of the house I found your address. Would you tell me please how to become a member?’
Robust membership was just one sign of satisfaction. Another was the longevity of the readers. The Queensland Bush Book Club served multiple generations of families over many years. For example, in 1947, upon the death of an elderly subscriber, the record showed that she had received 96 parcels in her lifetime – more than a thousand books and hundreds of magazines and papers. Her son was a member, and his son had just received his first children’s Christmas parcel from the Queensland Bush Book Club. They represented three generations and twenty-six years of membership.
Another woman, writing to cancel her membership in 1964, indicated that the family was moving to England. The family had received their first parcel in 1928. In another testament to longevity a subscriber observed:
---
48 JOL, AR 1939.
49 JOL, AR 1939.
50 JOL, AR 1950.
The children are now grown up and earning their living. Many thanks for the books, which for years lightened our labors and helped us over many a dreary wet day and which taught the children the King’s English much better than any local association could do. One of them has done a lot of broadcasting and another has written poetry – and been paid for it too! I do not think their literary tastes could have been fostered in the bush, had it not been for the parcels of books to which they turned on return from the cow yard or cotton field.\(^{51}\)
The correspondence also suggests that the Club also met its goal of bringing cheer to the bush and helping to alleviate loneliness: ‘I have been eight years in the Bush without seeing a town and for two years have not been beyond the paddock fence, but I can go round the world with Curle, enjoy palaces and courts with Lord Frederick Hamilton and live the love story in Ethel M. Dell’s novel.’\(^{52}\)
Another question that bears asking is how did gender, class, and race figure in the Queensland Bush Book Club story? While bush subscribers were both men and women, the bonds that formed were primarily among women. The majority of the correspondence was between women. Support of one’s sisters in the bush was a stated goal. Much emphasis was on women’s loneliness, toil, and helping to lift that burden through books and friendly letters.
The Corresponding Secretary, Mrs Ford, bore a large measure of this responsibility. She was the chief correspondent with the women in the bush and served in this role for thirty-three years. The original aim of her position was to communicate about the parcels, but these communiqués invariably turned into a body of sociable correspondence that went on for decades. Women remarked that they felt she was their friend, and, by extension, so were all the women who volunteered in the Club.
Ford wrote several hundred letters annually to subscribers in the early years. By 1939 the hundreds of letters had become more than 1,900 annually and remained at that level until she retired in 1957. She communicated on a personal basis on topics that mattered to women. A paragraph in the 1927 *Annual Report* amplifies the gender connection:
An over wrought woman can write to the Secretary and feel better for unburdening her mind; a proud mother will recount little Willie’s villainies with gusto, or send a snapshot of jolly boys and girls. There is a sense of belonging to one another between the women of the Committee and the women of the Outback, and should a reader demand advice on knitting jumpers, or the best medical book for a young mother, or
\(^{51}\) JOL, *AR* 1939.
\(^{52}\) JOL, *AR* 1930. ‘Curle’ probably refers to British writer Richard Curle (1883–1968). Primarily known for his scholarly writing on Joseph Conrad, Thomas Hardy, Robert Browning and other authors, Curle also wrote a number of adventure tales, including *Wanderings: A Book of Travel and Reminiscence*, 1920; *Into the East: Notes on Burma and Malaya*, 1923; *Unchanging Fez*, 1925; *Caravansary and Conversation: Memories of Places and Persons*, 1937; and *The Atmosphere of Place: Little Pictures from Five Continents*, 1945.
what creepers to grow on a veranda, someone will be able to give expert advice ... And there is always a member of the Committee handy and willing.\textsuperscript{53}
While arranging the delivery of a parcel, Mrs Ford might at the same time drop a note enquiring about a child's health. Subscribers complimented Ford on her personal touch: 'You write so wonderfully that I had got into the habit of thinking I was the one and only recipient of your beautiful kindly communications', wrote one woman from the Outback.\textsuperscript{54} Ford and the other office correspondents sought to create a personal connection. A country woman writing about a long-anticipated visit from her sister ended with: 'I believe I've told you everything we did, and said, and I don't even know that you'll be interested, but somehow I feel you will, because you remembered the name I gave my baby.'\textsuperscript{55}
While the bonds between women were obvious, there was also an unmistakable class division. Well-to-do city women in Brisbane and Townsville had the leisure time to attend garden parties, orchestrate fundraisers and select the best literature to uplift the downtrodden bush dwellers. These women occupied a higher status than their country sisters, which, in turn, entitled them to attach a kind of heroism to the lives of country folk. Readers of the Bush Book Club's \textit{Annual Reports} were constantly called upon to demonstrate their admiration and appreciation for the women pioneers.
Occasionally comparisons were made that suggested that the women in the city were a mere generation removed from the hardships experienced by country dwellers - in short, they were all really the same. In actuality, however, their country sisters probably would not have been welcome at a Bush Book Club card party or musical at Government House. Despite the rhetoric of appreciation, the lines were clearly drawn: one group of women (city) was helping the other, less fortunate (country). One group had means and the other did not.
In terms of race, the Queensland Bush Book Club was a group of white city women helping predominantly white settlers. This was not a book-lending service for the Aboriginal population. A call for book donations emphasized that 'We want the best you have for these magnificent Australians – men and women carrying on often in the face of fearful odds ... and remaining cheery, brave, determined and so grateful for friendships'.\textsuperscript{56}
It is important to note, however, that these were friendships with magnificent \textit{white} Australians. The Queensland Bush Book Club was principally interested in serving the white pioneers and white residents of the bush. In fact, at times it appeared that book-lending was aimed at rescuing white settlers from the loneliness of being surrounded by Aborigines. In one report the secretary writes: 'To be
\textsuperscript{53} JOL, \textit{AR} 1927.
\textsuperscript{54} JOL, \textit{AR} 1928.
\textsuperscript{55} JOL, \textit{AR} 1938.
the only white man amongst hundreds of a coloured race, is to appreciate the Bush Book Club to the full.\textsuperscript{57}
Aborigines got the discards. The tattered books were sent to the missions. One report explained that cases of cast-off books were packed every month for the islands north of Thursday Island including Darnley, Yorke, Moa, Murray and Badu: ‘In most cases there is only a handful of whites with a coloured population of several hundred.’\textsuperscript{58}
When books went to Aboriginal settlements they were gift parcels, not loans. Recipients of ‘gifts’ paid no subscription fee and were expected to be grateful for the donated packages filled with discards. The 1954 \textit{Annual Report} mentions a large number of parcels going to deserving organizations: ‘Among these are the Church of England Missions on Cape York Peninsula at Lockhart River, near Portland Roads, also the Mitchell and Edward Rivers in the Gulf’.\textsuperscript{59} Deliveries to Aboriginal missions at Coen, Croker Island, Weipa, Mapoon, and the Palm Islands are also referenced.
When it came to serving Aborigines, the annual reports conveyed a patronizing tone. One account described the delivery of book parcels to the Croker Island Mission and receiving a hand-made shell brooch from the appreciative native children.\textsuperscript{60} Mrs Ormand Smith reported that gift parcels sent to isolated bush schools were met with a ‘special gratitude’.
For most of the Club’s history the Aboriginal population was ignored, if not excluded. When they were recipients of the Bush Book Club’s largesse it was in the form of discarded materials or books carefully selected as appropriate for their presumed interest and intelligence.
\section*{V}
From World War II onward the Queensland Bush Book Club’s membership was in decline. The Committee vowed to carry on despite the war; still, membership was in free fall. In 1941, 1,100 families were on the roster; by 1944 it was 1,000. Country men left for war, and their women and children moved in with relatives in town. The Club curtailed its requests for donations so as not to compete with war charities.
The 1942 \textit{Annual Report} noted that evacuation, illness and war work were taking a toll on the Committee. The women who usually came to the Club offices were now assisting the war effort in activities ranging from Red Cross service to civil defence work. The offices were open less frequently. When the Townsville Corresponding Secretary left, there was no volunteer to take her place. Mrs Ford assumed all secretarial work for the North and South Districts.
\textsuperscript{57} JOL, \textit{AR} 1930.
\textsuperscript{58} JOL, \textit{AR} 1930.
\textsuperscript{59} JOL, \textit{AR} 1954.
Petrol rationing affected deliveries. John Burke and Company, which had been carrying parcels for free since the beginning, had to withdraw its concession. The difficulty of getting tyres and petrol put other carters out of business. Readers living a long distance from a train depot had no way to get their books from the station. In addition book donations dried up.
Membership inched above the 1,000 mark in the 1950s but never regained its pre-war strength. When the Queensland Railways closed a number of branch lines in 1960 the Club lost more subscribers. Membership was in a slow decline that would last until the Club folded in 1967.
In the post-war decades telephones and televisions helped put a dent in isolation. New regional libraries were established in country districts, and the Queensland Bush Book Club surrendered those readers, recognizing that they had helped foster a love of reading and in all probability had facilitated the formation of those libraries.
Other readers naturally fell away either because of old age or new mobility. A member of thirty years wrote in 1954: 'Thank you for many happy hours of reading I have enjoyed as a member of the Bush Book Club, especially in the early years when I was forty miles from a neighbour. We have sold out and are going to live in town so I will not want the books again.'
A man of 89, who also had been a subscriber for over thirty years, wrote to say he was getting too old to read. A reader of twenty years wrote to say he was going into a home because he could no longer live alone.
Membership was declining, and so was the number of volunteers at the three Centres. The women who had begun the Queensland Bush Book Club were an increasingly elderly population. They retired. They passed away. The annual reports of the 1950s and 1960s read like obituary columns. There was no group of young women with leisure time to replace the original volunteers. The sense of a close-knit social club was all but gone. When Mrs McKinnon and her successor, Mrs Goldsmith, stopped writing the annual reports (in 1948 and 1960 respectively) the reports took on a new, business-like tone. The stories of country life and reading tastes, the snippets of poetry, and inspirational quotations disappeared from the printed record.
In the post-war years, the method of book distribution also underwent change. While the original circulation model of passing parcels among bush families was still employed, there was an upsurge in groups making appeals for the Queensland Bush Book Club to send them books that they could keep. These included the Red Cross, the Irrigation Commission, industrial farming settlements, hostels, prison farms, children's homes, and other groups hoping to establish their own on-site libraries.
The Club's lending practices in the final years signalled a step towards encouraging community libraries. In 1951 it was recorded that
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61 JOL, AR 1954.
We have recently made a new contact which we feel is important and hope next year to enlarge in scope. For the past year we have been sending books to a tutor on a large Company owned station in South Western Queensland. First it was only children’s books which were asked for … to encourage a love of reading in the young ones. Gradually we have added magazines for both the men and their wives and these are so much appreciated that the owners are establishing a staff library. Our packages are still going out for we feel there is need for all. We are gratified to think that we have been pioneers of something which may grow to much greater proportions.\(^{62}\)
The last *Annual Report* in 1966 stated:
We are conscious of the fact that the number of our subscribers is not increasing and that possibly the years of our usefulness to the country people will come to an end. Better roads, the establishment of many regional libraries in the country, as well as cars, radio and telephone all help remove the isolation of earlier years, and though loneliness will still exist, communication in most areas is becoming easier and more frequent.\(^{63}\)
In early 1967 the Club disbanded.
**VI**
The lasting effect of the Queensland Bush Book Club was fourfold.
First, it reached an otherwise ignored constituency at a time when there was no other book-lending service to remote communities. There were no government-supported libraries in these remote rural areas until well into the 1950s. The Queensland Bush Book Club filled this void. It set about to identify isolated families and distributed thousands of books – growing from seventeen subscribers and 100 books to supplying 25,000 books a year.
Second, it forged a bond between women of the country and women of the city. Perhaps it wasn’t the two-way street that many of the women imagined, but the women in Brisbane and Townsville – those on the receiving end of the correspondence – did learn much about conditions in the bush. It is equally apparent that the women in the Outback formed a strong bond with the city, judging from the voluminous correspondence attended to by Mrs Ford and the other corresponding secretaries. Friendships were created and nurtured, even if primarily by mail. ‘I would like to thank you for your letters and your books’, began one reader. ‘My husband’s mother must have been one of your first readers and she often spoke of the Club. It added such an interest to her life. I think she was the finest type of pioneer.’ The writer goes on to say that her mother-in-law, who was born near Cunnamulla, probably did not know a dozen women intimately in all her life. She went to Brisbane only
\(^{62}\) JOL, *AR* 1951.
\(^{63}\) JOL, *AR* 1966.
twice. She adds: ‘But please don’t pity her, because she was the happiest woman I know.’\textsuperscript{64} She continues:
One parcel you sent almost at the beginning had three books which still contained the name of the giver with a little message from her. It was the name of a well known Brisbane woman, and my mother-in-law always felt as though she was a personal friend. When the Brisbane papers came she would search the social columns for news of her friend, and was happy for the day if she found her dress described at the races or at a party. I often begged her to write to the lady, but she was too shy. In some of the books I notice that the names of the original owners have been cut out. Do leave them in in the future because some lonely woman may make a friend in the same way.\textsuperscript{65}
Third, the Queensland Bush Book Club helped lay the groundwork for the establishment of public-library service in rural areas. In a very real way the Club cultivated a reading habit over the course of forty-six years, touching thousands of individuals. It hooked people on reading and continued to serve them until the formation of regional libraries in country centres.
Over time, the Club women came to regard themselves as pioneers, whose work would eventually be taken over by local libraries. In its final years the Queensland Bush Book Club worked closely with the Public Library Country Extension Service, especially when it had enquiries for books it could not supply. When the Club closed shop in 1967, it left behind a more literate rural constituency ripe for the introduction of state-supported libraries.
Finally, judging from the excerpted correspondence, the Queensland Bush Book Club had an impact in upgrading people’s cultural experience. Life in the bush was dreary, monotonous, and extremely hard work. There were no recreational opportunities for most of these families other than reading. The Club filled this emptiness. Country people did not travel. Most of them had never been to Brisbane. Their travel was in the books provided by the Club.
‘I have to thank you for the wonderful holiday’, began one reader. ‘I haven’t been away for many years but I travelled far and wide with the last parcel. The perfect holiday they say combines escape inwards with escape outwards, but when the latter is not forthcoming, it is still possible to obtain the escape inwards – for a member of the Bush Book Club anyway.’ She goes on: ‘I have had the most entrancing holiday, visiting Java with Winifred Ponder. I have been admitted to Farthing Hall and watched the development of a romantic love story and enjoyed the domestic difference of two very likeable people. I have joined Lord Peter Wimsey in his pursuit of a murderer … and positively swaggered up and down the Spanish Main in the wake of Captain Blood.’ She ends:
\textsuperscript{64} JOL, \textit{AR} 1926.
Now I am going back to my mending and banking and cleaning with heaps of new friends and much to think about and many incidents to laugh over. It’s a wonderful thing to laugh. Such a pity that one so soon forgets the trick of it surrounded by miles of parched brownness and dazzled by heat haze, with the dreary knowledge in the background of dying cattle and overworked men-folk – But I feel ever so refreshed with new things to think and talk about.\textsuperscript{66}
|
Introducing Feedback Control to Middle and High School STEM Students, Part 2: Control System Math*
Daniel Y. Abramovitch
*Mass Spec Division, Agilent Technologies, 5301 Stevens Creek Blvd., M/S: 3U-WT, Santa Clara, CA 95051 USA (e-mail: firstname.lastname@example.org).
Abstract: This paper presents some insights on introducing control concepts to middle and high school STEM students. It summarizes the author’s experience in introducing control to such students at multiple workshops preceding control conferences. In Part 1 (Abramovitch (2019)), we share here the ideas behind the success of these talks. In Part 2 (this paper), we show how to discuss control systems math to students who have not had calculus or differential equations.
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Keywords: Teaching, education, second-order systems, closed loops, computers.
1. INTRODUCTION TO PART 2
Part 1 of this paper (Abramovitch (2019)) discussed the need for a more complete public knowledge of the concepts behind, the ubiquity of, and the methods used in feedback control. It was focused on how to make these relevant to middle and high school students interested in Science, Technology, Engineering, and Math (STEM) subjects. One of the greatest challenges with such a task is that these students have almost universally not learned about differential equations, linear algebra, and transform theory. Only the upper level high school students are likely to have had a physics class or integral or differential calculus. This makes presenting the math that underlies control systems hard to explain. However, we do have some avenues still available to us.
What we can count on is that they have had some algebra, that they have seen geometric proofs (an introduction to theorem-proof methods), that they are familiar with finding the roots of a second order polynomial with the quadratic equation, and they are familiar with localizing roots of higher order polynomials.
We have found that students respond well to being told the following:
- To understand what the systems we want to control are doing and how our control will affect them, we need to model the systems using science (to derive models) and math (to put the models in a mathematically form that helps us predict what will happen next).
- It takes about 3 years of math from where the average student in the room is at that point. (It will be a bit more for the middle school students, a bit less for the upper level high school students.)
- We cannot hope to teach them the math they need in the time we are with them, but we can teach them what the math tells us and how it helps us.
The students respond well to this sequence. We can follow up by describing the kind of math that they will be learning. They will learn differential and integral calculus that will tell them the beginning of how things move. The integrals will allow them to do transforms (Laplace, Fourier, etc.) which have the convenient property that they turn differential equations into algebra. Once we get to algebra (which they know), their old friend of finding the roots, allows them to understand the system behavior. Now we have tied something they know to something we need to know to understand control systems.
2. NEWTON AND THE RIGID BODY
Fig. 1. A rigid mass on a frictionless plane is the starting point for understanding Newton’s Law.
Most students in this age group will have seen at some level, Newton’s Second Law: \( f = ma \). We can tie this to a simple mass on a frictionless plane, as shown in Figure 1. Now, we remind them that acceleration is the second derivative of position. Some of the high school students have had differentiation, but most can understand that velocity is the change of position over time, and acceleration is the change in velocity over time. Thus we can rewrite \( f = ma \) for them as:
When we are done, from the transformed math we know that this system is not stable. That is, if we push the block on the frictionless plane, it will go on forever. Once we stop pushing, the velocity remains constant (middle plot), but the position keeps increasing. That being said, it is easy to control. That is, if we apply the same amount of force in the opposite direction for the same amount of time, the block stops. Finally, a lot of systems look like this (assuming we do not look too closely). Even without imagination, this shows up in most spacecraft control problems, since there is no air to generate friction and no spring force of gravity.
The above discussion has shown how we can lead the students along a path that is supported by a lot of knowledge they already have to the concept of a dynamic system and its stability. Not only have we discussed it qualitatively, but we have tied it into the physics of the problem (using an equation that they almost certainly know), and we have discussed some of the useful tools (transforms) that we use to understand the problem. Finally, they have seen an example of this behavior plotted out. With this, they are ready for the next step: adding feedback into this problem.
3. ADDING FEEDBACK TO DOUBLE INTEGRATOR
**Fig. 3.** The block diagram of the double integrator achieved when we ignore the initial conditions and use Laplace Transforms.
\[
a = \ddot{x} = \frac{1}{m} f \rightarrow v = \int_0^t a dt + v_0 \rightarrow \\
x = \int_0^t v dt + x_0 = \int_0^t \left( \int_0^t a d\tau + v_0 \right) dt + x_0. \tag{1}
\]
Again, they don’t have to know how to do integrals, but we have led them to the idea that these matter and that they allow us to describe the physical system of Figure 1. Equation 1 has two integrals and so this system is called a double integrator, and it shows up a lot. One can imagine an air hockey puck on an infinite table. In each case, if one taps the puck, it has a constant velocity. However, if we push it with a constant force, it accelerates as long as the force is being applied. This is displayed in Figure 2. The top plot is the applied force, the middle plot is the velocity of the block, and the bottom plot is the position. We will use these types of plots to explain the behavior of different systems under control both open loop and closed-loop.
Here is where we need them to trust us. We tell them that there are a set of special integrals (Bracewell (1978)) which allow us to transform equations such as Equation 1 into algebra. Thus,
\[
x = \int_0^t \int_0^t (a)dt dt \leftrightarrow X(s) = \frac{1}{ms^2} F(s)
\]
**Time Domain (math) Transform Domain**
One of the great pedagogical things about laying out the double integrator as we have done above is that now we can transform it to a spring-mass-damper system by adding a position feedback ($k$) and a velocity feedback ($b$). We are in a position to describe these not only in the picture of Figure 4, but in the block diagram of Figure 5. Equation 1 gets modified to be:
\[
m \ddot{x} = f - b \dot{x} - kx \leftrightarrow \frac{X(s)}{F(s)} = \frac{\frac{1}{m}}{s^2 + \frac{b}{m}s + \frac{k}{m}},
\]
**Time Domain (math) Transform Domain**
where we see these feedback terms showing up explicitly in the time domain equation and this is transformed on
the right into a relationship which we can introduce to them as a transfer function. On the transfer function side, they see that if we set $k$ and $b$ to 0 we are back at our double integrator case. Furthermore, we can relate the second order relationships of $k$ and $b$ and $m$ to those of an oscillatory system by matching coefficients in Equation 4 which relates the spring and damper parameters to that of a simple resonance:
$$\frac{X(s)}{F(s)} = \frac{\frac{1}{m}}{s^2 + \frac{b}{m}s + \frac{k}{m}} = \frac{K\omega_d^2}{s^2 + 2\zeta_d\omega_ds + \omega_d^2},$$
where
$$\sqrt{\frac{k}{m}} = \omega_d = 2\pi f_d \iff f_d = \frac{1}{2\pi}\sqrt{\frac{k}{m}},$$
and
$$\frac{b}{m} = 2\zeta_d\omega_d \iff \zeta_d = \frac{b}{2\sqrt{km}}.$$
Now, they have almost certainly seen that when they try to solve for the roots of a quadratic polynomial and the number under the radical is greater than 0, the roots are real, but if the quantity is less than 0, things get weird. Some of them will know that this produces complex numbers. We can use this to introduce the idea of a Bode plot with Figure 7. Many STEM students will have seen something like this when they are looking at specifications for things like headphones (or ear buds). They might not understand what they saw, but it’s straightforward enough to explain to them that the top plot would be like one they might have seen, except that they’d never want to buy ear buds if the response showed that resonance. They’d be looking for something flat. In buying ear buds, they would never see the lower plot, which is the phase – the relative angle of output to the input. Again, this is a teachable moment in that we can explain to them that worrying about this lower plot is one of the main differences between folks who work in signal processing and folks who work in feedback systems. We can come back to it later, but we can tell them that the plot relates the response and helps us understand what is going on even without a computer. We can tell them that from a plot like this, we can tell that the roots of that denominator polynomial are complex, and that if the system gets hit with something like a step in force, it will oscillate (ring) back and forth before settling down.
Now, we have gone, in very straightforward steps, from a double integrator system to one with feedback from the outputs of both integrators. We have shown them that using some math they don’t have (differential equations and transform theory) and some math that they do have (algebra and root finding) that they can understand or “model” the behavior of this very physical system. Equations 5 and 6 tell us about the behavior:
- $k/m$ tells us how fast it rings.
- $b/m$ (in relationship to $k$) tells us how long it rings
- Making $k$ bigger means the spring is stiffer, which results in higher frequency ringing.
- Making $b$ bigger relative to $k$ causes the ringing to damp out faster.
- Because denominator polynomial is 2nd order, we can get roots with quadratic equation.
- Any polynomials that are more than 2nd order are a lot harder.
To illustrate the changes we can make by changing $k/m$ and/or $b/m$ we can show some relatively straightforward plots in Figure 8. Since we have described the damping and the oscillatory frequency as functions of $b$, $k$, and $m$, we can show how changing their relationship can change the damping and dramatically change the behavior of the system. We have introduced these as properties of the
physical system itself. We are trying to understand/model the behavior with these equations and plots to gain insight.
This structure has set them up for the next step: introducing our own augmentation to nature’s parameters.
4. INTRODUCING HUMAN AUGMENTATION OF NATURE’S FEEDBACK
**Fig. 9.** Adding our own feedback to the spring-mass-damper system.
At this point, we have shown them the effects of nature’s feedback parameters on the behavior of our simple system, and it is natural to ask, “What if nature’s $k$ and $b$ are lame? Can we compensate?” The answer is – of course – yes (or we would all need to find new jobs), but we can use this model to show how we introduce augmented feedback into the system as shown in Figure 9. We can describe this as adding our own signals to feed back the output of each energy collector (which we call a state) back into the input of the system. If we do it right, we are – in the words of Shrek – compensating for something. We can analyze this to pick our parameters by looking at modifications of Equations 4–6.
$$\frac{X(s)}{F(s)} = \frac{\frac{1}{m}}{s^2 + \frac{b+b_f}{m}s + \frac{k+k_f}{m}} = \frac{K\omega_d^2}{s^2 + 2\zeta_{df}\omega_{df}s + \omega_{df}^2}, \quad (7)$$
where
$$f_{df} = \frac{1}{2\pi} \sqrt{\frac{k+k_f}{m}} \text{ and } \zeta_{df} = \frac{b+bf}{2\sqrt{km}}. \quad (8)$$
We have shown the students in a very straightforward way that we can augment nature’s feedback with our own. We can also tell them that this is called “full state feedback”, which is the 800 pound gorilla of control. (This gives one a chance to explain the 800 pound gorilla joke from our parents’ generation.)
At this point, we can show them very simply that by cleverly choosing our feedback parameters, as shown in Figure 10, we can dramatically improve the system’s behavior. By adding a little bit of damping (on the left) the system rings but eventually settles down. A bit more damping (center) and the system settles without ringing. If we maintain this new damping and artificially increase the stiffness of the spring, we get a higher frequency which means that the system responds even more quickly. This is analogous to cars that can adjust their suspensions to the driving conditions.
The next level is to explain what happens when we get the feedback parameters wrong. This can be simply illustrated by showing cases where the damping gets set to 0 (on the left of Figure 11) or even negative (on the right of Figure 11). The negative damping results in positive feedback and by then, they should have been told that when negative feedback becomes positive feedback, bad things happen – as illustrated by the ever increasing oscillations. Again, this can be tied back to physical examples such as a car swerving erratically because a driver under the influence is compensating for the weaving far too slowly.
Looking back at what we have done: we have introduced a simple system, shown how nature’s feedback affects its behavior, added in our own feedback to improve the behavior, and shown the pitfalls of making a mistake. We have shown them modeling, feedback, full state feedback to augment nature’s feedback, stability, and instability in a very simple progression. What is left to do? We can shown them what happens when we cannot measure everything and we can show them how we use math to help us deal with systems that are bigger than second order.
5. FEEDBACK CONTROL WITH FEWER MEASURED OUTPUTS
The curves of Figures 13 and 14 show us that when we only feed back information from position in this problem, something goes horribly wrong. How do we explain this to the students? We have to tell them about the math without expecting them to know how to do it themselves. We tell them instead, what it tells us. Here is where the transforms and Bode plots that we introduced before (knowing full well that they would not at this point be able to do the math themselves) tell us things. Since they have seen feedback loops in our prior discussion, we can show them
the simplified model of Figure 15, which is an abstraction, something simplified so that we can get some insight from the math. We can tell them that in the transform space, we get ratios of polynomials from the models comprising Figure 15:
\[
\begin{align*}
\frac{Y}{R} &= \frac{PC}{1 + PC} & \frac{E}{R} &= \frac{1}{1 + PC} \\
\frac{U}{R} &= \frac{C}{1 + PC} & \frac{Y}{U} &= \frac{P}{1 + PC}.
\end{align*}
\] (9)
We can point out that all four of these have the same denominator and that this denominator governs a lot of behavior. We can tell them as they know about these that it’s about finding the roots of the rational equation (where \(1 + PC = 0\)):
\[
1 + PC = 1 + k_0 \frac{(s + b_1)(s + b_2) \cdots (s + b_m)}{(s + a_1)(s + a_2) \cdots (s + a_n)}.
\] (10)
Now, the critical points of \(PC\) are often very easy, but the critical points of \(1 + PC\) are actually pretty hard – especially when one is in the 1940s/1950s and doesn’t have a digital computer to help. We know from all the equations in Equation 9 that things get bad when \(1 + PC = 0\). A long time ago, someone had the insight that this means:
\[
PC = -1 \Leftrightarrow \|PC\| = 1 \& \angle PC = -180^\circ.
\] (11)
This means that if we can check the magnitude and phase against each other, we can be careful that the magnitude should be less than 1 before the phase gets to \(-180^\circ\). This explains our fascination with Bode plots. The plots of Figure 17 show that no matter how big we make the gain, we have the problem that the phase is always at \(-180^\circ\) and so when the gain gets to 1 (which is 0 dB on this logarithmic plot), it will ring. It will ring at different frequencies depending upon our gain, but it will still ring.
6. FAKING MEASUREMENTS: ESTIMATION
In order to fix (or compensate for) our lack of velocity measurement, we know that we need extra information. This is pretty obvious to the students. While control theorists understand that we need some sort of estimate of velocity (or derivative information), this is hard to explain to students who have not yet computed a derivative. This author has found that the example of Figure 18 works spectacularly well, since almost every kid has thrown and caught a ball. The figure represents two images of balls...
in the air with only position information. Having been through the prior material, we can all conclude that it is impossible from only that information for anyone to catch the ball. We then produce a soft ball and toss it to one of the students who almost always catches it. We then get a chance to explain the contradiction, that if the speaker is not a nonsensical liar, something else must have taken place.
That something can be explained as follows. Our eyes take repeated still images (position information). Our brains take the difference and add a time stamp. Our brains (meat computers) are estimating the velocity of the ball from changes in position over time. In fact, for many North American kids who have played baseball or softball, we can relate this to learning to play catch, how as their skill level improved, they could catch balls thrown much less accurately and with greater speed. This relates to their brain learning to produce better estimates over time. For kids from other parts of the world, similar analogies can be made with soccer (football), tennis, etc. They get the message: we need to teach our machine how to estimate the velocity.
Our system that fed back everything had no issues because it was getting velocity information. Can we somehow estimate velocity from our position measurement, and to do this, we need to differentiate, that is see how quickly our position is changing over time. We are now introducing proportional plus derivative control in doing this. In the transform space, we can point out that this makes the phase less negative. There is even a simple relationship for the new controller that we can show them:
\[
C = k_f \frac{(s + b_f)}{(s + a_f)}, \quad 0 \leq b_f < a_f,
\]
and point out two important things: that there is a set of algebra from our transform space that allows us to predict what math we need to do to estimate velocity and that this math is often very simple. We can also point out that a lot of very useful control systems have simple guts such as this.
When we do this, we get the response on the left side of Figure 19, which looks pretty good. On the right, we see that our Bode plot shows some differences, but the main thing that we show them is that the phase is well above $-180^\circ$ when the gain gets to 1 (0 dB). In fact, we can splurge a bit and show them Figure 20 which has the results of both the full state feedback and our PD feedback and we are showing them that with a good estimate, we can do almost as well as when we measure everything.
Again, it is worthwhile to look at the path we have taken with a set of bright students who have not yet studied calculus. We have shown them that we can do something with a limited set of signals to produce estimates of the signals we need to cause the system to behave the way we want. We have shown them that some math that they don’t yet have leads to some math that they already know and that the math they already know tells us how to fix the problem, sometimes simply. We have attached physical meaning to the equations and examples that we use, so that even if they don’t understand the details, they have a very strong sense that they get the basic idea.
7. SOME DEPTH ON ESTIMATION
While we have taken the students a long way in a short time with the previous discussion, there are some extensions and abstractions that are useful because they tie what we have been discussing to problems that they hear about every day. We start with the example of Figure 21. Here we have extended the simple physical example. We can then ask:
Fig. 21. Extending our spring mass damper system to one with a lot more springs, masses, and dampers.
Fig. 22. A generalized view of model based filtering
1) What if we can’t measure every “state”?
2) What if the physical system is more complicated than our model?
The trick is that since (2) is always true, then (1) is always true. This allows us to discuss really big, big systems with lots of stuff that we can’t model exactly. Power grid, air traffic control, automated highways, systems biology, have many more things (states) than can be measured. However, these kids are comfortable with computers, with games, with simulations. This means that we can refer to Figure 22 as a general metaphor for how we handle these problems. The general process steps are:
- Build a simulation.
- Run simulation in parallel with real world.
- Compare simulation output to things we can measure in real world.
- Correct simulation with measurements from the real world.
In doing so, we get a lot of advantages, including that the inside of our simulation will have useful information we could not measure in the real world and that the student gets to tell their friends that they work with models.
8. CLOSING COMMENTS FOR MIDDLE AND HIGH SCHOOL STUDENTS
With such a whirlwind tour of control and system theory, the students might very well be energized, but not know where to go with the information. It is best to take a step back and give them an overview here, some thoughts about control systems and tech work in general:
- A lot of this discussion shows up in all technical work. Ideas about making measurements, using science to generate models, transforming those models into mathematics, using those math models to make predictions and improve design, and implementing things using computer programming are fairly universal.
- Computation has gone digital, not because digital gives better performance, but because digital gives cookie cutter, which gives miniaturization which gives more capability in small spaces everywhere. (They will recognize this immediately from their own experiences with smart devices.)
- To do useful things that touch the real world, you have to understand the real world and this usually takes modeling, and modeling takes math. (This answers the high school students inevitable questions in math class: “Are we ever going to use this?”)
- Some folks do math for its own sake. Scientists and engineers tend to do math in order to enable them to do something practical. (This draws the distinction between different branches of STEM work in a relatable way.)
Again, at this point, we are trying to capture their imaginations for what they can do with all those math, science, and programming classes. This author always closes with the following set of comments about control systems and tech work in general:
- I’m not telling you this stuff is easy. It’s not.
- Technical work takes work. There is a lot to learn, whether you want to be a biologist, a computer scientist, a chemical engineer, or a controls engineer.
- And every time you work on a new problem, you learn stuff you wish you had known on your last problem.
- What makes it fun?
- A lifetime of learning.
- Understanding the world.
- Doing something about it.
- Getting paid well in the process.
9. CONCLUSIONS FOR PART 2
This author’s experience in giving such seminars to middle and high school students in a variety of pre-conference workshops has led them to believe that this pattern is highly successful and can be adopted by others. In Part 1 (Abramovitch (2019)) we presented the basic concepts that can be readily taught. In this part, we have tried to show how we can use some simple examples to tie Newton’s Laws to control theory. We discuss how to explain what the math tells us without having to teach them the math itself. Furthermore, we discuss how some of that math allows us to turn these problems into some that they know, i.e. algebra. This allows us to display some algebra to explain what the math tells us about the behavior of control systems. These methods have worked extremely well for the author, and it is hoped that others can use them to get more middle and high school students interested in control engineering.
REFERENCES
Abramovitch, D.Y. (2019). Introducing feedback control to middle and high school stem students, Part 1: Basic concepts. In Proceedings of the 12th IFAC Symposium on Advances in Control Education. IFAC, IFAC, Philadelphia, PA.
Bracewell, R.N. (1978). The Fourier Transform and Its Applications. McGraw-Hill, New York, 2 edition.
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September 20, 2020
25th Sunday in Ordinary Time
Scripture Readings
Isaiah 55:6-9
Psalm 145
Philippians 1:20c-24; 27a
Matthew 20:1-16a
A Family Perspective by Bud Ozar – Today Jesus is saying to us: “Why are you idle? Go into my vineyard.” Family, where “the last will be first,” is the “vineyard” entrusted to us in today’s gospel. Successful families are constructed by “laborers,” who work hard on family relationships, and not by couch potatoes.
Adult Confirmation
“The descent of the Holy Spirit on Jesus at his baptism by John was the sign that this was he who was to come, the Messiah, the Son of God. He was conceived of the Holy Spirit; his whole life and his whole mission was carried out in total communion with the Holy Spirit whom the Father gives him “without measure”…On several occasions Christ promised this outpouring of the Spirit, a promise which he fulfilled first on Easter Sunday and then more strikingly [to the apostles] on Pentecost” (CCC:91-93, 95).
If you have been baptized and you receive the Holy Eucharist but have not yet received the Sacrament of Confirmation, you are shorting yourself of the wondrous and powerful help of the third person of the Blessed Trinity, the Holy Spirit. The Holy Spirit awaits your desire. St. Francis Xavier invites any adult who has been Baptized Catholic and received First Penance and First Communion but not yet confirmed to a six-week series about Confirmation: 8:00-9:00 p.m. beginning on Tuesday Oct.6-Nov.10. Interested or have questions, please call the rectory @ 673-2531.
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Flow Analysis of the Arctic Ocean (the Kara Sea and the Barents Sea) by a Hybrid Box Model
Akira WADA* and Minoru OCHIAI*
Abstract: The objective of this report is to discuss the characteristics of flows in the Arctic Ocean Seas (the Kara and the Barents) in connection with marine contamination. In recent years, research has been underway to clarify the fate of radioactive wastes dumped into the Arctic Ocean (especially, the Kara Sea and the Barents Sea). These sea areas are very narrow, shallow and located close to land. To analyze the diffusion of radionuclides and carry out exposure dose assessment by determining the circulation of seawater in these areas, it is necessary to identify the flow characteristics of the seas. As the first step of research, the mechanism of flows in the Barents Sea and the Kara Sea in the Arctic Ocean was investigated (Local model). Using the observation data (water temperature and salinity), the flow was analyzed using a hybrid box model, taking into account river flows and density structures in the seas. The results thus obtained agreed with the observed features in many aspects.
Keywords: Arctic Ocean, Flow analysis, Kara Sea, Barents Sea, Hybrid box model, Local Model
1. Introduction
Recently, there has been considerable interest in the dumping of radioactive wastes into the Arctic Ocean (especially, the Kara Sea and the Barents Sea) by the former Soviet Union. These seas are narrow, shallow and close to land (see Fig. 1). To assess the impact of such dumping, it is necessary to establish a safety assessment method that permits the prediction of not only regional but also global-scale effects.
To analyze the diffusion of radionuclides and make an exposure dose assessment by determining the circulation of seawater in these areas, it will be necessary to identify the flow characteristics of the seas. However, little research has been conducted insofar as these sea areas are concerned. Moreover, these seas are largely ice-covered in winter, thus available winter oceanographic data are limited. In this research, the authors used existing salinity and water temperature data and information such as meteorological and oceanographical data provided by IAEA.
Representatives of both IAEA and Seven Member states (Danish/Norwegian group, Japan, The Netherlands, The Russian Federation, Switzerland, United Kingdom and United States of America) were involved in the modeling, coordinated within the framework of the IAEA’s International Arctic Assessment Project (IASAP). The model and assessment exercises included contributions to all the important aspects required for radiological assessment studies (WADA et al., 1997).
This paper centers on flow modeling and its analysis, which is of major significance to assessment exercises. Using these observation data (water temperature and salinity), the water-mass characteristics of the Arctic Ocean were examined with reference to the known data, and the results thus obtained were compared with the results of flow analysis to investigate the present condition of flows in these sea areas.
2. Method of study
What impact will the actual dumping of radioactive waste into the Arctic Ocean have in
the future? As a first step to solve this question, the authors investigate the flows in the Barents Sea and the Kara Sea based on observed water temperature and salinity distributions in these seas (local scale). Based on data obtained by NOAA’s observations (LEVITUS, 1982), water temperature and salinity in the range of $64^\circ–85^\circ$ N and $0^\circ–120^\circ$ E were obtained and graphically represented at intervals of 0.1 °C and 0.1psu respectively, and were used to examine the oceanographical characteristics of these seas. The horizontal box size was
Fig. 3. (1) Density distribution $\sigma_t$ (0–50m layer, warm weather season).
Fig. 3. (2) Density distribution $\sigma_t$ (50–100m layer, warm weather season).
$4^\circ \times 1^\circ$, and each box was vertically divided into 6 layers (0~50m, 50~100m, 100~200m, 200~500m, 500~900m and 900~2500m).
Figure 2 shows the grids of the model and the number of vertical layers.
3. Oceanographic description of Arctic seawater
Density structure
Barents Sea
The Barents Sea has an area of $1.42 \times 10^5$ km$^2$ and volume of $3 \times 10^4$ km$^3$. It is largely open to the Norwegian Sea in the west and the central Arctic basin to the north. The average depth is 230m, with a maximum depth of 500m near Bear Island. The position of the Barents Sea between the Atlantic and Arctic Oceans gives it a key role to play in the transport of substances.
The Norwegian Atlantic Current which is a warm current, enters from the western side of North Cape. Then, the current is divided into two major branches. One flows eastward (coastal current system) and the other flows into the northern central area. Cold Arctic water enters from the north between Spitsbergen and Franz-Josef Land, as well as from the north between Franz-Josef Land and Novaya Zemlya (see Fig. 1). The water circulation in the Barents Sea is generally counter-clockwise (HARMS, 1992).
The Barents Sea undergoes stratification in spring and mixing in winter. This sea area is high in biological production. Salinity is 32~35 psu.
Based on the temperature and salinity distribution, density distribution maps for the layers of 0~50m and 50~100m are illustrated in Figs. 3 (1) and (2), respectively.
The density of seawater is highest in the central part of the Barents Sea and in the sea area where the Atlantic water, southwest of Spitsbergen flows north along the continental shelf, showing $\sigma_i$ value of about 28. In the northernmost and southernmost parts of the Barents Sea, the density of seawater is about 0.5 lower in $\sigma_i$ due to the effects of relatively light Arctic surface-layer water and coastal water, respectively.
In order to examine characteristics of water masses in the Barents and Kara Seas, T~S diagrams for each calculation box in Fig. 2 are drawn in Figs. 4 (1) and (2), respectively. Based on the T~S diagram, surface water of the Barents Sea may be classified into four water masses as follows:
1. The Atlantic water with higher temperature and higher salinity,
2. The Arctic surface water with lower temperature and lower salinity,
3. The coastal water with higher temperature and lower salinity, and
4. The Barents Sea water mass that is mixture of the Atlantic water and the Arctic surface water.
By Fig. 4 (1) it can be recognized that the coastal water mixes only with the Atlantic water. The Arctic surface water first becomes more saline and then mixed with the Atlantic water, forming the Barents Sea water mass.
The density maps of Figs. 3 (1) and (2) correspond with classification of the 4 water masses, which are identified by the number in circle.
Kara Sea
The Kara Sea is $8.8 \times 10^4$ km$^2$ in area and $9.8 \times 10^4$ km$^3$ in volume. It is rather shallow; its mean water depth is 120m. However, deep valleys exist, namely, the Novaya Zemlya Trough (300~400m) east of Novaya Zemlya, and a trough (600m) north of Novaya Zemlya. In this sea area, there are inflows of river water amounting to 1,500 km$^3$ annually, mainly from the Ob and Yenisey. These fresh water inflows cause a northward flow, forming eddies which are then branched into a northeastward-flowing current along the continent and a southweward-flowing current along the coast of Novaya Zemlya.
River water inflows are conspicuous in summer, and decrease remarkably in winter. Figure 5 (IAEA, 1998) shows monthly changes in major river water runoffs. The structure of water masses in the Kara Sea is dominated by water inflows from the Arctic Ocean and the Barents Sea as well as by river water inflows.
As was done for the Barents Sea, density distribution maps for each layer, based on the vertical distribution map of temperature and salinity for the Kara Sea, are shown in Figs. 3
(1) and (2). T–S diagrams were drawn also for the Kara Sea.
Fig. 4 (2)a shows total surface T–S plot of the Kara Sea, while Fig. 4 (2)b is an enlarged map of the part of salinity 32.0–34.0. From these figures, four water masses could be recognized:
- The water mass characterized by higher temperature, derived from the Barents Sea,
- The Arctic surface water with lower temperature and lower salinity,
- The Kara Sea water mass, a mixture of the Kara Sea water and the Arctic surface water, and
- The coastal water with lower salinity.
These water masses of the Kara Sea are denoted with the number in triangle in Fig. 3 (1). Salinity is 32psu offshore and 10psu near the mouths of the Ob and Yenisey river, as shown in Fig. 6.
The Barents seawater, having high density, reaches the Kara Sea with its density reduced as it advances eastward. The density of seawater in the central part of the Kara Sea becomes about 1–1.5 lower in $\sigma$, in comparison with the Barents Sea.
The low-density water in the Kara Sea is formed by Arctic surface water entering from the north and a vast amount of fresh water entering from both the Ob river and the Yenisey river. Over the continental coast of the Kara Sea, a front is formed with density $\sigma$ falling below 26.
**Flow characteristics**
Loeng et al. (1991) point out that the three major water masses, namely, coastal water, Atlantic water and Arctic water, are related to ocean current systems. According to Fig. 7 (Loeng et al. 1991), which shows the distribution of water masses in the Barents Sea, correspondence to the density distribution shown in
Fig. 3 is good.
Freezing continues for more than half of the year in this regions. The effect of wind on the flow has never been calculated. GJEVIK and STRAUME (1989) numerically calculated the tides in the North Sea, the Norwegian, Greenland and Barents Seas, and the Arctic Ocean. They concluded that in these sea areas the effect of tides is small, with the exception of coastal areas.
4. Method of flow analysis
A careful consideration must be used in the selection of an appropriate flow analysis technique for the regions having a large inflow of river water from the inland part, high-temperature and high-salinity Atlantic water masses from the western sea areas, low-temperature and high-salinity Arctic seawater from the north, large water depths and complicated topography, as seen in the Arctic Ocean.
To analyze the concentration of radionuclides extending as long as several 100 years following the flow analysis, the conservation of mass not only in each calculation box but also as a whole system must hold. That is to say, it is necessary for the following equation to hold;
$$\sum_{iB,iC} \left( W_{iB,iC} \rho_{iC} - W_{iC,iB} \rho_{iC} \right) + (\text{river inflow}) + (\text{precipitation}) - (\text{evaporation}) = 0$$
Where, $iB$: box number in ocean boundary, $iC$: box number in calculation box, $W_{iB,iC}$: exchange flow rate which enters from box $iB$ to box $iC$, $W_{iC,iB}$: exchange flow rate which enters from box $iC$ to box $iB$, $\rho_{iC}$: density of seawater in calculation box $iC$, $\rho_{iB}$: density of seawater in box $iB$, $\Sigma$: sum for all groups ($iB$, $iC$) of boundary box and calculation box.
There are two kinds of models to cope with the flow and the dispersion of radionuclides by advection and diffusion, namely compartment or box models and hydrodynamic circulation model.
Compartment or box models provide long time, spatially averaged capabilities, and some uncertainties remain in some key parameters. Hydrodynamic models provide locally resolved, short time-scale results and can only be run for limited time-scales of the order of tens of years. In the hydrodynamic models, the circulation pattern and eddy diffusivities in the model, by trial and error, are adjusted until the observed temperature and salinity distributions can be generated by the model. Moreover, there is a major shortage of quality forcing data for hydrodynamic models applied to the Arctic Ocean.
Temperature and salinity are tracers; they are the easiest of all to measure; we have much better coverage of the ocean for them than
Flow fields can also be generated from the observed temperature and salinity distributions in more objective ways using simplifying assumptions about the general balance of forces in the ocean interior. On the other hand, the calculation of geostrophic velocity has been used for many years in oceanography but has always suffered from the problem of not knowing what depth independent (barotropic) component of velocity needs to be added to the baroclinic results obtained (the problem of the “level of no motion”). Recently, methods of calculating the barotropic component have been derived (Stommel and Schott, 1977; Killworth, 1980) and methods have been developed using generalized inverse techniques (Wunsch and Minster 1982, Wunsch 1996, Emery and Thomason 1998) for calculation of the flow.
For radiological assessment purposes, the use of inverse technique is particularly attractive because it does ensure that the model produced will give predictions which are comparable with observed temperature and salinity profiles in the ocean. The model used in this paper is an approach for applying conservation of mass with high accuracy not only in each calculation box also over the whole system. This model has been named a hybrid box model, intermediate one between the box model and the hydrodynamic model, developed by attending the OECD/NEA and IAEA (IASAP) modeling group meetings (IAEA Report 1998). This hybrid box model has been developed to cover the local field (Kara and Barents Seas).
5. Flow analysis by a hybrid box model
In this analysis, the flow which permits reproduction of the observed distributions of water temperature and salinity is mathematically calculated, to subsequently deal with the diffusion of nuclides.
The balance equations of seawater, salinity and heat volumes in each box are used to determine the exchange flow rate between boxes (Fig. 8).
For box i, the following are the conservation equations:
(1) Equation of conservation of seawater mass
\[
\sum_{j \neq i} W_{ji} \rho_j - \sum_{j = i} W_{ij} \rho_i + \sum R_{ri} \rho'_i P_i - E_i = 0
\]
[ton/s] (1)
Where \( W_{ij} \geq 0 \): exchange flow rate from box \( I \) to box \( j \) [m\(^3\)/s], \( \rho \): density of seawater in box \( I \) [ton/m\(^3\)], obtained by The International Equation of State of Seawater from water temperature and salinity, \( \rho' \): density of river water in
Fig. 7. Distribution of water masses in the Barents Sea (LOENG et al., 1991).
Fig. 8. Outline of the hybrid box model.
river $r$ [ton/m$^3$], $R_i$: inflow of river water from river $r$ to box $i$ (m$^3$/s). $P_i$: precipitation into box $i$ [ton/s], $E_i$: evaporation from box $i$ to the atmosphere [ton/s].
The model was set up so that each exchange is represented by exchange flow rates, one in each direction. These exchange flow rates, which by definition are assumed to be positive, can be interpreted in terms of advection and mixing: to a first approximation, the mixing coefficient is the lesser of the two values and the advection is the difference.
(2) Equation of conservation of salt
$$\sum_{j \neq i} W_{ji} \rho_j S_j - \sum_{j = i} W_{ij} \rho_j S_i + \sum_r R_{ri} \rho_r' (S_i' - S_i) = 0$$
[ton/s] (2)
$S_i$: salinity in box $i$ [%$_{oo}$], $S_i'$: salt in river $r$ [%$_{oo}$]
(3) Equation of conservation of heat
$$\sum W_{ji} \rho_j T_j C - \sum W_{ij} \rho_i T_i C + H_i = 0$$
[Mcal/s] (3)
$T_i$: water temperature in box $i$ [°C], $H_i$: heat entering from the atmosphere into box $i$ [Mcal/s].
$C$: specific heat of seawater [cal/g °C], which is presently set at 1.0.
Although we put the terms $P_i$, $E_i$ in equation (1) and the term $H_i$ in equation (3), we did not use these terms in our calculations due to difficulties in its treatment in the surface layer. It is because the parts of these seas are largely ice-covered year-round. Therefore, the flow was analyzed using a hybrid box model, taking into account river inflows and density structures in the seas.
Table 1. Input condition of river inflow.
| River | River flow rates (m$^3$/s) | Water temperature (°C) | Salinity (%) |
|---------|-----------------------------|------------------------|--------------|
| Ob | 2,425.0 | | |
| Yenisey | 18,317.0 | 2.65 | 15.0 |
| Pechora | 4,208.0 | | |
Input conditions of river inflow from the river mouth are shown in Table 1. Three equations are written in matrix form as;
$$A\mathbf{W} = \mathbf{b}$$
Where $A$ is the property matrix containing $\rho$, $\rho S$ and $TC$, $\mathbf{W}$ is the vector of exchange flow rates and $\mathbf{b}$ is the vector of sources and sinks.
These solutions can be expressed as the sum of a particular solution such as the least squares solution which is determined by the sources and sinks, and a series of null space solutions which are independent of the sources and sinks. So far, the least squares solution was considered to be the most useful point since it represents the flow pattern corresponding to the minimum energy in the ocean.\textsuperscript{1)}
Attempts using a box model have been made to use the observed temperature and salinity distributions in the Atlantic Ocean to derive a flow pattern. In conclusion, this experience with inverse techniques on the large systems such as this research showed that this has been done with the solution containing both negative and positive exchange flow rates. The difficulty in obtaining a positive solution by requiring an exact fit to the observed data is probably due to the existence of temperature and salinity gradients within the model that can only be sustained by a negative exchange flow rate. If these gradients can be removed by revising the original temperature and salinity distributions, then both a positive solution and a good fit to data may be possible.
In this model, the number of exchange flow rates, $n$, is less than that of equations, $m$, and solutions of such a problem are easily obtained either by general inverse matrix or by non-linear programming method without constraints.
However, some of exchange flow rate values thus obtained could be negative, which makes difficult to interpret the solutions as physical phenomena.
The difficulty in finding a solution was that the exchange flow rate must be non-negative (positive or 0) owing to the nature of the model. Therefore, one cannot use a simple linear equation or general inverse matrix representation and has to rely on a non-linear programming method with constraint (non-negative condition). That is to say, one does not require equations (1) to (3) to hold strictly and permits some minimizing errors.
In order to overcome this difficulty, non-negativity constraint was set for the exchange flow rate, $\mathbf{W}$, ($\mathbf{W} \geq 0$) and an efficient program was developed based on solution algorithm by mathematical formulation using a non-linear programming. This method is identical with solving a quadratic programming problem so as to minimize the objective function under the condition of non-negative exchange flow rate. That is,
Objective function (square of residual norm): $\| A\mathbf{W} - \mathbf{b} \|_2^2 \rightarrow \min.$, and
Constraint: $\mathbf{W} \geq 0$
Where $A$: $m \times n$ matrix of coefficients, determined by observation data,
$\mathbf{b}$: $m$-dimension constant vector determined by boundary conditions,
$\mathbf{W}$: $n$-dimensional vector of exchange flow rates,
$\| \cdot \|$: Euclidean norm,
$m$: number of conservation equations, and
$n$: number of exchange flow rates.
If the non-linear programming method with constraint is used, a solution can be obtained and the exchange flow rate thus obtained is non-negative, and errors in equations (1) to (3) are minimum.
\textsuperscript{1)}This technique is frequently employed for solving problems to obtain a fluid movement of which the total energy is restrained to be minimal, where an indefinite number of solutions can exist.
\[ e = \sum_i \{ \alpha_i (\text{the left side of the equation of conservation of mass (1) in box } i)^2 \\
+ \beta_i (\text{the left side of the equation of conservation of salt (2) in box } i)^2 \\
+ \gamma_i (\text{the left side of the equation of conservation of heat (3) in box } i)^2 \} \] (6)
Then, \( e \) is a function of the exchange flow rates \( W_{12}, W_{13}, \ldots \) and is the sum of squares of error in the conservation equations.
Exchange flow rates \( W_{12}, W_{13}, \ldots \) may be obtained under the non-negative condition \( W_{12}, W_{13}, \ldots > 0 \) to minimize the error function \( e = e (W_{12}, W_{13}, \ldots) \). This problem is usually called NNLS (Non-Negative Least Squares). Of the three equations of conservation, the unit of the first two equations is [tons/s], and that of the last equation is [Mcal/s].
Adjustment is, therefore, necessary when considering the weight of the three equations. For this adjustment, \( \alpha_i, \beta_i \) and \( \gamma_i \) are set as weight constants \( (\alpha_i = 10^4, \beta_i = 10^4, \gamma_i = 1.0) \). The values of \( \alpha_i, \beta_i \) and \( \gamma_i \) above were decided by taking into consideration the agreement between results of current analysis and observation data of the Pacific Ocean and Tokyo Bay. For solution procedures to obtain the exchange flow rate, \( W \), see Appendix I. Refer to Lawson and Hansen (1995) for more details.
Model validation is important. A comparison was made between literature values of water fluxes in the Arctic Ocean and values obtained from the hybrid box models. The validation process for the hybrid model has been severely restricted by the lack of appropriate flow data particularly within the Arctic area.
In the past, flow analyses were conducted in Tokyo Bay under the same input condition such as heat budget process, inflow rate of river waters, temperature and salinity distributions, using both the hybrid box model and 3D hydrodynamic model, thus confirming that there is no major difference in the results of flow circulation pattern obtained by both models (Wada et al., 1996).
On the other hand, the study was conducted focusing the Sea of Japan using the hybrid box model to elucidate the seasonal flow characteristics under the input conditions like inflow of Tsushima Warm Current, temperature and salinity data, heat budget process and inflow of river water from the inland area (Takahashi and Wada, 1999).
The seasonal strengths of the Nearshore Branch of the Tsushima Warm Current, the East Korean Warm Current and the Liman Current were reproduced in the model. The hybrid box model was applied to the safety evaluation in a hypothetical submergence accident onto the seabed in the Pacific Ocean. Agreement was found to be good by comparison of the results of current analysis and the existing knowledge on the ocean currents (Watabe et al., 1996).
6. Results of flow analysis in the local field
Based on the flow velocities obtained from exchange flows in the hybrid box model, particles from each box and river mouth in the Arctic Ocean were tracked and the movement of seawater particles was studied. Particle tracking method is described in Appendix II.
Estimation of Errors
As we search for flows which reproduce the distribution of salinity and temperature in each box, errors in salinity and heat amount can be neglected. As for flow, we calculated error of the conservation equation of seawater for each box. Errors of flow were evaluated both by the absolute error which is the difference of in and outflows and the relative error which is the difference divided by the inflow.
Table 2 shows coordinate in which the maximum error occurs (see Fig. 2), residual errors by the least square method, and the maximum value of relative error (residue/inflow) and coordinates.
Barents Sea
According to the results of tracking (Fig. 9 (1), see Appendix II), the Atlantic water which enters the Barents Sea along the Norwegian Peninsula circulates counterclockwise in the Barents Sea. This flow is in agreement with previously known data (see Figs. 10 (1) and (2)).
The results of tracking shown in Fig. 9 (2) indicate that the Norwegian Atlantic current flows in from the west to the north cape. It divides into two main branches. One which flows
Table 2. Errors of conservation equation of seawater.
| | Absolute error | Coordinates | Relative error | Coordinates |
|------------------|----------------|-------------|----------------|-------------|
| 1st layer (0-50m)| $6 \times 10^{-4}$ (kton/s) | (20, 4) | $4 \times 10^{-7}$ | (17, 13) |
| 2nd layer (50-100m) | $5 \times 10^{-4}$ (kton/s) | (3, 8) | $4 \times 10^{-7}$ | (16, 7) |
Fig. 9. (1) Result of tracking (* particle injection point).
Fig. 9. (2) Result of tracking (* particle injection point).
eastward, and another which flows north.
Cold Arctic water enters from the east to the west between Franz-Josef Land and Novaya-Zemlya (Fig. 9 (2)), and from the north between Spitsbergen and Franz-Josef Land shown in Fig. 9 (1). The water circulation in the Barents Sea is generally anticlockwise judging from Figs. 9 and 10.
The current flowing southwestward at the south of Franz-Josef Land divides into two branches at the north of Sentralbanken, one of them being shown to flow southwardly toward Sentralbanken (LOENG, 1989). According to recent observations, however, this flow branch is considered to be rather minor (TANTSJURA, 1959).
As is shown in Fig. 9 (2), water particles entering from the central part of Atlantic Ocean are recognized to become gyre currents near the front shown in Fig. 10 (2).
Between Spitsbergen and Franz-Josef Land, there exist path lines both flowing into and flowing out of the Arctic waters (Fig. 9 (1) and (2)).
**Kara Sea**
Fig. 11 shows schematic flow pattern in the Kara Sea (PAVLOV et al., 1995). The northern sea area has a current which enters from the central Arctic Ocean along trenches of 80 to 125m deep and current which flows into the Barents Sea between Franz-Josef Land and Novaya Zemlya. The inflow from the central Arctic Sea to the Kara Sea in the second layer (50~100m) and third layer (100~200m) were reproduced successfully by tracking.
The western Kara Sea has the Novozemelskaya Current which flows from northeast to southwest along the east coast of Novaya Zemlya. The results of tracking are shown in Fig. 9 (3). This figure clearly shows that particles advance southward along the east coast of Novaya Zemlya.
The currents flowing north from the river mouths can be observed clearly.
**Results and discussion**
The results of flow analysis were compared with the migration routes of cod (Haddock and Barents Sea cod) to examine the reproducibility of the results. It is generally considered that Haddock cods live in 4 to 10°C water. The sea areas which meet these conditions in the Barents Sea are the coastal area and the Atlantic water mass, with high water temperatures. The migration routes observed are shown in
Fig. 12.
The migration routes of Haddock and Barents Sea cod were compared with the results of flow analysis by the hybrid box model (Fig. 9 (1)). High similarity is recognized. In particular, the route of cods entering the Barents Sea from along the coast of Norway and migrating along the continent agrees with the tracking result. Possibly, Haddock and Barents Sea cod migrate along the Norcup Ocean Current, the Mullman Coastal Current, or the Mullman ocean current. Comparison of the model’s current field with the observed surface velocity map indicate that the basic circulation pattern in the Barents Sea and the Kara Sea is captured by the model.
We also calculated the surface dynamic height from the density field and compare the result with that obtained by the particle tracks shown in Figs. 9 (1), (2) and (3). The geostrophic calculation method assumes that there is a level or depth of no motion. Level of no motion may be assumed if the currents have been measured at some depths by current meters. As we have obtained the density field from water temperature and salinity data, we calculate the flow pattern from the surface dynamic heights.
Figure 13 shows the dynamic topography at the surface layer (25m deep) of the Barents and Kara Seas in which the level of no motion is assumed to be 75m deep.
Following characteristics of the streamlines can be noticed:
- There exists a current which flows from east to west along the coast of the Barents Sea.
- The current turns anti-clockwise in the eastern part of the Barents Sea and flows westerly in the north of Spitzbergen Island.
- In the area between Spitzbergen Island and Novaya Zemlya, there exists a region of anti-clockwise circulation.
- In the Kara Sea, the coastal current becomes easterly under the influence of the westerly current along the coast of the Barents Sea. Consequently, a large-scale anti-clockwise circulation becomes noticeable in the region comprising the Barents and Kara Seas.
When Fig. 12 and Fig. 9 (1) and (2), which show results of the particle track, are compared, the anti-clockwise current in the Barents Sea is similar in the both cases, although
the anti-clockwise circulation with a small scale at the center of the Barents Sea can not be seen in the hybrid box model result.
7. Conclusions
Flow analysis was conducted by using observation data (water temperature, salinity) and applying a method for obtaining the exchange flow rate in such a way that the inter-box input and output of salinity, heat and seawater volume was balanced, and as a result,
1) Flows in the Barents Sea are affected by inflows from the neighboring seas (North Atlantic Ocean, Arctic Ocean). Inflow of river water from the Ob, Yenisey, etc. has the largest effect on changes in flows in the
Kara Sea.
2) Flows obtained with the hybrid box model agree with flows based on observed data. For the deep layers, it will be necessary to carry out further studies on the reproducibility of flows because only a small amount of Arctic deep data are available.
3) The tracking of particles was performed with respect to calculated flows. This enabled to obtain a three-dimensional movement of particles with reproducibility of high accuracy.
4) Good agreement is with migration routes of cod.
Acknowledgements
This research work was supported by the Science and Technology Agency of Japan. The authors are grateful to Mr. Teruo HOZUMI of Ark Information SYSTEM and Mr. Tairyu TAKANO and Mr. Noboru MATSUURA of Laboratory of Aquatic Science Consultant Corporation, Ltd. for their assistance in the computational work and data processing. Thanks are also due to Dr. E. ZUUR, Limnocéane, Université de Neuchatel, who is one of the IAEA’s multidisciplinary team of scientists, for his helpful advice in mathematical development in the course of carrying out this project.
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Appendix I
Solving method for the hybrid box model
Solution of obtaining the exchange flow rates by means of a compartment model is identical with solving a quadratic programming problem so as to minimize the objective function under the condition of non-negativity of exchange flow rate, $W$. That is,
Objective function (square of residual norm): $\| A W - b \| ^2$, and Constraint: $W \geq 0$,
where $A$: m n matrix of coefficients, determined by observation data,
$b$: m-dimension constant vector determined by boundary conditions,
$W$: n-dimension vector of exchange flow rates,
$\| \cdot \|$: Euclidean norm,
m: number of conservation equations, and
n: number of exchange flow rates.
Mathematically, this problem is called convex quadratic programming problem or NNLS (Non Negative Least Squares).
Solution processes
Algorithm of the active set method is premised on three points as follows:
1) When all of exchange flow rates are 0, it satisfies the equations and constraint,
2) Solution of quadratic programming problem without constraint can be obtained by the usual least squares method, and
3) Criteria of optimum solution are given by the Kuhn–Tucker’s condition that is usually applied in quadratic programming method.
Outline of the algorithm for obtaining optimum solution is summarized as follows:
1) First, let all elements of exchange flow rate be 0, and select an element $W_q$ that leads to the optimum solution most closely;
2) Solve the quadratic programming problem without constraint, and correct the resulting solution so as to fulfill the non-negativity restraint;
3) Using the corrected solution, solve again quadratic programming problem without constraint, and correct solution that does not satisfy the non-negativity constraint; and
4) When the non-negativity constraint is fulfilled, select another element of exchange flow rate that has been set to be 0, and repeat the procedures above, thus decreasing one by one the number of elements set to be 0, until the optimum solution is reached.
Appendix II
Particle Tracking Method in Arctic Sea Box Model
1. Particle Tracking Method Particle tracking is defined here as positioning of a particle from a given initial position in a given flow field after an arbitrary time elapsed. Equations representing a particle tracking movement in the spherical coordinates are:
$$\dot{\lambda} = \frac{u}{r \cos \varphi}$$
$$\dot{\varphi} = \frac{v}{r}$$
$$\dot{r} = w,$$
where $u$: longitudinal flow rate component (m/s), $v$: latitudinal flow rate component (m/s), and $w$: vertical flow rate component, each being function of: longitude, latitude, and $r$: vertical coordinate (distance from the geocenter, respectively. The mark “·” denotes the temporal differential.
One of the typical solutions for such equations is the (explicit) Eulerian solution, $\Delta t$ being the time interval:
$$\lambda^{n+1} = \lambda^n + \Delta t \frac{u(\lambda^n, \varphi^n, r^n)}{r^n \cos \varphi^n}$$
$$\varphi^{n+1} = \varphi^n + \Delta t \frac{v(\lambda^n, \varphi^n, r^n)}{r^n}$$
$$r^{n+1} = r^n + \Delta t w(\lambda^n, \varphi^n, r^n)$$ \hspace{1cm} (AII・2)
in which the position at time $n \Delta t$ is approximated as $(\lambda n, \varphi n, r n) \approx (\lambda (n \Delta t), \varphi (n \Delta t), r (n \Delta t))$.
In solving the Eq. (AII・2) using a computer, we must decide the flow field
$$\left( \frac{u(\lambda^n, \varphi^n, r^n)}{r^n \cos \varphi^n}, \frac{v(\lambda^n, \varphi^n, r^n)}{r^n}, w^n \right)$$
Since the flow field given by Arctic Sea Box Model is defined only at discrete positions, flow field at an arbitrary position needs to be
obtained by interpolation.
2. Interpolation of Flow Rate
Processes in the particle tracking program “stm. f” are as follows:
1) Dimensions of the left-and right-hand members of Eq. (A II • 1) are matched, that is to say, the flow field \((u, v, w)\) is transformed into the flow field \((\dot{u}, \dot{v}, \dot{w})\):
\[
\dot{\lambda} = u, \quad u = \frac{u}{r \cos \varphi},
\]
\[
\dot{\varphi} = v, \quad v = \frac{v}{r}
\]
\[
\dot{r} = v, \quad w = w,
\]
(A II • 3)
in which the dimension of flow rate in the longitude latitudinal equations is angle per unit time.
2) Obtain the flow field \((u, v, w)\) at an arbitrary position by means of multilinear interpolation (three-dimensional bilinear interpolation; see appendix “Basis of Interpolation”).
Received April, 5, 2002
Accepted November, 17, 2003
Analysis of Seawater Circulation in the Whole Region of the Arctic Ocean
Akira WADA*, Tairyu TAKANO** and Minoru OCHIAI*
Abstract: Research has been underway to clarify a situation resulting from the dumping of nuclear submarines into the local area (the Barents Sea and the Kara Sea) of the Arctic Ocean by the former Soviet Union. As the first step of research, the flow analysis in the local area (the Barents Sea and the Kara Sea) in the Arctic Ocean was studied. Using the observed data of water temperature and salinity, the flow was analyzed using a hybrid box model. The results obtained agreed with the observed features in many aspects (WADA and OCHIAI, 2004). As the second step of research, the entire Arctic Ocean was studied (Regional model). A numerical hybrid box model was developed. The results obtained agreed with the observed features in many respects. Especially, stream flows in the Norwegian Sea, Barents Sea and Kara Sea showed fairly realistic features. The flow field in the surface layer in the central Arctic Ocean agreed with that in previously known data. In the intermediate and deep layers, there was a stream flow that agreed with the known cyclonic circulation. East of Greenland, a stream flow equivalent to the East Greenland Current was recognized.
Keywords: Arctic Ocean, Flow analysis, Hybrid box model, Regional model
1. Introduction
The Arctic Ocean receives warm and saline water from the Atlantic, while cold and fresh water exits the Arctic Ocean with East Greenland Current. The warm inflow of Atlantic water gives the major oceanic heat input for the Arctic Ocean. It influences the sea ice distribution and thickness. The saline water inflow influences the stratification and mixing processes in the interior of the Arctic Ocean. North Atlantic water enters the Arctic Ocean through two main pathways. Part of the Atlantic inflow takes a route through the Barents Sea. The remainder of the Atlantic water enters through Fram Straight as the West Spitzbergen Current (GERDES & SCHAUER, 1997).
The most important connection of the Arctic Ocean with the rest of the World Ocean is through the 2600m deep Fram Strait between Greenland and Svalbard. Shallower openings in the land belting the Arctic Ocean connect it to the Pacific and to the Atlantic through the Bering Strait and the Canada Archipelago, respectively (Figs. 1 and 2).
The Arctic Ocean has an area of $9.2 \times 10^6$ km$^2$ with a volume of $1.7 \times 10^6$ km$^3$ and it is semi-enclosed by land. Part of it is as deep as 4,000m. There are three major water masses, as described below. (IAEA report IASAP-7, 1998, COACHMAN and AAGAARD, 1981)
i. Arctic surface-layer water: This water mass exists up to a depth of 200m from the surface, and both temperature and salinity undergo remarkable changes depending on the ice cover.
ii. Atlantic water: The warm and salty Atlantic layer extends below the pycnocline down to depths of 800–900m and is characterized by a mid-depth temperature maximum ranging between 0.5°C and 4°C, and salinity is around 35 psu. This water mass is generated from the North Atlantic waters inflowing through the Fram Strait.
and over the Barents and Kara Sea shelves.
iii. Arctic deep-layer water: This water mass, extending below the Atlantic layer to the bottom of the ocean, has relatively high and uniform salinity (34.93 to 34.99 psu) and temperature \((-0.8^\circ\text{C} - 0.4^\circ\text{C})\).
The water of the Arctic Ocean is balanced by flows which pass through the Bering Strait and the Norwegian Sea, by precipitation and river run off and by outflow to the Barents and Greenland Seas and through the Canadian Arctic archipelago. The relative contributions of the thermohaline and wind-driven circulation to the Arctic flow are not yet clear.
The idea of “thermohaline” circulation assumed that water exchange between the Arctic Ocean and the Greenland and Norwegian Seas was caused by differences in water temperature.
and salinity between these basins. This idea is believed that the Arctic Ocean circulation was mainly thermohaline driven.
In contrast to the “thermohaline” idea, some scientists insisted that the inflow of Atlantic water into the Arctic Basin was caused by wind-forced outflow of surface water to the Greenland Sea. A series of 2-D numerical model results showed that wind were the major factor driving the Arctic Ocean circulation. Recently, 3-D coupled ice-ocean models were presented by some researchers. All of these models were directed to developing new models and describing better observed features of water and ice dynamics. WALSH and CHAPMAN (1996), SERREZE et al. (1992) and other scientists showed that the sea ice drift was done by the action of the atmosphere.
On the other hand, HOLLAND et al. (1996) demonstrated that buoyancy forcing is critical to maintain the mixed-layer circulation. It is considered that both thermohaline and wind-driven forcing are important to the Arctic Ocean’s circulation (PROSHUTINSKY and JOHNSON, 1997). At the present stage, there is insufficient information for clearly separating the roles of atmospheric and thermohaline forcing in the Arctic Ocean.
The purpose of this study consists in analyzing flow characteristics of the whole area of Arctic Sea, in order to evaluate environmental effects of dumping radioactive wastes in this sea. For analyzing diffusion of radionuclides in the sea and for evaluating radiation exposure dosage of the inhabitants, it is necessary to know water circulation of the sea area. As the first step of the study, we conducted flow analysis employing the hybrid box model, by dividing specified areas of Barents Sea and Kara Sea into boxes of $4^\circ$ by $1^\circ$ horizontally and 6 layers vertically. Obtained results of the analyses proved to be in good agreement with established flow patterns so far reported (WADA and OCHIAI, 2004). In the second stage of the study, we took the whole region of Arctic Sea as an object area, dividing into horizontal boxes as shown in Fig. 2 and 5 layers in the vertical direction. We adopted the hybrid box model as used in the first step. The model used in this paper is an approach for applying conservation of mass with high accuracy not only in each calculation box but also over the whole system. This model is named a hybrid box model, intermediate between the box model and the hydrodynamic model. The method developed in this report has been developed to cover the regional field (Arctic Ocean).
2. Method of analysis
In this research, the method of analysis based on the box (compartment) model was used. The objective of this model is to determine a exchange flow rate that can reproduce the water temperature and salinity observed in each box by creating the equations of preservation for seawater, salinity and heat balance for every box. As the second step following the first step of research, the entire Arctic Ocean was studied, using horizontal boxes of $222 \times 222$ km which varied with locations on the spherical coordinate system, which were divided vertically into 5 layers ($0–50$ m, $50–100$ m, $100–200$ m, $200–500$ m and $500–4250$ m). (Regional model, Fig. 2)
The upper 4 layers in both models (the first and the second steps) have the same layer thickness. The annual mean horizontal and vertical exchange flow rates in a total of 892 compartments were calculated to examine the movement of seawater.
Data used are:
(1) Water temperature and salinity
The data shown in the Climatological Atlas of the World Ocean (Levitus, 1982) relate to annual mean and seasonal mean fields. Of these data, flow analyses were conducted using the annual mean field. It is because flow calculations used in assessing exposure dose rates are based on the results of flow calculations using annual mean data from the viewpoint of the character of assessment.
(2) Topography
Topography is based on the ETOPO5 Data (NOAA, 1988) which are given in 5 grids.
(3) River flow rate (See Fig. 2)
From the mean flow curves shown in the monthly continental flow data (PAVLOV et al., 1993), months corresponding to the seasonal classification of water temperature and salinity are taken out and integrated.
3. Results of flow analysis in the whole Arctic Ocean
Let us now compare the results of flow analyses in the Arctic Ocean with available data (mainly surface flows).
Fig. 3 shows well-known observed flow patterns in the Arctic Ocean (Pickard and Emery, 1990). The circulation of the surface waters of the Arctic Ocean is increasingly well understood based on studies of sea-ice drift. The
Fig. 3. Observed flow patterns in the Arctic Ocean (Pickard and Emery, 1990).
prominent long-term features of the Arctic ice drift are the anticyclonic Beaufort Gyre occupying most of the Canadian Basin and the Transpolar Drift Stream flowing from the pole toward Fram Strait (Figs. 3 and 4). Here, the authors examine the velocity field at different depths in the model.
Results are shown in Figs. 5 through Figs. 6 (1), (2) and (3). Fig. 5 shows five lines illustrating the vertical behavior of water particles. Figs. 6 (1), (2) and (3) show horizontal velocity vectors in each layer. Fig. 7 shows schematic diagram of flows in the vertical direction along five lines shown in Fig. 5.
(1) Norwegian Sea and Greenland Sea
Fig. 8 shows schematic of mean ocean circulation in the Fram Strait portion of the Greenland Sea (Muench et al., 1992, Walker et al., 1995). Two main currents exchange water between the Arctic and the outer ocean through Fram Strait. The west Spitzbergen Current (WSC) is a northward-flowing extension of the Norwegian-Atlantic current. It flows through Fram Strait off the west coast of Spitzbergen, carrying warm, relatively salty water into the Arctic Ocean. The East Greenland Current (EGC), which lies west of the East Greenland Polar Front, is the main current out of the Arctic Ocean.
The Fram Strait region appears to be a region of pronounced recirculation of Atlantic water, much of it joining the southward-moving East Greenland Current to flow-back into Greenland (Muench et al., 1992, Walker et al., 1995, Gascard et al., 1995).
According to the results of tracking (Wada and Ochiai, 2004), shown in Figs. 6 (1), (2), (3) and 9, it is illustrated that a seawater particle in the Norwegian Sea (in the first layer) enters the Barents Sea, where it circulates anticlockwise, and that it submerges to the second layer in the south of Spitzbergen. Then the particle goes northward in the West Spitzbergen Current (WSC), and turns to the south by the East Greenland Current (EGC) flowing southward. The particle flows further toward the North Atlantic Ocean, moving to the third layer. These behaviors of seawater particle agree with the observed data (Wada and Ochiai, 2004, Hunkins, 1990).
In Fig. 10, a seawater particle deposited at the surface near the North Pole moves to the second layer as it passes between Franz-Josef Land and Novaya Zemlya Island, and abruptly turns toward the west. As in the case of Fig. 7, it then moves to the third layer and flows southward.
Vertical movements of water particles occur mainly between the first and third layers. Line (1–1’) in Fig. 7 clarifies the behavior of seawater particles in the vertical direction.
- In the second and third layers (50–200m deep), the water mass which has come up north from the southern Norwegian Sea and part of the water mass which has come out of the Barents Sea pass through the circulating current zone and enter the Arctic Ocean from west of Spitzbergen (Figs. 6 (2) and (3)).
- The North Atlantic water settles in the circulating current zone southwest of Spitzbergen and enters the Arctic Ocean through the middle and deep layers as shown in Figs. 6 (1), (2), Fig. 7 and Fig. 9, thus agreeing closely with the observed data as shown in Fig. 8.
- Circulation in the Fram Strait is represented schematically in Fig. 8 which are described by Gascard et al. (1995), Hunkins (1990), Paquette et al. (1985),
Fig. 5. Five measuring lines for studying the flow patterns.
Fig. 6. (1) Velocity vectors in the surface layer (0-50m).
Fig. 6. (2) Velocity vectors in the second layer (50–100m).
Fig. 6. (3) Velocity vectors in the third layer (100–200m).
based on measurement. The model results shown in Figs. 6 (1), (2) and Fig. 9 resembles the situation of Fig. 8.
The results of analysis given above confirm our assumption that density differences between the fresher Arctic Ocean and the more saline Atlantic Ocean waters are considered to be the primary driving force.
(2) Bering Strait exchange (Figs. 3 and 6 (1))
The northward flow through the shallow and narrow Bering Strait connects the Pacific (Bering Sea) and Arctic (Chukchi Sea) oceans. COACHMAN and AAGAARD (1981) note that the flow through Bering Strait is driven by a mean sea level slope of order $10^{-6}$ down toward the north, due to an effect related to the lower density of the Pacific relative to the Atlantic.
(3) Barents Sea and Kara Sea (Figs. 6 (1), (2) and 9)
In the Barents Sea, the water mass which has come out of the Norwegian Sea joins the water mass coming out of the Kara Sea and the water coming out of the Pechora River while circulating counterclockwise in the central part of the Barents Sea, and flows westward to the south of Spitzbergen.
that of the Arctic water above it. It closely agrees with the circulation route (estimated) of the North Atlantic Ocean water in the intermediate and deep layers of the Arctic Ocean (SCHLOSSER et al. 1995, GERDES and SCHAUER 1997).
Due to the paucity of high-quality deep data, the sense of circulation in the deep layers is not well established. AAGAARD and CARMACK (1989) and SMETHIE et al. (1988) deduced from mooring and tracer data a cyclonic flow around the Eurasian basin.
After circulating in the Arctic Ocean, water enters the Norwegian Sea again from the northeast coast of Greenland, which agrees with the observed data (PICKARD and EMERY 1990).
4. Consistency with the local model (Kara Sea, Barents Sea)
The authors compared the results of flow analyses with the local model (WADA and OCHIAI, 2004) and the results obtained with the regional model. Both models agree that Atlantic Ocean water enters the Barents Sea along the Norwegian Peninsula, circulates counterclockwise in the Barents Sea and enters the Arctic Ocean and Norwegian seas again. Both models reproduce the current which enters from the Arctic Ocean and the current which flows into the Barents Sea between Franz-Josef and Novaya Zemlya. The consistency between the two models is high.
5. Estimation of Errors
As we research for flows which reproduce the distribution of salinity and temperature in each box, errors in salinity and heat amount could be neglected. As for flow, we calculated errors of the conservation equation of seawater for each box. Errors of flow were evaluated both by the absolute error which is the difference of in- and outflows and the relative error which is the difference divided by the inflow. Table 1 shows coordinates in which the maximum error occurs (See Fig. 2), residual errors by the least square method, and the maximum value of relative error (residue/inflow) and coordinates.
Fig. 9. Tracking of seawater particle in the Greenland Sea.
Table 1. Errors of conservation of seawater volume.
| Layer | Coordinates | Absolute error (kton/s) | Relative error |
|------------------------|-------------|-------------------------|----------------|
| 1st layer (0–50m) | (17, 16) | $-9 \times 10^{-4}$ | $2 \times 10^{-7}$ |
| 2nd layer (50–100m) | (10, 20) | $6 \times 10^{-4}$ | $2 \times 10^{-7}$ |
| 3rd layer (100–200m) | (10, 20) | $-8 \times 10^{-4}$ | $4 \times 10^{-7}$ |
| 4th layer (200–500m) | (10, 20) | $8 \times 10^{-4}$ | $3 \times 10^{-7}$ |
| 5th layer (500–900m) | (11, 14) | $-8 \times 10^{-4}$ | $1 \times 10^{-7}$ |
The values above indicate the errors of the boxes which showed the largest error in each layer.
Fig. 10. Tracking of water particle in the whole Arctic Ocean.
Fig. 11. Dynamic depth anomaly in the Arctic Ocean (Unit: Dynamic meter $\times 10^{-3}$).
6. Comparison with geostrophic flow field
In this section, we calculated the surface dynamic height from the density flow in the whole Arctic Sea, and compare the result with that obtained by the hybrid box model which is illustrated in Fig. 6 (1), (2) and (3). In the present calculation, the level of no motion is assumed to be at 350m depth based on the results of the hybrid box model. Fig. 11 shows the obtained dynamic topography. Main features of the calculated result are:
• A clockwise circulating current exists with a center at 150° W, 76° N.
• A small-scale anti-clockwise circulation exists with a center at 140° E, 84° N.
• There exists a current that starts from the coast of Russia and passing through the North Pole, reaches near the coasts of Greenland and Canada.
From comparison of Fig. 10 and Fig. 11, it is noticed that although size of the clockwise circulation in the Canadian Basin is similar in the both cases, direction of the circulation off the Laptiv Sea is opposite. The current from the North Pole to Norwegian Basin is similar in the both cases.
7. Conclusions
A numerical hybrid box model was developed. The results reproduced many of the observed features such as the currents described below.
Particularly, stream flows in the Norwegian Sea, Barents Sea and Kara Sea agree closely with the observed data. The flow field in the surface layer of the Arctic Ocean agrees with the observed data. We could reproduce stream flows such as the West Spitzbergen Current (WSC) and the East Greenland Current (EGC) in the Fram Strait which showed a very complex flow structures.
The method of analysis used in this research was aimed at determining the flow field on the basis of observational data such as water temperature and salinity. Therefore, the importance of this data is unfathomable. Most notably regarding the Arctic Ocean, the availability of oceanographical data is very limited in comparison with other seas, so that further accumulation of data is required.
Acknowledgements
This research work was supported by the Science and Technology Agency of Japan. The authors are grateful to Mr. Teruo HOZUMI of Ark Information System for his assistance in the computational work and data processing. Thanks are also due to K. L. SJOEBLEM (IAEA), Prof. E. M. SCOTT (UK), Dr. P. GURBUTT (UK), Pr. I. HARMS (Germany), Dr. R. HELING (The Netherlands), Dr. S. P. NIELSEN (Denmark), Dr. I. OSVATH (Monaco), Dr. R. PRELLER (USA), Dr. E. ZUUR (Switzerland) and Dr. T. SAZYKINA (Russia), who are IAEA’s multidisciplinary team of scientists, for their helpful advises in development of this work.
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Received April, 5, 2002
Accepted November, 17 2003
An Observation on the Cyclonic Eddy in the Coastal Side of the Non-large Meander Path of the Kuroshio
Yoshihiko SEKINE* and Shunsuke TANAKA * †
Abstract: A weak cyclonic eddy exists in the coastal side of the non-large meander path of the Kuroshio south of Japan, while a large cyclonic eddy with a large cold water mass is accompanied by the large meander path of the Kuroshio. The CTD and ADCP observations were carried out in August 1999 and we observed a western part of the cyclonic eddy to the east of Kii Peninsula in non-large meander path of the Kuroshio. Main results of the observation are presented in this paper. It is shown that various horizontal intrusions of the less saline water with different potential density (σθ) are occurring in the salinity minimum layer. Less saline water accompanied by the cyclonic eddy in the coastal (northern) side of the main Kuroshio flow is relatively thin and covers a narrow range of σθ in the marginal area of the cyclonic eddy. Conversely, in the offshore (southern) side of the main Kuroshio flow, the horizontal intrusion of North Pacific Intermediate Water (NPIW) is thick and covers a wider range of σθ. The origin of the less saline water accompanied by the cyclonic eddy on the coastal side of the main Kuroshio flow is discussed.
Keywords: Cyclonic eddy, Intermediate Oyashio Water, Salinity minimum layer
1. Introduction
The Kuroshio south of Japan has bimodal path characteristics and a larger cyclonic eddy with a large cold water mass is formed in periods of large meander path (Shoji, 1972; Taft, 1972; Ishii et al., 1983), while a weak cyclonic eddy is also observed in periods of non-large meander path. It is well known that the salinity minimum layer also exists on both sides of the main flow of the Kuroshio (e.g., Sekine et al., 1991; Yang et al., 1993a,b and Senjyu et al., 1998), while salinity in its minimum layer is relatively high in the mean flow of the Kuroshio. Both dominant salinity minimum waters have a potential density (σθ) of 26.7–26.9.
Yasuda et al. (1996) pointed out that on the eastern side of the Izu Ridge, the North Pacific Intermediate Water (NPIW) of salinity less than 34.1 psu is formed by mixing of the Kuroshio Water and Oyashio Water to the east of 150°E and this spreads southwestward up to 25°N to form a salinity minimum layer in the subtropical circulation. Sekine et al. (2000) showed that the southwestward flow of NPIW is influenced by the topographic effect of the Izu Ridge and a westward shift of NPIW over the Izu Ridge into the Shikoku Basin is confined to the south of 30°N at a depth deeper than 2000 m, which is schematically shown in Fig. 1.
The Intermediate Oyashio Water (IOW) originated from the Oyashio Water (OW) flows southward along the east coast of Honshu and then reaches Sagami Bay (Yang et al., 1993a,b; Senjyu et al., 1998). Sekine and Uchiyama (2002) detected the outflow of IOW from Sagami Bay to the Shikoku Basin through a southeastern channel off the Izu Peninsula. They also showed that a part of IOW to the south of the Boso Peninsula flows southward along the eastern side of the Izu Ridge, then flows into the Shikoku Basin through the gate channel of the main Kuroshio.
path over the Izu Ridge between Miyake-jima and Hachijo-jima islands. The schematic view of these results is also shown in Fig. 1.
Together with these observational evidences, it is inferred from Fig. 1 that two waters forming the salinity minimum layer are separated by the main Kuroshio flow. The NPIW is confined to the south of the main axis of the Kuroshio Extension (Reid, 1965 and Talley, 1993, Yasuda et al., 1996). Recently, Sekine and Miyamoto (2002) showed a similar tendency on the western side of the Izu Ridge with the exception of the horizontal intrusion across the main Kuroshio axis to the northern coastal area during the decay period of the small meander of the Kuroshio in May 1992.
Based on these observational results, the origin and distribution of the salinity minimum water on the northern coastal side of the Kuroshio main axis in the Shikoku Basin should be examined with particulars. Here it is noted that because no less saline coastal and bay waters have a potential density greater than 26.0 owing to the characteristics of less saline water (e.g., Sekine et al., 1991), they cannot be an origin of the salinity minimum water on the coastal side of Kuroshio. In this context, we could observe a western part of the cyclonic eddy in the coastal side of the main Kuroshio flow during non-large meander path by use of training vessel “Seisui-Maru” of Mie University on 26–31 August 1999. Composite of the satellite imageries of thermal infrared by NOAA 12, 14 and 15 during the observation are shown in Fig. 2. A cyclonic eddy is located at the Enshu-nada and accompanied warm water of the Kuroshio approaches to the Kii Peninsula. Therefore, we presents the main results of the observation in this paper.
2. Observation
CTD (Neil Brown Mark IIIB) observations along the observational lines shown in Fig. 3 were made by use of the Training Vessel “Seisui-Maru” of Mie University during 26–31 August 1999. Five observational lines are set to observe the western part of the cyclonic eddy and its influence on the coastal area off Kii Peninsula. CTD observation began at Station 1 of Line 1 and ended at Station 16 of Line 5 along the continuous observational line shown Fig. 3.
Fig. 2. SST (°C) shown by NOAA 12, 14 and 15 AVHRR composite on August 25 (after, Fisheries Research Institute of Mie, 1999). (a) 2 images composite from 3:15 to 6:03 (b) 3 images composite from 14:37 to 18:37. Arrows indicate direction of the shift of the warm water, estimated by the comparison of the sequential imagery map of SST. C shows the cloud area. H and L show the area with warmer and colder temperature, respectively.
ADCP (CI-30 of Furuno Electric Inc.) observations at depths of 10 m, 50 m and 100 m were also carried out along these observational lines. Checks of the observed CTD data in comparison with standard salinity water were carried out at three observational points with about 10 layers and the worst-case accuracy of the observed CTD data was found to be 0.02 psu.
3. Results
Observed ADCP velocities are shown in Fig. 4. Because the ADCP velocity observed during CTD observation are omitted and those observed in constant ship velocity are employed, some downstream shifts of the observational points of ADCP velocity are recorded in the Kuroshio region with large eastward velocity. As indicated in Fig. 2, a southwestward counter current is observed along the Lines 1 and 2 and coastal sides of Lines 3 and 4, a western part of the cyclonic eddy is found in a western region of the Kii Peninsula. A strong eastward flow of the Kuroshio is observed in the southeastern area of lines 3 and 4. Furthermore, the eastward Kuroshio flow is dominant in all the range of Line 5.
Temperature, salinity and density ($\sigma_o$) fields along five observational lines are shown in Figs. 5, 6 and 7. As for Line 1 (Fig. 5a), isotherms, isohaline and isopycnal lines shift downward in the coastal region with the depths from 100 m to 900 m. Because the gradient of which is opposite to that in the region of the
main flow of the Kuroshio, the westward flow is suggested from the geostrophic flow balance, which corresponds to the southwestward ADCP velocity shown in Fig. 4. Less saline water ($<34.25$ psu) is observed at the offshore stations south of Station 17, while it is not observed at the coastal area.
As the Line 2 is located at nearshore region (Fig. 4), the gradients of isotherms, isohaline and isopycnal lines in the coastal region are weak (Fig. 5b) and less saline water ($<34.25$ psu) is not observed. This suggests that the less saline water does not exist in the marginal region of the cyclonic eddy. However, the less saline water appears in an eastern offshore part of the Line 3 (Fig. 6a) with Stations of 1–5, which corresponds to the downstream part of the cyclonic eddy observed in the Line 1 shown in Fig. 5a. The Line 2 does not reach to this area. The opposite gradient of the isotherms, isohaline and isopycnal lines are detected at the offshore stations of the Line 3 in the upper layer shallower than 200 m (Fig. 6a) and it corresponds to the eastward strong main Kuroshio flow shown in Fig. 4.
As the offshore southern part of Line 4 is located at the Kuroshio region, the existence of the Kuroshio flow is clearly seen at the offshore stations by the gradient of isotherms, isohaline and isopycnal lines (Fig. 6b). The Subtropical Mode Water ($>34.8$ psu) is seen in the upper layer shallower than 100 m, while it is not observed at the Line 3. Less saline water ($<34.25$ psu) is not found in the Line 4.
More significant features of the eastward Kuroshio flow are seen at all the Stations of Line 5 (Fig. 7) by the prominent gradient of isotherms, isohaline and isopycnal lines. The Subtropical Mode Water is seen in the upper layer with depths of 100 m–300 m at Stations 6–16.
It is suggested from Figs. 2 and 4 that the main Kuroshio flow exists from Station 1 to Station 8 of the Line 5. Less saline water ($<34.25$ psu) in a lower part of the main thermocline is the NPIW and it occupies the Stations 9–16 (Fig. 7) in a southern area of the main Kuroshio flow, which agrees with the fact that the NPIW is essentially confined to the southern offshore side of the main Kuroshio flow pointed out by Sekine and Miyamoto (2002). It is also shown from Fig. 7 that the NPIW south of the main Kuroshio flow has vertically thick structures in comparison with those of the less saline water in the coastal side of the main Kuroshio flow shown in Figs. 5 and 6.
In order to see the water characteristics, T-S diagram of the stations with less saline water ($<34.25$ psu) of Lines 1, 3 and 5 are shown in Fig. 8. The ordinary T-S distribution of the Kuroshio water in the Shikoku Basin is totally
Fig. 5. Observed temperature (°C) (left), salinity (psu) (center) and density ($\sigma_o$) (right) fields along Line 1 (a) and Line 2 (b). Numerals at the top of each panel show the observational stations shown in Fig. 3.
Fig. 6. Same as in Fig. 5 but for the (a) Line 3 and (b) Line 4.
suggested (ISHII et al., 1983). It is noted that there exists a splitting of the T-S lines near the salinity minimum layer, which suggests the horizontal intrusion of less saline water in this level.
To see this more clearly, salinity distribution on potential density ($\sigma_\theta$) coordinate is shown in Fig. 9. It is found that the horizontal intrusions are not carried out along an equal $\sigma_\theta$ surface and some minimum peaks of less saline water exist in the salinity minimum layer, which implies the occurrence of various kinds of less saline water intrusion with different $\sigma_\theta$ in the salinity minimum layer. Since almost similar $\sigma_\theta$ range of the intruding salinity minimum layer is found between Station 21 of Line 1 and Station 2 of Line 3, it is suggested that both Stations are commonly located at the western part of the cyclonic eddy. As for Line 3, $\sigma_\theta$ range of the intruding less saline water is relatively narrow and the peak of the salinity minimum becomes weak, if we go to the coastal side (from Station 2 to Station 5). In contrast to this, the horizontal intrusion of the less saline water is significant in all southern stations.
Fig. 7. Same as in Fig. 5 but for the Line 5.
Fig. 8. T-S diagram of Lines 1, 3 and 5. Here, only data at Stations with less saline water (<34.3 psu) shown in Fig. 9 are plotted.
Fig. 9. Salinity distribution on $\sigma_\theta$ coordinates. Line 1 (top), Line 3 (middle) and Line 5 (bottom). One vertical scale mark corresponds to 0.05 psu and the next scale mark to 34.2 psu shown by solid line is 34.25 psu.
of Line 5 and various minimum peaks with wide range of $\sigma_\theta$ are detected.
4. Discussion
We could observed a western part of the cyclonic eddy in the coastal side of the non-large meander path of the Kuroshio by use of training vessel “Seisui-Maru” of Mie University in August of 1999. It is shown that there exist various horizontal intrusions of the less saline water with different potential density ($\sigma_\theta$) in the salinity minimum layer. Less saline water accompanied by the cyclonic eddy in the coastal side of the main Kuroshio flow is relatively thin and covers a narrow range of $\sigma_\theta$ in the marginal area of the cyclonic eddy. Conversely, in the offshore side of the main Kuroshio flow, the horizontal intrusion of NPIW is thick and covers a wider range of $\sigma_\theta$.
It is suggested from these results that origin of the less saline water in the coastal side of the main Kuroshio flow is the intermediate Oyashio Water (IOW) that comes from Sagami Bay and/or gate area over the Izu Ridge between Miyake-jima and Hatijou-jima to the Shikoku Basin. Because NPIW in southern offshore side of the main Kuroshio axis has very weak tendency to go northward crossing the Kuroshio flow (Sekine and Miyamoto, 2002), the NPIW has little possibility to be the origin of the less salinity in the northern side of the Kuroshio. No less saline coastal and bay waters have a potential density greater than 26.0 (e.g., Sekine et al., 1991), they can not be the origin of less salinity water with $\sigma_\theta > 26.7$. Therefore, it is suggested that the less saline water on the coastal side of the main Kuroshio flow is originated from IOW flows out from Sagami Bay and/or the gate area of the Kuroshio over the Izu Ridge. However, these discussion has few quantitative characteristics, to draw firm conclusion, more dense observations are needed for the less saline water on the coastal side of the main Kuroshio flow in the Shikoku Basin.
Acknowledgments:
The authors wish to express their great thanks to Captain Isamu Ishikua and crews of the Training Vessel “Seisui-Maru” of Mie University for their skillful assistance during the cruises. Thanks are extended to Dr. Fukui Yamada and Mr. Keita Uchiyama of Bioresources of Mie University for their help in observation and data analyses. Valuable comments from the chief editor Jiro Yoshida and an anonymous reviewer were very helpfull in improving the manuscript.
References
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Received February 18, 2003
Accepted January 8, 2004
The relationship between logPow and molecular weight of polycyclic aromatic hydrocarbons and EC50 values of marine microalgae
Yutaka OKUMURA, * † Jiro KOAYAMA, ‡ and Seiichi UNO ‡
Abstract: The effect of five polycyclic aromatic hydrocarbons (dibenzothiophene, phenanthrene, naphthalene, fluorene and hydroxybiphenyl) on the growth of eight marine microalgae (Bacillariophyceae; Skeletonema costatum, Chaetoceros calcitrans, Prasinophyceae; Tetraselmis tetraethele, Haptophyceae; Isochrysis galbana, Pavlova lutheri, Dinophyceae; Prorocentrum minimum, Euglenophyceae; Eutreptiella sp. and Chlorophyceae; Dunaliella tertiolecta) was investigated. D. tertiolecta to all polycyclic aromatic hydrocarbons (PAHs) was the most tolerant species of the microalgae tested, EC50 values of dibenzothiophene, phenanthrene and naphthalene on D. tertiolecta were higher than the highest concentrations tested and therefore could not be determined in this experiment. On the other hand, the most sensitive microalgae varied with the compounds of PAHs. Eutreptiella sp. to dibenzothiophene, P. lutheri to phenanthrene, fluorene and naphthalene, P. minimum to phenanthrene and C. calcitrans to hydroxybiphenyl were the most sensitive species. Linear equation between the octanol/water partition coefficient (logPow) of all PAHs tested and EC50 values (log(1/EC50)) of all microalgae tested was log(1/EC50) = 0.87 × logPow − 0.76 (r²=0.75). The ranges of the upper and lower 95% confidence limits were more than 1.4, the variation of algal sensitivity was more than twenty-five fold. EC50 values of C. calcitrans and T. tetraethele tested had a higher correlation to the molecular weight than to the logPow of the PAHs.
Keywords: Toxicity tests, Marine microalgae, Aromatic hydrocarbons, Octanol/water partition coefficient, Molecular weight
INTRODUCTION
Toxicity tests of petroleum components have been examined to predict the influence of accidental pollution on aquatic organisms. The toxicity effects on microalgae, primary producers in the aquatic food web, have also been reported (PULICH et al., 1974, WINTERS et al., 1976, HSIAO, 1978, BATE and CROFFORD, 1985, VANDERMEULEN and LEE, 1986, VANDERMEULEN, 1986, MORALES-LOO and GOUTX, 1990, EL-DIB et al., 1997). Several of these studies report that the toxic concentration for microalgae varied with the origin of crude oil (WINTERS et al., 1976, HSIAO, 1978), because the components of aromatic hydrocarbons in crude oil vary with the source of origin. Therefore, toxicity effects of individual aromatic hydrocarbons which along with paraffin and asphalt from the main components in crude oil, on microalgae should be examined. Although the toxic effects on freshwater microalgae (U.S. EPA, 1980, HERMAN et al., 1990, HERMAN et al., 1991, SHEEDY et al., 1991), on marine microalgae (DUNSTAN et al., 1975, KUSK, 1980, 1981a, 1981b) have been investigated, there is little available data on polycyclic aromatic hydrocarbons (PAHs) on marine microalgae.
Recently, predictions of toxicity have led to the examination of relationships between the physicochemical properties of chemicals (water solubility, octanol/water partition coefficient etc.) and the bioconcentration factor, or between the physicochemical properties and toxic effects. Although there are several reports for
Table 1 Structure, molecular weight and logPOW of aromatic hydrocarbons in this study.
| Generic name | Structure | Molecular weight | logPOW | Reference of logPOW |
|--------------------|----------------------------|------------------|--------|---------------------|
| Hydroxybiphenyl | HO- | 170.21 | 3.20 | HANSCH et al. (1995)|
| Naphthalene | | 128.18 | 3.30 | HANSCH et al. (1995)|
| Fluorene | | 166.22 | 4.18 | HANSCH et al. (1995)|
| Dibenzothiophene | | 184.26 | 4.38 | HANSCH et al. (1995)|
| Phenanthrene | | 178.24 | 4.46 | HANSCH et al. (1995)|
freshwater microalgae (GEYER et al., 1981, Geyer et al., 1984, Calamari et al., 1983, Wong et al., 1984, Shigeoka et al., 1988, Herman et al., 1991) and several aquatic organisms (Galassi et al., 1988, Ikemoto et al., 1992, Fukushima, 1983), there are few reports which have investigated the relationship between EC50 (Effective Concentration of 50%) values in marine microalgae and octanol/water partition coefficient (Pow) of PAHs, particularly, reports which investigate multiple species of marine microalgae under the same test conditions are limited.
The OECD guidelines (OECD, 1984), one of the manuals for standard methods of toxicity tests, recommends that test species of microalgae are freshwater microalgae; *Selenastrum capricornutum*, *Scenedesmus subspicatus* and *Chlorella vulgaris*. However, test species of marine microalgae, that are necessary to toxicity estimation of chemicals in the marine environment were not selected. Therefore, it is important for establish methods to select suitable species for algal sensitivity testing.
The purpose of this study is to determine the EC50 values of PAHs on eight species of marine microalgae. Moreover, we compared the sensitivity among test microalgae, or the toxicity among test chemicals. The relationship between EC50 values of microalgae and physicochemical properties (logPow or logM.W.) of PAHs are investigated.
**MATERIALS AND METHODS**
**Test organisms**
Eight species of marine microalgae were used in the experiments as test organisms. Bacillariophyceae; *Skeletonema costatum* (NIES –324) was obtained from The Microbial Culture Collection, National Institute for Environmental Studies (NIES-Collection), Ministry of the Environment Japan. Prasinophyceae; *Tetraselmis tetrathele*, Haptophyceae; *Paulova lutheri* were obtained from Marine Ecology Research Institute, Japan. Haptophyceae; Isochrysis galbana, Dinophyceae; *Prorocentrum minimum*, and Euglenophyceae; *Eutreptiella* sp. were obtained from JANUS Co., Japan. Chlorophyceae, *Dunaliella tertiolecta* and Bacillariophyceae, *Chaetoceros calcitrans* were obtained from Kitasato University, Japan.
**Test chemicals**
The PAHs used in the experiments were dibenzothiophene ($C_8H_6C_6H_5S$), phenanthrene
Table 2. Estimated EC50 values with slope, y intercept and $r^2$ of linear regression.
| | estimated EC50 | Slope | y intercept | $r^2$ Squared |
|------------------|----------------|---------|-------------|---------------|
| **Dibenzothiophene** | | | | |
| *S. costatum* | 0.20 | 128.2 | 139.0 | 0.99 |
| *C. calcitrans* | 0.14 | 63.9 | 103.6 | 0.98 |
| *T. tetrathele* | 0.14 | 48.2 | 91.1 | 0.97 |
| *I. galbana* | 0.14 | 53.3 | 95.4 | 0.89 |
| *P. lutheri* | 0.12 | 60.7 | 105.4 | 0.98 |
| *P. minimum* | 0.16 | 270.6 | 267.5 | 1.00 |
| *Eutreptiella sp.* | 0.06 | 78.1 | 147.7 | 0.95 |
| *D. tertiolecta* | >0.49 | — | — | — |
| **Phenanthrene** | | | | |
| *S. costatum* | 0.15 | 60.6 | 99.7 | 0.93 |
| *C. calcitrans* | 0.34 | 153.7 | 122.8 | 1.00 |
| *T. tetrathele* | 0.29 | 156.3 | 133.7 | 1.00 |
| *I. galbana* | 0.14 | 62.4 | 103.5 | 0.97 |
| *P. lutheri* | 0.09 | 63.1 | 115.0 | 0.97 |
| *P. minimum* | 0.09 | 105.4 | 157.9 | 0.99 |
| *Eutreptiella sp.* | 0.13 | 107.1 | 144.7 | 1.00 |
| *D. tertiolecta* | >0.46 | — | — | — |
| **Naphthalene** | | | | |
| *S. costatum* | 1.83 | 196.8 | −1.8 | 1.00 |
| *C. calcitrans* | 3.73 | 114.4 | −15.4 | 0.97 |
| *T. tetrathele* | 5.39 | 274.3 | −150.7 | 0.97 |
| *I. galbana* | 0.84 | 102.5 | 57.8 | 1.00 |
| *P. lutheri* | 0.66 | 120.4 | 71.9 | 0.96 |
| *P. minimum* | 1.63 | 330.5 | −20.2 | 0.79 |
| *Eutreptiella sp.* | 1.14 | 73.5 | 45.9 | 0.98 |
| *D. tertiolecta* | >13.8 | — | — | — |
| **Fluorene** | | | | |
| *S. costatum* | 0.17 | 64.5 | 100.2 | 0.99 |
| *C. calcitrans* | 0.34 | 79.7 | 87.3 | 0.98 |
| *T. tetrathele* | 0.67 | 81.5 | 64.0 | 1.00 |
| *I. galbana* | 0.11 | 50.7 | 99.2 | 0.95 |
| *P. lutheri* | 0.08 | 44.8 | 100.0 | 0.98 |
| *P. minimum* | 0.24 | 104.4 | 114.6 | 0.96 |
| *Eutreptiella sp.* | 0.23 | 109.0 | 119.9 | 0.99 |
| *D. tertiolecta* | 1.07 | 40.4 | 48.8 | 0.98 |
| **Hydroxybiphenyl** | | | | |
| *S. costatum* | 1.11 | 119.5 | 44.5 | 0.99 |
| *C. calcitrans* | 0.59 | 108.9 | 74.7 | 1.00 |
| *T. tetrathele* | 0.85 | 160.3 | 61.5 | 1.00 |
| *I. galbana* | 1.54 | 87.5 | 33.6 | 0.92 |
| *P. lutheri* | 0.73 | 66.7 | 59.3 | 0.57 |
| *P. minimum* | 1.06 | 79.1 | 48.1 | 0.90 |
| *Eutreptiella sp.* | 1.27 | 61.0 | 43.6 | 0.94 |
| *D. tertiolecta* | 3.61 | 50.8 | 21.7 | 0.94 |
(unit of EC50s: mg/l)
(C$_{11}$H$_{10}$), naphthalene (C$_{10}$H$_{8}$), fluorene (C$_{13}$H$_{12}$CH$_2$C$_6$H$_5$) and hydroxybiphenyl (C$_{14}$H$_{10}$C$_6$H$_5$OH). All PAHs tested were purchased from Wako Chemicals, Japan. The chemical structure, molecular weight (M.W.) and logPow of the PAHs tested are shown in Table 1. Relationship between logPow and logM.W. of naphthalene, fluorene and phenanthrene showed strong linear relationships (logM.W.$=0.12 \times \log Pow + 1.7$, $r^2=0.99$), while the correlations of all PAHs contain hydroxybiphenyl and dibenzothiophene (logM.W.$=0.0067 \times \log Pow + 2.0$, $r^2=0.43$) were weaker than of naphthalene, fluorene and phenanthrene.
**Culture conditions**
Each alga was cultured in a 300 ml of Erlenmeyer flask containing 200 ml of f/2 medium (Guillard and Ryther, 1962) in stock culture. In toxicity tests, glass test tubes (25×200mm, 64 ml) containing 30 ml of f/2 medium were used to directly measure *in vivo* fluorescence using a fluorescence meter (Turner designs 10–005R). All growth media were autoclaved at 121°C for 20 minutes. The algae were cultured at a temperature of 20±1°C, under light intensity of 3500 to 4500 lux (38.9 to 50.0 μmol m$^{-2}$ s$^{-1}$) and a 14:10 light: dark cycle for the stock cultures and toxicity tests.
**Toxicity tests**
Firstly, the test concentrations of each PAH were adjusted. The maximum concentration of each PAH was prepared by adding a specific volume to the filtered sterile f/2 medium, shaking in a 1000ml beaker for about 24 hours under dark conditions and filtering using sterile glass fiber filters (Whatman GF/F). Each test concentration was prepared by diluting the maximum concentration medium with filtered sterile f/2 medium.
Secondly, test tubes containing 30ml of the growth medium into which the PAHs were mixed at appropriate concentrations, and 0.6ml of the algal stock solution at exponential growth phase were inoculated into the growth media. The experiments were carried out in triplicate. The growth of the algae was monitored daily by *in vivo* fluorescence using a fluorescence meter (Turner designs 10–005R),
which has been shown to have a strong relation to the Chl $a$ concentration (Lorenzen, 1966, Strickland, 1968) and cell numbers (Yamaguchi, 1994), and has been used as a measurement of microalgal biomass (Lewis, 1995). The test period was 4 days.
Thirdly, after each chemical in test medium was extracted using $n$-hexane (Ministry of the Environment, 1998), chemical concentrations were measured by using gas chromatography (Shimadzu GC–14B) coupled with flame-ionization detector (FID) (Standard methods, 1998).
**Data analysis**
EC50 values were calculated using modified methods of the OECD guidelines (OECD 1984), as outlined below.
The area under the growth curve of individual test vessels was calculated using the following equation.
$$A = \frac{(N_1 - N_0)}{2} \times t_1 + \frac{(N_1 + N_2 - 2N_0)}{2} \times (t_2 - t_1) + ... + \frac{(N_{n-1} + N_n - 2N_0)}{2} \times (t_n - t_{n-1})$$
where;
$A =$ area under the growth curve,
$N_i =$ in vivo fluorescence intensity at $t_i$ (relative units),
$N_i =$ in vivo fluorescence intensity at $t_i$ (relative units),
$Nn =$ in vivo fluorescence at $t_n$ (relative units),
$t_1 =$ time of first measurement after beginning of test,
$t_n =$ time of nth measurement after beginning of test.
Then, the percent inhibition of the growth area of the mean value for individual test concentration to the mean value for controls in each experiments was calculated using the following equation.
$$Ia = \frac{(Ac - At)}{Ac} \times 100.$$
Where;
$Ia =$ percent inhibition of the growth area for an individual test vessel.
$At =$ mean area of each test concentration,
$Ac =$ mean area of the controls in each experiment.
The $Ia$ value was plotted against each test concentration on a semi-logarithmic scale. The growth inhibition rates were calculated by linear regression analysis. EC50 is the concentration showing a $Ia=50\%$.
After calculating the EC50 values, the mean rank of the toxicity of PAH and the algal sensitivity and PAHs toxicity were determined by using the statistical method; Friedman test using SPSS 10.0J for Windows, SPSS Inc.. 95% confidence limits of the linear relationship between logPow of PAHs and log(1/EC50) of all microalgae except for *D. tertiolecta* were calculated using methods of Kawabata (1995) and Snedecor (1963).
**RESULTS**
**Algal sensitivity**
The EC50 values of PAHs on marine microalgae are shown in Table 2. The most sensitive species of microalgae varied with the compounds of PAHs. *Eutreptiella* sp. was most sensitivite to dibenzothiophene. *P. lutheri* was most sensitive to phenanthrene, naphthalene and fluorene. *P. minimum* and *P. lutheri* were of equally the most sensitive to phenanthrene. *C. calcitrans* was the most sensitive to hydroxybiphenyl. On the other hand, *D. tertiolecta* had the lowest sensitivity to all PAHs of all the microalgae. EC50 values of dibenzothiophene, phenanthrene and naphthalene for *D. tertiolecta* were not measured, because the inhibition values on the maximum concentrations used in the toxicity testing were less than 50%, and were approximately 30%, 10%, and 40%, respectively. The EC50 value of fluorene for *D. tertiolecta* was approximately six times as high as *P. lutheri*. The EC50 value of hydroxybiphenyl for *D. tertiolecta* was approximately thirteen times as high as *C. calcitrans*.
The mean rank calculated using the Friedman nonparametric test was *P. lutheri* < *Eutreptiella* sp., < *I. galbana* < *P. minimum* < *C. calcitrans* < *S. costatum* < *T. tetrathele* (The value of the chi-square statistic is 12.906, with a significant of 0.045).
Toxicity of PAHs
In this study, EC50 values for dibenzothiophene were between 0.06 and >0.49ppm. EC50 values for phenanthrene were between 0.09 and >0.46ppm. Those for naphthalene were between 0.66 and >13.8ppm, and for fluorene between 0.08 and 1.07ppm and for hydroxybiphenyl between 0.59 and 3.6ppm. The mean rank calculated by the Friedman test was dibenzothiophene< fluorene< phenanthrene< hydroxybiphenyl< naphthalene (The value of the chi-square statistic is 22.540, with a significant of 0.000).
Relationship between the EC50 values (mM/l) and the physical properties of PAHs
The square of the regression coefficients between logPow of naphthalene, fluorene and phenanthrene gave a strong linear relationship with the molecular weight, and the log(1/EC50) values of *S. costatum*, *T. tetraethele*, *P. lutheri*, *I. galbana*, *P. minimum*, *Eutreptiella* sp. and *C. calcitrans* were 0.97, 0.99, 0.92, 0.91, 0.99, 0.99 and 0.96, respectively. All values for individual microalga except for *D. tertiolecta*, were more than 0.91 (data not shown in figure). The square of the regression coefficient of all microalgae except for *D. tertiolecta* was approximately 0.78 (log(1/EC50) = 1.05 × log Pow−1.56). The square of regression coefficients between log Pow of all PAHs and log(1/EC50) ranged from 0.57 to 0.95 (Fig. 1). In test microalgae, the square of the regression coefficients of *S. costatum*, *I. galbana*, *P. minimum*, *P. lutheri* and *Eutreptiella* sp. were more than 0.91, while for *C. calcitrans* and *T. tetraethele* were less than 0.61. The square of the regression coefficients between the molecular weight of all PAHs and logEC50, except for *D. tertiolecta* ranged from 0.35 to 0.93 (Fig. 2). The square of the regression coefficients of *S. costatum*, *I. galbana*, *P. minimum*, *P. lutheri* and *Eutreptiella* sp. were less than 0.65, while for *C. calcitrans* and *T. tetraethela* approximated 0.93. The linear equation between all PAHs and microalgae tested, except for *D. tertiolecta*, was log(1/EC50) = 0.87 × logPow−0.76 ($r^2=0.75$). The upper and lower ranges of the 95% confidence limits of the linear equation were more than 1.4.
DISCUSSION
Algal sensitivity
In this experiment, *D. tertiolecta* was most tolerant to the PAHs of the microalgae tested and therefore as a test species *D. tertiolecta* should not be used. On the other hand, the most sensitive microalgae varied with the compounds of PAHs, although *P. lutheri* was the most sensitive species to all the PAHs tested (from the results of Friedman test). From these results, it can be conducted that sensitivity testing should be carried out on several species of microalgae. In similar results regarding algal toxicity, *D. tertiolecta* was more tolerant to PCBs and DDT than diatoms (MOSSER et al., 1972, MENZEL et al., 1970), more tolerant to benzene, toluene and xylene than *S. costatum* (DUNSTAN et al., 1975), and was the most tolerant to five organic solvents in nine marine microalgae tested (Y. OKUMURA, personal communication). VANDERMEULEN (1986) reported that the sensitivity of *P. lutheri* to naphthalene was higher than other microalgae. However, algal sensitivities to oils varied with the type of oils (PULICH et al., 1974, WINTERS et al., 1976). Contrary to our results, there is a report that *D. tertiolecta* is the more sensitive to crude oil than *S. costatum* and *P. minimum* (MORALES-LOO and GOUTX, 1990). One factor by which algal sensitivity varies with components of oil is the variation of oil type, or the components of chemicals in the oil, such as the ratio between the aromatic, paraffinic and asphaltic fractions, or the volatile fractions. PULICH et al. (1974) reported that the volatile fractions of oils have variable effects on microalgae. BATE et al., (1985) reported that the different oil treatments have different effects on several microalgae. In this study, the slopes of the linear regressions between the EC50 values and the logPow of naphthalene, fluorene and phenanthrene, show strong linear relationships to all microalgae except for *D. tertiolecta*, and ranging from 0.88 to 1.20, with the intercepts of the linear regression ranging from −0.67 to −2.60. The slopes and the intercepts of the linear regressions varied with the algal species. Some of the linear regressions intersected. So, it is possible that the sensitivity of each microalgae
Fig. 1. The linear regression equation relationship between logPow of the five PAHs and log (1/EC50) of the microalgae tested. *1 is the linear equation and upper and lower 95% confidence limits of all microalgae except for *D. tertiolecta*.
Fig. 2. The linear regression equation relationship between logM.W. of the five PAHs and log (1/EC50) of the microalgae tested. *1 is the linear equation of all microalgae except for *D. tertiolecta.*
Table 3 The relationship between logPow and EC50
| chemicals | habitat of test algae | linear regression equation | correlation coefficient r | test periods | unit | reference |
|----------------------------------|-----------------------|----------------------------|---------------------------|--------------|--------|--------------------|
| polycyclic aromatic hydrocarbons | marine | $\log(1/\text{EC50}) = 0.87 \times \log\text{Pow} - 0.76$ | 0.75 | 96-h | mM/l | This study |
| clorobenzenes | freshwater | $\log(1/\text{EC50}) = 0.92 \times \log\text{Pow} - 1.4$ | 0.97 | 96-h | mM/l | CALAMARI et al. 1983 |
| clorobenzenes | freshwater | $\log(1/\text{EC50}) = 0.99 \times \log\text{Pow} - 1.8$ | 0.997 | 3-h | mM/l | CALAMARI et al. 1983 |
| clorobenzenes | freshwater | $\log(1/\text{EC50}) = 1.000 \times \log\text{Pow} - 2.676$ | 0.968 | 4-h | mM/l | WONG et al. 1984 |
| chlorophenols | freshwater | $\log(1/\text{EC50}) = 0.887 \times \log\text{Pow} - 1.545$ | 0.98 | 96-h | mM/l | SHIGEOKA et al. 1988 |
| chlorophenols | freshwater | $\log(1/\text{EC50}) = 0.543 \times \log\text{Pow} - 0.909$ | 0.845 | 96-h | mM/l | SHIGEOKA et al. 1988 |
| volatite aromatic hydrocarbons | freshwater | $\log(1/\text{EC50}) = 0.94 \times \log\text{Pow} - 3.59$ | 0.99 | 12-h | mg/l | HERMAN et al. 1991 |
| aromatic hydrocarbons | freshwater | $\log(1/\text{EC50}) = 0.91 \times \log\text{Pow} - 4.45$ | 0.9471 | 72-h | mM/l | GALASSI et al. 1988 |
| alcohols, benzenes | freshwater | $\log(1/\text{EC50}) = 0.935 \times \log\text{Pow} - 3.341$ | 0.964 | 120-h | mM/l | IKEMOTO et al. 1992 |
was reversed by logPow of test PAHs. For example, it may be that one microalgae is more sensitive to PAHs of low logPow than the other microalgae, which is less sensitive to PAHs of high logPow than the other microalgae, or that one microalgae is less sensitive to PAHs of low logPow than the other microalgae, is more sensitive to PAHs of high logPow than the other microalgae. Dibenzothiophene and hydroxybiphenyl for which the ratio of logM.W. to logPow was higher than values of naphthalene, fluorene and phenanthrene for some of the microalgae (C. calcitrans and T. tetratele) and tended to have a higher toxicity than the other PAHs. The regression coefficients between logM.W. and log (1/EC50) values of these microalgae tended to be higher than of the other microalgae, and the regression coefficients between logPow and log (1/EC50) values of the microalgae. So, it may be that PAHs are the ratio of logM.W. to logPow are higher, varied with algal sensitivity.
Regarding strains of test microalgae, FISHER et al. (1973) and MURPHY et al. (1980) reported that algal sensitivity, even if within the same species of microalgae, varied with environmental factors. It may be that the strain influences the algal sensitivity.
SHEEDY et al. (1991) reported that the 14day-EC50 value of naphthalene on the freshwater algae, Selenastrum capricornutum was 25ppm. US-EPA (1980) reported that the 48hour-EC50 value of naphthalene on Chlorella vulgaris was 33ppm. In our study, EC50 values of naphthalene were between 0.66 to >13.8ppm. The sensitivity of marine microalgae to naphthalene tended to be higher than the freshwater microalgae.
Comparison of linear regression equations between logPow and EC50
Several reports regarding the linear regression equation between logPow of chemicals and EC50 values of microalgae have been published (Table 3). The slope of the linear equations ranged from 0.54 to 1.00, the intercept ranged from −4.45 to −0.91. In this study, the slope and intercept of all PAHs tested were 0.87 and −0.76, respectively. The slope and intercept of the linear regression equation to naphthalene, fluorene and phenanthrene were 1.05 and −1.56, respectively. Our equations are approximately in agreement with the equations of given in the references in the Table 3. The ranges of the
upper and lower 95% confidence limits of the linear regression equations were more than 1.4, the variation of algal sensitivity was more than twenty-five fold. Although the species of test chemicals and the range of logPow of chemicals were limited, the upper 95% confidence limit of our equation was highest and in the linear regression equations of given in the references in the Table 3, the upper 95% confidence limit of our equation was the most sensitive compared to other values in the literature.
From our equation, for example it is clear that the toxicity of phenanthrene, for which the logPow is 4.46, is higher in toxicity than naphthalene, which has a logPow of 3.3, while the water solubility of phenanthrene is lower than naphthalene. So, we conclude that the PAHs such as hydroxybiphenyl and dibenzothiophene for which the ratio of molecular weight to Pow is high, have a higher toxicity than naphthalene, fluorene and phenanthrene.
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Received October 1, 2003
Accepted January 10, 2004
Influence of seagrass leaf density and height on recruitment of the cardinalfish *Cheilodipterus quinquefasciatus* in tropical seagrass beds: an experimental study using artificial seagrass units
Yohei NAKAMURA*, Masahiro HORINOUCHI** and Mitsuhiko SANO*
Abstract: To clarify the effects of differences in seagrass leaf density and height on the appearance of newly-recruited fishes, a field experiment using artificial seagrass units (ASUs) was undertaken at Iriomote Island, the Ryukyu Islands, Japan. Four types of small-scale, structurally-different ASUs, including (1) long dense leaves (D-units), (2) long leaves thinned to about 40% of D-unit density (T-units), (3) dense leaves shortened to 40% of D-unit height (S-units), and (4) no leaves (control; C-units), were used. Dividing observations were made to count recruited fishes on each ASU daily over 14 consecutive days. A total of 10 species in 7 families were recruited to the ASUs. The cardinalfish, *Cheilodipterus quinquefasciatus*, dominated (85% of cumulative total number of fishes). The mean number of *C. quinquefasciatus* recruits per replicate on D-units was significantly greater than that on the other unit types, indicating that difference in leaf density and height affected the recruitment of the juvenile of this fish species.
Keywords: recruitment, seagrass leaf density, seagrass leaf height, *Cheilodipterus quinquefasciatus*.
1. Introduction
Leaf density and height in seagrass habitats could be important as fish appearance and abundance, because complexity as habitat can provide shelters (HECK and ORTH, 1980; BELL and POLLARD, 1989), microhabitat availability (HECK and ORTH, 1980), and diverse and abundant prey (ORTH et al., 1984; CONNOLLY and BUTLER, 1996; JENKINS et al., 2002). Such complexity in habitat structured by seagrass leaves strongly affects juvenile growth rates and mortality especially for vulnerable juveniles (HECK and ORTH, 1980; BELL and POLLARD, 1989, LEVIN et al., 1997). However, relationships between seagrass structural attributes (leaf density and height) and fish abundance patterns are not fully understood (WILLIAMS and HECK, 2001), in spite of several attempts. While some studies have found that greater leaf density and/or height support larger numbers of fish species and individuals (BELL and WESTOBY, 1986a, b), others have found little or no relationship among these factors (BELL and WESTOBY, 1986c; BELL et al., 1987; CONNOLLY, 1994; HORINOUCHI and SANO, 1999, 2001).
Use of artificial seagrass has been effective in manipulative experiments to clarify the relationships between habitat structure and organisms in seagrass habitats (BELL et al., 1987; LEE et al., 2001; JENKINS et al., 2002). BELL et al. (1985), for example, found that artificial seagrass effectively attracted juvenile fish and macro-invertebrates typical of natural seagrass. In the present study, artificial seagrass units (ASUs) were used to simulate natural reef-associated seagrass patches so as to clarify the influence of seagrass leaf density and
height on the abundance of newly-recruited fishes. Specifically, the recruitment of cardinalfish, *Cheilodipterus quinquelineatus*, which was dominant in the seagrass habitats was examined in ASUs with different seagrass leaf density and height.
Fig. 1 Map of the study site at Iriomote Island, Ryukyu Islands, Japan, showing the locations of the five experimental square plots. D, T, S and C on each corner of the plot indicate four artificial seagrass treatments. For explanation of each artificial seagrass treatment, see text.
2. Materials and Methods
2.1 Study site
The study was carried out on a fringing coral reef in Amitori Bay (24°20' N, 123°42' E), western side of Iriomote Island, the Ryukyu Islands, southern Japan, in May, 2003 (Fig. 1). Next to a coral-dominated area, a seagrass bed formed an extensive belt along the shore. Vegetation in the bed was dominated by *Enhalus acoroides*, having a mean shoot density of $122.4 \pm 18.9$ (SD) m$^{-2}$ ($n=6$), and mean height of $50.6 \pm 10.4$ cm ($n=30$). The experiment was conducted in a flat and sandy-rubble area adjacent to the edge of the seagrass bed. In this area, some coral and seagrass patches occurred at a low-tide depth of about 1 m.
2.2 Experimental design
Each ASU was constructed of green polypropylene leaves (10 mm in width and 1 mm in thickness) tied to a 50 cm square green steel mesh base. The basic experimental design involved five replicates of each of four artificial seagrass treatments (Fig. 2): (1) long dense leaves (50 cm in height, $12 \times 12$ rows = 144 leaves per unit, D-units), (2) long leaves thinned to
about 40% of D-unit density (50 cm in height, $8 \times 8$ rows = 64 leaves, T-units), (3) dense leaves shortened to 40% of D-unit height (20 cm in height, $12 \times 12$ rows = 144 leaves, S-units) and (4) base without leaves (control, C-units).
At the study site, five 5 m square plots, separated from one another by at least 30 m, were established randomly at least 5 m distant from natural seagrass and coral patches (Fig. 1). Each ASU treatment was randomly assigned to each corner of each plot (i.e. 4 ASU treatments per plot). The ASUs were set on May 14, with deliberate efforts made not to disturb fishes.
### 2.3 Fish censuses
All individuals of each fish species in the ASUs were visually counted using SCUBA, between 1000 and 1600 h everyday from May 15 to 29. Individuals maintaining a position in open areas close to the outer edge of the units were also regarded as residents of the units and counted. During the underwater observations, the total length (TL) of each individual was estimated to the nearest millimeter with a transparent plastic ruler (Sano, 1997). Such observations were conducted very carefully, in order not to disturb the fishes.
*Cheilodipterus quinquelineatus* was selected as the target species of the study, because it recruited on the ASUs more abundantly than other species (see Results). We defined recruits as settled juveniles surviving until the final census date (Jones, 1990; Levin, 1994). In Amitori Bay, juvenile *C. quinquelineatus* commonly inhabit seagrass beds and coral patches on reef flats, whereas adults are abundant on reef slopes (Kagawa, 2003). Newly-recruited individuals (<25 mm TL; Finn and Kingsford, 1996) are found mostly in May and June (Kagawa, 2003), feeding mainly on calanoid copepods (93% of total food volume) (Nakamura, unpubl. data).
### 2.4 Data analysis
*Cheilodipterus quinquelineatus* recruit numbers in the ASUs were compared among the four treatments. Because the fish censuses were repeated without any removal of fish from the ASUs, the number of individuals counted at each census included both new and previously observed recruits. Under this sampling design, the data set obtained on each census date is not independent. Therefore, single-factor repeated-measures analysis of variance (ANOVA) was applied to test whether or not the density of *C. quinquelineatus* recruits differed among ASU types, and a post hoc Student-Newman-Keuls multiple comparison test was conducted to examine the difference in the mean values. Prior to the analyses, data were transformed to $\sqrt{x+0.5}$, owing to fish being absent on some ASUs during the study period (Zar, 1999). C-units were excluded from this analysis, because no fish were observed on those units throughout the study period.
### 3. Results
A total of 10 species in 7 families were recorded in the ASUs (Table 1). *Cheilodipterus quinquelineatus* recruits accounted for 85% of the cumulative total number of all species (Table 1). The size range of this species was 11 to 25 mm TL (Table 1).
The repeated-measures ANOVA demonstrated a highly significant difference in the mean number of *C. quinquelineatus* recruits per replicate, among the three types (D-, T-, and S-units) ($F_{2,20} = 21.4$, $P < 0.001$; Fig. 3). The Student-Newman-Keuls multiple comparison test indicated that density of recruits on the D-unit was significantly greater than those on the T- and S-units (D->T=S-unit, $P < 0.05$). *C. quinquelineatus* recruits were always observed on the D-units, from the first day after setting the ASUs until the last day of the experiment (Fig. 3). Although the mean numbers of recruits in the D-units were low (0.2–1.6 individuals) during the first to ninth days, many recruits (> 8.8 individuals) were found from the tenth to fourteenth days. In the T- and S-units, on the other hand, the few individuals observed on the second and third days after setting subsequently disappeared (Fig. 3). No recruits were observed in the C-units.
In the D-units, most *C. quinquelineatus* recruits occurred along the outer wall of the units (about 90% of the cumulative total number of fish counted), although some individuals were found inside the units.
Table 1 Cumulative number of individuals and size range (total length) of fish species which occurred on the ASUs during the study period
| Family | Species | No. of individuals | Total length range (mm) |
|-----------------|--------------------------------|--------------------|-------------------------|
| Pomacentridae | *Dischistodus prosopotaenia* | 21 | 15 |
| Labridae | *Coris batuensis* | 1 | 25 |
| | *Oxycheilinus bimaculatus* | 2 | 40 |
| Scaridae | *Calotomus spinidens* | 2 | 25,40 |
| Apogonidae | *Apogon ishigakiensis* | 1 | 11 |
| | *Apogon properuptus* | 2 | 12 |
| | *Cheilodipterus quinquelineatus* | 232 | 11–25 |
| Pinguipedidae | *Parapercis cylindrica* | 3 | 40 |
| Blenniidae | *Meiacanthus grammistes* | 9 | 15–18 |
| Monacanthidae | *Acreichthys tomentosus* | 1 | 20 |
Fig. 3 Mean number ($\pm$ SE) of *Cheilodipterus quinquelineatus* recruits per replicate ($n=5$) on each type of artificial seagrass unit (D-, T-, S-, and C-units) over 2 weeks.
4. Discussion
All of the fish species occurred in the ASUs were observed in adjacent natural seagrass habitats (NAKAMURA et al., 2003; NAKAMURA and SANO, 2004). In addition, a large number of *Cheilodipterus quinquelineatus* recruits appeared in the ASUs simultaneously with their occurrence in adjacent natural seagrass habitats. This indicates that the ASUs in the present study were effective in investigating the effects of seagrass leaf height and density on fish recruitment patterns.
D-units with long dense seagrass leaves supported a number of *C. quinquelineatus* recruits, whereas few or no recruits appeared on the other unit types with shorter or sparser leaves, throughout the study period. This suggests a preference by recruits for some factors associated with long dense seagrass.
Most recruits on the D-units were positioned in open areas close to the outer limit of the reefs. Similarly, recruit abundance of *C. quinquelineatus* at the outer limits of natural seagrass microhabitat is significantly greater than that inside such habitats (NAKAMURA, unpubl. data).
Several possible explanations for such microhabitat use can be offered. Hydrodynamics sometimes plays an important role in affecting the distribution patterns of small fishes. BREITBURG et al. (1995), for example, found that larvae of *Gobiosoma bosc* actively selected a low flow microhabitat associated with the downcurrent sides of structures. In the present study, the greater abundance of *C. quinquelineatus* in open areas close to the
"walls" of seagrass leaves indicate their preference for low-flow microhabitats, owing to possible wave attenuation at such sites (Gambi et al. 1990). On the other hand, the occurrence of few recruits inside the units may be due to the oscillation of the leaves with water motion. At the present study site, flapping and undulating movements of seagrass leaves were regularly observed, sometimes having high amplitude. Because such movements can physically disturb small fish among the seagrass leaves, the juveniles would prefer the outer edge (Horinouchi and Sano, 1999).
For such small-sized fish such as the *C. quinquelineatus* vulnerable to predation, availability and accessibility of shelters against predators can affect the distribution of recruits. Denser and higher seagrass leaves may provide more effective shelters, compared with sparser or shorter seagrass leaves (Heck and Orth, 1980; Bell and Pollard, 1989). Since some predators such as *Caranx sexfasciatus* often observed, it is likely that the recruits preferred the long and dense leaves of the D-units as shelters. Open areas along the outer edge of the D-units in which most recruits appeared can be a safe zone from which they can easily flee to escape from approaching danger.
In conclusion, the appearance patterns of *C. quinquelineatus* recruits reflected their preference for weak flow microhabitats and effective shelters created by long dense seagrass leaves.
**Acknowledgments**
We are grateful to Hiroyoshi Kohno, Ken Sakihara, Nagahiro Nakazato, Jun Ishida, and the Okinawa Regional Research Center (ORRC), Tokai University, for assistance in the fieldwork. Constructive comments on the manuscript form Hisashi Kurokura, Hiroyuki Kawasaki, Manabu Kagawa, Graham Hardy, and two anonymous reviewers were much appreciated. This study was supported by a Grant-in-Aid for Scientific Research from the Japanese Ministry of Education, Science, Sports and Culture (No. 14560141), and is a contribution from the Okinawa Regional Research Center.
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*Received January 13, 2004*
*Accepted April 12, 2004*
Seasonal variations in circulation and average residence time of the Bangpakong estuary, Thailand
Anukul Buranapratheprat\textsuperscript{1,*} and Tetsuo Yanagi\textsuperscript{2}
Abstract: Seasonal variations in 3-dimensional circulation and average residence time of conservative and passive tracer in the Bangpakong estuary were investigated using the Princeton Ocean Model (POM) and the Euler-Lagrange method. Observed salinity and temperature, average wind velocity and river discharge, and calculated tidal elevation were significant inputs for computation. The results indicated that all driving forces interacted complicatedly to the seasonal variation of circulation in the estuary. Wind-driven current is predominant and its magnitude is large at the sea surface while tidal prevalence is observed throughout the water column. Influence of river discharges as an outflow and density-driven current is also observed near the river mouth during wet season. The tracer experiment indicated that tidal current played an important role to move particles out of the estuary in a short time and seasonal variation in residence time depended on variations in wind-driven circulation, tide and river discharge. Calculated residence times from the longest to the shortest are 29.1 days, 20.8 days, 10.8 days and 6.0 days in April, June, December and September, respectively, corresponding to those from a box model analysis based on the mass balance of salt using the same salinity and discharge data.
Keywords: circulation, residence time, POM, Bangpakong estuary, Gulf of Thailand
1. Introduction
The Bangpakong estuary is an estuary located in the northeastern corner of the upper Gulf of Thailand (Fig. 1) and is a highly eutrophic area where blooming of phytoplankton frequently occurs. Much nutrients and organic substances from the Bangpakong river are supposed to be the cause of the eutrophication in the estuary and surrounding areas (NRCT-JSPS, 1998, Jintasaeranee et al., 2000 and Buranapratheprat et al., 2002). However, we have not yet known the mechanism of the eutrophication because of complicated physical characteristics of this estuary. They are due to its shallowness, river discharge, tide and wind which interact intricately under strong seasonal variations. Therefore, if we do not understand well these entire mechanisms, we may not succeed in understanding the phenomena occurring in this estuary.
Takeoka and Hashimoto (1988) noted that transport of matter in coastal waters was an important subject relating to water quality problems, and that of nitrogen, phosphorus or carbon was especially important relating to eutrophication problems, which often spoiled the marine environment or even caused red tides or anoxic water masses. From this reason, circulation in the study area must be investigated because the results can be applied for further specific studies in terms of material transport, which help us to understand the
behavior of materials in an estuary. BURANAPRATHEPRAT and YANAGI (2000) tried to calculate vertical circulation of the Bangpakong estuary using a vertical 2-dimensional diagnostic model. Unfortunately, this model could not reproduce strong horizontal circulation generated by wind and river discharge that had 3-dimensional structure. They suggested that only 3-dimensional hydrodynamic model should succeed to reproduce circulation generated by all significant driving forces. Therefore, in this study, we will use a 3-dimensional hydrodynamic model, the Princeton Ocean Model (POM), to investigate the circulation in the Bangpakong estuary.
Residence time of material in an estuary is a significant physical characteristic. It depends on the exchange time of the material in the area (YANAGI, 1999a). Longer residence time of any material means more opportunity of the material to interact physically, chemically or biologically with surrounding water. For instance, if inorganic nutrients carried by river water into an estuary have long residence time, any plants and phytoplanktons living there will have more chance to use them for their photosynthesis. BURANAPRATHEPRAT et al. (2002) used a box model based on the mass balance of salt to investigate the seasonal variation in residence time of fresh water in the Bangpakong estuary. They found that long residence time appeared during the transition period between dry and wet seasons, and wet and dry seasons. Short residence times were observed in mid-seasons, dry and wet seasons. They suggested that such results occurred from interaction between river discharge varying seasonally and tidal force. This hypothesis
needs proofing because the box model in that study can not elucidate in details what is really occurring or what are the actual factors governing the phenomenon. Therefore, we will calculate the residence time of material in the estuary in terms of passive tracer experiment using POM to confirm the results of the previous study and to investigate the mechanism of material transport in the Bangpakong estuary.
2. Field observations
Field observations in the Bangpakong estuary were conducted four times according to seasonal variation in river discharge presented in BURANAPRATHEPRAT et al. (2002). They are the dry season (5 and 7 April 2002), the transition period from dry to wet seasons (15–16 June 2002), the wet season (13–14 September 2002), and the transition period from wet to dry seasons (13–14 December 2002). Figure 1 shows sampling stations (dots) covering the entire estuary and a broken line in central part of the area (B-stations) indicates stations for vertical distributions. Salinity and temperature were measured from the sea surface to the bottom every 0.5 meter using a CTD/STD meter (Sensor Data model SD204). These data including calculated density in terms of sigma-t ($\sigma_t$) are used to study the horizontal and vertical distributions of these parameters in the estuary. The observed salinity and temperature are also employed in POM as computational inputs for the circulation and the tracer experiment.
Seasonal variations in horizontal distributions of salinity, temperature and density at the sea surface are illustrated in Fig. 2. Temporal changes in salinity and density depended on the river discharge, while that in temperature was not prominent because the area was located in the tropical zone. The lowest sea surface water temperature was around 28°C and the highest was around 32°C in December and June, which were wintertime and summertime, respectively. Lowest salinity but highest gradient in sea surface salinity appeared in September while highest salinity but lowest gradient occurred in April. The salinity distributions also showed the penetration of fresh water into the northwest of the area in April and June. We can observe the plume obviously in April when sea surface salinity is high in almost area but low salinity emerges just in the northwest. In December, the distribution of sea surface salinity showed a plume of fresh water from the Bangpakong river having trend to the west more than to the south of the river mouth.
Seasonal variations in vertical distributions of salinity and temperature along B-stations in Fig. 1 are presented in Fig. 3. Vertical distribution of density is not shown because it varies in the same way as that of salinity (Fig. 2). As a result, the density variation will be discussed from the salinity distribution. Temperature near the river mouth at the sea surface was higher than that near the sea boundary in all seasons except December which was wintertime. It might depend on the difference in temperature between land and sea which was not quite large and fresh water from land was a little colder than outside seawater in wintertime. Vertical distribution of salinity also showed seasonal interaction of river water and seawater. Seawater intruded into the river during the time of low river discharge in April causing high salinity near the river mouth. On the other hand, salinity became much lower in June and September when river discharge was very large. In both seasons, fresh water from the river floated over salty water while going further from the river mouth to the sea which was the major cause of stratification there. Salinity gradient was largest in September due to the largest magnitude of river discharge at this time.
A scene of transition period from wet to dry seasons appeared in the vertical distribution of salinity in December when the river discharge became smaller. Intrusion of fresh water from another source outside the study area was also observed in the vertical distribution of salinity in April. When we consider with the horizontal distributions of surface salinity and surface density in April (Fig. 2), the contour line of 29 psu in Fig. 3 suggests the fresh water intrusion from the west.
3. Circulation model
The Princeton Ocean Model (POM) is applied to calculate the 3-dimensional circulation of the
Fig. 2. Seasonal variations in surface distributions of water temperature, salinity and density (sigma-t). Dots show the observation stations.
Fig. 3. Seasonal variations in vertical distributions of water temperature and salinity along the B-stations. Dots show the observation points.
Bangpakong estuary. The governing equations of the model consist of conservation of mass, momentum, salinity and temperature under the hydrostatic and Boussinesq approximations written in a bottom-following, sigma coordinate system (Balotro et al., 2002). The model has a free surface and a split time step. The external mode portion of the model is 2-dimensional and uses a short time step based on the Courant-Friedrichs-Levi (CFL) condition and the external wave speed. The internal mode is 3-dimensional and uses a long time step based on the CFL condition and the internal wave speed (Mellor, 1998). Vertical mixing coefficient is calculated in an imbedded second moment turbulence closure sub-model, while the Smagorinski diffusivity equation is applied for horizontal diffusivity. POM is a sigma coordinate model in that the vertical coordinate is scaled on the water column depth. Although the horizontal grid uses curvilinear orthogonal coordinates, it is easy for users to apply another horizontal grid system such as orthogonal and spherical coordinates. More details in POM including mathematical description are referred to Blumberg and Mellor (1987), and Mellor (1998).
The estuary area is divided horizontally into $37 \times 37$ grids in the spherical coordinate with grid spacing $0.5 \times 0.5$ minutes in latitude and longitude, respectively. The vertical domain is divided into 10 $\sigma$-levels with no logarithmic portions. Bathymetry data of the Bangpakong estuary are digitized from the navigation chart produced by the Royal Thai Navy. Salinity and temperature data from the observations are interpolated horizontally using Gaussian interpolation and vertically using linear
interpolation to fit all grid spacing of the computational domain. Average discharge of the Bangpakong river (Fig. 4b) conditioned at the river boundary is from the study of BURANAPRATHEPRAT et al. (2002), and the average wind velocity (Fig. 4a) is estimated from that of BURANAPRATHEPRAT and BUNPAPONG (1998), because the river discharge and wind data in 2002 have not been published yet. As the meteorological condition in 2002 was not unusual, the employing average river discharge and wind data will not become a serious problem. Tidal stress calculation from tidal calculation (BURANAPRATHEPRAT et al., 2003) is also included in this model.
Normal components of velocity to land boundary are set to be zero while radiation condition is assigned along open boundary in the internal mode that is also used as boundary condition along the open boundary for salinity and temperature. Tidal force in terms of water elevation along the open boundary is extracted from computational results of a 2-dimensional hydrodynamic model from the study of BURANAPRATHEPRAT et al. (2003), and it is updated in POM every external time step. The model is operated in diagnostic mode called the robust diagnostic mode where a damping term is added to the conservation equations of temperature and salinity. Please see more details in BALOTRO et al. (2002). Seawater state is set at rest at initial time of model operation \((t = 0)\). Time steps are 3 seconds and 45 seconds for the external mode and the internal mode, respectively. The model is forced by wind, tide and river discharge from initial state until reaching a quasi-steady state 30 days after the beginning of calculation. Computed circulations from 30 days to 60 days are averaged to present the residual circulation of the estuary.
Seasonal variations in circulation of the estuary at the sea surface (0.5 m), 5.0 m depth and 8.0 m depth are presented in Fig. 5a and 5b. Wind driven current is predominant at the sea surface and has a strong seasonal change while tide-induced residual current influences over entire water column. Current induced by river discharge could be observed near the river mouth during the time of relatively large discharge especially in September. Surface current is quite complicated and not so strong with a tendency of flow into the river mouth following wind direction in April. Many small and weak eddies also appear throughout the area. At 5.0 m and 8.0 m depths, two eddies, a clockwise and an anti-clockwise, are generated near west and south boundaries, respectively. Current in these deeper layers inside the area is very weak and tend to flow seaward in southwest direction.
Surface current seems very strong in June (Fig. 5a lower panel) because wind speed is strongest over other seasons during this time. There is a strong flow coming into the area through the north of west boundary being in line with wind direction. This flow is then separated into two parts; one moves directly further into the inner estuary reaching the east coast, while the other bends to the south and flows out of the area through south boundary. A weak outflow by the river discharge is observable at the east coast near the river mouth. This river flow then converges with current coming from the southwest which is supposed to be a part of separated flows coming through the west boundary. There is only an area in the northern coast that current is very weak. A clockwise eddy that used to emerge near west boundary in deeper layers in April seems to spread wider but an anti-clockwise one near south boundary almost disappears and turns to be a flow coming in from the east and going out from the west of south boundary at 5.0 m depth during this time. All eddies are combined and transformed to be a meander starting near the south boundary and ending at west boundary at 8.0 m depth.
Surface current is still strong and moderately complicated during the time of largest river discharge in September (Fig. 5b upper panel). The river outflow is strongest and density driven current could be clearly observed at the river mouth. A strong clockwise gyre appears at the north of west boundary and an anti-clockwise gyre arises at south boundary near the east coast. Over all flowing pattern has a trend of water coming in from west boundary and going out the area from south boundary. Two eddies near both open boundaries like those in April also emerge in deeper
Fig. 5a. Calculated circulations at surface, 5.0 m depth, and 8.0 m depth in April and June 2002.
Fig. 5b. Same as Fig. 5a but for September and December 2002.
layers and near bottom water intrusion occurs along the north and east coasts. Current patterns at the sea surface in December (Fig. 5b lower panel) have a trend to flow seaward from the river mouth and move out through the middle of west boundary following the northeast wind that occupies over the area during this time. Eddies still appear along the open boundaries but they are very much weaker than those in September. Current patterns in deeper layers are not so different from the previous season, that is, there are two eddies along both open boundaries and intrusion of near bottom water into the river mouth from mid-area. Occurrence of the intrusion of near bottom water in September is supposed to be a part of density driven current because fresh water discharge is very large during this time while that in December should be occurred from compensation process to the outflow surface water from the river mouth to the sea.
Although the calculated currents are quite strong especially near the open boundary, the tracer experiment is still reliable because we focus our attention to the near field of river mouth shown Fig. 6 where the effect of currents near the open boundaries is very small.
4. Passive tracer experiment
We also apply POM for a material transport study in terms of the passive tracer experiment using Euler-Lagrange method (YANAGI, 1999a). A passive tracer having no sinking speed is initially spread into the computed current field near the river mouth and then its spatial and temporal distributions are calculated. The position of tracer $X_{n+1} (x^{n+1}, y^{n+1}, z^{n+1})$ at time $n+1$, which was $X_n (x^n, y^n, z^n)$ at time $n$, can be calculated by the following equations:
$$X_{n+1} = X_n + V \Delta t + \frac{1}{2} (\nabla V) \cdot V \Delta t,$$
where $V$ denotes the three-dimensional velocity vector of residual flow, $(\Delta t)$ is the time step, and $\nabla$ is horizontal gradient. The spherical coordinate is used for the horizontal spatial derivatives. Thus those terms in equation (1) are transformed according to equations (2) and (3) as following:
$$\frac{\partial}{\partial x} = \frac{1}{a \cos \varphi} \frac{\partial}{\partial \lambda},$$
$$\frac{\partial}{\partial y} = \frac{1}{a} \frac{\partial}{\partial \varphi},$$
where $a$ is average radius of the Earth ($6.37 \times 10^6$m); $\varphi$ and $\lambda$ are latitude and longitude, respectively.
A tracer module is added in the internal mode of POM and solved at the same time of the circulation and steps of the model operation are also the same as that of the circulation model. After all forces have been added and the circulation reaches a quasi-steady state about on 30 days, the tracers of 3,600 particles are spread at the sea surface near the river mouth (black square in Fig. 6) and then their movements are tracked until they all move out of a bounded area (screened area in Fig. 6) or the computational time is over on 60 days. It should be noted here that computational boundary of the tracer experiment is smaller than that of the circulation as shown in Fig. 6. The reason is that we intend to compare our results with those from the previous study by BURANAPRATHEPRAT et al. (2002); therefore, the experimental area is set to close to the area in that study for equality in comparison. Residence time of the tracers will be derived from temporal change in their remaining number in the study area.
In order to find out the seasonal variation in average residence time of tracers in the area, a technique described by Takeoka (1984) and Yanagi (1999a), which has been applied in the studies of Takeoka and Hashimoto (1988), Balotro et al. (2002), and Balotro et al. (2003), is also applied in this study. We will investigate how the study area responses to the instantaneous input provided in the area in terms of the remnant function \((r(t))\), which is shown below.
\[
r(t) = R(t)/R(0),
\]
where \(R(t)\) and \(R(0)\) are the total number of tracers existing in the study area at any given time, and that in the initial time, respectively. Then the average residence time of the tracer \((\tau_r)\) can be calculated by time integrating the results of the remnant function. That is
\[
\tau_r = \int_0^\infty r(t) dt.
\]
Seasonal variations in tracer distribution after spreading for 3 days, 5 days and 10 days are illustrated in Fig. 7 in order to see enough snapshots of their movement in the estuary. In April, the tracers are little dispersed and shift to the west of the river mouth on 3 days that they also remain around there by closer to the northern coast on 5 days. Most of them still last near the river mouth but some row in east-west along the north coast from the river mouth to west boundary on 10 days. Different scenes of the distribution are observed in June which is the transition period from dry to wet seasons. The particles move southwestward with a little spreading from the river mouth to mid-area from 3 days to 5 days. Instead of accumulation in a small area like in April, most of them still remain but are spreaded widely in almost entire the area on 10 days. Large river discharge in September makes the tracers widely disseminate and drives them out of the estuary very rapidly. Therefore, the distribution on 3 days in the central area looks not so thick because some particles have been moved out through the sea boundaries already. They are also spread widely but not many of them are still left inside the area on 5 days; however, rare numbers could be observed at the west of northern coast on 10 days. Particles are lined up in north-south in the mid-area on 3 days after releasing in December. Lower parts of this particle stripe are transported out through west boundary on 5 days and only small numbers with a few patches of them still suspend in the west of the river mouth vicinity on 10 days.
Time series plots of the remnant functions and calculated residence times of the tracers derived from equations (4) and (5) are illustrated in Fig. 8. Residence times are 29.1 days, 20.8 days, 6.0 days and 10.8 days in April, June, September and December, respectively. Longest residence time in April (29.1 days) occurs because of accumulation of the tracer with little spreading at the north coast (Fig. 7) of the estuary for a long time. The remnant function curve in April also shows that all particles still remain in the area until 17 days and then move out very slowly with about 3,000 particles left in the area at the end of calculation. In June, particles are dispersed widely and gradually transported out of the area starting from 5 days resulting in continually reduction in rate of the remnant functions and turns its residence time (20.8 days) to be the second order after that in April. Unlike the two previous seasons, residence time of the tracer is very short in September (6.0 days) because all particles are flooded out very rapidly by large river discharge. This phenomenon agrees to sharply reduction in the remnant function rate of change (Fig. 8) and the value becomes zero just on 15 days. However, although its rate of change reduces very fast at first, the remnant function in December still maintains itself in a narrow range from 0.2 to 0.4 from 5 days until the end of computation. This is the reason why the residence time in this season (10.8 days) is longer than that in September but shorter than those in April and June.
5. Discussions
Influences of wind, tide, and river discharge on circulation in the Bangpakong estuary vary in spatial and temporal scale. Seasonal variations in surface circulations (Fig. 5a and 5b) are mostly affected by wind and river discharge while influence of tide could be observed in
Fig. 7. Seasonal variation in predicted tracer distribution after 3 days, 5 days and 10 days.
Fig. 8. Seasonal variations in the remnant function and average residence time of tracer.
entire water column. Surface current is quite strong but not so complicated when wind speed has strong power over other forces such as the condition in June. On the other hand, when there is not a force strong enough to govern the entire area, the current patterns would be complicated due to the interaction of all influences such as those in April, September and December. Permanent eddies, a clockwise and an anti-clockwise along west and south boundaries, respectively, in deeper layers are supposed to be generated by tide which is not changed seasonally. These results agree well with the calculated residual current driven by tide and wind in the study of Buranapratheprat et al. (2003) which shows that the current patterns around that area do not quite change seasonally.
Influences of wind and river discharge are also observed in deeper layers when their influences are relatively strong. In June, for example, the stronger and wider clockwise eddy and the incomplete anti-clockwise one near south boundary at 5.0 m depth, and also transforming from eddies to a meander at 8.0 m depth are supposed to be caused by strong wind during that time. On the other hand, inflows of near bottom water from the mid-area to the river mouth in September suggest the occurrence of density-driven current because the river discharge is very large during that time. Alternative directions to the surface circulations of near bottom flow when the discharges are small may arise because of compensation process.
Interaction between circulation (Fig. 5a and 5b), material distribution (Fig. 7), and its residence time is discussed. It is quite clear that seasonal variations in wind driven circulation and river discharge have influence to the material distribution and also residence time. Longest residence time of the tracer in April (29.3 days) is controlled by moderate southwest winds which generate landward current to the river mouth at the same time of low river discharges. Therefore, particles will be forced to remain near the river mouth for a long time. In case of June although wind directions are also almost from the southwest, the residence time (20.4 days) becomes shorter than that in April because the discharge during this time is twelve-times larger (10 m$^3$/s and 120 m$^3$/s in April and June, respectively) and wind speed is stronger (2.3 m/s and 3.8 m/s in April and June, respectively). Instead of keeping particles inside the area, strong wind driven current will disperse
them widely in a short period (Fig. 7). Consequently, there is more opportunity that the particles are not so difficult to be conveyed by current out of the estuary.
The residence time of material is relatively very short in September (6.0 days) because the river discharge is extremely large even though wind is landward to the river mouth at that time, as a result the particles are flooded out in a very short time. In December, although the river discharge is very small (35 m$^3$/s) but the wind direction is seaward, the residence time (10.8 days) is therefore longer than that in September but shorter than those in April and June. This phenomenon confirms that the river discharge and wind speed play a significant role in controlling residence time of materials in the estuary. The influence of tide is not illustrated but should be noted here. The results of model operation with tidal force suggest the importance of tide that helps the material to move out of the estuary in a short time comparing with the operation without it.
Results from the tracer experiment are compared with those derived from a simple box model based on the mass balance of salt using the same salinity and river discharge data, and from the study of Buranapratheprat et al. (2002) who also applied such a box model to investigate the residence time of fresh water in the same study area. Boundary for the box model analysis is assigned in the same way as that used in the previous study for equality in comparison. Please see more details of box model calculation in Gordon et al. (1996), Yanagi (1999b) or Buranapratheprat et al. (2002). All the results are plotted and illustrated in Fig. 9. Results of box model analysis from this study which are 30.1 days, 11.7 days, 2.6 days and 5.7 days in April, June, September and December, respectively, indicate the same trend of seasonal variation in residence time to those from the tracer experiment. This suggests that the residence time of material based on calculated circulation with the use of Euler-Largrange method can reproduce the results derived from the mass balance of salt. However, the results in every seasons from this study also have the same trend as those from the previous study except that in June. In this study, the longest value appears in April while that of the previous study emerges in June. This suggests a possibility of year-to-year variations of river discharge and/or wind. If discharge is smaller and wind speed is weaker in June of some year which is the transition period from dry to wet seasons, the residence time of material can become very long in the same way as that in the previous study. It should be noted here that the distinct characteristics of computed material and fresh water such as diffusion and dispersion properties might result in the difference of calculated residence times from the tracer experiment and the box model analysis.
Importance of the transition period when DIN (dissolved inorganic nitrogen) and chlorophyll-$a$ concentration are high, which was discussed in Buranapratheprat et al. (2002), still remains because not only residence time but also the nutrient loading has to be considered. The rough multiplication of calculated residence times from this study (29.1 days, 20.8 days, 6.0 days and 10.8 days in April, June, September and December, respectively) and DIN load estimated from the results presented in Buranapratheprat et al. (2002) (10 tons/month, 300 tons/month, 500 tons/month and 30 tons/month in dry season, transition period from dry to wet seasons, wet season and transition period from wet to dry seasons, respectively) also show highest concentrations of DIN during the transition period between dry and wet season. Therefore, the hypothesis that eutrophication in this estuary is promoted during this transition period is still reasonable.
This study has made us to understand clearer in physical processes in terms of water circulation and a material transport. However, we will also use an ecological model which considers not only physical processes but also biogeochemical processes to investigate the mechanism of eutrophication phenomenon in the Bangpakong estuary in the near future.
6. Conclusions
POM is applied for investigation the seasonal variations in 3-dimensional circulation and residence time of a tracer in the Bangpakong estuary employing observed salinity and temperature, average wind velocity, river discharge, and calculated tidal elevation as significant computational inputs. Wind driven current is predominant and its magnitude is large at the sea surface while tidal prevalence is observed throughout the water column. Influence of river discharges as an outflow and density driven current are also observed near the river mouth during wet season. The tracer experiment indicates that tide plays an important role to move material out of the estuary in a short time. However, seasonal variation in residence time mainly depends on variations in wind driven circulation and river discharge, that is, it is longest in April and shortest in September.
Acknowledgements
The authors would like to express their sincere thank to the people who developed POM which is an excellent tool for oceanographic study, Mr. Pachoenchoke JINTASAERANEE, Dr. Suwanna PANUTRAKUL, Ms. Rattanaporn WIPATAKRAT, Lieut. Piyachart WONGCHUMRAT, and their students from Burapha University for all kinds of cooperation and their hard works during the intensive filed trips, Lieut.Com.Wiriya Luangaram from the Royal Thai Navy for his kind support, and Mr.Wataru Fuji-ie from Kyushu University for his invaluable support and suggestions about computational techniques to operate POM smoothly. Dr. Pichan SAWANGWONG and Dr. Kashane CHALERMWAT from Burapha University for their facilitation and suggestions, and Ms. Pathumwan KONSAP for any kinds of her support in Canada are also acknowledged. This work is supported by the Japan Society for the Promotion of Science (JSPS), Burapha University, and Kyushu University.
References
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Received September 12, 2003
Accepted May 20, 2004
Chlorophyll \(a\) and primary production in the northwestern Pacific Ocean, July 1997
Akihiro SHIOMOTO*, Shinji HASHIMOTO** and Takahiko KAMEDA***
Abstract: Chlorophyll \(a\) (Chl \(a\)) concentration and primary production were measured within the euphotic zone which was defined as from the surface to a depth corresponding to 1% of the surface light intensity (1% light depth), in the northwestern Pacific, July 1997. Stations were divided into the Western Subarctic Gyre (WSG) and the Transition Domain (TD). The Chl \(a\) concentrations ranged from 0.42 to 2.61 mg m\(^{-3}\) in the WSG (mean ± standard error: 1.86 ± 0.16 mg m\(^{-3}\), n=16) and from 0.33 to 0.57 mg m\(^{-3}\) in the TD (0.42 ± 0.01 mg m\(^{-3}\), n=24). The daily primary production integrated in the upper 1% light depth ranged from 910 to 2886 mgC m\(^{-2}\) d\(^{-1}\) in the WSG (1744 ± 459 mgC m\(^{-2}\) d\(^{-1}\), n=4), and from 738 to 1629 mgC m\(^{-2}\) d\(^{-1}\) in the TD (1094 ± 152 mgC m\(^{-2}\) d\(^{-1}\), n=6). The WSG in this study was on the relatively high side of Chl \(a\) concentrations compared to previous studies in the western subarctic North Pacific during summer season. Moreover, the relatively high Chl \(a\)-specific primary production (79.4 and 62.4 mgC (mgChl \(a\))\(^{-1}\) d\(^{-1}\)) was also observed compared with the values reported previously in the western subarctic North Pacific in summer (<55 mgC (mgChl \(a\))\(^{-1}\) d\(^{-1}\)). Therefore phytoplankton bloom may occur in the WSG in summer. It is possible that the rise in temperature in early summer is one of the factors for the occurrence of phytoplankton bloom in the summertime WSG. While in the TD, the Chl \(a\) standing stocks integrated in the upper 1% light depth were nearly equal between stations. However, the daily primary production tended to increase in the southward direction. This trend could be attributed to an increase of the phytoplankton growth rate due to the rise in temperature.
Keywords: chlorophyll \(a\), primary production, Western Subarctic Gyre, summertime bloom
1. Introduction
The Alaskan Gyre (AG) is in the eastern subarctic North Pacific and the Western Subarctic Gyre (WSG) is in the west (e.g. FAVORITE et al., 1976; Fig. 1). Many studies regarding chlorophyll \(a\) (Chl \(a\)) and primary production have been carried out in the AG, principally at or in the vicinity of station P (50° N and 145° W) (e.g. PARSONS and LALLI, 1988; WELSCHMEYER et al., 1993; WONG et al., 1995; BOYD and HARRISON, 1999). In contrast, there has been very little information regarding Chl \(a\) concentration and primary production in the WSG. Hence, SHIOMOTO et al. (1998) measured Chl \(a\) concentration and primary production in July 1993 and 1994. They observed summer phytoplankton bloom in 1993 (Chl \(a\) concentration: 6.95 mg m\(^{-3}\); primary production: 1050 mgC m\(^{-2}\) d\(^{-1}\)) for the first time, but at only one station.
On the other hand, BANSE and ENGLISH (1994, 1999) showed that phytoplankton pigment levels are low during spring and summer, and that autumn blooms occur in the WSG, based on the Coastal Zone Color Scanner (CZCS) data during 1978 through 1986. In contrast, recently SASAOKA et al. (2002) observed an increase in Chl \(a\) concentration from summer in the WSG and maximum values in autumn, based on Sea-viewing Wide Field-ofFig. 1. Location of sampling stations in the northwestern subarctic Pacific in July 1997. Stations 1–4 and 5–11 were divided between the Western Subarctic Gyre and the Transition Domain, respectively. The vertical line in the superimposed figure indicates the observation line in the present study.
Hence, to ascertain whether or not phytoplankton bloom occurs in the summertime WSG, we measured Chl $a$ concentration and primary production in July 1997 at the same stations as the observation stations of SHIOMOTO et al. (1998). In this paper, we suggest that phytoplankton in the WSG set to their bloom in summer. We, furthermore, refer to the characteristics of Chl $a$ and primary production in the Transition Domain (TD) located just south of the WSG (e.g. FAVORITE et al., 1976; Fig. 1).
2. Materials and methods
This study was conducted during cruises of the R/V Hokko Maru belonging to the Hokkaido National Fisheries Institute in July 1997. Stations were located every 1° between 41° N and 51° N along 165° E (Fig. 1).
Seawater samples were collected at 2 a.m. from four depths corresponding to 100, 30, 10
and 1% of the surface light intensity (hereinafter e.g. 30% light depth) except 45° N (station 7), using acid-cleaned 30-l Niskin PVC samplers with Teflon-coated steel springs hung on a stainless-steel wire. Determination of the four light depths was done past noon the day before the collection of seawater samples with a $2\pi$ quantum sensor (LI-COR 192SA). The water samples were immediately sieved through a 200 $\mu$m mesh plankton net to remove large-sized zooplankton, and transferred into acid-cleaned 1-l polycarbonate bottles. The seawater in the bottles was spiked with NaH$_3^{13}$CO$_3$ (Shoko Co., Ltd., Tokyo). The $^{13}$C enrichment was about 10% of the total inorganic carbon in the ambient water. Two light bottles were used for each light depth. Dark bottle uptake is similar to the zero-time blank for the $^{13}$C technique and thus dark uptake was not measured (SHIOMOTO et al., 1998). Incubation experiments were begun within 1 hr of sample collection. Bottles with seawater samples inoculated with $^{13}$C were held in a deck incubator during about 24-hr incubations in a range of irradiances corresponding to the depths at which the samples were taken, using black mesh screens. Constant temperature was maintained with continuous flowing surface seawater. The experiments were terminated by filtering the samples onto precombusted (450 °C for 4 hr) 47 mm Whatman GF/F filters. The filters were rinsed with prefiltered seawater and then immediately frozen at −20°C and stored until isotope analysis later on land. After the filters were treated with HCl fumes for 4 hr to remove inorganic carbon, they were completely dried in a vacuum desiccator. The isotopic ratios of $^{13}$C to $^{12}$C and particulate organic carbon were determined using a mass spectrometer (ANCA SL, PDZ Europa). The total carbonate in the seawater was measured with a Shimadzu TOC 5000 infrared analyzer. Primary production was calculated according to the equation described by HAMA et al. (1983). The primary production values obtained in the two bottles were averaged.
We used on-deck incubations and neutral density filters (black mesh screen) to attenuate the light intensity. The discrepancy between the primary production obtained by the simulated in situ method using the black mesh screen and that obtained by the in situ method at the 100, 30, 10 and 2% light depths was determined, by using samples collected in the springtime western subarctic North Pacific (SHIOMOTO et al., 1998). The primary production obtained was multiplied by factors of 1.3 at the 30% light depth and 2.4 at the 10% light depth. The value at the 1% light depth was multiplied by a factor of 2.3 which was obtained at the 2% light depth. The primary production values given in the present study are therefore considered net daily primary production by the in situ method.
Daily primary production in the subarctic North Pacific was estimated by integrating from the surface to the 0.2–1.7% light depth (WELSCHMEYER et al., 1993; WONG et al., 1995; SHIOMOTO et al., 1998). Hence, the daily primary production integrated from the surface to the 0.2% light depth was calculated by extrapolation, assuming that primary production decreases exponentially with depth (see SHIOMOTO et al., 1998 for detail).
Chl $a$ concentrations were measured by fluorometry (PARSONS et al., 1984). Chl $a$ was determined in samples (0.5 l) filtered through 47 mm Whatman GF/F filters. The filters were then stored frozen at −20°C until analysis ashore. Pigments were extracted in 90% acetone and the fluorescence was measured with a Hitachi F−2000 fluorophotometer. Calibration of the fluorophotometer was performed with commercially prepared Chl $a$ from Wako Pure Chemical Industries, Ltd. (Tokyo).
Nitrite + nitrate, silicate and phosphate concentrations were measured with a Bran and Luebbe Auto Analyzer Traacs 800 after storage at −20°C. Surface temperature and salinity were measured with a thermometer and an Auto Lab salinometer, respectively. Subsurface temperature and salinity were measured with a Neil Brown Mark IIIB CTD.
3. Results
3.1 Physical and chemical description
The WSG is located just north of the TD in the northwestern Pacific Ocean (FAVORITE et al., 1976). The southern and northern boundaries of the TD are bordered by the Subarctic
Fig. 2. Vertical sections of (a) temperature, (b) salinity and (c) sigma-t shallower than 200 m. Solid circles indicate the depths of the euphotic zone (1% light depth).
Fig. 3. Vertical profiles of nitrite + nitrate (NO$_2$ + NO$_3$), silicate (Si(OH)$_4$) and phosphate (PO$_4$) concentrations within the euphotic zone. Samples were collected at 100, 30, 10 and 1% light depths. Stations 1–4 and 5–11 were located in the Western Subarctic Gyre and the Transition Domain, respectively.
Fig. 4. Vertical profiles of chlorophyll $a$ concentration within the euphotic zone. Samples were collected at 100, 30, 10 and 1% light depths. Stations 1–4 and 5–11 were located in the Western Subarctic Gyre and the Transition Domain, respectively.
Boundary, denoted as a vertical 34.0 psu isohaline in the upper layer, and by cold water of less than 4°C below 100 m, respectively (FAVORITE et al., 1976). In this study, salinity of 34.0 psu was not observed in the upper 200 m (Fig. 2 (b)). The salinity in the upper layer increases southward and salinity of 34.0 psu is observed around 40° N (e.g. FAVORITE et al., 1976). The latitude of station 11 was 41° N, and the salinity within the euphotic zone was 33.2–33.9 psu at the stations (Fig. 2 (b)). Salinity of 34.0 psu (the Subarctic Boundary) should have been to the south of station 11. Based on the vertical sections of temperature and salinity (Fig. 2 (a), (b)) and the definition for the WSG and TD, stations 1–4 and 5–11 were thus divided into the WSG and the TD, respectively. Cold water of <4°C at around 100 m was observed even at station 6 (Fig. 2 (a)). The TD is also characterized by a lower Chl \(a\) concentration compared with its northern and southern regions (SHIOMOTO et al., 1999). The Chl \(a\) concentrations in the upper 1% light depth at station 6 were lower than most of the Chl \(a\) concentrations at stations 1–4, and almost equal to the Chl \(a\) concentrations at stations 5 and 8–11 (Fig. 4). Accordingly, stations 6 was divided into the TD.
The euphotic zone (1% light depth) was 30–45 m deep in the WSG and 50–70 m deep in the TD. The temperatures and salinity within the euphotic zone were mostly in the 6 to 7°C level and in the 32.8 psu level, respectively, at every station in the WSG (Fig. 2 (a), (b)). The temperature and salinity within the euphotic zone were nearly uniform throughout the WSG. The values of the temperature and salinity were within the range of those (temperature: 3–8°C; salinity 32.8–33.2 psu) in the upper layers of the summertime WSG reported by FAVORITE et al. (1976). In the TD, the temperatures within the euphotic zone increased southward rapidly at or near the surface, whereas the temperature increased slowly from stations 5 to 10 and rapidly at station 11 around the bottom of the euphotic zone. The salinity within the euphotic zone was nearly uniform at each station except station 11 where the salinity increased markedly with depth. The depths of the euphotic zone were nearly equal to the depths of the pycnocline at all stations (Fig. 2 (c)).
Nutrient concentrations were mostly nearly uniform within the euphotic zone (Fig. 3). The concentrations were 15–20 \( \mu \)mol l\(^{-1}\) for nitrite + nitrate, 30–43 \( \mu \)mol l\(^{-1}\) for silicate and 1.5–2.0 \( \mu \)mol l\(^{-1}\) for phosphate in the WSG, and 8–17 \( \mu \)mol l\(^{-1}\) for nitrite + nitrate, 15–32 \( \mu \)mol l\(^{-1}\) for silicate and 0.8–1.7 \( \mu \)mol l\(^{-1}\) for phosphate in the TD. The result indicates that these nutrients were not limited for phytoplankton within the euphotic zone.
### 3.2 Chlorophyll \(a\)
Chl \(a\) concentrations in the upper 1% light depth ranged from 0.42 to 2.61 mg m\(^{-3}\) in the WSG and from 0.33 to 0.57 mg m\(^{-3}\) in the TD (Fig. 4). The Chl \(a\) concentrations were nearly equal in the upper 10% light depth and rapidly decreased at the 1% light depth at every station in the WSG. In contrast, the Chl \(a\) concentrations were nearly uniform within the euphotic zone at every station in the TD. The mean ± standard error (SE) was 1.86 ± 0.16 mg m\(^{-3}\) (n=16) in the WSG and 0.42 ± 0.01 mg m\(^{-3}\) (n=24) in the TD. The mean value in the WSG was 4.4 times higher than that in the TD.
The Chl \(a\) standing stock, calculated by trapezoidal integration from the surface to the 1% light depth, was in the range of 54 and 65 mg m\(^{-2}\) in the WSG and in the range of 23 and 28 mg m\(^{-2}\) in the TD (Table 1). The mean ± SE of Chl \(a\) standing stock was 58 ± 3 mg m\(^{-2}\) (n=4) in the WSG and 25 ± 1 mg m\(^{-2}\) (n=6) in the TD. The mean value in the WSG was 2.3 times higher than that in the TD.
### 3.3 Primary production
Primary production in the upper 1% light depth ranged from 0.3 to 155.6 mgC m\(^{-3}\) d\(^{-1}\) in the WSG and from 0.1 to 78.5 mgC m\(^{-3}\) d\(^{-1}\) in the TD (Fig. 5). In the WSG, the primary production was maximum at the 10% light depth at stations 1 and 2, and at the 30% light depth at station 3, whereas primary production was nearly equal in the upper 10% light depth and rapidly decreased at the 1% light depth at station 4. In the TD, primary production tended to decrease with depth, though the maximum value was observed at the 30% light depth at stations 5 and 6. In general, the vertical profiles...
Fig. 5. Vertical profiles of primary production within the euphotic zone. Samples were collected at 100, 30, 10 and 1% light depths. The data at the 10% light depth at station 3 was missed. Stations 1–4 and 5–11 were located in the Western Subarctic Gyre and the Transition Domain, respectively.
of primary production were not the same as those of Chl $a$ concentration. The mean ± SE was 46.7 ± 12.4 mgC m$^{-3}$ d$^{-1}$ (n=15) in the WSG and 23.3 ± 4.6 mgC m$^{-3}$ d$^{-1}$ (n=24) in the TD. The mean value in the WSG was 2 times higher than that in the TD.
The daily primary production, calculated by trapezoidal integration from the surface to the 1% light depth, was in the range of 910 and 2886 mgC m$^{-2}$ d$^{-1}$ in the WSG and in the range of 738 and 1629 mgC m$^{-2}$ d$^{-1}$ in the TD (Table 1). The mean ± SE of daily primary production was 1744 ± 459 mgC m$^{-2}$ d$^{-1}$ (n=4) in the WSG and 1094 ± 152 mgC m$^{-2}$ d$^{-1}$ (n=6) in the TD. The mean value in the WSG was 1.6 times higher than that in the TD. In addition, the daily primary production integrated in the upper 0.2% light depth was estimated. The values were in the range of 936 and 2901 mgC m$^{-2}$ d$^{-1}$ in the WSG and the range of 751 and 1689 mgC m$^{-2}$ d$^{-1}$ in the TD (Table 1). The mean ± SE of daily primary production was 1759 ± 456 mgC m$^{-2}$ d$^{-1}$ in the WSG and 1111 ± 157 mgC m$^{-2}$ d$^{-1}$ in the TD.
3.4 Chl $a$-specific primary production
Chl $a$-specific primary production in the upper 1% light depth ranged from 0.3 to 79.4 mgC (mgChl $a$)$^{-1}$ d$^{-1}$ in the WSG and from 0.3 to 187.0 mgC (mgChl $a$)$^{-1}$ d$^{-1}$ in the TD (Fig. 6). The vertical profiles of Chl $a$-specific primary production were the same as those of primary production. The mean ± SE was 23.2 ± 6.0 mgC (mgChl $a$)$^{-1}$ d$^{-1}$ (n=15) in the WSG and 57.9 ± 10.8 mgC (mgChl $a$)$^{-1}$ d$^{-1}$ (n=24) in the TD. The mean value in the WSG was 2.5 times lower than that in the TD.
4. Discussion
4.1 Bloom in the WSG
The Chl $a$-specific primary production at the 10% light depth of stations 1 and 2 (79.4 and 62.4 mgC (mgChl $a$)$^{-1}$ d$^{-1}$; Fig. 6) where relatively high daily primary production was observed was greater than the remaining values in the present study and the values reported in 1993 and 1994 in the WSG (less than 50 mgC (mgChl $a$)$^{-1}$ d$^{-1}$; SHIOMOTO et al., 1998). Moreover, the relatively high Chl $a$-specific primary production in this study exceeded the summer values in the western subarctic North
Pacific in other studies (maximum: 55 mgC (mgChl $a$)$^{-1}$ d$^{-1}$; TANIGUCHI and KAWAMURA, 1972; KASAI et al., 1998; SHIOMOTO, 2000; IMAI et al., 2002). Chl $a$-specific primary production is an index of the phytoplankton growth rate (e.g. LALLI and PARSONS, 1995). Thus, relatively high Chl $a$-specific primary production means an increase in the phytoplankton growth rate. On the other hand, the Chl $a$ concentrations within the euphotic zone were mostly more than 1 mg m$^{-3}$ in the WSG (Fig. 4). In the summer season, the Chl $a$ concentrations more than 1 mg m$^{-3}$ have been observed rarely in the oceanic region of western subarctic North Pacific on shipboard (ANDERSON and MUNSON, 1972; ODATE and FURUYA, 1995; ODATE, 1996; SHIOMOTO et al., 1998; OBAYASHI et al., 2001; IMAI et al., 2002) and satellite observations (BANSE and ENGLISH, 1994, 1999; SASAOKA et al., 2002). Thus, the Chl $a$ concentrations in the WSG in this study are on the relatively high side of Chl $a$ concentrations in the summertime western subarctic North Pacific. An increase in the phytoplankton growth rate precedes an increase in the phytoplankton biomass in the process of phytoplankton proliferation (e.g. SPENCER, 1954). Accordingly, phytoplankton at the subsurface at stations 1 and 2 were considered to be in the early stage of bloom.
The relatively high Chl $a$ concentration and an increase in Chl $a$ concentration were observed in the summertime WSG (SHIOMOTO et al., 1998; SASAOKA et al., 2002). Based on the results in this study and the previous studies, phytoplankton bloom may occur in the WSG in summer.
SASAOKA et al. (2002) suggest that the rise in temperature is one in the factors causing an increase in Chl $a$ concentration from summer and maximum values in autumn in the WSG, because, in the WSG, the sea surface temperature rises remarkably in early summer, reaching the maximum in late summer and autumn (DODIMEAD et al., 1963; ANONYMOUS, 1993; SASAOKA et al., 2002), and an increase of temperature causes an increase of the phytoplankton growth rate (e.g. EPPLEY, 1972). The relatively high Chl $a$-specific primary production obtained in this study supports their idea regarding the increase in phytoplankton from summer. It is possible
Table 1. Primary production (production) and chlorophyll $a$ (chl $a$) integrated in the upper 1% light depth and 0.2% light depth in the Western Subarctic Gyre (WSG) and the Transition Domain (TD) in July 1997.
| Region | Station | Integration (%) | Depth (m) | Production (mgCm$^{-2}$ d$^{-1}$) | Chl a (mg m$^{-3}$) |
|--------|---------|-----------------|-----------|----------------------------------|---------------------|
| WSG | 1 | 1 | 33 | 2886 | 54 |
| | | 0.2 | 44 | 2901 | (n=2) |
| | 2 | 1 | 30 | 2079 | 55 |
| | | 0.2 | 41 | 2081 | (n=2) |
| | 3 | 1 | 28 | 910a | 65 |
| | | 0.2 | 33 | 936 | (n=2)b |
| | 4 | 1 | 44 | 1102 | 57 |
| | | 0.2 | 60 | 1117 | (n=2) |
| TD | 5 | 1 | 70 | 782 | 28 |
| | | 0.2 | 91 | 785 | ($r^2=0.95$, n=3) |
| | 6 | 1 | 56 | 738 | 23 |
| | | 0.2 | 81 | 751 | ($r^2=0.93$, n=3) |
| | 8 | 1 | 55 | 801 | 25 |
| | | 0.2 | 68 | 812 | ($r^2=0.95$, n=4) |
| | 9 | 1 | 58 | 1239 | 23 |
| | | 0.2 | 86 | 1253 | ($r^2=0.97$, n=4) |
| | 10 | 1 | 50 | 1374 | 23 |
| | | 0.2 | 73 | 1394 | ($r^2=0.97$, n=4) |
| | 11 | 1 | 60 | 1629 | 25 |
| | | 0.2 | 81 | 1669 | ($r^2=0.99$, n=4) |
The values were estimated by trapezoidal integration. $r^2$: the coefficient of determination when primary production(mgCm$^{-3}$ d$^{-1}$) at the 100, 30, 10 and 1% light depths is applied to the exponential equation for estimation of the primary production at the 0.2% light depth. n: the number of data when the primary production in the upper 1% light depth is applied to the exponential equation. The exponential equation was adjusted by using the values at the 10 and 1% light depths in case of n=2, those at the 30, 10 and 1% light depths in case of n=3 and those at the 100, 30, 10 and 1% light depths in case of n=4. *Primary production integrated in the upper 1% light depth was calculated by using the primary production at the 100, 30 and 1% light depths. bFitting of the exponential equation was done by using the primary production at the 30 and 1% light depths.
that the rise in temperature in early summer is one of the factors for the occurrence of phytoplankton bloom in the summertime WSG.
The temperatures in the upper layer were almost equal at stations 1–4 (Fig. 2 (a)). Accordingly, the relatively high Chl $a$-specific primary production should have also been observed at stations 3 and 4. However, relatively high values were not obtained at those stations. The Chl $a$ concentrations at station 3 were nearly equal to those at stations 1 and 2, and the Chl $a$ concentrations at station 4 were somewhat lower than those at stations 1 and 2 (Fig. 4). The nutrient concentrations in the upper 10% light depth, where relatively active primary production was observed (Fig. 5), were somewhat lower at stations 3 and 4 than at stations 1 and 2 (Fig. 3). These facts imply that the phytoplankton at stations 3 and 4 were in the late stage of bloom when the growth rate of phytoplankton is considered to diminish.
Relatively high Chl $a$-specific primary production was observed at the subsurface at stations 1 and 2 (Fig. 6). In the subarctic North Pacific, solar radiation increases from spring and is maximum in summer (e.g. Campbell and Aarup, 1989; Welschmeyer et al., 1995). It is well known that the phytoplankton community suffers from photoinhibition at high light intensity (e.g. Aruga and Monsi, 1962; Platt et al., 1980; Welschmeyer et al., 1993). These imply a high frequency of photoinhibition in the surface waters during spring and summer. The relatively high Chl $a$-specific primary production at the subsurface can be thus attributed to photoinhibition at the surface. The phytoplankton bloom in the WSG possibly develops at the subsurface, because of avoidance of photoinhibition.
4.2 Characteristics in the TD
The daily primary production in the WSG was roughly equal to that in the TD in the summer season, whereas the Chl $a$ concentration and standing stock tended to be higher in the WSG than in the TD (Shiomoto et al., 1998). In this study, the daily primary production was higher at stations 1 and 2 in the WSG than in those in the TD, whereas the values at stations 3 and 4 were within the range of the values in the TD (Table 1). The Chl $a$ concentration and standing stock were substantially higher in the WSG than in the TD (Fig. 5; Table 1). Stations 1 and 2 were considered to be in the early stage of bloom, and stations 3 and 4 in the late stage of it. Accordingly, primary production and phytoplankton biomass in the TD are possibly characterized by the following in the summer season. Ordinarily, there is no substantial difference between the daily primary production in the TD and in the WSG, whereas the value is lower in the TD than in the WSG in the early stage of the WSG bloom. In contrast, phytoplankton biomass always has a tendency to be lower in the TD than in the WSG. Shiomoto et al. (1999) suggested an intense grazing effect by zooplankton to explain the low Chl $a$ concentration in the TD.
The Chl $a$ standing stocks were nearly equal between stations in the TD, whereas the daily primary production tended to increase southward (Table 1). The southward increase of the daily primary production can thus be attributed to an increase of Chl $a$-specific primary production, i.e., the phytoplankton growth rate. Southward increasing trends can be also found for the daily primary production and Chl $a$-specific primary production in the previous shipboard observation in 1994 (Shiomoto et al., 1998). According to Eppley (1972), the phytoplankton growth rate increases in proportion to temperature. Southward increase in the temperature in the upper mixed layer, i.e., within the euphotic zone, is evident in the TD in all seasons (Dodimead et al., 1963; Favorite et al., 1976). Accordingly, a southward increasing trend in the phytoplankton growth rate and hence daily primary production are necessarily expected throughout the four seasons in the TD.
Acknowledgements
We would like to express our appreciation to Dr Y. Ishida (National Research Institute of Fisheries Science), and the captain and crew of the R/V Hokko Maru of the Hokkaido National Fisheries Research Institute, for the sample collection.
References
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Anonymous (1993): Climatological Charts of the North Pacific Ocean for 30 year period (1961–1990). Marine Department, Japan Meteorological Agency.
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Campbell, J. W. and T. Aarup (1989): Photosynthetically available radiation at high latitudes. Limnol. Oceanogr., 34, 1490–1494.
Dodimead, A. J., F. Favorite and T. Hirano (1963): Review of oceanography of the subarctic region. Bull. Int. North Pac. Fish. Comm., 13, 1–195.
Eppley, R. W. (1972): Temperature and phytoplankton growth in the sea. Fish. Bull., 70, 1063–1085.
Favorite, F., A. J. Dodimead and K. Nasu (1976): Oceanography of the subarctic Pacific region, 1960–71. Bull. Int. North Pac. Fish. Comm-33, 1–187.
Hama, T., T. Miyazaki, Y. Ogawa, T. Iwakuma, M. Takahashi, A. Otsuki and S. Ichimura (1983): Measurement of photosynthetic production of a marine phytoplankton population using a stable $^{13}$C isotope. Mar. Biol., 73, 31–36.
Imai, K., Y. Nojiri, N. Tsurushima and T. Saino (2002): Time series of seasonal variation of primary productivity at Station KNOT (44°N, 155°E) in the sub-arctic western North Pacific.
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Odate, T. (1996): Abundance and size composition of the summer phytoplankton communities in the western North Pacific Ocean, the Bering Sea, and the Gulf of Alaska. J. Oceanogr., 52, 335–351.
Odate, T. and K. Furuya (1995): Primary production and community respiration in the subarctic water of the western North Pacific. In Biogeochemical Processes and Ocean Flux in the Western Pacific, Sakai, H. and Y. Nozaki (eds.), TERRAPUB, Tokyo, p. 239–253.
Parsons, T. R. and C. M. Lalli (1988): Comparative oceanic ecology of the plankton communities of the subarctic Atlantic and Pacific Oceans. Oceanogr. Mar. Biol. Annu. Rev., 26, 317–359.
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Platt, T., C. L. Gallegos and W. G. Harrison (1980): Photoinhibition of photosynthesis in natural assemblages of marine phytoplankton. J. Mar. Res., 38, 687–701.
Sasaoka, K., S. Saitoh, I. Asanuma, K. Imai, M. Honda, Y. Nojiri and T. Saino (2002): Temporal and spatial variability of chlorophyll-$a$ in their western subarctic Pacific determined from satellite and ship observations from 1997 to 1999. Deep-Sea Res. II, 49, 5557–5576.
Shiomoto, A. (2000) Chlorophyll-$a$ and primary production during spring in the oceanic region of the Oyashio Water, the north-western Pacific. J. Mar. Biol. Ass. U.K., 80, 343–354.
Shiomoto, A., Y. Ishida, K. Nagasawa, K. Tadokoro, M. Takahashi and K. Monaka (1999): Distribution of chlorophyll-a concentration in the Transition Domain and adjacent regions of the central North Pacific in summer. Plankton Biol. Ecol., 46, 30–36.
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Welschmeyer, N. A., S. Strom, R. Goericke, G. Ditullio, M. Belvin and W. Petersen (1993) Primary production in the subarctic Pacific Ocean: Project SUPER. Prog. Oceanogr., 32, 101–135.
Wong, C. S., F. A. Whitney, K. Iseki, J. S. Page and J. Zeng (1995): Analysis of trends in primary productivity and chlorophyll-$a$ over two decades at Ocean Station P (50°N, 145°E) in the Subarctic Northeast Pacific Ocean. In Climate Change and Northern Fish Populations, Beamish, R. J. (ed.), Can. Spec. Publ. Fish. Aquat. Sci., 121, 107–117.
Received November 18, 2003
Accepted June 18, 2004
Size-fractionated chlorophyll $a$ concentration at the surface in the offshore subarctic North Pacific in summer 2000
Akihiro SHIOMOTO*, Shinji HASHIMOTO**, Kosei SASAOKA*** and Mitsuhiro TORATANI****
Abstract: Small-sized phytoplankton, <2 or 2-10 $\mu$m fraction, significantly contributed to the total chlorophyll $a$ (chl $a$) concentration at all stations. Each fraction accounted for 35-71% of the total, and the sum of both fractions accounted for 67–93% of the total. Nevertheless, large-sized phytoplankton, >10 $\mu$m fraction, as well as the small-sized phytoplankton contributed to the relatively high total chl $a$ concentration of $\geq 1$ mg m$^{-3}$, accounting for about 30% of the total, in case of much influence of near-shore water.
Keywords: size-fractionated chlorophyll $a$, large-sized phytoplankton, offshore subarctic North Pacific, summer
1. Introduction
From studies of size-fractionated chlorophyll $a$ (chl $a$) in the subarctic North Pacific (ODATE and MAITA, 1988/89; YAMAMOTO and TANIGUCHI, 1993; ODATE, 1996; SHIOMOTO et al., 1999; BOYD and HARRISON, 1999; HASHIMOTO and SHIOMOTO, 2002; IMAI et al., 2002), it gradually emerged that ordinarily small-sized phytoplankton (<5 $\mu$m fraction) contribute to total chl $a$ concentration, whereas in case of total chl $a$ concentrations exceeding 1 mg m$^{-3}$, large-sized phytoplankton (>10 $\mu$m fraction) contribute to total chl $a$ concentration. However, information regarding the circumstances of the contribution of large-sized and small-sized phytoplankton in the subarctic North Pacific Ocean is currently far from sufficient. Hence, we investigated size-fractionated chl $a$ concentrations in the offshore subarctic North Pacific in late summer 2000.
2. Materials and methods
This study was conducted during a cruise of the R/V Kuroasaki (450t) between 30 August and 9 September 2000. Stations were located between 165°E and 145°W along 48°N (Fig. 1). Seawater samples were collected from the surface by acid-cleaned plastic bucket. Separate surface seawater samples (1 liter) were filtered through Nuclepore filters with pore sizes of 10 $\mu$m (>10 $\mu$m fraction) and 2 $\mu$m (>2 $\mu$m fraction), and a Whatman GF/F (ca. 0.7 $\mu$m pore size: total), in order to determine chl $a$ concentrations of the >10 $\mu$m, 2–10 $\mu$m and <2 $\mu$m fractions as well as total. The filters were stored frozen at −20°C until analysis on land. Chl $a$ concentrations were determined with a Hitachi F-2000 fluoro-photometer according to PARSONS et al. (1984) for samples extracted with 90% acetone. Calibration of the fluoro-photometer was performed with a commercially prepared chl $a$ standard obtained from Wako Pure Chemical Industries, Ltd. (Tokyo).
Temperature and salinity were measured with a thermometer and a Guildline AUTOSAL, respectively. Nitrite + nitrate and silicate concentrations were measured with a Bran and Luebbe Auto Analyser Traacs 800 after storage at $-20^\circ$C.
3. Results and discussion
Surface temperatures were nearly uniform between Stations 1 and 9, and tended to increase after Station 10 (Fig. 2a). Surface salinity was nearly uniform between Stations 1 and 8, and decreased markedly after Station 9 (Fig. 2b). Salinity increased again at Station 15 and was nearly uniform after that station. Less saline water with salinity of $<32.5$ psu was observed between Stations 10 and 14, and a minimum value of 32.28 psu was observed at Station 14.
Both nitrite + nitrate and silicate concentrations tended to decrease from Stations 1 to 19 (Fig. 2c). However, the decrease in the concentration was steeper in silicate than in nitrite + nitrate between Stations 1 and 12. The silicate concentrations were lower than the nitrite + nitrate concentrations between Stations 12 and 18.
Total chl $a$ concentrations ranged from 0.32 to 1.32 mg m$^{-3}$ (Fig. 3a). Concentrations of $\geq 1$ mg m$^{-3}$ were observed at Stations 1, 9, 11, 12 and 14. Although the percentage contribution of the $<2$ or 2–10 $\mu$m fraction (small-sized phytoplankton) to the biomass of the phytoplankton community was highest at all five stations, the contribution of the $>10 \mu$m fraction (large-sized phytoplankton) to the biomass differed between the five stations (Fig. 3b). The contribution of large-sized phytoplankton was relatively high at Stations 11, 12 and 14, and low at Station 1. The chl $a$ concentrations of the total, the $<2 \mu$m fraction and the 2–10 $\mu$m fraction showed 1.3-fold, 1.6-fold and 1.4-fold changes, respectively, between the five stations, whereas the concentration of the $>10 \mu$m fraction showed 5.5-fold change. The different contributions of large-sized phytoplankton between the five stations can be thus attributed to different chl $a$ concentrations of large-sized phytoplankton. Consequently, for phytoplankton communities with the relatively high chl $a$ concentration, even if the total phytoplankton biomass is equal, the
contribution of various-sized phytoplankton, especially the large-sized, may differ between the communities, implying a different species composition of phytoplankton between the communities.
Stations 11, 12 and 14 with relatively high chl $a$ concentrations of the $>10\,\mu m$ cell size coincided with the less saline water (Figs 2b and 3). A significant negative relationship was observed between chl $a$ concentrations of the $>10\,\mu m$ and $2–10\,\mu m$ fractions and salinity, but not for the $<2\,\mu m$ fraction (Fig. 4). This means that the near-shore water has an effect in particular on large-sized phytoplankton in the offshore area, but little effect on small-sized phytoplankton.
In the North Pacific, the Subarctic Current flows eastward between $40^\circ N$ and $50^\circ N$ east of $165^\circ E$, and the Alaskan Stream flows westward north of the Subarctic Current along the Aleutian Islands (e.g., FAVORITE et al., 1976). Southward branches from the Alaskan Stream have been observed to flow into the Subarctic Current west of $155^\circ W$ (THOMSON, 1972; REED, 1984; REED and STABENO, 1994; BOGRAD et al., 1999). Salinity in the upper waters decreases from the offshore area to the near-shore area in the subarctic North Pacific (DODMEAD et al., 1963; FAVORITE et al., 1976). The low saline water between Stations 10–14 can be thus attributed to the southward branches of the Alaskan Stream. Consequently, large-sized phytoplankton in the less saline water can be generated in the near-shore area and carried into the offshore area by the southward branches of the Alaskan Stream.
Concentrations of nitrite + nitrate and silicate in the less saline water (Stations 10–14) were mostly less than $10\,\mu M$ and $5\,\mu M$, respectively (Fig. 2c). The concentration ratios of nitrite + nitrate to silicate of less than 1 were observed in the less saline water (Stations 12–14). In contrast, concentrations of nitrite + nitrate and silicate were $10–15\,\mu M$ and $20–30\,\mu M$ at the surface in the Alaskan Stream in
summer 2000 (data between 50–51°N along 180° and 165°W in June 2000; ANONYMOUS, 2001). Concentration ratios at the surface were within the range of 1 and 2 (ANONYMOUS, 2001). The concentrations and ratios are judged to be lower in the less saline water than in the source water (the Alaskan Stream). The low concentration ratios as well as the low concentrations in the less saline water are considered to be a result of the active uptake of nutrients, especially silicate, implying abundant diatoms. Relatively high chl $a$ concentrations of large-sized phytoplankton at Stations 11, 12 and 14 can thus be attributed to diatoms in the near-shore area.
Acknowledgments
We would like to express our appreciation to Mr K. HONMA, chief researcher, and the captain and crew of the Kurosaki, for sample collection. This study was funded by the Fisheries Agency of Japan.
References
ANONYMOUS (2001) : Data Record of Oceanographic Observations and Exploratory Fishing, No. 44. Hokkaido University, Hakodate, 95 pp.
BOGARD, S. J., R.E. THOMSON, A.B. RABINOVICH and P. H. LEBLOND (1999) : Near-surface circulation of the northeast Pacific Ocean derived from WOCE-SVP satellite-tracked drifters. Deep-Sea Res. II, 46, 2371–2403.
BOYD, P. and P.J. HARRISON (1999) : Phytoplankton dynamics in the NE subarctic Pacific. Deep-Sea Res. II, 46, 2405–2432.
DODIMEAD, A.J., F. FAVORITE and T. HIRANO (1963) : Salmon of the North Pacific Ocean—Part II. Review of oceanography of the subarctic Pacific Region. Bull. Int. North Pacific Fish. Comm., 20, 1–195.
FAVORITE, F., A.J. DODIMEAD and K. NASU (1976) : Oceanography of the subarctic Pacific region, 1960–71. Bull. Int. North Pacific Fish. Comm., 33, 1–187.
HASHIMOTO, S. and A. SHIOMOTO (2000) : Regional distribution of size-fractionated chlorophyll $a$ concentration at sea surface water adjacent to Japan in May-June 2000. Bull. Jpn. Soc. Fish. Oceanogr., 66, 148–154 (in Japanese with English abstract).
IMAI, K., Y. NOJIRI, N. TSURUSHIMA and T. SAINO (2002) : Time series seasonal variation of primary productivity at station KNOT (44°N, 155°E) in the subarctic western North Pacific. Deep-Sea Res. II, 49, 5395–5408.
ODEATE, T. (1996) : Abundance and size composition of the summer phytoplankton communities in the western North Pacific Ocean, the Bering Sea, and the Gulf of Alaska. J. Oceanogr., 52, 335–351.
ODEATE, T. and Y. MAITA (1988/89) : Regional variation in the size composition of phytoplankton communities in the western Pacific Ocean, spring 1985. Biol. Oceanogr., 6, 65–77.
PARSONS, T. R., Y. MAITA and C.M. LALLI (1984) : A Manual of Chemical and Biological Methods for Seawater Analysis. Pergamon Press, Oxford, 173 pp.
REED, R. K. (1984) : Flow of the Alaskan Stream and its variations. Deep-Sea Res., 31, 369–386.
REED, R. K. and P.J. STABENO (1994) : Flow along and across the Aleutian Ridge. J. Mar. Res., 52, 639–648.
SHIOMOTO, A., Y. ISHIDA, K. NAGASAWA, K. TADOKORO, M. TAKAHASHI and K. MONAKA (1999) : Distribution of chlorophyll-$a$ concentration in the Transition Domain and adjacent regions of the central North Pacific in summer. Plankton Biol. Ecol., 46, 30–36.
THOMSON, R. E. (1972) : On the Alaskan Stream. J. Phys. Oceanogr., 2, 363–371.
YAMAMOTO, T. and A. TANIGUCHI (1993) : Spring and summer phytoplankton chlorophyll $a$ size fraction ($>10\,\mu m$ and $<10\,\mu m$) in the offshore waters around Japan. J. Fac. Appl. Biol. Sci. Hiroshima Univ., 32, 1–6.
Received March 8, 2004
Accepted May 7, 2004
第 41 卷第 4 号掲載欧文論文要旨
和田明*・落合実：Hybrid box modelによる北極海域（カラ海，バレンツ海）での流動解析
本論文の目的は海洋汚染に関連して北極海域（カラ海，バレンツ海）での流動特性を検討することにある。最近，旧ソビエト連邦による北極海（特にカラ海，バレンツ海）への放射性廃棄物の投棄の状況が明らかにされつつある。この海域は狭く，浅く，かつ陸地に近いという特徴を有している。当該海域の海水循環を求め放射性核種の拡散解析，被爆線量評価を行うためには，海洋の流動特性を把握する必要がある。放射性廃棄物の北極海への影響を検討する第一段階として，バレンツ海，カラ海の局所海域を対象として，水平方向に $4^\circ \times 1^\circ$ の分割，鉛直方向は 6 層（0～50m, 50～100m, 100～200m, 200～500m, 500～900m より 900～2500m）に分割した。本論文で用いた解析法は各ボックスで観測されている水温と塩分を再現するような流れを求める方式である。この方法によって得られた流動は，既往の知見による流れと一致した。この流れの解析結果とバレンツ海でのタラの卵稚仔の動きとの関連についても検討を加えた。
(〒275-8875 千葉県習志野市泉町1−2−1 日本大学生産工学部)
和田明*・高野泰隆・落合実：北極海全域の海水循環の解析
北極海への放射性廃棄物の投棄による影響を評価するには北極海の局所域（カラ海，バレンツ海）ならびに北極海全域の影響を予測しうる安全評価方法を確立する必要がある。放射性廃棄物の北極海への影響を検討する第一段階として，バレンツ海，カラ海の局所海域を対象として，水平方向に $4^\circ \times 1^\circ$ の分割，鉛直方向に 6 層分割し，hybrid box model を用いて流れを解析した。解析より求められた流動は既往の知見による流れと一致した（WADA and OCHIAI, 2004）。研究の第 2 段階として北極海全域を対象として球座標系において場所により異なるが，$4^\circ \times 1^\circ$ の水平方向のボックスを考え，鉛直方向は 5 層（0～50m, 50～100m, 100～200m, 200～500m, および 500～4250m）に分割した。流動解析については研究の第 1 段階で採用した hybrid box model を採用した。北極海全域を対象とした流動解析結果は多くの点で既存知見と一致した。特に，ノルウェー海，バレンツ海，カラ海における流れは既存知見とほぼ同じであった。北極海中心部での表層では時計回り，中・深層の流動場は反時計回りの循環が認められた。本文で得られた流動解析結果と局所域モデル（カラ海，バレンツ海）の結果を比較した結果，両者の整合性は良好であった。
(〒275-8875 千葉県習志野市泉町1−2−1 日本大学生産工学部)
関根義彦*・田中俊輔：直進する黒潮の岸側に存在する低気圧渦の観測
大冷水塊を持つ大きな低気圧渦は黒潮大蛇行流路に伴われるが，非大蛇行期にも弱い低気圧渦が存在する。1999年8月に非大蛇行期間の低気圧渦の西側を観測することができたので，その観測結果をまとめた。観測はCTDとADC Pにより行われ，幾つかのポテンシャル密度（$\sigma_o$）の異なる低塩分水の水平貫入が塩分極小層に存在することが観測された。黒潮の北側にある低気圧渦の低塩分水層は渦の周辺では薄くなり，$\sigma_o$の幅も狭いのに対して，黒潮の南側にある北太平洋中層水の水平貫入は厚く，$\sigma_o$の幅も相対的に広いことが観測された。黒潮の北側にある低塩分層の水の起源について議論した。
(〒514-8507 津市上浜町1515 三重大学生物資源学部海洋気候学講座)
奥村裕*・小山次朗**・宇野誠一：芳香族炭化水素の植物プランクトンに対するEC50とlogPow，分子量との関係
芳香族炭化水素5種類の海産植物プランクトン8種類に対する生長阻害試験を行った。緑藻のドナリエラは他の藻類に比べ，実験したすべての芳香族炭化水素について最も耐性が高かった。特にジベンゾチオフェン，フェナントレン，ナフタレンのドナリエラに対するEC50は試験した最高濃度区以上であり，EC50を決定できなかった。一方，最も感受性の高い植物プランクトンの種類は芳香族炭化水素によって異なった。ユーグレナ藻のユートレプテイラはジベンゾチオフェンに対し，ハプト藻のパブロバはフェナントレン，フルオレン，ナフタレンに対し，渦鞭毛藻のプロセントラムはフェナントレンに対し，珪藻のキートセロスはヒドロキシフェニルに対し感受性が高く，藻類の感受性は種類により20倍以上異なった。
オクタノール/水分配係数とEC50の回帰式は、\[ \log(1/\text{EC50}) = 0.87 \times \log\text{Pow} - 0.76 \]であり、\( r^2 \)は0.76と高く、両者の間に有意な相関関係が確認された。一方、キートセロスとテトラセルミスのEC50は、\[ \log\text{Pow} \]より分子量と相関が高かった。
(〒985-0001 宮城県塩釜市新浜町3-27-5 独立行政法人水産総合研究センター東北区水産研究所海区水産業研究部海区産業研究室 〒890-0056 鹿児島県下荒田4-50-20 鹿児島大学水産学部海洋資源環境教育センター)
中村洋平*・堀之内正博**・佐野光彦***：熱帯の海草帯におけるヤライイシモチ Cheilodipterus quinquelineatusの加入に及ぼす海草の草丈と密度の影響：人工海草魚礁を用いた実験的研究
琉球諸島西表島において海草の草丈や密度が違うと、稚魚の加入量が変化するかどうかを人工海草魚礁を用いて検証した。実験に用いた人工礁は、①草丈と密度が高いもの（Dユニット）、②草丈はDユニットと同じだが、密度を40%減らしたもの、③密度はDユニットと同じだが、草丈を40%減らしたもの、および④葉がなく、基盤だけのものの4タイプである。これらの人工礁をアマモ場に隣接する砂礫底にそれぞれ5基設置し、各礁に加入する稚魚を潜水観察によって14日間毎日記録したところ、合計7科10種が人工礁に加入した。
すべての魚種の個体数を累積し、各種の割合を算出したところ、ヤライイシモチが最も多く、全体の約85%を占めた。実験期間を通して、人工礁のタイプ間でヤライイシモチ稚魚の個体数を比較したところ、その個体数は草丈と密度が高いDユニットに有意に多かった。この結果は、海草の草丈や密度の違いは、ヤライイシモチ稚魚の加入量に影響を及ぼすことを示唆する。
(〒113-8657 東京都文京区弥生1-1-1 東京大学大学院農学生命科学研究科農学国際専攻 〒690-8504 島根県松江市西河津市 島根大学汽水センター)
アヌクル・ブラナプラスプラット*、柳哲雄**：タイ・バンパコン河口域における循環と平均滞留時間の季節変動
バンパコン河口域における3次元循環流と保存物質の平均滞留時間の季節変動をPOMとオイラー・ラグランジュ法により計算した。水温・塩分・河川流量・風・潮位が計算への主な入力である。計算結果によると、これらの入力が複雑にかみあって3次元循環流の季節変動を決めていく。風の影響は海面近くで大きいが、潮汐の影響は全水深に及んでいる。また河川の影響は雨季の河口近くで著しい。粒子追跡実験の結果は潮流が短期間に粒子を輸送するのに重要な役割を果たしていることを示し、平均滞留時間の季節変化は風、河川流量、潮汐のすべての影響を受けていることを示した。粒子追跡実験による平均滞留時間は4月に29日、6月に21日、12月に11日、9月に6日となったが、それらは塩分収支から推定された平均滞留時間とよく一致した。
(*Department of Geography, University of Victoria, PO. Box 3050, STN CSC, Victoria, BC V8W 3P5 Canada **福岡県春日市春日公園6-1 九州大学応用力学研究所)
塩本明弘*、橋本慎治**、亀田卓彦***：1997年7月の北西太平洋におけるクロロフィルaと基礎生産力
1997年7月の北西太平洋における有光層内のクロロフィルa濃度と基礎生産力を測定した。観測点は西部亜寒帯循環と移行領域に分けられた。クロロフィルa濃度は西部亜寒帯循環で0.42-2.61 mg・m\(^{-3}\)（平均値±標準誤差：1.86±0.16 mg・m\(^{-3}\)、データ数：16）、移行領域で0.33-0.57 mg・m\(^{-3}\)（0.42±0.01 mg・m\(^{-3}\)、24）であった。1%光深度から表面までを積算した1日あたりの基礎生産量は西部亜寒帯循環で910-2886 mgC・m\(^{-2}\)d\(^{-1}\)（1744±459 mgC・m\(^{-2}\)d\(^{-1}\)、4）、移行領域で738-1629 mgC・m\(^{-2}\)d\(^{-1}\)（1094±152 mgC・m\(^{-2}\)d\(^{-1}\)、6）であった。西部亜寒帯循環でのクロロフィルa濃度はこれまでに夏季の北太平洋亜寒帯域西部で報告されたクロロフィルa濃度中では比較的高い方に位置していた。さらに、西部亜寒帯循環において79.4、62.4 mgC/(mgChl a)\(^{-1}\)・d\(^{-1}\)という比較的高い単位クロロフィルa当たりの基礎生産量も得られた。これらの値は夏季北太平洋亜寒帯域西部で報告された値(<55 mgC/(mgChl a)\(^{-1}\)・d\(^{-1}\))に比べて高かった。以上のことから、西部亜寒帯循環において植物プランクトンは夏季にブルームを起こすと考えられる。初夏における水温の上昇が植物プランクトンのブルームを引き起こす要因のひとつとして挙げられる。一方、移行領域において、各観測点での1%光深度までのクロロフィルaの積算量はほぼ等しかったが、1日あたりの基礎生産量は南下に伴い増加する傾向が見られた。この傾向は水温上昇に伴う植物プランクトンの成長速度の増加によるものと考えられる。
(*独立行政法人水産総合研究センター中央水産研究所 〒236-8648 神奈川県横浜市金沢区福浦2-12-4. **日本科学技術事業団.(現住所)愛知県名古屋大学地球水循環研究センター 〒464-8601 名古屋市千種区不老町. ***独立行政法人水産総合研究センター遠洋水産研究所 〒424-8633 静岡県静岡市清水折戸5-7-1)
1. 2003年9月9日（火） 東京水産大学海洋環境棟会議室において幹事による会計改革についての検討会を開催した。
2. 2003年10月14日（火） 東京水産大学海洋環境棟会議室において幹事会が開かれた。
主な審議事項は下記の通りである。
正会員会費の改定
名簿作成
寄付図書・交換図書の見直し
各試験場・書店への講読価格
ケルゲレン島学術調査計画
3. 2003年11月18日（火） 東京水産大学海洋環境棟会議室において幹事会が開かれた。
前回の幹事原案を再度検討した。
4. 2004年1月20日（火） 平成16，17年度 評議員選出結果。
青木三郎 荒川久幸 有賀祐勝 石丸 隆 磯田 豊
市川 香 今脇資郎 岩田静夫 内海真生 奥田邦明
神田穏太 河野 博 岸野元彰 北出裕二郎
黒田一紀 小池 隆 小池康之 小池義夫 小松輝久
斎藤誠一 佐藤博雄 須藤英雄 関根義彥 千手智晴
平 啓介 多田邦尚 高橋正征 隆島史夫 谷口 旭
田中祐志 寺崎 誠 内藤靖彦 永田 豊
中田喜三郎 中田英昭 長島秀樹 平野敏行
前田明夫 前田昌調 前田 勝 松生 治 松山優治
村野正昭 門谷 茂 森永 勤 和田 明 八木宏樹
山口征矢 柳 哲雄 山崎秀勝 吉田次郎 渡邊精一
5. 2004年3月15日（月） 平成16，17年度 会長選出結果。
会長には 須藤英雄会員が再選された。
6. 新入会員
| 氏名 | 所属 | 紹介者 |
|----------|-------------------------------------------|-----------------|
| 佐野光彦 | 〒113-8657東京都文京区弥生1-1-1 | 河野 博 |
| | 東京大学大学院農学生命科学研究室 | |
7. 退会（逝去者含）
藤田亀太郎 本座栄一 梶浦欣二郎 杉原滋彦
木村 茂
8. 受贈図書
養殖研ニュース No. 51, 52
なつしま No. 209～214
しおさい No. 19
東海大学紀要 Vol. 14(1)
農業工学研究所ニュース(26, 27, 28)
勇魚 No. 28
国立科学博物館専報 35号
Nil News No. 17, 18
Bulletin of the National Science Museum Vol. 27 (1), 28(3, 4), 29(2)
Journal of the Korean Society of Oceanography Vol. 28(2, 3)
海洋水産研究 Vol. 24(2, 3)
中国海洋大学学報 Vol. 2(2)
日仏海洋学会誌「うみ」投稿規定
1. 「うみ」（欧文誌名 La mer）は日仏海洋学会の機関誌として、和文または欧文により、海洋学および水産学ならびにそれらの関連分野の研究成果を発表する学術雑誌であり、同時に研究者間の情報交換の役割をもつことを目的としている。
2. 「うみ」は、原則として年4回発行され、投稿（依頼原稿を含む）による原著論文、原著短報、総説、学術資料、書評その他を、編集委員会の審査により掲載する。これらの著作権は日仏海洋学会に帰属する。
3. 投稿は日仏海洋学会会員、および日仏海洋学会正会員に準ずる非会員からとする。共著者に会員を含む場合は会員からの投稿とみなす。
4. 用語は日、仏、英3カ国語のいずれかとする。ただし、表および図の説明の用語は仏文または英文に限る。原著論文には約200語の英文または仏文の要旨を別紙として必ず添える。なお、欧文論文には約500字の和文要旨も添える。ただし、日本語圏外からの投稿の和文要旨については編集委員会の責任とする。
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6. 投稿原稿の体裁形式は「うみ」最近号掲載論文のそれに従う。著者名は略記しない。記号略号の表記は編集委員会の基準に従う。引用文献の表示形式は、雑誌論文、単行本分載論文（単行本の一部引用も含む）、単行本などの別による基準に従う。
7. 原図は版下用として鮮明で、縮尺（版幅または1/2版幅）に耐えられるものとする。
8. 初稿に限り著者の校正を受ける。
9. すべての投稿原稿について、1編あたり5万円の論文掲載料を申し受けます。
10. 会員に対しては10印刷ページまでの掲載を無料とする。会員の投稿で上記限度を超える分および非会員投稿（依頼原稿を除く）の印刷実費はすべて著者負担（1万円/ページ）とする。ただし、カラー印刷を含む場合には、別に所定の費用（1ページあたり9万円）を著者（会員、非会員とも）負担とする。
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12. 原稿の送り先は下記の通りとする。なお著者（共著の場合は代表者）連絡先のe-mailアドレス並びにFAX番号を付けることとする。
〒108-8477 東京都港区港南4-5-7
東京海洋大学海洋科学部海洋環境学科（吉田 次郎気付）
日仏海洋学会編集委員会
e-mail：firstname.lastname@example.org
執筆要領
1. 原稿
(1) 和文原稿の場合：ワードプロセッサを使用し、A4版の用紙におよそ横30字、縦25行を目安に作成すること。
(2) 欧文原稿の場合：ワードプロセッサを使用し、A4版の用紙にダブルスペース25行でタイプし、十分な英文添削または仏文添削を経て提出すること。
(3) 和文原稿、欧文原稿いずれの場合も、要旨、表原稿および図版説明原稿はそれぞれ本文原稿とは別紙とする。
(4) 最終原稿提出の際に、印刷原稿とともに原稿、表、図版が保存されたフロッピーディスク、CD-R/RW、MO等での提出を依頼する。この場合、原稿はMicrosoft WORD、Just System 一太郎、PDFの原稿のみに限る。また、表、図版はこれら原稿ファイルの中に取り込むか、bmp、jpg等の一般的な画像ファイルに保存したものに限る。なお、電子媒体は返却しない。
2. 原稿記載の順序
(1) 原著（和文原稿）：原稿の第1ページ目に表題，著者名，研究の行われた所属機関，所在地，郵便番号を和文と英文で記載する。研究終了後所属機関が変わった場合は現所属機関も記載する。連絡先（共著の場合は連絡先とする著者を明示する）の住所，電話番号，ファックス番号，E-mailアドレスも記す。最後にキーワード（4語以内），ランニングヘッドを英文で記載すること。第2ページ目に欧文要旨（欧文表題，著者名を含む）を200語以内で記す。本文は第3ページ目から，「緒言」「資料」「結果」「考察」「謝辞」「文献」「図版の説明」などの章立てあるいは項目で順に記載する。基本的には最近号掲載論文の体裁形式を参考にして投稿原稿を作成すること。原稿には通しのページ番号を記入すること。
(2) 原著（欧文原稿）：原稿の第1ページ目に表題，著者名，研究の行われた所属機関，所在地，郵便番号を記載する。研究終了後所属機関が変わった場合は現所属機関も記載する。最後にキーワード（4語以内），ランニングヘッドを記載すること。第2ページ目に欧文要旨（欧文表題，著者名を含む）を200語以内で記す。本文は第3ページ目からとする。「Introduction」「Data」「Results」「Discussion」「Acknowledgement」「References」「Figure Caption」などの章立てで順に記載する。基本的には投稿原稿の体裁形式は最近号掲載論文を参考にして作成すること。最終ページに和文の表題，著者名，連絡先著者住所，電話番号，ファックス番号，E-mailアドレスおよび約500字以内の和文要旨を添える。原稿には通しのページ番号を記入すること。
(3) 原著短報，総説：和文ならびに欧文原稿とも原著論文に準ずる。
(4) 学術資料，書評：特に記載に関する規定はないが，すでに掲載されたものを参考にすること。
3. 活字の指定
原稿での活字は10.5pt～12ptを目安に設定し，英数字は半角フォントを用いること。学名はイタリック，和文原稿での動植物名はカタカナとすること。句読点は（。）および（,）とするが，文献リストでは（。）および（,）を用いること。章節の題目，謝辞，文献などの項目はボールドまたはゴシックとする。
4. 文献
文献は本文および図表に引用されたもののすべてを記載しなければならない。和文論文，欧文論文共に筆頭著者のアルファベット順（同一著者については，単著，共著の順とし，それぞれ発表年の古い順）にまとめ，以下の例に従って記載する。
(1) 論文の場合
有賀祐勝，前川行幸，横浜康継（1996）：下田湾におけるアラメ群落構造の経年変化.うみ，34，45–52.
YANAGI, T. T., TAKAO and A. MORIMOTO (1997): Co-tidal and co-range charts in the South China Sea derived from satellite altimetry data. La mer, 35, 85–93.
(2) 単行本分載論文（単行本の一部引用の場合）
村野正昭（1974）：あみ類と近底層プランクトン.海洋学講座10 海洋プランクトン（丸茂隆三編），東京大学出版会，東京，p.111–128.
WYNNE, M. J. (1981): Pheophyta: Morphology and classification. In the Biology of Seaweeds. LOBBAN, C. S. and M. J. WYNNE (eds.), Blackwell Science, Oxford, p.52–85.
(3) 単行本の場合
柳 哲雄（1989）：岸海洋学—海の中でものはどう動くか一. 恒星社厚生閣，東京，154pp.
SVENDRUP, H. U., M. W. JOHNSON and R. H. FLEMING (1942): The Oceans: Their Physics, Chemistry and General Biology. Prentice-Hall, Englewood Cliffs, New York, 1087pp.
(4) 本文中での文献の引用
本文中での文献の引用方法はすでに発行された雑誌を参考にするが，基本的には次の形式に従う。
①GREVE and PARSONS(1977)
②(AVIAN and SANDRIN, 1988),
③YANAGI et al. （1997）は……（3名以上の共著の場合）
④……示されている（例えば，YANAGI et al., 1997）（3名以上の共著の場合）
5. 図、表および写真
(1) 図、表および写真とその説明はすべて英文または仏文を用いる。
(2) 図、表はそのまま写真製版用の草稿となるような明瞭なもので、A4版の上質紙に作製したもの（写真は、正原稿についてもオリジナルとは別にA4版の用紙にコピーしておくことが望ましい）のみを受け付ける。カラー図を希望する場合はその旨明記する。この場合、別に所定の費用を著者負担とする。
(3) 写真は光沢平滑印刷紙に鮮明に焼き付けたものを受け付ける。カラー写真の印刷を希望する場合はその旨明記する。この場合、別に所定の費用を著者負担とする。
(4) 図、表および写真は刷り上がり時に最大横が14cm、縦が20cm（説明文を含む）以内であることを考慮して作製すること。
(5) 図（写真を含む）には、Fig. 1, Fig. 2, ……のように通し番号をつけ、一つの図中に複数の図を含む場合はFig. 3 (a), Fig. 3 (b), ……のように指定する。本文中での引用は和文原稿の場合も「Fig. 1にみられるように……」のようにすること。
(6) 表には、表題の次（表の上のスペース）に説明をつけ、表ごとに別紙とし、Table 1, Table 2, ……のように通し番号をつけること。
(7) 図、表および写真は1枚ごとに著者名、通し番号をつけること。また、本文中での挿入箇所を最終提出原稿の該当箇所右欄外に朱書きすること。
(8) 図、写真の説明は別紙にまとめること。
(9) 地図にはかならず方位と縮尺または緯度、経度を入れること。
6. 単位系
原則としてSI単位を用いること。塩分は実用塩分単位（Practical Salinity Unit：psuまたはPSU）を用いる場合は単位なしとする。
Information for Contributors
1. The scientific journal, "La mer," the official organ of Japanese-French Oceanographic Society (JFOS), is published quarterly. "La mer" is open to all researchers in oceanography, fisheries and related sciences in the world. The journal is devoted to the publication of original articles, short contributions, reviews, book reviews, and information in oceanography, fisheries and related fields. Submission of a manuscript will imply that it has not been published or accepted for publication elsewhere. The editorial board decides the acceptance of the manuscript on the basis of peer-reviews and is responsible for its final editing. The Society reserves the copyright of all articles in the Journal.
2. Submission: Manuscripts must be written in French, English or Japanese. Authors are requested to submit their original manuscript and figures with one copy to the Editor in chief.
3. Publication charges: Each accepted article is charged 50,000 yen for publication. For members, there will be no page charge for less than ten printed pages, and 10,000 yen will be charged per page for the excess, except for color pages. For nonmembers there is a publication charge of 10,000 yen per printed page except for color pages. Color illustrations will be provided at cost.
4. Proofs and reprints: Fifty reprints of each article will be provided free of charge. Additional reprints can be provided in blocks of 50 copies. Proofs will be sent to the corresponding author. A reprint order form will be sent with the proofs.
5. Manuscripts should be sent to
Editor in Chief of "La mer"
Jiro Yoshida
Department of Ocean Sciences
Tokyo University of Marine Science and Technology
Konan, Minato-Ku, Tokyo, Japan 108-8477.
email@example.com
Manuscript Preparation
1. General
1) Manuscripts must be typed with double-spacing on one side of A4 size white paper with wide margins.
2) Figures, tables, and figure captions should be prepared separate from the main text.
3) Authors should submit an electronic copy of their paper with the final version of the manuscript. The electronic copy should match the hardcopy exactly and should be stored in CD-R/W or FD. MS-WORD (Windows) and PDF formats are accepted.
2. Details
1) The first page of the manuscript should include the title, author's full names and affiliations including Fax numbers and E-mail addresses. The corresponding author should be designated. Key words (up to four words) and running head should be written at the bottom of the page.
2) An abstract of 200 words or less in English or French should be on the second page.
3) The main text should start on the third page. Please adhere to the following order of presentation: main text, acknowledgements, appendices, references, figure captions, tables. All pages except the first page must be numbered in sequence.
4) Mathematical formulae should be written with a wide space above and below each line. Système International (SI) units and symbols are preferred.
5) All references quoted in the text should be listed separately in alphabetical order according to the first author's last name. Citations must be complete according to the following examples:
Article: Yanagi, T. T. Takao and A. Morimoto (1997): Co-tidal and co-range charts in the South China Sea
derived from satellite altimetry data. *La mer*, **35**, 85–93.
*Chapter*: WYNNE, M.J. (1981): Pheophyta: Morphology and classification. In the Biology of Seaweeds. LOBBAN, C.S. and M. J. WYNNE (eds.), Blackwell Science, Oxford, p. 52–85.
*Book*: SVERDRUP, H. U., M. W. JOHNSON and R. H. FLEMING (1942): The Oceans: Their Physics, Chemistry and General Biology. Prentice-Hall, Englewood Cliffs, New York, 1087pp.
6) *Illustrations*: All illustrations should be provided in camera-ready form, suitable for reproduction (which may include reduction) without retouching. Photographs, charts and diagrams are all to be referred to as "Fig(s)." and should be numbered consecutively in the order to which they are referred. They should accompany the manuscript, but should not be included within the text. All figures should be clearly marked on the back with the figure number and the author's name. All figures are to have a caption. Captions should be supplied on a separate sheet.
7) *Photographs*: Original photographs must be supplied as they are to be reproduced (e.g. black and white or color). If necessary, a scale should be marked on the photograph. Please note that photocopies of photographs are not acceptable. Half-tone illustrations should be kept to a minimum.
8) *Color illustrations*: The printing cost of color illustrations must be borne by authors or their institution. Authors will receive information about the cost on acceptance of the manuscript.
9) *Tables*: Tables should be numbered consecutively and given a suitable caption on top and each table typed on a separate sheet.
赞助会员
アレック電子株式会社 神戸市西区井吹台東町7-2-3
株式会社イーエムエス 神戸市中央区多聞通3-2-9
有限会社英和出版印刷 文京区千駄木4-20-6
株式会社内田老鶴園 内田悟 文京区大塚3-34-3
財団法人海洋生物環境研究所 千代田区神田神保町3-29 帝国書院ビル5F
株式会社川合海苔店 大田区大森本町2-31-8
ケー・エンジニアリング株式会社 台東区浅草橋5-14-10
国土環境株式会社（環境情報研究所） 横浜市都筑区早渕2-2-2
三洋測器株式会社 渋谷区恵比須南1-2-8
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テラ株式会社 世田谷区代沢4-44-2 下北沢ビル2F
日本海洋株式会社 北区栄町9-2
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海洋生物資源を大切に利用する企業でありたい
——青魚（イワシ・サバ・サンマ）から宝を深し出す——
母なる海・海には愛を!
La mer la mère, l'amour pour la mer!
SHiDA 信田缶詰株式会社
〒288-0045 千葉県銚子市三軒町2-1 TEL 0479(22)7555 FAX 0479(22)3538
●製造品・水産缶詰・各種レトルトパウチ・ビン詰・抽出スープ・栄養補助食品・他
URL http://www.fis-net.co.jp/shida/ メールアドレス：firstname.lastname@example.org
Biospherical Instruments（水中分光放射計・PAR センサーメーカー）
● 10 ダイナミックレンジ水中分光プロファイラー
● 自然蛍光光度測定
● 洋上輝度観測モニター
● Scalar・Cosine PAR センサー
● モノクロセンサー
Idronaut（WOCE CTD メーカー）
● 24 ビット分解 メモリー/FSK プロファイラー
● 6 項目測定＋ROSETTE 採水装置インタフェース
● 多項目観測プイ・ポルタンメトリー電極
Richard Brancker Research（水中ロガーメーカー）
● 24 ビット分解・RS インタフェース内蔵ロガー
● 6 項目測定
日本総代理店 ケー・エンジニアリング株式会社
〒111-0053 東京都台東区浅草橋5−14−10
TEL 03-5820-8170 FAX 03-5820-8172
www.k-engineering.co.jp email@example.com
日仏海洋学会入会申込書
（正会員・学生会員）
| 氏名 | 年度より入会 | 年 月 日申込 |
|------|--------------|-------------|
| ローマ字 | 年 月 日生 |
| 住所 | 勤務先機関名 | 電話 |
|------|--------------|------|
| 自宅住所 | 電話 |
|---------|------|
| 紹介会員氏名 |
|--------------|
| 送付金額 円 | 送金方法 |
|------------|----------|
| 会誌の送り先（希望する方に○をつける） | 勤務先 | 自宅 |
|---------------------------------|--------|------|
（以下は学会事務局用）
| 受付 | 名簿 | 会費 | あて名 | 学会 |
|------|------|------|-------|------|
| | 原簿 | 原簿 | カード | 記事 |
入会申込書送付先：〒150-0013 東京都渋谷区恵比寿 3-9-25
（財）日仏会館内
日仏海洋学会
郵便振替番号：00150-7-96503
|
TRAIN YOUR BEST ASSETS
THE 40 BEST PDs IN AMERICA
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Departments
06 » Publisher's Notes
Wanna Be A Rock Star?
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People, News & More
34 » Management Ink™
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35 » Classifieds / Yellow Ink™
36 » Sales Ink™
Dick Orkin
38 » Blast From the Past™
Columns
10 » The Wizard of Ads™
Quick & Easy Answers by Roy H. Williams
12 » Giff On Sales
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13 » Money And Finance
NewRadio Group Buys 22 Midwest Stations
37 » Technology And Engineering
Bonneville Buildout
Feature
Best PDs In America 2002
20 » These 40 top program directors — 10 in each of four categories by market size — have the passion and creativity to come up with what listeners want to hear and advertisers want to buy.
Coming Next Issue
Politics Of Talk
Cover interview: Sean Hannity
Steal This!
Selected as this year's top PD in America, Emmis Communications' Jimmy Steal credits everyone but his own prodigious effort for his success at KPWR Los Angeles. Cover and interview photographs by Rich Hogan, Los Angeles.
Editor-in-Chief
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Radio Ink is published biweekly. Twenty-five issues each year by Streamfire Publishing, Inc., 224 Datura Street, Suite 1015, West Palm Beach, FL 33401. © Radio Ink is a registered trademark of Streamfire Publishing Inc. Radio Central® and RadioCentral.com are registered trademarks of Streamfire Publishing Inc. All rights reserved.
POSTMASTER: Send changes of address to Radio Ink, 224 Datura Street, Suite 1015, West Palm Beach, FL 33401. Periodicals postage paid at West Palm Beach, FL, and additional offices. Subscription price: $99.00 per year. One-year $179.00 Canadian. Two-year $229.00 foreign. All subscriptions, renewals, and inquiries regarding change of address should include address label from most recent issue and be sent to the Circulation Department, Radio Ink, 224 Datura Street, Suite 1015, West Palm Beach, FL 33401. Copying done for other than personal or internal reference without the express permission of Radio Ink is prohibited. Address requests for special permission to the Managing Editor. Reprints and back issues available upon request. Printed in the United States. Both business mail paid at West Palm Beach, FL. • 100% class enclosure paid in Columbus, WY. Permit #73.
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Wanna Be A Rock Star?
By B. Eric Rhoads, CEO & Publisher
History repeats itself because we didn’t pay attention to it the first time. Is Radio about to repeat a dangerous piece of history, or will we awaken before it’s too late?
Joined at the hip, the music industry and the Radio business have always had a fragile love/hate relationship. And now it’s about to shatter. Armed with the powerful precedent of a big win against Internet Radio, the Recording Industry Association of America (RIAA) is insisting that you Radio stations pay a performance fee on top of the heavy ASCAP/BMI/SESAC fees you’re already paying. Considering the size of current Radio audiences and the average time spent listening, if Radio were required to pay even 2.5 percent of the current RIAA rates, there wouldn’t be a Radio station in America that could do it.
You say, “Nah, they could never pull that off.” Yet many people — myself included — said that about the RIAA’s collecting royalties for airplay on the Internet, and we got spanked like a puppy. As a matter of fact, my butt is still stinging from it. The RIAA simply convinced lawmakers that they were losing money and that the only “right thing to do” was to enforce the royalties. If you don’t think this can happen to broadcast Radio, think again.
But this movie has played once already. Let me tell you how it ended. In the late 1940s, the music industry demanded a royalty for every song played on the Radio. Radio responded with the logical argument that recording companies couldn’t exist if it weren’t for all the free exposure and advertising that Radio provided for them and their music. The battle heated up as the music labels demanded performance royalties. Radio wisely chose to not play any current, licensed music. Instead they played unlicensed music. Ever wonder how America was hooked on cha-cha, rumba and Latin Club, Ricky Ricardo and Xavier Cugat music? Its popularity was driven by Radio when there was nothing else to play.
Similar demands were made in Australia in the 1960s. In response, Australian Radio chose not to play any current music for a year. Once the new music stopped selling, the issue was quickly resolved.
We’re about to endure the most vicious attack that Radio has ever seen. Armed with their recent victory requiring performance royalties for Internet broadcasts, the RIAA’s next target is Broadcast Radio. Prepare to see the powerful RIAA lobby whining to our lawmakers on Capitol Hill that “Radio has had a free ride for far too long, and they should now pay a fee on every song, every time an audience hears it.” RIAA has already begun building its case and has approached some prominent individuals for help.
Broadcast Radio sat around and allowed the Internet Radio war to be won by RIAA. And now that same war has arrived in the homeland. It’s a war that Radio cannot afford to lose. But I’m not suggesting that we play polka music.
I’m suggesting that we hire our own performers and record our own hits.
Ever wanted to own a record company? Let’s talk. ☺
To reach me, write: RADIO INK, B. Eric Phoads, CEO/Publisher, 224 Datura Street, Suite 1015, West Palm Beach, FL 33401
Phone: 561-655-8778 Fax: 561-655-6164
E-mail: firstname.lastname@example.org
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WWTN Nashville 9.5 Still Best in the Market!
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Holiday Retail Expected To Rise 4%
The National Retail Federation is forecasting 2002 holiday retail sales to increase 4.0 percent on a year-over-year basis, somewhat less than the unanticipated 5.6 percent gain experienced in 2001 and close to the 4.3 percent increase in 2000.
The NRF defines "holiday retail sales" as sales in November and December for retail stores in the GAFS category: general merchandise stores; clothing and clothing accessories stores; furniture and home furnishings stores; electronics and appliance stores; and sporting goods, hobby, book and music stores.
"Consumers this year have been cautious in their spending, but nevertheless continue to bolster retailers' performance," said NRF Chief Economist Rosalind Wells. "NRF sees the economy growing around 3.5 percent in the second half of this year, which should be a solid enough environment for reasonably good holiday sales. We anticipate that home-related merchandise and leisure goods will do well this holiday season, and that apparel demand should pick up, as many consumers have postponed this purchase."
Wells notes that a sluggish economic recovery is the main cause for consumers' cautious approach. "Employment is growing, but slowly, and incomes are being restrained by soft labor markets," said Wells. "Consumer and business confidence have wavered due to corporate governance concerns, the stock market has declined, threats of terrorism persist, and the chance of war with Iraq looms."
According to preliminary results of the first installment of the 2002 Holiday Consumer Intentions & Ac
Survey, conducted by BIGresearch, consumers plan to take a sensible approach to holiday shopping this year.
The majority of consumers surveyed — 62.6 percent — said they plan to spend the same amount on holiday shopping in 2002 as they did last year. Almost one third, or 29.5 percent, said they plan to spend less, while only 7.9 percent said they plan to spend more.
Additional data from BIGresearch's ongoing survey and measurement of consumer confidence suggest that consumers may also be starting to view the economy more favorably. "The consumer has been giving mixed signals," said Gary Drenik, president and CEO of BIGresearch. "Yet, we're also telling us that they're going to become more confident in their near-term outlooks, in buying and financing car purchases."
PDA Web Access Reaches 10M
Almost 10 million web-surfing adults in the U.S. use a personal digital assistant (PDA) or cell phone to access the Internet, according to a study conducted by comScore Networks. This analysis — of U.S. persons age 18+ who accessed the Internet from a PC in the first quarter of 2002 — found that 5 million also access the web with a PDA, while among the 67.2 million online users who own a cell phone, 5.8 million access the Internet with those devices. Taking into account duplication among users who use both, a total of 9.9 million access the web via PDA.
"Although wireless Internet usage is still in its relative infancy, these data prove there already is a significant wireless Web audience," observes Peter Daboll, division president of comScore Media Metrix. "While there are more Internet users with cell phones, a much higher proportion of PDA owners report using those devices to go online. These usage rates warrant careful monitoring by publishers and marketers as they evaluate wireless strategies."
Males comprise 72 percent of the Internet users who access the Internet via a cell phone or PDA, while women comprise 28 percent (3.4 million). This compares to the total Internet population, where 48 percent (45.3 million) are male, and 52 percent (48.3 million) are women. Persons age 18-34 represent 53 percent of online users who access the Internet via cell phone or PDA, while persons 35-54 represent 42 percent, and persons 55 and older represent four percent. This compares to the total Internet population, where 40 percent (37.6 million) are 18-34; 46 percent (42.8 million) are 35-54; and 14 percent (13.2 million) are 55 and older.
Playing the Best Music in America just got Easier.
BMI offers your radio station EMR – Electronic Music Reporting, saving you time and money
"The best thing that ever happened to radio."
— Rod, KADI
"This is a great idea!"
— Don Gosselin, WBQB-FM/WFVA-AM
"The electronic logging is great. Thank you for making logging so easy."
— Craig Thompson, KAJN-FM
"It’s impressive to be able to finally streamline! Not only do we save paper, but time and money...."
— Kandy Klutch, Z107.7/KSLZ
What is EMR?
EMR allows you to log electronically online, eliminating the need for paper logs.
What do I need to report electronically?
Radio stations must have the ability to generate an electronic playlist.
How does BMI's EMR system benefit radio stations?
BMI's EMR is available through the Internet 24 hours a day, seven days a week, creating a more efficient alternative for submitting critical playlist information.
For additional information, please contact your BMI representative at 800-258-5813, or email us at email@example.com
BMI®
Managing the Songwriter Relationship
During the Q & A session of a recent advertising seminar attended by a couple hundred broadcasters, I was asked a very disturbing question: “Which is more important, copy or frequency?”
Smiling, I answered with a question of my own, “Which is more important, inhaling or exhaling?” Everyone laughed. Outwardly, I laughed along with them, but inside I was deeply discouraged.
The question and my answer illustrate a recurring problem in broadcast Radio. In the interest of shortening the training cycle, I fear that Radio has fallen into the trap of providing oversimplified answers, shortcuts, bullets points, “the Reader’s Digest version.” As a result, Radio reps have gained the widespread reputation of routinely giving bad advice. When you offer misguided counsel to a person who knows better, it makes you look woefully uninformed or painfully dishonest — either way, a poor reputation. However, when the misguided counsel is accepted as truth and implemented by a trusting business owner, the damage is even worse — Radio fails to deliver what it promised.
And you wonder why so many business owners say, “I tried Radio and it didn’t work.”
This tendency toward oversimplification was dramatically illustrated a few years ago, when I recorded a series of audio and video training tapes used by nearly 1,000 Radio stations. The bulk of the training focused on the architecture and functions of the human brain and on the importance of good copy and how to write it, but along the way, I delivered a few valuable “rules of thumb” to be used by stations in unrated markets.
“Assuming that your Radio ad is of average impact,” I began, “the average listener will need to hear the ad at least three times within each seven nights’ sleep for there to be any real hope of it ever moving from short-term, electrical memory into long-term, chemical memory.”
Then I went one step too far by saying, “My firm is currently airing the same typical week, 52 weeks in a row, on more than 550 stations in 38 states.” I was hoping to illustrate how best to use Radio as the branding tool that it was meant to be. “And after evaluating nearly 2,200 reach-and-frequency analyses each year for more than a decade, it has come to our attention that one can usually reach about two-thirds of a station’s weekly cume audience with roughly a 3-frequency each week by scheduling 21 ads, plus or minus 2, between the hours of 6 a.m. and 7 p.m.” I offered this tip so that reps without access to Arbitron software might have some sort of ballpark guideline.
Boy, was that a mistake. I later learned that thousands of reps were quoting me as having promised “success, wealth and eternal life” to any business owner who scheduled at least 21 ads per week, 52 weeks per year. The schedule became known as the “21/52 plan,” and business owners signed up by the thousands. Nothing was ever mentioned to them about the vital importance of good copy. Twelve months later, many of these business owners contacted me to ask, “What happened? I did what you said, and it didn’t work.”
Needless to say, I’ve been more than a little hesitant to produce another Radio training series or offer any helpful “rules of thumb.”
Why do you and I never have time to do things right the first time, but we always have time to do them over? Are you tired of having to sell new advertisers to replace the ones you’re constantly losing? Are you tired of hearing, “I tried Radio and it didn’t work?” Have you fallen into the trap of answering complicated questions with quick and easy answers?
Radio doesn’t work — except for those who know how to use Radio. Do you know how? Are you a Radio consultant or a peddler of spots? Radio success is all about the power of words. Do you take language seriously, or do you take it for granted?
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Radio’s Highest Percentage Close
By Dave “Giff” Gifford
If you work in a large market and have never worked the streets of a small- or medium-size market, either you can’t relate to this subject, or you’re about to discover a new way to significantly increase your closing ratio.
First, the major difference between sales approaches, by market size, is that smaller-market sales efforts are “direct” driven and therefore pro-active, while most large-market sales efforts are “agency” driven and therefore reactive. Face it: In too many large-market Radio stations, most sales are dependent on how often the phone rings.
Fortunately, although I worked 14 years in New York City, where I continued to sell spec spot ideas to account and creative people, I learned the power of spec spot presentations early in my career in smaller markets.
FACT: Radio’s highest closing ratio presentation, especially for new business, is a spec spot presentation! Sadly, for too many reasons — including the fact that some owners are too cheap to subsidize a spec spot sales effort — the use of spec spot presentations appears to be down, even in the smallest markets.
Subsidize? Yes! Why? If you don’t have a fulltime copywriter, that tells me one of three things: 1) Your education as a manager is incomplete, 2) you have a cheap owner (copywriters cost money), or 3) both!
Now, how do you hire a copywriter?
Do not hire somebody who claims to be a copywriter. Test that claim, and the more copywriters you test, the better. Patience!
In two hours’ time, having been provided the raw data, applicants are to write as many spots as possible to demonstrate their capability of handling three different copywriting challenges: 1) ability to handle “vivid description,” 2) ability to sell a sale event and 3) ability to “brand” a company, store, service or product. The winner is the most versatile copywriter who can prolifically grind out one great spot after another!
Next, you must decide — depending on your circumstances — how you want to use that winner, and again you have three choices: 1) The person writes all copy, 2) the winner shares the copywriting, including spec spot copy, with the salespeople, or 3) the winner writes spec spot copy to sell new accounts only!
Compensation? Pay them a relatively low base salary, and bonus them — based on the economies of scale by market size — at the rate of X-bucks for every spec spot that generates a new account, making it clear that there is financial reward for grinding out spec spots. Ah, but there is more…
Most announcers don’t like doing regular commercial production, let alone voicing spec spots. Solution? Commission them! Every time their voice appears on a spec spot that leads to a sale, again based on economies of scale, they get X-bucks. Do so, and I guarantee you your spec spot sales will increase.
TIP #1: Just as it takes a minimum repetition of three commercials (the same commercial) to register with a listener, make sure spec spots play three times in a row in order for the advertiser to get the message.
TIP #2: Because, statistically, buyers of anything are likely to choose quicker and more decisively from a choice of three options (rather than from a choice of one, two, or four or more options), you might be wise to go with three different spec spots.
TIP #3: Please do not close with the following questions: “Well, what do you think?” or “How does that sound to you?” Instead, assume the sale: 1) “Now look, Giff, this campaign has to work, period, or it doesn’t do either of us any good. So, before we go into final production, is there anything in that ad you want changed?” 2) “No, is that the message you want to get across, or do you have something else in mind? or 3) following Tip # 2, “Now, which one makes the most sense to you
TIP #4: Post spec-spot-generated success stories all over the production room — on the door, on the walls, everywhere!
TIP #5: To close somebody who refuses to see you, hire a courier to deliver a pre-cued spec spot on a portable tape recorder, along with a note reading, “Please press the “play” button. Will pick up your tape recorder tomorrow morning when the spec spot is on the mor
TIP #6: To close a dealer, hire a sexy woman to deliver the spec spot for you. Your closing ratio sure will rise!
LESSON: How obvious?
Dave Gifford, President of Dave Gifford International and founder of Graduate School For Management. He may be reached at 505-989-7007 or by e-mail at firstname.lastname@example.org.
NewRadio Group Buys 22 Stations In Midwest
Mary Quass, former president of the Central Star division of AMFM, has re-entered the Radio business, this time as chief executive officer of NewRadio Group LLC. The first acquisition of NRG (an acronym that Quass says is indicative of the new company’s “energy”) includes seven Illinois stations, 15 Wisconsin stations, and the Goetz Networks from Marathon Media — all for $19 million. NRG began working with the stations under a consulting agreement September 30; the sale will be contingent on approval by the Federal Communications Commission.
Quass is joined in this new venture by Tami Gillmore, chief financial officer, and Lindsay Wood Davis, chief operating officer. “If you look at our model, we may seem a bit top-heavy, but the three of us all worked together at Central Star, and we all know each other’s strengths,” Quass told Radio Ink. “Lindsay is a great sales trainer, and he’s really juiced about getting into the stations and trying to bring them the things they didn’t have before. Tami started as a business manager, and she can bring a level of financial sophistication that works from the banking end while relating to the business managers at a Radio station.”
While most of the stations involved in NRG’s initial acquisition are in decidedly small markets, Quass maintains that each facility has its own inherent strengths. “We looked for markets that could stand on their own, and some of these markets have done a pretty decent job at carving a nice niche in their local community,” she says. “Also, if we’re fortunate enough to put together clusters of stations that can share some things by and amongst themselves, we can add a layer to that cluster, such as a regional sales concept that can be expanded to yet another level.” Quass also says that the Goetz Network, which includes farm programming, agricultural reports and other localized news features, can be expanded into other areas.
As with other start-ups that seek to take advantage of the next round of consolidation, NewRadio Group has set some lofty heights. “This isn’t about operating 22 stations,” Quass observes. “It’s about doing 100 stations, maybe more. It’s about being able to do enough scale that it makes some sense and to do it in markets that people aren’t looking at right now.”
To that end, Quass says that NewRadio Group will be in acquisition mode for the next two or three years. “We’re looking to see what makes sense in what we can add to what we currently have,” she says. “Instead of trying to do tonnage, I’m trying to identify the good opportunities. I’ll be looking to see whether we can add value to our existing facilities and whether a station fits with the rest of our properties.”
Why get back into Radio now, when the industry arguably is in the seventh-inning stretch of consolidation? “I’m thinking there might be some fun left in this business,” says Quass, who spent the last few years exploring new technologies and Internet ventures. “I also see an opportunity to improve it by overlaying some of the technological things we learned over the last few years to do really great local Radio that has the technical edge of the 21st century.”
NRG executive offices are located in Cedar Rapids, IA. Phone: 319-862-0300.
Note: Peter S. Handy of Star Media Group represented the seller, Marathon Media, for the transaction.
JIMMY STEAL
Photos by RICH HOGAN, Los Angeles
Steal This!
A Discussion With No. 1 Programmer Jimmy Steal
Jimmy Steal literally is a programmer’s programmer. In *Radio Ink*’s annual compilation of the “Best Program Directors in America,” a panel of top PDs identified him as the best in the business this year. As regional vice president, overseeing KPWR, KZLA, and KKFR for Emmis Communications in Los Angeles, Steal recently took the company’s Rhythmic weR-formatted Power 106 to No. 1 for listeners 12-18 of debt. He first time in more than six years. Adding that is to the latest Arbitron book (Spring 2002), — Stephen R — ranked No. 1 in Adults 18-34 and No. 1 “I’m anticipatir the station also took home two Marconi ready been pric ls from this year’s NAB Radio Show — I see the mark, especially of the Year” and, for Big Boy, “Large Market Flexibility of the Year.”
In the summer of 1999, Steal came to L.A. from Dallas, where as Clear Channel’s director of programming and operations, he had taken KEGL to its highest ratings in more than five years, and he brought KDMX its highest ratings in its 25-year history, with a 5.0 share 12-plus and No. 3 in adults 25-54. Prior to that, as PD at WKRQ in Cincinnati, he grew the station to a 7.8 share 12-plus, the highest ratings it’s had since the mid-1990s. His first programming gig was at WXXL Orlando, where he programmed the station to an all-time-high 12-plus share — No. 1 with a 12.0 share — which subsequently got him fired (more on that later).
Unquestionably a top-gun programmer with a résumé full of successes to prove it, Steal is the first to concede that much of his current good fortune is due to the talents and passions of the people around him. Humble almost to a fault, Steal credits everyone from Emmis Senior VP/Market Manager Val Maki and Emmis Radio President Rick Cummings to his programming staff to the sales department to the air personalities to the board ops for creating a consistent, solid product day in and day out.
Congratulations, Jimmy Steal, on being the best in the biz! when I came aboard, thanks to [Senior VP/Market Manager] Val Maki and [Emmis Radio President] Rick Cummings. If you’re asking what makes Power 106 successful today, I’m blessed with a crew that is so passionate and emotional when it comes to our music and our culture.
All I have been is the spark plug in the engine. I’ve been able to do that by implementing our strategic plan, conducting research where it’s needed, and focusing on things that are directly attributable to success in Arbitron and, in turn, revenue. I’m just the person who disciplines and focuses the tremendous amount of passion that was already here.
If anything, I’ve just tightened the mission statement of what the most successful Power 106 incarnation is supposed to look like, held it up in front of the crew, and said, “Let’s rock.”
How has your perception of Radio programming changed from the way it was when you landed your first gig?
My first gig was at WXXL in Orlando. We changed it from an Adult Contemporary to a Rhythmic CHR. That was my first air shift as well as my first programming experience as an assistant program director and music director. I was a lot more naïve then, and a lot of »
the things we felt in our gut back then — a lot of the passion and emotion we had — wasn’t quite as well-balanced with strategic planning and research as it could have been.
**What were your aspirations back then, and how have they evolved?**
My aspirations were to stay on the air and make a lot of noise and be a great on-air personality. To this day, I have regrets about coming off the air, just because I had such a great time and was blessed with some pretty good ratings.
But I had that opportunity to program full tilt, and I took it. Who knows? If I were on the air today, I might be doing a different interview in a different magazine, and I might be saying, “You know, it just burns me that I never got off the air and devoted myself full time to programming.”
Do you think we all tend to look back on the early days as the most fun days in our careers?
There’s a lot of truth to that. At that point in your career, you don’t know what you don’t know. I’ve progressed to the point where I know exactly what I don’t know. In some ways, it does make you gulp to realize that a tenth of a ratings point means about $8 million. You just can’t think the same way you did the first day you got into Radio. But if you can take that enthusiasm and passion and emotion, and temper it with good strategic skills that hopefully you pick up along the way, you have the best of both worlds. I’ve always thought of myself as a disc jockey without the air shift, as opposed to the guy behind the curtain.
Has consolidation constricted or expanded programming opportunities in Radio?
Consolidation has brought some good and some bad to our business. Now that some of us have to wear more hats, many companies compensate in a better fashion than in pre-consolidation. But we’ve taken away the “farm team” system that was a primary source for getting to the “big leagues.” That being said, some of the most dynamic hires here at Power 106, people who have enjoyed some tremendous success, have not been traditional disc jockeys.
**What do listeners expect from Power 106?**
They expect an accurate reflection of their interests, their likes, their dislikes and their communities — as well as the musical portion of the program — and we do that really well. We probably have an unfair advantage just because so many people on the staff at Power 106 are directly involved in the hip-hop community. Great Radio stations do an excellent job of reflecting their culture and their audience, and Power 106 is blessed with having a hand in creating the culture and music of our audience. We have several staff members who mix and produce records for the likes of Mariah Carey, Bone Thugs-N-Harmony, Korn, Sugar Ray, and Limp Bizkit. Power 106 really is a part of what it’s reflecting, and that is extremely difficult to duplicate. That’s our Universal Selling Point: Power 106 is hip-hop. We don’t just play hip-hop; we are hip-hop.
**How critical is it for a Radio station to speak the language of the audience, rather than simply to play the right music?**
In our format, even more than in many others, it’s extremely important, because we have a young target. I have to credit Dianna Obermeyer for doing an amazing job of keeping our marketing strategically on point. We have a 30-member street team called the Flava Unit, and they’ll do 30 appearances on a weekend. We do an awesome job of being everywhere we possibly can, every day we possibly can. We also have the Knowledge Is Power Foundation, something Rick Cummings set up many years ago. Through fundraising and concerts, every month we give away $5,000 to a school that has an immediate and deserving need. We not only entertain you, we also live here. We’re your neighbors.
**How do you divide your time between the different aspects of your job?**
Luckily, when I arrived here, I already had attention deficit disorder, but I can honestly say it’s now only gotten worse. As much as I love getting home to my wife and children at the end of the day, it really is a hard Radio station to leave when the day is done. The pace of the station every day is very much addicting. I probably wouldn’t win an award for crossing off all the things on my to-do list every day; but Power 106 — and people who have visited or worked at this station will tell you — has a rhythm to it. The majority of my days, I do get done all the things that need to get done, but nowhere near within the time frame or the order in which they were laid out. I could be in a
music meeting on a "two-way" with Tracy Cloherty from our New York station, and she could be sending me something via ISDN. I run down the hall to hear it and say it has to go right on the air, and then I'll get pulled into Val's office for a meeting. If you wanted an actual percentage breakout, I'd say I do 100 different things every day and probably spend 1 percent of my time on all of them. It's not the ideal way of doing things, but it seems to work at Power 106.
At the other end of the spectrum, I'm not great at sitting in meetings. Power really moves at such a rapid pace that if I'm sitting somewhere for more than 30 minutes I know I'm missing something. And they're usually top-tier, important things.
How important is it for the programming department and the sales department to work toward a common cause?
I was taught, very early on, that ratings have one goal, and that is to generate revenue. After taking a Radio station in Orlando from 12th in the ratings to first, the entire programming department — myself included — was fired, because we had a sales staff that couldn't turn it into revenue. I came on board at Power 106 in June 1999, and they billed $27 million for the year. This year, we'll do $47 million. Our crew understands that ratings are a conduit to revenue, because ratings without revenue don't keep any of us employed. Jeff Federman, who heads our sales efforts, is the reason for that. You don't put up numbers like that without being a great manager and having a great team, and he is awesome.
Is it tough to find new talent that can create strong Radio entertainment?
Unfortunately, I find it pretty difficult, and it's not from the lack of tapes, phone calls or personal pitches in the lobby. Maybe this generation was raised on liner-card jocks, or maybe they don't have the same emotional bond with Radio had by past generations. Maybe it's a generation that doesn't understand that this is an entertainment business, not a business of disc jockeys. We look for people who can entertain and, honestly, most things that people learn in Disc Jockey 101 are the exact things I don't look for. When I was in Dallas and turned Mix 102.9 around — we got it up to a five-share, third in 25-54, which it had never been — I hired a team named Kramer and Twitch, who unfortunately have been fired a few times since then, but they make noise. I needed to bring attention to my Radio station and, while strategically they probably weren't 110 percent on point, when you turned the Radio on, you actually heard these guys — and you'd listen to them, which unfortunately you can't say about a lot of people these days.
Is it sometimes necessary to look outside the rank-and-file of Radio personalities to find good, solid talent?
Yes. If up-and-coming jocks are reading this, hopefully this will really piss them off and get them focused and fired up. But unfortunately, that's dead on. You look for these people wherever you go: in a mall, in a bar, at a baseball game — you look for them wherever you live your life.
What guidance would you give to an air personality or morning team that loves to push the envelope in matters of so-called "good taste"?
I would tell them that they have to know their audience, which will let you know what is acceptable and what is not. That varies from station to station and format to format. People without the talent, with just the salty language or loud mouth, hurt the whole industry. But genuinely talented people are what I like to characterize as foreground jocks — Howard Stern, Kramer, Mancow — these are very talented people. Also, some people don't...
appreciate that there is an art form in the delivery of that product on a daily basis. Having been a jock for a while, I very much am a defender of that. At the same time, I can’t sit here and defend people who don’t know their audience and don’t know the basics, and use that as a crutch or a scapegoat in lieu of content.
**Are you concerned that other media are beginning to draw some folks — especially younger people — away from Radio?**
Younger listeners are not being raised on Radio, so it absolutely is a concern. As America further fragments in ethnicity and other ways, it will diversify tastes in formatrics, in music, in talk delivery — so it absolutely is something to be concerned about. It is the responsibility of those of us at the helm of Radio stations to find the best people, to help the medium flourish, and to do our best. From the promotions we create to the tactics we employ, we must make Radio as exciting and fresh as it needs to be today. That truly is our responsibility.
**What advice would you give to young programmers who might aspire to your job some day?**
The best advice I can give someone coming up through the ranks is this: You are the CEO of your own company, and your company is your name and your career. You have to manage it like you would manage other people if you were managing a staff. Figure out what you want to achieve. You have to think in terms of your one-year plan and your two-year plan; take little tiny steps to ensure the big steps later.
I remember being in situations where I was about to be fired and I knew I had to reach out to people I had met in the past. It’s a chess game — you don’t get the king in two moves. Just make sure you’re always moving forward to the other side so you can get your queen back.
**Can you see yourself making the jump from programming to station management?**
I’ve gotten some on-the-job training with that right now, because Rick Cummings, who was vice president of programming, is now the president of Emmis Radio. I’m watching him learn the sales side in greater detail, as well as the Wall Street side; and all that stuff fascinates me. I certainly can stand to learn a heck of a lot more, but is that something in my future? I don’t know.
**Are you having too much fun right now?**
I really am. I’m doing something I’ve always wanted to do, and I have a tremendous crew. If that opportunity presents itself, however, and the timing is right, I guess I would be all ears. If someone had told me four years ago that I’d be the PD of a hip-hop station in L.A., I would have told them they were crazy. You just never know.
**How is the Emmis culture different from that at other Radio groups?**
[Chairman/CEO] **Jeff Smulyan** has a human touch. He probably has a higher degree of empathy for people than anyone I’ve ever worked with. That characteristic is so appreciated by everyone who works for him that it makes us all want to do even more — if that’s possible — to drive the enterprise forward. I’ve told myself that, if I ever reach his level of success, I hope to conduct myself in a similar fashion. He does it because he’s just a great person; he really cares about the people who work for his company. And it all goes back to a major management tenet: If you show respect for your people, they give it back. You’d be hard-pressed to find anyone inside Emmis who feels any other way about Jeff.
**Do you think some of that focus on people has been lost due to consolidation or other market forces?**
Radio is still in a great transition phase. I may have ADD, but I am not change-averse. I love change. Life is short and it’s challenging. I am concerned, though, that some companies don’t fully understand the value of their people. Without the right people, no matter how much you pay for a station, all you’re really getting is a stick and a studio. I just hope that the owners of these billion-dollar companies really get their arms around the fact that, without the right people who literally breathe life into their brands, their return on investment will certainly be in question. Radio is now, always has been, and always will be about people.
**Let’s change direction for a moment. Are you ready to go digital with iBOC?**
Digital is good. I’m very much looking forward to it. It could be a boon to the entire industry. As other people come at us and sell their digital products to compete against us, our being shored-up digitally is great.
**What’s your thinking on the Portable People Meter?**
I’m very intrigued by it. I don’t share the skepticism that some people have been expressing. I’m very excited about it. It could take ratings measurement to the next step in accuracy.
**What do you make of all the attention given to independent record promotion?**
I’m ambivalent. My opinion is that the record labels’ biggest problem is A&R (artist and repertoire), not the very small percentage of the promotion budgets that they’re doling out to outside record promoters. If they fix the A&R problem, that problem won’t matter. I don’t think it’s a big issue, but every so often, politicians need to be re-elected.
**Is voicetracking a useful tool, or is it out to destroy Radio?**
When done right, voicetracking can be an effective tool. One of the most entertaining things I’ve heard said about it was by Rick Cummings, my boss. He said, “After meeting some of the people in this business, some of the managers should be voicetracked.”
**Are spot loads too high?**
I hate big spot loads. I like the revenue they generate, but at the same time, I really want to make sure our entertainment quotient is as high as it can possibly be for our audience.
**How often do you think about the new media — satellite, Internet, wireless, MP3s — that are competing with Radio?**
I’m constantly concerned, but I’m not upset by it. I try to focus on the things over which I have control. If I can make my Radio station and my personalities as compelling as they can possibly be, I’m in control. The world obviously is changing, and it changes the way we do business every day.
**How do you envision the Radio industry in 10 years?**
If there’s one constant between now and that future date, I hope it’s that we have as many people — maybe more — in the driver position in this business. We need people who are passionate about Radio. If we have people who are preoccupied with success and its symbols — as opposed to creating great product and painting great pictures for the audience — we’ll be in a dangerous place.
**Will the role of programmer be the same, or will evolutionary forces change what you do?**
Because programmers are the drivers of Radio stations that communicate to America, it’s an important position inasmuch as Radio is a great conduit. PDs aren’t necessarily great, but they do have a great and important responsibility. We should understand our responsibility and do everything in our power to groom our staffs to be outstanding communicators and entertainers. That comes from creating a nourishing environment. The most effective leaders — and I look at PDs as leaders — not only are fulfilled by doing great Radio, but they are fulfilled by their personal lives, as well.
What leisure activities do you enjoy: Spending quality time with my wife, Juli, and two children, Ally and Dylan.
What books do you recommend? The best book I ever read on business is *Real Power: Business Lessons From The Tao Te Ching* by Autry & Mitchell.
What books are on your nightstand? *New Brand World* by Scott Bedbury — It’s not the same old overused clichés. Also, *Blues Clues For Success* by Diane Tracy. My 2-year-old son is a big fan of the show. They have done great R&D and incredible marketing for the show. *Blues Clues* has sold more than $3 billion in merchandise since 1998 — you think Radio might be able to learn a lesson or two here?
Who are your mentors or role models? I’d like to think everyone that’s ever made me laugh and learn, either personally or through films and books — that would be a long list!
If you had 30 minutes to talk to one person, who would that be? Right now, President Bush. I think someone needs to make him truly understand how many Americans feel in regards to the many important issues our country currently faces.
Whose phone calls do you always return? Rick Cummings’, my mom’s and jury duty — not necessarily in that order.
If you could go back in time, where/when would you go? Although witnessing the signing of the Declaration of Independence or the Beatles at Shea Stadium would be nice, I think I’d just go back a few years to when my dad was still alive. He’d be relieved to know I turned out okay.
To whom did you listen on the Radio when you were growing up? The best CHR jock ever, Dan Ingram on WABC-New York.
What did you want to be when you grew up? A disc jockey. I wanted to have fun, communicate to a group of people, and hopefully make a difference.
What is your favorite Radio format? CHR and Alternative, because the passion levels are the highest, and I’m a pop culture junkie.
What’s your Number One guilty pleasure website? www.onion.com Hilarious!
What has been your most unattainable goal? So far it’s still financial independence. I have kids, two college educations and a wedding to pay for!
Of what achievement are you most proud? My wife, my children, my friends, and doing something I love for a living. Of course, there’s also being Number One in L.A., getting the Marconi Awards and getting to work with Big Boy.
Class of 2002: Best PDs in America
*Radio Ink* once again presents the 40 Best Program Directors in America — those men and women whose hard work, commitment, and dedication to Radio programming has earned the recognition and respect of their peers throughout the industry.
This annual list is anything but a popularity contest, of course. We look at a number of criteria in order to arrive at our selections. We examine the ratings, including 12-plus average-quarter-hour and cume numbers, as well as market rankings in specific demo groups. We poll a number of Radio group executives, general managers, consultants and other program directors to arrive at a list of finalists.
Next, we submit that list to a Radio programming panel, and members make their individual selections in each of the four market categories. Those “votes” are tallied, with the results once again cross-checked against AQH and cume audience numbers before the results are finalized.
Because most attention and notoriety naturally goes to PDs in the major markets, we’ve broken our list into four lists of 10 individuals each in major, large, medium, and small markets. We recognize not only those programmers who’ve already made a name for themselves, working their way up through Radio’s ranks, but also those who are the industry’s future stars.
And now...the Class of 2002 “Best PDs In America.” Congratulations to one and all!
**Major Markets (1-10)**
1. **Jimmy Steal**
*PD, KPWR Los Angeles (Emmis)*
Steal says he is shocked and surprised to be selected for the top slot in this year’s “Best PD in America” list. Humble to a fault, he maintains that his success at Power 106 has been driven by the group of people who were put in place before he arrived at the station three years ago.
“I always put my people first, because our success comes from them,” he says. “I do my best every day to drive Power 106’s ratings and revenue goals even higher. It’s done by focusing, motivating, and directing my team’s efforts, emotions, and skillsets to where they will do the most good for the company and themselves.
“I try to make our environment seem more like a hangout than a multimillion-dollar enterprise — the funny thing is, the more fun you have, the more successful you become! Having fun is a must for me, because life is short.
“Creating and maintaining a talent-friendly workplace is the most important thing any program director can do.”
2. **Jack Swanson**
*Operations Director, KGO/KSFO San Francisco (ABC)*
KGO Newstalk 810 has been on a ratings winning streak for more than 24 years, while KSFO Hot Talk 560 burst into the media spotlight seven years ago with a move to conservative talk programming. The creative force behind both stations is Jack Swanson, operations director for both ABC-owned Radio stations. “The modern world demands we be multi-tasking on multiple platforms, in multiple dimensions, maximizing the potential of synergy and consolidation,” Swanson says. “But a lot of that is bunk. Sure, we’re more sensitive to the bottom line and spend more hours behind the computer and are working harder. But at the end of the day, a great PD still has to be able to understand how to create an entertaining program, identify talented people who fit...”
A Company Is Known By The People It Keeps.
We are honored to work beside the finest programmers, talent and staff that bring their broadcasting excellence to Clear Channel Radio.
We are proud of the programmers that have been recognized by Radio Ink as industry leaders.
Judy Eaton
WTCR – Huntington-Ashland, WV-KY
Clay Hunnicutt
WUSY – Chattanooga, TN
Diana Laird
KHTS – San Diego
Scott Lindy
WPOC – Baltimore
Darryl Parks
WLW/WKRC/WCKY/WSAI – Cincinnati
Tom Poleman
WHTZ – New York
Jim Ryan
WITW – New York
Elroy Smith
WGCI – Chicago
Jimmy Steele
WNCI – Columbus
Gregg Swedberg
KEEY – Minneapolis
Mike Thomas
WFBO – Indianapolis
the station’s ‘soul,’ and motivate those talented people to achieve their maximum performance.”
**Kevin Weatherly**
PD, KROQ; VP/Prog., Infinity Los Angeles
Unquestionably one of the top programmers in the U.S., Weatherly has built a reputation for understanding his listeners — and then connecting with them. “The key to winning is to have a vision for your station, a sound in your head, and the fortitude to make it a reality,” he says. Weatherly ought to know about winning — he and KROQ have received numerous industry awards and accolades.
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**Joe McCoy**
VP/PD, WCBS-FM
New York (CBS)
Known as the “Oldies Guru,” McCoy has made WCBS-FM the foremost Oldies station in America, bringing it to the #1 spot in the ratings five times. “Programmers should love what they do,” he says. “A program director wears many hats today and probably should have an honorary degree in psychology. Getting your staff to perform and understand your ideas is certainly your most important function. Not being afraid to go with your ‘gut’ and doing things other stations are afraid to do makes you different…and we all should try to seize the moment. If something important is going on, make it part of your Radio station.”
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**Tracy Cloherty**
VP/Programming, Emmis
New York (3 stations, including WOHT)
“Radio has changed a great deal since I first started some 14 years ago and, in my opinion, for the worse,” says Cloherty. “It’s more of a Wall Street game today — much harder to be creative and take chances. We still manage to have fun though — otherwise, what would be the point?” Cloherty says that all successful programmers must have a passion for Radio, first and foremost. “You also need to be a manager, a therapist, a salesperson, a marketing person and just a little bit crazy!” she adds.
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**Mary June Rose**
PD, WGN Chicago
(Tribune Co.)
“WGN has been owned by the Tribune Company since 1924, and we value the trust our listeners place in us,” says Rose. “You can’t buy trust, and once damaged, it’s gone. If we keep that in mind with all the decisions we make, it becomes a great guide, especially in today’s environment. However, the more that values and styles change, the easier it is to let things slide. It’s so easy to take our image for granted, so we have to constantly remain aware of our listeners’ expectations. For example, we make sure our information is consistently good, or we correct it. We maintain strong communication links with our listeners, and we have people to answer questions via phone and e-mail. It’s all part of our effort to...”
provide our listeners and advertisers what they’ve come to expect from WGN.”
**Tom Poleman,**
PD, WHTZ; Sr. VP/Prog.,
Clear Channel New York
In the nearly seven years that Tom Poleman has served as Z100’s program director, he has shifted the station’s format back to its Top 40 roots, doubled the ratings and made the Clear Channel station arguably the most-listened-to station in the U.S. While at Z100, Poleman has been honored as Major Market Mainstream Top 40 Program Director of the Year by virtually every magazine and organization that bestows such awards. He has been honored by the American Cinema Awards Foundation as the recipient of the Gloria Swanson Humanitarian Award for his charitable endeavors in the industry, and he also was the 1999 T.J. Martell Foundation Music Industry Roast honoree.
**Mark Mason**
PD, WINS New York (Infinity)
“The very premise of the 1010 WINS formula and success is local news, gathered and produced by our own local journalists,” Mason observes. “As a medium, Radio is on the hairy edge of losing the very special bond that Radio has always had with our listeners, and we need to be careful not to go too far over the line. Competitive and economic pressures have precipitated some boneheaded moves. It’s high time to get back to our roots and treat our listeners with respect and as valuable individual constituents with lots of choices, rather than thinking they’ll take anything we throw at them.”
**Jim Ryan**
PD, WLTW New York (Clear Channel)
Ryan joined WLTW as program director in the summer of 1996 and, in short order, took the additional responsibilities of operations director.
Under his guidance, the station has had an incredible run of 23 consecutive Number One 25-54 Female books, as well as coming in Number One in Adults 25-54 in 20 of the last 23 books — including the last 12 in a row. Ryan also works with some of the leading stations in America as a Clear Channel AC brand manager.
**Elroy Smith**
PD/OM, WGCI-FM, WVAZ-FM Chicago (Clear Channel)
As one of the top program directors at one of the nation’s powerhouse Urban outlets, Smith encourages other PDs not to forget the human side of the business. “Allow your people to make mistakes,” he says. “Someone allowed you to do the sane, didn’t they?” Smith also suggests that programmers take a moment to make prayer a part of their morning routine. “Be humble in the position that God has given you, and pray every day to do what is right in God’s eyes. He will bless you tremendously.”
Darryl Parks
PD, WLW; OM, WLW
WKRC, WCKY, WSAI
Cincinnati (Clear Channel)
"My career highlights are all happening now," says Parks, whose personal list of kudos reads like a Who's Who of WLW. "It's a thrill to be in a room with the likes of our three Marconi winners — Jim Scott, Gary Burbank and Bill Cunningham — and to be able to work with arguably the best Talk host in America, Mike McConnell. Jeff Henderson, our news director and his staff are honored every year for outstanding news coverage, and we couldn't get by without Rich Walburg, Holly Nesser, Dave Armbruster and Scott Stanley. These guys are simply the best."
Leslie Fram
Dir. of Prog., WNNX-FM,
WWWQ Atlanta
(Susquehanna)
A graduate of the University of South Alabama, Fram worked almost every shift at WABB in Mobile. She became the station's music director is 1981 and PD from 1983-90.
For the last 12 years, she has been with Susquehanna in Atlanta, beginning in 1990 as assistant PD and co-host of The Breakfast Club on Power 99.
She became 99X's program director in 1997 and last year became the company's director of programming, overseeing 99X and Susquehanna's new Top 40 outlet, Q100.
She is the first female recipient of the T.J. Martell Award two years ago.
The Michael Savage Show
WABC’s Ratings Explosion! Find out why...
Ranked the 4th Largest Show in National Syndication*
*According to Talkers Magazine
Talk Radio Network
www.talkradionetwork.com
888-383-3733
With Swedberg at the helm, K102 has been a consistent leader in Adults 25-54 in the Minneapolis/St. Paul market, and topped the competition in the coveted Women 25-54 demo group for all of last year. Why the continued success? "K102 continues to provide leadership in Country music as an airplay leader, providing more exposure to more new records than any other in America," says Swedberg, who also credits the wide range of listener and community-outreach programs each year.
"Diana Laird
PD, KHTS San Diego
(Clear Channel)
"Consolidation has been a great opportunity for my career because it's given me the chance to work with more than one Radio station and more than one format," says Laird, who insists she got into Radio so she could wear shorts to work. "My number-one focus will always be the overall sound of my product. Being a program director today also requires the ability to see the big picture, and you have to remember that this is a business."
"Tom Langmyer
Opr. Dir., KMOX St. Louis
(Infinity)
"A programming leader must be an interested learner, experience all that life has to offer and have vision," says KMOX's Langmyer. "The ability to weave between ideas and [to have] attention to detail is essential. Integrity, values and a drive for excellence are all required. You must work tirelessly every day to keep things focused at work and play tirelessly to keep your mind in motion. Read, travel, write, understand cultures, listen, talk to people, have hobbies, play sports and, above all, keep your family first."
"Scott Lindy
PD, WPOC, WCAD, WOCT
Baltimore (Clear Channel)
"WPOC is not just a Country station — we are an entertainment Radio outlet specializing in Country music." The word from Scott Lindy is that programmers who think creatively perform their jobs better. "We live and die by the entertainment we deliver minute to minute," he says. "It's not just the music — in fact, it's everything but the music. If we get the playlist right, and the rotations are in order, we've still got a long way to go. Being bigger than the music is hard, but that's how you win."
"Tracy Johnson
GM/PD, KFMB-AM/FM
Star 100.7 San Diego
(Midwest TV Inc.)
Johnson has been recognized as one of America's leading programmers by all major trade publications, including Billboard, Gavin, R&R, Network 40 — and, of course, Radio Ink. He says his programming accomplishments have been achieved by "recruiting, developing, showcasing and establishing a 'partnership' for success with top air talent." Johnson's skills in recognizing and managing talent has been the most important ingredient in his impressive track record.
"Jeff Garrison
PD, KMLE Phoenix
(Infinity)
"As a programmer in today's consolidated Radio industry, it's still critical to keep the focus on the listener," says Garrison. "Consolidation has changed the way we do business. What has not changed are expectations."
Becky Brenner
PD, KMPS/PM Seattle (Infinity)
"Radio is all consuming," observes Brenner. "It is 24 hours a day, seven days a week. You can find a balance between work and your personal life, but you can't ever really get away from it.
"Fortunately, I still love coming to work every day and can still truly say, 'I don't know what I would do if I had to get a real job.'
"You certainly have to love people, because we are all about serving the people. I serve the listeners, the advertisers, the artists and my staff. If you live to serve, you will love to serve as the program director. Corny, huh?"
Tony Brown,
PD, WVEE-FM Atlanta (Infinity)
A native of Chicago, Brown is a graduate of Northern Illinois University and holds a J.D. degree from the John Marshall Law School in Atlanta.
Throughout his career, he has won numerous Radio awards, including Billboard magazine's Program Director of the Year, Billboard magazine's Station of the Year, and Lee Bailey's "Who's Who" in Urban Contemporary Radio.
Additionally, Brown is responsible for V-103's receiving a Marconi Radio Award for Urban Station of the Year. »28
Roy Williams, The Wizard of Ads, has become one of Radio Ink's most popular columnists. He tells the truth that Radio needs to hear. If you follow his plans, your station will write more business.
We've had so many requests for copies of back issues with Roy's articles that we are publishing a compilation of Roy's best work from Radio Ink — 130 pages of pure Roy Williams — a must for every person in Radio. You'll not find these in any of Roy's other best-selling books.
We're offering the book at a pre-release price of $59 (plus $3.85 S&H) TO THE FIRST 500 PEOPLE WHO ORDER BEFORE JANUARY 1. After that date, the price goes up to $99. Order now and you'll be the first to receive this new book, The Wizard of Ads: The Best of Roy Williams. Order now & save $40!
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World Radio History
THIS OFFER EXPIRES JANUARY 1, 2003
Mike Hammond
PD, WIVK Knoxville (Citadel)
"Now more than ever, a program director needs to be a business person," Hammond says. "With the demands of Wall Street and investors, a program director must understand the goals of the company and be willing to work with others to meet those goals. The program director must be a master of time management, motivation and psychology. Fostering an atmosphere of creativity in the midst of economic pressures and meeting the competitive demands of the industry in the year 2002 require more from a program director than ever before."
Jimmy Steele
PD, WNCI-FM Columbus (Clear Channel)
No photo or bio provided.
John Reynolds
PD/OM, WNKS/WSSS Charlotte (Infinity)
No photo or bio provided.
Bill White
PD, WBT Charlotte (Jefferson-Pilot)
White says his true passion literally is News/Talk Radio. He moved into that format in the 1990s and admits it is "Radio in its purest form, where I have been fortunate enough to cover news in one of the most exciting..."
times in our history and talk about it through some of the most talented hosts in our business."
Prior to joining WBT, White was program director at KMBZ/KCMO in Kansas City. He also was director of news and programming at KDKA Pittsburgh and PD at WTVN Columbus, OH.
**Dave Kelly**
OM/PD, Citadel Nashville (includes WKDF)
Kelly landed his first Radio gig in 1982 at WHYD in Columbus, GA, when he was 14. He subsequently moved to WCGQ to do overnights.
In 1992, the station's owner was awarded a new signal in the market and Kelly was brought in to help launch Kissin' 93 as PD/MD and morning talent. He moved to Nashville in '95 and briefly worked for Radio & Records before accepting the programming position at WKDF.
Earlier this year, he was elevated to operations manager and program director for Citadel Nashville.
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**Mike Thomas**
PD, WFBQ-FM Indianapolis (Clear Channel)
Thomas comes from a Radio family, through and through. "My mom, dad, brother and sister are all in the business. I've been working in Radio since I was 13 years old," he says. Thomas explained that his career began by working for his father, Gary Voss, in Wisconsin Dells, WI, at WNNO-AM in 1982. Thomas has worked at several Midwest stations, which have included WIRX (Rock), WYTZ/WZTY (Country) in St. Joseph-Benton Harbor, MI; WYMG (Classic Rock) in Springfield, IL; WTUE (Rock) and WXEG (Alternative) in Dayton, OH. He has been PD at WFBQ since August 2000. His programming skills have helped build a solid Classic Rock powerhouse with a 9.4 share 12-plus in the Spring 2002 book.
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The Clock Is Ticking
No, it’s not biological, but it’s your last chance to nominate some great people for a RADIO WAYNE AWARD.
Nominations are open for GM of the Year, PD of the Year, Market Manager of the Year, Director of Sales of the Year, Streetfighter (AE) of the Year, NTR Director of the Year, and Broadcaster of the Year.
Go To www.radioink.com BEFORE NOV. 4.
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Citadel Communications Congratulates
Mike Hammond — Citadel Knoxville
Dave Kelly — Citadel Nashville
Two of the very best Program Directors in America
And just two of the many great programmers of Citadel Communications!
Citadel Communications Corporation
A great PD must be a great teacher and lead by example," says Gonzalez. "You must be able to motivate and inspire your air staff to excel beyond their own expectations. Also, a great PD must be able to impact sales, engineering, traffic, and all departments positively. If you can make their jobs easier, you have done your job. A team that is motivated to win is the difference between a 'good' station and a 'great' station."
John Paul is one of those life-long Radio fiends — he was bitten by the broadcasting bug as a kid and has worked in Radio since 1988. He began his career at KLOG/KUKN in Longview-Kelso, WA, at age 13 and worked there while attending high school. He was named assistant PD in his senior year.
He moved on to KUPL in Portland and then headed east, landing his first PD gig at WKKG in Columbus-Bloomington when he was 21. He was hired as PD at WBUF Buffalo in 1999 and added PD duties at WYRK early in 2000.
"My primary focus is still the continued development of the product to produce better ratings," says Quick, who joined Emmis in 1995.
"However, more than ever, today's programmer is involved on the revenue side, working with sales to produce new and innovative ideas for station advertisers. The emphasis is less on selling spots these days, and more on the development of complete marketing packages for clients. At Emmis Communications, programmers are becoming intimately involved in this process."
Creativity is what sets the great Radio stations apart from the also-rans," says Lake. "If you want to make a great Radio station, you must have the ability to maintain a creative mindset even while taking care of all the routine parts of your job."
HATS OFF TO YOU!
KGBT in McAllen, Texas,
winner of the 2002 Marconi award
and JD Gonzalez,
KBBT in San Antonio, Texas
named one of the top
Program Directors in America!
HBC
HISPANIC BROADCASTING CORPORATION
Clay Hunnicutt
PD, WUSY-FM; Opr.Mgr., 9 other sta. Chattanooga, TN (Clear Channel)
"My favorite part of what we do is learning how other people do business so I can try things from different perspectives," says Hunnicutt, who has spent the last 13 years at WUSY. "Change definitely keeps things fresh, and there's never a dull moment. Two things I don't think I'll ever lose are the passion for the music and the wonderful relationships with the people that I work for and with, side by side every day. Those things don't change."
Bill Hagy
PD, WXBO-FM Johnson City, TN; corporate OM (Bristol Broadcasting)
Under Hagy's guidance, WXBO-FM grew during the 1980s to become the overwhelming market leader — a position the station holds today. For 31 consecutive Arbitron rating periods, WXBO-FM has held the Number One spot in the Tri-Cities (Johnson City/Kingsport/Bristol) market. In addition to his duties as program director for WXBO-FM, Hagy also serves Bristol Broadcasting Company as corporate operations manager, overseeing company stations in Bristol, TN/VA; Paducah, KY; and Charleston, WV.
Barb Richards
PD, WAJI Ft. Wayne, IN (Sarkes Tarzian Inc.)
Richards says she is truly blessed to be working in her company. "They are best, from all the on-air personalities, to our management team, to my mentor — Operations Manager Lee Tobin — to consultant Mike McVay. These are the people I rely on to help us win book after rating book. I would like to make everyone believe it's all me, me, me, but if it weren't for the support that I get from all of the above, I would be nothing. Yep, I'm blessed many times over."
Tony Waitkus
PD, WHTS Quad Cities/Davenport, IA (Mercury Broadcasting Inc.)
"My primary focus as a programmer is, and has always been, the station's total package," says Waitekus, who grew up in Chicago under the influence of WLS and WCFL. "That includes all the sound that comes out of the speaker, and the station's place in the marketplace with regards to appearances and visibility. Being on top of both is the only way to have a winning station." Waitekus says he owes his success at WHTS to "having talented staffs, being a student of contemporary music and working for great companies."
Scott Wheeler
PD, WPBG-FM Peoria, IL (JMP Media LLC)
Wheeler, who holds a degree from Bradley University in Peoria, has worked in the radio business since the age of 15 in various-size markets from Waukegan, IL, to England. He has served as an on-air personality for JMP since 1977 and as program director since 1991. Since launching Big Oldies
93.3 in March of 1997, the station has enjoyed "top-two" ratings status in the Peoria market and is considered to be among the top 10 percent of stations nationally in the format.
Barry Kent
PD, WTHI/FM Terre Haute, IN (Emmis)
Over the last 33 years, Kent has worked at nearly every Radio station in the Terre Haute Radio market. Starting out when disc jockeys were judged by the size of their U-Haul trailers, he is unique in that his entire career has been spent in his hometown. In the last 20 years, his close relationship with the Nashville Country record industry has kept WTHI one of the top Country Radio stations in the U.S. Kent attends the Country Radio Seminar each spring in Nashville, having missed only two of them — when his son was born and when emergency surgery kept him home.
Tim Kelly
Opr. Mgr./PD, WKFM-FM, WORK, WLKR-AM, FM Sandusky, OH
"A diverse skillset and understanding of the entire Radio station are key elements to becoming a programming leader today," says Kelly. "From the sales department to engineering and everything between, understand how the machine works and then share the knowledge. There is no better leader than a person who helps the people around them to accomplish their own personal and professional goals. There are no great leaders without great people."
Scotty Mac
PD, WSPK Poughkeepsie, NY (Parnai Broadcasting)
Scotty Mac has been navigating heritage Top 40 WSPK for three years, pulling down a curve audience of nearly 300,000 just north of the New York market — quite a feat. In addition to programming the station, he holds down the midday air shift, saying, "Win the day... win the week... win the month." Prior to joining WSPK, he worked at KHTT Tulsa, WBLI Long Island and WIOQ Philadelphia.
Jeff Whitehead
PD, WQBE-FM Charleston, WV (Bristol Broadcasting)
"I love Country music and I love Country music fans," Whitehead says. "My advice to others trying to succeed in this business is to remember that what we do is not brain surgery. Success at Radio is really quite simple: Play the hits, have fun, and play the hits." It also helps to marry someone who understands the demands of broadcasting, observes Whitehead: "My second wife understands, but my first did not!"
Judy Eaton
PD, WTCR-FM Huntington-Ashland, WV-KY (Clear Channel)
No photo or bio provided.
Management Tip
EMPATHY BREEDS SUCCESS
As a manager, you've probably already figured out that you can't give your salespeople the desire to succeed. Nor can you provide them with the need to persuade or the ability to bounce back from rejection — or any other qualities needed to succeed in sales. Success in sales has to do with what's within the salesperson.
In their book *How to Hire & Develop Your Next Top Performer*, authors Hank Greenberg, Harold Weinstein and Patrick Sweeney observe that empathy is probably the most critical factor common to successful salespeople. Empathy is the ability to sense the reactions of other people, allowing a salesperson to pick up the subtle clues and cues provided by prospects in order to assess what they're thinking and feeling.
No one knows whether certain people are born with a certain capacity for empathy, but there is evidence that those who understand another person's feelings — "where they're coming from" — have an advantage when dealing with people on any number of personal and professional levels.
"Because selling involves evasions, objections, and course changes by the prospect, salespeople need to be empathetic and flexible enough to adjust their presentation and approach," the authors write. These individuals are motivated to "use their empathy — to open up their receivers — and to take in the feedback from prospects and customers. While they are providing a product or service that is genuinely needed by a prospect, they use their empathy as a key tool in persuading him or her to make the right decision."
Adapted by the RAB from *How to Hire & Develop Your Next Top Performer* by Hank Greenberg, Harold Weinstein and Patrick Sweeney (McGraw Hill, NY)
People Are Not Your Best Asset... But Well-Trained People Are
By Sean Luce
How important is company-sponsored training when you're competing in recruitment against big companies that offer company cars to new sales reps? When prospective sales reps make a decision on where they will spend their next few years, here is the bottom line:
» 80 percent: Company-sponsored training was the deciding factor.
» 58 percent of sales reps age 32 or younger thought training was useful in preparing for sales careers.
And for you as a manager or group owner:
» For every $1 invested in training, you should get a $30 return.
If you think people are your best asset, you're wrong. Well-trained people are your best asset — everyone else is cannon fodder. Most sales managers look at training like pulling teeth and, possibly even more important, most sales people think training is about as exciting as watching snow fall. Still, training is the most important thing you can do for your sales reps and for your sales organization. It should start the day the reps walk in the door and continue until the day they leave!
Here are tips to make sure that your reps see an exciting interactive approach.
» MAKE SURE IT'S ONGOING. Set up 13-week training programs that have a quarterly graduation attached. An exciting program is important to the health of your sales department, but equally important is its overall effectiveness — and that requires advance planning. Some sales managers prepare for sales training meetings while driving to work. Your salespeople have better things to do than sit through an impromptu, un-planned training meeting.
» REVEAL YOUR EXPECTATIONS. Let your reps know immediately what is expected of them and how they will be evaluated. You can (and should) tie sales training to your compensation program, based on what they learn — and execute in the field.
» PROVIDE INCENTIVES. Have an incentive at the end of your 13-week program to reward the sales rep with the highest scores for that quarter.
Celebrate the accomplishment, too. Remember, 25 percent of good people leave organizations because of lack of rewards and recognition.
» MAKE IT REAL-WORLD. Role-playing real-life situations is far better than having the sales rep just sit and listen to you cover an outline. Explain their roles and your expectations; have them prepare for the role-playing scenario a week in advance.
» FOLLOW-UP IN THE FIELD. Outside the classroom, it is your responsibility as a sales manager to apply the training program to real-world situations. How do you know what your people are presenting to the client or how they're conducting a customer-needs analysis if you can't see them perform? It's like coaching a team from the press box. You see more and feel more from field.
The above box shows part of a 13-week training program from Curtis Parcell, general sales manager at KOLA-FM in Riverside, CA. It's part of his quarterly MBA program for sales staff; senior people teach some courses with his supervision. His curriculum is based on a 21-module, in-house training manual designed specifically for his station. The station's average sales have increased by 25 percent, which Parcell attributes to his training program. His meetings are twice weekly for a minimum of one hour.
Sometimes a little creativity is all you need for a learning experience that is profitable for both you and your clients.
Sean Luce, the head national instructor for the Luce Performance Group International, can be reached at 281-496-6340 or by e-mail at email@example.com Contact him for a copy of the full 13-week training program.
Be Smart: Outsource Your Sales Recruitment Now!
By Laurie Kahn
Your sales manager is human and can be spread only so thin. The SM’s goal, first and foremost, should be to make sure the station hits budgets and is profitable. To do so, the sales manager will need the right team with the right skills. Today’s sales process is vastly different, as there is more emphasis on direct client service, new business and non-traditional revenue. In addition to possessing strong knowledge of marketing and promotion, salespeople need to know how to sell other platforms in combination with their Radio stations. Hiring correctly is critical to the stations’ success.
Sales managers today are expected to do their jobs with fewer people. With training budgets have been cut or eliminated, managers must train as well. Sales managers must motivate and retain current employees as well as updating them with new sales techniques. Additionally, managers must continually add sales staff to keep a top grade team.
It costs the station when a salesperson resigns and that list is not adequately covered, or no one is bringing in new business. If the sales manager hastily hires the wrong person or does not train the newly hired person, the new hire has little chance to succeed — an enormous waste of time and money. The rule generally is that it costs double the salesperson’s annual compensation package to hire and train a successful salesperson. That figure does not take into consideration the cost of lost business or how much unemployment can take from the bottom line.
Hiring effective, talented salespeople may require going outside the industry or outside the market. Sales managers will be required to spend more time with hiring, training and closing deals, so the company must have a strategy on who and how to hire. We can’t forget that this is an extremely litigious time. You will want to be assured that your managers know how to interview and hire effectively and legally — major issues that can affect your bottom line.
Of recruiting, training and closing, which is easiest and most cost-effective to outsource? Recruiting! Your sales manager knows your stations and how they should be represented. Does it make sense for them to give up training or closing deals? No. They must be available to listen to the needs of the current staff as well as clients’ issues. Training and closing are areas that most need their attention.
Consider assistance in screening candidates, so your manager sees only candidates that fit your qualifications. There are several ways to do so, especially if you have eliminated several management jobs from your market. You can spend the saved cutback income on an outside source.
By having a thorough job description as well as someone who understands your sale, your company culture, and your market, you can successfully outsource a major time-burner for your managers. Hire a recruitment service, a retired sales professional, or a consultant to work with you. Have them interview on a regular basis, bringing you qualified candidates that fit your job description. This is an excellent way to recruit a diverse workforce as well. You don’t have to worry about “star interviewees” that dazzle in the interview and never perform, as an outside source will be looking at facts and comparing all candidates in a “like” manner. Outside sources can be paid on an hourly basis, a project fee, or on a percentage based on the first year’s income of those hired.
Keeping your managers focused on the bottom line and giving them assistance in hiring will ultimately save the company money. Hiring well is an art, as is the retention of good people.
Laurie Kahn is founder and president of Medi Staffing Network. She can be reached at firstname.lastname@example.org or at 312-944-9194, ext. 108.
Take 30 Minutes To Plan Your Week
According to the Manager’s Intelligence Report, most people need only 30 minutes to plan their entire workweek — if they follow the OATS formula. “What’s that?” you ask.
O: OBJECTIVES. Determine what results you want to achieve by the end of the workweek. Write them down, rank them, then do them.
A: ACTIVITIES. Exactly what must you do to achieve the above objectives? List these activities on the same sheet of paper, in sequence.
T: TIME. How much time will each activity require? To develop a realistic plan, allocate more time than you think you need, just to give yourself some flexibility. Unexpected challenges always crop up.
S: SCHEDULE. Check your calendar and decide when you can tackle each activity. Many people underestimate the effectiveness of a schedule, but professional athletes — and professional managers — really can’t get by without one.
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What Business Are You Really In?
By Dick Orkin
I took an e-mail poll of Radio people:
1. Do you think it’s okay to beat your wife?
2. Do you think it’s okay to kick small dogs?
3. Do you think it’s okay to take an advertiser’s money and give shoddy advertising in return?
No one agreed with the first two questions. The answer to No. 3 is what I expected: 75 percent said it’s not okay. In other words, 25 percent (one of the 4 who participated; I never get heavy participation in my polls) thought it was okay to take advertisers’ money and give shoddy advertising in return. His rationale: “It’s their fault for giving us bum information.”
If we listen to the airwaves, this answer is consistent with the practice. I’ve said it before, and I’ll repeat: “If Radio fails to come to grips with the clash between advertising that gets under the radar screen and the monthly quota issue, Radio advertising may soon emerge as one of the greatest scams ever foisted on American advertisers.” (“Getting under the radar screen” comes from the book of that title by Bond and Kirschenbaum and means, in the case of Radio, that listeners won’t tune out a spot — they’ll hear it.)
“You say ‘come to grips with it,’ Dick, but I don’t know how,” one general manager e-mailed. “I spent five minutes thinking about it, and I’d like to hear your ideas,” he said. I replied that he might think about it for at least another five minutes. After five days, he responded: “Our exchange was intellectually stimulating, but I have to get back to what I was hired to do: Make money for the station. After all, that’s the purpose of this Radio business or any business, isn’t it?”
He said his question was rhetorical and that I needn’t answer it. He had better things to do. Fair enough. Perhaps, he’ll read my answer in this space, if he can find the time.
WHAT’S YOUR PURPOSE?
“No generation has witnessed so many simultaneous changes that are interrelated and have a global nature…and, on many fronts, we’re in for a couple of decades of rattling, shaking, and reorganization,” said Alvin Toffler in Future Shock.
One thing hasn’t changed: the simple, compelling purpose of a business. It was best expressed by Harvard Business School professor Theodore Levitt, who reminded us that the purpose of a business is to find and keep customers — to get customers on the air to continue doing business with you instead of your competitor.
So, there’s the answer to my e-mail writer, who asks if making money is the purpose of a business. No, it’s not. You can make money for one or two flights with shoddy advertising, many do. And when clients catch on, they leave for another station or other media, so that’s not a valid definition of the purpose of a business.
Perhaps you can come to grips with your original challenge “for stopping the emerging scam” by thinking about this question: “What business am I?” Here’s a hint from Peter Drucker, the 91-year-old legendary guru of business and organizational theory. He said you can’t answer the question until you have determined your customer’s attitudes and perceptions.
If you can do that, look for the beginning of a brand-new idea in a time of rapid change: redefining the business between you and your customers. Understood and applied correctly, it’s one of the most powerful tools radio has to set the first stage of a spot-making scenario.
It’s the old definition of your business (“making money”) that keeps you from creating advertising that satisfies clients. Consider your customers, decide what business you are in, and then decide what your potential prospect’s business is. At the same time, I’ll decide what business the rest of Radio Ranch is in. Get ready to compare notes, because something great is about to happen.
NAB Hall of Famer Dick Orkin, co-founder of the Radio Ranch in Hollywood, produces award-winning radio advertising campaigns. He may be reached at 323-462-4966 or e-mail email@example.com.
Tech Briefs
DG Systems Offers New Audio Server
Digital technology innovator DG Systems Inc. (Nasdaq: DGIT) has boosted its audio distribution service with the DG Media Manager™ — a dedicated, on-site server for agencies and broadcasters.
Delivering audio spots and music directly to Radio stations, DG Media Manager is an enhancement of the company's DG Audio™ distribution. DG Media Manager does not need to rely on user intervention or a dedicated phone line.
In addition, it provides Web-based, desktop access to audio content, traffic and delivery status information. Multiple users can accept simultaneously, even from remote locations.
"Within half an hour after the arrival of the DG Media Manager," said Richard Cohen, I.T. manager at KMIJ-FM, "we were online and automatically receiving spots. Being server-based, we can now process spots from any workstation on the LAN and disconnect two costly ISDN lines at two facilities. Plus, our production staff is thrilled with the new Web-based user interface."
Features include:
- Access to traffic and delivery information via DG online;
- Large storage (holds more than 10,000 spots);
- Rack mountable
Hardware requirement
- 4 (U) rack space
- High-speed Internet access
- Access to station LAN
For more information, see online at www.dgsystems.com or call headquarters in Irving, TX, at 972-581-2000.
Bonneville Buildout Merges Four Stations With Room To Spare
Bonneville International had a problem in St. Louis, one common to consolidation: melding several dissimilar stations into one space. Bonneville found a beautiful solution with the help of architectural firm TRi and contractor Murray Company.
Bonneville's St. Louis Director of Engineering Marshall Rice worked with TRi lead architect Kristi Foster and Murray project manager Mark Atkinson on a 25,000-square-foot buildout of the second floor of a building at a suburban retail-office complex. The five-month project, contracted for $1,754,000, merged WIL-FM (heritage Country), WSSM-FM (Smooth Jazz), WVRV-FM (Modern AC) and WRTH-AM (Adult Standards) — and provided space for a fifth station.
The physical plan, with flexibility as a priority, grouped major departments by function, not individual station. "This has worked out really well," says Rice. "[The stations] function as a unit, sharing resources and knowledge; and there is better coordination for remotes, fundraisers and promotions."
A new element, as a result of 9/11, was an emphasis on security. The receptionist is isolated behind bullet-resistant glass and walls. Employees — with photo IDs — must pass two levels of access in the daytime and four levels after hours.
Rice said the project was done on time and under budget. Using a Klotz console and routing system meant a one-third reduction in wiring, "a big time-saver." The all-digital system includes Moseley StarLink and an Optimod 8400 digital processor. "Preplanning is everything," says Rice. "Get involved with your vendors early in the game; and always recheck vendor claims. Do your homework."
For more information: Bonneville — 314-781-9600; Murray — 314-576-0540. Photos by William E. Mathis of Mathis Jones Communications LLC, Chesterfield, MO.
WMTR/WDHA Radio, Morristown, NJ, has tallied more than $1 million in nontraditional revenue using Radio Profits, a turnkey telemarketing program tailor-made for radio stations by First MediaWorks of San Clemente, CA.
Since 1995, the station has signed hundreds of local businesses to sponsorship packages using the FMW Radio Profits System. "The beauty of this program," says First MediaWorks's Jess Haag, "is that it's a very short step from a sponsorship to an advertiser, and once small- and mid-sized businesses experience the benefits of even the smallest exposure, they immediately want more."
WMTR's Rick Wasserman is the leading producer on the FMW Radio Profits sales team, starting with a single sale. His first dial back in 1995 (a $199 sale to a nursing home—still a client today). Wasserman initially sold High School Sports salutes and Public Service Announcements for $99 to $199, and soon discovered that he could turn those clients into regular advertisers.
"One of my original sponsors now spends over 6 figures annually," he reports. "I sell to every type of business you can think of, from a one-man barbershop to Colgate-Palmolive and Toys 'R' Us®."
A complete sales system
The FMW Radio Profits System delivers a comprehensive telemarketing program that is virtually pain-free, according to Haag. It includes hiring assistance, training of telemarketing personnel, customized campaigns and scripts, contact management software, and ongoing support from First MediaWorks Sales Managers.
500+ ready-made campaigns
Ideas for events and themes abound, with more than 520 campaigns ready-made for selling sponsorships for PSAs, as well as custom written campaigns and scripts for local fundraisers, civic events and more.
"My job is to close business. This makes money for the station and puts cash in my pocket."
Rick Wasserman, WMTR, Morristown, NJ
There's even an online Community Calendar and a coupon component that participating businesses can use to increase website traffic and stimulate business.
Call for more information
For details on how the FMW Radio Profits System can add a powerful and proven telemarketing component to your marketing program, contact Jess Haag at First MediaWorks today.
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No.PA/ Khyber Pakhtunkhwa/Bills/2011/26460 The Khyber Pakhtunkhwa Establishment of Information Technology Board Bill, 2011 having been passed by the Provincial Assembly of Khyber Pakhtunkhwa on 2nd May, 2011 and assented to by the Governor of the Khyber Pakhtunkhwa on 10th May, 2011 is hereby published as an Act of the Provincial Legislature of the Khyber Pakhtunkhwa.
THE KHYBER PAKHTUNKHWA ESTABLISHMENT OF INFORMATION TECHNOLOGY BOARD ACT, 2011 (KHYBER PAKHTUNKHWA ACT NO. XI OF 2011)
(first published after having received the assent of the Governor of the Khyber Pakhtunkhwa in the Gazette of the Khyber Pakhtunkhwa (Extraordinary), dated the 12th May, 2011).
AN ACT
to provide for the establishment of the Khyber Pakhtunkhwa Information Technology Board for private sector.
WHEREAS it is expedient to provide for the establishment of the Khyber Pakhtunkhwa Information Technology Board for promotion of the information technology, Information Technology enabled services and Information Technology enabled education for private sector of the Province of the Khyber Pakhtunkhwa and for matters connected therewith or ancillary thereto;
It is hereby enacted as follows:
1. **Short title, extent and commencement.**---(1) This Act may be called the Khyber Pakhtunkhwa Establishment of Information Technology Board Act, 2011.
(2) It shall extend to the whole of the Province of the Khyber Pakhtunkhwa.
(3) It shall come into force at once.
2. **Definitions.**---In this Act, unless there is anything repugnant in the subject or context, the following expressions shall have the meanings hereby respectively assigned to them, that is to say-
(a) “Board” means the Khyber Pakhtunkhwa Information Technology Board established under section 3;
(b) “Chairman” means the Chairman of the Board;
(c) “Managing Director” means the Managing Director of the Board;
(d) “Government” means the Government of the Khyber Pakhtunkhwa;
(e) “member” means a member of the Board including the Chairman;
(f) “prescribed” means prescribed by rules or regulations made under this Act;
(g) “Province” means the Province of the Khyber Pakhtunkhwa;
(h) “regulations” mean regulations made under this Act;
(i) “rules” mean rules made under this Act; and
(j) “section” means a section of this Act.
3. **Establishment of the Board.**---(1) As soon as may be after the commencement of this Act, Government shall establish, in accordance with the provisions of this Act, a Board to be called the Khyber Pakhtunkhwa Information Technology Board.
(2) The Board shall be a body corporate, having a perpetual succession and a common seal, with powers, subject to the provision of this Act, to acquire, hold and dispose of property, both movable and immovable in its name, and shall by its name sue and be sued.
(3) The head office of the Board shall be at Peshawar.
(4) The Board may establish its regional offices at such other places, as it may deem necessary.
4. **Composition of the Board.**—(1) The Board shall consist of—
(a) the Chief Minister, Khyber Pakhtunkhwa; Chairman
(b) Minister for Science and Technology and Information Technology, Khyber Pakhtunkhwa; Member
(c) Chief Secretary to Government; Member
(d) Additional Chief Secretary to Government Planning and Development Department; Member
(e) Secretary to Government, Science and Technology and Information Technology Department; Member
(f) Secretary to Government, Finance Department; Member
(g) Managing Director; and Member-cum-Secretary
(h) not more than eight persons having experience in information technology sector as the Government may, by notification in the official Gazette, nominate from private or public sector.
(2) Save as hereinafter provided, the members mentioned at clause (h) of sub-section (1), shall hold office for a term of three years from the date of his nomination and may be eligible for re-nomination for such further period or periods not exceeding three years at anyone time as Government may deem fit.
(3) A member mentioned at clause (h) of sub-section (1), may at any time resign from his membership by writing under his hand addressed to Government, but shall continue to perform his function until his resignation has been accepted.
(4) A vacancy caused by resignation under sub-section (3) or any other reason shall be filled by the nomination of any another person qualified to fill such vacancy.
(5) Government may at any time terminate the appointment of the Managing Director or nomination of any member mentioned at clause (h) of sub-section (1), without assigning any cause.
(6) No act, proceeding, decision or order of the Board shall be invalid merely by reason of any vacancy or defect in the constitution of the Board.
(7) No remuneration shall be admissible to any member.
5. **Disqualification of the member of Board.**---(1) No member, other than ex-officio member, or Managing Director, shall be nominated or appointed or continue as a member, if he-
(a) has, at any time been convicted of an offence involving moral turpitude; or
(b) has been adjudicated an insolvent by a competent court; or
(c) is of unsound mind and has been so declared by a competent court; or
(d) is a minor; or
(e) has been disqualified for employment in, or dismissed from service of, any Provincial or Federal Government, or any organization controlled by such government; or
(f) has been dismissed from service of any organization in the private sector on account of fraud or theft; or
(g) is held by Government, on a reference received from the Secretary of the Board, to be guilty of misconduct or abstaining from attending the meetings of the Board without leave.
6. **Meetings of the Board.**---(1) The meetings of the Board shall be regulated in accordance with the procedure as may be prescribed by regulations.
(2) Meetings of the Board shall be called by its Chairman on such date and at such place as he may deem fit.
(3) Each meeting of the Board shall be presided-over by the Chairman or in his absence by Minister for Science and Technology and Information Technology, Khyber Pakhtunkhwa.
(4) Ten members shall constitute the quorum for a meeting of the Board.
7. **Powers and functions of the Board.**---(1) Subject to the provisions of this Act and any rules made thereunder, the Board shall exercise such powers, as may be necessary for carrying out the purposes of this Act.
Without prejudice to the generality of the foregoing subsection, the Board shall-
(a) prepare and implement plans and schemes for the promotion of Information Technology, Call Centers and Information Technology enabled services and education in private sector;
(b) undertake research and study on the state of the Information Technology sector and propose strategies for fast track and sustainable development of the Khyber Pakhtunkhwa Information Technology Industry including software and services, Information Technology enabled services, and hardware in both export and domestic markets;
(c) act as a one-stop shop to cater to all the needs of an Information Technology company for setting up or facilitating its Information Technology business ventures in Province. To act as a bridge between the private Information Technology companies and the various bodies in Government sector;
(d) work with telecom regulators and operators to reduce broadband bandwidth tariffs and rates and improve quality in order to maintain international competitiveness;
(e) plan, develop and establish “Software Technology Parks” and Information Technology Parks in the Province;
(f) determine human capital requirements of the Information Technology Industry and work to address these needs in collaboration with other entities;
(g) develop and execute a marketing plan to help local software companies to reach potential clients abroad, attract and facilitate foreign software firms to establish their software development facilities in Province;
(h) arrange the participation of Provincial Information Technology Industry in domestic and international Information Technology events;
(i) provide match-making facilities for foreign delegates and investors;
(j) establish a web portal for customers, investors and companies and prepare and disseminate marketing collateral;
(k) develop capability of private sector by assisting them in acquiring quality, security and other certifications;
(l) take initiatives for the development of hardware and software industry including knowledge based enterprise; and
(m) sanction individual schemes, including revision of sanctioned schemes, in terms of scope.
8. **Managing Director of the Board.**—(1) The Managing Director shall be appointed by Government on such salary and terms and conditions as may be prescribed.
(2) The Managing Director shall be the Chief Executive Officer of the Board.
(3) The Managing Director shall exercise such powers and perform such functions, as may be assigned to him by the Board.
(4) The Managing Director shall be a person of eminence in the field of Information Technology with at least 20 years relevant experience.
(5) The Managing Director shall hold office for a term of five years and shall be eligible for re-appointment for such further period or periods, not exceeding five years at any one time, of another term, as the Government may deem fit.
(6) The Managing Director may resign his office by writing under his hand addressed to Government but the resignation shall take effect on its acceptance by Government.
(7) If the Managing Director is removed from his office, resigns or dies before the completion of his tenure, the Chairman may appoint any Director or member of the Board to perform, temporarily, the functions of the Managing Director, until such time another person is appointed as the Managing Director.
9. **Appointment of Officers and staff of the Board.**—(1) To assist the Managing Director in the performance of his functions, the Board shall appoint not more than five Directors on such terms and conditions as may be determined by the Board.
(2) Each Director shall be the head of respective functional organ of the Board, who shall report and responsible to the Managing Director.
(3) The Board may appoint such other Officers, servants, experts and consultants, as it may deem necessary, for the efficient performance of its functions on such terms and conditions as it deem fit.
(4) In case of urgency, the Managing Director may appoint such officers, servants, experts or consultants, as he may deem fit, and shall report every such appointment made, to the notice of Board without unreasonable delay and the decision of the Board in respect of any or all such appointments shall be final.
10. **Delegation of powers**.—The Board may, by general or special order, delegate to the Managing Director, Directors or any Officer of the Board any of its powers or functions under this Act subject to such conditions as it may deem fit.
11. **Fund**.—(1) There shall be established a Fund to be vested in the Board, which shall be utilized by the Board to meet all such costs and charges incurred in connection with its functions and affairs.
(2) Government shall initially allocate two hundred million rupees for the establishment of the Fund.
(3) The Fund shall consist of—
(a) grants made by Government or Federal Government from time to time;
(b) financial assistance extended to the Board by any local or foreign Government or Agency through Government;
(c) revenue and other receivables of the Board from any source and of any kind; and
(d) donations and endowments.
12. **Budget**.—The Managing Director shall, in respect of each financial year, submit for approval of the Board, by such date and in such manner as may be prescribed, a statement showing the estimated receipts, the current and development expenditures and the sums required as grant-in-aid from Government.
13. **Maintenance of Accounts and Audit**.—(1) The Managing Director shall maintain complete and accurate books of accounts and prepare periodical financial statements in such form as may be prescribed by regulations.
(2) Financial statements prepared by the Managing Director shall include an Annual Receipts and Expenditure Account and a Balance Sheet which shall be caused to the Board and to be audited by a reputable firm of Chartered Accountants.
14. **Submission of Annual Report**.—(1) The Managing Director shall prepare and submit to Board, as soon as possible after the end of every financial year, but not later than three months after the 30th of June of that year, a report on the conduct of Board affairs, relating to proceeding year.
(2) The Board shall, if so required by Government, furnish any document under its control to Government.
15. **Employees of the Board deemed to be public servants.**—Subject to the provisions of this Act, Managing Director and all other Officers and employees appointed for carrying out the purposes of this Act, shall be deemed to be public servants within the meaning of section 21 of the Pakistan Penal Code (Act XLV of 1860).
16. **Indemnity.**—No suit, prosecution or other legal proceedings shall lie against the Board, its Chairman, members, Managing Director, Directors, Officers, experts or consultants or any other employee of the Board in respect of anything in good faith done or intended to be done under this Act.
17. **Power to make rules.**—Subject to the provisions of this Act Government may make rules for carrying out the purposes of this Act.
18. **Power to make regulations.**—Subject to the provision of this Act and the rules made thereunder, the Board may make regulations, as may be necessary, for carrying out the purposes of this Act.
19. **Removal of difficulties.**—If any difficulty arises in giving effect to any provision of this Act, the Government may, in consultation with the Board, issue orders, not inconsistent with the Act or the rules made thereunder, for the removal of the difficulty.
---
**BY ORDER OF MR. SPEAKER**
**PROVINCIAL ASSEMBLY OF KHYBER PAKHTUNKHWA**
---
(AMANULLAH)
Secretary
Provincial Assembly of Khyber Pakhtunkhwa
Printed and published by the Manager,
Staty. & Ptg. Deptt., Khyber Pakhtunkhwa, Peshawar.
|
January 30, 2013
VIA ELECTRONIC FILING AND U.S. MAIL
PUC Filing Center
Public Utility Commission of Oregon
PO Box 2148
Salem, OR 97308-2148
Re: UM 1481 – Staff Investigation of the Oregon Universal Service Fund
Enclosed for filing in the above-referenced docket are an original and five copies of the Reply Testimony of Don Price on Behalf of Verizon.
A copy of this filing has been served on all parties to this proceeding as indicated on the enclosed certificate of service.
Very truly yours,
Wendy McIndoo
Office Manager
cc: Service List
Enclosure
BEFORE THE PUBLIC UTILITY COMMISSION
OF OREGON
Docket No. UM 1481
In the Matter of
PUBLIC UTILITY COMMISSION OF
OREGON
Staff investigation of the Oregon Universal Service Fund.
REPLY TESTIMONY OF
DON PRICE
ON BEHALF OF VERIZON
January 30, 2013
Q. PLEASE STATE YOUR NAME.
A. My name is Don Price.
Q. DID YOU PREVIOUSLY SUBMIT OPENING TESTIMONY IN THIS PROCEEDING?
A. Yes, I submitted opening testimony on behalf of Verizon.
Q. WHAT ARE YOUR GENERAL OBSERVATIONS ABOUT THE OTHER PARTIES’ OPENING TESTIMONIES?
A. As I explained in my Opening Testimony, the telecommunications marketplace in Oregon has changed radically since the OUSF was first established more than 12 years ago. The local exchange carriers acknowledge the escalation of competition, even in traditionally “high cost” areas.\(^1\) The stunning growth of intermodal services, like wireless and VoIP, has overtaken notions of universal service that were rooted in the monopoly-wireline-provider world. The popularity of these alternatives to legacy voice services proves that they are helping fulfill the goal of the Oregon USF, which is to assure that consumers have access to basic voice telephone service at reasonable and affordable rates.
Regardless of where the parties’ interests in this docket lie, the testimony reveals no dispute about the fundamental fact that the industry has changed. Recognition of this fact compels a re-assessment of the principles that should drive OUSF policy going forward — and it provides a basis for consensus around a few principles that should provide that guidance, both in the short term and in the longer view.
\(^1\) CTL/100 at 8 (CenturyLink has experienced declines in access lines in high cost areas, resulting in a 40 percent reduction in the amount of OUSF support the company received since 2001); FRONTIER/100 at 7-8 (Frontier has lost 57 percent of its subscriber access lines, and its high cost support payments have been reduced by 37 percent from 2000 to 2011); OTA/100 at 9, 11 (rural ILECs’ “wireline access lines have declined precipitously over the last decade,” and been replaced by competing wireless and VoIP services).
Q. WHAT ARE THE IMMEDIATE CONSIDERATIONS THAT SHOULD GUIDE THE COMMISSION’S THINKING WITH RESPECT TO THE OUSF?
A. There are two critical considerations for the short term. First, in no event should the Commission increase, or take any action that has the potential for increasing, the amount of the fund, which, at its current size of approximately $44 million (Staff/100 at 3), yields one the highest surcharges on telecommunications consumers in the country. It would be unreasonable and even unconscionable to increase this tax, which currently stands at 8.5%. Second, the Commission should reject any suggestion that the fund base should be expanded to require customers of new technologies, like VoIP, to contribute to it.
Q. OTA’S MR. DUVAL CONTENDS THAT “THERE IS NO NEED” TO IMPOSE “FURTHER LIMITATIONS” ON OUSF SUPPORT (OTA/100 at 15). DOES HIS ADVICE VIOLATE THE PRINCIPLE AGAINST GROWTH OF THE FUND?
A. Yes. In discussing the methodology used to determine a rural LEC’s costs, Mr. Duval, on behalf of the Oregon Telecommunications Association (“OTA”), argues that there “is no need to institute additional review procedures or develop further limitations” on funding. In his view, carriers “must be given the latitude” to incur any costs they deem necessary (OTA/100 at 15), without any meaningful evaluation of whether these expenditures further universal service. OTA’s approach would allow the OUSF to grow unchecked and undermine Staff’s desire to improve accountability and transparency of the fund.
OTA’s position is also inconsistent with the Federal Communications Commission’s reforms of federal universal service programs. In its USF/ICC Transformation Order, the FCC found that rate-of-return regulation (which is one of the underpinnings of the existing OUSF support mechanism) and traditional USF funding mechanisms have conspired to provide support “regardless of the necessity or
prudence of any given investment,” and without imposing any practical limits on the type or extent of investments that are made.\(^2\) The FCC found that long-standing funding mechanisms have provided “poor incentives for rate-of-return carriers to operate and invest efficiently,” and can result in “excessive spending.”\(^3\) The FCC concluded that, because of these weaknesses in the regulatory regime, federal universal service programs were providing support to companies “with high costs due to imprudent investment decisions, unwarranted corporate overhead, or an inefficient operating structure.” *USF/ICC Transformation Order* at ¶1287. Thus, when it committed to reform its universal service policies for rate-of-return LECs, including rural LECs in Oregon, the FCC sought to “eliminate waste and inefficiency and improve incentives for rational investment and operation by rate-of-return LECs.” *Id.* at ¶¶195, 207, Appendix O at ¶113.
This Commission should, likewise, seek to create similar incentives to curb inefficiency and rationalize the OUSF. Granting rural LECs “a blank check” to spend whatever amounts they consider fit, as Mr. Duval suggests, would be a move in the wrong direction, to the detriment of consumers who will have to pay ever-increasing surcharges. If carriers expect to recover whatever amounts they spend from a fund that is subsidized by all Oregon consumers, they will have little incentive to operate efficiently or to compete effectively. The Commission should, in the short term, stop the fund from increasing, and eventually reduce the size of the OUSF, rather than adopt any policies that would have the opposite effect.
---
\(^2\) *Connect America Fund, et al.*, Report and Order and Further Notice of Proposed Rulemaking, 26 FCC Rcd 17633 (2011) (*USF/ICC Transformation Order*) at ¶1287.
\(^3\) *In the Matter of Connect America Fund*, Notice of Proposed Rulemaking, FCC 11-13 (Feb. 9, 2011) at ¶21.
Q. DOES STAFF AGREE THAT REFORMS TO HOLD DOWN THE FUND ARE NECESSARY?
A. Yes. Mr. White agrees that the fund cannot continue in its current form, and a key Staff objective is to reduce the size of the OUSF. *Staff/100* at 15. To this end, he recommends a number of reforms, including lowering the unduly burdensome end user surcharge and increasing the current benchmark, perhaps from $21 to $30 per month. Because OUSF support is determined by subtracting the benchmark from the cost of service calculated using one of the two cost models, increasing the benchmark will reduce the amount of support that is provided. In addition, Mr. White proposes to establish a “needs” test, under which carriers would have to report how they would use any OUSF distributions. Under Staff’s proposal, a carrier’s actual support would be calculated “as the smaller of the [cost] model results and what they report that they need.” *Id.* at 13, 19, 21-22. These steps are intended to prevent growth of the fund and eventually reduce it.
Q. ARE THERE STEPS THE COMMISSION CAN TAKE NOW TOWARD THE EVENTUAL OBJECTIVE OF PHASING OUT FUNDING?
A. Yes. Verizon supports allowing carriers to raise their retail rates to more market-based levels, so that they can recover more of their revenues from their end users, in their retail rates. The Commission should encourage companies to adjust artificially low retail rates and consider limiting OUSF funding to carriers that do not so that other Oregonians are not forced to subsidize unreasonably low rates. But I recognize that it may be infeasible for funding recipients to otherwise adjust their business models overnight to accommodate the changes in the marketplace. So, for the longer term, the focus of the Commission and the parties should be on how best to achieve that transition, and over what time period — but there should be no doubt that the anachronistic, anti-competitive subsidy system must eventually be phased out.
Q. IS THERE REASON TO BELIEVE THAT ILECS HAVE ROOM TO INCREASE THEIR BASIC EXCHANGE RATES?
A. Yes. Staff conducted a survey of single line residential and business rates for each local exchange carrier and compared them to the current $21 benchmark. In 2000, the Commission considered the benchmark to be a "good surrogate for an affordable rate for basic local exchange service" (Order No. 00-312 at 21), although Mr. White suggests that the benchmark should be increased to account for inflation. The results of Staff's survey appear on the following page. Of the 40 residential rates shown, 39 are below $21.00. More than half of the business rates are below the benchmark, as well.
| Company | Residential | Business | Residential | Business |
|----------------------|-------------|----------|-------------|----------|
| Asotin | $12.75 | $13.25 | Below | Below |
| Beaver Creek | $27.00 | $27.75 | Above | Above |
| Canby | $12.80 | $19.60 | Below | Below |
| Cascade Utilities | $18.99 | $34.47 | Below | Above |
| CenturyTel | $12.48 | $20.31 | Below | Below |
| Citizens | $13.67 | $24.32 | Below | Above |
| Clear Creek | $18.89 | $29.05 | Below | Above |
| Colton | $16.50 | $28.40 | Below | Above |
| Eagle | $11.60 | $16.95 | Below | Below |
| Gervais | $17.95 | $22.00 | Below | Above |
| Helix | $14.80 | $17.60 | Below | Below |
| Home | $16.55 | $25.55 | Below | Above |
| Midvale | $14.35 | $19.00 | Below | Below |
| Molalla | $14.95 | $19.95 | Below | Below |
| Monitor | $14.05 | $17.20 | Below | Below |
| Monroe | $11.69 | $10.99 | Below | Below |
| Mt. Angel | $9.00 | $15.20 | Below | Below |
| Nehalem | $13.00 | $16.00 | Below | Below |
| North State | $12.45 | $17.40 | Below | Below |
| Oregon - Bates | $8.95 | $12.25 | Below | Below |
| Oregon - All other | $11.95 | $16.50 | Below | Below |
| Oregon-Idaho zone 1 | $11.65 | $23.35 | Below | Above |
| Oregon-Idaho zone 2 | $13.65 | $26.35 | Below | Above |
| Oregon-Idaho zone 3 | $18.65 | $31.35 | Below | Above |
| Peoples | $13.95 | $17.95 | Below | Below |
| Pine | $13.00 | $17.00 | Below | Below |
| Pioneer | $15.00 | $16.00 | Below | Below |
| Qwest (1) | $12.80 | $26.00 | Below | Above |
| Qwest (2) | $13.80 | $28.50 | Below | Above |
| Qwest (3) | $14.80 | $30.50 | Below | Above |
| Roome (in town) | $15.00 | $20.00 | Below | Below |
| Roome (out of town) | $18.00 | $25.00 | Below | Above |
| Scio | $11.50 | $13.75 | Below | Below |
| Sprint/United | $13.43 | $24.00 | Below | Above |
| St. Paul | $10.50 | $10.50 | Below | Below |
| Stayton | $11.60 | $14.02 | Below | Below |
| Trans-Cascades | $14.80 | $29.95 | Below | Above |
| Verizon (1) | $12.59 | $22.00 | Below | Above |
| Verizon (2) | $12.59 | $27.00 | Below | Above |
| Verizon (3) | $12.59 | $31.20 | Below | Above |
Source: Staff Response to Data Request Verizon-Staff 2-9 a.
Q. DID ANY OF THE PARTIES PROVIDE EVIDENCE OF WHAT CONSTITUTES A REASONABLE AND AFFORDABLE RATE IN OREGON'S HIGH-COST AREAS?
A. No. In response to several data requests, Frontier, OTA and Staff all acknowledged that they had not conducted any studies or determined a standard for "affordable" rates, which is one of the criteria of the state USF program set forth in ORS 759.425(1). Mr. Duval appears to suggest that a national urban rate of $14 per month used by the FCC for different purposes might be an appropriate standard (OTA/100 at 9-10), but that misstates the purpose of that provision of the FCC's package of universal service reforms. The standard he refers to is not intended to represent a "reasonable and affordable rate" for basic telephone service. In the *USF/ICC Transformation Order*, the FCC ruled that it would be "inappropriate" and inequitable to provide federal high-cost support to subsidize the service offerings of any carriers that charge customers "local service rates that are significantly lower than the national urban average." "Doing so," the FCC said, would place "an undue burden on the Fund and consumers that pay into it." *USF/ICC Transformation Order* at ¶¶237. Accordingly, the FCC decided to limit high-cost support to carriers whose local end user rates plus state regulated fees do not meet an urban rate floor calculated by the FCC. Initially, the floor was set at $10, but will increase to $14 in July of this year, and will be adjusted further in subsequent years. *Id.* at ¶¶238-243. Under this policy, a rate-of-return carrier will have its federal support reduced, on a dollar-for-dollar basis, to the extent the carrier's rates do not meet the floor. Thus, the purpose of the floor is to avoid over-subsidizing carriers by limiting support to those LECs that maintain artificially low rates. The fact that rates below the floor are deemed unreasonable should not be construed as a finding by the FCC of what constitutes an "affordable" rate in rural areas. Accordingly, the Commission should not rely on that standard as a measure of "affordability" in this proceeding. Instead, as I testified previously, it would
be more appropriate to rely on the FCC’s explicit finding that $30 is a reasonable and affordable rate for local exchange service. See Verizon/100 at 49-50.
Q. WOULD IMPOSING NEW SURCHARGES ON VOIP SERVICES AND CUSTOMERS CONFLICT WITH THE NEED TO REFORM THE OUSF?
A. Yes. Again, Mr. Duval’s recommendations on behalf of OTA go in exactly the wrong direction. He argues that all users of the wireline network, and particularly VoIP providers, should be required to contribute to the OUSF on the theory that “their service relies on the PSTN to, at the very least, terminate calls.” OTA/100 at 15-16. Mr. White also suggests that revenues from VoIP services should be subject to the OUSF surcharge. His reasoning appears to be that, while different service providers use different technology to connect to the end-user, “the function being performed is connecting the end-user to the network.” Staff/100 at 25-26. And Frontier’s Mr. Lee states that, as a policy matter, all providers of voice communications service should contribute to the OUSF, although he acknowledges there are legal issues that must be closely reviewed. FRONTIER/100 at 14.
Indeed, the question of whether the Commission may impose new regulatory obligations on VoIP services raises a number of significant legal and jurisdictional issues. These matters are best left to briefs, but there is no difficulty in concluding that imposing new taxes on VoIP services is a bad idea from a policy and public interest perspective. None of the parties provide any detailed rationale for imposing this new obligation on VoIP providers and the customers of such services. Rather, they offer only cursory comments at best.
As Dr. Ankum and I have shown, providers of VoIP services are increasingly offering affordable, innovative solutions for consumers in Oregon. These new services and technological innovations, in turn, are spurring competition in the entire communications market, providing an impetus for holding down rates in the traditional
wireline sector and promoting investment in broadband infrastructure. The rapid growth of VoIP and other intermodal services — without any subsidies from the OUSF -- has helped fulfill the state's universal service goals, which should reduce, not increase, the need for USF subsidies. It would be counterproductive to expand the program by including new groups of contributors. If anything, the Commission should be reducing the number of firms required to generate subsidy payments as the size of the OUSF shrinks.
There are no valid policy reasons for requiring consumers of new VoIP services to contribute to a high-cost support fund that predominantly benefits incumbent wireline local exchange carriers that VoIP customers have abandoned. Consumers that have chosen to use these advanced applications would be forced to pay higher, unwarranted charges in order to continue supporting the older technologies and services they left behind. Requiring VoIP services to contribute to the OUSF would result in higher prices and discourage other customers from migrating to these new innovative services, to the detriment of the State's economy and its consumers.
In his testimony, Mr. White opines that including revenues from VoIP providers will not greatly increase the revenue base. Staff/100 at 25. However, during discovery, Staff admitted that it has not performed any analysis or evaluation of how much additional revenue would be generated if VoIP services were required to contribute to the fund. Staff Response to Data Request Verizon-Staff 2-13 b. Thus, there is no factual basis for the Commission to find that the impact of such a significant shift in policy would be minimal.
Imposing new fees on VoIP services would deter investment and innovation, at a time when the deployment of an advanced telecommunications infrastructure is critical to supporting Oregon's economic growth. Increasing taxes will result in fewer competitive options and fewer benefits for consumers. For all these reasons, the
Commission should not hamper the continued growth of VoIP services by imposing new fees on the customers of those services.
Q. DOES THIS CONCLUDE YOUR TESTIMONY?
A. Yes.
CERTIFICATE OF SERVICE
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Dated: January 30, 2013
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|
CONTENTS
"One of the Eight." 136
Maine, 8; Colby, 2. 136
Coming Events 137
The Maine Baptist Institute 138
The Classical Association of New England 138
Editorials 139
Debating Society 139
Esperanto 140
Junior Prom. 140
Alumni Notes 140
Campus Chat 140
Y. M. C. A. 141
De Feminis 141
College Chaps
You are Charter Members of our Fashion Club. To you is the Style World indebted for Raiment that is new, distinctive and novel. Now that Mid-Year Exams are over, amble in the hours of ease and stroll thru our smart shop. It's our one desire to make you take notice. With the Styles of the day we are after you. With such classy haberdashery the other shops come after us. Mayhap they will show what we show, but we'll show it first. That's reason enough.
SOLD ONLY BY
H. R. DUNHAM COMPANY
THE STUDENT'S STORE
64 Main Street, Waterville, Maine.
The Gerald
First class in all its appointments. Bath and Telephone in every room.
Special attention given to Banquets and Private Dinner Parties.
G. L. WOODWORTH, Proprietor.
GO TO
Redington & Co.
...FOR...
Furniture, Carpets, Crockery, Upholstering, Etc.
Silver Street, WATERVILLE, ME.
F. C. Tillson
Keeps a nice line of GENT'S FURNISHINGS
Call and see him
Day & Smiley Co.
Contractors and Builders
Jobbing Promptly Attended to. Shop Opposite the City Hall, Front Street.
Vose & Luques
Drug Store
55 MAIN STREET
WATERVILLE TYPEWRITER EXCHANGE
120 MAIN ST., WATERVILLE, ME.
Over Dorr's Drug Store
All kinds of TYPEWRITERS to sell and to rent
HIGH GRADE SUPPLIES
IF IN NEED OF
Fountain Pen, Books
Stationery, or Athletic Goods
Call on
H. L. KELLEY & COMPANY
Cor. Main and Temple Streets
WATERVILLE, ME.
FOUNDATION OF GOOD CLOTHES
A Coat depends upon its Canvas as a house does upon its foundation. Our canvases are made entirely by hand, the material is thoroughly cold-water shrunk and the hair cloth of best quality. Our method tends to keep a coat in shape longer—from puckering or breaking should the wearer get it wet—and adds materially to the life of a coat.
E. S. DUNN & COMPANY, Merchant Tailors
6 SILVER STREET, WATERVILLE, ME.
CONCORD With Ara-Notch
EVANSTON With Buttonhole
THE NEW Arrow Collars FOR SUMMER
15c. each—2 for 50c. Arrow Crafts, 25c.
Cluett, Peabody & Co., Makers.
ELECTRIC SUPPLIES
OF ALL KINDS
Messalonskee Electric Co.
141 MAIN STREET
Waterville, Maine.
When buying
Meats or Fish
REMEMBER THAT McCALLUM'S IS THE PLACE TO TRADE
Globe Steam Laundry
W. G. RAMSDEN, Agent
A. T. & House
G. S. FLOOD & CO.
Shippers and dealers in all kinds of Anthracite and Bituminous Coal.
Also Wood, Lime, Cement, Hair, Pressed Hay, Straw and Drain Pipe.
Coal Yards and Office, Corner Main and Pleasant Sts.
Down Town Office, W. P. STEWART & CO.
Up Town Office, E. L. GOVE.
Winslow Office, ALLEN & POLLARD.
Plains Office, ARTHUR DARVIAU, 83 Water St.
A. G. Spalding & Bros.
The Spalding Trade-Mark
is known throughout the world as a! Guarantee of Quality
are the Largest Manufacturers in the World of Official Equipment
Foot Ball, Athletic Sports and Pastimes
If You are interested in Athletic Sport you should have a copy of the Spalding Catalogue. It's a complete encyclopedia of What's New in Sport and is sent free on request.
A. G. Spalding & Brs.
141 Federal Street, Boston, Mass.
LADIES buy your
New Spring Suits
at BROWN'S
We save you from $2.00 to $5.00 on every suit
By purchasing goods in large quantities directly from the mills and manufacturing a large percentage of our suits in our own workrooms we are able to sell
READY TO WEAR SUITS
at prices which represent a saving as above indicated.
Why Not Investigate.
We always make to order tailored garments of all kinds at very reasonable prices.
F. H. BROWN CLOTHING CO.
EDITH BUILDING, WATERVILLE, ME.
H. G. Hodgkins, D. D. S.
115 Main Street, Waterville, Maine
Telephone 331-14
Dr. G. A. Smith
DENTIST,
173 Main Street, Rooms 206-207-208, Savings Bank Bldg.
WATERVILLE MAINE.
ORDER YOUR
Baseball Gloves
AT THE
College Supply Store
"ONE OF THE EIGHT."
Colby Dramatic Club at City Opera House.
Last Monday evening a crowded house greeted the members of the Colby Dramatic Club as they appeared in the home town with "One of the Eight," the college play for the season. The play was written by Norman Lee Swartout, and lends itself readily to clever impersonation and interpretation,—though parts of it drag a little. Critics have said that if there were dull spots, they were due to the author and not to the boys.
The club opened its season in Fairfield. Since that time it has traveled over a good part of the state, and has presented the play a dozen times, with the result that a finished piece of work was that given to the college community on Monday evening. All the parts were well played reflecting credit upon the individual members of the cast, and none the less so upon Miss Exerine Flood, to whose excellent coaching, the success was due.
Harold Dow as Henry Brooks, the hero of the play, gave a strong, consistent representation of his part. The work of Henry Moor was strong and forcible throughout. He was Bill Carter, the Captain. Jerome P. Fogwell as Lord Chillingworth has been highly praised, and deservedly so. Thomas Packard was fine both as Mr. Brooks and Prof. Nixon. John Dolan as the valet was very good, while Charles Donald, William Weeden, and Merle Rideout assisted in the general success. Robert Walsh deserves praise for his work in presenting the hypnotist, Guy Marks. Mr. Walsh is quite at home on the stage, and always does good work.
The "ladies" were somewhat awkward, which may have been due to the point of view of the audience, but they played their parts so well that this was soon forgotten. Irvin M. Holt made an excellent Mrs. Brooks. Alfred Carpenter as Amy was pleasing, Ervin Chase as Helen Baldwin was interesting, and Crowell Pease as the Servant Bab produced many a laugh.
CAST OF CHARACTERS
| Character | Actor |
|----------------------------|----------------|
| Henry Brooks | Harold Dow, '10|
| Mr. Brooks, his Father | Thomas Packard, '11|
| Mrs. Brooks, his Mother | Irvin Holt, '11|
| Helen Baldwin | Ervin Chase, '13|
| Bab, a servant | Crowell Pease, '10|
| Bill Carter, Captain of the Crew | Henry Moor, '10|
| Lord Chillingworth | Jerome Fogwell, '10|
| Peter, his valet | John Dolan, '12|
| Ned Andrews | Charles Donald, '13|
| Caleb Weston | William Weeden, '12|
| Guy Marks, I.D. | Robert Walsh, '13|
| Mollie Runskool, a Freshman| Merle Rideout, '12|
| Prof. Dixon | Thomas Packard, '11|
| Amy, his Daughter | Alfred Carpenter, '12|
Executive staff: President, Henry B. Moor; Manager, Harold F. Dow; Stage Manager, F. T. Hill; Assistant Manager, R. L. Walsh; Property Manager, Elwin Soule.
MAINE, 8; COLBY, 2.
Colby was defeated by University of Maine, 8 to 2, on Alumni Field, Thursday, Patriots' Day, in a game which was played under adverse conditions of bad weather and wet grounds. Colby's Freshman infield was given a hard trying out and in the face of Maine's hitting streak had a busy two hours. Colby was unable to score after the second inning. Although things
looked hopeful in the sixth when three Colby men got on bases with only one out, but the bottom of the batting list was up, and the best a substitute hitter could do was to send a fly to first, after Reed had flied to second.
In the first inning Smith of Maine grounded to Reed. N. Scales reached first on Bowker's error but was forced out at second by J. Scales. McHale singled, Colby's infield got rattled and J. Scales reached third. Gilpatrick pulled out of the hole by fanning Pond.
In Colby's half, Johnston's error gave first to Frohock. Cary sacrificed. Roy Good singled and McHale threw wild, scoring Frohock. Ralph Good singled with a stiff line drive that was too hot for Johnston and Roy Good came home. Bowker and Sturtevant struck out. Score—Colby, 2; Maine, 0.
In the second, a base on balls, a hit and an error filled the bases. Smith's single scored Johnston and Kiernan. Gilpatrick hit N. Scales and Harlow's error let in Richards and Smith. N. Scales was forced out at third and Pond's big bat stick knocked a nice one to Ralph Good. Colby went out one-two-three.
The Colby infield steadied down and there was no scoring for three innings, though Pond got as far as third in the fifth.
Beach replaced Gilpatrick in the sixth. Two singles, a three-bagger, a wild pitch, and two errors netted three scores for Maine. Colby made a desperate stand in her half. Roy Good walked and took second on Ralph Good's clean single. Bowker flied to center and Roy was on third. But Reed flied to Kiernan and Hunt, after fouling a lot of Richards' best ones, flied to Bearce.
In the seventh Reed's error gave first to Bearce. Johnston flied to Ralph Good but Frohock's throw off Kiernan let in Bearce, making the score—Maine, 8; Colby, 2.
In the eighth and ninth innings, only one Maine man scored, while Beach electrified the spectators with a three-bagger in the ninth, but it was too late to be of service. The score:
| | AB | R | BH | PO | A | E |
|-------|----|---|----|----|---|---|
| Smith, c | 5 | 1 | 3 | 8 | 0 | 0 |
| N. Scales, rf | 4 | 1 | 1 | 1 | 0 | 0 |
| J. Scales, ss | 5 | 1 | 1 | 2 | 1 | 1 |
| McHale, cf | 5 | 0 | 2 | 1 | 0 | 1 |
| Pond, lf | 5 | 0 | 1 | 4 | 0 | 0 |
| Bearce, 1b | 4 | 1 | 0 | 11 | 0 | 0 |
| Johnston, 3b | 4 | 1 | 0 | 0 | 1 | 1 |
| Kiernan, 2b | 5 | 1 | 1 | 1 | 1 | 0 |
| Richards, p | 5 | 2 | 1 | 0 | 3 | 0 |
Totals | 42 | 8 | 10 | 27 | 6 | 3 |
| | AB | R | BH | PO | A | E |
|-------|----|---|----|----|---|---|
| Frohock, 2b | 5 | 1 | 2 | 3 | 2 | 2 |
| Cary, c | 2 | 0 | 0 | 5 | 1 | 0 |
| Roy Good, rf | 3 | 1 | 1 | 2 | 0 | 0 |
| Ralph Good, cf | 4 | 0 | 2 | 3 | 0 | 1 |
| Bowker, 3b | 4 | 0 | 0 | 3 | 0 | 1 |
| Sturtevant, lf | 3 | 0 | 0 | 0 | 0 | 0 |
| Reed, 1b | 4 | 0 | 0 | 9 | 0 | 2 |
| Harlow, ss | 2 | 0 | 0 | 2 | 0 | 3 |
| Blake, ss | 1 | 0 | 0 | 0 | 1 | 0 |
| Gilpatrick, p | 1 | 0 | 0 | 0 | 4 | 0 |
| Beach, p | 2 | 0 | 1 | 0 | 3 | 0 |
| *McGhee | 1 | 0 | 0 | 0 | 0 | 0 |
| **Hunt | 1 | 0 | 0 | 0 | 0 | 0 |
Totals | 33 | 2 | 6 | 27 | 11 | 9 |
*Batted for Gilpatrick in fifth.
**Batted for Harlow in sixth.
Innings | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 |
Maine | 0 | 4 | 0 | 0 | 0 | 3 | 1 | 0 | 0 | 8 |
Colby | 2 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 2 |
Earned run—Maine, 1. Sacrifice hits—Cary, 2. Stolen bases—McHale, Bearce, 2. Three-base hits—J. Scales, Beach. Base on balls—off Richards, 2; off Gilpatrick, 2. Struck out—By Richards, 5; by Gilpatrick, 2; by Beach, 1. Wild pitch—Beach. Passed ball—Cary. Hit by pitcher—N. Scales. Umpire—Allen of Fairfield. Time, 2.05.
COMING EVENTS.
April 29—Junior Prom.
April 39-30—Meetings of the Classical Association of New England.
April 30—Preliminaries Goodwin Prize Speaking Contest.
May 7—Dual Track Meet with Bates.
May 7—Bates at Lewiston.
May 9-12—2nd Baseball trip.
May 21—Sophomore Prize Declamation.
May 14—N. H. State at Waterville.
May 14—Maine Intercollegiate Track Meet.
May 28—Hamlin Prize Speaking Contest.
THE MAINE BAPTIST INSTITUTE
Colby college and the Maine Baptist Missionary Convention co-operating held in Waterville last week the Maine Baptist Institute, thereby giving an unusual opportunity to the student body, the visitors and the people of the city, of hearing a number of addresses and lectures on live topics of the day. One has but to glance over the list of speakers and subjects in the following program in order to realize something of what a treat this Institute has been to every one who attended.
The Program:
Monday. 7.30 P. M. Address, President Arthur J. Roberts. After the address an informal reception was held in the church vestries.
Tuesday. 8.45. Quiet Hour Service, Colby College Chapel. Rev. J. A. Francis, D.D., pastor of Clarendon Street church, Boston.
10.45. Welcome and Greeting, Rev. Edwin C. Whittemore, D.D. Lecture, Conquest of Christ, Rev. O. P. Gifford, D.D., Brookline, Mass. Followed by Discussion.
2.30. Lecture, The Bible and Modern Thought. Rev. George E. Horr, D.D., President Newton Theological Institution.
3.30. Address. The Emancipation of Beauty, Rev. George E. Sauer, Bangor.
4.30. Practical Topic, The Church and Evangelism, Rev. M. Joseph Twomey, Portland. Followed by discussion.
7.30. Second Lecture, Christ’s Clinic, Dr. Gifford
Wednesday. 8.45. Quiet Hour Service, College Chapel, Dr. Francis.
10.30. Third Lecture, The Bible and the Practice of Virtue, Dr. Horr. Followed by discussion.
2.30. Third Lecture, The Church and the Social Crisis, Dr. Gifford.
3.30 Fourth Lecture. The Bible and the Spiritual Life, Dr. Horr.
4.30. Practical Topic, The Church and the Young People, Miss Margaret Koch.
7.30. Music.
8.00. Fourth Lecture, Winning Souls, Dr. Gifford
Thursday. 8.45. Quiet Hour Service, College Chapel, Dr. Francis.
10.30. Conference Hour. The Present Opportunity of Maine Baptists and Free Baptists.
2.30. Lecture, The Essence of Primitive Christianity. (1) The Central Thought of Christ, Rev. A. W. Anthony, D.D., Prof. Christian Literature and Ethics, Bates College.
3.30. Address, Men and the King’s Business, Rev. Frank L. Wilkins, D.D., Portland.
4.30. Practical Topic. The Church and Boyhood, Rev. George W. Hinckley.
7.30. Lecture, The Essence of Primitive Christianity, Dr. Anthony. (2) The Historic Mission of Paul. Business.
THE CLASSICAL ASSOCIATION OF NEW ENGLAND
The Maine Section.
The fourth annual meeting of the Maine Section of the Classical Association of New England will be held in Waterville this coming Friday afternoon and Saturday forenoon. The meetings are to be held in Chemical Hall, and invitation is extended to all interested students to attend any or all parts of the program which is as follows:
Friday Afternoon, April 29
3.15-3.30. Words of Greeting.
Arthur Jeremiah Roberts of Colby College.
3.30-4.00. A Report of the Recent Meeting, at Hartford, of the Classical Association of New England.
Professor Frank E. Woodruff, Bowdoin College.
4.00-4.30. The Teaching of Virgil.
Professor Kenneth C. M. Sills, Bowdoin College
Note: Professor Sills has been asked to lead a discussion on the above subject, taking as a starting point his article in The Classical Journal for January, 1910, entitled “The Teaching of Virgil.” Reprints of this article have been mailed by the Secretary to all members of the Association in Maine.
4.30-4.40. Brief Business Meeting.
4.40-5.40. The Mimes of Herondas.
Professor Clarence H. White, Colby College.
6.15 Dinner at Foss Hall.
All in attendance are cordially invited to be present.
8.00-9.15. The New Latin Requirements.
Professor John C. Kirtland, Phillips Exeter Academy. With discussion.
Saturday forenoon, April 30
9.30-10.00. A Report from the Meeting of College and University Teachers of Latin, Held at Cambridge, April 8.
Professor George Davis Chase, University of Maine.
10.00-10.15. De Moribus.
Professor Julian D. Taylor, Colby College
10.15-11.15. Modern Jokes of an Ancient Wit.
Professor Paul Nixon, Bowdoin College
11.15 Business Meeting with Election of Officers.
At the risk of being a bit ungracious may the ECHO express the wish that next year outside interests—that is, interests not actually a part of college activity—will make less insistant demands upon the time of Colby students than has been the case this year! The four years of a college course are four precious years of preparation for one’s life-work. Whatever hinders the thoroughness of that preparation now, lessens the efficiency of the student throughout his lifetime. College students are constantly requested to “help out” at entertainments and social events of various kinds, and somehow the fact that they are college students is taken as a reason why they ought not to refuse. Occasionally—and we are speaking not alone of Waterville or Colby—college bred pastors and Sunday school superintendents are transgressors in this regard. We concede the best of intentions, but the results are sometimes disastrous. College life at best has far too many distractions. What with athletic, social, musical, dramatic, and other activities, college life is a mixture in which “book learning,” like the salt of the parable, runs a constantly increasing risk of losing its savour.
The path of those who are trying to “reform” the game of football is not strewn with roses. One athlete already has sustained several broken ribs in spring practice under the proposed new rules of 1910. Incidentally it appears that the members of the rules committee are swinging into agreement with the ideas of Walter Camp of Yale, which last fall were pronounced revolutionary. On Friday of this week the final session of the rules committee will open, after a month’s testing of the provisional rules adopted in March.
DEBATING SOCIETY.
There was only a small attendance at the meeting of the Debating Society which was held in Chemical Hall on Thursday evening. Nevertheless those who were present listened to a very interesting discussion on whether or not Colby College should move from her present location. The affirmative was supported by Clark, ’11, and the negative by Shepherd, ’11. Both speakers gave very original speeches and revelled in wit. The audience was kept in a gale of laughter throughout the debate. Much credit is due to both speakers, for they were called upon at the last moment to take part.
The next debate will be held on Thursday, May 5, in Memorial Hall. The subject will be direct primaries, and the contestants will be taken from Mr. Libby’s class in Argumentation.
Affirmative, Vail, ’11; Carter, ’11; Ramsden, ’10.
Negative, Higginbotham, ’11; Tidd, ’10.
Let there be a large attendance at this debate for the subject of Direct Primaries is one with which every college man should be familiar.
ESPERANTO.
Last Saturday evening, Mr. Arthur Baker of Chicago, editor of the American Esperantist, gave an interesting lecture on Esperanto and an easy lesson in the language. His remarks were witty from beginning to end. Mr. Baker described his own experiences with the language while traveling in Europe. He then briefly described the language, and gave a sort of a preliminary lesson on the study of it. This is the second lecture on Esperanto which has been given at the chapel this year. By these lectures quite a little interest has been aroused in the study of the language.
DEBATERS’ FEAST.
The contestants in the Murray Prize Debate were given a spread in Hig’s room on Thursday evening after the meeting of the Debating Society. After the feast the lights were turned down, the fire lit, and Old King Wit reigned supreme.
Both sides in the debate were present, but the subject of the debate was barred from the conversation. Besides the debaters there were present, Mr. H. C. Libby, who had the Murray Debate in charge, Ray C. Carter, ’11, D. W. Clark, 11, and Andrew Young, ’13.
The social time will be long remembered by those who were present, for as one man said, “I never laughed so much in all my life.” The gathering adjourned at a late hour after a vote of thanks to Hig—and the donor of the feast.
JUNIOR PROM.
One of the social events of the year is to be held this week, and there is every indication that it will be a very successful affair. The Executive Committee of both divisions have been at work for several weeks making preparations for the event.
It is very necessary that a large number of students support the Junior Class in order to make the Prom. a success in every way. The expense incurred by the class is large and it is the hope of the committee to come out with a clean slate financially. The underclassmen should especially lend their support by their presence, for soon the burden will rest upon them.
The music will be of the best, the decorations which are in charge of the Ex. Committee of the Women’s Division will of course, be in perfect taste, and the dance orders are card cases finished in class colors.
If any of the undergraduates know of any friends of the college who have not received invitations they will confer a kindness upon the committee by notifying them.
ALUMNI NOTES.
’81. Rev. Frederic M. Gardner, recently of Boston, will act as pastor of the Baptist Church at Southern Pines, N. C., for nine months of the year.
’93. Rev. Joel B. Slocum, pastor of the Greenwood church, Brooklyn, has been elected president of the Baptist Ministers’ Conference of Greater New York, one of the largest in the country.
’97. W. H. Holmes, Superintendent of Schools at Westerly, R. I., is spending a “Sabbatical year” of absence in graduate work at Clark University, Worcester, Mass.
’99. Professor William O. Stevens and three other professors in the English Department of the Naval Academy at Annapolis have just issued a history of the Navy, covering the period from 1775 to 1909.
’04. Allen Clark is salesman with the Barber-Coleman Co., Textile Machinery, Boston.
’05. Thomas J. Knowles has been transferred from West Point laboratory to Bessmay, Texas.
CAMPUS CHAT.
Dow, ’10, returned from Boston on Saturday afternoon. On Friday he appeared in two productions of “As You Like It” given by Boston University, where Dow attended college before coming to Colby.
The musical clubs gave a concert last Monday evening at Skowhegan.
Mr. Ruch, the new track coach in the field events, arrived on the campus last Friday. Mr. Ruch is a graduate of Harvard in last year's class, and was a member of the varsity track team.
James K. Romeyn conducted the services in the Baptist church, Shawmut, last Sunday.
Rev. W. O. Ayer, '68, and Rev. H. L. Hanson, '99, visited the D. K. E. House last week.
Higginbothom, '11, preached Sunday afternoon and evening at Cooper's Mills, Whitefield.
Rev. C. Raymond Chappell, pastor of the First Baptist Church, Bath, Me., spent Tuesday and Wednesday with Higginbotham, '11, at the A. T. O. House.
Y. M. C. A.
The cabinet met in the Association Rooms on Tuesday evening at 7.00 o'clock. The work of the year was outlined and the committees given their work to do. The important thing now is work on the handbook, and preparations for next fall.
J. L. McConaughy, Secretary of Bowdoin Y. M. C. A., gave an excellent lecture in the college chapel on Tuesday evening, April 26, to an interested audience. His subject was Northfield, and was greatly beautified by many excellent slides.
The Association is planning to have a concert in the Baptist Church, given by the Glee Club, for the purpose of clearing off the small debt owed by the association.
It is hoped that Colby will be represented at Northfield this coming summer by a large delegation. Last year we had eight present and were given the privilege of singing our song for the first time in the history of the college. It is the aim of the association to have at least as many there this year, and if possible to have more.
Next June, Amherst, Columbia, Harvard, and Pennsylvania will hold an aeronautic meet. At the University of Oregon they are considering the establishment of a chair of aviation.
DE FEMINIS.
LILLIAN L. D. LOWELL, Editor.
VERENA H. CHANEY, Manager.
Several of the ministers attending the Baptist Institute in the city last week kindly consented to lead the Women's chapel services. On Wednesday Mrs. Treworgy and Miss Givinn spoke; Thursday Dr. Francis gave a little talk on the Lord's Prayer; Friday a short address was given by Miss Margaret Koch and prayer was offered by Rev. Mr. Bonsfield.
Mrs. Burton H. Winslow of Saco, spent the first of last week at Foss Hall with her daughter Clara, '13.
Susie Wentworth, '12, has been entertaining her sister Marian Wentworth, of Cumberland Mill.
Agnes Snow, '13, spent Saturday of last week with her brother, Prof. Snow of Bowdoin.
The appointments for Sophomore declamation in the Women's Division are: Lillian M. Carll, Adelaide L. Klein, Florence S. Carll; Margaret Buswell, Louise Powers, Ruth I. Hamilton.
Miss Rose M. Richardson, '05, who has been assistant in the Freeport High School, has received a civil service appointment in the Census Bureau at Washington.
The new officers of the Christian Association for the year 1910-1911 have recently been elected. President, Laura Day; Vice-President, Lillian Carll; Secretary, Ruth Hamilton; Treasurer, Louise Ross.
ATHLETIC
At Yale forty men have already reported for football practice.
Princeton's 1910 team will be coached by Roper, last year with the University of Missouri. His salary will be $5,000.
Fraternity men at Michigan have signed a pledge to abolish the "treating" system during the rest of their college course.
Ex-president Roosevelt has been elected president of the Harvard Alumni Association to succeed the Hon. Charles W. Eliot.
The Medico-Chirurgical College of Philadelphia
Affords Unusual Opportunities for the Study of
MEDICINE, DENTISTRY, PHARMACY and PHARMACEUTIC CHEMISTRY
If your chosen profession is along these lines no better preparation for it can be had than at this College. It is advisable for every young man to investigate the merits and facilities of The Medico-Chirurgical College before he decides definitely upon any particular one.
The Faculty has consistently maintained a reputation for ability and modern methods of teaching, and includes many authors of widely used text-books. The College is situated in the midst of a large manufacturing district. The hospital and accident cases from this source are extensive and varied in character and, with the largest and finest Clinical Amphitheatre in the world and modern and thoroughly equipped Laboratories and two Hospitals, afford unsurpassed clinical facilities.
In each department degrees are granted at the end of carefully graded courses. Students have the advantage of Practical Instruction, Free Quizzes, Limited Ward Classes, Modern Seminar Methods and Clinical Conferences. Fourteen Laboratories. Upon presentation of proper credentials students from other recognized colleges are admitted to higher standing.
Address the Dean of the department in which you are interested for illustrated catalogue, describing the course in full and containing information as to fees, etc.
Coming down town on the right is a store at 48 Main Street. No drugs on the Market but what you can find at this Drug Store.
Exclusive agent for the Crocker Fountain Pen and the Keen Kutter Safety Razors both are warranted.
Have you seen the new brown sepia cards of Colby College complete view on one card. New postal cards constantly in stock.
WILLARD R. JONES, Druggist
Tel. 345-13 48 Main Street.
The Specialty Store
Coats, Suits, Millinery, Corsets, Gloves, Waists, and Underwear.
Cloutier Brothers
GOOD PRINTING
Fairfield Publishing Company
The College Printers
E. H. EMERY
LEADING MERCHANT TAILOR
Particular Attention Given to College Trade
12 MAIN ST., WATERVILLE
College Pharmacy
Opposite Athletic Field.
Soda, Cigars and Confectionery
College Punch.
HOLD A KEEN KUTTER SAFETY RAZOR
"Any Old Way"—You Can't Shave Wrong
That's a great point in favor of the Keen Kutter Safety Razor—it isn't necessary to hold it in any particular way to get a good shave; if you hold it so it will shave at all, it will shave right.
The Keen Kutter "Safety" gives a true sliding stroke, goes together in the tenth of a "jiffy" and works equally well, up stroke or down. It's the one razor made that's perfectly adapted to easy shaving.
Comes in a neat case, fully guaranteed, with 12 ready strapped blades.
Silver plated in Genuine Black Leather Case, $3.50.
Gold plated in Genuine English Pigskin Case, $5.00.
The best "pocket piece" a man can carry is a Keen Kutter Pocketknife.
"The Recollection of Quality Remains Long after the Price is Forgotten."
Trade-Mark Registered. —E. C. Simmons.
If not at your dealer's write us.
SIMMONS HARDWARE COMPANY, Inc.
St. Louis and New York, U. S. A.
BOSTON UNIVERSITY SCHOOL OF LAW
Three years' course; advanced courses for the Master's Degree. College graduates are permitted to take the course for the Bachelor's Degree in two years, provided they obtain high standing. Special scholarships for college graduates. Address
Dean MELVILLE M. BIGELOW,
11 Ashburton Place, Boston, Mass.
WE WANT AGENTS
local and traveling. Employment the whole year if desired. Outfit free. Pay weekly. Write for terms.
HONER N. CHASE & Co.,
Nurserymen, Auburn, Me.
60 YEARS' EXPERIENCE
PATENTS
TRADE MARKS
DESIGNS
COPYRIGHTS &c.
Anyone sending a sketch and description may quickly ascertain our opinion as to whether an invention is probably patentable. Communications strictly confidential. HANDBOOK on Patents sent free. Offer special inducements to secure patents. Patents taken through Munn & Co. receive special notice, without charge, in the Scientific American.
A handsomely illustrated weekly. Largest circulation of any scientific journal. Terms, $3 a year; four months, $1. Sold by all newsdealers.
MUNN & CO., 361 Broadway, New York
Branch Office, 625 F St., Washington, D. C.
North End Market
Groceries, Tea and Coffee
E. McLAUGHLIN, 11 Maple St.
HOSIERY AND UNDERWEAR
The kinds that fit The kinds that wear
The kinds that are sold at a fair price
Try us and see
THE WARDWELL-EMERY COMPANY
SAVES TIME
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or Sample Pair, Cotton, 25c., Silk, 50c.
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GEORGE FROST CO.,
MAKERS, BOSTON
OVER 30 YEARS THE STANDARD
ALWAYS EASY
L. T. BOOTHBY & SON CO.
INCORPORATED
GENERAL INSURANCE
176 Main Street,
Waterville, Me.
DR. E. H. KIDDER
DENTIST
148 MAIN ST.
PHONE 307-3
Waterville, Maine
Cut Flowers
MITCHELL & CO.
FLORISTS.
144 Main St. Waterville, Me.
Boston University
METROPOLITAN ADVANTAGES OF EVERY KIND
W. E. HUNTINGTON, President.
College of Liberal Arts. Opens Sept. 17.
New Building, Enlarged Facilities, Science Laboratories and Gymnasium.
Address, The Dean, 688 Boylston St.
School of Theology. Opens Sept. 16.
Address, The Dean, 72 Mt. Vernon St.
School of Law. Opens Oct. ...
College Graduates of High rank may take the three years' course in two years.
Address, The Dean, Ashburton Place.
School of Medicine. Opens Oct. 1.
Address, The Dean, 302 Beacon St.
Graduate Department. Opens Sept. 17.
Address, The Dean, 688 Boylston St.
Bowdoin College.
MEDICAL DEPARTMENT.
The Eighty-ninth Annual Course of Lectures will begin October 20, 1910, and continue eight months.
Four courses of lectures are required of all who matriculate as first-course students.
The courses are graded and cover Lectures, Recitations, Laboratory work and Clinical Instruction.
The third and fourth year classes will receive their entire instructions at Portland, where excellent clinical facilities will be afforded at the Maine General Hospital.
For catalogue apply to
ALFRED MITCHELL, M. D., Dean.
Brunswick, Me., Sept. 1909.
MISSION FURNITURE
FILLS THE DEMAND FOR STUDENTS' USE
We have selected strong values in weathered oak mission furniture for your needs. Always good values in draperies and couch covers.
ATHERTON FURNITURE CO.
21 MAIN STREET, WATERVILLE, MAINE
WATERVILLE AND FAIRFIELD RAILWAY AND LIGHT COMPANY
116 Main St., Waterville, Me.
Electric Supplies, Fixtures, Household Electric Devices, Electric Wiring.
EVERYTHING ELECTRICAL.
S. L. PREBLE
66 Main St., Waterville, Me.
College Photographer
Dr. H. W. Mitchell
DENTIST
Edith Building
163 Main Street Waterville, Me.
Office Hours, 8 to 12 a.m., 1 to 5:30 p.m.
Telephone 343-3
STUDENTS!
WHEN THERE IS TROUBLE with your eyes or glasses come to me.
L. V. SOMMES. Optical Specialist
60 Main Street, Waterville
Kennison & Newell
Painters and Paper-Hangers
Paper Hangings, Room Mouldings, Paints, Oils, Varnishes and Glass.
76 Temple Street.
Dress Suits and Tuxedos
We make a specialty of these garments to order, and offer you a large stock of fine worsteds to select from. Pressing and repairing.
L. R. BROWN, Cash Merchant Tailor
95 MAIN STREET
LOUD'S
The Place to Buy Shoes
REPAIRING
137 MAIN ST.
NOTICE TO COLBY STUDENTS
We have lately added a Furniture Department to our store, and are in a position to furnish your room complete—Furniture, Draperies, Rugs, Lace Curtains, Chafing Dishes, Smokers' Sets, etc.
L. H. Soper Co., 56 Main Street, Waterville, Me.
University of Maine School of Law
Located at Bangor, maintains a three years' course. Ten resident instructors and three non-resident lecturers. Tuition, $70.00 a year; diploma fee only other charge. For particulars address,
DEAN W. E. WALZ, Bangor, Maine.
GEO. A. KENNISON
Fancy Groceries
Flour, Grain, Hay, Straw, Garden and Field Seeds.
Main Street. 'Phone 219-11.
UNIVERSITY OF VERMONT,
COLLEGE OF MEDICINE.
The course of study in this department of the university consists of four sessions of seven months each.
The fifty-seventh annual session of the College will open Tuesday, November 2, 1909, and continue eight months.
The curriculum includes instructions in all the branches of Medicine taught in a first-class medical school.
The new building furnishes unexcelled facilities for the modern teaching of medicine.
The location of the university is admirable. The expense is moderate.
Write for catalogue. Address
J. N. JENNE, M. D., Sec., Burlington, Vt.
ELMER W. ALLEN
Fire Insurance Agent
7x Temple Street, Waterville
F. A. HARRIMAN
Jeweler
52 Main Street, Waterville
WRIGHT & DITSON
Catalogue of Athletic Goods
is out, and should be in the hands of everyone interested in sports
The Foot Ball, Basket Ball and Hockey Goods are made up in the best models, the best stock and are official.
Everyone admits that the Wright & Ditson Sweaters, Jerseys, Shirts, Tights and Shoes are superior in every way. Our goods are gotten up by experts who know how to use them.
CATALOGUE FREE
WRIGHT & DITSON
344 Washington Street, Boston, Mass.
18 West 30th Street New York City
Harvard Square Cambridge, Mass.
EVERY DAY
The People's Laundry call at the "Bricks" for your laundry every morning. Nathan H. Garrick, '10, and Guy W. Vail, '11, are the agents.
The Corner Store
The Only Complete Department Store in Central Maine Having Five Complete Stores under one Roof:
Millinery Store, Coat & Suit Store, Dry Goods Store, Clothing Store, Boot & Shoe Store.
The Famous Hart, Schaffner & Marx Clothes, The Famous Regal Shoes, Coats, Suits, Millinery, Dress Goods, Trimmings, etc.
The Corner Store
Successors to Clukey & Libby Co.
WATERVILLE, MAINE
WOULDN'T IT BE YOUR BEST POLICY TO PATRONIZE THOSE WHO PATRONIZE YOU?
We make College Clothes to order: and also carry a most complete line of up-to-date ready made.
1910 Spring Samples are now in, and ready for your inspection.
WALKER CLOTHING COMPANY
Up-to-date Clothiers and Outfitters to Men and Boys
46 Main Street, Waterville, Me.
Brown & Sturtevant
Meats, Fish and Fancy Groceries
129 Main Street, Waterville, Maine.
FREDERICK E. MOORE
KEEPS A COMPLETE LINE OF TEXT BOOKS
Athletic Goods, Sweaters, Gymnasium Supplies, Etc.
MILEAGE BOOKS ALWAYS ON HAND.
154 MAIN STREET
WE RECOMMEND
The WATERVILLE STEAM DYE HOUSE
Dyeing, Cleaning, Pressing
COMMON STREET, NEAR POST OFFICE
Horace Purinton Co.
Contractors AND Builders
Manufacturers of Brick
Estimates furnished on application.
Head office at Waterville, Maine
Ticonic National Bank
GEO. K. BOUTELLE, President.
HASCALL S. HALL, Cashier.
Transacts a general banking business.
|
Section 2038: Present Economic Benefit v. Technical Vesting of Title or Estates
Frank Berndt
Follow this and additional works at: https://scholarlycommons.law.case.edu/caselrev
Part of the Law Commons
Recommended Citation
Frank Berndt, Section 2038: Present Economic Benefit v. Technical Vesting of Title or Estates, 13 W. Rsrv. L. Rev. 737 (1962)
Available at: https://scholarlycommons.law.case.edu/caselrev/vol13/iss4/8
This Note is brought to you for free and open access by the Student Journals at Case Western Reserve University School of Law Scholarly Commons. It has been accepted for inclusion in Case Western Reserve Law Review by an authorized administrator of Case Western Reserve University School of Law Scholarly Commons.
Section 2038: Present Economic Benefit v. Technical Vesting of Title or Estates
The Statute
Introduction
Section 2038 of the 1954 Internal Revenue Code, regarding revocable transfers, has been unduly neglected by the periodicals, but not by the courts. Tax planners are apparently keeping mum, yet the litigation and case law are profuse and economically significant. Indeed, the creation of an inter vivos trust, revocable or irrevocable, can scarcely be attempted without artfully acknowledging section 2038. This note will analyze the statute and examine in detail some problems of special concern.
Section 2038 of the Code gathers for the gross estate the value of all property transferred, excluding real property located outside of the United States:
To the extent of any interest therein of which the decedent has at any time made a transfer (except in case of a bona fide sale for an adequate and full consideration in money or money's worth), by trust or otherwise, where the enjoyment thereof was subject at the date of his death to any change through the exercise of a power (in whatever capacity exercisable) by the decedent alone or by the decedent in conjunction with any other person (without regard to when or from what source the decedent acquired such power), to alter, amend, revoke, or terminate, or where any such power is relinquished in contemplation of decedent's death. (Emphasis added.)
Assume that two inter vivos trusts were created. Trust A was created in a jurisdiction where trusts are made revocable by virtue of state law. In Trust A the decedent granted to himself and a corporation, as co-trustees, certain property the income of which was to be payable to his wife for her life and upon her death corpus was to be distributed to his
---
1. Commissioner v. Estate of Holmes, 326 U.S. 480 (1946), and Lober v. United States, 346 U.S. 335 (1953), have both expressly pointed out that section 2038 of the Code is more concerned with present economic benefit than with the technical vesting of title or estates.
2. In recent years only two significant articles have appeared which probe in depth the scope of section 2038: Pedrick, *Grantor Powers and Estate Taxation: The Ties that Bind*, 54 Nw. U.L. Rev. 527 (1959), and Gray & Covey, *State Street — A Case Study of Section 2036(a)(2) and 2038*, 15 Tax L. Rev. 75 (1959). Both, however, are principally confined to a discussion of the adequate external standard doctrine of 2038 law. The cases collected in the services, on the other hand, are beyond counting. See generally I CCH Fed. Est. & Gift Tax Rep., § 1475.
3. Int. Rev. Code of 1954, § 2038(a)(1) [hereinafter cited as Code §].
two children. In this trust, the decedent-trustee reserved to himself the following powers which rendered the estate taxable: (1) to revest himself with beneficial ownership,\(^4\) (2) to shift beneficial interests among the designated beneficiaries,\(^5\) (3) to designate new beneficiaries,\(^6\) (4) to shift beneficial interests among others than the designanted beneficiaries,\(^7\) (5) to accelerate beneficial interests among named beneficiaries,\(^8\) and (6) to appoint by will or to change shares by will.\(^9\)
Trust B, on the other hand, was created in a jurisdiction where inter vivos trusts are not made revocable by virtue of state law. In Trust B the decedent created an irrevocable inter vivos trust, to be administered solely by a corporate trustee, income payable to his wife for life, and upon her death corpus to be distributed to his two children. By virtue of the trust indenture the following powers were created and no tax liability was incurred.
(1) The trustee had the sole power to revoke the trust or to return any part of it to the grantor.\(^{10}\)
(2) The grantor could appoint a new trustee in the event of the resignation of the original trustee.\(^{11}\)
(3) The grantor retained the right to be consulted in determining investment policies.\(^{12}\)
(4) The grantor retained the right to make additions to corpus.\(^{13}\)
Section 2038 provides that where the enjoyment of the property transferred is subject to a power in the decedent-grantor to alter, amend, revoke, or terminate at the date of his death, the value of the property transferred is includible in the decedent-grantor's gross estate. Therefore, any of the six powers reserved by the decedent-trustee in Trust A, standing alone, would be sufficient to render the property transferred taxable under section 2038.\(^{14}\) On the other hand, the four powers created and reserved in Trust B are not sufficient to alter, amend, revoke, or terminate
---
4. Reinecke v. Northern Trust Co., 278 U.S. 339 (1929). For a general background for footnotes 4 through 13 see the 2038 CCH explanation in 1 CCH Fed. Est. & Gift Tax Rep. § 1475.
5. Union Trust Co. v. Driscoll, 138 F.2d 152 (3d Cir. 1943), cert. denied, 321 U.S. 764 (1944).
6. Porter v. Commissioner, 288 U.S. 436 (1933).
7. Union Trust Co. v. Driscoll, 138 F.2d 152 (3d Cir. 1943).
8. Jennings v. Smith, 161 F.2d 74 (2d Cir. 1947).
9. Commissioner v. Chase Nat'l Bank, 82 F.2d 157 (2d Cir.), cert. denied, 299 U.S. 552 (1936).
10. Treas. Reg. § 20.2038-1(a)(3) (1958) [hereinafter cited as Reg. §].
11. United States v. Winchell, 289 F.2d 212 (9th Cir. 1961).
12. Estate of Henry S. Downe, 2 T.C. 967 (1943).
13. Central Trust Co. v. United States, 167 F.2d 133 (6th Cir. 1948).
14. See cases cited in notes 4 through 9 supra.
Trust B so as to make the property transferred includible in the decedent-grantor's gross estate under section 2038.\textsuperscript{15} If, however, Trust B had been created in a jurisdiction in which inter vivos trusts were made revocable by virtue of state law, the entire value of the property transferred would be includible under this section.\textsuperscript{16} Thus, the taxable power to alter, amend, revoke, or terminate is not invoked under the statute when (1) someone other than the decedent-grantor revokes or terminates; (2) the revocation or termination is contingent upon the happening of a certain event; (3) the alteration or amendment may take form solely by virtue of the grantor's suggestions regarding investments or administration; or (4) the grantor reserves the right to alter or amend by adding to corpus. The simple distinction between the two trusts is that in Trust A the decedent-trustee reserved for himself all of the significant powers which could affect economic interests, while in Trust B the decedent-grantor reserved for another the significant powers, only retaining an inconsequential economic power or one that could only operate to the advantage of the beneficiaries. In other words, these two trusts distinguish, basically, between what is and what is not a sufficient reserved power to invoke taxability under section 2038 of the Code.
\textit{Historical Background}
Prior to 1924 revocable transfers were not made specifically taxable by statute, but from 1916 to 1924 they were gathered into the gross estate under the possession or enjoyment section of the Code.\textsuperscript{17} Transfers intended "to take effect in possession or enjoyment at or after death" were held to embrace revocable transfers made in trust or otherwise.\textsuperscript{18} This statute was held to have a retroactive reach in a case decided in 1929. \textit{Reinecke v. Northern Trust Company}\textsuperscript{19} concerned an inter vivos revocable trust created prior to the enactment of the possession or enjoyment section of the Code which was effective between 1916 and 1924. When an estate tax was assessed against the trust under this section, it was contended that the tax was unconstitutional and void because it was retroactive. The Court, however, held that as the power of revocation was terminable only upon the transferror's death it would not be complete until his death; that as the transferror was still living subsequent to 1916, the year of enactment of the statute, it was not retroactive as to him. The date of death rather than the date of the creation of the trust determined the applicability of the statute.
\begin{itemize}
\item[15.] See cases cited in notes 10 through 13 \textit{supra}.
\item[16.] Vaccaro v. United States, 149 F.2d 1014 (5th Cir. 1945).
\item[17.] See discussion of sections 401 and 402 of the Revenue Act of 1921 in Reinecke v. Northern Trust Co., 278 U.S. 339 (1929).
\item[18.] \textit{Ibid.}
\item[19.] 278 U.S. 339 (1929).
In 1924 revocable transfers were made specifically taxable.\textsuperscript{20} In 1936 the statute was amended and took its present form.\textsuperscript{21} In fact there are today two sections of the statute, section 2038(a)(1) which is applicable to transfers made after June 22, 1936, and section 2038(a)(2) which is applicable to transfers made prior to June 22, 1936, and which embodies the provisions of the 1924 statute.
The amendments of 1936 were prompted by the Supreme Court's decision in \textit{White v. Poor},\textsuperscript{22} rendered in 1935. In that case the decedent had created a revocable inter vivos trust with herself as one of the trustees. She resigned as trustee, but later, upon resignation of another trustee, she once again assumed that position by virtue of a vote made by the remaining trustees. The Court held the trust not includible in the gross estate on the ground that her power of control over the enjoyment of the transferred property had not been retained by her but rather had been conferred upon her by action of the other trustees.
Following the decision in \textit{White}, the statute was amended in three places.\textsuperscript{23} The amendment provided that the power held by the decedent at the date of death, "in whatever capacity exercisable," to alter, amend, revoke, or "terminate" would render the estate taxable "without regard to when or from what source the decedent acquired such power." Later in \textit{Jennings v. Smith}\textsuperscript{24} the phrase "in whatever capacity exercisable" was held to be declaratory of existing law rather than a substantive change. Likewise, the word "terminate" was not held to be a substantive change.\textsuperscript{25} The third alteration, however, represented a substantial change and was a direct reaction against the decision in the \textit{White} case.
Today, transfers made prior to June 22, 1936, in which the decedent-grantor acquires a measure of control by appointment rather than by retention will still be governed by the \textit{White v. Poor} rule.\textsuperscript{26} Transfers made after that date, however, must comply with the statutory language embodied in the phrase "without regard to when or from what source the decedent acquired such power."\textsuperscript{27} In other words, if the transfer was made after June 22, 1936, after-acquired powers over the enjoyment of the trust property by the decedent-grantor will render the estate taxable under section 2038.
\begin{itemize}
\item[20.] See Reg. § 20.2038-1(d) (1958).
\item[21.] Revenue Act of June 23, 1936.
\item[22.] 296 U.S. 98 (1935).
\item[23.] \textsc{Code} § 2038(a) (1).
\item[24.] 161 F.2d 74 (2d Cir. 1947).
\item[25.] Commissioner v. Estate of Holmes, 326 U.S. 480 (1946).
\item[26.] \textsc{Code} § 2038(a) (2).
\item[27.] \textsc{Code} § 2038(a) (1).
The Taxable Powers: Alter, Amend, Revoke, Terminate
Where the decedent, at the date of his death, has retained the power to alter, amend, revoke, or terminate a transfer of property so as to affect the enjoyment of that property for the benefit of himself or another, the value of the property transferred will be includible in his gross estate.\(^{28}\) The reach of these four powers affecting enjoyment in the aggregate is extensive, and when it is remembered that the existence of any one of the four powers will invoke taxability under the statute, respect for the statute is specially called for.\(^{29}\)
These taxable powers affecting enjoyment have been held to embrace a wide variety of transfers. Thus, broadly classified, a transfer in which the following powers have been reserved by the grantor have rendered the transfer taxable: (1) the power to the grantor to vest himself with beneficial ownership, (2) the power to shift interests among designated beneficiaries, (3) the power to change beneficiaries, and (4) the power to accelerate beneficial interests.
**Power to Revoke**
There has never been any question about the power to revoke. In *Reinecke v. Northern Trust Company*\(^{30}\) the creation of a gratuitous revocable transfer was held taxable even before there was a specific provision for such a tax in the Code. The tax was based on the enjoyment and possession section of the earlier Code section until revocable transfers were specifically designated as includible in the gross estate by the statute of 1924.
**Power to Alter or Amend**
In *Porter v. Commissioner*\(^{31}\) the decedent-donor reserved to himself the power to alter or modify the trust at any time, (he could change beneficial enjoyment by changing beneficiaries), but expressly excepted any change in favor of himself or his estate. The contention was made that as the donor did not have the power to revoke the trust in favor of himself, he could not then have the power to alter or modify (amend), and thus the estate should not be includible. In other words, it was contended that "alter" and "amend" were synonymous for "revoke." The Court, however, held that
... the disjunctive use of the words "alter," "modify" and "amend" negatives that contention. We find nothing in the context or in the policy
---
\(^{28}\) Code § 2038(a)(1), (2).
\(^{29}\) Porter v. Commissioner, 288 U.S. 436 (1933). See discussion in text regarding note 31 infra.
\(^{30}\) 278 U.S. 339 (1929).
\(^{31}\) 288 U.S. 436 (1933).
evidence by this and prior estate tax laws or in the legislative history . . . to suggest the conjunctive use of these words was intended, or that "alter" and "modify" were used as equivalents of "revoke" or are to be understood in other than their usual meanings. We need not consider whether every change, however slight or trivial, would be within the meaning of the clause. Here the donor retained until his death power enough to enable him to make a complete revision of all that he had done in respect of the creation of the trusts even to the extent of taking the property from the trustees and beneficiaries named and transferring it absolutely or in trust for the benefit of others. So far as concerns the tax here involved, there is no difference in principle between a transfer subject to such changes and one that is revocable.\textsuperscript{32}
Thus, the power affecting enjoyment may be retained for the benefit of someone other than the donor, and there is a distinction between the power to alter and amend as opposed to the power to revoke. Because of the use of the disjunctive, the presence of any one of the named powers may render the transfer taxable.
\textit{Power to Terminate}
In \textit{Commissioner v. Estate of Holmes}\textsuperscript{33} the meaning of the word "terminate," which had been added to the statute in 1936, was given judicial interpretation. Here, the settlor had irrevocably conveyed to himself property in trust, but he had reserved the power to terminate the trust and distribute the principal to the named beneficiaries, his sons. This trust had been created in 1935 before the word "terminate" had been added to the statute as a power affecting enjoyment. The Court held that the addition of the word was merely declaratory of existing law and that the reserved power of termination, which was here a power to accelerate enjoyment among designated beneficiaries, could not therefore escape liability from the estate tax merely because the trust was created one year before the word "terminate" had been added to the statute.
\textit{Testamentary Power of Appointment}
The exercise of one of these powers affecting enjoyment at the time of the decedent's death renders the transfer taxable if exercised by way of testamentary power of appointment. In \textit{Commissioner v. Chase National Bank}\textsuperscript{34} the decedent created an irrevocable inter vivos trust but reserved a power to alter proportions of property which her descendants should take. The court held the trust corpus includible in the gross estate:
\textsuperscript{32} \textit{Id.} at 443.
\textsuperscript{33} 326 U.S. 480 (1946).
\textsuperscript{34} 82 F.2d 157 (2d Cir.), \textit{cert. denied}, 299 U.S. 552 (1936).
The power she reserved was not to change the trust provisions in a trivial way, but went right to the heart of them and gave the decedent a substantial though qualified control over the trust property until her death.\textsuperscript{35}
\textit{Scope of the Powers Affecting Enjoyment}
Furthermore, the statute is not to be considered as confined in its reach to touching only such basic powers over economic interests as would be affected by a clear power to revoke or change beneficiaries or to conclude the interests of particular beneficiaries. The line of demarcation between what is and what is not includible for tax purposes is not so clearly drawn.
For example, in \textit{Commissioner v. Hager's Estate}\textsuperscript{36} the decedent-trustee retained no power to terminate, but he did retain a power to allocate investment gains either to income for the benefit of the life tenants or to corpus for the remaindermen. It was contended that if the retained power was one to alter and amend, it nevertheless only encompassed a control over certain profits made by the trust so that only the value of these profits should be includible in the gross estate. The court held, however, that the power here retained was certainly one to alter and amend in a substantial sense, that the interests of the beneficiaries could be greatly altered though not completely cut off so as to constitute a termination, and that the value of the entire estate was includible for tax purposes.
More important in demonstrating the extensiveness of the statute, however, is \textit{Commonwealth Trust Company v. Driscoll}\textsuperscript{37}. Here, the decedent-settlor deposited in trust certain securities but retained the right to withdraw them and substitute in their place other securities from time to time as he might deem proper. In disputing the imposed tax, the contention was made that the substitution securities would always be of equal value to those withdrawn; thus there could be no taxable alteration, amendment, or revocation by virtue of the reserved power. The court found that the right to substitute was a right to alter and amend in that there was no stipulation in the indenture requiring that the substituted securities be of equal value with those withdrawn. Although it has been held that additions to corpus are clearly not taxable, it is doubtful that even had the indenture required that the substituted securities be of equal value, a power to alter or amend would not have been found. Had the securities been of equal value at the time of substitution, those substituted might later decline in value to such an extent that the
\textsuperscript{35} \textit{Id.} at 158.
\textsuperscript{36} 173 F.2d 613 (3d Cir. 1949).
\textsuperscript{37} 50 F. Supp. 949, \textit{aff'd}, 137 F.2d 653 (3d Cir.), \textit{cert. denied}, 321 U.S. 764 (1943).
existence of a power to alter or amend might later be discovered by a court.
Taxable powers affecting enjoyment have been found in a variety of other kinds of transfers of property. For example, if a state statute makes a transfer revocable, the value of the property transferred is includible in the gross estate. In Vaccaro v. United States\(^{38}\) a husband gave his wife an inter vivos gift which by terms of a Louisiana statute was made revocable. The gift was taxable though the donor died without having exercised his power to revoke and the property donated had been changed in form long before the donor's death. Or again, it has been held that a retained power, even though conditional, is taxable. In *In re Field's Estate*\(^{39}\) the settlor reserved the right to reduce or cancel the amounts of gifts by trust to his wife and issue. After the death of the wife, the entire amount of the trust was included in the gross estate even though the settlor could not have exercised his retained power as to the issue, having died without issue. Finally, it might be mentioned that an attempt to delay the exercise of a taxable power to a period subsequent to the testator's death will not avoid the taxation. Artful drafters have attempted to avoid the tax by providing in the indenture that revocation requires thirty-days notice so that if the decedent died without giving the notification, there existed at his death no taxable power.\(^{40}\) The Regulations now state, however, that the powers "to alter, amend, revoke, or terminate will be considered to have existed at the date of the decedent's death even though the exercise of the power was subject to a precedent giving of notice."\(^{41}\)
**Transfers Not Taxable Under Section 2038**
The following transfers are excluded from the estate tax by section 2038 and its appropriate Regulations: (1) transfers of real property situated outside of the United States,\(^{42}\) (2) transfers by bona fide sale for an adequate consideration in money or money's worth,\(^{43}\) (3) transfers in which the property is not transferred by the decedent,\(^{44}\) (4) transfers in which the decedent's reserved power could be exercised only with the consent of all parties interested,\(^{45}\) (5) transfers made by the decedent wherein the powers are held by someone other than the decedent,\(^{46}\)
---
\(^{38}\) 149 F.2d 1014 (5th Cir. 1945).
\(^{39}\) 143 F. Supp. 520 (S.D.N.Y. 1956).
\(^{40}\) Mellon v. Driscoll, 117 F.2d 477 (3d Cir.), cert. denied, 313 U.S. 579 (1941).
\(^{41}\) Reg. § 20.2038-1(b) (1958).
\(^{42}\) Code § 2038(a).
\(^{43}\) Ibid.
\(^{44}\) Ibid.
\(^{45}\) Reg. § 20.2038-1(a)(2) (1958).
\(^{46}\) Reg. § 20.2038-1(a)(3) (1958).
(6) transfers made prior to June 22, 1936, wherein the decedent's power over enjoyment is after-acquired rather than retained,\textsuperscript{47} and (7) transfers wherein the decedent relinquishes his powers prior to and not in contemplation of death.\textsuperscript{48}
In addition to the foregoing exclusions, the cases have generally held that administrative powers over investments are non-taxable. As early as \textit{Reinecke v. Northern Trust Company},\textsuperscript{49} the Supreme Court held that "powers of management" do not "save the decedent any control over the economic benefits or the enjoyment of the property."\textsuperscript{50} In \textit{Estate of Henry S. Downe}\textsuperscript{51} the grantor reserved "the option to direct in writing the Trustee to issue voting proxies on and to retain, sell, exchange, invest and reinvest any of the trust property . . . in such manner as he may direct and without liability to the Trustee for any resulting loss."\textsuperscript{52} The Tax Court held that the retained power was merely a power to direct investments and as such the trust was not includible in the gross estate.
There are two other important areas wherein transfers escape the 2038 tax which will be treated separately in the following sections of this note. They are (1) transfers made by reciprocal or crossed trusts where there is no \textit{quid pro quo} between the parties and (2) a transfer made by the decedent when the power retained is held in a fiduciary capacity and its exercise is governed by an adequate external standard rather than by the discretion of the decedent.
\textbf{SPECIAL PROBLEMS}
\textit{Decedent's Power Held in Conjunction with Another}
In \textit{Reinecke v. Northern Trust Company}\textsuperscript{53} certain trusts created before the Revenue Act of 1924 were held to be not includible in the gross estate because the power of change reserved by the grantor could only be exercised with the consent of the beneficiary. The Court held:
Since the power to revoke or alter was dependent on the consent of the one entitled to the beneficial, and consequently adverse, interest, the trust, for all practical purposes, had passed completely from any control by the decedent which might inure to his own benefit as if the gift had been absolute.\textsuperscript{54}
\begin{itemize}
\item \textsuperscript{47} CODE § 2038(a)(2); Reg. § 20.2038-1(c) (1958).
\item \textsuperscript{48} Reg. § 20.2038-1(e) (1958).
\item \textsuperscript{49} 278 U.S. 339 (1929).
\item \textsuperscript{50} \textit{Id.} at 346. However, see discussion in text regarding Jennings v. Smith, 161 F.2d 74 (2d Cir. 1947).
\item \textsuperscript{51} 2 T.C. 967 (1943).
\item \textsuperscript{52} \textit{Id.} at 972.
\item \textsuperscript{53} 278 U.S. 339 (1929).
\item \textsuperscript{54} \textit{Id.} at 346.
Since 1924, however, the statute has provided that the power reserved is taxable "whether held by the decedent alone or in conjunction with any other person." Today a power held in conjunction with a party having an adverse interest is only taxable if the transfer in question was made prior to June 22, 1924. Section 20.2038-1(d) provides that
... if an interest in property was transferred by a decedent before the enactment of the Revenue Act of 1924 ... and if a power reserved by the decedent to alter, amend, revoke, or terminate was exercisable by the decedent only in conjunction with a person having a substantial adverse interest in the transferred property, or in conjunction with several persons some or all of whom held such an adverse interest, there is included in the decedent's gross estate only the value of any interest or interests held by a person or persons not required to join in the exercise of the power plus the value of any insubstantial adverse interest or interests or a person or persons required to join in the exercise of the power.
*Helvering v. City Bank Farmers Trust Company* was decided by the Supreme Court after the words "alone or in conjunction with any other person" were added to the statute in 1924. Here, the trust was established in 1930, the grantor reserving the power to revoke or modify in conjunction with the beneficiary and the trustee. The Court held the value of the corpus includible in the gross estate and stated:
The purpose of Congress in adding Clause (d) to the section as it stood in an earlier act was to prevent avoidance of the tax by the device of joining with the grantor in the exercise of the power of revocation someone who he believed would comply with his wishes.
Decided at the same time with the *Farmers Trust* case was *Helvering v. Helmolz*. In this latter case, the power reserved permitted the trust to be terminated upon delivery to the trustee of a writing signed by the settlor and all of the beneficiaries, including contingent beneficiaries (other than testamentary appointees). The Commissioner contended that the power here reserved was one to alter or revoke. The Court, however, held:
This argument overlooks the essential difference between a power to revoke, alter or amend, and a condition which the law imposes. The general rule is that all parties in interest may terminate the trust. The clause in question added nothing to the rights which the law conferred. Congress cannot tax as a transfer intended to take effect in possession or enjoyment at the death of the settlor a trust created in a state whose law permits all the beneficiaries to terminate the trust.
Furthermore, section 20.2038-1(a) of the Regulations now provides that section 2038 does not apply
55. 296 U.S. 85 (1935).
56. Id. at 90.
57. 296 U.S. 93 (1935).
58. Id. at 97.
...if the decedent's power could be exercised only with the consent of all parties having an interest (vested or contingent) in the transferred property, and if the power adds nothing to the rights of the parties under local law.
A word of caution at this point. In the Estate of A. Frank Seltzer\textsuperscript{59} it was provided that the trust could be revoked by the consent of all of the then living beneficiaries. Upon the death of the grantor the trust estate was to be paid to his wife if she survived him and upon her death to the grantor's son, if living, otherwise to the son's living children per stirpes or their issue. If no children or issue survived, the estate was to go to the son's spouse, if living, otherwise to a designated hospital. The laws of Ohio, the state in which the trust was created, permitted the termination of a trust by consent if "...all the parties who are or may be interested in the trust property are in existence and \textit{sui juris}."\textsuperscript{60} The court held the estate not includible for tax purposes on the ground that the trust could not be terminated under state law, for the contingent interests could not be determined and adjusted until the happening of certain events.
The general rule is that section 2038 applies to a power exercisable by the decedent alone or by the decedent in conjunction with any other person except when all parties having an interest in the transferred property consent to the exercise of the power. The exception has two requisites: (1) the consent of \textit{all} interested persons must be obtained and (2) there must be a provision of local law which would allow such persons to alter the terms of the trust in any event.
\textit{Reciprocal Trusts: Decedent's Power Over Another's Transfer}
Section 2038 requires that the decedent must make a transfer and that he must retain over it one of the powers affecting enjoyment in order for the transfer to be taxable. Where the decedent makes a transfer and grants absolutely and irrevocably the powers over it to another, the estate is clearly not taxable under the section.\textsuperscript{61} Likewise, if a decedent merely retains a power over another's transfer the statute is not applicable unless consideration was paid for the transfer and the power acquired.\textsuperscript{62} It is because of this latter qualification that certain trusts which have the attributes of reciprocal or crossed trusts have created problems under section 2038.
Where clear cut reciprocal trusts are created the statute is applicable. In \textit{Lehman v. Commissioner}\textsuperscript{63} the decedent created a trust made up of
\begin{itemize}
\item[59.] 10 T.C. 810 (1948).
\item[60.] \textit{Id.} at 817.
\item[61.] \textit{Lehman v. Commissioner}, 109 F.2d 99 (2d Cir. 1940).
\item[62.] Reg. § 20.2038-1(a)(3) (1958).
\item[63.] 109 F.2d 99 (2d Cir. 1940).
securities for his brother for life, remainder to his brother's children, the brother to have the power to withdraw from principal at anytime $150,000.00. In turn decedent's brother created a similar trust for the benefit of decedent for life, remainder to decedent's issue, with a similar power in decedent to withdraw $150,000.00. The court held that the decedent's power to withdraw was a power affecting enjoyment and that since the decedent had in reality furnished the consideration for the trust over which he exercised a power, he was the settlor of the trust even though it had in fact been created by another. In other words, the decedent by paying a *quid pro quo* (by transferring and granting a power affecting enjoyment to another) had in turn received a transfer and power of enjoyment. As the decedent had bought and paid for the transfer and power, it was in substance a transfer by the decedent with a power affecting enjoyment, and as such was includible in decedent's gross estate.
Where the crossed trusts are created between husband and wife, it may be impossible to find a *quid pro quo* for their existence sufficient for tax purposes. In *Newberry's Estate v. Commissioner*64 the husband created two trusts, each consisting of 2,500 shares of stock in his company, one for the benefit of his son, the other for his daughter. He and his wife were both named trustees, but the powers affecting enjoyment were granted only to the wife. Originally these powers were very broad but by later amendments were limited to the shifting of economic interests only between Newberry issue, the remaindermen. In no event could principal or income be revested in the husband. The wife created simultaneously with her husband similar trusts with a similar power affecting enjoyment vested in the husband. When the wife died, the Tax Court held the trust over which she enjoyed a power as includible in her gross estate under the *quid pro quo* principle of reciprocal trusts, the doctrine of the *Lehman* case. On appeal the Third Circuit held the trust not includible.
The Third Circuit found that there was in fact no *quid pro quo* in the *Lehman* sense. The court accepted the testimony of the husband that he would have created his trust regardless of whether his wife had created hers; that the ultimate purpose in the creation of both trusts was to benefit the children and not the spouses. The court stated:
The "unity" of action of husband and wife and the "interdependent" character of their transactions which the Tax Court found are not such circumstances as the *Lehman* doctrine comprehends. Spouses in mutual confidence and common interest work out together what each is going to do with his own money to provide for their children. In the normal case, which this appears to be, it is a distortion of meaning to say
---
64. 201 F.2d 874 (3 Cir. 1953).
that the action of one spouse is a quid pro quo inducing the action of the other.\textsuperscript{65}
The court also felt that although the trusts were undoubtedly created for purposes of tax avoidance and that between a husband and wife a "bargain and exchange, within the meaning of the \textit{Lebman} doctrine may exist, yet be unprovable," that in the absence of legislation to the contrary
... when on the facts the conclusion is inescapable that each spouse by a distinct and bona fide transaction has dispensed of his own separate estate in accordance with his own personal desires and without receiving a quid pro quo from the other, we think a court cannot justifiably refuse to recognize each spouse as the real transferor of the trust he has formally created.\textsuperscript{66}
Where the \textit{quid pro quo} of reciprocal or crossed trusts is definite and provable, the estate transferred over which the decedent has a power will be taxable. Where, however, the consideration becomes enmeshed with love and affection the 2038 tax can be avoided.
\textbf{The Adequate External Standard}
The most perplexing problem that arises under section 2038 involves the question of whether the power affecting enjoyment reserved by the decedent-trustee is a power which can be exercised by him in his absolute discretion or whether the power is one limited by an adequate external standard. As will be shown, if the decedent-trustee has absolute discretion in the exercise of his retained power, section 2038 is applicable. If his fiduciary power is limited by an adequate external standard which can be controlled by an equity court, the estate tax may be avoided. What is and what is not an adequate external standard under section 2038 is not a settled question, and it is in this area that tax planners have their greatest opportunity.
In the \textit{Estate of Budlong v. Commissioner}\textsuperscript{67} a power was reserved to the decedent-trustee to invade corpus in the event of sickness or emergency occurring with regard to the beneficiary. The condition precedent had not occurred nor was there any invasion of corpus prior to decedent's death. Sickness or emergency was held by the Tax Court to be an adequate external standard governing the discretion of the trustees, a standard which an equity court could use to compel compliance on the part of the trustees. Furthermore, the court held that as the standard had not been invoked by the occurrence of the contingency which it embraced prior to the death of the decedent, there was no enjoyment of a power to alter, amend, or revoke which would render the estate taxable. Here,
\textsuperscript{65} \textit{Id.} at 877.
\textsuperscript{66} \textit{Id.} at 878.
\textsuperscript{67} 7 T.C. 756 (1946).
of course, the limitation imposed upon the power was a narrow one and easily susceptible to equitable enforcement.
But in Jennings v. Smith\textsuperscript{68} the limitation imposed upon the powers reserved was not so readily determinable, yet the court found it to be an adequate external standard and excluded the tax. Next to the early case of Reinicke v. Northern Trust Company,\textsuperscript{69} which developed the historic basis for taxing revocable transfers, the Jennings decision is perhaps the most important under section 2038. It will be considered in some detail.
In Jennings the decedent set up two identical trusts, one each for the benefit of the families of his two sons. The decedent together with his two sons were the trustees of both trusts. The trusts were irrevocable and to be enforced in accordance with Connecticut law, the decedent retaining no beneficial interest in either trust. There were, however, two powers of enjoyment reserved to the trustees, one over income, the other over corpus. Income was to be accumulated and added to capital on a yearly basis, but it could be invaded each year for the benefit of the son or his issue if the trustees "in their absolute discretion" determined "that such [a] disbursement is reasonably necessary to enable the beneficiary in question to maintain himself and his family, if any, in comfort and in accordance with the station in life to which he belongs."\textsuperscript{70} The other power reserved permitted the trustees to invade capital if the son or his issue "should suffer prolonged illness or be overtaken by financial misfortune which the trustees deem extraordinary."\textsuperscript{71} Income for the years 1935 and 1936 was paid to one of the sons, the trustees having unanimously decided that such income was necessary to support and maintain the son "in accordance with the station in life to which he belongs." No other disbursements were ever made to either son under the reserved powers prior to decedent's death.
The court followed the Budlong\textsuperscript{72} decision as regards to the doctrine of a fiduciary power connected to an adequate external standard. There was no problem about the invasion of corpus in the event of prolonged illness or financial misfortune. The court merely followed the decision in Budlong, where a similar condition was imposed, and held the limitation to be an adequate external standard which could be controlled by an equity court:
Since the trustees were not free to exercise untrammeled discretion but were to be governed by determinable standards, their power to invade
\begin{itemize}
\item[68.] 161 F.2d 74 (2d Cir. 1947).
\item[69.] 278 U.S. 339 (1929).
\item[70.] Jennings v. Smith, 161 F.2d 74, 75-76 (2d Cir. 1947).
\item[71.] \textit{Id.} at 77.
\item[72.] Estate of Budlong v. Commissioner, 7 T.C. 756 (1946).
capital, conditioned on contingencies which had not happened, did not in our opinion bring the property within the reach of section 811(d)(2) [now section 2038(a)(2)].
Then the court stated that "similar reasoning leads to the same conclusion with respect to the trustees' power over net income." It will be recalled that the reserved power over income permitted invasion so that the beneficiary could maintain himself and his family "in comfort and in accordance with the station in life to which he belongs." It will also be recalled that income had been invaded for the benefit of the elder of the sons, but not for the younger, and that the decedent had died in 1936. Consequently, the only enjoyment subject to a change at decedent's death under this limitation was the power to invade income for the year 1936 for the benefit of the younger son. The court held that as the contingency which would invoke the limitation here concerned had not occurred in 1936 prior to the decedent's death, the income for that year was not includible in the decedent's gross estate. In effect, then, both limitations were held to be adequate external standards which could be controlled by an equity court. The powers reserved were not discretionary with the trustees.
Thus, when the power to invade income or corpus is governed by determinable standards of support and the contingency which would justify such an invasion has not occurred prior to the decedent's death, the reserved power over enjoyment is not in fact exercisable at the time of the decedent's death and the transfer is not taxable.
A host of decisions followed Jennings in which a wide variety of outside determinable standards were created and found acceptable. In Wilson v. Commissioner the decedent was not a trustee, but he retained the right to change the trustee at his discretion. The power over enjoyment held by the trustee was to accelerate payments of interest or principal in case of need for educational purposes, illness, or for any other good reason. The court held that the decedent had no power to terminate the trust, that the limitation was governed by an adequate external standard, and that thus the estate was not taxable. In the Estate of Robert W. Wier the Tax Court held the limitation sufficiently connected to an outside determinable standard where distributions of income or corpus could be made for "education, maintenance and support" and "in the manner appropriate to the beneficiary's station in life." Likewise, in the Estate of John A. Lucey the limitation providing for the invasion
73. Jennings v. Smith, 161 F.2d 74, 77-78 (2d Cir. 1947).
74. Id. at 78.
75. 13 T.C. 869 (1949), aff'd, 187 F.2d 145 (3d Cir. 1951).
76. 17 T.C. 409 (1951).
77. 16 P-H Tax Ct. Mem. 1002 (1947).
of corpus in the event of accident, illness, or other emergency was found acceptable.
Certain limitations on reserved or retained powers have, however, not been found adequately connected to an external standard. In *Hurd v. Commissioner*78 the decedent created a trust with himself and wife as trustees authorizing the trustees to invade corpus for the benefit of the wife if the "circumstances so require." In this case the decedent became incompetent before his death but was never removed as trustee. The court conceded that the decedent might have been limited by his incompetency, but that the incompetency could not affect the exercise of the retained power, for under the law of Massachusetts he could have been removed so that the power could have been exercised by another under the auspices of an equity court. With regard to the limitation, the court stated:
The word "circumstances," as used in the trust instrument, is as wide as the world and to say that it imposes a legal limitation, or imports a controlling contingency, is to stretch it far beyond good sense. We entertain grave doubts that an equity court would harken to the complaints of a disaffected cestui who might interpose objections to the decedent's invasion of the principal for the use of his wife, irrespective of the "circumstances".... The clause is not restricted to "her" circumstances, but rather to "the" circumstances. It is difficult to think of a much broader reservation of powers than that contained in Clause III [of the trust].79
Likewise, other similar standards have been found inadequate: payment of such income as the trustees deemed necessary for the beneficiary's best interests,80 payment of principal as the trustees considered "suitable and necessary in the interests and for the welfare of such beneficiary,"81 and income to be "accumulated or distributed in the sole discretion" of the trustee.82
Thus, it can be seen that retained powers to invade income or corpus are attached to an adequate external standard if made for purposes of education, support, maintenance, or a fixed standard of living. Conversely, retained powers dependent upon a standard required by circumstances, best interests or welfare of beneficiary, or sole discretion of the trustee are not adequately connected to an outside determinable standard which can be enforced by equity. The support and maintenance powers of enjoyment have the effect of making the decedent-trustee a ministerial officer of the equity court while the powers held which do not meet
---
78. 160 F.2d 610 (1st Cir. 1947).
79. Id. at 612-13.
80. Estate of Cyrus C. Yawkey, 12 T.C. 1164 (1949). The case was, however, decided under section 2036.
81. Estate of Albert Nettleton, 4 T.C. 987 (1945).
82. Estate of James D. McDermott, 22 P-H Tax Ct. Mem. 450 (1954).
the adequate external standard give to the decedent-trustee such wide discretion that his transfer is taxable under section 2038. This distinction has been criticized as violating both the intent of section 2038 and the substantive law of trusts.\textsuperscript{83} It is contended that section 2038 taxes all powers to change beneficial interests, including powers retained by the grantor as a trustee. Furthermore, fiduciary powers held subject to an outside determinable standard, according to the Restatement of Trusts,\textsuperscript{84} do not take away all discretion from the trustee; in fact such powers may embody great discretion. Conversely, fiduciary powers not subject to a specific outside standard are not all discretionary with the trustee, but rather are still under the control of equity. Perhaps the proper question to be answered is not whether there is an outside determinable standard but whether there is in fact real discretion in the trustee.
It might also be mentioned at this point that in a recent decision, \textit{State Street Trust Company v. United States},\textsuperscript{85} the First Circuit by implication has challenged, for the first time, the adequate external doctrine advanced by the Jennings case. In the \textit{State Street Trust} case the grantor retained several administrative powers previously exempt from taxation: power to classify receipts as income or corpus, power to deduct depreciation or amortization, power to invest in high yielding securities, and power to exchange one kind of property for another. The powers were to be exercised for the beneficiaries' comfortable maintenance and support. The court held the estate includible, not under section 2038 but under section 2036:
Perhaps no single power conferred by the decedent on the trustees would be enough to warrant inclusion of the corpora of the trust in his estate. But we believe that the powers conferred on the trustees, considered as a whole, are so broad and all inclusive that within any limits a Massachusetts court of equity could rationally impose, the trustees, within the scope of their discretionary powers, could very substantially shift the economic benefits of the trusts between the life tenants and the remaindermen. We therefore conclude that under the trusts the decedent as long as he lived, in substance and effect and in a very real sense, in the language of § 811(c)(B)(ii) [now section 2036(a)(2)], 'retained for his life . . . the right . . . to designate the persons who shall possess or enjoy the property or income therefrom . . . .'\textsuperscript{86}
The dissenting opinion would have held all of the retained powers non-applicable under the Jennings decision. The point is that although the case was decided under section 2036, the court is looking at the actual
\textsuperscript{83} See Pedrick, \textit{Grantor Powers and Estate Taxation: The Ties that Bind}, 54 Nw. U.L. Rev. 527 (1959).
\textsuperscript{84} \textit{Restatement (Second), Trusts} § 128, comment e (1957).
\textsuperscript{85} 263 F.2d 635 (1st Cir. 1959). See generally Pedrick, \textit{Grantor Powers and Estate Taxation: The Ties that Bind}, 54 Nw. U.L. Rev. 527 (1959).
\textsuperscript{86} State Street Trust Co. v. United States, 263 F.2d 635, 639-40 (1st Cir. 1959).
discretion conferred in the retained powers rather than at the adequate external standard of comfortable maintenance and support. It is true that discretion is found in the over-all battery-like effect of the aggregate of these administrative powers rather than to the effect of any single power which if present alone might well have fallen under the Jennings rule. The decision in State Street Trust intimated that the emphasis might shift from a consideration of the adequacy of the imposed standard to the reality of the discretionary power.
No such shift has yet occurred. In the most recent case in which the issue arose of whether the powers reserved were discretionary or determinable by an adequate external standard, the issue was avoided on the ground that the powers reserved were conferred on a non-grantor trustee. In United States v. Winchell\textsuperscript{87} the grantor created a trust and appointed a corporate trustee to pay her income from the principal for life with a power reserved to the trustee to invade capital not exceeding $20,000.00 which the trustee in its absolute discretion might deem necessary for her comfort or to help her in meeting emergencies. A series of administrative powers were reserved to the trustee: to sell and transfer securities, to appraise assets, to determine questions regarding income and principal, and to exercise conversion and subscription rights in connection with any securities. The grantor in this case was not a trustee, but she did retain two significant powers: (1) the right to confer additional powers on the trustee and (2) the right to appoint a successor trustee in the event of resignation of the first appointed trustee. The Commissioner contended that the right to confer additional powers fell within the purview of a power to alter, amend, revoke, or terminate. The court held that such a right was limited to conferring only management and administrative powers, but that as the power could only be conferred on a trustee other than the grantor, the grantor did not, in effect, retain a power affecting enjoyment, and the estate was not includible. The court also stated that the grantor's power to appoint a successor trustee was dependent upon the resignation of the original trustee and that as this contingency had not occurred prior to decedent's death, such a power to appoint was not one affecting enjoyment. It was not, in other words, such a power that could connect the grantor with the office of trustee so as to bring the retained power of the grantor "to confer additional powers" within the confines of a taxable power to alter, amend, revoke, or terminate. Thus, the trust was not includible for tax purposes on the ground that the grantor was not a trustee. The question remains, however, whether the power to confer additional administrative and management powers in addition to those already reserved
\textsuperscript{87} 289 F.2d 212 (9th Cir. 1961).
|
REPORT ON THE SHOWS SPOOLS VERSUS CARTRIDGE
THE MYSTERIOUS BEAT RESLO VRT/L MICROPHONE REVIEW
QUALITY PORTABLE RECORDERS NEED QUALITY BATTERIES—MALLORY
Mallory batteries last far longer than ordinary batteries. They deliver their power uniformly without fading for lack of rest. And they keep their energy until it's needed—you get all you pay for when you want it. It's sound sense to insist, always, on Mallory, the quality batteries for your equipment.
Five standard size Mallory Manganese batteries and a range of miniature Mallory Mercury batteries enable you to put lasting, stable power into your portable recorder.
MALLORY for new ideas in batteries
MALLORY BATTERIES LIMITED CRAWLEY SUSSEX Crawley 26041
YOU GET MORE FOR YOUR MONEY WITH TRIPLE PLAY
MASTERTAPE
30 years' experience plus modern research and technical efficiency enable us to offer high grade triple play tape at a price little higher than double play. No special coating is used so that compatibility with existing ranges is assured. The super thin coating necessary for triple play tape is applied by our specially developed technique and as with other Mastertapes the coating is super calendered for long life and low friction.
Compare our prices with those of any other manufacturer and you will see the difference.
| 3" | 600 feet | 21/6 |
|------|----------|------|
| 5" | 1800 feet| 51/- |
| 4" | 900 feet | 27/- |
|------|----------|------|
| 5 1/4" | 2400 feet | 66/- |
| 7" | 3600 feet | 99/- |
Mastertape—without doubt the lowest cost high grade tape available today!
Full range of Standard, Long and Double Play tape also available at realistic prices—compare these examples for the most popular sizes:
| 5 1/4" 900 ft. Standard Play (P.V.C.) 20/- |
|------------------------------------------|
| 5 1/2" 1200 ft. Long Play (P.V.C.) 25/- |
| 7" 2400 ft. Double Play (Polyester) 55/- |
FIDELITY, WYNDSOR AND OTHER FAMOUS MAKERS FIT MASTERTAPE!
Manufactured in England by M.S.S. Recording Company Ltd. Colnbrook, Slough, Bucks. Tel: Colnbrook 2431 (8 lines)
REPS R10 MkII VERSION
AN IMPROVED MODEL IS NOW AVAILABLE MAINTAINING A HIGH STANDARD OF PERFORMANCE
Exclusive professional type idler wheel for reliability and reduced wow.
D.C heating on pre-amp valves.
Modified Magnavox Studio deck with improved wow/flutter.
Bogen micro-gap two or four track heads fitted.
10 watts nominal R.M.S. Rating.
Calibrated Bass and Treble controls
Mic. Gram/radio inputs, separate controls for mixing.
\[ \begin{align*}
7\frac{1}{2} \text{ i.p.s.} & \quad 40—15,000 \text{ C.P.S.} \pm 1\text{dB} 100\mu S \\
3\frac{3}{8} \text{ i.p.s.} & \quad 40—10,000 \text{ C.P.S.} \pm 2\text{dB} 200\mu S \\
1\frac{1}{8} \text{ i.p.s.} & \quad 50—5,000 \text{ C.P.S.} \pm 3\text{dB} 400\mu S
\end{align*} \]
to C.C.I.R.
5 ECC83. 2 EL84. 1 ECC82. 2 Contact Rectifiers.
Pre-amp Signal/Noise > —55dB at all speeds.
Fully illustrated literature available on request to—
REPS (TAPE RECORDERS) LTD.
118 Park Road North, South Acton,
London, W.3
Phone: Acorn 4141
2 Track 59 gns.
4 Track 69 gns.
---
You’re Guaranteed a Better Deal
When you PART EXCHANGE TAPE RECORDER with R·E·W
A friendly welcome awaits you at our bright showroom extension. Here you will find a lavish array of equipment at every price level — make your choice for immediate delivery or if you cannot visit us, the fast and friendly R.E.W. Mail Order Service makes it easy for you to enjoy the professional results only possible with an advanced Tape Recorder. Get in touch with us now. We have thousands of satisfied customers and a reputation for generous part exchange, reliability and specialist service.
300 MACHINES ON DISPLAY!
Call, see, hear and choose the Tape Recorder you’ve always wanted from one of the biggest ranges anywhere. Just about every model—for off-the-shelf delivery.
An unrivalled stock of leading makes of new and used machines at unbeatable bargain prices—30% -60% reductions on original prices! Make a point of asking for our Special Bargain List.
MACHINE OF THE MONTH
SONY T.C. 500
Full stereo facilities with independent recording and playback amplifiers, providing professional mixing facilities. Manual cueing, digital tape counter, instant stop, automatic tape lifter, instantaneous selection at 7\(\frac{1}{2}\)/3\(\frac{3}{8}\) ips. Response—30-18000 cps at 7\(\frac{1}{2}\) ips. Harmonic distortion—less than 2\%, a 3 db below rated output. Detachable speakers for stereo separation.
106 gns including microphones and accessories.
TERMS: £11.6.0 deposit and 12 monthly payments of £8.6.8.
CASH FOR YOUR TAPE-RECORDER OR Hi-FI. Highest cash offers for good equipment... get in touch today!
OPTIONAL INSURANCE at nominal rates against unemployment, sickness or accident during term of H.P. agreement. Premium 6d. in the £—gives cover over two years.
Bargain Basement?
We have an unrivalled stock of new and used machines at unbeatable bargain prices—30%-60% reductions on original prices! Make a point of asking for our Special Bargain List.
“PLUS FIVE” SERVICE
- Generous part exchange allowances.
- No interest terms—interest deposits.
- Off-the-shelf delivery from the biggest range under one roof.
- Free servicing and free delivery.
- Optional personal insurance.
INTEREST FREE TERMS
Take your pick from our wide range and have any machine you want for 10% deposit, balance payable remainder and no interest charged. (18-24 months H.P. terms also available.)
Home demonstrations in the London area gladly arranged. Return enquiry service. Agents for all makes.
R·E·W (Earlsfield) Ltd.
Mail Order Department
266/268 West Upper Riccarton Road, London, S.W.17.
Telephone: BALham 91745
Another BRILLIANT RECORDING on ZONATAPE
CARL FOREMAN'S
THE VICTORS
The Battles they won...
The War they lost!
The same quality magnetic coating used for the magnificent sound recording of "THE VICTORS" is available to you... offers you a fidelity in recording limited only by the capability of your tape recorder. Choose from 4 types: Diacetate or PVC Standard Play, Polyester Extra Play and—just released—Polyester Double Play. Wound on distinctive coloured spools, clear, red, green and blue for easier identification. Supplied in attractive, durable book-type containers. Stocked by all the best hi-fi and radio shops.
New—a comprehensive range of Zonatape accessories, including coloured printed leader and timing tapes... multi-purpose coloured leaders... and metallic stop and sensing foil.
BRIEF SPECIFICATION OF ZONATAPE TYPE 700 POLYESTER EXTRA PLAY
| Specification | Value |
|-------------------------------|--------------------------------------------|
| Intrinsic Coercivity Hci. | 310 Oersteds (high) |
| Rententivity Br. | 1200 Gauss |
| Bias | 6.3 milliamps |
| Peak signal to basic noise ratio | — 71 dB |
| Reel to reel variations | ± 1 dB at 1000 cycles |
| Ultimate tensile stress | 8 lb. |
ZONATAPE
CLEARLY THE BEST FOR RECORDING SOUND
ZONAL FILM (MAGNETIC COATINGS) LTD
ZONAL HOUSE, WESTFIELDS ROAD, ACTON, W.3. ACORN 6841
Since 1954, more people have been buying their Tape Recorders from us than from any other dealer. Why? What is so special about Howard Tape Recorders? There are four immediate answers:
1) Our experience and "know-how", going back a decade as specialists, is obviously better for you to depend on for advice, than some of our short-lived amateur competitors.
2) So long as it is good quality, we stock and sell the lot. We have the biggest stocks of Tape Recorders and Hi-Fi equipment for you to choose from. Why put up with a small nondescript selection when we have £50,000 stock to choose from?
3) We specialise in mail-order throughout the U.K. Wherever you live, you are only a 3d. stamp away (that is if you bother to put one on). Wherever you live, mail customers get exactly the same service as shop ones.
4) Our terms—both cash and H.P.—are the best you can find. We started No-Interest H.P. terms. Unless you are a nut, why waste money in paying interest at 10% or higher?
Want to know more? Then write or phone us for brochures on your particular interests, and we will send them by return together with all our terms and offers:
**TAPE RECORDERS**
Mono under £50
Mono over £50
Stereo
**HI-FI**
Amplifiers and Tuners
Speakers and enclosures
Turntables and Arms
Portable Radios and Grams
**HOWARD**
Tape Recorders • Hi-Fi
218 High St. Bromley. Kent. RAV. 4000
no other portable tape recorder so versatile
see and hear it at our LONDON SHOWROOM
UHER 4000 REPORT-S
PRICE
93 GUINEAS
Inc. microphone and L.P. Tape
Two tracks to international standard • reel size: up to 5" • four tape speeds: 7½ ips, 3¾ ips, 1⅞ ips, 1¼ ips • frequency response (± 3 db): 40-20,000 cps at 7½ ips, 40-17,000 cps at 3¾ ips, 40-10,000 cps at 1⅞ ips, 40-4,500 cps at 1¼ ips • contrast ratio: 55db • wow and flutter: ± 0.15% at 7½ ips (audible frequencies only) • output power: 1 watt (push-pull power stage) • power supply: five flashlight cells (1.5 volts each) or "dryfit" storage battery model Z 211 or model UHER Z 111 mains-operated power unit and battery charger or an automobile battery via automobile adaptor cable • inputs: Micro 0.1 mV at approx. 2kΩ; Radio 1 mV at 47kΩ; Phono 25 mV at 1 meghohm • outputs: 2 volts at 4 ohms: 1 volt at 15kΩ • operating time: intermittent operation of approx. 12 hrs: continuous operation and intermittent operation respectively from the "dryfit" storage battery —approx. 10 hrs. • dimensions approximately: 11" x 8" x 3" • weight without batteries approximately 6lbs.
Ask your dealer to demonstrate the UHER 4000 REPORT-S. If you do not see this amazing Portable tape recorder displayed in your area, write for illustrated leaflet and further information to:
BOSCH LIMITED Domestic Appliance Division
205 Gt. Portland Street, London W.1 Tel: LANgham 1809
Fidelity at your fingertips.....
.... with a BRENELL tape recorder
Record and playback performances are as impeccable as the following specification conveys:
MARK 5 Series 2. 4 speeds 1½, 3½, 7½ and 15 ips. frequency correction at all speeds. 3 independent motors. exceptionally low "wow and flutter" content. double gapped ferrite erase head to minimise erase noise. narrow gapped record/playback head for extended frequency response. pause control. superimpose control. recording level indicator (meter available). up to 8¼" dia. reels. fast rewind. digital rev. counter.
For full details of the complete range of mono and stereo models write to the sole manufacturer:
BRENNELL ENGINEERING CO. LTD.
231/5 Liverpool Road, London, N.I.
Telephone: NORth 8271 (5 lines)
LEADING STOCKISTS OF EQUIPMENT FOR TAPE and HI-FI
... and NO EXTRA FOR CREDIT TERMS
★ Minimum Deposit
★ No Interest or Service Charges on H.P. up to 18 months
★ Free Service during Guarantee Period
MICROPHONES, MIXERS, ETC.
Grampian Reflector £6.15.0
Grampian Ribbon £11.10.0
Grampian DP/4 Dynamic £8.00.0
Simpson Casanova Ribbon £10.00.0
Reslo Peal Dynamic £11.00.0
Reslo Ribbon £16.12.6
AKG D.IFC £19.00.0
AKG D.T7A £19.00.0
TSL 3 Channel Mixer £11.10.0
TSL 3 Channel Transistor Mixer £2.17.6
Eagle Mixer £2.19.6
Grundig Mixer Stereo £7.10.0
AKG 50 Headphones £7.10.0
Philips Preamplifier £10.00.0
Also in stock microphones by AKG, Beyer, International, TELEFUNKEN, BEYER, etc.
HI-FI DEPT.
STEREO AND MONO AMPLIFIERS—
Quad C.S.L. Pye Rogers
Leif Armstrong Tripleton
Scott B & O.C.S.L. Piccolo Box
TUNERS—
Quad Rogers Pye Leak
Armstrong B & O Tripleton
C.S.L.
LOUDSPEAKERS—
Quad Pye Rogers W.B. Kef
Wharfedale Goodmans Tannoy
Lowther Leic Elac Eagle & O
Metro Sound
MOTORS, PICKUPS
GARRARD incl. Aco's
ATV-301, etc.
Goldring
Tannoy EMI
Connoisseur
Lanco Shure
DECCA
Renaissance
fss Mk. III latest
Deram, etc.
B & O
Ortofon
ADC BSR
All types of Diamond and Sapphire styluses and needle replacements,
by Auriol, Decca, Pressure gauges
by Garrard, Goldring and Aco's, Disc
Preener, Acos Dust bug, Cabinets by
Record Housing and G.K.D.
TAPE and HI-FI
... and NO EXTRA FOR CREDIT TERMS
★ Minimum Deposit
★ No Interest or Service Charges on H.P. up to 18 months
★ Free Service during Guarantee Period
FRANCIS OF STREATHAM
MAINS OPERATED
TAPE RECORDERS
B & O. Stenograph 105 gns.
*Brenell Stenograph STB I £120
*Brenell Mk. V Model M 88 gns.
*Brenell Mark 5 Series 2 69 gns.
Cossor 4 Tr. 1605 2 sp. 62 gns.
Cossor 4 Tr. 1605 4 sp. 62 gns.
Cossor 1607 4 Tr. Stereo 57 gns.
Cossor 1607 4 Tr. Mono 57 gns.
Elizabethan LZ29 38 gns.
Elizabethan LZ24 34 gns.
Elizabethan Automatic 34 gns.
Elizabethan LZRSII Stereo 65 gns.
*Ferrograph 422 or 424 110 gns.
*Ferrograph Series 5 59 gns.
Fidelity Major 35 gns.
Fidelity Playmaster 2 Tr. 20 gns.
Fidelity Playmaster 4 Tr. 35 gns.
Grundig TK14 35 gns.
Grundig TK18 "Magic Ear" 39 gns.
Grundig TK20 35 gns.
Grundig TK40 4 Tr. 75 gns.
Grundig TK41 2 Tr. 75 gns.
*Grundig TK41 2 Tr. St. 75 gns.
National RS573 Stereo 79 gns.
Philips 4 Tr. 3541/H 42 gns.
Philips 4 Tr. 3542 42 gns.
Philips 4 Tr. Stereo 3542 92 gns.
Philips 3548 4 Tr. 2 sp. 39 gns.
*Revox T36 36 gns.
Rubens 36 gns.
*Saba Stereo 95 gns.
Siemens Stereo 14 4 Tr. 79 gns.
Sony 400 79 gns.
Sony 500 109 gns.
Stella 4 Tr. 42 gns.
Stella 459 4 Tr. 42 gns.
*Tandberg Mono 92 69 gns.
*Tandberg Series 6 110 gns.
*Tandberg Series 7 110 gns.
Telefunken 55 43 gns.
*Telefunken 85 de luxe 83 gns.
*Telefunken 92 4 Tr. 69 gns.
*Telefunken 97 4 Tr. Stereo 95 gns.
Vorticon 100A 69 gns.
*Vortexion WVB £110.0.0
*Vortexion CBL Stereo £160.0.0
Wyndson Element 33 gns.
Wyndson Sabre —
TRUVOX —
Revox 2 Tr. Recorder 69 gns.
Revox 4 Tr. Recorder 69 gns.
*PD.93 (2 Tr.) or PD.95 (4 Tr.) 59 gns.
*PD.97 (2 Tr.) or PD.99 (4 Tr.) 59 gns.
Stereo (Deck and Pre-Amp) 79 gns.
BATTERY PORTABLES
Grundig 4210 65 gns.
Grundig 4211 65 gns.
Loewe Opta 414 47 gns.
*Butoba (Mainly for Car) 59 gns.
*Fi-Cord 202 66 gns.
National RQ150 44 gns.
Philips Portable EL3300 25 gns.
Stella 4000 26 gns.
Uher 4000S 26 gns.
Telefunken 300 59 gns.
Microphones
MAIN POWER PACKS
Phillips, Stella or Cossor £5.12.0
Butoba — 36 gns.
Fi-Cord — 66 gns.
Uher 4000 — 16 gns.
Tape Decks by Brenell, Wright & Weaire
Tape to disc and capsy service.
OPEN ALL DAY SATURDAY
EARLY CLOSING—WEDS.
169-173 STREATHAM HIGH ROAD, LONDON, S.W.16
Between St. Leonard's Church and Streatham Station
STReatham 0466/0192
Please note this is our only address
**Hi-Fi Equipment • Speaker Systems • Radios • Educational • Amateur Gear • Test Instruments**
**TO ALL MUSIC LOVERS AND HI-FI ENTHUSIASTS**
No electronic or soldering experience is necessary to build any Heathkit model: our simple, well illustrated manual guides you step by step.
A FREE CATALOGUE of the full range, and detailed specifications of any item, will be gladly sent on request without obligation on your part.
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**TAPE AMPLIFIER UNITS**
Models TA-IM and TA-IS
The mono amplification unit (TA) can be modified to the stereo version (TA-IS) by modification kit (TA-IC). Special features include the provision of bias level control, easy-to-read thermistor-type bias setting level indicators; large printed circuit boards. Both models have identical pre-amplification.
- TA-IM £15.0.0 kit
- TA-IS £15.0.0 kit
- TA-IC £15.0.0 kit
- TA-IM £28.18.0 Assembled
- TA-IS £35.18.0 Assembled
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**MONO CONTROL UNIT. Model UMC-1.**
Designed to operate with our model MA-12 or MA-14 amplifier giving 6 w or less for full output. Suitable for cabinet mounting or free standing. Size 10" x 7" x 4".
£8.12.6 kit
£13.12.6 Assembled
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**"OXFORD" TRANSISTOR RADIO**
Model UXR-2. Luxury solid leather case, full long and medium wave coverage. Printed circuit facilitates assembly. 7" x 6". high-flux speaker. Send for full details.
£14.18.0 incl. P.T.
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**POWER AMPLIFIER 12-WATT Model MA-12. 0.1% THD at 10W. Wide frequency range. Ideal for use with USC-1 and UMC-1.**
£15.18.0 Assembled
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**"COTSWOLD" MFS SPEAKER SYSTEM**
A minimum floor space model. Size 36in. high x 14½in. wide x 14½in. deep with performance similar to the standard model. Specially designed for small rooms.
**"COTSWOLD" STANDARD SPEAKER SYSTEM**
This is a classic domestic model. 26in. x 23in. x 14½in. housing a 12in. bass speaker with 2in. speech coil, and a mid-range speaker. A high quality unit to cover the full frequency range of 30-20,000 c/s. Capable of doing justice to the finest programme source. Delivered complete with speakers, crossover, volume control, grille cloth, etc. Either Model £23.4.0 kit
£30.15.0 (Assembled in the white)
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**TRUVOX D93 TAPE DECKS**
Standard. High-quality stereo tape decks. D93/2 — 4-track for highest fidelity
£36.15.0
With TA-IM £52.18.0
With TA-IS £58.10.0
D93/4 — 4-track, for most economical use of tape. £36.15.0. With TA-IS £58.10.0
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**STereo CONTROL UNIT Model USC-1**
Push-button selection, accurately matched ganged controls — 1dB distortion feedback, printed circuit boards. Accepts inputs from most tape heads and any stereo or mono pick-up.
£21.10.0 Assembled
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**GARRARD AUTO/RECORD PLAYER Model AT-6.** 4-speed stereo and mono unit, manual automatic record selection, Kent AT-60 carriage, G-60 turntable. £14.6.1
With Decca Deram cartridge £14.6.1
GOLDEN LUXURY TRANSCRIPTION RECORD PLAYERS Model GL-58. Fitted with the G-60 pick-up arm it has infinitely variable speed adjustment between 33⅓ and 78 rpm, and four transport speeds. 3¾b. turntable to reduce rumble "wow" and "flutter". With Ronette 105. £20.1.3
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**HI-FI FM TUNER, Model FM-4U**
For your convenience, this model is available in two units sold separately: Tuning Unit (FM-4) — £21.12.6 and Amplifier Unit (FM-A-4) — £13.3.0. Built-in power supply: 7 valves. Total £35.18.0 kit
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**HI-FI EQUIPMENT CABINETS**
A range of over a dozen equipment cabinets is now available to meet differing needs of enthusiasts. Designed for maximum operational convenience, or for where room space is an overriding consideration, this range includes kits, ready assembled cabinets and complete cabinets. There is something and has at least one model to meet your requirements. Why not send for full details?
Rates from £7.7.0 to £16.12.6
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**HI-FI STEREO 18 WATT AMPLIFIER Model S-99.** Within its power rating, this is the finest stereo amplifier available, regardless of price. Printed circuit board construction; ganged controls; U/L push-pull output. 8 2½ distn. at 9 W/chal.
£37.19.6 kit
£47.19.6 Assembled
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**TRAVELING-COIL TELEPHONE AMPLIFIER Model TTA-1.** Provides instant group listening and conversation. Freely portable for use with any telephone; hands-free operation. Microphone switch; 9v battery operated; cabinet and microphone case.
£11.15.0 Assembled £7.9.6 kit
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**ELECTRONIC WORKSHOP KIT, Model EW-1.** The ideal present for youngsters. Will make over 20 exciting experiments, including Transistor Radio, Intercoms, Burglar Alarm, Electric Eye, etc. No soldering. 72-page well illustrated instruction manual. Electronics Club badge given free with every kit. Total price £7.13.6 incl. P.T.
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**AM/FM TUNER, Model AFM-1.**
This model is available in two units sold separately. Tuning heart (AFM-1) £16.12.6 incl. P.T.) IF Amplifier (AFM-AI £21.16.6) range 88-108 Mc/s (FM) 16-50, 200-550, 900-2000 (AM) Printed circuit board. Total price £26.10.0
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**HI-FI STEREO 6-WATT AMPLIFIER Model S-33.** Attractively styled. Printed circuit construction. 0.3% distortion at 2½ Watts. sensitivity 200 mV, ganged controls; low cost, compact unit for smaller rooms
£13.7.6 kit
£18.10.0 Assembled
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**DE LUXE STEREO AMPLIFIER Model S-33.** Deluxe version of S-33 with many refinements. Ideal for use with Decca Deram pick-up.
£15.17.6 kit
£21.7.6 Assembled
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**HI-FI SPEAKER SYSTEM Model SSU-1.**
This kit is easily assembled. It contains two speakers, crossover, volume control in its ducted port reflex cabinet. It is equally suitable for stereo or mono in average room. (Leg 14/6) Less legs, £10.17.6
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**A WHOLE RANGE OF PACKAGED DEVICES INCLUDING DECCA, CONNOISSEUR CRAFTSMAN TURNTABLES AND DECCA (S) PICK-UP) NOW AVAILABLE TO SAVE YOU FURTHER MONEY.**
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**JUST POST THIS COUPON FOR FURTHER INFORMATION**
Without obligation please send me
- HEATHKIT FREE BRITISH CATALOGUE . . .
- FULL DETAILS OF MODEL(S)
Kindly write below in BLOCK CAPITALS
NAME ...........................................
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HT8..
Agfa tape is specially made to compensate for considerable overloading and still give you the most consistently perfect reproduction you’ve ever heard. Its extreme sensitivity permits a high signal to noise ratio (without distortion), better high frequency response and a higher output. Everything about Agfa tape is really special—except its price—that’s the same as ordinary tape. In addition to piles of hats, we have piles of Magneton Illustrated—our colour magazine all about recording. For your free copy, write to Agfa Ltd., 27, Regent Street, London, S.W.1. (REGent 8581). *Agfa PE Recording Tapes (Long-play, Double-play and Triple-play) are available in shatter-proof plastic cassettes (5”, 5¾” and 7” spools).*
editorial
THIS ISSUE carries a report on new tape equipment seen at last month's Radio Show and other 'outside' exhibitions. What is the reason for these extra shows (some public, some for the trade only) and why should people wishing to see everything currently on offer in the domestic radio field have to tramp around London in addition to visiting Earls Court? The answer, alas, reflects badly on the radio industry, which specifies that the Show shall be a 'British-made only' event. We have heard lengthy and superficially plausible explanations offered in defence of this, but we are convinced that Earls Court remained closed to the outside world this year because the minds of a few key persons were cluttered with a mixture of old-fashioned national prejudice and fear of genuine competition. Other countries hold international radio exhibitions, and our own Audio Festival and Fair admits products from all over the world; but some people have never got over the excitement of the crystal-set and cannot face the fact that electronics (and its domestic applications) is now a world-wide industry.
After years of declining success and increasing pressure for its internationalisation, the Radio Show foundered over such trivial matters as the cost and style of display stands. In consequence there was no Show last year. Many people in the trade had assumed that the breathing space was being used for some vigorous new thinking—with a special eye on how the importers of non-British products could be included—but the Show organisers laboured mightily to produce a mouse: the trade-only hours were raised and the number of exhibitors and visitors fell.
Readers may wonder why a tape recording paper shows such concern for the radio and television trade. Well, the tape recorder is now an integral part of domestic electronics and is fully accepted by the Radio Show organisers, but the majority of machines available to the British public through the normal retail channels come from abroad and could not, therefore, be seen at Earls Court. If we take all types of recorder, ranging from expensive professional models to cheap battery portables, something like 55% are imported. For battery machines alone the non-British quota rises to 90% (or even higher if the various undesignated ultra-cheap Japanese units are included). Only in the ordinary general-purpose domestic region do the numbers of models from home and overseas find a rough balance, but even here the scales are tipped heavily in favour of the imports if we eliminate duplications arising from provision of $\frac{1}{2}$- and $\frac{3}{4}$-track facilities.
These figures all refer to individual models as detailed in catalogues, etc., but if there were a hundred British recorders for every imported one, the latter could still dominate the market in terms of numbers sold. In fact, we suspect that the slickly styled Continental machines—designed and produced as entities—are rather more popular with large sections of the public than the typical British recorder comprising some rather unimaginative circuitry housed in a box which is stylistically out of step with the deck. This may seem a rather severe judgement, and we would be the first to admit that the design of a recorder around a mass-produced deck by another manufacturer can produce superb results when handled by a painstaking firm of the calibre of Reps, for instance.
But the public should be free to make the choice, and it seems to us quite indefensible that an important and widely publicised exhibition should automatically exclude the majority of models available in a major segment of its supposed coverage simply because they are not 'made in Britain'. It is simply ludicrous that a firm like Philips may show its television and radio receivers which are produced here, but not its tape recorders because they are made a hundred miles further east in Holland. It is also ludicrous that an International Radio and Electrical Trades Exhibition (and a half-dozen other shows) should have to run at the same time as the Radio Show so that importers may exhibit goods which should be in Earls Court. Most of the showtime new products of interest to Tape Recorder readers were 'outsiders' this year, and those persevering individuals who did the Grand Tour—including many retailers eager to see the full range available for their customers—will no doubt join us in condemning the parochialism of the Show organisers.
This may have seemed a rather political Editorial, but we would point out that it is the British radio industry which insists on applying the politics with its parish-pump nationalism. We are interested in the art and technique of tape recording, and, frankly, we couldn't care less where the tape recorders are made.
YOU SAID IT!
(played it, sang it!)
NATIONAL
HAVE IT TAPED
SUPERBLY!
Just say the word—and it starts!
You stop, and the recording stops,
too! The National RQ-150 is the
first completely automatic Voice-
operated portable tape recorder in
the world.
And this is only the beginning—the incomparably versatile RQ-150 also provides automatic slide and film synchronisation, automatic threading and remote control. If you really want to spread the word, there’s a Public Address System that permits accurate monitoring through a built-in loudspeaker while recording. All this and immaculate reproduction—for precisely 44 gns!
SPECIFICATION
Power Source: 6 unit cells (U.2.), 9 V.
Output: 500mW (700mW max.)
Transistors: 9 Transistors, 1 Thermistor, 1 Diode.
Tape Speed: 33 l.p.s., 14 l.p.s.
Frequency Response: 100-7,000 c/s at 33 l.p.s., 100-4,000 c/s at 14 l.p.s.
Recording Level Indicator: VU meter.
Speaker: 3¼” Permanent Dynamic Speaker.
Dimensions: 3¾” x 9” x 12½”.
Weight: 5 lb. 14½ oz.
Accessories: 5” microphone with remote control switch; 5” recording tape (600 ft.); 5” empty reel; radio cord; leather case for accessories; hand belt; splicing tape; sensing tape; plug for slide sync.; magnetic earphone.
Also from NATIONAL:
RQ-303, Mains, 2 track, single speed, 15 gns.
RQ-115, Battery*, 2 track, 2 speed, 35 gns.
RQ-116, Battery*, 4 track, 2 speed, 39 gns.
RS-753, Mains, Full stereo, 4 track, 2 speed, 76 gns.
*With optional mains adaptor available
TAPE IT EASY—
with NATIONAL, naturally!
world of tape
A SOUND COMPANION
WHEN, in 1959, it was decided to convert the Talking Book library for the blind from disc to tape, the organisers hoped for an expansion of their membership. So great was this expansion that it was not long before demand began to gain on supply. Improved recording and copying facilities at the West London branch of the Nuffield Library only added to the difficulties by increasing the demand. To ease the burden, therefore, it was decided to open a branch in Lancashire to cater for the northern half of Britain, the southern area remaining in the hands of the premises at Alperton. The result is an increase in efficiency of the service and a reduction of the waiting period for a Talking Book player. It now takes only a few weeks to join the ranks of the blind readership (at present in the region of 12,500). The library is expanding at a rate of 250 books each year, and some 622 titles are now catalogued. Choice of books covers a wide range of subjects, fiction and non-fiction, and is supplemented by a Braille library run by the Royal National Institute for the Blind.
The Clarke & Smith multi-track tape player, backbone of the Talking Book library
Readers interested in learning more about, or assisting with, blind welfare are invited to contact any of the above mentioned organisations. They are, respectively, the Royal National Institute for the Blind, 224 Great Portland Street, London, W.1; Tape Programmes for the Blind, 139 Goldthorne Avenue, Sheldon, Birmingham 26; St. Dunstan's, 191 Marylebone Road, London, N.W.1.
CHANGE IN SONY DISTRIBUTION
SONY tape recorders and associated equipment, until recently imported by Tellux Ltd., are now being handled by the distributors of Bang & Olufson equipment. All queries regarding service and orders should be addressed to: St. Aldate Warehouse Ltd., Electrical and Radio Division, Innsworth Lane, Gloucester.
NO MORE CRICKET
AFTER angry citizens of Mitcham complained of disturbed sleep caused by an army of crickets, John Rhoney, of the Grundig Technical Sales Department, was called to the local rubbish dump.
Messrs. Rentokil had been employed by the council to eliminate the insects and, as a fitting memorial before their mass extermination, Mr. Rhoney taped the crickets for posterity. A TK6 was used to make the recording, which now rests in the hands of the BBC.
T. R. INDEX
INDEXES for Volume 5 of Tape Recorder, covering the period from February, 1963, to January, 1964, are now available, price 2s. (plus 3d. postage). Orders should be addressed to: Subscription Department, Tape Recorder, Link House, Dingwall Avenue, Croydon, Surrey.
NEXT MONTH
THE November issue will be published on October 23rd and will include an article on the joys of editing by P. D. Turner, a description of tape-making for the Fletching Festival by R. W. Griffin, Part 8 of Gordon King's series, Part 6 of D. P. Robinson's Mixer marathon, and a Tutchings review of the Philips EL 3300.
What does this mean to you?
What do you read in this baby’s expression?
He’s just found out Daddy is not using scotch Magnetic Tape to record baby’s first words. Put these words into his mouth and you could win yourself a valuable prize in the scotch Magnetic Tape Sound & Vision Contest.
The best entry will win a complete Hi-Fi outfit or a complete set of photographic equipment. Each worth £200.
Buy a reel of scotch Magnetic Tape from your nearest stockist and find out full details of these and many more valuable prizes.
Entry forms are in all 5", 5¾" and 7" boxes. (You can’t lose. Every entrant gets a free SCOTCHBRITE Household Scouring Pad — worth 2/6d.)
MINNESOTA MINING AND MANUFACTURING CO., LTD. 3M, SCOTCH and SCOTCHBRITE are trademarks of Minnesota Mining & Manufacturing Company.
field trials of battery portables
MEDIUM-wave radio reception, a miniature record-player and portable tape recorder, all powered by batteries, and all under 'one roof'. The Stuzzi range is well-known for its combined radio receivers and tape recorders. Before the advent of the Disc-Corder these were all mains-powered, but it is now possible to purchase, for little more than £60, a complete transistorised battery-powered medium-fi set-up.
RECORD switch. This brings the modulation meter into action, recording level being raised or lowered by the volume control. The action of switching to RECORD automatically cuts the output through the speaker by about half. First reaction to this drop in volume is to increase the output level, but this inevitably means overmodulating the tape. Thus radio recordings must either be monitored at a level just below that required for comfortable listening, or the speaker should be cut out (by a switch located on the tone control), and the tape re-played later in the usual manner.
The maximum quality obtainable from recorded radio programmes to be extremely good for 1½ i/s. It was found essential, however, to align the station as exactly as possible, and obtain the correct recording level. Minor mis-settings on either of these functions resulted in a high noise level or excessive distortion.
Turning now (upside-down) to the record-playing facility, this is reached by extracting the plastic base lid which is held in position by two catches. It was found necessary to exercise the greatest care when removing or replacing this lid, to prevent damaging the pickup and any possibility of the lid coming undone. Despite the greatest care taken to prevent such accidents, the pickup on several occasions slid over, or crashed down on to, the metal deck. It was enough to give a hi-fi enthusiast heart failure, but the stylus emerged without apparent damage.
Time Beat, a creation by the BBC's Radiophonics department, played very well through the external speaker, and quite satisfactorily through the internal one. Again, the good treble response made for
(Continued on page 364)
SIGNALMAN Magnetron, the doyen of the Army Stand at Earls Court, would have blown a fuse if someone had quizzed him: "What are the tape recording developments at the 1964 TV and Radio Show?"
In an atmosphere redolent of variety and change, only the tape recording field seemed to have been completely neglected. The novelty challenge came from the splinter shows around London, reported upon later. In the Exhibition Hall, the air was of audio consolidation. Several manufacturers showed products 'carried through' from previous years, and such items as were labelled new were re-styled models that Tape Recorder readers will have seen described in our pages. Only in the comparative secrecy of the Dealer Rendezvous could there be seen some presage of future releases.
In the tape market, two firms were showing their products, and each had something interesting to display. Kodak, with their wide experience of film techniques, had a display of use to the Ciné enthusiast. Linking a Tandberg 6 to their 500 projector, and playing back their prepared tape through a Leak transistorised amplifier and four 12-inch KEF Celeste loudspeakers, they gave continuous demonstrations of simple dubbing technique. 16mm. laminated stripe technique was employed and the tape medium was their double-play tape with acetate base—the difficulty of a weld-splice with polyester tape prevented the use of the latter in this instance. Each film and slide demonstration lasted 2 minutes 5 seconds, and as the demonstration ran at 5 minute intervals for the ten-hour daily period, it grew rather hot in that confined booth on Stand 28. Eventually, even the operators became tired of hearing the 'baby's cry' sequence!
The other feature of this stand was a quadruple play tape, type P400, especially developed for users of battery portables. Available on 3 and 3½in. spools, prices £1 13s. 6d. and £2 2s., length, 600ft. for 3in. spool, 32 min. playing time at 3½ i/s; 800ft. for 3½in. spool, playing time 42 min. at 3½ i/s.
On the EMI stand, the well-known range was displayed, hoop-la fashion, and a running, miniature 'Son-et-Lumière', slide commentary, demonstration was the only concession to tub-thumping. The representative on the stand was concerned to attract interest to the excellent short-cut language courses marketed by this company on 3½in. twin-track mono tapes or 7in. discs.
On the Tape Recorders (Electronics) Ltd. stand, five new models were to be seen, in the International range. Sound have followed the trend of other makers with an eye to the 'pop' market and state that the 'automatic volume level for recording' can be supplied to any of this range, at no extra cost. Enthusiasts may deplore this trend, but the cheaper machines of Elizabethan, we note, have also gone 'automatic'. Of interest is the fact that Grundig, with their later model, T23A, have fitted an 'auto-manual' switch, and Messrs Philips will be doing the same on a machine soon to appear.
Details of the Sound International range, briefly, are as follows: TRE 14, ¼-track, 3½ i/s, 5½in. spools, 24 gns; TRE 23, ¼-track as above, 27 gns; TRE 32, ¼-track, 3-speed, 7in. spools, 30 gns; TRE 34, ¼-track version, 33 gns; and TRE 40, ¼-track, 3-speed, with parallel track superimposition, bass and treble tone controls, loudspeaker monitoring, straight-through amplifier facility and three speakers, 45 gns. All models have tape position indicators and use BSR decks; all use magic eye recording level indication, have a stated frequency response of 60 c/s to 13 Kc/s ±3dB, 3W output, signal-to-noise ratio of better than 40dB, and all, we are pleased to note, have been fitted with DIN sockets. Promise of a more robust amplifier panel has been made, in answer to enquiries.
In the same price range were the three models displayed by Fidelity. These were the Playmaster-2 (21 gns), Playmaster-4 (24 gns), and Playmaster Major (35 gns). These models, released in August 1963, have been successful and production continues. No new line in this field was added for the Show.
The latest Thorn tape deck could be seen in several models marketed by this Group, including Ferguson, Ultra, H.M.V. and Marconi.
Ferguson showed the 3204, ¼-track, 2-speed machine, retailing at 33 gns, with all the usual features and styled to match the 3006 record player, link leads being provided for direct recording of discs, or straight amplifier, or voice over disc as required. Styling in the now familiar blue and silver made a very tasteful pair.
Ultra also had these two competitive models on show, with a glass-cased version for good measure. The deck has many attractive features and the basic models, 4204, ¼-track and 4202, ¼-track in the H.M.V./Marconi range retail at 33 and 25 gns (Ultra ¼-track model 6202, 33 gns; Ferguson 3206 ¼-track, 26 gns). The H.M.V. 2204B is 36 gns, and has a different styling, with a very good quality output for its price from the 8 × 5in. loudspeaker. Price variations are due to styling differences; decks are basic, piano-key operation, with digital reset (push-button), pause control, DIN sockets and facilities for connection into any of the modern range of British Radio Corporation radiograms.
A new tape recorder that attracted some attention was the Dansette Empress, at 37 gns. This ¼-track, 3-speed machine uses the BSR TD10 deck, has a professional style control panel, feeds 3½W to the 8 × 5in. speaker and is tastefully finished in blue. The well-known Consort (22 gns) and Cadet (26 gns) models were displayed also. The latter is a portable, transistorised machine with the Garrard magazine deck.
Also of interest on this stand was a new venture for Dansette, a range of P.A. equipment especially designed for the electric guitar. The most competitive model of its size is as yet un-named, but retails at (provisionally) 132 gns, including legs, gives a 30W undistorted output from two 15in. and two 7 × 4in. loudspeakers, has three-channel mixing, uses printed circuitry and a novel valve and transistor circuit. Interest in this has already led the firm to produce to an 8-week delivery schedule.
Another amplifier of interest to Tape Recorder readers was displayed on the Heathkit stand. Established for two years, the TA-1M and TA-1S are mono and stereo versions of self-built printed-circuit valve amplifiers with provision for matching any tape deck and an output
suitable for matching to any main amplifier. It is possible to build the mono version and convert later to stereo. A separate power supply is available from the MGP-1 kit. Prices: TA-T1 £19 18s., TA-1S £25 10s., and MGP-1 power supply kit £5 2s. 6d.
A firm new to the electronics business were showing their first-ever tape recorder, the RT18 Revelation, the brand-name of Wood & Son, the well-known luggage makers, covers a range of tasteful products. The tape recorder uses a Magnavox Studio deck, ¼-track, has a hand-built, 4W amplifier, superimposition, monitoring, tone control, extension L/S and rev. counter, and retails at 42 gns. The finish is in the latest American Boltaron thermo-plastic, with exceptional resistance to impact and abrasion.
Defiant, the C.W.S. firm, brought a restyled offering, the T16, with specifications similar to their previous range of T14, ¼-track, 3½ ⅛s, but with a larger loudspeaker and cabinet. This unit is free-standing, but designed to match with their CPI console record player as part of the C.W.S. 'Unit-Plan'. Price: 38 gns.
Messrs. Bush showed their established TP50, ¼-track model which sells for 38 gns, using the later B.S.R. deck. No change in production is envisaged.
It was interesting to note that Dynatron have now dropped the opulent model that caught the eye of so many people at the last Radio Show two years ago. But the Buckingham radiogram was displayed with a 4T tape deck of their own make as part of its design. Enquiries failed to elicit any production date for this attractive-looking deck as a self-contained tape recorder.
Alba have continued with their R16 and R17 range, 2- and 4-track versions using B.S.R. deck, at 24½ and 27 gns. Also re-issued is the K.-B. WT 20, of similar specifications, and similar price (24 gns).
Although not on show, because of the restriction on 'foreign-made' goods, the Philips/Cossor/Stella range was expanded around the Showtime period. One thought for the future from Philips is a car-mounting case to enable the road user to link his radio to the EL 3300 recorder. Philips also have a 'new-look' family recorder at 39 gns; ¼-track, 2-speed, with separate input and output regulation, straight-through amplifier and mixing facilities, taking a 7in. spool, parallel playback, with push-button tape indicator reset and the usual stereo output socket. This model, to be known as the EL 3548, bids fair to claim a good share of the 'family' market.
Another forthcoming attraction, not yet released, is a single-speed, ¼-track model for the teenager, with the gimmick of an 'auto-manual' switch, whose price will probably be around £25. The diligent could also obtain information on Cossor models CR 1606 and CR 1607 (see page 309 of Tape Recorder September issue). The latter is reputed to be the least expensive fully transistorised stereo machine yet marketed.
Machines in these categories are following the clean-up styling inaugurated last year by the Phillips company, and a brief opportunity of handling these models indicated that control systems, too, had been improved. We look forward to seeing more of these 'adopted' British machines, despite the restrictive practices of the Radio Show organisers which make it necessary to have private viewings outside Earls Court until models become available to the retail trade.
Leaving the Radio Show for the semi-trade exhibitions, a tour of hot, sticky summer London began. The majority of manufacturers who had decided to exhibit their products did so in some of the many hotels scattered around the West of London. It was a relief for tired feet to find a large number of companies exhibiting in a single building. The International Radio & Electrical Trades Exhibition at the Prince of Wales Hotel, was an intelligently organised attempt to compete with 'big brother' at Earls Court.
Layout of products in rooms occupied by individual manufacturers gave something of an Audio Fair atmosphere; with one important difference—this exhibition was almost deserted.
A closer look at the products on display revealed more new equipment than was to be found at all the parallel shows put together. Importers of Japanese commodities had some impressive-looking battery recorders discernible beneath mountains of portable radios. United Africa Mechanical and Electrical Ltd., distributors of National equipment, displayed what is probably the first ¼-track battery recorder to be marketed in this country. This was the RQ-116, selling at £40 19s. Like its ¼-track equivalent (the RQ-115, price £36 15s.), this machine operates at 1½ and 3½ ⅛s. Maximum spool capacity is 3in. and claimed wow and flutter at 3¼ is 0.35% RMS. Frequency range at this speed is 100 c/s to 7 Kc/s.
Even more original is the feature incorporated on the National RQ-150. This machine can be operated, during RECORD, by voice alone. Tape drive begins almost immediately the microphone picks up a sound and stops about two seconds after the sound is halted. The level of sound required to operate this 'voice-relay' can be varied by a rotating control. Turning this to a low level allows use of the switch in noisy surroundings, as only a sound made close to the microphone will start the machine.
Though not strictly in the enthusiasts' field, an interesting miniature mains recorder, selling at 15 gns, was also displayed by the importers of National. Measuring 8 × 7¾ × 4in., the RQ-303 would make an ideal gift for a very young 'possible enthusiast'. Four piano-key buttons operate the transport, with a single gain control to set recording and playback volume. The former is judged with the aid of a small neon indicator. Wow and flutter is said to be less than 0.5% at the single, capstan driven, speed of 1½ ⅛s. Rising to the 'hi-fi' price range, the RS-753 ¼-track stereo recorder was another item on display. A 'Reverberation Adapter' is available for this machine. Three speeds, 1½, 3½ and 7½ ⅛s are featured, and the manufacturers claim a 'special circuit design' to permit recording of multiplex stereo broadcasts (presumably a pilot signal filter or exceptionally high bias frequency).
Also on show at the Prince of Wales was the Belsona TRA-500. It was interesting to note the similarity of the various new features introduced to the domestic recording market this autumn. Belsona, along with Elizabethan Sound, Philips and Grundig have all added automatic-gain to some of their latest products. This leaves the TRA-500 with only two controls—one for playback volume and one to operate all mechanical functions. The latter has a 'built-in' record interlock.
One manufacturer went out of his way to be original and succeeded
(Continued overleaf)
How fast is Speed?
Among the many factors taken into consideration by Tandberg engineers when designing semi-professional tape recorders are Tape running speed and maximum reel size.
It is now more than ten years since Tandberg demonstrated their ability to produce a standard of performance at 7½ i.p.s. better than that previously achieved by many expensive 15 i.p.s. tape recorders. Since that time the completely dedicated Tandberg tape recorder research team have progressed from one outstanding development to another.
With a speed of 15 i.p.s., and before the advent of modern Long Play tapes, a 10½" reel was essential. The modern Tandberg Series 6 or 7 use 7" reels and with L.P. tapes can play 45 minutes at 7½ i.p.s. or 1½ hours at 15 i.p.s. are accepted. This has enabled Tandberg to produce semi-professional tape recorders weighing only 23 to 28 lbs. and measuring 15¼" x 11¾" overall.
Due to their modest dimensions and absence of overhanging reels, Tandberg Series 6 and Series 7 have therefore established themselves as first choice for inclusion in permanent Hi-Fi installations.
With final reference to Tape Speed as related to performance we quote:
"At 7½ neither he nor the reviewer could distinguish the tape from the original. At 3½, the two could be barely distinguished. The reviewer made his differentiation largely on the basis of slightly higher background noise when the tape was played". (Tandberg 64 reviewed in AUDIO March 1963).
"Even at the lowest tape speed of 1½ i/s it needs a sharp ear and a really good performance source to be sure, every time, whether you are listening via tape or directly". (A. Tutchings reviewing Series 6 (2-track) in The Tape Recorder).
Write for details of Tandberg Series 6 & 7 Tape Recorders and 28 page booklet of Technical Reviews.
SHOWTIME TAPE REPORT CONTINUED
in producing an entire stereo recording and dubbing studio in a single box. For the first time, the amateur will have access to features only recently added to professional equipment in the U.S.A. Mechanically, the Korting MT 3624 is little more than a polished stereo version of M. H. Amersham's suggestion in Readers' Problems, August 1964, but the price, just under £100, is certainly not excessive for so versatile a recorder. Another new Korting was the MT 3623, equipped with full ¼-track recording and playback facilities and using low-noise transistorsed input stages.
Argelane Ltd., distributors of Braun audio equipment, are now importing the Roberts 1650, manufactured by the United States importers of Akai recorders. Two basic speeds, 3½ and 7½ i/s are offered, and a 15 i/s 'accessory kit' is available. Designed for vertical or horizontal operation, claimed frequency responses are 50 c/s to 10 Kc/s, 30 c/s to 18 Kc/s, and 30 c/s to 20 Kc/s, all ±3dB, at 3½, 7½ and 15 i/s respectively. The 1605 is fully equipped for ¼-track stereo recording, with twin VU meters, and costs £175.
Still within the boundaries of the International Exhibition, the full range of Siemens stereo recorders were on show. Models 10, 12 and 14 are identical in all respects other than their cabinet style and speaker arrangements. The first incorporates a single forward-facing monitor loudspeaker while Model 12 has two speakers with side-reflectors. The last, as Model 10, has one forward-facing speaker, but a different outside finish.
Moving out of this combined exhibition, Messrs. Elizabethan were found at a nearby hotel. Several models made their debut, including re-styled versions of recorders intended for the American market. An automatic gain recorder was displayed, along with a ¼-track stereo model with detachable speakers, the latter to sell at £61 19s.
The Grundig display, on the second floor of the Hilton Hotel, proved very similar to the one organised last year. While the layout of shrubbery, miniature fish ponds and forest was a little different, the only addition to the range of tape recorders was the TK23A, a second model with automatic gain to be produced by the company. Deck styling is slightly different to the rest of the range, although controls are kept in the same position as on the TK 18 (the first Automatic). The ¼-track TK23A retails at £51 9s. compared with £40 19s. for the ¼-track TK18.
Bang & Olufson hi-fi equipment and portable radio receivers were well to the fore at the Carlton Tower Hotel, where they were being displayed by St. Aldate Warehouse Ltd. No new tape equipment was to be seen, and the Stereomaster held the recording field on its own. Likewise, the Highgate Acoustics and Bosch exhibitions showed nothing new in the tape range. The Optacord 414 performed through one of the latest Loewe Opta tuner-amplifiers as yet another example of the growing quality expected of a battery machine.
Likewise, the Saba exhibition showed no new recorders to have been added to the range since the announcement of the TK23OS ¼-track stereo.
These, then, are the Autumn additions to the recording market. Thanks to active support from importers of Japanese goods, the stocking is quite a full one, though the three British manufacturers—Fidelity, Sound and Elizabethan, have added admirably, in their own way, to the tape scene. Let us hope these activities will be centred under one roof in the not-too-distant future.
One point of view on a future controversy
In the beginning, man created tape. He wound his tape on double-flanged metal spools. Then came the single-flanged metal spool (mainly patronised by the 'Professionals'), and finally the plastic spool.
As if this wasn't sufficient variety, tape manufacturers decided to provide boxes for their spools. Thus the market was filled with cassettes—square ones, round ones, cardboard ones, wooden and plastic ones.
Hard on the heels of the cassette came the magazine. This was the name given to a plastic box containing two spools and a quantity of tape. Unlike plain spools the magazine would only fit recorders made by its own manufacturer. The majority, however, could be re-loaded, by the owner, with other standard spools. This was a disadvantage, however, from the commercial point of view. It was consequently not long before the cartridge finally made a freedom jump from its prior confinement in the world of the dictaphone.
The cartridge was something very special. It could not be loaded with 'cheap tape', or interchanged from one model of recorder to another. Machine A would only accept Cassette A. Cassette B would be as useless to Machine A as a GPO Jack Plug is on the Continent.
The battle for plug standardisation was given up as lost many years ago (not by everyone—Ed.), but the battle of cartridge against spool is only just beginning.
In the past few years cartridge-recorders have followed a tendency to die out rather than increase in popularity. A year ago there were only four such machines on the recording market. The Eumig T5, specifically intended to provide sound facilities for Eumig Cine Projectors, cost £25 and used cartridges of tape playing at 38 i/s on two tracks. Batteries provided the power to this, and to the Midgetape Chief 400 and 500 which also used cartridges. Manufactured by Thomas A. Edison Ltd., the two recorders followed American styling and looked more suited to secretive use by 'Private Eyes' than high quality recording. The retail prices are £129 and £160 respectively.
The Stuzzi Memocord is probably the most well-known of this quartet. Quarter-track recording at approximately 1½ i/s was offered, on cartridges lasting one hour. Priced £26 5s., it was intended as a dictaphone. Stuzzi have never advertised the Memocord before serious recording enthusiasts, though it is known to have been popular as a cheap battery recorder in its day. That day is no longer, however, and the four machines have disappeared from catalogues and year-books listing tape equipment.
Having apparently lost interest in cartridges the 'trade' appeared to be concentrating on retaining present-day standards of tape, tracking and spool uniformity. It was therefore with considerable shock that news was received of a new battery recorder, using cartridges and claimed as a high quality recorder of music and speech. The company were known to be respected by both amateur and professional recordists and had often led the way in introducing new facilities to the domestic machine. Having been pioneered by this firm, multi-play, inter-track recording, and add-on stereo were quickly copied by others catering for the amateur market. Indeed ¼-track recording might not be where it is today had this company not switched the majority of its products to that system.
It is not only the hi-fi perfectionists who have frowned on the advent of ¼-track recording, as many recordists searching for a reasonable compromise between quality and cost agree that domestic ¼-track has many limitations compared with domestic ½-track. But the confusion and argument caused by narrow tracking systems may well be forgotten should the cartridge grow in popularity.
Will this new recorder herald the approaching end of tape standardisation? Admittedly the cartridges at present supplied for it can be opened by the operator; but what purpose would this fulfil? Presuming that ¼-inch tape could be sliced in half, it would still be the wrong size. Future cartridges may well be riveted so no such re-filling with unused tape would be possible. The purchaser of a cartridge-recorder would then be forced to pay any exorbitant price its manufacturer dare ask for extra tapes.
Having made one's recordings on a cartridge machine there is no alternative but to copy them on to another recorder, should editing or exchanging be required. Even if a narrow tape splicer were introduced, editing such expensive tape would be a questionable operation—conducted, moreover, at the risk of losing the cut lengths of tape inside the cartridge case. Dubbing from one machine to another invariably means unnecessary losses in quality.
For the 'one-machine' owner of a cartridge recorder, such pastimes as tape correspondence will be rendered impossible unless contact is made with another owner of an identical machine. Outdoor interviews, recordings of sound effects, and even recordings of music taken from radio broadcasts will be on a hit-and-miss basis because, with tape-cutting difficult and expensive, 'programmes' will be difficult to
(Continued on page 376)
The other monitoring facility yet to be mentioned is the talkback amplifier, which enables the operator to talk to the studio to stop a bad recording, or announce the various 'takes'. When the key is pressed the output from a general-purpose low quality microphone is amplified and fed to the studio loudspeakers only—the monitor loudspeaker is cut to avoid acoustic howl-round. A separate volume control is fitted. The circuit is shown in fig. 1, and will be recognised as being similar in design to previous units; the use of DC feedback pairs provides a very useful stable building brick which can be adapted for many purposes, and readers will have noticed that they form the backbone of the mixer. The first transistor, a low noise type, is DC stabilised by a feed from the emitter of the second, and since the feedback is negative a very stable working point is reached. Local feedback is applied to each amplifying stage by using undecoupled resistors in the emitters. Overall gain is controlled by varying the AC collector load in the first transistor. The input impedance is about 2K which means it is suitable for any 600 ohm microphone, or for any of the cheap imported types, about 1 to 5K, now on the general market.
The connections to all these last described units are shown in fig. 2, for one channel in the stereo system, and fig. 3 (photo) for the layout used on the front panel. In the prototype only one of the volume controls was labelled since the remainder are colour-coded to the row of keyswitches above. The extreme left-hand switch is the TALKBACK/CUE control, coloured red, and the control for the talkback volume is underneath the switch and is also painted red. TAPE TO STUDIO and the second volume control from the left are coded yellow, and the extreme right-hand volume control and switch are green. This last is the tape level control (VR2 in fig. 4 last month). The other volume control is labelled MONITOR and is the level adjustment for the monitoring amplifiers and speakers in the control room. The MONO-STEREO switch connects the two mixing stages together for AC signals, and was made rather stiff to operate so that it could not be accidentally moved instead of one of the adjacent keys. This was painted white. The control keys are black, and connections from these are wired to suitable sockets on the rear panel. The object of these is to facilitate control of the simple stop-start function of up to two recorders, and since different machines use different systems for this, no further details are given, it being left to each constructor to wire these to suit his own machine.
There remains one more monitoring circuit to discuss, that dealing with metering arrangements. For most of the time it is the incoming or recording signal that is monitored, but there are occasions, such as the initial line-up of the recorder, when it is useful to switch the meter to the tape playback. Using the oscillator which is built into the mixer, this enables the frequency response of the machine to be checked.
(Continued on page 363)
A STUDIO QUALITY MIXER
BY D. P. ROBINSON
FIG. 4.
LOG & LINEAR SCALES COMPARED.
FIG. 5.
PEAK PROGRAMME METER CIRCUIT.
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at the upper frequencies. Switch S9, above the meter (fig. 3), is included so that the inputs to the meter circuit can be switched.
For stereo systems there is the choice of having either two independent meters and drive amplifiers, or having electrical switching to one. In a correctly balanced system any difference between the two channels must be intentional, so that a single meter which reads the greater of the two signals is satisfactory, since in tape recording it is the amplitude of the signal compared with the tape saturation level that is important. This system is considerably cheaper than two meters, or the twin-pointer versions which can be obtained at fabulous expense.
The mixer has a three-way switch so that the meter can be switched to read the signal level on the left channel only, right channel only, or a centre position, which is the normal mode, where the greater of either is read. This last position is labelled rather unfortunately on the prototype as 'L + R' which is quite wrong, since the one thing that it must not do is read the sum of the two channels! There should be a computer-language symbol for 'L or R whichever is the greater' which would be ideal.
AN AREA OF CONTROVERSY
The next, and most important decision to make concerns the type of circuit to adopt. Here is an area of great controversy; in the USA the VU or volume-unit is universally adopted, while in Britain the BBC uses only Peak Programme Meters; on the Continent both are in sway. The VU measures loudness—and hence is useful for determining the effectiveness of the commercials—but because of the integrating action it is highly dependent on the type of programme being recorded. This can be demonstrated easily by aligning a VU on continuous tone, and then switching to a music source of the same level; the VU meter will hardly leave the zero end stop. In recording it is the amplitude of the peaks that is important, for the tape overloads at a well defined level, and the type of programme has only second order effects—for example, very short peaks appear to distort less than long signals of an equal amplitude. The peak-programme-meter responds to these peaks and will give an accurate reading irrespective of the content: tone and music give exactly the same reading. Incidentally, the common magic-eye also responds to peaks, and in the author's opinion a good 'eye' is to be preferred to a VU, and the trend to small (useless) VUs is nothing but an unfortunate sales gimmick.
Implied in the term PPM is the type of display and also its calibration. In order that the signal can be measured, observed, and any correcting action taken by the operator, the circuit together with the meter has an extremely fast rise-time, and will reach full scale in less than 12ms from the initial impulse. On the other hand, the decay time is long, and the pointer will take 3-4 seconds to reach zero from full scale. The circuit is designed around a special meter which has closely controlled electrical and mechanical damping so that this rise-time can be obtained with no overshoot. The VU has a tiring rapid movement both ways and, in cheap meters, very bad overshoot characteristics. The VU has a linear voltage scale, but the PPM is logarithmic or linear with dB's. The effect of this is that the PPM covers a wider usable range, and is much more precise near the critical point of overload and in the region immediately above. Fig. 4 gives a comparison between the two.
In fig. 5 there is given a practical stereo circuit for a peak-programme-meter. A voltage proportional to the input level is set up on C5, and measured by the super-alpha pair of transistors Tr 5 and 6. This connection gives a very high input impedance of about 1.5M, including R10 which is added only to give a small range of control. The discharge time of C5 through this part of the circuit is therefore governed by the time-constant C5 times Rin, or one second. This ensures that the meter takes several seconds to decay from full scale. For good stability the two transistors used here are the 2N706 or 2N706A, which maintain their current-gain until a very low collector current. These can be obtained from either Texas Instruments or ST & C at just under 10s. each.
The voltage on the capacitor C5 appears almost entirely on the emitter of Tr 6, the only losses being a small drop across R10 and the two $V_{be}$ drops in the transistors, thus setting-up in R11 an accurately known current which is exactly proportional to the input voltage. This current then flows into the non-linear network in the collector circuit. At first all the current will flow through the meter, but as the current increases the voltage developed across VR1, 2, and 3 increases and eventually diode D7 starts to conduct. This is at a typical forward voltage of 0.5V for the OA200, but any similar diode can be used provided that it is a silicon type. Germanium diodes have a much lower conduction voltage which will not suit the other values in the non-linear circuit. As the collector current continues to rise, the other two diodes will conduct, progressively by-passing a larger fraction of the total current from the meter; using the variable resistors, the scale can be arranged to be the BBC standard of 4dB-per-division as shown in fig. 3. The meter used is supplied by Ernest Turner & Co. Ltd., and is ordered as "1-mA forward reading peak-programme meter, model 702, to Ernest Turner Drawing DM 486".
The first part of the circuit is driven by two identical amplifiers, one to each channel. The drive amplifiers never have to supply a large continuous amount of current, since once C5 is charged very little extra drive is required to keep it so. However, to charge it rapidly, a large peak current is demanded, so that the amplifier is designed as a Class-B push-pull amplifier, and C3 supplies the surge current and not the supply. The standing current of the whole amplifier is about 8mA, rising to 16mA under full drive, of which 4mA are flowing in the non-linear network.
Transformer coupling is used for two reasons: on music or speech, positive and negative peaks in the waveform may differ by as much as 8dB, so that to read peaks a phase-splitter, bridge-rectifier, or centre-tapped transformer is necessary. The second reason is to provide the stereo connection. With S9, either or both of the two drive amplifiers are switched on, and the signal is then rectified to C5. Assume that the signal is greater at T1 than at T2, then no signal at T2 will be large enough to overcome the back bias on D3 and D4, so that the signals in T2 can have no effect on the meter. But as soon as the signal in T2 is greater than that in T1, the reverse is true and T1 can have no effect on the reading. Thus the transformers have performed the operation of selecting the greater of the two stereo systems. A suitable type is the D3011 from Henry's Radio. The output impedance of the amplifier and the resistance of the transformer together give the time-constant on the charging side of C5 as 2ms; the correct figure for a PPM circuit is 2.5 ms, and this is made up by the mechanics of the meter.
SIMPLE ALIGNMENT
The circuit is quite easy to align. First, the meter zero should be checked to ensure that mechanically it is in the correct position, and then the electrical zero is adjusted. R11 is increased until the meter needle just begins to move away from zero, and then the next standard value resistor of lower value is chosen. This then allows for the two voltages of about 0.5V each which must exist between base and emitter of each of the two silicon devices. There will be no drift in this so that it is not necessary to make R11 variable—once fixed it will remain at that value; 1K is very near to the required value for typical 2N706s.
An audio signal is then applied to the input of one of the amplifiers until the meter reads $\frac{1}{2}$; there is no marking at this point so that the position must be estimated. The input is then increased to exactly twice its value, and VR1 adjusted until the meter reads 3. Doubling the input again, adjust VR2 to read $\frac{4}{3}$ on the meter, and finally double the input yet again, adjusting VR3 to give an indication of 6. This procedure should then be repeated once more, after which the circuit is aligned, and this takes as long to write about as it does to perform! If it is so required the potentiometers can then be replaced with fixed resistors, since here also there will be no drift problems.
The gain adjustment is then made. With 0dB leaving the mixer on the recording output, or that level which comfortably drives the recorder to full modulation, the meter switch is put to the Left channel only and VR104 set so that the meter reads 6. The switch is then set to the Right channel only and VR4 set for 6. With the switch in the centre position there may be a change of $\frac{1}{2}$ dB in the reading owing to the diode characteristics at the instant when all the diodes D1 to 4 are conducting, but this is not important. If for special applications more gain is required from the meter circuit so that smaller signals can be measured, then C2 and C102 can be taken to the other end of R4 and R104 respectively, which will increase the gain considerably.
Next month we will start by describing a simple VU meter circuit for those who prefer that system.
very satisfying results. Speed fluctuations were not detectable on this and other light music played on the small turntable.
Recording from discs was again "technically possible" by pressing the appropriate coloured button and the RECORD switch. (No interlock is provided but the bright red switch contrasts with the other black controls.) With the tape deck facing downwards, this switch could only be reached satisfactorily by moving the unit out over the edge of a table and peering underneath to select it from the adjacent controls. It would not take much experience before the Disc-Corder could be operated by 'touch', so there need be no fear of incurring a stiff neck through frequent contortions of this kind. The act of playing discs without recording was found to be more difficult than setting the machine to record them. After depressing the coloured button, any one of the tape deck controls could be carefully pressed—not fully home, as would be the case with pressing to RECORD for example, but 'half way' between on and off. This set the turntable in motion. A simpler switching arrangement might be to the user's advantage, the present one relying heavily on the user's dexterity.
**FRICTION — FLUTTER**
Recording with the tape upside-down was not entirely satisfactory. Quite a high level of flutter was generated by friction between the spools (which rested on small elevations of the lid) and the Perspex lid itself. Small rubber hub caps would solve this problem, though some modification to the lid and hubs would be required.
The mains adapter, which was positioned in the space behind the extension-speaker drive unit, proved a reliable hum-free alternative to batteries. The four 1.5V steel-lined cells showed little sign of wear after many hours of use. According to the instruction booklet (one of the most comprehensive ever produced for a battery machine) a new set of batteries will push the VV-meter/battery-life indicator to the red 'overload' position. In practice this does not occur—but it took a second set of batteries to find this out. Cells in perfect condition deflect the pointer to the edge of its green calibration, but not quite to the red. As the batteries grow weaker the meter moves further and further into the green section (when switched to PLAY). The mains unit, however, deflects this pointer well into the red area. But this is nothing more than slight mis-wording of the booklet.
**OCCASIONAL JAMS**
After some use, the three green push-buttons on the front of the recorder began, on rare occasions, to jam. The yellow TAPE button was particularly fond of this and would, every so often, fail to return when other buttons were pushed. This meant the other buttons would not move into position, and proved a source of annoyance until it was discovered that, by 'hammering' fairly softly on the yellow button with a finger, it was possible to cause it to spring back outwards. That the buttons should show signs of wear after a comparatively short period of use was an annoying betrayal of the other excellent controls used on the model.
The Disc-Corder is not the lightest of machines to carry, and is rather bulky when supported from the shoulder. It may be peculiar to me, but I have always found the average battery portable easier to carry by hand than on the shoulder.
**USE OUT OF DOORS**
Inconspicuous outdoor recording was easily accomplished, thanks to the provision of a microphone case on the shoulder strap. The nature of this case allows one to plug the microphone into the recorder and pick up sound through the holes in the case. General recordings made indoors and out were well reproduced and the recording side alone seems worth at least half the £62.
If you are wealthy enough to desire a battery portable audio system (which by its nature is more expensive than a comparable indoor system) the Stuzzi Disc-Corder is fully recommended. It is far from being an expensive gimmick and is certainly one of the most versatile machines ever to be offered on the domestic recording market.
PART 3 — POWER SUPPLY AND SWITCHED SPEED CORRECTION
The amplifier can, of course, be operated from a battery of bell cells or accumulators, but since the tape-deck is mains-operated, a mains power pack is the obvious choice.
A power pack for use with this amplifier must satisfy three requirements. Firstly, the supply voltage should be sufficiently stabilised to avoid over-running the erase oscillator and audio output stage. Secondly, the power pack should present a low source-impedance to the amplifier, because of the Class-B audio stage. Thirdly, the ripple voltage must be adequately smoothed, the effective full load being about 40 ohms.
A simple power pack is shown in fig. 2. Two silicon diodes are used in a normal rectifier circuit, the rectified voltage being fed into the collector of a power transistor Tr1, the base voltage of which is determined by the breakdown voltage of a zener diode D3; The stabilised voltage is taken from the emitter, which is effectively tied to the base voltage. In addition, the capacitor (C2) at the base of Tr1 appears to the amplifier to have an effective value of $C \times h_{fe}$, where $h_{fe}$ is the current gain of the transistor, thus greatly reducing the ripple voltage.
Component values are given for a mains transformer having a secondary voltage of 15-18V. Under these conditions the collector-to-emitter voltage of Tr1 will not exceed 6-8V, nor will the collector dissipation exceed 3-4W, so that any cheap, down-graded, device from the OC25 family (for example) would be suitable. A cooling fin is required having a total thermal resistance of about 10°C/W. This can be achieved by mounting the transistor (via a mica washer) on the power pack chassis.
Small resistances (R1 and R2) are placed in series with the rectifiers to limit switch-on surges due to the capacitive load; with some transformers the DC resistance of the secondary winding will be adequate for this.
With C1 and C2 at 1000μF, the ripple voltage is about 10 mV peak-to-peak on minimum load, rising to 30 mV peak-to-peak on full load. If these capacitors are doubled in value then the ripple voltage is reduced to 3 mV and 10 mV on minimum and full load respectively.
The 1A fuse included in the negative supply lead to protect the amplifier circuit will also protect the stabilising transistor against a short-circuit load (this fuse was included in the main circuit in Part 1). It is also advisable to include a 0.5A fuse in the mains input lead as a protection against transformer or electrolytic capacitor breakdown. The fuses can be included in the power pack, although it is probably more convenient to mount them elsewhere, since it is usually necessary to orientate the power pack for minimum hum pick-up in the R/P head.
To test the power supply, connect a 39ohm 6W resistor (representing the maximum load) across the output terminals, and check that the voltage across this resistor is between 11.5 and 12.5V, this margin being due to the spread of zener breakdown voltage. The output voltage on full load should not exceed 13.5V. The typical output voltage variation from minimum to maximum load is 0.5V.
The current through the zener diode can be checked if desired by connecting a milliammeter in series with it. This current, which is greatest under no-load conditions, should not exceed 110 mA.
The record/playback amplifier can easily be modified for use with a two- or three-speed tape-deck by the addition of a standard single-bank three-pole two- or three-way rotary switch.
The circuit modifications given in fig. 3 show a three-way switch, component values being given for tape speeds of 7½, 3½ and 1½ i/s. The
(Continued overleaf)
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This Sampler contains a wide variety of music from Symphonies by Brahms, Beethoven and Haydn to Latin American music, New Orleans Dixieland, a new series of Concert Masterpieces, and some fascinating background music running for over 70 minutes per reel, as well as many other items of interest to music lovers of all tastes.
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A TRANSISTOR TAPE AMPLIFIER — CONTINUED
amplifier on record should give 12-14 dB of boost at 12 Kc/s, 7 Kc/s and 3.5 Kc/s respectively, as already noted. The playback responses are based on 100, 200 and 400 $\mu$s time constants for these respective speeds, as shown in fig. 1.
With the speed-change equalising switch added, the amplifier is suitable for use with the B.S.R. TD10 deck and the Magnavox (Collaro) Studio deck. For use with the Brenell and Collaro Transcriptor decks: omit R34 and C27; increase C23 to 47pF to give an HF bias current of 800$\mu$A; and increase R25 to 27K, using a peak recording current of 100$\mu$A.
For the Truvox deck: omit R34 and C27; replace the oscillator transformer (T3) by the type shown in the components list (Table 1); change C24 to 680pF; retain C23 at 27pF, giving an HF bias current of 800$\mu$A; increase R25 to 27K, and use a peak recording current of 100$\mu$A. Finally, there are a few more small errors on the original circuit (page 267, August): C16 and C25 should be 0.1µF; C20 should go to the right hand side of R25; and R30 is 27 ohms, not 270 ohms, which could cause a transistor breakdown.
THE MYSTERIOUS BEAT
An odd effect described by the late Percy W. Harris
A FRIEND and I recently had a discussion about the lasting qualities of musical records on tape. Few of us can speak from personal experience on such matters, because popular tape recording has only come to prominence within the last few years, but I was surprised to hear from my friend that a recording he made two or three years ago had deteriorated to such an extent that it was virtually unplayable. As other recordings of his, taken even earlier, were still perfectly good, I asked to hear the particular tape to see whether or not I could explain the deterioration.
The recording started at the point where a BBC announcer was giving an introduction. This came over perfectly well, with no distortion whatsoever, and no apparent deterioration; but as soon as the music started it was broken up into a rhythmic beat at intervals of about one second, the distortion being so bad as to make the record completely useless. This beat continued right through the record. Other recordings, of a similar nature, taken from the same source before and since, have shown no such distortion, or for that matter any deterioration.
There were several puzzling features about this distortion. First of all, why was there neither beat nor distortion on the announcer's introduction, and why had no other recording, made from the same tuner and on the same brand of tape, shown a similar effect? The recording had been made on a full 8½in. spool at 7½ 1/5 and the fault was obviously nothing to do with the reproducing equipment as this was the only tape which showed the defect; however, we solved the problem.
With the recorder running, and looking at the apparatus working, I soon found that the passing of a spoke of the metal spool past a given point coincided with the beat frequency. Obviously then, the spokes were playing some part. Next I enquired where the spool had been kept since it had been recorded. I discovered that this spool alone had been kept in a cupboard immediately adjacent to a fairly high-power 16mm. cine projector, the magnetic field from the motor of which could reach the spool. If this were so it might very easily have de-magnetised the tape, but I had always understood that aluminium spools used in the larger reels were non-magnetic and could not affect the magnetism. However, reference to Magnetic Tape Recording, by H. G. M. Spratt, gave me the following information: "With a bulk-eraser it is quite possible that difficulty will be experienced in achieving full erasure if the reel is wound on a metal spool, since even with non-ferrous metals, the spokes are often found to have an appreciable shielding effect on the portions of tape immediately behind them".
Here, then, was the answer. Prolonged storage immediately adjacent to the magnetic field of the motor of the 16mm. projector had reduced the magnetism of the recording, not uniformly, but partially, due to the shielding of the spokes. The announcer's introduction was not affected due to complete shielding by the rim.
Charlie Barnet has been a bandleader since 1932. He achieved recognition as one of the top leaders in 1939, and has remained on the jazz scene long after the end of the 'big-band' era. The special distinctive feature of the Barnet band has been its use of, and feeling for, Ellington type material: on this tape there are two Ellington features, *Things Ain't What They Used To Be* and *Blue Rose*, as well as the Ellington-inspired composition *Blue Hound Bus Greys*.
Charlie Barnet was among the first white leaders to feature Negro stars extensively. In addition to arranging, he plays alto, tenor, and the much neglected soprano saxophone. Although a very good soloist he has never dominated performances by hogging solos like some other leaders in the swing era; possibly this is one reason why he did not rival the popular acclaim of the Goodman and Dorsey orchestras.
**CHARLIE BARNET and his orchestra.** Who's Your Hoosier; Blue Hound Bus Greys; Things Ain't What They Used To Be; Argo; Keep The Home Fires Burning; Let's Blow The Blues; Rhubarb; Swinging Down the Lane; Lumby; Blue Rose; Hear Me Talking To You; Lemon Twist. World Record Club TT 303, 3\(\frac{1}{4}\) i/s mono twin-track, 29s.
The recordings on this tape come from three sessions in the fifties, and included in the three different bands are a number of star jazzmen such as Willie Smith and George Auld (saxes), Maynard Ferguson and Charlie Shavers (trumpets), Hank Jones and Bob Harrington (piano), and Barney Kassel (guitar). Apart from the excellent solos from Barnet on alto and soprano sax., Bob Harrington should be mentioned for his solo piano contributions.
This is outstanding big-band jazz. If you are already an admirer of Charlie Barnet, or if you are just drawn by the sound of sixteen or more jazzmen playing together, this one is for you. An additional reason for buying this tape is that it is very good value in playing time—it runs for nearly fifty minutes.—T.F.
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**SYMPHONY No. 5 IN D MAJOR**, Shostakovich. Stadium Symphony Orchestra of New York conducted by Leopold Stokowski, World Record Club TT 281, 3\(\frac{1}{4}\) i/s mono twin-track, 29s.
Shostakovitch is, of course, a contemporary composer, and there are some who tend to put all contemporary composers in a compartment of their own labelled "For experts only". None need be afraid of this work however. Those who enjoy the symphonic works of Sibelius or Berlioz will find no cause for musical alarm in Shostakovitch's fifth symphony.
The general impression of the work is that it is the result of much serious thought and industry. There is an abundance of musical ideas which are allowed to develop freely but never unrestrainedly so. Melodies abound, often being given fugue-like entries on different instruments. In character the music is profound, although there are less serious moments here and there: there is a grand gallop in the last movement, for instance, and the scherzo-like second movement is a gay minuet, though even here the choice of harmonies gives a sombre touch to the gaiety.
Stokowski and the orchestra give a warm and friendly account of the symphony, the orchestra being made to show off its capabilities when required. The recording has a rich quality about it without losing clarity at all, but on the review copy the concerted string tone was slightly distorted in places. The distortion was more noticeable in the louder 'tutti'. Application of top cut made it less disturbing and it is possible that most people would tolerate this defect for the sake of the music.—G.G.
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**YOU'RE GETTING TO BE A HABIT WITH ME.** Ruby Braff and his trumpet. Ten recordings on World Record Club TT321, 3\(\frac{1}{4}\) i/s mono twin track. 29s.
The easily recognisable trumpet style of Ruby Braff has been widely acclaimed by the critics over the last ten years. One of the younger mainstream jazzmen, he was born in 1927. His style has been well described by Nat Hentoff as "heatedly tender, richly swinging, and melodically flowing and imaginative". Braff's playing has been strongly influenced by Louis Armstrong and Bunny Berigan and this is very clear from some numbers on this tape.
On this session Braff plays with Don Lamond (drums), Don Elliot (vibes), Mundell Lowe (guitar) and Milt Hinton (bass); while Hank Jones plays piano on four tracks, Nat Pierce on the others. The backing and short solos from the group are adequate, but undistinguished. The tape is a showcase for Braff who has the major share of the solos on ten jazz standards in his own easy, relaxed style. The best numbers are *Someday sweetheart*, *When your lover has gone*, and *You'd be so nice to come home to*.
It would be very nice if someone would follow up this recording of Ruby Braff with one made up from the best of the Vic Dickenson Septet sessions, featuring Ed. Hall and Sir Charles Thompson, in addition to Braff and Dickenson, thus making available at one and the same time some of the best of Braff together with some of the finest recorded mainstream jazz of the fifties.—T.F.
The skill necessary to handle more than one microphone successfully rises in greater proportion to the number of microphones employed. Indeed, while a knowledgeable enthusiast may have a high score of good recordings to his credit derived from just a single microphone, he may have an almost equally low score when he first attempts live recordings through the medium of two or more microphones. We are at present, of course, considering mono recordings where the signals from the microphones are mixed (and probably balanced) in some way before the composite signal is applied to the tape recorder.
There is absolutely no point whatsoever in using more than one microphone indiscriminately. Multi-microphone networks need to be properly planned, not only in terms of the number of microphones, their placement and balance, but also from the aspects of frequency and polar response—factors which were considered last month.
Generally speaking, one microphone at a time can cater for almost all recording requirements so far as the enthusiast is concerned. The type of microphone adopted will, of course, influence the results, and while there are good 'all-round' microphones it can pay to employ a microphone to suit the specific recording circumstances. This technique is in many cases better than endeavouring to use a number of microphones simultaneously.
Thus, while it is a very good idea for the enthusiast to invest in more than one microphone, there may be only a few cases where those microphones could be put into service together, and then their signals need to be carefully balanced and mixed, as we shall see later.
Last month the basic applications of the omni-directional, the bi-directional and the cardioid microphone were discussed. It was revealed that the all-directional characteristic of the omni-directional microphone gave it advantages in an environment which is acoustically dead, as it responds fully to the weak reflected sounds. It was also shown that both the bi-directional and the cardioid microphone reduce the reverberation or pick-up of reflected sounds by a factor of 3 to 1. Thus, the use of this type of microphone in a 'dead' room would aggravate the lack of reverberation on the recording.
Directional microphones thus have the reciprocal effect of suppressing the reverberation in an 'over-live' room. Such microphones are employed for sound reinforcement applications in areas where a high level of reverberation can result in disturbing acoustic feedback effects between the microphone and loudspeakers, giving rise to the characteristic 'howl' to which so many otherwise good public address systems are subject.
We are not normally so bothered with acoustic feedback effects during a recording session unless we are both relaying the sound through a public address system and recording simultaneously. We often need to monitor the programme material, however, but as this is usually done through headphones the sound level is rarely sufficiently high to promote an acoustic feedback loop.
Both the bi-directional and the cardioid microphone are useful devices for keeping unwanted sounds relative to the wanted sounds at a low level. In many cases, the straight bi-directional unit, in spite of its two-directional response, can be orientated to give the required ratio of unwanted sound suppression without reducing the level of the wanted sounds too much.
In cases where the required sounds are on a broad front and the unwanted sounds emanate from the opposite direction, a cardioid microphone may be the answer. It should be remembered, though, that a suitable response pattern may be obtainable from a ribbon unit with an acoustic damping pad fitted.
It is a good idea to run several experimental tapes as a means of discovering the limitations and possibilities of a new microphone before seriously engaging it in more aesthetic applications. One test should relate to the distance of the microphone from the sound source. Some microphones, notably the ribbon variety, tend to produce exaggerated bass response when placed too closely to the sound. This applies to speech and singing as well as to other sounds. It may be possible to exploit this effect to advantage in some applications—for instance, when recording dance bands and rhythm groups, where plenty of bass may be required!
Sibilants may also be emphasised when speaking close to certain microphones, and this often applies in particular if one speaks directly into the microphone rather than across it. Some microphones seem to amplify the effects of moving the instrument more than others, producing a high level rumbling noise which can completely destroy an otherwise good recording. These effects should also be investigated so that the best type of damping—such as foam rubber and the like—between the microphone handle (in the case of a hand microphone to be used for interviewing, for example) and the hand, can be explored.
TOWARDS BETTER TAPING
BY GORDON J. KING
When the enthusiast has graduated to the stage of exploring the effects of new microphones, he will be conversant with the behaviour of the microphone which was originally supplied with his recorder, but this should not influence his judgement of the new microphone being tested. A world of difference will be found between a good quality moving-coil or ribbon microphone and one of the inexpensive crystal microphones supplied with many popular recorders.
The novice will have probably started his tape experience simply by standing the original microphone on the mantelpiece at a family party. From that stage he has now graduated towards a professional viewpoint.
He will have discovered that one rule is to place the microphone as near to the sound source as is practical (having in mind the bass-boost effect of the ribbon microphone, of course) so as to avoid the cavernous and booming characteristics which colour some of his earlier recordings. He will, nevertheless, have also discovered that certain subtle recording effects can be created by wider spacing, and it is at that point that his attention may have been turned towards the possibility of employing more than one microphone.
Other precautions that he will have found out for himself include simple things like the avoidance of walking across the room when recording and preventing extraneous noises—the ticking of the clock, ringing telephone, passing traffic, rain on the windows or on the roof, coughing and so forth—from marring his recordings.
**TAPE AGAINST REEL**
Right from the beginning he will have been aware of the effect of recording the regular scrape of the tape against a reel and the whine of the motors by having the microphone too close to the recorder. He will now, of course, ensure that the microphone cable is of sufficient length to allow a goodish distance between the microphone and the recorder or—better still—to arrange for the recorder to be placed in another room or a cupboard (well ventilated!) while making a recording demanding the utmost of silence. Remote control of the recorder now becomes useful.
Indeed, the enthusiast will have a wealth of basic practical experience on which to call when judging the performance of a new microphone.
When it is required to use several microphone points there are one or two factors that should be kept in mind. Firstly, of course, each microphone must be properly matched to the input circuit and thence to the input of the tape recorder. This is where the microphone coupling network or mixer comes in. Secondly, the microphones should be spaced sufficiently from each other to avoid so-called microphone interference troubles. Such interference may result if a microphone ‘sees’ a sound-source in virtual balance with its partner.
That is, if, say, two microphones are responding equally to a sound-source there could be cancellation and/or addition of certain frequencies. Distortion can arise due to this, particularly if signals due to direct sounds at a specific frequency happen to be exactly 180 deg. out of phase with each other. If the signals are combined in a mixer or coupling network a certain amount of cancellation will result. Since the signals due to indirect sounds are unlikely to be in anti-phase under this condition, these signals will not cancel so there will remain a nett output from the mixing device, though of poor balance and quality.
Should this trouble be suspected it can be checked either by reversing the connections on one of the microphone circuits or, in the case of a bi-directional microphone, by turning it through 180 degrees.
Apart from spacing, therefore, this reveals the third factor, which is the desirability of orientating the microphones so that their ‘dead’ angles fall in line with direct or reflected sounds that need to be suppressed. The basic idea can be gleaned from fig. 1. Here is shown the use of a pair of microphones in a theatre. A cardioid is used on stage so that its ‘dead’ side is facing the auditorium, while a bi-directional (ribbon) is placed in the centre of the orchestra and orientated so that its ‘dead’ angles point towards the stage and the auditorium.
If a mixer is employed (which is most likely in such an installation!), a third microphone channel could be established from an omnidirectional microphone within the auditorium. Just a little gain could, if needed, be given to that channel to introduce ‘atmosphere’ to the recording. That is, to introduce the ‘feeling’ of an auditorium, since this is not likely to be obtained from the cardioid or bi-directional ribbon which are orientated for local intimacy at the stage end of the theatre.
Mixing facilities are also useful when it is required to make somewhat complex recordings of dramatic productions and similar items. A channel may be required to add sound effects or music. With a mixer such things can happen without disturbing the original balance established for the microphones.
Note, however, that the ribbon microphone by itself is useful for group discussion and studio drama, since two groups, one at each ‘live’ side, can be readily accommodated. The scripts of the participants can then be held in such a way that they fall in line with the ‘dead’ axis of the microphone and thus cause the least interference (incidentally, a special rustle-free script paper is available and is used by the broadcasting authorities).
Owing to the relatively sharp directivity characteristics of the ribbon, a small movement of an actor appears to be considerably greater on the recording. If the actor is well placed, for instance, it may be necessary only to shift the head a few inches while speaking normally to give the impression of advancing or receding through a far greater distance. The effect is particularly marked if the movement is instigated towards the side of the microphone, as shown in fig. 2.
The ribbon microphone is also well suited for intimate musical group recording, for it is a relatively simple matter to arrange the group in conjunction with the orientation of the microphone for the most desirable balance. If, for instance, there is too much piano or too much rhythm on the monitor, the correct balance can often be struck simply by turning the ribbon microphone through a few degrees. This, of course, is where the value of headphone monitoring really shows up. We will deal more with this aspect of tape recording in a later article.
**SIMPLEST MIXER**
The simplest microphone mixer is a device which has the required number of microphone or input jack sockets and associated gain controls. The three channels are then tied to a common output lead which plugs into the microphone jack socket on the tape recorder. This type of mixer usually operates at high impedance and employs a circuit rather like that shown in fig. 3.
Its main disadvantage is that only high impedance microphones can be used and that even on full gain the output of each microphone to the tape recorder is below what it would be individually connected to the recorder.
More elaborate mixers employ amplifiers, transformers (for low impedance work) and modulation level indicators. These will be considered next month.
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TAPE STEREO UNITS
| Model | Price |
|------------------------------|-------|
| Ferrograph 423 U, 2 track | £115 10 0 |
| Ferrograph 423 U, 2T playback| £115 10 0 |
| Tandberg Series 6, 2 or 4 track | £115 10 0 |
| Sony 664 (one replay amplifier) | £67 4 0 |
FOUR TRACK MONO TAPE RECORDERS
| Model | Price |
|------------------------------|-------|
| Telefunken M.96 | £72 9 0 |
| Philips EL.3549 | £65 2 0 |
| Philips EL.3541 | £37 16 0 |
| Philips EL.3541/H | £44 2 0 |
| Elizabethan L.Z.29 | £39 18 0 |
| Elizabethan Popular 400 | £26 5 0 |
| Cossor 1604 | £40 19 0 |
COMPLETE STEREO TAPE RECORDERS (Four Track)
| Model | Price |
|------------------------------|-------|
| Sony TC 500 | £111 6 0 |
| Sony TC 200 | £82 19 0 |
| Siemens Model 14 | £72 15 0 |
| Philips EL.3534 | £97 13 0 |
| Tandberg Series 7 | £97 13 0 |
| Philips EL.3534 | £96 12 0 |
TWO TRACK MONO TAPE RECORDERS
| Model | Price |
|------------------------------|-------|
| Vortexion WV.B. (3 head system) | £110 3 0 |
| Vortexion WV.A standard system | £93 13 0 |
| Ferrograph 5A/N (modernised) | £89 5 0 |
| Telefunken 85 "The Classic" | £87 3 0 |
| Telefunken 95 | £61 19 0 |
| Elizabethan Popular 200 | £24 3 0 |
ALSO AVAILABLE—
BATTERY RECORDERS
| Model | Price |
|------------------------------|-------|
| Bultoba MT.5 | £64 19 0 |
| Optacord 414 (inc. Mains) | £49 7 0 |
| Philips EL.3586 | £26 5 0 |
| Stella ST 471 | £27 6 0 |
*Microphones EXTRA.
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- Quad
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All types of Microphones.
For free delivery, competent demonstrations, good after sales service, and the best of Hire Purchase terms call at
THE TAPE RECORDER CENTRE LIMITED
82 High Holborn, London, W.C.1
Open from 9 to 5.30 weekdays
Close 12.30 Saturdays
Telephone: CHAncery 7401
THIS microphone is a special version of the type RB, and has been developed to meet the very high standards insisted upon by various broadcasting authorities, including the BBC. Each microphone is supplied in a padded polished mahogany instrument case complete with 6 yds. cable, set of mounting adaptors and acoustic correction pads for modifying the polar response.
The essential difference between a general-purpose ribbon microphone and one designed for broadcast use, lies in the method used to control the very low frequency ribbon resonance.
The general-purpose microphone will be used by dance bands, public address engineers and amateur recordists. It must stand up to fairly heavy handling and have a response which is a good compromise between adequate musical reproduction and non-boomy speech quality free of breath noises and "puffs" due to close speaking.
Such a microphone often uses a hard dural ribbon of 0.25 thou. or less, which is relatively springy and cannot easily be blown out of the gap by careless handling. It does, however, suffer from multiple peaks due to harmonics of the fundamental ribbon resonance unless very severe acoustic resistance damping is used. This damping usually takes the form of interleaved fabric and wire mesh screens, which are placed in close proximity to the ribbon. Further electromagnetic damping can be applied by making the primary inductance of the ribbon-to-line transformer low, so that a "shorted turn" effect generates a current in the ribbon which opposes any sudden movement of the ribbon. The combined effect of the acoustic and electrical damping is to cause a progressive fall in response at low frequencies when the microphone is used in a plane wave-front sound field, i.e., at a long distance from the sound source. When the microphone is energised by a spherical wave-front, as in close talking, the force acting on the ribbon increases at low frequencies so that a sensibly level response is obtained under these conditions. In addition, the acoustic resistance screens shield the sensitive ribbon element from breath noises and puffs due to explosive speech sounds. The response curves of fig. 1 show a typical performance of a general-purpose ribbon microphone under close talking and distant sound pick-up conditions. It will be seen that there is likely to be slight coloration due to the relatively undamped harmonic peak around 300 c/s.
Ribbon microphones used for broadcast or professional studio work can be kept in a plane-wave sound field at all times by working at a sufficient distance from the sound source.
The ribbon element is usually soft aluminium with a thickness of less than 0.1 thou. This ribbon is so light that it is sufficiently damped by the air load on either side, and the case serves only as mechanical protection and must be made as acoustically transparent as possible. On the other hand the ribbon is sensitive to the slightest draught and must be handled very carefully at all times. The usual blowing into the microphone to see if it is "live", so beloved by dance-band crooners, would blow the ribbon straight out of the gap and at the same time straighten out all the corrugations so that it would sag limply, ruined for ever more.
The microphone under review steers a mid course between these extremes. A thin soft ribbon is used with the lightest possible acoustic screening and with a transformer primary inductance sufficient to give a level response down to the fundamental ribbon resonance. Even so one is warned not to shut the lid of the carrying case too sharply as the change in air pressure may deflect the ribbon beyond its elastic limit, and it must on no account be moved suddenly or used in the open air.
The responses of fig. 2 show that the low frequency response is completely smooth and free of ribbon resonance effects, and that the response is level in a plane-wave sound field at some distance from the sound source. The response for a point sound-source at a distance of 1 ft. is shown by the dotted low frequency curve.
The high frequency response is somewhat dependent on the direction of the sound wave. The most level response is obtained when the sound is directed to the front (label side) of the microphone. The response from the back of the microphone shows a slight mid-high-frequency peak which may be useful under certain conditions to add "presence" to an otherwise dull sound.
The polar response is true figure-of-eight at low frequencies, but the front and back lobes sharpen at high frequencies as the magnet
(Continued overleaf)
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| Size | Length | P.V.C. | P.V.C. |
|------|--------|--------|--------|
| STANDARD PLAY | ... | 3" 250' | 2/6 | 2/6 |
| | ... | 5" 600' | 9/- | 8/-
| | ... | 51/2" 900' | 11/6 | 10/-
| | ... | 7" 1200' | 16/- | 12/-
| LONG PLAY | ... | 3" 225' | 3/- | 2/-
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| | ... | 5" 900' | 11/6 | 10/-
| | ... | 51/2" 1200' | 16/- | 12/-
| | ... | 7" 1800' | 23/- | 15/6 |
| DOUBLE PLAY | ... | 3" 400' | 6/- | 5/-
| | ... | 4" 600' | 8/6 | 8/-
| | ... | 5" 1200' | 21/- | 14/6 |
| | ... | 51/2" 1800' | 24/- | 19/-
| | ... | 7" 2400' | 39/- | 24/-
| EMPTY SPOOLS | ... | 3" 9d | 5/2 | 3/2 |
| | ... | 5" 12d | 7/2 | 5/6 |
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RESLO REVIEW—CONTINUED
cavities are used to maintain a level response on the axis at the expense of sounds arriving at an angle of about 45 degrees.
The open-circuit voltage of this 30-50 ohm unit is 30 microvolts for an applied sound field of 1 microbar which means that the normal 50:1 transformer would bring the voltage up to 1.5 mV per microbar; this agrees closely with the specified output of 58 dB below 1V/dyne/cm² at an impedance of 40 K ohms.
This is an excellent microphone for professional or amateur recording of music. For speech a well-damped studio must be used so that the speaker can be placed at least 3 ft. from the microphone, alternatively an electrical bass-cut must be used to cut the 50 c/s response by 10-12 dB for speech at 1 ft.
An A-B test against a standard Reslo type RB shows almost identical sensitivity with complete lack of mid-low frequency coloration which is so often evident on certain types of male voice.
A. Tutchinigs.
our readers write...
... about the EL3536
From: L. J. Bishop, 5 St. James Court, College Lane, Durban, South Africa.
Dear Sir, Your readers may be interested in the modifications I have carried out on my Philips EL3536 stereo recorder. The first is an extra socket (Continental three-pin type) which I put in next to the existing microphone socket. The result is that two microphones can be used independently. The stereo socket is still wired to receive the stereo microphone. All that was done was to wire the stereo Point 3 to Point 1 on the new socket.
The second modification is the head output socket wired direct from the track selector switch. Now the heads can be fed into a good amplifier. The internal amplifier can then be turned off via the gain controls. This must be well screened or else, on record, the bias from the head can creep into the input leads via a capacitive effect.
The third modification is a separate magic-eye for both channels. Here a little cutting and screwing of the deck cover and plastic have to be undertaken. I feel that this arrangement is much better, as the comparison between the two channels is now easier to see. I can give more details of this to anyone interested as it entails slightly more intricate modifications.
The fourth and fifth are: (1) A plug-in socket for mains cord at the rear of the recorder. This saves putting it on its side every time it must be used. (2) A switch to cut out the motor on P.A. (straight-through amplification). This was done by making the speed change buttons cut out the motor, so alleviating flats on the idlers, and substituting a mains switch on the end of either volume or tone control. It means in effect a new potentiometer will have to be fitted, with mains switch attached. All gain and volume controls are now concentric as opposed to ganged, giving independent control of each channel.
Yours faithfully.
... about creative experiments
From: Gordon Rimmer, 39 Howard Road, Coulsdon, Surrey.
Dear Sir, There was a macabre fascination about Mr. Finlayson’s palindromic article in your April issue. His experiments in the backwards recording of piano music are a classic example of misplaced ingenuity.
However, the world would be a duller place without such people and I look forward with eager anticipation to another equally erudite and pointless paper from him in the near future. May I suggest for his consideration “How to Play the Bagpipes in Six Fathoms of Water”. He could start practising now!
Yours faithfully,
MODEL 464 of the Sony range, until recently marketed in this country by Messrs. Tellux (see page 353), is a two-speed, 1-track tape recorder, with some stereo facilities. There are two separate pre-amplifier and amplifier channels, but a single driver and output stage, thus allowing stereo playback from the line outputs. Operation of each channel is independent and each has its own modulation level indicator. Channel mixing is possible via the internal amplifiers and a jumper lead allows trick recording. For normal recording purposes, 1/2-track mono facilities are the limit of its capabilities. The two microphone inputs are only provided for channel mixing. There is a single oscillator, using the output valve in a double function as on many simpler machines.
INDEPENDENT CHANNELS
The special feature of this machine is the entirely independent operation of each channel. Thus, for trick recording, it is only necessary to connect a pre-recorded track of CHANNEL 2, switched to PLAYBACK, via the line-out 2 and high-level 1 jacks, to re-record on CHANNEL 1, mixing with the low-level 1 input. By monitoring with earphone at line-out 1, a respectable result can be obtained. This system is far superior to the hit-or-miss superimposition, which it is hoped will soon be relegated to history, giving our friends Mr. Bargery and Mr. Ford something else to write about in our companion volume, Hi-Fi News.
This also means, of course, that recording and playback is independent on each channel. So it is possible to use the machine as a form of language teacher by listening on CHANNEL 1 while recording on CHANNEL 2. Then the whole shebang can be played back with the SPEAKER SELECTOR switch operated to give a direct comparison.
From the servicing point of view, this gives only a little extra trouble, and it is not proposed to spend a lot of time on this model. The mechanics are very similar to the 362 and previous models, and reference to the preceding articles should be sufficient. There are a couple of small differences. Dismantling, for example: to take off the cabinet, after removing the top covers as previously described, first turn the machine upside down, and take out the four Phillips screws. There are two on the handle side and two on the opposite side. A screw near the ventilation grille has to be removed to allow the base to be taken off. The cabinet can be lifted clean away, or the machine re-inverted and the chassis lifted clear.
To get at the printed circuit board for electrical servicing, remove the screw between the motor and the enamelled resistor that lies laterally to the rear of it. Then, shift to the right and you will find the output transformer. Between this and a trimmer capacitor there is another chassis screw that must be removed. Then there are two more near this angle-bracket assembly, one between the output transformer and the other trimmer; the other beneath the oscillator transformer, which is the one to the extreme right. Finally, one screw at the left centre of the board itself and another down to the right, near the RECORD-PLAYBACK switch. Removal of this assembly allows access to the slider switch, and when re-assembling, care must be taken to get the guide levers in the slots.
Mention of the trimmers, above, reminds us that there are also a couple of coils in this machine, with iron-dust core slugs that can tempt the wandering screwdriver. Do not be tempted. These are 'trap' coils; the first, in the cathode circuit of the second stage of each channel, tunes in parallel with .005μF capacitors to give very high impedance at the bias frequency, removing all traces from the signal. Alteration of the bias frequency will require retuning of these. The other two eliminate bias frequencies from the magic-eye circuits, forming series resonant circuits with .002μF capacitors, giving a minimum impedance at bias frequency, shunting it to chassis. The bias frequency is approximately 60 Kc/s. The two trimmer capacitors mentioned previously are used to set the bias level, which should give an indication of about 65V on a valve-voltmeter connected across the appropriate head winding. This is not a maximum reading, but a just-over-the-peak setting, for the benefit of those who wish to adjust with only the aid of a multimeter. (See later notes on the S21, and fig. 2.)
Pre-set potentiometers are incorporated for adjustment of the 6ME10 magic-eye closure. To adjust, switch to RECORD, 'kill' the oscillator by shorting the grid of the 6AR5 to chassis (pin 1), feed in a 1 Kc/s signal at 1.35mV to the appropriate microphone input and adjust the signal level for a reading of 6V at the anode of the second stage. Then set the potentiometer until the beam is not quite closed.
Before saying too much about the S21, which is a much more comprehensive job, let me refer readers to the review by A. Tutchings, which appeared in the September 1962 issue of Tape Recorder. Apart from the fact that his comprehensive notes save me the task of describing the facilities and much of the operation, his final comment may be of interest. I quote: "This is a lovely machine to handle; it has that indefinable 'professional' feel . . ." The fact that it also has a professional price tag automatically follows!
(Continued on page 375)
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sig./noise
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C. Braddock Limited
266 Waterloo Road, Blackpool
Telephone: 45049
---
**TAPE RECORDER COVERS**
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| Model | Price |
|----------------|-------|
| Philips EL3538 | 63/- |
| EL3537 | 63/- |
| EL3536 | 63/- |
| EL3535 | 57/6 |
| EL3541/15 | 57/6 |
| SH1H | 75/- |
| Starmaker | 57/6 |
| Cossor 1602 | 57/6 |
| TK.1 | 49/6 |
| TK.6 | 67/6 |
| TK.8 | 63/- |
| TK.14 & 23 & 18| 59/- |
| TK.15 | 52/6 |
| TK.24 | 55/- |
| TK.25 | 55/- |
| TK.30 | 60/- |
| TK.35 | 63/- |
| TK.40 & 41 | 63/- |
| TK.45 | 82/- |
| TK.55 | 63/- |
| TK.60 | 75/- |
| TK.60/3D | 75/- |
| Cub | 35/- |
| Telefunken 82 | 65/- |
| 82/15 & 76K | 58/- |
| 95 | 69/6 |
| Philips 8108 | 57/6 |
| 8108 | 63/- |
| 3534 | 87/- |
| 3459 | 79/6 |
---
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BRITAIN'S FINEST VALUE IN P.V.C. RECORDING TAPE
STANDARD, LONG, DOUBLE & TRIPLE PLAY
Adastra Electronics Ltd 167 Finchley Rd. London NW3
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**BUY A Bib**
**THE PROFESSIONAL TAPE SPlicer**
The most reliable and easy to use.
All metal—beautifully plated—compact in size—mounted on flock covered base. Easily and permanently attached to your tape recorder. Ferrograph, Vortexion, Reflectograph and Wearite decks already have fixing holes for the Bib splicer.
Clamps hold the magnetic or leader tapes in the precision cut channel—no danger of damaging the edges—most important with 4 track recordings. Two sets of unique cutting slots are provided to facilitate editing to a syllable.
The Bib tape splicer saves tape and makes editing a fascinating hobby.
More Bib splicers have been sold in recent years than any other make. It is incorporated in the "Scotch" Tape Accessory Kit and is used by recording studios and broadcasting organisations.
MULTICORE SOLDERS LTD.
MULTICORE WORKS, HEMEL HEMPSTEAD, HERTFORDSHIRE
This is a fully stereophonic machine, two-speed (7\(\frac{1}{2}\) and 3\(\frac{1}{2}\) i/s), with in-line stacked heads and a tape shifter mechanism giving \(\frac{1}{2}\) or \(\frac{1}{4}\)-track operation. VU-meters are used for level indication, and an auto-stop is fitted. This is one of the 'no-tape' types, using a microswitch and tape contacting lever. The adjustment is quite important. When the top covers are removed, the microswitch and tape lever are to the left and the pull-rod and adjustment lever can be seen to the right of the deck-plate. There is a split nut on the pull rod, and the setting should be such that, with the machine at PLAY the power is cut off just before the shut-off lever reaches the end of its travel. Two fixing screws on the top surface of the plate allow setting of the microswitch, which must be checked before any alteration is made to the rod. The adjustment of the rod should be such that the lever is just below plate level when in the STOP position. Care should be taken not to overdo this adjustment, or the selector lever will bind.
The brakes on this machine are somewhat similar to those described earlier, with separate take-up and feed-spool braking, and an 'instant-stop' brake combined with a hold-off lever for pause action. The right-hand brake contacts the friction drum, just beneath the spool carrier. There is a felt ring between these two parts, with a helical spring pressing them together, giving a slipping torque. Beneath this again there is an oil-absorbing washer, a felt ring, idler disc and spacer, the whole being retained by spring washer and nut. Note that the angled arm, which is held off by a spring, must not come into contact with the friction drum during PLAY. Clearance is very small. Similarly, when at STOP, the other end of the lever must be clear of the cam. Turn the take-up spindle clockwise by hand and note the throw action, which causes the lever to approach the cam, then bend the angled end to clear.
The feed spool is braked by the action of the left idler, which is in turn impeded by a brake-block. The setting of both idlers is quite critical. The right idler butts against a stopper, formed by a punched-out flap from the chassis and in the STOP position there should be a \(\frac{3}{8}\) in. clearance, no more. When the machine is switched to PLAY the minimum distance between the left idler and the friction drum of the feed spool should be \(\frac{3}{16}\) in. also. The other brake shoe, actuated by the instant stop, should touch the friction drum exactly as the pinch roller leaves the capstan. The assembly is held by two screws and the tongues, both for the instant stop button and the pinch arm actuator, protrude upwards. The latter can be bent for correct throw, as can the auxiliary plate, adjacent to the bar of the brake arm. The slipping torque of the feed spool is arranged so that a slight delay in disengagement of the pinch roller will not overstrain the tape. This consists of a felt ring and disc above the spacer and below the carrier. Hardening of this disc can cause erratic action due to drag.
An important setting on this machine is the RECORD button locking. Fig. 1 shows the assembly. Clearance between the lock plate and the lug on the record button stem must be \(\frac{3}{16}\) in., when FORWARD is selected. The washers shown in the diagram must be in place and can be added to or subtracted from to give this clearance before any
(Continued overleaf)
other adjustment is attempted. Then, the locknut on the pull-rod is adjusted so that the pivoted lever touches the lower end of the stem at STOP.
The tape shifter is an interesting arrangement. A lever attached to the head plate swivels the pallette-shaped plate, raising or lowering the complete assembly, which is mounted on springs, giving downward tension by the screws. Protrusions at the periphery of this plate allow exact locking into position and the cut-out portion in the centre lets the tape shifter (see last month's diagram) move freely. The wings of the tape shifter are bent to clear head shield and erase plate in the PLAY position, and retract completely when STOP or FAST WIND is selected. There is a single Phillips screw at the base of the shifter allowing some adjustment.
Speed change follows the pattern previously described, with a stepped crescent arm altering position of the drive idler relative to the motor pulley, and engaging the flywheel directly, by the swivel action of a rod. Note that the rod moves down and clockwise from 34 to 7½ i/s, and the knob of the speed selector should never be turned without this pressing action, allowing the spring to revert to normal when returning from 7½ to 34 i/s.
Electrical adjustments are straightforward, but it may illustrate a point, and underline some of the cogent remarks of K. R. Wicks, to give some detail of the bias setting method. This is done using the step-by-step setting, as would be used when adjusting any tape recorder for which no data was available. First, the valve-voltmeter (or alternative indicating device, such as a high impedance multimeter) is connected across the appropriate head winding. Then, a 1 Kc/s signal is recorded, at 55dB below saturation, setting the volume control for 100% reading on the VU-meter. Where these readings cannot be checked, record at 'normal level' with the gain at about two-thirds up. As this recording is being made, adjust the trimmer behind the slide switch at the base of the amplifier in steps of ten seconds or so, from its minimum position, so that the VVM reads increases of 10V each time. A lower reading than this will be obtained with a meter of lower impedance. Plot the settings by marking the voltage points at particular footage points, using the position indicator.
Now play back this recording, measuring the output. A curve something like fig. 2 should be obtained, and it will be noted that a slow peak is reached as the bias is increased, falling away until at a point around 2dB below maximum the correct setting is found. Drop the vertical from this point on the rough graph and note which bias voltage it cuts. Note the angular setting of the trimmer which gave that voltage and set the trimmer to that angle for the best results. With practice, it is possible to make this test quite quickly, and almost 'play it by ear' on any tape recorder.
**SPOOLS OR CARTRIDGES? CONTINUED**
build up without the intrusion of such interference as the disc-jockey's voice or the clicks and ear-blasting noises caused when setting recording level.
This argument also applies to the very non-technical non-creative person for whom the cartridge is presumably intended. The manufacturers feel great sympathy with the mythical millions who are unable to thread a spool of tape. Rather than design head-channels with the pressure-pads and pinch wheel completely withdrawn in the Stop position—and spools which do not require eleven fingers to thread—they suggest making tapes as easy to 'thread' as gramophone discs. Admittedly cartridges are much easier and quicker to change than spools, but what is the non-technical non-creative recorder-owner going to do with his (or her) machine? Sound effects, interviews, and editing will hold no interest for him—not surprising considering he is unable to thread a spool of tape. No doubt he is expected to derive pleasure from recording his favourite music from friends' gramophone equipment to carry with him and play when sitting on the seafront. Even allowing for the long delays and chopped-off ends between records, this person is likely to meet up with the employee of a recording or broadcasting company before his love of music wears off, and he stands a much greater chance of being charged with breach 'of copyright than the cut-and-splice addicts sitting quietly in their 'studios'.
Bring back the spool and let us live in security!
CLASSIFIED ADVERTISEMENTS
Advertisements for this section must be pre-paid. The rate is 6d. per word (private), minimum 1s. 6d., Box Nos. 1s. 6d. extra; trade rates 9d. per word, minimum 12s.; Box Nos. 2s. extra. Copy and remittance for advertisements in NOVEMBER 1964 issue must reach these offices by 5th OCTOBER addressed to: The Advertisement Manager, Tape Recorder, Link House, Dingwall Avenue, Croydon, Surrey.
Replies to Box Nos. should be addressed to the Advertisement Manager, Tape Recorder, Link House, Dingwall Avenue, Croydon, Surrey, and the box no. quoted on the outside of the envelope. The district after box no. indicates its locality.
FOR SALE
Brenell Mk. V, as new, extras, £45. Mr. Thorpe, Monkstown, Roman Road, Dibden-Purlieu, Hythe, Hants.
Fi-Cord 202 professional transistor recorder, complete with leather carrying case, mains unit and stethophones. Cost nearly £100 six months ago and absolutely mint condition, £65. Also Beyer M110 mike, hardly used and cost 15 guineas for £10. Rowe, GIP 7115.
Tandberg 6-4 tape recorder, case. As new. £85 o.n.o. Phone TEMple Bar 2123.
Philips EL 3586 battery recorder, case and mains unit. Unused. £23. Phone TEMple Bar 2123.
Q-Cord battery portable, mains unit, car lead. Cost £47. Used one hour. Bargain £30. Box No. 372 (Lancs.).
Tape recorder, Simon SP5, excellent condition, hardly used; guarantee still valid. Echo and other facilities. Price £75. Apply A. N. Vyner-Brooks, 16 Oxford Road, Southport. Tel. 67901.
The Tape Recorder, May 1960-June 1962 in binders, 30/- the lot. James Cieland, 12 Bothwell St., Leith, Edinburgh, 7.
New came Stereo, Huntingdon Walnut Cabinet fitted Thorens TD 175/10 Ortofon SPU/GT dust box, Oppel F. M. Tuner, Quad 22 control unit, 2 Quad 11 amplifiers, two Leak sandwich speakers. Nearest £200. Also Truvox PD86 and PD87 approx. 12 months old. Nearest £40 each. Furlong, 4a, Marshall Terrace, Leeds, 15.
TRADE
Lafayette Tape. Polyester : 7in. 2400ft. 22/6, 5½in. 1800ft. 20/-. 1200ft. 14/-. 7in. 1800ft. 19/-. 7in. 1200ft. 12/-. Acetate : 7in. 1800ft. 14/9. 5in. 900ft. 10/6. 5in. 600ft. 8/-. P. & P. 2/-. Refund guarantee. S.A.E. list. Ledra Tapes, 27 Baker Street, W.1. WELbeck 0441/2.
A Unique Buy! Recording tape, top brand. 7in. 2400ft. D.P. 25/-. 5½in. 1200ft. 19/6. P. & P. 1/6 per spool. Bargains in all sizes. S.a.e. for list. We repair, buy and sell recorders. E. C. Kingsley & Co. Ltd., 132 Tottenham Court Road, London, W.1. EUSton 6500.
Pre-recorded tapes. Unique complete catalogue listing all makes, mono, stereo, 7½ and 3½ ips including World Record Club tapes. Call for free copy or send 1s. mailing fee. Dept. T.R.3, Teletape Ltd., 33 Edgware Road, W.2. Phone : PAD 1942.
Speedy and Expert Tape Recorder and Hi-Fi repairs by England's leading Hi-Fi Specialists. Telesonic Ltd., 92 Tottenham Court Road, London, W.1. MUS 8177.
continued on page 378
CLASSIFIED ADVERTISEMENTS
TRADE—CONTINUED
Sound Effects—Castle 45 r.p.m. discs, 8s. each or on tape 18s. 6d. each including postage and packing. Titles include: mixed effects, trains, animals, military parades, electronic music, bells and sirens, haunted house, etc. Send 3d. stamp for lists. Recorded Tuition Limited, 174 Maybank Road, South Woodford, London, E.18.
WANTED
Lee Electronics. The Tape Recorder and Hi-Fi Specialists wish to purchase good quality Tape and Hi-Fi Equipment for cash. 400 Edgware Road, W.2. Phone: PADdington 5521.
Highest cash prices offered for good quality Tape Recorders and Hi-Fi. See our ad. page 344 this issue. R.E.W., 266 Upper Tooting Road, London, S.W.17.
MSS Disc Cutter. Good price offered for cutter (45 r.p.m.), new or good used. GER. 4110.
TAPE EXCHANGES
Autumn !—Time to "Armchair Travel" with Worldwide Tape Talk, 35 The Gardens, Harrow, Middlesex. S.A.E. for particulars.
STUDIO FACILITIES
Tape to Disc service, editing, and dubbing, all speeds. Studio available for musical groups. Outside recordings our speciality. Ilford Sound Recording Service, 63 Aintree Crescent, Barkingside, Ilford, Essex. Phone: CRE 8947 and GRA 5107. S.A.E. for list.
Rapid Recording Service, 78s and L.P.s from your own tapes. (48-hour service.) Master Discs and pressings. Recording studio. Mobile recording van. Manufacturers of the Sleep-o-Matic Unit. Foreign language courses available for sleep-learning. Brochures and price lists on request from: Dept. T.R.21, Bishops Close, London, E.17.
Tape to Disc Recordings. Finest professional quality. 10in. L.P. 42s. (32 min.). 12in. L.P. 48s. (45 min.). 7in. E.P. 21s. 48-hour Postal Service. S.A.E. for leaflet to: Deroy Sound Service, 52 Hest Bank Lane, Hest Bank, Lancaster.
— TAPE TO DISC SERVICES —
The following are members of the Association of Professional Recording Studios who can be relied on to give satisfaction
MJB RECORDING & TRANSCRIPTION SERVICE
specialise in the production of microgroove records from professional and Amateur recordings (Acetate copies; Mono and Stereo pressings). Extended playing time achieved by controlled cutting techniques. Studio, Mobile, "Off the Air" and all recording services. Detailed booklet available.
7 HIGH STREET, MAIDENHEAD (Tel: 25630)
TAPE RECORDERS - AUDIO EQUIPMENT - DISC CUTTING STD & LP FROM TAPE - STUDIO FACILITIES - HIRE SERVICE - SALES - EXCHANGES
MAGNEGRAPH
I Hanway Place, London, W.I. Tel.: LAN 2156
ADVERTISERS' INDEX
| Company | Page |
|----------------------------------------------|------|
| Adastra Ltd. | 374 |
| Agfa Ltd. | 350 |
| Braddock C., Ltd. | 374 |
| B.A.S.F. Chemicals Ltd. | 380 |
| Bosch Ltd. | 347 |
| Brenell Engineering Co. Ltd. | 348 |
| Brown, A., & Sons Ltd. | 374 |
| Educational Recordings Ltd. | 372 |
| Esoteric Productions Ltd. | 366 |
| Ever Ready (G.B.) Ltd. | 362 |
| Fairbotham & Co. Ltd. | 370 |
| Francis of Streatham | 348 |
| Heathkit (Daystrom Ltd.) | 349 |
| Howard Tape Recorders | 346 |
| Kingswood Supplies | 377 |
| Mallory Batteries Ltd. | 342 |
| Morhan Exporting Corporation | 364 |
| Multicore Solders Ltd. | 374 |
| M.S.S. Recording Co. Ltd. | 343 |
| National | 352 |
| Recorder Co. | 379 |
| Reps (Tape Recorders) Ltd. | 344 |
| R. E. W. (Earlsfield) Ltd. | 344 |
| Scotch Tape | 354 |
| Tandberg (Elstone Electronics Ltd.) | 358 |
| Tape Recorder Centre Ltd. | 370 |
| Temple Press Books Ltd. | 372 |
| W.A.L. (Elstone Electronics Ltd.) | 379 |
| Walker, N. | 372 |
| Zonal Film (Magnetic Coatings) Ltd. | 345 |
Published by the proprietors, Link House Publications Limited, 10-12 South Crescent, Store Street, London, W.C.1, and printed by Arthura Press Limited, Woodchester, Stroud, Glos., England.
Professional Performance
Head De-magnetiser
De-magnetises tape heads quickly and simply. Also for pin-point erasing on striped film and tape recordings—removes local unwanted noises without detriment. Has nylon-cushioned twin probes with a concentrated demagnetising field in the 1/8" gap between the arms. Pistol grip, A.C. mains. Professionally designed for professional recording engineers. £2.10.0.
Tape Eraser
Erases both sides of a 7" tape reel in 30 seconds and positively removes even the very low frequency portions of a recording. Use the WAL Tape Eraser, the only way to ensure an absolutely clean tape—quicker and better. Mains operated. Also erases sound from 16 mm. film, 10" aluminium reels. Professionally designed for professional recording engineers. £0.18.6.
Pre-amplifiers
WAL pre-amps are made for every purpose. Fully transistorised, battery-operated, give high gain, completely hum-free. Laboratory built and fully tested. Professionally designed for professional recording engineers. Ask for details of WAL-GAIN Mono £5.10.0. STEREO WAL-GAIN £7.10.0. and the superb WAL HI-GAIN with built-in switched equalisation for monitoring, dubbing etc. etc. £7.16.0.
Free leaflets available on these professional aids to perfection... please write:
ELSTONE ELECTRONICS LIMITED
Edward Street, Templar Street, Leeds 2.
THE RECORDER CO.
for best machines on advantageous terms
| Deposit | 12 Monthly Payments | Cash Price |
|---------|---------------------|------------|
| £ s. d. | £ s. d. | Gns. |
4-TRACK STEREO/MONOURAL
Ferrograph 424 ... 11 12 8 13 2 110
Sony TC 500 ... 11 9 0 8 11 8 109
Grundig TK46 ... 10 12 0 7 15 7 99
Sennheiser 412 ... 9 16 0 5 11 1 75
Philips EL334 ... 9 16 0 5 11 1 75
Sony TC 200 ... 8 19 0 6 3 4 79
Elizabethan LZ507 ... 5 9 0 3 16 8 49
2-TRACK STEREO/MONOURAL
Revox Model 736 ... 13 4 0 10 11 8 124
Brenell STB ... 11 0 0 9 0 0 120
Ferrograph 422 ... 11 12 0 8 11 8 110
Telefunken 98 ... 10 0 0 7 9 7 95
MAINS 2-TRACK
Brenell S Type "M" ... 9 5 0 6 18 7 88
Ferrograph 42N ... 8 19 0 6 13 10 85
Telefunken 85 ... 8 15 0 6 10 8 83
Brenell S/2 (Meter) ... 7 5 0 5 16 7 74
Brenell S/2 ... 7 5 0 5 16 7 69
Truvox 92 ... 7 5 0 5 8 8 69
Kas R10 Mic. 2 ... 6 4 0 4 12 11 59
Grundig TK18 ... 4 4 0 3 11 3 59
Grundig TK14 ... 3 13 6 2 15 2 35
Wyndorf 707 ... 3 9 0 2 11 3 33
Wyndorf 707-I ... 3 9 0 2 11 3 33
Elizabethan Auto 2 ... 2 16 6 2 10 20 26
Ferguson 3206 ... 2 16 6 2 10 20 26
H.P. also over 18 and 24 months
If unable to call, write for free brochure, or send deposit now for quick delivery or telephone SWI 4977 for FREE HOME DEMONSTRATION
FREE DELIVERY
PART EXCHANGE
MAINS 4-TRACK
Grundig TK40 ... 7 5 0 5 8 8 69
Reps R10 Mk. 2 ... 7 5 0 5 8 8 69
Truvox 894 ... 7 5 0 5 8 8 69
Philips EL349 ... 6 15 0 3 10 10 62
Grundig TK23 ... 4 15 0 3 10 10 45
Philips EL354/H ... 4 12 0 3 5 10 42
Brenell LZ29 ... 3 15 8 2 16 9 39
Philips EL354I ... 3 15 8 2 16 9 36
Elizabethan LZ24 ... 3 14 0 2 13 4 34
Ferguson 376 ... 2 19 0 2 11 1 33
Elizabethan Auto 2 ... 2 19 0 2 4 1 28
Philips "Star Maker" ... 2 16 9 2 2 7 27
BATTERY
"THIS IS IT!"
PHILIPS EL330P
POCKET 4-TRACK RECORDER
"Snap-in" Cartridge Loading. Twin-Track, playing time 30 mins. per track. Remote control switch on mains supply for separate use. Mains Input Meter and Battery Strength Indicator. Size 7¾" x 4¼" x 2¼".
Unbreakable moulded plastic carrying case 25 gns
Deposit £2.15.0, 12 Monthly payments £1.19.2
Open Saturday 6 p.m.—Friday 6.30 p.m.
H.P. interest free
NEW! COSSOR—FULL STEREO
PRICE
57 Gns.
Deposit £6.0.0
12 monthly payments of £4.9.9
Sterophonic and monophonic recording/playback employs 4-track technique. Two built-in loudspeakers—one for each channel. Two built-in ½" and 3½" disc Mains operated all transistor amplifiers with "warm-up" time. Multiplay—a recording on one track may be copied on to another whilst adding a new recording. Suitable for use with a P.A. system with microphone or record player inputs. Input sockets for microphone, gramophone and "diode" type digit indicator, with zero reset. Recording level can be set while tape stationary. Supplied complete with stereophonic moving coil microphone, 5" real LP tape, empty spool and radio controlled clock.
We will be pleased to demonstrate these fine models or send full details.
(DEPT. T) 188, WEST END LANE,
WEST HAMPSTEAD, LONDON, N.W.6
Telephone: SWI 4977
BASF —were the first to produce magnetic recording tapes. Today, they use the same imagination, initiative and craftsmanship to maintain a standard of technical perfection unequalled throughout the world. BASF insist on high-quality production; all tapes possess dimensional and magnetic stability, full frequency response, negligible print through and mirror finish surface. So capture the beauty of perfect sound forever with BASF—the wide range ensures that there is a BASF tape for every type of machine and every possible requirement.
THE SYMBOL OF AUTHENTIC SOUND
BASF Chemicals Limited • 5a Gillespie Road • London N.5. • Telephone: CANonbury 2011
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UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT
UNITED STATES OF AMERICA,
Plaintiff-Appellant,
v.
GIG AND JEANNETTE EBERHARDT,
Defendants-Appellees.
No. 85-1212
D.C. No.
CR 84-395-EFL
UNITED STATES OF AMERICA,
Plaintiff-Appellant,
v.
TOM WILSON AND SONNY ERICKSON,
Defendants-Appellees.
No. 85-1213
D.C. No.
CR 84-396-EFL
Appeal from the United States District Court for the Northern District of California
Eugene F. Lynch, District Judge, Presiding
UNITED STATES OF AMERICA,
Plaintiff-Appellant,
v.
DIANE SUE MATTZ, ATONE ("TONY") W. FOLKINS, and RANDY MATTZ,
Defendants-Appellees.
No. 85-1233
D.C. No.
85-0136-TEH
OPINION
Argued and Submitted
January 17, 1986—San Francisco, California
Filed May 16, 1986
Before: Cecil F. Poole and Robert R. Beezer, Circuit Judges,
and William J. Jameson,* Senior District Judge.
Opinion by Judge Poole; Concurrence by Judge Beezer
Appeal from the United States District Court
for the Northern District of California
Thelton E. Henderson, District Judge, Presiding
SUMMARY
Indians/Criminal Procedure
Appeal from order dismissing criminal prosecutions for the unlawful sale of anadromous fish. Reversed and remanded.
The order arises from appellee members of the Yurok Indian Tribe’s commercial fishing on the Hoopa Valley Reservation in violation of appellant Department of the Interior’s (Interior) regulation. The district court held that the regulations impermissibly modified or abrogated the Indians’ reserved right to fish commercially.
[1] The regulations aim at promoting equal access to the Klamath River fishery resource by all Indians of the Reservation, and at assuring adequate spawning escapement. [2] Statutory provisions give Interior sufficient authority to promulgate the Indian fishing regulations at issue. [3] The general trust statutes furnish Interior with broad authority to supervise and manage Indian affairs and property commensurate with the trust obligations of the United States. [4] The Supreme Court has acknowledged Interior’s authority to issue fishing regulations under the “general Indian powers.”
*Honorable William J. Jameson, Senior United States District Judge, District of Montana, sitting by designation.
[5] Interior's regulations are designed to manage the fishery for the benefit of the Indians, not to extinguish any reserved tribal fishing rights. [6] Unlike Congress, states may not qualify Indian fishing rights. States may regulate Indian rights in the interest of conservation by an appropriate exercise of their police power. [7] Absent a finding that Interior improperly exercised its rule making authority, there is no basis to invalidate these regulations despite their impact in managing the fishing rights of Hoopa Valley Reservation Indians. [8] The district court did not consider whether the regulations are arbitrary and capricious or discriminatory. The court declines to reach these issues here.
The concurring opinion expressed concerns that the disjoined management of the Klamath River basin by the Departments of Commerce and Interior makes the Indians on the Hoopa Valley Indian Reservation the primary victims. The Indians are being deprived of any commercial access to a valuable resource.
COUNSEL
Department of Justice, Land and Natural Resources Division, Blake A. Watson, Washington, D.C., for the plaintiff-appellant.
Geoffrey Hansen, Assistant Federal Public Defender, San Francisco, California; Serra, Perelson, Anton, and Lichter, Laurence J. Litcher, San Francisco, California; and California Indian Legal Services, Michael Pfeffer, Oakland, California, for the defendants-appellees.
OPINION
POOLE, Circuit Judge:
In these cases the United States appeals district court orders that dismissed criminal prosecutions charging appellees with unlawful sale of anadromous fish caught within the Hoopa Valley Indian Reservation. Appellees were accused of violating regulations promulgated by the Department of Interior (Interior) that prohibit commercial fishing by Indians on that part of the Klamath River flowing through the Reservation. The district courts held that the regulations are invalid as an unauthorized modification of the Indians' reserved tribal right to fish for commercial purposes. Because we find that the statutory provisions authorizing Interior to manage Indian affairs permit the regulation of fishing on the Hoopa Valley Reservation, we reverse and remand for further proceedings.
I.
Appellees are members of the Yurok Indian Tribe who, along with the Hoopa Indians, occupy the Hoopa Valley Reservation in California's Del Norte and Humboldt counties.\(^1\) Appellees were charged under section 3(a) of the Lacey Act Amendments of 1981, 16 U.S.C. § 3372(a) (1982), which makes it unlawful to sell fish taken in violation of any law or regulation of the United States or the law of any state.\(^2\) The regulation at issue here is contained in 25 C.F.R.
\(^1\)For a description of the geography and history of the Hoopa Valley Reservation, see *United States v. Wilson*, 611 F.Supp. 813, 815 (N.D. Cal. 1985). *See also Mattz v. Arnett*, 412 U.S. 481 (1973).
\(^2\)16 U.S.C. § 3372(a) provides in part:
It is unlawful for any person—
(1) to import, export, transport, sell, receive, acquire, or purchase any fish or wildlife or plant taken or possessed in violation of any law, treaty, or regulation of the United States or in violation of any Indian tribal law;
(2) to import, export, transport, sell, receive, acquire, or purchase in interstate or foreign commerce—
(A) any fish or wildlife taken, possessed, transported, or sold in violation of any law or regulation of any State or in violation or any foreign law * * * *
§ 250.8(d)-(f) (1985), and prohibits commercial fishing for anadromous fish on the Hoopa Valley Reservation, but permits fishing for subsistence and ceremonial purposes.
The State of California has prohibited commercial fishing on the Klamath River since 1933. Cal. Fish & Game Code § 8434 (West 1984). Interior began regulating Indian fishing on the Hoopa Valley Reservation in 1977. Interior responded to the regulatory void created after the California Court of Appeal held that the State could not regulate the right of Indians to fish on the Klamath River within the Reservation. *Arnett v. 5 Gill Nets*, 48 Cal.App.3d 454, 121 Cal.Rptr. 906 (1975), *cert. denied*, 425 U.S. 907 (1976). The 1977 regulations expressly limited commercial fishing by Indians to five fish per day. 42 Fed. Reg. 40,904, 40,905 (1977). Interim regulations promulgated in 1978 established a limited season for commercial fishing. 43 Fed. Reg. 30,047, 30,052 (1978). However, in that same year, due to perceived conservation problems, Interior prohibited commercial fishing by an emergency in-season adjustment. 43 Fed. Reg. 39,086 (1978).
In 1979, Interior's revised regulations prohibited all commercial fishing and all sales of anadromous fish taken by Indians on the Hoopa Valley Reservation. 44 Fed. Reg. 17,144 (1979). The regulations allowed fishing for ceremonial and consumptive purposes, and, while recognizing the Indians'
---
3 In an amicus brief filed with this court, the State of California argues that it has jurisdiction to regulate Indian fishing on the Klamath River. We find it unnecessary to consider the State's arguments, raised for the first time on appeal, in deciding whether the district court properly found that Interior is without authority to impose a moratorium on commercial fishing by Indians. However, we note that California courts have rejected the State's claim of regulatory authority over Indian fishing within the Hoopa Valley Reservation. *Arnett v. 5 Gill Nets*, 48 Cal.App.3d at 459-64, 121 Cal.Rptr. at 909-13; *People v. McCovey*, 36 Cal.3d 517, 533-34, 205 Cal.Rptr. 643, 652-53, (specifically rejecting argument that Interior has no authority to promulgate Indian fishing regulations for the Hoopa Valley Reservation and finding that Interior regulations preempt state law), *cert. denied*, 105 S.Ct. 544 (1984).
reserved right to fish commercially, nonetheless imposed a moratorium on commercial fishing. Interior justified the moratorium because the anadromous fish runs were not large enough to sustain commercial fishing as well as consumptive and escapement needs.\(^4\) Interior indicated that commercial fishing rights could be resumed in the future when the fishery runs increased sufficiently to withstand the increased harvest. *Id.* at 17,146. The moratorium remained in effect in subsequent versions of the regulations and continues today. 25 C.F.R. § 250.8(e) (1985).
In the cases of *United States v. Eberhardt*, No. 85-1212, and *United States v. Wilson*, No. 85-1213, two informations were filed against the four appellees in June 1984. Wilson was charged in Count One of the first information with selling salmon on September 10, 1982 in violation of the regulations. Counts Two through Five jointly charged Wilson and Erickson with selling salmon, steelhead, and sturgeon on four occasions between September 17, 1982 and June 17, 1983. Three counts of a superceding information charged Jeannette Eberhardt with selling salmon and sturgeon in violation of the regulations on three occasions between June 26, 1982 and September 6, 1982. Gig Eberhardt was charged with two counts of selling salmon and sturgeon in violation of California Fish and Game Code § 8685.6 (West 1984), which prohibits the use of gill nets.\(^5\)
These appellees consented to have their cases heard by a magistrate and the proceedings were consolidated. The parties agreed that the Indians have federally reserved commer-
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\(^4\) Anadromous species hatch in fresh water, grow to maturity in the ocean, and return to fresh-water streams to spawn. Escapement means the number of fish avoiding capture and returning upriver to spawn. Escapement needs estimate escapement levels necessary to achieve a certain population level in the next generation.
\(^5\) State fishing laws apply to Gig Eberhardt, the only appellee who is a non-Indian. The Interior regulations do not apply to non-Indians. 25 C.F.R. § 250.3(b) (1985).
cial fishing rights based on the statutes authorizing creation of the reservation. The government claimed, however, that those rights are not absolute and that the ban on commercial fishing was justified as a temporary conservation measure. Tom Wilson and Jeannette Eberhardt moved to have the informations dismissed. They did not challenge the facts alleged in the informations, but argued that the regulations prohibiting commercial fishing on the reservation were invalid as an unauthorized modification or abrogation of their right to take Klamath River fish.
On March 5, 1985, the magistrate granted the motions to dismiss. The magistrate held that Interior was without authority to promulgate regulations that abrogated federally reserved tribal fishing rights. The magistrate also held that even if Interior were authorized to regulate fishing, the regulations as written were arbitrary, not necessary to achieve a conservation purpose, and discriminatory.
On the government's appeal, District Judge Eugene Lynch reviewed the magistrate's decision *de novo* and affirmed the dismissal of the informations in a published memorandum opinion. *United States v. Wilson*, 611 F.Supp. 813 (N.D. Cal. 1985). The district court held the regulations to be invalid because they impermissibly modified or abrogated the Indians reserved right to fish commercially. The court found in the general trust statutes relied upon by Interior no reflection of the congressional intent necessary to abrogate reserved tribal rights as required by *United States v. Fryberg*, 622 F.2d 1010 (9th Cir.), *cert. denied*, 449 U.S. 1004 (1980). While recognizing that Indian rights can be controlled to preserve a species, the district court rejected Interior's argument that the ban on commercial fishing was a valid conservation measure because no evidence had been presented showing that the Reservation's fish resources would otherwise face imminent extinction. As the court found the regulations unauthorized, it did not reach the issues whether the regulations were arbitrary and capricious or whether they discriminated against
the Indians in view of the allowance of relatively unrestricted commercial fishing offshore.
In the separate case of *United States v. Mattz*, No. 85-1233, an eight-count indictment was filed against the three appellees in February 1985. Diane Mattz and Folkins were charged with selling between 700 and 940 pounds of salmon and steelhead in violation of the federal regulations on five occasions between September 22, 1983 and February 19, 1985.\(^6\) Diane Mattz and Randy Mattz were charged with selling 500 pounds of steelhead on December 20, 1984. All three appellees were also charged with conspiracy to violate the federal regulations, and with conspiracy to defraud the United States by obstructing Interior's efforts to protect the fishery resources of the Klamath River.
On March 19, 1985, appellees filed a joint motion to dismiss before District Judge Thelton Henderson, arguing that the regulations were invalid because the ban on commercial fishing was not necessary for a conservation purpose and discriminated against Indians. Relying on Judge Lynch's earlier decision in *Wilson*, Judge Henderson granted the motion to dismiss the indictment on July 1, 1985.
The government appealed the district court orders dismissing these criminal prosecutions and these cases were argued together before this panel. Because Judge Henderson relied exclusively on Judge Lynch's decision, references to "the district court" in the remainder of this opinion relate to the analyses set forth in *United States v. Wilson*, 611 F.Supp. 813 (N.D. Cal. 1985).
\(^6\)Two of these five counts also charged violations of California law, which prohibits the use of gill nets, Cal. Fish & Game Code § 8685.6 (West 1984), and Oregon law, which prohibits the transport or sale of fish caught during the closed season, Or. Rev. Stat. § 509.011 (1985).
II.
The district court had jurisdiction over these Lacey Act prosecutions. 16 U.S.C. § 3375(c) (1982); United States v. Sohappy, 770 F.2d 816, 818-22 (9th Cir. 1985). Appellate jurisdiction over government appeals in criminal cases is generally authorized by 18 U.S.C. § 3731 (1982). United States v. Schwartz, 785 F.2d 673, 677 (9th Cir. 1986). The district court's determination that the regulations are invalid as an unauthorized abrogation of tribal rights constitutes a finding of law subject to de novo review. See United States v. McConney, 728 F.2d 1195, 1201 (9th Cir.) (en banc), cert. denied, — U.S. —, 105 S.Ct. 101 (1984).
III.
The issue before us is whether the informations and indictment were subject to dismissal because Interior lacks authority to impose a moratorium on commercial fishing on the Klamath River by Indians of the Hoopa Valley Reservation. The validity of the moratorium depends on whether Congress has given Interior express or implied statutory authority to regulate Indian fishing. The district court found that the imposition of a ban on commercial fishing impermissibly abrogates the Indians' tribal rights; it did not directly decide whether Interior has the authority to regulate Indian fishing.
Before discussing Interior's authority to promulgate these regulations, we note that the district court adopted too narrow a view in focusing exclusively on the Indians' general right to fish commercially. The right to take fish from the Klamath River was reserved to the Indians when the reservation was created. See Blake v. Arnett, 663 F.2d 906, 911 (9th Cir. 1981); People v. McCovey, 36 Cal.3d 517, 534, 205 Cal. Rptr. 643, 653, cert. denied, 105 S.Ct. 544 (1984). However, the right reserved includes fishing for ceremonial, subsistence, and commercial purposes. Interior balanced the Indians' interest in fishing for these various purposes in
promulgating the regulations. By according a priority to subsistence and ceremonial fishing, and imposing the moratorium on commercial fishing, Interior sought to respond to comments reflecting the views of the majority of the Indians on the Reservation. 44 Fed. Reg. 17,144, 17,146 (1979).
[1] The ban on commercial fishing is one component of a comprehensive regulatory scheme established by Interior to deal with the exigent problems of Indian fishing on the Hoopa Valley Reservation. The regulations were promulgated by Interior pursuant to its responsibilities as trustee to preserve and protect Indian resources, and were designed "to allow for the exercise of Indian fishing rights consistent with conservation of the resource." 44 Fed. Reg. 17,144 (1979). The regulations aim at promoting equal access to the Klamath River fishery resource by all Indians of the Reservation, and at assuring adequate spawning escapement. 25 C.F.R. § 250.1(a) (1985).
[2] At oral argument, appellees conceded that Interior has general authority to regulate Indian fishing. They challenge none of the other regulatory provisions, such as restrictions on the type, number, and permissible location of nets, 25 C.F.R. § 250.8(g)-(s) (1985), or the catch marking, reporting, and transportation requirements, id. §§ 250.9, 250.12. Appellees claim only that Congress has not authorized the abrogation of reserved tribal rights effected by the ban on commercial fishing.
Interior's authority for issuing the Hoopa Valley Reservation fishing regulations arises from the statutory delegation of powers contained in 25 U.S.C. §§ 2, 9 (1982). These provi-
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7 25 U.S.C. § 2 provides:
The Commissioner of Indian Affairs shall, under the direction of the Secretary of the Interior, and agreeably to such regulations as the President may prescribe, have the management of all Indian affairs and of all matters arising out of Indian relations.
sions generally authorize the Executive to manage Indian affairs but do not expressly authorize Indian fishing regulation. However, ever since these statutes were enacted in the 1830's, they have served as the source of Interior's plenary administrative authority in discharging the federal government's trust obligations to Indians.\textsuperscript{8} We conclude that these statutory provisions give Interior sufficient authority to promulgate the Indian fishing regulations at issue here and consequently, we reject appellees' argument that the regulations are invalid in the absence of specific legislation giving Interior authority to regulate Indian fishing.
[3] Appellees rely on \textit{Village of Kake v. Egan}, 369 U.S. 60 (1962), in which the Supreme Court noted that the authority conferred under 25 U.S.C. §§ 2, 9, does not give Interior "a general power to make rules governing Indian conduct." 369 U.S. at 63. See also \textit{Santa Rosa Band of Indians v. Kings County}, 532 F.2d 655, 665 (9th Cir. 1975), cert. denied, 429 U.S. 1038 (1977). However, \textit{Village of Kake} involved Interior regulations that conflicted with Alaska's efforts to enforce a conservation statute by conferring fishing rights on nonreservation Indians, and does not control here. In \textit{Village of Kake}
\textsuperscript{8} Sections 2 and 9 of Title 25 also provide a statutory basis for Interior regulations administering Indian lands and managing other Indian fishery resources. \textit{See, e.g.,} 25 C.F.R. § 162 (1985) (leasing and permitting on Indian land); \textit{id.} § 163 (forest regulations); \textit{id.} § 166 (grazing regulations); \textit{id.} § 241 (Indian fishing in Alaska); \textit{id.} § 242 (commercial fishing on the Red Lake Reservation); \textit{id.} § 248 (Indian fishing on the Columbia River); \textit{id.} § 249 (off-reservation fishing).
25 U.S.C. § 9 provides:
The President may prescribe such regulations as he may think fit for carrying into effect the various provisions of any act relating to Indian affairs, and for the settlement of the accounts of Indian affairs.
Interior also claimed authority under 43 U.S.C. § 1457 (1982), and the Reorganization Plan No. 3 of 1950 (65 Stat. 1267). 25 C.F.R. Part 250 (1985).
Interior had issued regulations, purportedly under authority of the White Act, 48 U.S.C. §§ 221-228, and the Alaska Statehood Act, 72 Stat. 339 (1958), permitting the Indians to use fish traps prohibited by the state statute, in effect granting them fishing rights not previously held. Rejecting that argument, the Court emphasized that the cited statutes gave Interior the power to regulate the exercise of existing rights, not to grant new rights, and that none of the Indians affected belonged to a reservation, which might have given Interior authority to permit Indian fishing contrary to state law.\(^9\) The Court then noted that 25 U.S.C. §§ 2, 9, did not provide an independent basis of authority for the regulations in question. 369 U.S. at 63.
In contrast to *Village of Kake*, these cases involve regulations managing the rights of reservation Indians fishing on their reservation. The regulations here do not grant Hoopa Valley Reservation Indians fishing rights; these rights were granted by Congress when it authorized the President to create the Reservation for Indian purposes. *People v. McCovey*, 36 Cal.3d at 534, 205 Cal.Rptr. at 653. Moreover, contrary to the district court's conclusion, Interior invokes the general trust statutes only as constituting authority to enact regulations to protect and conserve the fishery resource for the benefit of Indians, not as power to abrogate reserved tribal rights.
We hold that the general trust statutes in Title 25 do furnish Interior with broad authority to supervise and manage Indian
\(^9\)The companion case of *Metlakatla Indian Community v. Egan*, 369 U.S. 45 (1962), involved application of the Interior regulations to reservation Indians. As in *Village of Kake*, the Court held the regulations invalid under the White Act and the Alaska Statehood Act because neither statute gave Interior authority to permit Indian fishing in violation of state law. 369 U.S. at 54. However, the Court found that the 1891 Act establishing the Metlakatla Reservation, to be used by the Indians "under such rules and regulations * * * as may be prescribed" by Interior, might provide authority for the fishing regulations. *Id.* at 54-59.
affairs and property commensurate with the trust obligations of the United States. *See Udall v. Littell*, 366 F.2d 668, 672-73 (D.C. Cir. 1966) (Interior's authority to cancel a contract between tribe and attorney is inherent in powers delegated to the agency by Congress), *cert. denied*, 385 U.S. 1007 (1967); *Armstrong v. United States*, 306 F.2d 520, 522 (10th Cir. 1962) ("management of water and water projects on a reservation is clearly within the scope of the general statutory authority" granted to Interior); *see also Santa Rosa Band of Indians*, 532 F.2d at 666 n.19 (noting that 25 U.S.C. § 2 may be sufficient to sustain Interior regulations administering Indian land given the nature of the trust relationship between the federal government and the Indian tribes).
[4] Since its decision in *Village of Kake*, the Supreme Court has acknowledged Interior's authority to issue fishing regulations under the "general Indian powers" conferred by 25 U.S.C. §§ 2, 9. *Washington v. Washington State Commercial Passenger Fishing Vessel Association*, 443 U.S. 658, 691 (1979). *See also United States v. Michigan*, 623 F.2d 448, 450 (6th Cir. 1980) (upholding Interior regulations issued pursuant to 25 U.S.C. §§ 2, 9, governing treaty fishing rights in the Great Lakes), *remand order continued as modified*, 653 F.2d 277 (6th Cir.), *cert. denied*, 454 U.S. 1124 (1981). Congress must be assumed to have given Interior reasonable power to discharge its broad responsibilities for the management of Indian affairs effectively. *Udall v. Littell*, 366 F.2d at 672. Therefore, we hold that Interior has authority under 25 U.S.C. §§ 2, 9, to regulate Indian fishing on the Hoopa Valley Reservation consistent with its obligations to manage and conserve Indian resources.
IV.
[5] We next consider the proper standard of review of regulations promulgated by Interior in the exercise of its trust responsibilities. We need not consider regulations purporting to implement statutorily mandated abrogation of previous
rights because this case does not involve a congressional statute modifying Indian rights. But the validity of these regulations need not be reviewed under standards applicable to state conservation measures either, because this case does not involve the exercise of a state's police power to regulate tribal rights. The challenge to these fishing regulations should be considered under standards generally applicable to an attack on agency rule making.
Only Congress can modify or abrogate Indian tribal rights; it will be held to have done so only when its intention to do so has been made absolutely clear. *United States v. State of Washington*, 641 F.2d 1368, 1371 (9th Cir. 1981), *cert. denied*, 454 U.S. 1143 (1982); *Menominee Tribe v. United States*, 391 U.S. 404, 412-13 (1968); *Lone Wolf v. Hitchcock*, 187 U.S. 553, 566 (1903). But congressional intent to abrogate tribal rights may be found in the express provisions of an act or in its surrounding circumstances and legislative history. *Washington State Charterboat Association v. Baldrige*, 702 F.2d 820, 823 (9th Cir. 1983), *cert. denied*, 104 S.Ct. 736 (1984).
In *United States v. Fryberg*, we found that in enacting the Eagle Protection Act, 16 U.S.C. §§ 668-668d (1982), Congress intended to permanently modify Indian tribal rights by prohibiting the taking of bald eagles without a permit.\(^{10}\) 622 F.2d at 1016. Given the broad purpose of the Act to protect the bald eagle and prevent its extinction, we held that Congress could prohibit all threats to the species without regard to the existence of treaty hunting rights. *Id.* In this case, Interior's regulations are designed to manage the fishery for the benefit of the Indians, not to extinguish any reserved tribal fishing
\(^{10}\)But cf. *United States v. Dion*, 752 F.2d 1261 (8th Cir. 1985) (en banc) (Eagle Protection Act does not reflect congressional intent to abrogate Indian treaty right to hunt eagles on reservation for noncommercial purpose), *on remand*, 762 F.2d 674 (8th Cir.), *cert. granted*, 106 S.Ct. 270 (1985).
rights. Interior makes clear the temporary nature of the ban and that commercial fishing will be allowed to resume when the fishery can withstand the increased harvest. Thus, the district court erred in analogizing this case to the ban on taking bald eagles in *Fryberg* and thereby finding these regulations invalid in the absence of demonstrated congressional intent to work an abrogation of the Indians' fishing rights.
[6] Unlike Congress, states may not qualify Indian fishing rights. *Puyallup Tribe v. Department of Game (Puyallup I)*, 391 U.S. 392, 398 (1968); *Sohappy*, 770 F.2d at 823; *Fryberg*, 622 F.2d at 1014-15. However, states may regulate Indian rights in the interest of conservation by an appropriate exercise of their police power. State regulation for conservation purposes is based on the state's interest in protecting fish and wildlife resources for the benefit of its citizens. *See Puyallup Tribe v. Department of Game (Puyallup III)*, 433 U.S. 165, 175-76 (1977); *see also United States v. Michigan*, 653 F.2d 277, 279 (6th Cir.), *cert. denied*, 454 U.S. 1124 (1981). The violation of state conservation laws is a federal offense. 16 U.S.C. § 3372(a)(2) (1982); *see Sohappy*, 770 F.2d at 823-24.
A state must show that any regulation of Indian fishing rights is both reasonable and necessary for conservation purposes. *Antoine v. Washington*, 420 U.S. 194, 207 (1975); *Sohappy*, 770 F.2d at 823. State regulations meeting these standards may extend to the manner of fishing, the size of the take, and the restriction of commercial fishing. *Puyallup I*, 391 U.S. at 398. In the context of state regulation of Indian fishing rights, we have rejected the endangered species approach to conservation, finding that fishing limitations may be proper even though extinction is not imminent. *United States v. Oregon*, 718 F.2d 299, 305 (9th Cir. 1983).
[7] This case involves regulations promulgated by Interior acting as trustee for the tribes occupying the Hoopa Valley Reservation, rather than state regulation designed to protect the interests of non-Indians. The type of showing of conservation necessity required to justify state regulation of Indian fishing has not been precisely defined. *Id.* at 303. However, as appellees recognize, Interior has a broader scope of authority to regulate Indian fishing than do the states. Therefore, it is clear that the district court erred in requiring Interior to justify the ban on commercial fishing by showing that the fish resources of the Hoopa Valley Reservation were facing imminent extinction.
Interior promulgated the Indian fishing regulations, including the commercial fishing moratorium, pursuant to the rule making provisions of the Administrative Procedure Act, 5 U.S.C. § 553 (1982). The scope of judicial review of challenges to agency action, including administrative rule making, is set forth in 5 U.S.C. § 706 (1982). *See Citizens to Preserve Overton Park v. Volpe*, 401 U.S. 402, 413-14 (1971). These standards apply to appellees' challenge to the regulations at issue in this case.
The Indian fishing regulations may be set aside if they are arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with the law. *See* 5 U.S.C. § 706(2)(A) (1982); *Citizens to Preserve Overton Park*, 401 U.S. at 413-14; *American Tunaboat Association v. Baldrige*, 738 F.2d 1013, 1016 (9th Cir. 1984). Moreover, Interior must have observed the procedures required by law in promulgating the regulations. *See* 5 U.S.C. § 706(2)(D) (1982); *Citizens to Preserve Overton Park*, 401 U.S. at 414. However, absent a finding that Interior improperly exercised its rule making authority, there is no basis to invalidate these regulations despite their impact in managing the fishing rights of Hoopa Valley Reservation Indians.
V.
[8] The district court found the regulations under which the appellees were prosecuted invalid as an unauthorized modification of reserved tribal rights and did not consider whether
the regulations are arbitrary and capricious or discriminatory. We decline to reach these issues here. Because we hold that Interior did not exceed its statutory authority in promulgating fishing regulations for the Hoopa Valley Reservation, we REVERSE the district court orders which dismissed the informations and indictment in these cases on the ground that the regulations are unauthorized. We order the prosecutions reinstated and REMAND for further proceedings consistent with this opinion.
BEEZER, Circuit Judge, Concurring:
I concur in the opinion of the court. I write separately to express deep concerns about the disjoined management of the Klamath River basin anadromous fishery resource. This fishery is managed separately by the Department of Commerce and the Department of the Interior with an apparent lack of any coordination. The primary victims of this mismanagement have been the Indians on the Hoopa Valley Indian Reservation, who are being deprived of any commercial access to this valuable resource.
Anadromous fish hatch in freshwater streams and rivers, migrate to the ocean where they mature, and return to the freshwater places of their birth to spawn and die. The preservation of the species depends on an adequate level of escapement, i.e., sufficient numbers of fish avoiding capture and returning up-river from the ocean to spawn. Thus, any effort to conserve this dwindling resource demands coordinated regulation of harvests at every stage of migration.
The Department of the Interior, exercising its general authority over Indian affairs under 25 U.S.C. §§ 2 and 9, has imposed a ban on commercial fishing by Indians on the reservation as a necessary measure to conserve the severely depressed anadromous fishery resource.
The ocean fishery is managed by the Pacific Fishery Management Council (PFMC), established by the Fishery Conservation and Management Act of 1976, 16 U.S.C. § 1852(a)(6), which recommends ocean fishing regulations to the Department of Commerce. See generally Hoh Indian Tribe v. Baldrige, 522 F.Supp. 683, 685 (W.D. Wash. 1981).
The Indian defendants in this case quite properly claim that, since the Department of Commerce fails to provide for adequate escapement from the coastal waters, the Indians on the Hoopa Valley Reservation must bear most of the burden of conservation measures. While the Department of the Interior has imposed a moratorium on commercial fishing by Indians, offshore domestic and foreign commercial fisheries continue to harvest the same fish that spawn in the Klamath River basin.
It is apparent that over-harvesting by the ocean fisheries, resulting in too few anadromous fish returning to the Klamath River to meet spawning escapement goals, has been the primary cause for depletion of this natural resource.\(^1\) The ocean fisheries have not been required to bear their full share of the conservation burden.
In recent years, the Department of Commerce has taken some initial steps in the right direction. However, while there has been some shortening of the commercial fishing season in coastal waters, it appears that shortened seasons result only in more intense fishing during that period. In 1985, the Department closed the coastal waters between Point Delgada, California, and Cape Blanco, Oregon to commercial fishing. It
\(^1\)Between 1976 and 1984, 67 percent of the fish taken were harvested by commercial fisheries and only 8 percent by Indian gill net fishers. Bureau of Indian Affairs, Environmental Impact Statement, Indian Fishing Regulations 29 (1985). In 1983, the year for which defendants are charged with selling salmon, 79 percent of the Klamath River anadromous fish taken were harvested by ocean fisheries, and only 13.6 percent by reservation Indians. Certified Record 33, Exhibit B.
remains to be seen whether this will prove successful. The anadromous fish that spawn in the Klamath River basin range far and wide in the ocean, and it may be that only catch limits will meet conservation goals.
It must be remembered that the trust duty to reservation Indians is owed, not just by the Department of the Interior, but by the entire federal government. Until both the Department of the Interior and the Department of Commerce coordinate fishery management, the Indians will be denied their fair share, or any commercial share for that matter, of the available resource. The right to take fish from the Klamath River was reserved to the Indians when the Hoopa Valley Reservation was created. Cooperation among all agencies of the government is essential to preserve those Indian fishing rights to the greatest extent possible. Any sacrifice necessary to conserve the fishery resource should be fairly shared among all fish harvesters.
|
SAN FRANCISCO, CA
39TH ANNUAL REUNION
JUNE 12 - 16, 2010
Yes San Francisco
Greetings to all USS Ticonderoga Shipmates!
First of all, I want to thank Bob and his wife for setting up the Corpus Christi reunion. It certainly was a lot of work. We missed a lot of you, but the members and their wives who did attend had a good time visiting the Lady Lex and NAS Corpus Cristi as well as other sights in the area. Thanks to Bob.
We received a letter from RADM Meyer's wife, Anna Mae, stating that he was ill and could not attend the Corpus Christi Reunion. If you would like to send a card or contact him, his address is: 2522 Midway Street, Falls Church, Virginia. 22046
Now on to NEW NEWS!
Ed Trotter and I are working on our next reunion, which we are happy to report will be in San Francisco, at the Marriot Hotel at Fisherman's Warf. The dates are June 12-16, 2010 (as per requests in Corpus for a later date). We were able to get a great deal at the hotel by having our banquet mid week. There is so much to do and see in San Francisco, and, of course we will visit the USS Hornet, now docked in Alameda. They really have done a great job setting up the TICONDEROGA display room on board. So put this all on your calendar. We tried to cut costs, and we feel that we did well.
Important information about the 2010 Reunion - JUNE 12-16, 2010
*Great San Francisco location within short walking distance of all the Warf attractions, shopping and dining.
Marriot Hotel Fisherman's Warf (newly renovated!) 1250 Columbus St. San Francisco, Ca. 94133
Reservations: 800-
*Hotel rates are $120. a night (plus taxes, of course!) Good news: The hotel will guarantee the same rate three days before and three days after the reunion—just in case you want to extend your visit on either end. A web site will be set up to register. You can also phone!
*Parking: at the Hotel: $25. a night (regularly $45) For those of you who are a bit more adventuresome, you could park in long term parking at the Airport (check on prices online) You don't really need your car in S.F. Public transportation is very good. There is RV Parking at pier 31, although there is no hook-up.. You can always check out other parking options on you own as well.
*Cost of registration: $125. This will include the Banquet, Breakfast the last day, and other Reunion expenses. (Hospitality Room, etc.)
Possible Tours and Sight Seeing Activities:
*Organized group tour to USS Hornet and lunch
* Group rate to visit Alcatraz (you can walk or take a short bus ride to the pier)
All other tours, activities etc. are easier and more reasonably done on your own! We suggest the following:
1. Hop on Hop off double decker bus tours, Bay cruises
2. Wine country, Muir Woods etc. tours can be arranged by the Hotel
3. S.F. Giants games —take the streetcar from the warf to the ballpark if Giants are home!
4. Shows, theatre, Museums (check online or at the Hotel)
**We found a great web site for great deals on S.F. activities! You can even get the Hop on Hop off tours and Bay Cruises for less there. You will need to check closer to the trip, obviously. Website: GOLDSTAR.COM You need to sign up to see the great deals.
****VERY IMPORTANT: We need to get a rough estimate of how many rooms to reserve. We only reserved about what we filled last year. We can increase the number, but we need to know ASAP if you think you will be attending. This is not a firm commitment, but we'd like to expand the numbers as soon as we can, so we assure that everyone who wants to come can be accommodated.
**Let us know your intentions by phone, letter, email!
Al's phone: 415-290-4914 email: firstname.lastname@example.org address: 1749 9th Ave, San Francisco, 94122
Ed's phone: 805-338-6224 email: email@example.com address: 1130 Baywood Ave, Camarillo, Ca. 93010
Hope to see you in June,
Al McDonnell
LCDR USN Retired
WHAT A GRAND TIME IN CORPUS CHRISTI, TX
For a first time experience in Corpus Christi I was simply amazed by the friendliness of the people whom I met. Whether it was at the hotel or at the different restaurants and shops I visited I was never treated so kindly. Bravo to the locals!
Now, as for the couple who actually hosted the Corpus reunion, my hat is off to both BOB & OLLY MODERSOHN, who could not have made the stay any more enjoyable. Olly, even with her broken foot/leg, managed to keep Bob on the constant go! They were the perfect hosts for our reunion. We were so fortunate to have the Modersohn’s and my special "THANK YOU" for their tireless efforts in making our reunion so very special.
We had the opportunity to visit the Lexington Museum as a group and an adventure it was. Not only was it another of the Essex Class Carriers but it had a different display than the other carriers of her class. She had a completely refurbished Arresting Gear Room. I had the pleasure of explaining to others what the Arresting Gear engine actually accomplished during flight recovery. I felt as if I was once again 19 years old. I was enthused, to say the least. What a fun time!
Bob Modersohn arranged several other outings for the gang. We visited numerous local sites that included the Christopher Columbus fleet and a fun run up the coast to visit a wonderful restored 19th century home that included a great meal on the bay front. I actually got to pilot one of the tour vans and those in my van kept me laughing constantly. I am usually the quiet and shy type but those characters in my van kept me in stitches. I finally had to ask BOB & KAREN SEXTON to calm down so I could concentrate on driving.
I’m sitting here at home writing this letter and thinking of how much fun was had by all and I’m still chuckling! At the next reunion I’ll have to have a word concerning the subjects being discussed while being a passenger. The passengers in my van were making me blush!
Back at the hotel our banquet dinner was simply wonderful. The dancing was to the tune of a local group who played through the night. Our raffle had so many gifts that there were multiple winners. Everybody won!
Again, I would like to compliment our reunion hosts, BOB & OLLY MODERSOHN for their fine exhibition of Texas hospitality. The Corpus Christi reunion will be another favorite for this old sailor to remember for years to come.
See you all in San Francisco, CA next June
Your shipmate & friend,
John Lunsford
TICONDEROGA REUNION SURVEY REQUEST!
To All Members:
We need to get input for the SAN FRANCISCO reunion as to the number of rooms we need. Therefore, we would appreciate a speedy reply (ASAP) as to how many of you plan to attend. Details will be in the newsletter, but we need to know if you tentatively plan to attend so we can adjust the number of rooms we have reserved. June 12-16 are the dates, and rooms are $120 per night. The hotel is the Marriott at Fisherman's Wharf. (Great location--walk to everything!)
I know this does not reach all of our members, but if we can get your response it would be very helpful. John Lunsford will be asking for your response in the newsletter for everyone else. We don't want to be short on rooms! So, email me back if you plan to attend.
Thank you.
Your President,
Al McDonnell
Registration For Our 2010 San Francisco, CA Reunion
Name: First ______________________ Last ____________________________
Full Mailing Address
Street: _________________________________________________________ City: ___________________________
State: ___________________________ Zip: __________________________
Wife or Guest Name: First ______________________ Last ____________________________
Highest Rate/Rank While Aboard USS TICONDEROGA ____________________________
Division or Squadron __________________________ Years Aboard _________________
Optional but helpful: Phone: ______________________ E-MAIL ______________________
CV-14____ CVA=14____ CVS=14____ CG=47____ Associate Member____ Honorary Member____
Package price: $125.00/person (includes banquet meal, breakfast brunch and hospitality room)
Make Check out to “Big T Veterans’ Association”
Mail to:
Al McDonnell
1749 9th Ave
San Francisco, CA 94122
Questions: Call Al at (c) 415-290-4914 (h) 415-661-6753 or E-Mail firstname.lastname@example.org
San Francisco 2010
The San Francisco Fisherman’s Wharf Marriott is pleased to welcome USS Ticonderoga Reunion. We are pleased to offer the special rate of $120.00 Single/Double Occupancy. Please call (800) 228-9290 to make your reservation before June 1, 2010, or call the hotel directly at (415) 775-7555. You must mention the group, USS TICONDEROGA REUNION, by name in order to make sure that you receive the discounted group rate and our group receives credit for the room nights. After 1 June 2010 rooms will be on a space available basis only (and at the regular room rate). You can mail or fax your reservations to:
San Francisco Marriott Fisherman’s Wharf
1250 Columbus Ave.
San Francisco, Ca 94133
Tel: (415) 775-7775 Fax (415) 474-2099
Reservations: www.marriott.com or 1(800) 228-9290
(You may use this form to mail or fax directly to the San Francisco Marriott Fisherman’s Wharf)
I am attending the USS TICONDEROGA REUNION over the conference date of June 12-16, 2010 at the San Francisco Marriott Fisherman’s Wharf.
Name: _______________________________ Arrival Date: _______________________
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The San Francisco Fisherman’s Wharf Marriott looks forward to welcoming the USS TICONDEROGA REUNION
REUNION TRADITIONS/IDEAS
As most of you know one of the traditions at the reunion is to have a raffle at the banquet. Many items are raffled off. Part of the tradition is that attendees bring items to donate as raffle items. This brings us many interesting and useful items to raffle.
One of the fundraisers for this reunion is to print the names of REUNION BOOSTERS in the program. It costs $1 to have a name listed and you can list as many names (family, friends, shipmates, etc.) as you want as long as you pay for each of them. We also will print business cards on the program for the cost of $5 each. You do not have to attend the reunion to show you are a REUNION BOOSTER. Send your list of names, business cards and a check made out to the USS TICONDEROGA VETERANS ASSOCIATION and mail to:
Al McDonnell
1749 9th Ave.
San Francisco, CA 94122
As it seems one of the usual procedures is to try to provide attendees with a bag of goodies. Any donations in this area will be appreciated (many of the items could be advertising items such as pens, pencils, hats, desk set items, calendars, etc. that you may receive from such as an employer, bank where you do business, etc.) You be the judge of what you would like to supply for our SAN FRANCISCO REUNION! The more, the merrier!
USS Ticonderoga (CV/CVA/CVS-14) was one of 24 Essex-class aircraft carriers built during World War II for the United States Navy. The ship was the fourth US Navy ship to bear the name, and was named for historic Fort Ticonderoga, which played a role in the American Revolutionary War.
Ticonderoga was commissioned in May 1944, and served in several campaigns in the Pacific Theater of Operations, earning five battle stars. Decommissioned shortly after the end of the war, she was modernized and recommissioned in the early 1950s as an attack carrier (CVA), and then eventually became an antisubmarine carrier (CVS). She was recommissioned too late to participate in the Korean War, but was very active in the Vietnam War, earning three Navy Unit Commendations, one Meritorious Unit Commendation, and 12 battle stars.
Ticonderoga differed somewhat from the five Essex-class ships with lower hull numbers in that she was 16 ft (4.9 m) longer to accommodate bow-mounted anti-aircraft guns. Most subsequent Essex-class carriers were completed to this "long-hull" design and are considered by some authorities to be a separate class, the Ticonderoga class.
Ticonderoga was decommissioned in 1973 and sold for scrap in 1975.
| Career (United States) |
|------------------------|
| Builder: | Newport News Shipbuilding |
| Laid down: | 1 February 1943 |
| Launched: | 7 February 1944 |
| Commissioned: | 8 May 1944 |
| | 1 October 1954 |
| Decommissioned: | 9 January 1947 |
| | 1 September 1973 |
| Renamed: | PCU Hancock to PCU |
| | Ticonderoga 1 May 1943 |
| Reclassified: | CV to CVA 1 October 1952 |
| | CVA to CVS 21 October 1969 |
| Struck: | 16 November 1973 |
| Fate: | Sold for scrap 15 August 1974 |
**General characteristics**
| Class and type: | Essex-class aircraft carrier |
|-----------------------|-------------------------------|
| Displacement: | As built: |
| | 27,100 tons standard |
| Length: | As built: |
| | 888 feet (271 m) overall |
| Beam: | As built: |
| | 93 feet (28 m) waterline |
| Draft: | As built: |
| | 28 feet 7 inches (8.7 m) light|
| Propulsion: | As designed: |
| | 8 × boilers 565 psi (3,900 kPa)|
| | 850 °F (450 °C) |
| | 4 × Westinghouse geared |
| | steam turbines |
**Aircraft carried:** As built: 90–100 aircraft
**Armament:**
- 4 × twin 5 inch (127 mm)/38 caliber guns
- 4 × single 5 inch (127 mm)/38 caliber guns
- 8 × quadruple Bofors 40 mm guns
- 46 × single Oerlikon 20 mm cannons
**Armor:**
- As built:
- 4 inch (100 mm) belt
- 2.5 inch (60 mm) hangar deck
- 1.5 inch (40 mm) protective decks
- 1.5 inch (40 mm) conning tower
The *Ticonderoga* class numbered thirteen completed ships. Another (CV-34) was finished after heavy modifications, two more (CVs 35 and 46) were scrapped incomplete and six Fiscal Year 1945 ships were cancelled before being laid down. Construction of all twenty-two was assigned to six east coast shipyards:
- **Ticonderoga** (CV-14) (name changed from *Hancock* in May 1943). Built by the Newport News Shipbuilding and Dry Dock Company, Newport News, Virginia. Keel laid in February 1943; launched in February 1944; commissioned in May 1944.
- **Randolph** (CV-15). Built by the Newport News Shipbuilding and Dry Dock Company, Newport News, Virginia. Keel laid in May 1943; launched in June 1944; commissioned in October 1944.
- **Hancock** (CV-19) (name changed from *Ticonderoga* in May 1943). Built by the Bethlehem Steel Company, Quincy, Massachusetts. Keel laid in January 1943; launched in January 1944; commissioned in April 1944.
- **Boxer** (CV-21). Built by the Newport News Shipbuilding and Dry Dock Company, Newport News, Virginia. Keel laid in September 1943; launched in December 1944; commissioned in April 1945.
- **Leyte** (CV-32) (name changed from *Crown Point* in May 1945). Built by the Newport News Shipbuilding and Dry Dock Company, Newport News, Virginia. Keel laid in February 1944; launched in August 1945; commissioned in April 1946.
- **Kearsarge** (CV-33). Built by the New York Navy Yard, Brooklyn, New York. Keel laid in March 1944; launched in May 1945; commissioned in March 1946.
- **Antietam** (CV-36). Built by the Philadelphia Navy Yard, Pennsylvania. Keel laid in March 1943; launched in August 1944; commissioned in January 1945.
- **Princeton** (CV-37) (name changed from *Valley Forge* in November 1944). Built by the Philadelphia Navy Yard, Pennsylvania. Keel laid in September 1943; launched in July 1945; commissioned in November 1945.
- **Shangri-La** (CV-38). Built by the Norfolk Navy Yard, Portsmouth, Virginia. Keel laid in January 1943; launched in February 1944; commissioned in September 1944.
- **Lake Champlain** (CV-39). Built by the Norfolk Navy Yard, Portsmouth, Virginia. Keel laid in March 1943; launched in November 1944; commissioned in June 1945.
- **Tarawa** (CV-40). Built by the Norfolk Navy Yard, Portsmouth, Virginia. Keel laid in March 1944; launched in May 1945; commissioned in December 1945.
- **Valley Forge** (CV-45). Built by the Philadelphia Navy Yard, Pennsylvania. Keel laid in September 1944; launched in November 1945; commissioned in November 1946.
- **Philippine Sea** (CV-47) (name changed from *Wright* in February 1945). Built by the Bethlehem Steel Company, Quincy, Massachusetts. Keel laid in August 1944; launched in September 1945; commissioned in May 1946.
In addition to these thirteen carriers, *Oriskany* (CV-34), built at the New York Navy Yard, was completed in 1950 to the much modified SCB-27A design; *Reprisal* (CV-35), laid down in July 1944 at the New York Navy Yard and launched in 1945, was scrapped incomplete after tests; and *Iwo Jima* (CV-46) was laid down at Newport News Shipbuilding and Dry Dock Company in January 1945 but cancelled in August 1945 and broken up on the shipways. The six Fiscal Year 1945 ships, none of which received names, were assigned to Bethlehem Steel Company (CV-50), New York Navy Yard (CVs 51 & 52), Philadelphia Navy Yard (CV-53) and Norfolk Navy Yard (CVs 54 and 55). Their construction was cancelled in March 1945.
*Ticonderoga* class "as-built" design characteristics were identical to those of the *Essex* class except that overall length was 888 feet.
This page features limited pictorial coverage of Ticonderoga class aircraft carriers, as built, with links to pages concerning related classes, modified versions and individual ships.
USS TICONDEROGA was the lead ship of the TICONDEROGA class and fifth ship in the Navy to bear the name. She was the world's first warship equipped with the AEGIS combat system. USS TICONDEROGA was decommissioned on September 30, 2004, and is now berthed at the Naval Inactive Ships Maintenance Facility, Philadelphia, Penn.
**General Characteristics:**
- **Keel Laid:** Jan. 27, 1980
- **Launched:** April 25, 1981
- **Commissioned:** January 22, 1983
- **Decommissioned:** September 30, 2004
- **Builder:** Ingalls Shipbuilding, West Bank, Pascagoula, Miss.
- **Propulsion system:** four General Electric LM 2500 gas turbine engines
- **Propellers:** two
- **Blades on each Propeller:** five
- **Length:** 567 feet (173 meters)
- **Beam:** 55 feet (16.8 meters)
- **Draft:** 34 feet (10.2 meters)
- **Displacement:** approx. 9,600 tons full load
- **Speed:** 30+ knots
- **Cost:** about $1 billion
- **Aircraft:** two SH-60 Sea Hawk (LAMPS 3)
- **Armament:** two Mk 26 missile launchers Standard missiles and ASROC, Mk 46 torpedoes, Harpoon missile launchers two Mk 45 5-inch/54 caliber lightweight guns, two Phalanx CIWS
- **Homeport:** Pascagoula, Miss.
- **Crew:** 33 Officers, 27 Chief Petty Officers and approx. 324 Enlisted
**About the Ship's Coat of Arms:**
**The Shield:**
The history of the name Ticonderoga and the four ships that have borne that name is represented by the symbols on the shield. The name Ticonderoga is from the Iroquois Indian word meaning "between two waters" and is symbolized by the white band separating the blue lower half of the shield. The four dark blue stars symbolize the previous four ships bearing the name TICONDEROGA. The historical capture of Fort Ticonderoga is commemorated by the embattled partition line with the gold lion on the red field above it signifying the British adversary during the Revolutionary War. The motto "FIRST AEGIS CRUISER" emphasizes the significance of the new combat system and the ship which carries it.
**The Crest:**
The AEGIS Weapon System, a surface ship combat systems which has as its motto "Shield of the Fleet", is symbolized by the blue shield of a shape distinctive to the AEGIS System. The single gold star represents CG 47, the fifth ship to bear the name TICONDEROGA and the first combatant to carry the shield to sea. The spears extending from the shield reflect TICONDEROGA's mighty offensive armament capabilities and unparalleled firepower which permit her to operate in a multi-threat environment and take on any air, surface and subsurface target which the Battle Group might encounter.
Battle of Ticonderoga
During the French and Indian Wars
Ticonderoga, OPERATIONS AT. In the summer of 1758 the Marquis de Montcalm occupied the fortress of Ticonderoga, on Lake Champlain, with about 4,000 men, French and Indians. General Abercrombie personally commanded the expedition designed to capture this fortress, and at the beginning of July he had assembled at the head of Lake George about 7,000 regulars, nearly 9,000 provincials, and a heavy train of artillery. The army moved (July 5) down the lake in 900 bateaux and 125 whale-boats, and spent the night at a place yet known (as then named) as Sabbath-day Point. At dawn they landed at the foot of the lake, about 4 miles from Ticonderoga. The whole country was covered with a dense forest, and tangled morasses lay in the way of the English. Led by incompetent guides, they were soon bewildered; and while in that condition the right column, led by Lord Howe, was suddenly attacked by a small French force. A sharp skirmish ensued. The French were repulsed with a loss of 148 men made prisoners. At the first fire Lord Howe was killed, when the greater part of the troops fell back in confusion to the landingplace. From the prisoners Abercrombie learned that a reinforcement for Montcalm was approaching. He was also told of the strength of the garrison and the condition of the fortress; but the information, false and deceptive, induced him to press forward to make an immediate attack on the fort without his artillery. This was a fatal mistake. The outer works were easily taken, but the others were guarded by abatis and thoroughly manned. Abercrombie ordered his troops to scale the works in the face of the enemy's fire (July 8), when they were met by insuperable obstacles. After a bloody conflict of four hours, the assailants were compelled to fall back to Lake George, leaving about 2,000 men dead or wounded in the forest. Abercrombie then hastened to his camp at the head of the lake. The loss of the French was inconsiderable.
See you in San Francisco at the Marriott Fisherman's Wharf
June 12 - 16, 2010
Make Your Reservations NOW!
39th ANNUAL REUNION
66th COMMISSIONING ANNIVERSARY
|
The emergence of braided magnetic fields
C. PRIOR† and D. MACTAGGART‡*
†Department of Mathematical Sciences, Durham University, Durham, DH1 3LE, UK
‡School of Mathematics and Statistics, University of Glasgow, Glasgow G12 8QW, UK
(Received 00 Month 20xx; final version received 00 Month 20xx)
We study the emergence of braided magnetic fields from the top of the solar interior through to the corona. It is widely believed that emerging regions smaller than active regions are formed in the upper convection zone near the photosphere. Here, bundles of braided, rather than twisted, magnetic field can be formed, which then rise upward to emerge into the atmosphere. To test this theory, we investigate the behaviour of braided magnetic fields as they emerge into the solar atmosphere. We compare and contrast our models to previous studies of twisted flux tube emergence and discuss results that can be tested observationally. Although this is just an initial study, our results suggest that the underlying magnetic field structure of small emerging regions need not be twisted and that braided field, formed in the convection zone, could suffice.
Keywords: Magnetohydrodynamics; magnetic flux emergence; braids
1. Introduction
The Sun’s toroidal magnetic field is revealed by the presence of emerging flux at its surface, the photosphere. Concentrations of magnetic field that appear at the photosphere can vary in complexity but are generally bipolar, with two fairly distinct areas of opposite polarity (Schrijver and Zwaan 2000). This pattern appears across a range of scales, from the ‘salt and pepper’ fields of the quiet Sun (e.g. Meyer et al. 2013) to full active regions that can be hundreds of megametres in length. Despite a certain amount of self-similarity across the length scales, including the eruptive capabilities of smaller ephemeral regions (Schrijver 2010), it is generally believed that the processes which create large active regions are different to those of smaller regions. For smaller regions, it is widely accepted that magnetic field in the turbulent convection zone near the photosphere is deformed into ‘tangled bundles’ which can rise and emerge into the atmosphere (e.g. Stein et al. 2011, Stein 2012). For larger regions, there remains some debate as to whether the magnetic fields form at the base of the convection zone or within it (e.g. Fan 2001, Barker et al. 2012).
As mentioned above, emerging regions take the form of ‘tangled bundles’ of magnetic field. In modelling, it is generally assumed that such bundles of magnetic field are twisted flux tubes. This is because, without twist, flux tubes break up into magnetic vortices (in a similar way to a Von Kármán vortex street) and lose their structure (e.g Emonet and Moreno-Insertis 1998, Fan et al. 1998). However, even with twist, flux tubes can suffer substantial deformation in the highly turbulent convection zone near the photosphere (e.g. Bushby and Archontis 2012) unless their magnetic pressure is strong enough to dominate the pressure of the plasma outwith the flux tube, i.e. that of the surrounding convection zone. Although achieving strong field strengths may be possible for large active regions, this is less certain for smaller regions. Magnetoconvection models (Stein 2012) have shown that tangled bundles of magnetic field...
can form close to the photosphere. These bundles are not necessarily twisted and suggest that twisted flux tubes may not be the best model for smaller regions. In this paper, we investigate the emergence of braided, as opposed to twisted, magnetic fields. Such fields could be created in the convection zone as suggested by simulations (e.g. Stein and Nordlund 2012). Note that, by braided, we mean entangled in a manner more complex than simple twisting, rather than any precise mathematical definition. The emergence behaviour of such regions in the solar atmosphere has not been previously investigated. If their behaviour in the atmosphere, once they have emerged, is consistent with observations, this could imply that the property of twist in the underlying magnetic fields is not particularly important for smaller regions.
The paper is outlined as follows. First, we will describe the model, including the main equations and an account of how to construct braided magnetic fields. This is followed by a description of the diagnostic tools that we use to analyze the simulations and the analysis itself. The paper concludes with a discussion of possible observational signatures from the model and some general conclusions.
2. Model setup
2.1. Theoretical framework
In this study, we shall consider small active regions of $O(10)$ Mm across. This ties in with the theoretical considerations discussed in the Introduction and allows us to make comparisons with twisted flux tube models that are of a similar size (Hood et al. 2012, Cheung and Isobe 2014). As our focus is on the dynamics of the magnetic field, we shall consider an idealized description of the solar atmosphere. The bulk properties of the plasma and magnetic field dynamics are described by compressible magnetohydrodynamics (MHD). The 3D resistive and compressible MHD equations are solved using a Lagrangian remap scheme (Arber et al. 2001). In dimensionless form, the MHD equations are
\[
\frac{\text{D}\rho}{\text{D}t} = -\rho \nabla \cdot u,
\]
\[
\frac{\text{D}u}{\text{D}t} = -\frac{1}{\rho} \nabla p + \frac{1}{\rho} (\nabla \times B) \times B + \frac{1}{\rho} \nabla \cdot \sigma + g,
\]
\[
\frac{\text{D}B}{\text{D}t} = (B \cdot \nabla) u - (\nabla \cdot u) B + \eta \nabla^2 B,
\]
\[
\frac{\text{D}\varepsilon}{\text{D}t} = -\frac{p}{\rho} \nabla \cdot u + \frac{1}{\rho} \eta |j|^2 + \frac{1}{\rho} Q_{\text{visc}},
\]
\[
\nabla \cdot B = 0,
\]
with specific energy density
\[
\varepsilon = \frac{p}{(\gamma - 1)\rho}.
\]
The basic variables are the density $\rho$, the pressure $p$, the magnetic induction $B$ (referred to as the magnetic field) and the velocity $u$. $j$ is the current density, $g$ is gravity (uniform in the $z$-direction) and $\gamma = 5/3$ is the ratio of specific heats. The dimensionless temperature $T$ can be found from
\[
T = (\gamma - 1)\varepsilon.
\]
We make the variables dimensionless against photospheric values, namely pressure $p_{\text{ph}} = 1.4 \times 10^4$ Pa; density $\rho_{\text{ph}} = 2 \times 10^{-4}$ kg m$^{-3}$; scale height $H_{\text{ph}} = 170$ km; surface gravity $g_{\text{ph}} = 2.7 \times 10^2$ m s$^{-2}$; speed $u_{\text{ph}} = 6.8$ km s$^{-1}$; time $t_{\text{ph}} = 25$ s; magnetic field strength $B_{\text{ph}} = 1.3 \times 10^3$ G and temperature $T_{\text{ph}} = 5.6 \times 10^3$ K. In the non-dimensionalization of the temperature we use a gas constant $R = 8.3 \times 10^3$ m$^2$ s$^{-2}$ K$^{-1}$ and a mean molecular weight $\bar{\mu} = 1$. $\eta$ is the resistivity and we take its value to be $10^{-3}$. This value is close to the lowest physical resistivity that can be chosen before numerical resistivity dominates (see Arber et al. 2007, Leake et al. 2013). The fluid viscosity tensor and the viscous contribution to the energy equation are respectively
$$\sigma = 2\mu \left[ D - \frac{1}{3}(\text{tr}D)I \right]$$
(8)
and
$$Q_{\text{visc}} = \sigma : \nabla u,$$
(9)
where
$$D = \frac{1}{2} \left( \nabla u + \nabla u^T \right)$$
(10)
is the symmetric part of the rate of strain tensor and $I$ is the identity tensor. We take $\mu = 10^{-5}$ and use this form of viscosity primarily to aid stability. The code accurately resolves shocks by using a combination of shock viscosity (Wilkins 1980) and Van Leer flux limiters (van Leer 1979), which add heating terms to the energy equation. Values will be expressed in non-dimensional form unless explicitly stated otherwise.
The equations are solved in a Cartesian computational box of (non-dimensional) sizes $[-45, 45] \times [-45, 45] \times [0, 135]$ in the $x$, $y$ and $z$ directions respectively. The boundary conditions are closed on the top and base of the box and periodic on the sides. Damping layers are included at the side and top boundaries to reduce the reflection/transmission of waves. The computational mesh contains $288 \times 288 \times 432$ points.
### 2.2. Initial background atmosphere
The idealized initial equilibrium atmosphere is given by prescribing the temperature profile
$$T(z) = \begin{cases}
1 - [( \gamma - 1 )/ \gamma ] z, & z < z_{\text{ph}}, \\
1, & z_{\text{ph}} \leq z \leq z_{\text{tr}}, \\
T_{\text{cor}}^{[(z-z_{\text{tr}})/(z_{\text{tr}}-z_{\text{ph}})]}, & z_{\text{tr}} < z < z_{\text{cor}}, \\
T_{\text{cor}}, & z \geq z_{\text{cor}},
\end{cases}$$
(11)
where $T_{\text{cor}} = 150$ is the initial coronal temperature, $z_{\text{ph}}$ is the base of the photosphere, $z_{\text{tr}} = z_{\text{ph}} + 10$ is the base of the transition region and $z_{\text{cor}} = z_{\text{ph}} + 20$ is the base of the corona. In this paper, $z_{\text{ph}} = 30$. The solar interior is defined by $z < z_{\text{ph}}$ and is convectively stable in order to focus on the dynamics of the emerging magnetic braid. The other state variables, pressure and density, are found by solving the hydrostatic equation in conjunction with the ideal equation of state
$$\frac{dp}{dz} = -\rho g, \quad p = \rho T.$$
(12a,b)
For simplicity and since this is the first study of emerging magnetic braids, we assume that there is no ambient magnetic field. This choice also helps us to facilitate comparisons with other flux emergence models (e.g. Murray et al. 2006, Fan 2008, Hood et al. 2009, MacTaggart and Hood 2009b). To study emergence, we must place a particular form for the magnetic field in the solar interior and apply a perturbation to allow it to emerge. Before presenting the
models that we will consider in this study, we now briefly review the technique for creating magnetic flux tubes with arbitrary axial geometry introduced in Prior and Yeates (2016a).
### 2.3. Creating the flux tubes
We consider flux tubes embedded in a Cartesian coordinate system \((x, y, z)\). The ultimate aim is to define a tube (of possibly varying radius) whose interior is filled with a specified set of curves; that is to say, we specify its precise topology. A divergence-free field \(B\) whose field lines have this exact topology is then created.
The tube’s axis is specified by a curve \(r(s) : [0, L] \to \mathbb{R}^3\). A right-handed moving orthonormal basis \((d_1, d_2, d_3)\) is defined for \(r\) with \(d_3 = r'(s)/|r'(s)|\) being the unit tangent vector of \(d_3\), \(d_1\) a vector field always normal to \(d_3\) (\(d_1 \cdot d_3 = 0\)) and \(d_2 = d_3 \times d_1\). The use of such moving frames is standard in thin rod and polymer elasticity (Antman 2005). This basis can then be extended to form a curvilinear coordinate system by defining a map \(T(s, \rho, \theta) : [0, L] \times [0, 1] \times S^1 \to \mathbb{R}^3\) as
\[
T(s, \rho, \theta) = r(s) + \rho(s)R(s)\left\{d_1(s)\cos[\theta(s)] + d_2(s)\sin[\theta(s)]\right\}.
\]
This coordinate system is shown in figure 1(a). The evolution of this basis with \(s\), the arclength of \(r(s)\), is determined by the linear ODEs
\[
\begin{pmatrix}
d'_1 \\
d'_2 \\
d'_3
\end{pmatrix} =
\begin{pmatrix}
0 & 0 & -u_2 \\
0 & 0 & u_1 \\
u_2 & -u_1 & 0
\end{pmatrix}
\begin{pmatrix}
d_1 \\
d_2 \\
d_3
\end{pmatrix},
\]
where \(u_1\) and \(u_2\) are functions determining the curvature of \(r\) about the two orthogonal directions \(d_1\) and \(d_2\). Readers familiar with the differential geometry of tubes will recognise that in this choice of basis the vector field \(d_1\) is parallel-transported along \(r\) (Bishop 1975). This means that the curves of fixed coordinates \(R = \text{const.}\) and \(\theta = \text{const.}\) will follow the shape of the tube (figure 1(b)), i.e. it is the simplest possibly topology given the tube’s shape. We can then impart more complex topology on the tube by specifying functions \(\rho(s)\) and \(\theta(s)\) for each curve of the field, a simple example being \(\rho(s) = \text{const.}\) and \(\theta(s) = 2\pi s T_w/L\) for all curves, which will generate a twisted tube with total twist \(T_w\) (figure 1(c)).
2.4. Generating the magnetic field
A set of curves determined by the functions $\rho(s)$ and $\theta(s)$ and the map (13) determine a unit tangent field $N$ at all points in the domain $T$. We turn this field into a divergence-free field $B$ by writing $B = \phi N$ and solving the PDE
$$\nabla \cdot B = \nabla \phi \cdot N + \phi \nabla \cdot N = 0,$$
whose solution via the method of characteristics (integrating along field lines $f(s)$) is
$$B(f(s)) = N \phi_0 \exp \left( - \int_0^s \nabla \cdot N \, dt \right),$$
where $\phi_0$ is the distribution of $\phi$ on the surface $s = 0$. So, in order to define the flux tube magnetic field we have to specify
(i) The internal topology, through functions $\rho(s)$ and $\theta(s)$ determining the paths of curves in the domain.
(ii) The magnetic flux distribution $\phi_0$ on one end of the tube.
We then integrate (16) to determine the full field. A further embellishment of this process is to select a finite number of curves $r_i$ from the original tube $T$ and to create smaller tubular fields surrounding each curve $r_i$. In this way, a pigtail braided field with a sigmoidal axis was created in Prior and Yeates (2016a) (an example is shown later in figure 3). A second approach to increasing the complexity of the field is to define fields which partly overlap, creating a composite field with more complex internal topology. This is used in what follows to develop a version of the braided field used in Yeates et al. (2010), Wilmot-Smith et al. (2011), Yeates et al. (2015). The technical details of the process by which this field is interpolated onto a Cartesian grid are discussed in Prior and Yeates (2016a).
2.5. Braid models
Now that we have described how to form flux tubes, we will now present the fields of interest to this study. In what follows we choose the axis curve $r$ to be a half circle with radius radius $R_m$, i.e.
$$r(s) = [R_m \cos(s/R_m), 0, R_m \sin(s/R_m)],$$
where $s \in [0, \pi R_m]$.
2.5.1. Uniform twist
As mentioned above, the choices $R = \text{const.}$ (constant tube width) and $\theta(s) = 2\pi s T_w / L$ define a field with uniform twist and a total rotation of $2\pi T_w$ radians. We constructed fields with $T_w = 2$ and $T_w = 5$. These values are below and above, respectively, the kink instability threshold for toroidal magnetic flux ropes (e.g. Török and Kliem 2005). The major radius is $R_m = 17.5$ and the tube radius $R = 3.75$. These magnetic fields were used for test runs to make sure that their emergence properties behaved in accordance with other twisted flux tube models (e.g. Hood et al. 2009, MacTaggart and Hood 2009b,a). We will not discuss the emergence of these twisted fields, which has been treated at length in existing literature, and instead focus entirely on the braided fields described below.
2.5.2. B4 braid
This field is based on the numerical experiments of Wilmot-Smith et al. (2009, 2011) and Russell et al. (2015), where a family of braided magnetic fields were created using series of $n$ opposing pairs of rotations through an angle $\pi$ rad at staggered distances along the tube’s length. In this case we use four pairs of opposing twist (hence B(braided)4). We impose this
twisted structure on a half circle of major radius $R_m = 17.5$. We then define two curves $\mathbf{r}_i, i = 1, 2$ as
$$\mathbf{r}_i = \mathbf{r} + \rho^i \mathbf{n} \cos(\theta_i), \quad \theta_i = 0, \pi.$$
(18)
These curves are then used to define two tubes $T_i, i \in 1, 2$. The values of $\rho^i = 0.15$ and the tube radii $R_i = 2.8$ are chosen so that the tubes have significant overlap (increasing the field’s complexity). We then define the fields within the tubes with the following topology functions:
$$\rho_{1/2} = \text{const.},$$
(19a)
$$\theta_1(s) = \sum_{k=1}^{4} \frac{\pi}{1 - \exp(-a(s - b_{1k}))}, \quad \theta_2(s) = \sum_{k=1}^{4} \frac{\sigma \pi}{1 - \exp(-a(s - b_{2k}))},$$
(19b,c)
with $\sigma = -1$ and $b_{11} < b_{21} < b_{12} < b_{22} < b_{13} < b_{23} < b_{14} < b_{24}$. This creates a series of staggered twists of the field, with the twist occurring sequentially in tube $T_1$ then $T_2$ then $T_1$ again, etc. The choice $\sigma = -1$ means that the rotations have opposing chirality. In practice the values of $b_{1i}, b_{2i}$ and $a$ are chosen so that there is no overlap (when one tube has twisted field lines, the field lines of tube 2 are created by parallel transport). These two prescriptions of $\theta_{1/2}$ can be used to make fields $\mathbf{B}_1$ and $\mathbf{B}_2$; the B4 field is their sum $\mathbf{B}_{B4} = \mathbf{B}_1 + \mathbf{B}_2$. Field lines of this composite field are shown in figure 2. It is difficult to see in this curved geometry but sets of the field lines can be shown to form pigtail braids (Wilmot-Smith et al. 2011). For this model, the average field strength at $t = 0$ is $B \sim 20$. This value results in an initial average plasma beta for the tube of $\beta = 2\rho/B^2 \sim 10$. This means that the field is dynamically dominated by the flow in the solar interior. The initially high value of $B$ is chosen to ensure sensible values (i.e. those in line with twisted tube models) of the field strength when the tube reaches the photosphere and emerges into the atmosphere. Since we are not modelling convection, the model solar interior acts like an extended boundary condition, allowing flux emergence at the photosphere to occur without imposing any motions there. The average magnetic field strength in the model solar interior decays in time and by $t = 40$ it is about 10% of its value at $t = 0$.
In Wilmot-Smith et al. (2011) it was found that the diffuse small scale current structure of this braid leads to rapid and efficient reconnection, causing the field to separate into two twisted flux ropes of opposing chirality. These results were recreated using flux ropes with realistic coronal morphology in Prior and Yeates (2016b). Since the Alfvén travel time in our model solar interior is much longer than the typical coronal value, we will pay close attention to whether the entanglement survives the emergence process.
2.5.3. Pigtail braid
The pigtail braid, shown in figure 3, is made up of three flux ropes $r_i$ which interlink within a toroidal tube $T$ of major radius $R_m = 17.5$. The axes of the three sub-tubes are defined by the functions
\[
\rho_i(s) = 0.5 \sqrt{\sin(2\pi s/L + d_i)^2 + \cos(4\pi s/L + d_i)^2},
\]
\[
\theta_i(s) = \arctan \left[ \frac{\cos(4\pi s/L + d_i)}{\sin(2\pi s/L + d_i)} \right],
\]
\[
\begin{cases}
d_1 = 0, \\
d_2 = 1/3, \\
d_3 = 2/3.
\end{cases}
\]
We then create tubular fields $\mathbf{B}_i$ in tubes $T_i$ of fixed radius $R = 1.2$ around each of these axes. In this study, for simplicity, we choose the fields to have no internal twisting. The average field strength at $t = 0$ is $B \sim 10$. The plasma beta then has the value $\beta \sim 20$. This means that in the solar interior, as for the B4 braid, the magnetic field is dominated dynamically by flows. In contrast to the B4 braid, however, the only significant current structure will be between the tubes rather than in the interior. In Prior and Yeates (2016b) it was found that this meant the disentanglement of the field through reconnection is far less efficient. Once again we will pay attention to how well the pigtail structure survives the emergence process in what follows.
2.6. Perturbing the braids
The models described above are placed in the solar interior ($z_{ph} < 0$). In order to cause these tubes to rise towards the photosphere and emerge into the atmosphere, some perturbation of the field must be induced. This perturbation normally takes the form of introducing a density deficit into the tube (e.g. MacTaggart and Hood 2009b,a, MacTaggart et al. 2015, Hood et al. 2012) or the application of a small velocity perturbation (e.g. Magara and Longcope 2001, 2003, An and Magara 2013). In this study we opt for the latter and apply a perturbation to the velocity, at the initial tube position, of the form
\[
v_p = V_0 \exp \left( -\frac{x^2}{x_0^2} \right) \exp \left( -\frac{y^2}{y_0^2} \right) \exp \left( -\frac{(z - R_m)^2}{z_0^2} \right) \sin \left( \frac{t}{t_0} \pi \right).
\]
After some experimentation, we chose the parameter values $V_0 = 0.05$, $x_0 = 5$, $y_0 = 3$, $z_0 = 5$ and $t_0 = 6$. The effect of using these parameters results in a field evolution in the model solar interior similar to that described in Hood et al. (2012). If the parameters are too large, the entire tube is dragged up into the atmosphere, producing unrealistic results. With the chosen set of parameters, the field rises to the photosphere in a similar time scale to other
studies. At the photosphere, the majority of the magnetic flux becomes trapped and cannot rise via buoyancy, due to the change in temperature gradient. To push into the atmosphere, the magnetic field strength must build up until the magnetic pressure can defeat the plasma pressure, and a buoyancy instability occurs. As the initial onset of emergence in this study is very similar to that described extensively in other works, we shall focus on the emergence behaviour as the field pushes into the atmosphere.
3. Simulations
Even in idealized models, such as those presented in this paper, the coronal magnetic fields that develop from flux emergence can become very complicated. Before presenting the results of our simulations we describe some diagnostic tools that we use to study the magnetic fields.
3.1. Diagnostics
3.1.1. Current contours
We plot contours of constant current magnitude $\|j\|$ in order to track the field’s expansion through the photosphere, transition region and the corona. For the majority of plots we choose a value of $\|j\| = 0.1$ in the interior/photosphere and a lower value $\|j\| = 0.001$ when the field is in the transition region/corona. Both values are chosen in order to reliably observe the key features of the current distribution. For similar plots that do not use the above values, appropriate details will be given in captions.
3.1.2. Current and density slices in the corona
As the magnetic field expands into the corona, dense plasma can be carried upwards from the photosphere. If this field expands so that it becomes too weak to support the dense photospheric plasma, the field lines can buckle and dips containing dense plasma can form. This is effectively the magnetic Rayleigh Taylor instability, where the dense overlying plasma can no longer be supported and begins to sink. This process continues until the magnetic tension of the dipped field ($\mu_0^{-1} B \cdot \nabla B$) can balance the gravitational force of the collected dense plasma. In order to find these dipped locations in our models, where magnetic geometries are highly complex, a simple and effective method is to compare slices of the current density magnitude $\|j\|$ and density $\rho$ distributions across the same $z$-planes.
3.1.3. Synthetic magnetograms
We create predicted magnetograms by plotting the value of $B_z$ at the photosphere $z_{ph}$. These maps can be used for qualitative comparisons to observations, i.e. the shape and evolution of the large scale features of $B_z$.
3.1.4. Local twist distributions
A quantitative measure of the field’s internal geometry which we measure is the average local twisting of each field line. For a field line $f(l)$ of arclength $L$ whose footpoint coordinates are $(x_f, y_f)$, we define the integrated quantity
$$L_f(f(l)) = \frac{1}{L} \int_0^L \frac{j \cdot B}{B \cdot B} \, dl = \frac{1}{L} \int_0^L \frac{B \cdot \nabla \times B}{B \cdot B} \, dl,$$
which represents the mean rotation of the local field lines around $f(l)$. For a linear force-free field, $j \cdot B = \alpha B \cdot B$ and $L_f$ is just the linear force-free parameter $\alpha$, which would be constant throughout the domain. This quantity was used to evaluate the internal structure
of relaxing braided and twisted cylindrical fields in Wilmot-Smith et al. (2011), Yeates et al. (2015) and for flux ropes with more realistic coronal geometries in Prior and Yeates (2016a,b). It was found that braided fields, even with significantly reduced Lorentz forces, can often exhibit significantly mixed $L_f$ distributions (both positive and negative twisting), indicative of field with complex internal structure. In this study we create distributions of $L_f$ across the photospheric plane $z_{\text{ph}}$ and the coronal plane $z_{\text{cor}} = z_{\text{ph}} + 20$, in order to evaluate what structures from the initial field has risen into both domains. In addition we draw subsets of field lines on specific domains of these $L_f$ plots to try to give some perspective on the implication of these distributions.
3.1.5. Sigmoid analysis
For a bipolar region, the simplest model for its magnetic field is a potential field. In such a field, the field lines do not kink as they travel from one footpoint to the other. The simplest step up in complexity for the magnetic field is a linear force-free field. For this case, there is now a non-zero current density and the bipolar region has a sigmoidal geometry. Sigmoids are, therefore, signatures of current (or twist) in a magnetic field. A clear way to visualize sigmoids in simulations is to calculate a proxy of the emission which might be viewed by line-of-sight imaging in extreme-ultraviolet or X-ray wavelengths (e.g. Archontis et al. 2009, Hood et al. 2012). We average $\|j\|^2$ (proportional to the ohmic dissipation) along field lines starting at all points in the domain. The averaging is performed on the assumption that thermal conduction along the field lines occurs much faster than the field evolves. We then integrate this quantity vertically, from $z_{\text{cor}}$, to mimic the line-of-sight view. This proxy has been used in a number of previous studies, e.g. Cheung and DeRosa (2012), Prior and Yeates (2016b).
3.2. B4 field
The field evolves for $t \in [0, 90]$ during which it expands significantly into the corona. This time scale, for the size of region considered, is comparable to other models using twisted flux tubes (e.g. MacTaggart and Hood 2009b). Exact rise times are dependent on the choice of the initial perturbation and the initial position of the flux tube relative to $z_{\text{ph}}$. Figure 4 displays contours of current density at different times in the evolution of the emerging region. The two semi-transparent slices indicate the positions of $z_{\text{ph}}$ (grey) and $z_{\text{cor}}$ (green).
Figure 4 (a) shows the initial state of the half torus at $t = 0$. Later, in figure 4 (b-d), the effect of a magnetic buoyancy instability causes a large expansion of the field into the atmosphere. In figure 4 (d), there is significant penetration into the corona. Much of this evolution mirrors what has been found in twisted tube models, including the fact that some magnetic flux remains trapped at the photosphere, shown most clearly in figure 4 (d) by the spread of the contour at $z_{\text{ph}}$ (cf. figure 2 of Hood et al. (2012)). The magnetic ‘bubbles’ in figure 4 (b-d) display distinct undulations. These are caused by the expanding magnetic field bringing up dense plasma which it can no longer fully support. Some of this dense plasma drains back down to the lower atmosphere and some remains trapped in magnetic dips. To show this more clearly, consider the slices displayed in figure 5.
The two slices, taken at $z = 87.5$ for $t = 90$, show (a) $\|j\|$ and (b) log $\rho$. What is immediately obvious from these two slices is that morphology of the current density matches that of the (logged) density. This shows that it is presence of dense plasma that is deforming the magnetic field and producing regions of increased current density. The raising of dense plasma occurs also in twisted flux tube models (MacTaggart and Haynes 2014, MacTaggart et al. 2015). This process has important implications for what kind of eruptions can take place in emerging solar regions. As this study, however, is an initial foray into the behaviour of braided tube emergence, we shall leave questions related to eruptions and coronal interactions to future work.
Figure 4. Contours of constant current of the B4 field at various times during its evolution. (a) $t = 0$, the initial half torus tube is evident. (b) $t = 20$, the tube has risen into the photosphere/transition region and expanded with a central dip. (c) $t = 30$, further expansion has lead to the emerging field penetrating the corona. (d) $t = 90$, a series of undulations have developed in the coronal field. Grey slice: $z_{\text{ph}}$, green slice: $z_{\text{cor}}$. (Colour online)
Figure 5. Slices of the current magnitude and density distributions at $z = 87.5$ for $t = 90$. (a) the current magnitude (darker colours are higher in magnitude). The ridge structure shown in figure 4(d) is evident. (b) the (logged) density magnitude, the morphology of the distribution matches that of the current distribution in (a). (Colour online)
Figure 6 displays synthetic magnetograms at four different times throughout the period of emergence. The classic bipolar configuration, described in the Introduction, grows in time. Although the magnetic field expands, the centres of the two main polarities move apart until they are approximately $2R_{\odot}$ apart (the diameter of the half torus anchored at the base of the computational domain). The magnetograms reveal two interesting features that can be tested observationally. The first is that the angle of the polarity inversion line (PIL) changes by a small amount ($\sim 14^\circ$ difference in figure 6 (b-d) compared to (a)) as the region grows in size. Emerging twisted tubes show a more substantial rotation of their main polarities (e.g. Hood et al. 2009). The second is that the polarities exhibit a tadpole-like structure. This property is similar to twisted models and has been used as an observational indicator for twist in an emerging region (Luoni et al. 2011, MacTaggart 2011). Thirdly, there is a developing complex pattern at the PIL. To investigate this property in more detail, we can consider the twist profiles of the region.
Figure 7 displays maps of the field line twist $L_f$ at $z_{\text{ph}}$ for four different times. Figure 7 (a) shows the twist profile at $t = 10$. The PIL can be seen in white and matches the shape in figure 6 (a). At this stage, the majority of the twist is of one sense (negative, blue) except in a thin strip crossing the centre of the PIL (positive, red). As the region evolves, positive twist aligns with the PIL and becomes stronger in magnitude. There remains a complex banded (blue and red) strip that cuts across the centre of the PIL. Away from the PIL, a complex mixed pattern of both positive and negative twist develops. These features convey that the magnetic field remains strongly twisted at the PIL. This is analogous to the twisted tube case, where shear
Figure 7. Distributions of $L_f$ at the photospheric boundary for the B4 field. (a) $t = 10$, the (white) PIL is clear, cf. figure 6 (a). (b) $t = 30$, there is now a positive twist in the core with a negative outer ring. Additionally there is a banded structure of opposing twist at the centre of the field, distorting the PIL here. (c) $t = 50$, the basic features of (b) are present but there is far more mixing. (d) $t = 90$, the mixing pattern has increased with strong twist concentrated at the PIL. (Colour online)
is concentrated at the PIL (Hood et al. 2012). The banded structure, however, is generally not seen as an emerging structure in twisted models. That feature and the complex mixing pattern away from the PIL are due to the complexity of the original B4 braid. Figure 8 shows plots of $L_f$ at the coronal boundary $z_{\text{cor}}$. In figure 8 (a), the profile is shown at $t = 30$ and reveals two distinct regions of emergence of relatively weak twist. The boundary between these regions matches the banded structure from figure 7 and can also be seen in figure 4 (c). Later, at $t = 90$, the twist profile exhibits a complex pattern due, in part, to the undulations caused by dense plasma, cf. figure 4 (d). This pattern, with mixed regions of positive and negative twist on various scales, is similar to twisting patterns found from nonlinear force-free field extrapolations from magnetograms of emerging bipolar regions (e.g. Liu et al. 2016). Some coronal field line subsets at $t = 90$ are shown in figure 9 anchored at various sections of the final coronal $L_f$ distribution shown in figure 8 (b). Figure 9 (a) displays field lines traced from a complex mixing region of the $L_f$ map. These field lines connect across the region and exhibit a complex and twisted geometry. Dipped field lines can be identified and these correspond to the previous discussion on undulations. The field lines that connect across the region also appear to exhibit a sigmoidal geometry. This will be confirmed later when calculating the emission proxy. Figure 9 (b) shows field lines that are lower in the corona and have much weaker twist. On either side of the PIL, the plotted arcades are close to potential. This plot
shows that even at different heights in the corona, the magnetic field geometry can change drastically.
Figure 10 shows the emission proxy for the emerged B4 field at $t = 90$. There are two clear features revealed by this plot. The first is the intense line crossing (0,0) diagonally downwards. This represents the main undulation in the emerging magnetic bubble which, as shown in the $\|j\|$ contours and the $L_f$ maps, is caused by the emergence of the two-bubble region described above. The second feature is a sigmoid which passes horizontally through $y = 0$. Weakly twisted emerging flux tubes also produce weak sigmoids similar to that shown in figure 10. Tubes with stronger twist produce more pronounced sigmoids (Archontis et al. 2009). Hence, distinguishing between emergence from a weakly twisted tube and a B4-like braid may prove difficult from studying the emission.
3.3. Pigtail field
The pigtail field evolves for $t \in [0, 100]$, during which the field expands into the corona, as shown in the current contour plots of figure 11. The general evolution of a rising magnetic bubble with some flux trapped in the photosphere is similar to the B4 case and other twisted models (Hood et al. 2012).
As for the B4 case, undulations form, as can clearly be seen in figure 11 (d). The morphology differs from the B4 case, however, with the undulations taking a more linear profile. This effect is shown again in figure 12, with plots of $\|j\|$ and $\log \rho$ taken at $z = 82.5$. The linear profile of the undulations is suggestive of a weakly twisted magnetic field. This will be confirmed later when examining the twist plots for the pigtail. Figure 13 displays the synthetic magnetograms at $z_{ph}$ at four different times during emergence.
The pigtail does not produce the general bipolar structure of the B4 field. Instead, an asymmetric pattern forms, as in figure 13 (a), which then develops into a banded structure alternating between positive and negative polarities. Although the internal structure of the B4 field is more complex than the pigtail, the magnetograms of the pigtail emergence are much more complex than those of the B4 field. To see where this banded structure comes from, it is helpful to examine the pigtail field before it emerges. This is displayed in figure 14.
Taking a slice close to the apex of the pigtail field at $t = 0$, as displayed in figure 14 (a), the resulting synthetic magnetogram is shown in figure 14 (b). The pigtail in our model consists of three independent flux tubes. In the magnetogram of 14 (b), the image of these flux tubes can be seen as a banded structure. This structure persists to the photosphere and, hence, the photospheric magnetograms reveal the internal structure of the pigtail braid. As mentioned above, the B4 field has a more complex internal structure than the pigtail but a simpler magnetogram. The internal structure of the B4 field consists of flux tubes braided at much finer scales compared to the pigtail. Hence, the B4 field rises to the photosphere as, essentially, one tube. The internal structure of the pigtail, however, consists of three individual flux tubes that remain, to a significant extent, distinct.
Figure 15 displays the distribution of $L_f$ at $z_{ph}$ for four different times. At $t = 20$, figure 15 (a) shows that the emerging field is initially dominated by positive twist. At later times, this simple picture breaks down into a highly complex pattern. These maps show that although the initial pigtail flux tube has a relatively simple structure, upon emergence it develops many
Figure 11. Contours of constant current for the pigtail field. (a) $t = 0$, the initial pigtail structure. (b) $t = 30$, the field has expanded into the photosphere. (c) $t = 50$, the field expands significantly. (d) $t = 100$, the field has penetrated the coronal region, undulations in the current structure are evident. Grey slice: $z_{\text{ph}}$, green slice: $z_{\text{cor}}$. (Colour online)
Figure 12. Slices of the current magnitude and density distributions of the pigtail field at $z = 82.5$ for $t = 100$. (a) the current magnitude (darker colours are higher in magnitude), the ridge structure shown in figure 11 (d) is clear. (b) the (logged) density magnitude, the morphology of the distribution matches that of the current distribution in (a). (Colour online)
Figure 13. Synthetic magnetograms of $B_z$ at the photospheric boundary $z = 0$ for the pigtail field. (a) $t = 20$, the initial emergence has two dominant bipoles. (b-d) ($t = 40, 70, 100$ respectively) the simple bipolar structure is absent and there is a banded structure of positive and negative polarities. (Colour online)
Figure 14. An indication of the banded magnetic structure of the pigtail braid at $t = 0$. (a) indicates the slice taken near the apex of the braid. (b) shows the magnetogram from the slice in (a). (Colour online)
Figure 15. Distributions of $L_f$ at the photospheric boundary for the pigtail field. (a) $t = 20$, upon the initial entry into the photosphere the plot is dominated by positive twist. By comparison in (b), (c) and (d) ($t = 50, 70, 100$ respectively) the picture is far more complex with numerous interspersed islands of both positive and negative twist. There is no coherent inversion line. (Colour online)
fine scales in the photosphere. Unlike the B4 map, there is no clearly discernable PIL.
Figure 16 shows the $L_f$ profiles at $z_{\text{cor}}$ for four different times. The coronal field is much simpler than that at the photosphere. The PIL is clearly identifiable at all times and is not subject to substantial deformation. The twist is mainly positive and its magnitude within the emerging region is weak. These results are in agreement with the linear morphology of undulations considered earlier, which implied a weakly twisted field. The lack of twist appears to indicate only one of the flux elements composing the initial pigtail has emerged into the corona. This picture, however, is a slight simplification as areas develop in the maps where the twist becomes stronger, e.g. the centre of figure 16 (d).
One interesting feature of these maps is appearance of a region of negative twist on the right of the domain, as shown in figure 16 (c) and (d). This ‘new’ region is initially of strong negative twist. However, the magnitude of negative twist decays within the new region. Figure 17 shows magnetic field lines plotted within the main emerging region and the new region at $t = 100$. The $L_f$ distribution from 16 (d) is included to help provide a context. The green field lines are traced over a region of increased positive twist and take the form of a sheared arcade. The black field lines of the new region are, by comparison, much closer to potential. This two-region formation in the corona is due to the staggered emergence of elements of the initial individual pigtail, which, as the magnetograms (figure 13) suggest, remain significantly
Figure 16. Distributions of $L_f$ at the coronal boundary for the pigtail field. (a)-(b) ($t = 50, 70$ respectively) the plots are dominated by weak positive values. (c) $t = 80$, a small negative region emerges in the upper corner of the distribution, the inversion line remains continuous within this section of the field. (d) $t = 100$, the twist of the negative region observed in (c) appears to diminish in magnitude, though some new internal structure forms. (Colour online)
distinct. When the three tubes that comprise the pigtail reach the photosphere and emerge, one of these tubes forms the main part of the coronal field. The others can also emerge and interact to create the complex twisting pattern in the photosphere. The smaller region in the corona is the result of another of the pigtail tubes emerging.
Figure 18 displays a contour of $j_x = 0.07$ and highlights that the pigtail field can launch multiple emergence regions. As well as the two regions that reach the corona, indicated in figure 16 (c,d), figure 18 also reveals a third emerging region that has not yet reached the corona.
Figure 19 shows the emission proxy for the emerged pigtail field in the corona at $t = 100$. The first observation is that the emission proxy does not exhibit any clear sigmoidal structure. This is perhaps not surprising as the total emerging field consists of multiple emerging regions, formed from the tubes of the original pigtail, that are very weakly twisted. The overall shape of the emission proxy is asymmetric, again due to the emergence and interaction of multiple magnetic bubbles. Intense regions highlight the main undulations of the emerging field and the regions of stronger twist.
Figure 17. Curves characterising the regions of the coronal $L_f$ plots at $t = 100$ for the pigtail braid as seen from the side (a) and above (b). The green curves depict the weakly twisted structure of the bulk of the field which penetrates the corona. The black curves, in the top right of the distribution, depict the structure of the additional emerging island seen in (c) and (d) of figure 16(c) and (d). (Colour online)
Figure 18. Contour of $j_x$ at $t = 100$ showing the two emerging regions that have reached the corona plus a new emerging region lower in the atmosphere. Grey slice is at $z_{ph}$. (Colour online)
4. Discussion
In this paper, we have modelled the emergence of braided magnetic fields into the solar atmosphere. Our purpose is to test if the behaviour of such fields, once in the atmosphere, produces dynamics that are consistent with observations. If this is the case, then our results add weight to the theory that small emerging regions can be formed by magnetic flux tubes braided in the upper convection zone. We have considered two types of braided field. The first, the B4 field, is the result of a series of staggered twists and has a complex internal structure that varies over length scales shorter than radius of the tube. The second is a pigtail braid that has a simpler (and easily visualized) internal structure which varies on a length scale of the order of the tube radius. Both models have similarities and differences compared to twisted tube models and these have been noted throughout the paper. We shall now highlight some of the observational consequences of our results.
4.1. Magnetograms
The two braid models produce very different magnetograms. Starting with the B4 field, the classic bipolar structure is found. Although this pattern is also found for twisted tube models, there are some differences which are detectable in observations. For the B4 model, the PIL exhibits a small rotation of $\sim 14^\circ$ during emergence. In twisted tube models, this rotation is much larger and can be $\sim 90^\circ$. This small variation of the PIL angle could be an observational indicator that the underlying field is either braided (in a similar way to B4) or is weakly twisted.
Another feature of the B4 magnetograms, that has consequences for observations, is the tadpole structure of the two main polarities. As mentioned previously, this feature has been used as an observational signature of underlying twist in emerging bipolar regions (Luoni et al. 2011). The azimuthal component of a twisted magnetic flux tube can produce the tails of the tadpole structure, which would not exist for a potential field. Our results show, however, that a complex braided structure that is not twisted, such as the B4 field, can reproduce the same signature. Hence, other signatures, such as the PIL rotation described above, are required in combination with the tadpole structure in order to better establish whether or not this underlying field is twisted.
The magnetograms of the pigtail field are considerably more complex compared to those of the B4 field. It was described earlier that the banded pattern of the pigtail magnetograms is due to the internal structure of the emerging flux tube. Unlike the B4 field, which can be thought of as a braid of many fine flux tubes, the pigtail is a braid of three thick tubes. The magnetograms that the pigtail produces have many similarities to regions known as $\delta$-spots. The form of $\delta$-spot that we are considering here is a complex collection of bipoles emerging together, rather than the collision of two separate active regions (Zirin and Liggett 1987). Almost all models of such regions have been based on emerging twisted flux tubes, either kink unstable (Fan et al. 1999, Linton et al. 1999, Takasao et al. 2015) or exhibiting multiple regions of emergence (Fang and Fan 2015). Our results suggest that $\delta$-spots could be due to non-twisted, coarsely braided flux tubes, such as the pigtail. Further work would be required to determine how the atmospheric field in the pigtail model compares with observations of $\delta$-spots.
4.2. Sigmoids
There is a clear difference between the emission proxies of the two braid models. The B4 field has a sigmoidal shape, suggesting a twisted field. The pigtail field has a structure closer to a potential field with no sigmoidal shape. If an observation produced an image similar to the pigtail emission proxy, then it could be said with confidence that the emerging field is not twisted. For the B4 case, however, this is not so clear as its features are similar to those of twisted tube models. This observational signature, including the others discussed throughout the paper, suggest that it would be difficult to distinguish a B4-type emerging flux tube from a (weakly) twisted tube.
4.3. Conclusions
Our results imply the following for the two models considered:
1. **B4** - the result of braiding many fine flux tubes, leading to a complex internal structure.
(a) The field behaves like a weakly twisted tube during emergence.
(b) It has observational signatures that correspond to twisted models - tadpole structure in bipolar magnetograms, twist concentration at the PIL and a sigmoidal structure in the atmosphere.
(c) The emerging B4 field may be difficult to distinguish, observationally, from an emerging (weakly) twisted tube.
(d) Emergence of the B4 field produces local twisting distributions qualitatively similar to those generated from nonlinear force free extrapolations of emerging bipolar regions.
(e) The twist maps of the field (figure 9) indicate that the field which enters the corona maintains a significantly complex internal topology. This result is an indication that the complex field topologies found in the coronal region could be injected through the photosphere.
2. **Pigtail** - the result of thick flux tubes braided together.
(a) Emergence of the pigtail field produces complex magnetograms reminiscent of multipolar emerging regions ($\delta$-spots).
(b) Individual tubes of the pigtail emerge to form the coronal field.
(c) Several parts of the tubes can emerge together and interact in the atmosphere.
(d) The emerging region is weakly twisted and does not exhibit any obvious sigmoidal structure.
Both models produce dynamics in the atmosphere that can be identified with existing observations and have implications for the interpretation of these observations. The different topologies of the two models are injected into the atmosphere, resulting in different evolutions of the corresponding magnetic fields. Our results show that the emergence of braided fields leads to quantifiable atmospheric dynamics and, hence, adds weight to the theory that small active regions can form from magnetic flux tubes braided in the convection zone.
Our results could have important implications for larger active regions also. The B4 field produces many signatures that are found observationally and are generally attributed to twisted emerging tubes. If the convection zone can braid, in the manner of B4, many small flux tubes into a tube that is larger than the ones considered in this study, it may be the case that active region fields are, therefore, also the result of braided tubes. This would have important implications for the solar dynamo and should be the subject of future work.
Acknowledgements
DM would like to thank the Carnegie Trust for a Research Incentive Grant (Ref: 70323). CP would like to acknowledge the support of an Addison Wheeler fellowship. Computational resources used in this paper are; the EPSRC funded ARCHIE-WeSt High Performance Computer (www.archie-west.ac.uk), EPSRC grant no. EP/K000586/1; the DiRAC 1, UKMHD Consortium machine at the University of St Andrews; the Hamilton supercomputing facility provided by the HPC service of Durham University.
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|
A Session with Lou Rawls
The Care and Feeding of Your Multi-track
Lab Reports - New Products - Record Reviews
Sound engineering is as much a part of creative music today as the performance itself, and is changing the scope of the industry. Audio technology is presenting a new range of creativity. It is the audio engineer who applies imagination to this technology and expands the boundaries of creative sound.
The MXR Digital Delay gives the audio engineer a tool for creative application that is unparalleled in versatility, precision and ease of operation. The MXR Digital Delay is designed for a wide variety of applications including: amplified musical instruments, vocals, PA and recording mixes. The basic unit delays a sound between 0.08 milliseconds and 320 milliseconds, fully variable while retaining the dynamic range of the program source. The delay range is expandable to 1280 milliseconds in increments of 320 milliseconds by means of up to three additional plug-in memory boards. These boards are available from MXR and may be installed by the user.
Effects that can be obtained with fixed time delays include echo, vocal doubling and hard reverberation. The MXR Digital Delay contains sweep circuitry which allows additional effects such as flanging, vibrato, pitch bending and frequency modulation. The MXR Digital Delay is also capable of repeat hold (infinite non deteriorating regeneration).
Rack mountable for sound studio installation, it is also available with an optional road case for onstage use or location recording mixes.
MXR's Digital Delay can lead the way to new possibilities in creative sound at a price considerably lower than any comparable delay.
For more information see your MXR dealer. MXR Innovations, 247 N. Goodman St., Rochester, New York 14607, (716) 442-5320. Distributed in Canada by Yorkville Sound Ltd., 80 Midwest Road, Scarborough, Ontario.
MXR Professional Products Group
CIRCLE 97 ON READER SERVICE CARD
the pros stick together...
and that includes the Recording Studio Design 12 x 2 foldback mixing console. Fresh on the American market after two years of trendsetting success in Europe, RSD has specifications which easily meet and surpass its competition, as well as two very important, unique extras. Incorporated into the panel is 3 band equalization with continuously variable mid and bass controls allowing a parametric equalization effect not found on other models. The RSD is equipped with a multicore connector coupling allowing the hook-up (with a suitable winding spindle) to its 12 channel stage box...a truly professional feature.
Through the highly selected dealers you see listed below.
GOSPEL SOUND & MUSIC CO.
588 Lighthouse Ave.
Monterey, CA 93940
(408) 373-5272
LEO'S MUSIC
5447 Telegraph Ave.
Oakland, CA 94609
(415) 653-1000
HUD SOUND
1607 A Julies Ave.
Sacramento, CA 95815
(916) 929-0898
FANCY MUSIC LTD.
744 State St.
Santa Barbara, CA 93901
(805) 963-3503
or for more information write to:
Recording Studio Design
114 Glenwood
Garland, Texas 75040
CIRCLE 85 ON READER
You can pay for someone else's studio or you can invest in your own.
Our new Studio 8000 gives you that choice. And you won't have to sell your soul to get it.*
The eight tracks give you room to spread out your music, and your own studio gives you the option of turning on the equipment whenever you turn on to a good idea...24 hours a day.
Here's what you get. The TASCAM Series 80-8: half-inch, 15 ips. One speed, one format saves you money but gives you a final product: professional master tapes, faster and easier than any recorder/reproducer you ever sat behind. Add the DX-8 for up to 30dB of noise reduction.
The Model 5A Mixing Console gives you 8-in and 4-out, and has been studio proven in both mobile and fixed installations. In short, it's uncomplicated and tough. Add the 5EX for 12 inputs and even greater flexibility. The Model-1 (8-in, 2-out) gives you those necessary sub-mixes, without affecting your primary mix.
And for absolute quality stereo mastering, plug in the 25-2. DBX is built in, and so are speed, simplicity and accurate final editing capability.
So why go on paying for time in a studio that someone else owns? Especially when the total dollars involved wouldn't buy much more than a new car at today's prices.
See the Studio 8000 at your authorized TASCAM dealer.
TASCAM SERIES BY TEAC
A new generation of recording instruments for a new generation of recording artists.
* $10,460 suggested retail price as shown. Rolling consoles shown are optional. Prices subject to dealer preparation charges where applicable.
THE FEATURES
THE CARE AND FEEDING OF YOUR MULTI-TRACK RECORDER
By David Moyssiadis 32
A look at how the small-studio owner and home recordist can realistically keep his/her tape machines in top working order. The procedures don't involve mounds of test gear, yet they are tried and true methods designed to tame that unruly recorder.
A SESSION WITH LOU RAWLS
By Stan Soocher 40
Known for many years as one of the smoothest and talented vocalists in the music business, Lou Rawls is also one of the easiest to record. In this article we get the opportunity to look at the masters of production and arrangement, Gamble and Huff, and the legendary studio, Sigma Sound.
PROFILE: AN INTERVIEW WITH FRANK ZAPPA
By Joseph Laux 46
Recording engineer Joseph Laux recently pinned down Frank Zappa (a difficult enough task, let alone being able to conduct an interview!) while Zappa was completing his latest album, Leather, and asked a few questions. As you will read, Mr. Zappa was not at a loss for words.
COMING NEXT ISSUE!
A Session With The Tierra del Fuego All-Girl Choir
Miking The Concorde "Live!"
Rapid Recording Techniques, or How To Record Running Water in the Arctic
THE STAPLES
LETTERS TO THE EDITOR 4
TALKBACK 14
The technical Q & A scene.
THE PRODUCT SCENE
By Norman Eisenberg 26
The notable and the new, with a comment on "Some Recent Speakers."
MUSICAL NEWSICALS
By Fred Ridder 30
New products for the creative soundman and musician.
AMBIENT SOUND
By Len Feldman 54
A bit of history and editorializing on the various methods used to broadcast 4-channel sound over FM.
LAB REPORT
By Norman Eisenberg and Len Feldman 58
SAE 2800 Parametric Equalizer
Morley EDL Electrostatic Delay Line
Technics RS9900US Cassette Recorder
HANDS-ON REPORT
By Jim Ford and Brian Roth 64
Aphex Aural Exciter
GROOVE VIEWS 68
Reviews of albums by Billy Cobham, Booker Little, Eric Gale, Steely Dan, Phoebe Snow and Bob Marley and the Wailers.
ADVERTISER'S INDEX 80
Modern Recording is published monthly by Cowan Publishing Corp., 14 Vanderwyke Ave., Port Washington, N.Y. 11050. Design and contents are copyright by Cowan Publishing Corp. and must not be reproduced in any manner except by permission of the publisher. Second class postage paid at Port Washington, New York, and at additional mailing offices. Subscription rates: $12.00 for 12 issues; $22.00 for 24 issues. Add $3.00 per year for subscriptions outside of U.S. Subscriptions must be paid in American currency.
Cover photo by Maria R. Bastone
Inexpensive Sources
This letter is in response to Mr. Don Chin’s Letter To The Editor in the December 1977 issue (see “The Number’s No Object, page 4).
There are many less expensive places than Gotham Audio to buy high quality electronic parts in small or large quantities. I would like to share with you and your readers some of the places with which I have had excellent success.
For resistors, I buy from Digi-Key. The price in quantities of 100 per value comes down to 1.7 cents for 5% deposited carbon (not carbon rod) resistors. They also have many other items such as ICs, capacitors, switches relays, diodes, transistors, etc., etc. Their address is Digi-Key Corporation, Box 677, Thief River Falls, Mn. 56701, telephone number 218-681-6674.
A good source for inexpensive capacitors, ICs, IC sockets and trimpots is James Electronics, 1021 Howard Ave., San Carlos, Ca. 94070, telephone number 415-592-8097.
I have used a Triad transformer for our microphone transformers with very good results. The model number is T-1X. It is essentially flat in response from 50-16,000 cps, it is cheap (less than ten dollars) and has a choice of three impedances (50, 250, and 600). Their address is Triad Utrad, 305 North Briant St., Huntington, In. 46750, telephone number 219-358-7100.
We have a 16-track recording studio here in Nashville and have undertaken many electronics projects for the studio, so I know how difficult it is to find reliable electronics parts sources, and I hope I have helped someone out there with this information.
—Tom Behrens
Chief Engineer
Music Square Productions
Nashville, Tn.
A Thank-You For Objective Journalism
Thank you for publishing the very useful “Hands-On Report” on the Soundcraft Series II mixing console (see Hands-On, December 1977, page 76).
We appreciate the objective criticism of Brian Roth and Jim Ford which concurs with our own retrospective evaluation of Series II. Future development of Series II will eliminate these minor shortcomings. We will be taking a closer look at the problem of R.F. although I am glad to say that, having sold several hundred Series II consoles, we have only received very occasional complaints about this.
The general description at the beginning of the article left out one EQ function, (Section F4): Treble shelving (boost or cut) control.
The unit in question was a typical production unit and had received no closer attention by us before it was delivered than any other production unit receives. We would like to point out that Series II is available in the following formats: 12, 16, 24 or 32 input, four or eight group.
We are glad to see this sort of objective journalism and we hope that the report will assist your readership in making an equally objective choice of console—hopefully ours!
—Philip Dudderidge
Managing Director
Soundcraft Electronics Limited
London, England
THE MARK 2 SERIES
- Transformer balanced inputs and outputs
- A & B master sub mixes with sum master
- 12 LED ladder displays
- 8, 12, 16 and 24 channel console versions
- 7 channel 19" rack mount version
- Variable input attenuation each channel
- Stereo pan each channel
- In/outs on each channel
- 4-band EQ each channel
- Pre monitor send each channel
- LED peak overload indicator each channel
- +20 dBm levels at all outputs
Years of research, testing and "on the road" experience have gone into the development of an entirely new line of professional state-of-the-art mixers from Peavey...The Mark 2 Series.
This is just an indication of the many features we've designed into this new series. It would be impossible to fully describe or make you really appreciate the operational flexibility of the Mark 2 Series in this advertisement. We won't even try. Write us and we will send you complete information about the most dynamic sound value on today's market...The Mark 2 Series Mixers.
PEAVEY ELECTRONICS
711 A Street / P.O. Box 2898
Meridian, Miss. 39301
CIRCLE 92 ON READER SERVICE CARD
When Jerry Garcia, Bob Weir, Steve Miller, Billy Cobham and George Benson all use the AD 230 Delay... You know it's good!
AD 230 AD 220
Continuously variable delay up to 600 milliseconds
4 bandwidth selections up to 20 KHz
Built-in flanger with separate controls
Studio quality signal to noise ratio
LED ladder-type VU meters for input and delay levels
High/low impedance with either ¼" or 3-pin connectors
Continuously variable delay up to 500 milliseconds
3 bandwidth selections up to 10KHz
Built-in Flanger
Extremely low noise circuitry
Input sensitivity and output level controls
19" rack mount cabinet
And you can bet that these experienced electronic pioneers know how to judge a delay line. The Ibanez Analog Delay with Multi-Flanger does what no other analog device of its kind has been able to do - beat the digital delays at their own game and at a price that almost any band can afford. It's unbelievably quiet, features selective bandwidth, and has the most versatile range of controls of any comparable device.
You can get double-tracking, slapback echo, long delay, flanging, automatic vibrato, reverb, and most any other time delay effect possible. Ask about it at your Ibanez dealer today.
Scully Source
Could you please send me some information on how I might obtain some information on Scully recorders (i.e. prices, brochures, etc.). Also, I'd like to take this opportunity to congratulate you on your fine magazine.
—Johnny Petro, Jr.
Jackson, Ms.
For the information that you require, write directly to Scully/Metrotech, 475 Ellis Street, Mountain View, California 94043 or you can call them at 415-968-8389.
A Pressing Problem
I am an aspiring record producer in the Pacific Northwest and I recently did an album for a Seattle-based band. I now find myself faced with an interesting problem.
Upon completion, the master tape was taken to the nearest mastering lab (which was in Vancouver, B.C.) which turned out what I felt was an excellent master lacquer. The next day it was sent to Los Angeles to the pressing plant.
I just received the test pressing and the high end is gone (I would guess anything above 8 kHz). I talked to the engineer who edited the master tape and he told me that the "mother" should be made within 24 hours after cutting the master lacquer and that high end loss is the result if this is not done. He also said that he assumed the lab in Vancouver (also a pressing plant) was going to make the "mother" right there. I suppose now that he also assumed that I was flying the next day to the pressing plant in California that was contracted to do the pressings!
At any rate, it was about four days before the master lacquer arrived in Los Angeles and hence an inferior product. Now, because of the time delay and the added expense, I fear that the whole project may be scratched. I would greatly appreciate more information about these unforeseen occurrences so that I might better protect myself and my recordings in the future.
—Paul Speer
Seattle, Wa.
Knowledge is power—or in your case, at least a great help. Before you make any further arrangements, read the article by David Moyssiadis (one of the most respected mastering engineers in this country) in the December 1977 issue of MR entitled "A Producer's/Consumer's Guide To Better Record
HUSH UP YOUR 4-TRACK.
Introducing dbx professional four-track tape noise reduction for under $500.
You’ve just settled on a TEAC, Tascam, Otari or Dokorder four-track tape deck for that studio you always wanted to have. You’ve chosen the mikes, the carpenter is almost finished (or maybe you even built it yourself). Your console’s ready to be wired into place.
But… haven’t you forgotten just one important item? Noise reduction.
Because every time you (or your group) want to bounce a track, you’re adding at least three dB of tape noise (see chart). So the great artistic result you plan to end up with, might end up sounding like a rainstorm.
Fear not. Help is at hand. It’s the new dbx 155 four-channel tape noise reduction system. You can add it for far less money than you ever imagined possible. Here, on one compact chassis, is a complete dbx noise reduction system. But the best part is, it will give your tape deck an extra 10 dB of headroom, and reduce tape noise by 30 dB. That means no audible noise whatsoever will be added to your tracks. And, because dbx tape noise reduction operates by linear compression/expansion, you won’t have to get involved with tedious level calibration, either.
All you need do is press the playback buttons to hear noise-free, full dynamic range reproduction of your music.
The new dbx 155 also has user-changeable modular circuit boards, so in the unlikely event that one processor fails, the other channels remain operational. You can even keep a spare on hand.
Visit your dbx professional dealer now, for a demonstration of our new 155 tape noise reduction system. Discover how you can put an end to tape hiss, without putting an end to your bankroll.
dbx Incorporated
71 Chapel Street
Newton, MA 02195
617/964-3210
CIRCLE 53 ON READER SERVICE CARD
www.americanradiohistory.com
Pressings” (page 56). When told of your problem Dave had some interesting information for us to pass on to you. While it is nice to make the mother within twenty-four hours after cutting the lacquer, it is by no means necessary to do so. As for your loss of the high end, Dave told us that the plating plant must have polished the stamper to make it quieter. Dave covered these points and much more about this entire process in his article. While an incident of this sort is unfortunate, look on it as a learning experience—you’ll be that much better informed next time around.
Saving Those Old Reels
We’re a six-piece band currently on the road in the mid west, who, utilizing our A-3340S TEAC and an A77 ReVox to tape our performances have acquired many overused reels of tape.
Recently, while playing an engagement in Canada, we met another TEAC owner who told us of high-quality Ampex tape available on styrofoam “pancakes” at a low cost.
Could you tell us if this tape is available in the U.S. and help us locate outlets for it? By utilizing old metal reels, the savings to us would be substantial.
—Jonesin’
Des Moines, Ia.
Get ready to load up those empty reels! George Armes of the magnetic tape division of Ampex Corporation of California informed us that tape “pancakes” are available at any Ampex sales office nationwide. After learning of your home base in Iowa, he advised us to send you to the Ampex outlet at 2201 Lunt Ave., Elk Grove Village, Illinois 60007. Direct your request to Bob Pelino and you should soon be on your way to more thrifty recording.
Plaudits For Reader Service
By chance today I came upon a copy of Modern Recording in my corner stationery store. Never having seen the magazine before and having an amateur interest in recording, I promptly purchased it. Without a doubt this has to be the most informative, interesting recording magazine that I’ve come across.
As a “layman,” as it were, I found a few places in the articles beyond my comprehension due to the technical jargon, but I’m sure continued exposure to MR will remedy that! I have been interested in home recording for about two years and have an Akai 4000 DS. I have been shopping around for ideas for new open-reel machines as well as other pieces of equipment I might purchase and with your free Reader Service information plan, the decision should be made much easier.
I’m sure your publication is well-received by both amateur and seasoned recordists. May I extend my congratulations on a fine magazine.
—Bill Nagle
Surrey, British Columbia, Canada
The Magnificent Microphone
When are we going to see an article on microphones? I’m convinced they are the most important item in a studio’s inventory!
—Ed Perrone
Gloversville, N.Y.
You must have missed our May 1977 issue for it contained quite a bit of information on microphones. There was
fact:
you can choose your microphone to enhance your individuality.
Shure makes microphones for every imaginable use. Like musical instruments, each different type of Shure microphone has a distinctive "sound," or physical characteristic that optimizes it for particular applications, voices, or effects. Take, for example, the Shure SM58 and SM59 microphones:
**SM59**
Mellow, smooth, silent...
The SM59 is a relatively new, dynamic cardioid microphone. Yet it is already widely accepted as a standard for distinguished studio productions. In fact, you'll often see it on TV... especially on musical shows where perfection of sound quality is a major consideration. This revolutionary cardioid microphone has an exceptionally flat frequency response and neutral sound that reproduces exactly what it hears. It's designed to give good bass response when miking at a distance. Remarkably rugged — it's built to shrug off rough handling. And, it is superb in rejecting mechanical stand noise such as floor and desk vibrations because of a unique, patented built-in shock mount. It also features a special hum-bucking coil for superior noise reduction!
Some like it essentially flat...
**SM58**
Crisp, bright "abuse proof"
Probably the most widely used on-stage, hand-held cardioid dynamic microphone. The SM58 dynamic microphone is preferred for its punch in live vocal applications... especially where close-up miking is important. It is THE world-standard professional stage microphone with the distinctive Shure upper mid-range presence peak for an intelligible, lively sound. World-renowned for its ability to withstand the kind of abuse that would destroy many other microphones. Designed to minimize the boominess you'd expect from close miking. Rugged, efficient spherical windscreens eliminates pops. Lightweight (15 ounces!) hand-sized. The first choice among rock, pop, R & B, country, gospel, and jazz vocalists.
...some like a "presence" peak.
professional microphones...by
SHURE®
Shure Brothers Inc., 222 Hartrey Ave., Evanston, IL 60204, In Canada: A. C. Simmonds & Son Limited Manufacturers of high fidelity components, microphones, sound systems and related circuitry.
John M. Woram’s article, “John Woram Presents Mike Graphones” (page 31), as well as a Hands-On Report by Jim Ford and Brian Roth on common sound reinforcement microphones (page 62). If these two pieces don’t answer all your questions, you might refer to the first Modern Recording Buyer’s Guide in which Larry Zide’s article on microphones raised some interesting points (see page 44 of the guide for that).
A “Live” Lady
I have just finished reading the October issue of Modern Recording. In reference to the Letter to The Editor entitled, “Areas of Interest,” (page 6), I have been mixing sound for a Long Island (New York) based band for one year. Being a woman in the field has offered me many challenges. My background is, however, actually Speech Pathology and Audiology.
Your magazine has been most helpful to me because of the clarity of its format. I need some advice on reference materials for “live” sound reinforcement and resources geared for those without electrical engineering training. Thank you.
—Sonya Diamond
Long Beach, N.Y.
Certain principles remain important throughout the spectrum of sound reinforcement applications so some very basic readings regarding sound reproduction and acoustics, etc. are very important to someone like you. We’re assuming you are a steady reader of MR and are familiar with Jim Ford & Brian Roth’s definitive three-part “PA Primer.” This is an excellent resource piece for a person in your situation. If you missed the issues in which it appeared, you’ll be happy to learn that it’s reprinted, in its entirety, in the 1978 Buyer’s Guide. You can also learn a lot about the basics from John M. Woram’s The Recording Studio Handbook, all presented in simple, clear language.
Other books that can provide some solid background for your include Modern Sound Reproduction by Harry F. Olson, Van Nostrand Reinhold, Co., New York, N.Y.; The Acoustical Foundations of Music by John Backus, W.W. Norton and Co., New York, N.Y.; The Manual of Sound Recording by John Aldred, Fountain Press, London, England; and Microphones: Design and Application by Lou Burroughs, Sagamore Publishing Co., Plainview, N.Y.
Also, don’t neglect to keep up with the “live” sound reinforcement stories.
Para-Power
(Parametric Equalizers by SAE)
SAE has long been involved in the field of tone equalization. From our pioneering efforts in variable turn over tone controls to our more recent advancements in graphic equalizers, we have continually searched for and developed more flexible and responsive tone networks. From these efforts comes a new powerful tool in tone equalization — the Parametric Equalizer. Now you have the power of precise control.
Our 2800 Dual Four-Band and 1800 Dual Two-Band Parametrics offer you controls that not only cut and boost, but also vary the bandwidth and tune the center frequency of any segment of the audio range.
With this unique flexibility, any problem can be overcome precisely, and any effect created precisely.
With either of these equalizers, you have the power to correct any listening environment or overcome any listening problems that you are faced with. Whether you need a third octave notch filter, tailored bandwidth to resurrect a vocalist, or a tailored cut to bury an overbearing bass, the control flexibility of Parametric Equalizers can fill these needs and many more. And of course, as with all SAE products, they offer the highest in sonic performance and quality of construction.
For Complete Information Write:
SAE
Scientific Audio Electronics, Inc.
P.O. Box 60271 Terminal Annex, Los Angeles, CA 90060
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that are featured almost monthly in MR. You can pick up quite a few pointers and "tricks of the trade" from them.
A Spark Of Interest
Since I began reading your magazine, I have been taken with the idea of becoming a professional studio recording engineer. I would appreciate it if you could give me some information that can help me develop greater knowledge of this field. I would also appreciate it if you could give me the names of some books which deal with this field.
—Russell Valenti
South Ozone Park, N.Y.
We're happy to have sparked your interest in this really fascinating and fast-moving field. Some readings that will be helpful to you are The Recording Studio Handbook by John Woram, Sagamore Publishing Company, Plainview, N.Y. 11803, 1976; Modern Recording Techniques, by Robert E. Runstein, Howard W. Sams & Co., Inc., Indianapolis, In. 96206, 1974; The Audio Cyclopedia by Howard M. Tremaine, Howard W. Sams & Co., Inc., Indianapolis, In. 96206. Modern Recording Techniques is the book used by the Recording Institute of America in their classes. You might even be interested in enrolling in one of their comprehensive courses. You can write the RIA at 15 Columbus Circle, New York, New York 10023.
Partial Success
I've tried without success for some time to locate sources for the following parts which I'm sure many of your other readers would also like to find. Perhaps you will be able to help me find them: rubber/nylon recessed washers for rack mounts (to protect the surface of the equipment), large rubber feet (same as used on Anvil cases and Mesa/Boogie amps), and speaker mounting clamps (for fast replacement).
Thanks for any and all help.
—T. Young
N E Sound Services
Thomaston, Ct.
We spoke first with Wayne Thompson of Anvil Cases and found out that those "large rubber feet" are made exclusively for Anvil and are not available to the public. On your other two items, we had greater success. Dave Jet of Martin Audio (320 W. 46th St., New York City, N.Y. 10036) told us that he carries 200-300 lines of equipment and parts and that the pieces you need are located in his sixth floor small parts department and are available immediately. Call him at 212-549-5900 and he can fix you right up.
More On Marshall
I am interested in the Marshall Time Modulator ("first voltage controlled, time sweepable analogue delay line") reviewed by Norman Eisenberg in the April 1977 Product Scene (page 25). Can you send me more information—price, manufacturer's address, etc.?
Thank you in advance.
—Antonio Russek
Condesa, Mexico
You can write directly to Marshall Electronics, Box 177, Joppa, Maryland 21085 for information.
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Introducing the Series 1600.
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The Series 1600 Audio Mixing Console represents a new philosophy of console design. A philosophy that directs itself not only to the performance and function of the console itself, but also to an intelligent studio design plan... one that fulfills the needs and wants of producers and engineers today, while considering the economic factors necessary to keep up with the state of the art tomorrow.
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Bringing the technology within everyone's reach.
"Talkback" questions are answered by professional engineers, many of whose names you have probably seen listed on the credits of major pop albums. Their techniques are their own and might very well differ from another's. Thus, an answer in "Talkback" is certainly not necessarily the last word.
We welcome all questions on the subject of recording, although the large volume of questions received precludes our being able to answer them all. If you feel that we are skirting any issues, fire a letter off to the editor right away. "Talkback" is the Modern Recording reader's technical forum.
Some Questions Answered
I have been a subscriber to your magazine for the past year and have had many questions answered by the straightforward articles you have. As in any good learning experience, the more I learn, the more questions I have.
First, I have seen many references to "fold back" and "slap back." What do these terms mean and how did they get these names?
My second question is about using reverb. I use a small mixer that has a reverb send for each channel but only one main reverb send and return. I've noticed that some higher-grade mixers have the same single reverb send/return. Does this situation cause problems, such as the piano reverb signal ending up with the drums and so on? In "live" sound reinforcement situations I can see where this might not matter, but in recording it would.
Is the single reverb send/return feature found on truly professional boards? If not, is each signal requiring reverb sent to a separate reverb unit? Also, does one type of reverb (plate, spring) work better for certain instruments or applications than others?
—Charles C. Ferrill
Pueblo, Colo.
Fold back is a term that seems to have come from England and means the same as "monitor" when speaking in studio and sound reinforcement circles. It simply means that with a monitor, or fold back system, you have the capability of sampling, in real time, your program material. Studio fold back will almost always be through headsets and not over the so-called studio monitors. These speakers are used for listening to taped playback and are not usually part of the fold back system.
Slap back, or "tape slap" as it is sometimes referred to, is a term that originated in the recording studio and is really a form of taped echo. It is achieved by using an additional tape machine other than the main recording unit and creating a loop so that a signal may be injected back into the track of its origin. With this process, echo may be added in real time as the original tracks are being laid down without the tremendous costs of digital delays, etc.
Most mixers that are designed for general purpose use (mostly sound reinforcement and some recording), fit the description you gave for your own personal unit.
For cost reasons, as well as packaging for portable mixer systems, it is necessary to offer, in most cases, only one internal reverb unit. However, where the studio is the primary target, the requirements are quite different as far as features are concerned. When absolute separate tracking is necessary in recording, those tracks requiring reverb should be run through separate chambers or springs, as the case may be, to prevent the delayed signals from mixing.
When two or more tracks with reverb are to eventually be mixed down together, then obviously there would be no need to record originally through separate reverb systems. There are studio consoles (very expensive) presently available with at least four separate systems for reverb, but as you stated in your letter, this would not be necessary for sound reinforcement.
Most reverb systems will work satisfactorily for many different instruments but some studios use very expensive chamber systems and digital delays for vocals.
—Hollis T. Calvert
Director, Sales Promotion/Education
Peavey Electronics Corp.
Meridian, Ms.
Keeping Your Heads Straight
What's a reasonably simple method of aligning the zenith on a tape deck (say, a TEAC 3340, for example)?
—Bob Bierstein
San Jose, Ca.
An old Ampex manual refers to the "standard grease pencil method" as the easiest way to adjust zenith. The tools are simple (a grease pencil, an appropriate tool for adjusting the zenith screws on your particular machine, and a roll of tape that you do not plan to use again), and you can attain as much precision as your time and patience allow. First comes the basic method, then the details and pitfalls.
With a grease pencil, mark the head area across which the tape passes, thread up a reel of tape, and hit the start button. After about twenty seconds, stop the machine, remove the tape from the head, and carefully observe what has
become of the grease pencil mark. If the mark is rubbed away evenly from top to bottom, the head is already straight, and you can proceed with the rest of the normal alignment procedure. If the remaining mark is thicker at the bottom of the head than at the top, then the head is tilted forward at the top; if the mark is thicker at the top, then the head is tilted back at the top.
Locate the two fore and aft screws which determine zenith. Depending on the head height and mounting configuration, alternately loosening and tightening these screws will swing the head forward and back. For instance, if your mark was thicker at the bottom (and therefore the top of the head is tilted forward), you will need to turn the back screw clockwise and the front screw counterclockwise. You may need to adjust only one screw if the alignment is already close, but be careful of overtightening, and be careful to maintain the correct head height. Make successive adjustments in small increments until the wear is even.
Several observations will help confirm that the adjustment is correct: the tape is not twisted but lies flat and planar between supporting members; the tape always stands perpendicular to the top plate of the deck; the guides and front edges of the heads are perpendicular to the top plate; and the tape doesn't skew across the head when you start the machine. Be sure to get all the greasy gunk off the heads and guides before doing anything else to the machine. The procedure described will seem tedious perhaps, but there's no substitute for having your heads straight before you start recording.
—Jonathan Thayer
Maintenance Engineer/Recordist
A&R Recording Studios
New York City, N.Y.
The Final Judge
We use a tape recorder in our act and record ourselves playing five or six different instruments and then augment that with "live" instruments and vocals on stage. All instruments are performed by my wife and myself, and the basic tracks are laid out on our TEAC 80-8 eight-track, then mixed through a TEAC Model 5 board with various ancillary equipment to a TEAC 3340 four-track. The final is mixed and played back on stage on the 3340 in three channel sound. (Bass and drums on center channel, keyboards, brass, strings and guitars,
---
**THE ELECTRONIC DRUM**
**SYNDRUM**
**CARMINE APPICE**
**PERCUSSION WILL NEVER BE THE SAME**
Syndrum is a totally new approach to percussion. Whether used singly or in sets of four or more, Syndrum allows you to totally exploit the possibilities electronics offers the drummer. And the variable controls of Syndrum allow you all the options of electronic percussion without sacrificing technique. It is this concept of dynamics and control that distinguishes Syndrum as a musical instrument for the drummer. The professional acceptance of Syndrum is unprecedented as the following list indicates:
Carmine Appice (Rod Stewart)
Mike Baird (Studio)
Hal Blaine (Studio & John Denver)
Josef Blocker (Malcolm Cecil)
Mike Botts (Bread)
Terry Bozzio (Frank Zappa)
Bill Curtis (Fatback Band)
Les DeMerle (Studio & Transfusion)
Phillip Ehart (Kansas)
Ty Grimes ("Tim Weisberg")
John Guerin (Studio & LA Express)
John Hartman (Doobie Brothers)
Evan Kaplan (Percussionist)
Keith Knudsen (Doobie Brothers)
Russ Kunkel (The Section)
Ed Mann (Frank Zappa)
Jerry Marotta (Studio)
Rick Marotta (Linda Ronstadt)
Chet McCracken (Studio)
Ralph McDonald (Studio)
Gil Melle (Composer/Producer)
Jim Monroe (Studio)
Derek Pellicia (Little River Band)
Joe Pollard (Studio)
Jeff Porcaro (Studio & Boz Scaggs)
Alejo Poveda (Minnie Riperton)
Kelly Shanahan (Dan Fogelberg)
Richard Peru (Studio 55)
Ed Tuduri (Studio)
Pete Vranee (Gary Lewis)
Dave Williamson (Clinician)
And more!!! Current & soon to be released albums featuring Syndrum include those of: Carly Simon, Hall & Oates, Linda Ronstadt, John Denver, Doobie Brothers, Alphonso Johnson, Roger Miller, Boz Scaggs, Dan Fogelberg, Leo Sayer, Kansas, Joni Mitchell, James Taylor, Stevie Wonder, Steve Miller, Grateful Dead, Tom Scott & the LA Express, etc., etc., etc.
For a complete Syndrum Owner's Manual send $1 to
Pollard Industries, Inc., 9014 Lindblade Street, Culver City, California 90230.
CIRCLE 67 ON READER SERVICE CARD
etc., on the other two channels mixed in stereo. The fourth channel contains programmed information for a computerized slide and light show.) I have explained all this to you so you may visualize my situation.
In mixing down from my 80-8 to the final three channel master sets on the 3340, how do I establish a relative volume balance for each song (without a great deal of trial and error)? I find that by watching my VU meters, two different songs recorded at a 0 dB VU may have disturbing volumes in performance depending on the information in each song.
Thanks sincerely for a great mag. I have grown tremendously from reading it.
—Jim Robson
Family Waye
Mesa, Ar.
When all else fails, rely on the old reliables: your ears! The way to avoid the overall level difference between songs on your final mixes is simply to listen for this consideration during the mix and correct according to what you hear instead of what you see on the meters. The meters are merely tools or indicators of what is happening at various stages of the recording process. To rely on them exclusively would be a mistake.
One song which you average up to zero-VU might have louder parts than the next one because the meter is only showing you a part, or average, of the total signal at any given instant. The meter is intentionally dampened, in terms of ballistics, so that it may respond in an averaging manner. Some signals are of such intensity and speed that the meter can't rise fast enough to the correct position and, by the time it gets moving, the signal has passed into history. For example, you and I perceive the sound of castanets to be sharp and loud, rising above almost all other instruments in an acoustic orchestra. However, this signal of extremely high energy barely gets the meter going. In fact, it occurs so fast that you would be hard-pressed to find a peak-reading meter that would show it accurately. This tells us that we can't compare loudness solely by watching the levels reflected on the meters. Each song is a blend of different types and levels of information. Some of this may add to the volume or impact without even being registered on the meter.
Since your ear is the final judge which has determined that there is a discrepancy, let your ear judge the relative levels during the mix also and your problem will be eliminated. The general purpose of meters it to establish levels leading to the most efficient recording of signal onto tape. However, by relying entirely on meters, the musical concept that you wish to interpret and transfer might get lost or camouflaged in the process by the time you have the final product. During a pre-final mix to the 3340 adjust the overall print level in relative accordance with the previous piece. The key is to use your eyes and ears.
—Roy Kamin
Consumer Relations Manager
TEAC Corp. of America
Montebello, Ca.
Intercepting That Interference
We have a Nova IV bass synthesizer wired into the guts of our Hammond B-3 organ via a harness connection to...
THE TAPE THAT'S TOO GOOD FOR MOST EQUIPMENT.
Maxell tapes are not cheap. In fact, a single reel of our most expensive tape costs more than many inexpensive tape recorders.
Our tape is expensive because it's designed specifically to get the most out of good high fidelity components. So it makes no sense to invest in Maxell unless you have equipment that can put it to good use.
THE REASON OUR TAPE SOUNDS SO GOOD IS BECAUSE IT'S MADE SO CAREFULLY.
Every batch of magnetic oxide we use gets run through an electron microscope. Because if every particle isn't perfect, the sound you hear won't be either.
And since even a little speck of dust can put a dropout in tape, no one gets into our manufacturing area until he's been washed, dressed in a special dust-free uniform and vacuumed.
WE CLEAN OFF THE CRUD OTHER TAPES LEAVE BEHIND.
After all the work we put into our tape, we're not about to let it go to waste on a dirty tape recorder head. So we put special non-abrasive head cleaner on all our cassettes and reel-to-reel tapes. Which is something no other tape company bothers to do.
OUR CASSETTES ARE PUT TOGETHER AS CAREFULLY AS OUR TAPE.
Other companies are willing to use wax paper and plastic rollers in their cassettes. We're not. We use carbon-impregnated material. And Delrin rollers. Because nothing sticks to them.
A lot of companies weld their cassettes together. We use screws. Screws are more expensive. But they also make for stronger cassettes.
OUR TAPE COMES WITH A BETTER GUARANTEE THAN YOUR TAPE RECORDER.
Nothing is guaranteed to last forever. Nothing we know of, except our tape.
So our guarantee is simplicity itself: anytime you ever have a problem with any Maxell cassette, 8-track or reel-to-reel tape, you can send it back and get a new one.
No other tape starts off by cleaning off your tape recorder.
GIVE OUR TAPE A FAIR HEARING.
You can hear just how good Maxell tape sounds at your nearby audio dealer. (Chances are, it's what he uses to demonstrate his best tape decks.)
You'll be surprised to hear how much more music good equipment can produce when it's equipped with good tape.
Every employee, vacuumed.
Maxell Corporation of America, 130 West Commercial Ave., Moonachie, New Jersey 07074
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ANOTHER ANVIL® FIRST...FORGE
New from Anvil Cases. Forge Cases offer legendary Anvil protection constructed of lightweight fiberglass material and standard Anvil hardware. Recommended for surface travel, Forge Cases are an economical alternative for maximum protection on the road. Write us for more information and the location of your nearest Anvil dealer.
Anvil Cases
2501 N. Rosemead Blvd.
So. El Monte, CA 91733
CIRCLE 65 ON READER SERVICE CARD
REMOVE FEEDBACK CAUSING RESPONSE PEAKS FROM YOUR SOUND SYSTEM WITH
THE AUDIOARTS ENGINEERING MODEL 1500 TUNEABLE NOTCH FILTER SYSTEM
The MODEL 1500 was engineered to solve the problems of feedback where conventional filters fail: (1) TUNEABLE - meaning you tune the filters exactly to the offending frequency, while leaving adjacent frequencies unaffected; (2) NARROW BAND - 1/6 octave; much narrower than any graphic equalizer, so you remove only feedback, without disturbing tonal balance in program material; (3) SPECIALIZED DESIGN - The Model 1500 has five identical filter sections, each covering 52 Hz to 7.3 KHz, thus eliminating the "low-mid-high" band restrictions imposed by other general purpose equalizers. This insures plenty of control, no matter what frequencies you need to process.
- five identical tuneable full range filters 52 Hz to 7.3 KHz; 0 to -16 db notch depth
- front panel gain control
- overload LED
- In/Out switch
- separate coil/cond controls (no concentric's or sliders)
- balanced input (accepts unbal. sources)
- 7 pushbutton switches (each w/LED indicator)
- direct rack mount
- +20 dbm output (+26 dbm w/transformer balanced output option)
- no test equipment required
- professional industrial construction
- two-year warranty for parts and labor
- under $340
AUDIOARTS ENGINEERING
286 DOWNS ROAD, BETHANY, CT. 06525
First of all let me point out that the noise your system is picking up is one of the most insidious forms of RF interference around and usually comes from inexpensive solid state dimmers. The best cure for this RFI would be to treat it at the source, and some of the higher priced dimmers do this with moderate effectiveness.
Obviously you can't apply this solution without going broke very quickly, so a possible remedy (and the word "possible" implies no guarantee) would be to isolate the feed to the Leslie via a one-to-one audio transformer. A second transformer between the Nova and your generator. The unit, keyed by the pedals or by the first two octaves of the lower manual, is virtually part of the organ as was the original Hammond bass, only it sounds infinitely better and it has a separate signal output to drive a bass amplifier or feed a mixing console input channel.
Since the Leslie bass sound is not enough for our band, we connect the extra Nova output into one of our Yamaha PM-1000 inputs and the sound is phenomenal. Unfortunately, by doing this, a loud, nasty buzz/hum emanates from the Leslie (not the system speakers) in about half the places we play; consequently, we defeat all grounds in our system, solving the Leslie noise and leaving a more or less tolerable residual buzz in the system.
I accidently discovered recently (after months of frustrating equipment tests) that certain reostat-controlled lights in the room we are playing in (and apparently some of the other rooms we perform in) are the cause of the noise. I remember the Talkback mentioning RFI filters ("Stop That Buzz!" August 1977 issue, page 15). After many calls to electronics outlet stores, theatrical suppliers, etc., nobody knows where to get them, who makes them or how to use them.
Should we place an RFI filter between the B-3 and the socket since only the Leslie makes noise, or should we filter all RFI coming into every AC line in our system?
To de-ground $30,000. worth of sound equipment is an unhappy situation, but we are reluctant to disengage the B-3's Nova from the system's console and we cannot tell the club owners to shut off their lights. Help! We need more info on RFI filters or any other ideas you might have.
—Jim Woodard
Ft. Myers, Fl.
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If we were to try to tell you about all the features and specifications of our new Kelsey 8 - 12 - 16 Channel Mixers, we'd have to take out four-page advertisements. So we're just going to tell you that each input channel has transformer balanced low impedance connector and high impedance jack; gain control; two LED indicators; 3 equalizers; monitor send; 2 effects sends; stereo pan; and on/off/solo switch. And there's an additional effects channel with all the controls of an input channel plus "spin". On the outputs, 2 VUs switchable between main and monitor, left and right faders and tone (high/low) controls; monitor volume; and switchable headphones between solo, main and monitor. And check our specs:
SPECIFICATIONS:
INPUT
IMPEDANCES: Hi Z = 50 K unbalanced; Low Z = 200 Ohm transformer balanced. MAX. INPUT LEVELS: Hi Z = +20dBm, Low Z = +3dBm. GAIN: Hi Z = 0-46dB, continuously variable; Low Z = 12-58dB, continuously variable. EQ: High ±15dB at 10K, shelving; Middle ±3dB at 2K, peaking; Low ±15dB at 100 Hz, shelving. MONITOR: Pre-EQ, unaffected by off switch. ECHO: Post-EQ, Post-fader. LEDs: Green lit from -10 to +21; Red lit from +15 to +21; 6dB headroom left when Red lit. EQUIVALENT INPUT NOISE: -110dBm from Hi Z input; -122dBm from Low Z input. T.H.D.: @ 1kHz, any level up to clipping typically less than 0.1 percent.
OUTPUT
IMPEDANCE: Nominal 600 Ohm unbalanced. MAX. OUTPUT LEVEL: 8.8V RMS @ 10k Ohm (+21dBv). GAIN: Mike in to line out +60dB. EQ: Hi ±15dB @ 3.5 kHz; Low ±15dB @ 35 Hz. V.U. METERS: "0 VU" = +4dBm at output of bass amp., switchable from stereo mix to monitor mix. FREQUENCY RESPONSE: Mike in to line out — ±1dB, 30 Hz - 20kHz. SIGNAL TO NOISE: Mike in to any output — typically 70dB. T.H.D.: Any output 1kHz any level up to clipping typically less than 0.1 percent. POWER REQUIREMENTS: ±15V DC @ ½ Amp.
The Mixers have a separate power supply, a solid mahogany cabinet, and come complete in an SMF Tour Series Road Case included in the price. What Price? $4,000.00? No Way!
8 Ch. Stereo-$1,350 list* 12 Ch. Stereo-$1,700 list* 16 Ch. Stereo-$2,100 list (1977 Prices)
It's for real Professional stereo mixers incorporating high reliability, ultra-low-noise integrated circuits and state-of-the-art design. A top quality mixer at a price you can afford.
Write or call:
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CIRCLE 56 ON READER SERVICE CARD
Yamaha might be needed as well. Since the noise is broadband, filtering the audio lines wouldn't do much, but a line filter in the AC feed to the Hammond and/or the Leslie might help.
If possible try to power your equipment off a separate AC feed and avoid running audio lines close to, or parallel with the AC lines which are acting like antennae in radiating the buzz.
If you detect a certain hesitancy on my part to offer a positive cure for your problem it's because there is no real cure for this type of noise. That's why you'll probably never find a solid state dimmer anywhere near a professional recording studio.
The transformers mentioned above can be any 600 ohm 1:1 audio transformer, such as the UTC A-20, the Triad A-57J, etc. AC line filters by Cornell-Dubilier, Corcom, etc. are available from Newark Electronics, 1360 S.W. 65th Ave., Ft. Lauderdale, Fl. 33313 or any major electronics warehouse.
—Gordon L. Clark
Manager, Technical Services
Audiotecniques, Inc.
New York, N.Y.
[You might also wish to refer to the December 1977 Talkback entitled "Dimming The Buzz" (page 19) in which Wayne Pommer of Holden, Hamilton and Roberts Recording Studios discusses other manifestations of RFI and some possible cures. —Ed.]
Although I don't know for sure, I believe these capacitors have good phase characteristics in the audio range. Could you please tell me where I can buy these components and the probable reason for their inclusion in the design?
—Charlie Engren
Olympia, Wa.
Reasonable Requirements
In the December issue of Modern Recording, I saw a Letter To The Editor concerning a distributor in New York City (Gotham Audio) who sells small quantities of metal film resistors direct to the consumer (see "The Number's No Object," page 4). I have a problem similar to that of the author of that letter.
I have the schematic for a high-quality power amp. Designed by J. Lohstroh and M. Otala (AES reprint H-6(R)—"An Audio Power Amplifier for Ultimate Quality Requirements," IEEE Transaction on Audio and Electroacoustics, Vol. AU-21, No. 6, December 1973, pages 545-551), it requires polystyrene and polyester capacitors. I am having a very hard time finding these components in small numbers.
[Desirous, as we always are, to get all our reader's questions answered, we first contacted Russ Hamm at Gotham Audio once again. Russ supplied us with the name of the Sprague Electric Company in Seattle, Washington that manufactures the capacitors in question. Call them at 206-632-7761 and the problem of availability should be solved. Jackie Harvey of the Audio Engineering Society then supplied us with the full name and address of Professor Matti Otala, designer of the power amp and Director of the Technical Research Center of Finland Electronics Laboratory. The following is his response to Mr. Engren's second question.]
There are several reasons which influence the choice of different component types in a specific circuit. In the ampliHis Music is Pure Magic...
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fier you mention, polystyrene capacitors were used as compensation capacitors because 1) the compensation must be stable in order to prevent oscillations and 2) the capacitance is not allowed to change with applied voltage, as this would create distortion in the sound. The nearest competitor to polystyrene would have been ceramic capacitor, which usually has a relatively large temperature coefficient, and whose capacitance is often strongly voltage-dependent. In general, this kind of capacitors should not be used in the signal path.
Polystyrene capacitors were used as bypass capacitors because of their low internal resistance and inductance at frequencies of 100 kHz to 2 MHz. This is the frequency range where the power supply line inductance starts to create oscillatory problems, when the amplifier handles rapidly changing signals or is driven into saturation. Note also, that the inclusion of the 1-ohm resistors in series with some of the capacitors is mandatory in order to create appropriate damping in the resulting resonance circuits.
Metal film resistors were used in the amplifier front end to minimize noise and to eliminate the voltage dependence found in some carbon composition resistors. This voltage dependence would again have created distortion.
When designing an amplifier which must have distortion values below 0.1% before the feedback is applied to correct the small residual imperfections, one must be very careful in the selection of components, and strict adherence to the specified component types (and sometimes to the specified makes) is advisable.
—Professor Matti Otala
Director
Technical Research Center of Finland
Electronics Laboratory
Oulu, Finland
A New Way To Use dbx?
I recently came up with an idea about dbx and its use. I thought that I'd "let it out of the bag," so to speak, so that if it is indeed a good idea, it can be put to use by others. The normal way to use dbx is like this: (see Figure 1). Why not do it like this? (See Figure 2.) My idea is that if you compress the signal before the EQ stage, you will reduce the peaks the later stages of the board have to handle, as well as the level of the peaks at the input to the deck. (See Figure 3.) Mathematically it works out equally, but the later stages only have to handle half the level as before.
Also, any reverb or external EQ or flangers, etc., will be receiving a dbx-compressed signal. The dbx only works half as hard cutting distortion all-around. And because the signal is flatter, you can use more gain on the preamp stages without noise or additional distortion.
—Kevin Reinholdt
Dallas, Tx.
ASHLY P.A. PROBLEM SOLVERS
THE PROBLEMS:
SOLUTIONS:
Model SC-50
$299 suggested list price
Model SC-66
$599 suggested list price
Miserable acoustics, feedback, bland drum sound, hand held vocals, distortion... Sometimes it seems you can't win. You don't create these problems, but it's your job to solve them.
Our SC-66 Stereo Parametric Equalizer is a powerful tool to combat acoustical troubles and eliminate feedback. It lets you make things sound the way you want them to sound. Our SC-50 Peak Limiter-Compressor controls peak levels to increase loudness and prevent distortion. Both are superbly clean and quiet and will dramatically improve the quality of any sound system. Try them out at your ASHLY dealer.
ASHLY AUDIO, INC.
1099 Jay St.
Rochester, N.Y. 14611
(716) 328-9560
dealer inquiries invited
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At first glance our cabinets look a little different. Which is understandable. They are.
It's quite plain that these are not your usual assortment of little flakeboard boxes with holes. These are functioning enclosures whose dimensions, determined by the laws of physics, have been precisely stated in hand laminated fiberglass.
All of our enclosures are of a solid round-backed design which frees them from the standing waves and out of phase diaphragmatic panels which plague "the boxes". Our design not only cuts down on unwanted resonances but also creates unparalleled durability and the strength to survive extensive touring and triumph over playful roadies. The GGM, our dual driver ported bass enclosure, fills a variety of functions. As the bottom end of a PA stack it makes a dynamite low frequency cabinet. Pre-amped and powered it becomes a bass guitar cabinet the likes of which you've never heard. The PBL, our super portable full-range cabinet, incorporates bass port and HF horn in one rugged enclosure. Perfect for club PA applications, this unparalleled (literally!) cabinet is perfect for keyboards and other instruments and also happens to be a fantastic side fill stage monitor. And our NC12? Only the londest, cleanest monitor around. And everything you need to hear is aimed right at your face. Write or call us for more information. It's time you got the best.
| | HF DRIVER | LF DRIVER |
|-------|-----------|-----------|
| NC 12 | 1" - 1 3/8" | 12" |
| PBL | 1" - 1 3/8" - 2" - 2.8" | 15" |
| GGM | n.a | TWO 15" |
Here's Looking at You, Kid!
Community
Community Light & Sound Inc., 5701 Grays Avenue, Philadelphia PA 19143 (215) 727-0900
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Your idea is good in theory or at first glance; however, there are a few things that will not allow it to work properly. If a dbx encoder is placed at the output of the microphone pre-amplifier of a console, normally echo, cue, and equalization would follow.
The first problem with this is that non-linear processes such as equalization and compression should not be placed between a dbx encoder as it will cause decoding errors.
The other problem that arises is that when using a mixer, normally several microphones will be mixed together and combined to an output bus (channel). This means that a number of dbx encoded signals would then be combined together at the output channel. Two or more encoded signals cannot be combined and decoded by a single decoder. The compander process depends on a mirror image operation; the compressed information contains certain control information that tells the decoder precisely how to return the encoded signal to normal. When two or more encoded signals are combined together and decoded by a single decoder, the decoder does not know which information to look at and gets confused. The result would be some undesirable side effects.
If you were to do what you proposed and use no equalization and take each individual input directly to a channel on your tape recorder, you would have a separate track for each microphone which would require more tracks than you would normally use. These tracks could then be individually decoded and mixed down and give you the advantages that you sought in the original question. However, the noise in the microphone pre-amplifier, if any, and noise in the microphone, if any, would still remain as dbx would not remove any noise prior to the encoding process. When re-mixing the encoded tracks, whatever noise existed in your console, if any, would still remain.
I hope this answers your question. If you have further questions regarding this, please send another inquiry to Talkback and I will be happy to answer it at that time.
—Larry Blakely
Director of Marketing
dbx, Incorporated
Newton, Ma.
Bill Lawrence PICKUPS & STRINGS
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Lawrence Sound Research
Nashville, Tennessee
United States Representative
Len Rozek Sales
1603 South 7th Ave.
Madison, Tenn. 37115
Canadian Representative
Len Rozek Sales
100-1000 Yonge Street
Toronto, Ontario M6J8D9
International Representative
Cordless Associates
Buckland Road
Shelburne Falls, Mass. 01370
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www.americanradiohistory.com
MIC PREAMP/LIMITER
From RTS Systems of N. Hollywood, Ca. comes word of its model 1400 adapter, described as an inline microphone preamplifier/limiter with many audio applications. The 1400's gain is continuously variable so that it may be used to boost low-level mics to drive low-gain mixers, or boost mic signals to line level, or to buffer medium level lines. The built-in limiter can be used to prevent overdrive of individual mic or line inputs while maintaining high average levels. According to RTS, the model 1400 has a fast rise time with absolutely no overshoot, even with 20 dB of limiting applied. Circuitry is said to be stable enough to withstand highly capacitive loads with no oscillation or ringing. These and other characteristics, says RTS, make the model 1400 useful in fixed or in portable sound reinforcement, location recording, remote broadcasting, broadcast production, as well as in industrial and scientific test labs. Low output Z handles mic cables of 1000 feet or longer with no significant loss of highs and while improving the S/N ratio. A battery-operated device, the 1400 runs on a pair of 9V alkaline cells that form a bipolar supply with operating life of about 100 hours.
MIXING CONSOLE
A 16-input, 16/8-output, stereo out mixing console, the model SP800C, has been announced by Speck Electronics of N. Hollywood, Ca. Expansion to 24-track operation is possible by the addition of the Speck 01 or 02 options. Designed primarily to operate with MCI, 3M, Stevens, Ampex, and other professional multi-track recorders, the SP800C also is said to work well with semi-pro tape machines. The input module features a slide fader, 6-knob/3-band parametric EQ, 8/16 track-assignment buttons, post echo send, monitor send control, two cue sends, solo button (which allows stereo panning), mic/line switch, program/sync switch, and an attenuator switch of -10 dB or -20 dB. The output section is said to contain "everything you need to do a professional and efficient recording session, from the stereo master fader to the 8 submaster level controls." Included are control room and studio level controls; cue 1 and cue 2 level controls, each of which can be soloed; slate and talk buttons with level control; two cue prompts; two cue returns; two 2-track playback controls; two echo returns and a self-contained microphone.
A custom-designed add-on noise reduction system for Nagra IV-S portable stereo recorders has been made available by dbx Inc. The new model dbx 193 weighs five pounds, requires no power supply of its own, and provides two channels of simultaneous noise reduction plus a two-channel audio amplifier that, says dbx, can be used to drive small field monitor speakers.
Four separate signal-processing circuits—two for record and two for playback—permit the processed signal to be monitored during recording. The device bolts directly to existing tapped holes in the Nagra case using hardware supplied. Interconnections are made via two 7-pin Tuchel DIN connectors; cables are supplied with the dbx unit. When integrated with the Nagra, the dbx 193 is said to provide an additional 10 dB headroom, and better than 30 dB noise reduction. No level matching is required. Suggested retail price is $850.
Amanita Sound Inc. of Easthampton, Maine is offering a new line of protective loudspeaker and standard 19-inch equipment enclosures designed to withstand "the ultimate" in heavy road use. Made of lightweight, rugged, low-density polyethylene with low resonance characteristics, the units are available in five colors. Handles and clasps are recessed, and stacking ribs facilitate handling and transit. Since there is no case to store, Amanita points out that appreciable space on the job may be saved.
Furman Sound announced its second professional product, the model TX-2, described as a low-cost, studio-quality electronic tunable crossover and bandpass filter. Suggested applications include use as a variable frequency splitter for PA and concert reinforcement loudspeaker systems, studio monitor systems, component musical instrument amp systems and as a bandpass filter. The device is tunable from 20 Hz to 20 kHz and is switchable for both stereo bi-amp and for mono tri-amp setups. Front-panel controls provide up to 8-dB gain for driving power amps. Circuitry employs active Butterworth filters with 12 dB per octave rolloffs, claimed to provide smoother frequency handling and minimal phase displacement. High and low-pass outputs of each crossover point track each other automatically as frequency is changed. The TX-2 measures 19 inches wide by 1¾ inches high and 8 inches deep. Suggested price is $250. Furman Sound products are distributed by Rothchild Musical Instruments of Englewood, N.J.
NEW TAPE TRANSPORT CONSOLES
Ruslang has introduced two new tape transport consoles. The RL 600 is designed to accept the new style of tape decks 19 inches up to 21 inches which have their electronics integrated with the transport. The RL 700 accommodates transports 19 inches up to 24½ inches such as the Ampex 300 series. (Ruslang’s model RL 500, introduced last year, handles 19 inch by 15¾ inch decks.) All three models incorporate such features as front-panel access in both horizontal and vertical positions, plus a rear shelf for power supplies.
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TWO NEW ACCESSORY LINES
Two competing tape firms have announced new accessories. From TDK there’s word of a head demagnetizer and a head-cleaning kit. The former device comes in cassette format, containing its own circuitry and is self-powered via a 1.5-volt cell. To use it, you place it into the deck, push the PLAY button and a few seconds later an LED lights up to indicate that the heads have been demagnetized. Retail price is about $20. The cleaning kit contains mirror, brushes, pads and liquid all housed in a cassette box. It costs about $6.
The Memorex products include a tape recorder care kit for use with cassette, 8-track and open-reel equipment. Included are a pad and wand, inspection mirror and cleaning brush. Memorex also has announced three disc-recording care kits. One is a tracking record cleaner; another is a stylus care kit which features a built-in magnifier on a VTF gauge; the third is a “deluxe” record cleaner featuring a brush to apply a cleaning fluid to a disc. Prices for these items are: tape care kit, $9; tracking record cleaner, $8; stylus care kit, $8; deluxe record cleaner, $15.
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TIME DELAY UNITS
From Altec Lansing there’s word of three new digital time delay systems, the models 1640, 1660 and 1661. The 1640 is described as a low-cost model that makes audio time-delay available in applications that were previously restricted from using this technique due to its cost. The other two models are designed for sophisticated sound-reinforcement applications.
The 1640, says an A-L spokesman, features shift-register type digital circuitry and provides a maximum delay time of 120 ms, with six outputs at fixed 20-ms delay intervals. The 1660/1661 features random access memory (RAM) type circuitry and accepts up to six memory modules for a maximum delay time of 510 ms, with five output modules. Full details, including illustrated specs, are available from the manufacturer.
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NEW POWER AMPS
Two new stereo power amplifiers have been announced by QSC Audio Products. The model 4.1 is rated to deliver 75 watts RMS per channel into 8-ohm loads; the model 5.0 amplifier is rated to produce 120 watts per channel into 4-ohm loads. Both power levels are given with reference to a 1% clipping level. Typical distortion figures are 0.25% THD and 0.25% IM at power outputs of 70 watts and 114 watts per side, respectively. Each amplifier may be rack-mounted, and each has current-limiting short-circuit protection, thermal cut-out and fused collectors on the output transistors to protect the load. Both amps also have calibrated gain controls scaled in both dB and Vrms. Either model can be ordered with or without internal electronic crossover that allows it to be used in a bi-amp setup. List prices are $308 for the model 4.1, and $368 for the model 5.0. The internal electronic crossover module costs an additional $50.
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ADI OFFERS ANALYZER AND EQUALIZER
Two new products have been announced by Audio Developments International (ADI) Corp. of Palo Alto, Calif. One is the model 1000 Audio Spectrum Analyzer, said to be designed for the most critical measurements of real-time acoustic phenomena. Suggested applications include fast loudspeaker and room frequency response testing; equalizing acoustic environments; tape recorder tests and calibration; program material frequency analysis; before and after "freeze" comparisons; real-time analysis, collection, and storage of data. Among its features are two digital CMOS RAM memories, a "truly random" pink-noise generator with gating capability and a precision condenser microphone.
ADI's other new item is the model 1500 automatic graphic equalizer, which is claimed to be capable of achieving "the most critical equalization . . . without peripheral equipment whatsoever. . . ." Ten bands on two channels are controlled by sliders with ranges of ±12 dB. The 1500's automatic display system uses LEDs in red and green color combinations to indicate different levels of high, low, optimum and flat.
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SOME RECENT SPEAKERS...
Some recent speakers that I have auditioned lately pose the question: Can these models be termed "monitor speakers?" I leave that open to debate since—as I have pointed out in the past—that concept seems as much in the realm of semantics as acoustics. A speaker system that is reasonably smooth and relatively "uncolored" across the audio range, and which can handle power levels sufficient to cover your listening room or studio with clean sound, would qualify for monitoring use. Above all, it should reveal the program material, not conceal it or color it to make you believe the program material has more (or less) in it than it actually has.
The Jensen LS-6, list price $290, is a three-way floor-standing system rated for input power of 10 to 90 watts. Bass below 50 Hz is somewhat distorted but there's still clean output down to about 25 Hz. Upper tones are well dispersed with a rolloff to inaudibility at about 15 kHz.
Bigger, and costlier, is the $695 Altec model 19 which appears to be an updated and refined version of the old Voice of the Theatre system—big horn tweeter and bass-reflex loaded woofer. It pumps out a very big sound with relatively little input power (rating is 10 to 65 watts). Here the low end remains quite clean down to 40 Hz, and continues with some doubling to the 20-Hz mark. Middles and highs are adequately dispersed; a dip is evident at about 15 kHz but response goes on to beyond audibility. At almost 40 inches high, the model 19 is very much a floor-standing system.
One of the cleanest-sounding imports I have heard is the British-made Celestion 66 which is sometimes used as a monitor at the BBC and elsewhere abroad. A floor-standing "vertical" system, the model 66 uses tweeter, midrange, and woofer plus an auxiliary or passive bass radiator. Rated input power is 10 to 70 watts, but the upper figure is typically conservative British—I ran it up to nearly 175 watts (with occasional peaks nearing 400 watts) and experienced no problems. The low end rolls off below 50 Hz but there is still plenty of fundamental bass down to 25 Hz. Middles and highs are exceptionally smooth and well distributed to beyond audibility, with a rolloff starting at about 14.5 kHz. Price is about $500.
For the "small" studio, consider the new Bose 601 which, at $558 per stereo pair, offers more than usual versatility in placement thanks to the unusual arrangement of cross-firing tweeters. At 25 inches high, a model 601 can be floor-based or perched on a stand. It seems to defy placement problems that would faze conventional speakers and within its rated power range of 15 to 50 watts it produces a surprising amount of very clean and transparent sound with a low end that makes it down to 20 Hz (albeit with a rolloff and increase in doubling from about 50 Hz), and a smooth and well-dispersed upper range that carries out to beyond audibility. The 601, unlike Bose's 901, uses no equalizer.
MIXING CONSOLES
Over the past few years, one of the best values in mixers has been the English-made Kelsey modular console. Dallas Music Industries, the American distributor for Kelsey, has available the new series of non-modular Kelsey mixing consoles which are in 8, 12 and 16 channel versions. Each input channel has a transformer-balanced low impedance mic input with 3-pin XLR connector, and a high-impedance, unbalanced input via a ¼-inch phone jack. Preamp gain is continuously variable from 12 to 58 dB in the mic input and 0 to 46 dB for the high-Z input. A green LED indicator indicates proper signal level at the preamp, and a red LED indicator indicates the 6 dB headroom point to warn of approaching distortion. Equalization comprises ±15 dB high- and low-frequency shelving equalizers and a ±9 dB midrange peaking/dipping equalizer. A pre-EQ monitor send and a post-fader echo send with a two-bus selector switch are provided along with panpot, channel on/off/headphone solo switch and a 60-mm sealed fader. An extra input channel is designated as the echo return, having two high impedance inputs. The output section has the left and right master faders, bass and treble EQ for the main outputs, monitor send master, two VU meters and a selector switch and level control for the 4-watt per channel headphone amp. Prices for the 8, 12 and 16 channel versions are $1350, $1700 and $2100 respectively, including fitted SMF Tour Series road cases.
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POWER AMPLIFIERS
Audio Marketing, Ltd. here in the U.S. will be distributing the product line of HH Electronics of Cambridge, England. The top of the HH power amplifier line is the S-500-D, a solid-state, two-channel amplifier rated at 210 watts RMS per channel into 8 ohms (or a maximum output power of 500 watts RMS per channel into 2.5 ohms) at the clipping point. The unit may also be operated in a bridged mono mode for 640 watts RMS into a single 8-ohm load or 900 watts RMS into a minimum impedance of 5 ohms at clipping. Physically, this HH model is a very interesting and compact design. The extra-heavy gauge aluminum, rack-mount chassis is only 3½ inches high and contains a massive power supply and two self-contained, plug-in circuit modules which may be replaced in a matter of a few minutes in the unlikely event of a failure. Most high-power amplifiers available today require external fans to get sufficient air circulation for proper heat dissipation. Each of the two HH circuit modules incorporates its own Force Cooled Dissipation system which includes a computer-type rotary fan and special aluminum foil coolers as integral parts of the module. In the event of a fan failure, air-flow restriction or prolonged electrical fault conditions, the amplifier will be shut down temporarily by an automatically-resetting thermal sensor. Also of note is the use of a 1 kilowatt rated toroidal power transformer to minimize hum induction into the amplifier circuitry.
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SOUND REINFORCEMENT
From England comes news of Zoot Horn amplifiers, distributed in the Americas by Concert Systems of Canada. The Zoot Horn line comprises three speaker systems and the E500 amplifier to power them. The E500 is a 200-watt RMS amplifier with tube output stages and sophisticated control features. The amp has two inputs with individual volume controls. These are followed by a 9-band graphic equalizer with a ±20 dB boost/cut range for extreme tonality changes; center frequencies are at octave intervals from 50 Hz to 12.8 kHz. In addition to the Graphic equalizer are a 12 dB/octave low filter with cutoff frequency variable from 20 Hz
up to 2 kHz, and a 12 dB/octave high filter with cutoff variable from 320 Hz to beyond audibility (flat response), and a Power Shaper Effect which boosts bass and treble by a fixed amount with the flick of a switch for even greater tonal variations. Other features of the E500 include a master volume control, two preamp outputs, Cannon speaker output connectors, and a 4/8/16-ohm speaker selector switch. On the speaker side, Zoot Horn has three models for various purposes. Model SD18 is a rear-loaded, folded horn enclosure for a single 18-inch driver. The CB15 is a compact, high-efficiency bass enclosure suitable for bass guitar, organ, or as the bass section of a small P.A. or keyboard amplification system. The cabinet is a rear-loaded horn accommodating a single 15-inch speaker. The Model TX 200 is a full-range enclosure with frequency response from 60 Hz to 15 kHz. The TS200 houses two 15-inch drivers in an infinite baffle enclosure for the bottom end plus a compression driver and horn for treble.
DOD Electronics of Salt Lake City, Utah, has been on the scene for several years and their latest showings include additions to their steadily growing product line. The Overdrive Preamp ($49.95) is a solid-state distortion device featuring a level control to set the distorted output level and a gain control to vary the amount of distortion. The E601 Graphic Equalizer ($79.95) is a battery-powered 6-band equalizer with a ±18 dB boost/cut range and center frequencies slightly more than one octave apart from 65 Hz to 3.3 kHz. Other products in the DOD line include two phasors, a compressor, an FET preamp, a 4-input passive mixer, an A/B switch box and a low-Z/high-Z transformer box.
Musitronics Corp. has a new piece in their line of Mu-tron sound modifiers, the Mu-tron Opti-Pot Volume-Wah Pedal ($130.). The Mu-tron Volume-Wah is an AC-powered pedal using the exclusive Opti-Pot photo-electric system to eliminate potentiometer noise and mechanical unreliability forever. Separate footswitches with LED indicators are provided for volume and wide-range wah-wah functions to allow volume-only, wah-only, or combined volume-wah operation.
The people at Electro-Harmonix have introduced a new analog delay device, the Memory Man Deluxe. This new unit generates a signal delay which is variable from 15 to 400 milliseconds for a wide range of effects from vocal doubling at 15 msec through echo and reverb effects to a slapback echo at 400 msec. Unlike many other delay devices, the signal bandwidth of the Memory Man doesn't change as the delay time is varied; frequency response for the delayed output is 10 Hz-3 kHz at any delay setting. Signal-to-noise ratio is 60 dB, and audible quality is improved further by the built-in noise gate. Controls are provided for input gain (with overload indicator), delay time, feedback (repeats) and blend. Memory Man Deluxe is AC-powered, and has separate outputs for direct and echo outputs.
Norlin Music, Inc. of Illinois, has introduced a brand new line of sophisticated amplifiers known as the Lab Series, which drew on the expertise of engineers from Gibson and Moog as well as musicians, music dealers and recording studio personnel in their design. Lab Series amps use several innovative circuit developments including a new type of distortion circuit, a built-in compressor and an octave-band mid-range control with selectable frequency. In addition there is a feature called Multifilter which "rearranges the harmonics to give them the characteristics of a highly resonant acoustic instrument's harmonics." The Lab Series amps were designed for physical ruggedness and reliability, using fingerlocked pine cabinets with steel shoulders, a shock-mounted electronic chassis and eight high-voltage output transistors for electronic reliability.
If you're the owner of a small studio or are charged with the responsibility of doctoring studio equipment—but do not have a solid technical background—then this article is for you.
We will assume that holding a screwdriver and using it is not your idea of an exotic and perverted experience, but that the thought of a recorder being out of whack terrifies you. There's no need to feel uneasy even if you don't understand the service manual or don't have one. This article will give you the SOP for routine maintenance which will keep a healthy recorder in top condition for years.
Too many people buy a tape recorder, plug it in and start recording without the slightest regard to bias, EQ and standard levels, let alone azimuth and a whole bunch of other imponderables. There are many facets to recorder alignment that you may not know about but that are essential to making your recorder give you everything it is capable of. If you don't put your machine into proper alignment you may as well take half the dollars you spent on it and light cigars with them.
The procedures are not difficult if you have any mechanical or electrical ability at all. Although the theory of operation of a recorder is highly complicated and paradoxical (so much so that if you understood it you would be convinced that recorders can't possibly work!), the care of one is, in reality, easy, much easier than owning most other animals.
Tools of the Trade
Although for the most part we no longer wish to record music exactly as it is played, our machines still must do exactly what they are told. This means that they must magnetically read and write precisely what they are given. In order to do this they must be of high quality to begin with, and then they must be properly maintained. The tools you will need are as follows: test tape; reel of blank tape of the brand and formula you intend to use; audio oscillator; VTVM; tape head degausser (demagnetizer); and an assortment of screwdrivers and nutdrivers that fit your recorder.
The test tape is essential for you to find out where all the other recorders in the world are at levelwise; it is your standard. Many moons ago when life was simple there was only one standard level and few formulas. Today there are too many formulas and too many standards, and thus even standards aren't standard. Everyone wants to get into the act and have thereby confused the issue (and a few recording engineers, too). Anyway, pick your level and let's go.
"Standard" Levels
The original standard level was 185 nanowebers/meter, then came the first elevated level at 200 nw/m, which was about 0.9 dB higher than the standard, and now we have 250 nw/m which is about 3 dB higher than the original standard. There is also the European DIN standard of 340 nw/m which is about 4 dB up, but
they keep that stuff in Europe. These higher standards, in all fairness, do serve a purpose and that is to fill the need of the new high output tapes. You can use the 185 nW/m level and take advantage of about 6 dB more head room or you can record 6 dB hotter and get that much less noise, or split the difference which is what most people do.
Next is the oscillator. Any halfway decent audio oscillator will do as long as it is capable of going from 20 Hz to 20 kHz without too much distortion.
Since the VTVM is the ultimate check on the oscillator and the recorder it must be good, i.e., recently aligned and calibrated by the manufacturer or its representative.
Almost any head iegausser will do; and the tools should be demagnetized. If you can pick up light pieces of iron or steel such as iron filings or razorblades or even nails and screws you don't want the tool near the recorder's heads.
First Things First
Now the first thing you must do is to clean and demag the heads. NEVER place an alignment tape on a
recorder before demagging the recorder's heads—even if you did the job just an hour ago. That tape is expensive—$30 or so, with the two-inch alignment tapes going for several hundred dollars—and if it gets near a magnetized head or a magnetized anything it's rendered useless. How do you demag? Very slowly. First get the unit about six feet from the recorder and then plug it in. Turn off the recorder, especially if it is a solid state job (unless it has a demag position, if so, use it). It is possible to burn up the input stage of the electronics on some transistorized units by virtue of the power generated from the demagnetizer into the head. When the electronics have discharged and died bring the pole piece of the demagger near the pole piece of the head, but do not touch the face (you may want to put some plastic tape over the degausser's face to prevent scratching the recorder's head). Now slowly move the demagnetizer up and down the face of the head and very slowly move on to the next head. At the last head VERY SLOWLY remove the degausser to a distance of about five or six feet from the recorder before unplugging it. If your unit has a switch on it you have to be even more careful. Do not turn the thing on or off within six feet of the heads. If you do so it is possible to magnetize the heads more strongly than the degausser is capable of demagnetizing. That's because the magnetic field is stronger on build-up or collapse than in a steady-on state.
The way it works is like this. As the program material on recorded tapes passes over the heads the heads gradually pick up a permanent magnetic charge. The same thing happens when you put the recorder into record—the record head gets magnetized. After some time the heads are magnetized enough to partially erase any tape passing over them. The high frequencies are the first to go. The demagnetizer sets up a strong alternating magnetic field which first magnetizes the head in one direction and then the other. As the degausser is pulled away this field gradually diminishes until it is practically zilch at the head—demagnetized.
**Test Tape Tones**
Now you're ready for the test tape. Make sure you have one that is less than a year old, and not one your buddy made on his machine. Turn the recorder back on and thread the tape; you will find a series of tones. Some tapes start with 700 Hz for a level set. Play this tone and set the recorder's VU meters to read 0 dB. Then check the output with the VTVM at the line out jacks. (All the equipment should be stabilized by turning everything on about one-half hour before.) After you get your playback level established the next tone should be an azimuth check at about 15 kHz. But first you may want to look at a lower frequency such as 7 or 8 kHz as a coarse adjustment, and then the highest tone as a final adjustment.
In any event there are about four methods used to adjust azimuth, one more accurate than the next. First is the coarse, crude, klutzy way, which is to adjust for maximum output on the VU meters. Don't do it; it's too coarse, unless you have a full-track mono recorder, in which case that is the only way. The next way is to mix both outputs into one meter on the mixing board and adjust for maximum level. This may not seem more accurate, but it is because the peak is sharper. More accurate than this is to mix the two channels out of phase and adjust for a null instead of a peak. This is the most accurate for the effort and does not require much knowledge. The fourth method utilizes an oscilloscope. However, if you know how to use an oscilloscope you probably aren't reading this anyway, so...
When you adjust azimuth be sure to adjust the azimuth and not the zenith. The two adjustments are easy to confuse on most machines. There are five different adjustments for a tape head. All you are interested in is the azimuth. If you mess up the others you're in trouble. Also, it is easy to align on a side peak. Don't fall into that pit. That's what the coarse adjustment is for. When you mix the two channels both parts of the signal should be equal or the peak or null will be hard to define. If you are adding in phase set each channel to -6 VU, when added together both should equal 0 VU; if you are mixing out of phase set each to 0 or even +3 VU, when added together adjust for null on the VU.
**Adjustments**
If you are adjusting a multi-track of more than two channels plan on a visit from the queasies. You'll never know if your azimuth is right on or not, although you can get it reasonably close. This is a result of a condition known as gap scatter. Manufacturing techniques have not been capable of getting all the individual gaps for each channel to line up perfectly, thus gap scatter. The figure shows an exaggerated rendition as the actual offset on an expensive professional recorder is only 5 microns or 5/1,000,000 of an inch (the head cap is 4 or 5 microns). But all you need is a 1/100,000 inch offset to mess up the peaking or nulling adjustment by 2°. The best you can do is to pick two tracks near the edges and adjust as described—e.g., on a 24-track recorder use tracks 1 & 24 or 2 & 23 and hope they are reasonably close with respect to their mutual alignment. Never use more than two tracks. Then rub your rabbit's foot and count your worry beads.
From here on in all the adjustments are the same whether you have a mono recorder or the latest 24-track machine.
After the azimuth tone on the test tape will be a series of tones going down to about 30 Hz. All you do is watch and write down the VU meter readings for each tone. If all the tones hit 0 VU you don't have to do a thing. Rots o' ruk fella. Indubitably you will have to make adjustments. All machines whether purebred pedigrees or plain old mutts have the same parameters and the same adjustments. It's just that there are some machines which do not make their adjustments accessible or adjustable. Which simply means that the manufacturer chose not to make a certain parameter adjustable, either out of an overblown sense of pride or from enough wisdom to keep
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someone from thoroughly screwing up the machine. Nonetheless, here is a list of the adjustable parameters of a tape recorder's electronics section by section:
| PLAYBACK SECTION | RECORD SECTION |
|------------------|----------------|
| Playback (output) level | Record (input) level |
| High-frequency eq | Meter calibrate |
| Low-frequency eq | High-frequency eq |
| Low-frequency eq |
| BIAS OSCILLATOR | TRANSPORT |
|-----------------|-----------|
| Bias adjustment | Azimuth (head) |
| Bias calibrate | Zenith (head) |
| Erase current | Rack (head) |
| Bias frequency | Wrap (head) |
| Height (head) |
Not all machines have all of these adjustments. In fact, only a few expensive machines have all of them. The ones that your recorder doesn't have cannot be adjusted, of course, so you don't have to worry about them. As you run down the tones and note where the machine is off make the appropriate correction with the equalizers. To keep from going bananas make sure 10 kHz on the high end and 100 Hz on the low end are at 0 VU and let everything else fall where it wants to. The reason for this is that most recorder equalizers peak at these two frequencies and when these are on the mark that is usually the closest you can get the machine over all.
If the recorder is not of very good quality and you find that when 10 kHz is at 0 VU that 7.5 kHz and 15 kHz are both down about 2-3 dB then you can go up perhaps 1.5 dB at 10 kHz to achieve a flatter sounding curve. If on the other hand you are flat out to 12 kHz and you find that 15 kHz is way down (-4 dB or more) there either is dirt on the heads or there is a wear problem which requires relapping or a new head. (Dirt can get on the heads in the time it takes to play the test tape, so don't think because you cleaned the heads that you have a wear problem. Dust off the head with a cotton swab again to make sure.)
After all the PB adjustments are made go back to the level set tone at operating level and tweak it for 0 VU again, then remove the knobs and don't adjust them anymore since now this is your only point of reference. If you touch the output level after the alignment tape is off the machine you have to demag and go through the PB alignment procedure again. This is the only way you can tell what your machine is doing—by looking at playback not input.
Now thread some blank tape of the type you have decided to use from now on onto the recorder. Set the oscillator to 1 kHz and feed the signal into the line input. If your recorder does not have a bias adjust as shown in the figure to verify this. Then adjust your azimuth on the record head the same way you did the PB head. If your machine is equipped with sync you can take a shortcut. Be sure the recorder is demagnetized, put the machine in sync and play the test tape azimuth tone and adjust the
The proper order for hooking up test devices to your tape machine.
but has those inane switches that give you a choice of high or low bias settings try to get the highest reading on the PB and that's it. If you have real bias adjustments do this: get a reasonable level (always looking at PB) about mid-scale and then adjust for the maximum level you can get for each channel. Anything less than the maximum is no good, you will lose more than you gain.
Some smart guys who have "the answer" are running around telling people that their secret is to slightly underbias their recorders (usually about ¼ dB) and this gives them a better high end. This is true, it does give a better high end, but what these guys don't know is that it also gives them more noise and more distortion and a worse low end along with the better high end. If you need more high end that's what the equalizers are for. Conversely, if you overbias you get a better low end and less noise, but also a worse high end and more distortion. So the best way is to follow the advice of the people who design recorders, they know a little more than these other guys, and they say peak for maximum output.
Anyway, once you have done this adjust the record or input levels so that the output reads 0 VU. But make sure you are feeding "0" in. Connect the VTVM to the oscillator record head directly. However, each time you adjust anything in the tape path the azimuth goes out on everything else. So you may have to go back and forth a few times to find the mid-ground.
This is a minor concern on ¼-inch machines but becomes a major problem on 1-inch and 2-inch decks. The problem increases at least tenfold. Once azimuth is adjusted continue on with the record mode adjustments, these are similar to the PB, so far as high- and low-frequency adjustments go. As you sweep the oscillator or change frequency keep checking the VTVM to be sure you are always feeding 0 VU into the recorder. Few oscillators are as flat as they should be. Also remember you are looking at PB, and whatever the PB did before the record should be doing this time. That means that if the test tape read +2 dB @ 15 kHz your record adjustment should read the same way. If the test tape read -1 dB @ 30 kHz so should your record. An exact match will rarely occur, but take note of the difference. The number of dB above or below is the key. If the record reading is 2 dB higher than the test tape reading then the record amplifier is at +2 at that point. If it is 1 dB below the test tape reading it is -1 dB at that point. You have to calculate each reading for your true record response. Now sweep the
HIGH BIAS.
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SANSUI • SHARP • TEAC • TOSHIBA
UHER • YAMAHA
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Maintenance Cont.
In addition to the electronic maintenance you also have to do mechanical maintenance on the transport. Your routine should go like this: every day, clean tape path and demag tape path; every week, check and tweak PB alignment; each month, check and adjust PB and record, lubricate motors and bearings; every six months, complete mechanical alignment. What is a mechanical alignment? A trip through hell in a wheelbarrow. If there is no way to adjust your mechanics, do something nice for your mother-in-law to show your appreciation for small favors. But generally the following adjustments are to be made: supply reel holdback tension, take-up reel tension, pinch-roller tension, supply reel clockwise brake tension, supply reel CCW brake tension, take-up reel clockwise brake tension and take-up reel CCW brake tension. Turntable height. And on some machines edit brake tension for supply and take-up reels. You have to use the service manual for the specifics as each recording machine is different.
One last word. When cleaning your recorder you have to clean and demag everything in the tape path between the supply reel and the take-up reel. You can use toluole, xylene and alcohol on the heads and guides. Use only alcohol on the pinch roller as the others will cause it to deteriorate. Also toluole and xylene may attack the cement holding the guides and head laminations on some machines. So the safest thing to use is alcohol. But if you do use it don't use rubbing alcohol. That has too much water in it. Get the 97% isopropyl available in drug stores.
If you follow the above procedures your recorder should remain in top shape for many years barring accidents or defects.
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A Session With Lou Rawls
Sigma Sound Studios' owner and chief engineer, Joe Tarsia, sits before the console in Studio 4 mixing tapes for the newest Lou Rawls album, *When You've Heard Lou, You've Heard It All*, the third album Lou has done in Philadelphia. Joe is describing the essence of the famous "Philly Sound" that has been the dominating force in Black music for almost ten years now, since the heyday of Motown in the sixties.
Joe explains, "The Philly Sound is a style of writing, playing and recording that, through a lot of trial and error, developed into a pattern different in many ways from the rest of the music industry. At the time we started Sigma Sound in 1968, there really wasn't a cohesive recording community in Philadelphia to draw from. It was almost like starting a language on a remote island without coming into contact very often with people who speak other languages.
"The roots of the Philly Sound, though, are basically rhythm and blues. Before us r&b was 'feel' music, *a la* James Brown. Gamble and Huff were the first ones to put [combine] class songs with r&b rhythms, and then combine that with lush string and horn arrangements."
Unique Sound
Kenny Gamble and Leon Huff, of course, are the songwriters, producers and founding members of Philadelphia International Records. They first gained recognition with their successful production of "Expressway To Your Heart" by the Soul Survivors in 1967, soon followed by their first gold record for the Intruders' "Cowboys To Girls" in 1968. They went on to work with Jerry Butler, Archie Bell and the Drells, the O'Jays, Billy Paul, MFSB, Harold Melvin and the Blue Notes and the Three Degrees. Today Gamble and Huff also produce Lou Rawls and Teddy Pendergrass.
And even though they were the first in Philadelphia to develop a unique Black sound, Gamble and Huff were not the first generation of hit-making Philadelphia producers. That began with the burgeoning popularity of Dick Clark's American Bandstand in 1956 and the creation of the Cameo/Parkway label. The Philadelphia stars of those early days were Frankie Avalon, Fabian, Bobby Rydell, the Orlons, Chubby Checker and Dee Dee Sharp (now Mrs. Gamble).
But the first Philadelphia generation was dominated largely by pop sounds that faded long before Gamble and Huff began churning out their soul hits. Joe Tarsia says of Gamble and Huff, "They don't write songs. They write records. If you listen to the material for Lou Rawls, the O'Jays and Teddy Pendergrass, you'll find it's all very different. When Kenny and Leon sit down, they write with a particular artist in mind. I don't think Lou Rawls' "'You'll Never Find'" would fit Teddy Pendergrass. It's the difference between a ready-made suit and..."
By Stan Soocher
(Left to right) Producers Leon Huff and Kenny Gamble.
Probably the most identifiable aspect of Sigma Sound recordings is the use of echo delay for the "slapback" effect which is especially emphasized in the snare drum sound. The chambers are EMTs and rather than sending the echo directly from the output module to the chambers, they run it through a tape or digital delay. Although the method may not be totally unique, the continual recurrence of the sound in the mix is special.
Sigma's Selections
Nevertheless, careful attention has been paid to the selection of equipment and there are specific identifiable techniques particular to Sigma Sound. The console itself is "the world's standard stock model," a 24-track MCI with an Allison MLH outboard for computerized mixing which has been operable for the last three years. All tape machines are 3M, and 3M 206 tape at 15 ips with Dolby is used for most sessions. However, "Stevie Wonder was in last week and he records at 30 ips with Dolby."
Over at the newest addition to Sigma Sound, a 24-track room in New York, there is a specially designed board with electronically controlled faders. Automation is built directly into the modules, and instead of the usual plastic faders, an inset band is moved up and down producing a light-beam display that indicates gain setting. According to New York chief engineer Gerry Block, although it is easier to operate, the performance of the New York board is the same as the consoles in Philadelphia.
Block and the other Sigma engineers believe that the sound quality of a record is mainly influenced by the speakers the music is mixed on. Both Philadelphia and New York Sigma Sound Studios rely on Altec 604 "Big Reds," KLH 17s, and a 4-inch Panasonnic Portable AM/FM speaker. Other indispensable studio accessories include Allison Dual Limiters and Kepex, an Eventide flanger, an Orban-Parasound Sibilance Controller, stereo parametric equalizer, stereo limiter, MXR stereo flanger and a Marshall Time Modulator.
The specifications of Sigma Sound have attracted the likes of Elton John and David Bowie Songwriter/producer Thom Bell, the third important member of the Gamble/Huff team, is also based in Philadelphia while maintaining offices in Seattle, Washington. He has produced, among others, the Stylistics and the Spinners.
Producer Kenny Gamble (left) and engineer Jay Mark.
to the Philly Sound. A good example is "Me and Mrs. Jones" by Billy Paul, an extremely "wet" record.
As for equalization, Joe Tarsia says, "There are no standard EQs here because instruments and players vary so much from time to time. What works well one day may not work well the next. We also try to hold lead vocal equalization to a minimum. After all, a vocalist will vary according to whether it's morning, afternoon or night. And whether they've been working or haven't been working can really change the timbre of an artist's voice."
We never like to punch-in on an existing vocal track on a different day because there is that much difference in the voice.
"As for recording Lou Rawls' voice, the sound of it is pretty much up to me. I've worked with Gamble and Huff for over ten years and we really don't have to say very much to each other. Lou, of course, gives you an awful lot to work with vocally. He has an extremely broad, very natural voice. You can put singers into two categories: those who have great styles and those who have great voices. Fortunately, Lou has both. When it gets down to engineering, you don't have to generate a sound at the board because Lou gives it to you at the microphone. I usually just cut Lou's voice basically flat with very little EQ."
On previous albums done in Philadelphia, Lou's vocals were recorded with a Neumann U-87. For the album, a U-47 is utilized because it captures the bottom end of Lou's voice with truer quality than the U-87.
**Capsule History**
Lou Rawls first came to record in Philadelphia two years ago after a distinguished career that encompassed the recording of close to thirty albums. Born in Chicago, he made his singing debut in a church choir at the age of seven and a half with the late Sam Cooke. In the fifties he moved to Los Angeles where he met Herb Alpert and Lou Adler, who were a struggling songwriting team at the time, and together they cut a forty-five released locally in L.A. When Dick Clark was on the West Coast producing a Bandstand showcase, he hired Lou for the show. A recording contract with Capitol followed; it lasted nearly ten years.
Lou's first hit records were "Tobacco Road" and "Love Is A Hurtin' Thing" in 1966, leading eventually to two Grammy Awards for albums and five Grammy nominations. In 1975, when he became associated with Gamble and Huff, Lou recorded his first platinum album, *All Things In Time*. Two weeks before the mixdown session with Joe Tarsia, we attended a vocal session with Lou in Studio 4 and he explained why he is working with Gamble and Huff.
"Gamble and Huff give me the freedom to select the material I want to do. In the past, some of the producers I've encountered have handed me a stack of music and told me, 'This is what we're going to do.' I've had to adapt myself to the material as opposed to having them adapt the material to me, which is, I think, a mistake for an artist. Gamble and Huff let me choose from a group of songs and then live with the material for a while. Then I get with an arranger — either Bobby Martin or Jack Faith — at the piano and we work out a key for the song. Afterwords, an arrangement which will not be all over the vocalist but will enhance the impact of the song is written around that.
"About recording methods, though, like a lot of other artists I'm not into the technicalities. I'm concentrating on taking the song and making it happen."
pen in the delivery. There are certain things I can and cannot do with my voice which the public will accept."
**Group Participation**
Although Gamble and Huff are the main songwriters and producers for the Philly Sound, a group of songwriters, arrangers and co-producers are assigned to each project. Because Sigma's Studio 4 is housed in the same building as Philadelphia International Records, Kenny and Leon will be in and out of the studio (there are also two "live" Sigma Studios located on 12th Street in Philadelphia).
During the recording of the rhythm tracks, Gamble and Huff stay inside the studio with the session players who appear on most of the Philly Sound records. They are Roland Chambers and Dennis Harris on guitars, Charles Collins on drums, Michael Foreman on bass, and Larry Washington on percussion.
Like Lou Rawls, Gamble and Huff are not technically-oriented. Their role in the studio is to help the musicians set a groove. They come in with a general direction for a song, but honing and refinement is done on the spot. Gamble and Huff look for creativity among the players so that the musicians can assume an active role in the production. Lou Rawls also attends the basic sessions to get the feel of each song. Kenny Gamble's most famous quote may be: "Music is the only natural science known to man." All technicalities, therefore, are left up to the engineer.
As Kenny Gamble explains, "Leon and I feel there is so much involved with each project that it's better to let everyone participate in some way in the creative process, and then make final decisions with the artists in mind. We leave the vocal performance up to Lou, for instance, because he will give us exactly what's necessary for each song to bring out the strength of the words and the music." Leon Huff, the keyboard player, is the quiet half of the team who, rarely speaking, moves among the musicians like some soul-injected hobbit.
The typical order for recording tracks is drums, bass, guitar, keyboards and percussion for the rhythm, then background vocals, lead vocals, strings and horns, depending upon the nature of the material. Occasionally, some percussion is added at the end, and the string and horn sweetening is specifically written around the lead vocal track.
Joe Tarsia says of the often admired string section, "The players make the Philly String Sound special. You'll notice no one is reading the newspaper during a rundown. Everybody digs in and plays to give it all they've got; that's the reason why the strings always come off biting."
**Smooth Takes**
For the first song Lou sings during the vocal session, "Lady Love," arranger Jack Faith is the co-producer. Jay Mark, who has worked with Lou before, is the engineer. Lou records reading from a lead sheet in the center of the studio. Four relatively smooth takes are run through in an hour. Take three is chosen as the best.
During the next song, "House Full of Flowers,"—which does not appear on the completed album—Kenny Gamble comes in to produce. Most of his attention is given to anticipating Lou's vocal delivery with little notice given to the board. Jay Mark continues as engineer, and only three takes are needed till everyone is satisfied.
After a fifteen minute break, vocal recording continues on "That Would Do It For Me" and "I Coulda, Woulda, Shoulda." Within two hours, the vocal session is over. After all the tracks are recorded, Kenny, Leon and Lou must give the okay before mixing begins.
During the mixdown session Joe Tarsia points out, "Most people mix the same way—starting from the left end of the board with the rhythm tracks to get a tight sound. Then you work your way across to the strings and horns, bounce them out, lay the vocals on top of that and go back to the beginning and readjust. It's really not that difficult once you are familiar with a board. At that point, it's really up to the talents of the artists, producers and musicians that you have brought into the studio."
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CIRCLE 94 ON READER SERVICE CARD
Frank Zappa has been involved with recording as an artist, engineer and a producer since the early sixties. Zappa is known as a recording and musical innovator with a somewhat unorthodox manner, and first came to the greater public's attention through the work of his group "The Mothers of Invention."
This interview was done in the studio while Zappa was recording his upcoming album, Leather, and begins with a discussion of Paul Buff—creator of several recording products issued under the aegis of Allison Research—who was a major influence on Frank Zappa's early recording career. As you'll see, from that point on, it was definitely Zappa's trip.
MR: Since we know you and Paul Buff worked together for a while in the old days, would you tell us about this relationship?
FZ: I met Paul when he had a studio in Cucamonga, California. The equipment was very basic, most of it was homemade. He had learned his electronic skills in the Marine Corps and he came out here to decide if he wanted to go into the record business. He taught himself how to play sax, piano, bass, guitar and drums. He also taught himself how to sing, and built the studio so he could record himself, or any of the local bands who were in town at that time. He only charged about $30 per hour. Two surfin' hits, "Pipeline" and "Why About," were recorded there and the master was released to either Dot or to another record company.
Most of my basic training in recording came from working with Paul. I started playing on some of the demos that he was cutting there at the studio and got interested in the equipment. When we would have dinner at the bowling alley we used to eat at, he would draw diagrams on the napkins of how the equalizer worked. He gave me a lot of basic information on how things work and even in 1963 he was working on developing some of the inventions which are on the market today, through Allison Research. I think not too long after 1963 he built the prototype of the Gain Brain, and the first Fuzz Tone that I ever saw, by overdriving a phonograph pre-amp. He built his own equalizers for his little console that we had there at Cucamonga. He also built a five-track tape recorder with staggered heads because they didn't have inline heads. The record head was also the playback head and the machine had its own erase head and we used half-inch tape.
The other equipment in the studio consisted of about five or six Shure microphones, and a homemade condenser mic. We had two pianos, a Steinway upright and some type of Baby Grand. I can't remember the monitor system in the control room but I gathered there were a few Hi-Fi speakers from the boxes I saw. It was basic and good enough for rock and roll. We could overdub on that machine and could ping-pong on it. Allison, the girl who's picture is on the Kepex, used to be the waitress at Cucamonga Moltra [we'll assume the Moltra was/is a local restaurant]. Paul met her and fell in love and they moved into a trailer together. He produced a bunch of records where Allison sings. She is a very good singer and has a nice voice so she did a lot of recording out there at Cucamonga, but I don't know if she has recorded since then.
I think Paul is definitely one of the pioneers of the modern multi-track
recording industry. He's a genius.
MR: Were there any other people who influenced you as a producer or engineer?
FZ: No. What happened was that I eventually bought the studio from Paul, so after he drew the diagrams on the napkins, everything else I learned was just from making mistakes on my own. I had that studio for about nine months, 11 or 12 hours per day to just record.
MR: Do you have any favorite studio at the moment?
FZ: I like Caribou, except for the fact it is 8000 feet up. If it was at sea level it would be a fantastic studio for my purposes, but so many funny things have happened to people and musical instruments when the air is so thin. The distance between the air molecules affects the sound of the instruments and the acoustics, and also creates other problems for monitoring.
Right now I think my favorite studio is Kendun, because of the way it's laid out and the equipment. I like the idea that you can cut right away so you can keep track of your progress. Unfortunately, the disc-cutting facilities over there are booked up so much. However, it is an ideal situation—you have disc-cutting facilities while you are working on a project. A lot of people when making
an album forget how it’s going to be in the end, which is on a piece of plastic in somebody’s home. So it can be very deceptive when you are working on a project two or three months only hearing it over the big monitors which are coming up from the tape with a dynamic range. So it’s nice to keep tracking to make reference during the project.
It would be great to make a direct-to-disc recording. I think that would be a good way to record jazz or classical music. You get a good string quartet and bring them in and put them in direct-to-disc. It would be perfect because they usually know exactly what they are doing before they start up.
MR: Let’s suppose you are the only engineer in a totally unfamiliar studio where they have every piece of hardware ever made; what would you start with?
FZ: First of all, if I’m going to a studio which is completely unfamiliar, they won’t just turn it over to me without some kind of assistance because they have a financial investment to protect. If I was God they probably still wouldn’t let me walk in and just run everything. From studio to studio the problems are what they have plugged into the patch bay, so just for that reason alone you need some kind of assistance. All the recording I do now is 24 track and all the tapes run at 30 ips. I have been recording everything with Dolby but I think that the new Telefunken system is much better. As far as microphones go, I have different favorites for different instruments. I use U-87s, Sony C-37s, AKG 414s. I like to use shotgun mics for the piano to get certain types of effects. For kick drum I like an RE20 or two U-47s. It depends on what style the drummer has, whether he uses heavy footwork, or is a studio-trained drummer that plays light and gets that “fat” sound. You have to suit the microphones not only to the instrument that you’re recording, but also to the way in which the musician plays the instrument.
MR: When you are recording is the bass an amplified channel, or miked?
FZ: I usually take the bass direct—very solid master amplification on the bass. If you want to get an amplified sound you can always play it back to the cue system and the little amp [a Pignose Inds. amp] when you are mixing. It saves you an extra channel during the recording. That’s the decision you have to make right there on the spot. If you lock yourself into the proportions of mics versus direct you may regret it later, so it is better to go on with direct, getting a little compression on it so that it sustains the right level all over and if you want to get more rock sound on it, just play through an amp. Play back to the Pignose, when you are mixing.
MR: Do you try to make a record as good as the one before or do you try something different everytime?
FZ: I am trying something different everytime, because everytime I go to the studio and spend that money for studio time it is not only the opportunity to make another album but it’s an opportunity to experiment with all the new things that have come out that year.
MR: For this latest album, were there any tunes actually written in the studio?
FZ: Most recently, everything has been prepared before we go to the studio.
MR: After seeing the huge tape library in your house, I’d like to know if you record every concert on the road?
FZ: What we normally do is tour about six months out of the year and I take a four-track machine and just record about every show that we’re doing. Even if it’s the same song. So if we play 100 concerts in a year, that’s 100 takes which is a better average than what you would get in the studio. So we come up with some very good things that way.
I also like recording different parts of the four-track in different kinds of environments. For example, we take a “live” track and get a lot of drive from a rock performance where the audience’s enthusiasm is there. It’s possible, if you are miking right, that you will never even know that it was a “live” track because you won’t hear the audience. If you’re taking care during recording you’ll come up with a basic track that’s got more power and spontaneity than you are going to get in the studio. So bring that back to the studio and do your vocals under studio conditions or add any sweeteners or electronic effects and you’ve made a high-breed kind of an album where the drive is there but the sound quality is better.
A Complete Recording Control Center For Every Music Lover.
The Sansui AX-7 Mixer with Reverb.
The Sansui AX-7 mixer with reverb is a unique new component that is ideal for every musician, audiophile and serious recordist. With an AX-7 you can create professional quality recordings at home, using your existing high fidelity components. You don’t have to spend money to redesign your entire high fidelity system. You can experience a whole new world of recording for less than $240*.
Mix up to 4 live or recorded sources and then remix using 3 stereo tape decks. Produce your own demos and masters complete with sound effects. The possibilities are limitless. Combine the input from any of your high fidelity components, such as your tuner or amplified turntable, with musical instrument pickup, vocal or any other source. You can pan from left to right or any point in between.
To add a new and unusual dimension to your recordings you can add precisely controlled amounts of reverberation to one or more of the four main inputs. Add a lot, add a little. It’s your show.
Each input has its own individual level control and 20dB switchable attenuator to prevent overloading. You may get carried away but your AX-7 won’t. For the optimum in tonal quality, the AX-7’s special adaptor circuits allow the insertion of equalization, noise reduction, decoders and other audio processing devices. And the Sansui AX-7 mixer with reverb is mountable in any EIA width rack.
Ready for a hands-on demonstration of this unique new component? Just see your franchised Sansui dealer. He’ll show you a whole new world of musical pleasure.
*Approximate nationally advertised value. Actual retail price set at the option of the individual dealers.
SANSUI ELECTRONICS CORP.
Woodside, New York 11377 • Gardena, California 90247
SANSUI ELECTRIC CO., LTD., Tokyo, Japan
SANSUI AUDIO EUROPE S.A., Antwerp, Belgium
In Canada: Electronic Distributors
CIRCLE 91 ON READER SERVICE CARD
MR: Which remote truck do you most frequently use?
FZ: I've used many different remote trucks, the most recent one was from Manor in London. In Los Angeles we've used the Wally Heider truck, which is very good, and we've also used the Record Plant truck. On the East Coast we've used FEDCO.
MR: Could you describe some of the problems that have occurred during "live" recording?
FZ: The first problem that we have is finding all the groundloops. You can be chasing those for hours. Another thing that you have to do if you're on stage, playing—it means you can't be in the truck—is to put a lot of confidence in the engineer. Hopefully, he can get the right sound. The basic problem for a remote truck is the monitoring system. Some guys may monitor through 4311s. It makes you scared, because the JBL 4311s are not the ideal speakers to mix through. You may come back with a tape without top end and too much bottom or vice versa.
MR: Are the things you were doing in the old days at the studio radically different from what you do now?
FZ: When I first started recording every place in town was four track. By the time my third album came around they were just getting into eight track. It was in New York about the fourth album they were using twelve track, and about the fifth and sixth album, sixteen track was coming into existence, and later twenty-four-track. The things that you had to do in the studio in the old days versus the things you have to do today are vastly different. Some techniques don't change, and some change very radically. One thing that I'm really insistent about is making sure that there is a tune-up tone on the head of the first reel of the multi-track master. That way, for overdubs, you can always tune up by recording an 8440 cycle reference tone using the fix pitch instrument of your group. For instance, Fender Rhodes or Hammond organ, or in our case it would be marimba. You record that "A" on tape and everyday before you overdub, you tune your strobe tuner to that "A" and everybody stays in tune with it. I think it's very useful to take time to print that "A."
MR: Could you mention some of your favorite studio hardware?
FZ: My favorite limiter is the dbx stereo limiter. If you want to mash large portions of the track, you can use the dbxs for individual instruments. I like the UREI LA-3As and the Burwen Dynamic noise filter. I also like the Neumann stereo expander or the one by Neve. I have an outboard rack so we go on the road with: 1 dbx stereo limiter; 2 LA-3As; 1 Spectra Sonics limiter; 6 White graphics and a White third-octave spectrum analyzer; 2 Gain Brains; and 2 Kepexes. That's our basic outboard gear just for doing a concert.
For studio the basic set up would be: one 24-track; one 4-track delay; two 2-tracks; one Harmonizer; and four dbxs.
MR: What do you want to accomplish or avoid when making an album?
FZ: You learn the hard way. On most of the early albums I made I think the EQ was bad. I think there was hardly enough on top and there were a lot of things wrong, but they were being made with the equipment which was the best you could get at the time. By listening to those things now I can learn from those mistakes, hearing it back and finding out how to change it.
Another thing a person has to know if he wants to have control of his composition is not only to understand what's happening in the studio with the studio equipment but also to find out about disc cutting. You can know all about getting your tones right on the tape recorder and getting the azimuth right, making sure everything is at the right levels and eventually come up with this fantastic tape, but if you're not careful when you put it onto a disc, it is still going to sound horrible and you won't know what went wrong. So you have to go to the disc-cutting place where they are putting your music on record.
MR: Let's say you now have a great master disc, don't you still have to watch how they are going to press it?
FZ: You are absolutely right. You can never be 100%. Even if you sit there all the way through the pressings, personally play each one to see if it is perfect, place each one in the wrapper and box, make sure they didn't warp and then make sure they got to the store right. Then the biggest problem of all happens because you will never know what kind of machine it's going to be played on. So you can't be completely sure what's happening, but if you aren't as careful as you can be all the way, you are really in trouble.
MR: Who is your favorite mastering engineer?
FZ: I use John Golden at Kendun. The last album was done at Amego with Ernie Costa, because I couldn't get into Kendun, but I think Ernie did a fantastic job on it. Ernie also mastered two of the earlier albums: Grand Wazoo and Waka Ju Waka.
MR: How would you design an album in terms of level and time?
FZ: One of the things you have to think about when you are sequencing an album is what kind of song you're going to end each side with because the tone quality is going to suffer on that song. It's always better to go with something that is softer as the last song on each side, because if you want to save your hottest number until the last cut on an album, it's not going to sound as loud. It's hard to keep the level if the side goes over 18 minutes.
I'm trying to put the most powerful cuts on the outside of the groove so I have all the top and bottom left, but sometimes I can't do that.
MR: Did you use any special effects on your upcoming album, Leather?
FZ: We used a Harmonizer on the bass. The "live" portion of the album was done partly in London and partly in New York. So where we have Harmonizer on bass, it was split left and right, which gave us a real nice sound on the bass. It's a different sound and a difficult sound to get on disc, because of the phasing problem. The Harmonizer is used on the guitar quite a bit and I'm using the MXR flanger on a few of the guitar sounds.
There are also a number of overdub guitar solos on that album that we have done with just a Pignose amplifier. In fact, I have used a Pignose extensively on the last five albums. It's a very reliable sound source for the studio. It take very little time to set up and you know what the tone is going to be. We've put the Pignose in a "live" chamber to simulate "live" sound and to get a really large sound. Instead of just mixing it and sending the mic signal into the echo chamber, you can get a completely different effect by actually having the amplifier in the chamber, and sending the guitar through the echo send into the Pignose and picking it up with the
Audio-Technica announces a creative new start toward better sound.
Every "live" recording has an excitement all its own. You must capture sound that will never be heard exactly the same again. And in some cases the recording is literally a once-in-a-lifetime chance. With no opportunity to remake the tape or disc.
Your creativity, your knowledge and experience are on the line. Now is when you appreciate the precision of Audio-Technica microphones. Performance is consistent. With results that help you extend your personal standards.
Audio-Technica gives you a choice of superb new electret condenser or moving coil dynamic microphones. A choice of omnidirectional or cardioid (unidirectional) pickup patterns. With smooth, extended response that complements the finest recorders. Audio-Technica microphones look, sound, and act very, very professional.
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AUDIO-TECHNICA U.S., INC., Dept. 38MR, 33 Shiawassee Avenue, Fairlawn, Ohio 44313 • In Canada: Superior Electronics, Inc.
microphone in the chamber room.
MR: Listening to your albums I get a feeling of strong positioning [in the stereo spectrum]. How do you avoid leakage from channel to channel?
FZ: Lots of times if they set the crossover on the disc cutter at too high frequencies, the result will almost be like mono. So you try to avoid using high frequencies as much as possible. This helps your stereo spread.
I have recorded drums two different ways. Most of the drums' actions are from tom-tom passes. If you record each tom-tom mic individually, instead of an artificial panning situation you'll get a certain type of movement. In some songs that movement can be a little bit too harsh, so I use a C-24 overhead and I'll get natural stereo spread.
One way that you can give the illusion of the stereo spread being wider than it actually is is to set it [the spread] up at the intro of a song. I'm going to try this, by the way. On my next album the drums have a certain type of stereo action throughout. You set them in the middle of the spectrum and if the guy [drummer] is going to cross, the tom-tom is still going to pan. As soon as the rest of the band comes in, you can do other things, like setting them a little bit further out from the mid. Then when everything comes in full blast, you bring in two pieces of information—like mono tracks—exactly left and right, and then for a period the whole stereo spectrum just spreads out.
Another way to make things sound wider than they are is by taking an instrument like the marimba, a scale-type source—physically a long instrument—and putting two C-37s looking down, as far as you can, to cover the instrument's keyboard. When the musician plays most of the information right underneath the mics, all he's got is one note on the top and one note on the bottom and suddenly you find out how big that instrument is. And it's a really great effect.
A very nice effect I've used that won't be coming out until the next album is to have vibes and marimba—a mono track of each—playing notes that are rolled, put the tracks just slightly in from left to right and double each of those tracks. There are some mono tracks of woodblocks playing the melody, so the woodblocks match up exactly on each stroke of the vibes and marimba and give us a rattling texture that's great, especially in earphones. It's fantastic.
MR: During mixing, for playback, do you use the reference tones exactly as they naturally exist, or do you change the top and the low ends?
FZ: One thing that I've been discovering since I've got the new Ampex tape recorder is how much difference there is in the quality of the playback—as far as playing around with the recording reference tones. For example, people usually set the tape up to the tones exactly right and then what they do is play with the equalizers in order to get some top end out of it. However, if you take your top end reference tones and set them 2 dB hotter it's fantastic. You let the machine work for you and you don't have to incorporate the additional noise of any outboard EQ in order to get that extra brilliance. Although, some of that eventually is going to be buffed away when they make the disc. You might even tweak the low end a half dB, and leave the middle where it is.
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Deciding on a Mixer
The variety of mixing systems on the market makes it difficult to judge which is best for you. Features blend together forming a mirage of switches, controls and pots; all looking alike. Therefore, we've come up with the sound artist's guide to mixing buys. It will give you independence when it comes to buying a mixer. The following is an abbreviated version of the guide, which you can send for free of charge. We hope it serves you well and would appreciate hearing from you.
The Sound Artist's Guide to Mixing Buys
What is a sound artist? We've come to realize the existence of a new category of performer. This is the person who creates, through the use of various tools, a sound that appeals to the audience, therefore the sound artist. How well the information communicates is left to the talented ears of this individual, and the manner in which these tools are utilized. The sound artist, with today's technology, has become an instrumental part of the performance.
Mixer is the Basic Tool
The basic tool of the sound artist is the mixing board; with it he can create a myriad of sounds from his fingertips. It not only has to sound good, but must be used easily, as well as having excellent specifications, but has to have just the right touch. For the person mixing relies upon his hands as much as he does his ears.
DESIGNED ON THE ROAD
It is for this reason that Uni-Sync, in designing the TROUPER Series is extremely innovative in the choice of front panel controls. Michael V. Ragsdale, president of Uni-Sync as well as chief designer of the TROUPER Series, has built several of the most of all operated sound systems prior to forming Uni-Sync. The TROUPER Series was designed on the road, the true proving ground of sound reinforcement equipment, from a practical viewpoint. For example, the use of slide index, as opposed to rotary pots was an extremely important decision based on ease of operation as well as visual and tactile indication of position. Rotary pots are hard to read under the dimly lit conditions of sound reinforcement, whereas a slide pot gives instantaneous recognition.
Live or Recording
One of the most important decisions to make is where your mixer will see the most use. Is it for "Home Studio" or to run live Line Level signals? You have different gain and level structures. In a studio, you are dealing with a controlled environment, but live sound is just that; live and wide open. To handle that kind of sound you need to have a mixer that is specifically designed for that purpose. This is the TROUPER Series, designed and built for the road or permanent installation for mixing live sound...it is a live music mixing system.
Inputs You Can't Grow Out Of
Next on our list of important decisions, is to determine how many and what type of inputs you need. Mixers come in various configurations, application determines the need. The TROUPER I, for example, has on each channel: low Z balanced inputs, high Z inputs, and an in/out jack. This allows for maximum flexibility.
Now, how many inputs do you need? Most mixers come in fixed quantities; for example, six, twelve, or sixteen. Once you grow out of it, you have to buy a new board. Not so with the TROUPER Series. The basic mixer is a eight input/output configuration, while that is expandable through the addition of a ten input expander module, that simply plugs in. You never grow out of a TROUPER.
Mono or Stereo
The Mono/Stereo issue is one of the most controversial at hand today in the retail sales of mixers. Most installations are still being best handled in Mono. But many groups today, want the added flexibility of a Stereo board. We are presently introducing the TROUPER I Stereo, which is probably the most flexible and complete mixer on the market for its price. At $898 (suggested list), each channel features a house pan pot along with an echo pan pot enabling you to pan the echo to or away from the house signal. A little imagination can create some very interesting effects.
The decision for Mono or Stereo is based on budget and application. Practically speaking, Mono will satisfy most of your needs.
Build Yourself a Custom Board
If you had the freedom or ability to build a mixing board perfectly suited for your needs, what would you put in it, how big would it be? The TROUPER Series gives you this freedom at an affordable price. Our mixers are big boards in little packages, giving you the opportunity to custom design a system that is tailored for your specific needs. You build what you want, not what some one else thinks you need.
Dollars Per Input
An excellent way of determining the value of the mixing board being considered, is to divide the cost of the board by its total number of inputs. This gives you an objective analysis of the mixer, and by comparing and contrasting features per dollars, you can arrive at a decision. For instance, the mixer at $100 per input may have far greater features than the one at $85, and would be a more valuable purchase.
Send For Your Free Guide
That's the abbreviated version. If you'd like the complete guide fill out the attached coupon and send it in to us right now. You may want to get one of the free TROUPER Series goodies like T-shirts or director's chairs for a comfortable place to mix from. We're looking forward to hearing from you.
Thanks,
Larry Jaffe
Marketing Manager
4-4-4, 4-3-4 or 4-2-4
No, those aren’t safe combinations! They are abbreviations for the various methods of broadcasting 4-channel sound over FM. To paraphrase the great American humorist, Mark Twain—"Reports of the death of quadraphonic sound are very much exaggerated." True, in the last year or so there have been singularly few 4-channel records released in any of the once popular formats (CD-4 discrete, SQ matrix or QS matrix) and, if you walk into an audio shop these days asking for a quadraphonic receiver or amplifier the salesman will probably look at you as if you are out of your mind. But there are things happening behind the scenes—important things which could have a profound effect upon the recording industry, the broadcast industry and all of our relationship to those industries. First, a bit of background information.
Way back in May, 1972 the Electronics Industry Association (EIA) formed a committee known as NQRC (National Quadraphonic Radio Committee) for the purpose of evaluating and field testing various proposed systems that would permit discrete broadcasting of four program channels over a single FM station. Five systems were evaluated and field tested and the report of the committee was submitted to the FCC in late 1975. All of the systems are somewhat similar in that they all require additional sub-carriers, over and above the single 38-kHz carrier now used in conjunction with stereophonic FM broadcasting. All of them provide for compatibility for stereo as well as mono listeners. In other words, the four channels of programming are mixed together in such a way that a mono listener hears all four, mixed together, over his or her mono FM set while a stereo listener, equipped with a present-day stereo tuner or receiver, hears the left-front plus left-back signals out of the left front speaker and the right-front plus right-back signals mixed together out of the right-front speaker in a stereo array. Such compatible systems are given the general name of 4-4-4 systems, because the four signals are added and subtracted to each other to create four new mixed signals, which are then broadcast in four-signal form (using one of the proposed multi-subcarrier techniques) and then, at the receiving end, they are unscrambled into the four original signals for reproduction over the four loudspeakers of a quadraphonic setup.
One of the systems proposed also makes provision for an alternate, 4-3-4 approach. In that system (an alternate proposed by RCA), separation from any channel to any other turns out to be around 10 dB (better than simple "matrix" separation that doesn’t use logic enhancement circuitry but not as good as "fully discrete" 4-4-4 systems). This alternate proposal has the advantage that presently transmitted SCA (background music, private subscriber services transmitted over a 67 kHz sub-carrier and not heard on home receivers) doesn’t have to be moved to a new sub-carrier frequency. So much for the discrete and semi-discrete four-channel broadcast systems.
Now, as you may know, it is also possible to broadcast matrix-encoded discs over the air right now—with no FM rule changes at all. Since a matrix disc (be it SQ, QS or any other kind of matrix) is already "encoded" into a two-channel format all a station has to do is play it over the air, and if you, as a listener, are equipped with a proper decoder (for that particular matrix system) and the necessary extra stereo amplifier and speakers you can listen to the program in four-channel form. But, as we shall see in a minute, this is where a hitch comes in. If you have a super-sophisticated decoder (and some really good ones for SQ and QS have been developed) you will hear 4-channel sound that is virtually indistinguishable from its discrete counterpart. If, however, you use a minimal-type of matrix decoder, the quadraphonic reproduction will lack separation and proper imaging and will be less than terrific.
The Problem
Now, some time ago, CBS petitioned the FCC to issue standards for 4-2-4 broadcasting (you can now figure out how that abbreviation comes about) which would center around their SQ matrix system, excluding any other possible matrix approach and, for the moment, excluding any need for a discrete 4-4-4 broadcast system. Since the FCC really had no extensive information regarding the subjective merits of 4-4-4 versus 4-2-4 (from a listener's point of view) they put together a test program to gather just such information. Some thirty-two listeners from various backgrounds were subjected to many comparison tests (using the same material for each version of the tests) of 4-4-4, 4-3-4 and 4-2-4 matrix systems.
The results of these tests were made known in August of 1977. Indeed, discrete 4-channel (played from 4-channel tapes in this case, since the issue was not whether they could be broadcast but how they sounded compared to matrix systems) won out by a slim margin, but of all the matrix systems tested, the SQ system (by CBS) was highly favored. It should be pointed out that the matrix boys used their very best available and most sophisticated logic-decoders for these listening tests as they might have been expected to do. So, in the opinion of CBS, the results supported their argument that no discrete system (4-4-4) of FM broadcasting is needed at this time and that the status quo should be maintained, since SQ records can already be broadcast (and often are) over FM. What this means is that the FCC is being asked to endorse one particular matrix system, to the exclusion of all others. Interestingly, at the present time any matrix disc can be played over stereo FM, but CBS feels that if more than one system is used, consumers will stay away from the whole 4-channel hardware scene because of the confusion that this raises. That's an argument that I can't disagree with, on the surface. But what I do believe is that there is a much better solution which, at first, seems to exclude matrixing but which in fact does nothing of the kind.
We Need a 4-4-4 Standard!
Here's my reasoning. If the FCC were to now approve a 4-4-4 system (and I leave it up to them whether that should be the QSI, RCA, Cooper-UMX or Zenith proposed systems), the way would be left open for further technological improvements both in discrete and matrix source material. In addition, and this is most important, the public would not be penalized. Here's an example of what I mean. Suppose that a station likes a certain SQ disc, and wants to broadcast it in four channel. All they would have to do is buy a single super-terrific SQ decoder (like the one used in the FCC listening panel tests) and decode the disc right at the studio. The recovered four channels of the program would then be broadcast in decoded, discrete form, using the newly approved 4-4-4 standards that I am asking the FCC to approve.
The owner of a four-channel receiver or tuner (or the owners of stereo tuners who have connected 4-channel FM decoders which are sure to appear on the market once a system is approved) would not have to buy any matrix decoder—minimal or logic-enhanced. Such listeners would hear a decoded version of the SQ disc directly off the air and, since the station needs to buy only one matrix decoder they could afford to buy the very best one available for that SQ disc. Furthermore, if next year you or I (or anyone else) invents a new matrix system that is clearly superior to SQ, QS or you-name-it, the station could, with the aid of an appropriate decoder or dematrixer, play discs made in accordance with that new matrix system as well. It would then be the public that would decide which matrix system (if any) is superior and the winner would find people buying records made in that format. Ultimately, a single matrix format would emerge—a desirable outcome which, if it had occurred a few years ago might have resulted in the further acceptance of 4-channel sound instead of its premature "death."
On the other hand, stations could also broadcast discrete 4-channel tapes produced either in-house or passed along from one producer to another. For these, they would need no decoder at all and no encoder either, since, with a 4-4-4 system any and all 4-program sources, whatever their nature, could be broadcast directly. If CD-4 records of better quality are revived, they too could be first decoded using a CD-4 demodulator at the station and would be received in full 4-channel format by listeners equipped with a proper 4-channel tuner or receiver. Stereo listeners would still get a proper stereo fold-down and so would mono listeners, as previously explained. Thus, no one is forced to go out and buy anything if they don't want to, but all the options are left open for the future.
As far as the record industry is concerned, they would not be "locked-in" to any particular type of record, matrix or otherwise and would be free to explore and experiment with whatever new record formats appear in the future. If the FCC acquiesced to CBS's current petition, we would see only two kinds of records in the future—regular stereo records and SQ encoded records, since you can be certain that all record manufacturers would want to make sure that their releases can be legally broadcast over the air. It seems to me that placing such technological restrictions on the record industry is not properly the province or function of the FCC.
I hate to bring up an old sore point, but those of us who remember what went on when the FCC was considering the establishment of new stereo broadcast standards in the late 1950s and early 1960s remember only too well that, for reasons which I feel have never really been justified, we were given a stereo broadcast system which can be up to 20 dB noisier than monophonic FM and one which is particularly susceptible to multipath distortion. We could have had a much better system—one of the ones proposed at the time, but that, of course, is water over the dam. Let's hope that this time the FCC does not act too hastily. A proper decision in favor of 4-4-4 could prove a boon to the record industry—and that means all of it—the SQ folks, the QS folks, the CD-4 people and the as yet unheard from disc formats of the future.
Technics RS-9900US
Cassette Recorder
General Description: The Technics RS-9900 is a two-piece cassette recorder, the transport being housed in one unit and the amplifier in another. The two units may be stacked, placed side by side or rack-mounted. Interconnection is made via two multi-pin cables supplied.
Besides being designed in this unusual way, the 9900 offers some interesting features, highlights of which are a closed-loop, 3-motor, double-capstan transport with direct-drive motor; full three-head complement (erase, record and play); logic control of transport functions; a pitch control for varying tape speed in playback; a tape-time meter that shows remaining program time. The recorder also includes a complete Dolby-B system with calibration adjustments; bias and EQ adjustments; azimuth adjustment; input mixing; sound-on-sound; memory-controlled play and rewind. Recording and playback with an external timer is possible, as is the use of a remote-control device available as an optional accessory. The VU meters are peak-reading. The 9900 also identifies CrO₂ cassettes automatically and adjusts its circuitry accordingly when one is used and the power is turned on.
The main power switch is on the transport unit's front panel. The cassette door swings down to open and the cassette is inserted more or less horizontally. You can then view the cassette in the illuminated compartment both fore and aft—in addition to looking at it directly, you can see a reverse image of it in a mirror. The time and memory switches are on this panel, as are the pitch control and the tape-time meter. In addition to this novel indicator there's the usual tape index counter and reset button. Transport controls are "feather-touch" buttons for the usual functions. Fast-buttoning is possible except for going into the record mode which requires using the stop button first. The cassette eject control works only when power is on. In the event of no power, there's a manual button inside the cassette compartment.
The front panel of the electronics unit contains numerous controls and adjustments. Switches in the top row handle tape/source monitor; mic attenuator;
tape selector (CrO₂, normal, FeCr); the built-in oscillator (400 Hz and 8 kHz signals); the Dolby system; and the multiplex filter. Below these controls are several more, behind a removable transparent cover. This group includes screwdriver adjustments for left- and right-channel play calibration; left- and right-channel record calibration; bias; and left- and right-channel EQ. Associated with the bias pot is a button to select either variable or preset bias.
**Fig. 1:** Technics RS-9900US: Record/play response at reference record level (upper trace) and −20 dB, using Mazell UD-XL™ tape.
Below this group are signal jacks, including a headphone output with its own level control, a stereo pair of mic jacks and stereo jacks for aux in and aux out signals.
The two VU meters occupy the upper right portion of the panel. They are peak-reading, calibrated from −40 to +5, with −8 marked in red and corresponding to the overload point of a standard VU scale (thus, the 0 dB mark on these meters would be +8 on a standard VU meter).
Below the meters are the level controls: one dual-concentric pair handles left- and right-channel mic/aux levels; another similar pair handles line input levels. Both pairs have rotatable rings that may be set to markings on a 0 to 10 scale for reference. The output level control is a single knob for both channels simultaneously; it is a stepped control with 2-dB increments from +8 to −26, and additional steps for −29, −34, −42 and “infinity.”
The rear panel of the transport unit contains a grounding post, the AC power cord, the remote-control accessory socket and the multi-pin sockets for linking to the amplifier unit. The rear panel of the amp contains corresponding multi-pin sockets, a stereo pair of line-input jacks and two sets of line-output jacks. There also is a stereo pair of “throughout” jacks which are paralleled with the line-input jacks to permit taking input signals before they are recorded. In this way, it is possible to split a source and feed it simultaneously into two recorders, or to feed the input while recording into some other device for special purposes (an oscilloscope, for instance).
Topside of the electronics unit are additional screwdriver adjustments for left- and right-channel FM calibration, and for left- and right-channel oscillator calibration. Also presented on the top surface is a block diagram of the machine showing signal paths, plus three graphs depicting bias characteristics, record EQ adjustments, and peak meter response.
The front panels of both units are slotted at the ends for rack installation, and are fitted with handles. Finish is matte black; lettering is subdued and somewhat small, requiring good lighting for visibility.
**Test Results:** While our tests confirmed or exceeded many of the published specs on the 9900, readers will note some areas that seem to disagree (e.g., harmonic distortion and signal-to-noise). This apparent discrepancy is due to the calibration of the 9900’s meters. Nominal reference level of 160 nanowebers/meter appears on these meters at −8 dB. Dolby calibration is at −5 dB. This is explained in the owner’s manual in terms of the meters being wide-range peak-reading types. Thus, if you are accustomed to pushing record levels up to and beyond the usual 0-dB mark when recording music, you can run into trouble with this machine as far as distortion and tape-saturation are concerned. All of the measurements shown in our “Vital Statistics” section take this fact into account, and the frequency response displays (Figs. 1, 2 and 3) were taken at the true reference level and at points −20 dB below that level rather than at the “0 dB” mark on the meters.
**Fig. 2:** Technics RS-9900US: Record/play response at reference record level (upper trace) and −20 dB, using Sony “DUAD” (FeCr) tape.
There is a great deal of flexibility built into this recorder which means that one should take more than usual care if its ultimate performance is to be realized. For instance, azimuth alignment of the record head seems absolutely essential every time you insert a new cassette into the machine, and with each reversal of tape direction when you flip the cassette over. While the built-in high-frequency signal does a fairly good job of allowing you to align the record head each time, the kind of frequency response reported in our lab measurements would probably be achieved more certainly with the use of an external test signal (preferably one at around 12 to 15 kHz).
The available adjustments provided for bias and EQ make it possible to optimize performance with virtually any high-grade cassette tape, but with so many controls available, we would advise staying with the factory-set fixed positions unless you do have auxiliary test equipment with which to truly tweak the vernier bias and EQ adjustments. Happily, with the tapes we used (TDK SA, Maxell UD-XLI and Sony
**General Info:** Transport unit dimensions are 19 inches wide; 7½ inches high; 14¾ inches deep. Weight is 33 pounds. Amplifier unit dimensions are: 19 inches wide; 6¾ inches deep. Weight is 19¾ pounds. Price, on both units as system, $1500. Owner's manual is complete and amply illustrated.
**Individual Comment by L.F.:** There seems to be no limit to what can be done with the cassette tape recording format if one is willing to spend the money for a superior cassette deck system such as this top-of-the-line model from Technics by Panasonic. As explained in our Test Results section, though, the more flexibility built into a cassette system, the more care the user must exercise to realize its full performance potential.
The obvious question that comes up in evaluating such a unit is: "Have the people at Technics engaged in a program of 'overkill' as far as cassette recording is concerned?" When one considers the fact that you can purchase an open-reel deck, such as Technics' own magnificent Model RS-1500US for the same suggested price as this two-piece rack-mountable cassette machine, one can only conclude that a purchaser of this latest cassette effort must have a pretty darn good reason for wanting to do so. For such a user, the 9900 probably will serve as a standard against which lesser cassette machines will be judged for quite some time to come.
**Individual Comment by N.E.:** My first encounter with this two-piece, rack-mountable, black-panel-with-handles-and-over-a-dozen-adjustmentsA. Probably as good as the best in cassette recorders.
Q. Come on now, be more specific. Is it better than the Nakamichi 1000?
A. I don't know. I think the Nakamichi holds frequency response to closer tolerances, ±2 dB rather than ±3 dB. The Technics has very slightly lower wow and flutter. How can one give a clear-cut verdict? Let's say that from our test results it appears that the 9900 is in the same super class as the Nakamichi.
Q. I'm going to pin you down yet. If you had to choose between them, which would you pick for your own use?
A. Maybe I'd toss a coin since I can find no way to document the clear-cut superiority of one over the other. (I like the Tandberg TCD-330, too, for that matter.) With all these machines you get a feeling of rock-solid stability of tape motion, and unrestricted audio response that combine to make cassettes sound fantastically good.
Q. Don't hedge. Choose between the Nakamichi and the Technics.
A. If you insist—on final balance, it seems that the Nakamichi takes less installation space and is somewhat easier to use and still get the same results.
Q. Maybe so. But that two-piece design appeals to me. It looks... well, professional. It has macho.
A. Exactly. Which brings us right back to where we started.
**TECHNICS MODEL RS9900US CASSETTE RECORDER: Vital Statistics**
| PERFORMANCE CHARACTERISTIC | MANUFACTURER'S SPEC | LAB MEASUREMENT |
|----------------------------|---------------------|-----------------|
| Frequency response, standard tape* | ± 3 dB, 25 Hz to 18 kHz | ± 3 dB, 24 Hz to 18.5 kHz |
| CrO₂ tape** | ± 3 dB, 25 Hz to 20 kHz | ± 3 dB, 25 Hz to 20 kHz |
| FeCr tape*** | N/A | ± 3 dB, 23 Hz to 22 kHz |
| Harmonic distortion at −3 VU (1 kHz) | NA/NA | 1.2%/1.4% |
| normal tape/CrO₂ | NA/NA | 1.3%/2.3% |
| Harmonic distortion at 0 VU (1 kHz) | NA/NA | 1.4% |
| normal tape/CrO₂ | NA/NA | +6 dB/+1 dB |
| Harmonic distortion at +3 VU (1 kHz) | NA/NA | 52.5 dB |
| normal tape/CrO₂ | NA/NA | 62.5 dB |
| Record level for max 3% THD, normal/CrO₂ | 57 dB | 52 dB |
| Signal-to-noise ratio, std tape, Dolby off | 67 dB | 61 dB |
| std tape, Dolby on | 67 dB | 61 dB |
| CrO₂ tape, Dolby off | 0.04% WRMS | 0.04% WRMS (0.05 unweighted) |
| CrO₂ tape, Dolby on | 70 seconds | 66 seconds |
| Wow and flutter | 0.25 mV | 0.23 mV |
| Fast-wind time, C-60 | 60 mV | 68 mV |
| Mic input sensitivity | 0.42 V | 1.0 V |
| Line input sensitivity | 0 to 900 mV, 8 to 125 ohms | 168 mV, 8 ohms |
| Line output level | 45 watts | 38 watts |
| Headphone output level | *Maxell UD XLI | **TDK SA | ***Sony Duad |
CIRCLE 20 ON READER SERVICE CARD
Morley Model EDL
Electrostatic Delay Line
General Description: The model EDL from Morley (a division of Tel-Ray Electronics) is said to be the only delay line in the world using an electrostatic memory system. It is intended for use with any amplified instrument or microphone, regardless of impedance. In conventional operation, the device is connected between microphone or instrument and an amplifier via its input and output jacks. Additionally, it may be used for generating "stereo or other effects" by splitting the signal using the regular output jack to one amplifier and a delay-out jack to another amplifier. Additional applications, including the use of a P.A. mixer or console that has an echo/send receive circuit, are described briefly in the instructions furnished with the unit.
Styled for being carried around, the Morley EDL is fitted into a black leather-like case with metal corner reinforcements, four small feet and a carrying handle. The front panel contains four signal jacks: input, direct out, delay out and output. These all are standard ¼-inch phone jacks. There also are four knob controls for input level, delay, repeat and delay level. At the rear there’s a jack for plugging in an optional foot switch, the unit’s AC power cord (which may be neatly wrapped around a metal holder) and the unit’s power off/on switch.
Although scarcely any “inside information” was supplied with our test sample, our curiosity as to how the device worked led us to remove the back cover which revealed a rotating flywheel driven by a belt from a high-speed motor. Just as it is possible to magnetize a tape loop with an audio signal and then retrieve that signal later in its travel (the distance between record and play heads determining the delay time of the signal), so it is possible to apply an electrostatic charge that varies in accordance with an applied voltage to a revolving storage medium. This may be thought of as one plate of a capacitor that is in motion. The varying charge then can be “read” some time later on the moving electrostatic loop. Ingenious, original and effective—and it sidesteps the drawbacks of a tape loop (such as the tape wearing out or breaking or getting jammed).
Test Results: Since Morley provides no specifications for the unit, there wasn’t much we could measure other than the range of time delay, and the distortion and response of the delayed output. We found that the amount of delay was adjustable from a bit over 10 milliseconds to about one-third of a second. The device also provides repeat-echo effects, from subtle “fading” ones to a complete runaway.
Measured distortion for the delayed output was fairly high—up to about 0.5 percent at mid-frequencies with moderate levels of input signal (under 0.5 volt or so). It also was noted that the frequency response of the delayed output began to roll off fairly soon, at above 2 kHz or so with moderate time delay dialed in, or even lower if you opt for the longest time delay. In an actual “live” performance, this probably will be of little concern since primary fidelity or good response will be heard from the direct sound. The delayed sound itself, of course, can be mixed with the direct sound or, alternatively, can be fed to the second channel of a stereo setup with the direct sound available from a separate output on the EDL.
The controls on the EDL were well-tapered, providing the kind of gradual control over delay and repeat that a performer will find easy to use. The input level control can handle a wide range of signal levels so that regardless of the kind of instrument pickup used, there should be no problem of overload.
General Info: Dimensions are 12 inches wide; 7½ inches high; 9 inches deep. Owner’s instructions somewhat minimal but adequate for use. Price: $299.95.
Joint Comment by N.E. and L.F.: A most unique device, the Morley EDL does its intended job. It provides a bona-fide delay, albeit it does so in a manner unlike any similar device we have yet encountered. The few measurement-tests we made on it indicate a competently-operating device, and its controls and signal jacks are adequate for the various applications possible with this product which also, by the way, could include introducing delay in a playback system.
MORLEY EDL ELECTROSTATIC DELAY LINE: Vital Statistics
(No manufacturer's specs are furnished)
PERFORMANCE CHARACTERISTIC
| Delay time | Adjustable, c. 10 msec. to c. 330 msec. |
| Repeat echo | available |
| Distortion, delayed output | c. 0.5%, mid-frequencies, for input of c. 0.5-volt |
| Response, delayed output | Rolloff above 2 kHz (see text) |
CIRCLE 21 ON READER SERVICE CARD
SAE Model 2800 Parametric Equalizer
General Description: SAE’s model 2800 offers parametric equalization for four bands on each of two channels. The bands are designated as low, low-mid, high-mid and high (frequencies). Each band is adjustable by three sliders that move horizontally. One slider handles signal level (markings indicate from -16 to +16 dB). Another slider chooses the frequency. The indicated markings for the four bands, respectively, are: 10 Hz to 320 Hz; 40 Hz to 1.2 kHz; 240 Hz to 7.6 kHz; and 1.2 kHz to 15 kHz. The third slider selects the bandwidth characteristic, designated visually as ranging from a very narrow peak to a relatively broad one. The “parametric” function of varying center frequency and bandwidth is thus provided within these four frequency segments.
In addition to these 24 sliders (12 per channel), there are two more sliders for output level on each channel (called here “line attenuate”). To the left at the bottom is the unit’s power off/on switch. Next to the power switch are three LEDs—one is a power-on indicator and the other two show overload for each channel. Grouped at the lower right are four more buttons that select and control the output format. With all four buttons left out, the model 2800 is bypassed and its outputs are not affected by EQ. Various combinations of pushing the buttons in permit selecting EQ or non/EQ signals at the main output and with or without affecting tape inputs and outputs.
All these controls and markings fill the front panel of the 2800 which is finished in black, with end-handles, and slotted for rack mounting. The rear contains stereo pairs of signal jacks (hi-fi pin types) for main in and out and for tape in and out. Also at the rear is the unit’s AC power cord and a fuse-holder. The SAE 2800 is intended for normal connection into the tape recorder inputs and outputs of a typical audio component system, such as the tape-monitor circuit. The tape recorder itself then is patched into the model 2800. The device may also be connected via its main in and out jacks to a separate preamp and power amp.
The 2800 may be installed in a rack, or fitted into a cutout (horizontally or vertically), or simply placed upright on its four feet. An optional walnut-sided cabinet also is available.
Intended uses of the 2800 include program material and room equalization and speaker correction.
Test Results: Lab measurements confirmed the generally excellent performance of the SAE 2800, while a good measure of its versatility may be understood by looking at the various 'scope photos of frequency sweeps we obtained in the lab. The superimposed sweeps in Fig. 1 show the maximum boost and cut range of the 'mid-hi' band, with its center frequency adjusted to the low end of its range and its bandwidth adjusted first for maximum width (gentle sloping curves of boost and cut), and then for narrowest bandwidth (or highest Q). Of course, any degree of boost, cut or bandwidth in between is obtainable via the level and/or bandwidth controls for each band.
In Fig. 2 the same set of controls (same band) was used—except this time the center frequency was shifted to its upper extreme. The reader should note what a large section of the audible spectrum can be handled by this single band.
As shown by these 'scope pictures, there is a good deal of overlap possible between adjacent bands, and it is this characteristic that enables the parametric equalizer to do things that are not possible with a conventional graphic equalizer. An example of this is shown in Fig. 3. Here, the "lo-mid" band control was adjusted for a center frequency of about 250 Hz, and the level control was set for a substantial boost—a situation not unlike that which might be employed by a listener who likes the upper bass tones to predominate. Such extreme boosting, however, could very likely cause any room-resonances in the bass region to become all the more objectionable. So, to further illustrate the point, we set the low-frequency band controls for a center frequency of about 60 Hz, reduced the bandwidth of this section to minimum (about 0.3 octave, nominally), and set the level control for a deep cut. As shown in Fig. 3 (upper trace), the overall rise in response at the upper bass is still there, but we have managed to "null" a specific and narrow group of frequencies right out of the system at the objectional resonant frequency.
Had the "standing waves" or other resonances been at a somewhat higher frequency (say, 200 Hz or so), moving the frequency control on the "low" band up to that frequency would provide the needed null at 200 Hz, while the overall, gentle rise in the bass region—introduced through the use of the adjacent band's controls—is still maintained, as in the lower trace of Fig. 3. In our view, this kind of equalization—possible with a parametric device such as the 2800—is beyond the ability of any conventional graphic equalizer.
General Info: Dimensions are 19 inches wide; 8¾ inches high; 3½ inches deep. For handles, add an additional 1½ inches to overall depth. Weight is 20 pounds. Price is $550. Owner's manual is complete and amply illustrated.
Individual Comment by L.F.: To quote from an informative "white paper" written by the people at SAE, "By offering control over not only the cut and boost (as in conventional graphics) but center frequency and bandwidth, the parametric (equalizer) can actually be tailored to the specific needs of the listener whether he wants to modify an individual fundamental or harmonic or broad band boost or cut. The parametric's key is its ability to exactly control and modify the signal as the listener wishes."
Syntax notwithstanding, that just about says it all for this or any other parametric equalizer. In the several years during which I have been experimenting with a variety of equalizers (parametric or graphic) I have always felt that for most applications and acoustic environments I really needed only two or at most three frequency segments worth of control. In my listening room (and using my particular ears) I usually need to modify some portion of the upper bass region (usually upwards), an upper mid-range area and, in cases where I am using speaker systems with less than superb high-end response, an occasional assist for the treble region. On rare occasions I may take issue with a recording engineer's particular ideas of EQ (whoever said that all discs are recorded strictly in accordance with RIAA characteristics omitted what
happens at the studio console, for sure) and want to "fix up" what to me sounds like an unbalanced program. But even that "fixing up" requires modification of only one or two relatively narrow portions of the audio spectrum.
The problem, of course, has always been that no two situations require exactly the same center-frequency points of compensation, nor are the bandwidths requiring correction ever the same from one situation to the next. Graphic equalizer proponents solve this problem by giving the user as many individual band controls as possible. With third-octave equalization and with each control operating over a relatively narrow bandwidth (or possessing a high enough Q) it becomes possible to create an almost infinite variety of overall response curves. Multiple use of adjacent controls provide smooth, more gentle curves while use of specific narrow-band controls is effective in removing unwanted resonances in the listening room or those caused by other components in the system.
If you go along with the idea that only a few areas in the spectrum ever really need EQ in any given situation, then the parametric equalizer, though equipped in the case of the SAE 2800 with only four separate bands of control, can do as effective a job of overall tonal compensation as can those twenty-plus control jobs known as graphic equalizers. It's possible that they can even do a better job.
The important thing about any equalizer (as far as we are concerned) is that it not introduce added noise or distortion when inserted in the signal chain. These requirements are met more than adequately by the SAE 2800, as evidenced by the excellent measurements shown in our table of Vital Statistics.
As to the versatility of this particular unit, at least some of that versatility will be understood when you examine the various 'scope photos of frequency sweeps which we obtained during our lab tests of our sample 2800, as explained in the Test Results section. Try doing that with any conventional graphic equalizer you know of!
To summarize, different people use equalizers for different purposes and no one can argue the merits or demerits of a person's sonic taste. If you are faced with
**Fig. 3**
EQ problems similar to those we have illustrated (or any others) chances are a parametric equalizer such as SAE's new 2800—even with only four bands of control—will be able to handle them. Considering the sophistication of the circuitry, accuracy of calibration and response, low distortion and excellent signal-to-noise ratio of this model, the serious audio enthusiast or recordist shouldn't find the price of the 2800 too hard to handle, either.
**Individual Comment by N.E.:** While the SAE 2800 probably can be used in some of the more "workhorse" type of applications associated with equalizers, it seems to me the kind of device that would be favored primarily by a very critical music listener who wishes to bring program material, playback system (and/or tape recorder) and listening room into some kind of meaningful togetherness, acoustically speaking. The four bandwidths and their frequency ranges seem to have been chosen on the basis of their relationship to musical tonal-spectrum structure, and to fundamentals and harmonic overtones, in terms of their interrelationships and their influence on instrument and ensemble balance. In this sense, the device stands as a "living example" of the close ties between technology and art, which makes me rather happy.
**SAE MODEL 2800 PARAMETRIC EQUALIZER: Vital Statistics**
| PERFORMANCE CHARACTERISTIC | MANUFACTURER'S SPEC | LAB MEASUREMENT |
|----------------------------|---------------------|-----------------|
| Frequency response | ± 0.25 dB, 20 Hz to 20 kHz | ± 0.2 dB, 20 Hz to 20 kHz |
| THD (20 Hz to 20 kHz) | <0.2% | 0.007% at 1 kHz |
| | | 0.025% at 20 Hz |
| | | 0.017% at 20 kHz |
| IM distortion | <0.02% | 0.0035% |
| S/N ratio | 100 dB | 92 dB below 2.5 V out |
| Rated output | 2.5 V RMS | (used as reference level) |
| Output at clipping | 9 V (10 K ohm load; + 14 dBm) | 9.5 V |
| Input impedance | 100 K ohm | confirmed |
| Output source impedance | 500 ohms | confirmed |
| Insertion loss (controls centered) | < 1.0 dB | 0.7 dB |
| Power consumption | 20 watts | 18 watts |
CIRCLE 22 ON READER SERVICE CARD
Aphex Aural Exciter
By Jim Ford and Brian Roth
We had heard all sorts of tales and rumors concerning a new audio signal-processing device called the Aphex Aural Exciter. It was reported to significantly improve the sound quality of practically any source by making the sound "brighter, clearer and punchier."
It was a natural reaction (we felt) to laugh at these original whisperings. After all, there isn't any audio processing that hasn't been done before. Or . . . , was there something new under the sun?
Finally, toward the end of last year, two trade journals (including Modern Recording in the October 1977 issue) gave some concrete information, although it seemed that the articles raised more questions than they answered. Our curiosity, needless to say, was working overtime now!
Then came the call from the Editor of Modern Recording. He informed us that the magazine had arranged for us to check out this mysterious device.
We contacted Marvin Caesar at Aphex Systems. When asked exactly what the Aphex did, Marvin described its effect as making the sound brighter, clearer, etc., etc.,—pretty much what we had already heard. Marvin went on to emphasize that the unit wasn't an equalizer, or some type of gimmick. He explained that the processing involved frequency response and phase manipulation as well as harmonic modification. Marvin pointed out that the unit is interfaced into a recording or sound reinforcement mixer via the echo send and receive circuits rather than being inserted directly into the signal path as a limiter or equalizer would be (although the Aphex does include front panel mixing controls to allow operation without a mixing console). Thus, the echo send pots are used to selectively "add Aphex" just as these pots can be used to vary reverb intensity.
Marvin said that Aphex is most effective on low distortion acoustical material—strings, piano, acoustic guitar, vocals, and so forth. The Aphex had the unfortunate side effect of making noisy program sources noisier and distorted signals dirtier. However, with quality signals, Aphex would restore the brilliance and clarity that the microphones, mixing equipment, recorders, loudspeakers and all the rest of the equipment in the chain had removed.
Well, we had to hear it to even think about believing it. Consequently, Marvin made arrangements for us to audition the unit with its inventor, Kurt Knoppel, present to demonstrate it.
It is not our policy to have the manufacturer of a piece of equipment under evaluation looking over our shoulder as we test, but in this case we decided that it was a satisfactory arrangement. Additionally, at that time, there was much more demand than Aphex units
controls. Soon, his grin diminished. The MCI equalizer could not make the piano track sound the same as it had with Aphex processing.
Now Kurt was smiling. "I have a standing offer of $100 to anyone that can duplicate the sound of Aphex," he stated.
Randy muttered, "Let's try the ITI Parametric Equalizer," referring to his favorite outboard unit in the equipment rack next to the console. It was soon apparent that even the ITI, with all of its flexibility, couldn't come close.
Now, all of the spectators in the room began to become excited. Gary, a jingle writer and producer, loaded one of his masters onto the multi-track. He experimented with various tracks and making statements like: "Great," "Fantastic." We listened closely ourselves and found that we too were pleased by the results. Aphex did indeed improve the recorded tracks.
Kurt gave a number of suggestions concerning operation of the Aphex, and showed us via the device's meters that the Aphex "subcarrier" (as he calls the output signal from the device) was considerably below that of the unprocessed signal to which it was being added. The console VU meters confirmed this fact.
"Since the Aphex level is so far below that of the dry signal, there is no danger of excessive program levels when Aphex is added. It only takes a small amount," Kurt pointed out.
Finally, it was time for other business at the studio, and we prepared to depart. By this time, Randy had become quite interested in the Aphex and arranged to keep in touch with Kurt.
Before we left, Alan, who was completing an album project, made arrangements for Kurt and us to return later that evening so that the Aphex could be used on his mixdown.
That done, Kurt left the Aphex for us to check on the test bench while he checked into his hotel. We took the unit and returned to our shop.
The first test we did was frequency response and we found that Aphex exhibits a shelving-type response that reaches its maximum point at about 20 kHz and drops at a rate of around 4 dB per octave below that. Around 2 kHz, the roll-off steepened as the effect of the device's 500 Hz, 12 dB per octave filter came into play. This measured response shape correlated with what we had heard at the studio.
The next check was output noise, and it was no higher than -80 dBm (unweighted, 20 Hz - 20 kHz) on either channel. This confirmed the listening test results of low noise contribution from the Aphex.
By this time, Kurt had returned. Unfortunately, time was growing short due to the studio engagement, so we didn't have time to do any type of harmonic distortion analysis. However, we did note some slight asymmetry in the sine wave display on the oscilloscope.
which would indicate the Aphex was generating some low-ordered harmonics. Also, when adjusted for normal operating level as indicated by the illumination of a front panel LED, the Aphex clipped the sine wave asymmetrically, but in a "soft" fashion like a vacuum-tube amplifier. This, plus the high frequency boost, should be the main reasons for the device's sound characteristics.
Before we left the shop, we examined the interior of the Aural Exciter. The construction method utilized a motherboard almost the width and depth of the unit, and small circuit boards plugged into sockets on the motherboard. Parts quality was adequate, but construction quality left something to be desired. Kurt quickly stated that this model was from the first limited production run and future models would be improved. Later conversations with Marvin Caesar revealed that he himself may have been the circuit card "stuffer" (Marvin's background is in real estate and accounting), and that that duty had since been given to someone experienced in soldering. So, it appears that this situation won't apply to current units.
Due to the fact that the unit is leased from Aphex Systems, we quizzed Kurt about getting repairs should they be necessary. He indicated that since almost all the circuitry is on the plug-in cards, it is a simple matter to contact the factory with a description of the problem and they would dispatch the necessary card without charge. This eased our minds since, due to the unit's patent status, there are no published schematics (and the fact that the actual Aphex "generator" is sealed in an epoxy cube).
After a stop for dinner (where Kurt discussed his accidental discovery of Aphex when he miswired a stereo amplifier kit), we returned to the studio for the mixdown session. We "left the driving" pretty much up to Alan so we could sit back and listen to the results. Occasionally, we reached over to the console to mute the Aphex returns to compare the program with and without processing. In all cases, the signal quality seemed markedly improved with Aphex.
Alan also experimented with the stereo placement aspects of the unit. Since Aphex is a dual channel, it is possible to spatially dislocate the "subcarrier" from the main signal. Thus, the user can pan the dry audio to one side and Aphex to the other. This created some interesting results—an apparent widening of the signal's image in the stereo field.
Finally, in the not-so-wee hours of the next morning, the exhausted group decided to call it a night (day?). All seemed happy with the results of the mixdown.
Kurt and his black box departed later that Saturday. A few days later, we listened back to the mix at our shop and compared it with another mix—done earlier without Aphex. The second master did seem to be brighter and more distinctive. In fact, there may have been a bit too much of the Aphex, but this didn't appear to be as bad as having, say, too much reverb or excessive flanging or other effects.
**Conclusions:** During the first experiments we did at the studio, we ran the two-track recorder so we would have a tape of various sound sources with and without Aphex in a direct "A-B" fashion. We have practically worn the oxide off the tape playing it for ourselves as well as for colleagues.
The immediate reaction of the majority of listeners has been: "Treble boost!" A nice treble, but a boost nonetheless. Naturally, these listeners weren't present to actually use the Aural Exciter. However, if some were to ask us what the Aphex did, we certainly would have to say that the high end boost is the most apparent effect.
The reason for the console and outboard parametric equalizers' inabilitys in duplicating the sound is partially explained by two facts. First, the two other equalizers more than likely had totally different frequency response curves (when in the treble boost mode) than the Aphex. This obviously would create audibly different results. Second, the Aphex is interfaced as a send and receive processor and *not* as an in-line processor as is the normal practice for inserting equalizers and the like.
This last fact prompted us to try patching an equalizer into the send/return loop on a console to see what would happen. The effect is somewhat similar to the Aphex results. The available equalizers did not have the same response curve as the Aural Exciter so the results couldn't be expected to sound the same.
Of course, the Aphex also introduces phase shifts (more than likely a side-effect of the response curve) plus some low-ordered harmonic products. These should also affect the final sound. The ability to pan the Aphex signal to a different location than the dry signal is another advantage of this type processing.
We pondered the fact that the VU meters showed the Aphex "subcarrier" to be much weaker than the main signal. This can be attributed in part to the lack of any low-frequency energy in the Aphex's output. This will cause the meters to indicate a low reading although the actual high-frequency level could be fairly strong. This metering phenomenon was partially duplicated during our experiments with an equalizer in the send/return path.
We all should know that adding treble energy to a program will enhance its apparent quality. Try setting up a stereo system with a *moderate* amount of treble boost. Put on a record, and ask a friend to listen (don't let him see the tone control settings). After a few minutes, set the tone to flat. Nine times out of ten, he will prefer the treble boosted sound.
As we have emphasized, the Aphex does give some different results from a simple treble boost. We feel that it will be up to the user to determine whether or not the effect is satisfactory in his or her application. If you do like the sound, you will be in good company since it seems the entire West Coast recording community has flipped over it. Listen to the unit yourself and then decide.
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BOB MARLEY AND THE WAILERS: *Exodus*. [Bob Marley and the Wailers, producers; Karl Pitterson, Guy Bidmead, Terry Barham, engineers; no studio credited.] Island ILPS 9498.
Performance: Honest
Recording: Flawed
If it weren’t for Island Records, the United States might never have been introduced to Reggae, a viable and creative musical form. The significance of this really hit home when I was informed on the Q.T. by several different record company executives that their respective labels planned to drop their reggae acts due to poor sales. I’m not surprised, for, in general, reggae gets little airplay. There isn’t too much you can do to the music to make it more commercial either, although a few reggae “hard cores” have told me that they feel that *Exodus* shows Marley & Company in a somewhat commercial light. It may well be that this LP is the most commercial of all his albums thanks to occasional back up horns (compressed and placed so far down in the mix that they have no impact on the song) or slightly commercial lyrics like those on “Waiting In Vain.” However, reggae is essentially a religious/political hybrid of music and there are a sufficient number of tunes to support this on the album.
The title track is one in particular. Lyrically it tells of the plight of Jah people (Marley’s people) which is the never-ending theme of reggae music. Track assignment begins with a scratchy electric guitar right and a comping clavinet left, flanking a dry acoustic piano which fills in the bottom octaves in the center of the mix. They are joined by terribly flat and compressed horns right and arpeggioed clavinet left. The lead vocals are centered and backed by a pounding bass. The song eventually builds to a finish with a growling Hammond and the backing vocals left, drums right of center and the acoustic piano far right in the background.
Other than the annoying horns and the overall feeling that the entire LP went through a compressor/limiter, the quality of the material is as high as ever. G.P.
PHOEBE SNOW: *Never Letting Go*. [Phil Ramone, producer; Jim Boyer, engineer; recorded at A&R Recording, New York City.] Columbia JC 34875.
Performance: Evocative and believable
Recording: Elocuently appropriate
Phoebe Snow has a subtle tinge of irony in her voice which makes her frequent lyrical role as the all-American hardluck girl loser that much more credible. A superb songwriter, she has learned to exploit both the range and nuances of her tones.
The best new Snow composition here is “The Middle of The Night,” in which the singer is a lonely soul who is destined to spend the wee hours loveless—at least until her crafty beau gives her a ring at some ghastly hour. Then...
sweet accommodation. "Electra" is another winner, a graphic account of the psychological traumas surrounding divorce.
As opposed to the usual folksy strum, accompaniment here rests with a whole slew of hired, jazz-oriented musicians. As always, the arrangements here are uniformly tight, ranging from the vibratto-inflected soul funk of "Love Makes A Woman" (a remake of a 1968 Barbara Acklin hit), to the quiet snappiness of Paul Simon's "Something So Right." All these players have achieved considerable recognition; try on for size the likes of Hugh McCracken, Ralph MacDonald, Grady Tate, Steve Gadd, Tony Levin,
PHOEBE SNOW: Simply superb
Bob James, and Phil Woods. Saxophonist Woods, who was rated tops on his instrument in a recent poll of jazz critics, plays a hauntingly lovely passage during the gentle "Never Letting Go."
The production is impeccable, ranging from the universally apt choice of musicians to the arrangements, which always seem to match the mood to a tee. What more could anyone ask? R.S.
GENTLE GIANT: The Missing Piece. [Gentle Giant, producer, Paul Northfield, engineer; recorded at Relight Studios, Hilvarenbeek, Hollard.] Capitol ST 11696.
Performance: Rejuvenated
Recording: New approach
This album marks a distinct change in the way Gentle Giant records. Prior to
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GENTLE GIANT: Closer to the vision
this album, the approach was the basic track by track method, with, for example, drummer John P. Weathers being asked to lay down a drum track to a song he’s never heard and is not finished. The obvious problem was getting five people excited about the same piece of music when they were recording each instrument separately. Their last album, a “live” release, enabled them to both buy time and evaluate their next move. Having never heard themselves “live,” except for bootlegs, they were quite pleased with the result. They stopped viewing recording and performing as two separate media. They also realized that “live,” the material came closest to the way each piece was envisioned originally, and more satisfactorily than any of the studio LPs. So, they began playing the new material on their last tour before it was recorded, allowing the material to be refined to the fullest degree. The result is the tightest studio album they’ve ever done.
The spontaneity and energy that was present on the “live” album but was all-too-often lacking in the studio is very present on this consistently fine album.
While there is no denying that *The Missing Piece* is intentionally more commercial than anything previous, it should not be interpreted as a rejection of their high artistic standards. Side 2 is basic Gentle Giant, with the material on Side 1 being shorter and more singles-oriented. The subtleties and classical influence is as present as ever and no longer comes across as an abrupt change in the flow since both the piece and the performance are now woven together into a natural state. The recording is straight ahead, with no use of studio gimmicks, just rock ‘n’ roll, Gentle Giant style. With luck, this LP will not go by unnoticed, for Gentle Giant is truly an exemplary band.
G.P.
STEELY DAN: *Aja*. [Gary Katz, producer; Roger Nichols, Elliot Scheiner, Bill Schnee, Al Schmitt, Lenise Bent, Ken Klinger, Linda Tyler, Ed Rack, Joe Bellamry, Ron Pongaliman, engineers; recorded at Village Recorders, West L.A.; Producer’s Workshop, Hollywood; Warner Bros., North Hollywood Recording Studio; ABC Recording Studio, L.A.; Sound Labs, Hollywood; A&R Studios, N.Y.C.] ABC AA 1006.
Performance: Genius at work
Recording: Superior
For my money, Steely Dan is the best American rock/pop recording entity. This album shows a fantastic blend of musical and production intellect, for it succeeds where practically all others who’ve made this type of effort have failed. First, the lyrics are as pertinent, exact and meaningful as always, but then Fagen/Becker have spoiled us over the years to the point where enlightening lyrics are expected, and are therefore taken for granted. Actually, Steely Dan lyrics are a great study in short story writing.
They’ve made a style change, embracing a jazz feel with such understated
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naturalness that you'd swear they've sounded like this all their career. That's the high point of distinction. Whereas nine out of ten acts end up sounding like someone else when they experiment with style, The Dan always sound like The Dan. They have a unique, easily distinguishable and immediately identifiable sound, and as yet I've never heard anyone succeed in sounding like them.
Gary Katz has performed a miracle by getting new life out of session regulars. I've heard most of these guys play on just about every record that comes out of Los Angeles, but not like this! Katz should win a Grammy if for no other reason than that. The problem I have as a reviewer is deciding which of these seven gems I want to single out. When in doubt, start at the beginning.
"Black Cow," like all the songs presented here, is a complex meshing of instruments. The discretion used and the ability to adhere to it is amazing. Starting off with a clean, ungimmicked electric guitar left, bass and crisp snare center, high-hat and clavinet right, the intro quickly gives way to Fagen's vocal at center. The gorgeous female chorus add background harmonies in full stereo, backing off on the guitar and clavinet and into a Rhodes for a few arpeggios. Second chorus brings in a horn section, also placed center, holding notes to build supportive chords behind the vocals. J. Pankow of Chicago could learn from Tom Scott's fine arrangements on this LP.
The solo is taken by the Rhodes, slightly vibratoed, center mixed. A sax solo then takes over, alternating with the re-emerged vocal, almost improvising between the two and playing off of the full horn section. Fade the whole thing out and five minutes and seven seconds have elapsed too quickly. It's been said that the best jokes are the shortest lived, and some of that truth applies to Steely Dan, for no Dan tune ever evolves into an unwieldy jam. Each bone of framework is well placed with nothing either left over or to chance.
It matters not that we've been waiting a year for a new Steely Dan release. What does matter is that it's arrived and is again beyond everyone's expectations.
G.P.
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ERIC GALE: Ginseng Woman. [Bob James, Joe Jorgensen, producers; Joe Jorgensen, Don Pulse, engineers; recorded at Mediasound and Columbia Recording Studios, New York.] Columbia PC 34421.
Performance: Boring
Recording: Clean, but then so is blank tape
In what I'm sure was a move to counter Warner Bros.' pop-jazz moves, Columbia signed Bob James to a producing
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TWO REMARKABLE, IF UNSUNG, ORIGINALS
By Nat Hentoff
Booker Little was only 19 when I first heard him with Max Roach. A quick and flexible trumpet player, clearly fond of Clifford Brown, Booker was moving away from bop and into freer improvisation with longer lines. He also had a devout belief that if your imagination is sufficiently resourceful, there can be no such thing as a “wrong” note. During the last two years of his life—1960-61—we worked together on dates I produced for Candid. He was a sideman on several; and on Out Front (which is about to be reissued on Janus), Booker was leader-composer-arranger. His writing was even more distinctive than his playing—each horn having a strong, independent line that sinuously intertwined with all the others to form a rich though subtle mosaic.
He was 23 at that point, and he had already accomplished so much that it was obvious Booker would be a seminal jazz force. But in October, 1961, Booker died of uremia, and since then he has been largely forgotten by all but musicians and a few lay aficionados. Until now. Not only will Out Front astonish recent listeners to jazz with Booker’s lyrical power; but the very last session he ever made has also been resurrected, with good sound, by Bethlehem under the title, Victory and Sorrow.
All but one of the compositions are by Little and they reveal that he was growing until the very end. Both as player and arranger-composer, Booker was continually searching for new forms that would accommodate what can best be described as his penchant for thoughtful feeling. He certainly had the “cry” of jazz, his feelings were very intense, but he had many deeply reflective things he wanted to say with those feelings. And so, as in this album, Booker kept subtly stretching the language of jazz to etch moods and tell stories that challenged the minds as well as the emotions of his listeners. This is more than music to groove by, though you can do that too. It probes at you relentlessly, and makes you bring to it your own experiences and ambivalences, including some that may have long been hidden.
Little at least achieved some recognition during his awfully brief career, but Herbie Nichols—who died at 44 in 1963—was hardly known at all. A friend of Thelonious Monk, who encouraged him, Nichols was a pianist of rare melodic freshness, and his rhythms were always inextricably integrated with his harmonies and melody lines. That is, he did more than swing—although he certainly did that too.
Yet Herbie Nichols was able to record only three albums under his own name, and one of them, Love, Gloom, Cash, Love is fortunately now available again on Bethlehem with the new title, Herbie Nichols. Seven of the ten compositions are his, and as is the case of Booker Little, they establish the unmistakable presence of an authentic jazz original. On this competently recorded trio date, Nichols is attentively served by bassist George Duvivier and that long-time Mingus percussionist, Danny Richmond, who understood how vital to Nichols was a drummer who could draw a spectrum of colors from his instrument as well as keep time.
Herbie Nichols was also a great poet, but nobody paid much attention to those works either. Now, finally, at least his music is being really heard, though too late for Herbie.
BOOKER LITTLE: Victory and Sorrow. [Teddy Charles, producer, no information on engineer or recording studios.] Bethlehem BCP-6034.
HERBIE NICHOLS: Herbie Nichols. [Lee Kraft, producer, no information on engineer or recording studios.] Bethlehem BCP-6028.
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By Robert Angus
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contract and gave Eric Gale a solo album. To date the only notable project of James' has been co-producing Kenny Loggins, Come Celebrate Me Home with Phil Ramone, and he obviously hasn't learned much from the experience. Gale, on the other hand, has done nothing memorable to date, and doesn't begin here. The story is the same as when he was a member of Stuff and on his previous solo mistake: most session musicians make terrible solo artists. This LP is leaderless. To let you know Gale's the featured artist, Jorgensen pumps him up in the mix, but who wants to hear a guy compete with a horn, rhythm and vocal section?
Smokey Robinson once told me that in the early two-track days of Motown, there'd be up to thirty-two musicians and singers recording in the studio at once, with the engineer recording and mixing simultaneously. I can't recall one Motown record sounding overworked. Forty musicians and singers appear here and the overall feeling is that the listener is forced to turn the wrong way up a one-way street. This album is too crowded! Voices are only used to sing one line song titles in the chorus—original, eh? Everything less than an eighth note has been thrown out and everything that's left is rather expressionless. There is just no life in the music. The only thing that I learned from this album was the proper spelling of ginseng, and how often can I use that?
G.P.
BILLY COBHAM: Magic. [Billy Cobham, producer; Dennis Mackay, engineer; recorded at Electric Lady Recording Studios, New York City, N.Y., and Manta Sound, Toronto, Canada.] Columbia JC 34939.
Performance: Aimless
Recording: Functionally adept
What is the purpose of a Billy Cobham album? While gymnastic, his drumming is imprecise; he trips over the basic changes while pulling off some difficult ones. His crew of backup help also contributes little to the proceedings, leaving the impression that their's is only a contract fulfilling exercise.
The material here ranges from dull to annoying. During "On A Magic Carpet Ride," (actually a moth eaten throw rug) we are taken through the usual series of Diatonic scale and Dorian-mode bartered solos on guitar, piano, etc. "AC DC" is more of the same
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THE POWER WHAT?
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BILLY COBHAM: Bored the engineer?
pointless jamming, a kind of musical masturbation. Cobham is there throughout, authoring his cymbal splashes and snare crashes with vapid, predictable repetition. Once in a while he does his four bar drum solo, which is usually no more than an accelerated paradiddle.
Most of the tracks are like this. The only relief from this mechanical clockwork is the lively "Puffinstuff," a cute ditty tagged with a controversial chant. Cobham declares "... Gotta be free so that my mind can breathe the weed all around me." He goes on to deplore certain herbs, a choice which is strictly his own. Yet listening to this series of tiresome exercises, one wonders if he goes through life without any musical inspiration at all.
As expected, the drums are top-heavy in the mix; yet after emphasizing Cobham, what is an engineer to do but yawn and let the tape roll?
R.S.
CLASSICAL
DVORAK: Slavonic Dances, Op. 46; Scherzo capriccioso, Op. 66. Bavarian Radio Symphony Orchestra, Rafael Kubelik cond. [Dr. Rudolph Werner, production, Hans Weber, recording supervision, Heinz Wildhagen, recording engineer.] Deutsche Grammophon 2530 466.
DVORAK: Slavonic Dances, Op. 72; Overture "My Home," Op. 62. [Same
Dvorak: The Water Sprite, Op. 107; The Noonday Witch, Op. 108; Symphonic Variations, Op. 78. [Same credits as above.] Deutsche Grammophon 2530 593.
Dvorak: Golden Spinning Wheel, Op. 109; The Wood Dove, Op. 110. [Same credits as above.] Deutsche Grammophon 2530 712.
Dvorak: Overtures: Amid Nature, Op. 91; Carnival, Op. 92; Otello, Op. 93; Husitska, Op. 67. [Same credits as above.] Deutsche Grammophon 2530 785.
Dvorak: Legends, Op. 59. English Chamber Orchestra, Rafael Kubelik cond. [Same production team.] Deutsche Grammophon 2530 786.
Dvorak: Stabat Mater, Op. 58. Edith Mathis, Soprano, Anna Reynolds, Contralto; Wieslaw Ochman, Tenor; John Shirley-Quirk, Bass, Bavarian Radio Symphony Orchestra and Chorus, Rafael Kubelik cond. [Same production team.] Deutsche Grammophon 2707 099.
Performances: See below
Recordings: Tight and vibrant
The first two discs listed above were released in 1975, the second two in 1976 and the last three late in 1977. As I never got around to reviewing the earlier records, I decided to list them here since they are excellent in every way and anyone interested in the repertoire should know of their existence. Kubelik's Dvorak recordings have always elicited a positive critical response from most corners. I had to demur when it came to the complete symphonies box (deleted, with only the Sixth through the Ninth now available singly) with the Berlin Philharmonic; the performances lacked a tight symphonic line, I thought, with only the "New World" managing to convince me. But these newer discs—except for the Legends, which seem rather aimless and lacking in purpose—are very successful. Like Bruno Walter, Kubelik's primary response to music is from the heart. This is not to say that these performances lack dynamism or power when called for, but that one will rarely encounter more poetic readings of these works. The sound is superb on all of these discs—exceptionally open and clear, with plenty of visceral impact in climaxes. It's a lean Toscanini-like sonority, recorded in not-too-large a hall so that balances are absolutely precise—quite different than the label's recordings for Herbert von Karajan, which emphasize his taste for a rich, blended orchestral pallet (but even Karajan's recordings have recently been aiming for a closer, less resonant ambience; listen to his magnificent new Bruckner Seventh, for example).
Kubelik is not the last word on Dvorak, of course. The late Istvan Kertesz made many superb recordings on London of the Czech composer's music, the Szell/Cleveland performances of the Slavonic Dances on Odyssey are more attuned to Dvorak's furiant nature, and Vaclav Neumann and the Czech Philharmonic, on a three-record Telefunken set which I use to test cartridges and speakers for warmth of string sound, have recorded a glorious selection of Dvorak's smaller works. S.C.
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Manufacturers representative needed to represent line of professional audio equipment, electronics, lo hi frequency horns, stage monitors, etc. in southeastern U.S. Must have established accounts. Write Hi Energy Audio Designs, Inc. 42 N. Franklin St., Hempstead, N.Y. 11050.
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CIRCLE 98 ON READER SERVICE CARD
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"Ingenuity of design can be fascinating for its own sake, but when it results in a product of demonstrable excellence, as with this tape recorder, one can only applaud..."
The review is from Modern Recording. The tape deck is Technics RS-1500US. And the ingenuity of design that Modern Recording and Audio have praised in recent issues is Technics' advanced "Isolated Loop" tape transport with a quartz-locked, phase-control, direct-drive capstan.
By isolating the tape from external influences, Technics has minimized tape tension to an unprecedented 80gms. Eliminating virtually all signal dropout. While reducing modulation and wow and flutter to a point where conventional laboratory measurement is seriously challenged. A considerable achievement when you realize Technics RS-1500US is priced substantially below its professional counterpart. $5,500 below.
Electronically, too, Technics has provided the ultimate in professional control and performance. A separate microphone amplifier. Record amplifier. Mixing amplifier. And three-way bias/equalization. While IC full-logic function controls permit absolute freedom in switching modes.
Compare specifications and prices. Then you'll realize there's no comparison. TRACK SYSTEM: 2-track, 2-channel recording, playback and erase. 4-track, 2-channel playback. FREQ RESPONSE: 30-30,000Hz, ± 3dB (-10dB rec. level) at 15ips. WOW & FLUTTER: 0.018% WRMS at 15ips. S/N RATIO: 60dBr (NAB weighted) at 15ips. SEPARATION: Greater than 50dB. RISE TIME: 0.7 secs. SPEED DEVIATION: ± 0.1% with 1.0 or 1.5mil tape at 15ips. SPEED FLUCTUATION: 0.05% with 1.0 or 1.5mil tape at 15ips. PITCH CONTROL: ± 6%. SUGGESTED RETAIL PRICE: $1,500.*
Technics RS-1500US. A rare combination of audio technology. A new standard of audio excellence.
* Technics recommended price, but actual retail price will be set by dealers.
Technics Professional Series
Circle no. 74
www.americanradiohistory.com
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ART. I.—RUSSIA, AND HER COMMERCIAL STRENGTH.
POPULATION AND TERRITORY OF RUSSIA—PHYSICAL RESOURCES—MANUFACTURES—COMMERCIAL RESOURCES OF THE RUSSIAN EMPIRE—COMMERCIAL QUALIFICATIONS OF THE RUSSIAN PEOPLE.
In the spring of 1698, there arrived at Amsterdam a pilgrim from the farthest east, who had placed before him a shrine of a less romantic, though of a more propitious character, than those which are usually the objects of the pilgrim's adoration. As an apprentice in the great ship-building manufactory of the town he enrolled himself, and it was not until he had meted his arm with those of his better drilled competitors, and mastered the trade he had come to learn, that his workman's apron slipped off, and he stood forth in the robes of the Czar of Muscovy. He might have thought, as he looked around him in his week-day labors, on the huge timbers and the unshapen trunks which were dragged into the workshop from the forests of Denmark, of a country that lay stretched in vast and inhospitable masses, in a region to which the most enterprising merchants of Amsterdam had not pierced. He might have laid out, also, at the time when he was collecting the tools which were to build up an arm of the national defence, the plan on which the great empire that was intrusted to his care, was to be hewn and moulded, till it was fitted to take its place in the society of nations. With an ambition more holy than is common among his brother monarchs, he entered upon the task of shaping and knitting together the vast though unwieldy materials that were brought before him; and with a workmanship more rapid than that by which European statesmen are generally distinguished, he suffered not a moment to elapse in which a plank was not smoothed, or a nail driven. The hulk had scarcely lain on the stocks long enough to rest her timbers from the strain which they had undergone, before she was launched into the ocean that was spread before her, in the majesty of her complete attire. Russia is now the strongest, as in a few years she will be the most powerful, among European nations; and while from the immensity of her
frame and the diversity of her climate, she presents capabilities for every species of exertion, she may expect, in the freshness of her youth, to live onward to a period which will place old age at the distance of centuries. As Americans, we stand on a level with her on the platform of nations; from the same century our mutual existence is dated; and from the contiguity of our dominions, and the connection of our trade, we have been joined in a union with her, which will continue to exist when its origin is placed in antiquity. We propose at present to collect from the accounts of travellers who have visited her shores, and from the reports of her own municipal authorities, the data which are laid open of her past growth, and her present condition. The work will be of interest to the theorist, and we may hope, of use to the practical man.
We shall consider at present,
I. The population and territory of Russia.
II. The physical resources of Russia.
III. The manufactures of Russia.
IV. The commercial resources of the Russian empire.
V. The commercial qualifications of the Russian people.*
I. Russia, with regard to its population and territory.
The following table is made up from the computation of 1829, which is the latest that is, as a whole, on hand. There are returns, however, of single provinces, of a much more recent date, which we will make use of under other heads.
| Area in German sq. miles | Area in English sq. miles | Gross Population | Ratio of Pop. to sq. miles German | Ratio of pop. to sq. miles English |
|--------------------------|---------------------------|------------------|---------------------------------|-----------------------------------|
| I. Russia in Europe......| 73,154 | 1,281,095 | 45,801,239 | 609 | 34 1.5 |
| A. The Baltic Provinces..| 9,023 | 157,904 | 3,336,550 | 370 | 21 1.7 |
| B. Great Russia..........| 43,390 | 759,325 | 21,452,000 | 494 | 28 3.10 |
| C. Little Russia.........| 4,138 | 73,415 | 5,674,000,1,371 | 80 3.5 |
| D. South Russia..........| 6,773 | 118,427 | 2,801,500 | 320 | 12 3.7 |
| E. West Russia...........| 7,537 | 131,897 | 8,448,900,1,125 | 65 1.2 |
| F. Duchy of Poland.......| 2,293 | 40,127 | 4,085,889,1,894 | 113 3.10 |
| II. Russia in Asia.......| 270,350 | 5,721,135 | 9,150,000 | 38 | 2 1.10 |
| A. Duchy of Kasan........| 11,500 | 201,250 | 4,200,000 | 365 | 18 |
| B. Duchy of Astrachan....| 13,860 | 231,500 | 2,100,000 | 142 | 8 3.7 |
| C. Caucasian Territory...| 5,940 | 103,950 | 1,948,000 | 328 | 12 9.10 |
| D. Siberia...............| 208,000 | 4,640,000 | 800,006 | 3 5.6 | 1.5 |
| E. Circassia.............| 20,000 | 525,000 | 100,006 | 3 2.5 | 1.6 |
| F. Russian Isiatic Islands| 1,110 | 19,425 | 2,000 | 1 3.10 | 2.25 |
| III. Russia in America...| 17,500 | 306,250 | 50,000 | 2 6.10 | 1.8 |
Of the whole empire, Russia in Europe, though in itself one half of Europe, forms one fifth; the duchy of Poland, one hundred and seventy
* We make use of the first opportunity of expressing our obligations to a work, from which is taken the greater part of the statistics we shall give, as well as the order in which they are thrown: "Handbuch der Allgemeinen Staatskunde; bei Schubert—Berlin, 1835, 4 Band." It has never yet, as far as we can learn, been translated, though it deserves a place on the table of the merchant, as well as in the library of the political economist.
Russia, and her Commercial Strength.
fifths; and Russia in Asia, three fourths. The whole area is more than twice that of all Europe, (2\(\frac{7}{19}\) times;) and is nearly one sixth of the entire compass of the earth. Its gross population is one fourth of that of Europe, though of the whole amount its Asiatic territories contribute but one sixth. Throughout Russia in Asia, with the exception of a few of the southwestern provinces, the ratio of population is only one to five miles square, a proportion too small to be of use either for defence or available for cultivation.
II. The physical resources of Russia,
1. Agriculture. From the great scarcity of labor and the vast amount of unoccupied territory, it is calculated that in the most prosperous provinces, the gross amount of produce is but one half of that of which the soil is naturally capable. Personal labor appendant to the soil has become, therefore, an object of investment more advantageous than the soil itself; and a system of slavery has thus grown up, of a character like that of the old English villenage. The following statement is taken from "Herrman's Beiträge zur Physick, &c., des Russischen Staates."
| Description | Acres |
|--------------------------------------------------|----------------|
| Whole area of Russia in Europe | 402,100,552 = 1,125,881,546 |
| Land covered with wood and brush | 156,000,000 = 436,800,000 |
| Land uncovered | 178,000,000 = 505,400,000 |
| Land under improvement | 61,500,000 = 172,200,000 |
| Meadow land capable of improvement | 6,000,000 = 16,800,000 |
The amount of land under improvement is less, therefore, than one sixth of the entire territory.
A table for 1802 rates the gross amount of grain consumed in that year in the European territories, at about 400,000,000 Berlin bushels; which leaves, on an average, including the usual consumption for beer, bread, and the nourishment of cattle, about ten Berlin bushels, or fourteen of our own, to each individual. Hemp and flax are the most profitable and the most cultivated of the natural productions; and they have risen within the last twenty years to a value which has made them an important ingredient in commerce. In the Krimm and in the southern districts of Russia, the vine is cultivated with great success. The quantity of wine raised was estimated in 1825, at more than 500,000 wedras annually, (about 1,600,000 of our wine gallons.) In the Ukraine, in Podalia, and on the Volga, tobacco fields have been lately planted to so great an extent, that the yearly crop amounted in 1834 to 300,000 puds, or 12,000,000 lbs. The hop is confined to Poland, West Russia, and Little Russia.
2. Live stock. Her immense amount of pasturage has given Russia advantages for the raising of live-stock unequalled in Europe. There is a climate for every grain, and cattle for every climate. In the southeast, the market is so full that single proprietors have been frequently known to own herds to the amount of 10,000 horses, 300 camels, 3,500 head of neat cattle, and 10,000 goats. Reindeer at the north, and horses among the Tartars, form not only the floating capital, but the medium of exchange. The sheep is spread, under various modifications, over the whole territory, and attempts have been in some degree successful to introduce the merino breed. There are no general calculations of the entire stock that can be relied on, though from the fact that the amount of tallow, of hides, of bristles, and of wool annually exported, amounted in
1831 to $15,000,000, we can form an estimate of the extent to which the commodity from which they are derived is produced.
3. Mining. The principal mines are found in Siberia, in Ural, in Altai, and in the Nertscherischen mountains. In the government of Perm, where four fifths of the mineral ore is found, more than 180,000 men are employed, together with 200 iron works, more than 1,200 forges, 27 copper smelting houses, 200 ovens, and 12 smelting houses for silver and lead. We give a table of the amount forged from 1704 to 1809 inclusive, together with one for the single year 1810.
| Year | Puds Rus. | Pounds |
|------------|-----------|----------|
| 1704 to 1809 | | |
| 1. Gold | 1,726½ | 69,050 |
| 2. Silver | 61,856 | 2,476,240|
| 3. Copper | 9,820,055 | 392,802,200|
| 4. Iron | 671,701,000 | 691,701,000|
| 5. Lead | 5,324,000 | 212,960,000|
| 6. Vitriol | 48,000 | 1,920,000|
| Year | Puds Rus. | Pounds |
|------------|-----------|----------|
| 1810 alone | | |
| 1. Gold | 41 | 1,640 |
| 2. Silver | 1,250 | 50,000 |
| 3. Copper | 202,657 | 8,106,280|
| 4. Iron | 5,838,957 | 233,557,450|
| 5. Lead | 50,000 | 2,000,000|
| 6. Vitriol | 3,892 | 155,680 |
In the last thirty years the mines have been more actively worked, and with much greater success. In 1821, there were gold mines discovered in the government of Tobolsk, near the Ural mountains, of considerable extent. In 1823, 7,792 men were employed in mining and refining alone, and a little while after the number amounted to 15,000. The sand by itself, without taking into consideration the lumps of pure metal, yields $\frac{1}{10}$ per cent of refined gold. The produce from 1830 to 1834, is thus given:
| Year | Russ. Puds. | Pounds |
|------------|-------------|----------|
| 1830 | 355 | 14,200 |
| 1831 | 359 | 14,460 |
| 1832 | 364 | 14,660 |
| 1833 | 341 | 13,640 |
| 1834 (from Jan. to June,) | 167 | 5,680 (half year)* |
The average produce of the five years is about 350 puds, or 14,000 pounds, which is worth, according to Schubert's valuation, 5,145,000 Prussian dollars,† or nearly the whole annual profit of the Brazilian mines.
Of platina there were produced from June, 1824, to January, 1834, about 678 puds, (27,120 pounds,) out of which 476 puds (19,040 pounds) pure metal were extracted, and from which 400 puds (16,000 pounds) were thrown into bars, which brought in the market 8,186,620 silver rub., (about 6,300,000 Prussian dollars.) The profits of the three years following were equal to an average of 110 puds, or 4,400 pounds a year, yielding an annual revenue of 369,000 Prussian dollars.
The silver mines have remained almost stationary since 1810. The yearly profit varies between 1,225 and 1,300 puds, and if we take the average of 1,260 puds, (50,400 pounds,) the actual value may be placed at about 1,234,000 Prussian dollars.
The amount of copper produced between 1810 and 1830, averaged at about 265,000 puds, (10,600,000 pounds.) As the principal copper mines are in the hands of the crown, it reaps whatever revenue they are
* Das Russische Reich,—Erster Band,—s. 220.
† The Prussian (convention) dollar is rated at 97 cts. 2 d.
capable of, and in 1823, according to a report then published, received 250,000 puds or 10,000,000 pounds of the pure metal, equal in value to nearly 2,650,000 Prussian dollars.
In the mountains both of European Russia and Poland, iron is very abundant. From 1829 to 1835, the average produce was 9,000,000 puds or 360,000,000 pounds, of an annual value of 12,000,000 Prussian dollars. An official statement of the trade in the ten years between 1824 and 1834, makes the yearly value of the exports of raw iron and copper to be equal to 2,550,000 Prussian dollars.
The salt mines of Russia and of the duchy of Poland form their great natural staple. In 1810, in Russia proper alone, the amount produced was equal to 26,538,000 puds, (1,061,520,000 pounds.) In 1835 it had arisen to 30,000,000 puds, (1,200,000,000 pounds,) being worth about 16,600,000 Prussian dollars.
The following table, then, of the mineral produce and its value, may be thus made up.
| Average produce from 1830 to 1835. | Value. |
|-----------------------------------|--------|
| Gold | 350= | 14,000 | 5,145,000 |
| Platina | 110= | 4,400 | 369,000 |
| Silver | 1,260= | 50,000 | 1,284,000 |
| Copper (1823) | 250,000= | 10,000,000 | 2,650,000 |
| Iron | 9,000,000= | 300,000,000 | 12,000,000 |
| Salt (1835) | 30,000,000= | 1,200,000,000 | 16,600,000 |
Total value, 37,998,000
III. The manufacturing resources of Russia.
Russian industry has kept pace in its advancement with the government, to whose support it so powerfully contributes. In the temporary halts or the temporary retrogressions which were suffered by the body politic during the reigns of Paul and Alexander, the productive industry of the nation was proportionally checked and retarded. To throw the empire into the form of a great universal manufactory, was the cardinal design of Peter the Great; and to link inseparably the working classes with the government, to dispense with the interference of an aristocracy under any of its phases, has been the policy of himself and his successors. The master workman stood at the centre of the machinery, and directed without appeal and without opposition the most trifling workings of the wheels around him. Overseers and slaves were placed by him on an equal level. He was the chief engineer, and as the whole responsibility rested on his shoulders, he felt it proper that he should wield the whole authority. Such a station requires, it is true, the most consummate experience, and the most unwavering decision. It has been the good fortune of the Russian monarchs, since Peter the Great, whatever might be the degree in which they possessed the first qualification, to be by no means deficient in the second. A history of their commercial enterprises, is a history of the commerce of their country itself, so completely have they secured within their hands the control of the actual energies of the realm. We shall run over the measures which have been successively taken by the government, for the support of its manufacturing resources, as the best account that can be given of the progress of the manufactures themselves.
Ivan I. and Ivan II., under whose reigns Russia asserted her claims to be considered as an independent nation, were the earliest among the czars who directed their attention to the productive capacity of their country. Workmen and artists were called from Germany, from the Netherlands, and from Italy, to inoculate, in the deserts of Russia, the spirit of industry which had made their homes the armoury as well as the orchards of Europe. In Moscow, in Jaroslaw, in Pskow, in Smolensk, and in Kiew, there were established manufactories for cloth, linen, and arms, and even for heavy silks and gold lace. But through the civil war that was fomented by the ambition of the house of Romanow, and by the incursions of the neighboring powers of Sweden and Poland, the progress both of foreign trade and manufactures was stopped. Till the accession of Peter the Great, in the close of the seventeenth century, the nation was employed exclusively in efforts to regain the station among the states of the north which it had lost by its domestic dissensions. Peter the Great, by laying the foundation for the manufacturing resources of the empire, took the true step for its political elevation. He had witnessed, during the pilgrimage which in his early life he had passed through, the prosperity and vigor of the commercial nations of Europe, and the decay of those who had neglected either to foster their own productions, or to exchange them with those of others; he had seen that the body politic, when its arteries are choked, and its veins are opened, and its muscles are suffered to become languid through inaction, loses its vigor and becomes the prey of inward corruption and outward attack. In the wisdom which so significant a lesson had pressed on his mind, and with the decision which was so intimately knit in his constitution, he determined to use the first moment of power in transplanting, in his own soil, the seed that had been so fruitful in others. The foreign workmen who were brought by his invitation within the state, were endowed at once with peculiar privileges and immunities, were excepted from the jurisdiction of the ordinary civil and military tribunals, and were chartered as a company which was to be placed under the immediate protection of the senate. In Tula; in Potrosawodsk, and in Sestradeck, there were founded manufactories for arms of every description, from the heaviest cannon to the slightest pistols and dirks. Powder-mills and saw-mills of all orders were built in the neighborhood of the two principal cities. In 1720, there was erected in Moscow the great imperial manufactories for woollen goods and linen; while at St. Petersburgh, and in its vicinity, immense factories were founded for the preparation of mirrors and other costly glass wares, carpets, cotton-goods, and sugar. By the death of Peter the Great, twenty-one great imperial manufactories, and a great number of smaller dimensions, had been founded at the entire cost of the government.
The immediate successor of Peter, in order to raise the revenues by means of customhouse impositions, turned the patronage of the state rather to the encouragement of foreign than of domestic industry. It was under the reign of Elizabeth that the policy of her great predecessor was revived; and at the time of her death the number of manufactories in the empire amounted to five hundred and two, of which twenty-six, with twelve hundred workmen, were for silken stuffs, seventy-six for cloth, eighty-eight for linen, and thirty for cotton. Catherine II. employed herself still more actively in the promotion of internal trade, and added in a great degree thereto by the foundation of a number of smaller institutions which
were exempted from the evils which were inherent to those on a more exaggerated scale. During her reign of thirty-four years, the actual amount of the factories was tripled. The same maxims were carried out both under Paul and Alexander, so that in the year 1812, at the time of the French invasion, the sum total had increased to 2,332, in which were employed 119,093 workmen, (64,041 free, 31,160 crown slaves, and 27,292 private slaves;) and in 1820 it arose to 3,724 factories, the annual value of whose produce was estimated at about 37,000,000 Prussian dollars.*
The following table of the relative condition of the various manufactures is compiled from the report of 1828.
1. Linen. The number of linen manufactories of the larger class was equal to two hundred and ten, in which about 9,900,000 yards (21,500,000 Berlin ells) of stuff are yearly produced. The site of the principal manufactories is in West Russia, Little Russia, and Moscow.
2. Cloth. The manufacture of wool, in its various modifications, has been an object at all times of great concern. As late as the reign of Catherine II. the whole army was clothed in English fabrics, and even under the reign of Alexander, the home productions were not sufficiently advanced to be exclusively made use of, even under government direction. The demand for coarse and ordinary cloth, also, for the purposes of the Chinese trade, was becoming pressing; and the consequence was that from one hundred and eighty-one, which covered in 1820 the number of the cloth factories, they increased in 1820 to four hundred. 330,000 yards of coarse cloth, and 266,000 yards of fine cloth, cassimere, and flannel were, between 1825 and 1828, annually brought to market. The finer cloths, however, are by no means equal to the domestic demand; and ever since 1825, the yearly import of foreign cloth has amounted to from 1,500,000 to 2,000,000 Prussian dollars.
3. Cotton. The cotton manufactories amounted in 1828 to five hundred and twenty-one, which produced annually about 40,000,000 yards of all qualities. Besides the amount brought in from Georgia and the neighboring provinces, raw cotton to the value of 10,000,000 Prussian dollars is annually imported, which is manufactured into goods which sell at about 30,000,000 Prussian dollars. Since 1830 it is estimated that on an average more than 1,500,000 Prussian dollars of cotton goods already made up have been yearly introduced.
4. Silk. The silk manufactories are contained principally in the three chief cities. They have risen between 1820 to 1828 from one hundred and fifty-six to one hundred and ninety-eight in number, and consume of a yearly import of the raw material of the value of 1,400,000 Prussian dollars. The yearly worth of their products from 1825 to 1830, averaged at near 3,000,000 Prussian dollars.
5. Metal-ware. Through the great riches of the Russian mines, the metal-ware manufactories form one of the distinguishing features of the productive industry of the empire. In 1820 there were as many as two hundred and fifty-eight factories, of which fifty-one were for brass, and in 1828 there were two hundred and ninety-one factories, of which one hundred and eighty-two were for tools and steel ware. In the imperial fac-
* W. C. Friebe über Russlands Handel, Industrie und rohe Producte-Schuberts Allgemeine Staatskunde, I. 224-7.
tory at Tula, there are upwards of 7,000 workmen employed, and the annual production between 1825 and 1830 was equal to 70,000 muskets, pistols, and sabres.
6. Glass and clay. One hundred and sixty-six manufactories were occupied in 1828 in the preparation of glass and crystal in their various modifications, which afforded yearly upwards of 15,000,000 bottles, 80,000 baskets of table glass, together with glass ware of the finer description in considerable quantities. The porcelain works amount to twenty-one.*
7. Leather. The leather manufactories are the most ancient in the Russian empire. Russian hides formed a subject of trade as far back as the middle ages, and the czars in the most uncivilized eras broke through their usual principles in furthering the production of a commodity on which their military grandeur so much depended. In 1820 there were about 1,406 leather factories, which increased in 1828, with the inclusion of Poland, to 1,930, in which over 3,500,000 hides were each year dressed and prepared. The export of hides and leather in its different forms between 1828 and 1830, has averaged between 2,400,000 and 3,000,000 Prussian dollars.
8. Soap, Tallow, and Wax, from the great supply of their component materials, form a principal staple in the domestic trade. Two hundred potash manufactories yield yearly over 2,000,000 lbs., of which amount to the worth of 1,000,000 Prussian dollars are annually exported. In seven hundred soap manufactories 80,000,000 lbs., which are annually produced, are not only sufficient to meet the great domestic demand, but yield about $800,000 annually in exports. About 16,000,000 lbs. of tallow are yearly consumed by three hundred candle manufactories, though there was still remaining, between 1825 and 1830, enough of the raw material to be valued, when thrown into the foreign trade, at $13,000,000.
9. Sugar. In 1827 there were thirty-nine sugar refineries in the empire, which produced 39,000,000 lbs. sugar, and 1,006,440 lbs. syrup. The importation in 1829 of raw sugar was valued at about 11,890,000 Prussian dollars,† though in 1832 it was diminished one fifth. The preparation of sugar from the beet root is carried on in the governments of Saratow and Orel.
10. Brandy. The principal brandy distilleries are in the hands of the crown, and reached in 1825 to twenty-five in number. The private distilleries are as many as 23,315, but from the great limitations which are
* The largest mirror in the world, as it is rated by Schubert, was built in the Imperial Glass Works. Its dimensions are 150 inches in height, and from 90 to 96 in breadth.
† We have rated, so far, the Prussian dollar, from which our calculations have been reduced, at the convention valuation of 70 cents. Such appears to be the valuation assumed by the tables from which we have quoted, although, as the coin is extremely variable, it is difficult to hit upon a standard that will be uniformly intelligible. The ruble is still more uncertain, as it ranges in exchange from 84 to 37 cents. The silver ruble, however, was fixed by an ukase of 1829 at 360 copecks, and is stated by Mr. McCulloch to average on exchange at 3s. 2½d. The paper or bank ruble, which is the standard of account, is fixed by an ukase of 1811 at 100 copecks, and we can reduce therefore its value in American coin, to 21cts. 5d. In the following pages, we will make use, exclusively, of the valuation thus given.
laid on them by the imperial monopoly, their business is subject to considerable drawbacks. In 1801 there were produced 601,920,000 gall., of which one sixteenth from the crown, and fifteen sixteenths from private distilleries, and which consumed one ninth of the crop of grain of the season. There are no data on hand by which we can estimate the produce of succeeding years, though from the fact that the taxes on its consumption doubled in the 24 years ending at the close of the reign of Alexander without any alteration in their comparative value, we can infer that its manufacture had greatly increased. There were employed in 1827, without taking into account the number engaged in the various manufactures above mentioned, upwards of 702,652 workmen in the simpler branches of trade. It is in these, indeed, that the strength of the Russian empire consists. Great factories, while from the extended division of labor which they afford, and from the vast quantity of power which they bring to bear on a given point, they are the best calculated for the immediate concerns of trade, are by no means congenial to the genius of a government whose policy it is to crush the strength of its subjects by dealing with them singly. The little grains, the slight particles of sulphur, of charcoal, and nitre, which would remain in the most complete inactivity were they kept by themselves; when they are heaped together require a spark of incendiaryism alone to ripen them to explosion. The Russian serf might catch the contagious disease which has lifted the crest and nerwed the spirit of the working men of every other European nation, were he to be placed in a crowd and be allowed to mingle his own injuries with the common wrong, and to assume the common wrong for his own. Wo to the cumbrous pillars of the giant empire, should he seize them with his arms when his strength has been invigorated by communion! The practised eye of Peter the Great saw that the secret by which the elements were to be chained was disunion; that if they should unite and direct their efforts against the cave in which his ancestors had chained them, they would shatter it in the blow, and that to preserve the equilibrium entire, each ingredient force must be cut out from the system in which it is imbedded, and be spread by itself in a strand in which it would cease to be affected by the sympathy of others. He was to form an empire which was to be a monster in the economy of nature; and by the dissection of the old establishment, and by the piling together of its members in a posture in which the mutual action which naturally existed between them would be lost, he accomplished the grand object of his ambition. There were to be no interior arteries, no intimate reticulation of nerves, no complex commingling of fibres, in the body politic. The riot act was to forestall tumult, and not to intercept it. Those great civil societies in which, in our country, society collects its wandering humors, were eradicated from the system which the Russian emperor produced. If it was expedient that some great factory should be established for the prosecution of a cardinal branch of trade, or that an array of laborers should be collected to carry out a national enterprise, the workmen were marched up as culprits to execution, and watched as prisoners at the dock. So complicated a process brought upon the government expenses which it would willingly have spared, and cares which aggravated to a point almost unsupportable its official duties; but the process, however complicated, was necessary to the scheme which it was to effectuate. Great as has been the progress of Russia in her domestic manufactures, it would have been still greater had it not been for the drawback which it received from
the fact that the workmen are under the guard of the military, and the military of a secret police.
IV. The commercial resources of the Russian empire.*
From the indefatigable exertions of Peter the Great, the commerce of Russia received not only its first impulse, but its entire direction. He opened for the first time the harbors of the Baltic and the Black Sea. In his political dealings with the remotest nations, he kept constantly in view the object to which his early education had been directed, and which, to the last moment of his life, was paramount in his thoughts. Shipbuilding had been the occupation of his apprenticeship, and as long as he retained the sceptre, shipbuilding, though on a much grander scale, was his amusement and his study. Catherine II. enjoyed, during her restless reign, the advantages which had been laid down by her great ancestor, and as, in the prosecution of her ambitious schemes, she found her treasury and her armories filled by the taxes and the tithes of the foreign commerce, she entered with fresh zeal on the prosecution of an enterprise so congenial both to revenue and to comfort. We can find the results of her summary diplomacy in the commercial treaty with Denmark in 1782, with Persia in 1784, with Austria in 1785, with Naples, Sicily, and Portugal in 1787, with the Porte in 1792, and with England in 1793. The Imperial-Assignation-Bank was chartered by her, with the purpose of extending the circulation, in 1768, and was assisted with the entire credit of the state. Even under the reign of Paul, whose foreign policy was so wavering and disastrous, the interests of trade were prosecuted with unabated vigor; and in his administration were founded the discount offices in 1797, the insurance offices in 1798, the Imperial-Mortgage-Bank in 1797. In 1799, after a survey of his dominions in North America, he was induced to take under his protection the Russia American Trading Company, with a capital of 2,750,000 rub. pap., (about $550,000,) in 5,500 shares.
Through the attention of the Emperor Nicholas, an impulse still stronger has been given to Russian trade. The Imperial-Discount-Bank, (die Reichsleibbank,) founded in 1803, produced a salutary influence on the general exchange of the country; and in 1818, still greater assistance was obtained by the enlargement of the Bank of Commerce, whose notes were based on governmental credit, and were received throughout the empire in payment of treasury dues. Its circulation in 1823, was over $39,487,000†. A company for the herring fisheries of the White Sea, was chartered in 1825, which was endowed with privileges well calculated to secure the important object to which it was directed; and,
* The tables which we present of Russian commerce, are taken originally from the Annual Register of A. V. Richter, (1 Heft. 5. s. 443–62.) and from Schubert's Statistik, vol. I., p. 232, which profess to be based on the official reports of the Russian government.
† We cite the amount of Russian banking-capital as an evidence of commercial enterprise, and not as a test of commercial prosperity. As paper-money, it may be remembered, however, is secured from depreciation in Russia by the assistance of the credit of the state, it is more oppressive to the people in general, though less detrimental to trade, than it would be in a country where it is liable to the depredations of bankruptcy, the shocks of speculation, and the pilfering of embezzlement.
in the same year, schools were founded in St. Petersburgh, Riga, Odessa, Archangel, Khomologoy, and Irkutzk, both as nurseries for the merchant service, and as seminaries for the more important trades. The conquest of Poland, fatal as it was both to the existence of the conquered country, and the reputation of the conqueror, brought into the Russian custom-houses, not only the entire commerce of the dependent state, but that which, under her previous independence, she had carried on with others. The Emperor Nicholas had followed out the course of his predecessors, by the commercial treaties with Persia and Turkey, in 1828 and 1829. The internal trade has been stirred up to a fresh vigor, by the new water communications which he has opened through the interior of the state, and the high-roads which have been stretched over it. The waves of those mighty rivers which fall downward on the continent, from the immense trunk of the Arctic, like roots which are struggling to carry back to the frozen zone, from which they come, nourishment from the rich soil into which they are extended,—the waves of the great northern rivers, and the icy fields of the seas to which they belong, have been ruffled and carved open by the rapid march of steam-ships which have been sent from the workshops of the south, and in some cases from the factories of our own country, to open in latitudes which before had been impenetrable a trade which will lead them before long to participate in the civilization, if not the climate, of more temperate degrees. Of the entire foreign trade, St. Petersburgh possesses one half, Riga one eighth, and Odessa one twelfth. Of the exports, one tenth pass over the western boundaries by land, more than three fifths through the Baltic ports, one fourth over the White Sea, an eighth over the Black Sea, an hundred and thirtieth over the Caspian, one fourteenth over the Asiatic limits, and an eightieth to the east, south, and west, by internal routes through Moscow.
The following table is made up from the official reports:
| Rub. paper. |
|-------------|
| Entire importation of goods from 1814 to 1824...........1,646,904,710 = $354,084,512 |
| Making on a yearly average...............................164,690,471 = 35,408,451 |
| Entire importation of goods from 1824 to 1834...........1,951,844,619 = 419,646,593 |
| Making on a yearly average...............................195,184,461 = 41,964,659 |
| Increase between the imports of the ten years from 1814 to 1824, and the ten years from 1824 to 1834 | 304,939,909 = 65,562,081 |
| Average yearly increase on the same.......................30,493,990 = 6,556,308 |
The imports in thirty years, between 1801–3 and 1831–3, had doubled, being on the average taken for 1801–3 about $20,000,000, and in the average taken for 1831–3 about $41,500,000.
The exports of goods between 1814 and 1834 are thus given:
| Rub. pop. |
|-----------|
| For the ten years 1814 to 1924..........................2,181,864,424 = $469,107,301 |
| Making on a yearly average..............................218,189,442 = 46,910,730 |
| For the ten years 1824 to 1834..........................2,507,399,005 = 496,090,786 |
| Making on a yearly average..............................250,739,900 = 49,609,078 |
| Increase between the exports of the ten years from 1814 to 1824, and the ten years from 1824 to 1834 | 125,504,581 = 26,953,484 |
| Average yearly increase on the same......................12,550,458 = 2,698,348 |
The ratio of increase with exports from the commencement of the present century has been the same as with imports, since it has risen within
thirty years from about $20,000,000 to $42,000,000 on a yearly average. The exports, however, have suffered far greater variations than the imports, since the latter is regulated by the government standard, and the former are affected by every vicissitude in the trade or the taste of foreign nations whose dealings are not shaped by so severe a rule. We see that in 1825 the exports had arrived at nearly $48,872,000; but by pursuing the official tables still further, we will find they had retreated in 1827 to $47,354,000, and in 1828 to as low as $40,000,000. Taking a sudden rise, they arrived in 1829 to $44,000,000, and in 1830 to $54,800,000. In the following year they fell back to $49,266,000, and mounted again in 1832 to $52,500,000. The fluctuation of the exports is therefore eight times greater than that of the imports, and extends from 1 to $4,700,000. The increase in the value of the exports between 1824 and 1834 is by no means as great as that of the imports within the same period; which may be ascribed in some measure to the circumstance that the growing demands of domestic industry require a greater supply of foreign raw commodities for manufacture than can be balanced by domestic production alone. The relation between imports and exports with regard to the channel through which they are carried, is the same; since one eighth of the goods that form the subject of the calculations we have been giving, are brought in and out through land, while seven eighths come by sea carriage.
We proceed to consider the extent of the trade in the precious metals, which is separated in the official report from that of the remaining articles of commerce. The following statement completes the tables of the entire imports of Russia from 1814 to 1834.
**Importation of Precious Metals.**
| Rub. pap. | Rub. pap. |
|-----------|-----------|
| For the ten years from 1814 to 1824 . . . 321,969,988 = $69,223,546 |
| Making on a yearly average . . . . . . . 32,196,998 = 6,922,354 |
| For the ten years from 1824 to 1834 . . . 322,136,144 = 69,259,271 |
| Making on a yearly average . . . . . . . 32,213,614 = 6,925,927 |
**Exportation of Precious Metals.**
| Rub. pap. | Rub. pap. |
|-----------|-----------|
| For the ten years from 1814 to 1824 . . . 60,982,229 = $13,111,179 |
| Making on a yearly average . . . . . . . 6,098,222 = 1,311,117 |
| For the ten years from 1824 to 1834 . . . 59,306,701 = 12,750,941 |
| Making on a yearly average . . . . . . . 5,930,670 = 1,275,094 |
The excess, therefore, of the imports of gold and silver over the exports is as follows:
| Rub. pap. | Rub. pap. |
|-----------|-----------|
| For the ten years from 1814 to 1824 . . . 260,987,759 = $56,112,368 |
| For the ten years from 1824 to 1834 . . . 262,829,443 = 56,512,510 |
If we take into consideration the whole Russian trade, including the precious metals in the sum total, we will find that the balance of exports over imports from 1814 to 1824,
is equal to 534,059,714 = $114,829,289
Making on an average for each year . . 53,408,971 = 11,482,928
From 1824 to 1834 the balance was . . 855,554,886 = 77,444,193
Making on an average for each year . . 35,555,438 = 7,744,419
The balance of the exports over the imports of marketable commodities is becoming every year more nearly compensated by the balance of the imports over the exports of gold and silver; though it is worthy of consideration that a large proportion of the precious metals imported consist in the tributes of eastern nations. The Turks alone, between 1824 and 1834, paid on an average $5,000,000 a year to the Russian treasury.*
The foreign commerce of Russia for the single year 1834 is thus reduced from the statement given by Mr. McCulloch. (Com. Dic. II. 294.)
**Exports.**
| Articles for cons'pt'n, " for manufacture, " manufactured, Sundries, Gold and Silver, Value per price curr't; Value per declarat'n, Average value, | By European Frontier. | By Asiatic Frontier. | Total. |
|---|---|---|---|
| Rub. Pap. | Dollars. | Rub. Pap. | Dollars. | Rub. Pap. | Dollars. |
| 8,698,951 | 1,857,949 | 1,159,366 | 249,284 | 9,796,317 | 2,106,208 |
| 117,901,266 | 36,308,777 | 3,407,755 | 837,067 | 121,309,021 | 37,145,845 |
| 7,264,243 | 1,551,814 | 3,938,777 | 846,837 | 11,203,020 | 2,400,649 |
| 8,192,488 | 1,760,377 | 453,905 | 97,390 | 8,646,393 | 1,858,974 |
| 208,018,786 | 44,724,039 | 17,950,053 | 3,859,361 | 225,968,829 | 48,583,310 |
| 222,441,648 | 47,815,964 | 17,950,053 | 3,859,361 | 240,391,701 | 51,684,216 |
| 215,230,217 | 46,274,497 | 17,950,053 | 3,859,361 | 233,280,270 | 50,133,758 |
**Imports.**
| Articles for cons'pt'n, " for manufacture, " manufactured, Sundries, Gold and Silver, Confiscated Goods, Value per price curr't; Excess of Imports over Exports, Value per declarat'n, Excess of Imports over Exports, Average value, Excess of Imports over Exports, | By European Frontier. | By Asiatic Frontier. | Total. |
|---|---|---|---|
| Rub. Pap. | Dollars. | Rub. Pap. | Dollars. | Rub. Pap. | Dollars. |
| 66,257,313 | 14,245,540 | 7,902,731 | 1,589,097 | 74,160,044 | 15,844,637 |
| 92,937,637 | 19,991,592 | 3,187,285 | 685,317 | 96,124,922 | 20,665,909 |
| 26,978,001 | 5,800,271 | 5,694,142 | 1,224,240 | 32,672,143 | 7,024,510 |
| 6,347,653 | 1,369,182 | 5,694,142 | 1,073,482 | 11,941,795 | 2,442,614 |
| 15,890,898 | 4,061,532 | 1,058,201 | 223,318 | 19,949,100 | 4,284,850 |
| 451,848 | 97,137 | 36,277 | 7,510 | 488,125 | 104,947 |
| 211,834,220 | 45,554,553 | 22,954,634 | 4,815,414 | 234,789,854 | 50,369,967 |
| 242,464,884 | 52,129,950 | 22,954,634 | 4,815,414 | 265,419,518 | 56,945,364 |
| 227,149,552 | 48,887,154 | 22,954,634 | 4,815,414 | 250,140,186 | 53,652,568 |
| 18,923,916 | 3,638,622 |
The number of vessels sailing from the thirty-six Russian harbors, at various periods within the ten years from 1814 to 1824, is reported as 39,623, or on a yearly average, 3,962. In the ten years from 1824 to 1834, it arose to 45,577, or on a yearly average, 4,557; being an average increase of 395 on the preceding ten years. The number of vessels visiting the thirty-six harbors between 1814 and 1824, is given as 40,321, or in a yearly average, 4,032; while in the succeeding ten years it amounted to 45,234, being on a yearly average 4,523, or 492 ships more than in the average of the preceding ten years. But the increase, distinct as it is, is far greater in fact than it would appear by the report we have given; since the most of the vessels taken into computation within the ten years from 1824 to 1834, were bound on foreign voyages, with great tonnage, which is far from being the case (as to the tonnage at least) with those of the former period. In 1825, 4,263 vessels entered the Russian harbors, while 4,228 passed out; in 1829, 4,488 entered, and 4,562 passed out; in 1830, 5,809 entered, (of which 3,550 were laden with bal-
* Schubert's Statistick, I. 235–6.
last, and 2,089 with goods,) and 6,128 passed out; in 1831, 5,577 entered, (of which 3,550 were laden with ballast, and 2,287 with goods,) and 5,715 passed out; and in 1832, 5,720 vessels entered, (of which 3,438 were laden with ballast, and 2,287 with goods*,) and 5,721 passed out. While on the one hand, two-fifths only of the vessels entering are laden with goods, and the rest come in ballasted for the purpose of bringing away Russian productions, of the vessels that pass out, on the other hand, only one twentieth are unfreighted, and the remainder are crowded with the commodities which they come to obtain. To the friend of a high tariff, such a condition must seem Arcadian; but it is worthy of remark, as affording a distinct objection to the reasoning by which a tariff is advocated, that in the provinces in whose favor the balance of trade is most strong, who export most and import least, the people are the most starved and the least clothed, and the country itself is most deprived of the muscles of strength and the marrow of comfort.
Of the vessels which we have taken into computation, one third are English, one seventh Russian, one fourteenth Swedish, one fourteenth from the Netherlands, one fifty-one part Russian, one fifteenth Danish, one fifteenth Italian, one twentieth Austrian, one twentieth from Mecklenburg and the Hans Towns, one twentieth Turkish, one fiftieth French, and one hundredth from the United States. There are besides from 2,500 to 3,500 smaller craft in constant employment on the Black Sea, and the Sea of Azof, and from 700 to 850 on the Baltic.
We proceed to examine the extent of the trade which is carried on with Russia by the principal commercial nations of Europe, making use of the average of the years 1827-32, for the basis of our calculations. England draws off one half of the Russian exports to the amount of 115,000,000 rub. pap., ($24,725,000,) and makes up only one third of the imports in return, or about 65,000,000 rub. pap. ($14,000,000.) Turkey takes yearly 21,000,000 rub. pap., ($4,500,000,) and returns 12,000,000 rub. pap. ($2,370,000.) Prussia receives annually 17,000,000 rub. pap., ($3,655,000,) and returns about 7,000,000 rub. pap. ($1,355,000.) Denmark takes yearly 16,600,000 rub. pap., ($3,330,000,) and returns about 4,000,000 rub. pap. ($80,000.) Austria both imports and exports 13,000,000 rub. pap. ($2,655,000.) The Netherlands receive yearly about 12,000,000 rub. pap., ($2,370,000,) and return 5,500,000 rub. pap. ($1,150,000.) France receives yearly 2,000,000 rub. pap., ($430,000,) and returns 12,000,000 rub. pap. ($3,370,000.) The Hans Towns receive yearly 28,000,000 rub. pap., ($5,650,000,) and return 7,500,000 rub. pap. (1,612,500.) The Italian States receive yearly 10,000,000 rub. pap., ($2,150,000,) and return about 2,500,000 rub. pap. ($537,500.)
The trade between the United States and Russia would seem, on the principle that wherever the amount of a country's imports exceeds its exports, the balance is against it, to be the most injurious to the latter state of any in which it is engaged. The American imports into the Russian ports, on the average taken of the five years 1827-32, exceed 20,000,000 rub. pap., ($4,300,000,) while the corresponding exports reach only to 8,000,000 rub. pap. ($1,720,000.) Both parties, however, appear to be
* We use the word goods in its widest sense, as a translation of the German "Waren." It is taken to express all marketable commodities whatever, with the exception of the precious metals.
contented with their position; Russia, because she receives at the cheapest market rates raw commodities indispensable to her manufactories, and the United States, because they obtain in a less degree, though not at less advantage, manufactures which a country less varied in its climate and peculiar in its physical characteristics would be unable to afford them.*
Russia has for some time taken up a large portion of the carrying trade between the European and the Asiatic commercial nations, and her imports, in consequence, from her eastern neighbors, have arisen to an amount which her individual consumption would be unable to explain. Her exports into the Asiatic continent, in the average between 1814–34, reached to about a fourteenth part of her entire exportation, being equal to 19,000,000 rub. pap. ($4,200,000.) In 1829, they amounted to 22,500,000 rub. pap.; they fell in the next year to 17,800,000 rub. pap., remained both for 1831–32 at about 18,500,000 rub. pap., and arose in 1833 to 17,949,185 rub. pap. ($3,849,075,) of which 7,333,151 rub. pap. were directed to China, 4,625,388 rub. pap. to the Kirghises, and 2,960,580 rub. pap. to Persia. The imports from Asia to the Russian empire amounted in 1827 to 24,500,000 rub. pap., in 1828 to 26,200,000 rub. pap., in 1829–30 to 25,000,000 each, in 1831–32, with a little variation, to 22,000,000, and in 1833 to 23,113,701 rub. pap., being on a yearly average, 24,000,000 rub. pap., or $5,100,000 of the entire imports; one-third (8,000,000 rub. pap.) consists of articles of consumption, especially tea; about 9,000,000 rub. pap. for manufactures of various kinds; about 5,000,000 for raw stuffs, and nearly 1,000,000 for gold and silver. Of the whole imports, one third come from China, and about one-sixth from the Kirghises.*
Notwithstanding the small amount of the entire imports of the empire, when we consider its gigantic size, and its large population, there is no nation of which we can keep an accurate account, on which the taxes on importations are so great. The ancient czars drew their feudal tributes from the food and the clothing which their subjects imported from foreign countries on account of the poverty of their own; and so strong and so
* The following table exhibits the extent of the United States trade with Russia, between 1831 and 1838.
| Imports | Exports |
|---------|---------|
| 1831 | $1,832,195 | $623,804 |
| 1829 | 3,307,328 | 529,081 |
| 1823 | 2,857,567 | 448,734 |
| 1824 | 2,209,663 | 231,981 |
| 1825 | 2,067,110 | 287,401 |
| 1826 | 2,617,169 | 174,648 |
| 1827 | 2,086,077 | 382,244 |
| 1828 | 2,788,362 | 450,495 |
| 1829 | 2,218,935 | 386,226 |
| Imports | Exports |
|---------|---------|
| 1830 | $1,921,889 | $616,574 |
| 1831 | 1,908,328 | 462,766 |
| 1832 | 3,351,852 | 582,823 |
| 1833 | 2,772,550 | 703,805 |
| 1834 | 2,595,840 | 330,694 |
| 1835 | 2,395,245 | 585,447 |
| 1836 | 2,778,554 | 911,013 |
| 1837 | 2,816,116 | 1,306,733 |
| 1838 | 1,898,289 | 854,771 |
It will be seen that there is considerable discrepancy between the statements thus given, and those which we have already cited. The table in this note is taken from the London Bankers' Circular, given in Hazard's Register, iii. 183. That in the text, being deduced from the official report of the Russian government, may be thought most worthy of credit.
* It is said by Mr. McCulloch, that the iron and furs of Siberia, and the teas of China, occupy three years on their passage to St. Petersburgh.
minute are the meshes of the net which the modern emperors have stretched across their harbors, that of most of the articles that slip through, the fairest part of the substance is taken. From the Dardanelles, the gulf of Finland, and the Volga, through whose huge channels a cubic mile of water has been said daily to pass—from the vast aqueducts which open on the Caspian, the Black Sea, and the Baltic, to the slightest rivulet which is swallowed in the sands of Astrachan, or freezes on the rocks of Lapland—there is not a stream whose waters are not stilled, and whose freight intercepted, by the flood-gates which are to stop short the truant merchandise. One third of the value of the entire importation, and nearly one fifth of importation and exportation together, are detained before the rest can pass through; while in the remaining nations of Europe, which can certainly not be called too lax in collecting so important a branch of their revenue, the average is only one to six, and with both imports and exports, one to eleven. The taxes from duties, during the two periods of ten years which we have already several times made use of, are thus reported.
Rub. Pap.
| Period | Value |
|-----------------|-------------|
| 1814–24 | 396,126,285 |
| In a yearly average | 39,612,628 |
| 1824–34 | 673,339,401 |
| In a yearly average | 67,333,940 |
Being an increase in the last ten years over the first of 277,213,166 rub. pap., ($59,831,828;) or in a yearly average, 27,721,316 rub. pap., ($5,983,182.)
It may easily be imagined that under a system of duties so immense, smuggling is both lucrative and general. Over a frontier so extended as that of the entire empire, there must be points which are unwatched; while in the attempt to watch them, a sum of money is expended which requires a fresh revenue to support it. Between 1814 and 1824, there were goods confiscated to the amount of 3,353,665 rub pap.; and in the following ten years the amount rose to 6,243,668 rub. pap.; or about $1,348,299. "We must conclude therefrom," says Schubert after reviewing the facts we have cited, "not that smuggling is diminished, on account of the greater success of the guard that is held over it, but that on the contrary it has vastly increased, and the increase of the smuggled goods that are confiscated may be taken as indication of the rapid strides which in twenty years it has made."—Schubert's Statistik, I., 242.
Raw Sugar, among the articles of importation, stands the highest. The quantity imported was valued in 1827 at 28,800,000 rub. pap.; in 1828 at 33,000,000; in 1829 at 38,000,000; in 1830 at 33,000,000; in 1831 at 24,600,000; and consequently, at a yearly average of 32,000,000 rub. pap., ($6,880,000,) or about one sixth of all the imports together. Its consumption has been multiplied sixty times since the beginning of the present century.
Coffee, of which a quantity is annually imported equal to about one sixth of that of sugar, was at its highest pitch in 1825, at 6,769,147 rub. pap., but fell on the average taken between 1827 and 1834, to 5,000,000 rub. pap. in value.
Raw Cotton, in its natural shape, or as yarn, whether raw or spun, ranks next to sugar in the list, and stands as nearly one sixth of the sum
of the entire importations. The value of the amount received between 1827 and 1832, averages at 31,000,000 rub. pap., and was at its highest pitch in 1829, when it was imported to the value of 38,500,000 rub. pap. Since 1805, it has increased 5,000 per cent. As the domestic manufacture of cotton has improved, the cotton goods imported have diminished in quantity one half.
Coloring stuffs, of which indigo constitutes a third, were imported between 1827 and 1832, at an average worth of 20,000,000 rub. pap., and ranks at about one tenth of the entire importation.
The average of silk goods imported in the last 20 years, is rated at 9,000,000 rub. pap.
The importation of woollen goods has considerably waned since 1820, since for that year its value was equal to 22,300,000 rub. pap.; and in the average between 1827 and 1832 at about 7,500,000 rub. pap.
Wine has remained constant since 1825 at 11,000,000 rub. pap., of which all, with but slight exceptions, is French, and one fourth is champagne.
The yearly importation of Tea, may be taken between 1825 and 1835 at an average of 5,600,000 rub. pap.
Tobacco, since 1825, is estimated at 2,750,000 rub. in yearly value, and Lead at 1,500,000.
The principal articles of exportation are raw commodities which in Russia alone are produced to excellence. Flax and Hemp, in their manufactured shape, or in the shape of seed, expressed oil, or made up into coarse stuffs, sail-cloth, or ropes, constitute one third of Russian exports, and form in themselves goods which are indispensable to every commercial nation. The amount in which they are exported, when taken at an average between 1825 and 1835, reaches 80,000,000 rub. pap., ($17,200,000:) of which hemp-seed and flax-seed are rated at 13,500,000 rub. pap., oil drawn from both the two commodities at 3,000,000 rub. pap., raw hemp at 23,000,000 rub. pap., raw flax at 26,000,000 rub. pap., cordage and tackling of various kinds as manufactured at 3,000,000 rub. pap., and sail-cloth and coarse linen at 11,500,000 rub. pap.
Tallow stands next on the list of exports, which was exported on the yearly average between 1827 and 1832 to the amount of 40,500,000 rub. pap. ($8,738,100:) being one sixth of the whole export trade.
Corn and Meal, to the value of 37,500,000 rub. pap., ($8,080,450,) was exported on the yearly average between 1825 and 1832; ranking therefore but little behind tallow on the scale. But the corn trade varies exceedingly both with the home supply and the foreign demand, and as no limit can be set to the fluctuations of crops in a country whose climate is so various as that of Russia herself, the amount of corn and meal in the market has been generally found to be most abundant when it was least wanted, and when the scarcity in other nations was greatest, to be the least plenty.
The exportation of Bristles has doubled since the commencement of the present century. It was rated on the average taken between 1827 and 1832, at about 4,300,000 rub. pap. in value. Hides and Leather within the same period average at 7,000,000 rub. pap. yearly.
The harbors of the Baltic, though a century ago they were known for little more than their vast extent and their great capabilities, have become since the founding of St. Petersburgh the principal avenues to the Russian
empire. We shall be obliged to limit our observations on their character, as well as on that of their more ancient though less flourishing rivals on the Black Sea and the Sea of Asoph, to the consideration of that of the capital itself, which has risen to a rank so permanent and so lofty, that it will require a revolution to unseat it. Moscow is still the head of the ancient empire. In her monstrous temples may be seen the monuments of the old dynasty of Russia, and in the barbarous statues clad in armor that clings to the frame as if it had been forged around it, remain the last memorials of those mighty chieftains who shook Rome under Augustus with their blows, and overwhelmed Rome under the Constantines. Like the shell of the chrysalis, shed when its inhabitant starts to a sphere of existence more exalted, they were dropped on the spot where their gigantic masters, after a sway of centuries in those inhospitable regions which they chose for their final abode, vanished at last from the earth. Between Ivan the barbaric and Peter the Great, there was but a momentary transition; and though it took the young czar years of toil and abstinence to remould the great empire that fell in his hands, his accession itself made the turning point between barbarity and civilization in the east of Europe. The tide has but commenced to roll back. It was ages in arriving to its ebb, and it may be as long before its course is completed. St. Petersburgh, however, we may take as the capital of the new empire; and in its commercial strength, as well as its courtly splendor,—in its natural as well as its conventional advantages,—it is suitable to be the centre on which shall revolve the system of the vastest nation on earth.
St. Petersburgh, according to the estimate of 1835, possesses forty-six great importing and exporting houses, of whom three act as bankers, one hundred and forty-one commercial establishments of the first scale, one hundred and sixty-one of the second, and nine hundred and eighty of the third. The number of ships passing in and out of the harbor of Kronstadt in the six years between 1820 and 1826, was 6,000, or 1,100 on a yearly average, and with cargoes of 130,000,000 rub. imports, and from 95 to 105,000,000 rub. exports. In the eight years from 1826 to 1833, the yearly average of ships entering and leaving reached 1,289, of which over one half were English, one fifteenth Prussian, one fifteenth Swedish and Norwegian, one twentieth Hanseatic, one twentieth from the United States, one twenty-fourth Russian, one twenty-fourth French, one twenty-fourth Danish, one twenty-fourth belonging to Mecklenburg, Hanover, and Oldenburg, one thirtieth from the Netherlands, with occasionally a very few from Spain and Portugal. Of the entering ships, six sevenths are usually fully laden, and one seventh in ballast; of the ships sailing out, but very few are laden with ballast alone. The imports into St. Petersburgh in the eight years of 1826-33, are averaged yearly at 150,000,000 rub. pap., or about $32,225,000; the exports during the same period, at 111,500,000 rub. pap., or about $23,972,500.
It will be seen by an examination of the statements which it has been our object in the present paper to exhibit, that the commerce of Russia has advanced during the last fifty years, in strides which are unexampled in the history of Europe. The ten league boots in which our own country has marched, have been rivalled by those which are worn by our great European ally. Large tracts of land the most fertile have in both instances been rescued daily from the deserts which before had been the hunting grounds of savages, and mines have been opened and productions raised
which are more rich and more useful than those which, in earlier ages, had formed the entire support of the European commercial nations. From the sleep of barbarism, Russia has been in the last century collecting herself; and though her strength is yet far from being perfect, and her faculties are numb from the torpor in which they so long have lain, we can estimate her future might by the grandeur of her proportions, and the variety of her resources. We hope that the period will soon arrive, when she will cast off the swaddling bands with which the cupidity of her rulers have enclosed her. The ancient czars, and in some degree the modern emperors, have looked upon their heritage too much in the light of a vast speculation, from which they were to reap whatever could be reaped while the sun shone; and as in older times the most prodigal waste would be committed, to the dispersion of the heir in remainder, in order to secure some slight temporary profit to the tenant in possession, so in our own times, the most oppressive duties have been laid on foreign commerce, without regard to the blighting consequences which would ensue, for the purpose of pensioning a favorite or carrying on a war. The business of trade has been lifted from the hands of its legitimate guardians—from the hands of merchants who have spent the first half of their life in severe apprenticeship—and has been placed in the crowded fangs of a government whose duties are already too heavy for it to compass, but whose avarice for authority increases in the degree that the capacity for its exercise diminishes. It is not the fault of the Russian emperor, that his subjects on the frontier are divided into two great, though disproportionate classes; and that while one tenth of them are employed in the enforcement of revenue laws, the remaining nine tenths are employed in violating them. It is not his fault, we should say, were we to concede that his commercial policy is just; for so extended is his heritage, and so scarce its inhabitants, that it would require the marshalling of a standing army of one half his entire population to prevent the entry of a chest of tea or a barrel of herring. We might stop to consider, with so fruitful an illustration before us, the danger and the inefficiency of that high pressure system which places in the hands of the civil administration the regulation of the affairs of trade. Russia has been struggling, since she has ranked among independent nations, to develop more strongly her gigantic resources. Her laborers, servile and goaded as they are, have produced, year after year, crops of their peculiar, though inestimable commodities, sufficient to buy them in return the comforts which are necessary to lift them from their degradation; but her government has stood by and told them—you may till and tire, you may produce and sell, you may export to the full limit of your labor, but when the returning produce comes to port, when the goods which you have labored to buy are brought back to you in payment of the goods which you have produced, they shall be met with taxes so great, as to stop their further progress; or, if not actually to prevent their entrance into the empire, to prevent their sale to those by whose exertions alone they are imported. Such a policy has taken the reward from industry, and has, therefore, destroyed its necessity. It has weakened the faculties of production, in the proportion that it has cut off the food by which they are nourished. But we may go further, and maintain, that through the restrictive system, carried out in its furthest ramifications—through the system of governmental interference into the domestic concerns of society, both collectively and singly—an
engine of despotism has been engendered, so complete, that till a revolution shall take place, which shall bring the separated classes again into juxtaposition, and restore the general circulation of the state, its resources must remain shackled, and its limbs incapable of complete and healthy exertion. We conclude by the consideration of,
V. The commercial qualifications of the Russian people.
By a decree of the Empress Catherine, dated 24th April, 1785, and confirmed and made perpetual on the 2d April, 1801, by the Emperor Alexander, the entire mass of the inhabitants of the cities was set apart from the nobility on the one side, and the peasantry on the other, by an act of incorporation which endowed it with peculiar privileges, and placed it under peculiar restraints. Six distinct divisions were instituted, in which the inhabitants of the empire, exclusive of the nobility and the peasantry, were thrown. We place them in the order in which they are laid down by Schubert. (Allg. Sta. i. 176.) The first class contains the citizens proper, or citizens who possess a house or a freehold in land within the walls of a city. To the second belong the Gilden Burgers, who are required to possess, distinct from their inherited estate or their trading assets, a certain actual capital, liable to taxation. To be numbered in the first Gild or subdivision in which the second class is divided, it is necessary to possess a capital of 50,000 rub. pap. (about $10,750.) For the second Gild, 20,000 rub. pap. ($4,300;) and for the third Gild, 8,000 rub. pap. ($1,720.) Foreigners who are not enrolled as permanent citizens of the Russian empire, cannot be received within the Gilden, except by a special act of the members of the senate of the Gild which he wishes to enter, and even then he is forced to pay as a fee for admission, a sum equal to the capital necessary for the first Gild. To pass from a higher Gild to a lower, is only admissible in December, though it is allowable to rise upwards in the scale at any period throughout the year, provided that the applicant had certified to the sufficiency of his capital on the January preceding.
To the third class belong the members of the various domestic trades, arranged in their corporate capacity. The masters and apprentices of each trade are required to enroll themselves in the book which contains the names of their fellow craftsmen; and in accordance with the spirit which has been shown by the most of the emperors for the encouragement of domestic industry, foreigners are admitted without any other requisitions than those which insure their proficiency in their art.
The fourth class contains foreigners not included under the preceding heads, who at the time, on account of business, are making a sojourn in the state.
In the fifth class are numbered the Namhaften Burger, or citizens of consideration. It comprises the ordinary officers of state, together with artists and scholars who have passed successfully through their academical probation, and have obtained the credentials of their individual proficiency.
The sixth class is composed of the Rasnotschinzy, or all such as remain from the general mass after the preceding divisions are extracted. It comprises, therefore, all who are not entered into the five preceding classes, and who support themselves through day-labor, or employments which are not therein specified. They have the privilege, if privilege it may be called, of returning to the state of semi-slavery in which the peasantry are thrown, and of overleaping thereby, barriers which are in other
respects insurmountable. But whatever changes they may undergo, or whatever may be the vicissitudes of condition their descendants may experience, they are allowed to dispose without shackles of their property as far as it is situated within the bounds of a city, or to bequeath it at their death to their children.
It must be remembered that the whole population of Russia is ranked into three cardinal divisions. The nobles are endowed with official prerogatives more extensive than their brethren of the older European monarchies, though at the same time their personal freedom is more limited; the citizens or freeholders are divided into the classes whose condition we are at present discussing; the slaves, or peasantry,—for under the diseased system which we are considering the terms have become synonymous,—constitute by far the greater part of the population, and are reduced to a state of degradation which we think we may be safe in affirming, is unexampled in the records of modern times for its extent and its completeness.
It is by a reference to the condition of the servile classes, that the privileges of the citizens or freeholders can be best estimated. The slaves are regarded very much in the light of fixtures appendant to the land with which they are sold, or at best, as chattels that may be separated from it for a time for the convenience of trade: the citizens are allowed the right of locomotion within a limited extent, and are enabled to hold and to convey property. They can found factories and build workshops without special permission from their overseers; and from the usual restrictions which are laid on the purchase of slaves they are exempted. The members of the Gilden are singled out from their fellow Burgers, insomuch that they are freed from the operations of the arbitrary taxes which it is the privilege of the emperor to lay down, and they are subjected in their stead to a fixed yearly tax of one per cent on the property which they have been assessed to possess. They can enter into contracts with the government itself, are chartered to supply the crown with provisions of all kinds, and are enabled to sell, with the exception of brandy and salt, whatever commodities may be brought within the market.
On the members of the first Gild, who are required from its constitution to possess at least 30,000 rubs., favors the most peculiar and exclusive are heaped. They are divided into two parts, of which the members of the first are called the Merchants of the first class, those of the second, simply Fellows of the First Gild. The merchants of the first class have the monopoly of the trade, both with the interior and with foreign countries; they can drive a coach and four, which seems to be looked upon as a conventional prerogative of the most flattering order; they can carry a sword; and the heads of their families are entitled to appear in court. The fellows of the first Gild, on the other hand, are allowed to participate in the business of banking; can enter besides into the trade of the city in which they live, and can establish workshops, manufactories, and forges. They can possess ships as well as smaller craft, and have the privilege of sending their goods to the various cities and courts of the empire. They enjoy, also, the honor of driving in a calash with two horses, and of being exempt from capital punishment, except in case of high treason.
The merchants of the second Gild are allowed to carry on every branch of the interior trade, to possess boats limited to river navigation, and to transport their goods by water and by land to cities and fairs under the
usual prescribed limitations. They are precluded from entering into the foreign trade, and their capacity of striking bargains with strangers is limited to domestic agricultural produce and raw stuffs. By an ukase of the 16th of May, 1798, they were allowed to employ body slaves to work in manufactories and mines, under condition, that the slaves themselves should henceforth be considered as appendant to the works in which they were introduced, unless the mineral or the raw material they were to labor on should be exhausted.
The merchants of the third Gild are privileged to enter into the retail business both in city and in country, and to peddle in the wares with which their trade is concerned at all places within the province in which they dwell. They can possess workshops and manufactories, can build or buy boats of the smallest description, can hold taverns or smaller establishments for public accommodation, and can enter into contracts with the crown which do not exceed the sum of 12,000 rub. Their official dignity is measured by the fact that their equipage is limited to one horse.
We do not feel it necessary to enter further into the labyrinth of Russian mercantile subdivisions. There is net within net, and mesh within mesh, and from the great importer who drives four Arabians to the pedler whose barrow is horseless, there is a grade into which every business man is thrown, and a grade from which the most ambitious cannot emancipate himself. In the solitary recesses of his distant cell, the imperial spider sits and weaves meshes still more fine and still more subtle; and the merchant who once finds himself caught within their rings, feels that the sphere of his future existence is limited by the narrow zone that is thus described. Sectional pride, the most dishumanizing feeling that can reign in the human breast, is fomented by the supreme authority as the passion that is most conducive to his safety; for he knows that when the jealousy and the suspicion of each of the infinitesimal fractions into which his subjects are divided, are directed against each other exclusively, he may sit secure on a throne which is built on their collective degradation.
Trading, the ladder by which the Yankee boy climbs till he reaches the regions of wealth and power, has been stripped of its ascending bars, and presents to the young Russian apprentice the spectacle of a feat which is almost Herculean. He may mount, but he must mount without the usual assistance by which mounting is made practicable; and though by some fairy helps he should pluck, during his wanderings, seed which may produce bean-stalks as gigantic as those by which the hero of the nursery tale arrived at the elysium of his hopes, he must content himself, when he reaches it, to be looked upon by its rightful inhabitants as an interloper.
By a report made at the middle of the reign of Catherine II., in 1782, it appears that there were at the time 107,408 merchants and pedlers, together with 293,708 members of the class of citizens or freeholders, who could not be ranked with the two foregoing heads. Eleven years later, (1793) there were 127,856 merchants, and 428,380 of the remaining orders of citizens; in 1810, the total amount had risen to 621,399, and in 1816, to 900,000. In 1829, the number of the citizens amounted to 1,000,000; of whom 36 were merchants of the first Gild, 1,368 merchants of the second Gild, 24,629 of the third Gild, and 47 foreign merchants. We can, therefore, by estimating 5 heads to each family, rate the entire number of the citizen orders at 4,500,000, or about one twelfth of the population of the empire.
It would be beyond our province to enter more largely into the condition of the various ingredients of Russian society. We might say, however, that slavery has been incorporated in it, in a measure which is unequalled both for its comparative amount and for its actual strength. The number of body slaves amounts to 21,000,000, and it is said by Schubert that the number of slaves altogether constitutes six sevenths of the population of the empire. They have been placed there by the actual interposition of the supreme authority; they are received into the texture of society, by the continued exertions of those by whom society is governed; and without, therefore, the justification which may be afforded from the fact that exists with us, that they are the remnant of a race who were transplanted among us by the men of distant generations, who brought them here without our consent, and kept them among us till they became necessary to the cultivation of the soil. The Russian slaves spring from the same family as the masters who rule them, and have been reduced to the slavery in which they now stand by those who are making use, in order to clinch it, of whatever means their temporal authority may give. The slave who tills, and the sovereign who lounges, are branches of the same stem; and though emancipation could this moment be effected without the danger of a servile war, though none of those violent antipathies of blood and color are raging which in other circumstances might be recognised, emancipation is opposed with all the coldness which a heart of stone can give, and delayed by all the vigor which is wielded by an arm of steel.
It was not, however, our purpose to show that unfortunate as may be the social evils under which as a country we labor, they are by no means so extended nor so flagrant as those which are at present in existence within the limits of the European continent. Our object was to exhibit in its strongest bearings the oppressions which are worked by a system of commercial restrictions, which, from the theory on which it is built, is of all examples the most perfect. One great axiom, if an absurdity can be called an axiom, was set out with by the founder of the Russian empire. A country that exports more than it imports has the balance of trade in its favor; and a country that has the balance of trade in its favor is on the high road to prosperity. A man who has a field full of a drug of which he can himself consume a trifling quantity, is certainly right in getting rid of as much as he can with convenience; but if he should persist in refusing a proper exchange for his commodity, and should determine to give it away scot free, he is impoverishing himself, instead of adding to his riches. It has been the aim of the Russian government to force out of the empire as much as could possibly be so disposed of, and to prevent the entrance of any thing in return but specie and the precious metals. Valves were stretched over the mouth of each port, which open very readily when the stream was outward, but when the tide ran up, close their lips with a tenacity which nothing but a golden cargo can loosen. It is forgotten that specie, though admirably calculated for a circulating medium, is intrinsically impotent as a source of wealth, and that a nation, as well as a man, may starve in the midst of gold, if it is destitute of ordinary nourishment. A population so vast and so diversified, while it is capable of raising in a great degree the commodities which thrive in the climate over which it is spread, or spring up in the soil which is allotted to it, finds that of the other articles which are necessary to the comfort of life it can raise but few, and those few but with great toil and with great expenditure. Its
primary object is to supply itself with the articles of which it is most in want. Its secondary object is to rid itself of those of which it has no necessity. But by some strange misconception of the character of trade, while in such cases a high tax is laid on the foreign commodities that are thus required, the government makes use of its entire official strength to export, without getting any thing in return but gold and silver, not only the most unnecessary, but often the most valuable, of their domestic productions.
Such has been the policy of Russia since her entry upon the catalogue of commercial nations. Certain commodities, peculiar in their best condition to her soil, and useful, though not indispensable to other nations, she possesses in abundance, and she certainly cannot be accused of a desire to keep them to herself. On the contrary, she has shown a lively and consistent determination to force hogs' bristles, hides, ropes, manufactured leather, and tallow, upon whomsoever could come within her limits; though with the condition that specie, no matter how low it may be, should be paid for them, instead of articles of which she is infinitely more in need, no matter what may be their price. But the nations with whom she contracts, having but a certain amount of the precious metals, are obliged to check their demands after a little while, and turn the proffered commodities from their doors. On the basis of exchange they were willing to meet, but they refuse to drain their dominions of an article which, though it is of no intrinsic value, they possess only to a limited extent, and have chosen it for that very reason as a standard of domestic circulation. The consequence is, that the sale of Russian productions is but a fraction of what it would be were the protective duties on foreign goods removed, while the Russian people themselves are debarred from the enjoyment of those immense advantages which unrestrained commerce could give them.
There is no doubt that Russia, in spite of the pressure of her tariff, has been progressing rapidly in her course as a commercial nation. The increase in the sale of many of her standard productions has increased tenfold in the last fifty years, and in very few cases alone has she retrograded. But it must be remembered that she has sprung within that period from a state of semi-barbarity, and that half a century more backwards would place her among the Goths and Vandals of the north. Her strength was great but ungainly; it was as unlimited then as it is now; and it is in the method of making use of it alone that she has improved. We cannot, therefore, place her on a par with nations who were lead forth from the nursery and drawn into the bustle of life before their muscles were formed or their growth completed. She took her place among nations with an arm that was qualified to compete with those of any around her; she stepped out from her cradle in the prime of her savage strength; and though, like the Orson of the woods, her motion was ungainly, and her might often spent in vain, she found in the gentle teachings of the spirit of commerce that wooed her, a code that before long had chastened her exertions, and placed the discordant forces which she brought to bear, in a resultant in which they would be more potent.
Such was the cause of the first rapid start that was taken by the Russian empire. Her sails were spread to court the breeze when the eastern waters were first ruffled by its progress. For many a weary day her mariners had lain listlessly in the idle sun, or had dissipated their strength in rude pastimes. But at once, there started up by the helmsman's stand
a pilot who could guide the rudder over the boundless waste in which the ship was thrown, and in a moment she was careering along the seas in the fulness of her complete equipment. It was not until her sails were lowered and her rudder turned that her course was impeded, and the progress checked which she was making to the highest station among European nations.
We believe the time will come when the shackles of commercial restriction will be removed, and when mankind will be left free to enjoy the provisions which, under every clime, Providence has spread before them. Wealth consists in an enjoyment of the comforts of life and a participation in its luxuries, and we may look forward to an epoch when those narrow barriers will be disregarded which had been laid in the way of a communication among the nations of the earth as free as that between the individuals of a nation. In such an era, though from the entire equality of station, and the reciprocity of obligation, it will be difficult for one state to maintain an actual superiority over others, we can imagine that those great regions in the northeast of Europe and the north of Asia, will be brought to a degree of usefulness that will raise them to their just importance in the economy to which they have so long been a drag. We are beginning as a people to learn that to pave the way for so great a consummation becomes our own duty as well as the duty of our neighbors, and that by the stand which as a free nation we are bound to take, we may give to those whose constitution is more defective or whose opportunities are less complete, courage to enter upon a course which will lead to the free diffusion of blessings which by general consent alone we will be able to realize.
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**Art. II.—COINAGE OF THE PRECIOUS METALS.**
The invention of money, in its simplest, rudest form, is involved in considerable obscurity. Personal property, as represented by any metallic device, is ascribed to Cain, the son of Adam, but on exceedingly doubtful authority. Josephus has the credit of this hypothesis. But Abraham, who paid 400 shekels for a burying place for Sarah, his wife, is the oldest authentic record of a transaction in which a metal represented the value of property—"And Abraham stood up from before the Lord and spake unto the sons of Heth, saying—That he may give me the cave of Machpelah, which he hath, which is in the end of his field, for as much money as it is worth," &c. "And Ephron answered Abraham, saying unto him, My lord, hearken unto me: the land is worth 400 shekels of silver. And Abraham hearkened unto Ephron, and Abraham weighed to Ephron the silver which he had named in the audience of the sons of Heth,—four hundred shekels of silver, current money with the merchant."
Although this chapter of Genesis is the oldest of which there is any knowledge extent, in which money is mentioned, we are irresistibly led to acknowledge the fact, that Abraham as well as the Canaanites, the original inhabitants of the country, with whom the bargain was made, entertained the same views that we do in relation to the value of it. And it also clearly appears that the business of the merchant, the regular traffic of buying and selling, was as well understood in all its multiplied details,
as at the present day; for it is positively declared that he "weighed 400 shekels of silver, current money with the merchant." It moreover presupposes its universal diffusion amongst the nations of that early age as a representative of property,—even long before the birth of the patriarch. The same ancient process of weighing money, characteristic of the age of Abraham, is still customary in Asia, and even in all banking houses of reputation throughout the world. The ancient Greeks were of the opinion that money was invented by Hermodice, the wife of Midas, king of Phrygia, who is fabled to have had the power of turning every thing into gold which he might touch. On the other hand, the Latins ascribed the invention to Janus, one of their imaginary kings.
We are led to the conclusion, that the simple exchange of one article for another, for which an individual had a strong desire, was practised, notwithstanding the reference which has been made to money. Homer, who probably lived between the ninth and tenth century before our Saviour, says that the golden armor of Glaucus was valued at a 100 oxen: and another set, the property of Diomedes, was worth only ten oxen.
The great inconvenience arising from that sort of traffic, however, in time, as men were multiplied, and their wants became more numerous, must have been felt to be particularly burdensome and inconvenient: there was no way in which a person could concentrate his property to a transportable form.
It seems as though by a general consent the primitive inhabitants of Asia, when the rights of individuals to property of any kind were recognised, willingly substituted something which would represent it. Convenience rendered it necessary that the substitute should be portable, or the object would have been wholly defeated.
As gold and silver were the rarest of the metals accessible to man, and the least liable to changes from those influences which, experience unquestionably taught nomadic tribes, affected the more common sort, a value appears to have been very early attached to them. This is inferred from the circumstance that mention is made of one of them, silver, as precious, and a representative of property, long before gold.
Trade originally must have consisted in the simple exchange of one article for another, for which one person either had need, or conceived that he had; but when the accumulation of certain goods gave advantages to the owner over those who were destitute, various animate and inanimate things were selected, from one period to another, to represent their value. A bow, for example, was considered equal in value to ten arrows,—because ten arrows could be manufactured in the time required for constructing one bow. Here, then, it seems to a considerable extent property was really the worth of one's time: that is, if one arrow could be made in one hour, then one arrow would be a compensation for the hire of one's time for that period.
Cattle, in Italy, were once the circulating medium, as in the age of Homer, and collectively were termed pecunia—a word derived from pecus, a herd. The term pecuniary, now in general use in monetary transactions, and thus applied in ordinary affairs of bargaining, was derived from the same root.
On the authority of Pliny, we are expressly informed that the first coin known to the Romans, had on it the figure of a cow. This simple fact evidently shows a relationship to the historical account of the former use
of those animals, to which the picture bore a significant reference. The object was to keep alive in the mind that it referred to something of more magnitude or certain worth, of which the possessor had a distinct knowledge.
The word money, universally understood by its power, was derived from the Latin *moneta, moneo*, signifying to mark. Thus all coins, with a few exceptions, in all countries, have ever borne some visible mark, either by device or character, expressive of their intrinsic value. Thus a piece of metal, of whatever kind, bearing the image of the Roman cow, was an evidence that it was of the value of one such animal; and another of double the weight or size, was equal in value to two or ten cows, as the case might be.
Subsequently, in order to make great wealth less bulky and burdensome, metals not readily accessible, and therefore necessarily scarce at all times, were selected,—being multum in parvo—much in a little space,—to stand in the place of the real articles, which were the acknowledged wealth of any one person, or the public. Finally, it is by no means improbable, even in theory, to suppose that a certain portion of gold, one fourth of the dimensions of that bearing a picture of the Roman cow, for example, because difficult to obtain from the earth, ultimately became the symbol of that useful domestic animal.
On a certain momentous occasion, says an early historian, when the Romans were exceedingly pressed for money, Juno informed them that if they would practice justice, they should always be supplied. The goddess was afterward called *Juno Moneta*, and her temple became the first regular national mint of which there is any tradition. In the course years, money was ascertained to be so useful that it was deified, and made a goddess, under the name of Dea Pecunia. She was represented as a female holding a balance in one hand and a cornucopia in the other. One was significant of just weight, and the other of plenty.
Savages and barbarians, wherever discovered, have ordinarily had some circulating medium, the acknowledged representative of property. The Indians of all North America, when visited first by our European ancestors, had an article of difficult fabrication, called wampum. So absolutely necessary was it to have something to represent property, in the first settlement of New England, in the scarcity of the precious metals, that long after the organization of the government of Massachusetts wampum was a legal tender.
The Sandwich Islanders had a whale's tooth, a kind of red ochre, and hogs. At the Marquesas Islands, a whale's tooth, twenty-five or thirty years ago, was the *ne plus ultra* of wealth; and the native who by any labor, artifice, or sacrifice, was so fortunate as to obtain one, constantly wore it suspended by a cord from his neck, and thus became the enviable Crassus of the whole region. The negroes of the west coast of Africa, and probably through the interior of that vast continent generally, have cakes of rock salt or cowries, a common muscle shell, stained red,—thousands of bushels of which have been carried there from this and other countries, for the purchase of ivory, gold dust, ostrich plumes, and slaves.
Iron bars were once in use by the ancient Lacedemonians for money, having been first heated and then quenched in vinegar. The odor exhaled from them was an evidence of a lawful preparation for trade in exchange for commodities; and it was understood, moreover, that all bars thus prepared should not be used for other or baser purposes. Besides, the notion prevailed that the iron cooled in vinegar was made too brittle for domestic use. This was a trick of the state to prevent unlawful imitations.
Before the invasion of Julius Caesar, the natives of England had tin plates, iron plates, and rings, which were money, and their only money. On the authority of Seneca, a curious account is given of a period when leather, appropriately stamped to give it a certain legal character, was the only current money. At a comparatively recent date in the annals of Europe, Fredich the Second, who died in 1250, at the siege of Milan, actually paid his troops with leather money. Nearly the same circumstance occurred in England during the great wars of the barons. In the course of 1350, King John, of France, for the ransom of his royal person, promised to pay Edward the Third of England 3,000,000 of gold crowns. In order to fulfil the obligation, he was reduced to the mortifying necessity of paying the expenses of the palace in leather money, in the centre of each piece there being a little bright point of silver. In that reign is found the origin of the travestied honor of boyhood, called—conferring a leather medal. The imposing ceremonies accompanying a presentation, gave full force, dignity, and value to a leather jewel, which noblemen were probably proud and gratified to receive at the hand of majesty.
So late as 1574, there was an immense issue of money in Holland stamped on small sheets of pasteboard. But further back in the vista of years, Numa Pompilius, the second king of Rome, who reigned 672 years before the Christian era, made money out of wood as well as leather; a knowledge of which might have influenced King John in the bold project of substituting the tanned hide of an animal for gold and silver, well known to his subjects to be exceedingly precious.
Both gold and silver appear to have been in extensive circulation in Egypt, soon after their potency was understood in Asia. From thence they were introduced into Carthage and Greece; and finally, travelling further and further in a westerly direction, the city of Rome discovered the importance of legalizing their circulation.
Weight having always been of the first importance in early times, the shape of money appears to have been regarded with perfect indifference for a series of ages.
Although there is a manifest difference between money and coin, they both convey to the mind, in our day, the same idea. The term coin, originally, was considered a pure French word, signifying corner.
Coin is considered by some antiquarians to be a corruption, and has reference to many varieties of ancient coins, which were ordinarily square, and consequently distinguished by their corners. Others derive the word from cuneus, a wedge, since ingots of bullion in former times were of that shape. Another class of bibliomaniacs trace the word coin to the Greek κοίνης, common, since it is the common object of necessity and avarice, the whole world through.
The etymology, however, is of little consequence, since most other useful inventions belonging to the earliest condition of the human family, are lost in the accumulating lumber of six thousand years.
When the bits and portions of metal received as precious, were extensively circulated, it is quite probable that each possessor shaped them to suit his own conception, as practised to some extent at this time in remote places in the East Indies:—the payer away cuts off parts with shears,
till he obtains, by exact weight, the stipulated amount. It was thus that men travelled with the evidence of their possessions in a sack. But great inconvenience must have resulted from this often tedious process; and as nations advanced in civilization and the economic arts, a certain mark or impression on certain sized pieces were acknowledged to be the sign of a certain weight. This facilitated negotiations, and afterward led to further improvements both in the shape, weight, and beauty of the external devices.
By and by the profile of the king, the date of the coinage, and the record of important events, gave still more completeness and character to the circulating article of exchange.
Although brass is a compound of two metals, zinc and copper, both existing in abundance, the method of compounding them might have been kept a secret from the vulgar eye, so that it was no difficult undertaking for an organized government to give it a fictitious value; and accordingly, till the reign of Gyges, king of Lydia, 720 years before our Saviour, and 300 after Solomon, the principal wealth of the renowned Delphic temple consisted of brass tripods, and vessels consecrated to the service of paganism. Of the scarcity of gold and silver in the infancy of some of the Grecian states, the following circumstance will bear testimony. One hundred and fifty years after the death of Solomon, the Lacedemonians were obliged to have recourse to Cressus, to procure the gold of which they formed the statue of Apollo, on Mount Thornax.
After that, Hiero, king of Syracuse, sought everywhere, and for a long while too, to obtain gold for a statue of Victory, and a tripod for the Delphic temple; and at length procured it at Corinth, in the house of one Architeutes, who had collected it in small quantities, by purchases. He supplied the king with the exact weight required, and besides gave him a handful, as a personal present, which Hiero repaid by sending him a vessel laden with corn.
Athenaeus quotes a passage from Anaximenes, tutor of Alexander the Great, who wrote 350 years before our era, which states that a golden necklace of Eriphyle, given her by Polynices, formerly the property of Venus, was chiefly celebrated because gold was so wonderfully scarce in Greece. The same author asserts that Philip of Macedon, in the early part of his prosperous reign, before he had procured gold from the Thracian mines, on retiring for the night, was in the habit of placing a certain little golden cup under his pillow for safety, so highly was it prized on account of the rarity of that metal in his otherwise rich dominions.
The scarcity of the precious metals in Greece from a very early point of history, down to the beginning of Philip's government, forms a striking contrast with the representations given by historians of their abundance in Egypt and India in contemporary ages.
The Grecians were hardly known to the Hebrews, and this is a reason why mention has not been made of them in the Old Testament. The knowledge acquired by the Jews of other parts of the world, was principally confined to Egypt, Arabia, and that part of central Asia denominated Chaldea or Assyria. Whilst they were themselves slowly advancing in civilization, the classic Grecians were unknown, because they were barbarians, and feeble as a people.
In Greece, silver was the first coined metal; but in Rome, where it was wholly unknown, copper and brass were the first used as money. The first valuation in the eternal city, was by the libra gravia eris—a
pound of heavy brass. Silver and gold were regulated by weight, after the army procured them by conquest. The old as well as the present Roman pound consists of 12 oz. of 458 grains each to the ounce—being just equal to the avoirdupois ounce.
Large sums of money in the old Roman world were invariably reckoned by a large weight, called *pondus*—or a hundred pounds of brass.
The first regular operation of coining money transmitted by history, was in the reign of Servius Tullus, 460 years before Christ. It was made of brass, and each piece weighed half an ounce. Shortly after, a larger piece was coined, called *sesterius*, equal in value however to only about five cents. Yellow brass possessed double the value of the common, or bronze-colored. Commencing with the reign of Augustus, the sesterius was wholly fabricated of yellow brass.
A new issue of money took place in the reigns of Valerian and Gallienus, made of copper, silver-washed, called *denarii*, equal in value to 10 asses,—being in our currency about $1\frac{1}{4}$ cents only.
Two hundred and sixty years before the Saviour, in the year of Rome 483, silver was made use of by government as currency, upon which was a large cross or rude letter X, numerically meaning 10, because 10 asses were represented by it.
This kind of coin was continually changing in value through a succession of emperors, till the original worth was entirely lost sight of. All those of the oldest date bear the figure of a female in a helmet, on one side, and the rude X in relief, on the other.
The next money, in point of time, had the head of Roma on one side, with the name of the master of the mint on the other, together with some minor figures. The third order, still younger, bore the head of the consul,—hence the name of *consular denarii*. Celsus, the physician, agrees with Pliny in saying that 84 denarii were coined from a pound of silver.
It is curious to remark, that one denarius, at the epoch of their greatest worth in Rome and its dependencies, was amply sufficient to support a man genteelly a whole day. Indeed, $1\frac{1}{4}$ cents would sustain the dignity of a Roman senator, so far as the necessaries of life were concerned, twenty-four hours. This, contrasted with the artificial requirements and luxury of our day, is particularly striking. The actual cost of a single dinner at a respectable hotel, would have boarded a Roman gentleman, when that power swayed an universal empire, more than seven days.
The next device amongst the Romans for representing property, in which much was comprised in a small space, was the invention of *golden* money, two hundred and four years before the Saviour. It was called the *auris*;—*denarius aureus*, or golden denarius.
Many curious and singular facts might be collected upon the history of figures displayed on the coins of different nations of antiquity, but the inquiry properly belongs to the details of the art of die-sinking.
Notwithstanding the detestation of the Jews to all pictures, reliefs, or resemblances to living things, because they entertained a fear that they might lead to idolatrous worship, they seem to have forgotten their own policy when the shekel exhibited the golden pot of manna on one side and the budding rod of Aaron on the other.
The Dardans, a free people of the ancient city of Dardanum, situated on the strait now called Dardanelles, figured two cocks on their money, in the act of fighting. Alexander pictured his famous horse Bucephalus
on his; and it was continued by the numerous generals who divided the ample dominions of their master amongst themselves after his death.
Many of the Athenian coins had on them the figure of an owl—and some an ox. There was a little attic wit upon this device, familiar to the Grecians—bos in lingua; for they used to say of a lawyer who did not exert himself to achieve a cause, as it was well known he had the power to do, that he had an ox on his tongue.
In Ægina, the money exhibited on its face a tortoise,—signifying that it should go slowly and deliberately from the pocket.
No living individual's features were stamped on money till after the overthrow of the Roman commonwealth, when the emperor fixed his miniature upon it. Since that prodigious innovation, the displacement of the gods and goddesses and arbitrary signs, the example has generally been followed by princes and rulers in all countries, with the exception of the United States and Turkey. But the Turks are not to be classed with civilized nations, while some of their principal institutions are utterly at variance with the scheme of progressive civilization and Christianity. Their money is simply inscribed with the name of the living sultan, as far as practicable, and the date of the year when Mahomet went to paradise. Their utter detestation of all kinds of images and pictures, totally forbids the introduction of resemblances to animate or inanimate things, at least under the sanction of government; nor would such specimens of art be willingly tolerated even in private.
A variety of strange devices are exhibited on European coins in each successive age, infinitely curious, and interesting to those who delight in studying the progress of the arts from age to age. Our own money neither bears the head of the president of the United States, nor any particular subordinate magistrate; but simply an ideal profile of liberty.
Formerly, in England, there was a mint in nearly every county in the realm. As the principles of government became better understood, the privilege of coining money was tacitly conceded, and wisely too in a monarchy, to be a royal prerogative. It should always be the exclusive right of the supreme authority of the land to regulate this essential, life-giving stimulus of national industry and individual enterprise, or it would be so debased, without the incessant vigilance of the law, that it would become utterly valueless.
From all we can discover in the history of the past, the multiplication of money has invariably belonged exclusively to the state. Till within a comparatively short period of two hundred and eighty years, the process of coining was extremely rude and unsatisfactory—being nothing more than placing a flat piece of gold or silver between two dies, engraved with letters or devices, and striking the upper one with a hammer sufficiently forcibly to make an impression in relief. This was rightly enough called hammered money, being in harmony with the spirit and letter of contracts in those days, which expressly provided for payment in hammered money; and meaning much the same as current money, with us. So far as the beauty of the pieces was concerned, it was invariably imperfect, arising from the difficulty of placing the dies exactly over each other, and striking a uniform blow. In a large portion of the old Spanish dollars, and particularly on the margins of the pistareens, there is the appearance of inequality in width as well as thickness—resulting from a sliding, as it were, of the dies.
The French are wholly entitled to the credit of having invented the coining press, first used in the palace of Henry II., between 1550 and 1553.
Henry III., however, re-established the hammer dies, on account of the cheapness of manufacturing with the old tools. During the reign of Queen Elizabeth, the press was introduced into England, but in about ten years abandoned on the same account as in France. In 1645, Louis XIV. again patronised the new money-mill, and in 1623 it was again revived in England, although alternately used with the hammer and dies till 1662, when its utility was completely established over the old and antique process.
Coining is now performed in the tower of London, as at Philadelphia, Charleston, and New Orleans, by steam power. Eight presses, attended by as many small boys, will coin 19,000 pieces of any denomination of money in one hour; and the machine in the mean time registers itself the exact number, so that it is literally impossible for a workman to deceive the overseer.
English money obtained the following specific designations quite early after the legal system of coinage was established. The pound at first really was a pound in weight, of silver; after a while a number of certain kinds of pieces collectively weighing a pound, being more convenient, were received as equal to one solid mass; but there never was a real piece of money stamped as a pound. The pound consequently refers to a certain amount or aggregation of small and convenient pieces of gold or silver, existing in the coffers of the government, or promised on the face of a note issued on the authority of parliament, as the case may be.
Cash, in commercial language, means ready money, supposed to be in immediate possession, from the French word caisse, chest or coffer.
Guinea was so called because first made of gold brought from that part of Africa, and formerly bore an elephant on one side. Angels, now extremely rare, are no longer wrought. Penny was once called penig by the Saxons. Farthing means four things, or parts of a penny, &c. Copper was coined in Elizabeth's time, in small quantities, but not well received by the public.
During the existence of the Saxon heptarchy in England, money was scarcer than it ever was before, from the invasion of the Romans, or at any period since.
When the Romans abandoned Britain and Gaul, over which their dominion had been supreme, they carried with them every thing that was considered portable wealth, leaving nothing behind to which they attached much value. What is now Great Britain, especially, was left so deplorably poor, as it regarded gold and silver, that living money, so called in law, became a legal tender. This consisted of slaves and cattle, which passed currently and without question, in the payment of debts, and really supplied the deficiency of money. Here we see man suddenly reduced to the necessity of resorting to the primitive mode of transacting business, which has already been adverted to. When one person owed another a certain sum, if he could not raise the coin, or only a moiety of the stipulated sum, the deficiency was made up in living money, which was understood to be slaves, horses, cows, and sheep, at a rate established by law. All kinds of mulcts imposed by the state, the courts, or penances by the church, were paid in dead or living money, as was most convenient; with
one exception, for the church always refused slaves in payment for penances. This custom was so general in Scotland and Wales, that it is believed no coinage took place in those countries in the Saxon ages.
The very little money, however, kept from the Romans, in the country, was almost exclusively struck at Constantinople, and called Byzants. One pound of gold was coined into seventy-two of those pieces. St. Dunstan, who figures in English history, purchased of king Edward the manor of Hendon, in Middlesex, not far from the year 960, for two hundred byzants; being a little more than three pounds weight of gold, which would make the cost one hundred and fifty pounds sterling, not the present one thousandth part of its value.
Alfred the Great was one of the richest princes of the age in which he lived, yet he bequeathed only five hundred pounds to each of his sons, and one hundred to the daughters. The Saxon pound weight of silver was 5,400 grains, which, in the present English currency, would be fourteen hundred pounds to the sons, and two hundred and eighty pounds to the daughters.
In the reign of Ethelred, anno 997, the price of a man slave was £2 16s. 2d.; a horse, £1 15s. 2d.; an ass, 14s.; an ox, 7s.; a cow, 6s. 2d.; a swine, 13s. 10d.; a sheep, 18s. 8d.; and a goat only 4½d.
Notwithstanding the low price of what were generally considered necessary commodities, the nobles were corrupt, and as much addicted to sports of the field, as under the government of Queen Victoria. At that period, the price of a greyhound or a hawk was the same as that of a man slave; and the robbing a hawk's nest was punished as severely by the law as the murder of a human being.
Ethelred was compelled to pay tribute to the Danes, which so exhausted England, as again to compel the country to submit to the monarchy of Canute. In France, at the period we are contemplating, the scarcity was equally embarrassing. Charles the Bold, at the close of the ninth century, when projecting a military expedition into Italy, could only raise, by all methods in his power, some of which were extremely unjust and oppressive, 10,000 marks, or £18,000. By the accounts preserved in the Cathedral of Strasburg, the wages paid the masons who labored on that magnificent edifice, was only two pfennigs a day. The pfennig was a copper coin, of which one hundred and twenty were made of a pound of the metal. When the great bridge of Dresden was erected, in the thirteenth century, two pfennigs a day was the sum each mechanic received.
Low in value and character as was the coinage, it was counterfeited, debased, and even clipped to a great degree, though the law visited the criminal, when detected, with all its might and terribleness. The Jews, whether always justly or not, were prodigious sufferers, for cruelties towards that oppressed remnant of Israel were considered meritorious by all classes of society. Two hundred and eighty Jews were put to death in London alone, for debasing and clipping money, in the single year of 1279, besides many more in other parts of the realm. That was an ominous period, for at the time of those executions, all the goldsmiths in the kingdom were simultaneously seized and thrown into prison on mere suspicion that they were guilty of the same crime.
Richard I. of England, in 1192, on his return from the Holy Land, was made prisoner by the Duke of Austria. He wrote a letter to his mother, queen Elenor, and to the judges of all England, beseeching them to raise
the price of his ransom, which was fixed at 70,000 marks, or £140,000. No application was made to the merchants for assistance, because they were probably too poor. In 1194, when the king was released, the ransom was raised by melting the silver cups used in the holy eucharist; and a tax of one fourth of the income of all persons, including ecclesiastics, was laid; and then, it was only by the friendly assistance of France, that the monarch finally raised the whole sum.
The iron money of Lycurgus, the South Sea Bubble, the tulip mania of Holland, and the issues of paper from banking institutions incorporated with certain privileges, are subjects of profound interest, on account of the influences they have exerted on the affairs of mankind.
Lycurgus, the Spartan lawgiver, who flourished a little while after the splendid and glorious reign of Solomon, not far from nine hundred years before the advent of the Saviour, in order to regenerate the political character of a country which he considered on the verge of destruction—a nation whose rank and fortunes had fallen below the standard of supposed excellence in war, and surely, therefore, sinking into comparative obscurity, and whose redemption seemed to depend on a thorough reformation of manners—first equalized the landed property. In imbecile Sparta, as everywhere else, there were the poor and the rich; but under the vigorous system of regeneration adopted by that most resolute and daring theorist, each man had a lot of ground given him, which was capable of yielding, one year with another, upon the average, seventy bushels of grain; and twelve for every woman, besides a requisite quantity of oil and wine.
He then attempted to subdivide their moveable, personal property, in order to take away all appearances of inequality; but he soon perceived that such rashness could not be tamely endured, and Lycurgus therefore contrived another less offensive, but not less arbitrary method, of achieving by stratagem what he could not accomplish by more direct means.
First, he interdicted the circulation of gold and silver, and ordered that the only metallic representative of property should be of iron exclusively. To a great weight of that he assigned but a very small value, so that to lay up ten minæ, (§142 37,) a room was necessary for its storage, and to move it from one place to another, it was necessary to have a yoke of oxen.
When the Spartans, however, became dissatisfied with their native territories, as prescribed to them by their despotic legislator, and broke into other countries in their wars, iron money was of no service; the gold of the Persians dazzled their eyes, till at length they became actually distinguished for covetousness, and renowned for a morbid appetite for that which they had been positively forbidden to use.
During the long period of the Peloponnesian war, the Spartans were sometimes vanquished, but often the victors; yet they could never have made any serious impression upon their rival foes, had not stupidity and folly weakened their ranks.
From the moment the Spartans became money-loving, may be dated the complete ruin of their vigorously disposing constitution. The treasures found in Athens, the spoils of Persia, the plunder of unoffending strangers, together with the fruits of commercial industry, were transported by Lysander to the home of the iron minæ. He was a commander of prodigious power and unbounded ambition; proud, haughty, avaricious, and not at all scrupulous about the means by which he accomplished his
ends. Having gained over to his views a strong party in Sparta, he prevailed so over them as to introduce riches into the state; not, as was asserted, for the benefit of individuals, but on account of the pressing necessities of the government. But it soon found its way to the coffers of individuals, and consequently carried with it dissensions, luxury, and a fixed aversion to the rigorous discipline of their fathers. Very speedily, notwithstanding the supposed stability of a fundamental law on which their property was acknowledged to rest, people began to manifest an eagerness to possess the new money, as an alleged means of improving their condition, and of elevating themselves from that positive dependence which Lycurgus, by his institution, had intended permanently to establish. A common bond of union was consequently destroyed by the introduction of a new species of wealth, the exclusion of which had raised Spartan reputation, till the nation was regarded almost as invincible. Interests were by and by divided, and each one contemplated in the growing degeneracy objects altogether foreign to national glory. Such was the consummate skill of Lysander, however, that he diverted all minds from the enormous vices, profligacy, avarice, and dissimulation of which he was guilty. With the acquisition of foreign money came effeminacy, physical debility, laxity of morals, and impiety. Neither purity of thought nor public virtue, could be restrained against the devouring influence of money in the once invincible Sparta. Such is the simple story of an experiment on a larger scale of first abrogating the use of money, where it had once been the representative of wealth and power, as the greatest obstacle to national integrity and virtue.
Xenophon relates that Lysander sent from Athens many rich spoils, beside 470 talents of silver. Its safe arrival at once created disputes and bickerings to which they had not been in that generation at all accustomed. Some celebrated the praises of the fortunate commander, and publicly rejoiced in his good fortune; but others, who knew the nature of wealth, and who also understood the value of their constitution, entertained an entirely different opinion: they looked upon the receipt of this enormous treasure as an open violation of a law imposed upon the state under peculiar solemnities. They even had the fearlessness, notwithstanding the increasing corruption of manners, to express their apprehensions in the ears of the magistrates.
Events followed in quick succession that justified their apprehensions. Dissensions, dissatisfaction with the administration of affairs, and the indolence and advancing poverty of a once proud-spirited race, was perceptible to surrounding nations in the rapid decay of all the former distinguishing characteristics of Spartan heroes.
It is obvious that the experiment of Lycurgus was diametrically opposed to those innate feelings, which, under all circumstances, have had, and always will exercise a controlling influence on human character. The love of individual possession is inherent, and any attempt to deprive men of that to which they affix a specific value, without their free concurrence, engenders turmoil in small communities, and public calamity and even desperation in a polished nation.
The practical operation of the principle has been repeatedly exemplified in Turkey, especially by the late Sultan Mahmoud the Second, who regulated the value of money almost weekly, a few years since, according to his exigencies. If a large sum, as frequently happened in direct taxation, became due to government, word was sent forth that the para was worth but two thirds, perhaps, what it passed for two weeks before. On the other hand, if the Sublime Porte was paying off large bodies of troops, or otherwise making extensive disbursements, then the value of the para was boldly announced to be worth more than when the same identical money was paid by the subject to the public receivers.
The next remarkable experiment for substituting a worthless article for that which had universally been esteemed precious, took place in Holland in the last century, at the very period when the nation was extensively known for its mercantile enterprise and thrift in trade wherever the name of Holland was known.
Strange as it may appear, instead of employing some durable material, or issuing a promissory note under the obligations of a chartered institution, the calculating people of that land of dykes hit upon the root of a vegetable, a garden plant, which speedily, by general consent, became the representative of the wealth of the country. It was nothing more ponderous or rare than the bulbous root of a tulip; not the beautiful expanded flower—no, nor the bud that contained an incipient flower, but the mere root, which was bought and sold with extreme caution by the perit, a weight considerably less than a grain.
Such was the eagerness and positive insanity of all orders of persons possessing the means of embarking in the newly developed highway to fortune, that the epoch of the tulip excitement has been properly called the tulip mania of Holland. The greatest trade in those roots was carried on in Haerlem, Amsterdam, Utrecht, Leyden, and Rotterdam, during the years 1634-5-6-7. At the close of 1637, the fiscal fever began to subside, and men, otherwise shrewd and circumspect, were brought to their senses and bankruptcy at the same moment.
A Dutchman by the name of Munting wrote a large volume containing a minute history of that strange infatuation, in which those who may like to make themselves acquainted with the process of conducting the tulip exchange can find the particulars.
Different varieties sold for different prices; and such as were of a celebrated character for some latent property, highly estimated by the stockbrokers, bore enormous prices in the general market. One was called the Admiral Leiffken, another, the admiral Van der Eyk, a third, Semper Augustus, &c. A root of the variety denominated viceroy, brought 448 florins. When the mania was at its meridian, and the roots were exclusively sold by weight, the sum of 4,400 florins were once given for an Admiral Leiffken. A Semper Augustus is recorded to have been once purchased at the alarming price of $8,000.
It so happened in the operations of trade between cities, at one period, that barely two roots of the peerless Semper Augustus were supposed to exist in all Holland, which had the effect to so raise the price, that one of them, the enviable property of a gentleman in Amsterdam, sold for 4,600 florins; the other was at Haerlem. Twelve acres of land in one instance were given for a little fibre of the choice Semper. Munting speaks of a person of his acquaintance who made 60,000 florins in four months by successful operations in tulip roots.
Such was the extravagance, and such the singular infatuation of the most intelligent classes, that the common affairs of life were seriously neglected in the swift pursuit of fortune through this new channel.
Merchants possessed a vast or limited capital, in proportion to the magnitude or insignificance of their tulip roots. Daughters were portioned with a few ounces magnificently, and noblemen of the highest consideration and family importance vested their possessions in a perishable vegetable that could be carried in a teacup. When the bubble burst, and the roots suddenly fell in public estimation, abject poverty stared the nation in the face.
It is related that an English sea captain had occasion to call at the residence of a distinguished capitalist at an early hour of the morning, accompanied by one of his sailors in the capacity of a servant, who told Jack that he might walk in mineheer's beautiful garden till he was ready to return. After admiring the regularity of the walks, the extreme beauty of the shrubbery, and the flowers that bordered the neatly swept paths, he noticed a slender stem of a plant which he took to be an onion; without hesitation, he pulled it up and devoured it, but discovered that he had mistaken its character on chewing it. Directly after, the man of the house came into the garden to gratify the English stranger with a sight of the basis of his acknowledged wealth. On discovering the fact of the destruction of his tulip, he exclaimed in an agony of mind, "I am ruined! I am ruined!" In fine, the tulip-root mania was a high-handed species of stock gambling, almost without a precedent in the annals of the world. The Mississippi Scheme for embodying the wealth of the globe in a few favored hands, as it were, and the South Sea Bubble, although equally interesting in their effects on the condition of trade, and the morals of the people involved in the speculation, will not compare, in point of historical effect, with the tulip mania of industrious, plodding Holland, from 1634 to 1637.
Thus, we discover that from the remotest ages, men have placed not only a high, but a specific value on gold and silver, as the signs of personal possessions, and the consent of the nations of the earth is still in favor of maintaining the original device of representing wealth in the same manner; and the spirit of all legislation has had reference to securing and perpetuating in them an intrinsic value. When a daring innovation has been made to subvert the established order of things in this respect, there has invariably been a secret design of taking from the people, under the sanction of law, an acknowledged good, for the express purpose of giving them in exchange something better. But on analyzing the motive by the sure test of historical truth, it is apparent that deception, knavery, and a morbid craving for that which is ostensibly despised, is invariably interwoven with these attempted revolutions.
At last, in the progress of national events, when the heavy money began to be considered inconvenient and burdensome in extensive mercantile activity and intercourse with distant provinces or countries, only to be approached by crossing sections of an ocean, the genius of invention was called upon to propose a plan attended with less risk to the owner.
Iron was too plenty to be precious—roots were perishable—and copper, tin, and brass, belonged to the arts everywhere; under such circumstances, the ingenuity of the Venetians enabled them to establish a depot for the safe keeping of legalized coin in great quantities. The actual owners of this deposit issued a paper note, on which they stipulated to pay as many ounces, pounds, pennyweights, or florins, as the case might be, to the person to whom it belonged, whenever he might choose to present it. This was the beginning of a paper currency, and the origin of the banking system of our times. The bills thus constructed would be conveyed with ease and safety under circumstances in which the traveller could not carry a large sum of gold or silver. The promptitude with which specie was paid whenever demanded on the face of the note, at once established their credit, and, consequently, changed the whole financial machinery of the world. By this grand discovery, an immediate impetus was given to commerce before unknown; a new energy was manifested wherever the beneficial effects of the novel mode of conveying money was mentioned. In short, almost an entire revolution in the physical and moral world has been brought about by this simple, yet effective operation.
Before the regular construction of safe banking houses, such as are commonly seen in cities, the utmost stretch of mechanical ingenuity was called in requisition, to protect the treasures collected together by rulers and merchants.
To show what perplexities attended the preservation of money against the cunning and adroitness of thieves, in the first stages of society, the following account is principally collected from the biography of an Egyptian prince, Rhampsinitus, by the father of history, Herodotus. His description of a treasury house is, perhaps, the oldest on record. When the fact is remembered that it was written by a man born in the 73d Olympiad, or 2,325 years ago, nothing is lost in interest, even were it wholly untrue, inasmuch as it illustrates the powers of the human mind in the region of fiction, at a period that now seems like the infancy of mankind. The story is substantially as follows:—
"The same instructors further told me, (alluding to the priests with whom he discoursed,) that Proteus was succeeded by Rhampsinitus: he built the west entrance of the temple of Vulcan. In the same situation he also erected two statues, twenty-five cubits in height."
This prince possessed such an abundance of wealth, that, far from surpassing, none of his successors ever equalled him in affluence. For the security of his riches, he constructed a stone edifice, connected with his palace by a wall. The man whom he employed, with a dishonest view, so artfully disposed of one of the stones, that two, or even one person might easily remove it from its appropriate place.
In this building, when completed, the king deposited vast treasures. Some time after, when the artist found his end approaching, he called his two sons before him, and informed them in what manner, and with what intention, he had placed a moveable stone, that gave entrance into the central depository of the treasury house. And now, being confident that approaching death would deprive him of profiting, as originally intended, by a personal entrance, he therefore confided to them the choice secret, with a view to their future emolument, should their circumstances ever compel them to make use of this knowledge. A strange state of the public morals, to be sure, when a dying father encourages his children to become thieves and robbers!
He then minutely explained the particular situation of the pivoted stone; gave minutely its dimensions, by the observance of which, they might at any instant become masters of his majesty's treasure.
On the death of the father, though, perhaps, under no impulse of necessity, the sons were prompted by an insatiable curiosity to try their luckto ascertain if all they had heard, it would seem, was actually true. Under the cover of a dark night, they visited the building, discovered the moveable stone, made an entrance, and returned home with a surprising sum of money.
It is worthy of remark that in this narrative we are positively assured of the existence of a coinage in Egypt, according to the priests, many centuries before the precious metals assumed any such forms at Rome.
As soon as the king entered the apartment the next morning, one of his regular habits, he noticed with astonishment that the vessels that contained money the day before were materially altered in appearance; and what surprised him beyond measure, was the fact that the seals on the door, renewed frequently, were unbroken, and all the customary entrances remained perfectly secured.
He could not direct his suspicions against any one of the royal household attendants, and as for gaining admission in any other way, it was conceived impossible. Entrances however were several times repeated, and the king witnessed the gradual diminution of the money and jewels, without being able to account for the mystery of their abstraction.
Finally, in order to effect a discovery of the thief, cunningly devised traps were placed near the holding vessels. The robbers came as before. One of them moved cautiously along, as usual, on former visits, in advance of the other, where he was secured by the traps in a twinkling of an eye. After deliberating upon his condition, and being satisfied of the impossibility of extricating himself, or being liberated by the brother, he saw instinctively, that the only way of preserving one life, was to sacrifice the other. With a strange presence of mind, he begged to be killed instantly, and charged the trembling brother not to be content with depriving him of life, but as his body could not be disengaged from the apparatus, to flee with the head, as the last and only means of preventing his own detection, and consequently, the death and destruction of the entire family.
Unnatural as it may appear, he decapitated the captured prisoner, and made an immediate exit with the head, leaving the body in the trap, closed up the opening, and returned home.
At daylight Rhamsinitus again walked in to inspect the urns—when lo! the first object that greeted his amazed eyes, was the headless body of a man, standing upright in the faithful machine, not the least alteration being perceived in any partition, or the strongly bolted doors. This confounded him more than anything else. In this perplexity, he commanded the dead body to be suspended upon the outside, towards the high way, strictly enjoining it upon a number of trusty guards to seize and bring into his presence any one who discovered symptoms of compassion, or sorrow at the horrible exhibition.
The mother of the young man, on being made acquainted with the fatal result of the night's adventure, became exceedingly exasperated at the surviving son, and declared that unless he forthwith procured the body from its ignominious exposure, she would go herself to the king and disclose all the circumstances of the robbery.
Driven almost to madness with such a prospect of accumulating danger, the survivor endeavored to alter the distracted mother's determination by appeals to her maternal affection, but without the least ray of success. To save his own life, therefore, he resorted to a singular expedient.
Having procured some asses, they were laden with wine put up in the
ancient method, in sacks made of the skins of animals. The animals were driven near the spot where the soldiers were stationed. As soon as he had approached near enough to be noticed, a peg adroitly fixed in the mouth of a sack was started, and the wine consequently began to flow pretty freely from the orifice. He commenced beating himself and crying out vehemently with pretended distress, at the loss. The soldiers perceiving the accident, ran with vessels to save what they could of the delicious beverage, which they considered a clear gain to themselves.
At first, with apparent anger, he reproached them for their unprincipled conduct, but gradually listened to their endeavors to console him for the misfortune. The asses were then leisurely led out of the road, apparently to secure the leak. A brisk conversation, mutually agreeable, followed. He affected to be delighted with the drollery of one of the guards, to whom he gave a generous draught of wine, and with his companions he sat down to drink,—insisting that the generous ass driver should bear them company.
As previously anticipated, the wine produced its specific effects, and the whole of them became exceedingly drunk and fell into a profound slumber. Under the advantage of nightfall, the robber adroitly took down the body, placed it in one of the sacks, and before leaving the scene of the exploit, in derision, shaved the right cheek of the quiet guards, and returned home in safety with the object of his research.
The mother was reconciled to fate, and so far as she was concerned, no further mention is made of her in the narrative of Herodotus. Not so, however, with the king; when he was told what had happened, how the body had been clandestinely removed in the presence of a select band of vigilant guards, he was both enraged and marvel-struck at a recital of the incident; but in no way relinquished the idea of detecting the bold villain who had put his royal power at defiance. He renewedly set his ingenuity at work to detect him, and next adopted the following stratagem. The king commanded that a beautiful daughter, a princess on whom he doated with paternal solicitude, should seat herself in a magnificent apartment, alone, and a proclamation was made that whoever related the most extraordinary adventure in which he had been personally engaged, should become the son-in-law of the king. Each candidate was permitted to enter alone. A part of the story, of an incredible character, is here omitted. She had been previously instructed, in case any clue to the robbery of the treasury was discoverable, or the theft of the headless body, to seize the person, and give an alarm. The injunction was faithfully obeyed. The daring rogue who had already baffled Rhamnunitus more than once, could not forbear another attempt for the mere gratification of a mischievous propensity of his nature. To begin, he cut off an arm from the body of the murdered brother, at the shoulder, concealed it under a cloak, carelessly worn, and in turn gained admission to the princess.
When asked the question that was propounded to each new-comer, what he had done that was remarkable? he replied, "that the most wicked thing that he had ever done, was cutting off the head of a brother, who was caught in a snare in the king's treasury. The most artful thing, was making the guards drunk, and by that means effecting the removal of the dead body from the treasury wall." On hearing this, the princess at once seized him, but caught hold of the supernumerary arm, made fast to the cloak.
Both were slipped off, and the rogue made his escape from her presence. When the attendants came in, lo! there was a cloak and one arm of a man, which when the king saw, he was, if possible, more puzzled than ever. Confounded by these repeated displays of an ingenious, though unknown rascal, information was extensively circulated, that if the bold offender would come fearlessly into his majesty's presence, he would not only grant a free, unconditional pardon, but would liberally reward him besides.
Trusting to the royal word, the thief made his appearance. Rhamsinitus was delighted with him, believing his transcendent skill in the art of deception beyond parallel. The king conceived the Egyptians superior in subtlety to all the world, but this man far excelled all his countrymen.
Paper currency or paper money, is a department of political economy developed in modern times to its fullest extent. Its advantages and disadvantages are variously estimated by the community, and consequently there are ardent friends and bitter opposers to this excellent, though greatly abused project for facilitating extensive mercantile, as well as the minor operations of trade in our own and other countries.
Arguments, almost irresistible in themselves, might be adduced, to show the advantages resulting from an issue of paper money, to every individual of a nation, when the contract between the bank and the people has been rigidly maintained.
On the other hand, testimony apparently no less cogent, based upon the actual experience of immense losses, when the flood-gates of loosely guarded banking corporations are widely opened, is arranged to prove that nothing short of a strictly metallic currency can safely be tolerated in any government, whether elective or hereditarily despotic. In a word, in the United States, there are two great parties in a state of activity, so thoroughly divided on this important question, that the issue is necessarily involved in the obscurity of the future.
Any want of good faith in a bank to redeem its notes at sight, at once begets alarm, and evils of an exciting character are suddenly produced. An agitation arising from that cause, cannot be readily allayed; yet it is neither philosophical, politic, nor right to condemn a principle because errors have been discovered in the application of it to human society,—any more than it would redound to the sense of justice in a state to execute every inhabitant of a particular district, because one of them had been found guilty of a great crime.
The revolutionary struggle was wholly sustained by the issue of continental paper money—without which, that greatest and most masterly achievement of civil liberty, it is believed, could not have been completed. Fortunately, its rapid depreciation did not take place till the war had rescued the country from foreign control, or fear of further molestation. It was then apparent that congress had not the ability to redeem the bills, and it is even now doubted whether the originators and principal dramatis personae in that most wonderful of all national emancipations, seriously entertained the expectation of doing so in future days of prosperity.
By the practical operation of the device, the country was saved, but thousands of brave estimable patriots and their families, who bore the burden of service and deprivation, were utterly ruined.
With that fatal crisis—fatal to the popularity of paper money, at least with one party—commenced that systematic hostility and prejudice which
has so pointedly shown itself on various occasions ever since. Still, however, accurate financiers discover in the modern banking system, with all its glaring defects, the source of widely extended prosperity. Without its facilities, the merchant would soon find himself circumscribed to narrow limits; and with an exclusively hard money currency, in the present character of trade, grow poor while his coffers were filled with the precious metals.
Our object being to give an historical account of the coinage of money, simply, and not to dilate upon the policy or impolicy of measures which have raised a formidable partisan feeling between the honest and patriotic over the Union, we here leave the subject, for the commencement of another chapter, whenever events shall furnish new materials.
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ART. III.—THE PHILOSOPHY OF STORMS.*
No class of men, we believe, is more deeply interested in the subject of storms than that which makes up the chief part of our readers. The same winds which waft to the storehouse of the merchant the treasures of distant climes, often, in their angrier moods, put a sudden termination to his brightest prospects, and in a single hour of tempest dissipate the earnings of many years. The mercantile community will not, therefore, deem it out of place if we call their attention to the very novel and original views of our countryman, Mr. Espy, who has just published a volume containing a full exposition of his theory of storms, together with a large amount of facts which he has collected in the course of his researches on winds, rain, hail, barometric fluctuations, &c. We have looked over its pages with an interest and gratification which we seldom feel in the perusal of a work on scientific subjects, and are constrained to say that what little of prejudice had been excited against the author, by the manner in which his name became so generally known to the public, speedily vanished before the strong facts and logical deductions which he has brought together, in support of his very simple and beautiful explanation of the phenomena of nature in the production and development of storms.
Franklin was, we believe, the first to discover that our great northeast storms "travel against the wind." A violent rain having set in at Philadelphia from the northeast, he naturally enough supposed that the storm came from that direction, and was greatly surprised, on consulting the papers from New York and Boston, to find that it commenced raining at New York several hours after the storm set in at Philadelphia, and that the time of its reaching Boston was still later. The same anomaly was also observed by Dr. Mitchell: but it remained for Mr. Redfield, of New York, to establish, by the most satisfactory proofs, the route pursued by these storms. In his papers on this subject he has fully demonstrated that they often originate in the Windward Islands of the West Indies, where they are mostly small and round, and progress in a curve towards the
* The Philosophy of Storms, by James P. Espy, A.M., Member of the American Philosophical Society, and Corresponding Member of the National Institute, Washington. Boston: Charles C. Little and James Brown. 1841. 8v. pp. 552.
northwest, enlarging as they advance, and at latitude 30 inclining more to the north. Beyond this they curve to the northeast, and as far as he has been able to trace them, they pursue a direction more or less towards the east.
Mr. Redfield has also attempted to show that in all our great storms, the wind gyrates in the form of a whirlwind; and in this he has been followed on the other side of the Atlantic by Col. Reid, who has published a volume full of interesting details on the subject, in which he attempts to develop the law of storms by means of facts with a view to practical use in navigation. But neither of these gentlemen, so far as we know, have succeeded in tracing this supposed gyration to its cause, or pointed out the dependence between clouds, winds, hail, and the other phenomena of storms. Mr. Espy has taken a step beyond them, and confidently believes that he has discovered the key which is to unlock all the mysteries of meteorology, and disclose the hidden causes which produce clouds, water spouts, tornadoes, land spouts, variable winds, and barometric fluctuations.
That result of Dr. Dalton's experiments on the aqueous vapor in the atmosphere, by which its amount in any given space may be determined by means of a glass of water and a thermometer, may be said to constitute the basis of Mr. Espy's theory, and therefore requires a passing notice. If the reader will take a tumbler of water of the same temperature as the air, and drop into it a small piece of ice, he will find, as the water cools, that dew will settle on the outside of the tumbler. The temperature at which this dew begins to form is called the dew point: and Dalton found, in the course of his experiments, that when it began to form at 32° fah., the amount of vapor suspended in the air was $\frac{1}{4}$ of the weight of the atmosphere—that when the dew point was at 52° the air contained twice as much vapor as it did at 32° or $\frac{1}{2}$ of the weight of the atmosphere, and that when the dew point was at 73° the air contained four times as much vapor as at 32° or $\frac{1}{3}$ of the weight of the atmosphere.
The dew on the tumbler is condensed from the air by the cold communicated from the tumbler, and it may also be condensed by the same degree of cold produced in a different way. It is found that air is cooled by expansion produced by diminished pressure, and hence, when the receiver of an air pump is rapidly exhausted, and the air within expands sufficiently to cool it down to the dew point, moisture will make its appearance on the sides of the receiver, and an artificial cloud will appear. Mr. Espy supposes that it is precisely in the same way that clouds are formed in the laboratory of nature.
If a dozen feather beds were piled together one above another, the lower ones would be pressed closer than the upper, because they would not only have to sustain their own weight, but also the weight of all those above them. For the same reason the atmosphere which lies next to the surface of the earth, is subjected to much greater pressure than that which is piled up above, and this pressure must gradually decrease as you ascend. It follows then that if a current of air should pass upwards from the surface of the earth, it would be subjected to a constantly decreasing pressure, and would consequently expand: as it expanded it would grow cold, and when it reached the temperature of the dew point, it would begin to condense its vapor into sensible moisture, and thus form a cloud. This process, Mr. Espy contends, takes place constantly in the operations of nature. Certain portions of the air becoming more heated or more highly
charged with aqueous vapor* than others, are thus made specifically lighter, and consequently rise, and when the dew point is high, these up-moving currents do not find their equilibrium until they are sufficiently expanded by the diminished pressure to which they are subjected to reduce their temperature to the point of forming dew, when a cloud will begin to appear.
The reduction of temperature which would thus be produced by the expansion of ascending air, Mr. Espy finds by experiment to be about one degree for every one hundred yards of ascent; and hence, if an up-moving current of air is ever produced in the operations of nature, it is easy to calculate how high it must rise before it begins to condense its vapor into visible cloud. For example: if, in a summer's day, the thermometer stands at 80°, and the dew point is 70°, then air must be cooled 10° before it will begin to condense its vapor into cloud. Consequently, if it cools one degree for every one hundred yards that it rises, then when it attains an elevation of ten hundred yards, it will be cooled down to the point of forming dew, when its vapor will begin to condense, and the base of a forming cloud become immediately visible. The bases of all forming clouds in the same neighborhood should therefore be nearly on the same level.
Again: it is known to every chemist that vapor cannot be converted into water, without releasing a large quantity of caloric, known in technical language as the *caloric of elasticity*, and thus producing a considerable amount of sensible heat. If ice is exposed to heat, caloric combines with it and forms water; if water is exposed to heat, caloric combines with it and forms steam or vapor; and when vapor is converted back to water, this caloric (heat) must necessarily be released; and, according to Mr. Espy, its agency in producing wind, rain, hail, barometric fluctuations, and all the sublime and astonishing phenomena which attend our most violent storms, has hitherto been altogether overlooked. He finds, by calculating according to well known chemical laws, that the *caloric of elasticity* released during the condensation of vapor while a cloud is forming, will expand the air in the cloud about eight thousand cubic feet for every cubic foot of water formed by the process of condensation.
The expansion of the air in a cloud during the formation of water, is also proved by an instrument which Mr. Espy uses, called a Nephelescope, or cloud examiner. It consists of a glass vessel [b.] communicating with a bent tube [c.] containing mercury, and having a forcing pump [a.] attached to it, by means of which any desirable quantity of air may be pressed into the receiver or glass vessel [b.] When the instrument is charged, the pressure on the inner leg of the mercury forces it up in the outer, and by carefully measuring the difference between the two, a given amount of pressure can be produced. When the air within (which is heated by the pressure) acquires the temperature of the air
* Vapor is five eighths the specific gravity of air.
without, the stop-cock is turned and the air permitted to escape until the mercury in both legs of the bent tube is on a level, when the stop is again closed. Now as the stop is closed at the moment the greatest cold is produced by expansion, the mercury in the outer leg will begin to ascend, and that in the inner leg to descend, and the difference of level at which they settle will indicate the reduction of temperature produced by a given expansion. But what the general reader is chiefly concerned to know in this experiment, is the fact that when moist air is used, and a cloud is formed in the receiver, the mercury in the outer leg of the bent tube is forced up higher than when dry air is used and no moisture is condensed, showing that the caloric of elasticity causes the air to occupy much more space when it is set free than when it is united to water in the form of vapor.*
If this is true, and it seems to be placed beyond a doubt, then the air within a cloud is both lighter and warmer than that by which it is surrounded. That it is warmer is proved by actual observation as well as by Mr. Espy's experiments. Sausseur tells us that when he was enveloped in a cloud on the side of a mountain, his thermometer rose higher than in the sun; and both Durant and Gay-Lussac note the same fact while passing through clouds in a balloon. The uniform depression of the barometer under large clouds and during all our great storms, would seem also to confirm Mr. Espy's other position, and place beyond a doubt the fact that the air in the cloud is warmer, and therefore lighter than the surrounding atmosphere.
If, then, a cloud can be formed by a current of air moving upwards, and the cloud thus formed is lighter than the circumambient air, it necessarily follows that the equilibrium of the atmosphere must be more or less disturbed by every formation of this character. For if a lofty cloud by the evolution of its latent caloric, makes the air within it warmer and lighter, then will the air around it rush from all sides towards its base, and upwards into its centre; and as the wind in its upward course comes under less pressure, it will become gradually colder until it reaches the temperature of the dew point, when it will begin to condense its vapor, thus feeding the cloud with fresh materials for its expansion and perpetuity, and communicating to it, as it were, a self-sustaining power by which it moves on perhaps for days together, as we often behold in the operations of nature, enlarging as it advances, causing high winds wherever it passes, and fertilizing the earth with its refreshing showers.
"When a cloud begins to form from an ascending column of air, it will be seen to swell out at the top, assuming successively the appearances of 1, 2, 3, generally called cumuli: or, if the upmoving current should be driven out of its perpendicular motion by an upper current of air, the clouds which might then form would be ragged and irregular, called broken cumuli, as 4. These will always be higher than the base of cumuli, but much lower than cirrus. While the cloud continues to form and swell up above, its base will remain on the same level, for the air below the base has to rise to the same height before it becomes cold enough, by diminished pressure, to begin to condense its vapor into water; this will cause the base to be flat, even after the cloud has acquired great perpendicular height, and assumed the form of a sugar loaf." Other clouds, also,
* When dry air is used in the experiment, the temperature, according to Mr. Espy, is reduced about twice as much as when moist air is used.
for many miles around, formed by other ascending columns, will assume similar appearances, and will moreover have their bases all on the same or nearly the same horizontal level; and the height of these bases from the surface of the earth will be greatest about two o'clock, when the dew point and temperature of the air are the greatest distance apart."
"When upmoving currents are formed by superior heat, clouds will more frequently begin to form in the morning, increase in number as the heat increases, and cease altogether in the evening, when the surface of the earth becomes cold by radiation. The commencement of upmoving columns in the morning, will be attended with an increase of wind, and its force will increase with the increasing columns; both keeping pace with the increasing temperature. This increase of wind is produced partly by the rush of air on all sides at the surface of the earth towards the centre of the ascending columns, producing fitful breezes; and partly by the depression of air all round the ascending columns, bringing down with it the motion which it has above, which is known to be greater than that which the air has in contact with the asperities of the earth's surface. The rapid disturbance of equilibrium, which is produced by one ascending column, will tend to form others in its neighborhood; for, the air being retarded on the windward side, will form other ascending columns, and these will form other annuli, and so the process will be continued."
But, it may be asked, if the air in a cloud is lighter than that which surrounds it, and in consequence possesses a self-sustaining principle, why all forming clouds do not increase till they produce rain? We shall answer this question by another quotation from Mr. Espy's book. In his introduction, on page 16, he says: "Neither can clouds form of any very great size, when there are cross currents of air sufficiently strong to break in two an ascending current, for the ascensional power of the upmoving current will thus be weakened and destroyed. Immediately after a great rain, too, when the upper air has yet in it a large quantity of caloric, which it received from the condensation of the vapor, the upmoving columns which may then occur, on reaching this upper stratum, will not continue their motion in it far, from the want of buoyancy; therefore, they will not produce rain, nor clouds of any kind, but broken cumuli. Besides, as the
air at some distance above the surface of the earth, and below the base of the cloud, is sometimes very dry, and as much of this air goes in below the base of the cloud and up with the ascending column, large portions of the air in the cloud may thus not be saturated with vapor, and, of course, rain in this case will not be produced. These are some of the means contrived by nature to prevent upmoving columns from increasing until rain would follow. Without some such contrivances, it is probable that every upmoving column which should begin to form cloud when the dew point is favorable, would produce rain, for as soon as cloud forms, the upmoving power is rapidly increased by the evolution of the caloric of elasticity."
The cloud which produces water-sprouts, land-sprouts, and tornadoes, differs somewhat from other clouds, and can be formed only when the dew point is very high, the atmosphere devoid of cross currents, and the air in the neighborhood comparatively quiet, or rather, moving in the direction of the main current above. When these circumstances concur, and a cloud begins to form by an ascending column, there is nothing to prevent its rapid generation, and it shoots upward to a vast height, while it occupies only a small space in a lateral direction. The effects which follow the generation of such a cloud, must necessarily be more or less violent, because the whole force of the cloud is spent on a very small space. Extending upwards to a great height, and being lighter than the surrounding atmosphere, it takes off from the air below much of its accustomed pressure, and the wind consequently presses in towards its base from all sides, and rushes up into the cloud itself with fearful velocity, carrying with it all light substances, uprooting trees, bursting off the roofs of houses, barns, and other buildings, and sometimes lifting into the air heavy timber, animals, and in one instance which we recollect, a cart loaded with potatoes.
As the cloud is small in circumference, and is moved forward with considerable velocity by the main current in the higher region of the atmosphere, its progress brings it suddenly over the place which is to be the scene of its devastation; the accustomed pressure of the atmosphere is removed almost instantaneously; the barometer falls sometimes as low as two inches in the course of a few minutes, and the effect is analogous to that of an explosion. H. Tooley, who communicated to the secretary of the Albany Institute an account of the Natchez tornado, which took place on the 7th of May, 1840, has called particular attention to this last mentioned circumstance, and cited the following strong cases.
"1. The garret of a brick house occupied by Thomas Armat, Esq., as an office, was closely shut up, both ends bursted outward, and such was the force of the explosive power, that some of the bricks of the windward end were thrown upon a terrace nearly on a level with the end, and at a distance of not less than twenty feet in the face of the storm.
"2. A brick house on the north side of Main street, belonging to John Fletcher, had the leeward gable end thrown out, the windward end remaining uninjured.
"3. The windward gable end of a large house adjoining the Commercial Bank, bursted outward against the face of the storm; the leeward end was uninjured.
"4. The gable ends of a large three story brick house on Franklin street, owned by Rowan and Cartwright, were thrown outward with great force."
"5. The front ends (leeward to the storm) of two brick stores owned by Eli Montgomery, were thrown outward with great force, the windward ends being uninjured.
"6. Another large brick house, near the last just mentioned, owned by Watt, Burke & Co., had the leeward side nearly demolished.
"7. Another brick house adjoining the last mentioned, had the windward gable end thrown outward.
"8. The Theatre, a large brick building, had the entire roof blown off and thrown some ten feet forward, and the walls demolished.
"9. The leeward walls of two front rooms of the Tremont House on Wall street, were thrown outward with great force, without destroying or moving the furniture therein, and where the storm could have no access.
"10. The roof of the fire-proof brick office of the Probate Court, exploded to windward, that side, it is presumed, being the weakest.
"11. The gable ends of a large brick store on Main and Pearl streets, were thrown outward with great force.
"12. The southern side, and the northern and western gable ends of the brick Insurance buildings on Pearl and Market streets, were thrown outward with such force as to nearly demolish the building.
"13. The roof of Dr. Merrill's house on State street was saved by the explosive power bursting open a large trap door in the roof, thereby making an outlet for the expanded air.
"14. The leeward wall of a new wooden house owned by Rhasa Parker, on Washington street, was thrown outward by the explosive power, the windward side end remaining unbroken excepting the glass of the windows."
Professor Johnson in his description of the New Brunswick tornado, which occurred on the 19th of June, 1835, has called attention to the same curious fact. He says: "In a few cases, in which the ridge of a building lay in a northerly and southerly position, the eastern slope of roof was observed to be removed, or at least stripped of its shingles, while the western slope remained entire. Many buildings were likewise observed with holes in their roofs, whether shingled or tiled, but otherwise not much damaged, unless by the demolition of windows. These appearances clearly demonstrated the strong upward tendency of the forces by which they were produced, while the half unroofed houses, already mentioned, prove that the resultant of all the forces in action at the moment was not in a perpendicular to the horizon, but inclined to the east. Such a force would apply to the western slope of the roof some counteracting tendency, or relieve it from some portion of the upward pressure. Had there been no other facts to show the powerful rushing of currents upward, the above would, it is conceived, have been sufficient to settle the question, but taken in connection with the circumstance that roofs so removed, were carried to a great height, and their fragments distributed over a large extent along the subsequent path of the storm, that beds and other furniture were taken out of the upper stories of unroofed houses, that persons were lifted from their feet or dashed upward against walls; and that in one instance, a lad of eight or nine years old, was carried upward and onward with the wind, a distance of several hundred yards; and particularly that he afterward descended in safety, being prevented from a violent fall by the upward forces, within the range of which he still continued. In connection with
these and similar facts, it seems impossible to doubt that the greatest violence of action was in an upward and easterly direction."
If these surprising results, which have been long the subject of observation, are so easily accounted for on the principles laid down by Mr. Espy, so, also, are all the other phenomena of these wonderful storms. We often hear of sticks, grass, sand, &c., frozen in the hail which falls from one of these clouds, and the curious fact has given rise to much speculation. The solution is now, however, perfectly simple. The current of ascending air which dashes with such fearful velocity upward into the cloud, and carries with it these lighter substances from below, also carries up the water which has been condensed from the saturated air, and throwing all out together at the side of the cloud in the region of congelation, they are frozen together in the form of hail, and descend by their own gravity to the earth. Large sheets of water may also be thrown out and frozen in the same way, which, breaking in their fall, will account for the great hail stones and "pieces of ice" spoken of by Howard, which fell at Salisbury, and for the "pieces of ice" of almost every form which fell during the passage of the Orkney spout in 1818.
Again: it is not uncommon for rain and hail to fall from one of these clouds in two distinct veins. Mrs. Tillingham of Providence, during the passage of the tornado of 1838, saw two showers descending from the cloud, both of which sloped inward towards the spout which hung from the centre of the cloud below; and M. Pouillet has given an account of a hail storm which travelled from the Pyrenees to the Baltic, in 1788, leaving two veins of hail about fifteen miles apart, in which space there was a great rain. The eastern vein was about seven miles in width; the western about twelve, and on the outside of both was also a strip of rain. This storm progressed at the rate of about fifty miles per hour; the hail fell in no one place for more than eight minutes: the largest of them weighed eight ounces. We copy the chart of this storm below, as it appeared in the memoirs of the French Academy. A. A. A. are veins of rain; B. B. are veins of hail.—(For Chart, see next page.)
Mr. Espy, in his remarks on these singular phenomena, says:—"If I had made this storm myself, it would be said that I had made it to illustrate my theory. For it is manifest that the outspreading of the air above, will, in many cases, carry with it the hailstones; and those which are least the farthest, and these smaller hailstones on the outside of the bands, will melt before they reach the earth, while the larger hailstones, falling more swiftly, and having more ice to melt, may reach the earth in the form of hail. Thus the two veins of hail, and the rain on the outside of them, are manifestly accounted for; it is not quite so plain why it should only rain in the middle. Nevertheless, if we consider that the vortex moved with a velocity of fifty miles an hour from the southwest to the northeast, we will readily perceive that, as it would require perhaps twenty or thirty minutes for the drops of rain to be carried up to their greatest elevation, and to fall down to the earth, during which time the upmoving column would move forward twenty or twenty-five miles, neither hail nor rain could appear in front of the vortex, and as it could not fall in the middle of the spout, being prevented by the force of the ascending air, whatever fell between the two bands of hail must have descended in the hinder part of the ascending column, where it would not be likely to descend, on account of its upper part leaning forward."
These lofty clouds, whether formed over land or water, when the dew point is very near to the temperature of the air, appear to let down from their bases a tongue of vapor in the form of an inverted cone, which has been called a spout. Mr. Espy, in his explanation of this phenomenon, says:—"If, however, the air is very hot below, with a high dew point, and no cross currents of air above to a great height, then, when an up-moving current is once formed, it will go on and increase in violence as it acquires perpendicular elevation, especially after the cloud begins to form. At first the base of the cloud will be flat; but after the cloud becomes of great perpendicular diameter, and the barometer begins to fall considerably, as it will do from the specific levity of the air in the cloud, then the air will not have to rise so far as it did at the moment when the cloud began to form, before it reaches high enough to form cloud from the
cold of diminished pressure. The cloud will now be convex below, and its parts will be seen spreading outwards in all directions, especially on that side towards which the upper current is moving, assuming something of the shape of a mushroom. In the mean time, the action of the in-moving current below, and upmoving current in the middle, will become very violent, and if the barometer falls two inches under the centre of the cloud, the air, on coming in under the cloud, will cool by diminished pressure about ten degrees, and the base of the cloud will reach the earth, if the dew point was only eight degrees below the temperature of the air at the time the cloud began to form. The shape of the lower part of the cloud will now be that of an inverted cone with its apex on the ground, and when a little more prolonged and fully developed, it will be what is called a tornado if it is on land, and a water-spout if at sea."
Mr. Espy observes that there is a tendency in one of these clouds to form another, and the second has a tendency to form a third, and so on, till a number are in operation at the same time. The cause of this he very happily explains, but our limits will not allow us to follow him. Lieut. Ogden gives an account of seven of these spouts seen at one time, in the edge of the Gulf Stream, in May, 1820, which we copy, together with the annexed cut.
He says:—"The atmosphere was filled with low, ashy-colored clouds, some of which were darker underneath than others, and from these the water-spouts were generally formed, each one from a separate cloud. In some instances, they were perfectly formed before we observed them, but, in others, we could see a small portion of the cloud, at first extend downward, in the shape of an inverted cone, and then continue to descend, not very rapidly, until it reached the water. In other instances, however, we observed that this conical appearance of a portion
of the cloud did not always result in the perfect formation of a waterspout. Several times we saw the cone project, continue for a short time stationary, then rise again slowly, and disappear in the clouds. This would, in some cases, occur two or three times to the same cloud; but, eventually, a larger and darker cloud would descend, and result in forming the visible spout, as above mentioned."
It will be seen at a glance, that the principle on which Mr. Espy explains the phenomena of nature in the production and development of storms, requires the convergence of the winds towards a common centre or line at the base of the cloud. In this he differs materially from Mr. Redfield, who has been at great pains to show that all storms are whirlwinds, and that the air moves around from right to left, or contrary to the hands of a watch. On this point there is still much controversy, but we have no room to enter on the merits of the discussion in this article, and shall content ourselves with exhibiting some of the facts on which Mr. Espy relies to establish this, one of the main pillars of his theory.
As the violent action which attends tornadoes is generally confined to very narrow limits, these storms seem to furnish the best means for testing the truth of these different theories. It is, we think, clear that if the wind moves around a common axis in the form of a whirl, that the trees which are thrown down on the borders of the storm should lie parallel to its path, while those which fall in the centre should be left in a transverse position, or at least be thrown outwards and forwards on one side, and outwards and backwards on the other. Now it would seem from a great variety of testimony that the trees in these violent storms are not prostrated in the above named direction.
President Bache, of Girard College, after having carefully taken the direction in which the trees fell in the New Brunswick tornado with a mariners' compass, says:—"I think it entirely made out, that there was a rush of air in all directions at the surface of the ground towards the moving meteor; this rush of air carrying objects with it. The effects all indicate a moving column of rarefied air, without any whirling motion at or near the surface of the earth."
Professor Loomis,* of the Western Reserve College, after drawing a map of the trees and buildings which fell in a hurricane that passed over Stowe in Ohio, comes to a similar conclusion. "It will," he says, "then appear from an inspection of the diagram, that in the midst of some disorder there was a degree of uniformity. Thus upon either border of the track the trees all incline towards some point in the centre of the track. There is not an example of a tree being turned outwards from the track, nor even one which lies in a direction parallel to it." He afterward adds,—"We have now established, by a fair deduction, that there was a powerful current of air from the opposite sides of the track towards some point in the centre of the track, and that here there was also a powerful current upward."
Professor Olmsted,† of Yale College, in his account of the New Haven tornado, which occurred on the 31st of July, 1839, says:—"The first great fact that strikes us, is, that all the trees and other objects that mark the direction of the wind which prostrated them, are, with a very few ex-
* Professor Loomis is not an advocate of Mr. Espy's theory.
† Professor Olmsted is not a believer in Mr. Espy's theory.
ceptions, turned inwards on both sides towards the centre of the track; while near the centre, the direction of the prostrate bodies is coincident with that of the storm."
Professor Forshay in his account of the Natchez tornado is equally in point. He declares that "the nearer the axis of the tornado, the nearer were their bearings parallel with that axis, and the more remote, the nearer perpendicular, while those that point to the direction from which the storm came, or cross a line perpendicular to the axis, lie beneath those that point in the forward direction of the same."
We may mention also, that the storm which occurred in France, of which we have given a chart in the former part of this article, could not possibly have been of the whirlwind character. Had the wind moved in a whirl, the hail which fell during its progress, must have been scattered over the whole area of the storm, and not been deposited in two veins for many miles as we have seen. If the whirlwind theory is correct, therefore, this storm at least must have been a wonderful exception to the general law.
But Mr. Espy does not rely alone on the direction of fallen trees in tornadoes to prove the centripetal course of the wind in storms. By means of observers in different sections, he has been enabled to surround some of our great northern storms, and has satisfied himself that the same law uniformly prevails. We can only make a few selections from the great number which we find recorded in the volume before us.
The following diagram represents a destructive storm which swept along our southern coast in the middle of August, 1837. The facts respecting it were collected by Col. Reid, but Mr. Espy finds that they maintain his own views, although recorded by an advocate of the whirlwind theory. The map represents the position of the storm as it was at noon, on the 18th of August, and the arrows are intended to show the direction of the wind at that time.
1. Wind at Wilmington, on P. M., of 18th.
2. Oglethorp on 18th.
3. West Indian, all 18th, from 2, A. M.
4. Rawlins all 18th, from 2, A. M.
5. Ida, all day of 18th.
6. Penelope on P. M., of 18th.
7. Yolof till 8, P. M., of 18th.
8. Westchester on 18th.
9. Duke of Manchester till P. M., of 18th.
10. Delaware on 17th, and probably on 18th, changing round to westward on 20th.
11. Cicero on 18th.
Mr. Espy observes: "I have culled out of this storm, that portion of time in which I find the greatest number of simultaneous observations, and I have exhibited on the annexed wood-cut the localities of all the ships within the boundaries of the storm, whose latitudes and longitudes could be ascertained with any degree of certainty, with arrows, exhibiting the
course of the wind. The time is noon of the 18th of August, 1837. At this time, the Duke of Manchester was only a few miles N. E. of the centre of this storm; for some time in the afternoon, the centre of the storm passed nearly over her, when the wind changed pretty suddenly S. W. At this time, and for some seven or eight hours both before and after, all those ships which were laboring in the most violent part of the storm, had the wind blowing towards a central space of no great magnitude. This settles the question of a violent centripetal motion of the wind in this storm, in conformity with the five previously examined, and also with the twelve investigated by the Joint Committee of the American Philosophical Society and Franklin Institute, and with not less than fourteen land-sprouts which have already been examined, in all of which the trees were thrown with their tops inwards—and when any are thrown across each other, those which are underneath, are uniformly found to be thrown inwards and backwards, and those on the top, to be thrown inwards and forwards, just as they should be, if the wind blows inwards. Whereas, if the wind is centrifugal, many of the trees should have the tops thrown outwards on both sides of the path."
The following chart represents the course of the wind in the storm which occurred in Great Britain on the 17th of August, 1840.
Corsewell Light, N. N. W., storm.—13. Dublin, W. N. W.—14. Largs, heavy from N. N. W. from 7, A. M. till 8, P. M.—15. Kynure Light, N. W. gale.—16. Pladda Light, N. W. breeze.—17. Greenock, N. W. and N.—18. Lismore Light, N. W. gale.—19. Dumberline, N. and N. E. till 2, P. M. increasing to a gale.—20. Edinburgh, N. N. E. strong.—21. Berwick, S. by E. to S. E., strong.—22. Aberdeen, E. all day, strong.—23. Middle line of the storm on morning of 17th.
To the mariner it is of immense importance to discover the true law of storms. As his life and property will often depend upon the theory which
he has adopted, and which governs him in the control of his vessel when the element on which he sails is in dread commotion. If the course which storms pursue may be known, and it be true that the wind drives in on all sides towards a common centre, the seaman has an unerring guide for his conduct, which, if generally known, must greatly tend to the preservation of property and life. We have been informed by an American, who was present at Mr. Espy's lectures in Liverpool, that a gentleman of high standing, in his admiration of the very beautiful theory which the lecturer had been expounding, took occasion to observe, that if the masters of vessels which sailed from Liverpool on the memorable 6th of Jan., 1839, had known what Mr. Espy had clearly taught them that night, not one of them would have been lost, for they would not have put to sea in the face of such formidable indications of a storm. This observation will serve to show the importance of the subject to all who traverse the ocean.
It is known, that Mr. Espy himself has the greatest faith in the theory which he has put forth, and on several occasions has predicted the approach of a storm, and published his predictions in the papers before the storm appeared. If the doctrines which he teaches are true, this becomes a very simple matter. The barometer which falls in the centre of the storm, rises all around its borders and particularly before it, because as the cloud swells out at its sides, it presses together the surrounding atmosphere and thus increases its weight. The rise of the barometer then will indicate the presence of a storm in some region at no great distance, and if the wind at the same time sets in towards the point from which storms are known to come, it will scarcely be possible to mistake the result.
We are gratified to see that Mr. Espy's views have attracted much attention among the scientific men of the old world. The French Academy have given his theory the fullest sanction, and we cannot resist the temptation to place their report upon our pages.
Report of the Academy of Sciences, (Paris) on the labors of J. P. Espy, concerning Tornadoes &c.
Committee, Messrs. Arago, Pouillet, Babinet reporter.
"Messrs. Arago, Pouillet, and myself, have been appointed by the Academy to make a report to it upon the observations and theory of Mr. Espy, which have for their object aerial meteors known by the names of storms, water-spouts and tornadoes, which cause so much destruction on land and sea in the vicinity of the Gulf of Mexico. These storms are produced in the same manner in every part of the globe, when a few given circumstances concur in one place.
"The labors of Mr. Espy have already considerably occupied the attention of the learned world, and may be considered under three different points of view. First, the facts which he has recognised and substantiated, and the proofs which support them; second, the physical theory, by which he explains them, and the conclusions which he deduces from that theory; third, the observations which are yet to be made according to this theory, based upon facts, and the practical rules which the mariner, the farmer, and the meteorologist will obtain from it; the two former for their own benefit, the latter for science, which is useful to all.
"The facts which result from the numerous documents which Mr. Espy has placed in the hands of the committee, are the following: the motion of the air in the meteor under consideration, called tornado or water-spout, if it is violent, and of small extent; a storm, if it covers many degrees of the earth's surface; the motion of the air, we say, is always convergent, either towards a single centre, when the tornado has a circular form and limited extent, or towards a diametrical line, when the tornado or storm is of a lengthened form, and extends over many hundred leagues.
"If the tornado is very small, in which case the violence of the motion of the air is greater, a cloud is frequently seen in the centre, whose point descends more and more until it touches the earth or sea. Water-spouts are small tornadoes, and the force of
these meteors in the south and east of the United States is such, that trees are carried up in the air, and the heaviest objects are overturned, displaced, and transported. Finally, we have only to call to mind the well known storms of the Antilles, which change even the form of the ground over which they pass. We will adopt the technical word tornado to designate the meteor in question, whatever may be its extent or violence. China and the neighboring seas, Central Africa, and the southwest part of the Indian Ocean, are, like the West Indies, the theatre of meteors of the same nature, and not less disastrous.
"In arriving at the same moment the force and direction of the wind, which is shown by the overturned trees, the branches moved perpendicularly in a wind, by the traces impressed upon the soil, Mr. Espy proves that in the same instant the motion of all parts of the air which is reached by the tornado is tending towards a central space, point, or line, so that if the wind on one side of the meteor blows towards the east, it blows with the same violence towards the west on the other side of the tornado, and frequently at a very short distance from the first place, whilst in the centre an ascending current is formed of astonishing rapidity, which, after having risen to a prodigious height, spreads out on every side to a certain limit, which we shall soon determine by the observations of the barometer. This ascending current loses gradually its vertical height, and becomes a true cloud of the kind called cumulus, the base of which is horizontal, and whose height is determined by the temperature and humidity of the atmosphere. The central cloud of the tornado is constantly reproduced, in proportion as it is carried off by the rapid current of the centre; and, according to Mr. Espy, when rain or hail proceeds from this meteor, which is generally the case, it is the cold, caused by the expansion of the air carried into the higher regions of the atmosphere, which condenses the water. Elsewhere, when it appears in the tornado, it is not, according to Mr. Espy, essential to the phenomenon."
"The existence of an ascending current of extreme violence once placed beyond doubt by the phenomena of the rising of the air, and its motion towards a centre or towards the great diameter of the oblong space occupied by the tornado, being well established by facts, Mr. Espy examines the progressive movement of the whole meteor, which is very slow, compared with the velocity of the wind in the mass of air which becomes each instant a part of the tornado. Mr. Espy shows that near the latitude of Philadelphia, where cirrus clouds, very elevated as is known, move towards the east, the centre of the tornado moves almost always towards the east, as well as in Europe, where the west wind is predominant; whilst, in the inter-tropical regions, (Barbadoes, Jamaica, the north of the Indian Ocean,) the meteor moves towards the west or northwest, following the course of the trade winds. These assertions are also verified with regard to China and the Indian Ocean, according to the maps of Berghous. The barometer, which is a part of the meteor, is sometimes nearly 200 feet, or an inch (sixty millimetres) lower than towards its border, and its limit is marked on its surface by a closed curve, along which the barometer is found to be at its "normale" height, whilst, on the other side of this line, further from the centre, the barometer is observed to rise, which rise in small tornadoes is .08 of an inch, (two millimetres,) but which may be forty or forty-eight hundredths of an inch, (ten or twelve millimetres,) in very extended storms. If the centre of the tornado moves, (which may take place in any direction, when the meteor is of considerable dimensions,) effects produced by the motion are examined, it is always found that if the meteor has followed its motion in a line of its greatest diameter, the tree which fell the first, indicates a point anterior in the path of the meteor, and the tree which fell last, a posterior point. Thus it is constantly found that the trees which were overthrown with their tops turned towards positions anterior to the centre of the tornado, are covered by trees falling in the direction of the centre at a posterior period. In short, in this same case, the branches of the trees not overthrown, growing on the side facing from the opposite side of the line which the centre of the meteor takes, have followed the wind, and are oriented across the trunk of the trees."
"The circumstances favourable to the sudden production of a tornado, large or small, are, according to Mr. Espy, a warm and humid atmosphere, covering a country sufficiently level and extended, still enough to allow that part of the air which is accidentally the least dense, to rise to a great perpendicular height above the middle of the heated space which is charged with transparent vapor; moreover, in the higher regions, a cold and dry air, whose situation and especially whose density contrasts with that of the ascending current which dilates, cools, loses its transparency by the precipitation of its dampness, keeping notwithstanding a specific gravity less than that of the air which surrounds it, and by its expansion presenting the form of a mushroom or the head of a pine."
with or without the prolongation or appendage towards the base, which appendage, cloudy and opaque, shows a space where the expansion and the cold are at their maximum, and where, consequently, the precipitation of vapor commences almost immediately above the ground or the surface of the sea.
"Such are then the principal points which Mr. Espy has obtained from numerous observations. The motion of the air towards the centre of the meteor, the depression of the barometer in the centre, the central ascending current, the formation of cloud at a certain height, and its circular expansion after this cloud has attained a prodigious height, an expansion which is not always accompanied by rain, are the facts of the noble meteor, en masse; these, I say, are the points which the extensive labors of Mr. Espy, his own observations, and the documents which he has collected, and which he intends publishing immediately in a special work, have placed beyond doubt, and which seem even to have triumphed over every objection, and to have rallied all opinions to his own.
"Let us now see the theory upon which he bases his observations, or rather which is based upon these facts well observed, well proven, and always reproduced in nature with similar circumstances.
"Mr. Espy thinks that, if a very extended stratum of warm and humid air at rest, covers the surface of a region of land or sea, and that by any cause whatever, for example a less local density, an ascending current is formed in this mass of humid air, the ascending force, instead of diminishing in consequence of the elevation of the rising column, will increase with the height of the column, exactly as though a current of hydrogen was rising through the common air, which current would be pushed towards the top of the atmosphere, with a force and velocity in proportion to its height. This column of humid air must also be compared to thin glass-pipes and metal-pipes, of which the draught is in proportion to the height of the pipe containing the warm air. What then is the cause which renders the warm and humid ascending current, lighter in each of its parts than the air which is found at the same height with these different portions of the ascending column?
"This cause, according to the sufficiently exact calculations [pre suffisamment exact] of Mr. Espy, is the constantly higher temperature which the ascending column retains, and which proceeds from the heat furnished by the partial condensation of the vapor mixed with the air, making this ascending column a true column of heated air; that is to say, of a lighter gas; for the weight of the water which passes into the liquid state, is far from compensating the excess of levity which proceeds from the more elevated temperature which the air preserves. (This weight only equals one fifth of the diminution of the weight in ordinary circumstances.)
"The more the higher the column is, the greater is the ascending force, and the rushing in of the surrounding air on all sides will be accompanied with more energy. To understand this effect better, let us consider a mass of warm and dry air rising in the midst of a colder atmosphere. In proportion as this air rises, it will expand, because of the less pressure which it will experience, and consequently become colder; it will arrive then quickly at an equilibrium both of temperature and pressure with a layer more or less elevated, which it will soon reach, and in which it will remain; but if this only cause of cold, expansion, is overbalanced by a cause of heat, for example the heat furnished by the vapor which is condensing, this air will remain constantly warmer than would have been necessary to attain the same temperature and pressure as the surrounding air. It will then be constantly lighter, and the higher the column, the greater the ascending force.
"The calculations of Mr. Espy show, without the slightest doubt, that the column of damp air regaining in temperature, by the condensing of the vapor, a part of the heat lost by expansion; this column always remains warmer than the air which is at the same height with each of its parts. Finally, Mr. Espy deduces the exact data which are still wanting to science, from the experiments made upon the temperature which the air preserves by the effect of condensation of the vapor in a closed vessel which he calls a 'thermoscope,' and in which he compares the thermometrical fall produced in the air by a diminution of superincumbent pressure, to what takes place in nature, whether operating on dry, or employing damp, air. Notwithstanding the influence of the sides of the vessel, every time a light cloud is formed in the apparatus, the temperature undergoes a much less reduction than that which takes place when the point of precipitation of vapor has been attained, or when the experiment is tried on dry air.
"The theory of Mr. Espy also accounts very well for the formation of a true cloud analogous to the cumulus with horizontal base, from the moment when the warm and damp air has acquired such an expansion, that the cold produced by it will cause a precipitation of water, and the base of the central cloud of the tornado, if it is horizontal, as is the case in most great meteors of this nature, should be lowered in proportion as the moist air which is carried up is more fully charged with vapor; this being like that of the cumulus, being of necessity found at the point where the temperature of the ascending current becomes that of the dew point, which itself depends evidently upon the degree of dampness of the air. This theory further explains how, in the small tornadoes, whose violence is remarkable, an expansion takes place in the centre of the meteor, at a very small height, sufficient to condense vapor by the cold, and consequently to produce this kind of appendage which particularly distinguishes small tornadoes, or common water-meteors. Let us add that the theory of Mr. Espy explains the unity of the whole column, its comparative levity, the ascending force of the current, the central depression which is the consequence of it, the rapidity with which the surrounding air rushes towards the place where the pressure is diminished, finally, all the conclusions drawn from the physical data of the phenomena, have been proved and ascertained with sufficient exactness to leave no doubt as to this portion of Mr. Espy's theory.
"One word remains to be said relative to the progressive movement of the meteor. This movement does not depend upon an ordinary wind, which, imputing a common motion to the whole atmosphere, would not disturb the equilibrium of the column of moist air. But as these phenomena are produced suddenly in the midst of a great calm, Mr. Espy thinks that, in accordance with observed facts, the motion of the meteor should be attributed to the winds, which predominate in the upper part of the atmosphere, and that in modern latitudes, this motion should thus take place towards the east, whilst in the equatorial regions this motion should be directed towards the west, as the current of the trade winds. As a wind of the slight strength which is owing to the springing out of the air around the top of the meteor, accounts for the sudden elevation of the barometer, which the invasion of the tornado in every place presents, and can even, according to Mr. Espy, serve as a prognostic of it.* Another result is, that beyond the limits of the meteor, a feeble wind ought to be observed, as is the case, whose direction is opposite to that of the air which is violently rushing towards the centre of the tornado.
"The consequences which Mr. Espy deduces from this theory are, that in many localities, in families, for example, the sea breezes cause a motion of the air perfectly analogous to that which constitutes a tornado, and that the results of it are the same, namely, rain and tempest at stated hours, on each day of summer. The same circumstances produce the same effects in other well-known localities, volcanic eruptions, great conflagrations of forests, with the favorable circumstances of tranquillity, heat, and moisture, ought also to produce ascending currents and rain. In the midst of all the theoretical deductions of Mr. Espy, it should be remarked, that a descending current of air may also constitute calm, for the current would become warm by compression in proportion as it should descend, and the meteorological temperature of the air plays sheltered from the ascending winds, is considerably augmented by this cause. The tempests of sand in many parts of Africa and Asia, although possessing much less violence, owing to the dryness of the heated air, accord perfectly with the theory of Mr. Espy, both as to quantity and the nature of their effects.
"Lastly, let us observe, that if, in tornadoes, the air is absorbed by the lower portion of the column, and not by the higher parts, it is, that the difference between the pressure of the heated column and that of the surrounding air, is much more marked, as it is considered lower down, in the column of less density and equal elasticity, so that, in the case of an equilibrium, at the lowest point this difference would be precisely the total difference of the whole heated column to the whole column of air of the same height situated around the first. The observations and experiments which have been suggested to Mr. Espy by the study of the phenomena of tornadoes, and the theory he has given of them, merit the most serious attention. It is very evident, that they would be much benefited by the establishment of a system of simultaneous observations of the barometer, thermometer, hygrometer, and especially of the anemometer, if at least they could be procured capable of giving with sufficient accuracy the intensity of the wind at the same time with its direction and the time of each variation of force. The influence which electricity exerts in this phenomenon, remains yet to be determined. Mr. Espy thinks that artificial causes—for example, great fires kindled in favorable circumstances of heat, of tranquillity, and humidity—can cause an ascending column of much less violence, the useful results of which would be on the one hand rain, and on the other the
* The reader will recollect that in the "Report," tornado is used to signify both large and small storms.
happy prevention of disastrous storms. It will be necessary to see in Mr. Espy's work itself, the further beneficial results to navigation from the views furnished by his theory.
"The different manners in which philosophers, by means of apparatus whose principle of action is the centrifugal force, have imitated water-sprouts or small tornadoes, do not appear to us reconcilable with Mr. Espy's theory, which, based upon facts, equally refutes the idea of the whirlwind motion of the air in the storm."
"Here we should compare the theory of Mr. Espy with other theories, anterior or contemporaneous. The labors of Franklin, and of Messrs. Redfield, Reid, and Pelletier, would furnish as many excellent observations and parts, or the whole of the phenomena, very well studied. But the extensive discussion which we should have to establish before deciding in favor of Mr. Espy, would lead us too far. Mr. Espy himself, as to the electrical part of the phenomenon, is right; however, he regards as only accessory and secondary, acknowledging that his theory is less general and less complete than it is with regard to the phenomena of the motion and precipitation of the water, which are, according to him, the base of the production of the meteor.
"Finally, it is proved by the investigations of Mr. Espy, that it will be impossible hereafter to adduce in the mean (normale) state of the atmosphere, a descending current of air as a cause of cold, or an ascending current of dry air a cause of heat. The applications of this theory present themselves in meteorology," but this principle specially discards the idea of explanation of the tornado by the centrifugal force, which would then cause the upper air to descend in the centre of the storm, while air becoming heated by the augmented pressure, could not allow its own vapor to be precipitated, nor precipitate that of the air with which it came in contact.
CONCLUSION.
"In conclusion, Mr. Espy's communication contains a great number of well-observed and well-described facts. His theory, in the present state of science, alone accounts for the phenomena, and, when completed, as Mr. Espy intends, by the study of the action of electricity when it intervenes, will leave nothing to be desired. In a word, for physical geography, agriculture, navigation, and meteorology, it gives us new explanations, indications useful for interior researches, and redresses many accredited errors.
"The committee expresses that the wish that Mr. Espy should be placed by the government of the United States in a position to continue his important investigations, and to complete his theory, already so remarkable, by means of all the observations and all experiments which the deductions even of his theory may suggest to him, in a vast country, where enlightened men are not wanting to science, and which is besides, as it were, the home of these fearful meteors.
"The work of Mr. Espy causes us to feel the necessity of undertaking a retrospective examination of the numerous documents already collected in Europe, to arrange them and draw from them deductions which they can furnish, and more especially at the present period, when the diluvial rains, which have ravaged the southeast of France, have directed attention to all the possible causes of a similar phenomenon. Consequently, the committee proposes to the academy to give its approbation to the labors of Mr. Espy, and to solicit him to continue his researches, and especially to try to ascertain the influence which electricity exerts in these great phenomena, of which a complete theory will be one of the most precious acquisitions of modern science.
"The conclusions of this report are adopted."
We have great satisfaction in adding, that Mr. Espy's book is in the very best style of the Boston publications. It is illustrated with numerous engravings; the typography is clean and neat; the paper fine; and, in short, it is every way worthy of the high standing of the publishers who have undertaken to bring it before the public. We commend it with confidence to all the lovers of science, satisfied that they will derive both pleasure and profit from the perusal.
* Philosophical Magazine, for June, 1841. Sir David Brewster says, "the theory of the rotary character of storms was first suggested by Col. Capper, but we must claim for Mr. Redfield the greater honor of having fully investigated the subject, and apparently established the theory upon an impregnable basis."
ART. IV.—SKETCHES OF DISTINGUISHED MERCHANTS.
NOTICE OF THE LIFE AND CHARACTER OF JOSEPH MAY.*
Lives of good men all remind us
We can make our lives sublime,
And depart as brave men and die us
Footsteps on the sands of time;
Footsteps, that perhaps another,
Sailing o'er life's troubled main,
A forlorn and shipwrecked brother,
Seeing, shall take heart again.—LONGFELLOW.
Mr. May belonged to a generation which has now almost wholly passed away. A few yet linger, but they will soon be all gone. He may be regarded as a type and specimen, not indeed of what was most brilliant and distinguished, but of what was most solid and worthy, staunch, honest, upright, and true in that generation. He was a native of Boston; his life was passed in the open sight of his fellow-citizens, and the testimony which we render is only the repetition of the common voice.
His integrity has never been questioned. It passed safely through the trial of adversity and failure in business—a trial which has proved too severe for the strength of many—and was as confidently relied upon after that change as before it. Perfect proof of this is given by the fact that he was called on to fill several offices, which, though not conspicuous, involved important trusts, and supposed implicit confidence, and which were held till repeated intimations of increasing age warned him to resign them.
His ideas and feelings respecting riches, though not perhaps peculiar, were certainly not common. He regarded the gift of property to one's children a questionable good. He has often said, that he knew many promising youth who were stinted in their intellectual and moral growth by the expectation of an inheritance that would relieve them from the necessity of labor. Every man, he would add, should stand upon his own feet, rely upon his own resources, know how to take care of himself, supply his own wants; and that parent does his child no good, who takes from him the inducement, nay, the necessity to do so.†
He thought it well and proper to engage in the pursuit of property in some honest and honorable occupation, as one of the means of unfolding
* In the Merchant's Magazine for July, 1841, we published a brief obituary of the late Joseph May, Esq., a merchant of Boston. We had previously requested the Rev. F. W. P. Greenwood, D. D., to prepare a sketch of his life and character, which through the interferences of our agents, was not received until very recently. Some paragraphs of the present sketch, are from the sermon preached by Mr. Greenwood at Kings Chapel, Sunday, March the 7th, 1841, on the death of Mr. May; and the remainder in manuscript, was furnished by a member of the family of the deceased.—Ed. Mag.
† In a communication received from the Rev. S. J. May, is an anecdote which deserves preservation, as illustrative of the sentiments of his father.
"When I brought you up last to college, Bill received, he folded it with an emphatic pressure of his hand, saying as he did it: 'My son, I have wished that you might go through; and that I have been able to afford you the advantages you have enjoyed. If you have been faithful, you must now be possessed of an education that will enable you to go anywhere; stand up among your fellow-men; and by serving them in one department of usefulness or another, make yourself worthy of a comfortable livelihood, if no more. If you have not improved your advantages, or should be hereafter slothful, I thank God that I have not property to leave you, that will hold you up in a place among men, where you will not deserve to stand.'"
the faculties, and forming and establishing the character. But he considered it most unworthy of a rational and moral being, to seek after riches as the chief good. He utterly despised avarice.
When about thirty-eight years of age, he was stopped in the midst of a very profitable business, in which he had already acquired a considerable fortune, by the result of an ill-advised speculation. He foresaw that he must fail, and at once gave up all his property, "even to the ring on his finger, for the benefit of his creditors." The sufferings which this disaster caused revealed to him that he had become more eager for property, and had allowed himself to regard its possession more highly, than was creditable to his understanding or good for his heart. After some days of deep depression, he formed the resolution, never to be a rich man; but to withstand all temptations to engage again in the pursuit of wealth. He adhered to this determination. He resolutely refused several very advantageous offers of partnership in lucrative concerns, and sought rather the situation he held, for more than forty years, in an insurance office, where he would receive a competence only for his family.
When in the midst of his family he seemed to have no anxieties about business, and was able to give his whole mind to the study of his favorite authors, the old English Classics, the best historians, and Paley and Priestley, of whom he was a great admirer.
He almost always read one or two hours in the morning, and as much in the evening. By the devotion of only this time to books, he was able in the course of his life to peruse many volumes of substantial value, of the contents of which his sound understanding and retentive memory enabled him to make readily a pertinent use.
In active benevolence and works of charity, he seems to have been indefatigable and unsurpassed. He was not able to bestow large donations on public institutions, but he was a valuable friend, promoter, and director of some of the most important of them.* His private charities are not to be numbered. Without much trouble he might be traced through every quarter of the city by the foot-prints of his benefactions. Pensioners came to the door of his house as they do in some countries to the gate of a convent. The worthy poor found in him a friend, and the unworthy he endeavored to reform. His aid to those in distress and need was in many cases not merely temporary and limited to single applications, but as extensive and permanent as the life and future course of its object. A family of fatherless and motherless and destitute children, bound to him by no tie but that of human brotherhood, found a father in him, and owe to him, under heaven, the respectability and comfort of their earthly condition. It would appear as if he had expressly listened to the exhortation of the son of Sirach, and had received the fulfilment of his promise: "Be as a father unto the fatherless, and as a husband unto their mother; so shalt thou be as the son of the Most High, and he shall love thee more than thy mother doth."
* He was particularly interested in the establishment of the Asylum for the Insane, and the Massachusetts General Hospital. He felt sure that these were charities worthy of all he could do to promote them, and he labored for them heartily and effectually.
† "He never," observes his son, "seemed to feel displeased when asked to relieve the necessities of his fellow-beings, and therefore never hastily dismissed their claims, but carefully considered them, that he might give substantial and permanent aid.
" I cannot remember the time, when he was not planning for the benefit of several
As a friend and neighbor, his kind attentions and services were unremitting;—and how much of the happiness of our daily being is dependent on such attentions and services! He knew many persons, and suffered himself to forget none. If he had kept a list of them he could not have been more punctual in his remembrances; and he did keep a list of them in his friendly heart. But though he comprehended many in his generous regards, his strongest affections were still at home, reserved for the few who were nearest, and not dissipated or rendered shallow by the diffusion of his general charity. The stream of his benevolence was wide, but its central channel was deep.
His love of nature was ever fresh and warm. He watched the seasons as they rolled, and found in each much to excite his admiration and love of the great Creator and sovereign Disposer of all. The flowers, the birds, the sunshine, and the storm were objects of his continual notice, and of frequent remarks in his diary. His habit of walking early in the morning, often before sunrise, which he persisted in regularly until about two years since, secured to him a season of daily communion with the beauties of creation and its Author.
His love of children was ardent—and he inspired them with love for himself. It was his wish ever to have some children in his family. Their joyous laugh was music to his ear. After the death of his first born, he felt so lonely that he adopted a boy to supply the vacant place. And even within a few weeks of his decease, the son of a widow was brought by him to a home in his house.
On the services of the church and the ordinances of religion as administered at King's Chapel, he was a constant attendant. And this was because he viewed them in their proper light as the outward supports of order and virtue, and the good helps of piety, and not because he esteemed them as religion in themselves, or substitutes of religion: for if there ever was a man whose piety was practical, whose religion was life-religion, who could not understand or enter into any views of religion which were not practical, it was he.
He had borne many sorrows in the course of his protracted pilgrimage, and religion had supported him under them all. His belief in the sure mercies of God and promises of the Saviour was as firm and deeply rooted as the mountains. His faith in a future and better life was as sight. He saw its glories with his eyes, and the more distinctly as he drew nearer to them. Many expressions of his, simply and strongly declaratory of this sight-like faith, dwell, and will always dwell, on the memories of his relatives and most intimate friends.
His frame was so robust, his manner of living so regular, his mind so calm, his whole appearance so promising of endurance, that, aged as he was, even in his eighty-first year, I had thought he would yet continue for a season with us, and come up for many Sabbaths to our solemn assemblies, poor or afflicted persons. The last few years of his life were peculiarly blessed by visits from numerous persons, or the children of persons whom he had befriended."
"There was a time when, as he afterward thought, he was not discriminating enough in his charities. The reading of Malthus on Population, and the discussions which arose upon the publication of that work, modified considerably his views of true benevolence. Prevention of poverty seemed to him both more merciful and practicable than the relief of it: and he was therefore continually suggesting to those who were on the verge of poverty, principles of economy and kinds of labor, by which they were enabled to put themselves into a comfortable estate."
blies. But it was not so to be. Till the Sunday before his death, he appeared as usual in his accustomed seat. For a few days afterward, gentle intimations of death were given—hardly alarming to his friends, and not at all so to him, though he perfectly comprehended their meaning. There was some aberration of mind, but no suffering of the body,—and then, to use the words of an old writer on the decease of a venerable prelate, "then he sweetly fell asleep in Christ, and so we softly draw the curtains about him."
A prominent place should be given, in a sketch of Mr. May's character, to his love of order, his methodical habits, his high estimate of the importance of punctuality. These were conspicuous traits, and they enabled him to accomplish a great deal of business, to attend to a variety of matters, which would have distracted a man without such habits, giving him, at the same time, a real though unobtrusive power of usefulness to his fellow-men. President Quincy has said in his history of Harvard College, that "there is no class of men to whom history is under so many obligations as to those who submit to the labor of keeping diaries." Mr. May performed a great deal of this sort of labor, because it enabled him to be so continually useful to all about him. His pocket and memorandum books were filled with items, that were often of great convenience, and sometimes of inestimable value to others. To this he was prompted by his spirit of practical benevolence, and was enabled to perform with comparatively little trouble by his habits of regularity and method.
His habits of order and strict method saved him a vast deal of anxious thought about his daily business cares and duties; he always knew exactly the state of his concerns. It required no effort of careful recollection to keep in mind any thing he ought to remember, for he could recur at once to his accounts and memoranda and find all as he left it; so exact was his method, that he could return to his office in utter darkness, find any key in use there, put his hand upon any book or bundle of papers he might wish to examine.
It may be well to mention another of his principles, which he deemed no more than a part of strict honesty: "Live within your income, whatever that may be," he would often say; "and then you will wrong no one, and will be always independent." "Should your income cease altogether, or be too narrow for your wants, make known your necessitous situation, and incur no debt but the debt of gratitude." "It is dishonest to borrow unless you foresee that you shall have the ability to repay the loan; and you should never obtain credit for any article, even a necessary of life, if you know not when or how you shall get the means to pay for it. In this case beg, rather than borrow."
Knowing as he did the trials and temptations of a merchant's life, he took a lively interest in young men who were just entering upon it. There are not a few who gratefully acknowledge, that to him they are indebted for habits and maxims that have been of essential service to them. Early rising, order, punctuality, living within one's income, the useful occupation of leisure time, he inculcated earnestly upon all. "Few men," he would say, "are so busy, none should be, as to have no time which they might devote to their moral culture, and the acquisition of useful knowledge. Life was not given to be all used up in the pursuit of what we must leave behind us when we die."
He used the world without abusing it. He saw much that was beautiful and good here, and he indulged the feelings they naturally awakened. They were to his grateful heart intimations of the character of the heavenly Father, which should not be overlooked. He was sure that the Being who made all these things to gratify and delight us, is full of love; we have nothing to fear from him. If we are ever unhappy, miserable, it must be that we make ourselves so, by not following the course he has marked out for us, by not choosing to become what he has invited, and would enable us to become.
Death had no terrors for him; he often conversed about it as a solemn "event in the being of every man;" but his thoughts did not linger in the dark valley. He seemed to realize with Abraham Tucker that the body is but the garment of the soul, with which it really has little more necessary connection than with the house we may dwell in, the clothes we may wear, the tools we may use. He who gave us this body is able to give us another, and we should be willing to leave ourselves in his hands.
MERCANTILE LAW DEPARTMENT.
BANKRUPT LAW.
AN ACT TO ESTABLISH A UNIFORM SYSTEM OF BANKRUPTCY THROUGHOUT THE UNITED STATES.
Bankruptcy authorized—Exceptions—Initiatory proceedings on application for—Cases in which creditors may demand bankruptcy—Jury trial granted thereon.
Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled, That there be, and hereby is, established throughout the United States, a uniform system of bankruptcy, as follows: All persons whatsoever, residing in any State, District or Territory of the United States, owing debts, which shall not have been created in consequence of a defalcation as a public officer; or as executor, administrator, guardian or trustee, or while acting in any other fiduciary capacity, who shall, by petition, setting forth to the best of his knowledge and belief, a list of his or their creditors, their respective places of residence, and the amount due to each, together with an accurate inventory of his or their property, rights, and credits, of every name, kind, and description, and the location and situation of each and every parcel and portion thereof, verified by oath, or, if conscientiously scrupulous of taking an oath, by affirmation, apply to the proper court, as hereinafter mentioned, for the benefit of this act, and therein declare themselves to be unable to meet their debts and engagements, shall be deemed bankrupts within the purview of this act, and may be so declared accordingly by a decree of such court. All persons, being merchants, or using the trade of merchandise, all retailers of merchandise, and all bankers, factors, brokers, underwriters, or marine insurers, owing debts to the amount of not less than two thousand dollars, shall be liable to become bankrupts within the true intent and meaning of this act, and may, upon the petition of one or more of their creditors, to whom they owe debts amounting in the whole to not less than five hundred dollars, to the appropriate court, be so declared accordingly, in the following cases, to wit: whenever such person, being a merchant, or actually using the trade of merchandise, or being a retailer of merchandise, or being a banker, factor, broker, underwriter, or marine insurer, shall depart from the State, District, or Territory, of which he is an inhabitant, with intent to defraud his creditors; or shall conceal himself to avoid being arrested, or shall willingly or fraudulently procure himself to be arrested, or his goods and chattels, lands, or tenements, to be attached, distrained, sequestered, or taken in execution; or shall remove his goods, chattels, and effects, or conceal them to prevent their being levied upon, or taken in execution, or by other process; or make any fraudulent conveyance, assignment, sale, gift, or other transfer of his lands, tenements, goods, or chattels, credits, or evidences of debt: Provided, however, That any person so declared a bankrupt, at the instance of a creditor, may, at his election, by petition to such court within ten days after its decree, be entitled to a trial by jury before such court, to ascertain the fact of such bankruptcy; or if such person shall reside at a great distance from the place of holding such court, the said judge, in his discretion, may direct such trial by jury to be had in the county of such person's residence, in such manner, and under such directions, as the said court may prescribe and give: and all such decrees passed by such court, and not so re-examined, shall be deemed final and conclusive as to the subject-matter thereof.
Future preferences void—Discharge in such case forbid—Limit and proviso—Cases of preferences since 1st January last, provided for—Married women and minors' rights preserved.
SEC. 2. And be it further enacted, That all future payments, securities, conveyances, or transfers of property, or agreements made or given by any bankrupt, in contemplation of bankruptcy, and for the purpose of giving any creditor, endorser, surety, or other person, any preference or priority over the general creditors of such bankrupts; and all other payments, securities, conveyances, or transfers of property, or agreements made or given by such bankrupt in contemplation of bankruptcy, to any person or persons whatever, not being creditors of such bankrupt, and not being of the class of such person, without notice, shall be deemed utterly void, and a fraud upon this act; and the assignee under the bankruptcy shall be entitled to claim, sue for, recover, and receive the same as part of the assets of the bankruptcy; and the person making such unlawful preferences and payments shall receive no discharge under the provisions of this act: Provided, That all dealings and transactions by and with any bankrupt, bona fide made and entered into more than two months before the petition filed against him, or by him, shall not be invalidated or affected by this act: Provided, That the other party to any such dealings or transactions had no notice of a prior act of bankruptcy, or of the intention of the bankrupt to take the benefit of this act. And in case it shall be made to appear to the court, in the course of the proceedings in bankruptcy, that the bankrupt, his application being voluntary, has, subsequent to the first day of January last, or at any other time, in contemplation of the passage of a bankrupt law, by assignments or otherwise, given or secured any preference to any creditor over another, he shall not receive a discharge unless the same be assented to by a majority in interest of those of his creditors who have not been so preferred: And provided, also, That nothing in this act contained shall be construed to annul, destroy, or impair any lawful rights of married women, or minors, or any liens, mortgages, or other securities on property, real or personal, which may be valid by the laws of the States respectively, and which are not inconsistent with the provisions of the second and fifth sections of this act.
Decree of bankruptcy divests the bankrupt and invests his assignee with his whole property—Certain articles excepted.
SEC. 3. And be it further enacted, That all the property, and rights of property, of every name and nature, and whether real, personal, or mixed, of every bankrupt, except as hereinafter provided, who shall, by the decree of the proper court, be declared to be a bankrupt within this act, shall, by mere operation of law, ipso facto, from the time of such decree, be deemed to be divested out of such bankrupt, without any other act, assignment, or other conveyance whatsoever; and the same shall be vested, by force of the same decree, in such assignee as from time to time shall be appointed by the proper
court for this purpose; which power of appointment and removal such court may exercise at its discretion, totes quotes; and the assignee so appointed shall be vested with all the rights, titles, powers, and authorities, to sell, manage, and dispose of the same, and to sue for and defend the same, subject to the orders and directions of such court, as fully, to all intents and purposes, as if the same were vested in, or might be exercised by, such bankrupt before or at the time of his bankruptcy declared as aforesaid; and all suits in law or in equity, then pending, in which such bankrupt is a party, may be prosecuted and defended by such assignee to its final conclusion, in the same way, and with the same effect, as they might have been by such bankrupt; and no suit commenced by him against any assignee shall be abated by his death or removal from office, but the same may be prosecuted or defended by his assignee in the same office: Provided, however, That there shall be exempted from the operation of the provisions of this section the necessary household and kitchen furniture, and such other articles and necessaries of such bankrupt as the said assignee shall designate and set apart, having reference in the amount to the family, condition, and circumstances of the bankrupt, but altogether not to exceed in value, in any case, the sum of three hundred dollars; and also, the wearing apparel of such bankrupt, and that of his wife and children; and the determination of the assignee in the matter shall, on exception taken, be subject to the final decision of said court.
Discharge may be granted by court, except creditors dissent—Final notice to creditors required—Right to discharge forfeited by fraud, &c.—Limitation of discharge—Case of perjury—Effect of discharge—In case creditors dissent, or court refuse to discharge—Jury trial granted, or appeal to circuit court.
Sec. 4. And be it further enacted, That every bankrupt, who shall bona fide surrender all his property, and rights of property, with the exception before mentioned, for the benefit of his creditors, and shall fully comply with and obey all the orders and directions which may from time to time be passed by the proper court, and shall otherwise conform to all the other requisitions of this act, shall (unless a majority in number and value of his creditors, who have proved their debts, shall file their written dissent thereto) be entitled to a full discharge from all his debts, to be decreed and allowed by the court which has declared him a bankrupt, and a certificate thereof granted to him by such court accordingly, upon his petition filed for such purpose; such discharge and certificate not, however, to be granted until after ninety days from the decree of bankruptcy, nor until after seventy days' notice in some public newspaper, designated by such court, to all creditors who have proved their debts, and other persons in interest, to appear at a particular time and place, to show cause why such discharge and certificate shall not be granted; at which time and place any such creditors, or other persons in interest, may appear and contest the right of the bankrupt thereto: Provided, That in all cases where the residence of the creditor is known, a service on him personally, or by letter addressed to him at his known usual place of residence, shall be prescribed by the court as in their discretion shall seem proper, having regard to the distance at which the creditor resides from such court. And if any such bankrupt shall be guilty of any fraud or wilful concealment of his property or rights of property, or shall have preferred any of his creditors contrary to the provisions of this act, or shall wilfully omit or refuse to comply with the laws or directions of such court, or to conform to any other requisites of this act, or shall, in the proceedings under this act, admit a false or fictitious debt against his estate, he shall not be entitled to any such discharge or certificate; nor shall any person, being a merchant, banker, factor, broker, underwriter, or marine insurer, be entitled to any such discharge or certificate, who shall become bankrupt, and who shall not have kept proper books of account, after the passing of this act; nor any person who, after the passing of this act, shall apply trust funds to his own use: Provided, That no discharge of any bankrupt under this act shall release or discharge any person who may be liable for
the same debt as a partner, joint contractor, endorser, surety, or otherwise, for or with the bankrupt. And such bankrupt shall at all times be subject to examination, orally, or upon written interrogatories, in and before such court, or any commission appointed by the court therefor, on oath, or, if conscientiously scrupulous of taking an oath, upon his solemn affirmation, in all matters relating to such bankruptcy, and his acts and doings, and his property and rights of property, which, in the judgment of such court, are necessary and proper for the purposes of justice; and if in any such examination, he shall wilfully and corruptly answer, or swear, or affirm, falsely, he shall be deemed guilty of perjury, and shall be punishable therefor, in like manner as the crime of perjury is now punishable by the laws of the United States; and such discharge and certificate, when duly granted, shall, in all courts of justice, be deemed a full and complete discharge of all debts, contracts, and other engagements of such bankrupt, which are provable under this act, and shall be and may be pleaded as a full and complete bar to all suits brought in any court of judicature whatsoever, unless the same shall be set aside by a decree of itself in favor of such bankrupt, unless the same shall be impeached for some fraud or wilful concealment by him of his property or rights of property, as aforesaid, contrary to the provisions of this act, on prior reasonable notice specifying in writing such fraud or concealment; and if, in any case of bankruptcy, a majority, in number and value, of the creditors, who shall have proved their debts at the time of hearing of the petition of the bankrupt for a discharge as hereinbefore provided, shall at such hearing file their written dissent to the allowance of a discharge and certificate to such bankrupt, or if, upon such hearing, a discharge shall not be decreed to him, the bankrupt may demand a trial by jury upon a proper issue to be directed by the court, at such time and place, and in such manner, as the court may order; or he may appeal from that decision, at any time within ten days thereafter, to the circuit court next to be held for the same district, by simply entering in the district court, or with the clerk thereof, upon record, his prayer for an appeal. The appeal shall be tried at the first term of the circuit court after it be taken, unless, for sufficient reason, a continuance be granted; and it may be heard and determined by said court summarily, or by a jury, at the option of the bankrupt; and the creditors may appear and object against a decree of discharge and the allowance of the certificate, as hereinbefore provided. And if, upon a full hearing of the parties, it shall appear to the satisfaction of the court, or the jury shall find that the bankrupt has made a full disclosure and surrender of all his estate, as by this act required, and has in all things conformed to the directions thereof, the court shall make a decree of discharge, and grant a certificate, as provided in this act.
Bankrupt's property—Distribution directed—Contingent debts provided for—Right of action waived—Case of mutual debt—Power to disallow claims—Proof of debt to corporations—Appointment of commissioners.
SEC. 5. And be it further enacted, That all creditors coming in and proving their debts under such bankruptcy, in the manner hereinafter prescribed, the same being bona fide debts, shall be entitled to share in the bankrupt's property and effects, pro rata, without any priority or preference whatsoever, except only for debts due by such bankrupt to the United States, and for all debts due by him to persons who, by the laws of the United States, have a preference, in consequence of having paid moneys as his sureties, which shall be first paid out of the assets; and any person who shall have performed any labor as an operative, or the servant of the bankrupt, shall be entitled to receive the full amount of the wages due to him for such labor, not exceeding twenty-five dollars: Provided, That such labor shall have been performed within six months next before the bankruptcy of his employer; and all creditors whose debts are not due and payable until a future day, all annuitants, holders of bottomry and respondentia bonds, holders of policies of insurances, sureties, endorsers, bail, or other persons, having uncertain or contingent demands against such bankrupt, shall be permitted to come in and prove such debts or claims under this act, and shall have a right, when their debts and claims become absolute, to have the same allowed them; and such annuitants and holders of debts payable in future may have the present value thereof ascertained, under the direction of such court, and allowed them accordingly, as debts in present; and no creditor or other person, coming in and proving his debt or other claim, shall be allowed to maintain any suit at law or in equity therefor, but shall be deemed thereby to have waived all right of action and suit against such bankrupt; and all proceedings already commenced, and all unsatisfied judgments already obtained thereon, shall be deemed to be surrendered thereby; and in all cases where there are mutual debts or mutual credits between the parties, the balance only shall be deemed the true debt or claim between them, and the residue shall be deemed adjusted by the set-off; all such proof of debts shall be made before the court decreeing the bankruptcy, or before some commissioner appointed by the court for that purpose; but such court shall have full power to set aside and discharge any debts or proofs of debts which, being due, are in fraud, imposition, illegality, or mistake; and corporations to whom any debts are due, may make proof thereof by their president, cashier, treasurer, or other officer, who may be specially appointed for that purpose; and in appointing commissioners to receive proof of debts, and perform other duties, under the provisions of this act, the said court shall appoint such persons as have their residence in the county in which the bankrupt lives.
Jurisdiction of the United States district court over all cases of bankruptcy—Rules of proceeding—Fees.
Sec. 6. And be it further enacted, That the district court in every district shall have jurisdiction in all matters and proceedings in bankruptcy arising under this act, and any other act which may hereafter be passed on the subject of bankruptcy; the said jurisdiction to be exercised summarily, in the nature of summary proceedings in equity; and for this purpose the said district court shall be deemed always open. And the district judge may adjourn any point or question arising in any case in bankruptcy into the circuit court for the district, in his discretion, to be there heard and determined; and for this purpose the circuit court of such district shall also be deemed always open. And the jurisdiction hereby conferred on the district court shall extend to all cases and controversies in bankruptcy arising between the bankrupt and any creditor or creditors who shall claim any debt or demand under the bankruptcy; to all cases and controversies between such creditor or creditors and the assignee of the estate, whether in office or removed; to all cases and controversies between such assignee and the bankrupt, and to all acts, matters, and things to be done under and in virtue of the bankruptcy, until the final distribution and settlement of the estate of the bankrupt, and the close of the proceedings in bankruptcy. And the said courts shall have full authority and jurisdiction to compel obedience to all orders and decrees passed by them in bankruptcy, by process of contempt and other remedial process, to the same extent the circuit courts may now do in any suit pending therein in equity. And it shall be the duty of the district court in each district, from time to time, to prescribe suitable rules and regulations, and forms of proceedings, in all matters of bankruptcy, and to revise, regulate, and alter, shall be subject to be altered, added to, revised, or annulled, by the circuit court of the same district, and other rules and regulations, and forms substituted therefor; and, in all such rules, regulations, and forms, it shall be the duty of the said courts to make them as simple and brief as practicable, to the end to avoid all unnecessary expenses, and to facilitate the use thereof by the public at large. And the said courts shall, from time to time, prescribe a tariff or table of fees and charges to be taxed by the officers of the court or other persons, for services under this act, or any other on the subject of bankruptcy; which fees shall be as low as practicable, with reference to the nature and character of such services.
Proceedings must be in the district where the bankrupt resides—Notice to creditors to show cause—Evidence under oath—Proof of debt—Trial awarded in case of dispute—Case of perjury punishable.
SEC. 7. And be it further enacted, That all petitions by any bankrupt for the benefit of this act, and all petitions by a creditor against any bankrupt under this act, and all proceedings in the case to the close thereof, shall be had in the district court within and for the district in which the person supposed to be a bankrupt shall reside or have his place of business at the time when such petition is filed, except when otherwise provided in this act. And upon every such petition, and on thereof, shall be published in one or more public newspapers printed in such district, to be designated by such court at least twenty days before the hearing thereof; and all persons interested may appear at the time and place where the hearing is thus to be had, and show cause, if any they have, why the prayer of the said petitioner should not be granted; all evidence by witnesses to be used in all hearings before such court shall be under oath or solemn affirmation, when the party is conscientiously scrupulous of taking an oath, and may be oral or by deposition, taken before such court, or before any commissioner appointed by such court, or before any disinterested State judge of the State in which the deposition is taken; and all proof of debts or other claims, by creditors entitled to prove the same by this act, shall be under oath or solemn affirmation as aforesaid, before such court or commissioner appointed thereby, or before some disinterested State judge of the State where the creditors live, in such form as may be prescribed by the rules and regulations hereinafter authorized to be made and established by the courts having jurisdiction in bankruptcy. But all such proofs of debts and other claims shall be open to contestation in the proper court having jurisdiction over the proceedings in the particular case in bankruptcy; and as well the assignee as the creditor shall have a right to a trial by jury upon an issue to be directed by such court, to ascertain the validity and amount of such debts or other claims; and the result therein, upon a new trial shall be granted, if the proof of the claim shall be evidence of the validity and amount of such debts or other claims. And if any person or persons shall falsely and corruptly answer, swear, or affirm, in any hearing or on trial of any matter, or in any proceeding in such court in bankruptcy, or before any commissioner, he and they shall be deemed guilty of perjury, and punishable therefor in the manner and to the extent provided by law for other cases.
Jurisdiction of the circuit court in cases against the assignee of a bankrupt—Limitation against such suit.
SEC. 8. And be it further enacted, That the circuit court within and for the district where the decree of bankruptcy is passed, shall have concurrent jurisdiction with the district court of the same district of all suits at law and in equity which may and shall be brought by any assignee of the bankrupt against any person or persons claiming an adverse interest, or by such person against such assignee, touching any property or rights of property of said bankrupt transferable to, or vested in, such assignee; and no suit at law or in equity shall, in any case, be maintainable by or against such assignee, or by or against any person claiming an adverse interest touching the property and rights of property aforesaid, in any court whatsoever, unless the same shall be brought within two years after the declaration and decree of bankruptcy, or after the cause of suit shall first have accrued.
Sales of property—Disposition of proceeds—Bonds required of assignee.
SEC. 9. And be it further enacted, That all sales, transfers, and other conveyances, of the assignee of the bankrupt's property and rights of property, shall be made at such times and in such manner as shall be ordered and appointed by the court in bankruptcy; and all assets received by the assignee in money shall, within sixty days afterward, be paid into the court, subject to its order respecting its future safe-keeping and disposition; and the court may require of such assignee a bond, with at least two sureties, in such sum as it may deem
proper, conditioned for the due and faithful discharge of all his duties, and his compliance with the orders and directions of the court; which bond shall be taken in the name of the United States, and shall, if there be any breach thereof, be sued and sueable, under the order of such court, for the benefit of the creditors and other persons in interest.
Prompt proceedings directed—Dividends of assets at least every six months—Notice thereof required—Suits at law not to postpone dividends—Proceedings to be closed in two years—Claims not proved in time.
SEC. 10. And be it further enacted, That in order to ensure a speedy settlement and close of the proceedings in each case in bankruptcy, it shall be the duty of the court to order and direct a collection of the assets, and a reduction of the same to money, and a distribution thereof at as early periods as practicable, consistently with a due regard to the interests of the creditors: and a dividend and distribution of such assets as shall be collected and reduced to money, or so much thereof as can be safely so disposed of, consistently with the rights and interests of third persons having adverse claims thereto, shall be made among the creditors who have proved their debts, as often as once in six months from the time of the decree declaring the bankruptcy; notice of such division and distribution to be given in some newspaper in newspapers in the District designated by the court, ten days at least before the order therefore is passed; and the pendency of any suit at law or in equity, by or against such third persons, shall not postpone such division and distribution, except so far as the assets may be necessary to satisfy the same; and all the proceedings in bankruptcy in each case shall, if practicable, be finally adjusted, settled, and brought to a close, by the court, within two years after the decree declaring the bankruptcy. And where any creditor shall not have proved his debt until a dividend or distribution shall have been made and declared, he shall be entitled to be paid the same amount, pro rata, out of the remaining dividends or distributions thereafter made, as the other creditors have already received, before the latter shall be entitled to any portion thereof.
Assignee may, by order of court, redeem mortgaged or hypothecated property—Compound doubtful claims, &c.
SEC. 11. And be it further enacted, That the assignee shall have full authority, by and under the order and direction of the proper court in bankruptcy, to redeem and discharge any mortgage or other pledge, or deposite, or lien upon any property, real or personal, whether payable in presenti or at a future day, and to tender a due performance of the conditions thereof. And such assignee shall also have authority, by and under the order and direction of the proper court in bankruptcy, to compound any debts, or other claims, or securities due or belonging to the estate of the bankrupt; but no such order or direction shall be made until notice of the application is given in some public newspaper in the district, to be designated by the court, ten days at least before the hearing, so that all creditors and other persons in interest may appear and show cause, if any they have, at the hearing, why the order or direction should not be passed.
A person once discharged, excepted from the benefit of another discharge—Unless, &c.
SEC. 12. And be it further enacted, That if any person, who shall have been discharged under this act, shall afterward become bankrupt, he shall not again be entitled to a discharge under this act, unless his estate shall produce (after all charges) sufficient to pay every creditor seventy-five per cent. on the amount of the debt which shall have been allowed to each creditor.
Proceedings to be recorded—Office copy—Fees.
SEC. 13. And be it further enacted, That the proceedings in all cases in bankruptcy shall be deemed matters of record; but the same shall not be required to be recorded at large, but shall be carefully filed, kept, and numbered, in the office of the court, and a docket only, or short memorandum thereof, with the numbers, kept, in a book by the clerk of the court; and the clerk of the court, for affixing his name and the seal of the court to any form, or certifying a copy thereof, when required thereto, shall be entitled to receive, as compensation,
the sum of twenty-five cents and no more. And no officer of the court, or commissioner, shall be allowed by the court more than one dollar for taking the proof of any debt or other claim of any creditor or other person against the estate of the bankrupt; but he may be allowed in addition, his actual travel expenses for that purpose.
Regulations in relation to partnerships.
Sec. 14. And be it further enacted, That where two or more persons, who are partners in trade, become insolvent, an order may be made in the manner provided in this act, either on the petition of such partners, or any one of them, or on the petition of any creditor of the partners; upon which order all the joint stock and property of the company, and also all the separate estate of each of the partners, shall be taken, excepting such parts thereof as are herein excepted; and all the creditors of the company, and the separate creditors of each partner, shall be allowed to prove their respective debts; and the assignees shall also keep separate accounts of the joint stock or property of the company, and of the separate estate of each member of the firm, and deducting out of the whole amount received by such assignees, the whole of the expenses and disbursements paid by them, the net proceeds of the joint stock shall be appropriated to pay the creditors of the company, and the nett proceeds of the separate estate of each partner shall be appropriated to pay his separate creditors: and if there shall be any balance of the separate estate of any partner, after the payment of his separate debts, such balance shall be added to the joint stock, for the payment of the joint creditors; and if there shall be any balance of the joint stock, after payment of the joint debts, such balance shall be divided and appropriated to and among the separate estates of the several partners, according to their respective rights and interests therein, and as it would have been if the partnership had been dissolved without any bankruptcy; and the sum so appropriated to the separate estate of each partner shall be applied to the payment of his separate debts; and the certificate of discharge shall be granted or refused to each partner, as the same would or ought to be if the proceedings had been against him alone under this act; and in all other respects the proceedings against partners shall be conducted in the like manner as if they had been commenced and prosecuted against one person alone.
Decree of bankruptcy and copy of order of appointments of assignees to be recited in all deeds for land sold by assignees.—Such deeds confirmed.
Sec. 15. And be it further enacted, That a copy of any decree of bankruptcy, and the appointment of assignees, as directed by the third section of this act, shall be recited in every deed of lands belonging to the bankrupt, sold and conveyed by any assignees under and by virtue of this act; and that such recital, together with a certified copy of such order shall be full and complete evidence both of the bankruptcy and assignment therein recited, and supersede the necessity of any other proof of such bankruptcy and assignment to validate the said deed; and all deeds containing such recital, and supported by such proof, shall be as effectual to bind the trust of the bankrupt, of, in, and to the lands therein mentioned and described to the purchaser, as fully, to all intents and purposes, as if made by such bankrupt himself, immediately before such order.
District of Columbia and territory cases.
Sec. 16. And be it further enacted, That all jurisdiction, power, and authority, conferred upon and vested in the district court of the United States by this act, in cases in bankruptcy, are hereby conferred upon and vested in the circuit court of the United States for the District of Columbia, and in and upon the supreme or superior courts of any of the Territories of the United States, in cases in bankruptcy, where the bankrupt resides in the said District of Columbia, or in either of the said Territories.
This act to take effect 1st February, 1842.
Sec. 17. And be it further enacted, That this act shall take effect from and after the first day of February next.
Approved, August 19th, 1841.
THE BOOK TRADE.
1.—America; Historical, Statistical, and Descriptive. By J. S. Buckingham, Esq. 2 vols. 8vo. pp. 514, 516. New York: Harper & Brothers. 1841.
The opinion pretty generally expressed by the public and the press in relation to these Travels is, we think, correct—that, setting aside the author's egotism, prolixity, and occasional mistakes, he has made a very readable book, containing much interesting and useful matter, collected from a great variety of sources, and evincing, so far as English prejudice will allow, an honest desire to be just and impartial. The fact that all foreigners look upon us, our country, and our institutions, through the medium of principles and opinions formed under a system of things but little in harmony with our own, should moderate our indignation and surprise at the seeming unfairness of many of their representations, while this very circumstance may enable them to see our real defects in a truer light than they can appear to ourselves. This remark we would apply to Mr. Buckingham's book, in which, if there be some things which startle us by their erroneoussness or absurdity, there are others which we may turn to no small advantage, in discovering and correcting actual faults of character. Besides an excellent portrait, the work is embellished with a number of engravings.
2.—Facts in Mesmerism, with Reasons for a dispassionate Inquiry into it. By the Rev. Chauncy Hare Townsend, A. M., late of Trinity Hall, Cambridge. 1 vol. 12mo. pp. 388. New York: Harper & Brothers. 1841.
This is a startling book, and whether the reader be a believer in animal magnetism or not, he will find in it much to excite his wonder, and puzzle his reason. As for ourselves, we have never had much faith in the marvellous stories told in relation to this subject, being inclined rather to look upon it as a mixture of jugglery and delusion; but we must confess that the Rev. author relates things hard to be accounted for or understood. There is a great appearance of fairness throughout the work, and the character of the author would seem to forbid our discrediting his facts. Our readers must buy the book and judge for themselves. It contains, as Bulwer observes, "experiments as marvellous as any of the theories of the astrologer."
3.—The Dahlia, or Memorial of Affection, for 1842. Edited by a Lady. 18mo. pp. 180. New York: James P. Giffing. 1841.
This is really one of the prettiest annuals designed for the approaching Christmas and New Year gifts we have seen. The engravings are well done, and good taste and judgment are evinced in the selection of the subjects. The tales, sketches, and poems, are from well known and favorite authors, both in this country and England, pure in sentiment, and chaste and beautiful in style. Though designed for young persons, it contains much that will gratify and improve the more matured mind of the adult.
4.—The Peasant and the Prince. By Harriet Martineau. New York: D. Appleton & Co. 18mo. pp. 174. 1841.
5.—The Poplar Grove; or Little Harry and his Uncle Benjamin: a tale for youth. By Esther Copley, author of "Early Friendships," &c. D. Appleton & Co. 18mo. pp. 178. 1841.
These excellent books are the last published of Appleton's series of "Tales for the People and their children." The intellectual character of the series, thus far, is much above the ordinary standard, and their moral tendency unexceptionable.
6.—The Siege of Derry, or Sufferings of the Protestants: a tale of the Revolution. By Charlotte Elizabeth. New York: John S. Taylor & Co. 12mo. pp. 292. 1841.
COMMERCIAL REGULATIONS.
RUSSIAN MONEYS—WEIGHTS—MEASURES—EXCHANGE—BILLS OF EXCHANGE.
In Russia, an imperial manifest, dated 1st of July, 1839, re-established the silver standard of currency in that country as the lawful medium for the valuation of property, fixing the 1st of January, 1840, as the time from which the new system should be fully and generally adopted throughout the empire, in lieu of the old bank note or paper roubles; the latter were, by the same decree, to remain in circulation as a mere auxiliary medium of payment, at an invariable rate of $3\frac{1}{2}$ roubles bank notes for 1 rouble silver. The amount of these old bank notes not having in latter times been increased, and proving rather insufficient for supplying the wants of the country of a convenient paper medium of circulation, new additional bank notes representing silver, (probably intended to supersede the old ones by degrees,) were created by establishing a silver-deposit office at the Commercial Bank of St. Petersburgh, under the superintendence and management of a mixed board of directors, composed of government bank officers and respectable first-class merchants, which is empowered to receive voluntary deposits of specie, and to issue in lieu thereof silver-deposit-cash-notes, payable to bearer on demand, the deposits received having to be held by the board untouched, at the constant disposal of the notes so issued. This deposit-cash began its operations in January, 1840, and has since been very busy receiving deposits as well as exchanging notes for specie. These important decrees, by which the Russian monetary and bank note system has probably been raised to an insuperable degree of perfection, having produced an entire change in commerce, relative to matters of account, and the future calculation of goods by the silver standard, at courses of exchange in foreign money, now quoted for the silver rouble, have—along with the conversion of all duties, rates, and expenses of merchandise into silver—given rise to the publication in London, of the "Russia Trader's Assistant," from which we derive for publication in our magazine the following practical information, concerning *Russian moneys, weights and measures, the course of exchange, bills of exchange, &c.* The most implicit confidence may be placed in the information, as the work comes out under the sanction of the British Factory at St. Petersburgh, and is approved by the leading merchants of that city.
RUSSIAN MONEYS.
1. The Silver Standard—2. Silver Coins—3. Gold Coins—4. Copper Coins—5. Old Bank Notes—6. New Bank Notes—7. Platina Coins—8. Fixed Value of Foreign Gold Coins in Circulation—9. Fixed Value of Foreign Silver Coins in Circulation.
1. The imperial manifest of 1st July, 1839, enacts:—That all property shall be valued, the prices of merchandise shall be fixed, and books and accounts shall be kept in the coined SILVER ROUBLE of 100 COPECKS, as the standard of lawful money.
2. The coined silver rouble contains 4 zolotniks 21 parts Russian weight of pure silver, with 61$\frac{1}{2}$ parts alloy. The other silver coins by the same standard are pieces of 150, 75, 50, 30, 25, 20, 15, 10, and 5 copecks each. Besides this, the following lawful moneys circulate as legal tenders of payment, viz:—
3. The coined gold rouble, containing 27 parts pure gold, in coined pieces of 10, 5, 3, and 1 rouble each; and 100 roubles of gold are enacted to be equal to 103 roubles of silver.
4. The coined copper money in pieces of 10, 5, 2, 1, and $\frac{1}{2}$ copecks each, of which 350 copecks are enacted to be reckoned equal to one silver rouble.
5. The old bank notes or paper roubles, called "Imperial Bank Assignments," representing the copper coin, in notes of 200, 100, 50, 25, 10, and 5 roubles each; and $3\frac{1}{2}$ such roubles are enacted to be invariably equal to one silver rouble.
VOL. V.—NO. IV.
RUSSIAN MEASURES.
11. The Standard of Long Measure compared with British, and the Deal Measure—12. The Standard of Liquid Measure, compared with British—13. The Standard of Dry or Corn Measure, compared with British.
11. The standard of long measure is the arshine of 16 vershoks; 3 arshines making 1 fathom or sajene. 1000 Russian arshines are equal to 778 British yards, or 1000 yards equal to 1286 arshines, which is the proportion assumed by the Russian customhouses. Deals and battens are measured by the British foot; 72 feet running measure of deal, 3 inches thick, and 11 inches wide, making one standard dozen, and 10 dozens 1 standard hundred.
12. The standard of liquid measure is the Russian vedro of 4 chetveriks, at 8 krushkas each; a botchka or cask contains 134 ankers, or 40 vedros, or 160 chetveriks, or 320 krushkas. 1000 Russian vedros are equal to 2710 imperial gallons, or 1000 imperial gallons to 369 vedros, which is the proportion assumed at the customhouses.
13. The standard of dry or corn measure is the chetverik; 8 chetveriks making 1 chetvert, by which grain is sold. 1000 chetveriks being of the same solid contents as 720 bushels, 1000 chetverts should measure out 720 imperial quarters, which is the proportion assumed at the customhouses; but linseed and wheat are seldom found to yield more than 700, at the most 710 quarters from the ship's side; while oats generally render 710 quarters, or thereabouts.
EXCHANGE.
14. Foundation of the Current Exchange—15. Foundation of the intrinsic par—16. Shows how the intrinsic par is to be found—17. Value of Russian Coin sent to London—18. Value of British Gold sent to St. Petersburg—19. Value of British Silver sent to St. Petersburg—20. Calculation of Silver in Bars imported from Hamburg into St. Petersburg—21. Account of Net Proceeds of Hamburg Ships sailing to St. Petersburg—22. Influence of the Balance of Trade on the Exchange, with equations—23. Table of the Value of £1 to £100,000 in Russian Silver, and of S. Ro. 1 to 100,000 in British Pence, at progressive Currencies—24. Tables of the Table in Calculations—25. Table of Equivalents of the Old Bank Notes and New Silver Prices.
14. The course of exchange in Russia, for bills drawn there against ready cash, payable in London at three months after date, is, by private contract between the drawers and remitters, fixed and quoted at so many pence sterling, (gold,) for one rouble silver; and founded on the par of exchange between both countries. It fluctuates periodically above or under that par, according to the circumstances, that alternately influence the bill market; the demand for bills preponderating at one, and the demand for money at another time, thus producing a current exchange, or market price of the silver rouble in British sterling pence, on which the cost of goods bought in Russia, and the net proceeds of goods sold there, are dependant.
15. In order to ascertain whether the current exchange be advantageous or disadvantageous to the British merchant, in either of the above-mentioned cases, it is in the first place necessary to know the intrinsic par, or metallic equivalency of the standard currencies of both countries; and then to take into account the loss or saving of time, occasioned by the usance; together with the saving of risk and expenses that would be incurred by the transmission of bullion, or of sums of coined money of the one country, for converting it into the coined lawful money of the other, where the payment has to be made.
16. The standard of currency in Great Britain being the pound sterling of gold, coined as a sovereign; and that in Russia, the coined rouble of silver; the intrinsic par between both is found by the following proportions, viz—a troy pound of mint gold, containing $46\frac{2}{3}$ sovereigns of $\frac{11}{2}$ fine gold, is equal to 80 zol. 28$\frac{1}{2}$ parts, Russian weight of contents of fine gold; 27 zol. fine, give one rouble gold in Russia, and 100 roubles gold are there, by law, equal to 103 roubles silver; the problem of calculation accordingly stands thus:—
1 rouble silver, how many pence?
103 roubles silver : 100 roubles gold.
1 rouble gold : 27 parts fine gold.
7708\(\frac{1}{4}\) parts fine gold : 463\(\frac{5}{8}\) sovereigns.
1 sovereign : 240 pence sterling.
=Intrinsic par 38\(\frac{3}{4}\) pence.
17. If silver roubles in Russia were exchanged there for gold, and the gold were sent over to London for conversion into British sovereigns, for payment to the British merchant, this operation would involve the loss of at least one month's interest, with the expenses of commission, premium of insurance, freight, charges, and allowance for coinage: assuming these charges to amount together to 2 per cent or \(\frac{3}{8}\) d. per rouble; and deducting so much from the intrinsic value, found to be 38\(\frac{3}{4}\) d. in gold, the remaining nett proceeds of a silver rouble would only be 37\(\frac{1}{8}\) d., as available payment in London, one month after date of its investment in gold at St. Petersburgh; and 37\(\frac{1}{8}\) d. would thus appear to be an equivalent exchange, if, instead of the investment in foreign gold to be sent over, the silver rouble were laid out at St. Petersburgh in a remittance per draft on London, payable there at one month's date. But, as it is customary at St. Petersburgh to make such remittances in bills payable at three months' date, the calculation of an equivalent exchange for such usance requires an addition of interest for the extra two months of later payment by bill, which, at the rate of 5 per cent per annum, makes \(\frac{5}{6}\) per cent, or \(\frac{1}{2}\) d. per rouble, and establishes the equivalent of a silver rouble to be 37 \(\frac{1}{8}\) d. in bills, payable in London at three months' date, as the standard par of exchange at St. Petersburgh.
18. If, on the other hand, British gold were sent over from London to St. Petersburgh, to be there converted into Russian gold coins, and these gold coins exchanged for or valued by silver roubles, in payment to the Russian merchant, for produce shipped by him, the operation would involve the loss of one month's interest with charges as above, assumed at 2\(\frac{1}{2}\) or \(\frac{3}{8}\) d. per rouble in addition to its intrinsic equivalence of 38\(\frac{3}{4}\) d. of gold, requiring thus 38\(\frac{3}{4}\) d. to be sent over to cover the payment of one silver rouble at St. Petersburgh; instead of its being drawn for there, against ready cash, payable in London 3 months after date; and this benefit of usance being additionally forgone by sending gold, its equivalent in interest, being 1\(\frac{1}{4}\) per cent or \(\frac{3}{8}\) d. per rouble, has further to be added in calculation, to the cost already found at 38\(\frac{3}{4}\) d.; bringing the equivalent of the silver rouble to 39\(\frac{3}{4}\) d. per bills, payable in London three months after date, as the standard par of exchange at St. Petersburgh. From this it further follows, that it is not profitable to import British gold at St. Petersburgh, unless the current exchange there rule above 39\(\frac{3}{4}\) d. at three months' date, the loss by interest and charges being merely counterbalanced by that rate.
19. It has further to be observed, that no intrinsic par can properly be established between the Russian and British silver coins, the troy pound of 12 ounces mint silver being coined into 66 shillings, or 5s. 6d. per ounce, while in the London market the price of standard or mint silver varies between 4s. 9d. and 5s. only, and is seldom worth even the latter rate, which accordingly is the utmost that the British merchant could esteem Russian silver to be worth to him. But between British mint silver and Russian silver coin, a conditional par may be established by the following proportions, namely—a troy pound of mint silver, assumed at a market price of 5s. per standard ounce, stands in 60 shillings sterling, and contains 11 oz. 2 dwt. pure silver, equal to 777\(\frac{1}{4}\) parts Russian weight, of which 405 parts go to 1 silver rouble, producing 1\(\frac{1}{2}\) silver roubles. The equivalent of one silver rouble would accordingly be 37\(\frac{1}{8}\) sterling, and the loss of interest with expenses of importing it into Russia being assumed at 1\(\frac{1}{4}\) d., the cost at St.
Petersburgh, to be covered by remittances in bills at three months' date, would be 39d. sterling per silver rouble.
20. Considerable quantities of silver in bars being imported into St. Petersburgh from Hamburg, by way of Lubeck, per steamers, we think it right to give the following calculation of such an operation, (founded on a real transaction,) supposing it to have taken place for London account:
5 casks silver bullion held 14 bars, which weighed in Hamburg 1709 marks, 1 loth, and were assayed and found as containing 1689 marks, 6 loths, 11 grains fine, and which, bought at Bco. m. 27 12, stood in the following manner:—Bco. m. 46881 4
This prime cost, reckoned at 13s. 5d. per £, makes £3521 2s. 6d. stg. (1689x6l. 11s., being equal to 12,695½ troy ounces pure silver, the ounce came to 5s. 6d.1. stg.)
Insurance on Bco. m. 47730, at ¼ per cent. Bco. m. 119 6
Commission on ditto at ½ per cent. 59 11
Brokerage on ditto at ½ per cent. 59 11
Stamp and policy. 32 8
261 4
Casks and expenses. Bco. m. 28 8
Commission ¼ per cent. 234 9
Expenses to and at Lubeck. 68 6
Brokerage of drafts on London 1 per mille. 47 8
Postages. 8 9
387 8
Cost at Hamburg. Bco. m. 47530 0
2d August, drawn for on London at one month date, (due 5th Sept.) at an exchange of 13s. 5d. per £, in £3570 6 7
Against which the remittance of the nett proceeds from St. Petersburgh, procured there the 25th August, O. S., at three months' date, fell due in London on the 9th December; the 95 days interest incurred at 5 per cent per annum, make. 46 9 3
Freight and charges at St. Petersburgh, as under, sil. ro. 217 84c. at 40d. 36 6 2
Total cost. £3653 2 0
The prime cost at Hamburg being only £3521 2s. 6d., the expenses incurred accordingly amounted to £131 19s. 6d., or 34 per ct., inclusive of 1½ per ct. for commissions.
21. These 14 bars silver weighed at St. Petersburgh 976 lb. 12 z. fine, per assay of the Hamburg bank, and were found to be equal to 961 lb. 84z. 77p. fine, per assay at the Russian mint, to be paid for in ready coin, at the fixed rate of 23½ silver roubles per lb., making silver ro. 21882 84c. received, which at the exchange of 40d. per rouble, amounted to. £3647 2 10
The charges deducted at St. Petersburgh were:— Sil. Ro.
Freight from Lubeck per steamer, Bco. m. 129 1 at 38$... 58 33
Landing, entry, and delivering at the mint. 43 0
Commission on sil. ro. 21882 84c. at ½ per cent.... 109 41
Postages. 7 5
Sil. Ro. 217 84 at 40d. 36 6 2
Nett proceeds. £3610 16 8
Remitted for 25th August, O. S., in bills at 3 months' date, to cover the Hamburg draft of £3570 6s. 7d., making, with interest in London, £3616 15s. 10d. Accordingly an exchange of no less than 40½d. per silver rouble was required.
22. The annual balance of trade between Great Britain and Russia, being considerably in favor of the latter country, the Russian exchange on London generally rules above the par of 39½d., particularly during the height of the shipping season; and is only reduced to that par, or brought under it, when a high course has attracted a considerable importation of foreign gold and silver, counterbalancing the excess of the exportation of produce. During the winter season, between December and May, it sometimes happens that Russia has more to remit for to Great Britain and the continent, than to draw in; and when that is the case, the exchange is found to rule under the par of 39\(\frac{1}{4}\)d.; but such decline seldom exceeds 2 per cent, while the advance above par in autumn, has in some years been found to reach 5 to 8 per cent; particularly when there is a demand for Russian corn. This summer (1839) we received pretty considerable supplies of foreign gold and silver; and, since the re-establishment of the silver standard of currency, the course of exchange has not varied much. The quotations at St. Petersburgh on London were—on the 11th July, O.S., 39\(\frac{1}{4}\)d.; the 11th August, 40 to 39\(\frac{1}{4}\)d.; the 12th September, 39\(\frac{3}{4}\)d. to 3\(\frac{1}{2}\)d.; the 13th October, 39\(\frac{1}{2}\)d.; the 10th November, 38\(\frac{3}{4}\) to 3\(\frac{1}{2}\)d.; the 17th November, 38\(\frac{1}{2}\)d.; and the 1st December, 38\(\frac{1}{2}\)d. to 38\(\frac{3}{4}\)d. per silver rouble.
23. Table, showing the value of £1 to £100,000 sterling, in silver copecks; and of Rouble 1 to 100,000 silver, in pence British sterling, at progressive courses of exchange, for simplifying the arithmetical operation of conversion:—
| Exchange. | Value of £1 to £100,000 in silver copecks. | Value of Ro. 1 to Ro. 100,000 silver in pence sterling. | Exchange. | Value of £1 to £100,000 in silver copecks. | Value of Ro. 1 to Ro. 100,000 silver in pence sterling. |
|-----------|------------------------------------------|-------------------------------------------------|-----------|------------------------------------------|-------------------------------------------------|
| 38\(\frac{1}{4}\) | 6.23,376.62 | 38,50000 | 40\(\frac{3}{4}\) | 5.94,427.24 | 40,37500 |
| 38\(\frac{3}{4}\) | 6.22,366.29 | 38,56250 | 40\(\frac{7}{16}\) | 5.93,508.50 | 40,43750 |
| 38\(\frac{1}{2}\) | 6.21,359.22 | 38,62500 | 40\(\frac{1}{2}\) | 5.92,592.59 | 40,50000 |
| 38\(\frac{1}{4}\) | 6.20,355.41 | 38,68750 | 40\(\frac{1}{16}\) | 5.91,679.51 | 40,56250 |
| 38\(\frac{3}{4}\) | 6.19,354.84 | 38,75000 | 40\(\frac{5}{8}\) | 5.90,769.23 | 40,62500 |
| 38\(\frac{1}{2}\) | 6.18,357.49 | 38,81250 | 40\(\frac{1}{16}\) | 5.89,861.75 | 40,68750 |
| 38\(\frac{1}{4}\) | 6.17,363.34 | 38,87500 | 40\(\frac{3}{4}\) | 5.88,957.06 | 40,75000 |
| 38\(\frac{1}{8}\) | 6.16,372.39 | 38,93750 | 40\(\frac{1}{8}\) | 5.88,055.13 | 40,81250 |
| 39 | 6.15,384.62 | 39,00000 | 40\(\frac{7}{16}\) | 5.87,155.96 | 40,87500 |
| 39\(\frac{1}{8}\) | 6.14,400.00 | 39,06250 | 40\(\frac{1}{16}\) | 5.86,259.54 | 40,93750 |
| 39\(\frac{1}{2}\) | 6.13,418.53 | 39,12500 | 41 | 5.85,365.85 | 41,00000 |
| 39\(\frac{3}{4}\) | 6.12,440.19 | 39,18750 | 41\(\frac{1}{16}\) | 5.84,474.89 | 41,06250 |
| 39\(\frac{1}{4}\) | 6.11,464.96 | 39,25000 | 41\(\frac{1}{2}\) | 5.83,585.62 | 41,12500 |
| 39\(\frac{1}{8}\) | 6.10,492.85 | 39,31250 | 41\(\frac{3}{16}\) | 5.82,701.06 | 41,18750 |
| 39\(\frac{1}{4}\) | 6.09,523.81 | 39,37500 | 41\(\frac{1}{4}\) | 5.81,818.18 | 41,25000 |
| 39\(\frac{1}{8}\) | 6.08,557.84 | 39,43750 | 41\(\frac{1}{16}\) | 5.80,937.97 | 41,31250 |
| 39\(\frac{1}{2}\) | 6.07,594.94 | 39,50000 | 41\(\frac{3}{8}\) | 5.80,060.42 | 41,37500 |
| 39\(\frac{1}{4}\) | 6.06,635.07 | 39,56250 | 41\(\frac{1}{16}\) | 5.79,185.52 | 41,43750 |
| 39\(\frac{1}{8}\) | 6.05,678.23 | 39,62500 | 41\(\frac{1}{2}\) | 5.78,318.25 | 41,50000 |
| 39\(\frac{1}{4}\) | 6.04,724.41 | 39,68750 | 41\(\frac{1}{16}\) | 5.77,443.61 | 41,56250 |
| 39\(\frac{1}{8}\) | 6.03,773.58 | 39,75000 | 41\(\frac{3}{8}\) | 5.76,576.58 | 41,62500 |
| 39\(\frac{1}{4}\) | 6.02,825.75 | 39,81250 | 41\(\frac{1}{16}\) | 5.75,712.14 | 41,68750 |
| 39\(\frac{1}{8}\) | 6.01,880.87 | 39,87500 | 41\(\frac{1}{2}\) | 5.74,850.30 | 41,75000 |
| 39\(\frac{1}{4}\) | 6.00,938.97 | 39,93750 | 41\(\frac{1}{16}\) | 5.73,991.03 | 41,81250 |
| 40 | 6.00,000.00 | 40,00000 | 41\(\frac{1}{2}\) | 5.73,134.33 | 41,87500 |
| 40\(\frac{1}{8}\) | 5.99,063.96 | 40,06250 | 41\(\frac{1}{16}\) | 5.72,280.18 | 41,93750 |
| 40\(\frac{1}{4}\) | 5.98,130.84 | 40,12500 | 42 | 5.71,428.57 | 42,00000 |
| 40\(\frac{1}{8}\) | 5.97,200.62 | 40,18750 | 42\(\frac{1}{16}\) | 5.70,579.49 | 42,06250 |
| 40\(\frac{1}{4}\) | 5.96,273.29 | 40,25000 | 42\(\frac{1}{2}\) | 5.69,732.83 | 42,12500 |
| 40\(\frac{1}{8}\) | 5.95,348.84 | 40,31250 | 42\(\frac{1}{16}\) | 5.68,888.89 | 42,18750 |
### Table of Equivalents of Old Bank Notes and New Silver Prices—Continued.
| Equivalent | Equivalent | Equivalent | Equivalent | Equivalent | Equivalent |
|------------|------------|------------|------------|------------|------------|
| B. N. | Silver | B. N. | Silver | B. N. | Silver |
| 114 | 32\(\frac{7}{8}\) | 139 | 39\(\frac{5}{8}\) | 164 | 46\(\frac{3}{8}\) |
| 115 | 32\(\frac{3}{4}\) | 140 | 40 | 165 | 47\(\frac{1}{2}\) |
| 116 | 33\(\frac{1}{4}\) | 141 | 40\(\frac{1}{2}\) | 166 | 47\(\frac{3}{8}\) |
| 117 | 33\(\frac{3}{8}\) | 142 | 40\(\frac{3}{4}\) | 167 | 47\(\frac{5}{8}\) |
| 118 | 33\(\frac{5}{8}\) | 143 | 40\(\frac{5}{8}\) | 168 | 48 |
| 119 | 34 | 144 | 41\(\frac{1}{4}\) | 169 | 48\(\frac{1}{2}\) |
| 120 | 34\(\frac{1}{2}\) | 145 | 41\(\frac{1}{2}\) | 170 | 48\(\frac{3}{4}\) |
| 121 | 34\(\frac{3}{4}\) | 146 | 41\(\frac{3}{4}\) | 171 | 48\(\frac{5}{8}\) |
| 122 | 34\(\frac{5}{8}\) | 147 | 42 | 172 | 49\(\frac{1}{4}\) |
| 123 | 35\(\frac{1}{4}\) | 148 | 42\(\frac{1}{2}\) | 173 | 49\(\frac{3}{8}\) |
| 124 | 35\(\frac{3}{8}\) | 149 | 42\(\frac{3}{4}\) | 174 | 49\(\frac{5}{8}\) |
| 125 | 35\(\frac{5}{8}\) | 150 | 43\(\frac{1}{4}\) | 175 | 50 |
| 126 | 36 | 151 | 43\(\frac{1}{2}\) | 176 | 50\(\frac{1}{2}\) |
| 127 | 36\(\frac{1}{4}\) | 152 | 43\(\frac{3}{4}\) | 177 | 50\(\frac{3}{8}\) |
| 128 | 36\(\frac{3}{8}\) | 153 | 44\(\frac{1}{4}\) | 178 | 50\(\frac{5}{8}\) |
| 129 | 36\(\frac{5}{8}\) | 154 | 44 | 179 | 51\(\frac{1}{4}\) |
| 130 | 37\(\frac{1}{4}\) | 155 | 44\(\frac{1}{2}\) | 180 | 51\(\frac{3}{8}\) |
| 131 | 37\(\frac{3}{8}\) | 156 | 44\(\frac{3}{4}\) | 181 | 51\(\frac{5}{8}\) |
| 132 | 37\(\frac{5}{8}\) | 157 | 45\(\frac{1}{4}\) | 182 | 52 |
| 133 | 38 | 158 | 45\(\frac{1}{2}\) | 183 | 52\(\frac{1}{2}\) |
| 134 | 38\(\frac{1}{4}\) | 159 | 45\(\frac{3}{4}\) | 184 | 52\(\frac{3}{8}\) |
| 135 | 38\(\frac{3}{8}\) | 160 | 46\(\frac{1}{4}\) | 185 | 52\(\frac{5}{8}\) |
| 136 | 38\(\frac{5}{8}\) | 161 | 46 | 186 | 53\(\frac{1}{4}\) |
| 137 | 39\(\frac{1}{4}\) | 162 | 46\(\frac{1}{2}\) | 187 | 53\(\frac{3}{8}\) |
| 138 | 39\(\frac{3}{8}\) | 163 | 46\(\frac{3}{4}\) | 188 | 53\(\frac{5}{8}\) |
### Bills of Exchange.
26. Description of Legal Bills in Russia—27. Responsibility by Bills—28. When and how Bills are to be presented for Acceptance—29. Drawers bound to give security in case of Non-Acceptance Abroad—30. The Maturity of Bills Sight and Usances; Exchange of Payment—31. Days of Grace—32. Protest for Non-Payment—33. Bills Rejected, or not to be Received—34. Action to be brought against the Debtor—35. Pain of Imprisonment in Default—36. Penalty Levied on Defrauded Bills—37. List of Stamp Duties on Inland and Foreign Bills—38. Translated Form of a sole Inland Bill—39. Attestation of Signature and Indorsement—40. Rate of Discount on Inland Bills; Legal and Bank Interest.
26. The Russian law distinguishes:—1st, sole inland bills, as obligations of payment, issued by a debtor to the order of a creditor, and in which the former is, in one person, drawer, drawee, and acceptor; acknowledging to have received full value from the creditor in cash or goods; and 2d, drafts in first, second, third, &c., bills, issued by a drawer on a drawee, to the order of a taker or remitter; from whom the value is received, in cash, or in goods, or in account, at one place, on condition of payment at another. Both kinds of bills must be drawn on proper stamps; but drafts on foreign countries pay only half of the stamp duty imposed on sole inland bills.
27. Merchants only are allowed to bind themselves by, to draw, and accept bills. A bill may be granted also to the order of a person who is not a merchant; and such person may be the owner and holder of the bill, till maturity, for receiving payment; but cannot transfer or indorse it otherwise than "without recourse." A mercantile holder may indorse a bill fully, or merely in blank, as he thinks fit. All mercantile indorsers of a bill are responsible "in sols'dum," the same as the drawer and acceptor; unless the indorsement bear "without recourse." An indorser of a bill, having become so as
agent of the indorsee, in procuring the bill by order and for account of the latter, is not responsible for the drawer or preceding indorser, to such indorsee, except if he have engaged to guarantee; but he is answerable to other indorsees, succeeding the one for whom he had bought the bill.
28. A bill received for acceptance must be presented by the holder within 24 hours after receipt, say at latest on the following day, Sundays and holidays excepted. Bills drawn at sight must be presented for payment within 12 months, or forfeit the bill right. A drawee must grant or refuse acceptance within 24 hours after presentation. Bills drawn abroad on merchants in Russia, when presented for acceptance, must be accompanied by a copy on an adequate Russian stamp, upon which the drawer has to write his acceptance.
29. A remitter, receiving advice from his correspondent of the non-acceptance of a remittance made by him, is entitled to demand security from the drawer or preceding indorser, until the acceptance is granted.
30. A bill drawn "at sight," is payable within 24 hours after acceptance, (if no days of grace be craved.) A bill drawn simply "at usance," is due in 15 days from presentation and acceptance, (if no days of grace be craved.) Bills drawn on Russia in foreign money are payable in Russian currency, either at the exchange mentioned in or on the bill; or if none be mentioned, at the current course quoted upon change on the last bill day preceding maturity.
31. Bills drawn payable "at sight," are allowed three, and those made payable at usances after sight or date, or simply at "a usance," enjoy ten days of grace, including Sundays and holidays; except if the last day be such a one: in that case 4 and 11 days respectively are granted, counting the same from the first day after maturity.
32. Protest for non-payment must be made on the last day of grace, before sunset, against the acceptor and indorsers. After the acceptor, the last indorser is in turn first applied to for payment; if he refuse it also, the claim is then made on the next indorser, and so on to the first, mentioning all of them in the protest. But bills which remained without acceptance till maturity, have to be protested on the last day of maturity, without benefit of days of grace. In sole inland bills the signature of the drawer is also the acceptance, and the protest for non-payment to be levied on the last day of grace.
33. All the partners of a firm are "in solids dum" answerable for an acceptance granted by any one of them, which has the signature of the firm. The payment of a bill protested for non-payment must be claimed and enforced by proceedings at law, within two years after protest; if this be not done, the benefit of coercion by bill right is forfeited, and it becomes a simple claim by promissory note. Bills not drawn on, or not presented for acceptance with a copy, on regular stamps, cannot be protested, and besides becoming simple promissory notes, the drawer is liable to a fine for having evaded the stamp duty.
34. An action to be brought against the drawer, acceptor, or indorser of a bill under protest for non-payment, has to be filed in the Police Court, who demand immediate payment of the bill; and if not forthwith discharged, proceed directly in seizing and realizing a sufficiency of the debtor's property, if such can be found; the debtor having in the mean while to find bail, in default whereof he is taken into custody.
35. If no property belonging to the debtor be discoverable, or if what is found prove insufficient for discharging his debt, the bail found by him is done away with, and he is sentenced to suffer pain of imprisonment; the duration of which for a sum exceeding 300 silver roubles, is two years. After the expiration of that term, his personal liberty is restored to him; but he remains answerable for the debt with such property as he may subsequently acquire or inherit. In all cases of non-payment, a debtor is besides
liable to be declared insolvent, by an action to be brought against him in the Commercial Court, or the Magistracy; where he is called to account, and subjected to the formalities and penalties provided by the insolvency laws. These laws we shall give in a future number of this magazine.
36. The amount of sole inland bills, recovered through the Police Court alone, is due with the addition of 2 per cent for loss of interest, and 2 per cent more, as simple penalty for irregular payment. But if the Commercial Court have also to interfere with proceedings or a sentence, then the addition is double, say 4 per cent for interest, and 4 per cent more for penalty. The amount of returned drafts on or from foreign parts, when recovered under protest, is claimed by an account of principal of value paid; with the addition of legal interest, expenses and difference of exchange, incurred by re-draft, as customary among merchants.
37. The stamp duty on sole inland bills is levied by the following scale of sums, required to be drawn; which stamps may severally be used for double the amount at the same duty, for drafts on foreign parts, viz:—
| S. Ro. | S. Ro. | S. Ro. |
|--------|--------|--------|
| For a sum of 1 to 150 the duty is $\frac{1}{10}$ | For a sum of 3001 to 4500 the duty is 9. |
| " 151 to 300 ............... $\frac{1}{8}$ | " 4501 to 6000 ............... 12. |
| " 301 to 900 ............... 1$\frac{1}{2}$ | " 6001 to 7500 ............... 15. |
| " 901 to 1500 ............... 3 | " 7501 to 9000 ............... 18. |
| " 1501 to 2000 ............... 4$\frac{1}{2}$ | " 9001 to 10000 ............... 21. |
| " 2001 to 3000 ............... 6 | " 10001 to 12000 ............... 24. |
For a sum of S. R. 12001 to 13000 the duty is S. R. 27, and for a sum of S. Ro. 13001 to 15000 the duty is S. Ro. 30. The stamps for seconds and thirds of any sum, cost $\frac{3}{10}$ Ro. S. each.
38. Translation of a sole inland bill:—
St. Petersburgh, the 1st August, 1839. Bill for 2000 Silver Roubles.
At the expiration of six months from this first day of August, in the year one thousand eight hundred and thirty-nine, I am bound to pay at St. Petersburgh, by this my bill of exchange, to the St. Petersburgh merchant, (or foreign guest,) of the first guild, Henry Dawson, or to his order, two thousand roubles silver, which sum I have received from him in full in goods, (or, in money.) Michael Peter's son Dmitrieff, Kaluga merchant of the second guild.
39. It is in the opinion of the taker of such a bill, to let the drawer's signature be attested thereon by a notary public, or not. In transfer the indorsement may be made either in full or in blank; the latter mode is most customary in discount business; but it is of course optional with the taker of a bill by indorsement from a second or third holder, to require the former, as an additional security; each indorsee named having to sign next as an indorser in turn.
40. The rate of discount in Russia for inland bills, transferred with one or more responsible indorsements, varies between 6$\frac{1}{2}$ and 9 per cent per annum, but when a bill is taken without recourse on the indorser, an additional allowance is made according to the character and standing of the drawer. The simple legal interest for private loans is 6 per cent per annum. The loan and commercial banks of government, receiving voluntary private deposits of money to be invested in bank obligations, bearing interest, and made payable on demand per indorsement, allow only 4 per cent per annum interest, after the expiration of six months; with compound interest after a year, the principal and interest being payable, together, as accumulated. Immense amounts of floating capital are constantly invested in these bank obligations, which supply the place of bankers, every merchant having to keep his own cash in Russia. These obligations circulate in the whole empire.
## COMMERCIAL TABLES.
### FRENCH COINS.
*Table, showing the weights of the existing coins of France, with their diameters, etc., etc., etc.*
| DENOMINATIONS | EXACT WEIGHT BY LAW | WEIGHTS TOLERATED BY LAW | DIAMETERS |
|---------------|---------------------|--------------------------|-----------|
| | Grammes. | Grammes. | Grammes. | Millimetres. |
| GOLD. | | | | |
| 40 franc pieces | 12.90322 | 12.92903 | 12.8774 | 26 |
| 20 " | 6.45161 | 6.46451 | 6.43871 | 21 |
| SILVER. | | | | |
| 5 franc pieces | 25. | 25.075 | 24.925 | 37 |
| 2 " | 10. | 10.05 | 9.95 | 27 |
| 1 " | 5. | 5.025 | 4.975 | 23 |
| 1 f. 75 c. | 3.75 | 3.77625 | 3.72375 | 23 |
| 1 f. 50 c. | 2.5 | 2.5175 | 2.4825 | 18 |
| 1 f. 25 c. | 1.25 | 1.2625 | 1.2375 | 15 |
| BILLON. | | | | |
| 10 centime pieces | 2. | 2.014 | 1.986 | 19 |
| COPPER. | | | | |
| 10 centime pieces | 20. | 20.4 | | 31 |
| 5 " | 10. | 10.2 | | 27 |
| 3 " | 6. | 6.12 | | 25 |
| 2 " | 4. | 4.08 | | 22 |
| 1 " | 2. | 2.04 | | 22 |
**Not tolerated below nominal weight.**
**Notes:**
- Coins formed of the same metal, and of the same value, are rigorously of the same diameter and thickness; and when the value of one pile is known, the contents of any other number of piles of the same height may readily be determined, as they contain the same number of pieces. Hence, from this exactness, the French measures of length may be ascertained with a tolerable degree of accuracy by means of coins.
- For example, a *metre* is equal to a pile of:
- 32 pieces of 40 francs, and 8 pieces of 20 francs.
- 11 pieces of 40 francs, and 34 pieces of 20 francs.
- 19 pieces of 5 francs, and 11 pieces of 2 francs.
- 20 pieces of 2 francs, and 20 pieces of 1 franc.
- 20 pieces of 5 centimes, and 20 pieces of 1 franc.
- 7 pieces of 10 centimes, and 29 pieces of 5 centimes.
NAUTICAL INTELLIGENCE.
DIRECTIONS FOR THE COAST ABOUT ROTTENEST ISLAND.
FROM THE LONDON NAUTICAL MAGAZINE.
Rottenest Island, six miles in length, E. by N. and W. by S., with an extreme breadth of two miles and a half, has an irregular hummocky surface, not much wooded, and may now be distinguished from Garden Island and the contiguous main land by a white obelisk, fifteen feet in height, with a pole in the middle, of the same length, which has recently been erected on its highest part, near the centre of the island. This sea mark being elevated about 157 feet above the level of the sea, may be seen from a ship's deck in clear weather, at the distance of seven or eight leagues, and will shortly give place to a lighthouse of greater elevation. Its position, according to observations in H. M. S. Beagle, is lat. 32 deg. 0 min. 14 sec. south, long. 115 deg. 29 min. 6 sec. east from Greenwich.
To round the island on its north side, a ship should not approach nearer than one mile, in order to avoid the Horseshoe Rock, which lies three quarters of a mile off shore, at the distance of two miles north 39 deg. east from the island's west extremity, and Roos Reef, situated three quarters of a mile north 16 deg. west from a small rock with a cask beacon upon it, about half a cable's length from the island's northeast point. The beacon is upon Duck Rock, and the projection near it is Bathurst Point. A ship will be clear to the northward of Horseshoe Rock while Duck Rock beacon is kept open of the north point of Rottenest; and Roos Reef may be cleared on the north by keeping the west end of Rottenest (Cape Vlaming) open of the north point, until Duck Rock bears south; a course may then be shaped about E. by S., for a remarkable white sand patch on the main, which will be distinctly visible three miles and a half north from the entrance to Swan River; and when some rocky islets near the southeast side of Rottenest are seen to the SSW., opening round the east end of another small rock with a cask beacon upon it, one mile and a quarter SE. ½ E. from Dutch Rock, a SE. by E. course will conduct into Gage's Roads.
Kingston Spit, in front of Thompson's Bay, extends two miles east from Duck Rock, and a long mile NE. by E. from the beacon last mentioned, which has recently been placed upon Fisherman's Rock, a small mass of white rocks about two cables' length northeast from the sandy east point of Rottenest Island, distinguished by the name of Point Philip. To clear Kingston Spit on the north, keep Duck Rock a little shut into the south of a bare, pointed hill, near the northern shore of Rottenest; or should the bare hill not be distinguished, keep the north extreme of Rottenest to the southward of W. ½ S.; and to clear Kingston Spit on the south, keep the south extreme of Rottenest (Point Parker) open of the next projection to the northeast of it (SW. by W.). Thompson's Bay is a fit resort for boats only, being full of shoal rocky patches and sand banks, to the distance of a mile from the shore, the remainder of Kingston Spit being occupied by foul, uneven ground, with depths varying between five and two fathoms; near its north and east edges are seven fathoms, deepening to nine and ten in half a mile. Between Point Philip and the next projection, a long half mile to the SSW. (Bickley Point,) there is good shelter in Beagle's Anchorage from all the usual northwest and southwest gales of winter, the best berth being in four fathoms water, sandy ground, nearly half a mile south from Fisherman's Rock, and a quarter of a mile northeast from two small rocks called the Twines; the south point of Rottenest being also in a line with Bickley Point. In this situation a vessel should moor, on account of the limited space.
On the southeast side of Rottenest there is a good channel, two miles and a half wide,
called the southern passage into Gage's Roads, the only obstruction in it being a patch of three fathoms, sand and weeds, called Middle Bank, in line between Point Philip and the Champion Rocks, at one mile and three quarters from the former, and one mile and a quarter from the latter. After a gale, the northwest swell round the east end of Rottenest, crossing the ocean roll from the southwest, breaks heavily at this spot, and indicates its position; it may, however, be avoided by borrowing towards the rocky islets near Rottenest, which have no dangers fronting them beyond a cable's length; and the bank is cleared to the eastward when the beacon on Duck Rock opens round to the northeastward of that on Fisherman's Rock. These two beacons in a line lead also about a cable's length to the northeast of the Champion Rock, which has only nine feet water upon it, with four and five fathoms all around. This danger, which lies on the southeast side of the southern passage, is at the northwest extremity of a collection of rocks and foul ground that extends two miles and a half NNW. ½ W. from the Stragglers towards the east end of Rottenest, without any channel among them which can yet be pronounced safe. In working up for the southern passage with a northerly wind, the Champion Rock and dangers in its vicinity may be avoided by keeping the high lump of rock called the Mewstone, open to the southwest of the largest and highest of the Stragglers, until the southwest end of Rottenest shuts in round its south point, bearing about W. ½ N. This last mark will carry a ship clear between Champion Rock and Middle Bank; but should the Mewstone and Stragglers not be satisfactorily distinguished, the beacon on Fisherman's Rock should not be brought to bear more to the westward than north 30 deg. west by compass, until the southwest point is shut in by the south point of Rottenest, as before shown.
METHOD OF MANUFACTURING SHIP CORDAGE.
Henry Evans, of New Bedford, has invented a machine for the manufacture of ship cordage, which promises to be a discovery of great value to nautical men, and cannot fail of displacing the clumsy contrivances hitherto in use. The machine is of simple construction, and designed to be of such size that ten of them may be operated in a room 25 feet by 40, capable of producing six thousand fathoms of rope per hour. Mr. Evans has spent much time upon the subject, and has more than once abandoned the idea of success, but he has at length triumphed. Machines, invented by Mr. E., for spinning and tarring the yarn, are already in use at the Plymouth Cordage Manufactory. The present invention makes the apparatus complete, and, as before remarked, it cannot be other than of great utility and value.
ROCK NEAR CAPE BOUSSA.
The following authentic communication has been received at the New York Custom-house, and being regarded as interesting to American navigation in the Mediterranean, publicity is given to it by Edward Curtis, the Collector of Customs for the Port of New York:
H. B. M. steam vessel Lizard,
Tangier Bay, May 12, 1841.
Sir—I beg to acquaint you, for the information of the masters of vessels trading from the eastward to Tangier, that there is a rock, not marked in any chart, situated near Cape Boussa, one mile off shore, on which her majesty's brig Jasseur struck. Its bearings are the town of Tangier, half open off Cape Malabata, and Cape Boussa SE. ¼ E. The least water is 16 feet, at high water, deepening quickly to 5, 7, and 10 fathoms all around it, leaving a good passage in-shore of the rock. A vessel coming from the eastward will be clear of all danger by keeping the town of Tangier quite open off Cape Malabata.
W. G. B. EASTCOURT,
Lieut. commanding.
PROTECTION OF SHIPS FROM CORROSION AND DECAY.
A late English paper contains an extract from the Dundee Courier, in which it is stated that a Mr. Wall, of Dundee, has invented a process for the protection of copper-bottomed vessels from corrosion and decay. The great advantage of the discovery of Mr. Wall consists in this, that he covers the copper with a thin coating of a poisonous composition, which, while it completely resists corrosion, by its poisonous qualities also prevents all destruction to the vessel by marine insects. This composition may be applied to iron, zinc, or any other cheap metal, which, when coated over with it, preserves ships as well as copper does. The prepared zinc is about one half, and the iron about one third the expense of copper. Certificates in evidence of these facts have been obtained from the officers of Sheerness dockyard, and from Professor Daniell, and other distinguished chemists; and it is furthermore stated that Mr. Wall's composition has been found in practice a complete safeguard to vessels for a period of not less than three years, while sailing in those latitudes where the marine insects are known to be most destructive. Mr. Wall's composition is now also extensively used as a coating for iron bolts and nails, being found completely to prevent their corrosion.
GRAHAM'S SHOAL.
This dangerous shoal lies in latitude 37 deg. 9 min. 5 sec. north, and longitude 12 deg. 43 min. 15 sec. east of Greenwich, which was obtained by a series of angles from known fixed stations on the coast of Sicily and Pantelleria, the atmosphere not being favorable for astronomical observations, although those obtained differed very triflingly from above. The summit or shoal part of the rock is of an oblong form; it lies northwest and southeast, it is forty fathoms in length, consisting of hard dark-colored pointed rocks with sea weed, the edge (which was clearly perceptible) is jagged, pointed, and steep. The least depth of water found on it was ten feet, but no doubt much less may be found with a calm sea. The average depth at the distance of eighty fathoms from its centre twenty-five fathoms cinders, and one quarter of a mile, sixty-five fathoms fine black sand. Fine scallops and other shellfish, with young coral, was dredged up. This shoal is extremely dangerous, from the great depth of water around it, and from the various and strong currents that prevail in its neighborhood, as well as the difficulty of seeing it, for it is visible only at a very short distance. Southwest Peak Pantelleria, south 54 deg. west; Peak Campo Bello, north 5 deg. 50 sec. west; town of Sciacca, north 40 deg. east; Cape Rosello, north 78 deg. 50 sec. east, from bearings found independent of the compass, variation, 17 deg. 0 min. west. The current set over the lock to east and north, one mile and three-quarters per hour.
T. ELSON.
SUNKEN ROCK IN BASS STRAITS.
There are many unexplored parts in Bass Straits, and the approaches to King's Island are among them. The following danger has not yet appeared in the charts, and mariners must carefully attend to the account given of it by the Port Philip harbor-master:
"Capt. Lewis, the harbor-master, on his late expedition to Kings Island, in Bass Straits, in aid of the shipwrecked passengers and crew of the Isabella, discovered a very dangerous rock, nearly level with the sea at low water, and the tide breaking over it at times at high water. The rock is situated in lat. 40 deg. 9 min. south, seven or eight miles off the western side of King's Island. In-shore, three cables' length, Captain Lewis found thirty fathoms' water; next 'cast, no soundings.'"—Port Philip Patriot.
BRITISH WHEAT AND FLOUR TRADE.
An Account of the Average Price of Wheat in Great Britain, in the year 1840, together with the total number of quarters of foreign and colonial wheat and wheat flour imported in the same year; distinguishing foreign from colonial, and the quantities entered for home consumption; also the average price of wheat at Dantzic, Odessa, and Rotterdam, for the same year, as far as they can be ascertained: from the report of Mr. Irving, inspector-general of imports and exports, customhouse, London, June 3, 1841.
Average price of wheat in Great Britain, 66s. 4d.
Total number of quarters of wheat and wheat flour imported, 2,433,202 qrs.
Total number of quarters of foreign wheat and wheat flour imported, 2,284,482 qrs.
Total number of quarters of colonial wheat and wheat flour imported, 148,720 qrs.
Total number of quarters of wheat and wheat flour imported, and entered for home consumption, 2,401,366 qrs.
Average price of wheat at Dantzic, 39s. 6d.
Average price of wheat at Odessa, 24s. 9d.
Average price of wheat at Rotterdam, 49s. 11d.
An Account, showing the total quantities of wheat and wheat flour imported from foreign countries and from British colonies, and upon which duty has been paid since the passing of the Act 9th George IV., c. 60, (July 15, 1828,) to January 5th, 1841, shewing also the total quantity of foreign and colonial wheat and flour respectively, which has been subjected to each separate rate of duty: from the same.
| FOREIGN. | Duty paid thereon. | WHEAT. | WHEAT FLOUR. | Duty paid thereon. | WHEAT. | WHEAT FLOUR. |
|----------|-------------------|--------|--------------|-------------------|--------|--------------|
| £ s. d. | Quarters. | Cuts. | £ s. d. | Quarters. | Cuts. | £ s. d. |
| 0 1 0 | 3,907,981 | 1,276,731 | 1 16 8 | 826 | 42 |
| 0 2 8 | 2,788,277 | 835,406 | 1 17 8 | 314 | 24 |
| 0 6 8 | 1,994,108 | 518,957 | 1 18 8 | 154 | 72 |
| 0 10 8 | 758,900 | 215,592 | 1 19 8 | 151 | 51 |
| 0 13 8 | 548,348 | 466,432 | 2 1 8 | 3 | — |
| 0 16 8 | 298,677 | 213,707 | 2 2 8 | 7 | 3 |
| 0 18 8 | 76,200 | 44,788 | 2 3 8 | 4 | 7 |
| 1 0 8 | 377,667 | 96,538 | 2 4 8 | 16 | 13 |
| 1 1 8 | 107,005 | 5,861 | 2 5 8 | 62 | 33 |
| 1 2 8 | 13,664 | 5,940 | 2 6 8 | 10 | 155 |
| 1 3 8 | 138,775 | 56,530 | 2 7 8 | 7 | 17 |
| 1 4 8 | 37,329 | 2,070 | 2 8 8 | 3 | 2 |
| 1 5 8 | 27,153 | 1,552 | 2 9 8 | 2 | 36 |
| 1 6 8 | 4,744 | 454 | 2 10 8 | 8 | 56 |
| 1 7 8 | 1,882 | 630 | Admitted at an ad valorem duty, being damaged,........... | 2,629 | — |
| 1 8 8 | 134,275 | 1,377 | | | |
| 1 9 8 | 61,649 | 101 | | | |
| 1 10 8 | 13,955 | 756 | Admitted duty free, being damaged,....................... | — | 350 |
| 1 11 8 | 1,496 | 87 | | | |
| 1 12 8 | 432 | 63 | Admitted duty free, or seed,............................. | 71 | — |
| 1 13 8 | 908 | 511 | | | |
| 1 14 8 | 385 | 164 | | | |
| 1 15 8 | 154 | 24 | | | |
Total,..............11,322,085 3,768,335
| BRITISH COLONIAL. | Wheat. | Wheat Flour. |
|-------------------|--------|--------------|
| Quarters. | Cuts. |
| When the rate of duty on wheat was 0s. 6d. per quarter, " 5s. 0d. " | 129,858 | 426,890 |
| " | 393,407 | 596,906 |
| Total,............| 523,265 | 1,023,805 |
COMMERCIAL STATISTICS.
COMMERCIAL OF THE UNITED STATES WITH GREAT BRITAIN.
The following table exhibits the immense amount of trade which is annually carried on between this country and Great Britain; also clearly exhibiting the fact that we take from Great Britain, in manufactures, on an average of years, the whole value of the produce exported to that country:
| Years | Value (in dollars) of Imports into Great Britain and Ireland from the United States. | Value (in dollars) of Exports from Great Britain and Ireland to the United States. |
|-------|---------------------------------------------------------------------------------|----------------------------------------------------------------------------------|
| 1831 | 26,329,362 | 24,539,914 |
| 1832 | 30,810,995 | 36,921,265 |
| 1833 | 32,363,450 | 37,845,824 |
| 1834 | 44,212,097 | 47,242,807 |
| 1835 | 52,180,977 | 61,249,527 |
| 1836 | 57,875,213 | 78,645,968 |
| 1837 | 54,683,797 | 44,886,943 |
| 1838 | 52,176,610 | 44,861,973 |
| 1839 | 59,896,212 | 65,964,588 |
THE BRITISH CORN LAWS
The question having been fairly submitted to the people of Great Britain, in their ultimate constitutional capacity, at the polls, whether they would adopt something more like reciprocity, and nearer akin to free trade, or would adhere to the system which has so long and is still operating so disadvantageously to us, and they, by electing a decided majority of the tory party to parliament upon the express ground that, if elected, they would continue that policy, it now becomes the duty of every American citizen to acquaint himself with the scope of those said corn laws, and discern how it is that they affect our trade.
To facilitate this object, we subjoin a tabular statement of the duty payable, per barrel, on American flour, under the corn laws of Great Britain, carefully prepared by an American merchant, resident in Liverpool.
By act 9, of George IV., ch. 60, the duty on foreign wheat is as follows, viz:—when the average price of wheat is at and above—
| Per quarter. | Duty per quarter. | Duty per bbl. on flour. | Per quarter. | Duty per quarter. | Duty per bbl. on flour. |
|--------------|-------------------|------------------------|--------------|-------------------|------------------------|
| 73s. | 1s. 0d. | 0s. 7 7.32d. | 57s. | 29s. –d. | 17 10 5.32d. |
| 72 | 3 8 | 7 1.4 | 56 | 30 8 | 18 5 3.8 |
| 71 | 6 8 | 4 0 1.8 | 55 | 31 – | 19 0 19.32 |
| 70 | 10 8 | 6 5 | 54 | 32 8 | 19 7 26.32 |
| 69 | 13 8 | 8 2 21.32 | 53 | 33 – | 20 3 1.32 |
| 68 | 16 8 | 10 0 5.16 | 52 | 34 8 | 20 10 1.4 |
| 67 | 18 8 | 11 2 3.4 | 51 | 35 – | 21 5 15.32 |
| 66 | 20 8 | 12 5 3.16 | 50 | 36 8 | 22 0 22.32 |
| 65 | 21 8 | 13 0 13.32 | 49 | 37 – | 22 7 29.32 |
| 64 | 22 8 | 13 7 1.4 | 48 | 38 8 | 23 4 1.3 |
| 63 | 23 8 | 14 2 27.32 | 47 | 39 – | 23 10 11.32 |
| 62 | 24 8 | 14 10 1.6 | 46 | 40 8 | 24 5 9.16 |
| 61 | 25 – | 15 5 9.32 | 45 | 41 – | 25 0 25.32 |
| 60 | 26 8 | 16 0 | 44 | 42 8 | 25 8 |
| 59 | 27 – | 16 7 28.32 | 43 | 43 – | 26 7 7.32 |
| 58 | 28 8 | 17 2 15.16 | | | |
On barley and Indian corn, if the average price is 31s. and under 34s. the duty is 12s. 4d. per imperial quarter, and for every 1s. per quarter it advances, the duty is decreased 1s. 6d. until it reaches 41s. per qr., at which price and upwards, no more than 1s.
per qr. is levied; and the duty increases in like manner 1s. 6d. per qr. as the price declines 1s. or part of 1s. under 33s. per quarter.
On oats, if the average price is 25s. and under 26s. per qr. the duty is 9s. 3d. per qr.; decreasing 1s. 6d. per qr. as the average price advances 1s. until it reaches 31s., when at that price or more, the duty is only 1s. per qr.; and in like manner it is increased 1s. 6d. per qr. for every 1s. or part of 1s. per qr. the average recedes below 24s. per qr.
For the convenience of those who do not readily understand quarters and sterling money, I. H. Hedley has prepared the following tables exhibiting the rates of duty per bushel in federal money, together with the duty on flour per barrel in federal money, so arranged that they correspond with the preceding table, and will be at once understood. Thus, when wheat is at and over—
| Per bushel. | Duty per bushel. | On flour per bbl. | Per bushel. | Duty per bushel. | On flour per barrel. |
|-------------|-----------------|------------------|-------------|-----------------|---------------------|
| $2 02c. 6m. | 02c. 8m. | 13c. 0m. | $1 57c. 5m. | 80c. 5m. | $3 95c. 9m. |
| 1 99 8 | 04 9 | 35 2 | 1 55 4 | 85 | 1 4 08 8 |
| 1 97 0 | 18 5 | 88 8 | 1 52 6 | 86 0 | 1 4 21 8 |
| 1 94 2 | 29 6 | $1 42 4 | 1 49 6 | 90 6 | 1 4 34 8 |
| 1 91 5 | 37 2 | 1 81 3 | 1 47 1 | 91 6 | 1 4 49 6 |
| 1 88 7 | 46 2 | 2 22 0 | 1 44 3 | 94 0 | 1 4 62 5 |
| 1 85 9 | 51 8 | 2 47 9 | 1 41 5 | 97 1 | 1 4 75 4 |
| 1 83 1 | 57 3 | 2 75 7 | 1 38 7 | $1 01 7 | 1 4 88 4 |
| 1 80 4 | 60 1 | 2 88 6 | 1 35 9 | 1 02 7 | 1 5 01 4 |
| 1 77 6 | 62 9 | 3 01 6 | 1 33 2 | 1 07 3 | 1 5 16 1 |
| 1 74 8 | 65 7 | 3 14 5 | 1 30 4 | 1 08 2 | 1 5 29 1 |
| 1 72 0 | 68 4 | 3 29 3 | 1 27 6 | 1 12 8 | 1 5 42 0 |
| 1 69 3 | 69 4 | 3 42 2 | 1 24 6 | 1 13 8 | 1 5 55 0 |
| 1 66 5 | 74 0 | 3 55 6 | 1 22 1 | 1 16 4 | 1 5 69 6 |
| 1 63 7 | 74 9 | 3 68 6 | 1 19 3 | 1 19 3 | 1 5 90 2 |
| 1 60 9 | 79 5 | 3 81 1 | | | |
Mr. Hedley observes—"From the inspection of the preceding tables, it will be seen that the duty on flour is fifty per cent higher than on grain; consequently, shippers generally send wheat in bulk to England, unless the price is very high, when the duty is so small as to make the freightage more than to counterbalance the extra duties. At best, however, it is but a hazardous business, and often attended with ruinous loss to American exporters. The extra duty on flour is no doubt intended as a sort of protective tariff to English flour manufacturers, and is abundantly characteristic of English tact and statesmanship. I have no wish to make comments now; the time is coming when this subject will be canvassed in all its parts, and an administration elected that will put forth all its power to procure either a total repeal of these unjust laws, or such a modification of them as will justify American merchants in seeking the ports of Great Britain as an available market for our increasing surplus of breadstuffs."—Niles' National Register.
BRITISH TRADE WITH THE EAST INDIES.
According to Mr. Stikeman's comparative statement of the number of British ships, with tonnage, etc., which entered inwards and cleared outwards from and to places within the limits of the East India Company's charter, for the quarter ending 30th June, 1841, it appears that the total number of ships entered inwards was 402, with 158,388 tonnage, and 8,249 men, showing, as compared with the same quarter of 1840, an increase of 83 ships, 35,139 tonnage, and 1,602 men. Of this total amount, 278 ships, 111,423 tonnage, and 6,056 men entered at London; 90 ships, 35,172 tonnage, and 1,583 men entered at Liverpool; 9 ships, 3,308 tonnage, and 166 men entered at Clyde, Leith, and other British ports.
The arrivals were as follows:—135 ships from Calcutta; 5 from Madras; 35 from Bombay; 14 from China; 9 from Ceylon; 28 from Singapore and Penang, (British settlements;) 12 from Philippine islands; 17 from Java and Sumatra; 75 from the island of Mauritius; 32 from New South Wales; 1 from Madagascar; 27 from Cape of Good Hope; and 11 from other ports.
The clearances outwards comprised a total of 480 ships, 194,798 tonnage, and 9,983 men, which, as compared with the same period of 1840, gives an increase of 75 ships, 40,147 tonnage, and 1,480 men.
COFFEE TRADE OF THE UNITED STATES, FROM 1821 TO 1840.
Samuel Hazard, Esq., of the United States Commercial and Statistical Register, in reply to an inquiry of a member of congress relative to the comparative prices of coffee for a series of years prior to, and since, the act of 1833, abolishing the duties, has prepared the following table, taking the annual reports of the Secretary of the Treasury as the basis of his calculations. "We know of no other mode of arriving at the facts, although we are aware, from the circumstance of the different qualities of coffee being all blended together, the average thus obtained will not, probably, correspond with the actual price of any particular quality taken separately. But, for the general purpose of the present inquiry, this mode of arriving at the desired information may be a sufficiently close approximation to the truth. The value and prices of the imports being obtained from the invoices, must show correctly the cost at the place of purchase. The value of the exports is, we presume, a general average of the prices throughout the year, as obtained at the Treasury Department—and, we learn, from the custom-house—is the value of the article at the 'short price,' that is, with the drawback taken off. By adding therefore 5 cents to the prices of exports from 1821 to 1833, the average price per pound based on the valuation by the secretary may be ascertained."
IMPORTS, EXPORTS, AND VALUE OF COFFEE.
Statement, showing the imports, exports, and value of coffee into and from the United States, with the quantity left for consumption or exportation, for each year from 1821 to 1839, ending September 30, and the average price.
| Years | Imports. | Value. | Price of Imports. | Consumption or Exportation. | Value of Exports. | Average Price of Exports. | Left for Consumption or Exportation. |
|-------|----------|--------|------------------|-----------------------------|------------------|---------------------------|-------------------------------------|
| | Pounds | Dollars| | | | | |
| 1821 | 21,273,659 | 4,489,970 | 21 1-10 | 9,337,596 | 2,087,479 | 22 1-4 | 11,886,063 |
| 1822 | 25,782,391 | 5,552,649 | 21 5-10 | 7,267,119 | 1,653,607 | 22 3-4 | 18,515,784 |
| 1823 | 33,377,332 | 7,098,119 | 19 1-10 | 20,900,687 | 4,862,699 | 20 4-10 | 16,437,045 |
| 1824 | 39,224,251 | 5,437,029 | 13 1-10 | 19,427,227 | 2,923,079 | 15 | 19,797,024 |
| 1825 | 45,190,630 | 5,250,828 | 11 6-10 | 24,512,568 | 3,254,936 | 13 1-4 | 20,678,062 |
| 1826 | 37,319,497 | 4,159,558 | 11 5-10 | 11,584,713 | 1,449,022 | 12 1-2 | 25,734,784 |
| 1827 | 50,051,986 | 4,464,394 | 8 9-10 | 21,697,789 | 2,324,783 | 10 3-4 | 28,354,197 |
| 1828 | 55,794,697 | 4,710,708 | 9 5-10 | 16,037,467 | 1,884,747 | 9 1-3 | 39,156,739 |
| 1829 | 51,138,788 | 4,588,685 | 9 2-10 | 13,824,813 | 1,536,565 | 11 1-2 | 35,802,615 |
| 1830 | 51,488,248 | 4,297,021 | 8 2-10 | 13,124,561 | 1,046,542 | 8 | 38,363,677 |
| 1831 | 81,737,386 | 6,317,666 | 7 7-10 | 6,056,629 | 521,527 | 8 6-10 | 75,700,757 |
| 1832 | 91,722,329 | 9,099,464 | 10 | 55,251,158 | 6,583,444 | 11 9-10 | 36,471,171 |
| 1833* | 99,955,020 | 10,567,299 | 10 6-10 | 24,597,114 | 3,041,689 | 12 1-4 | 75,057,906 |
| 1834 | 80,133,366 | 8,762,657 | 10 9-10 | 35,806,861 | 4,288,720 | 12 | 44,346,505 |
| 1835 | 103,199,577 | 10,715,466 | 10 4-10 | 11,446,775 | 3,333,777 | 11 2-3 | 91,753,802 |
| 1836 | 93,790,507 | 9,653,053 | 10 3-10 | 16,143,307 | 1,985,176 | 12 1-4 | 76,747,300 |
| 1837 | 100,000,000 | 10,000,000 | 10 0-10 | 15,106,264 | 1,350,264 | 10 1-10 | 76,944,017 |
| 1838 | 88,139,720 | 7,640,217 | 8 6-10 | 5,226,087 | 502,287 | 8 4-10 | 72,917,533 |
| 1839 | 106,696,992 | 9,744,103 | 9 1-10 | 6,824,475 | 1,378,418 | 10 3-14 | 99,879,517 |
| 1840 | 94,996,095 | 8,546,222 | 9 | 8,698,334 | 930,398 | 10 6-10 | 86,297,761 |
* Viz.—Previous to the 4th March, 33,326,120 lbs., valued at $3,570,248; after 4th March, 66,628,900 lbs., at $6 997,051; making the total import for 1833 as per table.
REMARKS ON THE PRECEDING TABLE.
The importations from 1826 to 1832, both inclusive, were...........lbs. 418,667,681
Do. from 1834 to 1840,..................................................655,116,860
Being an increase of..........................................................236,448,979
in the seven years succeeding 1833 over those prior to that year.
The exportations from 1826 to 1832 were................................141,836,657
Do. 1834 to 1840,..................................................................96,283,071
Being a decrease of..............................................................45,553,586
in the seven years succeeding 1833, as compared with the seven preceding it.
The consumption from 1826 to 1832 was...............................276,831,034
Do. 1834 to 1840,..................................................................558,883,589
Being an increase of..............................................................282,002,555
in the consumption of the last seven years over the former.
The average price of the importations from 1826 to 1832 was 9 3-10 cents per lb.; and from 1834 to 1840 was 9 7-10, being a difference of 4-10 of a cent per lb. against the latter seven years.
The average price of exportations from 1826 to 1832 was 10 5-10 cents; and from 1834 to 1840 was 11 5-10, being 1 cent per lb. against the latter seven years.
It would appear from these statements, that since 1833 the amount of coffee imported has increased 56 47-100 per cent, while that exported has diminished 32 12-100 per cent. That the amount consumed has increased 101 40-100 per cent. That the cost of the article in the places of growth has advanced, as has also the price in the United States.
The great increase of consumption therefore would seem to have been induced by some other cause than the removal of the duties—probably the increase of population—and perhaps the facilities of transportation enabling it to reach the consumer in the interior at a diminished expense, while the demand has sustained the price in the market.
The increase of population between 1830 and 1840 has been about 39 2-10 per cent.
The amount consumed from 1826 to 1832 would furnish to each individual in the United States, according to the census of 1830, 3 7-10 lb. per annum; and the quantity consumed from 1834 to 1840, according to the population of 1840, would allow to each individual 4 7-10 lbs., being an increase in the latter period of 1 lb. to each, per annum.
This is independently, in both cases, of the consumption of 1833, which year has been excluded from all the preceding calculations.
Owing to the high prices of tea, it is probable that the consumption of coffee will be further extended during the present year."
AMERICAN WHALE FISHERY.
The Nantucket Inquirer publishes monthly a compendium of all the vessels engaged in this pursuit. From the list it appears that the whole number of vessels employed is 588, of which 192 sail are from New Bedford; Nantucket, 84; Fairhaven, 42; New London, 38; Sag Harbor, 31; Warren, 21; Edgartown, 19; Salem, 12; Newport, 11; Stonington, 10. The others are scattered along the coast from Portland, Me., to Wilmington, Del., the latter place having 3, and the others from 1 to 10. Most of these vessels are ships, and many of them are of the largest class. Taking $20,000 as the average cost of each ship and outfit, the capital invested amounts to $11,700,000. The importation of oil into the United States during the month of August, 1841, was—of sperm oil, 11,630 barrels, or 366,345 gallons; of whale oil, 16,250 barrels, or 511,875 gallons—in ten ships and two barks. Of this amount, 9,980 barrels of sperm oil and 6,700 whale oil were imported into New Bedford.
COLORED.
Free, 1,843 Males, 1,655 Females,
Slaves, " 142 " 161
Total, 1,985 1,816
NUMBER OF PERSONS EMPLOYED IN
Mining, 1,227 Navigation of the ocean, 75
Agriculture, 97,781 " rivers and lakes, 285
Commerce, 2,523 Learned professions, 1,931
Manufactures and trades, 12,488
DEAF AND DUMB, ETC.
Deaf and Dumb, 146 Blind, 80 Insane, and Idiots, 200
COLLEGES, ETC.
Colleges, Number, 7 Students, 311
Academies, " 41 " 1,907
Common Schools, " 1,200 " 33,724
At public charge, " 1,318
Number of white persons over 20, who cannot read and write, 28,780
MERCHANTS' TEMPERANCE SOCIETY.
It is with great pleasure that we record on the pages of this magazine the establishment of a merchants' temperance society in the "commercial emporium." We ardently hope the example may be followed in every city of the Union, believing as we do, that temperance is one of the corner-stones of commercial success.
The first meeting of the society took place at Clinton Hall, that monument of mercantile liberality, on Wednesday evening, 1st September. At this meeting the following constitution was unanimously adopted:
CONSTITUTION.
1. This society shall be called "The Merchants' Temperance Society of the City of New York."
2. The objects of this society shall be to promote the cause of temperance, by entirely abstaining from the traffic and use, as a beverage, of all intoxicating liquors; and, by persuasion, as well as by example, to influence the great community of merchants in the United States, and in foreign countries, to adopt the same principle.
3. Any merchant in the city of New York, subscribing the following declaration, may become a member of this society:
"Declaration.—I approve of the objects of the Merchants' Temperance Society of the City of New York, as set forth in the second article of the constitution of said society, and pledge my efforts and personal example to the promotion of those objects."
4. The officers of this society shall be a president, five vice presidents, a corresponding and a recording secretary, and a treasurer; who, together with ten managers, shall constitute a board, whose duty it shall be to conduct the operations of the society.
5. The officers and board of management shall hereafter be elected at the annual meeting of the society, which shall be held in the month of December, each year.
THE "BOOK TRADE."
We have been compelled to crowd out a large number of notices of new works, in consequence of the great length of the three first articles in the present number. Our friends of the "book trade" shall be attended to in our next, at the expense of an additional sheet, if necessary.
THE BANKRUPT LAW.
In order to furnish our readers with an authentic copy of this important document, for reference, we applied to Mr. Webster, the Secretary of State, for a revised copy, and we have great pleasure in acknowledging the courtesy and promptness of that gentleman in complying with our request.
|
Accuphase
INTEGRATED STEREO AMPLIFIER E-202
Owner's Manual
The wooden cabinet is an option.
Thank you for purchasing this Accuphase product, which we here at Kensonic, who are dedicated to the policy of creating the highest quality audio components, are proud to introduce. You can be assured that in preparing this component, every attention was paid in great detail by our entire staff to strict quality control. This dedication was followed throughout the whole manufacturing process — from basic research, the selection of each part, assembly, testing, data recording, packing and shipping — so that we could supply a product with every confidence that it will give full owner satisfaction and pride.
We welcome you to the fast-growing Accuphase circle of dedicated audio enthusiasts and true sound lovers.
CONTENTS
SPECIAL FEATURES ................................................................. 1
INTERCONNECTION OF COMPONENTS ........................................... 2
PRECAUTIONS BEFORE USING .................................................. 3
PARTS AND THEIR FUNCTIONS .................................................. 4
OPERATING INSTRUCTIONS ..................................................... 8
MAINTENANCE ........................................................................... 10
BLOCK DIAGRAM ....................................................................... 11
GUARANTY SPECIFICATIONS .................................................... 12
PERFORMANCE CURVES ............................................................ 13
SPECIAL FEATURES
The Accuphase E-202 is an Integrated Stereo Amplifier which possesses a great many separate component class features and characteristics. Full play has been given in its design to the advanced engineering techniques that were developed for the P-300 Power Amplifier and the C-200 Control Center which spearheaded the Accuphase line of highest quality audio equipment. Among the many special features of the E-202 are the following.
- **High power output of 100 watts per channel into 8 ohms assures excellent sound quality at ALL listening levels.**
This high power capability, with distortion at less than 0.1% over the entire audio range of 20 to 20,000 Hz, is fully guaranteed. Heavy duty power transistors in a parallel push-pull drive output stage and large heat sinks back up this Accuphase Warranty. Design emphasis was placed on maintaining excellent sound quality also at the low listening levels.
- **Speaker Damping Control ensures best speaker performance.**
A Speaker Damping Control permits correct matching and best performance from any speaker by changing the damping factor from more than 50 at NORMAL position, (8 ohms load) to 5 at MEDIUM and 1 at SOFT positions. Use the position that you desire.
- **Power Meters help to balance channel levels.**
Momentary intensities of clipping level and left and right channel balance can be checked and corrected easily with the Power Meters on the front panel which indicate output levels in decibels (dB). A Meter Sensitivity Control is also provided to assure sufficient meter deflection for easy reading at low listening levels.
- **Equalizer circuit assures quality sound.**
This circuit can handle inputs up to 300mV rms with distortion less than 0.05% at 1 kHz, and ensures faithful passage of practically any size pulse. It is a direct coupled, 3-stage, constant current load, differential amplifier circuit which has outstanding linearity characteristics. It is supplied by a dual (positive and negative) power supply system which accounts for its very high performance.
- **Exclusive "Accuphase Only" Features — Low Enhancement Circuit and Disc Subsonic Filter.**
This amplifier is also provided with a Low Enhancement switch and Subsonic Filter that were introduced first in the Accuphase C-200 and received very favorable recognition. The Disc Low Enhancement switch permits +1 dB enhancement of the RIAA recording standard characteristics at 100 Hz, and enables delicate application of "presence" to music that is not possible with ordinary tone controls.
The Subsonic Filter eliminates any adverse effect in the audible range that may be caused by very low frequency turntable and/or tone arm resonance below 25Hz, by barring their entry into the amplifier.
- **Input Level Control is provided for DISC 1.**
An Input Level Control that is variable over a range of 6 dB is provided at DISC 1 which enables attenuation of high output level cartridge. It is also useful to equalize the input levels at DISC 1 and DISC 2, and to judge the sound quality of the two cartridges.
- **Input Impedance Selector switch is provided for DISC 1.**
DISC 1 has provisions for impedance matching to any kind of cartridges. This is achieved with a 3-step Impedance Matching Switch which provides impedance selection of 30-kohm, 47-kohm or over 100-kohm.
- **Tone Control permits 2 dB tone variation.**
The tone control varies the tones of both the left and right channels simultaneously and simplifies operation. It has a range of ± 10 dB that is divided accurately into steps of 2 dB. Its turnover frequencies of 500 Hz for bass and 2,500 Hz for treble are ideal from an acoustic standpoint in controlling tone smoothly and naturally.
- **Three tape decks can be connected. Tape Copy switch is independent.**
Two tape decks can be operated simultaneously in conjunction with this amplifier which has the necessary circuitry to accommodate them. It also has a front panel input-output jack for connection to a third tape deck, but when this is used, the tape deck connected to one of the rear panel jacks is automatically cut off. An independent tape copying switch also permits tape duplication from one tape deck to another, while listening simultaneously to another program source.
- **Constant regulated voltages from the power supply assure outstanding stability.**
Regardless of the signals handled, a special power supply delivers constantly regulated, non-fluctuating voltages to every stage of this amplifier excepting the output circuit which is supplied separately. This power supply is capable of very stable performance even against AC line voltage fluctuations.
- **Protection Circuit safeguards power transistors and speakers.**
The E-202 has a built-in Protection Circuit which guards against any damage to speakers or power transistors in the case of shorts in the speaker circuit, or when abnormally low impedance output load conditions occur. In case of a short circuit in the speaker network, the speakers are immediately cut off automatically from the amplifier. Likewise they are reconnected automatically as soon as the short circuit condition is corrected.
INTERCONNECTION OF COMPONENTS
FM STEREO TUNER T-101
TURNTABLE 1
TAPE DECK 1
LINE OUT
LINE IN
TAPE DECK 2
LINE OUT
LINE IN
INTEGRATED STEREO AMP. E-202
HIGH LEVEL INPUTS
LEFT
RIGHT
TUNER/DECK 1
TUNER/DECK 2
LOW LEVEL INPUTS
NORMAL
MEDIUM
SOFT
IMPEDANCE
NORMAL
MEDIUM
SOFT
PRE OUT MAIN IN
NORMAL SEPARATE
SWITCHED VOLTAGE
UNS-WITCHED 100V/117V 220V/240V
AC POWER CORD
SPEAKERS-C
CIRCUIT BREAKER
HOW TO CONNECT SPEAKER CORDS
Insert speaker cord
Movable plate
Immovable plate
Tighten with screwdriver.
SPEAKERS-A
SPEAKERS-B
TURNTABLE 2
PRECAUTIONS BEFORE USING
- **USE LOW CAPACITY SHIELDED CORD**
Shielded cord must be used to interconnect the components of a system such as the tuner, amplifier, players, tape decks, etc. It is important to select best quality, low capacity cables for this function. Thin, high capacity shielded cords not only sacrifice high frequency response, but are likely to pick up undesirable noises. Remember also to keep interconnecting shielded cords between components as short as possible.
- **VENTILATION**
Since high power amplifiers create a good amount of heat, air vents are provided on all sides of this unit. It is important to keep space around the amplifier open so that air can circulate freely. Also avoid locations that are exposed to direct sunlight.
- **AMPLIFIER MUST BE RIGIDLY SUPPORTED.**
Since this unit is quite heavy, it should be rigidly supported. Bear this in mind when choosing its location, especially when it is to be placed on a shelf.
- **REDUCE AMPLIFIER VOLUME BEFORE OPERATING RECORD PLAYER**
Always reduce the volume of this unit before operating a record player. This precaution will serve to protect the speakers against possible harm from low frequency, large current surges that may result from lifting or lowering the cartridge, even though sound pressure itself from this action may be minor.
- **TURN POWER SWITCH OFF BEFORE CONNECTING INPUT/OUTPUT**
Be sure to switch AC power OFF before connecting or disconnecting input/output cords. This precaution is necessary also to protect the speakers from possible damage.
(1) POWER — Power Switch
Push this button to turn power on. Push it again to turn it off.
(2) SPEAKERS — Speaker Selector Switch
This switch selects the speaker systems connected to A, B, or C terminals on the rear panel. When it is switched to A&B position, the A and B speakers will be heard simultaneously, if both are connected, and nothing will be heard if only one set of speakers is connected. When this is switched to OFF, all speakers will be silenced and output signal will be available only at the PHONES jack.
(3) METER RANGE — Meter Range Selector Switch
This switch changes the sensitivity of the power level meters to measure different value ranges. When it is switched to 0 dB, the meter will register 0 dB to indicate a 100 watt output into 8 ohms of a pure sine wave input. Likewise when switched to -10 dB, the meters will register 0 dB to indicate 10 watts, and when switched to -20 dB, meters register 0 dB to indicate 1 watt.
(4) PHONES — Headphone Jack
Plug stereo headphones into this jack for private listening. Use 4 to 32 ohm headphones here. When a headphone is plugged in, the signal is not cut off at the SPEAKERS terminals of this amplifier. Therefore, be sure to set the SPEAKERS switch (2) to OFF when listening to headphones only.
(5) TAPE 2 — Tape Deck Connecting Jacks (front panel)
The TAPE 2 (REC PLAY) jacks on the front panel can be used in exactly the same way as the TAPE 2 (REC PLAY) connectors on the rear panel. Connections to these front panel jacks must be made with stereo plugs while pin plugs must be used for the rear panel connectors.
The diagram below shows a shielded connecting cable for the front panel TAPE 2 jacks. The stereo plug at left connects to the amplifier and the pin plugs at right make the connections to Tape Deck 2.
(6) TAPE COPY – Tape Copying Control
This control is used when copying tape from one tape deck to another. Set this control to 1 → 2 when copying from a tape deck connected to TAPE 1 jack to a tape deck connected to TAPE 2 jacks. Set the control to 2 → 1 when the reverse is the case. Copying can be done independently while listening simultaneously to another program source when the TAPE MONITOR control (7) is set to “SOURCE”.
When copying from TAPE 1 to TAPE 2 with the TAPE MONITOR control 7 set to TAPE 1, the playing condition of tape 1 can be checked, and with the TAPE MONITOR control set to TAPE 2, the copied tape can be monitored. Monitoring can also be accomplished in the same manner when copying from TAPE 2 to TAPE 1.
(7) TAPE MONITOR – Tape Monitor Control
When this control is set to SOURCE, all source signals applied to the INPUT jacks, other than TAPE PLAY jacks, can be reproduced. For this reason, always set this control to “SOURCE” except for tape playbacks.
For tape playbacks, set this switch to TAPE 1 or TAPE 2, whichever jack the tape deck concerned is connected to.
For tape recordings, this switch should be set to SOURCE. This permits monitoring the program source that is being recorded. To check back on the quality of the recording that is being made, merely turn this switch to TAPE 1 or TAPE 2, whichever connected to the tape deck.
(8) MODE – Mode Selector
When this control is set to L-L&R, left channel sound is heard from both speakers; when it is set to R-L&R, right channel sound is heard from both speakers.
When this control is set to STEREO, left and right channel sounds are completely separated and heard from the respective speakers, providing stereophonic play.
When this control is set to REV, left and right channel sounds are reversed; that is, they will be heard from the opposite side speakers in stereophonic mode.
(9) INPUT – Input Selector
This switch selects program sources connected to the various INPUT jacks.
(10) POWER LEVEL METERS
The left side meter indicates left channel and right side meter indicates right channel power output with level indications in decibels (dB). Actual program sources contain momentary pulse intensities not registered by these meters, peak value of which would be 5 to 10 dB above the meter readings.
(11) BASS – Low Frequency Tone Control
This control functions only when the BASS/TREBLE button (15) is set to “ON”. Bass is emphasized as the control is turned to the right of center, and attenuated as the control is turned to the left. Bass emphasis is adjusted in 2 dB steps. Maximum change of ± 10 dB is obtained at 100 Hz.
(12) TREBLE – High Frequency Tone Control
This control functions only when the BASS/TREBLE button (15) is set to “ON”. TREBLE is emphasized as the control is turned to the right of center, and attenuated as the control is turned to the left. Tone is varied in 2 dB steps. Maximum change of ± 10 dB is obtained at 10 kHz.
(13) BALANCE – Stereo Balance Control
When this control is turned clockwise, the sound level of the left speaker is reduced. The sound level of the right speaker is reduced when the control is turned counterclockwise.
(14) VOLUME – Volume Control
Sound level increases when this control is turned clockwise.
(15) BASS/TREBLE – Tone Control ON-OFF Switch
When this switch is pushed into locked position, the tone control circuit is activated, allowing the BASS and TREBLE controls to function. When it is pushed again and released, the tone control circuit is turned off, providing a flat frequency response characteristic regardless of the BASS and TREBLE knob positions.
(16) COMP – Compensator Switch
At low volume levels, the human ear fails to detect low frequency sounds sufficiently. To compensate for this natural deficiency, this switch activates a compensating circuit which boosts bass level at the lower volume levels.
This compensator is interlocked with the volume control and provides up to 9 dB bass boost at 50 Hz when the volume knob is adjusted to the 10 o'clock position.
(17) DISC LOW ENHANCE – Low Frequency Enhancement Switch
This switch is used to enhance low frequency sounds by slightly changing the characteristics of the equalizer. Enhancement of 1 dB against the RIAA curve at 100 Hz is obtained. When this switch is set to OFF, a true RIAA standard response is obtained.
(18) SUBSONIC – Subsonic Filter
This is used for DISC operation only. When this switch is pushed and locked in, (set to SUBSONIC), subsonic turntable vibrations (25 Hz or lower) are filtered out completely.
(19) LOW FILTER Switch
When this switch is locked in (set to LOW), it activates the low frequency filter designed to eliminate turntable rumble, etc. This filter provides a 18 dB/oct cut off below 30 Hz.
(20) HIGH FILTER Switch
When this switch is locked in (set to HIGH), it activates the high frequency filter which effectively cuts out high frequency noises such as record scratches and FM interference of 5 kHz or higher at 12 dB/oct.
(21) HIGH LEVEL INPUTS Jacks
These are high level input jacks to accommodate tuners or other auxiliary components.
(22) DISC 1 IMPEDANCE – DISC 1 Input Impedance Matching Switch
This switch permits quick impedance matching of turntable cartridges connected to the DISC 1 jacks.
It should be set to 47 kohms for general type cartridges, or to the impedance that is closest to the rating of the coupling transformer.
(23) DISC 1 LEVEL Control
If the output level of the turntable connected to DISC 1 jacks is excessive, it can be reduced with this control. Normally this control should be set to MAX position.
(24) LOW LEVEL INPUT-DISC 1
These are input jacks for turntable connections. DISC 1 input jacks are provided with input level and impedance matching controls on the rear panel.
(25) LOW LEVEL INPUT-DISC 2
These are input jacks for a second turntable. DISC 2 input jacks have no input level control nor impedance matching control. Their input levels are the same as MAX position of DISC 1, and input impedance is 47 kohms.
(26) TAPE 1 – Tape Deck Connecting Jacks
The PLAY jacks are for the LINE OUT jacks of a tape deck, and REC jacks for the LINE IN jack of a tape deck.
(27) TAPE 2 – Tape Deck Connecting Jacks (rear panel)
A tape deck can be connected to these jacks in the same way as explained above in (26). The connections here are automatically cut off when stereo plugs are inserted in the front panel TAPE 2 connecting jacks.
(28) PRE OUT – MAIN IN – Preamplifier Output and Main Amplifier Input Connectors.
The preamplifier and the main amplifier sections become separated when Switch (29) is set to SEPARATE. The preamplifier output is then available at PRE-OUT and MAIN IN becomes the input connectors for the main amplifier.
(29) PRE-MAIN – SEPARATE Switch
This switch can be used to separate the preamplifier and main amplifier sections if and when such separate functions are desired. Otherwise, it should always be set to NORMAL.
(30) SPEAKER DAMPING — Speaker Damping Control
This control is ordinarily used at NORMAL position. Switching it to MEDIUM or SOFT position, however, changes the speaker damping factor respectively to 5 and 1, and causes a softer sound quality. Learn to make use of this control and enjoy the sound variation that it offers.
They will make audiophiles appreciate their "old favorite" speakers even more because of the different soothing sound that they will be able to get from them.
(31) SPEAKERS — Speaker Terminals
Use 4 to 16 ohms speakers for connection to these terminals. The speaker systems connected to these three sets of terminals are selected by the front panel SPEAKERS switch (2).
(32) CIRCUIT BREAKER
This serves the same function as a fuse. It breaks the circuit automatically and prevents possible damage when an excessive current flow occurs. The button (33) pops out about 5 mm when this switch goes into action and breaks the circuit.
AC power will flow again when the button is pushed in after the cause of the trouble is removed.
(33) SWITCHED TOTAL 300 W — Switched AC Convenience Outlets
When the power switch of this amplifier is turned ON or OFF, all components connected to these receptacles are turned ON or OFF simultaneously. Total power conOPERATING INSTRUCTIONS
- **TURNTABLE**
After connecting the output cords of the turntable to DISC 1 or DISC 2 jacks, and having confirmed that Left and Right channel sides have been connected correctly to the L and R jacks respectively, operate the turntable and the amplifier as follows:
(1) When the turntable is connected to the DISC 1 jacks, set the rear panel DISC 1 IMPEDANCE switch (22) to the impedance of the cartridge used. This will be the 47 K ohms setting for general type cartridges. For moving-coil type cartridges which use a coupling transformer, set this switch closest to the impedance rating of the coupling transformer.
(2) Set the rear panel DISC 1 LEVEL CONTROL (23) to MAX position.
(3) Set the INPUT selector (9) to DISC 1 or DISC 2, whichever is connected.
(4) Set the MODE selector (8) to STEREO.
(5) Set the TAPE MONITOR control (7) to SOURCE.
(6) Increase volume gradually.
(7) If the cartridge output level is excessive, attenuate with DISC 1 LEVEL control (28) on the rear panel.
(8) Use BALANCE control (13) to balance the levels of the left and right channels while listening to the speaker sound. Under normal conditions, this BALANCE control is set at the center.
(9) Adjust tone controls to match room acoustics, program source and your personal preference. Under normal conditions, tone controls are set near their midpoint positions.
(10) Activate the SUBSONIC Filter by pushing in and locking the SUBSONIC switch (18) which will eliminate subsonic turntable vibrations. It is recommended to keep this switch always locked in to protect the speaker from possible harm from large current surges of a subsonic nature.
(11) When a turntable is connected to DISC, it is possible to enhance the low frequency bass with the front panel DISC LOW ENHANCE switch (17) by changing the characteristic of the equalizer circuit.
- **TUNER**
Make sure that the left and right channel output cords of the tuner, are correctly connected to the L and R TUNER jacks of this amplifier. Set the INPUT selector to “TUNER”. Operation is basically the same thereafter, as just explained for playing disc records.
SUBSONIC FILTER and LOW ENHANCE switches are disconnected.
- **TAPE DECK CONNECTIONS AND OPERATION**
Make sure that the tape deck is connected correctly to the amplifier. Amp side REC jacks should be connected to the LINE IN terminals of the tape deck. Likewise the PLAY jacks should be connected to the LINE OUT terminals of the tape deck. Refer to the tape deck Owner’s Manual for operation of the tape deck.
**Tape Playback**
Use the TAPE MONITOR switch to select the desired tape deck. This switch permits selection of one of two tape deck systems that can be connected to TAPE 1, TAPE 2 (rear or front panel).
**Recording**
Follow the steps below for tape recording.
(1) Select the program source desired and listen to the sound from the speakers.
(2) Switch the tape deck to the recording mode, and the sound from the speakers will then be recorded.
(3) The VOLUME, TREBLE and BASS controls of this amplifier do not affect the recording signal. The recording level is controlled at the tape deck side.
(4) While recording, the just recorded tape can be monitored by switching the TAPE MONITOR Switch to whichever terminal the tape deck is connected.
(5) Two tape decks can be connected and recordings made on them simultaneously if desired.
**How to copy tapes**
This amplifier is equipped with a TAPE COPY switch which permits copying a tape from one tape deck to another while simultaneously listening to a different program source, ie., a radio program or DISC entertainment. To copy tape from one tape deck to another, follow the steps below:
(1) Connect tapedecks to the TAPE 1 and TAPE 2 jacks.
(2) When the tape deck connected to TAPE 1 is the master and TAPE 2 is the recording deck, set the TAPE COPY control to $1 \rightarrow 2$. In the reverse case, set this control to $2 \rightarrow 1$.
(3) Set master and recording decks respectively to playback and recording modes. Signals from the master deck are copied into the tape on the copying deck.
(4) When TAPE COPY is set to 1 → 2, and TAPE MONITOR is set to "TAPE 1", the master deck can be monitored. Likewise when TAPE MONITOR is set to "TAPE 2", the copied tape can be monitored. (When TAPE COPY is set to 2 → 1, the above is reversed).
(5) Set TAPE MONITOR to "SOURCE". You can then listen to a different program through the tuner or a turntable while tape is being copied from one tape-deck to another.
- HOW TO USE THE POWER LEVEL METERS AND METER RANGE SWITCH
When the METER RANGE switch is set to "0 dB", the power level meter will register 0 dB when the power output is 100 watts.
When it is set to "-10 dB" the meter will register "0 dB", to indicate a power output of 10 watts, and when set to "-20 dB", the meter will register 0 dB to indicate a power output of 1 watt.
It is always best to set the METER RANGE switch to 0 dB position first to protect the meter pointer from over-swinging. The switching should then be advanced to -10 dB or -20 dB position if meter deflection proves insufficient for efficient reading.
The above power level indications apply to 8 ohm loads. For 4 ohm loads the same meter reading indicates twice the above-mentioned power, and for 16 ohm loads one half the power.
MAINTENANCE
- **What to do when the Circuit Breakers Cuts off AC Power.**
Push the Circuit Breaker button in as shown in the following side view diagram (top) if it should pop out as shown below and cut off the AC power. If the button should pop out again, it is an indication of some trouble that requires further investigation. In such a case, contact your Accuphase dealer.
Point "A" that causes the Relay Control Amplifier to trigger the Speaker Relay. Contact points then switch to "M" and the Relay connects the power amplifier outputs to the speakers. The Relay Control Amplifier circuit is designed to provide about a four second delayed action — the time required for proper circuit warmup — before triggering this power amplifier-speaker connection. Consequently, a tiny AC voltage of about 10 to 20 mV flows through the speakers and it may appear during this very short interval as a slight hum through high efficiency speakers.
In case of a short circuit in the speaker network, or defect within the speakers themselves that may cause impedance to drop below two ohms, the resulting low voltage at point "A" will be insufficient to activate the Relay Control Amplifier. As a result, the power amplifier outputs will be prevented from driving the speakers as the Speaker Relay contacts will remain at points "B". In such a case no click will be heard from the Speaker Relay even after more than 4 seconds elapse from the time AC power is turned on.
If this should happen, disconnect the speaker circuit, or switch the Speaker Selector to an open position to which no speakers are connected. If a click is then heard shortly after AC power is turned on, it indicates that something is definitely wrong in the speaker circuit and miswiring, or whatever it is, must be corrected.
As explained above, it is normal for a slight hum to be heard before a click is heard during the short period after AC power is turned ON. It indicates that the speakers are wired correctly and is not a cause for concern.
- **Operation of the Protection Circuit**
In order to prevent damage to power transistors and speaker systems, this unit has three protection circuits, a Speaker Relay Switch which normally connects the power amplifier to the speakers, and a Relay Control Amplifier. The action of this Relay Control circuit between the time AC power is turned on until it triggers the relay to connect the speakers is described briefly below. (Also refer to block diagram).
When AC power is OFF, the Speaker Relay contacts are at points "B" as shown, and the speakers are not connected. "B" connects to one side of the power transformer secondary winding through R1.
When AC power is turned ON, an alternating current (50Hz or 60Hz) voltage is created in the power transformer secondary, and current flows through R1 and points "B" to the speakers. If the speaker return circuits are connected properly to a common ground, this circuit impedance combines with the resistance of R2 to create a voltage at
GUARANTY SPECIFICATIONS
POWER OUTPUT (both channels driven from 20Hz to 20,000Hz with no more than 0.1% total harmonic distortion):
140 watts per channel, min. RMS, at 4 ohms
100 watts per channel, min. RMS, at 8 ohms
50 watts per channel, min. RMS, at 16 ohms
TOTAL HARMONIC DISTORTION (from 20Hz to 20,000Hz 4 ohms; 0.15% max.
at any power output from 1/4 watt to rated power): 8 ohms; 0.15% max.
16 ohms; 0.15% max.
INTERMODULATION DISTORTION: (High Level Input to Main Output)
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The Apogee of the Commodity
Anthony Paul Farley
Follow this and additional works at: https://via.library.depaul.edu/law-review
Recommended Citation
Anthony P. Farley, The Apogee of the Commodity, 53 DePaul L. Rev. 1229 (2004)
Available at: https://via.library.depaul.edu/law-review/vol53/iss3/12
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THE APOGEE OF THE COMMODITY
Anthony Paul Farley*
If commodities could speak . . .
—Karl Marx
I would be sorry if they understood me. Until now it has gone according to my wishes with these people; and I hope even now that this exordium will so bewilder them that from now on they see nothing but letters on the page, while what passes for mind in them is torn hither and thither by the caged anger within.
—J.G. Fichte
The black is the apogee of the commodity. It is the point—in time as well as in space—at which the commodity becomes flesh. And, for the system of capital, the black is both the instrument of its demise and the vehicle of its ensoulment. Provisionally, let us call the time and space of ensoulment Virginia, 1619 A.D. It begins with a document:
About the latter end of August, a Dutch man of Warr of the burden of 160 tuñes arriued at Point-Comfort, the Cammando name Capt Jope, his Pilott for the West Indies one M' Marmaduke an Englishman . . . He brought not anything but 20. and odd Negroews, wch the Governo' and Cape Marchant bought for victual[e] (whereof he was in greate need as he p[re]tended) at the best and easyest rat[e] they could.
* Associate Professor, Boston College Law School. J.D. Harvard Law School. This Article is part of a larger project. I received many helpful comments and suggestions: I thank Eva-Maria Svensson, Sari Kouvo, and the Gothenburg University faculty of law in Sweden. I thank Maria Aristodemou, Costas Douzinas, Adam Gearey, Les Moran, Patricia Tuitt, and the Birkbeck College faculty of law in London. I thank Michele Goodwin of DePaul University College of Law in Chicago. I thank Peter Goodrich of Yeshiva University's Benjamin N. Cardozo School of Law in Manhattan. I thank Saidiya Hartman and Stephen Best of the Department of English at the University of California at Berkeley. I also thank all of my colleagues in the Redress Group convened by Hartman and Best at the Humanities Research Institute of the University of California during 2003, especially Maria Grahn-Farley.
1. Karl Marx, I Capital 176 (Ben Fowkes trans., 1990).
2. J.G. Fichte, The Science of Knowledge 5 (1794) (Peter Heath & John Lachs eds. & trans., 1982) (1794).
3. John Rolfe to Sir Edwin Sandys, January 1619, in 3 The Records of the Virginia Company of London 243 (Susan Myra Kingsbury ed., 1906) [hereinafter Rolfe to Sandys].
A legal relationship emerges ("20. and odd Negroews . . . bought for victual[e] . . .""). There is a field of knowledge, a science of right, within which that relation is said to exist. It all comes to an end with the question of reparations.
What is a legal relation? The question brings us back to the commodity that reaches its apogee in the black. What connects a document to a body of rules and to the bodies governed by its rules?
Capital becomes a system of right in and through the voice of the commodity. Commodities do speak. Commodities speak of rights (the science of right is the study of the use of words in the language of the commodity). The commodity might like to be human, but humanity, within the system of capital, is ownership. Human rights, then, are precisely what the commodity cannot possess and yet precisely what it perpetually prays to receive. The question of reparations is the expression of this contradiction. The commodity dreams of equality. The commodity is that which dreams of equality; the dream of equality, in other words, is the without which not of the commodity.
The dream is a disguised wish. The commodity hides its desire from itself through dreams and prayers for rights. The commodity dreams of equal rights, of being human, and that dream-surface of rights hides the secret shame of the commodity. The commodity's dream of equal rights is a disguise for its secret and shameful desire to remain a commodity. The commodity has been trained to be a commodity and it follows that training all the way to the end. The end is the question of reparations, but before the end is the beginning.
4. Id.
5. There is, then, a system. A system? A feeling of a center holding, a history of training that enables a feeling of collective movement. The feeling is experienced as one moves within a field in the generally accepted way. The field is the world or, more precisely, the world, and everything in it, appears to us in fields, wilds, and wastes. The juridical is a field. Agriculture is also a field. Fields can be planted with cotton and cultivated by slaves, as with plantations. A plantation is a field that is owned by someone other that the one who is made to work within that field. How to move from field to field? Gold Coast slave ships bound for cotton fields managed to navigate their way across even the most sunless seas and uncultivated oceans to sell their black cargo in the slave markets of New Orleans. There is a generally accepted way to move through the various discursive fields that are labeled juridical, just as there is a generally accepted way to move through the various fields that are labeled agricultural. As the system's population moves through its fields, wilds, and wastes it does not always perceive its training, rather, it lives its training as its future.
6. The white-over-black relationship means that there is no up from slavery story to tell. Slavery to segregation to neosegregation is white-over-black to white-over-black to white-over-black. There has been no passage of time, no progress. Slavery, segregation, and neosegregation are different names for the same S/M game of white-over-black. White-over-black is white-over-black is white-over-black. The black, then, is the highest height of the commodity.
7. See Sigmund Freud, The Interpretation of Dreams 359-74 (Joyce Crick trans., 1999).
There are objects and there are owners. When there are owners, one is either object or owner. Objects capable of ownership and exchange are commodities. One owns or does not own. The one that owns is an owner and the one that does not own is either owned or lost. Of the lost, nothing can be said. Of the owned, nothing need be said; they speak with the voice of their owners, they speak of rights. What is the origin of the commodity?
The one who would own must first create a world of objects capable of being owned. This requires, before all else, a marking of bodies. The otherwise common flesh of the human must be divided into the bodies of the owner and the owned. Race and sex, for example, are marks.\(^8\)
No *one* has the power to bind others to respecting a mark made on the earth or anything in it. One person cannot force another to respect or with respect to anything at all, at least not for long and not for life. One person may temporarily overpower another but the one must sleep sometime and during that time the other may depart, become stronger than the one, or find an ally. With each night’s dreaming, the rule and the rules of the one melt into the sea like castles made of sand. The rule of the one, then, does not allow for the reduction of the other to an object capable of being owned. The one who would own must, therefore, first find others who would own and then jointly devise a “system of marks.”\(^9\) These marks must be written on the body so that those who would own can recognize each other as owners and others as owned. Those who would *own* author a system of marks so that they can organize themselves into a single body powerful enough to force others to respect their will. The powerful group, which shares a common mark, can bind others to its will. The will of the powerful ones, the would-be owners, becomes, through force and habit and force of habit, the system of marks. The powerful group marks itself and marks its others and then forces its less powerful
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8. There is no race; there is only the pleasure of white-over-black. There is no sex; there is only the pleasure of man-over-woman. There is no class; there is only the pleasure of the extraction of surplus value, of owner-over-worker.
9. Colette Guillaumin uses the term “system of marks” to highlight the way that “[a] social relationship, here a relationship of domination, of power, of exploitation, which secretes the idea of nature, is regarded as the product of traits internal to the object which endures the relationship, traits which are revealed in specific practices.” Colette Guillaumin, *Race and Nature: The System of Marks, in Racism, Sexism, Power and Ideology* 143 (Mary Jo Lakeland trans., 1995). Maria Grahn-Farley writes of the system of marks, “[T]he system of marks naturalizes our understanding of the people marked as Women and the people marked as Colored. It does so by guaranteeing that the material treatment of the person is also what the person is seen to be.” Maria Grahn-Farley, *The Law Room: Hyperrealist Jurisprudence & Postmodern Politics*, 36 New Eng. L. Rev. 29, 31 (2001) (emphasis omitted).
others to respect the system of marks, to accept its will. The mark is forced upon the others and that *force* is the force of law and the system of property.
The powerful group of would-be owners soon mark the earth and all that is in it. These marks place everything in or out of a system of exchange. This secondary marking is seen as the birth of property.\(^{10}\) Property comes only *after* the system of marks has been written on the body. We are divided into owners and owned *before* there is property, before there can be property. The owners are the ones who bear the mark of the powerful group on their bodies. The mark is white-over-black.\(^{11}\) (“20. and odd Negroews, . . . bought for victualle . . . .”\(^{12}\)) The owned are all the others, white-over-black. The others are commodities, white-over-black. The commodity acquires the rules of its rulers, white-over-black. This acquisition or capture is seen as the rule of law. The rule of law is seen as necessary to the system of exchange, a system in which the owners seem to meet each other as equals.
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10. Property, like desire, like law, is a tie that binds. Its binding force is linked to the binding force of desire (the system of marks) and the system of law (also a matter of desire). Abolitionists and Slavemasters agree about property (although they often know little about law and desire). Abolitionist Richard Hidreth wrote, “[E]quality in general, may be resolved into equality of wealth. All depends on that. Now it is in fact clear and indisputable, that the existence of slavery in a country is the surest and most inevitable means of producing and maintaining an inequality of wealth.” *Richard Hildreth, Despotism in America: An Inquiry into the Nature, Results and Legal Basis of the Slave-Holding System in the United States* 98 (Augustus M. Kelly Publishers Reprints of Economic Classics 1970) (1854). Similarly, two years later, proslavery advocate George Fitzhugh wrote:
The Abolitionists and the Socialists, who, alone, have explored the recesses of social science, well understand that they can never establish their Utopia until private property is abolished or equalized. The man without property is theoretically, and, too often, practically, without a single right. Air and water, ‘tis generally believed, are the common property of mankind; but nothing is falser in fact as well as theory. The ownership of land gives to the proprietor the exclusive right to everything above and beneath the soil. The lands are all appropriated, and with them the air above them, the waters on them, and the mines beneath them. The pauper, to breathe the air or drink the waters, must first find a place where he may rightfully enjoy them. He can find, at all times, no such place, and is compelled, by his necessities, to inhale the close and putrid air of small rooms, damp cellars, and crowded factories, and to drink insufficient quantities of impure water, furnished to him at a price he can ill afford. . . . He is not free, because he has no where that he may rightfully lay his head. Private property has monopolized the earth, and destroyed both his liberty and equality.
*George Fitzhugh, Cannibals All! Or Slaves Without Masters* 222 (Belknap Press of Harvard University Press 1960) (1856).
11. “White” is the sadistic pleasure of the owner in owning. “Black” is the masochistic pleasure of the owned in being owned. “White-over-black” is the S/M relation between owner and owned. These terms refer to positions and pleasures, not people. I have borrowed the term “white-over-black” from Winthrop Jordan, who uses it in another context and for a different purpose. *See Winthrop D. Jordan, White Over Black: American Attitudes Toward the Negro* 1550-1812 (1995).
12. *Rolfe to Sandys*, supra note 3, at 243.
There is nothing in the rule of law, save that which has been placed there by training. And there is no there there, only bodies and pleasures. There is a body of rules, these rules are pleasures. The body of rules, the body of the law, is, literally, the desire of the rulers to rule and the desire of the ruled to be ruled. The body of the law is the desire of the owners to own and the desire of the owned to be owned. These desires, sadistic and masochistic, and perfectly complementary in nonrevolutionary situations, are experienced as the body of the law and in the bodies marked as owner and owned.
The rule seems to point in a certain direction. We follow the rule when we move in the generally accepted direction. But there is nothing in the rule itself (or in any rule for rule interpretation or in any rule for interpretation of a rule for rule interpretation and so on...) that points us in any direction whatsoever. The rule only seems to point. The direction in which it seems to point is the direction of our training. We move in the direction that we are trained to move and we call it the rule of law. We have been trained to see, and do in fact see, the rules as if they determine the circumstances of their own application.\footnote{13}{See Anthony Paul Farley, \textit{The Dream of Interpretation}, 57 U. Miami L. Rev. 685 (2003).} This is legal fetishism.
Legal concepts seem, somehow, to have relations with each other. Legal rules seem, somehow, to apply themselves to circumstances and, before so doing, make arrangements with each other regarding each rule's role in the entire process. It seems, somehow, to those who bow before the rule of law, that legal rules have a way of determining the circumstances of their own application. How is this possible? Legal relations, relations between legal concepts, are our own social relations viewed as if they were not our own social relations but were instead rational or natural relations between rules of law that seemingly organize themselves and then, uncannily, determine the circumstances of their own application.
The uncanny is strangely familiar, it is the familiar made strange. We repress our awareness of our lived experience and when we live, when we experience, we have knowing nonknowledge of what it is we experience. We know and do not know what we do. The repressed always returns. Our repressed experiences return to us and their return is often signaled by the uncanny. Our lived relations with each other are repressed through law. We describe our relations with each other as if they were relations between Rawlsian points of light, as if we were all glittering and windowless monads, as if we were all sparks floating up to heaven and lighting the world. Our worldly relations,
our worldly pleasures, are beneath notice, we repress. Legal method is the instrument of repression and, therefore, the vehicle of return. When the repressed desire returns, its vehicle is the repressing instrument itself. Our lived relations bear, therefore, an uncanny resemblance to the structure of our laws. Our legal concepts, our legal relations, arrange themselves in white-over-black.
The system of marks is the system of training. The system of property is the system of training. The system of law is the system of training. There are no systems. There is only training. We go in the direction of our training. We go in the direction of our marks. We go in the direction of our pleasure, however much that pleasure is secreted from ourselves. We move property as we move bodies, in the direction of our training, in the direction of our marks, and in the direction of our pleasure. That direction is seen as the rule of law. We live our training as our future and endlessly repeat the past. We repeat the system of marks in the system of property and we repeat the system of property in the system of law. All systems—the system of marks, the system of property, and the system of law—are repetitions of training. We live our training as our future. Every way of life is itself a form of training in following that way of life. White-over-black, for example, is a form of training, a way of life:
The everyday activity of slaves reproduces slavery. Through their daily activities, slaves do not merely reproduce themselves and their masters physically; they also reproduce the instruments with which their master represses them, and their own habits of submission to the master's authority. To [those] who live in a slave society, the master-slave relation seems like a natural and eternal relation. However, [people] are not born masters or slaves.\(^{14}\)
There is pleasure. Thus, we are trainable. We are trained in the things our trainers find useful. In this way we acquire a value, a pleasure, and an orientation within the system of marks, the system of property, and the system of law. There is a pleasure in hierarchy, in white-over-black. The pleasure of white-over-black is experienced through the system of marks. The pleasure of white-over-black is experienced through the system of property. The pleasure of white-over-black is experienced through the system of law. These systems—of marks, of property, of law—are surfaces. The pleasure of white-over-black is beneath.\(^{15}\)
The sum of our training is the sum of our hierarchies. The colorline divides the entire field of vision. The field is the world. The sys-
\(^{14}\) Fredy Perlman, *The Reproduction of Daily Life*, in *Anything Can Happen* 31 (1992).
\(^{15}\) Anthony Paul Farley, *The Black Body as Fetish Object*, 76 Or. L. Rev. 457 (1997).
tem of marks is all there is, white-over-black supercedes whatever it was that nature might or might not have created. The system of property is white-over-black. The system of law is also white-over-black, white-over-black only, and that continually. When we encounter the system of marks, the system of property, and the system of law we go in the direction of our training. In other words, we go in the direction of our pleasures, the pleasures cultivated in us, the pleasures we deny with the deliberate speed of commodities. We follow the past into our future.
If white-over-black is the general order of things, then training will generally be in the direction of white-over-black. We acquire a white-over-black orientation through training and are thus ourselves acquired by the system of marks. Once acquired, we orient ourselves within institutional spaces using our sense of white-over-black (our sense of pleasure in the white-over-black position).\textsuperscript{16} Thus, we repeat the system of marks in the system of property, and the system of property in the system of law. We see white-over-black; this is a pleasure and a form of training in itself. We distribute goods and services and fashion a system of exchange according to white-over-black; this too is a pleasure and a form of training. We respect laws respecting the distribution of goods and services and the system of exchange according to white-over-black; this is yet another form of pleasure and training. This last pleasure, the rule of law, is infinite and infinitely perverse and perversely requires the participation of the commodities themselves.
The rule of law is the secret of the commodity and its fetish. There is no rule of law. Laws do not and cannot rule anything. There are the rulers and there are the ruled and that is all, except the secret thing that goes on between the rulers and the ruled in nonrevolutionary situations. The secret thing is the pleasure of hierarchy: a pleasure experienced in the system of marks, in the system of property, and in the system of law. The pleasure of hierarchy is sadistic for those on top and masochistic for those on the bottom. For the owners, there is a sadistic pleasure in treating others as objects, as owned. For the owned, there is a masochistic pleasure in being treated as objects, as owned. Marker and marked, owner and owned, S/M, each requires the other for its own orientation.
With every move, with every turn of the page, there is the risk that one might lose one’s way. In the space between the lines we fear not because we have the ability to find our place. We find our place, we
\textsuperscript{16} Anthony Paul Farley, Cassiopeia, 9 Cardozo Women’s L.J. 423 (2003).
orient ourselves by following our pleasure. Training gives us the ability to know where we are in the system of marks; we are oriented in the direction of white-over-black. Through training, we always know where we are in the system of property; we are oriented in the direction of white-over-black. And because of our training we always know where we are in the system of law; we are oriented in the direction of white-over-black. We live our training as our future. We point eternally in the direction of white-over-black. We point eternally in the direction of our training.
A fetish is an artifact that is treated as if it were not the product of human work. The fetishist forgets the creation of the artifact and then absurdly bows down before his or her own work. Law, looked upon as if it were something other than the force of the system of marks and the system of property, is a fetish. Law, looked upon as if it were something other than white-over-black, is a fetish. Law is white-over-black, white-over-black only, and that continually.
Law only appears after the system of marks and the system of property. Law is the way that awareness of the system of marks and the system of property is banished from consciousness. Law is always repression and so only appears in the form of the fetish. There is no need, therefore, to critique or expose legal fetishism. Law cannot be anything other than fetish. Law is the most important fetish. The desire for the rule of law is the unconscious desire for white-over-black. Law is the way we make ourselves unconscious of our pleasure in white-over-black.
Law begins to look like a system when those who are placed at the bottom begin to dream of equal rights. The dream of equal rights requires a system of law and a science of right in which the legal relation of equality can exist and make sense. The dreamers dream for the entire system, they dream the system into being. Without the dreamers and their dream there is no system of law, there are only chaotic statements accompanying the fact of movement in the direction of our hierarchies.\textsuperscript{17} With the dreamers and within their dream,
\textsuperscript{17} Saidiya Hartman is illuminating:
The task . . . is to discern the ways in which emancipatory discourses of rights, liberty, and equality instigate, transmit, and effect forms of racial domination and liberal narratives of individuality idealize mechanisms of domination and discipline. It is not simply that rights are inseparable from the entitlements of whiteness or that blacks should be recognized as legitimate rights bearers; rather, the issue at hand is the way in which the stipulation of abstract equality produces white entitlement and black subjection in its promulgation of formal equality.
Saidiya V. Hartman, Scenes of Subjection: Terror, Slavery, and Self-Making in Nineteenth-Century America 116 (1997).
there appears a system that seems coherent, even beautiful, but for a few changes, but for equality of right. It is in this way that the commodity gives up the ghost.
Equality of right leads to questions of redress and reparations, and the question of reparations for slavery leads to the end of the dreamers, and thus to the end of the dream. When the commodity prays for reparations and redress it prays for reparations and redress for having been made a commodity. To repair slavery is to end inequality and the end of inequality is the end of right altogether.
The question of reparations forces the commodity to confront the rule of law and its own role in maintaining the system of white-over-black. The question of reparations is uncanny. The question of reparations is uncanny because it marks the place and time that the commodity experiences its estrangement from itself. The commodity, as stated earlier, dreams of rights. The somnambulant path of the law leads to the question of reparations because the law promises a remedy for every wrong. The commodity dreams of equality and, therefore, of reparations. Rights are the manifest content of the commodity’s dreams and all the commodity ever speaks of. Below the surface of the commodity’s dreams of equal rights, however, there is the latent desire for white-over-black. It is in this way that the system of capital acquires its spirit.
Only the injured dream of rights.\textsuperscript{18} The injury occurs when and where the mark is attached to the body. The system of marks, then, is a systematic injury; white-over-black. That injury can be understood by examining the system of property and the way property is organized as white-over-black. Pleasure is a many-splendored thing. Everything can be made a pleasure. There are no limits to desire. Even injuries can become desired pleasures. White-over-black is the injury that begins the dream of rights. The injury, however, seems to fade from consciousness when one turns to the system of law. This is the secret of the commodity and its fetish.
The commodity is made to desire equality. The commodity has less and so it seeks to balance an equation. The commodity has been marked \textit{as} less, as white-over-black. The commodity has also been marked \textit{for} less; property flows in the direction of white-over-black. The commodity desires equality. The commodity presents its suffering, its nonownership, as a prayer for legal relief from the inequality
\textsuperscript{18} See generally, Anthony Paul Farley, \textit{Lacan & Voting Rights}, 13 \textit{Yale J.L. \& Human}. 283 (2001); Maria Grahn-Farley, \textit{A Theory of Child Rights}, 57 \textit{U. Miami L. Rev}. 867 (2003).
that it experiences as its injury. The commodity prays for equal rights but rights cannot be equal.
Rules are endlessly interpretable. Desire sorts them out. Desire is cultivated and educated in a way that leads us in certain directions, directions that those who cultivate and educate us find useful. Interpretation comes to an end when we move in the generally accepted way. We move in the generally accepted way when our training, made possible by and through the cultivation and education of our desire, has proceeded in the generally accepted way. We interpret and follow a rule correctly when we move in the generally accepted way. We move in the generally accepted way when our training has resulted in the acquisition of the usual orientation, white-over-black. Generally, our institutions are white-over-black and that is the orientation required to move through them in the generally accepted way. The sum of our institutions is the sum of our training. Our training in how to move through our institutions is a training in white-over-black. Our institutions cultivate and educate the desire for white-over-black. To move in a white-over-black direction is to move in the generally accepted way. White-over-black is always the correct interpretation of every rule of law. To follow our desire is to arrive at white-over-black again and again and again and to infinity.
A right will always be interpreted and followed in the direction of white-over-black and so rights cannot be equal. We pursue our pleasure; that is what we have been trained to do. If our training is white-over-black and we have been successfully trained, then we will move in the direction of white-over-black and equal will always end in white-over-black. The sum of our institutions is the sum of our training. The sum of our training reveals the totality of our pleasures. We follow our pleasure to infinity and thus endlessly repeat our training. Our institutions are white-over-black. All of them. Our training is white-over-black. Our pleasure is white-over-black. Our desire is white-over-black. We follow white-over-black and thus endlessly project our past into our future. We do this through rights.
To request equality is to surrender before one begins. To request equality is to grant one’s owners the power to grant or deny one’s request. To grant one’s owners such a power is to surrender oneself to one’s owners entirely and completely. To grant such a power is to accept one’s status as a commodity, a thing the future of which is rightly left to the persons granted the power to grant or deny the request for equality. To grant such a power is to accept one’s future, and therefore oneself, as owned by the ones granted the power to grant or withhold one’s request for equality. To pray for legal redress
is to bow before the authority of law. There is no mystery in the authority of law. Law's authority is only the surrender-and-training of the commodity. Law is only the relation of white-over-black to white-over-black to white-over-black. When we follow a legal rule we follow only the track that *we have ourselves laid down*. In other words, we ourselves are the track, we become the track when we lay down, and we follow that track white-over-black into the future that lasts forever.
Sometimes training goes awry and things fall apart. Sometimes the "caged anger within" escapes.\textsuperscript{19} The words of J.G. Fichte, although written in another context, are nonetheless helpful in understanding such moments:
I would be sorry if they understood me. Until now it has gone according to my wishes with these people; and I hope even now that this exordium will so bewilder them that from now on they see nothing but letters on the page, while what passes for mind in them is torn hither and thither by the caged anger within.\textsuperscript{20}
The exordia penned by commodities that realize and refuse their roles bewilder and leave "what passes for mind" in their would-be-owners "torn hither and thither by the caged anger within."\textsuperscript{21} A passage in a letter penned by political prisoner Afeni Shakur during the conspiracy trial of the Black Panther 21 is an open window the moment that the commodity realizes and refuses its role:
We know that the 13th, 14th and 15th amendments did not liberate us—that they only legalized slavery and expanded the Dred Scott decision to include the Indians, Spanish speaking and poor whites. We know that things have not gotten any better—but only progressively worse. We know that it is the rich man’s courts, laws, and justice. It is his skies and air—we can only look at it and breathe it if he says so . . . . We know that the Almighty dollar which everyone is taught to revere is only guaranteed by slavery and exploitation. We know that we live in a world inhuman in its poverty.\textsuperscript{22}
The question of poverty concerns the relation between persons and property. There is no relation between persons and property. Nature
\textsuperscript{19} Mtayari Shabaka Sundiata, a citizen of the Republic of New Africa, described Assata Shakur of the Black Liberation Army as having “shattered the [Bastille] of ignorance.” Mtayari Shabaka Sundiata, \textit{By Choice You Are Assata}, in \textit{HAULING UP THE MORNING: WRITING & ART BY POLITICAL PRISONERS & PRISONERS OF WAR IN THE U.S.} 334, 335 (Tim Blunk & Raymond Luc Levasseur eds., 1990). The Republic of New Afrika was described as “[a] small nation in the minds of 30 million people.” \textit{Id.} at 279.
\textsuperscript{20} \textsc{Fichte}, supra note 2, at 5.
\textsuperscript{21} \textit{Id.}
\textsuperscript{22} Afeni Shakur, \textit{We Will Win: Letter from Prison}, in \textit{THE BLACK PANTHERS SPEAK} 161, 162 (Philip S. Foner ed., 1995) (open letter written during the Panther 21 conspiracy trial in New York).
does not produce property. Property, considered as a natural object, does not exist. The line drawn by the law from persons to property, therefore, connects nothing, because there is nothing to connect. Relations between persons and property do not exist. What does exist is a relation between persons that is treated *as if* it were a relation between objects. The laws we lay down do not connect persons to property. We ourselves connect persons to property when we lay down before the law.
The act of laying down before the law occurs before there is law, before there is anything before which to lay down. A person lays down and becomes a thing, a thing that lays down, a commodity. The commodity lays down and thus makes itself a thing-that-can-be-owned. Ownership, then, is a relation between persons that is disguised as a relation between objects of property. And those objects of property are themselves disguised as legal relations.
Ambiguity always exists.\(^{23}\) Everything has its ambiguities. The ambiguities are too many to be named, counted, or categorized. The ambiguities are endlessly available for interpretation. To be oppressed is to have the ambiguities, which are infinite as well as indefinable, interpreted in a way that oppresses. A right is always ambiguous and, therefore, available to be interpreted. An equal right or a right to equality is, likewise, always ambiguous and interpretable. Equality can be anything at all. To be oppressed is to have one’s rights interpreted oppressively. The ubiquity of ambiguity means that equality and right are both available for oppressive interpretations. The ambiguities are where desire prepares its endless strategies and masquerades. Equality is the most covert hiding place for, and the most effective mask of, oppression. Oppressive interpretations marshal the ambiguities against the oppressed.
When the commodity prays for legal rights it bows down before the rule of law. If the ambiguities were not always read as white-over-black, then the commodity would have no need to pray for equal rights. The rule of law, like everything, is filled with ambiguities. The ambiguities are resolved into white-over-black. The rule of law is nothing other than the ambiguities and the ambiguities are nothing other than white-over-black. Prayers for relief will be answered with white-over-black when relief is granted and when it is not. A rule granting an equal right is as available for a white-over-black interpretation as is a rule mandating an unequal right. Equality is as available for white-over-black as is inequality. The ambiguities are everywhere
\(^{23}\) See generally Grahn-Farley, *supra* note 9.
and always available for white-over-black. The ambiguities are the shape of our desire. The ambiguities show us our own desire. In a white-over-black situation there is white-over-black. We live in a white-over-black situation. There is, therefore, white-over-black and it is everywhere because the ambiguities are everywhere, especially in those places we pretend that they are not—for example, the rule of law. Law is the ambiguity that pretends most intensely not to be. Law is white-over-black.
Prayers for relief can only be answered in the form of white-over-black. These prayers are acts of state worship (and ecstatic exhibitions of the commodity’s death-drive).24 The state is the desire for white-over-black. Rule fetishism (fundamentalism and fealty to the “system”) is always simultaneously the hiding place and stronghold of the will to oppress.
The commodity is the soul of a soulless world. A. G. Goikhbarg observed:
With the grace of God, the feudal state was a religious state. On the other hand, the bourgeoisie designated its state as a Rechtsstaat, as a state of law. Religion and law are the ideologies of the suppressing classes, the latter gradually replacing the former. Since we must, at the present time, fiercely struggle against religious ideology, we will, in the future, have to struggle against the ideology of law to a considerably greater degree. Any conscious proletarian either knows or has heard that religion is the opium of the people. But only a few . . . know that law is an even more poisoning and stupefying opium for the people.25
The question of reparations reveals the state for what it is and presents the commodity with a choice. Reparation for slavery requires the undoing of white-over-black and that requires the end of the system of marks, the end of the system of property, and the end of the system of law. The state will not grant the prayer for reparations; it cannot without destroying itself. Without white-over-black the state withers away. The commodity’s choice is to remain awake and force the undoing of white-over-black and all its reifications or remain asleep and continue to dream of equal rights.26
24. Anthony Paul Farley, *Amusing Monsters*, 23 Cardozo L. Rev. 1493 (2002).
25. A.G. Goikhbarg, *Justice, the Ideology of Law, and Revolution* (1924), in *Soviet Political Thought: An Anthology* 121 (Micheal Jaworskyj ed. & trans., 1967). In the theology of liberation we find the sighs of the oppressed directed toward the destruction of the system that oppresses. See, e.g., James H. Cone, *Black Theology & Black Power* 143 (1969) (“[I]f the system is evil, then revolutionary violence is both justified and necessary.”).
26. The following autobiographies, and words of Black Panthers are open windows into the soul of the commodity that realizes and refuses its role: George Jackson, *Soledad Brother: The Prison Letters of George Jackson* (1970); George L. Jackson, *Blood in My Eye*
The commodity has been trained to be the commodity, to be white-over-black. The commodity that prays for relief, as has been shown, prays, as it has been trained to pray, for white-over-black. The commodity prays in the ecstasy of total surrender, of infinite masochism or inverted sadism. The white-over-black that the commodity receives, whether in the form of equal rights or in the form of the denial of equal rights, is the secret face of its own desire for white-over-black.
White-over-black is the form of the situation that leads the commodity to pray. White-over-black, being the form of our institutional situations, is the form of our training and, therefore, the form of our desire. White-over-black fills the ever-present ambiguities and all is resolved into the pleasure of white-over-black, the words are simply the sweet nothings of a relief that serves only to prolong the agonizing pleasure of white-over-black. The ambiguities are everywhere. Without the commodities’ dream-work, the system would have no coherence, no consistency, no foundation. Indeed, it would not be a system, it would only be an obvious and insane and random war of all against all.\footnote{Jean Genet, in his study of the Black Panthers, observed, “In the United States the Blacks were the characters inscribed on the whiteness of America, giving meaning to that wan continent.” \textit{Jean Genet, Prisoner of Love} 221 (Barbara Bray trans., 1992).}
The feeling that the “system” is a “system” is produced by the
\begin{itemize}
\item (1972); \textbf{Angela Y. Davis et al.}, \textit{If They Come in the Morning: Voices of Resistance} (1971); \textbf{Angela Davis}, \textit{Angela Davis: An Autobiography} (1974); \textit{The Angela Y. Davis Reader} (Joy James ed., 1998); \textbf{Assata Shakur}, \textit{Assata: An Autobiography} (1987); \textbf{Evelyn A. Williams}, \textit{Inadmissible Evidence: The Story of the African-American Trial Lawyer Who Defended the Black Liberation Army} (1993); \textbf{Huey P. Newton}, \textit{Revolutionary Suicide} (1995); \textit{To Die for the People: The Writings of Huey P. Newton} (Toni Morrison ed., 1995); \textbf{Bobby Seale}, \textit{Seize the Time} (1970); \textit{Bobby Seale, A Lonely Rage: The Autobiography of Bobby Seale} (1978); \textbf{Eldridge Cleaver}, \textit{Soul on Ice} (1968); \textbf{Eldridge Cleaver}, \textit{Post Prison Writings} (Robert Scheer ed., 1968); \textbf{H. Rap Brown}, \textit{Die Nigger Die!} (1969); \textbf{David Hilliard & Lewis Cole}, \textit{This Side of Glory: The Autobiography of David Hilliard and the Story of the Black Panther Party} (1993); \textbf{William Lee Brent}, \textit{Long Time Gone: A Black Panther’s True-Life Story of His Hijacking and Twenty-Five Years in Cuba} (1996); \textbf{James Carr}, \textit{Bad, The Autobiography of James Carr} (1975); \textbf{Elaine Brown}, \textit{A Taste of Power: A Black Woman’s Story} (1994); and \textbf{Mumia Abu-Jamal}, \textit{Live from Death Row} (1995).
Other useful works about the Black Panthers include: \textbf{Bettina Aptheker}, \textit{The Morning Breaks: The Trial of Angela Davis} (Cornell Univ. Press 1999) (1975); \textbf{Gregory Armstrong}, \textit{The Dragon Has Come} (1974); \textbf{Paul Liberatore}, \textit{The Road to Hell: The True Story of George Jackson, Stephen Bingham, and the San Quentin Massacre} (1996); \textbf{Black Power, White Blood: The Life and Times of Johnny Spain} (Loï Andrews ed., 1996); \textit{Still Black, Still Strong: Survivors of the War Against Black Revolutionaries} (Jim Fletcher et al. eds., 1993); \textbf{Eric Cummins}, \textit{The Rise and Fall of California’s Radical Prison Movement} (1994); \textbf{William L. Van DeBurg}, \textit{New Day in Babylon: The Black Power Movement and American Culture, 1965-1975} (1992); \textbf{Gilbert Moore}, \textit{Rage} (1993); and \textbf{Gene Marine}, \textit{The Black Panthers: Eldridge Cleaver, Huey Newton, Bobby Seale, A Compelling Study of the Angry Young Revolutionaries Who Have Shaken a Black Fist at White America} (1969).
\end{itemize}
commodities themselves through their dream-work, through their dreams of equal rights. And if they left off dreaming of equal rights?
The system is a desire for death. Freedom from ambiguity comes only with death. Death balances every equation. An essay by Black Panther Linda Harrison, written in 1969, is another open window into the moment the commodity realizes and refuses its role:
All [people] can die, and this is the only thing that equalizes them. Under many systems those with money die less often. Any confrontation which gives [people], no matter what their social or economic position, an equal chance to die under equal conditions is uplifting for those who consider themselves at the bottom and degrading and toppling for those who are at the top.\textsuperscript{28}
Death is what happens when the commodity realizes and refuses its role.\textsuperscript{29} The commodity is the system’s repressed death-drive. And the repressed always returns. And when it returns it returns through the vehicle of the instrument of the repression itself. The commodity dons black flesh and then it begins. There is a specter haunting the United States, the specter of the commodity, the spectral return of the repressed, the specter of servile insurrection. Black Panther Connie Matthews, in a speech delivered at the Vietnam Moratorium demonstration at San Jose State College on October 15, 1969, spoke with an awareness of the death that comes with the refusal of the commodity form:
[G]et with it and educate your people because the Black Panther party is out there in the front but we can’t stay out there in the front forever. We will stay until everyone of us is killed or imprisoned by these racist pigs, but then someone will have to take over. So don’t let us all die in vain.\textsuperscript{30}
\textsuperscript{28} Linda Harrison, \textit{On Cultural Nationalism}, in \textit{The Black Panthers Speak}, supra note 22, at 151.
\textsuperscript{29} Ward Churchill and Jim Vander Wall write:
The FBI has admitted that, during the COINTELPRO era proper (1956-71), it ran some 295 distinct COINTELPRO operations against individuals and organizations [that were] part of the black liberation movement. Of these, 233 were aimed at the [Black Panther Party] between 1967 and 1971. The total number of fatalities resulting from these brutally illegal activities on the part of the nation’s “top law enforcement agency” will probably never be known, nor will the number of years spent by innocent people railroaded into prison cells or the number of lives wrecked in more subtle ways.... Under the weight of such ruthless, concerted and sustained repression—and despite the incredible bravery with which many of its members attempted to continue their work—the Black Panther Party simply collapsed.
\textit{Ward Churchill & Jim Vander Wall, The COINTELPRO Papers: Documents for the FBI's Secret Wars Against Dissent} 164 (1990) (footnote omitted).
\textsuperscript{30} Connie Matthews, \textit{The Struggle Is a World Struggle}, in \textit{The Black Panthers Speak}, supra note 22, at 159 (speech delivered at the Vietnam Moratorium demonstration, San Jose State College, October 15, 1969).
Matthews was prophetic. The Black Panther Party could not remain "out there" in front forever.\textsuperscript{31} A war was waged against them and all who refused the commodity form that they had been assigned.\textsuperscript{32} Those who realized and refused the commodity form were killed\textsuperscript{33} or imprisoned.\textsuperscript{34} But the system of marks that is the system of property that is the system of law continues to produce, every now and then, commodities that realize and refuse their role.\textsuperscript{35}
\textsuperscript{31} FBI Director J. Edgar Hoover wrote of the Bureau's "goals" in a letter dated March 4, 1968:
1. Prevent the coalition of militant black nationalist groups. In unity there is strength; a truism that is no less valid for all its triteness. An effective coalition of black nationalist groups might be the first step toward a real "Mau Mau" in America, the beginning of a true revolution.
2. Prevent the rise of a "messiah" who could unify, and electrify, the militant black nationalist movement. Malcolm X might have been such a "messiah;" he is the martyr of the movement today. Martin Luther King, Stokely Carmichael, and Elijah Muhammed all aspire to this position. Elijah Muhammed is less of a threat because of his age. King could be a very real contender for this position should he abandon his supposed "obedience" to "white, liberal doctrines" (nonviolence) and embrace black nationalism. Carmichael has the necessary charisma to be a real threat in this way.
3. Prevent violence on the part of black nationalist groups. . . . Through counterintelligence it should be possible to pinpoint potential troublemakers and neutralize them before they exercise their potential for violence.
4. Prevent militant black nationalist groups and leaders from gaining respectability, by discrediting them to three separate segments of the community. The goal of discrediting them black nationalists must be handled tactically in three ways. You must discredit these groups and individuals to, first, the responsible Negro community. Second, they must be discredited to the white community . . . . Third, these groups must be discredited in the eyes of the Negro radicals . . . .
\textit{Churchill \& Vander Wall, supra} note 29, at 110-11.
\textsuperscript{32} Huey P. Newton, \textit{War Against the Panthers: A Study of Repression in America} (1996).
\textsuperscript{33} Jean Genet observed this death during his time in the United States with the Black Panthers:
Deaths and other acts of aggression showed the Blacks as more and more threatening, less and less in awe of the Whites. The Whites sensed that a real society was coming into being not far away. It had existed before, but then it had been timid attempt at counterfeiting white society. Now it was breaking away, refusing to be a copy. And not only outwardly, in everyday life, but also inwardly, in the creation of a myth for which Malcolm X, [Martin] Luther King himself, and N'Krumah all acted as models.
\textit{Genet, supra} note 27, at 84.
\textsuperscript{34} See Ward Churchill \& Jim Vander Wall, \textit{Agents of Repression: The FBI's Secret Wars Against the Black Panther Party and the American Indian Movement} (1990); Churchill \& Vander Wall, \textit{supra} note 29; \textit{Cages of Steel: The Politics of Imprisonment in the United States} (Ward Churchill \& J.J. Vander Wall eds., 1992); M. Wesley Swearingen, \textit{FBI Secrets: An Agent's Expose} (1995).
\textsuperscript{35} Assata Shakur of the Black Liberation Army discussed the way that the conditions that produce the commodity also go awry and produce black liberation armies:
The idea of a Black Liberation Army emerged from conditions in Black communities: conditions of poverty, indecent housing, massive unemployment, poor medical care, and inferior education. The idea came about because Black people are not free or
rations can only be answered with the end of the system of marks, the end of the system of property, and the end of the system of law. The wide-awake world of the former commodity is the end of marks, the end of property, and the end of law:
We realize that freedom is a duty and it is our duty to get this freedom for our people and to yield to no one in obtaining it. We will beggars no longer. You brought the nigger into existence and now finally, we are destroying him. We know that your economic system is a chain around our necks and we are breaking all of your chains.\textsuperscript{36}
The question of reparations can only be answered by the commodity that wakes up from the dream of equal rights. The Black Panther Party understood that the system of law would not commit suicide:
You are the state and we say “All Power to the People” and the people will have the power. But you will try to stop us. You will oppress us until we stop you and we will stop you. History shows that wars against oppression are always successful. And there will be a war—a true revolutionary war—a bloody war. No one not you nor us nor anyone in this country can stop it from occurring now. And we will win. We admit all of this.\textsuperscript{37}
The question of reparations is produced by the system of marks. The question of reparations is produced by the system of property. The question of reparations is produced by the system of law. The answer to the question requires the end of law, the end of property, and the end of marks. The answer to the question of reparations is the end of white-over-black. Of an earlier waking moment in the life of the commodity, C.L.R. James wrote:
The slaves destroyed tirelessly. . . . [T]hey were seeking their salvation in the most obvious way, the destruction of what they knew was the cause of their sufferings; and if they destroyed much it was because they had suffered much. They knew that as long as these plantations stood their lot would be to labour on them until they dropped. The only thing was to destroy them.\textsuperscript{38}
equal in this country. Because ninety percent of the men and women in this country’s prisons are Black and Third World. Because ten-year-old children are shot down in our streets. Because dope has saturated our communities, preying on the disillusionment and frustration of our children. The concept of the BLA arose because of the political, social, and economic oppression of Black people in this country. And where there is oppression, there will be resistance. The BLA is part of that resistance movement. The Black Liberation Army stands for freedom and justice for all people.
\textit{Shakur, supra} note 26, at 169.
\textsuperscript{36} Shakur, \textit{supra} note 22, at 163.
\textsuperscript{37} \textit{Id.}
\textsuperscript{38} C.L.R. James, \textit{The Black Jacobins: Toussaint L’Ouverture and the San Domingo Revolution} 88 (Vintage Books 1989) (1963). The commodities, to save their souls, destroy the system of marks, the system of property, and the system of law, in sum, they destroy
The commodity that realizes and refuses its commodity form is the end of the system of marks, the system of property, and the system of law.
Every mark is an attack. Every claim of ownership is an attack. Every law is an attack. Rule of law is a lie, perhaps the longest lie. The Earth, and all that is in it, belongs to everyone. There is as much and as good for everyone. There is as much and as good for all of us to have and to give as fits our infinitely varied needs and incalculably diverse abilities.
|
Motorola's IC Remote Receiver
Servicing CB Transceivers
Quadraline Four-Channel Sound
When people turn to you to make things right again...
use GE receiving tubes
(made by professionals for professionals)
TUBE PRODUCTS DEPARTMENT • GENERAL ELECTRIC COMPANY
OWENSBORO, KENTUCKY 42301
GENERAL ELECTRIC
## VHF TUNER 94C281-16™ 10/74
### SCHEMATIC NOTES:
- PART NOT SHOWN IN PICTORIAL WIRE SYSTEM
- ALL RESISTORS ARE OHMS UNLESS OTHERWISE INDICATED
- RESISTOR VALUES ARE IN OHMS (K = 1000)
- CAPACITORS ARE IN MICROFARADS (UF) UNLESS OTHERWISE INDICATED
- DC VOLTAGES MEASURED WITH VTM
- ALL DC VOLTAGES ARE MEASURED WITH RESISTORS AND NO JUMPS, DC VOLTAGES ARE NOT MEASURED WITH RESISTORS AND NO JUMPS
- DC VOLTAGES ARE NOT BOMBED MEASUREMENTS AND NO SCALING
- SYMBOLS: SEE COLLECTION TRANSLATION INDEX
- WARNING: SEE COLLECTION TRANSLATION INDEX
- SYMBOLS: SEE COLLECTION TRANSLATION INDEX
### SYMBOL DESCRIPTION
| SYMBOL | DESCRIPTION | ADMIRAL PART NO. |
|--------|-------------|------------------|
| R100 | 500k—control w/switch | 75A101-08 |
| R106 | 33k—video control | 75A112-13 |
| R141 | height control | 75A101-16 |
| R142 | focus control | 75A101-09 |
| R166 | vert lim control | 75A101-17 |
| C100 | 0.01µf—disc N100 | 65A101-01 |
| C432 | 68µf, disc per disc N100 | 65A101-02 |
| C504a | 150µf, 150v elect | 67A30-11 |
| C504b | 150µf, 150v elect | 67A30-11 |
| L102 | quad coil | 72A132-77 |
| L103 | 100pf—quad trap | 72A296-4 |
| L203,304 | IF aformer | 72A132-72 |
| L401 | horiz lock coil | 94A17-19 |
| T201 | 1st IF output aformer | 79A138-5 |
| T301 | 1st IF aformer | 72A132-76 |
| T401 | 2nd IF output aformer | 72A132-75 |
| T401 | vert output aformer | 75A139-4 |
| T402 | 2nd IF output aformer | 75A139-2 |
| T403 | horiz output aformer | 75A138-15 |
| T404 | tuner UHF | 94A361-3 |
| T405 | tuner UHF | 94A361-3 |
### RUN CHANGES
Start of production
**TEKFAK**
COMPLETE MANUFACTURER'S CIRCUIT DIAGRAMS AND TECHNICAL INFORMATION FOR 6 NEW SETS
**SCHEMATIC NO.**
| ADMIRAL TV Chassis TR3 | 1399 |
| PANASONIC Color TV Model CT-771 | 1402 |
| AIRLINE TV Models GCI-11102A, 102B, 132A, 132B | 1403 |
| PHILCO-FORD Color TV Chassis 22LT45/R | 1401 |
| EMERSON Color TV Chassis 30K17 | 1400 |
| RCA SALES CORP TV Chassis KCS 186 Series | 1404 |
**FEBRUARY • 1972**
**1399**
**ADMIRAL**
TV Chassis TR3
**COPYRIGHT 1972 BY ELECTRONIC TECHNICIAN/DEALER • 1 EAST FIRST STREET. DULUTH. MINNESOTA 55802**
VHF TUNER 94D416-1
UHF TUNER 94C402-1
Copyright 1972 by Electronic Technician/Dealer * 1 East First Street, Duluth, Minnesota 55802
NOTES:
1. ALL RESISTORS ARE 1/2 WATT, 10%, UNLESS OTHERWISE NOTED.
2. ALL CAPACITORS ARE IN MFD, UNLESS OTHERWISE NOTED.
3. CAUTION: USE TEST EQUIPMENT WITH PROPER GROUNDING.
4. ALL VOLTAGE READINGS WITH "V" PLACED BETWEEN THE POINTS INDICATED B CHASSIS GND, WITH NORMAL SIGNAL INPUT.
5. INDICATES VOLTAGE READINGS TAKEN WITH BRIGHTNESS CONTROL AT MID-POSITION (FULLY CW).
6. INDICATES VOLTAGE READINGS TAKEN WITH BRIGHTNESS CONTROL AT MINIMUM POSITION (FULLY CCW).
7. INDICATES VOLTAGE READINGS TAKEN WITH COLOR BAR GENERATOR PRODUCING 30PPF AT TP03.
8. WAVEFORMS ARE TAKEN WITH NORMAL SIGNAL INPUT.
9. LINE VOLTAGE INPUT SET AT 120 VAC.
10. INDICATES VOLTAGES TAKEN WITH NOISE CONTENT OF THE SIGNAL WIDELY VARIED AND ARE AVERAGE READING.
11. INDICATES THESE VOLTAGES WILL VARY WITH BACKGROUND.
CONTROL SETTING:
1. ADJUSTED AT FACTORY IF NECESSARY TO SET FOCUS CONTROL RANGE.
2. IF/INDICATES THE VOLTAGE WILL VARY WITH FINE TUNING SETTING FROM 0 TO 100%.
3. ALL WAVEFORM MEASUREMENTS ARE GIVEN IN MICROSECONDS. NUMBERS IN CIRCLES OR SQUARES IDENTIFY WAVEFORM OBSERVATION LOCATIONS.
4. ALL WAVEFORM MEASUREMENTS ARE GIVEN WITH WAVEFORM PHOTOGRAPHS.
MOST IN EARLY SETS, V101 WAS 50P1 LATER INTERCHANGEABLE TYPE SHOWN ON SCHEMATIC IS DECOMPOSABLE REPLACEMENT.
## COMPLETE MANUFACTURERS' CIRCUIT DIAGRAMS AND TECHNICAL INFORMATION FOR NEW SETS
### PHILCO-FORD PART NO.
| SYMBOL | DESCRIPTION | PHILCO-FORD PART NO. |
|--------|-------------|----------------------|
| C204A | B, C, D - 20µf/200, 15µf/390, 50µf/200. | 30-2016-11 |
| C207 | 500µf/150, 500µf/150, 100µf/150, B+ filter | 32-2016-8 |
| C208 | 10µf/1000 | 42-2136-8 |
| ICB1 | 1-CB 4.5MHz amp/demod | 46-5002-B |
| ICB2 | 2-CB 4.5MHz amp/demod | 46-5002-C |
| L4 | 1a-1st video IF | 32-495-7 |
| L5 | 1b-2nd video IF | 32-495-8 |
| L17 | 4.5MHz strip | 32-488-3 |
| L18 | 10MHz strip | 32-488-9 |
| L41 | hard hold | 32-489-1 |
| L52 | 1st chroma | 32-489-11 |
| L53 | sound take off | 32-493-8 |
| L54 | tint take off | 32-493-11 |
| L55 | chroma take off | 32-487-83 |
| L100 | 3.58MHz oscillator | 32-492-7 |
| L101 | 10MHz strip bypass | 32-492-8 |
| RT200 | degaussing | 33-1376-6 |
### TUBE & TRANSISTOR RESISTANCES
| TRANSISTOR | FUNCTION | E | B | C |
|------------|----------|---|---|---|
| G1 | 1ST VIF | 330 | 1150 | 1.2K |
| G3 | 2ND VID | 330 | 1150 | 950 |
| G4 | AGC GATE | 1150 | 1300 | 25K |
| G6 | AGC | 700 | 1350 | 1400 |
| G8 | 1ST VID | 1150 | 1150 | 1100 |
| Q41 | SYNC SEP | 0 | 1300 | 25K |
| Q92 | DELAY LINE DRIVER | 3.0 | 3300 | 200 |
| Q92 | COLOR KILLER | 2.9K | 4.4X | 1.6K |
| Q93 | BURST AMP | 47K | 4.7K | 13K |
| Q95 | 1ST CHROMA | 69 | 1.7K | 1.4K |
| Q96 | BLANKER | 68 | 1.6X | 2.8K |
| Q200 | ACTIVE FILTER | 245 | 1350 | 3.4K |
### Waveforms
These waveforms were taken with the sync and AGC control adjusted for an approximate peak-to-peak output of two volts at the video detector, using an air signal. Do not reset AGC control when using color bar generator. All monochrome voltages taken with an air signal and all chroma voltages taken with a color bar generator connected to the antenna input terminals. The chroma and burst voltages were taken with the AGC control set for 0.3V peak-to-peak at center tap of chroma control. The M102 and the tint control set for positive tint bars (approximately 10% range). The sweep output is set at 1.5 VDC at M109, all other controls set for normal viewing. The frequencies shown are those of the waveforms...not the sweep rate of the oscilloscope. All voltages taken with a wide band scope having a 5 MHz bandwidth similar to B&K Model 1450. Line voltage 120V.
---
**COPYRIGHT 1972 BY ELECTRONIC TECHNICIAN/DEALER • 1 EAST FIRST STREET, DULUTH, MINNESOTA 55802**
| TUBE | FUNCTION | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 |
|---------|------------------------|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|
| V41 | VERT OUT/OSC | F | *3.75M | — | 17K | — | *2.5M | *2.5M | 20k | 1.6K | *800K | 0 | F |
| V42 | HORZ OSC/REACT | 10K | *1.65M | 12K | F | F | 50K | 0 | 580 | *1.4M | | | |
| V91 | COLOR DIFF. AMP | 30K | 30K | 30K | F | F | 1.1M | 150 | *1.1M | *950K | | | |
| V92 | VIDEO OUTPUT | 700 | *28K | 700 | F | F | 22k | 12K | 725 | | | | |
| V200 | HORZ OUTPUT | 0 | 0 | 20K | 0 | *900K | — | *900K | 0 | 20K | 0 | | |
| V201 | DAMPER | 0 | — | — | 16K | — | *800K | — | 16K | — | | | |
**TUBE RESISTANCES**
- **AND DETECTOR PANEL**
- **CHROMA AND SOUND PANEL**
- **CONVERGENCE PANEL**
**NOTES:**
1. ALL VOLTAGES TAKEN WITH NO SIGNAL UNLESS OTHERWISE INDICATED.
2. MEASUREMENTS ARE TAKEN WITH SWITCHES IN POSITION SET FOR NORMAL.
3. RESISTANCES ARE MEASURED WITH VIDE AND CONVERGENCE PANEL DECONNECTED.
4. STAR (*) INDICATES COMPONENTS ON UPPER SIDE OF PANEL.
5. STAR (Q) INDICATES COMPONENTS ON LOWER SIDE OF PANEL.
6. DO NOT MEASURE VOLTAGES AT PINS OF IC'S IF IC IS NOT CONNECTED TO CIRCUIT PIN.
7. OPTIONAL SAFETY DEVICES WITH EXACT SPECIFIED PART INDICATED IN PARTS LIST HIGH VOLTAGE COMPONENT.
**PHILCO-FORD**
Color TV Chassis
22LT45/R
COPYRIGHT 1972 BY ELECTRONIC TECHNICIAN/DEALER • 1 EAST FIRST STREET, DULUTH, MINNESOTA 55802
NOTE:
1. RESISTANCES ARE SHOWN IN OHMS, K=1,000 M=1,000,000
2. ALL RESISTORS ARE THE CARBON FILM RESISTOR UNLESS OTHERWISE NOTED
3. 1W = 1 WATT SOLID RESISTOR
1/4W = 1/4 WATT SOLID RESISTOR
METAL OXIDE RESISTOR
1/8W = 1/8 WATT SOLID Resistor
3. ALL RESISTORS WITHOUT WATTAGE INDICATION ARE 1 WATTS
4. CAPACITANCES ARE SHOWN IN F = 10^-15
UNLESS OTHERWISE NOTED P = 10^-12 F
5. CAPACITORS ARE CERAMIC CAPACITOR
UNLESS OTHERWISE NOTED AS THE FOLLOWING
MAXIMUM VOLTAGE
1. POLYSTYRENE CAPACITOR
2. POLYETHYLENE CAPACITOR
3. POLYPROPYLENE FILM CAPACITOR
4. METALIZED POLYESTER FILM CAPACITOR
5. ELECTROLYTIC CAPACITOR
6. TANTALUM ELECTROLYTIC CAPACITOR
7. SOLID ALUMINUM ELECTROLYTIC CAPACITOR
6. VOLTAGE OF THE INPUT SIGNAL TO CHASSIS WITH A VTVM: 120V WHEN RECEIVING COLOR BAR SIGNAL.
COPYRIGHT 1972 BY ELECTRONIC TECHNICIAN/DEALER • 1 EAST FIRST STREET, DULUTH, MINNESOTA 55802
VHF TUNER 94A281-17
UHF TUNER 94A296-4
Schematic Notes:
1. All resistors are 1/4W, 5% unless otherwise noted.
2. All capacitors are mfd/volts unless otherwise noted.
3. Capacitor values are in microfarads (uF) unless otherwise noted.
4. The symbol at the left of each circuit indicates the type of component used. The symbol at the right indicates the manufacturer's part number.
5. The symbol at the top of each circuit indicates the manufacturer's part number.
Complete Manufacturers' Circuit Diagrams and Technical Information for 6 New Sets
Symbol Description
C0064 B-C - 100 pf/160 - 150 pf/150 - 200 pf/150, elect 67A30-19
R502 - 5.5n fusible WW
R503 - 10k volume w/ton-off switch
R520 - 25k video
R521 - 100k audio
R522 - 1.2M vert hold
R523 - 100k vert hold
L501A - 8-ohm sound IF
L502 - quad w/C207
L501 - coil 4T 25MHz trap
L502 - coil 43MHz IF input
L504 - coil video direct input 43MHz
L505 - coil video direct input 43MHz
L601 - coil band hold
L602 - coil band hold
T301 - transformer 1st IF, 44.8MHz
T302 - transformer sound take-off 1.5MHz w/C315
T401 - 1st IF
T402 - deflection yoke
T403 - 2nd IF output
tuner UHF
tuner VHF
Airline Part No.
72A281-4
94A287-7
94A17-19
94A285-5
72A122-76
77A128-85
78A139-4
94A272-1
94A286-11
94A286-4
94A281-17
Copyright 1972 by Electronic Technician/Dealer • 1 East First Street, Duluth, Minnesota 55802
ELECTRONIC TECHNICIAN/DEALER is published monthly by HARcourt Brace JOVIALYOVICH PUBLICATIONS, INC., 1 East First St., Duluth, Minn. 55802. Subscription rates: One year $6, two years $10, three years $13. In Canada, add $1 per year for postage. Other countries: One year $15, two years $24, three years $33. Single copies, $1.00 in United States, and $2.00 in other countries. Second class postage paid at Duluth, New York and at additional mailing offices. Copyright 1972 by HARcourt Brace JOVIALYOVICH PUBLICATIONS, INC.
Send subscription orders on Form 3579 to ELECTRONIC TECHNICIAN/DEALER, HARcourt Brace JOVIALYOVICH PUBLICATIONS, INC., 1 East First St., Duluth, Minn. 55802.
NOTES
1. ALL RESISTANCE VALUES ARE IN OHMS.
2. ALL RESISTANCE VALUES LESS THAN 10 ARE IN µΩ; 10 AND ABOVE ARE IN Ω.
3. ALL CAPACITORS ARE IN MICROFARADS, EXCEPT AS INDICATED.
4. ALL TRANSFORMERS ARE 120 VOLT, EXCEPT AS INDICATED.
5. W INDICATES 5% TOLERANCE.
6. OR INDICATES THAT THE FOLLOWING "SHELF TYPE" COMPONENTS WITH ORIGINAL TYPE OR RCA APPROVED TYPE ONLY.
7. OR INDICATES THAT THE FOLLOWING COMPONENTS ARE NOT TRANSISTORS.
8. X5S IDENTIFIES SPECIAL FILM RESISTORS.
9. SEE PARTS LIST FOR REPLACEMENT PARTS.
10. FOR CONTINUED RADIATION PROTECTION, REPLACE PICTURE TUBE AND HIGH VOLTAGE TRANSFORMER WHEN INDICATED.
11. VOLTAGES ARE MEASURED TO CHASSIS GROUND WITH A "VOLTMETRIST" (NO SIGNAL) AND SHOULD HOLD WITHIN 20% AT RATED SUPPLY VOLTAGE.
NOTE: TRANSISTOR BASINGS FOR ALL EXCEPT Q101 THRU Q103 - Q504 AND Q905 - WHITE DOT POINTS TO EMITTER.
COPYRIGHT 1972 BY ELECTRONIC TECHNICIAN/DEALER * 1 EAST FIRST STREET, DULUTH, MINNESOTA 55802
This month's cover photo, courtesy of Leader Instruments Corp., shows our managing editor observing circuit conditions in Panasonic's CT-771 portable color-TV set (to be described next month) with the aid of Leader's LBO-301 Scope and Leader's LCG-388 Color Bar Pattern Generator.
| Page | Title |
|------|----------------------------------------------------------------------|
| 3 | TEKFAX: Up-to-date schematics for easier servicing. |
| 23 | EDITORIAL: Professional Associations. |
| 24 | LETTERS: Pertinent comments concerning past issues. |
| 30 | NEWS: Events of interest to our industry. |
| 32 | READER'S AID: What you need or have for sale. |
| 34 | NEW AND NOTEWORTHY: Merchandise of special interest. |
**FEATURES**
| Page | Title |
|------|----------------------------------------------------------------------|
| 41 | TEKLAB REPORT |
| | Motorola's Model TU945HS color-TV Set uses Insta-Matic circuitry to simplify the design of its remote-control system. |
| 45 | SERVICING CB TRANSCEIVERS |
| | The first in a series of articles concerned with another profitable segment of the consumer electronics industry. |
| 50 | QUADRALINE FOUR-CHANNEL SOUND |
| | A first-hand report concerning what we observed in the ET/D lab when examining Motorola's cartridge tape system. |
| 58 | GUEST AUTHOR: CASHING IN AT THE MATV SUPER MARKET |
| | Richard Deutsch—vice president of Sales and Marketing, Channel Master, Division of Avnet, Inc.—offers some "why and how" suggestions for entering the MATV field. |
| 60 | TEST INSTRUMENT REPORT |
| | Reviewing specifications for Leader's LS-5 Electronic Switch. |
| 68 | COLORFAX: Tips for easier color-TV set repair. |
| 70 | TECHNICAL DIGEST: Hints and shortcuts for more effective servicing. |
| 71 | DEALER SHOWCASE: These items may increase your sales revenue. |
| 74 | NEW PRODUCTS: Instruments and components to make your job easier. |
| 78 | TECHNICAL LITERATURE: Informative material that you may need. |
| 79 | BOOK REVIEWS: Our appraisal of recent publications. |
| 80 | ADVERTISER'S INDEX: Manufacturers concerned about you. |
| 81 | READER SERVICE: A source of additional information. |
---
**MANAGERS**
| Name | Address |
|-----------------------------|-------------------------------------------------------------------------|
| DEAN GREENER | 43 East Ohio Street |
| | Chicago, Ill. 60611 |
| | (312) 467-0670 |
| CHUCK CUMMINGS | Ad Space South/West |
| | 613 North O'Connor |
| | Irving, Texas 75060 |
| | (214) 253-8678 |
| KEN JORDAN | DONALD D. HOUSTON |
| | 1901 West 8th Street |
| | Los Angeles, Calif. 90057 |
| | (213) 483-8530 |
| CHARLES S. HARRISON | CY JOBSON |
| | 57 Post Street |
| | San Francisco, Calif. 94104 |
| | (415) 392-6794 |
| ROBERT UPTON | Tokyo, Japan |
| | C.P.O., Box 1717 |
---
**A HARcourt BRACE JOVANOVICH PUBLICATION**
HARCOURT BRACE JOVANOVICH PUBLICATIONS. James Miholland, Jr., Chairman; Robert L. Edgell, President; Lars Fladmark, Senior Vice President; Richard Moeller, Treasurer; John G. Reynolds, Vice President; Thomas Greney, Vice President; Ezra Pincus, Vice President; Bruce B. Howat, Vice President; James Gherna, Vice President.
ELECTRONIC TECHNICIAN/DEALER is published monthly by Harcourt Brace Jovanovich Publications. Corporate Headquarters: 757 Third Avenue, New York, New York 10017. Advertising Offices: 43 East Ohio Street, Chicago Illinois 60611 and 757 Third Avenue, New York, New York 10017. Editorial, Accounting, Ad Production and Circulation Offices: 1 East First Street, Duluth, Minnesota 55802. Subscription rates: One year $6, two years $10, three years $13, in the United States and Canada. Other countries one year $15, two years $25, three years $30. Single copies: 75¢ in the U.S. and Canada; all other countries $2. Second class postage paid at Danville, New York 14437. Copyright © 1972 by Harcourt Brace Jovanovich, Inc.
POSTMASTER: Send form 3579 to ELECTRONIC TECHNICIAN/DEALER, P.O. Box 6016, Duluth, Minnesota 55802.
Another small miracle from the GE silicone electronics lab.
• Cleans and lubricates better than any other cleaner/lube for color and black-and-white TV tuners.
• Unaffected by humidity.
• Won’t let contacts corrode.
• Temperatures from \(-70^\circ F\) to \(+400^\circ F\) can’t hurt it.
• Safe for all plastics.
• Driftless.
• Non-flammable.
• The only silicone you can paint and solder over after normal clean-up.
• Special adapter for tight spots.
• Field-tested and proven by independent TV service technicians.
• At leading electronics supply stores.
(Distributors: available from GE Electronic Components warehouses in Clifton, N.J.; Chicago, Ill.; Owensboro, Ky.; Los Angeles, Calif.)
Silicone Products Department, Waterford, New York 12188
GENERAL ELECTRIC
Where's the voltmeter?
New Scope Measures Peak-To-Peak Voltage with Cali-Brain®
You're looking at it in this solid state oscilloscope. The new B & K Precision 1465 is a triggered sweep oscilloscope with CALI-BRAIN — a built-in feature for measuring voltages, automatically without computation in seconds. CALI-BRAIN will measure peak-to-peak voltage on waveforms of any complexity — and at voltage levels from 10mV to 600 V. Only B & K scopes have CALI-BRAIN — a real advance in TV test equipment.
Servicing time goes down — picture quality goes up — when you use this scope. Now, in one instrument, you get triggered sweep to eliminate those waveforms that won't lock in, a vectorscope for color TV servicing, 10 MHz response for high resolution analysis. A unique sync separator generates special sweep synchronizing pulses to let you analyze any portion of the TV waveform. For economical performance, use the B & K Precision 1465.
About the Cali-Brain® System
The CALI-BRAIN system increases your efficiency because it lets you measure its peak-to-peak voltage without changing your test set-up. Now you can confirm the manufacturer's service data exactly—checking out typical waveforms and peak-to-peak voltage readings at various test points.
Cali-Brain® in Action
Use CALI-BRAIN when you want to measure peak-to-peak voltage of the waveform displayed on the scope screen. Here's what happens when the CALI-BRAIN switch is activated:
A. The horizontal sweep collapses and the waveform under examination appears as a straight vertical line.
B. A numerical indicator in the CRT bezel lights up to show the full scale voltage (including decimal point) corresponding to the Vertical Attenuator setting.
C. A graduated scale on the graticule overlay is illuminated on either side of the scope screen. The scale corresponds to the full scale voltage indicator in the bezel.
D. The vertical waveform line on the CRT moves to either side of the screen, to align itself with the illuminated scale.
The entire CALI-BRAIN action is automatic — and takes less than a second. After you have read waveform voltage on the scale, you deactivate CALI-BRAIN system with a single switch, and the waveform is again displayed as before. One probe and one test instrument — lets you concentrate on trouble shooting, not the test equipment!
To read peak-to-peak voltages utilizing Cali-Brain, note the full scale voltage reading in the bezel above the screen (fig. 1—100 volts full scale) (fig. 3—5.00 volts full scale). Pull out the Cali-Brain knob and you will notice that the 1st waveform in fig. 2. reads .067 volts P-P and the second waveform in fig. 4. reads 4.95 volts P-P.
See your local distributor or write us for more information
B&K Product of DYNASCAN CORPORATION
1801 W. Belle Plaine • Chicago, Illinois 60613
... for more details circle 102 on Reader Service Card
Professional Associations
Few professional endeavors (such as ours) are so well suited for the individualist, the man who wants to be free to work for himself—free to set his own pace, as the workload permits; free to determine his own fees, as the market permits; free to stop and investigate interesting innovations, as his own work schedule permits; free to support related community activities, as his own business permits. And then there is the personal challenge of matching one's wits against defective electronic circuitry, sometimes making the product function even better than when new; and the warm feeling of having a really satisfied customer, one who knows that you did a fair and honest job. All this plus the pleasure of personally selling a customer a high-quality product that will make life a little more pleasant for many years to come.
But if we are able to enjoy such a degree of independence, why then be saddled with some trade association. Why throw away our cherished independence—particularly if there is nothing to be gained by such a great personal sacrifice. But wait, what are these many freedoms that may be lost?
Will you be told what prices to charge your customers? No, but the associations might let you know what others are charging and how they determined their rates—maybe you will find that with your current charges you are cheating yourself.
Will they tell you what hours you must be open for business? No, but they might show you how a slight adjustment in business hours (if you care to make a change) will increase your business. Will they tell you how much insurance you must carry? No, but they can tell you how you might reduce your insurance premiums, and assure you of the coverage that you only think you now have.
Will they tell you who you must hire, and what you must pay in salaries? No, but they will help you get the best qualified service from those that you do hire, with minimum turnover. (Did you know that the federal government is willing to subsidize the salaries of veterans trained by qualified electronic technicians and service dealers?)
Will they tell you what brands you must sell or service, or that you must not sell or service? No, but they will tell you what manufacturers will help you make your job easier and what manufacturers produce products that have unreasonable maintenance problems.
By joining an association, you do not lose your independence, you are helped in maintaining your independent business. Far too many electronic technicians and service dealers are forced out of business each year because of the financial pressures that result from unsound business practices.
The associations, made up of independent businessmen, such as you, are formed for mutual support. These associations work to protect you from unreasonable government interference, unreasonable consumer demands, unreasonable manufacturer requirements, and unreasonable competition from dishonest businessmen.
These associations all function in a democratic manner. If you don't feel that they represent you, then join them and let your thoughts be heard! If you don't like their current direction, then get together with others that think as you and exert an influence to get things changed. Don't simply sit back in your shop and cry to us. Show up at these meetings and make your thoughts known. Try to make it to the joint convention in New Orleans this coming August.
Despite a downturn in many segments of our economy, the consumer electronics industry had a very good year in 1971, and business will be even better in 1972. The American people have the money to be entertained—if for nothing else—and well-maintained consumer electronic products provide much of this entertainment.
All that one must do to maintain a financially healthy business is to run it in an effective, professional manner. And ELECTRONIC TECHNICIAN/DEALER is dedicated to the job of assisting you in that manner. We are a professional publication concerned about you and your professional associations. Although many letters have been received supporting our current editorial position, few have even approached the extreme position indicated by the following recent letter:
"From time to time you have published a letter from some irate reader who would want you to conform to the format of the various diddle and dab electronic publications. I read them also. I also read your editorials (as an example, the December one). I used to be a diddle this and dab that hobbyist. But that seems to be in the past, thanks to ET/D. If you change any part of your editorial policy, or format, to suit these piddlers, first I'll shoot you, then I'll draw and quarter you, and then to add insult to injury, I'll cancel my subscription. You keep aiming at the professional, and the rest of us will either catch up or fall by the way."
Phillip Dahlen
Proud to be a CET
I found Mr. Joseph Dianella's letter (November 1971 ET/D) interesting and deserving of a few comments. As a CET with the registration number "South Vietnam Number 1," I look upon my certificate as the ultimate conclusion to many years of independent and government study—a considerable amount of money spent and one of the most comprehensive tests I have ever taken. It was a dilly!!! That certificate is my most prized possession, and I think other CET's feel the same way.
I will go even further in stating that most CET's feel that electronics is an art and a labor of love. To be quite frank with you, I do not want a man to be associated with my art who does not understand its fundamentals, because I have learned that one cannot be truly competent as a "parts changer" or a "symptoms mechanic." I base this on many generations of repairmen that I have trained during my service in the Army. We have a high turnover rate you know!
During my off duty time I service TV sets and radios as well as other electronic devices, and I feel that I am letting my customers down if I cannot explain to them the whys and wherefores behind their problems. Public relations, as you know, are a large part of a business. Confidence in the technician brings its rewards, one of them being financial.
In the same issue the Editor brings up the difference between trade associations and unions. We need trade associations to represent those individuals who on their own recognized merit can be called technicians. Also, we need a uniform method of identifying individuals who can fit this description. We must initiate plans and procedures to eliminate those who are not competent to hold this title—through laws and licensing in the various states. No one person can do this. There is strength in numbers. I personally welcome constructive licensing as another step in the recognition of my craft and abilities.
I do not feel that the electronics industry is in need of new blood, rather it is in need of new technicians. If a man does not want to accept the challenge, to burn the midnight oil, to make the effort—let him go elsewhere!! It would be as much folly to let a weakly motivated individual service your potentially dangerous TV set as it would be to send your children to a doctor with a second grade education.
How about unions? You say people are leaving the field. Who are they? The good or the bad? If they are bad—well, who cares? But, if they are good, why do they leave? Even a labor of love should get a return. I can say without any hesitation that men in my classification make twice as much as the average TV repairman. The government recognizes our abilities. Not so the private TV repairman. It would appear to me that the average shop owner makes a good buck. Why shouldn't the people he employs also benefit? A union could do this. The effective managers could give decent remuneration. The bad managers would either become competent or go out of business! Managers should welcome constructive unions too. Why? Unions are responsible to management for providing a properly trained technician at an identifiable skill level, i.e., apprentice, journeyman, etc. A proper union is an asset to all concerned.
I find it hard to believe that people like Mr. Crow, Mr. Glass or Mr. Moch need the "bundle of loot" from the dues. Rather, these are highly motivated, professional people who are upgrading a profession that has many critics and few stalwarts. I do not know any of these gentlemen personally, but I would wager that many of the expenses generated are covered out of their own pockets—to our collective shame.
I will close by quoting the wording used on the CET certificate. "Be it known by those present that ________ has successfully completed the technical tests and requirements entitling him to be universally recognized for his competence, ability and knowledge as a Certified Electronic Technician, a journeyman of the trade." These words are a statement of present fact, even more important a future challenge.
SFC RONALD BROMWICH, CET
Technician Continues Battle
Things have really been bubbling in this area due to my actions and letters.
With various newspaper clippings of the TV repair exposés and judgments handed down from licensed states on dealers and technicians across the nation, I arranged an interview with the local newspaper editor and tried to sell WSEC's certification program. I felt that both the shops and consumers could benefit from this program in lieu of a legislative licensing bill. The editor was ultimately swayed and impressed.
I convinced the local working technicians to attend the local association meeting in order to express and utilize their right to vote on and improve the industry locally. We voted through a measure of public advertising to promote respect and support for the local association, along with a dues increase, which would double those of shop owner/dealers and triple technicians' dues. We technicians have also designed and ordered bumper stickers and truck decals.
Now I must say that these proposals were met with stern opposition from the older shop owners, who comprise what has been the industry in this area for the last 10 to 15 years.
This utilization of our democratic freedom of majority rule gave hint that the old apple cart was being modernized and updated. Also being proved was that through unity and reciprocal support the industry could improve itself.
Needless to say this campaign would also air a few wounds which the local industry suffers that some would rather ignore, or hope that NEA, NATESA, NARDA, the state association, low wages, softspoken underachieving technicians, manufacturers or distributors might supply a cure or remedy for.
In other words, "what the consumer doesn't know can't hurt us," while "what the consumer does know can hurt us!"
So if some shy, soft spoken underachieving technician tries to improve conditions against their wishes, just fire him in the hopes that he leaves the area and any supporters of his get the message at the same time. This happened to me!
I definitely feel that this is not a case of faltering due to fear of airing dirty linen in public, but rather that too many just don't want to remove the dirty linen for cleaning or possible replacement!
I lost my job due to hollering too loud to too many. What really spurred this is when outsiders began to listen and I began to act.
My employer states that it was due to the lack of work—yet three days earlier he stated to a newspaper editor that there were not enough shops in the area and that his shop had more than enough work—that they were even behind in their workload.
So you can draw your own conclusions as to this situation. Also conclude how often, in how many areas, this situation is repeated? Then try to continued on page 26
Spots trouble fast—tells where it is
This Master Chro-Bar/Signalyst is the most advanced color-bar generator ever developed by RCA
Consider these features:
- Output at RF, IF, and Video on all patterns for TV servicing. The Video output is adjustable up to 2 volts across 75 ohms for use in CCTV, CATV, and MATV.
- RCA's exclusive "Superpulse" pattern for simplified gray scale tracking adjustment, testing for picture smear, and troubleshooting by signal tracing and signal injection.
- RCA's exclusive color-bar marker identifies the third, sixth, and ninth color bars...aids in AFPC alignment and setting the tint control in overscanned sets.
- Pushbuttons provide color bars, dots, lines, crosshatch, and blank (white, no noise) raster patterns with provision for selecting three or ten horizontal and/or vertical lines with middle of pattern electrically centered.
- 75-ohm or 300-ohm variable level RF, IF, and Video output with + or —video sync polarity.
- Stability...75°F ± 70°F; 120-volts AC ± 30-volts AC.
- IC circuitry throughout...provides excellent pattern stability. No counter alignment controls to adjust.
The price? Only $179.00!* And that includes a full 12-month warranty on parts and labor...complete replacement parts availability.
For immediate delivery and full information on the WR-515A Master Chro-Bar Generator, see your RCA Distributor or write RCA Test Equipment Headquarters, Harrison, N.J. 07029.
*Optional Distributor Resale Price
conclude why the national industry lacks young, bright, competent and interested technicians? Conclude why the average age of a technician is 50 plus. Conclude why unskilled ill-trained technicians continue to fill such vacancies. And most important, why the general public is disrespectful, confused, irate and suspicious.
I thank you for your past support, and now in search of that old job security, I will be forced to leave the local industry or perpetuate the acceptance of low wages, ill respect, lack of future advancements and security, etc., to continue in a trade in which 10 years of my life is sunk!
(another letter)
It was the desire of a few here that I would be forced to leave the area. But with the aid of my fellow-working technicians and a sympathetic and interested shop owner or two, I borrowed enough equipment to do two picture tube and chassis repair jobs at home and picked up $100.00 clear profit.
And after an excellent interview of me and editorial by the local TV news broadcaster, I had a job the next Monday morning.
I do plan to continue to "moonlight" to supplement my income. This area is swamped with part timers, etc., due to the AEC nuclear plant here.
Yes, go ahead and print my previous letter with address. You might add that I am not looking for a change of scenery, but for a future for myself and family.
As for local support, I am and have received support and aid from: all working technicians (11); the president of our local association; two or three of the 10 shop owners in our area; John Kenney, president of the Washington State Electronics Council; (plus too many other names for us to include with his letter.)
Anthony Cizek, CES/CET
Richland, Wash.
We were extremely pleased to see that Tony's complaints were also published in the November 1971 issue of TSA Service News, Seattle, Wash. There reference was also made to the fact that a more detailed version of Tony's first letter was being printed in the November issue of Electronic Technician/Dealer. It was also good to learn that despite some published bitter comments concerning service dealers in general, that there were still some service dealers in his own town that supported him—even with a new job.
It is our opinion that qualified electronic technicians most certainly do deserve a comfortable salary, and we have printed many letters supporting this position. However, we must also realize that in an area where there are a great many "moon lighters," the outside competition tends to drive the service charges down to a point where both the full-time electronic technician and the service dealer is hurting.
In the December 1971 issue of TSA Service News, Mrs. Mildred Huss wrote: "I watched and listened to the performance that you put on in Spokane for the entire group of WSEC members and after reading your article in TSA Service News, I have just the solution to your dilemma . . . why don't you open your own shop?
". . . Wear the shoe so you will know what you are talking about. . . Open up a shop. Show us shop owners a thing or two about running a business."
Supports Industry Licensing
In reply to your editorial in the November issue of ET/D, I would like to express my feelings toward licensing here in New York. I am an electronic TV technician, living in Huntington Township on Long Island. I feel that Suffolk County or New York State should pass a licensing law. The only thing that I don't think they should do is require shops to have all the latest test equipment and a complete file of schematics. This requirement will only hurt the guy starting out. I must explain why I am for licensing.
With a population of about 200,000 people, the Huntington Township phone book lists at least 80 shops. The only trouble is that only about 10 of these shops are what I would call honest and competent. What makes teachers, where I worked last year, call me to fix their TV sets, when they know that they will pay more?
Let me give you just one example why. A few weeks ago my neighbor bought an RCA color-TV set from her sister. Her sister told her that a local shop had installed a horizontal transformer late last August, and the set only lasted a few weeks before it broke down again. So, she bought a new Motorola. My neighbor asked me to give her an estimate, since the local shop had told her that it would cost about $70 to fix again.
continued on page 28
Until now, MATV system design has been somewhat complex. You had to calculate losses in decibels and specify a fixed tap-off isolation value at each receiver location.
The new Jerrold OMNI-TAPs have changed all this. OMNI-TAPs are universal. That is, any OMNI-TAP can be used anywhere in any MATV system. The secret is adjustable isolation, which you can vary simply by turning a screwdriver after the system has been installed.
Aside from simplifying system design, OMNI-TAPs also reduce your inventory problems. Since OMNI-TAPs can be varied continuously over a 12 to 25 dB range, one type of OMNI-TAP replaces three types of conventional tap-offs.
Figure 1, for example, shows a typical 8 story apartment house, older school or hotel, with eight TV outlets per floor. OMNI-TAPs are used for every TV outlet. Because tap insertion loss is very low (average about 0.6 dB per tap at VHF), isolation is adjustable, and Jerrold CAC-6 cable loss is minimal, (3.2 dB/100' at VHF), your system calculations are greatly simplified. Just use a Jerrold Gibraltar 3550 amplifier, fed by a Paralog Plus antenna. A new motel or school would be similar, except that trunklines would be run horizontally.
If your particular system is smaller, reduce the number of trunklines and tapoffs, but nothing else. The 3550 is economical enough even for small systems. If the system is bigger, add trunklines and tap-offs, but nothing else. The 3550 can easily handle up to 100 OMNI-TAPs. (For systems over 100 tap-offs, use the 3661 or 3880.)
Choose the antenna as you would an ordinary home TV antenna, except that it usually pays to choose the next larger model. If signals are weak, simply add a Powermate preamplifier.
Figure 1 is a VHF-only system. But adding UHF channels is no problem. Simply use a VU-FINDER PLUS antenna instead of the PARALOG PLUS, and a 4400 82 channel amplifier in place of the 3550. No other changes are required because the OMNI-TAPs, the splitters and the cable can handle UHF frequencies with no difficulty.
Adjusting Omni-Tap Isolation
Once the system is installed, you have to make sure it works properly. In many cases, no adjustments will be necessary. The OMNI-TAPs will work fine in the system just as you receive them.
In large systems, however, you will have to adjust the OMNI-TAPs so that they provide more isolation near the Head End amplifier than they do at the ends of the trunklines.
There are two ways to adjust OMNI-TAP isolation:
1. With a Field Strength Meter, such as the Jerrold 747. You should have a Field Strength Meter for MATV work anyhow, and this is the easiest way to adjust OMNI-TAP isolation.
Start by turning all of the OMNI-TAPs fully clockwise, for maximum attenuation. Then, go to a tap in the middle of the trunkline and make sure you can read at least 1000 microvolts of picture carrier signal on the highest channel the system carries. If the reading is less than 1000 microvolts, turn the OMNI-TAP counterclockwise until you get 1000 microvolts. Repeat for each tap until you get to the end of the line.
2. With an Ohmmeter. Connect the Ohmmeter between the arm of the OMNI-TAP potentiometer and the center conductor of the tap output. Set the first four OMNI-TAPs in each trunkline (nearest the Head End) to 700 ohms. Set the next two OMNI-TAPs in each trunkline to 500 ohms. Then, reduce each tap-off in the line by 100 ohms until you get to the end of the line.
For help in laying out a system or solving specific system problems, contact Jerrold via your local Jerrold distributor.
Or, for more information on MATV systems, write Jerrold Electronics, P.O. Box A, Philadelphia, Pa.
If you're not using IR's "Functional Fifty" Universal Transistors, the odds are 800-to-1 you're wasting time and money!
We boiled over 40,000 transistors down to a universal product line just under 50, an 800-to-1 reduction. This "Functional Fifty" lets you satisfy 99% of your functional requirements, faster and easier. It cuts down the time-eating task of searching for exact replacements, locating special sources, then waiting for delivery.
You'll save more money too, by getting IR's 20%-off-net-pricing on a 10-piece purchase, instead of the 10% offered by other brands. And, you're assured of premium quality, because all IR transistors are conservatively rated to give reliable performance with extra margins of safety.
To make your job even simpler, we're giving away a Transistor Applications Slide-Rule that lets you quickly pick the right transistor for your application.
GET YOUR FREE IR SLIDE-RULE, plus our current "Semiconductor Cross Reference and Transistor Data Book" by redeeming the coupon below at your nearest IR distributor. Switch to the "Functional Fifty" and make the odds work in your favor.
---
Disagrees with Earlier Letter
When I have a medical problem
I look for an MD
When I want life insurance information
I look for a CLU
When I have an accounting problem
I look for a CPA
When I have a TV problem
I look for a CET
A letter in the . . . issue by the one-man shop TV serviceman with . . . years experience, age about 38, probably tells much more than he wants credit for. He says that he never went to school to learn TV servicing. Nei
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Great Interest Develops Concerning the CET Exam
Ron Crow, executive director of the ISCET, recently wrote us concerning our coverage of the CET program. He said, "I can't tell you how pleased I am with the response your magazine has generated. I have been swamped with inquiries and so has Ed Schon, as I understand it."
And yet, we have received other correspondence indicating that some of our readers are still afraid to take this examination. They feel well qualified behind a soldering iron, but not behind a pen—afraid of having to put their knowledge on paper.
It is our contention that any good electronic technician can pass this examination. For some this may require a little extra reading during a few evenings, but the ability is there.
Since the fear of the unknown is always greater than the fear of the known, and since we know you wouldn't even be reading this publication unless you had an electronics background, this month we will begin publishing questions similar to CET test questions. Each monthly set of five questions represents one of the 12 sections that make up the CET exam—eight of these sections covering basic electronics common to many electronic fields, and four sections covering consumer electronics. These questions do not cover all areas of any subject. However, if you do well with each section, you should have little trouble with the CET exam.
If you have trouble with any one section, you will probably need to do some studying in that subject area. Many good text books are available for this purpose.
Section One
Basic Mathematics
1. A 0.01 μf capacitor has what impedance at 5kHz?
2. What is the frequency of a sine wave that requires 2μs to complete a cycle?
3. If a circuit connected to a 1.5v battery conducts 3ma of current, what is the equivalent load?
4. What is the resulting impedance when an ac generator drives a 6Ω resistor in series with an inductor having an 8Ω impedance?
5. A red-red-red color coded resistor (lacking a tolerance color code) measures 2500Ω. Is this resistance in tolerance?
Explanations
1. Since \( X_c = \frac{1}{2\pi fC} = \frac{1}{6.28 \times 10^3 \text{Hz}} \times \frac{1}{(0.01 \times 10^{-6})} = 3.18 \times 10^3 \Omega = 3180 \Omega \)
2. Since \( T = \frac{1}{f} \) then \( f = \frac{1}{T} = \frac{1}{2 \times 10^{-6} \text{sec}} = 0.5 \text{MHz} \)
3. Since \( R = \frac{E}{I} = \frac{1.5 \text{v}}{3 \times 10^{-3} \text{a}} = 500 \Omega \)
4. Since the voltage across an inductor is 90° out of phase with the voltage across a series resistor,
\[ Z = \sqrt{X_L^2 + R^2} = \sqrt{(8\Omega)^2 + (6\Omega)^2} = \sqrt{64 + 36} \Omega = \sqrt{100} \Omega = 10 \Omega \]
5. Since a red-red-red resistor is 2200Ω ± 20%, the resistance can be 2200Ω ± 440Ω or from 1760Ω to 2640Ω. A 2500Ω resistor would therefore be within tolerance.
Detailed Code of Ethics Proposed For Electronics Service Industry
W. S. (Bob) Harrison, director of Consumer Affairs for the Virginia Electronics Association, has proposed a universal code of ethics. In presenting his proposal, Bob said:
"Chairman Charles Couch has expended considerable exemplary effort in behalf of the promotion of voluntary self-regulation within the profession. If you have not received Mr. Couch's mailings, the September 1971 issue of ELECTRONIC TECHNICIAN/DEALER magazine partially outlines his goals, including his request for the formation and adoption of a universal code of ethics and/or other acceptable means of self-policing.
"Although NATESA's executive director, Frank Moch, has graciously offered the concise NATESA Code of Ethics, it is easily discernible that this—as well as the majority of 'codes' from other trade associations around the country—is grossly inadequate for the present industry needs.
"Natually, we do not wish to become so entangled in a proliferation of rules and regulations that we cannot profitably engage in our profession. Also, however, we most certainly do not wish—and, indeed, must scrupulously guard against—so-called 'equitable regulations' which may be designed by pseudo-protectors of 'consumers' welfare' and foisted upon us by status-seekers, headline-hunting politicians and/or the sensationalist-oriented portions of the news media. If we are to impress upon the public, consumer advocates, politicians and governmental agencies our truly intense desire to promote and provide competence, honesty and integrity—as well as a desire for effective self-policing—we must submit to a meaningful set of rules which are both definitive and enforceable and, consequently, capable of eliciting respect and trust from all segments.
"This proposal is a compilation of personal studies and opinions plus the results of research into various existing association codes (i.e., NATESA, VEA, FESA, CSEA, TESA-St. Louis, etc.). There is no intent, however, that this should be embraced immediately 'as is.' Some tenets are obviously too verbose while others should receive additional amplification. This is submitted with the hope that each of you will give this your serious study and consideration and, in the case of association leaders, will further distribute copies to your membership and will solicit and submit suggestions for specific additions, deletions and/or corrections. From the melting pot of many minds, we may hope to formulate a sane and tolerable, but truly effective, universal code of ethics for the electronics service industry.
"It is suggested that the comments and/or suggestions of yourself and/or the group you represent be forwarded so as to be received no later than April 1, 1972. At that time, all submitted suggestions and/or counter-proposals will be tabulated and resubmitted to this group and/or to all major electronic trade associations for possible acceptance at forthcoming annual or legal policy-making meetings.
"Please forward your comments to myself (W. S. Harrison, 5770 Chesapeake Blvd., Norfolk, Va. 23513) and/or to chairman Charles Couch, Jr., P.O. Box 536, Gainesville, Fla. 32601."
Television Service Industry Proposed Code of Ethics
1. Maintain a Professional Business Status
(A) Maintain all necessary business license and permits and promptly pay all legitimate and legal fees and debts.
(B) Maintain a shop which shall always maintain consistent business hours at an established business address in a bona-fide business location.
(C) Maintain all records required by law and any invoices, receipts or any other information necessary to ensure proper and adequate fulfillment of all obligations.
2. Employ Qualified Technical Personnel
(A) Send to the home, only competent persons of sober and honest character.
(B) Each shop or home service shall be performed only by persons qualified by study and/or experience to consistently render any feasible repair and perform technical procedures required by the job, seen or otherwise contracted.
(C) No novice or apprentice shall be passed off as a bona-fide technician; And, no work by an apprentice shall be under the supervision and responsibility of a duly qualified technician.
(D) A technician must have at least three years of practical experience in
the servicing of electronic equipment or at least two years experience as an apprentice technician or at least one year of experience as an apprentice plus satisfactory completion of an approved technical study course or pass a test of qualification approved by the industry or law.
(E) Each service dealer that is not a qualified electronics technician must employ at least one qualified technician who shall supervise all technical work performed.
3. Use Approved, Safe and Professional Procedures and Equipment
(A) Provide for the use of all necessary, safe and accurate testing and servicing equipment and tools to assure a thorough and safe diagnosis or repair.
(B) Maintain up-to-date and adequate service data, if available, for all units normally accepted for service.
(C) Participate frequently in responsible training and/or retraining seminars and/or conferences on many of services, repair training to keep all technicians apprised of new circuits and technology, modernize repair procedures and equipment, and to minimize potential hazards to the public due to lack of knowledge of corrective and preventive safety procedures as the need arises.
(D) Use only methods and procedures which are or can be recognized and approved by the industry as being technically adequate, safe and professional in various fields. All labor, installations and other technical services performed shall conform to minimum safety and fire prevention codes. Inspect for and repair or advise the customer of the need to repair any abnormal and/or potentially dangerous condition and/or unsafe installation conditions. Render services to assure, as much as possible, the complete safety to the consumer in the continued use of the item.
4. Issue Specific and Valid Guarantees
(A) Guarantees and warranties should be in writing and shall be specific in clearly stating what and how much of parts and/or labor are covered for what period of time and shall clearly designate if another company or person is responsible for any repairs or any parts or any warranty. If the warranty is in any way conditional, the terms and conditions and any additional costs which may be involved in the fulfillment of the guarantee shall be clearly stated in the written item.
(B) Warranties on replacement parts installed shall be honored to the customer for the same length of time as provided by the manufacturer and/or supplier of the part. All labor, installations and other technical services performed shall be guaranteed to be performed correctly and to correct all failures caused by faulty workmanship shall be redone at no cost to the customer for the involved affected part(s).
(C) All necessary required provisions will be made by the service firm to insure that its warranty or contracted obligations will be fulfilled under any legal or contractual conditions.
5. Assure Protection of Customer's Property
Carry adequate insurance coverage and prove moral and financial ability to assume responsibility for the protection of customer's property while being serviced, stored or transported by the service company.
6. Render Prompt and Proficient Service
(A) Provide service as promptly during normal business hours as existing conditions permit. Reliable legitimate excuses for delay, warranty and contract requirements that may delay service and for the same efficient and courteous treatment as other service requests.
(B) Render service promptly when any extensive or undue delay is encountered or anticipated in the completion of service for any reason. Promptly advise the customer when circumstances have been overcome and when the required unit will be available for pick-up or delivery.
7. Render Conscientious Home Services as Promised
(A) Heed the customer's request for the most feasible and practical repairs involving normally stocked tubes, fuses and other generally replaceable items on units normally serviced in the home if in-home servicing is requested or required.
(B) Inclusion of repairs not ordinarily made on certain brands or types of units unless category required, clearly inform the customer of such provisions prior to obligating the customer to a service fee or trip charge of any kind.
(C) Properly describe the services offered for any quoted fee if the quoted or advertised fee for any type of service is not the same as the actual charges generally included and hereafter described as a "service call," clear and adequate explanation should be provided as to what services are included in the quoted or advertised fee and what additional services are required.
(D) Obtain prior authorization from the customer for any charges to be made for any services which are not included in the quoted or advertised service fee.
(E) All repairs must be feasibly completed in the home, estimate charges and any additional repairs shall also be quoted to the customer. In all cases where any service or other fees were advertised or quoted, the customer shall be clearly notified in advance of additional fees which may be required for any services.
8. Perform Only Necessary Repairs and Provide Estimate When Required
(A) Upon the feasibility of practical repair, when requested, provide estimates of repair costs for units to be repaired in the shop. Estimates should be carefully corrected and revised as necessary to reflect proper charges and in all cases where the cost of an acceptable repair will exceed the estimated range.
(B) When additional costs in excess of the quoted or advertised fee deemed necessary for the repair, the customer may be allowed to refuse all repairs in lieu of the applicable charges for home services, technical analysis and/or estimates.
9. Install Best Quality Replacement Parts Available
(A) Install only such parts as are necessary to restore proper and safe operation.
(B) Use only parts of a quality and performance rating at least equal to the original components, when available and practical.
(C) Leave with or return to the customer, when requested, all parts replaced by the qualified technician and/or installer.
10. Adequately Define All Quoted Home Services and Charges
(A) Trip Charge: This shall refer to the fee charged for travel to the customer's premises by a qualified service personnel including the vehicle and necessary equipment.
(B) Inspection Fee: This shall refer to the fee charged by a technician or other qualified servicing person to observe and analyze the performance of the unit to be serviced, and to provide a preliminary estimate of probable repair costs.
(C) Basic Repair Fee: This shall mean the fee charged to perform minor adjustments and repairs when repairs can be accomplished by the replacement of readily accessible, normally stocked tubes or other general replacement plug-in devices. The basic repair can be accomplished within a specified period without having to dismantle or remove any part, chassis or sub-chassis, and without the need to use a soldering iron, chemicals, special tools or intricate wiring or test leads. Optional services include:
(1) Home Service Charge: Any reference to "service" or "service call" "home service" or "home service charges" or similar enumeration shall be understood to include the total fee charged for all of the services listed as "trip," "inspection" and "basic repair" in the preceding paragraph. The home service call shall include travel to the home (within normally defined service boundaries) by a qualified technician and/or competent and adequately equipped service personnel, the performance of all required tests and circuit performance and/or unit operation; minor repair of unit when accomplished by the replacement of readily accessible, normally stocked replacement of a readily accessible tube, fuse or other easily insertable plug-in device when such device is a part of normal vehicle inventory.
(2) Additional Charges: Other than the above basic repair fee or home service charge may be made for additional time required because of the difficulty of access to the periodic service or unusual access to parts; necessity to remove chassis or to remove or dismantle sub-chassis or assemblies; circuit tracing required to locate a defective component; replacement of any part or repair of any items which requires soldering or other fastening; use of chemicals, special tools, or specialized testing or servicing equipment; additional travel time required to reach the home; removal of any non-standard equipment or material, the return of a unit taken to the shop for repairs, or any additional time required because it is not the fault of the customer or person or person for abnormal servicing problems such as intermittent shorts or thermal breakdowns. Additional charges shall also be applied for services performed outside of normal business hours, while on the road, etc.
Charges may be made for the replacement of defective in-warranty new or replacement parts, or for the repair of defects in new or replacement parts, or other defects not the fault of the servicer, and if payment to the servicer for the full costs of handling, procuring and replacing the guaranteed part is not included in the manufacturer's or supplier's warranty.
continued on page 66
READERS’ AID
Space contributed to help serve the personal needs of you, our readers.
For Sale
53 years—believe it or not. An amateur in 1918, and engaged in service work since about 1927. Now at 72 I think I should hang up my test leads and call it quits. I have a fully equipped shop and will dispose of all of the test equipment. Equipment runs from old-timers to the most modern color and solid-state test equipment, as well as a filing cabinet full of Photo-facts and a complete set of ET/D service diagrams from No. 59, July 1957, right through to the latest. It’s all for sale. In case anyone is interested, I will be pleased to send complete listing. I’m kind of sorry to hang up on it—but it is just about time.
Carl G. Schaum
47-24 Robinson Street
Flushing, N.Y. 11355
Schematic Needed
I’m in dire need of a schematic for a Simpson Model 479 TV-FM signal generator or a Simpson Model 480 genescope. Simpson indicates that the prints are no longer available. I will gladly pay the cost of having a copy sent to me.
Dick Bergeron
Box 311
10 Maplelawn Dr.
Essex, Vt. 05451
Tubes Needed
I’m in need of the following tubes—1H5GT, 1A7, 1N5, 3Q5. Also, I would like a Ballast tube for a GE J62 radio, BL42D. Thank you.
Henry Holgerson
5 Green Street
New Berlin, N.Y. 13411
Tekfax Needed
I need the following Tekfax—July and November, 1961; April, May, August and October, 1962; February, 1963; February, March, August, November and December, 1964; January, April, May and September, 1965; February, March, April, June, July, August, September, October and November, 1966; January through August 1967; and July, 1969. Please write fee desired.
S. R. Stanton
4624 N. Marving St.
Philadelphia, Pa. 19140
Information Needed
I am trying to locate a company known as the Superior Instrument Co., whose former address was—2435 White Plains Road, New York, N.Y. Recent mail addressed to the New York address was returned to me as unknown. Can anyone help me?
Wilmer Smith
615 Perkiomen Avenue
Lansdale, Pa. 19446
I repair, if and when possible, old radios from the early 1930’s and earlier. It is not always easy to obtain schematics or information necessary to repair them. Right now I have a Lyric Radio No. 20194, at least that’s the only number I could find anywhere on it. The manufacturer was The All American Mohawk Corp. and the radio came out around 1930 or thereabouts. It is in fine shape except for the power transformer, and I would appreciate and pay for any information regarding this radio.
Raymond Isadore
6100 W. Burnham Street, Apt. 23
West Allis, Wis. 53219
Wanted
I am trying to locate an ARC Model 601 battery operated radio receiver made by the ARC Radio Corp. of Brooklyn in 1947. It must be complete and in good restorable condition.
David Murphy
Box 105
Prattsville, N.Y. 12468
Information Requested
Does anyone have information on a possible solid-state circuit to eliminate the A, B (and C?) battery pack powering a Jefferson Travis Marine receiver using a 1A7GT, 2-1N5GT, 1H5GT and 3Q5GT?
F. Jack Jackson
420½ No. Cedar St.
Traverse City, Mich. 49684
Only Ford vans have so many better ideas that make vans easier to drive, to service, to use.
Now you have a choice of conventional swinging doors or, at the same price, a new gliding side door for cargo handling in cramped alleys and beside loading docks. Three separate tracks, at top, bottom and center, give bridge-like support for solid, smooth one-hand operation, tight seal.
Shorter outside, easier to park. Compared to other makes with similar headspace, Econolines have significantly less overall length for better maneuverability in city-delivery operations.
Easy, out-front servicing. Routine service points are right at hand under convenient outside hood: water, oil, battery, wiper motor, voltage regulator, and many others.
Strong, Twin-I-Beam Independent Front Suspension—Ford's exclusive design smooths the going for both load and driver. Two forged steel I-beam axles provide strength and durability; wide wheel stance means stability in cross winds.
Wider at top for built-ins. Body sides are more vertical, wider apart at top than other vans. Built-units fit better.
Biggest payload E-300 series offers 4,285-lb payload capacity—biggest of any van.
Engine clear forward. In Ford's clear-deck design, engine is forward—all the way out of cargo area. Over 8½ ft. clear floor behind driver's seat...over 10 ft. in the SuperVan.
FORD ECONOLINE VANS
Ford
NEW AND NOTEWORTHY
For additional information on products described in this section, circle the numbers on Reader Service Card. Requests will be handled promptly.
DIGITAL MULTIMETER 701
Has 3½ digit capacity with up to 0.1% accuracy
The new IM-102 digital multimeter, with 3½ digits and rated lab-calibrated accuracy to 0.1% v dc is said to measure 5 ac voltage ranges from 100µv to 500v, 5 dc voltage ranges from 100µv to 500v, 10 ac or dc current ranges from 100na to 2a and 6 resistance ranges from 0.1Ω to 20M. Resolution is 100µv on the 200mv range, 1v on 1000v. There reportedly is no need to change probes or switch the meter for changes in dc polarity. The IM-102 switches automatically with an illuminated display indicating plus or minus. Input impedance is approximately 1000M on the 2v range (10Ω on higher ranges). Overload protection is built-in on all ranges and an overrange condition is shown by a panel light. The decimal point is automatically placed with range selection. A unique feature of the instrument is that it can be calibrated by the kit builder at home, using the preassembled dc calibrator furnished. This method is designed to permit 0.2% dc voltage accuracy. If the buyer requires tighter tolerances, the unit can be calibrated 0.1% with lab equipment. The circuitry is enclosed in a rugged aluminum cabinet with die-cast front panel and detachable three wire line cord (no batteries needed). Price per kit $299.95. Heath Co.
OSCILLOSCOPE 700
Has front panel vectorscope capability
The Model 1440, a 5-in. dc-to-10MHz recurrent-sweep scope, features sync-separator circuits in the TV-H and TV-V positions and a dc amplifier for measurement of ac and dc components. It has front-panel vectorscope capability, is all solid-state (except for the CRT), comes complete with a combination 10-to-1 and direct probe, has the low-profile case design, an outside dimension of 9 in. by 10 in. by 17 in., and is portable with a shipping weight of only 27 lb. The unit operates on 117v ac, 50 or 60Hz. Net price $299.95. Dynascan Corp.
FUNCTION GENERATOR 702
Covers frequency range from 0.002Hz to 3MHz
The Model 5100A function generator incorporates a new symmetry control to allow the pulse repetition rate to be set independently of the pulse width. It also provides an independently adjustable triangle slope. The unit reportedly covers a frequency range from 0.002Hz to 3MHz and produces sine, square, triangle, ramp, pulse and sawtooth waveforms as well as an auxiliary 5v p-p square wave. In addition a unique wave shaping network minimizes sine-wave impurities normally found in conventional function generators. Maximum output of the Model 5100A is 20v p-p, amplitude is controlled by a three-position attenuator and vernier to permit operation down to 0.5mv p-p. All waveforms may be positioned around 0v, ±5v, with the dc OFFSET control. An external control voltage of −15mv to −15v can be used to provide a 1:1000 frequency range sweep. Krohn-Hite Corp.
FOR MORE NEW PRODUCTS SEE PAGE 71
MAST-MOUNTED AMPLIFICATION SYSTEMS
Complete range of HIGH PERFORMANCE preamplifiers to meet ALL environmental conditions!
- TEMPERATURE COMPENSATED FOR ALL-WEATHER RELIABILITY.
- BACKMATCHED FOR CLEARER COLOR PICTURES.
- PATENTED ICEF CIRCUIT FOR WIDE DYNAMIC RANGE.
- ULTRA LOW NOISE FIGURE PROVIDES BURP, SNOW FREE PICTURES.
- QUICK AND EASY INSTALLATION.
- INCREASED OUT-OF-BAY LIGHTNING AND SURGE PROTECTION.
- ALL SOLID STATE TROUBLE-FREE CIRCUITRY.
- PERFORMANCE ENGINEERED FOR RELIABILITY, STABILITY, AND EASE OF SERVICE.
- MULTITRANSE MODEL FOR UHF, VHF, AND U/V APPLICATIONS.
MADE IN USA
THE IMPORTANCE OF THE NOISE FIGURE SPECIFICATION by J.S. Blonder
What's the most important specification for a preamplifier? Many people would say "gain." While gain is an important consideration in any amplifier, it is not of prime importance for a mast-mounted TV amplifier (preamplifier). The reason is simple. Most mast-mounted TV antennas are weak and need to be strengthened before being applied to the TV set. However, since the signal strength is increased, so is the noise generated due to "noise" generated in equipment between the TV antenna and the set. The ratio between the "noise" generated in the equipment (the noise figure ratio) affects the quality of the TV picture; the greater the ratio, the better the picture. That's why the "noise figure" is so important. The lower the noise figure, the less "noise" the equipment generates. A unit's noise figure is the amount of "noise" it generates above the minimum theoretical noise in a 75-ohm system -59 dBmV).
Blonder-Tongue engineers design all preamplifiers for the absolute minimum noise figure possible, considering the gain required. The formula below provides the optimum noise figure without sacrificing gain or bandwidth. The formula below will show you how the noise figure of a two stage amplifier is arrived at:
\[ F_{\text{Total}} = \frac{F_1 + \frac{G_2}{G_1} - 1}{G_1} \]
- \( F_{\text{Total}} \) = Noise figure
- \( F_1 \) = Noise figure of 1st stage
- \( G_1 \) = Gain of 1st stage
- \( F_2 \) = Noise figure of 2nd stage
- \( G_2 \) = Gain of 2nd stage
\( F_1 \) can be considered as the noise figure of the first stage of a preamp, or a preamp in front of a TV set. Your preamp has more effect upon minimum snow from a TV picture than any other component in a TV system.
THE CASE FOR SPLIT BAND AMPLIFIERS by B.H. Tongue
Ideally, an individual preamplifier should be used for each weak channel in a particular area. However, in areas where there are seven weak channels, it is often impossible to provide one preamp for each channel. One solution to this problem is the broadband preamplifier. Broadband preamplifiers are tuned for a wide band of frequencies, usually covering all channel bands (often both UHF and VHF). However, there are problems with broadband amplifier design. First, the amplifier must have sufficient gain to strengthen all channels and be sensitive enough for weak distant channels. Second, and perhaps more important, the amplifier must not have harmonic distortion that could be interfering with one another. A common type of interference between channels is harmonic distortion caused by the interaction of the amplifier with high band TV and FM channels interfering with high band channels. The result is a variety of patterns on a TV screen, all of which degrade the picture quality.
The split-band preamplifier is a compromise between expensive individual preamplifiers and the more inexpensive broadband preamplifier. Split-band preamplifiers are divided into separate amplifier sections, providing separate amplifiers for each band of TV channels, low band VHF, and high band UHF. This design provides the advantage of separation of interference between channels and solves some problems of broadband amplifier design. Because the channel bands are separated, the amplifier can be designed to handle a broadband amp with high band channels and still maintain its sensitivity to weak distant signals. High, low, and UHF band channels are amplified in separate sections, and the output is combined. This design also allows low band VHF and high band UHF to be amplified separately. Separate amplifiers for each band also allow each amplifier to be optimized for the highest dynamic range (the best ratio between signal-to-noise ratio gain, and signal input capability).
CONTACT YOUR LOCAL BLONDER-TONGUE DISTRIBUTOR FOR CUSTOMIZED APPLICATION ASSISTANCE
BLONDER-TONGUE LABORATORIES, INC.
ONE JAKE BROWN ROAD, OLD BRIDGE, NEW JERSEY 08857
(201) 679-4010
MADE IN U.S.A.
COPYRIGHT 1972 REFERENCE NO. 72-1 PRINTED IN U.S.A.
If you specialize in servicing sets of any of the eight leading color TV manufacturers, AVX COLORLYTIC SERVICENTERS can make your servicing job easier, save you valuable time, and enable you to make more money.
For each of the eight leading color TV set manufacturers we have a AVX COLORLYTIC SERVICENTER containing an assortment of aluminum electrolytic capacitors (twist-prong, tubulars and plug-ins) for every color TV chassis produced by that manufacturer from 1965 up to and including 1971. The AVX replacement capacitors have been selected and recommended by the staff of the Howard W. Sam's Company.
With the AVX COLORLYTIC SERVICENTER the exact replacement part you need is always right at hand. No special orders and no wait for your distributor to get the part in, and no makeshift replacement. Each Servicenter is supplied with a cross-reference guide which lists every chassis number for a given manufacturer, by year, by manufacturers part number, and the Sam's recommended AVX replacement. The cross reference also contains a numerical listing of the manufacturers part number and the Sam's recommended AVX replacement.
AVX COLORLYTIC SERVICENTERS are housed in handy steel cabinets with eight pull-out plastic drawers. The cabinets are FREE with each manufacturers assortment you buy... and we've put a special money saving price on each Servicenter. The AVX Colorlytic Servicenters are available from your local AVX Distributor and extended payment plans are available at no additional charge. Details on each of the COLORLYTIC SERVICENTERS are as follows:
| Mfg. | Contents | Contents List-Price | Your Cost |
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| Admiral | 71 pieces | 31 items | $181.10 | $90.55 |
| G.E. | 68 pieces | 35 items | 199.75 | 99.88 |
| Magnavox | 140 pieces | 61 items | 316.75 | 158.38 |
| Motorola | 131 pieces | 66 items | 267.30 | 133.65 |
| RCA | 114 pieces | 63 items | 324.50 | 162.25 |
| Sears | 174 pieces | 90 items | 481.55 | 240.78 |
| Sylvania | 80 pieces | 45 items | 212.65 | 106.33 |
| Zenith | 99 pieces | 43 items | 249.65 | 124.83 |
Send in the attached postcard for your FREE copy of the cross-reference guide for the COLORLYTIC SERVICENTER of interest to you.
ARP Division / AVX Aerovox
AEROVOX CORPORATION, NEW BEDFORD, MASSACHUSETTS 02741
The time machine
Zenith Instant Parts Program
Time is money. And when TV repair work moves out fast, time saved is happy customers, too.
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ZIP ZENITH
Zenith Instant Parts Program
Motorola’s Model TU945HS Color-TV Set
Part II
by Joseph Zauhar
Insta-Matic Color-TV tuning has simplified the remote control system. The transmitter has only two push buttons—one turns the TV set ON or OFF and changes the volume level, the other changes channels.
In an earlier Teklab report (July 1971, page 39), we reviewed the design of a simplified color-TV tuning system employing preset controls—eliminating many of the most often used customer controls—INTENSITY, HUE, BRIGHTNESS, CONTRAST and FINE TUNING. These preset controls were adjusted at the factory and were combined with automatic color circuits. That preset system has now been incorporated in a remote control unit; and the resulting circuit simplifications make remote control available to people who could not previously afford this luxury.
Remote Control Transmitter
With preset controls employed in the color-TV set, only two push buttons are needed on the sonic, hand-operated, remote-control transmitter. By depressing a button, the spring loaded hammer strikes the end of a mechanically resonant rod. The rod acts as a transducer, converting mechanical energy vibrations within the rod to acoustical energy.
One transducer emits a 41.5kHz sound, which activates the remote receiver channel change circuits. The other, larger transducer emits 38.5kHz sound, which activates the remote receiver ON/OFF and VOLUME step circuits.
The remote control transmitter is a compact unit, with two push buttons—one turns the TV set ON or OFF and changes the volume level, while the other changes channels.
After being struck, each transducer is dampened by the hammer as the push button is released, and only a short burst of acoustical energy is generally emitted for each hammer blow.
Power Supply and YA Remote-Control Panel
A separate transformer supplies power to the YA remote-control panel as shown in the schematic—plus filament voltage to the picture tube at a reduced level when the TV receiver is OFF. The transformer is physically located in the rear of the chassis, next to the VA Vertical Deflection Panel. Most of the remote-control receiver circuitry is located on a separate plug-in panel (YA).
CHANNEL-CHANGE Function
When the remote-control-transmitter, CHANNEL-CHANGE button is pressed, a 41.5kHz acoustical signal is transmitted. The remote receiver microphone then receives this signal and couples it to the three-transistor preamplifier (Q1, Q2 and Q3). Direct-coupled common emitter circuits are used and the sensitivity of the preamplifier is determined by a 10K variable control (R10) between the collector of transistor Q3 and ground. The preamplifier output is capacitance coupled to the CHANNEL-CHANGE, ON/OFF, VOLUME, and lamp-level circuits.
The 41.5kHz signal from the preamplifier circuit is capacitance coupled by capacitor C12 (56pf) to the CHANNEL-CHANGE tuned circuit (coil T2, capacitor C13). This high Q frequency selective circuit is tuned to select only the 41.5kHz signal. Relay winding (RE1) is the collector load for the channelchange pulse-detector transistor Q4. With the proper signal applied, conduction of this transistor is through the relay winding, closing its contacts and applying ac line voltage to the channel-change motor.
When the motor armature rotates, it is drawn into the motor housing, activating the MUTE switch. The mute circuit blanks the picture tube and mutes the audio during channel-change operation.
Current from transistor Q4—the channel-change pulse detector—flows through emitter resistor R41, which is common to both the CHANNEL-CHANGE and ON/OFF detectors, developing a less positive voltage. This voltage is applied to the emitter of transistor Q5, biasing it OFF to ensure the operation of only one function at a time.
The MUTE switch applies a positive voltage through divider resistors R44 and R46 to terminal 17TA of the integrated circuit color demodulator, and the picture tube is blanked during channel change.
Diode D3 is also forward biased, muting the sound. It is connected to the high side of the VOLUME control and in series with a 100Ω resistor (R48) to ground. The VOLUME control is shunted to ground, muting the audio by the low forward resistance of D3 and R48.
Channel change can also be accomplished manually by depressing the POWER TUNE push-button switch located on the front panel of the TV set.
To skip undesired channels, the FINE TUNING control is turned counterclockwise, to the left, about 10 turns.
**VOLUME and Indicator Lamp Function**
When the ON/OFF volume button on the remote transmitter is depressed, a 38.5kHz signal is received by the microphone, amplified, and then applied to the base of the ON/OFF volume pulse detector transistor Q5 through a tuned circuit (coil T1, capacitor C5) that resonates at that frequency.
From this transistor, the current flows through the common-emitter resistor biasing OFF the channelTo replace the YA panel, remove two ¼-in. hex head screws (A) and disconnect the microphone cable. Disconnect two plug-in cables, a 10-prong and 12-prong connector, and then slip the panel out of the retainer.
This condition of positive output remains until it is again triggered by a negative pulse.
With a third trigger pulse, the output of MV1 goes positive and the MV2 output stays positive.
With the fourth trigger pulse applied to MV1, the output drops from positive to 0v. This negative going voltage results in 0v output from both MV1 and MV2. The outputs from the volume stepper are applied to the lamp and VOLUME control transistors.
VOLUME and Lamp Level Control
When the TV receiver is OFF, and no transmitted signals are applied from the remote transmitter, transistors Q9 and Q10 are nonconducting. Two situations then exist: The collector voltage of transistors Q9 and Q10 is high, diodes D5 and D6 are reversed biased and the indicator lamp is not illuminated. The positive collector voltage is applied to the gates of the N-channel FET's (Q11 and Q12) resulting in heavy conduction through two resistors (R35 and R36), which shunt the VOLUME control.
When the transmitter VOLUME function is activated once, the base of transistor Q9 is driven with a positive voltage (from Pin 4 of IC1), resulting in a decrease in collector voltage, Diode D5 is forward biased and the indicator lamp lights.
dimly through the 300Ω resistor, diode D5 and transistor Q9. The reduced collector voltage is applied to the gate of FET Q11, biasing it off and in effect removing the 1.8K resistor (R36) from the volume control circuit. However, transistor Q10 is not conducting (no driving signal applied from Pin 3 of IC1), the collector voltage is high and FET Q12 continues to conduct. The 220Ω resistor (R35) thus remains effectively in parallel with the volume control through the low impedance of FET Q12—resulting in a low volume level.
If the transmitter volume function is activated a second time, transistor Q9 is turned off by the control voltage from the volume stepper (Pin 4, IC1) and transistor Q10 is turned on. With transistor Q10 conducting, indicator lamp PL10 lights brighter through the lower resistance path of Q10, forward biased diode D6 and the 120Ω resistor.
The collector voltage of transistor Q9 rises and is applied to the gate of FET Q11, resulting in conduction through the 1.8K resistor across the volume control. However, FET Q12 is now nonconducting and so the 220Ω resistor (R35) is in effect
continued on page 78
The mute switch is located at the rear of the channel-change motor armature. This switch blanks the picture and mutes the audio signal during tuner rotation.
Complete schematic of the Motorola Model TRR-11 Remote Control System.
Servicing CB Transceivers
by C. A. Tuthill
Tips concerning the maintenance and operation of these popular two-way radios.
To properly service a modern Citizens Band (CB) two-way radio, it is important to understand the function of various portions of its circuitry. This must include some background in the operation of channel synthesizers, RF noise silencers and antennas, plus RF and IF alignment of both the transmitter and receiver sections.
CHANNEL SYNTHESIZER
Even in solid-state two-way radios, there is enough difference between the channel synthesizers encountered to require study before any attempt is made at servicing. Circuitry differs from one synthesizer to another—some requiring 10 crystals and others using 14 to operate on the 23 assigned channels.
For example: The blank channel between Channels 22 and 23 must not be used. Interference with government services would result and might cause license revocation. This is so important that the FCC dictates that, "transmitter adjustments must be made only by one in possession of a Commercial First or Second Class Radio Telephone License." It is important that any operator of a CB transceiver read and understand the dictates of Part 95 of the applicable FCC regulations.
Basic servicing instructions for a typical solid-state unit, the Lafayette HB-625 transceiver (Fig. 1), are presented here. Other models will be covered later in this series. In this case the frequencies derived from the synthesizer are common to both the transmit and receive modes. Table I speaks for itself. Note that in each case the derived frequency is exactly 11.275MHz higher than the operative channel.
During transmission, the derived frequency (Table I) is converted to the desired channel frequency by the 11.275MHz oscillator TR-4 (Fig. 2). In the receive mode, the derived frequency is heterodyned with the incoming channel frequency at the first mixer (TR-10 in the overall block diagram, Fig. 2). This produces a first IF at 11.275MHz.
Table II shows the frequency of each crystal. This is an aid to the technician when replacement is required. The part number is given in the manufacturer's catalog, free for the asking. Table II also points out that failure of any one of the 10 crystals used will cause a malfunction on several channels. Study the right-hand column of Table II. From it you will note that failure of Crystal One will inhibit operation on channels one through four.
Fortunately this is not a chronic failure, crystals are quite reliable. From Table II we also see that failure on Crystal Seven will disable the transceiver on channels 1, 5, 9, 13, 17 and 21. But, the redeeming feature for technicians is that reference to Table II will steer them directly to a limited area of trouble. Troubleshooting will therefore take less time.
A description of the synthesis of Channel One (with the partial block diagram in Fig. 3) will help clarify the explanation of this circuit's function, since this analysis applies to all 23 channels. Note that in a
transmit or receive mode of Channel One (26.965MHz), Crystals One and Seven are used—Oscillator TR-1 takes its input from Crystal One, and Oscillator TR-2 takes its input from Crystal Seven. Outputs from these oscillators are mixed in Circuit TR-3. The output from Mixer TR-3 is applied to tuned circuits that only pass frequencies in the 38MHz range. Thus, only the sum frequency \((23.290\text{MHz} + 14.950\text{MHz} = 38.240\text{MHz})\) is applied to Mixer TR-5 (Fig. 3). This system of beating two crystal frequencies is used for every one of the 23 CB channels.
Although this description is only of Channel One, the
**TABLE II**
| CRYSTAL | FREQUENCY | USED IN CHANNELS (TRANSMIT AND RECEIVER) |
|---------|-------------|------------------------------------------|
| 1 | 23.290KHz | 1, 2, 3, 4 |
| 2 | 23.340KHz | 5, 6, 7, 8 |
| 3 | 23.390KHz | 9, 10, 11, 12 |
| 4 | 23.440KHz | 13, 14, 15, 16 |
| 5 | 23.490KHz | 17, 18, 19, 20 |
| 6 | 23.540KHz | 21, 22, 23 |
| 7 | 14.950KHz | 1, 5, 9, 13, 17, 21 |
| 8 | 14.960KHz | 2, 6, 10, 14, 18, 22 |
| 9 | 14.970KHz | 3, 7, 11, 15, 19 |
| 10 | 14.990KHz | 4, 8, 12, 16, 20, 23 |
**Fig. 2**—Functional block diagram of CB transceiver. Courtesy of Lafayette Radio Electronics Corp.
**Fig. 3**—Frequency conversion for Channel One. Courtesy of Lafayette Radio Electronics Corp.
Fig. 4—Schematic diagram of Model HB-625 transceiver. Courtesy of Lafayette Radio Electronics Corp.
tables in this article explain the other combinations for obtaining operative frequencies.
From Fig. 3 we also see that the noise gate output from Circuit D2, D3 drives a sharply tuned mechanical filter that will only pass 455MHz signals. This represents the difference between the two inputs applied to the circuit (D2, D3)—the 11.730MHz output from Crystal 12 minus the 11.275MHz output from Mixer TR-10 equals 455MHz. For every channel this double conversion is used to produce the 455KHz second IF signal. An overall detailed schematic is shown in Fig. 4.
**RF NOISE SILENCER**
The RF noise silencer circuit (Fig. 5) is designed to eliminate impulse noise, such as that generated by ignition systems. Other systems, that operate in the audio range, merely limit the amplitude of noise pulses. This RF silencer quiets the receiver for the duration of each noise pulse, thus eliminating the noise from the signal. To make an overall check of this silencer, apply a scope to the major test points indicated by the black arrows in Fig. 5. Components can be checked with the aid of the waveforms shown in this same illustration.
When no noise pulses are picked up by the antenna, there is no output from Amplifier TR-13. In this case the Balanced Noise Gate and Second Mixer D2, D3 operate normally—driven by the first mixer TR-10.
**ANTENNA**
Transceiver efficiency is heavily dependent upon the use of a proper antenna, input cabling and proper impedance matching between the antenna and the transceiver. The normal antenna input for this unit is 50Ω, but it may be used with 30Ω to 100Ω antennas. At the rear of the chassis there is an Antenna Loading adjustment for maximum radiated output.
**Mobile**
An antenna cable for a mobile rig should consist of a 50Ω, RG-58/U cable cut to a length of 11 ft 9 in., or multiples thereof—such as 23 ft 6 in. If either length is too long, coil the excess cable in loops not less than 8 in. in diameter. The mobile antenna can serve double duty, and replace the regular auto radio antenna if a commercially marketed two-way coupler is installed. In this case, a short loaded whip-type antenna will serve with little loss of radiation.
**Base Station**
The familiar ground plane, vertical coaxial or directional beam antenna may be used for base stations. For short distances, between buildings, a base loaded whip will work. This can be mounted directly on the rear of the transceiver. When lead-in lengths from larger external antennas exceed 50 ft, using RG-8/U cable instead of RG-58/U cable will result in less signal loss. A short run to a cold-water pipe is acceptable for a ground.
**ALIGNMENTS AND ADJUSTMENTS***
For access to components and adjustments, position the transceiver upside down on the test bench, with the speaker grill upwards and the front panel facing the front of the bench. Then remove the four Phillips head screws securing the uppermost chassis cover. Caution should be taken when removing the cover since the speaker is connected to the chassis by two leads terminated with push-type plugs. They should be pulled out gently.
**Caution:** Certain coil cores are sealed with wax. This wax must be carefully melted before attempting adjustments.
**TR-1 Oscillator Alignment**
- Connect a dc VTVM between the emitter of transistor TR-1 and ground. Then apply 12.6vdc power to the transceiver.
- Turn the selector to Channel 13.
- Adjust the core of coil L1 for a maximum reading on the VTVM. It should read between 3v and 4v.
**TR-2 Oscillator Alignment**
- Connect the dc VTVM between the emitter of transistor TR-2 and ground.
- Adjust the core of coil L2 for a maximum reading of between 3v and 4v.
**RF and IF Alignment**
- Connect an RF signal generator to the antenna connector.
- Connect an ac VTVM across the speaker terminals. Set the Volume control to mid-position. Squelch and RF Noise Silencer to OFF and Delta Tune to mid-position.
- Tune the signal generator to 27.115MHz (Channel 13) and modulate the RF signal 30 percent with a 1kHz tone. Adjust the signal generator's output to 10v.
- Turn the selector to Channel 13 and vary the signal generator frequency around 27.115MHz to obtain a maximum reading on the VTVM.
- Adjust IF transformers L15 and L16 for maximum output on the VTVM.
- Reduce the signal generator's RF output to approximately 1μv. Then sequentially adjust coils L3, L4 and L5, and IF transformers L15, L16, L17 and L18, plus the MF (mechanical filter) and IF transformers L19, L20 and L21 for a maximum reading on the VTVM. Repeat this procedure until no further improvement can be obtained.
- Increase the signal generator's RF output to 100μv and then adjust potentiometer VR-4 until the S-meter reads S-9.
**TR-14 Oscillator Alignment**
The second conversion oscillator has its frequency controlled by the position of the Delta Tune switch. In the normal (center) position of this switch, this oscillator operates at 11.730MHz. With this switch in that position, adjust IF transformer L25 for a maximum reading of the ac VTVM while the meter is connected across the speaker terminals. Finally, rotate the slug of
this transformer (L25) 1/8th turn clockwise from the peak reading. This offers a cushion.
**Gain Adjustments**
- Connect a dc VTVM between ground and the junction of resistors R58 and R59.
- With no signal applied to the antenna, adjust potentiometer VR3 for a reading of 7.0vdc on the VTVM.
**RF Noise Silencer**
- Set the Noise Silencer to ON and the Channel Selector to One.
- Connect a dc VTVM (for a negative dc reading) to the output side of diode D4. With the VTVM ground lead connected to the negative side (American cars) of the EX jack (board ground), use the signal generator to supply an unmodulated Channel One signal (26.965MHz) into the antenna input jack. Increase the signal level until a negative dc reading is obtained on the VTVM. Adjust coil L22 and variable capacitor VC3 for a minimum reading.
- Set the signal generator to 25.0MHz and adjust IF transformers L23 and L24 for a maximum negative dc reading.
**Transmitter**
*Warning:* You must obtain a Class D Citizen’s Band License before operating your transceiver. You should be thoroughly familiar with applicable FCC regulations. Part 95 of the FCC rules may be obtained for $1.25 from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20525.
*Note:* Alignment of oscillators TR1 and TR2 is described with the receiver alignment portion of this article. Since these two synthesizer components are used for both the transmit and receive functions, no additional data is required in this article.
- Connect a 50Ω RF wattmeter to the antenna terminal of the transceiver.
- Turn the selector to Channel 13.
- Apply 12.6vdc power to the transceiver. Depress the microphone button and adjust sequentially the cores of coils L6 through L11 for maximum indication on the RF wattmeter.
*Note:* The adjustment of coil L10 is critical. Careless adjustment here can reduce the transmitter's output to zero.
- If power output is low on certain channels, check Channels 1 and 23 as in the previous step. This should result in equal output on all 23 channels.
- Adjust coils L12 and L13, plus variable capacitor VC-2, for maximum output on the RF wattmeter.
*Note:* Coil L12 is adjusted by compression or expansion of the coil turns. Use a non-metallic tuning tool for this adjustment.
- Depress the mike button and adjust potentiometer VR-5 until the transceiver's S/P-RF meter reads the same power as the wattmeter.
- If an RF field strength meter is applied, the transceiver may be peaked at the installation with the antenna connected. Through a hole in the rear of the
*continued on page 69*
Quadraline Four-Channel Sound
by Phillip Dahlen
Examining a New Breed of Audio Equipment
It was back in college that I heard my first stereo. The professor had been doing some experimental work with dual-track magnetic tape, and it was interesting to hear the jet planes zooming in through the classroom window and out through the corridor door, followed by a string of locomotives. More accurately, it was thrilling!
Then about two years ago we heard our first four-channel sound demonstration—oh how terrible! Percussion instruments were pounding at us from all four corners of the room. It was therefore with some hesitation that I brought home Motorola's 275 Quadraline four-channel cartridge tape player and sample cartridge to become better acquainted with their system. One speaker was placed in each corner of the living room, the connecting wires being neatly draped around one side of the room.
It was a very pleasant surprise to hear the resulting music. For now I heard demonstration music at a much lower decibel level, and it sounded very natural. You were no longer sitting way in the back of the auditorium, hearing the music coming from but one direction; you no longer had a front-row seat, hearing the sound from appropriate positions across the stage; you were now on the stage among the musicians, hearing each instrument sound from its relative position in front, behind, to the left or right of you. It was a very relaxing experience.
Tape-Player Controls
On the left portion of the control panel there is a PROGRAM SELECTOR push-button switch for selecting tape channels one or two on eight-track, four-channel tapes, or channels one through four on eight-track, stereo tapes. If not manually switched, the tape player will alternately switch between channels one and two upon the completion of each four-channel track, or from channel one through channel four and back to channel one upon the completion of each stereo track. The corresponding channel number is illuminated on the panel above the selector switch.
The next control to the right (MODE switch) offers a choice of tape, four-channel auxiliary or two-channel auxiliary (the two channel sound coming from all four speakers). Lights behind the tinted panel illuminate words stating the current mode of operation.
The BASE control has an illuminated numerical scale and is said to provide 13dB cut at 60Hz on all
four channels, while the TREBLE control has an illuminated numerical scale and is said to provide 17dB cut at 10kHz on all four channels. The illuminated MASTER LEVEL control regulates the level of all four channels before the first amplifier stage and is center tapped to provide bass boost at lower level settings.
The grid balance system is probably the most impressive appearing system in the tape player. When the player is ON, a horizontal grid is illuminated and can be seen through the tinted front panel. The corners of this green grid represent the four speakers. The red dot shining through the grid represents the relative position between speakers where you intend to listen. The four-pot FRONT-TO-REAR BALANCE control moves this dot towards the front or back of the grid, while the four-pot LEFT-TO-RIGHT BALANCE control moves it left or right across the grid.
**Tape Deck**
The presence of a groove on the four-channel tape cartridge is used to distinguish it from a stereo tape cartridge. Without this groove, the MODE switch is moved to its two-channel position upon inserting a standard stereo eight-track cartridge.
Inserting either type cartridge also presses the POWER switch, turning the tape player ON. The cartridge is also pressed against the cartridge eject arm, which in this unit is used to merely press another arm against the side of the cartridge, holding it in place—in other units the eject arm is also used to remove the cartridge from the tape player.
Like all other standard cartridges, the four-channel eight-track cartridge contains a long continuous loop of magnetic tape. An electrically conductive strip is secured across one segment of this loop, completing
an electrical circuit across the TRACK switch with the completion of each loop, so that the tape deck can be automatically switched to another track. This is done by activating an electrical solenoid, which pulls a plunger to rotate a cam. The cam, in turn, raises or lowers the tape-head assembly and rotates the PROGRAM INDICATOR switch.
The tape-head assembly actually contains four tape heads, one for each of the four audio channels. When the assembly is in its upper position, the tape heads are sensitive to the recorded signals on tape tracks 1, 3, 5 and 7; while when in the lower position, they play tracks 2, 4, 6 and 8. To play four-channel sound, the tape-head assembly moves to alternately play the two sets of tracks just noted (the tape guide preventing the tape from vertically shifting along with the head assembly). However, when playing two-channel stereo programs, the top pair of tape heads play tracks 1 and 3, then the head assembly drops and the same pair of tape heads play tracks 2 and 4, then the head assembly rises to its original position and the second pair of tape heads play tracks 5 and 7, then the head assembly drops again and the second pair of tape heads play tracks 6 and 8. After completing this cycle, the head assembly again rises and the first pair of tape heads again plays tracks 1 and 3—repeating the initial music unless another cartridge is placed in the tape deck.
**Amplifier Design**
Each of the four channels has its own two-transistor preamplifier, the four circuits being constructed on a single printed-circuit board, which is mounted on the tape deck. During two-channel operation, the MODE switch ties the two left channel and right channel outputs together. This would result in distortion in the first stage of the next amplifier if it were not for a diode, which effectively removes the load of the nonconducting preamplifier from the load of the conducting preamplifier, maintaining an 8.2K load at the input of the first audio amplifier.
The four-channel audio amplifiers are also identical, each consisting of...
Upon peering through the panel opening through which the tape cartridge is inserted, we can see the TRACK switch, tape guide, tape head, cartridge eject arm, tape drive capstan and POWER switch.
The many wires shown at the left are connected to the cartridge MODE switch. Because of the slot in the four-channel cartridge, inserting the cartridge does not cause the lever to press against the switch—leaving it in the four-channel mode.
Two lamps mounted at the back of the frame housing the grid pattern are used to illuminate it. A filter around each bulb causes the pattern to appear green.
An end view of the four-channel eight-track cartridge used to demonstrate the tape system.
Quadraline...
two stages of amplification—one drive stage and a complementary symmetry output.
Manufacturer Specifications
The tape player is said to run on 122v ac at 60Hz, consuming approximately 105w of power. It has a rated peak power output of approximately 30w per channel, each channel having a 16Ω speaker load. The capacity-start tape-drive motor is self-regulated for 122v dc.
Conclusion
Unlike some systems now on the market, this system offers true four-channel sound rather than merely synthesizing four-channel sound from stereo by reproducing stereo treble notes from the front speakers and stereo base notes from the rear speakers. Such synthesizing systems were also prevalent with the initial development of stereo—monaural base notes then being reproduced from the left speaker and monaural treble notes being reproduced from the right speaker.
How to tell which is the largest compact van built in America.
(No matter how you look at it.)
Load 11-foot stepladder behind driver's seat.
Load 12-foot rolled carpet behind engine cover.
Remove right front seat and load 14¼-foot canoe or 15-foot rolled carpet diagonally.
If you can't close the rear doors, you haven't loaded a Dodge Maxivan Strong Box.
And you'd better get one.
Dodge Strong Boxes give you a lot more than just more room: Independent front suspension and longer 127-inch wheelbase mean better handling and ride. □ Shorter turning circle. Even with a 127-inch wheelbase, you have greater maneuverability. □ Wind-tunnel body and curved windows reduce wind-sway effect. □ Front wheels can be inexpensively aligned on passenger-car equipment. □ Biggest V8 engine offered. 360 cubic inches.* □ Three-speed TorqueFlite automatic transmission* with a choice of three engines available on all models. □ Integral power steering.* □ Power brakes. □ Fresh Air air conditioning* and exclusive Fresh Air heater provide even flow of clean air. Air is not recirculated. □ High-level air intake helps keep incoming air cleaner. □ Front passenger's seat does not block side cargo door entrance. □ Both front seats are easily adjustable. □ Concealed side safety-step offers firm footing since it doesn't collect ice or snow. □ Wider front doors and door steps and less wheelhouse intrusion make for easier ins and outs. □ Full-foam padded bucket seats up front give softer ride and more comfort. □ Two-stage door checks conveniently hold doors in two positions. □ Biggest gas tank. 26 gallons. □ Smaller engine cover is easy to remove for servicing. Also, easier for driver to reach back seats. □ Extra rust protection on undersides, doors, and panels. □ Large hood opening. Battery, dipstick, and radiator are easy to reach. □ Engine can be removed quickly and easily through the front. □ And the list continues at your Dodge Dealer's.
Dodge Maxivan takes the "packed" out of compact vans!
*Optional at extra cost.
...for more details circle 107 on Reader Service Card
FEBRUARY 1972, ELECTRONIC TECHNICIAN/DEALER | 55
We have a boy
for every girl.
We have a tremendous line of receiving tubes—over 1000 at last count.
We have 205 different black-and-white picture tubes.
We have the industry's most complete line of color picture tubes.
We have semiconductors of all kinds: transistors, FETs, diodes, rectifiers, SCRs, Zener diodes, linear ICs.
These are our boys.
They're easy to work with.
We've organized replacement programs (like our ECG semiconductor program), so that you can keep the least amount of stock on hand to replace the most number of parts.
We publish the Sylvania Technical Manual, which is practically a replacement encyclopedia (32,000 components!).
We have loads of specialized replacement literature. And we help you with any replacement problem.
See your Sylvania distributor and get to know the family.
GTE SYLVANIA
Electronic Components Group, 100 First Ave., Waltham, Mass. 02154.
Cashing in at the MATV Super Market
by Richard Deutsch
MATV is receiving lots of attention these days. The convenience and superior quality of TV reception provided, and the profit potential all make it a highly attractive investment for the electronics service dealer, the building contractor and the end user alike. It is indeed a super market whose potential hasn't even begun to be realized.
Getting into the MATV field is easier than you'd think—even if you've never handled a piece of MATV equipment in your career! Most MATV equipment manufacturers have systems planning and education programs to assist you with the technical data and information you'll need for laying out and installing systems for every need. For the purposes of this discussion, let's assume that you have got the know-how to handle any system for any commercial and residential need. Now, where do you get your leads?
Let's start with the foundations. There's a potential MATV customer anywhere where you see excavations being dug. Whether it's a real estate development, high-rise apartment, hotel, motel, office building, department store, hospital or school, you've got a vital lead that should be followed up.
Contact real estate firms, contractors, engineers and architects with a brief résumé of MATV and its overall profitability. Your most powerful sales points are: MATV's increasing the value of the building under construction; its profitability through leasing or contracting to the tenant, or owner; its ease of installation maintenance, and its overall economy. All this pointing up to the fact that TV is one of the most powerful forces in our daily lives. Although we may not admit it, sooner or later all of us become addicted.
You don't need to present final quotes or a definite proposal, but you should be able to offer suggested uses for MATV and CCTV.
You've got several angles of approach in installing the system, since it can easily be worked into the electrical system during the initial planning stages, or can be added to a building under construction or nearing completion with very little deviation from the initial plans.
Naturally, the most efficient and economical installation is performed during the building's construction, however the costs can be cut down, when the building has been completed, by using a little imagination in planning. Running cable and conduit down through attics, or up through crawl spaces and basements cuts the costs and keeps the amount of exposed line to a minimum.
In many cases, interior line can be hidden behind base boards and decorative trim. In planning, make sure that the only visible part of the system to the occupant is the wall outlet—and the superior TV reception he tunes in.
MATV not only adds to the building's overall value, but provides additional revenue as well. When charged for on a monthly basis, or included in the basic rental fee, it most often pays for itself within the first year, and in many cases can be expected to show a profit. In high-rise apartment houses, MATV can be offered as a rental option. As an installer you have the option of leasing the system or selling it outright. When selling, be sure to obtain the periodic service contract.
Don't be afraid to take a risk. Many dealers have developed profitable business by installing systems in buildings at their own expense, and then offering them to the buyer as an option, much as central vacuum systems and air conditioning.
Model homes are ideal for developing MATV sales. Couples looking into new homes are investing in their future comfort, and the relatively modest cost of MATV, combined with its convenience and practicality, make it its own best salesman. People may opt against the fireplace or the flagstone terrace, but they'll seldom cut corners when it comes to TV.
Contact the developer and arrange to set up a working system in the home. You can display TV sets...
with your own advertising, and offer them as part of the house package. This is also a fine opportunity for introducing CCTV as a monitor for the nursery, front entry or playroom.
In many cases, displaying in model homes also leads to related sales of TV sets, Hi-Fi equipment, home intercoms and other applications that you as a dealer may handle. Another fringe benefit to showing in model homes is that you'll most often be the one the buyer contacts when his TV sets need attention—especially if he's just moved into the area.
You might also check the social pages of your paper for entries such as: "Mr. and Mrs. Joe Blat have moved to their new home on Wentworth Drive"—and are customers for MATV!
Other areas to look into:
Watch for bid submissions... they're required by law to be announced publically, and will be published in your local papers. If you have the means, and the growth rate of your area justifies it, you may want to subscribe to the DODGE CONSTRUCTION REPORT. This is a compendium of construction activity published monthly by area, and is a quick and easy reference to contracts being let out for bid.
You'll also want to check the papers and your town clerk for any building permits that have been issued. Visit the local lumber yard and find out who's buying materials to add a new wing or dormer. These are your potential customers.
And, it's always wise to make yourself known around town. Talk to PTA's, school principals and teachers' associations about the benefits of MATV and CCTV for educational purposes. Have a brief talk prepared that you can give in front of civic groups. The local Rotary or Lions are generally the people who are involved in what's happening, and can be invaluable contacts... the man in the fifth row who's all ears may just have been awarded the contract for the new community hospital!
Incidentally, hospitals are an exceptionally healthy MATV marketing opportunity. They offer a self-liquidating means of providing TV entertainment for patients, through the expedience of pay TV. A simple coin device hooked up to the TV set will cut off the audio portion of the broadcast, and release it when money is inserted. You'll also find applications for CCTV through the monitoring of hospital sick bays, intensive-care units and operating theaters.
What you're basically selling is an RF video distribution system with provisions for distributing outside TV broadcasts and inside TV programming. The system is inherently versatile, since it's compatible to any future innovations in the field, and is therefore an immense asset in convenience and profitability to the owner of any building. The horizons are virtually unlimited. Use the opportunities at hand, and your own imagination, and you've got the key to a highly lucrative supermarket with a wide open profit potential.
Leader’s LS-5 Electronic Switch
by Phillip Dahlen
Designed to upgrade your present scope
We have frequently stressed the importance of having a good, professional scope for greater servicing efficiency. Such a scope can eliminate many wasted hours, thus quickly paying for itself with the resulting increase in revenue.
Although we hold strongly to this position, we must also recognize the fact that not everyone entering our profession has the necessary capital to immediately purchase all of the professional-quality instruments required. Suppose that before entering trade school you purchased a single-trace, ac-only scope. Now that you have attained greater technical competency, you find that for effective servicing you really need a more expensive ac/dc-coupled scope—there also being occasions when it is desirable to compare waveforms (or signal conditions) with a dual trace. But your present scope, though inadequate, is in good operating condition, and you cannot afford to replace it.
There is an answer to your problem. One that should be well within your budget. That is the purchase of an electronic switch. By attaching such an accessory to the input terminals of your scope (no circuits within your scope need be modified), suddenly your ac-only scope is capable of measuring dc voltages. You are also able to observe dual traces on your scope. The additional trace may be used merely as a 0v dc reference when noting both the ac and dc components of the signal observed with the first trace. Or the second trace may be used to observe a different signal present in the defective circuit under test.
One electronic switch now on the market is made by Leader Instruments Corp. Their Model LS-5 solid-state switch is said to have switching frequencies of 1.5, 5, 30 and 50kHz. Specifications indicate that in addition to having “instant-on” capability, it offers a triggered output to facilitate very fast and highly stable synchronization of the observed signal.
Additional specifications indicate that the dc frequency response is dc to 300kHz, while the ac frequency response is 2Hz to 300kHz—each of the two channel inputs being ac or dc switchable. Vertical sensitivity is rated at 0.05v/cm with an input impedance of 1M at 40pf.
Individual GAIN and POSITION controls are provided for each channel.
The instrument measures 3⅛ in. H by 5¼ in. W by 4 in. D and comes with a specially integrated mounting bracket to facilitate the direct attachment of this instrument to any scope used. The instrument weighs approximately 3 lb.
Finco will pay your first year's dues in either NEA or NATESA and give you a profit to boot!
A sensational "never before" contribution to the security, growth, and future of all independent television service.
YES! FINCO is offering $59,500.00 (Merchandise at Retail Price)
The Finney Company, in making this "never before" $59,500 (unsolicited) offer — looks forward to continued close association and mutual support with INDEPENDENT SERVICE in the common cause of good product quality coupled with unquestioned, efficient "INDEPENDENT TELEVISION SERVICE".
This offer is limited to 1000 new affiliations (500 NEA - 500 NATESA)
FINCO’s 1972 Objective:
1,000 TOTAL NEW MEMBERS!
500 NEW NEA MEMBERS!
500 NEW NATESA MEMBERS!
1. MEMBERSHIP DRIVE STARTS: January 1, 1972 through March 31, 1972
2. All New Members must be signed up and approved by either NEA or NATESA. ($35 — First Year Dues Paid.)
3. Each approved NEW NEA or NATESA Member will receive from The Finney Company a GIFT CERTIFICATE good for $35 worth of FINCO PRODUCTS at SERVICE DEALER WHOLESALE PRICE! When sold to your prospective customer at regular price (approx. $59.50) you will have received back your original $35 dues — PLUS — a $24.50 NET PROFIT! — THAT’S RIGHT! — FINCO is actually making it possible for each new affiliate to make a $24.50 profit by joining either NEA or NATESA!
4. FINCO MATV equipment and all FINCO Outdoor Antenna Models are included — Rabbit Ears (Indoor Antennas) ARE NOT INCLUDED IN THIS OFFER.
5. New affiliates should NOT contact The Finney Company for their free Gift Certificates — All questions and correspondence should be directed to NEA or NATESA Headquarters.
6. NEA and NATESA shall have the sole jurisdiction as to the pro-rating of FINCO Gift Certificates to their respective Districts, States or specific areas. Their decision shall be final.
For further information as to how you can take advantage of FINCO’S amazing offer, fill out and send this coupon to either NEA or NATESA (Check preference)
☐ NEA — 1309 West Market St. — ITTA Bldg. Indianapolis, Ind. 46222
☐ NATESA — 5908 South Troy Street, Chicago, Illinois 60629
Service Dealer
Address
City State Zip
Per
... for more details circle 110 on Reader Service Card
FEBRUARY 1972, ELECTRONIC TECHNICIAN/DEALER | 61
Reliable Electronic Assembly Production
Here is one of those rare books which successfully bridges the gap between design and production technologies, thereby providing guidelines for choosing the best design to achieve the least expensive and most reliable product. The content provides information on materials and methods employed in mass production, giving the designer a good knowledge of the broad range of processes he should consider in evolving a final product concept. Not only does the content define the best materials for each given application, and detail the best choice for fabricating but it also points out incompatibilities which may evolve between design and production. 208 pages. Hardbound.
List Price $12.95 Order No. 287
Electric Motor Test & Repair
A guide to maintenance practices for all types of small horsepower motors. While many of the larger motor repair shops find it more expedient to replace low horsepower units, repair of small electric motors is still a widespread and profitable practice. This practical guide contains a wealth of information on testing and rewinding small motors of every type, including fan, starter, polyphase, capacitor, induction, synchronous, etc. Early chapters tell you how to set up a motor test panel, make general tests and measurements, and advise you about the tools and equipment needed (such as an armature winder, wedge driver, cutting and gauging board, coil taper, puller plate, etc.). 160 pps., 102 illus. Comb-bound with soft cover.
List Price $6.95 Order No. T-97
Pinpoint TV Troubles in 10 Minutes
A MAMMOTH quick-answer guide to over 700 TV circuit troubles. If you service TV receivers, this book offers you more practical help for the money than any other ever published. Using large-size photos of different picture-troubles, keyed to trouble-finding charts which identify over 700 probable defects, you can pinpoint almost any TV circuit or component defect in minutes. 50 detailed charts pinpoint the most probable defect causes in every circuit or major component—from tuner to picture tube, from sound and audio to power supply. A 5-page trouble-system chart allows you to find the appropriate reference chart. Contains over 160 waveform photos to compare with those on your scope—in each case explanations tell you the most likely causes for improper wave-shapes. 372 pps., 394 illus. Hardbound.
List Price $8.95 Order No. 428
Modern Electronic Troubleshooting
A down-to-earth handbook that deals with today's electronic servicing problems on a practical level, using modern test instruments and advanced troubleshooting procedures to cope with the special problems created by printed boards and solid-state circuitry. It is hard to conceive of a book that encompasses monochrome and color TV, multiband radio receivers, hi-fi equipment, tape recorders, two-way communications equipment, and test instruments for servicing all this equipment. Yet this book does! By getting into the heart of servicing electronic equipment without the usual wordy theoretical discussions of how the circuits work. An all-inclusive servicing guidebook service technicians have been asking for. 256 pps., over 100 illus., 5 big sections, 24 chapters.
List Price $7.95 Order No. 474
Electronic Circuit Design Handbook
New Third Edition—A brand-new, enlarged edition of the popular circuit designer's "cookbook," now containing over 600 proven circuits, for all types of functions, selected from thousands on the basis of originality and practical application. Now you can have, at your fingertips, this carefully-planned reference source of tried and tested circuits. Selected from thousands submitted by distinguished engineers, these "thought-starters" are a collection of original circuits selected on the basis of their usefulness. This well-compiled compendium of practical design data is the answer to the need for an organized gathering of proved circuits... both basic and advanced designs that can easily serve as stepping stones to almost any kind of circuit you might want to build. 384 pps., 19 big sections, over 600 illus., 8½" x 11".
List Price $17.95 Order No. T-101
How to Use Test Instruments in Electronics Servicing
A long-needed, practical handbook on test equipment applications—ranging from the use of audio gear to tube and transistor checkers. Just what you need to put your test equipment to work. Not a "how-it-works" treatment, but a "how-to" manual describing specific techniques and troubleshooting techniques for the electronic technician. You'll discover new ways to use your scope and several new "tricks" you can perform with your meters. You'll learn signal-injection troubleshooting, how to measure inductance and capacitance with the help of your signal generator, pointers and pitfalls for using markers, sweeps and pattern generators, shortcuts and special techniques for color TV troubleshooting, how to test audio circuits and FM stereo equipment, and much more. 256 pps., over 200 illus. Hardbound.
List Price $7.95 Order No. 485
Industrial Electronics Made Easy
Here is a practical guide to electronic processing and control circuits and systems, written especially for service technicians. It provides technical knowledge on the operation and application of industrial process, control, recording, and measuring circuits and devices. The author compares industrial circuits with those used in the more familiar commercial electronic and radio equipments. Early chapters provide an introduction to applications of electronics in industrial processing and control systems, encompassing dielectric and induction heating, welding, ultrasonic devices, indicators and recorders, radiation detectors, transducers, counters, computers, CCTV, etc. Later chapters provide in-depth coverage of the circuits and systems with emphasis on counting and logic circuits. 288 pps., 239 illus. Hardbound.
List Price $8.95 Order No. 99
Electronics Reference Databook
This new book is much more than a simple collection of tables, formulas, graphs, equations, etc. In addition to the abundance of helpful information given, it provides useful guidance in the use of data. Numerous problems associated with every level of interest—from electronics theory (formulas and laws) to measurements, tests, and circuit design work—are covered. In so doing, the author explains how to use the data (from this or other volumes) for purposes other than those listed. Covers Electronics Data: Use of J-Polar, Exponential and Other Tables, Attenuators and Equalizers, Filter Design, Practical Component Design and Application, Tube and Semiconductor Circuit Design and Operation, and Transmission Lines. 224 pps., over 100 illus., plus 45 tables. Hardbound.
List Price $7.95 Order No. 488
Working with Semiconductors
A BRAND-NEW working guidebook to semiconductor circuit operation of value to technicians and others who work with solid-state equipment. The wonderful aspect of this book is that you can really develop a thorough understanding of semiconductors—and actually enjoy doing it! In striking contrast to the usual textbook approach, this up-to-the-minute volume avoids dry, theoretical mathematical explanation—it tells you simply how and why things work...backed by clear, clear step-by-step instructions. More advanced circuits covered are: transistor oscillators, multivibrators, Eccles-Jordan and Schmitt trigger circuits, crystal-controlled generators, constant power supplies, high-frequency circuits, field-effect transistors, unijunction transistors, tunnel diode SCRs, etc. 224 pps., over 185 illus., 15 Chapters.
List Price $7.95 Order No. 501
AN EXTRAORDINARY OFFER...
An Extraordinary Offer
to introduce you to the benefits of Membership in
ELECTRONICS BOOK CLUB
for a limited time only you can obtain
ANY 3 OF THESE UNIQUE BOOKS . . . yours for only 99¢ each
(Combined List Price $47.80) Club Membership
May we send you your choice of any three books on the facing page as part of an unusual offer of a Trial Membership in Electronics Book Club?
Here are quality hardbound volumes, each especially designed to help you increase your know-how, earning power, and enjoyment of electronics.
These handsome, hardbound books are indicative of the many other fine offerings made to Members... important books to read and keep... volumes with your specialized interests in mind.
Whatever your interest in electronics—radio and TV servicing, audio and hi-fi, industrial electronics, communications, engineering—you will find that Electronics Book Club will help you.
With the Club providing you with top quality books, you may broaden your knowledge and skills to build your income and increase your understanding of electronics, too.
How You Profit From Club Membership
This special offer is just a sample of the help and generous savings the Club offers you. For here is a Club devoted exclusively to seeking out only those titles of direct interest to you. Membership in the Club offers you several advantages.
1. Charter Bonus: Take any three of the books shown (combined values up to $47.80) for only 99¢ each with your Trial Membership.
2. Guaranteed Savings: The Club guarantees to save you 15% to 75% on all books offered.
3. Continuing Bonus: If you continue after this trial Membership, you will earn a Dividend Certificate for every book you purchase. Three Certificates, plus payment of the nominal sum of $1.99, will entitle you to a valuable Book Dividend which you may choose from a special list provided members.
4. Wide Selection: Members are annually offered over 50 authoritative books on all phases of electronics.
5. Bonus Books: If you continue in the Club after fulfilling your Trial Membership, you will receive a Bonus Dividend Certificate with each additional Club Selection you purchase. For the small charge of only $1.99, plus three (3) Certificates, you may select a book of your choice from a special list of quality books periodically sent to Members.
6. Prevents You From Missing New Books: The Club's FREE monthly News gives you advance notice of important new books... books vital to your continued advancement.
This extraordinary offer is intended to prove to you, through your own experience, that these very real advantages can be yours... that it is possible to keep up with the literature published in your areas of interest... and to save substantially while so doing.
How the Club Works
Forthcoming selections are described in the FREE monthly Club News. Thus, you are among the first to know about, and to own if you desire, significant new books. You choose only the main or alternate selection you want (or advise if you wish no book at all) by means of a handy form and return envelope enclosed with the News. As part of your Trial Membership, you need purchase as few as four books during the coming 12 months. You would probably buy at least this many anyway... without the substantial savings offered through Club Membership.
Limited Time Offer!
Here, then, is an interesting opportunity to enroll on a trial basis... to prove to yourself, in a short time, the advantages of belonging to Electronics Book Club. We urge you, if this unique offer is appealing, to act promptly, for we've reserved only a limited number of books for new Members.
To start your Membership on these attractive terms, simply fill out and mail the postage-paid airmail card today. You will receive the three books of your choice for 10-day inspection. SEND NO MONEY! If you are not delighted, return them within 10 days and your Trial Membership will be cancelled without cost or obligation. Electronics Book Club, Blue Ridge Summit, Pa. 17214.
Typical Savings Offered Club Members on Recent Selections
| Title | List Price | Club Price |
|--------------------------------------------|------------|------------|
| Commercial FCC License Handbook | $8.95 | $5.95 |
| RCA Color TV Service Manual—Vol. 2 | $7.95 | $4.95 |
| Citizen Band Radio Handbook | $7.95 | $4.95 |
| How to Use Color TV Test Instruments | $7.95 | $4.95 |
| FET Applications Handbook | $14.95 | $9.95 |
| Fire & Theft Security Systems | $14.95 | $3.95 |
| TY, Radio & Hi-Fi Hints & Kinks | $7.95 | $4.95 |
| Beginner's Guide to Computer Electronics | $9.95 | $6.95 |
| 199 TV Tough-Dog Problems Solved | $7.95 | $4.95 |
| Zenith Color TV Service Manual—Vol. 2 | $7.95 | $4.95 |
| Transistor Projects for Hobbyists & Students| $7.95 | $4.95 |
| Electronic Musical Instruments | $7.95 | $4.95 |
| Electronic Test Equipment Handbook | $9.95 | $5.95 |
| Dictionary of Electronics | $6.95 | $5.50 |
| Computer Careers: What to Work | $7.95 | $4.95 |
| Japanese Color TV Service Manual | $7.95 | $4.95 |
| Solid-State Circuit Design for the Amateur | $9.95 | $7.95 |
| How to Read Electronic Circuit Diagrams | $7.95 | $3.95 |
| Electronic Test & Measurement Handbook | $7.95 | $4.95 |
| Computer Technician's Handbook | $11.95 | $7.95 |
| 125 One-Step Repair Projects | $7.95 | $4.95 |
| Servicing Modern Hi-Fi Stereo Systems | $7.95 | $4.95 |
SEND NO MONEY! Simply fill in and mail postage-paid Airmail card today!
NEWS...
continued from page 31
11. Prominently Display Shop Labor Rates and Technical Fees
(A) Prominently display a plainly legible listing of minimum service rates, estimate charges and/or hourly labor fees for all units normally accepted for service.
(B) Maintain and display, upon request, a complete listing of service charges, diagnostic fees, minimum labor rates and/or maximum hourly fees upon which all services are billed.
12. Maintain Installed Bills
(A) Provide with each repair for which charges are made an accurately itemized statement of all labor, materials, or parts used, including charge, taxes, shipping fees, technical time and/or labor charges and any other items included in the total price of the bill.
(B) Do not charge for labor actually installed and for services actually performed. Charge no more than a reasonable installed price, including procurement of parts, for any part installed or provided.
13. Maintain Truth in Advertising
(A) Ensure no tactics are used in advertising which tends to deceive or mislead any portion of the public either by actual wording, suggestive phrasing or by the omission or obscure placement of pertinent facts.
(B) Pertinent conditions and descriptive information about an advertised item or service must be included in the same message or ad and, if printed, must appear in type no smaller than one-fourth (\(\frac{1}{4}\)) the size of the type used for the name or description of the item or service. No misleading service shall be offered which is not readily available at the quoted or advertised price or which is not widely recognized as a standard feature of "optional extra" items or services unless such conditions are clearly stated.
(C) Make no claim that offer of import or export or delivery materials under conditions where no guarantee is given to the net cost to the user, except for low members of the industry. Advertise no fee which is so low that profit is not necessarily present through the sale. No misleading service shall be offered which is not readily available at the quoted or advertised price or which is not widely recognized as a standard feature of "optional extra" items or services unless such conditions are clearly stated.
(D) The name of a trip charge shall not be advertised as a service charge, etc. Prominently and truthfully identify the exact nature of the charge. No claim shall be made that the brand name and full model or part number of any product or part for which a picture and/or price is displayed or quoted.
(E) List the principal business and/or office address and telephone number of the service company in all advertisements and upon all receipts.
(F) The words "bonded," "authorized," "certified," "approved," etc., or words of similar connotation, shall not be used in any advertising unless it is also clearly stated to what extent and by whom such bonding, authorizing, licensing, certifying, approving, etc., is carried out.
(G) No reference or implication shall be made to indicate that a service or sales establishment is a factory branch or point of sale without authorization without the name of the establishment being so used. Any such claim demand, or that the firm is in any way or manner connected with another firm shall be clearly stated in the advertisement.
(H) No claims shall be made as to the amount or percentage of repairs which may be made on the basis of the time or date a given product was or is any other changeable or unforeseeable variable. Superlatives which are merely optimistic and subject to change shall not be used unless specifically related to products are specific items or classes of any kind. No use may be made of any material which cannot be promptly and clearly substantiated.
(I) The warranty period shall not be extended by the furnishing of any preheat or service when such product or service may be obtained only by purchasing or manufacturing replacement for another product or service for which a fee or other obligation or service must be provided in any event.
(J) All advertisements shall conform to standards as recommended by laws, the Advertising Council of America, Business Publications Bureau, Newsprint and/or other responsible agencies representing and/or endorsed by the electronic industry.
14. Cooperate with Authorized Industry-Policing Agencies
(A) Cooperate with and assist in any reasonable investigation by legal or authorized industry-policing committees concerning the cause or violation of any of these prescribed codes.
(B) All invoices or price quote shall contain the customer's name and full address; the make, model and serial number (when available) of the unit or units being serviced; the date upon which service was requested and completed and the name of the person who had the work done or directly supervised by the technician or other qualified person performing or assuming liability for each service performed.
(C) Testify truthfully and/or offer probable evidence against known violators of these codes or of other ethical and/or practices, including investigating committees or agencies and make immediately available any pertinent copies of records relevant to any legally questioned transaction when requested.
(D) Do not engage in malicious or unfair competition arising from the integrity of individual or collective competitors or upon the quality of parts or services regularly provided by them when in the presence of a customer or the general public.
15. Observe the "Golden Rule"
(A) Be honest and fair to the consumer, to your employees and to yourself.
(B) Expect just respect and compensation, as a skilled professional, for valuable services provided and be proud at all times to be part of an honorable and worthwhile profession.
(C) Be most courteous and respectful to all customers and acquaintances and treat each client as you would expect to be treated if you were the client receiving the services and the bill.
RCA Announces Recall of AM Clock Radios
RCA has initiated a recall and product modification program for its RZD-422 AM clock radio model.
W. Thomas Collins, manager of Consumer Affairs, RCA Consumer Electronics, said the action resulted from incidents involving three of the 27,000 units of the model produced. The incidents involved only damage to the radio itself with no other reported damage or personal injury.
Mr. Collins urged that owners of these clock radios promptly unplug them and return them for modification to any RCA Consumer Electronics dealer or distributor. The RZD-422 is the only model involved in the program.
"An extraordinary combination of circumstances—a capacitor changing value as a result of the radio being turned on a large number of times, followed by the unrelated failure of a diode—could cause this model to overheat to such an extent that a small hole may be burned in the plastic cabinet," Mr. Collins noted.
When we set out to make GE tv the sets you like to service, we recognized the importance of establishing good communications with independent service technicians. One of the ways we're doing this is with our quarterly newsletter, Television Service News. Right on the front of each issue of TSN is a list of local telephone numbers of GE people to call for information you need in a hurry. Things like: parts information; placing parts orders; technical help; service manuals; and credit information. Inside of every issue of TSN, we're putting the kind of advance news you need to more easily service GE b & w and color models. If your tv service company is not receiving GE's Television Service News, send us this coupon and we'll see that you get it.
"Dutch" Meyer
General Electric Company • TRPD
1 College Blvd. • Portsmouth, Va. 23705
Please send me GE's Television Service News.
Name__________________________________________
Service Company_________________________________
Address_______________________________________
City__________________State_____________Zip_____
We build every television as if we were going to use it ourselves.
GENERAL ELECTRIC
FEBRUARY 1972, ELECTRONIC TECHNICIAN/DEALER | 67
COLORFAX
The material used in this section is selected from information supplied through the cooperation of the respective manufacturers or their agencies.
RCA SALES CORPORATION
Color-TV Chassis CTC55 Series—Brightness Limiter/HV Adjustment
The following adjustment and check procedures (in brief form) may be helpful in resolving "insufficient brightness," "poor picture," or similar problems in early-production instruments.
Brightness Limiter Adjustment
The line voltage should be 120vac and the chassis ON for at least 10 min. Then turn the tuner to an unused channel and obtain a blank raster by inserting a screwdriver blade between tie point TP203 and the adjacent IF can (see Tekfax schematic No. 1378 and illustration). Then set the SCREEN controls correctly (just cut off). Turn the BRIGHTNESS control to maximum, CONTRAST control to mid-range and adjust the BRIGHTNESS LIMITER control (R406) to obtain a horizontal output tube cathode current of 260ma. If the 260ma current cannot be obtained, either change resistor R731 to 27K or bridge it with a 68K resistor.
The 260ma setting is correct for the early-production chassis. The current should be set to 240ma in the later-production chassis (chassis with a video output screen resistor 47K, R104).
High-Voltage Check
Perform this check on normal station signal. The high voltage should measure 21.5kv with an open jumper across resistor R413. Then turn the BRIGHTNESS control to maximum—the allowable drop from the previous reading is 3kv.
MOVING?
Be sure to let us know your new address. Please enclose a complete address label from one of your recent issues.
transceiver chassis, the Antenna Loading control may be adjusted with a non-magnetic screwdriver for maximum output, as indicated on the field-strength meter. For accurate results, place the meter at least 30 ft from the antenna.
**Modulation Adjustment**
- Connect a modulation monitor to the transceiver.
- Connect an audio generator between ground and the center pin of the microphone connector. Tune the signal generator frequency to 1kHz and adjust its output level to 10mv.
- Apply power to the transceiver and depress the mike button. Adjust potentiometer VR-6 to produce 80 percent modulation as indicated by the modulation monitor. Voice modulation should never exceed 100 percent.
**TVI Adjustment**
- Tune a TV set to Channel 2.
- Depress the mike button and adjust coil L14 at the rear of the transceiver for minimum interference on the TV set. (The interference being eliminated may appear as a cross-hatch or wavy line pattern on the TV screen during CB transmission.)
**SERVICE NOTES**
Remember that it is the transmitter that is licensed and not the operator. Anyone may operate a properly licensed transceiver, but the licensee is responsible for any violations. Therefore, power to the auto transceiver should be available only when the ignition switch is on. This will prevent unauthorized operation by other persons and prevent battery drain when the unit is not in use.
Most American cars use negative ground system while most foreign cars use positive ground. Care must therefore be taken to determine the polarity of ground before any repair or modification is begun. ■
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**Why pay an answering service when you can own your own?**
Dictaphone has a machine to make sure you never lose another cent through a missed phone call or a garbled message. In fact, we have a whole line of them.
They’re called Ansafones. You can buy one outright or possibly lease it for about what you’re paying your answering service now. And it works for you 24 hours a day, 7 days a week.
For a free brochure describing how much an Ansafone can help you, mail this coupon now.
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**Dictaphone**
Box L24, 120 Old Post Road, Rye, New York 10580
Please send me full details of the Ansafone line.
Name ____________________________________________
Company _________________________________________ Phone _______________________
Address __________________________________________
City __________________ State ______________ Zip Code ____________
Ansafone and Dictaphone are registered trademarks of Dictaphone Corp.
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**Put it to Work!**
NEW AND ONLY FROM EICO—THE INDUSTRY'S LOWEST-PRICED PROFESSIONAL FET-TVM.
Model 239 $39.95 KIT
Use the battery powered Solid State EICO 239 on your bench or in the field. Check semiconductor and vacuum tube circuits. 11 Megohm DC input impedance. Read AC rms and DC voltages in seven steps from 1 to 1000 volts on large 4½" meter. Measure and read peak-to-peak AC to 2800 volts. Check resistance from 0.2Ω to 1000MΩ on seven ranges. Provides a total of 28 useful ranges on 12 accurate scales. Automatic battery check. Includes exclusive DC/AC ohms Uniprobe™, Factory Assembled, $59.95.
FREE 32 PAGE EICO CATALOG
For latest catalog on EICO Test Instruments, Stereo, EICOCRAFT Projects, Environmental Lighting, Burglar/Fire Alarm Systems, and name of nearest EICO Distributor, check Reader Service Card.
EICO, 283 Malta Street, Brooklyn, N.Y. 11207
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**You don't carry on like that when I go away for a day!**
Maybe some Canadian service dealer stayed home and will service my TV set.
Don't be a stray, join the crowd and benefit by the educational experience offered at the first joint service conference—National Electronic Associations, National Alliance of Television Service Associations, International Society of Certified Electronic Technicians, and Electronic Technicians Association of Louisiana. Jung Hotel, New Orleans, La., August 9-13, 1972.
TECHNICAL DIGEST
The material used in this section is selected from information supplied through the cooperation of the respective manufacturers or their agencies.
MAGNAVOX
Record Changers—Slow Turntable Speed
Slow turntable speed can be caused by the incorrect location sequence of the turntable bearing and washers on the turntable spigot housing assembly. It is not uncommon for the bearing and washers to adhere to the turntable hub during turntable removal, and fall off as the turntable clears the record spindle. Therefore, for all complaints of "slow turntable speed," consider the possibility that the turntable may have previously been removed and then reinstalled with the bearing/washer group in an incorrect sequence. It is imperative that the bearing/washer group be installed in the sequence shown in the service manual for the changer involved. If the bearing/washer group is assembled in an incorrect sequence, the speed of turntable rotation can be reduced by as much as 10 percent.
Tape Recorder Model 1K8879—Replacing 60Hz Capstan Sleeves
The dual capstan drive of this tape recorder requires that both 60Hz capstan sleeves have precisely identical outside diameters. A small difference in outside diameters of the two sleeves, which could result when replacing only one sleeve, can cause the tape to bunch in one direction. Because of this requirement, replacement sleeves are supplied in matched pairs under Part No. 11C028-5. It is imperative that the sleeves be replaced in pairs, using only matched pair replacements.
EMERSON
Radio Model 31T73W—Excessive Hum At Low Volume Level
In case of excessive hum at the minimum setting of the VOLUME control, disconnect the ground lead from the step-down transformer and reconnect it to the same solder connection used for the grounded-positive lead from the 500μf filter capacitor, as shown in the illustration.
DEALER SHOWCASE
For additional information on products described in this section, circle the numbers on Reader Service Card. Requests will be handled promptly.
POCKET RADIO PAGER 703
Receives messages in both voice and alert tone
A miniaturized personal radio weighing less than 9 oz reportedly receives messages in both voice and alert tone. It measures 2½ in. by 5 in., is less than 1 in. thick and can be slipped into a pocket or clipped to a belt. The pager normally operates with a built-in antenna but the user can wear a small wire antenna for improved sensitivity and range. The unit is available with a simple tone alert or with tone-plus-voice. It is operated by encoding signals transmitted by pushbutton or a dial-access system, and uses either throwaway mercury or rechargeable nickel cadmium batteries. RCA Government and Commercial Systems.
CB RADIO 704
Transceiver rated at 0.5μV sensitivity
Features of the Puma 23 CB include an S/RF meter that glows amber when receiving, red when transmitting and flashes bright red indicating modulation. The noise cancelling mike plugs in, power leads are quick disconnect and jacks are conveniently placed for PA and remote speaker. The Puma 23 receiver is reportedly rated at 0.5μV sensitivity and has a crystal filter and high performance automatic noise limiter. Price: $114.95. Pearce-Simpson Div., Gladding Corp.
DUAL RECEIVE MOBILE UNIT 705
Any of 23 channels can be used while monitoring another channel
The Messenger 323-M, a dual-receive capability mobile unit reportedly allows the operator to use any of the 23 channels normally while simultaneously monitoring any other channel. Separate squelch controls are provided for the primary receiver and the monitoring function. This permits the operator to squelch down the monitored channel so that only local callers will activate the DRC circuitry. A feature of this unit is its two-mode operation selectable by a switch. In the automatic mode, when a signal is received on the monitored channel, a signal light illuminates and the call is interjected through the speaker. If, however, the operator doesn't want his normal operation interrupted he can use the alert mode. In this mode the signal light illuminates to indicate a call on the monitored channel, but the receiver continues to operate normally on the channel in use. Either of two channels can be monitored by the unit, selectable by a front-panel switch. A crystal for Emergency Channel 9 is supplied, while the other monitor position is left open for the installation of a local club or calling channel crystal. The main channel selector covers 23 channels, with all crystals supplied. Suggested price is $289.95. E. F. Johnson Co.
FM TWO-WAY PORTABLE RADIO 707
Provides intermodulation protection of 70dB
The Model HANDIE-COM MH-70 radio is available in either a standard or universal configuration with 2.0w RF power output and up to 4 frequency operation. The universal configuration provides a removable coil-cord remote speaker-microphone with which one can transmit and receive without removing the unit from its belt-carrying case. By disconnecting the remote unit, the radio operates on the internal speaker and microphone without further adjustment. Through the use of field effect transistors and IF crystal filter techniques, the MH-70 reportedly provides intermodulation protection of 70dB. Rated at 90dB selectivity and 0.50μV sensitivity, the MH-70 receiver provides maximum protection against adjacent channel interference and is able to pick up signals. The radio can be powered with either a rechargeable nickel-cadmium battery or a long-lasting mercury battery. Also available is a battery cartridge clip which can be loaded with AA size mercury or alkaline cells. Motorola Communications Div.
MOBILE CB TWO-WAY RADIO 706
The unit has emergency Channel 9 scan-alert
The Cobra 28 is reportedly a 23-channel two-way radio with an exclusive Emergency Channel 9 scan-alert that enables the user to monitor the emergency channel and any other selected channel simultaneously. The unit continuously scans both channels but locks in on the first signal. It is all solid-state and features a noise blanker and automatic noise limiter, delta tune, PWR/S meter, plug-in dynamic microphone, PA switch and external speaker jack. It operates on 12v dc but may be used with the PAC 24, a 117v ac power supply, in base applications. Price: $169.95. Dynascan Corp.
VHF-FM RADIOTELEPHONE 708
The unit has provision for full remote control
The Model MK25 uses a new series of integrated circuits, including a unique quadrature detector containing almost 50 solid-state components. State-of-the-art monolithic crystal filters are employed to provide more continued on next page
To Troubleshoot FAST & EASY use: Serviset
Model EC PATENTED
Intro-Price $34.95 Postpaid FREE INFORMATION
A precision engineered professional quality electronic test instrument. Ideal for field or bench servicing of all types of communications gear.
CHECKS: sync, sweep, video, audio circuits, high voltage supplies (DC, RF or Pulse), low voltage supplies, coils, capacitors, resistors, tubes, transistors, diodes, transformers, speakers, etc. Will locate trouble to a particular stage, identify defective component and can actually be clamped on circuit to restore circuit operation temporarily in 80% of component or tube defects. Ideal for locating and confirming intermittents.
SPECIFICATIONS:
RF & AF Signal Tracer, RF & AF Signal Injector, AC & DC Voltage Indicator 0/60/550/20,000 DC Polarity Indicator 60/550/20,000 volts, Lo-Ohm 0-5, 10-50, 0-500k-20 meg-ohms, Test Conductors, .00025-.0005 ohms, Test Resistors 2 ohms-20 megohms, 2 Capacitance Sub ranges .01-.1 & 4-40 mfd., 3 Resistance Sub ranges 50-500 ohms, 5k-25k, 100k-1 meg.
NEW CT-1
From LEL
Will allow you to Dynamically test all types of capacitors.
The Model CT-1 features a built-in electronic power supply providing BOTH AC and DC Test Voltages in a special module with highly sensitive NEON lamp leakage indicator. The CT-1 permits quick, accurate testing of condensers for leakage or shorts with actual DC voltage applied and readily indicates intermittent OPEN condensers when AC applied. Self-regulating power supply circuit provides tapered forcing current to suit particular requirements of capacitor under test. Special circuit re-forms and polarizes electrolytic and tantalitic capacitors under test. High sensitivity allows determination of condenser dielectric breakdown before leakage causes major shut-down.
Only $16.95 postpaid
Capacitance Range: .00025—1000 mfd.
Sensitivity: Over 200 MEGOHMS
30 DAY MONEY-BACK GUARANTEE
LEE ELECTRONIC LABS., INC.
88 Evans Street
Watertown, Massachusetts 02172
...for more details circle 123 on Reader Service Card
DEALER SHOWCASE
continued from page 71
than 80dB of adjacent channel rejection. The unit features 12 channel operation, plus ESSA weather reception. Marine channels 6, 16, and 26 are installed by the factory. The 25w radio-telephone has provision for full remote control, including channel changing. It employs a broadband FET front-end design which provides an average sensitivity of 0.35µv over the entire marine band. Airmarc Corp.
FM TRANSCEIVER 711
Features a built-in tone burst encoder
The built-in tone burst encoder featured in the 2 meter FM transceiver Model RW-Bnd reportedly provides quick and easy access into tone activated repeaters. All tones are factory preset to the more commonly used frequencies, but can be reset in the field following the instructions provided with the transceiver. A front panel power selector switch allows a choice of power output of 0.1w, 1.0w or 10w. The power requirement is 13.5v dc ± 10% at 2.42a. The unit has 12 channel capability with a selector switch control. Ross and White Co.
MOBILE TRANSCEIVER 709
Features five-stage noise blanker
Designated as the SST, this 23 channel transceiver is said to feature a five-stage noise blanker, a PA function having an audio output in excess of 7w, and ceramic filtering to provide selectivity of over 55dB. Utilizing a cascode front end, sensitivity is rated at 0.3µv for 10dB S+N/N. Price: $169.95. Browning Laboratories, Inc.
CASSETTE RECORDER 710
Frequency response is rated at 35Hz to 15kHz ±2dB
The Model 2516AV stereo cassette unit is an amplified deck with a headphone input on the top panel. It incorporates a heavy-duty biperipheral drive system which reportedly is noted for its low wow and flutter characteristic. Frequency response is rated at 35Hz to 15kHz ±2dB, wow and flutter less than 0.15% and signal-to-noise ratio greater than -46dB. It is equipped with an end-of-tape shutoff mechanism which is designed to disengage the pinch roller and heads from the cassette and revert automatically to the stop mode. The mechanism also senses a defective or stalled cassette. Suggested list price is $239.95. 3M Co.
STEREO CENTER 712
Combines a sensitive tuner with a powerful amplifier
In a new compact stereo system the receiver combines a sensitive and selective FM and AM tuner with a powerful amplifier rated at 120w IHF (45w per channel, rms). The receiver's ceramic IF filters provide 60dB alternate channel selectivity on FM
and over 40dB adjacent channel selectivity on AM. The Model BC360 includes integrated circuits, field-effect transistors, and all-silicon solid-state design. In place of conventional knobs, it features push buttons for instant selection of inputs and outputs, tape monitor, loudness compensation, high and low filters, and FM muting. The speaker selector buttons give the owner a choice of four positions—local, remote, local and remote, and all speakers off for private listening with headphones. Linear slide levers provide control of volume, stereo balance, bass and treble. The slide controls adjust smoothly and afford the additional advantage of easily visible settings. The compact's 4-speed BSR turntable has controls for anti-skate, cueing and pause, stylus pressure and a counter-balance adjustment. The turntable may also be set to automatically shut off the entire unit upon completion of the last record. Suggested list price is $379.95. Bogen Communications Div./Lear Siegler, Inc.
AM/FM STEREO RECEIVER 713
Rated at 140 continuous RMS watts
Priced at $499.00, the Model 2270 receiver is rated at 140w rms continuous (70w per channel) with both channels driven into 8Ω and with less than 0.3% IM or TH distortion for any combination of frequencies between 20Hz and 20kHz at full rated power. Superscope, Inc.
FOUR-CHANNEL PRE/POWER AMP 714
Achieves four-channel sound from two-channel sound sources
The QA-800 consists of four amplifiers plus quadralizer circuitry for the creation of four-channel sound. It is capable of providing each of the different four-channel modes prevalent today, or can be used for conventional two-channel stereo. The advantage of this unit reportedly is that it is able to achieve four-channel sound from two-channel sound sources through its quadralizer, supplying either matrix or phase-shift sound selected from a front panel switch. No additional amplifiers or synthesizers are needed. With click stop type TONE controls, it is possible to have precision settings. There are separate controls for both front and rear speakers when the unit is used in the quadraphonic stereo mode. The QA-800 has a master VOLUME control for adjusting the sound level of all four channels at the same time, but there are also four separate LEVEL controls, one for each channel. U.S. Pioneer Electronics Corp.
DICTATING UNIT 715
Operates on miniaturized cassettes
The Norelco 88 portable dictating unit operates on miniaturized cassettes slightly larger than a book of matches, providing up to 30 min dictation time.
Powered by a standard 9v battery, the unit weighs less than 20 oz. Its features include visual indexing, automatic sound LEVEL control and separate built-in microphone and speaker elements. Philips Business Systems Inc.
From Antennas to Wall Outlets KAY-TOWNES Makes Everything!
One supplier, one distributor can give you a complete line of high quality systems and components for better TV pictures and brighter sales pictures!
You can sell a complete line of
- All-Channel TV and FM Antennas
- Area Special Antennas for your location
- Hi-Carbon Golden Masts...telescoping or straight lengths
- Distribution Amplifiers and Systems
- Antenna Mounted Amplifiers and Couplers
- All related equipment including: Splitters, Couplers, Mixers, Wall-Taps and Drop-Taps.
Every Kay-Townes product is field tested, performance proved...and designed and manufactured in the U.S.A.
WRITE NOW FOR OUR COMPLETELY NEW MATV AND ANTENNA CATALOGS!
KAY-TOWNES
P.O. Box 593
Rome, Georgia 30161
Phone: (404) 235-0141
For more details circle 121 on Reader Service Card
INJECTORALL'S
HEAVY DUTY
TUNER CARE KIT
CLEANS TUNERS
"the professional way"
INJECTORALL's new heavy duty TUNER CARE KIT has a double punch. It is a two-part system. Part one, ROYAL CLEAN Tuner Degreaser, pressure cleans contacts and part two, ROYAL LUBE Heavy Duty Lubricant, lubricates and keeps them clean. It works better because ROYAL CLEAN removes dirt and grease instantly leaving no gum or residue. It is safe for plastics and leaves contacts shining new. ROYAL LUBE, the extra thick lubricant, protects, lubricates, and cleans contacts as the tuner is used.
INJECTORALL's two part system in one package is called "TUNER CARE KIT."
Cat. no. 700-701 TUNER CARE KIT $4.98 dealer net.
INJECTORALL ELECTRONICS CORP.
Glen Cove, N.Y. 11542
For additional information on products described in this section, circle the numbers on Reader Service Card. Requests will be handled promptly.
NEW PRODUCTS
TAPPING TOOL 716
Can be used to form new threads
A 3-in-1 Tapping Tool has two interchangeable bits. Each blade has three tap sizes—one has 10-24, 8-32 and 6-32 taps, the other has 10-32, 8-32, and 6-32. Sizes are stamped on the blade. It is claimed that this tool can be used to form new threads or reform burred threads in metal up to 3/16 in. thick. The blade is reportedly made of special high carbon steel to prevent snap-off. Also, for faster, accurate threading, each tap has a specially designed lead thread. Overall length of the tool is 7 in., weight 3 oz. Holub Industries, Inc.
COUPLER 718
Effective in eliminating reflective or ghost signals
The Yagi model coupler is useful in areas where channels are broadcast from different directions. Used with directional antennas, it is effective in eliminating reflected or ghost TV signals. In many cases, the coupler is said to eliminate the need for an antenna rotator. Multiple single-channel antennas can be combined into a single downlead to the TV set with the Yagi coupler. It can also be used to combine a single channel antenna with a broadband antenna. This coupler provides two paths for TV signals. One path passes a specific TV channel with a minimum of loss (typically 2.0dB), but attenuates all other channels severely (about 20dB). The other path attenuates the channel to which it is tuned by about 10dB, passing all other channels with only about 1dB attenuation. The coupler is encased in a weatherproof housing and is complete with straps and thumbscrews for easy mast mounting. Jerrold Electronics Corp.
GOLD VINYL ROTOR WIRE 717
Designed to conduct current for even heavy rotors
The gold vinyl rotor wire reportedly provides installation durability to the extent that the firm is guaranteeing it for a full 25 years. The wire, protected from deterioration by a tough, gold vinyl jacket, is designed to drive the heaviest rotors with ease, even when the rotor must be located some distance from the TV receiver. The wire uses pure copper, 20 gauge conductors and has an extra wide reference conductor, imprinted for rapid identification. The vinyl jacket reportedly provides a tough, long-lasting shield from ultra-violet rays, wind, weathering and corrosive atmospheres. It also resists rot and is repellent to rodents. It is highly flexible and can be bent and wrapped around corners. The 25-year warranty protects the user from deterioration and decay caused by weathering and industrial atmospheres, and against defects in materials and workmanship. Channel Master.
CONNECTOR KIT 719
Designed to help simplify modular-circuit maintenance
Many of today's modularly designed TV sets and audio systems contain polarized nylon connectors. In the event that any of these connectors become defective and require replacement, a kit has been developed to simplify the repair of this modern circuitry. Available from electronic distributors across the country, it has been designed to eliminate searching for proper nylon connectors or tools, reportedly containing everything needed to make male and female nylon connector housings, from single- to multi-circuit types. The kit is also said to include a prototype hand crimping tool and a special terminal ejector tool. Waldom/Molex products, Molex Products Co.
MINI-TEST CLIP 720
Spring loaded contact hook
The test clip features a spring loaded contact hook which can be quickly and positively connected to component leads or terminals. The plunger type action led to its nickname "The Grabber." The design specifications indicate the probe tip slips down over any 0.025-sq.-in. wire-wrap pin, making positive contact. The molded nylon probe is completely insulated to the point of connection. Pomona Electronics Co., Inc.
TEST TAPE 721
Offers instantaneous method of checking frequency response
The No. 113T eight-track cartridge test tape offers an instantaneous method of checking frequency response on all types of stereophonic equipment. This tape is designed with all necessary correction factors included in it, therefore, no charts or graphs are needed for instant response measurement. Reportedly all that is needed is a scope and a sweep-frequency tape for instantaneous response measurements. Only a few quick adjustments on the equalizer circuits, and the job is done. The audio range of the unit is from 60Hz to 15KHz with marker pulses at 1, 3, 5, 10 and 15KHz. Pacific Transducer Corp.
OUTDOOR TV ANTENNA 722
Designed for stronger signal pick-up and transfer
The Colorfinder model VHF-UHF-FM outdoor color-TV antenna reportedly features a space-age, super-swept V elements system for stronger signal pick-up and superior transfer; heavy-duty square double booms for increased strength and rigidity; a bonded gold acrylic finish that resists weather, rust and corrosion; multi-driven elements; low silhouette cradle mount for superior wind resistance; and UHF drive for stronger UHF channel performance. Gavin Electronics, Div. of Antennacraft.
TRANSISTOR CURVE TRACER 723
Checks transistors in and out-of-circuit
The Model 101 transistor curve tracer is an instrument reportedly functionally designed for rapid troubleshooting of transistors both in and out-of-circuit. This unit is expressly intended for use in radio/TV repair, transistor theory instruction, labora-
continued on next page
NEW PRODUCTS . . .
tory, quality control and circuit design. The Model 101 has a 1% current sampling resistor and a 5% input attenuator network. It has a 1/16-in. welded steel chassis and a fiberglass
| Model | RANGE OF RECEPTION |
|---------|---------------------|
| | VHF | UHF |
| SK-716 | Up to 50 miles | Up to 50 miles |
| SK-1117 | Up to 125 miles | Up to 75 miles |
| SK-1519 | Up to 150 miles | Up to 100 miles |
| SK-13 | — | Up to 25 miles |
| SK-15 | — | Up to 50 miles |
| SK-19 | — | Up to 100 miles |
Write for Catalog Profit Details! — RMS ELECTRONICS, INC. 50 Antin Place, Bronx, N.Y. 10462 Tel. (212) 892-6700
. . . for more details circle 130 on Reader Service Card
TUNER CLEANER/LUBRICANT
Compound blended of methyl alkyl silicones and transport fluids
A blended compound of methyl alkyl silicones and transport fluids are formulated for polishing and lubricating tuner contacts. It reportedly provides continuous cleaning for both color and B/W-TV tuners. The TV tuner cleaner/lubricant is said to be safe for all plastics, driftless, non-flammable, will not evaporate or run, and resists temperature extremes. The contacts are both paintable and solderable after normal cleanup. Available in an 8 oz aerosol can, it has an extension spray nozzle that is flexible and can be easily directed to contacts. General Electric Co.
TOOL BAG CABINET COMBINATION
Padding provides all-weather protection for cabinet
The bag is made of black vinyl, reinforced with padding on all sides to provide all-weather protection for the metal cabinet and its contents. The front cover has a layer of foam rubber to cushion the drawers, and when open serves as a placemat for delicate instruments and tools. In the upper part of the bag, above the cabinet, is a storage section to hold larger tools, instruments, etc. Brass hardware, for a tight enclosure, completes the kit. RAACO Corp.
ther did I, but I have attended many service meetings and some factory training sessions.
I do not imply that I am the best. I do my best and I expect my customers to receive a fair return for money paid me. I do, however, want my customers to know that I have reasonable knowledge and experience.
Some of my customers were glad to know that at age 61 I was able to pass the CET examination, and have been able to keep abreast of advancements in my field. Good books and trade magazines have been of considerable assistance.
That man's letter tells me that some of his customers are asking questions and that he is beginning to doubt his ability. In plain language, he has been too busy trying to fix sets to continue proper study and now he has fears that he may need to apply for a license of some kind.
He is a young man and should take a different attitude—his customers deserve it.
I suggest that any service man with three or more years of experience get off... and quality instead of making excuses. The CET examination and certification can be a good step, it is not that difficult.
SAM DAVIES, CET
MEMBER OF ISCET
Doesn't Pay Taxes
I've got a gripe that needs correcting.
Admiral Corp. TV will not give TV technicians a serviceman's price unless they have a tax number.
Many TV men don't have tax numbers as they mean a lot of extra bookkeeping and red tape. Also you must post a bond to get one (in... anyway). I prefer paying the tax on the part or unit at the time of purchase, thus saving bookkeeping, filing reports, etc.
I now must order through a sub-dealer at a probable increase in price.
Please do something about this before all TV outfits start the same practice.
We decided that we had better withhold the writer's name.
The state law requires that a sales tax be paid on all retail sales. I can't say for your state, but in Minnesota they are beginning to rack down electronic technicians not abiding by that law. To pay the tax on wholesale prices denies the state a tax on the markup in price—therefore your activity is illegal.
We suggest that you begin filing sales tax reports. We know the extra bookkeeping required—our managing editor does TV repair work at night and he must file reports with both the state and city.
Admiral is merely protecting you by preventing retail customers from getting the lower prices that you can get as a law-abiding businessman. Ed.
Faces Same Problem
I have just finished reading Tony Cizerle's letter, "Technicians Must Eat Too." He has described exactly the conditions that I am working under at the present time, four men having quit within the past six months because of the pay situation.
The owners in this area have everything under their thumbs. They have gotten to the point where service is based strictly on quantity and not quality. The pressure on the technicians is tremendous.
Our shop is a member of the IESA, and I have heard the owners comment that the only reason that they joined was to keep the association off their backs, and to be able to use the association as a reference when people question our honesty and quality.
I could go on and on, but I thought you might be happy to know that other technicians feel the same way you do, Tony. If only there were some way to organize the technicians so that they could stand up and demand their equal share.
I have talked to several technicians and most of them are afraid that they will lose what they have. I am 40 and have responsibilities, and it is these responsibilities which keep us where we are.
Name withheld upon request
Enjoys Old Radios
In the October 1971 Readers' Aid Column, Mr. Tucker requested information concerning his Model 32 Atwater Kent Radio.
I hope he gets it, and if he does, maybe you'll publish his letter and tell me where he got it.
I have two years' worth of addresses of people who are said to be able to answer problems of this type. So far most letters are neither answered nor returned.
I am trying to rebuild a model 447, and it's hard to do after the water, bugs and mold have all had their go at it.
PETER MANN
NEW Coil Replacement Guide and Cross Reference
- More than 8000 new listings
- Covers all known color and black & white TV sets, home radios and car radios.
Write for your copy of the 92-page Replacement Guide 172.
J.W. MILLER COMPANY
19070 REYES AVE. • P.O. BOX 5825 • COMPTON, CALIF. 90224
... for more details circle 125 on Reader Service Card
TECHNICAL LITERATURE
Test Instrument Catalog
A 1972 catalog, "Precision Test Instruments for the Professional Technician," contains specifications and prices for sweep-marker generators, scopes, color-bar generators and other test instruments. Lectrotech, Inc., 4529 N. Kedzie Ave., Chicago, Ill. 60625.
Nutdriver Bulletin
Bulletin/price list 671L describes a series of magnetic nutdrivers which are said to eliminate lost motion and fumbling when driving hex screws and bolts or starting nuts in close quarters and hard-to-reach places. Specifications show that the magnetic drivers are available with ¼ and 5/16-in. hex socket openings and in midget pocket clip, regular, extra long and super long fixed handle styles, as well as interchangeable shanks. Xcelite Inc., Orchard Park, N.Y. 14127.
Components Catalog
Catalog No. 100 is a new 1972 catalog of replacement components for radio and TV. It contains 68 pages of resistors, fusing devices, circuit breakers, sockets, convergence controls, service accessories, electronic chemicals, audio cables, adapters for hi-fi and cassette type recorders, battery holders and proto-type kit components. The catalog also includes 4 pages in full color to illustrate Amp fuses, Sans-a-fuse and special promotional packages. Workman Electronic Products, Inc., Box 3828, Sarasota, Fla. 33578.
Test Instrument Brochure
A full-color, 4-page brochure, 1971A, describes the product line of Digilin, Inc., as well as a list of its sales representatives throughout the country. New additions to the product line include the Type 2330 series digital panel meters and the Type 2370 limit set comparator. Digilin, Inc., 1007 Air Way, Glendale, Calif. 91201.
Instrument Folder
The presentation folder, PF-45, describes a line of snap-around volt-ohmmeters, master electrical kits, multimeters and accessories for the electrical and climate fields. A. W. Sperry Instruments Inc., 245 Marcus Blvd., Hauppauge, N.Y. 11787.
Stylus Maintenance
On a single page the importance of proper cleaning of a stylus is explained. The product featured is Micro stylus cleaner, Duotone Company, 6875 Southwest 81st St., South Miami, Fla. 33143.
Brochure
A 4-page brochure illustrating new transformers, plugs, antennas and fuses is now available from Workman Electronic Products, Inc., Box 3828, Sarasota, Fla. 33578.
TEKLAB . . .
continued from page 44
removed from the volume circuit. The VOLUME control is now shunted by a larger resistor and the volume is increased.
The third time the volume function of the transmitter is activated, both transistors Q9 and Q10 are conducting and the indicator lamp (PL1) lights the brightest through parallel electrical circuits consisting of transistors Q9 and Q10, forward biased diodes D5 and D6, and the 120Ω and 300Ω resistors.
Under these conditions, FETs Q11 and Q12 are not conducting, in effect removing both resistors (R35 and R36) from the VOLUME control circuit, and resulting in high volume level.
When the VOLUME function button is pressed again (a fourth time), the lamp control transistors (Q9 and Q10) are turned OFF and the indicator lamp is not lit. Both FET's Q11 and Q12 then conduct, setting the volume at minimum for the next sequence.
ON/OFF Function
PNP transistor Q8 is a relay driver for the ON/OFF function and relay winding RE2 is its collector load, the emitter being connected directly to B+. The base is coupled through an RC time constant (resistors R37 and R38, and capacitor C10) to the indicator lamp and its 1K shunt resistor (R39). When transistor Q9, Q10 or both conduct and reduce the positive voltage at the base of transistor Q8 (ON/OFF relay driver), this transistor (Q8) becomes forward biased. Current then flows through relay winding RE2, closing its contacts. By closing the relay contacts, the circuit is completed between the 120v ac power source and the color-TV receiver voltage doubler input, and the TV set is turned ON.
The RC time constant in the base circuit of transistor Q8 allows a time lapse of 6 sec before the TV receiver is turned OFF by the absence of a voltage drop through either transistor Q8 or Q10. This allows passing from a high volume level through the OFF position and back to ON with a low VOLUME level without interruption.
Conclusion
This simplified remote control system accomplishes the following functions: It turns the TV receiver ON or OFF, varies the VOLUME level in three steps, with a corresponding visual indication, and changes channels. From a servicing standpoint, we felt that the remote system has been simplified by having most of the circuits on a single plug-in panel, which can be changed in the home.
BOOK REVIEWS
REPAIRING TRANSISTOR RADIOS by Sol Libes, published by Hayden Book Co., 192 pages, paperbound $4.65.
The first portion of this book is devoted to electron theory as related to semiconductor design. Such theory then progresses to basic transistor circuits and related transistor characteristic curves.
These fundamentals are applied to basic transformer-coupled circuits, RC coupled circuits, direct coupled circuits, gain controls, and tone controls. This is followed by a servicing chart for audio driver and preamplifier stages.
The next major segment of the book deals with power amplifiers—their basic design and servicing techniques. The same procedure is used in covering IF and RF amplifiers; oscillators, converters and mixers; and AM and FM detector and AGC circuits.
The remaining chapters in this book include typical portable radio receiver circuits and automobile transistor radios, plus additional servicing tips.
This book should be of value to any electronic technician who has not yet developed much experience in servicing basic transceiver radios.
UNDERSTANDING IC OPERATIONAL AMPLIFIERS by Roger Melen and Harry Garland, published by Howard W. Sams, 128 pages, paperbound $3.95.
Beginning with a description of the ideal operational amplifier, the book then goes into basic semiconductor theory and the resulting fabrication of integrated circuits. The authors then deal with such fundamentals as constant-voltage reference sources; differential amplifiers with grounded inputs, common-mode input, differential-mode input; constant-current sources; and a typical level-shifter circuit. These basic circuits are then shown incorporated in a complementary output stage and simple operational-amplifier circuits. And from there the book goes on to describe the external circuitry used with IC OP amplifiers, and the resulting signal conditions. The book also includes typical OP-amplifier specification sheets in its appendix, and a glossary of many of the more common terms.
We feel that this book is of value to electronic technicians who wish to prepare themselves for new IC applications that they are encountering.
KEEP 'EM QUIET... and CLEAN 'EM, TOO...
with QUIETROLE
When you use Quietrole, you can be sure of clean, quiet operation, because you are using the number one cleaning and lubricating spray pack available. Safe for any set, color, or black and white. Absolutely no harmful aftereffects of any type.
In bottles too, if you prefer.
QUIETROLE . . . the choice of better servicemen everywhere.
Product of
QUIETROLE COMPANY
Spartanburg, South Carolina
... for more details circle 128 on Reader Service Card
REBUILD YOUR OWN PICTURE TUBES?
With the Lakeside Industries precision picture tube rebuilding unit, you can rebuild any picture tube—be it black and white or color or 20mm or etc.—and offer up the latest revolutionized precision equipment of our modern times. This unit is easy to operate and requires only 4 x 8 ft. of space. You can rebuild the finest tube available. The picture will be clear and sharp. Your cost to rebuild a color tube is, $6.00. Your cost to rebuild a black and white tube is $1.85.
Profit? Imagine building four color tubes per day and if you sold these tubes for $60.00 each. Total income $240.00. Total cost $26.40. Net profit $213.60. Multiply this figure by five days per week. Your profit $1068.00 per week. Cut this figure in half. Build and sell only two color tubes per day. Your profit $534.00 per week. Facts are facts, figures do not lie.
For further information, please send your name and address to Lakeside Industries, 5234 N. Clark St., Chicago, Ill. 60640. Phone: (312) 271-3399.
P.S. No salesman will call.
... for more details circle 122 on Reader Service Card
The Tuner People
OVERHAUL SERVICE — All makes VHF or UHF tuner (1960 or later) $9.95
Overhaul includes parts, except tubes and transistors.
Dismantle tandem UHF and VHF tuners Remove all accessories.
CUSTOM EXCHANGE REPLACEMENTS When our inspection reveals tuner is unfit for overhaul, we offer a custom replacement (Replacements are new or rebuilt.)
EXACT REPLACEMENTS Castle replacements made to fit exactly Purchase outright... no exchange $15.95
UNIVERSAL REPLACEMENTS Prefer to do it yourself?
| STOCK No. | HEATERS | SHAFT | I.F. Min.* | Max.* | Snd. | PRICE |
|-----------|---------|-------|------------|-------|------|-------|
| CR6P | Parallel 6.3v | 1¾" | 3" | 41.25 | 8.95 |
| CR7S | Series 600mA | 1¼" | 3" | 41.25 | 9.50 |
| CR9S | Series 450mA | 1¼" | 3" | 41.25 | 9.50 |
| CR6XL | Parallel 6.3v | 2½" | 12" | 41.25 | 10.45 |
| CR7XL | Series 600mA | 2½" | 12" | 41.25 | 11.00 |
| CR9XL | Series 450mA | 2½" | 12" | 41.25 | 11.00 |
Order Now...
or write for more information.
CASTLE TV TUNER
MAIN PLANT: • Ph. 312—561-6354
5713 N. Western Ave., Chicago, Ill. 60645
EAST: • Ph. 212—846-5300
130-03 89th Rd., Richmond Hill, N.Y. 11418
... for more details circle 105 on Reader Service Card
READERS SERVICE INDEX
ADVERTISER'S INDEX
Aerovox Corporation 39, 39A-B
101 Arrow Fastener Co., Inc. 75
102 B & K Div., Dynascan Corp. 22
103 Blonder-Tongue Labs., Inc. 35-38
104 Book Club-Tab Books 62-65
105 Castle TV Tuner Service 80
106 Chemtronics, Inc. 26
107 Chrysler Corporation 55
108 Dictaphone 69
109 Eico Electronic Instruments Co. 68-69
110 Finney Company, The 61
111 Fordham Radio Supply Co., Inc. 80
112 Ford Marketing Corp. 33
113 GC Electronics Company 31
General Electric Co.
Silicone Products Dept. 21
General Electric Co.
TV Business Div. 67
General Electric Co.
Tube Products Dept. 2nd Cover
114 Grantham School of Engineering 80
GTE Sylvania, Electronic Components 56-57
115 Heath Company, The 66
116 Injectorall Electronic Corp. 74
117 International Rectifier Corp. 28
118 Jensen Tools & Alloys 80
119 Jerrold Electronics Corp. 27
120 Johnson Company, E. F. 74
121 Kay-Townes Antenna Co. 73
122 Lakeside Industries 79
123 Lee Electronics Labs., Co., Inc. 72
124 LPS Research Labs., Inc. 70
125 Miller Company, J. W. 77
126 Mountain West Alarm 80
127 Pennwood Numechron Co. 78
128 Quietrole Company 79
RCA Picture Tubes 4th Cover
129 RCA Test Equipment 25
130 RMS Electronics, Inc. 76
131 Rohn Manufacturing Co. 29
132 Scientific Tuner Service 78
133 Telematic Div., UXL Corp. 32
134 Terado Corporation 80
135 Triplet Corporation 3rd Cover
136 UHF Service Corporation 10
137 Ullman Devices Corp. 68
138 Workman Electronic Products, Inc. 76
Zenith Radio Corporation 40
NEW PRODUCTS
700 Oscilloscope 34
701 Digital Multimeter 34
702 Function Generator 34
703 Pocket Radio Pager 71
704 CB Radio 71
705 Dual Receive Mobile Unit 71
706 Mobile CB Two-Way Radio 71
707 FM Two-Way Portable Radio 71
708 VHF-FM Radiotelephone 71
709 Mobile Transceiver 72
710 Carbine Repeater 72
711 FM Transceiver 72
712 Stereo Center 72
713 AM/FM Stereo Receiver 73
714 Four-Channel Pre/Power AMP 73
715 Dictating Unit 73
716 Tapping Tool 74
717 Gold Vinyl Rotor Wire 74
718 Coupler 74
719 Connector Kit 74
720 Mini-Test Clip 75
721 Test Tape 75
722 Outdoor TV Antenna 75
723 Transistor Curve Tracer 75
724 Hex Drive Socket Tool 76
725 Tuner Cleaner/Lubricant 76
726 Tool Bag Cabinet Combination 76
TEST INSTRUMENT
900 Leader's LS-5 Electronic Switch 60
TEST EQUIPMENT at Discount Prices
B&K
SENCORE
Equipment by Other Manufacturers also Available
Catalog & Prices on Request
FORDHAM Radio Supply Co., Inc.
265 E. 149 Street, Bronx, N.Y. 10451
Tel.: (212) 585-0330
RCA DISTRIBUTORS OF ELECTRONIC SUPPLIES
... for more details circle 111 on Reader Service Card
FREE CATALOG
HARD-TO-FIND PRECISION TOOLS
Lists more than 1,700 items of meters, measuring instruments, vacuum systems, relay tools, optical equipment, tool kits and cases. Also includes four pages of useful "Tool Tips" to aid in tool selection.
JENSEN TOOLS and ALLOYS
4117 N. 44th Street,
Phoenix, Arizona 85018
... for more details circle 118 on Reader Service Card
INCREASE PROFIT — SATISFY CUSTOMER
NOW PERFECT COLOR T.V. with TERADO VOLTAGE ADJUSTERS CORRECTS HIGH OR LOW VOLTAGE TO NORMAL CAP. 300 to 500 watts
SATURN (shown) Model 50 172 Dealer Net $18.77
POLARIS (w/o meter) Model 50 204 Dealer Net $12.24
SEE YOUR ELECTRONICS PARTS JOBBER OR WRITE
terado CORPORATION
1058 RAYMOND AVE., ST. PAUL, MINN. 55108
... for more details circle 134 on Reader Service Card
Technicians, Earn Your Associate DEGREE mostly by correspondence
Accredited by the Accit Comm. of National Home Study Council G.I. Bill Approved Free Catalog Write Dept. T
Grantham School of Engineering
1505 N. Western, Hollywood, Calif. 90027
... for more details circle 114 on Reader Service Card
FREE ALARM CATALOG
64 PAGES FILLED WITH 250 BURGLAR AND FIRE ALARM PRODUCTS FOR INSTALLATION BY ELECTRONIC TECHNICIANS. INCLUDES RADAR, MICROWAVE, ULTRASONIC, HARD-TO-FIND PARTS, AND 4 PAGES OF APPLICATION NOTES.
mountain west alarm
4215 n. 16th st., phoenix, az. 85016
... for more details circle 126 on Reader Service Card
If your problem is measuring $\mu V$, $\mu A$ and milliohms in transistorized and integrated circuits... Solve it with Triplett's 801
Model 801 $210
It offers 73 measurement ranges including 8 low-power resistance ranges that apply only 35 mV to the device under test... does not activate or damage solid-state components. With full-scale readings as low as 50 mV DC and 5 mV AC, 5 $\mu A$ DC and 100 Ohms (1 Ohm centerscale) — plus a 10 megohm input impedance on the AC scales and 11 megohm input resistance on DC — Triplett's Model 801 V-O-M is ideally suited to in-circuit testing. When you add 2% DC and 3% AC accuracy on the voltage ranges (current: 3% DC and 4% AC) and a 25 $\mu A$ suspension-type meter with a nearly 7½" scale length, there's no doubt that the Model 801 has no equal among analog V-O-M's in terms of sensitivity and versatility. And there's an optional Leakage Adapter ($30) that measures leakage currents as low as 1 $\mu A$.
See the remarkable Model 801 V-O-M — priced at $210 — at your Triplett distributor. For more information—or for a free demonstration—call him or your Triplett sales representative right away. Triplett Corporation, Bluffton, Ohio 45817.
The World's most complete line of V-O-M's... choose the one that's just right for you
Now—Just 3 RCA Hi-Lite "V" Type Color Picture Tubes Replace 185 Types
Replaces 98 19" types
| 18VABP22 | 19HCP22/490ASB22 |
|----------|------------------|
| 18VACP22 | 19HKP22/490ASB22A|
| 18VADP22 | 19HFP22/490BAB22 |
| 18VAHP22 | 19HUP22/490BCB22 |
| 18VAJP22 | 19HKP22/490BCB22 |
| 18VAQP22 | 19HQP22/490BG22 |
| 18VARP22 | 19HRP22/490BBH22 |
| 18VASP22 | 19HXP22/490BRB22 |
| 18VATP22 | 19JBP22/490CAB22 |
| 18VBAP22 | 19JDP22/490CB22 |
| 18VBCP22 | 19JHP22/490CHB22 |
| 18VBHP22 | 19JKP22/490CUB22|
| 19EXP22/19JQP22 | 490DB22/490DB22A |
| 19GVP22 | 19JYP22/490EB22 |
| 19EYP22 | 19JZP22/490EB22A |
| 19EYF22/19KEP22 | 490FB22 |
| 19GW22 | 19KF22/490GB22 |
| 19FMP22 | 490AB22/490HE22 |
| 19FXP22 | 490ACB22/490JB22 |
| 19GLP22 | 490ADB22/490JB22A|
| 19GSP22 | 490AEB22/490KB22 |
| 19GV22 | 490AFB22/490KB22A|
| 19GV22/19GAB22 | 490LB22 |
| 19EXP22 | 490AHB22/490MB22 |
| 19GWP22 | 490AHB22A/490NB22|
| 19GWP22/19AJB22 | 490RB22 |
| 19EYP22 | 490AJB22A/490SB22|
| 19GX22 | 490AKB22/490TB22 |
| 19GYP22 | 490AKB22A/490UB22|
| 19GZP22 | 490ALB22/490VB22 |
| 19HBP22 | 490AMB22/490WB22 |
| 19HCP22 | 490AMB22A/490XB22|
| 19GAB22 | 490ANB22/490YB22 |
| 19ARB22 | 490ZB22 |
Replaces 22 21" types
| 19VABP22 | 21FJP22A/21GVP22 |
|----------|------------------|
| 21AXP22 | 21FKP22 |
| 21AXP22A | 21GUP22 |
| 21AXP22A/21GUP22/21FJP22A |
| 21AXP22 | 21FJP22A |
| 21CYP22 | 21GVP22 |
| 21CYP22A | 21GVP22/21FJP22A|
| 21FBP22 | 21FJP22A |
| 21FBP22A | 21GXP22 |
| 21FBP22A/21GYP22 | 21GZP22 |
| 21FJP22 | 21HAP22 |
| 21FJP22A | 21HAP22 |
Replaces 75 25" types
| 23EGP22 | 25ABP22/25BP22A/25CP22 |
|----------|------------------------|
| 23EGP22A | 25ADP22/25YP22 |
| 23VABP22 | 25AEP22/25RP22 |
| 23VACP22 | 25AFP22/25SP22 |
| 23VADP22 | 25AGP22/25VP22 |
| 23VAP22 | 25AP22/25WP22 |
| 23VALP22 | 25ANP22/25XP22 |
| 23VAMP22 | 25AP22/25YP22 |
| 23VANP22 | 25AP22A/25CBP22 |
| 23VAQ22 | 25AP22A/25CP22 |
| 23VARP22 | 25XP22/25CP22A |
| 23VASP22 | 25AQP22/25FP22 |
| 23VATP22 | 25ASP22/25FP22A |
| 23VAUP22 | 25AWP22/25GP22 |
| 23VAWP22 | 25AXP22/25GP22A |
| 23VAXP22 | 25AZP22/25RP22 |
| 23VAYP22 | 25BAP22/25SP22 |
| 23VAZP22 | 25BCP22/25VP22 |
| 23VEP22 | 25BDP22/25WP22 |
| 23VBCP22 | 25BFP22/25XP22 |
| 23VBDP22 | 25BGP22/25YP22 |
| 23VBEP22 | 25BHP22/25AR22A |
| 23VBGP22 | 25BJP22/25YP22 |
| 23VBHP22 | 25BMP22/25YP22/25BP22A|
| 23VBJP22 | 25BP22/25BP22A |
| 23VRBP22 | 25BP22A/25ZP22 |
| 23VBT22 | |
Stock these three RCA Hi-Lite color picture tubes and have immediate replacements for the fastest moving industry types—195 of them. It's the way to save yourself time, give your customers faster service, improve profits.
RCA Hi-Lite types are all new, made to OEM specifications and contain the newest RCA manufacturing technology, including Perma-Chrome and the latest X-ray attenuating glass.
Order these three RCA Hi-Lite tubes, and other types you may need, from your RCA Distributor. He also has the complete RCA Interchangeability Guide, available free of charge.
RCA | Electronic Components | Harrison, N.J. 07029
|
RPM Weekly
Volume 15 No. 1
February 20, 1971
Russell Thornberry of MCA's Sound Conspiracy
A&M's Rios and Mullan Canadian promo tour
Liam Mullan, national promotion for A&M (Canada) welcomed Miguel Rios back to Canada at Vancouver's International airport and immediately set off on a hectic promotion tour that would take him east to Montreal in a matter of a few days.
The welcome mat was out for Rios wherever he went. Both top forty stations in Vancouver, CKVN (Terry David Mulligan) and CKLG (Roy Hennessy) took time to sit down with the Spanish recording star and action from these stations coupled with MOR play has been sufficient to push the Rios single, "Like An Eagle" into the "one to watch" category.
The Province of Alberta is also shaping up as Rios country. Meetings with CHED's Wayne Bryant and Greg Harold of CKXL has paved the way for important plays.
While in Toronto, Rios only had time for short sessions with the press. Of prime interest was the results of the 75% Spanish content recently made law for Spanish radio stations. Artists of the stature of Rios are not directly affected but there has apparently been an increase in recognition by the Spaniards for their own artists and an increase of over 50% in domestic productions.
The last city on the Rios tour was Montreal where Mullan and A&M's Quebec promotion manager, David Brodeur, had arranged for press interviews as well as an appearance on the CFCF "Like Young" show. The popular weekly pop/variety show is hosted by Jim McKenna and is now syndicated through Dick Clark Enterprises to 40 U.S. markets. The Rios appearance was televised Feb. 6.
Rios has returned to Los Angeles where he is making arrangements to take up residence. He has laid on plans for another recording session with Rafael Trabucchelli producing before settling into the Los Angeles recording scene.
Con Archer in for Lacarno Jamboree
Dominion recording artist Con Archer has been scheduled for a Feb. 21st appearance at the successful "Boot Jamboree" presented by Irene and Dave Ralston at the Lacarno Ballroom (Toronto). Archer will share the bill with Gary Alberts and other top flight Canadian acts, yet to be named.
Archer is currently showing strong local action (CFGM) on his recent single release, "She's Not You", culled from his new album release. He has just completed an engagement at Oshawa's Cadillac and moves into Cookville's Norseman for a couple of weeks.
Songwriter/performer Roy Payne has been pencilled in for the Mar. 7th date at the popular Sunday evening Jamboree. Payne has been active on the songwriting front having penned Julie Lynn's Dominion hit, "Good Morning World" as well as one of the big ones for Clint Curtiss, "There's No Price Tag On The Doors In Newfoundland".
Krytiuk to head up new Can music complex
Jury Krytiuk has announced his resignation from Canadian Music Sales, effective Feb. 5, 1971, and the subsequent formation of three new companies to which he has been voted president and for which he will also assume management position. These companies are Boot Records Ltd., Morning Music Ltd. (CAPAC) and Skinners Pond Music (BMI).
Krytiuk moved from Saskatchewan in 1969 to take over as manager of Dominion Records, a division of CMS. He became active in production and the discovering of several new Canadian acts. These included: Stompin' Tom Connors, Julie Lynn, Con Archer, and others. He was also instrumental in the success of ethnic groups for the Dominion label i.e., The Sons of Erin, Brannigan's Boys and Larry McKee and The Shandonairs.
Several Canadian and U.S. labels were distributed by CMS through successful negotiations by Krytiuk including: Arhoolie and Blues Classics, Big Chief, Caribou, and Sugar Hill.
CMS president St. Clair Low, U.S. country artist Doc Williams and Krytiuk formed two publishing companies in August of 1969 under the banners Crown-Vetch Music Ltd. (CAPAC) and Time Being Music Co. (BMI). Both companies fared extremely well on subsequent releases by Stompin' Tom Connors, Roy Payne, Mark Altman and others.
Columbia's Smyle show chart and gig activity
With their new Columbia disc "Glory Glory" mailed and picking up good spin activity throughout Upper Canada, Smyle has also shown an increase in booking action through their agent, Dram of Kitchener.
One of their big radio supporters is CKOC where their disc has already been given a berth on the chart.
Recent engagements took them to Sarnia, Olean, N.Y., and a week at Burlington's Treetop disco.
Dates pencilled in include: Ottawa (18-19-20); a Feb. 21st date in Albany, N.Y. where they will share the bill with Steppenwolf; Welland (27); back to Ottawa for March 5 and 6 and a week at the Grand Hotel in Bridgeport from March 8.
NOTICE!
RPM EDITORIAL OFFICES CLOSED MONDAYS
RPM's offices are closed MONDAY to allow more time to work on bringing you a BETTER RPM. A hot-line for advertising is available Mondays. You may reserve your ad space by phoning 489-2167. Deadline for advertising copy and material is TUESDAY at noon.
THE SPECIAL HOT-LINE FOR AD RESERVATIONS ON MONDAYS - 489-2167
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**Figure 1.** A schematic diagram of the experimental design.
Releases slow - production suspended
"Broadcast-producers could do damage" — so read last week's headline of Part Four of this series.
Let us look at the track record of the 30% AM music content ruling and the effect the broadcast producers have already had on Canada's record production.
While the industry was gearing itself to go into production and was working toward getting production budgets extended, the broadcast-producers were at their usual best (having lost the battle to quash the legislation) contriving to either take advantage of...or at least make the ruling look ridiculous. They have successfully accomplished both.
But what of the record companies that were working on those record production budgets. They actually succeeded in obtaining several hundreds of thousands of dollars to be spent on Canadian record production. One encouraging factor that helped loosen the purse strings was the international success of Gordon Lightfoot, the Guess Who, Anne Murray and Mashmakhan, all of whom can thank the 30% ruling for bringing attention to their talents. Prior to the legislation the countless thousands invested in Canadian talent had been washed down the drain by a lack of airplay and just plain disinterest by the broadcasters.
Add to the extended budgets of the majors, a few hundred thousand dollars from the independents, and the industry looked very healthy. But now, that has all changed.
Releases have slowed. Budgets are being held, and several record companies are ready to state they will not produce against the odds of the broadcast-producers — who have a very real advantage over the unlicensed record producer — be it record company or independent.
MAPL logos are used throughout RPM to define Canadian content on discs:
M—Music composed by a Canadian
A—Artist featured is a Canadian
P—Production wholly recorded in Canada
L—Lyrics written by a Canadian
In this ten part series, RPM looks at what has happened since the Canadian Radio and Television Commission legislated 30% Canadian music content for AM radio in May of 1970. We study the feelings and attitudes of the record companies, the broadcasters, record producers and music publishers — what happened during the months the CRTC gave the industry time to prepare — the state of the industry — what effect the ruling will create.
Queried one foreign record exec: "Does the CRTC really know what is happening?" The answer (quite honestly) was based on the fact that a number of people in the Canadian record industry aren't sure, or just don't know, what it all means.
To the artist, his talent will conquer all. Artists are creative people. They find it difficult to believe that politics enter creative endeavour. Many record manufacturers feel their function is that of merchandising and distributing records and aren't too aware of the creative aspect and the political problems of the new music scene in Canada. Publishers are of the opinion that no matter who performs their copyrights, they will be performed and played.
There is one slight hitch however. The broadcast-producers have already set up music publishing firms and, in many cases, have committed themselves to performance rights organizations. Their "magic power" has put them ahead of any talented and creative person — or any experienced organization. For some reason they are able to summon record company A&R men to auctions of their masters. They are able to obtain advances on product not yet produced and even talk about placing lines internationally without any track record or even any product to indicate their ability. All of these are UNHEARD OF in the industry. What is their "magic power"? What fairy godmother bestowed this power on these novices to record production and music publishing? Are the members of the CRTC getting a better idea of what license makes all this possible?
What of the dailies and their coverage of this spectacular story? What about our national
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**Figure 1.** A sample of the 100 items in the 100-item test.
Mair calls native sound "gentle"
PART SEVEN OF A SERIES
The Producers
by Jim Smith
Show business has a tradition of glamour. The public expects the tinsel and bright lights. So most producers try to maintain whatever standards of elegance their budgets will allow. (Swish surroundings are often good business, too - they instill confidence in potential investors.) But only at Early Morning Music have I encountered an office that could best be described as beautiful.
Al Mair occupies one of the two rooms in the renovated building on Toronto's Davenport Road. The surroundings are orange carpet and drapes with off white on white (or, possibly, white on off white) wallpaper. A chandelier provides that little touch of grace. Very quiet and very elegant. Rather like the music in which Early Morning specializes.
Mair has grown his goatee into a full beard in the last few months. The change has taken years off his appearance so he now looks about 25. Perhaps he is much older than that or, less likely, even younger, I don't know. His history in the music business suggests he should be older, though. "I was with Compo for 6 years," he recalls, "and I was with London for, oh, about 6 days before that I suppose. Before that I was with Capitol for about 2 years."
Even while in school, Mair was active in the music business, supplying the music at "record hops", a prehistoric term for dances with recorded music. "I was eventually making up to $100 a night and all I needed was maybe 75 records. Tax free, too. I made more money than I made at any time until now." Al can even recall, without any visible nostalgia, when it was a big thing to listen to the top 10 every Sunday from 12 to 1 on Hamilton's CHML.
Today's Al Mair is a music publisher. Early Morning Music, owned by Gordon Lightfoot, specializes in Lightfoot music, undoubtedly the hottest publishing properties in Canada today. But there are other songwriters like Chris Kearney, Dee Higgins,
newcomers Aarons and Ackley, and Rolf Kempf represented in the files.
More than that, however, Mair is an executive producer by default. Al puzzles over the phrasing for a moment, then suggests "Let's say that I'm basically a publisher who, because of business conditions today, has become involved in other aspects of a writer's material. At Early Morning we publish tunes takes care of the details like finding the right record company ("we want to be very sure that the record company is interested in what the writer is in to. Too often record companies sign artists and then don't do anything with them because they just aren't interested"), or suggesting what should go on the record. "We try to make the artists aware of their responsibilities as well as making sure the record companies live up to their agreements," Al emphasized.
Typical of Mair's work is what he has done with Aarons and Ackley, a team of Americans who came to him with their music. Mair put the duo together with Dennis Murphy, a former Hamiltonian who learned his producing skills with Elektra, and then took the producer-musicians package to Capitol.
There is no attitude at Early Morning that a record contract is, in itself, an unmixed blessing. "We've got writers with 4 different record companies now and we're negotiating with a fifth. No record company is doing me a favour by signing an act. I'd never suggest to an act that any one record company is better than the others. If an act wants to deal with only one record company, they deal without me. I want the record company with the most interest in a specific act to sign it."
Early Morning is in a decidedly favourable position in today's music scene. "Folk music is becoming a more vital part of the music scene once again. I use the term folk music only because I can't think of a better term, except perhaps gentle music. It's not the acid rock anymore. It's a gentler music. And I think this is going to help Canadians. Outside of the Guess Who, all the international hits that came out of Canada have been gentler music, I guess because of the rural heritage."
Furthermore, Mair's clients are writers and "The major artists today write their own material. You look at the singers who don't write their own material and their material is written by the Lennons, the Harrisons, and other contemporary artists.
"Canadians who say there are no good songs available just aren't looking for them. Do they expect the songs to just land on their desks? When Lightfoot has a hit, everybody wants Lightfoot songs. When MacLellan has a hit, every-
AL MAIR
but don't have written management contracts with the artists. But, because there's nobody else involved in the folk business in Canada, we're kind of getting in by the back door. We publish the music but generally can't sell it until it's been recorded.
"It is an integral part of my job to try and get my writers recording contracts. If the record doesn't sell, I at least have a first-rate demo record. We have done this with Chris Kearney. In fact we even paid for both his sessions because we didn't want a record company to take him on and then shirk their responsibility by producing a record on $1,000.
"There's nothing in our agreement that says I have to get record contracts for our writers. The reason we don't have contracts is because I want to be free to pursue whatever seems most important at the time. If I have the time, though, I will try to do everything possible for our writers. There was nothing in our agreement that said I had to get a record contract for Dee but I had the time so I did."
When a writer comes to Mair, Al
MAIR continued on page 22
BIG APPLE - NOT THAT BAD
Dear Rich:
I was sorry to read about your unpleasant and equally untimely visit to New York City in the Jan. 16th issue of RPM.
It would seem that you came into New York with wintry attitude and being bounced on our doorstep by American Airlines were confronted with a NYC special -- a taxi strike. (Others would have thanked their lucky stars not to have faced what is affectionately known around the Big Apple as "Yellow Peril.")
Throngs of people are usually found at any metropolitan airport--and it's pretty safe to say too that the discourteous people in bus lines were probably visitors and not natives to NYC at that time of day.
I have no argument about the people you encountered in the New York record business, for I too have found jackals among the wolves in this business. Darwin chose to label the process "survival of the fittest." In this process of survival (the record industry) where thousands of albums and singles reach the streets every day and very few survive, the jackals seem to take an impersonal and direct route to success.
I believe too that Toronto means more to Canada than NYC means to the United States--and certainly there's no place like home--which you seem to say too.
The world, however, it seems to me, is the sum of its parts, the plusses and minuses added together. It seems naive to reject New York City for the cruel circle in which you were forced to travel. You can never see this city--and the beautiful people and places from a cab or limo to and from the airport. A round trip business excursion done in a day would have to be unpleasant on the face of the schedule alone if no other prejudices existed.
I have been to several cities in Canada, your own included--and it's rare when I find unpleasanties. Perhaps I am blind to what I see, and then perhaps I see what I'm looking for.
The unpleasant trip, the cold weather, the limo to the city, your restaurant experience might well have happened in any city--they don't sound like characteristics of a city--they sound like circumstances--ones you could have faced at a given time or place elsewhere.
On behalf of Mike Ayers and not Ampex--the next time you want to spend a day (that too would not be enough) at your leisure in this city--I'll personally consider it a favor if I can show you some home/comfortable places and extraordinarily warm people in this city of "rats racing through a jungle."
Mike Ayers
(a NYC resident for 31 years) and
Public Relations Manager,
Ampex NYC
3.5 CAN. DISCS PER WEEK - CHNO
I would like to thank you and your staff for the invaluable information on Canadian Talent found each week in the pages of RPM.
In the past twelve months I have been elated to see a steady flow of new Canadian product come into our station. During our Top 40 program we try to expose 3-5 new Canadian releases per week. Incidentally, we found Tommy Graham's "24 Hours From Tulsa" to be a Top 10 item here in Sudbury. This disc not only was a big request item but also sold extremely well.
The November BBM results are out and I noticed a few medium market stations are losing ground. Here at CHNO we've managed to come up on top in our metro area and in the full coverage. I feel our success was greatly due to consistency! Maintaining a uniform sound from day to day can do wonders over an extended period of time. Some stations panic when the ratings plunge and change too quickly. Over the past three years we have gradually developed a complete station format - dropping poor programming ideas along the way and phasing in better ones.
Yours truly,
C.R. Babcock
Program Manager
NEXT WEEK
The Special Juno Awards Issue
| Rank | Artist | Title | Label | Catalog |
|------|--------|-------|-------|---------|
| 1 | Gordon Lightfoot | IF YOU COULD READ MY MIND | Reprise | 0974-P |
| 2 | Lynn Anderson | ROSE GARDEN | Columbia | 45252-H |
| 3 | Dave Edmunds | I HEAR YOU KNOCKING | Mam | 3601-K |
| 4 | Anne Murray | SING HIGH SING LOW | Capitol | 2631-F |
| 5 | Dawn | KNOCK THREE TIMES | Bell | 938-M |
| 6 | Bee Gees | LONELY DAYS | Arco | 6795-P |
| 7 | Oomdans | ONE BAD APPLE | Polydor | 2065 044-Q |
| 8 | Nitty Gritty Dirt Band | MR. BOJANGLES | Liberty | 56197-K |
| 9 | Diana Ross | REMEMBER ME | Tamla Motown | 1176-V |
| 10 | Barbra Streisand | STONEY END | Columbia | 45236-H |
| 11 | Bobby Goldsboro | WATCHING SCOTTY GROW | Uni | 307-2-J |
| 12 | Jackson 5 | MAMA'S PEARL | Motown | 1177-V |
| 13 | Elvis Presley | I REALLY DON'T WANT TO KNOW (F/S) | RCA | 9960-N |
| 14 | Elton John | YOUR SONG | Uni | 35265-J |
| 15 | Wadsworth Mansion | SWEET MARY | Sussex | 209-V |
| 16 | Creedence Clearwater | HAVE YOU SEEN THE RAIN | Fantasy | 455-R |
| 17 | Rare Earth | BORN TO WANDER | Earth | 5021-V |
| 18 | Guess Who | HANG ON TO YOUR LIFE | Mimbuz | 975 0414-N |
| 19 | Kinks | APE MAN | Pye | 45016-L |
| 20 | Runi | WE GOTTA GET YOU A WOMAN | Ampex | 31001-V |
| 21 | Emitt Rhodes | FRESH AS A DAISY | Dunhill | 2467-N |
| 22 | Jerry Reed | AMOS MOSES | RCA | 9904-N |
| 23 | Judy Collins | AMAZING GRACE | Elektro | 45709-P |
| 24 | Tundra | BAND BANDIT | A&M | 307-W |
| 25 | Bread | LET YOUR LOVE GO | Elektro | P |
| 26 | John Lennon | MOTHER | Apple | 1827-F |
| 27 | George Harrison | ISN'T IT A PITY | Apple | 2995-F |
| 28 | Fifth Dimension | ONE LESS BELL TO ANSWER | Bell | 940-M |
| 29 | Liz Damon | 1900 YESTERDAY | Orient Express | White Whale | 368-J |
| 30 | Stephen Stills | LOVE THE ONE YOU'RE WITH | Atlantic | 2778-P |
| 31 | Led Zeppelin | IMMIGRANT SONG | Atlantic | 2777-P |
| 32 | Tom Jones | SHE'S A LADY | Parrot | 40058-K |
| 33 | Henry Mancini | THEME FROM LOVE STORY | RCA | 9081-N |
| 34 | McGinnis Flinn | WHEN I'M DEAD AND GONE | Capitol | 3014-F |
| 35 | Ocean Yorkville | PUT YOUR HAND IN THE HAND | YY | 45033-D |
| 36 | Janis Joplin | ME AND BOBBY McGEE | Columbia | 45314-H |
| 37 | Ray Stevens | BRIDGET THE MIDGET | Bananarama | 2024-H |
| 38 | Grass Roots | TEMPTATION EYES | Dunhill | 4263-N |
| 39 | Carpenters | FOR ALL WE KNOW | A&M | 1243-W |
| 40 | Leigh Ashford | DICKENS | Revolver | 0010-N |
| 41 | Bloodrock | D.O.A. | Capital | 3009-F |
| 42 | Belle & Sebastian | STAY AWHILE | Polydor | 2065 046-Q |
| 43 | Mike Curk | BURNING BRIDGES | Congregation | MGM | 14151-M |
| 44 | Stampaders | CARRY ME | MWC | 1003-M |
| 45 | New Seekers | BEAUTIFUL PEOPLE | Elektro | 45710-P |
| 46 | Bobby Sherman | CRIED LIKE A BABY | Mermon | 296-L |
| 47 | King Floyd | GROOVE ME | Atco | CH435-P |
| 48 | Tyrannosaurus Rex | RIDE A WHITE SWAN | Blue Thumb | 7121-Q |
| 49 | Tom Northcutt | I THINK IT'S GOING TO RAIN TODAY | Uni | 55262-J |
| 50 | Joe Simon | YOUR TIME TO CRY | Springs | 108-K |
| 51 | C.C.S. | WHOLE LOTA LOVE | Rok | 257 4501-H |
| 52 | Little Sister | SOMEBODY'S WATCHING YOU | Stone Flower | 9001-P |
| 53 | Gladys Knight | IF I'VE BEEN YOUR WOMAN | Pips | Soul | 35078-V |
| 54 | Gary Puckett | KEEP THE CUSTOMER SATISFIED | Columbia | 4-4330-34-H |
| 55 | Partridge Family | DOESN'T SOMEBODY WANT TO BE WANTED | Bell | 963-M |
| 56 | Perry Como | IT'S IMPOSSIBLE | RCA | 0387-N |
| 57 | James Taylor | COUNTRY ROAD | Warner Bros | 7460-P |
| 58 | Ike & Tina Turner | PROUD MARY | Liberty | 56216-K |
| 59 | Tommy Graham | THINGS YA SAY | Capitol | 72632-F |
| 60 | Redeye | GAMES | Pentagram | 204-V |
| 61 | Neil Young | OH LONESOME ME | Reprise | ROB98-P |
| 62 | Band | THE SHAPE I'M IN | Capitol | 2870-F |
| 63 | Murray Head | SUPERSTAR | Decca | 732603-J |
| 64 | R. Dean Taylor | AIN'T IT A SAD THING | Earth | RS023-V |
| 65 | Sammi Smith | HELP ME MAKE IT THROUGH THE NIGHT | Mega | 615 0015X-M |
| 66 | Francis Lai | THEME FROM LOVE STORY | Paramount | 2064-M |
| 67 | Joey Scarr | MIXED UP GUY | Long | 3208-Q |
| 68 | Carol Stanton | HE CALLED ME BABY | Fame | 1476-F |
| 69 | Edi Son | IT'S UP TO YOU PETULA | Bell | 960-M |
| 70 | Santan | BLACK MAGIC WOMAN | Columbia | 45270-H |
| 71 | Leiterman | EVERYTHING IS GOOD ABOUT YOU | Capitol | 9020-F |
| 72 | Christopher Keaney | ROCKING CHAIR RIDE | MCA | 2008-J |
| 73 | Manuel de Falla | MOZART | Daffodil | DFS1003-F |
| 74 | Brian Hyland | LONELY TEARDROPS | Uni | 5527-2-J |
| 75 | Miguel Rios | LIKE AN EAGLE | A&M | AMX310-W |
| 76 | Jackie Moore | PRECIOUS PRECIOUS | Atlantic | 2681-P |
| 77 | 2 Man Electrical Band | HELLO MELINDA GOODBYE | Polydor | 2065042-Q |
| 78 | Brewer & Shipley | ONE TOKE OVER THE LINE | Kama Sutra | 516-M |
| 79 | Cat Stevens | WILD WORLD | A&M | 1231-W |
| 80 | King Curtis | WHOLE LOTA LOVE | Arco | 9779-P |
| 81 | Wilson Pickett | DON'T LET THE GREEN GRASS FOOL YOU | Atlantic | 2781-P |
| 82 | Houston-Tex | SALLY BUMPER | GH | 103-M |
| 83 | Buxton Kastle | KAGIE | RCA | 75 1041-N |
| 84 | Freedom North | ORDINARY MAN | Aquarius | 5008-K |
| 85 | Donovan | CELIA OF THE SEALS | Epic | 10694-H |
| 86 | Sergio Mendes | CHERYL NOANA MARIE | Brasil | A&M | 1226-W |
| 87 | Assembled Multitude | MEDLEY FROM SUPERSTAR | Atlantic | 2780-P |
| 88 | Archies-Kirshner | TOGETHER WE TWO | 5009-N |
| 89 | Sergio Mendes | DO YOU KNOW WHAT YOU'RE DOING | Brasil | 1223-03-T |
| 90 | Fitpatrick | (We're All Singing) THE SAME SONG | Freedom | 1995-M |
| 91 | Perth County Conspiracy | YOU'VE GOT TO KNOW | Columbia | C4 2963-H |
| 92 | Mashmash | CHILDREN OF THE SUN | Columbia | 2960-H |
| 93 | Ellie & Gamm | TO THE FAMILY | Gamm | 0-A5007-K |
| 94 | Green & Stagg | IT'S BEEN A LONG TIME | Gamma | A5009-K |
| 95 | Chicago | FREE | Columbia | 45331-H |
| 96 | Danny O'Keefe | COVERED WAGON | Collition | 44088-P |
| 97 | Sly & The Family Stone | GLORY GLORY | C4 | 2956-H |
| 98 | Van Morrison | BLUE MONEY | Warner Bros | 7462-P |
| 99 | Alice Cooper | EIGHTEEN | Warner Bros | 7449-P |
| Rank | Artist/Title | Label | Format | Chart |
|------|--------------|-------|--------|-------|
| 1 | ALL THINGS MUST PASS | George Harrison-Apple-ST CH639-F | 4X TST CH639-F | N/A |
| 2 | PENDULUM | Creedence Clearwater Revival-Fantasy-8410-R | 8XT STCH639-F | 894-10-R |
| 3 | JESUS CHRIST SUPERSTAR | Decca-XSA7206-J | 73 6000-J | N/A |
| 4 | ELTON JOHN UNI-7309J | N/A | N/A | N/A |
| 5 | ABRAXAS | Santana-Columbia-KC 30130-H | CA 30130-H | N/A |
| 6 | LOVE STORY | Dr. John-Andruck-Parmount-PAS600-D | PA 6 C 6002-M | N/A |
| 7 | TUMBLEWEED CONNECTION | Elton John-Uni-73096-J | N/A | N/A |
| 8 | CHICAGO III | Columbia-C2 30110-H | CT 30110-H | N/A |
| 9 | THE PARTIDGE FAMILY ALBUM | Bell-1050-M | C 6050-M | 8T C 6050-M |
| 10 | JOHN LENNON/PLASTIC ONO BAND | Apple-10572-F | 4X T 3372-F | 8XT 3372-F |
| 11 | THE WORST OF JEFFERSON AIRPLANE | RCA-LSP 4499-N | N/A | N/A |
| 12 | SIT DOWN YOUNG STRANGER | Gordon Lightfoot-Reprise-6 392-P | CRX 6392-P | 8RM 6392-P |
| 13 | THIS WAY IS MY WAY | Apple-Capitol-ST 6330-R | 4X T 6330-R | 8XT 6330-F |
| 14 | SLY & THE FAMILY STONE GREATEST HITS | Epic-KE 30325-H | CT 30325-H | CA 30325-H |
| 15 | EMITT RHODES | Dunhill-D 550089-N | N/A | N/A |
| 16 | STEPHEN STILLS | Atlantic-SDT 202-P | CSY 202-P | TP7202-P |
| 17 | CLOSE TO YOU | Capitol-ABM-4271-W | CS 4271-W | 8T 4271-W |
| 18 | SWEET BABY JAMES | James Taylor-Warner-Bros-WB 1843-P | CWX 1843-P | 8WM 1843-P |
| 19 | ELVIS COUNTRY | EMI-Telstar-RCA-SP 44640-N | PK 1665-N | N/A |
| 20 | PEARL | Jimi Hendrix-Columbia-KC 30322-H | CT 30322-H | CA 30322-H |
| 21 | GRAND FUNK LIVE | Capitol-5WB633-F | 4X T 633-F | 8XT 633-F |
| 22 | WHALES AND NIGHTINGALES | N/A | Kalinka-Elektra-75010-P | EK75010-P |
| 23 | LED ZEPPELIN III | Atlantic-SD 720-LP | AC 720-LP | ABT C 720-LP |
| 24 | 2 YEARS ON | Buddah-Accord-333 353-P | N/A | N/A |
| 25 | ROSE GARDEN | Lynn Anderson-Columbia-C | 30411-H | N/A |
| 26 | HONEY WHEAT & LAUNGER | Airey Murray-Capital-ST 6350-N | N/A | 8XT 6350-F |
| 27 | TAP ROOT MANUSCRIPT | N/A | Diamond-Uni-73092-J | 73 6092-J | 6-3092-J |
| 28 | BLOWS AGAINST THE EMPIRE | Paul Kantner-RCA-LSP 4468-N | PK 1654-N | N/A |
| 29 | WATT | The Years After-Deram-XDE3180-K | N/A | N/A |
| 30 | CANDIDA | Dawn-Bell-d 052-M | C 6052-M | 8TC-6052-M |
| 31 | WOODSTOCK | Soundtrack-Capitol-SD 3-500-LP | AC 2-500-LP | 2A8T500-P |
| 32 | NANTUCKET SLIEGRIDGE | Mountain-Windfall-I-5500-M | N/A | N/A |
| 33 | BLOODROCK 2 | Capitol-5749-LP | N/A | N/A |
| 34 | SHARE THE LAND | Guess Who-Nimbus-9 L-5LP | 4289-N | PK 4359-N | PBS 4359-N |
| 35 | TOMMY | The Who-Decco-DXSW 9175-J | 73 76175-J | 6-9175-J |
| 36 | PORTAIT | Fifth Dimension-Bell-6045-M | C 6045-M | 8TC 6045-M |
| 37 | NATURALLY | Three Dog Night-Dunhill-DX 50098-N | N/C | N/A |
| 38 | AFTER THE GOLD RUSH | Neil Young-Reprise-56 383-P | CRX 6383-P | 8RM 6383-P |
| 39 | CHICAGO | Columbia-GP 24-H | CT 8D 0856-H | 18 BO 0856-H |
| 40 | WHAT ABOUT ME | Quicksilver-Capitol-AS 56 30-F | 4X T 630-F | 8X T 630-F |
| 41 | THE DOORS | Elektra-574079-P | EKCT 6079-P | EK74079-P |
| 42 | IT'S IMPOSSIBLE | Perry Como-RCA-LSP 4475-N | N/A | N/A |
| 43 | COSMO'S FACTORY | Creedence Clearwater Revival-Fantasy-8402-R | 58402-V | 88402-V |
| 44 | STEPPENWOLF 7 | Dunhill-D 505X90-N | N/A | N/A |
| 45 | BRIDGE OVER TROUBLED WATER | Simon & Garfunkel-Columbia-PCS 9911-H | 16 10 0750-H | 18 10 0750-H |
| 46 | MOST OF ALL | B.J. Thomas-Scepter-SP 5586-J | 5079-586-J | 19 019-586-T |
| 47 | CHRISTMAS AND THE BEADS OF SWEAT | Laura Nyro-Columbia-KC 30259-H | CT 30259-H | CA 30259-H |
| 48 | BLACK SABBATH | Warner Brothers-WB 1871-P | 8WM 1871-P | CWX 1871-P |
| 49 | TEA FOR THE TILLERMAN | Cat Stevens- & M & SP 4280-W | N/A | N/A |
| 50 | WITH LOVE BOBBY | Bobby Sherman-Metromedia-KMD1032-L | 5090-1032-T | 8090-1032-T |
| 51 | VERY DIONNE | Dionne Warwick-Scapler-SP 5587-J | 5019-587-T | 8019-587-T |
| 52 | FOR THE GOOD TIMES | Ray Price-Columbia-30160-H | CT 30160-H | CA 30160-H |
| 53 | TWELVE DREAMS OF DR SARDONICUS | Spirit-Elektro-30267-H | N/C | N/A |
| 54 | AMERICAN BEAUTY | Grateful Dead-Warner Bros-WS1893-P | N/A | N/A |
| 55 | THEME FROM LOVE STORY | Henry Mancini-RCA-LP 4466-N | N/A | N/A |
| 56 | THAT'S THE WAY IT IS | Elvis Presley-RCA-LP 4454-N | N/A | N/A |
| 57 | NEW MORNING | N/A | N/A | N/A |
| 58 | LOLA VERSUS POWERMAN AND THE MONEYGOURD | Knkns-Pye d 423-L | N/A | N/A |
| 59 | DEJA VU | Bobby Stills Nash-Yong-Atlantic-7200-P | AC 7200-P | ABT C 7200-P |
| 60 | HIS BAND AND THE STREET CHOIR | Van Morrison-Warner-Bros-WB 84-P | N/A | 8WM 1884-P |
| 61 | CLOSER TO HOME | Grand Funk Railroad-Capitol-5KAO 471-F | 4XT 471-F | 8XT 471-F |
| 62 | A QUESTION OF BALANCE | Moody Blues-Threshold-5K | THM-24803-K | N/A |
| 63 | WRONG END OF THE RAINBOW | Tom Rush-Columbia-C 30402-H | N/A | N/A |
| 64 | GOLD | N/A | 173 3084-J | 16 3084-J |
| 65 | I THINK THEREFORE I AM | R. Dean Taylor-Rare Earth-RS522-V | R75 522-V | R8 1522-V |
| 66 | SYRIXN | N/A | North-TN2-H | TN2-H |
| 67 | GYPSY | Memphis-A&M-2D 1031-L | N/A | N/A |
| 68 | THE FLIP WILSON SHOW | Little David-LLD 2000-M | LDB 2000-T | LDB 2000-T |
| 69 | SINFONIAS | Waldo de los Rios-Daffodil-5BA 16003-F | N/A | N/A |
| 70 | WE GOT TO LIVE TOGETHER | Buddy Miles-Mercury-SR6131-M | N/C | N/A |
| 71 | HERITAGE | Christmas-Daffodil-5BA-16002-F | N/A | N/A |
| 72 | THE PERTH COUNTY CONSPIRACY DOES NOT EXIST | Columbia-ELS 375-H | N/C | 18 TE 0375-H |
| 73 | THE BLACK MAN'S BURDON | Eric Burdon & War-MGM-SE 4710-2-M | N/A | N/A |
| 74 | PLANET EARTH | Timothy Graham's Friends-Capital-5KAO 6356-F | N/A | N/A |
| 75 | LIVE AT LEEDS | The Who-Deco-CL 79175-J | 79 175-J | 69 175-J |
| 76 | THE JOHNNY CASH SHOW | Columbia-30100-H | CT 30100-H | CA 30100-H |
| 77 | SUNSHINE AND BAKED BEANS | Madrigal-Tuesday-GLH 1002-M | N/A | N/A |
| 78 | GET YER YA-YA'S OUT | Rolling Stones-London-NP 55-K | M 57 176- | M72176-V |
| 79 | CHIMO | Revolver-SP 4470-N | N/A | N/A |
| 80 | REACH FOR THE SKY | Cowboy-Arco-SD535-351-P | N/A | N/A |
| 81 | BAD MANIORS | Coward-Daffodil-5BA-16004-F | 48 16004-F | 8B 16004-F |
| 82 | I (WHO HAVE NOTHING) | Tom Jones-Parrot-XPA 7039-K | PKM-7039-K | PEM-79839-K |
| 83 | DELIVERIN' | Poco-Epic-EC 30209-H | N/A | N/A |
| 84 | THIRD ALBUM | Jackson 5-Tamla Motown-MS 718-V | M75 718-V | M8 718-V |
| 85 | I WALK THE LINE | Sun-Richard-Columbia-530397-H | N/A | N/A |
| 86 | UNTITLED | The Byrds-Columbia-30127-H | CT 30127-H | CA 30127-H |
| 87 | JAMES TAYLOR | Apple-3325-F | 4XT 3325-F | 8XT 332-F |
| 88 | STAGE FRIGHT | The Band-Capitol-5W425-F | 4XT 5W425-F | EXT425-F |
| 89 | WASHINGTON | Arlo Guthrie-Reprise-RS 6411-P | MS 6411-P | M8 6411-P |
| 90 | ATOM HEART MOTHER | Pink Floyd-Harvest-5KAO 382-F | N/A | N/A |
| 91 | JOHN BARLEYCORN MUST DIE | Traffic-Polydor-239 013-Q | 3100 029-Q | 3801 022-Q |
| 92 | BACK HOME AGAIN | N/A | N/A | N/A |
| 93 | JAMES TAYLOR & THE ORIGINAL FLYING MACHINE-Euphoria-EST 2-L | N/A | N/A | N/A |
| 94 | JAMES GANG RIDES AGAIN | ABC-ARCS 711-Q | 5027711-Q | 8027711-Q |
| 95 | KENNY ROGERS & THE FIRST EDITION'S GREATEST HITS | Reprise-RS 6437-P | N/A | N/A |
| 96 | BRIGHT DOWN THE MIDDLE | Screaming Street Singers-Ampeg-477 1602-Z | N/A | N/A |
| 97 | TO BE CONTINUED | Janis Joplin-Enterpri-ENS 1014-Q | N/A | N/A |
| 98 | GOODBYES AND BUTTERFLIES | 5 Man Electrical Band-Polydor-2424 020-Q | N/A | N/A |
| 99 | IT'S IMPOSSIBLE | Perry Como-RCA-LP 4473-N | N/A | N/A |
| 100 | IF 2 | Capitol-5W676-F | N/A | N/A |
CANADA'S ONLY NATIONAL 100 ALBUM SURVEY
Compiled from record company, radio station, and record store reports.
Media - sharing the soiled sheets
by John Watts
Although I like to think of myself as a staunch supporter of Canadian talent, I must admit to having had some reservations about legislating programming content of radio, or any other media. Mostly these reservations were based on a fear of governmental control of the media. However, since the legislation imposed did not alter anything other than the origin of a percentage of the programming, and, in no way altered the right to free speech, these fears were without any solid basis. Anyway, since with a Trudeauesque shrug that right can be taken away at the slightest whim, it matters little.
A secondary doubt was raised by the cries of "free enterprise" in broadcasting. Did the CRTC ruling limit "free enterprise" in the broadcast industry? Not quite, since broadcasters are granted the use of a frequency which is the property of the people of Canada, a frequency which, for the term of their licence, is solely theirs, they are hardly operating in a free enterprise system. Of the twenty-odd million people in Canada, only a very select few are able to acquire a broadcast frequency. Broadcasting is on the same level of free enterprise as Bell Telephone.
Regardless of doubts, fears or anything else, there is now in effect in this country a law which requires AM broadcasters to program 30% material with one of four Canadian features. The CRTC holds the power to suspend broadcast licences in the event of failure to obey the law.
With the above in mind, a group of people conspired to determine exactly how the regulation was being greeted by broadcasters in a southern Ontario town. The results of the survey made would make a grown man shake.
The major top thirty station in the market, programmed true to form. That is, they played their American bubblegum, R&B, and English rock exactly as their programming director prescribed. Their bit for Canadian talent consisted of playing Canadian golden oldies, most of which they didn't play on release, American records with obscure Canadian connections and records in which they had a financial interest.
If one were to compute the total percentage (over a twelve hour period) of all oldies, phonies and self-interest records, (and one did) it would come to only about 22%. If one were to eliminate the oldies, phonies, and self-interest records, to get down to the station's actual contribution to Canadian talent it comes down to one (1) record and about 4%. And in fact the only reason they played that was due to its high position on the American trades.
Actually the station played three new Canadian releases, one was genuine, one was a creation of its own production company, (and published by its own publishing company), and the other was by a group co-managed by one of the deejays.
In addition there were records by the Band who left this country years ago, by Steppenwolf, a group of five, one of whom is Canadian or ex-Canadian, by Blood, Sweat and Tears, a group of nine, one of whom is Canadian, by Rare Earth, an American group whose song was written by a former Vancouverite, and by Tom Jones performing a song written by Paul Anka who now makes New York his home.
While other stations were able to program up to 50% of new, legitimate Canadian product, (Nevin Grant said he would have played more but there simply wasn't room on the playlist), the station in question used every conceivable trick to evade playing the current records of their competitors in the record production field. And that is the simple fact: radio stations with a financial interest in record production would be absolutely foolish to provide intensive airplay to their competitor's product.
Whether the government of this country is simply providing sufficient rope to hang by, has been "got to", or is acting under any of innumerable influences, now is the time for action. One of the best ways to force government to take action is to publicize a complaint, and here we come to the great paradox of media-government relationships. The government, in theory, has certain powers over the media. The media, in turn, has the power of the press over the government. It constitutes an uneasy relationship.
The media-government relationship is further complicated by the far-reaching powers of a few media giants. Any one of these media giants has huge newspaper, television and radio powers with which to complicate the re-election of any given government, or individual political candidate or even to make embarrassing the appointment or reappointment of an individual to a non-elective position. Yes, you say, but there are other media giants ready, willing and able to see their competitors suffer a setback. But in the tangled world of the media, who is to know who shares soiled sheets with one another.
Take for instance the case in the southern Ontario town in question; one of the joint-owners of the local media conglomerate also happens to be the biggest single advertiser (read financial supporter) of the two competing conglomerates. The joint-owner in question also heavily supports other, smaller media interests through advertising. Suppose, just for a minute, that the radio stations and newspapers were to take a strong editorial stand on a question involving their bankroller. As the Aussies say, there would be no future for it. Again suppose, that the interests of the conglomerate were not quite as meets the eye, and in fact they extended far beyond that indicated in the Keith Davey trilogy.
Where does that leave government and its agencies? In a tenuous position to be sure, but it should be obvious that if unchecked, the situation will do nothing but deteriorate. It is now time to bring the media manipulators into line, limit their growth, carefully examine their gnarled holdings, and prohibit the kind of misuse of public property of which the broadcaster-record production practise is only an example.
Tony Bennett set for week at O'Keefe
Columbia recording artist Tony Bennett will be appearing at Toronto's O'Keefe Centre from March 8th through the 13th.
Bennett has recently bowed his new single, "Theme From Love Story" which if it takes off could be instrumental in bringing in good houses during his stay.
Appearing with Bennett will be The Goldiggers of 1970, a ten-girl act who took over as the summer replacement show for Dean Martin.
Musical director for the engagement will be John Bunch.
Radio sound battle in major markets
Two of Canada's three biggest radio markets -- Montreal and Vancouver -- have recently provided us with an intriguing glimpse into the nitty gritty of Top 40 broadcasting.
In Montreal, CKGM finally took the axe to CFOX and dealt them a convincing chop in the last ratings. CKGM, which for sometime had been trying to get its gig together, eventually came out from under, and steamrollered to the top of the pop ratings.
CKGM is now the second rated station (#1 rocker) in the Montreal market, with CFOX down to fifth. This smashing victory was especially pleasing to those of us on the Canadian talent team.
Of all six major market rockers (CKLG, CKVN, CHUM, CKFH, CFOX and CKGM) CKGM is probably doing more for legitimately-Canadian records than any other two stations in the lineup (maybe even three if you count CHUM).
CKGM, which is not a member of the MLS (and has no intention of becoming one) has demonstrated somewhat rare individuality in programming. A letter I received recently from CKGM program director, John Mackey, made this new fresh approach in major market radio abundantly clear.
"I am happy that CKGM, which is not a willing slave to the dubious devices of Gavin, Randal or Hamilton, is exposing Canadian talent," Mr. Mackey penned. "Also, CKGM does not include Gold Canadian records within our 30% ruling. When a Canadian Gold comes up, that's gravy baby."
Although I have nothing against CFOX (apart from the usual things I have against U.S. oriented-Canadian broadcasters) I cannot say I have really enjoyed much of the Canadian copy in the Bob Hamilton sheet. It reflects CHUM's rather strange attitude toward Canadian talent, which is doing about as much good for the domestic music scene as salt dumped on your garden.
All in all, I doubt if CFOX is finding much sympathy in its current plight.
The Vancouver battle does not quite have the built-in appeal of Montreal, but it is nevertheless proceeding healthily. When Terry David Mulligan left CKFH and went to CKVN, he promised a completely new attitude to Top 40 format radio. While the results may not have completely lived up to his promises, it is a fact that CKVN is starting to have some heavy impact on the Western market.
Actor-philosopher Don Francks has gained the station a lot of new friends with his candid on air approach, and Mulligan has had the guts to drop some bubble gum records (such as the Partridge Family) which he thinks are offensive to the mature rock enthusiast.
CKVN has forced CKLG to loosen its piston-tight format which in the long run can only be good. We watch the Vancouver scene with continuing interest.
Back on homeground, the Toronto radio scene is as boring and lethargic as ever. CHUM has launched its "Canadian" philosophy into the legislation period, by avoiding exposure on most new Canadian singles product and making up by absurd repetition of oldies with vague content connections.
A lot of people (myself included) thought that CKFH had an ideal opportunity to jump in and gain a niche for itself by playing a lot of worthwhile Canadian records and some valid album tracks, and ignoring CHUM.
When I spoke with CKFH program director, Duff Roman, this week, he was immediately on the defensive. "We took a bit of a nose dive with our loose format of six months ago. It's all very well to appeal to the music tastes of a new hip people, but it's not practical. The boutiques and such places which want us to be musically progressive don't pay their bills every 30 days.
YORKE continued on page 21
**NEW ALBUMS**
**PASTORALE**
Rod McKuen
(Warner Bros) 2WS 1894-P
Throaty poet has written a book carrying same title as this 2 record set. Material from book contained here along with material from other writers. "Something", "He Ain't Heavy, He's My Brother" and others. A must - if you're a McKuen fan.
**EVERYTHING'S GOOD ABOUT YOU**
The Lettermen
(Capitol) ST-634-F
Middle of the roaders programming titler, recently culled as a single which should bring attention to this set which contains excellent easy listening goodies. "Where Did Our Love Go" and "Morning Girl" very strong.
**NANTUCKET SLEIGHRIDE**
Mountain
(Windfall) 5500-M
Leslie West probably couldn't be without Felix Pappalardi and vice versa - obvious with this set. Progressive-rockers won't let go of this one. "Animal Trainer & The Toad" and "The Great Train Robbery" - outstanding.
**JAMES TAYLOR AND THE ORIGINAL FLYING MACHINE 1967**
(Euphoria) EST-2-L
Phonodisc, distributors of this line, could have their hottest set of the year. Progressive-rock programmers already leaning heavily on "Rainy Day Man" and "Brighten Your Night With My Day" which features Taylor on lead vocal.
**SALISBURY**
Uriah Heep
(Mercury) SR 61319-K
Britishers have a set of heavy - but heavy sounds here that could generate sales where progressive rock stations have influence. One cut that even establishment hippies will dig, is "The Park".
**2 YEARS ON**
Bee Gees
(Alco) SD 33-353-P
What a nice feeling for a label to have. The most famous brother team are back together - they've got a hit single, "Lonely Days" and now an album with eleven more Gibb newies that can't miss being a top seller.
**CHICAGO III**
(Columbia) C2 20110-H
Hot on the heels of their successful Canadian appearances comes this almost indescribably beautiful tapestry of sound on sound. Could they possibly be better than their first releases? Don't sample it - buy it.
**PEARL**
Janis Joplin
(Columbia) KC 30322-H
The late and great Janis Joplin was never together, better with any back-up group than with her Full Tilt Boogie band which makes this set that much more frustratingly sad. Set will probably go down as the best released by Columbia, for this year.
**BARREL FULL OF MONKEES**
(Colgems) SCOS 1001-N
They're not new but it will bring back pleasant memories when this was one of the top groups in the world. A two record set containing "Last Train To Clarksville" "I'm A Believer" and more.
**SWEETHEART**
Engelbert Humperdinck
(Parrot) XPAS 71043-K
British chanter, one of the favourites for MOR programmers, follows his hit single, "Sweetheart" with what should be a very hot album. "The First Time Ever I Saw Your Face" and Gene MacLellan's "Put Your Hand In The Hand" should tag the set - hit.
The finger-licking good king of fried chicken with Decca's Brenda Lee and MCA promo Barry Paine.
Fred Dixon and The Friday Afternoon from Perth Ontario, are go for "Jim's Car Lot" on Rodeo.
RCA's new Ontario promo rep Johnny Murphy (l) did the promo rounds with label's John Gary.
Bruce Bissell, now Ontario promo mgr. for Warner Bros. with John Hammond at Massey Hall gig.
Capital's West Coast promo mgr. Barry Ryman, gave red carpet treatment to label's Tommy Graham.
GRT's gal about promotion, Jutta Ney, with Chuck Berry during Chess artist's Guelph appearance.
monthlys? Time Magazine recently did such an in-depth study of the problems of the ruling, that the story simply burned up the pages of that esteemed publication. It contained quotes from broadcasters that could be tagged the rhetoric of the broadcasters for the past six years. What light did Time shed on the problem? Was it even too deep for their comprehension? Who, associated with the CRTC, can capably explain all of this to the members of the Commission so they could understand it — fully?
The Senate Study of Mass Media tells us that we must launch campaigns and crusades as publishers to fulfill our purpose as Canada's media. This paper is the only vehicle for the music industry in Canada. With all this power bestowed upon us, our responsibility is to tell the story of the crisis to the best our our ability through our experiences over the past seven years, in observing the music industry.
RPM has no vested interest in any production or music industry entity other than this weekly publication. Our interest lay in the industry as a whole — and those means by which the industry can better itself. We, as a publication, would only benefit from the prosperity of a healthy industry.
We don't need the trouble this series and our editorial approach to this crisis has created. It comes with the responsibility we have assumed when this organ was launched seven years ago, of our own free will. We believed then, that there was a need. Today, we feel we are fulfilling that need — here and now.
RPM SAYS ... don't sell yourself cheap. Check our rate card. You can say a lot to the industry in a 1/16th of a page. You can say more in a full page (and colour it if you wish) GO INTO SPACE. Your message will be read along with features by Canada's top trade writers.
MAIR continued from page 6
body wants MacLellan songs. I specialize in a certain type of material and if anybody calls me for that type of music, I can supply some damn fine material."
"I've had more calls from Americans than I've had from Canadians. The companies complain that there is no material available but they don't come looking for it. Barbra Streisand has recorded two Lightfoot songs — they came looking for them."
Al would apparently rather be a publisher. All he wants is a few good managers to look after the folk acts. "There's a few people (managers) who seem to be doing things O.K. But there's very few of them, particularly in the folk business. There are few managers, in fact - most of them are just booking agents. Booking is such a cut-throat business that the agent really can't operate as a good manager. The agent is forced to scurry to get enough dates to pay for last week's phone bills. And they don't understand television. They'd rather get a high school gig for $2000 than a television show for $500 when, if they don't take the television show, they'll never get past the high schools." I suppose that most agents just don't have the time to read McLuhan for television theory.
So for the moment Al Mair is a reluctant manager and executive producer as well as a publisher. "There's so many deficiencies in the music business because it hasn't become a full-fledged industry yet," he moans.
As I left Al was dealing with a Berkley shyster named Bill who was adding a few deficiencies of his own to the list. Seems Bill had locked up all the halls in Berkley for the several weeks when Lightfoot was free to perform. Now Bill was willing to let his rights go for, say, 2,000 per cent of what he paid. Al was very polite as he brushed Bill off, a skill that must take years to develop. "I just refuse to be hustled," he said as he hung up. For a publisher, Mair makes a pretty good manager-producer.
A Sampler With A Difference
AS-12
JOHNNY WINTER
"Rock and Roll, Hoochie Koo"
From C 30221
TOM RUSH
"Maritimac County"
From C 30402
POCO
"A Man Like Me"
From E 30209
DREAMS
"New York"
From C 30225
BILL PUKA
"Nothing At All"
From C 30357
SOFT MACHINE
"Out-Bloody-Rageous"
From G 30339
BIG BROTHER
& THE HOLDING CO.
"I'm No Angel"
From C 30222
MILES DAVIS
"Saturday Miles"
From G 30038
SPIRIT
"Morning Will Come"
From E 30267
ITS A BEAUTIFUL DAY
"Soapstone Mountain"
From CS 1058
THE FLOCK
"Big Bird"
From C 30007
THE CHAMBERS BROTHERS
"Going to the Mill"
From C 30032
LAURA NYRO
"Blackbird"
From KC 30259
BALLIN' JACK
"Found a Child"
From C 30344
THE NEW YORK
ROCK ENSEMBLE
"Fields of Joy"
From C 30033
THE HOLLIES
"Too Young to Be Married"
From E 30255
REDBONE
"Maggie"
From E 30109
ELVIN BISHOP GROUP
"Don't Fight It (Feel It)"
From Z 30239
FRASER & DEBOLT
"All This Paradise"
From C 30381
Columbia Records of Canada, Ltd.
|
GOVERNING BODY STUDY SESSION
April 23, 2014
9:00 A.M.
Market Station
Roundhouse Conference Room, Suite 200
500 Market Street
1. CALL TO ORDER
2. ROLL CALL
3. DISCUSSION OF CITY SERVICES
4. ADJOURN
Persons with disabilities in need of accommodations, contact the City Clerk's office at 955-6520, five (5) days prior to meeting date.
| ITEM | ACTION | PAGE # |
|-----------------------------|----------------------|--------|
| CALL TO ORDER AND ROLL CALL | Quorum | 1 |
| DISCUSSION OF CITY SERVICES | Information/discussion | 2-23 |
| ADJOURN | | 24 |
1. CALL TO ORDER
A Study Session of the Governing Body of the City of Santa Fe, New Mexico, was called to order by Mayor Javier M. Gonzales on April 23, 2013, at approximately 9:00 a.m., in the Roundhouse Conference Room, 500 Market Street, Suite 200.
2. ROLL CALL
Roll call indicated the presence of a quorum, as follows:
**Members Present**
Mayor Javier M. Gonzales
Councilor Patti J. Bushee
Councilor Carmichael A. Dominguez
Councilor Peter N. Ives
Councilor Signe I. Lindell
Councilor Joseph M. Maestas
Councilor Christopher M. Rivera
**Members Excused**
Councilor Bill Dimas
Councilor Ronald S. Trujillo
**Others Attending**
Brian K. Snyder, City Manager
Kelley Brennan, Interim City Attorney
Yolanda Y. Vigil, City Clerk
Melessia Helberg, Council Stenographer
NOTE: All items in the Council packet, for all agenda items, are incorporated herewith by reference. The original Council packet is on file in the Office of the City Clerk.
3. DISCUSSION OF CITY SERVICES
A copy of the *Interview Responses*, are incorporated collectively herewith to these minutes as Exhibit “1.”
Mayor Gonzales said today’s session is to get the Governing Body together to talk about its priorities, which will be helpful in the budget process as well as to the administration. He said today is the first effort to get on paper where all of you feel we need to focus the budget and our efforts. Mayor Gonzales said Carl Moore will be helping us through today’s session. He said a series of questions were asked of the Councilors regarding their priorities which is a backdrop for today’s session.
Carl Moore introduced Jessie Lawrence who works with him, noting she was able to contact only half of the Council with regard to the questions.
Mr. Moore said we have starting points of information, noting the Councilors will not be limited to anything they might have said in the interview, and can make additional suggestions.
Mayor Gonzales said Councilors can add items to the list for discussion if they would like to do so.
Councilor Ives said he would like to start with the description of Santa Fe, commenting how we conceive of ourselves tells us a lot about all of the other activities.
A. If you were briefly describing Santa Fe to someone who has not been here, what would you say.
Mr. Moore said they took the Governing Body’s ideas and drafted the following statement, and asked how we can make the statement better. After discussion, the Governing Body came up with the following description:
Santa Fe is the most beautiful city in the world. It is a city of clean air and natural beauty, and a city rich with culture, art, architecture, history and traditions. It is an inclusive and progressive city with diverse citizens, united by their appreciation of their city and their commitment to seeing it prosper while preserving its unique identity. Santa Fe is the State Capitol of New Mexico, the oldest State Capitol in America.
*The Governing Body commented, made suggestions and asked questions as follows:*
- Councilor Ives said two words that help define Santa Fe are creativity and sustainability, which might be subsumed in the architecture and seeing it prosper while preserving its unique identity.
- Councilor Dominguez said Santa Fe has a ton of potential for the future, given all the things which already are identified, plus some of the young population we have here.
Mayor Gonzales said he would want a City where there is an opportunity to be educated, to have good access to good health, and opportunity. He said asked what this statement would mean to the people who live in the City and raising a family.
Mr. Moore suggested, if you want to say it’s the most beautiful city in the world, maybe you ought to wait and make the case before you make the claim. If you’re going to say that, that should come at the end, rather the beginning.
Councilor Lindell said she doesn’t want to get bogged down in the form of this, commenting it is just a statement and some thoughts from people, noting these are just concepts and ideas.
Councilor Maestas said Santa Fe’s identity is being challenged, in terms of affordable housing, the exodus of our younger population because of the lack of affordable housing. It’s a positive statement, but if he had to describe Santa Fe today, this is not a vision statement, it’s a snapshot. He said he would say that its identity is being challenged.
Mayor Gonzales said for the budget session, part of this is to identify where we need to work on City government, and where those challenges are, so we can begin to develop plans to overcome them. The question is how to describe Santa Fe to someone from the outside, but a lot of today should be about what are the challenges, and how we gear up as a government to meet them. How do we set priorities given resources. This really is what he wants to see today.
Councilor Dominguez said the unique identity could be expanded to the reality, which is we have diversity in the community from the very rich to the very poor. He doesn’t know how you want to describe unique identity, but if it’s supposed to be something to sell the City, it needs a lot of work.
Mr. Moore said under the challenges, you mentioned affordable housing, and asked if there are any core challenges you would include – exodus of young people and such.
Councilor Maestas said homelessness is a by-product of lack of affordable housing.
Mayor Gonzales said it is the availability of jobs that creates the upward mobility that attracts people to be here and stay here, and with that you have to have an environment that is inviting for people. And people here are either very rich or very poor, and we have a large income and equality gap. We have to overcome some of that perception. The other challenge is the environment, and how to keep and/or attract young people here, which needs to be balanced.
Councilor Maestas said when the economy is not doing well, it shows our vulnerability.
Councilor Lindell said there is the challenge of addiction, and a sizeable challenge of improving our public schools.
Mayor Gonzales said part of the results of having such high income inequality are the silos that exist within Santa Fe among cultures, economic demographic groups. Many sub-segments of the community don’t interact or communicate with others. We need to create bridges.
Councilor Dominguez said we need to do things from the bottom up, and listen to the public and empower the public across the board. How do we get more participation.
B. What are the core services, activities or programs that the City government of Santa Fe must provide [see Exhibit “1” for this list].
Public Safety/Police and Fire – 4 times
Water – 4 times
Wastewater/Sewer – 3 times
Trash
Other responses
a. Streets
b. Affordable housing
c. Stimulation of job creation
d. Solid waste management
e. Effective government operation
f. Conduct of elections
g. Maintenance of public order
h. Direction and relief in the event of emergency
i. Construction and maintenance of public infrastructure
j. Act for the health and welfare of the people of Santa Fe
k. Training and oversight of city staff
l. It all depends on what are considered “core” services.
m. Functions that protect the public’s health, safety and general welfare.
n. Libraries.
o. Economic development, our environment and education are also very important but are addressed at a much larger scale than services.
p. Activities and programs that serve our youth and elderly are also important.
The Governing Body commented, made suggestions and asked questions as follows:
Mayor Gonzales – in terms of more program than services, it is affordable housing, stimulation of job creation and the economic development, environment and education all seem to be programmatic activities. He said it is an understanding that we have prioritized what services we’re going to follow. Is this is the place to do it, and do you mix programs with that. You stay with services and then talk about programmatic effort.
Mayor Gonzales said he doesn’t know how the Finance Committee has approached the budget from a priority standpoint, and how to align resources with the priorities of the Council.
Councilor Dominguez said the priorities of the Council are pretty much determined by who has the most support at a Council meeting, whoever has the 5 votes. He said Public Safety “eats up a large chunk” of the budget and it’s reflective of that. He said some of these things are dependent on one another, at the very least what we should provide, commenting Police Safety, Fire Safety, water, wastewater and trash are the essentials. However you can’t have that without training and oversight of staff so they know how to interact with young people and make everyone safe and protect people from fire.
Councilor Dominguez continued – If you want to grow more programs for youth and elderly, that will require things like economic development and the other stuff. In terms of priorities, and what the Governing Body has done in the past, it’s very reflective in making those 4 bullets at the top of the list are taken care of, and water has always been controversial in the past and a topic of discussion for everyone. Clean water is essential.
Councilor Maestas said this is a good validation exercise for us to reiterate what we consider to be the core services. One of the disconnects is we look at the City by numbers, and we’re providing close to excellence in a lot of the core services, but he feels the residents don’t see or understand that, or don’t know that. This is a good segue in establishing some easily understood, basic metrics with achievable goals and communicating those to the public in terms of the City’s core services. He hopes we can talk about performance measurements and come up with easily understood metrics for the public.
Mayor Gonzales is hoping to move toward a performance based budget with measurable outcomes established by the Governing Body at the beginning of the fiscal year, with metrics in place so the public knows if we’re making progress to meeting the outcomes. It then becomes a good tool to evaluate the reasons we might not do that. He thinks this is for the next budget cycle, although we can establish outcomes for this budget.
Mayor Gonzales said for a period of time the City did very well in GRTs which helped to fund a lot of the additional programs that are important. When there was a decline in GRTs because of the recession, the Council had the ability to draw on reserves and keep services whole. We are now at a point where there are no more cash reserves, and with annexation coming in. He talked about the richness of facilities in Santa Fe in comparison to Las Cruces and Rio Rancho, because of the GRTs, and with the decline of the GRTs we have a lot of programs which need to be dependent on a revenue source that no longer exists. He said this exercise is important for us, because we can’t continue to support programs and services as we did in the early 1990’s when GRTs were very strong and healthy for the City. He thinks the Finance Committee needs to provide direction as to where we focus our efforts in view of the reduced GRTs. He said we can’t continue to provide the same level of services with less revenues.
Mayor Gonzales said, although there were increases in the GRTs, that was absorbed with a $1.5 million contract with AFSCME, plus the additional costs of annexation, as well as the loss of revenues from “hold harmless” which becomes effective in 2015. The reality will force us to start making tough decisions on where we prioritize our budget, and the public needs to know there is a performance expectation. He said will be voting on a budget which may require elimination of programs or support of programs.
Councilor Maestas said the new paradigm should be on the results and what we can do.
Mayor Gonzales asked if we are looking at keeping things whole or go to the public to look at eliminating programs and service.
Councilor Dominguez said the budget is flat with some potential revenue we might expect next year, and we have to maintain the level of expenditures with anticipated future revenues. He said in terms of performance based budgeting, in providing information to the Governing Body and the Finance Committee, we need to simplify things somewhat. He said right now it is a big “shell game,” with money coming from all over the place to make ends meet. He said a simple revenue and expenditure statement might be helpful, such as for enterprise funds.
Mayor Gonzales asked said then this year there isn’t the issue of having to look at cutting programs.
Councilor Dominguez believes we are fine for the time being.
Councilor Lindell said there must be a way of analyzing hours when City facilities are used, and said perhaps the hours can pulled back somewhat so we don’t cut core services, but scale them back a little. She said we have 3 senior centers within 2 blocks of each other that all serve breakfast and lunch and asked if it could be served all at one place.
Councilor Lindell said people have wonderful ideas that cost $70,000 to $80,000, and if we approve these throughout the year at every Council meeting, you can get into some real zeros and commas, and she thinks we need to band together and know we’re not in an expansion mode. If anything we are working on an analysis of cost savings.
Mayor Gonzales said perhaps we can set policy on how expansions of the budget would work, that they will be approved only if they meet an outcome which matches to a priority. He said this could help us to be more disciplined.
Councilor Maestas said since the recession, the workforce has been reduced by 20%, but we haven’t appreciably reduced services, and asked what is the right size for the City, and said we need to determine that. He said we have department directors wearing several hats, and we don’t want to burn-out our people at the expense of trying to maintain service. We need to right size and stabilize our government.
Councilor Ives agreed, noting a commentary by Greg Bemis saying Santa Fe is top-heavy with people working in government – 11% the norm versus 14% in Santa Fe. He suggested eliminating positions that haven’t been filled for 2-3 years, and if there is a need for a new position, we take that on part of the expansion.
Councilor Dominguez said we need a different process in place for an FIR, perhaps simplifying the format, and deciding exactly what information needs to be included. He said perhaps it could be on “bright orange paper” so we pay attention to it.
Mayor Gonzales expressed his concern about the difficulty of being elected in March at the time there is a budget to be approved in early May. He said in the next fiscal year, we need to develop a strategic plan for next 18-24 months and tie a budget to that, with goals and objectives, so it becomes a real document.
Mayor Gonzales said volatility of the GRTs makes it difficult to provide sufficient funding for services – align services with available tax revenues – should public safety be supported more by property taxes, and other services supported by the GRT. We need to have this conversation about a dedicated revenue stream for core services which makes sense to the public.
Mayor Gonzales said we need to look at our enterprise funds to decide if they should continue to be enterprise funds, and if not, what is the revenue source that is going to support it. What makes sense.
Mayor Gonzales asked if the Councilors are open to going through a strategic planning process that would be tied to the budget for the next fiscal year so we can incorporate some of the things that we are talking about, or if there is another path outside a strategic planning process where we could achieve the same objective.
Councilor Ives – the strategic planning process is fundamental to determine the direction in which we should go in the future, to be the City we want to be. We need the discipline not to take on new things without a revenue source for the expenditure.
Councilor Dominguez – the strategic plan should as specific as possible. For example, the GCCC is much different from Solid Waste or Water Divisions where fees pay for the services. Has management been giving the GCCC the opportunity to operate truly as an enterprise to make this happen. He said in that situation we could subsidize less from the General Fund and use those funds for things like public safety.
Mayor Gonzales asked if the Council is okay with tying the budget to the strategic plan we adopt.
Councilor Dominguez is okay with it, but said we need as much input as possible on the strategic plan because it has to be true.
Councilor Dominguez – a strategic plan can have different parts to it with a long term aspirational visionary document for 20 years, with an inter-related 3-5 year plan, with an annual work plan tied to the budget for true accountability. A strategic plan is a living document.
Councilor Ives – Santa Fe’s last master plan was done in 1995.
Councilor Lindell – We need to keep in mind performance based budgeting, commenting that she is going to keep saying this.
Mayor Gonzales – Performance based budgeting means a big investment in training of our staff to use the systems and technology to set the metrics in place for the system. Need a willingness to make critical investments in technology to constantly upgrade our systems. If there is no money to invest in changing processes and behavior, we can’t meet the metrics we are setting up. Dialogue needed to decide how to get to that point.
Councilor Dominguez – Make investment in technology a priority for the City to provide a more effective and efficient government and better service to citizens. Educate the public to the realities that exist with the budget and the way we operate.
Councilor Lindell – Provides the opportunity for transparency. Asked if there is access for the public to look at our budget, and if there is a City checkbook on line.
Mayor Gonzales – It is there which is a good start, and we need to move it to the next level.
Councilor Maestas – Affordable housing should be a core service in Santa Fe with a robust City program for that.
Councilor Maestas – Stimulation of job creation is a tool for our own empowerment in the absence of tax reform – should be more of a temporal core service. A more temporary thing as we recover from the recession.
Mr. Moore said perhaps you are creating two tiers – a core tier, and a second core tier which would include things such as affordable housing, stimulation of job creation and training. You have made a strong case that we have to be in the business of training inherent to the future of City operations. With two tiers, you can provide better service.
Councilor Ives – Include infrastructure in the core services, and in strategic planning looking to what infrastructure we want for the future of Santa Fe.
Mayor Gonzales – Match resource dollars to priorities, but there can be priorities built from some of these. In job creation in the area of green technology, areas creating green labor jobs that helps with the economy. We have no direct role in public education, but we can partner with non-profits and Schools and use our infrastructure to help support it. Interdependence – we need a strong educational system to have good paying jobs, to keep people here there must be access to
housing. We need to invest in them sufficiently to play a leadership role by bringing others to the table in setting priorities moving forward – the private sector, the schools and the counties.
– Councilor Maestas – The federal government assesses each FTE each year and they are classified as inherent to government or commercially available to render that service. Sometimes they break the position into different parts – commercially available or inherent to government. We can do the same at the City level – is the expertise truly commercially available or can we cultivate this expertise in government without adding FTEs.
Mr. Moore pointed out that the lion’s share of the City’s budget is for personnel.
– Councilor Ives remains skeptical to privatization of our core services, and police protection is a core governmental services, and we don’t want to go to privatization.
– Councilor Dominguez – How much social infrastructure is our responsibility. Libraries are part of the education, economic development and stimulation of job growth needed to be accessible and affordable. There are a lot of people in the community who are hungry. What is our role in ensuring that everyone has access to a library, as well as to food and shelter, the basic core necessity people have.
10 minute break here – 10:20 a.m. to 10:30 a.m.
Councilor Rivera arrived during the break
C. Please identify up to five changes that the City government should make in its focus. What should it do that it is not doing or what should it do more of or in a substantially different way.
Mr. Moore said the following are what the people interviewed said were the changes. He would like to identify a few, and asked what really resonates with you, or what you dislike. He asked the Councilors what is one change that could be made that you would like to see made. He said you can use these as a starting point to think about it.
1. Establish fiscal discipline and long-term financial stability.
2. Right-size/streamline government structure
3. Establish accountability and focus on clear priorities and division/department level with achievable, clear and measurable goals.
4. ID specific projects (broadband, infrastructure, incentives, etc., to aggressively stimulate the economy.
5. Initiate and maintain continuous talks with SF County to ID and secure beneficial and sustainable partnerships in equitably shared responsibility for services, energy/sustainability, water resources, etc.
6. Be more fiscally responsible.
7. Demand more of key potential partners, such as SF County, LANL, state legislature, etc., to help benefit the City.
8. Begin and continue teambuilding among the Governing Boy Members and executive staff (when all are hired).
9. Develop and implement a continuous and robust civic engagement plan.
10. Update projected costs (one-time and recurring) of annexation.
11. Fill critical, high-level positions.
12. Take lead in municipal tax reform to reduce dependence on GRT.
13. Continue growing social services to most vulnerable and leverage limited public funding with other public and private organizations.
14. Expand efforts to address the growing need for affordable housing.
15. Better integrate police department into the community through community policing practices, more coordination with neighborhood associations, etc.
16. Expand solar energy use by negotiating a deal with PNM to build a community solar garden.
17. Expand broadband projects beyond $1 million proposed project.
18. Focus more on core services and provide everything to build those up so people that work in those departments have the tools they need to be successful.
19. Doing a lot of extra things now, and should focus more on basic services.
20. Get some services, possibly out of GRT dependence. Maybe public safety, look at property tax or other tax that could provide more stable revenue.
21. Stop meddling into issues that don’t involve the City.
22. Provide more parks on south side for kids that live here.
23. More for kids to do on a daily basis. Don’t have enough general recreational things for kids to do.
24. Acknowledge and promote government as a service to the citizens, not an organization which is inherently an end in itself.
25. Reform HR system to provide for performance reviews on an annual basis for all staff both as opportunity for management and employees to assess and define what good performance means, and to define necessary training and career advancement parameters.
26. Create a vibrant IT program as a service to the other functions of government to promote efficiency and productivity in an intelligent and intentional manner.
27. Become more transparent and accountable by ensuring that all committees and boards post not only agendas but packet materials at least one week before scheduled meetings and ensuring that the City’s web presence is both easily accessible and searched.
28. Redefine economic development process from top to bottom.
29. Explore new water sources as per conversations over the last month on tapping into existing deep water supplies both regulated and unregulated by the OSE.
30. Short term and long term budgeting – we have no real plan on dealing with either.
31. Equity – making sure that resources are allocated equitably.
32. Employee morale – better communication with employees and eliminating the fear of retaliation.
33. Communication – not only to the public, but to employees and the Governing Body as well.
34. Council Liaisons – helping members of the governing body do everything from constituent outreach to evaluation of materials provided.
The Governing Body commented, made suggestions and asked questions as follows:
-- Councilor Maestas – How do you define equity, top to bottom, socially, economically, closing the gap between incomes.
– Councilor Ives – Try to institute a process in HR for annual performance reviews. Managers and employees defining a set of goals for the year, defining necessary training, providing input and getting input and feedback and where we’re going to create career paths for employees. Targeted toward making sure that everyone understands that we are a service delivery organization to the citizens, not a bureaucratic institution.
– Councilor Rivera – Update projected cost of annexation and plan accordingly
– Mayor Gonzales – Starting the training of employees and align the skills sets and services they are delivering. [3 votes]
– Mayor Gonzales – Change how we deliver services or meet goals from a partnership level, looking at the Schools, County and non-profits – collaborative partnerships to meet the public need.
– Councilor Lindell – Combine the establishment of fiscal discipline and long term financial stability with establishing accountability and focus on clear priorities, which clearly ties in with what Councilor Ives was saying, and combining that with performance review. [3 votes]
– Councilor Maestas said the City needs to plan and expand efforts to regionalize services, and continue working on partnerships with other governments and large private sector employers. We need continued dialogue and expansion of our partnership with Santa Fe County and other partners. Perhaps we should look at regionalizing other services. Santa Fe is the State capitol, and we need to demand more of the Legislature and LANL to cultivate business and industry to cater to the commercialization of technology at LANL, and leverage its resources and technology. We need to do this on a continuing basis. [3 votes]
– Mayor Gonzales said there has been a lot of discussion but there haven’t been any substantive steps. Develop a very clear end result to partnerships. In terms of water, we have to elevate to full participation with the County – water as well as health care. All these things don’t recognize boundaries and require regional relationships.
Councilor Maestas – This shouldn’t be an outgrowth of a reaction. If we want to cultivate a section of our economy that is dedicated to the commercialization of technology, then we should pursue that.
Councilor Dominguez believes to accomplish some of this, we need tax reform. There are two different funding sources for the City and County. This facilitates this agenda and helps the City in other ways to sustain itself. [2 votes]
Councilor Ives – Formation of an energy task force is important. [2 votes]
Mayor Gonzales – Creating succession training, and creating clear upward mobility tracks for employees.
Mayor Gonzales – Try to create a culture within City governments seeking new ideas, a culture of entrepreneurship where employees feel empowered to offer ideas on how to do things better, more efficiently, and creatively that organizations need at all levels in City Government. [2 votes]
Councilor Lindell – More “feet on the ground” kinds of things. Team building among Governing Body members and executive staff, in addition to a Council liaison. We need to have at least one staff member that works just with the Council and doesn’t have other responsibilities and duties. At some level, those fall under the umbrella of training.
Councilor Dominguez – The culture of entrepreneurship and innovation in City government leads to ensuring that we have a positive culture and climate in City government among City employees, so they have the freedom to speak up to expand this potential. Eliminate the fear of retaliation.
Councilor Ives – A renewed focus and attention on information technology improvements with the capacity to track what we’re doing as well as doing it more efficiently. [3 votes]
Councilor Rivera – Integrating the Police Department more into the community through community policing will make a huge impact in a short amount of time. He said there are models out there that we can use.
Mayor Gonzales – A civic engagement process. Finding ways to open up or to allow for more public participation and input outside of Council meetings and office hours – public process for pathways to involvement. [3 votes]
Councilor Maestas – The arts community doesn’t feel it is supported by its government. We need a more focused plan to stimulate the arts economy. Salaries are well below the median income for artists, and the tax structure is not incentivized to help the arts community. Housing isn’t conducive for live/work art space. It is an important part of the backbone of our economy and we
need to have a targeted plan to help that part of our economy to flourish. He said some of this will require enabling legislation by the State – tax incentives and such to provide for that such as the old enterprise zones such as what was done in New Orleans. The temporary loss from the tax incentives is a minor consequence of the growth of that part of the economy.
Mayor Gonzales – On that point, we need to change the way we market Santa Fe. Tourism is a strong engine for our economy, and the quickest way to “put gas in the tank,” so we can do a lot of what we talked about. We need a tourism strategy that recognizes Santa Fe as a global brand, and change the way the market looks at Santa Fe, and doing something with that – driving more “heads to the beds.” We’ve suffered a little over the past few years in tourism.
Councilor Dominguez – This speaks to the equity in Santa Fe, and at what point are we focusing too much attention on that and forgetting other things. How much is enough and how do we balance the dynamic that exists between the importance of tourism and the arts, the economy and the community, with the importance of other basic necessities.
Mayor Gonzales doesn’t want to go to one or the other, and wants a balance. There is a limit on how much we want to tax the community and we always don’t want to look to the residents for the revenue. It is an issue of the balance of how much resources you put into marketing Santa Fe – we don’t know the return on the investment in marketing Santa Fe. It would be helpful to know that.
Councilor Dominguez – it is balancing the dynamic which comes with our diversity.
Mr. Moore asked each Councilor to vote for 5 of the items identified above, and gave them each 5 dots to place next to their top 5 choice, asking them to write their priority number on each dot. The results of this voting is indicated after each item in brackets.
D. Please identify up to five (5) things that the City currently is doing that it should not b doing or should be doing substantially less of?
Mr. Moore said he is doing to defer this questions, because there are more important questions to cover than this one.
Mayor Gonzales agreed, saying we are moving on some positive areas, and asked if it is okay with the Councilors. It was the consensus among the Councilors to move on to the next question.
E. If you were nominating Santa Fe for an award as an All-American City and there was a section on city government, what would you include as examples of excellence in the operations of City Government.
1. Putting crucial surface water rights (San Juan Chama) to beneficial use in partnership with SF County that beneficially diversified the City’s water portfolio.
2. Providing a wide array of affordable housing and social services in partnership with for-profit, nonprofit and other governmental agencies.
3. Taking the lead and financial responsibility of providing services (library, recreational, wastewater, etc.) utilized by people that reside outside the City.
4. Parks Department. Doing excellent work with a limited amount of staff, with a great attitude.
5. A continual and committed focus to becoming more efficient and sustainable.
6. The Santa Fe Fire Department – hardly any complaints from the public or internal resources.
The Governing Body commented, made suggestions and asked questions as follows:
– Councilor Ives – A place where diverse cultures come together in unity to promote a sustainable future.
– Mayor Gonzales – The City’s water conservation efforts really led the way. The work in the watershed to create a healthier eco-environment that helps to protect the quality of water is something of which we all can be proud.
– Mayor Gonzales – The allocation of money for the arts and for youth services (3-2-1 tax).
– Councilor Dominguez – There are a lot of departments doing excellent work with less.
Mr. Moore said the Governing Body should ask itself this question quite often.
F. Do you have expectations of staff that currently are not being met? If yes, please describe what they are.
1. Staff are competent, responsive and professional.
2. Don’t think that people (upper management) are quite as responsive to questions/concerns that the Council may have. Don’t think there’s enough diligence given to things Councilors are asking for.
3. Generally only on small matters that I believe get lost amongst the press of business. On a larger scale, there are some changes that I believe are evident, and having more motivation and engagement in others to accomplish such things would be a pleasant and rewarding experience.
4. My expectation from staff is that I be given answers in a timely manner, without having to solve a riddle.
Mr. Moore asked for additional suggestions from the Governing Body.
The Governing Body commented, made suggestions and asked questions as follows:
– Councilor Ives – Expectations. A contract of expectations is built throughout the organization and you are defining what is expected from both the manager and the employee, making sure there’s clarity.
– Councilor Dominguez – Make sure resources are there for staff to be successful, through training and support and other resources that they may need..
– Councilor Maestas – These are unique times, and it is unfair to ask employees to do more with less, and then be uncertain about the future of government and the financial outlook – will the City stabilize in terms of personnel levels. We need to be realistic.
– Councilor Dominguez – With the proper resources staff be able to give us information in a timely manner. We need to be very clear when we can about what it is we’re looking for and articulate that to staff. Staff needs to ask any questions to be sure what you are asking for.
– Mayor Gonzales – The challenge of how much you give the staff, with the thought that whatever you give them competes with their task of delivering the services required by the City. How do you balance that. The Council may need to “bite the bullet” and have a dedicated staff person that clearly is in line with what the Council needs and to do it in a timely manner, respond timely, and in a way that doesn’t interfere with the normal delivery of services. He said we have had a decrease in staff, and the City Manager not only has “to manage 8 plus the Mayor, but also manage department heads and everything else. If you go that route, that might be a way to get the resources and assistance to get what you want known.
G. What should be expected of the Governing Body
The Governing Body commented, made suggestions and commented as follows.
– Councilor Ives – We should go through our packet and read the material prior to the meeting, and hopefully have asked questions so staff knows what we’re looking for. Be informed as you are going into the meeting. We are charged with informed decision-making. Do our homework and use time outside of meetings to get those questions answered in ways that gets staff looking for answers, rather than doing things in meetings.
– Councilor Dominguez – There needs to be a level of trust that staff is giving you information you need. Don’t give the feeling that you have to bring some of this out in public and play the “gotcha game.” There has to be trust in general.
– Mayor Gonzales – We are professional people and how we engage and communicate with the staff needs to come from that professionalism. [inaudible].
– Councilor Maestas – We should strive for consensus. Any issues that can be controversial should not define our relationships, and be completely independent of our relationships on the Governing Body.
– Councilor Dominguez – Be hard on issues but not on people.
Councilor Bushee arrived at the meeting
– Councilor Lindell – Regarding Question No. 5 which we answered prior to this meeting, is there are differing viewpoints. The response she has received from every employee in the City has been a 9 or a 10. We need to prioritize if our request has a red flag that means we need an answer immediately, or if we can ask them to get back to us when they can. She said she is “dumbfounded” at how busy the staff is and how many things they have to do on any given day.
– Mayor Gonzales – Try and find solutions through discussion.
– Councilor Maestas – One basic expectation of staff is that they communicate honestly about improving the City. Empower employees in such a way that there will be no retaliation if they speak up. He said the people working on our streets are the most qualified to talk about the state of their division and services provided, and they should not be inhibited from sharing their feelings. We need to work to create a climate where we can get targeted, appropriate answers and information from employees so we can improve the City continually.
Mr. Moore said in other words, if people don’t feel they have permission to say things in a public process, they will do end-runs and go to people individually, which can undermine how you operate. You are helping the City if you can do something to build trust so people can be candid, not feel reprisal and they are willing to do it in public.
- Councilor Maestas said – Being on the same team is important.
- Mayor Gonzales – We set the tone for government in the way we interact on issues. It is hard to ask the employees to something we can’t do ourselves. We won’t always agree, but approaching issues on the basis of respect for one another sets the tone.
- Councilor Dominguez – Do what we can without violating the open meetings act to have open communication and collaboration to resolve issues outside of the Council meetings.
There was a 15 minute break at this time
H. What should be expected of the Governing Body by Staff
Mr. Moore said staff has been asked to say what are their expectations of the Council. One of the choices is to do this with or without Council in the room. There were no objections to having the Governing Body in the room.
The staff commented as follows
- Brian Snyder said he agrees with the approach, because it is important that we are all on the same page. He said how we communicate among ourselves and with our staff can make us successful or we fail. It is important as to how we communicate with the Government. It is important to be on the same team.
- Mr. Snyder said as we move through the Committee process it is important that we communicate and understand what your questions are, and be able to speak frankly with you and let you know if we can’t provide the information. Sometimes our IT systems can’t provide the data in the form you would like. It’s not that we won’t, it’s what we can do in our limited system.
- Mr. Snyder – We need to be clear what we’re looking for and you need to be clear what you’re looking for.
- Mr. Snyder – it is important for Councilors to go through their packets, read the material, and ask questions in advance so staff knows what to look for. It is frustrating to staff when it is obvious that Councilors haven’t read their packet. He said it is frustrating when staff doesn’t show up to a meeting, or they show up unprepared. Staff needs to be aware of the agenda, the items for which they are responsible, and be able to speak to their items. If they can’t be in attendance for a
legitimate reason, they need to be sure there is appropriate staff there to answer your questions. It is a two-way street.
– Mr. Snyder – Many of the expectations you laid out are the same things he has said to his staff, and he’s working toward building trust. He believes it is about trust. He doesn’t have your trust now, and he is working to get it, to be open and honest with you, to be sure we can provide what you are asking for in a quick turn-around time.
– Mr. Snyder – City-wide, City staff is very good in reactionary mode, meaning if you ask for something, they’re on it. At the same time, they have to balance their daily work load. [inaudible]
Mayor Gonzales said over the past weeks, there are many realities for which he accepts responsibility. He said it is difficult for managers to think about things when they’re not sure what’s going to happen. He said it is tough for people when they don’t know what’s going to happen from an administrative standpoint. Some of what is happening is because of the transition and transition teams which are visiting with departments to get an understanding of where things are. He said we will see more of a permanent shift once the permanence is in place and we bring the certainty needed at the administrative level, sooner than later. He said we are driving to that.
Mr. Moore said it would be useful, if staff is willing to say if there are times when they have really been exasperated, and what it is that exasperates them.
– Isaac Pino said he has been on a private governing body for years, so he understands what this Governing Body is experiencing. He said 90% of the requests from the Councilors are crystal clear. He said it is the 10% where we don’t know and we might guess right, or we might not. And when we don’t, then that’s when the Governing Body gets frustrated. We need to be told clearly what you want, and we will deal with it. He understands the position of the Governing Body in that everybody that comes to them is coming with the most important/pressing issues in their life. We have to deal with it. He said just tell us what your problem is, and we will deal with it.
Councilor Bushee said At one time we had a system where we kept track of requests and to be sure things didn’t fall through the cracks. It is clear if it is in writing. She wants a 311 number like they have in Albuquerque where complaints are centralized and shot-off to the various places. We had this system, and were supposed to have it through higher technology. But there were changes in administration and the systems have fallen by the wayside, but they really worked. They are clear and in writing, and if you don’t understand, you write back and ask what that really means.
Mayor Gonzales said inevitably we are going to have the same questions of staff or look for the same answers, so it would be useful if there is a repository where we all could look to be informed of the request, and then the response gets back on there. We can use this as a source of information.
Councilor Bushee said we all got to see it and we could join in on it, and we had software to do it.
Mr. Moore said this is the easiest kind of thing to have software for.
Councilor Rivera asked if Mr. Snyder if we don't already have this with constituent services.
[Too many people talking at the same time here to be able to hear Mr. Snyder's response to Councilor Rivera]
– Mr. Snyder – Staff shouldn’t make things personal. Staff shouldn’t take things personally. It is a balancing act and sometimes people do take it personally.
Mayor Gonzales asked if there is an agreement among the Governing Body, if we can find software that works to keep track of complaints, that we would use it to input our requests to staff, monitor how long it takes to respond and get the data. There was consensus among the Governing Body to proceed with this.
Councilor Dominguez said staff does a great job in responding to our requests for the most part, although there are some things that slip through the cracks. He said he and Councilor Rivera make double requests at times because of lack of communications with one another and with staff.
Mr. Moore said you need a status and completion on your requests.
Mayor Maestas said if we are going to do this, we need to empower staff to give us a deadline, and it could be negotiable, but there should be an agreed to deadline on requests.
Mayor Gonzales said it also brings some light and transparency into what we are doing, so there is a recognition of what each of us are asking the staff to do. And we need to be able to monitor the system. It does take a level of discipline on our part to work in that kind of system. That doesn’t limit the ability to have a conversation with staff. It will create a mechanism so we can see what everyone is doing, what they’re asking.
Councilor Bushee said when we were doing that, we had a deputy City Manager and it came through him.
– Mr. Snyder said we are discussing one person to be liaison with the Council. He agrees with Councilor Maestas that it is all about communication, everybody is on the same page and knows the expectations.
Councilor Rivera asked if the discussion about a liaison person was for one liaison for the entire Council.
Mr. Moore said it was a dedicated person.
Councilor Rivera said the County shares a liaison. He would like one liaison per District, commenting that each District is unique enough, and he thinks we should consider it. One liaison for the whole City would be tough.
Kelley Brennan – everyone in this room works for government because we are interested in government and making government work. She said the most interesting conversations are those requiring her to have ideas and think about things. She said when she has ideas, she is looking for a repository for that information. [inaudible because of noise overlay]
Sandra Perez – It tends to appear that everything is reactive management or response on staff’s part. What gets lost is the amount of pro-active work and planning ahead which is done within the department to help advance your mission. When you have a request, we are interested in what you are trying to achieve so we can help you get there, and to better understand what that is, we can better respond. She said it is the agenda of this group, it is not her agenda. It is her role to help advance your agenda, whatever that may be. It is her role to say no politely when it is appropriate, and it is her role to say yes. We need a clear understanding of what you are trying to achieve or looking into, and trusting that we understand confidentially, privacy and sensitive matters and to be responsive. There needs to be a better understanding of the true demands on staff – technologically, system-wide, resources. Having frank conversations about what we can do, and realization of the limitations of the system.
Terrie Rodriguez – Improve whatever we are doing through the process, with understanding that we on the same team. She is encouraged with the conversation about targeting poor services. We need the Governing Body to make the hard decisions as a policymaking body. Responsiveness and communications, and candor are important. It is our responsibility to do that, even if you think what you’re going to say is not what somebody wants to hear, particularly in facing facts. The staff knows those facts, and it is our responsibility to be honest and forthcoming with that.
Ms. Perez – tell people what they need to know, not what they want to hear.
Mr. Moore said this would be a good standard.
Matthew O’Reilly we talked early about the balance of services and available resources. It has been a challenge during the recession to roll back, but at some point we need to define the new normal. He believes the strategic planning you discussed will be key in that process. And, as we’re telling you the truth and getting the facts on the table that we can afford X amount of services, we need support from the Governing Body when we need to contract in some areas – it would be greatly appreciated.
Mr. O’Reilly – We have a constituency that expects a high level of service, and rolling things back is not easy. Their expectations are high for the services that the City provides.
Mayor Gonzales said part of the relationship between the Governing Body and staff has to be, if this is what you would like, let us help you. As opposed to, you need to hear this because this kind of the way the rules are right now. What I want from staff is, I hear what you’re saying, you’re wanting to do this, we don’t have the processes built for it, but if this is something you want us to work on, on your behalf, we will have the process to do it. This is an important change in the culture that the Governing Body needs to
know exists with the administration – There isn’t going to be a roadblock, but there will be pathways through the office to change things so things can be done. He wants to be clear about this.
Mr. Moore said in his experience, staff has institutional memory in ways that the elected officials don’t, because they’ve been around longer. They’ve seen other people try things, and then all of a sudden somebody comes along and thinks it’s a new thing to do. They’ve been down that road. So how you can provide that institutional information in a constructive way, noting there is often tension in the communication.
– Ms. Martinez – Excited to hear about how the strategic planning goes as a whole. [Most of this is inaudible because of a noise overlay] IT Staff needs to know what the departments and the Governing Body wants, so they can produce what’s needed.
– Mr. O’Reilly – Interested in making government work better and the City a better place. Expects of himself to be responsive and to put the customers first. Our three most important priorities are “customers, customers, customers.” This is what he expects of staff.
Mr. O’Reilly – It would be good if the Governing Body would follow the laws they themselves passed. Follow the Open Meetings Act, and don’t engage in ex parte communications.
– Mr. O’Reilly – Expects the City Manager and department heads to handle all personnel issues, without having Councilors involved in personnel issues.
– Mr. O’Reilly – Expects Councilors not to hijack staff for special projects when staff have other duties to perform, and there could be customers waiting. He said, “If you contact me, I know exactly how to get you what you want as fast as possible.” If you talk to staff members, they may not know what you need and they may provide incorrect information. He spoke of a recent situation where a governing body member pulled staff from what they were doing, and it caused a big problem.
– Mr. O’Reilly – The staff are waiting to serve you, and really want to do what you want. He said we will work to avoid pitfalls to get what you want. He said “We’re there to serve you. Trust us. That’s what we’re here for….. that’s why I’m here. That’s what I want to do, so if those things could happen, that would be great.”
– Jodi Porter – Has a very very small staff which produces a lot. And when Councilors or the City contact her staff without going through her, it makes it challenging to get the work done we do on a weekly basis. She said recently, a Councilor went directly to a staff member, and the staff member didn’t contact her, and by the time she found out, the “ship had already sailed.” She said at that point, she can’t intervene. She said she will consider requests that come through her and delegate those to staff in accordance with the work to which we already are committed to do. She said we all want to serve the Councilors and to do the work you have assigned for us to do.
Councilor Rivera said when he was first elected he talked about the chain of command with Mr. Snyder, and he always tries to go through him for everything, although it hasn’t always happened. He asked how important that is. He is hearing that we go to others than the director to get things accomplished. He asked Mr. Snyder, how it important is it that everything go through you.”
Mr. Snyder said, “Would I prefer it. Yes. Does it work functionally. No.” He said his job is to work with the Governing Body, but he may not be as responsive as if you were to go to them directly. He said he has set up a relationship with staff that before they respond to you that they make him aware that they are working on something for the Council. He asks that they copy on him on their response, so he can tell you, if you ask, the status of that request. He said he has a good relationship with his staff to support you. He said communication is key in getting things done.
Councilor Gonzales said if we build the system Councilor Bushee spoke about, a lot of that goes away. He said hopefully we can build a system through IT that makes that happen. He appreciates that sometimes it’s easier to call the director on an issue. He prefers that things go through the City Manager.
Councilor Rivera said we get called, for example, that the restrooms aren’t open in the morning when the kids are getting ready to play soccer. He said he called the Parks Director directly, and that would have left everyone out of the loop.
Mr. Snyder said this isn’t a problem for small things like this and it doesn’t make sense to call Mr. Pino to get this done.
[Too many people talking at the same time to hear all of Mr. Snyder’s remarks] Mr. Snyder said it is all about efficiency and getting things done in a proper manner.
Councilor Bushee said at one time there was a policy that Councilors will not talk to anybody but the City Manager, and that didn’t work. She said the other extreme was where Councilors began to be called micro-managers. She doesn’t want to see Celeste more over-burdened. She said we had a Deputy City Manager at the time this system was in place, and they were charged with building, overseeing and implementing the system, and it worked. And another thing that would work would be a 311 centralized system for our constituents, so you’re not dealing with the “bathroom doors are closed scenario,” and we are left to do our job as a policymaker to act in a larger capacity. She brought a 311 system forward, but there were complaints about the cost.
I. WRAP-UP
Mayor Gonzales said this session felt good to him, and asked if it was beneficial to the Councilors.
Councilor Dominguez said it was beneficial for him. He said staff needs to understand that we are constituents just like our constituents, but we don’t have the luxury of just being constituents all the time. It all comes down to trust and there has to be trust from both sides. It is a two-way street. Communication is important.
Mayor Gonzales would like for us to continue, on a regular basis, a conversation outside of normal Council business and touch base with one another – what’s working, what’s not, and what we need to focus on. We can work with Carl Moore to get some notes in place and sent out to Councilors. He said we can ask Brian Snyder to develop and put in place a plan as to how to meet some of the things we’ve talked about today. We have to find a way to continue to have this kind of free dialogue with one another. It certainly helped him for the staff to join us, and to be able to hear were you “guys are coming from,” especially those who have been here for a while – how things work and how we can improve things.”
Mayor Gonzales said this was a way to talk about the budget, but it doesn’t have to be the same conversation. It may be that we discuss training, upward mobility and how we focus, and we talk with the management about it. Or, it may be about partnerships we want with non-profits and the City. We can all start thinking about the subject matters we want to learn more about and put more effort into.
Councilor Maestas said this is a great session, and he wishes there were more time to hear from staff. He appreciates the candor of staff – we need that honesty and candor. He said we need to work so that everyone in the City has ownership – cascade down to all levels – and develop consensus, so people feel they are a part of the City and are on-board.
Councilor Bushee appreciates the discussion and the ideas of employees. She said we are talking about this level of governance, and she wants to talk about the “bottom up stuff a bit more in some way.” She said we have to work toward a transparent process. She said the day to day staff have come to her with great concerns about what they have started to see in terms of raises, and what they saw from the last City Manager, and how that happened. She said this needs to be built into the process.
Mayor Gonzales reiterated that we discussed training, upward mobility, and skill sets aligned to the job – things we’ve mapped out which will flesh that out, so people don’t feel raises are given unfairly without an understood process in place.
Councilor Bushee said it still seems the system allows for favoritism, cronyism “you name it.”
Mr. Moore said performance review is another thing and that is one way to do it, which is to have clear expectations.
Councilor Bushee said that still allows for favoritism and cronyism, and she doesn’t know how to find and inject the needed objectivity.
Mayor Gonzales thanked everyone for attending.
4. ADJOURN
There was no further business to come before the Governing Body, and the meeting was adjourned at approximately 12:50 p.m.
Approved by:
Mayor Javier M. Gonzales
ATTESTED TO:
Yolanda Y. Vigil, City Clerk
Respectfully submitted:
Melessia Helberg, Stenographer
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NOVEMBER 5, 8:15 - 9:30 P.M.
FRIDAY EVENING SERVICE
Note New Starting Time: 8:15 P.M.
RABBI BRICKNER
will preach
IS THE BIBLE REALLY TRUE?
With Special Reference to the Recently-Published Volume, "Book of Books," by Rabbi Solomon Goldman . . . A Sermon in Response to Many Requests for a Clear-Cut, Modern Explanation of Scriptures.
Assisted with the Torah Last Week: I. J. Kabb and Alvin Grossman
Sabbath Morning Services in the Chapel 11 A.M. to 12 Noon
Rabbi Silver Will Preach
Torah Portion: NOAH, Genesis 6.9-11.32; Haftorah: Isaiah 54.1-55.5
EUCLID AVENUE TEMPLE BULLETIN
Published Weekly from Oct. to May at S. E. Cor. Euclid Ave. and E. 82nd St., Cleveland 3, Ohio CEdar 0862-3. Subscriptions 50c per Annum. Affiliated with the Union of American Hebrew Congregations.
BARNETT R. BRICKNER, Rabbi
SAMUEL M. SILVER, Assistant Rabbi and Editor
LIBBIE L. BRAVERMAN, Educational Director
BERNARD I. PINCUS, Executive Secretary
Residence: RA. 8507
Entered as second class matter, April 9th, 1926 at the Post Office, Cleveland, Ohio under the Act of March 3rd, 1879.
CLUBS ARE FUN!
Every afternoon the Temple resounds with children's cheerful chatter as they meet for their club activities. There is a group for every age and talent, and we urge parents to remind their youngsters that they can still join up for the activities supervised by Club Director Mrs. Arthur J. Roth.
We greet this year's leaders: Stan Stein, Jack Shapiro, George Braun, Mrs. Milton Cowan, Michael Kraus, Miriam Stern, Paul Klein, Doris Glatt, Mrs. Nathan Wang, Aaron Ritzenberg, Lorraine Messinger, and Bob Seymour. For information about clubs, call the temple school office.
A PRAYER FOR ARMISTICE DAY
God of Nations:
Happy are we who dwell under the flag of America! Here men are free; here men are equal; here men are guaranteed inalienable rights; here men, respecting difference, learn to live together as brothers. Blessed is this sacred heritage of ours! Out of overflowing hearts, we give Thee thanks, O Lord!
Make us mindful, we pray Thee, of the price paid for this heritage. Our forefathers traversed uncharted waters; they endured the hungers and perils of the frontier; they shed their blood on many battlefields in defense of the nation's ideals. The flag we honor is the symbol of their heroic pioneering, of their age-old quest for a land of freedom, peace and brotherhood.
God of our fathers, endow us with the heart of the pioneer and the patriot that we of this generation may do our part to preserve this sacred heritage. May we guard it with that eternal vigilance which is the price of liberty. May we cherish it with a love that kindles into flame in the hour of crisis.
We know that pillage and carnage have been wrought for the glory of a flag, that the earth has been ravaged by flame and fury for love of country. Do Thou inspire our patriotism with Thine ancient law and covenant that we may measure the greatness and the glory of our nation not by the vastness of its domain, nor the surfeit of its gold, nor the might of its conquests, but by the freedom of our people, the sacredness of our rights as men, the equal opportunity and fair play and good-will of our way of life.
America, our America! Thine, Almighty God, be the grace to bless it! Ours be the will to preserve it for our own blessing and the blessing of the nations of the earth!
—Joint Committee on Ceremonies, Union of American Hebrew Congregations and Central Conference of American Rabbis.
OUR CHRISTIANS VISITORS
The Couples' Club of the Antioch Baptist Church and the Liturgics Class of Oberlin College attended the service last Friday night and afterwards enjoyed a tour of the temple.
From Heidelberg College, Tiffin, Ohio, a group of students are coming to observe our service this Friday night. The group will be accompanied by Rev. Roy Gieselman, president of the Cleveland Ministerial Association.
The Board of the Alumni Association will entertain two church youth groups at the temple this Sunday night. The visitors, from the Fairview Baptist Church and the Bethany Presbyterian Church, will hear a talk on Judaism by Rabbi Silver and later join the Alumni in a social hour.
Twenty-three young delegates, most of them theological students, to the recent convention of the Religion and Labor Foundation spent an hour with Rabbi Brickner during a tour of the leading religious institutions of the city. The group was Rabbi's guests for lunch at Sisterhood Sewing.
SIGN HERE FOR COURSES IN ADULT EDUCATION
This year courses in adult education will again be offered to members of the Temple and all constituent agencies. Groups will meet for ten Monday nights beginning in January. Please indicate here which courses you would like to attend and mail to Rabbi S. M. Silver.
Ten Jewish Personalities——
The Jew in Literature———
Elements of Hebrew———
Principles of Judaism———
Name ____________________________
Address ___________________________
Phone No. _________________________
MARK YOUR CALENDAR NOW
First Meeting of the
COUPLES' CLUB
Followed by a Social Hour. Rabbi Brickner, Leader.
Under Auspices of Young People's Congregation
WEDNESDAY, NOVEMBER 10, 8:30 P.M.
REGISTER NOW THROUGH THE TEMPLE OFFICE OR WITH MRS. JAC S. GELLER,
LONGACRE 2209
WOMEN OF DISTINCTION
We pay honor to those women who have made contributions to the House of Living Judaism, the project for the establishment of a proper home for the headquarters of Reform Judaism. A report of our contributions will be made by our Sisterhood representatives to the forthcoming Assembly of the Union of American Hebrew Congregations in Boston. We urge all women to join the following donors; you may make your gift through Mrs. I. G. Shapiro, FAirmount 4112.
House of Living Judaism contributions: Mmes. Martin E. Blum, Bernard Walder, Albert Ullman, David Skall, Henry N. Taylor, Marvin Kronenberg, Albert Licker, Ben B. Baker, S. Frank Weinman, J. B. Horwitz, Joseph Newman, A. Pickus, George Pillersdorf, Harvey Rosenblum, V. Fishel, Harry S. Rosewater, Morton M. Halle, Ben Faust, Emma Strauss, Joseph Elsofor, F. M. Bloom, M. M. Abrams, J. Hirshstein, Phillip B. Leff, Gertrude Bachman, Emma Folgeman, Bertha Horwitz, Ida C. Palay, Gustav G. Picard, Yale Levine, Rose Pelunis, Elmer E. Kaufman, M. Wiedkopf, Jack Presser, William S. Bayer, Morton Goldheimer, Stephen L. Krause, M. D. Porus, Sam S. Rosenberg, Leo Leutchtag, Stanley W. Simonson, Benjamin H. Schwartz, J. C. Grewman, Arthur Y. Schloss, M. C. Saunders, Leo N. Rossmann, A. H. Ganger, Jeff Ganger, James H. Miller, Sr., M. A. Keizer, B. M. Kane, I. G. Shapiro, Clara C. Checel, Sadie G. Reich, Helen Lefkowich, Richard S. Bergman, John Tuteur, David Geller, Sam Urdang, J. Wm. Grodin, Eugene M. Klein, Louis G. Rose, Otto J. Zinner, David M. Silver, Sol Berkowitz, Mattie Routweck, Alice Gill, Mark P. Mirsky, Sam Weber, Babette Day Rosenberg, Minna Blazar, William S. Weinberger, Sanford Simon, Bertha Dorfman, Bertram W. Amster, Gustave Lorber, Arthur Lindheim, Rose Gottdiener, Jack L. Schulman, Sol J. Battler, Bernard S. Kaufman, Mr. and Mrs. Milton Goldberger, Mr. and Mrs. Chas. Lubeck, Mr. and Mrs. J. Hirshstein, Mr. and Mrs. Ben Folkman, D. Loveyman and Son, Inc., Irma L. Rosenfeld, Sara B. Shaw, Hamilton Temple Sisterhood, Ida Bruml, Lenore C. Rowwater, Mrs. Eugenie Preuer, Mrs. Barnett R. Brickner, and Federation of Women's Clubs of Cleveland.
A GIFT SUGGESTION
For birthdays, anniversaries, and holidays, we recommend a Jewish gift. Nothing would be more cherished or useful than a membership in the Jewish Publication Society, which provides three books of his own choice to the recipient. For more information, inquire directly to the Jewish Publication Society, 222 N. 15th St., Philadelphia, Penna.
"WHEN I SHALL DIE"
When I shall die, may I win praise or blame
As one who little prized an honored name.
For Deeds he wrought within the market place
Which pleased the fancies of the populace.
But I demand that men shall give me due,
As one who loved his anguished brother-Jew,
Who tilled a plot of scorned, forsaken earth
And helped it give eternal harvest birth."
JOHN HAYNES HOLMES
CONGRATULATIONS
To Mr. and Mrs. H. L. Wodicka on the engagement of their daughter, Alice Shirley to Charles Rothman.
To Mrs. Louis Steiner on the birth of a grandson.
To Mr. and Mrs. Harry E. Greenspun on the Bar Mitzvah of their son, Kenneth.
To Mr. and Mrs. Coleman Lieber on the blessing of their baby, Bennett Mark.
To Mr. and Mrs. Frederick Mason on the blessing of their baby, Marjorie Sue.
We regret that a typographical error caused a mix-up in the following two items:
To Mr. and Mrs. J. H. Mattlin and Mr. and Mrs. H. E. Rogen on the marriage of their children, Gloria and Merle.
To Mr. and Mrs. David Skall on the marriage of their daughter, Charlotte Ann to Allan S. Blank.
Funds
The following contributions have been received during the past week:
ARTHUR E. FRANKEL FUND: Mr. and Mrs. Paul Tatar in memory of Edward Bastocky.
BABY BLESSING FUND: Mr. and Mrs. Howard Morrison in honor of their daughter, Fern Diane; Mr. and Mrs. Frederick Mason in honor of their daughter Marjorie Sue.
BERKOWITZ FUND: Mr. and Mrs. Sidney Weiss in memory of their loved ones; Mr. and Mrs. Ralph Schaffer in memory of Ernest and Fred Berkowitz.
LIBRARY FUND: Mr. and Mrs. Julius Wino-grad in honor of the 10th anniversary of Mr. and Mrs. Hy. Cramer; Mr. and Mrs. Sam Miller in memory of Edward Warsaw; Mrs. Bernard Krohn and Mrs. Rudy Miller in memory of Mitchell Newman.
PRAYER BOOK FUND: Clarence I. Goldsmith in memory of Rolinda Goldsmith, Della Schwarz, and Edna Freedlander; Mrs. Frieda F. Bruml in memory of Jacob Bruml.
YAHRZEIT FUND: Beatrice Sulzer and Ruth Cohen in memory of their father, Sam A. Cohen; Mrs. S. Baturin in memory of her parents, Mr. and Mrs. Max Rose.
ALTAR FUND: Mrs. Dorothy Wallach in memory of her mother, Mary Lee; Mr. and Mrs. Bernard Demick in honor of their daughter's marriage; Mr. and Mrs. Nate Wertheimer in memory of Jacob A. Kepner; Judge and Mrs. David Copeland in memory of Rosa Talkin and mother, Mrs. Anna Copland; Mrs. Minnie Mahrer in memory of father, Sigmund Goldsmith; Lena Neiman in memory of Fanny Levy; Mrs. Nathan Hausr in memory of her mother, Sara Herman; Mrs. Yolan Davidson in memory of her daughter, Rosalind Davidson; Mrs. Tena B. Fried in memory of her husband, Dr. A. V. Fried.
Condolences
Our heartfelt sympathy is extended to the bereaved families of Samuel Jacobs and Florence Berns.
Jews in Agriculture in the United States
Jews in small numbers were engaged in farming in this country as far back as the Colonial period. The first effort to establish a group settlement took place in 1837, when 12 families bought 500 acres of land in Wawarsing, Ulster County, New York, and founded the colony of Sholem. The colony had a precarious existence and by 1847 had become a matter of history. No further attempt at colonization took place for more than thirty years but some Jews settled on farms as individuals here and there. The arrival on our shores of thousands of victims of the persecutions which broke out in Russia in 1881 ushered in a hectic period of Jewish agricultural colonization. Within a few years sixteen known colonies were launched in such widely separated places as Louisiana, Arkansas, Kansas, Dakota, Colorado, Oregon and New Jersey, followed in the next decade by the Palestine Colony in Michigan and Woodbine in New Jersey. Unfortunately, these colonies were conceived in haste and set up under stress, without thought to geographical location, character of land, fitness of colonists, capital funds, farm experience and leadership-factors on which colonization depends. Yet these abortive efforts were not altogether wasted. They brought home strikingly the need of a guiding hand and led to the establishment of the Baron de Hirsch Fund in 1891 and to the founding of The Jewish Agricultural Society in 1900.
Since the beginning of the present century, the trek of the Jew toward the farm has been steady and continuous. It is estimated that there are between 125,000 and 150,000 Jews who derive their sustenance in whole or in part from America's fertile acres. Jewish farmers are found in practically every State in the Union, with the largest numbers in the northeast, middlewest and in sections of the Pacific Coast area. The farms range in size from less than an acre devoted to greenhouse crops, to large grain and stock ranches. In the aggregate, Jewish farmers practice every type of agriculture followed in the United States—dairying, poultry raising, truck farming, floriculture, orcharding, viticulture. They raise tobacco, grain, cotton, sugar beets and medicinal plants. A few have ventured into fur farming and into the raising of animals for laboratory purposes. The big majority of Jewish farmsteads can be classified as of the family type, that is, farms which can be operated by the farmer and his family with a minimum of hired help and where products are raised both for home consumption and for the market. Tenant farming is almost non-existent. Not a few Jews entered farming by way of the "agro-industrial" route, a method which combines farming with side occupations.
(To be Continued)
Our Own Election Returns
The national political campaign was dull compared to the exciting contest waged by the candidates for the presidency of the Confirmation Council, the student government body of the upper grades of our religious school. After weeks of hectic campaigning, during which the school halls were bedecked with appeals to vote for the various candidates, the election took place last week and the suspense is over. Elected president was Phyllis Asquith, and Gary Friedman, who had been a write-in contender for the presidency, was voted vice-president. Congratulations to the winners, and also to the Confirmation Council on the first issue of its mimeographed news-sheet, called "The Shofar."
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PREMEXO PEB LLP
Boda Vadi, Survey No. 04,
Bagthala - Biliya Road, Biliya,
Morbi (Gujarat) India - 363 641
+91 99044 88882
firstname.lastname@example.org
www.premexopeb.com
BE UNIQUE
CREATE THE WORLD
OF YOUR DREAM...
TEAM WORK
We are constantly innovating and are excited about creating custom made buildings for our clients. We keep our projects economical and cost competitive. We have a team of engineers and designers who are highly skilled, enthusiastic and excel in what they do. Most importantly we have an attitude of being ahead of schedules with an uncompromised standard for safety.
We have manufacturing facilities in Morbi, Gujarat. We have production capacity of 20000 metric tons/annual. We have an in-house design team and operate from our head office in Ahmedabad, Gujarat.
Based in Gujarat (India) and Word wide, our extensive experience will help you take a LEAP forward in your business.
**DESIGN**
Our PEB Steel Buildings are designed in compliance with the latest design and building codes (IBC 2008, MBMA 2012, AISC 2005, AWS 2006, AISI 2007)
**FABRICATION**
Our Company equipped with state-of-the-art machinery and technology, including
- fully automated submerged arc welding lines from Lincoln, USA
- heavy sheering machine with 6500mm x 16mm, plasma cutting 3m x 16m,
- C/Z purlin machine with 1 tuch auto change and more machine use for fabrication...
**ERCTION**
Our team erection building with 10 year experienced engineers in Pre engineering building,
our team Process the Erection work in line with project schedule, designed quality and approved safety also with customers satisfaction.
Pre-Engineered Buildings
Pre-engineered steel buildings (PEB) are a steel structures built over a structural concept of primary members, secondary members, roof and wall sheeting connected to each other and various other building components. These buildings can be provided with different structural and non-structural additions such as skylights, wall lights, turbo vents, ridge ventilators, louvers, roof monitors, doors & windows, trusses, mezzanine floors, fascias, canopies, crane systems, insulation etc., based on the customer’s requirements. All the steel buildings are custom designed to be lighter in weight and high in strength. Thus steel building designs have become more flexible, durable and adaptable over the last four decades which has made steel one of the preferred materials for building construction.
PEB’s are ideal for non-residential and wide-span low-rise buildings. Some of the key advantages of PEB include economical in cost, factory controlled quality, durability, longevity, flexibility in expansion, environmentally friendly, faster installation, etc. Pre-engineered steel buildings are used for diverse applications such as factories, warehouses, showrooms, supermarkets, aircraft hangars, metro stations, offices, shopping malls, schools, hospitals, community buildings and many more.
As a leading PEB manufacturer, Premexo provides the complete service of engineering, fabrication and erection thus ensuring better quality control at every stage of the process. Pre-engineered steel buildings consists of following components:
- Primary Members / Main Frames
- Secondary Members / Cold Formed Members
- Roof & Wall Panels
- Accessories, Buyouts, Crane System, Mezzanine System, Insulation, etc.
TYPICAL PRE-ENGINEERED BUILDING
Roof Panel
Sky Lights
Galvanised Roof Purlin
Roof Monitor
Parapet Fascia
Eot Top Running Crane
Wall Light Panel
Downspout
Rolling Shutter
Eave Gutter
Pipe Rack Arrangement
Sidelwall # Bay Spacing
Bracker
Crane Beam
Handrail
Parapet Fascia Arrangement
Double Flight Staircase
Galvanised Girts
Wall Cladding
Brick Wall
Fixed Louvers
Double Sliding Door
Cage Ladder
Mezzanine Joist
Main Frame Column
Rafter
Ree Slab
Mezzanine Beam
Ridge Cup
Ridge Ventilator
Turbo Ventilator
Framed Opening
Glazing
Canopy
End Wall Column
End Wall Bay Spacing
Premexo pre-engineered buildings are custom-designed to meet your exact requirements. The basic parameters that define a pre-engineered building are:
**Building Width**
Building width is defined as the distance between the outer side of an eave strut of one side wall to the outer side of an eave strut of the opposite side wall.
**Building Length**
This is defined as the distance between the outside flanges of end wall columns in the opposite end walls, and is a combination of several bay lengths.
**End Bay Length**
End bay length is the distance from the outer side of the outer flange of endwall columns to centre line of the first interior frame column.
**Interior Bay Length**
This is the distance between the centre line of two adjacent interior mainframe columns. The most common bay spacings are 6 mts, 7.5 mts and 9 mts. The bay lengths can go up to 18 mts.
**Building Height**
Building height is the eave height, which is usually the distance from the bottom of the mainframe column base plate to the top outer point of the eave strut. Eave height can go up to 30 mts. When columns are recessed or elevated from finished floor, eave height is the distance from finished floor to the top of the eave strut.
**Roof Slope (X/10)**
This is the angle of the roof with respect to the horizontal base. The most common roof slope is 1/10. However, any practical roof slope is possible.
**Design Loads**
Unless otherwise specified, Premexo pre-engineered buildings are designed for the following minimum loads:
- **Roof Live Load:** 0.75 kN/m²
- **Design Wind Speed:** As per IS:875 for location.
- Design for seismic loads, collision loads or any other local conditions must be specified at the time of quotation.
Loads are designed in accordance with the latest American Code and Standards applicable to pre-engineered buildings unless otherwise requested at the time of quotation.
Primary Member:
Primary frames are designed in accordance with the steel construction manual published by American Institute of Steel Construction (AISC). Manufacturing dimensional tolerances are in accordance with the requirements of 'Metal Building Manufactures Association' (MBMA) of USA, "Low Rise Building Systems Manual". Besides AISC and MBMA, we also design buildings with IS-878, 1984 and IS-878, 2007. Built-up sections are fabricated from hot rolled steel plates confirming to ASTM A 572M grade or equivalent with a minimum yield strength of 345N/mm² (50ksi).
The most common primary framing systems are illustrated here. All structures shown are symmetrical about the ridge line. Framing systems unsymmetrical about the ridge line and Multispan Framing Systems with unequal width modules are possible too. Practically any frame geometry can be erected.
Column
Rafter
Canopy
Rails
Crane beams
Jack Beam
Mezzanine Floor
COLUMN/RAFTER
JACK BEAM
CANOPY
CRANE SYSTEM
Mezzanines in Buildings
Intermediate Mezzanine Floors are possible in metal buildings. Mezzanine Floors can be provided in complete or partial area in pre-engineered buildings to suit loading requirements for office and storage. Mezzanine Floors consist of steel decks, supported by joists framed to the mezzanine beams. Main mezzanine beams normally run across the width of the building and are located under the main rafters while joists run parallel to the length of the building. The top flange of the joists fit immediately below the top flange of the mezzanine beam.
The economy of the mezzanine floor is affected by the applied load and support column spacings. Multi-level equipment platforms, catwalks, staircases etc. can be accommodated, if complete data is available.
MORDEN
TRENDY
BEAUTY THAT GIVES PLEASURE EVERY DAY
PEB
PREMEXO
LET'S PROGRESS TOGETHER
Secondary Framing Systems
Secondary framing consists of elements which support the roof and wall sheeting and transfer load to the primary framing. These include Roof Purlins, Wall Girts, Eave Struts, Clips etc.
Roof Purlins: Roof purlins are cold-formed Z profiles, normally 200 to 250 mm deep out of 1.6 to 3.15 mm thick steel. These are fixed to the top flanges of the rafters by means of clips bolted to the rafters, and the purlin web bolted to the clips. Purlin ends overlap to act as continuous beams.
Wall Girts: Wall girts are cold-formed Z sections, normally 200 to 250 mm deep out of 1.6 to 3.15 mm thick steel. These are fixed to the outer flange of the side wall columns. There are two types of fixations:
Fixed to the outer flange of the side wall columns by means of clips bolted to the column and girt web bolted to the clips. Overlap connections are provided for continuous beam action. Endwall girts and flush girts on side walls are normally flushed to the outer flange of the columns by means of clips which are bolted to the column web and girt web bolted to the clips.
Wall Sheet & Roof Sheet
Premexo standard steel panels are 0.5 mm or 0.6 mm thick and have a minimum yield strength of 345 MPa. Steel panels are hot dipped and galvanized with zinc or zinc-aluminium coating. Galvanized materials conform to G90 for 275 grams per square metre according to ASTM A653. Zinc-Aluminium coated materials conform to AZ150 according to ASTM A792.
Premexo panels are prepared with a multilayered coating system to ensure long life and optimum coating adherence. The base material is pretreated, before applying a corrosion resistant primer and top coat. The combined thickness of the painted film is 25 microns on the front side and 12 microns on the reverse side.
Accessories
- Turbine Ventilator
- Louvers
- Ridge Vent.
- High Tensile Fasteners
- Self Drilling Screw
- Polycarbonate Sheets
Let's Progress Together...
Delivery and Erection
Prior to commencement of shipment of fabricated steel to the site, the OMD team deputes a Project Engineer to assist the erection team in providing on site service to Premexo’s clients. The project engineer makes frequent site visits through this phase of the project and communicates client needs to the OMD engineer ensuring efficient and timely response.
Exclusive Application
My building are more FAMOUS then me
We are Environment Friendly
Optimized ventilation system with energy conserving, use factor of safety
Usage of reusable and recycled material
Organized collection of rain water for harvesting
Usage of natural light through skylights and daylight for day lighting
Usage of wind through exhaust ventilators for natural ventilation
Usage of solar panels for power generation and temperature control
Integrated operating system for energy free operation
WindShield solar panels are other trouble-free eco friendly Solar Panels. Practical energy efficient solutions
ARCHITECTURE is the reaching out of the TRUTH
OUR VALUABLE CUSTOMER
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An Investigation of Ecclesiastic Architecture as an Historic Source for the Christianisation of Northumbria, c. 500-800 AD: an Interdisciplinary Study
Vol. 1 of 2
Elizabeth Ashlyn Bartley
M. Litt.
University of Glasgow
Department of Medieval History
Department of Archaeology
October 1996
All rights reserved
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Acknowledgements
I would like to express my sincerest gratitude to Prof. Richard Bailey of the University of Newcastle for allowing me to have access to his Hexham crypt excavation drawings and for a copy of Hodges’ original plan of the remains at Hexham and to Prof. Rosemary Cramp and Derek Craig of Durham University for copies of the plans of Wearmouth and Jarrow. I would like to thank my supervisor, John Barrett, now with Sheffield University Dept of Archaeology, for taking on this interdisciplinary project in the first place, and especially Dr Stuart Airlie, my supervisor in Medieval History here in Glasgow for being so diligent, thorough and patient over the last few months. Thanks also to Paul Johnson for his thorough critique of a very early version of this paper which enabled me to stand back and have a sceptical look which I am sure enhanced the final outcome. I would like to extend personal thank you’s to Richard Alexander, Arts Resource Technological Unit for sorting out my 88 thousand computing and technology failures over the last few weeks, to various employers for understanding my erratic behaviour for the last 6 months and a host of friends who extended a helping hand. Finally, thank you to my family, Thomas and Craig, for tolerating my absence - one day my son will be old enough to understand why momma was so busy for awhile.
EAB
University of Glasgow
31/10/96
Abstract
An Investigation of Ecclesiastic Architecture as an Historic Source for the Christianisation of Northumbria, c. 500-800 AD: an Interdisciplinary Study.
This thesis is an investigation of architecture which uses the 'problem' of the analysis and reconstruction of the architectural remains, existent and archaeological, of the church of St. Andrew's Hexham, founded c. 673 as a framework for a wider contextualisation of architecture as part of human praxis with pragmatic, symbolic and socio-cultural dimensions. The context for the building of Hexham covers the traditions and concerns of Christianity developing over several centuries in Rome, Gaul, Ireland and Anglo-Saxon England. Architecture here is seen as more than a collection of stones serving a simple purpose but as a transformation of a nexus of intersecting activities and practice.
The crypt at Hexham served as the focus for an assessment of what type of themes can be investigated in an architectural analysis. Specifically, the cult of relics is seen to have spatial implications not only through the need for access to *virtus*, but also through the practice of informal canonisation from the initial burial in a porticus or near the church to the process of translation of the 'saintly' remains into a shrine on the floor of the main body of the church, the disinclination of the Anglo-Saxons to dismember and distribute primary relics as well as the significance of relics for the resonance with the Gregorian ideal of unity-in-diversity. These attitudes and practices which effect the creation of architecture such as the crypt at Hexham are similar in some respects to Gaulish and Roman practice but are combined uniquely and differently in Anglo-Saxon England. Similarly, while there is no direct unequivocal evidence for liturgical procession in mid-7th century Northumbria, a combination of manuscript evidence, physical evidence and historical events such as Wilfrid's sojourn to Rome where he would have participated in the Roman station liturgy all seem to indicate that the crypt's primary function would have been as part of the liturgical performance of the offices and therefore casts a different view upon the paths of movement and the spatial organisation of the crypt.
An assessment of previous analyses and reconstructions of the superstructure of Hexham concentrates upon the distortion and biasing of the archaeological and historical interpretations derived from a reading of the description of Hexham in the *Vita Wilfridi*. An analysis of the evidence for basilican form churches in Anglo-Saxon England, the definitions and textual uses of the term basilica and modern misconception of the development of the ‘basilica’ in general, lead to the conclusion that there is no significant evidence for basilican churches in the repertoire of form for early Anglo-Saxon churches and therefore should not be allowed to bias analyses and interpretations of fragmentary remains.
Following from this deconstruction of the normative typological models, I turn to the application of a methodology for the analysis of plans derived from an understanding of the process of design and the application of proportion grounded in surveying and building practice rather than in aesthetic or mathematical reasoning. My comparative analysis of the churches at Jarrow, Wearmouth, Escomb and the crypts of Ripon and Hexham lead to the conclusion that a proportioning system based upon the geometry of the equilateral triangle was used to design and set out these particular sites. Applying this system to Hexham worked very well with the remains (including the problem of the interpretation of those remains only recorded at the turn of the century) and I put forth a reconstruction of the church.
A contextualised discussion of this particular system of design leads to an investigation of the transmission of geometrical skills as practical knowledge both handed down and through texts and through the needs and education of the Church. The conclusions this lead to are that there is a strong possibility that there was a Vitruvian manuscript available in 7th century Northumbria, or if not that, there is evidence for the inconclusion of Vitruvian knowledge in manuscripts and texts available in the 7th century, such as in Pliny, Isidore, and the *agrimensores*. Therefore, church construction is placed within the context of a literate sub-culture espoused by the ecclesiastics and nobility.
Table of Contents::
AN INVESTIGATION OF ECCLESIASTIC ARCHITECTURE AS AN HISTORIC SOURCE FOR THE CHRISTIANISATION OF NORTHUMBRIA, C. 500-800 AD: AN INTERDISCIPLINARY STUDY
Volume I
ABSTRACT ......................................................................................................................... 2
TABLE OF CONTENTS:................................................................................................. 4
LIST OF FIGURES ........................................................................................................... 6
LIST OF TABLES: ............................................................................................................ 7
LIST OF APPENDICES: .................................................................................................. 7
I INTRODUCTION ............................................................................................................. 8
AN INVESTIGATION OF ECCLESIASTIC ARCHITECTURE AS AN HISTORIC SOURCE FOR THE CHRISTIANISATION OF NORTHUMBRIA, C500-800 AD: AN INTERDISCIPLINARY STUDY .............................................. 8
II. ANATOMY OF A CHURCH: APPROACHES TO THE ANALYSIS OF THE ECCLESIASTIC ARCHITECTURE OF THE ANGLO-SAXONS ........................................................................ 13
II.1 ARCHITECTURAL HISTORY OF CHURCHES ....................................................... 15
stylistic evolution: ........................................................................................................ 16
morphological typologies ............................................................................................. 18
iconography .................................................................................................................. 20
II.2 ARCHAEOLOGY OF CHURCHES ........................................................................... 22
II.3 THE ANGLO-SAXON CHURCH AND HISTORY ..................................................... 27
II.4. THE OBJECT GAZE ............................................................................................... 32
the aesthetic gaze .......................................................................................................... 32
the archaeological gaze ................................................................................................. 35
the historical gaze ......................................................................................................... 36
II.5 THE THEORETICAL ORIENTATION OF THIS INVESTIGATION ............................. 39
III. HEXHAM ABBEY - A REVIEW OF THE PRE-CONQUEST FOUNDATION ........... 41
III.1 INTRODUCTION ..................................................................................................... 41
III.2 THE CRYPT ............................................................................................................. 46
the structure .................................................................................................................. 46
previous analyses .......................................................................................................... 49
Selective transfer .......................................................................................................... 54
the cult of relics ............................................................................................................ 57
the layout of the crypt ................................................................................................... 63
Summary ....................................................................................................................... 72
III.3 WILFRID OF NORTHUMBRIA - HISTORICAL BACKGROUND .......................... 75
III.4 THE CHURCH OF ST ANDREW’S ........................................................................ 81
the problem of the historical dating of the remains of St Andrew’s ......................... 81
standing and excavated remains .................................................................................... 87
III.5 RECONSTRUCTIONS OF THE SUPERSTRUCTURE ............................................... 90
architectural descriptions in early Medieval texts ....................................................... 91
St Andrew’s - apse? ...................................................................................................... 94
the typology of ‘basilica’ .............................................................................................. 96
the textual occurrences of ‘basilica’ ............................................................................. 105
‘columnis varris et porticibus suffultam’ .................................................................... 110
summary ....................................................................................................................... 114
IV. A METHODOLOGICAL EXPLORATION OF DESIGN ........................................... 116
IV.1 DESIGN .................................................................................................................. 118
style .................................................................................................................. 118
design .................................................................................................................. 119
proportion ........................................................................................................... 121
IV.2 REVIEW OF PREVIOUS ............................................................................ 123
metrolological studies ....................................................................................... 123
proportional ratios ............................................................................................. 128
geometrical proportions (successive proportioning) ........................................ 135
IV.3 PROPOSED METHODOLOGY ..................................................................... 144
comparative approach ....................................................................................... 144
definitions .......................................................................................................... 145
transmission of skills .......................................................................................... 153
sites ...................................................................................................................... 156
IV.4 ANALYSIS ..................................................................................................... 158
Wearmouth ......................................................................................................... 159
Jarrow .................................................................................................................. 171
Escomb ................................................................................................................ 181
Hexham Crypt .................................................................................................... 186
Ripon Crypt ........................................................................................................ 198
comparison ......................................................................................................... 204
summary .............................................................................................................. 205
IV.5 RECONSTRUCTION OF THE PLAN OF ST. ANDREW'S, HEXHAM ............ 207
IV.6 DISCUSSION ................................................................................................ 220
V. CONCLUSION .................................................................................................. 234
EVALUATION ........................................................................................................ 236
Volume II
VI. BIBLIOGRAPHY ............................................................................................. 245
VII. APPENDIX I: CLASS I CHURCHES IN NORTHUMBRIA ............................ 260
VIII. APPENDIX II. ANALYTICAL DRAWINGS REPRODUCED 1:1 .................. 265
List of Figures
Fig. 1. *The crypt at St Andrew’s, Hexham, following Hodges 1899 (from Taylor 1978)*.
Fig. 2. *Hodges’ plan of the remains*.
Fig. 3. *The form of a basilica (from Fleming 1980)*.
Fig. 4. *Variation in form of proportions represented by Taylor’s 1.3 group*.
Fig. 5. *Analysis of layout of the Viking camp buildings, following Huggins*.
Fig. 6. *Schematic reconstruction of Old Minster, Winchester, following Kjolbye-Biddle*.
Fig. 7. *Geometry of $\sqrt{2}$: doubling of the area of a square*.
Fig. 8. *Geometry of $\sqrt{3}$: equilateral triangles and the Vitruvian theatre plan*.
Fig. 9. *Geometry of the Golden Section: division of a line, the relationship of square to rectangle, Fibonacci spiral*.
Fig. 10. *Geometry of $\sqrt{5}$: the 4:9 rectangle*.
Fig. 11. *Geometry of the Sacred Triangle: the 3-4-5 triangle*.
Fig. 12. *Wearmouth: equilateral triangles analysis*.
Fig. 13. *Wearmouth: equilateral triangles - the adjuncts*.
Fig. 14. *Wearmouth: equilateral triangles - the adjuncts: chancel and overall width*.
Fig. 15. *Wearmouth: $\sqrt{2}$ analysis*.
Fig. 16. *Wearmouth: Golden Section analysis*.
Fig. 17. *Wearmouth: Sacred Triangle analysis*.
Fig. 18. *Wearmouth: $\sqrt{5}$ analysis*.
Fig. 19. *Wearmouth: modular analysis - chancel exterior*.
Fig. 20. *Wearmouth: modular analysis - 4.65m rod*.
Fig. 21. *Jarrow: equilateral triangles analysis*.
Fig. 22. *Jarrow: equilateral triangles - adjuncts*.
Fig. 23. *Jarrow: Sacred Triangle analysis*.
Fig. 24. *Jarrow: Golden Section analysis*.
Fig. 25. *Jarrow: modular analysis - nave interior*.
Fig. 26. *Jarrow: modular analysis - 4.65m rod*.
Fig. 27. *Escomb: equilateral triangles analysis*.
Fig. 28. *Escomb: equilateral triangles - overall size*.
Fig. 29. *Escomb: equilateral triangles - adjuncts*.
Fig. 30. *Escomb: Golden Section analysis*.
Fig. 31. *Escomb: modular analysis - 4.65m rod*.
Fig. 32. *Escomb: modular analysis - chancel interior*.
Fig. 33. *Hexham crypt: equilateral triangles analysis*.
Fig. 34. *Hexham crypt: proportional analysis - 1. Golden Section analysis. 3. Sacred Triangle analysis*.
Fig. 35. *Hexham crypt: proportional analysis - 2. $\sqrt{2}$ analysis. 4. $\sqrt{5}$ analysis*.
Fig. 36. *Hexham crypt: modular analysis - 1. module derived from the main chamber. 3. 5.03m rod analysis*.
Fig. 37. *Hexham crypt: modular analysis - 2. Bailey’s 5.03 rod analysis, drawn to scale.. 4. 4.65m rod analysis*.
Fig. 38. *Ripon crypt: equilateral triangles analysis*.
Fig. 39. *Ripon crypt: proportional analysis - 1. Sacred Triangle analysis. 3. Golden Section analysis*.
Fig. 40. Ripon crypt: proportional analysis - 2. $\sqrt{2}$ analysis. 4. $\sqrt{5}$ analysis.
Fig. 41. Ripon crypt: modular analysis - 1. module derived from the western ante-chamber. 3. 5.03m rod analysis.
Fig. 42. Ripon crypt: modular analysis - 2. Bailey's 5.03m rod analysis, drawn to scale. 4. 4.65m rod analysis.
Fig. 43. Base plan of pre-13th century remains of superstructure of Hexham.
Fig. 44. Hexham: crypt: Bailey's wall: east chapel - analysis.
Fig. 45. Hexham: system of equilateral triangles superimposed over the remains.
Fig. 46. Hexham: reconstruction of chancel and nave.
Fig. 47. Hexham: analysis of possible porticus.
Fig. 48. Hexham: reconstruction - basic plan.
Fig. 49. Hexham: further possibilities based upon geometrical relationships.
List of Tables:
Table 1. Comparison of Huggins' metrological systems.
Table 2. Kjolbye-Biddle's metrological system.
Table 3. Taylor's groupings of nave by proportion of ratios based on the nearest 5° intervals.
Table 4. Recompiled groupings of nave by proportion based on measurements to the nearest 1'.
List of Appendices:
Appendix 1. Class I Northumbrian church structures.
Appendix 2. Geometrical analyses - reproduced at 1:1.
I Introduction
An Investigation of Ecclesiastic Architecture as an Historic Source for the Christianisation of Northumbria, c500-800 AD: an Interdisciplinary Study
The study of architecture in the past is all too often a study of materials, styles and construction techniques in isolation, indeed, modern architectural practice encourages this attitude by representing architecture in drawings as isolated elevations where the urban scape disappears and the vantage point of the small human is placed in an imaginary and untenable space of floating above the horizon a mile distant with no obstructions to vision. Rarely, if ever, does one get presented with the perspective of the average person standing on the pavement in front of a building looking skywards, where sheer distances and distortions make the top of a skyscraper invisible or the detritus of modern living such as air conditioning units block the view of the architect’s clean lines. This study aims to avoid these isolationist tendency by placing architecture within its context as part of the social fabric of life. The imaginary perspective is the challenge for any historical analysis of architecture, since the distance of time is unavoidable.
In order to present the aims and goals of this study, I will begin by a discussion of the title of this dissertation: An Investigation of Ecclesiastic Architecture as an Historic Source for the Christianisation of Northumbria, c500-800 AD: an Interdisciplinary Study, and its relation to the topics covered. The first point to make is to define what this investigation is not. It is not a survey or overview of the physical evidence of Anglo-Saxon Ecclesiastic Architecture in Northumbria, in fact, it focuses upon one particular piece of architecture at one particular point in time: St Andrew’s church, Hexham, founded c.673 by Wilfrid, bishop of York. I am also not trying to prove or disprove an hypothesis about a particular historical event or a particular historical fact. Rather my hypothesis is to argue that an architectural investigation of an interdisciplinary nature has value as a way of furthering our perception of the history of Christianisation.
An architectural investigation is an approach to the analysis of a building or buildings which recognises that the built environment is a social practice and product which facilitates human interaction in an uniquely spatial manner. Building is an activity which arises from within specific social, political and cultural contexts. It therefore contains within it levels of knowledge which refer (consciously or unconsciously) to traditional practices, ideological presuppositions and symbolic expression. Architecture, as the activity and practice of building, is the product of knowledgeable social agents with particular goals and ambitions for audiences with particular goals and ambitions. Furthermore, since the space of architecture is the spatial envelope within which humans act out the dynamics of their lives, it has special resonance towards the reproduction and transformation of society - all human actions, relations and negotiations occur within and around the built environment. If architecture is defined in the manner just outlined, it has implications for what will be analysed. This paper, therefore, investigates architectural themes such as the necessary skills required to consciously create a building, the implications of the expression of spatial arrangement, the transmission of knowledge and skills which affect architecture, and the audience of architecture as both the producers and receptors.
The title refers to this paper as ‘an interdisciplinary study’. The three disciplines that this investigation operates within are architectural history, archaeology and history. I do not view an investigation as interdisciplinary if it is simply collating different types of evidence in support of the central disciplinary concern. An interdisciplinary study does not pre-suppose that the methodologies of the separate disciplines of architectural history, archaeology and history are inherently the same and therefore there is one method with which to perform an analysis upon the seemingly separate categories of evidence between buildings, artefacts and documents. The tools and techniques developed through the various specialisms to investigate their chosen evidence each have valid ways of interrogating data - it would be arrogant if I were to assume that I could learn, for instance, the palaeographer’s skills within the brief space of this investigation. I
can, however, analyse the arguments they present from their data and the paradigms with which they view their object of study.
By investigating the Christianisation of Northumbria, as opposed to the ‘Conversion’, I am investigating Christianisation as a structural phenomenon which facilitates, as a resource to draw upon, changing social relations of a particular group within society. An investigation of the conversion of Northumbria would be an investigation of the process of changing belief systems. In this case it is the aristocratic elite who, consciously or unconsciously, draw upon all the facets of Christianity - its power relations, traditions, symbolic resources, practices and social structures - in their actions to negotiate their own relations between this particular group and within their society as a whole. It is the ‘unintended consequences’ of these actions which we, at our chronological distance, perceive as historical events and physical remains.
Finally, I will turn to the last part of my title: ‘c. 500 – 800’. Although as I mentioned, I am examining a particular place in space and time, any investigation must be set within its historical context. A general survey of architecture would necessitate a generalised context. A tightly focused investigation allows for a closer examination of the particular historical contexts for the moment which are suggested by the investigation itself. The nature of our history for this period and time requires a wider context which addresses very specific questions. Thus, in order to illuminate the specific, this investigation must cover classes of data whose time scale cannot be focused more precisely than a few centuries, such as the archaeological data, as well as the historical developments leading to this moment which requires evidence from either side of this moment. The time span stated is from the nominative category of ‘post-Roman – pre-Viking’ a span understood by the various disciplines although referred to in different ways, for example ‘Early Medieval’, ‘Early Christian’ ‘Mid-Saxon’, although the evidence I cover occasionally ranges over a wider time span than this. Furthermore, although the specific geographic region is within Northumbria, the contexts and
evidence range geographically through Anglo-Saxon England, Rome, Gaul and Ireland.
This investigation is a two-fold analysis divided into four parts. The two-fold concerns are the nature of the investigation: a re-evaluation of our own modern paradigms which are applied at an unconscious level of definitions employed within analyses and interpretation and, secondly, an acknowledgement that historical events and objects are the result of practice and activity and therefore need to be firmly contextualised within the available evidence for the practices they arose out of. Chapter 2 outlines the disciplinary suppositions and paradigms of the three fields of architecture history, archaeology and history, first at the level of how architecture is analysed within these fields then at the paradigmatic level which defines the view towards the object of study which informs the analysis at a, normally, unconscious level. Here, I also outline my paradigmatic orientation towards the object of study. This chapter is kept to a minimum as an overview rather than a detailed analysis in its own right in order to orient the reader, yet let him/her move on to the substantive analysis. Theoretical positions are best proven through results, not through continual, extended argumentation. The argument, per se, lies not in a long-winded theoretical discussion about hows and ifs and whys, the argument is in the results of the investigation: whether this perspective has provided a means of interrogating and viewing my data in a fruitful way.
Chapters 3 and 4 cover the core of my analysis. These have been divided into two parts: assessment and methodology. Chapter 3 centres on an exploration of the crypt at Hexham and analyses of the superstructure in order to examine how the potential un-reflexive use of terms and concepts can distort our interpretations of the past. Thus, a variety of architectural topics such as the assumption that the function of crypts is for burials and the housing of relics, the use of the concept and term ‘basilica’ in both the modern sense and in the past, and the reading of textual descriptions of architecture are covered. Chapter 4 is a methodological exploration for the analysis and reconstruction of churches centred on the superstructure of the church at Hexham. I discuss the
development of the particular analytical tools I employ, geometric analysis of the plan, in relation to the concept of design and in relation to other analyses. After proceeding with my analysis and the reconstruction of the church at Hexham, I then discuss the context for the particular results of my analysis.
In Chapter 5, I review the various results of my investigation and analysis with a view towards evaluating whether I have shown that an architectural investigation of this type and within these particular paradigms can possibly further our perception of the past practices of those who were involved in and affected by church building in the early Medieval period of Anglo-Saxon Northumbria. I feel the answer to that question is yes.
II. Anatomy of a church: Approaches to the analysis of the ecclesiastic architecture of the Anglo-Saxons
The nature of ecclesiastic architecture ensures a multi-disciplinary approach has been applied to the study of Anglo-Saxon churches, however this is not normally an integrated line of inquiry by the various disciplines. A necessary step towards an integrative investigation is to understand how the differing paradigms and methodologies of architectural history, archaeology and history have influenced and constructed current understandings of Anglo-Saxon churches. Generally, the difference between these positions is seen as difference in the nature of the evidence: the architectural historian uses the fabric of a building as primary evidence, the historian uses contemporary written documents and the archaeologist excavates below ground for material residues to reconstruct the history of a building (e.g. Taylor 1976. 3). Whilst this is not a particularly contentious position, I am interested to move 'behind the scenes', so to speak, to view the particular attitudes that frame the questions asked of the evidence.
Most studies of Anglo-Saxon churches have their roots in either ecclesiology or the history of the Anglo-Saxons. Ecclesiology focuses on the material manifestations, especially the architecture and art, of the spread and development of the Christian Church. The archaeological study of churches derived from ecclesiological studies, as opposed to the science of archaeology which developed from the antiquarian traditions (cf. Rodwell 1989). Today, 'church archaeology' is still seen as a specialisation defined by the object of study, a sub-discipline of history and archaeology. The separation has been enforced since the exclusion of churches and cathedrals from the 1913 Ancient Monuments Act (Addyman 1976,1). Ecclesiological studies, with their emphasis upon restoration where possible and determining the historical heritage of individual churches, was, and is, heavily influenced by the methods of architectural history. Indeed, Baldwin Brown and Clapham, in their monumental works early this century, emphasised the 'scientific' rigours of the architectural study of style in order to
produce reliable chronologies (Brown, B. 1925 & Clapham 1930). It is to the dominant architectural history of the church I will turn to first.
II.1 Architectural History of Churches
Architectural history, especially the paradigm employed by the ecclesiologists when developing their histories of the forms of the church, has not been simply the study of all types of built form, but of specific types of building usually referred to as 'pedigree' architecture. The study of 'pedigree' architecture belongs to a tradition of art historical studies and the history of architecture that specifically chart the development of form in a chronological continuum tied into the development of Western European civilisation. This is a mechanism for tracking stylistic changes associated with important individuals (architects or patrons), artistic movements (periods, epochs) linked to significant events (e.g. the colonisation of America), or technological innovations (e.g. steel frame construction). Many of the major monographs and other analyses of Anglo-Saxon churches fall into these categories, but before looking at particulars, an understanding of the significance of this framework for these studies should be put forth.
'Pedigree' architecture, or 'high-style', is that which is defined in opposition to 'traditional' or 'vernacular' architecture. The assumption behind this distinction is one of intentionality: purposely built public edifices ordered to be raised by an institutional power. These structures are those which are considered to be imposed, aesthetic, formal, symbolic, essential ('essence'), ahistorical (timeless), stylised, contrived, elite, professional, unified, sophisticated, self-conscious and innovative; "eminent edifices and monuments that are urban and aesthetically pleasing" (Bourdier 1990, 40). Each of these adjectives contains an implicit valuation that marks them off from other buildings and constructed spaces as somehow a privileged representation of what is best and most noble of humankind. Materials used are not merely those which come to hand and spatial arrangements have more than just a functional utility. The 'more than' is a deliberate ordering of form and materials to appeal to an aesthetic sensibility. This understanding of pedigree architecture is enhanced by the typical (self-) definition of Architecture as the first of the Arts, containing aesthetic and social
superiority and it is only recently that traditional or vernacular, (non-authorial) structures could even be labelled 'architecture'.
From here it can be seen that pedigree architecture is not studied for historical explanation, rather it is illustrative of the above types of authorship (individuality; zeitgeist - the pervading moral, religious and intellectual ideas; invention). Because there is the assumption that the specific individual author (the architect or patron) is the Church and the zeitgeist is primarily Christianity and secondarily epochal influences, Anglo-Saxon church studies within the tradition of architecture history focus upon the formal attributes analysing either the evolution of a type\textsuperscript{i} of style, or the morphology of church building, or the iconographic imagery.
**stylistic evolution:**
Stylistic evolution attempts to create a sequential development of a typology based upon formal arrangement, description and decoration. These attach a temporal dimension to a series of changes from one style into another or from one form into another; in other words, divisions between Early Christian to Romanesque to Gothic or from cemetery to martyrium to church (e.g. Biddle 1986). Colquhoun calls this "diachronic relativism" (1981, 12) which is predicated on the assumption of the continuous evolution of architecture, from simpler structures to the apex of complexity to derivations from there. Change occurs as ideas are imitated, diffused, and improved, and studies concentrate on the sequencing of styles and the source of their derivatives.
Stylistic typologies for Anglo-Saxon churches are subordinate to typologies which had been developed for continental Europe by the turn of the century. Pevsner's *Outline of European Architecture* (1973) is a standard comparative study that situates Anglo-Saxon ecclesiastic architecture within these European categories. In an overview of this kind, the implication is that the religious architecture of frontier or fringe areas is not as sophisticated or evolved as the
more 'civilised' areas such as Rome or Byzantine. Therefore the chronological correlations are set aside in favour of placing Anglo-Saxon churches together with the earliest non-standardised and undeveloped Christian architecture, a subset of Early Christian Architecture at best or an uncouth, crude deviant at the worst. Most overviews of the development of the architecture of the Christian Church move from Early Christian Constantinian around Rome, circa 4th century, to Byzantine architecture, returning only to Western Europe with the development of full-fledged Romanesque architecture in Gaul of the 8th century and later.
The earliest attempts at a thorough stylistic study of Anglo-Saxon churches I have already mentioned above in the work of Baldwin Brown (1925) and Clapham (1930). Brown's meticulous studies collected all the then available structural and stylistic evidence for pre-Conquest Anglo-Saxon churches. His initial determination of what was 'pre-Conquest' employed negative stylistic comparison: not-Gothic or not-Norman, since more historical analysis had been carried out on these categories of architecture. After collating all the evidence, he was able to determine the evolution of these early churches in order to place them in a rough chronological order and also to be able to define characteristics for the model of early Anglo-Saxon architecture. For example, the average width of an arch and a 'Roman' curve as opposed to the more pointed Gothic or Norman; the quality and technique of wall construction; variations of quoining from earlier to later manner; the off-centre location of porticus' entrances, etc. (B.Brown 1925) can all be seen as indicators of this style.
Clapham began with Brown's work, and others, and combined the architectural evidence with sculptural and other types of plastic arts in order to trace stylistic influences upon the Anglo-Saxon Romanesque churches: "The surviving details of each building will first be considered, after which some attempt will be made to explain their peculiarities and to indicate the sources from which these peculiarities were drawn." (Clapham 1930, 17). His use of the term *peculiarities* emphasises the disposition towards the presupposition of deviations from a
model determining derivations of a style. Clapham's knowledge of the documentary evidence enabled him to put forth the influence of specific individuals on the development of the Northumbrian style and the Kentish style. Theodore and Adrian's Mediterranean background is seen to be the connection between elements such as the 'Byzantine' triple arcade found in the Kentish group and evidence is presented of parallels in North Africa and Europe (ibid., 30-31), whereas Wilfrid and Biscop's employment of Gaulish masons is consequential to the more 'barbaric' Northumbrian churches, paralleled with the Hypogeum at Poitiers (ibid., 42-43).
**morphological typologies**
Morphological studies seek to collate the accumulated evidence of buildings of a certain nomenclature-function, e.g. Anglo-Saxon ecclesiastic architecture or 18th century libraries, into classifications that can then be formed into various typologies illustrative of a model form outwith, or not primarily determined by, specific stylistic categories. Chronological typologies determine a sequence of dates equated with the evolution of form, functional typologies seek to ascertain which building forms contained which facet of human activity (e.g. church, monastery, mausoleum, baptistery, etc.). Forms can then be compared, deviations noted, and diffusion charted. Morphological studies tend to concentrate on the plan of a building, and less on the fabric (i.e. decorative features).
The most influential and comprehensive work to date on creating a typology for Anglo-Saxon churches has been undertaken by Taylor. Taylor's three volumes (1965, 1978) provide very thorough and detailed descriptions of individual church structures, this inventory is then analysed and collated into models exhibiting characteristics recognisable as Anglo-Saxon churches. The churches are categorised by formal qualities: the arrangement of plans, proportions, and spatial relationships as well as the details of construction. According to Taylor
the Anglo-Saxon church can be recognised by reference to two types of plan, the cellular and the integrated plan (1978, 970), which are further demarcated as cellular linear, cellular transverse, cellular areal, cellular areal-transverse or unitary integrated, integrated linear, integrated transverse, integrated areal and integrated areal-transverse. All these categories refer to the level of open or restricted movement between the base units of architectural space (rooms, or cells). He further investigates the proportions of these churches as ratios of length to width in the attempt to define rules of thumb, such as "In many churches the chancel is narrower than the nave by about twice the thickness of the side walls, so that the outer faces of the walls of the chancel are aligned with the inner faces of the walls of the nave." (1978, 1032).
Cherry (1976) offers a more simplified developmental sequence than Taylor. In ascending order of complexity, plans range from single-celled buildings through double cell through basilican plans to centrally planned buildings. As in Brown and Clapham, the Kentish plan is opposed to the Northumbrian plan. The whole is dispersed according to whether 'early', 'middle', and 'late' churches, and within each category of form the churches are listed according to date, determined by style and occasionally by excavation. This gives the impression that there is a straight forward sequence of replacement of one type by another since difference in form is classified as a unique type. Fernie (1983) provides a similar typology of single-celled, two-celled, and nave flanked by porticus, then continues, as Clapham did, to determine the continental sources of architectural form which they are derived from. Hence, Northumbrian churches are divided according to derivations of plan types: single-celled churches, such as Jarrow's eastern church are derived either from Gaul if narrow proportioned or Ireland if wide; two-celled churches, e.g. Jarrow, Wearmouth, and Escomb, are combinations of the Germanic layout of wooden halls (e.g. Yeavering) and Roman masonry techniques; the nave flanked by porticus came through Mercia from Gaul and Rome. Infrequently detected details such as galleries and crypts are viewed as direct importation, imitation intended to evoke glamour and admiration (ibid, 46-
Again, the overall temporal sequence is from simple to complex through imitation and diffusion.
**Iconography**
Iconographic studies relate the decoration of churches and the demarcation of space to the deliberate expression of an ideal. This typically equates elements of a church with Christian symbolism; semiotic and metaphoric investigations into the conveyance of canonical meaning. For example, Heitz (1986) connects the schematic depiction of the Church of the Holy Sepulchre and the rotunda on the Mount of Olives to the architectural organisation of the facades of 8th to 12th century churches as expressions of concepts of heaven and hell. Some iconic studies, through concentrating on the known meaning of the symbolic reference, can illustrate how representation is articulated in architectural configuration. Even though it is Gothic and not Anglo-Saxon, Eco's analysis of the spiritual experience of the religious ideal realised in the physical unity of the cathedral shows how, for instance, the geometrical ordering of space through numerical relations which signify spiritual numbers from the Bible unified in cosmic harmony and the use of light were intended to elicit metaphysical emotions grounded in the identity of God as a conjunction of the manifest and the sublime (1986).
Iconic studies are particularist semiotic analyses that belong to the study of architectural form as an expression of *zeitgeist*; "the human mind craves, even in its architecture, some reflection of human imperfection, and the latent historical sense requires an art which mirrors the life and thought of its creators... its expression, while both rich and varied, is marked by all those frailties and imperfections which are the proper symptoms of a progressive art, and illustrate so vividly the mind of its authors and the age which gave it birth." (Clapham 1925, vi).
Fernie characterises this approach as the "visual or architectural analysis of the design" (1989, 19) and it pervades all of his work on Anglo-Saxon architecture whether a specific case study such as Repton (1989) or an overview (1983). In either case, the iconographic devolution of ideas from an original Early Christian theological and formal source emphasises a typology of symbolism. For example, the spiral columns at Repton are employed to frame sanctuary space in the manner of St. Peter's tomb in Rome (1989) and an Anglo-Saxon church which is arranged as a nave flanked by porticus and galleries is deliberately reminiscent of the Hagia Sophia and Golgotha (1983).
II.2 Archaeology of churches
Once the typologies of form and style have been constructed, then a good portion of study and analysis is devoted to identification of a building or part of a building with a pre-defined model. Which moves us into the archaeology of churches.
Primarily, the aims of the archaeological investigation of Anglo-Saxon churches are to provide more precise dates for the historical evolution of church architecture and to determine diagnostic features for the recognition of 'church' as a class of objects. Since the mid-seventies the Council for British Archaeology has instigated research reports intending to explicitly set out the parameters and goals of the archaeology of churches (CBA 13, 47, 60). Overwhelmingly, the emphasis in these, and in other literature, is upon the contribution of archaeology as one of securing dates: "The problem of dating remains central..." (Biddle & Kjolbye-Biddle 1985b, 316); "It is a paramount task of archaeology to provide dates,..." (Morris 1987, 190). This is predicated upon the archaeologist as scientific supplementor to architectural history and documentary history. As archaeological methods for the systematic recording and analysis of both standing and excavated remains become more technologically advanced, techniques such as radio-carbon dating, dendrochronology, and mortar analysis can enable more precise temporal bands (tpq and tag) for specific churches. This can further refine the typological sequences first constructed by Brown and Clapham. Here, the typologies are treated as the hypotheses against which the archaeological data can be tested either to reinforce or shift a specific church into another band which modifies the existing hypothesis. For example, recent work carried out at St. Paul-in-the-Bail produced, through a combination of stratigraphic, coin, and radio-carbon evidence, a tpq of 402 and a tag of pre-7th century, with the most likely date to be the 5th/6th c. (Jones, 1994; Steane & Vince 1993, 73-74). Previously, because of the similarity in plan and dimension to Kentish churches and the literary evidence for Paulinus building a church in Lincoln 628/629, this structure was felt to be almost certainly 7th century (Gilmour 1979).
The corollary to the archaeological provision of dates for stylistic horizons is the construction of models in order to establish diagnostic features, "...architectural features which can with reasonable certainty be said to occur frequently within well developed periods of time and hardly outside those periods." (Taylor 1976, 7). These diagnostic features include fabric composition, construction details, distinguishable morphology, measurement and proportion as well as stylistic details (e.g. Rodwell 1986 analysis of wood framing in stone construction).
Taylor's work (1965, 1978), especially, has collated architectural, historical and archaeological primary evidence that can then be used to formulate models of Anglo-Saxon churches. Biddle and Kjolbye-Biddle demonstrate the potential of using Taylor's work in this manner with the example of analysing proportional scatters to define characteristics such as: in the Northumbrian churches, long proportions were predominate only in the early period of Anglo-Saxon church construction, or that all four of the Kentish examples of churches have the lowest external ratios from this early horizon (1985b, 308). This type of work combined with structural analysis of the fabric and excavation allows for continuous reevaluation and refinements of the chronological framework. A further development arising from morphological studies is the analysis and comparison of measurements of plans, as can be attested in the recent publications of the ongoing obsession with the 'northern rod' in Anglo-Saxon construction (cf. Medieval Archaeology 35, 1991: Fernie, Huggins, Marshall & Marshall, Bettes; Kjolbye-Biddle 1986). Here, the difference between the 4.65m and 5.03m Anglo-Saxon 'rods' are not differences between surveying and construction aids, but standardisations that are linked in an historical continuum from late Antiquity, Anglo-Saxon and Medieval England, through 19th century Germany, to modern cricket pitches and acres (Fernie, Huggins, Bettes 1991). The historical weight of this argument implies an inability to deviate in form or structure, and if deviation does happen to occur it is tied into the limitations of certain construction materials when spanning certain lengths, i.e. Anglo-Saxon structures have greater variance in length than width because, restricted by the strict linear measurement of $n$-rods, of the inability of timber beams to span twice
the rod and the ability to extend indefinitely in rod segments along the lengths (Marshall & Marshall 1991).
A third aspect of the archaeological emphasis upon constructing chronological frameworks is what Mytum (1989: 339) refers to as 'historical particularism'. Historical particularism is the trend towards archaeological investigation of a site in isolation from other sites or without consideration of the historical context. These detailed investigations contain a wealth of minutiae concerning individual site histories, but are divorced form the contiguous area as well as larger historical contexts. Historical particularism such as this upholds the ecclesiological position discussed earlier and, at its most extreme, isolates and focuses on only the structure of the church without the minimum of the immediate context of cemeteries or monastic buildings, halting after excavation and recording (Biddle 1976 65).
The emphasis upon dating, constructing a typology, determining diagnostic features, and the particular history of individual sites is deemed critical to the history of Anglo-Saxon churches because of the lack of historical documentation in general, and specifically the lack of documentation giving descriptive details of architectural trends and individual church construction, with rare exception (Taylor 1976, Butler 1976). This attitude has been constructed within the architectural history paradigm of belief in the continuous development of style and evolution of form, which I have discussed above, combined with the archaeological emphasis upon scientific techniques of analysis, thereby producing the archaeological role as one of refining the history of the architecture of the Anglo-Saxon Church. The published report for the excavations at Brixworth (Audouy 1984/5) exemplifies this attitude. It contains detailed procedures for recording and excavation carried out at the site; the meticulous phasing of the evidence from the trenches; descriptions of the architectural remains uncovered, their material of construction, dimensions, and stratigraphic relationships; mortar reports analysed by 'aggregate-size distribution of sands', colour, peculiar mix employed (e.g. percentage of charcoal to
percentage of lime) and distribution of samples over architectural features; petrological analysis; pottery analysis by fabric, source, inclusions and surface finish; radio-carbon determinations from wood and bone; and inhumations. All this (forty-three pages worth) produce a simple statement that the church was possibly built in the mid-eighth century, based on the radio-carbon and pottery evidence (*ibid.*, 37), along with the confirmation of the contemporaneity of the foundations of the north wall of the nave, porticus and narthex implying that the plan reflects the original design of the church (*ibid.*, 33). So it appears that there is scientific evidence to support the previous stylistic and morphological analyses, although this is not discussed in this publication.
A manner of analysis more oriented within archaeology itself is to investigate churches as a class of object which can be placed in relational contexts (with other classes of objects) to generate patterns; an ability to "...go beyond the consideration of sites as individual entities to the examination and comparison of patterns and regional groups." (Morris 1983, 47). This is a way of treating buildings similar to portable artefacts as distribution between assemblages and comparison within assemblages. Churches are thus a class of building type to be compared with mausoleums, shrines or baptisteries, or a type of object that is evidence of the extent of Christianisation such as churches, cemeteries, metalwork, manuscripts or sculptures. Quantifiable evidence is emphasised: how many are extended over what area? Regional variation of the morphology of Anglo-Saxon churches has had considerable attention (cf. B. Brown 1925, Clapham 1930, Taylor 1978, Cherry 1976, Fernie 1983). More recently, pattern recognition has extended beyond consideration of only the form to include such geographic relationships as between mother houses and possible daughter houses (Cambridge 1984/5), Christian sculpture centres and monastic institutions, (Cramp, cited in Cambridge) and religious establishments to settlement patterns (*cf.* Rodwell 1984 & Morris 1987).
Even though these studies do move beyond the historical particularist approach, the tendency is to limit the nature of the inquiry and the integration of sources to
more archaeologically circumscribed material: "...archaeological and historical sources are complementary, the archaeological evidence should be considered first within its own framework before it is compared and possibly (though not necessarily) integrated with hypothesis generated from documentary evidence." (Schofield 1987, 5). Also noted by Schofield (*ibid*, 4) are the extremities of positions taken in historical archaeology from the complete divorce of archaeology and history, as propounded by some archaeologists (cf. Reece 1984, Rahtz 1984), to the total dependency upon the historical record (e.g. Alcock 1988, 22), to somewhere in the middle where the majority lie."
II.3 The Anglo-Saxon Church and History
Unlike ecclesiological history, which delimits the sphere of study to the evolution of the Christian Church (especially, Catholicism), an historical approach is to analyse the Anglo-Saxon Church as part of the history of the Anglo-Saxons, specifically the conversion of the people to Christianity as an element of the chronological development of the society and polity which from the separate kingdoms of the Anglo-Saxons became the unified historical nation of the English. The Church in itself becomes part of the social and economic structures which shape the historical developments chronicled in documentary sources. Especially in times of relatively sparse documentary evidence, as in the sub-Roman early history of the Anglo-Saxons (Myers 1989), the ecclesiastic sources provide an overwhelming majority of the sources available which can combine with and supplement other sources of evidence, such as inscriptions and place name evidence.
Literacy is traditionally seen to have arrived for the Anglo-Saxons with the (official) advent of Christianity in the 6th century and the Latin and Greek scholarship of the ecclesiastics. The religious community not only recorded ecumenical affairs, its own histories (e.g. the Vitae) and liturgy, but eventually took over the position of scribes for the secular community, especially that which involved kings and kingships: producing genealogies, annals, charters, and law codes. These have provided invaluable sources for the historians of the Anglo-Saxons. The biasing towards these documents has been problematic for reconstructing detailed histories because of the differential survival of the archives of specific religious communities, for instance, or the tendency for embellishment to enhance a certain lineage (Yorke 1990, 20-24). Yet whilst recognising these internal problems, historians for the most part overwhelmingly rely on these documents over any other form of evidence, and the influence of Bede's *Historia Ecclesiastica* (*Ecclesiastic History*) has at times seemed to make all other documentary sources for the early Anglo-Saxons to be entirely redundant. At this juncture I do not intend to engage in the continuous debate
between medieval historians and medieval archaeologists as to the validity of one type of source over the other, beyond noting that disagreement exists (cf. Driscoll & Nieke 1988a for one recent discussion amongst many), nor am I going to provide an overview of the history of the History of the Anglo-Saxons, rather I would like to move straight into the role of church architecture as a source for historical investigation.
The general employment of analyses of church building has been to aid and enhance the specific history of the Church. It is unusual for the architecture of a church to be studied in isolation, rather it is more common that the buildings are seen as manifestations of the Christian Church as a whole. Studies of the development of liturgical practice seen in the changing layout and embellishment of the churches focus on such details as ablution drains, relic pits, squints and galleries for their liturgical implications or multiple altars and porticus as places of veneration for the development of processions of feast days (Parsons 1986, 1987, 1989). The evolution of religious belief is expressed through the iconography of the church: "... belief is the only obvious intrinsic quality of a church in archaeology; and, correspondingly, that artistic creativity, as it is considered within the whole cultural context, is of the utmost importance to the archaeologist who wishes to interpret such a church's influence and character." (Mytum 1987, 435, and see above discussion of iconography). Above all, the detailed recording of the remains of the churches can help historians to chart the evolution of the Church from the first missionary activity to the development of the highly complex administration of the diocesan system already in existence by the time of Domesday (cf. Keynes 1986, Morris 1989, Owen 1976).
In an historical analysis the architectural evidence becomes subordinate to the documentary evidence, however, even in supplemental form it can be seen to aid in the understanding of specified aspects of economic or political relations, or whichever hypothesis is being explored. At the most superficial level, the architecture is used as cultural detail to flesh out the history presented in the documents, especially when there is a lack of descriptive detail provided by the
documents for fabric and furnishings. With the notable exception of Stephanus' description of Hexham in the *Vitae Wilfridi*, most references to architectural form in the early Anglo-Saxon period are sparse and tend to be vague. Beyond this level, when a study of church building is linked to a wider historical perspective, it can be employed to aid in understanding political, societal, and economic evolution (Driscoll & Nieke 1988a, 2).
As a result of the close ties between the Church and the patronage of various kings, the political relationships are the most common historical questions the study of churches is applied to. The patronage by royal lineages was not confined to gifts, but extended to foundations, endowments, and extensions; monasteries and other foundations tended to be headed by a relative of the king in power at the moment, and frequently were involved in competing claims to power. Blair (1989) explores the building of minsters in relation to large endowments granted by charter, combined with the relationship between minsters set up by relatives within a lineage and the establishment of royal villi to determine the extent of the kingdom of Frithuwold in Surrey. He also attempts to establish in this manner the relationship between Frithuwold, (saint and king) Frithuric, and the female 'cousins' (sisters/daughters) who headed monasteries established along the edges of Mercia.
Besides the topographic relationships of foundations, the material culture of different churches can help to establish the degree of the power relations between royal patrons and possibly indicate hierarchies in stature and prestige. Depending upon whether the fabric and furnishings are seen as straight reflections of cultural influences (Keynes 1986) or whether self-consciously employed for purposes of legitimacy (Hodges & Moreland 1988), these stylistic influences can indicate links between different social groups, societies, or political alliances. Much has been made, for example, of the relationship between Francia and Kent fostered at least since the time of Aethelbert's marriage to the Frankish princess Bertha, if not before. The distinctive 'Kentish' church form and the material culture associated with the churches as well as other types
of Christian artefacts (metalwork, jewellery, etc.) and burial practices are seen to be highly influenced by Frankish work, thus evidence for religious influence, cultural imitation for prestige reasons, political alliances or trade, depending upon which aspect of the relationship between Kent and Francia is being analysed.
The heavy emphasis on kingship evolution and the power relations between royal lineages and the ecclesiastics when looking at the role of the Church is mainly the result of the context for the production of the documentary sources. It must be remembered, for these reasons (patronage, politics, kinship structures), that a very close relationship existed between the Church and the various kings, who were very influential on the fate and fortunes of the many foundations. Many of the documents being used were initiated at the request of a secular power or dedicated to one, and the interests and focus tend to be on the elite strata of society. This emphasis notwithstanding, churches have been employed in the study of other facets of secular society. Trade has already been mentioned, and most historical investigations feel that the church fabric and furnishings can establish trade connections (Butler 1976, 18), both within the British Isles (e.g. between Irish and Anglo-Saxon evidenced in the metalwork), and between Anglo-Saxon England and the Continent (e.g. as above with Francia and also between Merovingian Gaul and Northumbria). Industry is another aspect of the economic sphere that can come to be illuminated through the study of the subsidiary buildings and landholdings of the churches, such as the excavations at Wearmouth and Jarrow providing evidence of manufacture (craft production) and agricultural processing (Cramp 1969, 1976), or the absence of wheel-thrown pottery upholding the documentary indications of the breakdown of a coherent Romano-British structure and thus industry.
The impact of church endowments and subsequent landholdings upon the topography and development of Anglo-Saxon settlement has recently become the focus of historical investigations. Book land, which remained in the control of the Church instead of returning to the granting lineage, caused a shift from the
previous method of land tenure with repercussions for the evolution of private property as well as husbandry (cf. Wormald 1984; Blair 1989; Saunders 1990). Churches and their landholdings can also provide information regarding the associated settlements: "The pervasive role of the church through the ages has ensured constant modification as the aspirations and fortunes to the community were given material expression." (Addyman 1976, 1). It is also recognised that churches can be studied in relation to continuity, the re-establishment or formation of towns, especially from Roman-Britain times to Anglo-Saxon (Rodwell 1984). For instance, the question of continuity from Roman Lincoln has been explored in the placement and evolution of St. Paul-in-the-Bail, Lincoln (Steane & Vince 1993), and the location of settlements in relation to the provision of other religious foundations throughout the kingdom of Lindsey during the power struggles between Mercia and Northumbria (Stocker 1993).
In summary, I have attempted to set out the relationship between the various approaches to church architecture and their relationship to the aims of architectural history, archaeology and history. The architectural historian aims to elucidate the evolution of church form, the archaeologist provides empirical, scientific evidence for the chronology of church development and for identifying the physical extent of Christianity, and the historian turns to the evidence of churches in an attempt to aid in problem-solving exercises from questions posed by the documentation about the political, social, and economic history of the Anglo-Saxons.
II.4. The Object Gaze
So far I have presented a composite of approaches loosely gathered as disciplinary oriented paradigms for approaching the study of ‘church’ as an architectural manifestation. In order to enhance an understanding of these approaches I would like to shift the emphasis away from the aims of study or analysis to exploring the underlying attitudes towards the object itself. The immediacy of the empirical material often belies the assumptions inherent in the stance taken towards the object of study as an object in itself. I have looked at the conceptual paradigms the architectural historian, the archaeologist and the historian situate themselves within, nominally this does contain methodological implications for operations of analysis, however, far more influential to the resultant histories is the gaze adopted which presupposes a relation between the subjecthood of humans and the world of objects within which they coexist. In other words, what does this object tell about our subjective condition? and how does this particular stance in relation to the object create the object of study? In order to answer these questions, I will have to consider not only the paradigms of the architectural historian, the church archaeologist, and the Anglo-Saxon historian, but also what I will refer to as ‘the aesthetic gaze’, ‘the archaeological gaze’ and ‘the historical gaze’.
the aesthetic gaze
The gaze of the architectural historian is the gaze of the modern, post-Hegelian, aesthetician, creating an object of study that is purviewed outwith the contingencies of social and material conditions. This object, the artefact, is an art object with its own trajectory and evolutionary path, moving according to its own internalised mechanisms of logic. An artefact which is perceived as self-referential, containing within itself the entirety of meaning and purpose, transcending the merely expedient and capturing the sublimity of the human spirit, the *Geist*. Yet this object is not valueless, its immersion and formation inside the miasma of the subjectivity of human condition allows the object to
express the essential Spirit: "the determinate objectivity of the artefact is no more than the self-generative process by which subjectivity emerges into being." (Eagleton 1990, 128). Thus to reveal the internal mechanisms of the artefact is to realise the *Geist*. In Bourdieu's more familiar terms, this artefact is the symbolic object as 'structured structure' which can be analysed to reveal and communicate social ordering (Bourdieu 1979). For Hegel, "[M]an's perfection comes to be only in his perfecting of himself, and that is a process demanding external instrumentalitys. No mind comes to know itself except through a medium of self-expression, and in God's case that medium is the world, and history is the development of his self-knowledge in the world." (Cohen 1978, 9) For humans this self-knowledge can only be developed through art, religion, and philosophy, yet the art object (here, as stated above Architecture is Art) as a sensuous (sensate, material) representation must be secondary to the non-material manifestations of religion and philosophy. This proceeds to elevate the art object as *the* sublime physical manifestation of *Geist*, constituted as the medium of self-awareness (as in the neo-Platonist interpretation, cf. C. Taylor 1989, 201).
Therefore, if the primary purpose of theory is the retrospective unveiling of the propulsionary force of *Geist* through time, then the autonomous and self-referential aesthetic artefact is the exemplary object of study: "Geist is the essence of everything that exists, and so an account of its adventures through time would appear purely descriptive; but it is the *essence* of all that exists in the sense of its significant inner structure or trajectory, such that an account of it provides us with norms relevant to ethical and political behaviour" (Eagleton 1990, 149). *Zeitgeist* framing does not require explanations of the mechanisms of historical change, rather they explicate the relationship between formal arrangements and the pervading moral, religious and intellectual ideas.
Jay (1988) illustrates how what I am referring to as the aesthetic gaze informs architectural analysis. He cites the opening passage in Pevsner's *Outline of European Architecture* (1973), worth repeating here:
"Architecture is not the product of materials and purposes - nor by the way of social conditions - but of the changing spirits of
changing ages. It is the spirit of an age that pervades its social life, its religion, its scholarship and its arts. The Gothic style was not created because somebody invented rib-vaulting; ...they were worked out because a new spirit required them." (ibid: 17; Jay 1988, 30).
Whilst Jay criticises the phrase 'spirit of the age' as a rhetorical device meaningful only in relation to that particular work (1988, 31), it can be pushed further as an illustration of a metaphysical attitude towards the object which does not require an analysis that explains architectural change other than the assumption of reflecting change in the *Geist*. As Cohen states:
"...study would show in the characters of temporally successive dominant nations or civilisations a progress of values, cultures and politics, an empirically visible line of improvement which would require explanation. Yet no empirical explanation of the fact, in Hegel's view, can be forthcoming: it was not as though the civilisation which had once been the centre of progress bequeathed its achievements by an observable route to the civilisation which took that progress further. Often the superior successor civilisation would be spatially removed from its immediate significant predecessor, which might have flourished and decayed long before the successor arose, so that the 'transition which we have to make is only in the sphere of the idea, not in the external historical connection'..." (1978, 5; subquote: Hegel, *Philosophy of History*)
The resultant text, the history presented, is that which meets the criteria of traditional art histories: those that treat the art-object as "independent form structured according to its own laws and systems of relationships", as "a form belonging to a history of similar forms", or as a "form belonging to the intellectual history of a given period" (Lombardo 1988, 80). These three treatments I have traced above in relation to church architecture, they can now be understood as variations derived from a particular *a priori* relation to the object: the aesthetic gaze.
the archaeological gaze
Whereas the aesthetic gaze elevates the object from any utilitarian or functional relation to the subject into an art object which espouses the transcendental and the sublime, the archaeological gaze denobles the object of any such pretensions of privileged relation to subject. The archaeological gaze is the gaze of the impassive technician, entailing the erasure of all subjectivities. The object contains no interiority, but only external reference to processes with no moral value. The object is the result of the expedient colonisation of material existence. Here, the object only exists in relation to modes of cognition: language, art, myth, science, are the symbolic forms to explain the phenomenological object (Bourdieu 1979). Kant divorced the cognitive, moral and aesthetic realm by uniting the object to the subject in the act of judgement (Eagleton 1990, 125), thus the object becomes a by-product of rational agency and cognition is constituted within the empirical existence of the object.
The Kantian move is away from the *art* object to an equalisation of all objects in relation to the subject, all objects are effects of reason, of "some deep spontaneous consensus built into our faculties" (*ibid.*, 405). Procedural reason, unlike the intuitive, guiding Geist, emphasises correct style or methodology addressed to the empirical existence of the object, but non-qualitative as a thing-in-itself. This is in opposition to the aesthetic view of the artefact as the subjective object, and instead presents the objectified subject:
"This is the ideal of the disengaged self, capable of objectifying not only the surrounding world but also his own emotions and inclinations, fears and compulsions, and achieving thereby a kind of distance and self-possession which allows him to act 'rationally' ... Reason is no longer defined in terms of a vision of order in the cosmos, but rather is defined procedurally in terms of instrumental efficacy, or maximisation of the value sought, or self-consistency." (C. Taylor 1989, 21)
Paradoxically, by collapsing the universal (civil society) into the particular (individual reason) (Seligman 1990, 125), the focus shifts onto a synechdocic
articulation, the part (the object) represents the whole (which is the subject). Practical reason turns to empiricism as a means of providing normative standards for judgement requiring the removal of qualitative distinctions from language in order to describe and understand humans, their actions, and their world at an equilibrious and consensual level: "the rationality of an agent or his thought is judged by how he thinks, not in the first instance by whether the outcome is substantively correct" (C. Taylor 1989, 86, emphasis added). In order for analytical description to become the basis for judgement, two assumptions about the object must form the base for an agreement. Firstly, that there is a normative standard residing in each separate sphere, and secondly, "the idea of the world as a causal mechanism whose phenomenon are reducible to the laws which govern them" (C. Turner 1990, 111).
The archaeological gaze is therefore one of technique where all objects are judged according to their empirical viability. As Eagleton notes, this is a projection onto the object of human practical reason (1990, 88). This produces works which would typically be categorised as normative, functionalist, or processual, where the object of study, whether it is an architectural structure, a painting, or a tool, is the detritus of human rationalistic behaviour. A tautological relationship exists between the mechanisms and forces of action and the facticity of the object and thus objective universal laws of human activity are derivative through the logical apparatus of procedural reason applied to the object.
**the historical gaze**
Under the historical gaze, the subject does not exist outside of the events of the past. This is the gaze of the chronicler, the temporal rhetorician establishing sequences and exposing structural relations and rendering transparent that which was opaque to the participant of the moment. Marx established a new history devoted to the forces of collective history rather than the struggle of the individual intellect. The operation of eliding Hegel's historical impetus with
Kant's empiricism combined with Marx's subsumption of the subject (individual, particular) by the object (society, universal) results in a history that is no longer a conjoined series of contingent actions shaping the destinies of nations, but a temporal unfolding of societal developments. Hegel's historical consciousness, Geist, is replaced by the propulsion of each form of society (as the manifestation of forces/relations of production) evolving along its trajectory of material growth:
"No social order ever perishes before all the productive forces for which there is room in it have developed, and new, higher relations of production never appear before the material conditions of their existence have matured in the womb of society itself" (Marx, *Critique of Political Economy*, in Cohen 1978, 27).
History itself is above issues of morality, becoming the durable structures of society transforming over time to attain the realisation of the creative potentials of 'social intercourse' (now subject *and* object), thus historiography is necessary to map the previous developments in order to fulfil present and future developments. History has "no presupposition other than previous historical development, which makes this totality, i.e. the development of all human powers as such, the end in itself." (Marx, *Grundrisse*, in Eagleton 1990, 212).
The influence of the Annales school most strongly illustrates the deanthropocentric change from 'traditional history' to 'social history' with its emphasis upon structures and collectivities. The social history as espoused by Febvre, Bloch, and Braudel proffered a substantive focus of historiography on aspects of the social such as politics, demography, economics, classes, kinship structures, and cultural phenomena (as expressions of collective mentalities), indebted to a materialist conception of existence (McLennan 1980, 128-151). Braudel, especially, removes the subject entirely from the scene, where history, as time, is the agent and the individual is acted upon and shaped by large structural forces (Braudel 1980, 10-12). By introducing the longue duree, the conjuncture, and the event as the temporal spans for analysis and model construction the individual becomes 'transcended' in favour of the 'depth' of 'anonymous history' revealed through careful reconstruction of social realities:
the "major forms of collective life, economies, institutions, social structures, ... civilisations" (ibid., 11).
The historical gaze is governed by time, 'impervious', 'irreversible' and 'axial', against which all social phenomena can be measured to reveal the recurrent cycles and structures of history (ibid., 25-54). Here, subjectivity, except as personal distortion, is denied, history is the relations of forces in conjunctures, and society is the object of study. Thus it is the relationships between objects (as manifestations of social institutions and historical structures) and not the objects themselves that can reveal the underlying logics to be reconstructed by the disinterested observer.
II.5 The Theoretical Orientation of this Investigation
My approach is a syncretic approach designed to unite these different positions into an integrated study. A truly interdisciplinary approach should not deny the differences between the disciplines and their paradigmatic orientations, it should recognise that the tools, methods and orientations are able, through this difference, to contribute different forms of knowledge to a greater understanding of the object of study. In the case of this investigation, the tools, methodological paradigms, and theoretical stances underpinning these approaches will be combined and funnelled through an object gaze which presupposes that all material culture is deeply embedded within agency and praxis.
All material objects arise from human activity. Activity is the multi-leveled behaviour of agency which concern the everyday and the traditional, the symbolic and the functional, the aesthetic and the structural because whether consciously or unconsciously, all human agents are exposed, understand and interact with the world around them on all these levels. This nexus is the source of transformations of pre-understanding which arise and then inform the social, political, cultural and intellectual context of action. All material culture therefore embodies the aesthetic, the technological and the structural.
Whether this understanding of material objects as products of praxis is referred to as recursivity (Hofstader 1980), selective transfer (Krautheimer 1969), structuration theory (Bourdieu 1979, 1977; Giddens 1984, 1991) or performance, the basis for viewing the object is essentially the same: pre-understandings the agent brings with him/herself which inform and change at the same time - existing structures of knowledge which make sense of the local environment and also create change. This presupposes that human knowledge arises between the recursive interaction between action, knowledge, memory, symbol systems and material culture. Recursive enumeration is the concept of new things arising from the old by fixed rules - rules which modify and adapt and are modified and adapted in turn - creating complexity and allowing for change.
Essentially, this view does not allow for architecture to be seen as a passive vessel awaiting to be filled with meaning but insists on architecture to be seen in a context of transformative action. To quota Soja: “…Spatiality [the spatial relationships which are the preunderstandings and actions of living in and creating a built environment] is a substantiated and recognised social product, part of ‘second nature’ which incorporates as it socialises and transforms both physical and psychological spaces. …As a social product, spatiality is simultaneously the medium and the outcome, presupposition and embodiment of social action and relationships” (1989, 129). Architecture, the object of this study, is therefore an organised manifestation of pragmatic and ideational pre-understandings and considerations and a transformative materialisation of social norms and attitudes. Following from this, an analysis of architecture cannot simply be a study of the physical presence of a building, it must be a wider contextualised investigation of the nexus which informs the agents organisational dispositions and spatial understandings at all levels of praxis which include the ideological, the every-day and the socio-political\textsuperscript{iii}.
III. Hexham Abbey - A Review of the Pre-Conquest Foundation
III.1 Introduction
The pre-conquest monastery at Hexham is an enigma to historians and archaeologists alike, as frustrating as it is tantalising. Thanks to Bede's *Historia Ecclesiastica gentis Anglorum* (*HE*) and to Stephanus' *Vita Wilfridi* (*VW*) we know more detail about Hexham than most 7th century foundations in Britain. The land upon which Hexham Abbey was founded was an endowment given to Wilfrid by Queen Aethelthryth from her dowry estates (Roper 1974, 73) during the height of his popularity as bishop of York, 669-678. In all probability, this endowment was in return for his support in obtaining her divorce from Ecgfrith which enabled her to join the nunnery at Coldingham and then found the monastery of Ely (*HE*, IV.xix). The foundation of Hexham Abbey in 673 (Roper 1974, *App.I*, 169) was the occasion for the building of a new church, according to the enthusiastic biographer of *VW* in a style hitherto 'unknown this side of the Alps' (see below). That Hexham was well constructed and lavishly furnished does not need to be doubted as both the *VW* and *HE* let us know that Wilfrid, in accordance with the pomp that he learned from his time spent in Merovingian Gaul, did not stint when it came to his foundations or his personal styles. The lavish descriptions in *HE* and in *VW* of his consecration in Gaul (*HE*, I.xx; *VW*, XII), his care in restoring the church at York (*VW*, XVI) and the elaborate furnishings of Ripon (*VW*, XVII) attest to this. Indeed, one of the complaints against Wilfrid by Ecgfrith's second wife, Iurminburh was "all the temporal glories of St Wilfrid, his riches, the number of his monasteries, the greatness of his buildings, his countless army of followers arrayed in royal vestments and arms" (*VW*, XXIV)\textsuperscript{iv}. Wilfrid's turbulent career placed Hexham in and out of his control over the next thirty years until just before his death, when Ripon and Hexham were finally fully restored to him; these two, the first of his foundations being all that remained under his control of all his estates and foundations in Northumbria (*VW*, LX). After Wilfrid's death we are further told of Acca
continuing the work on the church at Hexham while he was abbot (710 - 731): Bede states that Acca ‘enriched the fabric of his church’ (*HE*, V.xx) and the *VW* states he ‘provided for this manifold building splendid ornaments’ and ‘decorated the altars’ of the church (*VW*, XXII).
Thereafter the history of Hexham is glimpsed in the documents but the specifics of any rebuilding or enlargement become confusing. Two key descriptions of the church at Hexham have guided all subsequent historical and archaeological interpretations of Hexham because of their attention to architectural and stylistic detail at a level uncommon in most textual sources. Because of their influence both are worth quoting in full. The earliest of these is the description in the *VW*:
"For in Hexham, having obtained an estate from the queen, St Aethelthryth the dedicated to God, he founded and built a house to the Lord in honour of St Andrew the Apostle. My feeble tongue will not permit me to enlarge here upon the depth of the foundations in the earth, and its crypts of wonderfully dressed stone, and the manifold building above ground, supported by various columns and many side aisles, and adorned with walls of notable length and height, surrounded by various winding passages with spiral stairs leading up and down; for our holy bishop, being taught by the Spirit of God, thought out how to construct these buildings; nor have we heard of any other house this side of the Alps built on such a scale."
(*VW*, XXII)
The exact date and author of the *VW* has long been debated. I would support the arguments for the author being ‘Stephanus’, not ‘Eddius’. Following Kirby (1983) and Goffart (1988a), the traditional equation of the author of the *VW* with the cantor Eddius brought from Kent does not hold up under scrutiny. The reference to ‘Eddius’ was first inserted into the Cottonian MS in a 16th century hand; however the oldest manuscript, the Fell MS, merely states ‘Stephanus, a priest’ in the preamble (Colgrave 1927). Additionally, the first personal
references to ‘I’ rather than the collective ‘we’ generally referring to the followers of Wilfrid’s religious establishments do not occur until 703 (the cantor was brought from Kent around 669) and there is a notable lack of intimate knowledge of Wilfrid’s time in Sussex when ‘Aeddi’, Bede’s cantor, is said to have remained there (cf also Mayr-Harting 1981). The date of the *VW* is usually placed between 710-720. If, following Kirby, the Abbess Aefflaed was still alive (d. 715) and, following Goffart, it was probably not written during the years 716-718 (when the collateral branch of Coenred was ruling) because of the favourable tone of the text towards Oswy’s descendants, then it might further be narrowed down to having been written between 711 (the 1 year anniversary of Wilfrid’s death is mentioned in the text) and 715.
The other influential text was written by Prior Richard of Hexham in the 12th century (this account published in Savage & Hodges 1907, 37):
"It was begun by making, with great labour, crypts and subterranean oratories, which had passages with many branches beneath the floor. The Church above was built with stones squared and of various sizes, and supported by well polished columns. It had three distinct stories or levels, which were carried out to an immense length and height. He also decorated the walls and the capitals of the columns by which they were supported, and the arch of the sanctuary, with figure subjects and statues and many carved decorations, in relief upon the stone; as well as pictures and paintings in great variety and wonderful beauty. The body of the Church was surrounded with aisles and porches on every side, which, with surprising and inexplicable skill communicated with each other by winding stairs and stone towers. In these tower stairs, and above them, were different ways leading to long galleries formed in the stone walls, with many turnings and branches, some leading up and some leading down, so ingeniously and artfully contrived that a great multitude of men might be there surrounding the whole Church, and yet not be seen
by those on the floor below. Both above and below were oratories as private as they were beautiful. In the porticus before-mentioned, which were arranged with great painstaking and care, altars were placed in honour of the Blessed Mother of God, Mary Ever Virgin, and S Michael the Archangel, and S John the Baptist and of the Holy Apostles, Martyrs, Confessors, and Virgins with all their furnishings provided in a conscientious and unstinting manner. Some of these works have remained even to this day, the most conspicuous of which are the turrets and towers for defence {...} The atrium also of the temple he surrounded by a wall of great thickness and strength, and moreover, an aqueduct in a stone channel ran through the midst of the town for the use of the offices. We pass over the multifarious and most abundant structures and buildings which waste and devastation have overthrown, and we have met with the foundations of many more thereabouts. For as the ancient historians and chroniclers testify, that among nine monasteries, in which the aforesaid bishop, father, and patron presided, and among all others throughout England, this one excelled them in the ingenuity of its construction and its surpassing beauty. In fact, in those days such an one could not be found on this side of the Alps" vii
Baldwin Brown made a detailed comparison of the passages referring to the building and furnishing of Hexham and came to the conclusion, generally accepted, that Prior Richard was basing his account upon that of the VW as a whole. (B. Brown 1925, 151-154).
Unfortunately for us, the remains, standing and excavated, do not mirror the descriptions of VW and Richard of Hexham. With the scanty evidence available, there have been a wide range of interpretations for both the appearance of the church and the significance of this appearance for an historical understanding of the 7th century Church. In the following sections, I would like to review the historical and archaeological evidence in some detail, and offer a discussion of
the various interpretations which have been brought forth for Hexham Abbey, as well as the historical significance of these interpretations.
III.2 The Crypt
Archaeological interpretations of St Andrew's, Hexham are based upon a series of unsystematic excavations conducted by CC Hodges between 1888 and 1907 while the present nave was being built: excavations within the nave by Bailey, 1978; a few fragmentary remains in the fabric of the church itself; and the extant crypt. Convention has it to begin an analysis of Hexham with the crypt since it appears intact, unlike the rest of the superstructure. This assumption has recently been confirmed through modern excavation and analysis of construction sequences and stratigraphy (Bailey 1979).
The structure
The crypt consists of a barrel vaulted main chamber about 14' x 8' with its longitudinal axis running east - west, an antechamber to the west and three passages to the west, north, and south. The western passage is a straight flight of stair leading out into the nave, the north and south passages each turn ninety degrees to the east, then ninety degrees again, then east again to the point where their respective exits are blocked (Fig. 1). The fabric of the crypt consists entirely of reused Roman stone for the walls and partially for the ceiling. The masonry is assumed to originate from the nearby Roman fort at Corbridge, *Corstopitum* (Bailey 1991, 4) which is supported by the identification of sculpture found at Hexham with that found at *Corstopitum* (Cramp 1974, 120). The mortar was used by Hodges for the comparative dating of the rest of the fabric (Savage & Hodges 1907, 4). This is now seen as unreliable following the demonstration of the circularity in Hodges' arguments for his dating sequences (Cambridge 1979, 162-64). A modern evaluation of the mortar from the crypt has not been used for comparisons in the superstructure other than a superficial comparison of the mortar in the apse as ‘similar’ to that in the crypt (Hall 1993, 42), although a forthcoming publication of mortar analysis has been promised (Bailey 1979, 155). Although the dating of the crypt to the 7th century has not been questioned, further evidence lies in the pre-Viking Anglo-Saxon construction details. Here I am following B.Brown (1925) and Taylor and Taylor (1965) for ‘pre-Viking’ Anglo-Saxon construction techniques and characteristics.
Fig. 1. The crypt at St Andrew's, Hexham, following Hodges 1899 (from Taylor 1978).
The reused Roman stone has been worked in Anglo-Saxon fashion: all the doorways have round-headed lintels cut from a single stone and the jambs are cut straight through the walls; the vault of the small chamber in the north passage is created from a pair of stone slabs to form a triangular vault (Taylor & Taylor 1965, 301). The two most well known examples of reused Roman stone, both in the north passage, are the Roman inscription stone used as a roof slab, and the Roman inscription stone which has been worked into a round-headed lintel. In light of this, and combined with further confirmation from Bailey's excavation that the crypt seems to be a primary construction (Bailey 1979, 150-54, fig. 148), the crypt can reasonably be identified with the one described in the *VW* (see above) and thus datable to c670.
In an attempt to correlate the rest of the description in *VW* with the available evidence, the remains of what would appear to be the underside of turning stone stairs where the south passage is blocked have been equated with the references to 'winding passages' and 'spiral stairs' (Gilbert 1974, 85). A closer examination of Hodges' drawings and reports, however, show the access to the crypt via a ladder in the south entrance with no sign or mention of the stairs so clearly visible today (Hodges 1919, Savage & Hodges 1907). This observation, the lack of stairs, is also the case with the John Carter sketches of 1761-1789 (Hodges 1888, cf Carter, BM MS 29.933, 29.943). The stairs could possibly have been added after the nave renovations, later to be blocked in favour of public access via the west entrance (Fernie 1983b), alternatively, what is visible may not represent stairs at all but structural undershoring (Bailey 1976, 62), reflecting Baldwin Brown's mention of both the north and south entrances being blocked as a result of underpinning for the piers of the current nave (B.Brown 1925, 33). There is no reference to the former in connection with the 20th century rebuilding, but either way it is probably correct to assume that what is visible now did not exist earlier owing to the strong concern that was especially prevalent earlier this century (when Hodges was working) to substantiate historical documents by making archaeological evidence fit the text. For Hodges to omit the stairs would seem highly improbable in light of this impetus.
previous analyses
If we return to the outline of approaches to the analysis of ecclesiastic architecture I proposed (cf above, Ch 2), where are analyses of Hexham aligned? The archaeological investigations of the crypt have given a reasonably firm date for the construction and therefore a corresponding parallel to events described in the historical texts. The formal qualities of the crypt, stylistically, morphologically and symbolically, still hold great interest because of the potential of providing hypothesis about influences upon the layout and form of the superstructure. Most previous investigations have concentrated on constructing stylistic, morphological or symbolic (iconographic) typographies to situate the crypt at Hexham within. I will turn to these first.
Earlier in this century, before modern excavation techniques were employed in archaeology, Baldwin Brown carried out a comprehensive survey of pre-Conquest art and architecture based upon formal considerations (which is still a valuable resource). I have already discussed B. Brown’s work within the context of the traditional architectural historian’s approach towards charting the evolution of an ‘Anglo-Saxon’ pre-Conquest (non-Norman) style which fits in with the continental models of development (above, p. 18). Even though his work has been categorised amongst those who advocated Romanising tendencies (Gilbert 1974, 81), he actually decried those tendencies and emphasised the differences between the laws and administration of the Roman Empire, and the not demonstrably identical forms and institutions derived directly from Rome (B. Brown 1903, 13-18). In his analysis of crypts he places Hexham as part of an early developmental sequence that derived initially from Early Christian cemeteries situated outside the city gates, with their typical burial tomb constructed as barrel vaulted chambers, which subsequently developed churches in association with them as at St Matthias, Trier (*ibid*, 33), and St Martin's, Tours (B.Brown, 1925). More recently, Biddle reviews this type of stylistic development from cemetery to martyrium to church by the 6th century in Gaul, and finds evidence for it in England (1986): e.g. a 5th c church over the tomb of Alban which was within a Romano-British cemetery; a mausoleum at Repton dated between the 7th and 9th century in an existing royal (apparently) cemetery which was transformed into Wystan’s confessio crypt below the chancel of a
corresponding church - the church itself possibly starting out as a baptistery in the early 8th century in line with the main church to the west, and then becoming incorporated into the main body by mid-9th c at the latest.
Other analyses of crypts have placed an emphasis upon the location and number of passages and the number and orientation of the chambers in an attempt to literally transpose a form and style from elsewhere. Gilbert postulates three phases of development at Hexham in order to correspond with other known types. His first phase was Wilfrid's Early Christian crypt which was then converted into a Merovingian-type crypt by the addition of the west stair, and then into a type more akin to Carolingian example by the addition of the north and south passages as a response to an increase in the number of pilgrims requiring access (Gilbert 1974, 82-87). This study conforms to the tradition of creating morphological typologies of an idealised form which develop evolution towards an idealised model and then deviations away from this model (cf above, p. 19-20). Unfortunately the modern excavation does not seem to find any evidence for this type of sequential phasing with the building of the crypt, instead it appears to be substantially single-phased (Bailey 1979).
From the perspective of the iconographic art historian, Fernie, using the descriptions in Gregory of Tours, places Hexham's crypt in direct sequential development with the two crypts at St Etienne, first the north crypt, then the south crypt, then Ripon and finally Hexham (1983b, 62) regardless of any other Merovingian examples or English examples that might occur in between, even allowing for consideration that the argument rests specifically on the development of entrances, as Bailey notes (1991, 17). Even though none of these attempts at placing the Hexham crypt within a typology have found identical crypts of specific prototypes, the authors seem to feel, but are not necessarily convinced, that the closest parallels and therefore possible inspiration seems to be found in Merovingian Gaul.
**Repton**
These analyses discussed so far have relied upon the traditional technique of explaining architectural form and arrangement through the copying of a
prototype. In order to illuminate some of the problems with this type of approach, I will turn aside from the specific question of the crypt at Hexham to a discussion of two different analyses which were performed upon the crypt at Repton. The crypt at Repton has recently been subjected to a detailed archaeological excavation and it is a comparision of the approach of the excavator Biddle (1986) with the analysis of the crypt by Fernie (1989) which I will review. This therefore is a comparison between an archaeological investigation with an investigation from a more traditional perspective within architectural history.
I would completely agree with Fernie’s insistence upon a blending of the three ‘tools: documentary or written evidence, archaeological or physical investigation or the fabric, and the visual or architectural analysis of the design’ (Fernie 1989, 19). The crux of the matter is that whereas many historians, archaeologists or architectural historians feel they are doing exactly this, most, and I think this includes Fernie himself, fall short of a blend of investigative analysis employing all three aspects, instead using superficially gathered evidence other than their main focus as almost incidental support for their argument.
Fernie’s cursory perusal of the archaeological analysis for the dating for the crypt at Repton illustrates this point. His discussion of the relevance of the columns to the framing of a place of sanctuary, especially that of a martyr, could be quite revealing in terms of the layout of a martyr’s crypt or reliquary crypt and he backs this up with eight examples of spiral columns directly associated with the burial of a saint or the demarcation of sanctuary (which in terms of evidence for early Christian monuments relating to the British Isles, is not a small number to be scoffed at). The examples Fernie uses are, with the exception of the Constantinium tomb of St Peter in Rome, mid-eleventh to mid-twelfth century - a gap of at least two centuries after the ninth century martyrdom of Wystan (849), and the possible terminus of Repton as a focus in monastic terms because of Viking activity. The problem with this kind of stylistic connection is that the crypt or structure becomes decontextualised from the immediate historic circumstances. What would be more interesting would be to look at the flow of
information and ideas between St Peter’s tomb in Rome (with its spiral columns repositioned by Gregory previous to the 9th c *terminus* under discussion) and the church of Repton. The relationship between the overlordship of Mercia and the authority of Canterbury is one area for a probable flow of information (cf Cubitt 1995, 205-238), the explicit connection made by Eadmer between the early crypt at Christ Church, Canterbury and the tomb of St Peter\textsuperscript{viii} (Biddle 1989, 7) or the general symbolic influence of St Peter’s upon the Anglo-Saxon church (O Carragain 1994). To further the symbolic implications, attention given to this scriptural origin of the idea of martyrs being placed beneath the altar (Fernie 1989, 24) and an exploration of the concept of the demarcation of sanctity through architectural expression (of any kind) in more detail, could also have led to some more fruitful avenues for understanding.
Biddle and Taylor’s analyses might, in the first instance, appear to be too rigid in terms of sequencing tied into the historical framework (Fernie’s complaint), however, Biddle’s postulation for a series of alteration and expansion (Biddle 1986) is not actually that rigid. What Biddle is discussing is the development of the cult of relics in relation to archaeological evidence, a thoroughly architectural discussion of form and iconography of the kind Fernie seems to be calling for, which also takes into account historical circumstances and textual evidence. Moreover, Biddle candidly states that his reconstruction sequence is probable, not definite: “These [considerations of the *passio*’s statement about Wystan being buried within his grandfather’s mausoleum] do not help in deciding the function or the exact date of the original structure” (*ibid*, 22). Biddle combines the archaeological evidence for the mausoleum (built between the early eighth and the early ninth century, with minimal phases involving first the insertion of the windows, the construction of the vaults and the columns, the incorporation of the above-ground structure into the church, then the addition of the passages; then the construction of the defensive structures and finally the termination of activity at the monastery at the time of the Viking occupation of 873-4, if not earlier), with an exploration of the textual evidence and a lucid consideration of the development of *confessio* and relic crypts on the continent and in Britain.
With all these considerations, Biddle produces a very logical argument for a possible reconstruction sequence.
I feel that the Biddle analysis, whilst admittedly not considering in detail the specificity of the columns used in Wystan’s crypt other than an earlier reference to their derivation from the columns of St Peter’s as a symbolic representation of Peter (ibid., 5), is a better example of the attempt to blend archaeology, historical documentation and architectural ideas than is Fernie’s own analysis. The claim that Biddle is guilty of a one-to-one rigid correspondence with the documents is overstated. Rather, Fernie does not fully explore the documents or the archaeology himself. He begins with a discussion of the ideational which may have impact upon the use of certain forms. Fernie then continues with an oblique comment about Biddle not discussing the implications of the burial of a secular person under a chancel which seems to indicate that he feels this is so obviously erroneous on Biddle’s part that it does not need comment. Fernie, however, does not discuss the implication himself except to cite Revelations in support of the placing of martyrs beneath an altar (1989, 24). In the same article as the discussion of Repton, Biddle does discuss the evidence for the burial of royal and high status ecclesiastics on the axis to the east of the church, such as at St Augustine’s and St John’s (1989, 11-13). The implications of this evidence is that there is always the possibility that when the mausoleum was converted into a crypt, the eastern addition to the superstructure did not actually function as the sanctuary, but was considered to be an eastern chapel (such as the Old Minster, Winchester). Regarding the placement of altars in chancels, textual analysis and archaeological evidence has shown that generally altars were originally placed before the chancel arch and the movement eastwards into the sanctuary was a later development (Taylor 1961, Parsons 1989). Biddle’s attempt to understand the development of the crypt in the light of the historical evidence also points out an important factor: Wystan was probably buried as a ‘royal’ rather than as a ‘saint’ along with the members of his line from which he was descended.
The next area of discussion is Fernie’s specific discussion of the columns, which he uses as important indicators of the date of the crypt. He gives no actual
evidence for his supposition of a ninth century date for the columns, however, other than their relation to the Anglo-Saxon columns of Durham, which is a circular argument in that his evidence for the Durham columns being of Anglo-Saxon design seems to reside solely on their stylistic similarity to the columns at Repton. In addition, he makes no attempt to connect historically the Constantinium/Gregorian tomb of St Peter’s or the mid-tenth to mid-eleventh century examples he cites to Repton. On the other side (in the sense of timescale), whether considering the construction of Durham or of Repton, there is one important example of spiral columns that Fernie neglected to mention: this is St Magnus Cathedral, Kirkwall, Orkney - a Norse period cathedral which seems to have a definite connection and a possible overlap in construction date with Durham Cathedral. Whilst I am not going to engage in an argument for the dating and or connection between Durham and Kirkwall, there is stronger possible evidence for a connection between these two, through their Norse connection, than between Durham and pre-Viking Repton. Whether this, or the idea of ‘travelling masons’ between Orkney and Durham, is spurious or not remains to be seen, but Fernie seems not to have made any attempt to correlate his evidence.
The point of this digression into a discussion of Repton has been to illustrate some of the problems with decontextulised arguments based upon stylistic prototypes. Analyses of style and form can be strong indications of possible links or connections, however, they are meaningless outside of an historic framework.
**Selective transfer**
Bailey’s most current analysis (1991) of the crypt retains Baldwin Brown’s admonition to not be so literal about Roman typological influences. He puts forth several alternative arguments assessing the crypt from the perspective of stylistic, formal, conceptual, and liturgical parallels of the continental examples. Whilst Bailey does not find exact parallels he brings forth a relevant concept following Krautheimer concerning the selective transfer of form (*ibid.*, 17) The importance of this concept is the possibility of merging influences and ideas.
Simply, selective transfer is concerned with the migration of ideas by their division into component parts and selectively retaining the most important aspects. Krautheimer's (1969) authoritative studies of the development of church architecture employs the diffusion of ideas not through the direct imitation of style but rather the re-configuration of parts intended to elicit a conceptual whole. He avoids the usual catacomb-basilica-cruciform church tautology by denying the direct typological nomenclature-function paradigm, even though he does remain within the stylistic categories of 'Romanesque', 'Byzantine', or 'Gothic'. Thus the earliest churches are not connected through their worship function (the masses putatively held in the catacombs), instead they have their antecedents in a wide range of types from private homes to law courts to market halls, with Constantine's basilica, the usual primary model, standing outside of the network of ideas as a specialised anomaly. The derivation of round baptisteries from the round, vaulted rooms of Roman baths is also disputed, functionally united in the normative diffusory view, but connected by Krautheimer to sepulchre architecture formally and conceptually through symbolic death and burial, baptism as resurrection (*ibid.*: 131-41). These examples illustrate Krautheimer's innovative stance towards diffusion of form. Simple, straight-forward copies, direct imitation, the paradigm within which other art historians such as Clapham work so hard to find the prototype-copy relationship, are not to be found in Early Medieval ecclesiastic architecture according to Krautheimer. A 'selective transfer' of parts occurs, a metonymic association with the model: "the parts which have been selected in these "copies" stand in relation to one another which in no way recalls their former association in the model. Their original coherence has been discarded. The original unity has been disintegrated and the elements have been reshuffled" (*ibid.*: 125). It should be remembered that the time period under discussion is lacking in such things as pattern books: ideas were transmitted by memory, or even if written down an architectural description is very subjective and interpretive and often inaccurate (or else we would be able to rely wholly on the *VW*). Essentially, a trade was taught by apprenticeship down through the generations with skills being lost as well as gained.
Bailey illustrates possible selective transfer occurring between the crypt at Hexham and the Church of the Holy Sepulchre in two manners: firstly, the constituent components of the Church of the Holy Sepulchre list as "a rectangular grave-chamber prefaced by a rectangular ante-chamber; a central area arched overhead, surrounded by walls and passages; an entrance to the east" (Bailey 1991, 21). There are definite similarities to the character of Hexham described in these terms: a rectangular chamber prefaced by an ante-chamber, a central area arched overhead (barrel-vault), surrounded by walls and passages, an entrance passage to the west. The discrepancy in orientation could simply have to do with the difference between early western chancels and later eastern chancels, in other words 'an entrance from the main body of the church'. The second manner of selective transfer in Bailey's example refers to the Holy Sepulchre in terms of orientation and measurement: Christ's tomb located in the north and described as 7 "feet" wide. That term is ambiguous and Bailey notes that in Drusian (Germanic northern "foot") terms the width of the chamber of Hexham is 7 "feet" (ibid., 22). The emphasis to the north also appears in the crypt at Ripon, which shares many similarities with Hexham, in the layout and measurements (which I will return to later), and in construction details (ibid., 6).
Selective transfer would shift the emphasis from direct stylistic prototypes (even though Bailey does continue on in his own paper to attempt to find continental analogies for western corridor types and annular types) to a consideration of ideas. The reconfiguration of form would therefore rely more upon the intended use of the structure and the effect which was being sought. I will turn to the function and layout of the crypt in order to elucidate this. The traditional assumption for the function of Hexham's crypt was to contain relics. There is some textual evidence for Wilfrid being an avid relic collector. Stephanus' repeatedly tells us of Wilfrid's acquisitions on his visits to Rome: "So the servant of God, with the aid of the holy relics he found there, setting out in the peace of Christ, returned safely to his father, the Archbishop of Lyons..." (VW V); "he also obtained from chosen men a great many holy relics, for the edification of the churches of Britain, writing down what each of the relics was and to which saint it belonged" (VW XXXIII); and again, "but our holy bishop, in all obedience,
visited with his friends the shrines of the saints, and according to his habit, collected from elect men holy relics authenticated by the names of saints..." (VW LV). What Stephanus does not explicitly state is the deposition of any of these relics within the crypt at Hexham. The tradition of the crypt containing relics is derived from a later source. Ailred of Rievaulx relates that Eilaf transferred the relics at Hexham because he felt it unworthy that they should be hidden away underground (B.Brown 1925; Hinds 1896, 122)
**the cult of relics**
Furthermore, the attempts at equating the crypt with continental *confessio* crypts and *martyrium* has rested upon the tenet that the main functions of a crypt were to contain relics. I would like to investigate further the development of the cult of relics, specifically what was understood to qualify as a relic, as it pertains to seventh century Anglo-Saxon Christianity and the physical implications which might be understood from this. Recent studies have concentrated on the early cult of saints, from its origins in Rome (and earlier in pre-Christian times) through the ninth century and beyond. Specifically I will be referring to the work of Rollason (1989) and his investigations of the cult of saints in Anglo-Saxon England, P. Brown’s (1981 & 1982) study of the development of the cult of saints, Biddle (1986) and Thomas’ (1973) work on an archaeological perspective of the cult of relics.
It has been recognised that saint’s cults were a transformation of the hero cults of pre-Christian society into a model of heavenly intercession on earth which the converting populaces were able to adopt (Rollason 1989, 4-5). The power of saints to perform miracles and intercede also extended into their physical associations. The saint was viewed as "patron (*patronus*) who exercises his ideal power (*potentia*) through his physical presence (*praesentia*)" (Biddle 1986, 1; cf. P.Brown 1981, 86-127). This power (*virtus*) remained in the physical remains of the saint after death, and, by extension, with any object associated with that saint in life. The tomb of a saint became "a locus where earth and heaven meet in the person of the dead, made plain by some manifestation of supernatural power - some "virtus" - of some "miraculum", some wonderful happening" (P.Brown
This very early association of a saint’s tomb being revered and venerated because of the duality of the saint’s presence in his/her physical remains as well as in heaven became extended over time to this *virtus* residing in clothing, jewellery, and possessions of the saint. Eventually anything touched by a saint in life or after death (for example, the water the corpse was washed in) became imbued with *virtus* and had miracle working powers. The body of a saint, flesh and bones, would be the primary or major relics venerated. The secondary or minor relics were those objects physically associated with the person of the saint. Part of the proliferation of secondary relics was due to the official stance of Rome which looked askance at the dismemberment of a saint’s body for distribution of relics, to the point of death possibly being visited upon those who disturbed the remains (Rollason 1989, 25-27). Rome actively encouraged the development and distribution of secondary relics throughout the Western churches. Secondary relics therefore could be as insubstantial as fragments of cloth, slivers of wood, a bit of soil, or a few drops of water. As much as secondary relics were empowered through their previous physical association with the saint’s person, the efficaciousness of this *virtus* was only activated through physical contact. Repeatedly in Bede, in Gregory of Tours and in other writings and *vitae*, we are told of miracles occurring after *contact* with a saint’s relics. Prevention of contact, as part of controlling the relics, could have traumatic results (P.Brown 1981, 87-88). Therefore a variety of artefacts to house these secondary relics were developed. These could range from a simple pouch or an ornament with a cavity to the 7th-9th century ‘house’ reliquaries provenanced to England, throughout the Continent and to Ireland, (Thomas 1973; Rollason 1981, 29-33). As Thomas has demonstrated (1973) these reliquaries were designed for access to their relics.
By the seventh century in Anglo-Saxon England, a complex understanding of the nature of saints’ relics, their associative powers and the housing of both primary and secondary relics existed. Since prior to the twelfth century there was no formalisation of the canonisation of a saint, the transformation of a person into a saint derived from different traditions, almost localised, based around the attitude of the living towards the corporeal remains of the deceased (Rollason 1989).
These traditions became an almost formulaic ritual for converting a corpse into a relic with discernible regional variation in practice. Roman practice inevitably begins with the location of a martyr’s body and the veneration of the tomb or grave. These *martyria* were extramural places of devotion which almost inevitably developed a church around the martyr’s resting place. The evolution of the Roman *martyrium* (burial tomb) into *confessio* crypt-shrines was well developed by the 8th century and appears to refer back to the elaborate enshrinement and renovation of St Peter’s tomb by Gregory the Great. Importantly, the Roman practice of transformation of a person’s corpse into a saint’s primary relics retains the crypt/tomb as the focus for veneration: “enshrinement was always in the crypt, not on the floor of the church” (Rollason 1989, 54).
The distaste and prohibition felt in Rome towards the disturbance of the remains of a saint did not have as lingering an effect in the provinces. As early as the 4th century, Ambrose is said to have translated the relics of two saints from their original burial places (and the associated churches) into his new basilica for veneration (Biddle 1986, 3). Here we see the beginning of an important difference between the Roman attitude towards the primary relics and the practices which were firmly entrenched in Gaul by the 7th century, that of *translation* of a saint’s remains (Rollason 1989, 49-51). Additionally, the Gaulish evidence for the development of crypts for this period seems entirely to be based upon the grave of a martyr, there is no evidence until the ninth century for the building of a crypt specifically to hold the translated primary relics of a saint (*ibid.*, 55) It is clear from Bede (e.g. Earcongota and Ethelberga, *HE*, III.viii; Oswald, III.xi; Aidan, III.xvii; Cedd, III.xxiii; Cuthbert, IV.xxviii; etc.) as well as other *Vitae* that translation of the body of a venerated person was a part of the Anglo-Saxon ritual of transformation into a saint: exhumation and cleansing or re-dressing of the corpse (which conveniently created secondary relics), translation into a new coffin, then elevation to a shrine within the main body of the church, on the floor of the church. Whilst this practice differed from Rome, the prescription towards damaging the corporeal remains stayed in effect throughout this time. There is no evidence for the dismemberment and
distribution of parts of the saint’s body in Anglo-Saxon practice, the exceptional cases, such as Oswald’s head and arm, were situations where the circumstances of the death of the person had caused the dismemberment of the body.
The original burial places prior to translation might also inform us about the development of the cult of relics by the Anglo-Saxons. Bede’s mentions of the burial of important persons in the porticus of the church are too numerous to cite, but the tradition of burial in the porticus or near the church seems to have been well established. Power and politics were both heavily tied up in the canonisation of saints and in the creation of a particular saints’ cults, as in the use of the promotion of the cults of Edwin, Oswald and Cuthbert by the competing Deiran and Bernician lineages in the 7th and 8th centuries (cf Kirby 1974). Additionally, the background of the pool of persons eligible for sainthood comes from the nobility and aristocracy who were the patrons, founders, and members of the Anglo-Saxon ecclesiastic communities. Only persons of high standing and esteemed to be worthy of reverence could be buried within or near the church walls. This custom appears to be as important for the nomination of a saint, burial within the sanctity of the church, as the translation and enshrinement of the corpse. Cuthbert’s deathbed concession to be buried within the church of Lindisfarne for ease of visitation and control of access to his remains overtly recognises the need to control the relics: “in short, the reason given was that burial in the church enabled the religious community to control the saint’s cult or, looked at another way, to gain undisputed possession of the relics and their miraculous power” (Rollason 1989, 42). Biddle’s consideration of saints’ resting places from the later saints’ lists finds structural evidence for 24 of the 85 locations named (1986, 6). Of those which can be considered as dating up to through 7th century and which have evidence for the type of resting place (twelve), eight of the known resting places were either in porticus or the body of the church.
The remaining four from Biddle’s list, St Alban’s, Canterbury, Glastonbury and Repton all mention burial in a crypt. I should like to consider the evidence for these ‘burials’ along with the evidence for the other known crypts, Hexham,
Ripon, Brixworth and Wing. St Alban’s is without a doubt, early. The early church is 4th/5th century and was built directly over Alban’s *martyrium*. This is a classic example of the Roman extramural cemetery - *martyrium* - church development (Biddle 1986, 13). Alban was a 3rd century martyr living in a Roman province which continued as Roman through at least the 4th century and the development of this site therefore parallels Roman practice and custom.
Canterbury as always is presented as the best of the examples for every aspect of church architecture. We have a textual description of a *confessio* crypt explicitly mirroring Gregory’s St Peter’s in Rome (cf. above and *intra.*, n.viii), unfortunately we have no physical evidence with which to compare it and the date of this crypt has never been decisively determined (Cherry 1976, 175). Canterbury having a *confessio* crypt modelled on St Peter’s would not be surprising since it was the main seat of authority in Anglo-Saxon England for Rome as well as the strong links between Gregory the Great and Canterbury. These considerations aside, the only mention of an actual burial there is of the 11th century St Dunstan (Biddle 1986, 7). Glastonbury is problematic (cf also Cramp 1976c, 241-46). Two *hypogeum* (stoned lined sunken chambers) existed as part of the early phase (5th-8th century) of the site in a cemetery which also contained a wooden structure usually identified as ‘the old church’ from the textual sources (Radford 1981). These *hypogeum* are not ‘crypts’, rather they are a way of marking out graves for veneration, either a founders’ grave or someone else of importance in the cemetery. These two graves were incorporated into the body of the stone church built around the 2nd quarter of the eighth century, which possibly had two phases (Radford 1981). The first building, c720, was a simple structure where a shrine near the altar would have marked the position of the saints’ graves. The second building, c760, is seen as a much more elaborate structure with a raised platform to allow access via a small stairs to the relics below (Radford 1981). This interpretation of the evidence for the later eighth century church rests solely on Radford, who has been known to overemphasise the Christian and historical interpretations of a site to fit the textual evidence (for example Tintagel’s previous interpretation as a monastery and its current understanding as a royal site after the recent excavations). Nevertheless, the first phase for Glastonbury, up to the eighth century, did not have a crypt, as such,
although the treatment of the *hypogeum* fits well into the *martyria* tradition. Repton has been discussed previously (cf above), however I would like to looking at the phasing within the context of burial practices. The first phase appears to have been a free-standing mausoleum built no earlier than c715. This was converted into a *confessio* crypt, in several stages, and incorporated into the main church between the early (c.839) and mid-ninth (prior to 873/4) (Biddle 1986, 17-19). However, the significance of the earlier mausoleum seems to lie with a local tradition for royal tombs associated with the earlier cemetery: a second, apparently royal, mausoleum was discovered recently (*ibid.* 22). By the ninth century, the mausoleum was viewed and treated as a *martyrium* and converted into a *confessio*, probably in a deliberate attempt to promote Wystan as a saint and develop his cult as part of the power struggle which had resulted in his death, previous to that it was a royal tomb for a particular lineage of the Mercians. Hexham and Ripon have no crypt burials associated with them (Bailey 1991) nor is there any mention of their crypt used to house the translated primary relics of any saint, as opposed to specific mention of burials or enshrinement within the main body and porticus of the church (Biddle 1986, 8-9). Brixworth and Wing, which excavations have shown to probably be mid-late 8th century (or later, cf. below), do not have burials (Audouy 1984; Taylor & Taylor 1965; Cherry 1976).
summary
I feel that there is enough evidence to support Rollason’s bald statement, “it is a striking fact that in none of the cases mentioned above [Hexham, Ripon, Brixworth, Wing, and Christ Church Canterbury] do we have evidence that major relics were actually enshrined in the crypt” (1989, 54). To summarise, the general notion of ‘crypts house burials and relics’ needs be closely examined with regard to three related practices, the process of canonisation, the treatment of relics, and burial practices. In 7th century Anglo-Saxon Christianity, as we have seen, burial practices of high status people (those with the potential to become saints) occurs normally within the porticus of the church and secondarily near the walls of the church, not in crypts. Canonisation requires the translation, elevation and enshrinement of a saint in the main body of the church, usually near the altar. There is no textual or physical evidence of primary relics in a crypt, only above in the main church. Dismemberment and distribution of primary relics was not normal practice. Secondary relics could be housed in a variety of ways but physical access is required. If we have textual evidence that Hexham housed relics in the crypt (cf above) we must assume, therefore, that they were secondary relics, probably some of which were brought back by Wilfrid from his trips to Rome.
So what would be the purpose of the crypts at Ripon and Hexham? Why deposit secondary relics in a crypt? The crypt at Hexham is neither a confessio from a martyrium, nor a burial place. Sheer imitation is unlikely - architecturally it does not fit with the morphological typologies from the continent. I will now turn to a consideration of the layout and arrangement of the crypt.
the layout of the crypt
It has been supposed that the south passage at Hexham was for use by the clergy and that the public entered the west passage where they could view the main chamber with its relics through a grille in the opening between the ante-chamber and the main chamber, and then exit by the north passage (Taylor & Taylor 1965, 301, 311). This supposition is based on the belief that the south entrance exited into the sanctuary. Bailey's 1978 excavations, however, have determined that the
south wall of the nave crossed over the passage, therefore the exit would have been outside of the nave (Bailey 1978 & 1991). Bailey postulates the movement through the crypt as starting in the north passage, proceeding through the antechamber into the main chamber, then exiting via the west passage, the southern passage being reserved for clergy. This path of movement provides "a contrast of dark, disorientating restriction and sudden luminous revelation which would be dramatically appropriate for veneration" (*ibid.* 1991, 5), which Bailey feels exactly corresponds with Wulfstan’s 10th century description of a crypt at Winchester (*ibid.*). Furthermore, in view of the cult of relics, Bailey relates this path to the concept of pilgrimage outlined by P. Brown: "a sharpening of the 'sense of distance and yearning by playing out the long delays of pilgrimage in miniature" (*ibid.*, P.Brown 1981, 87), an experience heightened by the ‘opacity’ of the shrines and the rituals of control and access to the relics (P.Brown 1981, 87-88). Wilfrid’s visits to the shrines to collect relics whilst he was in Rome ‘according to his habit’, has already been noted (cf above), therefore it is not unreasonable to view the path of movement through the crypt at Hexham as outlined by Bailey as having a special resonance with pilgrimage.
But were Wilfrid’s trips to Rome significant only as pilgrimage? Although two primitive guide books to the shrines and relics of Rome were in existence (O Carragain 1994, 8), in mid-7th century Anglo-Saxon England pilgrimages to Rome on a regular basis were uncommon and there appears to be a tension between the monastic regular life and the wandering life of a pilgrim, essentially a spiritual tourist. “To go to Rome, /Much labour, little profit” (*Teicht doroim*, in O Carragain 1994, 36), or as Bede said: “As often as he crossed the sea, he never returned, as is the custom with some people, empty-handed and without profit” (*Opera homiletic* 1:13, *ibid.*). Wilfrid’s trips, however, were more than simple pilgrimages. Wilfrid’s first visit to Rome was spent learning the Gospels and rules of ecclesiastic life from Boniface the archdeacon (*VW*, V) In addition to reflecting conceptualisations of reverence for relics and pilgrimage, could there be a liturgical aspect which would involve access to the relics?
Later sources show an explicit relationship between relics, altars and processions. Rabe presents a very thorough analysis of the theological, liturgical, symbolic and spatial relationships of the Carolingian Abbey of Saint Riquier (1995, and for the following). This ambitious project, of building anew an entire monastic complex, was begun by Angilbert in the late 8th century. From Angilbert’s writings, *De perfectione et dedicatione centulensis ecclesia* and *Institutio de diversitate officiorum*, commonly known as Angilbert’s *ordo*, we have evidence of a direct relationship between spatial and liturgical practice. The *De perfectione* describes the buildings, dedications, physical arrangements of the cloister, its altars, relics and treasures. The *Institutio* prescribes, in detail, the order of the offices on a daily basis and on special festivals and feast days. An eleventh century axonometric, Hariulf’s drawing, of the monastic complex exists as part of one of the surviving manuscripts. This, together with extensive excavations by Bernard have provided us with a fairly complete understanding of the 8th century buildings. A rich and complex theological vision was daily enacted and reinforced through processions between the three churches on the site and between the many altars and shrines of the complex. These in turn were added to on the special feasts days which had special resonance with the theological debates of the day and which are noted by the church dedications themselves, the church of ‘St Richarius and the Holy Saviour’, the church of ‘Holy Mary Mother of God and the Apostles’, and the chapel of ‘Saint Benedict and the Holy Regular Abbots’. The church of the Holy Saviour contained eleven altars, the Mary church contained one altar for Mary and twelve for the apostles, the Benedict chapel contained three altars. Each altar contained relics of its primary saint (or object, for the altar of the Cross), with liturgically or thematically associated relics:
“These having been collected... we have with great diligence prepared a principle reliquary decorated with gold and gems, in which we have placed part of the above-mentioned relics,... with those for the veneration of the holy saints whose relics were seen to be collected in it under the crypt of the Holy Saviour.
Moreover, we have taken care to divide the relics of the other saints, which are noted above, into thirteen other smaller
reliquaries. ... and we have placed them on the beam that we have established on the arch in front of the altar of Saint Richarius, so that in every corner of this holy place it will be fitting that the praise of God and the veneration of all of his saints always be adored, worshipped, and venerated”
(De perfectione 2, in Rabe 1995, 122)
As well as on the special feast days, the daily liturgy and offices prescribed activity at each of the churches by different sections of the clergy. A full discussion of the liturgical orders and the spatial and symbolic arrangement of the monastery are too complex and lengthy to go into here, one example will have to be sufficient to present the complex interwoven relationships of movement and liturgy enacted on a daily basis:
At all Vespers celebrated in the normal way, when everything has been completed at Saint Richarius, let the brothers proceed by singing psalms up to the holy Passion. When the prayer has been completed, let the choirs be divided into two, of which one proceeds to the holy Resurrection, the other to the holy Ascension. Then when the prayer has been done, let one choir come to (the altar of) Saint John, the other to Saint Martin. And then afterward (proceeding) through Saint Stephen and Saint Lawrence and the other altars by singing and praying, let them come together at (the altar of) the Holy Cross.
(Instituio 17, in Rabe 1995, 118)
Parsons (1989) compares Angilbert’s ordo and Hariulf’s drawing of Saint Riquier (though he feels these sources are problematic and do not necessarily reflect the 8th/9th century) to the Regularis Concordia of the second half of the 10th century in an attempt to sketch a more generalised picture of the relationship between liturgical practice and the spatial layout of the early church in Anglo-Saxon England. The Regularis Concordia offers direct Anglo-Saxon, albeit late, evidence for liturgical processions during the daily performances of the Offices and during the special festival celebrations. It indicates liturgical procession
between the multiple churches of a community during Easter Week and other major festivals and between the shrines and altars within a church during the regular offices and services (ibid, 6). The *Concordia* also provides textual evidence for the use of porticus, upper storey chapels and oratories during liturgical processions (ibid 13-14). Furthermore, there is an implication from the texts that the main altar would need to be free-standing in front of the chancel arch in order to allow for movement around it during the performance of the liturgy (ibid 18-21). Both Angilbert’s *ordo* and the *Regularis Concordia* indicate a physically active liturgical participation by the clergy based upon regularised movement between the churches of a monastic community and, significantly for our purposes, between the altars and shrines placed throughout the body of the church. Unfortunately, this evidence is for later time periods than the time period under study. What evidence is available for any possible spatial/liturgical relationship in 7th c. Northumbria?
There is no direct, unequivocal evidence such as Angilbert’s *ordo* or the *Regularis Concordia* for Northumbrian liturgical processions of such scale and regularity in the seventh century with which to answer this question. Therefore a survey of what evidence there is for the development of liturgical practices in Rome, Gaul and Anglo-Saxon England must be considered before continuing with the specific discussion of Hexham. The latter half of the seventh century, when Wilfrid and Benedict Biscop were making their visits to Rome, saw the beginning of the formalisation of liturgical practice; by the late 7th century the *Ordo Romanus I* had developed (Noble 1995, 82). The program initiated by Gregory the Great at the beginning of the seventh century was one of ‘unity within diversity’. He actively encouraged the use of a variety of practices for liturgy and worship and to embrace local custom and turn it to Christian worship. (O Carragain 1994, 26-27;). Bede’s quotation of the letter from Gregory to Augustine most aptly sums up this position:
“...it is my wish that if you have found any customs in the Roman or the Gaulish church or any other church which may be more pleasing to Almighty God, you should make a careful selection of them and sedulously teach the Church of the English, which is
still new in the faith, what you have been able to gather from other churches. For things are not to be loved for the sake of a place, but places are to be loved for the sake of their good things. Therefore choose from every individual church whatever things are devout, religious, and right. And when you have collected these as it were into one bundle, see that the minds of the English grow accustomed to it."(HE I.xxvii)
The most common aid to liturgical practice were the *libellui*, eclectic collections of gospels, prayers, offices, calendars and various miscellany which were brought together by the individual basilicas or monasteries. The forms known from the seventh century include the Gelasian *libelli*, the Gallic *libelli* and the Gregorian. Each of these types is known from later formalised collections," introduced starting in the late 7th/early 8th century when a regularisation of liturgical practice was initiated. The Gallican *libelli* were predominantly based upon the 2nd revision of Jerome and were in use in Gaul, Ireland and North Africa. The Gelasian had a large Southern Italian influence combined with Spanish and Roman practices. The Gregorian sacramentary were based predominantly upon the practices of the basilica of St Peter’s and papal practices. (cf Cubbitt 1995, 128-52; O Carragain 1994; and also Dumville 1995; Hohler 1995; Lapidge 1985 & Gneuss 1985 for Anglo-Saxon booklists; for this and the following summary).
A considerable amount of scholarship has been spent on comparisons of surviving manuscript fragments to trace lineages, influences, stylistic developments and palaeography for the early Medieval church manuscripts. In the Anglo-Saxon church, and especially in Northumbria., eclecticism appears to be the only consistent influence. Much has been made about the Roman influences upon the scriptorium at Wearmouth/Jarrow (cf. Parks 1982, Higgitt 1966) as opposed to the ‘non-Roman’ influences upon Lindesfarne and other monastic centres (cf. Brown, 1971; Bruce-Mitford 1967; Nordhagen 1977, among others, for stylistic and paleographic influences upon Northumbrian mss.). The evidence is simply not that straight-forward. The only definitive statement which can be made is that there was no singular dominant influence
stylistically or textually. Textually (i.e. the content - which is what concerns us here), Gelasian influence has been found in two ‘Anglo-Saxon’ fragments of a collection which also has Gregorian and Gallican materials (Cubitt 1995, 133), in Bede’s *Martyrology*, the calendar of Willibrord, and other sacramentaries and calendars which also contain Gregorian elements mixed with Byzantine and other non-Roman elements (Hohler 1995, 223-230). Gallican influence has also been found extensively. Textual evidence for the Gallican influence has been found in use at Lindesfarne, in the writings of Bede and other *vitae*, in the form of liturgical blessings, the rituals described for Wilfrid’s consecration ceremony at Ripon, and two fragments of 7th c. insular gospel books whose pericope markings appear Gallican (*ibid.*, 127-32). Gregorian influence has been shown in Bede, on the Gelasian Sacramentary itself, on the Anglo-Saxon Psalters (*ibid.* 138-142) and through the transmission of Mediterranean manuscripts between the 5th and 8th century which influenced 7th and 8th century Anglo-Saxon manuscripts found on the Continent (Dumville 1995). It should be noted that in every instance where influence of one ‘type’ of liturgy is found, evidence is also found for influences of another ‘type’, and that each of the ‘types’ show mixed influences within them. Therefore I do not feel typological identification of insular liturgical traditions is very illuminating.
Rather than trying to identify a specific idealised localised model from which the manuscripts which have survived are derived from (as with the crypt typologies discussed earlier) I would like to look at the form of worship and practice which we have evidence for in the 7th century. It has been assumed that the form of liturgical practice employed by Angilbert, processional liturgy, was derived from a specific Roman stational liturgy of St Peter’s. This stational liturgy was, presumably, brought back by Chrodegang in the form of the Gregorian Sacramentary and established at Metz in the 750’s (Rabe 1995, 146; and *note vi*). It has also been assumed that this was a new form of liturgy introduced into areas where the Gallican liturgy was still the predominant form (*ibid.*, 144 for Gallican elements in Angilbert’s *ordo*). The confusion of the manuscript evidence from the 7th and 8th century does not support this view of one predominant tradition, and it is therefore likely that the Roman stational liturgy was known in Gaul and
Anglo-Saxon England prior to the introduction of the Gregorian Sacramentary in the mid-8th century.
The stational liturgy of St. Peter’s was an elaborate processional, enacted 160 days out of the year, especially during Lent, by the Pope, or his representative, which employed a processional visit from St Peter’s to the scattered basilicas of Rome, and as has already been mentioned, appears to have been fully developed as an *ordo* by the late 7th century (O Carragain 1994, and for the following). The importance of this procession was to strengthen the concept of ‘diversity within unity’ of the Church, by including the different basilicas within the procession and by the knowledge that the Pope was celebrating mass at the same church on the same days each year. For instance, “the stations for Easter Week provided a summary of the major basilicas, and also of the major figures (including Christ and Mary) mentioned in the Roman Canon: Easter Sunday, Mass at Santa Maggiore; Easter Monday at St Peter’s; Tuesday, at St Paul’s outside the Walls; Wednesday, at St Lawrence’s outside the Walls; Thursday, at SS Apostoli; Friday, at S Maria ad Martyres (the Pantheon); and Saturday, at the Lateran (the Basilica Salvatoris).” (*ibid.*, 9-10). As O Carragain has pointed out, Wilfrid would definitely have witnessed these processional rituals and probably participated in them whilst at Rome under Boniface.
There is manuscript evidence for the Roman stational liturgy having been transmitted outside of Rome prior to the mid-8th century. The earliest English survival of a fairly comprehensive Roman stational list is copied in an Anglo-Saxon hand of c. 700 into the Burchard Gospels from an archetype of the 650’s (*ibid.*, 8; & n.40, 54). The liturgical practices of 7th century Rome are also reflected in another manuscript in an Anglo-Saxon hand of the early 8th century and contains the Roman gospel lections, epistle lections and stational list (*ibid.* n.88, 63-64). The Gelasian Sacramentary is considered to be based upon a *libelli* collection from the early 7th century of the Roman stations and the masses at St Peter’s (Cubitt 1995, 132-33), and the ‘Gelasian’ character of Willibrord’s calendar (copied between 703-721) has already been mentioned (see above).
Other manuscripts show elements of the Roman stational system: pericope notes
from the Roman system were added to an Italian manuscript (now at the Bodleian) in a 7th century Anglo-Saxon hand (*ibid.* 140); the 8th century manuscript at Wurzburg (see above) is a fairly comprehensive Roman lectionary (which includes stations and feasts, epistles and pericopes) and are viewed as ‘purely Roman and very ancient’ - the epistles date from c.550 and the Gospels c. 645. (*ibid.* 140).
Aside from the Gelasian and Gregorian direct parallels (quotations, saints lists, references) in Bede’s writing, in the other *vitae*, in calendars and martyrologies, psalters and antiphoners (Cubbitt 1995, 132-151; Hohler 1995, 223-30), descriptive passages in the documents can also point to the knowledge of the Roman stational system. O Carragain presents three texts, two are the descriptions of Ceolfrith’s departure from Wearmouth/Jarrow (*HA* XVII; *HAAnon* XXV-XXVII) and the third is the Dream of the Rood (concerning which the author presents strong thematic and symbolic evidence for its having been composed in the 7th century) (1994, 12-18) Ceolfrith led a procession around Wearmouth, visiting the churches of St Peter, St Mary and St Lawrence, also the three patrons of Rome, singing psalms and antiphons, which ended in a worship of the cross. O Carragain suggests that Ceolfrith’s worship of the cross refers directly to the cult of the Holy Cross instigated by Pope Sergius (687-701) and to Roman Good Friday ceremonies (*ibid.* 14). He finds parallels for this reference to the cult of the Holy Cross in the Dream of the Rood (referred to in the text as ‘the Old English Crucifixion Poem’). In the poem, Christ’s followers gather together at the Holy Cross in Jerusalem, which is “strikingly reminiscent of the way that the Roman clergy, with the Pope at their head, came together at the basilica of Holy Cross in Jerusalem at the night hour on Good Friday” (*ibid.* 15).
The relevance of stational liturgy to provincial churches was, like the celebration of relics, the way of uniting a far-flung community in communal actions. The stational system would function on several levels outwith Rome. Firstly, it would enable those who had visited Rome to recall the shrines and basilicas there. It would also enable those who had not been to Rome, through the use of lectionaries and stational lists which provided them with the names and relics of
the basilicas and saints of Rome, to feel they were participating in rituals enacted on the same day and using the same Mass as in Rome. “A stational list helped Northern monks, whether they had been to Rome or not to deepen their sense that at Mass they were ‘communicantes et memoriam venerantes’ with the other members of the Church throughout the world and in heaven” (ibid. 9). It should also be recalled that the three churches built at Hexham were dedicated to three principle Roman saints, St Andrew, St Peter and St Mary.
**Summary**
In summary, returning to the layout of the crypt (cf. Fig. 1), from the preceding discussions it can be seen that whilst the crypt would have held secondary relics (it certainly was never intended as a burial crypt), access to these relics would have been required on a more fundamental level than simply as a place for veneration by pilgrims. The crypt with its relics would probably have functioned as an important part of the liturgical orders following parts of the Roman lectionary. Part of the clergy would probably access the crypt during processional prayers from the main body of the church, pausing in the western ante-chamber and then into the main chamber and then exiting on each side to continue to other altars and shrines within the church. As well as general archaeological and textual evidence for multiple altars within churches from this time, Bede specifically tells us that Acca, Wilfrid’s successor, collected relics and “… put up altars for their veneration, establishing various chapels for this purpose within the walls of the church” (HE V.xx, emphasis added)\textsuperscript{xi}. Special feasts, such as Easter week, would have involved the entire community in one form or another. Access to the relics during ‘normal time’, not during feast days or during performance of the liturgy, may still have plausibly started in the north passage, away from the main activity within the church. An important aspect of the *virtus* of relics, however, was physical proximity, therefore the pilgrims, visitors, or brethren wishing to pay a visit probably would have moved from the north passage into the ante-chamber, then into the main chamber itself, and exited through the less elaborate south passage. This path of movement retains the "microcosm of pilgrimage" effect, allows accessibility to the relics, and does not disturb any liturgical activity in the main body of the church.
My understanding of the crypt requires an eclectic application of selective transfer, both physically and conceptually, and an understanding of the crypt as not an architectural shell or an aside, but as an integral part of practice, both liturgical and cult. The use of selective transfer in this way combines aspects of analytical interpretation and creates the opportunity to flesh out the logic involved in the creation of a structure. The interpretation outlined above follows on from a contextualised discussion of the physical (architectural) influences, the functional requirements and the spatial requirements culturally and liturgically. Therefore, the crypt at Hexham can be seen to fulfil and represent a variety of needs, subtly interplaying with each other to produce the final form.
Iconographically, symbolic references are invited through the representation of Christ's tomb in the formal elements as well as in the (Drusian) measurements. A small altar, (there was evidence for an altar within the crypt at Ripon, (Bailey 1991, 20)) with its secondary relics, placed underneath the nave of St Andrew’s, accessible through corridors, could simply represent an amalgamation of the martyria and confessio which Wilfrid was familiar with in Rome and Gaul. Certainly, the crypt bears little direct resemblance to the confessio of St Peter’s with its elaborate columns and furnishings, however it does resemble the actual crypt underneath St Peter’s, a central space accessed by long corridors entered into north and south of the main shrine above (cf Taylor’s drawing, Rollason 1989, 55). Bailey notes the development of a larger central space in crypts to accommodate the liturgical requirements of the Benedictine orders in the 8th century (Bailey 1991, 20-21). The crypt at Hexham also fulfils liturgical needs in the practice of regular orders as well as stational processions on feast days. Finally, the experience of moving through the crypt recalls the experience of pilgrimage as well as recalling stational liturgy. The crypt at Hexham stands outside of easy typological classification, however it must be remembered the uniqueness of Hexham as a new foundation without either major relics or the grave of a saint for a crypt to develop around and a church to develop around that crypt. Whereas the continental and Roman crypts developed from tombs into shrines, places for veneration of the primary relics of a saint, the crypt at Hexham seems to have combined the experience of pilgrimage shrines with the liturgical
needs of the monastic community. This would be an ample opportunity to create something new which reflected the current (7th century) ideological culture within a Northumbrian context, as Angilbert was able to do at Saint Riquier.
III.3 Wilfrid of Northumbria - Historical Background
The preceding discussion of the crypt at Hexham was designed to bring out several promising strands of inquiry by considering the concept of ‘crypt’ within the 7th century cultural milieu. The crypt can now be seen as having been created from a convergence of Gaulish, Roman and Anglo-Saxon practice (not styles) as funnelled through a Northumbrian bishop, Wilfrid. Therefore, an exploration of the life and activities of Wilfrid, his career, travels and relationships, will provide historical information within which we can contextualise the foundation and building of Hexham. The textual information available for the life of Wilfrid is provided from a variety of sources. First and foremost are the *Vitae Wilfridi* and Bede’s *Historia Ecclesiastica*. These texts are further supplemented through Bede’s *Historia Abbatum*, and other saint’s *vitae* and Church documents such as council documents. Unless otherwise noted, the subsequent information is primarily following the *VW* and *HE*.
Wilfrid’s life can conveniently be divided into two periods, of around 30 years each, centred on 678, the year of his first exile from Northumbria. Prior to 678 we see Wilfrid building up his career and becoming Bishop of York, which covered all of Northumbria. The years starting in 678 began what could be described as the ‘turbulent’ years, which lasted until 706. This was followed by four peaceful years until his death. The foundation and building of Hexham occurred in the first half of his adult life, prior to his expulsion in 678. I shall begin with an outline of Wilfrid’s life and career up until this point.
Wilfrid was born in 634, the year of the death of Edwin, the first Christian king of Northumbria, and the succession of Oswald. It is plain that Wilfrid was of noble or wealthy birth, for at the age of 14 when he left his father’s estates, he was able to provide for himself and his servants in a manner respectable enough to be presented at the royal court of Queen Eanfled (wife of Oswiu, 643–671) on the recommendation of his father’s companions. He then accompanied one of Oswiu’s noblemen, Cudda, to Lindisfarne where he remained a year or two studying. He returned to Queen Eanfled, approximately aged 17, with a desire to journey to Rome. She extended her patronage to Wilfrid and sent him to King
Earconbert of Kent where he was detained whilst waiting for suitable travelling companions. He spent a year there occupying himself by studying, then travelled to Gaul with Benedict Biscop (Baducing), another Northumbrian nobleman, in 653. They parted in Lyons, when Wilfrid decided to remain there under the patronage of Archbishop Aunemundus, brother of the then ruling Dalfinus. He reached Rome in 654, obtained the patronage of Boniface, the Archdeacon of Rome, and was instructed in Roman canon law, the four gospels, the correct means of calculating Easter and other current Roman orthodoxy. He returned to Lyons and remained for a further three years, receiving the tonsure from Aunemundus. He was on the verge of being made his heir when Aunemundus was killed during a palace revolution. Wilfrid was spared and returned to England in 658 where he managed to befriend Coenwalh, king of the West Saxons who recommended him to Alhfriht, Oswiu's son and subking of Deira. Alhfriht extended Wilfrid his patronage, and apparently, his friendship. From Alhfriht, Wilfrid received land at Eastanforda and, in 660, the monastery of Ripon (which had, up until this point, been occupied by Irish monks, including Cuthbert (Bede’s *Prose Life of Cuthbert*, VIII). In 663, Alhfriht persuaded Agilbert (bishop of Wessex, 648-660), in Northumbria at the time, to ordain Wilfrid priest. 664 was the year of the Synod of Whitby, hosted by Abbess Hild and attended by the kings, Bishop Colman of Lindisfarne, and Agilbert. Wilfrid was chosen as spokesman for Agilbert concerning the Roman calculation of Easter. Immediately after the Synod, Wilfrid was elected to the episcopacy of Northumbria and left to be ordained in Gaul, again by Agilbert (now bishop of Paris) assisted by twelve other bishops. Upon his return to Northumbria in 666 he discovered Chad had been consecrated in his absence, and his patron, Alhfriht, either exiled or killed\textsuperscript{xiii}. Between 666 and 669 he retired to Ripon, from where he was summoned to Kent to ordain priests during the absence of an archbishop. During this time he also performed episcopal duties and received land from Wulfhere and founded monasteries in Mercia. He returned to Ripon with cantors, masons, and artists, and introduced orders there. The new Archbishop of Canterbury, Theodore, reinstated Wilfrid as bishop of York in 669. From 669 - 678, as Bishop of York, Wilfrid restored and received endowments for the church at York, built and furnished a new church at Ripon, received extensive lands
‘deserted by the British’ around the Pennines, received Hexham from Aethelthryth, Ecgfrith’s first wife, and built St Andrew’s. As well as his own endowments, he provided assistance to Benedict Biscop in the establishment of Wearmouth (HAA non V-VIII, cf. Goffart 1988, 279). At some point before 676, he also enabled Dagobert II to return to Gaul from his exile by providing him with arms and a retinue. Wilfrid was himself driven into exile in 678 after becoming embroiled in a controversy with Ecgfrith (670-685), Oswiu’s successor.
What can be deduced about Wilfrid’s career and influences up to this stage of his life? On the face of it, there are three interplaying arenas: his ability to attract royal patronage, his building up of land grants, and his involvement with the higher end of ecclesiastic politics. His royal patrons in England read like a ‘who’s who’ compilation for the mid-seventh century: Eanfled, wife of Oswiu, king of Northumbria; Earconbert, king of Kent; Coenwalh, king of the West Saxons; Alhfrith, subking of Deira and son of Oswiu; Wulfhere, king of Mercia and Aethelthryth, first wife of Ecgfrith, king of Northumbria, successor of Oswiu. He also had the ability to receive the patronage of (at the very least, the attention of) the higher levels of the ecclesiastic echelon: in Gaul, he had a very close relationship with Bishop Aunemundus, referred to as ‘his father’. Aunemundus offered him a bishopric, extensive lands, his daughter as wife, and intended to make Wilfrid his inheritor. No less a person than Archdeacon Boniface, the Pope’s ‘right-hand’ man, extended his patronage to Wilfrid during his sojourn in Rome (cf. O Carragaign 1994 for discussion of Boniface). He was the spokesman for Agilbert at the Synod of Whitby and it was Agilbert who made him first a priest, whilst still in England, then hosted him and consecrated him in Gaul while bishop of Paris. The affairs of Theodore intertwined on many occasions with those of Wilfrid (cf Mayr-Harting 1991, 135-39 and Cubbitt 1995 for summaries of Wilfid and Theodore). Even though his relationship with Theodore was fraught, at the time of the foundation of Hexham, Theodore had recently supported and reinstated Wilfrid as the Bishop of York, an enormous area covering all of Northumbria which grew with the good fortunes of the king: “the ecclesiastical kingdom of St Wilfrid of blessed memory increased to the
south among the Saxons and the north among the British, the Picts, and the Scots” (*VW* XXI). Wilfrid was not only on the receiving end of patronage. He appears to have significantly aided the return of Dagobert II to the throne in Gaul, and assisted Benedict Biscop’s foundation at Wearmouth.
Finally, the tangible results of these patronages are seen in the considerable landholdings accumulated by Wilfrid in this first half of his life (for a thorough discussion of Wilfrid’s landholdings, see Roper 1974). He received the monastery at Ripon, including its lands and endowments, endowments for York, extensive landholdings around the Pennines and the foundation and endowments for Hexham. He also received estates and landholdings in Mercia. The introduction of bookland, land granted through charter, was intimately bound up with church estates and was a growth industry in the latter half of the seventh century. Land and endowments granted to a church were held in perpetuity by the church and did not revert back to secular ownership (Wormald 1984, 633-35). Wilfrid considered himself, not the Church, as the owner of his estates (Roper 1974, 63) as did the founders of other monastic communities such as Benedict Biscop with Wearmouth and Jarrow. Besides endowments and grants from patrons, the members who joined his monastic communities also provided endowments: “almost all the abbots and abbesses of the monasteries dedicated their substance to him by vow, either keeping it themselves in his name or intending him to be their heir after their death” (*VW* XXI). By the standards of the seventh century, Wilfrid was a very powerful and wealthy man.
Wilfrid’s model for the relationship between ecclesiastic power and secular politics points to the influence of Merovingian Gaul. A full discussion of Merovingian ecclesiastic and secular power and politics is outwith the scope of this text (cf. Wood 1994, esp.192-272; Goffart 1988), however the episode with Wilfrid and Aunemundus in Gaul illustrates the level of ecclesiastic involvement in secular politics in Gaul. Aunemundus was Archbishop of Lyons and brother of count Dalfinus. Aunemundus was powerful enough to offer Wilfrid “a good part of Gaul over which you shall be permanent governor” (*VW* IV), and powerful enough to be executed in a bloody coup where Balthild, wife of Clovis
II and regent for Clothar III, probably acting in concert with Ebroin, mayor of the palace, ordered the death of ‘nine bishops’ (FW VI; Wood 1994, 198-201). Wilfrid seems to have directly continued his involvement in Gaulish politics by aiding Dagobert II to return to the throne. Additionally, in the latter half of his life, Wilfrid was actively involved in ‘king-making’ both through his support of Caedwalla, king of the West Saxons (VW XLII), and the young Osred (FW LIX).
Extensive landholdings by the Church also seems to be modelled on the Merovingian Church. Previous to the Synod of Whitby, the Irish mission from Iona had the most pervasive hold in Northumbria, yet the landholdings by the monastic communities were comparatively insignificant, even though there were foundations outside of Iona established. There was a sudden growth in land grants after the Synod of Whitby when the ‘Irish’ church was replaced by the growing supporters of the ‘Roman’ church and its Anglo-Saxon establishments. Wilfrid’s landholdings are not the only substantial landholdings by an ecclesiastic in the period after the Synod of Whitby, but his endowments previous to his first exile are by far the largest. It has been estimated that one third of land under cultivation in Gaul was owned by the church at this time (Roper 1974, 65; Wood 1994, 203-14). Support for Wilfrid’s influence by the Gaulish church also comes not just in the pomp with which he was consecrated in Gaul, but in the considerable amount of time he spent there previously and at the time of his consecration as bishop. His elevation to episcopal status in Gaul is based upon his desire to find ‘orthodox’ bishops, which were not available at this time, however, what was he doing there for so long (other than his slight delay in Sussex on his return journey)? Unfortunately there are no details available other than about his consecration, but there is a strong sense of the partial feelings Wilfrid had towards the the Frankish church and their display of das tremendum (Mayr-Harting 1991, 132-34).
Finally, the question of the influence of Rome upon Wilfrid. It is obvious that the outward motivation for Wilfrid’s rise to episcopal status was the implementation of Roman orthodoxy in Northumbria. He spent an intensive year of study in Rome under Archdeacon Boniface, learning the correct canons,
liturgies and orthodoxies. After his return from Rome he implemented all that he had learned there:
“Did I not change and convert the whole Northumbrian race to the true Easter and to the tonsure form of a crown, in accordance with the practice of the Apostolic See...? And did I not instruct them in accordance with the rite of the primitive Church to make use of a double choir singing in harmony, with reciprocal responsians and antiphons? And did I not arrange the life of the monks in accordance with the rule of the holy father Benedict which none had previously introduced there?”
(VW XLVII)
Furthermore, he was an avid collector of relics from Rome, as well as dedicating his own monasteries to the principal Roman saints, St Andrew (Hexham) and St Peter (Ripon).
This outline and brief discussion of Wilfrid’s life and influences during the time of the foundation and building of Hexham has shed some light on the possible symbolic, pragmatic and religious orientations of Wilfrid. From this level of reading the text, it appears that Wilfrid modelled the style of his ecclesiastic affairs upon Gaul, his orthodoxy and authority were Roman and his lineage and politics aligned firmly within Northumbrian contexts. I will now return to Hexham for a detailed look at the superstructure and the previous reconstructions of the superstructure to see if, as in the investigation of the crypt, there are any further clues to understanding the building of St Andrew’s in its context.
III.4 The Church of St Andrew’s
the problem of the historical dating of the remains of St Andrew’s
A straightforward list of the archaeological remains of the church at Hexham, followed by a reconstruction, is not actually possible. This is a result of the inconsistent accounts by Hodges of the archaeological evidence revealed in the late 19th century. It is no longer possible to investigate these remains first hand since most of the evidence was destroyed in the restorations of the church being witnessed and supervised by Hodges. Until 1978, Hodges’ decisions regarding what was Saxon and what was not were fairly well accepted (and still is in the guide books). Fortunately Bailey’s excavations (1979) in the nave have shed some light on the actual remains. At the same time Cambridge has shown just how unreliable Hodges’ reports are (1979). I have included Hodges’ drawing, first published by Taylor (1965) for reference, the system of annotation by letters being the same used by all authors subsequently (Fig 2). This drawing, along with a section, presented apparently under perjury to Brown (Bailey 1991, 14), is Hodges’ final interpretation of the remains and the most complete information we have. It includes information never listed in the text, but also omits areas that Hodges had felt were Saxon in earlier publication.
Cambridge’s argument is worth a detailed examination in order to understand the difficulties presented by the archaeology at Hexham (1978, 159-62). Cambridge begins his argument by explaining Hodges’ biases towards the interpretation of Hexham based upon his translation of the *Chronicle of Lanercost* which led him to believe that Wilfrid’s church had survived until 1296. The passage is as follows:
Fig. 2. Hodges' plan of the remains.
In ecclesia vero Augustaldensi, quam inclytus Domini archipraesul exstruxit Sanctus Wilfridus, reposita erant scrinia plura ab antiquo sanctorum patrum pignora reservantia, quorum dignitates et opera pertractat Sanctus Beda De Gestis Anglorum. Ipsa vero basilica Romano opera insignita, ad honorem mitissimi Apostolorum Sancti Andreae, ac spiritualis patroni Scotorum, Beati Wilfridi ministerio exstitit dedicata.
(Chronicle of Lanercost, in Cambridge 1978, 159)
Hodges translated the second sentence to read: “indeed, the church itself, celebrated for its Roman work, dedicated by the labours of the Blessed Wilfrid to the honour of the most gentle of the apostles, St Andrew, and the spiritual patron of the Scots, remained” (ibid.) Hodges further substantiated his translation with structural evidence and documentary evidence for the poverty of the monastery which was such as to prevent a new nave to be completed in the 15th century. Cambridge, however, feels that the Chronicle should be translated to reflect the dedication of St Andrew’s by Wilfrid. His impression is that the syntactical structure and the usage of the Medieval Latin should relate exstitit with dedicata and therefore is equivalent to esset dedicata, ‘had been dedicated’. Furthermore, the emphasis of the first sentence indicates the survival of the relics through the 13th century (ibid., 159-160).
Cambridge demonstrates that Hodges lack of evidence can be interpreted as other than incomplete work. The structural evidence put forth by Hodges consisted primarily of negative evidence. Differential weathering between the nave and aisles on the west side just proves a different subsequent history for the nave and aisles. That there is no evidence of fire-damage beneath this weathering of the nave could show that the nave roof survived unburnt. Non-differential weathering above and below the roofline reflects that the church lacked a roof on this side from the time of the dissolution until the construction of the western vestry 1869/70. Hodges’ ‘non-ragged’ edges of wall stumps is incorrect at least for the eastern stump which was deliberately dressed back to act as a buttress. Cambridge furthermore includes the 13th century jamb of the east window of the south clerestory arcade as (minimally) showing an intention to continue
westward, and shows the evidence for the 13th century stub against the west wall of the tower as being toothed for bonding when the 15th century wall was constructed. Historically, he brings forth Roger Thorton's will (1429) which leaves a very substantial sum of money for the building of the church, a 1470 rental, the construction of the five eastern chapels in the second quarter of the 14th century, and the 15th century Perpendicular window to repudiate Hodges' view of the impoverished nature of the community that would preclude the resources to be able to complete a nave rebuilding in post-conquest Medieval times.
The post-conquest history seems to allow for the possibility of several rebuilds and attempted rebuilds in addition to those presented by Cambridge, who concentrates on the 13th to 15th centuries *The History of Northumberland*, compiled in 1896 before the new nave was built, used all the textual evidence available to sketch a comprehensive history of Hexham Abbey (Hinds 1896). According to this, the last recorded bishop of Hexham departed in 821, fifty years before the alleged ravaging of the countryside by the Dane Healfdene, traditionally viewed as the cause for the destruction of Hexham. Ailred of Rievaulx, writing in the 12th century (cf. Raine 1863 for Ailred's account) seems to be the first to make this association. In the Anglo-Saxon Chronicles for the year 876, however, Healfdene is not explicitly connected with Hexham: "Healfdene went with part of his army into Northumbria and took up winter quarters by the River Tyne, and the army conquered the land and often ravaged among the Picts and Strathclyde Britons" (Whitelock 1961, 48). The reason for the abandonment of Hexham is not precisely known but it is clear that it was no longer functioning by the end of the 9th century.
The eleventh century saw a renewed interest, if not an actual complete reinstitution of function, in Hexham. In 995 Hexham was allocated to the jurisdiction of Durham and a provost assigned. The first priest, Alured, was appointed in the early 11th century. He did not personally attend to Hexham but his son Eilaf succeeded him as priest of Hexham around 1050, establishing hereditary proprietorship. During the northern wars of William the Conqueror,
the jurisdiction of Hexham transferred to York. This did not immediately affect Eilaf's position until 1080 when the bishop of Durham, Wm. of St Carrel, attempted to instigate reforms. In response, Eilaf obtained his appointment from Archbishop Thomas of York, including permission to rebuild the church at Hexham. This account and the details of building work which follow are mainly reliant upon Ailred of Rievaulx, the grandson of Eilaf I and son of Eilaf II (Raine 1863). Apparently, Eilaf found the church at Hexham a "dismantled ruin, roofless, and overgrown with grass, shrubs, and trees" (Hinds 1896, 122) and began rebuilding from the east end to make it suitable to provide for the immediate needs, however he died before restoration was completed. His son Eilaf II succeeded him sometime soon after 1085 and continued the restoration: "after clearing the site of the church of the luxurious overgrowth which encumbered it, he covered the building with a tiled roof, whitewashed its walls, and restored some of the paintings" (*ibid.*), and also laid pavement in the east end, erected an altar supported by columns, and translated the relics (see above) to the south porch of St Michael.
The twelfth century saw the advent of a series of reforms involving Hexham and a continuation of building work. In 1113, Archbishop Thomas of York sent two canons from the newly reformed houses of Beverley and York to administer and install secular canons at Hexham. Eilaf II continued as curate and retained possession of most of the endowments, but built two wooden conventual buildings to meet the needs of the canons. According to the *History of Northumberland*, the interpretation of Symeon of Durham implies that Hexham was virtually a ruin again. Symeon relates how one of the canons 'rediscovered' the relics of Acca (*ibid.* n.2, 4), yet the church was reconsecrated and provisions made for vestments, books and ornaments by Thomas, so some level of repair must have occurred. Archbishop Thurstan, Thomas' successor, installed regular canons of the order of St Augustine at Hexham: this included a prior, 26 canons, and an indeterminate number of *conversi* - candidates for canon, as well as the keepers of the granary, refectory and infirmary (*ibid.*, 126), implying a thriving community which would mean restoration of the church and conventual
buildings to some degree. Eilaf II finally turned over his endowments to the Augustinians in 1138 on his deathbed.
Further account of the welfare of Hexham in the remainder of the 12th century relies upon the priors, Robert, John, and Richard. Throughout the Scots Wars the priory maintained its independence and a degree of prosperity, even obtaining a charter of immunity and sanctuary from David, king of Scotland around 1137 (Hinds 1896, 133). Richard records the translation of the relics to a chest at the high altar in 1154, (*ibid*, 135) and the *History of Northumberland* also relates that the "church of Wilfrid and Eilaf" was replaced in the 13th century, and indeed, "with the exception of Wifrid's crypt and modern restorations the whole of the church as it now stands dates from this period" (*ibid*, 136). The *Chronicle of Lanercost* records that Hexham was burned by the Scots in 1296 and this returns us to the time period investigated by Cambridge.
The relevance of this sketch rests in the several indications of rebuilding and restoration that are implied. Besides the request of Eilaf I directly from the Archbishop, his initial attempt to rebuild and the completion of this by Eilaf II, and the installation of the canons indicate the possibility of further building. The account of Eilaf II's change of heart towards the canons before his death mentions that the original wooden conventual buildings had already been replaced by stone (Hinds 1896, 133), and if, as implied, the church was again in a dilapidated state when the Augustinians were installed, they would have made the church at least serviceable again. In all likelihood, by the time of Eilaf II's death or shortly thereafter, major building activity would have been required to accommodate a number of canons, the prior, and the noviciates. The church must have been completely restored under the Augustinians for them to properly observe the requirements of their order and a continual transformation of the original church is indicated by the translation of relics in 1154. Prior Richard's account, quoted at length at the beginning of this text (cf. above, III.1), does not actually state that Wilfrid's church remained intact, but rather "we pass over the multifarious and most abundant structures that waste and devastation have overthrown, and we have met with the foundations of many more thereabouts".
It is a matter of judgement as to whether this reference indicates all the ancient churches of Hexham and the surrounding area, or if it is more specifically referring to the remains that the canons came across of St Andrew's, which is possible in conjunction with the fact that the description of St Andrew’s church is made in the past tense.
This is a cautionary tale for the interpretation of the remains of Hexham Abbey, with its extensive and conflicting accounts of builds, rebuilds, abandonment, and involvement in strife. Any exploration of the remains must take into account the entire history of the site and it is with this in mind that I will turn to the remains of Hexham as recorded by Hodges and excavated by Bailey.
**standing and excavated remains**
Taylor's compilation of Anglo-Saxon architecture provides a list of the remains of St. Andrew's at Hexham, those still possible to view and those only described in text, keyed into the letters of the plan. For consistency I will retain the same lettering and the basic list of structural remains are provided, abridged from Taylor's list and his original descriptions, as a reference for the various arguments (Taylor 1965, 300-301)
(a) West Wall: south of the west doorway, earlier masonry eight courses high, with Roman tooling and lewis holes, above later plinth. Width 2'-8", lower four courses regular, upper four irregular.
(b) North Wall: two earlier courses at base, running for the most part the entire length of the nave starting north-west corner to the west wall of the transept, Roman tooling.
(c) Flooring: south-east inside of nave at step-crossing, irregularly laid in a bed of mortar on top of the crypt vault.
(d) Apse: eastern curved section and straight side walls underneath present chancel (considerable east of nave), narrow walls, internal width 11'.
(e) Crypt: see above.
The remainder of the list is no longer visible and was only recorded by Hodges.
(f) North Intermediary Wall: 6' south of north wall running east-west, near western end of nave.
(g) Piers: 23'-6" centre to centre, 11'-3" below floor, 11' square, located east-west in north arcade.
(h) Internal South Wall: not recorded by Hodges in text, but indicated on his plan, east-west, about 7' north of south wall.
(j) South Inner Foundation: north edge one yard from inner face of south nave, southern edge assumed by Hodges to end underneath nave wall, shown as continuous on plan.
(k) South Intermediate Wall: exterior to south nave wall, remains shown at east end, not discussed in text by Hodges.
(l) South Outer Wall: remains shown at east end parallel to (k), Hodges describes lower courses as in situ.
(m) Transverse Internal Projections: (m1) described as part of 13th century stone screen, (m2) projecting south from north nave [sic] wall, (m3) projecting north connecting (k) and (l).
(n) Transverse Walls, South: (n1) projecting south from (l), (n2) seemingly extending (m3) southwards, not mentioned by Hodges.
(o) Southerly Lateral Walls: as of transepts of porticus [sic], not mentioned.
(p) South-eastern Transverse Wall: as of transept [sic], running the length of the transept southward as far as chapter house, approximately 80' x 3'.
(q) Transverse Wall at East of Nave: disturbed foundations, large stones with Roman broaching.
(r) Transverse Wall by Present Choir Screen: in situ Saxon blocks (as described by Hodges).
(s) Transverse Wall Projecting Outward on the North: not mentioned but shown in plan, seems to correspond with (n1).
(t) Flooring at West of Nave: shown in plan, but removed during restoration, described as old squared stones.
(u) Great Foundations: to west, exterior to current nave.
In addition to Taylor’s list, Bailey’s 1978 excavation discovered part of a Saxon wall, possibly the northern part of (j), which lay .55m from the inner face of the south wall of the nave, measuring .9m in width. Excavation exposed the wall starting about two metres west of the crossing step of the choir and continuing about one metre west, and proved it to be constructionally integral with the building of the crypt (Bailey 1979, fig.2, 8). This wall is the only primary evidence of Wilfrid’s superstructure which has been investigated by modern archaeological techniques.
III.5 Reconstructions of the Superstructure
Rather than work through each structural element individually to determine categorically that it belongs to the 7th century church, I will investigate the various reconstructive approaches attempted for the church. As a result of the lack of primary evidence, the manner in which the pieces fit together relies more on a logical argument using knowledgeable hypotheses of what the overall form was most likely to be, an argument dependent upon external evidence. There is no scientific archaeological data available for the majority of St Andrew's and nor will there be until further excavation is carried out. This is highly unlikely as Hexham is still a functioning church and an illustrious landmark, and any archaeological investigation would disrupt the interior in a manner unacceptable to the present use of St Andrew's.
As mentioned above, early attempts to postulate a reconstruction of the 7th century church were mainly reliant upon comparing the textual descriptions of St Andrew's in the *Vitae Wilfridi* and from Prior Richard, both quoted above (III.1), for the potential resemblances to known typologies of Medieval continental churches. As Cambridge has demonstrated, and I hope to have supplemented, it seems doubtful that the description in Prior Richard's account of Hexham and the statement in the *Chronicle of Lanercost* which seem to imply that Wilfrid's church was completely intact and standing are accurate reflections of the situation. More likely, what was seen in the late 12th/early 13th century was a conglomeration of rebuilds and reconstructions, bearing some relationship to the original church, not original constructions built after razing the standing remains. This practice of addition and insertion into the existing fabric, rather than beginning anew, was standard practice throughout all of Anglo-Saxon church construction (Rodwell 1989, 71-77).
The standard methodology - assessing the superstructure in terms of the documentary evidence, the general history, the extant and excavated remains, and formulated within art historic categories - was pretty much abused by Hodges, whatever allowances are made for the lack of modern excavation techniques or misinterpretations of text. Hodges appears to have chosen his type of form and
cited evidence as being "Saxon" if it conformed to that form and discarded it if it did not, regardless of external evidence. He continually changed his mind in print about the specific details of the church, ranging from a nave 200' in length, to 100', to 165' (Hodges 1888 & 1919; Savage & Hodges 1907), however he was typologically consistent. Hodges always worked with the explicit assumption that the church at Hexham was a *basilica* - a large, oblong, apsidal structure with double colonnaded aisles. This assumption, a priori, of a basilican church is residual of a time when little was known about the archaeology of early Christian churches in Britain, and Mediterranean diffusion theories were still influential in determining that Roman basilicas were the model for all early churches. Basilican forms were surmised as reflections of either the glory of Imperial Rome projected forward in time or the power of the medieval papacy centred in Rome and the glory of the Carolingian empire projected back in time (cf. discussion above, II).
**architectural descriptions in early Medieval texts**
The descriptions in the *VW* and Prior Richard may well lead to an assumption of a basilica with their references to many side-aisles and walls supported by columns, but these are references to isolated details which might be reconfigured in a variety of ways. Parsons (1987) has compared the multiple architectural descriptions of the tomb of the Holy Sepulchre and the Church of the Ascension with each other which illustrates the inaccuracies of early architectural description. Three accounts of these were written around the same time as the description of Hexham in the *VW*. Adamnan's *De Locus Sanctis* transcribes an eyewitness account of the tomb which Bede summarises and adds to (*HE* V.xvii). Additionally there is a further description in the *Vita Willibaldi*. Passages of these can be compared to illustrate the differences in subjective descriptions of form. The selections compared below are from the descriptions of the Church of the Ascension. Adamnan's account is first, then Bede's, then Willibald (from Parsons 1987, 9-10):
\[\text{iv}\]
“A great round church stands there, which has within its circuit three arched porticoes roofed in over. Now of this round church the central area lies wide open to heaven under the clear air without roof or vaulting, and in its eastern portion an altar is erected which is sheltered by a narrow covering.... a huge bronze circular structure has been set up, levelled out on top, the height of which measures up to the chin. In the middle of it is quite a large perforation, ...also at the western side of the structure there is a sort of door always open, so that people entering by it can easily approach the place of the sacred dust, and take particles of it by stretching their hands through the open perforation in the circular structure... For these footprints of the Lord are illuminated by the light of a huge lamp which hangs above on the circular structure on pulleys, burning day and night.”
“At the summit, from which the Lord ascended to heaven, there is a great round church which has in its circumference three chapels with vaulted roofs. The interior of the church could not be vaulted or roofed because the Lord’s body passed up out of it. To the east it has an altar roofed in with a narrow canopy, and in the centre of the church are to be seen the last footprints of the Lord as He ascended, being open to the sky above... Around these footprints there is a circular enclosure of bronze, as high as a man’s neck, with a great lamp hanging above on pulleys, which shines day and night; it has an entrance from the west. At the west end of the church are eight windows, and opposite them, are as many lamps hanging from cords, whose light can be seen through the glass as far as Jerusalem...”
“In the centre of the church is a beautiful candlestick sculpted in bronze: it is square and stands in the middle of the church where our Lord ascended into heaven. In the middle of the bronze candlestick is a square vessel of glass, and in the glass is a small lamp, and round about the lamp, closed on all sides, is the glass. The reason why it is closed on all sides is that the lamp may burn both in good weather and bad. The church has no roof and is open to the sky, and two pillars stand there inside the church, one against the northern wall, the other against the southern wall.”
The differences are apparent. Bede, who is supposed to be abridging Adamnan, conveys a better sense of architectural detail, and adds further information, such as the eight windows and eight lamps hanging from cords at the west end of the church. Willibord’s description leaves aside any mention of the circularity of the church itself, changes the circular bronze structure with a great lamp into a square bronze candlestick supporting a lamp surrounded by a square vessel of glass and mentions two columns not described by Adamnan. The similarities are enough that when compared, a sense of the place can be seen, however, without a
side-by-side comparison, a reading of any of the texts would create a mental image of different structures, with very different details. A ‘squared candlestick’ and ‘surrounded by square vessel’ can easily be envisioned as a description of circular objects with squared edges, after reading the other two texts.
Furthermore, as we have seen in the discussion of the crypt, a referential representation of symbolic form need not be an accurate reflection (or recreation) of the iconic intention. Selective transfer allows for a wide variety of formal compositions of form. Heitz (1986) discusses the Carolingian representation of architectural images as symbolic expressions of theological concepts. The variations between the architectural compositions found illustrating liturgical scenes from manuscripts, ivories and plaques, are as varied as the actual facades of the churches, yet they are coherent as formal compositions symbolically representating the tomb of the Sepulchre: an opening at the bottom, whether a simple porch or the full Westwerk arcade, with several levels rising above in reducing proportion. Many of the existing churches from the 8th century have a western ante-chamber dedicated for the celebration of the Passion and Resurrection of Christ.(ibid., 93). Adamnan’s drawing of the tomb of the Holy Sepulchre, reproduced in 9th century manuscripts, bears remarkable similarities to Carolingian representations of the Holy City of Heaven, which in turn are again referenced in the composition of later Westwerk architecture in the form of large arcades surmounted by rising levels of arcades (ibid., 97-99). In these examples we see known round forms being translated into a very different type of architectural construction, yet retaining, in an obvious fashion to those who created them, the symbolic expression of the form.
Bede explicitly had a complex theological understanding of architectural form and how pastoral and symbolic meaning were conveyed in all sacred structure. All sacred architecture and the furnishings thereof, had an allegoric content (Holder 1994). He cites St Paul in explaining his motivation for writing his exegetical work, De tabernaculo: “For all these things, as the Apostle says, happened to them in figure but were written down for us. ‘All these things’ [includes] not only the deeds or words which are contained in the Sacred
Writings, but also the descriptions of the locations and hours and times and the things themselves, as well as the circumstances under which they were done or said” (*De tabernaculo*, 1, Prol., in Holder 1994, xvii). Bede would not have been the only early Christian author who thought this - the glory of architecture was the glorification of God.
A descriptive passage, especially in a 7th century *vita* or other text produced for a Christian audience, is more likely to indicate the overall stylistic effect rather than a structural (constructional) category or the formal layout of a specific plan type. Additionally, an architectural representation would be seen to contain a symbolic or allegorical meaning. An architectural description can also be used in an illustrative sense. Incidental architectural information abounds in Bede, however, these descriptions were in specific relation to an event and their significance understood only in relation to that event. There is nothing incidental in the writing of Bede or of Stephanus, every detail prefigures something or expresses a purpose. A good example is the story of Aidan and the post (*HE* II.xvii). In relating the miraculous survival of the wooden post which Aidan was leaning upon when he died we incidentally learn about a variety of architectural practices: the beam was a buttress for the church which had a temporary tent attached to it. Bede, however, is relating the event as proof of Aidan’s sanctity, where even a simple post he was in contact with became imbued with miraculous powers (cf. cult of relics discussion, above III.2). The *VW* glorifies the greatness of the Hexham/Ripon communities leader (whether in the eyes of God and history, or for more immediate purposes) (cf. Wood 1986 on the audience of church dedications). The two passages in the *VW* (XVII; XXII) which contain specific detail about the architecture and furnishings of Ripon and Hexham, expressed in almost identical terms (cf. below, p. 112), are purposeful expressions of the importance of his monasteries and Wilfrid’s primacy as being the ‘first’ to implement Roman orthodoxy (including the elaboration of churches to glorify God) in Northumbria, or as Stephanus overstates, ‘north of the Alps’.
St Andrew’s - apse?
Based upon the readings of VW and Richard of Hexham, however, Baldwin Brown 1925, Taylor 1965, and Bailey (pre-excavation) 1976 each conjectured basilican churches for Hexham, although not identical. B. Brown reconstructed St Andrew's as having a transeptal apsidal east end connected to a nave with flanking colonnaded aisles (1925). "Apsidal", in Brown's view, reflects Prior Richard's reference to the sanctuary arch, however I find no conclusive evidence that sanctuary arches are only associated with apses, on the contrary, the most readily accessible example is the early Anglo-Saxon church at Escomb, with its (reused Roman) sanctuary arch and a rectilinear chancel (Taylor 1965, 236 for description). Even though Hodges felt that the remains of the small east apse (d) at Hexham was the apse of Wilfrid's church, Brown thought the quality of the work and the size too inferior for a work as monumental as the text implies for Wilfrid's church and thus possible evidence of Eilaf I's rebuild which was initiated in the east end. This attitude towards the size and quality conflicts with Brown's own corpus of Anglo-Saxon architecture, which reviews the physical remains of Anglo-Saxon churches and contains parallels for small chancels. In this corpus, he also reviews the tendency for the comparatively poor quality construction by the Anglo-Saxons (B.Brown 1903). Even when they were reusing Roman stone and attempting to imitate Roman construction there are may examples where builders just did not get it right, where edges are shaved to force a fit, or where the key stone of an arch wedged in off-kilter and all the stones misaligned. Poor quality and small scale is actually an argument used to identify Anglo-Saxon work as opposed to the tendency of Norman architecture to be of large scale, have thicker walls and to have much improved construction detail. This type of work is more akin to the remains of the larger apse lying outside the small apse.
Taylor's answer to the problem of the disparity between the remains at the east end and the assumed scale of Wilfrid's church was first put forth in his Jarrow lecture of 1961 and developed in his 1965 corpus. His resolution lay in multiple churches with the east apse actually being a small separate chapel laying to the east and in line with the main body of the church (Taylor 1961, 10-11; 1965, 306-07). The remains indicate a ninety degree turn (r) which could be the
respond for an arch, but as seen is more likely to be the end wall associated with the small apse. Bailey’s most current work agrees with this view of multiple churches (1991, 14), and there is an apparent logic for a self-contained eastern chapel when viewing the plan. Furthermore, recent excavations, unavailable to either Brown or Hodges, have revealed several early Anglo-Saxon church sites with multiple churches, such as Jarrow (Cramp 1976c, 235-36), St Augustine’s Canterbury (Taylor 1961, 9; Cherry 1976, 165) and Old Minster, Winchester (Biddle 1986, 20). The excavations at Wearmouth did not provide conclusive evidence for multiple aligned churches, however Bede does mention three churches at the monastery, the church of St Peter, the church of St Mary and the chapel of St Lawrence “which stood across the way from the church in front of the monk’s dormitory” (HA,17). Jarrow and Wearmouth are important examples because they were geographically contiguous and contemporary within a decade of Wilfrid’s Hexham. The monastic complex of Hexham Abbey contained the churches of St Andrew, St Peter and St Mary. St Mary’s, which was founded towards the end of Wilfrid’s life, was to the south of St Andrew’s, where fragments of the church still survive incorporated in the surrounding buildings, but the location of St Peter’s was ‘lost’ a considerable time ago. The chapel to the east of the main body of St Andrew’s could very well be the structure dedicated to St Peter.
**the typology of ‘basilica’**
Another recurring aspect in the various reconstructions of Hexham is that of the double-aisled nave, either colonnaded or arcaded. There are several problems with this interpretation. To start with, as with the apse, they are based upon the typology of ‘basilica’ and therefore requiring double aisles. Continuing my earlier remarks about ‘basilica’, I would like to review the understanding and usage of this term. The standard, implied definition of this word is the one I employed earlier, *a large, oblong, apsidal structure with double colonnaded aisles*. The *OED* definition is:
1. *Orig. a royal palace; thence an oblong building or hall with double colonnades and a semi-circular apse at the end, used for a court of justice and a place of public assembly.* 2. *A building of*
the preceding type, used for Christian worship. Originally a hall of justice handed over by Roman emperors and consecrated for religious use; thence applied to other early churches built on the same plan, and improperly applied to churches generally. In Rome, applied spec. to the seven principal churches founded by Constantine.
This definition reflects the common, unquestioned image which most people would retain of a basilica. A certain grandness of character is also implied in the term, alluding to the great Constantinian edifices in Rome. I will return to a discussion of the word later, first I would like to investigate the implied understanding of form associated with the term basilica.
The definition employed within architecture is:
A church divided into a nave and two or more aisles, the former higher and wider than the latter, lit by the windows of a clerestory, and with or without a gallery. In Roman architecture, a basilica was a large meeting-hall, as used in public administration. The term indicated function and not form, but Roman basilicas were often oblong buildings with aisles and galleries and with an apse opposite the entrance which might be through one of the longer or one of the shorter sides. Early Christian churches evolved from Roman basilicas of this type... By the C4 the Christian basilica had acquired its essential characteristics: oblong plan; longitudinal axis; a timber roof, either open or concealed by a flat ceiling; and a termination, either rectangular or in the form of an apse. (Fig. 3)
(Fleming, et al, 1980, 30)
The definition of basilica as used within architecture has a tighter typological definition than the standard definition, however the understanding of the term ‘basilica’ as a specific model of church from whence Western churches derived is seen as a given.
Fig. 3. The form of a basilica (from Fleming 1980).
Key:
1. Narthex
2. Nave
3. Apse
4. Aisles
Fig. 10. Basilica
Krautheimer (1969) addressed the issue of the origin and diffusion of ‘basilica’ as the key model for ecclesiastic architecture. He defines a basilica within architectural history, as
an edifice consisting of a nave, and two or four aisles separated from one another by rows of columns, a transept and an apse,
and he continues: “It is this form which dominates the imagination of the historian when he thinks back to the Early Christian period, and the assumption is that it is this form which from the very beginning dominated Early Christian architecture” (1969, 1). In his survey of possible early meeting places for Christian worship, he finds multiple models, rather than just one. Pre-Constantinian *tituli*, semi-private community houses, have been shown through both documentary and archaeological evidence to have been centres for worship. These *tituli* contained shop arcades and porticus on the ground floor. The second floor contained, on one side, small apartments whilst on the other side there was a large oblong hall which contained an altar to one side. The slightly later S. Crisogono, pre-fifth century, looks to the modern eye like a market hall: a long hall with three arched openings on the front and open porches the length of the sides (*ibid.* 6). Internal transverse partitions separated the main space from a smaller space presumably reserved for the clergy. This form is seen throughout the Mediterranean and Roman provinces in a variety of guises, for administrative buildings as well as early churches.
The secular assembly hall was simply the most common form of public meeting places for both administrative and royal gatherings, there was at least one basilica per town for official gatherings which was then transposed into the sensible style for a public house of Christian worship. The basic arrangement consisted of the oblong hall with aisles, usually surrounding it on *four* sides. Galleries were sometimes found above the aisles, apses were also only sometimes included. When apses did occur, there could be two or three and these were separated from the nave. It is worthwhile to note that there are as many variations of secular basilicas as there are of ecclesiastic arrangements.
The notable churches, such as Constantine’s famous foundations, were ostentatious and glorified versions of the secular halls. The Lateran was a building of fairly simple form and plan. A long nave with double colonnaded aisles, which decreased in height out from the nave, with a small apse. The outer aisles ended in a north and south porticus, or ‘shallowly projecting wings’ and there were no galleries. Essentially this form is again closer in conception to a large market hall than what most modern readers would envision from the large architecturally complex and opulent later basilicas. The ostentatiousness of the Lateran evoked by the texts derives from the scale of the hall, the nave was around 300 feet long, and ornately decorated with silver and gold and coloured marbles. (Fletcher 1987, 273-4; fig. B, 275). Other basilicas developed based around a combination of different needs, such as the ‘cemeterial basilicas’ of Sant’ Agnese, S. Sebastiano, and S. Ermene. These were basilicas which contained the tomb of a saint, *in situ*, in the lower level of the structure, while the main floor was raised above ground. They preserved the needs of the small martyria chapels while adding the features of a basilica: a long narrow hall with an apse and surrounded by chapels (Krautheimer 1969, 10). Constantine’s other famous foundation in Rome, St Peter’s basilica, is worth mentioning since it is often cited as a possible influence upon the building of St Andrew’s, Hexham as well as a variety of Anglo-Saxon churches (cf. discussion of crypts above). St Peter’s was not a church built for the liturgical purpose of daily services. It was actually a large covered cemetery which enclosed the tomb of St Peter as well as connecting the mausoleum of Honorius and the Rotunda of St. Andrew.
Originally there was no permanent altar and the ‘nave’ (the main hall) and the aisles retained funerary purposes as attested by references to funerary banquets held over the graves, which ‘covered’ the floor (Fletcher 1987, 274).
Krautheimer stresses the regional variations of non-Christian basilica (palace, funerary, religious, forum, thermae, etc.) as well as the variation of Christian basilicas: “I would stress that architects and church leaders had a pretty free hand in developing regionally different types for different functions: churches for the use of the court; for the regular services of a congregation; for the cult of a *martyrium*, …and for the cult of a martyr and burial of the faithful – S. Croce, the Lateran, St Peter’s” (Krautheimer 1969, 20). If there is a sense of one type of
basilican form then the retained features of the secular basilicas can thus be seen as the long oblong hall, with flanking features (porticus, porches, galleries or chapels) the length of the nave and an apse which is open to nave, and a clerestory (essentially the height of the nave is larger than the average single story of a building).
Cherry’s survey of the archaeology of Anglo-Saxon churches appears to define *basilica* as ‘buildings with aisles’ (1976, 169). Even with so loose of a definition, there is a serious paucity of archaeological evidence for basilican churches in the early phases of Anglo-Saxon Christianity. The archaeological definition, notwithstanding Cherry’s ‘non-definition’, appears to be the conventional form of nave flanked by aisles, preferably with columns, and apses. Removing Hexham from the place it usually occupies in the list of basilican churches leaves Lydd, Jarrow, Cirencester, Brixworth, Wing and a few others which are categorised thus entirely from interpretations of documentary evidence.
Lydd is a small stone building with regular arcades, north and south aisles and possibly a western porch or narthex and an apse. There is no conclusive dating evidence. Stylistically it has been thought to be Roman, because of the small scale (the nave is only around 10m. in length) and the regular north arcade (Cherry 1976, 157). Taylor’s examination of the fabric postulated a 10th century date for the church (Taylor 1965, 407), which he later amended to an 8th century date (Jackson & Fletcher 1968, 24). There are some tenuous links to documentary evidence for an 8th century religious community: a charter reference in 740 gives ‘plough-land’ which had formerly been held by “Romanus the Presbyter” and refers to an oratory of St Martin’s existing in the area (*ibid.* 25). The excavators give no clear evidence for their statement that Lydd is a basilican church of Roman or sub-Roman times.
The excavations at Cirencester indicate a plan with a very long narrow nave flanked by aisles divided into three sections and separated from the nave by a regular arcade, a two-chambered western structure and a narrow apse. The apse
was built over a ring-crypt and surrounded by an apsidal outer crypt. The date is again uncertain, however, Gem postulates a mid-ninth century date from the excavation evidence, the unusual scale, typological parallels and as part of the canonical and monastic reforms sweeping the Church at this time (1993, 41-42). Jarrow is an interesting illustration of a long-held reconstruction that does not exactly stand up to excavation. Following a plan of 1769, Jarrow has always been shown as being of a ‘basilican plan’ by having symmetrical aisles with regular arcaded bays to the north and south; excavation has shown that instead of a symmetrical regularised layout, the fragmentary remains indicate dissymmetry between the sizes of the north and south adjuncts (measured along north-south axis), with the first northern aisle or porticus being very narrow (Cramp 1976a; 1994) The drawings also show a regular four-arch arcade in the north wall of the nave and two porticus still existing on the south side with two further porticus sketched in on the south range which have not been disproven by excavation, but for which only small areas of foundation have been excavated so the exact form is not known (Cramp 1976a, 222; 1976b, fig. 11, 35).
This is cautionary in respect to the reconstructions of Lady St Mary, Wareham which Taylor reconstructed from a drawing of 1840 before the destruction of the church. Sketch impressions should be used as evidence only when artistic license is acknowledged, along with the tendency for plans to become more formalised and thus stylised rather than based upon actual measurements. This can also be seen in the different sketches of Hexham prior to its renovation where some of the drawings seem to have been interpreted differently, one without the east transept and one with (in Hodges 1888). However, based upon the plan of Lady St Mary’s only, the delineations of the windows show a variety of types some of which do not display Anglo-Saxon characteristics (Cherry 1976, fig. 4.8; Taylor 1965, 634-636). This could indicate anything from insertion of windows into earlier fabric or different phasing for entire sections of the building. I would not, therefore, include Lady St Wareham as definitive evidence of an early basilica. The pre-conquest church at Canterbury is always cited as an example of a basilica (e.g. Taylor 1965, Cherry 1976, Fernie 1983), but this is entirely conjectural and derived from textual interpretations formalised in 1917/18 and
used ever since (cf. Society of Antiquaries 2:30, *The Plan and Arrangement of the First Cathedral Church of Canterbury*).
Brixworth and Wing are always a pair, since the one is always cited for evidence of the other. Brixworth had north and south adjuncts with regular arcades leading from the nave, a western porch, a polygonal apse and an ambulatory crypt. The north and south adjuncts are irregular and divided into five chambers. It is the regularity of the arcades which places Brixworth in the ‘basilican’ category (Cherry 1976, 171). The excavations have shown that the foundations for the ambulatory, nave, porticus and narthex are all continuous (Aduoy 1984, 12-13, 33-34) The excavator feels there is enough evidence to support a mid-eighth century date for construction, from the radio-carbon dating, a *terminus post quem* presented where the foundations overlay a mid-Saxon (6th/7th c.) ditch, and the pottery (*ibid.* 33-37), however not everyone agrees with this. The carbon date for the burials includes a span from c690 - c760 so it could be of the correct date. Both Cherry (1976, 170-171) and Gem (1993, 34) curiously provide arguments for mid-8th century dates, then dismiss their own arguments as conjecture, however ‘plausible’ or ‘attractive’ they might be, as though they really do not want to agree with the evidence from the excavations.
The layout of Wing is similar to Brixworth: a polygonal apse with an ambulatory crypt, regular arced bays leading to north and south aisles or adjuncts, a western porch. Wing is a possibility but dependent upon whether the superstructure is of the same date as the crypt which could place the dating of the church anywhere between the mid-7th century to the 10th century. The excavators argue for a seventh century date based on four postulates: 1. a basilican church might be expected in the seventh century in a district of Roman influence but not at any later date; 2. a crypt is explicable in the 7th century but not at a later date for any other type of church than a basilica; 3. the basilican plan and original crypt were built at the same time; 4. the original church contains none of the characteristics of late Anglo-Saxon architecture; 5. it does contain 7th c. features - the stepped imposts on the arcades and voussoirs similar to those at Brixworth in the nave aisle arches and the passage to the crypt.
The first postulate is a bizarre statement unsupported by any evidence. The second statement is refuted by the evidence at Repton (cf. above, II.2). The third statement is not obvious from the excavation report and the evidence for the crypt is not given. As discussed above, Brixworth is most likely mid-late 8th century in date. Taylor and Cherry both are of the opinion that the fabric of the remains have not been investigated thoroughly due to the existing plaster of the walls. The chancel arch with its 19'-10" span is very unusual for Anglo-Saxon work (cf. below) and would seem to be an insertion or a rebuild (Taylor 1965 669-670; Cherry 1976, 172). Gem places the basilican plan of Wing in the ninth century, with the polygonal apse and the addition of the aisles being late additions to an earlier (8th c.?) structure (1993, 53-54).
To summarise: there is not a large percentage of known sites that could be categorised thus, even if they could be proved to be c7th, nor is there enough evidence for the view that the basilica was common in Kent. The development of the formal basilican type of church, long nave flanked by colonnaded aisles, with an apse and most probably a narthex or western porch does not seem to appear in Britain until later. The churches discussed above as having some similarities in form to a basilican plan are most probably 8th and 9th century foundations. The scale of Lydd is improbably small for a basilica of any date. Cirencester is probably ninth century, Jarrow does not fit the formal qualities of a basilica. Canterbury and Lady St Wareham are in reality unknown, since there is no evidence other than textual to determine form, date and construction sequences. Finally, Brixworth and Wing are 8th/9th century.
**the textual occurrences of ‘basilica’**
If the evidence of the churches does not fit formally with an architectural description of a basilica, perhaps a consideration of the textual usage of the term *basilica* will clarify this issue somewhat. The modern definitions have already been discussed. How was this word defined in late Roman/early Medieval usage? A further consideration of the how the term has evolved over time into the specific connotation with which it is fixed in the modern mind might show us possible variants of the meaning of the word which may have been employed in
the past. The root of the word *basilica* is *basilikus* meaning royal. Downey, using literary evidence up to the 6th c. rather than purely epigraphical, showed a variety of connotations of the Greek *basilike* and *stoa* as used by classical writers (1937). Whereas there is evidence for the usages of the Greek in a substantive manner to refer to colonnaded, enclosed or unenclosed, structures, there is also evident for the use of *basilike* as an adjective indicative of the property of the emperor or associated with imperial functions (*ibid.*, 197), such as the law courts and public meeting places associated with the Roman forum (which appears to be part of the development of the Roman use of the term).
The note for definition 2 in the *OED* adds: 1563 *Basillicae, eyther for that the Greeks used to call all great and goodly places Basilicas or for the High and Everlasting King ... was served in them*. The specific labeling of Constantine’s churches as *basilica*, the depiction of Christ as Emporer, addressed as *Basileus* and adorned in imperial robes and the construction of Constantine’s churches in the form of the audience hall of an imperial palace (with all the associated connotations of the sacred space of the immortal emperor) all occurred at the same time in the mid-fourth century (Krautheimer 1969, 9; Ward-Perkins 1993, 456-7). Any direct application of the term *basilica* in Medieval texts could be therefore using it with the connotation of glorification, impressive enough to be worthy of God, rather than a direct reference to a form we have defined as ‘basilican’.
Furthermore, whilst there are uses of the word *basilica* applied to churches with the formal qualities outlined above, there are also applications of the word to structures with different forms. Constantine and the Bordeaux Pilgrim both refer to the Anastatsis rotunda over the Holy Selpuchre as *basilica* and there is a later foundation inscription for the sixth century octagonal church of San Vitale, Ravenna which refers to the church as *basilica* (Ward-Perkins 1993, 456). As late as the 19th century it appears there was a concern for the architecturally ‘innappropriate’ use of the term as can be seen in another entry in the *OED*: c) 1872 Parker’s Illustrated Gothic Architecture: *the application of the name basilica to the small burial-chapels in the Catacombs is a mistake.*
A brief search through Bede’s *HE* and the *VW* provides only a few instances of the use of the word *basilica* applied to churches. In the *HE*, out of 105 references to ‘church’, 6 were *basilica*, and the rest were *ecclesia*\textsuperscript{vii}. Three of these usages occur in the same passage referring to Paulinus’ mission (*HE* II.xiv). In reference to the building of York he says ‘he set about building a greater and more magnificent church of stone…’: “*curauit docente eodem Paulino maiorem ipso in loco et augustiorem de lapide fabricare basilicam*” and again, ‘…the foundations were laid and he began to build this square church surrounding the former chapel…’: “*Praeparatis ergo fundamentis in gyro prioris oratorii per quadrum coepit aedificare basilicam*”. Further in the passage, however, he refers to the church at York differently, “*et Eburai in ecclesia sepulti*”. Unfortunately, even though there have been extensive excavations at York Minster which have revealed the original 1st-4th c. Roman basilica on the forum, there has been no traces found of the 6-8th c. church referred to by Bede and Alcuin (Phillips 1985 for Anglo-Saxon church; James 1995, Roman structures), therefore we cannot compare the actual form with Bede’s reference. The third reference using *basilica* occurs in reference to the building of another church, ‘…Nevertheless, in *Campodunum*, where there was also a royal dwelling, he built a church which was afterwards burnt down…’: “*attamen in Campodono, ubi tunc etiam villa regia erat, fecit basilicam*”. The other usage of *basilica* applied to a specific church refers to the building of the church of St Peter’s at Lindesfarne (*HE* III.xvii), “*At interiecto tempore aliquanto, cum fabricata esset ibi basilica maior atque in honorem beatissimi apostolorum principis dedicata,…*”, but again further down the passage he refers to the same church as *ecclesia*. Two other usages of the word occur in Bede, the first referring not to a church itself, but to the tombs of the Patriarchs in Hebron shaped in the forms of a church (*HE* IV.xvi): ‘…each one of these tombs is covered by a single stone, hewn after the shape of a church…’: “*et haec singula singulis tecta lapidibus instar basilicae dolatis*”. Finally, *basilica* is used to describe the foundations of martyrs’ shrines (*HE* I.xviii): ‘They rebuilt the churches which had been razed to the ground; they endowed and built shrines to the martyrs…’: “*renovant ecclesias ad solum usque destructas, basilicas sanctorum martyrum fundant construunt perficiunt*”. Of
these six references, three of them definitely do not refer to churches with the formal arrangement of long nave, flanked by aisles, with an apse (the simplest of the formal definitions). One usage is applied to a square church, another to a rock tomb in the shape of a church (probably similar to the house shrine reliquaries discussed earlier), and the third refers to the building of shrines.\textsuperscript{17} Equally significant, the references in Bede to churches of known (or postulated) basilican form, such as Canterbury (I.xxxiii) and Hexham (V.xx) and Constantine’s basilicas (II.i, IV.xviii, V.vii), use the word \textit{ecclesia} consistently.
Wilfrid’s biographer also seems to apply the term \textit{basilica} sparingly, with \textit{ecclesia} being the more common term. He refers to Constantine’s church in Rome (\textit{VW XXIX}) as “\textit{...in basilicam salvatoris Domini nostri Iesu Christi quae appellatur Constantiniana}” and to York as “\textit{basilicae oratorii Dei}” (\textit{VW XVI}). His other uses of the term all apply to Ripon: ‘For in Ripon he built and completed from the foundations in the earth up to the roof, a church of dressed stone, supported by various columns and side aisles’: “\textit{Nam Inhrypis basilicam polito lapide a fundamentis in terra usque ad sumum aedificatam, variis columnis et porticibus suffultam, in altum erexit et consummavit}” (\textit{VW XVII}); ‘...placed [Wilfrid’s body] in the church which our holy bishop had once built and dedicated in the honour of St Peter the Apostle’: “\textit{introduxerunt ad se et in basilicam, quam sanctus pontifex noster olim in honorem sancti Petri apostoli aedificavit et dedicavit,}” (\textit{VW LXVI}); and also, ‘...starting from the gables of our church dedicated to St Peter...’: “\textit{incipiens a cornibus basilicae nostrae sancto Petro dedicatae,}” (\textit{VW LXVIII}). However, he also refers to Ripon as \textit{domus}, ‘house’ (\textit{VW XVII}): ‘...when the [church] had been finished...’: “\textit{Iam postea, perfecta domu,}” and ‘...like Solomon the wise,... they consecrated the [church] and dedicated it to the Lord in honour of St Peter the chief of the Apostles’ “\textit{consecrantes secundum sapientissimum Salomenem domum, Domino in honorem sancti Petri apostolorum principis dicatam...}”. The use of \textit{domus} is consistently applied in reference to the foundations at Hexham. The famous passage describing the building of St Andrew’s (\textit{VW XXII}; cf above \textbf{xx}) is titled ‘Of the building of the House of God at Hexham’ “\textit{De aedificatione domus Dei Inhaegustaldesei}” and describes that Wilfrid ‘founded and built a house to the
Lord in honour of St Andrew the Apostle’ “Deo dicata, domum Domino in honorem sancti Andreae apostoli fabrefactam fundavit”. *Domus* is also used in the passage describing the angel’s message to Wilfrid to found the church of St Mary’s (*VW* LVI): ‘Now remember that you have built churches in honour of the Apostles St Peter and St Andrew; but you have built nothing in honour of St Mary, ever Virgin, who is interceding for you. You have to put this right and dedicate a church in honour of her’ “*Iam enim memento quod in honore sancti Petri et Andreae apostolis domos aedificasti, sanctae vero Mariae semper virgini intercedenti pro te nullam fecisti. Habes hoc emendare et in honorem eius domum dedicare*”
Whereas Bede does not appear to use *basilica* in reference to a formal architectural arrangement, Wilfrid’s biographer could be using it in this sense. However, although he uses the term in reference to the building at Ripon, he never uses it in relation to Hexham, even in the architecturally significant passage. Here would be the ideal place to expect the use of the word *basilica* if it was being employed in an architectural sense. Additionally, the consistent use of *domus* applied to Hexham signifies that the terms applied to a church, other the simple noun *ecclesia*, are not used to denote a literal form as in the modern use of basilica, but are used in a connotative sense with the implied attributes of the term. In the *HE* and in the *VW* the term could be employed to signify the greatness of particular buildings or the high-status position of particular foundations or possibly a public function where *basilica* is opposed to a chapel or other small private churches.
Webster’s dictionary supplies a further definition: *a Roman Catholic church or cathedral given ceremonial privileges*. Additionally, *The New Catholic Encyclopaedia* (1967) emphasises the liturgical and canonical functions of a basilica as well as its form. Churches of traditional historical importance are still referred to as basilicas, specifically the Roman stational churches. Canonical law is explicit in defining the use of *basilica*: “No church can be honoured with the title of basilica except by apostolic permission or immemorial custom; the privileges attached arise from one or the other reason” (*ibid.*, 158). There are
four major basilicas in Rome with special privileges and obligations. Amongst other things, in these churches only the pope or his archpriest can perform mass at the principal altar and they have a college of penitentiaries to hear confessions, forgive reserved sins and grant indulgences. Functionally, they are required to remain open all day long and retain ceremonial privileges such as wearing the insignia of prothonotaries apostolic. In sum, the major basilicas “enjoy spiritual favour, and their canons have a special Office with special lessons for the pope” (ibid, 159). The minor basilicas have been granted the title and privileges by the pope and are granted many of the same privileges as the major basilicas.
Although these are prescriptions and definitions of the liturgical and canonical meaning of basilica which came about in order to prevent ‘lesser’ churches from using the title, the need to tighten the definition and have it as a title only awarded by the pope is significant in itself. With the appellation of basilica there are privileges and responsibilities which can be claimed. We know from abundant charter evidence of false claims to papal privileges by medieval churches attempting to assert the legitimacy of their houses. Significantly, Hexham and Ripon were given papal privileges (the source of much argument and counter-claim which forms the basis of the VW). Furthermore, the dedication stone at Jarrow uses the term basilica (Higgit 1966). A synod was held 679/80 attended by Ecgfrith and others which upholds Pope Agatho’s privilege extended to Biscop’s monastery at Wearmouth and another, early in the 8th century, Pope Sergius’ privileges to Jarrow and Wearmouth are confirmed (Cubitt 1995, 289-90). Therefore, one of the connotations of the term basilica in both the HE and the VW could be in this sense of ecclesiastic privileges.
In summary, the use of the term basilica could have been employed to emphasise significance in terms of papal privileges or to emphasise the importance of those particular foundations, in ecclesiastic or spiritual terms. It could have been used in a formal morphological sense, although, as we have seen, the late Roman/early Medieval basilica covers a wide variation of forms which could all be described as having ‘columnis et porticibus’ and furthermore the employment of selective transfer accentuates the spiritual, connotative and symbolic references of form rather than a literal transposition. Therefore, I do not feel it is appropriate to
employ the term *basilica* in a formal sense when referring to early Anglo-Saxon churches when there is neither the textual, archaeological or historical evidence to support this sense of the word.
**‘columnis variis et porticibus suffultam’**
Returning to the specific discussion of reconstructions of St Andrew’s Hexham based upon the formal conception of a basilica, the debate seems in the main (excepting Bailey 1991) to be between whether these side-aisles were colonnaded or arcaded: Clapham and Brown opted for columns; Taylor opts for the innermost being arcaded with the outer aisles possibly being the colonnaded (Clapham plan in Gilbert 1974, fig. 7, 90; B.Brown 1925, Taylor 1965, 308-10, fig. 131). Bailey in 1976 also put forth an argument for arcaded side aisles with possible intermediary colonnading (1976, 58-59, fig. 4). Again, there is a disparity with the evidence. Following Hodges’ statement that the massive piers (g) are Anglo-Saxon contrasts with (j), attributed to the same period, which is shown as a narrow continuous foundation, so, as in Brown and Clapham’s reconstructions, the piers are ignored in favour of columns, or (j) is turned into piers for arcades. The reference to columns in the sources has been substantiated by the architectural stone work found at Hexham, as catalogued by Rosemary Cramp, and their style appears to be ‘classical’ - either reused Roman or derived from Roman examples (Cramp 1974), however it is not conclusive as to whether such fragments were full columns or quarter/half-round decorative facings. In addition, Gilbert interprets *VW*’s Latin *suffultios* as meaning “propped up” rather than “supported by” which would be *sublatos* (1974, 102), which might indicate decorative columns rather than structural columns.
Since there is some evidence for columns, the opposing evidence for arcades relies upon Hodges’ piers. These are described (see above), and shown in plan and section, as massive 11' square structures, more than eleven feet below the surface. This does not readily indicate Anglo-Saxon work, even at first glance the monumentality is at odds with what is known about Anglo-Saxon work. The structural indication would be for enormous arcades, 23'-6" centre to centre and probably more than two stories in order to match the width and depth relative to
load bearing capabilities. Early Saxon arches have an average width of only about 8', and even a reused Roman arch is not very large, eg. 8'-2" at Corbridge or 5'-3" at Escomb (B.Brown 1903). Cambridge has reviewed Hodges' accounts of the piers. He observed an omission in Hodges' plan of features discussed in the text following the 1881 excavations: the concrete cores of the bases of 15th century piers which were overlaying these larger piers, this is also shown in the photographic records. Stratigraphically these are pre-15th century, but stylistically the stepped out plinths of the piers (recorded by Hodges as indication of the floor level) are a common high medieval feature (Cambridge 1979, 160-3). This, combined with Bailey's discovery of a level between the 15th century screen and the Saxon floor/crypt level, probably of the 13th century, the dissimilarity with Bailey's wall (j) (Bailey 1979, fig. 4, 151), the potential of more intermediary phases, and the points made above, makes the possibility of the piers as Anglo-Saxon features, though not completely denied, highly unlikely. Comparisons to the arcade piers at Brixworth or Wing do not appear to take into account the scale, depth, and construction (as discernible) of the piers at Hexham.
Apart from the typological concept of 'basilica', side aisles and columns are sought for as a result of the description in *VW*. The phrase used is "columnnis variis et porticibus multis suffultam" (*VW* XXII); the almost identical phrase is used in the description of Ripon: "variis columnnis et porticibus suffultam" (*VW* XVI). *Porticus* is a word familiar from Bede which is normally translated as "porch" and refers to the adjuncts attached to the main body of the church as chapels, burial places, or entrances common during this time (Parsons 1987, 24-27, B.Brown 1903, 129). Bede's references, such as that describing King Edwin's head coming to rest in the porch dedicated to Gregory at St Peter's, York and the burial of the archbishops in the north porch of SS Peter and Paul, Canterbury (*HE* II:iii, II:xx), indicate the relationship of the porticus as separate entities connected to the main body of the church. *Porticus* have been excavated in Northumbria at sites such as Jarrow and Escomb, and tentatively identified at Bywell St Peter's and Ledsham (Cherry 1976, 167). These are commonly rectilinear in form, but at Old Minster Winchester there were two apsidal
porticus, though this is a later example (Biddle 1986). B. Brown's discussion of porticus in relation to the development of Anglo-Saxon church forms contains useful comparisons for the identification of specific aspects of Anglo-Saxon porticus. Where the entrance locations are identifiable they tend to be located off centre in order to leave the east side unobstructed (B.Brown 1903) possibly for altars or some other furnishings which enhances the idea of them being side chapels or places for veneration (Parsons 1989). Additionally, the increment of intervals of division are not identical which might imply that what seem to be ganged porticus were not constructed as an overall spatial entity, and where excavation information is available, seem to not be in bond with the main space (Audouy 1984). What differentiates porticus, of whatever form or position (north, south, east, or west) is that there is not the continuous passage available for access whereas aisles are distinctly continuous allowing for processions or separate movement around the nave. Of the previous examples of 'basilican' churches, the only example that possesses apparently continuous space, not subdivided with transverse partitions, is that of Wing (Cherry 1976, fig.4.8, 177), however Gem feels these 'aisles' are later additions to the original structure (Gem 1993, 43-54). Bailey's 1991 reconstruction of Hexham also notes the problem with the accepted translation of 'side aisles' and postulates porticus north and south of the nave, but he does not attempt to give them dimension or shape.
The possibility of porticus for St Andrew's raises the additional question of transepts. Again, the term transept carries with it certain implied concepts. Transepts are not the same as adjuncts, rather a transept is integral with the main body of the church, dividing the nave from the sanctuary area, and affects the interior by being an expressed continuum. The form of a transept is not subordinate to the main body of the church and although they are not equal in length to the nave, the width is substantial and the height is scaled in an appropriate relationship to the nave by not being subordinate or minor. The development of real transepts are usually associated with Carolingian ecclesiastic architecture (Gilbert 1974, 102) but Peterborough is cited as the example of transepts in early Anglo-Saxon church architecture. In plan, the proposed transept of Peterborough does look continuous and substantial, but there is no
evidence for the size of the nave and the sanctuary seems proportionately small; furthermore the identification of Peterborough with the 7th century foundation of Medehamstede is not conclusive and is usually seen as later (Taylor 1965, 660-70). If Peterborough is demonstrably transeptal and early, then it is the only known example of such for Anglo-Saxon 7th century architecture. Taylor postulated three different reconstructions of the form of the church described in Aethulwulf’s De Abbatibus, which describe a church ‘laid out in the shape of a cross’ and ‘supported all the way round by large and small porticus’ (1974, 165) The first form, a nave surrounded by porticus on all sides, with the ‘cross’ form emphasised in elevation by the central north and south wings appearing equal in height to the nave, is, according to Taylor, the most typical arrangement that could be proposed by ninth century building practice. The third form, a true transeptal cross with cells nestled between the arms, is not a form which begins appearing before the 10th or 11th century (ibid. 173, fig. 9,10, 170-71, Cherry 1976, 187-88).
summary
The foregoing scrutiny of the concepts implicit in the reconstruction of early Anglo-Saxon churches has been focused on descriptive details and their relationship to what might seem fairly tight definitions when the terms can be meant to be applied in a looser manner as indicators for the recognition of a possible form. However, the effect of implicit concepts on the interpretation of evidence can manifest in two ways: apriori assumptions that can align the reconstruction of specific evidence into predetermined configurations, and historical interpretations based upon typological connections. Whilst historians and archaeologists working with fragments identify and construct knowledge by creating analogies to formulate models (pre-understandings) of a given subject ('specialities') (Edgeworth 1990, 243-52), it is the transformations of analogies into unquestioned assumptions which can lead to a paradigm being passed along as a given piece of knowledge - such as the implicit assumption of a 'basilican' type of ecclesiastic architecture in the early Anglo-Saxon repertoire of form. I do not decry the validity of constructing paradigms or conceptual models, this is how we learn to recognise patterns of evidence: if not, then basic categories such as 'church' or 'granary' would never be applicable. However, the recognition of the need to re-assess paradigms, as knowledge builds up over time, avoids the potential of historical interpretations becoming their own historiography.
Specifically, the interpretation of certain church-types as 'basilica' allows for the construction of a model of influence showing an intimate connection between Rome and early Anglo-Saxon Christianity via Kentish missionaries through the identification of the manifestation of Roman imitation by the adoption of a Roman (Mediterranean) form of building in Kent, which thereafter appeared in other parts of Anglo-Saxon England. The original application of this specific term may have been intended for identification and descriptive purposes but has been transformed into the basis of a long standing historical construct - for example, in the discussion above when Jackson and Fletcher list as their first corollary for the early date of Wing based upon ‘a basilican church might be expected in the seventh century in a district of Roman influence but not at any later date’ (1962, 15). I am certainly not going to deny a connection between
Papal Rome and Anglo-Saxon England, but I will question the strength of this connection based upon the typological identification of ‘basilica’ as evidence. Gem has examined the reasons for and the biases of the paradigms constructed for the interpretation of the architectural history of ecclesiastic building tradition in Anglo-Saxon England. He argues for a reevaluation of the ‘non-existent’ evidence for mid-late 8th century building activity based upon the 8th century monastic reforms which were occurring (Gem 1986). This ‘non-existent’ evidence is strictly based upon continental art historical models which Anglo-Saxon churches were then slotted into in chronological order as ‘derivations thereof’ (thus a formal model had to appear on the continent first). In addition to arguing for a paradigm constructed from more specific cultural circumstances, he identifies the derivation of the current paradigms based upon the hypothetico-deductive modes of reasoning. In this instance of ‘basilica’, an inductive method (combined with documentary interpretation) led to the formulation of an hypothesis which has turned into an a prioristic paradigm. Since the formulation of this model the data base for the original induction has continued in use without being reviewed in accordance with new information (for example, Nees 1993 refers to Hexham as a ‘basilica with true aisles’; 826). Therefore I am reviewing the implicit conceptual assumptions and attempting a construct which is historically and materially specific and contextualised.
IV. A Methodological Exploration of Design
It is not only our own pre-conceptions with which we must be concerned. Analyses which incorporate any notion of human agency should encompass a notion of how any apparent change or innovation relates to continually transforming pre-understandings of order as the human agent negotiates, and reproduces, an environment of symbols, languages, relations and politics (cf. Bourdieu 1977, Giddens 1984 for fuller discussion). An analysis of Hexham allows us, via the historical persona of Wilfrid, to look at how an act of intervention by an individual can be formulated by that person relative to their own relationships and experiences. By positioning human agency within the social and cultural context and the series of actions which shape their understanding of their environment, we can possibly begin to see how what we perceive as an ‘event’ is a transformation of this nexus of context and action.
Reviewing the documentary evidence (cf. above III.3) for Wilfrid can allow us to highlight three main experiences which might have impinged upon the character of the individual named Wilfrid up to the time of the building of St Andrew’s: his upbringing as a Northumbrian nobleman, his enthusiastic and orthodox Roman Christianity and the time spent in Merovingian Gaul. As a nobleman, Wilfrid was not only familiar with royalty, politics, and ambition, he also would have been exposed to symbolic expressions of these ideas and an understanding of the techniques and processes for the realisation and ordering of form. It is also a possibility that Wilfrid’s religious ambitions began more in relation to secular ambitions and he chose a religious life as an alternative source to a secular power that he was not in a position to obtain. His *Vita* seems to indicate that his religious beginnings had more to do with unpopularity in the paternal home rather than an inspired calling, choosing to leave his father’s estates because “his step-mother (his own mother being dead) was harsh and cruel; but he obtained arms and horses and garments for himself and his servants in which he could fitly stand before the royal presence” (*VW* II). His religious training was very systematic and always under the influence of strong patronage; his ease and familiarity with nobility enabled him to pursue his study of Christianity closer
and closer to the centre. His time spent at the Merovingian court with Bishop Annemendus was probably very influential upon his understanding of the attainment and wielding of ecclesiastic power, as evidenced by his involvement in the ecclesiastic and court intrigue to a degree that almost made him heir and almost cost him his life. This fusion of secular power and politics with ecclesiastic power and politics creates in Northumbria an ecclesiastic who never made pretence to distance himself from worldly ways, in the manner of a Cuthbert or a Biscop (who, surprisingly to us, was never made a bishop). The year spent in Rome enabled him to learn the then most current Christian orthodoxy: which prayers and liturgy to use, studying the correct interpretations of the Gospels, and which version of theology was considered heresy and which was not. For Wilfrid, his ambitions, his foundations and buildings, even his ‘meddling’ in Northumbrian politics were always defined in terms of what he felt to be orthodox Christianity and the protection of his Christian family. His reply to the council at Ouestraeefelda staunchly defends his personal actions in terms of his ambitions for the Church (VW XLVII). In trying to understand the physical forms of his orthodoxy and ambitions, it is important to remember that the outward manifestations of religious orthodoxy (excepting issues such as the Petrine tonsure) were not standardised (e.g.: iconography, vestments, adornment, furnishings) until the monastic reformations in the tenth century and that Wilfrid’s experiences exposed him to a variety of forms of symbolic expression.
IV.1 Design
style
Three elements combine in any act of creation (or instigation of something new): technique, function, and style. The technique is the realisation of the end product which includes materials and construction, function is purpose whether it is practical or symbolic, and style goes beyond fashion or decoration to encompass the manner in which the first two are joined together and can locate levels of power and political ambition as well as aesthetics. In Wilfrid’s case, at the time of the foundation of Hexham, his church would need to be able to house his version of the current orthodoxy witnessed while in Rome in such a manner that combined political ambition with religious fervour. The Irish missionaries might have been known for their (purported) humility and asceticism, but Merovingian Bishops were very powerful people who imbued their religion with pomp and symbols of power and wealth. Wilfrid seems to have been a new model of ecclesiastic in Northumbria, more akin to his Merovingian counterparts (cf. Goffart 1988, Wood 1994). The preceding discussion has already shown, to a degree, a complex combination of influences and desires. The influence of Wilfrid’s time in Gaul and in Rome upon the building of Hexham should not be sought in terms of a direct copy, but rather in terms of attitude towards the manifestation of ecclesiastic power.
The problem posed is that with all these potentialities abounding it is entirely possible that Hexham is unique in terms of form and style for 7th century Anglo-Saxon churches, so how do we look at the fragmentary remains? As with the crypt, there does not appear to be a single model, either Roman or Merovingian, which can be imposed upon the remains to give us an understanding of the form. Furthermore, if a building’s remains are not sufficient to permit even a basic form to be deduced by which it can then be compared to others or the decorative details are too fragmentary to ascertain a specific model of form with which they belong, then a more elemental approach is required. For example, Cramp may be able to describe the characteristics of the stone fragments as ‘classical’ (Cramp 1974) but this is an imprecise indication of form - in the 7th century the classical
orders were not followed further than as decorative guidelines, certainly not to the level where the orders governed the form, size and elevations of a building. Stone fragments can (roughly) be divided into two categories: structural and furnishings. Structural elements can be indicators of building form and mass; furnishings might be an integral part of the space (e.g., large, immobile altars). However, they might also be decorative, as in sculpture which might not bear any relationship to the building form (e.g., Viking hogbacks which may be in an early Anglo-Saxon church), or decorative pieces which, whilst determining the overall atmosphere of a space do not necessarily determine form. At St Andrew's, the stone fragments relative to the form and structure of the building can not be specified beyond identification as pieces of columns, either full columns (structural) or half/quarter round facings (decorative), but not definitively as one or the other (*ibid.*). Similarly the implications of the two pieces of metalwork associated with Hexham is beleaguered by their imprecise connections to the church as a structure (Bailey 1974). Bailey can identify a metal style as typical "Trewhiddle", and another as similar to 7th century Anglo-Saxon work that is paralleled with 6th - 8th century Gaulish work (*ibid.*) however, these pieces may be considered as adornment that could define a quality, such as 'richness', or, being small objects, could be portable pieces not intended as an integral part of the church, and so, again, do not help greatly in determining the layout of the building.
**design**
I have already mentioned the three elements which go into the design of a building: technique, function and style. Style is a very ambiguous term as usually employed by archaeologists\textsuperscript{viii}. The unreflective use of ‘style’ is for categorisation and classification, such as ‘Trewhiddle’, ‘Classical’ or even in the sense of ‘basilica’. These expressions in Anglo-Saxon architecture consist of temporal bands or chronological horizons, categories of decorative embellishments or models of form. We have already seen how the employment of these models for Hexham is not very helpful in determining a reconstruction of St Andrew’s. The *Art and Architecture Thesaurus (AAT)* defines style as the “configuration of artistic elements that together constitute a manner of expression peculiar to a certain epoch, people or individual” (1990, 778). A fuller
exploration of style, as the material expression of the symbolic or ideological mediations of localised power, politics and societal structures, is simply not possible with Hexham - a formless artefact where we can not see the material ordering of these expressions. In other words, it is not very illuminating to say that there is a combination of 7th century localised Northumbrian styles and Classical styles when the remains of the church leave us without a sense of how these styles were combined to be perceived and experienced.
I would therefore like to shift from a consideration of style to a consideration of the process of *design*. Simply, the design of a building is the guiding principles which come together to produce a sense of ‘this is the correct way to put the parts together’; of ‘rightness’. Vitruvius provided a canon for good design in the 1st c. BC, which still remains the best working definition of the practice of building, based on *order* (*ordinatio*), *arrangement* (*dispositio*), *proportion* (*eurythmia*), *symmetry* (*symmetria*), *decor* (*decor*) and *distribution* (*distributio*):
*Order* is the balanced adjustment of the details of the work separately, and, as to the whole, the arrangement of the proportion with a view to a symmetrical result. This is made up of dimension (*quantitas*), … [which is] the taking of modules from the parts of the work; and the suitable effect of the whole work arising from the several subdivisions of the parts.
*Arrangement* … is the fit assemblage of details, and, arising from this assemblage, the elegant effect of the work and its dimensions, along with a certain quality or character. The kinds of the arrangement … are these: ichnography (plan); orthography (elevation); scenography (perspective). Ichnography (plan) demands the competent use of compass and rule; by these plans are laid out upon the site provided…
*Proportion* implies a graceful semblance; the suitable display of details in their context. This is attained when the details of the work are of such a height suitable to their breadth, of a breadth suitable to their length; in a work, when everything has a symmetrical correspondence.
Symmetry also is the appropriate harmony arising out of the details of the work itself; the correspondence of each given detail among the separate details to the form of the design as a whole. ...the calculation of symmetries, as in the case of other works, is found from the details.
Decor demands the faultless ensemble of a work composed, in accordance with precedent, of approved details. It obeys convention, which in Greek is called thematismos, or custom or nature....
Distribution, or Economy is the suitable disposal of supplies and the site, and the thrifty and wise control of expense in the works. ... The second stage in Economy comes, when buildings are variously disposed for the use of owners or with a view to the display of wealth or lofty enough to suit the most dignified eloquence..."
(Vitruvius, Book I, ii\textsuperscript{ix})
Although Vitruvius’ treatise on architecture arose from within a formalised, professional practice, these definitions are applicable for an understanding of the process. For a building to be considered ‘designed’ it must contain a degree of self-consciousness about the overall order and form as well as a functional use of material which combine into a ‘harmonious’ composition. Vitruvius sums this up as strength (firmitas), utility (utilitas) and grace (venustas) (Vitruvius, Book I, iii). This sense of ‘rightness’, however, still leaves wide berth for individual interpretation and expression. Therefore, the process of design can be seen as governances for the understanding of the ordering of space and form derived from cultural and historical traditions; values of correctness implicitly understood by the whole community.
proportion
What is apparent from Vitruvius’ definition of design is the repeated emphasis upon the relationship of the parts to the whole. Proportion is defined as the “relation between respective parts or between parts and the whole, in a building or any work of art, whether considered purely visually or numerically” (AAT
An elemental understanding of proportion is the ability to discern the relations of the parts, such as the basic, and oft noted, recognition that the Northumbrian churches tend to be ‘long and narrow’ when compared to the Kentish or Anglo-Saxon churches elsewhere (Taylor 1978, 1032-33). This instinctive recognition of an overall sense of proportion, however, does not present us with an understanding of the relationship of the individual placing of the elements of a building to the overall form. Within the tradition of architecture, an understanding of proportion has been elaborated into a system of geometrical relationships which can be explained in terms of mathematical relationships; “the immediate consequence of any mathematical theory of proportion is the availability of a system of proportion, a rule, or set of rules, for the creation and combination of parts. The architect may now take some basic measure - or module - from which to derive all the lengths and forms exhibited in a building; the parts of the building will then of necessity stand to each other in a direct and intelligible mathematical relationship” (Seruton 1979, 60-61). The ideal of mathematical rules governing the overall design of a building as an overarching harmonious principle of beauty has carried through Western theory from Vitruvius and Pythagorus, to the Platonists and Neo-platonists and espoused within Christian theories of beauty by St Augustine, among others (ibid.). The ability to discern a proportioning system expressed consistently within mathematical terms relies upon precise linear measurements of a building’s remains. The difficulty of this lies not only in determining the level of our precision of measurement and mathematical analysis, but also in requiring the comparison of like with like. The evidence of a building’s remains ranges from poorly recorded antiquarian drawings and field notes, to excavated remains which frequently only reveal foundations or robbed out trenches, to standing remains which could be a few corners or coursed stones incorporated into a later structure or (rarely) complete walls. In order to illustrate the problems, I will turn to a consideration of previous analyses within the study of Anglo-Saxon architecture, namely, work on Anglo-Saxon building measurements and work on proportions of the length/breadth ratios of buildings.
IV.2 Review of Previous
The analytical work on the design of buildings (the plan, specifically) falls into two categories: metrological analyses to determine standardised measurements and proportional analyses which concentrate on the ratio of the length:breadth of the main rectilinear structure for purposes of categorisation and the possible distribution of types. In order to proceed to the analysis of the specific building we are concerned with, it is first necessary to understand the methodological undertakings which have come before which have attempted to describe the proportional relationships of a building.
metrological studies
Metrological studies have a long pedigree within both architectural history and archaeology. The standard study is, by various methodologies, to look for repeatable dimensions in any given building and to look for relations of dimensions expressed in simple ratios, such as 1:2, 1:3. The pitfalls of such a simplified goal is that by making the measure smaller and smaller, eventually a system of measurements divisible by simple ratios will be found for any building. A level of historical evidence is therefore usually required for the system to have some validity (Fernie 1991, 2; Huggins, et al 1982, 23). Consistency of measurement, comparison of disparate evidence, unit of accuracy employed and derivations of measurement (i.e. scaled from plan or field measurements) are some of the numerous problems which beset metrological analysis.
Historically there is no firm evidence for which particular system of measurement was employed by the Anglo-Saxons (Fernie 1985). Evidence for a standard measurement is therefore worked forward from Roman measurement systems or backward from later Anglo-Saxon and continental sources, as far forward as 20th century pre-metrication systems. The assumption here is that there is a tendency for conservatism in measurement systems and the much later metrification systems can therefore contain well-preserved archaic information (Fernie 1991, 2). Using a variety of documentary sources the lengths postulated for use in Anglo-Saxon architecture are the 5.03m Northern rod, the Drusian foot
of .333m and the Roman foot of .296m (Huggins 1991; Kidson 1990; Kjolbye-Biddle 1986; Fernie 1985; Huggins et al 1982). The Northern rod of 5.03m (or 5.029m which is normally rounded up) is primarily derived from the late 12th/early 13th century *Statutum de Admensuratione Terrae*, a list of standardised measures which stayed in use in England until 1961 (the English perch) (Kidson 1990, 74), which correlates with the Carolingian *pertica* of 5.032m, documented in a 9th c. text referred to as *Pauca de Mensuris* (*ibid.*, 75). The Roman foot of .296m is documented in many Roman sources as well as surviving into the Middle Ages and having pre-metrical vestiges (*ibid.*, 81). The Drusian foot is the *pes Drusianus* of 13.1 inches (.333m), the ‘long foot’ documented from the 1st century BC (Huggins et al 1982, 23) and the 2nd century (Kidson 1990, 82) as in use in *Germania Inferia* (lower Germany and modern Belgium). Finally, there also seems to have been a *virga regalis*, a ‘short rod’ in the Carolingian system which also had pre-metrical equivalencies. This length was deduced in the 19th c. to be 4.70m, although the mean of 19 measured rods came to 4.63m (*ibid.*, 85; Huggins et al 1982, 25), and a vestigial 19th c. northern German measurement existed of 4.65m (Huggins 1991, 26) The difficulties with the historical documents are the attempts to determine a coherent system of measurements which work relative to each other and to the archaeological evidence. One Northern rod of 5.03m was made up of 16.5 feet which results in the modern English foot of .3048m. The Carolingian *pertica* of 5.03m was made up of 17 feet resulting in the Roman .296 foot. These two cognate measurements, the Northern rod and the *pertica*, do not appear to be reconcilable as systems, neither do any of the other English measurements with the Roman system.
Kidson and Huggins have both used very different methodologies to arrive at different possibilities of reconciling the systems. Kidson, through a series of well-worked through mathematical ratios, has very neatly presented an argument for the relationship between the 17 ft rod (5.03m:.296m) and the derivation of the English acre (cf. summary, Fernie 1991, 4) as well as many other historically attested continental lengths. The arguments are too lengthy to repeat here, however, his results derive from the application of the ratios of $\sqrt{2}$, $\sqrt{3}$, the
Golden Section, and $\sqrt{5}$ (the four classic irrational numbers) to problems of measure encountered in different regions, whether it is land management and accounting or craftsmanship and architectural systems (Kidson 1990). These ratios are representations in mathematical terms of simple geometric constructions (cf. below IV.3) which can not be easily described numerically but which reconcile the relationships between the seemingly chaotic and disparate systems of measurement.
Kidson’s evidence and sources are purely from historical documentation, Huggins, on the other hand, combines historical and archaeological data from Anglo-Saxon buildings. He finds evidence in a large percentage of cases for the use of the 5.03m Northern rod in the design of both timber structures and stone churches (Huggins 1991, Huggins et al, 1982). He furthermore finds archaeological evidence to support the use of a shorter rod, which he determines to be 4.65m. In order to reconcile a system of measures from the physical evidence, Huggins believes that the rod was divided into 15 units. He also finds evidence for the division of rods into 1/3 and 1/6 of a rod in the layout of the buildings. The table below summarises his results. Figures in bold represent historically attested lengths.
| | ‘Northern’ system | ‘shorter’ rod |
|----------------|-------------------|---------------|
| length (1 rod) | **5.03m** | **4.65m** |
| foot (1/15) | .335m | .310m |
| 1/6 | .838m | .755m |
| 1/3 | 1.68m | 1.55m |
Table 1. Comparison of Huggins’ metrological systems
The foot for each system is very close to historically attested measures. The .335m foot is within 2mm of the pes Drusianus, and the .310m foot is within 3mm of the ‘Rhenish foot’ of .313m. This foot remained in use in northern Europe (Holland, Prussia, Denmark) until metrification. Additionally it is known to have been in use in Scotland by the 14th century (Kidson 1991, 91). Huggins reconciles these measurements with the English system (16.5 feet/perch,
1 foot = .3048m) through the 5.5 yard/perch. Thus, the length of the Northern rod divided by the length of 3 times the smaller foot results in a figure close to the 5.5 yard/perch: \( \frac{5.03}{(3 \times .310)} = 5.41 \).
Kjolbye-Biddle determines that the pes Drusianus was the basis of measurement for the Old Minster at Winchester (1986). Her results derive from imposing a best-fit geometric system onto the excavated foundations of the church and afterwards comparing the resultant measurements to possible lengths of ‘foot’, e.g. the Roman foot, the English (Staufian) foot, the pes Drusianus. The following table presents a measurement system based on her work (ibid., 209):
| Drusian foot | .333m |
|--------------|-------|
| rod (16.5 feet) | 5.50m |
| 1/6 rod | .917m |
| 1/3 rod | 1.84m |
Table 2. Kjolbye-Biddle’s metrological system
The previous two studies combined archaeological data with historical documentations of lengths. Other metrological studies have concentrated solely on the archaeological evidence from each particular site, using Petrie’s first principle of looking for repeated dimensions in simple proportions. The reticence towards searching for historically attested lengths is because these studies are seen to lack mathematical rigour and therefore become very subjective (Bettes 1991, 45). Bettes developed a mathematical test run on a computer which takes a set of data and runs a search for divisions of a given unit (a range of units 1mm apart from 250-360) into whole, half and quarters. The results are then put to a least squares test to derive a variance, the smaller the variance the higher the likelihood of a match. Bettes’ results from Jarrow find the unit of measure with the least variance to be .280m. This, therefore, is the ‘foot’ measurement used in the building of Jarrow (ibid., 50) The data requirements needed for the original input are quite stringent. Accurate measurements were taken by experienced surveyors using equipment in good condition. Eleven final measurements were chosen as being ‘independent’ - that
is, not influenced by any other factors other than being part of the original plan of a free-standing structure. Whilst the rigour of his method is commendable, the ability to reproduce this type of accuracy and stringency at other sites is near impossible. On far too many sites there is no free-standing, upright structure which could be measured with such precision as well as the impossibility of returning to sites already excavated and re-measure them.
One interesting note from Bettes’ study is the similarity between his .280m foot at Jarrow and the ‘Yeavering unit’ originally determined by Hope-Taylor at .281m. Although this unit has been dismissed as an anomaly by others performing metrological studies (Bettes 1991, 50; Huggins 1985, 23), there are a few interesting possibilities. The division of the English perch into 16.5 feet has never been satisfactorily explained. Although the correlation between the 17 ft Carolingian *pertica* and the English acre works mathematically, it does not explain the peculiar 16.5 division which results in the English foot of .3048m. Fernie has made several cases for the measure of .3048 being the older and needing to be integrated into the later standard of the Carolinian *pertica* (the roots of which appear sometime around the 4th c) (1985, 1991). There is another possibility. Huggins’ archaeological work presents a strong case for the 4.65m rod, however his own historical work derives a mean measurement of 4.63m for this length, which in all probability would still work as a modular unit on the sites he has analysed. A rod of 4.63 divided by 16.5 obtains a measurement of .2806 feet, almost exactly between the Yeavering .281m and the Jarrow .280m. The measured difference between .2806 and these two numbers is minute. Huggins further noted a tendency for divisions of the rod into 1/3 and 1/6 (also seemingly noted by Bailey at Hexham, 1991, 7) .280 is 1/6 of 1.68 which is 1/3 of 5.04m. 1.68 is 1/3 of the Northern rod as noted above. Therefore a site which has evidence of a .280 foot could either also have evidence for a 4.63 rod or a 5.03 rod, and a site which displays affinities with the 5.03 rod could also have evidence for a .280 foot or for divisions of 17 (.296), 16.5 (.3048) or 15 (.335)
This survey of some of the metrological studies highlighted the inherent problems - difficulties are inevitably going to arise when differences of opinions
are measured in millimetres (or less). Searching for a mathematically pure and consistent system of proportion attempts to enforce a rigorous system of modern measurement upon the past which ignores human error and the imprecision of the tools which were used. Typical surveying and building tools used in Roman Britain were the bronze *regula*, the *linea*, a cord divided into lengths, and the *circinus*, a compass (Evans 1994, 149-151) (although arcs scribed on the ground would be done with a fixed cord). The *regula* and the *linea* were calibrated into equal divisions, but not with any great accuracy, for example, on a *regula* from Caerleon the increments varied by more than 20 percent (*ibid.*, 149). The use of a chalked cord for laying out lines is still in practice, albeit not as commonly as it used to be. The measurement of a cord varies as the cord naturally stretches or when it becomes wet. As well as heat and moisture, ground slope and other factors of the landscape also profoundly effect the precision of these instruments, plus simple human error. Therefore the likelihood of metrological investigations for consistent lengths within a variance of millimetres agreeing with each other is low. Furthermore, aside from adding to our level of historical data, metrology for its own sake does not further our understanding of how sites and buildings were designed.
**proportional ratios**
Another method for investigating the proportions of a building is to analyse the length:breadth ratios of various structures, the second part of Petrie’s definition: “to look for repeated dimensions in a series of buildings” and “to look for simple relations of the ratio length/width for a particular building” (Huggins 1991, 6). The purpose of this, outwith metrological studies, is to attempt to find distribution patterns which could then tell something about either the recognisable characteristics of a style of building, the evolution of a type of form or the transmission and diffusion of ideas.
In Volume III of *Anglo-Saxon Architecture* (1978) Taylor compiles the detailed surveys from the first two volumes in order to establish recognisable characteristics of Anglo-Saxon architecture. As well as the style of detail and construction techniques, the form and arrangement of the church plans are
considered (ibid., 1028-34). He compares the ratios of the proportions of 82 church naves and groups them according to representative plans. My criticism of this study is not of the data collected, but the methodology for comparison and the manner of presenting the results. To begin with, he states for churches with monks’ choirs (i.e. not an obvious demarcation of the nave) “rather arbitrary choices have been taken” (ibid., 1032). That aside, the sizes of the naves have been rounded to the nearest 5 foot interval, a fairly large margin of error of ± 2.5 feet. If the smallest measurement is 9’ (Heysham, PA), this is an error of ± 28%. Even if we take 28’ (28.45=average) as the average measurement, this leaves us with a margin of error of ± 9% (all measurements from list p. 1033). The results are presented in two manners, grouped by the proportion of length to breadth in decimal form (to the nearest 10th) and further subdivided by ‘representative’ plans to graphically show the size of the naves as a plan “approximating to the values for all the naves in that group” (ibid., 1032). The resulting table is misleading in terms of variation of the shape and size of the naves. For example, the largest two clusters, of eight churches each, are those listed as having ratios of 2.0. Four other churches are listed singly (their representative plans being smaller or larger than the two main groups) with ratios of 2.0. Of these 20 churches, using the measurement to the nearest foot, not the measurements rounded to 5 foot intervals, only 6 of them actually have ratios of 2.0. The values of these 20 churches range from 1.7 (Thetford) to 2.2 (Clayton) (1.70 - 2.16). Another group, those represented by plans with ratios of 1.3, have variations from 1.18 (Much Wenlock) to 1.69 (Thetford Mi I), when calculated from the measurements to the foot. This variation in terms of form ranges from a shape which is almost square to a long and narrow rectangle, which becomes apparent when described as objects (rather than numerically), as I have shown in Fig. 4.
Fig. 4. Variation in form of proportions represented by Taylor's 1:3 group.
These differences are perceptually enormous. If the purpose of Taylor’s correlation is to help determine the characteristics of Anglo-Saxon churches, the results presented do not actually define shape, size or proportion of naves because of this inexplicable representation of the plans to the nearest 5’ interval. Furthermore, the statements of result, which have become the basis for our current understanding of Anglo-Saxon nave construction, do not stand up against the measurements.
When the ratios are tabulated based upon the measurements to the nearest foot, comparisons of the results with Taylor’s tabulation show large inconsistencies, as I have done in Table 3 and 4 (also cf. Biddle et. al, 1985, 305-9 for work dividing the groups by time-period and geography which has also used the nearest foot measurement rather than the five-foot interval). Taylor lists seven churches clustered around 3.0 (ranging from 2.5 - 3.2) as having the largest ratios of length to breadth (*ibid.*, 1032). The compilation based upon the measurements to the foot show the largest group, five churches, belong to the 2.9 ratio, with a distribution between 2.5 and 3.1 containing 15 churches. Additionally, Taylor states the region from 1.4 - 1.8 as being “heavily populated”, and “about the mean of the distribution” (*ibid.*), whereas the recompiled table shows the mean of the distribution to be between 1.6 - 2.2. Statistically the average of the new table is 2.03, however, the distribution shows 1.7 as containing 9 churches, 2.1 and 2.2 containing 8 each, and 1.6, 1.8, 1.9, and 2.0 each containing 6 churches. It would therefore be erroneous to attempt to reconstruct a church based upon the simplified understanding of one group of churches having a nave with a ratio of 2.0 as the average nave size, or 3.0 as the average nave size for the Northumbrian group.
In a manner similar to Taylor’s, James, Marshall and Millet (1984) identify characteristics of Anglo-Saxon timber buildings through an analysis of the ratios and proportions (other aspects of their analyses, such as framing techniques, will not be discussed here) and then compare these characteristics to Romano-British
| 1.0 | 1.3 | 1.4 | 1.5 | 1.6 | 1.7 | 1.8 | 2.0 | 2.2 | 2.3 |
|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|
| Peterne Barton | Broughton K. Hamptonton Prestford Mi i Warren P. ii-ii M. Wenlock | Elham Reculver | Canterbury A M M P | Cheddar i Chindust O Seham Stretfall Wareham M | Bradford Cheddar i Chindust O Seham | Beechamwell Framingham Greenstead Norwich J Quarry Stafford ii Theford Mi ii Wittering Boardhunt Bracebridge Cambridge Carlton Clayton Cramford Headbourne Penlow Riverhall Brixworth Winchester | Bosham Stooghton | Wharren Percy iv Corhampton Exeter Marton Missendon Winstone |
| 2.4 | 2.5 | 2.7 | 2.8 | 3.0 | 3.3 | 3.5 | 4.0 |
|-----|-----|-----|-----|-----|-----|-----|-----|
| Dover Heacham, east Heysham, PA Worth Bradwell Braemore Corbridge | Jarrow, east Colin Rogers Kingston Lexham | Dallingworth Escomb Lesham Seham Deerhurst wing | Lavendon Stanley Eltham N. | Beechamwell Thobnage |
Table 3. Taylor's groupings of nave by proportion of ratios based on the nearest 5' intervals.
| 1.0 | 1.2 | 1.3* | 1.4** | 1.5 | 1.6*** | 1.7*** | 1.8 | 1.9 | 2.0 |
|-----|-----|------|-------|-----|--------|--------|-----|-----|-----|
| Potacre | Mitch Wenlock | Wharren Percy ii-iii | Broughton | Waterham M | K. Hamerton | Theford M ii | Framingham | Bardsey | Stafford i |
| Barton | | | Lusby | Holton | Cheddar i | Greensted | Quarey | Whiterng | Stafford ii |
| | | | Eltham S. | Reculver | Deehurst O | Selleni | Whiterng | Carlton | Riverhall |
| | | | Canterbury A | | | | Norwich J | | Brixworth |
| | | | | | | | Bradford | | Winchester |
| | | | | | | | Chilham | | |
| | | | | | | | Barsham | | |
| | | | | | | | | | |
| 2.1 | 2.2**** | 2.3 | 2.4 | 2.5 | 2.6 | 2.7 | 2.8 | 2.9 | 3.0 |
| Cambridge | Boarhunt | Bradwell | Braemore | Jarrow, east | Daglingworth | Ledsham | Secham | Heysham PA | Lavendon |
| Headbourne | Brackbridge | Dover | Iver | Dunham | Corbridge | Colin Rogers | Kington | Deehurst | Wing |
| Hextham, east | Claydon | | | | | | | Wing | Stanley |
| Corhampton | Cringford | | | | | | | | Escomb |
| Marton | Exeter | | | | | | | | |
| Missenden | Bosham | | | | | | | | |
| Winstone | Stoughton | | | | | | | | |
| Wharren Percy iv | Worbe | | | | | | | | |
Table 4. Recompiled groupings of nave by proportion based on measurements to the nearest 1'.
*Sacred Triangle **Golden Section ***Golden Ratio ****Golden Section
and continental examples in order to determine evolutionary origins and “cultural affinities” (ibid., 182). Schematic plans are compared which contain plan characteristics whose “most common shape is the two-square module in which the groundplan consists of a square on either side of the central long-wall doors” (ibid., 186-7). The favourable comparison of this module with Romano-British structures adds to the evidence which leads the authors to conclude that the Anglo-Saxon building tradition is a hybrid of traditions, either “Germanic immigrants adopting British buildings from their indigenous neighbours” or a “process of Germanisation of the sub-Romano-British” (ibid., 206). This two-square module, however, has several variants: two-square plus door width and two-square minus door width (ibid., 186, fig. 4). This produces a wide range of ratios, although the average ratio is 2.0.
Although the proportion of length:breadth is only one facet of that study, Marshall and Marshall have built upon the identification of two-square modules and 2.0 ratios for their extensive survey of Anglo-Saxon timber buildings (1991, 1993). The results are broken down into regional and chronological developments in order to “find patterns of evolution in space and time for the buildings and, by implication, for Anglo-Saxon culture” (1993, 367). Their data for each area, with measurements accurate to within half a metre (1991, 34) are represented in three manners. First as a scatter diagram showing the clusters of length:width, then as ‘boxes’ whose centres represent the average length:width and the outlines of the box represent twice the standard deviations, then as histograms representing the distribution of proportions. These methods show that there is a general ‘predominance’ of buildings with a 2:1 ratio (1991, 35, 39), and when broken down by region and chronology, is ‘most common’ in the 5th and 6th c., (1993, 367, 370-72, 375-76), and still common but not predominant in the 7th c (1993, 379). Variations occur which range from 1:1 to <3:1, these are interpreted as the variations between the ‘classic’ two-square module (2:1), the overlapping two-square module (<2:1) and the two-square plus corridor (>2:1). Their summary is stated in bald terms which, as we have seen in the discussion of Taylor’s work, hides the actual variation. For example, “The Anglo-Saxons arrived and settled in eastern Britain bringing with them a tradition of building
two-square structures (James et al 1984), a tradition adopted from the Romans on the Continent. Anglo-Saxon culture spread from the eastern part of Britain, to be assimilated into a Romano-British tradition of building which already included the two-square module inherited from the Romans..." (1993, 395).
In summary, the use of simplified mathematical ratios to describe and analyse buildings does not best represent the proportion and design of a structure. At best, this sort of work produces broad generalisations such as the observation that there appears to be a tendency for buildings to become longer over time in a given region (ibid., 392) or that Northern churches do tend be longer and more narrow than their southern counterparts. However, detailed statistical analysis of ratios is not really necessary to determine these trends. At worst, inexplicable choices in the representation of the data result in pre-biased data, especially if those representations are already based upon inconsistent measurements (rounding up to the nearest half-foot, foot or 5 foot increments; measurements along the interior, exterior or centreline). The resulting interpretations of the data thus can not hold up to the evidence.
**geometrical proportions (successive proportioning)**
Fernie provides a summary of points to be followed in order for metrological studies, or indeed any analysis involving measures, to be more responsible and more valid:
1. The study should only deal with actual measurements. Dimensions scaled off plans or aerial photographs, unless they are of the largest scale and the very highest quality, will suffice for generalisations about differences in overall sizes... but they are never trustworthy enough for use in the study of lengths.
2. Measurement should be taken consistently between the same kinds of points; an analysis which allows itself to choose between the interior, exterior or centre of a wall for different measurements will always find an answer....
3. A study should not be restricted to a single building as the one selected might meet the criteria purely by coincidence.
4. An attempt should be made to establish the way in which the building was designed in order to extract the most important dimensions.
5. Subsidiary measurements, that is those which are derived from the main dimensions, should not be taken as corroborative evidence for the use of a length.
6. Reconstructions should never be used to help establish the use or frequency of a particular length.
7. Only documented lengths should be accepted, ... since allowing odd lengths again increases the chance that the investigation will always produce an answer.
8. ...a sharp distinction needs to be drawn between systems of length on the one hand and absolute lengths on the other.
(Fernie 1991, 2)
Whilst in general I would agree with these principals, the nature of the evidence makes it very difficult to uphold them. The first point, ‘actual measurements not scaled from plans’, can only be remedied if the person doing the analysis is the excavator. Most often, the results of excavation and survey are only presented as published plans. Archives are frequently lost or misplaced and even then, the original work might not contain dimensions, simply scaled site plans. Unfortunately, it is true that dimensions scaled off of plans are not reliable; partly because of the potential distortion from reprographic techniques, partly because most published plans have been ‘prettied’ by the illustrator and their accuracy depends upon the individual and partly, because of publication costs, the plans have been reproduced at ridiculously small scales. Point 3 is worth emphasising, information from individual case studies should not be the entirety of an argument with generalised results. Individual case studies must be contextualised. Comparative studies, however, are usually not performed to the high level of detail which can be gleaned from individual studies. Points 7 and 8 have been addressed in the previous sections.
The remaining points are worth consideration as part of a single problem, which can be summarised as point 4: *an attempt should be made to establish the way in*
which a building was designed. Here, though, as stated above, design is seen as a process which has a degree of self-consciousness about the overall order and form of a building; self-consciousness derived from cultural and historical traditions. A major component of the design of a building is the ordering and arrangement of the parts relative to the whole, perceived in the proportions of the building. We have already seen the problems with mathematical analyses of proportions. An alternative form of investigation, geometric proportional analysis, can address some of these inherent problems. A geometric system relates the parts to the whole in terms of layout, which does not need to be expressed or comprehended as a precise mathematics systems of ratios.
Fernie’s point 2 begs the question of what were these measurements of which are investigated by metrological and ratio studies. Buildings are normally discussed in terms of plans, layout, construction techniques and materials. These all imply activities. An architect (the planner) uses different tools and measures for constructing a scaled representation. The surveyor has to transfer an idea to the ground and addresses problems of site with different tools and measures. The builder and the craftsmen work in different scales to achieve their results, again requiring different tools and techniques. An architect works with set squares and compasses with small measurements. The surveyor requires rods and cords which cover great lengths. The builder works with modular units, whether it is stone or timbers, with relatively fixed sizes which must be put together to form greater wholes. The craftsman works in small detail, with fine tools and measures. Kidson’s analysis of measurements (1991) is significant because he sees the disparity of measurement systems as differences in which types of measurement systems they were and thus the later standardisations were rational attempts to correlate the architect’s measures with the craftsman’s measures, with the land surveyor’s, with the cloth merchant’s, etc. through geometric relations.
These basic requirements of building tools are known from all time periods. Although there is a lack of evidence specifically from early Anglo-Saxon England, there must have been the employment of standard techniques in order to obtain results with any level of order and regularity. We can turn to RomanBritain for some evidence of what tools were probably employed by the Anglo-Saxons. The *linea*, the *regula*, and the *circinus* have already been mentioned. Additionally the *groma* (surveyor’s cross for sightlines), the *norma* (set square - right angle triangle) and the *libellus* (an A-framed square with plumb bob for levelling) (Evans 1994, 149-152) were part of the standard repertoire. More sophisticated and complex tools were also known to the Romans, such as the *dioptra* (a complex levelling and sighting device), the *chorobates* (a spirit level), the astrolabe and the quadrant (Deumlich 1982, 3). These devices are not necessary for the planning and construction of a building, so they will be left out of this discussion. The use of the former simple tools and different measuring devices have implications for how a building was planned and how a site was marked out and, consequently, have implications for what the modern researcher should be investigating. For instance, if a building was developed on ‘paper’ by an architect and then transferred to the actual site, the standard measurements could relate to the centre of the walls or to the exterior of the walls; if a building was planned on site, the measurements could relate to the interior or exterior of the foundation walls, the footings or the walls.
The evidence prior to early Anglo-Saxon England and after (up to and including modern times) is for the reliance and use of geometrical constructions for planning and setting out. Although plans were in use, there was no method for accurately transferring plan measurements to a site (Evans 1994, 153), whereas relative positioning can easily be set out geometrically. The metrological investigation by Huggins, Rodwell and Rodwell (1982) discussed above might be beset by difficulties in terms of their metrological results, however the method undertaken to arrive at these results is worth consideration, especially the analysis of the Viking camp buildings (*ibid.*, 39-52) (Fig. 5 for the following). These regularised groups of boat shaped buildings were investigated because the site had previously been claimed to have employed the Roman foot. The buildings are normally grouped in fours in a square pattern, which are then aligned around the north-south, east-west axis within a circle. In other words, a
Fig. 5. Analysis of layout of the Viking camp buildings, following Huggins.
four quadrant square inscribed within a circle (Fig. 5a, *ibid.*, fig. 2.6, 42). In determining which set of dimensions would be the significant dimensions to consider (referred to as the design dimensions), the authors discussed the differences in the relative positions of the post construction to cords used in setting out the site. If cords were used to mark a line and then removed (i.e. chalked lines inscribed), the centre-line of the posts would be significant. Cords which were left in position could generate actual dimensions (the actual placing of the posts) either directly touching the posts to one side, as the centre-line of posts staggered either side of the cord, or to one side but not touching the cords which would mean the design dimensions would have to be determined from the cord position and not the wall position. Additionally, for trench construction (based on evidence from Yeavering) they suggest that the cord position (therefore the design dimension) would be just outside of the wall construction (just off of the centreline) if positioned after the trenches were dug and the first post erected (*ibid.*, 47). If the actual post-post dimensions do not reflect the design dimensions because of the construction techniques, then an alternative means for determining the relevant dimensions must be sought. This involves seeking for the design intention through the use of geometric proportions, where a best-fit of the geometrical relations would explain the determination of the positioning of the building(s), the form and size and the relationships of the parts within the whole scheme. In this particular study, it was determined that a grid of cords was initially positioned over the site and left in place. From this grid, circles were inscribed to determine the external corner post positioning for each building (Fig. 5b; *figs.* 2.9, 2.10, 2.11, 47-49). The design measurements, considered the primary measurements, were the cord grids. The secondary measurements (ones which were dependant upon the primary measurement and thus did not need to be measured) were measurements such as the circumference of the circle. Tertiary dimensions are those which are wholly determined by the overall scheme, such as the actual length of the buildings inscribed by the relationship of the circumference to the grid (*ibid.*, 41-52).
Since a proportional system is also a relative system of elements it does not need to rely upon linear measurements to identify and can be sought for in fragments
in the sense that the part does relate to the whole. Kjolbye-Biddle used simple geometric proportioning to analyse the excavated remains (mostly robber trenches) and offer a possible reconstruction for Old Minster, Winchester (1986, cf. above). The reconstruction works according to geometrical logic relative to the positioning of the foundations (regardless of whether the metrological results are consistent within any other postulated system). A square grid over the site produces a nave of 4:2 squares, a chancel 1 1/3 squares long and north and south porticus of 1:1 squares, where the dimension north-south including the porticus is equal to the nave dimension east-west (4 squares). This system works to the external faces of the walls. The porticus are positioned one square east of the north-south centreline of the entire structure; the chancel is centred 2/3 of a square either way north-south over the east-west centreline (Fig. 6; *ibid.*, fig. 136, 199).
These two examples illustrate two possible ways of designing and determining the layout of a building using geometrical relationships - successive proportioning and a modular system (a grid). These systems could work either separately or in conjunction with each other. Evans (1994) carefully considers a range of evidence for military building in Roman Britain. As well as demonstrating the use of both type systems, this analysis puts forth several salient points in reference to measurement analysis and metrological studies. A modular system will not necessarily produce modules of rational numbers expressible in round figures given that the standard practice would be to derive the module from a base line divided into a given number of points (*ibid.*, 154). In other words a baseline is measured out with a cord then simply divided into the requisite modules by folding into equal parts and marked with a tag. For example, a rod of 5.032m (*pertica*) x 5 = a baseline of 25.16m, divided into 10 modules = 2.516m, which does not correspond to any known historical standard of measurement. Successive proportioning systems also do not rely on actual measurements for divisions and relationships (*ibid.*, 157), as can be seen in the examples from the Viking camps above. Finally, employing geometric constructions to plan a building on site requires very simple tools and skills; a sightline, a rod, cord and markers.
Fig. 6. Schematic reconstruction of Old Minster, Winchester, following Kjolbye-Biddle.
IV.3 Proposed Methodology
Before presenting the methodology employed in this analysis, I would like to reiterate the points outlined in the previous section. The most important point is the understanding of design as an activity. This implies an ability to arrange the parts of a building in an ordered fashion. This ability must rely upon traditional skills and tools with practical implications and limitations. The best way to create spatial arrangements on a site, to lay out a building, given the limitations of the tools and techniques, is through the use of geometric constructions, either through a modular grid or successive proportioning. Without an understanding of the design process, linear measurement analysis is bound to fail. Human practice would not imply a consistency which would be necessary for repeatable, accurate measurements to appear (in the eyes of the modern researcher) across the board. For example, the criteria for measurement analysis which requires the measurement between the same kind of points (Fernie’s point 2, see above), does not allow for setting out cords on site where sometimes the guidelines would be placed to the outside of a wall, to the inside or centred on a trench. Geometric analysis, on the other hand, does not rely on linear measurements or mathematical rigour. It does require internal logic, an understanding of the design process and possible building techniques and the ability to make sense of the entire plan through the relationship of significant points rather than concentrating on one main space.
comparative approach
A geometric system, however, is only discernible in past constructions *a posteriori*. Whilst the internal logic of one system might appear to make sense for a structure, caution must be exercised since another system might equally show an internal logic. Kemp and Rose (1991) performed a series of comparative analyses upon the plan of the Small Aten Temple at Amarna using the ‘sacred triangle’ (3:4:5), a double-squared modular system based upon an 18 cubit module, the Golden Section, and a 20 cubit modular system. The Temple had previously been convincingly claimed to have been based upon the Golden
Section. Each of these systems, however, were found to relate to the plans to one degree or another, close enough to state with conviction that each was the ‘correct’ system employed by the architects of the Temple, if the plans had not been compared (ibid., 112-119). This study is illustrative of the danger of overstating the significance of our analytic tools as tools applied self-consciously by builders of the past. Therefore, in the analysis of Hexham, a comparative approach was undertaken.
**definitions**
Rather than have it appear as if random systems were applied in my approach, I have used geometric systems which are historically known including $\sqrt{2}$, $\sqrt{3}$, the Golden Section, $\sqrt{5}$, and the ‘Sacred Triangle’. As will be seen in the following discussions, although these terms are associated with complex mathematical descriptions of irrational numbers, they are in actuality the results of simple geometric constructions (i.e. can be constructed with a length and an arc) which have been understood and employed for millennia. With each definition I have also noted the historical evidence for the use of each system, chronologically nearest the 7th century.
**Root 2 (Fig. 7)**
$\sqrt{2}$ is the irrational number 1.4142165…. It is the ratio of the diagonal of a square to the side ($x:x\sqrt{2}$). It has already been referred to in its geometrical capacity for the doubling of areas. If the diagonal of a square is used to form the base of the next square, the resulting area will be double. A rectangle with sides having the ratio of $1:\sqrt{2}$ is constructed from the intersection of the diagonal (as radius of an arc) to the base line (the base line in the following discussion refers to the horizontal length). A $\sqrt{2}$ triangle will have internal angles of 90°, 55° and 35°. Approximations of this ratio are $(2x^2 - y^2 = \pm 1)$: 5:7, 12:17, 29:41, etc. (Kidson 1990, 77). As well as being known from Roman times, Fernie demonstrates the
Fig. 7. Geometry of $\sqrt{2}$: doubling of the area of a square.
1: $\sqrt{2}$
Hypotenuse of square = length of long arm.
Doubling the area of a square using $\sqrt{2}$.
use of $\sqrt{2}$ in the construction of the early 12th century Romanesque Norwich Cathedral (1976).
**Root 3 (Fig. 8)**
$\sqrt{3}$ is the irrational number 1.73205…. It is the property of an equilateral triangle. An equilateral triangle has sides of equal length and internal angles all of 60°. A rectangle with the relationship of $1:\sqrt{3}$ can be constructed where the short side is equal to the radius which intersects at the centreline. $\sqrt{3}$ approximations are 8:14, 4:7, 30:52, 15:26 etc. (Kidson 1990, 94). Vitruvius considered the use of equilateral triangles to design to be “in the Roman manner” (*latine paribus lateribus trigonorum*) (Book V.viii.2) and demonstrated the design of a theatre this way (Book V.vi). Although Vitruvius wrote in the 1st c. BC, his treatise on architecture was known through Roman times and the early Middle Ages. In fact, such evidence as we have points towards an English connection. Alcuin of York was familiar with Vitruvius (Reynolds 1983, 441; Krinsky 1967, 36). The earliest surviving MSS of Vitruvius, the British Library Harleian 2767, has been claimed to be c.700 Northumbrian because of the stylistic similarities with the Codex Amiatinus as well as a cross illustration in the text similar in style to the Lindesfarne Gospels (Granger 1928, xvi-xvii). Other scholars feel it to be later, c. 800 and Carolingian (Reynolds 1983, 441, following Bischoff), although “The whole tradition shows signs of a derivation from an archetype in Anglo-Saxon script, and it has been suggested that Alcuin had imported a text from England” (*ibid.*).
**Golden Section (Fig 9)**
The Golden Section is the section of mean and extreme ratio, numerically it is 1.6180399….. There are numerous ways to construct the Golden Section, additively using the centreline of the base of a square ($a_1$) to inscribe an arc through the far corner ($b_1$) which intersects the baseline at C. (Fig 9.I), the Golden Section is the relationship of AB- AC. It also can be created reductively from a 1:2 triangle using DC as the radius (Fig 9.II). A Golden Rectangle
Fig. 8. Geometry of $\sqrt{3}$: equilateral triangles and the Vitruvian theatre plan.
Fig. 9. Geometry of the Golden Section: division of a line, the relationship of square to rectangle, Fibonacci spiral.
contains the relationship where a line perpendicular to AC through B results in a square (Fig. 9.III). Golden Section proportions are represented either as a relationship of rectangles to squares that reproduces the previous relationship (Fig. 9.IV) or as a reductive Fibonacci Spiral (Fig. 9.V). The Fibonacci series is a way of mathematically creating a series of numbers whose ratios are close to the Golden Section. This series is where each further term is the sum of the two previous: 0, 1, 1, 2, 3, 5, 8, 13, 21, 34, 55... The higher the numbers, the closer the ratios are to the Golden Section. Although this number was known to the Greeks and Romans, I have not found any reference to it within a reasonably close time frame to the early Anglo-Saxons. I have, however included it with my analysis because of the all pervasive tendency to attempt to find the Golden Section in just about every building ever designed (although cf. Kemp and Rose 1991, 105, for recent interesting psychological experiments on perceptions involving bipolar judgement and their tendency to select a mean near the Golden Section).
Root 5 (Fig 10)
$\sqrt{5}$ is 2.236068.... It is the hypotenuse of a 1:2 triangle. The ratio 4:9 commonly was used for $\sqrt{5}$ (Kidson 1991, 92). This is constructed geometrically by using the diagonal of a 1:2 rectangle as the radius for the long side. A 4:9 triangle contains internal angles of 90’, 66’ and 24’.
the Sacred Triangle (Fig. 11)
The Sacred Triangle is the Pythagorean right triangle, a 3-4-5 triangle. These lengths are those traditionally used to form set-squares (Vitruvius, Book IX. praef.6). The internal angles are 37’, 53’ and 90’. A rectangle with a ratio of 3:4 (1.3333....) is produced where the diagonal of a square used as the radius intersects the centreline of the square.
Fig. 10. Geometry of $\sqrt{5}$: the 4:9 rectangle.
Fig. 11. Geometry of the Sacred Triangle: the 3-4-5 triangle.
Modular systems
Two grid systems are compared, those with modular divisions of 1/3, 1/6 and those with modular divisions of 1/2, 1/4. The modules based on linear measurements are the 5.03m rod and the 4.65m rod. Other modules are based on significant sizes, e.g. the width of the chancel, the width of the nave, both internally constructed and externally.
transmission of skills
In the previous sections, the use of geometrical knowledge for planning sites and buildings has been discussed as a practical skill within a tradition of practical knowledge which would have been passed down from master to apprentice. There is additional evidence for these skills in the ability of the 7th century Anglo-Saxons to employ ‘meticulously accurate geometric construction’ (T. Brown 1971, 303) in creating the art of the illuminated manuscripts produced in Northumbria in the 7th and 8th centuries (cf., for example, Bailey 1978; T. Brown 1971; Bruce-Mitford 1967). The specific knowledge and use of the four surds and the sacred triangle as architectural and geometrical knowledge also passed from the Roman era into the Middle Ages through textual transmission. Euclidean geometry was superseded in the early Middle Ages by a more pragmatic application of geometry in land survey and building practice (Reynolds 1983. 4). I have already mentioned the earliest Mss. of Vitruvius. As well as imparting the use of equilateral triangles for the use in planning, Vitruvius is a font of information for other geometrical applications. The use of $\sqrt{2}$ in its geometrical formulation is described for both the doubling of land areas (Book IX. praef. 4-5) and for determining the proportion of an atrium (Book VI.iii.3). The Pythagorean 3-4-5 triangle is described for creating a set-square and land survey (Book IX.praef.6). A list of specific examples would be almost endless. Essentially, the entirety of *de Architectura* covers the use of geometry across the gamut of building and planning: the use of modular divisions for planning; successive proportioning for the layout of a room, the creation of elevations and determining the correct proportions and form of the details (the famous discussions of Classical columns); the correct orientation and planning of
sites through the determination of the winds and determining the solstice for any latitude.
Although evidence for the direct transmission of Vitruvius’ Mss. is absent before the Harleian Ms, there is further evidence for the textual transmission of geometrical knowledge: through the *agrimensores* and through the abridgement and adaptation of Vitruvius in other sources. The *agrimensores* was essentially a textbook for land survey and management from the 3rd century (Reynolds 1983, 1-6, for the following, unless otherwise noted). The earliest manuscript is from half a century later, after that, tracing the lineage of the multiple versions becomes very complex, so this discussion will be limited to those texts which are relevant for present purposes. At some point in the 5th century a compilation of sources appeared as the *agrimensores*. This compilation included “Agenius Urbecus de controversiis agrorum, Higinus de limitibus agrorum et metatione castrorum, Balbus de nominibus mensurarum, Vitruvius de exagonis heptagoniset id genus, Froninus de qualitate agrorum, Caesarum leges agraria et coloniarum iura” (*ibid.*, 2) as well as the *lex Mamilia* and a *liber coloniarum*. Variations of this compilation with additions from Isidore and other authors appear in the 6th and 7th century and were copied at Fulda and Corbie in the 9th century. Additionally, sometime in the 8th/9th century a compilation of the *agrimensores* and Boethius was turned into the 5 books of the *Ars geometrica* and ascribed to Boethius. A different compilation, which combined Vitruvius, Boethius and parts of the *agrimensores* appears in the 9th century; 4 copies of which were made at Corbie. Also ascribed to Corbie is the 9th c. *Pauca de Mensuris*, derived from Isidore’s adaptation of the *agrimensores* (cf. Kidson 1990). Again, the direct evidence for the *agrimensores* in the 7th century in Anglo-Saxon England is absent, although the German origins for copies of the manuscripts at monasteries with strong Anglo-Saxon links is striking (cf. Lapidge 1985, 41 for the transmission of texts to Carolingian monastic centres through importation from England by Anglo-Saxon missionaries).
Vitruvius was widespread, not only through copies of his manuscripts, but through the incorporation of his work into the texts of others, as in the
agrimensores already discussed. Faventinus, Pliny, and Isidore of Seville all adapted Vitruvius into their work (Krinsky 1967, 39; Granger 1928, xiv), and, as we have seen, a compilation which included Vitruvius was circulating under the name of Boethius in the 8th or 9th century. Alcuin’s booklist for York (c. 778) includes Pliny and also refers to ‘Boethius’, which has been assumed to be Boethius’ logical writings, but could refer to the compilation (Allott 1974, 165; Lapidge 1985, 47). There is an 8th century Northumbrian manuscript of Pliny which still survives (Lapidge 1985, 47). Bede drew extensively on Pliny and Isidore (cf. Laistner 1935; Mayr-Harting 1991, 191-219). Glosses from the school of Theodore and Hadrian contain Isidore verbatim as well as references which appear to have drawn upon him (Lapidge 1994, 204). An epitome of Isidore was produced by an early 8th c. Anglo-Saxon using another manuscript (and thus earlier) which had been glossed in Old English (ibid.). Finally, Isidore and Pliny both appear to be well known to Aldhelm writing in the late 7th century (cf. Lapidge 1979 & 1985; Mayr-Harting 1991, 191-219).
As well as references and quotations which appear to be derived from these sources, Bede displays a remarkable mathematical, geometrical and architectural knowledge. His architectural descriptions in the HE are always lucid and informative (e.g. cf. above III.5). His extensive commentary, De tabernaculo, is a lengthy exegetical work entirely devoted to the description of the construction and furnishing of the Tabernacle of Moses. This is an allegoric exposition which is based primarily upon the idea that a literal understanding of the text and the nature of things described are necessary before a full comprehension of the anagogial meaning can be obtained (cf. Lapidge, 1985 for a discussion of the ‘Antiochene’, literal, style of exegesis; and Irvine 1986 for the types of allegory used by Bede which include historical and typological allegory). It betrays a comprehensive understanding of construction and methodologies for putting built form together, such as in the passage on discussing the measurements for the coverings which Bede discusses in terms of lengths of cord multiplied and divided modularly across and throughout the building and related to each other throughout the building (i.e. proportional relationships) (de Tabernaculo, 2.3; trans. in Holder 1994). Stevens has pointed out Bede’s many scientific
achievements in computation, numerology and cosmology (1985). I would like to emphasise a couple of passages from Bede noted by Stevens which seem to have a direct relation to areas covered by Vitruvius (Stevens cites Pliny as Bede’s source, whom it has already been mentioned adapted Vitruvius):
| Bede (page references to Stevens 1985, with the Bede source following) | Vitruvius |
|---------------------------------------------------------------|-----------|
| all the stars reflect light from the sun, especially the moon whose phases and eclipses are described in detail (649; *De Natura Rerum Liber*) | Book IX . 2 - on the rising and waning of the moon: Berosus’ theory of light reflecting from the sun, the phases of the moon |
| The use of the gnomon and a right angle and observation of shadows at solstice and equinox to calculate latitudes (652-653; *De Natura Rerum Liber*) | Book IX.7 - on the nature of ‘dialling’ - using the gnomon, a right angle, observations of shadows, and geometrical calculations to determine the solstice, equinox and division of the day into twelve parts at different latitudes |
Evidence for the transmission of geometrical knowledge through the mechanisms of the Church as well as the handing down of practical skills therefore allows as to assume the possibility that a level of geometrical sophistication was available in Northumbria in the 7th century to draw upon in building practice.
**sites**
The sites chosen for comparison are: Jarrow, Wearmouth, Escomb, the crypt at Hexham and the crypt at Ripon. These have been selected out of a database of early Anglo-Saxon Northumbrian churches. Jarrow and Wearmouth are both Class I structures (nearly complete plans have been recovered) which are geographically near Hexham. Most importantly, they are tightly historically linked through the relationship between Wilfrid and Biscop (cf. Goffart 1988, Wormald 1976). Ripon was re-built between 666-673, Hexham was founded in
St Peter’s Wearmouth was built ‘in a year’ from 674-675 (Cramp 1994, 281); the building of St Paul’s, Jarrow began c. 681/2 and continued over a few years: the dedication occurred in 685 (ibid., 289). Escomb has been selected almost as a neutral test because it is the most complete standing Anglo-Saxon structure from this time, and the porticus have been completely recovered through excavation. It has been stylistically placed in the late 7th century although there are no historical references to it (Taylor 1965, 234-38; Pocock & Wheeler 1971, 11). It is also geographically near Hexham. Churches which were rejected for comparison were those which had incomplete chancels (Corbridge, Seaham and Staindrop); geographically distant (Heysham, St. Paul-in-the-Bail Lincoln, Whithorn and Kirk Hammerton), uncertain date (Kirk Hammerton, St. Paul-in-the-Bail) or timber construction which may entail different site methods (Yeavering, Whithorn). The identification of the wooden building at Yeavering is not conclusive. Cf. Appendix I for further details on these churches.
IV.4 Analysis
The analysis was undertaken through a series of drawings. A complete set of these drawings, reproduced at 1:1 is available in Appendix 2. Each church site was subjected to the minimum of 11 tests in two groups for the possible design system employed: successive proportioning systems\textsuperscript{xx} - $\sqrt{2}$, equilateral triangles ($\sqrt{3}$), $\sqrt{5}$, the Sacred Triangle, and the Golden Section; modular systems - 4.65m rod, 5.03m rod, nave to exterior, nave to interior, chancel to exterior, chancel to interior. The crypts were analysed using the same set of successive proportioning systems. The 4.65 module and 5.03 module were compared and a ‘best fit’ module was determined from one of the chambers. Each of the systems applied to the churches used the crucial position between the chancel and the nave as the base line. For the equilateral systems, a star plan (cf. Vitruvian theatre plan, Fig. 8, above) based upon the exterior width of the nave was used as the starting point.
Each site will be discussed to determine which system is the best fit according to the evidence of the internal logic, discussed in descending order from best-fit to least-fit. Then the sites will be compared to each other. The criteria for ‘best fit’ is based upon how well the system could have been used to position significant points in relation to each other (the analyses of proportioning systems for Wearmouth will be discussed in full in order to illustrate the criteria for ‘least fit’). For the churches these include:
- the relationship between the chancel and the nave
- the overall length
- the overall width
- the position of the porticus
- length:width of nave
- length:width of chancel
Wearmouth\textsuperscript{xxi}
Equilateral Triangles (Fig. 12, 13, 14)
This system works best for the layout of Wearmouth. The overall site length equals 6 of the large triangles (Fig. 12). The overall width of the site is slightly larger than two triangles positioned from the E-W centreline (Fig 14a), the bottom triangle hits inside the S. porticus wall. The position of the chancel to nave is determined from the resultant inscribed, overlapping $1:\sqrt{3}$ rectangles (Fig. 12), the chancel width (interior) to nave (exterior) width is thus very close to $1:\sqrt{3}$. The e/w rectangle is very slightly smaller than the actual width of the chancel. The length of the nave is +3 of the larger triangles west from the position of the east pointing triangle of the star plan. The length of the chancel is +1 of the larger triangles from the position of the west pointing triangle or 2 overall (one $1:\sqrt{3}$ rectangle). The interior size of the nave is 4 triangles long using a triangle based upon the width of the nave or $2 \times 1:\sqrt{3}$ rectangles. The interior size of the chancel is 3 triangles long, using a triangle based upon the interior width (Fig 14.e). The placement of the porticus work at several levels (Fig. 13, 14). Fig. 13.a uses the interior corner of the nave/chancel junction and the e-w centreline as the starting points. From here, the circle inscribes the width of the porticus and the n/s rectangle hits to the inside of the N. wall of the porticus. The east line of the n/s rectangle inscribes the position of the E. wall of the porticus (width from nave/chancel interior corner to interior of E. wall equals 1/2 of the width of the $1:\sqrt{3}$ rectangle). Alternatively, Fig. 14.b is positioned on the n/s centreline of the star plan aligned on the exterior of the E. wall of the porticus and the circle to the interior of the S. chancel wall. The width from the exterior corner of chancel/nave to the exterior of the E. wall is 1/2 of the width of the $1:\sqrt{3}$ rectangle. Fig. 13.b shows the star plan positioned on the SW corner of the nave and the exterior of the S. nave wall (aligned with overall position of triangles from Fig. W.1). The position of the S. porticus wall is 1/2 of the width of the $1:\sqrt{3}$ rectangle. The circle inscribes the exterior of the W. porticus wall, the rectangle to the centre of the W. wall. Additionally, the dimension from the interior W. wall of the nave to the exterior W. wall of the porticus is equal to the smaller triangle of the nave interior (Fig. 12).
Fig. 12. Wearmouth: equilateral triangles analysis.
Fig. 13. Wearmouth: equilateral triangles - the adjuncts.
Fig. 14. Wearmouth: equilateral triangles - the adjuncts; chancel and overall width.
Root Two (Fig. 15)
The $\sqrt{2}$ base rectangle used in this analysis is derived from the interior width of the chancel. The overall length exterior-exterior is 6 lengths of the base rectangle. The overall width exterior-exterior is just under $3 \times$ the width of the base rectangle. The interior width:length of the chancel is $1 \times 2$ rectangles (from west face of chancel/nave wall to exterior E. wall of chancel). The length of the nave exterior to exterior is $3 + 1/2$ of base square. The width of the nave exterior-exterior is the intersection of the radius of the diagonal of the base square with the centreline of the base square. This does not equal a rotated $1:\sqrt{2}$, instead it is the ‘Sacred Triangle’ proportion of the base square. There is no proportional relationship to determine the interior width of the nave. The position of the W. wall of the porticus is inscribed by the $1:\sqrt{2}$ rectangle from the overall length. The position of the E. wall of the porticus is inscribed by the arc of the diagonal of the base square. The chancel to nave relationship works as the intersection of the radius of the diagonal of the base square with the centreline of the base square, again, not a rotated $1:\sqrt{2}$. Although this system gives the appearance of working in a simple and straightforward manner, because of the relationship of the width of the nave to the base rectangle being the Sacred Triangle proportion instead of $\sqrt{2}$, it does not really work.
Golden Section (Fig. 16)
The Golden Section proportioning system is not very satisfactory as a system for the design of this church, however there are a few points to consider. The base rectangle is from the width of the nave interior. The interior overall length of the nave and chancel, from the exterior of the E. chancel wall to the interior W. nave wall, equals 3 rectangles plus the base square. The position of the chancel:nave wall aligns with the base square. The position of the N. and S. walls of the porticus equals a Golden Section rectangle proportional to the square of the original base rectangle, although to the exterior of the N. wall and the centre of the S. wall. From this rectangle, the square aligns with the position of the E. porticus wall. The overall length, the width of the chancel and the relationship
Fig. 15. Wearmouth: $\sqrt{2}$ analysis.
Fig. 16. Wearmouth: Golden Section analysis.
between the width of the nave to the width of the chancel cannot be determined proportionally by this system.
*The Sacred Triangle* (Fig. 17)
The Sacred Triangle also does not provide a very satisfactory system for this church. The rectangle is based upon the exterior nave width. The overall length, E. exterior to W. interior, is $3 + 1$ base square. The interior W. wall of the nave is to 1/2 the base square. The intersection of rotated and overlapping base rectangles positions the west face of the nave/chancel wall; the intersection of the diagonals positions the east face. A reductive proportional rectangle derived from the rotated base rectangle and the intersection of the diagonals positions the E. wall of the porticus.
*Root Five* (Fig. 18)
The $\sqrt{5}$ system does not work. The nave rectangle results in a length equal to $1 + 1$ base square. A $\sqrt{5}$ rectangle inscribed on the chancel is too long. The porticus widths are less than 2 rectangles based on the centreline of the interior width.
*Modules*
The best fit modular grid is the one based upon the exterior width of the chancel (Fig. 19). Overall the length is close to 6 base squares (E. exterior to W. interior) and the width is 2 base squares, where the grid is just to the inside of the N. porticus wall and almost centred on the S. porticus wall. The length of the chancel + nave is $5 \frac{1}{2}$ base squares, with the nave/chancel wall $2 \frac{1}{4}$ to the west face from the exterior of the E. chancel wall. The porticus position from the west face of the nave/chancel wall is close to 1/2 of the base square for both the N. porticus wall and the E. porticus wall. From the exterior W. nave wall to the interior W. porticus wall is also 1/2 of the base square. The relative measurements\textsuperscript{44ii} for this module ($\pm .10m$) are $7.24:3.62:1.81m (1:1/2:1/4)$.
Of the ‘historical’ lengths, the 4.65m rod, divided into thirds and sixths, works best at Wearmouth (Fig. 20) as a modular grid, although not as well as a
Fig. 17. Wearmouth: Sacred Triangle analysis.
Fig. 18. Wearmouth: $\sqrt{5}$ analysis.
Fig. 19. Wearmouth: modular analysis - chancel exterior.
Fig. 20. Wearmouth: modular analysis - 4.65m rod.
proportioning system determining logical relationships as it works in terms of dimensions. From the west face of the nave/chancel wall as the base line, the length of the nave is 4 1/3 modules. The width of the nave is 1 2/3 modules. The interior of the nave is 4 1/6 long and 1 1/3 wide to the centre of the walls (1 1/6 to interior). The chancel is 2 1/6 to the centre of the E. wall and slightly less than 1 wide internally, 1 1/3 wide external. The position of the E. wall of the porticus is close to 1/2 to the centre from the base line, or just inside of 2/3 to the exterior. The N. porticus wall is 2/3 of a module from the exterior of the chancel N. wall; the S. porticus wall is just inside 1 from the base square (interior of the chancel). Finally, the W. wall of the porticus is 5/6 to the centre of the wall from the exterior of the W. nave wall or 1 from the interior of the W. nave wall to the centre of the W. porticus wall.
**summary of Wearmouth**
As stated above, the 4.65 module works well with dimensioning, however, it is not a logical system of proportion for positioning. These dimensions work fairly well with the equilateral system of proportioning, coming closest to the same positions as the proportioning system. Therefore a proportional system based upon the equilateral triangles (Fig. 12) could have been used in conjunction with a measuring system based upon the 4.65 rod (Fig. 20), although the chancel exterior module works better as a modular grid (Fig. 19). In terms of non-dimensioned modules, the original base chord of the chancel exterior could have been 1 1/3 4.65 rods, thereafter multiplied and divided proportionally and modularly rather than dimensionally.
**Jarrow**
*Equilateral Triangles* (Fig. 21, 22)
The overall site length equals 6 of the base (1 leg) of the triangles (using the nave exterior as the dimension) (Fig. 21). The overall width (interior of north and south porticus walls) is 2 triangles (Fig. 22.c). The position of the chancel to nave is determined by the star plan’s overlapping $1:\sqrt{3}$ rectangles; thus having a chancel to nave ratio of $1:\sqrt{3}$ (Fig. 21). The length of the nave is +3 of the base
Fig. 21. Jarrow: equilateral triangles analysis.
Fig. 22. Jarrow: equilateral triangles - adjuncts.
triangles west from the position of the east pointing triangle of the star plan. The length of the chancel is inscribed by the circle. The interior size of the nave is 4 triangles long using a triangle based upon the interior width of the nave or $2 \times 1:\sqrt{3}$ rectangles. The interior width of the chancel is the short side of the $1:\sqrt{3}$ rectangle. From the exterior of the E. wall of the chancel to the inside of the E. wall of the east chapel is 3 triangles based upon the width of the chancel or $4 (2 \times 1:\sqrt{3}$ rectangles) triangles based on the interior width of the chapel. The interior width of the chapel is 3 of these smaller triangles. The space between the chancel and the east chapel is $1/2$ the long side of the $1:\sqrt{3}$ rectangle of the star plan (Fig. 22.c). Fig. 22.a shows the positioning of the north porticus and the west porticus with the star plan aligned on the e/w centreline of the church and the centreline of the W. wall. The west porch aligns with the base and corner of the north pointing triangle, the N. wall of the nave with the centreline, and wall 2 of the northern porticus (the southernmost wall) with the base of the south pointing triangle. Fig 22.b has the plan aligned with the positioning of the main triangles (Fig. 21) and the interior of the S. wall of the nave. From here, the S. wall of the porticus is inscribed by the n/s $1:\sqrt{3}$ rectangle to the interior of the wall and the circle to the exterior. Finally, Fig. 22.c. shows the relationship of the chancel to the chapel using the star plan. With the centrelines positioned over the interior of S. chancel wall and the exterior of the E. chancel wall, the circle inscribes the interior of the N. chancel wall, the interior of the W. chapel wall and aligns with the interior of the S. porticus wall.
**Sacred Triangle** (Fig. 23)
The Sacred Triangle proportioning system works with a only a few points, and only marginally well. Based on a rectangle using the width of the nave, the overall length is 5 base rectangles + 1 base square. The distance to the centre of the E. nave wall from the east face of the chancel/nave wall is 2 rectangles + $1/2$ the base square. The chancel is inscribed by 1 base square. The distance from the east face of the chancel/chapel wall to the interior of the E. chapel wall is 3 smaller rectangles based upon the chancel interior width. The relationship
Fig. 23. Jarrow: Sacred Triangle analysis.
between the base rectangle and a rotated base rectangle contains the west porticus and the position of wall 1 of the northern porticus. Wall 2 is positioned proportionally to the base rectangle as 1/4 of the base rectangle.
**Golden Section** (Fig. 24)
The Golden Section does not work very well as an organisational device, however there are some interesting (although not absolutely convincing) possibilities for dimensions. The overall length using a rectangle based upon the exterior width of the nave is 4. The nave is 1 + 1 base square to the inside of the W. nave wall. The chancel is 1 base square in length. A series of reductive Golden Sections based upon the base rectangle (labelled 7), where 6 is the Golden Section of 7, 5 is the Golden Section of 6, 4 is the Golden Section of 5, etc., produce relative dimensions which could have been used for various widths. The width of the nave (exterior) is proportional to the base rectangle as dimension 7:6. The position of the N. walls of the chancel and the chapel could have been placed using the relative dimensions from 1, 2, and 3. The interior width of the chapel is the proportional length 5. These dimensions, however, are impossible to position as part of an organisational system of proportions, e.g. 1, 2 and 3 only work relative to 6 in one direction, this could not be used to obtain the position of the S. chancel wall. The porticus to the north of the church work much better geometrically with the base rectangle; the relationship between the Golden Sections 3, 4 and 5 to their squares align with the positions of the north porticus walls.
The $\sqrt{2}$ and $\sqrt{5}$ systems do not work proportionally (cf. Appendix II).
**Modules**
The best fit modular grid is the one based upon the interior width of the nave (Fig. 25). The overall width (not including the west porticus) is 7 3/4 from the exterior of the E. chapel wall to the exterior of the W. nave wall. The length of the nave from the east face of the chancel/nave wall to the exterior of the W. nave wall is 3 3/4, the width is 1 (1 1/4 to the exterior). The chancel walls are
Fig. 24. Jarrow: Golden Section analysis.
Fig. 25. Jarrow: modular analysis - nave interior.
inscribed by 1 base square. From the inscribed chancel square to the exterior of the W. wall of the chapel is 3/4. The east chapel is inscribed by a rectangle of 2 1/4 x 1. It is 1/2 to the exterior of wall 1 of the north porticus, 3/4 to the exterior of wall 2. The west porticus is inscribed by a 1/4 square. The relative dimensions (± .10m) are 5.64:2.82:1.41m (1:1/2:1/4).
The best of the historical dimensions (where the wall positions come nearest to a division of the module), is the 4.65 module (Fig. 26). The base line was positioned on the east face of the nave/chancel wall. The overall length, not including the west porticus, is 9 1/2 from the exterior of the E. wall of the chapel to the centre of the W. wall of the nave. The overall width is 3. The nave is 4 1/2 modules long to the centre of the W. wall by 1 2/3 wide to the exterior. The chancel is 1 1/3 x 1/13 to the exterior. The gap between the chancel and the chapel is 5/6 exterior to exterior, or 1 from the interior of the E. chancel wall to the exterior of the W. chapel wall. The chapel is 2 5/6 long to the exterior (2 2/3 from the interior of the E. wall to the exterior of the W. wall) by 1 wide (internally). Wall 1 of the porticus is positioned 1/3 from the exterior N. nave wall, 2/3 to wall 2. The west porch is inscribed by a 1 1/3 module.
**summary of Jarrow**
The 4.65 module works somewhat for dimensioning, but not in terms of geometrical positioning of the overall site layout and relationships. Additionally, the 4.65 dimensions are not compatible with the best fit grid module based on the nave interior width. There is, however, a compatible dimension between the equilateral system and the 4.65 module: 5/6 of the 4.65 module equals 1/2 the long side of the $1:\sqrt{3}$ rectangle inscribed by the star plan. This could point to the 4.65 rod for being used for dimensioning in conjunction with the equilateral system.
Fig. 26. Jarrow: modular analysis - 4.65m rod.
**Escomb**
*Equilateral Triangles* (Fig. 27, 28, 29)
The overall site equals 4 triangles + 1/2 (rotated) triangles long by $1 + \frac{1}{3}$ triangles wide (Fig. 28). This is the same as $2 \times 1:\sqrt{3}$ rectangles + 1 rotated rectangle (based upon the large triangle) by $\frac{5}{6}$ of the long side of the rectangle wide (exterior to exterior) or $\frac{3}{4}$ to the interior of the N. porticus wall (Fig. 28). The length of the nave is 3 triangles long from the exterior of the W. nave wall to the east face of the nave/chancel wall (Fig. 27). The chancel is inscribed by the e/w $1:\sqrt{3}$ rectangle of the star plan (Fig. 27). The star plan aligned on the exterior of the W. nave wall inscribes the west porticus resulting in an interior length close to the short side of the $1:\sqrt{3}$ rectangle (Fig. 29.a) (the same as the interior length of the chancel). The width of the north porticus is inscribed by a star plan positioned on the n/s centreline of the main star plan and the west face of the nave/chancel wall (Fig. 29.b). The E. wall of the north porticus aligns with the e/w centreline positioned on the interior of the N. nave wall (Fig. 29.c). The north porticus is offset $\frac{1}{3}$ from the chancel E. exterior wall and is $\frac{2}{3}$ wide (Fig. 28).
*Golden Section* (Fig. 30)
The Golden Section (based upon the exterior width of the nave) produces a proportioning system which works with a few of the significant points. The overall length is 2 rectangles + a rotated Golden Section rectangle proportional to the larger rectangle as subtractive of the base square. The north porticus can be positioned by a reductive proportional rectangle from the base square of the base rectangle. A further proportional rectangle rotated to the side of this can be drawn to the chancel exterior N. wall. A Golden Section rectangle from the line of the exterior of the E. chancel wall the same size as the rectangle which positions the north porticus intersects at the east face of the chancel nave wall.
The Sacred Triangle, $\sqrt{2}$ and $\sqrt{5}$ systems do not work for Escomb (cf. Appendix II).
Fig. 27. Escomb: equilateral triangles analysis.
Fig. 28. Escomb: equilateral triangles – overall size.
Fig. 29. Escomb: equilateral triangles - adjuncts.
Fig. 30. Escomb: Golden Section analysis.
Modules
The historical module 4.65 works best (Fig. 31). The base line was positioned on the west face of the nave/chancel wall. The overall length from exterior to exterior is 4 5/6 modules. The width (exterior to exterior) is just under 1 5/6. The nave is 3 modules long from the west face of the chancel/nave wall to the exterior of the W. nave wall. The width of the nave, to the insides of the walls, is 1 module. The chancel is inscribed by a square of 1 module (5/6 from the east face of the chancel/nave wall to the exterior of the E. chancel wall); the interior is 2/3 square. The north porch, centred on the east face of the chancel/nave wall is, to the inside of the E. and W. walls, 2/3 long by 1/2 wide (from the line of the grid just outside the N. chancel wall).
Summary of Escomb
The best fit grid is based upon the interior of the chancel (Fig. 32). This module is almost identical to 2/3 of 4.65 (=3.10) resulting in very similar divisions: 4.65:1.55:.755 (1:1/3:1/6) and 3.09:1.545:.7725 (1:1/2:1/4). The short side of the inscribed $1:\sqrt{3}$ rectangle measures to 3.2 ($\pm .10$). Thus it appears that the equilateral triangles were used as the proportioning system in conjunction with the 4.65 rod for dimensioning.
Hexham Crypt
The crypts are more complex arrangements than the churches so the proportioning system as an overall geometrical organising system as well as the size and shape of the chambers and the relative dimensions needs to be considered closely.
Equilateral Triangles (Fig. 33)
The main chamber is a $1:\sqrt{3}$ rectangle inscribed by the intersection of the large triangles which form the star plan. This rectangle is proportionally 1/4 of the larger $1:\sqrt{3}$ rectangle. The plan, centred on the main chamber positions the northwest chamber to the corner and along the base of the south pointing triangle. The width of this chamber aligns with the base of the east pointing triangle. The east
Fig. 31. Escomb: modular analysis - 4.65m rod.
Fig. 32. Escomb: modular analysis - chancel interior.
Fig. 33. Hexham crypt: equilateral triangles analysis.
walls of the north-west and west chambers are aligned with the base of the east pointing triangle. The N. wall of the north passage aligns with the base of the south pointing triangle, the S. wall of the south passage is just inside the base of the north pointing triangle. The width of the S. passage (to the north-east corner of the N. wall) is to the intersection of the east pointing triangle and the west pointing triangle, which is 1/3 of the long side of the $1:\sqrt{3}$ rectangle. Other possible indicators are where the south-east corner of the south chamber is aligned along the edge of the east pointing triangle and the relationship between the centreline of the plan and the north-east corner of the stair turning of the north passage is a $1:\sqrt{3}$ rectangle as is the relationship between the south-west corner of the west chamber and the south west corner of the north passage.
**Golden Section** (Fig. 34.1)
The base Golden Section rectangle is derived from the width of the main central chamber. The Golden Section of the same size generated proportionally from this to the west inscribes the western space between the west stair and the main chamber. The Golden Section rectangle over the north chamber is proportional to the main and generated from the relationship of the main to the rectangle to the west (the relationship between the square and the Golden Section). The square of a reductive Golden Section rectangle inscribes the southern chamber. Rotated proportional Golden Sections from the main rectangle align with the west walls of the passage turnings north and south. A proportional rectangle generated from the base line of the main rectangle (the southern wall of the main chamber) has a width centred over the east turning of the southern passage. Subsidiary rectangles can be inscribed over the width of the west passage using the line of the main chamber as the base line and over the north chamber using the line of the west wall as the base.
**Root Two** (Fig 35.2)
The figure for the $\sqrt{2}$ system shows the doubling of the area of a square as the system which best fits the positioning of the crypt. Starting with the north chamber, which is a $\sqrt{2}$ rectangle, the progressive doubling of the area intersects
HEXHAM CRYPT
PROPORTIONS
1. GOLDEN SECTION
3. 'SACRED TRIANGLE'
Fig. 34. Hexham crypt: proportional analysis -
1. Golden Section analysis. 3. Sacred Triangle analysis.
HEXHAM CRYPT
PROPORTIONS
2. $\sqrt{2}$ - SQUARE: RECTANGLE
4. $\sqrt{5}$ RECTANGLES
Fig. 35. Hexham crypt: proportional analysis - 2. $\sqrt{2}$ analysis. 4. $\sqrt{5}$ analysis
significant points along the arc used to create the progression: the north-west corner of the main chamber, the east/west centreline of the main chamber, the southern wall of the main chamber and aligns with the southern wall of the south chamber. A rectangle from the south-west corner of the inscribed figure aligns with the southern wall of the main chamber and the west wall of the main chamber and the south chamber. Another rectangle, from the fourth progression to the north wall of the main chamber aligns with the east wall of the north passage turning.
**Sacred Triangle** (Fig. 34.3)
Two Sacred Triangle rectangles, based upon the width of the main chamber, cover the distance between the E. wall of the main chamber and the W. wall of the north chamber. A rectangle generated from the square of the western base rectangle aligns the N. wall of the north chamber. From the base of this, a rotated rectangle aligns with the S. and W. wall of the west chamber. A rectangle generated from the base of the main west rectangle aligns with the S. wall of the south chamber and is close to the W. wall. A Sacred Triangle rectangle can be formed between this position near to the E. wall of the south chamber and the N. and W. walls. Sacred Triangles rotated north and south over the main chamber are positioned over the centres of the north and south passages.
**Root 5** (Fig. 35.4)
A $\sqrt{5}$ rectangle based upon the width of the main chamber aligns with the W. wall of the north chamber. Two $\sqrt{5}$ rectangles, proportionally 1/4 of the main rectangle, align with the outside walls of the north and south passages. The centreline of the southern 1/4 rectangle aligns with the S. wall of the west chamber. A $\sqrt{5}$ triangle generated from the centreline of the 1/4 rectangle over the north chamber aligns with the W. wall of the main chamber and the S. wall of the southern chamber. A triangle the same size generated whose hypotenuse passes through the centre of the southern 1/4 rectangle to the centreline of the northern 1/4 rectangle aligns with the W. wall of the north chamber, the E. wall of the west chamber and the S. wall of the southern passage. Two small $\sqrt{5}$
rectangles are inscribed in the space between the line of the W. wall of the north chamber, the line of the S. wall of the south chamber and the W. wall of the south chamber. Another subsidiary relationship can be generated from the centreline of the main chamber and the S. wall of the south passage, where the resultant $\sqrt{5}$ rectangles aligns with the E. wall of the south passage turning.
**summary of proportioning system for Hexham Crypt**
Only the equilateral triangles satisfactorily explain the size and shape of the main central chamber and the positions of the other chambers and passages relative to this. Although the other systems work well relative to different aspects, such as the $\sqrt{5}$ positioning and widths of the antechambers, the size and shape of the main chamber does not fit and the overall layout is not satisfactory.
**Modules**
The best fit module is one which is based upon the width of the main chamber (Fig. 36.1). The size of the main chamber is close to $3\frac{5}{8}$ by 1. The overall length of the crypt complex (from the line of the W. wall of the north chamber to the line of the E. wall of the turning of the south passage) is $2\frac{3}{4}$. The overall width (N. wall of north chamber to S. wall of south passage) is 2 modules. These dimensions of the overall width and length are very close to the size of the e/w $1:\sqrt{3}$ rectangle (Fig. 33).
Bailey’s analysis of the crypts at Ripon and Hexham purported to find the use of the Northern rod of 5.03m in the dimensioning, emphasising that crucial measurements (i.e. the ones which work with the 5.03 system) were relevant to the internal measurements (Bailey 1991, p.7; fig. 2, p.8). I have re-drawn Bailey’s analysis to scale in Fig. 37.2. Whilst some of these measurements do correlate to the 5.03 Northern rod, as seen from the earlier discussions of techniques for setting out a site, a modular grid system is more likely for the orderly positioning of components of a site. Therefore, I have compared both the 5.03 and 4.65 systems as grid modules (Fig. 36.2 and Fig 37.4). Although some of the dimensions do correspond to close to 1/3 and 1/6 of a 5.03 (e.g. the width of the north and south passages, the width of the west chamber) as far as
Fig. 36. Hexham crypt: modular analysis -
1. module derived from the main chamber. 3. 5.03m rod analysis.
Fig. 37. Hexham crypt: modular analysis -
2. Bailey’s 5.03 rod analysis, drawn to scale.. 4. 4.65m rod analysis.
dimensions and placement within a modular grid, the 4.65 module is much closer. Within this system, the length from the W. wall of the west chamber to the E. wall of the turning of the southern passage is 1 1/2 module; 1 module from the E. wall of the turning of the southern passage to the W. wall of the main chamber. The main chamber is 11/12 long, (offset 1/12 either side from the line of the E. wall of the turning of the south passage and the E. wall of the western chamber). The width of the main chamber is 1/2. The offset from the main chamber to the north and south passages is also close to 1/12. The width of both the passages is 1/6 (the southern passage is slightly wider than the northern passage). The overall width from the W. wall of the northern chamber to the E. wall of the southern passage is 1 1/2 modules. The northern chamber is 1/2 from the W. wall of the main chamber (offset by 1/12). The western chamber is 1/3 wide, offset on either side by 1/12 to the west stair and the main chamber. The length from the S. wall of the northern chamber to the S. wall of the Western chamber is 2/3. The southern chamber is 1/3 in length and 1/4 wide. The overall width from the N. wall of the northern passage to the S. wall of the southern passage is just over 1 module.
**summary of Hexham crypt**
The variation between divisions of 1/3s and 1/4s with the size and the positions of the components of the crypt would point to the grid as not being the underlying geometrical ordering system, however, an organisational system based on the equilateral triangles in conjunction with divisions of 4.65 for the system of measurement and possibly the initial modular grid for the layout of the site, works best for the crypt at Hexham.
**Ripon Crypt**
None of the proportioning systems (Fig. 38, 39, 40) nor the historical modules (Fig. 41.3, 42.4) works well enough on its own to present one over the other as the best-fit system for Ripon. The best fit module is one derived from the width of the western chamber (Fig. 41.1). This module, and its subdivisions have no correlation with other known lengths, however, in conjunction with the
Fig. 38. Ripon crypt: equilateral triangles analysis.
Fig. 39. Ripon crypt: proportional analysis -
1. Sacred Triangle analysis. 3. Golden Section analysis.
RIPON-CRYPT-PROPORTIONS
2. $\sqrt{2}$ RECTANGLES
4. $\sqrt{5}$ RECTANGLES
Fig. 40. Ripon crypt: proportional analysis - 2. $\sqrt{2}$ analysis. 4. $\sqrt{5}$ analysis.
Fig. 41. Ripon crypt: modular analysis -
1. module derived from the western ante-chamber. 3. 5.03m rod analysis.
2. Bailey’s 5.03m rod - drawn to scale
Ripon crypt - modules
4. 4.65 module (Y3)
Fig. 42. Ripon crypt: modular analysis -
2. Bailey’s 5.03m rod analysis, drawn to scale. 4. 4.65m rod analysis.
equilateral triangle system, it begins to show some logic (Fig. 38). The length to width of the western chamber is inscribed by the intersection of the overlapping $1:\sqrt{3}$ rectangles, which also would align the N. wall of the northern passage (Fig. 38.a). The main chamber is inscribed by the intersections of the east and west pointing triangles when using the same size plan centred over the chamber (Fig. 38.b), which is thus proportionally $1/3$ of the $1:\sqrt{3}$ rectangle. Finally, the distance between the north and south chambers lies on the intersections of the east and west pointing triangles, and thus is proportionally $2/3$ of the $1:\sqrt{3}$ rectangle (Fig. 38.c). Therefore, it appears that modular dimensions derived from the equilateral star plan were used for the setting out of Ripon crypt.
**comparison**
*the churches*
A comparison of the best systems for each of the churches, the equilateral triangles, with each other highlights organisational similarities in the use of the system which point towards more than just the use of the system as a proportional device. The most obvious similarity is the star plan overlaid upon the chancel/nave wall resulting in very similar relationships. Additionally, the length of the nave plus chancel at Escomb is 4 triangles ($2 \times 1:\sqrt{3}$) plus $1/2$ of the rotated triangle ($1/2 \ 1:\sqrt{3}$). This is the same for Jarrow. Unfortunately at Wearmouth there is no evidence for where the chancel wall would end in the east and the eastern porticus would begin (Cramp 1996 pers. com.) The interior of the naves at both Wearmouth and Jarrow are 4 small triangles (based upon the interior width) or $2 \times 1:\sqrt{3}$. Using the larger triangles, the naves for both Jarrow and Wearmouth are +3 triangles from the tip of the west pointing triangle of the star plan. Escomb is +3 from the east face of the nave/chancel wall. The overall length for Jarrow is 6 lengths (triangles end-to-end), for Wearmouth it is 6 legs of the base triangle. The east chapel at Jarrow is 3 interior triangles long, the chancel at Wearmouth is the same. The overall width at both Jarrow and Wearmouth is 2 triangles ($1 \ 1:\sqrt{3}$); Escomb’s width is determined by the proportional relationships of the rotated $1:\sqrt{3}$ rectangle. Furthermore, the porticus appear to all contain a few similar relationships. The west porches can
all be inscribed by an equilateral triangle, as well as bearing relationships to the star plan. The north and south porticus are all inscribed by relationships determined from the positioning of the centreline of the star plan over the interior of the nave wall (Fig. 29.c; 13.c; 22.b)
the crypts
The crypts also show a few similarities in organisation. Both the size and the shape of the central main chambers are inscribed within the intersections of the star plan for both sites. The western chambers are inscribed by the relationship between the overlapping $1:\sqrt{3}$ rectangles. Finally, the north - south width appears to be determined by the width of the e/w $1:\sqrt{3}$ rectangle for Hexham and by the length of the n/s rectangle at Ripon.
summary
For each of the plans analysed above, it appears that the equilateral system of proportioning works best when compared with the other systems of proportioning for determining the geometrical ordering of the site. Furthermore, with the exception of Ripon crypt, there appears to be a strong case for the 4.65m rod and divisions thereof, to have been used in conjunction with the proportioning system for dimensioning. The exception to this, Ripon, is the only one of these sites which was not completely founded from scratch (which appears to be supported by the archaeological evidence as well as historically). Ripon was originally an Irish monastery before the foundation was given to Wilfrid (Bede’s *Prose Life of Cuthbert*, VIII). Although we are told ‘For in Ripon he built and completed from the foundations in the earth up to the roof, a church of dressed stone, supported by various columns and side aisles’ (*PW* XVII), the site could have been constrained by existing buildings or the builders could have enlarged the original church or used it as the guidelines for the size and position of the new church (cf. Hall 1995 for discussion of the area around Ripon Minster). Whichever the case, developing the site within an existing monastery could explain the discrepancy in terms of a completely different modular system being applied for the dimensions. Finally, when compared with each other, the
plans show remarkable similarities in how the equilateral system was applied as an organisational device
IV.5 Reconstruction of the Plan of St. Andrew’s, Hexham
Returning now to the remains of the superstructure of the church at Hexham, a reconstruction will be put forth using the proportioning system derived from the analysis above. Taylor’s list of the remains can be referred to in Sec III.4 along with Hodges’ plan (Fig. 2).
The fragments which I have used as my base plan are derived from this list, mainly following Cambridge’s analysis for the possibilities in terms of later phases of building and his detailed arguments for the particular pieces described by Hodges (Cambridge 1979, 162-167). Furthermore the post-13th c. is differently aligned, north-west to south-east, so I have included this alignment in my considerations (Fig. 43\textsuperscript{xxvi}).
a) Although Taylor describes this patch of walling as in situ, I agree with Cambridge that it is more likely to be re-used stones because of the placement high in the later wall (Cambridge 1979, 162)
b) Taylor’s opinion is that this is original Saxon work (1965, 300), Cambridge feels it is more likely to be later, 13-15th, although possibly re-used Saxon foundations (1979, 165). It also aligns with the pre-13th c. work, so I have included this on my plan.
c) This flooring has been disproved to be Saxon during Bailey’s excavation (Bailey, 1979).
d) With (r): this is the eastern chapel
f) Not apparent as part of any of the later structures, aligned with the pre-13th c. work, included in the plan.
g) Part of the problems with (g) I have already mentioned, in addition Cambridge would associate it with the 12th century respond which would result in a two-storied elevation with unvaulted aisle with a prominent arcade which is common in the 12th century (Cambridge 1979, 162-164).
h) Not associated with any later work, aligned pre-13th c., included in plan.
Fig. 43. Base plan of pre-13th century remains of superstructure of Hexham.
j) Cambridge points out that this does not exactly line up with the wall excavated by Bailey (1979, 166), however I have used this as the south nave wall in conjunction with Bailey’s wall as the offset chancel (as does Bailey 1991, 16). Hodges’ plan shows this as ‘disturbed foundations’ and therefore where the line of J begins to deviate could have masked the fact from Hodges that there were two walls, slightly offset one from the other.
k) Not associated with any later work, aligned pre-13th c., included in plan.
l) Cambridge feels this to be a 15th c. rebuild of the south walk of the 13th c. cloister (1979, 167), however, there are enough doubts, similar to the doubts about B, and it is aligned with the pre-13th c. work, to include this on the plan.
m2) Cambridge feels this is part of the 13th c. east walk, but could be reused from earlier (ibid., 167). It is aligned with the pre-13th c. work. Included in plan.
m3) Not associated with any later work, aligned pre-13th c., included in plan. (All other fragments labelled ‘m’ are associated with later work)
n) All fragments labelled ‘n’ are associated with later work (ibid. 167)
o1) Not associated with any later work, aligned pre-13th c., included in plan.
o2) Not associated with later work, but aligned post-13th c. Not included in plan
p) Not associated with later work, but aligned post-13th c. Not included in plan.
q) Cambridge associates this with the 13th c. sleeper foundations of the choir, but allows for the possibility of incorporation of older work (ibid., 166). Aligned with pre-13th c. work, so included on plan.
r) part of east chapel
s) Not associated with later work, however the north-south wall is aligned with the post-13th c. work, the fragments to the east of this are not associated with other work so have been included as S1 and S2.
t) Non-structural and could be paving from any time period; not included on plan
u) Associated with buttressing, not included on plan, except for massing at the end of K, which is not associated with the later buttressing.
The first step towards reconstruction is to compare the proportioning system from the analysis with the primary evidence. The crypt and its associated proportioning system (star plan using equilateral triangles, cf. above) were
positioned in relation to the east chapel and Bailey’s wall (Fig. 44). The east chapel can be seen to be a $1:\sqrt{3}$ rectangle the same size as the e/w rectangle of the star plan of the crypt. The next step for reconstruction was to compare the geometry with the remains recorded by Hodges (Fig 45 and for following). First, I extended a centre line, based on the centre line of the east chapel, through the length of the nave. Then I mirrored the external dimension (j) across this centre line, using the west alignment before the apparent bend on Hodges’ plan, and also mirrored Bailey’s wall across this centre line. The resulting width is the same as the n/s $1:\sqrt{3}$ rectangle of the star plan. The star plan also intersects with (q). (N.B references in this section to the star plan are based upon the plan derived from the crypt and indicate that the star plan used in the comparisions and reconstruction of the superstructure is the same size, i.e. the same dimensions, as that of the crypt) The length of the site to the west was constructed as +3 equilateral triangles from the west pointing triangle (cf. Jarrow and Wearmouth analyses, above and Figs. 12, 21). This would position the exterior of the west nave wall just inside the current nave wall. From the east line of the chapel to (q), where the star plan intersects, is 2 triangles (1 of the large $1:\sqrt{3}$ rectangles). The width, constructed as 2 triangles ($1 \times 1:\sqrt{3}$) (cf. Wearmouth and Jarrow, above and Figs. 14, 22), intersects with the centre of (f) to the north and the north face of (k)/(m3) to the south. The centreline of the star plan intersects with (m2) and (m3). Fig. 46 shows a reconstruction of the main body of the church with the crypt and the east chapel. The position of the west wall is determined by the interior geometry of 4 equilateral triangles ($2 \times 1:\sqrt{3}$) (cf. Jarrow and Wearmouth, above and Figs. 12, 21). The position of the external geometric length is shown by the dashed line. The chancel arch opening is the width of the main chamber of the crypt. The width of the chancel to the width of the nave is not a $1:\sqrt{3}$ ratio, unlike the examples in the analysis, however, the construction of the chancel walls needs to clear the north and south passages of the crypt. Bailey’s wall sat upon a base .10m wider than the wall which had been constructed to reinforce the passing over the leg of the passage (Bailey 1979). This extra width is shown as the dashed line. If the chancel wall had been placed in the position of the width of the $1:\sqrt{3}$ rectangle, it would have been extremely structurally unsound as the length of the wall would run directly over the length of the passage. The
Fig. 44. Hexham: crypt: Bailey’s wall: east chapel - analysis.
Fig. 45. Hexham: system of equilateral triangles superimposed over the remains.
Fig. 46. Hexham: reconstruction of chancel and nave.
passages are not constructed well enough to have withstood this type of load bearing capacity and would probably have collapsed.
Extending a wall across the n/s centreline of the star plan (cf. Wearmouth, above and Fig. 14) intersects with both (m2) and (m3) (Fig. 47 and for following). Extending (k) and (f) to intersect with this wall creates the north and south porticus and their eastern terminus. B and C on Fig H.8 show similar relationships to Jarrow, Wearmouth and Escomb (cf. above and Figs. 13, 22, 29). Although (m2) and (m3) are generally seen to be later (cf. above), there appears to be a geometric relationship and the offsets align with the wall I have constructed for the E. wall of the porticus. The extensions of these remains north and south could be a later enlargement, possibly to incorporate the east chapel into the main body of the church, in the manner put forward by Gilbert and Taylor as Acca’s enlargement (Taylor 1965, Gilbert 1974), or as part of the work carried out under Eilaf I & II (cf. above). Unfortunately, the information from Hodges is not sufficiently detailed to deduce stratigraphic differences in the masses marked as (m2) and (m3). The mass in the south-west corner of the plan has not been distinguished by Hodges, however I have included it in the plan as there seems to be the possibility that it could relate to the south-west corner of the south porticus and nave. There is no direct evidence for a western porch or porticus, all references to the western towers are derived from later accounts. Comparison with Jarrow, Wearmouth and Escomb, however, leads to the possibility that there would have been a western adjunct of some sort. I have constructed a western porticus (dashed lines) based upon the equilateral star plan positioned relative to the W. wall of the nave, and the width of the e/w $1:\sqrt{3}$ rectangle over the chancel or the width of the porch. The masses marked as (u) on Hodges’ plan are not detailed although they do appear to be related to the later buttressing (cf. above). I have shown them (irregular dashed lines) to indicate the possibility that they might reflect western adjuncts.
Fig 48 shows the basic plan of Hexham reconstructed using the equilateral system of proportioning in relation to the fragmentary remains. This plan is very
Fig. 47. Hexham: analysis of possible porticus.
Fig. 48. Hexham: reconstruction – basic plan.
similar to Wearmouth and Jarrow. Additionally, it is similar, but differently proportioned, to the independently derived reconstruction by Bailey (1991, fig. 2, 8), although he does not put forth any reconstruction for the porticus. The length, from the eastern edge of the east chapels to the exterior of the W. wall of the naves, of Hexham is 2.5m longer than Jarrow. Finally, it should be noted that the north wall of the nave as I have constructed it aligns with the south edge of (g). Although I still do not feel that these piers are part of the Anglo-Saxon work, this later work could sensibly have used the line of the north wall. This reconstruction places the main chamber of the crypt underneath the Anglo-Saxon chancel, the sacred space of the church, whilst the western chamber would be under the sanctuary arch and the location of the main altar in front of the arch.
This plan does not account for the remaining fragments included in the base plan: (b), (h), (l), (s1 & 2) and (o2). Fig. 49 explores these fragments geometrically and in relation to the basic plan. (h) has been alternatively viewed as either the support for an ambo (Bailey 1991, Taylor 1961, 1965) or for a gallery. If (h) is mirrored across the centreline of the nave and extended east and west, it aligns with the width of the main chamber of the crypt (the width of the e/w $1:\sqrt{3}$ rectangle). It also centres geometrically on the subdivisions of the proportional interior triangle of the nave. The remains shown also appear to bear some relationship to the western exit of the crypt. Galleries extended along the length of the nave (possibly supported by columns, which would explain a stone foundation) would just clear the chancel arch as I have postulated it and enhance the length of the nave, focusing on the chancel. Galleries placed thus would also further delineate side altars from the main altar in front of the chancel arch, enhancing liturgical procession. The southern porticus I have divided geometrically, beginning with the south-east chamber using the star plan to form a relationship similar to the north porticus at Escomb which overlaps the nave and the chancel. This leaves the remainder space to be divided up geometrically.
Fig. 49. Hexham: further possibilities based upon geometrical relationships.
If doors were positioned along the S. nave wall along the nave divisions marked by the X, this would create off-set doors which would allow for the placement of altars. Without additional evidence, however, this can only be a suggestion.
The remains of the walls to the north and south of the church, (b) and (l) are 1/2 the short side of the $1:\sqrt{3}$ rectangle of the star plan distant from (f) and (k). They also appear to work in relation to the east porticus walls through (m2) and (m3). If these walls do represent earlier work (cf. above), they could be walks to the north and south of the main church. They are noticeably thinner than the main walls of the structure, which might imply they were not required structurally to be load bearing or extended to a great height, which would work with walks. Alternatively, they could represent a later, but still Anglo-Saxon (as opposed to Norman) enlargement of the church. The remaining fragments, (s2) and (o2), could work with (m2) and (m3) as rebuilds of, or extensions of, the east porticus walls, to form the western exterior corners of north and south adjuncts. These adjuncts could have encompassed the chancel and connected the space to the east chapel with the Norman apse situated just to the east of the east chapel (cf. Hodges’ plan).
Both the plan of the main church I have reconstructed (Fig. 48) and the tentative suggestions explored in Fig. 49 work with the textual description given in the *VW* (22; *intra*. III.1, trans; n.iii). *Liniarum variis anfractibus viarum, aliquando sursum, aliquando deorsum per coeclas circumductam* would be an apt description of multi-level porticus which were interconnected (for example, the west porch at Wearmouth has doors to the north and south on the ground floor, and a door to the north on the first floor, Taylor 1965, *fig. 205*, 436) with stairs positioned in convenient places such as the postulated western porticus or the western ends of the north and south adjuncts. There is evidence for spiral stairs in Anglo-Saxon churches which are distinctly different from the integrated-newel constructed stairs of the Norman’s (Taylor 1978, 888). *Columnis variis et porticibus multis sufflatum*, has been discussed previously, but, again, there is nothing in this reconstruction which would contradict this description. (H) carrying a gallery would furthermore enhance it.
The analysis, reconstruction and suggestions I have put forth here for the plan of St Andrew’s Hexham, whilst bearing some similarity to others’ reconstructions, are based upon a geometric analysis and study of the geometric relationships in conjunction with the physical remains. This type of analysis and reconstructions adds a dimension of rigour and avoids the pitfalls of the educated guesses which are normally based upon typological models.
IV.6 Discussion
This chapter began by indicating that Wilfrid, or any of the secular and ecclesiastic nobility of the time, would have, even at the most unconscious level, had an understanding of the ordering of form and would have been exposed to the techniques and processes for the realisation of the ordering of form. Continuing from this a discussion of the ordering of form as the process of design implied that a coherent regularising system could possibly be discerned from a study of the architectural remains. The analysis which followed of the churches and crypts specifically within Wilfrid’s sphere has shown that in these places there appears to have been a deliberate and coherent structure underlying the arrangement of these spaces. The criteria of analysis were founded in building and site planning - activities which could be carried out using the simplest techniques employing a sightline, a cord and pegs and a basic geometrical understanding necessary for surveying and planning (e.g. divisions of a length into equal modules, inscribing a circle, marking intersections). As was noted, these are traditional skills employed in building and surveying which would have been handed down through the generations from master to apprentice. Although the actual laying out of the site would employ these standard traditional skills, the plans, as analysed, point towards a more sophisticated approach to the design of these particular churches.
What appears at first to be simple rectilinear structures hides a complex series of geometrical relationships, an understanding of the application of proportioning systems to design (and not merely a direct copy), a coherently repeated application of an organisational system, and most interesting, an unusual selection for the system of proportioning used. The relationships, modules and dimensions apparent from the preceding analysis do not seem to be derived from a simple repetitive modular grid division of space (cf. drawings in the appendix: “module from square of equi. circle” for each site, as well as those referred to in the analysis) - the only grid possibly employed would be a rectangular grid (rather than square) where the long to short ratio is $1:\sqrt{3}$, which is derived geometrically from the equilateral triangle. Even a grid such as this would not explain the relationships which seem to be derived from the imposition of the
equilateral star plan at the chancel/nave juncture. The combination of the use of a successive proportioning system and the choice of proportioning system points towards these churches being the product of educated, literate minds. ‘Literate’ here is not used in the sense of the ability to read, but in the sense that a literate interaction with the world is an outlook; an ideological position rather than a practical skill.
Both Wilfrid and Benedict Biscop are said to have imported masons and other craftsmen from elsewhere for the work on their monastic foundations, in Biscop’s case, from Gaul, and although not specifically stated from where, the masons brought back by Wilfrid to Ripon were found during his sojourn to Kent and Mercia (HHAnon VII; HA V; VW XIV). These specifically appear to be craftsmen: *et caementariiis omnisque paene artis institoribus* (VW XIV), *Benedictus oceano transmissio Gallias petens, caementarios.* (HA V); *caementarios - caementariis* - from caementium, rough stone from the quarry, i.e. stoneworkers - cutters, masons, ‘builders of walls’; *artis institoribus* - artisans, professional craftsmen trained in specific traditional vocational skills, as opposed to *architectus* or *praefectus fabrum*. An *architectus* refers to someone formally trained in a variety of arts, “he should be a man of letters, a skilful draughtsman, a mathematician, familiar with scientific inquiries, a diligent student of philosophy, aquainted with music; not ignorant of medicine, learned in the responses of jurisconsults, familiar with astronomy and astronomical calculations” (Vitruvius, Book 1.i). *Architectus* was also a term applied to military engineers, town planners, and even librarians (Granger 1934, xviii) - the term is applied to those with the ability to develop and manage. *Architectus* in this sense refers to a theoretical outlook, not a vocational trade or profession. It is a term applied to someone with an orientation towards the development and management of an idealised creation learned enough to have the capacity to express these ideas in an innovative manner within a contextualised, conceptual whole. The *architectus* is the one with the ability to *design* (as has been previously defined), which whilst this ability requires an understanding of building construction it does not imply that this person has the practical skill to fashion and place individual stones or carve the ornaments of the building.
Bede refers to *architectus* in the *HE* in only one passage - when Nechtan requests *architectus* from Ceolfrith to build a church for him in the Roman manner (*sed et architectos sibi mitti petiti, qui iuxta morem Romanorum ecclesiam de lapide in gente ipsius facerent*), which are obligingly sent (*cuius religiosis uotis ac precibus fauens reuerentssimus abba Ceolfrid misit architectos quos petebatur*) (*HE* V.xxi). In no other passage does he use this term (Jones 1929).
Furthermore, the only other time Bede refers to those who are involved in the construction of a building in terms other than ‘the patron (king or ecclesiastic) built the church of x’ or simply ‘the church of x was built there’ is in the passage already mentioned above, when he refers to the people brought from Gaul as *caementarios*. It is therefore probably significant that Bede uses this term specifically in the passage where Nechtan is requesting assistance from Ceolfrith. In this passage, Nechtan is not merely asking for things, he is asking for religious education; to be educated in orthodoxy - the Petrine tonsure and the calculation of Easter are theological issues requiring proper instruction in order to understand the meaning and importance of these things which might appear to the modern reader as mere symbols or gestures. Thus, Nechtan is not asking for masons and artisans to aid in the construction of his buildings, but is requesting the assistance of those who can properly teach the Picts how to design a church in the Roman (i.e. orthodox) manner. Throughout the *HE*, the references to the Roman way of building in stone and the manner of building with wood and thatch a la the *Scotti* are symbols, along with the tonsure, of orthodoxy versus unorthodoxy.
The evidence of the churches themselves in their construction detail would make it appear that it was not the ‘masons’ who were highly educated. The general impression of early Anglo-Saxon ecclesiastic architecture as not being technically very accomplished is slightly exaggerated as a result of comparison with the previous (Roman) and later (Gothic) accomplishments. The crypt at Hexham, for example, does make good use of vaulting. That said, however, the construction technique of the walls of the crypt are a bit haphazard - dig a hole, chuck in a bunch of stones and apply mortar (although the facing stones are more
technically accomplished) (cf. Hexham excavation report, Bailey 1978).
Certainly there is no physical evidence in the material construction for having studied a building manual such as Vitruvius’ containing such detailed descriptions of construction materials (e.g. best type of stone and wood for different purposes, Book II.vii; II.ix) and construction details (the variety of wall constructions, II.viii; roof construction, IV.ii), of how to make mortar (best sands and mix of parts, II.iii), and especially the techniques of structurally sound load-bearing walls and foundations (VI.viii).
Although these stonemasons could have been trained in an ecclesiastic centre, along with the cantors and other people brought to Northumbria (for example, taught in the manner of the glaziers who stayed to teach their craft at Jarrow/Wearmouth (HA V), a manual skill taught from master to apprentice to fulfil a secular need would not require a wider level of education nor be expected to display evidence for the ability of organised abstract reasoning - geometrical logic and stone cutting and laying are two different types of skills. The HHA non does use the term architectos to refer to these masons (Benedictos mare transiens architectos a Torhthelmo abbate...) (VII), however, there are two arguments for believing this term might be used imprecisely. First is Bede’s Latin, his use of vocabulary is fairly extensive and consistent and his writing evidences a technical understanding of building practice, as we have seen. Bede, therefore, is the more authoritative source in this matter. Secondly, the churches appear so similar in design as to appear to be planned by the same individual or group of individuals that it would be difficult to explain a specific group of imported architectiis from Gaul in 676 (2 years after the foundation of Wearmouth) as having anything to do with the earlier foundations at Ripon and Hexham
Since evidence for masons and craftsmen from Gaul is not necessarily evidence for the designer of these churches, we must turn to Wilfrid and Biscop as potential candidates for the educated minds which lay behind the planning. We therefore must turn to a consideration of the state of education in the 7th century and where the type of knowledge necessary to formulate complex geometrical ordering could have been obtained. The present enquiry is not so much into the
actual identity of an individual *architectus*, in the formal sense of a trained professional, behind these churches. Rather, we can use our historical knowledge of Wilfrid and Biscop to investigate the possibility that the type of knowledge required to apply a sophisticated geometrical organising system to the creation of these churches might have been available in the 7th century. Much attention has been paid to Bede’s sources and the library of Wearmouth and Jarrow (cf. Laistner 1935, Ogilvy 1968, Meyvaert 1976, Blair 1976 for general studies) as well as to the library of York (cf. Godman 1982, lx-lxxv; Lapidge 1985, 45-49). These studies, however, primarily cast light upon the 8th century in a post-Theodore environment and after the foundation of Wearmouth and Jarrow. In order for us to attempt to understand the mid-7th century environment in which Wilfrid and Biscop would have gained their education, we must turn to other sources. To begin with, where and when would Wilfrid and Biscop have gained the training appropriate to their positions?
Wilfrid’s initial training began at Lindesfarne c. 648 where he spent two years and ‘... learned the whole Psalter by heart as well as several books’\(^{xxxviii}\) (*VW* II). After leaving Lindesfarne he spent a further year studying in Kent under Archbishop Honorius, whom Bede tells us was a man ‘deeply versed in ecclesiastic matters’\(^{xxxix}\) and a disciple of Gregory (*HE* V.xix). There he was seen to be diligently learning - ‘continually occupied, as was his wont, in prayers and fastings, in reading and vigils’ and re-learning the Psalms from the more updated 5th edition\(^{xx}\) (*VW* III). He next spent time in Lyons and a year in Rome (653-655) where he studied the four Gospels and the Easter rule and other rules of ecclesiastic discipline\(^{xxi}\) (*VW* V). He then spent a further 3 years in Lyons, ‘learning many things from the most learned teachers’\(^{xxii}\) (*VW* VI) before returning to Britain c. 658, where he appears to have first befriended Coenwalh of the West Saxons before being summoned back to Northumbria (*VW* VII). So it appears Wilfrid’s education was from a variety of sources: Lindesfarne under the Irish, under Honorius in Kent, in Lyons under Annemendus and in Rome under Boniface.
Although Wilfrid’s education is only presented in sketchy detail, we learn even less detail about Biscop. Until about the age of 25, Biscop had been one of Oswiu’s thegns. His decision to renounce the secular life and become a monk led to the trip to Rome which he began in the company of Wilfrid in 653. After his trip to Rome, there is a long period when he returned home, presumably to Northumbria, to diligently study the institutions of the church which he had known in Rome (HA II). In 665/666 Biscop returned to Rome via Lerins, then back to Lerins for two years where he trained to become a monk and received his tonsure. He then went back to Rome and returned to Britain in 669 in the company of Archbishop Theodore, where he was put in charge of the monastery of St. Peter and Paul until Hadrian’s arrival two years later. Biscop received his education in Rome and in Northumbria, similar to Wilfrid, then continued his studies in Lerins. There is also the further possibility of additional training under Theodore whilst at Canterbury.
This brief outline does not indicate what was studied in more than the most general way. What is not apparent from these vague references is the content of studies required for ecclesiastic training. A literate understanding of the Scriptures required much more than the ability just to read, whether it was in the monasteries, the episcopal schools or the missionaries - literacy was required in order to put wisdom at the service of God - to teach, convert, instruct and contemplate (Riche 1976). Progression through the religious orders was also a progression through levels of education, up to the highest level required for exegetical works such as Bede’s. In 7th century Britain there was no one curriculum for this type of training and the different areas were influenced and taught under different customs. Until the mid-7th century and the foundations of Wilfrid and Biscop’s monasteries and places such as Whitby, all monastic training in Northumbria was done through the Irish missionaries. Their curriculum was based upon a classic Roman liberal arts education, with a slight difference in the division of subjects. They divided subjects into two groups, trivium which consisted of Grammar, Rhetoric, and Dialectic, and Physica which consisted of Arithmetic, Astronomy, Geometry, Music, Astrology, Mechanics and Medicine (Mayr-Harting 1991, 196).
The ‘Gregorian school’ (an idea more than a formal schola) which would have been taught in Kent by Honorius, was an adaptation of classical learning to the specific needs of monastic life. This emphasised vocational training for the different requirements of Christian life - learning as part of an ascetic culture rather than liberal arts education simply for its own sake (cf. Jones 1976, Riche 1976). Gregory’s influence upon education was more organisational than curricular. Education became the prerogative of the monasteries where it was embedded into a Christian way of life. Gregory’s own St Andrew’s in Rome (which it is very likely this is the ‘St Andrew’s’ Wilfrid visited) maintained a place within education for higher learning. Riche feels Gregory’s negative attitude towards secular culture (i.e. liberal arts education based upon classical or ‘pagan’ authors) has been overemphasised. He has traced Gregory’s thought and shown that secular learning was never outright condemned by Gregory, but assigned to a higher secondary order of learning reserved for a few elite (Riche 152-57). Although we do not know specifically what would have been taught at Kent, we can possibly trace a line from the Gregorian ideas through the teaching of Theodore and Hadrian to Bede’s views on the subject. We know from Bede that Theodore and Hadrian taught the holy Scriptures, the art of metre, astronomy, ecclesiastic computation, and sacred music - which Bede specifically states was only known previously in Kent (*HE* IV.ii). A careful analysis of the biblical commentaries from the school of Theodore and Hadrian and other texts contained in the Leiden family of manuscripts by Lapidge has shown the subjects covered within this broad outline of study to be medicine, philosophy, rhetoric, metrology and computation, drawing upon patristic authorities and classical authors (1994, 249-266).
A treatise commenting on the scope and function of *grammatica* and its application in monastic training was composed in Britain c. 700 (and preserved in an 8th c. Northumbrian manuscript) (Irvine 1986, 17). *Grammatica* was essential to exegesis and the understanding of Latin texts; “The patristic interpretation of *grammatica* consisted of a comprehensive ‘art of letters’ devoted to literacy, the interpretation of texts, writing, and the scribal arts for
maintaining and promoting Christian monastic *paideia* comprising the Scriptures, Christian literature, and the liturgy” (*ibid.*). This treatise places primacy upon the study of *grammatica*, but also lists the other subjects which make up the *ars* and especially *philosophia* (*arithmetica, geometria, musica, astronomica, astrologia, mechanica, medicina, logica, ethica*), which was considered essential and complementary with *grammatica* (*ibid.*, 23).
Bede composed 3 textbooks on the subject of *grammatica, De arte metrica, de schematibus et tropis* and *de orthographia*, and another on ‘the nature of things’, *de natura rerum*, which were widely disseminated in his lifetime and beyond (Jones 1976, 268, Whitelock 1960). The main difference between these works, and Bede’s other treatise and exegetical works, and those which preceded it (such as Isidore, Cassiodorus, Donatus) appears to be that Bede felt the need for a more patristic orientation, so whereas he does have knowledge of and uses classical pagan authors, he focuses his work upon patristic authors and strips any of the classical authors of their pagan associations (Jones 1976, 269; Oligvy 1968, 241). The significance of this for our understanding of the state of things in the 7th c. is that Theodore and Hadrian’s teaching, as well as what was being taught by the Gregorian remnants in Kent and the Irish missionaries, referred to some level of the liberal arts curricula in order to provide the appropriate ‘research tools’ for exposition, comprehension and the teaching of the Scriptures and theology. Patristic authorities which they relied upon such as Augustine, Jerome and Isidore felt no need to completely excise the ‘pagan’ authorities if they were used for the purpose of divine enlightenment. We consider Bede to be an historian, he considered himself to be a teacher and as such addressed the curricular needs of the monastic and ecclesiastic traditions which he had learned from the preceding generation and in turn was passing on to the next generation of monastic scholars.
Continental education in the 5-7th centuries appears to have been in a state of flux. With the breakdown of the Roman secular system, the ecclesiastics took it upon themselves to provide the educational needs for the secular world as well as developing along the Gregorian lines of a specifically liturgically oriented
education. In the 6th century councils divided the provision of education between the basics of literacy (*litterator*) which was the provision of the priests and higher education (*grammaticus*) provided by the episcopal centres for those entering orders (Jones 1976, 262). A further development arrived with the monastic rules of Benedict and Columbanus which emphasised education specifically geared to monastic contemplation. Their emphasis was upon ascetic and liturgical education, focusing upon the scriptures, canons and psalms.
Within these monastic traditions was an insistence upon literacy and reading, from which the monasteries developed their places as centres of education for the secular as well as lay persons (Riche 1976, 110-119). The strongest sphere of influence of the Benedictine and Columbanian monasteries was in the north and eastern parts of Gaul, the southern centres were more recalcitrant about change where there were still vestiges of a separate aristocratic secular liberal arts education (Riche 1976, 84-230), ‘old-fashioned’ as Wormald has stated it (1976, 145-6), and retained more of their Roman heritage. This was especially true in the Aquitane, where Wilfrid and Biscop spent their time, since it had experienced the least disruption from the ‘barbarian wars’ to the north and east and to the south in Italy (Riche 1976, 189).
Three strands of education which appear to be separate during the 5th century started merging together in the 6th century. These strands were the monastic ascetic focus of literacy, the episcopal schools with their focus upon training for administrative and the holding of offices and higher learning for exegetical works based upon the liberal arts. Patristic authors such as Cassiodorus and Isidore wrote their compilations within this milieu. Cassiodorus’ *Institutiones* and Isidore’s *Etymologies* laid the groundwork for ecclesiastic education and compiled work from a multitude of classical and patristic sources specifically for the purposes of *litterator* and *grammaticus*. Cassiodorus, especially, tried to revive a classical curricula and even to establish a Christian ‘university’. “He appealed to the study of etymologies as did other contemporary exegetes. He appealed not only to grammar and rhetoric but even to arithmetic, and especially geometry. The commentary on Psalm 96:4 (*illuxerunt fulgura ejus orbi terrae*) gave him the opportunity to define line and point and to discuss the difference between sense perception and rational knowledge in geometry so that in the end
his commentary became a little treatise on elementary geometry” (Riche 1976, 167). Whereas Cassiodorus tried to address the needs of *litterator* and *grammaticus* separately, Isidore created a formidable encyclopaedia which could be drawn on in all levels of ecclesiastic study (Jones 1976, 262) which was widely known throughout the early Medieval West.
The orientation and ambitions of Isidore and Cassiodorus were given new impetus with the arrival of the refugees from the east and from Africa in the 7th century. Men, such as Hadrian and Theodore, who were trained to a high level in formal schools with liberal arts orientation flooded the Western church and brought their traditions and education with them (Lapidge 1994, 5-132). In the 7th century, when the ‘barbarian’ kings of the north were consolidating their power they had no tradition of formal education and therefore turned to the monasteries (and episcopal centres which by this time were heavily influenced by the monasteries) for the education of the aristocratic elite which further widened the scope of education for the ecclesiastics and strengthened the foundations of a medieval culture of literacy (admittedly for a small elite) (Riche 1976, 324-60). These foundations were consolidated through the learning of the refugees who almost seem to dominate the ecclesiastic hierarchy in the mid-7th century - a large number of bishops, archbishops and even a few popes were of Palestinian, Syriac, Byzantine and African origin (Lapidge 1994, 65-75\textsuperscript{xxxv})
Wessex-based Aldhelm, a contemporary of Wilfrid’s, is our best source for what a well-educated mid-7th century ecclesiastic in Anglo-Saxon England would have known and studied. Not only is there evidence from his writings of an enormous, vast, knowledge of classical and patristic authors (cf. Lapidge 1979; Lapidge 1985; Mayr-Harting 1991, 191-219), but he specifically speaks of what was being taught in Britain and Ireland and addresses the problems of ecclesiastic education. He studied for brief interrupted intervals under Hadrian and Theodore. In his letter to Leuthere (or Hlothere, Gaulish bishop of the W. Saxons 67-676), he describes what he is studying in Kent: Roman law, metrics, ecclesiastic computation and astrology (trans. Lapidge 1979, 152-53) which concord with what Bede reports. As we have already seen, these terms hide a wealth of subjects considered essential for proper scriptural study. He describes an
intimate knowledge of the Irish curriculum, first in a letter to Withfrith, whom he castigates for the temptations held by secular, pagan authors (*ibid.*, 154-55) and then he praises the Irish system (although staunchly defending what is available under Theodore and Hadrian) in his letter to Heahfrith (*ibid.* 160-64). In the latter, he lists what the scholars in Ireland partake of: “not only the grammatical and geometrical arts - to say nothing of the twice-three scaffolds of the art of physics - but also, the fourfold honeyed oracles of allegorical or rather tropological disputation of opaque problems…” (*ibid.*, 161-162). Additionally, in his *Epistle ad Acircium* he lists the seven-fold division of philosophy: arithmetic, geometry, music, astronomy, astrology, mechanics and medicine (*ibid.* 42).
This *epistle* particularly demonstrates the depth and range of Aldhelm’s knowledge, as opposed to mere familiarity with a variety of authors and subjects. In actuality it is a lengthy treatise which begins with an exposition of allegorical numerology, then contains a treatise on metrics (*de Metris*), his collection of ‘riddles’ intended for the demonstration of the *ars metrica* (*Enigmata*) and a second metrical treatise (*de Pedum Regulis*) embedded into a letter to Aldfrith, king of Northumbria 685-705 (trans. Lapidge 1979 parts 1,2,5; Lapidge 1982, the *Enigmata*). These are technically accomplished, and, for the modern reader especially, dense, complex and near impenetrable, not from a lack of skill or fluency in language but rather from the opposite. The fact that this treatise was addressed to Aldfrith also demonstrates to us that receiving a high standard of literacy and education was possible in mid-7th c. Northumbria for the laity (albeit the nobility) as well as those in training for an ecclesiastic life. There is no clear proof for where Aldhelm received his training prior to the intermittent 2-3 years with Theodore and Hadrian, when he was already in his 30’s (Lapidge 1979, 8). The ‘Irish’ training he has been said to have had under the eponymous Maelduib is based upon William of Malmesbury (which may or may not be derived from Bede’s reference to *urbs Maildubi*) and recent scholarship shows that whilst he does indeed show knowledge of the Irish educational practices, his Latin and style show closer continental links (Lapidge 1979, 7 & n.8,181-82). Reference is made in a letter to Aldhelm of a trip to Rome, but there are no details of when, why, or for how long. There is also the possibility of Gaulish influence under the
bishops Aegilbert (the same known to Wilfrid and Biscop) and Leuthere. Whether he received his education primarily under the influence of the Irish, through Theodore and Hadrian, under Gaulish influence or a sojourn to Rome is not necessarily as important as the evidence he provides for the ability of an Anglo-Saxon to gain an extensive education in the mid-7th century. It would thus appear that there are parallels in Anglo-Saxon England for the thesis outlined by Riche for Gaul (cf. above) multiple strands coming together under the necessity of ‘pagan’ conversion, which ultimately was seen by the episcopals and monastics as educating the unlearned in the ways of Christ, who turned to the church for the education of the nobility which in turn provided more literate and educated ecclesiastics.
This fairly detailed look at the forms of education tells us that there was a place within ecclesiastic study for the kind of geometrical knowledge required to design churches such as Hexham, Wearmouth and Jarrow. Additionally it shows us that as well as a reason for this kind of knowledge (ultimately as part of a repertoire of tools for understanding the Scriptures and the patristic authors with the goal of educating followers in a Christian life and exegesis), there was the ability to become a literate, erudite, original thinker (the ability to not just parrot but to formulate and expound ideas in an original manner such as Aldhelm’s metrical treatise) in the mid-7th century. From the previous discussion of the transmission of texts and textual knowledge (cf. above IV.3) it is clear that geometrical knowledge was embedded in a variety of texts, e.g. the *agrimensores* and other textbooks, or authors such as Pliny and Isidore, each of whom we know were available and drawn upon. Furthermore, there is a strong probability that a copy of Vitruvius’ original treatise was available to be copied in an Insular hand, possibly even Northumbrian from the similarities with the *Codex Amiatinus* and the Lindesfarne Gospels, which was then copied on the continent in the 8th c. (cf. above IV.3). If it is permissible to speculate that the Carolingian copy was imported from England by Alcuin of York, then it is permissible to speculate that the copy held in York (i.e. the Anglo-Saxon archetype) was copied from a Roman source which could have been available to the *architectos* of the Wilfrid/Biscop group of churches. The analysis of the churches themselves,
through the use of the geometrical description of a surd and their sophistication, point towards the possible knowledge of Vitruvius either first hand or through another abridged source.
So who was the architectus of this group of churches? It could very well have been Wilfrid, as the VW informs us: 'for our holy bishop, being taught by the spirit of God, thought out how to construct these buildings' (XXII, intra n. iii), although this could very easily be the pride of the disciple for his master speaking. It might also have been Biscop, the ties between Biscop and Wilfrid were much closer than what Bede lets us know (cf. Goffart 1988, Wormald 1976). The analysis shows the probable use of the same system at Ripon as at Hexham, Jarrow and Wearmouth which makes it unlikely that Biscop was the one behind this group since he would have been travelling at the time of the rebuild of Ripon. It could have as easily been Ceolfrith, known from his Vitae and from Bede to be a very learned man. His early training must have been under the Irish when he was with the monastery at Gilling (HAA non II). He continued his studies after joining Ripon in 661 and became a priest in 669 (dates: Plummer 1896, 372). We are told he studied in Kent (presumably with Theodore by this date) and in East Anglia under Botulf (HAA non, III, IV). He was sent from Ripon by Wilfrid to aid in the foundation of Wearmouth (HAA non, V). The foundation of Wilfrid's Hexham occurred in 673, Wearmouth in 674 - Ceolfrith is the overlap. Furthermore he was appointed abbot of Jarrow at its foundation in 682 - the dedication stone for Jarrow specifically refers to Ceolfrith, not Biscop (Higgit 1966). Earlier, in the beginning of this chapter, I had stated the importance of situating any type of geometric architectural analysis within its historical context so as not to confuse our analytical tools with the potential of what might have occurred at the time of the design of a building. Therefore, the evidence for the specific identity of the architectus of these group of buildings (or even the existence of a formal architectus - which is not what is being argued here) is not as significant as the evidence which points to the ability for the mid-7th c. milieu to have produced someone with nearly the same qualifications and standards of education put forth in Vitruvius' treatise (cf. above).
V. Conclusion
With a similar concern towards a wider context for building practice which has led to a consideration of the literate culture of ecclesiastics, Wood has traced the recurrent themes in church dedications in Gaul (1986) in order to provide a better understanding of the ‘audience of architecture’ in the early Medieval church.
These dedications contain comments upon the patrons of the foundation in question, a description of the details of the church which magnify how resplendent it is (*ibid.*, 74) and ultimately, the exaltation of God which is done by this deed of building a magnificent structure for Him. Many of the church details would only be meaningful to a few, for example Wood’s proposal that re-used Roman work, which frequently would be hidden from view in the final product or inscriptions of precious objects which would go unseen, is a result of the importance of gift-exchange in early Medieval Gaul. The same is true of many of the references and allusions in the dedications themselves, they would only be meaningful to a small highly literate elite (*ibid.*, 76-77). The letter of Avitus quoted by Wood is a good example of this:
.....men, who having looked at all the sublime parts of the building, could fittingly ascribe to the founder *a sense of elegance in the quality of the arrangements, extravagance in the outlay of expenditure, concord in the ordering of dimensions, space in the measurements, height in the elevation and stability in the foundations*….
(*ibid…*, 74, emphasis added)
The emphasised text almost exactly parallels Vitruvius’ canon of good design (cf. above IV.1). It is highly doubtful that even if Avitus’ was familiar with Vitruvius’ canon, more than a very small number of the audience for such a dedication would be. This type of literary referencing is a self-consciousness on the part of the authors of such dedication homilies which is acknowledged by the authors themselves when they differentiate between texts written for a larger audience and texts and letters written to a smaller section of the ecclesiastic and secular world (*ibid.*, 77). As Wood summarises; “.. Such bantering [literate arguments between Avitus and others] reveals a self-consciously literate society, whose literary standards affected its response to ceremonies of dedication and
preconditioned its appreciation of architecture, which ought ideally to be as complex and precious as the literary style used to describe it." (ibid., 76)
These 6th century Gaulish concerns can be paralleled in Anglo-Saxon England in the 7th century when we look at Aldhelm’s church dedications (*Carmina Ecclesiastica*, trans. Lapidge 1985, 46-60). This collection of church dedications conform to the thematic concerns outlined by Wood. Furthermore, they are liberally sprinkled with quotations and references to Scripture, the patristic authors, the Christian poets, a few pagan authors, and historical detail (ibid., and notes, 232-42). Aldhelm’s writing contains the same assumptions about the audience for church dedications as Avitus’: that the smaller audience contains a core of a literate culture which will understand and appreciate the theological dispositions, literary references and the self-consciousness of the dedications. The descriptions of the architecture of Ripon and Hexham in the *VW* (XVII, XXII) are firmly within this tradition of dedications. Furthermore, the description of Ripon is itself a small allegoric homily on the Church as the Virgin Bride. It must be remembered, however, that this literary tradition is not solely aimed at a small elite - the purpose is ultimately one of pastoral care where an exposition on the glory of God, be it manifest in the textual culture or material culture is the responsibility of a few who teach and guide those within the Christian faith. Therefore the literate context will have an effect at some level, especially as manifest in the architecture, upon the larger societal groups of Christians. Finally, these works were outwardly justified by being aimed at the most discriminating ultimate authority, God - in the glorification and exaltation of the heavenly kingdom here on earth.
evaluation
This investigation has been subdivided into two parts. The first, centred around an exploration of analyses of the crypt and superstructure of St. Andrew’s, Hexham (Ch. 3), has been an investigation into an assessment of some of the themes which can be addressed through an architectural analysis of the past. The second part (Ch. 4), centred around the reconstructions of the superstructure of the church of St. Andrew’s, has been an investigation into some of the methodologies performed upon the architectural remains of churches. These two parts have been embedded within a two-fold theoretical framework. The first concern has been to re-evaluate our own modern paradigms which are applied at an unconscious level of definitions employed within analysis and interpretations. The second concern is to acknowledge that historical events are the result of practice and activity and therefore need to be firmly contextualised within the available evidence for the practices which they arose out of.
There are many issues which could have been addressed within an architectural analysis of the past, therefore it was important to focus upon one very specific event, the foundation and building of St. Andrew’s Hexham in the 7th century, in order to allow the evidence to suggest fruitful avenues of inquiry which would have specific relevance rather than allowing a wider, unfocussed investigation of a general nature such as a survey of all Anglo-Saxon architecture. Architectural issues which have been touched upon in this investigation are: the liturgical requirements of spatial ordering; the cult of relics and its spatial implications; the power and politics within which a building is constructed; the concept of a church as a physical and symbolic form (the concept of ‘basilica’); the use of selective transfer in the creation of a work of architecture; textual descriptions of architecture and architectural terminology; the need and transmission of practical skills; the textual transmission of knowledge; the process of design and an understanding of proportion; and the theological and educational necessity for specific kinds of knowledge which can be seen to be expressed in architectural form.
The constraints of this investigation have necessitated a restriction of the discussion of some of the specific avenues which have been explored under some of these topics to a brief survey, however, the purpose has been to gather together multiple strands of evidence. It has not been the intention to merely support one type of evidence with another, but instead to facilitate multiple approaches to different types of evidence in order that areas which may have gone unnoticed as minor or unsubstantiated take on a new light when evidence from several directions points to a deeper understanding. Conversely, by contextualising the evidence through the actions of one historic individual this investigation has widened out the scope of the topic to include the conversion period in Anglo-Saxon England and to situate it within the wider context of practices in Gaul and Rome, and to a lesser extent, Ireland.
I would now like to briefly review some of the results of this investigation. An assessment of crypt analyses based upon contextualising typological analogies led to a consideration of the function of crypts and a review of the assumption that crypts were for containing relics and burials. The first level of inquiry was into an understanding of the cult of relics as part of 7th century Anglo-Saxon burial practice, the process of informal canonisation and the attitude towards and treatment of primary and secondary relics in Anglo-Saxon England. Whilst these practices each bear relationships to continental practices, Anglo-Saxon practices differed in significant ways for the functional implications of the crypts: translation to the floor of the church of the primary relics appears to be *de rigueur* for canonisation, and, apparently as part of this process, there is no evidence for crypt burials; dismemberment was uncommon, and frowned upon, and therefore secondary relics of saints were the only way of distributing multiple relics; finally access to relics, whether primary or secondary, is necessary for the miraculous powers to manifest themselves. Therefore a strong relationship to a particular type of continental crypt would be highly unlikely as these developed out of different circumstances. Following from this, the second level of inquiry was into what other ways the crypt and its secondary relics would be integrated into 7th century practice which led to an investigation of the evidence for liturgical performance and the spatial implications of this. Although there is no
unequivocal evidence for specific liturgical processions at this time, combined manuscript evidence, the physical evidence for multiple churches and altars and the significance of Wilfrid having participated in Roman stational liturgy whilst at Rome, points towards the strong possibility of liturgical procession being part of the liturgical enactment. My reinterpretation of the crypt (cf. above III.2) is thus based upon a combined understanding of liturgical practice with the cult of relics which could result in what appears to be unique crypts (if we include Ripon) for their time.
As part of the discussion of the crypts, an understanding of the manner in which architectural form is reconfigured from multiple symbolic and physical references emphasised the importance of what Krautheimer has termed ‘selective transfer’. Turning to the superstructure, selective transfer was discussed in conceptual as well as physical terms through a comparison of early medieval textual descriptions of architecture, where the accuracy of the details is not as important as the ability to elicit a conceptual whole. I again questioned the validity of formal assumptions which have been employed in various attempts to typologically locate and reconstruct the church of St. Andrew’s, which, in the main, have been based upon the interpretation of the texts as describing ‘basilica’. An evaluation of the archaeological evidence for basilicas in 7th century Anglo-Saxon England, the historical development of a structure which is associated with specific formal qualities from Roman models, and a consideration of the modern understanding of the term as opposed to the possible connotations of the term as used in the *HE* and the *VW*, exposed the implicit biasing towards a model of form which is a purely modern construct. The use of the term in the texts analysed shows the possibility that the connotative meaning of the word was more significant than any formal arrangement. The range of the connotations associated with ‘basilica’ could be: the role of Christ in Majesty - all things associated with Christ are therefore imperial; the possible association of foundations with churches referred to as basilicas with the adjective ‘royal’ and therefore referring to high-status sites and finally the possibility of papal or some other ecclesiastic purpose. The textual evidence combined with the
archaeological evidence therefore exposed a model of form which cannot be justifiably expected to be found in early Anglo-Saxon England.
The second part of this investigation developed an analysis of methodological investigations out of an understanding of the concept of design and the importance of an understanding of the concept of proportion within design. It showed that the most common approaches to the investigation of the proportions of architecture in Anglo-Saxon England were flawed because of a lack of an understanding of how the process of design was put into the practice of building; a lack of grounding in an understanding of the use and precision of different types of measurement, the methods of surveying and laying out a site on the ground and the tools available. My own methodological approach was a comparative analysis based upon geometrical knowledge as a traditional, practical skill with historical precedents, with an awareness of the issues of measurements, the type of tools required and the problems with the physical remains as we have them available to us. The analysis itself points towards the employment of a successive proportioning system based upon the geometry of the equilateral triangle to generate the design of the crypt at Hexham, the churches of Wearmouth and Jarrow, probably the crypt at Ripon and probably the church at Escomb. A reconstruction of Hexham was then put forth that used this system of proportion which coincided and aligned with the physical remains (those minimally determined to be pre-13th century). Whilst this reconstruction is not radically different than other reconstructions, such as Bailey’s, put forth, the method used is more rigorous than a best-guess method based upon possible models of form.
An analysis and reconstruction of this type, however, is meaningless if it is not contextualised and discussed for possible significances. Any historical analysis should do more than just compile data for some database of historical ‘facts’, it should further our understanding of the potential processes which lay behind an event or creation of an object. Therefore, my next concern was, if this analysis appears to point towards a complex, sophisticated design which is one step beyond the application of traditional building practices, then where would this
knowledge have been acquired and why would it have been considered necessary. We had already seen that a Vitruvian architectural knowledge could have been available through a variety of sources by investigating the manuscript evidence. That a manuscript contains a certain type of knowledge and was available, however, does not necessarily imply that it was read, studied and understood. However, a survey of the types of education required in ecclesiastic circles in Rome, Gaul and Ireland and the display of the level of sophisticated literary culture as well as geometrical and architectural knowledge in various authors works, led to a fuller understanding of the subjects studied for the purposes of Scriptural enlightenment, where geometrical knowledge was part of the repertoire of knowledge.
The point of this investigation was not to prove an hypothesis or provide a survey and overview of evidence but to evaluate if an interdisciplinary architectural analysis would bear any fruit. The answer, I feel, is yes. Although there are several areas where detailed work needs to be undertaken, hopefully this approach has provided a deeper understanding of the practice and the ‘history’ of a particular moment. For example, an understanding of the building of a church in 7th century Northumbria as a product of and aimed at a sophisticated, literate culture rather than merely a building which serves a supposedly transparent function, requires a re-evaluation of the significance of some of the other churches known from this time, such as Escomb. There is no documentary evidence for the building of the church at Escomb and it is usually dismissed from serious historical consideration as a simple parish church. The lack of contextual evidence around the church is not a large argument in favour of a secondary parish status; the evidence is purely negative evidence and the actual areas excavated in the immediate environs were only two small trenches. All the evidence from this analysis points towards the possibility of Escomb being more than an insignificant parish church. To begin with, a stone church in the 7th century is symbolic in and of itself of a certain type of orthodoxy. Secondly, a church of this type is the product of a wealthy patron who employed someone skilled in the design of a church (seen from the preceding analysis), commissioned skilled labourers (the construction details are well done, window
glass fragments have been found paralleled with Jarrow/Wearmouth), imported stone from another site and decorated the church with fine sculpture (referred to as of the ‘Hexham school’ and also paralleled with Jarrow/Wearmouth), plastered the walls and embellished the interior with painting (which can still be seen on site) (cf. Pocock and Wheeler 1971 for further details). The similarity to Hexham, Wearmouth and Jarrow in detail and design therefore put Escomb into the same context as a product for a literate culture, albeit a small elite – further supplemented by the re-used Roman stone and the re-used Roman arch if we consider Wood’s argument for the prestige of this type of evidence. Although the church is ‘small’ all of the above things mentioned are associated with wealthy monastic foundations, episcopal centres and the converted aristocratic society, not with the average lay person or general population.
The question of Escomb, and other avenues of investigation which could be followed through from this particular analysis are ones which would require further research than what has been put forth here. However, from this investigation, and hopefully investigations which would be undertaken in a similar vein, a platform has been erected upon which to base further research. It has been recognised by some authors that historical documents are not merely objective by-products but are part of a society’s repertoire of expressions for reproducing and adapting the norms, structures, and power relations of the specific group of people who hold these skills. Analyses which recognise this as a precept whilst maintaining a rigorous interrogation of their data, allow us to view the possibilities of complex dynamics which formed what we have as our ‘record’ of the past (e.g. Goffart 1988a). In addition to the documents themselves, it is beginning to be recognised that the artefacts which are normally viewed separately as material objects, mute ‘stones and bones’, are part of the same repertoire of resources as the historical documents – part of the cultural system available to co-existing and competing groups and individuals acting as knowledgeable social actors (cf. Driscoll 1988b). These material objects are unique in terms of how they operate to each, differently, produce and reproduce society – documents are not churches, are not clothing, are not coins, but all participated within the same complex system of relationships. Modern
specialisms should be viewed as methodological tools for interrogating data, not as boundaries for separation - an art historian’s contributions, an historian’s, as well as an archaeologist’s are all to be valued, however, these tools need to be based upon a re-thinking of the objective of study (a concrete object, an aesthetic, a structure or situated human praxis?) which informs the questions which are being asked and the interpretations put forth.
The first step towards a revision of the role of architectural studies, specifically church studies within an Early Medieval context, is to perform analyses which are based upon a radically different understanding of the role of church architecture - as a practice, not as a material object - within that particular society. Thus it can be seen that this particular artefact arises from activities and practices, at all levels of human interaction with their surroundings, be it pragmatic, political, or symbolic, which participate in reproducing and transforming that society. Once an analysis has been performed with this type of attitude (or ‘gaze’) towards the object of study, then future analysis can spring from this which further our understanding of the interrelationships between different groups using different cultural resources to reproduce and transform the system they were situated in - to further our understanding of ‘history’.
Notes:
¹An aside is necessary at this juncture regarding two commonly employed terms: *type* and *model*. I will be using the normative, common definitions of these terms, where *type* is a classificatory device for buildings according to nomenclature (social function), their architectural style (e.g. Romanesque, Baroque) or date of construction and a *model* is a general ideal schematic prototype. This is the reverse of the classical definitions in architecture applied by Quatromere de Quincy and occasionally found in current specialised literature (cf. Lawrence 1990 for a return to these usages). Since I am investigating a broad body of literature, I feel it would be confusing to uphold de Quincy's terminology.
"²I realise that the approaches that I have outlined so far, and also forthwith, are not as clearly defined as I may seem to be describing, however, I would like to reiterate that I am not attempting to present strict disciplinary practice but to clarify the underlying paradigms.
"³For a further discussion of how agency and performance can guide our analyses, cf. Barrett & Bartley, 1994.
"⁴…omnen gloriariam eius secularem et divitias necnon coenobiorum multitudinem et aedificiorum magnitudinem innumerumque exercitium sodalium regalibus vestimentis et armis ornatum.
"⁵quae magnalia ornamenta huius multiplicis domus de auro et argento lapidisbusque pretiosis et quomodo altaria purpura et serico induta decoravit
"⁶Nam Inaegustaldesae, adepta regione a regina sancta Aethelthirithae Deo dictata, domum Domino in honorem sancti. Andrea apostoli fabrefactam fundait: cuius profunditatem in terra cum dombus mire politis lapidibus fundatam et super terram multiplicem domum columnis varis et porticibus multis suffultam mirabileque longitudine et altitudine murorum ornatam et liniarum variiis anfractibus viarum, aliando sursum, aliando deorsum per cocleas circumductam, non est meae parvitiatis hoc sermone explicare, quod sanctus pontifex noster, a spiritu Dei doctus, opera facere excogitavit, neque enim ullam domum aliam citra Alpes montes talem aedificatam audivimus.
"⁷Igitur profunditatem ipsius ecclesiae criptis et oratoris subterraneis, et viarum anfractibus, inferius cum magna industria fundavat. Parietes autem quadratis, et variiis, et bene politis columnpis suffultos, et tribus tabulatis distinctos, immensae longitudinis et altitudines, erexit Ipsos etiam, et capitella columnparum quibus sustentantur, et arcum sanctuarii, hystorii, et ymaginibus, et variiis caelaturarum figuris ex lapide prominentibus, et picturarum, et colorum grata varietate mirabilique decore decoravit. Ipsum quoque corpus ecclesiae appetitiss et porticibus undique circumcinxit, que, miro atque inexplicabili artificio, per parietes et cocleas inferius et superius distinxit, et deambulatoria, et varios viarum amfractus, modo sursum, modo deorsum, artificiosissime ita machinari fecit, ut innumera hominum multitudi ibi existiere, et ipsum corpus ecclesiae circumdare possit, cum a nemine tamem infra in eum existentium videri queat. Oratoria quoque quam-plurima, superius et inferius, secretissima et pulcherrima, in ipsis porticibus cum maxima diligentia et cautela constituit, in quibus altaria in honore Beatae Dei genetricis semperque Virginis Mariae, et Sancti Michaelois Archanglei, Sanctique Johannis Baptistae, et Sanctorum Apostolorum, Martyrum, Confessorum, atque Virginum, cum eorum apparatibus, honestissime praeparari fecit. Unde etiam, usque hodie, quaedam illorum, ut turres et propugnacula, {supereminent Quas autem, et quorum Sanctorum reliquias, et quas et quam
religiosas personas, et quantam ministeriorum copiam Deo devote servientium ibi congregaverit, et qua magnifice et religiose pretiosiss thesaris librorum, vestimentorum, et quomunquamcunque utensilium, et caeterorum ornamentorum, usui sanctae ecclesia congruentium, ipsam basilicam interius ornaverit, nostrae exiguitatis sermocinunculus explicare non sufficit. } Atrium quoque templi magnae spissitudinis et fortitudinis muro circumvallavit. Praeterea, in alveo lapideo aquaeductus, ad usus officinarum, per mediarn villam decurrebat. Multiplicem autem et copiosissimam aedificiorum structuram, quae vastatio et vastitas delevit, supsedemus, cum tamen fundamenta plurima adhuc ibi stant remperiantur. Sicut enim antiquae Historiae et Cronica testantur, inter novem monasteria, quibus praedictus praesul pater et patronus, et inter omnia alia totius Angliae, artificiosa compositione, et eximia pulcritudine, hoc praecellebat. Denique, citra Alpes, nullum tale, tunc temporis, reperi poterat.
\textit{cripta, quam confessionem Romani vocant, subitus erat, ad instar confessionis sancti Petri fabricata'} in Biddle 1989, p 7
\textit{Sed mihi placet ut, siue in Romana siue in Galliarum seu in qualibet ecclesia aliquid inuenisti, quod plus omnipotenti Deo possit placere, sollicitie eligas, et in Anglorum ecclesia, quae adhuc ad fidem noua est, institutione praecipua, qua de multis ecclesii colligere potuisti, infundas. Nom enim pro locis res, sed pro bonis rebus loca amanda sunt. Ex sinquis ergo quibusque ecclesii quae pia, quae religiosa, quae recta sunt elige, et haec quasi in fasciculum collecta apud Anglorum mentes in consuetudinem depone.}
\textit{for ease of reference I have provided a list of the various manuscripts cited by the authors referred to in the following discussion:}
a) 'Gelasian Sacramentary' - Vatican Library, Codex Vaticanus Reginensis 316; copied mid-8thc. at Chelles
b) 'Gregorian Sacramentary' - Hadrianum Cambrai, Bibliotheque Municipale, MS 164; copy of 8thc book sent by Pope Hadrian to Charlemagne
c) 'Gallican Missal' -
3 fragments in Regensburg, (Gamber no. 412; Berlin, Staatsbibliothek der Stiftung Preussischer Kulturbesitz, Lat. fo. 877 & Hauzenstein, Scholls, Graflich Walderdorffische Bibliothek, s.n. and Regensburg, Bischoflichen Zentral bibliotheck Clm 1) mid-8th c. Northumbrian cf also the Bibbio Missal, the Stowe Missal, the Burghard Gospels, the Lindesfarne Gospels, etc
\textit{... in uenerationem illorum poneret altaria, distinctis porticibus in hoc ipsum intra muros eiusdem ecclesiae}
\textit{In order to focus upon the relevant details of Wilfrid in the following sketch, I have not referred to secondary sources unless necessary. For relevant discussions of Wilfrid and the political, social and cultural contexts of the 7th century cf: Kirby 1974, Goffart 1988b, Roper 1974, Wormald 1982, Mayr-Harting, 1991}
\textit{Alhfriht compelety disappears from records after 664, and even though the details and circumstances of what happened to him are not known, Bede record's the rebellion against Oswiu of by 'his own son Alhfriht...' HE III.14. This reference could be to another incident and Alhfriht could have been one of the many carried off by the plague. Whichever, it appears that Wilfrid's strongest ally is no longer around to support him or he in all probability would have been mentioned again in either Bede or Stephanus' accounts of Wilfrid's controversies.}
\textit{I used the translation of Bede from Colgrave, rather than the Shirley-Price translation used by Parsons. The Shirley-Price translation is condensed and with attempting a more modernised syntax, I feel leaves out the sense of the description.}
\textit{beati Laurentii matryris oratorium, quod in dormitorio | fratrum erat obuim, intrant}
\textit{The Latin text and the English translations for the following are both from Colgrave.}
\textit{Bede's references to non-'typical' basilican form churches is supported by Niermeyer's findings for the medieval use of the word: 1. church building of lengthy shape consisting of three naves and an apsidal choir; 2. major church; 3. any church, even a small one; 4. martyr's}
memorial; 5. sepulchral chapel. Niermeyer, however, does not reference any usages particular to our purposes. (Niermeyer 1976, 87)
I would like to thank Robert Squair for passing me a copy of his paper ‘Style and Materiality’, (1992, unpublished work for his dissertation, University of Glasgow), a comprehensive critique of the use and implications of the concept of ‘style’ within archaeology.
*Vitruvius: On Architecture*, edited from the Harleian MSS 2767 and translated, F. Granger 1928 (Vol 1.), 1934 (Vol. 2)
*I would like to re-emphasise that these terms I am employing are for convenient reference to geometric constructions - I am not implying that there would have been specific mathematical knowledge of the four surds and the Golden Section.
The base plans for both Wearmouth and Jarrow were kindly provided to me by Prof. Rosemary Cramp (1996). There were, however, some discrepancies, apparently through transcription error in the plans, therefore my plans are in appearance slightly different from those most recently published (1994). In order to correct these errors, for the dimensions of the plans I used those given to me by Prof. Cramp (pers comm. 1996); previously published dimensions listed in the text (Cramp 1994, 1976) and Taylor’s site measurements (1965).
By this I mean the allowable margin of error between the measurable dimensions and the calculated dimensions.
Escomb’s base plan was measured on site and compared with the excavation (Pocock & Wheeler 1971)
The plan for the crypt at Hexham was based upon Taylor 1978 (for scalability with Ripon) and compared to Hodges’ plan of the crypt (1899) and Bailey’s excavation (1978), drawings of which Prof. Bailey kindly provided me.
The plan of Ripon is from Taylor (1978)
Prof. Bailey kindly provided me with Hodges’ plan to reproduce for the analysis. The base plan and subsequent plans are following Bailey’s drawing of the original plan (for scalability).
*Et ut litteratus sit, peritus graphidos, eruditus geometria, histories complures noverit, philosophos diligenter audiert, musicam sciert, medicinae non sit ignarus, responsa iurisconsultorum noverit, astrologiam caeliique rationes cognitas habeat
et ommem psalmorum seriem memoraliter et aliquantos libros didicit
uir in rebus ecclesiasticis sublimiter instituitus seruabat
iuxta consuetudinem suam in orationibus et ieuniis, in lectione et vigillis semper occupatum; Psalms namque, quos prius seucundum Hieronymi emendationem legerat, more Romanorum iuxta quintam editionem memoraliter transmetuit
a quo quattuor euangeleia Christi perfect didicit et paschalem rationem, ... et alias multas ecclesiasticae disciplinae regulas
Nam et per tres annos simul cum eo mansit et a doctoribus valde eruditis multa didicit
...Ac patriam mox reversus, stuiosius ea quae uidit ecclesiasticae uitae instituta, diligere, uenerari, et quibus praedicare non desit
Although Noble (1995) feels that this ‘swamping’ of the ecclesiastica by easterners is exaggerated (for Rome at least), work by scholars such as Lapidge has shown that even if not predominate in numbers, there was definitely a cultural influence to be felt in the 7th century in the West.
An Investigation of Ecclesiastic Architecture as an Historic Source for the Christianisation of Northumbria, c. 500-800 AD: an Interdisciplinary Study
Vol. 2 of 2
References
Appendices
Elizabeth Ashlyn Bartley
M. Litt.
University of Glasgow
Department of Medieval History
Department of Archaeology
October 1996
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**Class I Northumbrian Church Structures**
| Corbridge | Northumberland |
|-----------|----------------|
| monastic church |
| 7thc (786) |
| Symeon's Hist Reg |
| Taylor & Taylor (1965) (1974) |
Nave, west porch, chancel. Survival of west porch with side-alternate quoins; fabric construction of very large, reused Roman stones; western doorway with "Escomb fashion" jambs; small, round-headed, internally splayed window above arch - round-head in large rectangular re-used Roman stone. Tower arch all reused Roman through stones. Nave: north wall original, monolithic stone head windows above later arcade; original north wall lower squint and flooring; parts of original north and south walls in bond with east and west walls of nave. Chancel no longer surviving but had been reached and can be reconstructed (minus east end). Historical reference: Symeon of Durham, Hist. Reg., statement of Eadulf's consecration as Bishop of Hexham taking place at monastery of Corbridge in 786.
| Escomb | Co. Durham |
|--------|------------|
| late 7th/early- 8th |
| Pocock and Wheeler 1968 |
| Pocock and Wheeler (1971) Taylor & Taylor (1965) (1974) |
Nave, chancel, west porch, north porch. No historical references but structural and archaeologically dated in the late 7th, early 8th c. Reused Roman stone as roughly dressed large square stones; massive side-alternate quoins; low rounded Roman arch. Paralleled with Iarrow. Archaeological evidence of remodelled Mid-Saxon shield; and window glass fragments paralleled w. Warkworth fabric.
## Appendix I
### Class I Northumbrian Church Structures
#### Corbridge
**Northumberland**
- **monastic church**
- **7thc (786)**
- Symeon's Hist Reg
- Taylor & Taylor (1965) (1978)
Nave, west porch, chancel. Survival of west porch with side-alternate quoins, fabric construction of very large, reused Roman stones; western doorway with "Escomb fashion" jambs; small, round-headed, internally splayed window above arch - round-head in large rectangular re-used Roman stone. Tower arch: all reused Roman through stones. Nave: north wall original, monolithic stone head windows above later arcade; original north wall lower courses and flooring; parts of original north and south walls in bond with east and west walls of nave. Chancel no longer surviving but had been recorded and can be reconstructed (minus east end). Historical reference: Symeon of Durham, Hist. Regum, statement of Eadwulf's consecration as Bishop of Mayo taking place at monastery of Corbridge in 786.
#### Escomb
**Co. Durham**
- **late 7th/early 8th**
- Pocock and Wheeler 1968
- Pocock and Wheeler (1971) Taylor & Taylor (1965) (1978)
Nave, chancel, west porch, north porch. No historical reference but structurally and archaeologically dated to the late 7th, early 8th c. Reused Roman stone and roughly dressed large square stones; massive side-alternate quoins; reconstructed Roman arch. Paralleled with Jarrow. Archaeological excavation produced Mid-Saxon sherds and window glass fragments paralleled at Wearmouth/Jarrow.
Heysham, St Patrick’s Chapel, St Peter’s Church
Lancashire
700-800
Potter 1977-78
Taylor & Taylor (1965) (1978); Potter & Andrews (1994)
St Patrick’s: Single-cell church built upon earlier small stone building. Fabric: rubble masonry with side-alternate quoining; round-headed rebated doorway with three-stone lintel and “Escomb fashion” jambs. Dating: similarity with Wearmouth and Escomb; grave cross-shaft hollows analogous to Hexham finds; painted inscriptions; sculpture; radio-carbon of cemetery. Dating placed 2nd half of 8th c. for phase 2; smaller structure, seen also as a single cell chapel, earlier, poss. late 7th/early 8th.
St Peter’s: Anglo-Saxon: Nave, south porticus, chancel. Fabric: same as above. Dating: same as above. However, no excavation possible so date of 8th/9th century given for church in association with Norse-type evidence, although earlier is possible.
Jarrow
Co Durham
St Paul monastery
HE, Hist Abbotts, Life of Ceolfrith (HAA)
Cramp 1959-67, +
Cramp (1969, 1976, 1994, pers. com. 1996); Taylor & Taylor (1965) (1978)
Two churches, east - west aligned. Eastern church: extant except for west wall, which was located archaeologically. Coursed sandstone construction with reused Roman; massive side-alternate quoins; single-splayed monolithic round heads; round-headed doorways with early jambs. Western church: nave, chancel, north and south porticus. Recovered archaeologically (demolished in 18th c). Also well-planned monastic buildings recovered to the south of the church which merit analysis at some other time. Historically very well attested by Bede in HE and HA, HAA. Category IV - associated monastic structures.
**Kirk Hammerton**
*Yorkshire*
*Taylor & Taylor (1965) (1978)*
Nave, chancel. Fabric: roughly dressed large blocks in rough courses with megalithic side-alternate quoins. Nave and chancel are possible to reconstruct because all the quoins have survived. Originally two cell without western annex: single plinth around entirety of chancel and nave, tower has double plinth and is not in bond. South doorway of nave: square jambs probably through stones. Small round-headed, internally splayed window in chancel. Date needs investigating.
---
**Lincoln, St Paul-in-the Bail**
*Lincolnshire*
*4-7th*
*HE*
*Jones & Gilmour, late 1970’s*
*Gilmour (1979); Jones (1994); Taylor & Taylor (1965) (1978)*
Attempts to tie in with historical reference to conversion of Edwin by Paulinus - exact location of this site still debatable. Archaeologically recovered two-cell church with apsidal east end centred over a single burial. Timber ('most probably') structure (trench construction) with chancel screen overlaying late-Roman building within the Roman forum of Lincoln. Dating to 7th.c is through stratigraphical relation; stylistic dating of hanging bowl found in grave to 7th century; and historical association with Paulinus' convert Blaecca's church (628/629) (HE II.xvi). Radio-carbon seem to indicate 5/6th c., although wider range possible.
---
**Seaham**
*Co Durham*
*650-700*
*Taylor & Taylor (1965) (1978)*
Nave, chancel, west porch. Historical reference is late: 10th century Historia de Sancto Cuthberto in connection with S Wearmouth estates given to St Cuthbert by Athelstan. Fabric: complete nave of roughly squared stones with much larger side alternate quoins; round-headed single-splayed windows paralleled at Escomb. Excavation in 1913 revealed chancel and western porticus (suggested as narthex or baptistry).
**Staindrop**
| Co Durham | 650-800 |
|-----------|---------|
| Taylor & Taylor (1965) (1978) |
Nave, chancel. Nave: walls above later arcade; round-headed, single splayed windows; south window monolithic head combined with well-dressed and joined voussoirs. Paralleled with remains at Wearmouth for early date. Chancel remains at nave interface with stubs of north and south wall bonded. Eastern wall conjectural.
**Wearmouth**
| Co Durham | St Peter monastery | 674 |
|-----------|--------------------|-----|
| HE, Hist Abbots, HAA, Bede's Cuthbert | Cramp 1959-67, + | Taylor & Taylor (1965) (1978); Cramp (1969, 1976, 1994, pers. com. 1996); |
Nave, west porch, annex south of west porch, evidence of same again to north, wall of north porticus. Wearmouth is difficult in terms of the excavation and examination of the church. The standing fabric of the lower west porch and the west wall of the nave have been thoroughly examined and recorded and determined as the original church structure. From the evidence of the west wall the width of the nave is indicated. The eastern terminus is the difficulty: the 1866 excavation recorded a clearly Anglo-Saxon transverse foundation, however there are various interpretation based upon these accounts. Cramp* feels that this is the east wall of St Peter's, however it seems to have been in bond with the remains of the eastern chancel (presumably the line of the current chancel) which she interprets as the location of the church of St Mary's, similar to the arrangement at Jarrow. A further complexity arises from the position of the wall of the northern porticus which was excavated: north-south with the remains of the westward turning. The position of this wall is problematic if the transverse wall is considered the west wall of St Peter's or the east wall of St Mary's - it would overlap the two churches. If the foundation of 1866 was the transverse chancel wall of St Peter's, the chancel itself following the lines of the present chancel, with St Mary's being a small chapel aligned to the east (cf. Jarrow) about the size of Hexham. This would enable the position of the wall of the northern porticus to fit in with some sort of logic, it would overlap the nave and chancel of St Peter's the way the northern porch at Escomb does.
*Cramp 1994 and pers com 1996 no longer feels that the remains recorded in 1866 give evidence for a transverse wall (e.g. a terminus) in that position and therefore does not indicate a division between the church and the eastern porticus or chapel.*
**Whithorn**
Martin
700-850
HE III.iv, V.xxiii
Hill
Hill (1991), (1992)
Complete plans of aligned timber churches with two phases. The first phase involved three churches, the second phase involved the joining of the west church and the middle resultant in a configuration such as Jarrow and Hexham, and that proposed for Wearmouth. This occurred during the Northumbrian phase of Whithorn 700 - 850. Dating is based upon archaeological evidence, including coinage and stratigraphic relationships, and identification is based upon stratigraphic relation to underlying shrine. Personal communication with Peter Hill has indicated the completeness of the plans, with very detailed information. Category IV - timber structures with Northumbrian phase
**Yeavering (Ad-Gefrin)**
Northumberland
-641
HE 11.14
Hope-Taylor 1976
Hope-Taylor (1977)
Putative site of timber church with accompanying graveyard. Identification as church because of association with cemetery. Two phase structure: 1st phase - rectilinear structure with east west orientation and opposing doors north-south and east-west. Constructed cutting through earlier "string graves" but clearly respecting what appears to be the three foci of the string graves (especially two of them), inhumations within and around this structure in a delimited area during this phase. Phase two after apparent burning with western annex added, western door off centre similar to chapel/porticus. Intensive inhumation in and around this structure, including deliberately packed sideways against the foundations. Simply put - weird. Does not resemble anything I would associate with the definition "church" - in a liturgical sense of the word; the density of the non-coffined burials is phenomenal. The deposition appears very strongly to me to resemble what would be found in a mausoleum type situation - it appears that the bodies were just piled one on the other inside the structure (which encompasses an area where two of the strings converge) and externally, over and around other of the 'important' early string graves. It would appear that this structure can be considered 'religious' but I would think of it more in terms of an ancestral burial chapel/mausoleum, with the possibility of the western annex functioning as a shrine porch because of its similarity to the porticus/chapels where an altar or shrine was placed along one wall. This structure is identified as mid-7th century with a fairly short life span in which to account for the accumulation of burials. Frequent statements of this structure being 'certainly' a Christian church are therefore problematic.
VI. Appendix II. Analytical Drawings Reproduced in Text
| $E_0$ | $E_1$ | $E_2$ | $E_3$ | $E_4$ | $E_5$ |
|-------|-------|-------|-------|-------|-------|
| 1 | 2 | 3 | 4 | 5 | 6 |
Weakly Equi Triangle
$0, 2, 3, 4, 5, 6, 7, 8, 9, 10$
A
B
NEAR-MOUTH-POLE TRIANGLE
ADJUNCTS
0 1 2 3 4 5 6 7 8 9 10 cm
A. CHANCEL
WARMOUTH-ADJUNCTS
612245078710
NEARLY A RECTANGLE
\[ e = 234567890 \text{ cm} \]
FARMATH - GOLDEN SECTION RECTANGLES
0 1 2 3 4 5 6 7 8 9 10
WEAROUTH 'SACRED TRIANGLE' (3-4-5)
CLEARMOUTH - RECTANGLE
0 2 3 4 5 6 7 8 9 10 m
WEAR MOUTH = MEDULAR
HAVE - (INF.)
HEARNOUTH-MODULAR-4.05 (1/20)
| 0 | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 |
|---|---|---|---|---|---|---|---|---|---|----|
| | | | | | | | | | | |
Ceiling of the large equilateral triangle
JARECH-EQUIL TRIANGLE
JARROW-EQUIL TRIANGLE-APPLICITS
A B C
JAPAN - SACRED TRIANGLE
APPROX-GOLDEN SECTION RECTANGLE
Properties:
- The proportions also work half-way.
- For squares, not doubling.
- No proportion exists with the AF segment to AB.
- At least 6 works to scale.
AREA=24- MODULAR - HAVE INT
JACKSON-MODULAR - 4/45 (1/3)
| | 0 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|
| | | | | | |
0.5
ESQUEMA - EQUILÁTELOS
E.C. = 10m
E.C. = 5m
E.C. = 1m
Eccomb: Golden Section Rectangles
1:1.45
465 ÷ 15 = 30.98 = 31
ECONOMY 465 MODULE (1/3)
1:125
EcoMod-Modular-Chancel-HR
0 5m
0.15 m
ESCOMB - "SACRED TRIANGLE"
1:125
Not proportioned due to (as it can't be!)
Proportional
ECCOMO - 15 (4:0)
0.12345
0.5
1:125
Exercises
1. **Exercise 12**
- **Question:** What is the mathematical proportion of the cross-section to the actual channel (cross-section)?
- **Answer:** We work out geometrically, but we can also simplify.
- **Explanation:** We can use the cross-section to determine the position of the axis and then calculate the area.
- **Note:** We get an area value for a small section that suggests to be less than the actual area.
- **Conclusion:** Some bits look like they might work, but for the most part, they don't.
- **Note:** We are working to simplify this.
ESCORIB - MODULAR -
NAVE - INT.
1:125
ECCOMBS - MODULAR BASED
ALL SCALE OF EACH CIRCLE
1:25
ECONOMY MODULAR 5.03 (1/8)
\[ \frac{2}{5} + \frac{4}{5} = \frac{6}{5} \]
11:125
\[ 5.03 + 16.7 - 10.7 \]
ECON6-MODULE-HAVE-EXT
0 5 10m
0.15 m
HEXHAM - CRYPT
20 TRIANGLES
10 5 0 104 (3/32)
1. **Golden Section**
2. $\sqrt{2}$ - square: rectangle
3. "Exceed Triangle"
4. Isosceles
5. Hexham Crypt Proportions
6. 10m 5m 10m
KIPON-C-KIPF-EQUILATERANGLES
| 6° | 5 | 1 | 10 |
|----|---|---|----|
| 12 | 10 | 1 | 10 |
A
B
C
1. SACRED TRIANGLE
2. RECTANGLES
3. GOLDEN SECTION
4. RECTANGLES
KIPON-CRYPT-PROPORTIONS
1. MODULE-1: ATE-CHANGER
2. BAILEYS 5.03.00 - DRAWN TO SCALE
| No | No | No | No |
|----|----|----|----|
| | | | |
3. 5.03 MODULE (Y3)
4. 4.05 MODULE (Y5)
EIPON CRYPT-MODULES
\[ \text{10} = \frac{\text{p}}{\text{p} + \text{q}} \quad \text{with} \quad \text{p} = \text{p} \quad \text{and} \quad \text{q} = \text{q} \]
HEXHAM-CRIM: PALEY'S WALL-E CHAPEL
HODGES REMAINS EQUAL TRIANGLES
\[ \frac{a}{b} = \frac{c}{d} \]
HEXHAM-RECONSTRUCTION OF CHANCEL HAVE
Hexham - Pentecostal construction
HEXHAI-RECONSTRUCTION-BASIC PLAN
HEXHAM—FURTHER PROBILITIES
\[
\begin{align*}
s_1 & \quad s_2 \\
\end{align*}
\]
\[
\begin{align*}
\text{Hexham} & \quad \text{Newcastle} \\
\end{align*}
\]
Analytical Drawings Not Reproduced in the Text
NEAR MOUTH-MEDULAR-5.03 (1/5)
0 2 3 4 5 6 7 8 9 10 m
| 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 |
|---|---|---|---|---|---|---|---|---|----|
| | | | | | | | | | |
**CHARLESTON**
**CHARLESTON-Modular**
WARMOUTH - MODULAR
CHANCEL (EXT.)
LEARMOUTH MODULAR
HAVE - EXTERIOR
0 1 2 3 4 5 6 7 8 9 10
| NEARMOUTH-MODULAR-BASED | 9123456780 |
|--------------------------|------------|
| SQUARE OF EXUL CIRCLE | 85 |
JAPAN-MODULAR-5.03(16)
1 2 4 8m
2.5
JARROW MODULAR CHAPEL EXT.
0 1 2 3 4 5 m
0.5
UNION-MODULAR - SQUARE OF EQUAL CIRCLE
1 2 3 4 5m
0.5
JABCO-MODULAR-NAVE-ETC. (1/8)
0 1 2 3 4 5 m
0.5
NARROW-RECTANGLE
- when dotted
- refers to next
JAECKEL-MODULAR-THALCEL-INR.
JAPON-15 (4:7) PEC TANGLE
0 1 2 3 4 5 m
0.5
|
TSIT: A Simple and Versatile Framework for Image-to-Image Translation
Liming Jiang$^1$, Changxu Zhang$^2$, Mingyang Huang$^3$, Chunxiao Liu$^3$, Jianping Shi$^3$, and Chen Change Loy$^{1\blacktriangle}$
$^1$ Nanyang Technological University
$^2$ University of California, Berkeley
$^3$ SenseTime Research
email@example.com firstname.lastname@example.org
{huangmingyang,liuchunxiao,email@example.com firstname.lastname@example.org
---
**Arbitrary Style Transfer**
natural images (summer -> winter)
real-world scenes (day -> night)
artistic paintings (photo -> art)
**Semantic Image Synthesis**
outdoor (mask -> image)
street scene (mask -> image)
indoor (mask -> image)
**Multi-Modal Image Synthesis**
controllable styles by a single model (sunny -> diverse weathers/times)
---
**Fig. 1.** Our framework is simple and versatile for various image-to-image translation tasks. For unsupervised arbitrary style transfer, diverse scenarios (e.g., natural images, real-world scenes, artistic paintings) can be handled. For supervised semantic image synthesis, our method is robust to different scenes (e.g., outdoor, street scene, indoor). Multi-modal image synthesis is feasible by a single model with controllable styles.
**Abstract.** We introduce a simple and versatile framework for image-to-image translation. We unearth the importance of normalization layers, and provide a carefully designed two-stream generative model with newly proposed feature transformations in a coarse-to-fine fashion. This allows multi-scale semantic structure information and style representation to be effectively captured and fused by the network, permitting our method to scale to various tasks in both unsupervised and supervised settings. No additional constraints (e.g., cycle consistency) are needed, contributing to a very clean and simple method. Multi-modal image synthesis with arbitrary style control is made possible. A systematic study compares the proposed method with several state-of-the-art task-specific baselines, verifying its effectiveness in both perceptual quality and quantitative evaluations. GitHub: https://github.com/EndlessSora/TSIT.
1 Introduction
Image-to-image translation [16] aims at translating one image representation to another. Recent advances [10, 31, 22, 23, 33], especially Generative Adversarial Networks (GANs) [10], have made remarkable success in various image-to-image translation tasks. Previous studies usually present specialized solutions for a specific form of application, ranging from arbitrary style transfer [54, 45, 13, 28, 14, 25, 50] in the unsupervised setting, to semantic image synthesis [16, 4, 35, 42, 34, 29] in the supervised setting.
In this study, we are interested in devising a general and unified framework that is applicable to different image-to-image translation tasks without degradation in synthesis quality. This is non-trivial given the different natures of different tasks. For instance, in certain conditional image synthesis tasks (e.g., arbitrary style transfer), paired data are usually not available. Under this unsupervised setting, translation task demands additional constraints on cycle consistency [54, 45, 20, 28], semantic features [40], pixel gradients [1], or pixel values [37]. In semantic image synthesis (i.e., translation from segmentation labels to images), training pairs are available. This task is more data-dependent and typically needs losses to minimize per-pixel distance between the generated sample and ground truth. In addition, specialized structures [4, 42, 34, 29] are required to maintain spatial coherence and resolution. Due to the different needs, existing methods exploit their own specially designed components. It is difficult to cross-use these components or integrate them into a unified framework.
To address the aforementioned challenges, we propose a Two-Stream Image-to-image Translation (TSIT) framework, which is versatile for various image-to-image translation tasks (see Fig. 1). The framework is simple as it is based purely on feature transformation. Unlike previous approaches [34, 13] that only consider either semantic structure or style representation, we factorize both the structure and style in multi-scale feature levels via a symmetrical two-stream network. The two streams jointly influence the new image generation in a coarse-to-fine manner via a consistent feature transformation scheme. Specifically, the content spatial structure is preserved by an element-wise feature adaptive denormalization (FADE) from the content stream, while the style information is exerted by feature adaptive instance normalization (FAdaIN) from the style stream. Standard loss functions such as adversarial loss and perceptual loss are used, without additional constraints like cycle consistency. The pipeline is applicable to both unsupervised and supervised settings, easing the preparation of data.
The contributions of our work are summarized as follows. We propose TSIT, a simple and versatile framework, which is effective for various image-to-image translation tasks. Despite the succinct design, our network is readily adaptable to various tasks and achieves compelling results. The good performance is achieved by 1) multi-scale feature normalization (FADE and FAdaIN) scheme that captures coarse-to-fine structure and style information, and 2) a two-stream network design that integrates both content and style effectively, reducing artifacts and making multi-modal image synthesis possible (see Fig. 1). In comparison to several state-of-the-art task-specific baselines [14, 50, 4, 35, 42, 34,
our method achieves comparable or even better results in both perceptual quality and quantitative evaluations.
2 Related Work
**Image-to-image translation.** Existing methods can be classified into two categories: unsupervised and supervised. With only unpaired data, unsupervised image-to-image translation problem is inherently ill-posed. Additional constraints are needed on e.g., cycle consistency [54, 45, 20, 28], semantic features [40], pixel gradients [1], or pixel values [37]. In contrast, supervised methods, such as pix2pix [16], are more data-dependent, requiring well-annotated paired training samples. Subsequent approaches [4, 35, 42, 34, 29] extend the supervised problem for generating high-resolution images or keeping effective semantic meaning.
Limited by learning only one-to-one mapping between two domains, some of the GAN-based methods [54, 45, 20, 28] suffer from generating images with low diversity. Recent studies explore more deeply into both multi-domain translation [6, 27] and multi-modal translation [14, 25, 49], significantly increasing generation diversity. MUNIT [14] is a representative method that disentangles the domain-invariant content and the domain-specific style representation, enriching the synthesized images. Multi-mapping translation is defined in a very recent work, DMIT [50], which is designed to capture the multi-modal image nature in each domain.
Existing image-to-image translation methods lack the scalability to adapt to different tasks under diverse difficult settings. Different demands of unsupervised and supervised settings oblige previous methods to exploit customized modules. Cross-using these components will be suboptimal due to either degradation in quality or introduction of additional constraints. It is non-trivial to integrate them into a single framework and improve robustness. In this study, we design a two-stream network with newly proposed feature transformations inspired by [34] and [13]. Our method is succinct yet able to link various tasks.
**Arbitrary style transfer.** Style transfer is closely relevant to image-to-image translation in the unsupervised setting. Style transfer aims at retaining the content structure of an image, while manipulating its style representation adopted from other images. Classical methods [9, 18, 3, 8] gradually improve this task from optimization-based to real-time, allowing multiple style transfer during inference. Huang et al. introduce AdaIN [13], an effective normalization strategy for arbitrary style transfer. Several studies [46, 52, 44, 5, 24, 30, 39] improve stylization via wavelet transforms [46], graph cuts [52], or iterative error-correction [39]. Besides, most collection-guided [14] style transfer methods are GAN-based [54, 45, 28, 14, 25, 50], showing impressive results.
Previous works usually consider either content or style information. In contrast, our framework succeeds in seeking a balance between content and style, and adaptively fuses them well. The proposed method achieves user-controllable multi-modal style manipulation by only a single model. Compared to customized
style transfer methods, our approach achieves better synthesis quality in many scenarios including natural images, real-world scenes, and artistic paintings.
**Semantic image synthesis.** We define semantic image synthesis as in [34], aiming at synthesizing a photorealistic image from a semantic segmentation mask. Semantic image synthesis is a special form of supervised image-to-image translation. The domain gap of this task is large. Therefore, keeping effective semantic information to enhance fidelity without losing diversity is challenging.
Pix2pix [16] first adopts conditional GAN [31] in the semantic image synthesis task. Pix2pixHD [42] contains a multi-scale generator and multi-scale discriminators to generate high-resolution images. SPADE [34] takes a noise map as input, and resizes the semantic label map for modulating the activations in normalization layers by a learned affine transformation. CC-FPSE [29] employs a weight prediction network for generator. A semantics-embedding discriminator is used to enhance fine details and semantic alignments between the generated samples and the input semantic layouts. In addition to these GAN-based methods, CRN [4] applies a cascaded refinement network with regression loss as the supervision. SIMS [35] is a semi-parametric method, retrieving fragments from a memory bank and refining the canvas by a refinement network.
Different from prior works, we design a symmetrical two-stream framework. The network learns feature-level semantic structure information and style representation instead of directly resizing the input mask like SPADE [34]. Coarse-to-fine feature representations are learned by neural networks, adaptively keeping high fidelity without diminishing diversity.
## 3 Methodology
We consider three key requirements in formulating a robust and scalable method to link various tasks: 1) *Both* semantic structure information and style representation should be considered and fused adaptively. 2) The content and style information should be learned by networks in *feature level* instead of in image level to fit the nature of diverse semantic tasks. 3) The network structure and loss functions should be *simple* for easy training without additional constraints.
Based on the aforementioned considerations, we design a Two-Stream Image-to-image Translation (TSIT) framework (see Fig. 2). We will detail our method in this section, including the network structure (Sec. 3.1), the feature transformation scheme (Sec. 3.2), and the objective functions (Sec. 3.3).
### 3.1 Network Structure
As illustrated in Fig. 2, TSIT consists of four components: content stream, style stream, generator, and discriminators (omitted in Fig. 2). The first three main components are fully convolutional and symmetrically designed. The details of the submodules, including content/style residual block, FADE residual block,
FADE module in the FADE residual block, are as shown in Fig. 3. We will discuss them separately in this section.
**Content/style stream.** Unlike the traditional conditional GAN [31], we place the two-stream networks, i.e., content stream and style stream, on each side of the generator (see Fig. 2). These two streams are symmetrical with the same network structure, aiming at extracting corresponding feature representations in different levels. We construct content/style stream based on standard residual blocks [11]. We call them content/style residual blocks. As shown in Fig 3 (a), each block has three convolutional layers, one of which is designed for the learned skip connection. The activation function is Leaky ReLU. The function of content/style stream is to extract features and feed them to the corresponding feature transformation layers in the generator. Multi-scale content/style representation in *feature levels* can be learned by content/style stream, adaptively fitting different feature transformations.
**Generator.** The generator has a completely inverse structure w.r.t. the content/style stream. This is intentionally designed to consistently match the level of semantic abstraction at different feature scales. A noise map is sampled from a Gaussian distribution as the latent input, and the feature maps from corresponding layers in content/style stream are taken as multi-scale feature inputs. The proposed feature transformations are implemented by a FADE residual block (Fig. 3 (b)) and a FAdaIN module. In the FADE residual block, we use an inverse architecture w.r.t. the content/style residual block and replace the batch
normalization [15] layer with the FADE module (Fig. 3 (c)). The FADE module performs element-wise denormalization by modulating the normalized activation using a learned affine transformation defined by the modulation parameters $\gamma$ and $\beta$. The FAdaIN module is used to exert style information through feature adaptive instance normalization. More discussions are given in Sec. 3.2.
The entire image generation process is performed in a coarse-to-fine manner. In particular, multi-scale content/style features are injected to refine the generated image constantly from high-level latent code to low-level image representation. Semantic structure and style information are learnable and effectively fused in an end-to-end training.
**Discriminators.** We exploit the standard multi-scale patch-based discriminators (omitted in Fig. 2) in [42, 34]. Three regular discriminators with an identical architecture are included to discriminate images at different scales. Despite the same structure, patch-based training allows the discriminator operating at the coarsest scale to have the largest receptive field, capturing global information of the image. Whereas the one operating at the finest scale has the smallest receptive field, making the generator produce better details. Multi-scale patch-based discriminators further improve the robustness of our method for image-to-image translation tasks in different resolutions. Besides, the discriminators also serve as feature extractors for the generator to optimize the feature matching loss.
### 3.2 Feature Transformation
We propose a new feature transformation scheme, considering both semantic structure information and style representation, and fusing them adaptively. Let $x^c$ be the content image and $x^s$ be the style image. $CS$, $SS$, $G$, $D$ denote content
stream, style stream, generator, and discriminators, respectively. Sampled from a Gaussian distribution, $z_0 \in \mathbb{Z}$ is a noise map as the latent input for the generator (Fig. 2). Let $z_i \in \{z_0, z_1, z_2, ..., z_k\}$ be the feature map after $i$-th residual block in the generator, with $k$ denoting the total number of residual blocks (i.e., the upsampling times in the generator). Let $f^c_i \in \{f^c_0, f^c_1, f^c_2, ..., f^c_k\}$ represent the corresponding feature representations extracted by the content stream (Fig. 2), $f^s_i \in \{f^s_0, f^s_1, f^s_2, ..., f^s_k\}$ with the similar meaning in the style stream.
**Feature adaptive denormalization (FADE).** Our method is inspired by spatially adaptive denormalization (SPADE) [34]. Different from SPADE that resizes a semantic mask as its input, we generalize the input to multi-scale feature representation $f^c_i$ of the content image $x^c$. In this way, we fully exploit semantic information captured by the content stream CS.
Formally, we define $N$ as the batch size, $L_i$ as the number of feature map channels in each layer. $H_i$ and $W_i$ are height and width, respectively. We first apply batch normalization [15] to normalize the generator feature map $z_i$ in a channel-wise manner. Then, we modulate the normalized feature by using the learned parameters scale $\gamma_i$ and bias $\beta_i$. The denormalized activation ($n \in N$, $l \in L_i$, $h \in H_i$, $w \in W_i$) is:
$$\gamma^{l,h,w}_i \cdot \frac{z^{n,l,h,w}_i - \mu^l_i}{\sigma^l_i} + \beta^{l,h,w}_i,$$
(1)
where $\mu^l_i$ and $\sigma^l_i$ are the mean and standard deviation, respectively, of the generator feature map $z_i$ before the batch normalization [15] in channel $l$:
$$\mu^l_i = \frac{1}{N H_i W_i} \sum_{n,h,w} z^{n,l,h,w}_i,$$
(2)
$$\sigma^l_i = \sqrt{\frac{1}{N H_i W_i} \sum_{n,h,w} \left(z^{n,l,h,w}_i\right)^2 - (\mu^l_i)^2}.$$
(3)
The denormalization operation is element-wise, and the parameters $\gamma^{l,h,w}_i$ and $\beta^{l,h,w}_i$ are learned by one-layer convolutions from $f^c_i$ in the FADE module (see Fig. 3 (c)). Compared to previous conditional normalization methods [8, 13, 34], FADE experiences more perceptible influence from coarse-to-fine feature representations, thus it can better preserve semantic structure information.
**Feature adaptive instance normalization (FAdaIN).** To better fuse style representation, we introduce another feature transformation, named feature adaptive instance normalization (FAdaIN). This method is inspired by adaptive instance normalization (AdaIN) [13], with a generalization to enable the style stream $SS$ to learn multi-scale feature-level style representation $f^s_i$ of the style image $x^s$ more effectively.
We use the same notation $z_i$ to represent the feature map after $i$-th FADE residual block in the generator. FAdaIN adaptively computes the affine parameters from the corresponding style feature $f_i^s$ with the same scale from $SS$:
$$\text{FAdaIN}(z_i, f_i^s) = \sigma(f_i^s) \left( \frac{z_i - \mu(z_i)}{\sigma(z_i)} \right) + \mu(f_i^s), \tag{4}$$
where $\mu(z_i)$ and $\sigma(z_i)$ are the mean and standard deviation, respectively, of $z_i$.
Exploiting FAdaIN, coarse-to-fine style features at different layers can be fused adaptively with the corresponding semantic structure features learned by FADE, allowing our framework to be trained end-to-end and versatile to different tasks. Furthermore, owing to the effectiveness of FAdaIN in capturing multi-scale style feature representations, multi-modal image synthesis is made possible with arbitrary style control.
### 3.3 Objective
We use standard losses in our objective function. Following [34, 29], we adopt a hinge loss term [26, 32, 51] as our adversarial loss. For the generator, we apply hinge-based adversarial loss, perceptual loss [18], and feature matching loss [42]. For the multi-scale discriminators, only hinge-based adversarial loss is used to distinguish whether the image is real or fake. The generator and discriminator are trained alternately to play a min-max game. The generator loss $L_G$ and the discriminator loss $L_D$ can be written as:
$$L_G = -\mathbb{E}[D(g)] + \lambda_P L_P(g, x^c) + \lambda_{FM} L_{FM}(g, x^s), \tag{5}$$
$$L_D = -\mathbb{E}[\min(-1 + D(x^s), 0)] - \mathbb{E}[\min(-1 - D(g), 0)], \tag{6}$$
where $g = G(z_0, x^c, x^s)$ denotes the generated image, $z_0$, $x^c$, $x^s$ denote the input noise map in latent space, the content image, and the style image, respectively. $L_P$ is the perceptual loss [18] that minimizes the difference between the feature representations extracted by VGG-19 [18] network. $L_{FM}$ is the feature matching loss [42] that matches the intermediate features at different layers of multi-scale discriminators. $\lambda_P$ and $\lambda_{FM}$ are the corresponding weights.
The simple objective functions make our framework stable and easy to train. Thanks to the two-stream network, the typical KL loss [22, 50, 34, 29] for multi-modal image synthesis becomes optional. Despite the simplicity, TSIT is a highly versatile tool, readily adaptable to various image-to-image translation tasks.
### 4 Experiments
#### 4.1 Settings
**Implementation details.** We use Adam [21] optimizer and set $\beta_1 = 0$, $\beta_2 = 0.9$. Two time-scale update rule [12] is applied, where the learning rates for the generator (including two streams) and the discriminators are 0.0001 and
0.0004, respectively. We exploit Spectral Norm [32] for all layers in our network. We adopt SyncBN and IN [41] for the generator and the multi-scale discriminators, respectively. For the perceptual loss [18], we use the feature maps of relu1_1, relu2_1, relu3_1, relu4_1, relu5_1 layers from a pretrained VGG-19 [38] model, with the weights \([1/32, 1/16, 1/8, 1/4, 1]\). For the feature matching loss [42], we select features of three layers from the discriminator at each scale. All the experiments are conducted on NVIDIA Tesla V100 GPUs. Please refer to our Appendix for additional implementation details.
**Applications.** The proposed framework is versatile for various image-to-image translation tasks. We consider three representative applications of conditional image synthesis: arbitrary style transfer (unsupervised), semantic image synthesis (supervised), and multi-modal image synthesis (enriching generation diversity). Please refer to our Appendix for details of our application exploration.
**Datasets.** For arbitrary style transfer, we consider diverse scenarios. We use Yosemite summer → winter dataset (natural images) provided by [54]. We classify BDD100K [48] (real-world scenes) into different times and perform day → night translation. Besides, we use Photo → art dataset (artistic paintings) in [54]. For semantic image synthesis, we select several challenging datasets (\textit{i.e.,} Cityscapes [7] and ADE20K [53]). For multi-modal image synthesis, we further classify BDD100K [48] into different time and weather conditions, and perform controllable time and weather translation. The details of the datasets can be found in the Appendix.
**Evaluation metrics.** Besides comparing perceptual quality, we employ the standard evaluation protocol in prior works [14, 2, 19, 34, 29] for quantitative evaluation. For arbitrary style transfer, we apply Fréchet Inception Distance (FID, evaluating similarity of distribution between the generated images and the real images, lower is better) [12] and Inception Score (IS, considering clarity and diversity, higher is better) [36]. For semantic image synthesis, we strictly follow [34, 29], adopting FID [12] and segmentation accuracy (mean Intersection-over-Union (mIoU) and pixel accuracy (accu)). The segmentation models are: DRN-D-105 [47] for Cityscapes [7], and UperNet101 [43] for ADE20K [53].
**Baselines.** We compare our method with several state-of-the-art task-specific baselines. For a fair comparison, we mainly employ GAN-based methods. In the unsupervised setting, MUNIT [14] and DMIT [50] are included, with the strong ability to capture the multi-modal nature of images while keeping quality. In the supervised setting, we compare against CRN [4], SIMS [35], pix2pixHD [42], SPADE [34], and CC-FPSE [29].
### 4.2 Results
**Arbitrary style transfer.** The results of Yosemite summer → winter season transfer are shown in Fig. 4. Baselines [14, 50] tend to impose the color of the style image (winter) to the whole content image (summer). Besides, MUNIT sometimes introduces unnecessary artistic effects, and DMIT generates some
grid-like artifacts. In comparison, our generated results are clearer and more semantics-aware spatially. The results of *BDD100K day → night time translation* are shown in Fig. 5. Some objects (*e.g.*, road sign, car) generated by MUNIT are too dark, and the whole image tends to have some unnatural colors. DMIT introduces obvious artifacts to the car or sky. In contrast, our method produces more photorealistic samples in this task. In *photo → art style transfer*, we choose some hard cases to make a clear comparison (see Fig. 6) due to the very strong ability of all the methods in this task. Our method can transfer the styles well while effectively keeping the content structure. MUNIT tends to impose a homogeneous color to the image. Although DMIT achieves slightly better stylization than our method in certain cases (in Row 3 of Fig. 6), it also brings some grid-like distortions.
The quantitative evaluation results are shown in Table 1. Our approach achieves better performance than baselines [14, 50] in all the tasks. We also note
that the gap is relatively small in photo $\rightarrow$ art style transfer, in line with the close qualitative performance in this task (see Fig. 6).
**Semantic image synthesis.** We choose two state-of-the-art baselines, SPADE [34] and CC-FPSE [29], to show some qualitative comparison results of semantic image synthesis (Fig. 7). Our method demonstrates better perceptual quality than these task-specific baselines. In street scene (Column 1), our method generates better details on key objects (car, pedestrian). In road scene (Column 2), SPADE generates atypical colors on the roads, while CC-FPSE produces unnatural edges on the cars, hardly fitting the background (road). For outdoor natural images (Column 3), all the methods share a similar generation quality. Our method is slightly better due to less distortions on the grass. In indoor scene (Column 4 and 5), SPADE and CC-FPSE produce obvious artifacts in some cases (Column 5). In contrast, our method is more robust to diverse scenarios.
The quantitative evaluation results are shown in Table 2 (the values used for comparison are taken from [34, 29]). The proposed method achieves comparable performance with the very strong specialized methods [4, 35, 42, 34, 29] for semantic image synthesis. Note that SIMS [35] yields the best FID score but poor segmentation performance on Cityscapes, because it stitches image patches from a memory bank of training set while not keeping the exactly consistent position.
in the synthesized image. Our approach achieves state-of-the-art segmentation performance on Cityscapes and the best FID score on ADE20K, suggesting its robustness to fit the nature of different image-to-image translation tasks.
* The value differs from the earlier version of this paper [17]. The official code of DRN [47] does not provide the implementation of the “accu” metric. The new accu value 82.7% (still the best among the compared methods) is obtained by including 255-labeled pixels, consistent with [34, 29]. The previously reported accu 94.4% omits 255-labeled pixels, which may be more reasonable due to its consistency with the training of the segmentation model and the calculation of mIoU.
Multi-modal image synthesis. We perform multi-modal image synthesis for time and weather image-to-image translation (see Fig. 8) on BDD100K [48]. Training only a single model, we translate the images of weather sunny to different times and weathers (i.e., night, snowy, cloudy, rainy). Our method effectively adapts to different style control and keeps photorealistic generation quality. Although the weather snowy is not very obvious in BDD100K [48], our approach successfully introduces some snow-like effects on trees and grounds (Column 2).
Cross validation. We also conduct experiments to evaluate the performance of existing specialized methods in inverse settings (i.e., using unsupervised methods to do semantic image synthesis / using supervised methods to perform arbitrary style transfer). We selected two representative methods, MUNIT [14] and SPADE [34]. Without modifying the architecture, we tuned the loss weights and tried to get the best generation results. To ensure a fair comparison, we also tried to
compute perceptual loss with the content (day) image for SPADE to match the setting of TSIT. Representative results of cross validation are shown in Fig. 9. The proposed method shows much better results than baseline methods. MUNIT fails to adapt to semantic image synthesis. SPADE loses details of key objects and introduces very strong artifacts despite translating the color correctly.
**Ablation studies.** We present ablation studies of key modules (*i.e.*, content stream (CS), style stream(SS)) and the proposed feature transformations (see Fig. 10. More ablation study results can be found in the Appendix). We perform multi-modal image synthesis to show the effectiveness of different components. Our full model generates high-quality results (Row 3). When we directly inject the resized content image without CS, the semantic structure information becomes weak, leading to several artifacts in the sky (Row 4). Without SS, the model cannot perform multi-modal image synthesis at all (Row 5). The style representation is dominated by the night style. When we concatenate the feature maps of CS with the ones of the generator instead of using FADE, the concatenation introduces too much content information, leading to several failure cases (\textit{e.g., sunny} $\rightarrow$ \textit{night} in Row 6). If we discard FAdaIN by concatenating the feature maps of SS with the ones of the generator, the style becomes too strong, causing serious style regionalization problem (Row 7).
5 Conclusion
We propose TSIT, a simple and versatile framework for image-to-image translation. The proposed symmetrical two-stream network allows the image generation to be effectively conditioned on the multi-scale feature-level semantic structure information and style representation via feature transformations. A systematic study verifies the effectiveness of our method in diverse tasks compared to state-of-the-art task-specific baselines. We believe that designing a unified and versatile framework for more tasks is an important direction in the image generation area. Incorporating unconditional image synthesis tasks and introducing more variability into the two streams/latent space can be interesting future works.
Acknowledgements. This work is supported by the SenseTime-NTU Collaboration Project, Singapore MOE AcRF Tier 1 (2018-T1-002-056), and NTU NAP.
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44. Yang, S., Wang, Z., Wang, Z., Xu, N., Liu, J., Guo, Z.: Controllable artistic text style transfer via shape-matching GAN. In: ICCV (2019)
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46. Yoo, J., Uh, Y., Chun, S., Kang, B., Ha, J.W.: Photorealistic style transfer via wavelet transforms. In: ICCV (2019)
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Appendix
This appendix provides the supplementary information that is not elaborated in the main paper: Sec. A details the different applications we have explored. Sec. B describes details of the datasets used in our experiments. Sec. C provides additional implementation details. Sec. D presents several supplementary ablation studies. Sec. E shows more examples of the images generated by our method.
A Application Exploration
We have introduced a Two-Stream Image-to-image Translation (TSIT) framework in the main paper. The proposed framework is simple and versatile for various image-to-image translation tasks under both unsupervised and supervised settings. We have considered three important and representative applications of conditional image synthesis: arbitrary style transfer (unsupervised), semantic image synthesis (supervised), and multi-modal image synthesis (enriching generation diversity). We employ a two-stream network, namely “content” stream and “style” stream, on these applications.
For the unsupervised arbitrary style transfer application, we feed the content image to the content stream and the style image to the style stream, and let the networks learn different levels of feature representations of the content and style. The proposed feature transformations, FADE and FAdaIN, adaptively fuse content and style feature maps, respectively, at different scales in the generator. In contrast to prior works, our method is more adaptable to style transfer tasks in diverse scenarios (e.g., natural images, real-world scenes, and artistic paintings).
We further expand the application of our method to cater to semantic image synthesis under the supervised setting. The definition of “content” and “style” can be more general: all the images that provide semantic structure information can be content images, and all the images representing the global style distribution can be considered as style images. Therefore, when we inject semantic segmentation masks to the content stream and the corresponding real images to the style stream, semantic image synthesis task in the supervised setting can be handled. Despite a rather large domain gap in this task, our framework yields comparable or even better results over the state-of-the-art task-specific methods, suggesting the high adaptability of our approach.
It is noteworthy to highlight that the newly proposed feature transformations and the symmetrical two-stream network can effectively disentangle the semantic structure and style information. Thanks to the clean disentanglement, the high-level multi-modal nature of the images can be captured by our framework, contributing to high-fidelity multi-modal image synthesis.
B Dataset Details
In this section, we discuss the detailed information of all the datasets we explored, including the source, preprocessing, number of images, resolution, etc.
For arbitrary style transfer under the unsupervised setting, paired data are not needed. We perform style transfer tasks in diverse scenarios (e.g., natural images, real-world scenes, and artistic paintings).
– **Yosemite summer → winter**. We use this unpaired dataset provided by [54], containing rich natural images collected via Flickr API. We perform season transfer using this dataset, with 1,231 summer images and 962 winter images for training. The resolution is $256 \times 256$.
– **BDD100K day → night**. We conduct time translation on BDD100K [48] dataset, which is captured at diverse locations in the United States. All the images are in real-world scenes, mostly street/road scenes. We classify the dataset into different times. The training set contains 12,454 daytime images and 22,884 nighttime images. The original images are scaled to $512 \times 256$.
– **Photo → art**. We utilize the art dataset collected in [54]. The art images of this dataset were downloaded from Wikiart.org. The dataset consists of photographs and diverse artistic paintings (Monet: 1,074; Cézanne: 584; van Gogh: 401; Ukiyo-e: 1,433). To test the robustness of the models for arbitrary style transfer, we combine all the artistic styles, yielding 6,853 photos and 3,492 paintings for training. All the images are uniformly resized to $256 \times 256$.
For semantic image synthesis under the supervised setting, we follow [29, 34] and select several challenging datasets.
– **Cityscapes**. Cityscapes [7] dataset contains street scene images mostly collected in Germany, with 2,975 images for training and 500 images for evaluation. The dataset provides instance-wise, dense pixel annotations of 30 classes. All the image sizes are adjusted to $512 \times 256$.
– **ADE20K**. We use ADE20K [53] dataset consisting of challenging in-the-wild images with fine annotations of 150 semantic classes. The sizes of training and validation sets are 20,210 and 2,000, respectively. All the images are scaled to $256 \times 256$.
For multi-modal image synthesis, we use BDD100K [48] dataset, details of which have been described earlier.
– **BDD100K sunny → different time/weather conditions**. We further classify the images in BDD100K [48] dataset into different time and weather conditions, constituting a training set of 10,000 sunny images and 10,000 images of other time and weather conditions (night: 2,500; cloudy: 2,500; rainy: 2,500; snowy: 2,500). The resolution is $512 \times 256$.
## C Additional Implementation Details
We provide more implementation details in this section, including the network architecture specifics, detailed feature shapes, hyperparameters, etc.
**Network architecture specifics.** Our framework consists of four components: content stream, style stream, generator, and discriminators. The first three components maintain a symmetrical structure, using fully convolutional networks.
The number of residual blocks $k$ (i.e., downsampling/upsampling times) in the content/style stream and the generator equals to 7. Let $inc$, $outc$, $kn$, $s$, $p$ denote the input channel, the output channel, the kernel size, the stride, and the zero-padding amount, respectively.
In the content/style stream, we use a series of content/style residual blocks with the nearest neighbor downsampling. The scale factor of downsampling is 2. By default, we use instance normalization [41] for the content/style residual blocks, and the negative slope of Leaky ReLU is 0.2. Thus, the structure of Content/Style ResBlk($inc$, $outc$) is: Downsample(2)—Conv($inc$, $inc$, $kn3 \times 3$, $s1$, $p1$)—IN—LReLU(0.2)—Conv($inc$, $outc$, $kn3 \times 3$, $s1$, $p1$)—IN—LReLU(0.2) with the learned skip connection Conv($inc$, $outc$, $kn1 \times 1$, $s1$, $p0$)—IN—LReLU(0.2).
In the generator, we construct several FADE residual blocks with the nearest neighbor upsampling. The scale factor of upsampling is 2. FAdaIN layers are applied before each FADE residual block. The FADE residual block contains a FADE submodule, which performs element-wise denormalization using a learned affine transformation defined by the modulation parameters $\gamma$ and $\beta$. Let $normc$, $featc$ indicate the normalized channel and the injected feature channel, respectively. Then, the convolutional layers in FADE($normc$, $featc$) can be represented as: Conv($featc$, $normc$, $kn3 \times 3$, $s1$, $p1$). By default, we adopt SyncBN for the generator, and the negative slope of Leaky ReLU is 0.2. The structure of FADE ResBlk($inc$, $outc$) is: FADE($inc$, $inc$)—LReLU(0.2)—Conv($inc$, $inc$, $kn3 \times 3$, $s1$, $p1$)—FADE($inc$, $inc$)—LReLU(0.2)—Conv($inc$, $outc$, $kn3 \times 3$, $s1$, $p1$)—Upsample(2) with the learned skip connection FADE($inc$, $inc$)—LReLU(0.2)—Conv($inc$, $outc$, $kn1 \times 1$, $s1$, $p0$).
As mentioned in the main paper, we exploit the same multi-scale patch-based discriminators as [42, 34]. The detailed network architectures and the layers used for feature matching loss [42] are also identical.
**Feature shapes.** In the content/style stream, we put an input layer at the entrance. The feature channel is adjusted to 64 after the input layer, while the resolution remains unchanged. Then, the feature channels after each of the $k$ (7) residual blocks are: 128, 256, 512, 1024, 1024, 1024, 1024. Since the scale factor of downsampling is 2 (as described in the network architecture specifics above), the resolution of the features is halved after each residual block. The generator feature shapes are strictly corresponding and opposite to that of content/style stream. The discriminator feature shapes are identical to that in [42, 34], where the resolution is halved on every step of the pyramid.
**Additional training details.** For perceptual loss, we use the feature reconstruction loss that requires a content target [18].
In the arbitrary style transfer and multi-modal image synthesis tasks, the content target is the content image. The loss weights are $\lambda_P = 1$, $\lambda_{FM} = 1$, and the batch size is 1. We train our models for 200 epochs on Yosemite summer $\rightarrow$ winter, 10 epochs on BDD100K day $\rightarrow$ night, 40 epochs on Photo $\rightarrow$ art, and 20 epochs on BDD100K sunny $\rightarrow$ different time/weather conditions. The models are trained on 1 NVIDIA Tesla V100 GPU, with around 10 GB memory consumption. For multi-modal image synthesis, similar to [16], at the inference
Table 3. The quantitative evaluation on ablation studies of the key modules (i.e., content stream (CS), style stream (SS)) and the feature transformations in multi-modal image synthesis task. A lower FID and a higher IS indicate better performance.
| Metrics | full model | w/o CS | w/o SS | w/o FADE | w/o FAdaIN |
|---------|------------|--------|--------|----------|------------|
| FID ↓ | **85.876** | 89.429 | 86.263 | 86.463 | 89.795 |
| IS ↑ | **2.934** | 2.851 | 2.734 | 2.881 | 2.890 |
phase we run the generator network in exactly the same manner as during the training phase. For the cross validation of SPADE [34], the hyperparameters obtaining the best generation results are $\lambda_P = 10, \lambda_{FM} = 10$.
In the semantic image synthesis task, the content target is the ground truth real image. The corresponding loss weights are $\lambda_P = 20, \lambda_{FM} = 10$, and the batch size is 16. We perform 200 epochs of training on Cityscapes and ADE20K. The models are trained on 2 NVIDIA Tesla V100 GPUs, each with about 32 GB memory consumption. We also find that in semantic image synthesis, weakening/removing the style stream can sometimes contribute to a performance boost. Besides, exploiting variational auto-encoders [22] can help in certain cases. For the cross validation of MUNIT [14], since the loss functions are very different from ours, we use its default hyperparameters in unsupervised image-to-image translation.
D Supplementary Ablation Studies
We ablate the key modules (i.e., content stream (CS), style stream (SS)) and the proposed feature transformations in the main paper. We perform multi-modal image synthesis to clearly show the effectiveness of different components. Due to the space constraints, we only provide qualitative evaluation results. In this section, we will first show the quantitative evaluation results of key component ablation studies in the main paper. Then, we will dig deeper and present more supplementary ablation study results.
Quantitative evaluation of key component ablation studies. We conduct quantitative evaluation on ablation studies of the key components in multi-modal image synthesis task. As shown in Table 3, using the full model we introduced, the lowest FID score and highest IS score have been achieved. This means the generated images by our full model are the most photorealistic, clearest, and of the highest diversity. Without any key module of TSIT, the quantitative performance will drop. This verifies the necessity of these components for our method.
Feature channel ablation studies. We also study how the number of feature channels in the two streams (i.e., content stream (CS) and style stream (SS)) affects the image synthesis results. We conduct quantitative evaluation of feature channel ablation studies, covering all of the discussed tasks. Note that
Table 4. The quantitative evaluation on ablation studies of CS/SS feature channels for unsupervised arbitrary style transfer (day → night). A lower FID and a higher IS indicate better performance.
| Metrics | arbitrary style transfer (day → night) |
|---------|---------------------------------------|
| | full model | channels ÷ 2 | channels ÷ 4 |
| FID ↓ | 79.697 | 82.357 | 95.199 |
| IS ↑ | 2.203 | 2.142 | 2.101 |
Table 5. The quantitative evaluation on ablation studies of CS/SS feature channels for supervised semantic image synthesis (Cityscapes). A higher mIoU, a higher pixel accuracy (accu) and a lower FID indicate better performance.
| Metrics | semantic image synthesis (Cityscapes) |
|---------|---------------------------------------|
| | full model | channels ÷ 2 | channels ÷ 4 |
| mIoU ↑ | 65.9 | 61.0 | 56.6 |
| accu ↑ | 82.7 | 82.1 | 81.5 |
| FID ↓ | 59.2 | 71.8 | 74.4 |
Table 6. The quantitative evaluation on ablation studies of CS/SS feature channels for multi-modal image synthesis. A lower FID and a higher IS indicate better performance.
| Metrics | multi-modal image synthesis |
|---------|-----------------------------|
| | full model | channels ÷ 2 | channels ÷ 4 |
| FID ↓ | 85.876 | 93.258 | 97.297 |
| IS ↑ | 2.934 | 2.851 | 2.813 |
we should change the channels in CS/SS at the same time to maintain a symmetrical structure. As presented in Table 4, Table 5 and Table 6, in different tasks under either unsupervised or supervised setting, the best performance is achieved by the full model of TSIT. As we reduce the channel numbers in the two-stream network, the image synthesis quality gradually degrade. For more channels, memory consumption will increase exponentially.
**Feature-level/Image-level injection ablation studies.** To verify the importance of the feature-level injection, We further conduct feature-level/image-level injection ablation studies. TSIT performs feature-level injections from the content/style stream to the generator to adapt to diverse tasks. In comparison, the direct injection of resized images (i.e., the direct application of AdaIN in arbitrary style transfer, and SPADE in semantic image synthesis) can be regarded as the image-level injections. We provide quantitative evaluation results under this setting. As shown in Table 7 and Table 8, compared to our feature-level injection scheme, the image-level injection leads to a performance drop. This suggests the significance of feature-level injection in TSIT.
Table 7. The quantitative evaluation on ablation studies of feature-level (FAdaIN)/image-level (AdaIN) injection for unsupervised arbitrary style transfer (day → night). A lower FID and a higher IS indicate better performance.
| Metrics | arbitrary style transfer (day → night) |
|---------|----------------------------------------|
| | feature-level | image-level |
| FID ↓ | 79.697 | 80.618 |
| IS ↑ | 2.203 | 2.182 |
Table 8. The quantitative evaluation on ablation studies of feature-level (FADE)/image-level (SPADE) injection for supervised semantic image synthesis (Cityscapes). A higher mIoU, a higher pixel accuracy (accu) and a lower FID indicate better performance.
| Metrics | semantic image synthesis (Cityscapes) |
|---------|----------------------------------------|
| | feature-level | image-level |
| mIoU ↑ | 65.9 | 59.7 |
| accu ↑ | 82.7 | 81.7 |
| FID ↓ | 59.2 | 60.1 |
E More Examples of Generated Images
We show more examples of generated results by our method in Fig. 11 and Fig. 12. Several generated images of arbitrary style transfer, covering diverse scenarios, are presented in Fig. 11. We also show more synthesized examples of semantic image synthesis in Fig. 12. These examples feature both outdoor and indoor scenes, generated from the corresponding semantic segmentation label maps. All the images synthesized by our proposed method are very photorealistic.
Fig. 11. More examples of images generated by our method in the arbitrary style transfer task (unsupervised). Rows 1-3 show Yosemite summer → winter season transfer results. Rows 4-6 are BDD100K day → night translation results. Rows 7-9 present photo → art style transfer results.
Fig. 12. More examples of images generated by our method in the semantic image synthesis task (supervised). Row 1 and 2 show generated results on Cityscapes dataset. Row 3 and 4 are outdoor synthesized results on ADE20K dataset. Row 5 and 6 present indoor synthesized results on ADE20K dataset.
|
THE STARS ARE BORN AT CBS
Since October 1st, an average of one gold or platinum record every three days.
Gold Singles
- SILVER CONVENTION - Fly Robin Fly
- SILVER CONVENTION - Get Up And Boogie
- LABELLE - Lady Marmalade
- PENNY MCLEAN - Lady Bump
- TINA CHARLES - I Love To Love
- TINA CHARLES - Disco Lady, Dancin', Dances
- GERARD LENORMAN - La Ballade des Gens Heureux
- JOHNNIE TAYLOR - Disco Lady
- MANHATTANS - Kiss and Say Goodbye
- CHICAGO - If You Leave Me Now
- WILD CHERRY - Play That Funky Music
- RENE SIMARD - I'm In Love
- RAFFAELLA CARRA - 53+53=458
- LOU RAWLS - You'll Never Find Another Love
Gold Albums
- BRUCE SPRINGSTEEN - Born To Run
- JANIS IAN - Between Tha Lilies
- SANTANA - Amigos
- NEIL DIAMOND - Beautiful Noise
- BARBRA STREISAND - The Way We Were
- KRIS KRISTOFFERSON - This Was A Capricorn
- AEROSMITH - Rocks
- AEROSMITH - Aerosmith
- AEROSMITH - Get Your Wings
- AEROSMITH - Toys in The Attic
- TINA CHARLES - I Love To Love
- JEFF BECK - Wired
- JEFF BECK - Blow By Blow
- BOZ SCAGGS - Silk Degrees
- BOB DYLAN - Hard Rain
- SILVER CONVENTION - Silver Convention
- BOSTON - Boston
- BURTON CUMMINGS - Burton Cummings
- HARMONIUM - Thepade
Platinum Singles
- TINA CHARLES - I Love To Love
Platinum Albums
- CHICAGO - Chicago IX (Greatest Hits)
- CHICAGO - Chicago X
- BOB DYLAN - Desire
- AEROSMITH - Rocks
- SANTANA - Greatest Hits
- PAUL SIMON - Still Crazy After All These Years
- BOZ SCAGGS - Silk Degrees
- NEIL DIAMOND - Serenade
- NEIL DIAMOND - Beautiful Noise
- NEIL DIAMOND - Jonathan Livingston Seagull
Distributed by CBS Records Canada Ltd. / Distribué par CBS Disques Ltée.
Multicultural contest rules announced
Toronto broadcaster Johnny Lombardi and Sam (The Record Man) Sniderman have announced the official rules for the 1976 Canadian Multicultural Songwriting Competition. The winner of the competition receives the Douglas McGowan Award and a prize of $1,500.00.
The annual competition was established in 1974 to honour the late Douglas McGowan, who was Chief of Programming with the Canadian Radio-Television Commission. Mr. McGowan was noted for his support of multiculturalism and promotion of Canadian talent.
Entries must be postmarked by midnight March 1, and accompanied by a 200-word resume of the applicant's background. It must be submitted on a cassette tape, accompanied by an English translation. Music and lyrics must be composed by a Canadian: a citizen, landed immigrant, or resident for six months in Canada. The entry need not be performed by the applicant.
Lombardi stated, "It is most fitting that the McGowan Award go each year to the writer submitting a song which best fosters a greater understanding and appreciation of a particular culture by all Canadians. The award and its attendant cash prize is to encourage the new Canadian to preserve his native culture while at the same time introducing that culture to his fellow Canadians."
The winner will be invited to attend the official awards ceremony to be held in Toronto at a date to be announced later. Official rules and entry forms can be obtained from the Annual Canadian Multicultural Songwriting Competition, 637 College Street, Toronto, Ontario M6G 1B6.
Avco execs plead guilty to U.S. payola charges
The weight of the U.S. Justice Department will soon be felt throughout the U.S. recording industry. Three former vice-presidents of Avco Records Corp., have pleaded guilty in a New York U.S. District Court to paying out money to approximately a dozen radio stations. The money, estimated at about $170,000, was reportedly paid to the stations for the airing of certain records.
The three, Luigi Creatore, Albert Katzel and Hugo Peretti, all face possible fines of $10,000 each and/or jail sentences of one year each.
Sentencing will take place Feb 4, 1977.
Hagood Hardy selected top U.S. instrumentalist
Attic recording artist Hagood Hardy has been selected the number one instrumentalist for singles in 1976 by Billboard. The awards presentation will be held January 10 at the Roxy Theatre in Los Angeles. Hardy also placed number three for new singles instrumentalists.
Hardy's single The Homecoming also won him Juno awards for composer of the year and instrumental artist of the year, as well as the producer of the year award for Peter Anastasoff.
Hardy's records are released in the U.S. on Capitol.
Marc Jordan signs deal with producer John Capek
Singer and songwriter Marc Jordan has signed a deal with John Capek's Captain Capek Productions. Capek will act as Jordan's exclusive producer for the artist's first album, although Jordan is not yet signed to a label. Capek will also be in charge of landing a recording contract for Jordan. The pair are currently at Toronto's Manta Sound working on pre-production and they are hoping they can find a label willing to take a chance on a completed album.
Jordan continues to play club dates in Toronto, and recently completed taping of a segment of Global Television's Caught In The Act. Those in attendance at the RPM Talent Buyers' Conference in October may remember his performance there.
Realistic Records appoints national promo manager
Realistic Records has appointed Anna Moore as national publicity and promotions manager for the label. The position is a new one for the company, who currently have only one act signed, Paul Clinch and Choya. The group has released a single, Living Like A Rich Man on Realistic and on Buddah in the U.S.
Moore was in the advertising sales and promotion field for two years before Realistic.
New Ixtlan gorilla passes out bananas
Ixtlan Records are promoting their new single release with a gorilla armed with bananas. The single, King Kong by Tony Quarrington, was spread among press and broadcasters in Toronto by Quarrington, Ixtlan's Dana Boone and Ron Baumber, and a gorilla who called himself Ping Pong - cousin of the title character.
King Kong was released December 17 to co-incide with the opening of the remake of the King Kong movie. Movie and single are not related.
Quarrington, a new Ixtlan signee, is a Saskatchewan native and a PhD candidate in English. He also wrote both sides of the single and co-produced it.
Bob Johnson appointed nat'l promotion MCA
Former MCA Montreal/Ottawa branch manager Bob Johnston has been appointed national promotion manager of MCA Records. Johnston's duties will include the supervision of national record promotion and artist tours. He will be working from the Canadian head office in Toronto with Scott Richards, former national promotion manager who was recently appointed vice president of marketing for MCA.
Johnston has been associated with MCA for the past four years.
The Agency expands, adds new offices
Toronto booking firm The Agency, which has primarily booked established recording acts, has opened a second office, The Agency II, to concentrate on the development of new, aspiring talent.
The Agency II, headed by Chris Somerton, is located at 37 Mutual Street in Toronto.
The Agency, through extensive negotiations with foreign management groups SIR Productions and Bill Curbishley, has recently acquired exclusive Canadian booking representation for The Dingoes, The Steve Gibbons Band, Law, Lynyrd Skynyrd, and .38 Special. It has also become part of a Canadian booking network with Atlantic Music in the Maritimes, Frank Wiener in Manitoba and Saskatchewan, Studio City in Alberta and Bruce Allen Talent in British Columbia.
Randal programming director for CHFI-FM
George H. Grant, vice-president and general manager of CHFI-FM Toronto, has announced the appointment of veteran broadcaster Ted Randal as director of programming.
Randal, who comes to CHFI from CJJD Hamilton, has an extensive on and off-air broadcast background. In 30 years in the industry, including 15 years as an announcer, he has worked in San Francisco, Los Angeles, Minneapolis, Toronto, Montreal and Vancouver, in addition to consulting over 150 radio stations in Canada, the U.S., Australia, New Zealand and Mexico.
Randal is also the founder and original editor and publisher of the Randal Tip Sheet, an industry newsletter. He also performs in radio and television commercials in Canada.
Jackson Hawke to Epic for U.S. distribution
CBS' Jackson Hawke has been picked up for distribution in the U.S. by Epic. Their debut album as well as their single, Into The Mystic, will both be released in January according to the group's manager Jim Zappa.
HOSPITALITY SUITES AND SHOWCASE ROOMS AT RPM'S 3 DAYS IN MARCH
MARCH 14, 15 & 16 are now available from RPM
Contact RPM SPECIAL PROJECTS (416) 425-6699
(Book early - space is limited)
RTNDAC gives awards to 6 news departments
Six radio and TV stations were honored by the Radio-Television News Directors Association of Canada at the association's annual meeting in Miami in mid-December.
The RTNDA's Charlie Awards for best spot news coverage went to CHIC-Brampton, Ontario for its coverage of a tragic high school shooting incident and to CHEK-TV in Victoria for coverage of a native people's blockade at Gold River B.C.
The Dan Awards for news specials went to Chicoutimi, Quebec's CBJ for a documentary on a local national park and Sydney N.S.'s CJCB-TV for a report on housing.
Halifax' CJCH won a community leadership award for a series of editorials on invasion of privacy and CFRN-TV in Edmonton took one for a series of opinion pieces on rent controls.
Record sales in 1976: A mixture of reaction
by J.J. Linden
1976 has seen a very mixed year in record sales, with a wide variety of seasonal and regional movement. Alberta chalked up a booming year, but other areas seem to be somewhat flat, with only minor advances over the 1975 figures.
People in record sales reported to RPM on a wide variety of different experiences and theories about the sales situation, and a wild group of varied summations.
Some things were agreed upon by general consensus. There were no super albums this year. As Record Barn owner Eric Johnson stated, "There are a lot of strong secondary sellers, but no individual giant albums." Rack jobber Taylor Campbell of Pindoff Record Sales reported a wider variety of titles among top movers. This thought was echoed by Jacques Gagne of All Records.
From the distributors, reaction to this year's sales situation was mixed. A&M's Doug Chappell reports a great year, with sales particularly high in Alberta, and a strong prediction for Christmas sales, particularly in Ontario. Chappell attributes A&M's growth to better distribution in the market place and better timing.
RCA marketing services manager John Stephenson reported a strong year despite RCA's loss of the ABC label this year. Sales were particularly strong in the west, with Toronto slightly flat and Ontario down slightly. RCA had a very strong November, and Stevenson expected good action for December.
At MCA, national sales manager Alan Reid reports a soft year, with the prairies strong but B.C., Ontario and the Maritimes slow compared to last year. Reid feels the slowdown in big hits for MCA is the cause.
At the rack jobber level people are for the most part happy with sales throughout the year. Tony Frank, president of Alldisc Distributors, noted a good year with strong chart sales, although catalogue sales were a little sluggish.
Other rackers reporting a good year were Jan Bell of Handleman, Herb Taylor of Taylor's Record Sales, and Jacques Gagne of All Records, Gagne, who reported an approximate 20 per cent sales increase for the year, noted a strong spring, a soft summer and a pick-up in the fall with exceptional sales from October through December. This sales pattern was later to be repeated by some of the retailers.
Taylor, whose company deals basically in Ontario outside of Toronto, also reported an exceptional October and November, with substantial growth over last year. Taylor also noted the wide variety of chart sellers, primarily from established acts.
Taylor Campbell, managing director of Pindoff reported a good but not exceptional growth for the year, with Alberta very strong, Toronto and Quebec quite good, and B.C. on a par with last year.
Several reasons for the tremendous growth in the prairies were offered by the rack jobbers. Some, including Ms. Bell of Handleman's, attributed the growth to the general economic conditions, which are favourable in the west - there is simply more money. Others, such as Gagne of ARS, say that new availability is responsible for the western growth. Gagne noted that improved service in the smaller towns, where new releases are now available within a week, is one factor. Others attributed the growth to an increase in the number of outlets, the expansion of the distributors into the west, and an interest being generated in the west for regular buying of records by a public which had previously bought records only on trips to the big cities.
Retailers have found a wide variety of joys and woes through the year. Sam "The Record Man" Sniderman, whose chain consists of 46 stores, reports excellent sales for the year and that he plans to continue expansion throughout Canada. Peter Parrish, eastern marketing manager at A&A Records and Tapes, reports the west thriving with record sales up an average of 25 per cent, with some stores reporting gains up to 100 per cent, but that the east is softer, with gains averaging about 25 per cent, with some stores reporting gains up to 100 per cent, but that the east is softer, with gains averaging about five per cent. There is, however, a large expansion of A&A stores in the Toronto and Montreal areas.
Sylvia Harding of Music World reports a basically good year compared to last year. The Music World chain consists of 11 stores. Shirley Harrison of Eaton's reported a good, if sporadic, year for the record departments in the chain. Ms. Harrison noted that the trend of a good spring, soft summer and strong comeback in the fall applied to Eaton's.
Much of the confusion about sales was found at the individual outlet level. Lou Cooper, who owns three Sam The Record Man franchises in the Toronto area, reports that his stores are keeping at a par with last year, despite fierce competition. Eric Johnson of Record Barn reports a slow year in his two Toronto outlets, although his London, Ontario store has been busier. One of his store managers, Gary Campbell, reports trouble stocking the top albums.
Lon Appleby, who owns three A&A franchises, reports that his Newmarket, Ontario outlet is gaining nicely, but that his Bridlewood Mall, Toronto branch is at a par and his Newtonbrook store on Yonge Street is down from last year. Appleby has also experienced difficulty with product availability, and cited the level of competition in the city of Toronto as one of his major problems. He noted that the malls are tending to do continually better business, while street outlets seem to be sluggish.
Bloor Street Toronto A&A manager Vito Rocanelli reports a slow year, although sales of top albums continue to boom. Lorne Lichtman, manager of Music World in Scarborough, also reported a somewhat flat year. Cecil Phillips, who manages Music World in Toronto's Fairview Mall, announced a good year for that branch.
Larry Ellenson of Round Records, who reported a very successful year, noted that some small street outlets were having serious problems. Three downtown Toronto record stores closed during the year. His outlet appeals to a selective crowd of students and young people.
None of the retailers reported any major surprises in specific product. Among the albums mentioned which have sold well are product by Peter Frampton, Rod Stewart, Stevie Wonder and Kiss.
There seems to be a general trend of business from the street outlets to the malls and major shopping centres. A&A franchiser Appleby attributes the success of the malls to warmth, available parking, a variety of shopping, a nice atmosphere and a comparative process between record stores and record departments in department stores.
MCA national sales manager Alan Reid describes the situation: "I think that as an industry we have begun to feel the effects of the forecast demographic change in our market. The post-World War II baby-bulge kids who were 18 to 23 in the early 70's are now 23 to 28. They're married and have kids and mortgages and payments to make on the washing machine. They aren't buying too many records. There is a new crop of kids in the right age group, of course, but nothing like as many of them.
"In retailing, I'd expect downtown locations to experience difficulty in maintaining their sales volume, while suburban locations in big shopping malls do increasingly better business. That's where people live and shop, and therefore that's where you can get the impulse buy."
Jacques Gagne of All Record Supply attributes this success in the malls to a more professional operation all the way around. The distributors are doing a better promotion and stocking job in the suburban outlets. Businessman Rick McGraw, formerly vice-president and general manager of A&A, notes a better selection and fuller expansion into the suburban areas, creating a lesser need for the public to go downtown to the street outlets to buy records.
Some changes in the types of material may have to be made in the future in order for the record sales to be maintained. Sam The Record Man franchiser Lou Cooper notes the success of country, R&B, ethnic music and so forth in areas with large specialized demographic groups. Gagne feels there should be a greater market availability in MOR for adults, as many department store customers are adults.
Reid concludes, "Underground acts just won't get the kind of sales that some of them enjoyed a few years ago. That special market that used to buy them has become too small. I think that the really huge albums from now on are likely to be the ones that have an appeal so broad that a substantial number of adults will buy them, in addition to the 18-to-23's. They're likely to be acts like Elton John and Paul McCartney; and hit singles, providing the necessary exposure to a big audience, will be even more important."
viewers. Manta Sound Studios debuts tandem multi-track machine. T.H.P. Orchestra's Theme From S.W.A.T. hits number one on the RPM 100. Juno Awards posts Sold Out notices for March 15th Awards telecast. April Wine album ships gold. RIAA establishes platinum award for one million albums and two million singles. Showcasing rooms and hospitality suites announced for C13. Juno Awards to feature Michel Pagliaro, Hagood Hardy, Carroll Baker, Gino Vannelli, Suzanne Stevens, Bachman-Turner Overdrive, Dan Hill, Valdy, Blood, Sweat & Tears with John Allan Cameron as host. J. Ronald Mitchell, President of Moffat Communications and CRTC Commissioner John Hylton booked to speak at RPM's C13. RPM launches Radio Action feature. Print Media tells record industry to "clean up your promo act" at C13 seminar.
APRIL
Carroll Baker signed to RCA as a result of Juno TV appearance. Controversy reigns over official Olympic song. Officials announce a nationwide contest for another song to be used as well. RPM announces the first Canadian Music Industry Awards Banquet. Canadians do well in American Song Festival. K-Tel's Canadian Mint album sells 300,000 units. Phonodisc celebrates 20th year. CBC estimates that 3.5 million viewers saw the Juno Awards. T.H.P.'s S.W.A.T. single makes gold status.
MAY
Columbia concludes deal to market Eleanor Sniderman's Aquitaine label. Lightfoot goes into studio to produce own session. ACTRA holds 5th annual awards at Toronto's Inn On The Park. Pierre Juneau honoured with special ACTRA "Nellie" Award. The 1976 Douglas McGowan Awards open for entries. RPM's Canadian Music Industry Awards nominations are announced. Banquet to be held June 7th at which time the accountancy firm will release names of winners. Terry Lynd, President of Columbia Records of Canada, is new president of CRIA. BMI announces that BMIC is to become Canadian. The announcement was made at BMI's annual Awards banquet. WEA Music of Canada announces best April in history. RPM announces Big Country Awards set for Edmonton in September. Motown drops Mushroom label. FM and TV stations begin to broadcast from Toronto's new CN Tower. Toronto's CFGM stages first Opry North.
JUNE
CHMM-FM Winnipeg goes country on FM Stereo. Periwinkle's Renee debuts new single to the industry at Gino Empry inspired cocktail party. Record producer Roy Smith dies in boating mishap. CRIA and CIRPA heads meet with government agencies. That's Showbusiness, a Toronto-based bi-monthly on film and live theatre, ceases publication. Gordon Lightfoot, the CBC-TV and Maple Leaf Gardens throw giant charity concert to aid Canada's Olympic athletes. New 45s appear with small holes - a European concept introduced by London's new Montreal pressing plant. Gordon Lightfoot re-signs with Warner Brothers. RPM announces first Canadian Recording Studio Directory. BMI Canada showcases stage music. Wilf Carter returns to Canada after 35 years, for recording session with RCA's Jack Feeney. A&M and Attic Records sweep the Canadian Music Industry Awards with three awards to A&M and three to Attic. Valdy, Bernie Finkelstein, CHUM, Eastern Sound Studios, Music Shoppe and Sam The Record Man were all honoured with Awards. John Mills is presented with RPM Canadian Music Industry Hall of Fame Award.
JULY
The top album in Canada is At The Speed Of Sound by Wings. Terry Jacks announces he will produce Susan Jacks for Polydor. Patsy Gallant signs with Attic Records. TeeVee Records throws bash for Tom Jones at Toronto's O'Keefe Centre. Gene Lew and Murray Campbell open Cooley's Disco, over Sam The Chinese Food Man. Ben Nobleman takes on CNE and Canadian talent for the Grandstand stage - now a yearly event. Sam Sniderman is named to The Order of Canada. He is the first person in the industry to receive this honour, outside of performing artists. Polydor to release COJO album of Olympic Games music. Al Mair cuts ties with Early Morning Productions, Gordon Lightfoot's management company.
AUGUST
Columbia Records announces name change to CBS Records (Canada) Ltd. Larry Evoy signs with Attic Records. Number one album in Canada is Frampton Comes Alive by Peter Frampton. GRT holds annual "throw them in the pool" sales meeting at Toronto's Ramada Inn. Reps from across Canada and international label VIPs attend. RPM announces first Talent Buyers Conference for October. Polydor's Frank Gould settles into new position in New York City office. Attic Records celebrates second anniversary. Lee Farley leaves CTI to form own Mark-Lin Ltd. Bert Dunseth and Jacques Gagne appointed Vice-Presidents of CBS Records (Canada). RPM launches Tracking Cancon feature. RCA celebrates 75th Anniversary. GRT opens sales office in Winnipeg.
SEPTEMBER
Nomination ballots for Big Country Awards are mailed. RPM honours Canadian Talent Library's 15th year and 200th production at Hotel Toronto banquet. Lyman Potts of the Canadian Talent Library is honoured with RPM's Canadian Music Industry Hall of Fame Award. Keith Barrie signs with U.A. Records. Peter Foldy signs world deal with Polydor Records. CBS launches Portrait Records with Burton Cummings to debut on new label. London Records holds sales conference in Montreal. Canada Council grants to serious music total over $3 million. Hagood Hardy's Homecoming album goes platinum. RPM announces special edition spotlighting the Alberta music industry. A&M throws big bash to open new offices with international VIPs in attendance. Mushroom's Heart album reaches gold status. Big Country weekend in Edmonton is heralded as most successful of all RPM events. CTV celebrates 15th anniversary. Don Harron and Jackie Rae launch new Harrea label to be distributed by Quality.
OCTOBER
RPM launches No. 1 Award for records topping the RPM 100 singles chart. First recipient is K.C. and The Sunshine Band. Disco Duck is number one single across Canada on RPM 100. CBC-TV features highlights of Big Country Awards on Tommy Hunter TVer. Jerry Renewych is appointed manager of Chappell of Canada. Quality and Music Shoppe host ten years of R&R at Embassy (Toronto) featuring Quality's Sweet Blindness. RPM publishes 56 page edition, the largest in magazine's history, for Talent Buyers Conference. First RPM Talent Buyers Conference held at Toronto's Hotel Toronto. Five bands are showcased each night on five stages in main ballroom. Other events include a series of speakers and seminars.
NOVEMBER
TeeVee Records honours Charley Pride with awards to retail and rack jobber VIPS for the 450,000 albums sold. Controversy about CHUM early airing of Elton John album. K.C. and the Sunshine Band show new Booty album gold and single hits platinum status. Fanshawe College awarded commercial FM station. CBC-TV sets March 16th date for Juno telecast. Jerry Weintraub to manage Gordon Lightfoot. Burton Cummings tours Canada with plaudits from critics. Lightfoot's The Wreck Of The Edmund Fitzgerald is number one single on the RPM 100. Statistics Canada to take a closer look at record sales and statistics. Private Stock picks up Patsy Gallant hit of From New York To L.A. WEA Canada reports October biggest month in company's history. Cyril Devereaux appointed manager of Canadian Musical Reproduction Rights Agency.
DECEMBER
Quality Records signs to distribute Roulette in Canada. Columnist Bernadette Andrews dies at 33. RPM announces banquet to honour Elwood Glover, to be held January 17. CBC plans Anne Murray special which will feature the new mother and her baby son. Bonfield-Dickson album begins making headway and is success from small label. Large group from Canada plans junket to MIDEM under sponsorship of federal government. Bob McBride signs with MCA. Phonodisc's Don McKim dead at 58. GRT launches campaign to work closely with campus radio. Phase One studios intros lacquering facilities. Ritchie Yorke book, History Of Rock 'N' Roll, is published. Richard Bibby accepts U.S. post. Scott Richards upped to VP of Marketing for MCA Records (Canada). St. Clair Productions bows Big Country radio show for national airing. Lightfoot drops Weintraub as manager. Juno TVer will be black tie dinner for the first time. Disco craze continues to grow and is expected to be a boom in the new year.
Top 200 singles of '76
Compiled by Brendan Lyttle
1. TONIGHT'S THE NIGHT (Gonna Be Alright)
Rod Stewart
Warner Bros 8262-P
2. CONTOURS
C.T. McCall
MGM 14839-Q
3. DISCO DUCK (Part 1)
Rick Wakeman & His Cast of Idiots
RSO 8570-F
4. DON'T GO BREAKING MY HEART
Elton John & Kiki Dee
Rockin' 8088-J
5. ROXY ROLLER
Sweeney Todd
London 2590-K
6. BOHEMIAN RHAPSODY
Queen
Elektra 45297-P
7. LONELY NIGHT (Angel Face)
Captain & Tennille
A&M 17820-W
8. A FIFTH OF BEETHOVEN
Walter Murphy & The Big Apple Band
Private Stock 45073X-M
9. IF YOU LEAVE ME NOW
Chicago
Columbia 3-10390-H
10. SILLY LOVE SONGS
Wings
Capitol 4266-F
11. AFTERNOON DELIGHT
Starlight Vocal Band
RCA 10988-A
12. THE WRECK OF THE EDMUND FITZGERALD
Gordon Lightfoot
Reprise 1369-P
13. DECEMBER 1963 (Oh What A Night)
Four Seasons
Warner Bros 8168-P
14. LOVE HURTS
Nazareth
A&M 1671-W
15. YOU SHOULD BE DANCING
Bee Gees
RSO 853-Q
16. ROCK 'N' ME
Stevie Nicks
Capitol 4323-F
17. BOOGIE FEVER
Sylvers
Capitol 4179-F
18. GET UP AND BOOGIE
Silver Convention
Columbia C4-8109-H
19. (Shake) Shake Shake)
SHAKES YOUR BOOTY
K.C. & The Sunshine Band
RCA 02112-N
20. SHANNON
Harvey Brooks
Lifesong 45002-Q
21. SQUEEZE BOX
The Who
MCA 0475-J
22. MONEY HONEY
Bay City Rollers
Arista 0176-F
23. MORE MORE MORE (Part 1)
Andrea True Connection
Buddah 515X-M
24. DREAM WEAVER
Gary U.S. Bonds
Warner Bros B167-P
25. LOVE TO LOVE YOU BABY
Donna Summer
Casablanca 854-M
26. NEVER GONNA FALL IN LOVE AGAIN
Eric Carmen
Arista 0184-F
27. SHOUT IT OUT LOUD
Kiss
Casablanca 854-M
28. GOT TO GET YOU INTO MY LIFE
Beatles
Capitol 4274-F
29. THEME FROM S.W.A.T.
H.P. Orchestra
RCA 50179-N
30. BREAKING UP IS HARD TO DO
Neil Sedaka
Polydor 2058 669-Q
31. FLY ROBIN FLY
Silver Convention
Columbia C4-8091-H
32. LOVE SO RIGHT
Bee Gees
RSO 859-Q
33. SATURDAY NIGHT
Bay City Rollers
Arista 0176-F
34. PLAY THAT FUNKY MUSIC
Wild Cherry
Epic 8-50225-H
35. THAT'S BE THE DAY
Linda Ronstadt
Asylum 45340-P
36. FANNY (Be Tender With My Love)
Bee Gees
RSO 519-Q
37. FOX ON THE RUN
Sweet
Capitol 4157-F
38. YOU'LL NEVER FIND ANOTHER LOVE LIKE MINE
Lou Rawls
Philips Italia Internat'l ZS8-3592-Q
39. LOVE ROLLER COASTER
Ohio Players
Mercury 73734-Q
40. MUSKRAT LOVE
Captain & Tennille
A&M 1870-W
41. SHOW ME THE WAY
Peter Frampton
A&M 1795-W
42. WELCOME BACK
John Sebastian
Reprise 1349-P
43. LOWDOWN
Boz Scaggs
Columbia 3-10367-H
44. YOU'RE MY BEST FRIEND
Bee Gees
Elektra 45318-P
45. THE WAY I WANT TO TOUCH YOU
Captain & Tennille
A&M 1725-W
46. LET 'EM IN
Bee Gees
Capitol 4293-F
47. BABY I LOVE YOUR WAY
Peter Frampton
A&M 1870-W
48. ALL BY MYSELF
Eric Carmen
Arista 0165-F
49. I CAN'T GET THE SONGS
Barry Manilow
Arista 0157-F
50. LOVE IS THE DRUG
Rick Wakeman
Atco 7042-P
51. MOONLIGHT FEELS RIGHT
Starlight Vocal Band
Private Stock 45039-X-M
52. HAPPY DAYS
Pratt & McClain
Reprise 1349-P
53. LET YOUR LOVE FLOW
Bellamy Brothers
Warner Bros B169-P
54. ONLY SIXTEEN
Bee Gees
Capitol 4171-F
55. SORRY SEEMS TO BE THE HARDEST WORD
Elton John
Rocket 40645-J
56. DO YOU KNOW WHERE YOU'RE GOING TO
Diana Ross
Motown 1373F-Y
57. DEVIL WOMAN
Cliff Richard
Rocket 40574-J
58. MORE THAN A FEELING
Boston
Epic 8-50266-H
59. TALK TALL
Burton Cummings
Portrait 6-70001-H
60. A LITTLE BIT MORE
Dr. Hook
Capitol 4280-F
61. FERNANDO
Abba
Atlantic 3346-P
62. MISTY BLUE
Dorothy Moore
Malaco 1029-M
63. RHIANNON (Will You Ever Win)
Fairport Convention
Reprise 1345-P
64. SHOP AROUND
Captain & Tennille
A&M 1811-W
65. WOW
Andre Gagnon
London 2582-K
66. SKY HIGH
Jigsaw
Chelsea 3022X-M
67. I'D REALLY LOVE TO SEE YOU TONIGHT
England Dan & John Ford Coley
Big Tree 16069-P
68. THE WORLD WORLD'S GOIN' CRAZY
April Wine
Aquarius 5052-K
69. EARTH
Kiss
Casablanca 863X-M
70. ACTION
Sweet
Capitol 4220-F
71. YOU SEXY THING
Hot Chocolate
Bib 10047-P
72. FROM NEW YORK TO L.A.
Patsy Gallant
Attic 133-K
73. ANYWAY YOU WANT
Donny Brown
A&M 410-W
74. NADIA'S THEME
(The Young & The Restless)
Barr & De Vozron & Perry Botkin Jr.
A&M 1856-W
75. LOVE IS ALIVE
Gary Wright
Warner Bros 8143-P
76. ROCK AND ROLL LOVE LETTER
Bay City Rollers
Arista 0185-F
77. LORELEI
Styx
A&M 1786-W
78. LOVING YOU BABY
Wilson Pickett
Skyline 003X-M
79. YOU ARE THE WOMAN
Firefall
Atlantic 3335-P
80. I NEVER CRY
Alice Cooper
Warner Bros 8228-P
81. EVIL GENIUS
Electric Light Orchestra
United Artists 729-Y-F
82. I ONLY WANT TO BE WITH YOU
Bay City Rollers
Arista 0205-F
83. YOU DON'T HAVE TO BE A STAR
(To Be In My Show)
Martha & The Vandellas & Billy Davis Jr.
ABC 10221-12208-T
84. SHE'S GONE
Daryl Hall & John Oates
Atlantic 1335-P
85. DO YOU FEEL LIKE WE DO
Peter Frampton
A&M 1867-W
86. TAKING TO THE STREETS
Doobie Brothers
Warner Bros 8196-P
87. LET HER IN
John Travolta
RCA 10223-N
88. KISS AND SAY GOODBYE
Manhattan
Columbia 3-10310-H
89. (Don't Fear) THE REAPER
Blue Oyster Cult
Columbia 3-10384-H
90. LET'S DO IT AGAIN
Styx
Curtom 0109-P
91. 50 WAYS TO LEAVE YOUR LOVER
Paul Simon
Columbia 3-10270-H
92. THE RUBBERBAND MAN
Spinners
Atlantic 3355-P
93. THE BOYS ARE BACK IN TOWN
Thin Lizzy
Vertigo 8059-141-K
94. I FEEL LIKE A BULLET
(In The Grip Of Robert Ford)
Elton John
MCA 40505-J
95. THERE'S A KIND OF HUSH
(All Over The World)
Carpenters
A&M 1800-W
May saw in May at RPM's Industry Awards when Sam Snider presented Attic's Al Mair and Tom Williams with their award as Most Aggressive Canadian Independent Label.
At the same Awards Presentations, RPM's Sammy-Jo presented A&M's Gerry Lacoursiere with A&M's Award as the No. 1 Canadian Recording Manufacturer and Distributor.
August saw Peter Foldy sign worldwide pact with Polydor (U.S.). He is seen here with his manager Buz Wilburn and Polydor's Annie Geller, Barry Oslander and Len Eppard.
Enjoying the September RPM tribute to the Canadian Talent Library are Attic recording artist Frank Mills and CFRB's music director Arthur Collins.
The month of August saw Capitol/EMI Canada had an opportunity to present the Bay City Rollers with Canadian platinum and gold. The group were in Toronto for a recording session.
September was the month for GRT's sales convention. The Canadian label's president Ross Reynolds and his wife are seen here with Phil Alexander of ABC International.
London also held their meeting in September. The label's president Fraser Jameson is shown here with Force One president, Mel Shaw and the latter's initial album by Teaze.
September was also the big month for the CBS convention in Los Angeles. Part of the group from Canada are (l to r) Art Papone, Ellis, Bill Spicer and Shelly Rosenberg.
While in Toronto, the Bay City Rollers satisfied more than 65,000 of their fans with a scheduled appearance at CHUM's Sunday Afternoon concert in Nathan Phillips Square.
September was a big month for Peter Frampton and A&M. He receives platinum from A&M's Gerry Lacoursiere, Joe Summers and Bandana's John Doumanian and Bill Anthony.
September saw Keith Barrie move to United Artists after success with CBS. He is seen here with label's president Stan Kulik and A&R Director Keith Patten.
Jackie Rea and Don Harron picked October to pact distribution deal with Quality. They are seen (centre) with Quality's A&R Director Bob Morton and Bill Kearns, manager Quality Music.
Rob and Randy Bachman and their movie producer Peter Alliss flew into Toronto to premiere their movie to press. The film subsequently became a CBC-TV Special in October.
Gino Vannelli receives gold for Powerful People from A&M's powerhouse, Jerry Moss, Herb Alpert, Garry Lacoursiere and Richard Burkhart. The month was November.
November also saw royalty cheque from John Gilbert's No Charge single go to charity. On hand for the cheque turn over was Capitol/EMI Canada's Arnold Goswisch.
Cathy Young, Kelly Jay and David Marsden, three biggies from the Yorkville and 60s era were part of the Embassy (Toronto) gathering to honour ten years of R&R. The month was October.
October was also the big opening date for A&M's new Canadian headquarters. Seen cutting the Sammy-Jo cake are Gerry Lacoursiere, Jerry Moss and Joe Summers.
RPM's first Talent Buyers Conference was a huge success and one of the contributing showcase artists, Robbie Rox, was considered by many to be unusual and most entertaining.
November was a big month for Casino president Ray Pottinger (2nd from left) here with A&M's Joe Summers, Garry Lacoursiere and Doug Chappell and Casino's Art Houston.
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International Manager
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International Representative
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INTERNATIONAL RECORD AND MUSIC PUBLISHING MARKET.
JANUARY 21-27, 1977 · PALAIS DES FESTIVALS - CANNES - FRANCE.
exclusive talent agent. You may rest assured that I'll be keeping it country at the class location, some fifty miles from Toronto on the Queen Elizabeth Way.
Winnipeg's Alec Groshak, boss man of V Records, has released a new album by the Blue Mountain Group. They appear to be one of the stronger country lounge acts in northern Ontario and points west.
In conversation with Bud Wendel, general manager of the Opryland-Grand Ole Opry complex in Nashville, I learned that the Opry brass are seriously considering staging a special show, starring headliners from their famous show for Canadian spectators only. It would be a one-time-only experiment, according to Bud, as they regard central Canada, particularly Ontario, as one of the most prime market areas for the Opry shows, and Opryland's outdoor attractions. As things now stand, a Canadian holiday weekend in comfortable travelling weather literally turns the Opryland complex, including all of its attractions and the Grand Ole Opry itself into the fourth largest city in the state of Tennessee, with enough residents of Ontario on the grounds to populate a good size town.
Barry Brown adds record production to his already well known talents of composing and singing with some excellent behind-the-console effort on singles by Don Cochrane and Ralph Carlson. They're both on the Ottawa-based Snocan label. Manitoba by Cochrane and Don's Barber Shop by Carlson are getting considerable DJ attention, and they are richly deserving of every spin. An album by Ralph Carlson has been all but completed, according to producer Barry, and will ship shortly to DJs across Canada.
The bottom line on Mike Graham: one of his tunes has been recorded by Gary Stewart. Do Right Woman, was one of several new things layed down by Stewart at one of his more recent Nashville sessions. Eventual disposition and/or release date is not known at this writing.
Marty Robbins will play thirty five Canadian one-ninters in 1977. He has much to remember 1976 for, particularly as it was the first year in his lengthy and successful career that he ever had back to back, number one hits: El Paso City and Among My Souvenirs accomplished the feat, a first that delighted Marty. His forthcoming album, he told me backstage at the December 11 Opry will offer several of the good old tunes in a similar vein to Souvenirs. Why not?
And you think Grand Ole Opry tickets are hard to come by. Opryland's Nathan Kline tells your reporter that the new Opryland Hotel and Convention Centre, not even complete until at least the fall of 1977, has already had convention bookings and inquiries for as far in the future as 1985.
The western ladies are busily pursuing their recording careers. Lovely Glory Anne Carriere has a new single on Royalty that's doing all the right things at this stage of its release that should take it well up the RPM chart. I'd Like To Tell You is another single lifted from the gal's debut album, I'd Like To Take The Chance. And the little sweetheart from Calgary, Roxanne Goldade, continues to get encouraging, cross-Canada airplay on her Westmount debut, Listen To The Rain. A line from Roxanne this week to let us know that her new single, slated for release next month is entitled Momma Take My Hand.
Making it under the deadline: at long last the new Mercy Brothers' RCA album, Homemade. I already know that it's some kind of album, having heard the master tapes back last Spring at Elmira. Subsequent singles from that session have been very strong for Ray, Lloyd and Larry. And I must say, the long wait for the new work on the cover has been very worthwhile. The new cover design has to be loaded with point of sale impact.
The Maritime Mafia is about to be heard from again. This time it'll be the St. John's Family, also known as Ryans Fancy. The group is about to debut their CBC network, weekly television segment. It'll be seen at seven thirty eastern time on the coast to coast CBC lineup. A new album will be in release on RCA by the end of January. Brand New Songs is the title of the new set, produced by the group themselves in Halifax. About a week prior to the scheduled release date for the new album the group will be the subject of a feature article in the Weekend Magazine, and the publication of a full length book, dealing in depth with the life and times of Dennis, Dermott and Fergus, Ryan's Fancy, will shortly be released by Breakwater Books, a St. John's publishing firm. It appears that 1977 will be the year for Ryan's Fancy, and not a minute overdue either.
Buck Owens has been set for the Beverly Hills Motor Hotel in Toronto's west end during the first week of February. He'll appear with his entire cast.
Best new single of recent times has to be the Linda Ronstadt updating of Willie Nelson's magnificent ballad, Crazy. It's a number one country record the way I hear it, and destined to make some heavy inroads on the pop charts as well.
That new album by the Post Family will be a best seller for Gary Buck's Broadland bunch. One of your better Christmas TV shows was the special involving Gary and several of his artists. It was carried on both the Kitchener CTV outlet, and on CFTQ, Toronto.
Ray Griff's Blue Echo Publishing Company will now be represented exclusively in Canada by Jury Krytiuk, Mark Altman and company of Morning Music and the Boot Group. As a matter of fact, Jury's outfit will represent Ray's red hot publishing firm throughout the world with the exception of the U.S., England and Australia.
The last words for this week - for any week; keep it country.
REGINA
Greg Kotowich is the new music director at Regina's CKRM radio, a 24-hour country station. CKRM production manager Fred King asks that record company reps address all releases to Kotowich c/o the station.
REGINA
The ninth station in CTV's national FM network, CBK-FM, 96.9 goes on the air early in January. All CBC FM programming is now network as of January 1 with the addition of a morning serious-music show, The Eric Friesen Show, from Toronto. Previously there had been a morning local programming spot for network stations.
TORONTO
Former CHFI-FM music director Michael Compeau will be the music producer of CBC-FM's new morning serious music show. Compeau will shape the music policy of the new show which broadcasts 20 hours a week, about 16 hours of which is recorded music.
TORONTO
Jack Feeney, RCA producer, reports excellent response to the new Family Brown single, Sing A Song Of Love, a pick in RPM last week. Weird Harold Kendall of CKWX Super Country (Vancouver) wrote: "Barry's written probably the most 'commercial' release in quite a spell. It's a real winner". The single has been charted at this important west coast outlet. CKGY Red Deer's Dick Bell reported to Feeney that the Brown single is "The best yet". At the other end of the country, Charlie Russell at CJCJ Woodstock gives the single a Pick Hit.
EDMONTON
Royalty's R. Harlan Smith and Dick Damron were honoured last month when the government of Alberta held their annual Achievement Awards dinner. People from every profession were presented with the award for making significant efforts in contributing to the betterment of culture in the province. R. Harlan explains that "the evening also makes provisions for the presentation of Excellence Awards (different from the Achievement Awards) presented to those people whose achievements have, in the eyes of the people of Alberta, placed them in that category." That was the award won by the Alberta pair. R. Harlan tells us that the award had a special significance because the date chosen for Premier Peter Lougheed and Minister Of Culture Horst Schmidt to hand out the awards happened to be his birthday.
RPM COUNTRY RADIO ADDITIONS
ANTIGONISH/PORT HAWKESBURY
CIFX (Bill Graham)
Playlisted
* It's All Over-Johnny Cash
* C.B. Santa-Big Jim & Goodbuddies
BRIDGEWATER
CKBW (Gary Richards)
Playlisted
11 Are You Ready-Waylon Jennings
30 Old Time Feeling-Cash/Carter
12 Statues Without Hearts-Larry Gatlin
* Ride Away To The Country-Fjellgaard
49 Sing A Song Of Love-Family Brown
* Good Boogie-Good Brothers
CALGARY
CFAC (Larry Kunkel)
Charted
COUNTRY continued on page 22
COUNTRY continued from page 20
26 (1) I'm Gonna Love You-Dave & Sugar
44 (47) You Look Good-John Denver
CHARLOTTETOWN
CFCY (J. P. Gaudet)
Playlisted
12 Statues Without Hearts-Larry Gatlin
14 Your Place Or Mine-Gary Stewart
49 Sing A Song Of Love-Family Brown
* Daddy's Little Girl-Ray Sawyer
27 Liars One-Bill Anderson
35 Bachelor-Patrician Anne McKinnon
CAMROSE/EDMONTON
CFCW (Curly Gurlock)
Charted
9 (1) Rendezvous-Johnny Duncan
Playlisted
50 I'd Like To Tell-Glory Anne Carriere
FLIN FLON
CFAR (Dwain Anderson)
Playlisted
42 Manitoba-Don Cochrane
* Take My Breath Away-Margo Smith
50 I'd Like To Tell-Glory Anne Carriere
FORT MCMURRAY
CJOK (Rick Adair)
Playlisted
* Johnny Sunshine-Susan Raye
* I've Just Got To Know-Joni Lee
13 I Can't Believe-Conway Twitty
27 Liars One-Bill Anderson
* Drifter-Hummingbirds
FREDERICTON
CFNB (Bill Scott)
Charted
* (1) Rough Side Drag-Jessi Winchester
14 (36) Your Place-Gary Stewart
* (38) Everything I Own-Joe Stampley
* (39) Daddy's Little Girl-Ray Sawyer
* (40) Pick Me Up Lord-Janice Lapointe
KAMLOOPS
CFMI-FM (Al Saville)
Playlisted
37 Hangin' On-Vern Gosdin
10 Two Dollars-Eddie Rabbitt
* Moody Blue-Ellis Presley
* Ride Away-Ray Materrick
50 I'd Like To Tell-Glory Anne Carriere
KENTVILLE
CKEN (Peter Carter)
11 Are You Ready-Waylon Jennings
* Day Of Love-Mercey Brothers
KINGSTON
CFKM-FM (Dave Cunningham)
6 (1) Baby Boy-Mary Kay Brown
Playlisted
49 Sing A Song Of Love-Family Brown
* Aspen Gold-Foreman & Young
* Winfield Amateurs-Ray Griff
40 Waylon's T Shirt-Dick Damron
LINDSAY
CKLY (Tex Bagshaw)
Charted
6 (1) Baby Boy-Mary Kay Place
* (29) Winfield Amateurs-Ray Griff
44 (30) You Look Good-John Denver
*(PH) Julie-Dallas Harms
Doing What I Feel-Narvel Felts (LP)
MEDICINE HAT
CHAT (Ron Larson)
26 (1) Love You-Dave & Sugar
40 (27) Waylon's T Shirt-Dick Damron
Playlisted
* Rain-Allan Sisters
13 I Can't Believe-Conway Twitty
* Miles Of Texas-Asleep At The Wheel
* Spen Gold-Foreman & Young
MEDLEY
CHCL (June Mitton)
Charted
16 (1) Living It Down-Freddy Fender
* (23) Sugar Creek Bottom-Joe Pain
28 (24) If I Believed-Mercey Brothers
Bionic Banjo-Buck Trent (LP)
NORTH BAY
CFCH (Jim Johnston)
Charted
9 (1) Rendezvous-Johnny Duncan
23 (24) Fox On The Run-Good Bros.
* (26) Miles Of Texas-Asleep At The Wheel
* (27) Winfield Amateurs-Ray Griff
* (28) Most Of All-Linda Hargrove
* (30) Aspen Gold-Foreman & Young
ST. CATHARINES
CHSC (Jim McLean)
45 A Country Man-R. Harlan Smith
49 Sing A Song Of Love-Family Brown
* Good Boogie-Good Brothers
* San Francisco Summer-Colin Butler
ST. JOHN'S
VOCM (John Reynolds)
Playlisted
14 Your Place-Gary Stewart
28 If I Believed-Mercey Brothers
40 Waylon's T Shirt-Dick Damron
* San Francisco Summer-Colin Butler
STEPHENVILLE
CFSX Gerry McAuley)
Charted
9 (1) Rendezvous-Johnny Duncan
* (23) Love-Johnny Carver
* (24) San Francisco Summer-Colin Butler
* (25) If Not You-Dr. Hook
Playlisted
38 Strangers-Freddie Hart
* Photo Album-Kristine
* Kind Of Girl-Danny Hargrove
SYDNEY
CHER (Marg Ellsworth)
* (1) Tears-Dickey Lee
38 (18) It's My Party-Carroll Baker
13 (22) I Can't Believe-Conway Twitty
21 (23) Winestoned Plowboy-Nester Pistor
28 (24) If I Believed-Mercey Brothers
SYDNEY
CJCB (Arna Halloran)
Charted
16 (1) Living It Down-Freddy Fender
8 (34) Good Thing-Crystal Gayle
21 (37) Winestoned Plowboy-Nester Pistor
TORONTO
CFGM (Joe Lefresne)
Playlisted
49 Sing A Song Of Love-Family Brown
* Julie-Dallas Harms
* San Francisco Summer-Colin Butler
42 Manitoba-Don Cochrane
* C.B. Savage-Rod Hart
37 Hangin' On-Vern Gosdin
44 You Look Good-John Denver
VANCOUVER
CKWX (Harold Kendall)
Charted
40 (34) Waylon's T Shirt-Dick Damron
20 (41) Saying Hello-Brown & Cornelius
17 (42) Let My Love-Ronnie Milsap
* (46) Meanin' Is-Barbara Fairchild
WINDSOR
CKLW-FM (Ronald Foster)
15 (1) Hillbilly Heart-Johnny Rodriguez
48 (34) Near You-Jones & Wynette
* (36) Ordinary Man-Dale McBride
Playlisted
* Two Less Lonely-Rex Allan Jr.
* It's Alright-Billy Thunderkloud
* Good Old Country-Tony White
* Easy Feeling-Mary Bailey
WINGHAM
CKNX (Iona Terry)
Playlisted
* Lonely Christmas-Mickey Gilley
* All Worthwhile-Gary Buck
* Crazy-Linda Ronstadt
50 I'd Like To Tell-Glory Anne Carriere
WOODSTOCK
CJCJ (Charlie Russell)
* (1) Thank God-Statter Brothers
49 (21) Sing A Song Of Love-Family Brown
* (24) Winfield Amateurs-Ray Griff
23 (26) Fox On The Run-Good Brothers
* (29) Isn't That A Reason-Chris Neilsen
39 (30) May I Spend-T.G. Sheppard
| Rank | Position | Title | Artist/Label |
|------|----------|------------------------------|---------------------------------------|
| 51 | 46 | THIS ONE'S FOR YOU | Barry Manilow / Arista 02306-F |
| 52 | 50 | I CAN'T LIVE IN A DREAM | Osmonds / Polydor PD14348-Q |
| 53 | 62 | IT KEEPS YOU RUNNIN' | Doobie Brothers / Warner Brothers WB8282-P |
| 54 | 91 | NEW KID IN TOWN | Eagles / Asylum E45373-P |
| 55 | 59 | DO WHAT YOU WANT TO DO, BE WHAT YOU ARE | Daryl Hall & John Oates / RCA PB 0508-N |
| 56 | 80 | BLINDED BY THE LIGHT | Manfred Mann / Warner Bros 8252-P |
| 57 | 76 | DRIVIN' WHEEL | Foghat / Bearsville BSS 0313-P |
| 58 | 58 | EVERY FACE TELLS A STORY | Olivia Newton-John / MCA 40542-J |
| 59 | 64 | WHAT CAN I SAY | Boz Scaggs / Columbia 3-10440-H |
| 60 | 97 | DANCING QUEEN | Abba / Atlantic 3372-P |
| 61 | 92 | SHAKE YOUR RUMP TO THE FUNK | Bar-Kays / Mercury 7 3833-Q |
| 62 | 83 | NIGHT MOVES | Bob Seger / Capitol P4399-F |
| 63 | 93 | LIVING NEXT DOOR TO ALICE | Smokie / RSO 860-Q |
| 64 | 60 | RUBY BABY | Wednesday / Skyline YO11X-M |
| 65 | 94 | SAVE ME FOR A RAINY DAY | Stephen Bishop / ABC 12232-T |
| 66 | 77 | SATURDAY NITE | Earth, Wind & Fire / Columbia 3-10439-H |
| 67 | 36 | LOVE THEME FROM A STAR IS BORN | Barbara Streisand / Columbia 10450-H |
| 68 | 98 | YEAR OF THE CAT | Al Stewart / Janus J856-T |
| 69 | 86 | LUCY'S MAN | Starbuck / Private Stock 45125-M |
| 70 | 71 | DANCE LITTLE LADY DANCE | Tina Charles / CBS C4-8144-H |
| 71 | 85 | SLOW DANCING | Funky Kings / Arista 209-F |
| 72 | 72 | SIXTEEN REASONS | Lavene & Shirley / Atlantic 3367-P |
| 73 | 73 | DOG EAT DOG | Ted Nugent / Epic 8-50301-H |
| 74 | 99 | OPEN SESAME | Kool & The Gang / De-Lite 1586-T |
| 75 | 75 | I DON'T WANNA LOSE YOUR LOVE | Emotions / Columbia 3-10347-H |
| 76 | 81 | I LIKE DREAMIN' | Kenny Nolan / 20th Century 2287-T |
| 77 | 82 | SOMEONE TO LAY DOWN BESIDE ME | Linda Ronstadt / Asylum 361-P |
| 78 | 78 | IT'S A LONG WAY THERE | Little River Band / Capitol 4318-F |
| 79 | 88 | DO IT TO MY MIND | Johnny Bristol / Atlantic 48-3360-P |
| 80 | 89 | IF NOT YOU | Dr Hook / Capitol 4364-F |
| 81 | 95 | FIGHTIN' ON THE SIDE OF LOVE | THP Orchestra / RCA PB50289-N |
| 82 | 87 | BACK INTO YOUR ARMS | Dancer / A&M AM1875-W |
| 83 | ... | DAZZ | Brick / Bang 727-N |
| 84 | ... | FLY LIKE AN EAGLE | Steve Miller / Capitol P4372-F |
| 85 | ... | HARD LUCK WOMAN | Kiss / Casablanca NB873-M |
| 86 | ... | I LIKE TO DO IT | KC & The Sunshine Band / TK 1020-N |
| 87 | ... | FREE | Deniece Williams / Columbia 10429-H |
| 88 | ... | YOU'VE GOT ME RUNNIN' | Gene Cotton / ABC 12217-T |
| 89 | ... | MOODY BLUES | Elvin Bishop / RCA PB10857-N |
| 90 | ... | PRISONER (CAPTURED BY YOUR EYES) | L.A. Jets / RCA PB10826-N |
| 91 | ... | CALEDONIA | Robin Trower / Chrysalis 2122-F |
| 92 | 100 | [SHE'S JUST A] FALLEN ANGEL | Starz / Capitol P3343-F |
| 93 | ... | HEY BABY | Ringo Starr / Atlantic 3371-P |
| 94 | ... | CAN'T LET A WOMAN | Ambrosia / 20th Century TC2310-T |
| 95 | ... | FANCY DANCER | Commodores / Motown 1408-Y |
| 96 | ... | BE MY GIRL | Dramatics / ABC 12235-T |
| 97 | ... | DARLIN', DARLIN', DARLIN' BABY | Jay / Phila Int'l 3610-H |
| 98 | ... | SAY YOU'LL STAY UNTIL TOMORROW | Tom Jones / Epic 50308-H |
| 99 | ... | MIDNIGHT LOVE AFFAIR | Carol Douglas / Midland Int'l 10753-N |
| 100 | ... | KEEP ME CRYIN' | Al Green / Hi 2319-K |
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Pig & Whistle
The first family of Canada's pub life
CTV's Pig & Whistle family is the only Canadian family who live in a pub.
They've been doing it for more than a decade now, presenting one of Canada's longest-running TV variety shows - a weekly freewheeling and sudsy frolic through everybody's fancy of the mythical Limey and Irish pub.
In mid-December they taped this year's Christmas and St. Patrick's Day special shows, and kept right on celebrating to mark the taping of the 300th programme in the series, produced by CFTO's Glen-Warren Production for the CTV network.
Jerry Rochon, Pig's executive producer since day one, explained in an interview that its creators have always seen the show as a family situation: John Hewer is the father, Kay Turner the mother, and the dancers are the children. Scottish comedian Billy Meek is the interpretive lodger, Anita Scott the crazy aunt, and the Carlton Showband and weekly guests are friends and neighbours.
"If I sat down to create another show, I'd ask myself: What kind of family would I nuclearize?" producer-director John Johnson said, emphasising the success of the family concept.
When they first created the show, Johnson pointed out, entertainment in Canadian pubs was almost unheard of. So was the appearance of drinking on TV. The Pig family used to down British ginger beer on camera, but now are forced to settle for New York State near beer. But it looks real.
Visitors to Toronto often call the CTV offices to find out where the Pig & Whistle are.
Of course, it doesn't exist and nothing like it exists in Britain or Ireland. It's just a successful way to present good-time, old-world music to about a million viewers a week.
"Too many producers produce for critics and people in the industry, Johnson said: "But there is always a place for entertainment for the people."
The mythical British character of the show has been so important to its popularity that during the show's early years they kept it secret that it was created and produced in Canada.
Pig's ratings, Rochon explained, have always been seasonal. Every fall, when viewers are channel hopping to see the season's new shows, Pig's ratings fall. And every year the viewers come back in winter. From December to March it's one of Canada's favourite Canadian-produced variety shows. This year, so far, is no exception.
For the Carlton Showband and six regular dancers, being part of the Pig & Whistle family has been enjoyable steady work.
Dancer Wendy Nicholson, who joined the show four years ago and who dances on others, like CTV's Bobby Vinton Show, said there really is no better TV work in Canada for a dancer. Her mother, Romaine, danced with the show when it started in 1966, and still does.
They like working on the show because it's freewheeling and spontaneous: "Everything is so much friendlier and it all goes so much faster."
"Most television choreography is staged to look good at a distance, but ours is more personal, face-to-face - the interaction of dancers and other performers is more like conversation," choreographer Roland explained.
Roland, who also stages choreography for the Bobby Vinton Show and CTV's Miss Canada and Miss Teen Canada shows, says the loose feeling on the Pig set comes from dancers and other performers stylizing just the sort of things you'd expect from fun-loving amateurs in a neighbourhood pub, only performed by professionals.
Comedian Billy Meek sort of typifies the character of the Pig & Whistle myth. Like so many of the Pig's viewers, Meek came to Canada following World War II. He had performed since childhood in a family act through the music halls of Britain, and like so many other Brits in Canada, had to adjust to a new scene here.
It took him six years to get a Canadian comedy and music act together, and he toured it for 15 years before getting the call from Johnson in 1966. He still tours when the show is not in production.
Johnson says one of the secrets of the show's success is its nostalgia - its dated repertoire. For its first five years all the music was pre-1940. Gradually, they've moved ahead into the war years, and now even include some early '50s material. But he only selects material with a "timeless quality."
Over the past few years he's introduced a little cabaret character into the show, and he sees a gradual shift in that direction for the Pig & Whistle family.
CBC broadcast records are spinning faster
CBC radio's broadcast recordings department has geared up its pop-music activity this year.
CBC's Ann Hunter reports that new recordings by Jackie Richardson, Nancy Dolman, Bev D'Angelo, Marc Jordan, Peter Law, and Diane Brooks are finished or near completion.
Dolman, Jordan and Law have each recorded four of their own compositions, and Jackie Richardson has four songs all arranged by Milan Kimlycka. Diane Brooks taped six tunes and Bev D'Angelo four, three of them originals.
As well, Hunter has set session dates for Gini Grant and Phyllis Cohen. Cohen, an arts writer and scholar, is the daughter of Nathan Cohen, the late arts critic.
## BREAKOUT MARKET ADDITIONS
**HAMILTON**
- CKOC (Nevin Grant)
- Charted
- 2 (1) Tonight's The Night-Rod Stewart
- 37 (36) Car Wash-Rose Royce
- 56 (38) Blinded-Manfred Mann
- * (39) Dreamboat Annie-Heart
- (40) Photo Album-Kristine
**KINGSTON**
- CKW (Gary Mercer)
- Charted
- 5 (1) Feel Like Dancing-Leo Sayer
- 35 Two Lovers-Mary MacGregor
- 43 Weekend In New England-Barry Manilow
- 83 Dazz-Brick
## CROSS CANADA CONTEMPORARY ADDITIONS
**ANTIGONISH**
- CIXF (Dan Dugas)
- * Dreamboat Annie-Heart
- 8 Livin' Thing-ELO
- 16 Somebody To Love-Queen
- * California Girl-Chilliwack
- 10 Rubberband Man-Spinners
**BRIDGEWATER**
- CKBW (Mark Williams)
- * Dancing-Silver Convention
- Take Me Away-Suzanne Stevens
- * Gloria-Enchantment
- 35 Two Lovers-Mary MacGregor
**FREDERICTON**
- CFNB (Bill Scott)
- 4 (1) To Be A Star-McCoo & Davis
- * (35) Little Flowers-Janice Lapointe
- 76 (39) I Like Dreaming-Kenny Nolan
- 35 (40) Two Lovers-Mary MacGregor
**HARRY SOUND**
- CKAF (Scott Warnock)
- 7 (1) Love So Right-Bee Gees
- Charted
- * Rock & Roll-Starland Vocal Band
- 59 What Can I Say-Box Scaggs
- * Seasons-Bob McBride
- * We Had It All-Susan Jacks
- 62 Night Moves-Bob Seger
- * Take Me Away-Suzanne Stevens
**KENTVILLE**
- CKEN (Peter Carter)
- Playlisted
- 43 Weekend-Barry Manilow
- * Let Me Down Easy-Shirley Eikhard
- * China Doll-Ron Baumber
- * Good Lovin Woman-Bryan Way
**RENFREW**
- CKOB (Rick Nelson)
- 2 (1) Tonight's The Night-Rod Stewart
- 8 Livin' Things-ELO
- 48 Take Away The Music-Tavares
- Playlisted
- 32 This Song-George Harrison
- 70 Dance Little Lady-Tina Charles
**ST. CATHARINES**
- CHST (Bob Sherwin)
- 2 (1) Tonight's The Night-Rod Stewart
- 17 I Wish-Stevie Wonder
- 30 Mademoiselle-Styx
- 26 Walk This Way-Aerosmith
**ST. JOHN'S**
- VOCM (John Reynolds)
- 6 (1) Stand Tall-Burton Cummings
- Playlisted
- 15 Nights Are Forever-Dan & Coley
- 14 Lovin'-Englebert Humperdinck
- 41 Ain't Nothing Like-Donny & Marie
- * You're The One-BS&T
- 35 Two Lovers-Mary MacGregor
**TIMMINS**
- CKGB (Ron Conlin)
- 3 (1) The Hardest Word-Elton John
**THOMPSON**
- CHTM (Rick Rymes)
- 6 (1) Stand Tall-Burton Cummings
- 43 Weekend-Barry Manilow
**THUNDER BAY**
- CKPR (B. Mason Dean)
- 5 (1) Feel Like Dancing-Leo Sayer
- 56 Blinded-Manfred Mann
- 63 Alice-Smokie
- 42 Lost Without Your Love-Bread
- 41 The Real Thing-Susan Jacks
- Playlisted
---
## RPM TOP 100 ALBUMS ALPHABETICALLY BY ARTISTS
| Artist | Rank |
|-------------------------------|------|
| Abba | 14 |
| Alman Brothers | 75 |
| Paul Anka | 74 |
| Joan Baez | 85 |
| Keith Jarrie | 82 |
| Bay City Rollers | 30 |
| Beach Boys | 62 |
| Bee Gees | 34 |
| George Benson | 49 |
| Black Sabbath | 48 |
| Blue Oyster Cult | 58 |
| Boston | 11 |
| Eric | 97 |
| Captain & Tennille | 36 |
| Harry Chapin | 42 |
| Chicago | 42 |
| Eric Clapton | 61 |
| Commodores | 57 |
| Alice Cooper | 37 |
| Burton Cummings | 10 |
| England Dan & John Ford Coley| 17 |
| John Denver | 53 |
| DeWayne & Botkin | 18 |
| Doobie Brothers | 5 |
| Bob Dylan | 94 |
| Beatles | 15 |
| Earth, Wind & Fire | 71 |
| Electric Light Orchestra | 6 |
| Fleetwood Mac | 13 |
| Foghat | 91 |
| Peter Frampton | 2 |
| Hall & Oates | 50 |
| Haggard Hardy | 85 |
| George Harrison | 23 |
| Dan Hill | 54 |
| Engelbert Humperdinck | 53 |
| Jackson Browne | 25 |
| Jefferson Airplane | 52 |
| Elton John | 8 |
| KISS & The Sunshine Band | 47 |
| Kiss | 9 |
| Gordon Lightfoot | 10 |
| Loggins & Messina | 100 |
| Little Feat | 5 |
| Melissa Manchester | 66 |
| Chuck Mangione | 92 |
| Barbra Mandeville | 43 |
| McCoy Davis | 51 |
| Murray McLauchlan | 58 |
| Steve Miller Band | 22 |
| John Mitchell | 23 |
| Moxy | 85 |
| Walter Murphy Band | 89 |
| Nazareth | 31 |
| Olivia Newton-John | 69 |
| Ted Nugent | 64 |
| Ohio Players | 56 |
| Ozzy Mountain Daredevils | 73 |
| Parliament | 39 |
| Queen | 28 |
| Ritchie Family | 47 |
| Village People Robinson | 45 |
| Linda Ronstadt | 19 |
| Rose Royce | 76 |
| Diana Ross | 35 |
| Rush | 18 |
| Leo Sayer | 99 |
| Boz Scaggs | 32 |
| Neil Sedaka | 8 |
| Bob Seger | 98 |
| Lynyrd Skynyrd | 60 |
| Philbe Snow | 74 |
| Rod Stewart | 33 |
| Al Stewart | 45 |
| Stills Young Band | 45 |
| Strawbs | 81 |
| Strayland & Kristofferson | 48 |
| Styx | 27 |
| Donna Summer | 21 |
| Supertramp | 20 |
| Symphonic Slam | 80 |
| James Taylor | 84 |
| Robin Trower | 90 |
| Gino Vannelli | 40 |
| Whitesnake | 4 |
| Stevie Wonder | 1 |
| Gary Wright | 33 |
| Frank Zappa | 76 |
| Led Zeppelin | 12 |
*Cross Canada continued on page 31*
| Rank | Artist/Title | Label | Catalog Number | Chart Position |
|------|--------------|-------|----------------|----------------|
| 51 | Marilyn McCoo & Billy Davis - I Hope We Get To Love In Time | ABC | ABCD985-2 | 98 (2) |
| 52 | Jefferson Starship - Spitfire | Grunt | BFL1-1557-N | 43 (23) |
| 53 | Engelbert Humperdinck - After The Lovin' | Epic | PE34301-H | 99 (2) |
| 54 | Dan Hill - Hold On Tight | GRT | 9230-1065-T | 44 (10) |
| 55 | Vicki Sue Robinson - Vicki Sue Robinson | RCA | APL1-1256-N | 46 (8) |
| 56 | Ohio Players - Gold | Mercury | SMI1-1122-Q | 47 (5) |
| 57 | Commodores - Hot On The Tracks | Motown | M6-867-SY-Y | 96 (2) |
| 58 | Murray McLauchlan - Bouquet Of Love | True North | TN25-H | 48 (20) |
| 59 | George Harrison - Best Of | Capitol | ST11578-F | 97 (2) |
| 60 | Lynyrd Skynyrd - One More For The Road | MCA | MC2A-6001-J | 49 (9) |
| 61 | Eric Clapton - No Reason To Cry | RSO | RS13004-Q | 50 (11) |
| 62 | Beach Boys - 15 Big Ones (Reprise) | MS225-1-F | 51 (21) |
| 63 | John Denver - Spiders | APL1-1694-N | 52 (17) |
| 64 | Ted Nugent - Free For All | Epic | TE34121-H | 53 (23) |
| 65 | Dan Hill - Dan Hill (GRT) | 9230-1061-T | 54 (9) |
| 66 | Melissa Manchester - Help Is On The Way | Arista | AL-4058-1 | 100 (2) |
| 67 | Neil Sedaka - The Best Of Neil Sedaka | Polydor | 2383-399-Q | 55 (7) |
| 68 | Joan Baez - Gulf Winds | A&M | SP4603-W | 56 (6) |
| 69 | Olivia Newton-John - Don't Stop Believin' | MCA | MC2223-J | 57 (8) |
| 70 | Rush - 2112 | Mercury | SMI-1-1079-Q | 58 (38) |
| 71 | Earth, Wind & Fire - Spirit | Columbia | PC34241-W | 59 (7) |
| 72 | KC & The Sunshine Band - KC & The Sunshine Band | TKX | DXL1-4010-N | 61 (57) |
| 73 | Ozark Mountain Daredevils - Men From Earth | A&M | SP4601-W | 63 (7) |
| 74 | Phoebe Snow - It Looks Like Show | Columbia | PC34387-P | 79 (5) |
| 75 | Allman Brothers Band - Wipe The Windows, Check The Oil | Capricorn | 2CX0177-P | 80 (4) |
| 76 | Frank Zappa - Zoot Allures | Warner Bros | BS2970-P | 64 (4) |
| 77 | Nazareth - Greatest Hits | A&M | SP9020-W | 65 (6) |
| 78 | Styx - Equinox | A&M | SN4559-W | 81 (3) |
| 79 | Captain & Tennille - Love Will Keep Us Together | A&M | SP3405-W | 85 (3) |
| 80 | Symphonic Slam - Symphonic Slam | A&M | SP9023-W | 66 (14) |
| 81 | Strawbs - Deep Cuts | Oyster | OY1-1603-Q | 67 (7) |
| 82 | Keath Barrie - Reach Out | United Artists | UAL4673C-F | 69 (9) |
| 83 | Harry Chapin - On The Road To Kingdom Come | Elektra | 7ES1082-P | 71 (7) |
| 84 | Supertramp - Crisis What Crisis | A&M | SP4560-W | 72 (33) |
| 85 | Moxy - Moxy II | Polydor | 2480-372-Q | 73 (9) |
| 86 | Haggard Hardy - Maybe Tomorrow | Atco | LAT1011-K | 74 (19) |
| 87 | LTD - Love To The World | A&M | SP4589-W | 75 (8) |
| 88 | Blue Oyster Cult - Agents Of Fortune | Columbia | KC34164-H | 76 (26) |
| 89 | Walter Murphy Band - A Fifth Of Beethoven | Private Stock | PS2015-M | 77 (17) |
| 90 | Robin Trower - Long Misty Days | Chrysalis | CHR1107-F | 78 (9) |
| 91 | Foghat - Night Shift | Bearsville | BR6962-P | 82 (5) |
| 92 | Chuck Mangione - Main Squeeze | A&M | SP4612-W | 83 (6) |
| 93 | Kiss - Alive | Casablanca | NBLT87020-2-M | 84 (9) |
| 94 | Bob Dylan - Hard Rain | Columbia | PC34349-H | 86 (11) |
| 95 | Eagles - Hotel California | Asylum | TE-1079-P | 95 (1) |
| 96 | Rose Royce - Car Wash | MCA | 2.6000-C | 96 (1) |
| 97 | Brick - Good High | Bang | BLP408-N | 97 (1) |
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Genetic Analysis of Sporulation in *Magnaporthe grisea* by Chemical and Insertional Mutagenesis
Zhixin Shi and Hei Leung
Department of Plant Pathology, Washington State University, Pullman, WA 99164-6430, U.S.A.
Received 8 May 1995. Accepted 28 August 1995.
Chemical and plasmid insertional mutagenesis were used to genetically define critical steps in the sporulation pathway of the rice blast fungus. Six mutants with altered conidiogenesis and spore morphology were genetically and phenotypically characterized. Two mutations, designated *con5*⁻ and *con6*⁻, completely abolish conidial production. A series of mutations (*con1*⁻, *con2*⁻, *con4*⁻, and *con7*⁻) downstream from *con5*⁻ and *con6*⁻ affect the development of conidia and reduce sporulation. The *con1*⁻ and *con2*⁻ mutations block early steps in conidiogenesis, resulting in >90% reduction in sporulation and the production of abnormally shaped conidia. The *con2*⁻ mutant is completely aconidial in the dark but produces mostly nonseptate or two-celled conidia under continuous illumination. An independent mutation (*con3*⁻) that regulates light response for sporulation was isolated from the *con2*⁻ mutant. The *con4*⁻ and *con7*⁻ mutants produce conidia of abnormal cell shape and reduce sporulation by approximately 35%. Formation of appressoria, the infection structure required for penetration of plant cells, is blocked in the *con1*⁻ and *con7*⁻ mutants, and reduced by 70 and 22% in the *con2*⁻ and *con4*⁻ mutants, respectively. Pathogenicity on rice is lost in the *con1*⁻ and *con7*⁻ mutants and significantly reduced in the *con2*⁻ and *con4*⁻ mutants. Five mutations (*con1*B⁻, *con4*⁻, *con5*⁻, *con6*⁻, and *con7*⁻) derived from plasmid transformation showed perfect cosegregation with hygromycin B resistance, indicating that the mutations are caused by insertional inactivation. Pairwise crosses between mutants suggested linkages between *CON2* and *CON1* (19 cM apart), and between *CON5* and *CON6*. A schematic sporulation pathway is deduced based on mutant phenotypes and the epistatic relationships among different mutations.
*Additional keywords:* fungal development, *Magnaporthe grisea*, pleiotropy, *Pyricularia*.
*Magnaporthe grisea* (Hebert) Barr comb. nov. (anamorph *Pyricularia grisea*, synonym *P. oryzae*) is an ascomycetous fungus that causes the rice blast disease (Ou 1985). In nature, the fungus propagates almost exclusively by the production of asexual spores (conidia). Conidiogenesis in *M. grisea* is holoblastic (Cole 1986) such that conidia are formed by a “blowing-out” of the conidiophore apex. A septum is then formed to delimit the conidium. The growing apex moves to the side to produce the next conidium, resulting in 3 to 5 conidia borne sympodially on a mature conidiophore. Each conidium is a three-celled structure, and each cell contains an identical, haploid nucleus derived from a common mother nucleus. A single conidium produces conidiophores and a new crop of conidia approximately 48 h and 60 h after germination, respectively.
In the field, infection is initiated when a conidium contacts the leaf surface of a rice plant, then produces a germ tube that forms an appressorium at its end. The appressorium produces an infection peg that penetrates the epidermis (Howard 1994), and subsequent colonization of host cells results in the development of a necrotic lesion. The time between infection and the production of secondary inoculum (latent period) varies from 6 to 8 days depending on the level of compatibility between the fungus and the host. Under 100% relative humidity, the fungus sporulates profusely for the next 3 to 4 days, providing abundant inoculum for the next disease cycle. The severity of disease epidemics is therefore proportional to the amount of colonization of plant tissue and the quantity of spores produced in the lesion (Teng et al. 1991).
Despite the significance of sporulation in plant diseases, few studies have investigated the genetics of sporulation in phytopathogenic fungi (Allermann et al. 1983; Turian 1974; Yang et al. 1991). Most of our understanding of the genetics and molecular biology of sporulation comes from two experimental fungi, *Aspergillus nidulans* (reviewed by Miller 1990; Timberlake 1990; Clutterbuck and Timberlake 1992) and *Neurospora crassa* (reviewed by Springer 1993). Without a direct analysis of the sporulation pathway in a plant pathogen, however, much remains unknown concerning the relationship between sporulation and parasitism. As a prerequisite to developing a sporulation-specific control strategy for rice blast, we began to delineate the sporulation pathway of *M. grisea*. We previously reported a single-gene mutation, designated *con1*⁻, which blocks the development of normal conidia and reduces sporulation by about 97% (Shi and Leung 1994). In this paper, we applied chemical and plasmid insertional mutagenesis to generate additional mutations affecting the sporulation pathway. We have genetically and phenotypically characterized these mutants and propose a genetic pathway of sporulation based on the phenotypes of the mutants and the epistatic relationships among different mutations.
RESULTS
Isolation and phenotypic characterization of mutants.
The origins and relevant characteristics of strains used for mutagenesis are shown in Table 1. Approximately 7,000 survivors obtained after diepoxyoctane mutagenesis were examined using a stereomicroscope. Mutations affecting both the amount of sporulation and vegetative growth were commonly observed; however, only mutants showing near-normal vegetative growth in culture but defective in some aspects of sporulation were examined in detail. The Con1\(^-\) mutant phenotype has been previously described (Shi and Leung 1994) and is included here for comparison purposes (Fig. 1B).
The first mutant isolated from diepoxyoctane mutagenesis was designated Con2\(^-\). This mutant produced conidiophores with swollen apices but no mature conidia under normal incubation conditions (i.e., on the laboratory bench without direct illumination) (Fig. 1C). When incubated under continuous light (see Materials and Methods), the Con2\(^-\) mutant produced conidia that were either single-celled or two-celled (Fig. 1D) in contrast to the three-celled conidia of the wild type (Fig. 1A). Since the Con2\(^-\) mutant appeared aconidial in the dark, we screened for mutations that would restore sporulation in the dark. Mycelial fragments of the original Con2\(^-\) mutant (Guy11-con2) and 23 ascospore progeny of Con2\(^-\) phenotype were spread onto oatmeal agar and incubated in the dark for 4 days. Seven patches that produced abundant conidia were found on the plates of ascospore progeny 1313-64. Single spores were reisolated from these sporulating patches and subcultured to determine if the restored sporulation phenotype was stable. All single-spore cultures showed an identical phenotype. The conidia produced by the reversion mutants were identical to those produced by the Con2\(^-\) mutant under continuous light (Fig. 1E). Thus, the mutation appeared to have changed the ability of the Con2\(^-\) mutant to produce conidia in the dark but not the morphology of the conidia. Single-spore cultures derived from three separate sporulating patches were subjected to genetic analysis (see below).
A total of 800 hygromycin B resistant transformants generated by plasmid transformation were examined for abnormal sporulation. Approximately half of the transformants were derived from restriction enzyme mediated integration (REMI) transformation and the other half from conventional transformation using circular plasmid. From this collection of transformants, five sporulation mutants were recovered. One mutant (GT1) had a phenotype identical to that of the con1\(^-\) mutation (now designated as con1-A\(^-\)) previously described (Shi and Leung 1994) and it was designated as Con1-B\(^-\). Since the Con1-B\(^-\) mutant was independently derived by insertional mutagenesis, it was characterized along with other mutants. The other four mutants, designated Con4\(^-\), Con5\(^-\), Con6\(^-\), and Con7\(^-\), caused abnormal development of either the conidiophores or the spores. The Con4\(^-\) mutant produced ellipsoid conidia (Fig. 1F) compared with the pyriform conidia of the wild type (Fig. 1A). The conidia appeared slightly elongated due to a narrowing of the width of the basal cell. Unlike the conidia of the Con1-B\(^-\) mutant (Fig. 1B), however, the length of the conidia of the Con4\(^-\) mutant seldom exceeded the normal length of a conidium (~25 µm). Another common feature of the Con4\(^-\) mutant was that one or two cells of the three-celled conidium were often devoid of cytoplasm, though conidial germination was apparently not affected. The Con5\(^-\) mutant was completely aconidial; it produced little aerial hyphae and no conidiophores. The Con6\(^-\) mutant produced conidiophores but did not bear any conidia (Fig. 1G). Occasionally, swellings at hyphal tips that resembled conidium initials were found (Fig. 1H). The Con7\(^-\) mutant produced abundant conidiophores that bore near-normal numbers of conidia. Both wild-type and abnormally shaped conidia were observed in the Con7\(^-\) mutant (Fig. 1I–K). The most common type of conidia was slightly elongated with an attenuated tip cell (Fig. 1J). Another unique feature of the Con7\(^-\) mutant was the morphology of the germinated conidia. Instead of producing a threadlike germ tube, the conidia gave rise to stout germ tubes (Fig. 1K).
Table 2 contrasts the morphogenetic features of the sporulation mutants isolated from chemical and insertional mutagenesis. The percentages of conidial germination of Con1-B\(^-\) and Con3\(^-\) were similar to the wild type after 24 h on water agar. Percent germination of the Con2\(^-\) and Con4\(^-\) mutants was less than that of the wild type at 24 h but reached >80% after 48 h. Thus, the lower germination rate was apparently due to a delay in either germination or germling growth rather than non-viability of the spores. All mutants except Con1-B\(^-\) and Con6\(^-\) showed similar or slightly reduced radial growth relative to the parental strain Guy11. The radial growth of the Con1-B\(^-\) and Con6\(^-\) mutants was 73 and 35% of the wild type, respectively.
The effect of light on sporulation varied among the different mutants (Table 2). In general, light is not absolutely required for sporulation in *M. grisea* but the level of sporulation can be increased by 100- to 1,000-fold under continuous light. For example, sporulation in Guy11 was increased by approximately 500-fold after exposure to continuous light for 96 h (Table 2). The Con5\(^-\) and Con6\(^-\) mutants were completely aconidial regardless of illumination. The Con2\(^-\) mutant was aconidial in the dark, but sporulation was restored to about 3% of the wild-type level under continuous illumination. The Con3\(^-\) and Con7\(^-\) mutants had apparently lost the
response to light stimulation and produced abundant spores without direct illumination.
Despite abnormal spore morphology, conidia of the Con2- and Con4- mutants produced appressoria on siliconized slides (Fig. 2C and D). Conidia of the Con3- mutant behaved similarly to those of the Con2- mutant in appressorium formation. The percentage of germlings producing appressoria, however, was significantly reduced relative to the wild type (Table 2). Germlings of the Con1-B- and Con7- mutants produced no appressoria (Fig. 2B and F). Occasionally, the Con6- mutant produced appressorium-like structures at the hyphal tips (Fig. 2E), a characteristic not observed in other mutants or the parental strain.
Four mutants that produced spores (Con1-B-, Con2-, Con4-, Con7-) were tested for pathogenicity on rice line 51583 and Maratelli by spray inoculation and leaf sheath injection (Table 3). The two rice lines used for pathogenicity tests differed in their susceptibility to Guy11. The number of
**Fig. 1.** Morphology of *Magnaporthe grisea* sporulation mutants. (A) Wild type. Three-celled, pyriform conidia of wild type. (B) Con1-. Elongated conidia. (C, D) Con2-. Only conidial initial formed in the absence of direct illumination (C). Under continuous illumination, conidia with single (s) or no septum (ns) are formed (D). (E) Con3-. Conidia formed in the dark. Conidium morphology identical to that of con2. (F) Con4-. Slightly elongated conidia with a narrowing of the basal cell. (G, H) Con6-. Conidiophore only (G). Occasionally, a swollen hyphal tip resembling a conidium initial (H) is formed, but no mature conidia are ever produced. (I-K) Con7-. A variety of spore forms are produced: wild-type-like conidium (I) and conidium with an attenuated tip (J). Conidium with an attenuated tip (a) produces a stout germ tube (gt) shown in (K). Scale bar = 5 μm.
lesions formed on 51583 was consistently higher than that on Maratelli ($P < 0.05$). Six days after spray inoculation, Guy11 produced normal susceptible lesions on the rice plants at two inoculum concentrations ($10^4$ and $10^5$/ml). No lesions were observed on plants inoculated with the Con1-B$^-$ and Con7$^-$ mutants at either spore concentration. At the high concentration ($10^5$/ml) some lesions were produced by the Con2$^-$ and Con4$^-$ mutants but the number of lesions per leaf was significantly less than that produced by Guy11. Furthermore, the development of a mature lesion was delayed about 2 days relative to the wild type. Lesions produced by the Con2$^-$ mutant were approximately the same size as those caused by the wild type (5 to 6 mm long) whereas those produced by the Con4$^-$ mutant were smaller (~3 mm long 7 days after inoculation). Leaf-sheath injection was performed to determine whether pathogenicity of the mutants could be enhanced if the penetration step was bypassed by artificial wounding. The results were similar to those obtained with spray inoculation; both the Con1-B$^-$ and Con7$^-$ mutants were nonpathogenic whereas the Con2$^-$ and Con4$^-$ mutants caused the same type of lesions as in spray inoculation (Table 3). Reduced number of lesions were produced on Maratelli by the Con2$^-$ and Con4$^-$ mutants, reflecting the high level of resistance in Maratelli as observed in the assay with Guy11.
**Genetic analysis of mutant phenotypes.**
The inheritance of the mutant phenotypes was demonstrated by random spore segregation in the F$_1$, sib-cross, and backcross progeny (Table 4). The segregation patterns of the Con1-B$^-$, Con2$^-$, Con4$^-$, and Con5$^-$ phenotypes fitted the 1 wild type/1 mutant ratio, indicating that the mutant phenotypes were under single-gene control. Tetrad analysis conducted for crosses with the Con1-B$^-$, Con2$^-$, Con4$^-$, and Con5$^-$ mutants all confirmed single-gene inheritance (data not shown). In crosses that involved the Con6$^-$ and Con7$^-$ mutants, significant deviations from the expected 1:1 ratio were observed. However, single-gene inheritance was supported by the cosegregation of the mutant phenotypes with hygromycin B resistance (see Table 5 below).
The genetic control of light-sensitivity in the Con3$^-$ mutant was determined by backcrossing the mutant to the wild type and to the Con2$^-$ mutant (Table 6). The Con3$^-$ mutant was distinguished from the Con2$^-$ mutant by the production of abnormal spores without light stimulation. When the Con3$^-$ mutant was crossed to wild type 2539, phenotypes of the random ascospore progeny fell into three categories: wild type, Con2$^-$, and Con3$^-$ (Table 6, cross no. 1323), suggesting that the Con3$^-$ phenotype was not a reversion of the con2 locus but controlled by mutation at an independent locus. To dem-
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**Table 2. Comparison of radial growth, germination, appressorium formation, and sporulation among mutants of Magnaporthe grisea**
| Strain | Phenotype | Spore morphology$^a$ | Radial growth$^b$ | Germination %$^c$ | Appressorium formation %$^x$ | Sporulation ($10^3$/ml)$^g$ |
|--------------|-------------|-----------------------|--------------------|-------------------|-------------------------------|-----------------------------|
| GT1 | Con1-B$^-$ | Elongated | 28.5 ± 0.6 (c) | 80.6 ± 6.3 (b) | 0 | 3.4 ± 1.2 (d) |
| Guy11-con2 | Con2$^-$ | Single or two-celled | 37.6 ± 0.9 (ab) | 62.6 ± 6.4 (d) | 44.4 ± 5.3 (c) | 9.1 ± 5.5 (d) |
| 1313-64-con3-3 | Con3$^-$ | Single or two-celled | 37.5 ± 1.7 (ab) | 75.8 ± 5.1 (bc) | 46.0 ± 7.1 (c) | 121.6 ± 29.0 (a) |
| GT20 | Con4$^-$ | Three-celled, ellipsoid | 36.3 ± 1.5 (b) | 68.6 ± 5.8 (cd) | 66.7 ± 16.1 (b) | 215.6 ± 32.4 (a) |
| GT399 | Con5$^-$ | Aconidial | 39.5 ± 0.6 (a) | NA$^e$ | NA | 0 |
| GT560 | Con6$^-$ | Aconidial | 13.6 ± 1.3 (d) | NA | NA | 0 |
| GT562 | Con7$^-$ | Mixture of abnormal spores | 36.3 ± 1.5 (b) | 80.8 ± 4.4 (ab) | 0 | 113.7 ± 31.2 (a) |
| Guy11 | Wild type | Three-celled, pyriform | 39.3 ± 0.9 (a) | 87.8 ± 7.8 (a) | 89.7 ± 7.5 (a) | 0.28 ± 0.18 (b) |
$^a$ See Figure 1 for details.
$^b$ Radial growth (mm) was measured 9 days after incubation on oatmeal agar at 26°C. Average of four replicates ± standard deviation. Values with same letter in parentheses are not significantly different at $P = 0.05$ level.
$^c$ Germination percent was average of six microscope views (about 50 conidia examined per view) 24 h after spreading conidia on 3% water agar ± standard deviation. Values with same letter in parentheses are not significantly different at $P = 0.05$ level.
$^x$ Percent appressorium formation was average of appressoria formed per germlings observed in three slide preparations. Approximately 100 germlings observed per slide ± standard deviation. Values with same letter in parentheses are not significantly different at $P = 0.05$ level.
$^g$ Sporulation assay was described in detail in the text. Values with same letter in parentheses are not significantly different at $P = 0.05$ level.
$^e$ Not applicable.
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**Fig. 2. Appressorium formation in spore morphology mutants of Magnaporthe grisea.** (A) Appressoria produced by the wild-type strain. (B) No appressorium produced by the Con1$^-$ mutant. (C) The Con2$^-$ mutant produces appressorium. (D) Appressorium produced by the Con4$^-$ mutant. (E) Appressorium-like structure at hyphal tip of the Con6$^-$ mutant. (F) No appressorium formed by the Con7$^-$ mutant. Scale bar = 5 μm.
onstrate that the Con3\(^{-}\) phenotype was a result of double mutations (con2\(^{-}\)/con3\(^{-}\)), a cross was made between the Con3\(^{-}\) mutant and a Con2\(^{-}\) strain. A 1:1 segregation of Con2\(^{-}\) and Con3\(^{-}\) phenotypes in random ascospore progeny was observed (Table 6, cross no. 1327), confirming that the Con3\(^{-}\) phenotype involves a locus different from the con2\(^{-}\) gene.
To determine whether the loss of light sensitivity in the Con7\(^{-}\) mutant was controlled by the con7\(^{-}\) gene, progeny from cross 1540 (GT562 × 2539 in Table 4) were assayed for sporulation with and without light stimulation. Clear segregation of light sensitivity was not observed due to the variability in sporulation among the segregating progeny (data not shown).
**Evidence that mutant phenotypes were caused by insertional inactivation.**
The mutations obtained from transformation might have arisen either by insertion of pAN7-2 into the corresponding loci or by spontaneous mutations of these genes during or after the transformation process. Cosegregation between hygromycin B resistance and a mutant phenotype would indicate that the mutation was caused by insertion of pAN7-2 into the corresponding loci. It is possible to have hygromycin B resistance associated with wild-type progeny in the case of multiple plasmid integrations. Perfect cosegregations of mutant phenotypes with hygromycin B resistance were observed for con1-B\(^{-}\), con4\(^{-}\), con5\(^{-}\), con6\(^{-}\), and con7\(^{-}\) mutations, indicating that all five genes were caused by the insertion of pAN7-2 (Table 5). No wild-type progeny with hygromycin B resistance were recovered from these crosses, suggesting that only a single site was inserted in each of the mutant transformants.
Southern blot analysis was conducted to determine the integration pattern in each of the five insertional mutants. Genomic DNA of the mutant parents was digested with ApaI and EcoRI. Since there is no ApaI recognition site within pAN7-2, the number of hybridization bands would indicate the number of integration sites. When ApaI-digested DNA was probed with pAN7-2, a single hybridization band was detected for each insertional mutant (Fig. 3A, lanes 1–5), thus confirming our genetic interpretation that all five mutants were caused by single-site integrations. The sizes of the bands were different for all five insertional mutants, providing evidence that the inactivated genes are at different loci of the genome. Southern analysis of EcoRI-digested DNA further indicated that all mutants were caused by single-copy insertions (Fig. 3B). Since there are two EcoRI sites in pAN7-2, EcoRI-digested DNA gave the internal fragments of either 2.4 kb (con5\(^{-}\), con4\(^{-}\), and con1-B\(^{-}\) in lanes 3, 4, and 5, respectively) or 6.8 kb (con7\(^{-}\) and con6\(^{-}\) in lanes 1 and 2, respectively). The additional bands of varying sizes in each mutant were flanking hybrid fragments. The con5\(^{-}\) mutant gave only one flanking fragment of approximately 1 kb, suggesting a possible deletion of a portion of the inserted plasmid; alternatively, small fragments may have run off the gel. Cosegregations between plasmid integrations and mutant phenotypes were demon-
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**Table 4. Inheritance of sporulation mutations of Magnaporthe grisea**
| Mutation | Cross no. | Cross type | Random spore progeny |
|----------|-----------|------------|----------------------|
| | | (mutant x WT)\(^a\) | WT | Mutant | \(X^2\)\(^b\) |
| Con1-B\(^{-}\) | 1521 | GT-1 × 2539 | 43 | 30 | 2.32 |
| Con2\(^{-}\) | 1313 | Guy11-con2 × 2539 | 86 | 72 | 1.24 |
| | 1318 | 1313-45 × 2539 | 33 | 38 | 0.35 |
| | 1319 | 1313-37 × 2539 | 44 | 32 | 1.89 |
| | 1320 | 1313-16 × Guy11 | 28 | 36 | 1.00 |
| Total | | | 191 | 178 | 0.46 |
| Con4\(^{-}\) | 1522 | GT-20 × 2539 | 30 | 30 | 0.00 |
| | 1525 | 1522-12 × 2539 | 20 | 14 | 1.06 |
| | 1526 | 1522-14 × 2539 | 10 | 6 | 1.00 |
| | 1527 | 1522-22 × 1522-27 | 7 | 5 | 0.33 |
| Total | | | 67 | 55 | 1.18 |
| Con5\(^{-}\) | 1531 | GT-399 × 2539 | 55 | 34 | 4.96\(^c\) |
| | 1534 | 1531-71 × 1537-66 | 13 | 14 | 0.04 |
| | 1535 | 1531-71 × 1531-68 | 21 | 20 | 0.02 |
| | 1537 | 1531-78 × 2539 | 12 | 42 | 16.67\(^c\) |
| Total | | | 101 | 110 | 0.38 |
| Con6\(^{-}\) | 1539 | GT560 × 2539 | 50 | 14 | 20.25\(^d\) |
| Con7\(^{-}\) | 1540 | GT562 × 2539 | 24 | 44 | 5.88\(^e\) |
\(^a\) WT = wild type.
\(^b\) Tested against 1:1 ratio.
\(^c\) Significant at \(P = 0.05\).
\(^d\) Significant at \(P = 0.01\).
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**Table 5. Cosegregation between hygromycin B resistance and mutant phenotypes in progeny of tagged mutants of Magnaporthe grisea**
| Mutant | No. of crosses | Number of ascospore progeny\(^z\) |
|--------|----------------|-----------------------------------|
| | | Hyg R/Mutant | Hyg R/WT | Hyg S/Mutant | Hyg S/WT |
| Con1-B\(^{-}\) | 1 | 30 | 0 | 0 | 43 |
| Con4\(^{-}\) | 6 | 94 | 0 | 0 | 99 |
| Con5\(^{-}\) | 7 | 177 | 0 | 0 | 101 |
| Con6\(^{-}\) | 6 | 136 | 0 | 0 | 50 |
| Con7\(^{-}\) | 5 | 126 | 0 | 0 | 24 |
\(^z\) Hyg R = hygromycin B resistant, Hyg S = hygromycin B sensitive, WT = wild type.
onstrate that the Con3\(^{-}\) phenotype was a result of double mutations (con2\(^{-}\)/con3\(^{-}\)), a cross was made between the Con3\(^{-}\) mutant and a Con2\(^{-}\) strain. A 1:1 segregation of Con2\(^{-}\) and Con3\(^{-}\) phenotypes in random ascospore progeny was observed (Table 6, cross no. 1327), confirming that the Con3\(^{-}\) phenotype involves a locus different from the con2\(^{-}\) gene.
To determine whether the loss of light sensitivity in the Con7\(^{-}\) mutant was controlled by the con7\(^{-}\) gene, progeny from cross 1540 (GT562 × 2539 in Table 4) were assayed for sporulation with and without light stimulation. Clear segregation of light sensitivity was not observed due to the variability in sporulation among the segregating progeny (data not shown).
**Evidence that mutant phenotypes were caused by insertional inactivation.**
The mutations obtained from transformation might have arisen either by insertion of pAN7-2 into the corresponding loci or by spontaneous mutations of these genes during or after the transformation process. Cosegregation between hygromycin B resistance and a mutant phenotype would indicate that the mutation was caused by insertion of pAN7-2 into the corresponding loci. It is possible to have hygromycin B resistance associated with wild-type progeny in the case of multiple plasmid integrations. Perfect cosegregations of mutant phenotypes with hygromycin B resistance were observed for con1-B\(^{-}\), con4\(^{-}\), con5\(^{-}\), con6\(^{-}\), and con7\(^{-}\) mutations, indicating that all five genes were caused by the insertion of pAN7-2 (Table 5). No wild-type progeny with hygromycin B resistance were recovered from these crosses, suggesting that only a single site was inserted in each of the mutant transformants.
Southern blot analysis was conducted to determine the integration pattern in each of the five insertional mutants. Genomic DNA of the mutant parents was digested with ApaI and EcoRI. Since there is no ApaI recognition site within pAN7-2, the number of hybridization bands would indicate the number of integration sites. When ApaI-digested DNA was probed with pAN7-2, a single hybridization band was detected for each insertional mutant (Fig. 3A, lanes 1–5), thus confirming our genetic interpretation that all five mutants were caused by single-site integrations. The sizes of the bands were different for all five insertional mutants, providing evidence that the inactivated genes are at different loci of the genome. Southern analysis of EcoRI-digested DNA further indicated that all mutants were caused by single-copy insertions (Fig. 3B). Since there are two EcoRI sites in pAN7-2, EcoRI-digested DNA gave the internal fragments of either 2.4 kb (con5\(^{-}\), con4\(^{-}\), and con1-B\(^{-}\) in lanes 3, 4, and 5, respectively) or 6.8 kb (con7\(^{-}\) and con6\(^{-}\) in lanes 1 and 2, respectively). The additional bands of varying sizes in each mutant were flanking hybrid fragments. The con5\(^{-}\) mutant gave only one flanking fragment of approximately 1 kb, suggesting a possible deletion of a portion of the inserted plasmid; alternatively, small fragments may have run off the gel. Cosegregations between plasmid integrations and mutant phenotypes were demon-
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**Table 4. Inheritance of sporulation mutations of Magnaporthe grisea**
| Mutation | Cross no. | Cross type | Random spore progeny |
|----------|-----------|------------|----------------------|
| | | (mutant x WT)\(^a\) | WT | Mutant | \(X^2\)\(^b\) |
| Con1-B\(^{-}\) | 1521 | GT-1 × 2539 | 43 | 30 | 2.32 |
| Con2\(^{-}\) | 1313 | Guy11-con2 × 2539 | 86 | 72 | 1.24 |
| | 1318 | 1313-45 × 2539 | 33 | 38 | 0.35 |
| | 1319 | 1313-37 × 2539 | 44 | 32 | 1.89 |
| | 1320 | 1313-16 × Guy11 | 28 | 36 | 1.00 |
| Total | | | 191 | 178 | 0.46 |
| Con4\(^{-}\) | 1522 | GT-20 × 2539 | 30 | 30 | 0.00 |
| | 1525 | 1522-12 × 2539 | 20 | 14 | 1.06 |
| | 1526 | 1522-14 × 2539 | 10 | 6 | 1.00 |
| | 1527 | 1522-22 × 1522-27 | 7 | 5 | 0.33 |
| Total | | | 67 | 55 | 1.18 |
| Con5\(^{-}\) | 1531 | GT-399 × 2539 | 55 | 34 | 4.96\(^c\) |
| | 1534 | 1531-71 × 1537-66 | 13 | 14 | 0.04 |
| | 1535 | 1531-71 × 1531-68 | 21 | 20 | 0.02 |
| | 1537 | 1531-78 × 2539 | 12 | 42 | 16.67\(^c\) |
| Total | | | 101 | 110 | 0.38 |
| Con6\(^{-}\) | 1539 | GT560 × 2539 | 50 | 14 | 20.25\(^d\) |
| Con7\(^{-}\) | 1540 | GT562 × 2539 | 24 | 44 | 5.88\(^e\) |
\(^a\) WT = wild type.
\(^b\) Tested against 1:1 ratio.
\(^c\) Significant at \(P = 0.05\).
\(^d\) Significant at \(P = 0.01\).
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**Table 5. Cosegregation between hygromycin B resistance and mutant phenotypes in progeny of tagged mutants of Magnaporthe grisea**
| Mutant | No. of crosses | Number of ascospore progeny\(^z\) |
|----------|----------------|-----------------------------------|
| | | Hyg R/Mutant | Hyg R/WT | Hyg S/Mutant | Hyg S/WT |
| Con1-B\(^{-}\) | 1 | 30 | 0 | 0 | 43 |
| Con4\(^{-}\) | 6 | 94 | 0 | 0 | 99 |
| Con5\(^{-}\) | 7 | 177 | 0 | 0 | 101 |
| Con6\(^{-}\) | 6 | 136 | 0 | 0 | 50 |
| Con7\(^{-}\) | 5 | 126 | 0 | 0 | 24 |
\(^z\) Hyg R = hygromycin B resistant, Hyg S = hygromycin B sensitive, WT = wild type.
Table 6. Inheritance of Con3\(^{-}\) mutation recovered from a Con2\(^{-}\) strain of *Magnaporthe grisea*
| Cross number | Parents | Predicted genotype | Random spore progeny | Expected ratio | \(X^2\) |
|--------------|--------------------------|-----------------------------|----------------------|----------------|--------|
| | | | WT\(^a\) | Con2\(^{-}\) | Con3\(^{-}\) | |
| 1323 | 1313-64-con3-3 × 2539 | con2\(^{-}\)/con3\(^{-}\) × CON2\(^{+}\)/CON3\(^{+}\) | 34 | 24 | 22 | 2:1:1 | 1.90 |
| 1327 | 1313-64-con3-3 × 1313-21 | con2\(^{-}\)/con3\(^{-}\) × con2\(^{-}\)/CON3\(^{+}\) | 0 | 41 | 44 | 0:1:1 | 0.11 |
\(^a\) Wild type.
**Fig. 3.** Southern analysis of insertional mutants of *Magnaporthe grisea*. (A) *Apal*-digested DNA from five mutants. Lanes 1, 2, 3, 4, and 5 contain DNA of con7\(^{-}\), con6\(^{-}\) con5\(^{-}\), con4\(^{-}\), and con1-B\(^{-}\) mutants, respectively. (B) *EcoRI*-digested DNA of the same mutants as in (A). (C) Cosegregation between integration pattern with mutant phenotype. *EcoRI*-digested DNA from hygromycin B resistant/con4\(^{-}\) progeny and hygromycin B sensitive/wild type (wt) progeny from a cross between the con4\(^{-}\) mutant and Guy11. pAN7-2 is used as hybridization probe in all cases. The right-hand most lanes in panels A and B contain linearized pAN7-2, and the 6.8 and 2.4 kb *EcoRI* fragments as size markers.
strated in all mutant crosses (data not shown). As an illustration, Southern analysis of progeny from a con4 \(\times\) wild type cross is shown in Fig. 3C.
**Epistatic relationship among mutations.**
All identified mutants were intercrossed to determine the epistatic relationships among the loci. However, not all crosses were fertile, and hence the order of some of the genetic blocks was inferred based on the phenotypes of the mutants.
Repeated attempts to cross GT1 (con1-B\(^{-}\)) with Guy11-con2 (con2\(^{-}\)) were not successful; hence an analysis of crosses between Guy11E46 (con1-A\(^{-}\)) and two con2\(^{-}\) strains was conducted, recognizing that the allelic relationship between con1-A\(^{-}\) and con1-B\(^{-}\) has not been genetically proven. Progeny obtained from crosses between con1-A\(^{-}\) and con2\(^{-}\) strains gave three phenotypes: wild type, Con1-A\(^{-}\), and Con2\(^{-}\). Since the con1-A\(^{-}\) (as well as con1-B\(^{-}\)) strain exhibited a light pigmentation on agar medium (Shi and Leung 1994), this provided an additional marker to identify the double mutants (con1-A\(^{-}\)/con2\(^{-}\)). All double mutants showed the Con2\(^{-}\) phenotype suggesting that con2\(^{-}\) was epistatic to con1-A\(^{-}\). However, in both crosses (Table 7, crosses 1325 and 1326), the ratio of wild type/Con1-A\(^{-}\)/Con2\(^{-}\) progeny deviated significantly from the expected 1:1:2 segregation ratio. The deviation was caused by a deficit in wild-type recombinants and an excess of the parental types, suggesting possible linkage between the two loci (see linkage relationship below). Using the same approach, the epistatic relationships among con5\(^{-}\), con6\(^{-}\), and con7\(^{-}\) were determined (Table 7). Similar to the con1-A\(^{-}\) \(\times\) con2\(^{-}\) crosses, an excess of parental types was observed in progeny of con5\(^{-}\) \(\times\) con6\(^{-}\) crosses, presumably due to linkage between the two genes (see below). Since the con5\(^{-}\) mutant lacks conidiophores, it is almost certain that CON5 functions upstream of the other genes. The interrelationships among con1\(^{-}\), con4\(^{-}\), and con7\(^{-}\) remain unclear due to infertility of the crosses between these mutants.
**Linkage relationship.**
Although a systematic linkage analysis of all the mutations was not made, pairwise crosses conducted for the epistasis analysis allowed us to detect linkages in two pairs of loci. Crosses between con1-A\(^{-}\) and con2\(^{-}\) (crosses 1325 and 1326 in Table 7) yielded significantly fewer wild-type progeny than expected if the two genes were unlinked. The segregation data suggested that the CON1 and CON2 loci were about 19 cM apart. To further determine whether CON1 and CON2 were linked, a random amplified polymorphism DNA (RAPD) marker L-20 that was previously mapped 20 cM from CON1
Table 7. Epistatic relationships between sporulation mutations of *Magnaporthe grisea*
| Locus pair | Cross no. | Parents | Genotypes | No. of random spore progeny | Expected ratio | $X^2$ |
|------------|-----------|------------------|------------------------------------------------|-----------------------------|----------------|------|
| | | | | WT$^q$ | Mutant | |
| con2/con1 | 1325 | 1313-16 × Guy11E46$^s$ | con2$^{-}$CON1$^{+}$ × CON2$^{+}$con1$^{-}$ | 8 | 45$^t$ | 35$^u$ | 1:2:1 | 16.61$^v$ |
| | 1326 | 1313-36 × Guy11E46 | con2$^{-}$CON1$^{+}$ × CON2$^{+}$con1$^{-}$ | 2 | 12$^t$ | 12$^u$ | | 7.85$^w$ |
| con5/con6 | 1543 | 1539-50 × GT399 | CON5$^{+}$con6$^{-}$ × con5$^{-}$CON6$^{+}$ | 6 | 22$^x$ | 26$^y$ | 1:2:1 | 16.67$^v$ |
| | 1548 | 1539-42 × GT399 | CON5$^{+}$con6$^{-}$ × con5$^{-}$CON6$^{+}$ | 0 | 24$^x$ | 23$^y$ | | 22.53$^x$ |
| con5/con7 | 1544 | 1540-22 × GT399 | CON5$^{+}$con7$^{-}$ × con5$^{-}$CON7$^{+}$ | 10 | 21$^x$ | 7$^z$ | 1:2:1 | 0.89 |
| con6/con7 | 1542 | 1539-5- × GT562 | con6$^{-}$CON7$^{+}$ × CON6$^{+}$con7$^{-}$ | 9 | 19$^y$ | 11$^z$ | 1:2:1 | 0.33 |
| | 1547 | 1540-22 × GT560 | CON6$^{+}$con7$^{-}$ × con6$^{-}$CON7$^{+}$ | 17 | 13$^y$ | 5$^z$ | | 9.78$^y$ |
| | 1549 | 1539-42 × GT562 | con6$^{-}$CON7$^{+}$ × CON6$^{+}$con7$^{-}$ | 18 | 33$^y$ | 10$^z$ | | 2.51 |
$q$ Wild type.
$r$ Tested against 1:2:1 ratio, 2 df.
$s$ Guy11E46 carries the con1-A allele.
$^t$ Con2$^{-}$.
$^u$ Con1$^{-}$
$v$ Significant at 0.01.
$^w$ Significant at 0.05.
$x$ Con5$^{-}$.
$^y$ Con6$^{-}$.
$^z$ Con7$^{-}$.
(Shi and Leung 1994) was used to test for linkage with the CON2 locus. Based on analysis of 70 progeny, the L-20 marker was found to be 1.7 cM from CON2, confirming the linkage between CON1 and CON2. Segregation patterns from crosses between CON5 and CON6 also suggested linkage between the two loci but the genetic distance could not be estimated because the proportion of con5$^{-}$/con6$^{-}$ mutants was not known. This linkage relationship is considered tentative until additional markers are available to confirm the linkage.
**DISCUSSION**
Since the development of fertile mating strains in *M. grisea* (Kato and Yamaguchi 1982; Kolmer and Ellingboe 1988; Leung et al. 1988; Valent et al. 1991; Yaegashi 1977), the rice blast fungus has attracted much attention as a model organism for investigating host-pathogen interactions (Valent and Chumley 1991). *Magnaporthe grisea* not only has the advantages of a genetic system similar to *Neurospora crassa* but offers opportunities for the investigation of pathogenesis not possible in experimental fungi. Thus far, most work has focused on the early infection and recognition events (Lee and Dean 1993; Leong et al. 1994; Valent and Chumley 1994). A number of genes controlling cultivar and host specificity have been cloned (Valent and Chumley 1994); however, limited work has been done on other developmental processes that may have an important bearing on pathogenesis. Hamer et al. (1989) identified the first spore morphogenesis mutation called smo (for spore morphology). Mutation at the SMO locus causes irregular spore shape and reduces pathogenicity (Hamer and Givan 1990). Because of the importance of sporulation in a disease epidemic, we began investigating the genes controlling the sporulation pathway as a first step toward identifying target genes for intervention (Leung and Shi 1994; Shi and Leung 1994). In this study, we applied chemical and plasmid insertional mutagenesis to identify six genes controlling morphogenetic development and one gene controlling the response of sporulation to light.
Each sporulation mutant described in this study has a characteristic profile of morphogenetic defects (Fig. 4). The con5$^{-}$ mutation causes no reduction in radial growth but produces sparse aerial hyphae and completely blocks the formation of conidiophores. Though reduced in radial growth, the con6$^{-}$ mutant produces abundant conidiophores and aerial hyphae. The con7$^{-}$ mutation differs from con1$^{-}$ in that the development of the spores appears to be more advanced in the con7$^{-}$ mutant. Sporulation is only reduced by 35% in the con7$^{-}$ mutant relative to the wild type and some normally shaped spores are formed. Regardless of spore shape, conidia of both con7$^{-}$ and con1$^{-}$ mutants do not form appressoria. The con4$^{-}$ mutant produces ellipsoid conidia but retains the ability to form appressoria. Conidia of the con2$^{-}$ mutant are morphologically deformed and the ability to form appressoria is significantly reduced. Unlike others who have studied the smo$^{-}$ mutations that also affect ascus cell shape (Hamer et al. 1989), we have not observed any deformation of asci in crosses involving any two mutants generated in this study.
We have genetically demonstrated that CON5 is epistatic to CON6 and CON7. For unknown reasons, we were unable to...
cross the con1-B mutant to a large number of con2- strains. Based on analysis of the con1-A mutant, and assuming allelism between con1-A and con1-B, we infer that CON2 is epistatic to CON1. Thus, the available genetic data suggest two sequences of mutational blocks: con5 > con6 > con7, and con2 > con1. Since the mutation at CON6 blocks the production of conidia, we infer CON6 to be upstream of CON2. Judging from the relative degree of conidial development, we would predict CON2 to be upstream of CON4 and CON7. However, it is possible that conidiogenesis is controlled by more than a single linear pathway, in which case interactions between two mutant genes may produce novel phenotypes. Indeed, the lack of sexual fertility between these mutants suggests that interactions between these mutant genes may affect normal sexual development. Thus, without genetic data, it is not possible to predict the interactions among con1-, con2-, con4-, and con7-, which all affect similar stages in spore morphogenesis. The interactions between these genes are being investigated by gene replacement to bypass the infertility barrier.
It is interesting to note that the mutations that yield the Con1-A- phenotypes have been isolated on several occasions. An ascospore culture having the Con1-A- spore morphology was recovered among progeny derived from a sexual cross (T. Chow and A. Ellingboe, personal communication). This mutant does not produce appressoria and is nonpathogenic to rice by either spray or wound inoculation (H. Leung, unpublished data). Insertional mutagenesis of strain 2539 also yielded a tagged mutant with phenotypes and pleiotropy identical to the con1-A- and con1-B- mutations (Y. Shi and H. Leung, unpublished data). It is possible that the CON1 locus is situated in a region of the genome that is inherently unstable. Linkage analysis showed that four RAPD markers and the CON2 locus mapped to one side of CON1 (Leung and Shi 1994). Whether CON1 is located near a telomere has yet to be determined by additional mapping. The available restriction fragment length polymorphism map made from a cross of the same parentage (Guy11 × 2539) will facilitate mapping of the CON1 locus (Skinner et al. 1993).
Pathogenicity analysis of the morphogenesis mutants further demonstrates the critical role of appressoria in the infection process (see review by Howard 1994). Howard et al. (1991) showed that the build-up of turgor pressure in an appressorium was essential for the penetration of synthetic membranes and host epidermis. It is possible that even minor defects in the appressorial structure could lead to loss of turgor pressure and consequently a reduced ability to penetrate the host. The spore morphology (smo-) mutants analyzed by Hamer and Givan (1990) exhibited a reduction in pathogenicity that was attributed to the formation of abnormal appressoria. Talbot et al. (1993) isolated a gene, designated MPG-1 (Magnaporthe pathogenicity gene), responsible for the production of hydrophobins. Mutation at MPG-1 results in deficiency in appressorium formation and an 80% reduction in lesion formation on rice. Gene expression analysis showed that MPG-1 was expressed during appressorium formation and during the later stage of pathogenesis when lesions were developed. Talbot et al. (1993) suggested that the MPG1 protein plays an important role in the early elaboration of the infection structure. Recently, Mitchell et al. (1994) showed that M. grisea can be rendered nonpathogenic when appressorium formation was abolished by the inactivation of a cAMP-dependent protein kinase that is presumably responsible for signaling appressorium formation. In this study, we found that appressorium formation was closely correlated with the level of pathogenicity. The con2- and con4- mutants both exhibited a reduced ability to produce appressorium. A corresponding reduction in pathogenicity was manifested as a low number of lesions and a slow rate of lesion development (Table 3). As predicted by the inability to form appressoria, both the con1- and con7- mutants were nonpathogenic to rice as assayed by spray inoculation. Pathogenicity, however, was not restored when spores were injected into the leaf sheath (i.e. inoculation by wounding). This suggests that the loss of pathogenicity in the con1- and con7- mutants is not only caused by the lack of appressorium formation but by other processes of fungal development after penetration. The accumulated evidence suggests that mutations affecting spore morphogenesis in general have a strong pleiotropic effect on pathogenesis. The sporulation mutants analyzed in this study exhibit normal growth in culture media but a total loss of, or a significant reduction in, pathogenicity. We expect that the morphogenetic defects are greatly exacerbated in planta when the mutant confronts host defenses and the physical constraints inside plant cells. In a broad sense, the morphogenetic genes are pathogenicity factors as they are essential for normal fungal development and subsequent propagation in the plant. The available series of mutants will allow us to systematically evaluate the functional relationships between morphogenetic development and pathogenesis.
In characterizing the sporulation mutants, we have identified two mutations that result in an altered response to light. The con3- mutation was recovered as a reversion to a high level of sporulation in a con2- genetic background. The con3- mutant produces a large quantity of spores in the dark (Table 2). Genetic analysis showed that con3- is not a suppressor mutation affecting morphogenesis but a gene regulating sporulation in response to light. The con3- gene in M. grisea appears to be analogous to the velvet (ve) gene in A. nidulans, in which a mutation in the ve gene (veA1) results in sporulation without light induction (Mooney and Yager 1990). Like the con3- mutation, the con7- mutant produces similar amount of spores in the dark and in the light. We were unable to demonstrate clear cosegregation between con7 and loss of light responsiveness because of the variability of sporulation in a segregating population. However, results from gene replacement experiments suggested that the altered light response observed in the mutant is an inherent property of the con7- gene. When the retrieved mutant gene was introduced into wild-type strains, the gene-replaced mutants produced as many spores in the dark as in the light (H. Leung, Z. Shi, and D. Christian, unpublished data). Delineation of the regulatory role of the CON7 gene on morphogenesis and responsiveness to light is in progress.
Since the demonstration of insertional mutagenesis by REMI transformation in Dictyostelium discoideum (Kuspa and Loomis 1992), applications of this gene tagging approach have been reported in some filamentous fungi (Lu et al. 1994; Valent et al. 1994). From a collection of 1,310 transformants of Cochliobolus heterostrophus, Lu et al. (1994) recovered two toxin nonproducing mutants in which the Tox1 locus was tagged by plasmid insertions. Valent et al. (1994) reported that four pathogenicity genes in M. grisea have been cloned.
by insertional mutagenesis. From a collection of 800 transformants, we identified five transformants defective in sporulation as a result of insertional inactivation by pAN7-2. Southern analysis showed that these mutations are caused by single-site insertions and cosegregation between integration patterns with morphogenetic phenotypes was confirmed in the progeny. Thus, the overall efficiency of identifying tagged mutants involved in the sporulation pathway is approximately 0.6% (5/800). This is similar to the frequency (0.4%) observed in the isolation of developmental mutations in *D. discoideum* (Kuspa and Loomis 1992) and to the frequency of recovering pathogenic mutants in *M. grisea* (J. Sweigard and B. Valent, DuPont Co., personal communication).
Insertional mutagenesis offers a number of advantages over conventional mutagenesis. In contrast to chemical mutagenesis, in which multiple hits leading to secondary mutations are common, insertional mutants are often caused by single-site integrations. In all the primary mutants examined in this study, the mutant phenotypes were caused by single-gene inactivations. Since mutant phenotypes can be precisely confirmed by cosegregation with hygromycin B resistance, insertional mutagenesis allows for the detection of mutations that have small or subtle effects on the target phenotype. Using this approach, we have tagged mutations that have quantitative effects on pathogenicity (Y. Shi and H. Leung, unpublished data). Such mutations would have been difficult to define without the aid of cosegregation analysis with hygromycin B resistance. The most important advantage of insertional mutagenesis is the ease with which tagged genes can be retrieved from the mutant genome by plasmid rescue. We have retrieved plasmids containing the tagged sequences of the *con4* and *con7* genes and confirmed the identity of the cloned sequences by gene replacement (H. Leung and Z. Shi, unpublished data).
Sporulation in phytopathogenic fungi has long been considered a fitness trait measured quantitatively as an epidemiological parameter (Teng et al. 1991). We have identified a series of mutations that block critical steps in the sporulation pathway (*con5*- and *con6*-*) and/or reduce the sporulation capacity (*con1*, *con2*, *con4*, and *con7*). Most of the sporulation mutants are deficient in other attributes important in pathogenesis (e.g., appressorium formation, ability to colonize host cells, and rate of lesion development). These genetic defects are epidemiologically significant as they affect the capacity of the pathogen to sustain multiple infection cycles in an epidemic. Thus, mutational analysis has enabled us to define an important component of parasitic fitness in precise genetic terms. It is known that rice varieties with partial resistance to blast show a reduction in the number of lesions, lesion size, and sporulation (Yeh and Bonman 1986). Recently, Wang et al. (1994) showed that quantitative loci in the rice plant may affect lesion size and number and thus influence the overall sporulation of the fungus. Our practical objective in delineating the sporulation pathway in *M. grisea* is to interfere with the sporulation process as a means of reducing the disease below an economic threshold. The distinct developmental defects exhibited by the mutants offer opportunities to selectively block critical steps in the pathogenesis pathway. Future work will elucidate the structure and function of these sporulation genes so that their products can be used as targets for suppressing disease.
**MATERIALS AND METHODS**
**Strains and media.**
The origins and characteristics of parental strains and mutants used in this study are listed in Table 1. Cultures of the fungus were routinely maintained on oatmeal agar (50 g oatmeal per liter of water). For long-term preservation, pieces of Whatman No. 1 filter paper (4 mm²) colonized by mycelia were kept in a desiccator at −20°C. For DNA extraction, cultures were grown in liquid complete medium (Crawford et al. 1986) with constant shaking at ambient temperature (24 to 26°C) for 5 days. Mycelia were harvested by filtration through a layer of Miracloth (Calbiochem, La Jolla, CA), washed with distilled water, frozen in a −70°C freezer, and lyophilized.
**Chemical mutagenesis.**
Conidia of Guy11 were harvested from oatmeal plates by washing with 0.06 M phosphate buffer, pH 7.0. The conidial suspension (0.5 to 1 × 10⁷ spore/ml) was incubated in 100 mM diepoxyoctane (Aldrich Chemical, Milwaukee, WI) in potassium phosphate buffer for 60 to 120 min (Chumley and Valent 1990). Approximately 10% survival was obtained after 70 to 75 min incubation. Conidia were spun down by centrifugation and washed two times with phosphate buffer. The conidial suspension was plated onto complete medium and surviving colonies were transferred to oatmeal agar for examination using a stereomicroscope.
**Insertional mutagenesis by plasmid transformation.**
The basic principle of insertional mutagenesis by integrative transformation has been described by Kuspa and Loomis (1992). The transformation procedure for *M. grisea* was as described by Leung et al. (1990) except that 20% sucrose instead of 1.2 M sorbitol was used as osmoticum. pAN7-2, a 9.2-kb integrative plasmid containing the *Escherichia coli* hygromycin B phosphotransferase gene linked to *Aspergillus nidulans* regulatory sequences (Punt et al. 1987), was used in transformation. To enhance transformation frequency, the method of REMI as described by Schiestl and Petes (1991) and Kuspa and Loomis (1992) was followed. We have previously shown an increase in transformation frequency by using pAN7-2 linearized with a restriction enzyme and incorporating the same enzyme into the transformation mixture (Shi et al. 1995). In REMI transformation, pAN7-2 was linearized with *BamHI*. Depending on the experiments, approximately 10 to 20 units of *BamHI* was mixed with the linearized plasmid in 125-μl osmotic buffer, and added to the protoplast suspension to a final concentration of 40 to 80 units of *BamHI* per ml of transformation mixture. Transformants obtained from circular plasmid or REMI transformation were screened for developmental mutations using a stereomicroscope.
**Crossing and genetic analysis.**
Crosses were made by pairing two strains on oatmeal agar in a 6-cm-diameter petri plate, incubated at 20°C in the dark for 20 to 25 days. Random ascospores and complete tetrads were obtained as described (Leung and Williams 1985). Random ascospore progeny were described by a cross number followed by an ascospore number. Crosses were made between mutants and wild-type 2539. Segregation ratios observed in F₁ progeny were confirmed by backcrosses and sib-
crosses. Genetic nomenclature followed that recommended by
Yoder et al. (1986) and Chumley and Valent (1990). Sporula-
tion mutants and the loci defined by genetic analyses were
numbered using the prefix con (for conidiation) following the
sequence of discovery of the respective mutants. Genotypes
were described by italics (uppercase for wild type and lower-
case for mutants) and phenotypes were described by roman
type with the first letter capitalized.
Assay of growth, sporulation, appressorium formation,
and pathogenicity.
The morphology of the primary mutants and their progeny
was examined under differential interference contrast optics
using an Olympus BHS research microscope. Photomicro-
graphs were taken with Kodak Technical Pan film 2415. The
relative radial growth of the mutants and the parental strain
were measured on oatmeal agar after incubation for 9 days at
26°C. Sporulation was assayed in cultures of synchronous
growth. Plates were inoculated by spreading 50 μl of spore
suspension (approximately 10³ spores/ml) of a mutant strain
evenly onto 6-cm-diameter oatmeal plates. For aconidial mu-
tants, a suspension of mycelial fragments was used to inocu-
late the plates. After 48 h incubation in the dark, one set of
plates was incubated under continuous light (cool white light
40 w, 130 μE s⁻¹ m⁻²) while another set was incubated in the
dark by wrapping with aluminum foil. All cultures were kept
at 26°C. After 5 days incubation, conidia were harvested from
a plate by washing with 1 ml of sterile water and the number
of conidia counted with a hemacytometer. Four plates per
culture were measured for growth and sporulation. To deter-
mine whether conidia of mutants were able to produce ap-
pressoria, conidia were germinated on a microscope slide
coated with Sigmacote (Sigma, St. Louis, MO). Approx-
imately 500 conidia in 20 μl were placed onto the siliconized
slide, covered with a coverslip, and incubated at 26°C under
100% humidity. Growth behavior of conidia was observed 24
h after incubation using differential interference contrast mi-
croscopy. The percentages of germlings that produced appre-
ssoria were recorded for three slides (approximately 100
germlings scored per slide).
Primary mutants were tested for pathogenicity on rice va-
riety 51583 and Maratelli (kindly provided by the Interna-
tional Rice Research Institute, Los Banos, Philippines). Rice
plants were grown in potting soil (55% peat moss, 30%
pumice, and 15% sand, Soil Incorporated, Puyallup, WA) un-
der continuous light (1 cool white fluorescent/1 Grolux light,
140 μE s⁻¹ m⁻²) at ambient room temperature in the laboratory.
Plants were fertilized with ferric sulfate and soluble fertilizer
Peters (20-20-20) weekly. Inoculation by spraying and injec-
tion of the leaf sheath was as previously described (Shi and
Leung 1994). For each mutant, approximately five plants
were inoculated per pathogenicity test. The number of lesions
per leaf and the time taken to develop a mature sporulating
lesion (~50 mm long) were recorded for each inoculated
plant. Inoculation experiments were conducted three times.
All experiments on radial growth, germination of conidia,
appressorium formation, sporulation, and pathogenicity were
done in a completely randomized design. Differences be-
tween mutants were tested by analysis of variance and the
Fisher least significant difference method.
DNA manipulations and RAPD mapping.
DNA from mutants was isolated as described by Borromeo
et al. (1993). Approximately 5 μg of DNA was digested with
EcoRI and ApaI, electrophoresed in 0.7% agarose gel and
blotted to N-plus Hybond membrane (Amersham, Chicago,
IL) following the manufacturer's instructions. pAN7-2 was
labeled with 32P-ATP using the Decaprime II DNA Labeling
Kit (Ambion, Austin, TX). Blots were probed with pAN7-2
and the hybridization signal was detected by autoradiography
as recommended by the manufacturer. RAPD markers linked
to the CONI locus were used to detect linkages in crosses that
involved CONI as described (Shi and Leung 1994; Williams
et al. 1990).
ACKNOWLEDGMENTS
We thank Dave Christian for assistance in the preparation of pho-
tographs, Peter Punt for providing pAN7-2, and the International Rice
Research Institute for providing rice seed. Comments on the manuscript
by several reviewers are greatly appreciated. This work was supported in
part by a grant from the Rockefeller Foundation Rice Biotechnology
Program (RP39001-196) and U.S. Department of Agriculture NRI grant
92-37303-7803. Contribution PPNS 0210 from Washington State Agri-
cultural Research Center.
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Mitchell, T., Lee, Y. H., and Dean, R. A. 1994. Characterization and disruption of the cAMP dependent protein kinase catalytic subunit gene (CPKA) from *Magnaporthe grisea*. Page 143 in: Prog. Abstr. Int. Mycol. Cong., 5th. Vancouver, British Columbia, Canada.
Mooney, J. L., and Yager, L. N. 1990. Light is required for conidiation in *Aspergillus nidulans*. Genes & Dev. 4:1473-1482.
Ou, S. H., 1985. *Rice Diseases*. Commonwealth Mycological Institute. Kew, Surrey, England.
Punt, P. J., Oliver, R. P., Dingemanse, M. A., Pouwels, P. H., and Van den Hondel, C. A. M. J. J. 1987. Transformation of *Aspergillus* based on the hygromycin B resistance marker from *Escherichia coli*. Gene 56:117-124.
Schiestl, R. H., and Petes, T. D. 1991. Integration of DNA fragments by illegitimate recombination in *Saccharomyces cerevisiae*. Proc. Natl. Acad. Sci. USA 88:7585-7589.
Shi, Z., Christian, D., and Leung, H. 1995. Enhanced transformation in *Magnaporthe grisea* by restriction enzyme mediated integration of plasmid DNA. Phytopathology 85:329-333.
Shi, Z., and Leung, H. 1994. Genetic analysis and rapid mapping of a sporulation mutation in *Magnaporthe grisea*. Mol. Plant-Microbe Interact. 7:113-120.
Skinner, D. Z., Budde, A. D., Farman, M. L., Smith, J. R., Leung, H., and Leong, S. A. 1993. Genome organization of *Magnaporthe grisea*: Genetic map, electrophoretic karyotype, and occurrence of repeated DNAs. Theor Appl. Genet. 87:545-557.
Springer, M. L. 1993. Genetic control of fungal differentiation: the three sporulation pathways of *Neurospora crassa*. BioEssays 15:365-374.
Talbot, N., Ebbole, D. J., and Hamer, J. E. 1993. Identification and characterization of MPG1, a gene involved in pathogenicity from the rice blast fungus *Magnaporthe grisea*. Plant Cell 5:1575-1590.
Teng, P. S., Klein-Gebbinck, H. W., and Pinnschmidt, H. 1991. An analysis of the blast pathosystem to guide modeling and forecasting. Pages 1-30 in: Rice Blast Modeling and Forecasting. International Rice Research Institute, Los Baños, Philippines.
Timberlake, W. E. 1990. Molecular genetics of *Aspergillus* development. Annu. Rev. Genet. 24:5-36.
Turian, G. 1974. Sporogenesis in fungi. Annu. Rev. Phytopathol. 12:129-137.
Valent, B., and Chumley, F. G. 1991. Molecular genetic analysis of the rice blast fungus, *Magnaporthe grisea*. Annu. Rev. Phytopathol. 29:443-467.
Valent, B., and Chumley, F. G. 1994. Avirulence genes and mechanisms of genetic instability in the rice blast fungus. Pages 111-134 in: Rice Blast Disease. R. S. Zeigler, S. A. Leong, and P. S. Teng, eds. CAB International Press, Wallington, Oxon, UK.
Valent, B., Farrall, L., and Chumley, F. G. 1991. *Magnaporthe grisea* genes for pathogenicity and virulence identified through a series of backcrosses. Genetics 127:87-101.
Valent, B., Sweigard, J. A., Orbach, M. J., Kang, S., Farrall, L., Carroll, A. M., and Chumley, F. G. 1994. Molecular characterization of genes pathogenicity and host specificity in the rice blast fungus. Page 228 in: Prog. Abstr. Int. Mycol. Cong., 5th. Vancouver, British Columbia, Canada.
Wang, G. L., MacKill, D. J., Bonman, J. M., McCouch, S. R., Champoux, M. C., and Nelson, R. J. 1994. RFLP mapping of genes conferring complete and partial resistance to blast in a durably resistant rice cultivar. Genetics 136:1421-1434.
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Changing Words in Sacraments Can Make Them Invalid, Dicastery Warns
By Cindy Wooden
VATICAN CITY (CNS) — The Dicastery for the Doctrine of the Faith said it continues to receive reports of Catholics, including priests, finding out all the sacraments they have received are invalid because they were baptized years earlier with a formula that was not approved.
When a priest or other minister changes the words, gestures or material prescribed for the celebration of the sacraments, he can “rob” the faithful of what they deserve and make the sacrament invalid, the dicastery said in a note published Feb. 3.
The note, “Gestis Verbisque” (“Gestures and Words”), passed unanimously by members of the dicastery during their plenary assembly Jan. 25 and was approved by Pope Francis Jan. 31, said the document, which was signed by Cardinal Victor Manuel Fernández, dicastery prefect, and Msgr. Armando Matteo, secretary of the dicastery’s doctrinal section.
Presenting the document, Cardinal Fernández wrote that in 2022 the cardinals and bishops who are members of the dicastery already had “expressed their concern for the multiplication of situations in which they were forced to acknowledge the invalidity of sacraments celebrated.”
As an example, the cardinal cited baptism ceremonies where, instead of saying, “I baptize you in the name of the Father, and of the Son, and of the Holy Spirit,”
See “Words” on Page 2
Bishop Brennan Celebrates Red Mass at Basilica Co-Cathedral
By Martina Hart
CHARLESTON — Bishop Mark Brennan celebrated the annual Red Mass for members of the legal profession at the Basilica of the Co-Cathedral of the Sacred Heart in Charleston on Jan. 23.
“It’s a Mass of the Holy Spirit, the flames of the Holy Spirit (symbolized by the celebrants’ red vestments) coming upon the infant church at Pentecost to fill those new Christians with a spirit of courage and understanding to spread the faith,” Bishop Brennan explained. “So, this Mass will be very particularly for those of you in public service, that that spirit of courage and wisdom may be bestowed on you. Your work is
See “Red Mass” on Page 4
Fairmont Catholic Students Learn about Vocations
Sister Martha Gomez, RGS, delegate for Consecrated Life for the diocese, visits with students at Fairmont Catholic Grade School during Catholic Schools Week. She and Father Phillip Szabo, parochial vicar of St. John University Parish in Morgantown, talked to students about Christian vocations.
Obituary—Debra J. Sine
Debra J. Sine, beloved daughter, sister, fiancé, cousin, and friend, passed away on February 3, 2024, in Wheeling, WV, at the age of 62.
Born on October 5, 1961, in Wheeling, WV, Debbie lived a life filled with love, laughter, and a passion for making those around her feel special. She was a dedicated Accountant for the Diocese of Wheeling-Charleston, WV, where her meticulous attention to detail and unwavering commitment to her work earned her the respect and admiration of her colleagues.
Debbie had a heart full of compassion and an affectionate spirit. She had a deep love for dogs, and her special fur babies, Nikolas and Chanick, held a special place in her heart.
In her leisure time, Debbie found joy in riding ATVs/Four-Wheelers and hosting garage parties with her cherished family and friends. These gatherings were always filled with laughter, good food, and unforgettable memories. Debbie’s collection of Snoopy dogs also brought her much joy and served as a reminder of her playful and lighthearted nature.
Debbie will be deeply missed by her loving fiancé of many years, Kelly Ernest of Valley Grove, WV, and her sister, Cheryl (Gary) Pompeo of Wheeling, WV. She was a beloved mother figure to Ashley (Jesse) Watson and Brittany Ernest (Justin Rickman), and an adoring grandmother figure to Chance & Bailey Blake, and Logan Rickman. Close personal friends Charles (Casey) Yoho and children, Charles & David Yoho, were also an important part of Debbie’s life. Numerous special friends, who shared countless cherished moments with Debbie, will hold her memory close to their hearts.
Visitation will take place on Friday, Feb 9, starting at 9 a.m. until the time of the Funeral Service at 10 a.m., at Altmeyer Funeral Home – Wheeling Chapel, 1400 Eoff Street. Debbie will be laid to rest at Halcyon Hills Memorial Gardens following the service.
In lieu of flowers, the family kindly requests that memorial contributions be made to the Ohio County Animal Shelter, located at 7011 National Road, Triadelphia, WV 26059, or online by clicking here. This gesture will honor Debbie’s immense love for animals and continue her legacy of compassion towards those in need.
Debbie’s life was a testament to the power of love, laughter, and cherishing precious moments with loved ones. Her warm smile, kind heart, and unwavering friendship will forever be remembered by all who had the privilege of knowing her. May her spirit live on in our hearts, guiding us to find joy in every day and to cherish the bonds of friendship and family.
Sexual Abuse Awareness Training
The U.S. Conference of Catholic Bishops requires all Dioceses/Parishes have a Safe Environment Program for the protection of children and young people. In accordance with these requirements, the Diocese of Wheeling-Charleston’s Safe Environment Program consists of the following components for persons seeking employment or to volunteer, directly or indirectly, with children: background check; receipt of the Diocese’s Policy Relating to Sexual Abuse of Children; and sexual abuse awareness training for adults. Sexual abuse awareness training may be completed online or via live workshop. For more information, go to www.dwc.org click “Diocese,” then “Offices,” then “Office of Safe Environment.”
To Report Suspected Cases of Sexual Abuse of Children: The Diocese of Wheeling-Charleston encourages reporting to civil authorities first and foremost if a crime has been committed. We also encourage utilizing www.reportbishopabuse.org to report any abuse in the U.S. If you have reason to believe that a bishop has engaged in sexual misconduct and is suspected with an investigation into sexual misconduct, please contact civil authorities in the applicable jurisdiction and visit www.reportbishopabuse.org. To Report to Civil Authorities: Contact your local law enforcement: numbers will vary based on your location. If you believe someone is in immediate danger, call 911. To confidentially report an incident of suspected child abuse or neglect, including sexual abuse, contact the West Virginia Bureau for Children and Families’ Child Protective Services by calling the Child Abuse Hotline at 800.352.6513. You may report anonymously to this hotline if you prefer. To Report to Diocesan Authorities: The diocese encourages reporting to the appropriate church authorities first and foremost if a crime has been suspected. The diocese also encourages reporting to the appropriate church authorities. To report suspected cases of sexual abuse of children by personnel of the Diocese of Wheeling-Charleston to the Diocese, contact one of the following designees at 1.888.434.6237 or 304.233.0880 Mr. Bryan Minor, ext. 263; Mr. Tim Bishop, ext. 353; or Very Rev. Dennis Schuellerius, Jr., V.E., ext. 270; or Ms. Martha Gomez, ext. 352. You may report to the Diocese’s Office of Safe Environment at 304.230.1504. You may also call the Diocese’s sexual abuse hotline at 833.230.5666. Additional methods of reporting are available at www.dwc.org, under “Accountability.” Complaint forms are available online at www.dwc.org, click “Diocese” on the menu bar, then “Offices,” then “Safe Environment,” then “Diocesan Forms and Forms.” The form titled “Complaint Form for Allegations of Sexual Abuse of a Minor.” The form may be returned via U.S. mail to Office of Safe Environment, Diocese of Wheeling-Charleston, PO Box 230, Wheeling WV 26003.
To Report to the Diocese’s Victim Assistance Coordinator: please call Erin McFarland, M.Ed., LPC, at 304.559.6742. In addition to the above list of abuse reporting options, the Diocese of Wheeling-Charleston has partnered with Navex Global to offer the EthicsPoint platform to report other, additional concerns, such as suspected financial, professional, and personal misconduct of a priest, deacon, religious, or lay employee of the Diocese or any Catholic parish or school in West Virginia. The EthicsPoint platform can be accessed by www.ethicspoint.com under “Accountability,” then “Report Misconduct” or by calling 844.723.8381. EthicsPoint is a third-party reporting system that reports to civil authorities where applicable and Diocesan authorities, and the identity of the person reporting is protected. Links and information: WV Department of Health and Human Resources: https://www.wvdhhr.org/report.asp. West Virginia State Police, Crimes Against Children Unit: 304-293-6400.
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the minister will say, “I baptize you in the name of the Creator…” or “In the name of dad and mom, we baptize you.”
In 2020, the then-doctrinal congregation issued a note saying baptisms celebrated with the formula, “We baptize you…,” also were invalid, setting off a large-scale effort in several dioceses, including in the United States, to trace people who were invalidly baptized.
The sacraments they subsequently received, including first Communion, confirmation and even ordination also were invalid since only a baptized Catholic can validly receive the other sacraments.
Cardinal Fernández said the situation is particularly painful for priests who not only find out their ordinations were invalid, but so were all the sacraments they subsequently celebrated for others.
A priest in the Archdiocese of Detroit, who had been baptized with the wrong formula 30 years earlier, started over when the 2020 document was issued. He was baptized, confirmed, received the Eucharist, was ordained to the diaconate and to the priesthood in the space of 10 days. The archdiocese set up a webpage for people who thought they had received the sacraments from him prior to 2020.
“Modifying the form of a sacrament or its matter is always a gravely illicit act and deserves exemplary punishment, precisely because such arbitrary acts are capable of producing serious harm to the faithful People of God,” the cardinal wrote.
While the document did not specify a punishment, it explained the importance of using the prescribed words, exact matter — such as water, wine or oil — and gestures like anointing, laying on of hands and the sign of the cross.
“While in other areas of the Church’s pastoral action there is ample room for creativity,” the cardinal wrote in the foreword, “such inventiveness in the area of the celebration of the sacraments becomes a manipulative will” and cannot be invoked.”
“Because of their rootedness in Scripture and Tradition, the matter and form never depend nor can they depend on the desire of the individual or of the particular community,” the document said.
“Instituted by Christ, the sacraments are actions that realize, by means of sensible signs, the living experience of the mystery of salvation, making possible the participation of human beings in the divine life,” the document said. “They are the ‘master-pieces of God’ in the New and Eternal Covenant, forces that come forth from the body of Christ, actions of the Spirit working in his body which is the Church.”
“This is why the Church in the Liturgy celebrates with faithful love and veneration the sacraments that Christ himself has entrusted to her so that she may preserve them as a precious inheritance and source of her life and her mission,” the document said.
A priest celebrates the sacraments not only “in persona Christi” — in the person of Christ — but also in “nominem Ecclesiae” — in the name of the church, it said, which is why he must follow exactly the church’s approved liturgical texts, which indicate when and where local adaptations or variations are permitted.
The doctrinal note said that it applies to the entire church, although it asked the Eastern Catholic churches to draft their own versions of the document, using their particular theological language “where it differs from that used in the text,” and to submit it for approval to the dicastery before publication.
Don’t Miss out on Free Tickets to the National Eucharistic Congress!
Tickets are Available to All Members of Parishes and Missions in the Diocese of Wheeling–Charleston
By Colleen Rowan
The Diocese of Wheeling-Charleston still has free tickets for the National Eucharistic Congress in Indianapolis July 17-21.
Bernadette McMasters Kime, director of the Office of Worship and Sacraments for the Diocese of Wheeling-Charleston, encouraged the Catholic faithful of West Virginia to take advantage of this opportunity to claim the free ticket that is part of the diocesan travel package, so they can join Catholics from around the country gathering as one this summer to deepen devotion to the Eucharist.
“We are blessed!” Kime said in an e-mail to all parishes Feb.8. “Isn’t it great we are in a diocese that has gifted us free tickets — thanks to the forward compassion and forward thinking of bishop and our Catholic Sharing Appeal.”
Joining Kime in encouraging the faithful to get their free tickets was Joyce Bibey, manager of Writing and Social Media for the diocese’s Office of Communications and Marketing. They shared in the e-mail that through the diocese’s collaboration with Corporate Travel, pilgrims will be able to secure bus transportation and hotel accommodations at a reasonable price at this widely popular nationwide event.
“You don’t want to miss this amazing opportunity,” they said.
The historic gathering in Indianapolis will be the first National Eucharistic Congress in 83 years, according to www.eucharisticcongress.org. Bishop Mark Brennan and many clergy and religious will join faithful of the diocese at the congress.
“This is a pivotal moment in both American history and the legacy of the Catholic Church,” the National Eucharistic Congress website states. “We are expecting tens of thousands of pilgrims—but space is limited. Jesus Christ will be there. Will you?”
The National Eucharistic Congress is part of the U.S. Conference of Catholic Bishops’ National Eucharistic Revival launched on the Feast of Corpus Christi in 2022.
The deadline to register is March 15. Scan the QR code in the ad at left or click here. More information is also available at this website.
A message from Bishop Mark Brennan on the National Eucharistic Congress
“It is going to be invigorating to see the faithful of WV at the National Eucharistic Congress representing their local parishes. I’m happy we are partnering with Corporate Travel, a Catholic company that specializes in Catholic pilgrimages; it eases the travel logistics burden for us.”
-Bishop Brennan
Tour Inclusions
- NEC Congress Pass (5 Days)
- Four (4) nights’ accommodations in or near Indianapolis
- Continental breakfast daily (pending hotel assignment)
- Roundtrip transportation from West Virginia to Indianapolis via deluxe motorcoach
- Daily transportation from hotel to the Indianapolis Convention Center and Lucas Oil Stadium
- Gratuities payable to motorcoach drivers
Tour Does Not Include
- Meals and beverages not specifically identified
- Items not specifically mentioned above
3 Step Registration Process
1. Scan the QR Code on the cover of the flyer or click HERE to access our online registration site.
2. Follow the prompts to enter your personal information, select your rooming configuration, enter payment information, and acknowledge our terms and conditions.
3. Upon completion, you will receive a confirmation email with your diocesan code and a video tutorial providing instructions for finalizing your registration on the official National Eucharistic Congress’ website.
Payment Schedule:
$750 per person deposit due upon registration
Remaining balance due April 17, 2024
All payments are non-refundable. By registering for this tour, you understand and agree to CTS Terms and Conditions and accept our CTS Liability Release. All cancellations must be received in writing.
Travel Insurance: The Archdiocese and CTS strongly encourage passengers to purchase CFAR (Cancel for Any Reason) travel insurance. See Travel Insured link: www.travelinsured.com/agency?agency=47907&p=CTS21
Votive Mass Gathers Lawyers, Judges and Elected Officials; Promoted by St. Thomas More Catholic Lawyers Society
Red Mass ...
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important for this community, and we want you to be able to do it well, to do God’s holy work.”
Invited had been lawyers, judges, and elected government officials, regardless of their religious affiliation.
In his homily, Bishop Brennan referred to St. Paul’s first letter to Timothy to stress the importance of praying for “all in authority,” those who serve in public office in some form.
“In St. Matthew’s Gospel, Jesus affirms both the legitimate role of government and the preeminent sovereignty of God,” he said, emphasizing that the correct relationship between Church and State “ought to be one of respect for each one’s proper role and cooperation in areas where that may be beneficial to society.”
“What is essential is that government and Church respect one another and that neither encroaches on the legitimate role of the other,” Bishop Brennan continued. He listed the West Virginia Hope Scholarship Program as a form of that cooperation because it allows parents to choose how their children are educated.
“The Catholic Church, in turn, helps the state by caring for the sick in its hospitals, feeding the poor through its pantries, responding to natural disasters through its Catholic Charities relief teams, and giving spiritual strength to many of the state’s citizens so that they can function as parents, as workers, as volunteers,” he said. He cautioned, however, that neither should encroach upon the legitimate role of the other.
“If the religious liberty clause in our U.S. Constitution can protect an atheist prisoner from forced participation in a religiously based program, it should also protect the physician whose moral or religious conscience would be violated by a rule that the government seeks to impose,” he said.
“If the Church is primarily concerned with the spiritual welfare of human beings and their salvation from sin and death, and if the state is primarily concerned with justice and order in the civil order, well, those areas of concern penetrate one another in the real human beings who constitute our society. That is why cooperation between church and state makes sense,” he said.
Bishop Brennan added that it is not only important what we do but how we do it, with compassion and kindness, striving to respect the dignity of our opponents, in particular during elections. He also gave the example of a federal judge who at the end of a murder trial remarked that both families were suffering, one the death of a son or brother, the other the long imprisonment of a son or brother. This touched a human chord in his compassion for both families who in turn recognized their common suffering by embracing one another and crying together.
“There are things in your legal, judicial, legislative and executive service that go beyond the simple letter of the law,” Bishop Brennan concluded. “Seek justice but keep the full human dignity of those you serve in mind.
... God will help you to serve honorably. He will give you courage and wisdom, and you will be able to do much good for the people of this great state.”
Concelebrating the Mass were Very Rev. Donald X. Higgs, V.F., rector of the Basilica and retired Father John Finnell. Rev. Mr. Dennis Nesser, J.C.L., served as deacon. Following the Mass, a light reception was held in the Basilica Gathering Space.
“I am grateful for Bishop Brennan’s continued commitment to the celebration of the Red Mass in Charleston and to all those from the diocese, the Basilica of the Co-Cathedral of the Sacred Heart, and the St. Thomas More Society for Catholic lawyers who helped to organize, promote and participate in the Mass,” said Matthew Bowles, a member of the St. Thomas More Society of Charleston. Bowles also serves as executive director of the Catholic Conference of West Virginia which strives to give witness to spiritual values and Catholic teaching in public affairs and to shape public policy.
“Turnout and enthusiasm for the Red Mass are growing every year,” Bowles added. “It is my hope that we can continue to pray together for the Holy Spirit to help us to practice our faith in our professional lives and for all lawyers, judges and government officials to seek the common good in theirs.”
The Red Mass traces its roots back to the 13th century when it was celebrated in many European countries as well as the Sacred Roman Rota, the tribunal of the Holy See, to officially open the term of the respective courts. The first Red Mass in West Virginia was celebrated at the Co-Cathedral in Charleston in 1995.
Evening Eucharistic Encounter
with Deacon Paul Lim
Monday, February 26, 2024
12:00pm Mass
1:00pm Rosary
3:00pm Chaplet of Divine Mercy
3:30-5:30 Confessions
6:00pm Presentation with Deacon Lim
(Reception to follow)
Deacon Paul Lim is a permanent deacon in the Diocese of Pittsburgh. He currently serves as Vice-President of Mission Integration at WVU Medicine Wheeling Hospital.
LENTEN LISTENING SESSIONS 2024
Feb. 21 at the Saint John XXIII Pastoral Center, Charleston
Feb. 22 at St. Leo Church, Inwood
Feb. 27 at St. Francis de Sales Church, Beckley
Feb. 28 at Immaculate Conception Church, Clarksburg
Feb. 29 at St. Francis Xavier Church, Parkersburg
March 7 at St. Michael Church, Wheeling.
All sessions begin at 6:30 p.m.
Educators, Students of Nation’s First Black Catholic School Honor foundress Mother Lange
By George P. Matysek Jr.
BALTIMORE (OSV News) — The one-and-only known photograph ever taken of Mother Mary Lange held a place of prominence during a special Jan. 30 Mass celebrated by Archbishop William E. Lori at St. Frances Academy in East Baltimore.
Resting at the foot of an altar set up inside the school’s gymnasium, the more than 140-year-old black-and-white image seemed to stare stoically at a congregation of more than 300 that had gathered to celebrate Mother Lange’s recent advancement along the path to canonization.
Pope Francis declared the foundress of St. Frances Academy “venerable” June 22, 2023 — recognizing Mother Lange’s heroic virtues. Mother Lange is one of six Black Catholics in the U.S. who are candidates for sainthood, four of whom have been declared “venerable.”
Archbishop Lori, who called St. Frances Academy “holy ground” during his homily, elicited applause when he said the recognition of Mother Lange as venerable is “something of great importance, not only for this school and not only for the Archdiocese of Baltimore, but for the Catholic Church throughout the United States.”
St. Frances Academy was founded in 1828 as the first Catholic school in the country to educate Black students. Mother Lange co-founded the Oblate Sisters of Providence one year later as the world’s first sustained women’s religious congregation for Blacks. She twice served as the order’s superior general.
“We honor the courage of her conviction,” Archbishop Lori said. “We honor the depth of her faith. In her life and in her witness, we know and see what God can do when we allow God to come into our hearts — when we follow his calling and embrace his plan for us.”
The archbishop highlighted Mother Lange’s trust in divine providence. He encouraged young people to recognize God at work in their lives today and to follow in Mother Lange’s footsteps in becoming agents of change for tomorrow.
The archbishop acknowledged that there are many seemingly insurmountable challenges facing today’s generation — poverty, loneliness, isolation, ongoing divisions in society and the “terrible sin of racism” among them. Yet he insisted that God is calling people to lead lives of heroic virtue, lives that can change the world.
“Looking around at all of you today, I am full of tremendous hope because I think about all that God has yet to do in your lives,” he said.
Sister Rita Michelle Proctor, the 20th superior general of the Oblate Sisters of Providence, urged those attending the liturgy to commit themselves to carrying out Mother Lange’s admonition to “do all you can for the glory and honor of God.”
“Like her, we can be a voice for the voiceless, a light in the darkness, a beacon of hope still there for those who have no hope,” Sister Rita Michelle said. “And there are plenty of folks around us like that — offering ourselves, as she did, (in) selfless service to the people of God.”
The liturgy, held during Catholic Schools Week, was attended by St. Frances students and faculty, representatives of a variety of women’s and men’s religious communities and area educators.
Moments after the last notes of a spirited rendition of “Oh Happy Day” echoed inside the gym, several St. Frances students said they look to Mother Lange as a role model.
“She’s the entire reason this school exists,” said Laila Fisher, an 18-year-old senior. “The fact that she’s making this next chapter toward sainthood is a great accomplishment for the school and for everyone who goes here — so other people can learn who she is and what she built.”
Nicholas Myles, an 18-year-old junior, said students ask for Mother Lange’s intercession every school day during special prayers.
“Nobody would be here without what she did,” he told the Catholic Review, the Baltimore Archdiocese’s news outlet. “It took a lot of courage, especially during the time of slavery, for her to take that leap of faith in order to help Black kids get an education.”
Deacon B. Curtis Turner, head of school at St. Frances Academy, said he is humbled to have the same job once held by Mother Mary Lange.
“She was the first head of school and I believe I’m number 15,” he said. “Whenever I feel like I’m having a bad day or can’t get through something, she whispers into my ear about how much tougher it was for her. She literally had the Confederate Army 40 miles away at one point. She’s my inspiration to this day.”
St. Frances Academy planned to return the precious photograph of Mother Lange, likely taken in the early 1880s at the end of her long life, to the very room in the school where she died. It is kept on permanent display there.
Deacon Turner said the school community considers it a kind of relic.
“No question about it,” he said.
(George P. Matysek Jr. is managing editor of the Catholic Review, the news outlet of the Archdiocese of Baltimore.)
The Second Reading from the Fourth Sunday in Ordinary Time spoke about the dignity of the celibate life (1 Corinthians 7:32-35). The Church is wise to have that as a reading at Mass because celibacy is so misunderstood in today’s oversexualized culture, particularly priestly celibacy.
I think many Catholics believe all priests should get married. Yet, I think that is because they do not fully understand celibacy—they simply focus on what it sacrifices. Celibacy is definitely a sacrifice. It’s a sacrifice for priests to not have a wife. It’s a sacrifice to not have a family of our own. Yet, that being said, it is a gift as well—a gift that Christ offers to those He chooses.
You might not know this, but priestly celibacy is actually apostolic—it has been present since the time of the Apostles. Before He ascended into heaven, Christ sent His disciples on a universal mission: “All authority in heaven and on earth has been given to me. Go therefore and make disciples of all nations, baptizing them in the name of the Father and of the Son and of the Holy Spirit, teaching them to observe all that I have commanded you.” (Mt. 28:18-19) This mission was most serious—it involved a dedication/consecration of their whole lives. It other words, this mission would entail a marital consecrence from that point forward.
Now, sometimes it’s mentioned that St. Peter had a wife because the Gospels mention his mother-in-law (Matthew 8:14-15; Mark 1:30-31; Luke 4:38-39). So how could he be celibate then? Well, we actually have a lot of writings from the early Church. The written evidence of tradition is unanimous that St. Peter did not remarry after the death of his wife. His priestly call had changed his life. The Church Fathers (the major writers/saints from the early Church), when speaking about this topic, wrote that he was continent when Christ sent him to preach the Gospel. In fact, all of the Apostles were continent/celibate when they began their apostolic mission after the Ascension. This had originated in their Ordination on Holy Thursday night. They chose to follow Christ in a radical way. This is not just some pious theory—it’s referenced numerous times in the early years of the Church.
Unencumbered now by family obligations, the Apostles would carry out Christ’s commands. As we heard in the second reading from the Fourth Sunday, St. Paul describes why celibacy would be important for them: “The unmarried man is anxious about the affairs of the Lord, how to please the Lord, and his interests are divided” (1 Cor. 7:32-34). Our Lord Himself spoke about celibacy and even encouraged it as well: “There are eunuchs [celibates] who have made themselves eunuchs for the sake of the kingdom of heaven. The one who is able to accept it [being a eunuch] should accept it.” (Mt. 19:12)
Priestly celibacy makes sense on a practical note: Celibacy is a critical component of the missionary spirit. Let’s think about it—it’s hard to imagine the great St. Isaac Jogues, after his horrific torture, reenlisting for service in North America as a family man. Or Blessed Stanley Rother being willing to return to Guatemala to be martyred if he had a family at home. Or St. Maximilian Kolbe being willing to sacrifice his life for a man he did not know simply because the man had children and a wife.
The gift of celibacy further enhances priestly freedom to challenge individuals to live chastity in their lives; it allows a priest to be free at all hours to drop everything and serve that which is demanding him; it allows him to be “separate” so as to be someone who people can trust with their secrets. People don’t want to bother a family man at his home. Yet a celibate priest is meant to be both-ered. He is free to serve in an unencumbering way. Further, it allows a priest to get to know his flock better. I spend a lot of time and have meals with parishioners several times a week. This would be unfair to my family to be gone that much if I was married.
Since apostolic times, the Church has protected and cultivated the gift of priestly celibacy. Men who are to be ordained to priestly celibacy in freedom. Nobody forces us to become celibate. We feel a call from God to be so. A radical call to live as Christ lives. It’s not a normal call—it’s a supernatural one. Christ asks us to give Him our entire heart. For as St. Paul referenced in the Mass reading, celibacy gives a priest more time for prayer. For example, many priests do a daily holy hour before the Blessed Sacrament each day. I do not know any married man who is able to do that each day consistently. It’s just not practical with the natural (and good) demands of family life. Celibacy even allows a priest to offend his entire congregation with the Gospel truth without endangering a wife and children. We can preach the truth and not be afraid that our families will be affected. Imagine if Blessed Stanley Rother had a family with him in the congregation when he was preaching against the corruption of the Guatemalan government! His family would naturally become a target. This idea is seen remarkably even in secular media—in the Spider-Man comics/movies, Peter Parker realizes that in his superhero role, having a relationship would only endanger that other person. This is the same in the Batman comics/movies. It’s a theme the main characters have to wrestle with. Even Hollywood gets it!
Now, many of you know that priestly celibacy is mainly found in the Roman Rite of the Church. The Eastern-rite Catholic churches permit the ordination of already married men. The Roman Church at times even dispenses men from celibacy for certain reasons. The Eastern rites still only have celibate bishops because bishops, through their consecration, have the fullness of the priesthood. This means they are the successors to the Apostles’ priesthood and authority. The fullness of the priesthood demands a celibate life—because it is a complete configuration to Christ. Without prejudice to the married clergy, celibacy remains the apostolic norm and the universal preference in both the East and the West.
Sadly, there are some priests today who have a reductionist view of celibacy or who did not accept it as they ought to have at their ordination. That kind of priest merely promises “not to marry.” They do not understand the beauty of what the celibate vocation signifies. It is a consecration to our Lord to live as He lived; to be as He was; to love as He loved. It’s a complete configuration to Christ. Consecration of one’s whole life—including one’s intimate life—to our Lord is a dedication that is so underappreciated these days. It points to how we will live in heaven. Freely-accepted celibacy says that sexual intimacy, though good in and of itself, is not the end/all/be all of life, as Hollywood and the pornography industries seem to teach. Sadly, if a priest is not a man of prayer, celibacy will naturally become difficult for him because he will forget from whom he gets his strength and identity. There have been many poor examples of priests and bishops not living their promise of celibacy in recent years.
All these reasons (and more) above describe why we should not be afraid to defend priestly celibacy in our oversexualized culture and encourage young men to say yes to it if Christ is asking them. Yet I think the strongest and simplest argument for celibacy is that a priest is an alter Christus—another Christ. Christ gives His priests the grace to be like Him in all things. And for me, there is no greater honor than to walk in His footsteps as an alter Christus.
Donald R. Kirsch Steps Down after 45 Years as Welty Corporation and Good Shepherd Nursing Home Executive
WHEELING — Donald R. Kirsch was hired as business manager of Good Shepherd Nursing Home in 1979, when Jimmy Carter was president, fewer than 10 percent of Americans had ever used a personal computer, and the nursing home had been in existence less than a decade.
When he retires next month, he leaves an organization that regularly earns top five-star ratings from the federal government, placing Good Shepherd in the top 10 percent of nursing homes nationwide. He is always quick to deflect credit, pointing to the staff of 320 full and part time staff who care for the Good Shepherd residents.
“I am blessed to have been part of a group of like-minded individuals whose sole purpose was the creation of a lasting legacy to the vision and generosity of Clara Welty and her sister Bertha,” he said. The Welty sisters donated their fortune to the Diocese of Wheeling-Charleston to care for elderly people.
“Together, from humble beginnings, we created the largest eldercare corporation registered exclusively in the State of West Virginia. To have been part of such an endeavor represents a rare opportunity, and one that I will cherish for the rest of my life,” Kirsch said.
He is also grateful to Good Shepherd residents and their families. “I have cherished my time with our residents and their family members,” he said. “The provision of eldercare is built on a foundation of trust. With all our efforts, we are nothing without those individuals and their family members who requested our help in their time of need. I wish to thank our residents and their family members, past and present, who trusted us to care for them.”
Kirsch also thanked the many individuals who shared their time and talent to make Clara Welty’s vision a reality. “In particular, I wish to thank the trustees of the Clara Welty Trust, whose investment and business acumen is beyond parallel; the devoted and skilled members of our Board of Directors; the Diocese of Wheeling-Charleston; the five bishops I worked with, each of whom left an indelible mark on our corporation; and the Sisters of Our Lady of Charity of the Good Shepherd and Pallottine Sisters for creating a religious presence within our facilities, along with spending hours upon hours in prayer for our success.”
He singled out two individuals for special mention. “Of the myriad of people who helped me along the way, Richard G. Herndon and Dr. John W. Braddock offered me the opportunity of a lifetime in my early 20s. As members of the Welty Board, they were generous in their advice and frugal in their criticism. From them, I received an education that no amount of money can buy.”
He said Herndon and Braddock were self-made men with tremendous business acumen. “But, most importantly, they treated others with respect, dignity, and compassion,” he said. “Although I received numerous job offers over the years, I could never leave the men who were willing to take a chance on me at such a young age. As a result, I have spent my entire career proving to them that I was worthy of the faith, trust, and confidence that they had placed in me,” he said. “I owe these men everything. I miss them terribly.” He said he is also grateful for the tremendous contributions of his family, wife Barbara, children, Jason, Justin and Morgan, sister Carol Terry and his parents Robert and Joan Kirsch. “I could not have done it without them,” he said.
Kirsch was hired as Business Manager of Good Shepherd Nursing Home in 1979, two days before his 22nd birthday. Two years later, Bishop Joseph H. Hodges promoted him to administrator of Good Shepherd, making him the youngest nursing home administrator in the state at age 24. Later in his career, Kirsch was promoted to the position of Manager of the Welty Corporation, encompassing the Welty Home, The Clara and Bertha Welty Apartments, The Welty TownHomes, and The Braddock Apartments.
In a final meeting with the Welty Corporation staff, he thanked them for the care, concern, love, and affection that they show for the residents under their care. “This has resulted in a culture that is second to none,” he said. “My thanks to your family members, spouses, and children for the sacrifices that they have made on your behalf because your profession is not measured in a 9-to-5 day.”
Together, the staff, board, and Kirsch completed $43 million worth of construction projects that increased the number of residents that the Welty Corporation serves by 60 percent. The organization added a short-term rehabilitation unit, and created an outpatient therapy unit to deliver physical, speech, and occupational therapy to residents and outpatients.
“Together, we earned national workplace safety awards from OSHA, making us the first eldercare corporation in West Virginia to do so,” he said, adding that staff fought COVID together and saved lives in the process.
He told staff that any single accomplishment he mentioned would be a major accomplishment for any eldercare corporation. “Yet you have achieved all of these accomplishments, and you did so with style, grace, and professionalism, along with a quiet humility that endears you to many.”
Kirsch thanked staff for the faith and confidence that they showed him, and for allowing him to represent them in the community. “Thank you for reaching into your pocket to purchase items for residents who did not have the funds to make the purchase themselves. Thank you for returning at the end of your day to remain with a gravely ill resident, making sure that they did not pass away alone,” he said. “And thank you for providing me with wonderful memories that will sustain me for the remainder of my life.”
Kirsch is confident that his replacement, who has trained as part of his staff for years, will continue to uphold the high standards that have made Good Shepherd the area’s Best Nursing Home, according to the Wheeling newspapers’ “Best of the Valley Readers’ Choice Awards.”
The Good Shepherd Board of Directors hired Morgan Murphy as the new administrator. The new administrator is a Wheeling native who is a graduate of Mount de Chantal Visitation Academy and earned a bachelor’s degree in business administration with a specialty in health services for long-term care at West Liberty University and a master’s degree in health.
See “Kirsch” on Page 10
Kirsch ...
Cont’d from Page 9
care administration from Ohio University. She also happens to be the daughter of Donald and Barbara Kirsch.
Murphy has been a familiar face at Good Shepherd since she was a child. She often accompanied her father as he visited with residents and families and remembers being part of a group of piano students who performed music recitals for residents, especially during the holidays. In her teenage years she helped with resident activities and worked evenings and summers as a receptionist.
Before joining the staff as regulatory and compliance director, Murphy completed a yearlong administrator-in-training program at Good Shepherd, then was named manager of skilled rehabilitation and long-term care facility at East Ohio Regional Hospital. She later served as a physician integration specialist at the Ohio Valley Health Services & Education Corporation.
Kirsch said he and his Good Shepherd colleagues have spent Murphy’s entire adult life preparing her for this type of opportunity. “Morgan is the right person with the right skill set to carry the legacy of Clara Welty forward into the next generation,” he said. “All corporations should be so fortunate.”
Good Shepherd Nursing Home is part of a continuum of senior living options offered by the non-profit Welty Corporation to deliver the features that discerning seniors need and want. For information call (304) 242-1093 or visit www.weltyhome.org.
“For God is not unjust so as to overlook your work and the love you have demonstrated for his name by having served and continuing to serve the holy ones.”
-Hebrew 6:10
Retirement Fund for Diocesan Priests
Collection Date: March 3, 2024
El cambio de palabras en los sacramentos puede hacerlos inválidos, advierte dicasterio
Por Cindy Wooden, Catholic News Service
CIUDAD DEL VATICANO (CNS) — El Dicasterio para la Doctrina de la Fe dijo que sigue recibiendo informes de católicos, incluidos sacerdotes, que descubren que todos los sacramentos que han recibido son inválidos porque fueron bautizados años antes con una fórmula que no fue aprobada.
Cuando un sacerdote u otro ministro cambia las palabras, los gestos o el material prescrito para la celebración de los sacramentos, puede “robar” a los fieles lo que merecen y hacer que el sacramento sea inválido, dijo el dicasterio en una nota publicada el 3 de febrero.
La nota, “Gestis Verbisque” (“Gestos y Palabras”), fue aprobada por unanimidad por los miembros del dicasterio durante su asamblea plenaria del 17 de enero y fue aprobada por el Papa Francisco el 31 de enero. El documento fue firmado por el cardenal Víctor Manuel Fernández, prefecto del dicasterio, y monseñor Armando Mattaeo, secretario de la sección doctrinal del dicasterio.
Al presentar el documento, el cardenal Fernández escribió que en 2022 los cardenales y obispos miembros del dicasterio ya habían “manifestado su preocupación por la multiplicación de situaciones en las que se había constatado la invalidez de los sacramentos celebrados”.
Como ejemplo, el cardenal citó las ceremonias de bautismo en las que, en lugar de decir: “Yo te bautizo en el nombre del Padre, y del Hijo, y del Espíritu Santo”, el ministro modificaba la fórmula diciendo: “Yo te bautizo en el nombre del Creador…” o “En el nombre del papá y de la mamá, nosotros te bautizamos”.
En 2020, la congregación entonces doctrinal emitió una nota diciendo que los bautismos celebrados con la fórmula “Te bautizamos…” también eran inválidos, lo que desencadenó un esfuerzo a gran escala en varias diócesis, incluso en Estados Unidos, para localizar a las personas que habían sido bautizadas de forma inválida.
Los sacramentos que recibieron posteriormente — incluida la Primera Comunión, la Confirmación e incluso la ordenación sacerdotal — tampoco eran válidos; ya que sólo un católico bautizado puede recibir válidamente los demás sacramentos.
El cardenal Fernández dijo que la situación es particularmente dolorosa para los sacerdotes que no sólo descubren que sus ordenaciones fueron inválidas, sino que también lo fueron todos los sacramentos que celebraron posteriormente.
Un sacerdote de la Arquidiócesis de Detroit, que había sido bautizado con la fórmula equivocada 30 años antes, volvió a empezar cuando se publicó el documento de 2020. Fue bautizado, confirmado, recibió la Eucaristía, fue ordenado diácono y sacerdote en el espacio de 10 días. La arquidiócesis creó una página web para las personas que pensaban que habían recibido los sacramentos de antes de 2020.
“Cualquier modificación a la fórmula de un sacramento o su materia es siempre un acto gravemente ilícito y merece un castigo ejemplar, precisamente porque tales actos arbitrarios son capaces de producir graves daños al Pueblo fiel de Dios”, escribió el cardenal.
Aunque el documento no especifica un castigo, explica la importancia de utilizar las palabras prescritas, la materia exacta — como agua, vino o aceite — y gestos como la unción, la disposición de manos y la señal de la cruz.
Mientras que en otros ámbitos de la acción pastoral de la Iglesia hay un amplio espacio para la creatividad”, escribió el cardenal en el prólogo, “tal inventiva en el ámbito de la celebración de los sacramentos se convierte en una ‘voluntad manipuladora’ y no puede ser invocada”.
“Por su arraigo en la Escritura y en la Tradición, la materia y la forma nunca dependen ni pueden depender del deseo del individuo o de la comunidad particular”, decía el documento.
“Instituidos por Cristo, los sacramentos son acciones que realizan, mediante signos sensibles, la experiencia viva del misterio de la salvación, haciendo posible la participación del ser humano en la vida divina”, dice el documento. “Son las ‘obras maestras de Dios’ en la Nueva y Eterna Alianza, fuerzas que brotan del cuerpo de Cristo, acciones del Espíritu que actúa en su cuerpo que es la Iglesia”.
“Por eso la Iglesia en la Liturgia celebra con fiel amor y veneración los sacramentos que Cristo mismo le ha confiado para que los conserve como herencia preciosa y fuente de su vida y de su misión”, decía el documento.
Un sacerdote celebra los sacramentos no sólo “in persona Christi” — en la persona de Cristo — sino también “in nomine Ecclesiae” — en nombre de la Iglesia —, decía, razón por la cual debe seguir exactamente los textos litúrgicos aprobados por la Iglesia, que indican cuándo y dónde se permiten adaptaciones o variaciones locales.
La nota doctrinal dice que se aplica a toda la Iglesia, aunque pide a las iglesias católicas orientales que redacten sus propias versiones del documento, utilizando su lenguaje teológico particular “cuando difiera del utilizado en el texto”, y que lo sometan a la aprobación del dicasterio antes de su publicación.
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Chancery Employees Raise Funds and Provisions for Animal Shelter
Diocesan employees at the chancery in Wheeling raised money and provisions for the Ohio County Animal Shelter through a dress down day Jan. 26. Accepting the donations on Jan. 30 are Nelson Croft, manager of the shelter, and Deuce, who is available for adoption. Employees raised $80 to cover his adoption fee. Holding Deuce is Debbie Turziano, director of Human Resources for the diocese. Also from Human Resources are Debra Sine and Mary Paczewski (standing from left) and Julie Link, office manager for the diocese’s Department of Catholic Schools (at right). Sine sadly passed away a few days after this photo was taken.
Diocese of Wheeling-Charleston
CONFIRMATION SCHEDULE – Spring 2024
Bishop Mark E. Brennan, Celebrant
Sunday, March 17: St. Margaret Mary, Parkersburg; 2:00 p.m.
Saturday, April 6: St. Francis de Sales, Morgantown; 5:15 p.m.
Wednesday, April 10: Our Lady of Peace, Wheeling; 6:00 p.m.
Thursday, April 11: St. Joseph the Worker, Weirton; 7:00 p.m.
Sunday, April 14: SS Peter and Paul, Oak Hill; 10:30 a.m.
Monday, April 15: Corpus Christi, Wheeling, 6:00 p.m.
Saturday, April 20: St. Sebastian, Kingwood; 6:00 p.m.
Sunday, April 21: Our Lady of Perpetual Help, Stonewood; 10:00 a.m.
Sunday, April 28: St. Jude, Glen Dale; 9:00 a.m.
Sunday, May 5: St. Brendan, Elkins; 11:00 a.m.
Saturday, May 11: St. John the Evangelist, Wellsburg; 11:00 a.m.
Saturday, May 11: St. Vincent de Paul, Wheeling; 5:00 p.m.
Sunday, May 12: Immaculate Conception, New Cumberland; 8:30 a.m.
Monday, May 13: St. Michael, Wheeling; 5:30 p.m.
Sunday, May 19: St. Agnes, Charleston; 10:30 a.m.
Wednesday, May 22: Immaculate Conception, Clarksburg; 6:00 p.m.
Saturday, May 25: St. James, Charles Town; 10:00 a.m.
Saturday, May 25: St. Vincent de Paul, Berkeley Springs; 5:00 p.m.
Sunday, May 26: St. Joseph, Martinsburg; 4:00 p.m.
Saturday, June 1: St. Francis Xavier, Moundsville; 4:00 p.m.
Saturday, June 8: Basilica of the Co-Cathedral of the Sacred Heart, Charleston; 5:30 p.m.
Sunday, June 9: Sacred Heart, Princeton; 11:00 a.m.
Saturday, June 15: St. Francis de Sales, Beckley; 5:00 p.m.
Sunday, June 16: St. John the Evangelist, Summersville; 9:00 a.m.
Women’s Discernment Retreat
June 21-23, 2024 St. Joseph Retreat Center, Wheeling, WV
The Office of Consecrated Life presents a discernment retreat for single Catholic women ages 18 and over. In a world that lacks moments of silence and reflection it can be easy for us to ignore our callings. Join us and take this time to get to know yourself, your heart, and how Christ is working in your life.
✦ Retreat is free.
✦ Be with other discerning women.
✦ Register now - space is limited!
To Register/More Info:
Sister Martha Gomez, RCS, email@example.com
Office of Consecrated Life
(304)233-0880 ext. 264
Thank You, Officer Lehman!
On Wednesday of Catholic Schools Week, the PK Jr. classes at St. Joseph School in Martinsburg were visited by Officer Lehman of the Martinsburg Police Department. He talked to the children about how he and his fellow officers help protect the community. Thank you, Officer Lehman!
Courtesy Photo
DISCOVER YOUR MISSION. BECOME A KNIGHT.
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Knights of Columbus West Virginia State Council
For more information visit: kofc.org/join
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20/20 VISION SERIES
A YEAR WITH THE SAINTS
Join us as we journey throughout the year focusing on various Saints and their legacies, presented by those among us who live out these legacies in their lives and in their communities.
Note: Each session will begin at 7 pm and will be presented via Zoom.
January 29 St. Elizabeth Ann Seton – Sr. Mary Clark, SC
February 26 St. Brigid of Kildare - Sr. Karen Kirby, CSJ
March 18 St. Joseph – Sr. Kathleen Durkin, CSJ
April 29 St. Mary Euphrasia – Sr. Martha Gomez, R.G.S.
May 20 Blessed Virgin Mary – TBD
June 24 Marcellin Champagnat – Brother John Byrd, FMS
July 29 St. Ignatius of Loyola – Lou Volpe
August 26 St. Dominic – Sr. Ellen Dunn, OP
September 30 St. Lorenzo Ruiz – Fr. Carlos Melocoton
October 28 Jesuit Martyrs – TBD
November 18 Servant of God Dorothy Day – Kate Marshall
December 16 St. Stephan – Deacon John Yaquinta
(Series originated by Ms. Shirley Carter, B.A., M.A.T.)
Cost for complete series: $120.00 Or $15.00 per session.
RSVP – Anna Marie Troiani: firstname.lastname@example.org
St. Joseph Retreat Center
Diocese of Wheeling-Charleston
Office of Consecrated Life
Sr. Martha Gomez, RGS
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TECHNICIAN & Circuit Digests
TELEVISION • ELECTRONIC • RADIO • AUDIO • SERVICE
JULY, 1955
FRONT COVER Pictured against the background of assorted cut-rate tube advertisements are the three stages in the "reprocessing" of receiving tubes—from the trash basket in the TV service shop, to the "reprocessing" firm, and finally, into the packing boxes ("nestings") in which they are shipped all over the country. The whole story, with the details, will be found in "The Reprocessed Tube Racket," beginning on p. 12 of this issue.
FEATURES AND ARTICLES
Why Service Technicians Are Whipping Boys ................................................. 9
"Tuning in the Picture" .................................................................................. 10
The "Reprocessed" Tube Racket! ................................................................. Creighton M. Marcott 12
Shop Hints ..................................................................................................... 17
Small Shop's Service Charges ........................................................................ L. Doyle Peck 18
Universal High-Voltage Meter Probe ............................................................ J. Richard Johnson 19
Calibrating Your Signal Generator ............................................................... M. G. Goldberg 20
"Tough Dog" Corner ...................................................................................... 22
Detector Oscillates ......................................................................................... R. Eldridge
High-Voltage Arcing ..................................................................................... David A. Young
"Key" to the Problem ................................................................................... Donald Anglin
Mountain Antenna Installation ..................................................................... Jack Darr 23
Renecked Picture Tubes ............................................................................... 24
Vibrator Power Supplies .............................................................................. Kenneth Backman 26
Is Safety Glass Safe in Implosions? .......................................................... L. H. Wilson 28
Troubleshooting TV Tuners ........................................................................ W. J. Williams 30
H-V Lead Dress Guide .................................................................................. 32
Let's Look at Circuits ..................................................................................... Sidney C. Silver 34
New Service Aids .......................................................................................... 38
Audio New Products ...................................................................................... 40
DEPARTMENTS
Calendar of Coming Events ........................................................................ 11
Letters to the Editor ....................................................................................... 36
New Products ................................................................................................. 37
Service Association Reports .......................................................................... 43
Catalogs & Bulletins ...................................................................................... 44
New Books ..................................................................................................... 44
Reps & Distributors ....................................................................................... 46
News of the Industry ..................................................................................... 46
CIRCUIT DIGESTS .......................................................................................... 49
IN THIS ISSUE
ADMIRAL: TV Chassis 18XP4BZ
EMERSON: Transistor Pocket Radio
GENERAL ELECTRIC: Hi-Fi Amplifier
HOFFMAN: TV Chassis 306-21, etc.
PHILCO: TV Chassis TV-300, 301
WESTINGHOUSE: Portable Radio
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No. 53-1 NET $0.51
G-C CARBON-X
Quiet noisy carbon volume controls.
No. 1205 NET $0.72 No. 126-2 NET $0.39
G-C REK-O-DOPE
All-purpose recording lubricant.
No. 677 NET $1.29
G-C GLO-BAR THERMISTORS
Resist in series heater tubes.
No. 9135 NET $1.44
G-C STREAMLINE POINTER
Black 2" long, also red, ivory, etc.
No. 1171 NET $0.25
G-C AC-DC INDOOR ANTENNA WIRE
Flexible copper, insulated.
No. 840 NET $0.27
G-C SPAGHETTI ASSORTMENT
Variety of sizes and colors.
No. 551 NET $0.84
G-C ASSORTED SPACERS, BUSHINGS
Kit in jar - many chassis uses.
No. 6617 NET $0.51
G-C FAHNESTOCK CLIPS
Box of 12 assorted plated clips.
No. H590-F NET $0.30
G-C LIQUID NON-SLIP
Prevent slipping on drive cables.
No. 1211 NET $0.21
G-C AUTO STATIC CHASER KIT
Injector and tire static powder.
No. 5606 NET $1.65
G-C PRINTED CIRCUIT REPAIR KIT
Contains Silver Print, Silicone Resin, Solvent and all tools.
No. 680 NET $5.85
G-C TV CORONA DOPE
Prevent corona shorts in TV sets.
No. 47-2 NET $0.72
G-C 300-OHM WALL PLATE
Brown plate and plug.
No. 8595 NET $0.75
G-C WESTINGHOUSE TV ALIGNER
Fits openings in Westinghouse coils.
No. 9089 NET $0.54 No. 9096 NET $2.22
G-C TELEVISION ALIGNING WRENCH
Socket 3/4" square; 6" long.
No. 5080 NET $0.51
G-C NON-MAGNETIC ALIGNER
Tough, heat-treated beryllium.
No. 9105 NET $0.75
G-C ADJUSTABLE SHORTY
Adjusts from 1 3/4" to 2"
No. 9090 NET $0.42
FREE! Send postcard for your big G-C CATALOG.
GENERAL CEMENT MFG. CO.
902 Taylor Avenue
Rockford, Illinois
ASK YOUR JOBBER FOR THESE G-C SPECIALS OF THE MONTH
G-C 3-for-2 CHEMICAL SPECIAL
No. B-1 Pack of 3 NET $0.69
TELCO 6-PACK LIGHTNING ARRESTORS
No. 8642-6P Pack of 6 NET $2.25
G-C SPRA-KLEEN
No. 8666 6-oz. can NET $1.00
TELCO HINGED ROOF MOUNT
No. 9021 NET $1.17
SERVICE DEALERS:
ask your RAYTHEON Tube Distributor for these wonderful sales helps...
You ain't seen nuthin' until you see the sensational collection of sales and shop aids in the new Raytheon BALL-OF-FIRE BUSINESS BUILDERS booklet. Pictured are a few of the new additions to Raytheon's already famous collection of tried and tested promotion items. For years, Service Dealers from coast-to-coast have been relying on Raytheon sales aids to help them get more than their share of business, using Raytheon Shop Aids to help them work more efficiently, and effectively.
Many items are free, the rest are 'way below normal cost. Ask your Raytheon Tube Distributor for a free copy of the new Raytheon Booklet or write to Department C, Raytheon Manufacturing Company, Receiving and Cathode Ray Tube Operations, Newton 58, Mass.
RAYTHEON MANUFACTURING COMPANY
Receiving and Cathode Ray Tube Operations
Newton, Mass. • Chicago • Atlanta, Ga. • Los Angeles, Calif.
Raytheon makes all these:
Receiving and Picture Tubes • Reliable Subminiature and Miniature Tubes
Semiconductor Diodes and Transistors • Nucleonic Tubes • Microwave Tubes
TECHNICIAN • July, 1955
"Westinghouse Receiving Tubes Cut Our Call-Backs by More Than 30%!"
One of the oldest and largest TV service organizations in New York—Planet TV—submitted Westinghouse Receiving Tubes and the tubes of other manufacturers to a rigorous, factual "call-back" test.
The test was set up by equipping two identical chassis; one with all Westinghouse types and the other with identical tubes of other manufacturers. The sets were turned on and operated 8 hours per day for 5 consecutive days, the average period during which Planet TV's records show that call-backs normally occur after renewal tube installation.
The chassis equipped with Westinghouse tubes showed no failures. The other chassis showed 3 tube failures—3 potentially costly Planet call-backs.
Why don't you make this simple, profitable call-back test in your shop. Prove to yourself, too, that Westinghouse Receiving Tubes can drastically reduce your call-back problems—and increase your profits! See your Westinghouse distributor today! Start using Westinghouse Reliatron® Tubes right away!
| BREAKDOWNS: SET A (WESTINGHOUSE TUBES ONLY) | BREAKDOWNS: SET B (THREE COMPETITIVE BRANDS) |
|---------------------------------------------|-----------------------------------------------|
| Monday | None |
| Tuesday | None |
| Wednesday | None |
| Thursday | None |
| Friday | None |
YOU CAN BE SURE...IF IT'S Westinghouse
RELIATRON® TUBES
WESTINGHOUSE ELECTRIC CORPORATION, ELECTRONIC TUBE DIVISION, ELMIRA, N.Y.
SETTING THE PACE...
in ALL-CHANNEL fringe antennas!
SUPER SUN BEAM
Model SB662
The new, super-sharp yagi utilizing the unique Tri-King dipole together with completely insulated parasitic directors and reflectors! Actually two antennas in one for peak high and low band reception.
Clear Beam’s 5 peak performers solve all fringe problems*...
TRI-KING
Model TK1500
Highest gain of the big screen antennas! Half wave electrical spacing. Eliminates ghost and co-channel interference. Full radar screen – wind tunnel tested!
BIG CHIEF
Model BC12-2
An advanced concept with element diameters varied for precision tuning, matched sensitivity and peak performance on high and low band!
HUNTER
Model MYH50
New wave trap principle gives extremely high gain, sharp directivity, improved tuning on all channels. New, flat design for low wind resistance!
*Spectrum-tested for balanced color reception!
CLEAR ANTENNA CORP.
BEAM
Canoga Park, Calif. • Chicago, Ill.
affiliated with TEMPO TV products
Warehouses In Seattle, Portland, San Francisco, Honolulu, Dallas, Kansas City, Chicago, Detroit, Baltimore
TECHNICIAN • July, 1955
from DELCO RADIO...
High-Quality POWER TRANSFORMERS for Car Radios
Developed by Delco Radio and General Motors electronics specialists, and built under a strict quality control, Delco Universal Vibrator transformers have the kind of built-in customer satisfaction that can do a lot for your business.
And there’s a model to replace the vibrator transformer in just about every model of car radio.
Three—Model Nos. 6055, 6065 and 6067—are uncased and do not include a filter network. Three others—Model Nos. 6060, 6064 and 6066—are cased and do include an “A” line filter network consisting of an “A” choke and a .5 mfd. capacitor. All six models have long-enough leads for universal application, and cased models are supplied with three self-tapping screws and a drilling template for easy mounting.
Here are some more of the features that prove this is the power transformer line to fill your needs... one that’s competitively priced all the way, quality-made through and through... the Delco line:
Laminated core inserts stamped out of low-loss silicon steel and heat-treated so magnetic properties will not change • Primary and secondary coils wound by skilled operators using special machines • Hot asphalt compound poured into cased models to hold components in position, transfer heat and protect quality and performance.
Order these quality products of a volume electronics manufacturer through your UMS Electronics Parts Distributor today.
DELCO RADIO
DIVISION OF GENERAL MOTORS, KOKOMO, INDIANA
A GENERAL MOTORS PRODUCT A UNITED MOTORS LINE
DISTRIBUTED BY ELECTRONICS DISTRIBUTORS EVERYWHERE
TECHNICIAN • July, 1955
the one line that has everything
C·D·R ROTORS
a model for every need
Powerful beyond any need!
featuring the SHARPEST TUNING AUTOMATIC ROTOR
model AR-2 ... complete, automatic rotor with thrust bearing. Handsome modern design cabinet, uses 4 wire cable.
model AR-1 ... same as AR-2 without thrust bearing.
model TR-2 ... the heavy-duty rotor with plastic cabinet featuring "Compass Control" illuminated perfect pattern dial, uses 8 wire cable.
model TR-4 ... the heavy-duty rotor complete with handsome, new, modern cabinet with METER control dial, uses 4 wire cable.
model TR-12 ... a special combination value consisting of complete rotor, including thrust bearing. Handsome, modern cabinet with METER control dial, uses 4 wire cable.
model TR-11 ... same as TR-12 without thrust bearing.
Here is the one COMPLETE line of rotors...everything you need because there is a CDR rotor for every need! SIX skillfully engineered models...ALL FIELD TESTED AND PROVEN by thousands and thousands of satisfied users from coast to coast.
Pre-Sold to millions every week on TV stations across the nation.
CORNELL-DUBILIER
SOUTH PLAINFIELD, N.J.
THE RADIART CORP.
CLEVELAND 13, OHIO
TECHNICIAN • July, 1955
Weak TV Pictures? Replace Your Old Antenna Now!
The weather’s warmer! Days are longer! This is the time of year to go after that gold mine in your own backyard: the replacement of the antennas in your area that are damaged, worn, and obsolete.
Channel Master’s RAINBOW is the favorite replacement antenna of America’s TV installation men — and here’s why:
- There’s a RAINBOW model for every installation … for every signal area … for every budget.
- Regardless of competitive claims—Channel Master’s RAINBOW antennas are still the most powerful antenna series available today! Advanced engineering and the exclusive Tri-Pole make the difference!
- Featuring the fastest and strongest of all preassemblies: trigger-fast “Snap-Lock” action, Channel Master’s fabulous preassembly that snaps open, locks open, without hardware or tightening.
- All-aluminum construction. Rugged, durable, reinforced at all stress points.
Today’s greatest all-channel antenna value — bar none!
CHANNEL MASTER’S RAINBOW*
the ideal replacement antenna
NEW!
Narrow-space stacking!
Channel Master’s RAINBOW and SUPER RAINBOW can now be stacked only 60” apart. These new, extremely efficient, 2-stage, impedance-matching stacking rods permit easier installations with an absolute minimum sacrifice of gain.
model no. 331-7
Champion Rainbow 330 series
Super Rainbow 331 series
Challenger Rainbow 332 series
CHANNEL MASTER CORP.
ELLENVILLE, N. Y.
The World’s Largest Manufacturer of Television Antennas
Why Service Technicians Are Whipping Boys
All too often, the accusing finger and snide remark are directed at the conscientious service technicians who are responsible for maintaining the nation's 132,000,000 radios, 35,000,000 TV sets and other electronic equipment. They are unjustifiably maligned and attacked.
Why?
The first reaction might be to put the entire blame on that tiny fifth fringe of the servicing industry—the gyp operator. There is no doubt that this unsavory specimen has harmed the reputation of honest technicians, and deserves to be put out of business. However, the gyp operator is not the complete answer. There are probably as few hustlers in the radio-TV field as there are in, say, plumbing and carpentry. Yet it's the electronic tech who bears the brunt of attacks.
To understand the reason for this—and to develop a focal point for corrective action in the process—we must examine a number of industry-wide factors which combine, in addition to the gyp label, to make service technicians national whipping boys.
INNOVATION: TV, Hi-Fi, electronic controls and similar devices are relatively recent innovations to the public. Their novelty and bewildering complexity confuse the layman, and make him suspicious of anyone who comes into his home prepared to do battle with an enigmatic electronic monster. In short, you know a great deal about a subject of which he is ignorant. Another aspect of innovation is the glamour associated with it. TV is an inviting subject for newspapers and politicians to play up. In time this problem will diminish, but we must continue to educate the customers in friendly conversations, and support our associations in their educational programs.
FRAUDULENT PRACTICES: Nothing hurts an industry more than continued reports of frauds and dishonesty. We must exert every effort to combat these activities. For example, in this issue you will find the "Inside Story of the Reprocessed Tube Racket." This exposé is being published not as an attention getting sensation (TECHNICIAN already has the largest paid circulation among service technicians in the entire field), but as a means of showing you where your efforts can clean up a situation that is adversely affecting your reputation and your hard earned income. Back in 1937, Caldwell-Clements, publishers of TECHNICIAN, exposed a dummy-tube radio fraud. The results of that report are existing regulations which specify that a manufacturer must make an honest statement as to how many functioning tubes his set contains.
DISTRIBUTION: Distributors who sell to the public at wholesale prices rob technicians of prestige as well as dollar profits. The fact that consumers can buy parts at the same price in the same place as you, lowers their estimation of your professional status. Older and more stable industries generally do not allow this situation to arise, nor do the customers have access to wholesale prices. The solution to this problem is quite straightforward. Don't patronize offending distributors!
PUBLIC RELATIONS: Not enough technicians realize that good relations with customers are almost equivalent to dollar income. Dress to make a snappy appearance, clean up the shop front, don't leave dirt on the customer's rug, make promotional mailings—to mention just a few worthwhile suggestions. It never hurts to use a little psychology, such as patting junior on the head or admiring a painting on the customer's wall. Closely tied to the problem of innovation discussed previously is the explanation of why you charge a certain amount. Don't forget, that bill for $30 might be 20% of the complete cost of the set. Indicate your test equipment, explain the precision engineering that goes into an electronic component, etc. Failure to maintain good public relations cuts your prestige, and makes you more subject to unwarranted attacks.
MANUFACTURER POLICY: The competitive positions of the various set makers have been partly responsible for fostering a cut-throat pricing policy, which a number of discount dealers have been quite eager to adopt. The overall effect has contributed to encouraging the public to look for the same cut-pricing in servicing. Another phase of manufacturer policy is corner cutting in set design, which in some cases leads to inferior performance—and the technician bears the brunt of consumer displeasure for this shortcoming. We should not hesitate to write directly to the manufacturers to make them realize how their actions affect technicians. Make them understand that the technician can not be ignored, that he is the expert in the customer's home, and the right word from him can make or break the manufacturer's reputation.
There you have the big picture of why service technicians are whipping boys, taking the blame for problems that are usually not of their own making. Follow the various suggestions made here—do so aggressively! —and help to make your chosen profession one that people will look up to.
UNEXPECTED URANIUM FINDS in Illinois and Maine are being used by manufacturers of popular-priced Geiger-Muller counters to push the "find-it-yourself" fad all over the country. More and more inexpensive locating instruments are popping up. Many vacationers this year, particularly those who will be touring the country by auto, will carry these instruments with them in the hope of getting rich quick. Selling or repairing the counters may be a way of picking up extra trade this year.
RAILROAD USE OF 2-WAY RADIO is considerable now and still increasing. Some uses to which mobile communication set-ups are put: car inspection, yard and terminal operations, dispatch line control, maintenance of roads, and supervisory operations. Electronic "impact recorders" are also being employed in freight operations to clear up arguments over damaged goods and point the way to better packaging and loading.
ACUTE PRICE-CUTTING CONDITIONS in many of the big-city areas are causing some shops to cut down on service personnel—and to do so reluctantly. A significant trend is seen in the movement by some of the very large discount-houses to set up service departments to combat competitive talk to the effect that such outlets do not offer after-sale maintenance and repair facilities.
TRANSISTORIZED POCKET CLOCK was demonstrated by D. E. Noble, v. p. of Motorola's communications and electronics division. It is really a 6-transistor receiver fixed-tuned to the Naval Observatory in Virginia, that gives the time every other hour. The sturdy, hermetically sealed unit can be boiled in water without suffering damage. It will operate 5 hrs. a day for 25 days on a pair of penlight batteries . . . Also demonstrated was an electronic golf ball (built-in-transmitter) that can't get lost. A direction-finding pocket receiver picks up its signal.
DID YOU KNOW that the parts jobber with whom you do business may regularly carry as many as 10,000 items in stock? What's more, each "item" so considered may itself consist of many others. For example, one of the 10,000 items is "capacitors." It may be necessary to stock 700 to 800 different combinations of values, types and tolerances of this one "item."
TECHNICIAN EDITORS "GUESSTIMATE" that the delivery and pick-up rate by customers themselves on serviced sets is at least 50% less than it was in the immediate pre-war period. . . . That the average shop renders call-back service (often free) on one out of twelve TV sets repaired within 30 days of time original work was done.
REMEMBER 'WAY BACK WHEN TV servicers had to make house calls coincide with periods during which programs or patterns were on the air? . . . And bub, you're getting along in years if you remember that radio "ground" antenna which was driven into the earth and filled with water. The lower part of the rod was filled with a chemical compound said to "increase radio energy" (1932).
"Okay, you've got a thousand million ohms—so what?"
AUTOMOTIVE ELECTRONICS on the march: Time was when the only electronic device inside the family car was the AM radio. Add these to the growing list: headlight dimmers, FM radios, car telephones and garage-door openers. For the future, count on: transistorized radios, TV sets and Hi-Fi installations. RCA and Philco, among others, are showing the transistorized radios. The Philco unit will be special equipment on Chrysler and Imperial cars this fall. Universal Broadcasting System of Boston has developed a 14-in. TV set, to be mounted in the back of the front seat, for General Motors. Jensen's 2-way Hi-Fi speaker system for cars, illustrated in this space last month, may be introduced in the high-priced Ford line.
JULY 1955 NETWORK COLOR TV SCHEDULE
| Date | Time | Network | Program |
|------------|---------------|-----------|----------------------------------|
| Sun. July 3| 6:00—7:00 PM | DuMont* | "Sunday Supplement" (Film) |
| Sun. July 10| 6:00—7:00 PM | DuMont* | "Sunday Supplement" (Film) |
| Sun. July 17| 6:00—7:00 PM | DuMont* | "Sunday Supplement" (Film) |
| Sun. July 24| 6:00—7:00 PM | DuMont* | "Sunday Supplement" (Film) |
| Mon. July 25| 8:00—9:30 PM | NBC | "Producers' Showcase" (Live) |
| Sun. July 31| 6:00—7:00 PM | DuMont* | "Sunday Supplement" (Film) |
*DuMont color film series over WABD.
MUSIC BY THE MILE: If you could lift the groove from a long-playing record and pull it out straight, you'd be surprised at how far you'd have to walk with it. Just a half-capacity load of microgroove discs on your automatic changer during one home-listening session holds well over a mile of grooves. Compare this to the "maximum load" (one disc) of the old-type phonographs with the old-type records, where you only had a couple of hundred feet of groove. Yet, where you had to change the needle after each play in the past, a single high-quality stylus will nowadays hold out for thousands of discs.
TECHNICIAN RHYME—You Hate the Work, Hey, Bub?
Though plenty gripe about the grief, and swear that they would just as lief dig ditches, drive a bus, raise bees, as fixing customer's TV's, the guys who bellyache this way don't mean a word of what they say. The technician's wife can testify to where such a guy's affections lie. She'll tell you that her honey bee is also wed to circuitry. So when you hear TV men claim that they are fed up with this game, remember, they love their careers like Davey Crockett loved frontiers. And bank on this, the true technician, is a happy guy with his position.
GROWING NUMBER OF TECHNICIANS in big mid-western city have exhausted their patience with large parts distributor who insists on discounting to the public. When this distrib's salesmen come around to service shops, they're greeted with: "You're from ——? Get out!" As more techs start using this clear-cut approach, jobbers will learn that a strict "Wholesale to Trade" policy is the only way of earning technician support.
THAT TECHNICIAN'S DUMB GIRL FRIEND is still gooning in the picture. She thinks a chassisyanker is a guy who kidnaps dames; that a hex nut is a bewitched moron, and she's almost certain that TVI is impaired vision of sorts... She believes that sync clatter is a kitchen noise, and that Ike is a DC restorer because he brought the Republicans back to the White House... This frail swears that her technician cousin once was arrested for violating Ohm's Law... In her opinion, i-f trimmers are window dressers.
WATCH FOR BIG PUSH BEHIND COLOR-TV within the next few months, with more and more manufacturers getting on the color "brandwagon" with new sets. Smart shop owners are getting themselves set for the "new era" in TV broadcasting by setting themselves up as headquarters for Color-TV in their respective communities.
An unscrupulous element in the electronics industry has turned the hundreds of thousands of old, worn out receiving tubes discarded by TV technicians into a multi-million dollar annual business. These firms, a number of whom are trading on the respectability of old established names, are reprocessing these tubes and selling them back as "first quality" tubes to unsuspecting servicemen at fantastic profits. These are the facts turned up by an investigation recently completed by TECHNICIAN.
In many cases, TECHNICIAN found that the old tubes had been purchased for 1¢, 2¢ or 3¢ apiece, and then, after "reprocessing," and insertion in a new carton, with a private name, had been sold back to the trade at prices ranging from 30¢ to $1.50. They were advertised as "first quality," "peak performance," and similar impressive but meaningless titles.
The actual amount of business done by these firms could not be pinned down, but unofficial sources estimated that "reprocessed" tubes account for close to 10% of the replacement tube market. Reasonable substantiation was found in TECHNICIAN's findings.
One firm in New Jersey, from all indications the largest in the country, does its business through legitimate jobbers, as well as mail-order. A constant supply of old tubes is provided by a network of "commission agents," each of whom makes the rounds of the TV technicians in his own community. While the number of tubes "reprocessed" by this firm can only be conjectured, something of a clue can be gained by the fact that in a recent court case purchase orders were introduced which showed a transaction involving many thousands of tubes between this New Jersey firm and two other companies in the electronic field.
Another firm, which has been quite active in Brooklyn, N. Y., has now, according to latest information, moved all its equipment to Florida. This was just one of the signs that indicated that the "reprocessing" business, which until quite recently had been centered around the New York-New Jersey area, is now becoming widespread.
The racket came to light when TECHNICIAN editors became suspicious of the ridiculously low prices at which tubes were being hawked in mail order advertisements and decided to go "shopping." The itemized account of the tubes purchased and the number found unusable will be found elsewhere in this article. But more important than the number of defective tubes is the fact that so many of the tubes showed signs of having been tampered with in order to restore them to usable status. Remember, these are receiving tubes being discussed, not picture tubes.
**Tube Industry Operation**
To understand how such a business is allowed to exist, it must first be understood how the tube business is organized.
The first run, brand new, in-warranty tubes come from two sources. The first, the tube manufacturer himself, is, of course, the prime supplier. In this case the channel of distribution is tube mfr.-to-distributor (jobber)-to-dealer, or service technician.
The next source for new tubes is the equipment manufacturer. Since he buys a great many tubes he gets a substantial discount below the distributor when buying from the original tube manufacturer. Not infrequently he will find himself overstocked, or with an excess of obsolete tubes (for instance, in the change from 5U4G to 5U4GA/GB). The tube maker is ready, in most cases, to buy back the tubes at cost, but on the other side is the distributor (or jobber) who is ready to pay the equipment manufacturer more than he originally paid for the tubes.
Human nature being what it is, a great many of these tubes find their way into the market, as the familiar "bulk" tubes. The practice is frowned upon, naturally, by the tube manufacturer and strenuous efforts are made to minimize the practice.
When buying "bulk" tubes, which, as you know, do not come in a carton, you will have to rely on the distributor to stand behind the warranty indicated by the date on the tube. Incidentally, there are differences in the markings on the tube which will indicate to the tube manufacturer whether the tube was originally sold to be used in equipment or as a replacement tube.
"Seconds and Rejects"
For the "seconds," "rejects," "used" and "reprocessed" tubes, which experienced tube manufacturers estimate comprise approximately 20% of replacement tube sales, there are many sources.
The first is the original tube manufacturer. Some of the tube manufacturers destroy their rejected tubes, but a few sell them under different names, or sell them to other individuals or firms which brand them with their own name. These may be very fine tubes—or very poor. If tube makers destroyed all their rejects, a major source for the "bargain" outlet would be cut off.
The "second" or "reject" is the best bet in the "bargain tube" field—if you are sure that it is truly a new tube. TECHNICIAN found in the course of the investigation, however, that even experienced tube men hesitate to identify a tube as "brand new, never used." "Reprocessing" has become such an "art" that sometimes only a top-notch tube engineer can be relied upon to distinguish the new from the "reprocessed" tube. Information on how the tubes are processed—and tips on recognizing them—will be found in a later section of this article.
One Philadelphia company is representative of a legitimate phase of the bargain tube field. Many of its tubes are purchased new from prime tube manufacturers, directly or indirectly, with no brand name im-
"Bulk" tubes (below left) come from equipment manufacturers in 100-tube boxes (nestings). Radio and TV receivers being "cannibalized" (below right) are chief source of "used" tubes.
very reason, as soon as a tube goes out of date, its value takes a sharp drop. This opens the door to very considerable savings for the serviceman, if he can find a source of such tubes. These tubes, like the tubes above, become available to the market when the stocks of bankrupt firms are auctioned off.
Well-advertised in the cut-rate ads but without any substantial basis in fact that TECHNICIAN could find, are the "pull-outs," tubes removed from electronic equipment. The ads make a point of stating that they are removed from government equipment, which is quite impressive, if true, since the tubes used by usable tubes drifting around in the industry do have a value, but that value can be determined only on the basis of their past history.
So much for the "legitimate" tubes. While some of them are of questionable origin, and it may be hard to condone their use, they stand on their own merits. We will now take up the case of a very different phase of the tube industry—the tube "reprocessors."
**Tube Reprocessors**
Tube "reprocessors" fall into one of two groups, depending upon whether they treat the tubes electrically, in addition to restoring their outside appearance. The first, and most vicious group, are firms which generally buy up old tubes from TV service shops, for 1¢ to 3¢ apiece, clean and polish them, buff off the manufacturer's name and other pertinent information, and resell them. The only requisites in most cases are that the filaments are intact (that the tubes light up), and that some deflection be shown in a tube checker.
For supplementary information on this racket, TECHNICIAN went to District Attorney Edward S. Silver
---
"A DANGEROUS WEAKENING OF MORALITY AND ETHICAL STANDARDS" . . . Herbert Hoover
Former President Herbert Hoover recently told Congress that "in the last analysis, no law will substitute for ethical standards applied as a matter of course by individuals in their daily conduct of public business."
An identical concept is found in Caldwell-Clements rules on the acceptability of advertising. Based on the ethical needs of the industry, these rules require that advertisements shall give all essential information about a product so that the purchaser will know what he is getting.
The life expectancy of tubes purchased from these sources is, of course, speculative. It will depend completely on the past history of the tube; how, and for how long it was used.
Now, despite the rather questionable life expectancy of these four classes of tubes, and their hazy past history, these tubes are "legitimate." If the tubes are advertised as removed from electronic equipment, and the tube comes from an 8-yr. old 630TS—or worse, a pre-war radio—it is still an honest transaction in that the buyer knew, or should have known, what he was getting.
The point is that these millions of
A similar operation is being conducted today by Company A of this survey who, incidentally, advertises the lowest prices in the industry. TECHNICIAN shopped this mail order firm twice; once as a private individual, and once as an established, and rated, TV service firm. In the first order of 21 tubes, 14 were found unusable. (The check was made on an emission-type tube checker with "Good" reading as the standard. Life tests and $g_m$ measurements were not made, giving the tubes the benefit of any doubt.) In the second batch of tubes from this firm, which was ordered for TECHNICIAN by a long-established service firm, 17 of 20 tubes were found unusable. (Contrast this failure percentage with that of brand new tubes which commonly run about one unsatisfactory tube out of 100, according to one prime manufacturer.) All 3 usable tubes, strangely enough, were 12-AU7's—the only 12AU7's ordered!
"Hot-Shot" Tubes
The first order of 21 tubes turned up 6 tubes which could be positively identified as "reprocessed" or "hot-shot" tubes. It should be borne in mind that it is often very difficult to say for certain whether a tube has been restored, and that, almost certainly, many more of those tubes had been treated.
To pin the operation down, TECHNICIAN returned the defective tubes for refund, pointing out the guarantee promised in the advertisement. Not long afterward a check was received for the full amount due for the returned tubes. This is apparently a standard practice with these firms. In another case, with Company B, a refund was also quickly forthcoming, and from checking with other quarters it seems reasonably safe to say that there is, as a rule, no quibbling over refunds.
Misleading Advertising
One firm has an address only a few doors from one of the top tube manufacturers. Another one makes a point of mentioning that he is located in the home town of one of the largest tube manufacturers in the country. This may give some servicemen the impression that they are getting "seconds" or "rejects" right out of the factory. Absolutely no facts were found by TECHNICIAN to support any such theory. Tubes, even with the manufacturer's name buffed off, can usually be traced to the original manufacturer through the manner in which the tube designation is applied to the tube. Among the tubes ordered from the latter firm, the percentage of tubes from the manufacturer with whom the firm may be assumed to have an "in" did not exceed that of his competitors in the bargain tube business. And, in no case, were there more than would be expected with a random sampling of the industry's receiving tubes.
Reputable tube wholesalers, having brand new first quality tubes to offer, are finding it next to impossible to compete in the open market because of this fraudulent advertising. One firm whose prices on standard brand tubes are comparable to those offered by parts jobbers, but almost twice those offered by his lowest-priced competitors in the mail-order field, finds it necessary to justify his prices with this explanation: "Latest dating — No private label, electrical or mechanical rejects. No rebrands or 'rewashed' bargains."
There can be absolutely no defense of the firms picking up discarded tubes and reselling them as "quality, 1 yr. guaranteed" tubes. This is so misleading that it can only be wondered that the practice has endured for so long. This point was brought up in talks with District Attorney Silver. Why, TECHNICIAN asked, was this practice, which he and his staff also had become aware of in their investigation, not made a part of his case? He pointed out that at no time were the tubes referred to, or advertised as "new." The only claim was that they were "peak performance" tubes. Since such a phrase has no standard connotation, it was felt that there was no basis for his staff to work on. He subsequently submitted the case to government authorities for prosecution as mail fraud, but no prosecution resulted.
Service technicians should bear in mind that they run a double risk when they make replacements with used tubes. First, the chance of subsequent tube failure in a short time can incur much customer displeasure and annoying callbacks. Second, there may be unhappy legal implications for the technician who charges brand new list price for a tube he knows to be used or reprocessed.
There seems little reason to believe that this phase of the "reprocessing" business—that of picking up discarded tubes, washing, sometimes rebranding, and reselling them without trying to improve performance—is widespread. It may flourish on a local basis in some communities, and, as with Company A, in isolated mail order operations, but on the whole, it is spurned by most firms in the cut-rate field. The reasons are two-fold; first, it is a messy business,
and second, it is so much easier, once the equipment is set up, to do a real "reprocessing" job on the tubes.
The firm selling washed, discarded tubes is a nuisance, but at least you can usually recognize his product. The real "reprocessor" is something else again. This firm takes an old tube and restores it so that both outwardly and electrically it appears to perform as well as brand new tubes. This represents a true menace.
Reprocessing, or "toasting," or "hot-shot-ing," as it is sometimes referred to, is almost as old as the tube business. Tube engineers have long been aware that even when tube emission has fallen below the point where it is usable, the application of certain methods will restore emission, at least temporarily.
Tube emission is dependent, mainly, upon the amount of free barium on the surface of the cathode. When the barium is depleted, the tube emission fails. Now, although, the "free" barium is depleted, there is still some left in the cathode material which has not come to the surface; the result, in most cases, of improper "aging" during the manufacturing process.
**Heating The Cathode**
The tube reprocessor takes over where the tube manufacturer left off. With the tube whose emission has failed due to depletion of the free barium, he simply heats the cathode to a temperature in excess of that to which it is normally exposed. This additional heating liberates barium which did not come to the surface in the course of the original "aging" and would not normally come to the surface at the usual operating temperature of the cathode. This fact brought out an interesting observation by one veteran tube engineer. He pointed out that while this reprocessing would, indeed, restore emission temporarily, it would endure only until this new supply of barium was exhausted. No more barium would be liberated at the ordinary operating temperature of the cathode.
In talks with other tube engineers, TECHNICIAN tried to pin down estimates of the average tube life which could be expected of these "hot-shot" tubes. There was a general reluctance to make a firm statement because, to a very great extent, the future tube life will depend upon the past history of the tube—whether it was used as an amplifier, oscillator or detector—and for how long it was used. This, of course, is not known. However, one old line tube engineer whom TECHNICIAN questioned on this subject would commit himself to this extent: "Of this we can be sure. The tube life, on the average, will be much less than that of new tubes."
A dead give-away, so far as determining whether a tube has been used or not, would seem to be the burn mark (old barium) opposite the cathode in the top of the glass envelope. But the tube "reprocessors" have licked that one, too. They found that by simply applying the flame of a torch to the glass at that point the barium disintegrated, leaving nothing to indicate that the tube had been used. The glass envelope is absolutely as clean as that of a brand new tube. All that is needed then is to buff off the old name, substitute their own private brand and they have, apparently, "out of warranty, brand new tubes." If the pins are a little discolored from usage, inserting the tube in a metal pin straightener a few times will often do wonders.
Even tubes with open filaments can be "reprocessed" by these firms. Special machines vibrate the tube while high voltage is applied to the external filament connections. When the broken ends within the tube touch together, the arc-over "welds" the joint.
It would appear from the description above that there is no defense against the tube "reprocessor." Actually, this is not so. Despite all the pains they take to camouflage the fact that their tubes have been used, there are a number of almost certain indications which give them away. While no one of these signs is convincing in itself, a combination of these symptoms should arouse suspicion.
First, when you buy anything but a brand new, boxed tube, check it immediately in a tube tester. And when you check it, make sure that you do it in this manner. With the checker on, and the correct settings made, insert the tube in the socket and immediately depress the "Merit" button. In this way you will have a picture of the emission as it builds up. If the tube is a "reprocessed" tube the swing of the needle will be erratic. It will swing up rapidly, then hesitate at one or several points, then continue moving up again. If you want a comparison, try a brand new tube. You will notice that the deflection is rapid, and positive, with no hesitation. The reason that the deflection with the "reprocessed" tube is irregular is that the cathode has been damaged; as the temperature increases, additional areas are activated.
**Loose Particles**
A second, but less trustworthy symptom, is the presence of particles in the glass envelope. In "reprocessing" parts of the tube elements are often flaked off.
A third symptom is the burned mica spacer. This quite commonly results from the heating of the glass envelope to remove the "burn" marks. To recognize burned mica, the technician will have to become more conscious of the appearance of new, undamaged mica. This is quite an important test of "reprocessed" tubes. Discolored pins are another symptom. If the tube you are buying is advertised as "brand new, out of warranty" there is no reason for the pins to show signs of wear.
There is one obvious sign. If the tube designation is barely decipherable, and you are supposedly buying an unused tube, you should immediately become suspicious. There is absolutely no reason for the printing to fade, other than constant use.
One more tip: check the tube base for an oily film. Brand names are usually buffed off with an oil-base abrasive.
Those are the ways that you can protect yourself. But more important is the way that you can protect everybody in the industry. Don't sell your old tubes! Scrap Them! The couple of pennies you make are probably costing some other poor serviceman dollars.
Shop Hints to Speed Servicing
Tips for Home and Bench Service Contributed by Readers
"Tweezers" for Bearings
In replacing elusive, small ball bearings, like those used in variable tuning condensers, the tiny bearings are more easily handled with a pair of "tweezers" fashioned from a 10-in. length of no. 14 bare copper wire.
Form a small eye in each end of the wire (as in the accompanying illustration), then bend the wire in a U-shape so that the two eyes line up when the tweezer is pinched together. In use, the eyes fit against the curved surfaces of the balls and grip them far more positively than fingers can.—Henry Josephs, Gardenville, Pennsylvania.
Plastic Cabinet Repair
This hint saved me quite a few dollars. I had just finished fixing a clock-radio that was still on the bench, and I went on to clean a TV tuner. Some of the cleaner fluid was accidentally sprayed on the radio's plastic cabinet. Well, you would have to see what happened to believe it. The fluid just ate right into the finish of the cabinet, and it seemed as though all were lost. I tried everything I could think of to restore the cabinet's finish, but to no avail.
It occurred to me that an abrasive would help, but it should not be so coarse as to create damage itself. I finally tried some fine scouring cleanser—Bab-O, specifically. I rubbed the damaged spot with the cleanser and a damp rag for about 10 minutes, after which the cabinet was as shiny and bright as though it were new.—George W. Fischer, Elmhurst, Illinois.
Pix-Tube Seat
When it becomes necessary to carry a crt, the top surface of a baby's bathinette makes an excellent seat. It will absolutely protect the face from being scratched.
If such a seat is not available, one can be made up easily by stretching some light canvas material over a wooden frame and tacking it down on all four sides. The actual size of the canvas used is 32 in. by 22 in. The wooden frame, which is 30 in. by 20 in., is made up of lumber 3 in. wide. With the full weight of the picture tube on this cradle, there will be no contact between the canvas and any flat surface on which the cradle is placed.—George E. Manicini, Methuen, Massachusetts.
Pilot Bulb Removal
Extracting hard-to-reach pilot lamps, particularly those recessed in panels, is easier than it looks. Simply push a short piece of rubber tubing over the bulb. Choose tubing of such a diameter that it makes a snug fit over the bulb. The latter may then be manipulated out of its socket easily.—Stanley Clark, East Bradenton, Florida.
Smooth Chassis Holes
A round file serves as an effective reamer when it becomes necessary to make or enlarge holes in metal chassis, without introducing the danger of tearing the metal. To get a clean hole of the right size, drill a hole just large enough to admit the small end of the file. Next, chuck the file in a brace, and turn it counterclockwise into the hole, with a light feed. Turning it in this direction prevents the right-handed cut of the file teeth from binding in the hole.—Harvey Muller, Danboro, Pennsylvania.
Salvage Handy Connectors
Small 45 and 67½ volt batteries are usually provided with one male and one female snap connector. When these batteries are discarded, I remove the fiber strip holding these connectors and save it. A pair of these make a very good connector for speaker leads or other two-wire arrangements. They are heavy and make excellent contact.—Hyman Herman, Flushing, New York.
Versatile Draftsman's Aid
A template of the kind used by draftsmen, made of heavy celluloid and containing openings of various sizes and shapes (as shown in the photograph) has many uses in the service shop. The template illustrated here is about 4 by 5 in. and has circular openings that are very close to common drill sizes. These openings are very convenient for accurately checking drill points. While the circles were not intended for this purpose, they provide an additional function for an already useful aid. These templates may be purchased from any office supply stores.—H. Leeper, Canton, Ohio.
Quick AC Outlet Test
For testing ac lines in the customers' homes, technicians can easily carry along one of the small 2-watt neon "Nite-Lites," available at all dime stores, that plugs directly into the ac outlet. When the complaint is total inoperation, one of these units, which can be carried in a vest pocket, will give an instantaneous indication as to whether the ac circuit is alive. It's better than asking the customer for a bridge lamp.—Joseph Amorose, Richmond, Virginia.
SHOP HINTS WANTED
TECHNICIAN will pay $5 for acceptable shop hints. Unacceptable items will be returned. Send your hints to "Shop Hints" Editor, TECHNICIAN, Caldwell-Clements, Inc., 480 Lexington Ave., N. Y. 17, N. Y.
There is no single solution to the problem of pricing TV repairs that will work for all service technicians in all parts of the country. This article does not pretend to supply such a solution. However, this detailed account of a carefully worked out approach that filled the bill for one man will be the full answer for many, supply a starting point to others.—Ed.
There is no magic formula by which the independent TV serviceman can arbitrarily price his services. He must guarantee himself a fair margin on each job while paying his actual expenses and overhead. At the same time, he must convince his service customers that they are paying only a fair charge for actual materials used and services rendered.
That's why Frank H. Gross, operator of Frank's Television & Appliance Company in Springfield, Ohio, chooses an "individual job" method of pricing his work. Ninety percent of his firm's volume is done in television servicing, with a small line of electric housewares for sale.
"The independent technician has a pricing problem completely different from large service companies, who can work on long-range averages and use pre-set service charges for specific repairs, adjustments or replacements," he points out.
Yet he must have some answer for the customer who calls and asks "How much will you charge for a house call?" That's why I set up a definite house call charge, when the set can be fixed in the customer's home. I have another standard rate for pick-up and delivery if I must bring the set into the shop. But from then on, it's strictly what every job is worth in labor and parts."
Gross justifies his position in this manner: The one-man or small-staffed service company cannot have "specialists" in certain repair jobs, or for certain makes of TV sets. He must be prepared to tackle every repair or adjustment on any brand of chassis. Even with the best of training and years of experience, he'll run onto the "toughies"—sets which may take many hours to analyze and repair.
When this happens, he can't compare notes with other technicians. He must test methodically until the trouble is spotted. A larger TV service firm, using pre-fixed labor charges for every repair operation, can let the tough jobs average out with the easy ones.
Weighing the Cost
"I look at it this way," explains Gross: "When I finally spot the trouble in a troublesome set, I decide, on the basis of what the source actually was, whether it would have taken any average technician the same length of time to find the trouble. If the trouble was something relatively simple which I overlooked because of unfamiliarity with the set, I cut the actual analysis time charge in proportion. But if the reason for the long analysis was because the faulty component actually was difficult to spot for anybody, I allow full time involved in analysis."
Gross admits that he sometimes is shortchanged on an actual dollars-per-hour basis when unfamiliarity with a certain brand lengthens the analysis time, but feels that this is worthwhile because he has learned something in the process which will enable him to handle the next such job that much easier.
Here's how he figures home call, pick-up and delivery, parts and in-shop labor prices:
1. Home calls—$4.50, plus list price of parts used. This, he finds, is enough to offset transportation costs, and allow 30 minutes actual repair time in the customer's home.
2. Pick-up and delivery—If a cursory analysis indicates the need for further testing in the shop to determine the trouble, $4.00 will be added to the final repair bill for pickup and delivery of a console model, $2.00 for a table model. Gross favors removing the chassis from the cabinet in all cases right in the home, taking only the chassis to his shop. This lightens the load. The $4.50 home call charge does not apply, of course, in this case.
3. Price of parts—The job of parts pricing is simplified by buying them already price-marked with the list price from the jobber. This guarantees a fair markup, saves bookkeeping, price-marking trouble.
4. In-shop labor—$4.00 per hour for actual time spent in analyzing and repairing the set. This figure, he feels, allows a fair labor charge with sufficient margin for overhead and depreciation of equipment.
"I have posted a manufacturer's suggested pricing list for all repair operations, and find that my charges generally do not vary far from the list," he reports. "But I refuse to be governed by it, because an unusual string of tough analysis jobs on seldom-encountered brands of TV, or sets with several faulty components which compound the analysis, could hurt the small service operation if..."
Charges: One Man's Policy
Small But Successful Operator Answers These and Other Questions
Part pricing on bill is simplified by helpful jabber, who tags parts with list price.
it is governed strictly by long-range averages."
Customers' reactions to Mr. Gross' pricing method are favorable in most instances, he reports. Many of them report his charges for replacing certain tubes actually range under that charged by larger firms using preset repair tables. He has several rules for assuring the customer that his prices are fair.
With every job, he returns the old tubes or other parts replaced, along with cartons from the new tubes with the list price tag attached. If an unusually long analysis time was necessary, he briefly explains the reasons to the customer.
On a set in which his analysis shows need for picture tube or other expensive replacement, he'll call the customer before completing the work, outline the charges, and invite him to call another service company to get comparable figures. He stresses that if the customer instructs, he'll actually deliver the chassis to another service company, charging only for pick-up and analysis time involved.
This doesn't take long and the customer appreciates it. Even though some have actually called other service companies for price quotations, none has ever instructed Gross to take the set to another technician, he reports. What is more, it helps to insure the technician that the customer will be prepared to pay the bill when the set is delivered—something vital to a one-man or small TV service operation working with limited resources.
"The subject of TV pricing has always been controversial. Our Springfield TV Servicemen's Association is contemplating agreements among members to help standardize it, which will be helpful if it takes the position of the independent serviceman into consideration," Gross believes.
His insistence on an "individual job" method of pricing is not to protect incompetence. A graduate of the DeForest Correspondence Course in Television in 1941, Mr. Gross then entered the armed forces and worked in electronics. He then graduated from the American Television Institute in Chicago with a bachelor of science degree in television engineering. He has been an independent TV technician for six years, five of them in Springfield. In his years as a serviceman, he has repaired practically every brand of set marketed.
"I don't care how competent a serviceman is, he'll hit toughies occasionally. If he's an independent and there aren't other technicians working beside him on easier jobs which are priced to make up for the time lost on the difficult ones, he has no alternative—he must price each job for exactly what it is worth," Gross sums up.
Universal High-Voltage Meter Probe
J. Richard Johnson
Ever since the advent of TV, the technician has been faced with the problem of checking the values of high 2nd-anode voltages, beyond the direct range of his meter. The most practical instrument for this purpose is a high-voltage probe connected to a vtvm, v-o-m or simple voltmeter.
Conventional high-voltage probes contain a single high-voltage type resistor, acting as a meter multiplier. This resistor, in series with the input resistance of the meter with which it is used, forms a voltage divider. The voltage to be measured is normally applied across the combination of both; the drop across the relatively low meter resistance is kept within range of the meter alone. The reading on the meter scale is multiplied by a fixed factor to determine the total voltage being measured.
Ordinarily, probe resistance must be matched to the instrument with which it is used. A conventional probe with only one resistor operates only with the instrument for which it is intended, or with a limited group of instruments having the same input resistance. A recently designed probe, however, is flexible enough for use with a vtvm, v-o-m or any voltage-measuring instrument whose sensitivity is 10,000 ohms per volt or better and can measure up to 60,000 volts.
The four resistors supplied with the instrument can be used in a group of 1, 2, or 3 at a time, depending on requirements. Also included are three conductive slugs and a specially designed shunt insert holder. The various parts and various combinations in which they may be inserted in the probe body are shown in the accompanying illustration. In all, there are 10 different arrangements possible, to match the probe to any type of meter.
With the specially designed shunt insert holder, one of the resistive
(Continued on page 39)
Calibrating Your Own
High Accuracy Can Be Established and
M. G. Goldberg
One piece of equipment that has been with us almost from the beginnings of radio, along with the volt-ohmmeter and tube checker, is the AM signal generator. It is also one most likely to be taken for granted from the standpoint of accuracy.
The user often fails to realize that, after many months of use and bench vibration, its accuracy is bound to be affected. Add to this the fact that it is not a laboratory instrument to begin with, and we can understand why its calibrations will be less than accurate—nor are they claimed to be by the manufacturer. Even in the case of individually calibrated instruments, when an oscillator tube burns out, several replacements may have to be tried to restore original accuracy.
In short, the technician cannot be certain his scale readings are reliable unless he checks his instrument periodically. He can have an outside laboratory do the job for him—which costs money and deprives him of the generator for a while—or he can do an accurate job in his own shop.
For the sake of illustration, let's assume a standard generator with coverage from 100 kc to 30 mc, in six ranges. Starting with the lowest range (100 kc to 265 kc), we prepare a sheet of graph paper as in Fig. 1. All six charts can be prepared on a single sheet or, for better readability, a separate sheet may be used for each range.
An AM receiver (any type will do) is set up a foot or two from the generator and both are permitted to warm up for 15 min. or so until all circuits are stabilized. Generator output leads may be left lying near the radio's antenna. On the radio, tune in a station whose frequency is 1000 kc or, if one is not available, the closest one to that frequency available in the area. Then, leaving the receiver tuned exactly to this station, slowly tune the generator through its lowest range, starting with its lowest frequency (100 kc), while using an unmodulated signal. At certain points on the dial of the generator, "beat" whistles will be heard in the receiver. These indicate that some harmonic of the generator frequency is the same as the station signal frequency (1000 kc assumed, in this case).
If the generator is set to 100 kc, then its 10th harmonic is producing the beat whistle with the transmitted signal; when the generator is tuned to 111 kc, its 9th harmonic gives the same result. On a separate sheet of paper, mark down the actual frequency to which the generator is tuned in order to produce this beat and also, in another column, the dial scale reading that is observed. The amount of error (the difference between these two) may be recorded in the final column, as shown in Table A of Fig. 3.
(To obtain the maximum number of points, for the greatest accuracy, divide the station frequency by several successive numbers. For instance, dividing 1000 kc by 4, 5, 6, 7, 8, 9, and 10 gives us generator settings whose 4th, 5th, 6th . . . 10th harmonics will beat with 1000 kc.
The corresponding settings, obtained from the arithmetic division, are 250, 200, 167, 143, 125, 111 and 100 kc, as shown in the table.—Ed.)
For greatest accuracy, the dial must be tuned to "zero beat," which is actually inaudible, but may be found in this manner: As the frequency of the station is approached from one side by tuning the generator knob, a high pitched whistle is first heard. As the tuning of the knob is slowly continued, pitch drops until the beat becomes inaudible. (See Fig. 2.) Continued movement of the knob in the same direction will cause the whistle to come up out of the "valley," this time rising in pitch until it is too high to be heard. The point where no sound is heard (point X in Fig. 2) is the zero-beat point to which the generator dial should be adjusted.
Transfer the individual points and errors listed in the table to the already prepared chart of Fig. 1 and draw connecting lines through all the points recorded. This gives us the calibration chart of Fig. 3. In subsequent use, if we wish an accurate test signal of 200 kc, reference to the chart shows the dial must be set to 200 minus 2, or 198 kc. This procedure holds for all other points on this chart, and for the charts prepared for the other generator scales.
One caution should be observed in drawing connecting lines. If any one point is way off to one side, it should be rechecked or discarded entirely. It is probable that a beat between the receiver oscillator and the generator has been picked up and recorded. (If a TRF receiver is available for the calibration procedure, this possibility can be avoided.—Ed.)
**Higher Ranges**
As the calibration proceeds to the higher ranges, the left hand scale (error in kc) will have to be increased to allow for greater deviation. Errors may occur in the range of 20 or 25 kc, for example. This does not signify an increase in percentage of error. 20 kc deviation, for instance, is only 1 percent off at 20 mc.
In checking range 2 (approx. 260 to 550 kc), set the receiver to a station near 1600 kc. If the transmitter broadcasts, say, on 1590 kc, its frequency will be the 6th harmonic of 265 kc. If actual zero beat occurs with the generator set to 262 kc, this fact is recorded in Table B of Fig. 4. Do the same for generator frequencies that are \( \frac{1}{5}, \frac{1}{4} \) and \( \frac{1}{3} \) the station frequency; then again transfer all points to the chart (Fig. 4).
The third scale generally covers the broadcast band. Here you can beat the generator fundamental directly against any and all stations that can be picked up across the entire band. These commercial transmitters are controlled to an accuracy so high as to be greater than the accuracy that can be read on the dial of most generators.
For the 4th range (approx. 1600 to 4500 kc), the simplest procedure makes use of any conventional short-wave or communication-type receiver that is available or comes into the shop for repair. Pick up WWV (The Bureau of Standards transmitter) on either 10 or 15 mc, and beat harmonics of the unmodulated signal generator output against either frequency. This gives four accurate points with 10 mc (1667, 2000, 2500, and 3333 kc) or six points with 15 mc (1667, 1875, 2143, 2500, 3000, and 3750 kc). Between the two, eight calibration points can be used that will cover the range quite thoroughly except at its high end.
At the high end of this scale, we have 4500 kc (or 4.5 mc), which is so important in checking or aligning sound i-f and discriminator circuits in all intercarrier TV receivers. Accurately pinpointing this reading provides a valuable tool in TV sound alignment. This can be done
(Continued on page 41)
Detector Oscillates
Though this one looked easy at first, it turned out to be quite perplexing. The symptom was violent oscillation visible on the picture tube, obviously at 4.5 mc or thereabouts. The fault persisted with or without a signal. Removal of the pix detector left the fault still there, but removal of the 12AT7 first video amplifier stopped it. Presumably the trouble was in the first video stage.
First suspected, of course, was the 4.5-mc trap in the cathode of the video amplifier (see accompanying illustration). The trap was shorted across and the oscillation stopped; however the coil and the condenser were both okay. Something was apparently resonating with the trap.
Shunting components in the plate circuit had no effect; but as each peaking coil in the grid circuit was shorted in turn, the trouble stopped. The peaking coils and the 4700-ohm resistor were checked and found normal. The 5-mmf condenser at the plate of the pix detector was unhooked, and again the oscillation stopped. A check on the bridge showed that the condenser was not 5 mmfd at all—but 500! Investigation with a grid-dip meter showed, sure enough, that the 500-mmf value resonated with the coils in the grid circuit very near 4.5 mc. Inserting the proper value restored the stage to normal operation.
The set had come to us from another dealer who had been working on it to eliminate some other oscillation in the i-f strip. Apparently he put in the wrong-value part. Either he had misread the color code, or he had been fighting the set on the afternoon of the last day of the week!
—R. Eldridge, Vancouver, Canada.
High-Voltage Arcing
Fruitless hours were spent finding the cause of this unusual arcing problem in the high voltage. The symptoms on this Admiral 22Y1 were intermittent blooming of the raster accompanied by streaks across the picture and a weak sizzling sound that appeared to come from the vicinity of the 1B3 rectifier socket.
The condenser mounted to this tube socket and the resistor in series with the 2nd anode lead were first suspected. After replacing these and re-soldering and re-dressing all leads and connections on the 1B3 socket, the trouble persisted. The horizontal output transformer was cleared of suspicion by substitution. After these and other measures failed, a new picture tube was tried as a last resort. The trouble disappeared.
A careful inspection of the old picture tube, a 21EP4, revealed a defect in the manufacturing process that had caused the inside of the aquadag coating inside the glass shell, adjacent to the 2nd anode connector, to be missing or very sparsely deposited. Arcing over this area resulted inside the tube. The arcing could only be seen by peering into the inside of the tube along the edge of the screen. Even when the arcing was observed, the sizzling noise seemed to originate anywhere but from the tube. This was the false indication that concealed the trouble in the first place.
—David A. Young, South Amboy, New Jersey.
"Key" to the Problem
While working on a set which I service regularly, I noted that there was multiple keying of the horizontal oscillator; that is, one of the two raster fields (every other scanning line) was displaced from the other field by about half an inch. Since this was not the trouble for which it had been brought to the shop and since closing the door on the h-v compartment eliminated the symptom, the set was returned without further attention to this problem.
About a month later, the set was back in the shop, the complaint being "no raster." Replacing the inoperative 6W4 damper brought back the raster, but this time the multiple keying was also back, and closing the h-v compartment door did not stop it. All waveforms and voltages in the horizontal circuits were correct, and I could obtain a normal picture by touching the plate cap of the 6BQ6 with a screwdriver blade. Checking condensers for leakage showed nothing. As I was about to put the set aside, I happened to touch my probing tool to the cathode of the 6BQ6. This resulted in a normal picture. Apparently hand capacitance through the handle of the probe was bypassing the cathode. If this were true, then the cathode bypass condenser must be open. Sure enough, replacing this capacitor cleared up the trouble for good.
—Donald Anglin, Groom, Tex.
Mountain Antenna Installation
Capturing "Nonexistent" Signal Pays Off in Profit, Prestige
Jack Darr
The customer lived at the bottom of a deep valley, in the Ouachita mountains; the customer wanted TV very badly. Signals at the house itself were nonexistent, so there we were. At the time, two stations were available in the area, Channel 6 (to the south) and Channel 4 (east), both blocked off by high mountains. After considering the situation, we decided the only approach possible was to go up one of the mountains until sufficient signal was found.
The mountain behind the house appeared to offer the most height with the least distance, so it was checked. The antenna was mounted on a 'topped' pine tree, about 500 ft. from the house. Channel 6 came in, with medium signal strength, and Channel 4 was very poor. Customer pleased with progress but wanted better pix, for which we couldn't blame him. Therefore, more experiments were in order.
Since mountaintops are a long way from any source of power, we were forced to build a battery power supply for our field strength meter. Armed with this, and a pair of 5-element yagis, we roamed the woods until a location was found where signals were good from both directions. This was almost to the top of the mountain, directly behind the house. Signals were checked here on several different days, and found to be very consistent.
Now, we faced the problem of getting the signal down to the receiver. We used 300-ohm open-wire line because of its low loss and durability.
Trees Provide Support
After clearing a 'right-of-way' down the mountain, the line was installed, on very short standoff insulators, using trees for supports. On large trees, the insulators were screwed into the trunks, about 6 feet from the ground. On the runs between large trees, smaller trees were cut off at a height of about 5-6 ft., and the standoff was screwed into the top of the stump. If the open-wire line used is fairly rigid, runs of up to 75 ft. may be made with no support. Soft-drawn copper lines require support at shorter intervals. When stringing between trees, allow plenty of slack to permit movement of the trees in a wind, otherwise breakage of the line may result. See Figs. 1 and 2.
The field strength appeared to be quite uniform over a large area of the mountaintop. Therefore, the antennas were mounted on 10-ft. standard mast-sections, on the ground. Experiments showed us no apparent height-effect. We had as much signal ten feet off the ground as at thirty, so the shorter masts were used, for greater strength. When possible, the masts were set on the stumps of small trees, cut off about four inches high. One was tied to a small stump, about three feet high. (See Fig. 3.) If hardwood is involved, the system will last for quite a long time, as it's almost impossible to kill the things. Ask anyone who has ever tried to grub a stump out of his yard!
We used from five to seven guy wires on each mast, fastened to adjacent stumps, trees, etc. In addition, and the most important, a 'tail-guy' was used on each antenna. This is just a wire tied to the back end of the boom, fastened to a tree, to prevent the antenna from being blown out of line by winds. While this might sound like an excessive amount of guying, it is not. One point which must be observed in the construction of an installation like this is durability. This outfit must sit out in the weather for a long time. Therefore, unless you want to find yourself climbing the mountain every week or so for repairs, take every precaution possible when constructing it! We increased our normal safety-factors to two or three times on everything, just for luck, and it has paid off: both systems recently weathered one of the worst
Occasionally, television viewers or servicemen notice the presence of slight bulges or indentations in the necks of picture tubes. Worriedly, they ask if this indicates that the bulbs have at some time had new necks or portions of necks installed.
"Renecking," as the process is called, is entirely normal to the manufacturer of first quality picture tubes, and is necessary for several reasons.
Renecking begins with the glass manufacturer. Since different characteristics of the glass are required in different parts of the bulb, the glass used in the neck, for instance, must be of different composition than that used in the face plate. Otherwise, when the neck is heated to seal in the mount, impurities may be given off which could contaminate the tube. Thus, renecking is necessary right at the start, to provide a bulb of suitable characteristics.
Bulbs of finished tubes which do not meet with electrical and screen quality standards are saved and sent through the complete manufacturing process again. Briefly, this includes cutting off the neck to remove the base and gun, and cleaning off the old screen and internal coating. A new length of neck is then sealed to the bulb in order to provide a standard length neck for the sealing in operation. The renecked bulb is carefully inspected by the same
(Continued on page 47)
Mountain Antenna Installations
(Continued from preceding page)
ice storms in years with no damage!
Now we had the signals, we had the line built, and we had a good picture at the house, but here came the worst headache of the whole job; coupling the antennas to the transmission line! Our first attempt resulted in a dismal failure. We tied the two antennas together. Our 100-microvolt signals promptly dropped to a loud 5 microvolts! Attempts were made to match lead-ins, by cutting to length, but no help was found. Tying one antenna to the line, we went back down for more experimenting.
An old antenna-booster was converted to a mixer, for one try. Removing the 6AK5 pentode, we installed a 6J6 dual-triode. Tying the plates together, we applied one input to each grid, taking the output off the cathode to obtain a better match to the transmission line. This system worked very well. We weren't interested in any additional gain, only in comparatively loss-free mixing and matching. Everything was fine, until another station came on the air, on Channel 7, and the customer wanted to receive it. Away we went again!
Fortunately, about this time, a leading antenna manufacturer came out with a flexible coupling system, for tying different low-band and high-band antennas together. An appropriate set of these units, as shown in Fig. 4, was installed to connect the three antennas, with excellent results. We had good clear pix on all three channels, and the customer was very well pleased. So well did it work, in fact, that we immediately got a contract to install an identical system for a neighbor who lived just around the end of the same mountain. Another set of antennas was erected, just a few feet up the hill from the first, and another transmission line run down the other side of the mountain, with equally good results.
In the miscellaneous department, for clearing brush and trimming trees, of which there are a great deal on this kind of job, try using a pair of 'pruning-hooks': a pruning cutter and the packing of materials can be handled by them.
As to losses in the transmission line, we took measurements at top and bottom of the line, during a period of fairly constant signals, and found none apparent. While this is theoretically impossible, the actual loss will be so small as to be negligible, in a correctly constructed line. If the uninsulated type of open-wire is used, be sure that enough tension is maintained on the line to prevent shorts. If an insulated type is used, this is not so much of a problem.
When clearing the right of way, be sure that all the tall, slender trees are cleared away from each side; this is the kind that will load up with ice and fall across the line. Overhanging branches may be pulled down with a loop of rope, and trimmed.
If a very long unsupported run must be made, install a 'messenger-cable' of guy wire, and sling the lead-in underneath it, using long standoff insulators. When installing the line, use short standoff insulators; the longer types will not hold up under wind and icing conditions. In other words, pay a lot of attention to even the smallest details on the whole job, and you will be more than repaid by the performance and the customer satisfaction.
A well-built job of this kind can be very remunerative, both financially and in a prestige way. If the customer wants TV badly enough, he is usually willing to pay what the job's worth. One installation of this kind will usually bring in several more. Once the techniques are learned, the job seems a lot easier.
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Vibrator Power Supplies
Part I: Basic Types; How They Work; Circuit Arrangements
By Kenneth Backman, Sr. Communications Engr., Motorola, Inc.
- The power supply can truly be considered the heart of the mobile communications system for it is the purpose of this unit to supply the necessary energy for the system to function as a coordinated body. As with a weak heart, a weak or rundown power supply means poor performance—poor reception and poor transmission.
With the advent of the new 12-volt automobiles, the power supply has become increasingly more important because it is primarily this part of the radio set that determines its flexibility or interchangeability.
There are basically two types of mobile power supplies in use today, the vibrator type and the dynamotor. (A third, but infrequently used system, consists of an alternator installed in the vehicle and the use of a standard 115-volt ac power supply.) The most common of these two, found in practically every piece of mobile radio equipment, standard auto broadcast receivers as well as communications equipment, is the vibrator power supply.
The simplest example of a vibrator would be an ordinary door buzzer or bell (Fig. 1). When a dc voltage is applied at points "A" and "B," a current will flow through the completed circuit consisting of the coil of the electro-magnet, the closed contacts at "C" and through the reed or armature back to the source. However, as the current begins to flow in the coil, the core will become magnetized and will attract the reed. As the reed starts to move toward the magnet, the contact at "C" will be opened, the current flow will cease, and the magnetic field will collapse allowing the reed to return to its original position with the contact "C" closed.
This cycle will, of course, repeat itself and at a rate and amplitude determined by the electrical and physical constants of the system such as the strength of the magnet, the mass of the reed, and the spring constants of the reed. When the reed has reached its full amplitude, inertia carries the striker far enough to hit both bells.
Converts DC to AC
Now, if the striker and the bells were replaced with electrical contacts, we would have a basic form of vibrator. The primary purpose of a vibrator is to provide an alternating voltage, or convert dc voltage to ac voltage. Once converted to ac, the voltage can be stepped up through a transformer and then rectified for use as a high voltage dc source for the plate supply of vacuum tubes, or it may be stepped down and used "as is" to supply the filaments of the tubes.
Let's consider now the manner in which the vibrator produces an ac voltage. For purposes of explanation, the vibrator may be compared to a rapidly actuated single-pole—double-throw switch (Fig. 2). Assume that the fixed contacts of the vibrator or "switch" are connected to the outer leads of a center tapped primary winding of a transformer and the moving arm (or reed) connected to ground, or reference potential. If, while the switch is being actuated, a battery source is connected between the primary center tap of the transformer and ground, a current will flow alternately through each half of the center tapped primary winding.
This current flow will produce a voltage drop across the primary winding which will have the waveform shown in Fig. 3. Times $t_1$ and $t_2$ represent the time during which the contacts are closed and current is flowing respectively through each half of the transformer winding. Times $t_2$ and $t_4$ represent the "open" time, or the time elapsed during the travel of the reed from one contact to the other. The sum of the times $t_1$ and $t_2$ is normally referred to as the "closure" time and the sum of $t_2$
(Continued on page 28)
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and $t_4$, the "open" or "off-contact" time. As the sum of $t_1$ and $t_3$ represent the time during which current is actually flowing in the circuit, the ratio of this sum ($t_1 + t_3$) to the time of one cycle is normally referred to as the *time efficiency* of the vibrator.
The waveform of Fig. 3 is in its ideal form, and would not be encountered in actual practice. This is primarily true because the transformer represents an inductive load. Making and breaking an inductive load is, of course, going to result in current transients and high induced voltages. Were this condition not corrected, severe arcing would occur in the contacts which would materially reduce the life of the vibrator. Also, the induced voltages could be of sufficient magnitude to damage the transformer through the breakdown of the insulation.
This is where the timing (buffer) condenser becomes of importance. This condenser is used in conjunction with the inductance of one of the windings of the transformer to form a resonant circuit at a frequency which will tend to bring the voltage across the vibrator contacts to a zero potential at the time the contacts close (Fig. 4). The value of the timing condenser is, therefore, determined by the inductance of the winding and the timing characteristics of the vibrator.
The dotted line in Fig. 4 indicates the dampened path the voltage across the tuned circuit would have followed had the contacts opened on one side and not closed on the other. The timing condenser may be used on either the primary or the secondary of the transformer but its ratings will depend upon its location. If it is to be used across the primary, its voltage rating may be low, but it will have to be of relatively large capacity as it will ordinarily have to resonate with a small amount of inductance. The high-voltage secondary will appear as an appreciably greater inductance and, therefore, a timing capacitor across this winding will have only a low value of capacity. On the other hand, it must withstand extremely high peak voltages and will have a rating upwards of 1200 and 1600 volts.
**Rectification Methods**
If the vibrator circuit is to function as a dc high-voltage vacuum tube plate supply, the square wave output of the transformer will have to be rectified. This may be done in a conventional manner, with vacuum tube rectifiers or dry disc rectifiers.
A second basic type of vibrator circuit, which produces an output requiring no rectification, is commonly referred to as a "synchronous" or "self-rectifying" vibrator. In this circuit, rectification is accomplished through a second set of contacts which are virtually identical to those found in the interrupter vibrator just discussed. The second set of contacts (Fig. 5A) is connected to the secondary of the transformer and "commutates" the output of this winding in "synchronism" with the primary contacts so as to produce a unidirectional flow of current. Each time the current reverses direction in the primary, a similar reversal takes place in the secondary. As a result, the polarity of the output voltage is always the same. This voltage would have the appearance
(Continued on page 45)
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**Is Safety Glass Safe in Implosions?**
L. H. Wilson
- We have all seen pictures of a television set picture-tube implosion, but the one illustrated here brings out a point that is overlooked by many people. The point is this: the safety glass in front of the CRT may not be so safe after all.
In this instance, the implosion took place while the set was still in its original packing case, sitting on the warehouse floor. The case was undamaged externally. In fact, after the implosion was heard, several cases had to be opened before the damaged set could be located. The automobile-type double-thick sheet of safety glass, while it was essentially intact, was completely shattered. So were the decorative mask and most of the other tubes in the set. The sheet of safety glass was blown completely out of the cabinet. It was found, along with the other pulverized glass, at the bottom of the case. It was placed back in the cabinet, for purposes of illustration, before the accompanying picture was taken.
It appears, from what happened, that it was not the safety glass itself that was defective. The shattering is apparently normal, provided that the sheet remains in one piece. Rather, the existing hazard is the result of poor cabinet design. In this case, if the implosion had occurred while the set was in use, the flying sheet of safety glass would have been as much a danger to people present as anything else would have been. The cabinet should have been designed so that the glass was held better at the edges. Then, even though it shattered, the sheet of glass would be safe as long as it stayed in place and confined the high-speed glass particles from the imploded tube. One wonders in how many current sets the effect of good safety glass is thus being wasted.
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Practical Approach to Troubleshooting TV Tuners
Examining the Construction of the 3 Basic Types of Tuners
By W. J. Williams
- Excessive interference pickup is a not-too-common complaint in most tuners, but bears brief mention here. A constant, shifting r-f beat pattern visible on several channels probably means that a strong carrier at some frequency below the regular TV r-f frequencies is getting into the tuner's r-f amplifier, and through double-conversion or many other means, into the video circuits, and showing up on the screen as a series of diagonal lines or "hash" in the pix.
The average well-designed tuner has some means of pre-selection ahead of the r-f stage to attenuate the unwanted signals outside the TV band. This usually consists of a series of one or several traps, high-pass filters, and matching transformers, at the input to the tuner. If certain of these inductances open up, the only effect may be such interference pick-up.
Some of the earlier tuners had no provision built in to reject these unwanted r-f frequencies, and in these cases one of the commercially-built high-pass filters should be tried, connecting it as close as possible to the tuner itself, and grounding its case well. Incidentally, the FCC will have no sympathy with any complaints filed due to interference pick-up outside the TV spectrum on sets without a certain amount of preselection or traps, especially anything near the i-f range, which is close to several important services.
Typical Construction
The following specific tuners, which we will go into now in more detail, are typical of each group.
In the turret class, consider the Standard Coil Co.'s cascode series. It has the familiar drum assembly coupled directly to the tuning shaft. Snapped into retaining clips around the circumference of the drum are individual coils securely mounted on low-loss insulating strips, and the terminals of these coils are brought out to silver-plated rivet-head contacts projecting from the outer side of the strips. There are two sets of these channel-strips. The set nearest the front of the tuner contains the local-osc., mixer, and r-f amplifier output tuned circuits, all three of which are mutually-coupled. These front coil-forms also contain the tuning slugs for the individual osc. frequencies.
The rear set of strips contains the antenna coupling and the r-f amplifier input tuning coils. These sets of coils are all physically moved by the drum in unison to engage a set of stationary contact-springs connected to the various circuits involved. Thus, when a channel is changed, a new set of coils is moved into position to contact these springs.
Detent
A detent-spring assembly on the side, which is a roller-cam, engages a notched gear built into the center of the drum, to "lock" the drum on each channel securely. The entire drum may be removed to gain access to the wiring under the tube sockets.
The only noteworthy trouble common to this tuner, other than routine cleaning of the contacts, is the burned 1000 ohm plate-resistor in the cascode amplifier plate circuit described earlier. A number of cases of the small feed-thru capacitors in the B+ leads shorting have also been encountered. It is worth remembering, too, when faced with a broken tuning strip, that it is usually possible to tune in the damaged channel on either of the adjacent-channel strips. The inserts may then be switched so that the channel numbers will be correct.
In the wafer-switch category, let us consider the RCA type KRK-8 series tuner used in a large number of TV chassis starting in 1950. See Fig. 5.
This tuner uses a 6J6 as combination local osc.-mixer stage, and a 6CB6 as the pentode r-f amp. In this unit, as with most switch-types, the tuning inductances are all wired in series, starting with Chan. 13 and ending with Chan. 2. The selector switch rotor taps off increments along this series of inductances at each channel, and therefore imposes the necessity of starting osc. slug alignment at Chan. 13, and working downward. This tuner has separate slugs for each channel, accessible through holes around the front plate. There is also a master osc. slug located on the top of the unit, directly to the side of the fine-tuning capacitor slug. This last-mentioned slug, which is actuated by the fine-tuning rocker-arm assembly, will set the amount of actual frequency-variation possible by the rotation of the fine-tuning shaft, and hence, its "range"; e.g., if fine tuning appears too critical or "sharp," turn the F.T. slug a trifle counter-clockwise, then, with tuning control at its mid-position, re-tune the master osc. slug.
Intermittents are the most common troubles encountered in this type tuner, and very frequently they
(Continued on page 32)
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TECHNICIAN • July, 1955
are not caused by dirty contacts. Cleaning, of course, should be tried first; then a careful probing with an insulated stick, especially around the osc. sector. If rocking the osc. tube in its socket causes a large jump in frequency after the contacts have been tightened, it usually means a failure of the small 39 mmf. ceramic cap. connected from pin #6 of the 6J6.
The Mallory Inductuner and its variations, used in most earlier DuMont receivers, and many others, is our illustration of the continuous-type tuner. (Fig. 6.) This unit employs three sets of coils wound on ceramic spools, ganged by a common tuning shaft. Electrical contact with the coils is made by wiper contacts which press on rings at each coil end. Also, one contact shoe rides on the bottom of each coil in a track, contacting a single turn, and moving as the coil turns, in feed-screw fashion. This action changes the amount of effective inductance in the circuit, thereby tuning each stage continuously, instead of in steps. A big advantage of this system is removal of the need for separate osc. slugs, and very rarely are there any tracking problems. No fine tuning is necessary, as one shaft does the work.
Noisy tuning will rear its ugly head, however. If routine cleaning of all the aforementioned moving contact points fails to quiet the unit, it often means that one or more of the lower sliders has lost its spring tension, or may have "jumped the track." In such case, if careful inspection proves this fact, attempt the following procedure only if you have a steady hand and lots of patience.
Loosen the rear set-screw pivot for the shaft, and carefully lift up on the rear of the shaft, so that the offending shoe contact may be removed, bent to increase tension, and re-inserted. Be sure all three shoes are properly seated, and touching the correct turn on their coils. Caution: be careful not to allow the ball-bearings in the front bearing race to drop out! If they should fall out, a service kink is to put plenty of thick paste lubricant in the bearing race, then, the re-inserted ball-bearings will stick in place.
The bottom cover of the Inputuner is removable, leaving clear access to all the wiring. However, circuit component failures are comparatively rare in this unit.
---
**Pay TV, Pro-and-Con**
Subscription TV proponents have received several refusals from TV networks to place commercials for fee-TV on the air. However, both CBS and NBC have offered to provide free air time for discussion of the pros and cons of the subject. In a recent debate over CBS, W. Theodore Pierson, Washington counsel for Zenith Radio Corp. stated: "It is technically possible for television to regularly bring the audience many more programs and events than it now does... The industry thus far has relied only upon the advertiser for revenue... Subscription television proposes to supplement television advertising revenue by giving the public a chance to pay the broadcaster direct a lower price..." In opposition, V. Sholis, Director of WHAS, Louisville, Ky., stated: "What these proponents of box office television suggest, in effect, is that the cost of television be shifted from the advertiser to the public... (they) are now asking the government to give them a slice of this scarce public resource free of any responsibility of serving the broad public interest."
---
**H-V Lead Dress Guide**
*This chart is reprinted with the permission of the originator, RAM Electronic Sales Co., Irvington-on-Hudson, N.Y.*
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TECHNICIAN • July, 1955
Let’s Look At Circuits
No. 3: The Basic Multivibrator Put to Work in TV
Sidney C. Silver
Managing Editor, TECHNICIAN
In our last installment we managed to get the multivibrator stage, shown in Fig. 1, working. We then left our oscillator see-sawing away in mid-air, with no rhyme, no reason, and no relation to the rest of the TV set. Some mention was made of the possibility of controlling frequency or locking the oscillator to another frequency by applying a controlling pulse or voltage to the grid of the 1st triode. To understand how this is accomplished and also to get an additional picture of operation, examine the waveforms of Fig. 2.
Waveform 1 (during time A-B) shows the condition of the 1st triode’s grid when it has swung positive, above the cut-off point (C. O. in the figure), as a result of the charging up of its grid capacitor, C2. As a result of the ensuing conduction in this 1st triode, plate voltage (waveform 2, time A-B) is very low or relatively negative.
With plate voltage thus reduced with respect to B-plus, capacitor C1, formerly charged up to B-plus, correspondingly discharges. (See waveform 3, time A-B). This action drops the voltage on the 2nd triode’s grid below the cut-off point. The plate of this stage, with no current flowing to it, is at the full B-plus value (waveform 4, time A-B).
During the next cycle, conditions are reversed in the two triodes. Waveforms for the grid and plate of each triode, it will be noted, are identical except for their occurrence along the time axis. What holds true for the 1st triode (waveforms 1 and 2) during time A-B is also characteristic of the 2nd triode (waveforms 3 and 4) during time B-C.
Plate waveforms do not follow grid waveforms exactly. Discharge action of the capacitors in waveforms 1 and 3 occurs below the cut-off point. Since the plates are inactive during such periods, the discharge curves do not have any effect on plate action, and are missing from the plate output waveforms. The latter (waveforms 2 and 4) are pulsed outputs that closely resemble square waves.
Assume that a sharp pulse rides in through the V1 grid, our input section shown in broken lines, while C2 is discharging (waveform 1, time B-C) to the point where it will permit plate conduction. If this sharp pulse occurs at about the point indicated by the arrow, it will instantaneously drive the grid up out of the cut-off region. In other words, the tube will be driven into conduction sooner than if it had to wait for the completion of the C2 discharge cycle.
When the multivibrator is used as a vertical oscillator, this is exactly what happens. The service technician or the customer has manipulated the hold control (R4, which we have made variable) so that the see-saw is running at a slightly lower rate than 60 cps. The sharp pulse, at 60 cps, is the output of the vertical integrating network. It hastens the flop-over action in the manner just described to lock in the oscillator.
Another way of altering the frequency of oscillation is by applying a small dc voltage, rather than a pulse, to the 1st grid. This will, depending on whether it is positive or negative, raise or lower tube bias slightly above or below the cut-off point (C. O. in waveform 1). This hastens or retards triggering of the tube, and may thus be said to increase or decrease the frequency of oscillation. This method is generally used when the multivibrator appears as a horizontal oscillator. The dc control voltage is usually the output of the phase detector described in Let’s Look At Circuits, No. 1 (May 1955 TECHNICIAN).
While we have shown the V2 output as a squarish pulse, this shape is generally altered. The insertion of the plate-to-ground charge-discharge condenser, shown in the broken-line output circuit, re-forms the pulse into the sawtooth shape needed to produce deflection. The sawtooth may then be fed directly to the grid of a deflection output.
(Continued on page 44)
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Why take this?
The troublesome watchspring effect — Some servicemen have to put up with banding that has a tight spiral "set". Bands of this kind can easily be spotted by their reluctance to stay put. Placement around the chimney is difficult and time consuming.
You can have this?
This is the "free-opening" South River Band. Remove the retaining tape and you'll see it naturally unwinds for easy placement around the chimney. That's South River's way of making things easier for the man-on-the-roof.
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This 7-strand aluminum guy cable of 17 ga. Alclad 56S alloy is specially made for TV guying purposes. It should not be confused with converted clothesline types of cable. Our particular cable has a "tight" twist that gives maximum strength, minimum wind resistance and ice load, does not "basket" when bent. Grey Alclad finish.
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PIONEER MANUFACTURER AND OUTSTANDING PRODUCER OF THE FINEST LINE OF ANTENNA MOUNTING ACCESSORIES
WRITE FOR OUR 1955 CATALOG
TECHNICIAN • July, 1955
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Buy, recommend, install ALPRODCO slip-up masts with confidence
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Comes complete with optional base—rotating guy rings for 3 or 4 guy points. MB-1 Standard Base for mounting on flat, vertical, sloping, or peak roofs.
LETTERS
To the Editors
Night Crawlers—Pro & Con
Editors, Technician:
In answer to Mr. Arthur M. Vikla’s letter in your May issue about “Night Crawlers”—perhaps I come under that bracket. I have had a part-time legitimate radio repair business since the late twenties in which I turn out several hundred dollars in service work each year, nights and week ends. I have a clientele of which I am proud . . . many will allow no other serviceman to touch their sets.
I have all the work I want. It comes from honest, hard work, good work, prices fair to both me and the customer and generally practising the golden rule.
It requires something besides a nice shop, some test equipment and a new sign over the door to get started in the radio and TV service business. My advice to anyone planning to start in it is to start as a “Night Crawler.”
C. W. Blatchley
East Freehold, New Jersey
Editors, Technician:
Agreed with Mr. Arthur Vikla that the “Night Crawlers” are more harmful than the need for new blood. We need not worry about the so-called “expanding service industries.” Where an area having 75,000 to 100,000 sets in use cannot supply more than 12 to 15 sets for repair to a firm in business 20 years, do we need to worry about new blood and expanding TV service?
Luch Radio & Television
Allentown, Pennsylvania
Editors, Technician:
In this business, as in any business, underhanded methods are sometimes used by the undesirables. Without a determination to strike out against them, competition would be at a low level. I work part time because I want to. The security that my regular job holds makes me think twice before giving it up. The television profession fluctuates but, due to my main love, I am in it on a part time basis. Mr. Vikla has no basis to prove this is what drove him out of it. We render honest, efficient service at a normal price. I do not believe in trying to entice people into so-called service bargains.
George E. Fogleman
Washington, D. C.
More on “2-Fisted Action”
Editors, Technician:
I am in perfect accord with your editorial “Two-Fisted Action.” However, not understanding the law in such matters, the average technician is reluctant to (Continued on page 42)
New Test Equipment
C-D ANALYZER
New deluxe Model BF-70 Capacitance-Resistance Analyzer quickly and accurately measures the important characteristics of essentially all types of capacitors and resistors. Locates capacitor opens, shorts and intermittents; high and low capacities; also detects high leakage and high power factor in electrolytics. Reads voltage measurements to 750 v. and current measurements to 75 ma. $71.50 Cornell-Dubilier Electric Corp., S. Plainfield, N.J.—TECHNICIAN (Ask for No. 7-23)
Hickok OSCILLOSCOPE
Model 675, designed for both color and b & w TV servicing, features a calibrated and illuminated scale with a green filter to reduce reflections caused by incidental illumination and astigmatic focus control. Scope has a frequency response of 1 cps to 4.5 mc (within 3 db) and is flat through the color burst frequency of 3.58 mc. Sensitivity is 20 mv rms/in. Hickok Electrical Instr. Co., 10523 Dupont Ave., Cleveland 8—TECHNICIAN (Ask for No. 7-24)
Eico BATTERY TESTER
Model 584 Battery Tester accurately tests all "A" and "B" portable radio batteries and equivalent types under actual receiver conditions without requiring them to be installed in the equipment. Rotary switch selection of the exact voltage of the battery under test inserts the proper dropping resistor in series with the meter and proper shunt resistor. Kit—$9.95; wired, $12.95. Electronic Instr. Co., Inc., 84 Withers St., Brooklyn 11—TECHNICIAN (Ask for No. 7-21)
EMC SUBSTITUTION BOX
Model 900 Resistance-Capacity Substitution Box provides, within 10% accuracy, 36 standard RETMA resistor values from 15 ohms to 10 megohms and 18 standard RETMA capacitance values from .001 mfd. to 22 mfd. Simplifies determining the proper values of resistance and capacity in RC time circuits. Available wired and tested for $17.90, and in kit form for $10.25. Electronic Measurements Corp., 280 Lafayette St., N.Y. 12—TECHNICIAN (Ask for No. 7-22)
RCA MODIFICATION KIT
RCA WO-88A oscilloscopes can be adapted to color TV testing with the addition of the components contained in the WG-388A Wide-Band Modification Kit. After modification, the scopes may be used for trouble-shooting chrominance circuits, and for observing and measuring color-burst signals. The modified scope will provide both narrow-band and wide-band operation at frequencies from zero (dc) to 4.5 mc and sensitivity of 700 mv, peak-to-peak, per inch. $5.95. Tube Div., R.C.A., Harrison, N.J.—TECHNICIAN (Ask for No. 7-25)
Jones R-F WATTMETER
Model 641N calorimetric type r-f wattmeter measures r-f power with the precision of a primary standard, according to mfr. It can be used to check the accuracy of other types of r-f wattmeters and to determine the actual output of an r-f power source, the approximate magnitude of which is known. Instrument has an accuracy of better than ± 2% over the entire frequency range of 0 to 3000 mc. It measures power in the range from 0 to 300 watts. M. C. Jones Electronics Co., Inc., Bristol, Conn.—TECHNICIAN (Ask for No. 7-27)
Teleetro BRIDGE
Designed to measure flutter and wow in turntables and tape recorders, the "Flutter Bridge" consists of a sensitive bridge circuit and a band-pass filter to eliminate hum. Portable, no external power source needed. Two ranges: 0-0.5% and 0-2%. Teleetro Industries Corp., 35-18 37th St., L.I.C., N.Y.—TECHNICIAN (Ask for No. 7-80)
Authorized CRT CHECKER
New Cathode-Rejuvenator-Cathode Ray Tube Tester, Model 101F, features the exclusive "Rejuvindicator" which tells automatically when the rejuvenation process is sufficient, giving positive indication of cathode decontamination and aging. The rejuvenation process has been engineered to provide safer and greater assurance of rejuvenation accuracy, with grid structures positively unharmed during processing. Also features an indication of true beam current, including second anode condition, and the ability to test shorts and high resistance leakage in "hot" as well as "cold" cathode ray tubes. Measures 8 x 8 x 3 in. Gray hamertone steel case, as well as in a portable luggage-type instrument case which has space for leads. $54.95. Authorized Mfg. Co., 919 Wyckoff Ave., Brooklyn 27, N. Y.—TECHNICIAN (Ask for No. 7-17)
For more technical information on new products, use inquiry card on page 38
TECHNICIAN • July, 1955
New Service Aids
Chassis Punch, Hand Drill, Soldering Gun; Roof Mount
G-C METAL PUNCH
New "G-C Dual Sheet Metal Punch" punches tube socket and capacitor holes easily and quickly, taking metal up to 5/8 in. thick without burrs. (Hole sizes punched are 3/4 in. and 1 1/2 in.) Net price, $3.50. General Cement Mfg Co., 919 Taylor Ave, Rockford, Ill.—TECHNICIAN (Ask for No. 7-15)
Lynmar BALUN
Developed to provide a better and more economical means of matching TV receivers in critical community television work, this balun unit has been found to be ideally suited for impedance matching. In addition the inherent "block effect" of the longitudinal impedance of the unit has been found to have exceptional characteristics for reducing spurious signals originating on a 300 ohm ribbon lead or on the shielding of coaxial cable. Such problems as noise pick-up, ghosts and reflections, can be greatly reduced or eliminated. Lynmar Engineers Inc, 1432 N. Carlisle St., Philadelphia 21, Pa.—TECHNICIAN (Ask for No. 7-3)
Rohn ROOF MOUNT
Unique gable mount is designed to quickly attach to any gable roof for a secure, durable antenna mounting. Simply loosen bottom bolt, slip mount into place, and then tighten bolt. Accommodates tubing up to 1 1/2 in. in diameter. Rohn Mfg. Co., 116 Limestone, Bellevue, Peoria, Ill.—TECHNICIAN (Ask for No. 7-11)
Proto DRILL
"Proto" all-angle drill solves difficult drilling problems for both professional tool users and home mechanics. Both chuck and handle are adjustable to various angles, so that the drill will reach around obstructions, work close to floors and walls, and operate in close quarters: The 0 to 1/2 in. capacity chuck swings in a 270° arc, and has a spring lock that enables the user to change angles with a flip of the thumb. The handle turns in a 180° arc at right angles to the chuck movement path. Plomb Tool Company, Los Angeles, Calif.—TECHNICIAN (Ask for No. 7-4)
B-T COUPLERS
Low cost directional couplers for master TV lines and TV outlets, Models, MDC-2 for two outlets, and MDC-4 for four outlets, supply effective reverse isolation ranging from 14 to 30 db over the entire VHF band. This permits direct TV outlets as well as branch cables from which tapoffs may be made. Splitting loss is only 3 db for MDC-2 and 6 db for MDC-4. The units require no power and may be mast or pole mounted with the convenient bracket and strap. The two-outlet coupler lists for $12.50 and the four-outlet unit lists for $22.50. Blonder-Tongue Labs, Inc, 526-536 North Avenue, Westfield, N. J.—TECHNICIAN (Ask for No. 7-2)
Hexacon SOLDER GUN
New instant solder gun is claimed to be soldering-hot in a few seconds, without the use of transformer or thermostats. Weighs 8 oz. Special alloy "Lifetime Tip" cannot wear, corrode or bend—thus eliminating tip maintenance. Trigger control gives any degree of heat required without danger of overheating. Has more heat capacity than size indicates and tiny 3/4 in. tip for finest soldering, but will do heavier work because heating element is right in the tip. $7.95. Hexacon Electric Co., 180W, Clay Avenue, Roselle Park, N. J.—TECHNICIAN (Ask for No. 7-70)
High-Voltage Probe
(Continued from page 19)
The h-v probe (upper right) and its component parts, showing various arrangements possible.
elements can be placed in parallel with the meter resistance, while other elements are in series. This permits flexibility in obtaining simple multiplication factors to be used in conjunction with the direct meter readings.
The manufacturer supplies convenient charts and graphs to cover the arrangement of resistors for almost every input resistance in which meters of various types are available. The probe will be particularly appreciated in shops where a single probe is needed to work with all meters available in the shop when, as is so often the case, two or more instruments of different types are in regular use.
Manufacturer of the probe is Bolland & Boyce, 236 Washington Avenue, Belleville, New Jersey.
NEW 17-IN. PORTABLE TV
Newest in the line of Setchell-Carlson's "Untilted" TV receivers, this portable version has all-aluminum construction of both chassis and cabinet. Weighs less than 40 lbs., yet boasts power transformer, keyed AGC, cascade tuner, 6-in. speaker and 90° aluminized 17-in. crt.
It's as EASY as This
TO INSTALL A MASTER TV SYSTEM WITH Masterline UNITS
A Connect the antenna line to the INPUT of your Masterline MLA Line Amplifier. The signal is now amplified 37db (70 times).
B Connect a line splitter or line coupler to the OUTPUT of the MLA. You now have 2 or more branch lines for feeding to TV receivers.
C Where the branch line is run out-of-doors, connect a Masterline MTO-11 (outdoor tap-off) wherever a TV set feed line is required.
D Where the branch line serves as a riser inside a building, connect a Masterline MTO-59 (wall-plate-tap-off) wherever an antenna outlet is required.
This is only one example of a Master TV System, to show the flexibility of Blonder-Tongue distribution equipment. There are many more, all covered in the new B-T INSTALLATION MANUAL.
Write for your Free copy to Dept. FG-18
BLONDER-TONGUE LABORATORIES, INC.
WESTFIELD, NEW JERSEY
Manufacturers of TV Cameras, TV Amplifiers, Boosters, Converters, Accessories and Originators of the Masterline and 'Add-A-Unit' Master TV Systems.
New Hi-Fi Gear
Speakers, Amplifiers, Pre-Amps; Intercom, Recorder
Lansing SPEAKER
Model 123 is a 12 in. extended range speaker, compact enough to mount in enclosures which previously required a unit of smaller diameter. Depth of only 3½ in. permits the new speaker to be mounted between studding, flush with the surface of any standard wall or partition. The unit is not limited to wall mounting; performance improves when enclosed in a reflex cabinet or loaded with a horn. Usable frequency response range, when used as a direct radiator and enclosed with an adequate baffle, extends from 30 to 15,000 cps. Power input is 20 watts and impedance is 16 ohms. James B. Lansing Sound, Inc., 2439 Fletcher Dr., Los Angeles—TECHNICIAN (Ask for No. 7-90)
R-B AM-FM TUNER
"Golden Gate" AM-FM tuner (Model HF 155) features high fidelity performance in compact design. Outstanding features include: FM section with Armstrong circuitry; response, ± 5 db, 20 to 20,000 cycles; sensitivity, 5 µV for 30 db of quieting; tuned RF stage, Foster-Seeley discriminator with dual limiters; cathode follower with two outputs; AFC with defeat on function switch; drift-compensated circuits; built-in dipole antenna. Rauland-Borg Corp., 3515 W. Addison St., Chicago 18, Ill.—TECHNICIAN (Ask for No. 7-91)
Berlant TAPE RECORDER
The new "Concertone 20/20," for home and semi-professional use, features a head mount with provision for 5 heads, 3 heavy duty motors, including a 2-speed induction direct drive motor, frequency response of 20-20,000 cps, 4½ in. signal meter, 2-channel line and microphone mixer and fast forward and rewind at 2400 ft. in less than 1 min. Available with speeds of 7½ and 15, or 3¾ and 7½ ips, and in portable carrying cases or for rack mounting. $445.00. Berlant-Concertone, 4917 W. Jefferson Blvd., Los Angeles 16, Calif. TECHNICIAN (Ask for No. 7-92)
Precise PRE-AMP
Model UPA-1, ultra preamp, has separate controls for bass boost, volume, record compensation (including the latest AES Curves) and separate treble boost and roll off. The main selector switch connects to phone, microphone, radio, TV and an auxiliary position. Four separate input jacks are mounted on the rear chassis. A separate on-off switch also operates the convenience outlet at the rear of the instrument. Model UPA-1P, kit, with its own transformer operating directly from the 110 v. ac line, is $25.95 and wired, as UPA-1PW, at $39.95. Also, there is Model UPA-1N, kit, without separate power supply, operating directly from the main amplifier, at $19.95; and wired, as UPA-1NW, $34.95. Precise Development Corp., Oceanside, L. I., N.Y.—TECHNICIAN (Ask for No. 7-93)
Robins PHONO ACCESSORY
"Atomic Jewel," SE-9, is a new radioactive device for making records dust-resistant. Clips on the tone arm of any record player. Consists of a small ball of pearlescent plastic; is only 9 mm. in diameter, and weighs less than 0.02 oz. Contains a small amount of radio-active material compounded with pure gold and silver. Robins Industries Corp., 41-08 Bell Blvd., Bayside 61, N. Y.—TECHNICIAN (Ask for No. 7-94)
Masco INTERCOM
Completely portable intercom, the "Wireless-Talk," for home and office, provides contact between any two stations even in nearby homes and adjacent buildings without any cables. Features include a noise silencing control that reduces noise normally present on power lines, and a pilot light on-off indicator. "Dictate" position of the Talk-Listen Switch permits use for baby-sitting, dictation and similar applications. Set of two units, $95.00. Mark Simpson Mfg. Co., Inc., 32-29 49 St., Long Island City 3, N. Y.—TECHNICIAN (Ask for No. 7-95)
Lowell BAFFLES
STL baffles are constructed of a series of attractive louvres with an exclusive conical sound diffuser to provide controlled 360° dispersion of even, undistorted low-level sound. Specifically designed for low ceiling areas such as restaurants, offices, schools, railway cars and wired music installations, they accommodate 6 in. to 12 in. speakers and mount to a variety of recessed protective speaker enclosures. Exclusive "floating conical action" eliminates metallic resonance. Lowell Mfg. Co., 3030 Laclede Station Road, St. Louis 17, Mo.—TECHNICIAN (Ask for No. 7-96)
MORE TECHNICAL INFORMATION on new products may be obtained by using the inquiry coupon on page 38. List the code numbers given at the end of each item of interest.
Signal Generator
(Continued from page 21)
with any operating TV set. Simply clip the generator output cable to the insulation on the lead to the grid of the 1st or 2nd sound j-f stage, and rock the generator dial back and forth slowly in the vicinity of 4500 kc while a TV channel is being received. A distinct but "mushy" sound will be heard in the receiver when the setting is exactly 4500 kc. Note that inaccuracies in receiver alignment will not throw this reading off, since the 4.5 mc signal is the result of the beat between transmitted video and sound carriers, which are accurately spaced 4.5 mc apart.
Scale 5 (approx. 4500 to 12,000 kc or 4.5 to 12 mc), covers several short-wave bands and the i-f amplifier frequencies for FM receivers. Two accurate points (5 and 10 mc) can be determined by beating against WWV on its 10-mc transmission; while an additional point (7500 kc) can be recorded by beating against the WWV 15-mc transmission.
Scale 6, which covers TV intermediate frequencies, is called upon to provide accurate marker pips during alignment. Calibration is accomplished by beating against TV transmissions. The next time a TV set is on the bench for alignment or check of response, connect a sweep generator to its antenna posts, and connect a scope to the video detector output, just as is done in regular alignment (see Fig. 5). Couple the signal or marker generator output to one of the antenna posts through a 100-mmfd capacitor and set the generator to its highest band.
Before turning the generator on, tune the operating receiver to a local channel, and note on the scope the pips produced on the response curve by the video and sound carriers. These are shown for Channel 4 in Fig. 6. In this particular case, the sound carrier will be 71.75 mc and the video carrier will be 67.25 mc. The signal generator is turned on and tuned through the range of 22 to 24 mc. At 23.92 mc and 22.42 mc, third harmonic output will produce pips that coincide exactly with the carrier pips on the response curve. If the generator's modulation switch is turned on during this step, the baseline of the curve will "come to life" or begin to wiggle when the pips coincide exactly, giving a positive identification. As indicated in the table of Fig. 6, other calibration points can be worked out.
THE All New Gun
DESIGNED FROM SCRATCH FOR SERVICE MAN'S REQUIREMENTS #199
Ideal for 90% of your work WEN
"Quick-Hot" Electronic Soldering Gun
WORKING IN 2-3 SECONDS
GET THE FEEL OF IT
HEFT IT—TRY IT
You'll know at once that here is a "right" product—built to work well for years.
-Lightest
-Smallest
-Longest reach
-Longest life
-Most dependable
OF ALL TRANSFORMER TYPE SOLDERING GUNS
You have the satisfaction of knowing when out on the job with this gun that it won't burn out. There'll be no "down" time—no return to the shop for repairs.
LIGHT, HANDY New Model #199
New patented design delivers AMPLE heat fast on 110-120 V. A.C. 60 cycle, 1.1 Amp.Max. Cools quickly too. It's light, (1½ lbs.)—handy, beautifully balanced and smaller—to slip readily into tool kit or pocket. Molded red plastic handle and case. Gun made to withstand
HUNDREDS OF HOURS CONTINUOUS OPERATION
Almost indestructible in ordinary use. New type, steel, extra long reach tips readily replaceable and interchangeable with special purpose tips. Gun fully guaranteed. And that PRICE
Only $7.95 LIST
FOR HEAVY DUTY you want the famous WEN MODEL #250
Greater volume of heat obtained solders relatively heavy materials. 567 hours continuous operation. Fully guaranteed. Retails $12.95.
WEN PRODUCTS, INC. CHICAGO 31, ILL.
(Export sales, Scheel International, Inc., Chicago)
(Continued from page 36)
act for fear of violating some legal statute; such as restraint of trade, price fixing, or naming an individual or company.
ALBERT C. W. SAUNDERS
Educational Director
Radio-TV Technicians Guild, New England
Belmont, Mass.
• A legal authority whom the editors have consulted says, "I have examined your "Two Fisted" editorial with great interest. First, let me say I thoroughly approve of the basic idea. I disagree with those who are concerned about the legality of the program as a whole. . . . As a matter of law, a dealer is free to trade or not to trade with anyone he chooses, for any reason he chooses, including a dislike of the distributors' or manufacturers' price policy. . . ." Other aspects of the problem will be considered in forthcoming issues of TECHNICIAN.—Ed.
Color TV Response
EDITORS, TECHNICIAN:
I read with much interest your editorial, "Get Started in Color TV Now" in the June issue. Would you please send the data that I need to obtain a color TV set wholesale? I intend to take your advice and start color TV now. We are surrounded by wealthy homes and people should be interested.
PAUL G. MATHEWS
Mathews Radio & TV Service
Bloomingdale, N. J.
EDITORS, TECHNICIAN:
I am interested in obtaining information on where to get a color TV set wholesale. There seem to be many problems involved. Most prominent is the question of whether the present standards will be continued. Color broadcasts are few at this time.
WILLIAM TURNER
Esan Electronic Labs.
Brooklyn, N. Y.
• Messrs. Mathews and Turner, as well as other readers who wrote for color TV information, have been referred to the proper sources, wherever such sources exist. We are attempting to work out a more extensive program with manufacturers to make color sets readily available to technicians. Although set designs may change, as they have done for the past nine years, FCC color standards will remain the same, according to all indications. Color programs are expected to increase this fall, but now is the time to get started in color.—Ed.
Get It Off Your Chest
Do you have any gripes that fellow technicians might be interested in? Let us know about them. Another reader might have the answer you've been looking for.
Weapon Against Retailing Distrib?
Radio Television Guild of Long Island, Box 87, Bethpage, N. Y., is contemplating a test legal action that may have considerable impact in the matter of distributors who sell to the public at the same price they charge legitimate service technicians. If the action goes forward, it cannot be launched directly against the jobber. However, if successful, it would have the desired final result.
In a recent issue of its News, the Guild asks: "Can a manufacturer engaged in interstate commerce 'discriminate in price between different purchasers of commodities of like grade and quality?' . . . or, to put it another way . . . is it lawful under the provisions of the Robinson-Patman Antidiscrimination Act for a manufacturer to sell his product to a 'distributor' who sells directly to the public, at a better price than to the retail service dealer against whom (the distributor) is competing?"
If the Guild's premise is correct, there is no basis for action against the jobber, since no law prevents him from selling to whom he chooses. The manufacturer who sells to the distributor, however, could be found to be discriminating in favor of the jobber—who is in competition with the dealer. Manufacturers would then have to ask the same price from such jobbers that they would get from the technician-dealer.
A recent FTC decision solidifying the antidiscrimination provisions of the Robinson-Patman Act may have considerable bearing on the case. According to this ruling, extra discounts given on the basis of large orders would have to meet 2 requirements to be legal: (1) The same discounts must be available to all who buy in comparable quantities and (2) the extra discount may only reflect the actual savings to the manufacturer resulting from the size of the order. Several cases in other fields of activity, based on this decision, are now pending.
RSA Sponsors Color Lecture
The Radio Servicemen's Assoc. of Trenton, N. J. held an open house color TV demonstration recently which was attended by more than 150 TV technicians and service dealers. M. E. Heath, Westinghouse color TV engineer, conducted the proceedings.
(Assoc. News cont'd. on page 45)
Absolutely non-corrosive and non-conductive, KESTER "RESIN-FIVE" CORE SOLDER contains an activated type of resin that gives you that fast, positive action on all your jobs . . . including the most difficult.
KESTER SOLDER COMPANY
4264 Wrightwood Avenue • Chicago 39, Illinois
Newark 5, New Jersey • Brantford, Canada
For the first time in electronic testing history
You can test a coupling condenser FOR LEAKAGE ...without disconnecting from circuit!
TeleTest CapaciTester
The CapaciTester is the first test instrument offered to the electronics field that will indicate the presence of leakage in coupling condensers without the necessity for disconnecting either end of the condenser from its circuit.
The greatest impact of the CapaciTester will be realized in trouble-shooting printed wire or circuit board equipment. To detect leakage using conventional procedure it is necessary to un-solder and clip one end of the condenser to the printed board. This is a delicate and time-consuming operation, very often a hazardous one resulting in permanent damage to the component board. If a coupling condenser tested in this way is found to be leaking, the technician must re-solder the part into the circuit with the chance of leakage still present. Since the CapaciTester eliminates the need for disconnecting the suspected coupling condenser, it is apparent that much wasted time is eliminated, costly damage is eliminated and the resulting job is a clean one with no possibility of introducing cold solder connections introduced during troubleshooting.
The advantages of the CapaciTester outlined above apply equally well to trouble-shooting conventional electronic equipment. The CapaciTester may also be used to detect leakage between transformer windings or between any two points where leakage may develop.
A high accuracy Wire Bridge is included in the CapaciTester for the measurement of capacity from 10 mmf to 50 mfd, thereby providing a well rounded instrument for the measurement and testing of capacitors.
Model CT 355 $44.95
TeleTest INSTRUMENT CORP.
Miss. of TeleTest FLYBACK TESTER and TeleTest REJUVENATESTER
31-01 Linden Place,
Flushing, New York
Catalogs & Bulletins
BATTERIES: Copies of the new 1955 NEDA Battery Index, with a 3-line imprint, suitable for distribution by battery manufacturers and private label companies, are now available from the NEDA office at 4704 W. Irving Park Rd., Chicago 41, Ill. @ $38.00 per 1,000- (Ask for No. B7-1)
HEAT DETECTORS: New 4-page illustrated brochure describes 3 types of remote detectors of infra-red energy designed for use in heat detection, measurement or control systems. Write Servo Corp. of America, 2020 Jericho Turnpike, New Hyde Park, N.Y. (Ask for No. B7-2)
PHOTOELECTRIC SYSTEMS: Bulletin No. 1252, 15 pp., describes a line of photoelectric cells, and associated equipment, relays, time delay units and burglar alarms with typical applications. Worner Electronic Devices, Rankin, Ill. (Ask for No. B7-3)
HERMETIC SEALS: Complete technical data and drawings on the line of Vac-Tite compression single terminal feed-thru's and stand-offs is contained in a 4-page brochure available from Hermetic Seal Products Co., 29-37 S. Sixth St., Newark, 4. (Ask for No. B7-4)
CONTROLS: Spring 1955 pocket edition of the "Centralab" Control Guide cross-indexes manufacturers part no. with equivalent Centralab replacement for all standard radios, TV's, auto radios and audio equipment. 20¢. Centralab, Div. of Globe-Union Inc., 900 E. Keefe Ave., Milwaukee, 1. (Ask for No. B7-5)
TEST EQUIPMENT: New 8-page booklet on TV alignment equipment contains reprinted articles on the use of the Model 691 Marker Adder and the Model 690 Marker Generator. Write Hickok Electr. Instr. Co., 10606 Dupont Ave., Cleveland 8 (Ask for No. B7-6)
RESISTORS AND HARDWARE: Catalog "D-55" describes the Erie line of Teflon electronic components, including stand-off and feed-thru insulators, sockets and spaghetti, also various types of capacitors and resistors. Erie Resistor Corp., Dept. S, Erie, Pa. (Ask for No. B7-7)
CAPACITORS, RESISTORS: Distributor catalog D.C. 359, available through jobbers only, describes a full line of paper, mica, ceramic and electrolytic capacitors, also filters, resistors and printed circuit units. Aerovox Corp., New Bedford, Mass. (Ask for No. B7-8)
SPRAY KIT: Catalog sheet describes the new "Crown" Spray Line utility kit, containing individual cans of lubricating oil, penetrating oil, rust inhibitor and clear plastic. Crown Industrial Prods. Co. 724 Amsterdam St., Woodstock, Ill. (Ask for No. B7-9)
PRINTED CIRCUITS: Bulletin M-1 contains technical specifications on the Type MCR molded printed electronic circuits, including their construction, dimensions, lead connections and applications. International Resistance Co., 401 N. Broad St., Phila. 8. (Ask for No. B7-11)
Rohn Exhibit Highlighted
The engineering, production and testing procedures used by Rohn Mfg. Co. in the manufacture of their line of towers, masts and accessories were depicted in their "Towerama" presentation at the Electronic Parts Show in Chicago. A series of twenty-one 3-dimensional film slides in full color vividly presented the processes performed in their hot-dipped galvanizing plant.
New Books
ELEMENTS OF PHYSICS. 2nd Edition. By George Shortley and Dudley Williams. Published by Prentice Hall Inc., 70 Fifth Ave., New York, N.Y., 880 pp. Hard cover. $10.60.
The first edition of this book, which appeared 2 years ago, proved so popular that the publishers decided to follow it up with this new revised edition to incorporate the many constructive criticisms and suggestions made by users of the text.
The book is intended for use in an introductory course for the student of science or engineering. Mathematics is used as a tool, but no attempt is made to teach math for its own sake. Plane trigonometry is used extensively, and calculus is introduced gradually in the latter sections of the book.
Emphasis, in the first part of the book, is on the fundamental principles which describe all physical phenomena. Later sections deal with specific applications. An exceptionally comprehensive section, almost 400 pages, deals with electricity and magnetism. Subjects covered include: transistors, vacuum tubes, ac and dc voltmeters, Kirchhoff's Laws, ac circuits and transformers.
THE NEW HIGH FIDELITY HANDBOOK. By Irving Greene and James R. Radcliffe. Published by Crown Publishers, Inc., 419 Fourth Ave., New York City 16, N.Y. 193 pp. Hard cover. $4.95.
This volume, written on an intermediate technical level, provides a comprehensive practical education in high fidelity. It is liberally illustrated with 250 pictures and drawings, and includes descriptions of numerous products commercially available from various manufacturers.
The first six chapters discuss hi-fi system performance, component functions, recorded sound, FM radio, sound amplification and reproduction. The section on home recording covers recording techniques, tape performance and care. Hi-Fi installation planning and styling, and how to make hi-fi furniture are explained. One chapter presents basic servicing and maintenance, describing some of the most common symptoms. An informative glossary, buying guide and instructions for making a crossover network are among the book's many features.
Let's Look at Circuits
(Continued from page 34)
tube. In some designs, the plate-to-ground condenser is omitted; the pulsed output is just as has been shown in waveform 4; and the succeeding stage is a separate charge-discharge tube.
Twin triodes lend themselves very well to use in multivibrator circuits. Commonly used types are the 6SN7, 12AU7, and 12BH7. As a point of recognition, the garden-variety multivibrator described here is not the most common type used in TV receivers. It was chosen because it best lends itself to the explanation of how circuits of this sort work overall. The cathode-coupled multivibrator is most often encountered in practice. Its distinctive feature is the fact that both cathodes, tied together, are returned to ground through the same resistor. This common path provides the needed feedback between the two triodes, which has been accounted for by means of the coupling capacitors in the general circuit described here. Other refinements may include a stabilizing coil in the circuit. These are points, however, which are best left to a separate discussion of the cathode-coupled multivibrator at some future time.
New Addition to FRSAP
New release from the Federation of Radio Servicemen's Associations of Pennsylvania reports induction ceremonies in which the TV Service Dealers Assoc. of Chester, Pa. Inc. became affiliated with FRSAP. Same release commends TECHNICIAN & Circuit Digests for editorial (See May, 1955) on the evils of wholesale selling on a retail basis by parts distributors.
New Michigan Associations
The new South Oakland County TV Association, P.O. Box 267, Royal Oak, Michigan, includes 22 service shops in the S. Oakland County area. Officers are: pres., F. S. Mosier; vice-pres., D. DeMezlo; secy., A. N. Pallota; treas, R. Miller. The association's efforts are now directed at promoting a state licensing bill.
The Television Service Dealers Assoc., 3956 S. Division Ave., Grand Rapids, Mich. was recently formed, and elected the following officers; pres., Mort Binder; vice-pres., Floyd Snip; secy., Chas. La Roche; and treas, Al Matson.
Blasts Tube Coding
S.T.T.A. News, published by the Syracuse TV Technician Assoc. Inc., lashes out at the new industry practice of coding receiving tubes with incomprehensible date codes. How, asks the News, can technicians rotate their stock so as to use the oldest tubes first, if there is no indication as to which tubes actually are the oldest? After pointing out that their experience shows that failures among first run tubes are running exceptionally high, they suggest the possibility that the tube manufacturers "are adopting the new code date system in order to confuse the service industry so they will be cheated out of their warranty."
Vibrator Power Supplies
(Continued from page 28)
of the waveform in Fig. 5B. The pulsating dc voltage can then be filtered to the desired degree through conventional filter circuits.
One might note that, if the positive terminal of the battery were grounded and the negative terminal connected to the center tap of the transformer (this is a common connection, as many automobiles have a positive ground), the primary current would be reversed and the output voltage would be negative. To overcome this, most "self-rectifying" vibrators have their base pins arranged symmetrically such that the vibrator is actually "reversible" in the socket. This effectively reverses the primary winding connections as indicated by the dashed-lines in Fig. 5A. The pin connections to the secondary contacts are cross-connected on the socket so that the secondary will not be reversed also.
Another characteristic of the self-rectifying vibrator is that the primary or "interrupter" contacts and the secondary or "rectifier" contacts have different time efficiencies. The contacts are actually adjusted such that the interrupter contacts will always close first, with the rectifier contacts lagging slightly behind. This is done so that the commutation will take place at a high-voltage, low-current level rather than at a low-voltage, high-current level. This, in turn, permits handling of greater loads as less heating results in the contacts. However, commutation of a high voltage naturally results in a good deal of sparking which is occasionally difficult to overcome.
News of the Industry
DAN D. HALPIN has been appointed asst. gen. mgr. in charge of marketing and gen. sales mgr. of the Westinghouse Corp.'s TV-Radio Div. Mr. Halpin was formerly gen. sales mgr. of DuMont's Receiver Div. and has also been previously with RCA Victor and Dictograph Products Co., Inc.
COMMUNITY TV CABLE SERVICE SECTION has been created at Federal Tel. & Radio, Clifton, N.J. to provide technical information and associated services to Community TV operators.
JERROLD ELECTRONICS CORP. has broken ground for its new 5,700 sq. ft. lab. The 1-story cinder block building is expected to be in use by Fall 1955.
W. P. READY has been appointed gen. sales mgr. for WALLACE'S TELAIDES, INC., Jamaica Plain, Mass.
OXFORD ELECTRIC CORP. has expanded their transformer facilities to include the manufacture of power and/or filament transformers as well as ballast and vibrator types of transformers.
SIDNEY HERBTSMAN has assumed the presidency of G & H WOOD PRODUCTS CO., INC., manufacturers of hi-fi cabinets.
FRANK VAN GILDER has been named asst. sales mgr., Merchandise Division, of International Resistance Co., Phila. He will assist in distributor sales promotion and merchandising.
HOWARD GOLENPAUL, son of Aero-vox distributor sales mgr., CHARLEY GOLENPAUL, has joined Simberkoff Sales Co., Hoboken, N.J. firm of manufacturers' reps.
JACK L. HOBBY has been named manager of publicity and institutional advertising for Raytheon Mfg. Co., Waltham, Mass.
DANIEL NEWMAN was named Director of Product Service at CBS-Columbia.
Reps & Distributors
CHARLES W. LIENAU & CO., mfrs. rep, announces two new additions to its staff: SPENCER H. GULICK and ALBERT FURMAN.
ARCO ELECTRONICS INC., N.Y.C., has named LEBAN & GRAHAM their rep for the Mid-Atlantic area, and HAROLD A. CHAMBERLIN for the New England area.
PERFECTION MICA CO., 20 N. Wacker Dr., Chicago, manufacturers of magnetic shielding material, has appointed PRECISION SALES, INC. of Utica, N. Y. to handle their products in upper N. Y. state, and the rep firm of WHITE & CO., Palo Alto, Calif. for Northern Calif. and portions of Oregon and Washington.
R. B. BARNHILL & ASSOC. of Baltimore, Md. has been named representative of PYRAMID ELECTRIC CO. for industrial and manufacturing accounts in Del., Md., Washington, D.C., Va. and N.C.
ARTHUR J. SCHUBERT has been named rep for the greater Chicago area for the GENERAL TRANSFORMER CO.
I. R. STERN will handle the MASCO line of sound equipment in Southern Calif., Ariz. and part of Nevada.
SYLVANIA ELECTRIC PRODUCTS, INC. has named five new distributors for its line of electronic tube products: CAL-TEL SUPPLY CO., 4553 Van Nuys Blvd., Sherman Oaks, Calif.; TAG'S RADIO & TV SUPPLY, 14350 Calvert St., Van Nuys, Calif.; PACIFIC TV SUPPLY, 4032 Figueroa St., Los Angeles, Calif.; MID-STATE WHOLESALE ELECTRONIC SUPPLY CO., 1445 Monterey St., San Luis Obispo, Calif.; and CERTIFIED ELECTRONICS, INC., Albany Ave., Extension, Kingston, N. Y.
WALSCO ELECTRONICS CORP. has been named the exclusive distributor for all products manufactured by CHASE MFG. CO. Among the products are the "Pioneer" chassis punches, the "Ham-R-Press," and "Knurl-Tite" wrenches.
SOUTHERN ELECTRIC CORP., Staunton, Va. has been appointed a distributor for the new line of STROMBERG-CARLSON TV and radio products.
MANIS RADIO & ELECTRIC SUPPLY CO., INC., Montreal, Can., was appointed a distributor for ARCO ELECTRONICS INC.
Renecked Picture Tubes
(Continued from page 24)
standards. A new screen and new internal conductive coating are then applied. A new gun is sealed in and the tube is exhausted. The tube is thus completely new in every respect.
The exact percentage of renecks attributable to each cause will vary, but each bulb runs a hazardous course, starting with the bulb manufacturer. As a result (and with some variation from time to time and among tube types) it is likely that many picture tubes have been renecked at some stage, in addition to the renecking necessary to provide the special glass neck required on all tubes.
Renecking is performed in a special glass lathe. The bulb with its foreshortened neck and a new length of neck are heated and sealed together. Care is taken to assure that any irregularities in the glass fall well within specifications. This means the tube will accommodate standard size accessories, such as coils, ion traps or focusing devices.
A picture tube has one primary purpose—to present a good picture for a long period of time. Renecking is of no consequence to the overall quality, performance or life.
It is interesting to note that a manufacturer with high final performance quality standards may reject many finished tubes and, therefore, have an even higher number of renecked bulbs among his finished products than a manufacturer whose standards are not as high.
Reprinted from "The Capehart Tech-Flash," Vol. 4, Issue 2—Mar.-Apr., 1955
CIRCUIT DIGEST cumulative index will be published in a forthcoming issue. Last index begins on p. 60 of Apr.
FLASH-GUN REMOTE CONTROL
Four models in the new Zenith line are featuring "Flash-Matic," a light operated remote control system which permits the customer to change channels, turn the set on and off, or turn down the volume, just by hitting the appropriate photo-electric cell with the beam from the flash-gun provided.
Capital Airlines
Jensen VIKING
FLIES WITH VISCOUNT
AN OUTSTANDING AVIATION ACHIEVEMENT!
With the purchase of forty Vickers Viscounts, Capital Airlines culminates an extended search for the type of aircraft to best serve its millions of loyal passengers. These outstanding four propeller turbine engine aircraft will add new and important pages to aviation history.
AN OUTSTANDING SPEAKER ACHIEVEMENT!
Jensen Manufacturing Company is proud of Capital's selection of Viking Speakers for the audio system of this new modern aircraft. This system makes use of 22 Jensen Viking 4J6 type speakers mounted in the thin cabin walls between the windows on both sides of the cabin.
Leading parts distributors and service dealers know VIKING by Jensen as a stand-out economical replacement speaker line with compactness and efficient performance that universally qualifies VIKING for all radio and TV speaker replacements. And when you sell or install a VIKING, you get the same locked-in alignment, the same precision construction and the same dependability that led Capital to specify them for their Viscount fleet.
Jensen MANUFACTURING COMPANY • 6601 S. Laramie • Chicago 38, Ill.
Division of the Muter Company
IN CANADA: Copper Wire Products, Ltd. Licensee
WORLD'S QUALITY STANDARD FOR MORE THAN A QUARTER CENTURY
capacitor replacements
FOR SETS OF THE MONTH
ADIMRAL CHASSIS 18XP4BZ
| Symbol | Rating | Admiral Part No. | Sprague Replacement |
|--------|--------|------------------|---------------------|
| C-206 | 4@50 | 67827-3 | TVA-1303 |
| C-213A | 60+20+5 MF (Includes C319, C411) | — | TVL-3640 |
| C-214 | 40 MF | — | TVA-1611 |
| C-410 | 10@475 | — | TVA-1802 |
| C-501 | 100+60 MF | — | TVL-3645 |
| C-401—C-403 | Vertical Integrator | 6386-9² | V-1 |
| R-401—R-403 | Parallel 40 MF and 20 MF Sections. May also be 63C9-1 | — | — |
G. E. MODEL A1 300 AMPLIFIER
| Symbol | Rating | G. E. Part No. | Sprague Replacement |
|--------|--------|----------------|---------------------|
| C-1 | 20+20@350 | RCE-041 | TVL-2626 |
| C-3 | 30+30+15@450/30@50 | RCE-070 | TVL-4742 |
PHILCO CHASSIS TV-300, TV-301
| Symbol | Rating | Philco Part No. | Sprague Replacement |
|--------|--------|-----------------|---------------------|
| E-1 | 40@400/80@350/100@200/25@50 | 30-2584-47 | R-2042 |
| E-3 | 20@475/100@350/5@150 | 30-2584-50 | R-2043 |
HOFFMAN CHASSIS 306-21, 307-17, 308-21, 309-21, 310-21
| Symbol | Rating | Hoffman Part No. | Sprague Replacement |
|--------|--------|------------------|---------------------|
| C-103 | 5@50 | 4209 | TVA-1303 |
| C-109 | 5@50 | 4209 | TVA-1303 |
| C-801 | 100@300/200+40@200 | 4204A | R-2041 |
| Z-501 | Vertical Integrator | 9695 | V-1 |
EMERSON CHASSIS 120274 (Transistor Radio)
| Symbol | Rating | Emerson Part No. | Sprague Replacement |
|--------|--------|------------------|---------------------|
| C-19 | 8@50 | 925238 | TVA-1304 |
| C-21 | 50@6 | 925310 | TE-1100 |
| C-15 | | | |
| C-16 | Coupling Plate | 923029 | R-9167 |
| C-17 | | | |
| C-18 | | | |
WESTINGHOUSE CHASSIS V-2237-2
| Symbol | Rating | Westinghouse Part No. | Sprague Replacement |
|--------|--------|-----------------------|---------------------|
| C-6 | 10@90 | V-6321-1 | TVA-1406 |
| C-9 | Multiple Capacitor Plate | V-9703-1 | 34C4 |
Sprague makes more capacitors...in more types...in more ratings...than any other capacitor manufacturer. Send 10¢ for the 65-page giant seventh edition TV Replacement Manual to Sprague Products Co., 65 Marshall St., North Adams, Mass., or get it FREE from your Sprague distributor.
DON'T BE VAGUE...INSIST ON
Beware the Service Bargain...
You'll never see your doctor advertise a special sale on appendectomies...
You'll never see your lawyer announce cut-rates for divorce cases...
You'll never see your dentist hold a "2-for-1" sale on extractions...
AND You'll never see the day when you can take your TV set in for a service "bargain" and be sure you're getting a square deal!
"Bargains" in home electronic service are as scarce as the proverbial hen's teeth! Here's why—
The expert service technician, just like other professional people, must undergo years of study and apprenticeship to learn the fundamentals of his skill. And a minimum investment of from $3000 to $6000 per shop technician is required for the necessary equipment to test today's highly complex sets. Finally, through manufacturer's training courses and his own technical journals, he must keep up with changes that are developing as fast as they ever did in medicine, law, or dentistry. Those best equipped to apply modern scientific methods are almost certain to be most economical for you and definitely more satisfactory in the long run.
Unfortunately, as in any business, there will always be a few fly-by-night operators. But patients, clients, and TV set owners who recognize that you get only what you pay for, will never get gyped. "There just ARE no service bargains"...but there is GOOD SERVICE awaiting you at FAIR PRICES!"
Harry Kahler
PRESIDENT
SPRAGUE PRODUCTS COMPANY
North Adams, Mass.
THIS FAMOUS SPRAGUE REPRINT AGAIN AVAILABLE!
Blank space on the bottom for your imprint.
- 1,000 only $3 postpaid
- 10,000 or more only $25 per 10,000 postpaid.
For immediate delivery on any quantity, send us your check or money order today!
SPRAGUE
(Distributors' Div. of the Sprague Electric Co.)
BY POPULAR DEMAND!
...the new
...the improved
RCA "TREASURE CHEST"
LARGER—holds more tubes!
STRONGER—built to last longer!
MORE PROFESSIONAL LOOKING—helps build your prestige!
Here it is—the new, improved RCA "Treasure Chest"! Use it to carry a full selection of receiving tubes with you on your service calls. Use it to carry small tools. Use it to display the world-famous brand name—RCA—and let it work for you to build your business by instilling customer confidence.
STARTING NOW... For each RCA Picture Tube, or every 25 RCA Receiving Tubes you purchase, your RCA Tube Distributor will give you one RCA "Treasure Note." Save 20 "Treasure Notes" and your RCA Tube Distributor will trade them for the NEW RCA "TREASURE CHEST." This rugged, custom-built tube-carrying case is not for sale anywhere, at any price!
Here's more treasure...
the RCA "MULTICORD"!
It's an all-in-one power cord with two popular types of "cheater" receptacles; a hard-rubber, 3-way power outlet for test equipment, soldering gun, etc., and a clamp-on work light. A real time-saver for busy service technicians! It's yours FREE of extra cost for only 5 RCA "Treasure Notes."
These offers expire at midnight, August 31, 1955 so act promptly. Don't miss out... Order your RCA Picture Tubes and RCA Receiving Tubes and start collecting valuable "Treasure Notes" now!
RADIO CORPORATION OF AMERICA
TUBE DIVISION
HARRISON, N.J.
|
Satisfying Customers for Profit
Tested Principles of Customer Relations for the Service-Type Business
An Electronic Industries Association Project
A PHOTO ACT PUBLICATION
satisfying CUSTOMERS for PROFIT
An Electronic Industries Association Project
HOWARD W. SAMS & CO., INC.
THE BOBBS-MERRILL COMPANY, INC.
Indianapolis • New York
FIRST EDITION
FIRST PRINTING — DECEMBER, 1960
SATISFYING CUSTOMERS FOR PROFIT
Copyright © 1960 by Howard W. Sams & Co., Inc., Indianapolis 6, Indiana. Printed in the United States of America.
Reproduction or use, without express permission, of editorial or pictorial content, in any manner, is prohibited. No patent liability is assumed with respect to the information contained herein.
Library of Congress Catalog Card Number: 60-15842
FOREWORD
It is an established fact that servicing represents one of the most important segments of the electronics industry. It is also a fact that servicing is an extremely complex business.
Recognizing this, the Electronic Industries Association has sponsored a series of publications designed to provide a thorough study of service work in all its various phases. Previous publications dealt with technical skills, and future ones will cover business management.
This book is the latest in the series, and deals with that all-important element of any successful service business—Customer Relations. In these pages you will learn the practices—combinations of technical and business management techniques—which will enable you to deal effectively, and successfully, with your customers.
We wish to express our appreciation to the independent electronic service technicians who participated in the field test of the course, the EIA Service Committee, and the Subcommittee on Customer Relations.
October, 1960
JAMES D. SECREST
Executive Vice President
Electronic Industries Association
ELECTRONIC INDUSTRIES ASSOCIATION—
NEW YORK TRADE SCHOOL PUBLICATIONS
Basic Electricity — 2nd Edition
Basic Electronics — 2nd Edition
Basic Radio and Radio-Receiver Servicing — 2nd Edition
Basic Television and Television Receiver Servicing
Advanced Television Servicing Techniques
Industrial Electronics
# TABLE OF CONTENTS
| Unit | Title | Page |
|------|----------------------------------------------------------------------|------|
| 1 | Bob Answers the $7,500 Question | 9 |
| 2 | An Oldtimer Sounds Off | 12 |
| 3 | Bob's Recipe for Turtle Soup | 15 |
| 4 | Red Tries on Kid Gloves | 18 |
| 5 | Opportunity Never Rings Twice | 21 |
| 6 | Mrs. T. V. Busted Needs Bob's Sympathy | 24 |
| 7 | Bob Tames Bulldog Growler | 27 |
| 8 | Bob's Late for a Date | 30 |
| 9 | Why Old MacStubble's Back on the Farm | 33 |
| 10 | Red Learns About Setside Manners | 36 |
| 11 | Red's Motto: Don't Chip the Chippendale | 39 |
| 12 | Red Learns to Watch His Tongue | 42 |
| 13 | Bob Makes a Friend Out of Suspicious Sam | 45 |
| 14 | Mrs. White Wonders Why Bob's Missing a Part | 48 |
| 15 | Bob Pulls Hank Smith's Set Into the Shop | 51 |
| 16 | Peggy Collins Calls Bob Again | 54 |
| 17 | Bob Revisits a Sick Friend | 57 |
| 18 | Pop's Secret Formula for Lemon-Aid | 60 |
| 19 | Bob Gives a Lesson in Diplomacy | 63 |
| 20 | It's Not the Labor, It's the Overhead | 66 |
| 21 | Bob Puts His Best Foot Forward | 69 |
| 22 | Bob Collects Interest on His Investment | 72 |
| 23 | Foolish Frank Neglects Know-How | 75 |
| 24 | Bob Surveys Customer Satisfaction | 78 |
| 25 | Bob Builds for the Future | 81 |
| | Answers to "Facing the Problems" | 85 |
| | Daily Reminder Cards | Opposite Page 48 |
CROSSTOWN ELECTRONIC SERVICE
A series of situations involving the day-to-day experiences of the Crosstown Electronic Service business with their shop and home customers.
The personnel of the Crosstown Electronic Service consists of the following principal characters:
BOB TRONIC, the 30-year-old owner-operator who makes many of the house calls.
POP TRONIC, Bob’s father, an electronic service “old timer” who is full of practical ideas as a result of a lifetime in the professional service business.
MARYBETH, Bob’s wife who helps the father-son team at the shop, answering the telephone and waiting on the shop customers.
RED TOWERS, who does much of the bench service work, but often calls upon Pop’s wisdom and experience; makes many service calls with Bob or alone.
Each narrative deals with a special aspect of customer relations. A summary of the important points follows the presentations. Thought-provoking, practical questions are used to apply the knowledge in a useful manner.
World Radio History
With the New Year's resolutions still unbroken, Bob Tronic did his best to ignore the bright mid-January sunshine coming through the spotless front windows of the Crosstown Electronic Service building. He had just finished reading the report from his bookkeeping service, and there was no doubt about it: it had been the best year yet. More than 20% better than the previous year, in fact.
Bob pushed back his chair and walked over to Marybeth's desk. After twelve years of marriage she knew that Bob had just run out of cigarettes and was coming over to search hopefully in her purse. Without even looking up from the envelopes she was addressing for the special February mailing, she took a new pack from a hidden carton and offered it to Bob.
Bob looked startled. "How'd you guess, Sweetheart?"
"You picked yourself a mind reader," said Marybeth.
"Well, Mrs. Mindreader, if you're as sharp as all that, maybe you'd care to guess what kind of a year we've had?"
Marybeth frowned seriously, then looked up brightly. "I'd say about 20% better."
"What makes you think it's 20%," Bob went on, "unless you've been peeking at the mail from the bookkeeping service?"
"I haven't been peeking at anything," protested Marybeth, "and what's more I don't have to. A week seldom passes without a pleasant telephone call from a satisfied customer. We're busier than ever before. The telephone is my yardstick of our activity—the best yardstick in the world." She paused as Red Towers, Bob's helper, came from the shop.
"Where there's smoke there's cigarettes," said Red suggestively.
"What a bunch of freeloaders," complained Marybeth, as Bob offered a cigarette to Red.
"Like many of our customers," agreed Red.
Bob frowned. "You're dead wrong on that one, Red. There's nothing free about any of our customers. They're the folks who pay our salaries, my friend. You know how much I figure each one of them is worth to us? Just about $7,500, at least. And that's just the hardware: trucks, office equipment, test equipment, replacement parts and tubes, inventory, and tools. If you added on the cost of your training and
mine plus the good will we've been building up since we opened for business eight years ago, the actual worth might be twice that."
"I don't get it," pleaded Red. "Let's say we have 1,500 customers in a certain year. If the business investment is $7,500, then each customer is only worth five bucks. Doesn't that figure?"
Bob nodded. "That's one way of looking at it, but without the $7,500 invested we couldn't have any customers. A good customer is hard to find and harder to keep. I like to think each one cost $7,500; then I'm not so likely to forget what's at stake. $7,500 may not be all the cash in the world, but it took us eight years to get this far. Any time I fail to satisfy a customer, I figure I've said goodbye to 7½ G's. You'd be surprised how much harder I work on the next call we get."
Red thought this over, then winked at Marybeth. "Next, you'll say the customer is King."
"He is," said Marybeth, ignoring the wink. "It took me five years to make a believer of Bob. And no one can sniff out the trouble in a sick TV faster than our boy. In fact, that was the problem when Bob was getting started. He was so busy trouble-shooting thingamajigs that he never took the time to treat the patient as well as the disease. I was worrying about the slow growth of Crosstown Electronic Service when I saw an article in one of the service magazines about customer relations. It was then we began to realize there's more to the service business than fixing sets. We started thinking in terms of people, too."
"Marybeth put her finger on it," agreed Bob. "It finally dawned on me that it wasn't enough to be a good technician—there are plenty of fellows in this town who are. It's things like courtesy, tact, enthusiasm, sympathy, and friendliness that make the big difference. In this business you're rewarded to the extent that you give Service with a capital S. I've got increased business and profits to prove it." Bob waved at the papers on his desk.
"You don't need complicated records to know how you're doing," Marybeth interrupted. "I can tell just by talking to our customers on the telephone. But don't tell Bob; he thinks I gaze into a crystal ball."
**In Brief . . .**
A good customer is costly to find. . . . and keep.
A growing business is the result of *really* selling service. And there's more to selling service than applying technical know-how.
Enthusiasm is the most contagious disease you can catch. It builds business good will when left uncured.
The investment in training never ceases to pay dividends, and don’t forget—this training includes customer relations. In-service training offers the only opportunity to compete in a rapidly changing technology.
Probably fairly close to where you are now, there are several hundred—or thousand—men and women who hold the key to your future success. They are customers or prospects, or both.
The serviceman who believes he is merely servicing, but not selling, will soon cease servicing.
It isn’t enough to be a good technician—a service technician is rewarded to the extent that he gives Service with a capital S.
Completely satisfied customers are the yardstick of a serviceman’s success.
Business growth is a result of combining the ability to perform satisfactorily and the ability to impress favorably.
**Facing The Problems . . .**
1. Did you ever try to estimate the cost of your training? Some of the costs were obvious, such as the tuition and the books purchased, but can you name some of the hidden expenses of your training?
2. Can you itemize the investments in your customers that *don’t* cost money?
3. How many sources can you list that can help you keep up to date on customer relations?
4. Who benefits from a service call?
5. When does your investment in training, experience, shop equipment, etc., pay off?
Perhaps one very good reason for the success of the Crosstown Electronic Service was a friendly, family atmosphere so strong that customers seemed to sense they were in good hands.
This cordial, how-can-we-help-you spirit was nothing you could touch or define. It was expressed in Marybeth’s voice when she answered the phone, in Bob’s friendly smile as he walked into a customer’s house, in the way a person was greeted when he entered the shop. Nothing pushy or flip, mind you—just a genuine interest in people and their problems, plus the obvious competence of men who know their work and take pride in their skills.
Red Towers noticed this special personality his first day at work. Bob and Marybeth made him feel at home right from the start. They introduced him to Pop Tronic, Bob’s father, who was officially retired but still came in almost every day. Then Johnny and Linda, Bob and Marybeth’s children, stopped by after school. Johnny said he was going to be an astronaut and wanted Red to tell him all about the Air Force. Linda caught him off balance by asking if he was married. (Red coughed and said that he wasn’t, at least not yet.) By closing time, Red felt he’d known the Tronics for years. He soon found out that most of the customers, even new ones, felt the same way.
One Thursday afternoon a few weeks later, Pop was helping Red check out a mobile transmitter from the Plainview Taxi Company. Red, who had learned a lot about communications equipment during his four years with Uncle Sam, was amazed when Pop beat him to a diagnosis. Marybeth’s arrival with two cups of coffee encouraged him to find out how come.
“Pop, transmitter work is pretty offbeat for most shops—how did you spot that short so fast?”
“Young man,” said Pop with a twinkle, “I’ve been fixing radios since before you or Bob were born. In fact, next month it’ll be just 35 years ago I sold my first set. I had a furniture store on Grand Avenue then, and half the people in town hadn’t even seen a radio when I first put one in the window. Collected a big crowd, which was what I had in mind, of course, but then someone wanted to listen to it as well as look at it. Next thing you know I had to buy a dozen headsets and hire
a bright high school boy to explain how it worked. Wasn’t long afterward that I got interested myself and took a set home to tinker around with.”
Red chuckled, “Got hooked by your own gimmick?”
“That was only the beginning,” confessed Pop. “After a while people actually began buying sets, and since no one had ever heard of a service shop in those days, I had to keep them running myself. When Central City started broadcasting, and when we could count on picking up Chicago now and then, things really began to boom. I’ve been in up to my ears ever since. I’m a ham, too. I had the first amateur license west of Rockville and now hold a first-class ticket. Right now I’ve got a 1,000-watt single sideband job at home that you might like to try out sometime. There’s a bunch of us enthusiasts who get together on Friday nights; we’d be pleased to have you drop by.”
Red glanced at the taxi transmitter on the bench. “I should have guessed I was up against an old pro. You’ve seen a lot happen in thirty-five years.”
“That’s right, Red. In the old days, radio was mostly a curiosity. Today, with TV, FM, hi-fi, and all the rest, electronics is a part of people’s lives. We’re sitting in the middle of a $14,000,000,000 industry. Behind us are some of the finest engineering talents in the world and some mighty capable production men, too. Together they turn out more sets, components, and parts in a day than you’d have seen in a whole year back in 1920. A few bucks today will buy you quality and reliability people didn’t even dream of then. The finest lab in the country didn’t have the test instruments we’ve got sitting on our bench right now. In another ten years, the industry will be two, three times as big. And that’s only half the story.”
“Half?” puzzled Red.
“Yes,” Pop went on. “Something like 180,000,000 Americans use, enjoy and depend on the equipment we service. They’re a savvy bunch, too, with an investment in sets that grows bigger every year.”
“Sounds like we’ll make a mint.”
“Not if you think in those terms, Red. But if you think about people and how you can serve them better and more efficiently, you can count on a comfortable living or even better. More important, you can count on a world of satisfaction. After thirty-five years in this game I’ve learned that success is built on doing something people need and
doing it right. Stick that idea in your hat and you’ll never worry about a buck again.”
“I’ll try it on for size,” Red promised as he headed back for the bench. “Meanwhile, what do you say we put this transmitter back together before it gets obsolete.”
**In Brief . . .**
Each customer should be made to feel that he has come to the right place.
Speak in a friendly, pleasant tone—each customer needs to know you want to help him.
The industry and the service dealer benefit from attitudes that speak well of the firm.
Facts about products can be converted into selling points.
A friendly manner breeds new friends—if in doubt, try it.
A friendly atmosphere spreads as it sells your business, your products, and your industry.
Service fosters the sale of products of the electronics industry by creating good will through customer satisfaction.
Pride in the vast industry, of which you are a part, pays off in respect and understanding from your customers.
The shortest success rule: “Please others.”
**Facing The Problems . . .**
1. What can you do to show a how-can-I-help-you spirit to each customer?
2. How can you explain the value of efforts made by your industry for the customer’s benefit?
3. How can personal ties with customers be built and strengthened?
4. What evidence can be displayed to make customers feel they are dealing with competent, skilled people?
5. Why are you proud to be a part of the great electronics industry?
Whether it was sunspots or flying saucers, Bob had had to pull so many TV sets into the shop the first week in May that both he and Red were hard pressed to get them out by the weekend.
This Friday afternoon, it seemed to Red that the clock must have stopped running. He had a tough alignment job on his hands, and the longer he worked on it the hungrier he got. When he heard Mrs. Smith walk in with a portable record player and a tale of woe at two minutes of five he gave up. Grabbing his hat, he stormed past Bob and Mrs. Smith, marched out the door, and was soon installed at Harry’s with a tall glass of beer.
A good 20 minutes later, Bob settled himself in the booth across the table from Red and gestured toward the beer, “Where’s mine?”
“I thought maybe you’d decided to stay behind and make an evening of it,” Red retorted morosely.
“Mrs. Smith,” said Bob, “has a problem. Tomorrow her oldest boy, Tommy, is six and he’s having a party. She needs the record player for some of the games she’s planned. This morning her three-year-old knocked it off a table. She couldn’t come down to the shop until her husband got home because the baby’s sick. I replaced a cracked tube and put in a new stylus. You know what she said when I carried the phono out to her car?”
“She said, ‘Elvis really sends me,’” suggested Red.
“She said, ‘Bless you, Bob. You always help us when it counts most.’”
Red hid his embarrassment behind the menu, and then ordered the usual with French fries.
Bob buttered a piece of rye. “I know how you feel, Red. This has been a busy week and it’s aggravating when someone comes in with a rush job just as you’re getting ready to close. But you know, most of the time it really is an emergency of some kind, and if you look at it from the customer’s angle, an extra 15 minutes doesn’t matter that much. This steak will taste a lot better when I think about Tommy and his gang having a ball tomorrow.”
“And you made at least three bucks,” said Red defensively.
“More or less,” Bob replied. “The point is, however, that Mrs.
Smith has been a customer for five or six years. I happen to know she’s steered at least three neighbors to us during that time. I hope she’ll still be coming to us 20 years from now, along with her friends and their friends. Anyone ever tell you how to make turtle soup?”
Red shook his head.
“First you catch a turtle. The same recipe applies to the service business. First you get a customer, and when you’ve got him, you do everything possible to hang onto him so he can buy you that steak you’re cutting up. Customers pay your salary and mine, and you’d better learn to love them if you like to eat regularly.”
Red threw up his hand. “Okay, okay. I goofed and I’m sorry. From here on in I’ll be kind to turtles. Are you through?”
“Not quite, Red. Things are booming these days, what with the population going up, and more and better products coming out all the time. Makes it mighty nice for a business like ours. On the other hand, competition’s keener, too. There are at least six other good service outfits right here in Plainview. If we slack off, some of their new customers are going to be our old customers, and we’ll stop growing. If we get inconsiderate and impersonal, we’ll eventually go bust, like that guy who came down from Central City last year thinking he could make a fast buck.
“Twenty years ago this was a quiet, friendly, easygoing town. Now, with the new plants down on the south side and developments over at Eastville, things aren’t the same. This means that the personal touch is more important than ever before; it isn’t like the old days when everyone knew everyone else in town.
“Another thing. With all the appliances people have nowadays, the service industry has become a vital part of life. We in the electronics field have to train longer, learn more, develop more skills and repair more complex equipment than any other service group that goes into a family’s home. We have greater prestige and command greater respect. In short, we have a bigger stake in good customer relations.”
Red scratched his head. “I never thought of it quite that way before, but what you say figures. I guess what you’re telling me is that I’d better be more professional.”
“You’re on the beam, Red,” said Bob, reaching for the check. “What do you say we head on back for some of Marybeth’s cake and ice cream?”
In Brief . . .
Customers bring in problems and expect solutions.
A growing business has recognized the need for good customer relations.
Efforts on behalf of a customer representing above-and-beyond-the-call-of-duty concern for a situation are long remembered.
The mechanics of efficient servicing should not allow the need for customer relations of the highest order to be overlooked.
Acquiring and retaining customers is the fundamental element of a successful service business.
The first service call is especially important because on it rests the possibility of repeat business and referral business. However, every service call is equally important, for each time a call is made, a customer can be retained or can be lost.
Facing The Problems . . .
1. A poet once said, "No man is one man." What meaning does this hold for the service technician?
2. Name at least three customer relations policies which Bob Tronic (and you) could agree upon now to keep ahead of the competition.
3. How can your service center benefit from increases in the growth of population in its service area?
4. Why is the "personal touch" so important in a service business?
It was a perfect summer morning. As Bob and Red sped along the highway to Eastville, a few wispy clouds drifted along on a cool breeze. In the back of the Crosstown Electronic Service truck were three brand new console TV sets and as many antennas. Bob had an arrangement with two Plainview dealers to do all their installation work, and Red was along to lend a hand.
“A day like this actually makes it a pleasure to get out and climb around some Joe’s roof,” commented Bob as he overtook a station wagon full of kids headed for the lake.
“Me, I’d rather go fishing,” retorted Red cheerfully. “Did you remember the bait?”
“Nope,” Bob admitted, “but at least that head of yours’ll be just dandy for a sinker, and you’d probably scare enough fish to death on your way to the bottom so I wouldn’t need a rod and reel either.”
“Aw, Bob, come off it. Children are nuts about me, and my grandma thinks I’m swell.”
“Okay, let’s suppose you’ve got a five-year-old named Charlie who’s so nuts about you he wants to electrocute himself while you’re checking out his daddy’s TV. Now what?”
Red drew himself up in mock dignity. “That’s an easy one, Professor. I tell his mother she’s sure got a bright lad there who’ll probably run me out of business by the time he’s eight. Then I point out that there’s more than 20,000 volts running around the chassis and suggest he’d be a lot safer out on his tricycle.”
“Perfect customer relations,” applauded Bob. “Now your next customer is Norma Lamour. She meets you at the door in a filmy negligee and tells you she’s so glad you came. You’ve hardly got your dropcloth spread out before she tells you to forget the TV and come be comfy with her on the sofa.”
Red straightened his necktie. “Tell me more, boss.”
“I can see I’ve already told you too much,” Bob rejoined. “Just pick up your gear and get. The name’s Towers, not Casanova.”
“But you’re always telling me that a customer is a person with a problem, and I’m supposed to do everything . . .”
“Start to make a pass at Norma,” interrupted Bob, “and you’ll be
the one with the problem. You just struck out, Red; that makes your average 50%.”
“Okay,” grumbled Red, “who else do you know?”
“Call number three is at the home of Joe Booze. There’s an empty pint on the front lawn, a half-empty fifth on the telephone table, and an atmosphere that’s about 90 proof. Joe offers you a little snort and. . . .”
“I thank him kindly, tell him that I don’t drink, and fix his set while he’s out in the kitchen getting more ice.”
“That’s better,” said Bob. “Now here’s one that really calls for kid gloves.”
Red looked blank. “Kid gloves?”
“Most people respond to courtesy and common sense. Others require kid-glove treatment or you’re in trouble. Right now you’re trying on a pair for size.” Bob explained. “The McQuarrels live at the end of Thorny Lane. You manage to get inside without being chewed by their bulldog, and Joe McQuarrel tells you his wife left the set on all night and now it won’t work. The little woman gives Joe a piece of her mind, he calls her a no-good you-know-what, and she asks you to tell Joe what a bum he is. What now?”
Red drummed his fingers on the dashboard. “I guess I duck out again.”
Bob nodded. “You may have to, but first give Joe and the missus a chance to snap out of it. You can ask if it’s an inconvenient time for you to look at their set and offer to make a new appointment. Nine cases out of ten they’ll pull themselves together and you won’t have wasted a trip. The tenth time they’ll be so busy exchanging compliments they won’t even know you’ve left.”
“Sure is a rough neighborhood,” grinned Red.
Bob waved to a state trooper out on patrol. “Here’s another curve ball. Willy Miser out in Westwood complains that he can’t pick up more than one channel. You discover he has the lowest-price portable on the market and is running it without even a rabbit-ear antenna.”
“First I tell him he has a swell set,” said Red confidently. “Next I point out that it’s doing the best it can but that he’s in a fringe area on the wrong side of West Mountain. Then I suggest that the right kind of antenna on his roof will help pull in the more powerful stations, though he’ll need a set specially engineered for good reception in problem areas if he wants Central City.”
"Right in the bull's eye, Red. Your last call is on that grandma of yours. She says her picture is so light she can't see anything, and no wonder. She has the contrast turned all the way down, and the other controls are off, too."
Red faked a yawn. "I tell her that her set is working well but that it's a complex instrument which gives maximum performance when properly adjusted."
"That's my boy," cheered Bob. "It looks like you'll have to install these sets yourself."
"And what will you be doing, chief?" asked Red.
"Me? I've gotta go dig some bait."
**In Brief . . .**
Each customer is an individual and as such deserves individual understanding.
The lifeblood of the service business consists of the customer and his problems. Each situation involves a different set of elements and represents a challenging opportunity because of the human element.
Oftentimes only a simple, friendly remark is needed to relieve the tension of a bad situation, but the nature of the right remark must be based on one's ability to understand human nature.
The service technician is expected to be friendly, but some of the customers can be too friendly. Don't mix business with pleasure.
**Facing The Problems . . .**
1. Here are some not-so-unusual home service call situations. What should be done?
(a) Met at the door by a scantily clad female, obviously alone. Next step?
(b) Invited to join a hilarious party. Your reaction?
(c) Blundered into the midst of a loud "discussion" about the family finances. Which way to turn?
2. How should a grouch—the guy who's got a mad on all the time—be handled?
3. What do you do with the guy who knows all the answers?
4. How do you get around the customer who can't make up his mind?
Red Towers hadn't been with Crosstown Electronic Service long before he realized that people—the right kind of people—are the most important asset of any service business. He appreciated the ease with which Bob and Pop Tronic took care of customers. The skill with which Marybeth dealt with the customers was not so obvious.
One reason Red was slow to recognize Marybeth's business talents, of course, was that she spent most of her time in the front of the shop while he was either back at the bench or out on service calls. She was able to satisfy many customer needs herself. For example, there were many sales of replacement batteries for portables, which Marybeth handled quickly and capably. She was also quick to interpret customers' descriptions of malfunctions, questioning them further about significant symptoms so that Bob and Red could get on with a diagnosis.
Important as these skills were, however, Marybeth's greatest talent lay in effective customer relations. In a very real sense, she was the Crosstown Electronic Service. Her smile and her friendly, warm personality were usually the first contact new customers had with the firm; in fact, people who dropped by the shop seldom even saw Bob or Red. Marybeth gave them such a good impression that they came back when they needed help again.
This particular afternoon Red was restocking and tidying up the shelves behind the counter just as Marybeth was putting down the phone.
"Who paid for that call?" quipped Red. "You've been talking long enough to bake a cake."
"That," said Marybeth wearily, "was Mrs. Collins. She's about 110, watches TV all day, and is so deaf I have to repeat everything three times. Sometimes I wish I were deaf, too."
"What's that you say?" Red teased.
"I said sometimes I . . . now wait a minute. There's nothing wrong with your ears that a little soap wouldn't fix. Besides, I'm serious. I've heard enough about Mrs. Collins' Siamese cat to last me the rest of my life."
"Why didn't you cut her off, then? You were talking like her cat was the apple of your eye."
Marybeth made a gesture of despair. "The point is, Red, that the cat is the apple of her eye, and until she's through telling me all the cute things it's done, I can't find out what she wants us for. If I interrupted her, she'd be so offended she'd hang up."
Red grinned slyly. "If you need any help answering the phone, just let me know."
"The way I answer that phone," Marybeth grinned back, "is more important than the way you change a tube. If a customer gets aggravated at me, you'll never even have a chance to change the tube. What's more, a mad customer doesn't ring twice. He calls someone else, and we start hurting."
"That's true," Red admitted, "but does it mean you've got to chin away the afternoon with every animal-lover in town?"
"Of course not. Just stop and think a minute." Marybeth sat back and sighed. "The phone rings. What do I do first?"
"You pick it up and say 'Hello,' natch."
"No, first I stop whatever I'm doing so I can give my full attention to the person calling. Then I pick up the phone and say, 'Crosstown Electronic Service, may I help you?' That way the caller knows he's reached the right number. And I keep my tone of voice pleasant and friendly so he knows I really do want to help."
"So far, so good," said Red getting interested. "What next?"
"Next I find out the customer's name and write it down on a note pad at once so I can remember it and call him by name while we're talking. People appreciate that; it's another sign of our interest in them. If the person gives me the address I write it down, too. In any case, I check this file of service calls here on my desk to see if we've done anything for him before. More than half the time we have, and with the service card in front of me, I can refer to the make and model of his set and mention the date we last worked on it. This shows that we cared enough about him to make—and keep—a record of what we did for him before. It confirms his good judgment in calling us again instead of trying someone else."
Red came over and sat down. "Go on, I'm fascinated."
"If it's a new customer, I start making out a new card with name, address, telephone number, the number of the apartment if it's not a private house, the make and model of the set—if the customer knows—its age, and the symptoms. I'm careful, though, not to cross-examine
the person. I let him tell me in his own way. When he’s finished, I ask about anything he may have forgotten. Then I tell him I’m sure we can fix his set good as new and arrange a time for a home call.”
“And, as the sun sets,” Red kidded, “you hang up.”
“Not before I’ve thanked him for calling us and told him once more that we’ll soon have his set working again. Also, I let him hang up first.”
Just then the phone rang again. Marybeth started to reach for it, then paused and looked inquiringly at Red.
“Not me, ma’am,” said Red, dodging back behind the counter. “I don’t want to lose my amateur standing.”
**In Brief . . .**
Watch the way you bark when you use the telephone.
The person receiving a telephone call should be prepared to make written notes.
When you talk over the telephone, your voice, and your voice alone, is you.
A frown with your voice can lose a customer. A smile or a laugh with your voice can keep a customer.
When answering the telephone, first tell the caller who you are. Allow the caller to hang up first.
The telephone is usually the customer’s first contact with your service. Therefore, it is most important to make a good impression.
**Facing The Problems . . .**
1. How can each telephone conversation with a customer reflect a friendly attitude?
2. The remembrance of five simple rules will ensure a pleasant telephone voice impression. Can you name three of the five now?
3. Can you outline a plan to improve your “unseen salesman,” your telephone voice?
4. Name five important values of a card file of your customers’ service histories, available close to your telephone.
5. Do you know the ABC of customer handling?
Bob was whistling as he walked into the shop and hung up his jacket.
"Home again so soon?" said Red. "What's up, doc?"
Bob pretended to pull off a pair of surgical gloves. "I've just returned from a very difficult operation."
"It must be rough," Red quipped. "That makes three cases of splinters in one week. Patient survive?"
"The patient not only survived," said Bob in mock dignity, "but when I left, the owner and her young ones were happily sitting in front of a set that was so sick when I arrived it couldn't even talk."
"You've lost me, Bob," complained Red. "Just who or what were you carving up?"
Bob tried to look serious. "Now, Red, you know as well as I do that a good doctor, like a good serviceman, never gossips about his patients."
"Aw, come on, Bob," said Red hungrily, "give me a clue."
"You won't breathe a word?"
"Not a peep."
Pulling up a stool, Bob sat down. "Okay then. Let's call it the Case of Mrs. T. V. Busted. Lives on West Main—you know the area—nice, but nothing fancy either. She and her husband made a down payment on a big console job six months ago, and they have to scrimp a little to meet the installments. That part's fine because they'd rather have a deluxe TV than eat steak every night. Still, they've got a big investment in the set, and when it went dead during the late show last night it was just like a tree fell on the house. This morning Mrs. B. calls in about five minutes after we open. By 9:15 I'm on her doorstep."
"Couldn't have been anything serious," commented Red, glancing at his watch. "It's only 10:15 now."
"It wasn't. Just a two-fifty tube. But as far as Mrs. B. was concerned, the end of the world was just around the corner. Here they'd sunk every spare cent they had into a real fine set and suddenly it went sour on them. Mrs. B. was so worried when she let me in I was afraid she'd burst out crying."
"So you reached for your scalpel, cut out the infected tube, and before you could say 'Now that didn't hurt a bit,' she was all smiles."
Bob shook his head. "I didn't even touch her set for 15 minutes. It took me a good ten just to get her calmed down enough to tell me how it was behaving."
"I get you," Red winked. "She was good looking."
"It's no joke when something you don't understand goes wrong."
Bob went on. "Put yourself in her place. Something expensive and important in her life has stopped working, and she was afraid it would cost her a fortune to fix—if it could be fixed. Like having your car conk out on a cross-country trip. Mrs. B. needed first aid, quick."
"What, for instance?"
"Sympathy, for instance. Plenty of it. Remember, a person doesn't usually call us unless she has a problem. Sympathy eases that problem. The more the person shows concern about the trouble—the more sympathy she needs."
Red looked puzzled. "So you gave her a pat on the shoulder and said everything was going to be okay. That doesn't take ten minutes."
"You're still off the beam, Red," Bob said. "It doesn't do any good to act sad, you've got to show you really care. That means letting Mrs. B. unload her problem on you. Let her tell you the whole story, talk it out. Hear it through and don't fidget. Show by the expression on your face and the tone of your voice that you're genuinely sorry it happened. When you get a chance, reassure her."
"Reassure her?"
"Yes, make it plain you're going to get rid of that worry for her. You can say, for example, she has a mighty nice set and the manufacturer has a reputation for turning out a fine product. You can say that what she's told you about the trouble sounds like a repair that won't take long or cost much to fix. This helps relieve her fear about having made a bad investment and also lets her relax as far as your bill is concerned."
"I get you, Bob," chimed in Red. "And besides sympathy and reassurance, you're also building up Mrs. B.'s confidence in you as the right guy to touch her little jewel."
"Exactly. If you think you've got appendicitis, you don't want just anyone slicing you up. We surgeons have known that for years. Pull out your screwdriver before you've paved the way and you'll give Mrs. B. a fit. If she doesn't shudder when you disconnect the power cord, she'll probably pass out when you start yanking the tubes. But if you build her up right first, she won't so much as bat an eye even if you have to take the chassis out. It's less what you do than how you do it."
A smile flickered across Red’s face. He walked back to the workbench and pointed to an ailing tuner assembly. “Gee, doc, I got a terrible problem, and it hurts right here.”
In Brief . . .
Bad news selling requires some good news sweetening.
Genuine sympathy eases the hurt of a problem. Don’t just pretend to be sorry, be sorry.
Calm a worried set owner before, not during, work on an ailing set.
Most service calls are the result of a customer’s problem with a product. Go prepared mentally and physically.
Sympathy in the service business is concerned with one’s responsibilities to his customers.
Act as though what you want most in life is to service the customer’s set.
Facing The Problems . . .
1. There is only one way to sell sympathy. Do you know what to do?
2. The serviceman soothes a worried customer by showing his confidence rather than his cockiness. How can you do this?
3. Since confidence cannot be inspired without having self-confidence, how does a person gain self-confidence?
4. Sympathy is associated with graciousness. Name at least two other qualities that are associated with and support a sympathetic attitude.
5. Ever find it difficult to keep a business conversation going with a worried customer? Then you should be able to state the three ground rules for such a conversation.
A week or so after the Mrs. Busted episode, Red was relaxing with a cigarette at his favorite end of the workbench after a long hassle with a color job. He'd had no trouble with a similar model of the same brand a few days before and so didn't bother to check the schematic. Only after wasting an hour trying to puzzle out something odd about the amplifier section did it cross his mind that the circuit might have been modified. A glance at the reference literature confirmed his oversight. The manufacturer had found a way to improve performance and, sure enough, there was a big letter "B" in front of the serial number on the chassis to flag his attention that the "A" series had been changed.
When Red heard Bob's footsteps coming through the front of the shop, his gloom lifted sufficiently to notice Bob was smoking a cigar.
"How come the Corona Corona, chief? Don't tell me you've been winning at poker."
"No such luck," admitted Bob with a cheerful grin. "I took it off a guy who was about to brain me with a beer bottle."
"Rough stuff at this hour of the morning? You mean they have TV in that kind of a bar?"
"There you are, Red, jumping to conclusions again. Some of our best customers are barkeeps. With the wear and tear their sets get, they really appreciate good service. No, I was over at Bulldog Growler's."
"So now you're a veterinarian," quipped Red. "One of these days someone's going to ask to see your medical degree, Bob, and the next thing you know you'll be run out of town on a lumpy stretcher."
Bob grinned. "Bulldog Growler is a man, about the orneriest one east of the Rockies. Not a bad sort when you learn to know him, but once he gets an idea fixed in his head, it takes an H-bomb to shake it loose."
"What did he have against you?"
Bob flicked the ash off the end of his cigar. "It wasn't me he was mad at. He bought a bargain-priced set from a discount house up in Central City a few months ago and took it out to his farm on the other side of Jackson County. His set was designed for local reception, so naturally its performance didn't set any records out there. This griped him so much he threw it in a pickup truck and jolted it all the way back..."
to his house in town. He must have shaken something loose on the trip, because it didn't do much better here. When the audio went dead last night he all but put a bullet through the picture tube."
Red nodded attentively. "What did he want you to do, dig a grave?"
"Almost. He wanted me to tell him what was wrong with his blankety-blank set so he could write the manufacturer and demand his money back. He figured he'd been swindled and was even raving about getting a lawyer. I did what I could to calm him down, checked the set out, and found that I could easily fix it within half an hour."
"How did Bulldog react to the good news?"
Bob shuddered. "It set him off on another rage, only this time I was at fault. First he figured I was an idiot because he knew the set was a lemon and wouldn't work. Then he figured I'd find more things wrong if he let me start work—I was out to cheat him by inches. Finally he made up his mind I was trying to cover up for the factory."
"If a guy talked to me like that," said Red, "I'd tell him off and duck out."
"You'd be making a mistake. Bulldog's as tough as he is stubborn. Sass him and you'd be carried out. Apart from that, if you argue with a customer, you get his back up to the point you can't possibly reason with him. To top it off, you've wasted your time on a service call you can't hope to collect on."
Red scratched his head. "So how'd you handle it?"
"The basic problem was Bulldog's conviction he'd been swindled. He was pretty unhappy thinking someone had pulled the wool over his eyes. I told him I'd seen quite a few sets just like his and that all of them were giving satisfactory service. I said the manufacturer carefully inspected each receiver before it left his plant. Then I pointed out that this particular model was intended for strong signal areas and was not designed for peak performance at locations more than 20 miles from a transmitter. Under proper conditions, however, his set could be expected to do almost as well as more expensive models. All this made him feel a lot better.
"The next step was to describe the failure and tell him the set could be repaired and adjusted on the spot in about half an hour, after which it would be as good as new. I suggested that if he'd authorize me to go ahead, he could be looking at his favorite program this evening. Well, he sputtered for a while longer before telling me to see what I
could do. By the time I had everything shipshape, he’d run out of steam. When I reconnected the set and turned it on, he grinned from ear to ear. ‘Bob,’ he said, ‘that’s real nice. I’m sorry I got a little riled. Tell you what, have a cigar.’ So here I am, enjoying a good Havana.”
Red chuckled admiringly. “Bob, you’re a whiz. I think I’ll run out and buy up a few myself.”
Bob looked surprised. “Didn’t know you smoked ‘em.”
“I don’t,” Red confessed. “They’re for you—the next time I blow my stack.”
**In Brief . . .**
A difficult-to-please customer can be a real challenge to customer relations skills.
Lost confidence can be restored, but it isn’t easily accomplished.
Be patient and listen to the customer’s point of view, avoiding a contradiction—even if he is wrong.
Recognize and emphasize the *positive* features of customer’s equipment. Try to ignore the negative—even if he insists.
Evaluate each problem carefully. Then recommend a solution that offers the most benefit to the customer.
Your customer is seeking confirmation of his good judgement in selecting his receiver, is wondering whether his judgment is good, and wants to know that it was good. Seek every possible means of honestly praising your customer’s choice of equipment.
Your customer also exercised judgment in selecting you as his serviceman, and he wants to know that his choice was good. Selling yourself and your ability confirms his judgment.
**Facing The Problems . . .**
1. What must you do as a service dealer to inspire confidence in your technical ability?
2. If a customer is convinced that he has been cheated as a result of his equipment purchase, where do you begin in an attempt to change his opinion to one that’s more favorable?
3. What steps would be taken to rebuild a customer’s lost confidence in his equipment?
4. Why is it so important to restore the customer’s confidence in his equipment?
This particular Tuesday, Bob and Red had been working on a tricky alignment job ever since opening up Crosstown Electronic Service an hour earlier. It was about time for the morning coffee break, and they were glad to hear Marybeth come in.
"Hi, sweetheart," he called out. "Make mine extra black; we're up against a tough one."
Marybeth walked back to the bench and looked blankly at Bob. "What are you doing here?"
"Giving Red a hand. Why?"
"You were supposed to be out at the Browns' at 9:30. I marked the appointment on your work schedule. She has to leave at 10:30 to be gone all day, and she's busy tomorrow, too, so I promised you'd be there first thing. Didn't you check the sheet this morning?"
Bob hung his head. "Gosh, I meant to, and then I got started on this job. It just slipped my mind. I know the Saunders are expecting me at 10:45. Maybe I could run out right now?"
"It's 10:15 already," said Marybeth with a glance at her watch. "You'd need almost 15 minutes to get over there. I'll call Mrs. Brown and see if she can wait."
Marybeth looked up Mrs. Brown's number in the service card file and rang up at once.
"Hello, Mrs. Brown. This is Marybeth Tronic at Crosstown Electronic Service. You called yesterday afternoon about your TV set, and I promised Bob would be out this morning at 9:30 sharp to fix it for you. I'm terribly sorry, but there was a mixup on our part. Bob didn't see the note I left for him, and it was only this minute we discovered the mistake. It's our fault, and there's no excuse for being so careless. Bob is right here now and can be out at your house in less than 15 minutes, if it wouldn't inconvenience you too much more."
Mrs. Brown said no, she had to be in town for another appointment, and she'd be out Wednesday as well.
Marybeth checked the worksheet. "Mrs. Brown, Bob should be through with his last call this afternoon about four. Would it be possible for him to call on you when you get back from town? Or would a later time be better?"
Mrs. Brown thought it over. She decided 4:30 would be best.
"Fine, Mrs. Brown. Bob will be there, and I'm sure he'll have your set as good as new by the time you're ready to start dinner. He's so sorry he slipped up this once. We want to give you the best service we can, and we take pride in being prompt. It was our mistake, but we do assure you that we won't let it happen again. We have a new stereo tape I think you would like. Bob will bring it this afternoon. Please keep it for a week so your family can enjoy it."
Mrs. Brown said that was a very nice thought and thanked Marybeth for letting her know about the mixup.
"Thank you, Mrs. Brown. We appreciate your giving us a chance to make good. We hope you'll always think of us when we can be of service. Bob will see you at 4:30, then. Goodbye."
Marybeth waited for Mrs. Brown to hang up, then put down the receiver, and turned to Bob. "She was very nice about it, and I don't think it'll make any difference as long as we don't let her down again. Thank heavens she hadn't already left when I called."
"Sorry to put you through that, honey," said Bob regretfully. "At least it doesn't happen very often."
"So you slipped up," Red chimed in. "Why make a federal case out of it? Mrs. Brown was probably going to do the ironing tonight anyhow."
"What if she was?" retorted Bob. "When people call in, they expect you to make a definite appointment and to keep it. If a woman has to be out a lot during the day, it's annoying to make a point of staying home and then have a no-show. Especially if no one takes the trouble to let her know there's been a delay. Even when she's been a customer for years, she won't take that kind of treatment very long before trying some other outfit."
"Well," asked Red, "suppose I don't forget an appointment but simply get hung up on an earlier job?"
"That's a tough one," Bob admitted. "If it looks as though you're just going to be, say, half an hour late, call in advance, explain you've been held up, and ask if it's still convenient for you to come. Nine times out of ten, it doesn't make any difference, but the customer appreciates your desire to be prompt.
However, if you get so far behind it looks as though you'll be late for, say, three appointments in a row, it's best to reschedule your next call—in advance, of course—and get to the remaining ones on time."
That way you disturb only one customer instead of three. Best of all is to be on time."
"Let's see," said Red checking the clock over the bench, "you're supposed to be at the Saunders' at 10:45?"
Bob started, grabbed his truck keys, and raced out the door.
Red watched him go, then called to Marybeth. "Better make mine extra black instead."
**In Brief . . .**
Promptness is a virtue—a very important virtue. Attention to it is an evidence of reliability and dependability.
Appointments are made to be kept. An appointment with a customer or a prospect is an obligation of honor.
A service business has availability to sell. If a customer is never forgotten, the odds are ten to one the customer will not forget you.
Customers deserve notice of any unavoidable delay. Notification of a change in plans will ease the inconvenience.
The quick admission of responsibility for failure to keep an appointment minimizes the damage to customer confidence.
Promises are to be made—and kept. Unkept promises destroy good will more quickly than poor service.
**Facing The Problems . . .**
1. The morning home call schedule requires three stops: at 9:30, at 10:15, and at 11:00. What action would you suggest for the following situations:
(a) It's exactly 10:15 when you start the truck toward House #2 which is two miles away. Expect heavy traffic all the way.
(b) At 11:10 the work at House #2 is incomplete. Will take at least 20 more minutes. House #3 is seven blocks away.
2. An irate customer is on the phone with a complaint that a service call was due an hour ago. What do you suggest if:
(a) No record can be found in the shop of the promise to call.
(b) Call was overlooked because of failure to check work schedule.
3. What do you suggest in the event of a delay such as this: Arrived on schedule at 1142 No. Shadeland Avenue, as work order directed, but a phone check showed the correct address was 1142 So. Shadeland Avenue.
It was quiet in the Crosstown Electronic Service building when Marybeth came in after getting Johnny and Linda off to school. Bob was just putting the knobs back on Mrs. Martin's portable he'd been working on since 7:30 a.m. Red and Pop were busy taking inventory.
"Hi, Beautiful," Bob called out, "did you remember the doughnuts?"
"Better than that, Bluebeard, I also picked up some rolls at Jimmy's. But you don't get a bite until you shave." Marybeth wrinkled her nose disapprovingly as she headed off to fill the coffeepot.
"There's a woman for you," muttered Red. "A fella gets up early to finish a job for a lady going on vacation, and right away his wife jumps on him because his whiskers are showing."
"Marybeth's right," Pop rejoined. "You ever meet Joe MacStubble?"
"The guy who works at Modern Electric on South Main?"
"None other," said Pop, pulling up a chair, "except that if you'd take the trouble to follow the fortunes of your neighbors, you'd know that he was fired again last week."
Red looked sympathetic. "No kidding? Must be the fifth or sixth time Joe has caught the axe. What's he gonna do with himself?"
Pop lit his pipe with slow, deliberate puffs. "His brother owns a pig farm in the corn belt. I hear Joe's going to give him a hand. Maybe the pigs won't like that, though."
Red was really shocked. "Gosh, when it comes to electronics, Joe's no fool."
Marybeth brought in the cups, spoons, sugar, and cream.
"Never said he was," Pop went on calmly. "You remember his nickname?"
"Sloppy Joe?" suggested Red.
"Check! Joe went around looking like a walrus with a hangover. You'd think one of those professional wrestler fellows was on the loose. No wonder he got fired."
Marybeth returned with a pot of steaming coffee.
"It doesn't seem right," Red reflected, "that a good technician should stand or fall on whether he's got B.O."
"Joe MacStubble," said Marybeth with obvious disgust, "practically invented B.O. He didn't believe in shaving every day, he didn't believe in changing clothes more than once a week, and he went around with a half-eaten cigar stub in his mouth that smelled even worse than he did."
"Remember," Pop went on, "Mrs. Average Customer doesn't know an oscillator from an elephant. More than likely, she's going to form her opinion of you from the way you look and your attitude. There's more to it than a shave, a shower, and a clean shirt."
"I know," interrupted Red. "I always comb my hair after every meal and see my barber twice a year."
Pop frowned and took a sip of coffee. "Sure, MacStubble was an extreme case, but you wouldn't be so flip if you had a good wife to set you straight. For instance, how many service shops in this town keep their trucks clean? When you pull up in front of a customer's house in a sparkling truck, you've got the battle half won."
"Hardly seems necessary to worry about scrubbing behind the ears with all this rain," suggested Red mischievously.
"Then you put out your cigarette," Pop went on, "pick up your cap and your tool kit, and march purposely up the walk. (Our friend MacStubble, of course, liked to take short cuts across flower beds and newly seeded lawns.) You give the bell a tap, and when the lady comes to the door, you take off your cap, greet her cheerfully by name (it's on the work order), and tell her confidently that you've come from Cross-town Electronic Service to make her TV set as good as new. Now if you can only remember to keep that big mouth of yours shut, Red, you might even get out the door again without her ever realizing what an idiot you are."
As Red tried to duck the wadded paper napkin Pop tossed at him, Bob appeared (clean shaven) with Mrs. Martin's portable under his arm.
"Coffee's ready, Handsome," smiled Marybeth.
"Keep it hot, Sweetie," said Bob putting on his jacket. "I promised this for nine o'clock, and I've got exactly twelve minutes to run it over to Omaha and Grand."
"That," said Pop approvingly as Bob went out the door, "is what I call Service."
In Brief . . .
An impression of neatness is easy to make. Personal appearance and the appearance of the truck and the equipment are customer measuring sticks for neatness and efficiency.
Each customer expects to be treated as if he is a voter and you are a candidate for mayor. Don’t lose a vote.
Use the walks and the drives; short cuts across the lawn or through the shrubs might arouse tempers.
It’s always polite to remove your cap when entering another’s home. No cash is spent for politeness, but dollars may be earned as a result.
Personal appearance can give impressions for or against. Try for the plus.
Look successful!
Speech habits are important, too. Careless grammar and slang may give an impression of carelessness in everything you do. Watch your language.
Facing The Problems . . .
1. Why do you believe in the importance of presenting a neat personal appearance?
2. What does a neat, clean service truck have to do with customer relations?
3. Neatness and efficiency give good impressions to customers and prospects. Observe the three A’s of impression-making. The first A stands for Appearance. What are the other impression-making A’s?
4. You’re ready for the day’s work when the morning chores are complete. Start by putting on a SMILE. Name the four other morning chore S’s.
5. How do you make your speaking voice work for improved customer relations?
6. Many people have annoying mannerisms which detract from their conversation and speech. What speech mannerisms of others annoy you?
It had been just six months since Red Towers, Air Force separation papers clutched firmly in hand, started to work for Bob Tronic at Crosstown Electronic Service.
Thanks to the military technical schools, Red knew a good bit about electronic equipment. And thanks to the practical experience of servicing aircraft radar systems in Alaska and North Africa, Red had learned early in his career that there's more to being a good technician than knowing how to read the schematics in the service literature.
During the past six months, Red had spent most of his time in the shop, gradually trying his hand on more complex jobs while Bob concentrated on the four sets out of five that could be serviced in the customers' homes. The time had come, however, to round out Red's skills, and the way business was mushrooming, it obviously wouldn't be long before Red would be needed to operate another service truck to keep up with the service calls.
On this particular morning, Bob had taken Red along to help install a new set under a contract Bob had with the Midland Appliance Mart. Some unforeseen delay in obtaining a particular new antenna mast had left them too short on time to run Red back downtown, so Bob figured Red might as well cut his teeth on a home service call Marybeth had relayed. Red had kept his eyes open and his mouth reasonably well closed, just as he'd been told. Still, there were one or two points Bob wanted to drive home.
"Red," said Bob as Marybeth started the coffee, "you know I have a real respect for your technical skill. In fact, there are darn few TV ailments that you can't cure now without help from me or anyone else. However, you still have a thing or two to learn about customer relations, and I hope you'll listen seriously to what I have to say."
"Okay," admitted Red remorsefully, "so I stomped on the Grahams' petunias while we were getting that antenna positioned."
"Well, that was plain carelessness," sympathized Bob. "Besides, we were able to straighten everything out by replacing the damaged plants. I'm talking about our second call, at Mrs. Rogers'."
"Kindly Dr. Tronic," confided Marybeth as she passed out cups, "is referring to Setside Manners."
"Marybeth has a point," agreed Bob. "Many's the time when a doctor can't cure a disease until he's gained the patient's confidence. The same principle holds true in the service business."
"You mean I'm supposed to pat the safety glass sweetly and say everything's going to be okay?" cracked Red.
Bob sighed wearily. "For example, when Mrs. Rogers invited us in, you saw how unhappy she was. Their television set is less than a year old, and it was a real disappointment to her when it blacked out again last night. It wasn't the first time that had happened, and she was worried and thought that she'd bought a lemon, although we know that chassis is very good. You were in such a rush to get the tools out that I was thinking about sending you out to the truck to cool off."
"Why stand around and gab when it was nothing but a short and a blown fuse?" pleaded Red.
"That's not the point," Bob went on. "How could Mrs. Rogers know what was wrong? Remember to listen attentively and sympathetically. There's a fair chance you may get a clue as to the trouble. But even if you don't, you at least give the customer a chance to unload some worries. Apart from showing that you really are sorry for the disappointment, you probably have the added advantage that no one will watch over your shoulder and bother you with questions while you're trying to troubleshoot."
"Hadn't thought of that," admitted Red.
"It doesn't make sense to pull out the pills until the patient is calm enough to swallow them. Another thing: those five extra minutes spent listening to Mrs. Rogers did something for us, too. When she finished telling us the symptoms, you remember I smiled, thanked her for her patience, told her she had a fine set, and said I was sure we'd soon have it just as good as new?"
Red nodded thoughtfully.
"Well, that built up her confidence in us. She could see we were thoughtful, courteous, and businesslike, and so she didn't worry whether we might bungle the job and make things worse. Head-scratching could have been interpreted as bewilderment. You may recall that she was genuinely relieved and pleased when we had her set working again in less than 15 minutes. In fact, she paid the bill cheerfully and said how nice it was to be able to get such quick and expert service."
"Doc," smiled Red, "you win. I promise I'll never operate without
taking pulse, temperature, and respiration. Now if you’ll excuse me, I’ve got to go fix a hi-fi amplifier with a bad case of whooping cough.”
**In Brief . . .**
It is best to demonstrate sincere interest and courtesy to the customer *before* demonstrating technical skill.
Customers look upon servicemen as sympathetic experts who will listen to the opinions of amateurs. A valuable, time-saving clue to the difficulty may be included in the expression of opinion.
Setside manners should generate confidence in the service dealer’s ability. Successful service dealers avoid mannerisms that might cast doubts on their ability, especially a puzzled expression or action.
The analysis of a problem includes consideration of the remarks a customer can offer about set performance.
Opinions need not be ventured until all the facts are known.
**Facing The Problems . . .**
1. What are the four basic elements of good setside manners?
2. How should the bad news of a service problem be relayed to the customer?
3. A card file describing the equipment and previous service work on it helps customer relations in the home in many ways. Can you name three advantages to you?
Bob never was much of a football fan, perhaps because he’d always been too busy taking things apart to spend an entire afternoon watching 22 strong men rip up the sod and dislocate each other’s shoulders. But since he opened the Crosstown Electronic Service, his lack of interest in the gridiron had turned into actual dislike. For the first half of the season, he could count on spending every Saturday afternoon emergency-patching TV sets that weren’t ready for the big game.
Now that Red was showing some promise in applying customer psychology, Bob figured it was necessary for Red to give him a hand with the week-end rush.
Happily there was a lull Friday morning, so Bob gestured Red into the front office and waved him to a chair.
“Good news for the troops, Red. I need you to help me with the house calls.”
Red thought it over. “My sergeant always used to say, ‘Every rose has its thorn.’ What’s the catch?”
“Don’t be so suspicious, Red,” grinned Bob. “For the next few Saturdays, I’m going to pay you to drive your coupe around the countryside admiring the autumn leaves between stops to fix ailing TV’s.”
“Do I gotta, boss?” complained Red. “Suzie isn’t going to like sitting home on Saturdays.”
“Tell her to get a job babysitting,” suggested Bob. “You can use your extra pay to start buying furniture on the layaway plan.”
Red blushed. “Aw, come on, give it to me straight.”
“Fact of the matter is,” Bob went on, “the football season is here, we’re swamped, and you should get some valuable experience answering calls all by your lonesome. I’ll take care of our steady customers, ‘cause I know their sets and they know me. You’ll take the new calls I can’t handle myself.”
“So now you’re going to give me a pep talk?”
Bob nodded. “That’s right. You’ve shown a lot of talent in learning to handle people, and I’m even hoping that between Suzie and me we’ll have a finished product one of these days. Those four years in the barracks, however, didn’t do you any good.”
"What do you mean? I had the neatest bunk in the whole squadron," Red complained.
"Sure you did, and you probably waxed the floor, too. The point is that you can't know how people feel about their homes until you've got one of your own. Now let's assume you arrive at the Johnsons' in a thunderstorm. What do you do first?"
"I go to the door, wipe my feet, and take care I don't drip a lot of water around the place," said Red proudly.
"Good man," approved Bob. "Now we'll assume you've listened to Mr. Johnson tell you all the symptoms, built up his confidence in you and his set, and at last you're left alone with the beast, which happens to be supporting about two dozen china cats. What next?"
"Well, I drop my tool kit, sweep off the junk, and get to work."
"That's what I was afraid of," moaned Bob. "Don't ever drop your tool kit anywhere, except maybe on your own foot, if it'll help you to remember to spread a dropcloth first. And don't think of china cats as junk: the Johnsons are crazy about them. Look around for a safe place to put them (up high if there're children in the family), and carefully move them out of harm's way. If you have to shift a floor lamp or other furniture, ask permission first and handle it like your own money paid for it. Be sure you don't scratch the floor or leave fingerprints on the wall."
"My motto," said Red gravely, "is don't chip the Chippendale."
"Very clever. 'Don't chip the Chippendale,'" mused Bob.
"I don't scratch cabinets," said Red.
"Don't. We want repeat business," agreed Bob. "Now, suppose you open the set and find quite a bit of dust on the chassis. Be very careful to keep the dust from falling on the rug. Any parts you take out of the set—along with any tools you're using—go on the dropcloth only. If your hands get dirty, take time to clean them. We'll assume all you have to do is replace a couple of tubes. What next?"
"Let's see," mused Red. "I check the set out, tape one of our business cards on the back, put all the cats on top again—carefully, of course—get the floor lamp in place, clean the front face of the safety glass, write up a bill with details of the work done and the parts used, touch up the controls to obtain the best possible picture, tell old man Johnson what the trouble was, briefly and simply, and that his set's better than ever, collect, and get out. Anything else?"
"Not bad, Red," said Bob approvingly. "But you forgot to wipe your fingerprints off the set before moving the cats, and you didn't mention checking to see if you'd picked up the boxes the new tubes were packed in. It'd be a good idea, too, to remind Mr. Johnson that we fix all kinds of home entertainment gear, including radios, record players, and hi-fi sets. Be sure to thank him for calling us and tell him it was a pleasure serving him. Got it straight?"
Red thought it over. Finally his face broke into a broad grin. "With a teacher like you, Bob, how can I go wrong?"
**In Brief . . .**
Building a service business depends on the service dealer's successful efforts to make his customers want to continue doing business with him.
Remember, your customer's personal property is as precious to him as yours is to you. Treat it with care.
Floors and floor coverings should be given special attention, particularly in foul weather.
After accomplishing a repair, emphasize the benefits the customer can now enjoy, and help rebuild his confidence in his initial judgment. This tends to soften the inevitable jolt of the repair bill.
**Facing The Problems . . .**
1. Suppose that, in spite of all possible precautions, you accidentally topple last year's Christmas gift from Aunt Martha off the top of the set. If it is broken, what should you do?
2. Have you ever forgotten to bring a dropcloth to protect the rug? What can be done, short of a trip back to the shop?
3. Special precautions should be taken to protect property in the customer's home. What suggestions can you offer in the following instances?
(a) Special built-in equipment is encountered and must be disassembled.
(b) Obviously expensive carpeting is on the floor in front of the equipment.
(c) Equipment is in an area which proves difficult to work in.
4. Some "soft sell" suggestions can be made before leaving a home after a service call. What suggestions are appropriate?
There was something about the way Mike Johnson walked through the Crosstown Electronic Service doorway that told Red to watch his step. He was carrying a well-worn portable TV, which he pushed carelessly onto the counter. Marybeth had run out to the bank, and Bob was back at the bench, so Red took over.
"Good afternoon, sir. Can I help you?"
Johnson ignored Red's friendly greeting. "This here set is a lemon. I've had it in two other shops in town, and each time they've fixed it, it's busted down again a few weeks later. Now it won't work at all. I want to know if you guys can do anything."
Red tried hard to recall all the coaching he'd received. "I'm sorry you've had so much trouble, sir. I know that make well, and it's built to give good service. The maker won't send a set out until he's satisfied it will perform properly. However, we'll be glad to check it over for you right now and see what's wrong. I'm sure we can make it good as new so you'll get a lot more enjoyment out of it. What seems to be the matter?"
Mike gave a quick rundown of symptoms, which Red noted on a workslip. Mike also pulled out the receipts from the other two shops and added, "When you open it up, I want you to look at what those clowns did and let me know your opinion. I think they played me for a sucker."
Red excused himself after waving Mr. J. to a chair and took the portable back to the bench.
"What's up?" asked Bob.
"A Mr. Johnson's out front," Red replied, "and he wants to know whether the fellas who serviced this set before gave him the bum's rush. Sounds to me like tube trouble and maybe a bad resistor that's burning them out."
Red's guess proved accurate. About $4 worth of parts would do the trick. He also noticed some sloppy soldering that had apparently been done at the second service shop. "Look at that, Bob. The character who did this burned off enough insulation with his iron to cause a short when those two wires came in contact. I'll run out and get Johnson's okay to fix her up. He'll be interested to know he was at least half right about those other outfits."
"Just a minute," cautioned Bob. "We can't be sure that the short was anyone's fault. Even if it was, it'd be a mistake to knock another guy's work. Come along and let me do the talking."
Bob walked over to where Mike was sitting. "Mr. Johnson, I'm Bob Tronic. Red and I have checked your set, and I'm happy to say nothing serious is wrong. A resistor failed and caused two tubes to burn out. It will cost less than ten dollars to put everything back in order. The parts we put in carry a 90-day guarantee. May we go ahead and finish it up while you wait? It'll take us less than 15 minutes."
Mike thought it over for a moment. "Sure, go ahead. Those other boys really loused me up, huh?"
"No, sir," said Bob in his most diplomatic tone, "I wouldn't say that. A TV is pretty complex, and when there's trouble, the cause can be one of any number of things. Both the servicemen you went to do good work, and it wouldn't be fair of me to pass judgment on them without having seen your set when it was acting up. A television set is similar in complexity to the human body, and it is impossible to diagnose a problem faced by another person unless the conditions are exactly the same—and they never are. That's why physicians don't comment on the work of other physicians—conditions vary. Anyhow, I'm sure you'll get a lot more use out of it when we're finished."
Johnson nodded his head without further comment and was out of the shop 15 minutes later as promised.
Bob watched him leave, then turned to Red. "When a customer asks your opinion about something, it pays to be extra cautious. Johnson had some bad luck with his set, and it's not surprising he started getting suspicious of the men who worked on it even though he had no cause to blame them. If we'd taken advantage of his fears to get in a dig at our competition, he'd have wondered if we were any better."
"I get you," agreed Red. "He would have told people we were all a bunch of thieves."
"Very possible." Bob paused to light a cigarette. "The same principle applies to questions about different brands. Some people will try to talk you into telling them which manufacturer is best. Don't let them. If you recommend brand X, the customer buys it and isn't satisfied, or if somebody else is hot for brand Y, the customer will wind up thinking you're taking push money from the dealer. If he really gets you into a corner, say you're most familiar with brands X, Y, and Z and
like them, but that every well-known manufacturer stands behind his products. Suggest that he shop around for the particular features he wants in the price range he's decided on."
"How do I stand on sex, religion, and politics?"
"Part of the same package, Red. You don't want to involve yourself in controversy with a customer on any subject. And that goes for neighborhood gossip also. It's foolish to start an argument that leaves the customer and you mad. Stick to fixing his set. Keep your opinions about it to yourself, too. If he hears you complain about hard-to-reach components, he'll figure you don't know your business."
"Just one more question," said Red with a wink. "Who do you pick to win the World Series?"
**In Brief . . .**
The wise serviceman plays it down the middle by avoiding discussions of controversial subjects and ignoring juicy neighborhood gossip.
Give the customer renewed faith by an assurance that his equipment will work as it should when you have completed the necessary repairs.
Nothing is gained and nobody wins by knocking the competition.
Always obtain permission before starting repairs. A preliminary diagnosis and cost estimate will be appreciated by the anxious customer.
Complaints and gripes about the repair problem fail to impress a customer—except to suggest to him that you don't know your business. It's best to just work cheerfully and well.
Don't put yourself in the position of making a definite recommendation to a customer. Give him a choice, and let him decide.
**Facing The Problems . . .**
1. Your customer owns a television set that is quite old. He asks you whether to repair it or trade it off. How should you reply?
2. Your customer owns a relatively new television set. He asks you whether it is as good as brand X. How should you reply?
3. While working on a set, with your customer looking over your shoulder, you find it difficult to reach a certain tube. The customer asks, "What's the difficulty?" How should you reply?
4. Most people hesitate to discuss controversial topics with comparative strangers. Name four or five controversial subjects you should avoid in conversation with customers.
The hands on the clock above the bench were pointing to five of five when Bob returned from some afternoon calls.
"Another day, another dollar," commented Red cheerily. "Say, you look beat."
"I am," Bob sighed, sinking onto a stool. "Sometimes I feel like giving up this game and having a go at raising goldfish. It's bad enough to sweat over a cranky set for an hour and a half, but when the guy who owns it calls you a crook to your face, I begin to wonder what's the use."
"There's bound to be a few bad apples in every barrel," sympathized Red. "Who was serving tea?"
"An old man named Snyder, Sam Snyder, who lives all by himself in that plush district in the north end of town. He's said to be worth at least a million, though you'd never know it to look at him. Parting with a dime gives him so much pain he has to take aspirin afterward. I sure feel sorry for a guy like that."
Red nodded his agreement. "What was his gripe against you?"
"Well," said Bob, taking off his shoes and cooling his feet on the floor, "when I started working on the set, he pulled up a chair and watched me like he was afraid I'd sabotage something on purpose. There was about five years' worth of dust on the chassis, which I cleaned off as carefully as I could. This seemed to irritate him. 'Young man' said he accusingly, 'I'm paying you to make a repair, not to house-clean. Get on with your work.'"
"Imagine that," whistled Red. "I wonder what charm school he flunked out of."
"So I explained to him very politely it was necessary to tidy things up so I could make some tests. That satisfied him for a while. Then when I pulled out the schematic for his model to take voltage readings he got incensed again and asked why I didn't do my homework before trying to troubleshoot."
"That's a new one," commented Red. "What'd you say?"
"I simply pointed out that no one could remember all the values for all the circuits on all the sets ever manufactured. I let him look at the schematic so he could see for himself his TV wasn't like a clock. Everything was fine for another 15 minutes or so. Finally I could sense he was beginning to fidget. That was where the payoff came."
Red leaned forward rapty. "He had a tantrum and accused you of stealing the silverplate?"
"Just about. 'Young man,' he said, 'you're taking so long I don't think you know what you're doing. Either that or you're just stalling so you can run up my bill.' It was pretty strong talk."
"Boy, that's the truth," Red agreed. "I would have packed up and walked out."
Bob shook his head. "Not when a guy questions your skill or honesty. It was a temptation to sound off on what I thought of him, but that wouldn't have accomplished anything either."
Red puzzled for a moment. "How did you straighten him out?"
"I said, 'Mr. Snyder, I'm sorry to hear you talk that way, because it means you must have had an unfortunate experience with someone else. I want you to know that our company depends on doing good work at a fair price. We'd be foolish if we didn't look out for our customers' interests. Our business depends on satisfying you in every way; otherwise we'd go broke. We pride ourselves on ability and integrity, and I want you to be convinced that your set is in good hands before going on with this job. I'd be happy to give you the names of several people I've been able to help recently. You can telephone them for a frank opinion of our reputation. If they have any complaint to make about what I've done for them, I'll put your set back together, and there won't be any charge for this service call.'"
"You really put it to him straight, Bob. How'd he take it?"
"Well, he sat there for a while without saying anything. Then he pulled himself together and apologized. He said, 'Young man, I'm not so old I can't admit a mistake. I've been unfair in criticizing your work, and you kept your head. I don't think I'd have been as patient if I were in your shoes. You just take your time and let me know when you're through. I'll be out on the back porch.' With that he walked out of the room. He kept his promise, too. He didn't so much as stick his head in the door until I was finished."
Red stood up, and paced over to the window, and turned around. "I take my hat off to you, Bob. To make a friend out of a crusty old codger like that was some doing. I imagine you felt a lot better about it, too."
"Yes, I did," said Bob, stretching. "Even so, it left a bad taste in my mouth. I'm glad we don't run across his kind every day."
"Well, as the man said, 'It takes all kinds to make a world,'" shrugged Red.
**In Brief . . .**
No battles are won when tempers are lost. Extraordinary self-control is often required when an unfounded accusation is made.
A contradicted customer is a lost customer. Truth and reason are the only weapons for upsetting unfounded accusations.
References may be volunteered or supplied upon demand. Past satisfactions assure new customers of competence and reliability.
Electronics is a mystery to the ordinary person. Simple explanations and a lack of secrecy help decrease feelings of anxiety about the unknown.
Activities which may be misunderstood or mystifying should be carefully explained if misunderstanding is to be avoided.
Watch your expression and your tone of voice. Don’t let either sneer!
**Facing The Problems . . .**
1. Since service labor charges are usually associated with elapsed time, what procedure should be followed when the customer insists on gabbing?
2. How do you explain the reason for referring to service literature while busy with a set repair in a customer’s home?
3. What action is indicated when the customer insists on watching you work?
4. Many suspicious thoughts can be traced to a fear of paying for some work or a part that is unnecessary. If such a problem is anticipated, how could you remove such a fear?
It was so sultry outside that Red and Pop had passed up the usual afternoon coffee. Instead, Marybeth had prepared a pitcher of iced tea, which was now about half full. Pop was just finishing up a story about his early days as a ham when they heard the telephone ring in the front office.
"Red, it's Bob," Marybeth called. "He wants to talk to you."
Red picked up the phone and winked at Pop. "Crosstown Electronic Service, may I help you, sir?"
"I hope so, Red," said Bob at the other end of the line. "I'm out at Mrs. White's and short a part. Write down the number and see if we have one in stock."
Red did so and reported back. "Sure enough, we have three."
"Thanks a lot. I'll drive down and pick it up," Bob replied, ringing off.
A few minutes later, Bob ran in and was gone again in a flash. When he returned after completing his other calls, the tea pitcher was empty. "Just as I thought," he grinned wryly. "You two have been living it up when I was out getting cooked in all this heat. Next thing you'll be wanting an air conditioner."
"Say, that's an idea," Red agreed. "What was Mrs. White's problem?"
Bob pulled up a stool and sat down. "Nothing unusual except she wanted to know why I couldn't fix her set without coming back for the part. Said she thought only plumbers were absent-minded."
---
**A NOTE ABOUT THESE CARDS**
It takes constant practice to make habitual the use of the ideas in "Satisfying Customers for Profit." But they can become habits—by developing just one technique at a time.
This section of cards is to help you do just that. Put card 1 on your clipboard or visor of your car—the place you will see it most often, and especially where you will be reminded of this technique just before you enter the customer's home. For the next week, concentrate on this technique—use it on every call!
A week later, replace it with card 2, to remind you of that technique. You will still be using number 1—you have the habit—but concentrate on number 2 for the next week. Reread the card on each and every call. Think about it while in the customer's home.
Keep this up until you have all twelve techniques firmly in mind. Save the cards. At the end of twelve weeks, start all over from the beginning and go through the same procedure again. Six months from now, they will ALL be habits—the best habits that you can acquire!
1 The lifeblood of the service business is the customer and his problems. Each situation involves a different set of elements and represents a challenging opportunity because of the human element.
Efforts on behalf of a customer "above-and-beyond-the-call-of-duty" are long remembered.
(over)
2 In the service business, sympathy and reassurance are responsibilities you have to your customer.
Reassurance builds confidence—in the customer's choice of a receiver and of a serviceman (you!).
Genuine sympathy eases the hurt of a problem. Don't just pretend to be sorry—be sorry!
(over)
3 Promises are to be made—and kept. Unkept promises destroy good will more quickly than poor service.
Promptness is a virtue—a very important virtue—an evidence of reliability and dependability.
An appointment with a customer is an obligation of honor. Don't miss appointments!
What "above-and-beyond-the-call-of-duty" efforts did you expend today to insure completely satisfied customers? (Hope there isn't room enough to write them all on this card!):
Recall one of today's customers who needed sympathy and reassurance:
She (or he) said: “
You said: “
What should you have said, to sincerely express sympathy with graciousness, kindness, patience, and understanding?
This past week, were you unavoidably delayed and therefore late for a promised call? If so, did you phone the customer to say you would be late? Yes □ No □
If no: (1) Was the customer inconvenienced?
Yes □ (You've lost goodwill.)
No □ (Are you sure?)
(2) Was the customer annoyed or angry?
Yes □ (Can you blame her?)
No □ (Maybe you didn't notice.)
(3) Arriving late, did you chalk up a not-home?
Yes □ (Wasted your time!)
No □ (Lucky you.)
(4) Did you skip the call—become a no-show?
Yes □ (Probably lost a customer.)
No □ (Good, but better to phone.)
4 Personal appearance can give impressions for or against. Try for the plus.
Your appearance, and the condition of your truck and equipment are customer measuring sticks of neatness and efficiency.
Carelessness with your grammar, and use of slang, also gives an impression of carelessness. Watch your language!
Look, talk, act—and be—successful!
(over)
5 Setside manners should generate confidence in your ability. Avoid mannerisms that might cast doubts, especially a puzzled expression or action.
Opinions need not be ventured until all the facts are known. Evaluate each problem carefully and completely—then recommend a solution that offers the most benefits to your customer.
(over)
6 Remember...
Your customer's property is as precious to him as yours is to you. Treat it with loving care. Floors and floor coverings should be given special attention, particularly in foul weather. Leave the place shining!
And... "Don't chip the Chippendale!"
(over)
Check list:
- Shoes clean and shined?
- Trousers pressed?
- Shirt clean and neat?
- Tie?
- Shaved today?
- Hands and nails clean?
- Hair cut and combed?
- Shower this morning?
- Deodorant this morning?
- Breath offensive?
- Hat off in house?
- Cigarette tossed?
- Polite? Smile?
- Use good grammar?
- Use slang or swear?
- Truck washed?
- Dents, rust, repairs?
- Test equipment clean?
- Tool kit well arranged?
- Tube caddy neat?
YOU add others:
Before starting on your calls this morning, did you:
(1) Check the customer card file to:
(a) Verify customer name and address? □
(b) Check makes and models? □
(c) Review previous work for clues to the seat of present trouble? □
(2) Check the applicable service literature to review peculiar disassembly procedures, unusual control placement, component and tube placements and relationships, circuit peculiarities, etc.? □
(3) Check replacement components and tubes in your kit, caddy, and truck to be sure you had those which might be needed? □
If not, were you caught short in any of the above (or other) respects?
Think back...
Were you extremely careful with your customers' possessions and home on every service call this week? Was there anything you could have done better, or more that you could have done, to protect them?
Did you leave the receiver, floor, walls, furniture, lamps, knick-knacks, etc., free of finger-prints, dust, smudges, scratches, mud, old parts, boxes, etc?
Did you put everything back exactly where you found it?
If not... why not?
Nothing is gained and nobody wins by knocking competition.
Complaints and gripes about the set or the repair problems fail to impress a customer—except to suggest to him that you don't know your business.
It's best to work cheerfully and well.
(over)
No customers are won when tempers are lost. Truth, reason, and calmness are the only weapons for upsetting unfounded accusations.
Watch your expression and tone of voice. Don't let either sneer or anger show. And don't use sarcasm to counter sarcasm, for it never works.
Remember: a contradicted customer is probably a lost customer.
(over)
Suspicious customers often become ex-customers. A sincere attempt should be made to eliminate suspicion of faulty workmanship and business practices.
Develop a set of analogies which the customer can understand, comparing the radio or TV functions to things with which the customer is familiar.
Call-backs require real skill in customer relations.
(over)
You find that the technician who previously serviced the set pulled a boner. What do you tell the customer? (Be careful! A dig at your competition raises doubts about all servicemen—including yourself!):
""
Or, you have trouble getting at a difficult-to-reach tube or part. The customer, looking over your shoulder, says:
"What's the difficulty?" Your reply? (Watch out! Blaming the manufacturer backfires by reflecting on your ability and the customer's judgment in his choice of sets):
""
Who has the last word in an argument with a customer?
You? . . . or your customer?
Have you ever lost a customer through your "winning" an argument? Sure, he was wrong. But supposing his business would have amounted to about $50 a year; and he had five friends or relatives that might have been your customers at $50 per year; and each of them had five friends or relatives who were looking for a reliable, competent, customer-relations-minded service technician. In just one year, how much business did winning the argument cost you? $__________ Nice bit of business you lost, by winning!!
(1) Was winning the argument worth the cost?
(2) Did you ever analyze who really pays your salary?
Review your handling of recent call-backs (of course you have them—everyone does). In each case, what customer doubts, suspicions, and worries did you note and how did you reassure your customer?
(1) Doubted your competency?
(2) Suspected intentional poor workmanship, carelessness?
(3) Worried about added, unexpected expense?
(4) Couldn't understand why service is needed again (in less than five years!)?
(5) Suspected set design faults?
(6) Suggested that he had a "lemon"?
(You can add others.)
Could you have handled these call-backs better than you did?
10 Anger and resentment are the natural reactions when someone tells us we are wrong. Happiness is the natural reaction when someone tells us we are right.
Abuse and argument have no place in the kit of useful customer relations techniques. Suggestion, rather than argument, and a good deal of flattery, will handle any "tough" customer.
(over)
11 The customer's first service call is especially important because on it rests the possibility of repeat and referral business. But every service call is really just as important, for each time you make a call, a customer can be retained... or lost.
Business growth is formed from the combination of ability to do well and the ability to impress favorably.
(over)
12 A personal referral from a satisfied customer is a priceless bit of advertising—but it costs nothing except the ability to please your customers so they will recommend you to others.
Completely satisfied customers are the yardstick of your success.
(over)
Remember that customer with a chip on his shoulder? He was wrong (of course), but he thought he was right—and he probably wasn’t entirely wrong. Did you:
(1) Listen courteously and attentively, without argument or anger? Yes □ No □
(2) Examine and verify the trouble? Yes □ No □
(3) Determine who was at fault? Yes □ No □
(4) Explain the facts, without saying that the customer was wrong? Yes □ No □
(5) Take action promptly? Yes □ No □
(6) Resell the customer? Yes □ No □
If you scored 100% in the above test, you win a prize—a satisfied customer!
To be a successful serviceman, building repeat business, you must be a combination of a salesman, a diplomat, a public relations man, and a capable craftsman. It isn’t enough to be only a good technician.
Today, in addition to being a technician, were you a:
(1) Salesman?
(2) Diplomat?
(3) Public relations man?
How could you have improved your techniques in each case?
To retain customers and obtain word of mouth recommendations, pay close attention to customers’ evaluation of your service, stressing practices that create goodwill.
Consider every complaint a personal challenge—a test of your sales and technical ability. You’ll meet that test if you determine the pattern of the complaints you get—and prepare to take the offensive to stop them before they gain momentum.
Think about the things you do that are most appreciated by your customers: How can you stress these practices?
Think about your recent call-backs: Was there a common reason for them? What are you doing about it?
"If I had a dollar for every time I've been asked that question," Pop chimed in, "we'd all be down in Florida fishing."
"At this season?" Red complained. "Me, I'm for Colorado."
"If you don't like Plainview," said Bob, pretending to be angry, "nobody's keeping you. Getting back to Mrs. White, she asked if it wouldn't be a good idea to carry extra parts in the truck so I wouldn't have to sizzle in traffic so much."
Pop and Red burst out laughing. "What did you tell her?"
"The obvious," Bob replied. "I thanked her for the suggestion and told her we stocked more than two thousand different kinds of replacement parts and that the truck was already packed with the items we needed most often. If we tried to carry them all around with us, we'd need a semitrailer 40 feet long. She said, oh, she hadn't thought of that. Then she asked if we ever needed a part we didn't have at the shop either and what did we do then."
"Sounds like Mrs. White's planning to go into business herself," quipped Red.
Bob shook his head. "She was just interested in how we work. When a customer asks you questions like this, she appreciates your taking the time to give a straight answer. Much of what we do is a mystery to the average person, and people feel happier when they know the reason for some of our operations. It's good customer relations to play ball. Just as long as you explain in terms they can understand."
"Mrs. White's second question, Red," said Pop, "was another common one. First you point out how many parts there are in just one TV set. Then you remind her that there are many set manufacturers, each of whom has a whole line of models which change from year to year. You'd need to keep something like 100,000 parts to have a complete stock. This would mean tying up so much money in inventory that you'd have to charge much more for the common replacements to cover your investment in the items you'd seldom use."
"That's right," continued Bob. "No customer wants to shell out more for a repair than the minimum necessary. He can see it wouldn't be fair to make most people pay extra just so you could take care of the oddball jobs a little faster. Especially when you tell him our supplier can give us 99% of the seldom-needed items right off his own shelves. It means a little inconvenience for us now and then, but if anyone objects, just reassure him he's only paying for one service call. The return visit doesn't cost him anything extra."
"I've noticed," Red observed, "you check the schematics of the sets you'll be fixing before you go out in the truck. That's so you won't be caught short on a tube complement or something obvious, isn't it?"
"Dead right," emphasized Bob. "A little checking beforehand can save you an hour a day. You see why it's important to try hard to get the make and model number of a set when a customer phones in. It helps eliminate a lot of unnecessary running back and forth."
"On those few occasions when you do need something unusual," Pop reminded Red, "don't leave the customer's house until you've checked on its availability. If we don't have it here, call the supplier and make sure he'll put one aside for you. Then you can tell the customer exactly when you'll be back to complete the repair. No one likes to be left in the dark."
Red's face wrinkled up into a grin. "Just one more thing, Bob."
"Shoot."
"Anybody around here seen my long-nosed pliers?"
**In Brief . . .**
Use the telephone to save time in locating needed parts. The shop and the distributor are as near as the telephone. Arrange appointments to return with the part.
If the nature of the trouble and the set model is known before a service call is made, it isn't a bad idea to check the history of previous service, if any, and the service literature for clues to the remedy. The customer will be impressed with your efficiency!
Anticipation of probable parts needs can often save extra steps and lost time.
There are practical limits to the replacement parts stock in the shop and the service truck. The nature of these limits may require explanation to a disappointed customer. Be prepared to explain.
Explanations must always be given in terms the customer can understand.
**Facing The Problems . . .**
1. What steps should be taken when the serviceman finds himself in the midst of a home service call without a needed replacement tube?
2. How should the serviceman proceed when there is no available part at the shop or at the supplier's place of business?
3. How should you explain the fact that it is not to the average customer's advantage for a service shop to stock uncommon or seldom used replacement parts?
4. What action do you advise if a repair in the home is beyond your ability?
When Red heard Bob toot his horn out behind the shop, it was the second half of the ninth with a man on third and two outs in a 3-3 tie.
"Wouldn't you know," he grumbled as the umpire called strike one. He glanced out the window and saw Bob getting out of the truck. The ump called strike two; Red held his breath. The batter swung and knocked a long high one into the left-field bleachers.
Bob stuck his head through the door.
"When you get through playing ball, champ, how's for giving me a hand with this console?"
"Okay, okay," said Red with an air of relief. "We got the game wrapped up."
The two of them carefully lifted a nice 24-incher onto a dolly and wheeled it in.
"Boy, that's a honey," commented Red. "How'd you win it?"
"Belongs to Hank Smith out on North Ridge Road," Bob explained. "It's an intermittent. I couldn't spot the trouble for sure, though I have a hunch or two."
"I'll bet he was sorry to see it go," said Red, still admiring the set. "It must have left a hole in his living room big enough to park a car in."
"Well, he didn't exactly cheer," Bob agreed. "In fact, it's a touchy problem that has to be handled right. With set serviceability the way it is these days, better than 80% of the repairs can be handled in the home. As a result, some people get upset when you must haul away their pride and joy."
"What's the best way to coat the pill?" inquired Red.
"First, you have to convince the customer it's necessary," Bob replied, perching on the corner of the bench. "Remind him that his TV is a complex instrument with certain adjustments requiring costly, delicate test equipment you can't bounce around in the back of a truck. Tell him you'd be a lot better off, too, if you could wrap up every set on the spot since you'd be able to make more service calls that way. On an intermittent like this one, point out it's surer and less expensive to watch the set in the shop instead of..."
cluttering up the customer's parlor all afternoon. Also assure the customer that our objective is a lasting repair in the most efficient and least expensive way."
"I get you," Red broke in. "You persuade him you can do a better job at less cost."
"Check," said Bob approvingly. "Another tip: be sure to explain what's wrong with the set, what you're going to do, about how much it'll cost, and when you'll return it. He'll be happier about watching his set go out the door if he knows when he'll have it back."
"Suppose you aren't sure of the trouble?" Red asked.
"Tell him that while you haven't yet used test equipment on the set, you think the trouble is so-and-so and give him a tentative cost estimate," Bob explained. "Promise you'll call back within 24 hours to get his okay on a definite cost of repair and let him know when you'll complete the job."
"Is that why you've phoned in now and then and asked how much work we had here?" Red inquired.
Bob nodded. "I wanted to make sure we could work a set into the schedule before making any commitments on delivery. It's poor business to call a guy up and tell him he's going to have to wait longer than he expected. He figures you're letting his job wait while you're catching up with rush work. That kind of treatment isn't fair, and he's bound to question the delay."
"How do you decide whether or not to leave him one of our loaner sets?" Red went on.
"That depends a little," Bob replied. "If it's a household full of kids and I can see the missus will have a problem while her set's in the shop, I almost always leave one. Or if the customer makes a fuss over how awful it's going to be with no TV. On the other hand, sometimes you can tell the set won't really be missed or the customer may have a second set, in which case there's no reason to tie up one of our receivers. The time we need for a repair is a factor, too. I always provide a loaner when I know we'll be several days on the job; for example, if we have to wait for a part to be shipped in."
"I suppose we use portables for loaners because they're easier to carry around," observed Red.
"Yes, and a lightweight takes up less room on the truck," Bob noted. "Another reason is their lower cost; we don't have so much capital tied..."
up in loaners as we otherwise would. Also, if a set gets damaged in the customer’s home, we don’t stand to lose so much. I buy new ones every year to minimize the depreciation and obtain a maximum resale price.”
“What happens to the old ones?” Red wanted to know.
“Every once in a while a customer likes the loaner so much,” Bob explained, “that when I return his set he asks if he can buy the portable for his sun porch or basement. I can offer the customer a pretty good price and still give him a standard 90-day warranty. Otherwise we’ll sell them from the shop after twelve months.”
“Say, Bob,” said Red with a twinkle, “I have a dandy idea.”
“You and your bright ideas,” moaned Bob. “What is it?”
“Let’s put a loaner right over the bench here so I can see the ball game instead of only listening.”
**In Brief . . .**
*Most service problems can be solved in the home, but there are times when the customer’s best interests are served by a shop repair.*
*A loaner set is a good will builder. The loaned set can be disposed of as a piece of used equipment. This makes these good will builders quite inexpensive.*
*If repair delays are inevitable, it is best to explain before the delay is questioned.*
*Careful and complete explanations should precede the removal of a set from the home to the shop. Stress the advantages to the customer. Promise a return date which can be met.*
**Facing The Problems . . .**
1. Do you happen to know what the most frequent complaint from service business customers is?
2. When and why does your firm leave loaner sets when a customer’s set must be taken to the shop?
3. What shop situations must be carefully considered before a promise for a repair completion date can be made?
4. What should be done when a promised return date cannot be kept?
"Say, Bob," Red teased, as the two of them sugared the morning coffee. "What's this I hear about you having a late date with Peggy Collins last night?"
"Who's been gossiping?" protested Bob with an air of injured innocence.
"Word gets around fast in this town," Red chuckled. "Not only that, I hear you were out there last week, too. Imagine a married man like you running around with a bachelor girl five years younger. Aren't you carrying customer relations a little too far?"
"Peggy's a good-looker all right," Bob admitted, "but my interest in her is purely professional."
"Not very convincing, chief," Red went on. "If your intentions were all that pure you'd go see her during the daytime, like everybody else."
Bob began to blush. "Come off it, Red. Can I help it if the girl works 'til six? What do you want me to do, miss dinner?" He chuckled.
"What's so funny?" Red challenged.
"I was thinking I should have sent you last night," Bob confessed. "The mood she was in, she'd have lowered the boom on you if you stepped out of line. Would have served you right, too."
"Tough day at the office?" suggested Red.
"Hardly," Bob replied. "She was sore because her set broke down again after I'd repaired it only last week. She asked if we usually gave that kind of service, or had I forgotten to put back a tube on the first call."
Red grinned. "I think dames are cute when they're mad."
Bob shook his head sadly. "Red, one of these days you're going to walk into an open manhole. And when you do, I'll put the cover on."
Bob paused before continuing. "Getting back to Miss Collins—she didn't realize there was no connection between her picture tube conking out last time and the condenser failing this time. As far as she was concerned, her set had broken down twice in less than ten days, and it was my fault."
"So you pulled out the schematic and gave her a five-minute course in electronics?" Red guessed.
“So you think Miss Collins is the type to clutter up her blonde head with amps times volts equals watts?” asked Bob.
“No, I don’t imagine she would,” Red admitted. “What was the angle?”
“I told her her set was even more complicated than a car,” Bob explained, “and just because you have a flat fixed one day is no guarantee the battery won’t quit the next. I pointed out that when I came the first time the condenser was working perfectly. I said it was unusual for another part to fail so soon, but now and then it happened.”
“Did you convince her?” queried Red.
“Not entirely,” Bob conceded. “I guess Miss Collins is no whiz on mechanics, either. So I tried another example. I compared her TV with an electric typewriter. You put in a new ribbon one week, and the next week a key gets stuck. She saw the light then, and her frown turned into a smile. ‘Oh, I understand,’ she said. ‘I didn’t know so many things could go wrong with a set.’ ”
“I didn’t want to leave her with the idea her set was nothing but a pack of troubles, so I explained that it was amazing how few things actually did go wrong. I told her she had a good set that was going to give her many more years of good service.”
Red whistled, “Bob, it’s a good thing you are married. If you’d given Peggy much more smooth talk she might have followed you home . . .”
“Forget it, Red,” Bob interrupted. Besides, the ‘your set will behave now’ approach isn’t foolproof.”
“Oh?” said Red.
“A few people just can’t seem to understand why their set won’t run for five years after it’s been fixed. They’re so mad about having to call you again they won’t even listen to reason.”
“Not much you can do with people like that,” Red observed.
“Well,” said Bob calmly, “it’s worth something to keep a customer from telling everyone you’re a bum. In an extreme case I’ll make a concession if I think there’s a chance of winning back the guy’s good will.”
“Like what, for example?”
“I tell him I’m sorry I can’t convince him there was no connection between the two breakdowns. Next I say I’ve built my business on satisfying customers, and I want him to feel he can always count on getting the finest service possible from me. Then I say I’m willing to
put his set in shape for the cost of parts and labor (for installing the parts) without any charge for the call itself. I consider this as an investment in this customer's future business. I leave it up to him to tell me what's fair. And you know what?"
"He throws you out on your ear?" suggested Red.
Bob shook his head. "Not at all. More often than not he figures I must be on the level or I wouldn't try so hard to meet him halfway. He tells me to go ahead with the work and forget about giving him a break."
**In Brief . . .**
Suspicious customers often become ex-customers. A sincere attempt should be made to eliminate suspicion of faulty workmanship.
An early call-back requires real skill in customer relations.
Explain the difference between the two troubles in easy-to-understand terms. Discuss the rarity with which an early call-back is encountered.
Soften early call-back disappointments with extra service. An understanding of the customer's feelings will suggest special handling.
Explain that there are many parts and tubes in a circuit and that a newly defective part did check out as satisfactory on the previous call and has been operating until now. However, be sure to reassure the customer regarding the improbability of further failures soon.
**Facing The Problems . . .**
1. What type of doubts may a customer have when he has to make a call for service shortly after a prior call?
2. What steps can be taken to regain customer confidence when an early call-back trouble is unrelated to the previous call?
3. An early home call-back requires special effort to resell the advantages of doing business with your firm. At least three pluses should be emphasized. Do know them by heart?
4. How can a description of the satisfactory service experiences of other customers be used to advantage in handling the disappointment caused by an early call-back?
Every few months Bob spent a couple of days at Central City attending service clinics sponsored by one manufacturer or another. Thanks to these, he was the first technician in Plainview to master the special skills required for work on color sets. He was so good, in fact, that two of the other shops in town passed along all their tough color jobs. When there was a lull at Crosstown Electronic Service, he checked Red out on the latest circuit designs.
This particular morning they were deep in a discussion on color alignment when Marybeth walked in with a long face.
Bob looked up from the service manual. "What's wrong, honey? You look like the bank foreclosed our mortgage."
"Mrs. Williams just called up," Marybeth replied, "and said the set you fixed last Tuesday is acting up again the same way. She was pretty upset. I promised you'd be out right away. Here's the worksheet showing what you did."
"That's odd," puzzled Bob, reaching for his kit. "It was doing fine when I finished. Red, hold the lesson until I get back."
He returned an hour later.
Red grinned his usual cheery greeting. "Use that TV-is-like-a-car approach again?"
"No such luck," Bob replied. "This time it was the same disease as before. One of the tubes I replaced Tuesday was shot and had to be tossed."
"They don't make 'em the way they used to," sympathized Red.
"You're right," Bob agreed, "now they're even better. I was the one who goofed. I overlooked an overload in the circuit. I'm surprised it didn't burn out sooner."
"Boy, you were really on the spot," Red observed. "What did you tell Mrs. Williams?"
Bob shrugged. "The truth, what else? I told her I'd checked her set carefully—which I had—and it worked perfectly. I said the new trouble started from the same cause, a current leak I hadn't noticed the first time because it didn't show up on the tests I ran to isolate the original failure. I explained that the condition was an unusual one, but since I didn't catch it, the second breakdown was my fault."
"She ask if you were going to charge her?" Red queried.
"I didn't wait for her to," responded Bob. "I assured her that we guaranteed our work, and if a repair we made proved to be unsatisfactory, the customer paid nothing. In her case the service call, the new tube, and the labor were on the house."
Red nodded attentively. "Was she pleased?"
"Yes, she thought that was a fair policy and thanked me for coming right out. I said I was sorry she'd been inconvenienced by an oversight on our part and added that I'd double-checked everything on this visit to make absolutely sure she wouldn't have any further difficulty."
Red had a new question. "Suppose you suspected a repeat failure but couldn't track it down?"
"I'd pull the set into the shop, explaining I was afraid the original repair hadn't reached the root of the trouble. And leave a loaner with the promise there'd be no charge for the new work if it turned out we'd slipped up on the first call. It's bad enough to miss something now and then—you want to do everything possible to prevent another call-back. On those occasions when one does get away from you, you want to be dead sure you catch it on the second try."
"A customer's patience could wear thin pretty fast," Red agreed. "Now, how about this situation? You have a callback and it's a repeat failure, except this time you're positive the replacement part was at fault."
"That's a little different," was Bob's reply. "If the part is still in warranty we put a new one in and return the old one to our supplier. There's a labor charge, but the customer isn't charged for the part."
"Suppose the customer asks how come the manufacturer doesn't check his product so it won't conk out after ten days? Or suppose he gripes about paying a labor charge on a failure that's no fault of his own?"
"That can be sticky," Bob conceded. "As far as the manufacturer is concerned, you can truthfully say every replacement part is checked carefully at the factory before it's shipped. On the other hand, there's no way to catch defects that didn't exist at the time of inspection—a part can be damaged between factory and final installation without anyone being the wiser. To protect the customer against the small percentage of failures which can't be prevented, the manufacturer gives a warranty long enough to insure that any hidden defects will show up."
"As for the labor charge, it would be quite expensive for service organizations like ours to fill out forms and reports so the manufacturer could pay us for labor on in-warranty replacements. The cost of parts would soar as a result, and every customer would have to pay more, even for ordinary jobs. In the long run, the present system is more efficient and therefore less expensive.
Red sighed. "Let's get back to the bench, Bob. I've got a real dilly I don't ever want to see again."
In Brief...
When a call-back is a result of an unintentional oversight, be honest and frank; admit the oversight and explain how it happened—and tell the customer that there will be no charge for this sort of repeat failure.
Offer to properly correct the problem and show sympathy for the inconvenience to the customer.
Explain the nature and purpose of a parts warranty whenever a warranted part has failed in service.
Make absolutely certain that the second repair will positively do the job; then tell the customer this. Pull the set to the shop if there is any doubt about a lasting repair.
Facing The Problems...
1. What action can be taken to retain customer confidence when a call-back is due to previous incomplete or incorrect servicing?
2. List the key points to be emphasized during an explanation of a parts warranty and what it means to the customer.
3. How can a 30-day service guarantee, issued by the service dealer, generate good will?
4. "Guaranteed" work means many things to many people. What is the basic element of a real guarantee that will satisfy customers and insure repeat business?
Thanks to a cranky starter, Red was half an hour late when he swung his convertible into its usual spot behind the Crosstown Electronic Service building. He walked in the back door and found Bob, Pop, and Marybeth gathered around a new receiver that looked as though it had just come out of the factory carton. The image on the picture tube, however, was jumping around so much his eyes began to ache.
"What are you guys doing," Red greeted them, "washing laundry in that thing?"
Bob winked at Pop and Marybeth. "I don't get you, Red. This little honey is in for a checkup, and we're just admiring how sweetly she's working."
Red did a double take. "That set has the itch so bad it's liable to blow up if we don't spray it quick. Where's the DDT?"
"Now that you mention it," Bob admitted, "the picture is a bit unsteady. I wonder if the line cord is plugged all the way in."
"Plugged in?" howled Red. "It's probably halfway through the wall already."
Bob switched the receiver off and sat down. "Now, Red, I hate to hear you talk that way. This sweetheart belongs to Larry Wells, and he was raving about it only this morning."
"I bet he was raving," Red rejoined. "He probably didn't know whether to call us or an undertaker. How long's he had it?"
"About two weeks. When Larry brought it in, he told me it worked like a charm until last night. Suddenly he smelled something burning. A moment later it started acting up like this. Said he was afraid it was going to go into orbit."
Red chuckled. "He must've been plenty sore."
"That's hardly the word," Bob replied. "He said the manufacturer must have baboons working on final assembly. Asked me if we could do something or if he should keep it for a book end. The way he talked you'd think the whole industry had ganged up on him."
"The first thing to do," stated Red solemnly, "is to 'restore customer confidence. Compliment him on his choice of a set and advise him
he'll have many more hours of pleasure from it.' Boy, if anyone tried to tell him *that* he'd have gone into a coma. What did you say?"
"As a matter of fact," Pop cut in, "Bob told him exactly what you said. It's true. Larry's set is the first one like it that's been in the shop in the last six months. We've had calls after making an installation, of course, but 99% of the time the customer has goofed, not the manufacturer. That's why we take so much trouble to demonstrate and adjust all the controls when we make a delivery. Even so, a few owners forget and do something wrong. The first thought jumping into their minds is, they've got a lemon."
Bob nodded his agreement. "Pop, tell Red your formula for lemon-aid."
"A guy whose new set really *does* have a problem is a mighty unhappy fella. He doesn't think of the 999 other receivers that came off the production line the same time as his and are giving perfect service. All he sees is the 1,000th one sitting half dead in his living room. He's positive someone unloaded a lemon on him."
"You've got to get that thought out of his mind," Bob commented.
"Which is why you call your approach lemon-aid?" added Red.
"Exactly," Pop continued. "Take Larry, for instance. I told him I'd been in the business 35 years and knew for a fact that no set left any reputable manufacturer's factory unless it scored 100% on every inspection. Then I said once in a while there was a hidden defect that didn't show up until the set had been in use for a while. Next I pointed out how manufacturers recognized there was an outside chance something could go wrong between their plant and the consumer's home. That's why they protect the buyer with a 90-day warranty. His set was guaranteed, too, and there'd be no charge for any part we had to replace. I promised we'd get busy on it right away and fix it to perform the way the factory intended."
"Did he ask about labor costs?" Red inquired.
"No," Pop replied, "I brought it up myself. It's important for a customer to understand in advance exactly what to expect. I told him there'd be a small charge for our work."
"How'd he react?" Red wanted to know.
"He asked why the manufacturer didn't take care of that, too," Pop went on. "I said so few sets developed trouble during the warranty period nowadays, it wouldn't be practical or fair to make every buyer..."
pay something extra for repair services only a few would use. The present system guarantees that prices will be as low as possible."
Bob nodded in agreement. "Larry didn't rush out of here and write the factory a fan letter, but at least the sting was gone from his disappointment. He was confident his set was in good hands, he knew it would soon be working properly, and he was satisfied he was being treated fairly."
Red's eyes began to twinkle. "Now it's all settled," he quipped, "what do you say we send out for some sugar and ice?"
Marybeth and Bob looked at him blankly.
Red grinned slyly. "All this talk about lemon-aid has made me thirsty."
**In Brief . . .**
Special sympathy is in order for the customer whose very recent purchase has just presented him with trouble.
Factory warranties are merely one expression the service dealer has of the manufacturer's interest in local customer relations.
Tactful handling of an irate customer in search of "lemon-aid" is the route to obtain good will for the manufacturer and the service dealer. There is no short cut.
The customer who comes to your shop has a personal reason for considering your shop as a place to obtain service. It's your responsibility to justify that confidence.
Quality control receives more attention from the manufacturer than any other phase of production. But even with the best quality control at the factory, defects are bound to show up in a small percentage of sets received by a dealer. Good will for the entire industry is the product of manufacturer-dealer attention in making sure the set is in good operating condition before it is delivered to the customer.
Express confidence in the set and the repair. Compliment the customer on his choice of a set.
**Facing The Problems . . .**
1. How does a new set warranty aid the customer?
2. How does a new set warranty give customer relations aid to the service dealer?
3. How does a new set warranty give customer relations aid to the set manufacturer?
4. If an in-warranty failure seems to have resulted from a customer's carelessness or misuse, what responsibilities does the service dealer have to (a) the customer and (b) the manufacturer?
BOB GIVES A LESSON IN DIPLOMACY
Directly opposite the Crosstown Electronic Service stood a dry-cleaning shop that was said to be having financial trouble. Its owner was a heavy-set, dark-haired man who usually needed a shave. The week he opened, Marybeth had dropped over to congratulate him and welcome him to the block, but his attitude was so suspicious and negative, she had not gone back since.
The morning coffee was hardly poured this particular Tuesday when they heard the sound of someone shouting. Bob and Red walked to the front window while Pop and Marybeth watched from their seats. At that moment a man holding a suit on a hanger emerged from the cleaner's. He was white with rage. The proprietor pursued him to the door and hurled a few uncomplimentary remarks after him.
"Our happy neighbor," Red observed, "ranks so low on customer relations he'd have to look up to see the bottom."
"You can say that again," Bob agreed. "He won't be around much longer with that attitude."
They went back to the table and sat down. Pop was the first to break the silence.
"A man with a service complaint is a man with a chip on his shoulder. Treat him wrong and you lose a customer. Abuse him the way that guy did just now and you make an enemy who'll cheer at your funeral. In this day and age how can anyone be so stupid?"
"A fella out my way," Red joined in, "opened a filling station about a year ago. His motto was 'The customer is a jerk.' I guess he went bust, 'cuz yesterday I saw him pumping gas for someone else."
"It points up," Bob added, "the importance of being fair and then some. We're particularly on the spot. The work we do is a mystery to most people—they can't see and touch it like a stain on a suit or a cracked cylinder head. Pop, maybe this would be a good time to brief Red on handling complaints?"
Pop nodded and put down his cup deliberately.
"Red, underlying most differences of opinion is a dispute as to facts. The more facts two parties can agree on the easier it is to find a middle ground on the debatable items. For us, this means keeping a record of every service call we make—you've seen them in that file beside the phone on Marybeth's desk."
"It's amazing," Bob noted, "how few customers can remember when they last called you or what you did for them. They throw out or lose the receipts we give them listing the cause of the failure and the parts replaced. With all the sincerity in the world someone will say a repair we made back in August was done last month. Unless we can produce a copy of that statement, he'll be genuinely convinced we're trying to weasel."
"If a customer's called you several times," observed Pop, "the worksheet helps convince him the different breakdowns were not related. He's less likely to think your repair was at fault."
"It cuts both ways," Bob emphasized. "If a call-back actually is due to our oversight, the worksheet helps prevent us from being unfair."
Red nodded with interest. "You've sold me on the importance of getting facts straight. What next?"
"No matter how cockeyed a complaint may sound," Bob responded, "make sure you do and say nothing to suggest you think it's unjustified. Remember, the customer is riled enough to pick up the phone or come into the shop. He won't appreciate your acting like it's a huge joke. Listen to him carefully, hear him out, and indicate you intend and want to satisfy him. If you keep your own temper under control and show a sincere interest in his problem, you can prevent the fuss from degenerating into a free-for-all. The quickest way to calm a guy down is not to argue with him."
"Suppose he's way off base," Red suggested. "You show him the worksheet and he's still not satisfied."
"Then you want to start thinking about making a concession to keep his good will," Bob explained. "Of course, you run across a few customers who are so ornery and stubborn they aren't worth having. The great majority, however, will respond to a willingness on your part, and meet you halfway."
"A concession can fall flat," cut in Pop, "if given grudgingly."
"Yes, I forgot to stress that," Bob rejoined. "You want to be cheerful and good-natured. If you're at fault, admit it promptly and without reservation. Tell the customer you're sorry it happened. Thank him for calling it to your attention. If you're not to blame, explain you value his good will and want to do everything possible to give him the best service you know how. It's important to stress you're making an adjustment in order to satisfy him. You don't want him to regard the concession as an admission of guilt."
Marybeth cleared her throat. “It’s bad enough when a customer walks in mad. Whether he’s still angry when he walks out is up to you.”
Red glanced across the street nervously. “Don’t worry about me, folks. I don’t want anyone taking this cookie to the cleaners.”
**In Brief . . .**
Abuse and argument have no place in a kit of useful customer relations techniques.
A customer with a complaint has a chip on his shoulder. All of us want to be right.
Anger and resentment are the natural reactions when someone tells us we are wrong.
Listen carefully to the customer with a complaint. Let your listening attitude indicate a desire to give satisfaction.
Happiness is a natural reaction when someone tells us we are right. This human trait can be used to great advantage.
**Facing The Problems . . .**
1. Why is it poor customer relations ever to tell a customer he is wrong?
2. How can the satisfactory adjustment of one customer’s complaint become a source of additional business?
3. What should be the serviceman’s attitude in handling a customer’s complaint and its adjustment?
4. Do you know the six principles of complaint handling?
Red was in the front office with Marybeth when a husky guy dressed in dungarees and a T-shirt walked up to the counter. Bob greeted him, said his set was ready, and fetched it from the workshop.
Bob gave the safety glass a final polish. "We checked her out again this morning and she scored 100%. You can count on a lot more service from this little honey. She's a real sweetheart."
"What's the bad news?" the visitor asked.
"Good news," replied Bob cheerfully. "We gave you an estimate of $17.50, and it turned out that one of the parts we thought we'd have to replace was okay. So the bill is $15.30 instead."
The man smiled appreciatively; then, as he studied the bill his expression turned into a frown. "You've got $8.00 down here for labor at about twice what I make per hour."
"Yes," agreed Bob, "that's our standard rate."
"Gee, that's pretty steep. I pull down top scale, $3.17 an hour. How come you guys charge so much? You must be making a mint around here."
"I wish we were," said Bob jovially. "I've been wanting to take the family out to the coast for three years now. Just as with your own employer, our labor rate figure covers a lot more than wages. We have the rent on the shop here, plus heat, light, and telephone. There's the truck we use on service calls and for picking up parts we need when our supplier can't give fast enough delivery."
Bob waved at the well-stocked shelves behind the counter. "We have a pile of cash tied up in these replacement parts and even more tied up in the test equipment back in the workroom which wears out or becomes obsolete. With three full-time people on the staff we have a bunch of taxes and benefits to pay for. Those shelves and file drawers of technical books and service notes are another necessary expense that has to go into our rate per hour. Then there's the cost of office work, such as call-taking, dispatching, and bookkeeping. We also have to pay for insurance to protect our shop and customers. Last time I broke it down, overhead ate up nearly half of our gross. And another item: new models are coming..."
out so fast these days we have a lot of homework to do just to keep up. That's time nobody pays us for."
Bob gestured at the bill again. "You see, the labor rate has to cover all these other expenses."
"Hadn't thought of that," the visitor conceded. "I'm glad you set me straight so I can tell the missus. Got change for a 20?"
Red waited until the door closed, then walked over to Bob.
"Boss, next time there's an election for the man-you'd-most-like-to-hear-bad-news-from, you can count on my vote. You really have a knack for batting curve balls over the fence."
"Nothing more than putting yourself in the other guy's shoes," said Bob modestly. "Anyone who makes less than our rate per hour—and that includes most of our customers—is liable to wonder why we think our services are worth so much more than his. It's natural." He reached under the counter and pulled out a chart.
"Here's a bar graph I had made up showing the various items that determine our rate. I use it on the stubborn cases. Notice how it's broken down into nine categories: rent (including utilities), truck, taxes, employee benefits, stock, cost of training, test equipment and tools, wages, and nonproductive time."
"What's that last heading?" Red wanted to know.
"Nonproductive time?" queried Bob. "That's the 20 minutes or half hour we spend driving to and from a customer's house on a service call, including a factor for the occasions when a customer forgets we're coming and isn't at home."
"Which saves him the trouble of bringing his set to us?"
"Exactly." Bob paused to light a cigarette. "Our going to the customer is a convenience someone has to pay for. We could turn out more work if everything were brought to the shop. We wouldn't need a truck, we wouldn't get caught in traffic, we'd have all the test equipment we needed, and we'd be a lot more comfortable than squatting on Joe Blow's carpet.
"Also, nonproductive time includes time spent on a difficult problem, such as Mr. Smith's intermittent job yesterday, for which we couldn't possibly charge for all the hours spent on it. And then there's the time spent on the once-in-a-while call-backs. Don't forget the time necessary to chase down a necessary part. Also, remember Marybeth's salary for call-taking, dispatching, bookkeeping, and other paper work. I could go on and on."
"Ever find someone you couldn't convince?" Red asked.
"Very few," replied Bob. "As soon as a customer sees his charge includes a lot more than the salary of the technician with the tube tester, he realizes he's not so bad off after all."
"You know," Red confided, "you've taught me something, too. When I started coming in here I sorta wondered where all the money was going. And I see now what you mean when you stress good customer relations. With all that overhead, you've got to turn over every job you can lay your hands on to keep from being bled white."
"Right on the beam, Red," approved Bob. "Some of the outfits in this game forget they have bills to pay at the end of the month. I keep a close eye on the business just to make sure we haven't overlooked some way to reduce costs without sacrificing quality. We nearly starved the first six months after I opened this shop because I was charging too little. Then Charlie Smith came in to check my accounts and showed me what our real costs were. Overhead almost did me in."
Red chuckled. "That makes three things to watch out for."
"What are the other two?" puzzled Bob.
Red's face wrinkled up into a grin. "Death and taxes."
**In Brief . . .**
Only straightforward answers should be used in reply to questions about service charges and rates.
It is extremely important to know the exact costs of doing business. This knowledge will focus attention upon the value and importance of each customer.
The right of a customer to query a service charge cannot be questioned. Explanations must be given when requested.
**Facing The Problems . . .**
1. How would you explain a labor charge to a customer who had just questioned the charges for a condenser replacement?
2. The average customer appreciates some of the service business overhead expenses, but not others. Which overhead elements are most difficult for the average customer to appreciate?
3. Which overhead elements are most understandable to the average customer?
4. Prepare a list of your current overhead costs. Your labor rate should reflect the true worth of your labor, but any defense of the rate requires careful thought. A recognition of the many elements makes a defense possible.
Marybeth was studying a book of paint color samples when Red walked over to her desk. Several scraps of wallpaper were gathered in a neat pile under her purse, and something that looked like a fixture supply catalog rested on the counter behind her.
Red called over to Bob. "Bad news, chief. Marybeth's getting set to pretty us up. What shade are the window boxes going to be?"
"Didn't I mention it?" responded Bob. "We're going to have our face lifted next week, and she's in charge of the redecorating."
Red surveyed the front office critically. "Looks fine to me. Linoleum's a bit worn over by the door but not enough to bother anyone."
"It was the best we could do three years ago," observed Marybeth getting up from her chair, "but it's beginning to look a little shabby. Also, we're running short on space for replacement stocks, which means building a new counter with more shelving."
Red whistled. "Sounds like a pile of money to me. What's the point?"
"Got to put our best foot forward," explained Bob. "Some of the other outfits here in Plainview are sprucing up; we don't want to be left behind. We've got a good location that draws lots of traffic. A little investment in paint and new fixtures will give us a leg up."
"Ever notice the bad impression you get when you walk into certain shops?" Marybeth asked. "Maybe the door sticks or is hard to push open. Perhaps the display windows are cluttered up with junk nobody's bothered to dust in five years. By the time you're inside you've begun to wonder what kind of people run the place. It's the little things that attract customers—or keep them away."
"Take the floor plan, for instance," chimed in Bob. "We gave a lot of thought to how we could make the best use of this space. We wanted to have enough room for customers to move around in without banging into each other. They need a place to sit down while waiting for an estimate, ashtrays if they feel like a smoke, something to look at besides blank walls.
"The counter is another example of a need for careful layout. If there's wrapping or packing to be done, the paper and string are far enough away from the cash register so one of us can make change while the other is putting a parcel together. Down at the far end are batteries..."
and other items customers need most frequently. We can take care of three or even four people at one time."
Marybeth waited for Bob to finish. "Even the stock shelves can be made into an asset if you arrange them attractively."
"Now I understand the reason for the pink curtains in the washroom," quipped Red. "You want everyone to feel at home."
Bob tried to suppress a smile. "There's more to good customer relations in the shop than sound plumbing and well-oiled door hinges. Like adequate lighting, so the place looks cheerful even when it's dark and gloomy outside. Or placing the telephone close enough to the counter so a customer can make a call. And safeguarding customer property."
"I don't follow you on that last one," Red puzzled.
"Some outfits are careless about sets brought in for repair. They stack them any place on the floor and then wonder why the cabinet work gets scuffed up. You wouldn't do that in a customer's home, and there's no excuse for being sloppy in the shop. We put in the shelving opposite the workbench to be sure nothing would be damaged."
Marybeth raised a hand. "Speaking of being sloppy, most women dislike a place that's dusty and dirty. A tidy, well-kept establishment has an instinctive appeal to the housekeeper side of their nature."
"The next thing you know we'll be serving hot lunches," grumbled Red. "What else should I remember besides taking my shoes off before I come in?"
"Don't start giving Marybeth ideas," laughed Bob. "No, the only other point I'd make is courtesy. The good impression a customer gets from the appearance of a shop is ruined if he's treated thoughtlessly by the people behind the counter. A friendly greeting goes a long way and so does promptness in attending to his needs and a sincere interest in his problems. If you're busy with someone else, see if Pop or I am around to take care of him. If you're all alone, ask him to take a seat and make himself comfortable. Call him by name if you possibly can. People like to be shown you know who they are and welcome their trade. Oh yes, if the phone rings when you're helping someone and you realize the conversation will be a long one, jot down the number and promise to call back as soon as you're free."
Red thought it over, then broke out in his customary grin. "Only one thing's bothering me."
Bob braced himself. "Shoot."
"What do I do with my spare time?"
In Brief . . .
The face of a business is its store front and window areas. This face is a constant reflection of the personality of the firm.
Arrange the stock to facilitate inventory-taking—it will automatically look neat and orderly.
Old, shabby display materials have much less customer appeal than newer materials have.
Color deserves important thought when planning a redecoration job; the most important consideration is a choice of a color scheme in keeping with good taste and neatness.
A customer's property should receive the same careful handling in his absence that it would receive in his presence.
Acknowledge the presence of a waiting customer by some use of his name, if possible.
Customers do not like dark or poorly lighted places of business, or evidence of careless housekeeping.
Facing The Problems . . .
1. The shop front is the face of your business. Name five elements of an effective store front.
2. During the coming week try to make a list of as many ideas as you see for store fronts that capture your imagination. Then select at least one of these ideas to help your store front smile to each passer-by.
3. A good window display requires the effective use of color. Can you list the important considerations to keep in mind when choosing colors for a display?
4. Suppose that you plan to rearrange the shop service area for greater efficiency in serving your customers. List three planning considerations which should be given careful thought.
5. Displays are silent salesmen. Do you know the four basic requirements of a good display?
It was nearly two when Bob got back from his morning calls. Red and Pop had long since finished lunch and were busy at the bench. Bob was whistling merrily.
"Late yesterday and late again today," commented Red. "What's wrong, boss, given up eating?"
"Hardly," replied Bob. "Had a little trouble at the first two stops, and the third was a real corker."
"Don't sound right to me," Red quipped. "If things were rough as all that, how come you're so chipper? That corker must have been a cute trick."
Bob grinned. "She was a mother of ten, if you insist on being personal. I guess her set just couldn't take it any longer. No, the reason I'm happy is because all three calls were referrals, people I'd never heard of before. Best sign I know of that we're on the beam."
It was Red's turn to whistle. "Boy, if that happened every day, none of us'd have time to eat. I mean, like a chain letter. You mail a buck to the guy at the top of the list, add your name to the bottom, and send it to two friends. Each of them does the same with two of their friends, which makes four. When your name hits the top of the list you're on Easy Street."
"Not a bad comparison," approved Bob, "except I never yet heard of a chain letter that got anywhere. These word-of-mouth recommendations are more like interest on an investment, an investment in good work and good customer relations."
Pop nodded his agreement. "When I was in the furniture game, I told my salesmen a satisfied customer was the most important person in their lives because not only would he come back again, but he'd bring his friends and relations with him. Then, when I got into radio service work, I found out satisfied customers were even more important. A guy buying a chair can pretty well see what he's getting. The same guy trying to find someone to fix his TV has no idea what will be handed him."
"So he picks up the phone," Red cut in, "and calls his Aunt Minnie to ask who took care of her last time. Aunt Minnie says she thinks Bob Tronic of Crosstown Electronic Service is cute. The next thing you know we got another customer."
Bob laughed. "You have the right idea, Red, though I wouldn't describe it quite the same way. Pop is saying that our product is an intangible. Apart from hoping his set will work when we're through poking around its insides, Joe Blow can't very well judge the technical features of the service he receives. However, he has no trouble at all judging us as people. If we succeed in selling ourselves to him, he'll sell us to others."
"That's true," Red reflected. "My next door neighbors moved in from Central City a while back. Last week, their washing machine had the jitters, and they asked me who was good. Said they'd checked the telephone book and found five names in the classified section. They couldn't tell who was best, so they came to me for advice. They picked one of the two I recommended, and it turned out they liked the outfit just fine."
"For the same reasons you liked it, I imagine," added Bob. "The others may be just as good technically, but the difference is an extra effort to satisfy customers. It happens every day. Today it happened three times to us, and you can bet your bottom dollar I stood on my head to make sure I justified the recommendation we were given."
"The serviceman making a home call has to carry the ball by himself," Pop went on. "In a store, a customer has already half formed an opinion by the time he walks in the door. The sign over the front, the merchandise in the windows, the way it's displayed give him a kind of mental picture of what to expect. Now he's inside, he can touch and poke the item he came for. If he decides he wants it, he has his pick of clerks. If he's got a complaint, there's a manager somewhere to listen to him and straighten him out. Now, when you ring the doorbell, you are Crosstown Electronic Service. In fact, you are the entire service industry in the customer's eyes, but all the customer sees is you and your truck. Everything else, and I mean everything, depends on you.
"A technician who rushes in, changes a tube, and rushes out again is like a guy who keeps his cash in a sock under his mattress. The most he can hope for is that no one will take it away from him. On the other hand, the smart cookie who takes the time and trouble to make each customer happy is putting his money in a bank where it will grow and be worth more tomorrow. I don't need to tell you which one is going to get ahead."
"Dead right," chorused Bob. "It calls for real skill. People are different; they
don't all react the same way. This means *you* have to adjust and use the tactics best suited not only to a particular situation but to a particular individual as well. The prize for success is his future business, plus the business he sends you by selling you to others. It's worth being late for lunch occasionally."
"Sounds good to me," admitted Red as a sly grin crept across his face, "except it looks like I'll have to start getting up half an hour earlier from now on."
"How come?" puzzled Bob.
"So I can eat an extra big breakfast."
**In Brief . . .**
It's quite proper to ask a new customer why he came to you. If the call was the result of a recommendation from a satisfied customer, it is also in order to thank the referring customer. Encourage such referrals.
Word-of-mouth recommendations are the best and most inexpensive advertising obtainable.
If personal integrity and ability are sold, the service sale will automatically follow.
When a request comes for a recommendation involving services your firm does not handle, it usually isn't wise to confine the recommendation to a single source. Try to suggest several equally reliable sources.
A serviceman making a home call holds the reputation of his own firm and the entire service industry in the palm of his hand. It's his responsibility to be honest and competent.
A bit of time, trouble, and extra effort help the service dealer collect dividends on his investment.
**Facing The Problems . . .**
1. Name at least two precautions to be taken when making a recommendation to a customer for service your firm cannot perform.
2. What professional counterparts must the serviceman represent if he wishes to be a successful businessman?
3. If your firm sells retail equipment, some of the interest on your investment must depend upon your knowledge of basic selling facts. Do you know the four basic selling facts?
"Phone for you, Bob," said Marybeth, coming back to the workshop. Bob clicked off his soldering gun and walked into the front office.
A moment or two later he returned, snatched a service manual off the shelf above the bench, and disappeared again. Red was beginning another job by the time Bob rang off.
"Must be a mighty savvy customer," observed Red, "who can ask a question you can't answer out of your head."
"That was no customer," Bob replied, "that was Frank over at Acme Radio and TV. Wanted advice on a color set he was having trouble with."
"And you straightened him out?" protested Red. "I thought he was a competitor of ours."
"He is," Bob agreed. "But we all gotta eat, and it pays to play ball. Another guy's headaches can make things easier for you when you run into a similar situation. Also, maybe you need a replacement part you don't have and your distributor happens to be out of stock, too. You'll get the job finished a lot faster if you can call some other shop in town and get it from him."
"Sure," conceded Red, "but Frank's always pestering you."
Bob sat down on a stool. "Frank's a special case. He sends me the ones he can't handle, so I help him on the others."
"What's the trouble?" demanded Red. "Is he still learning?"
"The trouble is Frank's stopped learning," Bob explained. "He's been in business as long as I have. In fact, we were in the same class at technical school. Frank figured he knew the game from A to Z and hasn't done much since to improve his skills."
"Well, surely he buys the same service literature you do?" Red asked.
Bob shook his head. "Frank doesn't even do that, at least not systematically. Claims it saves him money. He's dead wrong. The money he wastes in a month trying to find the information he needs would pay for all the material we buy in a whole year. Some jobs take him twice as long as they do us, for example, simply because he can't lay his hands on the right schematic."
"What does he care?" Red observed. "He charges it off as labor cost, and the customers foot the bill."
"There's a limit to that racket, too," noted Bob. "It doesn't take long for word to get around that so-and-so is out of line on his rates. Frank has to charge less per hour for his work just to stay competitive with us. His overhead is about the same, which means he nets less for himself. Besides, when he makes a service call in someone's home and runs into a bind for lack of specs, it doesn't look good."
"You're telling me Frank isn't very smart," said Red.
"He's not," Bob confirmed. "I've never seen him at any of the service clinics the manufacturers sponsor when they introduce a new line. You know, the ones I go to up in Central City. Frank has to feel his way with anything he hasn't handled before. The result is more wasted time. He doesn't realize that investing a few days in specialized training every few months will pay off in improved efficiency."
"How so?" Red wanted to hear.
"Well," Bob retorted, "first you learn of the changes in basic circuitry or layout. Instead of scratching your head when you run across something that looks oddball, you know what to expect and can get on with the main business, which is making a repair. Because you do more in any given hour than the next guy, you're entitled to get paid more, since you saved the customer money by reducing the time necessary to fix his set. Equally important is the fact you turn out more jobs with the same overhead as the short-sighted technician. This is another way of saying a higher percentage of the labor rate goes to you instead of into rent.
"There's another way Frank loses out. Mechanical features of set design change along with the electronic improvements. Understanding the best way to take a set apart gives you more time to troubleshoot. Again, when you're in a customer's home, a quick, sure disassembly inspires confidence that you're an accomplished pro."
"The way you're talking," Red reflected, "Frank should have gone bust five years ago."
Bob chuckled. "Frank's foolish, but he's not a complete idiot. He has the good sense to hang onto the literature manufacturers send him, though he could organize it more efficiently than pitching it into a drawer. You've seen how quickly we can get hold of something we need out of our files thanks to the way it's indexed.
"Frank is also shrewd enough to get help from the distributor of a particular make he's having trouble with. It's a sound idea, but not as..."
efficient as having the dope right on the bench beside you. Also, Frank tends to specialize in certain makes he's gotten familiar with. There's nothing wrong with that idea either, except Frank does it out of necessity instead of by choice. A technician in this game who doesn't prepare for the future by keeping up his skill in every way he can is neglecting his most important asset."
"Which is?" invited Red.
"His know-how."
**In Brief . . .**
*Survival in the keen competition of modern business practice demands the utmost in professional skill and knowledge. Customers prefer competent firms.*
*A helping hand for a fellow service dealer is likely to earn dividends when you need assistance.*
*While service literature represents an expense, it is an expenditure which is repaid by more efficient servicing, which results in improved customer relations—efficient work inspires customer confidence.*
*Service clinics offer valuable technical aid that can be turned into profits from improved customer relations.*
*Improved efficiency means time savings that increase the profit potential.*
*Quick, efficient work inspires customer confidence.*
**Facing The Problems . . .**
1. Constructive imagination is a powerful selling tool. How do you use it to improve customer relations?
2. What are the advantages and disadvantages of the specialization of a serviceman on one or two brands of receivers?
3. How can product facts be turned into selling points?
4. Name at least two ways to keep your technical know-how up to date.
There was a stack of post cards on Marybeth’s desk, and she’d spent the better part of an hour checking them against the customer file. Presently Red’s curiosity got the better of him. He left the receiver he was working on and sauntered into the front room.
“Playing post office?” he suggested with a friendly wink.
Marybeth pretended to be shocked. “One more crack out of you, Red Towers, and I’ll mail you to Siberia,” she warned.
“What’s the mystery?” Red insisted. “Got a 1¢ sale cooked up?”
“Not a bad idea,” approved Marybeth. “We could give it a try. There’s no secret about these cards. Once a month I send them out to all the people we’ve done work for during the last 30 days. They’re perforated so the return part with the Crosstown Electronic Service address can be torn off and sent back. Want to see what they say?”
Red picked one up and began to read. “Dear Customer: Recently we had the privilege of helping you. It is our desire that you be completely satisfied with our work. If for any reason we failed to meet your expectations, we would appreciate your letting us know by commenting on the attached self-addressed post card and dropping it in the nearest mailbox. No stamp is required. We would also welcome any suggestions you may care to make as to how we could improve our service. We hope you will call on us again whenever we can assist you. Sincerely yours, Crosstown Electronic Service.”
“What do you think of it?” Marybeth invited.
“I’m impressed,” confessed Red. “You get any of these back?”
“More than you’d expect.”
Red frowned. “You mean that many people are unhappy?”
“Just the opposite,” Marybeth explained. “Quite a few customers take the trouble to sit down and write us how pleased they are with the way we took care of them. Now and then we do receive a criticism. I show it to Bob at once and he does something about it.”
“What, for example?” queried Red.
Marybeth reached in her top drawer. “Here’s one from a man who said he’d okay a repair for $14.50, but when he came to the shop to
pick it up the charge was $18. He felt we should have let him know it was going to cost more."
"Seems like a small point," Red observed.
"Yes, it was," Marybeth conceded. "Still, small matters can be significant. Bob checked the worksheet and the duplicate bill and found the man was right. So he called him up, thanked him for letting us know, and agreed we were in the wrong. Bob said he was sending a check for the difference. Care to guess what happened next?"
Red thought it over, then shrugged.
"We got a letter back a few days later returning the check. The man wrote we'd done a good job and charged a fair price, so he didn't see why we should penalize ourselves for an honest mistake. About a week afterwards a lady rang us for a service call and mentioned this fellow had given her our name. Said he told her we were tops."
"Boy, I wish there were more of his kind around," whistled Red.
"Most people are his kind," Marybeth insisted. "You do everything you can to treat them fairly and they won't forget you. We have quite a few customers who won't let anyone else touch their sets. If they bring one to the shop they tell Bob not to bother with an estimate but just go ahead and fix it."
"So the number of complaints you get back on these cards is a good indication of what people think?" Red concluded.
"Not entirely," replied Marybeth. "A company is judged less by the complaints it receives than by how well it handles them. That's why Bob goes to a lot of trouble to look into each one promptly. If it's a matter of personal dissatisfaction, he works it out with the customer. If the criticism is more general, he takes steps to make sure it won't happen again."
"How about the fan letter?" Red wanted to know.
"Those are important, too. They tell us what services or courtesies customers appreciate. This helps us stress the practices that create the most goodwill. Also, if the fan mail starts to drop off, we know we're not doing as much as we should. It keeps us on our toes."
"Like an automatic feedback," Red suggested.
Mary nodded. "Exactly. It's the best way to find out how people see us. We're on the inside looking out, and naturally our view is different. By telling us how we're doing, customers enable us to evaluate our progress realistically."
Marybeth paused for a moment. "One last thought. The finest advertising we can get is the word-of-mouth recommendation of satisfied customers. It's a priceless asset, and yet you can't measure it in terms of dollars and cents. You know why?"
Red shook his head.
"Because it's free."
**In Brief . . .**
Customer evaluation of your service is more important to the future of a growing business than your own evaluation of the service.
A regular, systematic evaluation of customer satisfactions (or dissatisfactions!) should be planned and carried out.
It is useless to learn of customer dissatisfactions unless an honest attempt will be made to eliminate the source of the dissatisfaction.
A service firm is often judged by how well it handles its complaints.
If a complaint concerns an error you made, you should apologize to the customer for your error. Make amends at once.
He who serves best profits most.
**Facing The Problems . . .**
1. How can a regular survey of your customers help you improve your service?
2. Customers' complaints come in just two sizes—justified and unjustified. The treatment for both is practically the same, beginning with a very simple statement you know by heart. What is the statement?
3. Justified complaints should be restated before they are answered, for several reasons. Can you name two of these reasons?
4. You may feel you cannot afford to take the time to send out cards to all customers you have worked for in the past month. Should you skip it this month?
It was the early part of July, and Bob’s accountant had spent several afternoons working up a semiannual report. Among the papers he’d prepared was one comparing the current six-month totals against those for each of the preceding five years and indicating the rate of growth. The summary was encouraging. Even allowing for price increases, Crosstown Electronic Service was showing excellent progress.
As Bob reviewed this particular statement, his mind turned to the next half decade. It wasn’t hard to project what his gross and net might be if the present pattern continued. At the same time, Plainview lay in the heart of an area that was outpacing the rest of the state, and he wondered if he shouldn’t be doing even better.
Another thought concerned him. Although there’d been the usual ups and downs during the past twelve months, the current volume of business was approaching the point where he and Red couldn’t keep on top even with generous assistance from Pop. If he brought in a new man full time, the overhead would take another jump, and it would be a while before enough new work came in to keep a fourth technician fully occupied. If he waited too long, on the other hand, there was the danger he’d run into trouble handling peak loads, with the probable result that the standard of service would suffer.
Bob tossed aside his pencil. “Red, Pop,” he called, “I need help on a problem. Let’s have a powwow.”
Marybeth got out the coffee cups while the others settled themselves in chairs.
“What’s the trouble, chief?” grinned Red encouragingly. “The finance company going to repossess our new multimeter?”
“Hardly,” Bob smiled. “No, this is the kind of problem I don’t mind. In a nutshell, our business is growing too fast for us. We’ve more jobs than we can handle right now, yet if the present trend continues, August will be tighter and September impossible.”
“Sounds like we need a new man around here,” observed Pop.
“We do,” Bob agreed, “and that means building up enough extra volume to insure he’ll pull his own weight. We must make a special push for even more trade. The problem is how to do it.”
Marybeth coughed discreetly. “Why not start by looking at what we’ve done in the past?”
“Good idea,” approved Bob. “Let’s see. When we service a set, we tape a business card on the back so the customer will think of us if he needs help at some future date. If we’ve worked on a TV, we remind the customer we’re equipped to repair radios, hi-fi components, transmitters, intercoms, garage door openers, and all kinds of electronic equipment. Every spring we have a special promotion on portables offering a free checkup with the purchase of batteries. Every summer we have a preventative checkup special. We’ve got a display ad in the yellow pages of the telephone book.”
“Say, Bob,” Red interrupted, “why don’t we send a letter to everyone who buys a house in that development over in Eastville? We could tell ’em who we are, what we do, and enclose a coupon good for $3.00 toward their first service call.”
“Excellent,” cheered Bob. “Maybe we should do that for anyone who buys a house, new or otherwise; there’s an outfit in town that prepares lists like that. We could suggest a new antenna installation at older houses. Chances are the one the seller left behind is getting tired.”
Pop leaned forward. “There must be near a hundred private planes based at Westwood Airport. We ought to get our share of communications and navigational work. Red could handle that.”
“Another corker,” Bob applauded. “Which reminds me, we could pick up more mobile transmitter-receiver jobs from the taxi fleets and maybe the state police as well. That’s right down your alley, Pop.”
“How about going after more installation business?” Marybeth suggested. “We have contracts with just two firms, and they’ve brought us quite a bit of repeat trade.”
Red broke in. “With all the hi-fi do-it-yourself buffs in town, what’d you say to promoting a clinic two evenings a month? We could check out their work on our instruments for, say, $1 per project, regardless of the number of times they came. We’d sell a lot of tools, soldering irons, tubes, and so on, and maybe pick up their TV and car radio work.”
“Speaking of cars,” Pop proposed, “why don’t we tie in with some of the big auto dealers in town? Offer them same-day service for radios on cars brought in for bench work.”
Marybeth had another idea. “Besides our follow-up post card, we should send a mailing to old customers every six months. It could give them hints on recognizing the symptoms of deteriorating radio and
TV reception and suggest they call us before the breakdown if they detect any danger signs. It would make them more critical of set performance."
Bob threw up his hands. "Take it easy gang. Take it easy. You're making things worse."
"I don't get it," puzzled Red earnestly. "You wanted ideas."
"Exactly," chuckled Bob. "But the way you brain stormers are going to town I'll have to hire two new men."
**In Brief . . .**
The employees of a service organization have contributions to make for the future of the business. Encourage the contribution of ideas from others.
There are many tested methods for keeping present customers and attracting new ones, but methods which have proved to be useful to your business should be used over and over again.
Utilize as many useful ways as possible to keep the firm name and phone number before your customer—constantly.
A personal referral from a satisfied customer is a priceless bit of advertising, and advertising does not cost—it pays.
Try not to scare the do-it-yourself crowd away from the shop. They spend money for service, too.
Don't limit yourself to radio-TV-phono-hi-fi. Get the reputation for competent repair of anything electronic.
About the most valuable asset any business or profession can have is good will.
**Facing The Problems . . .**
1. There are at least four types of worth-while community activities in which active participation can help a service dealer acquire the confidence of new acquaintances who may become customers. Can you name three of these activity groups?
2. Present service customers need an occasional "retreading" to make them worth more as they think more of your firm. What are the aims of your customer retread program?
3. The finest asset a service business can own is good will. Just what is good will?
4. How should your employees—or fellow employees—show loyalty to your service shop?
84
ANSWERS TO
FACING THE PROBLEMS . . .
"BOB ANSWERS THE $7,500 QUESTION," Page 9
1. Training time is seldom an earning time; room and board expenses are usually quickly forgotten; the time it took (and takes) to accumulate valuable product information; the spare time now spent in "keeping up" with new developments by reading, seeing, going, doing; the "learning" time on difficult or new jobs that cannot be charged to a particular customer; the time spent at clinics, meetings, night school, etc.
2. Courtesy, tact, friendliness, enthusiasm, confidence, sympathy, and honesty are the personal attitudes that mean so much.
3. Business, trade, and professional associations, literature from the manufacturers, service clinics, Small Business Administration publications, libraries, business consultants, Better Business Bureaus, and service clubs.
4. The service technician, not the customer, is the prime benefiter of a service call. The customer has had to pay out money just to restore his equipment to the condition it was in before it failed. The serviceman, however, has gained in income, the satisfaction of a job well done, and has gained a satisfied customer and friend.
5. Short range: the actual service call. Long range: repeat business and referral. The latter is most important.
"AN OLDTIMER SOUNDS OFF," Page 12
1. Be friendly, thank each customer for his business, listen when the customer is talking, avoid any argument, obtain the customer's point of view, and talk in terms of the customer's interests.
2. Mention such items as: the steady improvement in the quality and reliability of equipment and components; industry's research concerns the search for better performance of equipment; circuits are made more reliable to overcome problems experienced with earlier equipment; industry only grows as the customer's satisfaction with its products increases.
3. Discuss common hobby interests; talk about hobby equipment; encourage customers to talk about themselves, try to discover common community interests; offer easy, friendly conversation.
4. Display evidence of membership in associations respected for the support of competence and good business practice; refer to satisfied
customers; educate your customers to recognize the training and ability of yourself and your associates; develop and maintain a cooperative spirit among associates; invite attention to skill and knowledge upgrading practices of the company.
5. Because you uphold the reputation of the entire industry by insuring the satisfaction of customers with the products of the industry—the fifth largest and the fastest growing industry of our nation.
"BOB'S RECIPE FOR TURTLE SOUP," Page 15
1. A service dealer's obligations don't end with the satisfactory repair of equipment. First and foremost, he must deal with people if he is to deal with sets. No one makes a living by doing just one thing well. The most successful service dealer is one who does many things other than use the basic technical talents for which he was called to the customer's home.
2. (a) Never pass up an opportunity to "do something extra" for a customer. (b) Keep the charges in line with the competition's prices. (c) Guarantee customer satisfaction by guaranteeing your work. (d) Be more professional than the competition. (e) Give undivided attention to customer grievances.
3. Take full advantage of the good will created by satisfied customers. Purposely make occasions to perform extra services for present customers. Publicize the service pluses your shop offers—particularly efforts of the servicemen to stay up to date with the latest technical developments.
4. Your old customers may soon become new customers of your competitors if you become inconsiderate and impersonal.
"RED TRIES ON KID GLOVES," Page 18.
1. (a) Any direction except forward. Out. Retreat!
(b) Make hasty arrangements to call back later and leave.
(c) Toward the nearest exit. This isn't your day.
2. First, try not to match his grouchiness—that's what he wants, but it will only make him more irritated. Stand flat on your own feet and show that you will not be his doormat. Keep calm and ignore the fact that he is out of sorts. Complete your business with him as quickly as possible. If you can handle him, you can win an exclusive customer.
3. Realize that he is ignorant. He shows lack of thought and really has an inferiority complex. Feel sorry for him, but play his big weakness by complimenting him on his knowledge—really flatter him.
Ask for his opinion. He convinces himself that you're the best man in town for him to do business with.
4. Make up his mind for him. Force him into a decision. Force little agreements from him as you go along. Flattery often brings forth decisions.
"OPPORTUNITY NEVER RINGS TWICE," Page 21
1. Be pleasant, be patient, be helpful, be courteous.
2. (a) Speak directly into the mouthpiece.
(b) Hold the mouthpiece about a half inch from your lips.
(c) Speak slowly.
(d) Speak with just enough volume—not too loud, not too soft.
(e) Speak each word distinctly.
3. (a) Listen to your own voice.
(b) Get the opinion of others.
(c) Learn to relax.
(d) Read aloud as much as possible.
(e) Try some self-improvement study with your grammar.
4. (a) It proves to your customers that you care enough about them to make—and keep—a record of what you have done for them.
(b) You can check the spelling of names and the correctness and completeness of addresses quite readily.
(c) You can refer to set makes and model numbers.
(d) You can refer to the date of the last service call.
(e) If the customer has other electronic home entertainment equipment, you can ask about it and possibly increase the business to be done on the service call.
5. ABC: Always Be Courteous.
"MRS. T.V. BUSTED NEEDS BOB'S SYMPATHY," Page 24
1. Confidence must be inspired in your ability to solve the problem at hand. Express confidence in the set and the repair.
2. Avoid flippant remarks, quick retorts, and a swaggering air. Enthusiasm coupled with sincerity commands attention and inspires confidence.
3. The key to acquiring self-confidence lies in becoming thoroughly proficient in the performance of skills, both in technical ability and in customer relations.
4. Kindness and patience.
5. (a) Exhibit a pleasant and courteous manner.
(b) Express a sincere interest in the customer.
(c) Use tact.
"BOB TAMES BULLDOG GROWLER," Page 27
1. Be technically proficient enough to accomplish any service recommendation made. Listen thoughtfully and carefully. Show a sincere and understanding interest in determining the best solution to a customer's problem.
2. First, try to determine the real problem. Perhaps dissatisfaction is due to demands made on the equipment which it cannot fulfill; or, the equipment was incorrectly used. Compliment the set. Resell the customer.
3. Emphasize the advantages of his equipment without dwelling on its limitations. Find honest reasons to support the original choice of equipment, helping to reestablish faith in his own judgment. Offer ideas which help the customer understand some important performance features and limitations of the equipment.
4. Customer must have confidence in his equipment before he can be expected to have confidence in his serviceman.
"BOB'S LATE FOR A DATE," Page 30
1. (a) Will be at least 20 minutes late. Should stop at the first available telephone and tell expectant customer a delay is unavoidable.
(b) Call House #3 at once. Try to reschedule call for early afternoon after explaining the problem carefully. Avoid a call that could extend through a family meal period.
2. (a) Apologize for customer's inconvenience. Explain inability to find "misplaced" work order. Offer to halt everything and come at once; try to reschedule, if inconvenient.
(b) Apologize for oversight and inconvenience caused. Reschedule call with promise that such a thing will not happen again.
3. Call correct party at once. Apologize for delay. Ask permission to make call as quickly as you can drive 22 blocks.
"WHY OLD MACSTUBBLE'S BACK ON THE FARM," Page 33
1. To wordlessly say that you care about the impressions created; to show evidence of a sense of responsibility; to earn confidence; to offer the best possible personal advertisement for your firm. A neat
personal appearance assures each customer that you are also neat and exacting as a craftsman.
2. Provides the often-seen, traveling face of the business. Attracts favorable attention by giving the impression of neatness, orderliness, and regard for opinion.
3. Actions. Attitudes. Appearance.
4. Shave. Shine. Shower. Shirt (clean). Smile.
5. (a) Use a warm, friendly, interested tone of voice.
(b) Avoid speaking in a high-pitched or low-pitched voice.
(c) Let your voice emphasize the important topics of the conversation.
(d) Avoid raising the voice above normal conversation level.
6. Failure to look directly at the person talked with; use of extremely poor slang; wearing an uninterested expression; toying with something in the hands; tapping a pencil; jiggling coins in a pocket; slouching posture.
"RED LEARNS ABOUT SETSIDE MANNERS," Page 36
1. Be courteous, be friendly, be sympathetic, be competent.
2. Preface bad-news remarks with good-news remarks.
3. (a) The service literature can be checked before the call to make sure replacement tubes are in the caddy, to review peculiar disassembly procedures, and to note component placements and relations.
(b) The previous failures may give clues to the seat of the present trouble.
(c) Replacement components which may be needed can be placed in the truck before making the call.
"RED'S MOTTO: DON'T CHIP THE CHIPPENDALE," Page 39
1. First, apologize. Then state that you will furnish a replacement—and, if necessary, spend hours finding one just like it.
2. Ask for some newspapers or a cloth; then spread the paper or cloth carefully before starting to work.
3. (a) If chassis removal is necessary, ask the customer for disassembly information if the procedure is not apparent.
(b) Spread a dropcloth before starting to work.
(c) Ask permission before carefully moving the unit to a more convenient location.
4. Leave business card and invite future service business. Also inform customer of other service work your firm can handle. Indicate the
type of accessory and equipment items on display at the shop which are of possible interest to the customer. Invite the customer to tell his friends about your firm. Make suggestions for obvious tie-in sales (i.e., record player needles, portable radio batteries).
"RED LEARNS TO WATCH HIS TONGUE," Page 42
1. Give an honest opinion regarding set condition due to age, give estimated repair cost, explain that after repair set will operate well but other tubes and parts are old and could fail, and then let the customer decide. You might also suggest that, if he decides to buy a new set, he have the old one repaired for a second set for the den, recreation room, bedroom, etc.
2. Compliment the present set (the customer chose it, and he dislikes to have his judgment questioned). If you are acquainted with brand X, compliment it, too, limiting your remarks to the technical aspects. Features, prices, appearance, etc. are a matter of personal taste. Don't knock either set. Derogatory or belittling remarks will only reflect back on you.
3. Don't blame the manufacturer if you are having trouble, even though you might be right. Blaming others backfires by reflecting on your ability in the customer's mind. Explain to the customer, in non-technical language, what you are doing, making your explanations brief and uncomplicated.
4. Politics, the competition, sex, religion, gossip, and—with some people—even the weather!
"BOB MAKES A FRIEND OUT OF SUSPICIOUS SAM," Page 45
1. Work and listen. The customer who likes to talk also likes a serviceman who can listen and work. After the first few minutes of sympathetic reassurance and listening to symptoms, learn to change the subject by summarizing what the customer has said in such a way that there is nothing more to be said.
2. Explain only if questioned. Discuss the multitude of models and model variations. Call attention to time saved because of available schematic. Use non-technical terms to describe the relation between the damaged component and other circuit elements as you describe the need to check associated units to prevent recurrence of trouble.
3. Make no attempt to hide or cover up your actions. Make the observation interesting by making non-technical explanations of your activity, emphasizing the complexities involved. Try not to block
the view of the kibitzer. When the trouble is located, it doesn’t hurt to make quite a show of locating the guilty part.
4. Demonstrate by your friendly attitude that you are there to help. No direct mention of this fear should be made.
“MRS. WHITE WONDERS WHY BOB’S MISSING A PART,” Page 48
1. First check the truck tube stock carefully—it may be there even if it isn’t in the tube caddy. If not, use the telephone to check the tube stock at the shop. Then make a last-ditch call to the parts distributor. Excuse the delay, and obtain the needed tube. Explain that no extra charge is made as a result of the delay.
2. Let the customer know the exact nature of the situation. If he knows he has to wait, he will plan to wait. Exhaust all alternate local sources of supply—including fellow servicemen—before asking the supplier to place a rush order for the part. This is an occasion where a loaner set could be left to add that extra touch which makes the difference between ordinary service and very good service.
3. Explain that slow-moving parts tie up business capital and thus increase overhead costs. About 5% of the items stocked account for 95% of the stock movement. Any overhead cost increase is passed on to all customers as an indirect cost. Savings are effected if slight, occasional delays are tolerated to avoid inflated charges.
4. If set is in a home and more competent fellow workers are at your shop, take the set in. If you can’t handle the work within your own organization, tell the customer why not. Describe the services your organization can perform so he may use those services in the future. If possible, advise the customer where to obtain the service he needs, giving him several choices, if you can.
“BOB PULLS HANK SMITH’S SET INTO THE SHOP,” Page 51
1. “It’s never ready when they said it would be.”
2. Should do so if customer’s set will be in the shop several days or if members of the household are known to make extensive use of the equipment, and if the service dealer can expect the loaner set to receive considerate treatment. Loaners generate good will and foster repeat business from both old and referral customers and remove the inconvenience factor from the cost-plus-inconvenience irritation the customer naturally experiences.
3. (a) Weigh likely complications and difficulties.
(b) Consider availability of needed parts.
(c) Necessary tools and test equipment available.
(d) Other work on hand.
(e) Promise not in conflict with holiday, week-ends, employee illness, etc.
(f) Immediate nature of customer’s need.
4. Explain the probable delay as soon as it becomes evident. Explain action being taken to reduce extra delay time to a minimum.
“PEGGY COLLINS CALLS BOB AGAIN,” Page 54
1. (a) Suspects serviceman’s competency.
(b) Suspects set design faults.
(c) Suspects intentional poor workmanship.
(d) Has worries about added, unexpected expense. (Add other doubts to this list. The more doubts you can anticipate, the more you are prepared to meet and overcome.)
2. (a) Replace in-warranty parts without parts charge.
(b) Explain cause of failure as unrelated to previous trouble.
(c) Consider replacing a low-cost, out-of-warranty part without parts charge if such action is indicated to hold customer’s good will.
3. Reliability, promptness, courtesy.
4. Eliminates a possible chip-on-the-shoulder attitude. Indicate sincere desire to deal with such situations to obtain complete customer satisfactions. Reassures customer of your sincere interest in giving satisfactory service.
“BOB REVISITS A SICK FRIEND,” Page 57
1. Apologize. Honestly explain cause of recurrence. If service was at fault, do not charge for reserving. If an in-warranty part failed, make only a minimum service charge.
2. (a) Manufacturers also want customer satisfaction.
(b) Warranty supports customer confidence even when plant inspection has overlooked a faulty part or a part becomes defective after plant inspection.
(c) Customer is protected against loss from defects that result from premature failure in use.
(d) The cost of parts would soar if labor were included in the factory warranty.
3. (a) Unexpected call-backs made with full customer confidence of receiving just and courteous consideration.
(b) Repeat failure does not cause customer anxiety about a repeat service charge.
(c) Amplifies customer confidence in serviceman’s ability and reliability.
4. No doubt by the customer about the exact nature of your guarantee—parts only? labor and parts? time limit? Make sure the customer understands what a guarantee from your shop means.
“POP’S SECRET FORMULA FOR LEMON-AID,” Page 60
1. Gives confidence in both manufacturer and dealer at time of purchase. Softens financial blow in event of set failure while in warranty.
2. Allows service dealer to correct failures at minimum cost to customer, thus creating favorable opinion and developing confidence in dealer.
3. Manufacturer’s back up of the retailer is recognized by the retailer as a good will builder. Increases in good will the retailer builds for a particular manufacturer are reflected in larger sales volume for the manufacturer.
4. (a) Explain cause of failure tactfully and make certain customer understands correct operating procedures to prevent recurrence. Unless deliberate damage is involved, repair under terms of warranty.
(b) Advise manufacturer’s representative that reported failure was due to customer error; with this kind of knowledge, the manufacturer may be able to design the product for simpler operation. However, it’s the responsibility of the dealer to make certain the customer understands how to use equipment effectively.
“BOB GIVES A LESSON IN DIPLOMACY,” Page 63
1. He may be wrong, but he probably thinks he is right—and he may not be entirely wrong.
2. First, the satisfied customer will probably call again. A customer who receives satisfactory adjustment of a claim also becomes a valuable word-of-mouth advertiser for the shop.
3. Customers should be made to feel that the serviceman is sincerely interested in the claim. Don’t hesitate to handle a claim since it offers an opportunity to strengthen the relations between the customer and the firm.
4. (a) Listen courteously and attentively.
(b) Examine and verify the trouble.
(c) Determine who is at fault and explain the facts.
(d) Never tell a complainant that he is wrong.
(e) Take action promptly, and,
(f) Resell.
"IT'S NOT THE LABOR, IT'S THE OVERHEAD," Page 66
1. Mention the elements of your service labor rate. Mention the non-productive time which made it possible to be of service in this instance. Stress the fact that the cost of service is much more than straight time.
2. Equipment depreciation and replacement, investments in training, stock inventories, necessary idle time, expenditures for service literature, convenience of home service calls, employee benefits.
3. Shop rent, utility bills, insurance, service truck expenses, employee direct labor costs.
4. (problem related to individual)
"BOB PUTS HIS BEST FOOT FORWARD," Page 69
1. Neatness, cleanliness, visibility, eye-catching color, balance, good proportion, and visible results of your own ingenuity and imagination.
2. (project)
3. Colors should be cheerful, but not gaudy; they should have excellent contrast; they must have eye appeal.
4. Obtain an arrangement of materials and equipment that always keeps things within easy reach. Rearrange to obtain more usable area from less space. Plan full use of all space handy to the bench. Plan to use the service area for service work only—it is not a file room, stockroom, or warehouse for homeless materials. Arrange for easy housekeeping.
5. Advertising message, color, motion, and size.
"BOB COLLECTS INTEREST ON HIS INVESTMENT," Page 72
1. (a) Offer a multiple choice.
(b) Confine the listing to firms you know are reliable, competent, and honest.
(c) Offer to assist with the contact thus saving the customer unnecessary and annoying efforts.
2. A diplomat, a public relations man, and a capable craftsman.
3. (a) Selling is persuasion, not compulsion.
(b) Selling is educating.
(c) Selling must benefit both the buyer and the seller.
(d) Selling involves helping the customer to make a satisfactory purchase.
“FOOLISH FRANK NEGLECTS KNOW-HOW,” Page 75
1. Analyze each situation of past experience in order that new problems can be anticipated. The answers or solutions can be ready when such a problem occurs again. Capitalize on your past experience by organizing the meanings of it for future application.
2. Advantages
(a) Greater efficiency and proficiency through specialized and increased experience with fewer models. You learn their peculiarities, common failures, chassis location of parts and tubes, etc.
(b) Smaller investment in parts, tubes, and service literature.
(c) Fewer lack-of-parts calls because your inventory can be more complete for the smaller number of models serviced.
(d) A closer relationship with dealer, distribution, and manufacturer provides more help and information.
(e) Dealer, distributor, and manufacturer probably will refer customers to you. A warranty station agreement may be advantageous.
Disadvantages
(a) A greater area must be covered for the same volume of business, with resultant increased truck mileage and travel time cost.
(b) The value of customer referrals may be lost, since the prospective customer may have another make of set.
(c) You have your eggs all in one basket, which may or may not be good.
3. Translate the meaning of your knowledge of the product into customer benefits.
4. Study professional servicing publications. Attend service clinics. Subscribe to and use a service literature service. Enroll in appropriate self-study, self-improvement courses.
“BOB SURVEYS CUSTOMER SATISFACTION,” Page 78
1. (a) Learn what your customers think of your service:
(1) Attitude of serviceman,
(2) Quality of work done,
(3) Appearance of serviceman,
(4) Promptness,
(5) Cost of work done.
(b) Learn whether the customer impression applies to your whole organization or to one individual in it.
(c) Then decide why the results of the survey are as they are.
(d) Then go to work to correct the reason for any weakness shown by the survey.
2. "I am very sorry this has occurred."
3. First, a customer is favorably impressed by the fact that a serviceman who repeats a criticism is not attempting to dodge the issue. Another advantage is that the customer's complaint is often minimized by repetition. Finally, if the real nature of a complaint is obscure, it may be clarified by repetition so that both customer and serviceman definitely understand the nature of it.
4. By no means. This may be the very month something has slipped in your customer relations or technical efficiency. Take the time to mail a post card or questionnaire to at least a random sample of all your customers of the past month. It's important that your surveys be conducted regularly.
"BOB BUILDS FOR THE FUTURE," Page 81
1. Include: local Chamber of Commerce, service clubs, church of his choice, youth clubs and activities, P.T.A. groups, civil defense programs, Better Business Bureaus.
2. Include:
(a) Change "seldom" customers into regular customers.
(b) Change regular customers into exclusive customers.
(c) Develop all customers into more profitable customers; and,
(d) Convert all customers into lifetime customers.
3. Webster tells us that good will is "the favor or advantage in the way of custom which a business has acquired beyond the mere value of what it sells." The practices of good business behavior develop good will.
4. Being enthusiastic about the people they work for; speaking well of the firm to its customers, showing pride in their service by speech and action; following the rules and regulations of the firm.
World Radio History
ABOUT THIS BOOK
What is it that makes one service shop prosper more than others of equal technical ability and facilities? Most surveys indicate that the reason is the difference in handling customer problems. In other words, it's how people are treated that influences them and their friends to become customers, or causes them to trade elsewhere. It's this relationship between the service shop and its customers—a thing called customer relations—that makes the all-important difference.
The secret to successful customer relations lies in knowing how people think and react, and applying this knowledge to inspire customer confidence and trust.
How can this be accomplished? It isn't easy, particularly because no two people think exactly alike. However, to a large degree, most people follow definite thinking patterns, and react to specific situations in much the same way. 25 such field-tested situations, typical of those which most often occur in service-type businesses, actually take place in this book. You'll learn how even the stickiest situations turn out for the best by proper application of customer relations techniques. You'll learn how to apply these techniques in your daily contacts with customers, with 12 handy reminder cards to keep you on the right track. If you work for, manage, or own a service-type business—or if you are studying to become a service man—"Satisfying Customers for Profit" can be an important key to your success.
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Republic of the Philippines
BATANGAS STATE UNIVERSITY
The National Engineering University
Rizal Avenue Ext., Batangas City, Batangas, Philippines 4200
Tel Nos.: (+63 43) 980-0585 loc. 1122
E-mail Address: email@example.com | Website Address: http://www.batstate-u.edu.ph
EXCERPT FROM THE MINUTES OF THE SEVENTY THIRD (73RD) REGULAR MEETING
OF THE BATANGAS STATE UNIVERSITY BOARD OF REGENTS HELD AT THE
EXECUTIVE CONFERENCE ROOM, COMMISSION ON HIGHER EDUCATION, C.P.
GARCIA AVENUE, UP DILIMAN, QUEZON CITY ON 23 AUGUST 2022
PRESENT:
Dr. MARITA R. CANAPI - Chairperson
CHED Commissioner
Dr. TIRSO A. RONQUILLO - Co-Chairperson
University President
Cong. MARIO VITTORIO A. MARIÑO - Member
Representative of Cong. MARK O. GO
Mr. JOHN BRYAN D. DIAMANTE - Member
Representative of Sen. FRANCIS “CHIZ” G. ESCUDERO
Dir. LUIS G. BANUA - Member
Director, NEDA – Region IV-A
Representative of Dr. ARSENIOM. BALISACAN
Dir. EMELITA P. BAGSIT - Member
Director, DOST – Region IV-A
Representative of Dr. RENATO U. SOLIDUM, Jr.
Engr. LADISLAO L. ANDAL - Member
Private Sector Representative
Engr. AMANDO A. PLATA - Member
Alumni Regent
Dr. KRISTOFFER CONRAD M. TEJADA - Member
Faculty Regent
Prof. ENRICO M. DALANGIN - Head Secretariat
Board and University Secretary
OTHERS PRESENT:
Dr. FREDDIE BULAUAN - OIC-Director, CHED Regional Office IV-A
Ms. MARICEL B. BERDAN - Staff, Office of Comm. Canapi
Atty. LUZVIMINDA C. ROSALES - Vice President for Administration and Finance
Assoc. Prof. MYRNA A. COLIAT - Director, NBC 461 Zonal Center
Ms. SHAIRA MAE J. DE JOYA - Technical Staff
Ms. APRIL B. FLORENDO - Technical Staff
Res. No. 73, S. 2022
Resolution Approving the Revised Batangas State
University Admission Policy
WHEREAS, as the National Engineering University, Batangas State University is poised to provide a leadership role in shaping a new vision for engineering education in the country;
WHEREAS, to maintain its commitment in providing quality, excellent, relevant and responsive education, the University provides testing and admission services aimed to assess the applicants’ aptitude and ensure college success in preparation to a globally competitive workforce;
ENRICO M. DALANGIN
Secretary of the University and of the Board of Regents
Leading Innovations, Transforming Lives
EXCERPT FROM THE MINUTES OF THE SEVENTY THIRD (73RD) REGULAR MEETING OF THE BATANGAS STATE UNIVERSITY BOARD OF REGENTS HELD AT THE EXECUTIVE CONFERENCE ROOM, COMMISSION ON HIGHER EDUCATION, C.P. GARCIA AVENUE, UP DILIMAN, QUEZON CITY ON 23 AUGUST 2022
WHEREAS, the proposed policy applies to all applicants for admission to undergraduate academic programs offered by BatStateU in all its campuses, colleges, and department;
WHEREAS, the major revisions made in the University’s Admission Policy includes the revision of the general requirements that should be submitted by the applicants, inclusion of the Pre Baccalaureate Maritime program as accepted strand in all programs requiring STEM strand as well as the inclusion of the Affirmative Action Program;
WHEREAS, the matter was presented before the members of the Academic Committee of the University and after thorough discussion and deliberation, it was endorsed for approval of the Board of Regents through Academic Council resolution No. 0708-03, s. 2022;
WHEREAS, the same was presented to the Board of Regents for deliberation and approval during its regular meeting on 23 August 2022;
NOW, THEREFORE:
BE IT RESOLVED, AS IT IS HEREBY RESOLVED that the Board of Regents after thorough discussion and deliberation approved the Revised Batangas State University Admission Policy.
Attached and made as an integral part of this resolution is the revised admission policy.
APPROVED.
Certified Correct:
ENRICO M. DALANGIN
Secretary
Certified True Copy of the Original
ENRICO M. DALANGIN
Secretary of the University and of the Board of Regents
Leading Innovations, Transforming Lives
REvised BATANGAS STATE UNIVERSITY ADMISSION POLICY
I. RATIONALE
As the National Engineering University, Batangas State University is poised to provide a leadership role in shaping a new vision for engineering education in the country. Fortifying its service motto: “Leading Innovations, Transforming Lives, Building the Nation”, it will further strengthen its already robust degree programs for engineering and other wide range degree programs offered by the University.
To maintain its commitment in providing quality, excellent, relevant and responsive education, the University provides testing and admission services aimed to assess the applicants’ aptitude and ensure college success in preparation to a globally competitive workforce.
This policy is also designed to support and promote the university’s vision and mission of academic excellence.
II. SCOPE
Section 1. This policy applies to all applicants for admission to undergraduate academic programs offered by BatStateU in all its campuses, colleges, and department.
III. DEFINITION OF TERMS
Section 2. The following terms are defined, as follow:
a. **Academic Strands** refer to STEM (Science, Technology, Engineering, and Mathematics); ABM (Accountancy, Business, and Management); HUMSS (Humanities and Social Sciences); GAS (General Academic Strand), PBM (Pre-Baccalaureate Maritime); TVL (Technical Vocational Livelihood)
b. **Admission** refers to the process through which students enter pre-elementary, elementary, junior high, college, graduate program and law.
c. **Admission Test** refers to a comprehensive, multidimensional battery test which is used as an aid for selection & classification.
d. **Affirmative Action** refers to admission of indigents applicants, ALS graduates, students with special needs, PWD, those belonging to the indigenous people/communities and Iskolar ng Bayan to programs in the university.
e. **ALS graduates** are students who completed the Alternative Learning System in accordance with rules promulgated by the Department of Education.
f. **Final Grade** is a mark or grade based on the weighted raw score of the learners’ summative assessment as indicated in the K to 12 Basic Education Program which uses a standards- and competency-based grading system in Grade 10 and 11.
g. **Indigent applicants** are student applicants from low-income families with a yearly income of P400,000 or less.
h. **Indigenous people** are communities or groups declared or recognized as such the Indigenous Peoples’ Rights Act (RA 8371).
IV. ELIGIBILITY REQUIREMENT FOR THE ADMISSION OF INCOMING FIRST YEAR COLLEGE STUDENT
Section 3. Applicants for admission to programs of the University shall be required to take the Batangas State University College Admission Test (BatStateUCAT).
A. GENERAL REQUIREMENTS FOR BATSTATEUCAT
Section 4. Applicants must have completed high school in a recognized school, or must be enrolled in Senior High School, if not yet completed.
Section 5. Applicants must submit the following:
a. E - copy of Filled-out Application Form
b. E- copy of one (1) recent 2"x2" ID picture with white or plain background
c. Certified e-copy of final grades in Grades 10, and 11 in Math, English and Science
c1. Grades Form 1 (for Regular Admission) / Grades Form 2 (for ALS)
c2. Junior High School and Senior High School Form 137
c3. Certification of completion of SHS and respective strand or enrolment therein, if not completed
Section 6. The original hard copy of requirements will be submitted upon request of the Testing and Admission Office, the University Registrar, and/or College.
B. ADDITIONAL PROGRAM-SPECIFIC REQUIREMENTS FOR ADMISSION
Section 7. In addition to the general requirements, applicants must satisfy program specific requirements, as follows:
a. Engineering Programs, BS Chemistry, BS Computer Science, BS Biology, and BS Mathematics
1. Completion of STEM/ Pre Baccalaureate Maritime strand program in Senior High School, or enrolment in the same program, if not yet completed.
2. Submission of certified copies of final grades from Grade 10 and Grade 11, with marks of at least 80% in Mathematics, Science and English subjects.
b. BS Architecture and BS Interior Design
1. Completion of STEM / Pre Baccalaureate Maritime strand / Arts and Design track program in Senior High School, or enrolment in the same program, if not yet completed.
2. Submission of certified copies of final grades from Grade 10 and Grade 11, with marks of at least 80% in Mathematics, Science and English subjects.
c. Education Programs and BS Criminology
1. Completion of any track or strand in any Education and Criminology programs, except BSED Math and BSED Science which require STEM strand/ Pre Baccalaureate Maritime
in senior high school or enrolment in the same program, if not yet completed.
2. Submission of certified copies of final grades from Grade 10 and Grade 11, with marks of at least 80% in Mathematics, Science and English subjects.
d. BS Accountancy
1. Completion of ABM strand program in Senior High School, or enrolment in the same program, if not yet completed.
2. Submission of certified copies of final grades from Grade 10 and Grade 11, with marks of at least 80% in Mathematics, Science and English subjects.
e. BS Customs Administration
1. Completion of ABM/GAS strand program in Senior High School, or enrolment in the same program, if not yet completed.
2. Submission of certified copies of final grades from Grade 10 and Grade 11, with marks of at least 80% in Mathematics, Science and English subjects.
f. BS Psychology
1. Completion of STEM/ Pre Baccalaureate Maritime /HUMSS/GAS strand program in Senior High School, or enrolment in the same program, if not yet completed.
2. Submission of certified copies of final grades from Grade 10 and Grade 11, with marks of at least 80% in Mathematics, Science and English subjects.
g. BS Nursing and BS Nutrition and Dietetics
1. Completion of STEM/ Pre Baccalaureate Maritime / GAS strand program in Senior High School, or enrolment in the same program, if not yet completed.
2. Submission of certified copies of final grades from Grade 10 and Grade 11, with marks of at least 80% in Mathematics, Science and English subjects.
3. Passed rating on screening/interview by the College.
h. BS Tourism Management
1. Completion of ABM strand/TVL track Major in Home Economics program in Senior High School, or enrolment in the same program, if not yet completed.
2. Passed rating on screening/interview to be conducted by the College.
i. BS Agriculture, BS Forestry, BS Fisheries and Aquatic Sciences
1. Completion of any track or strand in senior high school or enrolment in the same program, if not yet completed.
j. Bachelor of Fine Arts and Design Major in Visual Communication
1. Completion of STEM / Pre Baccalaureate Maritime strand/Arts and Design track in Senior High School, or enrolment in the same program, if not yet completed.
k. BS Information Technology
1. Completion of STEM / Pre Baccalaureate Maritime strand / TVL track Major in Information and Communication Technology strand program in Senior High School, or enrolment in the same program, if not yet completed.
l. Technology Programs
1. Completion of STEM/ Pre Baccalaureate Maritime /GAS strand/TVL track in Senior High School, or enrolment in the same program, if not yet completed.
m. BS Business Administration, Entrepreneurship and Management Accounting
1. Completion of ABM strand program in Senior High School, or enrolment in the same program, if not yet completed.
n. B Public Administration
1. Completion of ABM/ HUMSS strand program in Senior High School, or enrolment in the same program, if not yet completed.
o. BS Hospitality Management
1. Completion of ABM strand/TVL track Major in Home Economics program in Senior High School, or enrolment in the same program, if not yet completed.
p. BA Communication and BA English Language Studies
1. Completion of GAS/HUMSS strand in Senior High School, or enrolment in the same program, if not yet completed.
q. BS Development Communication
1. Completion of GAS/HUMSS/ABM strand in Senior High School, or enrolment in the same program, if not yet completed.
r. Foreign students
1. Online interview with the Director for External Affairs, to be scheduled accordingly, with the interview guide and rubric
2. Academic Essay, to be assessed by the Dean and Program Chairperson of the College concerned, using a rubric
C. BATSTATEUCAT APPLICATION PROCEDURE
Section 8. Applicants shall observe the following procedure:
a. Fill out the BatStateU College Application form at the (https://dione.batstate-u.edu.ph/tao/#application).
b. Upload the scanned copy of Certification of Grades of applicant for the following subjects for each grade level.
i. Grade 10 - Mathematics, Science, English
ii. Grade 11, 1st semester (non-STEM) – General Mathematics, Earth Science and Oral Communication
iii. Grade 11, 2nd semester (non-STEM) - Statistics and Probability, Physical Science and Reading & Writing
iv. Grade 11, 1st semester (STEM) – Pre-Calculus, Earth Science, Oral Communication
v. Grade 11, 2nd semester (STEM) – Basic Calculus, General Chemistry I, Oral Communication
vi. In case of unavailability of the aforementioned priority subjects, the following alternative subjects may be considered:
**STEM Strand:**
- **English:**
1. English for Academic Purposes
- **Mathematics:**
1. General Mathematics
2. Statistics and Probability
- **Science:**
1. General Chemistry II
2. General Physics I
3. General Biology I
4. Disaster Readiness & Risk Reduction
**Non-STEM Strand:**
- **English:**
1. English for Academic Purposes
- **Mathematics:**
1. Business Mathematics (for ABM strand)
- **Science:**
1. Disaster Readiness & Risk Reduction
The Certification must be signed and certified correct by the Principal/ School Registrar, or equivalent school officer.
c. Wait for the confirmation from Testing and Admission Office (TAO); visit frequently the application tracker: (https://dione.batstate-u.edu.ph/tao/#/application).
d. Once the application is approved, Examination Permit will be issued.
e. Take the BATSTATEUCAT.
f. Wait for the release of the BatStateU College Admission test result; scheduled date of release shall be given by TAO.
g. For qualifiers, a Notice of Admission will be posted in the BatStateUCAT link: https://dione.batstate-u.edu.ph/tao/#/batstateucat/.
h. Wait for the enrollment schedule.
D. EVALUATION OF APPLICATIONS AND CRITERIA FOR ADMISSION PRIORITY
Section 9. Applicants shall be evaluated and ranked in accordance with the BatStateUCAT score (60%) and (40%) of the average in Math, Science and English for two years preceding graduation. Applicants are admitted to programs applied for based on rank subject to quota set or slots allotted per program by the University.
Section 10. Applicants shall be given three program choices they are interested in. If an applicant is not successful for his/her first choice, the process continues in order of priority of the remaining choices. Applicants who have not been selected for any of their chosen programs will be considered to programs with available slots.
Section 11. Applicants shall seek admission to the Campus nearest his/her place of residence where program applied for is offered. The University shall allow admitted students for accommodation in any other campus when programs are not available therein, as practicable.
Section 12. Applicants from different strand/track may be admitted to program applied for, after the admission of the qualified applicants with aligned track/strand, based on rank subject to available slots allotted per program by the University.
Section 13. Applicants from BatStateU Integrated School (IS) and Laboratory School (LS) shall be exempted in taking the BatStateUCAT and shall be automatically admitted to the STEM program of choice based on rank on their Final Grades in Math, Science and English. Applicants who do not meet the grade requirements will be reconsidered to non-board STEM programs.
E. AFFIRMATIVE ACTION PROGRAM (AAP)
Section 14. Iskolar ng Bayan Act (RA 10648), Act that provides automatic admission for Filipino public high school graduate in the Top Ten graduating class as provided by the Iskolar Ng Bayan Law of 2014. The law also requires the completion of other admission requirements of the University.
Section 15. Indigent applicants, ALS graduates, students with special needs (SSN), persons with disabilities (PWD), Iskolar ng Bayan and those belonging to the indigenous people/cultural communities shall be admitted to programs. The University shall allot 5 percent of the total slots or enrolments in programs to accommodate admissions of these applicants. The total number of slots for AAP may be increased based on the average recorded number of qualified AAP applicants and average total population of students in the university in last four academic years, and capacity of programs at the start of the current academic year. Potential for success in the program of each applicant shall be evaluated.
Section 16. Requirements for Admission under AAP. Applicants under AAP must submit the requirements, as follow:
a. Indigent students
a.1. Certification of indigency from their respective barangay of parent or guardian, if available
a.2. Certificate of Tax Exemption from BIR
b. ALS graduates
b.1. Certification of completion of ALS program, or enrolment therein, if not completed
c. Indigenous people
c.1. Certificate of Tribe Membership, or any equivalent certification as belonging to indigenous people/indigenous cultural community
d. PWD
d.1. PWD Identification card
e. Iskolar ng Bayan
e.1 Certification from the public high school, duly signed by the school principal, of the rank of the applicant in the Top Ten of the graduating (Grade 12) class.
Section 17. Procedures for Indigent Applicants under Programmed Admission shall be the same with other applicants.
F. NON-DISCRIMINATION POLICY
Section 18. The University provides access and does not discriminate qualified applicants regardless of race, religion, sexual orientation, gender identity, gender expression, disability or national origin or any other category protected by applicable law in the admission policies. This also applies to all rights and privileges, programs, and activities generally accorded or made available to students of the University.
G. CONDUCT OF BATSTATEUCAT
Section 19. BatStateUCAT shall be conducted as part of the ranking process as the University has had to limit slots for college admission to each campus and to its various degree programs.
H. INTEGRITY OF APPLICATION
Section 20. The applicant guarantees the completeness and accuracy of information disclosed or contained in documents submitted. Misrepresentation, falsification, and any form of dishonesty committed in relation to application for admission shall be sufficient ground for disqualification from admission to BatStateU.
V. IMPLEMENTATION, MONITORING AND EVALUATION
Section 21. The Office of the Vice President for Academic Affairs, Constituent Campuses, Colleges, and Testing and Admission Office shall implement, monitor and gather feedback on the implementation of these guidelines.
VI. EFFECTIVITY
Section 22. This policy and guidelines contained therein shall take effect immediately upon approval. Any provision hereof that may be in conflict with any existing laws, rules or regulations promulgated by higher authorities shall be deemed inoperative.
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The Colby Echo
Volume XV Waterville, Maine, June 5, 1912 Number 29
SIGILLUM COLLEGI COLBYANII
LUX MENTIS SCIENTIA
Published Wednesdays during the College Year by the Students of Colby College.
COLBY STUDENTS
WILL FIND
THE WARDWELL-EMERY COMPANY
A good place to buy Couch Covers, Draperies, Pillows, Stationery and Students' Supplies, Garments, Underwear and Hosiery for the ladies.
78-82 MAIN STREET WATERVILLE, MAINE
Hager's
Confectionery and Ice Cream. 113 Main Street.
We are still at the same old place and await your pleasure. If you have not tried us, do so.
Whitcomb's Market
81 Main Street Telephone 261
WRIGHT & DITSON
HEADQUARTERS FOR Athletic Supplies
College Students and Athletes who want the real, superior articles for the various sports should insist upon those bearing the Wright & Ditson Trade Mark.
Catalogue Free
Base Ball, Lawn Tennis, Golf, Basket Ball, Track and Field Sports, Foot Ball, Hockey
WRIGHT & DITSON
344 Washington St.
NEW YORK BOSTON
PROVIDENCE SAN FRANCISCO CAMBRIDGE
WATERVILLE STEAM LAUNDRY
145 MAIN STREET
JOHN WELLS, D. U. Ho. A. FOWLER, D. K. E. Ho.
Agents for Colby
Sidney A. Green Andrew B. Green
S. A. & A. B. GREEN
COAL
HARD AND SOFT WOOD, AND KINDLINGS
Waterville, Maine.
TELEPHONE, 30 OFFICE, 251 MAIN STREET
HENRY V. VIGUE
TRUNKS, BAGS and SUIT CASES . . .
151 MAIN STREET Opposite Am. Express Office
The Gerald
FAIRFIELD, ME.
F. H. HOAR, Manager
First class in all its appointments. Bath and Telephone in every room. Special attention given to
BANQUETS and PRIVATE DINNER PARTIES
The Equitable Life Assurance Society
of the United States
120 Broadway, New York
CHAS. A. ALLEN, Local Representative, 176 Main St., Waterville, Maine
Kennison & Newell
Painters and Paper-Hangers
Paper Hangings, Room Mouldings,
Paints, Oils, Varnishes and Glass.
76 Temple Street.
UNIVERSITY OF MAINE--College of Law
Maintains a three-year course, leading to the degree of LL.B. The degree of LL.M. is conferred after one year's graduate study. The faculty consists of five instructors and two special lecturers. Tuition $70. The Case system of instruction is used. The Moot court is a special feature. The College is registered with the Regents of New York State. For announcements containing full information address WM. E. WALZ, Dean, Bangor, Me.
G. S. FLOOD & CO.
Shippers and dealers in all kinds of
Anthracite and
Bituminous Coal.
Also Wood, Lime, Cement, Hair, Brick, and Drain Pipe.
Coal Yards and Office, Corner Main and Pleasant Streets
Down Town Office, S. E. WHITCOMB & CO.
Up Town Office, EDWARD McLAUGHLIN
Winslow Office, E. W. ALLEN
Plains Office, ARTHUR DARVIAU, 83 Water St.
Redington & Co.
... FOR ...
Furniture, Carpets, Crockery
Upholstering, Etc.
Silver Street, - WATERVILLE, ME.
Dr. H. W. Mitchell
DENTIST
Edith Building
163 Main Street Waterville, Me.
Office Hours, 8 to 12 a. m., 1 to 5.30 p. m.
The City Job Print
will continue to
"PRINT, PRINT AND DO NOTHING ELSE BUT PRINT"
Savings Bank Building, Waterville, Me.
Take the Elevator
Telephone 207
McALARY & JOSEPH
Ticonic National Bank
GEO. K. BOUTELLE, President.
HASCALL S. HALL, Cashier.
Transacts a general banking business.
ELECTRIC SUPPLIES
OF ALL KINDS
Central Maine Power Co.
141 MAIN STREET
Waterville, Maine.
L. T. BOOTHBY & SON CO.
INCORPORATED
GENERAL INSURANCE
176 Main Street, - Waterville, Me.
WE’VE EXPERT TAILORS
We pride ourselves on our ability to make CLOTHS, that meet the most exacting demands of the BEST DRESSERS. The clothes we make for you must fit your mind as well as your figure, or you cannot have them.
Step in and look at our EXCLUSIVE WOOLENS today—tomorrow may be too late. We guarantee to fit you. $15.00 to $40.00.
HEALD-ERVIN COMPANY
CLOTHIERS & HABERDASHERS
108 Main St., Waterville, Me.
A New ARROW Notch COLLAR
15c.—2 for 25c. Clnett, Penhady & Co., Makers
WE RECOMMEND
The WATERVILLE STEAM DYE HOUSE
Dyeing, Cleaning, Pressing
12 MAIN STREET.
Globe Steam Laundry
P. W. HUSSEY, Agent
A. T. Ω. House
“Mike” The Tailor
Let Mike make you a pair of Outing Trousers $5.00 and up.
MIKE THE COLLEGE TAILOR
The New Augusta House
WILBUR T. EMERSON, Manager
AUGUSTA, MAINE
Special Attention Given to Banquets
L. G. BUNKER, M. D.,
OFFICE HOURS: 8 to 9 a.m., 1 to 3 p.m., 7 to 8 p.m.
OFFICE: 50 Main Street, RESIDENCE: 44 Silver Street
TELEPHONES: Office 49-1; Residence 49-3
WATERVILLE, MAINE
COPELY SQUARE HOTEL
HUNTINGTON AVENUE, EXETER AND BLAGDEN STREETS
BOSTON, MASS.
Headquarters for professional, college, and athletic teams when in Boston.
360 Rooms 200 Private Baths
AMOS H. WHIPPLE, Proprietor.
Students Should Patronize the Echo Advertisers
COOMBS’ DAY.
June 24th is to be Coombs’ Day. John Coombs and his championship ’06 team will play the annual alumni game against the varsity. One new recruit will be added to the ’06 outfit. This is Lapp, at present with the Athletics. This battery, which has won several games in various world championship series, will be given a tryout in college ball. It is not expected that the Colby varsity team will hit them very hard.
Governor Plaisted and his staff will be present at the game. Moreover the Maine Central Railroad will have reduced rates so that Coombs’ friends and admirers may be present to make the greeting to him and Lapp on June 24th the greatest ovation ever given a ball player in the State of Maine.
BATES GAME.
A hard-fought game in a drizzling rain with the field in poor condition gave Bates a 2 to 1 victory last Saturday. Colby out-hit and out-fielded Bates but their few errors were directly responsible for Bates’ runs. Bates scored her two runs in the third inning after two were down. Colby had several chances to score but failed in all except the seventh, when Campbell crossed the plate for the only Colby tally and LaFleur was tagged at the plate on a close decision.
The summary:
| | ab | r | bh | po | a | e |
|-------|----|---|----|----|---|---|
| Good, cf | 5 | 0 | 2 | 2 | 0 | 0 |
| Bowker, 3b | 4 | 0 | 0 | 1 | 1 | 0 |
| Sturtevant, c | 4 | 0 | 0 | 8 | 2 | 0 |
| Reed, 1b | 4 | 0 | 0 | 12 | 1 | 1 |
| Fraser, 2b | 4 | 0 | 2 | 0 | 1 | 0 |
| Burroughs, rf | 4 | 0 | 0 | 0 | 0 | 0 |
| LaFleur, ss | 4 | 0 | 1 | 0 | 1 | 1 |
| Campbell, lf | 3 | 1 | 1 | 1 | 0 | 0 |
| Moore, xx | 1 | 0 | 0 | 0 | 0 | 0 |
| James, p | 4 | 0 | 1 | 0 | 0 | 1 |
| | ab | r | bh | po | a | e |
|-------|----|---|----|----|---|---|
| Ridlon, 2b | 3 | 1 | 0 | 2 | 3 | 0 |
| Regan, 1b | 3 | 0 | 0 | 8 | 1 | 0 |
| Talbot, cf | 3 | 0 | 1 | 0 | 1 | 0 |
Griffin, c ............3 1 1 9 0 0
Coady, 3b ..........4 0 0 2 2 1
Shepard, lf ..........4 0 2 0 0 0
Danahy, rf ..........3 0 0 2 0 0
Keaney, ss ..........3 0 1 4 0 3
Lindquist, p ..........3 0 0 0 3 1
Totals ...........29 2 5 27 10 5
Colby ...........0 0 0 0 0 0 1 0 0—1
Bates ...........0 0 2 0 0 0 0 0 x—2
x—Out, hit by batted ball.
xx—Batted for Campbell in ninth.
Two base hits, Griffin, Good. Sacrifice hits, Regan, Talbot, Bowker. Struck out, by Lindquist, 6; by James, 5. First base on balls, off James, 2. Stolen bases, Talbot, 2, Good. Double plays, Sturtevant to Bowker. Wild pitches, James. Umpire, Flavin. Time, 1.40.
MEMORIAL DAY OBSERVANCE AT COLBY.
Memorial Day was fittingly observed by faculty and student body as has been the custom the past few years. The parade formed at City Hall Square and marched to the campus, where the oration was given in Memorial Hall and the tablet dedicated to the Colby heroes was decorated by members of the G. A. R. Post.
In line as escort to the G. A. R., were the Sons of Veterans, United Spanish War Veterans, the Waterville Military Band, Co. H, N. G. S. M., faculty, alumni, and students of Colby College. The procession marched in a drizzling rain, and the streets were muddy. Andrew Young, '13, of Sangerville delivered the oration, and Ernest C. Marriner, '13, of Bridgton gave Lincoln's Gettysburg address.
Mr. Young's address was in part as follows:
"Another year has passed, and America comes to pay tribute—floral and verbal—to the memory of the noble dead. With the passing of each year, the sound of the drums, the roar of the cannon, and the tramp of the horses' hoofs grow fainter and fainter, while ever stronger growing is the golden bond of union and brotherhood.
Once, in the midst of turmoil and strife, the refrain ran:
"The Blue and the Gray came together one day,
And this is how it came true;
The boys in blue were gray with dust,
And the boys in gray were blue."
But now when the swords have been beaten into plowshares, and the spears into pruning-hooks, and when the breath of peace pervades the land, the refrain runs:
"The Blue and the Gray are together again,
But not in the self-same way;
The boys in gray are now true blue,
And the boys in blue are gray."
You, veterans, have listened in the past and will listen throughout this day to the sweet strains of the old patriotism which stirs your souls to their very depths—how father and mother parted with son; how wife and child bid goodbye to husband and father; how these sons of the father-land sacrificed their last drop of blood that these in chains and slavery might go free, and the Union be preserved.
It is fitting that we should meet once a year in this place—a place dedicated to the memory of some of those for whom this day is set apart—and consider their noble deeds, and express our words of praise. Their lives of devotion and sacrifice are a landmark which stands out prominently in the history of our college—a landmark which should ever be expressive to this generation of students of the highest ideals of patriotism and service. Their deeds remind us that they had a strong sense of right and wrong. It was for the cause of justice they fought; it was to remove a stain and curse, they died. They loved their country's flag and for its sake dyed it red with their own rich blood. Today, there is a call for a
new patriotism, born not of love of country but of love of countrymen.
Memorial Day will always be observed, but not much longer as it is now. The blue line of veterans is thinning fast. The time is near at hand when only a carriage load will appear in the parade, as the survivors of Washington's army appeared for the last time in 1842 to celebrate the completion of Bunker Hill monument. Yet, never will be effaced from our memories, nor will it be withheld from generations yet unborn, the story of the noble patriotism and valiant endeavors of the soldiers of the Civil War. They being dead, shall still speak.
FRESHMAN READING.
The finals in the Freshman Reading took place last Wednesday afternoon. The selections were interesting and well-rendered. The judges, Prof. Peek, Dr. Ashcraft, and Mr. Neff, awarded the first prize to Roger Putnam and the second to Daniel W. Ashley.
CHI GAMMA THETA.
The annual initiation and banquet of the sophomore society, Chi Gamma Theta, was held Saturday at Chi Gamma Theta Hall on the banks of the Messalonskee. The initiates were: Hazel Ross, Ruth Young, Mary Washburn, and Marion Steward from Delta Delta Delta; Ethel Chamberlain, Ruth Whitman, Marguerite Robinson, and Helen Hanson from Sigma Kappa; Amy Tilden, Merle Bowler, Ruth Goodwin, and Mildred Holmes from Chi Omega.
SIGMA KAPPA RECEPTION.
On Friday evening Alpha Chapter of Sigma Kappa tendered a formal reception to the members of the women's division, the ladies of the faculty, and the alumnae in town. In the receiving line were Mildred Ralph, '12, Dean Bass, Miss Alice Purington, Mrs. Cyrus Flint Stimson and Miss Mabel Dunn. Music was furnished during the evening by Messrs. Pratt, Greeley, and Colomy.
ORACLE ASSOCIATION.
A meeting of the Oracle Board was held last Saturday afternoon to draw up a slate of officers for next year. A meeting of the Oracle Association will be held Friday, June 14th, at which the following names will be voted on.
President, Irvin L. Cleveland, '13; treasurer, Milroy Warren, '14; secretary, Prince A. Drummond, '15.
MEETING OF THE ATHLETIC ASSOCIATION.
A special meeting of the Athletic Association was held in Chapel Tuesday morning to nominate a slate of officers for the Athletic Council. A committee was appointed to draw up a slate which is as follows:
President, Roy F. Good, '13; councilmen, George L. Beach, '13, and Frank D. Nardini, '13.
WOMEN'S DIVISION.
Florence S. Carll, Editor.
Ethel Gilpatrick, Business Manager.
Miss Lavinia Kent of Portland was the guest of Margaret Skinner, '12, last week.
Miss Grace Perkins of Kennebunkport is visiting Lucy Clough, '13, and Madeline Clough, '14.
Mrs. Geo. H. Hanson of Sanford spent last week with her daughter, Pauline Hanson, '13.
Ruth Manson and Marion Whipple, '15, were initiated into Chi Omega Wednesday.
Two years ago this spring six Colby track men met at Memorial Hall in a deadlock over the election of track captain. The next day the vote of the seventh letter man in college gave that election to Frank D. Nardini, of the Sophomore Class.
That election made track a major sport at this college. The team that elected him won twelve points at the M. I. A. A. Meet, with one exception the best showing ever made by Colby. The team that he captained won thirty, over twice as many as the college had ever won before.
The spirit, the loyalty, and the enthusiasm that he gave to make that team, every man in college was aware of. The rebuffs and slights that he endured, the sacrifices that he made and the heart he put into that team could only be appreciated by the few who were associated with him. How he coaxed along the disinterested men, how he talked enthusiasm into a college not interested in track, how he kept up the fighting spirit of his team, how he slaved on the field not only to do his own work but to fill the weak places in others, and how he even let his team mates beat him to give them encouragement, tell but little of his struggle to win a championship for his college.
Nardini this year by the voice of the whole college has been called upon to captain the track team again. To tell of the work and record as an athletic to Colby men would be a waste of paper. Everyone gives to Frank D. Nardini the hearty good will and support which his record as an athlete and true sportsman and his loyalty to Colby so richly entitle him.
Now at the close of the college year it seems to be probable that a Student Council will be organized and made ready to take its position among the activities of the college another fall. It is becoming an old story but the ECHO wishes once again to urge upon the college the value of the organization and to recommend that a prompt response be made to the proposal of the Senior Class.
THEY SAY.
That the rain interfered with Memorial Day plans.
That the freshman class meeting had the sophomores guessing.
That there will be one more issue of the COLBY ECHO.
FACULTY RECEPTION.
The last faculty tea of this college year will be given by the ladies of the faculty on Friday evening, June 7th, in Memorial Hall. The previous teas have been decided successes, and it is not premature to say that this one will eclipse all the others. Elaborate preparations are being made by the ladies of the faculty to ensure the success of this last social function of the year before Commencement.
HENRY K. TRASK, LL.D.
On May 18th occurred the death of Henry K. Trask, LL.D., of the class of '55. Upon graduating from college, he became principal of Bloomfield Academy for two years, and then for a number of years taught out west. He was for more than thirty years Principal of South Jersey Institute, Bridgeton, N. J., from which position he retired in 1900.
ATHLETIC COUNCIL.
The Athletic Council meeting Monday evening was chiefly devoted to a discussion of candidates for the managements of the baseball, track, and tennis teams. The council recommended the following men:
Manager of baseball, Raymond P. Luce, '14; assistant manager of baseball, Frank S. Carpenter, '14; manager of track, Seth F. H. Howes, '14; assistant manager of track, Crawford A. Treat, '15; manager of tennis, Andrew Young, '13; assistant manager of tennis, Harvey Knight, '14.
The council also recommended that the Athletic Association hold a special meeting to draw up a list of officers to serve on the Council for the ensuing year.
COLBY '15 VS. SKOWHEGAN.
The Colby Freshman team went down to defeat at Skowhegan Saturday before the hard hitting town team. To all appearances the game made fair to be close and exciting, but the home team soon showed their superior ability and won by the score of 10 to 2. The feature of the game was the admirable pitching of Dore of Skowhegan.
Colby '15........0 0 0 0 0 2 0 0 0 0—2
Skowhegan .......0 0 0 1 1 4 3 0 1 x—10
Mr. H. C. Libby delivered the Baccalaureate sermon before the graduating class of Freedom Academy last Sunday.
CAMPUS CHAT.
Coburn was defeated on Alumni Field last Wednesday afternoon by Waterville High School by a score of 10-3.
The A. T. O. baseball team defeated Oakland High School at Oakland with a score of 8-6.
Horace M. Pullen, '11, and Harry W. Kidder, '11, were callers at the Zete House Sunday.
J. Corey Richardson, '11, called at the D. U. House Saturday.
The Colby Orchestra will play for graduation at Freedom Academy Tuesday and Wednesday.
Harold W. Soule, '04, principal of the Middlesex School at Concord, Mass., visited his brother, Seymour Soule, '12.
Merle F. Hunt, '15, has gone home for a few days.
The A. T. O. Fraternity held an informal dance at the Club House Tuesday evening.
L. A. Keyes, '13, and E. C. Marriner, '13, led the Y. M. C. A. meeting at Oak Grove Seminary last Sunday evening.
S. C. Cates, '12, J. P. Kennedy, '13, and J. F. Pineo, '14, will compete in the Marathon to be held at Bangor, June 19th.
D. M. Young, '07, is visiting at the A. T. O. House for a few days.
Rev. H. C. Turner of the Methodist church, Waterville, spoke at the Y. M. C. A. meeting Tuesday evening.
Boston University Law School
Three year's course; advanced courses for the Master's Degree. College graduates are permitted to take the course for the Bachelor's Degree in two years, provided they obtain high standing. Special scholarships for college graduates. Address
Dean HOMER ALBERS, 11 Ashburton Place,
Boston, Mass.
Get a Clean, Happy Shave at VILBON POMERLEAU'S Sanitary Tonsorial Parlors 85 Main Street
University of Maine Summer Term June 26 to August 6, 1912 offers college courses for students to make up conditions in the following subjects: Chemistry, Domestic Science, Economics and Sociology, Education, English, French, German, History, Latin, Manual Training, Mathematics and Astronomy, and Physics. Advanced courses in these subjects may also be taken to count toward a degree.
For circular address ROBERT J. ALEY, PRESIDENT ORONO, MAINE
GEORGIE A. FALES Public Stenographer, Room 1, Edith Building Tel. 13-2 Special Rates for College Students.
PUBLIC STENOGRAPHIC AND TYPEWRITING WORK Miss Turner, Elmwood Hotel. Terms reasonable.
Pay Your Subscription
EMPLOYMENT OPPORTUNITY
The Boston Elevated Railway Company has a continually expanding business and therefore is always able to place desirable young men in its employment, especially in its car service or train service. June is a most favorable time for entering the service and affords a good opening for the self-supporting student. The opportunity for learning railway business is excellent, because the Company operates underground, elevated and surface lines. The Company pays the best of wages and has a system of annual reward and support in old age, which is unequalled. A man may earn more than $20 per week, but $12 per week is guaranteed.
Detailed information can be obtained as to this employment by addressing J. E. RUGG, Superintendent of Employment, 153 Milk Street, Boston.
THE ROYAL CAFE
ROBINSON & DAVISON, PROPRIETORS
ROCHESTER THEOLOGICAL SEMINARY
ROCHESTER, N. Y.
AUGUSTUS HOPKINS STRONG, D.D., LL.D., President
NINE PROFESSORS
EIGHT DEPARTMENTS
Old Testament, New Testament, English Bible, Church History, Theology, Christian Ethics (including Sociology) and Pastoral Theology Homiletics, Elocution, a Special Course in Christian Missions.
COURSES PARTLY ELECTIVE. Library Enlarged and Improved. New and Attractive Reading Room. New Dormitory.
In the German Department a Faculty of Five. Slavic Students admitted.
Rochester, a growing and progressive city of 250,000. Many varieties of religious and philanthropic work. Abundant opportunities for observation and practical experience. Privileges of the University of Rochester.
Address all correspondence to J. W. A. STEWART, Dean.
RAILROAD Y. M. C. A.
Membership Open to Colby Students
Privileges:—Bowling, 5c a string. Pool, 15c an hour.
Restaurant—Lunches at all hours, except from 10 to 11 a.m.
Horace Purinton Co.
Contractors AND Builders
Manufacturers of Brick
Estimates furnished on application.
Head office at Waterville, Maine
The Newton Theological Institution.
(FOUNDED 1825)
Eight miles from Boston (Mass.) State House, situated in superb grounds of 52 acres belonging to the institution.
An Eminent Faculty, Convenient Dormitories, Chapel, a Noble Library, an Unsurpassed Library Building and Equipments for Laboratory work.
Courses leading to B. D. degree, and special provision for post-graduate students.
The proximity of the seminary to Boston and Cambridge makes it easy for students to attend lectures by eminent specialists and the Lowell Institute courses.
There are many opportunities for engaging in missionary and philanthropic work by which students acquire clinical experience and contribute to their self-support.
Address GEORGE E. HORN, President, Newton Centre, Mass.
Miss Carrie C. Stemez
Fine Millinery
133 Main Street, Waterville, Me.
Canoes
CHASE
Gilman Stroot Bridge, Waterville, Mo.
JOHN N. WEBBER, Pres. J. F. PERCIVAL, Cashier
The Peoples National Bank
ACCOUNTS SOLICITED
TEACHERS WANTED!
We want 200 High School Principals and assistants for September Vacancies
Best Positions Highest Salaries
(Thirty-third year)
Maine Teachers' Agency
W. H. HOLMAN, Manager
Merrill Trust Co. Building
Bangor, Me.
The Fisk Teachers' Agencies
Boston, 7 Park Street
New York, N. Y., 156 Fifth Ave.
Washington, D. C., 1845 U Street
Orangeburg, S. C., 70 College St.
Chicago, 28 E. Jackson Blvd.
Denver, Col., 920 Central Savings Bank Building
Portland, Ore., 610 Swetland Bldg.
Berkeley, Cal., 2161 Shattuck Ave.
Los Angeles, Cal., 343 Douglas Bldg.
Send to any of above addresses for Agency Manual and Registration Form, FREE.
"ALWAYS LOOK FOR THE BEST YOU CAN OBTAIN IN THIS WORLD"
LOOK TO THE
DEPARTMENT DRY GOODS STORE
For the best obtainable Merchandise in Dry Goods, Hosiery, Underwear, Gloves, Notions, Garments, Suits, Furs, Millinery, Furniture, Draperies, Curtains, Rugs, Etc. A complete Fall line now ready for your inspection.
L. H. SOPER COMPANY
54-56 Main Street
THIS SPACE IS NO GOOD
to me unless it helps me get acquainted with the boys. You will always be welcome at
Wentworth's Music Store.
T. A. GILMAN
OPTOMETRIST AND OPTICIAN
92 Main Street
WATERVILLE, MAINE
E. W. LUQUES
Drug Store
55 MAIN STREET
The Waterville Cafe
OPPOSITE NORTH END OF RAILROAD STATION
Meals and Lunches at All Hours
CATERING FOR EVENING SPREADS
TAILORED SUITS
FOR
COLLEGE MEN
We cater to College Men in our Tailoring department.
We guarantee our suits to fit and please in every particular.
We show a large range of patterns and a variety of models to suit every taste.
We tailor suits to your measure from $15.00 to $40.00.
THE H. R. DUNHAM CO.
The Students' Store
We save you 40 to 75 per cent on a typewriter. All makes. Send for catalogue. We rent typewriters anywhere for $2.00 per month.
Augustus Perow, Bath Trust Co. Bldg., Bath, Me.
THE HEADQUARTERS FOR
SEA FOODS
IS AT
McCALLUM'S
PHONE 115-
MISSION FURNITURE
Fills the demand for students' use. We have selected strong values in weathered oak Mission Furniture for your needs. Always good values in DRAPERIES AND COUCH COVERS
ATHERTON FURNITURE COMPANY
81 MAIN STREET, WATERVILLE, MAINE
GREEN & WILSON
CIVIL ENGINEERS
139 Main Street
COLLEGE CATERING CENTER
E. L. SIMPSON
122 Main Street
J. H. McMAHON
LADIES' AND GENTLEMEN'S CLOTHING
Cleaned, Pressed and Repaired. Agent for Dundee Wooling Mill Co. Makers of Men's Clothing.
124 MAIN STREET
W. A. JUDGE
MAKES FINE PHOTO VIEWS
FILMS DEVELOPED AND PRINTED IN THE BEST STYLE
This is Just to Remind You that we have TYPEWRITER PAPER, POSTCARDS, BANNERS AND SUPPLIES OF ALL SORTS at THE COLLEGE SUPPLY STORE
F. A. HARRIMAN
JEWELER
52 Main Street, Waterville, Maine
COLBY MEMORABILIAS
COLBY PENNANTS
COLBY SEALS
BOOKS, STATIONERY and FINE ART GOODS
H. L. KELLEY & COMPANY
130 Main Street
Waterville, Maine
Coburn Classical Institute
Waterville, Maine
The Eighty-fourth Year will begin September 17, 1912.
For catalog and other information, address,
G. S. Stevenson, A. M.,
Principal.
COLBY STUDENTS
GO TO THE LARGEST DEPARTMENT STORE IN CENTRAL MAINE FOR
Hart Schaffner and Marx Clothes, Regal Shoes
Suits, Coats and Millinery
THE CORNER STORE
(OLUKEY & LIBBY COMPANY)
CUT FLOWERS
MITCHELL & CO.
FLORISTS
144 Main Street, Waterville, Me.
U-NEED-A-LUNCH
158 MAIN STREET
EUROPEAN PLAN
Everything in the Lunch Line
HENRY COTE, Prop.
Waterville, Maine
North End Market
Groceries, Tea and Coffee
E. McLAUGHLIN, 11 Maple Street.
THE EMPIRE RINK
The Best Equipped Rink
in the State
Sessions: 1.30 to 4.30, 7.00 to 10.00
WE CATER TO PRIVATE PARTIES FROM 4.30 to 7
S. L. PREBLE
66 Main Street, Waterville, Me.
College Photographer
KEYES FITTED
PHONOGRAPHS REPAIRED
WATERVILLE BICYCLE COMPANY
57 TEMPLE STREET
APPLETON INN
THE PLACE TO ENJOY GOOD HOME FOOD
BUTLER THE CATERER, Prop.
MAIN STREET
Waterville Typewriter Exchange
89 Main St., Waterville, Me.
All kinds of TYPEWRITERS to sell and to rent.
High Grade Supplies
Next door below W. & F Ry. Waiting Room.
DR. GORDON B. HATFIELD
DENTIST
GOLD WORK A SPECIALTY
Savings Bank Bldg., 173 Main St., Waterville, Maine
City Opera House
MOVING PICTURES AND VAUDEVILLE
COLLEGE MEN
The Crowfut-Knapp hats, Wachusett shirts and Arrow brand collars are hard to beat. Add to these the Mayer-Cincinnati line of clothes and you have a combination that cannot be equalled.
WALKER CLOTHING COMPANY
Up-to-Date Clothiers and Outfitters
To College Men
46 MAIN STREET
WATERVILLE, MAINE
NOEL & GIROUX
MOST FASHIONABLE HAIR DRESSERS
IN WATERVILLE
91 Main Street, in rear of electric car waiting room
Shoe Polishing and Parcel Check Room connected
GO TO THE
DORR DRUG STORE
For Reliable Drug Store Goods. Remember we make a Specialty of the Drug Business.
Three Registered Druggists
118 MAIN STREET
MEDICAL SCHOOL OF MAINE
Bowdoin College
ADDISON S. THAYER, Dean,
10 Deering Street, Portland, Maine.
The Specialty Store
Coats, Suits, Millinery, Corsets, Gloves, Waists, and Underwear.
Cloutier Brothers
TAILOR ED.
Makes SNAPPY, STYLISH SUITS
REPAIRING NEATLY DONE
Agents for Ladies' Suits
Day & Smiley Co.
Contractors and Builders
Jobbing Promptly Attended to.
Shops Opposite the City Hall. Front Street
The COLLEGE PRINTERS
Fairfield Publishing Company
PRINTERS OF QUALITY
|
Using Your Computer To Hear Our Troops, AM/FM, And Shortwave Broadcasts!
52 Pickup: How Many Of These Radio “Cards” Can You Catch? p. 6
Digital Scanning Is Here—And You Can Be Part Of The Action! p. 12
Spotlight: The RadioShack PRO-96 Scanner, p. 36
PLUS: Being Prepared—VHF/UHF Antenna Basics, The Ultimate Intercept, Building An FM Crystal Receiver, And Ham Radio Awards
Seeking to Achieve the Ultimate...
Ultra-Quiet 400 MHz High-Resolution DDS
1st IF 40 MHz / 3 kHz Roofing Filter Implementation
Quiet Triple Conversion Receiver Architecture
Variable RF filter (VRF) and "μ" Tuning Narrow RF Filter
IF WIDTH / SHIFT, IF NOT CH Filter Shaping Contour Control,
Super Multi-function 30 kHz/32-bit Floating Point IF DSP
Completely Independent Dual Receive system
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PASSPORT TO WORLD BAND RADIO 2005
A must have book for every worldband listener. Provides complete visual data on all SWBC stations. See at a glance: station name, location, frequency, modulation, power. Plus candid hard-hitting reviews on SW radios. World's #1 selling SW guide. Indispensable! 592 p. #1005 $22.95 $18.90
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Contents
POPULAR COMMUNICATIONS
Volume 23, Number 3 November 2004
6 The 52 Pickup Radio Challenge
Our Game Is Much Better Than Falling For That Age-Old Kids’ Trick—And A Whole Lot More Fun by Gerry Dexter
12 Digital Scanning: It’s New, Hot And You DO Have A Couple Of Options! by Ken Reiss
18 How To Listen To The World—With Someone Else’s Radio
There’s No License Required To Use The Internet And User-Controlled Online Tuners! by Jim Southwick, N7HFK
22 Be A November Nighthawk: Stay Up Late For Meteor Scatter Communications The Propagation Corner
28 Network Control Of Your Radio—Part IV Computer-Assisted Radio Monitoring
36 The RadioShack PRO-96 Scanner Technology Showcase
40 World News, Commentary, Music, Sports, And Drama At Your Fingertips World Band Tuning Tips
44 WYFR Expands…Again, Plus Catching Switzerland On Shortwave One Last Time Global Information Guide
52 Being Prepared: VHF/UHF Antenna Basics Homeland Security
56 The Ultimate Intercept—Part I, And Hard Lessons Learned Utility Communications Digest
62 Building An FM Crystal Receiver! The Wireless Connection
66 Three Years Later… Plane Sense
70 FM’s Secret Service: Storecasting, Transit Radio, Multiplexing, And Facsimile Shannon’s Broadcast Classics
76 Ham Radio Awards: The Challenge Is Yours! Ham Discoveries
80 Film At Eleven Loose Connection
Departments
3 Tuning In—An Editorial
4 Our Readers Speak Out—Letters
5 InfoCentral—News, Trends, And Short Takes
16 Washington Beat—Capitol Hill And FCC Actions
35 Survey Results & Questions
42 Power Up—Radios & High-Tech Gear
69 Trivia Corner
75 VIP Spotlight—Congratulations To Matthew Little of Morganton, North Carolina!
On The Cover
A soldier from the National Training Center at Ft. Irwin, California, radios battalion headquarters while on a desert training mission. If you have a computer connected to the Internet, all you need to hear distant signals from other countries, ground and in the air, foreign broadcasters, and even public service voice in distant states is this issue of PopComm. Check out Jim Southwick’s article on page 18, “How To Listen To The World—With Someone Else’s Radio.” Armed with this information along with the Coop’s ongoing series titled, “Network Control Of Your Radio,” you’ll be running your own User-Controlled Online Tuner in no time! (Photo by Larry Mulvehill, WB2ZBI.)
Visit us on the Web: www.popular-communications.com
The Sky Is Falling!
The end is coming. Pretty soon you won’t be able to monitor the cops and firefighters. And even if you could get a scanner capable of tuning those frequencies, it’d cost thousands of dollars, so it’s better to give up now and take up collecting rubber bands and paperclips. At least it’ll keep you busy for a few years.
Don’t you believe it for one moment!
It’s sad, but that’s what some folks in the radio hobby would have you believe. I remember hearing similar voices of doom and gloom way back when, before programmable scanners came along as public safety agencies continued the march to the UHF band. I was a lot younger then and certainly a lot more gullible, but even then the absolute certain demise of the radio monitoring hobby predicted by those days’ editors and movers and shakers didn’t make sense. And it doesn’t today.
What’s worse is for us to constantly hear from respected writers, editors, and well-placed amateurs about how the hobby is dying a slow death. This is really counter to what we need during these changing times—an adult sanity check and words that, as an old radio commercial said, “cools, cools, cools, rather than burns.”
Fact is, our radio hobby is indeed in good shape. Is it 1991? No, but then again, other than Elvis, nothing that I know of ever remains on the same high for very long. All things eventually plateau to what I call PFDE, or Post First Date Euphoria.
Remember your first dates with that special someone, how you spent day after day with that special person and you couldn’t see enough of each other, the endless phone conversations about how you miss each other—and you just left his or her house 30 minutes ago? In a few weeks, if your money held out and you didn’t make everyone around you crazy, you both eventually came down to earth to become “normal” again. I believe we’re currently at the “normal” stage of our radio hobby, both amateur radio and monitoring. Manufacturers continue to churn out radios, something that just wouldn’t be happening if they perceived a dead or dying hobby. It costs a whole lot of buckaroos to take any radio from the planning stage to production. Factor in the high cost of marketing and advertising and you’ve got a lot of money on the line. So one of the first gauges of the state of the radio hobby is very simple: new equipment is coming on the scene! From transceivers—in all sizes and price ranges—to new state-of-the-art digital and trunking scanners that those same negative-thinking pundits were sure would never happen five years ago.
I believe that the hobby here in the States is different than elsewhere in the world. It has to do with how we Americans inherently think about radio; we live in such a fast-paced TV world with the Tube and the Internet at our beck and call that radio becomes a secondary medium. Naturally that thought process carries over to the radio hobby itself.
Then there’s the clique-like way many radio hobbyists behave. Let’s face it, if we snub others until they’ve “paid their dues” with code requirements and bombard newcomers with long-winded on-air discussions about “the good old days when things were different and you earned a license…” how welcome does that make them feel? This is the best hobby in the world; we’ve got such tremendous resources today that were only dreamed of a few short years ago, from computers and high-tech radio wizardry to software programs that run much of our equipment. Yet all too often I hear of, and personally observe, fellow hobbyists engaging in behavior that’s best left to the grade school cafeteria or study hall.
There are those folks who will point to diminished attendance at hamfests as “evidence” of the doom and gloom scenario. Hogwash. At most hamfests that I attend, folks are buying—and many are buying big time. At one recent show, two major dealers were so busy taking orders they hardly had time for a hot dog lunch! One could certainly argue that business could be better, but then again only a business fool would think otherwise. We can always do better; after all, isn’t that what business is all about? I’d be lying if I said all shows are experiencing a boom in sales and attendance is good. I’ve also personally seen some hamfests go from near-national extravaganzas to mere shadows of what they once were. Why? I don’t have all the answers, but do have a few observations.
Bickering and turf wars are two reasons. Club X wants a show on a specific date, but Club Y has a show five miles away on the following weekend. Instead of combining both shows into a fairly large event that might attract more vendors, tailgaters, and attendees, they’ll fight and claw each other almost right up to the event, until one or the other (or both!) cancel the show, leaving vendors and attendees thinking the hobby is in a tailspin. Nothing could be further from the truth, of course.
Frankly, if there’s anything wrong with the hobby it’s something that’s always been wrong with it: too many half-baked opinions serving up nonsense soup that only gets folks thinking negatively and fuels the Chicken Little syndrome. It’s high time we stepped back for a moment, took a deep breath, and thought about professional ways in which to promote the radio hobby to grassroots America. It’s high time we began to think, act, and talk positively and professionally about our radio hobby. Remember, if Joe Six-Pack keeps hearing negativity from the radio camp—just like when politicians keep hammering away accentuating the negative over the positive—before long Joe won’t think about radio, period. And that, my friends, would really burn!
Each month, we select representative reader letters for “Our Readers Speak Out” column. We reserve the right to condense lengthy letters for space reasons and to edit to conform to style. All letters submitted must be signed and show a return mailing address or valid e-mail address. Upon request, we will withhold a sender’s name if the letter is used in “Our Readers Speak Out.” Address letters to: Harold Ort, N2RLL, SSB-596, Editor, Popular Communications, 25 Newbridge Road, Hicksville, NY 11801-2909, or send e-mail via the Internet to email@example.com.
Memories Of Tristan
Dear Editor:
I received my September issue of Pop’Comm several days ago. Let me say, thanks for the good service! I was reading the article about Tristan da Cunha by Manfred Rippich. It was very interesting and brought back memories of my shortwave days. I used to be quite active in shortwave and was a member of nine SW clubs. I logged 195 countries. One of my DX targets was Tristan. This was in the 1980s and they still had a SW station. Well, I didn’t log the shortwave station but I DID log Andy Repetto [a cartographer and employee at Tristan Radio] on 20 meters, I believe. I was thrilled. I did get it on cassette tape (if I can still find it). I used to record DX and station IDs, especially if the noise level was high, to play back for positive ID.
What shocked me about hearing Andy in Tristan was that it was noon here in Oklahoma and he had a GOOD signal!
Gary Hickerson
Fort Wayne, Indiana
Dear Cheryl:
It’s tough to respect such so-called leaders when they spew forth all kinds of lies and disinformation. I think it’s incumbent on everyone who cares about our hobby and country to file official comments with the FCC on this issue (and others, of course!), otherwise those in the Big Chairs will think it’s okay to behave badly, much like they probably did as children when no one told them “No!”
Cheryl DiSimone,
Lansing, Michigan
Fighting BPL: An Idea
Dear Editor:
I was just listening to “To the Best of Our Knowledge” on the local NPR outlet and had a thought about a potential source of help in BPL: Radio Astronomy, and particularly SETI. They were interviewing the head scientist with SETI and he noted that the Earth is only getting more crowded with QRM. Perhaps this could help the fight against the UPLC (United Power Line Council), despite that organization’s lack of intelligent comments, at least in public.
I also noted the preposterous $5,000 cost of principal “membership” in the UPLC!
C. Hejkal
Uncle Bill’s Problems
Dear Editor:
Oh boy, I’ll bet the UPLC is all fired up about your September “Tuning In!” Your points about the aging electrical utility equipment, arrestors and other pole hardware, surely must have hit a nerve. Speaking of nerve (and stupidity), like you observed, where does Moroney get his information, talking about radio operators using ancient equipment? Once again, you hit the bull’s-eye! Thanks for a great magazine.
Cheryl DiSimone,
Lansing, Michigan
Dear Cheryl:
It’s tough to respect such so-called leaders when they spew forth all kinds of lies and disinformation. I think it’s incumbent on everyone who cares about our hobby and country to file official comments with the FCC on this issue (and others, of course!), otherwise those in the Big Chairs will think it’s okay to behave badly, much like they probably did as children when no one told them “No!”
Just Who Is Shannon?
Dear Editor:
I’ve been reading Pop’Comm for 15 years and, as the hobby has changed, you have changed with the times. Thank you for working on behalf of all radio hobbyists. I for one really appreciate your efforts! One thing bothers me, though. Many years ago Alice Brannigan wrote the old-time radio column and then she supposedly took a hiatus as you said a while back. But it sure looks and sounds to me like Shannon Hunwitt is Alice. It’s not that I mind, but why would she change her name?
Gerald Brownlee
Sacramento, CA
Dear Gerald:
I hate to disappoint you, but Shannon isn’t Alice—and no, they’re not twins. Alice is into chocolate donuts, coffee, and an occasional New York pretzel; the younger Shannon is a tea person, works out regularly, and wouldn’t eat a donut if Bill Price personally delivered it to her.
POPULAR COMMUNICATIONS
EDITORIAL STAFF
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(E-mail: email@example.com)
CONTRIBUTING EDITORS
Rich Arland, K7SZ, Homeland Security
Peter J. Bertini, K1ZJH, Restoration/Electronics
Bruce Betti, AM/FM Broadcasts
Joseph Cooper, Computer Assisted Radio
George L. Dexter, Shortwave Broadcast
Steve Douglass, Utility Communications
Bill Hoefer, KB9ULJ, Aviation Communications
Shannon Hunwissel, Classic Radio
Kirk Kleinschmidt, NT0Z, Amateur Radio
Thomas Hood, NW7US, Propagation
D. Prabakaran, Radio News
Bill Price, N3AVY, Humor/Communications
Laura Quarantiello, Legislative Affairs
Ken Reiss, Technical/Scanning
Bob Sturtevant, Radio Trivia
Gordon West, WB6NOA, Radio Resources
BUSINESS STAFF
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Offices: 25 Newbridge Road, Hicksville, NY 11801 Telephone (516) 681-2922 FAX (516) 681-2953 Web Site: http://www.popular-communications.com Popular Communications (ISSN 0733-3310) is published monthly by CQ Communications, Inc. Periodical class postage paid at Hicksville, New York and additional offices. Subscription price: $49.95 per year in U.S. dollars. Two-year price: one year $98.95, two years $151.95, three years $214.95. Foreign Air Postage: one year $104.95, two years $151.95, three years $214.95. U.S. Government Agencies: Subscriptions to Popular Communications are available to agencies of the United States government, including military services, only on a cash-with-order basis. Requests for bulk rates, contracts, etc. will be refused and will not be returned or processed.
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NASB To Add To DRM's North American Broadcasts Schedule
The Washington, D.C.-based National Association of Shortwave Broadcasters (NASB), a Digital Radio Mondiale (DRM) member since 1999, will started sending DRM transmissions into North America in July. The NASB programming will be sent from the Sackville, New Brunswick, transmitter site of DRM member Radio Canada International/CBC, and will reach the Eastern United States and Canada. The NASB’s members are 19 privately owned, U.S. licensed, shortwave radio stations. Its associate members include non-U.S.-licensed broadcasters, manufacturers, and others.
DRM broadcasts of the following DRM members are also available in North America: BBC World Service; Deutsche Welle; RCI; Radio Netherlands; Swedish Radio International; and Radio Vaticana. DRM transmissions of China Radio International, Radio Kuwait, and TDP Radio (a commercial, dance mix station from Belgium) also reach North America. For the latest DRM Live Broadcasts Schedule, visit www.drm.org.
NASB will transmit the program “Voice of the NASB” via shortwave to North America on Saturdays, starting at 17:00 UTC, at 11900 kHz. “Voice of the NASB” is a half-hour variety series jointly produced by various NASB members and associate members. It comprises documentaries, travel reports, mailbag programs, religious dramas, music, and station profiles. NASB has been sending DRM transmissions to Europe since 2003 via the Rampisham, England, transmitter site of DRM member and NASB associate member VT Communications.
“The success of our DRM broadcasts to Europe via VT Communications has proven to us beyond any doubt the tremendous capabilities of DRM to transmit programs with FM mono quality and with no fading, static, or interference,” said Jeff White, outgoing NASB President and Producer of “Voice of the NASB.” “We now look toward our home turf of North America, and we are delighted to bring DRM programs to listeners in the U.S. and Canada in the coming months with the help of CBC.”
“The NASB broadcasts are a great addition to the growing range of DRM content available in North America,” says DRM Chairman Peter Senger. “We applaud NASB’s participation, and we invite broadcasters from around the world to join in providing radio listeners with DRM’s superb clarity and excellent reception.”
DRM’s founding members joined forces in 1998 to create a digital system for the broadcasting bands below 30 MHz. The consortium has expanded to include 82 members from 27 countries. DRM is the world’s only non-proprietary, universally standardized, digital on-air system for mediumwave, shortwave, and longwave. DRM gives broadcasters the capability to enhance new or existing audio programs with complementary text and also enables broadcasters to wrap speech in multiple languages around a single music stream, extending the reach of existing audio content.
More than 60 broadcasters worldwide have begun DRM transmissions, including international, national, local, commercial, and public broadcasters. A second-generation DRM consumer receiver, MAYAH’s DRM 2010, is already on the market, with the launch of a variety of DRM products coming soon. DRM’s Live Broadcasts Schedule and additional information are at www.drm.org (English), and the DRM Koordinations – Komitee Deutschland website (German) is at www.drm-national.de.
From Scotland: Radio Six International Starts Daily Shortwave Service
Radio Six International has just launched the world’s first-ever regular daily service from Scotland on shortwave for listeners in the United States, Canada, and Western Europe. They’re broadcasting from the facilities of WBCQ (“The Planet”) in Maine, on 5105 kHz between 2300 and 2400 UTC.
Strike At Pan-African Broadcaster Africa Number 1
The personnel of Pan-African broadcaster Africa Number 1, based in Libreville, Gabon, started an unlimited strike on July 15. All categories of the staff—journalists, technicians, administrative—are taking part in the action. According to the president of the Trade Union of Africa Number 1, Jean-Claude Miyindou, the personnel went on strike because the negotiations begun on July 2 had reached deadlock.
A minimal service made up of some news bulletins was set up, but all the normal programs were suspended, affecting the relays of Radio France International and NHK-Radio Japan. As we go to press we’re told that the management and personnel have reached an agreement to end the strike. Assistant General Manager of the station Michel Koumbagoye said that management has agreed to all the points raised by the strikers. The trade unions and the management were due to sign a document in front of Gabonese Prime Minister Jean-François Ntoutoume Emane.
APCO Launches Call To Action
The Association of Public-Safety Communications Officials (APCO) International has launched a Call to Action on Voice over Internet Protocol (VoIP) Enhanced 9-1-1 (E9-1-1) asking members of the public safety communications community to help ensure that the needs and concerns of our telecommunications and their agencies are considered in future congressional action on this issue.
In April, Rep. Charles Pickering (R-Miss.) and Sen. John Sununu (R-NH) introduced the “VoIP Regulatory Freedom Act of 2004” in their respective chambers. As stated in the text of the bill, the purpose of the Act is “to provide a clear and unambiguous structure for the jurisdictional and regulatory treatment for the offering or provision of Voice over Internet Protocol applications, and for other purposes.” In its current form, the bill provides for the establishment of “voluntary” standards for VoIP E9-1-1 services. The absence of any form of regulatory framework would allow VoIP providers to choose to simply notify their customers that they will not have traditional 9-1-1 services. The rapid proliferation of this new technology under these circumstances could create an immeasurable step backward for
(Continued on page 78)
We’ve all been victims of that old kids’ card trick that goes like this: “Wanna play 52 Pickup?” says the guy holding a deck of cards.
“Okay.”
And the cards fly into the air and flutter to the floor. You know who gets to put things back together!
We’ll, we’ve got a somewhat different version for you here, and we guarantee it will be more fun than reassembling clubs, spades, diamonds, and hearts neatly back into a stack. Our version involves manning your shortwave set to see how many of the following “cards” you can catch. It’s a collection of not real-easy, but not super-impossible, targets you can chase, report to, and maybe even QSL. We’ll even be nice enough to give you a reception hint or two as we go along. So, if you’re ready, let’s get going.
**Ace of Spades**—Radio Huayacacotla, Mexico, **2390**. is a pretty difficult catch, especially since it runs only around 500 watts, not to mention its low, low frequency which further adds to the problem. The station normally runs to 0100 sign off, and most logs seem to occur during the 0000 to 0100 period. Reports to: Apartado Postal 13, 92600, Huayacacotla, Veracruz, Mexico. E-mail: firstname.lastname@example.org.
**Two of Spades**—Trans World Radio, Swaziland, **3240**. This one is on from 0300 to 0345 using various vernacular languages. Their 25-kW transmitter often makes it to North America during above average African conditions. Reports to: P.O. Box 64, Manzini, Swaziland. E-mail: email@example.com. They are pretty good in the QSL department, too, bless ‘em.
**Three of Spades**—Radio Educacao Rural, Campo Grande, Brazil, **4754**. This 10-kW station is one of the steadier Brazilians on 60 meters. It helps that you have two shots at it each day: local evenings and again in the early morning hours, when stations from Latin America are at their best on the lower bands. Reports (and it helps, if you have a Portuguese form or cover letter) to: Avenida Mato Grosso 530, Centro, 79002-230, Campo Grande, MS, Brazil. No known e-mail.
**Four of Spades**—Radiodiffusion du Benin, **4870**, from sign on at 0530. A caveat here: This (and other) African broadcaster tend to come and go a lot so there may be periods when this station simply isn’t active on this frequency. Reports to: B.P. 366, Cotonou, Benin. E-mail: firstname.lastname@example.org.
**Five of Spades**—Meteoroloji Sesi Radyosu (Voice of Meteorology Station), **6900**. This interesting station broadcasts weather reports and Turkish music beginning with their daily 0500 sign on. Not often reported, but still active and definitely one you can add to your log. Reports to: T.C. P.K. 401, Ankara, Turkey. E-mail: email@example.com.
**Six of Spades**—Voice International, Darwin, Australia. This is part of the Christian Voice group (also Chile and Zambia) and **7245** is just one of several frequencies they employ at various hours. 7245 is scheduled to fire up at 1300, and reception chances on this band would likely be best during winter months at this hour. Reports to: P.O. Box 1104, Buderim, Queensland 4556, Australia. E-mail: firstname.lastname@example.org.
**Seven of Spades**—Radio Sultanate of Oman, **9515**. Oman, with its 100-kW transmitters always seems as though it should be an easier snare than it really is. 9515 tends to be a busy area, so Oman’s 0400 sign on can be tough to pull in. Another option on the same band is **9740**. Reports to: Ministry of Information, P.O. Box 600, Muscat 113, Sultanate of Oman. E-mail: email@example.com.
**Eight of Spades**—Radio Polonia, **9525**. Poor Poland. Limited facilities and focus makes them quite hard to pick up in North America, although there’s some hope that the station may be refurbished and expanded in the future. That doesn’t help us now, though. 9525 signs on at 1250 with 100 kW to Western Europe, with English at 1300. Reports to: Office of Telecommunications Regulation, Rozyckiego 1C, PL-51-608, Warsaw. E-mail: firstname.lastname@example.org.
Queen of Spades—Nei Menggu People’s Broadcasting Station, Hohhot, Inner Mongolia, China. One of the Inner Kingdom’s many shortwave outlets serving a specific region, this one uses 4000, and your best chance of finding it is around your local sunrise. Broadcasts are in Chinese and local languages. Reports to: 19 Xinhua Darjie, Hohhot, Nei Menggu 010058, China. Getting a direct reply may be difficult so going via the QSL department at China Radio International is probably a better bet.
King of Spades—Radio Misiones Internacional/HRMI, Comayaguela, Honduras. Operated by IMF World Missions in California, this station carries some blocks of English language religious programs along with lots of Spanish. It’s on 5010 and/or 3340. The broadcasts normally run until 0430. Reports to: Apartado Postal 20583, Comayaguela, Honduras. E-mail: email@example.com.
Ace of Hearts—Radio Uganda, 4976 can usually be turned up from its 0300 sign on, on a decent “African night.” It’s just as likely to be heard with its “Blue Channel” service (4976 is “red”) on 5026, both using 10 kW. Most of the programming is in English. Reports to: P.O. Box 7142, Kampala, Uganda. E-mail: firstname.lastname@example.org
Two of Hearts—Armed Forces Network, Guam, carries the AFRTS service 24 hours a day on either 5765 or 13362, both upper sideband, and is often fairly well heard, especially if you live in the Western part of North America. Reports to: Naval Media Center, NDW, Annacostia Annex, 2713 Mitscher Rd., SW, Washington, D.C. 20373-5819. E-mail: email@example.com.
Three of Hearts—RTV Congolaise, Brazzaville, Congo Republic. It’s always a bit of a jolt for an old timer like yours truly, who used to be able to tune in either of the Congos like they were local stations, to realize they qualify as DX catches these days. Months go by with no notice of them, and then we hit a period where one or both are fairly regular. That is the situation as this is written. “Radio Congo” has been appearing on 5985, an area you’d think would be blocked much of the time. But, that’s not the case, at least at its 0430 sign on. During the winter months you can also find it prior to its 2330 sign off, all in French. Reports to: B.P. 2241, Brazzaville, Congo Republic. E-mail: firstname.lastname@example.org.
Four of Hearts—Vatican Radio. A snap you say? Well, maybe not via the Philippines! This broadcast is on 6020 in Chinese from 1230 to 1315. Reports to: 00120 Vatican City. E-mail: email@example.com.
Five of Hearts—Voice of Guyana. 5950, is a tougher position than the 90-meter outlet on 3291, but not by all that much. The 49-meter frequency is most frequently heard during insomniac hours (0800 or so), while 3291 sometimes makes it through during the evenings, as well as the early hours of the morning. Reports to: P.O. Box 10760, Georgetown, Guyana. Unfortunately, there’s no e-mail.
Six of Hearts—Lao National Radio. 6130, now we’re talking challenge! This one makes it through only on rare occasions, but may hold for several days running when it does happen. Look for it in the early morning hours (it signs on at 0900) in Lao. Reports to: B.P. 310, Vientiane, Laos. E-mail: firstname.lastname@example.org. (LNR is not a great verifier).
Seven of Hearts—Solomon Islands Broadcasting Corp., 5020 qualifies as one of the easier targets on this list. You’ll find it most mornings from around 0800, often carrying blocks of BBC programming. Reports to: P.O. Box 654, Honiara, Solomon Islands. E-mail: email@example.com.
Eight of Hearts—Defense Forces Broadcasting Station, Taunggyi, Myanmar, a.k.a. Burma. This 10-kW military broadcaster is a bit irregular in its activity, and, even when it is on, it doesn’t always make it all the way to North America. Now and again, though, someone checks 5570 and finds a signal. Broadcasts are in Burmese and local languages. To our knowledge, no address has ever been found for this station, so it follows that there are no known QSLs either! If you want to have a go at it anyway just use the station name and city, but don’t hold your breath after you’ve mailed the letter!
Nine of Hearts—Republic of Sudan Radio, this is another station that hides in the tall grass for months at a time and then reappears for all to hear, which is the case at this writing. Just check 7200 from 0200 sign on. Programming is in Arabic. Reports to: P.O. Box 572, Omdurman, Sudan. E-mail: firstname.lastname@example.org.
Ten of Hearts—Scandinavian Weekend Radio, Virat, Finland. This pirate broadcaster manages to make itself heard, in the East at least, on the one weekend per month (the first) during which it is active. It only runs 500 watts, so it’s a challenge no matter where you live. If it’s not using 11690 try it on 11720. The broadcast runs around the clock. Reports to: P.O. Box 35, FIN 40321, Jyvaskyla, Finland.
Jack of Hearts—Radio Southern Highlands, Mendi, Papua New Guinea. One of a number of PNG regionals, this one (not always active) is on 3275, with the usual combination of English and Tok Pison (Pidgin), often in between U.S. country-western records. It’s best heard around your local dawn during the spring and fall months. Reports to: P.O. Box 104, Mendi, Southern Highlands Province, Papua New Guinea. No e-mail.
Queen of Hearts—Radio Nacional, Angola. 4950. Considering its listed 15 kW, this one makes it through surprisingly often, usually around 0300 or later. Programming is all in Portuguese. Reports to: C.P. 1329, Luanda, Angola. E-mail: email@example.com.
King of Hearts—Radio Varna, Bulgaria. This tourist information service airs seasonally (summers) and on UTC Sunday/Monday only from 2100 to 0300 on 7400 in Bulgarian. Our evenings, of course, will offer the best opportunity. Reports to: 22blv. Primorsky, 9000 Varna, Bulgaria. E-mail: firstname.lastname@example.org.
Ace of Clubs—Radio Centrafrique, Central African Republic, 5035 is another one of those French Africans you have two shots at each day. During the winter you may catch them up to their sign off at 2300. Winter, summer, whatever—their 100-W signal often shows up at 0430 sign on. Everything’s in French. Reports to: B.P. 940, Bangui. No e-mail.
Two of Clubs—Radio Kamchatka Rybutskaya, Petropavlovsk-Kamchatka, Russia. This one is reminiscent of the old Soviet Union’s Tikhy Okean service; it’s intended for Russian fishermen plying the Pacific. It’s slightly less in evidence than Tikhy Okean used to be, though, as it airs Sundays only (Saturday evening in North America) from 0000 to 0100 on 5910. Reports to: GTRK Kamchatka, ul. Sovetskaya 62, 683000 Petropavlovsk-Kamchatkii, Russia. E-mail: email@example.com.
Three of Clubs—Radio Nigeria, Kaduna, 4770. This is one of Nigeria’s regional shortwave services, as opposed to The Voice of Nigeria international service, and can’t be considered as a daily visitor. They sign on at 0430 (sometimes 0500) in English. Reports to: P.O. Box 250, Kaduna, Nigeria. No e-mail.
Four of Clubs—Radio Apinte, Paramaribo, Surinam. This anemic broadcaster is your only option if you want to bag this country. It appears to be a bit irregular. There’ll be a flood of logs and then nothing for long periods. Keep a watch on 4991 up to 0300 or 0400 and you may turn up with it one day! Reports to: Postbus 595, Paramaribo, Surinam. E-mail: firstname.lastname@example.org.
Five of Clubs—Radio Melodia, Bogota, Colombia, 6140. Recently reactivated, this 5-kilowatt is often the victim of a squeeze play, jammed up next to the powerful Deutsche Welle on 6145. Its Spanish language programming runs to 2330 but is sometimes extended into the evening hours. Reports to: 19823, Santa Fe de Bogota, Colombia.
Six of Clubs—Radio Pyongyang, North Korea, 6250. Not the more easily heard “Voice of Korea” international service, but the NK regional service beamed at East Asia. This one should make an appearance many mornings sometime prior to their 1130 sign off. Reports to: Ministry of Posts and Telecommunications, Pyongyang, Democratic People’s Republic of Korea. (Don’t hold your breath!) No e-mail.
Seven of Clubs—Namibian Broadcasting Corporation, 7215. NBC has been only spottily active in the last couple of years, so trying for this one could be a waste of time. Watch for a 0600 (or slightly later) sign on with programming in Afrikaans, English, and German. Reports to: P.O. Box 321, Windhoek 900, Namibia. E-mail: email@example.com.
Eight of Clubs—Radio Naylamp, Lambayeque, Peru. This pipsqueak station runs only half a kilowatt from its perch on 4335. On any given evening (to 0330) your chances are perhaps one in fifty, but you’ll have better odds as an early bird checking the frequency around 0930. Reports to: Avenida Andres Avelino Caceres 800, Lambayeque, Peru. No e-mail.
Nine of Clubs—Radio Lesotho, 4800. Although its status is currently irregular, when it’s awake you shouldn’t have too much difficulty picking this one off. Check the frequency for its 0300 sign on. Reports to: P.O. Box 532, Maseru 100, Lesotho. No e-mail.
Ten of Clubs—Faro del Caribe, San Jose, Costa Rica, 5054. Once upon a time, TIFC was a well and widely heard broadcaster. But time has taken its toll on the “Lighthouse of the Caribbean” and today it’s more of a challenge. Its 5-kW transmitter is active up to 0400, with the last hour in English. Reports to: Apartado 2710, San Jose 1000, Costa Rica. E-mail: firstname.lastname@example.org.
Jack of Clubs—Radio Burkina, Burkina Faso, 5030. Radio Burkina must have been graced with a new transmitter a year or two back because signals suddenly took a big leap for the better. Check for their French language broadcasts from 0500 sign on, or during the winter season, late in the afternoon running until 0000. Reports to: B.P. 7029, Ouagadougou, Burkina Faso. No e-mail.
Queen of Clubs—The Voice of the Tigray Revolution, 5500. This station comes on the air at 0400, after the broadcast of the Voice of Peace and Democracy program ends. Based in Ethiopia, both broadcasts oppose the Eritrean government. Reports to: P.O. Box 450, Mek’ele, Tigray, Ethiopia. No e-mail.
King of Clubs—Xizang People’s Broadcasting Station, Lhasa, Tibet, China. This Chinese regional service has several outlets. This one runs 100 kW and should create the makings of an interesting chase on 5935 around 1200. Reports to: 180 Beijing Zhonghu, Lhasa, Xizang 850000, China. (Don’t talk about wanting to “QSL Tibet” or imply that Tibet is a separate country!) No e-mail.
Ace of Diamonds—Radio Cima Cien, Santo Domingo, Dominican Republic. Even with 60 meters often comatose in the evenings, this one will occasionally appear on 4960, often with abbreviated IDs. All in Spanish, of course. Reports to: Apartado 804, Santo Domingo, Dominican Republic. No e-mail.
Two of Diamonds—Galei Zahel, Israel. The Israel Defense Forces Station is active around the clock with programming in Hebrew. In North America it’s most often reported on 6973 during our evening hours. An alternate frequency is 15785. Reports to: Military Mail No.01005, Israel. E-mail:email@example.com.
Three of Diamonds—Voice of the Broad Masses of Eritrea. Once a clandestine supporting Eritrea in its war with Ethiopia, this is now the official voice of Eritrea. It uses 100 kW and is on the air from 0300 on 7100, broadcasting in local languages. Reports to: Ministry of Information, Radio Division, P.O. Box 872, Asmara, Eritrea. E-mail: firstname.lastname@example.org.
Four of Diamonds—Radio Amazonas, Puerto Ayacucho, Venezuela, 4940. That frequency is slightly variable and so is the consistency with which this one is heard. A morning check, around 0900, will bring success more quickly than evening attempts up to the listed 0400 closing. Reports to: Avenida Simon Bolivar 4, Puerto Ayacucho, Venezuela. No e-mail.
Five of Diamonds—The Voice-Africa, Lusaka, Zambia. Part of the Christian Voice broadcast group, this station uses 4965 with 100 kW. But even with that kind of power it doesn’t make regular appearances in most shocks. Check it up to 0300 closing or try late afternoons in the winter months. Reports to: Private Bag E066, Lusaka, Zambia. E-mail: email@example.com.
Six of Diamonds—All India Radio, Port Blair, Andaman Islands. The Andaman Islands are considered a separate “radio country” on some lists, so this one is worth some extra effort. Your best shot is during their 1145 to 1230 segment on 4760 or when they return at 1245, though 60 meters may be on its way down and out by then, depending on where you are on the calendar. Be careful of Radio
Kashmir, from Leh, India, which is on the same frequency. Reports to: Haddo Post, Ditanipur, Port Blair 744 102, South Andaman, Andaman and Nicobar Islands, Union Territory, India. E-mail: firstname.lastname@example.org.
Seven of Diamonds—Radio El Buen Pastor, Saraguro, Ecuador. This one will likely take some serious effort, as it does not make too many evening appearances on 4815 (variable). Somewhat better chances exist if you try them at their 1100 sign on. Reports to: ACIS, Reino de Quito y Azuay, Correo Central, Saraguro, Loja, Ecuador. No e-mail.
Eight of Diamonds—Radio Nacional, Bata, Equatorial Guinea. Check 4926 or 5004 (they seem to alternate) at 0500 for this one’s sign on. Like so many stations, reception seems to run in streaks so there may be long stretches where you won’t hear anything on either channel. Reports to: Apartado 749, Bata, Rio Muni, Equatorial Guinea. No e-mail.
Nine of Diamonds—AFN, Pearl Harbor, Hawaii. Another Armed Forces Radio–AFN Network station running non-stop. Check 6350 or 10330 (both in USB) and it shouldn’t take many tries to shake this one loose. Reports to: Naval Media Center, NDW Anacostia Annex, 2713 Mitscher Rd. SW, Washington, D.C. 20373-5819. E-mail: email@example.com.
Ten of Diamonds—RTV Guineenee, Conakry, Guinea, 7125. What’s the line from the nursery rhyme? “When she was good she was very, very good.” That’s been the case with Guinea over the last year or so. Check for their 0600 sign on and chances are good that you’ll hear them on the first or second try. All in French. Reports to: B.P. 391, Conakry, Guinea. E-mail: firstname.lastname@example.org. (Warning: This station is the pits when it comes to providing QSLs. The only answers recently have been via e-mail reports.)
Jack of Diamonds—Radio UNAMSIL, Freetown, Sierra Leone. This is the United Nations station for this bloodied country. Once in a while, its 1 kW on 6137.8 makes it over here. Programs are in English and run around the clock. Best times here seem to be late at night. Reports to: P.O. Box 5, Freetown, Sierra Leone. E-mail: email@example.com.
Queen of Diamonds—Radio Balbarte, Puerto Iguazu, Argentina. You won’t find this an easy pick off but give it enough checks and you should be able to log it, though it has been operating irregularly of late. It’s on 6215 with 1 kW running Spanish and Portuguese programming to 0300 sign off. Reports to:
Casilla de Correo 45, 3370 Puerto Iguazu, Argentina. E-mail: firstname.lastname@example.org.
King of Diamonds—Radio Republic Indonesia, Makassar, Sulawesi, Indonesia. If there were an Indonesian on 60 meters one could designate a regular, this would be it. That doesn’t mean reception is a daily event, but it shouldn’t require too many checks to turn it up. The frequency varies around 4753 and you need to be on site a half hour or so plus or minus your local sunrise. Reports to: Jalan Riburane 3, Makassar 90111 Sulawesi Selatan, Indonesia. No e-mail.
Well, we haven’t quite got things cleared up yet. Don’t forget, there are two jokers in every deck!
Joker #1—Overcomer Ministry, Walterboro, SC. Brother Stair is relayed by Julich as well as some other outlets. Try 1400 to 1600 on 21590. (If only we could “overcome” him!)
Joker #2—University Network. Dr. Gene Scott is all over the deal, via KIJ and the Caribbean Beacon in Anguilla. Both are a bit too easy. Try the broadcast via Samara, Russia, on 17765 from 0400 to 1700. Reports? Don’t bother. Dr. Gene does not QSL. (Although the individual stations, such as the Caribbean Beacon, will).
And that gets them all. Now all you need to do hear them—and let us know how you did!
Now go get a rubber band so this mess doesn’t happen again! Good luck!
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Digital Scanning!
For years the most horrifying words to a scanner enthusiast were “our system is going digital.” Yikes! For a very long time it meant that the system you had listened to for years was about to be gone! In some areas that left fast food drive-throughs, the Family Radio Service, and the National Weather Service to listen to.
The nature of scanning is such that consumer equipment lags behind commercial gear. If you think about that for a minute (Harold might have to think longer, but we’ll wait…) it makes perfect sense. Until the commercial gear gets into the market and the users actually start using it, there’s nothing there for a scanner enthusiast to listen to. Nor is it likely that the scanner manufacturers will know what to make next, as a lot of the equipment evolution can’t be predicted. Then there are the actions of the FCC in reallocating frequencies here and there.
“Way back when, as I was getting started in scanning, it was the 800-MHz band that was the great threat.”
Way back when, as I was getting started in scanning, it was the 800-MHz band that was the great threat. There were no scanners or receivers anywhere on the consumer market for that band. Before that, it was 450 to 470 MHz that required special equipment. Most of the crystal-controlled scanners from the early ’70s didn’t include any UHF coverage, which required a separate scanner (and more crystals to get the frequencies you needed, plus a special antenna for these newfangled short wavelengths). Boy, we sure will put up with a lot to listen to this stuff. (Just as an aside, 470 to 512 didn’t come around until many years later and was called the UHF-T band—T for Television—from which the frequencies were stolen…er…reallocated. They were only available for public safety use in areas where the normal public safety frequencies were full, and there were no television channels operating in that range.)
Trunking was the next big “Oh No!” If a system went to trunking, you could probably still listen (provided you had one of those relatively newfangled 800-MHz scanners) but you weren’t going to be able to follow conversations very well. You’d also probably have to listen to the parking police, the street department, and anything else that was on the trunking system, while you looked around for those interesting bits of transmissions and then try to piece together what was happening.
All sorts of techniques were developed to help, including using two radios and playing with the order in which you put the frequencies into channels. But, in the end, you really had to sit there with your finger on the scan button as the radio stopped on transmissions that you weren’t interested in. Most people gave up in frustration. That was until the mid ‘90s when the trunktracker radios began to appear. Then there was a learning curve period where we found out about things like fleetmaps and talkgroups, and suddenly, you could listen to your local trunked system just like it was conventional. Unfortunately it took a number of years to get there, and I imagine we lost many scanner enthusiasts in the meantime. But we did get there, and if you stuck it out, or have just joined us, trunking systems today are a lot of fun once you figure out what’s happening.
Digital Scanning’s Demise?
The next big thing was digital. And digital is scary. I can’t begin to count the number of letters and e-mail’s I’ve received over the years about digital and the demise of scanning as we know it. To be honest, there is some ground for concern. Digital,
taken at face value, is just another way to send the voice over the radio, like FM or AM. But digital, because it’s computer controlled, can also do other things, like scramble comms.
Early digital systems were very proprietary. No manufacturer of commercial equipment wanted anyone else to have its formula for digital, and several also had ways of encrypting the digital signal for added security. In fact, the early work done on digital modulation was for that purpose—securing communications. You’ve probably heard of DES (data encryption standard) and DVP (digital voice privacy) encryption that’s in use by many federal agencies and some state and local ones also.
However, the industry suffered some backlash as users began installing these systems. The problem was that once you had bought a Brand X radio, you HAD to always buy Brand X as no other system could work with it. This was great for the radio manufacturers, but not so good for the competitive bidding process required by government agencies. What was needed was a standard, a way that everyone could agree on and that every manufacturer could build equipment to match. That way, you could buy different radios next time and they would still work with your old stuff, as long as the standard was met.
You may also have heard of APCO-25 radios. APCO-25 is the standard for digital modulation that has evolved, and an APCO-25 radio just means that it uses...
Once you have all that information loaded into the program, the center function will go back and cause all of your text tags to be centered within the line. This sounds like a minor thing, but it can be very annoying when you’re using the radio and have to figure out the exact character count yourself. It’s very tedious.
WIN-96 takes care of this task for you.
One very useful function is to locate duplicate entries. Of course, you may have entered them on purpose, as I have here because some frequencies just belong in more than one bank. This can be a terrific memory management tool (particularly with 3,500 channels to manage!) and a great timesaver. Note that it only finds dupes within the current active memory list, not across the entire V-Scan folder list. (A V-Scan “folder” is a virtual storage drawer where a user can stuff all the programming information for one city or area, while getting another “folder” out to play with.)
If you’d rather have a range entered into memory for you, there’s the Fill Frequencies function. Make sure you have the correct starting frequency and step rate or you’ll wind up with memories full of incorrect or very quiet frequencies.
Frequency Of The Month!
Each month we ask our readers to let us know what they’re hearing on our “Frequency Of The Month.” Give it a listen and report your findings to me here at “ScanTech.” We’ll pick a name at random from the entries we receive and give the lucky winner a free one-year gift subscription, or extension, to Pop’Comm.
Our frequency this month is **153.875**. Have a listen and let us know what you hear. Be sure to put the frequency in the subject of your e-mail or on your envelope or your mail will get misfiled and not entered.
Send your entry, or any questions, to me at email@example.com, or to Ken Reiss, 9051 Watson Rd. #309, St. Louis, MO 63126.
The virtual scanner manager is where you can choose which of the V-Scan folders to upload and download, as well as get an overview of what’s in your scanner now. Once read into the computer, each V-Scan folder becomes its own file and can be saved for later use or edited and re-downloaded to the scanner.
If you own a PRO-96, you should go to www.radioshack.com and follow the links for support, then download and scroll until you get to the PRO-96. There you’ll find this Firmware updater that helps fix several issues in the original scanner’s firmware. The updater makes quite a point of telling you that you cannot render your scanner inoperable with this process and you can revert to the old version at any time if you don’t like it. It seems to help a bit with clarity on some digital signals, as well as with a few other minor bug fixes.
While reviewing the PRO-96, it became obvious that computer-assisted programming was by far the preferable option for entering all the data and alpha tags by hand. A quick look around found only one program appearing on a regular basis: WIN-96. WIN-96 is distributed as shareware and is easy to try out for a few days if you have a PRO-96. You can download a copy at www.starrsoft.com. It’s a one-radio program, however, so there’s no need to bother if you don’t have a 96.
This is a story best told by pictures, so read the captions to get a feel for how this great program works. Registration is a very reasonable $30, and there’s a 30-day fully functioning demo. If you have a PRO-96 you should really check out this finger saving software!
As technology changes in our radio hobby, it’s a sure bet that manufacturers will change with it, coming out with new high-tech radios that will keep radio enthusiasts at the cutting edge of monitoring. We’ll continue to help you stay abreast of these developments right here at “ScanTech.”
As usual, I’m always interested in your monitoring experiences and whether you’re in an area that uses trunked comms, or even digital. E-mail me at firstname.lastname@example.org or write to Ken Reiss, 9051 Watson Rd. #309, St. Louis, MO 63126.
Until next month, good listening!
Nextel Gets Spectrum
The Federal Communications Commission has granted Nextel Communications a 10-MHz swath of spectrum in the 1.9-GHz range in exchange for returning airwaves in the 800-MHz band to public safety groups. Nextel will also have to set aside $2.5 billion to cover costs public safety groups might incur while making the switch. Legal challenges are expected by Verizon Wireless, which says FCC officials could face criminal charges for giving the airwaves in exchange for money. The wireless industry expressed disappointment, “Giving up such valuable spectrum without a public auction means the U.S. Treasury is losing billions of dollars. Those funds could’ve been used to provide public safety with money to make much-needed improvements in the vital care it provides us,” stated Steve Largent, President and Chief Executive of the CTIA (Cellular Telecommunications And Internet Association).
Tracking Rover
The uses for wireless technology never end. One new technology is the Global Pet Finder, a miniaturized Global Positioning System (GPS) device attached to a dog’s collar. GPS can track an animal’s position and notify its owner via wireless handset when the pet goes beyond preset boundaries. The software will give the owner the address where the pet is or directions to the animal. Currently the Global Pet Finder is available for all dogs, excluding toy breeds, and is expected to be available for cats next year. The receiver costs approximately $300 with an estimated monthly monitoring fee of $13/month. It’s a small price to pay to keep track of Rover.
Cell Phones In Flight
Qualcomm has announced that the first wireless call aboard an American Airlines jet was a success. Qualcomm tested its code division multiple access (CDMA) technology from 25,000 feet. Overall, calls were generally good, although like ground-bound service, some calls were dropped. Don’t be in a hurry to whip out your phone while cruising the friendly skies just yet, however. Currently the FCC bans the use of wireless devices aboard commercial airlines. Qualcomm will spend two years testing and studying whether signals interfered with the jet’s system.
Narrowband Proposal
All federal operations in the 150.05- to 150.8-MHz, 162- to 174-MHz, and 406.1- to 420-MHz bands will transition to 12.5-kHz narrowband channels as of January 1, 2005, and January 8, 2005 (depending on the band). Unfortunately, there are some non-government users (PLMR) operating wideband (more than 12.5 kHz) within these bands that may be impacted by the transition. The FCC has proposed amending Parts 2 and 90 of the Commission’s Rules to revise the transition plan for PLMR licensees in the affected spectrum (ET Docket No. 04-243). Specifically:
• Incumbent licensees on the Hydro, Forest Fire-Fighting and Conservation, Public Safety, and Medical Radiocommunication Systems channels may continue to operate on existing wideband channels until 2013 (for non-public safety entities) and 2018 (for public safety entities), but licensees in the Hydro, Forest Fire-Fighting and Conservation, and Public Safety bands must modify or discontinue operations if, at any time after January 1, 2005 (for the 162- to 174-MHz band), and January 1, 2008 (for the 150.05- to 150.8-MHz and 406.1- to 420-MHz bands), they cause interference to new Federal operations.
• New Forest Fire-Fighting and Conservation and Public Safety stations in the 162- to 174-MHz band, as well as new Medical Radiocommunication systems at 163.25 MHz, must operate using narrowband equipment no later than January 1, 2005; and new Medical Radiocommunication systems operating at 150.775 MHz and 150.790 MHz must begin using narrowband equipment no later than January 1, 2008.
• Licensing of Medical Radiocommunication Systems at 150.7825 MHz and 150.7975 MHz will cease, and the incumbent stations on these two channels will be grandfathered indefinitely.
• Hydro operations in the 406.1- to 420-MHz band will be included in the transition plan to 12.5-kHz channels and the Rules will be revised by adding 23 channels to the Hydro Channel Plan and deleting six channels in order to make it consistent with the NTIA’s (National Telecommunications and Information Administration) Hydro Channel Plan.
• A timeline for new Hydro channels to begin operating on narrowband channels will be established, along with a transition procedure for incumbent operators on the six Hydro channels that will be removed.
• The FCC will seek comments regarding narrowbanding the channel used for Stolen Vehicle Recovery Systems (SVRS), which the rules authorize for wideband operations and which is used by only one operator, the LoJack Corporation.
• The list of radio astronomy observatories and the associated areas where prior coordination for fixed operations is required will be modified, as will the power limit for stations in the fixed and mobile services in order to better protect the radio astronomy service (RAS) in the 406.1- to 410-MHz band.
UK Hospital Wireless Ban
Updated guidance from the UK’s Medicines and Healthcare products Regulatory Agency could lift current bans on wireless phone use in hospitals. In a 2003 study by the agency, only 4 percent of hospital devices experienced interference from wireless devices one meter away, with only 0.1 percent showing serious effects. The agency’s new report suggests hospitals should consider creating designated areas for wireless phone use, such as entrance halls, corridors, and cafeterias. The agency now suggests that the use of wireless phones could be more beneficial to patients since it enables better communication between doctors.
The Short Vertical Antenna and Ground Radial
by Jerry Sevick, W2FMI
This small but solid guide walks you through the design and installation of inexpensive, yet effective short HF vertical antennas. With antenna restrictions becoming a real problem, this book could keep you on the air!
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Keys, Keys, Keys
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McCoy on Antennas
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Heathkit - A Guide to the Amateur Radio Products
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VHF Propagation
A Guide For Radio Amateurs
by Ken Neubeck, WB2AMU & Gordon West, WB6NOA
Finally, a comprehensive sourcebook on VHF propagation by two of the industry’s finest authors!
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Understanding, Building & Using Baluns & Ununs
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Classic Calendar
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Ham Radio Horizons: The Video
Getting Started in Packet Radio
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How To Listen To The World—With Someone Else’s Radio
There’s No License Required To Use The Internet And User-Controlled Online Tuners!
by Jim Southwick, N7HFK
Have you thought about getting a shortwave radio to listen to distant stations, whether broadcast, pirate radio, or ham radio? Maybe you’d like a scanner to cover a broad range of frequencies and modes. In theory, it sounds quite easy to just purchase a radio and start listening. The problem is, as we all know, the radio is only as good as the antenna system it’s connected to. This is an additional cost and hassle many fail to take into account. It can even be prohibitive, depending on your location and limitations. And if you want to listen to a broad range of frequencies in various modes (for example, AM, SSB, FM, CW, etc.), the cost for these receivers can be fairly steep.
The UCOT (User-Controlled Online Tuners)
Fortunately these days, you don’t need to worry about the radio or the antenna system if you have a computer connected to the Internet. Even a dial-up line will work fine. Welcome to the world of the user controlled on-line tuners, which we’ll refer to here as simply UCOTs. Essentially, with a UCOT someone has already gone through the trouble and expense of buying the receiver and antenna system, along with the software needed to make it available through the Internet. This allows you to tune the radio in real time, as if you were sitting right in front of it. Of course, the down side is that you may have to share this radio with other users, but you’ll find that you often have a radio to yourself at various times throughout the day and night.
Are There Many UCOTs Around?
Although these public on-line systems have been around for some time in various formats, they have never really taken off because they’re expensive to set up, run, and maintain. So,
although there are sites coming on-line now and then, many other older sites have ceased to exist or have gone private. Also many of the remaining sites have gone to a pay status in order to recoup some of the costs of running the systems.
The good news is that there are some long-time sites still offering full access to the public and, yes, they are completely free. And many of these free sites are actually superior to the paid sites, as they are offered by ham radio operators who share their radios and antenna systems and who enjoy providing the service for free. My site, jimandleah.com, was started on just that premise (I’ll also list other sites to check out later in this article).
**What Kinds Of UCOTs Are There?**
There are various software “styles” of on-line radio systems. Some of the oldest programs have been written privately and have a more “manual” feel, meaning they don’t provide real-time feedback, such as signal strength or graphing and chat capabilities. You basically enter the frequency and mode and then listen. However, the station quality is very good on the sites I’ve seen that use their own written software. The others, as we’ll see, provide a host of information to the user in real time.
Two of the most popular public versions that provide real-time feedback and are very easy to use are JavaRadio (www.JavaRadio.com; see also DXTuners.com) and VisualRadio (www.VisualRadio.de). Both versions almost never require you to download anything and will usually work as soon as you access the page. They also offer real-time chat rooms so users can converse and share thoughts while using the tuners. The chat window is a great place to meet people with common interests.
The JavaRadio network consists of many radios worldwide (mainly in Europe) and is very user friendly for the on-line listener and rich with features. You can tune many parameters of the radio, get signal strength, access a directory of stations, and chat. The sites on JavaRadio feature exclusively the ICOM PCR100/1000 receivers. Basically the network offers a free service, but a user can “upgrade” their free account and use more sophisticated radios/sites at more exotic locations. There are also a couple of sites that feature very elaborate antenna systems, which alone are worth the cost of admission, especially if you’re into TV and FM radio DXing.
The VisualRadio network is primarily for commercial users, but on their main webpage at the very right is a click-on for “The Radio Servers” and “Advanced Web Receivers,” which are free—no demo, no time limits, etc. VisualRadio also tells Pop’Comm that in the near future it may be offering other online receivers for non-commercial users (radio enthusiasts!) for about $250.
This network supports any type of computer-controlled radio on the serving end and offers two different formats: Java (although they are not JavaRadios) and Active/x. The VisualRadio Java format basically gives you tuning capability, an S meter, and a chat room. It is quite basic compared to the feature-rich format of JavaRadio. However, the Internet user downloading the free software (available on the main site or my site) can take advantage of the Active/x functions of VisualRadio, which gives exclusive advanced features like signal versus time graph, DX cluster, and a sophisticated display spectrum. The latter allows you to view a group of signals simultaneously for a segment of the band you’re listening to and then choose the signal you want by just clicking on the graph.
Now let’s move on to the actual operation of a UCOT once you get there.
**Online Etiquette**
The first and foremost rule on any public UCOT is to ask before tuning! This is simply done by typing “May I tune?” in
the chat room. Even if you think you’re the only person on the radio, the actual owner of the radio may be using it at the time. This is just a common courtesy, and you’ll find that someone will yield the control to you in almost all cases. If you experience problems with this, the owner of the UCOT will certainly want to hear about it. When the system is busy, you may enjoy just listening to what others users are tuning.
**Get To Know The System You’re Using!**
Each system is unique. Some may be designed for listening to VHF and UHF; others may be designed mainly for listening to the HF spectrum. It doesn’t do any good if you’re tuning for WWV and the UCOT only has an antenna good for UHF. A simple inquiry in the chat window will usually get a response from those familiar with the system. Often the webpage will tell you a lot about the UCOT and what it does.
Since the majority of UCOTs are ICOM PCR1000s, you’ll be able to tune from 100 to 1300 MHz (cellular excluded) and use all modes (CW, FM, USB, LSB, and AM). This is a lot of frequency spectrum. The type of antenna the owner has installed will be pretty obvious depending on where you tune. Many owners have chosen to use a discone antenna, which gives decent coverage of the VHF/UHF spectrum (50 to 1200 MHz), but really falls short on the HF spectrum (0 to 30 MHz). Because I’m a ham radio operator, I already had the antennas in place for the receiver. For my online tuner, I primarily use a tower-mounted inverted V with a 45-foot apex, giving me fairly broad coverage across the HF spectrum. I also use a tri-band beam at certain times of the day. For the higher frequencies, I feed the receiver simultaneously with a UHF/VHF Yagi. This would be a disaster on transmit, but fortunately, in this case, we don’t have to worry about that when combining antennas. For even better performance from this combination, you can purchase a splitter, which minimizes the effect of one antenna detuning the other.
**Who Uses The UCOTs?**
The UCOT’s lend themselves to a host of applications. Ham radio operators often use the receivers to see if they’re being “heard” at the host site and, if so, to determine their signal strength. This is very useful for getting real-time feedback on band conditions and audio quality. Other users listen to the air traffic control broadcasts. Many of these broadcasts are carried on shortwave radio, so a good UCOT can pick up these signals for hundreds or even thousands of miles. With various sites that allow a listener to watch the progress of a plane in real time, you can actually follow flight of a loved one from origin to destination, all in real time, an aspect of the hobby that grew out of 9/11. Still others like the public service broadcasts in the VHF/UHF spectrum. Unfortunately many of these have gone to a trunking system, which is not available on the UCOTS.
Some people enjoy late-night AM broadcast radio DX. If a site has a decent antenna for the low portion of the HF band, it will generally work quite well for AM DXing. A few JavaRadio sites actually feature large antenna arrays, allowing users to listen to tropospheric ducting, meteor scatter, and other interesting conditions that mainly affect the VHF portions of the bands. These are usually people who just enjoy general listening across the bands, whether for checking out the local FM radio stations or armchair shortwave listening.
**Setting Up Your Own Public UCOT!**
Setting up a public UCOT can be an expensive endeavor, but believe it or not, a few people have set up tuning and transmitting capability UCOTs (though these systems are beyond the scope of this article). You can, however, fairly easily set up a receiving UCOT. Your receiver won’t be much of a service, though, if it doesn’t have decent reception or is very limited, such as offering AM mode only. Word spreads fast and you’ll find your site is only good as a chat room for you and your friends.
JavaRadio has the advantage of the software being free. The downside is that it requires a Linux OS-based system, which most computer users are not set up for or familiar with. If you are, though, you’re are in luck! Remember, you’re limited to an ICOM PCR100/1000 receiver with this software, so you’ll need that before you even get started. You can go to...
www.JavaRadio.com for more details about what is involved and how you can get started.
VisualRadio has the advantage of working with the Windows OS format and practically any type of ham radio/receiver that can be controlled by computer. Many people, especially hams, already have radios that can connect to their computers. The downside here is that the company no longer sells the software for the basic amateur. Instead this software is marketed for commercial users, so while it offers the sophistication of a commercial release, it is well beyond what most basic users would ever need—and so is the price. However, as of the date of writing this article, I am told they are considering offering it again to the “amateur” user at a substantially reduced price. I have operated a VisualRadio UCOT for over two years now and found the software very flexible with many features. The Java format is straightforward and easy to use. However, connecting to the Active/x format offers a whole new world in online radio features. You can go to www.VisualRadio.de or my site for more information.
Another format being used is RATS by Kingsmith Software (http://www.kingsmith-software.com) This is also feature-rich and can be run with Windows Net Meeting. The software is inexpensive, but accessing it is not as easy and straightforward as VisualRadio and JavaRadio, and only one person can use it at a time. A site located in Hong Kong has set one up under this format at http://vr2ht.tripod.com.
Last but not least, if you can write your own software—and many people have chosen to do just that—one of the oldest self-written sites (it’s been operating since 1995) is still available at www.chilton.com. There is also a fairly complete list of most of the UCOTS in existence at the DX Zone site at http://www.dxzone.com/catalog/Internet_and_Radio/Online_Receiver.
Setting Up The Audio
The other aspect designing a UCOT is, of course, providing the audio. This is a biggie as it can require large upload bandwidth if you’re going to offer decent audio to many people simultaneously. There are various encoding styles you can choose from, but suffice it to say, a full-time high speed connection is practically mandatory.
JavaRadios mainly use Real Audio as their encoder and VisualRadios mainly use Windows Media Encoder. Both formats are available for free from the Web. I am currently able to stream simultaneously to about 25 people using Windows Media Encoder, but because I sometimes exceed this number, I also stream the audio through live365.com. This can allow practically unlimited simultaneous listenship at a very high bit rate, but also requires a monthly fee from the UCOT owner, depending on how many streams you want to provide for free or for a membership fee from the listener. If your site gets to this point, you are definitely doing this as a labor of love; you may want to at least ask for donations to offset the cost a little. Just be aware that your outlay is going to far outweigh any money coming in.
If you do set up your site and work to provide a free quality service, however, you’ll find that the rewards include meeting a lot of great people who take almost as much pride in your UCOT as you do. You may even find someone sets up a forum if you attract a group of loyal listeners who enjoy your system. For example, the Midnighthams.com forum was started by a group of dedicated individuals who frequented my site and continue to do so.
Other Useful Services You Can Provide
You can even go the extra mile and provide other services that practically guarantee people will enjoy visiting your site. One of the neatest things I’ve seen was listeners actually using the on-line radio, in conjunction with software on their computers, to view SSTV (Slow-Scan TV) pictures. If you’re not familiar with the term, these are pictures transmitted by hams that can be viewed on your computer with the proper software. A UCOT lends itself to this perfectly, so I feature an automatic picture viewing system on my site that doesn’t require any software on the listener end. The listener only needs to tune the radio to the SSTV signal itself (usually 14.235 kHz), and the software on my end will automatically capture the image and upload it to my site. The auto ftp upload software is generously available for free from John Benedict, KE5RS, at www.ke5rs.com. This has been a popular aspect of my site that, amazingly, other on-line tuners to date have not incorporated.
Providing a chat area is also beneficial. Because your listeners have a lot of common interests, you’ll get all kinds of ideas to institute. Feedback is guaranteed if you choose to chat with them!
UCOT—a Try It!
So whether you are only interested in using a UCOT or setting one up yourself, you will find that it’s really a hobby in itself, one that’s still a pretty well-kept secret from the general public. The UCOT numbers are still relatively small, but many of them lie dormant waiting for someone to log on. It’s my hope that the word will get out about how useful and fun these are, both to listen to and to operate yourself. Give it a try.
Be A November Nighthawk: Stay Up Late For Meteor Scatter Communications!
Did you see the Perseids? Did you hear any FM, TV carriers, or Amateur Radio VHF (6- or 2-meter) signals? On August 12, 2004, I had the opportunity to drive out to an open location where my family and I could see the whole sky. The weather was perfect—clear skies and mild temperatures, with the moon staying below the horizon until the early pre-dawn morning hours. Our location had no light pollution. I took with us a 2-meter four-element Yagi and a mobile vertical 6-meter antenna. The visual meteor shower became nicely active after 10 p.m., though there were periods of nearly no activity. But whenever the rate increased, there were some larger and longer-duration meteors, called “grazers,” that elicited a few exclamations from family members.
I tuned around on both bands, hoping to hear some meteor-scattered signals from amateur stations. I heard a few Puget Sound stations fishing for meteor scatter contacts (known as “meteor scatter mode,” abbreviated, “MS”), but during the entire time I monitored, there were only two or three short and a few nearly impossible contacts. The Puget Sound stations were aiming their high-gain beam antennas toward the south, hoping to catch stations south of Washington State which were pointing their beams northward.
I did hear some tropospheric ducting contacts, some from California, working into the Puget Sound area of Washington State. These were somewhat weak and existed mostly on the lower VHF frequencies (6 meters). I heard one amateur radio operator make a comment that the Perseids were a worn-out comet trail. He postulated that since the Earth has plowed through the trail for so many centuries, there are simply very few larger dust particles left, let alone small chunks of debris. Hence, the sprinkling of minute comet dust is all we’ll get, and those particles are just too small to really provide the sort of ionization necessary to propagate amateur radio signals. One needs to have large, slower moving grazers, leaving very large ionized trails, in order to refract VHF signals.
The Perseids have been one of the more impressive yearly showers, partly due to the time of year in which they appear. August is typically a great time of year to lie out on a soft lawn,
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**The Ap Index And Understanding Propagation Terminology**
The Ap index, or Planetary A index, is a 24-hour averaging of the Planetary K index. The Planetary K index is an averaging of worldwide readings of Earth’s geomagnetic field. High indices (Kp > 5 or Ap > 20) mean stormy conditions with an active geomagnetic field. The more active, the more unstable propagation is, with possible periods of total propagation fade-out. Especially around the higher latitudes and especially at the Polar Regions, where the geomagnetic field is weak, propagation may disappear completely. Extreme high indices may result in aurora propagation, with strongly degraded long distance propagation at all latitudes. Low indices result in relatively good propagation, especially noticeable around the higher latitudes, where trans-polar paths start open up. Maximum A-index is 9, and the A-index can exceed 20 over 100 during very severe storm conditions, with no maximum.
Classification of A-indices is as follows:
- A0–A7 = quiet
- A30–A49 = minor storm
- A8–A15 = unsettled
- A50–A99 = major storm
- A16–A29 = active
- A100–A400 = severe storm
**Solar Flux (SFI):** This flux number is obtained from the amount of radiation on the 10.7-cm band (2800 MHz). It is closely related to the amount of ultraviolet radiation, which is needed to create the ionosphere. Solar Flux readings are not as descriptive of daily conditions than the Sunspot Number. The higher the Solar Flux (and, therefore, the higher the Sunspot Number), the stronger the ionosphere becomes, supporting refraction of higher frequencies.
**Ionosphere:** A collection of ionized particles and electrons in the uppermost portion of the Earth’s atmosphere, which is formed by the interaction of the solar wind with the very thin air particles that have escaped Earth’s gravity. These ions are responsible for the reflection or bending of radio waves occurring between certain critical frequencies, with these critical frequencies varying with the degree of ionization. As a result, radio waves having frequencies higher than the Lowest Usable Frequency (LUF) but lower than the Maximum Usable Frequency (MUF) are propagated over large distances.
**Sunspot Number (SSN):** Sunspots are magnetic regions on the Sun with magnetic field strengths thousands of times stronger than the Earth’s magnetic field. Sunspots appear as dark spots on the surface of the Sun. Temperatures in the dark centers of sunspots drop to about 3700° K (compared to 5700° K for the surrounding photosphere). This difference in temperatures makes the spots appear darker than elsewhere. Sunspots typically last for several days, although very large ones may last for several weeks. They are seen to rotate around the Sun, since they are on the surface, and the Sun rotates fully every 27.5 days.
Sunspots usually occur in a group, with two sets of spots. One set will have positive or north magnetic field while the other set will have negative or south magnetic field. The field is strongest in the darker parts of the sunspots (called the “umbra”). The field is weaker and more horizontal in the lighter part (the “penumbra”).
Galileo made the first European observations of sunspots in 1610. The Chinese and many other early civilizations have records of sunspots. Daily observations were started at the Zurich Observatory in 1749; continuous observations were begun in 1849.
The sunspot number is calculated by first counting the number of sunspot groups and then the number of individual sunspots. The “sunspot number” is then given by the sum of the number of individual sunspots and 10 times the number of groups. Since most sunspot groups have, on average, about 10 spots, this formula for counting sunspots gives reliable numbers even when the observing conditions are less than ideal and small spots are hard to see. Monthly averages (updated monthly) of the sunspot numbers show that the number of sunspots visible on the sun waxes and wanes with an approximate 11-year cycle.
For more information, see http://prop.hfradio.org.
peering up at the canopy of stars, wishing upon a shooting star. The shower was first recorded in Chinese history writings in 36 AD, where the recorder tells us of seeing more than one hundred meteors.
Italian astronomer Giovanni Virginio Schiaparelli (1835–1910) computed the orbit of the Perseids between 1864 and 1866, discovering a resemblance to the periodic path of comet Swift-Tuttle. This was the first time any meteor shower had been tied to a comet. The Swift-Tuttle has a period of about 120 years. This would mean that the meteor shower would increase in its hourly rate during those years when the comet is near its perihelion (the point nearest the sun in the comet’s orbit), something well demonstrated by the Draconids and Leonids showers.
So, does it hold that the Perseids meteor shower no longer has debris large enough and in a significant concentration to provide us with spectacular showers and the opportunity for exciting VHF MS propagation? In 1973, Brian G. Marsden, an astronomer at the Smithsonian Astrophysical Observatory in Cambridge, Massachusetts, predicted that comet Swift-Tuttle would move through its perihelion sometime on September 16 or 17, during 1980, 1981, or 1982. This caused a lot of excitement. The average rate for the years between 1966 through 1975 was 65 meteors per hour. But then, between 1976 and 1983, the hourly rate average increased to over 90. By 1983 there were counts of 187 per hour. After that, rates declined again.
A new prediction was offered by Marsden that the comet might pass perihelion during December 1992. Observers were able to spot and tract the Swift-Tuttle comet late in the summer of 1992. In 1993, with a lot of observers waiting in great anticipation, the Perseids delivered with hourly rates of 200 to 500 meteors over Europe. And, during 1994, high rates were again observed, this time over a great part of North America.
It was predicted that we would move through a possible extra tail filament left by the comet, a day early, on August 11. There was speculation that we would have a moderately strong shower this year as a result. However, based on my visual and radio observations, this shower did not live up to expectations. Scientific observations do indicate that we did move through the very edge of the extra filament, just as predicted.
The Next Shower
One of the largest annual meteor showers occurs in November. Appearing to radiate out of the constellation of Leo on the night and morning of November 18 to 19, the Leonids are known to create intense meteor bursts. Since the source of the Leonids, the Tempel-Tuttle comet, passed closest to the sun in February 1998, the years following were expected to produce very strong displays. The greatest display since 1998 was the peak
of 3,700 per hour in 1999! Every year since has been significantly less spectacular. However, a few forecasters think that we still might have a meteor storm with an hourly rate of thousands sometime in the next several years. If this year is more typical than the last few, we’ll see a rate of several hundred per hour. The large, spectacular visuals might only be 10 to 20 per hour, but when we’re talking about MS radio propagation, we count any meteor-formed plasma clouds that will support VHF radio signals.
The best time to work MS off the Leonids is around 11:30 p.m., local time, in the Northern Hemisphere. The shower should increase in rate the closer you get to midnight and last through the predawn hours.
**Working Meteor Scatter**
Meteor particles are debris from a passing comet, ranging in size from a spec of dust to a small pebble, and some move slowly while others move fast. When you view a meteor, you typically see a streak that persists for a little while after the meteor vanishes. This streak is called the “train” and is basically a trail of glowing plasma left in the wake of the meteor. Meteors enter Earth’s atmosphere traveling at speeds of over 158,000 miles per hour. Besides being fast, the Leonids usually contain a large number of very bright meteors. The trains of these bright meteors, which last from several seconds to several minutes, are typically created in the $E$ layer of the ionosphere. MS propagation is a mode where radio signals are refracted off these trains of ionized plasma. Because the location of these plasma trains is in the $E$ layer of the ionosphere, the range of an MS contact is between 500 and 1,300 miles. The frequencies that are best refracted are between 30 and 100 MHz. However, with the development of new software and techniques, frequencies up to 440 MHz have been used to make successful radio contacts off these meteor trains.
Lower VHF frequency contacts are more stable, and last longer, off these ionized trails. A 6-meter contact may last from a second to well over a minute. The lower the frequency, the longer the specific “opening” made by a single meteor train. Conversely, a meteor’s ionized train that supports a 60-second refraction on 6 meters might only support a one-second refraction of a 2-meter signal. Special high-speed digital modulation modes are used on these higher frequencies to take advantage of the limited available time, like high-speed CW, in the neighborhood of hundreds of words per minute.
**MW Propagation**
The mediumwave AM broadcast band DX season is starting to perk up now that we’re having longer hours of darkness in the Northern Hemisphere. The FCC requires domestic broadcasters to reduce station power, or to cease operating, at night in order to limit interference with other AM broadcast stations. This can make the hunt for AM DX stations all the more challenging. The wavelengths of AM radio signals vary from a maximum of 556 meters (1,825 feet) at 540 kHz, the lowest AM carrier frequency, to a minimum of 176 meters (580 feet) at 1700 kHz, the highest carrier frequency at the upper end of the AM expanded band.
During the hours of sunlight, the lowest layer of the ionosphere, the $D$ layer, becomes highly energized. This causes the $D$ layer to absorb radio waves. The more energized, the higher the frequencies that are absorbed, and the more intense the absorption over the range of frequencies absorbed. The lowest frequencies are usually totally blocked by the $D$ layer during the day. During the hours of darkness, the $D$ layer loses its energy. At night, it nearly disappears, allowing mediumwave signals to pass through to then be reflected back by the $E$ layer. During daytime hours, when ionospheric reflection does not occur to any great degree, mediumwave signals travel over the surface of the Earth. This is known as “groundwave” propagation. Useful daytime AM broadcast reception is generally limited to a radius of no more than about 100 miles, even for the most powerful stations. However, during the hours of darkness, mediumwave signals can travel over hundreds of miles by reflection from the ionosphere, a phenomenon called “skywave” propagation.
At least two things make AM DXing possible at night: the reduction in $D$-layer absorption, which opens up the band to signals beyond the reach of groundwave propagation, and the possible decrease in local interference due to daytime stations going silent after dark. However, at the same time, distant stations you wish to catch are switching to lower power or modifying their antenna’s directivity. Other phenomena that can present a real challenge to mediumwave DXing are lightning-related noise and sporadic-$D$ ($Ds$) absorption. During summer months in the northern Temperate Zone (where most of North America is), there are a higher number of electrical storm events, causing broadband noise. Most of the energy of these electrical storms is concentrated at lower frequencies. These electrical storms can create ionization in the lower atmosphere, in the $D$ layer of the Ionosphere, causing mediumwave radio signal absorption. This will occur at any time of day, even at night. Those signals that do make it to our receivers compete with the noise generated by these storms. During the winter, however, along with the longer hours of darkness, there is a significant reduction in seasonal electrical storms, making conditions much better for long distance propagation of these mediumwave broadcast signals.
When is the best time to look for mediumwave DX? Most AM broadcast stations in the United States change from high power to low power after their local sunset. If you are trying to catch a station to your west, listen just prior to its local sunset time. You will be in the dark, and the $D$ layer above you and somewhat to your west will be less dense and energized, allowing signals to skip off the Ionosphere. And their higher power will help their signals propagate well because of the characteristics of nighttime ionization. The idea is to maximize the degree of darkness between you and the station, while it is still on day power and pattern.
At the same time, any station to the west that has a favorable nighttime signal in your direction (in other words, it has significant night power and no deep null antenna pattern aimed at you) is a potential sunrise target. $D$ layer absorption increases rapidly when in direct sunlight, and east of you begins to ionize while the west of you is still dark and free of $D$-layer ionization. For some time around your local sunrise the relative strength of stations to the west of you increases, while eastern stations will start to fade, allowing the western stations to emerge from underneath the interference from the east. On rare and exciting occasions, this period will last long enough for some western stations to go to their higher power and daytime pattern. Here, as with sunset, the time of month can be critical as the more darkness on the path, the better. Of course, take this same principle to figure out when to tune in for stations to your east.
To find out what daytime and nighttime operations are authorized for AM broadcast stations, conduct an AM Query at http://www.fcc.gov/mmb/asd/amq.html. The Hours of Operation for the Record field for the station will indicate what hours the station may operate with the listed station parameters. Note that a station may have multiple records for different daytime and nighttime operations.
**HF Propagation**
Shortwave signal paths on 31 through 19 meters are becoming ever more reliable between North America and Europe in the morning, and between North America and Asia during the late afternoon hours. The strongest openings occur for a few hours after sunrise and during the sunset hours. Thirty-one and 25 meters will often remain open into many areas late into the night and will open early in the morning, especially when part of the propagation path moves through sunlit regions. Twenty-two and 19 may still offer nighttime paths, though these will become less reliable later in November.
Nineteen, 22, and 25 meters compete with 16 for the good daytime DX during November. They will open for DX just before sunrise and should remain open from all directions throughout the day,
with a peak in the afternoon. Nighttime conditions will favor openings from the south and tropical areas. Since the Southern Hemisphere has long daylight hours, DX paths on these bands from stations in the south will be common.
The all-season bands, 31 and 25 meters, are crowded and signals are usually very strong and steady. Twenty-five meters is expected to be an excellent band for medium distance (500 to 1,500 miles) reception during the daylight hours. Longer distance reception (up to 2,000 to 3,000 miles) should be possible for an hour or two after local sunrise, and again during the late afternoon and early evening. Heavy congestion will occur here since many international and domestic broadcasters make use of 25 meters. Thirty-one meters, the backbone of worldwide shortwave broadcasting, will provide medium-distance daytime reception ranging between 400 and 1,200 miles. During November, reception of up to 2,500 miles is possible during the hours of darkness, and until two to three hours after local sunrise. Thirty-one meters, too, is highly congested, making reception of weak exotic signals a bit more of a challenge.
Thirteen and 16 meters will be open during a fair number of days through November when flux levels remain above 100. Paths from Europe and the South Pacific as well as from Asia, at least during days of higher solar flux levels, are common, especially on 16 meters. Look for best conditions from Europe and the northeast before noon and from the rest of the world during the afternoon hours. Reception from the South Pacific, Australia, New Zealand, and the Far East should be possible well into the early evening. When flux levels fall below 120, though, these openings may be short.
Seventy-five through 120 meters are coming alive in late October. Throughout November, expect an improvement in nighttime DX conditions. Since the night is longer, and there is the seasonal decrease in the static levels, expect long-range DX on the low bands, starting close in right after sunset and extending farther as the night develops, with Europe possible in the late evening. DX paths will move farther west through the night. By morning openings from Asia should be common.
Signals below 120 meters have improved, with the night-paths growing larger in the Northern Hemisphere. Seasonal static, which makes it difficult to hear weak DX signals, is still decreasing as we move into the depth of winter, down from December 2003. Expect the overall geomagnetic activity to be quiet during most days in November, with possibly one major storm during the month. Refer to the Last Minute Forecast for the outlook on what days this might occur.
**Questions, Comments, Or Suggestions?**
You can join in with others in discussing space weather, propagation, and shortwave or VHF listening at http://hfradio.org/forums/. Be sure to check out the latest conditions, as well as the educational resources about propagation, which I have put together for you at http://prop.hfradio.org/. I also provide a WAP/WML resource for wireless devices. If you want the latest propagation information, like the solar flux, Ap reading, and so forth, using a cell phone or other WAP device, check out http://wap.hfradio.org/, the wireless version of my propagation site.
I hope to hear from you. Send a letter or an e-mail. I might not include your specific letter in the text of this column, but I do often take questions and use them as the topic of the month. See you again next time!
Network Control Of Your Radio—Part IV
by Joe Cooper, email@example.com
This is the fourth of what will be a five-part series that examines controlling—and listening to—a compatible monitoring radio over a computer network. The network over which you perform this control can be anything from a simple home-based LAN (Local Area Network) to the Internet. In last month’s column I covered the basics of how to send an audio signal from your monitoring radio over your computer network. If you’re sending that signal from just one computer to one or two other systems, this can be done fairly simply.
As I’ve already pointed out, all versions of Microsoft Windows, from versions 98 through XP, come with a simple multimedia utility called NetMeeting, which you can use to send audio over a network, including the Internet. What makes this utility valuable for our purpose is that you can leave it on and have it automatically send audio to a remote computer when requested to do so by another.
I also wrote about Bob Arnold, N2JEU’s on-line radio control project and the RealAudio server that he uses for his Web-based system. The beauty of his approach is in its simplicity and low cost—the audio server software was originally free. The Basic RealAudio streaming audio server Bob originally used is no longer available, having been replaced by a newer version called “Helix.” While this is also free, Helix is really an evaluation product for commercial users that has been limited to only five connections at one time, far too few for any application other than testing. That evaluation software would be fine if you were planning on only using it yourself, or only having a small number of people connected to it. However, that product does require a higher degree of computer skills than the average person may possess, so its installation and operation is definitely tricky unless you have a background in LAN operation and configuration.
To help set up your own streaming audio server I’m going to provide you with information on an alternative software product called icecast, which is free to download and much easier to use. See “Introduction To The Icecast Audio Server” for information on how to get started using this fine product.
Having wrapped up “piping” the audio over a network or the Internet, the main task we are left with is the remote control of the monitoring radio. We’ll look at three approaches to that: a stand-alone remote control program, a third-party control system, and a Web-based “public” system that was developed by Bob Arnold.
Basics of Remote Control
When you operate a properly set up compatible monitoring radio over a network you’ll find the actual mechanics of remote control fairly straightforward. You simply use some type of service (software- or webpage-based) that allows you to run your existing radio control program from a remote site. The software on the remote computer, regardless of the type of service you are using, lets you send control codes to the monitoring radio as if you were running the computer directly. All you are really doing is sending a set of commands over the network to the control software that is, in turn, sending another set of commands to the radio in order to control it.
With the audio stream software turned on you can hear the audio output of the radio, which has been connected to the sound card of the remote computer. As you tune the radio via the remote control software the audio signal out of your monitoring radio changes and is then turned into digital “samples” in the remote computer’s sound card. These samples are sent first to the audio server software (whether NetMeeting or another program), which sends them over a network to the audio receiving software on the computer you are using. That software directs the digital audio to that computer’s soundcard, which then turns it back into an analog audio signal. Once that conversion from digital to analog occurs, you can hear the radio’s original audio signal over that computer’s loudspeakers or headphones. Before that conversion, you could also use Digital Signal Processing (DSP) software on that computer to further filter or enhance the original digital audio before listening to it.
The only real difference between being in direct control of the monitoring radio and remote controlling it may be in the time lag that can occur between sending a request for a frequency change and hearing that change in your speakers. This time lag will vary according to the type of audio server you use, with NetMeeting having the least lag.
The other thing you will notice is the lack of fidelity in the audio signal. This is because what you’re hearing is not an analog signal (that is, a signal that contains all audio information coming from the radio), but rather a series of digital samples. You may remember from my series of columns on digital audio recording (see October to January 2003) that digital audio signals are not made up of continuous information. Rather they are a series of “slices” of the original analog information that are represented as binary within the computer. The number of samples made per second will determine the fidelity (listening quality) of the audio when the slices are put back together into an analog audio signal by the computer’s sound card. The key point is that because it is a sample, you are losing some part of the original signal, which can be noticeable. In addition, the samples are compressed in the computer so that less bandwidth is needed to send the audio signals over a network. This can sometimes cause a further loss of quality, depending on how much compression is used.
I mention these points because the decisions you make about the type of remote control system you install will have an impact upon the quality of operation and audio output. If you decide on a system that will have only one streaming audio connection, you’ll get the best audio sound at the remote location. This is simply because the more audio connections that are made to the server computer the harder the computer’s CPU and circuitry will need to work in order to “pump out” the digital stream of information. To provide multiple connections, the system may have to send out fewer slices of digital information, which will result in a perceptible reduction in audio quality.
Having said that, I think it’s important to point out that audio quality is not dependent upon the type of computer you’re using. You don’t need to have the fastest CPU or even the most up-to-date equipment in order perform the tasks I’ve been describing in this series of columns. This means that you don’t have to spend a lot of money setting up a remote-controlled monitoring radio; you can use an inexpensive computer with an older CPU and operating system, as well as free software to undertake the streaming audio. There are several inexpensive options available for the remote control of the monitoring radio (though you can spend a bit of extra money and get a much better level of control, along with other functions that may prove to be valuable). The bottom line is that the real investment you will need to make is in yourself, by developing your computer skills, if you want to have the best possible remote control system. Your own ability to install, configure, and operate the software and hardware of your computer will have a greater impact upon the sound and operation of your remote control system than anything else.
I can’t teach you everything you need to know to successfully set up a remote control system within the space of this column. However, can give you a guide as to what you should be aiming for and where to find the resources you’ll. Remember that computer-assisted radio monitoring is still in the experimental stage and there is still a great deal of development to be undertaken before all the “bugs” have been worked out of the systems I’ll be describing. The reward for undertaking this project is that you’ll learn more about computer networking and will be able to expand the use of your monitoring radio. As I’ve mentioned before, I do believe that this approach to radio monitoring is the future of the hobby.
So now let’s continue on with our exploration of the “new school” of computer monitoring.
**Remote-Control Software Issues**
Again, there are several ways to undertake the remote control of a computer over a network for the purpose of controlling a monitoring radio. The two primary approaches are to either access the remote computer as an individual, or to open it up to either a small group of people who are given passwords to a restricted computer site or to anyone who wants to access it (such as over the Internet).
The “private” control of a computer over a network (as opposed to “public control”) is probably the simplest way to operate your radio remotely. This method is also easier for many people because of the accessibility of “off the shelf” software and pre-existing Web-based services that let you perform the control task in a relatively easy way.
In help you understand what it is you’re trying to accomplish, here’s some background information on remote control software so you’ll better appreciate its actual application.
With the advent of large computer networks in business and government settings, there’s an increased difficulty in servicing the problems found in them. One of the biggest problems has been assisting individual users within that network environment when they have problems operating their computers. The big issue with most people who have problems is describing exactly what’s going wrong with their computers to the person trying to help them. And if they have to do that over the telephone rather than in person, the matter is even more complicated. One solution is for a technician to go to the computer with the problem and work on it directly. This approach, however, involves travel time, which can be expensive and unproductive. These costs can also be unwarranted if the problem was really not all that big to begin with. This is where remote-control software becomes a very important tool for many companies.
Today if there is a problem with someone’s computer at a remote location, a technician can use the remote-control software to directly take over the control of a properly set up computer and operate from a remote site as if he or she were sitting right in front of it. With the remote software running, when the technician types on the keyboard of his own computer, the remote computer responds, and the technician sees on his computer screen what is taking place on the remote computer’s screen. The remote-control software also allows the technician to transfer files between the two computers and to install new software if needed.
**Using Remote-Control Software**
There are other applications for this type of software beyond technical support, which are more in keeping with what we want to do with our monitoring radios. There are versions of this software that allow ordinary users to control a base computer from a remote location in order to perform work tasks using the remote computer’s software.
The original intention of this software was to give business users access to their office computer from a remote site, such as a hotel room. Using a laptop computer, for example, they would be able to access files, run programs, or retrieve e-mail as if they were sitting in front of their computers at work. The point of all of this is that the software tools and techniques that have been developed for the business user can now be utilized for other purposes as well. You can use these remote-control programs and services to run your monitoring radio’s control software from a remote site.
With either NetMeeting or some other streaming audio software turned on at your home computer, and with the remote-control software installed and running, you can listen to and operate your monitoring radio from a remote location as if you were sitting in front of it. Likewise, if there are any problems with the home computer’s operating system or software, you could possibly fix it from your remote location as well.
The two primary methods that you can use to perform this type of personal remote control is through the use of either a dedicated software control package that you install or through the use of a special web based service that allows you almost the same degree of control.
There are many different remote control programs available today, though most tend to be oriented towards administrators of large computer networks. The two I would suggest you consider are Symantec’s PCAnywhere and 3 AM Labs Remotely Anywhere.
PCAnywhere is now available in version 11, so it is a definitely a mature software package that’s been well tested in the real world (see www.symantec.com for details). As a result, it’s considered the industry standard for remote control software and will certainly provide you with all the bells and whistles you will ever need. At $200 for the “home user” package, it’s a bit pricey for the hobbyist, but for your investment you get a product that works very well. However, the software is made rather cumbersome because you need to do two installations of the same software; one on the home computer and the other on the remote computer in order to make the remote connection work. This means that to be able to perform the remote control, you must have a dedicated second computer with the software installed. If you are a business user and need a laptop computer on a business trip, this obviously makes sense.
There may be a situation where you can’t take a laptop with you, such as when you’re traveling or going to work. However, if you can access a computer with an Internet connection at a remote site, you can still control your home computer and the monitoring radio connected to it without using special software. This can be accomplished through a fee-based Web service that allows you to connect to, and control, your home computer from any computer connected to the Internet, as long as your home computer is turned on and connected to the Internet as well.
One product specifically designed for such use is Remotely Anywhere, which retails for $110 (see www.remotelyanywhere.com for details). Like PCAnywhere, this software gives you complete control of your computer from a remote location, except that it uses a Web viewer (for example, Microsoft’s Internet Explorer or Netscape), rather than a standalone software package. You can download a fully functional 30-day trial copy from the company’s website if you want to explore the software’s capabilities.
Another option is available to people using Microsoft’s Windows XP operating system on their PCs. One of the features provided by this version of Windows is a Terminal Services utility called Remote Desktop Connection. (Note that Terminal services are NOT available in the XP Home version). To use this feature you must have two computers that are both using Windows XP Pro and are connected to each other over a network, or are capable of making such a connection over the Internet. The features provided are more limited than the commercial products described earlier, but can be useful if you are working in a home network environment and simply wish to experiment.
Still another option that allows you to control your computer via a third-party remote-control server offers the advantage of keeping installation and configuration issues to a minimum by letting the server perform the majority of work. In this case, you download and install a small software package from Access My PC from Anywhere (see www.gotomypc.com for details) onto the computer connected to your monitoring radio. Note that in order to be able to connect to that computer from a remote location it must be continuously connected to the Internet via a cable modem or DSL line. Once you have the software installed, you can connect to that computer and operate it remotely by simply logging into the server via its webpage. Your home computer’s desktop screen appears and you can control the computer as if you were sitting in front of it. The service allows you to try it out for free for one hour before service charges apply. You can either pay $20 per month or $180 per year, with the main advantage being the simplicity of the operation of the system versus having to set up and maintain your own software.
So, as you can see, you have a wide range of options in how you can implement a remotely operated computer and monitoring radio. These are far from the only types of software and services available, so take some time to check out alternatives to find the one that best suits your needs before making a decision.
Remote-Control Security
The only other issue you must definitely keep in mind when setting up a remote-control software package is how to prevent other people from accessing your computer via a network or the Internet. Obviously, if you can get into your computer system to operate it, then computer hackers may be able to do so as well. To keep your home computer secure you should install a Firewall software package to prevent hackers and intruders from taking over control of your remote-control software. The software and service I outlined here has various security methods built in, but may also require the additional software. I strongly advise you to see if a separate Firewall package is required and which one the software manufacturer or service provider suggests you use.
Again, what has just been outlined here is suitable for individuals to be able to control their own computers in order to control their monitoring radios. However, what if you want others to be able to have control as well, particularly if you don’t feel that you need to have security features, such as log in? You may then want to consider going to a public system, such as the one developed by Bob Arnold, which I have described in previous columns. The advantage in this approach is that you can have access from any computer in the world that is connected to the Internet, without having to be dependent upon having a software package or third party service.
Let’s look at how Bob has done this.
Free Access Remote Control
Bob’s online radio control project supports two dedicated radios (the ICOM R75 and Ten-Tec RX-320) that you can tune via his personal webpage (www.ralabs.com/webradio) from the LF bands up to 60 MHz, I went into Bob’s computer and radio setup in great detail in Part II of this series (September 2004), so I won’t repeat that here. The only important thing to note is that if you intend on allowing full public access to your radios, you must provide the proper bandwidth on your Internet connection. In this regard, Bob strongly suggests that you arrange from your local telephone company for a 112-k ISDN that is connected to an Internet Service Provider (ISP) that can properly manage such a line. Any connection slower than that provided by ISDN will simply not work for more than one or two simultaneous users. (You will also need to register a domain name
(URL) so people can find you on the Web; this can be arranged for you by the ISP). While you will not need a very powerful computer, you will need a properly configured operating system and additional files. Certainly using Microsoft’s Windows XP Professional is strongly advised, though Bob’s software can work successfully with Windows 98.
Network and computer security against computer hackers is a must, along with the installation of the most current service pack for your version of Windows. Along with a good anti-virus program, you will definitely need a properly configured Firewall. This does not have to be very expensive as there are several good Internet Security programs available today at very reasonable prices. A good example is Zone Labs Zone Alarm, which costs $40 and provides protection against hackers, worms, and viruses (see www.zonelabs.com for details).
Bob is willing to provide you with a free version of his Web-based software to run as your own webpage. Obviously you will need either an ICOM IC-R75 or a Ten Tee RX-320 connected to your comput-
**Introduction To The icecast Audio Server**
As with everything in life, there is much change taking place in the world of multimedia communications. This is particularly true with the Internet, where new software is introduced almost every day. Since the earliest days of computer software there have been numerous debates as to how this new medium should be treated. Some believe that everything should be strictly controlled by copyright, while others believe that, in some cases, it should be freely distributed.
I’m not talking about software piracy, meaning stealing someone’s work and income by copying it or sharing it without their permission. I’m referring to a practice called “open standards,” where people willingly share their software with other people and encourage its free distribution. One of the best-known examples of this is the LINUX operating system (the one with the penguin, Tux, as a mascot), which was developed by Linus Torvalds in the early 1990s. While he owns the copyright on this operating system, the license states that the source code (the part of the program that creates the part that runs on a computer) can be freely copied and distributed for free. As a result of this license agreement, the LINUX operating system has become a new standard that rivals big commercial packages, such as Microsoft Windows. And because it’s an open standard, software developers can improve upon it and add their own enhancements as required, rather than having to live with what was developed by others.
icecast is a streaming audio server that is open standard as well and free for distribution. It is designed to support Ogg Vorbis and MP3 audio streams, and it can be used to “broadcast” over the Internet or be a private source of audio signals. (Ogg Vorbis, by the way, is an open source method of audio encoding designed to be a competitor to the MP3 standard. It is being promoted by some because you do not have to pay royalties, as you do to the commercial software developers who developed MP3).
You can get all the required software and documentation for icecast (yes you are supposed to write the name in lowercase, because it is a cool thing to do) from the official website at www.icecast.org. You will need to download the free software for three programs in order to set up a streaming audio server. These are:
- icecast, a program that streams the audio to other computers on the Internet
- Libshout, a program that acts like a bridge between icecast and the monitoring radio audio signal you want to stream by keeping the digital data flowing properly
- IceS, a program that prepares the audio signal being fed into your computer’s sound card from your monitoring radio to be sent to the icecast server.
The files as a group are called “the project.” When they are properly downloaded, installed, and configured you can begin streaming your monitoring radio’s audio over the Internet. Someone who wants to listen to the audio stream would do so using a compatible audio player, such as winamp (www.winamp.com) or foobar2000 (www.foobar2000.com), which you can download for free. Along with the support provided by the icecast development team and documentation, there are a number of individuals and user groups supporting the software on the Internet. You can get information on how to find these resources by going to the icecast website.
er, as other makes of computer-controlled radios will not be compatible. You’ll also need Web server software that supports standard CGI applications. One Web server software package is from a company called Xitami (http://www.xitami.com/), and Bob has been using it for several years now and found it very satisfactory. What makes it particularly attractive for amateur use is that it’s free!
Please note that Microsoft’s Personal Web Server software that comes supplied with most versions of Windows will not work, except in the case of Internet Information Server (IIS) when using NT4 workstation or server, Windows 2000, or Windows XP Pro. The Personal Web Server software was intended to be used only as a development tool when it was included by Microsoft, and it should not be used as a “production”-type Web server because of its lack of built-in security against hackers and other threats when you connect to the Internet.
After having installed and set up the proper Web server, you will need to install the files for Bob’s Web application program, which is relatively easy to do. The complete set of files will be sent to you in a compressed ZIP file. After you unpack the files you simply place them into the cgi directory of the Web server (this is very easy to identify, so don’t worry about it). Once you have done that you simply follow the instructions provided by Bob with the program to configure it into your own personal webpage. This is also easy as all you need is a text editor to change the content of the file to suit your needs. With everything properly hooked up and running anyone will be able to go to your website to control the radio(s) that you have hooked up to your computer. Likewise, you will be able to do so if you are away from your home computer and radio.
There are some additional administrative features that will allow you a degree of control over your website. For example, you can log everyone who comes to your site to use your radios and keep a complete record of all frequencies and settings used. You can also lock out certain frequencies if you find that there is abuse or over-use of your radios for one particular service or mode.
The key point to remember is that you are not providing high-fidelity audio or fast tuning. It’s not going to be able to scan a range of frequencies either, so it may not be suitable for certain types of radio monitoring, such as utility communications. However, if you want to listen to a shortwave broadcaster, a broadcast band station, or some other service that uses a fixed frequency, this set up will work very well. This type of configuration may also be an excellent project for a shortwave or ham radio club to undertake. It would not be difficult to set up a “members only” section of the club webpage that would restrict access. Such a service would be of great benefit for people who don’t have access to a good monitoring radio, who live in an area where there’s a great deal of interference, and to those who live in retirement communities or other institutional situations.
The truth is that the possibilities of such Web-based radio monitoring have only just begun to be investigated and there is great potential for new innovations. As I’ve shown, this is not a project that requires a lot of money, but it will require some computer skills and perseverance on your part. The rewards you’ll get from making an investment into acquiring those skills will be significant enough to warrant the time taken. While it may seem intimidating at first, the truth is that the majority of the information is not that difficult to master. As I’ve said before, if you take time to plan things out, keep good notes, and keep track of where you are in a project, the possibility for success is extremely good.
Next Month
Next month I’ll be finishing up this series of columns by looking at how you can connect your computer-compatible monitoring radio into a worldwide radio monitoring service. I’ll be looking at DX Tuners (www.dxtuners.com), which is a subscription-based service for the non-professional radio monitoring community. Started by Kelly Lindman and located in Sweden, this English-based service has 39 networked-receivers covering LW, BCB, HF, VHF, and UHF frequencies in North America and Europe. To use this service you’ll need to set up a computer using the LINUX operating system, which I’ll show you how to do. It’s a little tricky, but once done your radio becomes part of a leading-edge subscription service that definitely points to the future of radio monitoring in the 21st Century.
If you want to e-mail me with any questions, please use firstname.lastname@example.org. I cannot answer general questions on computers, but will be more than happy to help you with any issues raised in the columns. You can also write to me at “Computer-Assisted Radio Monitoring,” PMB 121 - 1623 Military Rd., Niagara Falls, NY 14304-1745. I have placed a list of my columns from the past two years, along with a summary of the content, in my personal webpage at www.popcomm.net/pages/joe. I’ve also included instructions there on how to purchase back issues of Popular Communications. Remember that I can’t release previously published material because Pop Comm owns the copyright. I’m still interested in any pictures you may have of your own computer-assisted monitoring station or stories about how you have built and run it. Don’t worry about your writing, as I’m more than happy to help you by editing it.
So, again, please take time to write a letter to one of our service people in Iraq offering them your thanks and support. Remember that you can send letters of general thanks and support by simply marking the envelope “Any service person—Iraq”. Don’t forget to put your name and proper return address on the envelope as well, otherwise it will not be forwarded due to security concerns. It may take several months to get to someone, but I’m certain that it would make the day of who ever receives it.
Indeed, it’s been a couple of months since we last reported results of our survey questions to you, but please know that we sincerely appreciate your taking the time to complete the cards and send them in each month. We’re always working to make *Pop’Comm* better and fine-tuning it to your needs based on what you’re telling us!
Some of the interesting comments we’ve received with the survey cards included one from Greg in California who said, “…my station has been operating on 12-VDC deep cycle batteries charged by solar panels for over 15 years.”
John Chalmers in Missouri tells us, “I read *Pop’Comm* cover to cover and especially like the “Global Information Guide” and the way you continue to tackle the politicians who would rather we play golf in our spare time…” Well said, John!
Jerry in New Mexico informs us, “I…like the changes in *Pop’Comm* over the past few years and your honest equipment reviews…good to see a lot of diversity in the products you review…”
The winner of this month’s free subscription is Fred Pickett, Jr., of Annandale, Virginia. Fred will receive a free one-year gift subscription to *Pop’Comm* for being our randomly drawn winner. Have you sent in your survey card?
Here’s what we asked you and here are your responses. Again, thank you!
**I’m a shortwave radio listener/DXer and regularly use “World Band Tuning Tips” on pages 40 and 41:**
Yes: 45%
No: 12%
Sometimes: 30%
I would, but it’s hard to understand: 3%
I just search the band for stations: 9%
**My primary shortwave activity is:**
International broadcasts for news value: 52%
Military comms in sideband: 8%
Military digital comms: 1%
DXing broadcast stations: 15%
DXing aircraft: 4%
Monitoring amateur comms: 10%
Monitoring pirate and clandestine stations: 6%
I rarely use shortwave: 4%
**I listen to AM broadcast band stations:**
Yes: 66%
No: 3%
Sometimes: 6%
I used to, but not any more because there’s little variety: 5%
I used to, but not any more because there’s a high level of noise at my home monitoring shack: 2%
I mainly DX broadcast stations in the winter when the band is quieter: 15%
I listen to stations on the Internet because it’s easier: 2%
**I find the loggings in “Broadcast Technology” useful:**
Yes: 56%
No: 3%
Sometimes: 41%
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**Pop’Comm November Survey Questions**
I’m a member of a local volunteer emergency radio group:
Yes .......................................................... 1
No .......................................................... 2
I plan on becoming a member, but don’t have time right now ........................................... 3
There is no local emergency radio communications group ............................................. 4
I know that emergencies can happen anywhere, anytime so I’m prepared at home with:
Enough alkaline batteries to power my two-way radios for at least 48 hours......................................................... 5
Enough alkaline batteries to power my two-way radios for three or four days ...................................................... 6
A ready-to-go portable antenna for my ham gear as well as my scanners ....................................................... 7
A ready-to-go portable antenna for a small mobile CB radio .................................................... 8
A ready-to-go portable antenna for my shortwave receiver .................................................. 9
Portable battery power packs with appropriate adapters for my radios ........................................... 10
At least one pair of FRS radios with alkaline batteries .................................................. 11
At least one pair of FRS radios with fully charged NiCd or NiMh batteries ........................................... 12
A pair of CB walkie-talkies with alkaline batteries .................................................. 13
A pair of CB walkie-talkies with fully charged NiCd or NiMh batteries ........................................... 14
A NOAA All Hazards receiver with extra batteries .................................................. 15
I’ve had to leave my home under a mandatory evacuation order in the last year:
Yes, because of a hurricane .................................................................................. 16
Yes, because of a hazardous material spill/leakage ........................................... 17
Yes, because of a police action (criminal activity/nearby hostage situation) ........... 18
Not sure .................................................................................................................. 19
I was told to, but stayed anyway ........................................................................... 20
If I left under an evacuation order I took some emergency radio equipment with me:
Yes ......................................................................................................................... 21
No ......................................................................................................................... 22
No time to get the radios ....................................................................................... 23
My “emergency radio package” is contained in a:
Small piece of luggage in case I need to stay overnight somewhere .................. 24
Soft camera bag .................................................................................................... 25
Hard camera case .................................................................................................. 26
Briefcase .................................................................................................................. 27
The RadioShack PRO-96 has caused quite a stir in the scanner community. It represents the first scanner to include digital scanning in the APCO-25 mode as standard equipment (Uniden’s digital scanners require an add-on board for digital operation). These radios allow us, for the first time, to receive digital modulation, which represents a major advancement in scanning technology. Before we get to the fun stuff, though, let me tantalize you a bit with some of the other features of this versatile receiver.
**Not A Pocket Scanner**
The PRO-96 is certainly not something you’ll want to carry around in your shirt pocket. It’s comfortable in the hand and has enough weight to feel solid as you hold it. The keys are large enough for my fat fingers and it does have a belt clip. If you’re looking for tiny, this isn’t it. It’s 6-3/16 x 2.7/16 x 1-3/4 inches (HWD). You’ll definitely know you have it with you, but at the same time it’s not a bulky brick-type radio either. I found it very comfortable to use, and a nice size for sticking in the otherwise useless drink holder in my car. It runs off AA alkaline batteries (hooray!). Six are required to get it moving, although you can also use rechargeable NiCd, NiMh, or Lilon if you prefer.
The scanner features all the frequency coverage you’d expect, except for the military air 225- to 406-MHz range. This has been left out of a number of receivers over the past few years, with manufacturers citing both a lack of interest by most scanner users and design difficulties in rejecting cellular images in these areas.
**Memories A-Plenty!**
The PRO-96 features 500 channels in 10 banks. Not much new there, as many of the recent radios have this configuration, or larger. What is new is that there are also “V-Scanner” memories. V-Scanner (for Virtual Scanner) is simply a virtual “folder” where you can store data and programming information for different cities or areas while you use another folder to scan. You can also set up V-
Here’s the radio scanning. The numbers indicate the active banks, and the “+” or “-” symbol indicates an open or closed bank. Closed banks only receive the trunking channels that are programmed into the ID list. An open one will receive anything to help you identify new channels.
The RadioShack PRO-96 brings digital reception into the hobby and it packs a whole list of features, both for conventional scanning and trunked systems. This is a very serious handheld scanner!
Scanners for areas of a city or country that you travel to, or for things that you might not normally listen to, but want to have ready just in case.
The way this works is that you program the scanner as you normally would. Then a few keypresses let you store the current memory in any of the 10 V-Scanner memories. You can then choose to stay where you are, or load any of the other 10 V-Scanners. It’s almost like having 10 radios in your pocket. There is actually an eleventh “working” memory V-Scanner as well, accessed through the decimal point key, but I didn’t have reason to use this with the 10 “normal” ones available.
It takes about 15 seconds for the radio to completely save or load a V-Scanner configuration, so you wouldn’t want to do this all the time, but it’s a lot better than trying to retype all that information if you need the radio reprogrammed in a hurry. Of course, all of this can be done with PC programming too, making the whole job of programming as many as 5,500 memory channels a bit more realistic.
**Programming**
The PRO-96 is programmed very much like many of the other RadioShack Trunktracking scanners in years past (except for the ones that were manufactured by Uniden). There is a program mode that you have to enter to select a bank. If it’s a conventional bank, you can just proceed; a trunked bank will take a few extra keystrokes. Trunked banks also have lists of IDs that can be stored so you can identify who’s talking more readily.
Banks are either “Open” or “Closed.” You’ll encounter this primarily on a trunked system. An open bank will allow any transmission through and identify the talkgroup that’s active. If it happens to be a talkgroup that you’ve stored in memory with an alpha tag, then it will be identified that way. Otherwise just the number appears. If it’s not one that you’ve identified, it will still be heard but will only show the number.
Here is the key layout of the PRO-96. The radio is large enough that the keys are spread comfortably across its front, even if you have large hands like mine. The Function key is used to access all kinds of special programming settings and information. You’ll learn quickly which ones are important. As for the rest, I’d recommend a computer program to deal with all the settings at once.
Closed banks are only allowed to hear the IDs that you have programmed in. If you’ve got a list of IDs for the police and fire channels that you’re interested in, then only that list will be heard, and the dog catcher, water department, and anything else on the trunked system will be ignored. The manual states that you only need to enter the control channels for a Motorola trunked system and that the radio will find the rest as needed. You can also enter conventional frequencies with a trunked system, potentially saving a lot of memory spaces, but I did not find opportunity to experiment with this function.
There are only two down sides to the whole radio; they’re both related to programming, but are really minor issues. First, there is a FUNC (Function) key used for many things in the programming of the radio. I find it very difficult to remember the correct key sequence for things, since I tend to see a lot of radios during a year. I’m sure with regular operation though, you’d quickly learn the important ones. The other drawback is shared with any scanner with alpha-tags—it takes quite a bit of button pushing to get them in there. The PRO-96 uses an interesting two-key sequence to enter a single character. First, you press the number for a group of letters (these are on the label above the key), like ABC. Then A, B, and C appear on the display and you press the 1, 2, or 3 button to pick the first, second, or third character. There are four on some screens. I don’t really know that there’s another system that works better, but I wouldn’t want to have to type 5,500 of these things in either! Computer software is highly recommended with this receiver.(See this month’s “ScanTech” for a discussion of WIN-96, a program that I highly recommend.)
Tone Squelch
The PRO-96 is one of a very few scanners that recognize both CTCSS (Continuous Tone Code Squelch System) and DCS (Digital Code Squelch) tone squelch. These are two methods of relieving interference on conventional channels that are already very popular and gaining in popularity all the time. You can set the scanner to show you any tone that may be present on the channel, or if you know the code, it can be programmed and then only signals with the appropriate tone will be passed through the squelch system. If you’ve never had tone squelch, you’ll find that it’s a worthwhile addition, particularly with a handheld!
Oh Yeah…Digital
Of course, the big news is that the scanner also receives and processes digital. Specifically, it receives APCO Phase 1 digital as well as analog Motorola type I and II systems, Motorola’s ASTRO (unencrypted), and EDACS. That’s a lot of alphabet soup! All the Motorola systems are the same ones that other trunk-tracking scanners have been receiving for some time. EDACS is a competing system. You’ll have one or the other, so between the two of them it covers a large percentage of the trunked radio systems in the country. (If you’re not familiar with these systems, don’t worry—we’ll take another look at this topic in an upcoming issue of “ScanTech.”) ASTRO and APCO-25 are new digital systems. More and more trunked systems will be going to APCO-25, while ASTRO represents slightly older (but not very different) technology. If you have an ASTRO system near you, you can use it for a while, as I don’t believe any new ASTRO sys-
Once you’ve identified the tone you’re interested in, if it’s programmed directly into memory, that channel will only receive if that tone is present—tone squelch! Here a CTCSS tone of 103.5 has been programmed for this memory channel.
tems are being installed (opting for APCO 25 and standardization instead).
There isn’t really a whole lot to tell you about these modes, however. There’s no programming required for digital to work; it just kicks in when a digital signal is detected in a trunked or analog system. And it works well if the signal strength is high enough. Just like analog, it doesn’t take a huge signal to get digital reception. The difference is that if an analog signal fades in and out a bit, the human mind can compensate and follow the conversation fairly well. If you start losing pieces of a digital conversation, it quickly turns to garbage. In operation, with reasonable signal strength, I found the scanner very easy to listen to. There is a slight “mechanical” sound to the voice that isn’t there with analog, but you can certainly pick out one person from another and follow the conversation (which we couldn’t do at all before!), so it’s a major enhancement. In marginal signal areas, the dropouts begin to cause missed words or syllables, and then a general breakup of the speech.
**Check It Out!**
This versatile scanner deserves a look. It’s an excellent conventional scanner loaded with features seldom seen on handhelds. If you’re near a trunked system, its performance is good and it offers quite a bit of versatility in the scanning of trunked systems. And, of course, if your trunked system or non-trunked system is digital, you don’t have very many choices at all, but this is a good one!
It’s available at RadioShack. Retail price is $499, which is very reasonable for the amount of radio you’re getting, but it has been on sale from time to time as well. You may also want to consider the PC Interface cable for $24.95 to save you a lot of typing on the small keyboard.
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Your Monthly International Radio Map
This listing is designed to help you hear more shortwave broadcasting stations. The list includes a variety of stations, including international broadcasters beaming programs to North America, others to other parts of the world, as well as local and regional shortwave stations. Many of the transmissions listed here are not in English. Your ability to receive these stations will depend on time of day, time of year, your geographic location, highly variable propagation conditions, and the receiving equipment used.
AA, FF, SS, GG, etc. are abbreviations for languages (Arabic, French, Spanish, German). Times given are in UTC, which is five hours ahead of EST, i.e. 0000 UTC equals 7 p.m. EST, 6 p.m. CST, 4 p.m. PST.
| UTC | Freq. | Station/Country | Notes | UTC | Freq. | Station/Country | Notes |
|-----|------|----------------------------------|-------|-----|------|----------------------------------|-------|
| 0000 | 11725 | Radio Cairo, Egypt | | 0230 | 6115 | Radio Tirana, Albania | |
| 0000 | 12020 | HCJB, Ecuador | PP | 0230 | 7160 | Radio Tirana, Albania | |
| 0000 | 7545 | Radio Ukraine Int. | | 0230 | 4750 | Radio Peace, Sudan | |
| 0000 | 9580 | Int. Radio of Serbia & Montenegro| | 0250 | 7305 | Vatican Radio | |
| 0030 | 9845 | Radio Netherlands, via Neth. Antilles | | 0300 | 3215 | Adventist World Radio, via Madagascar | Malagasy |
| 0030 | 6145 | Radio Japan/NHK, via Canada | II | 0300 | 4810 | XERTA/Radio Transcontinental, Mexico | SS |
| 0030 | 7545 | Radio Ukraine Int. | | 0300 | 9840 | RAI Int., Italy | II |
| 0030 | 11905 | Sri Lanka Broadcasting Corp. | Hindi | 0300 | 4965 | Christian Voice, Zambia | |
| 0030 | 3310 | Radio Mosoj Chaski, Bolivia | SS | 0300 | 4910 | Radio Zambia | unid |
| 0030 | 5010 | Radio Cristal, Dominican Republic| SS | 0300 | 9770 | Channel Africa, South Africa | |
| 0030 | 11690 | Radio Vilnius, Lithuania | | 0300 | 9925 | Voice of Croatia | Croatian |
| 0030 | 5970 | BBC Relay, Oman | | 0300 | 5815 | World Music Radio, Denmark | |
| 0030 | 11775 | Radio Marti, USA | SS | 0300 | 3240 | Trans World Radio, Swaziland | |
| 0100 | 6175 | Voice of Vietnam, via Canada | | 0300 | 4976 | Radio Uganda | |
| 0100 | 4800 | Radio Buenos Nuevas, Guatemala | SS | 0300 | 9980 | AFN/AFRTS, Iceland | USB |
| 0100 | 4052.5| Radio Verdad, Guatemala | SS | 0300 | 6140 | Voice of Turkey | |
| 0100 | 9690 | Radio Budapest, Hungary | | 0300 | 9345 | Reshet Bet, Israel | HH |
| 0100 | 7345 | Radio Prague, Czech Republic | | 0300 | 9755 | Radio Monte Carlo, Monaco, via Canada | AA |
| 0100 | 4915 | Radio Anhanguera, Brazil | PP | 0315 | 5500 | Voice of Peace & Democracy (cland) | vern |
| 0100 | 11710 | RAE, Argentina | | 0315 | 9780 | Republic of Yemen Radio | AA |
| 0130 | 6536 | Radio Huancabamba, Peru | SS | 0330 | 6030 | SWR, Germany | GG |
| 0130 | 11585 | Kol Israel | HH | 0400 | 15270| Radio New Zealand Int. | |
| 0130 | 9715 | Radio Tashkent, Uzbekistan | Uzbek | 0400 | 4950 | Radio Nacional, Angola | PP |
| 0130 | 9175 | RDP Int., Portugal | PP | 0400 | 5446 | AFN/AFRTS, Florida | usb |
| 0130 | 6055 | Radio Exterior de Espana, Spain | SS | 0430 | 15195| Radio Japan/NHK | |
| 0130 | 11520 | Radio Free Asia, via Tajikistan | unid | 0430 | 9737 | Radio Nacional, Paraguay | SS |
| 0130 | 5678 | Radio Ilucan, Peru | SS | 0430 | 3345 | Channel Africa, South Africa | |
| 0130 | 4985 | Radio Brazil Central | PP | 0430 | 5985 | Radio Congo | FF |
| 0130 | 9870 | Radio Austria Int. | | 0500 | 7275 | RT Tunisienne, Tunisia | AA |
| 0200 | 9860 | Voice of Russia | | 0500 | 7255 | Voice of Nigeria | |
| 0200 | 4996 | Radio Andina, Peru | SS | 0500 | 6250 | Radio Nacional Malabo, Eq. Guinea | SS |
| 0200 | 9905 | VOIR, Iran | | 0530 | 5030 | RTV Burkina, Burkina Faso | FF |
| 0200 | 9680 | Radio Taiwan Int., via Florida | TT | 0530 | 6105 | Radio Universidad, Costa Rica | SS |
| 0200 | 9460 | Voice of Turkey | | 0600 | 5995 | RTV Maliennie, Mali | FF |
| 0200 | 5930 | Radio Slovakia | FF | 0600 | 4760 | ELWA, Liberia | |
| 0200 | 3300 | Radio Cultural, Guatemala | SS | 0600 | 4915 | Ghana Broadcasting Corp. | |
| 0200 | 9420 | Voice of Greece | Greek | 0600 | 7210 | ORTB, Benin | FF |
| 0200 | 9965 | Voice of Russia, via Armenia | SS | 0700 | 6185 | Radio Educacion, Mexico | SS |
| 0230 | 11920 | RTV Marocaine, Morocco | AA | 0730 | 9870 | Trans World Radio, Monaco | |
| 0230 | 9665 | Voice of Russia, via Moldova | | 0800 | 11765| KNLS, Alaska | |
| 0230 | 3320 | Radio Sondergrense, South Africa | Afrikaans | 0830 | 9970 | RTBF, Belgium | FF |
| 0230 | 9875 | BBC Relay, Cyprus | unid | 0900 | 11995| RDP Int., Portugal | PP |
| 0230 | 9440 | Radio Slovakia | | | | | |
| UTC | Freq. | Station/Country | Notes | UTC | Freq. | Station/Country | Notes |
|------|-------|----------------------------------------|-------|------|-------|----------------------------------------|-------|
| 0900 | 13840 | Italian Radio Relay Service, Italy | | 1600 | 11650 | VOIRI, Iran | |
| 0900 | 3290 | Voice of Guyana | | 1600 | 11570 | Radio Pakistan | |
| 0900 | 9690 | Deutsche Welle, via Antigua | GG | 1630 | 12125 | Far East Broadcasting, via South Africa| unid |
| 0900 | 6135 | Radio Santa Cruz, Bolivia | SS | 1700 | 15265 | Channel Africa, South Africa | |
| 0930 | 6115 | Radio Union, Peru | SS | 1730 | 15660 | Radio Jamahiriya, Libya, via France | AA |
| 0930 | 6110 | Voz Cristiana, Chile | SS | 1730 | 13765 | Vatican Radio | |
| 0930 | 11755 | YLE/Radio Finland | Finnish | 1730 | 15695 | IBRA Radio, via Germany | unid |
| 0930 | 6010 | La Voz de tu Conciencia, Colombia | SS | 1830 | 17535 | Kol Israel | HH |
| 0930 | 6070 | CFRX, Canada | | 1900 | 17560 | Radio Exterior de Espana, Spain | |
| 0930 | 6160 | CKZN, Newfoundland, Canada | | 1900 | 15190 | Radio Pilipinas, Philippines | Tagalog |
| 1000 | 17805 | Radio Romania Int. | unid | 1900 | 15470 | Radio Ndeke Luka, via England | FF |
| 1000 | 4870 | La Voz del Upano, Ecuador | SS | 1900 | 13710 | Bible Voice, via Germany | |
| 1000 | 4919 | Radio Quito, Ecuador | SS | 1930 | 15150 | Voice of Indonesia | FF |
| 1000 | 9695 | Radio Rio Mar, Brazil | PP | 1930 | 15476 | Radio Nacional Arcangel | |
| 1030 | 4747 | Radio Huanta 2000, Peru | SS | | | | |
| 1030 | 9710 | Radio Australia | | | | | |
| 1100 | 4890 | NBC, Papua New Guinea | | | | | |
| 1100 | 5020 | Solomon Is. Broadcasting Corp. | | | | | |
| 1130 | 9895 | Radio Netherlands | DD | | | | |
| 1130 | 9445 | China Radio Int. | CC | | | | |
| 1200 | 6150 | Radio Singapore Int. | | | | | |
| 1200 | 11580 | KFBS, Northern Marianas | CC | | | | |
| 1200 | 11565 | KWHR, Hawaii | | | | | |
| 1200 | 17815 | Radio France Int., via Ascension | | | | | |
| 1200 | 15565 | BBC, England | | | | | |
| 1200 | 9545 | VOA Relay, Philippines | CC | | | | |
| 1200 | 9580 | Radio Australia | | | | | |
| 1200 | 11590 | Voice of the Strait, China | CC | | | | |
| 1200 | 9525 | Radio Polonia, Poland | | | | | |
| 1230 | 15260 | Radio Sweden | | | | | |
| 1230 | 11740 | Radio Japan/NHK, via Singapore | JJ | | | | |
| 1230 | 1500 | Voice of Russia, via Tajikistan | Hindi | | | | |
| 1230 | 7295 | Voice of Malaysia | | | | | |
| 1230 | 11655 | Radio Rebelde, Cuba | | | | | |
| 1230 | 11900 | KSDA/Adventist World Radio, Guam | CC | | | | |
| 1230 | 12130 | KTWR/Trans World Radio, Guam | CC | | | | |
| 1230 | 12020 | Voice of Vietnam | | | | | |
| 1230 | 9965 | KHBN, Palau | CC | | | | |
| 1230 | 13580 | Radio Sweden | | | | | |
| 1300 | 17575 | RDP Int., Portugal | PP | | | | |
| 1300 | 9760 | VOA Relay, Philippines | | | | | |
| 1300 | 9525 | Voice of Indonesia | II | | | | |
| 1300 | 11710 | Voice of Korea, North Korea | | | | | |
| 1330 | 21605 | UAE Radio | AA | | | | |
| 1400 | 9770 | VOA Relay, Thailand | Mandarin | | | | |
| 1400 | 12010 | Radio Australia, via Singapore | Mandarin | | | | |
| 1430 | 11740 | Voice of America Relay, | | | | | |
| 1430 | 12000 | Radio Nacional, Venezuela, via Cuba | SS | | | | |
| 1500 | 15350 | Voice of Turkey | TT | | | | |
| 1500 | 9705 | Radio Mexico Int. | SS | | | | |
| 1500 | 13870 | Radio Sawa, US, via Sri Lanka | AA | | | | |
| 1500 | 13775 | Radio Austria Int., via Canada | | | | | |
| 1530 | 15455 | Voice of Russia | GG | | | | |
| 1530 | 15225 | Adventist World Radio, via UAE | | | | | |
| 1530 | 15570 | Vatican Radio | | | | | |
| 1530 | 15435 | UAE Radio | AA | | | | |
| 1530 | 15400 | YLE/Radio Finland | Finnish | | | | |
| 1600 | 11690 | Radio Jordan | | | | | |
| 1600 | 11650 | VOIRI, Iran | | | | | |
| 1600 | 11570 | Radio Pakistan | | | | | |
| 1630 | 12125 | Far East Broadcasting, via South Africa| unid | | | | |
| 1700 | 15265 | Channel Africa, South Africa | | | | | |
| 1730 | 15660 | Radio Jamahiriya, Libya, via France | AA | | | | |
| 1730 | 13765 | Vatican Radio | | | | | |
| 1730 | 15695 | IBRA Radio, via Germany | unid | | | | |
| 1830 | 17535 | Kol Israel | HH | | | | |
| 1900 | 17560 | Radio Exterior de Espana, Spain | | | | | |
| 1900 | 15190 | Radio Pilipinas, Philippines | Tagalog | | | | |
| 1900 | 15470 | Radio Ndeke Luka, via England | FF | | | | |
| 1900 | 13710 | Bible Voice, via Germany | | | | | |
| 1930 | 15150 | Voice of Indonesia | FF | | | | |
| 1930 | 15476 | Radio Nacional Arcangel | | | | | |
| 2000 | 15345 | RTV Marocaine, Morocco | AA | | | | |
| 2000 | 15505 | Radio Kuwait | AA | | | | |
| 2000 | 17800 | Voice of Nigeria | | | | | |
| 2000 | 15185 | Radio Budapest, Hungary | HH | | | | |
| 2000 | 9830 | VOA Relay, Sao Tome | | | | | |
| 2000 | 11720 | VOA Relay, Morocco | FF | | | | |
| 2000 | 17680 | Voz Cristiana, Chile | SS | | | | |
| 2000 | 9960 | Voice of Armenia | | | | | |
| 2030 | 11630 | Voice of Russia | SS | | | | |
| 2030 | 11635 | Radio Jamahiriya, Libya, via France | EE/AA | | | | |
| 2030 | 9680 | Radio Thailand | | | | | |
| 2030 | 17705 | Radio Nacional, Venezuela, via Cuba | SS | | | | |
| 2030 | 13610 | Radio Damascus, Syria | | | | | |
| 2030 | 12105 | Adventist World Radio, via South Africa| unid | | | | |
| 2030 | 11600 | Radio Prague, Czech Republic | SS | | | | |
| 2030 | 11820 | BSKSA, Saudi Arabia | AA | | | | |
| 2100 | 9445 | All India Radio | | | | | |
| 2100 | 7380 | Voice of Biafra Int., via S. Africa (cland) Sats | | | | | |
| 2100 | 11830 | Radio Budapes, Hungary | | | | | |
| 2100 | 15375 | Radio Cairo, Egypt | | | | | |
| 2100 | 17830 | BBC, England, via Seychelles | | | | | |
| 2100 | 17835 | Radio Imperial, El Salvador | SS | | | | |
| 2100 | 12080 | VOA Relay, Botswana | unid | | | | |
| 2130 | 17735 | Radio Romania Int. | | | | | |
| 2130 | 11905 | Radio Tashkent, Uzbekistan | | | | | |
| 2130 | 9880 | Radio Sweden | | | | | |
| 2200 | 9720 | Deutsche Welle Relay, Sri Lanka | | | | | |
| 2200 | 17860 | Deutsche Welle Relay, Rwanda | | | | | |
| 2230 | 9760 | Cypress Bc. Corp. | Greek; wknds | | | | |
| 2230 | 11635 | Radio Vlaanderen Int., Belgium, via Bonaire | FF/Flemish | | | | | |
| 2300 | 4845 | Radio Mauritanie, Mauritania | AA | | | | |
| 2300 | 13605 | All India Radio | | | | | |
| 2300 | 15230 | Radio Havana Cuba | PP | | | | |
| 2300 | 15630 | Voice of Greece | Greek | | | | |
| 2300 | 13680 | China Radio International | | | | | |
| 2300 | 6190 | Deutschelandfunk, Germany | GG | | | | |
| 2300 | 13865 | INBS., Iceland | | | | | |
| 2300 | 9520 | Radio Liberty, US, via Greece | RR | | | | |
| 2330 | 9875 | Radio Vilnius, Lithuania | | | | | |
| 2330 | 11700 | Radio Bulgaria | | | | | |
| 2330 | 6973 | Galei Zahal, Israel | HH | | | | |
B+K Precision’s new high-power switching power supply is targeted for applications that require high DC voltages at very high current levels (1.2 kW at 60 volts).
**B+K Precision’s New DC Power Supplies**
B+K Precision announced immediate availability of the first of a new family of high-power, low-noise DC power supplies. The Model VSP6020 High Power Switching DC Power Supply is compatible with most computers via a standard RS-232 serial port. The new unit uses modern switch mode technology to produce a high-power, low-noise switching supply that costs around 35 percent less than linear supplies with the same power, according to B+K Precision.
The unit is a 19-inch rack-mounted chassis that measures just 1.75 inches in height. It produces 1.2 kW of power, making it ideal for applications ranging from automatic test equipment to R&D labs and telecommunications. B+K reports that the power supply, “achieves an energy conversion efficiency of 80 percent, while keeping noise levels under 20 millivolts.”
For more information on the new Model VSP6020 High Power Switching DC Power Supply, contact B+K Precision directly at 22820 Savi Ranch Parkway, Yorba Linda, CA 92887, or phone 714-921-9095. Their website is located at bkprecision.com.
**Array Solutions Exclusive North American Distributor Of Bushcomm Antennas**
Array Solutions and Bushcomm Pty Ltd. have announced that Array Solutions will be Bushcomm’s exclusive distributor in the North American market, which includes Canada, Mexico, Central America, and the Caribbean. Bushcomm is a leading manufacturer of broadband antennas for military, commercial, amateur, and public communication systems. It is an OEM to many of the leading radio companies that sell wideband antennas worldwide under a variety of brand names.
Jay Terleski, owner of Array Solutions said, “We are pleased to have been selected by Bushcomm to distribute these fine antennas in the [North American] marketplace. There has been a quality gap in what is being sold to this wideband market. These high quality antennas made from stainless steel and fiberglass set the new standards in quality and performance. The three-wire BBA series of wideband antenna is proven to have higher efficiency, which means a stronger signal to our customer.”
Their BBA-100 HF Antenna covers 2 to 30 MHz without the need of a tuner, includes stainless steel wire and fittings, and uses UV resistant rods (NOT PVC pipe) and balun/load boxes. The antenna is rated at 250 watts PEP, and the input connector is a UHF socket. The Bushcomm release says, “Light but sturdy construction ensures low total mass and wind loading, making the BBA-100 ideal for any mounting situation whether between towers or a tree and the backyard shed.”
Graham Robinson, president of Bushcomm Pty Ltd. commented that, “We have produced products to serve the military and commercial wideband markets worldwide, but we felt we were missing a good portion of the North American market by not selling directly into it. When we inquired with hams in Canada and the U.S. of whom should we look to in this market the answer was always Array Solutions.” Terleski noted that, “There are several antennas to choose from all with VSWRs under 2.5:1.”
*Pop Comm* will be reviewing the BBA-100 soon, but in the meantime, we suggest you visit the Array Solutions website at www.arraysolutions.com for more information, or call them at 972-203-2008. They’re located at 350 Gloria Road, Sunnyvale, TX 75182. Don’t forget to tell Jay Terleski that you read about it in *Popular Communications!*
**Alinco Introduces DJ-C7T Pocket HT “Second Generation” Credit Card-Size Dual-Band Transceiver**
Alinco has introduced the new DJ-C7T 2m/70cm HT, a pocket-size transceiver that succeeds its popular Alinco DJ-C5. After leading the way in breakthrough miniature electronics technology with its revolutionary credit card-size transceivers, Alinco
Alinco’s new DJ-C7T handheld amateur transceiver is loaded with features, including 200 memories and wideband receive.
has created a new pocket-size HT that’s small in size but big in added memories and modes.
One of the most noticeable improvements over the DJ-C5 is the audio quality. With a completely redesigned internal speaker, the DJ-C7 delivers amazing audio quality that rivals many bigger radios. The new model also offers an SMA antenna port and a two-way antenna system that allows the use of an optional earphone cable to monitor FM broadcast reception while using the SMA antenna port for the helical antenna (included) or a choice of other optional antennas. The DJ-C7 can transmit up to 300-mW output with the powerful lithium-ion battery that is included with the radio. Using optional external power, it can transmit up to 500 mW-output.
The new DJ-C7T offers 200 memories, two-way antenna systems, wide band receive including FM broadcast and AM aircraft bands, auto repeater setting, VFO, memory and scan modes, and much more. There are 39 CTCSS encode and decode settings (decode included as a standard feature) and four tone bursts that make the unit usable for repeater operations in many parts of the world. The large display is easy to read and provides information to the user about a number of useful features. Alinco has added a split function and the ability to clone units by cable. Alinco DJ-CST optional microphones/earphones are cross-compatible with the DJ-C7T.
For more information contact Alinco at www.alinco.com.
The W3FF Buddipole
The Buddipole, a dipole and a vertical antenna, is actually a versatile system for, as the news release says, “launching your signal.” It comes complete with two 22-inch black anodized aluminum arms, two multi-band coils (40m-2m) with adjustable coil tap system, two stainless steel telescopic whips, center tee with 3/8-inch x 24 adapters, BNC/PL-259 coax connector assembly (includes RF beads) with 12 feet of coax, nylon carrying bag, black thermoplastic carrying case, and operating manual.
Cost of the antenna, which also covers 440 MHz, is $199. Contact the company at buddipole.com or phone 530-226-8446. You can also e-mail them at email@example.com. Please tell them you read about the Buddipole in Pop’Comm.
WYFR Expands...Again, Plus Catching Switzerland On Shortwave One Last Time
Remember *The Andromeda Strain*, that early 1970s movie about a deadly microbe which rode a satellite back to earth, killing nearly everyone in the little town where it landed? When the scientists eventually pinpointed the bug and amplified it thousands of times, they could actually see the thing “hiccuping” every few seconds, each time growing larger and more even deadly.
Well, there’s something akin to this happening on the shortwave bands! Lately Family Radio/WYFR, already “camping” on a great number of frequencies, has been expanding and spreading in quite a scary fashion. The latest hiccup has them being relayed from Minsk in Byelorussia, beaming to Western Europe in Spanish from 1900 to 2000 on **7350**.
Better get a move on if you want to log Swiss Radio International one last time. At the close of October SRI will end a shortwave life that dates back to the medium’s earliest days. That will be a very sad occasion.
First there were rumors, then denials. Now it appears that the rumors are true. Another victim of modern European “thinking” is Sudwestrundfunk, The Southwest German Radio (**7265**) will discontinue shortwave operations at the end of this year.
It turns out the new AFN/AFRTS outlet on **9980** is located at the U.S. military facility at Grindavik, Iceland. The 9-MHz channel replaces 13855.
Another new service is the Radio Voice of New Sudan, which recently began broadcasting on **9310**. The station is based in Sudan’s southern area, supposedly near a village called Narus, only a kilometer or so from the new-ish Radio Peace (**4750**). Initial broadcasts were just tests, but now they should be on with some sort of regular schedule. The transmitter is reported to be a 50-kW unit, so given the right schedule, we should be able to hear this one reasonably well. There is some indication that this station is connected with the opposition Sudan Alliance Forces.
The above station has no connection with the still quite new Sudan Radio Service, which is an effort of the Education Development Center, a U.S. non-profit group which gets some of its support from the government’s USAID program. Studios are in Nairobi, Kenya, but the broadcasts actually come from a Merlin transmitter site in the UK. The group maintains a website at www.sudanradio.org. The mailing address is P.O. Box 4392, 00100 GPO, Nairobi, Kenya.
Afghanistan continues to draw the interest of shortwave programmers. A new broadcast aimed at that country has come on the air. The program is “Internews,” or Salaam Watandar, and is being aired in the Pashto and Dari languages, broadcasting from 0130 to 0300 on **11795** (via Al Dhahbaya, UAE) and 1330 to 1500 on **17700** (via Rampisham). Operated by The Internews Network, an organization promoting open media, democracy, conflict resolution, pluralism, and so on, it has projects in some 45 countries and is funded by a long list of groups as varied as the Ford Foundation, Corporation for Public Broadcasting, AOL-Time Warner, Carnegie, GE, the French Foreign Affairs Ministry, Microsoft, Rockefeller, and many others. It’s based in California (P.O. Box 4448, Arcada, 95518).
**Hearing The Coalition Forces?**
Those Coalition Forces Broadcasts are still coming from 250-watt transmitters on ships working the area. The upper sideband broadcast on **15500** has been heard in Europe a couple of times. More than likely we’ll have to wait until the broadcasts are relayed by the vastly higher-powered Merlin outlets before we have any chance at hearing them. Could be that is already happening. (Or not.)
**Radio Free Asia Takes Groundbreaking Step!**
Radio Free Asia, plagued by problems in issuing QSLs some months ago, has taken something of a groundbreaking step in
that department. Listeners can now send reports on RFA transmissions through the RFA website and the recently instituted "Automated Reception Report" feature. You access the site (www.techweb.rfa.org), click on the "QSL Reports" button, then click on "Submit a Reception Report" button, which brings up a form you fill out with your reception information. Add your mailing info, submit the form, and you'll receive an immediate confirmation followed by the hardcopy QSL via regular mail.
The only drawback in the system is that it can only check time, frequency, and broadcast language, not individual program items. We assume that the QSLs still do not identify transmission sites. Apparently some of RFA's transmission partners are nervous about being seen as involved with RFA, so the station plays along with the "secret" side of their operation, even though any DXers with access to such main reference sources as Passport to World Band Radio, and others know what sites are being used.
One of RFAs sister surrogate broadcasters, RFE/RL, is to move from its current headquarters in the former Federal Assembly building in the center of Prague to a new, and likely much more secure, building somewhere in or near the Czech capital. RFE/RL hopes to be in the new facility by the end of 2007, assuming Congress approves.
And, as long as we're on the subject, we're going to go out on a limb and predict a coming significant expansion of U.S. government sponsored programming for "touchy" areas around the world, either through increased broadcast hours or entirely new broadcast services.
The new U.S. International Broadcasting Bureau station in Kuwait is now in use for Radio Free Afghanistan broadcasts on 17605 (from 1330 to 1430 and on 11945 from 0230 to 0330. It's also being used for VOA transmissions as follows: 1430 to 1630 on 13690, 1630 to 1730 on 11760, 1730 to 1830 on 11730, 1830 to 1930 on 11750, 1930 to 2230 (in English) on 11835, 2230 to 0030 (English) on 11935, 0030 to 0230 on 11995. Except where noted as English, all the rest of the VOA and Radio Free Afghanistan broadcasts are in Pashto or Dari.
Scotland's domestic station, Radio Six International, is now being heard on shortwave via WBCQ, The Planet, daily from 2300 to 0000 on 5105. If you don't find it there, try 7415.
Radio Netherlands is being carried on WRMI from 1200 to 1300 on 15725, at least on a temporary basis. Radio Netherlands is not announcing this frequency but would welcome reports of reception there.
Your Shortwave Logs
Remember, your shortwave broadcast station logs are always welcome. But please be sure to double or triple space items, list them by country, and include your last name and state abbreviation after each log. Also badly needed are spare QSLs you don't need returned, station schedules, brochures, pennants, station
photos, and anything else you think would be of interest. And how about sending a photo of you at your listening post? Step up and get your 15 minutes of fame!
All right. Let’s move the furniture and roll up the rugs. Here are this month’s logs. All times are in UTC. Double capital letters are language abbreviations (SS = Spanish, RR = Russian, AA = Arabic, etc.). If no language is specified the broadcast is assumed to be in English (EE). See the sidebar insert for explanations of other abbreviations used.
**ALASKA**—KNLS, **11765** in CC at 1232. (Brossell, WI)
**ALBANIA**—Radio Tirana, **6115/7160** at 0230 with broadcast schedule, Albanian and international news. (Burrow, WA)
**ARMENIA**—Voice of Russia relay, **9965** in SS at 0240. (Brossell, WI)
**ARGENTINA**—Radio Nacional, **6060** with news in SS at 0959. (DeGennaro, NY) RAE, **11710** with talk in EE at 0230. (Linonis, PA) 0237 in SS. (Burrow, WA)
**ASCENSION ISLAND**—BBC Relay, **15400** with “Focus on Africa” heard at 1930. (Paradis, ME) **17830** heard at 1955. (MacKenzie, CA)
**AUSTRALIA**—Radio Australia, **6020** with news at 1059. **9560** with ID at 1115, news. **9580** with Inter-Pacific News at 1027, **9590** with news; interview at 1030 and **9710** with news in Pidgin at 1036. (DeGennaro, NY) 6020 in Pidgin at 1015. Also 1230 but nearly covered by Vatican opening in Thai. (Barton, Mexico) 1305 with news and music. (Northrup, MO) 9560/9580/9590 with “Money Talk” at 1125. (Brossell, WI) 9590 at 1102 and **17795** at 2315. (Charlton, ON) **11880** with interview at 1830. (MacKenzie, CA) **9710** with talk at 0915. (Ziegner, MA) **15240** with Pacific Island news at 0300. (Linonis, PA) Voice International, **13685** to East Asia at 1110. Also **13770** at 1120. (DeGennaro, NY)
**AUSTRIA**—Radio Austria Int., **9870** at 0126 with “The Jenny Johnson Report.” (Charlton, ON)
**BELARUS**—Radio Minsk, **7210** at 0218 with feature about crime in Belarus, ID at 0222. Closedown annits and schedule recap. ID 0228, IS, and multilingual IDs at 0230. Then into Belarusian. (D’Angelo, PA)
**BELGIUM**—Radio Vlaanderen Int., **11635** via Bonaire in FF monitored at 2245. (Charlton, ON)
**BOLIVIA**—Radio Illimani, **6025** at 0220 with fast-talking SS, coverage of football match, jingles, ads, laser sound effects. Sign off ID at 0245 and without signature. (D’Angelo, PA)
**BOTSWANA**—VOA Relay, **12080** in FF at 1915. (Brossell, WI) **15580** with news at 1600. (Paradis, ME)
**BRAZIL**—Radio Educacao Rural, Campo Grande, **4754** in PP at 0925; ID 0927. (DeGennaro, NY) Radio Senado, Brasilia, **6190** with call-in program at 0925. (DeGennaro, NY) Radio Clube do Para, Belem, **4885** with PP talks and music at 0933. (DeGennaro, NY) Radio Difusora Roraima, Boa Vista, **4825** with 14 talks at 0348. (DeGennaro, NY) A Voz da Sao Francisco, Petropolis, **4700** with futbol coverage at 0101. (DeGennaro, NY) Radio Brazil Central, Goiania, **4985** in PP with ID at 0400. (DeGennaro, NY) Radio Clube Paranaence, Curitiba, **6040** with futbol coverage in PP at 0020. (D’Angelo, PA) **11935** in PP at 1312. (Brossell, WI) Radio Guaruja Paulista, Marilia, **3235** at 0310 with PP vocals and talks by woman./5045. (D’Angelo, PA) Radio Guaiaba, Porto Alegre, **11785** at 0124 with PP talks, ID, light orchestral music, more talks, and ID. (D’Angelo, PA) Radio Anhanguera, Goiania, **4915** with futbol coverage in PP at 0053. (DeGennaro, NY) Radio Tupi, Curitiba, **9565** with preaching in presumed PP, choir, more talk at 0000. (D’Angelo, PA) Radio program (D’Angelo, PA) Radio Nacional Amazonia, **11780** in PP at 1028. (DeGennaro, NY) 0129. (Charlton, ON) 0215. (Brossell, WI)
**BULGARIA**—Radio Bulgaria, **9700** at 2357 in Bulgarian; ID at 0000. (DeGennaro, NY) **9700** at 0000, **11700** at 2301 and 15700 at 1130, all in EE. (Charlton, ON) 9700/11700 at 0227 with e-mail address, Ids, and “Personality Spotlight.” Also **11500** with Bulgarian sports, ID at 1750. (Burrow, WA) 11700 on reform in the Bulgarian government at 0210. (Brossell, WI)
**CANADA**—CBC Canada Int., **13655** with CBC and CBC programming at 1345, **17785** with news at 1900. (Barton, Mexico)
**CHILE**—Voz Cristiana, **5925** in SS with lengthy ID at 1000 including schedule and aims. Also **15375** with discussion of sports in Latin America at 0128. (DeGennaro, NY)
**CHINA**—China Radio Int., **6040** with “Real Time Beijing” at 1105. Also **9500** to East Asia with news at 1008, and **11750** via Canada at 1101. (DeGennaro, NY) 6145 via France at 2302, **13680** via Canada at 2310, and **13750** at 1544. (Charlton, ON) **11670** in EE at 1715; **9925** at 1915. (MacKenzie, CA) Humberel BPS, 3900 in SS at 1148 with woman and man DIs with intervals of disco-rock. (Foss, Philippines) CPBS, Xi’an, **11660** in CC at 1304. (Brossell, WI) China Music Jammer, **11590** over Radio Free Asia via Armenia at 1307. And, at the same time, on **11875** over CBS, Taiwan and **11990** covering VOA via Russia. (Brossell, WI) **11700**, /11740 at 1720. (MacKenzie, CA)
**CLANDESTINES**—Radio Marti, via Delano, **9565** in SS with ID, jingles, news at 2200. (Linonis, PA) **9805** with SS to Cuba at 1038. (DeGennaro, NY) Radio Free Syria (t) 1350 via SS at 1825 with Middle Eastern vocals and brief instrumental music before carrier was cut. No announcements heard; poor signal. (D’Angelo, PA) Radio Nacional de la RASD, via Algeria, **7460** in AA at 2100. (Ziegner, MA) Salaam Wantandar (Internews Radio) (p) **11795** at 0247 with talks to abrupt close at 0300 with no ID. Heard again at 0151 to 0300 close with IDs, talks in Pashto until switch to Dari at 0215. Also on **17700** in SS with Dari from 1332 tune to 1415. **11795** possibly in UAE. Also heard for Afghanistan. (D’Angelo, PA) Radio Farda to Iran, **9775** in Farsi at 0238. (Brossell, WI)
**COSTA RICA**—University Network, **13750** at 2145. (Charlton, ON)
**CROATIA**—Voice of Croatia, **9925** via Germany, 2224 in EE. (Charlton, ON) 0214 mentioning e-mail address, ID, music. (Burrow, WA) 2336 with Croatian news. (DeGennaro, NY)
**CUBA**—Radio Havana Cuba, **11760** in FF at 2140. (Charlton, ON) **15230** in SS at 0140. Also **15375** in SS at 2345. (Barton, Mexico) Radio Rebelde, **5026** in SS at 0900. (Barton, Mexico) Radio Reloj, **12000** with time annits, Ids, and news items from Cuba and South America. Off at 1055 and Radio Havana sign on at 1100. (DeGennaro, NY) (Interesting! Reloj was a shorthand regular in pre-Castro times—glb)
**CYPRUS**—BBC Relay, **7165** in unid Asian language at 0250. (Brossell, WI) **9410** with UEFA football match live at 2000. (Paradis, ME)
**CZECH REPUBLIC**—Radio Prague, **7345** at 0000, **9415** at 2228 and **9440** at 0015, all in SS. (Charlton, ON) **9870** in presumed Czech at 0239. (Brossell, WI) **11600** with feature, ID, and addresses at 0353. (Burrow, WA) **11615** with interview on Czech politics at 1037. (DeGennaro, NY)
**ECUADOR**—HCJB, **11960** with drama in SS at 1205. (DeGennaro, NY) Radio
Federacion, Sucua, 4960 in SS at 1004. (DeGennaro, NY) Radio Quito, 4919 in SS at 0909. (Jeffery, NY)
EGYPT—Radio Cairo/Egyptian Radio, 9990 in AA at 1905. (Brossell, WI) EE at 2213. (Charlton, ON) 11855 at 0320 to 0327 close. (Burrow, WA) 12050 at 2130 in AA with music and possible phone interview. (Linonis, PA) 0153 in AA with music. (DeGennaro, NY)
ENGLAND—BBC, 9740 via Singapore to Asia and Australia at 1022. Also 9915 via Cyprus to Middle East and North Africa in AA at 2339. (DeGennaro, NY) 15565 with news, live tennis comment from Wimbledon 1630. (Paradis, ME) 17830 at 1832 and 2104 on 1538, both via Ascension. (Charlton, ON)
ERITREA—Voice of the Brood Masses, 7100 at 1611 with vocal and stringed instrumental music. (Foss, Philippines)
ETHIOPIA—Radio Ethiopia, 9560.3 at 1356 in listed Afar with music and talk. Into Arabic at top of hour. (Strawman, IA)
FINLAND—YLE/Radio Finland, 15400 at 1244 with apparent drama in Finnish. (Brossell, WI)
FRANCE—Radio France Int., 11600 via China in FF at 1225. (Brossell, WI) 11845 in FF north Africa at 1037. (DeGennaro, NY)
FRENCH GUIANA—Radio France Int. Relay, 15515 in FF at 1510. (Charlton, ON)
GABON—Africa No. One, 9580 in FF at 2024. (DeGennaro, NY) 2130 to 2200 with African pops. (Linonis, PA) 15475 in FF at 1605. (Charlton, ON) 1700 in FF. (Paradis, ME) 17630 in FF at 1245. (Brossell, WI)
GERMANY—Deutsche Welle, 9900 via Irkutsk, Russia, in GG to SEA at 1048. (DeGennaro, NY) Sudwestrundfunk, 6030 in GG at 0400 with talks, pops, occasional ads. Poar to fair-weather Mars is off. (D’Angelo, PA) Deutscher Rundfunk, 6085 in GG with light instl music, brief free-form ID with woman prior to three time pips at 0000, ID, news by man (D’Angelo, PA) Bayerischer Rundfunk, 6085 with news and comments in GG at 0422. (DeGennaro, NY)
GREECE—Voice of Greece, 9420 in Greek at 2014 and 17705 via Delano in Greek at 1033. (DeGennaro, NY) 15630 in Greek at 1934. (Brossell, WI) 2030. (Charlton, ON) Radio Makedonia, 7450 White in Greek at 2100 with news, Greek music. (Linonis, PA) 2234 with Greek music, man in Greek hosting, ID, and s/offs annmts at 2350/by orchestral national anthem. (D’Angelo, PA)
GUAM—AFN/AFTRS, 5765 USB at 1934. (Foss, Philippines) Trans World Radio, 9865 in CC at 1037. (Jeffery, NY) 1245 in CC. (Brossell, WI)
GUATEMALA—Radio Cultural Coatan, 4780 (t) at 1045 with children’s choir, marimba. (Barton, Mexico) 0212 to 0230 close in SS with variety of vocals, man mentioned Coatan, sign off routine. (Ruzkiewicz, WI) 0242 with man in SS giving ID and sign off annmts, light instl music, no anthem. Another evening on until 0256 close. (D’Angelo, PA) Radio Buenos Nuevas, 4800 at 1210 with children’s choir, folk music. (Barton, Mexico) Tentative at 0215 in SS with possible radio drama. (Linonis, PA)
HAWAII—KWHR, 9930 with sermon at 1205. (Brossell, WI)
HUNGARY—Radio Budapest, 9590 on WWII atrocities. (Charlton, ON) 9790 with “Insight on Central Europe” heard at 0233. (Burrow, WA)
ICELAND—AFN/AFRTS, 9980 USB at 0238 with sports features and info drop-ins where the commercials usually go. AP news at 0300. (D’Angelo, PA)
INDIA—All India Radio, Mumbai, 4840 at 1000 opening with Hindi music, Hindi talk, EE ID, and news at 0030. (D’Angelo, PA) AIR Thiruvanthapuram, 5010 at 0016 with carrier, Is at 0018, Hindi vocal, ID at 0029.30, EE ID and news at 0035. (D’Angelo, PA) 9445 Bangalore, with news and features at 2100. (Paradis, ME) 10330 at 0115 with Indian music and talk in presumed Hindi. (Watts, KY) 0117. (Brossell, WI) 11715, Delhi, in EE at 2222. (Charlton, ON) 17510, Delhi, at 1010 with commentary, ID for the General Service of All India Radio. (Foss, Philippines)
INDONESIA—Voice of Indonesia, 9525 with woman in unid language at 1013. (DeGennaro, NY)
IRAN—VOIRI, 9635//11650 in EE at 1620 ID and schedule at 1625. (Burrow, WA) 9935 in Farsi at 2326. (DeGennaro, NY) 15190 in AA at 0955. (Ziegner, MA)
ISRAEL—Kol Israel, 7545 in EE at 0330. (Linonis, PA) 11585 with U.S. pops at 0120. (Brossell, WI) 11590 with news from Israel at 0400. (Burrow, WA) 15760 in HH at 0119. (DeGennaro, NY) 17535 in HH at 1826. (Charlton, ON) Galei Zahal, 6973 with music and talk in Hebrew at 0245. (Brossell, WI) 6974.5 at 0400 in HH. New frequency or just wandering? (D’Angelo, PA)
ITALY—RAI Int., 9605 with news, music at 1930. (Paradis, ME) 11800 in EE at 0124. (Charlton, ON) 0215 in II. (Brossell, WI) 11929 via Singapore in II at 1043. (DeGennaro, NY)
JORDAN—Radio Jordan, 9830 in AA at 1915. (Brossell, WI)
JAPAN—Radio Japan/NHK, 6120 via Canada at 1109. 9530 via French Guiana in JJ at 0918 and 9540 in SS at 1020. (DeGennaro, NY) 6145 via Canada at 0011, 11895 via French Guiana in JJ at 2227 and 15220 via Ascension in JJ at 2209. (Charlton, ON) 9605 at 1320 with jamming and WYFR QRM. (Strawman, IA) 11740 via Singapore in JJ at 1150. (Brossell, WI) 11895 via French Guiana at 2205; //11910, 13680, 15220 and 17825. (MacKenzie, CA)
KUWAIT—Radio Kuwait, 11675 with Koran at 0030. (Brossell, WI)
LITHUANIA—Radio Vilnius, 9875 at 2330 with ID, IS, program contents, news, and features. (Burrow, WA) 2344 with rock and blues. (DeGennaro, NY)
MALAYSIA—Radio Malaysia, 7295 at
100 Jorie Blvd. #332 Oak Brook, IL 60523
1505 with news, “Midnight Madness” program starting at 1510. (Burrow, WA)
MALI—RTV Maliene, 4835 with FF conversation at 2312. (DeGennaro, NY)
MADAGASCAR—Radio Netherlands Relay, 9895 in SS at 0235. (Brossell, WI)
MAURITANIA—Radio Mauritanie, 4845 with AA talks or prayers at 2309. (DeGennaro, NY) 7245 with Koran heard at 0805. (Ziegner, MA)
MEXICO—Radio Educacion, 6185 with SS talks and music at 0950. (DeGennaro, NY) XERTA/Radio Transcontinental de America, 4810 at 0320 with SS talk, vocal; more talk. (D’Angelo, PA)
MOLDOVA—Voice of Russia Relay, 7125 in RR at 0310. (Linonis, PA) 9665 in SS at 0001. (DeGennaro, NY) EE at 0150. (Brossell, WI)
MOROCCO—RTV Marocaine, 15345 in AA at 1920. (Brossell, WI) 2134 in AA. (Charlton, ON) Radio Medi Un, 9575 with talk and songs in AA at 0039. (DeGennaro, NY) VOA Relay, 15410 to Africa at 2030. (Paradis, ME)
NETHERLANDS—Radio Netherlands, 9795 via Singapore with Indonesian service at 1250. Splatter from Marti on 9805. RN went off at 1257, Marti at 1259, leaving strong Cuban jammer on 9805. (Strawman, IA) 11655 in EE at 2020. (Charlton, ON) 11675 with interviews at 1115. (DeGennaro, NY)
NETHERLANDS ANTILLES—Radio Netherlands via Bonaire, 9785 with talk in EE at 1021. (Jeffery, NY) 17810 monitored at 2050. (Charlton, ON)
NEW ZEALAND—Radio New Zealand Int., 6095 with news, music, ID at 1305. (Northrup, MO) 1500 with time pips, news. (Barton, Mexico) 9885 with comedy show at 0930. (Ziegner, MA) 1031 with news, also 15720 at 0055. (Jeffery, NY) 1043 with interview. (DeGennaro, NY) 1209 with sports. (Brossell, WI) 15720 at 0100 to 0300; excellent signals with weather, sports, music. (Linonis, PA) 0249 with pop songs. (Charlton, ON) 0438 with movie review, music reviews, ID, and close to move to 9615 at 0500. (Burrow, WA)
NIGERIA—Voice of Nigeria, 7255 at 0537 with music, dead air, more music. (Burrow, WA) 17800 with poor audio in EE at 2041. (Charlton, ON)
NORTH KOREA—Voice of Korea, 6520 in KK at 1140. Also in FF at the same time on 11710. (Brossell, WI) 9335 with feature at 1041 and anmt at 1045: “You’ve been listening of (sic) an account of rural villages being turned into a socialist fairyland.” (Foss, Philippines) 9975//11735 music in praise of Kim Jung IL at 1637. (Burrow, WA) 11645//13760 in KK at 1707. (MacKenzie, IA) 11710//11735 at 1225 with martial/patriotic music and talk in KK (Brossell, WI)
NORTHERN MARIANAS—KFBs, 11580 in CC at 1220. (Brossell, WI)
PAKISTAN—Radio Pakistan, 11570//15100 with news at 1610. Off abruptly at 1614. (Burrow, WA)
PALAU—KHBN/voice of Hope, 9965 with songs in CC at 1228. (Brossell, WI)
PAPUA NEW GUINEA—Radio Western, Daru, 3305 with R&B and country with EE host at 1134. (Foss, Philippines) NBC, 4890 with island music at 1121. (Brossell, WI)
PARAGUAY—Radio Nacional, 9737 in SS with talk and commercials at 2353. (DeGennaro, NY)
PERU—Radio Tarma, 4775 at 0235 with OA vocals, echo amnts, SS talk, ID at 0300. (Paszkevicz, WI)
PHILIPPINES—Radio Filipinas, 11720//15190//17720 at 1744 in Tagalog with news, sports, and station maritions. (Burrow, WA) 1825 with human talk, song, and ID of EE host in Tagalog. (MacKenzie, CA) VOA Relay, 9760 at 1214. (Brossell, WI)
PIRATE—United Patriot Militia Bingo, 6925 at 0130 with parody on Steve Anderson, mentions of Jay Smilklette, George Zeller, and John Arthur. (Linonis, PA) Captain Morgan, 6950 at 0244 with TV theme songs and bits of rock things. ID at 0302 and off at 0308. (D’Angelo, PA) WHYP (i) 6925 at 0037 with music and parodies. (Balint, OH) Undercover Radio, 6925 USB at 0145 with classic rock, mentions of other pirate broadcasters. (Linonis, PA)
PORTUGAL—RDP International, 15295 in PP with ID at 0130, 21540 in PP to South America heard at 2022 and 21655 in PP to West Africa and South America at 2019. (DeGennaro, NY) 1900 in PP. (Paradis, ME)
ROMANIA—Radio Romania Int., 9590 at 2318, 11940 at 0118 and 15380 at 1840, all in EE. (Charlton, ON) 11820//15140 at 0433 with Romanian business, ID. (Burrow, WA)
RUSSIA—Voice of Russia, 12070 in RR to South America at 0149. (DeGennaro, NY) 15455 in FF at 1925. (Brossell, WI) 15490 with IS at 1234 and into Mongolian Service. (Strawman, IA) Radio Rossi, 1230 in EE at 1040. (Hariton, ON) Bible Voice Broadcasting Network, 12065 via Kharkov, ID at 1223 in listed Cantonese. (Strawman, IA) Radio Ezr, Relay, 17590 at 0922 with mentions of Palestine and ID at 0927. Off with instrumental music at 0930. Very poor. (D’Angelo, PA)
RWANDA—Deutsche Welle Relay, 17860 in GG with talking and music interludes. Parallel 13810 unheard as it was occupied by very strong University Network. (MacKenzie, CA)
SAO TOME—VOA Relay, 15730 with solid gold hits at 1941. (Brossell, WI)
SAUDI ARABIA—BSKSA, 15380 with Koran recitations at 1248. (Brossell, WI) 17560 in AA at 1715. (Charlton, ON)
SERBIA & MONTENEGRO—International Radio of Serbia & Montenegro, 9580 in Serbia at 0034. Transmitters are in Bosnia. (DeGennaro, NY) 0441 with financial report, arts, music, ID, and schedule at 0456. (Burrow, WI)
SINGAPORE—Radio Singapore Int., 6185 at 1245 with Mandarin Service. (Strawman, IA) Mediacorp Radio, 6150 with news and program promos at 1503. (Burrow, WA) BBC Relay, 9740 at 1137. (Brossell, WI)
SLOVAKIA—Radio Slovakia, 5930 at 0110 with talk on comparative prices at McDonald’s. (DeGennaro, NY)
SOLOMON ISLANDS—SIBC, 5020 with BBC news at 1122. (Brossell, WI)
SOUTH AFRICA—Channel Africa, 7210//9770 at 0500 with time pips, ID and news. (Burrow, WA) Radio Sondergense, 3320 with pops at 0245. (Brossell, WI)
SOUTH KOREA—Radio Korea Int., 9755//9870 at 1642 with travelogue, “RKI Quiz Show” at 1654. (Burrow, WA) 9580 via Canada at 0234, //15575. ID at 0257 and off by 0259. (MacKenzie, CA) 9650
This Month’s Book Winner
To show our appreciation for your loggings and support of this column, each month we select one “Global Information Guide” contributor to receive a free book. Readers are invited to send in loggings, photos, copies of QSL cards, and monitoring room photos to me at Popular Communications, “Global Information Guide,” 25 Newbridge Road, Hicksville, NY 11801, or by e-mail to firstname.lastname@example.org. The e-mail’s subject line should indicate that it’s for the “Global Information Guide” column. So come on, send your contribution in today!
Our book winner this month is Robert Brossell, Pewaukee, Wisconsin, who, despite an extremely rough schedule, never misses submitting logs to the “G.I.G.” Bob gets a copy of the 2005 edition of Passport to World Band Radio, courtesy of Universal Radio, 6830 Americana Parkway, Reynoldsburg, OH 43068. That’s the address you can use to request a copy of their giant catalog of shortwave radios and everything under the sun that goes with them. Or you can call Universal at 614-866-4267.
SRI LANKA—SLBC, 9770 at 0037 with continuous pops, time check at 0100, and ID: “On a Tuesday morning...time is now 6:30. Good day everybody. You are listening to the Sri Lanka Broadcasting Corporation.” /15748 was very poor, (D’Angelo, PA) VOA Relay, 12140 in unid Asian language at 0137. (Brossell, WI) 15545 in unid language at 1730. (Paradis, ME)
SUDAN—Radio Peace, 4750 at 0237 with “Spotlight” program. Nice ID and frequency arm at 0244; “We are broadcasting on 4750 kHz in the 60 meter band. This is Radio Peace.” After brief music, another ID, then another religious program in an African language, another ID at 0259 and another religious program in an African language. (D’Angelo, PA)
SYRIA—Radio Damascus, 13610 at 2012 with AA vocals, EE news. (Paszkiewicz, WI) 2219 in EE with Middle East music. (Charlton, ON)
SWITZERLAND—Swiss Radio Int., 9885 at 2320 ending II and into EE at 2330 noting coming and of their broadcasting on shortwave, thanking listeners and giving website URL. More IDs monitored at 0040 and 0050 until carrier cut. (D’Angelo, PA) (And nuts to them! gld)
TAIWAN—Radio Taiwan Int., 5950/9680 via Florida opening at 0200. (Barton, Mexico) 11550 in unid Asian language at 1144. (Brossell, WI) 15600 via Florida at 2221 “Welcome to Radio Taiwan International.” (Charlton, ON) CBS, 15395, in CC at 1242. (Brossell, WI) 15465 in listed Cantonese at 1235 and way over the Chinese Jammer. (Charlton, IA)
TAJIKISTAN—Voice of Russia relay, 11500 to SE Asia at 1500. (Barton, Mexico) 11510 in SS at 0120. (Brossell, WI)
THAILAND—Radio Thailand, 5890 via Greenville, at 0030 with talk on health problems there, business news, promo for Thailand Export Mart. (Lincoln, PA) 0031, (Charlton, ON) BBC Relay, 11945 in CC at 1240 with the China Music Jammer underneath. (Brossell, WI) VOA Relay, 11785 in CC at 1155. (Brossell, WI) 15290 at 2230 with news, featuring the East Coast. (Paradis, ME)
TURKEY—Voice of Turkey, 9460 in TT at 2137 and 9830 in EE at 2214. (Charlton, ON) 9460 in TT at 0140 and 15225 with “Turkish Press” at 1235. (Brossell, WI) 9785 in EE to Europe at 1900. (Paradis, ME) 15350 in TT at 1400. (Ziegner, MA)
TUNISIA—RTT Tunisienne, 12005 in AA at 0228 and 15450 in AA at 1250. (Brossell, WI)
UKRAINE—Radio Ukraine Int., 7240 in RR at 0330. (Lincoln, PA) 7545 in presumed Ukrainian at 131. (Charlton, ON) 0333 with news, “You are listening to Radio Ukraine International.” (Brossell, WI)
UNITED ARAB EMIRATES—Emirates Radio, Dubai, 13675 in AA to Europe at 1107. (DeGennaro, NY) 15395 in AA at 1830. (Paradis, ME) 1925. (Brossell, WI) 2003 with non-stop Middle Eastern vocals to close at 2026. (D’Angelo, PA)
UNITED STATES—KTBN, 7505 still here with religious fare, ID at 0200. The doom and gloom announcement about the station being in danger of going off the air for lack of response was noted at 0230. (D’Angelo, PA) Radio Six Int., via WBQC-7415, special broadcast to North America from this Scottish station with mix of music on the “Tony Currie Wireless Show,” big news at 0240. They read few e-mails on the air including mine. (D’Angelo, PA) This is supposed to be the air daily at 2300 now.—gld) La Vox de la Restauracion, 1775 (ex KVOH/Voice of Hope) with religious programming to ID at 1700. (D’Angelo, PA)
VATICAN—Vatican Radio, 9605 at 0029 in PP to Brazil. (DeGennaro, NY) 11625 with African songs and station IS at 2028. (Charlton, ON) 11910 at 0226 with SS ID, IS and off at 0229. (Brossell, WI)
VENEZUELA—Radio Amazonas, Puerto Ayacucho, 4937 in SS at 0057. (DeGennaro, NY) Observatorio Naval Capital, Caracas, 5000 at 0040 with time signal annits in SS. (DeGennaro, NY) Radio Nacional, 13680 via Cuba heard in SS after CRI closes at 2355. (Barton, AZ)
VIETNAM—Voice of Vietnam, 5035 Xuan Mai, at 1233 with acapella vocals, folk songs, woman ancer in VV. (Foss, Philippines) 9550/13740 at 1616 with mailbag program, ID, addresses, and schedule. (Burrow, WA) 9839,9 in Cantonese at 1155. (Strawnan, IA)
ZAMBIA—ZNBC/Radio Zambia, 4910 at 0133 with newscast. (DeGennaro, NY)
ZANZIBAR—Radio Tanzania, Zanzibar, 6015 very tentative, at 0303. Heard only snatches of AA vocals fading in and out. (D’Angelo, PA)
ZIMBABWE—Radio Zimbabwe/ZBC, 3306 with hi-life music at 0250. (Brossell, WI) Man in vernacular hosting program of African vocals, IDs at 0300 and 0307. Poor to fair but steadily improving. (D’Angelo, PA)
And once again order is restored! Raise up a mighty cheer for the following folks who supplied the goodies this time: Bruce R. Burrow, Snoqualmie, WA; Jerry Strawman, Des Moines, IA; Robert Charlton, Windsor, ON; Stewart MacKenzie, Huntington Beach, CA; Robert Brossell, Pewaukee, WI; Dave Jeffery, Niagara Falls, NY; Rick Barton, Phoenix, AZ (vacationing in Mexico), Tricia Ziegner, Westford, MA; Marty Foss, Philippines; Mark Northrup, Gladstone, MO; Rich D’Angelo, Wyomissing, PA; Jack Linonis, Hermitage, PA; Ray Paradis, Pittsfield, ME; R.C. Watts, Louisville, KY; and Sheryl Paszkiewicz, Manitowoc, WI. Thanks to each one of you!
via Canada in KK at 1121. (DeGennaro, NY) 15365 via Germany in AA monitored at 1923. (Brossell, WI)
SPAIN—Radio Exterior de Espana, 3350 via Costa Rica in SS at 0245. (Brossell, WI) 9535 in SS at 0043. (DeGennaro, NY) 15290 with a report on Gibraltar at 2033. (Charlton, ON) 21700 in SS at 1700. (Barton, Mexico) 1925 in SS. //11815, 15110, 17850. (MacKenzie, CA)
Being Prepared: VHF/UHF Antenna Basics
Just recently the Department of Homeland Security (DHS) head guru, Tom Ridge, raised to Orange the terror alert status for New York City, Washington, D.C., and several other specific areas of the U.S. in the wake of some very specific terror targeting information gathered from recently captured Al Qaeda operatives. This type of specific information and subsequent selective elevation of the alert status has been a long time coming, but it certainly is a welcome change in policy and procedure.
Virtually nothing has changed since 9/11. We are still at war with a very smart, illusive, and extremely cunning adversary. As I have stated before, this is a “shadow war” waged on many levels. While the military and intelligence units assigned to combat terrorism are professionally trained to do specific tasks, it still remains the job of the ordinary civilian to be alert and report any suspicious activities to the proper authorities. The pros can’t be everywhere, and that’s where all of us come in to play. We can be the extra sets of eyes and ears that can provide much needed intelligence in this worldwide war on terror.
Owning and using a scanner—or several scanners—can give the average American the ability to help local law enforcement. Knowing what is going on in and around your community makes you an aware citizen. Your input on an emerging situation can provide much needed help to law enforcement and possibly even help apprehend a suspect, which, in turn, allows these same law enforcement professionals to devote their time to more important matters.
Several months ago I related two occasions where I was personally involved in helping the Wilkes-Barre (Pennsylvania) police locate and detain subjects via information gained by listening to my scanners. I am sure that I am not alone in my efforts. Therefore, it behooves all of us to not only procure and use a scanner (or two) but to ensure that our antennas are up to the task of monitoring the frequencies needed to maintain an increased level of awareness in and around our communities. That’s why this month we will be dealing with VHF/UHF antennas for your home listening post.
In this installment of “Homeland Security” we will investigate some commercially manufactured antennas for the VHF/UHF spectrum, give you some ideas on where to find the information to build/modify VHF/UHF antennas, and we’ll end our column with a really neat little portable power unit from the HF Pack website (www.hfpac.com).
Some VHF/UHF Basics
One topic we need to discuss before proceeding further is the propagation effects encountered when one ventures into the world of VHF/UHF communications. Unlike HF communications, which can take advantage of the refracting layers of the upper levels of the ionosphere, VHF/UHF communication is primarily accomplished via line of sight (LOS). Signals at these frequencies behave very similarly to a beam of light from a flashlight. In other words, if you can “see” the other station’s antenna, you can “talk” to that station. This was the popular theory that held sway until extensive experimentation was undertaken, mainly by ham radio operators, in the early days of VHF communications. These experiments revealed that VHF/UHF radiowaves are scattered and/or bent to some degree by the lower levels of the Earth’s atmosphere in several ways and that reliable communications could be established and maintained well beyond the typical LOS path.
The curvature of the Earth, along with lower atmospheric anomalies, must be figured into the equation, resulting in a reliable communications path that extends typically 15 percent over the normal geometric path. The reason for this is that, under normal conditions, the atmosphere near the Earth causes VHF/UHF radiowaves to bend into an arc closely following the curvature of the Earth. The end result is that the VHF/UHF radiowaves hug the Earth, allowing reliable communications well beyond the straight line path. This effect is described as the radio horizon, which is directly related to antenna height and NOT transmitter power. In other words, the higher you can erect your VHF/UHF antenna, the farther you will be able to communicate, or in the case of the serious scannist, the farther you will be able to hear.
The first antennas we’ll look at are commercial offerings designed to “plug-and-play.” With all the family activities and hobbies that many of us have crowded into our “free” time, it’s often much easier to purchase a commercially built antenna and erect it rather than doing the research necessary to design and/or
modify an antenna for a specific use. With that in mind, let’s take a look at some ready-to-erect commercial scanner antennas from a couple of manufacturers.
**Two From Grove Enterprises**
Grove Enterprises, Inc. (www.groveenterprises.com), offers two scanning antennas that will definitely improve your existing antenna farm. Their Scantenna made by Antennacraft, is an omni-directional scanner antenna covering from 25 MHz to 1.3 GHz. This covers the 10-, 2-, 1-3/4 -meter, and 70-centimeter ham bands, in addition to the 11-meter CB band, civilian and military aircraft bands, maritime, public safety, and personal communications bands (FRS & GMRS). In short, this antenna covers the gamut of signals from just below the low-band VHF spectrum into the lower gigahertz range, which is a lot of territory.
Instead of a ground plane, this antenna uses a cluster of dipoles at a central feed point (dimensions: 7.5 feet high by 4.5 feet wide). You don’t need the ground radials, as depicted in a typical ground plane counterpoise, provided you have the “other half of the dipole antenna” available for proper impedance matching. While the antenna looks a little strange, it is designed to provide good reception over an exceptionally wide range of frequencies. Performance is in keeping with other wideband omni antennas covering similar frequency bands.
Since the humble omni-directional antenna is the workhorse of the VHF ham and scannist, the Scantenna is a very good choice for your primary externally mounted base station antenna. It uses a TV-type “F” connector for the coaxial cable at the antenna feedpoint. Grove now offers 50 feet of coaxial cable terminated in the proper connectors at a package price of only $49.95 MSRP, which includes the Scantenna! If you’re in need of an external main station antenna to round out your monitoring post, the Scantenna is an inexpensive solution that deserves a serious look.
The second offering from Grove is the Grove Scanner Beam Antenna II, a third generation design of the company’s popular directional scanner antenna. This scanning antenna is rather unique in that it covers 30- to 50-MHz low band VHF along with 6 meters (50 to 54 MHz) and FM broadcast band (88 to 108 MHz) as an omni-directional antenna. This antenna becomes directive at frequencies above 100 MHz. The Scanner Beam covers all the way up to 1 GHz, which includes the 2-meter, 3/4-meter and 70-centimeter ham bands, the VHF/UHF TV frequencies, military and civilian aircraft frequencies, low- and high-band VHF/UHF public service frequencies, and microwave mobile frequencies. In addition, the Grove Scanner Beam Antenna II can transmit on 6 and 2 meters, 3/4 meters, and 70 centimeters using no more than 25 watts of RF output power. This is great news for the ham radio operator needing a double duty antenna for VHF plus.
Since this antenna is directional, some thought must be given as to turning it once it is erected. The folks at Grove Enterprises suggest using an inexpensive TV rotor, such as found at RadioShack. These low-end rotors and control boxes can also normally be found for under $25 at hamfest flea markets. The Grove Scanner Beam Antenna II has a boom length of 60 inches, and the longest element is 96 inches; total weight is 3.5 pounds. This antenna exhibits unity gain (0 dB) from 30 to 50 MHz, 4- to 6-dB gain between 100 and 200 MHz, 6- to 8-dB gain from 400 to 500 MHz, and 10- to 12-dB gain from 800 MHz up to 960 MHz. Wind load is estimated at around 1 square feet or less, which lends itself nicely to using a TV rotor. Priced at $64.94 MSRP, the Grove Scanner Beam Antenna II offers the serious scannist and ham radio operator a very useful wideband antenna. In addition, Grove provides information on stacking two of these antennas for increased gain and directivity.
Before you buy, though, there is an important consideration to take into account. One problem in using directional antennas stems from their very directionality. No, I’m not engaging it radio double-speak. While it is true that directional gain antennas provide increased reception in one direction, they also attenuate (reduce) the amount of signal from other directions. In certain instances this can be a good thing; however, the serious scanner often needs to hear things from different areas of the locality, meaning that a directional gain antenna can be more of a hindrance. Therefore, before you decide to run out and spend some hard-earned money on a directional VHF/UHF antenna for your monitoring need, decide whether or not you really need the gain and directivity. Quite possibly what you really need is a good omnidirectional antenna mounted well above ground. Just a thought.
**RadioShack VHF/UHF Scanner Antennas**
RadioShack (radioshack.com) has three offerings that can improve your scanner’s performance dramatically. The first, the Scanner/Ham Omni-Discane antenna (RadioShack Model 20-043) covers from 25 MHz to 1.3 GHz. A discane is a rather weird looking antenna that offers tremendous bandwidth with unity gain across a wide range of frequencies. This model is very similar to the discane antenna I use at K7SZ. It’s 4.44 inches tall and accepts a mast up to 1.5 inches in diameter. The frequency range covers the following amateur bands: 50, 144, 220, 440, 902, and 1296 MHz. Transmitter power is limited to 25 watts of RF output. In short, this antenna can perform double duty, providing you with a great wide-band scanner antenna and extensive VHF-plus ham band coverage at the same time. The model 20-043 costs $69.99, so it’s not an inexpensive antenna, but the versatility of this discane omni certainly makes up for the increased cost. If you need one external antenna to do double duty, this antenna deserves special consideration.
The company’s VHF-Hi/UHF Scanner Antenna (RadioShack Model 20-176) is a steal of a deal at only $23.99. Coverage ranges from 108 MHz up to 1.36 GHz, with peak performance between 152 and 470 MHz. This antenna is relatively low-profile “stealth” antenna, so it won’t attract any undue attention from the neighbors. Fed with a short length of RG-8X, this antenna will definitely improve your scanner performance while not breaking the bank or arousing the ire of your neighbors.
Finally, if you can’t erect an external antenna, why not try out the Indoor Scan Antenna (RadioShack Model 20-161). This is a whip element that extends to 40 inches and attaches to the back of your scanner for inside use. The whip, which uses a center-loaded coil, has a total operating range from 30 to 512 MHz and plugs directly into the back of your scanner via a “Motorola”-type plug. If your scanner (like mine) uses a BNC connector, be sure to ask your RadioShack sales associate for the appropriate adaptor to interface with your scanner. At a cost of only $11.39, the model 20-161 might be the solution to your scanning antenna problems. It would be a welcome addition to portable scanning operations while on the road with business trips or family vacations.
**And Now For Something Completely Different…**
For those of you who are “condo-challenged” and need some kind of stealth antenna, the Ventenna Corporation (www.ventenna.com) markets a nifty little device that looks exactly like an extended roof vent for a bathroom. Called the “Ventenna” (an adaptation of Vent-Antenna), this little device is utilized by various intelligence agencies like the CIA and NSA when an external VHF/UHF antenna installation is required but must be extremely low profile. I have used one of these Ventennas for 2-meter operation over an extended period and can attest that they are very effective.
Ventenna manufactures seven models for the radio hobbyist that cover 144 to 1290 MHz. There are also three commercial models that cover 140 through 1500 MHz. Go to their website and check out their offerings, and be prepared for a nice surprise. The prices for most of these antennas are between $64 and $100 which is a LOT of antenna for a very inexpensive price. While the models are cut for various portions of the VHF/UHF spectrum, not all of them offer the ability to transmit RF. However, if you need a really low-profile antenna, the Ventenna line is a sure winner.
**Some Final Thoughts On VHF-Plus Antennas**
Most ham radio operators like to build things, with antennas being at the top of the list. Not only does this save money (something everybody likes to do), it also expands the frugal radio amateur’s knowledge of this intriguing hobby we call radio. However, let’s not limit this to hams. Scanners and SWLs can also benefit from homebrewing their own antennas to fit their specific needs. Various ham radio periodicals have articles on building VHF-plus antennas. The ARRL’s *Antenna Book* is the “bible” on everything to do with antenna design, theory of operation, and construction. In addition, the ARRL and CO Communications offer books on antenna design and construction. So, if you have a mind to, why not take advantage of some of this information and “roll your own” VHF/UHF antennas.
For instance, in the June 1999 *QST* there was an article describing how to reconfigure a RadioShack FM Broadcast antenna into a 5-element 2-meter beam for amateur radio use. There is nothing wrong with taking this article and, using some simple formulas contained in the ARRL *Antenna Book*, rescaling this antenna for the VHF aircraft band (108 to 136 MHz) or for the high-band VHF Public Service frequencies (136 to 174 MHz). The stock RadioShack FM antennas cost around $20, so what do you really have to lose? Give it a try and let me know your results.
Finally, as you will undoubtedly notice, once you have an adequate external antenna hooked to your scanner, there will be a definite increase in intermodulation “interference” (those strange honking/beeping signals that blot out things you are trying to listen to). My personal intermod favorites are paging transmitters. It seems in my area there are at least two paging transmitters that get into my Uniden BC-895XLT and BC-7 scanners on a regular basis. Not only is this annoying, it always seems to happen when something really interesting is developing on the air.
This susceptibility to intermod “interference” varies between scanner models and manufacturers. Reception problems on many extreme wideband receivers are the result of internally generated signals (birdies), coupled with unwanted emissions from a multitude of radio services. It is beyond the scope of this column to delve into the whys and wherefores of intermod interference, suffice it to say we all have to live with it. However, there is a solution! PAR Antennas (www.parelectronics.com) offers several intermod filters designed to greatly reduce or completely eliminate these annoying transmissions. I haven’t procured one yet, but rest assured that I will and a full report of my findings will appear in this column. Wander on over to the PAR Electronics website and scope out these filters. They may be just what you need to clean up your signals.
“As emergency communicators the biggest thing we’re constantly concerned about is power.”
**Portable Power**
As emergency communicators the biggest thing we’re constantly concerned about is power—power for our gear, computers, lighting, etc. Even concerned citizens who want to stay abreast of rapidly unfolding developments during emergencies need to be cognizant of their power budget. Remember the Great Blackout of the Northeast last year? When the lights go out, you’re left to your own devices to provide emergency power for your monitoring/transmitting and computer gear.
The folks at HF Pack (www.hfpac.com) offer a unique solution to the problem of portable power. Their nifty little kit, called the HF Packer Power-Pak, can provide many hours of 12-VDC power during emergencies. The kit is offered in several variations, with and without a case and/or battery, to accommodate a variety of budgets. The size of the completed unit is 8.5 x 5.5 x 3.5 inches and it weighs in at around 7 pounds with a 7 amp/hour sealed lead acid (SLA) battery enclosed in the case. The electronics and the battery are accessed via the louvered side panel, which has the additional safety feature of not allowing hydrogen gas accumulation should a malfunction overcharge occur.
The external case is made of steel and features attractive silk screening over a powder-coated black finish. Powder-coating offers an unusually durable finish that resists the marring and scratching that regularly occurs with portable equipment. The DC output is terminated in Anderson Power Pole connectors, which are now the defacto standard for ARES/RACES communications equipment. The case has a small handle on the top for portability. LEDs on the top also monitor charge condition of the internal SLA battery. A “wall-wart” plug-in charger furnishes DC to charge the internal battery and will not overcharge the SLA unit due to the internal circuitry of the charger. A low-noise charging circuit allows simultaneous charging and operating.
Having built the HF Packer Amp last year (a 160- to 10-meter 40-watt RF amplifier for use with the Yaesu FT-817 and similar QRP radios), I can attest to the thorough instructions and outstanding support for their projects offered by Virgil, K5OOR, at the HF Pack site. If you are in need of some portable power that can bail you out of a sticky situation, I would highly recommend wandering over to the HF Pack website and checking out the HF Packer Power-Pak in the HF Projects section.
**Till Next Time**
That’s a wrap for this month. Join us again next month for more info on how to keep on top of the current events that affect our world and our personal security. Don’t forget, I’m always looking for your articles and photos on how you maintain your monitoring post and comm station during the heightened security times in which we live. Send them to me at email@example.com. Until next time remember: Preparedness is NOT optional!
Cooler fall weather brings out the daydreamer in me. On most any crisp autumn day you can find me cruising through my neighborhood on my bicycle, enjoying the wonderful fall air, the spectacular changing foliage, and life in general. On those occasions I can’t help but let my mind wander a bit as I ponder life, love (and, of course), radio monitoring.
Not only is cycling a fun way to stay in shape, it also gives me the opportunity to clear my noggin of pressing duties and enables me to access the creative part of my brain, which comes in handy when writing this column. Some of my best ideas have been born of long, leisurely bike rides. For example, just last week as I cruised through the neighborhood, I began pondering an interesting question: *Just what would be the ultimate monitoring catch?*
What do you think? Maybe the President of The United States talking on an un-encrypted line from Air Force One? Or maybe a spy transmitting in the blind outside a terrorist camp? Or how about radio transmissions revealing the existence of a super-secret stealth spy plane? Those would be cool intercepts to be sure, but in my imagination the ultimate interception would be the communications from beings *not of this world!*
Now before you think this author has gone all “UFOie,” let me state for the record that I don’t believe that this planet has ever been visited by extraterrestrial beings, for several reasons. First and foremost being that the distances involved in intergalactic travel are too great to permit face-to-face contact (despite what you see on *Star Trek*), and the physics and the limits of space technology (as of this writing) make interstellar travel all but impossible. Some may argue that other civilizations may have advanced enough in their technological prowess to have bridged the wide gulf that is the universe, but until someone can show me hard-edged physical proof (and not just anecdotal tales or blurry photographs) that can stand up to intense scientific scrutiny, my thinking is, *it just isn’t so.*
That doesn’t mean I believe we are alone in the universe. Scientists agree that it is *very* possible that the conditions that allowed intelligent life to evolve on this planet could (and most likely did) occur on other planets. Although the very exacting conditions that have to be in place before life (let alone intelligent life) can arise are extremely rare in the universe, space is so huge that even if the chances are one in a billion that a planet harbors intelligent beings, then by the laws of mathematical probability there must be millions of civilizations scattered throughout the heavens.
But unfortunately today there is only one way to get proof, and right now that is through radio. Since it seems logical that intelligent beings would, in the course of their history, discover radio technology, it also seems likely that some of these radio transmissions have leaked into space, as ours have for years. That’s why dedicated radio astronomers are now using million-channel receivers tied to super-sensitive antenna arrays, listening for the signs of intelligent life in the universe. Although some radio astronomers think using radio telescopes to listen for E.T. to call is a waste of expensive and important scientific resources, SETI (Search for Extraterrestrial Intelligence) scientists are convinced that the technological historical and sociologic impact of discovering intelligent life elsewhere in the universe would be so profound that to not attempt it would be the real waste. Despite what many may think, the search for extraterrestrial intelligence is a legitimate science and not tied to lunatic-fringe pseudo science or UFOs. Although the chances are slim that we will answer the E.T. question in our lifetime, maybe someday our descendants will know for sure if there is anyone else out there.
**The Drake Equation**
With all the billions of stars in the heavens, how do SETI scientists calculate where intelligent life might be hiding? For years SETI researchers have used the formula
\[ N = R \cdot f_p \cdot n_e \cdot f_l \cdot f_i \cdot f_c \cdot L \]
as the basis for calculating the odds of detecting intelligent extraterrestrial life in a given solar system. Although this equation might look like alphabet soup to most of us, it is relatively simple. The equation is the work of Frank Drake, a professor of astronomy at the University of California, Santa Cruz, and former president of the prestigious Astronomical
Society of the Pacific and the SETI institute. To those of us who had trouble with high school algebra, the equation may look a bit intimidating, but on close examination it is simple to understand. Basically it’s just a common sense series of questions that if answered would make the daunting search for extraterrestrial intelligence all that much easier. Let’s take a look at the parts.
**N** (number of intelligent extraterrestrial civilizations)
The N in the equation stands for the number of detectable (by radio astronomy means) extraterrestrial civilizations in space. N is an unknown number since no galactic census exists.
**R** (number of yellow stars)
R equals the rate of the formation of yellow stars (like our sun) and their number in the universe. Scientists estimate stars like our own are not uncommon and they are the best type of stars to foster life-sustaining (stable) radiation. We can see many stable yellow stars with optical telescopes. These stars would be a great starting (or aiming) point for SETI radio telescopes.
**fp** (the fraction of stars that have planets around them)
Many of these stars should have planets revolving around them. Although the odds are small, some of these planets might be located in just the right temperature (orbital) plane where it is neither too hot nor too cold for life to exist. There are so many yellow stars that some are bound to be able to support life. We can compare it to standing in the freezing cold next to a blazing campfire. Anyone who has ever been camping knows there is a zone where the temperature is just right. In space, this zone is incredibly narrow. A planet just a few million miles out of this orbit either freezes or barbecues.
**ne** (planets hospitable to life)
Planets hospitable to life are much more common than planets actually having life. There may be many lifeless planets riding in the temperate zone. Our moon is essentially in the same orbit as Earth, yet it can’t support life for many reasons, chief among them not having enough gravity to capture and hold oxygen.
**fl** (planets supporting life)
Even if we have an Earth-like planet teeming with life, we (humans) would never have any hope of detecting it. It could be that the life on the planet is composed of microbes or other lower life forms incapable of constructing civilizations. SETI is a search for *intelligent* life and not just life itself. Planets inhabited by even slightly higher life forms (such as mammals and reptiles) would still be undetectable by human means. To even our closest relative, the chimpanzee, civilization is an incomprehensible concept.
**fi** (existence of intelligent life)
In our equation we find the symbol “fi” representing the existence of intelligent life in the galaxy, which unfortunately has an even smaller chance of forming in a solar system. Intelligent species need time and the right conditions to form. This can mean millions of years of development, without interruption by species-eradicating diseases and natural and self-inflicted technological disasters, such as nuclear war. But for the sake of our argument, let’s say that hidden inside a remote solar system somewhere is a planet populated by intelligent beings. There are still other factors involved in our ability to detect them.
**fc** (do they have radio?)
The intelligent creatures on our target planet may have constructed an elaborate civilization rivaling any built by man. But before we could have any hope of eavesdropping on them, they would have to have mastered at least one discovery. In our equation “fc” represents intelligent civilizations capable of interstellar communications. In other words, they would have to have discovered radio. The only way any extraterrestrial civilization could ever discover our presence on Earth would be to detect the billions of everyday radio transmissions leaking out into the universe. Since Marconi invented the radio, humans have unintentionally broadcast their presence into the heavens. Ironically, it might be that reruns of *Leave It to Beaver* could be proof to an extraterrestrial civilization that intelligent life exists on Earth. In turn, it may also be that the interception of an extraterrestrial broadcast transmission might be the final proof that we are not alone.
**L** (survival of the species)
There is one remaining factor in the Drake equation that we need to consider in the search for extraterrestrial intelligence. It is represented by the last character in our equation. The “L” stands for the length of time that a civilization capable of interstellar radio communication remains detectable. Intelligent humans have inhabited this planet for millions of years, yet it has only been for a relatively short time that we have been capable of radio communication. In relation to how long humans have existed, the time we have been radio-capable is a mere *half* a blink of an eye. Even if by chance the number of extraterrestrial civilizations capable of interstellar communications in the galaxy is large, the chances that we (humans) would be pointing an antenna at the right planet at the exact time they were radio-active are very slim indeed. It is possible that millions of intelligent societies have sprung up throughout the heavens, becoming radio capable and yet for some reason existed for only a brief moment in time. Maybe they destroyed themselves in a nuclear holocaust or were wiped out in some natural cataclysm before they could radio their presence.
Unfortunately many scientists theorize that the invention of radio usually heralds the mastering of the atom (as in atomic weapons). The chances of any society surviving a nuclear age may be slim. So far humans have survived, but only time will tell if we will be able to keep these world-killing weapons leashed.
As a broad analogy, I’m sure many of us can remember the fun of chasing fireflies on summer nights. The preferred technique for catching lightning bugs was to stare into the darkness waiting for one to flicker, then running to the spot before the firefly flew away. Sometimes the firefly would be in relatively the same place when we got there, at other times it would have flown away, making capture impossible. Searching for extraterrestrial intelligence must be a lot like chasing fireflies, yet immensely more difficult. Millions of intelligent societies must have “blinked” on and off without anyone ever knowing of their existence. Will Earth share that same fate?
The recent discovery of microbes embedded in rocks from Mars found in Antarctica offers new hope to SETI astronomers, giving them an answer to one of the questions in the Drake equation. It is possible that life in the universe may be more common than we at first believed. If so, our chances of intercepting a signal may have increased…or have they?
**The Digital Factor**
Alas, there is a new wrinkle to this equation that Drake never thought of. The window in which one can detect an intelelligent civilization sending radio waves into space is a made even more narrow by the acquisition of new technology. Not only does our hypothetical extraterrestrial civilization have to have managed not to destroy itself as it struggles to survive its own technological adolescence while somehow surviving (and thriving) in a chaotic universe filled with planet-killing comets, but to be heard it must not have advanced too far! Making the task of intercepting an extraterrestrial radio signal even more difficult is the inevitable technological evolutionary step of a civilization going from an analog-based technology to a digital one. Once a civilization becomes 100 percent digital, chances of intercepting its very brief, narrow-band radio transmissions become almost infinitesimal.
In light of this, our only chance of receiving any E.T. DX would be broad-banded, very powerful signals intended for reception. Let’s hope that somewhere in the universe intelligent beings have evolved and survived long enough to radio-shout into the stars the proof of their existence. Since Earth technology is also evolving from the analog to the digital, the window of opportunity for humankind’s weak signals to be snatched out of the electromagnetically noisy universe by an extraterrestrial civilization is also closing rapidly. Maybe what’s needed is a project that will shout our existence into the universe before we go the way of the dodo?
Results?
Because the universe is so vast, searching for SETI signals among the billions of stars has been a hit and miss affair, so far with only tantalizing, but not convincing, hits. Therefore, chances that a SETI antenna would be pointed at the right star system at right time to receive a flicker-brief extraterrestrial transmission are extremely small, almost beyond calculation. But, since the proof of intelligent life would have profound impact on all mankind, the hunt for the ultimate intercept continues.
SETI searches can be compared to searching every beach of the world for one certain grainule of sand before the tide can sweep it away. Hope continues that, despite the great odds against it, someday in the future SETI scientists will point their antennas in the right direction at the right time and tap into a galactic Internet. But for now, searching the universe for intelligent life is a lot like knowing where a firefly will be the next time it blinks. Luckily, though, that task will only become easier through evolving information about our universe, advancement in radio technology, and the intelligent deduction and dedication of SETI scientists.
Although it may now seem impossible, with the odds stacked heavily in the failure column, humans throughout history have exhibited the unique capacity to ignore the odds and carry on with seemingly impossible quests. At some point in time, going to the moon or taming the atom also seemed like impossibilities, but as we all know, on hot summer nights from time to time, kids still somehow manage to catch fireflies.
Right here next month, we’ll take a look at the technical aspects of SETI and show you how you can participate in your own SETI project. But now, let’s move on to more worldly utility monitoring!
9/11 And Beyond
As of this writing, I am about halfway through the 9/11 Commission Report. I must say that everyone should read this amazing book. This is the definitive, true account (despite what wacko conspiracy theorists think) of what happened on that tragic day in September. Not only is it an amazingly good read, describing in great detail the second by second timeline of the attack, it also explains who the terrorists were, what motivated them, and how we can prepare and prevent future assaults on our country. For communications monitors, it also provides insight into the massive communications failures that occurred. Everything from police, fire, and rescue communications to cellular, government, military, and aviation channels suffered mass over-loads and eventual breakdowns that exacerbated the disaster.
There is an also amazing amount of information concerning the inner workings of the FBI, CIA, and other intelligence agencies, as well as an informative look of what happened inside the highest government offices before, during, and after the attack. Particularly interesting for UTE monitors is the account of what happened when the President learned of the attack, what happened aboard Air Force One, and also the scramble deep inside NORAD to get information from the FAA, and other sources, in an attempt to decide what course of action to take against an enemy armed with huge, fully fueled human-guided-missiles packed with innocent civilians.
After reading this report it becomes clear that we can’t let our guard down for a second. It’s not a matter of if but when the next attack will come. These terrorists hate America and all it stands for with a deep passion. They have perverted and twisted their religion to justify their evil intentions. To quote the 9/11 Commission Report: “We learned about an enemy who is sophisticated, patient, disciplined and lethal. The enemy rallies broad support in the Arab and Muslim world by demanding redress of political grievances, but its hostility towards and our values is limitless. Its purpose is to rid the world of religious and political pluralism, the plebiscite and equal rights for women. It makes no distinction between military and civilian targets. Collateral damage is not in its lexicon.”
Therefore it is imperative that radio-monitoring hobbyists keep a sharp ear to their receivers. When the attack comes, what we monitor will become very important. As is detailed in the Report, during a disaster, information becomes the most important, and yet hardest, asset to obtain. As an example, after the first aircraft hit the WTC North tower, the President was notified by his staff of a report that a twin-engine plane had hit one of the towers. No one suspected terrorism, with most thinking it must have been a tragic accident. But anyone monitoring the FAA ATC frequencies in the area would have been aware that something extraordinary was happening. For instance, at 8:24 AM (EDT) terrorists on American Flight 11, thinking they were using the hijacked aircraft’s public address system, mistakenly radioed over VHF civil aviation frequencies, “We have some planes. Just stay quiet and you’ll be okay. We are returning to the airport.” Another transmission came seconds later, “Nobody move. Everything will be okay. If you try to make any moves you’ll endanger yourself and the airplane. Just stay quiet.” Another example involved United Airline’s Flight 175. The second aircraft hijacked. Before the hijacking occurred, however, the pilots radioed the New York Center with a transmission that any aero-monitor could have intercepted: “UAL 175: Ah, we heard a suspicious transmission on our departure out of Boston…ah…someone…ah…it sounded like someone keyed the mikes and said…ah…everyone stay in your seats.” Beginning at 8:51 AM EDT, a New York Center controller
noticed an unauthorized transponder change from UAL 175 and repeatedly (over VHF channels) tried to contact the aircraft but had no success. Another commercial aircraft radioed New York Center about “radio reports of a commuter plane hitting the World Trade Center.”
At this point it would have been clear to anyone monitoring civilian VHF aircraft frequencies that a terrorist attack was underway. Incredibly, most federal agencies would only learn of the attack much later, and not through official communications channels, but by watching reports on CNN! In this case, monitoring hobbyists (if any were listening in at the time and I haven’t seen any reports that any had monitored these transmissions) could have been more informed on what was going on then the President of the United States and most people in the military, CIA, NSA, or NORAD! So before the next attack happens—and it will—monitors need to sharpen their monitoring skills, improve and expand their monitoring coverage, enhance and organize their monitoring equipment, and document or record everything of importance. The following list of monitoring-related priorities should help get you thinking about what needs to be done—now!
**Terrorist/Disaster Preparedness List**
*Improve Existing Monitoring Capabilities:* Do everything you can to make physical improvements to your monitoring system such as replacing aging leaky coaxial cables, repair, purchasing or building new antenna systems and finding ways to improve output audio.
*Increase Your Monitoring Coverage:* Think about expanding what you monitor. Try not to focus on just one aspect of monitoring, such as only aviation. Consider buying additional receivers so you can dedicate each receiver to a communications genre type. For example, use one receiver for public safety monitoring and one for military, etc.
*Acquire as Much Frequency Data as Possible:* Use the search functions on your receivers to discover active channels in your area. Do frequency research on the Internet, purchase commercial frequency databases, and trade information with other monitors. Try to build a complete map of all the active frequencies (and who uses them) and continually keep it updated. Search out and identify ALL users of the radio spectrum in your community, from shortwave to microwave, including users you would never monitor on a daily basis, such as business users, GMRS, utilities, news media, construction, transportation, public and private schools, and railroads. Update these lists periodically and keep them current. Since you never know what target terrorists might strike, it’s a good idea to have even mundane communications frequency listings at your fingertips.
*Document your Findings:* Purchase recording equipment, such as digital or standard cassettes, to capture your intercepts. In the event of an attack your recordings could provide valuable insight. You might consider buying a device, such as a NITELOgger, a Capri ScanRecord, or a VOX-operated recorder, that lets you only record when the scanner is active. Record during the night and review your tapes everyday. This is a great way to compress your monitoring time from hours to minutes.
*Keep Written Logs:* It’s equally important to make notations of stations, modes, and callsigns used. Be sure to make hard-copy prints of all your accumulated data, frequency, and information lists so you’ll have some kind of record that you can access away from your computer.
*Emergency Power Considerations:* What if the electrical power is knocked out due to a terrorist attack or natural disaster? All that data you accumulated would be inaccessible trapped in a dead computer and your receivers will be totally. Useless. Consider buying a UPS (Uninterruptible Power Supply) for your computer. A reliable alternate power supplies for your receivers such as 12-volt rechargeable gel cell or standard rechargeable batteries (kept at the ready) will keep you in the know when everyone else is in the dark.
*Consider Alternate Sources of Information:* I have no less than three television sets in my monitoring shack so I can watch all the major networks at once. During a terrorist attack you’ll find press reports a valuable source of additional information. Also, it pays to purchase a good standard AM/FM broadcast band receiver and keep it connected to a good outside antenna. You’d be surprised at how much info was broadcast on normal talk radio stations during the 9/11 attacks. AM stations can be very helpful in getting information on events that happen within a radius of a couple hundred miles (and further at night) when most VHF/UHF public safety communications are out of range of your receivers.
Shortwave broadcasters can be a great source on international news, but be aware that their newscasts are usually politically biased. When atmospheric noise is a factor, you can listen in on many local, state, national, and international stations on the Internet.
Collect Additional (Radio- and Non-Radio-Related) Data: Obtain some good maps of your listening area, including, aviation, topographic, and standard street maps. Satellite images are also very helpful. Point your browser to www.digitalglobe.com for some excellent samples. Consider buying mapping programs for your PC. Improve your radio-related library and purchase books on monitoring techniques, radio-electronics, antenna construction, and the like. Other books you might consider for your library include aircraft spotting guides, books about government intelligence agencies (such as James Bamford’s excellent works *The Puzzle Palace* and *Body of Secrets*), books on terrorism, and, of course, the *9/11 Commission Report*.
Network! Join Internet radio monitoring hobbyist e-mail newsgroups to share your information. A great place to start is www.QTH.net. There you’ll find dozens of groups with thousands of monitors who share frequency lists, near real-time monitoring news, and technical tips.
Report: If you intercept something of a suspicious nature, don’t hesitate to notify the proper authorities. But before you do, be certain you know what you have monitored isn’t bogus. Just because you heard someone on an FRS frequency shouting “death to America,” it might not be anything other than someone playing around. Real terrorists are very aware that their cell and satellite phones and HF communications can be intercepted, so it’s very unlikely you’ll ever hear anything in the clear (unless its disinformation), and you’ll just end up looking like an overzealous CIA wannabe. However, if you intercept anything remotely like what was detailed in the *9/11 Commission Report* notify the authorities immediately. You could be saving lives.
Let’s pray that day never comes, but just in case, we should follow the Boy Scout’s motto and be prepared. Let’s hope for the best and prepare for the worst.
Speaking Of Terror Tapes…
How important your intercepts could be is clearly illustrated by the recent admission by the FAA that an hour-long audiotape account of six air traffic controllers who were communicating with two of the hijacked aircraft on 9/11 has been destroyed. Managers at the FAA New York Air Route Traffic Control Center directed controllers make the tape to provide information for investigators examining the events as they were experienced by the ATC controllers involved. But, according to a report by the Transportation Department’s Inspector General (asked to review the FAA’s responsiveness to the 9/11 Commission’s request for documentation), the tape was destroyed by a center manager. According to FAA managers, the tape was only made to provide interim information until written statements could be prepared and was not transcribed or duplicated, nor was its existence disclosed to anyone, nor was it listened to before it was destroyed.
The Inspector General’s report said the controller’s union local president had been consulted before the tape was made and agreed to the recording only under the understanding it would be destroyed after a written account had been prepared. The tape was made at approximately 11:40 a.m. on September 11 as center controllers and managers were reviewing what had just occurred. According to the Inspector General, “We have no indication there was anything on the tape that lead anyone to conclude they had something to hide or that controllers did not properly carry out their duties.”
Terrorists Or Pranksters?
John Tomlinson, KA5QYR, of Blackwell, Texas, writes us with this interesting intercept. You decide if it’s the product of pranksters or of evil minds plotting against the United States. Send comments to firstname.lastname@example.org.
I thought I would share something with you that I have only told a couple of people about.
It was around three years ago and I really don’t remember if it was before or after 9/11. As usual I went out to my ham shack while my wife was getting ready to go to work. I went to the 30-meter ham band to try for some DX. Tuning through the band I came into a medium-strength station and see what it was. At first I had to do a double take when I began to copy in CW (at around 18 wpm) the words “American (expurgated deleted) kill them all off! There was no callsign and the insulting phrase was all they sent. It had a regular pattern and they would transmit this phrase about every 90 seconds. After copying about four transmissions I went on and figured it was just a prankster. I never heard of any other hams speak of it to this day. I have always wondered where it came from but it was between, I believe, 10.115 and 10.120 MHz. I use a Gap Titan vertical so was not able to get a bearing. Time of intercept was 6:00 AM CST.
Anyway I thought I would share this with you. I’m definitely not a glory seeker but maybe you or your readers have heard something about it.
Readers Logs
I want to remind you that you can send in your MILCOM loggings above 30 MHz, including UHF aero band catches. Just do so in the format below. As always, thanks to our ever-faithful UTE monitors who submit their logs every month. This month the logs are kind of skimpy, so I’m putting the word out to you regulars and beginning contributors to get on the stick and send those logs in!
0000: (Frequency MHz): STATION, Anytown, USA, summary of traffic heard, MODE at 0000Z, (monitor/location)
5696: Rescue 1717 w/pox and ops rpt to CAMSLANT Chesapeake. (DS2 W)
6694:0: Halifax Military: 0055 USB w/Canflore Rescue 908 (unidentified-not heard) in pp w/Rescue Coordination Center (RCC) who advises that vessel is at 4402N 5627W and will continue proceeding north until it reaches the harbor. (RP)
7849:0: CORE7 (Commander, Military Region 7 - Venezuelan Army): 2323 USB/ALE TO CGGN (HQs, Venezuelan National Guard). (RP)
8012:0: 043SERCAP (Southeast Region, Civil Air Patrol): 2054 USB/ALE TO 022NHQCAP Civil Air Patrol, Nat’l Ops Center, Maxwell AFB AL). (RP)
8012:0: (043MERCAP (Middle East Region, Civil Air Patrol): 2132 USB/ALE sounding. (RP)
8037:0: CPSNY (Nat’l Guard Bureau, Cooperstown, NY): 1347 USB/ALE sounding. (RP)
8047:0: HQ703N (probably Nat’l Guard Readiness Center, Arlington, VA): 1034 USB/ALE TO R0101N (Nat’l Guard unit, Rhode Island). (RP)
8047:0: HQ703N (probably Nat’l Guard Readiness Center, Arlington, VA): 1022 USB/ALE TO W010TN (Nat’l Guard unit, Vermont). (RP)
8047:0: HQ703N (probably Nat’l Guard Readiness Center, Arlington, VA): 1008 USB/ALE TO M010AN (Nat’l Guard unit, Massachusetts). Also noted on 10816.5. (RP)
8047:0: HQ7 (probably Nat’l Guard Readiness Center, Arlington, VA): 1201 USB/ALE TO W030VH (Nat’l Guard unit, West Virginia). (RP)
8047:0: HQ7 (probably Nat’l Guard Readiness Center, Arlington, VA): 1231 USB/ALE TO K04OYN (Nat’l Guard unit, Kentucky). (RP)
8047.0: HQ7 (probably Nat’l Guard Readiness Center, Arlington, VA): 1628 USB/ALE TO H909IN (Nat’l Guard unit, Hawaii) (RP)
8047.0: HQ703N (probably Nat’l Guard Readiness Center, Arlington, VA): 0935 USB/ALE TO M010EN (Nat’l Guard unit, Maine). (RP)
8047.0: HQ703N (probably Nat’l Guard Readiness Center, Arlington, VA): 1724 USB/ALE TO A100KN (Nat’l Guard unit, Alaska). (RP)
8060.0: SCLC222M (Communications Logistics Center, 222nd Motorized Inf Bn, Venezuelan Army): 0310 USB/ALE TO CLLC222M (Communications Logistics Center, 22nd Inf Bde). Also noted on 10600.0. (RP)
8068.0: FD22 (French Air Force, Narbonne): 2350 CW. (RP)
8983: CG 2131 w/pos and ops rpt to CAMP-SLANT Chesapeake. (DS2 WI)
8171.5: TZ2238 2/238th Avn, Indiana Nat’l Guard Shelbyville IN): 0132 USB/ALE sounding. (RP)
8180.0: DD1 (Israeli Air Force): 2350 USB/ALE sounding. (RP)
9035.0 O/M (SS): 2321 USB w/flight 003 (O/M SS) w/position report and flight route. Probable Avianca LDOC. (RP)
9047.0: JNRCAP (Civil Air Patrol, Roosevelt Roads, Puerto Rico): 2103 USB/ALE sounding. Also noted sounding on 11420.0 and 12041.0. (RP)
9081.5: (1/17th) Avn. OHNG, Rickenbacker OH): 1623 USB/ALE sounding. (RP)
9295.0 RCHNY (Nat’l Guard Bureau, Rochester NY): 1746 USB/ALE sounding. (RP)
9295.0: KFHMNG (Nat’l Guard Bureau, Otis ANGB Mass): 1306 USB/ALE sounding. Also noted sounding on 07650.0; 08181.5 and 10818.0. (RP)
10075.0: Houston Radio: 0108 USB w/flight 36 (identifier missed—either Air Transport International (ATN), DC-8 N782AL or Arrow Air (APW) DC-8 N906R) who asks relay of info that they departed San Juan Puerto Rico and are headed for Quayaguil and have maintenance problem. Also w/SECAL check (D1/UK). (RP)
10145.5: CGO90UN (probably National Guard, California): 0124 USB/ALE sounding. Also sounding on 11439.5. (RP)
11232: CANFORCE 2793 vicing SELCAL check from TRENTON Military 1443Z. (DS2 WI)
1232: RAZOR 05 trying to get wx rpt for Robbins AFB via TRENTON Military 1605Z. (DS2 WI)
11232: RAZOR 22 trying pp to PEACHTREE via TRENTON Military but getting busy signal. (DS2 WI)
11232: RAZOR 05 w/pp to PEACHTREE via TRENTON Military 1530Z. (DS2 WI)
11402.0: MCCCAP (Civil Air Patrol, McClellan AFB): 0027 USB/ALE sounding. Also noted using 08012.0; 12081.0; 14357.0 and 14814.0. (RP)
11439.5: /2/238th Avn. INNG, Shelbyville IN): 1255 USB/ALE sounding. (RP)
11494.0: Panther (DEA/OPBAT, Bahamas): 0103 USB w/61A (Army helo deployed to OPBAT—not heard) who reports position as 228nms on bearing of 122 degrees from checkpoint Yankee 6. (RP)
13927.0: AFAIRE (Air Force MARS): 0117 USB w/Sentry 60 (E-3B AWACS, Tinker AFB) w/morale pp. AFAIRE also w/AFAIEN w/pp procedure-related chat. (RP)
14357.0: ADWCAP (Civil Air Patrol, Andrews AFB): 0022 USB/ALE sounding. Also noted sounding on 06806.0; 08012.0; and 14023.0. (RP)
14653.0: A090ZN (Nat’l Guard, Arizona): 0344 USB/ALE TO G909UN (Nat’l Guard, Guam). Also noted on 16338.5 & 20906.0. (RP)
16144.5: RUH963 (UGH-60 1/228th Avn Bn, Soto Cano AB Honduras): 1448 USB/ALE TO SKYWATCH (Skywatch-Army Flight Following Service (AFFS), Soto Cano AB, Honduras. (RP)
16338.5: HQ703N (probably Nat’l Guard Readiness Center, Arlington, VA): 1146 USB/ALE TO V0300AN (Nat’l Guard unit, Virginia). Also noted on 8047.0. (RP)
163385: 00 F040LN (Nat’l Guard unit, Florida): 1254 USB/ALE TO H703N (probably Nat’l Guard Readiness Center, Arlington, VA). (RP)
20906.0: A090ZN (Nat’l Guard, Arizona): 0326 USB/ALE TO H909IN (Nat’l Guard, Hawaii). Also noted on 10816.5; 14653.0; and 16338.5. (RP)
This month’s contributors are Dwight Simpson (DS2 WI) and Ron Perron (RP).
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Building An FM Crystal Receiver!
Our earlier crystal receiver projects proved popular, so here’s another crystal receiver with an odd twist: it’s intended to intercept stations on the 88- to 108-MHz FM band! With some modification, it’ll also copy nearby VHF AM aviation band traffic, just the ticket for eavesdropping while watching the activity at your local airfield! FM crystal receiver projects aren’t new; this project is based on material from an article that ran back in the 1950s, but with some modern refinements to improve performance. Most of the parts you’ll need to build this project can be found in your junkbox, but I’ll also provide some mail-order sources for those of you who don’t have goodies hoarded away!
Monitoring FM signals is more challenging than tuning in your local AM stations with a simple crystal set. There are two reasons: AM signals are readily detected by a crystal-diode detector, and a simple longwire antenna will usually suffice in providing enough signal level so you can hear at least a few of the local stations. FM is a different animal. A crystal detector recovers both a DC and audio signal from an AM carrier, a simple diode detector will only produce a DC signal component when monitoring a FM signal. Since there are no AM sidebands to mix with the carrier in the detector, none of the audible information is recovered.
Slope Detection
So, how’s it possible to make a working FM crystal radio? Good question. The answer lies in using a technique called “Slope Detection.” FM is simply a carrier being shifted in frequency at an audible rate. The rate of shift corresponds to the frequency of the audio signal while the excursion, or carrier deviation, represents the audio signal level, or amplitude. U.S. FM broadcasters are allowed a deviation of ± 75 kHz, or 150 kHz total. This means we can hear FM signals on a simple crystal radio, providing the tuned circuit has enough Q for the recovered audio to be great enough to drive a pair of headphones. Whereas a crystal detector will detect AM signals without tuned circuits, the FM set relies on a very sharply tuned high-Q circuit to work. If we tune the FM station so it falls on either side of the slope, the modulated FM carrier will be converted to AM since its signal amplitude will vary depending on where it falls on the tuning slope at any given instant.
Many early 2-meter amateur FM repeater operators used AM transceivers, modified with simple external FM modulators, while using slope detection to hear the FM repeaters. Most of these early AM receivers were 15 or 30 kHz wide; the IF bandpass curves easily recovered the ± 5-kHz FM deviation! The trick was to tune to one side of the signal or the other, carefully centering the FM carrier on the center of the tuning skirt, not dead on at the peak! In short: The steeper the slope, the greater the recovered audio for a given deviation.
Figure 1 illustrates how slope detection works. The curve on the drawing represents a typical, but not exact, representation of how a tuned circuit responds as it is tuned across a carrier. Points A and D denote the bandwidth of the tuned LC circuit. The areas between points A and B and C and D represent the slopes of the tuning curve. Ideally, an AM signal would be tuned so its carrier is at the apex, or center, of the tuning curve. If we center the carrier frequency of the FM transmitter to the same spot, the carrier will swing over both slopes, and any recovered audio would be canceled. Instead, the “sweet spot” is where the FM carrier falls near the midpoint of the slope between A and B, or likewise on the slope of the curve between points C and D. The AM detector output will then swing in correspondence with the aural information carried on the FM carrier.
Ideally, for maximum audio recovery, the FM deviation will “sweep” over the largest area of one side of the slope as is possible. It’s hard to match the tuning curve to the FM deviation, and also any non-linearity in the slope along the rise or fall on the curve (a straight line, like a saw tooth, is ideal) will cause distortion. Too wide a slope and the FM deviation will fall on a very small area on the slope, giving very poor recovered audio. Too much deviation, where the carrier swings beyond the cutoff and into the opposing slope, yields large amounts of distortion on the recovered audio. In practice, these sets do work, but don’t expect anything approaching high-fidelity reception!
**The Simplest Receiver**
There are several key elements needed for this project to work, most importantly, having a very strong local FM station or two or listen to. Most urban locations are so blessed. You’ll also probably need a good outdoor FM or TV antenna to capture enough signal for the set to work, and it’s a big plus if your system includes an inline VHF/FM preamplifier.
Let’s get started by looking at Figure 2, the starting point for our project. It closely resembles the primitive FM crystal set projects shown in those early magazines. The heart of the receiver is the high-quality tuning capacitor and inductor. The tuning capacitor can be salvaged from an old FM tuner or converter, if need be. The tuning capacitor (C1 in the drawings) is a 35-pF capacitor with a built-in 3:1 vernier dial reduction, and was salvaged from my junkbox. Any capacitor with a maximum capacity of 25 to 45 pF will work.
The set tunes rather broadly, thus the vernier tuning isn’t a necessity, but it is nice to have. One source for the cap is Fair Radio; its 3G-25 variable cap has a vernier drive and three sections with 4-25, 4-20, and 3-17 pF. Two of these sections could be paralleled to yield a larger tuning range. The inductor (L1 in all drawings) is wound from a length of #8 copper ground wire, available from any hardware store. You can substitute a smaller gauge if necessary. The circuit Q could be improved by silver-plating the coil—if you have a means to do so try it. Otherwise, I suggest polishing the copper to a sheen, followed by applying a coat of clear Krylon to prevent tarnishing. The coil consists of six turns; I used a half-inch wood dowel as a form to wind the coil. The antenna tap is made at one-half turn above ground on the coil. Photo A shows the tap point and also the tuning capacitor. Table 1 lists the parts values and sources for all the components used in three versions of the receiver shown in this month’s column.
Photo A. The tuning capacitor and coil form the heart of the crystal set. The Q of these parts determines the tuning slope, and ultimately audio recovery on FM signals. The capacitor should be the best quality available. Often military surplus capacitors with ceramic insulation are available on the surplus market or at hamfests. If you can find one, use it. The tap point for the antenna is visible. Use a short lead between the tap and J1 connector.
Photo B. Here’s the Millen Grid Dip Meter in action! When tuned to the resonant frequency of the capacitor and coil, the meter on the Millen will dip to a lower value. Fifty or 60 years ago, every ham owned one of these useful pieces of test equipment. That was a time when hams built their own gear. Now using one has become an archaic art.
I know finding parts can be difficult. I listed a few resources in Table 1, including one for a basic kit, sans headphones, for building the basic FM crystal set. This five-dollar postpaid kit can serve as the nucleus for the more advanced versions shown here as well.
**Checking The Tuning Range**
A grid-dip meter is the easiest way to check the tuning range of your coil and tuning capacitor combination. A ham friend who is also a builder is a likely candidate to have one of these units in his workshop. Photo B shows my venerable James Miller ‘dipper’ being used to check that my set will tune the entire FM band. These devices are variable oscillators with calibrated tuning ranges. A set of companion plug-in coils allows covering from the broadcast band up through 300 MHz. When the ‘dipper’s coil is held near a tuned circuit, and the grid dipper is tuned to that frequency, the grid current in the ‘dipper’ will drop (or “dip”), as shown on the ‘dipper’s built-in meter.
Alternately, a signal generator would also do for checking the tuning range. Compressing or expanding the coil slightly will shift the range: squeezing the coil will allow lower frequency tuning, while...
Figure 4. Adding the infinite-impedance detector to the basic FM crystal receiver might make the difference between hearing a station or not!
Photo C. The leads for the infinite-impedance detector should be kept short and direct for VHF. The J-FET leads and associated parts are mounted to the capacitor terminals and frame.
Table 1. Parts List And Recommended Suppliers
| Part | Description |
|------|-------------|
| L1 | #8 copper wire, see text |
| C1 | variable capacitor, 5 to 50 pF max. with knob |
| D1 | 1N34A germanium diode, or equivalent |
| J1 | RCA phono jack or suitable RF connector for antenna |
| C2 | 10 µfd @ 16 volts electrolytic |
| C3 | 10 µfd @ 16 volts electrolytic |
| C4 | 10 µfd @ 16 volts electrolytic |
| C5 | 0.1-mfd ceramic capacitor @ 16 volts |
| C6 | 220 to 470 µfd @ 16 volts electrolytic |
| C7 | 500-pF ceramic disc or silver mica capacitor |
| R1 | 47k-ohm 1/4-watt resistor |
| R2 | 47k-ohm 1/4-watt resistor |
| R3 | 10k-ohm variable potentiometer, audio taper/with knob |
| BAT1 | 9-volt transistor battery with battery clip |
| Phones | 2000-ohm vintage headset or crystal earpiece |
| Speaker | 8-ohm speaker in enclosure |
| Q1 | J-FET, type J-310 |
| U1 | LM-386 DIP package 8-pin audio IC |
Resources
• Dan’s Small Parts, PO Box 3634, Missoula, MO 59806-3634, (406) 258-2782, www.danssmallpartsandkits.net
This is an excellent resource for all components (ICs, FETs, small parts, and variable caps). Dan’s features low prices and is set up to deal with home experimenters. Dan’s offers an online catalog and ordering system. Minimum order might apply, check with seller.
• Bill Turner, 1117 Pike Street, St. Charles, MO 63301, (636) 949-2210, www.dialcover.com
Bill offers a kit and copy of the original vintage magazine article for the FM Crystal receiver for $5 postpaid. No frills or headphones, just the basic parts. No minimum order.
• Fair Radio Sales, 2935 St. Johns Road, PO Box 1105, Lima, OH, (419) 227-6573, www.fairradio.com
Surplus stalwart Fair Radio has a nice three-section variable (catalog #3G-25) that will work well. Price is $6. They also offer some high-Q ceramic military versions, but these are more expensive. Minimum orders might apply, check with seller.
expanding the coil will increase the higher end of the tuning range. A 40-pF variable capacitor should tune from 80 MHz through at least 130 MHz into the aircraft band. At worst, you may have to wind a new coil with a turn added or removed before you’re able to tune the desired range. Adding a full or partial turn will lower the frequency. Photo B shows my Millen dip meter in action.
Improving The Detector
Crystal diodes make poor detectors. Germanium diode detectors don’t work well on weak signals, for a weak enough signal they act more like resistors than diodes. Figure 3 shows a circuit for a neat device called an Infinite Impedance Detector. This detector offers some gain and doesn’t load the tuned circuit as much as a diode detector would, hence the Q and selectivity are also improved. The J-FET gate adds some capacity to the tuned circuit, and this can reduce the high-frequency tuning by several MHz.
Photo C shows how the J-FET and associated parts for the infinite-impedance detector are mounted using short leads. The gate is tied directly to the tuning capacitor stator terminal, and the FET’s source lead bypass caps and biasing resistor are tied directly to the capacitor frame for good VHF performance.
Figure 4 shows how the infinite-impedance detector is incorporated in the FM crystal receiver. Parts values are given in Table 1. The detector will drive a pair of vintage high-impedance headphones (2000 ohms or better) directly. I use a pair of military sound-powered headphones with a matching transformer. Adding the
infinite-impedance detector allowed me to hear some FM stations from my rural home when using some high-gain tower-mounted VHF antennas.
You might want to try this detector on your AM BCB crystal sets; it makes a big improvement!
**Adding An Audio Amplifier**
Figure 5 shows the final phase of the FM crystal receiver. A small 8-pin LM-386 audio IC gives enough gain for loudspeaker level volume, or to drive more contemporary low-impedance headphones. I mounted the IC and supporting parts “dead bug” fashion on the pc board. If you’re not familiar with this breadboarding technique, the parts are soldered directly to the copper side of an unetched pc board for ground, and are self-supporting or glued in place as needed. (ICs were sometimes mounted on their backs, looking like little dead bugs; hence the name.)
It’s not very pretty, as shown in Photo D, but it works and is good for quickly prototyping circuits on the fly. I think some builders call this technique *Ugly Board* construction. Hot glue assisted in mounting and supporting the IC and larger components to the board. Photo E shows an overall view of the entire receiver. Again, it isn’t pretty, since I considered this to be an experimental project. An on/off switch is needed to preserve battery life.
**An Apology**
Our opening photograph in the July 2004 issue purportedly showed the deplorable condition of my Zenith 6S321 cabinet. What accidentally got forwarded for publication was a photo of a nicely restored example from the webpages of Mike Urban’s Internet site at www.urban-antiqueradio.com. I had saved his photo as an example to follow when restoring my Zenith. Hopefully Photo F is the correct photo. Anyway, visit Mike’s website to see some nicely restored radios in his collection, and to check out a few he’s offering for sale.
Well, that’s it for this month. If you build one of these sets, I’d like to hear about it, and photos would be great! Let me hear about your other projects, as well. Until next month, keep those soldering irons warm and those letters coming in!
---
**If you enjoy radio communications you’ll love....**
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November 2004 / POP’COMM / 65
As you receive this issue of *Pop*Comm* we’re just past the third anniversary of the attacks of September 11, 2001, in New York, Washington, D.C., and Pennsylvania. I think it would be appropriate to list many of the frequencies of John F Kennedy International (JFK) and adjacent airports as many people are still interested in listening to the aircraft frequencies, possibly even as a way of paying their respects.
As many of you know if you’ve read my column over the years, I give recommendations about enroute maps and other FAA books to aid in your listening to aviation activity. This month I’m including some maps of the JFK area.
The maps that include mainly airways in black on white are used by instrument-rated pilots (see Figure 1). The map with airways starting in “J,” such as J222 just west of JFK, is high altitude chart H-10. This shows that the aircraft are not landing in the New York area, but are traveling “at altitude,” at or above 18,000 feet. As stated in an earlier “Plane Sense” column, you will hear these altitudes as “flight levels.” For example, an aircraft flying at 27,000 feet (all altitudes are considered above mean sea level, or MSL) would be described as flying at flight level 270. All aircraft flying between 18,000 and 60,000 (flight levels 180 and 600) are under full instrument control of air traffic controllers at all times. In the not too distant future many of the jet airways will be eliminated or supplemented by a new navigation system that I will explain in a future column.
**Glossary**
**ICAO (International Civil Aviation Organization)**—Headquartered in Montreal, Canada, this agency of the United Nations develops the principles and techniques of international air navigation and fosters the planning and development of international air transport to ensure safe and orderly growth.
**VFR (Visual Flight Rules)**—Refers to a set of regulations that a pilot may operate under when weather conditions meet certain minimum requirements. They are designed to provide sufficient visibility so that other aircraft can be seen and avoided.
**VORTAC**—The VOR system is the backbone of air navigation in the United States and most other countries. It is comprised of usually round buildings, about 30 feet in diameter, with a cone sticking out of the top. Many are painted in a red and white checkerboard pattern. VOR is an acronym for Very high frequency Omni Range. VORTAC is the same with TAC standing for TACAN, a military designation for its distance information on a VOR signal.
*Figure 1. Air maps that include mainly airways in black on white are used by instrument-rated pilots.*
You may notice on the sample upper level map that the number of one of the airways (J150) is presented in a box with an arrow pointing northeast, toward the Hampton (HTO) VORTAC. On airways such as this all aircraft are traveling in one direction, regardless of altitude. Basically it’s a one-way street in the sky.
The next map (see Figure 2), with the airways starting in “V,” is a low-altitude map. This map is referred to as L-28 and covers much of the northeast seaboard. While the “H,” or high-altitude, maps cover the area that is used primarily by airliners, business jets, and military fighters/bombers/refuelers/cargo/spyplanes, these low-altitude charts cover those aircraft flying from the surface to 17,999 feet. Since instrument pilots fly normally at hard cardinal altitudes (3,000/8,000/17,000, etc.), this map is only really good up to 17,000 feet, again above MSL. Airways on these low-altitude charts are pronounced with the ICAO (see “Glossary”) phraseology of Victor. Thus the route on the map as “V-3” is identified phonetically as “Victor Three” when control instructions are given to pilots.
The third map (see Figure 3) is part of the VFR Terminal Area Chart for New York City. The sample shows the immediate JFK, La Guardia (LGA), and Newark (EWR) areas with runway layouts, some frequencies, and locations of airports you may not know of, such as the Jamaica Bay private sea plane base located about seven miles southeast of JFK. Also on the maps are little magenta flags (looking like flags on a golf course green). Next to the flags are their identifications, such as Lincoln Terrace Park, Ridgewood Res, and Baisley Pond, all adjacent to JFK. These are visual reporting points. A helicopter enroute, say from JFK to the MONY building,
### New York Area Airport Frequencies
#### John F Kennedy International (JFK)
- **ATIS**: 128.725/117.7/115.4/115.1
- **CD**: 135.05
- **FSS**: 122.1R/115.9
- **GATE CTRL**: 125.05
- **GC**: 121.9/121.65
- **LC**: 119.1/123.9
- **UNICOM**: 122.95
- **APCH**: 127.4/134.35/132.4/126.8/123.7
- **DEP**: 135.9/134.35/124.75/123.7
- **VOR/KENNEDY**: 115.9
- **VOR/CANARSIE**: 112.3
#### La Guardia International (LGA)
- **ATIS**: 127.05/125.95
- **CD**: 135.2/121.875 (Helicopters)
- **FSS**: 122.1R/113.1T
- **GC**: 121.7/121.85
- **LC**: 118.7
- **PRE-TAXI**: 135.2
- **APCH**: 120.8/132.7/128.8
- **DEP**: 120.4/124.45/127.05
- **VOR**: 113.1
#### New York Skyports SPB (6N7)
- **CTAF**: 122.9
#### Pan Am Metroport Heliport (6N4)
- **CTAF**: 123.075
#### Port Authority-Downtown-Manhattan/Wall Street Heliport (JRB)
- **AWOS-3**: 128.175
- **CTAF**: 123.05
#### West 30th St Heliport (JRA)
- **CTAF**: 123.05
#### Newark Liberty International (EWR)
- **ATIS**: 115.7/134.825
- **CD/PRE-TAXI**: 118.85
- **GATE HOLD**: 132.45
- **GC**: 121.8/126.15
- **LC**: 118.3/134.05
- **New York APCH**: 132.8/1283.55/127.6/132.7
- **New York DEP**: 119.2
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may report over Lincoln Terrace Park that he’s flying right over that point. Tower controllers may even instruct VFR pilots to cross over these points to separate them from other aircraft in the area. (Those of you in the New York area, including fearless editor Harold, may know that you can’t fly from JFK to MONY and cross Lincoln Terrace. I’m just using this as an example.)
Now that you’ve seen the map samples, let’s get on to the listing of the New York frequencies. This listing is not exhaustive, but for those fortunate to be near JFK, LGA, EWR, etc., or traveling to the metro-New York area, this list is a good start.
Do you have any aviation or frequency questions? Send them to me at Popular Communicaitons, and in the coming months perhaps you’ll see your question or photo in your favorite radio magazine! See y’all soon.
Thanks to Terry Schieler, W0FJM in St. Louis, Missouri, who reminded us that Owen Garriott, W5LFL, sent greetings from space to over 350 amateurs between October 28 and December 8, 1983, from STS-9 Space Shuttle *Columbia*. He used a modified Motorola MX-300 at 4.5 watts and reached 23 countries. He was the *REAL* first amateur in space. 73, and thanks for the reminder Terry!
Q Everyone knows that five words per minute is the current minimum for FCC amateur licenses. What is the fastest anyone has ever sent or received CW code?
A In July 1939 at a Hamfest in Asheville, North Carolina, T.R. McElroy set a world record of 75.2 words per minute received. Corrected for today’s 25-dot word standard that would be 72.2 wpm, which is still pretty fast. His record is still unbroken. “Mac” McElroy had already established himself as the world champion professional telegraphist, both in sending and receiving, but this was his record. During one contest McElroy heard the message start, and then lit a cigarette. He smoked the cigarette and then started to type. His copy was perfect from the beginning, but he was still typing when the message being sent had ended. McElroy started his career as a Western Union messenger at age 14. By 21 he was breaking records both in sending and receiving messages. In 1934, he began manufacturing and demonstrating his own line of keys, which are still highly collectable, under the trade name “MacKey.” By 1941 he was selling semi-automatic and other variations of straight keys, code practice oscillators, and inked tape keyers. He made millions supplying the military during World War II, but lost much of it after the war. He died in 1963 at age 59.
Q Since SOS is no longer the International Distress Signal we are supposed to say “May Day.” What does the First of May have to do with “HELP!!!”
A MAYDAY doesn’t have anything to do with any day in May. It is an anglicization of “m’aidez,” which is French for “help me” which is a pretty good thing to say when your plane is going down! Another French word you might need to know at that time is MERDE! In English it is expressed by a four letter word beginning with S and ending with T. It is the most common last word heard on an aircraft’s “black box” voice cockpit recorder.
Q What ever happened to that big spy base the Soviets built in Cuba?
A The Russian Signal Intelligence base built near Lourdes, Cuba, just south of Jose Marti Airport, covered 28 square miles and employed 1,000 to 1,500 Soviet engineers, technicians, and military personnel. It was the most productive spy base the Soviets ever built and supplied them with 75 percent of their strategic intelligence by 1994. Built after the Cuban Missile Crisis in 1962, the base specialized in telephone espionage and could copy all of America’s communications satellites and many international ones. In a 2000 visit there, Russian President Vladimir Putin said to the staff: “The results of your labors are important, not only to the military command but also to the political management of Russia.” Because of pressure from the first Bush administration, Putin announced the closure of the base in 2001. Against Castro’s protests, all Russian equipment and personnel were gone by August 2002.
Q In all the World War II movies, we see the underground asking the Allies to supply them with radios for communications with forces outside their countries. Did the members of the resistance build any of their own sets?
A They often did, particularly in Norway. When Norway was invaded in April 1940, it happened so fast there was no time to prepare. Loyal Norwegians quickly formed resistance groups all over the country. The Norwegian Government in exile designated MILORG (short for Military Organization) to coordinate all resistance units. There were already a few British Type 3 Mark II radios in the country to keep MILORG in touch with London, but they needed some way keep in touch with the various military districts where 40,000 troops were waiting for orders. Salvo Staubo, founder of Hovding Radiofabrikk in Oslo, came up with the answer. In September 1941, Arne Hannevold, LASK, a Hovding employee, began designing a transmitter, nicknamed “Olga.” In January 1943, Staubo hand-wound the radio’s coils in his kitchen. Power transformers, tuning capacitors, and IFs were assembled in Staubo’s factory, camouflaged as standard parts for other products. Transmitters and power supplies were assembled in a cellar near Oslo, where final assembly also took place. Hannevold conducted final testing in the factory. By March 1943, Staubo was ready to go into mass production. Some of Olga’s parts were parachuted in from England after December 1944. The Nazi’s ordered Hovding to recondition 1,000 confiscated Norwegian radios a month before shipment to Germany. Some of Olga’s parts were “borrowed” from this project. In addition to Olga, Staubo also manufactured Lisbeth, an illegal battery-powered receiver. There were 100 Olga units and 250 Lisbeths produced. It was the largest case of underground organizations mass-producing their own communications equipment. (Thanks to Erling Langemyr, LA3BL, for help with this piece).
Looking Back…
Five years ago in *Pop’Comm*
It was a “tinderbox” then and it still is; that’s the Middle East, of course. Gerry Dexter’s article titled “Tune In The Arab World” had it all—frequencies and broadcast times, addresses, and even QSLs from Algeria to the United Arab Emirates. Some things never change! Former *Pop’Comm* columnist Eric Force had a column called “Radio & The Internet” that included surfing tips and URLs to find almost anything radio. And, on shortwave, the VOA was testing its “new” relay on Sri Lanka with four 500-kW transmitters!
Ten years ago in *Pop’Comm*
An exciting new product back in 1994 was the Trident handheld receiver that covered 100 kHz to 2.060 GHz. It scanned at 25 channels per second and boasted 1,000 user-programmable memories. It carried a hefty price tag for 1994: $799. On the shortwave scene, Jeff White and his Radio Miami International had just begun broadcasting on a regular basis.
Twenty years ago in *Pop’Comm*
We still struggle with the “right to listen” as we did back in November 1984, when the cover story was “Police Radio: It’s Great To Listen In, But Is It Legal?” The cover photo was of a Middletown, New York, police officer preparing to cuff a perp while another officer held a revolver and a “brick” HT that was larger, and perhaps heavier, than his weapon! A full-page ad from Scanner World in Albany, New York, advertised a “special” price on the Regency DS10 desktop scanner, which featured 30 programmable channels and “No Crystals Required.” Longtime *Pop’Comm* writer, Gordon West, WB6NOA’s article “More Than You Ever Wanted To Know About Cellular Mobile Telephones” was an eye-opener, but remember it was 1984. His closing tip in the article, “Before you begin shopping for cellular radiotelephone equipment, be sure to find out the progress of cellular radio in your area! It may still be a year off!”
FM’s Secret Service: Storecasting, Transit Radio, Multiplexing, And Facsimile
“It was strange stuff!” a Pop’Comm subscriber declared. His e-mail described the odd, in-store radio reception he recalled hearing while suffering through back-to-school clothes shopping as a kid. He continued,
Must have been the late summer of 1955 when my mom dragged me and my equally bored brother to various clothing shops and shoe stores in our hometown of Cranford, New Jersey. There was a tiny storefront called something like, Gentleman’s Corner, which we didn’t mind quite as much as the other places, mainly because it was air-conditioned and had music playing. In fact, I recognized the songs as being the same as the ones coming from my folks’ big FM/AM/phono console running softly during dinner. My dad always tuned it to some New York City station that ran long segments of “beautiful music” records, announced the selections, gave a station ID, a commercial or public service message, maybe a little news or weather, and then went back to music. The weird thing is why after a few songs on the store’s radio, everything went dead for a couple of minutes before the music suddenly re-started through a ceiling speaker?
The Answer To The Mystery Is…Simplex
It seems a stretch to think of broadcast FM as a failed band, but in the early 1950s most industry bets were against frequency modulation ever doing much except losing money, albeit without static. Audiences for the obviously clearer (than AM) aural medium could ostensibly be counted on one hand. During the spectacular major-league baseball summer of 1949, Nathan Strauss, owner of New York’s WMCA-FM deliberately cut off play-by-play in mid-inning so as to annoy listeners enough for them to—hopefully—respond in droves. Only a pair of complaint letters trickled in. When he couldn’t even find a willing party to take over WMCA-FM for free, Strauss vowed to shut it down. Shortly before this was to happen, though, officials of a cross-town foreign language station decided to pay about $7,500 to claim the 92.3-megacycle facility.
Changing the calls to WHOM-FM, they ran a “storecasting” format from nine in the morning until nine at night. Designed to generate revenue via subscription fees paid by stores wanting music (and customized information/sales suggestions) for customers to shop by, this programming was dubbed “Melodies-to-Market,” and featured what is generically termed “elevator music” or easy-listening background songs bridged by commercial announcements (a la “attention K-Mart shoppers…”) specific to supermarkets in the New York/New Jersey area. These stores leased from WHOM-FM special FM radios capable of detecting sub-audible tones that would, in the case of the WHOM-FM operation, jump the volume whenever those commercials were run. “Simplexing” was the term for such FM transmission and could also be rigged to signal the subscriber’s rented receiver to silence the non-music portion of an FM station’s programming. That’s what was making the talking disappear from the aforementioned New Jersey clothing store radio. By leasing businesses special radios with relays that simply clicked-out speech content, any 1950s garden-variety, nearly wall-to-wall “good music” FM outlet could supplement its meager revenue from regular ads and information heard only by the general at-home broadcast audience. More than a few old-time radio professionals would agree, however, that the involuntary, or “in-store,” listenership was considerably larger.
And, speaking of captive audiences, something that the FCC briefly authorized and called “transit radio” allowed a handful of big-city FMs to inject mood music into subscribing bus companies’ vehicles, and then, via receiver relays, pump-up the decibel level of commercials. It turned metropolitan buses into unbearable boom boxes. So many complaints were registered that politicians urged transit companies and the FCC to end what many believed to be a classic invasion of privacy. Frequency modulation’s well-being was no match for the Bill of Rights.
In the FCC’s Twentieth Annual Report, the Commission hinted at the dubious fiscal state of FM’s commercial landscape, circa 1954, and admitted that the jury was still out on efforts to make it solvent, saying,
As a means of obtaining additional revenue, various commercial FM stations are engaging in supplemental services known as “funcThis early 1950s letterhead mentioned WPEN-FM, but focused on WPEN-AM as the favored sister. Note the "5,000 watts" mention for the AM, though WPEN-FM's 20-kW gets no praise. The stationery was the first at WPEN-AM/FM's then-new address in the former Philco building. Embedded in the sidewalk at the front entrance was a multi-colored marble logo emblazoned with sparks and the WPEN callsign. It'd be interesting to see if it's still there.
WPEN-FM, Your "Musitone" Subscriber Station
One of the most vocal simplex supporters was the management of WPEN-FM. Owners of this Philadelphia facility told the Commission that without income from simplex storecasting it would probably have to take the station dark. The pioneer FM ran storecasts for a subsidiary business named "Musitone." Most engineers at WPEN (no matter whether assigned to AM and FM) had to be able to service the special FM receivers placed in various Delaware Valley establishments. In the station's 2212 Walnut Street cellar, an ailing legion of these units was still stacked on a big workbench long after WPEN-FM had been out of the simplex game and was re-christened WMGK-FM. But that's getting ahead of the story I uncovered with the help of a *Broadcast Pro-File* station history obtained from their informative new catalog. (Get one by writing to 28243 Royal Road, Castaic, CA 91384-3028.)
W73PH, A Pioneer On FM Row
It was Arde Bulova, maker of all those famous watches, who got his Philly-based William Penn Broadcasting Company into the FM business. In 1941 he'd asked the FCC to give his 5,000-watt WPEN a frequency modulation sister. Commission approval took place early the next year and Bulova ordered his engineers to get the new FM on the air before World War II material shortages barred construction. This was during FM's original—or low—band era, so Bulova's facility got the nod to use 47.3 megacycles with enough power to cover some 9,300 square miles from a Center City Philadelphia tower.
Under the Commission's early commercial FM callsign rules, stations were typically named for their general venue east (W) or west (K) of the Mississippi River, the last whole number and decimal of their dial position in the 42- to 50-megacycle band, and an identifying letter.
Here are some rare radio scribbles! It's a simple hand-written log sheet from a June 20, 1942, test of W73PH. The pioneer Philly FM ran 3,000 watts at 47.3 megacycles, and that afternoon took to the air for testing purposes. Looks like the station signed on at 4:06, broadcast a live ID at 4:07 and 4:20, while airing music via an "electrical transcription" (ET), then left the scene at 4:35. We can safely assume that the ET might have been a 78-rpm disc and a bit too scratchy to really make good use of FM's wide frequency response. Note that a second 6/20/42 test was conducted later that evening. Official W73PH operation/programming began on June 22.
When WMGK-FM stopped simulcasting oldies-formatted WPEN and debuted the “MaGiK Music” format, this tiny Gates Producer board served as the pioneer soft-rock outlet’s main console. The station quickly gained a following, and the little board was fast replaced in favor of a state-of-the-art McCurdy-brand rig that impressed DJs quipped looked like something from a Star Wars spaceship.
or two designation for the city of license. Consequently, Bulova’s Philadelphia FM on 47.3 megs got dubbed W73PH.
Following relatively quick construction and some testing, W73PH officially hit the City of Brotherly Love’s airwaves on June 22, 1942. Admittedly, neither the station’s debut nor its programming made headlines, as W73PH broadcasts consisted mainly of simulcasting WPEN for a couple of hours nightly. Probably few local radio listeners even noticed the outlet’s November 1, 1943, call letter change to WPEN-FM, when the FCC realized that the old number/letter system was potentially confusing and too cumbersome to accommodate all of the planned FMs, some of which would be in communities bearing the identical name (such as Philadelphia, Mississippi) and same first initial(s) as existing stations.
For $620,000, Bulova sold WPEN-AM/FM to *The Philadelphia Evening Bulletin* newspaper in 1944. In 1946, the paper silenced its FM’s low-band transmitter and fired up a new unit on their newly FCC-assigned dial position of 99.5 megacycles. Somewhere in the mix around this time, the *Bulletin* secured a coveted television construction permit. Before WPEN-TV ever began its anticipated telecasts on Channel 10, however, the newspaper upgraded its AM property through the acquisition of 50,000-watt flamel thrower WCAU, renamed its video permit WCAU-TV, and quickly spun off the WPEN radio stations to the local Sun Ray Drug Store chain. Interestingly, though, the $800,000 WPEN deal stipulated that WPEN-FM would need to trade frequencies with the admittedly technically inferior WCAU-FM 102.9 facility. The newspaper wanted to keep WPEN-FM’s lower dial position and better equipped WPEN-FM 99.5 broadcast gear, as it was enthusiastically getting into FM facsimile *Bulletin* transmission (a topic we’ll soon cover).
The frequency/facility/call swap—a common occurrence in today’s radio climate, but rather rare then—took place in 1948. Two years later, WPEN-FM’s 20-kW signal (at 102.9) was largely an AM simulcast. New, however, was a move from 1528 Walnut Street to fancier digs in the former Philco building at 2212 Walnut. There, Sun Ray opened a drug store/soda fountain on the main floor, while revamping the rest of the real estate to accommodate a WPEN-AM/FM master control, five on-air studios, and spacious offices. The most interesting feature of the remodeling was an auditorium/studio that one could enter through the drug store, where kids from nearby row homes got invited to dance to records being spun on the air and see visiting artists lip-syncing their latest hits. This WPEN-AM/FM show was the genesis of *American Bandstand*, later taken by WPEN DJ, Bob Horn, to cross-town rival WFIL and WFIL-TV.
No doubt, even WPEN-FM’s drug store ownership recognized that an AM simulcast would not make the frequency modulation facility profitable. As a result, after learning of the money to be made with a big city FM that engaged in simplexing “functional music” or “storecasting,” the Sun Ray folks jumped on the Subsidiary Communications Authorization (an FCC rule allowing for the store-targeted programming) and snagged the Commission’s first official SCA go-ahead on October 12, 1955. Reportedly, WPEN-FM and other frequency modulators were already simplexing under special “experimental” authority.
To give WPEN-FM more punch for reaching functional music subscribers beyond the main Philly suburbs, by 1958, Sun Ray relocated the transmitter site to the top floor of an upscale apartment building on Rittenhouse Square downtown. Walking into the “shack,” one was greeted by glowing tubes from long, tall gray equipment cabinets that comprised a huge Westinghouse transmitter. On this rig’s center door was a Westinghouse logo and matching metal emblem that read, “WPEN-FM.” The apartment house was crowned with a massive self-supporting tower bolted to the building’s internal superstructure. One night, a WPEN-FM tech forcefully hit a lower leg with a large wrench. He was trying to knock some antenna line fitting back into place, but woke up half the residents instead.
Sun Ray divested itself of broadcast interests in 1969. WPEN-FM program logs written so long thereafter show a 30-percent duplication of WPEN-AM, with the balance devoted to separate programming consisting of “middle-of-the-road” music in stereo. In 1970, the new owners took their FM station to “full Class ‘B’ power” of 50 kW. Both the AM and FM limped along in the ratings until being silenced by Greater Media, Incorporated, which bought the stations (for $4.3 million) early in 1975. Greater Media took them dark while selecting more effective formats. The eventual debut surrounded a golden oldies simulcast. This was short-lived, however, because WPEN-FM’s calls were quickly flipped to WMGK-FM, denoting a soft rock offering under the slogan “MaGiK Music, MaGiK 103.”
Under the direction of respected programmer Julian Breen, this represented one of the first meticulously researched “mellow favorites” formats, and the service marked use of the “magic” identifier. Though started with little more than a four-channel Gates Producer control board, a mic, a cart machine, and a couple of turntables (in an erstwhile WPEN-AM studio covered with brownish-gold carpeting), WMGK-FM rapidly filled an audience niche in homes, offices, and an increasing number of FM radio-equipped cars throughout the Philadelphia market.
By airing mellow tunes by the likes of James Taylor, the Carpenters, the Beatles, and a host of other pleasant-on-the-ears artists’ records (that Breen and his associates hand-picked), “MaGiK” offered a welcome compromise between fast beat Top-40 and sleepy beautiful music. By 1978, WMGK-FM and sister WPEN moved to a new office building in Bala Cynwyd, Pennsylvania, just a few hundred yards from the Philly city line.
Greater Media employee and radio memorabilia buff rushed into the WMGK-FM studio and wildly motioned to Davis. Nearly breathless, the co-worker exclaimed that guys from a clean-out/disposal firm were tossing stuff from the cellar into dumpsters in preparation of the station soon vacating the building. Davis had 10 minutes left before the next air personality arrived, and he recalls that the clock seemed to stop as he pictured valuable broadcast history getting trashed every second.
Finally, his replacement DJ sauntered into the air studio. Davis admits to practically bowling over the unsuspecting colleague, bounding down several flights of stairs before coming to a dead stop in front of a three-foot pile of “Musitone storecast” receivers slated for imminent disposal. He grabbed several of the most complete looking examples, stacked them in a lingly corner where the WMGK-FM announcer remembers “starting a collection of vintage radio items in the supermarket sweep game show style!” His buddy had already amassed some sizeable boxes of goodies, though there were still enough treasures left for both to go home with RCA ribbon microphones, WPEN mic flags, microphones stands/booms, the Western Electric Model 202 telephone from WPEN’s Bandstand Studio, a miniature WPEN billboard, electrical transcription discs, 1950s Coca-Cola glasses from the soda fountain days, book matches with WPEN advertising on the cover, cartons of promotional combs printed with the boast, “WPEN, the station that’s hard to part with,” and much more. Davis shrugs that there was simply too much stuff to squeeze in the car.
He and his buddy each made four or five trips from the basement to a nearby Sunoco gas station where they rented parking spaces. “The clean out crew started telling us to finish up,” he laments, “because their dumpsters were going in a few minutes. The last time we ripped down those cellar stairs for just one more load, the foreman shook his finger, ‘It’s too late boys, we gotta go.’ His men had scooped the remaining inventory out of the most remote section of that basement, chucked it in a back alley dumpster, and were directing a truck inching its way to pick it up.” Davis noticed a lone red and silver “Musitone” ID tag that had fallen onto one of the stairs. “The end of an era,” his friend mused while surveying the vacant cavern. “The end of a radio era,” Davis pensively nodded, and reverently slipped the little tag into his shirt pocket.
Unobtrusively Multiplexing For Dollars
Shiniest of the “Musitone” stash was a McMartin-brand receiver from the mid-1960s, the tail end of WPEN-FM’s subscriber background music foray. Davis brought it to WMGK-FM’s new studios so that a veteran PEN engineer could take a look. The tech verified that it was one of a fleet of “Musitone’s” first multiplex receivers, purchased shortly after the FCC made a final decree that FM stations could no longer storecast with the “simplex” method. As described in Don Erickson’s wonderful 1973 book, Armstrong’s Fight for FM Broadcasting,
...in the multiplex operation, a station transmits programs by a special means of the same FM carrier wave (piggybacked) used for FM broadcasting, but the programs cannot be received on ordinary FM receivers. Subscribers [paying to have background
The Alden fax firm stated that its 1947 "18-inch Master Recorder can be used for viewing by a large number of persons in public places. It can [also] be built as a home utility model using less space and placed against a wall. It is manufactured in two designs. One reproduces with a paper speed of 3 inches per minute. The other model enlarges copy three times with a paper feed of 9 inches per minute which means the size of a newspaper page in less than three minutes." Hearing these claims, one can understand why many newspaper companies enthusiastically built FM outlets with facsimile facilities in the late 1940s.
Music piped into their store] are furnished with special multiplex receiving equipment and the programming can be entirely different from the "regular" programming on the station. There are no restrictions to the amount of time a station engages in multiplexing programs, since multiplexing (a channel of which sends half of one's stereo signal) and regular FM transmissions can be carried on simultaneously.
The old-time WPEN engineer said his old bosses tried stonewalling the Commission's move from "simplexing" to multiplexing, because they claimed multiplexing didn't have all of the bugs worked out of it and would likely leak "cross-talk" into a station's main FM signal. "Mostly, though," he chuckled, "they just didn't want to buy new receivers needed to convert to multiplex Subsidiary Communications Authorization mode. Of course, once they did," the tech said, "WPEN-FM could finally play some decent programming [completely aimed at the regular radio audience] on its main channel. At home, they didn't have to be exposed to the background "Musitone" music anymore."
In the days before widespread satellite programming delivery (pre-1985), Subsidiary Communications Authorization, or SCA, was the way to reach specialized audiences. While "Musitone" fare—and its better-known competitor, Muzak—made use of most SCA operations, niche formats, such as foreign language, news for doctors, and reading for the blind, occupied the bandwidth. Today's most common SCA use is arguably the reading services for visually impaired folks. Arcane FCC rules make it illegal to broadcast such programming unless authorized (by direct subscription or documented permission) to do so. That makes SCA a mysterious audio world unknown to the average person. Check out the website http://www.anarc.org/wtfda_web_links.htm and click on the FM Atlas link to find fascinating SCA details and info about SCA-equipped FM radios.
Wireless Facsimile, FM's Fallen Forties' Hero
"Is this a good find?" asked another Pop Comm e-mailer to my firstname.lastname@example.org Web address. It's "some sort of radio end table I paid $27 for at a hamfest," he stated. The picture attachment reminded me of something I saw in the 1947 Broadcasting Yearbook—a machine to receive and print facsimile (or fax) via an FM station's signal. Lead proponents of this way to make money with early post-World War II FM, at a time when listeners were scarce, were owners of newspapers like The Philadelphia Bulletin. Remember that they wanted the best FM facility of the bunch when making the WPEN/WCAU transaction? That's because FM fax figured into their plans. In fact, by 1947 the paper was already transmitting printed programming, such as pictures, news headlines, consumer information, and feature stories, to the handful of FM facsimile receivers in a few public places and upscale private homes.
Newspaper-owned stations using the simplex method did much of the FM faxing, thus necessitating that facsimile transmission aired only when regular broadcasts were not being run. For the most part, this made for a minimally, or at least modestly, programmed station the real purpose of which was to transmit facsimile (totally unintelligible to the regular listener) during late night and early morning hours.
The newspapers hoped that people would warm to the idea of reading their news delivered by FM facsimile overnight. The futuristic promise of someday being able to save tons of money by no longer having to print and distribute papers drove FM fax's development. But, just like 1980s AM stereo, the almost universal public rejection of the technology killed it in short order. Understandably, the high cost of consumer FM fax receivers, special paper, and the wait for content to roll off the printer made this innovation seem dubious. Besides, the public was then geared to spending its money and time on something with a more interesting sound than that featured on most 1940s FM stations, and better pictures than those getting faxed—television! Compared to the much anticipated and quickly accepted Truman-era TV, everything else in consumer electronics looked like pretty strange stuff.
Do You Have A Radio Mystery?
And, so ends another day of broadcast history at Pop Comm. Do you have any old-time radio stories you'd like to share with our readers? How about something you'd like me to investigate from radio's or TV's golden years? Contact me directly at email@example.com.
Congratulations To Matthew Little Of Morganton, North Carolina!
*Pop’Comm* reader Matthew Little tells us,
While I’ve been interested in radio for a couple of years, it wasn’t until the tragic events of September 11, 2001, that I became interested in shortwave radio. About five or six weeks after 9/11, I was doing one of the more mundane things in life—going through some bills—when after opening one, I noticed an ad for a Grundig Mini World 100-PE shortwave radio. I ordered one, got it about two to three weeks later, and got hooked by the DX bug. Even though it’s now got an awkwardly bent antenna and eats up batteries (AA) left and right, it’s still good. I currently own that (which I keep at work) plus two other SW radios: a RadioShack DX-396 and a Grundig Yacht Boy 400-PE V/SSB. I’m planning to add a Satellite 800 (from Grundig) within the next couple of months so I can start listening to ham and utility broadcasts as well. I also use a Grundig Mini World 100 and Bell & Howell SW at work.
Here’s Matthew Little at his listening post in North Carolina.
Looks like Matthew’s mini gym doubles as a work station and monitoring table when he’s not exercising!
*Popular Communications* invites you to submit, in about 300 words, how you got started in the communications hobby. Entries should be typewritten, or otherwise easily readable. If possible, your photo should be included.
Each month, we’ll select one entry and publish it here. All submissions become the property of *Popular Communications*, and none will be acknowledged or returned. Entries will be selected taking into consideration the story they relate, and if it is especially interesting, unusual or even humorous. We reserve the right to edit all submitted material for length, grammar, and style.
The person whose entry is selected will receive a one-year gift subscription (or one-year subscription extension) to *Popular Communications*. Address all entries to: “V.I.P. Spotlight,” *Popular Communications*, 25 Newbridge Road, Hicksville, NY 11801 or e-mail your entry to firstname.lastname@example.org
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As I write this month’s column, we’re right in the middle of the Summer Olympics—and, wow, is the excitement building! Now, I know that the Olympics is a strict form of competition that’s probably more closely mirrored in ham radio by on-air contest participation. But that being said, the feelings of pride, accomplishment, hard work paying off, camaraderie, and so on carry over to another ham radio pastime that represents competition, growth, and achievement on a more personal scale. That is pursuing the multitude of amateur radio awards that are out there just waiting for your qualifying application.
“Described by Old-Timers as ‘chasing paper’ or ‘the great wallpaper chase,’ the quest for ham radio operating awards and certificates (to pin on your shack walls, of course) captures the attention and efforts of almost every ham at one point or another.”
Described by Old-Timers as “chasing paper” or “the great wallpaper chase,” the quest for ham radio operating awards and certificates (to pin on your shack walls, of course) captures the attention and efforts of almost every ham at one point or another. Some make it a lifelong journey. So, whether you’re after one specific award, or you’re aiming to cover every inch of available wall space, the sheer number of available awards will keep you tuning the bands for quite some time.
Because the solar cycle is on its way into the doldrums, some awards will be more difficult (or even impossible) to achieve, while others will be a bit easier. Just be sure to choose awards that can be achieved under the present conditions. That is, if HF propagation stinks at your QTH, move to the Caribbean or the Azores, or get on 6 or 2 meters and work grid squares, etc.
In addition to providing a creative outlet for that pile of QSL cards you’ve been amassing, chasing awards can motivate you to improve your station and your operating skills. A lot of ham activity is sparked by the desire for one award or another.
You can spend as much time as you like in the chase because you’re really competing only with yourself. There are hundreds of awards and certificates to work toward, some easy, some almost impossible. Set your sights on one or two that make sense and go for them with gusto. In this month’s column we’ll examine several of the most popular awards, show you how to apply for them, and how get more information about them.
**Worked All Continents**
Worked All Continents (WAC) is a beginning DXer’s first achievement award. It’s given by the International Amateur Radio Union (IARU) for confirmed contacts with hams in the six continental regions of the world: Africa, North America, South America, Asia, Europe, and Oceania (the South Pacific, including Australia, New Zealand, and Hawaii). Endorsements are available for different bands and modes.
This award can easily be earned by beginners, but you’ll need HF privileges to do it (unless you wait a few years for the next solar peak, when it may be possible on 6 meters, or you work the stations via satellite or through internet-linked repeaters). Once the basic award is under your belt you can start on the Five-Band WAC award and the Six-Band WAC endorsement. For complete rules and an application form, point your Web browser to www.arrl.org/awards. To participate, ARRL membership is required for U.S. hams.
**Worked All States**
The Worked All States (WAS) award means just what it says: you get it for working and confirming contacts with hams in all 50 states. Aside from the basic certificate for any combination of bands/modes, specialty certificates are issued for a variety of
different bands and modes, such as satellite, 160 meters, SSTV, RTTY, and each VHF band. Available endorsements include SSB, CW, Novice, QRP, Packet, EME, and any single band except 30 meters. Your QSL cards are checked locally by a volunteer ARRL HF Awards Manager affiliated with an ARRL Special Service Club (although QSL cards can be checked at HQ, absent an awards manager). For a complete list of WAS rules, point your Web browser to www.arrl.org/awards.
To encourage increased activity and station improvement throughout the bands, the Five-Band WAS (5BWAS) certificate (and plaque) is available for working all states on five amateur bands (except 10/18/24 MHz). Once you’ve gotten your WAS or 5BWAS award, you can announce it to the world with a WAS or 5BWAS pin!
The DX Century Club
This highly sought-after award is the DXer’s benchmark. DXCC is awarded to hams who confirm contacts with fellow hams in 100 or more “DXCC entities.” Although countries, such as France and Sweden, are definitely DXCC entities, other areas like Hawaii and Alaska are also considered DXCC entities, which makes your job a little easier, if a bit more confusing!
There are presently more than 300 entities on the official “ARRL DXCC Countries List,” which is available from the ARRL website at www.arrl.org/awards/dxcc/list_l1a0.html. There you’ll also find a complete list of rules and DXCC award endorsements. ARRL membership is required for U.S. hams.
Even with an uncooperative solar situation, many amateur DX contest competitors work DXCC in one day, so you should be able to finish working your DXCC contacts in several months of mostly casual operating.
Other Awards
As I mentioned earlier, there are hundreds of other ham radio awards to work toward. They’re sponsored by ham radio magazines, national societies, and local/regional clubs and associations. The biggest include the ARRL and the Radio Society of Great Britain (RSGB). You can earn awards for working all 10 callsign areas in Japan, for working 100 or more Russian oblasts (similar to U.S. states), or for working 100 or more “islands of the world” (IOTA, short for Islands On The Air).
Another popular awards program is managed by CQ magazine. For more information, point your Web browser to www.cq-amateur-radio.com/awards.html. For a huge list of awards worldwide (and related Web links), look up AC6V’s ham radio awards page at www.ac6v.com/hamawards.htm. Not to be outdone, Ted Melinovsky, K1BV, has published The K1BV DX Awards Directory since 1987 (the hefty 2004 version lists info on 3,227 awards!). Dig through the electronic version at www.dxawards.com/book.html.
Once you’ve finished qualifying for all of the awards listed in these resources you’ll be at least 317 years old! (There are tons of awards, if you get my drift!) So get cracking!
Let Me Hear From You!
In the meantime, I encourage you to send your questions, comments, and QSLs to me right here at Popular Communications, “Ham Discoveries,” 25 Newbridge Rd., Hicksville, NY 11801. See you next month!
9-1-1. Public safety’s ability to deal with the needs of the public may indeed diminish proportionately to the rapid expansion of VoIP technology. APCO International has taken a strong position against this and has advocated to Congress to authorize the FCC to regulate VoIP E9-1-1.
“Public safety has worked tirelessly to ensure that the FCC is the regulatory body of E9-1-1,” APCO International President Vincent Stile said. “It is imperative that the FCC’s hands are not tied by any legislative initiatives that try to restrict regulation of VoIP. Any legislation to protect VoIP from regulation needs to be separated from E9-1-1.” To that end, APCO International urges the public safety communications community to contact their elected officials to let them know that public safety does not support “voluntary” standards for VoIP E9-1-1. Members of the public safety communications community are encouraged to write, call, and visit the offices of their elected officials and urge them to authorize the FCC to regulate VoIP E9-1-1.
For more information on this Call to Action, visit www.apcointl.org/about/gov/alerts/voipaction.htm.
**World Of Radio Via British Telephone**
Following the recent announcement that WOR is now heard via ACB Radio Mainstream, it is worth pointing out that ACB Radio is available via telephone for listeners in the UK by dialing the local rate number of 0845 3330855 and selecting Option 1. This service is powered by homeanything.com. There’s a different number mentioned on the opening announcement when you dial the 0845 3330855 number, so don’t be confused and think you have misdialed. All four of ACB Radio’s streams are available via this telephone service, and it’s available only in the UK.
**African Union Launches Radio Broadcast From Addis Ababa, Ethiopia**
The Commission of the African Union (AU) has launched its first-ever live radio broadcast from the AU headquarters in Addis Ababa, Ethiopia. The launch came two days before the Third African Union summit in July in Addis Ababa. African Union Commission chairperson, Professor Alpha Oumar Konaré, heads the station management, which include top journalists and technicians. Broadcasts run from 8 p.m. to 12 a.m. East African local time daily on shortwave frequencies 7165 kHz and 9560 kHz. Programs are aired in Amharic, Arabic, English, and French. The station is expected to provide additional platforms for discussing and disseminating issues affecting the African continent on poverty, health, conflicts, and culture, among others.
**BBC Radio Service Suffers Declining Listenership In India**
It is cementing its position as the world’s leading international radio broadcaster. However, in India as in other countries, BBC World Service is grappling with a major decline in its listenership. In a recent report, it admitted to having suffered major setbacks in India over the past year. It claims a weekly global audience estimate of 146 million. Besides India, BBC World Service also experienced significant losses in Western Europe, Saudi Arabia, Bangladesh, and Russia. Meanwhile, the 146 million figure equates to at least 50 percent more listeners than any comparable international radio broadcaster. The bad news is that the figure represents a four million drop from last year’s figure of 150 million. This has been partially offset by a big rise in listening through FM.
BBC World Service’s acting director Nigel Chapman noted that shortwave listening is in long-term decline, saying, “Audiences demand better audibility. It is sometimes difficult to find suitable FM partners in some countries or to overcome regulatory obstacles, like bans on international news broadcasting on local FMs, in others.” BBC World Service is now available on FM in 139 capital cities. On a bright note it added that independent surveys conducted in top markets also showed that it remained the most trusted and objective international broadcaster when compared to its main radio competitors in each market. The survey was done in 16 markets including the United States, Egypt, Indonesia, Nigeria, Pakistan, and Russia. In Afghanistan’s capital Kabul, BBC World Service claims to enjoy a 60 percent weekly reach. In Iraq, the launch of FM broadcasts in Baghdad, Basra, and other major cities helped to secure a weekly audience of 1.8 million. Nearly half of its total audience comes from Africa and the Middle East.
**Voice Of Russia Announces Its Plans For DRM Expansion**
At the Digital Radio Mondiale (DRM) consortium’s first-ever board meetings in Russia, held recently, Voice of Russia announced the successful implementation and planned expansion of its DRM broadcasts on shortwave and mediumwave. Russian Prime Minister Mikhail Fradkov recently signed an order allowing for Voice of Russia’s DRM progress. The consortium held its quarterly meetings at the headquarters of the Russian Television and Radio Network (RTRN) and Voice of Russia in Moscow. Voice of Russia has been a DRM member since 1998.
Voice of Russia currently transmits DRM broadcasts in Russian, English, German, and French toward Europe, using a shortwave transmitter in Taldom, Russia, operated by RTRN’s Moscow Regional Center, and a mediumwave transmitter on 603 kHz in Zehlendorf, Germany, operated by DRM member T-Systems International Media&Broadcast. The mediumwave transmitter, made by DRM member TELEFUNKEN, has been modified to operate in Single Channel Simulcast Mode, which means that Voice of Russia’s broadcasts can be sent in both analog and DRM formats. The Taldom broadcasts can be heard within parts of Russia. Further details are at the website at http://www.radiostation.ru/drm/start.html.
Voice of Russia will expand its reach within and beyond Europe in the near future, using additional transmitters that have been adapted for DRM. This network includes a second shortwave transmitter operated by the Moscow Regional Center, a shortwave transmitter in Irkutsk, a shortwave transmitter in Khabarovsk, and a T-Systems International mediumwave transmitter, built by Telefunken, in Wachenbrunn, Germany.
**France: Survey Reveals Decline In Radio Listening**
The latest figures released by Mediametrie, the French radio and television audience research organization, show a
decline in radio listening in the period from April to June 2004. The telephone-based survey of 75,000 individuals over the age of 13 revealed a 2-percent drop in weekday radio listening compared with the previous January to March survey, and a 1-percent drop year-to-year. Weekend radio listening is down 4 percent from the same period in 2003.
Music radio, however, has generally managed to maintain its audiences, with audience share increasing since the previous survey, particularly on weekends. Despite its decline in audience share, privately owned RTL (Radio France) remains the most listened to radio station in France, ahead of France Inter and music stations NRJ and Nostalgie, said the Mediametrie survey.
**AIR To Go Slow On Digital Ventures**
Public broadcaster Prasar Bharati’s digital projects are in a go-slow mode. In some cases, digital projects of Doordarshan (DD) and All India Radio (AIR) may have to be shelved completely, Prasar Bharati sources indicated. The reason is the high cost of receiver systems and poor acceptance among consumers. Besides putting the digital plans on the slow track, Prasar Bharati is reviewing its Tenth Plan (2002–07) ventures. The objective is to place a greater thrust on revenue-generating projects and phase out the rest.
Although DD’s Ku Band would be launched soon as it has Cabinet approval, other digital ventures are likely to suffer. The Indian government has already put on hold expansion of DD’s ambitious Digital Terrestrial Transmission (DTT) project. It was launched in the main cities a couple of years ago, but there’s been no response from consumers so far. Digital radio plans are also on the backburner. Expensive receiver sets and poor consumer response are believed to be the main reasons behind the new direction. Digital Radio Mondiale (DRM), digital service for shortwave and mediumwave frequencies is also on hold. The DRM venture hasn’t been approved yet, and indications are that it may not be. In both cases, the receivers cost from $200 to $400 on the overseas markets.
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I’ve just gotten a digital camera, and I can’t wait to write one of those “how-to” articles that have been lurking in the back of my mind. I’d also like you to see pictures of some of my disastrous mistakes in circuit wiring and pictures of some of the high places where I precariously dangle with my safety harness stretched to the limit (yes, these and many more photographs may be yours just for the reading, if I can convince Harold—“Who’s gonna pay for all that colored ink?”—Ort to allow me to add some color pics to “The Loose Connection” each month. There may even be a secret snapshot of Norm (I’ll have to put one of those black rectangles over his eyes, lest someone recognize him), and perhaps he’s got a shot of good old Chump, his loyal spaniel.
I’ll never produce a quality how-to column as well as Peter B., but if Harold will just give me a chance, I’m sure I can dazzle many of you with some tips on “Making Friends With Wasps While on a Ladder,” “How to Test the Maximum Load Limit of Your Climbing Belt,” and “Rooftop/Treetop Installations for the Faint-of-Heart.” Even though I never got pictures of some of the outlandish tower and rooftop episodes with Norm and Chump, all I have to do is head north, find Norm, and volunteer for an antenna project and I’ll get enough great pictures for Harold to publish a special “All Norm” edition.
Seriously, though, pictures of some of my projects will make a lot of you feel pretty good about your soldering skills. For instance, I’ve always felt that a few ounces of solder give a stronger joint, and now I can share my techniques. Also, I’ll be able to show you (instead of just telling you) about some of the exciting duties of my exciting HPJIE.*
I might have to drive a few hours to illustrate the great memories of my friend Norm and his adventures (the old Chevy station wagon may be gone, but I can surely get a picture of where Chump drove it into the lake while his leash was fastened to the gearshift lever). I’d like so much to travel to those places where Norm and I soldered in a freezing New England wind, or stealthily installed a huge vertical antenna in the attic of an apartment building, moved a 700-pound transmitter into his apartment, rebuilt his bus, or pulled off hundreds of other acts of insanity—just so that I could share them with all of you. If I’d only known back then that I’d be writing about them, I’d have taken pictures of the events as they happened.
Transcripts of our “meetings,” during which we planned such things, would make for good reading and just might find their way onto this page some day. And, maybe, just maybe, I’d be able to find and reproduce some of the notes and drawings, so long as all of you agree not to have me committed to a secure facility after reading them.
The best completely irrational plan that I ever discussed with Norm was his idea for an articulated Chevy station wagon. Norm had a special love for an enormous Chevy wagon. I think it was a ’78 or ’79, but it was huge. He immediately got a second one, because he liked the first one so much, but he didn’t want to register and insure both of them—he couldn’t fathom why it cost more for him to insure two cars when he could only drive one at a time.
Shortly thereafter, we were in a big city—could have been Philadelphia or New York—and he saw his first articulated bus. That’s a bus that’s really two buses joined together with a big hinge in the middle and an accordion pleated rubber “bellows” around the area where they’re joined together.
“Old man,” he said (he really called me that), “that’s what I want to do with the two station wagons! Do you think we can do it?”
Rather than give him the answer I’d give anyone else, for some reason I was compelled to say, “Well, it’d be difficult, but it could be done.” In fact, I’d said things like that to him many times in the past when my words should have been, “Are you out of your mind?” I still don’t know why I encouraged him, but there I was, sitting in a cheap diner with one of those yellow legal pads he always had with him, showing him how it could actually be done. He even had me looking for sources of giant rubber accordion pleats for the middle before I told him the cost would be prohibitive, and the state would probably not license or inspect his behemoth accordion-car.
To this day, I still mull over the means to fabricate the pivot point, the drive mechanism, and the accordion pleats. And in which one he would put all the radio gear. I can clearly see him driving this thing down a country road, swaying around all the turns with Chump at his side.
I’ve been on so many unusual radio road trips with Norm it isn’t funny. Actually you probably would laugh, but I don’t have photos to prove the antics. (Norm has photocopies of a few tickets and I’ve certainly walked more than a few miles to the nearest radio shop for a replacement antenna that came off after taking out a few lights at that Pennsylvania gas station, though.) Yes, it’s been one heck of an adventure, and much to the surprise of our families—and the cops—we’re still in touch.
Maybe that’s why we were such good friends. I hope all of you have your “Norm.”
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Thermal properties of coarse RCA concrete at elevated temperatures
Hui Zhao, Faqi Liu, Hua Yang
PII: S1359-4311(17)34217-5
DOI: https://doi.org/10.1016/j.applthermaleng.2018.05.032
Reference: ATE 12171
To appear in: Applied Thermal Engineering
Received Date: 22 June 2017
Revised Date: 15 November 2017
Accepted Date: 8 May 2018
Please cite this article as: H. Zhao, F. Liu, H. Yang, Thermal properties of coarse RCA concrete at elevated temperatures, Applied Thermal Engineering (2018), doi: https://doi.org/10.1016/j.applthermaleng.2018.05.032
This is a PDF file of an unedited manuscript that has been accepted for publication. As a service to our customers we are providing this early version of the manuscript. The manuscript will undergo copyediting, typesetting, and review of the resulting proof before it is published in its final form. Please note that during the production process errors may be discovered which could affect the content, and all legal disclaimers that apply to the journal pertain.
Thermal properties of coarse RCA concrete at elevated temperatures
Hui Zhao\textsuperscript{a}, Faqi Liu\textsuperscript{b}, Hua Yang \textsuperscript{c,*}
Submitted to: Applied Thermal Engineering
\textsuperscript{a} Hui Zhao, Ph.D. Candidate
School of Civil Engineering, Harbin Institute of Technology, P.O. Box 2551, 73 Huanghe Road, Harbin, 150090, China; Key Lab of Structures Dynamic Behaviour and Control of the Ministry of Education, Harbin Institute of Technology, Harbin, 150090, China;
\textsuperscript{b} Faqi Liu, Lecturer
Key Lab of Structures Dynamic Behaviour and Control of the Ministry of Education, Harbin Institute of Technology, Harbin, 150090, China; Key Lab of Smart Prevention and Mitigation of Civil Engineering Disasters of the Ministry of Industry and Information Technology, Harbin Institute of Technology, Harbin, 150090, China;
\textsuperscript{c} Hua Yang, Professor
Key Lab of Structures Dynamic Behaviour and Control of the Ministry of Education, Harbin Institute of Technology, Harbin, 150090, China; Key Lab of Smart Prevention and Mitigation of Civil Engineering Disasters of the Ministry of Industry and Information Technology, Harbin Institute of Technology, Harbin, 150090, China;
* Corresponding author:
Hua Yang
School of Civil Engineering, Harbin Institute of Technology, 73 Huanghe Road, Harbin 150090, China
Tel: +86 451 86282079 Fax: +86 451 86282083
Email: firstname.lastname@example.org
An experimental investigation was carried out on the thermal properties of concrete made with coarse recycled concrete aggregate (RCA) in the temperature range from room temperature to 800 °C. Three different concrete mixtures were produced with replacement percentages of 0%, 50% and 100% coarse RCA. The thermal properties at elevated temperatures, including thermal conductivity, specific heat and thermal expansion were obtained from the tests. Test results in this paper show that the thermal conductivity of coarse RCA concrete decreases with increasing coarse RCA content. The development trends of thermal conductivity and specific heat with temperature are similar among concretes with different coarse RCA content. For thermal expansion, the concrete with 50% coarse RCA has a larger value than the concrete containing 0% and 100% coarse RCA at temperatures above 500 °C. Based on the test data, simplified equations were proposed to express the elevated-temperature thermal properties of coarse RCA concrete.
**Keywords:** Concrete; Coarse recycled concrete aggregate; Thermal conductivity; Specific heat; Thermal expansion; Elevated temperatures.
1. Introduction
A large amount of construction and demolition waste has been generated all over the world in recent years [1, 2], of which waste concrete is the main component. Crushing waste concrete to produce coarse recycled concrete aggregates (RCA) for new concrete is regarded as an effective way to deal with the problem of increasing construction waste [3, 4]. This new concrete is henceforth termed ‘coarse RCA concrete’ for simplicity in this paper. To date, coarse RCA concrete has mainly been applied to non-structural project, such as pavement base and back-fill for retaining walls [5, 6]. In the past few years, our research group has also carried out research on both material [7, 8] and structural [9-14] performances of the coarse RCA concrete, proving that it is feasible to apply the coarse RCA concrete to composite structural members, such as concrete-filled steel tubular columns or composite slabs. This also has been confirmed by some researches on reinforced concrete beams [15, 16], columns [17] and joints [18]. Given the increasing use of coarse RCA concrete in structural members, it is critically important to study its properties at elevated temperatures, including thermal, mechanical and deformation properties.
For evaluating fire resistance performance of structures made with coarse RCA concrete, the temperature distribution in the structural members under fire exposure should be calculated first. The elevated-temperature thermal properties of coarse RCA concrete are essential for such a calculation. These thermal properties that determine the temperature distribution include thermal conductivity and specific heat at elevated temperatures. Thermal expansion is another important thermal property that influences the thermal stresses in the concrete at elevated temperatures.
Concrete is a composite material produced with aggregates, cement, water and superplasticizer. Aggregates, representing almost 70% of the volume in concrete, have an important effect on the elevated-temperature thermal properties of concrete [19, 20]. Coarse RCA concrete may have different thermal properties when compared to concrete made with coarse natural aggregate (NA), as coarse RCA has higher mortar
content, more porosity and cracks than coarse NA. Currently, the information on the elevated-temperature thermal properties of coarse RCA concrete is still limited. Laneyrie et al. [21] tested the thermal conductivity and specific heat of coarse RCA concrete for temperature up to 300 °C. Two water/cement (w/c) ratios of 0.3 and 0.6 and two coarse RCA replacement percentages of 0% and 100% were considered in the experiment. It was concluded that the thermal conductivity of concrete with 100% coarse RCA was about 10-20% lower than that of coarse NA concrete in 20-300 °C range, which was attributed to the higher porosity of coarse RCA concrete.
From the view of the literature reported above, no information is available on the high-temperature thermal expansion of coarse RCA concrete, which is essential for prediction of thermal strain of concrete under fire condition. Additionally, previous researches of the temperature’s influences on the thermal conductivity and specific heat of coarse RCA concrete are confined to 300 °C below. However, taking a concrete column with a 400 mm square cross section as an example, the temperatures of almost 60% of the cross section are higher than 300 °C after being subjected to ISO-834 standard fire curve [22] (see Appendix A) for a period of 2 h. It should be noted that 2h is the required minimum fire resistance time for concrete columns in high-rise buildings [23]. Therefore, further studies are needed to extend the temperature range. First, about 72-85% of compressive strength and all modulus of elasticity are lost at 800 °C. Second, taking above column as an example, only about 10% of cross section are higher than 800 °C. Considering the above factors, the highest temperature is chosen to be 800 °C in this study.
The main objective of this paper is to systematically study the elevated-temperature thermal properties of coarse RCA concrete consisting of thermal conductivity, specific heat and thermal expansion. For this purpose, three different concrete mixes with coarse RCA replacement percentages of 0%, 50% and 100% were produced. The measured temperatures were in the range of room temperature to 800°C. Finally, based on the test results, simplified formulas to express the relationships of thermal properties with the temperatures for coarse RCA concrete are proposed.
2. Test program
2.1. Materials and mixes
The materials employed in the concrete mixtures were given as follows:
Cement: ASTM Portland cement (strength grade 42.5 MPa) was employed in the production of concrete. Its specific density was 3.17 in this study.
Superplasticizer: A superplasticizer AS-I was employed to obtain suitable workability. Its density was 1200 kg/m$^3$.
Natural aggregates: River sand (0-4.75mm) with a fineness modulus of 2.30 and coarse NA (4.75-26.5mm) were employed as the natural aggregates in the concrete mixes.
Coarse RCA: The coarse RCA was obtained from a building structure built around 15 years ago in Harbin whose parent concrete had a cube compressive strength of 41.5MPa. To obtain the suitable size of coarse RCA, the waste concrete was crushed via two steps. The mechanical excavator was used for the first-stage crushing on the demolition site, and then the jaw crusher was employed for the secondary-stage crushing in the laboratory.
The coarse NA and RCA used in this study were all siliceous aggregates. For comparison purposes, the similar gradations of coarse NA and RCA were maintained in all concrete mixes (Table 1). Before mixing, the properties of coarse NA and RCA were measured according to JGJ-52-2006 [24] and these are given in Table 2. It can be observed that the coarse RCA has a lower dry density, higher water absorption and index of crushing than those of coarse NA because of the adhered mortar on coarse RCA’s surface and the cracks caused by crushing.
Before mixing, the coarse RCA was immersed in water for about 24 h and then left in the air for about 1 h to achieve a saturated surface dry (SSD) condition [8, 9]. The pre-wetted method was used to compensate the low workability problem for concrete with coarse RCA [4, 11-14]. Three different concrete compositions were produced
with different replacement percentages of 0%, 50% and 100% coarse RCA. The water/cement (w/c) ratio was maintained at 0.45. The mix proportions of the coarse RCA concrete are presented in Table 3.
2.2. Specimens casting and curing
The mixes were produced in the following steps: the natural and recycled aggregates were firstly mixed for about 1 min; secondly, 1/3 water was added for 1 min mixing; finally cement, superplasticizer and the remaining water were added for another 2 min mixing [7]. For each concrete mix, 6 concrete prisms with 100 mm×100 mm×300 mm and 15 concrete cubes with 100 mm×100 mm×100 mm were casted. These specimens were demolded about 24 h after casting and put into a standard curing room for 28 days, then they were air-dried in the laboratory for about 20 months until thermal property tests. Compressive strength was measured using 100 mm×100 mm×100 mm cubes at different ages, as shown in Table 4.
2.3. Experimental apparatus and procedures
2.3.1. Thermal conductivity
The experimental apparatus employed to measure the thermal conductivity of coarse RCA concrete at elevated temperatures was a QTM-500 Thermal Conductivity Meter made by Kyoto Electronics. This test apparatus mainly includes the power supply, an electric furnace, a hot wire, a thermocouple and a data acquisition system (Fig. 1). The test method adopted by this device is a hot-wire method in accordance with GB/T 10297-2015 [25], which is a transient method based on the idealized ‘one-dimensional radial heat flow’ model. In this model, the hot wire is assumed to be an infinite thin and infinite long line heat source. It produces a constant quantity of heat per unit time and per unit length and generates a transient temperature field. The thermal conductivity of specimen can be calculated from the slope of a straight line of temperature rise versus natural logarithm of the time using the following equation [25, 26]:
\[
\lambda = \frac{Q}{4\pi[T(t_2) - T(t_1)]} \ln \left( \frac{t_2}{t_1} \right)
\]
where $\lambda$ is the thermal conductivity in W/mK, $Q$ is the power of the heating line per unit length in W/m, $t_1$ and $t_2$ are the beginning and ending time of heating in s, $T(t_1)$ and $T(t_2)$ are the temperatures measured at times $t_1$ and $t_2$ in K.
Specimens with the dimensions of 200 mm×100 mm×50 mm were sliced from 100 mm×100 mm×300 mm prims and prepared to measure its thermal conductivity. The specimens were ground smooth with sand paper in order to ensure a good contact between two specimens. The layout of the specimens is shown in Fig. 1.
Thermal conductivity testing was measured under temperatures from 20 to 790°C with about 100 °C increments. For the room-temperature measurement, 3 tests were conducted for each concrete specimen. Since concrete is a non-homogeneous material, measurement was performed at different locations of each specimen. Meanwhile, the room-temperature density was calculated from mass and volume of each specimen. For the high-temperature measurement, the measurements of thermal conductivity were conducted on the same specimen used at room temperature. The specimens were heated at a rate of 3-4 °C/min to the target temperature followed by about 2 h stabilizing time in order to obtain uniform temperature distribution within the specimens, and then two measurements were obtained at each temperature. The average of the two values was defined as the final result. This process continued until 790 °C and it took about 23 h to complete the measurement of the thermal conductivity of a specimen.
2.3.2. Specific heat
Measurement of specific heat was using a MHTC 96 Differential Scanning Calorimeter (DSC) made by Setaram in accordance with ASTM E1269-11 [27], as shown in Fig. 2. The specific heat was determined through obtaining three DSC curves of empty crucible, standard reference material and sample. Sapphire was chosen as standard reference material. The specific heat can be calculated from the
following equation:
\[
C_p = C_{pc} \frac{m_c (A_s - A_p)}{m_s (A_c - A_p)}
\]
(2)
where \(C_p\) is the specific heat of sample in J/gK, \(C_{pc}\) is the specific heat of reference material in J/gK, \(m_s\) and \(m_c\) are the mass of sample and standard reference material respectively in mg, \(A_s\), \(A_c\) and \(A_p\) are the heat flow of sample, reference material and empty crucible respectively in \(µV\).
The specimen used for specific heat test was in powder form about 300 mg by grinding the concrete (Fig. 2). Specific heat measurements were taken in 25-800°C temperature range. The heating rate was set at 10°C/min until 800°C under an argon atmosphere. The values for specific heat were based on the average values of two specimens for each mix.
2.3.3. Thermal expansion
The thermal expansion of coarse RCA concrete was measured by RPZ-03P Automatic High Temperature Dilatometer in accordance with GB/T 7320-2008 [28], as shown in Fig. 3. Thermal induced dimension change was transferred through a corundum rod attached to the specimen. The linear variable differential transducer (LVDT) was employed to measure the specimen length change with increasing temperatures. The coefficient of thermal expansion can be calculated using the following equation:
\[
\varepsilon = \frac{\Delta L}{L_0}
\]
(3)
where \(\varepsilon\) is the thermal strain in %, \(\Delta L\) is the length change of the sample in mm, \(L_0\) is the initial length of the sample at room temperature in mm.
Specimens of 20 mm×20 mm×100 mm size that sliced from the 100 mm×100 mm×300 mm prim were used for measuring the thermal expansion (Fig. 3). In order to truly reflect the thermal expansion of concrete, the sliced sample included both aggregate and cement paste. The samples were smoothened to have flat and parallel ends in
thermal-expansion testing. For each specimen, heating rate was kept at 2°C/min from 20°C to 800°C. Two thermal-expansion tests were performed for each mix up to 800°C.
3. Results and discussion
Appendix B (Tables B1-B4) list the thermal conductivity, density, specific heat and thermal expansion of all the concretes employed in this study, including both average values and corresponding coefficient of variations (COV). For the room-temperature thermal conductivity, the average values and corresponding coefficient of variations (COV) were obtained based on the three measurements for each specimen. For the elevated-temperature thermal properties, these values were obtained from the averages of two test specimens. The coefficient of variation (COV) larger than 10% is highlighted in gray in the tables. Generally, the coefficient of variations (COV) of thermal properties of RCA-50 and RCA-100 are larger than that of RCA-0, mainly due to the heterogeneity in coarse RCA concrete. Similarly, the higher scatter of coarse RCA concrete in compressive strength was noted by Etxeberria et al. [29], as compared with that of coarse NA concrete. The high dispersion observed in specific-heat data of RCA-50 and RCA-100 (Table B3) may be related to the high heterogeneity in powder sample, when compared with the block sample for thermal conductivity and thermal expansion measurements.
3.1. Thermal conductivity and density (mass/volume) at room temperature
The thermal conductivity and density of each specimen at room temperature are listed in Table B1. The effect of coarse RCA replacement percentage on the thermal conductivity and density is given in Fig. 4. As shown in Table B1 and Fig. 4, the thermal conductivity of coarse RCA concrete at room temperature decreases from 1.97 W/mK to 1.44 W/mK while replacement percentages varies from 0% to 100%, corresponding density decreases from 2402.2 kg/m³ to 2126.6 kg/m³. On average, the thermal conductivity and density of 100% coarse RCA concrete are 80% and 91% of the reference values of coarse NA concrete, respectively. These decreases are related
to the old mortar adhered to the coarse RCA’s surface which makes concrete more porosity and less density.
3.2. Thermal conductivity at elevated temperatures
The thermal conductivity of coarse RCA concrete is plotted in Fig. 5(a) for temperatures between 20 and 790 °C. Generally, the thermal conductivity of coarse RCA concrete decreases with increasing temperature. For concretes with different coarse RCA content, thermal conductivity diminishes substantially with the increase of temperature from about 20 to 400 °C. The fast decrease of thermal conductivity in the 20-400 °C range is because of loss of the free and pore water in concrete. Above 400 °C, a slow reduction in thermal conductivity occurred mainly due to the departure of strongly held moisture within hydrated calcium silicate [30]. Similar trend has been found in other researches on high-performance concrete [20, 30-31].
In order to analyze the effect of coarse RCA replacement percentage on the thermal conductivity at elevated temperatures, the trends in thermal conductivity based on coarse RCA replacement percentage are given in Fig. 5(b). It can be observed that the thermal conductivity of concrete decreases obviously with the increment of coarse RCA content. For instance, the thermal conductivity of concrete containing 50% and 100% coarse RCA decreases 21.2% and 35.0% when compared with coarse NA concrete at 500 °C, respectively.
The elevated-temperature thermal conductivity of coarse RCA concrete in this study is also compared with the test results of Laneyrie [21] and the models suggested by Eurocode 2 [32] and ASCE (Siliceous) [33], as illustrated in Fig. 6(a). The test results of Laneyrie [21] were obtained from the thermal conductivity of 0% and 100% coarse RCA concrete for temperature under 300 °C, and the models provided in Eurocode 2 [32] and ASCE [33] were derived based on the coarse NA concrete. As seen, the thermal conductivity of all concretes decreases with the increasing temperature. For temperature below 300 °C, the results obtained from this study for 0% and 100% coarse RCA concrete are close to the experimental results of Laneyrie et al. [21]. It
also can be observed in Fig. 6(a) that there are considerable variations in the results of this study and models in Eurocode 2 and ASCE, mainly due to the differences in the moisture content, materials (cement, aggregate) and measurement techniques. Results reported by related research indicate that moisture content, aggregate type and cement paste are the major factors influencing the thermal conductivity of concrete [34, 35]. At lower temperatures, the thermal conductivity of concrete increases with increasing moisture content because the thermal conductivity of void water is higher than that of air. Concrete produced with high crystallinity aggregates shows higher thermal conductivity than concrete using amorphous aggregates. The measuring methods can also have an influence on the thermal conductivity. For example, the steady-state methods get a lower value for moist concrete than transient methods mainly due to the moisture migration caused by temperature gradient [31]. It should be noted that the moisture content and measurement technique are not clearly specified by Eurocode 2 and ASCE. The effect of aggregate type (siliceous, carbonate) on the thermal conductivity is considered in ASCE model.
Given the obvious influence of coarse RCA content on the elevated-temperature thermal conductivity and the aforementioned variations, three separate regression expressions are developed for thermal conductivity of concretes with 0%, 50% and 100% coarse RCA, as shown in Eqs. (4)-(6).
0% coarse RCA concrete
\[
\lambda_c = \begin{cases}
(2.04 - 2.22(T/1000) + 1.58(T/1000)^2 & 20^\circ C \leq T \leq 500^\circ C \\
-0.00034T + 1.49 & 500^\circ C \leq T \leq 790^\circ C
\end{cases}
\]
(4)
50% coarse RCA concrete
\[
\lambda_c = \begin{cases}
1.85 - 3.38(T/1000) + 3.64(T/1000)^2 & 20^\circ C \leq T \leq 500^\circ C \\
-0.00026T + 1.20 & 500^\circ C \leq T \leq 790^\circ C
\end{cases}
\]
(5)
100% coarse RCA concrete
\[
\lambda_c = \begin{cases}
1.64 - 2.73(T/1000) + 2.46(T/1000)^2 & 20^\circ C \leq T \leq 500^\circ C \\
-0.00025T + 1.01 & 500^\circ C \leq T \leq 790^\circ C
\end{cases}
\]
(6)
where \( \lambda_c \) is the thermal conductivity of coarse RCA concrete at elevated temperatures in W/mK, \( T \) is the specimen’s temperature in \( ^\circ C \). As shown in Fig. 6(b), the
relationships proposed by Eq. (4)-(6) fit the test results well.
3.3. Specific heat
The specific heat of coarse RCA concrete is shown in Fig. 7(a) for temperatures between 25 and 800 °C. The specific heat of coarse RCA concrete is in the range of 0.87-1.33 J/gK at room temperature. For all concretes, the changes in specific heat at elevated temperatures are similar. There are two major peaks in the 25-800 °C range. The first major peak at about 200 °C is attributed to the vaporization of free water [30]. The second major peak occurred near about 550 °C mainly due to the quartz transformation of siliceous aggregate in the temperature range [30, 36].
Fig. 7(b) shows the effect of coarse RCA content on the specific heat of specimens at elevated temperatures. The coarse RCA content has an influence on the high-temperature specific heat of coarse RCA concrete, but its influence is fluctuating. The main reason for this phenomenon is the high scatter of the specific heat results, as previously stated, the coefficient of variations of specific heat data are larger than those of the thermal conductivity and thermal expansion. Until now, differential scanning calorimeter (DSC) adopted in this study is the predominant method for measuring the specific heat of concrete [20, 37]. For each measurement, 300 mg powder samples, including both aggregate and cement paste, were obtained by grinding the cubic concrete specimens. It is well known that concrete is a heterogeneous material with fine and coarse aggregates that is held together by the hardened cement paste. In concrete, even the weight of a single coarse aggregate with size range of 19.0-26.5 mm can reach about 20 g, 70 times of the sample weight. Therefore it is believed that the random sampling is one of the main reasons resulting in such dispersion. No firm conclusions regarding the effect of coarse RCA content on the elevated-temperature specific heat can thus be made until far more test results are obtained.
Fig. 8(a) compares the results of this study, in terms of the specific heat as a function of temperature, with results of Laneyrie [21] and the models specified in Eurocode 2
Comparative analysis shows that there are some discrepancies between the results of different studies. The reasons for these discrepancies of the high-temperature specific heat are similar to those of high-temperature thermal conductivity, which is mainly attributed to the variabilities in moisture content, materials and measurement techniques. Research results show that the moisture content has an important influence on the specific heat of concrete at lower temperatures. Below 200 °C moist concrete presents an apparent specific heat about twice of oven-dried concrete because of the higher specific heat of water [35]. The endothermic peak on DSC curves appearing about 750 °C has been observed in carbonate concrete, which is due to the decomposition of carbonate [34]. Results in carbonate aggregate concrete measurements also show that the peak areas in the DSC curves increase with a decrease in heating rate [38]. The moisture content and measurement technique are not taken into consideration in Eurocode 2 and ASCE models. The ASCE provides different specific heat models for siliceous and carbonate aggregate concrete, respectively.
Taking into account the test result scatter in the present study and the large discrepancies from different researches, a unified regression equation is proposed for specific heat of coarse RCA concrete with 0%, 50% and 100% replacement percentages, as presented in Eq. (7).
\[ C_p = \begin{cases}
0.0024T + 1.08 & 25^\circ C \leq T \leq 200^\circ C \\
-0.0015T + 1.86 & 200^\circ C \leq T \leq 400^\circ C \\
1.26 & 400^\circ C \leq T \leq 500^\circ C \\
0.0054T - 1.44 & 500^\circ C \leq T \leq 550^\circ C \\
-0.0021T + 2.68 & 550^\circ C \leq T \leq 650^\circ C \\
0.0018T + 0.15 & 650^\circ C \leq T \leq 750^\circ C \\
-0.0024T + 3.30 & 750^\circ C \leq T \leq 800^\circ C
\end{cases} \]
(7)
where \( C_p \) is the specific heat of coarse RCA concrete at elevated temperatures in J/gK, \( T \) is the specimen’s temperature in °C. As shown in Fig. 8(b), the proposed Eq. (7) well corresponds to the experimental results.
3.4. Thermal expansion
Fig. 9(a) shows the thermal expansion of coarse RCA concrete as temperature was increased from 20 to 800 °C. For concrete incorporated with different coarse RCA content, thermal expansion increases with increasing temperature up to 800 °C, which mainly resulted from the thermal expansion of aggregate and cement paste [30, 39]. The steep increase between 500 and 600 °C is related to the quartz transformation in siliceous aggregates [30, 36].
The effect of coarse RCA replacement percentage on the thermal expansion at elevated temperatures is presented in Fig. 9(b). The thermal expansion of concrete is marginally influenced by the replacement percentage of coarse RCA within the 500 °C temperature range. Beyond 500 °C, the largest value of thermal expansion occurred in the 50% replacement specimen as compared to 0% and 100% coarse RCA concrete. The higher thermal expansion for 50% replacement specimens may be attributed to the microcracking caused by the nonuniform thermal stresses between coarse NA and RCA. Similar thermal expansion was observed between 0% and 100% coarse RCA concrete.
Fig. 10(a) compares this experimental result of thermal expansion with the reference values suggested in Eurocode 2 (Siliceous) [32] and ASCE [33]. There are also large discrepancies between the results from different studies. As observed in Fig. 10(a), the test results of thermal expansion for coarse RCA concrete are basically located between the curves suggested in Eurocode 2 [32] and ASCE [33].
Given some influence of the coarse RCA content on the thermal expansion in the 500-800 °C range, two separate regression expressions are proposed for thermal expansion of concrete with 0%, 50% and 100% coarse RCA, as shown in Eqs. (8)-(9).
0% and 100% coarse RCA concrete
\[
\varepsilon_{th} = \begin{cases}
-0.015 + 0.00075T & 20^\circ C \leq T \leq 500^\circ C \\
-0.84 + 0.0024T & 500^\circ C \leq T \leq 600^\circ C \\
0.12 + 0.0008T & 600^\circ C \leq T \leq 800^\circ C
\end{cases}
\]
(8)
50% coarse RCA concrete
\[
\varepsilon_{th} = \begin{cases}
-0.0175 + 0.000875T & 20^\circ C \leq T \leq 500^\circ C \\
-0.93 + 0.0027T & 500^\circ C \leq T \leq 600^\circ C \\
0.15 + 0.0009T & 600^\circ C \leq T \leq 800^\circ C
\end{cases}
\]
(9)
where \( \varepsilon_{th} \) is the thermal strain of coarse RCA concrete at elevated temperatures in %, \( T \) is the specimen’s temperature in \( ^\circ C \). As shown in Fig. 10(b), the proposed Eq. (8) and (9) fit the test results well.
4. Conclusions
This study investigated the thermal properties (thermal conductivity, specific heat and thermal expansion) of coarse RCA concrete for temperatures up to 800 °C. The following conclusions were drawn from the results of this study:
The thermal conductivity of coarse RCA concrete at room temperature and elevated temperatures decreases with the increase of coarse RCA replacement percentage. As the specimen’s temperature is increased, the thermal conductivity of coarse RCA concrete decreases.
There are two major peaks of specific heat for coarse RCA concrete in 25-800 °C range. The coarse RCA content has no regular influence on the specific heat of concrete at elevated temperatures.
The thermal expansion of coarse RCA concrete increases with temperatures from 20 to 800 °C. Above 500 °C, concrete at 50% replacement has a larger thermal expansion than 0% and 100% coarse RCA concrete.
The suggested relationships to model the elevated-temperature thermal properties of coarse RCA concrete can be used to evaluate the behavior of structures made with coarse RCA concrete under fire exposure.
Acknowledgements
The research work was supported by the National Natural Science Foundation (No. 51508131) and China Postdoctoral Science Foundation (No. 2016M591535).
References
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Fig. 1. Measurement of thermal conductivity of coarse RCA concrete at elevated temperatures, (a) Transient hot-wire device, (b) Concrete specimens, (c) Concrete specimen ready for thermal conductivity tests.
Fig. 2. Measurement of specific heat of coarse RCA concrete at elevated temperatures, (a) MHTC 96 Differential Scanning Calorimeter, (b) Concrete specimens, (c) Cell used for specific heat tests.
Fig. 3. Measurement of thermal expansion of coarse RCA concrete at elevated temperatures, (a) RPZ-03P Automatic High Temperature Dilatometer, (b) Concrete specimens, (c) Concrete specimen ready for thermal expansion tests.
Fig. 4. Effect of coarse RCA replacement percentage on the thermal conductivity and density of coarse RCA concrete at room temperature.
Fig. 5. Thermal conductivity of coarse RCA concrete at elevated temperatures, (a) thermal conductivity versus temperature, (b) thermal conductivity versus coarse RCA replacement percentage.
Fig. 6. Comparisons of the thermal conductivity of concrete specimens at elevated temperatures, (a) test results of this study and Laneyrie, models of EC2 and ASCE, (b) test results of this study and corresponding regression expressions.
Fig. 7. Specific heat of coarse RCA concrete at elevated temperatures, (a) specific heat versus temperature, (b) specific heat versus coarse RCA replacement percentage.
Fig. 8. Comparisons of the specific heat of concrete specimens at elevated temperatures, (a) test results of this study and Laneyrie, models of EC2 and ASCE, (b) test results of this study and corresponding regression expressions.
Fig. 9. Thermal expansion of coarse RCA concrete at elevated temperatures, (a) thermal expansion versus temperature, (b) thermal expansion versus coarse RCA replacement percentage.
Fig. 10. Comparisons of the thermal expansion of concrete specimens at elevated temperatures, (a) test results of this study, models of EC2 and ASCE, (b) test results of this study and corresponding regression expressions.
Table 1 Gradation of coarse aggregates
| Sieve size (mm) | Cumulative passing by weight(%) |
|-----------------|---------------------------------|
| 26.5 | 100 |
| 19.0 | 62 |
| 16.0 | 43 |
| 9.5 | 14 |
| 4.75 | 0 |
Table 2 Basic properties of coarse NA and RCA
| Properties | NA | RCA |
|-----------------------------|------|------|
| Grading (mm) | 4.75-26.5 | 4.75-26.5 |
| Dry density(kg/m$^3$) | 2780 | 2500 |
| Water absorption(%) | 0.49 | 4.40 |
| Index of crushing(%) | 3.7 | 12.0 |
Table 3 Mix proportions of coarse RCA concrete
| No. | $r$ (%) | w/c ratio | Materials (kg/m$^3$) |
|---------|---------|-----------|----------------------|
| | | | C | W | S | Coarse aggregate |
| | | | NA | RCA | SP |
| RCA-0 | 0 | 0.45 | 400 | 180 | 667 | 1186 | 0 | 2 |
| RCA-50 | 50 | 0.45 | 400 | 180 | 645 | 573 | 573 | 2 |
| RCA-100 | 100 | 0.45 | 400 | 180 | 624 | 0 | 1108| 2 |
Note:
$r$ is the coarse RCA replacement percentage, C is the cement, W is the water, S is the sand, and SP is the superplasticizer.
Table 4 Compressive strengths of coarse RCA concrete
| Age of concrete (days) | Compressive strength (MPa) |
|-----------------------|----------------------------|
| | RCA-0 | RCA-50 | RCA-100 |
| 28 | 48.2 | 46.2 | 43.5 |
| 90 | 60.8 | 53.2 | 45.3 |
|
Interferometric control of the photon-number distribution
H. Esat Kondakci,1,a Alexander Szameit,2 Ayman F. Abouraddy,1 Demetrios N. Christodoulides,1 and Bahaa E. A. Saleh1
1CREOL, The College of Optics & Photonics, University of Central Florida, Orlando, Florida 32816, USA
2Institute for Physics, University of Rostock, 18059 Rostock, Germany
(Received 10 May 2017; accepted 25 June 2017; published online 17 July 2017)
We demonstrate deterministic control over the photon-number distribution by interfering two coherent beams within a disordered photonic lattice. By sweeping a relative phase between two equal-amplitude coherent fields with Poissonian statistics that excite adjacent sites in a lattice endowed with disorder-immune chiral symmetry, we measure an output photon-number distribution that changes periodically between super-thermal and sub-thermal photon statistics upon ensemble averaging. Thus, the photon-bunching level is controlled interferometrically at a fixed mean photon-number by gradually activating the excitation symmetry of the chiral-mode pairs with structured coherent illumination and without modifying the disorder level of the random system itself. © 2017 Author(s). All article content, except where otherwise noted, is licensed under a Creative Commons Attribution (CC BY) license (http://creativecommons.org/licenses/by/4.0/). [http://dx.doi.org/10.1063/1.4992018]
Optical interferometers implement deterministic field transformations that trace an interferogram by sweeping a phase—which enables applications across all of optics and photonics.1 The detected intensity is modulated, but the underlying photon number distribution $P_n$ does not change: the Poisson statistics associated with coherent light remain Poissonian, and the Bose-Einstein statistics that are the hallmark of thermal light remain Bose-Einstein. Introducing dynamical randomness in the interferometer can change the photon statistics. An early example in neutron interferometry implemented a chopper in one arm of a two-path interferometer,2,3 while an optical “stochastic interferometer” devised by De Martini et al. changes the photon statistics by inserting a randomly varying optical element.4–7 Along a different vein, coherent light traversing a random medium may gradually acquire chaotic behavior and under certain conditions may even attain Bose-Einstein statistics. This phenomenon has been observed in several systems, including weakly transmitting barriers embedded in a waveguide,8 quasi one-dimensional disordered samples,9 and optically dense slabs containing multiple scatterers.10–15 In these approaches, changing the photon statistics is predicated on varying the system disorder level—with the amount of fluctuations (photon bunching) typically proportional to the disorder level.
We present here a different strategy for tuning photon statistics in a random structure that does not require modifying its disorder level. Instead, the ensemble-averaged $P_n$ is varied deterministically by an external element in the form of a relative phase between two input channels of a random network—analogously to a traditional two-path interferometer. Reconstructing $P_n$ reveals deterministic interferometric tuning of photon-bunching across the super-thermal and sub-thermal regimes with fixed mean photon-number $\bar{n}$. This effect has its origin in the smooth and deterministic breaking of the excitation symmetry in certain random lattices, which can be achieved by sculpting the lattice excitation. Our experiment makes use of a one-dimensional (1D) disordered photonic lattice of evanescently coupled waveguides with off-diagonal disorder.16 Additionally, we measure two statistical quantities: the normalized second-order photon correlation $g^{(2)}$, which does not depend on $\bar{n}$, and Mandel’s $Q$-parameter, which does.17 In previous work,18 we measured the statistical
aElectronic mail: email@example.com
parameter $g^{(2)}$. Although $g^{(2)}$ can be computed from the photon-number distribution, the converse is not true. The counting distribution has features that are not captured by a single parameter, its normalized second-order moment $g^{(2)}$. The novelty in our work lies in revealing the tunability of the shape of the distribution itself, by demonstrating the transition between a Poisson distribution, to a Bose–Einstein-like distribution, and the emergence of other intermediate photon counting distributions.
The concept of interferometric control over $P_n$ is depicted in Fig. 1. We start by considering coherent light with a Poissonian distribution $P_n = \bar{n}^n e^{-\bar{n}}/n!$, $n = 0, 1, 2, \ldots$, that is fed into a single channel of a disordered lattice consisting of an array of coupled optical elements (waveguides, resonators, or fiber loops). The output $P_n$ can be changed by varying the lattice disorder level $\Delta$ (to be defined below). Surprisingly, high-order coherences do not decline while increasing $\Delta$. If the lattice is endowed with disorder-immune “chiral symmetry,” a photonic thermalization gap emerges upon ensemble averaging: the regime of sub-thermal photon statistics is forbidden at any disorder level, while super-thermal statistics are inaccessible to lattices lacking chiral symmetry. We make use of the normalized second-order photon correlation $g^{(2)} = \langle n(n - 1) \rangle/\langle n \rangle^2$ ($\langle \cdot \rangle$ denotes ensemble averaging over both the quantum state and the lattice disorder) as a scalar measure of randomness to delineate the sub-thermal $1 < g^{(2)} < 2$ and super-thermal $g^{(2)} > 2$ regimes. Instead of a monotonic trend towards “thermalization” with increasing $\Delta$ in lattices characterized by chiral symmetry (such as those with off-diagonal disorder), $P_n$ exhibits super-thermal statistics with a gradual decline towards thermal statistics upon increasing $\Delta$ [Fig. 1(a)]. Such a lattice can thus tune the photon statistics in the super-thermal regime. Alternatively, in lattices lacking chiral symmetry (such as those with diagonal disorder), $P_n$ exhibits sub-thermal statistics with a gradual decline towards Poisson statistics upon increasing $\Delta$ [Fig. 1(b)]. This lattice can thus tune the photon statistics in the sub-thermal regime.
To tune the photon statistics without altering $\Delta$, we sculpt the excitation over multiple lattice sites; e.g., by varying the relative phase between two sites. In traditional interferometry, a relative phase $\theta$ is introduced between two fields before they are superposed to trace an intensity interferogram. In the interferometric scheme introduced here, a relative phase $\theta$ is introduced between adjacent channels of a random network with chiral symmetry fed with coherent light. The two fields superpose within the network and $P_n(\theta)$ measured in a single output channel reveals a deterministic tuning of $P_n(\theta)$ between super-thermal and sub-thermal regimes while sweeping $\theta$ [Fig. 1(c)].
The above-described effect stems from the properties of the eigenmodes and eigenvalues of a lattice endowed with chiral symmetry. To appreciate the underlying physics, consider a generic tight-binding lattice model with nearest-neighbor-only coupling. The complex field amplitude $E_x(z)$ at site
![FIG. 1. The concept of interferometric control over $P_n$. [(a) and (b)] Coherent light with Poissonian statistics is fed into a channel of a random network while varying the disorder level $\Delta$. The emerging light (a) spans the regime of super-thermal statistics when the lattice is endowed with chiral symmetry or (b) spans the sub-thermal regime when the network lacks chiral symmetry. (c) Coherent light is split into two paths and a relative phase $\theta$ is introduced before being launched into a random network with chiral symmetry at fixed $\Delta$. Modulating $\theta$ breaks the mode-excitation symmetry and enables spanning the sub- and super-thermal regimes. (d) When the chiral symmetric eigenmode pairs in a lattice are activated with equal weights (symmetric excitation, shown on the left), the phasor sum takes on either purely real or purely imaginary values on alternating lattice sites. This phenomenon does not occur when the chiral symmetry is not activated (as a result of asymmetric excitation) or if it is absent altogether (the lattice is characterized by diagonal disorder). The three phasors (blue, red, and gray) are associated with a single lattice site. The blue and red phasors correspond to the members of a chiral symmetric eigenmode pair, and their phasor sum is depicted in gray. In the case of asymmetric excitation (shown on the right), the phasor sum is always complex, with real and imaginary components (not purely real or imaginary).]
$x$ after traveling along $z$ is described by a set of coupled differential equations,
$$-i \frac{dE_x}{dz} = \beta_x E_x + C_{x,x+1} E_{x+1} + C_{x,x-1} E_{x-1},$$
(1)
where $\beta_x$ is the wave number for site $x$ and $C_{x,x\pm 1}$ the coupling coefficient between site $x$ and site $x \pm 1$—all of which may be random variables when the lattice is disordered. We define a Hermitian coupling matrix or Hamiltonian $H$ for the lattice where $\{\beta_x\}$ correspond to the diagonal elements and $\{C_{x,x\pm 1}\}$ occupy the two next diagonals. The eigenvalues $\{b_j\}$ and eigenfunctions $\{\psi^{(j)}_x\}$ of $H$ are defined through $H\psi^{(j)}_x = (\tilde{\beta} + b_j)\psi^{(j)}_x$, where $\tilde{\beta}$ is the average wave number. Since $H$ is real and symmetric, $\{\psi^{(j)}_x\}$ are all real. If $H$ can be recast into a block-diagonal form after setting $\tilde{\beta} = 0$ in the interaction picture, this indicates that the lattice is endowed with chiral symmetry. Lattices with off-diagonal disorder ($\beta_x = \tilde{\beta}$ and $C_{x,x\pm 1}$ are random) satisfy chiral symmetry, whereas lattices featuring diagonal disorder ($C_{x,x\pm 1} = \tilde{C}$ and $\beta_x$ are random) do not. Henceforth, we focus our attention on lattices with off-diagonal disorder. A consequence of chiral symmetry is that $b_{-j} = -b_j$ and $\psi^{(-j)}_x = (-1)^x \psi^{(j)}_x$. However, for the impact of this skew-symmetry to be manifested, the members of the skew-symmetric paired modes with indices $\pm j$ must be excited with equal weights, which we refer to as “activating” the chiral symmetry.\textsuperscript{18,31} To visualize the activation of chiral symmetry, we associate a phasor with each mode at each lattice site. Then, in the rotating frame that is common to all modes, the eigenmodes appear in pairs whose members are equal magnitude counter-rotating phasors. This does not occur when the chiral symmetry is not activated or absent [Fig. 1(d)].
This can be understood as follows. High-order coherences depend on the expected values of cross-correlations of the excited modal coefficients. In a disordered lattice, these typically all vanish except for the auto-correlation terms. However, in the presence of skew-symmetric modes in each realization of the random ensemble, the cross-correlation of their excitation coefficients survive statistical averaging, thereby adding a contribution to photon bunching and resulting in super-thermal statistics. This can be seen at both low $\Delta$ via a perturbation analysis around the periodic lattice solutions, and high $\Delta$ where localization reduces the number of lattice modes coupled to the excitation and thus also reduces the photon bunching.\textsuperscript{31,36} One can also understand this behavior by examining the statistics of the field quadratures.\textsuperscript{37} Under symmetric excitation configurations, the average field is constrained to a single quadrature in the complex plane. As a result, the intensity distribution approaches to chi-squared distribution with one degree of freedom,\textsuperscript{38} corresponding to modified Bose-Einstein photon number distribution.\textsuperscript{39}
An input optical field $E_x(z=0)$ can be analyzed in a basis of lattice eigenmodes, $E_x(0) = \sum_j c_j \psi^{(j)}_x$, where $c_j = \sum_x \psi^{(j)}_x E_x(0)$ is the amplitude of the $j$th mode $\psi^{(j)}_x$. The field subsequently evolves after a distance $z$ into $E_x(z) = \sum_j c_j \psi^{(j)}_x e^{ib_j z}$. In the special case of a single-site excitation at the input $E_x(0) = \delta_{x,0}$, then $|c_j| = |c_{-j}| = |\psi^{(j)}_0|$ for all $j$, so that chiral symmetry is activated. This is not necessarily the case for more general field excitations. For example, when two adjacent sites are excited equally $E_x(0) = \delta_{x,0} + \delta_{x,1}$, the modal coefficients are $c_{\pm j} = \psi^{(j)}_0 \pm \psi^{(j)}_1$, and chiral symmetry is activated $|c_j| = |c_{-j}|$ only when the relative phase is $\theta = \pm \pi/2$. Gradually varying the phase $\theta$ for fixed relative amplitudes ($|A_0| = |A_1|$ in our experiment) tunes the chiral-symmetry breaking: maximal symmetry breaking at $\theta = 0$ or $\pi$ and symmetry activation at $\theta = \pm \pi/2$.
The photonic lattice we utilized consists of an array of 101 identical 35-mm-long waveguides with nearest-neighbor-only evanescent coupling.\textsuperscript{40} The average separation between the waveguides is 17 $\mu$m, resulting in an average coupling coefficient $\tilde{C} \approx 1.71$ cm$^{-1}$ at a wavelength of 633 nm. The coupling coefficients are selected independently from a uniform probability distribution function with mean $\tilde{C}$ and half-width $\Delta$ in units of $\tilde{C}$; our sample has $\Delta \approx 0.6$.
The optical arrangement used in demonstrating deterministic interferometric control over $P_n$ is illustrated in Fig. 2. A single-mode coherent beam from a He-Ne laser is attenuated by a neutral density filter and split into two paths via a beam splitter. A relative phase shift $\theta$ is introduced via a delay in one path varied in 20-nm steps. The two beams are then brought together by a second beam splitter in parallel but closely spaced paths, which are imaged to two neighboring waveguides. The output facet of the array is imaged with a magnification of 8$\times$ via a lens (focal length $f = 3.5$ cm)
FIG. 2. Experimental setup for interferometric control of the photon-number distribution. The input laser is attenuated, split into two paths (beam splitter 1), a relative phase $\theta$ is introduced, the two beams are brought together in parallel paths (beam splitter 2), and then imaged into two adjacent waveguides in the array sample. The intensity distribution along the photonic lattice is plotted (in logarithmic scale) for a single realization of lattice disorder. The inset shows the coupling scheme, where $E_0$ and $E_1 = E_0 e^{i\theta}$ are the coherent field amplitudes coupled to waveguides 0 and 1, respectively. Furthermore, a beam splitter at the output directs light that is imaged to a CCD camera, which helps ensure coupling into two neighboring waveguides for each disorder realizations (the camera and beam splitter are omitted for clarity).
to a plane in which we scan a multimode fiber whose core optimally couples light from an individual waveguide. The multimode fiber delivers the collected light to a single-photon-counting module, and the output photon-number distribution $P_n$ is reconstructed using three photon-detection time windows: 20, 40, and 60 $\mu$s. The input intensity level is reduced to low levels so that only a few photons are detected within these windows while minimizing the accidental arrivals of multiple photons. We generate different disorder realizations by moving the array along the x-direction and coupling into a new pair of waveguides.\textsuperscript{16} We measure single realizations of $P_n(\theta)$ (averaged over $10^4$ shots of the detection window) at the central lattice site $x = 0$, and then average $P_n(\theta)$ over an ensemble of 15 disorder realization for each value of $\theta$ by shifting the input excitation site.
We present in Fig. 3 our measurements confirming the deterministic interferometric tuning of $P_n(\theta)$ in the excitation waveguide ($x = 0$) while varying $\theta$. As $\theta$ is swept, $P_n(\theta)$ varies periodically (period $\pi$) between sub-thermal to super-thermal statistics [Fig. 3(a)]. The measured mean photon-number $\bar{n}(\theta)$ does not vary with $\theta$ ($\bar{n} \approx 5.5$ with a standard deviation $\approx 0.5$). Although $\bar{n}$ remains constant, the photon-number distribution itself varies with $\theta$, achieving maximal bunching when the chiral symmetry is fully activated $\theta = \pi/2, 3\pi/2$, and minimal bunching at $\theta = 0, \pi$ when chiral symmetry is dormant. To better examine the salient changes in the photon statistics with $\theta$, we plot in Figs. 3(b) and 3(c) $P_n(\theta)$ for the extrema at $\theta = 0$ and $\pi/2$. The increase in the probability of higher photon numbers at the distribution tail when $\theta = \pi/2$ as compared to that when $\theta = 0$ is a clear signature of photon bunching. In comparison, we also plot the Bose-Einstein distribution for thermal light with the experimentally determined $\bar{n} \approx 5.5$. At high $n$, the symmetric-excitation statistics exhibit higher probabilities than the Bose-Einstein distribution, whereas the broken-symmetric excitation has lower. Our experimental data [Fig. 3(c)] are in excellent agreement with the simulations [Fig. 3(b)].
FIG. 3. Deterministic interferometric tailoring of $P_n$. (a) The measured $P_n(\theta)$ while varying the phase $\theta$ between two coherent beams fed into adjacent sites of a disordered photonic lattice. The mean photon-number $\bar{n}(\theta) \approx 5.5$ is independent of $\theta$ (with a standard deviation $\approx 0.5$). (b) Simulated $P_n$ corresponding to $\theta = 0$ and $\pi/2$ obtained for $\bar{n} = 5.5$ and utilizing the physical parameters of the lattice. (c) Measured $P_n$, extracted from (a) and corresponding to the simulations in (b). [(a) and (b)] Black-dotted line is Bose-Einstein distribution for $\bar{n} = 5.5$.
Further analysis of the measured distributions $P_n(\theta)$ helps bring about the changes that take place in the photon statistics. First, we examine a quantity extracted from $P_n(\theta)$ that does not depend on $\bar{n}$ for the field considered here: the normalized second-order photon correlation function $g^{(2)}(\theta)$. We plot in Fig. 4(a) $g^{(2)}(\theta)$ and note clearly that it varies sinusodally with $\theta$, between the sub-thermal and super-thermal regimes. The statistics are tuned from super-thermal ($g^{(2)} > 2$) to sub-thermal ($g^{(2)} < 2$), all while maintaining $\bar{n}$ fixed with $\theta$ [Fig. 4(a), inset]. Although $\bar{n}$ changes according to the photon-counting window ($\bar{n} \approx 5.5, 11, 16.5$ for counting windows of 20, 40, 60 $\mu$s, respectively), the three interferometric traces of $g^{(2)}(\theta)$ are indistinguishable.
Next we consider a quantity that does indeed depend on $\bar{n}$: Mandel’s $Q$-parameter, $Q = \text{Var}(n)/\langle n \rangle - 1 = \bar{n}(g^{(2)} - 1)$, which is thus linear in $\bar{n}$ for the field considered here. Varying $\theta$ at a fixed $\bar{n}$ modulates $Q(\bar{n}; \theta)$ between two limits identified by the dashed inclined lines in Fig. 4(b); we identify in Fig. 4(b) only the values corresponding to $\theta = 0$ and $\pi/2$, which are the extrema of this oscillation between the super-thermal and sub-thermal regimes. Increasing $\bar{n}$ (longer counting windows) leads to a linear growth in the two limits of $Q$ modulation.
In conclusion, we have demonstrated that the photon-number distribution $P_n$—and hence any photon statistic such as $g^{(2)}$ or Mandel’s $Q$-parameter—can be tuned deterministically by varying a relative phase between two equal-amplitude beams launched into adjacent sites of a disordered photonic lattice. Such interferometric control over $P_n$ is possible by judicious excitation-symmetry breaking of the skew-symmetric chiral mode pairs in disordered lattices that exhibit such symmetries.
Coupling light into a single site is a highly symmetric configuration. By sculpting the complex spatial distribution of the excitation over multiple sites, one may gradually break the excitation symmetry, which facilitates a smooth transition across the edge of the thermalization gap. This interferometric control strategy can be generalized in multiple ways. One may vary the relative amplitude of the fields exciting the two lattice sites while maintaining a fixed relative phase, or one may excite an extended section of the lattice while alternating the relative phases between adjacent sites. The latter approach has the advantage of producing the same phase-tunable $P_n$ with fixed $\bar{n}$ across the lattice.
Finally, we note that multiple experiments have been reported in which non-classical light is coupled into ordered or disordered photonic lattices. In these reports, only small photon numbers are involved (usually two) in either Fock or entangled photon states, and while the output states different from those at the input, there have been no studies in the nature of the underlying photon statistics. Our work extends these studies into photon distributions with higher mean photon-number and demonstrates unambiguously interferometric control over $P_n$ itself.
A.F.A. was supported in part by the U.S. Air Force Office of Scientific Research (AFOSR) under MURI contract FA9550-14-1-0037. A.S. thanks the German Research Council for financial support (grants SZ 276/9-1, SZ 276/12-1, BL 574/13-1).
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Federal Building Under Review
Mayor Says Post Office Threatened
by Dan Davidson
Mayor Peter Jenkins feels quite certain that the days of the Dawson outlet of Canada Post are numbered, and he addressed June 21's council meeting on this subject.
"Privatisation (of Canada Post) is not in the best interests of the city," Jenkins told council members, but he added that he is certain Canada Post will be attempting it here.
Jenkins outlined the scenario that he believes will occur. In his mind the life span of the present federal building, which houses Canada Post on 5th Avenue is limited. It will be found to be inadequate and in need of replacement. When the plans are drawn it will be found that Canada Post, which enjoys a generous rental deal in the present building, no longer fits into the new design. At that point the drama will play itself out much as it did in Whitehorse a few years ago, ending with postal operations located in a franchise private outlet.
Jenkins produced a copy of a May 15th letter from the federal Minister of Public Works, Elmer MacKay, which had been routed to him by Yukon M.P. Audrey McLaughlin. The letter indicates that the fate of the Dawson building is under review and that "a decision about the future of the building should be finalized within the next two months."
"If we decide to dispose of the building," MacKay wrote to McLaughlin, "we will consult with Canada Post on the future of the post office and the Corporation's continued occupancy. In addition, Public Works and Canada Post will carry out information sessions with the local authorities and yourself, regarding our respective proposed actions. I wish to point out, however, that our decision regarding the facility in no way affects Canada Post's decision regarding the nature of its operation in Dawson City."
It is well known that the corporation has already sought interested bidders on the operation under what it calls an service enhancement scheme, but so far only Chief Isaac Inc., the business arm of the Dawson Indian Band, is known to have responded. Over at that office, administrator Doug Beaumont says that the discussions have been very preliminary.
Some other business operators, who would prefer not to be identified, say that they have received a fairly hard sell approach from the post office regional management on the benefits of having an outlet in their stores. They agree with Jenkins that privatisation is not in the best interests of the community, and further feel that the ill will they would incur by opening an outlet in their stores would not be offset by the increased customer traffic that the corporation holds out as its main carrot in such operations.
Bears Prompt Concerns
Council Considers Garbage Options
by Dan Davidson
Stimulated by numerous complaints of bear problems on the Dome, Dawson's councillors have indicated their desire to relocate the dump as soon as it is feasible to do so, and to examine putting its replacement somewhere other than on the Dome.
Councillor Lambert Curzon felt that the public concern now would only increase in the future as more residential lots are opened on the Dome. The situation could only get worse as time goes on.
"People are paranoid about bears," said Mayor Jenkins. "They should phone Game Branch when they have problems. If they get enough complaints they will do something."
Curzon agreed that the fear of the bears was probably worse than the real danger, but felt that it would be hard to explain this to the Stobbe family, who have already had to shoot one bear, and have subsequently had another one drop by to examine their outdoor freezer.
Councillor MacKenzie, considering the Stobbe situation and complaints from the Dawson Ski Association, said, "These people expect us to solve this problem tonight."
Jenkins said that was impossible. The studies and soil tests to select a new dump site would take nine months to complete even if the city were ready to begin them immediately. Council has recently taken steps to expand the dump slightly in order to get two final years of operation out of the site.
Having perused the 1986 pre-design report on possible new dump sites, council members decided to have the consultant come to Dawson and meet with them to determine the town's best options. Of a dozen sites examined in the document, only three seemed viable at that time. One of these is on a mining claim, which Jenkins says will likely price it out of contention. One of the others is a second Dome site, while the other is near Goring Creek, a good half hour's drive from the city.
Jenkins reiterated to council his concern that the selection of this site would nearly triple the cost of garbage disposal in the town, involving as it does a much longer round trip hauling time and far higher expenses on the part of the contractor who does the job.
FIRE DEPT. HAS NEW HANG OUT! Cam Holloway (top) and Dennis Montgomery (bottom) practice repelling on Crocus bluff. Under the watchful eye of Myk Kurth the volunteers learn new techniques that can be applied to rescue work.
YEC Begins First Phase Study of Power Line from Mayo to Dawson City
Whitehorse - Tony Penikett, minister responsible for the Yukon Energy Corporation (YEC), announced on June 21st that the YEC board had decided to proceed with the first phase of work on the development of a power transmission line to connect the Mayo hydro generating system with Dawson City. The preliminary estimate of the cost of the power line is between $16 and $18 million.
The Dawson system is currently supplied entirely by diesel generators and, in 1989, the plant consumed approximately three million litres of diesel fuel worth almost $1 million. Present growth rates indicate that this could increase to four million litres per year by the end of the decade. Connection Dawson to the Mayo hydro system would save more that 100 million litres of diesel fuel over the life of the power line.
"There are several positive aspects to this project," Penikett said. "It will replace imported diesel fuel and reduce the emissions associated with diesel generators, and it represents wise use of our renewable hydro resource."
He also pointed out the YEC would be creating employment opportunities during the construction phase of the power line and would be promoting economic growth in Dawson by providing predictable, cost-effective power.
Phase one (of three phases) includes detailed engineering, cost estimating, identification of alternative routes and review of the financial aspects of project. Identification of environmental and socio-economic impacts of the potential project will also take place at this time. This phase will cost about $200,000. After its completion, the YEC board will review the project before deciding whether or not to proceed with the next phase.
During the next several weeks, YEC will contact the regulatory bodies that are responsible for reviewing and licensing the activities involved in the construction and operation of a power line. These include the Regional Environmental Review Committee (RERC), which is part of the federal Environmental Assessment and review Process (EARP), and the Yukon Territory Water Board.
Obtaining the appropriate regulatory approval will require at least one year. If a decision is made to proceed, construction would require a further 1 1/2 years.
Prior to the closure of the United Keno Hill Mine (UKHM) in January, 1989, the Mayo hydro system generated about 34 million kw (GW) hours of electricity per year. Mayo currently uses about 8 GW hours per year and Dawson City requires about 10 GW hours per year.
The Mayo system has sufficient surplus hydro energy to meet Dawson's needs in the foreseeable future. If UKHM, or a new owner, were to begin operating again, Mayo's hydro system could meet both the mine's primary energy needs and Dawson's requirements for a number of years.
Spotted at the Dump: 2 black bears, a fat brown bear and 3 cubs. They are not appreciated by the new Dome sub-division residents, but our visitors are taking advantage of the opportunity to photograph "wildlife" - even at the dump.
Bears Roam Ski Hill
by Dan Davidson
Dome residents are not the only folks having trouble with bears on the mountain. Members of the Dawson Ski Association are also reporting problems with local bruins.
Ski Club members are working on the Moose Mountain Ski Hill this summer, trying to get the T-bar system installed for use next winter. The downhill ski site is inside the city limits and just at the right of the present city dump, which is one of the local bears' favorite snacking spots.
"They're dragging their garbage all across the bottom of the hill," says ski club member Lori Sprokkreeff.
They aren't just doing this at night or when the hill is deserted, either. Sprokkreeff reports a sighting of 2 black bears and a brown on June 10, while she and some others were doing clearing and work at the site selected for the T-bar's motor housing.
"These bears had no fear of people," she says. She and her fellow workers cleared out of the area, back up the hill to where the men were working on something else.
This sort of thing really puts a crimp in the association's summer work plans. Work parties will still be going up the Dome to get things ready, but they will be going in larger groups and someone will be standing watch with a rifle while the others work.
"There were jobs up there that I could have done, or the kids could have done," said the mother of three elementary school age boys, "but we won't be going up there alone."
Sprokkreeff concedes that the placement of the dump predates both the establishment of the ski hill and any other activity that might be on the Dome, but she thinks the expansion of the city boundaries a couple of years back should have hastened plans to move the dump, which she sees as a potential fire hazard as well as a nuisance and a bear attraction.
Dawson Dump Should be Trashed, Says Resident
By Dan Davidson
"I believe the Dome Dump is a hazard," Marion Stobbe told a recent meeting of Dawson's city council. Stobbe and husband David are among the twelve owners of country residential housing lots in the new Dome subdivision. They are concerned about the dump for a number of reasons, but the major one is that it attracts bears.
"I don't want them passing through (my yard) on the way to the restaurant." Stobbe told council. Several have made it a habit in recent weeks. One got too bold and finally came to the door of the Stobbe's residence. David shot it. Right then Marion decided to start a petition to have the dump relocated. She was at council to serve notice of this intent and to request that something be done about removing the dump as soon as possible.
She was not pleased to hear that it could take up to two years to get the present dump moved, and that the location favoured by Mayor Peter Jenkins was another site further up the Dome Road.
"A dump should not be within seven miles of habitation." Stobbe told councillors, citing the opinion she had received from the territorial wildlife office in Dawson.
"Your concerns are very valid," Jenkins responded, but he went on to add that the present dump has an effective life of two more years and that it will take that long to go through the paperwork and procedures needed to select and prepare a new site.
Stobbe was not happy with this.
"Anything that can be done in two years should be done sooner," she said. "With two small children any bear is a hazard."
Jenkins was sympathetic, but firm.
"We just might have to shoot bears for a few years," he said, indicating that they would have to be treated like any other nuisance animal.
Stobbe was not particularly comforted by any of this, nor by Councillor Lynne MacKenzie's suggestion that all the Dome lot buyers know what they were getting into when they bought their lots.
"You did move to a wilderness area," MacKenzie said.
Jenkins could only promise that the dump relocation would be addressed in next year's city budget. His only other suggestion was that the city would be happy to buy back the Stobbe's lot for the original purchase price if the family was really that dissatisfied.
Stobbe rejected that idea and indicated that she would be going ahead with her petition to have the dump moved sooner. Furthermore, she would not be in favour of any future dump being relocated on the Dome Road.
The city has plans to open up another 20 Dome lots over the next year, so the problem will probably get worse before it gets better.
On Thursday, June 14th, 1990, at approximately 1300 hours, Dawson City RCMP responded to a call at the corner of 5th Ave. and York St. Upon arrival, a male, approximately 45 years of age was found.
Police and ambulance personnel transported the man to Dawson City Nursing Station. Subject was pronounced dead on arrival at the Nursing Station.
The Dawson City RCMP and the Yukon Coroner's office are investigating. An autopsy has been ordered and will be conducted in Vancouver. Cause of death is unknown.
Deceased has been identified as William Paul Vivian of Vancouver, B.C.
Accident Investigation Continues
On June 13th, 1990, at approximately 2025 hours, Mr. Dean Foucher (21 years of age) from Maple Ridge, B.C., was accidentally shot in the back by a friend. Mr. Foucher was just walking out of his cabin at the Pay Dirt Holding Ltd. mining camp, located at Black Hills Creek, near Dawson City, Yukon. The weapon used was a .22 calibre rifle.
The police and medical personnel attended the scene. Mr. Foucher was medevaced to Dawson City via Trans North Turbo helicopter, and subsequently flown to Whitehorse for further medical attention. He is scheduled to undergo surgery on June 15th to remove the bullet still lodged in his chest. His condition is reported to be stable at this time.
The investigation into this matter is ongoing.
Changes in the North End
Lot Survey Planned
by Dan Davidson
A drive to the North End of Dawson City into the area identified on the municipal maps as the "government addition" reveals many mysteries. With the exception of Front Street, none of the remaining avenues line up. Some, like Third Ave, cease to exist. On a map First to Tenth Avenues are squeezed into the same space occupied by Front Street to Seventh Avenue in the rest of the town. Lots here are dwarfed in comparison with others in the community.
All this may soon end. There is a plan before council to resurvey the area north of Albert Street, line up the streets properly, re-size the lots, eliminate the back lanes (most of which exist only on maps) and generally make the area more usable for residential development.
The immediate spur for this plan is the proposed sewer and water extension in the block O area (bounded by Albert and Duke Streets, between 4rd and 5th Avenues) which will be going in later this summer at a cost of over half a million dollars.
Mayor Peter Jenkins explains that any plans for further extensions into the unserviced North End run into two problems. The first is that the area is low in comparison to the rest of the community. The second is that the existing streets don't line up at all, making for water and sewer pipes with zigs and zags in them. The combination of the two things would make necessary the construction of a step-up plant to move the sewage south. Realigning the streets would, according to the engineers with whom Jenkins has been talking, eliminate that need.
Aside from that, a re-survey would increase the size of the lots in the area and make them more attractive for housing development later on. Presently the lots are 50' x 60'. Jenkins sees the new lots as being 50' x 105'. Much of the land in that area is owned by the city.
Private landowners would see their lots increase in size in exchange for some land swaps and other considerations. Jenkins says he has talked to most area residents and that they agree with the idea so far.
Council has approved funding of $3,000.00 for a preliminary study into the feasibility of the scheme.
As Complaints Mount
Dogs to Be Shot
by Dan Davidson
Dawson's council is doggoned tired of canine complaints, and has decided to take a tough line. All dogs found running loose between July 5 and July 19 will be deemed dangerous to the public interest and may be shot on sight says a council resolution.
The only problem is that the city has no dog catcher to carry out the job. The ad to hire one has been rolling on the DCTV television bulletin channel for weeks, but there have been no applicants.
Jenkins says he has received numerous complaints about roving packs of dogs over the last week or so. In particular he cited the case of a horse and carriage tour operator who says that dogs have been chasing his carriage, running up behind his horses and snapping their legs.
Dogs are not the only nuisance animals around the community. Councillors report having received many calls and letters about them, as well as about the bears which have been roaming the Dome. Councillor, Janet Lyon even reported receiving a call about a vicious cat which was attacking dogs.
City employees spray jets of water over newly seeded land beside the dike on Front Street.
Arctic Drugs
Front Street
Drugstore
Souvenirs
cosmetics
school supplies
stationery
film & photo supplies
vet supplies
baby care products
over counter drugs
prescriptions by order
cassettes & video tapes
vitamins
Phone: (403) 993-5331
Fred Berger, Prop.
Box 419, Dawson City
Yukon, YOB 1G0
24 hr. film processing
will be available soon
lottery center
Editorial: Mind Your Manners
by Dan Davidson
Much has been said about extending courtesy to our guests while they are among us this summer. At the Sun we certainly have no quarrel with that philosophy, but we'd like to see it extended to everyone. Some of the staff around town are new enough to the community that they've taken to being a bit abrupt with the locals, and that isn't very nice either. Basic shop manners still include being polite, trying to get the prices right when you're ringing them up, and not taking out your personal problems on the customers.
No one's suggesting that you be little Johnny or Mary Sunshine all the time, but if you're holding down so many jobs that you can't do each of them with a certain amount of style, it won't be long before both you and the business suffer losses.
Music Festival Insert
At this writing, the plan is to have the program for the Dawson City Music Festival appear as an insert in this paper. It's our first cooperative venture of this sort and we're all kind of excited about it. The idea was helped along considerably by the fact that our two groups share a few volunteers, but even if we didn't, it's still a neat development, and one which we hope will set the standard for other ventures in the future. There's already some talk about handling the Discovery Days brochure in the same way. We'll see how this one is received first.
LETTERS TO THE EDITOR
The Editor
I was horrified to hear on the news that in all places the Yukon, the government of which have seen fit to grant benefits to so-called "gays and lesbian couples". I never thought I would live to see the day when something so offensive and disgusting would even be considered acceptable. After all, let's give its acceptance. Just look at what they have already reaped AIDS. I remember when this sort of activity was a serious crime (sodomy). It should be put back in that category and soon. Indeed, to even think that such an ugly "blight" has come to mar the lovely wholesome countryside of the Yukon is to say the least, derogatory, and must admit I'm ashamed for the Yukon, especially since I was born there.
Yours Sincerely
Violet Thompson
Vancouver, B.C.
(Ed. Note: It should be noted AIDS is far from exclusively a "gay disease" and that, in most of the world, people with HIV infection are more commonly split sexually speaking. Not being homosexual will not, in itself, protect you from the virus. It may be spread by unprotected and promiscuous sex of any description, poor health standards, and sharing of needles. In Romania, after the fall of the Communist regime there, it was found that thousands of innocent children had been infected by improper hospital procedures.)
Greetings!
From the Northwest of England.
My children have asked me to help them to find a penfriend. Could you forward their names to your local school, or perhaps to some child you may know of the same age.
My daughter is aged 9 years. Her name is Tammy Marie Davies.
My son is aged 7, nearly 8 years. His name is Shane Christopher Davies.
They enjoy most sports and games and if I may say so, are two of the best children in the whole wide world.
Thank you! I can trust you to help me.
Sincere best wishes,
Mr. Robin C. Davies
31 The Witterings
Neston
South Wirral
L64 3SA
England
YES!
I'd like a subscription to
THE KLONDIKE SUN
Bag 6040, Dawson City, Yukon YOB 1G0
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Words from Webster
by Art Webster - MLA for Klondike
I have been asked by several constituents over the past couple of months for my opinion of the 1987 Amendment to the Constitution of Canada which is more commonly known and referred to as the Meech Lake Accord. Always clear from the beginning of my response has been my enthusiastic support for its stated purpose - to welcome Quebec back into the Constitutional family of Canada. But because the Accord went far beyond what was necessary to achieve that desirable goal, I could not accept it in its original form. However, when New Brunswick Premier McKenna introduced a "compromise accord" - the Meech Lake Accord which addressed the legitimate concerns of Northerners, and properly considered the rights of women and aboriginal people, it became acceptable only with the understanding that a totally new and improved process for constitutional reform to replace the undemocratic one currently in place would be implemented.
Now that the deadline to ratify the Meech Lake Accord has passed without the required approval of all ten provincial legislatures and the Federal Parliament, the space for Quebec's signature on our Constitution remains blank. And with Quebec celebrating St. Jean Baptiste Day in patriotic fashion while not joining the rest of the country to celebrate Canada Day all within one week of the Accord's demise, emotions are running high and there is much speculation that Quebec is moving to secede.
Fortunately however, summer has arrived, and most Canadians have begun to enjoy the leisure activities of the season. Hopefully we will take some time over the summer for some quiet reflection about the problems that face our nation, as well as the strengths and diversity of our uniquely Canadian character. I am confident that the outcome of this process for each of us will be a better understanding of and greater respect for the reasons why Canada is so special. And from that will flow a deeper appreciation of why our country is worth keeping together, and a committed resolve to do so.
Letters Cont. from Page 4
principal didn't even get a chance to apply?
I'd say you have some management staff with serious judgement problems!
So what is going to happen now? As a resident and parent, I want to see some equity and justice demonstrated at this our "model school". If the model school can't demonstrate some social responsibility, logical thought, fairness, reward for long and tireless effort we're sending out a pretty pathetic message to our students. And this is after all the objective of the model school on the Yukon School isn't it...a good faculty run by a good administration. An administration based on honesty, integrity and an example to the client user...the student body.
I trust I will receive a complete and speedy response to by letter.
Sincerely
Pauline Scott
Dawson City, Y.T.
Editor:
The Canadian Cancer Society would like to thank the following organizations and individuals who contributed to the success of our booth at the Dawson City Gold Show;
Thank you to:
The City of Dawson, Chamber of Commerce, Klondike Placer Miners Association, and Klondike Visitors Association for providing booth space.
Farmer's Market for donating oranges and organic apples.
Karen DuBois of Yukon College for use of the T.V. and V.C.R.
Warnsby Holdings for sponsoring our draws.
Taylor-Chevrolet-Oldsmobile for filling our booths with helium.
The Grocer People for collecting donations on our behalf.
Rita Anderson, Bonnie Barber, Vi Campbell, Madeleine Gould and Donna Stutter for helping at the booth. Special thanks to Bonnie for organizing the Dawson end.
The winners of our draws for the mini-fruit baskets were Pat Weber, Ben Gattie, Doug Grimes and Dave Mackay.
The people of Dawson purchased 15 cookbooks, 2 Erma Bombbeck books, 14 sweatshirts, 4 sweat pants and 12 golf shirts for a sales total of $1,014.25. Our donation box yielded $105.52. Donations from the Grocery People's box of $523.48 brought our total to $643.25.
Anyone wishing to make further purchases, please contact Bonnie or call 668-6440 and leave a message.
Thank you all for making this such a successful and enjoyable weekend.
Sincerely
Loretta Warnsby, Office Co-ordinator
Diana Lafferty, Reach to Recovery Chair
Cont. Page 6
More Canadians Visiting the Yukon
WHITEHORSE - The number of Canadians visiting the Yukon rose by a healthy 38 per cent last year, and the number of overseas visitors rose by 22 per cent, according to Tourism Yukon's 1989 Industry Highlights Report, released June 11, 1990. The report estimates that tourism revenues increased by three per cent in 1989.
Last year 183,000 tourists visited the Yukon between June and September, the peak tourist season. The report also points out the emergence of a trend for tourists to stay longer. The average Canadian tourists stay for an average of nine and a half nights, while Americans stay for an average of six and a half nights.
"It's encouraging to note that more Canadians are making the Yukon their holiday destination," said Tourism Yukon Minister Art Webster. "This is a promising sign for our new Destination Yukon' marketing campaign, which is designed to attract even more Canadians to vacation longer in the territory."
The report summarizes the initiatives and activities launched by Tourism Yukon, the tourism industry and communities during 1989 to help the tourism industry become more competitive. These included:
- preparing a strategic plan and consumer demand analysis for wildlife viewing;
- publishing two 'how-to' guidebooks to help Yukon communities and entrepreneurs identify and develop tourism opportunities;
- signing the 'Tourism North' Agreement between the Yukon, B.C. and Alaska, promoting northern independent highway travel;
- beginning a major U.S. marketing campaign by the Tourism Industry Association of the Yukon (TIAY);
- hosting the first 'Rendez-vous Yukon', a mini-marketplace show which brought 28 Yukon tour operators together with 11 European tour wholesalers;
- and completing a Yukon Museums Policy in cooperation with local community associations, the Council for Yukon Indians, and the Yukon Historical and Museums Association.
The report contains detailed summaries of regional initiatives, and provides an update on the Yukon Economic Strategy. TIAY completed a needs assessment study for industry staff training and tourism Yukon created regional tourism development plans.
The report also includes tourism statistics for 1989, such as seasonality of visitors, attendance at Yukon attractions, mode of travel, length of stay, country of origin, and typical expenditures by person and party.
Copies of the report are available from Tourism Yukon, 211 Hawkins Street, Whitehorse, Y1A 2C6, or through the Tourism Development Branch at 667, 5449. Outside of Whitehorse, call toll free 1-800-661-0408.
Students Honoured
Awards to End the Year
By Dan Davidson
The instructional year at the Robert Service School wrapped up on June 22 with awards ceremonies for the elementary and high school divisions.
Twenty students made the elementary honour roll: Spruce Gerberding, Alex Bowie, Jordan Doenz, Clare Sheerin, Willie Wing, Jay J. Flynn, Kieran Hogan, Jo-Anna Davidson, Tammy Taylor, Shawn Blais, Charissa Reeves, Alex Kormendy, Robyn Campbell, Kate Kormendy, Sarah Winton, Claire Brickner, Kimmy Jenkins, Frances Kormendy, Amanda Montgomery and David Campbell. They were presented with certificates.
Certificates, school pins and a permanent name plate on the trophy went to Top Academic Achievers Sarah Winton (grade 4), David Campbell (grade 5), Patrick Sack (grade 6) and Daniel Kerklywich (grade 7).
A special award for her work in the school choir went to Amanda Montgomery, while Terry Grabowski won the King Solomon Mines Award for consistent effort. Hard worker awards went to Charlie Taylor (grade 4) and Meridith Couture (grade 5).
The high school awards list left off with the presentation of the Female and Male Athlete of the Year awards to grade 10's Renee Brickner and grade 12's Gary Zeller.
High school honours awards were presented to Jeremy Roscoe, Trevor Van Rumpf, Kelly Burns, Kyla Burns, Carrie Docken, Cyndi O'Rourke, Renee Brickner, Derick Bilodeau, Gordon Kerr, Atlin Bowie and Gary Zeller.
Top Academic Awards went to Jeremy Roscoe (grade 8), Carrie Docken (grade 9), Renee Brickner (grade 10) and Derick Bilodeau (grade 11).
The Mary Gartside Award, a $200.00 bursary presented to the top ranking grade 12 student went to Atlin Bowie. She was also the recipient of the $200.00 Audrey McLaughlin Bursary, and the Citizenship Trophy. Earlier in the month, Bowie was the valedictorian for the 1990 Grad class.
Clayton Berriman was the winner of the R.C.M.P. Appreciation Award, while Tina Braga was given the King Solomon Mines Award.
Discovery Days
News Release - The Discovery Day Committee has been meeting over the past three months planning this year's celebrations. Committee members this year are Dave Millar, Axel Speers, Myrna Butterworth, Len Maruk, Akio Saito, Lawrie Stewart, Leslie Sommerton, Brenda Caley and Peter Menzies.
Events planned for this year include the parade, ball tournament, kids games, canoe race, bar-b-q's, raft race, nail driving, log sawing, horse shoeing, tug-of-war, mini-golf, horse shoe and other games. As in past years, there will also be a dance and horticulture display. Other events are being considered.
Two additions this year are a soapbox derby race and a square dance. The Derby Race will be run on Harper Street. Youth will be asked to build their own race cars for the events. A dance band from Alaska will provide the music for an evening of square dancing. The caller will both teach and lead the dances.
The Committee needs organizations to manage concessions and security for the dances and suppers. Organizations will receive donations from the committee for looking after a portion of the weekend's events.
Volunteers are required to help with the Celebration. Those wishing to be a part of Discovery Days should leave their name with the Recreation Department (993-5434). If you have any ideas, contact the committee members or the Recreation Office.
The King Salmon have come home!
By Sue Ward
Caught Roger Mendelsohn making his river boat ready to check his gillnets down river. He told me the salmon are back, and that commercial fishing is being restricted in order to allow more fish to reach the spawning grounds in the Pelly and Ross River headwaters. The fish stocks have been depleted and must be rebuilt. Native Indians are permitted to fish for their personal needs at this time. Commercial fishermen have had one twenty-four hour period and a second will be allowed the weekend of July 8th.
This item should make mouths water from here to everywhere where former Dawsonites hear the news. For those less familiar with mileage, these wonderful fish have already travelled 1500 river miles upstream from the Bering Sea. They must swim at least a further 300 miles to reach their birthplace. Fantastic!
Sun Shines On Dawson's Canada Day
by Davidson and Gates
Canada Day started out in style in Dawson City. Shortly after 11 am Sourdough Sue Ward and Diamond Tooth Gertie, (Lorraine Butler), arrived in Klondike finery perched on the back of the fire department's 1940 pumper.
They had been invited to preside over the official opening of the day and the singing of "O Canada". They were flanked by a colour guard comprised of local girl guides, one Brownie and Cadet Phillip Coombs of 896 Pioneer Squadron, who oversaw the raising of the flags.
Art Webster, Klondike's MLA and Minister of Tourism spoke briefly about the importance of national symbols of unity, especially in these post-Meech Lake days. Recreation director Peter Menzies, speaking on behalf of the City of Dawson, welcomed everyone to the morning's events, managing to sneak in a plug for recreation generally, along the way.
Ralph Nordling, President of Dawson Lodge No. 1 Y.O.O.P., said a few words in honour of Helen Boutillier, who celebrates her 92nd birthday on July 14th, and who received a gift as Dawson's oldest citizen.
The first singing of the national anthem having been a success, the ceremonies concluded with a more lustier rendition by those present.
Canada Day dawned bright and beautiful in Dawson City and stayed pretty much that way until mid afternoon. Minto Park was a delightful stage for the morning's fun, which included face painting, a concession table, kids games, slices of watermelon to munch, and some acoustic music at the gazebo. Face painting was a hit, and so were the 300 pieces of an enormous birthday cake prepared by Shelly Hakonson.
The Dawson Community Library gave away a large selection of kids books provided by Read Canada.
Perhaps, more exciting of all for the little ones...visitors and locals, were the free rides on the fire truck (complete with siren), offered by Chief Dennis Montgomery and his crew.
Some American visitors, obviously enjoying the free food, flags to stick in their hats and friendly locals indicated that this was about the best "down home celebration" that they had attended for many a year.
Lawnie Stewart, the city's program coordinator, estimated that about 200 people took part in the various activities.
Ross Peterson: The New Edgar Cayce
The well known lecturer, consultant and psychic, Ross Peterson, will be returning to Dawson City for the months of July and August. Look for posters around town as Ross will be facilitating a variety of workshops this summer including:
"Anger as the key to falling in love for keeps"
"Psychic development"
"How to gamble more effectively"
If you wish a private 1 hour intuitive reading and consultation with Ross to explore your own growth, personality, development, future and career opportunities phone 993-6410 to book ahead, as these readings will be on a limited basis.
TRIPLE J HOTEL
5th and QUEEN
P.O. BOX 359
DAWSON CITY
YUKON TERRITORY
Y0H 1C0
The new management and staff wish to welcome everyone to the Triple J Hotel
T.J.'s Restaurant featuring
a salad bar
and daily specials
during lunch and dinner
Chef Harvey has returned to our fully licenced restaurant for another successful season.
TJ's hours will be 6:30AM - 10:00PM daily
Our Lounge hours are 11:00AM - 1:30AM daily
phone 993-5323
WE ALL LOOK FORWARD TO BEING OF SERVICE TO YOU
ARCHIBALD TAKES TITLE
by Dan Davidson
For the second year in a row Jim Archibald has taken the trophy in the Yukon Open event at the Yukon Goldpanning Championships, Dawson's Archibald was the only one of 19 panners to find all 9 flakes of gold. He did this in 4 minutes and 56 seconds, 50 seconds off his pace from last year.
Second place Len Millar and third place Art Sailor were faster panners with 3:30 and 3:37 respectively, but they each missed a flake and had to take five minute penalties.
Millar is allowed a berth in the World Goldpanning event, all expenses paid, which doesn't mean a lot to the Dawson based placer miner. Archibald will also be at the Aug. event, but will first use his $1500.00 prize to attend the Canadian Goldpanning Championships in Edmonton later in July.
Dawsonites: There were eight contestants in the event.
There was a West German sweep in the Cheshakko Open. This event is open to all visitors to the Yukon and the first three places went to Manfred Finger, Genn Reiner and Christian Burger, three gentlemen from Frankfurt. There were 24 contestants in all.
The Klondike Open is open to anyone over 16 who isn't going to participate in the Yukon Open. Seventeen worthies tried their skill in this event, which was won by Zinniker Marcus of Switzerland. Dawna Stewart of Dawson took second place while Switzerland's Walter Majoleth came in third.
Four teams were entered in the Corporate Challenge relay event. Each team needed to find 20 pieces of gold. Stuart Placers found 19 in an adjusted time of 17:20. Mogul Gold came in second at 20:17; Fraser Ventures took third with 48:30 (lost 6 flakes) and Guggieville Enterprises pulled in last with 89:85, having found only 6 flakes and picked up 70 minutes in penalties.
The contest whizzed by in just about 2 hours this year, rather than the usual four. Chuck Holloway, manager of the Klondike Visitors Association, attributes this to the addition of more panning stations to the permanent venue which has been erected here to handle the World Goldpanning Championships in August.
Champ Again!!
by Kathy Jones-Gates
Jim Archibald said it was a "Great Feeling" to achieve back to back wins in the annual Yukon Goldpanning Championships. He thought he was a little slow with his panning this year, but it paid off with him being the only contestant to recover all 9 flakes.
The Yukon Open Champion receives a large trophy which will be engraved with his/her name, and for Jim, there is something special about this trophy. Jim made it in 1982 and it was donated by the Klondike Placer Miners Association. This is Jim's third win ... he was champion in 1981 as well as in 1989.
His first place prize of $1,500 towards attending the Goldpanning event in Edmonton later this month also takes him back to a championship that he has competed in 4 times.
He was champion of Alberta twice and the champion used to then compete at Trail, B.C.'s version of the World goldpanning, where he was crowned World Champion in 1982. Jim is also looking forward to competing at the World Goldpanning event here in Dawson from August 20th to 26th. When the World Championships were held in Dawson in 1984, Jim placed 3rd in the prestigious Men's event.
Tony Kosuta & Pete Foth
The day's events actually kicked off with 12 panners vying for awards in the Senior's event. Dawson's Irene Crayford took that prize with a time of 3:47. Trudi Leibundcut of Switzerland came second in 7:23 while Tony Kosuta of Dawson lost one of the 5 flakes and ended up with an adjusted time of 8:28.
In the 11-15 Youth event it was Axel Schmidt, followed by Alexander Fras, both local boys. In the 10 and under group it was Doug Gritner followed by Onica Sprokkreeff. All the youngsters were
Panning photos by Kathy Jones-Gates
As well, the final results were tabulated very quickly on a portable computer in the judge's booth.
Mayor Peter Jenkins was on hand to give out the awards and congratulate the participants. The stands were full most of the afternoon, so something like 300 people stopped off to watch the event.
Irene Crayford, Harold Shannon & Peter Jenkins
Dawne Mitchell
Local Boats Pass Inspection
By Sue Ward
It was Wm. J. Pemberton's first inspection of Yukon river boats which convey passengers. Mr. Pemberton is a Marine Surveyor with Canadian Coast Guard out of Prince Rupert.
Every vessel one and all had to cool their heels or their motors for quite some time as the George Black was gone over from stem to stern mechanically, and with various pressures taken, plus the dinghy was lowered and raised on her davits by crew members who were also given fire drill testing. The inspection included a return trip aboard the loaded vessel on the morning of July 4th.
There is a floatation raft affectionately known as a "birps" with a capacity for 75 persons readily available to be tossed over the side, a "one shot" piece of equipment, plus the lifeboat. Asked if the crew was trained in launching the "birps" Mr. Pemberton replied, "Oh yes, and they would no doubt have plenty of added help from passengers."
The Canadian Coast Guard is not the authority which specifies the size of blocks used to deter movement of vehicles while making the river crossing.
Mr. Pemberton had earlier inspected the Yukon Lou which passed muster first class. He informed me that the Lou carries a fine auxiliary motor should one fail. There are 56 adult and 8 children's life jackets visible and readily available on the lower deck. There was a discussion of wooden hulls and the Inspector told me that all vessels are inspected out of the water every five years. Wooden hulls are pierced with a tool like an ice pick to discover boards requiring replacement. He informed me that there are wood-hulled fishing boats sailing year round in saltwater out of Prince Rupert built as long ago as 1908, while the Yukon Lou is only in fresh water for four months each year.
The Yukon Queen is an American vessel, and therefore not under the jurisdiction of the Canadian Coast Guard. The craft would be fully inspected by an equivalent American authority in her home port. Though a comparatively new craft, she has reportedly suffered breakdowns as she settles in to her challenging 206 mile return voyages to Eagle, Alaska.
There are, in Canada, ninety-eight (98) different sets of regulations related to water vessels. There are four carriers sailing Yukon waterways including the Pelly Ferry on the Ross River.
River ferries belonging to the Yukon Territorial Government receive an added government inspection.
As the DCMF Grows
Residents Wonder About Festival Noise
by Dan Davidson
Dawson residents should not be concerned that the doubled gate at the 12th annual Dawson City Music Festival will mean that the weekend will be twice as loud and twice as inconvenient for those who live right around Minto Park. Festival office manager Kim Tuson is quick to note that this won't happen.
The increase in the number of tickets this year - up to 700 from last year's 350 - was prompted in part by local complaints that Dawsonites couldn't get tickets. Last year they sold out in less than fifteen minutes. This year 500 tickets will be on sale here at the Downtown and Eldorado Hotels on July 1, two days before they go on sale in Whitehorse.
All this will do, according to Tuson, and to organizing committee member Karen Dubois, is look after the people who used to sit outside the striped tent and listen to the concert because they couldn't get a ticket to go inside. In addition it will, of course, bring more revenue to the Dawson City Music Festival Society.
Ticket manager Don Armitage says that the festival has borrowed a second tent from the Northern Storytelling Festival. The two tents are compatible and will link together, thus allowing the increased ticket sales and the plan to relocate the annual dance from Diamond Tooth Gerties to the Minto Park festival site. In the past, the number of people that could be fit into Gerties for a dance has been one of the factors limiting the number of $40.00 weekend passes that could be sold.
Still, the thought of a larger presence in the park has caused some worries among south end residents. Tuson says she was accosted in the Post Office one day recently by a person who expressed just these concerns and wanted to know why the festival wasn't being moved to a less populated part of town. Minto Park is smack in the middle of a residential area and the music from the festival can be heard for blocks during the July weekend.
Tuson and Dubois have even heard that some people have approached the R.C.M.P. about potential problems: drinkers, highway and child safety, and noise.
"Please tell these people to come to us," said Tuson, "so we can talk about the problems and try to solve some of them."
Organizers are well aware that it would be better to relocate the festival. Some would like to take it to the north end of town in a new park they would like to see established beside the Yukon River. It has even been suggested that it could take place at the foot of the Moose Mountain ski hill run. These are options for the future, perhaps. For now the festival remains where it is, and Tuson feels quite certain that it will be no louder, nor more of a problem than it has been in earlier years.
For the sake of safety, 6th Avenue will be blocked from the kids' playground to the end of the ball park concession stand during the July 20-22 weekend. Beer sales will be restricted to the later afternoon and evening and will take place at a beergarden in the new goldpanning venue, next to the museum.
Ticket sales have been brisk so far. The 200 mail order tickets were gone by June 18. The brief interview for this article was interrupted 4 times by telephone calls inquiring about tickets.
"Everyone's looking for a special deal," Tuson sighed.
There have been a few changes in the proposed line-up since the original announcements two weeks ago. L. Kabong, a Vancouver based underground band, will not be coming after all. Armitage says this is not a problem. The line-up was so crowded already that it was getting hard to schedule all the groups.
Still on the musical program are Melwood Cutlery and the Fashion Plates, Daisy DeBolt, Jaques Lussier, Nyetz, New Wine and Lucie Blue Tremblay. Returning to the festival for his second year is harmonica master Gerald Laroche.
The Checkerboard Guy, an entertainer and juggler, will be along to perform and assist with the master of ceremonies chores.
Territorial musicians will abound as well. The list includes Marie Gogo & Herbie Bowman, King Frog, Dizzy Grizzly, Trish Barclay & Annie Avery, Bruce & Debbie Bergman, and Dave Haddock.
As usual workshops during the weekend will be held in the main tent and at other locations around town, including the McDonald Lodge and St. Paul's Anglican Church.
A full program for the festival can be found elsewhere in this issue of the Klondike Sun. It has been prepared by Music Festival volunteers, with the assistance of the Sun staff, some of whom are the same people.
Kim Tuson (front) and Craig Moddie (rear) at recent D.C.M.F. Auction. It raised about $2,500.00
Photo by Dawne Mitchell
Are the Bugs Lunching On You?
With the summer sun and outdoor living in Dawson there is a hazard we all have to contend with... "insects". An insect sting can spoil your time outdoors or cause serious concerns of having an allergic reaction. Approximately 0.5% of the population has allergic reactions to insect stings. The reactions can vary from local to emergency situations:
Usual Reaction:
1. Normal local reaction - pain, redness, swelling and itching at the site. These symptoms should subside with 1 to 2 hours.
2. Large local reaction - swelling beyond the initial bite area. Develops over hours, peaks 6 to 12 hours and subsides in 24 to 36 hours.
3. Severe large local reaction - peaks at 48 to 72 hours and may last up to a week.
First Aid:
1. Remove any embedded stinger using horizontal scraping motion. Pulling out the stinger will squeeze more venom into the bite.
2. Wash sting site with soap and water.
3. Apply cold compresses or ice and water for 15 to 20 minutes then calamine lotion or baking soda paste or a meat tenderizer paste.
4. Apply acetaminophen for pain.
5. Antihistamines may be required such as benadryl, seldane, dimetane, extentabs, hismanal, actifed, chlortriplon (all available through local stores). Read the instructions and give the appropriate doses for 2 to 4 days. *For children under 2 years of age - call the Nursing Station to check doses!*
Unusual Reaction:
Mild whole body reaction which would have signs and symptoms removed from the sting site. These can include scattered hives, itching, redness (a boiled lobster appearance) or even swelling and redness of eyelids.
Treatment - same as local reactions
Emergency Situations:
Signs and symptoms usually occur within minutes of the sting and they are:
- Weakness, nausea, pale, cold clammy skin, dizziness, fast breathing or breathing problems.
Call immediately Medical Emergency, DAWSON CITY NURSING STATION, 993-5333
Dawson City Museum
NEW FEATURES
- Nightlife Exhibit
- Model Train Display
- Yukon Ditch Slide Show
PLUS
- Daily Guided Tours
- Resource Library
May 19 - 31 & Sept 4-15: 1 -4 pm, Tues, Thurs, Sat
June 1 - Sept 3 Daily 10am -6pm
Obituary
Stanley Roberts
March 10, 1909 - June 6, 1990
A member of the Wolf Clan, Stanley was born at Moolchidie to Sarah Jane, wife of Robert Charles. He was raised by Emma Harper. Stanley grew up with great respect for his people, always helping at various events such as Potlatches, special festivities, etc.: one of his duties being the head cook.
Stanley served in the Pacific Rangers - Home base during W.W.2 Along with being near his people, practising his hunting, fishing and trapping skills, he worked in many capacities, such as Longshoreman, Y.C.G.C., Proctor Construction, Clinton Creek, slashing - up until the early 70's cooking for the firefighter crew for Forestry. Stanley was filled with stories, his humour and teasing will linger with all who remember him. Stanley was very fond of his people, especially the children. Because of his wealth in Indian History and Traditional and Cultural values that were so important to him, he willingly gave and passed on his stories and His Language - for us today in respect for his people's survival. Through this, he worked very closely with John Ritter to share his language. In 1980, Stanley was the recipient of the Arts Council Award in Heritage (reviving of the Han Language). Stanley was the last surviving descendant of the late Chief Charles of Arctic Village, Alaska.
Pre-deceased by: father and mother, Robert Charles and Sarah Jane. Brother and Sisters, David Roberts, Gladys Johns, Mary Rivers, Sarah Curry and Bertha Russell.
Forever Remembered by: Daughter, Mary, grandson, Daniel, Nieces and nephews, Ada Haskin of Skagway, Alaska, Freddie Harper, Sarah Jenkins, Stanley Rivers, Archie Roberts, Sarah DeWolfe, Marie Bergman, Edward Roberts, Doris Adair, Henry Roberts, Martha Kate, and Marion Roberts. 31 grand nieces and nephews and many great grand nieces and nephews. His many friends around will remember him always.
Welcome
Welcome to Dawson to Klondike National Historic Site; new General Works manager Gary McMillan wife Barb Smith and dog Dug. They arrived July 1st weekend and are loving their new home - the restored 1901 MacKay House on Princess and 7th Ave. Gary was previously employed by the N.W.T. government department of Public Works in Inuvik.
Drama On George Black Ferry
WINNEBAGO NEARLY ROLLS OFF
by Dawne Mitchell
Deckhands on the George Black ferry held their breaths momentarily in mid-river, as a large Winnebago rolled over its protective blocking, broke through a heavy-link chain and onto a hydraulic ramp at the end of the vessel.
The RV came to rest against a one metre high "tailgate" extension of the exit ramp as the ferry was working its way across the Yukon River with a full load of vehicles.
"It was a heart-stopper," said Danielle Thorntonngton, who was working on the boat Tuesday. "I saw a Winnebago start rolling forward. There was about a foot between it and the vehicle in front. It must have gained some momentum then, because when it started rolling backwards it went right over the blocking".
Thorntonngton, who described the RV as "one of the really long, huge ones", said a co-worker threw another block under the RV's wheels to stop it. But it rolled right over that one, too. A tail-light and rear-mounted ladder were damaged.
The driver, apparently, left the vehicle in neutral and did not apply the emergency brake after he drove onto the ferry, said Tom Tait, the acting foreman for the Yukon Highways department. The driver also left the driver's seat to go to the kitchen area of his RV.
Deckhands immediately alerted the occupants of the RV to the danger. The driver got back into the front seat, started the engine and pulled forward off the ramp.
"The extra tailgate on the ramp is a second safety measure," said another deckhand aboard the ferry, which provides free service between Dawson City and the Top of the World Highway. It has a strong hydraulic system to enable the ramp to be lowered or raised onto the gravel access road on either side of the river.
"Lucky the hydraulics of the ramp held," said Thorntonngton. "Or it would have been game over for that person."
Built by Allied Shipyards of Vancouver in 1967, the George Black ferry can carry up to 10 cars at a time.
Celebrating the Motherlode
Wise-cracking family and friends gathered to help Vi Campbell celebrate her 65th birthday, Saturday, July 7th. (Vi's birthday was actually July 4th).
Vi's sister, Doris Poland and husband Larry from Drumheller, Alberta attended, in addition to out-of-town family members, son Jeff Hunston and his wife Sylvia Neschkotat from Whitehorse; other out-of-town guests were Doris Gates, Gloria Coxford, Jean Graham.
The gathering took place at Peter Jenkins' residence, with the Eldorado Hotel catering a steak Bar-B-Q. Birthday speeches included some good-natured ribbing from son Jeff, who says he fondly refers to his mother as the "Motherlode". Vi's sister Doris who would like to have Vi's clothes and jewellery when she reaches 65, and husband Harry remembering the legendary trips to the West Edmonton Mall which resulted in him phoning Points North Trucking to freight Vi's purchases home.!!!!!!!
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Russell & Van Rumpt Wedding
by Marjie Mann
A wedding in the traditional Dawson style was held on the evening of Saturday, June 30th, between Robbie Van Rumpt and Pat Russell. Traditional Dawson Style is relaxed, good humoured, and loving. The ceremony took place at the Commissioner's Residence, and the reception followed in Robbie and Pat's back yard at the C.O.'s Residence.
The ceremony was scheduled for 6:00 p.m. As is the norm for summer Dawson weather, the day was perfect and hot, but the clouds started brewing in the late afternoon. What was planned as an outdoor ceremony ended up being quickly re-located to the veranda of the Commissioner's Residence when the wind and rain started up. By the time the bride showed up in a horse-drawn carriage, accompanied by her brother John, from Calgary, her best friend and "Mistress of Honour" Ann Westlake, from Toronto and flower girl Melissa, Robbie's 7 year old daughter, the rain had ebbed. Even so, the party was assisted with umbrellas from the coach to the veranda and the guests were able to enjoy the entrance of the bride and her party musically accompanied by Bill Jackson on the bagpipes.
Melissa wearing a lovely pink dress and decorated with tiny white flowers in her hair was the perfect flower girl. Ann wore a printed dress with lively hues of purple and blue. And the Bride - she wowed us all, radiant and splendid in a purple creation, shipped especially for her from the U.S. The effect of the dress was topped off with an original veil made by Eileen Leier.
The Bride's party joined the Groom's party, Best Man Mitch Sprokkkreeff and Usher Trevor Van Rumpt, on the veranda and the ceremony began, led by Justice of the Peace, John Bilton. Although the weather was threatening at the beginning, the sun streamed through just as the vows were being taken, as though offering an omen of good luck ahead to the couple.
The celebration of love included Celtic duets by Bill Jackson and Peter Menzies and Jane Olynuk sang "The Wind Beneath My Wings", accompanied by Peter Menzies on the guitar. And, as a token of warmth and good humour, the usually staid J.P. allowed the Bride to - yes, it's true - snap his suspenders. When all was done, the happy couple and their entourage toured Dawson in the horse-drawn carriage.
Guests met again on the grounds of the C.O.'s Residence, for a fabulous pot-luck dinner. Mistress of Ceremonies, Joanne Smith, welcomed all the guests. Along with local well-wishers, Pat's brother and his family, John, Gail and Lisa Russell, were up from Calgary as well as Ann Westlake on a 'speed of light' trip from Toronto, and Robbie's folks, Rita and Hank Van Rumpt from Ottawa. Up from Whitehorse to join the celebrations were Lillian McGuire, a special colleague of Pat's, and her husband Karl. Former Dawson residents Nancy Dunbar and sons, and Jim, Barb and Robbie Elliott also attended from Whitehorse. Another Dawson tradition, the special quilt, was offered to Pat and Robbie as a gift of love from some of their friends. This was probably the first Dawson quilt made in the last 3 years that did not have a square made by Pat. Even so, it is a lovely quilt and a gift that left them quite speechless.
The celebration continued on through the evening with food, dancing, reminiscing with old friends and a wonderful, wonderful time.
It is difficult to say something profound when your best friends fall in love, and make a promise to keep that love alive forever. For Pat and Robbie, it is a dream come true - like a fairy tale. And we wish their life together will be as happy, and loving as they truly deserve.
In closing, I would like to say that I know for a fact that Cupid was hanging around our drying shed in Rock Creek 4 years ago when Pat and Robbie were there. Cupid may still be hanging around and the drying shed is available to those who may be searching for true love...
Robbie and Pat are flanked by:
L to R - Mr. and Mrs. Hank Van Rumpt, Trevor & Melissa, Mitch Sprokkkreeff, Ann Westlake, John, Gail and Lisa Russell.
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Happy Birthday Helen!
Helen Boutillier... affectionately called "Henry" by the family, was honoured at the Canada Day celebrations as Dawson's oldest resident. Helen shares the home of her sister Margie and Margie's husband Art F. Her parents were from New Brunswick and Nova Scotia, but moved to Berlin, New Hampshire, where Helen and sister Hazel and brothers Donald and Harold were born.
In 1904, her father came to the Yukon, and staked claims in the Kluna area. Helen and her mother and brothers and sisters arrived in the Yukon in 1907 and lived for a while in Whitehorse. In 1914 the family, now increased by two... Margie and her brother Jack, moved to Dawson. Helen went to school for one year in Dawson. She later worked at the phone office. Helen celebrates her 92nd birthday on July 14th.
INSIDE/OUTSIDE
Nicolaus Jansen is really enjoying a special Dawson summer this year; his grandparents, Jan and Lene Jansen from Holland are visiting with Mom and Dad Romy and Renee for the summer.
Kathy Webster and son Matthew have been enjoying a visit by Kathy's parents, Frank and Eleanor Lane of Burnaby, B.C.
"Gramma" Close thinks summer is just great this year! Daughter Gail Seleh, accompanied by grandchildren Taralyn and Amberlea arrived in time for Gail to return to work as Banker at Diamond Tooth Gerties, and now the house is bulging a little more, as son-in-law Bruce Seleh and grandson Gregory are now here for the next couple of months.
Another Dawson home, bulging at the seams is the Bilton residence. Joan, John and Wendy have been entertaining John's Mom, Mrs. Barbara Bilton, from Collingwood, Ontario; to add to the excitement, up from Whitehorse are son Mark Bilton, with his wife Darra, and their children Brett and Kelsi-Natasha... making four generations of Biltons all under one roof! Now, that really ought to "snap John's suspenders!!!"
STORK REPORT
Born to Kim Besharah and Herb Watt a girl, Darcy, born in Dawson Hospital at 5:30 am, a real spoiler for any plans to celebrate the summer solstice. But congratulations to all.
The summer season is now in full swing. All our summer Visitor Activities are fully staffed and the sites open. PLEASE CHECK AT THE VISITOR CENTRE ON KING STREET AND FRONT STREET FOR ALL THE LATEST SCHEDULES OF EVENTS AND ACTIVITIES.
All Klondike National Historic Sites Visitor activities are Free.
July 1st was the opening of our new Matinee show, Cottonwood productions... "Klondike Kapers". Pat Hennen, Bill Cecchini and the Company have put together a delightful entertainment full of song, dance, music, drama and fun. The matinee is every Wednesday, Friday and Sunday at 3:30 pm at the Palace Grand Theatre until mid-August.
Opening July 4th with a whole new cast of marionettes is "The Ballad of Barman Bill Blame". This show was written, produced, costumed, set designed, staged, advertised and performed by several staff members at Klondike National Historic Sites. We'd like to give special mention though, to Glenda Bolt and Carleen Sheerin for taking the idea and building it into a show. This season we hope to turn all our Visitor Activities Staff into Marionette handling experts. Do come join us at Oak Hall every Tuesday, Thursday and Saturday afternoons at 3:30 pm for the show.
Throughout the season we offer the following Visitor Activities:
* Tours of the Palace Grand Theatre which include Klondike Kate's room and the new photo exhibit on the Palace Grand. Rare before and after shots of the reconstruction. Open Daily 10am to 6pm
* Town Core Walking Tours leaves 5 times daily from the visitor centre. At 9 am, 9:30 am, 10 am, 1 pm, and 4 pm.
* Fort Herchmer Walking Tours start at the Commissioner's Residence at 11 am and 4:30 pm.
* Movie "City of Gold" 2:30 pm, daily at the Palace Grand.
* Videos and Laser Disc on demand 9 am to 9 pm at the Visitor Centre.
* Special Interpretive Programs daily at the Palace Grand Theatre at 1:30 pm. Watch for posters.
* Dredge #4 tours and exhibits daily 9 am to 5 pm on Bonanza Creek.
* Robert Service Cabin open daily 9 am to 12 noon and 1 pm to 5 pm.
* Photo Exhibit "Dawson As They Saw It" open daily at Harrington's Store 11 am to 5 pm.
* Old Post Office open daily from 12 noon to 6 pm. Stamp sales, historic ink stamp and mail drop.
* Tour of Bear Creek with Heritage North. Open daily 10 a.m. to 6 p.m. Joint pass $5.00 with the Museum or $3.00 for adults and $2.00 for seniors.
* Exhibits and window displays in various locations throughout town.
* SPECIAL EVENTS : watch for dates and times on the posters.
If you have any comments, questions, or need clarification on any of the programs we bring you, please don't hesitate to give us a call. Contact Linda Biermeyer at 993-5462 during office hours.
In Bear Creek - Voices of the Past Still Echo
by Dawne Mitchell
Bear Creek Compound is a modern ghost town, just a few miles south of here, with a short but fascinating history.
Originally built in the early 1900's, the community was headquarters for the Yukon Consolidated Gold Corporation. During this part of the Klondike's history, the company employed 700 men, operated 12 huge dredging machines and mined about $80 million in gold between 1923 and 1966, when gold was worth $35 an ounce.
A recent open house at Bear Creek was a welcome invitation for visitors and local people to tour the old building and, perhaps visit a ghost or two.
One could easily imagine the sounds of grinding metal and clangs of the blacksmith's hammer striking the huge anvil in the machine shop. In the gold room, the image of grimed men weighing out and sorting the buckets of gold was easy to conjure up.
Bear Creek was once a lively community where workers ate, slept and toiled during the long hours of the short summer mining season. It was the time when the famous likes of Joe Boyle, king of the Klondike, strutted the dusty streets.
Close to 40 families lived in the neat company-style houses. They had all the amenities of a southern town, including a school, church, volunteer fire department, tennis courts, curling rink and gardens in summer.
On the technical side, the corporation's machine shop was the best equipped north of San Francisco, until the 1950's, with its drill presses, band saws, high-frame hammers and forges. Anything could be made there for the company's gold dredges working on the creeks.
Engineers even produced their own oxygen and acetylene in a building next to the machine shop.
Today, when the tour guide takes you through the buildings, it feels like everyone left at a moment's notice. Even the old jacket hanging on a rusty hook suggests that maybe someone worked a shift, forgot their jacks and never came back to fetch it. On the grounds, the 40-ton spud and 12-foot gear (spare parts for one of the gold dredges) sit idle amongst the tall grass and fireweed.
When the Yukon Consolidated Gold Corporation gave up its operation in the Klondike, it virtually walked away from property and machines. A scrap dealer bought everything from the company at a bargain price. He reportedly made a tidy profit by selling the copper and bronze he stripped from the dredges.
Bear Creek was eventually rescued from certain decay by Parks Canada. The federal government has since restored some of the buildings. Klondike National Historic Sites uses many of the old warehouses to store some of its Dawson City artifacts.
In 1987, a non-profit organization called Heritage North took on the task of conducting guided tours through the ghost town. It is the society's mandate to work in co-operation with the national parks system to preserve and develop the Yukon's history.
Since the first public tour, Bear Creek has come alive as one of the favourite sites for summer visitors to the Klondike area.
Last summer, 5,000 people toured the old community. Some of them had lived in Bear Creek at one time and had come back to reminisce about those years.
The co-ordinators of the tours hope that this summer just as many visitors will drop by. The site is open daily and there is a small admission charge.
Present day inhabitants of Bear Creek are a caretaker and a faint echo of the voices of the many men who worked and lived there during its 60-odd years of existence.
Charlotte Thompson(L) and Holly Reeves (R) with Brownie Troop
It wasn't difficult for the Dawson Brownies to find a worthy recipient of some extra funds that the Brownies had in their bank account. Approximately $200.00 was used to purchase toys for the Father Judge Memorial Nursing Station. According to Nurse in charge, Charlotte Thompson, toys do not get funded. They are available for Well Baby Clinics and to offer for play should a child have to remain in hospital overnight.
Thompson and her staff enjoyed selecting from the "Discovery Toys" catalogue. These toys and books are sold by Irene LaPrairie Lane who generously gave the Brownies a 10% discount.
Happy to be Back, But...
"Graveyards Are a Shambles"
Contributed
During the first week of June Otto Blehr revisited Dawson City for the first time since 1952. In 1952, Blehr had emigrated from Norway, and after a job as a car washer in Calgary, came north to serve as a deckhand on the steamer Casca, which together with the Keno and Klondike, was running between Whitehorse and Dawson that year.
The one-time deckhand, who left Canada after four years, is now an anthropologist and works for the Norwegian government as a research scholar. When he was attending a conference on hunting and gathering societies, held recently in Fairbanks, he learned that Air North was flying from Fairbanks into Dawson. He decided to take the opportunity and revisit the place that had once lured him north to the Yukon.
When asked if he found the city much changed, he answered by explaining how the arrival and departure of the "Casca" back in 1952 were events that brought the majority of the then-small town population down to the dock to watch. At that time, the boats were one of the few links to the outside. Today, he feels that the commitment of the Canadian Parks Service to the area has opened the city to the visitors, and thereby for commerce's exploitation. It is no secret of the fact that he believes that this form of exploitation also has its bad side. He admitted that he was happy to see that the living standard appeared to be higher, likely as a result of the visitor influx.
Only on one issue was he adamant; he finds that it is a great shame that the city does not pay more attention to their dead. He thinks the graveyards are in a shambles, including the small one for the Mounted Police. When it was pointed out that the graveyards are not the responsibility of the Canadian Parks Service, he insisted that they should be made so, and that some money going into building restoration should be allocated to cleaning the graveyards.
Despite this, Blehr felt the visit was worthwhile. To be back in Dawson and again to see the places he knew in his youth, and thought he would never see again, gave him deep satisfaction. He added "All the tourists in the world would not be able to spoil the happiness I feel."
Otto Blehr
The Yukon Child Care Act came into effect on July 1, 1990
To find out how the act will affect you as parents and caregivers...
GET THE FACTS ON THE ACT
Call the Child Care Services Unit
667-3002
Outside Whitehorse 1-800-661-0408
Yukon Health and Human Resources
Tony Penikett, Minister
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|
COMPUTATIONAL COMPLEXITY
ON
REGISTER MACHINES
by
Richard Simpson Bird
Thesis submitted for the degree of
Doctor of Philosophy of the
University of London
October 1973
Institute of Computer Science
Gordon Square, London WC1
ABSTRACT
This thesis investigates the computational complexity of programs based on their running time. A program consists of an arbitrary flowchart defined over some instruction set of assignments and test instructions, and computes a unique function. Each instruction set specifies an order code for a particular register machine, whose registers $A_1, A_2, \ldots$ can contain arbitrary integers. Each instruction set includes the basic set $I_O$:
assignments
\[
A_j := A_k + 1 \\
A_j := A_k \\
A_j := A_k - 1 \\
A_j := 0
\]
tests
\[
A_j = 0 \\
A_j \geq 0.
\]
It is shown that programs defined over just $I_O$ can be speeded up by an arbitrary linear factor. A formal demonstration of this result uses a new technique for verifying the correctness of equivalence preserving transformations. It is shown that this speed up property fails to hold if $I_O$ is augmented with the assignments
\[
A_i := A_j + A_k \\
A_i := A_j - A_k.
\]
It is shown that the problem of determining whether or not a given function can be computed within a certain time bound can be reduced to the problem of showing whether or not a different function can be computed in real time. Finally, criteria are established for showing that, under certain conditions, a function is not real time computable.
ACKNOWLEDGEMENTS
First and foremost, I would like to thank my supervisor and colleague, Michael Bell, for his help, advice and encouragement throughout the preparation of this thesis. My thanks are also due to Professor R.W. Hockney of the Computer Science Department, at the University of Reading, for allowing me time from academic duties to finish this work. Finally, my gratitude to Miss Margaret Moir for her patience in typing the manuscript, and my gratitude to my wife for everything.
## CONTENTS
| Chapter | Page |
|------------------------------------------------------------------------|------|
| CHAPTER 0: INTRODUCTION AND SUMMARY | 6 |
| CHAPTER 1: PROGRAMS, MACHINES, AND COMPILERS | 14 |
| 1.1 Programs | 14 |
| 1.2 Machines | 15 |
| 1.3 Translations and compilers | 18 |
| 1.4 Composition of compilers | 27 |
| 1.5 Modified programs | 29 |
| CHAPTER 2: BASIC DEFINITIONS AND RESULTS | 30 |
| 2.1 Register machines and their programs | 30 |
| 2.2 Functions computable within zero time | 40 |
| 2.3 Asymptotic notation | 43 |
| 2.4 Three basic theorems | 44 |
| 2.5 On-line programs | 47 |
| 2.6 The composition and addition of programs | 50 |
| 2.7 The inversion of programs | 55 |
| CHAPTER 3: THE SPEED UP THEOREM | 60 |
| 3.1 Finite sequences of assignments | 62 |
| 3.2 Halving the number of assignments | 74 |
| 3.3 Conversion to an $I_0$-program | 77 |
| 3.4 Concluding the proof | 79 |
| 3.5 A worked example | 82 |
| 3.6 Further results and discussion | 88 |
| Chapter | Title | Page |
|---------|----------------------------------------------------------------------|------|
| 4 | THE HONEST FUNCTIONS | 93 |
| | 4.1 Honesty and linear speed up | 94 |
| | 4.2 The real-time characterisation | 97 |
| | 4.3 Honesty and running time | 106 |
| | 4.4 Closure under composition | 116 |
| | 4.5 Subtraction of honest functions | 120 |
| 5 | NECESSARY CONDITIONS FOR ON-LINE COMPUTATION | 125 |
| | 5.1 The equivalence relation \(=_{n}\) | 126 |
| | 5.2 The equivalence relation \(v_{n}\) | 135 |
| | 5.3 The basic conditions | 138 |
| | 5.4 Applications | 143 |
| | 5.5 Instruction sets not possessing speed up | 147 |
| | 5.6 Further results | 151 |
| | 5.7 Structural characterisation of real time functions | 156 |
| A | MATHEMATICAL BACKGROUND FOR CHAPTER 1 | 161 |
| B | LIST OF SPECIAL SYMBOLS | 165 |
| | REFERENCES | 167 |
CHAPTER ZERO
INTRODUCTION AND SUMMARY
The present work is a contribution to model-theoretic computational complexity. A model for the computational process is defined (in our case, register machine programs) and studied with respect to some natural measure of complexity (in our case, the running time). Such studies have intrinsic mathematical interest, but are also important in two practical respects: as an aid to the investigation of particular problems, and as a basis for the exploration of optimisation procedures. We briefly discuss these areas.
In the investigation of the complexity of particular problems, two distinct types of analysis are required; Knuth [25] calls them local (or type A) analysis, and global (or type B) analysis. In the local analysis, an algorithm for the solution of a problem is given, and its performance is analysed under various input assumptions, e.g. worst case analysis. The criteria by which the performance is judged may be storage requirements or, more usually, some measure of the running time based on certain natural operational units such as the number of additions and multiplications in arithmetic algorithms, or the number of comparisons in sorting algorithms. Such an analysis serves to put an upper bound to the complexity of the problem. Among many examples of this type of analysis, one may mention: Strassen's algorithm for matrix multiplication (Strassen [37]), the Euclidean algorithm (Knuth [27], Collins [11]), algorithms for the recognition
of context free languages (e.g. Younger [39]), and more recently, algorithms for the selection problem (Blum et al [8]).
On the other hand, global analysis attempts to put a lower bound on the complexity of the given problem. Such an analysis depends on the means admissible for a solution, and hence on some firmly established computational model to which the complexity of the problem can be related. Since this type of analysis is often sensitive to small changes in the model's technology, it is important that the model be both natural and flexible. For example, the complexity of polynomial evaluation or matrix multiplication is naturally given in terms of a program model in which assignments involving multiplication and addition can appear, but a different instruction set would be proper in the study of how long it takes to multiply two numbers (e.g. Cook and Anderaa [13]). A computational model based on programs over a variety of instruction sets appears to be both natural and flexible. By studying it, one hopes to develop general techniques for estimating lower complexity bounds. (Chapter 5 contains an example of such a technique). In contrast, it is felt that for many problems, computational models based on Turing machines fail to meet the criteria mentioned above. The language of Turing machines is not a particularly natural model of real programming languages, and the basic mode of operation is not easily augmented to correspond to real operational units. Furthermore, some of the Turing machine complexity measures, such as the number of tape reversals (Hartmanis [20]) appear difficult to relate to actual programming situations. Of course, most models have features in common, and in the axiomatic development of computational complexity (e.g. Blum [7]
McCreight [30], it is precisely these features that are brought to light.
The second use of model-based complexity studies is in the investigation of efficiency increasing program transformations, which McCarthy [29] lists as one of the goals of a mathematical theory of computation. Here, the object is to describe translations which transform programs into other equivalent programs, but at the same time increase some measure of the program's performance, possibly at the expense of another (e.g. Allen [2], Marill [28], Aho and Ullman [1], Hopcroft and Ullman [27]). It is an important problem to discover the nature of these trade-off relationships. (Chapter 3 contains an example of such a transformation).
The present work contains an investigation of the computational complexity of programs based on their running time. Each program consists of an arbitrary flowchart defined over some specified set of assignments and test instructions and computes a unique (partial number-theoretic) function. The instruction set is regarded as an order code for a particular machine. Thus the basic framework is the very natural one suggested by Scott [35], in which programs and machines are treated as distinct but closely related concepts, and the notion of computable function, rather than decidable set or enumerable sequence is given prime importance. Each machine possesses the same basic hardware consisting of a denumerable number of registers each of which can contain an arbitrary integer, and is therefore called a register machine.
The first comprehensive study of register machines was given by Shepherdson and Sturgis [36], and concentrated mainly on a particular
machine (the URM) which had an order code containing instructions for incrementing and decrementing a register, copying one register into another, initialising a register to zero, and testing for zero. (A precise description of this instruction set is given in Chapter 2). They showed that such programs could compute just the class of partial recursive functions. Minsky [33] showed that with suitable coding of the input and output, only two registers were in fact needed. Cleave [9] studied time-limited complexity classes of register machine programs, based on a somewhat less natural definition of running time than the one we use, relating them to the Grzegorzyk [18] hierarchy of classes of recursive functions. Elgot and Robinson [14] introduced the idea of a stored program register machine, and the complexity of this model has recently been investigated by Hartmanis [19]. Fischer, Meyer and Rosenberg [16], [17], studied an automata-theoretic version of register machines, concentrating on language recognition and sequence generation. Some of the results in the present work, parallel and extend the work in these last two papers. Cobham [10] also studied sequence generation based on a register machine model.
Meyer and Ritchie [31] studied register machine programs based on a more restrictive control mechanism than that given by an arbitrary flowchart (effectively, the Fortran DO-loop), and this work was extended by Constable and Borodin [12], who explored the relative efficiency of flowchart languages and DO-loop languages.
The computational model which has been studied the most is the Turing machine model. This study, which was initiated by Yamada [40] and Hartmanis and Stearns [21] now has a large literature (see the
We now summarize the main results presented in the thesis.
Chapter 1 is of a rather different nature than the other chapters, and consists of a modified version of Bird [4] on the subject of compilers.
A number of theorems in the present work are proved in the same manner; a translation is described which converts an arbitrary program or programs into another program with certain desirable properties. Usually, although not always, the translated program is equivalent to the original one, i.e. it computes the same function. In such a case, we call the translation a compiler. One major difficulty arises about the description of compilers: since we are proving theorems and not just writing software, it must somehow be proved that the compilers are correct, i.e. do produce equivalent object programs. In some simple cases, this is obvious from an informal description of the translation, and a formal demonstration of correctness would be unnecessarily pedantic. In other cases, the compilers may be quite complicated, and it is necessary to make use of some formalism for describing translations, and appeal to some general verification technique. This problem arises especially in Chapter 3, where compilers are defined which make heavy use of 'label logic' to control the flow of computation.
Accordingly, Chapter 1 is devoted to establishing just such a formalism and verification technique. The main result, the compiler theorem, gives five conditions the conjunction of which is sufficient
to verify that a given translation is indeed a compiler. The mathematical background necessary to understand the details of the proof is given separately in Appendix A. The compiler theorem can be invoked to formally prove the correctness of all compilers described in the present work.
Chapter 2 introduces, in more detail, the models to be studied. Some straightforward consequences of the definitions are proved, and three useful program transformations (addition, composition, and inversion) are described.
In Chapter 3, we prove a speed up theorem for programs defined over the original instruction set described by Shepherdson and Sturgis (i.e. URM programs). This theorem says that it is always possible to translate a given program into another equivalent one which runs twice as fast. By applying the translation a number of times, it is therefore possible to speed up the running time of any program by an arbitrary linear factor. Speed up theorems of this sort are by no means new, but the author feels that their importance has been underestimated in the past. This is partly because the linear speed up theorem was first proved for Turing machines, and these machines only possess speed up of a very trivial sort, essentially reducing to: given a program $P_1$ for a Turing machine $T_1$ (which uses an alphabet of $k$ symbols), an equivalent program $P_2$ for another Turing machine $T_2$ (which uses $2k$ symbols) can be found. In other words, the underlying hardware can be changed. More interesting is the question of whether an equivalent program $P_2$ for the same machine $T_1$ can be found; but for Turing machines this is not possible.
The proof of speed up for the Shepherdson and Sturgis instruction set is not trivial. Fischer, Meyer and Rosenberg [16] prove, in a different setting, a speed up theorem for a subset of these instructions. It is an interesting problem to explore the nature of the boundary between instruction sets that possess speed up, and those that do not. As a consequence of a general theorem in Chapter 5, it is proved that if the SS instruction set is augmented with instructions for adding and subtracting the contents of two registers, then the resulting set does not possess speed up. It is important to mention that the new set possesses exactly the same input and output instructions as the original; were this not the case, the proof that speed up is impossible would be trivial. Using the same technique, it is possible to show that if the SS set is given the ability to address registers indirectly through index registers, then the resulting instruction set again does not possess speed up. This last result can also be proved by a straightforward diagonalisation argument, but such arguments are not used in this work.
The main result of Chapter 4 shows that to a large extent the study of time-limited computations of register machine programs can be reduced to the study of real time computations, i.e. where the running time is bounded by a linear function of the input. More precisely, we show that, under certain restrictions on $t$, the following two statements are equivalent for an arbitrary function $f$:
(i) $f$ is computable within time $t$,
(ii) $\lambda x.f(\max y[x > t(y)])$ is real time computable.
The restriction on $t$ is that it should be superhonest, and Chapter 4
also contains a discussion of this class of functions.
In Chapter 5, we give a general technique for establishing lower bounds on the time for the computation of given functions. The results, which extend those of [17], can be used to show that there is a slowly increasing function which cannot be computed, no matter what instruction set is specified, in under $\varepsilon x$ steps for each input $x$, where $\varepsilon$ is some fixed positive real number. This enables us to prove that certain instruction sets cannot possess the speed up property.
CHAPTER ONE
PROGRAMS, MACHINES, AND COMPILERS
This chapter presents, under a fairly general definition of program and machine (similar in spirit to Scott [35]), a technique for defining compilers and proving them correct. Here, a compiler simply means a translation between programs which preserves equivalence in the sense that corresponding source and target programs compute the same function. The compiler theorem (Theorem 1.1), which is used extensively in subsequent chapters, gives certain conditions, the verification of which is sufficient to demonstrate that a specified translation does indeed preserve equivalence. Similar but somewhat less general conditions are given in Milner [32] and Knuth [26, Ex.1.1.3]. The proof of the theorem depends heavily on a certain induction principle for establishing equality between recursively defined partial functions and the necessary mathematical background and notation is given, for convenience, separately in Appendix A.
§1. Programs
The basic components of programs are labelled instructions. The space $I$ of labelled instructions is defined with respect to three sets of identifiers:
$L$ a set of label identifiers,
$F$ a set of function identifiers,
$T$ a set of test identifiers.
Each instruction \( i \in I \) has one of the forms
\[
\ell: f \rightarrow \ell'
\]
or
\[
\ell: t \rightarrow \ell', \ell'',
\]
where \( f \in F, t \in T, \) and \( \ell, \ell', \ell'' \in L. \) The label which appears to the left of the colon sign in an instruction \( i \) is called the label of \( i, \) and is denoted by \( \lambda(i). \) The precise meaning of an instruction depends on specifying a machine, as we shall see, but the above forms are intended to suggest the Algol-like equivalents:
\[
\ell: \text{do } f \text{ then goto } \ell',
\]
and
\[
\ell: \text{if } t \text{ then goto } \ell' \text{ else goto } \ell''.
\]
A program \( P \) is any finite subset of \( I \) for which the following condition holds:
for all \( i, j \in P, \) if \( \lambda(i) = \lambda(j) \) then \( i = j. \)
Thus a program is a finite set of instructions each of which possesses a different label.
The collection of programs over \( I \) is denoted by \( P(I), \) and the set \( \{\lambda(i): i \in P\} \) by \( \lambda(P). \) We shall say that \( \ell \) is a terminal label of \( P \) if \( \ell \) is referenced by \( P \) (i.e. is contained in the right hand part of some instruction of \( P), \) but \( \ell \) is not in \( \lambda(P). \)
§2. Machines
A machine \( M = M(L, F, T) \) is defined when the following objects are given:
1. an input set $X$,
2. an output set $Y$,
3. a memory set $V$,
4. an input function $i_M : X \rightarrow V$,
5. an output function $O_M : V \rightarrow Y$,
6. for each $f \in F$, a function $f_M : V \rightarrow V$,
7. for each $t \in T$, a predicate $t_M : V \rightarrow \{\text{true, false}\}$,
8. a particular element $\text{start}$ of $L$, called the initial or start label.
The transition function $\mu$ of $M$ is a function
$$\mu : I \rightarrow [(L \times V) \rightarrow (L \times V)]$$
with the definition
$$\mu(i)(\ell, v) = (\ell', f_M(v)) \quad \text{if} \quad i = \ell : f \rightarrow \ell'$$
$$= (\ell', v) \quad \text{if} \quad i = \ell : t \rightarrow \ell', \ell''$$
and $t_M(v) = \text{true}$,
$$= (\ell'', v) \quad \text{if} \quad i = \ell : t \rightarrow \ell', \ell''$$
and $t_M(v) = \text{false}$,
$$= \text{undefined}, \text{otherwise}.$$
Note this definition implies that the execution of a test does not change the current value of the memory set.
It is convenient in the sequel to modify the input and output functions, by defining
1. $\text{in} : X \rightarrow (L \times V)$ by $\text{in}(x) = (\text{start}, i_M(x))$,
and 2. $\text{out} : (L \times V) \rightarrow Y$ by $\text{out}(\ell, v) = O_M(v)$.
Suppose that $P$ is a given program, and $M$ is a given machine. In order to describe the function $fP$ computed by $P$ on $M$, we first define two useful functions:
(a) $\theta: P(I) \rightarrow [(L \times V) + \{\text{true}, \text{false}\}]$
by $\theta(P)(l, v) = \text{true}$ if $l \in \lambda(P)$,
= false otherwise,
and (b) $\phi: P(I) \rightarrow [(L \times V) \rightarrow (L \times V)]$, recursively by the equation
$\phi(P) = (\theta(P) \rightarrow \phi(P)) \cdot \bigcup_{i \in P} \mu(i), 1)$.
(For the meaning of $\bigcup$ see Appendix A). Here, $1$ denotes the identity function on $L \times V$. The definition of $\mu$ guarantees that $\{\mu(i): i \in P\}$ is a set of disjoint functions provided $P$ is a well formed program, and so the upper bound is defined.
The function $fP: X \rightarrow Y$ is now given by the equation
$fP = \text{out} \cdot \phi(P) \cdot \text{in}$.
Thus $fP(x)$ expresses the result of executing $P$ on $M$ with initial value $i_M(x)$ of the memory set, beginning with the instruction labelled start, and proceeding instruction by instruction, as determined by the transition function, until an element $(l, v)$ of $L \times V$ is reached, if it ever is, where no instruction of $P$ has the label $l$, in which case $fP(x) = O_M(v)$.
Having established these preliminaries, we now proceed to the main definitions and theorem.
§3. Translations and compilers
A translation is a procedure for transforming programs into other programs. The translation may be defined by a step by step process in which individual instructions of a source program are translated into subprograms of the target program, or possibly by a more general process in which subprograms of the source program are translated as a whole. In general, corresponding source and target programs need not be intended for the same machine, but for the purposes of this thesis we can suppose that they are.
In order to ensure that the set of instructions produced by a translation forms a program, the following definitions are adopted.
1. A translation is a mapping $\Sigma : \Pi \rightarrow P(I)$, where $\Pi$ is a partition of $I$ consisting of programs (i.e. a collection of disjoint subsets of $I$, each of which is a program, and whose union is $I$), for which the following condition holds:
for all $S_1, S_2 \in \Pi$, if $\lambda(S_1)$ and $\lambda(S_2)$ are disjoint sets, then so are $\lambda(\Sigma S_1)$ and $\lambda(\Sigma S_2)$.
2. A translation $\Sigma : \Pi \rightarrow P(I)$ is applicable to a program $P$ if $P$ is the union of some of the sets in $\Pi$. In such a case, the collection $\{S : S \subseteq P, S \in \Pi\}$ partitions $P$ and is denoted by $\Pi_P$. It follows from the first definition that if $\Sigma$ is applicable to $P$, then the set
$$\Sigma(P) = \bigcup_{S \in \Pi_P} \Sigma(S)$$
is a well formed program.
3. A translation $\Sigma : \Pi \rightarrow P(I)$ is a step by step translation if $\Pi$ is the identity partition $\{(i) : i \in I\}$. Clearly, step by step translations are applicable to any program over $I$.
4. A translation $\Sigma : \Pi \rightarrow P(I)$ is called a compiler (for a machine $M$) if the equation
$$f(P) = f(\Sigma P)$$
holds for each program $P$ to which $\Sigma$ is applicable.
The compiler theorem can now be stated.
**Theorem 1.1** A sufficient condition for a translation $\Sigma : \Pi \rightarrow P(I)$ to be a compiler (for $M$) is that there exists a (possibly partial) function $\sigma : L \times V \rightarrow L \times V$ for which the following conditions hold:
(1) $\sigma \cdot \text{in} = \text{in}$,
(2) $\phi(\Sigma S)$ maps $D$ into $D$ for all $S \in \Pi$, where $D = \text{domain} (\sigma)$,
(3) $\text{out} \cdot \sigma = \text{out}$ on $D$,
(4) $\theta(S) \cdot \sigma = \theta(\Sigma S)$ on $D$, for all $S \in \Pi$,
(5) $\phi(S) \cdot \sigma = \sigma \cdot \phi(\Sigma S)$ on $D$, for all $S \in \Pi$.
(An equation $f = g$ holds on $D$ if for all $x \in D$, $f(x) = g(x)$).
**Remark.** The conditions are best explained by pictures. Conditions (1) and (3) say that the following diagrams commute:
and conditions (2) and (5) entail the commutativity of
The proof of the theorem depends on three main lemmas. We suppose that an arbitrary program $P$ is given, to which $\Sigma$ is applicable, and that $Q$ denotes the translated program $\Sigma P = \bigcup_{S \in \Pi} ES$. As an aid to readability, we shall sometimes write functional application without parentheses, i.e. $\phi P$ for $\phi(P)$ etc.
**Lemma 1.2** Let $\psi P$ and $\psi Q$ be recursively defined by the equations
$$\psi P = (\theta P + \psi P \cdot \bigsqcup_{S \in \Pi_P} \mu(S), 1),$$
\[ \psi Q = (\theta Q + \psi Q \cdot \bigcup_{S \in II_P} \mu(\Sigma S), 1), \]
where for any program \( R \)
\[ \mu(R) = (\theta R + \phi R, \Omega). \]
Then
\[ \psi P \cdot \sigma = \sigma \cdot \psi Q \text{ on } D. \]
(For the meaning of \( \Omega \) see Appendix A).
**Lemma 1.3** With the above definitions, \( \psi Q \) maps \( D \) into \( D \).
The last lemma is independent of the concept of a translation.
**Lemma 1.4** Let \( R \) be any program, and \( II_R \) any partition of \( R \).
If \( \psi R \) is recursively defined by the equation
\[ \psi R = (\theta R + \psi R \cdot \bigcup_{S \in II_R} \mu(S), 1), \]
then \( \psi R = \phi R \).
Assuming the truth of these lemmas, Theorem 1.1 follows easily.
We have
\[ fP = \text{out} \cdot \psi P \cdot \text{in} \quad \text{by definition}, \]
\[ = \text{out} \cdot \psi P \cdot \text{in} \quad \text{by Lemma 1.4}, \]
\[ = \text{out} \cdot \psi P \cdot \sigma \cdot \text{in} \quad \text{by condition (1) on } \Sigma, \]
\[ = \text{out} \cdot \sigma \cdot \psi Q \cdot \text{in} \quad \text{by Lemma 1.2}, \]
\[ = \text{out} \cdot \psi Q \cdot \text{in} \quad \text{by condition (3) and Lemma 1.3}. \]
Now, \( \psi_Q = (\theta Q + \psi_Q \cdot \bigsqcup_{\text{Sel}_P} \mu(\Sigma S), 1) \)
\[= (\theta Q + \psi_Q \cdot \bigsqcup_{\text{Sel}_Q} \mu(S), 1),\]
where \( \Pi_Q \) is the partition \( \{\Sigma S : \text{Sel}_P\} \) of \( Q \). Hence Lemma 1.4 can be applied again, and we have
\[fP = \text{out} \cdot \phi Q \cdot \text{in} = fQ.\]
**Proof of Lemma 1.2**
First, it follows from condition (4) on \( \Sigma \) that
\[ \theta P \cdot \sigma = (\exists \text{Sel}_P) \theta S \cdot \sigma \]
\[= (\exists \text{Sel}_P) \theta(\Sigma S) \text{ on } D \]
\[= \theta Q \text{ on } D. \]
Second, it follows from condition (5) on \( \Sigma \) that
\[ \mu(S) \cdot \sigma = (\theta S \cdot \sigma + \phi S \cdot \sigma, \Omega) \]
\[= (\theta(\Sigma S) + \sigma \cdot \phi(\Sigma S), \Omega) \text{ on } D \]
\[= \sigma \cdot \mu(\Sigma S) \text{ on } D. \]
Having established these facts, we can prove by induction that
\[ \psi_k^P \cdot \sigma = \sigma \cdot \psi_k^Q \text{ on } D \text{ for all } k \geq 0. \]
The assertion is clearly true for \( k = 0 \), since both \( \psi_0^P \) and \( \psi_0^Q \) are \( \Omega \), and the induction step is
\[ \psi_{k+1}^P \cdot \sigma = (\theta P \cdot \sigma + \psi_k^P \cdot \bigsqcup \mu(S) \cdot \sigma, \sigma), \]
where the upper bound is taken over all $S \in \Pi_P$,
$$= (\theta Q + \psi_k^P \cdot \sigma \cdot \bigsqcup \mu(\Sigma S), \sigma)$$
$$= (\theta Q + \sigma \cdot \psi_k^Q \cdot \bigsqcup \mu(\Sigma S), \sigma),$$
using the induction hypothesis. Since this last expression is just $\sigma \cdot \psi_{k+1}^Q$, the induction step is established.
**Proof of Lemma 1.3**
Using condition (2) on $\Sigma$, the assertion
$$\psi_k^Q \text{ maps } D \text{ into } D \text{ for all } k \geq 0,$$
can be proved by a similar induction argument. Since, for each $d \in D$ there exists a $k$ such that
$$\psi Q(d) \neq \Omega \implies \psi Q(d) = \psi_k^Q(d),$$
the lemma is proved.
The proof of Lemma 1.4 is more complicated and depends on four further lemmas. For shorthand, we denote
$$\bigsqcup_{i \in R} \mu(i) \text{ by } A \text{ and } \bigsqcup_{S \in \Pi_R} \mu(S) \text{ by } B.$$
**Lemma 1.5** If $i \in R$, then $\phi R \cdot \mu(i) \subseteq \phi R$.
Proof. \[ \phi R \cdot \mu(i) = (\theta R + \phi R \cdot \mu(i), \Omega) \quad \text{since } i \in R, \]
\[ = (\theta R + \phi R \cdot A, \Omega) \]
\[ \subseteq \phi R \quad \text{by definition of } \phi R. \]
Lemma 1.6 If \( S \subseteq R \), then \( \phi R \cdot \mu S \subseteq \phi R \).
Proof. We prove by induction that
\[ \phi R \cdot \phi_k S \subseteq \phi R \quad \text{for all } k \geq 0, \]
from which it follows that \( \phi R \cdot \phi S \subseteq \phi R \).
Since \( \mu S \subseteq \phi S \), the conclusion follows.
The assertion is clearly true for \( k = 0 \), and the induction step is
\[ \phi R \cdot \phi_{k+1} S = (\theta S + \phi R \cdot \phi_k S \cdot \bigsqcup_{i \in S} \mu(i), \phi R) \]
\[ \subseteq (\theta S + \phi R \cdot \bigsqcup_{i \in S} \mu(i), \phi R) \quad \text{by induction,} \]
\[ = (\theta S + \bigsqcup_{i \in S} \phi R \cdot \mu(i), \phi R) \]
\[ \subseteq (\theta S + \phi R, \phi R) \quad \text{by lemma 1.5 and the fact that } S \subseteq R. \]
Since
\[ (\theta S + \phi R, \phi R) \subseteq \phi R, \]
the induction is complete.
Lemma 1.7 If $S \in \Pi_R$, then $\psi R \cdot \phi S = \psi R$.
Proof. $\psi R \cdot \phi S = \psi R \cdot (\theta S + \mu S, 1)$ by definition of $\mu S$,
$$= (\theta S + \psi R \cdot \mu S, \psi R)$$
$$= (\theta S + \psi R \cdot B, \psi R),$$
since if $\Pi_R$ is a partition of $R$, then the set $\{\mu(S): S \in \Pi_R\}$ is a set of disjoint functions. The last expression is equal to
$$(\theta S + (\theta R + \psi R \cdot B, 1), \psi R)$$ since $\theta S$ implies $\theta R$,
$$= (\theta S + \psi R, \psi R)$$
$$= \psi R.$$
Lemma 1.8 If $i \in R$, then $\psi R \cdot \mu(i) \subseteq \psi R$.
Proof. Let $S$ be the unique member of $\Pi_R$ which contains $i$. Then
$$\psi R \cdot \mu(i) = \psi R \cdot \phi S \cdot \mu(i) \quad \text{by Lemma 1.7},$$
$$\subseteq \psi R \cdot \phi S \quad \text{by Lemma 1.5 since } i \in S,$$
$$= \psi R \quad \text{by Lemma 1.7 again}.$$
The assertion is clearly true for \( k = 0 \), and the induction step is
\[
\psi_{k+1} R = (\theta R \rightarrow \psi_k R \cdot B, 1)
\]
\[
\sqsubseteq (\theta R \rightarrow \phi R \cdot B, 1) \text{ by induction hypothesis,}
\]
\[
= (\theta R \rightarrow \bigcup_{S \in II_R} \phi R \cdot \mu S, 1)
\]
\[
\sqsubseteq (\theta R \rightarrow \phi R, 1) \text{ by Lemma 1.6,}
\]
\[
= \phi R.
\]
(b) \( \phi R \sqsubseteq \psi R \). Here, the induction step is
\[
\phi_{k+1} R = (\theta R \rightarrow \phi_k R \cdot A, 1)
\]
\[
\sqsubseteq (\theta R \rightarrow \psi R \cdot A, 1) \text{ by induction hypothesis,}
\]
\[
= (\theta R \rightarrow \bigcup_{i \in R} \psi R \cdot \mu(i), 1)
\]
\[
\sqsubseteq (\theta R \rightarrow \psi R, 1) \text{ by Lemma 1.8,}
\]
\[
= \psi R.
\]
The proof of Theorem 1.1 is finally complete. It can be shown by considering suitable counter examples that the theorem fails to hold if any of the five conditions is omitted.
In the next section, we consider the composition of translations.
§4. Composition of compilers
We say that a translation $\Sigma$ is a compiler under $\sigma$, if $\Sigma$ together with $\sigma$ satisfies the five conditions of Theorem 1.1. The following result is of interest, but is not used in the sequel.
**Theorem 1.9** Let $\Sigma: \Pi_1 \rightarrow P(I)$ and $\Lambda: \Pi_2 \rightarrow P(I)$ be two translations with the property that $\Lambda$ is applicable to $\Sigma(S)$ for each $S \in \Pi_1$. Suppose that $\Sigma$ is a compiler under $\sigma$, and $\Lambda$ is a compiler under $\delta$. Then the composition translation $\Delta \cdot \Sigma: \Pi_1 \rightarrow P(I)$, defined by
$$\Delta \cdot \Sigma(S) = \bigcup_{T \in \Pi_S} \Delta(T)$$
for each $S \in \Pi_1$, where
$$\Pi_S = \{T: T \in \Pi_2, T \subseteq \Sigma(S)\},$$
is a compiler under $\sigma \cdot \delta$.
**Proof.**
It is easy to verify that
(1) $\sigma \cdot \delta \text{ in} = \text{in}$.
For the other conditions, let $D = \text{domain } (\sigma \cdot \delta)$. It follows that $D \subseteq \text{domain } (\delta) = D(\delta)$ and that $\delta(d) \in \text{domain } (\sigma) = D(\sigma)$ for each $d \in D$. The proof that
(3) $\text{out} \cdot \sigma \cdot \delta = \text{out}$ on $D$,
is now straightforward. Next, if $S \in \Pi_1$ we have
\[ \theta(S) \cdot \sigma \cdot \delta = \theta(\Sigma S) \cdot \delta \text{ on } D, \]
\[ = (\exists T \in \Pi_S) \theta(T) \cdot \delta \text{ on } D, \]
\[ = (\exists T \in \Pi_S) \theta(\Delta T) \text{ on } D, \]
\[ = \theta(\Delta \cdot \Sigma(S)) \text{ on } D. \]
Thus
(4) \( \theta(S) \cdot \sigma \cdot \delta = \theta(\Delta \cdot \Sigma(S)) \text{ on } D \)
is established.
Next, using Lemmas 1.2 and 1.4, we have for each \( S \in \Pi_1 \) that
\[ \phi(\Sigma S) \cdot \delta = \delta \cdot \phi(\Delta \cdot \Sigma(S)) \]
on \( D(\delta) \), and hence on \( D \), since \( D \subseteq D(\delta) \). Thus
\[ \phi(S) \cdot \sigma \cdot \delta = \sigma \cdot \phi(\Sigma S) \cdot \delta = \sigma \cdot \delta \cdot \phi(\Delta \cdot \Sigma(S)) \text{ on } D, \]
which is just condition (5).
Finally, we must verify
(2) \( \phi(\Delta \cdot \Sigma(S)) \) maps \( D \) into \( D \)
for all \( S \in \Pi_1 \). Suppose, by way of contradiction, that for some \( S \in \Pi_1 \) and \( d \in D \), we have
\[ \phi(\Delta \cdot \Sigma(S))(d) \in D(\delta) - D. \]
It follows that
\[ \delta \cdot \phi(\Delta \cdot \Sigma(S))(d) \notin D(\sigma), \]
and so
\[ \phi(\Sigma S) \cdot \delta(d) = \delta \cdot \phi(\Delta \cdot \Sigma(S))(d) \notin D(\sigma). \]
But this contradicts the condition that \( \phi(\Sigma S) \) maps \( D(\sigma) \) into \( D(\sigma) \), since we know \( \delta(d) \in D(\sigma) \). Thus the final condition is verified, and the theorem is proved.
§5. Modified programs
It is often useful, when describing translations, to consider target programs that contain unconditional jump instructions. Unconditional jumps, which will be written in the form
\[ l: \rightarrow l' \]
can always be eliminated by systematic label conversion. Thus, if \( l: \rightarrow l' \) occurs as an instruction in a program \( P \), we can delete it and replace all references to \( l \) in \( P \) by references to \( l' \). Some care must be exercised in certain situations; for example, if both \( l: \rightarrow l' \) and \( l': \rightarrow l \) occur in program \( P \), all references to both \( l \) and \( l' \) must be converted to a reference to an infinite loop.
In fact, it is often convenient to assume that every program for a given machine contains a single initial jump
\[ \text{start}: \rightarrow l, \quad \text{for some} \quad l \in L, \]
where \( \text{start} \) is the initial label given for the machine, and that no program ever contains an instruction which can reference \( \text{start} \). This assumption, which enables the description of translations to be given more simply, entails no loss of generality.
CHAPTER TWO
BASIC DEFINITIONS AND RESULTS
In this chapter, register machines and their programs are described formally, and the definition of the running time of a program made precise (Section 1). As a consequence of the definition, certain programs may have a zero running time, and Section 2 characterises the class of functions such programs compute. Section 3 develops some useful notation on the relative growth of functions, and this is used in Section 4 to state some simple relationships between the function computed by a program and its running time. Section 5 considers the important notion of on-line programs, and Sections 6 and 7 describe some useful ways of combining and modifying programs.
§1. Register machines and their programs
The basic hardware of the machines which we shall study consists of a denumerable sequence of registers
\[ A_1, A_2, \ldots A_n, \ldots, \]
each of which is capable of containing an arbitrary positive or negative integer, including zero. We refer to \( n \) as the address of register \( A_n \). In addition, there are two special registers \( X \) and \( Y \), called the input register and output register respectively;
these can only contain non-negative integers. Thus our machines, when supplied with programs, compute partial 1-place number theoretic functions. This is not critical for the work that follows; only slight changes would be needed to deal with input and output registers that contain arbitrary strings of symbols over some finite alphabet, or both positive and negative integers.
In addition to these registers, the machines supply an **input function** and an **output function**, which respectively initialise a machine for a computation, and extract a final result.
(1) The input function loads a given non-negative integer in the register $X$, and sets all other registers to zero.
(2) The output function extracts the final contents of the output register $Y$ as the result of the computation.
Programs for these machines consist of arbitrary flowcharts made up out of the following objects:
Flowcharts, which are defined in the obvious way, can be represented, where convenient, as sets of labelled instructions (as in Chapter 1). Both representations of programs have their advantages; with flowcharts there is no need to make the decision
as to what labels to use, but sets of labelled instructions are most useful when describing transformations on programs.
The instruction set (or order code) of a machine determines what assignments and tests the program can use. For the most part, we shall not be concerned with exactly what instructions are allowed, except to make the following remarks.
(1) The only instructions involving the input and output registers are:
assignments \( X := X - 1 \quad Y := Y + 1 \)
tests \( X = 0 \).
These have the obvious interpretation - we assume that if the assignment \( X := X - 1 \) is executed when \( X \) is empty, then \( X \) is unchanged - and ensure that each machine treats the input register as a read-only register, and the output register as a write-only register.
(2) Each instruction set contains the basic instruction set \( I_0 \), where \( I_0 \) consists of:
assignments \( A_i := A_j + 1 \quad A_i := A_j - 1 \)
\( A_i := A_j \quad A_i := 0 \)
tests \( A_i = 0 \quad A_i \geq 0 \),
where \( i \) and \( j \) are arbitrary positive integers. These instructions, which effectively define the original Shepherdson-Sturgis set, have their obvious interpretation, and their effect is not formally defined.
(3) Each instruction set defines programs which are relocatable. This term is defined precisely later, but means roughly that we can always modify programs so that they do not refer to certain areas of store, and so do not interfere with other programs which may be running at the same time.
When an instruction set is specified, the machine is completely defined. Where necessary, we refer to a program defined over an instruction set $I$, as an $I$-program.
When a program $P$ is executed (on its register machine) a function $f_P$ is defined, and we say $P$ computes $f_P$. A formal definition of how the values of this function are obtained is not given; sufficient details can be found in Chapter 1. We shall be concerned throughout only with programs that compute total functions. For each $I$, the class of $I$-programs which compute total functions is, of course, undecidable. Most of the results are proved constructively, i.e. usually by showing that a given program or programs can be transformed in some fashion in order to satisfy certain properties, and consequently can be given a valid interpretation when the programs do not compute total functions.
We say that program $P$ is equivalent to program $Q$ if $f_P = f_Q$.
Along with $f_P$, each program $P$ defines another (total) function $t_P$, called the running time of $P$, which is defined as follows:
\[ t_P(x) = \text{the total number of work register instructions} \]
(both assignments and tests) executed by \( P \), when run on input \( x \).
This measure of the complexity of a program is the only one with which we shall be concerned (Bird [5] [6] deals with space-restricted register machine computations). It is to be noted that input and output instructions are not counted towards the running time of a program. This assumption has certain convenient consequences, and is counter balanced by the fact that such instructions can only read the input and store the output.
Occasionally we shall use the terms instantaneous description, and computation sequence. An instantaneous description of a point during a computation of a program \( P \) is a vector,
\[
(\ell, x, y, a_1, a_2, \ldots),
\]
which represents the fact that \( P \) is just about to execute the instruction with label \( \ell \), (in some consistent labelling of the instructions of \( P \)) and the current contents of the registers \( X, Y, A_1, \ldots \) etc., are \( x, y, a_1, a_2, \ldots \) etc. A computation sequence is a sequence of instantaneous descriptions. A register \( A_j \) is referred to by a program \( P \) if there is a computation sequence of \( P \) with some input, in which a label of an instruction involving register \( A_j \) occurs.
A set of instructions \( I \) is said to be relocatable if, given any two programs \( P \) and \( Q \) defined over \( I \), we can find programs \( P' \) and \( Q' \), equivalent to \( P \) and \( Q \) respectively, such that no
work register referred to by $P'$ is referred to by $Q'$ and vice versa.
Finally, two simple translations. Sometimes it is useful to suppose that the input instructions of a program only ever occur in the form
\[
\begin{array}{c}
X=0 \\
\downarrow \\
NO \\
\downarrow \\
X:=X-1
\end{array}
\]
that is, every input test is immediately followed by an $X:=X-1$, and each such instruction is always preceded by a test. A program with this property is said to be in standard input form. We can always convert a program into an equivalent one in standard input form. This is fairly obvious, but we give details of the formal translation as it indicates the general manner of describing translations which we shall employ.
The step by step compiler $\Delta$ which achieves the desired result, produces instructions with labels (apart from start) of the form
\[(\alpha, m),\]
where $m$ is arbitrary, and $\alpha = 0$ or $1$. The translation $\Delta$ satisfies the five conditions of the compiler theorem under the mapping $\delta$, where
\[ \delta(\text{start}, x, y, a_1, a_2, \ldots) = (\text{start}, x, y, a_1, a_2, \ldots) \]
and
\[ \delta((a; m), x, y, a_1, a_2, \ldots) = (m, x+a, y, a_1, a_2, \ldots) \]
\( \Delta \) is given by:
1. \( \Delta [\text{start}: \rightarrow m] = [\text{start}: \rightarrow (0, m)] \)
2. \( \Delta [m: X=0 \rightarrow m', m''] = \{(0, m): X=0 \rightarrow (0, m'), \ell_m, \ell_m': X:=X-1 \rightarrow (1, m''), (1, m): \rightarrow (1, m'')\} \)
3. \( \Delta [m: X:=X-1 \rightarrow m'] = \{(0, m): X=0 \rightarrow (0, m'), \ell_m, \ell_m': X:=X-1 \rightarrow (0, m'), (1, m): \rightarrow (0, m')\} \)
4. \( \Sigma[\cdot] = \bigcup_{\alpha} i_{\alpha} \), for all other instructions \( i \), where if
\( i := m: f \rightarrow m' \), then \( i_{\alpha} = (\alpha, m): f \rightarrow (\alpha, m') \) or
if \( i := m: t \rightarrow m', m'' \), then \( i_{\alpha} = (\alpha, m): t \rightarrow (\alpha, m'), (\alpha, m'') \).
If \( \Delta(P) = Q \), then \( P \) is equivalent to \( Q \) since \( \Delta \) is a compiler.
\( Q \) contains unconditional jumps which can be eliminated by label conversion (Section 1.5), and is clearly in standard input form.
The verification that \( \Delta \) satisfies the five conditions of the compiler theorem is left to the reader. Note that in (3), we assume that the effect of executing \( X:=X-1 \), when \( X \) is empty, is to leave \( X \) unchanged.
When all the input and halt instructions of a program occur in the form
We say that the program is on-line. On-line programs possess a number of different characteristics to ordinary programs and are very important in the sequel. Section 2.5 goes into more detail about them.
The last translation of this section is concerned with the instruction set $I_0$. We prove that for any $I_0$-program $P$ we can find another equivalent $I_0$-program $Q$ which stores only non-negative integers in its work registers (and so makes no use of the test $A_1 \geq 0$). $Q$ is a step by step simulation of $P$ in which only the absolute values of the contents of the registers is stored and the labels of $Q$ contain information as to the proper sign of these contents. More formally, suppose $k$ is the maximum address referred to by $P$. The step by step translation $\Delta_k$ for which $\Delta_k(P) = Q$, produces instructions with labels (apart from start) of the form
$$(\alpha, m)$$
where $m$ is arbitrary, and $\alpha = (\alpha_1, \alpha_2, \ldots, \alpha_k)$ with $\alpha_j = 0$ or 1. The mapping $\delta_k$, which is associated with $\Delta_k$, is
\[ \delta_k (\text{start}, x, y, a_1, \ldots, a_k) = (\text{start}, x, y, a_1, \ldots, a_k) \]
\[ \delta_k ((\alpha, m), x, y, a_1, \ldots, a_k) = (m, x, y, b_1, \ldots, b_k), \]
where \( b_j = a_j \) if \( \alpha_j = 0 \), and \( b_j = -a_j \) if \( \alpha_j = 1 \).
\( \Delta_k \) is given by:
(1) \( \Delta_k [m: A_i := A_j + 1 + m'] \)
\[ = \bigcup_{\alpha_j = 0} \{(\alpha, m): A_i := A_j + 1 + (\alpha', m')\} \]
\[ \bigcup_{\alpha_j = 1} \{(\alpha, m): A_j = 0 \Rightarrow r_m, r'_m \}
\[ r_m: A_i := A_j + 1 + (\alpha', m') \]
\[ r'_m: A_i := A_j - 1 + (\alpha'', m') \]
where \( \alpha'_r = \alpha''_r = \alpha_r \) for \( r \neq i \), \( \alpha'_i = 0 \) and \( \alpha''_i = 1 \).
(2) \( \Delta_k [m: A_i := A_j - 1 + m'] \)
\[ = \bigcup_{\alpha_j = 1} \{(\alpha, m): A_i := A_j + 1 + (\alpha', m')\} \cup \]
\[ \bigcup_{\alpha_j = 0} \{(\alpha, m): A_j = 0 \Rightarrow n_m, n'_m \}
\[ n_m: A_i := A_j + 1 + (\alpha', m'), \]
\[ n'_m: A_i := A_j - 1 + (\alpha'', m') \}
where \( \alpha'_r = \alpha''_r = \alpha_r \) for \( r \neq i \), \( \alpha'_i = 1 \) and \( \alpha''_i = 0 \).
(3) \( \Delta_k [m: A_i \geq 0 \rightarrow m', m''] = \bigcup_{\alpha_i=0} \{(\alpha, m): + (\alpha, m')\} \cup \bigcup_{\alpha_i=1} \{(\alpha, m): A_i = 0 \rightarrow (\alpha, m'), (\alpha, m'')\} \)
(4) \( \Delta_k[i] = \bigcup_{\alpha} i_{\alpha}, \text{ for all other instructions } i. \)
In the definition, \( \bigcup_{\alpha_j=0} \) means the union over all \( \alpha \) for which \( \alpha_j = 0 \); similarly for \( \bigcup_{\alpha_j=1} \).
The verification that \( \Delta_k \) satisfies the conditions of the compiler theorem under \( \delta_k \) is again left to the reader.
§2. Functions computable within zero time
Programs, which consist only of input and output instructions, have zero running time and compute functions of a simple but important type: the ultimately linear functions.
A function \( f \) is said to be **ultimately linear**, if there exist integers \( c, d, \) and \( x_0 \) with \( c > 1 \), such that
\[
f(x+c) = f(x)+d \quad \text{for all} \quad x \geq x_0.
\]
If \( d = 0 \), then \( f \) is also said to be **ultimately periodic**.
**Theorem 2.1** A function \( f \) can be computed by a program with zero running time if and only if \( f \) is ultimately linear.
**Proof.** (a) **necessity.** Suppose \( f \) is computed by \( P \) such that \( t_P(x) = 0 \) for all \( x \), and suppose \( P \) contains \( k \) distinct instructions of the form \( X:=X-1 \). If for no input does \( P \) obey more than \( k \) such instructions, then for each input \( x > k \), the computation sequence of \( P \) with input \( x \) will be identical, and so
\[
f(x+1) = f(x) \quad \text{for} \quad x > k,
\]
whence \( f \) is ultimately periodic. If, on the other hand, \( P \) does obey more than \( k \) such instructions for some input \( x_0 \), then some instruction will be executed at least twice. Let \( I \) be the sequence of instructions executed between the two occurrences of the first
such repeated instruction. Since the running time of $P$ is zero, no work register instruction appears in $I$, and so the computation of $P$ with input $x_0$ will continue to cycle on $I$ until the input is reduced to zero. Moreover, exactly the same situation will arise for the computation of $P$ with an input $x > x_0$. If $c$ is the number of instructions of the form $X := X - 1$ and $d$ is the number of output instructions contained in $I$, then it follows that
$$f(x + c + 1) = f(x) + d \quad \text{for} \quad x > x_0,$$
whence $f$ is ultimately linear.
(b) **sufficiency**. Suppose that $f(x + c) = f(x) + d$ for $x > x_0$. The following program computes $f$ and has zero running time:
\[
\begin{align*}
X &= 0 \\
Y &= Y + f(0) \\
X &= X - 1 \\
X &= 0 \\
Y &= Y + f(x_0 - 1) \\
X &= X - 1 \\
X &= 0 \\
Y &= Y + f(x_0) \\
X &= X - 1 \\
X &= 0 \\
Y &= Y + f(x_0 + c - 1) \\
X &= X - 1 \\
Y &= Y + d
\end{align*}
\]
Hence the theorem is proved.
We note, for later use, the following fact about the ultimately linear functions.
**Lemma 2.2** If \( f \) is ultimately periodic, then \( \Sigma f \) is ultimately linear.
**Proof.** Suppose \( f(x+c) = f(x) \) for \( x \geq x_0 \),
whence
\[
f(x) = f(x_0 + [x-x_0, c]) \text{ for } x \geq x_0.
\]
It follows that
\[
\sum_{y=x+1}^{x+c} f(y) = \sum_{y=x_0}^{x_0+c-1} f(y) = d \text{ say},
\]
for \( x \geq x_0 \). Restated, this says
\[
(\Sigma f)(x+c) = (\Sigma f)(x) + d \text{ for } x \geq x_0,
\]
whence \( \Sigma f \) is ultimately linear.
§3. **Asymptotic notation**
Before proceeding further, it is useful to describe some notation for comparing the rate of growth of functions.
(1) We shall write \( f \ll g \) to mean that there exists a positive constant \( c \) and an integer \( x_0 \) such that
\[
f(x) \ll cg(x) \text{ for all } x > x_0.
\]
(2) We shall write \( f \preceq g \) to mean that \( g \preceq f \) is false.
(3) We shall write \( f \sim g \) to mean both \( f \preceq g \) and \( g \preceq f \).
The notation \( f \preceq g \) is equivalent to the more usual mathematical notation \( f = O_g \); each has its advantages, but the former is more natural in that it emphasizes the transitive nature of \( \preceq \). It is straightforward to show that
(a) \( f \preceq g \) if and only if \( \liminf_{x \to \infty} \frac{f(x)}{g(x)} = 0 \).
Further facts noted without proof are:
(b) \( \preceq \) is reflexive and transitive,
(c) If \( f \preceq h \) and \( g \preceq h \), then \( f+g \preceq h \).
The notation will frequently be abused to the extent that we shall write \( f(x) \preceq x \) etc., to mean more precisely that \( f \preceq i \), where \( i \) is the identity function.
§4. Three basic theorems
We now prove three basic results which will be referred to subsequently as the almost everywhere theorem, the minimal growth rate theorem, and the size theorem.
**Theorem 2.3** Suppose \( P \) is a program such that
\[
t_P(x) \leq f(x) \quad \text{for all } x > x_0,
\]
where \( f \) is some specified function. Then we can find a program \( Q \), equivalent to \( P \) and on-line if \( P \) is, such that
\[
t_Q(x) \leq f(x) \quad \text{for all } x.
\]
Proof. Let \( c = \max_{x \in X_0} t_P(x) \). Program \( P \) can be converted into an equivalent program \( Q \) for which \( t_Q(x) = 0 \) if \( t_P(x) < c \), and \( t_Q(x) = t_P(x) \) if \( t_P(x) > c \). It follows from this that \( t_Q(x) \leq f(x) \) for all \( x \). We give only an informal description of \( Q \).
\( Q \) simulates \( P \) in a step by step fashion, except that, in any computation, \( Q \) delays the execution of the first \( c \) work register instructions executed by \( P \). These instructions are remembered in the label structure of \( Q \), and are only executed when the \((c+1)\)st work register instruction of \( P \) is about to be executed. \( Q \) can clearly be made on-line if \( P \) is, and the running time estimate of \( Q \) follows at once.
Theorem 2.4 If \( P \) is a program such that \( t_P(x) \ll x \), then \( f_P \) is ultimately linear.
Proof.
Suppose that \( P \) contains \( k \) instructions of the form \( X := X - 1 \). By hypothesis, there is an integer \( x_0 \), as large as we please and hence greater than \( k \), such that \( t_P(x_0) < \left\lfloor \frac{x_0}{k} \right\rfloor \). Consider the computation sequence of \( P \) with input \( x_0 \). If this sequence contains less than \( x_0 \) instructions of the form \( X := X - 1 \), then \( f_P \) is ultimately periodic by the same reasoning as Theorem 2.1. On the other hand, if this sequence contains \( x_0 \) such instructions, then it must contain two occurrences of the same input instruction, between which no work register instruction occurs. To see this, suppose \( n > 0 \) is such that \( nk \leq x_0 < (n+1)k \). If the above situation does not arise, then \( t_P(x_0) \geq n = \left\lfloor \frac{x_0}{k} \right\rfloor \) contrary to hypothesis. The rest of the proof is now identical with Theorem 2.1.
Theorem 2.4 is the best possible in the sense that one can construct a program $P$ for which $t_P(x) \leq x$, such that $f_P$ is not an ultimately linear function; for example, $f_P = a$, where
$$a(x) = (x \text{ even} + x, 0).$$
In fact, Theorem 2.4 can be used to show that no program $P$ can have an unbounded running time $t_P$ such that $t_P(x) < x$. Suppose such a $P$ exists. By removing the output instructions of $P$, and inserting new ones after each work register instruction, we obtain a program $Q$ such that $f_Q = t_P$ and $t_Q = t_P$. Since $t_Q(x) < x$, we must have that $f_Q = t$ is ultimately linear; but since $t_P(x) < x$, $t_P$ must be ultimately periodic and hence bounded.
**Theorem 2.5** Suppose $P$ is a program such that $x \leq t_P(x)$.
Then $f_P(x) \leq t_P(x)$.
**Proof.** Suppose $P$ has $k$ output instructions. Consider the computation of $P$ with an arbitrary input $x$. During this computation, no output instruction can be obeyed twice with exactly the same contents of the input and work registers, since otherwise $P$ would go into an infinite loop and fail to terminate. Thus between successive additions of $k$ to $Y$, either the contents of $X$ or some work register must have changed, and so
$$f_P(x) \leq k(1 + x + t_P(x)) \leq t_P(x),$$
since $x \leq t_P(x)$.
§5. **On-line programs**
As mentioned in Section 2.1, on-line programs are programs in which input tests and halt instructions only occur in the form
\[
\begin{array}{c}
X=0 \\
\downarrow \\
\text{NO} \\
\rightarrow \text{YES} \\
\rightarrow \text{HALT}
\end{array}
\]
Programs with this property must operate in a particular fashion: if \( P \) is an on-line program, then for all \( x \) and all \( y \leq x \), the computation sequence of \( P \) with input \( x \) is identical for the first \( t_P(y) \) steps with the computation sequence of \( P \) with input \( y \). This fact is easily proved by induction. It follows that every computation sequence of \( P \) is an initial subsequence of just one computation sequence - the computation sequence of \( P \) with infinite input. It is sometimes useful to consider properties of on-line programs in terms of this hypothetical sequence.
It also follows that on-line programs compute monotone functions, where a function \( f \) is said to be monotone if for all \( x \) and \( y \)
\[ x \leq y \implies f(x) \leq f(y). \]
Below, we shall show that every monotone computable function is on-line computable, i.e. is computable by some on-line program. The concept of on-line programs is crucial to certain constructions, most important of which is the inversion theorem (Section 2.7). Because of the restrictive nature of on-line computations, it is possible to obtain sharper bounds on the running time of on-line programs, than would otherwise be possible (Chapter 5). Arbib [3, 1.3] contains an interesting discussion of the on-line phenomenon in Automata.
theory; see also Hennie [22].
**Theorem 2.6** For each program $P$ which computes a monotone function we can find an on-line program $Q$, equivalent to $P$, such that
$$t_Q \leq \Sigma t_P.$$
**Proof.** First suppose that $t_P(x) < x$. In this case, $f_P$ is ultimately linear by the minimal growth rate theorem, and there exists an on-line program $Q$ computing $f_P$ for which $t_Q = 0$.
Suppose, on the other hand, that $x \leq t_P(x)$. Without going into details, it is possible to construct from $P$ a program $R$ such that
$$f_R(x) = f_P(x) - f_P(x-1) \quad \text{if} \quad x > 0$$
$$= f_P(0) \quad \text{if} \quad x = 0$$
and
$$t_R(x) \leq t_P(x) + t_P(x-1) + f(x) + f(x-1) + x.$$
For each input $x$, $R$ works by first using $P$ to compute $f_P(x-1)$ into a work register not used by $P$, and then using $P$ again to compute $f_P(x)$, sending only the difference to the output register. (Since programs are relocatable, it is always possible to select work registers not used by $P$.) Since the running time of $R$ has to include the time required to store $f_P(x-1)$ and $f_P(x)$ in order to compute the difference, and also the time required to preserve the contents of the input register for the second computation, it satisfies the above inequality. Using the size theorem and the fact
that \( x \leq t_P(x) \), we have
\[
t_R(x) \leq t_P(x) + t_P(x-1).
\]
Suppose that \( A \) and \( B \) are two registers not appearing in \( R \). \( R \) is modified so that all references to the input register \( X \) are converted to references to register \( A \), and \( Q \) is defined to be the program:
\[
Y := Y + f_P(0)
\]
\[
X = 0
\]
\[
X := X - 1 \\
B := B + 1 \\
A := B
\]
\[
R
\]
\[
HALT
\]
\( Q \) is on-line and, by construction, equivalent to \( P \).
Moreover
\[
t_Q(x) \leq \sum_{y=0}^{x} (t_R(y) + y) \leq \sum_{y=0}^{x} (t_P(y) + t_P(y-1)) \leq \sum_{y=0}^{x} t_P(y).
\]
Corollary 2.7 Suppose $P$ computes a monotone function and
$$\liminf_{x \to \infty} \frac{t_P(x+1)}{t_P(x)} > 1.$$
Then there is an on-line program $Q$ equivalent to $P$, such that
$$t_Q \leq t_P.$$
Proof. The result follows from Theorem 2.6 by showing that
$$t_P \leq t_P.$$
By hypothesis, there is a real number $\delta > 1$ and an integer $x_0$ such that
$$t_P(x+1) \geq \delta t_P(x) \text{ for all } x > x_0.$$
Thus
$$\sum_{y=0}^{x} t_P(y) \leq \sum_{y=0}^{x_0-1} t_P(y) + t_P(x) \sum_{r=0}^{x-x_0} \delta^{-r} \leq t_P(x),$$
Since $\sum_{r=0}^{\infty} \delta^{-r}$ converges.
In Chapter 5, it is shown that this corollary fails to hold if the condition $\liminf_{x \to \infty} \frac{t_P(x+1)}{t_P(x)} > 1$ is dropped.
§6. The composition and addition of programs
Among the various ways of combining programs, there are two which will be used frequently. These relate to the following functional operations:
(a) **composition**. The composition $f \cdot g$ of two functions $f$ and $g$ is that function which is defined by
$$(f \cdot g)(x) = f(g(x)) \quad \text{for all } x.$$
(b) **addition**. The addition $f + g$ of two functions $f$ and $g$ is that function which is defined by
$$(f + g)(x) = f(x) + g(x) \quad \text{for all } x.$$
Below, we give constructions which carry out these operations within tight time bounds.
**Theorem 2.8** Given any two programs $P$ and $Q$, we can construct a program $P \cdot Q$ such that
$$f_{P \cdot Q} = f_P \cdot f_Q$$
and
$$t_{P \cdot Q} = t_Q + t_P \cdot f_Q.$$
Moreover, if $P$ and $Q$ are on-line, then so is $P \cdot Q$.
**Proof.**
The standard way of computing the composition $f \cdot g$ is to store the partial result $g(x)$ in a new work register, and use this as input to the program computing $f$. This method cannot be used here, since the time taken to store and retrieve $g(x)$ adds to the total running time of the program. However, another method is available which uses $P$ and $Q$ as co-routines. $P$ and $Q$ must first be modified so that they make use of distinct sets of work registers. Since we are assuming that programs are relocatable, this causes no trouble. Informally, the program $P \cdot Q$ works as follows: control
starts off in $P$ which remembers the label of the first instruction of $Q$ in its label structure. $P$ is executed until it attempts to carry out an input test, when control is handed to $Q$ which begins computing at the remembered entry point. $Q$ continues until it attempts to obey an output instruction when control is handed back to $P$ which continues from where it left off, under the assumption that the input was not empty. When $P$ asks for more input, $Q$ is re-entered until another output is given. If $P$ halts instead, control is returned to $Q$ until it too halts. If $Q$ halts first, then control is returned to $P$ which continues on alone under the assumption that the input was empty.
We now describe $P \cdot Q$ formally. Let $L$ denote the set of labels of $P$ which are either terminal labels or labels of input tests. It is convenient to suppose that each terminal label $\ell$ corresponds to an explicit halt instruction, written as $\ell: \text{halt}$.
We have
$$P \cdot Q = \bigcup_{\ell \in L} \Sigma_{\ell}(Q) \cup \bigcup_{m \in \lambda(Q)} \Delta_m(P),$$
where $\lambda(Q)$ is the label set of $Q$, and $\Sigma$ and $\Delta_m$ are two step by step translations defined as follows:
1. If $\ell$ labels an input test $\ell: X=0 \rightarrow \ell', \ell''$ of $P$, then
(a) $\Sigma_{\ell}[m: Y:=Y+1 \rightarrow m'] = \{(\ell, m): \rightarrow (m', \ell'')\}$
(b) $\Sigma_{\ell}[m: \text{halt}] = \{(\ell, m): \rightarrow (m, \ell')\}$
(c) $\Sigma_{\ell}[I] = I_{\ell}$ otherwise, where
if $I = m:f \rightarrow m'$, then $I_{\ell} = (\ell, m): f \rightarrow (\ell, m')$
or if $I = m:t \rightarrow m', m''$, then $I_{\ell} = (\ell, m): t \rightarrow (\ell, m'), (\ell, m'')$.
2. If \( \ell \) labels \( \ell: \text{halt} \) of \( P \), then
\[
\varepsilon_{\ell}[I] = I_{\ell} \quad \text{for all } I.
\]
3. \( \Delta_m \) is defined by:
(a) \( \Delta_m [\text{start}: + \ell] = \{\text{start}: + (m', \ell)\}, \)
where \( \text{start}: + m' \) is contained in \( Q \).
(b) \( \Delta_m [\ell:X=0 + \ell', \ell''] = \{(m, \ell): + (\ell, m)\} \)
(c) \( \Delta_m [\ell:X=X-1 + \ell'] = \{(m, \ell): + (m, \ell')\} \)
(d) \( \Delta_m [\ell:\text{halt}] = \{(m, \ell) + (\ell, m)\} \)
(e) \( \Delta_m [I] = I_m \) otherwise.
The program \( P \cdot Q \) contains unconditional jumps which can be eliminated by label conversion. In order to see that \( P \cdot Q \) will be on-line if \( P \) and \( Q \) are, note that the only input tests of \( P \cdot Q \) come from \( Q \) via 1(c) or 2. If \( Q \) contains \( m: X=0 + m', m'' \), where \( m \) is terminal, then \( P \cdot Q \) contains \( (\ell, m): X=0 + (\ell, m'), (\ell, m'') \) for each \( \ell \in L \). But by 1(b), \( P \cdot Q \) also contains \( (\ell, m'): + (m', \ell'') \), where \( \ell: X=0 + \ell', \ell'' \) is contained in \( P \). If \( P \) is on-line, then \( \ell' \) is terminal, and so \( (m', \ell') \) is a terminal label of \( P \cdot Q \). Hence \( P \cdot Q \) is on-line. The timing estimate follows at once.
We shall refer to the above theorem as the composition theorem, and to the next as the addition theorem.
Theorem 2.9 Given any two programs $P$ and $Q$, we can construct a program $P+Q$ such that
$$f_{P+Q} = f_P + f_Q$$
and
$$t_{P+Q} = t_P + t_Q.$$
Moreover, $P+Q$ is on-line if both $P$ and $Q$ are.
Proof.
The construction is very similar to the previous one, and only an informal description is given. In $P+Q$, the programs $P$ and $Q$ act as co-routines which share the input. $P$ and $Q$ are again modified to refer to distinct sets of work registers, and $Q$ is put in standard input form. In the combined program, $Q$ alone is given the task of testing and decrementing the input register. Control starts off in $P$ which remembers the first label of $Q$ in its label structure. Each time $P$ attempts to execute an input test, control is handed to $Q$ which begins computing from where it left off. Each time $Q$ executes an input test, control is returned to $P$. This process continues until one of $P$ and $Q$ wants to halt, when the other program is entered until it too halts. The final contents of the output register will be the sum of the contributions from $P$ and $Q$, and the running time of the combined program, will be the sum of the running times of $P$ and $Q$.
§7. The inversion of programs
Suppose \( f \) is a monotone and unbounded function. We define the inverse \( f^* \) of \( f \) to be the function whose values are given by
\[
f^*(x) = \min y \left[ x < f(y) \right].
\]
\( f^* \) is also monotone and unbounded. In this section, we show how to construct from an on-line program \( P \) computing \( f \), an on-line program \( P^* \) which computes \( f^* \). The following facts about inverses are important and are used in Chapter 4.
**Lemma 2.10** Suppose \( f \) and \( g \) are monotone and unbounded. Then
(i) \( f^{**} = f \) and (ii) \( (f \cdot g)^* = g^* \cdot p \cdot f \),
where \( p(x) = x - 1 \).
**Proof.** (i) By definition,
\[
f^{**}(x) = \min y \left[ x < \min z \left[ y < f(z) \right] \right]
\]
whence
\[
\min z \left[ f^{**}(x) < f(z) \right] > x.
\]
From this it follows that \( f^{**}(x) > f(x) \). Since \( f \) is monotone and unbounded, we have
\[
\min z \left[ f(x) < f(z) \right] > x,
\]
from which it follows that \( f^{**}(x) = f(x) \). Hence \( f^{**}(x) = f(x) \).
(ii) We have
\[(f \cdot g)^*(x) = \min y \quad [x < f \cdot g(y)]\]
\[= \min y \quad [g(y) > \min z \quad [x < f(z)]],\]
since \(f\) and \(g\) are monotone. Now
\[\min y \quad [g(y) > x] = \min y \quad [g(y) > x-1],\]
whence
\[(f \cdot g)^*(x) = g^*(f^*(x)-1).\]
Suppose next, that \(P\) is an arbitrary on-line program computing an unbounded monotone function. In such a case, the function \(\theta_P\), where
\[\theta_P(x) = \text{total number of work register instructions executed by } P \text{ on any sufficiently large input (equivalently, on infinite input), prior to the execution of the } (x+1)\text{st output instruction},\]
is well defined, total and monotone.
We shall refer to the following theorem as the inversion theorem.
**Theorem 2.11** Suppose \(P\) is an on-line program computing an unbounded function. Then we can construct an on-line program \(P^*\) such that
\[f_{P^*} = f_P^*\]
and
\[t_{P^*} = \theta_P \leq t_P \cdot f_P^*.\]
Proof. Without loss of generality, we can assume that $P$ is in standard input form. The program $P^*$ is exactly the same as $P$ except that the input instructions are replaced by output instructions and vice-versa. More precisely, the translation $\Delta$ which produces $P^*$ is given by:
1. $\Delta \left[ m: X=0 \rightarrow O, m' \right] = \left[ m: \rightarrow m' \right]$
2. $\Delta \left[ m: X:=X-1 \rightarrow m' \right] = \left[ m: Y:=Y+1 \rightarrow m' \right]$
3. $\Delta \left[ m: Y:=Y+1 \rightarrow m' \right] = \left[ m: X=O \rightarrow O, \ell \right]$
4. $\Delta[i] = i$, for all other instructions $i$.
(0 is regarded as the terminal label).
In order to prove that $P^*$ does indeed compute $f^*_P$, it is convenient to define two further functions. In the definitions, the term 'input instruction' refers to the pair
\[
\begin{array}{c}
\text{X=0} \\
\downarrow \\
\text{X:=X-1}
\end{array}
\]
YES
HALT
The functions \( i \) and \( o \) are defined by
\[
i(x) = \text{total number of instructions, including input and output instructions, executed by } P \text{ on any sufficiently large input, prior to the execution of the } (x+1)\text{st input instruction}
\]
\[
o(x) = \text{similar to } i(x), \text{ but prior to the } (x+1)\text{st output instruction.}
\]
If \( P \) computes an unbounded function \( f \), then \( i \) and \( o \) are both total and monotone (in fact, \( i(x) = t_P(x) + x + f(x) \)) and we have
\[
o(f(n) - 1) < i(n) < o(f(n)), \quad \ldots (1)
\]
for all \( n \). If \( i^* \) and \( o^* \) denote similar functions for \( P^* \), then
\[
i^* = o \quad \text{and} \quad o^* = i, \quad \ldots (2)
\]
since both \( P \) and \( P^* \) are in standard input form.
Consider the computation of \( P^* \) on an arbitrary input \( x \). Since \( f \) is unbounded, there exists an \( n \) such that
\[
f(n) \leq x < f(n+1), \quad \ldots (3)
\]
and we have
\[
o^*(n) = i(n) \quad \text{from (2)},
\]
\[
< o(f(n)) \quad \text{from (1)},
\]
\[
= i^*(f(n)) \quad \text{from (2)},
\]
\[
\leq i^*(x),
\]
from (3), since $i^*$ is monotonic.
Also, \[ i^*(x) = o(x) \leq o(f(n+1)-1) \text{ since } o \text{ is monotonic,} \]
\[ < i(n+1) \quad \text{from (1),} \]
\[ = o^*(n+1). \]
Therefore,
\[ o^*(n) < i^*(x) < o^*(n+1). \]
It follows from this that exactly $(n+1)$ output instructions are executed, before the computation of $P^*$ with input $x$ terminates. Thus
\[ f_{P^*}(x) = n+1 = f^*(x). \]
Finally, we estimate $t_{P^*}$. We have
\[ t_{P^*} = \theta_P \]
by definition of $P^*$, and moreover
\[ \theta_P(f(x)-1) \leq t_P(x) \text{ for all } x, \quad \ldots (4) \]
since $P$ is on-line. Since
\[ f(f^*(x)) > x \geq x + 1, \]
we have
\[ \theta_P(x) \leq \theta_P(f(f^*(x))-1) \leq t_P(r^*(x)), \]
from equation (4) and the fact that $\theta_P$ is monotone.
CHAPTER THREE
THE SPEED UP THEOREM
Throughout this chapter, we shall be concerned only with $I_0$-programs; that is, flowcharts defined over the instruction set:
assignments \[ A_i := A_j + 1 \quad A_i := A_j - 1 \]
\[ A_i := A_j \quad A_i := 0 \]
tests \[ A_i = 0 \quad A_i > 0. \]
(To avoid messy subscripts, register $A_i$ will sometimes be denoted by $A_i$, etc.)
The central object of the chapter is to prove the following theorem, which will be referred to subsequently as the speed-up-property (for $I_0$).
**Theorem 3.1** Given any program $P$, we can always find an equivalent program $Q$, which is on-line if $P$ is, such that
\[ t_Q \leq t_P / 2. \]
Because the proof is fairly long (and will not be complete until the end of Section 4), we first give an informal summary of the main steps.
The running time $t_P$ of a program $P$ is the sum of two functions $a_P$ and $b_P$, where
\[ a_P(x) = \text{the number of assignments executed by } P \text{ when run on input } x, \]
\[ b_P(x) = \text{similarly, the number of tests.} \]
It is shown, in Section 4, that in order to prove the speed up property, it is sufficient to reduce \( a_P \) by a factor of two; i.e. we can forget about tests and concentrate on cutting the assignments by half. The reason this can be done, and the pivot upon which speed up turns, is the fact that, by taking a sufficiently long sequence of assignments, another equivalent sequence (in the strong sense of having the same effect on the work registers) can be found of no more than half the length of the first. On the other hand, the second sequence uses the more general assignments
\[ A_i := A_j + d \quad A_i := e \]
for integers \( d \) and \( e \), where \( |e| < |d| \). Section 1 is devoted to a proof of this fact. This result is used in the construction of two step by step compilers (although they can be combined into one) to achieve the desired reduction in \( a_P \). In the first, (defined in Section 2), \( P \) is converted into an equivalent program \( R \) for which \( a_R \leq a_P/2 \). Program \( R \) uses a more general instruction set than \( I_O \). In Section 3, \( R \) is converted into a proper \( I_O \)-program \( Q \) for which \( a_Q \leq a_R \). Combining these two translations gives the final result.
Section 5 shows speed up at work on an example, and Section 6 contains some further results and a discussion.
§1. Finite sequences of assignments
Throughout this section, the letters $S$ and $S'$ will denote finite sequences of assignments of the form
$$A_i := A_j + d \quad \text{and} \quad A_i := e,$$
where $1 \leq i, j \leq k$, and $d$ and $e$ are arbitrary integers with $|e| < |d|$. We say that $S$ is a D-sequence if it consists only of assignments with $|d| \leq D$. Thus a 1-sequence is a sequence of $I_0$-assignments. The length of a sequence $S$ is denoted by $||S||$, and the same notation is used to denote the number of elements in a finite set. With each sequence $S$ we can associate two mappings:
$$\sigma_S : \{1, 2, \ldots, k\} \rightarrow \{0, 1, \ldots k\}$$
and
$$\rho_S : \{1, 2, \ldots, k\} \rightarrow \{\ldots, -1, 0, 1, \ldots\}$$
which serve to characterise $S$. These mappings are defined by the criterion that for each $i$, in the range $1 \leq i \leq k$, the effect of executing $S$ changes the contents of register $A_i$, as if the single instruction
$$A_i := A_{\sigma_S(i)} + \rho_S(i) \quad \text{if} \quad \sigma_S(i) > 0,$$
or
$$A_i := \rho_S(i) \quad \text{if} \quad \sigma_S(i) = 0,$$
were executed instead.
Note that if $S$ is a D-sequence, then for $1 \leq i \leq k$,
$$|\rho_S(i)| \leq D \times ||S|| \quad \text{if} \quad \sigma_S(i) \neq 0;$$
and
$$|\rho_S(i)| \leq D \times (||S|| - 1) \text{ if } \sigma_S(i) = 0.$$
If $S$ and $S'$ are two sequences, then we say that $S$ is equivalent to $S'$ if $\sigma_S = \sigma_{S'}$ and $\rho_S = \rho_{S'}$. Equivalent sequences thus have exactly the same effect when executed.
Our object in this section is to prove the following theorem.
**Theorem 3.2** Given any D-sequence $S$, it is possible to construct a $D'$-sequence $S'$, equivalent to $S$, such that
$$||S'|| \leq \min(||S||, k + \left\lfloor \frac{kt+1}{2} \right\rfloor - 1).$$
In particular, if $||S|| = 3k$ (or $4$, if $k=2$), then $||S'|| \leq ||S||/2$ and $D' = 3kD$ (or $4D$, if $k = 2$).
In order to prove this theorem, it is necessary to investigate certain properties associated with $\sigma_S$. Let $N_k$ denote the set $\{0, 1, \ldots, k\}$ and for convenience, extend $\sigma_S$ to a function $\sigma_S : N_k \to N_k$ by defining $\sigma_S(0) = 0$.
Suppose $\sigma$ is any mapping $\sigma : N_k \to N_k$ with $\sigma 0 = 0$ (we often omit parentheses for brevity). The mapping $\sigma^n : N_k \to N_k$ is defined iteratively for each $n \geq 0$, by the equations
$$\sigma^0_i = i \quad \text{and} \quad \sigma^{n+1}_i = \sigma(\sigma^n_i)$$
for each $i \in N_k$. A cycle of $\sigma$ is a subset $C$ of $N_k$ consisting of the integers
$$i, \sigma i, \sigma^2 i, \ldots, \sigma^{t-1} i,$$
for some $i \in N_k$ and positive integer $t$, such that the conditions
The relevant facts about tree sets are:
**Lemma 3.4**
(i). If \( i, j \in C \) with \( i \neq j \), then the sets \( T_C(i) \) and \( T_C(j) \) are disjoint.
(ii). If \( C \) and \( C' \) are two disjoint cycles, then the sets \( T_C \) and \( T_{C'} \) are disjoint.
(iii). If \( C \) and \( C' \) are two cycles, possibly the same, then the sets \( T_C \) and \( C' \) are disjoint.
**Proof.**
(i). Suppose \( T_C(i) \) and \( T_C(j) \) have the element \( m \) in common. There therefore exists two positive integers \( r \) and \( s \) with \( \sigma^r_m = i \) and \( \sigma^s_m = j \). If \( s < r \), then by definition of \( T_C(i) \), it is impossible that \( j = \sigma^s_m \) is in \( C \). Similarly, if \( r < s \), then it is impossible that \( i \in C \). So if \( i, j \) are in \( C \), we must have \( r = s \) and so \( i = j \).
(ii). Suppose \( T_C \) and \( T_{C'} \) have the element \( m \) in common. There therefore exists positive \( r \) and \( s \) such that \( \sigma^r_m \in C \) and \( \sigma^s_m \in C' \). If \( r < s \), then since \( C \) is a cycle, \( C \) contains
\[
\sigma^{r+(s-r)}_m = \sigma^s_m.
\]
So \( C \) and \( C' \) are not disjoint. A similar argument holds for \( r > s \).
(iii). Suppose \( T_C \) and \( C' \) have the element \( m \) in common. It follows that \( \sigma^n_m \) is in both \( C \) and \( C' \) for some \( n \). By Lemma 3.3 we must have \( C = C' \), but by definition of \( T_C \), the sets \( T_C \) and \( C \) are disjoint.
Lemma 3.5 For any $\sigma$, the collection of sets
\{C, T_C : C is a cycle of $\sigma$ \} partitions $N_k$,
and so
$$\sum_{C} (||C|| + ||T_C||) = k+1$$
Proof. It is immediate from Lemmas 3.3 and 3.4 that the collection is pairwise disjoint. For each $i \in N_k$, consider the sequence of integers
$$i, \sigma i, \ldots, \sigma^{k+1} i.$$
Since there are $(k+2)$ integers in this sequence, all of which are in $N_k$, they cannot all be different. Suppose $\sigma^a i = \sigma^b i$, where $a < b$, and suppose further that $a$ is the least integer for which this is true. If $a = 0$, then $i$ belongs to the cycle $\{i, \ldots, \sigma^{b-1} i\}$, while if $a \neq 0$, then $i$ belongs to the tree set of the cycle generated by $\sigma^a i$. Thus the collection covers $N_k$.
There is one important difference between an arbitrary $\sigma: N_k \to N_k$ and one given by a sequence of instructions:
Lemma 3.6 Suppose $S$ is a finite sequence of instructions with associated mapping $\sigma_S$. Either $\sigma_S(i) = i$ for all $i \in N_k$ (in which case $S$ is said to be simple), or else there is at least one cycle of $\sigma_S$ whose tree set is not empty.
Proof. If $S$ is not simple, then it must contain some instruction of the form
$$A_i := A_j \pm d \text{ where } i \neq j$$
or
$$A_i := e.$$
The first such instruction destroys the original contents of $A_i$, and so $i \notin$ range $(\sigma_S)$. Therefore $i$ cannot belong to any cycle of $\sigma_S$ and so it must belong to some tree set.
We now show how to construct from a given sequence $S$, a sequence $S'$ equivalent to $S$, which satisfies the hypothesis of Theorem 3.2. Suppose $S$ is given and $\sigma$ and $\rho$ are the associated functions. If $S$ is simple (i.e. $\sigma i = i$ for each $i$), then we can at once define $S$ to be the sequence consisting of all the instructions of the form
$$A_i := A_i + \rho(i) \text{ where } \rho(i) \neq 0 \text{ and } 1 \leq i \leq k,$$
written in any order. Clearly $||S'|| \leq \min(||S||, k)$. Otherwise we determine the cycles and tree sets of $\sigma$. By Lemma 3.6, at least one tree set is not empty, so suppose, without loss of generality that $1 \in T_{C_0}$ and $01 \in C_0$. For each cycle $C$ and tree set $T_C$ we define instruction sequences $S(C)$ and $S(T_C)$ as determined below. Supposing the cycles of $\sigma$ are $C_0, C_1, \ldots, C_n$, the sequence $S'$ is defined to be
$$S = S(T_{C_1}); S(C_1) \ldots S(T_{C_n}); S(C_n); S(T_{C_0}); S(C_0)$$
The sequences $S(C)$ and $S(T_C)$ are determined as follows:
1. Sequence $S(T_C)$. This sequence is a concatenation of subsequences $K(m)$ for $m \in C$, written in any order. Each subsequence $K(m)$ serves to assign the correct final value to register $A_j$ for each $j \in T_C(m)$ (except for $j=1$, which is a special case). To
define $K(m)$, we must order the elements $\{i_1, i_2, \ldots i_n\}$ of $T_C(m)$ so that
$$\sigma_{i_r} = i_s \text{ implies } r < s.$$
This is the familiar end ordering of nodes in a rooted tree (with root $m$) and can be carried out by a standard procedure (e.g. Knuth [26]). For $1 \leq j \leq n$, define $I(j)$ to be the instruction
$$A_{i_j} := A_{\sigma_{i_j}} + \rho(i_j) \quad \text{if} \quad \sigma_{i_j} > 0$$
or
$$A_{i_j} := \rho(i_j) \quad \text{if} \quad \sigma_{i_j} = 0,$$
and $K(m)$ to be the sequence $I(1); I(2); \ldots; I(n)$. Executing $K(m)$ assigns the correct final values, since the end ordering condition means that the sequence $I(1); I(2); \ldots; I(r-1)$ for $1 \leq r \leq n$, does not alter the contents of register $A_{i_r}$. The special case of register $A_1$ arises when $||c_0|| \geq 2$. In implementing cycles of length greater than 1 the register $A_1$ is going to be used as work space, so there is no point in assigning $A_1$ its correct final value, when there is still $c_0$ to come. In such a case, we define the instruction $I(j)$ (where $i_j = 1$) to be
$$A_1 := A_{c_1}.$$
This means that to give $A_1$ its correct final value, $\rho(1)$ must be added at a later stage.
the instruction $A_1 := A_1 + \rho(1)$ is inserted at the end to assign the correct final value to $A_1$. Actually, a single instruction could be saved: $S(T_C^O)$ could assign $A_1$ its correct final value, the last line above omitted, and the penultimate one modified to read
$$\sigma^t l := A_l + \rho(\sigma^t l) - \rho(1),$$
but this may increase the bound on the constant in the assignment statements).
This completes the rather lengthy description of $S'$. By the foregoing remarks, $S'$ is equivalent to $S$, and if $S$ is a D-sequence, then $S'$ is a $D'$-sequence where $D' \leq D \times ||S||$. In order to estimate the total length of $S$, we note:
(1) If $||c|| = 1$, then $||S(c)|| = 1$ if $c \neq \{0\}$,
$$= 0 \text{ if } c = \{0\}.$$
(2) If $||c|| > 1$, then $||S(c)|| = ||c|| + 1$.
(3) $||S(T_C)|| = ||T_C||$.
Hence $||S'|| = \sum_{c} (||c|| + ||T_C|| + \sum_{l} 1 - 1$.
From Lemma 3.5, it follows that
$$||S'|| = k + \sum_{||c|| > 1} 1.$$
At this point, we can complete the proof of Theorem 3.2.
Proof of Theorem 3.2
The length of $S'$ is maximised by taking an $S$ which has as many cycles of length greater than 1 as possible. If $k = 2m+1$, we can take at most $m$ distinct cycles, each of length 2, so that
$$k + \sum_{||c|| > 1} l \leq k + m = k + \left\lfloor \frac{k+1}{2} \right\rfloor - 1.$$
If $k = 2m$, we can take at most $(m-1)$ distinct cycles of length greater than 1, since by Lemma 3.6, there is at least one element which does not belong to a cycle. Hence
$$k + \sum_{||c|| > 1} l \leq k + (m-1) = k + \left\lfloor \frac{k+1}{2} \right\rfloor - 1,$$
and the proof is complete.
To clarify the concepts involved, we work an example. Let $S$ be the sequence
\[
\begin{align*}
A_1 &:= A_2 \\
A_1 &:= A_2 + 1 \\
A_2 &:= A_4 \\
A_3 &:= A_3 + 1 \\
A_2 &:= A_3 + 1 \\
A_3 &:= A_1 - 1 \\
A_4 &:= A_5 + 1 \\
A_5 &:= A_7 \\
A_7 &:= A_6 + 1 \\
A_7 &:= A_7 + 1 \\
A_6 &:= A_5 + 1 \\
A_5 &:= A_8 \\
A_8 &:= A_9 + 1 \\
A_9 &:= A_5 \\
A_5 &:= A_7 \\
A_5 &:= A_5 - 1
\end{align*}
\]
We have $|S| = 16$ and $k = 9$. The functions $\sigma$ and $\rho$ associated with $S$ are given by the following table:
\[
\begin{array}{c|cccccccccc}
& 0 & 1 & 2 & 3 & 4 & 5 & 6 & 7 & 8 & 9 \\
\hline
\sigma & 0 & 2 & 3 & 2 & 5 & 6 & 7 & 6 & 9 & 8 \\
\rho & - & 1 & 2 & 0 & 1 & 0 & 1 & 2 & 1 & 0 \\
\end{array}
\]
The cycles and tree sets of $\sigma$ are:
\[C_0 = \{2, 3\} \quad T_0 = T_0(2) \cup T_0(3)\]
\[T_0(2) = \{1\}\]
\[T_0(3) = \text{null}\]
\[C_1 = \{0\} \quad T_1 = \text{null}\]
\[C_2 = \{6, 7\} \quad T_2 = T_2(6) \cup T_2(7)\]
\[T_2(6) = \{4, 5\}\]
\[T_2(7) = \text{null}\]
\[C_3 = \{8, 9\} \quad T_3 = \text{null}\]
They can be pictured thus:
The reduced sequence $S'$ is:
$$\begin{align*}
A_4 &:= A_5 + 1 \\
A_5 &:= A_6
\end{align*} \quad \{ k(6), \text{the endordering of } T_2(6) \text{ being } \{4, 5\} \}$$
$$\begin{align*}
A_1 &:= A_6 \\
A_6 &:= A_7 + 1 \\
A_7 &:= A_1 + 2
\end{align*} \quad \{ S(C_2), \text{using } A_1 \text{ as work space.} \}$$
$$\begin{align*}
A_1 &:= A_8 \\
A_8 &:= A_9 + 1 \\
A_9 &:= A_1
\end{align*} \quad \{ S(C_3), \text{ditto} \}$$
$$\begin{align*}
A_1 &:= A_2
\end{align*} \quad \{ K(2). \text{Since } ||c_0|| > 2, \text{this is treated specially.} \}$$
$$\begin{align*}
A_2 &:= A_3 + 2 \\
A_3 &:= A_1 \\
A_1 &:= A_1 + 1
\end{align*} \quad \{ S(C_0), \text{the special cycle} \}$$
§2. Halving the number of assignments
In this section, we use the result of Section 1 to halve the number of assignments in a program $P$. It is convenient to first transform $P$ into an equivalent program which stores only non-negative integers in its work registers. Although this preliminary transformation is not strictly necessary, it will simplify the details of a subsequent transformation. The second translation of Section 1 of Chapter 2 gives the details. It is to be noted that the translated program $P$ does not use the test $A_j \geq 0$, and, more importantly, $a_{P'} = a_P$ (although $b_{P'}$ will be greater than $b_P$). From now on, each program will only store non-negative integers in its work registers.
**Lemma 3.7** Given any program $P$, we can find an equivalent program $R$, which is on-line if $P$ is, such that
$$a_R < a_P/2.$$
On the other hand, $R$ makes use of more general instructions than $P$. In fact, if $k$ is the maximum address used by $P$, then $R$ is defined over the instruction set
\[
\begin{align*}
A_i &:= A_j + d \\
A_i &:= A_j - d \\
A_i &:= e \\
A_i &= e?
\end{align*}
\]
where $1 \leq i, j \leq k$, $0 \leq d \leq 3k$ and $0 \leq e < 3k$.
Proof.
Informally, $R$ works by simulating $P$ in a step by step manner, except that it delays the execution of assignments. Each assignment executed by $P$ is saved in the label structure of $R$ until a sequence $S$ of sufficient length (i.e. $3k$) has been built up to enable an equivalent sequence $S'$, defined over the extended instruction set and with $||S'|| \leq ||S||/2$, to be constructed. Only at this point does $R$ execute $S$. Provided $||S|| = 3k$, the existence of such an $S$ is guaranteed by Theorem 3.2. Moreover, if $S$ is a 1-sequence (i.e. a sequence of $I_0$ assignments), then $S'$ is a $3k$-sequence. Since $S$ never makes a register negative, we have $e \geq 0$.
Formally, the compiler $\Delta_1$, for which $\Delta_1(P) = R$, produces labels (apart from start) of the form
\[(S, m),\]
where $m \in L$ and $S$ is a sequence of assignments of length at most $K = 3k - 1$.
To clarify what $\Delta_1$ does, we first define the mapping $\delta_1$ under which $\Delta_1$ satisfies the conditions of the compiler theorem.
\[\delta_1(\text{start}, x, y, a_1, \ldots, a_k) = (\text{start}, x, y, a_1, \ldots, a_k)\]
\[\delta_1((S, m), x, y, a_1, \ldots, a_k) =\]
\[(m, x, y, a_{\sigma(1)} + \rho(1), \ldots, a_{\sigma(k)} + \rho'(k)),\]
where $\sigma$ and $\rho$ are the functions associated with the sequence $S$.
and are defined in Section 1. Note that the definition of $\Delta_1$ depends on $k$, and consequently is only applicable to programs which use registers $A_1, \ldots, A_k$.
The definition of $\Delta_1$ is:
1. $\Delta_1 [\text{start: } + m] = \{\text{start: } + (\text{null}, m)\}$.
2. (For work register assignments $F$):
$$\Delta_1 [m: F \rightarrow m'] = \bigcup_{||s|| < k} \{(S, m): \rightarrow (S; F, m')\} \cup \bigcup_{||s|| = k} \{(S, m): S' \rightarrow (\text{null}, m')\},$$
where $S'$ is the sequence equivalent to $S; F$, with
$$||S'|| \leq ||S; F||/2.$$
3. $\Delta_1 [m: A_i = 0 \rightarrow m', m''] = \bigcup_{\rho_S(i) \leq 0} \{(S, m): \rho_S(i) = -\rho_S(i) \rightarrow (S, m'), (S, m'')\} \cup \bigcup_{\rho_S(i) > 0} \{(S, m): \rightarrow (S, m'')\},$
where the union is taken over all $S$ with $||S|| \leq K$, such that the subsidiary condition holds.
4. \( \Delta_1[I] = \bigcup_{||S|| \leq K} I_S \), for all other (i.e. input and output) instructions \( I \). (Here the current sequence \( S \) is just carried along in the labels).
The verification that \( \Delta_1 \) under \( \delta \) satisfies the conditions of the compiler theorem will not be given. The first four conditions are immediate, and the fifth follows from Theorem 3.2. As \( ||S|| \leq K = 3k-1 \), we have \( |\rho_S(i)| \leq K < 3k \) for all \( i \), so that \( \Delta_1 \) produces tests \( A_i = e \) with \( 0 \leq e < 3k \). Hence the conclusions can be verified.
§3. Conversion to an \( I_0 \)-program
**Lemma 3.8** Given any program \( R \) satisfying the conditions of Lemma 3.7, we can find an equivalent \( I_0 \)-program \( Q \), which is on-line if \( R \) is, such that \( a_Q \leq a_R \).
**Proof.**
Informally, \( Q \) works by simulating \( R \) in a step by step manner, except that \( Q \) stores only \( \frac{1}{K} \) (where \( K = 3k \)) of the contents of the registers. The remainders of division are stored in the label structure of \( Q \). Formally, the step by step compiler \( \Delta_2 \), for which \( \Delta_2(R) = Q \), produces labels (apart from start) of the form
\((\alpha, m)\)
where \( m \) is arbitrary and \( \alpha = (\alpha_1, \alpha_2, \ldots, \alpha_k) \) where \( 0 \leq \alpha_j < K \). The mapping \( \delta_2 \) under which \( \Delta_2 \) is a compiler is:
\[ \delta_2(\text{start}, x, y, a_1, \ldots, a_k) = (\text{start}, x, y, a_1, \ldots, a_k) \]
\[ \delta_2((\alpha, m), x, y, a_1, \ldots, a_k) = (m, x, y, Ka_1 + \alpha_1, \ldots, Ka_k + \alpha_k). \]
The formal definition of \( A_2 \) is:
1. \( \Delta_2[\text{start: } \rightarrow m] = \{\text{start: } \rightarrow (0, m)\} \)
2. \( \Delta_2[m: A_i := A_j + d + m'] = \bigcup_{\alpha} \{(\alpha, m): A_i := A_j + d(\alpha_j) + (\alpha', m')\}, \)
where \( d(\alpha_j) = \left[ \frac{\alpha_j + d}{K} \right], \alpha_r' = \alpha_r \) for \( r \neq i \), and
\( \alpha_i' = \left[ \alpha_j + d, K \right]. \) Since \(-K \leq d \leq K\) and \(0 \leq \alpha_j < K\), we have \(-1 \leq d(\alpha_j) \leq 1\), so the translated instruction is in \( I_0 \).
3. \( \Delta_2[m: A_i := e + m] = \bigcup_{\alpha} \{(\alpha, m): A_i := 0 + (\alpha', m')\} \)
where \( \alpha_r' = \alpha_r \) for \( r \neq i \) and \( \alpha_i' = e. \) Since \(0 \leq e < K\), this instruction also translates correctly.
4. \( \Delta_2[m: A_i = e + m', m''] = \bigcup_{\alpha_i = e} \{(\alpha, m): A_i = 0 + (\alpha, m'), (\alpha, m'')\} \)
\( \bigcup_{\alpha_i \neq e} \{(\alpha, m): \rightarrow (\alpha, m'')\}. \)
5. \( \Delta_2[I] = \bigcup_{\alpha} I_\alpha, \) for input and output instructions \( I. \)
The verification that $\Delta_2$ under $\delta_2$ satisfies the conditions of the compiler theorem is left to the conscientious reader. The first four conditions are immediate, and the fifth is straightforward but somewhat tedious. The conditions of the lemma can be verified from the definition of $\Delta_2$. At this point, we have succeeded in converting an arbitrary program $P$ into an equivalent program $Q$ for which $a_Q \leq a_P/2$. Moreover, $Q$ only stores non-negative integers in the work registers, and consequently makes no use of the test $A_i \geq 0$. In the next section, we use these facts to complete the proof of the speed up theorem.
§4. Concluding the proof.
In this section we prove:
**Lemma 3.9** Given any program $P$ which uses only the test $A_i = 0$, we can find an equivalent program $Q$, which is on-line if $P$ is, such that
$$t_Q \leq 2a_P.$$
From this result, the speed up theorem follows easily. Suppose $P$ is an arbitrary program, and the translations of Sections 2 and 3 are applied twice to $P$, giving a program $Q$ for which $a_Q \leq a_P/4$. Lemma 3.9 then guarantees that a program $R$ can be found so that
$$t_R \leq 2a_Q \leq a_P/2 < t_P/2,$$
and so speed up is assured.
Proof of Lemma 3.9
Informally, $P$ is modified to ensure that, in every execution of $P$, there is at most one test $A_i = 0$ executed between any two executions of assignments to $A_i$. Because the input convention initialises each $A_i$ to zero, we can further arrange that no test $A_i = 0$ occurs before the first assignment to $A_i$. If $Q$ denotes the resulting program, then clearly $b_Q \leq a_Q = a_P$, from which the conclusion follows.
More formally, we describe the step by step compiler $\Delta_0$, for which $\Delta_0(P) = Q$. This compiler is the composition of compilers $\Delta_0^{(i)}$, where each $\Delta_0^{(i)}$ reduces just the tests involving $A_i$. $\Delta_0^{(i)}$ produces instructions with labels (apart from start) of the form $(\alpha, m)$,
where $m \in L$ and $\alpha$ is either 0, 1 or 2. The mapping $\delta$ which guarantees that $\Delta_0^{(i)}$ is a compiler, according to the compiler theorem, is
$$\delta_0(\text{start}, x, y, a_1, a_2, \ldots) = (\text{start}, x, y, a_1, a_2, \ldots)$$
and
$$\delta_0((\alpha, m), x, y, a_1, a_2, \ldots) = (m, x, y, a_1, a_2, \ldots)$$
provided that, either $\alpha = 2$ or ($\alpha = 1$ and $a_1 \neq 0$) or ($\alpha = 0$ and $a_1 = 0$),
and $\delta_0$ is undefined otherwise.
The definition of $\Delta_0^{(i)}$ is:
1. \( \Delta_0^{(i)} [\text{start} \rightarrow m] = \{\text{start} \rightarrow (0, m)\}, \)
2. \( \Delta_0^{(i)} [m:F + m'] = \bigcup_{\alpha} \{(\alpha, m): F \rightarrow (\alpha', m')\}, \)
where \( \alpha' = 2 \) if \( F \) is an assignment to \( A_1 \), and \( \alpha' = \alpha \) otherwise,
3. \( \Delta_0^{(i)} [m:A_1 = O + m', m''] = \{(2, m): A_1 = O + (0, m'), (1, m'') \\
(1, m): \rightarrow (1, m'') \\
(0, m): \rightarrow (0, m')\} \)
4. \( \Delta_0^{(i)} [m: t \rightarrow m', m''] = \bigcup_{\alpha} \{(\alpha, m): t \rightarrow (\alpha, m'), (\alpha, m'')\} \)
for all other tests.
It is left to the reader to verify that \( \Delta_0^{(i)} \) is indeed a compiler with the desired properties. It is clear from the last line of the definition, that \( \Delta_0^{(i)} \) preserves on-line programs.
This completes the proof of the speed up theorem.
§5. A worked example
We speed up the program $P$ by a factor of two, where $P =$
We can write $P$ as the following set of labelled instructions:
1: $X=0+0,2$
2: $X:=X-1+3$
3: $A:=A+1 \rightarrow 4$
4: $B:=A+1 \rightarrow 5$
5: $A=0+8,6$
6: $A:=A-1 \rightarrow 7$
7: $Y:=Y+1 \rightarrow 5$
8: $A:=B \rightarrow 1.$
It is easy to verify that $f_P(x) = x^2,$ and $t_P(x) = 2x^2 + 4x,$ for all $x.$
Moreover, $P$ stores only non-negative integers in $A$ and $B.$ The first translation to be applied is $\Delta_1$ (Section 2). Since $k = 2,$ the special case of Theorem 3.2 shows that we need only build up sequences of length 4. To denote sequences, we use the code
\[
\begin{align*}
n & \quad \text{null sequence} \\
a & \quad A:=A+1 \\
b & \quad B:=A+1 \\
c & \quad A:=A-1 \\
d & \quad A:=B
\end{align*}
\]
The first two instructions of $\Delta_1(P)$ are
\[
(n,1): X = 0 \rightarrow (n,0), (n,2)
\]
\[
(n,2): X = 0 \rightarrow (n,3),
\]
since no assignments have yet to be remembered.
The next two are
\[(n,3): \rightarrow (a,4)\]
\[(a,4): \rightarrow (ab,5),\]
and the next is
\[(ab,5): \rightarrow (ab,6),\]
since it can be determined from the remembered sequence \(ab\), that \(A\) cannot be zero at this point. Continuing, we construct
\[(ab,6): \rightarrow (abc,7)\]
\[(abc,7): Y:=Y+1 \rightarrow (abc,5)\]
\[(abc,5): A=0 \rightarrow (abc,8), (abc,6)\]
The effect of the sequence \(abc\) is to leave \(A\) unchanged so the test \(A=0\) must be performed. Since the sequence \(abcc\) is equivalent to \(B:=A+2; A:=A-1\), the next instructions are
\[(abc,6): B:=A+2 \rightarrow l_1\]
\[l_1: A:=A-1 \rightarrow (n,7)\]
\[(n,7): Y:=Y+1 \rightarrow (n,5).\]
where \(l_1\) is some new label. Continuing in this fashion, the rest of \(\Delta_1(P)\) is found to be
We have cheated a bit, in instruction (c,6), replacing the sequence cc by the single instruction A:=A-2, to save an instruction or two. The unconditional jumps can now be eliminated, leaving the following 21 instructions for R = Δ₁(P):
1: X=0 + 0,2
2: X:=X-1 + 3
3: Y:=Y+1 + 4
4: A=0 + 12,5
5: B:=A+2 + 6
6: A:=A-1 + 7
7: Y:=Y+1 + 8
8: A=0 + 14,9
9: Y:=Y+1 + 10
10: A=1 + 18,11
11: A:=A-2 + 7
12: B:=A+2 + 13
13: A:=B + 1
14: X=0 + 0,15
15: X:=X-1 + 16
16: A:=B + 17
17: B:=A+1 + 7
18: X=0 + 0,19
19: X:=X-1 + 20
20: A:=B+1 + 21
21: B:=B+2 + 8
The next translation to be applied is $\Delta_2$ (section 3). Here, we can take $K=2$, and obtain, for $Q = \Delta_2(R)$;
\[
\begin{align*}
(00,1): & \quad X=0 \rightarrow (00,0), (00,2) \\
(00,2): & \quad X:=X-1 \rightarrow (00,3) \\
(00,3): & \quad Y:=Y+1 \rightarrow (00,4) \\
(00,4): & \quad A=0 \rightarrow (00,12), (00,5) \\
(00,5): & \quad B:=A+1 \rightarrow (00,6) \\
(00,6): & \quad A:=A-1 \rightarrow (10,7) \\
(10,7): & \quad Y:=Y+1 \rightarrow (10,8) \\
(10,8): & \quad \rightarrow (10,9) \\
(10,9): & \quad Y:=Y+1 \rightarrow (10,10)
\end{align*}
\]
\[
\begin{align*}
(10,10): & \quad A=0 \rightarrow (10,18), (10,11) \\
(10,11): & \quad A:=A-1 \rightarrow (10,7) \\
(00,12): & \quad B:=A+1 \rightarrow (00,13) \\
(00,13): & \quad A:=B \rightarrow (00,1) \\
(10,18): & \quad X=0 \rightarrow (10,0), (10,19) \\
(10,19): & \quad X:=X-1 \rightarrow (10,20) \\
(10,20): & \quad A:=B \rightarrow (10,21) \\
(10,21): & \quad B:=B+1 \rightarrow (10,8)
\end{align*}
\]
At this point, we know $f_Q = f_P$ and $a_Q \leq a_P/2$. Actually, $Q$ has a running time given by
\[
t_Q(x) = \begin{cases}
x^2 + 2x - 1 & \text{for } x \geq 2 \\
0 & \text{for } x = 0, \\
3 & \text{for } x = 1,
\end{cases}
\]
so that $t_Q \leq t_P/2$ already, and so in this case Lemma 3.9 does not have to be invoked. The flowchart version of $Q$ is
START
X = 0
YES → HALT
X := X - 1
Y := Y + 1
A = 0
NO
B := A + 1
A := B
YES
B := A + 1
A := A - 1
Y := Y + 1
Y := Y + 1
A = 0
NO
A := A - 1
YES
X = 0
YES
HALT
NO
X := X - 1
A := B
B := B + 1
§6. Further results and discussion
It immediately follows, by using Theorem 3.1 repeatedly, that given an arbitrary integer $c$ and program $P$, we can find a program $Q$, equivalent to $P$ and on-line if $P$ is, such that $t_Q \leq t_P/c$. Hence $I_0$-programs can be speeded up by an arbitrary linear factor.
It is worth emphasising that the speed-up property for an instruction set $I$ asserts that given any $I$-program $P$, an $I$-program $Q$ can be found such that
(i) $Q$ is on-line if $P$ is,
(ii) $Q$ is equivalent to $P$,
(iii) $t_Q \leq t_P/2$.
Condition (i) is important in that, only by assuming it necessary, can we prove that if $I_0$ is augmented with addition and subtraction, then the resulting instruction set does not possess the speed up property (Chapter 5). Similarly, if $I_0$ is augmented with instructions to address work registers indirectly. We do not know whether condition (i) can be dropped. That is, if condition (i) is omitted and the weakened version called the weak speed up property, then we do not know whether, for an arbitrary instruction set $I$, weak speed up for $I$ implies speed up for $I$. A similar ignorance exists for exact speed up. An instruction set $I$ has the exact speed up property if, given an integer $c > 0$ and an $I$-program $P$, an $I$-program $Q$,
equivalent to $P$, can be found such that
(i) $Q$ is on-line if $P$ is,
and (ii) $t_Q = \left\lfloor \frac{t_P}{c} \right\rfloor$.
Does the speed up property for $I$ imply exact speed up? We can show that $I_0$ possesses exact speed up. This can probably be proved by modifying the translations, but we give an alternative proof, based on the fact (which we do not formally verify), that the given translations actually prove the following stronger result:
**Corollary 3.10** Given an $I_0$-program $P$, we can find an $I_0$-program $Q$, which is equivalent to $P$ and on-line if $P$ is, such that
$$\Delta t_Q \leq (\Delta t_P)/2,$$
(where $\Delta f(x) = f(x) - f(x-1)$ if $x > 0$, and $\Delta f(0) = f(0)$).
This fact is used in case (ii) of the following theorem. The proof technique, which also appears again in Chapter 4, is similar to that used in Fischer [15] on an analogous result for Turing machines.
**Theorem 3.11** Given any program $P$ and integer $c$, we can find a program $Q$, equivalent to $P$ and on-line if $P$ is, such that
$$t_Q = \left\lfloor \frac{t_P}{c} \right\rfloor.$$
Proof. Let \( t = \left[ \frac{t_p}{c} \right] \). There are two cases to be considered depending on whether \( P \) is on-line or not.
(i) \( P \) is not on-line. By suppressing the output instructions of \( P \), inserting appropriate new ones after the work register instructions and using speed-up, we can find a program \( R \) such that
\[
f_R = t \quad \text{and} \quad t_R \leq \frac{t_p}{6c}.
\]
Also by speed up a program \( S \) can be found such that
\[
f_S = f_P \quad \text{and} \quad t_S \leq \frac{t_p}{6c}.
\]
Since \( \frac{t_p}{3c} \leq \frac{1}{3} \left[ \frac{t_p}{c} \right] \), it follows that
\[
t_R + t_S \leq \left[ \frac{t}{3} \right],
\]
with equality only when the right hand side is zero. The final program \( Q \) is defined from modified versions of \( S \) and \( R \), described as follows:
(a) program \( R' \) is formed from \( R \) by replacing the output instructions of \( R \) by instructions of the form \( A := A + 1 \), where \( A \) is a register not appearing in \( S' \) or \( R' \), so that, through these instructions, \( R' \) computes \( \left[ \frac{t}{3} \right] \) in \( A \). In addition, \( R \) remembers in its label structure whether an instruction \( A := A + 1 \) is ever executed, and arranges to waste \( [t, 3] \) steps by obeying some dummy instruction. Next, each original work register instruction of \( R \) has inserted after it,
an instruction $A := A - 1$. Thus $R'$ computes $\left\lfloor \frac{t}{3} \right\rfloor - t_R$ in register $A$, and
$$f_{R'} = 0 \quad \text{and} \quad t_{R'} = 2t_R + \left\lfloor \frac{t}{3} \right\rfloor + \left\lfloor t, \frac{2}{3} \right\rfloor$$
(b) Program $S'$ is formed from $S$ by inserting an instruction $A := A - 1$ after each work register instruction of $S$. Thus
$$f_{S'} = f_S \quad \text{and} \quad t_{S'} = 2t_S.$$
The final program $Q$ is formed by following the program $R' + S'$ (given by the addition theorem) by the code
which is only executed when $R$ indicates that at least one $A := A + 1$ instruction has been obeyed. Since the effect of $R' + S'$ is to leave $\left\lfloor \frac{t}{3} \right\rfloor - t_R - t_S$ in register $A$, the running time of $Q$ is given by
\[ t_Q = 2t_R + 2t_S + \left[ \frac{t}{3} \right] + [t,3] + 2\left( \left[ \frac{t}{3} \right] - t_R - t_S \right), \]
by inequality (1). Thus \( t_Q = t \) and as \( f_Q = f_{S'} + f_{R'} = f_P \), the theorem is proved in this case. Note that the construction never yields an on-line program \( Q \), so that a slightly different construction has to be given in the case that \( P \) is on-line.
(ii) **P is on-line.** Using the stronger conclusion of Corollary 3.10 we can find, in a similar fashion to case (i), on-line programs \( R \) and \( S \) such that
\[ f_R = t \quad \text{and} \quad f_S = f_P \]
and
\[ \Delta t_R + \Delta t_S \leq \left[ \frac{\Delta t}{3} \right], \]
with equality holding only when the right hand side is zero. The programs \( R' \) and \( S' \) are formed as in case (i), except that \( R \) arranges to waste \( \left[ \Delta t, \frac{2}{3} \right] \) steps before the execution of each input test storing only \( \left[ \frac{\Delta t}{3} \right] \). \( Q \) is also the same as in case (i), except that the code which reduces \( A \) to zero is inserted before each input test of \( R' + S' \). Program \( Q \) is therefore on-line, and since \( A \) is reduced to zero before each input test, we have
\[ \Delta t_Q = 2\Delta t_R + 2\Delta t_P + \left[ \frac{\Delta t}{3} \right] + \left[ \Delta t, \frac{2}{3} \right] + 2\left( \left[ \frac{\Delta t}{3} \right] - \Delta t_R - \Delta t_P \right). \]
Thus \( t_Q = t \) and as \( Q \) is equivalent to \( P \) and on-line, the theorem is proved.
In the next chapter, we show that linear speed up is the best that can be obtained.
CHAPTER FOUR
THE HONEST FUNCTIONS
Throughout this chapter, except where otherwise stated, the term program denotes a program defined over some fixed, but arbitrary instruction set $I$; thus all concepts are defined relative to $I$. The object of the chapter is to investigate the class of honest functions. These functions have the following definition:
(1) A program $P$ is said to be **honest** if $t_P \leq f_P$.
(2) A function $f$ is **honest** if there is an honest program which computes $f$.
(3) A function $f$ is **superhonest** if there is an on-line honest program which computes $f$.
The main reason behind the introduction of the honest functions, is that it is exactly the concept we need to show that, no matter what instruction set $I$ is specified, linear speed-up is the best possible (Section 1). However, having introduced this notion, a more fundamental fact emerges (Section 2), which we now outline.
For any function $t$, let $T[t]$ denote that class of functions which can be computed by programs with a running time bounded by $ct$, for some constant $c$. More briefly,
$$T[t] = \{f_P : t_P \leq t\}.$$
Further, let $R$, the class of real-time computable functions, be the set
$$R = \{f_P : t_P(x) \leq x\}.$$
The main theorem of Section 2 then says: there is a simple 2-place functional $F$, such that if $t$ is a strictly increasing superhonest function, then
$$f \in T[t] \text{ if and only if } F(f,t) \in R.$$
The import of this result is that to a large extent (more precisely, to the extent that the superhonest functions form a sufficiently embracing class of functions), the study of time limited computation on register machines can be reduced to the study of real-time computation. In order to show that a given function $f$ is or is not computable within time $t$, it is sufficient to show that $F(f,t)$ is or is not real-time computable. This remark motivates Chapter 5, wherein methods, more subtle than crude size arguments, are developed for showing that functions are not real-time computable.
Further sections clarify the relationship between the honest and superhonest functions and the running times of programs (Section 3), and explore some of the closure properties of these classes (Sections 4 and 5).
§1. Honesty and linear speed-up
In this section, we show that no instruction set I can have a better than linear speed-up property.
Suppose I does possess such a speed-up. This means, in particular, that given any program P, one can find an equivalent program Q for which
\[ t_Q \triangleq t_P. \]
Let P be an honest program which computes a non-ultimately linear function (the existence of such a program is guaranteed by the fact that I always contains I), and let Q be the speeded up version. Since \( f_Q = f_P \), we have \( x \triangleq t_Q(x) \) by the minimal growth rate theorem. But now,
\[
\begin{align*}
f_Q & \triangleq t_Q & \text{by the size theorem}, \\
& \triangleq t_P & \text{by hypothesis}, \\
& \triangleq f_P & \text{since } P \text{ is honest}, \\
& = f_Q & \text{since } Q \text{ is equivalent to } P.
\end{align*}
\]
Thus \( f_Q \triangleq f_Q \), which is impossible; hence Q cannot exist.
The same idea can be stated differently.
**Theorem 4.1.** Suppose f is an unbounded honest function, and g is arbitrary. Then
\[ T[f] \subseteq T[g] \quad \text{if and only if} \quad f \triangleq g. \]
The proof makes use of the following lemma, which is also used in subsequent sections.
Lemma 4.2 If \( f \) is honest and \( f(x) \triangleleft x \), then \( f \) is ultimately periodic.
Proof. By definition, there is a program \( P \) computing \( f \) for which \( t_P \triangleleft f \). If \( f(x) \triangleleft x \), then \( t_P(x) \triangleleft x \), and so \( f \) is ultimately linear, by the minimal growth rate theorem. But since \( f(x) \triangleleft x \), \( f \) must in fact be ultimately periodic.
Proof of Theorem 4.1
The fact that \( f \triangleleft g \) implies \( T[f] \subseteq T[g] \) is obvious by the transitive property of \( \triangleleft \). For necessity, suppose \( g \triangleleft f \). We show that there is some function \( h \in T[f] - T[g] \).
Case 1. \( x \triangleleft g(x) \). Clearly, \( f \in T[f] \) since \( f \) is honest. If \( f \in T[g] \), then \( f \triangleleft g \) by the size theorem and the fact that \( x \triangleleft g(x) \). This contradicts the assumption that \( g \triangleleft f \).
Case 2. \( g(x) \triangleleft x \). In this case, \( T[g] \) is just the class of ultimately linear functions. The function \( a \), where
\[
a(x) = (x \text{ even} + x, 0)
\]
is not therefore in \( T[g] \). The function \( a \) can be computed by a I-program \( P \) (since I contains \( I_0 \)), for which
\[
t_P(x) \triangleleft x.
\]
Now, since \( f \) is unbounded, it is not ultimately periodic, and so \( x \triangleleft f(x) \) by Lemma 4.1. Hence \( a \in T[f] \).
Corollary 4.3 If \( f \) and \( g \) are unbounded honest functions, then
\[
T[f] = T[g] \text{ if and only if } f \sim g.
\]
Proof. Immediate from Theorem 4.1.
§2. The real-time characterisation
In order to prove the main result of this section, we need to consider certain properties of the output function \( \theta_P \) of an on-line program \( P \). It will be recalled from Section 2.7 that
\[
\theta_P(x) = \begin{cases}
\text{total number of work register instructions executed by } P, \text{ on any sufficiently large input, prior to the execution of the } (x+1)\text{st output instruction}, \\
= \text{undefined, if no such output occurs.}
\end{cases}
\]
If \( P \) is on-line and \( f_P \) is unbounded, then \( \theta_P \) is a well defined total function. (If \( P \) is not on-line, then \( \theta_P \) is not well defined, since the definition depends on the particular input chosen).
Theorem 4.4 If \( f \) is unbounded and superhonest, then there is an on-line program \( P \) computing \( f \), for which
\[
\theta_P(x) \leq x.
\]
Proof. There are two cases to be considered. First, if \( f \) is ultimately linear, then there is an on-line program \( P \) computing \( f \) for which \( \theta_P(x) = 0 \) for all \( x \), and in this case the theorem follows at once. Accordingly, we suppose for the rest of the proof,
that \( f \) is not ultimately linear.
Since \( f \) is superhonest, we can assume, by the almost everywhere theorem and the composition theorem, that there is an on-line program \( Q \) computing \( cf \), for which
\[
t_Q(x) \leq cf(x) \quad \text{for all } x,
\]
where \( c \) is some integer greater than zero.
Below, we construct a program \( R \), for which
\[
f_R(x) = cf(x) \quad \text{and} \quad \theta_R(x) \leq x.
\]
\( R \) can be converted into the final program \( P \) by permitting only one out of every \( c \) outputs to be given. We have
\[
\theta_P(x) = \theta_R(cx) \leq x,
\]
and
\[
f_P(x) = f(x),
\]
giving the desired result.
The program \( R \) is a modified version of \( Q \), in which (supposing A and B are two registers not appearing in \( Q \)):
(1) after each work register instruction of \( Q \) is inserted the code:
(ii) each (original) output instruction of $Q$ is replaced by the sequence
\[
\begin{align*}
A &= 0 \\
\text{YES} & \quad Y := Y + 1 \\
& \quad B := B + 1 \\
\text{NO} & \quad A := A - 1 \\
B &= 0 \\
\text{YES} & \quad Y := Y + 1 \\
& \quad A := A + 1 \\
\text{NO} & \quad B := B - 1
\end{align*}
\]
First, it is immediate that $R$ is an on-line program if $Q$ is. To show that $R$ has the desired properties, we compare the computation sequences of $R$ and $Q$ on some sufficiently large input, and examine the contents of the registers $A$, $B$ and $Y$ at those points in the computation sequence of $R$ which correspond to points in the computation sequence of $Q$ immediately prior to an output or work register instruction. We refer to the $n$th such point as point $n$, allowing point 0 to designate the very start of the computations.
Suppose that at point $n$, $t_n$ work register instructions of $R$ have been executed, and $a_n$, $b_n$, $y_n$ denote the contents of $A$, $B$, and $Y$. At the corresponding point of $Q$, suppose $t$ work register instructions have been executed, and $y$ is the contents of $Y$.
It is immediate that
$$t_n = 3t + 2y.$$
(1)
Moreover, we claim:
(i) if $y \geq t$, then $a_n = y - t$, $b_n = 0$, $y_n = y$
(ii) if $y < t$, then $a_n = 0$, $b_n = t - y$, $y_n = t$.
The proof is by induction. (i) and (ii) trivially hold for $n=0$, since all registers are zero at the start. Suppose (i) and (ii) hold at point $n$. Between point $n$ and point $(n+1)$ the computation sequence of $Q$ contains exactly one output or work register instruction. These two possibilities are examined separately.
Let \( y' \) and \( t' \) be \( y \) and \( t \) for point \((n+1)\).
(a) an output instruction. Here, \( y' = y + 1 \) and \( t' = t \).
(i) if \( y > t \), then \( y' > t' \). By inductive assumption, \( b_n = 0 \), and so by definition of \( R \):
\[
a_{n+1} = y - t + 1 = y' - t'
\]
\[
b_{n+1} = 0
\]
\[
y_{n+1} = y + 1 = y'.
\]
(ii) if \( y < t \), then \( y' < t' \). By assumption \( b_n \neq 0 \) and so:
\[
a_{n+1} = 0
\]
\[
b_{n+1} = t - y - 1 = t' - y'
\]
\[
y_{n+1} = t = t'.
\]
(b) a work-register instruction. Here \( y' = y \) and \( t' = t + 1 \).
(i) if \( y > t \), then \( y' > t' \). Since \( a_n \neq 0 \):
\[
a_{n+1} = y - t - 1 = y' - t'
\]
\[
b_{n+1} = 0
\]
\[
y_{n+1} = y = y'
\]
(ii) if \( y < t \), then \( y' < t' \). Since \( a_n = 0 \):
\[
a_{n+1} = 0
\]
\[
b_{n+1} = b - y + 1 = t' - y'
\]
\[
y_{n+1} = t + 1 = t'.
\]
The induction step is complete. It immediately follows that
\[ f_R(x) = \max (t_Q(x), t'_Q(x)) = cf(x) \]
for all \( x \).
By an argument similar to that used in the size theorem, we also have
\[ y \leq k(1+t), \quad (2) \]
since \( t'_Q \) is not ultimately linear. Here, \( k \) is the number of distinct output instructions in \( Q \). From (1) and (2) we have
\[ t_n \leq (3 + 2k)t + 2k, \]
whence
\[ y_n \geq \frac{t_n - 2k}{3+2k}, \]
since \( y_n = \max(y,t) \). By definition of \( \theta_R \), we have
\[ \theta_R(y_n-1) \leq t_n, \]
whence
\[ \theta_R\left(\frac{t_n - 2k}{3+2k} - 1\right) \leq t_n, \quad (3) \]
since \( \theta_R \) is monotonic.
Finally, let \( x \) be arbitrary. By choosing a sufficiently large input, we can find an \( n \), such that
\[ (2k+3)x \leq t_n - (4k+3) < (2k+3)x + 3, \]
since \( t_n < t_{n+1} \leq t_{n+3} \). Hence, using (3),
\[
\theta_R(x) \leq t_n \leq x,
\]
and the theorem is proved.
We can now prove
**Theorem 4.5** An unbounded function \( f \) is superhonest if and only if \( f^* \) is on-line real time computable.
**Proof.**
Suppose \( f \) is superhonest, so that by Theorem 4.4, there is an on-line program \( P \) computing \( f \), for which \( \theta_P(x) \leq x \) for all \( x \). By the inversion theorem of Section 2.7, \( P^* \) computes \( f^* \) with a running time given by
\[
t_{P^*}(x) = \theta_P(x) \leq x.
\]
Thus \( f^* \) is on-line real time computable. Conversely, suppose \( P \) is an on-line program computing \( f^* \) and
\[
t_P(x) \leq x.
\]
Using the inversion theorem again, \( P^* \) computes \( f^{**} = f \), and
\[
t_{P^*}(x) \leq t_P \cdot t_{P^*}(x) \leq f^*_P(x) = f(x),
\]
whence \( f \) is superhonest.
The main characterisation can now be stated.
**Theorem 4.6** Let \( t \) be a strictly increasing superhonest function, and \( p \) be the function \( p(x) = x - 1 \). Then
(i) \( f \in T[t] \) if and only if \( f \cdot p \cdot t^* \in R \),
(ii) \( f \in T_{ON}[t] \) if and only if \( f \cdot p \cdot t^* \in R_{ON} \).
(where \( T_{ON}[t] = \{ f_P : t_P \leq t, P \text{ on-line} \} \) etc.)
**Proof.** (a) **necessity.** Suppose \( P \) is a program for which
\[
f_P = f \quad \text{and} \quad t_P \leq t. \tag{1}
\]
Since \( p \) is ultimately linear, we can find an on-line \( Q \) for which
\[
f_Q = p \quad \text{and} \quad t_Q = 0. \tag{2}
\]
Since \( t \) is superhonest and unbounded, we can find an on-line program \( R \), by Theorem 4.5, such that
\[
f_R = t^* \quad \text{and} \quad t_R(x) \leq x. \tag{3}
\]
By the composition theorem of Section 2.6, the program \( P \cdot Q \cdot R \) which is on-line if \( P \) is, computes \( f \cdot p \cdot t^* \) with a running time
\[
t_{P \cdot Q \cdot R}(x) = t_R(x) + t_Q \cdot f_R(x) + t_P \cdot f_Q \cdot f_R(x)
\]
\[
\leq x + t \cdot p \cdot t^*(x),
\]
using (1), (2) and (3). By definition of \( t^* \), we have
\[ t(t^*(x) - 1) \leq x \text{ for all } x > t(0), \text{ and so} \]
\[ t_{P,Q,R}(x) \leq x. \]
(b) **Sufficiency**
Let \( P \) be a program such that
\[ f_P = f \cdot p \cdot t^* \quad \text{and} \quad t_P(x) \leq x. \]
Since \( t \) is superhonest, we can find an on-line \( Q \) such that
\[ f_Q = t \quad \text{and} \quad t_Q \leq t. \]
By composition, the program \( P \cdot Q \) which is on-line if \( P \) is, computes \( f \cdot p \cdot t^* \cdot t \) with a running time
\[ t_{P,Q} = t_Q + t_P \cdot f_Q \leq t, \]
using (4) and (5). However, if \( t \) is strictly increasing,
\[ t^*(t(x)) = x+1, \]
i.e. \( p \cdot t^* \cdot t(x) = x \). Thus \( P \cdot Q \) computes \( f \), and the theorem is proved.
It is worth noting that the statement of Theorem 4.6 cannot be simplified to read:
\[ f \in T[t] \text{ if and only if } f \cdot t^* \in R, \]
as this assertion is false. Consider \( f(x) = t(x) = x! \). It can be shown (Example 4.17) that the factorial function is \( I_0 \)-superhonest so that \( f \in T[t] \). However, \( f \cdot f^*(x!) = (x+1)! \), which shows that \( f \cdot f^*(x) \notin x \), so by the size theorem, \( f \cdot f^* \) cannot be real time computable.
**Corollary 4.7** Suppose \( t \) is strictly increasing and superhonest. Then
\[ f \in T_{ON}[t] \text{ if and only if } t.f^* \text{ is superhonest.} \]
**Proof.** Immediate, from Theorems 4.5 and 4.6, since by Lemma 2.10
\[(t \cdot f^*)^* = f^{**}.p \cdot t^* = f \cdot p \cdot t^*. \]
§3. **Honesty and running time**
In this section, we examine the relationship between the honest functions and the running times of programs. It turns out that for \( I_0 \) - programs these classes are identical. The following theorem is the register machine analogue to the main result of Fischer [15].
Theorem 4.8 Let \( f \) be an arbitrary honest function and \( P \) a program for which \( t_P \leq f \). Then there is a program \( Q \) equivalent to \( P \) for which \( t_Q = cf \) for some constant \( c \).
Proof. The proof is very similar to that of Theorem 3.11. Suppose \( R \) is an honest program which computes \( f \), i.e. \( t_R \leq f \). In fact, using the almost everywhere theorem, we can assume that
\[
t_R(x) + t_P(x) \leq kf(x) \quad \text{for all } x,
\]
for some positive integer \( k \), with equality holding only when \( f(x) = 0 \). We modify these programs as follows:
(i) Program \( R' \) is formed from \( R \) by replacing every output instruction of \( R \), by a sequence of \( k \) instructions of the form \( A := A+1 \), where \( A \) is some register not appearing in \( P \) and \( R \).
Moreover, \( R' \) remembers in its label structure whether such a sequence is ever executed. In addition, an instruction \( A := A-1 \) is inserted after each original work register instruction of \( R \). Thus \( R' \) computes \( kf - t_R \) in register \( A \), and has
\[
f_{R'} = 0 \quad \text{and} \quad t_{R'} = 2t_R + kf.
\]
(ii) Program \( P' \) is formed from \( P \) by inserting an instruction \( A := A-1 \) after each work register instruction.
Thus
\[ f_{P'} = f_P \quad \text{and} \quad t_{P'} = 2t_P. \]
The final program \( Q \) is formed by following the program \( P' + R' \) by the code
which is only executed when \( R' \) indicates that at least one sequence of \( A := A+1 \) instructions has been executed. Since the effect of \( P' + R' \) is to leave \( k\ell - t_R - t_P \) in register \( A \), the running time of \( Q \) is given by
\[ t_Q = 2t_R + k\ell + 2t_P + 2(k\ell - t_R - t_P), \]
since, by supposition, \( k\ell > t_R + t_P \). Thus \( t_Q = 3k\ell \) and \( f_Q = f_P \), proving the theorem.
**Corollary 4.9** If \( f \) is \( I_0 \)-honest, then \( f \) is the running time of some \( I_0 \)-program.
**Proof.** For \( I_0 \)-programs, we can speed up the \( Q \) of Theorem 4.8 by exactly \( \frac{1}{c} \).
Lemma 4.10 The running time of every (on-line) program is honest (superhonest).
Proof. Let \( P \) be an arbitrary program. Delete all output instructions from \( P \) and insert new ones after each work register instruction. The resulting program \( Q \) has
\[
f_Q = t_P \quad \text{and} \quad t_Q = t_P,
\]
showing that \( t_P \) is honest. If \( P \) is on-line, \( Q \) will be also, and so \( t_P \) is superhonest.
Corollary 4.11 A function is \( I_0 \)-honest if and only if it is the running time of some \( I_0 \) program.
The proof of Theorem 4.8 does not carry over in the case of on-line programs and superhonest functions.
Lemma 4.12 The function \( h \), where \( h(x) = [\sqrt{x}]^2 \), is superhonest, but for no integer \( c \) is \( ch \) the running time of any on-line program.
Proof.
We have \( h(x) = S(S^*(x)-1) \), where \( S(x) = x^2 \). Since \( S \) is superhonest (Example 4.15), \( h \) is on-line real time computable. Hence \( h \) is superhonest, as \( x \leq h(x) \).
Suppose that \( P \) is an on-line program with \( t_P = ch \), for
some integer $c$. Suppose $P$ has $k$ distinct input tests, and consider the computation of $P$ with an input of the form $x^2 + 2x$, where $2x > k$. Since $P$ is on-line and
$$t_P(x^2 + 2x) - t_P(x) = ch(x^2 + 2x) - ch(x^2) = 0,$$
the last $2x$ input tests of this computation were executed on the same contents of the work registers, and so some input test was obeyed twice with the same work register configuration. This means that for any input $y \geq x^2 + 2x$, $t_P(y) = t_P(x^2)$ and so $h$ is bounded, which is clearly false.
For on-line programs, the best result is:
**Theorem 4.13** Suppose $\Delta f$ is honest and $P$ is an on-line program for which $\Delta t_P \leq \Delta f$. Then there is an on-line program $Q$, equivalent to $P$, such that $t_Q = cf$ for some constant $c$. (For $I_0$-programs we can take $c=1$).
**Proof.** Once we prove that if $\Delta f$ is honest, then there is an on-line program $R$ computing $f$ such that $\Delta t_R \leq \Delta f$, the rest of the proof follows along the same lines as Theorem 3.11. There are two cases to be considered.
(1) $\Delta f(x) < x$. In this case $\Delta f$ must be ultimately periodic by Lemma 4.2, and so $f$ is (monotone) ultimately linear. Here, we can take $\Delta t_R = 0$.
(2) \( x \not\in \Delta f(x) \). Suppose \( S \) is an honest program which computes \( \Delta f \). Modify \( S \) to read its input from a new register \( A \), and let \( R \) be the program
where \( B \) is another register not appearing in \( Q \). \( R \) is an on-line program which computes \( f \), and
\[
\Delta t_R(x) = 2 + kx + t_S(x) \quad \text{for some } k
\]
\[
\not\in \Delta f(x),
\]
since \( S \) is honest and \( x \not\in \Delta f(x) \).
**Corollary 4.14** If \( \Delta f \) is honest, then \( f \) is superhonest.
**Example 4.15** Let \( S(x) = x^2 \). Since \( \Delta S(x) = (x=0 + 0, 2x-1) \), \( \Delta S \) is ultimately linear and so honest. Thus \( S \) is superhonest.
Restated, the last corollary says that if \( f \) is honest, then \( \Sigma f \) is superhonest. We end this section by showing that if \( f \) is honest, then \( \Pi f \) is superhonest, where
\[(\Pi f)(x) = f(0) \times f(1) \times \ldots \times f(x).\]
**Theorem 4.16** If \(f\) is honest and \(f > 0\), then \(\Pi f\) is superhonest.
**Proof.** There are two cases to be considered.
(i) \(f(x) \preceq x\). In this case \(f\) is ultimately periodic.
Suppose \(f(x+c) = f(x)\) for \(x \geq x_0\).
It follows that for \(x \geq x_0\),
\[f(x) = f(x_0 + [x - x_0, c]),\]
whence
\[\Pi_{y=x+1}^{x+c} f(y) = \Pi_{y=x_0+1}^{x_0+c} f(y) = d \text{ say.}\]
Thus, if \(\Pi f = h\), then
\[h(x+c) = dh(x) \text{ for } x \geq x_0,\]
and so
\[Ah(x+c+1) = dAh(x+1) \text{ for } x \geq x_0.\]
It follows from this that the following on-line program computes \(h\):
\[
Y := Y + f(0)
\]
\[
X = 0 \quad \text{YES} \quad \text{HALT}
\]
\[
X := X - 1 \\
Y := Y + \Delta h(1)
\]
\[
X = 0 \quad \text{YES} \quad \text{HALT}
\]
\[
X := X - 1 \\
Y := Y + \Delta h(x_0)
\]
\[
A := A + 1
\]
\[
X = 0 \quad \text{YES} \quad \text{HALT}
\]
\[
X := X - 1 \\
Y := Y + A \times \Delta h(x_0 + l)
\]
\[
X = 0 \quad \text{YES} \quad \text{HALT}
\]
\[
X := X - 1 \\
Y := Y + A \times \Delta h(x_0 + c)
\]
\[
A := A + d
\]
When the instructions involving multiplication of $A$ by a constant are replaced by $I_0$ - subprograms, it is possible to verify that the resulting program $P$ has a running time $t_P \leq h$, whence $h$ is superhonest. The details are omitted.
(ii) $x \not\in f(x)$. In this case, suppose $P$ is a program which computes $f$ honestly. $Q$ is a modified version of $P$ in which the input is read from a new register $A$. In addition, for each input $x$, $Q$ computes $f(x)$ into some work register, and outputs the quantity $b(f(x)-1)$, where $b$ is the initial contents of another register $B$. Finally, before halting, $Q$ stores the value $bf(x)$ in $B$. Now let $R$ be the following program:
```
Y := Y + f(0)
B := f(0)
X = 0
X := X - 1
C := C + 1
A := C
HALT
```
where \( C \) is yet another register not appearing in \( Q \). It is easy to verify by induction that the contents of \( B \) immediately prior to the execution of the \((x+1)\)st input test of \( R \) is just \( h(x) = (II f) \) and so
\[
f_R(x) = f(0) + f(0) \times (f(1) - 1) + \ldots \\
+ f(0) \times f(1) \times \ldots \times f(x-1) \times (f(x) - 1) \\
= h(x).
\]
Moreover, the running time of \( R \) satisfies
\[
t_R(x) \leq \sum_{y=0}^{x} (y + h(y)) \leq (\Sigma h)(x),
\]
since \( y \leq f(y) \leq h(y) \). It remains to show that \( \Sigma h \leq h \).
We have
\[
\frac{(\Sigma h)(x)}{h(x)} = 1 + \frac{1}{f(x)} + \frac{1}{f(x) \times f(x-1)} + \ldots + \frac{1}{f(x) \times \ldots \times f(1)} \\
\leq 1 + \frac{x}{f(x)}.
\]
Since \( x \leq f(x) \), the conclusion follows.
**Example 4.17** The factorial function is superhonest.
Clearly \( x! = (II f)(x) \), where \( f \) is the ultimately linear function
\[
f(x) = (x=0 + 1, x).
\]
§4. **Closure under composition**
The honest functions are not closed under unrestricted composition as we can easily show.
Let \( f \) be the function
\[
f(x) =
\begin{cases}
2x+1 & \text{if } x \text{ is square,} \\
2x & \text{otherwise.}
\end{cases}
\]
We have
\[
f(x) = 2x + \Delta sq^*(x),
\]
where \( sq(x) = x^2 \). Since \( sq \) is superhonest, \( sq^* \) and hence \( \Delta sq^* \) are real time computable. It follows from the addition theorem that \( f \) is real time computable and hence honest, since \( x \leq f(x) \). Let \( g \) be the ultimately linear, and so honest, function
\[
g(x) = (x \text{ even} + 1, 0).
\]
The function \( g \cdot f \), whose values are
\[
(g \cdot f)(x) = (x \text{ square} + 0, 1)
\]
is not honest by Lemma 4.2.
**Theorem** 4.17
(i). If \( f \) and \( g \) are honest and \( f \) is unbounded then \( f \cdot g \) is honest.
(ii). If \( f \) and \( g \) are superhonest, then so is \( f \cdot g \).
(iii). If \( f \) is honest and \( g \) is ultimately linear, then \( f \cdot g \) is honest.
Proof. First, suppose \( g \) is bounded in each case, whence both \( g \) and \( f \cdot g \) are ultimately periodic. This shows that \( f \cdot g \) is honest in cases (i) and (iii) and superhonest in case (ii). Supposing \( g \) is not bounded so \( x \not\leq g(x) \), and \( P \) and \( Q \) are honest (on-line) programs which compute \( f \) and \( g \), so that \( P \cdot Q \) is an (on-line) program computing \( f \cdot g \):
(i) We have \( t_{P \cdot Q} = t_Q + t_P \cdot f_Q \not\leq g + f \cdot g \not\leq f \cdot g \),
if \( f \) is unbounded, since we have \( x \not\leq f(x) \) by Lemma 4.2.
(ii) Similar to case (i) if \( f \) is unbounded. If \( f \) and \( g \) are monotone, and \( f \) is bounded, then \( f \cdot g \) is constant almost everywhere and so superhonest.
(iii) If \( g \) is ultimately linear, then \( t_Q = 0 \), and so
\[ t_{P \cdot Q} \not\leq f \cdot g. \]
The above theorem can be generalised to prove certain other closure properties of the honest functions. Just for the remainder of this section we introduce functions of more than one argument, and say that a \( n \)-place function \( f \) is honest if there is a program \( P \), with \( n \) input registers \( X_1, X_2, \ldots, X_n \), which computes \( f \) with
\[ t_P(X_1, X_2, \ldots, X_n) \not\leq f(X_1, X_2, \ldots X_n). \]
It is easy to see that each of the functions
\[ \lambda xy \cdot x+y, \quad \lambda xy \cdot xxy, \quad \lambda xy \cdot x^y \]
are honest in this extended sense.
Theorem 4.18 Suppose \( g_1, g_2, \ldots, g_n \) are 1-place honest functions, and \( f \) is an n-place honest function. Then the function \( h \) defined by
\[
h(x) = f(g_1(x), g_2(x), \ldots, g_n(x))
\]
is honest, if either
(a) each function \( g_j \) is bounded,
or (b) \( \sum x_i \leq f(x_1, x_2, \ldots, x_n) \).
Proof. For each \( i, 1 \leq i \leq n \), let \( G_i \) be an honest program which computes \( g_i \) but stores the result in a new register \( A_i \). Let \( F \) be a program which computes \( f \), but reads the input from registers \( A_1, A_2, \ldots, A_n \). By the addition theorem, the program \( G_1 + G_2 + \ldots + G_n = G \) say, computes \( g_i(x) \), for each input \( x \), in register \( A_i \) for \( 1 \leq i \leq n \), and has a running time
\[
t_G(x) \leq \sum_{i=1}^{n} g_i(x).
\]
Let \( H \) be the program \( G \) followed by program \( F \). \( H \) computes \( h \), and
\[
t_H(x) \leq \sum g_i(x) + f(g_1(x), \ldots, g_n(x)).
\]
In the case that each \( g_j \) is bounded, the right hand side of this inequality is bounded and so \( h \) is honest. If at least one \( g_j \) is unbounded, then \( x \not\in g_j(x) \), and so \( \sum x_i \not\in f(x_1, x_2, \ldots, x_n) \) implies
\[ t_H(x) = f(g_1(x), \ldots, g_n(x)). \]
Hence \( h \) is again honest.
**Corollary 4.19** If \( f \) and \( g \) are honest, then so are
(i) \( f+g \),
(ii) \( f \times g \), provided \( f > 0 \) and \( g > 0 \),
(iii) \( f^g \), provided \( f > 2 \) and \( g > 0 \).
**Proof.** (i) is immediate.
(ii) If \( f \) and \( g \) are honest, with \( f, g > 0 \), then the functions \( f-1 \) and \( g-1 \) are honest by Theorem 4.17 (iii). Since
\[ x+y < (x+1)(y+1) \text{ for all } x, y, \]
and \( \lambda xy. (x+1)(y+1) \) is an honest function, we have
\[ f \times g = (f-1+1) \times (g-1+1) \]
is honest.
(iii) If \( f \) and \( g \) are honest with \( f > 2 \) and \( g > 0 \), then so are the functions \( f-2 \) and \( g-1 \). Since
\[ x+y \leq (x+2)^{y+1} \text{ for all } x, y, \]
and \( \lambda xy. (x+2)^{y+1} \) is honest, the conclusion follows.
Note that the conditions in (ii) and (iii) are necessary. Both \( f \) and \( g \) are honest, where
\[ f(x) = x \]
and
\[ g(x) = (x \text{ even} \rightarrow 1,0), \]
but neither \( f \times g \) or \( f^G \) are honest.
§5. **Subtraction of honest functions**
In this section, we show, under certain conditions, that the function \( f-g \) is honest if both \( f \) and \( g \) are. This result enables us to state more clearly the relationship between the honest and superhonest functions. The following subsidiary result is needed.
**Lemma 4.20** Suppose that \( f \) is honest and \( g=f \) almost everywhere. Then \( g \) is honest.
**Proof.**
Suppose \( x_0 \) is such that \( x \geq x_0 \) implies \( g(x) = f(x) \). If we define \( h \) by
\[ h(x) = f(x+x_0), \]
then \( h \) is honest, by Theorem 4.17. Suppose \( P \) is an honest program which computes \( h \), and let \( Q \) be the program:
It is clear that \( f_Q(x) = (x < x_0 + g(x), h(x - x_0)) \)
\[= g(x),\]
and \( t_Q(x) = (x < x_0 + 0, t_p(x - x_0)) \)
\[g(x),\]
and so \( g \) is honest.
**Theorem 4.21.** If \( f \) and \( g \) are honest with \( f \geq g \) and \( \liminf_{x \to \infty} \frac{f(x)}{g(x)} > 1 \), then the function \( f - g \) is honest.
**Proof.**
The theorem is proved by constructing a program \( R \) for which
\[t_R(x) = k(f(x) - g(x)) + 1 \text{ almost everywhere},\]
where \( k \) is some positive integer. Since the running time of any program is honest, Lemma 4.20 shows that the function \( k(f - g) + 1 \) is honest, and the final
result follows by using Theorem 4.17.
By Theorem 4.8, we can suppose that there are programs $P$ and $Q$ such that
$$f_P = f, \quad t_P = cf \quad \text{and} \quad f_Q = g, \quad t_Q = cg,$$
for some positive integer $c$. By hypothesis, we can find an integer $n$ so that $nf(x) \geq (n+1)g(x)$ almost everywhere. We modify programs $P$ and $Q$, by replacing every output instruction of $P$ by a sequence of $n$ assignments $A := A + 1$, and every output instruction of $Q$ by a sequence of $(n+1)$ assignments $A := A - 1$, where $A$ is a register not appearing in $P$ and $Q$. The resulting programs are added, giving a program $R'$ with a running time
$$t_{R'} = (c+n)f + (c+n+1)g,$$
and which leaves in $A$ the quantity $nf - (n+1)g$. The final program $R$ consists of $R'$ followed by the code
\[
\begin{align*}
A &:= A - 1 \\
B &:= B + 1 \\
\ldots \\
B &:= B + 1
\end{align*}
\]
$m$
where \( m \) is a positive integer that will be determined in a moment, and \( B \) is an arbitrary register. As long as \( nf > (n+1)g \), i.e. almost everywhere, the running time of \( R \) is given by
\[
t_R = (c+n)f + (c+n+1)g + 1 + (m+2)(nf - (n+1)g).
\]
We now choose \( m \) to satisfy
\[
(m+2)n + c + n = (m+2)(n+1) - (c+n+1),
\]
which gives \( m = 2c + 2n-1 \). With this value of \( m \),
\[
t_R = k(f-g) + 1,
\]
where \( k = 2n(n+c+1)+c \), and the theorem is proved.
The following example shows that the condition
\[
\liminf_{x \to \infty} \frac{f(x)}{g(x)} > 1
\]
is, in general, necessary.
**Example 4.22** Let \( f \) and \( g \) be the honest functions
\[
f(x) = \begin{cases}
x & \text{even} \\
2x & \text{odd}
\end{cases}
\]
and \( g(x) = x \)
we have \( f > g \) and \( \liminf_{x \to \infty} \frac{f(x)}{g(x)} = 1 \), but \( f-g \) is not honest.
Corollary 4.23 Suppose \( f \) is a monotone honest function for which
\[
\liminf_{x \to \infty} \frac{f(x+1)}{f(x)} > 1.
\]
Then \( f \) is superhonest.
Proof. Immediate from Corollary 4.14, since the condition implies \( \Delta f \) is honest.
In Chapter 5, we show the existence of a monotone honest function, which is not superhonest.
CHAPTER FIVE
NECESSARY CONDITIONS FOR ON-LINE COMPUTATION
The size theorem of Chapter 2 gives a simple condition that a function $f$ must satisfy in order to be computable within a time bound $t$; namely, $f \leq t$. However, this condition does not give any information on the computational complexity of 01-valued or slowly increasing functions. In this chapter we develop a sharper condition, but one that only pertains to on-line computation (Sections 1-3). Using this condition it is possible to show the existence of functions $f$, with $f$ monotone and $f(x) \leq x$, which are not on-line real time $I_0$-computable. In the case of a general instruction set $I$, the condition can only be used to construct functions $f$ such that for any on-line $I$-program $P$ computing $f$, we must have $t_P(x) \geq \varepsilon x$, where $\varepsilon > 0$ is a constant independent of $P$. (Section 4). Supposing $f$ is such a function, this means that if $f$ is on-line real time $I$-computable, then $I$ cannot possess the speed up property of Chapter 3. In Section 5, we use this fact to show that certain instruction sets do not possess speed up. Section 6 shows that there is a monotonic honest but not superhonest function - answering a question raised in Chapter 4, and Section 7 gives a structural characterisation of the real time $I$-computable functions, in terms of a certain type of programming language.
The basic necessary condition turns on two equivalence relations, one associated with functions, and the other with on-line programs. Sections 1 and 2 define these relations and investigates their properties.
§1. The equivalence relation \( \equiv_n \)
Let \( f \) be an arbitrary (total) function. For each integer \( n \geq 0 \), we define the equivalence relation \( \equiv_n (mod f) \) on \( \mathbb{N} \) by the condition:
for all \( x, y \in \mathbb{N}, \quad x \equiv_n y \ (mod \ f) \) if
for all \( z \leq n, \quad f(x+z) - f(x) = f(y+z) - f(y). \)
It is easily verified that \( \equiv_n \) is an equivalence relation. We are interested in the number of equivalence classes induced by \( \equiv_n \) on \( \mathbb{N} \). Taking \( S(x) = x^2 \), it is clear for any \( n > 0 \) that \( x \equiv_n y \ (mod \ S) \) if and only if \( x = y \), so that each integer stands in an equivalence class by itself. On the other hand, if \( E(x) = x \), then \( x \equiv_n y \ (mod \ E) \) is satisfied for any integers \( x, y, \) and \( n \), so there is only one equivalence class.
For \( m \geq n \), we let \( J_f(m,n) \) denote the number of equivalence classes induced by \( \equiv_n (mod \ f) \) on the initial subset
\{0, 1, \ldots, m-n\}
of \( \mathbb{N} \). Clearly, \( J_f(m,n) \) is always finite, and the following two properties of \( J_f \) are immediate:
(i) \( 1 \leq J_f(m,n) \leq m-n+1. \)
(ii) \( J_f \) is monotone in each argument.
Moreover, the bounds given in (i) can be obtained for \( n > 0 \), since \( J_E(m,n) = 1 \) and \( J_S(m,n) = m-n+1 \), where \( E \) and \( S \) are the functions defined above.
It may be mentioned that the reason we do not define $J_f$ over the, possibly more natural, initial subset $\{0, 1, \ldots, m\}$ of $\mathbb{N}$, is simply because the above definition enables certain properties to be stated more elegantly.
The definition of $J_f(m,n)$ means just that we can find a sequence
$$x_1, x_2, \ldots, x_J$$
of integers $x_j$, where $0 \leq x_j \leq m-n$ for $1 \leq j \leq J = J_f(m,n)$, such that
$$j \neq k \text{ implies } x_j \not\equiv_n x_k \pmod{f}.$$
This sequence is not necessarily unique, and we want to be able to choose one with, roughly speaking, minimum density. Define $S_f^{(i)}(m,n)$ for $1 \leq i \leq J$, by the condition
$$S_f^{(i)}(m,n) = \text{size} \{x_k : |x_i - x_k| < n\}.$$
In words, $S_f^{(i)}(m,n)$ is the number of elements of the above sequence which lie within distance $n$ of the element $x_i$. If $T = \{x_1, x_2, \ldots, x_J\}$ is chosen so that
$$\max_{1 \leq i \leq J} S_f^{(i)}(m,n)$$
is minimised, we refer to $T$ as a spanning set with minimum density, and define the density $S_f$ to be
$$S_f(m,n) = \min_T \max_{1 \leq i \leq J} S_f^{(i)}(m,n).$$
It is easily verified that $S$ depends only on $r, m$ and $n$, and
$$1 \leq S_f(m,n) \leq 2n-1$$
for all $m$ and $n$, with $n > 0$.
We consider one example to see how these definitions work out in practice. This example turns out to be important in the following sections.
**Example 5.1** Suppose $D = E\delta$, where $\delta$ is the function whose sequence of values
$$\delta(0), \delta(1), \ldots \text{ etc.},$$
is identical with the sequence of dyadic integers, written one after the other. The first few terms of this sequence are
$$0100011011000001 \ldots$$
$D$ is clearly monotone and satisfies $D(x) \leq x$. The first few values of $D$ are
$$0111123345 \ldots$$
Since every binary pattern of length $n \geq 1$ has appeared after at most $\sum_{j=0}^{n} j2^j$ terms of $\delta$, i.e. by $\delta(\sum_{j=0}^{n} j2^j - 1)$, it follows that
$$J_D(\sum_{j=0}^{n} j2^j + n - 1, n) = 2^n \text{ for all } n \geq 1.$$
Since \( \sum_{j=1}^{n} j2^j = (n-1)2^{n+1} + 2 \), we therefore have
\[
J_D((n-1)(2^{n+1} + 1) + 2, n) = 2^n.
\]
Moreover,
\[
S_D((n-1)(2^{n+1} + 1) + 2, n) = 1,
\]
since we can choose a spanning set \( T \) with minimum density, by taking
\[
T = \{(\sum_{j=1}^{n-1} j2^j) + kn : 0 \leq k \leq 2^n - 1\}.
\]
The following five lemmas summarise the important properties of \( J_f \) and \( S_f \). The first is an analogue of the Nerode theorem for regular sets (Rabin and Scott [34]).
**Lemma 5.2** If \( J_f \) is bounded, then \( f \) is ultimately linear.
**Proof.** If \( J_f \) is bounded, then for some constant \( k \), the equivalence relation \( \equiv \), where
\[
x \equiv y \text{ if for all } z \geq 0 \quad f(x+z) - f(x) = f(y+z) - f(y),
\]
induces just \( k \) equivalence classes on \( \mathbb{N} \). This means that among the numbers
\[
0, 1, \ldots, k
\]
there exists \( i, j \) with \( i < j \) such that \( i \equiv j \). Suppose \( j = i+c \), where \( c > 0 \). It follows that
\[
f(i+z) - f(i) = f(i+c+z) - f(i+c)
\]
for all \( z \geq 0 \). Taking \( y = z + i \), we have
\[
f(y+c) - f(y) = f(i+c) - f(i) = d \quad \text{say},
\]
for all \( y \geq i \). Hence \( f \) is ultimately linear.
**Lemma 5.3** For all \( m \) and \( n \) (with \( m \geq n \)), we have \( nJ_f(m,n) \leq mS_f(m,n) \).
**Proof.** Let \( m \) and \( n \) be fixed. Choose a spanning set \( T = \{x_1, \ldots, x_J\} \) with minimum density \( S = S_f(m,n) \). Suppose without loss of generality that \( x_i < x_j \) for \( i < j \). The definition of \( S \) implies that
\[
x_{jS+l} \geq x_i + jn \geq jn, \quad \text{for } j=0,1, \ldots \text{ etc.}
\]
Since \( x_i \leq m-n \), it follows that
\[
J \leq \left( \frac{m-n}{n} \right) S + 1 \leq \frac{m}{n} S,
\]
since \( S \geq 1 \).
**Lemma 5.4** \( x \equiv_n y \pmod{f} \) if and only if for all \( z \), \( 1 \leq z \leq n \),
we have \( \Delta f(x+z) = \Delta f(y+z) \).
**Proof.** Suppose \( x \equiv_n y \pmod{f} \). Since
\[
f(x+z) - f(x) = \sum_{r=1}^{z} \Delta f(x+r),
\]
it follows that
\[
\sum_{r=1}^{z} \Delta f(x+r) = \sum_{r=1}^{z} \Delta f(y+r),
\]
for all \( z \leq n \). Taking \( z = 1, 2, \ldots \) in succession, we have
\[
\Delta f(x+z) = \Delta f(y+z) \quad \text{for} \quad 1 \leq z \leq n.
\]
Conversely, this condition ensures that \( x \equiv_n y \pmod{f} \).
**Lemma 5.5** Suppose \( k = \text{size} \{\Delta f(x): 1 \leq x \leq m-n+1\} \).
Then
\[
J_{\Delta f}(m+1, n-1) \leq J_f(m,n) \leq kJ_{\Delta f}(m+1, n-1).
\]
**Proof.** By lemma 5.4 \( x \equiv_n y \pmod{f} \) if and only if
\[
\Delta f(x+z) = \Delta f(y+z) \quad \text{for} \quad 1 \leq z \leq n.
\]
In turn, this condition is equivalent to:
(i) \( \Delta f(x+1+z) - \Delta f(x+1) = \Delta f(y+1+z) - \Delta f(y+1) \quad \text{for} \quad 0 \leq z < n, \)
and (ii) \( \Delta f(x+1) = \Delta f(y+1) \).
Therefore, a necessary and sufficient condition that \( x \equiv_n y \pmod{f} \) is
\[
(x+1) \equiv_{(n-1)} (y+1) \pmod{\Delta f} \quad \text{and} \quad \Delta f(x+1) = \Delta f(y+1),
\]
from which the estimates follow.
**Lemma 5.6** Suppose \( f \) is monotone. Then there exists a constant \( c \) such that for all \( m \) and \( n \) with
\[
\frac{\log_8 J_f(m,n)}{n}
\]
sufficiently large, we have
\[ \frac{J_f(m,n)}{S_f(m,n)} \log_e J_f(m,n) \leq cf(m). \]
**Proof.**
Let \( m \) and \( n \) be given, and let \( J = J_f(m,n) \) and \( S = S_f(m,n) \) for short. It follows from Lemma 5.4 that we can find a spanning set \( T = \{x_1, x_2, \ldots, x_J\} \) with minimum density \( S \) such that the set of sequences
\[ \Delta f(x_1+1), \ldots, \Delta f(x_1+n) \]
\[ \ldots \ldots \ldots \ldots \ldots \ldots \ldots \]
\[ \Delta f(x_J+1), \ldots, \Delta f(x_J+n) \]
are pairwise distinct. Let
\[ \sigma_j = \sum_{r=1}^{n} \Delta f(x_j+r). \]
Since each term in any sequence can occur in up to as many as \( S-1 \) of the other sequences, we have
\[ f(m) \geq \frac{1}{S} \sum_{j=1}^{J} \sigma_j. \]
The proof is now completed by putting an appropriate lower bound to
\[ \sum_{j=1}^{J} \sigma_j. \]
Let \( \gamma_n(j) \) denote the number of distinct integer sequences
\[
a_1, a_2, \ldots a_n \quad \text{where} \quad a_j \geq 0,
\]
with \( \sum a_i = j \). Since the set of such sequences can be described recursively, as the union from \( k = 0 \) to \( j \) of sequences of the form
\[
a_1, a_2, \ldots, a_{n-1}, k \quad \text{where} \quad \sum a_i = j-k,
\]
it follows that
\[
\gamma_n(j) = \sum_{r=0}^{j} \gamma_{n-1}(r),
\]
(1)
for all \( n > 1 \). Since \( \gamma_1(j) = 1 \), the recurrence relation can be solved to give
\[
\gamma_n(j) = \binom{j+n-1}{n-1}.
\]
(2)
The sum \( \sum \sigma_j \) will be minimised by having distinct sequences
\[
\Delta f(x_i+1), \ldots \Delta f(x_i+n),
\]
with as small sums as possible. Since \( f \) is monotone, no term is negative and no sum \( \sigma_i \) is negative. Thus
\[
\sum_{j=1}^{J} \sigma_j \geq \sum_{j=0}^{B} j \gamma_n(j) + (B+1)(J - \sum_{j=0}^{B} \gamma_n(j)),
\]
(3)
where \( B \) is defined by the condition
\[ \sum_{j=0}^{B} y_n(j) < J < \sum_{j=0}^{B+1} y_n(j), \]
that is
\[ y_{n+1}(B) \leq J < y_{n+1}(B+1), \] \hspace{1cm} (4)
Using (1).
In order to evaluate the right hand side of (3), suppose, conventionally, that \( y_{n+1}(x) = 0 \) for \( x < 0 \). Using (1), we have
\[ \sum_{j=0}^{B} jy_n(j) = \sum_{j=0}^{B} j(y_{n+1}(j) - y_{n+1}(j-1)) \]
\[ = \sum_{j=0}^{B} jy_{n+1}(j) - \sum_{j=0}^{B} (j-1)y_{n+1}(j-1) \]
\[ - \sum_{j=0}^{B} y_{n+1}(j-1), \]
\[ = B y_{n+1}(B) - y_{n+2}(B-1). \]
Now from (2), we have \( y_{n+2}(B-1) = \frac{B}{n+1} y_{n+1}(B) \). Thus
\[ \sum_{j=0}^{B} jy_n(j) = \frac{Bn}{n+1} y_{n+1}(B). \] \hspace{1cm} (5)
Substituting (5) into (3) and using (1), we obtain
\[ \sum \sigma_j \geq (B+1)J - \frac{B+n+1}{n+1} y_{n+1}(B). \]
Hence using (4)
\[ \sum \sigma_j > \frac{Bn}{n+1} J > \left( \frac{B+1}{4} \right) J, \]
provided \( B \geq 1 \). To estimate \( B \), we have from (4) and (2), that
\[ J < \binom{B+1+n}{n}. \]
It can be shown, using Stirling's approximation, that
\[ \binom{B+1+n}{n} \leq e^{B+1+n}, \]
whence
\[ B+1 \geq \log_e J - n \geq \frac{1}{2} \log_e J, \]
provided \( \frac{\log_e J}{n} \) is sufficiently large. Thus the lemma is proved.
§2. The equivalence relation \( \sim_n \)
The second equivalence relation on \( N \) is defined with respect to an arbitrary on-line program \( P \). Let \( P \) be given and, for each \( x \geq 0 \) and \( n \geq 0 \), let \( C_P(x,n) \) denote that subsequence of the computation sequence of \( P \) with infinite input, which begins with the instantaneous description at the point where the \((x+1)\)st input test is obeyed and ends with the instantaneous description immediately prior to the point where the \((n+1)\)st next work register instruction is executed. We now define
\[ x \sim_n y \pmod{P} \text{ if } c_P(x, n) = c_P(y, n). \]
The number of equivalence classes induced by \( \sim_n \) will be denoted by \( K_P(n) \). Since \( x \sim_{n+1} y \) implies \( x \sim_n y \), it is clear that \( K_P \) is monotone. Moreover, as the following lemma shows, \( K_P \) is always well defined.
**Lemma 5.7** Suppose \( P \) is an on-line program (defined over an arbitrary instruction set) and has \( c \) distinct input tests. Then
\[ K_P(n) \leq c2^n \]
for all \( n \).
**Proof.** It is sufficient to put an upper bound to the number of distinct sequences of the form \( c_P(x, n) \) for some \( x \). If two such sequences begin with the same input test, they can only differ after the execution of some work register test. Since each test can yield at most two possible continuations, the number of such sequences is no greater than \( 2^n \). If there are \( c \) possible input tests to begin with, then the number of distinct sequences is no greater than \( c2^n \).
This bound can be much improved if \( P \) is an \( I_0 \)-program.
**Lemma 5.8** If \( P \) is an on-line \( I_0 \)-program which refers to just \( k \) work registers, then
\[ K_P(n) \leq n^k. \]
Proof. We can write the instantaneous description $I_P(x)$ at the point where the $(x+1)$st input test is obeyed, in the form
$$(\ell, x_1, y_1, a_1, a_2, \ldots, a_k)$$
where $\ell$ labels the $(x+1)$st input test to be obeyed, and $a_1, a_2, \ldots, a_k$ denote the contents of the work registers at this point.
Suppose, similarly, that $I_P(y)$ is of the form
$$(m, x_2, y_2, b_1, b_2, \ldots, b_k).$$
Now if $P$ is an $I_0$-program, then $C_P(x,n)$ and $C_P(y,n)$ can only differ if either:
(i) $\ell \neq m,$
or (ii) there is a $j$, where $1 \leq j \leq k$ such that
$$-n \leq a_j, b_j \leq n \text{ and } a_j \neq b_j.$$
Since the number of distinct instantaneous descriptions satisfying (i) or (ii) is at most $c(2n+2)^k$, where $c$ is the number of input tests appearing in $P$, we have
$$K_P(n) \leq c(2n+2)^k,$$
from which the conclusion follows.
§3. The basic conditions
The fundamental relationship which connects the two equivalence relations can be expressed as follows.
**Lemma 5.9** Let $P$ be an on-line program. Suppose $n \geq 0$ is given, and $T$ is a set of integers such that
$$x \neq y \implies x \not\equiv_n y \pmod{f_P}$$
for all $x, y \in T$. Then
$$\text{size}(T) \leq K_P(t),$$
where $t = \max_{x \in T} \{t_P(x+n) - t_P(x)\}$.
**Proof.**
The proof follows immediately from the fact that
$$x \not\equiv_t y \pmod{P} \implies x \not\equiv_n y \pmod{f_P}$$
for all $x, y \in T$.
**Corollary 5.10** If $K_P$ is bounded, then $f_P$ is ultimately linear.
**Proof.** It follows, from Lemma 5.9, that the size of $T$ is bounded if $K_P$ is. But this means that $J_f$ is bounded, where $f = f_P$,
and so, by Lemma 5.2, $f_P$ is ultimately linear.
From now on, we write $J_P$ for $J_{f_P}$ and $S_P$ for $S_{f_P}$ to avoid messy subscripts. If $f_P$ is not ultimately linear, the function $K_P^{-1}$ defined by
$$K_P^{-1}(x) = \min y \left[ x \leq K_P(y) \right]$$
is total. This follows from Corollary 5.10. Moreover, we have $K_P^{-1}(K_P(x)) \leq x$.
**Lemma 5.11** Suppose $P$ is an on-line program and $f_P$ is not ultimately linear. Then for all $m$ and $n$,
$$t_P(m) \geq \sum_{j=0}^{R} K_P^{-1}(jS_P(m,n)),$$
where $R = \begin{bmatrix} J_P(m,n) \\ S_P(m,n) \end{bmatrix}$.
**Proof.** Let $m$ and $n$ be fixed and let $J = J_P(m,n)$ and $S = S_P(m,n)$. By definition of $\equiv_n$, there is a spanning set $T_1$ with minimum density $S$, and containing exactly $J$ elements, such that
$$x \neq y \text{ implies } x \not\equiv_n y \pmod{f_P}$$
for all $x, y \in T_1$. Choose $x_1 \in T_1$ so that
\[
\max_{x \in T_1} \{ t_P(x+n) - t_P(x) \} = t_P(x_1+n) - t_P(x_1),
\]
and let \( t_P(x_1+n) - t_P(x_1) \) be denoted by \( t_1 \) for short.
Applying Lemma 5.9, we have
\[ J \leq K_P(t_1). \]
Remove \( x_1 \) from \( T_1 \) and also all \( y \) for which \( |x_1 - y| < n \).
By definition of \( S \), the remaining set \( T_2 \) contains at least \( J-S \) members. In a similar fashion, we can now choose \( x_2 \in T_2 \) so that
\[ J-S \leq K_P(t_2) \text{ where } t_2 = t_P(x_2+n) - t_P(x_2). \]
Proceeding in this way, we can choose a sequence \( x_1, x_2, \ldots, x_r \)
where \( 0 \leq x_j \leq m-n \) and \( r = \left[ \frac{J}{S} \right] + 1 \), such that for \( 1 \leq j \leq r \)
we have
\[ J - (j-1)S \leq K_P(t_j), \]
where \( t_j = t_P(x_j+n) - t_P(x_j) \).
Moreover, by construction, \( |x_i - x_j| \geq n \) for \( i \neq j \), whence
\[ t_P(m) \geq \sum_{j=1}^{r} t_j. \]
Now
\[ t_j \geq K_P^{-1}(K_P(t_j)) \geq K_P^{-1}(J-(j-1)S) \]
since \( K_P^{-1} \) is total and monotone if \( f_P \) is not ultimately linear.
Therefore
\[ t_P(m) \geq \sum_{j=0}^{R} K_P^{-1}(A + js), \]
where \( R = \lceil J/S \rceil \) and \( A = \lceil J, S \rceil \). Since \( K_P^{-1} \) is monotone, the conclusion follows.
The next task is to simplify the lower bound given in the statement of Lemma 5.11 by using the estimates on \( K_P \) given in the last section. These lead directly to the following two theorems.
**Theorem 5.12** Suppose \( P \) is an arbitrary on-line program, where \( f_P \) is not ultimately linear. Then for all \( m \) and \( n \) such that \( \frac{J_P(m,n)}{n} \) is sufficiently large, we have
\[ t_P(m) \geq \frac{J_P(m,n)}{4S_P(m,n)} \log_2 J_P(m,n) \]
**Proof.**
Lemma 5.7 states that \( K_P(x) \leq c2^x \) for some \( c \), whence \( K_P^{-1}(x) \geq \log_2 \left( \frac{x}{c} \right) \), since \( K_P^{-1} \) is total. Using this estimate in Lemma 5.11, it follows that
\[ t_P(m) \geq \sum_{j=1}^{R} \log_2 \left( \frac{jS}{c} \right) = \log_2 (R! \left( \frac{S}{c} \right)^R). \]
Now by Stirling's approximation,
\[ R! \geq \left( \frac{R}{e} \right)^R \] provided \( R \) is sufficiently large,
and also
\[ R = \left\lfloor \frac{J}{S} \right\rfloor > \frac{J}{2S}, \]
and
\[ \frac{RS}{ec} \geq \frac{J-S}{ec} \geq J^{\frac{1}{2}}, \]
provided \( \frac{J}{S} \) is sufficiently large. Since \( S < 2n \), this means that provided \( \frac{J}{n} \) is sufficiently large,
\[ t_P(m) \geq \frac{J}{4S} \log_2 J, \]
and the theorem is proved.
**Theorem 5.13** Suppose \( P \) is an on-line \( I_0 \)-program which uses \( k \) work registers, and \( f_P \) is not ultimately linear. Then for some \( \varepsilon > 0 \),
\[ t_P(m) \geq \varepsilon \frac{(J_P(m,n))^{1+\frac{1}{k}}}{S_P(m,n)} \]
for all \( m \) and \( n \).
**Proof.** Lemma 5.8 states that \( K_P(x) \leq cx^k \) for some constant \( c \), whence \( K_P^{-1}(x) \geq \varepsilon x^{1/k} \) for some \( \varepsilon > 0 \). Using this estimate in Lemma 5.11, we have
\[ t_P(m) \geq \varepsilon \sum_{j=0}^{R} (js)^{\frac{1}{k}}. \]
Since
\[ \sum_{j=0}^{R} j^{\frac{1}{k}} \geq \delta R \left(1 + \frac{1}{k}\right) \text{ for some } \delta > 0, \]
we have
\[ t_P(m) \geq \varepsilon \delta S^{\frac{1}{k}} \left[ \frac{J}{S} \right]^{(1+\frac{1}{k})} \]
and the conclusion follows.
The following corollaries are immediate from Theorems 5.12 and 5.13 by using the estimate \( S_P(m,n) < 2n \).
**Corollary 5.14** Under the hypotheses of Theorem 5.12,
\[ t_P(m) \geq \frac{1}{8n} J_P(m,n) \log_2 J_P(m,n). \]
**Corollary 5.15** Under the hypotheses of Theorem 5.13
\[ t_P(m) \geq \frac{\varepsilon}{n} \{ J_P(m,n) \}^{1+\frac{1}{k}}. \]
§4. **Applications**
Theorem 5.13 can be used to show the existence of slowly increasing functions which are not on-line real-time \( I_0^- \)-computable. We consider, as an example, the function \( D \) defined in Example 5.1.
**Theorem 5.16** If \( D \) is computable by an on-line \( I_0^- \)-program \( P \), then for some \( \delta > 1 \)
\[ \left( \frac{x}{\log_2 x} \right)^{\delta} \leq t_P(x). \]
In particular, it follows that \( D \) is not real time on-line \( I_0^- \)-computable.
Proof. From the discussion in Example 5.1 we know that
\[ J_D(h(n), n) = 2^n \]
and
\[ S_D(h(n), n) = 1 \]
for all \( n \), where \( h(n) = (n-1)(2^{n+1} + 1) + 2 \). Thus, if \( P \) is an on-line \( I_0^- \) program which computes \( D \), then there is an \( \varepsilon > 0 \) and a \( \delta > 1 \) such that
\[ t_P(h(n)) \geq \varepsilon 2^{n\delta}. \]
Let \( x \) be arbitrary and suppose \( n \) is such that \( h(n) \leq x < h(n+1) \). This gives
\[ n \geq \log_2 x - \log_2 \log_2 x - 3, \]
whence
\[ t_P(x) \geq t_P(h(n)) \geq \varepsilon 2^{(\log_2 x - \log_2 \log_2 x - 3)\delta} \cdot \left( \frac{x}{\log_2 x} \right)^\delta, \]
proving the theorem.
Later on we shall show that there is an on-line \( I_0^- \) program \( P \) which computes \( D \) for which
\[ t_P(x) \leq \left( \frac{x}{\log_2 x} \right)^2. \]
(Theorem 5.19).
Unfortunately, Theorem 5.12 cannot be used to show the existence of a monotone function \( f \) with \( f(x) \leq x \), which is not on-line \( I^- \).
computable for any instruction set $I$. This can be seen by showing that the lower bound given by Theorem 5.12 satisfies
$$\frac{J_P(m,n)}{S_P(m,n)} \log_2 J_P(m,n) \leq m.$$
(1)
There are two cases to be considered:
(i) If $\log_2 J_P(m,n) \leq cn$ for some constant $c$, then (1) follows by using Lemma 5.3.
(ii) If, on the other hand,
$$\frac{\log_2 J_P(m,n)}{n}$$
is sufficiently large, we have
$$\frac{J_P}{S_P} \log_2 J_P \leq f(m)$$
by Lemma 5.6. Since $f(m) \leq m$, inequality (1) holds in this case also.
However, Theorem 5.12 can be used to give some sort of lower bound.
**Theorem 5.17** If $D$ is computable by an on-line program $P$, then
$$t_P(x) > \frac{x}{64}$$
for sufficiently large $x$.
Proof. Suppose $P$ is an on-line program which computes $D$.
From Theorem 5.12, we have
$$t_P(h(n)) \geq n^{2n-2},$$
where $h(n) = (n-1)(2^{n+1}+1)+2$ as in Theorem 5.16. From this estimate, we can deduce that
$$t_P(x) \geq (log_2 x - log_2 log_2 x - 3)2^{\frac{(log_2 x - log_2 log_2 x - 5)}{64}},$$
whence
$$t_P(x) \geq \frac{x}{64}$$
for sufficiently large $x$.
This result has the following interesting consequence:
Theorem 5.18 If $I$ is any instruction set such that $D$ is on-line real time $I$-computable, then $I$ does not possess the speed up property.
Proof. If $I$ does possess the speed up property, we could use it to produce an on-line program $P$ which contradicted Theorem 5.17.
We now give two examples of this theorem.
§5. Instruction sets not possessing speed up
Let $I_1$ be the instruction set which includes $I_0$ and has, in addition, the instructions
assignments \quad A_j := A_j + A_k \quad A_j := A_j - A_k
tests \quad A_j \geq A_k.
Let $I_2$ be the instruction set which includes $I_0$ and has, in addition,
assignments \quad A_j := A_j + 1 \quad A_j := A_j - 1 \quad A_j := 0
\quad j := j + 1 \quad j := j - 1 \quad j := 0
tests \quad A_j = 0 \quad A_j \geq 0 \quad j = 0 \quad j \geq 0
That is $I_2$ consists of $I_0$ together with the possibility of referring to the work registers $A_1$, $A_2$, ... indirectly through an index register $j$.
**Theorem 5.19**
(i) $D$ is on-line real time $I_1$-computable.
(ii) $D$ is on-line real time $I_2$-computable.
(iii) $D$ is on-line $I_0$-computable within time $\lambda x. \left( \frac{x}{\log_2 x} \right)^2$.
**Proof.** The proof in each case is by direct construction of a program $P$ to compute $D$.
(i) In the first case, $P$ works by determining, between successive input tests, the next symbol in the sequence
$$0 \ 1 \ 0 \ 0 \ 0 \ 1 \ 1 \ 0 \ 1 \ 1 \ldots$$
and incrementing the output register if the next symbol happens to be 1. $P$ does this by extracting the binary representation of the odd numbers $5, 7, 9, \ldots$ one after the other. The binary representations of these numbers are
$$101, 111, 1001, 1011, \ldots \text{etc.},$$
and the sequence formed from the interior digits of each number (i.e. every digit except the first and last of each number) is just the sequence we want. The interior digits of the odd number $n$ are extracted as follows. Initially, register $N$ contains $n$ and register $K$ contains $2^k$, where $2^k \leq n < 2^{k+1}$. The first digit of $n$ is removed by subtracting $K$ from $N$ and leaving $n-2^k$ in $N$. To extract the next digits, the contents of $N$ are successively doubled and compared against $K$. If $N < K$, then the next digit is 0 and no output is given. If $N > K$, then the next digit is 1 and $Y$ is incremented. If $N = K$, then the processing of $N$ is complete, and the next odd number is set up for processing. With these remarks, we now give the complete program $P$.
M: = 5
K: = 4
N₁: = M
M₁: = M+2
L₁: = K+K
NO
N ≥ L
K₁: = L
N₁: = N-K
N: = N+N
NO
N ≥ K
N₁: = N-K
N = 0
YES
Y₁: = Y+1
X = 0
HALT
X₁: = X-1
Since \( f_P = D \) and \( t_P(x) \leq 18x \), part (i) is established.
(iii). Program \( P \) can be modified into an \( I_0 \)-program that computes \( D \). Instead of doubling \( N \) and comparing against \( K \), the modified version \( Q \) halves \( K \) and compares against \( N \). Thus during the processing of the number \( n \), no number greater than \( 2n \) is stored in any register. The various instructions of \( Q \) can be expanded as macros defined over \( I_0 \), and it is possible to verify that the resulting program \( R \) processes \( n \) (i.e. extracts the interior digits of \( n \)) within \( cn \) steps for some constant \( c \). Since this processing produces a further \( \left\lfloor \log_2 n \right\rfloor - 1 \) values of \( D \), we have
\[
t_R \left( \sum_{j=2}^{y} \left( \left\lfloor \log_2 (2j+1) \right\rfloor - 1 \right) \right) \leq \sum_{j=2}^{y} j \quad \text{for all } y,
\]
which simplifies to
\[
t_R \left( \sum_{j=1}^{y} \left\lfloor \log_2 j \right\rfloor \right) \leq y^2.
\]
Let \( x \) be arbitrary, and suppose \( y \) satisfies
\[
\sum_{j=1}^{y} \left\lfloor \log_2 j \right\rfloor \leq x < \sum_{j=1}^{y+1} \left\lfloor \log_2 j \right\rfloor,
\]
whence it follows that \( y \leq \frac{x}{\log_2 x} \), and so
\[
t_R(x) \leq t_R \left( \sum_{j=1}^{y+1} \left\lfloor \log_2 j \right\rfloor \right) \leq (y+1)^2 \leq \left( \frac{x}{\log_2 x} \right)^2.
\]
This establishes part (iii).
(ii) The $I_2$-program $P$ which computes $D$, evaluates for $n = 1, 2, \ldots$, the dyadic expansion of $n$ in the registers $A_1, A_2, \ldots A[\log_2 n]$. Generating the expansion for $n+1$, given the expansion for $n$, can be achieved in $c[\log_2 n]$ steps for some constant $c$. As a result of expanding $n$, a further $[\log_2 n]$ values of $D$ are computed, so that $P$ operates in real-time. The details are left to the reader.
**Corollary 5.20** Neither $I_1$ nor $I_2$ possess the speed up property.
It is worth mentioning that Theorem 5.19 also shows that both $I_1$ and $I_2$ are strictly more powerful instruction sets than $I_0$, in the sense that on-line real-time $I_1$ and $I_2$-programs compute a strictly larger class of functions than on-line real-time $I_0$-programs.
§6. **Further results**
The techniques of Section 3 can be used to settle some of the questions raised in previous chapters. In particular, we can now establish the existence of a monotone $I_0$-honest function which is not $I_0$-superhonest.
**Theorem 5.21** Let $\delta$ be the 0-1 valued function described in Example 5.1, and let $E$ be defined by
$$E(x) = x + \delta(x).$$
(i) $E$ is a monotone $I_0^-$ honest function, but is not $I_0^-$ superhonest.
(ii) $E$ is real time $I_0^-$ computable, but not on-line real time $I_0^-$ computable.
The proof makes use of some of the closure properties enjoyed by the real time $I_0^-$ computable functions. The following lemma can be verified by direct construction of the appropriate programs:
**Lemma 5.22** If $f$ and $g$ are real time $I_0^-$ computable, then so are each of the following functions:
(i) $f \cdot g$,
(ii) $f + g$,
(iii) $f - g$ provided $f \geq g$,
(iv) $\left[ f/g \right]$,
(v) $\left[ f, g \right]$.
**Proof of Theorem 5.21**
$E$ is clearly total and monotone and
$$x \leq E(x) \leq 2x.$$
It follows that, if $E$ is real time computable, then it is honest, and if it is superhonest, then it is on-line real time computable. Hence it suffices to prove the second assertion only. In order to show that $E$ is not on-line real time $I_0^-$ computable, it will be enough to prove
\[ J_D(m,n) \leq J_E(m,n) \text{ for all } m, n, \]
where \( D = \Sigma \delta \) is the function used in Section 4. By definition, \( x \equiv_n y \pmod{E} \) if and only if
\[ E(x+z) - E(x) = E(y+z) - E(y) \]
for \( 0 \leq z \leq n \), i.e.
\[ \delta(x+z) - \delta(x) = \delta(y+z) - \delta(y) \]
for \( 0 \leq z \leq n \). In other words,
\[ J_E(m,n) = J_{\Delta D}(m,n). \]
Lemma 5.5 now shows
\[ J_D(m,n) \leq 2J_E(m+1, n-1) \leq 2(J_E(m,n)+1), \]
and the demonstration follows.
In order to show \( E \) is real time \( I_O^- \)-computable, it is sufficient to show that \( \delta \) is. This is accomplished by deriving a closed formula for \( \delta \) and using Lemma 5.22.
For each \( x > 0 \), we characterise the \( x \)th position in the sequence \( S \) of dyadic integers, by three quantities \( a(x) \), \( b(x) \) and \( p(x) \). The first, \( a(x) \), is a positive integer and denotes the number of the area into which \( x \) falls, where the \( j \)th area is that subsequence of \( S \) which consists of all the dyadic integers of length \( j \). Next, \( b(x) \) is an integer in the range \( 0 \leq b(x) < 2^{a(x)} \) and denotes the number of the block in area \( a(x) \) into which \( x \) falls. A block is just the subsequence of \( S \) consisting of a single dyadic integer.
Finally, \( p(x) \) is an integer in the range \( 0 \leq p(x) < a(x) \) and denotes the position in block \( b(x) \) of area \( a(x) \) at which \( x \) occurs.
Given these three quantities, \( \delta(x) \) can be determined as follows: if \( p(x) = a(x) - 1 \), then \( \delta(x) \) will be 0 or 1 depending on whether \( b(x) \) is even or not; similarly, if \( p(x) = a(x) - 2 \), then \( \delta(x) \) will be 0 or 1 depending on whether \( \left[ b(x), 4 \right] < 2 \). In general, the condition is
\[
\delta(x) = 0 \quad \text{if and only if} \\
\left[ b(x), 2^{a(x)-p(x)} \right] < 2^{a(x)-p(x)-1}.
\]
Thus, in order to compute \( \delta(x) \) for a given \( x \), it is sufficient to determine \( a(x) \), \( b(x) \) and \( p(x) \) and see whether the above condition holds. The functions \( a \), \( b \), and \( p \) are determined as follows. Since the \( j \)th area is of length \( j^2 \), a given \( x \) falls in area \( k \), where
\[
A(k-1) \leq x < A(k) \quad \text{and} \quad A(k) = \sum_{j=1}^{k} j^2.
\]
In other words,
\[
a(x) = A^*(x), \quad \text{where} \quad A(x) = (x-1)2^{x+1} + 2.
\]
Furthermore, it is easily seen that
\[
b(x) = \left[ \frac{x-A(a(x)-1)}{a(x)} \right]
\]
and
\[
p(x) = \left[ x-A(a(x)-1), a(x) \right].
\]
At this point, it is only necessary to remark:
(1) $A$ is a strictly monotone $I_0^-$-superhonest function, whence by Theorems 4.5 and 4.6 both $a$ and $A(a-1)$ are on-line real time $I_0^-$ computable.
(2) From (1) and Lemma 5.22 we have that $b$, $p$ and also $a-p$ are real time $I_0^-$ computable.
(3) Since $\lambda x.2^x$ is superhonest, the function $2^{a-p}$ is $I_0^-$ computable by some program $P$ for which $t_P(x) \leq x + 2^{a(x)-p(x)}$. However,
$$2^{a(x)-p(x)} \leq 2^a(x) \leq A(a(x)-1) \leq x,$$
which shows that $2^{a-p}$ is real time $I_0^-$ computable.
(4) It follows that the truth value of the condition
$$[b(x), 2^{a(x)-p(x)}] < 2^{a(x)-p(x)-1}$$
can be computed within real time.
Thus $\delta$ is real time $I_0^-$ computable and the theorem is proved.
§7. Structural characterisation of real time functions
Because the real time computable functions are so important, it is interesting to obtain some sort of structural characterisation of the class. In this final section a programming language is described, relative to a given instruction set $I$, whose programs compute exactly the real-time $I$-computable functions. This language is a modified version of the language LOOP first described by Meyer and Ritchie [31].
Suppose $I$ is a given instruction set. The language $\text{LOOP}(I)$, which we shall write as $\text{LOOP}$ whenever $I$ is implicitly understood, is defined recursively as follows:
(1) Each assignment in $I$, but not $X:=X-1$, standing by itself is a $\text{LOOP}$ program.
(2) If $P_1$ and $P_2$ are $\text{LOOP}$ programs, and $t$ is some test in $I$, but not $X=0$, then the conditional
$$ (t \rightarrow P_1, P_2) $$
is a $\text{LOOP}$ program. This is equivalent to the Algol:
$$ \text{if } t \text{ then } P_1 \text{ else } P_2. $$
(3) If $P_1$ and $P_2$ are $\text{LOOP}$ programs, then so is
$$ P_1; P_2 $$
The meaning of this program is: first do $P_1$ then do $P_2$.
(4) If $P$ is a LOOP program, then so is
$$\text{loop } X \quad P \text{ end},$$
where $X$ denotes the input register. This program is equivalent to
$$P; P; \ldots; P \quad (x \text{ times})$$
where $x$ is the initial contents of $X$, i.e. the input.
(5) By convention, the program $E$ of no instructions is a LOOP program.
For example, the following LOOP ($I_0$) program computes $\lambda x. [\sqrt{x}]$:
$$A:=1;$$
$$\text{loop } X$$
$$A:=A-1;$$
$$B:=B+1;$$
$$(A=0 \rightarrow A:=B; Y:=Y+1; A:=A+2)$$
$$\text{end}$$
For each $n \geq 1$, we define LOOP$_n(I)$ to be the class of LOOP($I$) programs which have a depth of nesting of loop ... end statements no greater than $n$.
Theorem 5.23 For an arbitrary function \( f \) and instruction set \( I \), the following two statements are equivalent:
(i) \( f \) is \( \text{LOOP}_n(I) \)-computable.
(ii) \( f \) is computable by some \( I \)-program \( P \) for which \( t_P(x) \leq x^n \).
In particular, the \( \text{LOOP}_1(I) \) programs compute just the real time \( I \)-computable functions.
Proof. (i) \( \Rightarrow \) (ii). It is straightforward to translate \( \text{LOOP}(I) \) programs into \( I \)-programs using additional registers to control the number of times a loop is executed. Since the program
\[
\text{loop } X \quad \text{loop } X \ldots P \text{ end} \ldots \text{end} \quad (\text{n times}),
\]
where \( P \) contains no \( \text{loop} \) instructions, is equivalent to
\[
P; P; \ldots; P \quad (x^n \text{ times}),
\]
and the execution time of \( P \) is bounded, the simulation by a \( I \) program can be carried out within \( \leq \lambda x.x^n \) steps. Further details are omitted.
(ii) \( \Rightarrow \) (i). Suppose \( P \) is an \( I \)-program and \( t_P(x) \leq x^n \). Let \( P \) have \( k \) instructions with labels 1, 2, ..., \( k \) and let label 0 denote the termination condition. \( P \) is translated into a \( \text{LOOP}_n(I) \)-program by making use of new registers \( A, F_0, F_1, \ldots, F_n \).
and translating the instructions of $P$ as follows:
(1) All references to $X$ are replaced by references to $A$, where $A$ does not appear in $P$.
(2) An instruction $\ell: a + m$ of $P$ is translated into the program $L_\ell$, where
$$L_\ell = (F_\ell := 0 \rightarrow E, a; F_\ell := 0; F_m := 1)$$
(3) An instruction $\ell: t + m_1, m_2$ of $P$ is translated into $L_\ell$, where
$$L_\ell = (F_\ell := 0 \rightarrow E, (t + F_\ell := 0; F_{m_1} := 1, F_\ell := 0; F_{m_2} := 1).$$
Let $L(P)$ denote the program $L_1; L_2; \ldots; L_k$ and $L^c(P)$ denote the program $L(P); \ldots; L(P)$ ($c$ times), where $c$ is such that $t_P(x) \leq cx^n$ for all $x$. We now claim that the program
$$A := 0; \text{loop } X A := A + 1 \text{ end}; \text{loop } X \ldots \text{loop } X L^c(P) \text{ end} \ldots \text{end}$$
is equivalent to $P$. The first part merely ensures that register $A$ contains the input $x$. The second part guarantees that the program $L(P)$ is executed $cx^n$ times. The flag registers $F_0, F_1, \ldots, F_k$ appearing in $L(P)$ control the flow of computation to follow that of $P$.
It is possible that the above characterisation can be used to show that certain functions $f$, for which $f(x) \leq x$, are not real time I-computable, at least for $I = I_0$. It is worth noting, in this respect, that Tsichritzis [38] has characterised the functions computable by $\text{LOOP}_1(I_0)$ - programs which do not use the conditional statement, showing them to be just the simple functions. A function $f$ is simple if there exists numbers $x_0$ and $c$ and a function $d$ such that
$$f(x+c) = f(x) + d([x, c]) \text{ for } x \geq x_0.$$
The simple functions therefore represent a slight generalisation of the ultimately linear functions. The function $\lambda x.[\sqrt{x}]$ is not simple, but is computable by a $\text{LOOP}_1(I_0)$ program, thus showing that the presence of conditional statements in LOOP yields a definite increase in capability.
APPENDIX A
MATHEMATICAL BACKGROUND FOR CHAPTER ONE
In Chapter 1, the basic objects under consideration are partial functions. A partial function $f: D \rightarrow D'$ can be extended to a total function by introducing a new element $\Omega$, standing for the undefined, into both $D$ and $D'$, and defining
$$f(x) = \Omega \text{ if } x = \Omega \text{ or } f(x) \text{ is undefined.}$$
A partial ordering $\sqsubseteq$, on functions with the same domain, can then be set up according to the rule
$$f \sqsubseteq g \text{ if for all } x, f(x) \neq \Omega \text{ implies } f(x) = g(x).$$
It follows from this that
$$f = g \text{ if and only if } f \sqsubseteq g \text{ and } g \sqsubseteq f.$$
If $f: D \rightarrow D$ and $D'$ is a subset of $D$, we say that $f$ maps $D'$ into $D'$ to mean that for all $x \in D'$, if $f(x) \neq \Omega$, then $f(x) \in D'$.
New partial functions are either defined explicitly, or by making use of one or more of the following operations:
(1) **Composition**. The composition $f \circ g$ of two functions $f$ and $g$ is that function which is defined by the equation
$$f \circ g(x) = f(g(x)) \text{ for all } x.$$
Implicit use is made of the fact that composition is associative, and the following deductive rule is used:
if \( f \subseteq f' \) and \( g \subseteq g' \) then \( f \cdot g \subseteq f' \cdot g' \).
(2) **Conditional expressions**. If \( P \) is a predicate, and \( f \) and \( g \) are functions, then \( (P + f, g) \) denotes the function defined by
\[
(P + f, g)(x) =
\begin{cases}
f(x) & \text{if } P(x) = \text{true}, \\
g(x) & \text{if } P(x) = \text{false}, \\
\Omega & \text{otherwise}.
\end{cases}
\]
The following facts about conditional expressions are used:
(a) if \( f \subseteq f' \) and \( g \subseteq g' \), then \( (P + f, g) \subseteq (P + f', g') \).
(b) \( (P + h \cdot f, h \cdot g) = h \cdot (P + f, g) \).
(c) \( (P \cdot h + f \cdot h, g \cdot h) = (P + f, g) \cdot h \).
(3) **Upper bounds**. If \( S \) is a set of functions with disjoint domains, i.e. if for all \( f, g \in S \) and all \( x \), either \( f(x) = \Omega \) or \( g(x) = \Omega \) or both, then a unique function \( \bigcup_{f \in S} f \) is defined by the condition
\[
(\bigcup_{f \in S} f)(x) =
\begin{cases}
f(x) & \text{if } f(x) \neq \Omega \text{ for some } f \in S, \\
\Omega & \text{otherwise}.
\end{cases}
\]
If \( S \) is a set of functions with disjoint domains, so is the set \( \{h \cdot f : f \in S\} \) for any function \( h \), and we have
\[
h \cdot (\bigcup_{f \in S} f) = \bigcup_{f \in S} h \cdot f.
\]
It is of course possible to take upper bounds of a more general type of set, but we shall not need to do so.
(4) **Recursion**. If $E(f)$ is some functional expression involving the function letter $f$, then a unique function $f$ is specified by the conditions:
(i) $f = E(f)$,
(ii) for all functions $g$, if $g = E(g)$, then $f \sqsubseteq g$.
In such a case, we say that $f$ is **recursively defined** by the equation $f = E(f)$.
In order to prove statements about recursively defined functions, use is made of the following induction principle, which is justified in Morris [12] or Manna [11]:
to prove that a certain statement $S(f)$ holds, it is sufficient to prove by induction that
$$S(f_k) \text{ holds for all integers } k \geq 0,$$
where the sequence $f_0, f_1, \ldots$ of functions is defined by
$$f_0(x) = \Omega \text{ for all } x,$$
$$f_{k+1} = E(f_k).$$
This principle is not applicable to all possible statements involving $f$, as can be seen from consideration of the statement
\((\exists x)(f(x) = \Omega)\). However, all statements which are assertions about inclusion, e.g. \(f \subseteq g\), can be proved in this way, and these are the only ones needed.
APPENDIX B
LIST OF SPECIAL SYMBOLS
The following list of special symbols used frequently in the text, supplements that given in Appendix A.
| Symbol | Meaning |
|--------|---------|
| $f_P$ | function computed by program P (section 2.1) |
| $t_P$ | running time of program P (section 2.1) |
| $N$ | the set of natural numbers $\{0, 1, \ldots\}$ |
| $[x]$ | the integral part of x |
| $[x, y]$ | the (non-negative) remainder when x is divided by y. |
| $|x|$ | the absolute value of x. |
| $\lambda x.f(x)$ | Church's Lambda notation for denoting functions. |
| $f \circ g$, $f \triangleleft g$, $f \sim g$ | defined in Section 2.3 |
| $f \cdot g$, $f + g$, $f^*$ | defined in Section 2.6-2.7. |
|s|, Size(S) two notations for number of elements in a finite set
∃x .... there exists an x such that ...
Σf denotes function h, where
\[ h(x) = f(0) + f(1) + \ldots + f(x). \]
Δf denotes function h, where
\[ h(0) = f(0) \]
\[ h(x+1) = f(x+1) - f(x) \]
⊆ ∪ set theoretic inclusion and union notation.
Références
[1] AHO, A.V. and ULLMAN, J.D., Transformations on straight-line programs, 2nd ACM Symposium on Theory of Computing 136-148, (1970).
[2] ALLEN, F.E., Program Optimisation, Ann. Rev. in Automatic Programming, 5, pp.239-307 (1969).
[3] ARBIB, M.A., Theories of Abstract Automata, Prentice-Hall (1969).
[4] BIRD, R.S., On transformations of programs, J. Computer and System Sciences to appear (1973).
[5] BIRD, R.S., Computational complexity on register machines (Part 1 - space requirements), Tech. Report, ICSL 252, Institute of Computer Science (1970).
[6] BIRD, R.S., Space restricted computations on fixed register machines Tech. Report, ICSL 253, Institute of Computer Science (1970).
[7] BLUM, M., A machine-independent theory of the complexity of recursive functions, JACM 14, 322-336 (1967).
[8] BLUM, M., FLOYD, R.W., PRATT, V., RIVEST, R.L., TARJAN, R.E., Time bounds for selection, Tech. Report CS-349 Comp. Sci. Dept. Stanford (1973).
[9] CLEAVE, J.P., A hierarchy of primitive recursive functions, Zeitschr. f. math. Logitz und Grundlagen d. Math 9, pp.331-345 (1965).
[10] COBHAM, A., Functional equations for register machines, Proc. Hawaii Int. Conf. on System Sciences 10-13 (1968).
[11] COLLINS, G.E., The computing time of the Euclidean algorithm, Tech. Report. CS-331 Comp. Sci. Dept. Stanford (1973).
[12] CONSTABLE, R.L. and BCRDIN, A.B., On the efficiency of programs in subrecursive formalisms, Tech. Report 70-54 Department of Comp. Sci. Cornell (1970).
[13] COOK, S.A. and AANDERAA, O., On the minimum computation time of functions, Trans. Amer. Math. Soc. 142, 291-314 (1969).
[14] ELGOT, C.C. and ROBINSON A., Random-access stored-program machines, J. ACM 11, pp.365-399 (1964).
[15] FISCHER, P.C., Turing machines with a schedule to keep, Inf. and Control.11, pp.138-146 (1967).
[16] FISCHER, P.C., MEYER, A.R. and ROSENBERG, A.L., Counter machines and counter languages, Math. Systems Theory 2, pp.265-283, (1968).
[17] FISCHER, P.C., MEYER, A.R. and ROSENBERG, A.L., Time-restricted sequence generation, J. Computer and System Sciences 4 50-73 (1970).
[18] GRZEGROCYK, A., Some classes of recursive functions, Rozprawy Matematyczne, 4 pp.1-45 (1953).
[19] HARTMANIS, J., Computational complexity of random access stored program machines, Tech. Report. 70-70, Dept of Comp. Sci. Cornell (1970).
[20] HARTMANIS, J., Tape reversal bounded Turing machine computations, J. Computer and System Sciences 2, pp.117-135 (1968).
[21] HARTMANIS, J. and STEARNS, R.E., On the computational complexity of algorithms, Trans. Amer. Math. Soc.117, pp.285-306 (1965).
[22] HERNIE, F.C., On-line Turing machine computations, IEEE Trans EC-15, 35-44 (1966).
[23] HOPCROFT, J.E. and ULLMAN, J.D., Relation between time and tape complexities, J. ACM 15, 414-427 (1968).
[24] IRELAND, M.I. and FISCHER, P.C., A Bibliography on Computational Complexity, Research Report CSRR 2028, Dept. of Applied Analysis and Comp. Sci. Waterloo (1970).
[25] KNUTH, D.E., Mathematical analysis of algorithms, Technical Report CS-206 Comp. Sci. Dept. Stanford (1971).
[26] KNUTH, D.E. The Art of Computer Programming, Vol.1 Addison-Wesley (1968).
[27] KNUTH, D.E. The Art of Computer Programming, Vol.11 Addison-Wesley (1969).
[28] MARILL, T., Computational chains and the simplification of computer programs, IRE Trans. EC 11 173-180 (1962).
[29] McCARTHY, J., Towards a mathematical science of computation., Proc. IFIP Congress 1962, pp.21-28, North Holland (1963).
[30] McCREIGHT, E.M., Classes of computable functions defined by bounds on computation, Thesis, Dept. of Comp. Sci. Carnegie-Mellon (1969).
[31] MEYER, A.R. and RITCHIE, D.M., The complexity of loop programs, Proc. 22nd Nat. Conf. ACM 465-469 (1967).
[32] MILNER, R., An algebraic definition of simulation between programs, Tech. Report. CS-205 Comp. Sci. Dept. Stanford (1971).
[33] MINSKY, M.L., Recursive unsolvability of Post's problem of Tag and other topics in the theory of Turing machines, Ann. Math. 74, 437-454 (1961).
[34] RABIN, M.O. and SCOTT, D., Finite automata and their decision problems, IBM Journal of Research and Development 3, 114-125 (1959).
[35] SCOTT, D., Some definitional suggestions for Automata theory, J. Computer and System Sciences 1, 187-212 (1967).
[36] SHEPHERDSON, J.C. and STUROIS, H.E., Computability of recursive functions, J. ACM 10, 217-255 (1963).
[37] STRASSEN, V., Gaussian elimination is not optimal, Numerische Mathematik, 13, 354-356 (1969).
[38] TSICHRITZIS, D., The equivalence problem of simple programs, J. ACM 17, 4, pp.729-738 (1970).
[39] YOUNGER, D.H., Recognition and passing of context free languages in time $n^3$, Information and Control, 10 189-208 (1967).
[40] YAMADA, H., Real-time computation and recursive functions not real-time computable, IRE Trans. EC-11 pp.753-760 (1962).
[41] MANNA, Z., and VUILLEMIN, J., Fixpoint approach to the theory of computation, CACM 15 p.528-536 (1972).
[42] MORRIS, J.H. Jr., Another recursion induction principle, CACM pp.351-354 (1971).
LIST OF SUPPLEMENTARY EVIDENCE
1. Integers with given initial digits, Am. Math. Monthly 79, 1971, 367-370.
2. A note on definition by cases, Zeitschr. f. math. Logik und Grundlagen d. Math. Bd. 19 207-208 (1973).
3. On transformations of programs, Journal of Comp. and System Science (to appear, 1974)
4. non-recursive functionals, Zeitschr. f. math. Logik und Grundlagen d. Math. (to appear, 1974)
5. Speeding up programs, Computer Journal (to appear, 1974) (copy not yet available)
A NOTE ON DEFINITION BY CASES
by RICHARD BIRD in Reading, Berkshire (Great Britain)
The usual proofs that the function $h$ defined by the conditions
$$h(x) = \begin{cases} f(x) & \text{if } P(x), \\ g(x) & \text{otherwise}, \end{cases}$$
can also be defined using the operations of primitive recursion and substitution in terms of $f$, $g$ and the characteristic function of $P$, are incorrect if it is not assumed that $f$ and $g$ are total functions. According to the natural interpretation of the above conditions, the value of $h(x)$ is defined to be $f(x)$ if $P(x)$ is true (whether or not the value of $g(x)$ is defined), and $g(x)$ if $P(x)$ is false (whether or not the value of $f(x)$ is defined). The most common translation into a primitive recursive definition of this function is to define $h_1$ by
(1) $$h_1(x) = \overline{sg}(p(x)) \times f(x) + p(x) \times g(x).$$
Here, $\overline{sg}$ is the primitive recursive function that satisfies
$$\overline{sg}(x) = \begin{cases} 1 & \text{if } x = 0 \\ 0 & \text{if } x > 0, \end{cases}$$
and $p$ is the characteristic function of $P$, which takes the values 0 or 1 depending on whether $P(x)$ is true or not. However $h_1$, which is primitive recursive in $f$, $g$, and $p$, only coincides with $h$ if $f$ and $g$ are assumed total. This is because in the semantics of the operation of substitution which specifies $k$ by
$$k(x) = r(s_1(x), s_2(x), \ldots, s_n(x)),$$
$k(x)$ is only defined if all of $s_1(x), s_2(x), \ldots, s_n(x)$ are defined. It follows by (1), that if either $f(x)$ or $g(x)$ is undefined for some $x$, so is $h_1(x)$, and this is not necessarily true of the original function $h$.
As another attempt at giving a correct primitive recursive definition of $h$, we can define $A$ by
(2) $$A(x, 0) = f(x), \quad A(x, y + 1) = g(x),$$
which represents a degenerate case of the operation of primitive recursion, and set
$$h_2(x) = A(x, p(x)).$$
However this attempt also fails because of the way the operation of primitive recursion is defined. The equations (2) are not to be regarded as an instance of definition by cases (otherwise we would be admitting definition by cases as a primitive operation), but rather as the special case of
(3) $$A(x, 0) = f(x), \quad A(x, y + 1) = k(x, y, A(x, y))$$
in which $k(x, y, z) = g(x)$.
The values of $A(x, y)$ are defined inductively from the equations (3). It follows that if $f(x)$ is undefined so are the values of $A(x, y)$ for every $y$. Therefore, according to the definition of $A$ by (2), if $f(x)$ is undefined so is $h_2(x)$, and once again this is not necessarily true of the original function $h$.
However, by using a not too obvious trick, it is possible to give a proper primitive recursive definition of $h$. We define two functions $A$ and $B$ by primitive recursion as follows.
$$B(x, 0) = x, \quad B(x, y + 1) = f(B(x, y))$$
and
$$A(x, y, 0) = B(x, y), \quad A(x, y, z + 1) = g(A(x, y, z)).$$
The function $h_3$ which is defined by
$$h_3(x) = A(x, \overline{sg}(p(x)), p(x))$$
can now be proved to coincide everywhere with $h$. There are three cases to be considered:
(a) $p(x)$ is undefined. In this case, $h_3(x)$ is undefined, and so $h_3(x) = h(x)$.
(b) $p(x) = 0$. According to the inductive definition of $A$ and $B$,
$$h_3(x) = A(x, 1, 0) = B(x, 1) = f(B(x, 0)) = f(x)$$
so that $h_3(x) = h(x)$.
(c) $p(x) = 1$. Again, according to the inductive definition of $A$ and $B$,
$$h_3(x) = A(x, 0, 1) = g(A(x, 0, 0)) = g(B(x, 0)) = g(x)$$
so that $h_3(x) = h(x)$ and the proof is complete.
It may be mentioned that the author arrived at the difficulty mentioned in this note, while attempting the apparently straightforward task of arithmetising a class of algorithms in terms of the functions corresponding to the atomic steps of the calculation. These unspecified functions were not assumed to be total. The usual arithmetisation procedure does assume that the atomic steps of the algorithm correspond to total functions (as in the case of Turing machines), and so the primitive recursive definition of the next-step function, which implicitly uses definition by cases, causes no trouble. That such an artificial trick has to be employed for the more general situation, argues the case for adopting a recursive function formalism based directly on conditional expressions such as that given by McCarthy in [1].
Reference
[1] McCarthy, J., A basis for a mathematical theory of computation. In: Computer Programming and Formal Systems (Editors: P. Braffort and D. Hirschberg,) North-Holland Publ. Comp., Amsterdam 1963.
(Eingegangen am 14. Februar 1972)
Consider the following situation. Two mathematicians called X and Y are talking, and X announces that he has just computed a large prime, which he begins to recite to Y digit by digit. There are two possible responses open to Y. He can either wait until X has finished and then check the assertion, or he can interrupt X at some point in the recitation with the information that no prime can begin with those digits. The problems we are interested in are these:
(1) Assuming that Y knows his primes, can we prove that there is no sequence of digits that allows Y to interrupt X?
(2) Can the same be said about other sets of integers such as the squares, the factorial numbers, or the powers of 2?
To make things precise, suppose that S is an (infinite) set of positive integers. We shall say that S is extendable in base b if for each integer \( x \geq 1 \), there are integers \( y \) and \( n \), with \( y < b^n \), such that \( x b^n + y \) is in S.
If S is extendable in base b and consists of the integers \( s_0, s_1, \ldots \), then
(1) for each integer \( x \geq 1 \), there are integers \( m \) and \( n \) such that \( b^m x \leq s_m \leq b^{m}(x+1) \).
Conversely, (1) implies that S is extendable in base b, as we can take \( y \) to be \( s_m - b^m x \).
If we use the prime number theorem, the proof of the extendability of P, the set of primes, in every base is fairly easy.
**Theorem 1.** Let \( \pi_S(n) \) be the number of members of S less than \( n \). A sufficient
condition for $S$ to be extendable in every base is that if $\pi_S(n)/\pi_S(\lambda n) \to \theta(\lambda)$ for all real $\lambda$ satisfying $1 \leq \lambda \leq 2$, then $\theta(\lambda) = 1$ only if $\lambda = 1$.
Proof. Assume that $S$ is not extendable in some base $b$. Then by (1), there exists an $x$ such that $\pi_S(b^n(x+1)) = \pi_S(b^n x)$ for all $n$. Let $\lambda_0 = (x+1)/x$ (whence $1 < \lambda \leq 2$), and $m_n = b^n x$, so that
$$\pi_S(m_n)/\pi_S(\lambda_0 m_n) = 1 \text{ for all } m_n.$$
It follows that if $\pi_S(n)/\pi_S(\lambda n) \to \theta(\lambda)$, then $\theta(\lambda_0) = 1$ for some $\lambda_0 \neq 1$, which contradicts the hypothesis of the theorem.
Now the prime number theorem asserts that $\pi_P(n) \sim n/\log n$, whence $\pi_P(n)/\pi_P(\lambda n) \to 1/\lambda$, which is 1 only if $\lambda = 1$. Therefore $P$ is extendable in every base. A similar argument shows that for each $k$, the set of $k$th powers is extendable in every base. However, in other interesting cases the ratio $\pi_S(n)/\pi_S(\lambda n)$ fails to converge, or converges to 1, for all $\lambda$, and a sharper condition is needed. The following theorem effectively characterises the extendable sets of numbers and reduces the question to a problem of Diophantine Approximation.
**Theorem 2.** A necessary and sufficient condition for the set $S = \{s_0, s_1, \cdots\}$ of positive integers to be extendable in base $b$ is that the set of fractional parts of the real numbers $\log_b s_0, \log_b s_1, \cdots$ be dense in the unit interval.
Proof. In the following, all logarithms are taken to the base $b$.
(a) Necessity. Suppose $S$ is extendable in base $b$, so that condition (1) holds. Take logarithms and write $u_m = \log s_m$, $\alpha = \log x$, and $\delta(\alpha) = \log(1 + 1/x)$. Then, by assumption, for each $\alpha$ of the form $\log x$, there exist integers $m$ and $n$ such that
$$0 \leq u_m - n - \alpha < \delta(\alpha).$$
If we write $(z)$ for the fractional part and $[z]$ for the integral part of the real number $z$, then (2) can be expanded to
$$(\alpha) - (u_m) \leq [u_m] - [x] - n < \delta(\alpha) + (\alpha) - (u_m) \leq \delta(\alpha) + (\alpha).$$
Since $(\alpha) - (u_m) > -1$, and $\delta(\alpha) + (\alpha) = \log(x+1) - [\log x]$, which has a maximum value of 1 (obtained when $x$ is of the form $b^k - 1$, for some $k$), the above inequalities imply that $[u_m] - [x] = n$, whence (2) can be simplified to
$$0 \leq (u_m) - (\alpha) < \delta(\alpha).$$
Let $\varepsilon$ be any positive real number, and $x$ any integer. Define $\alpha_k = \log b^k x$. Clearly $(\alpha_k) = (\log x)$, for each $k$. Let $n$ be any integer such that
$$\delta(\alpha_n) = \log(1 + 1/b^n x) < \varepsilon.$$
For such an $n$, there exists, by (4), an $m$ such that $0 \leq (u_m) - (\alpha_n) < \delta(\alpha_n)$; i.e., an $m$ satisfying
Given \( \varepsilon \), we can also find an integer \( x_0 \) such that \( 0 \neq (\log x_0) < \varepsilon \). The sequence of points
\[
(\log x_0), (2 \log x_0), (3 \log x_0), \cdots
\]
therefore marks a chain across the interval \((0,1)\), where the distance between consecutive points is less than \( \varepsilon \). Hence, given any \( \theta \) in \((0,1)\), one can find a number \( x = x_0^k \), for some \( k \), such that \( 0 \leq \theta - (\log x) < \varepsilon \). It follows, using (5), that a number \( m \) exists such that
\[
|\theta - (u_m)| < \varepsilon.
\]
Since \( \theta \) and \( \varepsilon \) were arbitrary, (6) is just the condition for the set of fractional parts of \( \log s_0, \log s_1, \cdots \) to be dense in the unit interval.
(b) Sufficiency. Suppose that (6) holds for arbitrary \( \theta \) and \( \varepsilon \). Let \( x \) be any positive integer, and take \( \theta = (\log x) \). Then there must be an infinite number of integers \( m \) such that
\[
0 \leq (u_m) - (\log x) < \varepsilon,
\]
for otherwise, we can construct an interval to the right of \((\log x)\) that contains no point of the form \((u_m)\), contrary to assumption. If we take an \( \varepsilon < \delta(x) \) and an \( m \) such that \( u_m \geq x \), where \( x = \log x \), then \( n = [u_m] - [x] \) is a non-negative integer that satisfies condition (1). Hence \( S \) is extendable in base \( b \).
The following lemma is based on a proof by J. W. S. Cassels [1].
**Lemma.** Let \( U \) be a sequence \( u_0, u_1, \cdots \) of real numbers of increasing size. A sufficient condition for the fractional parts of \( U \) to be dense in the unit interval is given by either
(i) \( \Delta u_n \to \theta \), where \( \theta \) is either irrational or zero, or
(ii) \( \Delta u_n \to \infty \), and \( \Delta^2 u_n \to 0 \). (By definition, \( \Delta u_n = u_{n+1} - u_n \).)
**Proof.** To begin with, assume that \( \Delta u_n \to 0 \), and let \( \phi \) be an arbitrary real number. Since \( u_n \to \infty \), it is easy to verify that, given any \( \varepsilon > 0 \) and any integer \( m \), there exist integers \( p \) and \( n_0 \) such that
\[
|u_n - \phi - p| < \varepsilon \text{ for all } n \text{ satisfying } n_0 \leq n \leq n_0 + m.
\]
In particular, it follows that the fractional parts of \( U \) are dense in the unit interval. Actually (7) asserts slightly more, and this is used below.
In the case \( \Delta u_n \to \infty \) and \( \Delta^2 u_n \to 0 \), it follows from (7) (with \( u_n \) replaced by \( \Delta u_n \)) that, given \( \varepsilon > 0 \) and \( m \), there exist integers \( p \) and \( n_0 \) such that
\[
|\Delta u_n - \phi - p| < \varepsilon/m \text{ for all } n \text{ satisfying } n_0 \leq n \leq n_0 + m.
\]
The above statement (with $p = 0$ and $\phi = \theta$) also holds true in the third case $\Delta u_n \to \theta$, so that in either case, given $\varepsilon$ and $m$, there exist $p$ and $n_0$, and some irrational $\theta$, such that
\[
|u_{n_0+k} - u_{n_0} - k\theta - kp| \leq \sum_{r=0}^{k-1} |\Delta u_{n_0+r} - \theta - p| < \varepsilon
\]
provided that $0 \leq k \leq m$.
Next, one version of Kronecker's theorem asserts that if $\theta$ is irrational, then given $\varepsilon > 0$, there is an $n_1$, such that for any real $\alpha$ there exist integers $q$ and $k_0$, with $0 \leq k_0 < n_1$, such that $|k_0\theta - \alpha - q| < \varepsilon$.
In substance, this says that the set of points $\{(\theta), (2\theta), \cdots\}$ is dense in the unit interval. For a proof see Cassels [2], or Hardy [3].
Now, if in (8) we take $m = n_1$, let $\beta$ be arbitrary, and set $\alpha = \beta - u_{n_0}$, then Kronecker's theorem asserts the existence of integers $q$ and $k_0$, with $k_0 \leq n_1$, such that
\[|k_0\theta - \beta + u_{n_0} - q| < \varepsilon.\]
Setting $s = k_0p + q$, it follows that
\[|u_{n_0+k_0} - \beta - s| \leq |u_{n_0+k_0} - u_m - k_0p - k_0\theta| + |k_0\theta - \beta + u_{n_0} - q| < 2\varepsilon.\]
Since $\beta$ and $\alpha$ were arbitrary and $s$ is an integer, the lemma is proved.
**Theorem 3.** A sufficient condition for the set $S = \{s_0, s_1, \cdots\}$ of positive integers to be extendable in base $b$ is that
either (i) $s_{n+1}/s_n \to \theta$, where $\theta = 1$ or $\theta$ is not a rational power of $b$,
or (ii) $s_{n+1}/s_n \to \infty$ and $s_n s_{n+2}/s_{n+1}^2 \to 1$.
The proof is a straightforward consequence of the lemma and Theorem 2. The second condition is independent of $b$, and so asserts the extendability of $S$ in every base.
Now we can show, for example, that the set of powers of a given integer $p$ is extendable in base $b$, provided that $p$ is not a power of $b$, as the first condition is satisfied. Also, the set of factorial numbers is extendable in every base as $(n+1)!/n! = n+1 \to \infty$ and $n!(n+2)!/(n+1)!^2 = (n+2)/(n+1) \to 1$.
**References**
1. J. W. S. Cassels, Personal Communication.
2. J. W. S. Cassels, An Introduction to Diophantine Approximation, Cambridge Tracts in Math., No. 45, C. U. P., England, 1963.
3. G. H. Hardy and E. M. Wright, An Introduction to the Theory of Numbers, 4th Edition, Clarendon Press, Oxford, England, 1960.
|
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THE CLINICAL UTILITY OF THE MIDDLE LATENCY AND 40HZ AUDITORY EVOKED POTENTIALS IN AUDIOLOGICAL ELECTRODIAGNOSIS.
RICHARD JOHN BAXTER
Doctor of Philosophy.
THE UNIVERSITY OF ASTON IN BIRMINGHAM.
December 1990.
This copy of the thesis has been supplied on condition that anyone who consults it is understood to recognise that its copyright rests with its author and that no quotation from the thesis and no information derived from it may be published without the author's prior, written consent.
SUMMARY.
The two electrophysiological tests currently favoured in the clinical measurement of hearing threshold are the brainstem evoked potential (BAEP) and the slow vertex response (SVR). However, both tests possess disadvantages. The BAEP is the test of choice in younger patients as it is stable at all levels of arousal, but little information has been obtained to date at a range of frequencies. The SVR is frequency specific but is unreliable in certain adult subjects and is unstable during sleep or in young children. These deficiencies have prompted research into a third group of potentials, the middle latency response (MLR) and the 40-Hz responses.
This research has compared the SVR and 40-Hz response in waking adults and reports that the 40-Hz test can provide a viable alternative to the SVR provided that a high degree of subject relaxation is ensured.
A second study examined the morphology of the MLR and 40-Hz during sleep. This work suggested that these potentials are markedly different during sleep and that methodological factors have been responsible for masking these changes in previous studies.
The clinical possibilities of tone pip BAEPs were then examined as these components were proved to be the only stable responses present in sleep. It was found that threshold estimates to 500-Hz, 1000-Hz and 4000-Hz stimuli could be made to within 15-dBSL in most cases.
A final study looked more closely at methods of obtaining frequency specific information in sleeping subjects. Threshold estimates were made using established BAEP parameters and this was compared to a 40-Hz procedure which recorded a series of BAEPs over a 100-msec time sweep. Results indicated that the 40-Hz procedure was superior to existing techniques in estimating threshold to low frequency stimuli.
This research has confirmed a role for the MLR and 40-Hz response as alternative measures of hearing capability in waking subjects and proposes that the 40-Hz technique is useful in measuring frequency specific thresholds although the responses recorded derive primarily from the brainstem.
Keywords: Middle latency response - 40-Hz response - sleep - tone pip BAEPs - slow vertex response - audiometric threshold assessment.
ACKNOWLEDGEMENTS.
I would first like to thank my supervisor, Dr Lesley Jones for her guidance and support throughout this research project. Secondly, thanks to Professor Graham Harding, my associate supervisor for his expertise.
A big thank you to the entire technical staff of the Neurophysiology Unit at Aston especially to Paul Furlong for invaluable discussions and assistance.
I would also like to thank the students and staff of the Vision Sciences department who acted as subjects for me and in particular to those who took part in the all-night sleep studies for 'service beyond the call of duty'.
## CONTENTS
| Section | Page |
|------------------------------------------------------------------------|------|
| Summary | 2 |
| Dedication | 3 |
| Acknowledgements | 3 |
| List of figures | 10 |
| List of tables | 19 |
### Chapter 1
**The development of evoked response audiometry.**
| Section | Page |
|------------------------------------------------------------------------|------|
| 1.1 Historical perspective | 22 |
| 1.2 The classification of auditory evoked responses | 24 |
| 1.21 Early latency components | 25 |
| 1.21a The cochlear microphonic potential | 25 |
| 1.21b The frequency following response | 27 |
| 1.21c The brainstem auditory evoked potential | 27 |
| 1.22 Middle latency responses | 28 |
| 1.22a Myogenic components lying within the middle latency range | 30 |
| 1.22b The 40Hz steady-state evoked potential | 32 |
| 1.23 Long latency auditory evoked potentials | 34 |
| 1.3 The role of evoked response audiometry (ERA) in the objective assessment of hearing | 36 |
| 1.31 The use of ERA in infant populations | 37 |
| 1.32 ERA in adult audiological electrodiagnosis | 38 |
| 1.4 Choosing the appropriate test for specific clinical requirements | 39 |
| 1.41 Young children and neonates | 39 |
| 1.42 Adult testing | 41 |
| 1.5 The aims of this thesis - An investigation of the clinical utility of the auditory middle latency response and the 40Hz response | 42 |
Chapter 2
The generators and topography of the middle latency responses.
| Section | Title | Page |
|---------|----------------------------------------------------------------------|------|
| 2.1 | Introduction. | 45 |
| 2.11 | Neurogenic generators in the middle latency range. | 45 |
| 2.12 | The role of myogenic generators within the middle latency range | 48 |
| 2.13 | Restating the case for the MLR as a neurogenic response. | 51 |
| 2.2 | The topography and distribution of auditory evoked potentials with special reference to the MLR. | 64 |
| 2.21 | The brainstem evoked potential. | 65 |
| 2.22 | The slow vertex response. | 65 |
| 2.23 | The Middle latency response. | 67 |
| 2.3 | Summary. | 78 |
Chapter 3
Factors affecting the MLR and 40Hz response.
| Section | Title | Page |
|---------|----------------------------------------------------------------------|------|
| 3.1 | Introduction. | 81 |
| 3.2 | Response characteristics of the MLR. | 82 |
| 3.3 | The effect of systems bandpass upon MLR recording. | 88 |
| 3.4 | The 40Hz response. | 93 |
| 3.41 | The study of 40Hz brain activity. | 94 |
| 3.42 | The auditory 40Hz response. | 95 |
| 3.5 | The effect of subjective parameters upon the MLR and 40Hz responses.| 97 |
| 3.51 | The clinical significance of sleep in ERA. | 98 |
| 3.51a | Classification of sleep stages. | 98 |
| 3.52 | The influence of subject arousal level upon the MLR and 40Hz response.| 100 |
| 3.53 | Differential effects of sleep upon the individual components of the MLR. | 110 |
3.6 The effects of age and maturation upon the MLR and 40Hz responses. 118
3.7 Summary. 131
Chapter 4
Clinical applications of auditory evoked potentials. 132
4.1 Introduction. 132
4.2 Clinical response detection criteria. 135
4.21 False negative and false positive results. 136
4.22 Response detection near audiometric threshold. 137
4.3 The relationship of the SVR to audiometric threshold. 138
4.4 The relationship of the BAEP to audiometric threshold. 143
4.5 Clinical applications of the MLR. 146
4.6 Clinical applications of the 40-Hz response. 154
4.7 Re-evaluating the MLR as a viable clinical tool. 164
4.71 Response detection as a function of filter bandpass. 165
4.8 Frequency specific brainstem evoked potentials. 168
4.9 Summary. 178
Chapter 5
An overview of the experimental work carried out in this thesis. 179
5.1 Introduction - Summary of literature. 179
5.2 Description of experiments. 181
5.21 The subject population. 184
5.3 A description of the recording equipment used in this thesis. 185
5.4 Summary. 192
Chapter 6
A comparison of threshold determinations using the 40Hz response and the slow vertex response in normal, waking adults.
| Section | Page |
|------------------------------------------------------------------------|------|
| 6.1 Introduction. | 193 |
| 6.2 Methods. | 194 |
| 6.3 Results. | 197 |
| 6.31 Subjective - objective threshold differences. | 198 |
| 6.32 Differences in threshold estimation using SVR and 40Hz response procedures. | 204 |
| 6.33 Reliability of results. | 209 |
| 6.4 Discussion. | 212 |
| 6.41 The SVR and 40Hz response in the measurement of objective threshold.| 212 |
| 6.42 Differences between SVR and 40Hz threshold estimation. | 214 |
| 6.43 Other methods of assessing the 40Hz response | 223 |
| 6.5 Conclusions. | 226 |
Chapter 7
Changes in the auditory middle latency response and 40Hz response during all-night sleep recording.
| Section | Page |
|------------------------------------------------------------------------|------|
| 7.1 Introduction. | 228 |
| 7.2 Methods. | 231 |
| 7.3 Results. | 233 |
| 7.31 Data analysis. | 233 |
| 7.32 Latency changes in the MLR during sleep. | 234 |
| 7.4 Discussion. | 260 |
| 7.41 Changes in the morphology of the MLR during sleep. | 260 |
| 7.42 The consequences of narrow bandpass filtration upon the morphology of the MLR. | 265 |
| 7.5 Conclusions. | 268 |
Chapter 8
Brainstem auditory evoked potentials to click and frequency specific stimuli in adults.
i) Normative aspects of tone pip responses
ii) Threshold estimation.
8.1 Introduction. 270
8.11 Explanation of the structure of this experiment. 271
8.2 Methods. 273
8.21 Normal response characteristics of the BAEP recorded to tone pips and click stimulation. 273
8.22 Objective threshold assessments recorded using the tone pip BAEP. 274
8.3 Results - Normative aspects 276
8.31 Normative aspects of BAEP recording to click and tone pip stimuli. 277
8.32 Latency-intensity curves for click and tone pip stimuli. 290
8.4 Discussion. 294
8.41 Latency and morphology differences in response components of the BAEP with different stimuli. 294
8.5 Results - Comparison of threshold estimations using conventional BAEP techniques and the 40Hz response. 300
8.51 Conventional BAEP techniques. 300
8.52 Results of threshold estimations using the 40Hz protocol. 302
8.6 Discussion. 304
8.61 Tone pip recording in the clinical setting and the detection of auditory pathology. 317
8.62 Other methods of obtaining frequency specific BAEPs 322
8.8 Conclusions. 325
Chapter 9
General discussion. 326
9.1 What were the aims of this research? 326
9.2 Summary of experimental results. 326
9.21 Comparing the SVR and 40Hz response in waking adults. 327
| Section | Title | Page |
|---------|----------------------------------------------------------------------|------|
| 9.22 | The effects of sleep and sleep stage on the MLR and 40Hz response. | 327 |
| 9.23 | The characteristics of the tone pip BAEP and its role in frequency specific threshold assessment in relaxed wakefulness and slow wave sleep. | 329 |
| 9.3 | Intercomparison of experimental data. | 331 |
| 9.4 | Limitations of the data and suggestions for future work. | 334 |
| | References. | 337 |
| | Appendices | 359 |
List of Figures.
1.1 Morphology of the early, middle and late auditory evoked responses (Picton et al., 1974). 26
1.2 The effect of reducing stimulus intensity upon the BAEP. 29
1.3a The effect of enhanced myogenic activity upon the morphology of components in the 8-40 msec. latency range (Bickford et al., 1964). 31
1.3b The post-auricular muscle potential (Yokoyama et al., 1987). 31
1.4 The generation of the 40Hz steady state potential by the superimposition of successive BAEP and MLR transients to stimuli delivered at 40 times per second (Galambos et al., 1981). 33
1.5 The effect of reducing stimulus intensity upon the vertex potential. 35
2.1 The first recording of the MLR (adapted from Geisler et al., 1958). 46
2.2a A comparison of the morphology of the MLR using active vertex or occipital electrode sites referred to the nose. 52
2.2b MLR morphology compared using either scalp or sub-dural
2.3 A comparison between the data of Harker et al. (1977) and Bickford et al. (1964).
2.4 The effects of activating various muscle groups upon the morphology of the MLR. (Streletz et al., 1977).
2.5 The localisation of the post-auricular muscle response. (Streletz et al., 1977).
2.6 Comparison of the topography and morphology of the PAMP recorded in sleep and wakefulness. (Streletz et al., 1977).
2.7 The effects of filter bandpass upon the detection of response components of the PAMP (Thornton, 1975).
2.8 Scalp topography of the MLR (Cohen, 1982).
2.9 The topography of the MLR reported from a case study of a patient with a ruptured middle cerebral artery. (Özdamar et al., 1982).
3.1 The effect of varying systems bandwidth upon the morphology of the BAEP and MLR. (Kavanagh et al., 1984).
3.2 The effect of altering stimulus repetition rate on the morphology of the BAEP and MLR.
3.3 Electro-encephalic classification of relaxed wakefulness and sleep stages 2, 3, 4 and REM. (Rechtschaffen and Kales, 1968).
3.4 Naturally occurring variants of the
| Section | Title | Page |
|---------|----------------------------------------------------------------------|------|
| 3.5 | Variations in MLR morphology in sleeping subjects (Suzuki et al., 1983a) | 104 |
| 3.6 | Amplitude versus rate function of the MLR recorded at different levels of arousal (Linden et al, 1985) | 109 |
| 3.7 | Comparison of the 40Hz response in wakefulness and sleep (Brown and Shallop, 1982) | 111 |
| 3.8 | Changes in the morphology of the MLR in the cat at different stages of sleep and in relaxed wakefulness (Chen and Buchwald, 1986) | 114 |
| 3.9 | Changes in the human MLR at different levels of arousal (Erwin and Buchwald, 1986b) | 116 |
| 3.10 | Audiometric threshold estimates in 1, 4 and 8 months old babies (Mendel et al., 1977) | 121 |
| 3.11 | Changes in the MLR in relaxed wakefulness and in sleep in child and adult populations (Okitsu, 1984) | 124 |
| 3.12 | The effect of highpass filtration upon the morphology of the MLR in adults and children: 4-7 years, 8-11 years and 12-14 years (Suzuki and Hirabayashi, 1987) | 127 |
| 4.1a | Frequency specific stimulus characteristics for tone pips of 2 cycles rise/fall time and 1 cycle plateau. | 148 |
| 4.1b | Frequency specificity of 500, 1000, 2000 and 4000Hz tone pips as calculated using the Fourier transform (Davis et al, 1983). | 148 |
4.2 Amplitude versus intensity functions for Na, Pa, Nb, Pb and Nc components of the MLR to frequency specific stimuli of 250, 1000 and 4000Hz (Thornton et al., 1977).
4.3 The relationship of the MLR to audiometric threshold in normal and hearing impaired subjects using 500, 1000 and 3000Hz stimuli (McFarland et al., 1977).
4.4 A comparison of the amplitude of the Na-Pa configuration of the MLR using 9.4/sec. and 40/sec. stimulus repetition rates and a 500Hz stimulus (Brown and Shallop, 1982).
4.5 Audiometric threshold estimation using the 40Hz procedure in one hearing impaired subject with a severe high frequency hearing loss (Fig. 4.5a) and another with a moderate mid-frequency hearing loss (4.6b). (Brown and Shallop, 1982).
4.6 Comparison of 40Hz response morphology in six normal subjects using stimuli of 500 and 4000Hz (Sammeth and Barry, 1985).
4.7 Changes in the morphology of the BAEP and MLR using different filter bandpasses, relationship to audiometric thresholds (Kavanagh et al., 1984).
4.8 Click and tonally evoked (500 and 4000Hz) BAEPs from a normally hearing infant (Hyde et al., 1987).
4.9 Morphology of the Wave V - SNIO complex
near audiometric threshold using 500, 1000, 2000 and 4000Hz stimuli in a six month old, normally hearing infant (Davis et al., 1985).
5.1 Filter characteristics of the Medelec Sensor ER94a.
5.2 The effect of signal truncation upon a waveform within the time domain and its effect on response frequency (after Lynn, 1982)
5.3 A comparison of different types of window functions upon the attenuation of extraneous frequencies (after Beauchamp, 1973)
6.1 Subjective - objective threshold difference histograms for the slow vertex response at frequencies of 500, 1000, 2000 and 4000Hz.
6.2 Subjective - objective threshold difference histograms for the 40Hz response at frequencies of 500, 1000, 2000 and 4000Hz.
6.3 Morphology of the SVR and 40Hz response at different stimulus intensities at stimulus frequency of 500Hz.
a SVR:
b 40Hz response:
6.4 Differences in threshold estimation using SVR and 40Hz procedures (subject VV).
a SVR:
b 40Hz response:
6.5 Differences in threshold estimation (subject MR) using the 40Hz response and SVR.
a 40Hz response:
b SVR:
| Section | Description | Page |
|---------|-----------------------------------------------------------------------------|------|
| 6.6 | Differences in threshold estimation using SVR and 40Hz procedures (subject JG) | |
| | a SVR: | 217 |
| | b 40Hz response: | 218 |
| 6.7a | Comparison of 40Hz response threshold estimation in a subject tested lying down (subject VV). | 221 |
| 6.7b | Comparison of 40Hz response threshold estimation in a subject tested lying down (subject RD). | 222 |
| 7.1 | Comparison of 40Hz responses recorded from a normally hearing infant recorded to click and 3000Hz tone pip stimulation using 10-125Hz and 10-3000Hz filter bandpasses. | 230 |
| 7.2 | Changes in the mean latency of Wave V Na and Pa in wakefulness, stage 2, stage 3/4 and stage REM sleep using click stimulation. | 238 |
| 7.3 | Changes in the mean latency of Wave V, Na and Pa in wakefulness, stage 2, stage 3/4 and stage REM sleep using 500Hz tone pip stimulation. | 239 |
| 7.4 | Changes in the mean latency of Wave V, Na and Pa in wakefulness, stage 2, stage 3/4 and stage REM sleep using 4000Hz tone pip stimulation. | 240 |
| 7.5 | Comparison of the 5Hz MLR and the 40Hz response in all subjects using click stimulation in wakefulness. | 243 |
| 7.6 | Comparison of the 5Hz MLR and the 40Hz response in all subjects using click stimulation in stage 2 sleep. | 244 |
| 7.7 | Comparison of the 5Hz MLR and the 40Hz response in all subjects using
| Section | Description | Page |
|---------|-----------------------------------------------------------------------------|------|
| 7.8 | Comparison of the 5Hz MLR and the 40Hz response in all subjects using click stimulation in REM sleep. | 246 |
| 7.9 | Comparison of the 5Hz MLR and the 40Hz response in all subjects using 500Hz stimulation in wakefulness. | 247 |
| 7.10 | Comparison of the 5Hz MLR and the 40Hz response in all subjects using 500Hz stimulation in stage 2 sleep. | 248 |
| 7.11 | Comparison of the 5Hz MLR and the 40Hz response in all subjects using 500Hz stimulation in stage 3/4 sleep. | 249 |
| 7.12 | Comparison of the 5Hz MLR and the 40Hz response in all subjects using 500Hz stimulation in REM sleep. | 250 |
| 7.13 | Comparison of the 5Hz MLR and the 40Hz response in all subjects using 4000Hz stimulation in wakefulness. | 251 |
| 7.14 | Comparison of the 5Hz MLR and the 40Hz response in all subjects using 4000Hz stimulation in stage 2 sleep. | 252 |
| 7.15 | Comparison of the 5Hz MLR and the 40Hz response in all subjects using 4000Hz stimulation in stage 3/4 sleep. | 253 |
| 7.16 | Comparison of the 5Hz MLR and the 40Hz response in all subjects using 4000Hz stimulation in REM sleep. | 254 |
| 7.17 | Characteristic changes in the 5Hz MLR | |
| Section | Description | Page |
|---------|-----------------------------------------------------------------------------|------|
| 7.18 | Characteristic changes in the 5Hz MLR and 40Hz response recorded in one subject (TP). | 257 |
| 7.19 | Characteristic changes in the 5Hz MLR and 40Hz response recorded in one subject (DT). | 258 |
| 8.1 | A characteristic click evoked BAEP recorded in one subject at 70dBSL. | 278 |
| 8.2 | Changes in the morphology of the BAEP with decreasing stimulus intensity in an individual subject using click stimulation. | 280 |
| 8.3 | Characteristic 4000Hz evoked BAEP recorded at 70dBSL. | 282 |
| 8.4 | Changes in the morphology of the BAEP with decreasing stimulus intensity in an individual subject using 4000Hz tone pip stimulation. | 284 |
| 8.5 | Characteristic 1000Hz evoked BAEPs recorded at 70dBSL. | 286 |
| 8.6 | Changes in the morphology of the BAEP with decreasing stimulus intensity in an individual subject using 1000Hz tone pip stimulation. | 288 |
| 8.7 | Characteristic 500Hz evoked BAEPs recorded at 70dBSL. | 289 |
| 8.8 | Changes in the morphology of the BAEP with decreasing stimulus intensity in an individual subject using 500Hz tone pip stimulation. | 291 |
| 8.9 | Graph of latency-intensity functions of wave V for all stimuli. | 293 |
| 8.10 | Typical responses for click and tone pip stimuli at 70dBSL. | 295 |
| 8.11 | Histograms showing the subjective - | |
| Section | Description | Page |
|---------|-----------------------------------------------------------------------------|------|
| 8.12 | Comparison of threshold determinations using either 10Hz stimulus repetition rate or the 40Hz procedure using 500Hz stimuli in one subject. | 305 |
| 8.13 | Comparison of threshold determinations using either 10Hz stimulus repetition rate or the 40Hz procedure using 500Hz stimuli in one subject. | 306 |
| 8.14 | Comparison of threshold determinations using either 10Hz stimulus repetition rate or the 40Hz procedure using 500Hz stimuli in one subject. | 307 |
| 8.15 | Comparison of threshold determinations using either 10Hz stimulus repetition rate or the 40Hz procedure using 500Hz stimuli in one subject. | 308 |
| 8.16 | Comparison of threshold determinations using either 10Hz stimulus repetition rate or the 40Hz procedure using 4000Hz stimuli in one subject. | 309 |
| 8.17 | Comparison of threshold determinations using either 10Hz stimulus repetition rate or the 40Hz procedure using 4000Hz stimuli in one subject. | 310 |
| 8.18 | Comparison of threshold determinations using either 10Hz stimulus repetition rate or the 40Hz procedure using 4000Hz stimuli in one subject. | 311 |
| 8.19 | Comparison of threshold determinations using either 10Hz stimulus repetition rate or the 40Hz procedure using 4000Hz stimuli in one subject. | 312 |
| 8.20a | Model of a flat hearing loss (after Hyde, 1985) | 319 |
| 8.20b | Model of high frequency hearing losses (after Hyde, 1985) | 320 |
List of tables.
2.1 Latency of myogenic and neurogenic components within the 8-40 msec. latency range under various conditions of muscle activation and relaxation (Streletz et al., 1977). 56
2.2 Comparison of the morphology of the PAMP recorded by various research groups using different filter bandpasses (Thornton, 1975). 63
3.1 Comparison of the latencies of the principle components of the MLR as recorded by various authors under different experimental conditions. 84
3.2 Comparison of the MLR and SVR in the determination of audiometric threshold in relaxed wakefulness and sleep (Mendel et al., 1975). 101
3.3 The effect of sleep stage upon the amplitude of the MLR (Linden et al., 1985). 108
3.4 The percentage detectability of various components of the MLR in sleep and relaxed wakefulness for adults and children (Okitsu, 1984). 125
4.1 Correlations between subjective and objective thresholds at stimulus frequencies of 500, 1000, 2000 and 4000Hz using the 40Hz response (Lenarz et al., 1986). 159
4.2 Threshold estimation using the 40Hz response at stimulus frequencies of 500, 1000, 2000 and 4000Hz (Sammeth and Barry, 1985). 160
4.3 Threshold estimates for the BAEP and MLR using different filter bandpasses (Kavanegh et al., 1984). 166
| Section | Description | Page |
|---------|-----------------------------------------------------------------------------|------|
| 6.1 | Summary of SVR and 40Hz response experimental recording techniques. | 197 |
| 6.2 | Subjective, objective thresholds and differences for | |
| | a SVR: | 199 |
| | b 40Hz response: | 200 |
| 6.3 | Mean differences, ranges and standard deviations for the SVR and 40Hz responses in the estimation of audiometric threshold. | 201 |
| 6.4 | Comparison of threshold estimation using the 40Hz procedure for selected subjects tested either seated or lying down. | 220 |
| 7.1 | Mean latencies and amplitude of all components of the MLR and wave V at all levels of arousal. | |
| | a Click: | 235 |
| | b 500Hz tone pip: | 236 |
| | c 4000Hz tone pip: | 237 |
| 7.2a | Mean amplitudes of the 40Hz response at all levels of arousal. | 242 |
| 7.2b | Statistical analysis of 40Hz response amplitude at all levels of arousal. | 242 |
| 8.1 | Mean latencies and amplitudes of the component peaks of the BAEP recorded to clicks. | 279 |
| 8.2 | Inter-peak latencies for the click BAEP. | 281 |
| 8.3 | Mean latencies and amplitudes of the component peaks of the BAEP recorded to 4000Hz tone pips. | 283 |
| 8.4 | Inter-peak latencies for the 4000Hz tone pip BAEP. | 283 |
| 8.5 | Mean latencies and amplitudes of the component peaks of the BAEP recorded to 1000Hz tone pips. | 285 |
| 8.6 | Mean latencies and amplitudes of the component peaks of the BAEP recorded to 2000Hz tone pips. | 285 |
| Section | Description | Page |
|---------|-----------------------------------------------------------------------------|------|
| 8.7 | Mean latencies of wave V for all subjects at different stimulus intensities.| 292 |
| 8.8 | Summary of the mean latencies and amplitudes of all components for click and tone pip stimuli. | 296 |
| 8.9 | BAEP threshold estimation using click and tone pip stimuli. | 300 |
| 8.10 | Individual subjective, objective thresholds and differences for all subjects.| 301 |
| 8.11 | Subjective, objective and threshold differences for the BAEP using the 40Hz protocol. | 302 |
| 8.12 | Combined threshold estimates in subjects who participated in both parts of chapter. | 313 |
| 8.13 | Comparison of thresholds estimations from this experiment with the findings of other authors. | 315 |
| 9.1 | Intercomparison of experimental data | 331 |
1.1 HISTORICAL PERSPECTIVE.
The earliest observation of sensory stimuli altering the ongoing electroencephalogram (EEG) dates back to Richard Caton (1875). In his pioneering paper, 'The electric currents of the brain', Caton described the way in which sensory input altered the ongoing activity of the brain producing what we now call an evoked response. Caton further attempted to localise sensory areas in the brain of rabbits and monkeys, having some success in recording responses to light but poor results to auditory and olfactory stimuli.
Working at the University of Cracow in Poland, Adolf Beck (1890, 1891) submitted his doctoral thesis on cortical responses to sensory stimulation. Beck successfully replicated the findings of Caton and was also able to demonstrate an auditory response to a shouted voice from electrodes placed over the temporal regions of the brain. At the turn of the century, a Russian named Larionov performed an ambitious series of experiments. Recording intracranially from dog brains, he found distinct auditory responses to tones of different frequency generated by three tuning forks. Larionov differentiated three distinct response areas on the temporal lobes thus being the first to demonstrate the existence of frequency selectivity within the auditory cortex. Since recording technology was not sufficiently advanced during the late nineteenth century and amplification of these tiny voltages produced by the brain in response to auditory stimulation was not possible at this time, the data produced by these pioneering researchers lacked convincing support. In addition, Caton, Beck and Larionov had no cameras with which to photograph their results (for a comprehensive review of the earliest literature refer to Brazier, 1984).
The twentieth century brought with it the necessary advances in recording technology and
therefore stronger support for the physiological basis for evoked potentials was provided (Berger, 1929). Pauline Davis (1939) and her husband Hallowell provided the first contribution of the English speaking world to the subject of evoked potentials. They described sound as evoking a triphasic wave (with a periodicity of around 70 msec.) which could be recorded from the scalp at around 100-200 msec. after the delivery of an auditory stimulus (Davis, 1939).
The evaluation of hearing through observing sound induced changes within the EEG (Gidoll, 1952; Perl et al., 1953) was greatly enhanced with the advent of averaging techniques. The first application of this principle was made by Dawson (1947). He developed a photographic superimposition method whereby corresponding (and concurrent) epochs of EEG after auditory stimulation were visually superimposed. With the development of increasingly more powerful analogue computer systems, it was soon possible to improve Dawson's photographic superimposition technique by using a mechanical rotator synchronised to the presentation of the stimulus to calculate the resultant average of successive samples (Dawson, 1950, 1951, 1954). Random activity, unrelated to the stimulus would attenuate over a sufficiently large number of averages and the 'time-locked' evoked response would be enhanced.
As digital computing systems emerged in the 1950s, dedicated electronic equipment was produced for the first time. The clinical applications of evoked potentials (the term 'evoked response' will be used interchangably in this thesis), have now become established over the ensuing decades as a powerful technique for objectively assessing the body's sensory systems. The audiological significance of this is the possibility of measuring auditory sensitivity in a manor that is independent of patient participation. Neurologically speaking, auditory evoked potentials have also allowed the possibility of non-invasively investigating the integrity of the brainstem and diagnosing retrocochlear pathology.
The possible clinical applications of evoked responses were very quickly realised, but still more powerful recording systems were required in order to reliably record these potentials. Up until the advent of EEG recording, investigations of auditory function and hearing deficit
had depended upon subjective inferences made by the patient. Whilst this was adequate in a large majority of clinical investigations, certain groups of patients were untestable by conventional means. These included young children, unable to actively participate in the experimental procedure because of their age or competence and mentally and physically handicapped patients of all ages. Evoked responses offered the possibility of objectively measuring the auditory integrity in these groups served poorly by existing techniques.
Averaging procedures have now been used extensively to categorise the brain's response to sound stimulation from the level of hair cells in the cochlea to the responses generated from the auditory cortex. In the remainder of this chapter, the auditory responses as they stand today will be categorised and the areas in which these potentials have been used clinically, highlighted. The chapter will conclude with a summary of the instances in which existing responses are limited and the experimental aims of this thesis examining the ways in which techniques might be improved.
1.2 THE CLASSIFICATION OF AUDITORY EVOKED RESPONSES.
The most widely accepted classification of auditory evoked potentials currently in use has defined the auditory evoked responses on the basis of their latency (Picton et al., 1974). The importance of this work was that it served to give some structure to the emerging science of electro-physiological audiology and the framework laid down by Picton and colleagues is now widely if not universally accepted. Picton et al. (1974) identified 15 components of the auditory evoked potential arise after auditory stimulation and classified these potentials into three successive groups. Early latency components (0-8 msec.), middle latency components (8-40 msec.) and long latency components (40-290 msec.). According to Picton and colleagues, six early latency, five middle latency and four long latency components may be recorded from a vertex to ipsilateral mastoid scalp derivation.
Picton's classification system does not include later auditory potentials which have since been defined (occurring after 290 msec.). These responses reflect the psychological state of the
subject and may more properly described as event related potentials. The P300 response is a positive component arising at around 300 msec. in response to a stimulus which requires active (conscious) detection on behalf of the subject. For example the delivery of a novel stimulus amongst a train of uniform stimuli or alternatively the omission of a stimulus within such a series will elicit the P300 response (Picton and Hillyard, 1974). The contingent negative variation (CNV) is a negative d.c. shift which occurs between two stimuli if the second stimulus is dependant (contingent) upon the occurrence of the first and when the second requires a perceptual or motor decision. It is thus a reflection of expectancy on behalf of the subject (Jones, 1979). Both the P300 and the CNV responses give insight into the psychological correlates of auditory cognition but further discussion of these lies outside the scope of this thesis. Fig 1.1 shows the characteristic morphology of the early, middle and long latency groups of potentials recorded to a 60dBSL monaural click presented at 1/sec. The filter bandpass is 10-3000Hz for the early and middle components and 1-500Hz for the long latency components. 1024 stimulus presentations have been summed for each trace and the electrode derivation is from vertex to ipsilateral mastoid (reproduced from Picton et al., 1974).
1.21 Early latency components (0-8 msec.).
1.21 a The cochlear microphonic potential.
Also occurring within the first 8 msec. after stimulus onset is a potential which directly replicates the waveform of the stimulus. This potential, the cochlear microphonic (CM), is a non-neural response thought to be the result of mechanical deformations of the hair cells upon the basilar membrane. It is of little interest in audiological electrodiagnosis as the response is purely a function of the stimulus characteristics and has no discernable threshold. The CM will only be recordable if the stimulus is delivered in one phase i.e. positive (compression) or negative (rarefaction). If an alternating stimulus is presented, the CM will be effectively cancelled out and consequently will not be visualised. A further disadvantage of recording the CM is that, due to its origin, it may only be reliably recorded trans-tympanically requiring an invasive medical procedure.
Figure 1.1 Morphology of early, middle and late auditory evoked responses (Picton et al., 1974).
1.21 b The frequency following response.
As with the cochlear microphonic, the frequency following response (FFR) is a potential which mimics the frequency of the stimulus delivered. Unlike the CM, the FFR is considered to be a neural response to auditory stimulation rather than a purely acoustic phenomenon (Moushegian et al., 1973, 1978; Sohmer and Pratt, 1977; Sohmer et al., 1977) and therefore, if an alternating stimulus were presented, the FFR would be double the frequency of the stimulus and not cancelled out as with the CM. The localisation of the FFR is also different to that of the CM. The latter can only be recorded from around the ear whilst the FFR is recorded maximally at the vertex, again suggesting and supporting its neural origin. The latency of the FFR (around 6 msec.) has lead some authors to suggest that it originates from the inferior colliculus (Davis and Hirsch, 1976). Other workers however have suggested that the FFR has a more caudal origin (Gardi et al., 1979). In clinical audiometry the FFR has been shown to be of limited clinical utility. The reasons for this are twofold. Firstly, it is quite variable between subjects and secondly, it usually can only be seen clearly at high intensities and therefore is not appropriate in the assessment of audiological threshold. Its neurogenic origin means that if a FFR is identified, the clinician might conclude that the stimulus has been heard and elicited a response from a patient. However, the response's variability means that the converse is not the case.
1.21 c The brainstem auditory evoked potential (BAEP).
The series of positive and negative deflections occurring within the first 8 msec. after auditory stimulation is thought to represent an activation of the ascending auditory brainstem pathway (Sohmer and Feinmesser, 1967; Sohmer et al., 1974; Sohmer et al., 1977; Jewett, 1970; Jewett and Williston, 1971; Picton et al., 1974). These authors suggested that the first, vertex positive wave, wave I originated from the auditory nerve itself. This was deduced from the observation that wave I was recorded as negative at the mastoid ipsilateral to stimulation and positive at the vertex. Wave I attenuated rapidly and disappeared altogether as the recording derivation moved away from the ear. Depth recordings and lesion studies (Jewett, 1970;
Jewett and Williston, 1971; Starr and Hamilton, 1976; Buchwald and Huang, 1975) also confirmed this conclusion as to the origin of wave I. Waves II-VI of the early response are less easily defined but have been attributed to far field recording of the summation of multiple generators from the auditory brainstem pathway from the cochlear nucleus to the lateral lemnisci and inferior colliculus (Jewett and Williston, 1971; Picton et al., 1974). Since its characterisation during the late sixties and seventies, the BAEP has been proved to be a reliable and robust tool in the electrophysiological diagnosis of neurological and audiological deficit. It therefore currently represents the test of first choice in most modern, clinical environments. Figure 1.2 shows the relationship with stimulus intensity of the BAEP.
1.22 Middle latency responses (8-40 msec.).
To date the most problematic of the auditory evoked potentials, the middle auditory components (8-40 msec.) have been the source of debate since their initial discovery by Geisler et al. in 1958. Since the MLR and its properties are the central area under investigation in this thesis, this section is just intended to introduce the components and highlight the controversy that has surrounded them. Originally, the middle latency auditory evoked potentials were attributed to neurogenic activity deriving possibly from the thalamus and/or the primary auditory cortex (Geisler et al., 1958; Goldstein and Rodman, 1967; Ruhm et al., 1967; Goff et al., 1969; Mendel and Goldstein, 1969a). Audiologically, they were proposed as an effective, objective measurement of auditory threshold. However, despite some encouraging reports, the MLR has never gained full clinical acceptance. The reasons for this are that the response has not been found to be as reliable to record as the BAEP or other, longer latency potentials (described in section 1.23).
As shall be discussed now, the variability of the MLR has been attributed the interaction between neurogenic and myogenic elements lying within the 8-40 msec. latency range.
Brainstem evoked potential
Click stimulus
Vertex to mastoid
Right ear.
Figure 1.2 The affect of reducing stimulus intensity upon the BAEP.
1.22 a Myogenic components lying within the middle latency range.
It is not suggested that the MLR is uniquely susceptible to contamination from muscular artefact. If myogenic activity is too high, the signal (evoked response) to noise (non time-locked background activity) ratio is reduced and as a result all evoked responses are degraded in clarity and hence less easy to visualise. However, it was initially thought that time-locked responses, purportedly deriving from the vestibular system (and not the cochlea), were the sole source of components within the 8-40 msec. latency range (Bickford et al., 1964; Borsanyi and Blanchard, 1964).
In addition, a further more localised myogenic response has been reported within the 8-40 msec. latency range after presentation of an auditory stimulus (Kiang et al., 1963). This post auricular muscle potential (PAMP) is thought to be mediated by the cochlea and ascending brainstem pathway to the level of the lateral lemnisci, but reflects subsequent activity of the facial (VIth cranial) nerve serving the post-auricular muscle (Gibson, 1978). This response to auditory stimulation represents a mechanism by which the ear can physically orientate itself in the direction of a sound stimulus. This adaption is of great importance in the animal kingdom but is more vestigial in humans.
Fig. 1.3 examines more closely the myogenic influences effecting responses within the 8-40 msec. latency range (the MLR). Figure 1.3 a illustrates the apparent enhancement of the 8-40 msec. responses when the activity of scalp musculature is increased through traction (Bickford et al., 1964) in comparison to a much smaller response recorded after the administration of curare, a neuromuscular blocking drug. This finding suggested to some authors that the MLR was infact of myogenic origin and did not reflect auditory (cochlear) neural activity. Fig 1.3 b shows the specific effect upon the neurogenic MLR caused by increased activity of the post-auricular muscle (Yokoyama et al., 1987). This response is recorded from vertex to ipsilateral mastoid with a bandpass of 10Hz -1kHz with a click stimulus (0.1 msec. duration) delivered at 10/sec. The figure shows that a large positive-negative deflection occurs at around 15 msec. in the waking state and that this component is not present if the subject is more fully relaxed or asleep. Therefore, this so-called post-auricular
Figure 1.3 a The effect of enhanced myogenic activity upon the morphology of components in the 8-40 msec. latency range (Bickford et al., 1964).
Figure 1.3 b The post-auricular muscle potential (Yokoyama et al., 1987).
muscle response occurs over a similar latency range to the middle components of the neurogenic MLR. This means that, if subject relaxation is not adequately ensured, then the PAMP (in addition to a general increase in the 'noise' of the response) can be superimposed upon the MLR in certain subjects. The relative contributions of the auditory pathway and scalp musculature to the middle latency responses (originally known as the early responses), have been debated since their initial discovery by Geisler et al. (1958). The greater reliability of the brainstem evoked potential, occurring in the first 8 msec. after stimulus onset (Jewett and Williston, 1971) and the long latency potentials (see below), 40-300 msec. (Davis, 1939, Davis and Zerlin, 1966, Rapin et al., 1966), in certain populations left the MLR with no obvious clinical application. In addition to the controversy that surrounds the generators of the response, there has been slow acceptance of the MLR as a viable clinical tool due to methodological and subjective conflicts over correct recording procedures which have arisen in the literature. To date, the most enthusiastic support for the MLR has been forthcoming from Mendel, Goldstein and co-workers (Goldstein and Rodman, 1967; Mendel and Goldstein, 1969 a and b; Madell and Goldstein, 1972; Mendel and Kupperman, 1974; Mendel et al., 1975). Other workers have expressed doubts as to the clinical viability of the MLR. These doubts concern the most appropriate recording parameters (such as filter bandpass and stimulus characteristics) for recording the response (Scherg, 1982; Kavanagh et al., 1984), the equivocal effects of arousal level (Mendel et al., 1975; Davis et al., 1983; Erwin and Buchwald, 1986a; Kavanagh and Domico, 1986) and the effects of age and maturation on the MLR (Suzuki et al. 1983b, Okitsu, 1984; Kraus et al., 1987 a, b and c). Chapter 3 deals with these specific effects and the consequences of their interaction upon the MLR in detail.
1.22b The 40Hz steady-state evoked potential.
Despite the reported difficulties with recording a reliable middle latency response highlighted above, interest in the response has increased in recent years with the development of the 40Hz response (Galambos et al., 1981). This is a steady-state potential which is produced by matching the repetition rate of the stimulus to the intrinsic frequency of the combined BAEP and MLR (i.e. 40Hz) waveform (Fig. 1.4). This causes a superimposition of successive MLR
Figure 1.4 The generation of the 40Hz steady state potential by the superimposition of successive BAEP and MLR transients to stimuli delivered at 40 times per second (Galambos et al., 1981).
transients thus producing a larger response which, it has been suggested, is easier to detect near audiometric threshold than the ordinary MLR (Galambos et al., 1981; Brown and Shallop, 1982; Osterhammel et al., 1983). Evaluation of the audiological applications of the 40Hz response has been central to the research carried out in this thesis.
1.23 Long latency auditory evoked potentials (40-290 msec.).
The long latency potentials were first recorded by Davis (1939). Although maximally recorded at the vertex, the exact generators of this response has been the source of some debate with some researchers claiming that they derive from the primary auditory cortex situated around the Sylvian fissure (Vaughan and Ritter, 1970; Peronnet et al. 1974; Cohen et al., 1982). Other workers have suggested that this response represents a more widespread cortical activation (Davis, 1939; Cody et al., 1964; Davis and Zerlin, 1966; Kooi et al. 1971; Picton et al., 1974; Streletz et al., 1977).
The clearest evidence to date indicates that the long latency potentials are in fact maximal at the vertex (Woods and Wolpaw, 1982 a and b; Scherg and von Cramon, 1986) and therefore, this response is also commonly known as the slow vertex response (SVR) or simply, the vertex potential. Figure 1.5 shows the effect of varying stimulus intensity upon the SVR. The good correlations reported between the vertex potential and audiometric threshold has meant that this response has been used extensively in the clinical environment. It is successfully recorded to click, tonal and even verbal stimuli and as such the vertex potential may give frequency specific information concerning cochlear integrity. However, since the SVR is believed to derive from multiple generators within the cortex (Zerlin and Naunton, 1974; Jones, 1979), its morphology and clarity depends upon considerable integration from within a large and varied population of cortical neurons which are affected by both subjective variables and stimulus characteristics. The most notable subjective variables which have been shown to detrimentally affect the detection of the vertex potential are, level of arousal (Weitzman and Kremen, 1965; Ornitz et al., 1967; Osterhammel et al., 1973) and age (Cody and Townsend, 1973; Goodwin et al., 1978). The variability of the SVR under certain
Figure 1.5 The effect of reducing stimulus intensity upon the vertex potential.
experimental conditions, has limited its clinical reliability for certain subject groups (Davis, 1968). Having now introduced the principal auditory evoked potentials, the following section shall to illustrate the areas in which evoked response audiometry can offer an aid to the clinician in the diagnosis of hearing losses in both adult and child populations.
1.3 THE ROLE OF EVOKED RESPONSE AUDIOMETRY (ERA) IN THE OBJECTIVE ASSESSMENT OF HEARING.
Firstly, it is important to define what is exactly meant by the 'objective assessment' of hearing. The electrophysiological procedures described, are objective in sense that the patient plays no active part in the production of the response. However, the interpretation of the value and reliability of the evoked potentials necessarily depends upon subjective judgements made by the clinician. Therefore, evoked responses audiometry (and indeed other modalities of evoked potential) effectively means the removal of subjectivity from the control of the patient placing it within the hands of the experienced clinician.
Jerger (1987), in a historical review of the impact made by evoked response audiometry (ERA), saw the following specific application of these techniques as being of paramount importance:
"I believe that for audiologists the most important influence that evoked potentials have had is simply the incredible leap forward it has given us in the early identification and early quantification of hearing loss in babies and small children."
Currently this is the clinical population served least well by existing techniques of audiological measurement in terms of measuring frequency specific responses. The significance of prompt diagnosis at an early age is so that learning difficulties that can result from deafness might be rectified through specialised tuition as soon as possible. Goodman et al. (1964) defined this requirement in the following terms:
"If we are to teach (the deaf) normal speech, some method of hearing (assessment) must be discovered and instituted, if possible by 6 months of age when babbling normally begins in a child. If the deafness so identified is not absolutely complete, we can use, through amplification and education, any remaining cochlear responses. If the deafness is complete, we can aim at the establishment of some other method of extra-cochlear sound reception and transmission and exploit other sensory channels to help cope with impairment."
A second major consideration is the use of auditory evoked potentials in the assessment of the mentally and physically handicapped. In these groups, lack of the appropriate behavioural responses might be the result of an auditory defect, an inability to respond or alternatively a central problem relating to the handicap. Differentiation between these two causes is of great importance in order that the correct management of the patient is initiated. Mis-diagnosis of deafness as apparent mental handicap can result in the inappropriate treatment of a patient who has full possession of his/her faculties but has a sensory hearing loss. Further important areas in which ERA is potentially useful is in the diagnosis of psychogenic deafness and in medico-legal cases in which subjective responses may be influenced by the prospect of compensation (financial reward).
Evoked potential audiometry (ERA) has developed in recent years as a powerful objective assessment of audiological and neurological function. Audiologically, ERA has given information about the integrity of the peripheral auditory system (cochlea) and the nature of its response to sound delivered at different intensities and frequencies. ERA has provided a valuable addition to the tests of hearing function available to the clinician for both adult and infant populations.
1.31 The use of ERA in infant populations.
Firstly, for neonates and young children unable to actively participate in conventional test procedures, evoked responses are valuable in the prompt diagnosis of peripheral hearing loss (Davis, 1976; Schorn and Stecker, 1988). Speech and language development relies upon the auditory system functioning correctly from a very early age. If cochlear hearing losses are not compensated for very rapidly during this critical period of growth, perhaps
with the prescription of an appropriate hearing aid, a child's subsequent development might be significantly impaired. Since a young child is unable to report its perception of sound to the clinician, techniques such as startling the baby and distraction testing are used to provide an estimate of hearing function and indicate if the child has a crude orientation reaction to an auditory stimulus. Since even these rough procedures cannot be reliably used in children under six months of age, auditory evoked potentials have provided a much needed more refined objective assessment of hearing in the newborn.
Secondly, ERA has been of considerable use in the detection of possible deafness in children who are mentally handicapped with the additional possibility of deafness compounding their difficulties. Thirdly, evoked responses have been used to investigate children with deafness of psychogenic origin and no obvious physiological basis. Lastly, children with behavioral disorders such as autism or behavioural difficulties (i.e. hyperactivity) who could not be relied upon to respond accurately to conventional techniques have been assessed using ERA.
In addition to the confirmation of a peripheral hearing losses (either conductive or sesori-neural) in young children, auditory evoked potentials may be used to assess deafness originating from a central, neurological impairment of the auditory system (perhaps due to a space occupying lesion present within the brain or brainstem or alternatively pressure upon auditory nerve fibers arising from an extrinsic tumour). For such children a hearing aid would provide no benefit and other procedures to either surgically correct the defect or improve the child's capacity for learning if this is not possible, must be implemented.
1.32 ERA and adult audiological diagnosis.
In adults, as in a much younger population, ERA is of considerable use in the diagnosis of psychogenic deafness and in the assessment of the hearing capabilities of patients with mental or behavioral difficulties if this has not been assessed in childhood. Objective auditory testing in adults has, in addition, proved a valuable asset in the area of
medico-legal audiometry. This branch of audiology is concerned with the accurate diagnosis of adult patients who claim that their hearing has been adversely effected by excessive exposure to noise at their work-place. A cochlea that has been damaged by excessive exposure to loud noise will exhibit high frequency loss with low frequencies remaining within normal limits. As the patient stands to gain financial reward from his responses if his case is proven, it is essential that the clinician is able to use a completely objective procedure over which the patient can exert no conscious control. Objective audiometry may be of considerable use in medico-legal work in corroborating or rejecting a diagnosis of noise induced hearing loss as distinct from simple maturational presbycusis.
Often a patient will be referred for evoked response audiometry if the clinician finds inconsistent or contradictory results to other audiological investigations. ERA should not be considered as an alternative to existing audiometric testing. Conventional, subjective procedures are favoured in the majority of cases because their greater accuracy, relative low cost and shortness of test duration. ERA is an expensive and time consuming procedure to implement and is certainly no more accurate (perhaps less so) than existing techniques of audiological (as opposed to neurological assessment) in a cooperative and able subject. It is in the specific clinical populations described above which cannot be tested by conventional means that ERA has proved valuable. The following section will examine the areas in which each specific electrophysiological test of hearing might be appropriate and also indicate the limitations of the procedures currently used.
1.4 CHOOSING THE APPROPRIATE TEST FOR SPECIFIC CLINICAL REQUIREMENTS.
1.41 Young children and neonates.
There are three essential requirements of an objective clinical test of auditory function in an infant or neonatal population. Firstly, such a test should be sensitive to changes in intensity and give an easily defined response down to values approaching audiometric threshold (the lowest intensity of sound a patient can hear unaided). Secondly, in
evaluating the hearing of a young population, the persistence of the response during sleep and under sedation is of importance. This is because the very young (or the mentally/physically handicapped) cannot be directly instructed or expected to sit still for the duration of the test procedure. (often in excess of 60 min.). As a consequence, sedation is often important to ensure the removal of extraneous muscle activity which will serve to obscure the potentials being recorded. A further advantage of the response - and the one served least well in a neonatal population at the present time, would be that it could allow a comparison of different frequencies. This enables the clinician to differentiate between a broad cochlear deficit and a hearing loss which has spared some of the speech frequencies.
At the present time, neonatal audiological assessment has most commonly relied upon the brainstem auditory evoked potential (BAEP). This response which was discovered by Sohmer and Feinmesser (1967) and characterised clinically by Jewett and Williston (1971) occurs within the first 8 msec. after auditory stimulation and is generated most effectively by very brief auditory stimuli (acoustic clicks). The main advantage of the BAEP is that it is resistant to change with different levels of arousal (Hecox and Galambos, 1974). This is because the BAEP originates from the nuclei and tracts of the ascending auditory pathway within the brainstem and is therefore ever-present regardless of subjective state. In addition, the BAEP is stable in very young (full term) infants and remains detectable with the same degree of accuracy regardless of the age of the patient. The BAEP has thus been the test of choice for assessing young patients under sedation. A further advantage with the response is its fidelity to audiometric threshold. The BAEP provides a very accurate measurement of auditory acuity with responses visible in most patients to within 5-10dB of their hearing threshold. The principal disadvantage with the BAEP is that, because of the very small amplitude of the response (< 1μV), especially at low stimulus intensities, the response is most effectively generated to a brief acoustic stimulus which is able to activate a large portion of the cochlear partition simultaneously. Therefore, a wide range of frequencies, principally those in excess of 2kHz, are most commonly stimulated during BAEP recording to click stimulation and little accurate frequency specific information is obtained (Eggermont, 1982). To summarise, the BAEP has become a powerful clinical
tool in the diagnosis of peripheral hearing losses and central, neurological disorders in the newborn and young children. However, because of the restrictions placed upon the type of stimulation needed to effectively record the BAEP, little reliable clinical (audiological) information has yet been obtained to stimuli delivered at different frequencies.
1.42 Adult testing.
The second area in which auditory evoked potentials have been recognised of clinical importance is within the sphere of medico-legal audiometry. As stated previously, the characteristic feature of a noise-damaged audiogram is a selective high frequency hearing loss with lower frequencies remaining within normal limits for the age of the patient. Diagnosis of noise-induced hearing losses therefore requires an objective audiological test able to discriminate between responses to different frequencies of stimulation. The current test of choice in medico-legal cases tested in the clinical neurophysiological unit at Aston University, is the slow vertex response (SVR). This potential occurs at a longer latency than the BAEP (around 100 msec.) and is believed to reflect activity originating from within the auditory cortex (Vaughan and Ritter, 1970; Peronnet et al., 1974) and the auditory association areas (Kooi et al., 1971; Streletz et al., 1977; Woods and Wolpaw, 1982 a and b.). In the same way as the BAEP, the SVR provides a sensitive assessment of audiological threshold present in adult, waking subjects to within 10-20dB of audiometric threshold under conducive recording conditions (Hyde et al., 1986). The principle difference between the SVR and the BAEP is that due to a far larger number of neurons contributing to its composition, it is a far larger potential and is far more readily recorded to tonally specific stimuli. This means a frequency specific audiogram may be constructed and inferences made as to the nature, cause and extent of any abnormality discovered. Furthermore, a differential diagnosis can be made between a cochlea damaged by loud noise (primarily a high frequency loss) and a presbycustic ear. There are two main disadvantages with the SVR. Firstly, the response has been found to be only dependable in wakefulness and is unreliable in sleeping (or sedated) subjects (Weitzman and Kremen, 1965; Osterhammel et al., 1973). Secondly, the SVR is poorly defined in neonates and
young children due to insufficient development of higher levels of the auditory pathway from which the SVR originates (Cody and Townsend, 1973).
Although adult subjects mostly require no sedation in order to sit quietly for the duration of the experiment, the SVR test is often a lengthy procedure in which some patients may get bored and sleepy or restless. This can lead either to drowsiness and fatigue which results in an increase in contaminating alpha activity or frequently increased restlessness resulting in excessive muscular contamination. It is therefore important to constantly monitor the subjective state of the patient in order to ensure optimum recording conditions i.e. alert, relaxed wakefulness.
The two most commonly used electrophysiological tests of audiometric function possess clear advantages but also significant drawbacks. The BAEP is resistant to sleep and is present in all ages but is poorly recorded to tonal stimuli. Conversely, the SVR is frequency specific but may only be reliably used in a waking adult population. These findings suggest that if the evoked response audiometry is to be more successfully utilised in the clinical setting, further research is justified in order to explore possible alternatives or modifications to the existing armamentarium.
1.5 THE AIMS OF THIS THESIS.
An investigation of the clinical utility of the auditory middle latency response (MLR) and the 40Hz response.
As has been stated previously, the neurogenic elements of the middle latency responses (MLR) are thought to derive from neural structures lying between the brainstem (responsible for the generation of the BAEP) and the auditory cortex and association areas (considered to be responsible for the SVR). Although the MLR has been recognised for a number of years (Geisler et al., 1957; Ruhm et al., 1967; Goldstein and Rodman, 1967; Mendel and Goldstein, 1969 a and b), much debate has persisted as to the interplay of
neurogenic and myogenic elements within the response. In addition, many workers (with the exception of Mendel, Goldstein and colleagues) have reported difficulty in successfully and reliably recording the MLR in the clinical setting. Therefore, the clinical utility of the MLR has been consistently called into question as a viable alternative to the BAEP or the SVR. To date there has been major difficulties in recording the MLR with any great consistency. Firstly, in waking subjects, the principal difficulty has been excessive contamination with the post-auricular muscle potential lying as it does within the same latency range. The second drawback reported with the MLR is the equivocal effects of sleep upon the morphology of the MLR. Some researchers have reported that the MLR is consistent at all levels of arousal (Mendel and Goldstein, 1969b; Mendel et al., 1975) whilst much of the more recent research has indicated that the MLR is significantly modified during sleep (Erwin and Buchwald, 1986). The reasons for the conflicting reports concerning the detection of the MLR during sleep has been attributed artificial distortions of the auditory evoked responses caused by using narrow bandpass filters with steep filter slopes (24dB/Octave) in Mendel's work. (Scherg, 1982; Kavanagh and Domico, 1986; Kavanagh et al., 1988). A further issue that shall be addressed in this thesis is the feasibility of generating a clinically useful brainstem response to tonal stimuli. It has been stated that the BAEP is best generated to a broad stimulus containing a wide range of frequencies and poorly formed to frequency specific stimuli (especially low frequency stimuli). In the light of the conflicting reports regarding the clinical applications of the MLR and the generation of the BAEP to frequency specific stimuli, this research project has attempted to investigate how the MLR and 40Hz response might be of use in the frequency specific diagnosis of auditory threshold. The object of this is to strengthen and broaden the current clinical applications of ERA. The following questions have been examined with reference to both child and adult audiometry:
1. How do threshold assessments obtained using the 40Hz response compare to those obtained using the SVR in an adult population? In order to determine whether the 40Hz response may be used as a possible alternative clinical method of assessment to the SVR in adult electrophysiological diagnosis.
2. How resilient is the MLR and 40Hz response to changes in arousal level?
3. Can reliable information be deduced from brainstem evoked potentials to tonal stimuli?
The following chapters (2, 3 and 4) will examine the origins, characteristics and clinical applications of the MLR and 40Hz response. After this literature review, the experimental aims of this thesis will be expanded more fully.
2.1 INTRODUCTION.
Chapter one introduced the general aims and limitations involved in the audiological recording of the BAEP, MLR, 40Hz response and the vertex potential. This chapter will look more specifically at the MLR and examine fully the debate concerning the origins of these potentials. The arguments shall be laid out in a chronological manner and reference made to the parallel development of the BAEP and SVR throughout the sixties and seventies as clinical tests of audiological function and the subsequent depressing effect this had upon middle latency research.
2.11 Neurogenic generators in the middle latency range.
The responses now known as middle latency were the first auditory evoked potentials to be reported in the literature in a brief communication using the computer averaging techniques developed by Dawson (1950).
Geisler et al. (1958) generated an acoustic evoked response to a continuous train of click stimuli (400 averages, 1.5 monaural presentations / second) recorded between electrodes placed at the vertex and occiput (Fig. 2.1). By moving the electrodes to positions located symmetrically about the midline again referred to the occiput, Geisler found that the response was recordable bilaterally possessing similar morphology and amplitude at different locations on the head. The onset latency of the response was 20 msec. and the latency of the response peak recorded at around 30 msec. Geisler concluded:
Figure 2.1 The first recording of the MLR (adapted from Geisler et al., 1958).
"These data, and the latency of the surface-negative component of evoked responses to clicks, in cats and monkeys, suggest that the responses which we obtain are cortical in origin. The fact that these responses can be obtained from many places on the scalp may reflect the deep location of the auditory cortex in man."
In addition, Geisler observes the strong correlation between stimulus intensity and the MLR stating that the response was recordable to within 5dB of psychoacoustic threshold in the subject shown.
Geisler (1960) further examined the nature of these early potentials in the monkey and in man. By recording both upon the scalp and sub-durally in monkeys, Geisler was able to demonstrate that the 30 msec. surface negative potential recorded from the surface of the pia mater reflected faithfully that same potential recorded from the scalp. The fidelity of scalp recorded responses to the potentials recorded directly from the cortex itself gave two useful pieces of information. Firstly, it implied that the response was not significantly degraded or attenuated by transmission through the scalp. Secondly, normal (i.e. not excessive) activity of the scalp musculature did not significantly alter the response. In a topographic study of the early auditory potential in man, Geisler (1960) consistently found that the 30 msec. negativity was maximal in amplitude over the occipital regions of the scalp. This location was somewhat surprising since the primary auditory projection centers of the brain are located around the Sylvian fissure (transverse gyrus of Heschl). Geisler therefore suggested that the response he had recorded was 'far field' and non-specific in origin as opposed to response originating directly from the primary auditory cortex. Büser and Borenstein (1956) defined three types of cortical response related to different sorts of sensory processing:
1. Primary or projection responses originating from cortical areas which are little affected by other, extraneous modes of sensory stimuli.
2. Secondary response areas of sensory "overlap" in which different stimuli could be evoked independently of eachother.
3. Areas of sensory "interaction" in which these secondary responses could integrate.
Using this definition, Geisler (1960) suggested that the response he had recorded at 30 msec. to auditory click stimulation was secondary in nature. In other words the occiput was a scalp location which reflected auditory activation but also other modalities of stimulus should they be present.
Whichever interpretation one places upon Geisler's data (1958; 1960), the main conclusion from this work is that the middle latency response is the reflection of neural events either directly or indirectly related to audition. However, Geisler himself highlights the possibility of myogenic activity contaminating the response but concludes:
"We have been unable to observe evidence of scalp displacements that are time-locked in a consistent manner to the delivery of click stimuli .... We conclude that the musculature of the scalp does not contain the active sources that produce the 30msec. response components to clicks which we have recorded with scalp electrodes."
2.12 The role of myogenic generators within the middle latency range.
The initial interpretation of the origins of the middle latency response as proposed by Geisler (1958; 1960) was not however universally accepted. Other researchers suggested anomalies within this auditory response recorded from the human scalp and the apparent enhancement of its amplitude with increased muscular activity. Bickford et al. (1964), Cody et al. (1964) and Borsanyi and Blanchard (1964) all contended that the musculature of the scalp was largely responsible for the potentials occurring in the 8-40 msec. latency range, maintaining that the MLR was the result of an activation occurring via the vestibular system and not the cochlea. This conclusion would appear to be at odds with Geisler's claim that the response he recorded varied with stimulus intensity and could be detected down at values approaching psychophysical threshold, a fact which was inconsistent with a purely vestibular origin for these potentials. Borsanyi and Blanchard (1964) did not wholly reject some sort of neurogenic element within the early auditory response but also emphasised a significant level of time-locked myogenic activity within this latency range. In reconsidering Geisler's (1958) initial findings, responses were reported as present down to within 5dB of threshold. The
myogenic potentials emphasised by Bickford et al. (1964) and others were only recordable to loud stimuli. This would suggest that the basic substrates of the MLR were infact neurogenic, with myogenic components overlaying these potentials at high stimulus intensities.
Bickford et al. (1964) studied 30 normal subjects and 4 patients with known lesions of the audio-vestibular system. Using an inion to ear derivation, Bickford presented binaural click stimuli (7.5/sec.) presented at high intensity (120dB SPL). In the normals he found that the principal response components in relaxed subjects were two negative waves (with respect to the active inion electrode) with peaks at around 12 msec. (the A wave) and 26 msec. (the B wave). Bickford and colleagues found that increases in muscle tonicity (through traction applied to the back of the head) greatly enhanced the amplitude of this response. Relaxation of the neck muscles (through forward traction) served to significantly attenuate the response such that it was no longer clearly detectable. This, Bickford suggested meant that the response was primarily a result of muscle activity. Further investigating the origins of the early auditory response, Bickford et al. (1964) examined patients with complete neurosensory deafness (both unilateral and bilateral) and one patient with a profound loss of labyrinthine function. In the patients with intact vestibular systems, he found a similar response to the normal population with traction enhancing the response. However, no responses were recordable in the patient without labyrinthine integrity. Bickford concluded, that this implied the auditory responses originally attributed to the cortex (Geisler et al., 1958; Geisler, 1960) were in fact due to time-locked activation of the scalp musculature deriving from the vestibular system and not the cochlea. The neural pathway for this mechanism was mediated by nerve fibers from the vestibular and not cochlear branch of the VIIIth nerve. Bickford et al. (1964) called the responses he had found, 'sonomotor' - indicating a myogenic, as opposed to neurogenic activation pathway.
It is not easy to directly relate Bickford's results with those obtained by Geisler et al. (1958). Firstly the electrode montages used by these two groups are not immediately comparable. Geisler recorded from the vertex (active electrode, positive upwards) to an occipital reference located at the inion. Bickford recorded from the inion (active, negative upwards) to a reference he describes as the 'ear' which could mean either the earlobe or the mastoid. This
would have a great influence over the degree of muscular activity that was recorded with the latter reference site being far more susceptible to myogenic activity. The morphology of the responses and the predominance of myogenic components in Bickford's study would imply that the mastoid process was infact the true location of the reference electrode. Secondly, Bickford often recorded under half the number of stimulus presentations in his experiment than did Geisler (150 c.f. 400). This is again not conducive to the recording of small neurogenic potentials from within larger amplitude myogenic activity. A third point to consider is the high stimulus intensity used by Bickford et al. (1964) of 120dB SPL. High intensities such as this are also liable to elicit a greater amount of muscular activity from the test subject. In short, it appears that whilst Geisler et al. (1958) had set out to record a neurogenic response, Bickford and co-workers did everything possible to record myogenic potentials and effectively mask neurogenic activity. In re-examining the data of Bickford and colleagues, it is likely that the A wave (12 msec., inion negative) is infact the post-auricular muscle potential recorded first by Kiang et al. (1963). This response would not have been recorded by Geisler and colleagues because the PAMP is localised to the mastoid region (Streletz et al., 1977) and Geisler recorded from a vertex to inion derivation. The relationship of the MLR with stimulus intensity reported by Geisler but rejected by Bickford could be explained by the fewer number of averages presented in the latter study. At low intensity, the amplitude of the neurogenic response to auditory stimulation will be reduced with respect to the ongoing (non time-locked) background activity. Therefore, the 150 stimulus presentations used by Bickford at the lower intensity of 98dB SPL may not have been sufficient to adequately visualise the emerging neurogenic MLR.
The hypothesis that the MLR was infact a time-locked myogenic response to auditory stimulation dominated research during the mid-nineteen sixties. Cody et al. (1964), members of Bickford's research group, saw a clear division between the potentials occurring between 8-40 msec and the later slow vertex responses (SVR). In a study of the shorter latency response (maximal at the inion) in normal subjects and patients with lesions of the cochlea, vestibular system and brainstem, Cody, using a similar inion to ear derivation to Bickford et al. (1964), found similar myogenic enhancement of the former response in agreement with Bickford et al. (1964) and Borsanyi and Blanchard (1964). In addition to this early component,
Cody and colleagues also recorded a second, later response, maximal at the vertex (with respect to an ear reference). Binaural click stimuli, delivered at 1/second produced a diphasic wave with a negative component ranging in latency from 55 msec. to 95 msec., followed by a positive peak at 125-195 msec. Cody observed several differences between this response and the earlier inion response. Firstly, the inion response could be recorded at high stimulus repetition rates (7.5 stimuli/second) whereas the vertex response was recorded poorly at rates exceeding 1/second. Secondly, unlike the inion response, the tonicity of the scalp musculature had a much smaller effect on the vertex response. From these findings, Cody defined two sets of auditory potentials with different characteristics distinguished on the basis of their latency. The fast group of responses were of short latency (<40 msec.), were maximal in the region of the inion, were primarily myogenic in origin and mediated by the vestibular elements of the inner ear. The second (late) group of potentials were of longer latency (around 70 msec.) maximal at the vertex, and predominantly neurogenic in origin (i.e. mediated by the cochlea) reflecting activation of the cortex.
2.13 Restating the case for the MLR as a neurogenic response.
It was not until recordings were made direct from the surface of the exposed auditory cortex that the possibility of a neurogenic auditory response in the 8-40 msec. latency range was re-established. Ruhm et al. (1967) examined the origins of the auditory middle components in an attempt to clarify the relative contributions of neurogenic and myogenic potentials. Firstly, Ruhm and colleagues compared scalp recorded responses at occipital and vertex electrodes. According to Bickford et al. (1964), the principal argument for a myogenic origin for these responses was the fact that they were maximally recorded over the occiput and were significantly enhanced by increased myogenic activity. Ruhm et al. (1967) presented 3000 click stimuli (7/sec.) at 40 and 110 dBSL to both vertex and occiput referred to the nose. Fig. 2.2a shows his results which demonstrate very similar responses between these locations at both intensities. This finding contradicted those of Bickford and colleagues (who's work would have predicted a larger response to have been generated to the louder stimulus as recorded
Figure 2.2 a A comparison of the morphology of the MLR using active vertex or occipital electrode sites referred to the nose.
Figure 2.2 b MLR morphology compared using either scalp or sub-dural electrodes (Ruhm et al., 1967).
with the occipital electrode) and suggested to Ruhm and co-workers that the auditory middle latency responses they had recorded derived primarily from neural activity with a minimal degree of muscular overlay as suggested by Geisler et al. (1958). Ruhm et al. (1967) further compared scalp recording of the middle responses with those obtained from direct recording from the exposed surface of the cerebral cortex of two patients undergoing surgery for seizures. The patients used were audiologically normal. Click stimuli were delivered at 40dBSL and recordings (both extra- and intra-cranial) were obtained from temporal electrodes (T3 and T4) and a point C2 located 10% of the distance between the vertex and auditory meatus. Fig 2.2 b shows the comparison between surface and cortical electrodes. Clearly the former responses are smaller due to the attenuation caused by intervening anatomical structures. However it can be seen that the response morphology is very similar whether recorded from the scalp or direct from the cortex. Therefore, this would suggest that muscle activity alone cannot account for the auditory middle components. Ruhm concludes:
"Under the conditions of (this) experiment, we must conclude that there was clear early response componentry at the vertex which was interpreted to be cochleoneurogenic. We suggest that this activity might be studied as part of the auditory response to acoustic stimulation."
(author's emphasis)
Harker et al. (1977) also reported a much smaller contribution of muscular contamination to the neurogenic MLR. Harker and colleagues compared the morphology of the auditory middle components to a 1000Hz tone pip at 50dBSL, in resting wakefulness, mild sedation and complete succinylcholine muscle paralysis. Using a vertex to earlobe derivation (1600 presentations/average), he reported a consistent and similar MLR under all experimental conditions which suggested that muscular activity was not solely responsible for the middle components. Fig. 2.3 compares the data of Bickford et al. (1964) with that of Harker et al. (1977) showing clear differences in the MLR between these two groups. Harker et al. (1977) suggested that the large amplitude response observed by Bickford might have been due in part to the small number of averages recorded (200) and the high stimulus intensities used. In addition, with the choice of the earlobe reference site by Harker and colleagues as opposed to the mastoid (Bickford et al., 1964), the possibility of recording a post-auricular muscle potential is greatly reduced. Since muscular activity is known to habituate or fatigue (Kiang et
Figure 2.3 A comparison between the data of Bickford et al. (1964) and Harker et al. (1977).
al., 1963), it could be suggested that if Bickford and colleagues had recorded a greater number of averages, the influence of these potentials might have been far smaller.
The clinical status of the early components of the AER as a diagnostic test of hearing is dependent upon recording a reliable and replicable waveform. Therefore, the value of these components has been consistently lessened because of the confounding variable of contamination with myogenic responses within the same latency range. One possible explanation for the heavy emphasis placed upon the predominance of myogenic elements in some of the early literature (Bickford et al., 1964; Borsanyi and Blanchard, 1964), might have been the result of an insufficient level of subject relaxation coupled with the small number of averages that were summed in these earlier experiments. The data was often based on the summation of 100 or 200 responses which was probably inadequate to adequately visualise the smaller neurogenic responses from within the larger amplitude myogenic contaminants.
Streletz et al. (1977) evaluated the topography and components of the auditory middle latency response and the possible role of myogenic responses occurring within the same latency range. The principal aim of this study was to assess the relative importance of neurogenic elements (as favoured by Geisler et al. 1958; Ruhm et al. 1967; Goldstein and Rodman, 1967; Mendel and Goldstein, 1969 a and b) and myogenic components (Bickford et al. 1964; Cody et al. 1964) to the morphology of the MLR. In order to ensure that their reference site was relatively inert with respect to the AEPs being measured, Streletz and colleagues sometimes referred their active electrode to a balanced non-cephalic reference -BNCR (Stephenson and Gibbs, 1951; Lehtonen and Koivikko, 1971). The basic arrangement of the BNCR consists of two electrodes situated off the head. These two electrodes together comprise the reference for the active electrode(s) placed upon the scalp. One is located around the level of the seventh cervical vertebra and the other on the opposite side of the thoracic cavity at the supra-sternal notch. The resistance of both electrodes can be varied separately via potentiometers in order to prevent the electrical activity of the heart (ECG) from contaminating the electroencephalic activity being measured and hence the evoked response. Since no cephalic electrode reference site can be truly inert, the BNCR has been proposed by some researchers as offering a preferred alternative to a scalp
Using a 70dBSL click stimulus (delivered at 1/sec. or 10/sec.), Streletz et al. (1977) examined the topography of the MLR under relaxed conditions and with specific activation of frontalis, temporalis and occipitalis scalp muscle groups. In addition, the activity of the post-auricular muscle was recorded. Electrical activity was recorded between a bandpass of 1Hz-10kHz (-3dB down) and either 512 or 1024 responses were averaged for each trace. Fig. 2.4 shows the effects of varying muscle tension in the four groups indicated. Figure 2.5 demonstrates the localisation of the PAMP. The results demonstrated by Streletz and colleagues suggest that the basic neurogenic MLR, seen clearly in the relaxed state, is present without any appreciable muscle activity. Activation of frontalis, temporalis and occipitalis muscle groups superimposes a myogenic (somomotor) response upon the MLR mediated by the vestibular system and not the cochlea. The latency ranges of both myogenic and neurogenic components recorded by Streletz et al. (1977) are given in table 2.1 a and b.
Table 2.1 a Latency of the myogenic responses generated by the activation of certain scalp muscle groups.
| Muscle group activated | N | P | N | P | N |
|------------------------|-----|-----|-----|-----|-----|
| Frontalis | 14-18 | 22-36 | — | — | — |
| Temporalis | 15-20 | — | | | |
| Occipitalis | 14-18 | 18-20 | 28-32 | 36-42 | — |
| Post-auricular muscle | 11-14 | 15-20 | — | — | — |
Table 2.1 b Latency (msec.) of the neurogenic potentials of the MLR under conditions of relaxation. Recorded at maximally at Fz.
| | No | Po | Na | Pa | Nb |
|---|----|----|----|----|----|
| | 8-12 | 10-14 | 16-22 | 26-36 | 32-42 |
The post-auricular response (PAMR), first reported by Kiang et al. (1963) unlike the three vestibulo-myogenic responses shown above, is thought to originate from cochlear and not vestibular activity. Fig. 2.5 shows the localisation of this response around the region of the
Figure 2.4 The effects of activating various muscle groups upon the morphology of the MLR (Streletz et al., 1977).
Figure 2.5 The localisation of the post-auricular muscle response (Streletz et al., 1977).
mastoid and post-auricular muscle. Despite its proximity, the earlobe electrode (A2) exhibits far less post-auricular activity than the mastoid and adnexa. This suggests that the ear lobe is a much more suitable site for recording a neurogenic MLR which is far less susceptible to contamination from muscular activity. It has been proposed that the PAMR reflects bilateral activation of the neck or ear muscles (Kiang et al. 1963; Jacobsen et al., 1964). The reasons for the proposed cochlear origins of the post-auricular muscle potential are that the response has been shown to present to low intensities of stimulation (a property uncharacteristic of a myogenic response) and is present regardless of the integrity of the vestibular system (Yoshie and Okudaira, 1969).
Gibson (1978) suggested that the PAMR was initiated by the cochlea and mediated by the brainstem auditory nuclei to the post-auricular division of the seventh (facial) cranial nerve. The suggested sequence of this activation may be summarised as follows:
i) Spiral ganglion of the cochlea.
ii) Ventral cochlear nucleus.
iii) Superior olive complex.
iv) Lateral lemniscii.
v) Reticular activating system (RAS) or inferior colliculus.
vi) Post-auricular branch of VIIth nerve.
The considerable variations in PAMP waveform reported in the literature have been attributed to methodological variations between experimenters; specifically in the type of electrode used (whether needle or wick electrodes), the location of electrodes upon the scalp and differences in stimulus and recording techniques (Jones, 1979).
Since the PAMR is believed to be of cochlear origin and its amplitude varies with intensity, some researchers have investigated the possibility of using this response as an objective assessment of auditory threshold. Both Jacobson (1964) and Yoshie et al. (1969) reported favourable detection of the response near audiometric threshold (within 20dB). However, the variability of the response and its lack of occurrence altogether in some subjects has meant
that the PAMP is not consistent enough to be relied upon clinically (Davis, 1973; 1976). If a post-auricular response were recorded from a patient then it could be concluded that the cochlea is functioning at that level of stimulation. However, the reverse cannot be assumed and therefore a cochlear deficit may not be diagnosed if the PAMP were absent. Furthermore, the potential usage of the PAMP in a child population is compromised by its attenuation of during sleep which is usually a prerequisite for electrophysiological recording.
Figure 2.6 (after Streletz et al., 1977) show a comparative study of the post-auricular response in sleep and wakefulness recorded from various locations around the ear. Sleep was found to diminish the amplitude of the response at all electrode sites. The post-auricular muscle potential is clinically very useful in difficult to test children or the handicapped who will not respond to sedation and remain too active to record other auditory evoked responses. In such cases, the only chance of recording meaningful data would be the occurrence of a PAMP which, if present, would suggest that the patient has neural integrity up to the level of the inferior colliculus (according to Gibson's hypothesis).
Thornton (1975) examined the post-auricular response in order to explore factors which might effect the morphology of the response. He attributed filter bandpass (especially the high-cut filter) as the most significant cause of waveform variations. Using a bandpass of 1-4000 cycles/sec., Thornton presented click stimuli (spectral peak around 2kHz) at a rate of 10/sec. to reclining subjects (n=5) with their heads propped by a pillow. Responses were recorded from both mastoid processes referred to F4 (situated just above the hairline) and an Fz electrode served as a ground. Thornton recorded 5 clear components in the 8-40 msec. latency range.
Fig. 2.7 shows Thornton’s waveform and the effect of altering the systems bandpass upon it. It may be seen from Fig. 2.7 that reducing the system bandwidth served to distort and attenuate some of the response waveform. Thornton (1975) then compared the morphology of the PAMR recorded by various research groups using different bandpass settings. Table 2.2 presents Thornton’s summary of this body of data in which he implies that all the reported peaks given, are the result of post-auricular muscle activity.
Figure 2.6 Comparison of the topography and morphology of the PAMP recorded in sleep and wakefulness (Streletz et al., 1977).
Figure 2.7 The effects of filter bandpass upon the detection of response components of the PAMP (Thornton, 1975).
Table 2.2 After Thornton (1975).
| Author | Stimulus levels (dB) | High freq. limit (c/sec.) | Latency (msec.) |
|-------------------------|----------------------|---------------------------|-----------------|
| | | | P1 | N1 | P2 | N2 | P3 |
| Mendel and Golstein | 50 | 100 | _ | 13 | _ | _ | 22 |
| (1969b) | | | | | | | |
| Douek et al. (1973) | 70 | 200 | _ | 14 | _ | _ | 25 |
| Yoshie and Okudaira | 80 | 500 | _ | 12 | 16 | 25 | 36 |
| (1969) | | | | | | | |
| Picton et al. (1974) | 60 | 2500 | 9 | 12 | 16 | 25 | 36 |
| Thornton (1975) | 80 | 4000 | 10 | 12 | 15 | 19.5| 24 |
It is certainly true that Thornton demonstrates a reduction in the number of response components that may be seen with a narrow filter bandpass. However, there is some question as to whether muscular activity is wholly responsible for the components shown by Thornton (1975). As argued in the previous section, there also exists middle latency neurogenic potentials upon which myogenic responses can be superimposed if the recording conditions are unfavourable (Ruhm et al., 1967; Harker et al., 1977). In re-examining the data shown by Thornton (1975), the researchers quoted do not attribute their findings to exclusively muscle activity. Mendel and Goldstein (1969b) refer to their responses as cortical in origin and maximal at the vertex. Similarly, the data attributed to Picton et al. (1974) by Thornton is actually data given for the latencies of neurogenic components in the 8-40 msec. latency range and not muscular activity. For the composition of the post-auricular muscle response, Picton et al. (1974) actually quotes a large negativity with a latency of 11.8 msec. (± 0.8 msec.) and a positive component at 16.4 msec. (± 0.7 msec.). Jones (1979) suggested that as a result of this superimposition of both muscular and neuronal responses, the effects of filter bandpass are not being viewed in isolation. It might therefore be inappropriate to conclude that Thornton's (1975) 5 peaked response is exclusively derived from myogenic (post-auricular) activity. Although Thornton's (1975) inferences may not be fully accepted due to the superimposition of neurogenic and myogenic responses lying in the middle latency range, this experiment does illustrate something of great importance to the arguments that shall be proposed in this thesis. The influence of filter
bandpass upon the morphology of the MLR and the number of middle latency components that are visualised is of great significance in the detection of these responses. This is especially true in experiments that have studied these potentials at different levels of arousal. This argument is central to the controversy over the current clinical status of the MLR and is more fully examined in the experimental work that follows in later chapters.
Having now explored the possible generators of the potentials within the middle latency range, this discussion will now continue by examining the scalp topography of AEPs with special consideration for the MLR.
2.2 THE TOPOGRAPHY AND DISTRIBUTION OF AUDITORY EVOKED POTENTIALS WITH SPECIAL REFERENCE TO THE MLR.
Although this thesis is not directly concerned with the topography and generators of auditory evoked potentials, these subjects are perhaps of special relevance to our current understanding of the middle latency responses. This is true both in a historical sense, in order to refute the prevailing opinion in the mid-sixties that the MLR was a vestibulo-myogenic (as opposed to a cochleo-neurogenic) response. Secondly, the question of MLR generators is now of particular importance to the current debate concerning the reported changes in the MLR with different levels of arousal and with maturation. Furthermore, the experimental work performed in this thesis compares the MLR with both the BAEP and the SVR (as established clinical procedures) in the assessment of audiometric threshold. It is therefore useful to briefly set out the evidence concerning the anatomy and electrophysiological topography of these potentials. It lies outside the scope of this thesis to discuss in detail the sources of all of the auditory evoked potentials, but our current understanding on this topic is summarised below. Since the BAEP and SVR were established as neurogenic responses before the MLR, the topography and possible
generators of these potentials were investigated first. For a more comprehensive discussion of auditory anatomy the reader is referred to more specialised sources (Musiek and Baran, 1986; Musiek, 1986; Lippe, 1986).
2.21 The brainstem evoked potential.
Research has suggested that the individual components of the brainstem response derive from the nuclei and tracts of the auditory brainstem pathway. The surface manifestations of this activation are considered to be far-field, volume-conducted potentials originating from these generators (Jewett, 1970; Jewett and Williston, 1971; Picton et al., 1974; Streletz et al., 1977). The generators of the BAEP are generally considered to represent activity from the distal and proximal portions of the auditory (VIIIth cranial) nerve, the cochlear nucleus, the superior olivary body and the tracts and nuclei of the lateral Lemnisci (Møller and Janetta, 1981).
2.22 The slow vertex response.
Vaughan and Ritter (1970) were the first to examine the topography of the SVR. Recording from a coronal chain of electrodes referred to the nose, these workers reported that the response was maximal in amplitude at the vertex. Vaughan and Ritter reported a phase inversion of the vertex response at the level of the Sylvian fissure which, they concluded, meant that the origin of this response could be traced to this location. Since the primary auditory cortex is to be found at the Sylvian fissure Vaughan suggested that this was the generator of the SVR. Criticism was rapidly levelled at reference site used in this experiment, on the grounds that the nose could not be truly inactive with respect to the responses being measured (Kooi
et al., 1971). Secondly, Kooi suggested that the phase inversion reported by Vaughan and Ritter (1970) at the Sylvian fissure could be alternatively explained by the active and reference electrodes being equi-potential at this location and the nose effectively becoming more active than the vertex. Kooi et al. (1971) used a non-cephalic reference electrode (Stephenson and Gibbs, 1951) to demonstrate that the nose reference was not inert and it was also possible to record a vertex response at this location when referred to the NCR. As in Vaughan's experiment the maximal amplitude of the SVR was recorded at a fronto-central location. Because no phase inversion at the Sylvian fissure could be either corroborated or rejected, Kooi and colleagues attributed the SVR to a secondary cortical activation in response to an auditory stimulus.
Peronnet et al. (1974) and colleagues recorded the vertex response from a coronal chain of electrodes referred to the nose in an attempt to resolve the dispute concerning inactivity/inactivity of this location with respect to the recording of auditory evoked potentials. Twenty six normal adult subjects and three patients with definite lesions of the temporal lobe were tested (age range 20-45 years) using 1000Hz tonal stimuli (10 msec rise/fall time, 140 msec. plateau) delivered at a rate of 0.75 presentations/second. A bandpass of 0.3Hz to 35Hz was employed and 100 presentations were summed for each averaged response. As in Vaughan and Ritter's (1970) experiment, Peronnet et al. (1974) reported a clear phase inversion of the response over the temporal regions which was absent in the patients tested. Peronnet et al. (1974) felt that the phase inversion exhibited in his normal subjects and absent in the pathological group was indicative of an auditory generator at the level of the Sylvian fissure unlike Kooi et al. (1971). Peronnet argued that the problem of the nose being active could be avoided by deriving the bipolar inferences from adjacent electrodes in his coronal chain. Using such a procedure, Peronnet reported that the phase inversion at the Sylvian fissure (as predicted by
Vaughan and Ritter's hypothesis) still occurred. This implied to Peronnet and colleagues that the generators of the SVR lay at this location. However, the same criticism can be levelled at this experiment as at Vaughan and Ritter (1970). i.e. the active and reference electrodes (vertex and nose) may be reversed at the Sylvian fissure as the nose becomes more active than the vertex.
Other workers have re-examined the work of Vaughan and Ritter (1970) and Koci et al. (1971) and the present position appears to corroborate the latter group's findings from both surface recordings (Picton et al., 1974; Streletz et al., 1977; Wolpaw and Wood, 1982) and intracranial procedures (Celesia and Puletti, 1971), that the generators of the SVR cannot be strictly localised to the primary auditory cortex.
2.23 The middle latency response.
Intuitively, if the BAEP is thought to derive from the auditory tracts and nuclei of the brainstem and the SVR from summed neural activity at the cortical level, then, if one accepts the presence of neurogenic components within the MLR, occurring between BAEP and SVR, these should in theory be generated by structures intermediate to these locations. Specifically, this means the areas within the primary auditory cortex and / or the projections of the auditory system lying within the diencephalon. The first research investigating the generators of the MLR came from depth recordings carried out at operation (Ruhm et al., 1967). Ruhm's experiment (reviewed in the previous section), reported a prominent positive wave occurring around 25-30 msec. recordable from widespread areas (parietal, frontal and temporal lobes) of the exposed cerebral cortex.
The reported phase inversions of the SVR at the Sylvian fissure (Vaughan and Ritter, 1970; Peronnet et al., 1974) also have been claimed of the MLR (Picton et al., 1974; Streletz et al., 1977; Cohen, 1982). Picton et al. (1974) reported the MLR as being widely distributed over the scalp and maximal fronto-centrally. Owing to the wide-spread response distribution, Picton et al. (1974) concluded that the most likely sources of the MLR were the thalamus, primary auditory cortex, association cortex and (in certain circumstances) the scalp musculature. Streletz et al. (1977) similarly found the maximal amplitude of the MLR to be recorded slightly anterior to the vertex with respect to a non-cephalic reference. Streletz recorded responses to a click stimulus (0.05 msec. duration) delivered at a rate of 10/sec. and an intensity of 70dB SL. The recording bandpass used in this experiment was 1-10000Hz. He reported a widely distributed negative wave (9 msec.) followed by a positive component of similar distribution (11 msec.). Streletz also found that the later negative component and the positive wave (17 and 33 msec. respectively), were more localised to fronto-central regions of the scalp. The generalised distribution of the N (9 msec.) and P (11 msec.) components was similar to that reported for the earlier latency (BAEP components). This suggested to Streletz that these waves were also the surface manifestations of volume conducted potentials deriving from subcortical structures, possibly the medial geniculate bodies, other thalamic nuclei or even from primary auditory cortical areas buried deep within the Sylvian fissure. The more localised fronto-central distribution of the later N (17 msec.) and P (33 msec.) potentials might suggest more rostral activity originating either from within the primary auditory cortex or deriving from the association cortex.
Cohen (1982) examined the MLR in seven subjects (age range 13-36 years) during natural sleep or wakefulness using 50dB SL click stimuli delivered at a rate of 11/sec. The recording bandpass used was 30-250Hz. Figure 2.8 presents Cohen's data
Figure 2.8 Scalp topography of the MLR (Cohen, 1982).
comparing a coronal chain of active electrodes to a nose reference. From this data, bipolar inferences are also calculated from adjacent electrode pairs in this chain.
The results presented by Cohen bear a resemblance to the findings of Vaughan and Ritter (1970) for the inversion of the SVR at the Sylvian fissure. A similar phase inversion is reported this time of the Pa component (latency 28.1 msec.) of the MLR. Pa may be seen to reduce in amplitude from its maximum (fronto-centrally) to its minimum over the temporal regions. After phase inverting in this area, the amplitude of the component is seen to increase again on approaching the mastoid process. Cohen reported that Pa was the most consistently recorded of the middle latency responses with other peaks being too variable in his small subject group to make topographical inferences. Cohen (a member of H. G. Vaughan's research group), argued that Pa was generated at the approximate level of the Sylvian fissure for three reasons. Firstly, bipolar derivations removed Kooi's criticism of Vaughan and Ritter (1970) concerning activity at the nose. Secondly, Kooi et al. (1971) own reference (the balanced non-cephalic reference electrode BNCR, Stephenson and Gibbs, 1951) may itself have been active with respect to components having axial orientation (Vaughan, 1974). However, Kooi's further criticism (concerning the nose being more active than the vertex) discussed above still cannot be ignored.
Özdamar and Kraus (1983) studied the amplitude of the Pa component of the MLR in seven normal subjects (age range 14-30 years) as recorded from the contralateral mastoid, temporal electrodes (T3 and T4) and the vertex (Cz) all referred to the ipsilateral mastoid. Responses were evoked to click stimuli delivered at a rate of 10/sec. The bandpass of the recording system was 3-2000Hz (6dB/oct.). Subjects were sedated with chloral hydrate (1000mg p.o.) and the authors state that subjects were in sleep or relaxed wakefulness throughout the experiment. Özdamar and Kraus reported that the consistently largest amplitude of the Pa component was recorded from the vertex electrode. This difference was statistically significant (P>0.01).
Although the amplitude of Pa was larger in all subjects at the contralateral temporal electrode than ipsilaterally, this difference was not significant (P < 0.01). Özdamar and Kraus (1983) concluded that both hemispheres contributed equally to the generation of the Pa component of the MLR and therefore this wave did not represent a neural process which was subserved preferentially by one or other hemisphere.
To summarise this review of MLR topography has suggested that the Pa component of the response originates from activity within the cortex. However, experiments which have attempted to localise this component to specific areas of the primary auditory cortex have not been conclusive (Cohen, 1982). The earlier Na component of the MLR has been attributed to a generator situated sub-cortically (within the thalamus) or located in the cortex, situated deep within the Sylvian fissure (Streletz et al., 1977). Regardless of the problems of response referencing, the most consistent finding to emerge from the studies cited thus far is that the SVR and MLR are of maximal amplitude at scalp locations slightly anterior to Cz (the vertex) using nose, NCR or mastoid reference electrodes.
A second method of analysis which has thrown light upon the possible generators of the MLR is information which has been obtained from patients with established lesions of the cortex and/or auditory pathway. If the responses of a patient with known and unequivocal aetiology can be investigated, the presence or absence of response components may be suggestive of the possible generators sites of such components. A number of clinical and pathological studies have been performed in man to investigate the possible subcortical generators of the brainstem evoked responses (Sohmer et al., 1974; Starr and Anchor, 1975; Stockard and Rossiter, 1977; Velasco et al., 1982). Patients with lesions of more rostral (cortical) structures have been used to investigate the possible generators of the MLR and SVR.
Özdamar et al. (1982) reported a case study of a patient (36 years old) with sub-arachnoid hemorrhage as a result of a ruptured left middle cerebral artery. Computerised Tomography (CT) scanning revealed infarction of the left temporal and parietal lobes. The patient was behaviourally assessed on a number of occasions showing no response to acoustic stimuli at the first time of testing (also no startle reflex could be elicited). At this point in time, the patient was diagnosed as totally deaf (bilaterally). Auditory brainstem and middle latency responses were recorded simultaneously using a vertex to ipsilateral mastoid electrode derivation with click stimulation delivered at a rate of 10/sec. The bandpass of the recording system was 3-2000Hz. Electrophysiological activity was recorded either in sleep or with the patient resting quietly. Özdamar and colleagues reported normal BAEP results which indicated the integrity of the cochlea and auditory brainstem pathways. BAEP responses were recordable down to within 10dB HL bilaterally again indicating normal hearing sensitivity. In contrast, the authors report that no middle latency activity was recordable at any level of stimulation. Figure 2.9 shows the patient's MLR at the initial time of testing. A normal response (supplied by the authors) is placed at the top of the figure for comparison. It can be seen that stimulation of the left ear yields no MLR from the patient. Upon stimulating the right ear, a small Pa component is recorded on the first test but not at subsequent re-tests. The inconsistency and small amplitude of this component would appear to call its true physiological origin into question.
Özdamar et al. (1982) concluded from this experiment that Pa must be generated by the temporal lobes, owing to the component's absence as a result of pathology within this area of the cortex in the patient studied. Two points of contention arise from this study. Firstly, since Pa is believed to derive equally from both hemispheres independent of the ear of stimulation (Picton et al., 1974; Özdamar and Kraus, 1983), why is there no response recordable from the intact hemisphere? Secondly,
Figure 2.9 The topography of the MLR reported from a case study of a patient with a ruptured middle cerebral artery (Özdamar et al., 1982).
the subjective state of the patient (and that of the normal control) may not have been consistent between tests. Chapter Three of this thesis will examine in depth the effects of arousal level upon components of the MLR. At this point it is sufficient to say that the states of 'relaxed wakefulness' and 'sleep' used interchangeably in this experiment are not equivalent and therefore this alone could have accounted for the differences in waveform morphology reported by Özdamar et al. (1982) and attributed solely to a tempero-parietal infarct.
In a further study, the same team of workers (Kraus et al. 1982) looked at the scalp distribution of middle latency components in a group of twenty four patients with temporal lobe lesions in comparison to a group of normal subjects. Using an methodology the same as in the experiment described above (Özdamar et al., 1982) the patient population was divided into 16 patients with left hemisphere lesions, 6 with right hemisphere damage and 2 with bilateral pathology. Precise sites of damage were 6 temporal, 8 tempero-parietal, 5 fronto-temporal, 1 parietal and 4 lesions involving frontal, temporal and parietal lobes. BAEPs and MLRs were recorded at the vertex and at electrode sites placed just above the Sylvian fissure referred to the mastoid ipsilateral to stimulation. To summarise the results of this study, normal subjects exhibited the largest Pa component at the vertex (2.0 µV in a normal subject) and of similar morphology at both temporal electrodes. In patients possessing lesions with confirmed temporal lobe involvement, the amplitude of Pa was reduced over the damaged hemisphere with the response recorded at the vertex being reduced (1.0 µV ± 0.4) compared to normal. Kraus et al. (1982) concluded that the Pa component of the MLR is generated bilaterally in normal subjects from the temporal lobe. The maximal response amplitude is recorded at the vertex because this location represents the point at which the Pa generators originating from both temporal lobes are in greatest synergy (with respect to a mastoid reference).
Further evidence for a primary cortical generator responsible for the Pa component of the MLR was provided by Kileny et al. (1987). Kileny accepted the findings of the previous two experiments described (Özdamar et al., 1982; Kraus et al., 1982) as a starting point and sought to introduce two additional questions. Firstly, what effect, if any, did more generalised cortical lesions (i.e. those not directly involving the temporal lobes) have upon the Pa component and secondly, was there an interaction between the test ear and the site of the lesion. In other words, was the effect described by Kraus and colleagues (1982) more noticeable when stimulating the ear ipsilateral or contralateral to the lesion? This had been suggested from surface recordings (Woods and Clayworth, 1985) and from sub-dural recording from the temporal lobes (Lee et al., 1984)
Sixteen patients were studied with an assortment of cortical lesions (principally cerebrovascular accidents). All patients were given extensive behavioural tests and the precise aetiology of their pathologies was well documented. Electrophysiological activity was measured from the vertex (Cz), C5 and C6 (situated approximately over the Sylvian fissure) and also in some cases, T3 and T4. All active electrodes were referred to a linked earlobe common reference.
Kileny delivered click stimuli at 65dB SL at a rate of 9.12-9.7/sec. and the filter bandpass was set at 5-1500Hz (12dB/oct. slope). A fundamental difference between this experiment and those performed by Özdamar et al. (1982) and Kraus et al. (1982) was that Kileny's subjects were all tested in relaxed wakefulness and not sleep. Kileny's data indicated that the amplitude of the Pa component of the MLR was reduced over the hemisphere possessing the temporal lesion. Pathology affecting more distant cortical regions had little or no effect upon Pa. Furthermore the intact Pa wave in patients with anterior temporal lesion narrows down the generator of this component to the posterior aspect of the temporal lobe. Another interesting finding was that the Na component (preceeding Pa) was unaffected in temporal lobe pathology, possibly indicating a separate generator for this earlier component.
The temporal lobe patients presented by Kileny et al. (1987) all showed responses of markedly reduced amplitude bilaterally, regardless whether the ear ipsilateral or contralateral to the lesion was stimulated. The most pronounced interhemispheric difference (asymmetry) was reported in the Na-Pa amplitude measurement when stimulating on the ipsilateral side to the lesion. Statistical tests showed that the Na-Pa amplitude was significantly reduced in the temporal lobe patients when compared to the patients with no such involvement ($P < 0.01$). The data offered by Kileny and colleagues (1987) broadly agree with that presented by Özdamar, Kraus and colleagues (1982). In some ways this experiment may be seen as potentially more meaningful than Özdamar et al. (1982) and Kraus et al. (1982) as the subjects used were all awake for the test period. This means that no confounding variables are introduced into the MLR morphology by the subjects being assessed at different levels of arousal.
Aside from strictly cortical generators of the MLR, other (sub-cortical) structures have been implicated. Woods et al. (1987) recently emphasised the importance of subcortical generators to the morphology of the MLR. These authors examined the MLR and SVR in 5 patients (age range 39-72 years) with cortical pathology either as the result of vascular damage (occlusive infarctions of the middle cerebral artery, $n=3$) or trauma. Four of these patients had bilateral lesions of the temporal lobe whilst the fifth possessed an extensive left hemisphere lesion of the temporal areas and also a right anterior hemispheric lesion involving the auditory association cortex. All the patients studied exhibited involvement of the primary auditory cortex. The initial clinical presentation of all the patients revealed total or near total hearing deficits. To insure the integrity of peripheral auditory pathways, brainstem evoked potentials were first recorded in all patients and showed no abnormalities. Middle latency responses were recorded to click stimuli delivered at a rate of 13/sec. at intensities of around 50-60dB SL, active electrodes were placed
at the vertex and at two sites located over the superior temporal plane referred to the mastoid ipsilateral to stimulation. A filter bandpass of 3-300Hz was used. Woods et al. (1987) state that subjects were reclined in a semi-darkened room, but do not say whether they were asleep or awake during the investigations. The authors report that Na and Pa components could be recorded from all the subjects tested at all electrode sites regardless of pathology. Woods et al. (1987) concluded from this experiment that no simple relationship existed between primary cortical damage and the morphology of the Na and Pa components of the MLR. These authors go on to suggest that Pa cannot exclusively depend upon generators within the primary auditory cortex and probably also involves contributions from certain thalamic structures (medial geniculate bodies). Again the effects of patient arousal level might also be important in influencing the morphology of the MLR components. The presence of Pa in the experiment of Woods et al. (1987) would appear opposed to the findings of Kraus' group (Özdamar et al., 1982; Kraus et al., 1982) in similar patient populations. However, one possible explanation might be that Kraus's patients were tested asleep whilst Woods may have tested waking subjects.
To summarise the clinical significance of these studies, topographical information has been important for the clinical development of all of the auditory evoked potentials (BAEP, MLR and SVR), both audiologically and neurologically. Audiologically speaking, knowledge of morphological variations in responses as a result of using different recording locations is important in order to establish the optimum electrode positions which facilitate responses detection especially at low stimulus intensities (i.e. near audiometric threshold). The research summarised in this section has implied that the most favourable site at which to record middle latency responses is at the vertex (referred, for example to either mastoid). This provides a middle latency response of maximal amplitude, regardless of the specific generators of the individual response components.
Discussing briefly the wider significance of topography, neurologically the importance of generator sites has more far reaching implications. Kileny et al. (1987) suggested that the MLR might be able to provide the clinician with a valuable tool for assessing patients who have sustained temporal lobe lesions and to monitor the extent and long term effects of such damage if present. Secondly, the MLR could provide information concerning sub-clinical temporal lobe damage, if suspected as the result of other (more distant) pathology.
There are however dangers in the interpretation of lesion studies of the type described previously. As suitable patients for investigations of this type are rare and no two patients may be judged identical in terms of their pathology, it is necessary to remember that additional factors (trauma, drug regimes) specific to each patient might be responsible for abnormal waveform morphology. Secondly, it is also very difficult to make firm conclusions concerning response generators from case studies alone without the backing of firm statistical evidence.
2.3 SUMMARY.
This chapter has examined in detail the components of the auditory middle latency response. Originally it was thought that the MLR reflected a myogenic (sonomotor) response to sound not originating from auditory cortical structures but rather from the scalp musculature (Bickford et al., 1964; Cody et al., 1964). This initial conclusion prejudiced researchers from further examining the clinical possibilities of the MLR. A further myogenic potential can also be recorded within the middle latency range, the post-auricular response (Kiang et al., 1963). This potential is thought to derive from activity within the post-auricular muscle mediated by the
auditory brainstem pathway up to the level of the Superior Olives and then from the post-auricular division of the facial nerve (Gibson, 1978). The PAMP does have some diagnostic value in auditory assessment as it reflects activity cochlear functioning up to that level and is recordable in certain subjects down to intensities near audiometric threshold (Jones, 1979). Indeed, often the PAMP may be the only auditory response recordable in agitated patients who are unable to relax. The PAMP is however limited in its usefulness because of its inter-subject variability and also because it can fatigue quite rapidly (Kiang et al., 1963).
The acceptance of a neurogenic middle latency response occurring independent of muscular activation was slow in coming. In the first instance, the positive component of the MLR (Pa) was only detectable through recordings made directly from the auditory cortex at operation (Ruhm et al., 1967). This was nearly a decade after the middle latency response was originally reported by Geisler et al. (1958). It is now felt that the lack of success in recording the MLR reported by Bickford and others was due to inadequate subject relaxation and the recording of too few averages (i.e. not allowing myogenic activity and also muscular noise to attenuate).
Topographical studies of the neurogenic MLR have revealed that the response is maximally recorded slightly anterior to the vertex (Picton et al., 1974; Streletz et al., 1977; Wood and Wolpaw, 1982; Kileny, 1983; Özdamar and Kraus, 1983). The precise generators of individual components of the MLR have been investigated using surface and subdural electrodes in normal subjects and patients with fortuitous lesions (Picton et al., 1974; Lee et al., 1984; Kileny et al., 1987). This body of work has indicated that the most likely generators of the MLR are the thalamus, primary auditory cortex (situated around the posterior aspect of the temporal lobe) and also more generalised areas of the cortex. These findings have clinical implications for the neurological use of the MLR in the diagnosis of cortical
This concludes the discussion of MLR origins and topography. The next chapter will explore factors (both methodological and subjective) which are relevant in the recording of middle latency and 40Hz responses.
3.1 INTRODUCTION.
Chapter 2 showed that the responses now known as middle latency (occurring in the 8-40 msec. latency range) derived primarily from neural activity in the appropriate (i.e. adequately relaxed) recording conditions. The effects of methodological and subjective influences upon the MLR now have to be discussed before the clinical viability of the response may be assessed. The discussion of such factors is important before the application of any auditory evoked potential but have nowhere been more problematic than in MLR recording. Therefore, before the MLR can be used with confidence in the clinical environment, the clinician requires to know:
i) The response characteristics (morphology) of the MLR recorded to different stimuli (both click and tonal) in a normal population.
ii) The optimal recording conditions for recording the response (in terms of filter bandpass, analysis time and stimulus repetition rate).
iii) The effects of subjective variables upon the MLR (maturation and arousal level).
The reasons for the lack of acceptance of the MLR and 40Hz response in comparison with other AEPs (BAEP and SVR) were firstly the conflicting answers to these questions and secondly the establishment of a far more solid clinical base for the other potentials. A brief historical resume will illustrate this. After Geisler et al. (1958) initially recorded the MLR, the responses were at first rejected as myogenic in origin and subsequently reinstated as neurogenic (refer to the previous chapter). Following this, vigorous support for the MLR was
forthcoming from a small group of researchers (notably Mendel and colleagues) who claimed that the response was able to provide frequency specific audiometric threshold assessment at all levels of arousal. Methodological criticisms were then levelled at this work as it was claimed that the use of narrow bandpass filters had artificially distorted the MLR and that the response was infact markedly affected by subjective factors. Interest in the MLR was rekindled with the advent of the 40Hz steady-state response (Galambos et al., 1981) which was claimed to offer enhanced detectability over the MLR in audiological assessment. This discussion first examines the morphology of the MLR as it is recorded to non-frequency specific stimuli and under different experimental conditions. The 40Hz response will then be introduced and the chapter will conclude with an examination of the effects of subjective factors upon the MLR and 40Hz. Chapter four will subsequently examine the clinical applications of auditory evoked potentials in general (BAEP, MLR, 40Hz response and SVR) and particularly focus upon the less widely accepted use of frequency specific stimuli in BAEP recording.
3.2 RESPONSE CHARACTERISTICS OF THE MLR.
Although one of the principal aims of ERA is the frequency specific diagnosis of auditory integrity, most of the original research carried out on the MLR prior to 1971 used the acoustic click as the stimulus. This stimulus possesses a broad energy spectrum and encompasses a wide range of frequencies (i.e. is non-frequency specific). Therefore, the reason for using a click stems from the clarity of response it is able to generate through synchronising a large number of auditory neurons and thereby evoking a large response. This point is explained in greater detail in the sections which follows. As the reader progresses through this section, it will become apparent that the selection of filter bandpass is central to the recorded morphology of the MLR. This review therefore sets the scene for the detailed examination of filtering which follows.
Goldstein and Rodman (1967) recorded three principle peaks to a click stimulus delivered at 60dBSL recorded from the vertex (active) referred to the earlobe contralateral to stimulation. The latencies of these components are given in table 3.1. Stimuli were delivered at a rate of
10 per second to 20 normally hearing, relaxed subjects reclining in a dimly lit room. Two thousand responses were recorded within a filter bandpass of 1-50Hz (6dB/octave roll-off). Results showed a clear Na-Pa-Nb morphology which diminished in amplitude with decreasing intensity in most subjects. The effects of muscular contamination upon these responses have been minimised in this study through the use of an earlobe electrode, the high degree of subject relaxation and the large number of presentations averaged. Therefore, it may be assumed that the MLR shown by Goldstein and Rodman (1967) is primarily a neurogenic response. The encouraging correlation between the MLR and subjective threshold demonstrates the potential use of this response in clinical audiological assessment (as defined by the occurrence of the Na-Pa-Nb configuration). Care in the interpretation of these results should however be exercised because the morphology of the response components shown in this experiment might have been artificially accentuated through the use of such narrow bandpass filters (1-50Hz). A comparison of these data and that which was illustrated in chapter 1 (Fig. 1.1 after Picton et al., 1974), shows that far higher frequency activity is present in the first 40 msec. after auditory stimulation than would be detected by the narrow bandpass of 1-50Hz used by Goldstein and Rodman (1967). Only by the use of a broader filter bandpass i.e. 10-3000Hz (Picton et al., 1974), can such components be adequately visualised. More recent research has suggested that the brainstem and middle latency auditory components may be particularly susceptible artificial distortions through the use of narrow filter bandpass (Scherg, 1982; Suzuki et al., 1983a). The question of filter bandpass will become increasingly important as the arguments of this thesis develop.
Mendel and Goldstein (1969 a) presented click stimuli at 50dBSL at a rate of 9.6/second to 12 normal subjects under various test conditions. 1) Sitting in the dark with eyes closed 2) Sitting in light with eyes open 3) Reading (light condition). They defined a clear middle latency waveform, which they attributed to essentially neurogenic activity, which was found to be stable and consistent under all experimental conditions. In addition to the Na-Pa-Nb complex reported by Goldstein and Rodman (1967), two further earlier components were present. Recording from the vertex to the contralateral earlobe and using a filter bandpass of 3-100Hz, Mendel and Goldstein (1969 a) recorded a total of five components of the MLR in comparison to the 3 reported by Goldstein and Rodman (1967):
The first point which is apparent in comparing the data of Goldstein and Rodman (1967) and Mendel and Goldstein (1969 a), is the greater number of responses components visualised in the latter study. Mendel and Goldstein comment that the variability of these middle latency responses might not be physiological in origin, but rather might be due to differences in methodological procedures used in different experiments. Mendel suggested that the amount and type of filtering used to record evoked potentials was largely responsible for amplitude and phase discrepancies. Mendel comments:
"Preliminary study of the frequency spectrum of the early components indicates that they contain more high frequency activity than is found in later components. Extensive high frequency filtering which is often used to clean up noisy recordings.... can bring about a phase shift as well as an amplitude reduction of the early components"
It is interesting to note that Mendel considered the bandpass of 3-100Hz as sufficiently wide to admit all the neurogenic elements of the early auditory response. This could possibly be rooted in the established traditions of EEG recording and the initial auditory evoked potential experiments which investigated the vertex potential (Weitzman and Kremen, 1965; Davis and Zerlin, 1966). With the realisation that higher frequency auditory responses components (such as the BAEP and MLR) could also be recorded, new and more specialised recording procedures were required in order to admit a far higher range of frequencies. Subsequently, much more information concerning the precise physiological morphology of the MLR has been deduced (Kavanagh and Domico, 1986). The development of our understanding of brainstem evoked potentials (Sohmer and Feinmesser, 1967; Jewett and Williston, 1971) also relied upon the further realisation that filter bandpass was important in order to visualise these very small, high frequency auditory components. Jewett and Williston went further than Mendel and his co-workers and stated:
"We confirmed the suggestion of Mendel and Goldstein (1969) that the apparent latency of the early waves is markedly influenced by the high frequency cut-off filter. Since the first five waves occur in about 5 msec., the high frequency response should be greater than 1000Hz, at the very minimum."
With the benefit of hindsight, re-examination of the waveforms shown by Mendel and Goldstein (1969a) appears to show a filtered remnant of the BAEP, unlabelled and at that time unclassified.
Mendel and Goldstein (1969b) further examined the MLR at different subjective states. Response consistency between arousal levels is of clinical importance if patients fluctuate between sleep and wakefulness during a lengthy experimental protocol. Mendel and Goldstein suggested that changes in response morphology over different arousal levels could lead to two principle difficulties in interpreting whether a stimulus had actually been 'heard'. Firstly, the stimulus was heard but the response mechanism was impaired in some way through somnolence such that no response was visible and secondly, the response might have altered its morphology as a result of an altered subjective state and therefore may not be recognised by the clinician. There is a difficulty here with the definition of what is precisely meant by 'to hear' a stimulus. Whilst asleep, a subject might have no conscious perception of a sound, yet lower neural centers (below the level of consciousness) may respond to the stimulus. To 'hear' in this sense, more properly means, 'to respond'. It is this property of evoked responses which means that they can be called 'objective', i.e. lying outside conscious control.
Using a similar protocol to their previous experiment (Mendel and Goldstein, 1969a), Mendel and Goldstein (1969b) examined the stability of the early auditory response (bandpass: 3Hz-100Hz) during a single, sleepless 24 hour period in 8 normal subjects to a click stimulus delivered at 50dB SL. EEG activity was monitored continuously throughout the experiment. This experiment was followed by an investigation into the subsequent effects of sleep on the responses in 3 of the subjects.
During prolonged wakefulness, the following components were consistently recorded:
| | |
|---|---|
| No | 8.3 msec. |
| Po | 13.3 msec. (s.d.= 0.3) |
| Na | 22.0 msec. (s.d.= 0.7) |
| Pa | 32.3 msec. (s.d.= 1.3) |
| Nb | 45.3 msec. (s.d.= 1.8) |
This data was calculated as the grand mean of 8 separate trials throughout the 24 hour period over which no circadian variations were reported. By similar calculation, the mean amplitudes of the waveforms were:
- Po-Na: 0.86µV. (s.d.= 0.13)
- Na-Pa: 1.07µV. (s.d.= 0.19)
- Pa-Nb: 1.01µV. (s.d.= 0.15)
The middle latency responses recorded during sleep were made whilst the subject was reclining in a chair over a test period of 1.0-1.5 hours. Mendel and Goldstein acknowledge that the experimental protocol employed was not specifically designed to accurately score subject's sleep stage. However, responses were reported as consistent and stable to 20dB SL during sleep of combined stages. The stability of the MLR over long periods and at different arousal levels led Mendel and Goldstein (1969b) to suggest that the response might be a viable alternative to the slow vertex response. The SVR had proved a valuable audiological test in an alert subject, but was very variable in subjects that were drowsy leading to an elevation in threshold estimation (Ornitz et al., 1967). The small subject sample size (n=3), the use of narrow filter bandpass (3-100Hz; -6dB down) and the lack of adequate sleep scoring in the experiment, would perhaps suggest a more cautious interpretation. Later research has shown that the MLR may also be affected by sleep but that these changes may not always be adequately visualised when narrow filter bandpasses are employed (Erwin and Buchwald, 1986 a and b; Suzuki et al., 1983a; Kavanagh and Domico, 1986). The current position concerning the effects of sleep on the MLR is discussed in detail later in this chapter.
Madell and Goldstein (1972) investigated the effect of changes in intensity on the middle latency components of the auditory evoked response. Using click stimulation (9.6
presentation / second), twenty four adult subjects were tested on two separate occasions. The filter bandpass used was 5-150Hz (6dB/oct.) Subjects were reclined and responses were recorded from the vertex to contralateral earlobe. 1536 averages were summed for each evoked response. The principal components of the response at 50dBSL were:
| Component | Latency |
|-----------|-----------|
| Po | 11.3 msec.|
| Na | 20.8 msec.|
| Pa | 32.4 msec.|
| Nb | 46.5 msec.|
The effect of decreasing intensity was to reduce the amplitude and increase the latency of these components. Madell and Goldstein (1972) found good intra-subject agreement both in latency and amplitude between trials, but large variations in amplitude were observed between subjects. Evoked response amplitude of the Po-Na, Na-Pa and Pa-Nb peaks plotted against loudness estimates were found to be highly significant (0.94, 0.85 and 0.75 respectively). Madell and Goldstein (1972) found that the earlier peaks (Po and Na) of the MLR tended to have the most linear input-output characteristics whereas later components (Pa and Nb) exhibited a decrease in slope at higher intensities.
Once again the influence of filter bandpass is relevant. Mendel and Goldstein (1969 b) quote the latency of the Po component as 13.3 msec. (filter bandpass 3-100Hz, 6dB/oct. slope). Madell and Goldstein (1972) report a Po latency of 11.3 msec. (5-150Hz, 6dB/oct.). Since stimulus intensity is the same in both these experiments (50dB SL) and all other recording parameters are essentially the same, it would seem correct to conclude that reducing the high cut filter serves to increase the latency of response components. In comparing these results with the reported latencies of the MLR given by Picton et al. (1974) using a bandpass of 10-3000Hz (no slope information provided, 60dB SL), it can be seen that there can exist a problem with nomenclature of components when different bandpasses are used. Comparing the peak latencies of wave V (BAEP) and Po (MLR), it can be seen that in Picton's experiment, the wave V component of the brainstem response (5.8 msec.) is clearly distinct from the Po component of the MLR (12 msec.). In the Mendel and Goldstein (1969 b) and
Madell and Goldstein (1972) papers, this distinction cannot be made with any confidence due to the high degree of waveform filtration. Therefore, it appears that the positivity, Po recorded in earlier experiments using narrow filter bandpasses, is really the peak of the low frequency positive wave upon which the individual (high frequency) waves of the brainstem response are added should the filtering be less severe. Picton's Po component, recorded with wider filter settings, would appear to reflect activity from higher centres along the auditory pathway and is clearly distinguishable from wave V.
To summarise, it has been consistently demonstrated throughout this review of earlier literature that the nature of the recording system has significantly affected the morphology of the waveform. This phenomenon, although common to all branches and modalities of evoked potential, has nowhere been more significant than in the development of our current understanding of the MLR. This is because methodological parameters have been shown to be responsible for a large proportion of the variability of the MLR and also the conflicting reports concerning the response's presence or absence under different subjective conditions. The section which follows looks at the specific problems encountered in the repeatable recording of the MLR as a result of inconsistent filtering parameters.
3.3 THE EFFECT OF SYSTEMS BANDPASS UPON MLR RECORDING.
Analysis of the frequency spectrum of the MLR using the fast Fourier transform (FFT) has shown the principal frequency of the waveform to lie in the 30-50Hz range in the waking subject (Suzuki et al., 1983 a; Kavanagh and Domico, 1986). Historically, the observation that the frequency profile of the MLR is centered around 40Hz, has been the main reason for the extensive filtration used by some researchers to record the response (Mendel et al., 1969 a; Thornton et al., 1977; Vivion et al., 1980). McFarland et al. (1975) said:
"The exclusion of high-amplitude low-frequency activity (appears) to enhance visual recognition of the middle components."
Indeed, the rationale behind the 40Hz steady state evoked potential is based upon the observation made by Galambos et al. (1981), that the potentials occurring 8-80 msec. after presentation of an auditory stimulus resembled the oscillations of a 40Hz sinusoid. In this section, the effects of filter settings upon MLR morphology shall first be discussed after which, the 40Hz response will then be introduced. It has been suggested in recent work that severe filtration of the MLR, as favoured in the original literature, was responsible for distorting its morphology and may have had the added effect of masking any changes in the frequency composition of the response which might occur as a result of changes in subjective state (i.e. arousal level).
Kavanagh et al. (1984) investigated the BAER and MLR recorded with different filter bandpasses. Click stimuli were delivered (0.1 msec. duration) at a rate of 9.7/sec. and a vertex to mastoid electrode derivation was used in this study (Figure 3.1 a and b). Kavanagh and colleagues defined a series of slow waves occurring in the first 36 msec. after stimulus onset. Examining first the bottom right hand trace of figure 3.1 a, (reproduced by Kavanagh from Mendel and Goldstein, 1969b), a slow positive wave (Po) with a maximum corresponding to the latency of wave V may be seen. Secondly, a broad negativity (Na) with its nadir at around 25 msec. and finally a large positivity (Pa) peaking at approximately 36 msec. With increasing bandwidth (up to 15-3000Hz), the high frequency individual waves I-V of the brainstem response emerge upon the Po wave, the peak of which had decreased in latency. Also now visible was a further complex between Po and Na comprising a negative component (SN) and a positive P wave (which is defined as the positive deflection occurring between the BAEP and the Pa component of the MLR; after Kavanagh et al., 1988). The latency of Na was also reduced and Kavanagh et al. re-labelled this component, Na2 in order to differentiate it from SN. The SN negativity reported by Kavanagh et al. (1984) has been variously referred to as the SN10 (Davis et al. 1976) and No (Mendel and Goldstein, 1969b). With a bandpass of 15-3000Hz, the latency of Pa had also reduced by around 10 msec. to around 26 msec. representing a complete polarity reversal between Na and Pa caused purely by changing the bandwidth.
Kavanagh et al. (1984) further examined the effect of stimulus intensity on the P wave
Figure 3.1 The effect of varying systems bandwidth upon the morphology of the BAEP and MLR (Kavanagh et al., 1984).
described above. It was found that as intensity was decreased, the latency of P increased at a faster rate than either Po (the filtered wave V) or Pa. At high intensities the P wave was seen upon the down slope of wave Po whilst at lower intensities, upon the up slope of Pa. This point is interesting because it means that at high stimulus intensities the latency of Na is measured to the trough of Na2 whilst at low levels, it is measured to the trough of SN. Kavanagh suggested that this can result in an abrupt shortening of the latency of Na as intensity is decreased. Because of the disproportionate effects of intensity of the component, Kavanagh suggested that the neurogenic origin of the P wave might be called into question with its derivation from the post-auricular muscle response being indicated (Yokoyama et al., 1987). This work clearly illustrates the effect of lowpass filtration upon BAEP and MLR morphology. The effects of highpass filtering are shown in figure 3.1 b. With the 15-3000Hz bandpass, waves I, III and V of the BAEP are recorded. Also visible are the SN, P, Na2, Pa and Nb components of the MLR. As the highpass filter is raised to 30Hz and beyond, these response components are distorted. Between the 30-3000Hz and 60-3000Hz bandpasses there is a marked reduction in the amplitude of the Na2-Pa-Nb configuration which would suggest that the predominant energy of this waveform lies below 60Hz. With filter bandpasses of 100-3000Hz and above, the amplitude of the combined BAEP and MLR is reduced by approximately a factor of two (0.62μV) and only the wave V component of the BAEP may be readily identified.
Scherg (1982 a) examined the effect of analog and digital filtering on the waveform of the BAEP and MLR. Using 50dBSL click stimulation (4000 averages) and an initial wide recording bandpass of 1-2000Hz, Scherg first examined the effect of lowpass filtration on response morphology. An analog (Butterworth) filter with a slope of 24dB/oct. set at levels of 1000Hz, 500Hz, 200Hz and 100Hz was employed and responses were recorded from a vertex to earlobe derivation. Scherg (1982) found a progressive latency increase in the MLR as this filter was systematically decreased, amounting to 5 msec. difference between the latency of Na, Pa and Nb as measured with a 1kHz high frequency filter compared with 100Hz. Furthermore, the wave V component of the BAEP also became later and less well defined at filter levels less than 500Hz. Changing the level of the analog low frequency filter from
1-80Hz (24dB/oct slope) was found to introduce significant changes in both the latency and amplitude of the original response. Filter oscillations introduced by the earlier waveform components as the level of the highpass filter is increased, caused a progressive shortening of the later Nb-Pb complex and also a marked artificial increase in this component's amplitude. The latency shift induced by a 40Hz-2000Hz bandpass was sufficient to introduce a complete polarity inversion of Pa and Nb in comparison with the 1-2000Hz original waveform. The BAEP wave V component became reduced in amplitude at highpass filter levels in excess of 20Hz as the slower (lower frequency) components upon which it is situated were attenuated.
Scherg (1982 a) also investigated the significance of filter slope upon the morphology of the brainstem and middle latency auditory responses. The slope of filters reflects the rapidity with which frequencies outside the desired bandpass are attenuated. So, for example, a filter with slope of 24 or 48 dB/octave will attenuate extraneous frequencies much more abruptly than will a shallower filter set at 6 or 12 dB/ octave. The steeper the filter, the greater the distortions brought to bear upon the waveform (caused by larger oscillations in the filter's response characteristic). Scherg found that the Pa component underwent a complete polarity inversion with a 48dB/ octave filter slope with respect to the original waveform. This illustrates that the more the original waveform is restricted through narrow filter bandpasses and steep filter slopes, the more the morphology of the waveform depends upon non-physiological phenomena.
A further point demonstrated by Scherg (1982 a) is the interaction between components in the brainstem and middle latency ranges. Both these sets of responses influence the morphology of the other and the extent to which this occurs is governed by the precise procedures involved in recording these responses. Other workers (Boston and Ainslie, 1980; Doyle and Hyde, 1981) have also examined the effect of analog and digital filtering on the BAEP and have found similar latency and amplitude distortions with narrow analog filter bandpasses. Digital filtration or wide bandpass analog recording was recommended by both groups as being desirable if the true physiological morphology of the response is required. Elton et al. (1984) advised that zero-phase shift filters were recommended for recording the BAEP and if these were not available, highpass analog filters should be no greater than 100Hz with slopes not steeper than 6dB/oct.
An awareness of the distortions caused by filter bandwidth and slope on brainstem and middle latency responses is most important when comparing data obtained from different laboratories. As long ago as 1969, Mendel and Goldstein warned:
"It is not known to what extent the nature of the total recording system including filters affects the recorded characteristics of the early components of the AER.... differences between our observations of the AER and those of other investigators may possibly be accounted for by differences in the characteristics of the various recording systems."
This observation would appear to be justified as these differences have made a significant contribution to the reported variability of the MLR. It may be argued that the reported variability of the MLR in the literature is due to poor standardisation of optimal recording parameters and hence large inter-laboratory inconsistencies when recording these responses. This implies that if the true, physiological MLR is to be recorded, procedures must be implemented which do not filter the waveform too severely. Resulting from work investigating the frequency composition of the MLR the concept of the 40Hz steady state potential emerged. As previously mentioned, the 40Hz response (Galambos et al., 1981) has generated renewed interest in the possible clinical applications of the MLR. The 1980s has seen the extensive investigation of this response. The following section shall therefore examine the rationale behind recording this steady state potential.
3.4 THE 40HZ RESPONSE.
The 40Hz response (defined in Chapter 1) has provided a new impetus for research into the possible clinical utility of the middle latency responses. The previous chapters of this thesis have illustrated the mixed fortunes of the MLR in comparison with the clinically better established BAEP and SVR. The reported controversies first concerning the response's origins and then its reliability under different recording conditions had meant that prior to the 40Hz era, confidence in the MLR was not high. It is important to remember that the 40Hz response does not only represent middle latency activity (i.e. components lying in the 8-40 msec. latency range). This response is the result of the superimposition (every 25 msec.) of
all activity occurring after the delivery of a stimulus and therefore combines brainstem and middle latency components. As such, the 40Hz response has been termed a steady-state evoked potential as distinct from a transient response (BAEP, MLR and SVR) in which no such 'overlapping' of consecutive responses takes place (Kavanagh and Domico, 1986).
Interest in the 40Hz response grew out of a clinical requirement for an objective frequency specific test of auditory threshold which could be recorded at all levels of arousal. Since both the constituents of the response (the BAEP and MLR) had been extensively characterised in the previous two decades, the clinical applications 40Hz response were quickly seized upon. The original description of the 40Hz response is credited to Galambos et al. (1981). Galambos suggested that the resonance of the MLR at 40Hz is also mirrored in the brain's response to other modalities of sensory stimulus. This concept of the convergence of sensory pathways within the brain is not however new and this section shall begin with a brief resumé of the literature which has examined the 40Hz activity of the brain.
3.41 The study of 40Hz brain activity.
There has been interest in the similarity of responses generated to different modalities of stimulus for a number of years. Adrian (1941) first noted such activity within the olfactory bulb upon the application of odourous substances. He termed this type of 40Hz activity an 'induced' response as distinguished from the bulb's intrinsic, ongoing activity centered at around 10Hz. Further research into other sensory pathways has suggested that 40Hz activity may be elicited to a wide range of sensory stimuli, including auditory stimulation (Galambos, 1982).
The most provocative feature of the 40Hz brain activity was that it appeared to be the result of changes in the attention state (arousal level) of a sensory region. This 'multi-modal' nature of 40Hz brain activity has led to the suggestion that the response may be originating from an area of the brain at which sensory pathways converge (Walter, 1964; Galambos, 1982; Suzuki et al., 1983 a). The postulated cortical (sub-cortical) location for this convergence of sensory pathways is thought to be within the reticular activating system (RAS) or the
diencephalon (thalamus, hypothalamus). The audiological applications of 40Hz brain activity are not only of clinical interest. Observing the similarity of the auditory middle latency response to a 40Hz sinusoid, Galambos et al. (1981) suggested that certain aspects of the middle latency response might be the manifestation of 40Hz brain activity within the auditory system. These theoretical considerations concerning the ongoing frequencies within the brain, also have some relevance to audiological investigation.
3.42 The auditory 40Hz response.
Galambos et al. (1981) suggested that using a stimulus repetition rate presented at the approximate fundamental frequency of this 'sinusoid' (i.e. 40Hz), would result in the superimposition of successive middle latency responses. This addition of concurrent waves (all in similar phase) would generate a larger response and could facilitate response detection at intensities near audiometric threshold. This type of response is classified as a steady state evoked potential (SSEP). An SSEP may be defined as a waveform generated to a stimulus presented at such a rate that responses from successive stimuli overlap (Kavanagh and Domico, 1986). Since the abbreviation 'SSEP' can be confused (with the Somato-sensory evoked potential), the term '40Hz response' shall simply be used to describe this steady state potential.
Galambos presented both click and tonal stimuli to subjects who were either awake or in light sleep. A filter bandpass of 10-100Hz was used. The results suggested that a super-imposition of consecutive brainstem and middle latency responses did occur at the 40Hz repetition rate and these responses yielded threshold estimates accurate to within 5dB SL with all stimuli. Figure 3.2 shows the influence of stimulus repetition rate upon the amplitude of the MLR.
Although the clinical applications of a MLR generated to a stimulus rate of around 40Hz may be accredited to Galambos et al. (1981), this observation was made originally by Geisler (1960). He found that varying stimulus repetition rate produced the largest response in the
Figure 3.2 The effect of altering stimulus repetition rate on the morphology of the BAEP and MLR (Galambos et al., 1981).
30-40Hz range both in the subjects tested and also according to his theoretical model in which an idealised response was manipulated by a computer. Geisler (1960) commented:
"This type of average response (40Hz) can perhaps be explained by a 'skipping behaviour', a response is evoked by approximately every other click..... The increase in response amplitude in the 30-50/sec range is probably caused by the overlap of response components".
In addition to the superimposition phenomenon noted at the 40Hz rate, Geisler (1960) found that the general effect of increasing stimulus repetition rate above the 40Hz rate, was to diminish the amplitude of the principal negative component of the response (Na, 30 msec) in the adult subjects tested. To summarise, the 40Hz response has developed from studies of the frequency composition of the MLR and has emerged in recent years as a possible tool in audiological electrodiagnosis. The clinical utility of this response is discussed fully in chapter 4 and the experimental work which follows.
The next section of this chapter continues the discussion of factors which can affect the MLR and 40Hz responses. Such factors might be called subjective variables (as opposed to methodological) and comprise, subject arousal level and maturation and how these might effect the morphology of the responses.
3.5 THE EFFECT OF SUBJECTIVE PARAMETERS UPON THE MLR AND 40HZ RESPONSES.
The concluding sections of chapter three will look at the literature which has examined the effects of arousal level (sleep and wakefulness) and age and maturation upon the MLR. Inevitably, there is a high degree of interplay between these factors and those methodological parameters already discussed and this point shall be emphasised as the discussion progresses.
3.51 The clinical significance of sleep in ERA.
Chapter one examined the aims of objective audiometry in the assessment of hearing. It was emphasised that successful electrophysiological testing in young children relied upon the patient being sedated or in natural sleep in order to attenuate movement artefacts and myogenic activity from the background EEG. It is well established that the clinical utility of the BAEP is not compromised by changes in level of arousal from relaxed wakefulness through to deep sleep (Jewett and Williston, 1971; Amedeo and Shagass, 1973; Picton et al., 1974; Starr and Anchor, 1975). Similarly, it is well known that the SVR is profoundly altered during sleep and hence offers no assistance in the clinical evaluation of patients who are not awake and alert (Osterhammel et al., 1973). Middle latency and 40Hz responses however occupy more uncertain ground. The discussion which follows sets out the evidence concerning the stability of these responses as arousal levels change.
3.51 a Classification of sleep stages.
Electrophysiologically, sleep is comprised of a number of distinct stages which are characterised by differences in EEG (electroencephalic), EOG (electro-oculographic) and EMG (electro-myographic) activity. The most widely established classification of sleep and sleep stages currently in use was developed by Rechtsaffen and Kales (1968) and a brief description of their classification system is summarised below. The characteristic EEG, EOG and EMG waveforms seen in each stage of sleep are shown in figure 3.3.
Wakefulness (stage W or stage 0) corresponds to electro-cortical activity present during normal wakefulness. The ongoing EEG characteristic of this state will comprise primarily of alpha activity (8-13 cycles/sec.). Stage W is also characterised by eye blinking and a relatively high level of muscular activity (see Fig. 3.3 a). Stage 1 sleep is the first stage of sleep and is characterised by a general decrease in muscular activity accompanied by slow, rolling eye movements. The EEG typical of this stage exhibits a reduction of alpha activity with an increase in lower frequency theta activity (4-7cycles/sec.).
Figure 3.3 Electro-encephalic classification of relaxed wakefulness and sleep stages 2, 3, 4 and REM. (Rechtschaffen and Kales, 1968.)
Stage 2 sleep has a very distinctive EEG activity comprising of sleep spindles which are bursts of rhythmic fast activity (12-14 cycles/sec.). Also present are K-complexes (Davis et al., 1938) and Vertex sharp waves (see fig. 3.3 b). Stage 3 and stage 4 sleep are collectively known as slow-wave sleep (SWS) and are characterised by a predominance of delta activity (0.5-3 cycles/sec.). Delta waves are large in amplitude (75µV or more) and if present in 20-50% of the record, defines stage 3 sleep. Stage 4 sleep may only be scored if delta activity is present in excess of 50% of the sleep record (see fig. 3.3 c). Eye movements are unremarkable in stages 2, 3 and 4 sleep and muscle activity is seen generally to progressively attenuate. Sleep stages 1-4 are collectively known as Non-REM sleep (SWS). Rapid eye movement sleep (REM, also known as paradoxical sleep) comprises the majority of the remainder of sleep according to Rechtschaffen and Kales (1968). The EEG characteristic of REM sleep may be described as ‘activated’, low amplitude activity similar to that recorded during stage 1. For REM sleep to be scored, muscular activity must be at its lowest during the night’s record. Eye movements are abrupt and periodic (see fig. 3.3 d).
3.52 The influence of subject arousal level the MLR and 40Hz response.
Much of the enthusiastic support for the MLR in ERA has been provided by Mendel and colleagues in experiments carried out throughout the last twenty years (Mendel and Goldstein, 1969a; 1971b; Mendel and Hosick, 1975; Mendel et al., 1975; Mendel, 1980). Mendel et al. (1975) compared thresholds obtained with the MLR and SVR auditory components in adults in light (mixed stages 1, 2 and REM) and deep sleep (stages 3 and 4) and in wakefulness. 28 normal subjects were tested (mean age 25.5 years, 22-39 range) and presented with click stimuli at a rate of 9/sec. The montage employed was vertex to either mastoid (late potentials) or earlobe (MLR). Sleep was induced with secobarbital and depth was scored according to the criteria set down by Rechtschaffen and Kales (1968). Table 3.2 summarises the results from this experiment by showing the proportion of the twenty eight subjects who gave better, the same or worse estimates of audiometric threshold with either the MLR or SVR. The term ‘both thresholds determined’ means that estimates were lower than 30dBHL for each test. ‘Indeterminate thresholds’ means that no threshold could be reliably obtained below 30dBHL.
Table 3.2a Relative sensitivity of the MLR and SVR in sleep and relaxed wakefulness (after Mendel et al., 1975).
| State of consciousness | Awake | Asleep |
|----------------------------------------|-------|--------|
| | | Light | Deep |
| Both thresholds determinate | 14 | 23 | 8 |
| Middle more sensitive | 4 | 0 | 3 |
| Middle = late | 5 | 1 | 2 |
| Late more sensitive | | | |
| Indeterminate thresholds | 2 | 1 | 4 |
| (i.e. above 30dBSL) | 0 | 0 | 5 |
| Middle only | 3 | 3 | 6 |
| Both | | | |
| Late only | | | |
| Total subjects | 28 | 28 | 28 |
Table 3.2b Audiometric threshold estimates (dBSL).
| State of consciousness | Awake | Light | Deep |
|----------------------------------------|-------|-------|------|
| Middle components | | | |
| Range | 10-40 | 5-25 | 10-50|
| Median | 17.5 | 15 | 20 |
| Mean | 18.5 | 15 | 21.5 |
| Number of determinate thresholds | 26 | 27 | 19 |
| Late components | | | |
| Range | 10-45 | 20-45 | 10-40|
| Median | 30 | 30 | 30 |
| Mean | 27 | 30 | 27.5 |
| Number of determinate thresholds | 25 | 25 | 17 |
Mendel concluded that:
"...the middle components show more promise as a clinical audiological tool than do the late components. In each state of consciousness (they) yielded more sensitive estimates of auditory threshold and fewer indeterminate thresholds."
In the light of the previous discussion, reservations might justifiably be raised due to the narrow filter bandwidth used to record middle responses in the study (10-100Hz). In addition, the mixing of sleep stages 1, 2 and REM in the light sleep category may have been not wholly justified as subsequent work has shown that these levels of arousal are not equivalent (Hinman and Buchwald, 1983; Erwin and Buchwald, 1986 a and b; Erwin and Buchwald,
Since the initial work of Mendel and co-workers, strong evidence concerning morphological changes in the MLR during sleep has been suggested. The evidence for this conclusion has not only been gathered from specific studies examining sleep and the MLR but it shall also be argued that by re-evaluating work which set out to examine other features of the MLR effects of sleep can be observed.
Özdamar and Kraus (1983) examined the morphology of the BAER and MLR using wide bandpass filters (3Hz-2000Hz) and click stimulation. The authors reported that three distinct types of MLR were exhibited in the subjects tested. These variants were classified as:
(A) Double peaked. Separate Pa and Pb components.
(B) Broad Pa only
(C) Absent Pb component. Pa only.
Figure 3.4 presents this data. Özdamar and Kraus proposed that these variations in MLR morphology represented natural variants or sub-types of the response displayed in different individuals. However, this conclusion may be challenged because the variable of sleep/wakefulness was not controlled in this experiment. The researchers stated that responses were recorded either in sleep or relaxed wakefulness which means that these variations in morphology could be equally well attributed to changes in arousal level.
Partly in an attempt to replicate the results of Özdamar and Kraus (1983), Suzuki et al. (1983a), delivered click stimuli to sleeping subjects (though level of sleep was unspecified) using a wide recording bandpass of 0.8-4000Hz. Suzuki reported that three principal types of MLR could be recorded in accordance with Özdamar and Kraus (1983). Figure 3.5 a, b and c illustrates these variants and the effect of raising the highpass filter upon waveform morphology. Fourier analysis performed upon fig.3.5 a revealed its principal power to lie in the 30-50Hz range as is found in waking subjects (Kavanagh et al., 1984). Although the frequency content of figs. 3.5 b and c is not specified, it would appear that the principal
Figure 3.4 Naturally occurring variants of the MLR in normal, adult subjects (Özdamar and Kraus, 1983).
Figure 3.5a Variations in MLR morphology in sleeping subjects (Suzuki et al., 1983a).
Figure 3.5 b and c Variations in MLR morphology in sleeping subjects (Suzuki et al., 1983a).
energy of these waveforms is not centred around 40Hz but rather is lower than in Fig.3.5 a. Suzuki and colleagues concluded that the reason for the variations in MLR morphology reported by Özdamar and Kraus (1983) might be due to using too wide a bandpass with low frequency components present in sleep masking the response. Suzuki and colleagues proposed that a large degree of this inter-subject variability was eliminated with high pass filtering at 30Hz. However, there is danger in directly comparing the data of Özdamar and Kraus (1983) and Suzuki et al. (1983a). This is because the former study recorded responses in both sleep and wakefulness whilst the latter presents data solely from sleeping subjects. Suzuki does not comment on this lack of distinction between sleep or relaxed wakefulness present in the report of Özdamar and Kraus (1983). It could therefore be equally suggested, that the variations in morphology ascribed as three distinct types of MLR (Özdamar and Kraus, 1983), were in fact due to responses being recorded in different states of arousal. Similarly, an alternative explanation of Suzuki et al. (1983a) findings might be that the MLR waveform (as does the SVR), actually changes during some stages of sleep giving rise to a response with a larger amount of low frequency activity which would be subsequently filtered out by this filter setting.
Kavanagh and Domico (1986), in a similar study to that of Suzuki et al (1983 a), using wide bandpass filters (0.2Hz- 8000Hz) detected a second dominant frequency (in addition to 40Hz) in the MLR at around 10Hz during recordings in natural sleep. Unlike Suzuki et al. (1983a), Kavanagh and Domico (1986), attribute this low frequency activity to a biological response and not as a result of non-physiological noise due to a reduced systems bandwidth. The relatively small contribution of the 10Hz component in Suzuki et al. (1983a) in comparison to the 40Hz peak (estimated as 6 times larger than the 10Hz component) was due to an inaccuracy in calculation highlighted by Kavanagh and Domico (1986). The revised assessment of their data showed equal amounts of 10Hz and 40Hz activity within the MLR.
The low frequency (10Hz) energy present in the MLR has been frequently eliminated by researchers through response filtration as it exhibits a high degree of inter subject variability (Suzuki et al. 1983a) which it might be suggested is due to alterations in level of arousal. The data cited above would suggest that the characteristic morphology of the MLR as classically
described (Mendel and Goldstein, 1969 a and b) appears therefore not to hold true under all physiological conditions and may have been simply the product of procedural parameters imposing artificial effects upon the response components. The suggested modifications of the response during sleep have been reported as most noticeable in the later components of the waveform (Pa, Nb, Pb), which it has been suggested, are generated in 'higher' (rostral) structures more sensitive to changes in arousal level (Osterhammel et al., 1985; Erwin and Buchwald, 1986 b; Imeri et al., 1988).
Osterhammel et al. (1985) examined the effect of changes in the BAEP and the MLR during stages 1, 2, 3, and 4 sleep using wide bandpass filters (BAEP: 125-2500Hz, MLR: 20-2500Hz). It was reported that the BAEP remained stable during all stages of sleep exhibiting no shifts in latency in the principal components of the response. The MLR however, showed a progressive decrease in amplitude through sleep stages 1-4. The Pa component latency remained stable, but the later components of the response (Nb, Pb) became later, less distinct and of decreased amplitude. Osterhammel comments:
"It is evident that the later part of the MLR is susceptible towards sleep, indicating that response generators from here on rise in the afferent auditory system to structures with more complex functions."
Osterhammel concluded that since there was a differential effect of sleep on the constituent components of the MLR, there would be no superimposition of successive responses at the 40Hz stimulus repetition rate in sleep as in the waking response. By this the author means that 40Hz may represent the 'intrinsic' frequency of the combined BAEP and MLR in waking subjects but if some of the later components of the response are lost during sleep, then the periodicity of the response is lost and superimposition does not occur. Chapter seven in the experimental work which follows, tests this hypothesis in great detail.
Linden et al. (1985) examined the amplitude of the MLR as a function of stimulus repetition rate during all stages of sleep. Using a filter bandpass of 5-1900Hz (6dB/oct. slope) and varying the rate between 10 and 60Hz (2Hz increments), 500Hz tone bursts were presented to ten normal subjects (mean age 25 years, range 23-35 years). Linden found the
consistently highest amplitude was in the 30-50Hz frequency range. A general reduction in amplitude of the MLR was reported during sleep but always with a consistent principal frequency maximum between 30 and 50Hz regardless of arousal state. Table 3.3 summarises these findings.
Table 3.3 The effect of arousal level upon the amplitude of the MLR.
| Subjective state | Repetition rate at |
|------------------------|--------------------|
| | Maximum response amplitude (/sec) |
| Awake | 34± 12 |
| Stage 2 (early) | 35± 11 |
| Stage 2 (late) | 33± 7 |
| Slow wave | 28± 7 |
Figure 3.6 shows the amplitude /rate functions for the MLR over all the subjective states measured. In addition to the peak seen at around 40Hz, there is another maxima observed at around 10Hz. The relative contribution of this lower frequency component increases during sleep accompanying a proportional decrease in 40Hz activity. Linden et al. (1985) reported that determination of threshold was not significantly different in sleep (all stages) and wakefulness despite quite large variations being present in sleep (range: 20dB). These estimates of threshold were based on linear extrapolation of the amplitude/intensity function at the high intensities measured. This result is of interest in the clinical application of the 40Hz response. It suggests that although shifts in the frequency composition of the response do appear to occur during sleep, response detection is not compromised. However, in a subsequent experiment the same researchers revised their position on the effect of sleep claiming that threshold estimates were elevated by 11dB in sleep in comparison to wakefulness (Picton et al., 1987). They suggested that discrepancy between the two experiments is due to firstly, the standard deviations tolerated in the original study (Linden et al., 1985) which could have been sufficient to mask a difference of up to 10dB. Secondly, according to Picton et al. (1987) the linear extrapolation of threshold used in the Linden et al. experiment may have been invalid.
Figure 3.6 Amplitude verses rate function of the MLR recorded at different levels of arousal (Linden et al, 1985).
Brown and Shallop (1982) examined the clinical possibilities of the 40Hz (referred to in chapter 4) and were also among the first to observe that sleep might exert an effect upon the 40Hz response. Figure 3.7 presents the data of these workers comparing the 40Hz response in wakefulness and sleep. Brown and Shallop suggested that the amplitude of the 40Hz response progressively decreases through stage 1 sleep, reaching a minimum of 40-50% of the waking value in stage 2. No further reductions are reported by these authors through stages 3 and 4 sleep and REM sleep is not mentioned. As to the detectability of the response near audiometric threshold, Brown and Shallop claim accuracy to within 20-25dB in all subjects and often to within 10-15dB in most cases to a 500Hz tone pip stimulus (methodology is fully detailed in chapter 4). Here again the issue of filter bandpass is important. Brown and Shallop used a bandpass of 30-100Hz and themselves comment that:
"When asleep both Pb and Pc are either greatly reduced in amplitude or absent.....The decrease (in amplitude of the 40Hz response) is probably due to the very small contribution of Pb and Pc to the combined response (in sleep).
This suggests that the contribution of the MLR to the 40Hz response is variable and dependant upon subjective state. The 40Hz response has subsequently been analysed further by other workers using wider filter bandpasses (Kavanagh et al., 1984; Kavanagh and Domico, 1986) and is supportive to the arguments that shall be laid out in the experimental sections of this thesis.
3.53 Differential effects of sleep upon the individual components of the MLR.
This section examines the proposed physiological basis for the putative changes in MLR morphology which occur in sleep. In chapter 2, it was suggested that the MLR derived from neurogenic activity arising in the thalamus, primary auditory cortex and possibly more widely spread cortical projections (Streletz et al., 1977; Cohen, 1982; Kileny et al., 1987). It was also proposed that there is currently some controversy concerning the changes which might occur in the MLR accompanying changes arousal level. Current literature (cited in the previous
Figure 3.7 Comparison of the 40Hz response in wakefulness and sleep (Brown and Shallop, 1982).
has suggested that sleep stage and arousal level are able to influence the morphology of the MLR and hence the 40-Hz response (Brown and Shallop, 1982; Kavanagh et al., 1984; Jerger et al., 1986; Picton et al., 1987). Evidence for this theory has been drawn from both single-cell recording techniques used in animal studies (Wolpaw, 1979; Kaga et al., 1980) and from multicellular, surface electrode recording. These findings have indicated that the components of the MLR might derive from different neural substrates and that the reticular activating system (RAS) and thalamic structures may be involved in the generation of the late positive (Pb) component of the human response (Erwin and Buchwald, 1986b; Erwin and Buchwald, 1987). Buchwald and co-workers, in experiments spanning the last decade, have characterised the middle latency response in the cat and from these data, drawn analogies as to the possible generators of components in the human waveform. The research which is summarised in this section briefly examines the postulated contributions of the thalamus and RAS to the morphology of the MLR in both animal and human studies. It is acknowledged at the outset that such intercomparisons between different species must be interpreted with caution.
It has long been established that electrical stimulation of certain thalamic nuclei induces sleep (Hess, 1944) and the induction of changes in the electrocortical activity from these structures (Dempsey and Morrison, 1942). Similarly, changes in firing patterns have been noted in some thalamic neurons during sleep and wakefulness (Steriade and Deschenes, 1984; Steriade et al., 1986). Imeri et al. (1988) recorded from medialis dorsalis thalamic neurons in the cat during in slow wave sleep (SWS), desynchronised sleep (REM) and wakefulness. They found high levels of activity in these neurons in wakefulness but much reduced activity in SWS (significant differences, Wilcoxon test p < 0.05). The level of activity recorded in desynchronised sleep was larger than in SWS and was found to be not significantly different from the responses recorded in wakefulness. Lugaresi et al. (1986) illustrated a similar important role in the regulation of the sleep - wakefulness cycle for certain regions of the thalamus in a patient exhibiting fatal familial insomnia and dysautonomia (autonomic dysfunction including pyrexia, diaphoresis, miosis and sphincter disturbances). This condition was responsible for selective degeneration of thalamic nuclei a marked disturbance of the sleep -wakefulness cycle. Having postulated the involvement of the RAS and thalamus
in sleep, it is appropriate to ask how these structures are connected with the MLR. Original monoeellular experimentation in the cat draws comparison between two specific components found in the middle latency responses of both species. Firstly, wave 7, an early cat wave recorded at a latency of 12-15 msec. (Buchwald et al., 1981) and also referred to as Pa (Kaga et al., 1980). This wave is thought to originate in the primary auditory cortex (Wolpaw, 1979; Karmos et al., 1982). The second component recorded in the cat is called wave A (latency 20-22 msec.). Depth recording techniques have suggested that this component derives from the RAS and certain nuclei of the thalamus (Hinman and Buchwald, 1983).
Hinman and Buchwald (1983) investigated the relationship of certain thalamic structures to the auditory evoked response in the awake cat. Responses were evoked to click stimuli and recorded using a filter bandpass of 0.1-3000Hz. Single cell responses of maximal amplitude were recorded from the centralis lateralis and centralis medialis nuclei and these correlated well with surface recorded potentials in the same latency range (17-25 msec.). The peak at this latency is labelled 'wave A' in the cat and is thought to be equivalent to the human Pb (P1). Responses recorded under chloralose anaesthesia saw a disappearance of the A wave which could imply a similar fate for the human Pb component.
Chen and Buchwald (1986) demonstrated differential effects of sleep and wakefulness on the MLR of the cat. In a study using implanted electrodes at the vertex and overlying the auditory cortex, they reported that the cat's wave A (present in wakefulness and equivalent to Pb in man; Kaga et al., 1980) disappeared during slow wave sleep to reappear again in REM. The earlier wave 7 (Pa in man), was unaffected by state of arousal and was found to derive from the primary auditory cortex. Figure 3.8 illustrates the changes in morphology of the MLR in the cat with sleep stage (Chen and Buchwald, 1986).
In a comparison of the effect of stimulus repetition rate on both the single cell and surface recorded MLR, the wave A complex was found to disappear at rates above 10/sec. Earlier components of the responses remained stable at all repetition rates up to 20/sec. Chen and Buchwald (1986) proposed that the A wave originated from thalamic nuclei mediated by the reticular system. The reduction in amplitude of wave A (Pb or P1 in man) under anaesthesia
Figure 3.8 Changes in the morphology of the MLR in the cat at different stages of sleep and in relaxed wakefulness (Chen and Buchwald, 1986).
led the researchers to also suggest the possibility of wave A being influenced by projections within the reticular activating system (RAS). The notion of an interconnection between the RAS and the thalamus had been demonstrated a number of years ago. Moruzzi and Magoun (1949) postulated from single cell recordings that there existed a rostrally oriented reticular substrate that gave rise to tonic activation of thalamocortical systems with high levels of activity occurring during wakefulness and REM sleep and low levels of activity occurring during slow wave sleep. Starzl et al. (1951a) investigated conduction of impulses through the RAS in the cat and noted activity in wide ranging areas of the diencephalon (hypothalamus and thalamus) upon reticular stimulation. Starzl et al. (1951b) further linked these RAS-thalamic connections with audition by demonstrating the existence of afferent colaterals between both auditory and somato-sensory ascending pathways and the RAS in the cat. French et al. (1953) similarly reported 'extra leminiscal' pathways outside the classical ascending sensory systems. These processes he termed 'secondary' and commented:
"While no definite function was imputed to this 'secondary' sensory system, features concerning its course and distribution closely resembled those more recently shown to subserve the arousal responses to afferent stimulation."
The significance of direct reticular correlates of certain components within the auditory MLR implies that there are possible differential effects of arousal upon the response. The evidence for this and its possible implications are discussed below.
Functional differentiation between the waves of the MLR has also been demonstrated in man. Using scalp electrodes (vertex to linked mastoid derivation), Erwin and Buchwald (1986b) recorded middle latency responses to click stimulation (at 40dB HL, 1/sec. rate) in 14 normal subjects (age range 22-55 years) during all-night sleep. The systems bandwidth favoured in this study was 10-300Hz. They reported that whilst the amplitude of the earlier component Pa (30-40 msec.) was unaffected during wakefulness, slow wave sleep (SWS) or REM, the later P1 (Pb) peak (55-80 msec.) present in wakefulness, disappeared during SWS to reappear again in REM. Figure 3.9 shows the nature of these reported changes in the MLR with sleep stage. These findings, it was proposed, implied that P1 reflected a generator within the reticular activating system. A question arises here concerning whether a component
Figure 3.9 Changes in the human MLR at different levels of arousal (Erwin and Buchwald, 1986 b).
occurring at a latency of 55 msec. and later can properly be described as middle latency. Picton et al. (1974) proposes that the MLR is confined to the 8-40 msec. latency range whilst Kileny et al. (1983) extends the definition of the MLR to include components up to 100 msec. If the P1 (Pb) component described is really the initial wave of the SVR, then its disappearance during sleep need not imply an origin from with the RAS. This effect could simply be the result of diminished cortical activity during sleep. To further support this suggestion, Erwin and Buchwald (1986 a) found that increasing stimulus repetition rate differentially affected the different components of the MLR. This experiment was carried out on waking subjects, using click stimuli at repetition rates of 0.5/sec., 1/sec., 5/sec., 8/sec. and 10/sec. Erwin and Buchwald found that the later component, P1 (Pb) was reduced or absent at the higher repetition rates, whilst the earlier Pa was unaffected. This finding is also consistent with the P1 wave being part of the SVR which requires a longer recovery time than the MLR.
Erwin and Buchwald (1986 a) reasoned that P1 and Pa derived from different neural substrates. This conclusion appears reasonable. However, these workers ascribe the origin of the human Pb component to a generator lying within the RAS, a position is reached through references to an animal model. Since the two species cannot be directly compared and cortical generators may not be excluded in humans, a more cautious interpretation of these data might be suggested. A further consideration is the choice of system bandpass (10-300Hz) for Erwin and Buchwald's (1986 b) experiment. It has been suggested that the components of the BAEP and MLR are considerably altered as a function of bandpass (Scherg, 1982). Therefore, it is possible that the reported stability of the Pa component throughout all stages of sleep could be the result of non-physiological methodological distortions. As has been mentioned before, Kavanagh and Domico (1986), using wide bandpass filters recorded a second dominant frequency within the MLR at around 10Hz. No such component is reported by Erwin and Buchwald within the first 50 msec. of stimulation which might suggest that systems bandwidth may be a contributing factor to the morphology of the responses they recorded.
To conclude this section, the possible effects of arousal level upon the MLR (and by
implication the 40Hz response) have been examined. As with the development of our understanding of the morphology of the MLR in the waking subject, the prevailing opinion concerning the effects of sleep has gradually changed over the years since the MLR's discovery. Initial experiments reported the stability of the response in sleep (Mendel, 1974; Mendel et al., 1975), whilst later research has added caution to this bold conclusion suggesting that the MLR (Hinman and Buchwald, 1983; Chen and Buchwald, 1986; Erwin and Buchwald, 1986 a and b) and 40Hz response (Brown and Shallop, 1982; Jerger et al., 1986) do change as a function of arousal level. These changes appear to result in a reduction on response amplitude during slow wave sleep with a postulated return in amplitude occurring in REM sleep by some workers. The postulated changes in the frequency composition of the MLR during sleep has consequences for the generation of the 40Hz response which has been reported to be of reduced amplitude in sleeping subjects (Brown and Shallop, 1982). As this steady-state potential depends upon the intrinsic periodicity of the MLR, it follows that if the predominant energy of the waveform alters in sleep, then a stimulus presented at 40 times a second will no longer be appropriate to cause a superimposition of successive averages.
Once again methodological factors have been shown to be important. The postulated physiological changes brought on as a result of alterations in subjective state have to be considered in the light of variations in recording parameters such as bandpass, which might alter the morphology of the MLR.
3.6 THE EFFECTS OF AGE AND MATURATION UPON THE MLR AND 40HZ RESPONSE.
The second subjective variable which now must be considered in examining the middle latency responses, is that of age and the aging process. In a similar way to the effects of arousal level (discussed in the previous section), it is critical to know the possible changes in waveform which might occur purely as a function of the degree of
maturity of the patient. Knowledge of such possible variations is important so that normative values for different age groups may be established. Again, much of the early literature concerning the effects of maturation upon the MLR reported little variability in the responses (see Mendel, 1980 review). As with the question of arousal level, the current view concerning maturation is that narrow filter bandpasses were probably responsible masking any changes in MLR morphology by filtering out slower components and for artificially generating middle latency response components in these earlier studies (Scherg, 1982; Kavanagh et al., 1984).
Since these same methodological criticisms apply to the original MLR data concerning maturational effects as to the more general literature on middle latency responses cited so far, it is not intended to review all the original papers in detail in order to simply level the same criticisms. Therefore, this section on maturation and the MLR will begin with a synopsis of the early work and then be followed by a more detailed discussion of more recent experiments in the field. The section will conclude with an examination of the interactions between both age and arousal level and illustrate how the current literature has not always adequately controlled for these factors.
Before the work of Scherg (1982) and others which highlighted the dangers in interpretation that can be caused by narrow bandpass filtration and steep filter slopes, the prevailing opinion concerning the stability of the MLR in neonates and infants using such protocols was favourable. Again a large proportion of the early data concerning the MLR and the maturation process was amassed by Mendel, Goldstein and co-workers. McRandle et al. (1974), Peters and Mendel (1974), Goldstein and McRandle (1976) and Mendel et al. (1977), all reported data which suggested that the MLR was recordable in the same way as the adult response down to intensities near audiometric threshold.
An illustration of this correlation between the MLR and audiometric threshold in babies of 1, 4 and 8 months old (six subjects/group) is given in figure 3.10 which shows the findings of Mendel et al. (1977). The stimuli used in this experiment were 1000Hz tone pips (rise/fall time =2.5 msec.) delivered at a rate of 6/sec. Electroencephalic activity was measured between the vertex and ipsilateral mastoid and a bandpass of 25-175Hz (24 dB/ Octave filter slope) was used. In all cases, the babies were asleep when tested. The data of Mendel et al. (1977) clearly shows a good relationship between the presence of the MLR and intensity for all ages studied with similar responses being recorded regardless of age. No significant differences were found in component latency as a function of age.
Suzuki and colleagues have examined the effects of maturation upon the middle latency responses in a number of experiments over recent years (Suzuki et al., 1983b; Suzuki and Kobayashi, 1984; Suzuki and Hirabayashi, 1987). The first of these papers examined the MLR in 26 normal children divided into two groups, 1-4 years (n=13) and 5-7 years (n=13). These responses were compared to those of an adult population (21-35 years, n=9). The stimuli used for this experiment were 1000Hz tone pips (2.5 sec. rise/fall time) delivered at a rate of 8/sec. Given the new awareness of the importance of filter bandpass which had occurred between this experiment and the previous paper cited (Mendel et al., 1977), the bandwidth chosen for this study permitted electroencephalic activity ranging from between 0.5Hz and 3000Hz (6dB/oct. roll-off). The level of the high pass filter was systematically varied during this experiment in order to determine the optimum setting for recording the MLR in children. All the children used in this experiment were tested either in natural sleep or under sedation, whilst the adult population were reported to be either in relaxed wakefulness or natural sleep. Suzuki et al. (1983 b) concluded that the frequency composition of the MLR in children differed from that recorded in adults. Whilst in adults the principal frequency of the MLR
Figure 3.10 Audiometric threshold estimates in 1, 4 and 8 months old babies (Mendel et al., 1977).
waveform lay in the 30-50Hz range (Suzuki et al., 1983 a and b), in the children tested the main frequency was around 20Hz. This low frequency component was most prominent in the youngest children tested.
In a follow-up study, Suzuki and Kobayashi (1984) examined the effects of age upon the morphology of the 40Hz response. Click stimuli were delivered to 7 normal adult subjects (age range 23-36 years) and infants age from 3 months to 6 years. The children used in the experiment were judged to have normal hearing in the absence of any history of hearing disorders or disease. The passband of the recording system was set at 0.4 -4000Hz (6dB/ octave roll-off) and responses were recorded between the forehead and ipsilateral mastoid. Again, the maximum amplitude of the response was reported to be different for these two groups, with the adult response being largest in the 30-50Hz range whilst the children show the largest response at around 20Hz. These findings would suggest that the repetition rate which causes the greatest enhancement of the MLR waveform is 20Hz in children and around 40Hz in adults. In other words, the 40Hz paradigm proposed by Galambos et al. (1981) would appear to be appropriate for generating a response of enhanced amplitude in adult audiometry but not for a child population.
The three experiments discussed so far illustrate again the conflicting opinions regarding the effects of maturation on the MLR. Firstly, Mendel et al. (1977) reported stability of MLR across ages, but due to the use of narrow bandpass filters in this study (25-175Hz), later work has indicated that this finding might be the result of artificial filter distortions. The latter two papers written by Suzuki and colleagues (1983 b and 1984), did report a shift in the frequency composition of the MLR across ages with a lower frequency (20Hz) component being prevalent in younger subjects. If the consistency of Mendel's data across ages may be explained by the removal of this slower component by filtration, is it then justified to accept
Suzuki's conclusions? It could be argued that since all the child subjects in Suzuki's work were sleeping throughout the experiment, it is impossible at this stage to tell whether this change in the dominant frequency of the MLR was the result of maturation, arousal level an interaction of the two. Furthermore, the adult controls used by Suzuki were reported as either sleeping or in relaxed wakefulness. As section 3.5 has suggested, these states have been shown to be not equivalent. Therefore, the data presented to this point must be reconsidered and (at best) qualified to allow for the possibility of arousal altering the MLR morphology independent of age. Finally, even the responses recorded from sleeping subjects cannot be directly compared because different levels of sleep have been shown to differentially effect the components of the MLR (Hinman and Buchwald, 1983; Chen and Buchwald, 1986; Erwin and Buchwald, 1986 a and b). These workers have reported the loss of the later (Pb) component of the MLR during slow wave sleep with its reoccurrence again during REM sleep. The loss of the Pb wave in slow wave sleep would mean that the frequency composition of the MLR would be altered at this level of arousal with a progressive shift to lower frequencies being observed. Suzuki's reported changes in the frequency composition of the MLR with age could therefore be explained as an age effect, by changes in arousal level or both. Alternatively, other unknown factors may contribute to the morphology of the response.
Okitsu (1984), working independently of Suzuki and colleagues, was one of the first workers to recognise the points made above and to embrace both the effects of ageing and arousal in combination. He examined the MLR in sleep in 20 normal children with a mean age of 2.42 years (range 4 months to 3.25 years). These results were the compared to the waking responses of 9 further subjects (aged 3 years). A vertex to earlobe derivation was used and potentials were amplified between filter bandpass of 30Hz (18dB/oct.) to 300Hz (6dB/oct.). The stimuli used were monaural clicks presented at a rate of 8/sec. Figure 3.11 shows the effects of falling asleep upon the
Figure 3.11 Changes in the MLR in relaxed wakefulness and in sleep in child and adult populations (Okitsu, 1984).
MLR in both child and adult subjects. In these two groups, a shift is seen in the frequency composition of the response as sleep progresses. In addition, the amplitude of the response (Na-Pa; Pa-Nb) decreases in sleep. Okitsu (1984) did not seek to accurately score level of sleep but simply to illustrate the transition from wakefulness and its effect upon the MLR which was independent of age. Table 3.4 shows the % detectability of the various components of the MLR in sleep and wakefulness for both adults and children.
1. **Asleep**
**Children**
| Intensity (dB) | Po | Na | Pa | Nb | Pb |
|---------------|----|----|----|----|----|
| 50 | 86 | 71 | 35 | 14 | ND |
| 40 | 96 | 88 | 36 | 25 | ND |
| 30 | 93 | 86 | 29 | 7 | ND |
MEAN: 92, 82, 33, 15, 0
ND = Not detectable
2. **Awake**
**Children**
| Intensity (dB) | Po | Na | Pa | Nb | Pb |
|---------------|----|----|----|----|----|
| 50 | 96 | 96 | 71 | 13 | 4 |
3. **Awake**
**Adults**
| Intensity (dB) | Po | Na | Pa | Nb | Pb |
|---------------|----|----|----|----|----|
| 50 | 88 | 100| 80 | 76 | 40 |
Okitsu (1984) stated that:
"In conclusion, from the present study, it is clear that the MLRs in sleep differ from those in the waking state, especially in children and it seems that the decrease in detectability of the response in sleep may relate to the depth of sleep."
Comparing the detectability of the Nb and Pb components in wakefulness in children compared with adults, it would appear to indicate that the adult response possesses a higher degree of complexity than that of the child as suggested by the presence of more later components. One point to consider is the 30Hz low frequency filter used by Okitsu which may be set too high to record all possible changes in the frequency composition of the MLR. It should also be remembered it is possible that myogenic contamination (often present in waking children) might have been responsible for masking later response components, although there is no reason to suppose that this should have only applied to the later parts of the MLR.
Suzuki and Hirabayashi (1987) examined age related changes in the MLR in 9 adults and 28 children aged between 4 and 14. In this investigation (unlike the previous work of these authors, discussed above), changes in arousal level were acknowledged as a possible cause of variability in the MLR. The children were divided into three groups, 4-7 (n=10), 8-11 (n=10) and 12-14 (n=8). All the subjects used in this study had no history of otologic disease or hearing disorder. Suzuki states that all subjects were tested during natural sleep or under sedation (2-5 mg p.o. Diazapam) and electroencephalic activity was recorded using a forehead to ipsilateral mastoid derivation. Alternating click stimuli (0.09 msec. duration) were delivered at a rate of 8/sec. at an intensity of 60dB above the subjective threshold for the adult population. The bandpass of the recording system was 0.8-4000Hz (6dB/oct. roll-off). As in the previous experiment (Suzuki et al., 1983 b), the level of the high pass filter was varied between 0.4Hz and 60Hz to examine the frequency composition of the responses in both child and adult populations. Figure 3.12 shows the effect of highpass filtration upon the MLR recorded in adults and the three child age groups. In all these traces the lowpass filter is set at 1500Hz. These results suggest that even in the oldest children studied (12-14 years), the adult MLR morphology has not been properly attained. The adult response shows a well defined
Figure 3.12 The effect of highpass filtration upon the morphology of the MLR in adults and children: 4-7 years, 8-11 years and 12-14 years (Suzuki and Hirabayashi, 1987).
Na-Pa-Nb-Pb complex with peak latencies of 17, 30, 45 and 63 msec. respectively. The MLRs recorded in children all show a markedly different morphology characterised by a broad positive Pa component which shortens in latency with increasing age.
Although Suzuki and Hirabayashi state that all subjects were sleeping during the experiment, the adult traces do appear to resemble more closely the MLR in relaxed wakefulness (current literature suggests the loss of the Pb components in sleep: Hinman and Buchwald, 1983; Chen and Buchwald, 1986; Erwin and Buchwald, 1986 a and b) and this component is clearly present in Suzuki's data. It is possible that sleep was only ensured in the child population in which case the criticism can still be levelled that the changes in MLR morphology exhibited in the children was the result of sleep and not the maturation process. Suzuki and Hirabayashi (1987) conclude that the major difference between child and adult MLR was the presence of the broad positive Pa component in children. Frequency analysis of the MLR in children again would indicate its predominant power to lie at around 20Hz and not in the 30-50Hz range as is the case in adults (Galambos et al., 1981; Suzuki et al., 1983a; Kavanagh et al., 1984; Kraus et al., 1985). In addition, the variability of the response was reported to be greater in children than in adults but that a large amount of this variability was due to low frequency activity and could be removed if the highpass filter was set at 20Hz.
Suzuki and Hirabayashi (1987) have suggested that there are maturational changes in the MLR which result in the adult response still not being fully attained by the age of 14 years. Even if all subjects were asleep during the experiment (adults as well as children), this conclusion is still hard to verify. This is because sleep cannot be viewed as a single level of arousal and no provision for sleep staging was made in this experiment. Therefore, there is no way of knowing whether the subjects used in this
study were at the same level of arousal and hence the effects of ageing are not being viewed in isolation (section 3.5). There is no way of knowing the precise state of arousal in Suzuki and Hirabayashi's study and therefore such effects as these cannot be eliminated.
The above criticism concerning the effects of sleep stage upon the MLR may be applied to a number of other recent papers which have looked at the ageing process with reference to this response. Kraus et al. (1985) looked at the effect of age on the MLR using wide bandpass filters 3 or 15Hz (6 or 12 dB/oct. respectively) to 2000Hz and click stimulation (0.1 sec. duration, 11/sec. repetition rate, 60dB HL). The subjects chosen for this experiment were normal volunteers (n=33), mentally retarded (n=56), language delayed (n=37) and post-meningitic (n=30). The age ranges used were: birth-6 months, 6 months-1 year, 1-2.5 years, 2.5-5 years; 5-10 years, 10-15 years and 15-20 years with approximately the same number of subject categories in each age group. All subjects were sedated with chloral hydrate (25-50mg/kg) and were asleep when tested. No significant differences from these normal responses were reported in any of the diagnostic categories studied. The waveforms shown demonstrate a wide variety of middle latency responses recorded at different ages, but no clear trend is discernable with increasing maturity. Whilst it is possible that Kraus et al. (1985) have shown clear differences between adult and child MLRs, it is impossible to rule out the effect of different sleep stages as being the cause of the observed variations.
More recent publications by the same authors (Kraus et al., 1987 a, b and c) using both animal and human models have suggested, in accordance with Suzuki et al. (1983 b), that the variability present in the MLR in young subjects can be removed by filtering out activity below 20Hz. Kraus et al. (1987 a), examined the detectability of the Na and Pa components of the MLR in a large range of ages (less
than 6 months up to adulthood) using highpass filter settings of 3Hz (6dB/oct.) and 15Hz (12dB/oct.) to a low pass filter set at 2000Hz. In this experiment, click stimuli were delivered at a rate of 11/sec. Kraus et al. (1987a) state that their child subjects were sedated throughout the experiment (with chloral hydrate) but it is not clear whether the older subjects were asleep or awake. Kraus suggested that detectability was increased for both components when the 15Hz filter is used. This effect is most noticeable for the Na component of the MLR. The overall % detectability of Pa was found to be much lower than for Na and this difference was greatest for the youngest subjects tested. The detectability of Na and Pa are similar in the adult subjects regardless of filter setting. Since it has not been made clear whether the adult subjects were asleep or what precise sleep stage any of the subjects were in, the reported changes in the detectability of the Na and Pa components of the MLR cannot be correctly ascribed to either age or arousal level.
The poor detectability of Pa shown in all children of 10 and under has also been reported in sleeping, normal adults (see chapter 6 and supporting publications) and this would perhaps imply that the adults tested by Kraus et al. (1987a) were in fact awake in order for the % detectability of Pa to be so high.
In the clinical setting, it is reasonable to assume that the large majority of younger patients will have to be asleep or sedated in order to be tested electrophysiologically. Therefore, the additive effects of sleep and age are important. If the detectability of the MLR is improved with the removal of lower frequency activity (Suzuki et al., 1983a; Kraus et al., 1987a), then it may be that the effects of arousal level are not relevant. Clinically speaking, sleep stage may be unimportant if the MLR can be enhanced by removing low frequencies in all sleep stages. Nevertheless, it is still true to say that very little can be confidently said about the development of the MLR to date whilst the confounding variable of sleep and sleep stage has not been adequately controlled. Reports on the effects of age and maturation and the MLR have
followed a similar course to the data concerning sleep. Initial favourable reports (Peters and Mendel, 1974; Wolf and Goldstein, 1977; Mendel et al., 1977) have been criticised on the grounds that narrow filter bandpasses were used (Scherg, 1982). Later research has suggested that the MLR recordable in neonates and children up to adolescence possesses fewer later components and is of lower frequency than the adult response (Suzuki et al., 1983 b; Suzuki and Kobayashi, 1984; Kraus et al., 1985; Kraus et al., 1987 a; Suzuki and Hirabayashi, 1987). However, this body of literature may be questioned on the grounds that arousal level of the subjects has not always been strictly controlled. This has meant that there is some ambiguity concerning whether the observed effects of aging are really due to changes from wakefulness to sleep and also from changes in sleep stage.
3.7 SUMMARY
This lengthy chapter has been necessary to set out all the methodological and subjective factors which have been shown to effect the MLR and 40Hz response. This has provided a theoretical basis from which the clinical usefulness of these responses may be discussed. The routine clinical use of any audiological test depends upon some consensus being reached about the most reliable way of recording the response. The next chapter will examine the clinical applications of auditory evoked potentials and demonstrate that whilst the BAEP and SVR have been long established, middle latency and 40Hz responses have been under-utilised clinically because of the reasons set out thus far.
4.1 INTRODUCTION.
The initial part of this chapter will discuss the need for objective, frequency specific investigation of auditory function. This will be followed by a consideration of the appropriate techniques for assessing clinically recorded AEPs. The main body of this chapter shall be an evaluation of BAEPs, SVRs in brief and the MLR, 40Hz responses and tonal BAEPs in detail. The principal aim of this thesis is the re-evaluation of the MLR and 40Hz response as potential assessors of audiometric threshold in comparison to the more currently favoured BAEP and SVR potentials. Therefore, in order put the experimental work which follows into perspective, this section shall examine the principles of response waveform identification and the degree of correlation between objective (evoked potential) and subjective (behavioural) audiometry that we might reasonably expect from auditory evoked potentials. Since the MLR and 40Hz responses are under-utilised in the clinical setting, these responses will only gain recognition if they can be established as equally accurate and easy to use as existing clinical procedures. Therefore, it is intended to use the established BAEP and SVR responses and their relationships with audiometric threshold as the recognised norms against which the MLR can be judged.
The initially encouraging results claimed for the MLR illustrated earlier, led some authors to suggest these potentials could be considered a viable tool suitable for routine clinical use. However, up to this point, the experiments sited have all dealt with middle latency responses generated to click stimulation. The reason for this is because all the original investigations
carried out on the MLR by researchers such as Mendel and colleagues (referred to above), favoured click stimuli as they gave the most clearly defined and largest evoked potentials due to a great degree of neural synchrony. The discussion which follows examines the nature of stimulus characteristics such as frequency, stimulus rise-time and duration upon the middle latency response. In order to properly understand the responses of the auditory system to sounds of different frequency, some references are inevitably made to the anatomy of the auditory system and in particular the characteristic responses of the cochlea to sound stimulation of different frequency. A more detailed treatment of auditory anatomy lies outside the bounds of this thesis and where necessary, the reader is referred to other, more comprehensive and specialised sources.
The outer ear, the pinna and auditory canal are primarily concerned with the efficient reception of sound waves. The middle ear is essentially a transduction mechanism whereby the air-borne sound stimuli are converted (via the ossicle bones) to the fluid borne vibrations which are required for generating of nervous impulses within the inner ear. The inner ear or cochlea, is the first point at which different frequencies are differentiated and analysed (Dallos, 1973). Research has shown that the point of maximum displacement of the basilar membrane in response to a sound stimulus is directly influenced by stimulus frequency (von Békésy, 1941). With respect to auditory evoked potentials, it is of great significance to appreciate that sounds of different frequencies serve to excite selective regions of the basilar membrane and therefore maximally stimulate discrete populations of nerve cells (Beagley, 1979). Research has shown that in the mature cochlea, high frequencies correspond to the basal region of the basilar membrane (nearest the stapes), whereas lower frequencies elicit a maximal neuronal response in the apical cochlea where the membrane is at its thinnest (Kiang and Moxon, 1974; Gorga and Worthington, 1983; Lippe, 1986). This frequency differentiation (tonotopicity) is preserved throughout the ascending auditory pathway up to the level of the cortex (Musiek and Baran, 1986; Musiek, 1986). The clinical relevance of this cochlear frequency correspondence is that deafness (of cochlear origin) might pertain to the majority of auditory neurons (i.e. a wide range of frequencies), or to only certain regions of the basilar membrane. Any effective measurement of hearing should therefore be able to investigate different frequencies in order to differentiate losses of different aetiology.
Relating this requirement to the use of auditory evoked potentials, it is clearly advantageous (in terms of response detection) to stimulate the auditory system in a way in which generates a response of large amplitude. In other words, the signal to noise ratio is favourable. Therefore, a stimulus which will synchronise the greatest number of individual auditory neurons (i.e. over a wide range of frequencies) will evoke a more easily detected response than a more localised (frequency specific) stimulus which is maximally stimulating neurons in one discrete location upon the basilar membrane. Thus response amplitude (detection) and frequency specificity are diametrically opposed.
The small voltage BAEP relies heavily upon the synchronisation of neurons within the auditory nerve and brainstem (Davis, 1976; Galambos and Hecox, 1977). Therefore the click stimulus is favoured because of its rapid onset and short duration. The click evokes a broad area of nerve fibers originating primarily in the basal (high frequency) turn of the cochlea. In contrast, the SVR is a comparatively large potential originating from cortical activation in response to a sound stimulus (Vaughan and Ritter, 1970; Kooi et al., 1971; Peronnet et al., 1974). For this reason, a high degree of frequency specificity is possible. The use of the BAEP and the SVR in objective threshold assessment is now well established in clinical populations. Accompanying this extensive usage, the most appropriate recording parameters for measuring these potentials have evolved in order to maximise the experimenter's ability to detect these potentials at intensities near to audiometric threshold. Unfortunately, the same methodological and subjective consistency does not apply to the MLR. The preceeding chapters have indicated why there is little consensus concerning the fidelity of the MLR and 40Hz response to audiometric threshold in both normal and patient groups and also the most appropriate conditions for recording these responses. However, there still exists a significant clinical requirement for an objective, frequency specific test of hearing which can be recorded consistently at all levels of arousal in an infant and neonatal population. This chapter will illustrate that it is the inability of the BAEP to satisfy the first
criteria and SVR to satisfy the latter which has driven further research into more accurately categorising the MLR and 40Hz responses. Before the clinical effectiveness of the individual auditory evoked potentials are examined, it is necessary to explore the general rules which apply to the clinical detection of auditory evoked responses.
4.2 CLINICAL RESPONSE DETECTION CRITERIA.
There is a distinction to be drawn between evoked potential recording in an experimental (research) situation and the more practical procedures which must be often followed in the clinical environment. The research scenario is somewhat idealised and allows for the luxury of lengthy protocols and response replications in order to precisely define a subject's hearing profile (audiogram). The latter case demands easy-to-use practical guidelines which allow for speedy yet accurate diagnosis of hearing capabilities in circumstances which are often less than ideal. Therefore, clinical procedures must be as accurate as possible (in terms of assessing audiometric thresholds), whilst allowing the possibility of flexibility and expediency in less than ideal situations. Only in this way can difficult to test patients be served adequately using evoked response audiometry.
It is impossible to relate and interpret clinical findings without first establishing the characteristics of a given evoked potential in normal subjects. Therefore, the study of normal subjects necessarily precedes clinical application and the principles which apply to the normative situation also relate to the subsequent use of responses in a patient population. The application of normative data to a clinical population can be achieved by first recording the differences between subjective and objective threshold in a normal population to get some indication of the fidelity of the evoked
response to an established (subjective) threshold. It is then assumed that in a patient population the relationship between the known objective response and the unknown subjective threshold is the same as in a normal group.
4.21 False negative and false positive results.
As has been stated, in order that clinical findings can be properly assessed and diagnosed, it is necessary to establish a strong normative database. This depends upon inter-laboratory agreement and a general consensus being reached as to what constitutes a positive detection of an evoked potential and what is a negative result. In the ideal situation, ERA would be able to exactly match the threshold of a patient's hearing at a given stimulus frequency. However, as threshold is approached the signal to noise ratio of the response decreases and thus it becomes more difficult for the response morphology to be distinguished from the random background activity. This problem is further increased if the subject or patient cannot be sufficiently relaxed and EMG activity further contributes to concealing a response.
Two potential dangers are apparent here. Firstly the scoring of an objective false negative - in which the patient is able to hear the stimulus, but the evoked potential procedure is unable to detect this response. A false negative result would have the effect of under-estimating a patient's hearing capabilities. A second area of inaccuracy is the detection of objective false positive responses. A false positive occurs when the evoked potential yields a lower threshold estimate than the patient can report subjectively. This may have the potentially serious consequence of over-estimating a patient's hearing capabilities and could result in not diagnosing a hearing loss in a patient where an abnormality did in fact exist.
4.22 Response detection near audiometric threshold.
Since response amplitude and morphology at low stimulus intensities is often reduced and unclear, it is necessary to observe experimental procedures which will give the maximum chance of detecting a response should it be present. Assuming the adequate degree of patient relaxation and cooperation which is required for any evoked response to be recorded, a number of further steps can be taken to maximise the chances of accurately modelling a patient's hearing profile. The following are widely used clinical procedures by which response detection may be enhanced.
1. The use of a template response. An evoked response recorded near threshold is compared to a clearer waveform recorded at high stimulus intensity used as a reference.
2. The use of averaging and superimposition procedures. If evoked responses to stimuli of decreasing intensity are superimposed, then it is easier to detect trends in latency increase and amplitude reduction. Such features can often be missed if responses are viewed in isolation.
3. The replication of a dubious response at low intensity and also the recording of an increased number of averages improves the chance of detecting a low amplitude evoked potential near audiometric threshold. Such procedures also are important in order to reduce the incorrect scoring of false positives.
4. Problems of false positive response identification can also often be avoided if a non-stimulus control run is added to the experimental protocol. In this way the clinician can assess the amplitude and features of background activity which may influence the detection of an evoked potential with low intensity stimuli.
Now having highlighted the general rules which apply to the clinical recording of auditory evoked responses, it is possible to apply these to the brainstem evoked potential and the slow vertex response. After this, the effectiveness of the MLR and 40Hz responses can be examined with reference to the more clinically favoured SVR and BAEP.
4.3 THE RELATIONSHIP OF THE SVR TO AUDIOMETRIC THRESHOLD.
The consistency of the SVR in normally hearing adults is well recognised and has been established for a number of years (Cody and Bickford, 1965; Suzuki and Taguchi, 1965; Beagley and Knight, 1967; Beagley and Kellog, 1969; Picton et al., 1974; Jones, 1979). The SVR is less reliable in children and also in sleeping or drowsy subjects. One of the main advantages of the SVR is that it can be recorded to frequency specific stimuli which allows for the clinician to construct a detailed picture of a patient's hearing capabilities.
Cody and Bickford (1965) chose the detectability of the N1(50-100 msec.) and P2 (125-200 msec.) components as an index of the detectability of the SVR at different stimulus intensities. Testing twenty normal subjects at stimulus frequencies of 500Hz, 1000Hz and 2000Hz, they reported (combining the different frequencies), that 43% of subjects had identical subjective and objective thresholds; 83% were within 5dB, 93% within 10dB and 100% of subjects were within 15dB of subjective threshold. Cody and Bickford (1965) recorded a spread of data with objective - subjective threshold differences ranging from -15dB to +15dB. The negative sign denotes when the objective response was lower than the subjective threshold (i.e. a false positive condition). The positive sign indicates an objective result which exceeds subjective threshold.
Suzuki and Taguchi (1965) recorded slow vertex responses in nineteen normal adults at stimulus frequencies of 500Hz, 1000Hz, 2000Hz and 4000Hz. They found 25.4% of subjects showed no difference between subjective and objective threshold. 69.7% were within +10dB and 100% within +20dB of subjective threshold. Unlike Cody and Bickford (1965) Suzuki and Taguchi (1965) reported no false positive results. The possible reasons for this shall be discussed below.
In Suzuki and Taguchi's (1965) experiment, there is the possibility that the expectation of normality on behalf of the experimenter might have influenced his/her interpretation and subjective assessment concerning the presence or absence of the response near threshold. Experimenter bias can call into question the notion of true evoked response objectivity. Whilst the patient is still unable to influence the result of the procedure, assessment of the responses is compromised if the experimenter expects a certain outcome from the test. Thus in a normal subject, the clinician will be more willing to accept a dubious response at a low stimulus intensity than if that same response were recorded in a patient with a possible (or confirmed) hearing loss.
Therefore, there can be a difference in interpretation by the clinician between normative data and responses recorded in a clinical population resulting in a closer subjective - objective threshold difference (or greater number of false positives) in a normal population. Beagley and Kellog (1969) examined subjective/objective threshold differences using the SVR in 40 normal subjects (age range= 18-36 years). In order to evaluate the effects of experimenter bias, the authors also included 36 patients with known hearing losses (age range 18-52 years) in whom a normal threshold estimate could not be assumed. Three stimulus frequencies were tested, 500, 1000 and 2000Hz. Results showed that the number of false positives reported in the clinical group was far larger than in the normal subjects (21%
compared with 10%) across all frequencies tested. Since the experimenters were expecting a normal response from the clinical subjects, they were more willing to score a response as being present. The higher number of false positive in this group indicates the effects of experimenter bias.
Jones (1979) compared the detectability of the SVR at frequencies of 250Hz, 1000Hz and 4000Hz in normal adults and adults and children with known hearing losses. In the normal subjects (n=23), the same subjective and objective threshold was found in 81%, 70% and 68% of subjects (at the three frequencies respectively). In all the normal adults 100% of responses lay between 0 to +20 dB at 250Hz and -10 to +10 dB at 1000Hz and 4000Hz. In the adults with known auditory defects (n=22), the subjective/objective differences were greater for all three test frequencies with a far smaller number of subjects showing the same subjective and objective threshold, 19% (-50 to +20 range), 22% (-30 to +15 range) and 27% (-35 to +45dB range) respectively. The child population (n=20) was the most difficult to assess with the same subjective and objective thresholds only being recorded in 9% (-10 to +25) at 250Hz, 16% (-30 to +25) at 1000Hz and 26% (-15 to +20dB) at 4000Hz. What is more significant here than the precise threshold measurements, is the increase in the ranges of thresholds reported within the two clinical groups. Threshold measurements per se are not as important as knowing the level of confidence which can be placed upon recorded data and being able to explain the reasons why some subjects yield poor results. The data suggests that the poorest correlation between subjective and objective threshold was found in the child population. This finding could be attributed to a number of factors. Firstly, the inherent variability of the EP waveform in children promoted an increase in both false positives and negatives. Secondly, the amplitude of the background activity is larger in children than in adults which meant that the signal to noise ratio was decreased especially at low stimulus intensities. Thirdly, young
children are difficult to test in wakefulness because they are easily bored and distracted. Finally, the subjective audiograms may not be as reliable as those obtained in the adult groups a factor which would also increase the variability of the results. The main reason cited to account for the variability of the adult subjects with known auditory defects was the persistent presence of high levels of rhythmic activity within the subjects' background EEG. The presence of such activity is of great significance in the successful recording of slow vertex responses. Concerning the reliability of the SVR in the majority of individuals, Hyde et al. (1986) comments:
"Slow vertex audiometry is problematic in about 5% of our (clinical) cases, mainly because high levels of alpha activity (alpha rhythm, 8 to 13Hz) render the SVR very difficult to detect reliably ....... Cases of excessively rhythmic EEG are readily detectable after a few minutes of testing and for these ...... we use a variant of the MLR now most commonly known as the 40Hz.
As emphasised by Hyde and colleagues, one of the principal reasons for inaccuracy in SVR threshold assessment is high levels of alpha rhythm within the background EEG. Further inaccuracies are introduced by restlessness leading to excessive myogenic contamination (in common with all evoked potentials) and fluctuations in the subjective state of the subject.
Alpha rhythm is defined as electrical activity occurring between and including 8-13 cycles/sec., varying in amplitude from 1 to 100μV. Bartley (1940) defined alpha activity as the naturally occurring frequency of discharge of the cells of the visual cortex, alpha rhythm as the summation of this activity. Alpha waves originate from the posterior regions of the brain but are recordable from surface electrodes placed at many locations over the scalp. Alpha activity is attenuated by visual stimuli and also by arousal and attention. This led early workers to suggest that alpha was responsible for maintaining an alternative source of stimulation within the cortex in
the absence of such stimuli thereby preventing the onset of sleep (Adrian, 1943). It has been shown that the occurrence of alpha rhythm varies considerably between subjects (Harding, 1968).
The influence of environmental factors upon the occurrence of alpha rhythm is of relevance to the data collected clinically. Situations of novelty and constant visual stimulation cause a fall in alpha levels, whilst situations of fatigue, boredom and lack of novel sensory (visual) input, cause levels of alpha rhythm to increase. It is this latter situation which may directly apply to the successful recording of the SVR in the clinic. Some people (normally hearing or with hearing losses) possess persistent alpha rhythm within their ongoing EEG which cannot be attenuated and makes SVR audiometric threshold determinations impossible. At higher stimulus intensities, alpha is not usually a problem because of the high signal to noise ratio (amplitude of the SVR with respect to ongoing background activity). However, as intensity is lowered (and audiometric threshold approached) this ratio becomes poorer and alpha rhythm contamination becomes more obvious. Therefore, in order to gain consistent and reliable information from the SVR, it is necessary to continuously monitor the ongoing EEG activity. Only by such measures can the unwanted contributions of EMG and alpha rhythm be guarded against.
This review of threshold estimates made using the SVR suggests that in normal, adult subjects the response can be reliably recorded to within 10-20 dB SL in most cases. Factors affecting the detectability of the SVR near threshold include age and level of arousal which both increase the discrepancy between subjective and objective threshold. Considerable changes occur to the SVR during all stages of sleep. These principally involve the generation of high amplitude later potentials not seen in the waking response (Weitzman and Kremen, 1965; Ornitz et al., 1967). Osterhammel et al. (1973) suggested that these later components reflected the summation of
K-complexes. The implications of the increased variability of the SVR during sleep are that inter-subject variability increases and little reliable audiological information can be drawn from this response in sleeping subjects. This reliability of the SVR is further compromised if subjects fluctuate between levels of arousal. The single most important factor which causes the greatest variability in the SVR in normal waking adults is the occurrence of high levels of rhythmic alpha activity within the ongoing EEG. It is this limitation which places a significant restriction upon the clinical application of the SVR in certain subjects who exhibit high levels of alpha rhythm. Hyde (1986) estimates that 5% of subjects fall into this category and although this figure may not seem large, the inability to assess five out of every one hundred patients tested (for this one reason alone) amounts to an undesirably high figure when compensation claims are being considered.
4.4 THE RELATIONSHIP OF THE BAEP TO AUDIOMETRIC THRESHOLD.
As with the slow vertex response, the clinical applications and limitations of the BAEP are now well established. These applications can be broadly divided into two groups; audiological and neurological. Firstly, the brainstem evoked potential is able to give audiological information concerning hearing thresholds. The relationship between the principle components of the BAEP and stimulus intensity is similar to that of the SVR. This means that as intensity is lowered, the amplitude of the response decreases whilst the latencies of the components increase. In chapter one (figure 1.2), the effect of reducing stimulus intensity upon the morphology of the BAEP was presented. This demonstrated that the most easily detected component of the response at low stimulus intensities (near audiometric threshold) is wave V (according to the nomenclature of Jewett and Williston, 1971). The other waves (I, II, III and VI) are less easily defined at intensities less than 25dB SL.
The BAEP is also used to gain neurological information in order to evaluate pathological conditions of the brainstem. Neurologically, because the generators sites of the individual wave components of the response are now well established (refer to chapter 2), the BAEP provides an excellent non-invasive tool for examining the integrity of the brainstem. A fuller discussion of the neurological applications of the BAEP lies outside the scope of this thesis.
Audiologically, the BAEP is the first choice auditory evoked response for determining threshold estimates in neonatal or infant populations and in all patient groups which require sedation in order to be tested. The stability of the BAEP in infants is well established (Hecox and Galambos, 1974; Salamy and Mckean, 1976) as is the consistency of the response with changes in arousal or mild sedation (Jewett and Williston, 1971; Amedeo and Shagass, 1973; Picton et al., 1974). As discussed in previous chapters, the main disadvantage of the BAEP is that to date, it has far more reliably been recorded to click stimuli than to frequency specific stimuli (this is especially true of low frequency stimuli). The click stimulus provides the greatest amount of neural synchronisation of cochlear nerve fibers due to its rapid onset and short duration. Since the click is a high frequency stimulus (with its maximum power $\geq 2000$ Hz), the BAEP recorded to such a stimulus derives primarily from the basal turn of the cochlea (where high frequencies are maximally represented). The problem with delivering a low frequency stimulus is that firstly the longer ramp time necessary for frequency specificity means that neurons are not being stimulated synchronously. Secondly, it is impossible to effectively stimulate just the apical (low frequency) regions of the cochlea without also activating more distant (higher frequency) neurons. Since there is a time difference between the activation of the basal and apical regions of the basilar membrane (due to the time taken for the travelling wave to reach the apex), the responses generated at base and apex are not in synchrony and hence destructively interfere with each other.
Since the accuracy of the BAEP in measuring auditory acuity to click stimuli is so well documented, these findings shall now be summarised briefly. However, the relationship of the brainstem response to tonal stimuli delivered at different intensities is less clear-cut and therefore this literature will be examined in greater depth.
Starr and Achor (1973) investigated the relationship to audiometric threshold of the BAEP to click stimulation in six normal adult subjects (age range 25-30 years). The wave V component was reported as present to within 5 dB of subjective threshold in all subjects whereas waves I, II and III were only recorded down to 25-30 dBSL. Similar correspondences were also reported by Davis (1976) and Thornton (1975). Jones (1979) examined the occurrence of the individual components of the BAEP in twenty eight normal subjects. Click stimuli (0.1 msec. duration) were presented to subjects (aged between 17 and 30 years) using a vertex to ipsilateral mastoid electrode derivation. The data from this experiment demonstrated consistently that the wave V component was consistently the easiest to detect at the widest range of intensities with an excess of 70% response recognition of this component at 10 dBSL. Further investigation (n=50 normal subjects) revealed that wave V showed a mean difference between subjective and objective threshold of +7.8 dB (the positive sign denoting that objective was higher than the subjective threshold), with a standard deviation of 6.9dB. The range of subjective - objective differences varied from -10dB (indicating a false positive result) to +20dB with 84% of subjects showing a wave V to within 10dBSL.
To summarise this chapter so far, the SVR and the BAEP together represent the first choice auditory evoked responses currently used clinically. The SVR will provide frequency specific audiological information in the majority of suitably relaxed, (yet waking) adult subjects. The BAEP is able to obtain accurate threshold estimates in
subjects of all ages and at all arousal levels. The main drawback with the BAEP to date, is that it is most effectively recorded to a click stimulus (which is non-frequency specific). The inherent limitations of existing responses defined above has led researchers to wonder whether the MLR (and latterly the 40Hz) could provide frequency specific audiological information at all levels of arousal. Secondly, interest has also increased in the possibility of recording tonal BAEPs and the most appropriate recording parameters for doing so. The MLR and tonally derived brainstem evoked potentials are discussed now.
4.5 CLINICAL APPLICATIONS OF THE MLR.
As with the BAEP and the SVR, the clinical utility of the middle latency responses (and later the 40Hz response) has been extensively examined. Unfortunately, this examination has failed to yield the same consistent findings as with these other responses. Principally the work of Mendel and co-workers has been strongly supportive of the MLR in the clinical setting. Unfortunately, Mendel's faith in the MLR has not been echoed by other researchers in the field (Davis et al., 1976, 1985). Chapter 3 described the configuration of the MLR under various different methodological and subjective conditions and illustrated some of these reasons for the current clinical preference for the BAEP and SVR over the MLR. However, some encouraging results were reported in the early seventies concerning the correlation between the MLR and subjective threshold. The currently prevailing opinion is that the original middle latency recording was experimentally flawed through the use of narrow bandpass filters (chapter 3) leading to the creation of artificial response components (Scherg, 1982). Uncertainty over the precise effects of recording parameters has led to ambiguity concerning the stability of the MLR in children and with changes in arousal. However, some workers have suggested that the non-physiological distortions which appear to be brought about through narrow bandpass filtration might actually be desirable and assist in middle latency response detection near threshold (Musiek et al., 1984). The following review of the early clinical literature on the MLR acknowledges that methodological and subjective factors
might be influencing the potentials being measured. However, this data is still relevant to an appraisal of the current clinical standing of the middle latency responses.
It has been argued that the current test of choice for the frequency specific investigation of auditory function in waking adults is the slow vertex response (SVR). The increased variability of this response in both young subjects and as a result of drowsiness or sleep, precludes the universal use of the SVR. Much of the interest which has been directed towards the MLR is due to the desire to find an alternative test to the SVR which is resilient to such variability. As stated, the acoustic click is unable to provide frequency specific information about cochlear functioning. The spread of energy within the click means that it is only able to give information relating to general cochlear integrity (particularly at high frequencies).
As stated previously, the requirements of response clarity and frequency specificity are diametrically opposed. Since the former demands a high degree of neural synchrony, it is advantageous that the entire cochlear partition is activated by the stimulus. The frequency specific stimulus must elicit a response which originates from a discrete region of the basilar membrane to the exclusion of extraneous frequencies. Therefore, by definition a far smaller number of neurons must be activated if frequency localisation is to be achieved. Hence the evoked response generated to a tonal stimulus must be of reduced amplitude in comparison with that which is elicited to a broad spectrum (click) stimulus.
Davis et al. (1983) highlighted the difficulty of evoking a clear response to a low frequency stimulus. Brief acoustic stimuli such as clicks (duration in the order of 0.1 msec.) possess a wide range of frequencies. This is largely due to the rapidity of stimulus onset (i.e. the ramp-time) generating a wide spectrum of acoustic frequencies. It follows therefore, that a tonally specific stimulus requires a slower ramp-time and to be of longer duration in order to reduce these unwanted acoustic transients (extraneous frequencies). The frequency specific stimulus will therefore differ from the click in that it will longer and possess a greater number of cycles. Fig 4.1a shows the profile of stimuli with frequencies of 500, 1000, 2000 and 4000Hz (after Davis et al., 1983) illustrating the increase in stimulus duration as frequency is lowered. Each of the stimuli shown possess a 2 cycle rise and fall time with a 1 cycle
The 2 cycles rise / fall, 1 cycle plateau tone pip (2-1-2).
Figure 4.1 a Frequency specific stimulus characteristics for tone pips of 2 cycles rise/fall time and 1 cycle plateau.
4.1 b Frequency specificity of 500, 1000, 2000 and 4000Hz tone pips as calculated using the Fourier transform (Davis et al., 1983).
plateau. Fig. 4.1 b presents the power spectra as calculated by the Fourier transform for the four tones, demonstrating that stimuli which are equivalent in terms of cycles (in this case 2-1-2 cycles) possess the same degree of frequency specificity.
Zerlin and colleagues, in a series of experiments performed in the early seventies, were among the first to report the effect of presenting tonally specific stimuli upon threshold determinations using the MLR (Zerlin et al., 1971, 1973; Zerlin and Naunton, 1974). Zerlin et al. (1973) presented click stimuli and tonal stimuli (5 msec. rise-time) with their principal frequencies centered at 500Hz and 2000Hz to six seated, waking subjects. A vertex to earlobe derivation was used and 750 responses were collected for each averaged evoked response (bandpass, 1-150Hz). Stimuli were presented at two intensities, 20 and 50dBSL. Zerlin and colleagues reported that the amplitude of the Na-Pa component evoked to a click stimulus (at both intensities) was consistently larger than tonal responses at either frequency (around 50% larger). Secondly, the responses definition to click stimuli was generally much clearer especially at low intensity (20dBSL). The reduction of amplitude with a tonal stimulus may be explained by the fact that this stimulus is not activating as large a portion of the cochlear partition compared with the click and therefore a smaller population of neurons are being excited. This illustrates the potential difficulty in recording tonal middle latency responses at low stimulus intensities.
Zerlin and Naunton (1974) further compared the detectability of the MLR and SVR to low intensity tonal stimuli. Using 1000Hz and 4000Hz tone pips presented to eight reading subjects, responses were delivered at 5/sec. (MLR) and 0.5/sec. (SVR) at intensities of 5, 10, 20 and 35dBSL. The active recording electrode was placed at the vertex and referred to the earlobe with responses collected using a bandpass of 1-150Hz in both procedures. Using the same stimuli to generate both late and middle potentials, Zerlin and Naunton found that although the amplitude of the Na-Pa component of the MLR was five to seven times smaller than that of the N1-P1 of the SVR in absolute terms, the variability of the MLR was far less than that of the SVR at low intensities. This smaller variability of the MLR was expressed both in terms of latency and amplitude. Zerlin and Naunton (1974) concluded that because of its low variability, the MLR offers a valuable addition to the tests used in clinical evoked response
audiometry despite its small amplitude. However, there are certain methodological factors which make a more cautious interpretation of the data necessary. Firstly, the filter bandpass employed was not ideally suited to SVR recording. This could have impaired the detection of this response near threshold thus giving a false impression of its variability. The SVR is commonly recorded with a narrower bandpass (often 1-50Hz) and therefore the higher frequencies admitted using 1-150Hz filters may have reduced the clarity of these potentials by increased contamination with higher frequency components and myogenic contamination. A further point to consider is that the SVR is easily affected by drowsiness, boredom and fatigue, whilst both the MLR and SVR are degraded by myogenic contamination caused by restlessness. It is therefore important to ensure that these variables are accounted for when recording these responses. Zerlin and Naunton do not specify whether they alternated MLR and SVR recording to eliminate any order effects that may have compromised response detection near threshold. In addition they do not mention whether they allowed breaks during the experiment in order to alleviate restlessness. These criticisms aside, this work would indicate a case for the use of the MLR in frequency specific audiological assessment as the authors report consistently recordable Na -Pa components in the eight subjects tested.
Thornton et al. (1977) addressed the issue of frequency specificity of the MLR in adults recording responses from the vertex to earlobe with tones of 250Hz, 1000Hz and 4000Hz. The stimuli used had a linear rise/fall time of 2 msec. and a duration of 4.5 msec. Thornton used eleven normal, waking subjects and made measurements of middle latency Na, Pa, Nb, Pb and Nc components using a filter bandpass of 25-125Hz (roll-off 24dB/octave). Fig. 4.2 shows graphical representation of Thornton's findings. The data shows that the Pa and Nb components of the MLR show a linear relationship between amplitude and intensity whereas the later response components (Pb and Nc) demonstrate a far more variable relationship with intensity. Na, the earliest MLR component measured, shows little change in amplitude as intensity is varied. No immediate differential effects of stimulus frequency are obvious. Thornton's results do not make a strong case for the recording of tonally specific MLRs. Very few components of the response show amplitudes significantly greater than the control (non-stimulus run) at intensities lower than 20dBSL. Therefore, in the waking adult population used in this experiment, it could be argued that closer tonal estimates of audiological
Figure 4.2 Amplitude verses intensity functions for Na, Pa, Nb, Pb and Nc components of the MLR to frequency specific stimuli of 250, 1000 and 4000Hz (Thornton et al., 1977).
threshold might have been achieved using the SVR where consistent estimates of threshold under 20dBSL have been reported in normal subjects (see section 4.3).
In a similar study, McFarland et al. (1977) presented tones having rise/fall times of 3 msec. (no plateau) at frequencies of 500Hz, 1000Hz and 3000Hz to normal and hearing impaired subjects (with moderate bilateral sensorineural hypacusis). McFarland reported responses detectable at intensities ranging from 0-50dBSL using a filter bandpass of 25 -175Hz. Fig.4.3 shows the correlation with audiometric threshold found in a representative normal and hearing impaired subject. It may be seen that although the absolute amplitude of the responses are small (<1µV), clear middle latency components are visible down to within 10dB in both populations at all frequencies. The possible exception to this is the 500Hz response in the clinical population, where no clear waveform may be seen lower than 20dBSL. It is however possible that a higher degree of correlation between subjective and objective threshold would have been reported for all the frequencies tested if intensity had been reduced in 5dB decrements instead of the 10dB shown. The findings of McFarland et al. (1977) show promise for the MLR as a frequency specific clinical tool.
Vivion et al. (1980) systematically investigated the effect of stimulus rise-time and duration upon the MLR in order to see if the stimulus duration could be lengthened giving greater frequency specificity with no loss in response amplitude. Using stimuli with frequencies of 500Hz, 1000Hz and 3000Hz, Vivion and colleagues altered the rise-time (either 3, 5 or 10 msec.) and the duration of the stimuli (10 or 30 msec.). Vivion reported that the longer duration stimuli with the longest rise-times provided the most frequency specific tones with the smallest amount of energy spread away from the nominal frequency. Vivion et al. (1980) concluded that the latency of the middle latency components varied only slightly across the range of stimulus characteristics. However, they reported that the amplitude of the MLR was considerably reduced with the longer duration stimuli with the greatest rise/fall times. Since clinical response recognition depends upon an easily visualised waveform especially at intensities near psychometric threshold, Vivion concluded that a compromise must be reached between frequency specificity and amplitude. He comments:
Figure 4.3 The relationship of the MLR to audiometric threshold in normal and hearing impaired subjects using 500, 1000 and 3000Hz stimuli (McFarland et al., 1977).
"We conclude that combinations of rise/fall time and plateau duration which yield an equivalent duration of less than 10 msec., but which simultaneously result in narrow spectra stimuli, are optimal for clinical electroencephalographic audiometry in which middle components are the response index."
The effects of rise/fall time demonstrated by Vivion et al. (1980) are consistent with the results of other workers using similar methodology. Lane et al. (1971) and Skinner and Antonoro (1971) similarly reported only small changes in MLR latency with variations in rise/fall time but much larger reductions in amplitude as ramp-times were increased. Beiter and Hogan (1973) reported a reduction of amplitude of one half as rise/fall time was increased from 250 μsec. to 5 msec. Further increases from 5 msec. to 25 msec. yielded no further significant changes. The general conclusion reached by these workers was that a short rise/fall time around 5 msec. was optimal for generating clinically useful middle latency responses. Although this section has portrayed the MLR in a generally favourable light, it is important to consider the effects of the variables discussed in the preceding chapters on MLR detectability. Lack of consensus of opinion has meant that the MLR has been less favoured clinically.
The 40Hz response was introduced in section 3.4. There it was stated that the response appeared to possess advantages over the MLR in terms of ease of detection near audiometric threshold. The next section will examine the evidence supporting this claim.
4.6 THE CLINICAL APPLICATIONS OF THE 40HZ RESPONSE.
As discussed in the previous chapter, the 40Hz response renewed interest in the middle latency responses as a possible technique for producing a clinically useful, frequency specific audiogram. It is therefore difficult to separate experiments which have looked strictly at the 40Hz response in normal populations from those in which clinical inferences have been made by reference to patients with hearing losses. This section examines the development of the 40Hz response in normal populations and in clinical cases.
Brown and Shallop (1982) evaluated the clinical utility of the 40Hz response to 500Hz tone pip (4 msec. rise-fall time, 2 msec. plateau) in comparison with the conventional MLR as
generated to a 9.4/sec. stimulus repetition rate. Using a bandpass of 30-100Hz they investigated threshold determinations in normal subjects and in patients with abrupt high and low frequency hearing losses. Brown and Shallop found response amplitude (and by implication, detectability near threshold) of the 40Hz SSEP to be improved in comparison with that obtained with the MLR transient response for the normal subjects. Fig. 4.4 examines the responses generated to a 500Hz stimulus. This shows that amplitude of the Na-Pa configuration in MLR transient response is approximately 75nV at 15dB HL. The 40Hz repetition rate by comparison has generated a response of 2-3 times this amplitude (around 225nV) at the same intensity. Fig. 4.5 a and b shows the audiograms for two hearing impaired patients and the evoked potentials (BAEP and 40Hz) obtained with click and 500Hz stimulation. The first case shows a severe high frequency hearing loss occurring very abruptly after 1000Hz. The 40Hz responses generated to a 500Hz tone are clearly visible down to 20dB HL (i.e. 10dB SL). The sensitivity of the click evoked brainstem response is such that no clear responses may be seen at intensities less than 85db HL. This result implied that the patient possessed a high frequency hearing loss (as is confirmed by the subjective audiogram) and therefore suggested that the BAEP was only effectively measuring cochlear functioning in the high frequency, basal cochlear region (Eggermont, 1982). Brown and Shallop concluded that the tonally derived 40Hz response was much better able to assess accurately the patient's low frequency (and considerably better) auditory acuity and therefore provided a valuable assessment of audiometric contour in this cases. Fig 4.5 b shows equally encouraging correlations between the 40Hz response to a 500Hz tone pip and audiometric threshold in a patient with a moderate mid-frequency hearing loss. The sensitivity of the BAEP shown in this figure, (with in this case wave V visible to 35dB HL) again would suggest that this response is measuring high frequency cochlear integrity.
In a similar study to that performed by Brown and Shallop (1982), Lynn et al. (1984) found a similar high level of agreement between subjective thresholds and objective recordings made with the 40Hz response at 500 and 1000Hz in a population of patients with selective cochlear hearing losses. Sixteen males and seven females were chosen (age range 17 to 76 years, mean 59) satisfying the selection criteria of: thresholds greater than 20dB for the two test frequencies and possession of a hearing loss of cochlear origin with no additional
Figure 4.4 A comparison of the amplitude of the Na-Pa configuration of the MLR using 9.4/sec. and 40/sec. stimulus repetition rates and a 500Hz stimulus (Brown and Shallop, 1982).
Figure 4.5 Audiometric threshold estimation using the 40Hz procedure in one hearing impaired subject with a severe high frequency hearing loss (Fig. 4.5 a) and another with a moderate mid-frequency hearing loss (4.5 b) (Brown and Shallop, 1982).
neurological pathology or conductive deficit. Stimuli (2 msec. rise/fall time and 6 msec. plateau) were presented at a rate of 39.1 / sec. and responses were recorded from waking (relaxed) subjects using a vertex to ipsilateral earlobe electrode derivation. The filter bandpass employed was 5-100Hz. Responses were independently assessed by experienced clinicians. Lynn and colleagues reported high correlations between subjective and objective thresholds at both test frequencies (500Hz = 0.79; 1000Hz = 0.87). The range of objective threshold estimates were -30 to +10 (false positive condition) for the 500Hz stimulus and -20 to +20 for 1000Hz stimuli. 90% of 40Hz responses lay within 20dBSL for the 500Hz stimulus, whilst at 1000Hz the spread of data was slightly smaller with 90% of responses lying within 17dBSL. Within Lynn's patient group were a combination of flat and sloping hearing losses (i.e. patients with a similar deficit at all frequencies and those with selective low frequency loss with high frequency thresholds within normal limits). Lynn reported that patients with sloping audiograms produced a higher degree of false positive 40Hz responses (objective threshold lower than subjective) at both stimulus frequencies. This would seem to imply that the 500Hz and 1000Hz stimuli are evoking responses in more basal cochlear regions and are not totally specific to the apical cochlea. In the patients where there is no possibility of high frequency contributions to the 40Hz response, the objective responses are prone to being worse than subjective estimates. Lynn does not provide information concerning the statistical significance to this observation. Even given the possibility of high frequency contribution in some patients, the degree of correlation for the combination of both sub-groups (flat and sloping audiograms) still would suggest a clinical use for the 40Hz response in the diagnosis of hearing deficit in this case.
From the findings discussed above, the 40Hz response would appear to be a technique of considerable clinical potential. Its principal advantage over conventional middle latency recording is the greater ease with which it could be visualised at intensities near to audiometric threshold due to its larger amplitude. This could be of particular advantage in assessing low frequency auditory acuity, selectively diagnosing cases with such frequencies preserved as distinct from those with higher frequency hearing losses. Further work investigating the use of the 40Hz response in frequency specific audiological diagnosis was carried out by Lenarz et al. (1986).
Lenarz et al. (1986) presented stimuli (2-1-2 cycles) at frequencies of 500, 1000, 2000 and 4000Hz to thirty adults with normal hearing. Responses were recorded using a vertex to ipsilateral mastoid derivation and a filter bandpass of 30 to 100Hz (12dB/oct. slope) was employed. Table 4.1 shows the correlation between behavioural and 40Hz threshold at all four test frequencies for normal subjects.
Table 4.1 Correlation between subjective and objective threshold using the 40Hz response in 30 normal adults (after Lenarz et al., 1986).
| Objective threshold | Pure-tone threshold |
|---------------------|---------------------|
| | 500Hz | 1000Hz | 2000Hz | 4000Hz |
| 500Hz | **0.91** | 0.88 | 0.82 | 0.53 |
| 1000Hz | 0.80 | **0.88**| 0.85 | 0.49 |
| 2000Hz | 0.67 | 0.76 | **0.89**| 0.71 |
| 4000Hz | 0.46 | 0.54 | 0.73 | **0.89**|
The high degree of correlation seen between thresholds at equal frequency would suggest that the 40Hz response can provide accurate, frequency specific audiometric information. Since Lenarz compared objective responses (recorded to 2-1-2 cycle tone pips) to subjective thresholds obtained to pure tones, it is possible that subjective threshold presented above is actually lower than it would be if a pip had been used subjectively. Therefore the degree of correlation might actually be higher than Lenarz proposed. Lenarz reported that 87.8% of objective 40Hz threshold estimates were within 10dB of subjective threshold (combining all test frequencies). Lenarz and colleagues found that amplitude of the 40Hz response was reduced if subjects were sleeping when tested and this had the effect of reducing responses detectability near audiometric threshold. In addition, enhanced myogenic activity also made response identification more difficult. Both these observations made by Lenarz are qualitative and are not corroborated by statistical proof.
Stürzebecher et al. (1985) compared the detectability of middle latency responses at audiometric threshold generated to stimulus repetition rates of 10/sec, 20/sec, 30/sec and
40/sec. using wide (30-3000Hz) bandpass filters. Stürzebecher and colleagues used normal subjects and also a patient population with sensorineural hearing loss. All those tested were sedated (10mg diazepam) and the authors state that as a rule, subjects slept for the duration of the experiment. To exclude any influence of test duration or sedation upon the results, the order of presentation of the four different repetition rates was varied. Stürzebecher found that the largest responses and therefore the most accurate assessment of threshold, were recorded to the 40/sec. repetition rate with the 40Hz response detectable in 100% of subjects down to 10dBSL.
Sammeth and Barry (1985) presented tone pips at the 40Hz repetition rate at frequencies with their principal energy at 500Hz, 1000Hz, 2000Hz and 4000Hz to 16 normal awake subjects (filter bandpass: 10-100Hz). A forehead to ipsilateral earlobe electrode montage was used. Good agreement was found at all frequencies with small differences reported between subjective and objective thresholds. These are presented in table 4.2.
Table 4.2 Threshold estimation using the 40Hz response at four stimulus frequencies.
| Stimulus frequency (Hz) | 40Hz threshold estimates (dB) and ranges |
|-------------------------|------------------------------------------|
| 500 | 9.38 (0-20) |
| 1000 | 10 (0-30) |
| 2000 | 9.38 (0-15) |
| 4000 | 15.63 (5-20) |
These data presented by Sammeth and Barry (1985) show a strong relationship between the 40Hz response and audiometric threshold for all frequencies tested. A point of particular interest is the close correlation of the 40Hz response with subjective threshold at a frequency of 500Hz. This result would suggest an obvious area in which the 40Hz response could provide a valuable service in frequency specific diagnostic audiology in a paediatric population where the SVR cannot be reliably recorded. However, Sammeth and Barry (1985) indicated that despite of the encouraging correlations with behavioural threshold reported, their results also demonstrated some significant limitations with the 40Hz technique. Firstly, sleep or drowsiness caused a large reduction in the amplitude of the 40Hz response with a commensurate decrease in response detectability at or near threshold. A fact which would
limit the 40Hz response in infant or neonatal auditory assessment where sedation is often a prerequisite for successful testing. Secondly, Sammth and Barry reported that responses were far easier to detect in experienced subjects, i.e. those who are accustomed to evoked potential recording. Subjects who were unused to sitting for such procedures produced poor threshold determinations and responses with a large amount of myogenic contamination. The authors commented that:
"....... initial attempts at obtaining reliable 40Hz (responses) at levels approaching behavioural threshold in inexperienced subjects were almost uniformly disappointing."
This conclusion would imply a significant constraint to the application of the 40Hz response. Most audiological diagnoses performed using evoked potentials are recorded in patient population with little experience of the procedures involved. Indeed, the objectivity of the test procedures (with respect to the patient) demands that no conscious control can be exerted by the subject. Therefore, a test of auditory acuity which depends on a high degree of familiarity on behalf of the patient, would be of only limited value as an accurate assessment of audiometric threshold. Sammth and Barry (1985) also commented that the morphology of the 40Hz response recorded to a 500Hz stimulus differed markedly from that recorded to a 4000Hz stimulus. Figure 4.6 compares the morphology of the 40Hz response for six subjects using 500Hz and 4000Hz stimuli (Sammth and Barry, 1985) The authors suggest that the latter response is less sinusoidal in appearance with the higher frequency stimulus eliciting a greater contribution from the individual waves of the BAEP to the shape of the waveform. It is also possible that the post-auricular muscle potential (refer to chapter 2) could be responsible for the less sinusoidal morphology of the 40Hz response to the 4000Hz stimulus. However, considering the earlobe was used as the location for the reference electrode and not the mastoid, then this possibility is less likely especially at low stimulus intensity. Considering the predominantly high frequencies (around 1000Hz) present in the BAEP (Suzuki et al., 1983 a and b) and the narrow filter bandpass used in this experiment (10-100Hz), it is hard to verify accurately the precise contribution of the individual brainstem components to the 40Hz response. Although it would be expected that the higher frequency stimulus would elicit a clearer BAEP, it would be desirable to examine the 40Hz response to different frequencies of
Figure 4.6 Comparison of 40Hz response morphology in six normal subjects using stimuli of 500 and 4000Hz (Sammeth and Barry, 1985).
stimulation using wider bandpass filters before such a conclusion could be properly verified.
Szyfter et al. (1984) examined objective threshold determinations in 31 normal subjects to low frequency tone pips centered at 250Hz, 500Hz and 1000Hz using the 40Hz procedure (bandpass = 16Hz-320Hz, 1000 averages). Szyfter and colleagues found the 40Hz response present within an average of 15.1dB of threshold at the three frequencies tested in waking subjects. In addition to this being a fairly good estimate of threshold, the responses recorded by Szyfter and colleagues were easy to detect near threshold and required only 15mins recording per frequency tested. A second study examined the effect of sleep on the 40Hz response and its effect upon threshold detection. Szyfter reported that somnolence reduced the 40Hz response amplitude to around half of that in the waking state. Threshold detection was also less accurate in sleep, increasing by a further 15dB from subjective threshold.
Since the 40Hz response bears close resemblance to a sinusoid, the frequency domain of the response is comparatively small (Stapells et al., 1987). This has lead some researchers to perform frequency analyses upon the response using techniques such as the fast Fourier transform (FFT) in addition to trying to assess the response by purely visual means. From this relatively new and complex type of procedure, valuable information regarding of the phase consistency of the response also can be elucidated (Makeig and Galambos, 1983; Spydell et al., 1985; Stapells et al., 1987). Phase variability gives a measure of the degree of variation of phase angle at a given instant between subsequent averages and therefore gives information concerning the coincidence of peaks and troughs in successive samples. Since the 40Hz response is steady state, calculations of latency are not strictly applicable, phase measurements may be used as an alternative method of assessment to determine the presence of a steady state evoked response. These workers have reported consistent relationships between the 40Hz response and stimulus intensity even at low intensity when response amplitude is too small to allow examination by visual inspection alone. Future work will show if measurements of phase offer valuable (and practical) clinical assistance in the analysis of the 40Hz response.
In summarising research on the 40Hz response, this steady-state potential has increased interest in the MLR and encouraging correlations between this response and audiometric threshold have been reported. However, it would be true to say that the 40Hz response has still not been shown to afford a significant advantage over the SVR (in frequency specific adult testing) or the BAEP (for testing children) and still remains under-used clinically.
4.7 RE-EVALUATING THE MLR AS A VIABLE CLINICAL TOOL.
At this point, the discussion of clinical applications of AEPs must move away from what is known and established and into areas which are not so clearly defined. The recording parameters and threshold relationships of the BAEP (generated to click stimuli) and the SVR (also to click but more commonly to frequency specific tone bursts) are not now the source of controversy. This however is not the case when considering the BAEP generated to tonal stimuli or the MLR as recorded with wider filter settings than previously described. The BAEP is effective in assessing general cochlear functioning but it is less often used for frequency specific audiometric measurement.
The classification system of auditory evoked potentials used most commonly (and up to now adhered to in this thesis) was set down by Picton et al. (1974) and described in chapter one. To summarise, Picton defined early and middle latency EPs as occurring between 0-8 msec. and 8-40 msec. respectively. Picton and colleagues arrived at these latency ranges through studying the evoked potentials generated to click stimulation. Since frequency specific stimuli cause latency shifts in these responses away from these established norms (Kavanagh et al., 1988), it could be suggested that this classification system is not appropriate to encompass tonally derived brainstem responses. This implies that the boundaries of brainstem and middle latency responses are made much less well defined and it becomes necessary
to view these two sets of potentials (previously described separately) in combination. Recent experiments and review articles have broadened the latency ranges definitions of the BAEP and MLR (Musiek and Donnelly, 1983). Davis et al. (1985) commenting upon the latency of wave V to tonal stimuli defines a range of 5 to 15 msec. for the occurrence of this component depending on the frequency of the stimulus. Kileny (1983) has perhaps stretched the established boundaries the furthest by suggesting that middle latency activity occurs within a time frame of 100 msec. after stimulus onset. Kileny (1983, 1988) does draw a distinction between BAEP and MLR components but views both these sets of responses in their entirety when making clinical judgements. There does appear to be some need to clarify AEP response terminology concerning the components occurring within the first 100 msec. after stimulus onset. Picton et al. (1974) classification of 'brainstem' and 'middle latency' was based upon experimental evidence concerning the generators of these potentials. However, BAEP and MLR may be inappropriate terms when considering the clinical applications of these potentials to frequency specific stimuli. Before the evidence concerning the clinical applications of the MLR and tonally derived brainstem evoked potentials can be examined, it is therefore necessary to discuss response detection as a function of different experimental recording parameters. This essentially is a continuation of the discussion of recording parameters presented in chapter 3 but applied directly to the clinical situation.
4.71 Response detection as a function of filter bandpass.
Since the latencies of the individual brainstem and middle latency response components depend so heavily upon the choice of filter bandpass, it follows that threshold detection of these responses will also be effected by such considerations. Kavanagh et al. (1984) compared the detection of the BAEP and MLR at intensities near audiological threshold to a
500Hz tone pip (2.5 msec. rise/fall time, no plateau) in 20 normal subjects (age range 19 - 29 years). Stimuli were presented at a rate of 9.7/sec. and 1500 presentations were averaged at each trial with repeat runs performed if necessary. Tests were conducted under sedation (though Kavanagh does not specify whether this meant sleep or not) and responses were recorded using a vertex to ipsilateral mastoid derivation. Figure 4.7 presents the morphology of the MLR and BAEP using different filter bandpasses at stimulus intensities of 75 and 30dB nHL. The first conclusion which may be drawn from these data is that clear response waveforms can be seen at both intensities and with all permutations of filter bandpass. At 30dB nHL the wave V component of the brainstem response is hardest to detect when visualised using a 100Hz - 3000Hz filter bandpass. This is borne out in the following table (4.3) which shows the threshold estimates of wave V of the BAEP and MLR components obtained under the various filter conditions:
| Wave form | Bandpass of recording filters (Hz) | N | Threshold (dB nHL) |
|-----------|-----------------------------------|---|---------------------|
| | | | mean | S.D. |
| V | 15-3000 | 10| 26 | 8.43 |
| | 100-3000 | | | |
| SN | 30-3000 | 10| 18 | 7.84 |
| Pø | 15-3000 | 10| 16 | 5.16 |
| Pø | 15-180 | 10| 11 | 5.27 |
| | 15-100 | | | |
| Na | 15-3000 | 10| 11 | 5.68 |
| | 15-180 | 10| 11 | 5.68 |
| | 15-100 | 10| 11 | 5.68 |
| Pa | 15-3000 | 10| 10 | 4.71 |
| | 15-180 | 10| 10 | 4.71 |
| | 15-100 | 10| 10 | 4.71 |
| Nb | 15-3000 | 10| 11 | 5.68 |
| | 15-180 | 10| 11 | 5.68 |
| | 15-100 | 10| 11 | 5.68 |
The data presented by Kavanagh and colleagues (1984) supports the use of the Na, Pa and Nb components as viable tools in the assessment of audiological threshold at 500Hz using the experimental parameters described by these authors. Table 4.2 shows these waves all have lower response thresholds to the 500Hz stimulus than did wave V of the BAEP or the
Figure 4.7 Changes in the morphology of the BAEP and MLR using different filter bandpasses, relationship to audiometric thresholds (Kavanagh et al., 1984).
SN component (bandpass 30Hz -3000Hz). However, the detectability of wave V was elevated considerably (26dB nHL) with the high pass filter set at 100Hz unlike the Na, Pa and Nb waves where varying filter bandpass had little effect upon detection of response components near threshold. This would suggest that the 100-3000Hz bandpass is not optimally suited to recording wave V to lower frequency tones especially at low stimulus intensities. Kavanagh and colleagues reported that the visualisation of wave V at low stimulus intensities was aided greatly by dropping the low-cut filter from 100Hz to 30 and even 15Hz. This phenomenon could be due to an augmentation of the wave V component with the latter filter setting or the increased contribution of the P₀ component of the MLR upon which wave V is superimposed. P₀, recorded with narrow filter bandpasses, may be considered as the highly filtered remnant of the brainstem waves I - VI. The data presented by Kavanagh et al. (1984) suggests that detection of the P₀ component is not greatly influenced by the presence or absence of high frequency activity. Whereas, for tonally derived responses, wave V is most successfully recorded with a low filter set at 15Hz at low stimulus intensities.
With wide filter settings, the SN - P wave - Na₂ complex (preceding Pa), was found to be clearly visible at 75 and 30dB nHL. Reduction in bandwidth resulted in the loss of the P wave and the formation of a broad negativity with its nadir at an intermediate latency to SN and Na₂. Kavanagh demonstrated that the threshold detection of SN (30-3000Hz bandpass) recorded over the 0-20 msec. timebase, was poorer than that of Na recorded over the wider sweep (0-60 msec.). This is due to the decrease in the slope of SN with the 0-20 msec. sweep and also the shorter analysis time cutting off a large proportion of the SN up-slope. Therefore, it would appear that the longer time-base has assisted in response detection near threshold (an effect which is largely independent of filter bandpass). The clinical requirement for frequency specific objective assessment recordable at all levels of arousal has fired research into the area of tonally derived BAEPs. This is the next area which will come under discussion.
4.8 FREQUENCY SPECIFIC BRAINSTEM EVOKED POTENTIALS.
Earlier in this chapter, a review was given of the BAEP (as generated to non-specific
stimuli) in audiological diagnosis. Commenting upon the value of this technique, Sohmer and Kinarti (1984) state:
"The auditory evoked potential which has made the greatest impact on auditory diagnosis is the auditory nerve-brainstem evoked response (ABR). Since the click stimulus is most effective in synchronously activating a maximal number of nerve fibers, it is the preferred stimulus in eliciting ABR. Many studies have shown that the objective electrophysiological audiometric threshold to the click corresponds best to the average subjective audiometric threshold in the 2-8kHz range."
Given the two considerable advantages of the BAEP that it may be recorded without difficulty at all levels of arousal and also in infant and neonatal populations, many attempts have been made to extend the use of this response to providing more frequency specific information. The most significant problem here has been ensuring that responses actually originate from a discrete (frequency specific) region of the basilar membrane and not from generalised cochlear activity. A number of techniques have been used firstly to try and limit extraneous (high) frequencies from within the click stimulus (so called filtered clicks), but these have not been successful in localising activity to the apical regions of the basilar membrane (Kinarti and Sohmer, 1982). Another approach to the problem has been to deliver a click stimulus (thereby achieving maximal neural synchrony) in conjunction with white noise masking to limit the acoustic spread of the stimulus (Teas et al., 1962). Refinements of this procedure have attempted to selectively mask at different nominal frequencies and thereby derive (by subtraction of adjacent traces) the contributions of different frequencies to the overall BAEP (Don and Eggermont, 1978; Don et al., 1979; Parker and Thornton, 1978; Laukli and Mair, 1986; Mair and Laukli, 1987). The major drawback with complex masking procedures is the practicality of their implementation within the clinical situation. In the introduction to this chapter it was mentioned that the demands of clinical ERA are such that results need to be obtained quickly and accurately from often less than ideal (i.e. not relaxed or uncooperative) patients. Therefore procedures must be sufficiently robust and speedy to obtain the
maximum amount of information in the shortest possible time. Derived band masking paradigms require a considerable amount of data processing and calculation before a diagnosis can be reached. All this is very time consuming and might make such techniques not ideally suited to the clinical environment (Sohmer and Kinarti, 1984).
The simplest and most frequency specific method of stimulating the cochlea is by delivering a tonal stimulus with a slower ramp time which possesses far less spread of energy away from the nominal frequency. Such stimuli have been used successfully in MLR and SVR recording as neural synchronisation is not an essential requirement (Picton et al., 1974; Vivion et al., 1980). Given the less synchronous neural activity implicit with tonal stimuli, it follows that the frequency composition of tonal BAEPs is different to when clicks are used (Davis, 1976; Suzuki et al., 1977; Kodera et al., 1977; Davis et al., 1985). Therefore, in order to record tonal brainstem responses, modifications of the established techniques are necessary such as opening the filter settings to admit the lower frequencies that BAEP identification depends upon. This final section of literature presents some of the experimental work which has been conducted on tonal brainstem responses, the recording parameters which have been favoured and the degree of success which has been achieved in obtaining frequency specific information near audiometric threshold.
Kodera et al. (1977) examined the BAEP to tonal stimuli (500, 1000 and 2000Hz) in 10 normal subjects (age range 20-33 years). All subjects were tested during sleep using a vertex to ipsilateral mastoid electrode derivation using a filter bandpass of 16-1000Hz (3 and 6 dB/oct. slopes). Stimuli with 5 msec. rise/fall times (no plateau) were delivered at a rate of 10/sec. and 2000 responses were collected in each average. Kodera and colleagues reported good threshold correlation for all three stimuli with mean BAEP estimates of 15.5 ± 3.5 (500Hz), 16.5 ± 3.9 (1000Hz) and 16.5 ± 3.2 (2000Hz) respectively. Kodera also found that wave V response latency was inversely related to stimulus frequency (i.e. wave V was of
longer latency the lower the frequency of the stimulus). With the 500Hz stimulus, the latency of this component ranged from $10.0 \pm 0.5$ msec. (at 50dB SL) to $13.8 \pm 1.3$ msec. (at 20dB SL) in comparison with the 2000Hz stimulus where the corresponding latencies were $8.3 \pm 0.5$ msec. and $10.2 \pm 0.3$ msec. respectively. The data presented by Kodera et al. (1977) shows encouraging approximations to behavioural threshold with tonally derived BAEPs in both normal subjects. The far longer latencies of the wave V component again illustrates the broader boundary definitions which are required when considering the BAEP to tonal stimulation and the apparent limitations of Picton et al. (1974) classification of BAEPs and the MLR when applied to the tonal brainstem response. The differences in wave V latency with 500, 1000 and 2000Hz stimulation might imply that these stimuli were selectively stimulating different populations of cochlear neurons and hence were frequency specific because of the extra time required for the low frequency stimulus to reach its locus of maximum excitation in the apical cochlear region. One possible criticism of this work is that objective threshold estimates may have been underestimated because Kodera and colleagues compared 5 msec. tone pip objective responses with pure tone subjective thresholds. The pure tone stimuli used for subjective audiometry are of longer durations and ramp-times in order to ensure good frequency specificity. It is therefore possible that subjective estimates would have been elevated with the shorter duration tone pips and thus subjective - objective threshold differences could have been smaller than those reported.
Hyde et al. (1987) examined threshold estimates made using tonal brainstem responses in a group of 4 month old children. A large number of 'normal' children ($n=230$) were screened during natural sleep using click stimuli (0.1 msec. duration) and tone pips (2 msec. rise/fall time and 1 msec. plateau) of frequencies of 500 and 4000Hz. The stimulus repetition rate chosen was 35 presentations/second. The criteria of normality applied was that the children had
been delivered without complication and were without any known risk factors. The recording bandwidth used for the click stimuli was 150-3000Hz and 30-3000Hz for the tone pips. Responses were recorded from a forehead to ipsilateral mastoid derivation. Hyde and colleagues first determined the click evoked BAEP to give an indication of general cochlear function. If a clear response to the click stimulus was obtained below 30dBnHL (referred to a group of twenty normally hearing adults), then the child was deemed to be 'normal' by existing standards and was then tested using the tonal stimuli. Normality for 500 and 4000Hz tone pip responses was considered as a clear wave V component at or below 40dBnHL. Hyde and colleagues reported that normal click responses (i.e. below 30dBnHL) were obtained bilaterally in 84% of cases. Failure to record successful responses in the remaining 16% was attributed to 'unsatisfactory' recording conditions (not sleeping or excessive myogenic artifacts). The detection of wave V to both tonal stimuli was worse than for the click. With the 500Hz tones, only 59% of babies exhibited a wave V component at the 40dBnHL level and even at 50dBnHL responses could only be obtained in 78% of cases. The situation was much improved using the 4000Hz tone pips with 83% and 92% detection of wave V at 40 and 50dBnHL respectively.
Figure 4.8 compares the morphology of the BAEP with the three different stimuli used in an infant with normal hearing (Hyde et al., 1987) This figure shows the progressive reduction in the frequency composition of the BAEP with decreasing stimulus frequency. The choice of filter bandpass for the tone pip stimuli (30-3000Hz) must be considered here. The poor definition of the 500Hz response at quite high stimulus intensities (40 and 50dBnHL) can also be seen as a function of the filtering parameters chosen. Kavanagh and Domico (1986) and Kavanagh et al. (1988) have suggested that the frequency composition of the brainstem and middle latency responses contains far greater amounts of low frequency activity centered around 10Hz to tonal stimuli delivered at low intensity. It is possible that Hyde et al.
Figure 4.8 Click and tonally evoked (500 and 4000Hz) BAEPs from a normally hearing infant (Hyde et al., 1987).
have failed to record an evoked response to lower stimulus intensities because they have effectively filtered out this slow component by using a 30Hz highpass filter. As mentioned previously, Kavanagh et al. (1984) have suggested that detectability of the wave V component of the BAEP is improved when the low filter is dropped to 15Hz. The latency differences reported by Hyde and colleagues between wave V to the different frequency stimuli would suggest that different populations of cochlear neurons are being maximally stimulated (i.e. frequency specificity is being achieved). The sweep-time used for these recordings was 25 msec. again emphasising the need for a longer sweep to adequately visualise tonal brainstem responses. Hyde et al. (1987) reported a good success rate in detecting brainstem responses to click and 4000Hz tone pip stimuli in 4 month old children. Less success was obtained when using a 500Hz tone pip with only 59% of subjects exhibiting wave V at the 40dBnHL level. However, little more can be concluded from this experiment in the absence of follow-up data confirming or rejecting the diagnosis of normality in these babies. Riko et al. (1988) recently reported the current clinical status of their subject population. Whilst only 57% of these babies have been re-examined at this time, Riko and colleagues report a higher detection rate for wave V for 500 and 4000Hz tone pips at the 40dBnHL level of 87% in children aged about 1 year.
Bauch et al. (1980) examined the detectability of waves I, III, IV and V of the BAEP to click stimuli and tone pips (2 msec. rise/fall time 1 msec. plateau) of 1000, 2000 and 4000Hz. Seventeen normal adult subjects (age range 22 to 31 years) were tested in relaxed wakefulness using a vertex to ipsilateral mastoid derivation (filter bandpass 100-3000Hz). Bauch and colleagues reported that wave V was consistently recordable to between 10-15dBHL for all stimuli whereas all other components of the BAEP were far more variable and could only be consistently recorded to intensities of greater than 30dBHL. This finding would appear to indicate
that wave V is the component most likely to be detected near audiometric threshold for both click and tonally generated brainstem responses. Concerning the relative detectability of wave V to the different stimuli used, all frequencies generated wave V components in 90-100% of cases at the 20dBHL level. Below 20dBHL, detectability of wave V dropped dramatically to around 70% at 15dBHL, 40% at 10dBHL and 10% at 5dBHL. No significant differences were reported between stimuli. As in the Hyde et al. (1987) experiment, the choice filter bandpass (100-3000Hz) in this study may have negatively influenced response detectability near audiometric threshold by removing physiological slow activity present within the BAEP.
The data reviewed so far has demonstrated that tonal brainstem responses have been quite successfully obtained in adults to within 20 dBSL (Kodera et al., 1977). In children (the 'target' group), success has been less evident with lower frequencies being found harder to measure than higher frequencies (Hyde et al., 1987; Riko et al., 1988). It has been suggested that response identification may have not always been assisted by the excessive filtering of low frequency response activity in some of these studies. It is also clear that the clinical strategies formulated using upon tonal BAEPs do not regard the brainstem response as a series of high frequency waves (I to VI) occurring within the first 8 msec. after stimulus onset (Picton et al., 1974). Whilst for higher frequency tone pips (i.e. 4000Hz) other components of the BAEP may be recorded, for lower frequency tones, the frequency specific BAEP is interpreted as the slow (lower frequency) positivity (upon which the wave V component is superimposed), viewed over 20, 25 or 30 msec. sweep times.
Davis et al. (1985) presented a large body of clinical data obtained with tonally generated brainstem responses. The clinical procedure favoured by Davis and colleagues has been arrived at over many years experience and experimentation with all of the auditory evoked potentials. To summarise the methodology currently used
by Davis. 2-1-2 cycles/sec. stimuli are presented at frequencies of 500, 1000, 2000 and 4000Hz. Click stimuli are also used to assess general cochlear integrity. A filter bandpass of 50-1700 (24dB/oct.) is used and 2000 stimulus presentations are averaged at each trial. The stimulus repetition rate used is 27 presentations/sec. and a forehead to ipsilateral mastoid electrode derivation is employed. Figure 4.9 shows the relationship to hearing threshold of this Wave V-SN10 complex for 500, 1000, 2000 and 4000Hz stimuli in a six month old normal, sleeping child. This figure demonstrates that, in this case the wave V-SN10 complex is detectable down to 15dBnHL for all frequencies tested. At the 60dBnHL intensity, the 500Hz response is interesting as it illustrates the frequency-following response (FFR, see chapter 1) occurring with an onset latency of around 6 msec. The limited use of the FFR in the determination of audiometric threshold can be seen in this figure as it is only visible at the higher intensity levels. The sweep duration chosen by Davis et al. (1985) to adequately visualise the wave V-SN10 configuration ranges from 20 msec. (for the 4000Hz and 2000Hz stimuli) to 25 msec. (for the 1000Hz and 500Hz stimuli). Davis and colleagues estimates the thresholds for all four frequencies to be 10dBnHL though does not present data at this intensity level. Close examination of these responses reveals that there is very little difference in morphology between the wave V components recorded to both 4000 and 2000Hz stimulation and similarly between the 1000Hz and 500Hz frequencies. This could perhaps suggest that this method of testing is not sufficiently sensitive to distinguish these frequencies (i.e. between 4000 and 2000Hz and 1000 and 500Hz). Clinically this differentiation is not perhaps critical and it might be suggested that some indication of low frequency cochlear integrity (in the 500Hz to 1000Hz range) taken in conjunction with the established click protocol may be sufficient to establish a profile of a patient's hearing capabilities at different frequencies. As mentioned previously, the choice of bandpass (50-1700Hz) used by Davis and colleagues also may be excluding low frequency brainstem activity present at low
Figure 4.9 Morphology of the Wave V - SNIO complex near audiometric threshold using 500, 1000, 2000 and 4000Hz stimuli in a six month old, normally hearing infant (Davis et al., 1985).
stimulus intensities and frequencies. This discussion of the clinical possibilities of the tonal brainstem response has focussed on experiments which have used tone pip stimuli of short duration in order to evoke responses. The recording of click evoked and tonally evoked BAEPs differs in three ways: in terms of stimulus characteristics, filter bandpass and the analysis times which are recorded. Most commonly, stimulus characteristics of 2 cycle rise and fall time (with often a 1 cycle plateau) are used to evoked tonal brainstem responses (Suzuki et al., 1977; Davis et al., 1985; Hyde et al., 1987; Riko et al., 1988). The favoured filter bandpasses used for tonal recording, admit greater amounts of low frequency activity than is the case when click BAEPs are recorded. Low filter settings ranging from 0.16Hz (Stapells and Picton, 1981) and 0.5Hz (Suzuki et al., 1977) up to 30 and 50Hz (Davis and Hirsh, 1979; Jerger and Hayes, 1982; Davis et al., 1985) are commonly employed. Also noticeable when tonal BAEPs are recorded, is the necessity for viewing far longer sweep (analysis) times of EEG activity. Since tonal stimuli evoke responses of longer latency than do clicks, often 20, 25 and 30 msec. of activity are recorded as opposed to the 10 or 15 msec. required in the latter case.
4.9 SUMMARY.
This chapter has highlighted the clinical applications of the BAEP (to both click and tonal stimulation), the MLR, the 40Hz response and the SVR. This concludes the examination of relevant literature to the completion of this thesis. The following chapters present the experimental work carried out comparing the MLR and 40Hz responses to more established objective tests of auditory function. Chapter five sets the scene for the experiments which follow and re-states the precise aims of this thesis in the light of the literature cited.
5.1 INTRODUCTION - SUMMARY OF LITERATURE.
The literature review given in the previous chapters has given the reader some idea of why there is renewed interest in the auditory middle latency responses. Under the appropriate recording conditions, the BAEP, MLR, 40Hz response and SVR are all able to provide objective assessments of hearing threshold in the sense that the patient is not required to actively participate in the test procedure. This is desirable for both adult and child audiometry.
A further ideal requirement of audiological evoked response measurement is that of frequency specificity. Again this is of relevance to all patient age groups. In adult cases, frequency differentiation is important to establish hearing levels accurately if the clinician suspects that subjective findings are inconsistent. In child audiometry, frequency discrimination is useful to find out whether the patient has a broad spectrum deficit (encompassing a wide range of frequencies) or if there are regions of the basilar membrane (and hence a frequency range) which are still able to function normally. At present, the BAEP is routinely used to click stimulation in the clinical environment. This procedure is very effective in giving information concerning cochlear integrity at higher frequencies (>2000Hz, Eggermont, 1982). However, to date less reliable information has been obtained concerning the patient's lower frequency hearing capabilities.
Subjective variables such as age and arousal level must also be considered. As stated above, sedation is required to record responses in children. It is therefore important that the evoked potentials measured are resistant to attenuation or modifications brought on by changes in arousal level and also stable in a neonatal and infant population.
The following is a summary of the relative merits and drawbacks of the BAEP and SVR, the two most commonly used electrophysiological measures of hearing:
**The brainstem evoked potential (BAEP)**
**merits**
1. Stable in neonatal patients in addition to adults.
2. Resistant to modification at different levels of arousal (i.e. during sleep).
3. Consistently recordable to within 5-10dB of audiometric threshold to click stimulation.
**drawback**
1. Most successfully recorded to non-frequency specific stimuli such as a click, which is only capable of giving information about high frequency hearing thresholds.
**The slow vertex response (SVR)**
**merits**
1. Consistently recordable to with 10-20dB of audiometric threshold in adult subjects.
2. Responses may be recorded to frequency specific stimuli.
**drawbacks**
1. Variable and unreliable during sleep and drowsiness.
2. Variable and unreliable in neonates and infants.
The middle latency and 40Hz responses.
The drawbacks mentioned above have highlighted the need for further investigations into the third group of auditory evoked potentials, the MLR. These responses have been under-utilised clinically and remain controversial both in terms of their origins and applications (refer to previous chapters). The reasons for this controversy have been expanded on in the previous chapters and appear to be based largely upon widely differing experimental parameters being used by researchers. The 40Hz steady-state response (Galambos et al., 1981, see chapter 3) has generated new interest in the MLR and has been proposed as a frequency specific method of assessing auditory threshold at all levels of arousal and ages. This claim would appear to satisfy the shortcomings of both the BAEP and the SVR and provide the clinician with a frequency specific method of assessing auditory threshold in sleep or under sedation. Therefore further research appears to be justified in order to test these hypotheses.
5.2 DESCRIPTION OF EXPERIMENTS.
EXPERIMENT 1 A comparison of the SVR and 40Hz response in the frequency specific objective measurement of audiometric threshold in normal, waking adults.
This experiment investigated whether the 40Hz response could be used as an alternative to the SVR in threshold determinations with equal reliability. This work was aimed at providing the clinician with a possible additional or alternative method of auditory
assessment for adult patients. This is of particular importance if the SVR is considered unreliable.
Although performed upon adult subjects, the next experiment was designed to investigate the possible applications of the MLR and 40Hz responses with special relevance to a child population due to the almost universal requirement for sedation in this patient group.
**EXPERIMENT 2** The effects of sleep and sleep stage upon the middle latency and 40Hz responses to click and tone pip stimuli.
The first all-night sleep study was carried out in order to systematically investigate the precise effects of sleep stage upon the MLR and 40Hz response. An academic study with audiological applications, performed to examine changes in the morphology, latency, amplitude and frequency composition of these responses as arousal level changes to stimuli of different frequency.
The results of the sleep study suggested that the MLR was not a stable response at all levels of arousal with only BAEP components reliable. It was therefore felt that it would be informative to study the characteristics and threshold determinations using brainstem responses to tone pip stimuli using firstly the established brainstem protocol and then comparing this with a 40Hz procedure in sleep developed from the sleep study. This provided the basis for the following two experiments which were combined into one experimental chapter due to the small subject size in the latter experiment.
**EXPERIMENT 3** Brainstem auditory evoked potentials to click and frequency specific stimuli in normal relaxed adults.
i) Normal response characteristics
ii) comparison of subjective and evoked response thresholds.
This experiment was designed to describe the characteristics of the tone pip BAEP in terms of response morphology, latency and amplitude in comparison to the click BAEP used as a control. Following on from this objective threshold estimates were made using the tone pip BAEP recorded with conventional BAEP techniques. These conventional procedures were then compared to the thresholds obtained to tone pip stimuli in stage 2 and slow wave sleep using the BAEP generated to 10Hz and 40Hz stimulus repetition rates.
To summarise the aims of this thesis, the first goal was to compare the 40Hz response to the more established slow vertex response in the assessment of audiometric threshold. Therefore, experiment 1 (chapter 6) compares these two techniques in order to see whether the 40Hz response is able to measure thresholds with equal reliability to the SVR. The goal of chapter 7 (experiment 2) was to look at the nature of the MLR and 40Hz response recorded in sleeping subjects and compares them to those obtained in wakefulness. This work is necessary because sleep is a prerequisite for the clinical testing of infants and therefore before the clinical utility of the 40-Hz response can be examined in sleep, the characteristics of these potentials must be clearly defined. Section 3.5 (chapter 3) of this thesis has illustrated the controversy which surrounds the recording of middle latency potentials at different levels of arousal and therefore, if the data in this thesis is not to be similarly criticised, experiment 2 defines the influence of sleep and sleep stage upon the MLR.
At the outset of this research, the goal of experiment 3 was to clinically extend the data from the preceding experiment (2) looking at the 40Hz response as a method of obtaining frequency specific threshold estimates in somnolent subjects. However, experiment 2 revealed that sleep had a profound, attenuating effect upon the MLR and consequently
the 40Hz response. This meant that experiment 3 was redesigned to firstly characterise the BAEP recorded to tone pips and then to investigate the brainstem evoked potential using frequency specific stimuli. Although this represents a change in the direction of this thesis away from the middle latency response, the demonstration of the marked influence of sleep upon the MLR is an important finding. The second part of experiment 3 is a pilot study which attempts to combine the theoretical experience of sleep recording gained in experiment 2 with the actual threshold estimates obtained using the BAEP in the earlier part of that chapter. Using a 40Hz protocol (viewing 100 msec of post-stimulus time), frequency specific threshold estimates are compared to those obtained using established BAEP recording techniques in sleeping subjects with a view to improving existing techniques for assessing frequency specific brainstem responses. This summarises the aims of this thesis and the sequence in which the experimental research developed. The next section describes the subjects and recording equipment used.
5.21 The subject population.
This research project has been carried out upon audiologically normal, adult subjects drawn from the staff and student population of Aston University. It was decided to carry out this research upon normal subjects as it is necessary to establish a strong and reliable normative data-base for the MLR and 40Hz responses before it is possible to apply these potentials in the clinical arena. It is appreciated that caution is required when comparing results obtained from normal subjects with those obtained from patients with hearing losses. The limitations of such comparisons are discussed when appropriate within the experimental chapters of this thesis. At the Clinical Neurophysiology unit at Aston University (where this project was undertaken) the BAEP and SVR have been used routinely for many years. The middle latency and 40Hz responses have received little attention (for the reasons given above) and therefore, the need for standardisation of these responses in normative subjects was doubly important.
5.3 A DESCRIPTION OF THE RECORDING EQUIPMENT USED IN THIS THESIS INCORPORATING A DISCUSSION OF FOURIER ANALYSIS OF STEADY-STATE POTENTIALS.
Throughout this research, the recording equipment used has remained essentially the same. A Medelec Sensor ER94a four channel averager was used for all experiments in conjunction with an ST10 stimulator unit able to generate click and tonally specific stimuli. The filter characteristics for the ER94a are given below.
Figure 5.1 The filter characteristics for the Medelec Sensor ER94a
Data was stored on single density, double sided disks for analysis on an Apple IIe microcomputer and plotted on a Hewlett-Packard 7470A plotter. It was intended that frequency analyses would be performed on the 40Hz data presented in this thesis using a software package written by Medelec for the Apple IIe computer which offered a program for calculating fast Fourier Transforms (FFT) and appeared ideal for the off-line analysis of this data. Unfortunately, detailed examination of this program revealed serious difficulties with its implementation (namely its inability to remove trends from the raw data and its lack of a windowing facility). It was decided that data manipulations using this software were impossible without serious constraints being placed upon the validity of this data as the following discussion of the FFT and its role in electrophysiology will explain.
In order to use FFT analysis, it is necessary to remove trends from the data, secondly to remove D.C. (itself a form of trend) and thirdly to apply a windowing function in order to remove spurious frequency components from each end of the observation window under analysis. Rigorous attempts to rectify these shortcomings in the Medelec software were unsuccessful despite repeated discussion with the manufacturer. A theoretical discussion of the importance of trend removal and windowing will make readers of this thesis aware of the need for controlling these factors before frequency analysis is embarked upon.
Discussing trends first, acquired data (such as evoked potentials) is seldom representative solely of the parameter or parameters of interest. Consistent imperfections in response signals are called trends as distinct from random signal noise which are attenuated by the process of averaging. If such trends are not accounted for and removed from the waveform, they introduce spurious frequencies which FFT analysis will treat as deriving from physiological processes. Beauchamp (1973) demonstrated how trends may be removed mathematically from data through measuring the difference in amplitude between the beginning and end of the response epoch. From this information, it is possible to correct each data point within the trace by the appropriate fraction of this value as the following example will illustrate. If a response trace is generated in which the first and last data points are discrepant by $X \mu V$ over an epoch of $N$ msec., then the mean trend error $X_m$ induced is calculated as $X/N \mu V/msec$. Therefore, the contribution of this trend to each data point can be corrected by adjusting the signal voltage by the appropriate fraction of this mean according to its position in the trace. Thus a point exactly half way along the waveform ($N/2$) will have a new value of $X - (X_m/2)$ where $X$ is the uncorrected voltage and $X_m$ is the mean trend voltage for the whole waveform. Similarly, the first data point (in a trace comprising 1024 data points) will have an adjusted value of $X - (X_m/1024)$. Thus the effect of trend removal is to ensure that non-physiological data distortion is accounted for and that the assumption of periodicity necessary for Fourier analysis is not violated.
The second problem of high values at either end of the data epoch is the introduction of
spurious components into the frequency analysis. In order to remove these edge effects, it is necessary to apply a window function and the principles and practical details of windowing are now discussed. It should be stressed that simply removing trends is not adequate as sharp transitions of frequency are not attenuated by merely setting the ends of the trace to zero. It is these transitions which windowing seeks to reduce. Firstly, it is necessary to illustrate the inadequacies of leaving data unmodified with respect to windowing. Figure 5.2 shows the phenomenon of data truncation which is central to the generation of distortions in quasi-periodic functions (Lynn, 1982). Figure 5.2a shows a periodic signal $f(t)$ with a line spectrum $G(j\Omega)$. If the period of this waveform is given as $T_0$ sec., successive harmonic terms are spaced $\frac{2\pi}{T_0}$ radians/sec. apart. Thus the spectrum $G(j\Omega)$ represents the values of the various cosine harmonics. Truncation of the $f(t)$ function occurs if we assume that the waveform has zero values outside the limits $t = \pm T_0/2$. This assumption is valid given that only a small epoch of activity is being observed and we have no knowledge of the waveform's morphology outside the observation window. Figure 5.2b shows the truncated version of the original waveform $f'(t)$ with its spectrum $G'(j\Omega)$. Since $f'(t)$ is an aperiodic function, its corresponding spectrum $G'(j\Omega)$ is now continuous. It can be shown mathematically that the truncation process is equivalent to multiplying the original signal by a rectangular pulse (fig. 5.2c, left hand graph). The corresponding spectrum of the original waveform combined with the rectangular window is shown in the right hand graph of fig. 5.2c. In summary, viewing small epochs (observation windows) of periodic waveforms results in truncation of the spectral energy which is worsened as epoch size shortens. This leads to smearing of the relative magnitudes of closely related frequencies. Applying these theoretical considerations to evoked response recording, it can be seen that attempting FFT analysis on raw data acquired over short epochs is meaningless if the effects of truncation are not reduced. Having illustrated the shortcomings of rectangular windows (a problem which was insurmountable using the Medelec Sensor ER94a and Apple IIe software) the discussion will now turn to how truncation may be attenuated using windowing and superior computing facilities. From the arguments outlined above, it may be seen that a waveform of finite length $X(t)$ can be
Figure 5.2 The effect of signal truncation upon a waveform within the time domain and its corresponding effect upon response frequency (after Lynn, 1982). See text for details.
considered as equivalent to the product of multiplying an infinite train of random data $Y(t)$ with a finite rectangular window. Thus the Fourier transform of the modified time series $X(t)$ which includes unwanted additional frequencies (side lobes) as a result of truncation is given by:
$$X(t) = \int_{-\infty}^{\infty} X(t) \exp(-j\Omega t) \, dt = \int_{-\infty}^{\infty} Y(t) U_T \exp(-j\Omega t) \, dt$$
Where $U_T = 1.0$ for $0 < t < T$ and $0.0$ for $0 > t > T$.
$U_T$ is a measure of the magnitude of the effect of truncation in the time domain. Since distortions within the time domain will also effect the frequency domain $U(f)$, the Fourier transform of $U_T$ is given by:
$$U(f) = \int_{-\infty}^{\infty} U_T \exp(-j\Omega t) \, dt = 2T \cdot \sin(\Omega t)/\Omega t$$
The form of this function is given by $\sin X/X$ and is shown in the right hand graph of figure 5.2c. This truncation is compensated for by introducing a second multiplying function which modifies the characteristics of the weighting function $U_T$. This second function is known as a lag window which has the effect of reducing the amplitude of the frequency side lobes and broadening the width of the main lobe. The precise mathematics of such windowing may be found in many specialised sources (eg Beauchamp, 1973) and many variants exist which seek to modify finite waveforms and attenuate unwanted side lobes. Probably the most widely used window function is the Hanning window (Blackman and Tukey, 1959). The Hanning window is also known as the raised cosine bell function, other window functions have been proposed by Bartlett (1950) and Parzen (1950) which use slightly different weighting functions to modify the rectangular window. Figure 5.3 illustrates the different attenuation characteristics of various window functions as they are applied to a waveform. The question next arises as to the percentage of the data within a trace which should be windowed. Typically, 10% at either end is the agreed figure although some authors have suggested that a higher percentage is required in order to more fully compensate for the effects of truncation. In concluding this discussion of the
Figure 5.3 A comparison of different types of window functions and their effect upon the attenuation of extraneous frequencies (after Beauchamp, 1973). See text for details.
implementation of FFT procedures, it is clear that rigorous modifications of raw data are necessary if meaningful results are to be obtained from Fourier analysis. The research equipment used throughout this thesis was inadequate in this respect and therefore FFT data analysis could not be performed with confidence.
Returning to the details of the recording equipment used for this research, all experiments carried out on waking subjects used TDH-39 headphones manufactured by the Telephonics corporation, whilst for the sleep experiments, stimuli were delivered by an insert earpiece supplied by Medelec and compatible with the Sensor. According to the manufacturer's published literature, the frequency response for the TDH-39 headphone is essentially flat (± 5dB) over a 100Hz to 4000Hz frequency range. No published data could be obtained from Medelec for the insert earpiece.
In order to accurately score sleep stage during the all-night experiments, it was necessary to record ongoing EEG activity. This was done using a Nihon-Koden sixteen channel EEG machine linked to the Sensor via an analog to digital (A-D) converter. All experiments used standard silvered electrodes supplied by Nicolet Biomedical Instruments. In order to remove the influence of extraneous noise, all the experiments on waking subjects (performed during daytime) were carried out in a sound attenuated room designed especially for auditory investigations and regularly used for clinical audiometry within the neurophysiology unit. The all-night sleep studies were performed with the subject sleeping in an ordinary EEG laboratory because the sound-proof room was insufficiently ventilated for subjects to remain there for a 6 - 8 hour experimental protocol. Since this laboratory was quiet during the night, noise was not considered to be a confounding variable in these experiments.
As sleep studies played a major part in this thesis, the parameters decided upon for the analysis of sleep stage were reviewed in chapter 3 (section 3.5a).
5.4 SUMMARY.
This chapter has given a brief synopsis of the experimental aims of this thesis in the light of previous experiments and is intended to encapsulate the questions which this research project has set out to examine. A description of the recording system and subject population upon which this thesis was based is also important in order that the results of this project may be compared with other data. The precise procedural information relating to each individual experiment will be provided in the relevant chapters.
A COMPARISON OF AUDITORY THRESHOLD DETERMINATIONS USING THE 40HZ RESPONSE AND THE SLOW VERTEX RESPONSE (SVR) IN NORMAL, WAKING ADULTS.
6.1 INTRODUCTION.
The aim of this experiment was to compare the relationship between subjective and objective threshold estimates using the Slow Vertex Response (SVR) and the 40Hz response in a normal adult population. At present, the SVR is favoured clinically in order to obtain a frequency specific audiogram in an adult population because of its clarity in the majority of cases. There are, however, difficult to test patients in whom the vertex potential cannot be taken as reliable (Hyde, 1985) and it is these cases for whom alternative methods of objective audiometry are sought. Reasons for a reduction in the reliability of the SVR are numerous: the result of high levels of alpha rhythm within the EEG, an inability to remain awake and alert for the duration of the test, the presence of excessive levels of myogenic artefacts or alternatively conscious attempts by the patient to confound the experimental procedure (e.g. a noise-induced hearing loss claimant keen to over-emphasize a hearing loss and so gain financial reward). With this in mind, alternative auditory evoked responses have been sought which might equally well measure threshold. Since the 40Hz response reflects summed BAEP and MLR activity in waking subjects, it is possible that the problems encountered with the more rostrally derived SVR such as its susceptibility to drowsiness and changes in arousal level could be avoided using this test.
However, to date little consensus has been reached as to the clinical applications of the MLR in the three decades which have passed since the initial discovery. The development of the 40Hz response has, however, regenerated interest in the MLR as a possible frequency specific test of auditory threshold.
The previous chapters have described the principles and mode of generation of the 40Hz response. The clinical applications of this still relatively new, steady-state response are still being established. This experiment, therefore, attempted to examine whether the 40Hz procedure could provide accurate estimates of audiometric threshold in a group of normally hearing adult subjects. Comparison of threshold estimates made using both the SVR and 40Hz procedures would then allow for the latter response to be judged against a well established baseline (the slow vertex response).
Cases in which either the SVR or 40Hz response gave superior estimations of audiometric threshold were of special interest. If the SVR and 40Hz response can be established to measure audiometric threshold with the same degree of accuracy then it is possible to use these potentials interchangeably. The causes and possible implications of differences in threshold estimation using these two procedures will be discussed.
6.2 METHODS.
Twenty-one normal subjects with no history of otological disease participated in both SVR and 40Hz experiments (age range 21 to 30 years). Subjects were seated in a sound attenuated room for the duration of the experiment and asked to stay awake by reading a magazine or a book. In an attempt to ensure that subjects had not become drowsy, the on-going electroencephalogram was constantly monitored and a short break was allowed (around 10 minutes) in the middle of the experiment. Subjects were also observed using a close-circuit television.
The technical specifications of the Medelec Sensor (ER94a) and ST10 stimulator have been described in Chapter 5. Electroencephalic activity was recorded using silvered cup-electrodes attached to the vertex and both earlobes. Electrode impedances were maintained below $2K\Omega$ by using a saline gel and abrading the scalp gently with a blunted syringe needle. An electrode placed on the forehead served as a ground. Both sets of responses (SVR and 40Hz) were recorded at the same experimental session. Subjects were told to sit quietly and still for the duration of the experiment. Optimal recording conditions for the SVR require that subjects maintain a consistent and alert state of arousal in order that responses are not confounded by alpha rhythm. The most appropriate recording conditions for the 40Hz response have yet to be established. However, since controversy exists over the stability of the MLR and 40Hz responses recorded during sleep (Brown and Shallop, 1982; Erwin and Buchwald, 1986), it was decided to record the 40Hz in the same manner as the SVR, i.e. relaxed wakefulness. As all the subjects were bilaterally otologically normal, it was decided to test one ear (right) in each case.
Subjective thresholds to both stimulus types were found prior to objective recording at all test frequencies. Subjects were asked to register their perception of the sounds at systematically reduced intensities by pressing a button which lit-up a bulb in the laboratory. Subjective responses were judged absent if the subject failed to register the stimulus at three consecutive presentations at a given intensity. In order to reduce (though not eliminate) the possible effects of experimenter bias, subjective audiometry was performed by an experienced technician and the results kept from the experimenter until objective responses had been recorded and objective threshold established.
In accordance with the established clinical procedures used within the Neurophysiology Unit at Aston University, the SVR was recorded to positive tone bursts of 10msec. rise and fall time with a 250msec. plateau at a repetition rate of 1 per second. The frequency bandpass was set between 1Hz (-6dB/oct) and 30Hz (-12dB/oct). Single channel responses were recorded from vertex to ipsilateral earlobe with 32 sweeps of 1000msec. averaged and stored on Apple
The microcomputer discs for subsequent analysis. The four frequencies tested were 500, 1000, 2000 and 4000Hz with each of these frequencies being presented in random order between subjects. Monaural stimuli were delivered through standard TDH-39 headphones. The sensitivity of the recording system for slow vertex response recording was set at 20µV/division and an artefact rejection facility was used such that activity > 90% of the full scale deflection (4 divisions) set by the sensitivity (i.e. 90% of ±80µV) was rejected.
The recording of the 40Hz objective responses required different experimental parameters. The stimuli used were tone pips with rise and fall characteristics of 2 cycles and a plateau of 1 cycle resulting in a stimulus duration of 10msec. at 500Hz, 5msec. at 1000Hz, 2.5msec. at 2000Hz and 1.25msec. at 4000Hz. The inter-stimulus time was 25msec. and 512 sweeps were averaged for each response. 100msec. of post-stimulus activity was viewed and filters were set at 10 to 125Hz (with -6dB/oct and -12dB/oct. slopes respectively). The sensitivity of the recording system for 40Hz recording was set at 10µV/division with artefact rejection set at > 90% of the full scale deflection (4 divisions) which meant that 90% of ±40µV was rejected. Single channel responses were recorded from vertex to ipsilateral earlobe. The random sequence of frequency presentation was the same as with the SVR and responses were stored on computer in order to allow off-line analysis.
The criterion used to judge the accuracy of the cortical AER and the 40Hz steady-state response was the correlation between the evoked potential thresholds recorded at the four test frequencies (500, 1000, 2000 and 4000Hz) with the subjective thresholds obtained prior to testing. In both tests responses were recorded first at a high intensity (70dBnHL) to establish a clear positive result. Intensity was then systematically lowered in 5dB increments until the response could no longer be discerned. Threshold was then judged to be the lowest intensity at which a reproducible response was present on two out of three separate trials. Unlike the SVR, established detection criteria for the 40Hz response have not been universally agreed upon. If a response is being evoked within the subject, the 100msec. epoch of activity viewed in this experiment should be expected to show a rhythmic, sinusoidal
40Hz response possessing four clear peaks and four troughs. At the outset of the experiment the presence of all these components was considered necessary in order to score a positive 40Hz response to a given stimulus. In the discussion of this experiment, the possibilities of scoring a positive 40Hz result should all these components not be visible (as was often found to be the case at lower stimulus intensities) is examined. In order to improve the reliability of the experimental data, responses were scored by two independent observers at the end of the experiment (Dr L. A. Jones and R. J. Baxter).
As the total time taken for the experiment was approximately 2 hours and it is well established that the cortical AER is susceptible to fatigue and boredom effects, it was decided to perform all the cortical tests first and the 40Hz after a short break in the middle of the experiment. Table 6.1 summarises the recording parameters used for each procedure.
| SVR | 40Hz response |
|----------------------|------------------------|
| Filters (Hz) | 1-30 |
| No. stimuli/sec. | 1 |
| Sweep (msec.) | 1000 |
| No. averages | 32 |
| Stimuli | Monophasic tonebursts |
| | 10 msec. rise/fall |
| | 250 msec. plateau |
| Gain | 20 µV/div. |
| | 10-125 |
| | 40 |
| | 100 |
| | 512 |
| | Alternating tone pips |
| | 2 cycles/sec. rise/fall|
| | 1 cycle/sec. plateau |
| | 10 µV/div. |
Table 6.1 Summary of SVR and 40Hz response recording techniques.
6.3 RESULTS.
The data from this experiment was analysed in the following ways:
i) Histograms plotted of Subjective / Objective threshold difference at the four different stimulus frequencies (500, 1000, 2000 and 4000Hz) using the SVR and 40Hz responses.
ii) Calculation of mean threshold differences between subjective and objective thresholds and ranges.
iii) Analyses of individual responses where either the 40Hz or slow vertex response was markedly better in objective threshold estimation than the other.
With special reference to point iii) above (though applying equally to all evoked response recording), the subjective state of subjects was carefully monitored during the period of testing. This was vital in order to predict and explain instances in which objective thresholds are poor because of obvious (and understandable) reasons (increased myogenic activity and/or the occurrence of alpha rhythm) and those subjects in whom recording was poor for no apparent reason.
6.31 Subjective-Objective threshold differences.
The accuracy of the SVR and the 40Hz responses was judged by the fidelity of the objective thresholds measured using these procedures compared with subjective threshold. Objective threshold was defined as the lowest intensity (within 5dBnHL) at which a clear SVR or 40Hz morphology could be determined at two out of three separate repetitions. The differences between subjective and objective threshold were then calculated and histograms plotted of these differences. If the objective threshold was higher (in terms of dBHL) than the subjective value, then the subjective minus objective calculation gave a negative number. If, however, the objective threshold estimate was lower than subjective threshold then the difference value was positive.
Table 6.2 shows the individual differences between subjective and objective thresholds for the SVR and 40Hz procedures at the four frequencies tested. The mean subjective500Hz
Mean difference = -11.2dBSL. Mean difference = -11.9dBSL.
Standard deviation = 8.4dBSL. Standard deviation = 9.7dBSL.
Range = -25 - +5dBSL. Range = -40 - +5dBSL.
| OC | 10 | 20 | -10 | 15 | 20 | -.5 |
|----|----|----|-----|----|----|-----|
| JG | 5 | 30 | -.25| 0 | 30 | -.30|
| KA | 10 | 30 | -.20| 0 | 20 | -.20|
| JM | 5 | 20 | -.15| 5 | 15 | -.5 |
| JR | 10 | 20 | -.10| 10 | 20 | -.10|
| KW | 10 | 20 | -.10| 20 | 20 | .20 |
| SG | 0 | 10 | -.10| 0 | 10 | -.10|
| WS | 15 | 10 | .5 | 15 | 10 | .5 |
| VV | 15 | 20 | -.25| 15 | 10 | -.5 |
| DT | 5 | 20 | -.15| 5 | 0 | .5 |
| AH | 15 | 20 | -.5 | 5 | 15 | -.10|
| MB | 10 | 20 | -.10| 5 | 20 | -.15|
| AE | 5 | 10 | -.5 | 0 | 5 | -.5 |
| MD | 0 | 10 | -.10| 5 | 5 | -.10|
| RD | 5 | 25 | -.20| 0 | 15 | -.15|
| LE | 10 | 30 | -.20| 5 | 20 | -.15|
| MR | 20 | 40 | -.20| 0 | 40 | -.40|
| RB | 10 | 35 | -.25| 5 | 25 | -.25|
| TP | 10 | 20 | -.10| 10 | 20 | -.10|
| RN | 5 | 10 | -.5 | 5 | 15 | -.10|
| SA | 20 | 20 | 0 | 20 | 20 | 0 |
2000Hz
Mean difference = -10.2dBSL. Mean difference = -11.7dBSL.
Standard deviation = 8.4dBSL. Standard deviation = 11.0dBSL.
Range = -25 - +5dBSL. Range = -35 - +10dBSL
| OC | 20 | 15 | .5 | 15 | 20 | -.5 |
|----|----|----|-----|----|----|-----|
| JG | 5 | 30 | -.25| 5 | 30 | .25 |
| KA | 0 | 10 | -.10| 0 | 15 | .15 |
| JM | 5 | 5 | 0 | 5 | 10 | -.5 |
| JR | 5 | 15 | -.10| 0 | 20 | -.20|
| KW | 5 | 20 | -.25| 10 | 0 | .25 |
| SG | 15 | 30 | -.15| 5 | 25 | -.25|
| WS | 5 | 10 | -.5 | 15 | 10 | -.10|
| VV | 5 | 10 | -.5 | 10 | 10 | .10 |
| DT | 0 | 20 | -.20| 10 | 30 | -.20|
| AH | 5 | 10 | -.5 | 0 | 15 | -.15|
| MB | 5 | 20 | -.10| 0 | 5 | -.5 |
| AE | 0 | 10 | -.10| 15 | 15 | .0 |
| MD | 5 | 10 | -.5 | 5 | 20 | -.15|
| RD | 5 | 10 | -.10| 10 | 20 | -.10|
| LE | 5 | 20 | -.15| 0 | 20 | -.25|
| MR | 5 | 10 | -.5 | 0 | 20 | -.25|
| RB | 5 | 25 | -.20| 5 | 30 | -.35|
| TP | 0 | 10 | -.10| 10 | 30 | -.20|
| RN | 5 | 20 | -.15| 0 | 15 | -.15|
| SA | 15 | 10 | 5 | 15 | 20 | 5 |
Table 6.2a Subjective thresholds, objective thresholds and differences for the SVR at 500Hz, 1000Hz, 2000Hz and 4000Hz.
500Hz
Mean difference = -14.8dBSL. Mean difference = -11.2dBSL.
Standard deviation = 9.8dBSL. Standard deviation = 7.4dBSL.
Range = -35 - +5dBSL
| | SUBJECTIVE | OBJECTIVE | DIFFERENCE |
|---|------------|-----------|------------|
| DC| 20 | 10 | -10 |
| LG| 15 | 40 | -25 |
| KA| 20 | 40 | -20 |
| JM| 15 | 40 | -25 |
| JR| 20 | 35 | -15 |
| KW| 20 | 35 | -15 |
| SG| 25 | 40 | -15 |
| WS| 20 | 20 | 0 |
| VV| 15 | 50 | -35 |
| DT| 20 | 30 | -10 |
| AH| 15 | 30 | -15 |
| MB| 10 | 30 | -20 |
| AE| 20 | 25 | -5 |
| MD| 15 | 25 | -10 |
| RD| 25 | 40 | -15 |
| LE| 25 | 40 | -15 |
| MA| 25 | 40 | -15 |
| RD| 15 | 25 | -10 |
| TP| 20 | 25 | -5 |
| RN| 15 | 10 | 5 |
| SA| 25 | 35 | -10 |
Range = -25 - 0dBSL
| | SUBJECTIVE | OBJECTIVE | DIFFERENCE |
|---|------------|-----------|------------|
| DC| 25 | 30 | -5 |
| LG| 15 | 40 | -25 |
| KA| 15 | 20 | -5 |
| JM| 15 | 25 | -10 |
| JR| 15 | 30 | -15 |
| KW| 15 | 25 | -10 |
| SG| 35 | 40 | -5 |
| WS| 15 | 20 | -5 |
| VV| 20 | 25 | -5 |
| DT| 15 | 20 | -5 |
| AH| 15 | 20 | -5 |
| MB| 15 | 20 | -5 |
| AE| 15 | 20 | -5 |
| MD| 15 | 20 | -5 |
| RD| 25 | 40 | -15 |
| LE| 25 | 40 | -15 |
| MA| 25 | 40 | -15 |
| RD| 15 | 25 | -10 |
| TP| 20 | 25 | -5 |
| RN| 15 | 20 | -5 |
| SA| 20 | 35 | -15 |
2000Hz
Mean difference = -13.3dBSL. Mean difference = -13.1dBSL.
Standard deviation = 7.2dBSL Standard deviation = 7.2dBSL.
Range = -25 - 5dBSL
| | SUBJECTIVE | OBJECTIVE | DIFFERENCE |
|---|------------|-----------|------------|
| DC| 25 | 30 | -5 |
| LG| 15 | 40 | -25 |
| KA| 15 | 20 | -5 |
| JM| 15 | 25 | -10 |
| JR| 15 | 30 | -15 |
| KW| 15 | 25 | -10 |
| SG| 35 | 40 | -5 |
| WS| 15 | 20 | -5 |
| VV| 20 | 25 | -5 |
| DT| 15 | 20 | -5 |
| AH| 15 | 20 | -5 |
| MB| 15 | 20 | -5 |
| AE| 15 | 20 | -5 |
| MD| 15 | 20 | -5 |
| RD| 25 | 40 | -15 |
| LE| 25 | 40 | -15 |
| MA| 25 | 40 | -15 |
| RD| 15 | 25 | -10 |
| TP| 20 | 25 | -5 |
| RN| 15 | 20 | -5 |
| SA| 20 | 35 | -15 |
Range = -25 - 0dBSL
| | SUBJECTIVE | OBJECTIVE | DIFFERENCE |
|---|------------|-----------|------------|
| DC| 25 | 60 | 35 |
| LG| 20 | 40 | -20 |
| KA| 25 | 30 | -10 |
| JM| 25 | 25 | -5 |
| JR| 20 | 25 | -5 |
| KW| 25 | 25 | 0 |
| SG| 20 | 35 | -15 |
| WS| 20 | 40 | -20 |
| VV| 20 | 40 | -20 |
| DT| 15 | 20 | -5 |
| AH| 15 | 30 | -15 |
| MB| 15 | 25 | -10 |
| AE| 20 | 25 | -5 |
| MD| 20 | 25 | -5 |
| RD| 25 | 40 | -15 |
| LE| 25 | 40 | -15 |
| MA| 25 | 40 | -15 |
| RD| 15 | 25 | -10 |
| TP| 20 | 25 | -5 |
| RN| 20 | 35 | -15 |
| SA| 25 | 35 | -10 |
Table 6.2b Subjective thresholds, objective thresholds and differences for the 40Hz response at 500Hz, 1000Hz, 2000Hz and 4000Hz.
objective threshold differences, the ranges of these differences and fidelity to audiometric threshold of the SVR and the 40Hz response are given in Table 6.3.
Table 6.3a The slow vertex response.
| Frequency Hz | Mean Dif. dBSL | S.D. dBSL | %Within 10dBSL | %Within 20dBSL | Range |
|--------------|----------------|-----------|----------------|----------------|-------------|
| 500 | -11.2 | 8.4 | 62 | 90 | -25 to +5 |
| 1000 | -11.9 | 9.7 | 57 | 90 | -40 to +5 |
| 2000 | -10.2 | 8.4 | 62 | 90 | -25 to +5 |
| 4000 | -11.7 | 11.0 | 48 | 90 | -35 to +10 |
Table 6.3b The 40Hz response.
| Frequency Hz | Mean dif. dBSL | S.D. dBSL | %Within 10dBSL | %Within 20dBSL | Range (Hz) |
|--------------|----------------|-----------|----------------|----------------|------------|
| 500 | -14.8 | 9.8 | 38 | 76 | -35 to +5 |
| 1000 | -11.2 | 7.4 | 62 | 90 | -25 to 0 |
| 2000 | -13.3 | 6.2 | 52 | 90 | -25 to -5 |
| 4000 | -13.1 | 7.2 | 53 | 90 | -25 to 0 |
Table 6.3 a and b. Mean differences, standard deviations and ranges between subjective and objective threshold for the SVR and 40Hz response.
Histograms were plotted for the SVR and 40Hz response at each of these frequencies. Figures 6.1 and 6.2 present the differences between subjective and objective threshold for both procedures in histogram form.
Figure 6.1 Subjective-objective threshold difference histograms for the SVR at frequencies of 500Hz, 1000Hz, 2000Hz and 4000Hz.
Figure 6.2 Subjective-objective threshold difference histograms for the 40Hz response at frequencies of 500Hz, 1000Hz, 2000Hz and 4000Hz.
An example of the relationship between stimulus intensity and response morphology of both potentials is given in Figure 6.3 a and b. This figure shows both sets of objective responses in one subject. The stimulus used was a 500Hz tone pip for both SVR and 40Hz procedures, the estimate of objective threshold is 10dBnHL which is equivalent to 5dBSL for both tests in this case. The response components are marked with arrows on the figure at the intensity of the objective threshold.
The similar mean threshold differences and ranges for the SVR and 40Hz response (Table 6.3 a and b) would imply that these two evoked responses are assessing audiometric hearing threshold with the same degree of accuracy in most cases. Using the Student t-test for related samples, no statistically significant difference between threshold estimates using SVR and 40Hz procedures could be established at any frequency. At 500Hz, $t = 1.65$; significance $= 0.115$; at 1000Hz, $t = 0.344$; significance $= 0.775$; at 2000Hz, $t = 1.41$; significance $= 0.174$; and at 4000Hz, $t = 0.603$; significance $= 0.553$. All these calculations are based on 20 degrees of freedom and demonstrate that no significant differences between the two procedures could be found for the 21 subjects used in this experiment (a significance of 0.05 or less would be required for 95% confidence in rejecting the null hypothesis).
6.32 Difference in threshold estimation using SVR and 40Hz response procedures.
Figures 6.4 and 6.5 show threshold assessment in two subjects for whom either the SVR (6.4 a and b subject VV) or 40Hz response (6.5a and b subject MR) was more accurately reflecting audiometric threshold than the other response.
Figure 6.4 a shows the characteristic reduction in amplitude and increase in latency of the N1-P2 configuration of the SVR as intensity is decreased until no longer visible below 5dBSL. Figure 6.4 b shows the equivalent 40Hz responses obtained at the same relative intensities.
Slow vertex response
500Hz stimulus
Subject AE.
Intensity (dBSL)
6.5
4.5
3.5
2.5
1.5
0.5
0
0
Non-stimulus run
-6.0 µV
100 msec
Figure 6.3a Morphology of the SVR at different stimulus intensities at a stimulus frequency of 500Hz (subject AE). Threshold is marked with an arrow.
40Hz response
500Hz stimulus
Subject AE.
Intensity (dBSL)
-1.0 µV
10 msec.
Figure 6.3b Morphology of the 40Hz response at stimulus frequencies of 500Hz, 1000Hz, 2000Hz and 4000Hz (subject AE). Threshold marked with arrows.
Slow vertex response
500Hz stimulus
Subject VV.
Intensity (dBSL)
55
35
25
15
5
0
0
Non-stimulus run
-10μV
100msec
Figure 6.4a The SVR recorded in subject VV using a 500Hz stimulus. Threshold is marked with an arrow.
Figure 6.4b. The 40Hz response recorded in subject VV using a 500Hz stimulus. Threshold is marked with arrows.
and stimulus frequency as Figure 6.4 a. At 55dBSL (top trace) a clear 40Hz response can be seen. At 35dBSL, the influence of enhanced myogenic activity upon the morphology of the response can be seen. The first recording at this intensity cannot be interpreted meaningfully because of increased myogenic activity. After recording was suspended in order to allow the subject to settle again, the second 35dBSL response was recorded and shows a clear response. At intensities of 30dBSL and lower, no recognisable 40Hz response could be determined even upon repeated testing in the absence of obvious muscular artefacts. The early positive deflection found in the first two repetitions at this intensity (arrowed), might suggest that some response is infact being evoked. But no clear sinusoidal morphology can be distinguished and therefore a negative finding has to be reported in this case. The reasons for this lack of success with the 40Hz response are not immediately apparent. If clear muscular contaminants were causing a distortion of the 40Hz rhythmicity, then it would be expected that these traces would resemble the first 35dBSL response discussed above. However, since recording conditions were favourable on this occasion, the variability of the 40Hz response in this subject (for no attributable reason) is not easily explained and is therefore a matter for discussion (see section 6.4).
The 40 Hz response shown in Figure 6.5a is relatively free of myogenic contamination and the characteristic sinusoidal morphology is present down to 20dBSL (and hence may be considered as a reasonable assessment of audiometric threshold). Conversely, Figure 6.5b shows the corresponding threshold estimates obtained using the SVR. No clear response may be seen at 35dBSL or below.
6.33 Reliability of results.
Since the overall accuracy of this experiment appeared acceptable, with by far the majority of estimates lying within 20dBSL, the number of threshold estimates occurring outside 20dBSL using both SVR and 40Hz procedures was small. Out of the twenty one subjects examined in
Figure 6.5a The 40Hz response recorded in subject MR at a stimulus frequency of 1000Hz. Threshold marked with arrows.
Figure 6.5b The SVR recorded in subject MR at a stimulus frequency of 1000Hz. Threshold marked with an arrow.
this experiment, the subjective - objective difference histograms (Figure 6.3) show that 3 (14.3%), 2 (9.5%), 1 (4.7%) and 3 (14.3%) of subjects gave threshold estimates of $\geq 20$ dB SL at 500, 1000, 2000 and 4000 Hz respectively. This means that across all four frequencies tested, 3.6% of subjects gave audiometric threshold estimates of 25 dB SL or worse using either SVR or 40 Hz procedures.
On purely qualitative grounds, it must be said that in scoring the presence or absence of the SVR or 40 Hz response at a given stimulus intensity, both independent judges found the 40 Hz response more difficult to assess. This might have been due to a greater familiarity with the SVR as it is a far more commonly used evoked potential. In terms of recording time, each procedure required around 45 minutes for all responses to be recorded.
6.4 DISCUSSION.
6.41 The SVR and 40 Hz response in the measurement of objective threshold.
The aim of this experiment was the comparison of the well established slow vertex response and the less clinically recognised 40 Hz response in the measurement of audiometric threshold in normal subjects. The results of this experiment (presented in the histograms Figs. 6.1 and 6.2), indicated that both the SVR and the 40 Hz response were able to assess objective audiological threshold to within 20 dB SL in 90% of subjects at all stimulus frequencies (except for 500 Hz tone pip, 40 Hz response, where only 76% of subjects were within 20 dB SL).
It is now necessary to relate the experimental findings presented here to existing literature concerning audiometric threshold determinations using SVR and 40 Hz procedures. Owing to the far longer established clinical history of the former response and the relative newness
of the latter, much more data has been published investigating the SVR than the 40Hz response.
Many workers have reported a very high fidelity of this response threshold. Cody and Bickford (1965) found (across 500, 1000 and 2000Hz stimulus frequencies), 43% of subjects had identical subjective and objective thresholds, 83% were within 5dB, 93% within 10dB and all subjects gave threshold estimates within 15dBSL. Other researchers have all reported that SVR threshold estimates can be obtained to within 20dBSL in 100% of normal subjects at a wide range of frequencies (Suzuki and Taguchi, 1965; Beagley and Knight, 1967; Beagley and Kellog, 1969; Jones, 1979).
Unlike the SVR, the precise effects of variations in subjective and methodological parameters upon the 40Hz are recently being discovered. Therefore, any experimental inter-comparisons often have to be considered against a background of different recording conditions. In a study similar to the experiment described in this chapter, Sammeth and Barry (1985) reported good correlations between the 40Hz response and subjective threshold in normal subjects (n=16). Using identical test frequencies (500, 1000, 2000 and 4000Hz) and very similar recording procedures to the methods described in this experiment, Sammeth and Barry reported the following mean differences between 40Hz objective and subjective thresholds (ranges in brackets):-9.38 dB (0- -20), -10.00 dB(0- -30), -9.38 dB (0- -15) and -15.63dB (-5- -25). This data shows similar correlations to those reported in the experimental work presented in this study (mean threshold differences in this experiment were: 14.8, 11.2, 13.2 and 13.1dB at the same test frequencies) though it is interesting to note that in Sammeth and Barrys' experiment the best correlation between subjective and objective threshold was found at a stimulus frequency of 500Hz and the highest difference was reported at 4000Hz which is the reverse of what would be expected using the SVR (Antinoro et al., 1969; Jones, 1979) and also not borne out by the 40Hz data recorded in this study. Lenarz et al. (1986), also recording from waking, adult subjects reported high correlations
between subjective and 40Hz objective threshold with 80% of subjects giving estimates within 10dBSL at 500, 1000, 2000 and 4000Hz test frequencies.
6.42 Differences between SVR and 40Hz threshold estimation.
Although 90% of subjects gave slow vertex response threshold assessment within 20dBSL (57% with 10dBSL, across all test frequencies), these figures do not appear to suggest the same level of confidence in the SVR recorded in this particular normal subject population as has been demonstrated by other workers. The increase in the general variability of these data might be explained by the specific choice of subjects in this experiment. Students were used as subjects because of their high availability. However, it could be argued that such a population may not necessarily be viewed as representative of the public at large and it is possible that boredom effects were more manifest in such a group than would be encountered in other populations. Science students, used to repeated requests for participation in research projects, may not have regarded the experimental environment as 'novel' and therefore were more prone to restlessness (i.e. increased EMG activity) than would experimentally naïve subjects or clinical patients. The increased variability of the SVR data presented in this experiment may have been caused by a high number of subjects within the group falling into Hyde's 'problematic 5%' in whom the SVR is unreliable for the reasons given above. The causes of poor threshold estimation using the vertex potential and how these factors might apply to the data given here, will now be examined.
Figure 6.5b presents the SVR recorded from one subject used in this experiment. These traces were difficult to interpret and threshold estimation in this subject using the SVR was a very poor 40dBSL (this was the worst estimate of threshold recorded using the SVR in all twenty one subjects tested at any stimulus frequency). By examining these traces, the reasons for poor threshold estimation can be explained. The top three traces show clear N1-P2 response (70, 50 and 40dBSL). However, at 30dBSL the morphology of the response is
far more variable. Three repetitions of the 30dBSL stimulus failed to produce a consistent finding. The first 30dBSL trace possibly shows the presence of a response. This uncertain finding demanded repetition and the second trace shows that there is little evidence of a response in this repeated presentation. A third repeat failed to resolve the ambiguity as it is not clear if a response is present or not due to the high amplitude of the background activity. Raising the stimulus intensity by 5dBSL revealed similar problems. The first trace would suggest the possible occurrence of a response at this intensity. Trace two shows a high level of alpha rhythm obscuring response detection. The bottom two 35dBSL repeats show no clear SVR components and therefore, no response is reported at this level of stimulation.
The second 35dBSL trace illustrates the susceptibility of the SVR to alpha rhythm. Equal in amplitude to the N1-P2 components of the vertex response (around 5μV), alpha renders the SVR uninterpretable in this case. The first and the second 35dBSL responses were recorded consecutively, with only moments between the two trials. The markedly different response morphologies (as a result of the alpha rhythm in the second trace) illustrates the striking changes that occur should alpha be present when recording the SVR. Here we see an example of a case in which the SVR provided a poor estimate of audiometric threshold. However, it is possible to predict this inaccuracy due to the large amounts of high amplitude rhythmic activity present within the background EEG. If this series of responses had been recorded from a clinical case in whom a hearing loss was suspected, the clinician would not report the patient's hearing threshold to be 40dB with any confidence. This is because it is impossible to tell whether this disappearance of the SVR waveform at 40dB is a result of an auditory deficit or background contamination. Since this subject was known to have normal hearing, the former reason may be eliminated and the SVR regarded as an unreliable measurement of threshold in this case.
What can the 40Hz response tell us in this case? Figure 6.5a presents this data for the same subject. The subjective state of the subject at the time of testing was not visibly different from when recording the SVR. 40Hz responses are recordable down to 20dBSL (20dB better than the SVR) and in the absence of any known confounding artefacts, the 40Hz response
would appear to be assessing audiometric threshold with considerably more success than the SVR in this case.
The effects of sleep upon the SVR are well established (Ornitz et al., 1967; Osterhammel et al., 1973). The consistency of the SVR in audiometric threshold determination has been known for two decades. What matters more than arousal level *per se* is the detrimental effects of fluctuations in attention levels upon response morphology. Keating and Ruhm (1971) found the greatest variability in objective threshold estimates made using the SVR in conditions of quiet (with no attentional cues) and the least variability in the response in subjects who were quietly reading throughout the experiment (i.e. maintaining a consistent but attentive level of arousal). Despite the constant monitoring of subjects with a closed-circuit television in this experiment, making subjects read during the experiment and allowing subjects to rest during the experimental period, many still reported experiencing drowsiness in an experimental protocol often lasting 1.5 hours and longer. Separating the combined effects of diminished attention and restlessness is not, however, easy. Subjects were often observed to be becoming drowsy both by EEG monitoring and by direct observation with a close-circuit television and (presumably realising this), startling themselves into wakefulness again. Another example of poor threshold estimation using the SVR is given in Figure 6.6a. The traces do not exhibit a significant amount of alpha rhythm, yet the responses of this normally hearing subject are largely disappointing at all stimulus intensities. At 70, 50, 40 and 30dBSL, it is possible to score the SVR as being present. However, at 25dBSL and lower, repeated trials could not elicit a consistent response and therefore the 30dB level is as close to threshold as may be accurately predicted using the SVR in this case.
Considering now the 40Hz response, the effects of arousal level are less certain. Figure 6.6b presents the equivalent 40Hz data for this subject. At 50 and 30dBSL a clear 40Hz sinusoidal morphology makes positive detection of the response relatively clear and easy. At 25dBSL a response is also visible. However, at lower stimulus intensities than 25dBSL, the 40Hz response ceases to be immediately distinguishable. The initial definitions of responSlow vertex response
500Hz stimulus
Subject JG.
Intensity (dBSL)
70
50
40
30
25
25
25
Non-stimulus run
-6.0 µV
100 msec.
Figure 6.6a The slow vertex response to a 500Hz stimulus in subject JG. Threshold marked with an arrow.
Figure 6.6b The 40Hz response to a 500Hz stimulus in subject JG. Threshold marked with arrows (25dBSL). Possible response components at 20dBSL also marked.
detection criteria (given in the experimental methods section) stated that a positive 40Hz would only be scored if all 4 peaks of the 40Hz response were present. In Figure 6.6b, at 20dBSL all the requisite components are not visible. However, repeated trials at this intensity revealed two consistent upward and downward deflections (marked on the figure) at latencies which would suggest that some response is in fact being evoked at this intensity.
The question now arises as to why the 40Hz response sometimes exhibits fewer components than expected particularly at low stimulus intensities? One possible explanation is that myogenic components are distorting the 40Hz response and disrupting its sinusoidal morphology. Alternatively, it could be suggested that there is an inherent variability in the middle latency response which renders it less useful in clinical diagnosis. In Figure 6.3b (see results section), it was commented that there was not always a uniform relationship between 40Hz amplitude and stimulus intensity. Chapter 2 discussed the role of myogenic components within the middle latency range and indeed one of the reasons for the limited use of the MLR clinically is the lack of reliability caused through enhanced muscular activity under certain conditions (Streletz et al., 1977). Even though an earlobe (as opposed to mastoid) reference electrode was used in this experiment in order to reduce the influence of myogenic artefact and reduce the influence of the post-auricular muscle potential, it is possible that the recording conditions used in this experiment (sitting and alert) were not conducive to optimal middle latency (and hence 40Hz response) recording.
At the completion of the main experiment, it was decided to re-test some of the subjects using an identical 40Hz procedure, except that rather than subjects sitting and reading for the duration of the test, they were asked to lie down and relax more fully (though not go to sleep). Eight subjects were selected in whom the 40Hz response had been considered poor in estimating objective threshold because of large myogenic artefacts. The 40Hz responses recorded from these subjects re-tested whilst sitting and reading and also whilst lying down (awake) are presented below.
All other experimental parameters were otherwise the same and as described in the experimental methods section (6.2).
| Subject | 500Hz sitting | 500Hz lying | 1000Hz sitting | 1000Hz lying | 2000Hz sitting | 2000Hz lying | 4000Hz sitting | 4000Hz lying |
|---------|---------------|-------------|----------------|--------------|----------------|--------------|----------------|--------------|
| JR | 15 | 20 | 5 | 5 | 15 | 15 | 15 | 15 |
| RD | 30 | 20 | 20 | 10 | 15 | 15 | 20 | 10 |
| VV | 35 | 5 | 10 | 5 | 20 | 5 | 20 | 10 |
| JG | 25 | 15 | 25 | 15 | 20 | 20 | 15 | 15 |
| SG | 15 | 15 | 15 | 5 | 5 | 5 | 5 | 0 |
| AH | 15 | 20 | 5 | 20 | 15 | 5 | 15 | 5 |
| BA | 15 | 10 | 10 | 10 | 5 | 5 | 10 | 10 |
| MR | 15 | 15 | 20 | 20 | 15 | 15 | 10 | 20 |
Mean 20.6 15 13.8 11.2 13.8 10.6 13.8 10.6
(s.d.) 8.2 5.3 7.4 6.4 5.8 6.2 5.2 6.2
Table 6.4 Threshold for the 40Hz response for selected subjects sitting and reading or lying down.
Figure 6.7a and b illustrates the 40Hz traces obtained from two of these subjects when lying down in relaxed wakefulness. Figure 6.7a was selected because it shows the subject VV who gave a poor 40Hz threshold estimation when sitting (shown in the results section fig. 6.4b). When re-tested lying down at the same test frequency (500Hz), the subjective-objective threshold difference was reduced by 30dBSL (fig 6.7a). Similarly subject RD (Figure 6.7b) gives a 10dB improvement. The most noticeable difference in threshold estimation was seen at 500Hz. However, looking more closely at Table 6.4, it is clear that the mean difference at
Figure 6.7a Repeated 40Hz response using a 500Hz stimulus in subject (VV), re-tested lying down as opposed to sitting (see figure 6.4b). Threshold marked with arrows.
Figure 6.7b Repeated 40Hz response in subject (RD) re-tested lying down as opposed to sitting. Threshold marked with arrows.
500Hz (20.6dBSL sitting compared with 15dBSL lying) is due primarily to only one subject (VV). Removing subject VV from the sample the new means at 500Hz are 18.5dBSL sitting (s.d. = 6.3) and 16.4dBSL lying (s.d. = 3.8). Performing statistical tests of significance on these data (Student's t-test), for all frequencies (with and without subject VV at 500Hz), no significant differences could be found between the sitting and lying protocols at the 95% level or higher. At 500Hz, $t = 1.39$; significance = 0.21: at 1000Hz, $t = 0.837$; significance = 0.43: at 2000Hz, $t = 1.49$; significance = 0.18: and at 4000Hz, $t = 1.26$; significance = 0.25.
It is now necessary to compare the 40Hz data (lying) with the SVR results for these eight subjects. Seven of these subjects took part in the main experiment (subject BA had left the department by the time of the retrospective study) and the following means and standard deviations were obtained for the SVR. 500Hz mean = 12.1 (s.d. = 9.5); 1000Hz mean = 17.1 (12.9); 2000Hz mean = 10.7 (7.3) and 4000 mean = 15.7 (6.7). Again statistical tests were performed comparing the threshold estimates using 40Hz procedures and the SVR for these subjects. Once more, no significant differences were found at the 95% level or better with the exception of the comparison between the 40Hz procedure lying down and the SVR at 4000Hz. At 500Hz, $t = 0.658$; significance = 0.35: at 1000Hz, $t = 1.51$; significance = 0.182: at 2000Hz, $t = 0.354$; significance = 0.736: and at 4000Hz, $t = 4.3$; significance = 0.004 (i.e. probability of rejecting the null hypothesis = 99.6%). Although this appears to be highly significant, some caution is required in interpreting this finding since the subjects were tested on separate occasions and therefore it is possible that the degree of relaxation was different between the two tests or that subject compliance was less favourable.
6.43 Other methods of assessing the 40Hz response.
The assessment of audiological threshold using evoked response audiometry usually relies upon the judgement of the clinician and his/her ability to define the lowest intensity at which response morphology can be discerned. The various strategies used to improve the
accuracy of this process were discussed in section 4.2 of this thesis. However, since the 40Hz response is a periodic 'steady-state' potential, recent research has investigated the possibility of analysing the waveform using frequency-based techniques such as Fourier analysis (Makeig and Galambos, 1983; Linden et al., 1985; Jerger et al., 1986). Stapells et al. (1987) have suggested that Fourier analysis offers a more objective method of determining audiometric threshold using the 40Hz response than can be achieved by the more traditional techniques of latency, amplitude and response peak measurement. Central to the frequency analysis of the 40Hz response is the measurement of the phase of the waveform and the phase variability between successive response averages. Phase, refers to the fraction of a cycle through which a wave has passed at a given instant and phase variability measures the degree of concordance between different waveforms. Thus, in electrophysiological terms, the 40Hz waveform may be defined with respect to its phase and the constancy of successive 40Hz averages may be measured in terms of phase variability. In order to interpret the literature which has examined 40Hz phase and its relation to audiometric threshold, some mention of the mathematics behind phase calculations is necessary. Mardia (1972) defined phase variance as:
\[
PV = 1 - \left[ \frac{1}{n} \sum_{i=1}^{n} \cos \phi_i \right]^2 + \left( \frac{1}{n} \sum_{i=1}^{n} \sin \phi_i \right)^2
\]
When \( \phi_i \) is the phase angle of the Fourier component of the ith sample and \( n \) is the number of samples. Fridman et al (1984) developed this into the component synchrony measure (CSM) which is calculated as:
\[
CSM = 1 - PV
\]
Jerger et al. (1986) proposed the phase coherence (PC) measurement defined as:
Phase coherence varies between 0 and 1.0. When the variability of the response is small PC tends to 1.0 and similarly, when variability is high, PC tends to 0. Phase coherence has become increasingly popular in investigating the 40Hz response and its relationship to audiometric threshold. Spydell et al. (1985) examined the consistency of phase measurements of the 40-Hz response near audiometric threshold to click stimulation reporting no significant change in phase to within 20dB of threshold. Stapells et al. (1987) examined the usefulness of phase coherence in the prediction of behavioural thresholds using the 40Hz response. Presenting 500Hz and 2000Hz tone pips at a rate of 39.1/sec. to waking adult subjects, the authors reported significant values of PC down to 6dB of threshold for both stimuli in comparison with the mean PC for non-stimulus control run. Furthermore, no significant measurements of 40Hz response amplitude (in comparison with a non-stimulus run) could be determined at 25dBSL and therefore it would appear that phase coherence offered a more acute measurement of threshold in this case. The other major requirement of a clinically useful test of audiometric threshold is speed of data acquisition. Stapells and colleagues (1987) claim that threshold estimates to within 10dBSL could be obtained in 3.6 min. and estimates to within 25dBSL in 60 sec.
These results would suggest that this technique offers considerable benefits and extends the usefulness of the 40Hz response. However, at present little data exists applying phase measurements to hearing impaired populations, children or sleeping subjects and more work is required before this technique can be extensively exploited clinically.
6.5 CONCLUSIONS.
Frequency specific estimations of audiometric threshold were made using the SVR and 40Hz response procedures in twenty one normally hearing subjects. In the majority of cases, both sets of potentials gave similar estimates of threshold. As only a very small proportion of threshold assessments were worse than 20dBSL with either response, this might suggest that a combination of SVR and 40Hz testing would be ideal in order to more successfully estimate hearing thresholds and that the SVR and 40Hz response may be used interchangably in the majority of cases. However, considering the constraints of time and cost which apply to the clinical environment, this suggestion is untenable. Whilst the SVR is able to provide consistent and easier to assess waveforms in the majority of cases, it would appear unnecessary to routinely prefer 40Hz responses. However, where it would be useful to include the 40Hz response within the clinical test battery is in patients (around 5% according to Hyde et al. 1986) who cannot be tested accurately using the SVR perhaps because of the occurrence of recurrent alpha activity. One interesting finding in this experiment was that the 40Hz response appeared subjectively to be more easily recognised (though was not statistically superior) in subjects who were lying down (awake) for the duration of the test as opposed to the responses recorded in subjects who were sitting down. This observation, reported by both independent observers, requires further corroboration and will be examined more fully in future work.
The aim of the experimental work described in this chapter was to examine the 40Hz response as a suitable alternative to the SVR in adult objective audiometry. In such a population, subjects may be tested in relaxed wakefulness (assuming an adequate degree of patient cooperation and compliance). A further problem is encountered when attempting to gain audiometric threshold in a child population namely, the SVR is too variable in younger subjects for reliable information to be obtained (Suzuki and Taguchi, 1965; Cody and Townsend, 1973).
Since sleep is an essential requirement in testing an infant or neonatal population (in order to record responses which are free from myogenic and movement artefacts), attention will now focus on the specific effects of changes in arousal level upon the middle latency and 40-Hz responses.
CHAPTER 7
CHANGES IN THE AUDITORY MIDDLE LATENCY RESPONSE AND 40HZ RESPONSE DURING ALL-NIGHT SLEEP RECORDING.
7.1 INTRODUCTION.
The aim of this experiment was to examine one of the characteristics of the middle latency response (MLR) which still remains controversial, namely its sensitivity to state of arousal. This debate is perhaps of greatest relevance to the potential usage of the MLR in neonatal and infant populations where natural or sedated sleep is an essential prerequisite for successful testing in most cases.
As discussed in previous chapters, it has not always been easy to separate the variables of sleep and age in many recent experiments (Kraus et al., 1987a; Stapells et al., 1988). This has led to uncertainty over whether changes in morphology attributed to one of these two variables can be postulated with any certainty given the presence of the other, i.e. can a change in waveform morphology, latency or amplitude occurring in a sleeping infant be attributed to immaturity, somnolence or an interaction of the two?
Much of the original work reported that the MLR was stable and reproducible in subjects of all ages with no differences found in the responses of children compared with adults (McRandle et al., 1974; Mendel et al., 1977; Wolf and Goldstein, 1978, 1980; Mendelson and Salamy, 1981). Recent research however has failed to reproduce these earlier findings in the younger age group either reporting no convincing responses or MLRs which bear little resemblance to those recorded in adults (Sprague and Thornton, 1982; Kileny, 1983).
Similar controversy has been reported in the literature concerning the effects of sleep and sleep stage on the MLR. In the 1970's changes in the MLR with arousal were found to be negligible with only some reduction in amplitude in sleep but very little change in latency or morphology in comparison with the waking state (Mendel et al., 1975). Again, this earlier work has been questioned with marked changes currently reported in the morphology of the MLR and particularly the latency of the later components of the response (Brown, 1982; Osterhammel et al., 1985; Erwin and Buchwald, 1986).
Scherg (1982), Suzuki et al. (1983a and b) and Kraus et al. (1987) have all strongly suggested that the main theme underlying these inconsistencies has been the variations in recording procedures (specifically filter bandpass) used by different research groups. Therefore, in order to control for the effects of maturation and to examine solely the effects of sleep and sleep stage upon the MLR and 40Hz response, an adult population of subjects was used in this experiment. In order to exclude the possibility of narrow filter bandpasses generating non-physiological distortions into the responses being recorded, it was decided to use wide filter settings.
Even considering the controversies that surround the MLR, interest in these potentials has increased recently with the advent of steady-state recording techniques (namely the 40Hz response) by Galambos et al. (1981). This response (discussed in previous chapters) has been reported to offer a sensitive, frequency specific method of assessing auditory thresholds independent of subject age and level of consciousness (Shallop and Osterhammel, 1983; Musiek and Donnelly, 1983; Linden et al., 1985).
This experiment resulted from clinical observations of the morphology of the 40Hz response recorded in young children referred to the Clinical Neurophysiology Unit at Aston University for brainstem investigations. Figure 7.1 shows 40Hz responses recorded from an infant with a normal BAEP as recorded to click and tone pip stimulation in sedated sleep. It can be seen that with bandpass filters of 10-125Hz (commonly used for 40Hz response recording), the
The 40Hz Response in Sedated Sleep.
Figure 7.1 comparison of 40Hz responses recorded from a normally hearing infant. Click, 3000Hz and 500Hz stimulation with bandpass filters of 10-125Hz and 10-3000Hz.
response showed the predicted sinusoidal waveform in accordance with established literature. However, with a wider bandpass of 10-3000Hz, the morphology of the waveform changed and appeared to consist predominantly of four individual brainstem responses with a significant attenuation in middle latency activity.
7.2 METHODS.
This study was designed to investigate changes in the 5Hz MLR and 40Hz response during all night natural sleep.
Responses were recorded in 10 normally hearing adults aged between 23-30 years (mean age 26 years, 4 male and 6 female) using the Medelec Sensor ER94a averager and ST10 stimulator unit. Continuous stimulation throughout the night was provided using an insert earpiece supplied by Medelec and compatible with the Sensor. The choice of the insert earpiece was made in order to provide maximum comfort and convenience for subjects during an experimental protocol lasting between 6 and 8 hours. Similarly, owing to the long experimental procedure, whilst it would have been ideal to conduct the sleep study in the sound-proof room, poor ventilation meant that this was inadvisable. Extraneous noise was not considered a likely source of error as all experimentation was carried out during the night.
Responses were recorded in Stage 2, Stage 3/4 and Stage REM sleep to click stimuli (100μsec.duration) and tone pip stimuli (2 cycles rise/fall time and 1 cycle plateau) delivered at frequencies of 500 and 4000Hz. Two stimulus repetition rates were chosen, 5/sec. and 40/sec. The 5-Hz stimulus repetition rate was chosen in order to observe any changes in the morphology of the transient MLR response which may occur at different stages of sleep. The 40Hz steady state response recorded at the corresponding levels of arousal could then be related to the composition of the transient MLR. All responses were stored on floppy disks on the Apple IIe microcomputer for detailed off-line analysis. Before commencing the
experiment, subjective auditory thresholds were measured for all stimuli at rates of 5 and 40Hz. Stimulation was maintained throughout the night at 45dB above these thresholds. This intensity was chosen as a compromise because it was considered sufficiently quiet as not to unnecessarily disturb the sleeping subjects whilst being loud enough to evoke an easily recognisable response. Sleep was continuously monitored on a Nihon-Koden EEG machine and accurate sleep scoring was performed using the criteria of Rechtschaffen and Kales (1968). When possible at least two responses were obtained in Stages 2, combined 3 and 4 and REM sleep for each stimulus condition in order to assess the reproducibility of the evoked potentials that were recorded.
The montage used for measuring EEG activity during sleep recorded from the vertex and referred to the mastoid ipsilateral to stimulation. This derivation was also used for evoked potential recording. In order to accurately score sleep stages, eye movements were monitored by electrodes at the outer canthi each referred to the same mastoid and myogenic activity was recorded between two electrodes on the chin. With the exception of the canthi electrodes (which were attached with Blenderm and Micropore tape for considerations of comfort), all other electrodes were glued to the head to ensure that they were secure for the duration of the experiment. After glueing, all electrodes were taped down with Blenderm and Micropore in such a way that they would not cause discomfort to the subject and were not likely to become dislodged. In order to prevent the earpiece delivering the stimulus from slipping out of the ear canal, this too was taped. All EEG, EOG and EMG activity was recorded throughout the experiment and written out on the Nihon-Koden EEG machine for rechecking at the end of the experiment. On-line sleep scoring was performed by Dr L.A. Jones.
Responses were recorded using wide bandpass filters of 0.3-3000Hz at 3dB down and slopes of -6dB and -12dB/octave respectively. The amplifier gain was set at a sensitivity of 50µV/division on the Sensor. The decision to use such a 'coarse' gain (thus potentially admitting EMG artefacts), was taken so that averaging was possible in slow wave sleep (SWS) where EEG amplitude can reach up to 200µV. The dangers of EMG contamination were
considered small, firstly because muscle levels tend to be lower in sleep than in wakefulness. Secondly, since all electrical activity was continuously monitored throughout the experiment, it was possible to suspend recording should myogenic contamination be suspected. The analysis time used for recording both 5 and 40Hz responses was 100 msec. and the number of sweeps recorded was 1024. After the sleep study was completed and on a separate occasion, responses were recorded during relaxed wakefulness using identical experimental conditions in order to compare the effects of sleep on the MLR with the normal waking response.
7.3 RESULTS.
At the end of the experiment, all the EEG activity recorded throughout the night was reanalysed by Dr Jones in order to ensure the accuracy of each sleep stage and to remove any responses which were recorded in mixed or uncertain sleep stages. All sleep staging was performed by Dr Jones.
7.3.1 Data analysis.
The nature of the recording equipment did present one difficulty with data handling in this experiment. Because of limitations to the software package provided for the Apple IIe by Medelec, the data recall and analysis facility did not allow for group averaged results to be calculated. Attempts were made to ask Medelec to rectify this shortcoming and program modifications were attempted within the Clinical Neurophysiology Unit with no success. However, since the subject sample size was small it was considered preferable to examine all data individually. All traces shown, however, are the average of two separate trials (where possible) as the addition of responses within subjects was possible with the recording system provided.
7.32 Latency changes in the MLR during sleep.
Despite its not being possible to group average response traces, numerical analyses of latency changes of response components were possible.
Graphical representations of the latency changes in wave V, Na and Pa in sleep using click and tone pip stimuli are shown in Figures 7.2, 7.3 and 7.4. Table 7.1a, b and c presents the mean latencies and amplitudes of all components recorded to the click, 500Hz and 4000Hz stimuli. The raw data relating to these values may be found in Appendix 1. These figures demonstrate that wave V remained stable throughout all stages. The Na component also appeared fairly stable in latency although its clarity and amplitude were reduced in sleep. Pa showed clear increases in latency from wakefulness through Stage 2 and Stage 3/4 sleep, returning to near waking levels in Stage REM. Analysis of these data using paired Student's t-tests, revealed that the differences in Pa latency between wakefulness and Stage 2 and wakefulness and Stages 3/4 were significant at the 5% level or better for click, 500Hz and 4000Hz stimuli. There were no significant differences in the latency of Pa between wakefulness and Stage REM. The Na component also showed significant changes in latency for the click stimulus between wakefulness and Stage 3/4 sleep ($p < 0.01$) and also between Stage 2 and Stage 3/4 sleep ($p < 0.02$). For the 500Hz stimulus, Na latency increases were also significant between wakefulness and Stage 2 ($p < 0.01$) and between wakefulness and Stage 3/4 sleep ($p < 0.03$). Significant changes in amplitude were also observed with variations in arousal level. Using click stimulation, the wave V-Na amplitude was found to be significantly reduced in Stage 3/4 sleep when compared with the waking state ($p < 0.02$). With the 500Hz stimulus, the wave V-Na reduction was also found when comparing wakefulness and Stage 2 ($p < 0.02$) and Stage 3/4 sleep ($p < 0.02$). In addition, the Na-Pa amplitude was also significantly reduced between wakefulness and Stage 2 sleep ($p < 0.03$). The exact t-test values can be found in Appendix 1. It is accepted that conclusions drawn from statistical tests on small subject sample sizes must be viewed with caution.
| Click | Wave V (ms) | Na (ms) | Na - Pa (mV) | Pa (ms) | Na - Pb (mV) | Pb (ms) | Na - Pbc (mV) |
|-------|-------------|---------|--------------|---------|--------------|---------|---------------|
| | Mean | 7.24 | 19.6 | 31.4 | 850 | 43.2 | 461 |
| | S.D. | 0.8 | 1.8 | 1.9 | 321 | 2.6 | 296 |
| | N | 10 | 10 | 10 | 10 | 10 | 10 |
| | Mean | 7.1 | 21.1 | 56.7 | 35.5 | 1159 | 48.4 |
| | S.D. | 0.75 | 1.8 | 4.2 | 393 | 5.8 | 467 |
| | N | 9 | 9 | 9 | 9 | 4 | 4 |
| | Mean | 7.25 | 22.1 | 467 | 38 | 1066 | 42.8 |
| | S.D. | 1 | 2.4 | 157 | 3.3 | 533 | 0 |
| | N | 8 | 8 | 8 | 8 | 1 | 1 |
| | Mean | 7 | 20.1 | 584 | 34.3 | 982 | 46.9 |
| | S.D. | 0.7 | 1.4 | 408 | 3.6 | 608 | 5.6 |
| | N | 6 | 6 | 6 | 6 | 5 | 5 |
Table 7.1a The mean latencies and amplitudes of all components of the MLR and wave V of the BAEP using click stimuli during wakefulness, stage 2, stage 3/4 and stage REM sleep. Standard deviations and numbers within each mean also provided.
| | Wave V (ms) | Na (ms) | Amplitude V. Na (nV) | Pa (ms) | Na- Pa (nV) | Nb (ms) | Pa- Nb (nV) | Pb (ms) | Na- Pb (nV) |
|----------------|-------------|---------|----------------------|---------|-------------|---------|-------------|---------|-------------|
| **Awake** | | | | | | | | | |
| Mean | 10.9 | 24.2 | 659 | 34.5 | 683 | 45.9 | 310 | 60.2 | 766 |
| S.D. | 0.9 | 1.4 | 108 | 1.4 | 325 | 2.5 | 281 | 3.7 | 279 |
| N | 9 | 10 | 9 | 9 | 9 | 9 | 9 | 9 | 9 |
| **Stage 2** | | | | | | | | | |
| Mean | 11 | 25.8 | 219 | 42.1 | 1242 | 50.7 | 607 | 57.6 | 378 |
| S.D. | 1.3 | 2.3 | 183 | 4.7 | 618 | 3.5 | 844 | 1.6 | 28 |
| N | 9 | 9 | 9 | 9 | 10 | 3 | 3 | 2 | 2 |
| **Stage 3/4** | | | | | | | | | |
| Mean | 11.2 | 26.2 | 278 | 42.9 | 1304 | 58.8 | 980 | | |
| S.D. | 1.3 | 1.8 | 271 | 4.8 | 669 | 0 | 0 | | |
| N | 10 | 9 | 8 | 8 | 6 | 1 | 1 | | |
| **REM** | | | | | | | | | |
| Mean | 11.2 | 26.2 | 678 | 36.4 | 635 | 44.6 | 394 | 50.8 | 490 |
| S.D. | 1.6 | 2.4 | 319 | 3.7 | 479 | 1.9 | 135 | 0 | 0 |
| N | 6 | 6 | 6 | 6 | 6 | 3 | 3 | 1 | 1 |
Table 7.1b The mean latencies and amplitudes of all components of the MLR and wave V of the BAEP using 500Hz tone pip stimuli during wakefulness, stage 2, stage 3/4 and stage REM sleep. Standard deviations and numbers within each mean also provided.
| | Wave V (ms) | Na (ms) | Amplitude | Pa (ms) | Na - Pa (ms) | Nb (ms) | Amplitude | Pb (ms) | Na - Pb (ms) | Amplitude |
|----------------|-------------|---------|-----------|---------|--------------|---------|-----------|---------|--------------|-----------|
| **4000Hz** | | | | | | | | | | |
| **Awake** | 75 | 20.3 | 628 | 20.9 | 745 | 41.3 | 523 | 53.9 | 524 | |
| Mean | 0.6 | 1.3 | 9 | 0.8 | 9 | 1.7 | 9 | 1.3 | 268 | |
| S.D. | | | | | | | | | | |
| N | 9 | 9 | | 9 | 9 | 9 | 9 | 9 | 9 | |
| **Stage 2** | 7.4 | 20.9 | 284 | 36.7 | 1150 | 48.4 | 0 | 0 | 1190 | |
| Mean | 0.6 | 1.3 | 9 | 3.2 | 9 | 1 | | | | |
| S.D. | | | | | | | | | | |
| N | 10 | 9 | | 9 | 9 | | | | | |
| **Stage 3/4** | 8 | 21.8 | 360 | 35.3 | 759 | 46.9 | 224 | 59.6 | 840 | |
| Mean | 1.6 | 1.7 | 8 | 4.6 | 7 | 2.4 | 196 | 0 | 1 | |
| S.D. | | | | | | | | | | |
| N | | | | | | | | | | |
| **REM** | 7.8 | 20.9 | 455 | 30.8 | 433 | 44.4 | 321 | 56.2 | 346 | |
| Mean | 0.7 | 1.9 | 8 | 2.7 | 8 | 2 | 186 | 2.5 | 75 | |
| S.D. | | | | | | | | | | |
| N | | | | | | | | | | |
Table 7.1c The mean latencies and amplitudes of all components of the MLR and wave V of the BAEP using 4000Hz stimuli during wakefulness, stage 2, stage 3/4 and stage REM sleep. Standard deviations and numbers within each mean also provided.
Figure 7.2 Changes in the mean latency of wave V, Na and Pa in wakefulness, stage 2, stage 3/4 and stage REM sleep using click stimuli.
Figure 7.3 Changes in the mean latency of wave V, Na and Pa in wakefulness, stage 2, stage 3/4 and stage REM sleep using 500Hz tone pip stimuli.
Figure 7.4 Changes in the mean latency of wave V, Na and Pa in wakefulness, stage 2, stage 3/4 and stage REM sleep using 4000Hz tone pip stimuli.
Amplitude changes with arousal level were also recorded for the 40Hz response. The mean amplitudes for each trace were calculated and paired t-tests performed comparing wakefulness, Stage 2, Stage 3/4 and REM sleep. Table 7.2a presents the mean amplitudes, standard deviations and subject numbers for the click, 500Hz and 4000Hz stimuli. Table 7.2b shows the t-test values obtained comparing different levels of arousal and their significance. Table 7.2b clearly shows that there is a significant reduction in 40Hz response amplitude in Stages 2 and 3/4 sleep compared with wakefulness for all stimuli (for click, $p < 0.001$; for 500Hz $p < 0.05$ and 4000Hz $p < 0.01$). Furthermore, for the click and 4000Hz stimuli there is also a significant reduction in amplitude in REM sleep when compared with wakefulness (click $p < 0.05$, 4000Hz $p < 0.01$). For the 500Hz stimulus, the value of $t = 2.49$ (significance = 0.055), which implies a probability of 94.5% of rejecting the null hypothesis. This figure just fails to achieve the 95% probability necessary to imply significance.
Turning now to the morphology of the 5Hz MLR and the 40Hz response in sleep and wakefulness, inter-subject variability in response latencies was increased in sleep. This was especially so for the later components of the response in slow wave sleep. The changes, however, were stable and reproducible in each subject with sleep stage. In the following series of figures (7.5 - 7.16), all data (5Hz and 40Hz) for all stimuli in wakefulness, Stage 2 sleep, Stage 3/4 sleep and Stage REM sleep are presented. In all the traces shown, negativity at the vertex is indicated by an upwards deflection. Considering first the 5Hz MLR these results would suggest that in Stages 2 and 3/4 sleep, Pa latency systematically increases and the Nb component become reduced or is absent; in cases where Nb is found to be absent, a broad positive component is formed. In addition, there is an overall reduction in the amplitude of the later part of the response in Stages 3/4 with no clearly defined responses in some cases. In REM sleep, the normal waking configuration and latencies reappear but overall amplitude is reduced. With respect to the 40Hz response, these results suggest that there is a marked reduction in amplitude in all sleep stages in accordance with the findings of other authors (Galambos et al., 1981; Brown and Shallop, 1982; Jerger et al., 1986).
Table 7.2a Mean amplitudes of the 40Hz response in wakefulness stage 2, stage 3/4 and stage REM sleep.
| Stimulus | AWAKE | STAGE 2 | STAGE 3/4 | REM |
|----------|-------|---------|-----------|-----|
| CLICK | 1.61 | 0.86 | 0.86 | 0.96|
| | 0.29 | 0.38 | 0.34 | 0.31|
| | 9 | 9 | 8 | 5 |
| 500Hz | 1.07 | 0.74 | 0.51 | 0.62|
| | 0.27 | 0.38 | 0.25 | 0.35|
| | 10 | 9 | 7 | 6 |
| 4000Hz | 1.01 | 0.7 | 0.61 | 0.68|
| | 0.25 | 0.21 | 0.2 | 0.17|
| | 10 | 10 | 8 | 8 |
Table 7.2b Paired t-tests comparing the amplitude of the 40Hz response between arousal levels. W= wakefulness, S2= stage 2 sleep, S3/4= stage 3/4 sleep, REM= Rapid eye movement sleep (sig.= significance).
| Stimulus | t | Sig. | Probability of rejecting null hypothesis (%) |
|----------|-------|------|---------------------------------------------|
| CLICK | W- S2 | 5.7 | 0.0007 |
| | W- S3/4| 7.11 | 0.0003 |
| | W- REM | 3.71 | 0.02 |
| 500Hz | W- S2 | 2.76 | 0.03 |
| | W- S3/4| 4.41 | 0.004 |
| | W- REM | 2.49 | 0.055 |
| 4000Hz | W- S2 | 3.19 | 0.01 |
| | W- S3/4| 3.97 | 0.005 |
| | W- REM | 4.86 | 0.001 |
Figure 7.5 The morphology of the 5Hz MLR (left) and the 40Hz response (right) recorded in wakefulness using click stimulation delivered at 45dBSL.
Figure 7.6 The morphology of the 5Hz MLR (left) and the 40Hz response (right) recorded in stage 2 sleep using click stimulation delivered at 45dBSL.
Figure 7.7 The morphology of the 5Hz MLR (left) and the 40Hz response (right) recorded in stage 3/4 sleep using click stimulation delivered at 45dBSL.
Figure 7.8 The morphology of the 5Hz MLR (left) and the 40Hz response (right) recorded in stage REM sleep using click stimulation delivered at 45dBSL.
Figure 7.9 The morphology of the 5Hz MLR (left) and the 40Hz response (right) recorded in wakefulness using 500Hz tone pip stimulation delivered at 45dBSL.
Figure 7.10 The morphology of the 5Hz MLR (left) and the 40Hz response (right) recorded in stage 2 sleep using 500Hz tone pip stimulation delivered at 45dBSL.
Figure 7.11 The morphology of the 5Hz MLR (left) and the 40Hz response (right) recorded in stage 3/4 sleep using 500Hz tone pip stimulation delivered at 45dBSL.
Figure 7.12 The morphology of the 5Hz MLR (left) and the 40Hz response (right) recorded in stage REM sleep using 500Hz tone pip stimulation delivered at 45dBSL.
Figure 7.13 The morphology of the 5Hz MLR (left) and the 40Hz response (right) recorded in wakefulness using 4000-Hz tone pip stimulation delivered at 45dBSL.
Figure 7.14 The morphology of the 5Hz MLR (left) and the 40Hz response (right) recorded in stage 2 sleep using 4000Hz tone pip stimulation delivered at 45dBSL.
Figure 7.15 The morphology of the 5Hz MLR (left) and the 40Hz response (right) recorded in stage 3/4 sleep using 4000Hz tone pip stimulation delivered at 45dB SL.
Figure 7.16 The morphology of the 5Hz MLR (left) and the 40Hz response (right) recorded in stage REM sleep using 4000Hz tone pip stimulation delivered at 45dBSL.
The following figures present a more detailed analysis of the changes in the 5Hz MLR and 40Hz responses in individual subjects who exhibited traces which were representative of the subject group. In all these figures, the vertical lines are drawn at the latency wave V of the brainstem response and at following 25 msec. intervals.
Figure 7.17a shows the effects of sleep and sleep stage upon the morphology of the MLR in another experimental subject. In Stage 2 sleep, Pa latency increases significantly. In Stages 3/4 sleep and REM sleep, Pa amplitude decreases with no clear later components. Figure 7.17b (right hand side of figure) shows the 40Hz response as being reduced in amplitude in all sleep stages.
In Figure 7.18a, wave V is seen to be stable throughout all stages of sleep and wakefulness. In Stage 2 sleep, Nb appears to be delayed. In Stage 3/4, Nb disappears leaving a single broad positive component. Nb and Pb are discernible again in REM sleep, but it can be seen that the overall response amplitude is reduced in comparison to the waking trace. Figure 7.18b (right hand side of figure) shows the corresponding effect upon the morphology of the 40Hz response in different stages of sleep. It may be seen that the 40Hz response is of reduced amplitude in Stages 3/4 in comparison to wakefulness.
All middle latency components are clearly seen in wakefulness in this third subject (Fig. 7.19a). However, in Stage 2 and Stage 3/4 sleep, the Nb component is lost and a large single positive is seen of latency intermediate to Pa and Pb. In addition, in Stage 3/4 sleep, the response amplitude is further reduced. In REM sleep, the normal response components are just discernible but response amplitude is greatly reduced. Figure 7.19b (right hand side of figure) shows that the 40Hz response is markedly reduced in amplitude in all stages of sleep and appears only to show mainly four brainstem responses with middle latency activity attenuated to a bare minimum.
Brainstem and Middle Latency Auditory Evoked Potentials in Sleep.
5Hz MLR 4kHz Stimulus 40Hz Response
Na Pa
Stage W
Stage 2
Stage 3/4
Stage Rem
500 nV
Subject: MB
Figure 7.17a Characteristic changes in the 5Hz MLR and 40Hz response (fig7.17b) recorded in one subject (MB).
Figure 7.18a Characteristic changes in the 5Hz MLR and 40Hz response (fig. 7.18b right) in one subject (TP).
Brainstem and Middle Latency Auditory Evoked Potentials in Sleep.
5Hz MLR
500Hz Stimulus 45 dB SL
40Hz Response
Stage W
Stage 2
Stage 3/4
Stage Rem
500 nV
20 ms
Subject: DT
Figure 7.19a Characteristic changes in the 5Hz MLR and 40Hz response (fig. 7.19b) in one subject (DT).
The frequency composition of the MLR (i.e. 40Hz periodicity) is the basis of the steady-state technique (Galambos et al., 1981). In comparing the morphology of the 5Hz MLR recorded in this experiment in different stages of sleep and wakefulness, it would appear that there is a shift in the spectral content (frequency composition) of the response during sleep with an increase in lower frequencies and a reduction in 40Hz activity. Therefore, because of this change, it might be expected that the resulting 40Hz response recorded in sleep would be different from that in wakefulness.
Considering the 40Hz response, it is clear that with the wide bandpass filter setting, the amplitude of these responses is reduced during all stages of sleep. In all subjects, the greatest amount of the 40Hz frequency was present in wakefulness with slow wave sleep causing a reduction in 40Hz (and commensurate rise in lower frequency activity) for the click, 500Hz and 4000Hz stimuli. REM sleep sees an increase in 40Hz sinusoidal morphology present within the MLR transient response, though the waking levels are not reached. With the click stimulus, there is a consistent and marked decline in 40Hz response amplitude through Stages 2 and 3/4 to REM sleep. This illustrates that the superimposition of successive response averages at the 40Hz stimulus repetition rate is achieved most successfully in wakefulness and REM sleep.
In SWS, as the frequency composition of the MLR (transient) changes, so the 40Hz response is less effectively generated. Even in slow wave sleep, there appears to be much less low frequency activity present in the 40Hz response in comparison with the 5Hz MLR transient. This is because the repetition rate of 40Hz effectively imposes its own filter upon the response attenuating activity below this frequency giving the appearance of a steady-state response. However, wide bandpass filtering reveals this to be primarily brainstem activity (wave V) repeated at 25msec. intervals. The 5Hz MLR transient shows very little 40Hz rhythmicity during slow wave sleep which emphasises the loss of later components of the MLR at this level of arousal.
7.4 DISCUSSION.
7.41 Changes in the morphology of the MLR during sleep.
The results of this experiment suggest that the morphology of the MLR changes markedly during sleep when recorded with wide bandpass filter settings. These changes were characterised by a lengthening in the latency of the Pa component in Stages 2 and 3/4 sleep and a loss or drastic reduction in the amplitude of the following Nb negativity. REM sleep saw a return to normal waking MLR morphology in some subjects but with overall response amplitude markedly reduced. All subjects demonstrated changes in sleep but certain subjects also exhibited the formation of a new positivity (of latency intermediate to Pa and Pb) in Stage 3/4 sleep. The loss of the later components of the MLR would appear to cause a shift in the spectral content of the response towards lower frequencies with a loss of the 40Hz rhythmicity present in wakefulness and an increase in the relative abundance of a new frequency maximum centred at a lower frequency.
These findings are in agreement with other published findings in this area. In the past decade, the work of Erwin, Buchwald and colleagues (1981, 1982, 1983, 1986) has also reported changes in the morphology of the MLR in different stages of sleep and the loss of the Pb component during SWS with its reoccurrence in REM sleep. At first glance this would appear to conflict with the work presented in this chapter where it has been claimed that it is the Nb component which is lost. Comparison of Erwin and Buchwald's (1986) work with the results of this chapter will clarify the position. Erwin and colleagues do not label the negative deflections of the MLR but only the wave V, Pa and Pb components. Therefore, Erwin and Buchwald interpret slow wave sleep as causing the loss of the Pb (P1) component whereas it is in fact the negative (Nb) component's disappearance which has caused this change in morphology. This discrepancy is only caused by differences in terminology and therefore Erwin's data are consistent with the results presented here. It would, however, appear to be more correct to describe the changes in the MLR in SWS as a loss of the negativity (Nb) and
not the positivity (Pb). The former description locates the changes as occurring between Pa and Pb whilst the latter could equally well apply to changes in morphology occurring after the Pb component. Section 3.5.3 (pages 110-118) examined the current understanding of the response generators of the MLR. To briefly summarise, animal research has demonstrated decreases in neuronal activity within the reticular activating system (RAS) and certain thalamic nuclei during slow wave sleep (Imeri et al., 1988). Erwin and colleagues have consistently correlated the disappearance of the Pb wave of the MLR to an origin within the RAS and cite its reappearance in REM sleep as the result of increased activity within the RAS. The results of this experiment also indicate similar changes in middle latency response morphology during sleep and therefore an origin for Pb within the RAS cannot be discounted.
MLR morphologies similar to those in this experiment have also been reported in studies examining the effects of anaesthesia (for example, Thornton et al., 1983, 1985; Heneghan et al., 1987). These authors and others have reported dose-related effects of inhalation anaesthetics such as halothane and enflurane (Thornton et al., 1985), isoflurane (Schmidt and Chraemmer-Jergensen, 1986; Heneghan et al., 1987) and fluothane (Prosser and Arsian, 1985), causing increases in latency of Pa ($p < 0.01$) and reduction or loss of the Pb component. Furthermore, these drugs were also reported to increase the latency of waves III and V of the BAEP also in a dose-related manner. Induction agents such as etomidate given I.V. were found to produce similar effects upon the MLR but did not alter peak latencies of BEAP components (Navaratnarajah et al., 1985; Thornton et al., 1985). Madler and Pöppel (1987) recorded MLRs in 30 patients undergoing major cardiovascular surgery. Patients were given flunitrazepam premedication and were induced with etomidate. Muscle relaxation was achieved using pancuronium. Anaesthesia was maintained with 50% nitrous oxide/5% oxygen mixture with bolus doses of fentanyl given prn (no specific doses of these drugs supplied by the authors). Click stimuli were delivered at a rate of 9.3/sec. and responses were compared with those recorded in relaxed wakefulness. Results showed attenuation of response amplitude under anaesthesia, delay in the Pa component and a loss or marked attenuation of Pb in all subjects. Fourier analysis of responses revealed that the principal
power of the responses in wakefulness (centred at 40Hz) shifted to around 10Hz in anaesthetised patients. The similarity of this body of data to the changes in the MLR reported in natural slow wave sleep in this experiment is striking. It might be suspected that the effects of anaesthesia is to suppress thalamic and RAS neurons in a similar way to natural sleep processes.
Interest in the morphology of the MLR during sleep and under anaesthesia is increasing as these components have been suggested as possible indicators of arousal state during surgery (Schmidt and Chraemmer-Jergensen, 1986). The highly emotive issue of awareness under anaesthesia is becoming increasingly a cause for concern with an estimated 7% of patients claiming awareness at operation (Breckenridge and Aitkenhead, 1983). Should the MLR continue to prove a sensitive indicator of arousal level as is suggested by the literature cited above and the data collected in this experiment, then its applications outside audiological threshold assessment would seem appropriate. However, precise investigations of the MLR and 40Hz response is necessary in order to establish and distinguish truly physiological differences with arousal (and anaesthetic) level from artificial distortions caused by methodological factors.
This shift in the frequency composition of the MLR during sleep as a result of the loss of the Nb component in slow wave sleep, has implications for the generation of the 40Hz response. This steady-state potential relies upon the inherent periodicity of the combined BAEP and MLR (25 msec. period) for the superimposition of successive response averages. It follows, therefore, that if there were a shift in the frequency composition of the MLR during sleep (as suggested above), then the 40/sec. stimulus repetition rate would no longer be appropriate for such a phenomenon to occur. This shift in frequency composition of the transient MLR (5Hz) could explain the corresponding reduction in amplitude of the 40Hz response during slow-wave sleep shown in the preceding figures.
Considering these changes in the MLR found in sleep, the associated amplitude reductions in the 40Hz response appears to be caused by a loss of 40Hz periodicity in Stages 2 and 3/4 so that response superimposition does not occur with the 40/sec. repetition rate. Secondly, there is a reduction in response amplitude during REM sleep but with the 40Hz response morphology still persisting. Therefore, in all stages of sleep, the BAEP and the Na component of the MLR seem to form the major part of the composition of the 40Hz response. Thus the 40Hz response recorded in sleep has ceased to be a steady-state potential. There is no superimposition of successive response averages due to the disappearance of the later components of the MLR which results in the loss of the sinusoidal morphology of the response. What is being recorded in sleep would appear to be a succession of brainstem responses (wave V) being evoked to each stimulus. As the 40Hz stimulus repetition rate (by definition) delivers a stimulus every 25 msec., four BAEPs are recorded within the 100 msec. sweep used in this experiment.
The question is now raised as to why these findings have not been reported previously. One of the principal reasons is that middle latency research has been most commonly conducted using narrow bandpass filters with the low filter set at around 10Hz and the high filter regularly set at 100 or 150Hz and sometimes even lower (Goldstein and Rodman, 1967; Mendel and Goldstein, 1069a and b; Mendel et al., 1975). Experimenter who have examined the MLR using wide bandpass filters (Suzuki et al., 1983a and b, 1987; Özdamar and Kraus, 1983; Kavanagh et al., 1984; Kraus et al., 1987, 1988) have also reported that the MLR possesses low frequency activity (at 10Hz and below). However, the work of Suzuki and colleagues and Özdamar and Krause failed to control adequately for level of arousal. Consequently, the frequency composition of the MLR reported by these authors was based on the combined responses recorded in both the waking and/or sleeping states.
The study of brainstem and middle latency responses carried out by Özdamar and Kraus (1983) using wide band filters (3-2000Hz) and reviewed in Chapter 3, illustrates this point. As well as the normal (sinusoidal) middle latency response configuration, they also reported
recording two other normal variants of the MLR waveform. The first possessed no Pb component and in the second, the Nb wave disappeared to produce a single broad positive component. These are strikingly similar changes to those we have observed in sleep. It could, therefore, be suggested that these variations of the MLR most likely reflect differences in level of arousal (see Chapter 3 for full experimental details). Arousal level was not controlled adequately in the Özdamar and Kraus experiment and although the authors state that their subjects were sedated for the duration of testing, responses were recorded either in relaxed wakefulness or in sleep.
Kavanagh and Domico (1986) found a second predominant frequency in the MLR at around 10Hz as well as the familiar 40Hz component in an experiment using bandpass filters of 0.2 to 8000Hz. These authors suggest that this 10Hz component is physiological in origin and is the component wave upon which the Pa and Pb waves of the MLR are superimposed. The results of the present experiment confirm the presence of this low frequency component and would suggest that it is increased in amplitude in slow wave sleep.
Further to the review of literature laid out in Chapter 3, much recent work has not always properly monitored arousal level whilst examining the effects of other subjective variables (such as age and maturation) upon the MLR. Filter bandpass can also be shown to be influencing response detectability in these experiments. Stapells et al. (1988) described morphological changes in the MLR as a function of age. The Stapells experiment (bandpass, 10-1000Hz with 6dB/octave slopes), was conducted upon sleeping children of undisclosed sleep stage and adults who were either awake or asleep. Firstly this means that the isolated or interactive effects of maturation, sleep, sleep stage and wakefulness cannot be separated. Secondly, the choice of 10Hz for the low filter would also have the effect of masking morphological changes in the MLR recorded in sleeping adults. This does not, however, preclude the possibility that maturational factors are also affecting the morphology of the MLR.
7.42 The consequence of narrow bandpass filtration upon the morphology of the MLR.
The separate effects of high and low pass filtration will now be considered. It could be suggested that the setting of the low filter at 10Hz or above may have the consequence of masking the changes in middle latency response morphology reported in this experiment. This hypothesis requires testing with FFT procedures allowing the comparison of digitally filtered responses with those recorded using wide bandpass filters in order to reproduce the experimental procedures favoured by some researchers. The requirements of an adequate FFT program have been discussed in chapter 5. Unfortunately, the Medelec FFT software was incapable of removing trends or introducing a windowing function in order to make these data suitable for frequency analysis. It is great importance to the validity of this data that future work will attempt to repeat this experiment using more powerful equipment able to perform frequency analyses in a reliable manner. The following discussion highlights the necessity for further work and examines the implications of filter distortions upon middle latency and 40Hz recording.
In Figure 7.1 (Introduction section of this chapter) 40Hz response data were presented from a sleeping child using wide and narrow bandpass filter settings within the clinical setting. The choice of a 125Hz high filter had the effect of 'smoothing' the morphology of the 40Hz response by attenuating high frequency components from the response. However, with the 3000Hz high filter, the characteristic sinusoidal morphology of the 40Hz response was found to be lacking with principally a succession of brainstem components (principally wave V) being present. The contribution of the MLR to the composite 40Hz response would appear to be markedly reduced in all stages of sleep in this case and the experimental results of this study corroborate this conclusion. Therefore, the setting of the high filter at 125Hz has had the effect of concealing these changes in 40Hz morphology which occur with sleep and arousal. Although the amplitude of the response is reduced, the use of narrow bandpass filters does
not allow the reason for this reduction to be visualised. Only with wide bandpass filters can the true morphology of the response be seen (i.e., a succession of four wave V components).
This experiment has illustrated that the middle latency response is clearly affected by changes in level of arousal in terms of latency, amplitude and morphology. The effects of reducing the systems bandwidth could not be directly tested but it is appropriate to explore how the experimental observations from this work coupled with the inferences of other researchers concerning filter bandpass might affect the clinical applications of the MLR and 40Hz response. Stapells et al. (1988) examined the morphology of the MLR and 40Hz response in eighteen infants ranging in age from three weeks to twenty-eight months (systems bandpass 10-1000Hz). All infants were tested in natural sleep. Stapells states:
"(In) all infant responses...........the component with the largest amplitude was the wave V to Na deflection. There seems to be no question, therefore, that the slow wave activity in the ABR wave V region is always the major contribution to the MLR, and for some infants this wave V region contains almost the only activity present".
The audiological implications of this are entirely in keeping with the results of this experiment, namely that the MLR is markedly attenuated in sleep and the 40Hz response primarily reflects brainstem activity. This means that the MLR can offer little in audiometric threshold estimation for children in whom sleep is a prerequisite for testing. However, some authors (whilst acknowledging the introduction of distortions with narrow bandpass), have proposed that it might still be advantageous (in terms of response detectability) to record the MLR and 40Hz response in this distorted form (Suzuki et al., 1983a and b; Musiek et al., 1984; Kraus et al., 1987a; Stapells et al., 1988).
Kraus et al. (1987a), supporting this proposition, described how the % detectability of the Na and Pa components of the MLR was significantly increased (P < 0.01) in all age groups (normal subjects ranging from 6 months to 20 years) when the low filter was raised from 3Hz (6dB/octave) to 15Hz (12dB/octave). Click stimuli (duration 100μsec.) were delivered at an intensity of 60-70 dBnHL in this experiment. This paper only confirms that the child subjects
(and not necessarily the adults) were sleeping during testing. Kraus' data would appear to suggest that raising the low filter to 15Hz and removing low frequency activity (physiological or otherwise) facilitated response detection of the MLR regardless of possible changes in the response with arousal level. If this enhanced detectability of Na and Pa could be established at lower stimulus intensities, then the higher (> 10Hz) filter setting would appear to be an advantage in audiometric assessment using the MLR in all age groups and at all arousal levels.
Setting the optimum level for the high frequency filter is also open to debate. It was the initial preference for severe high frequency filtering in earlier work which served to mask changes in the MLR in sleep. However, since it has been shown that the principal activity being recorded in sleeping subjects is brainstem, it perhaps would appear preferable to use a high filter setting more in keeping with BAEP recording parameters. Against this, Kavanagh et al. (1984) cautioned that whilst increasing the systems bandwidth from 15-100Hz to 15-3000Hz had little effect on response detection to a 500Hz tone pip near threshold, waveforms were qualitatively easier to identify when high frequency activity was removed from the response. In other words, high frequency activity made responses more difficult to visualise near threshold though the actual estimation of threshold was the same in both cases.
McGee et al. (1988) reported no significant differences in response amplitude or clarity with higher filter settings of 100, 300 and 3000Hz using 60dBnHL click stimuli but did not examine the morphology of the responses near threshold in this work. If the distorted 'MLR' and the 40Hz brainstem response can be detected to tonal stimuli more easily when recorded with a narrow filter bandpass, then this technique would appear to warrant further investigation. However, the dangers of excessive filtering have been strongly emphasised in this experiment and it would surely be in error to return to the era of the sixties and seventies in which important information (such as changes in MLR morphology in sleep) was lost through narrow bandpass filtration.
7.5 CONCLUSIONS.
This experiment has examined the changes in the MLR (recorded to a 5Hz stimulus repetition rate) and 40-Hz response during all-night sleep recording using wide bandpass filters to click and tone pip (500, 4000-Hz) stimuli. The results indicated that Stages 2 and 3/4 sleep caused significant increases in the latency of the Pa component of the MLR to all stimuli. In addition, Stages 3/4 sleep were responsible for removing the Nb component of the MLR within some subjects, the formation of a broad positivity of latency intermediate to the Pa and Pb components. This reduction in the Nb wave resulted in a loss of the familiar sinusoidal morphology of the MLR and a change in the frequency composition of the response away from 40-Hz towards 10-Hz. REM sleep demonstrated the return of the Nb component to the MLR though the overall amplitude of the response was smaller than in wakefulness.
As the result of the above changes in the MLR transient response recorded during sleep, the 40-Hz was reduced in amplitude in all subjects and in all stages of sleep. This was caused by a loss of 40-Hz periodicity in SWS and by an overall reduction in amplitude in REM sleep. Therefore, it is concluded that the 40-Hz responses recorded in sleep consists primarily of brainstem activity with very little contribution from the MLR components after Na. Due to unavoidable software limitations, the effects of changing filter bandpass could not be properly tested in this experiment. Future work will explore this aspect in greater detail.
Some authors have suggested that clinically speaking, it is possible that the distortions caused by narrow bandpass filtration may be an advantage in audiometric evaluations. However, this experiment has emphasised the precise, physiological nature of the MLR and 40-Hz response in sleep which is a necessary first step before clinical applications can be considered.
In addition to the theoretical discoveries made concerning the changes in the MLR during sleep, other clinically relevant questions were raised by this experiment concerning
audiological threshold assessment made with the BAEP using tonal stimuli. It was noted that during sleep, wave V was consistently being recorded to tonal stimuli at an intensity of 45dBSL at both 5 and 40Hz stimulus repetition rates. Particularly noticeable was the detectability of the 500Hz tone pip response made using the 40Hz procedure. This prompted the further investigation of tone pip brainstem responses to see if they could be successfully recorded at lower intensities in sleeping subjects at low and high (40Hz) stimulus rates. These are the experiments which will be described in Chapter 8.
BRAINSTEM AUDITORY EVOKED POTENTIALS TO CLICK AND FREQUENCY SPECIFIC STIMULATION IN NORMAL RELAXED ADULTS.
I) NORMAL RESPONSE CHARACTERISTICS.
II) COMPARISON OF SUBJECTIVE AND EVOKED RESPONSE THRESHOLDS.
8.1 INTRODUCTION.
The original objectives of this thesis were to investigate the MLR and 40Hz responses and to develop the clinical usefulness of these potentials. The results presented in the previous Chapter suggested that far from these responses being stable at all levels of arousal, there are significant changes in the morphology, latency and amplitude of the later components of the MLR especially noticeable in stages 2 and combined 3/4 sleep when using wide bandpass filters. This result has serious consequences for the generation of the 40Hz response which ceases to be a steady-state potential during these stages of sleep but rather primarily consists of brainstem activity. The persistence of the brainstem auditory evoked potential (BAEP) during sleep is well known (Jewett and Williston, 1971; Picton et al., 1974) but a point of interest raised from the previous experiment was the ease with which the BAEP could be detected using tone pip stimuli at the 45dBSL intensity level. The use of click stimuli in generating the BAEP is also well established but less information is known about the
characteristics of the BAEP recorded to tone pips and the use of these potentials in measuring hearing thresholds.
With this in mind, attention was next focussed upon the possibility of developing the brainstem evoked potential in frequency specific assessment. Chapter 4 has described the more restricted use of the BAEP to date in this capacity in comparison to its more common role (i.e. in non-frequency specific assessment using click stimuli). Problems have been encountered in recording BAEPs to tone pip stimuli both in ensuring adequate frequency specificity and also detecting responses at lower stimulus intensities. Alternative strategies of obtaining frequency specific BAEPs have emerged in which more complex stimuli are delivered (for a review refer to Jacobsen, 1985). The value and limitations of these techniques will be discussed at the end of this chapter and these findings put into context with the results shown here.
The potential advantages of frequency specific BAEPs over those generated to clicks is the additional clinical information concerning the precise nature of a patient's hearing loss. The click is only able to provide information concerning auditory acuity at frequencies in excess of 2000Hz (Sohmer and Kinarti, 1984). This means that a normal BAEP recording to click stimulus can give little information concerning a low frequency cochlear deficit and an elevated BAEP objective threshold to a click stimulus is insensitive to a patient with normal hearing capabilities at lower frequencies. It is important for the clinician to know if a patient does possess some auditory integrity at a given frequency in order that an appropriate hearing aid may be prescribed.
8.11 Explanation of the structure of this experiment.
This chapter combines data from two experiments. Firstly, twenty subjects were examined in order to determine the normative characteristics of the BAEP recorded to tone pips.
Subsequently, the same twenty subjects were then investigated in order to determine hearing thresholds to tone pip and click stimuli. This threshold data was then compared to similar estimates recorded during an all-night study in four subjects (three of whom were common to both experiments) tested on a separate occasion.
The first part of this chapter describes the morphology, latency and amplitudes of components of the BAEP generated to tone pip stimuli in comparison to click evoked responses recorded as a control. The results of this experiment are then discussed. The second part of the chapter examines the two methods of determining objective hearing thresholds using tone pip and click stimuli.
The first technique records tone pip responses over short epochs in accordance with conventional BAEP methodology. The second technique was developed from the previous experiment (chapter 7) which suggested that detection of tone pip responses may be improved using a 40Hz repetition rate and viewing 100msec. of post-stimulus time when using wider bandpass filters normally reserved for BAEP recording. It was felt that the 100 msec. analysis time and 40Hz stimulus repetition rate provided the experimenter with an improved chance of detecting the wave V component to tonal stimuli because four consecutive responses presented within the same epoch were easier to detect than a single brainstem response viewed over a smaller time window.
As brainstem responses to lower frequency tones are difficult to detect near threshold because of their low amplitude and uncertain morphology, this comparison is of potential clinical value as the 40Hz protocol may provide a more accurate assessment of subjective hearing thresholds (especially at lower frequencies) than conventional BAEP methodology. One of the aims of this experiment was to test this hypothesis.
8.2 METHODS
8.21 Normal response characteristics of the BAEP recorded to tone pips and click stimulation.
Twenty subjects (male and female) were used in this experiment with an age range of 18-42 years (mean 25 years). No subject had any hearing difficulties nor history of otological disease.
As in the previous experiments, the Medelec Sensor ER84a four channel averager was used (described in Chapter 5). Monaural stimuli were delivered using the Medelec ST-10 unit. The stimuli were alternating tone pips of 5 cycles duration (2 msec. rise/fall and 1 msec. plateau) centred at frequencies of 500, 1000 and 4000Hz and also clicks (generated by 100μsec. square wave pulses). Stimuli were delivered at a repetition rate of 10 per second. Silver/silver chloride electrodes were attached to the vertex and the earlobe ipsilateral to stimulation. An electrode on the forehead served as a ground. All inter-electrode impedances were maintained below 5kΩ. A recording bandpass of 10 to 3000Hz (at 6dB and 12dB/oct slope respectively) was used and the sensitivity of the apparatus was set at 10μV/division. Analysis times of 10 msec. (click stimuli), 20 msec, (4000Hz stimuli) and 30 msec. (1000 and 500Hz stimuli) were chosen in order to adequately visualise BAEP response components. 2048 stimulus repetitions were averaged for each evoked response.
Subjects were asked to relax and encouraged to sleep if possible throughout the test procedure whilst lying in a sound-attenuated room designed specifically for routine clinical audiometric investigation. Stimuli were delivered via an insert ear-piece (described in Chapter 7) in order to provide maximal comfort and hopefully allow the subjects to sleep. The insert earpiece was taped into the ear in order to ensure a consistent level of stimulation. Since the BAEP is unaffected by arousal level (whether relaxed wakefulness or sleep at any stage), it was considered unnecessary to perform detailed sleep stage analysis. However, the ongoing
input activity was carefully monitored throughout the experiment and responses only recorded when subjects were completely relaxed with minimal interference from myogenic potentials. Click, 500, 1000 and 4000Hz stimuli were then presented with each frequency delivered in random order between subjects. Evoked responses were recorded with decreasing stimulus intensities for each of the stimuli and all traces were stored on the Apple IIe microcomputer for off-line analysis. The latency and amplitude of the principal components of the BAEP were measured at different stimulus intensities for subsequent analysis. In addition to the normative aspects of the tone pip BAEP provided by this experiment, objective threshold levels were obtained to all stimuli forming the major part of the second investigation in this chapter.
8.22 Objective threshold assessments recorded using tone pip evoked BAEPs.
The twenty subjects from the above experiment were then combined with the four subjects investigated during all-night sleep in order to assess BAEP thresholds using clicks and tone pips.
The accuracy with which the objective audiogram recorded to tone pips and clicks could approximate to subjective hearing levels was measured by calculating the difference between the subjective and objective thresholds recorded to each stimuli within accuracy of 5dB. Before evoked potentials were recorded, subjective thresholds were determined with all test stimuli by a technician. These results were not revealed to the experimenter until all responses had been recorded in order to eliminate unnecessary experimental bias. Responses were scored positive by the detection of wave V as assessed separately by Dr L.A. Jones and R.J. Baxter. In the case of equivocal responses, the recording was repeated allowing the experimenter to have three separate traces from which to decide if a response
was present or absent. In such cases, a response was only scored as present if a clear waveform was detectable in 2 out of 3 of the traces.
The threshold measurements recorded using the procedure described above was compared to the 40Hz brainstem response recorded in four, normally hearing adult volunteers (three females and one male) aged between 24 and 31 years (mean age 28 years) during night-time natural sleep. The following section describes the methods used for this sleep study.
The equipment used to record EEG, EOG and EMG activity was exactly the same as in the previous sleep experiment and the reader is referred to chapter 7 for details. The only modification being the use of 1 - 3000Hz bandpass filters. This alteration in the high pass filter (from 0.3Hz to 1Hz) was considered justified since the 40-Hz stimulus repetition rate imposes its own filter upon the response and the 1Hz filter brings the recording methodology more into line with conventional BAEP techniques whilst still maintaining a wide filter bandpass. It had been intended to recalculate the traces after the experiment using the FFT software but this was not possible due to the deficiencies with the program explained in chapter 5. The Medelec Sensor was set to a sensitivity of 50μV/ division to permit averaging to take place in slow wave sleep. As before, 1024 stimulus presentations were averaged for each evoked response. It would have been desirable to record a larger number of averages, but experience in the first sleep study had shown that subjects tend to become restless when sleeping in unfamiliar circumstances and the recording of a larger number of averages was not practical.
Responses were recorded in wakefulness and compared to those found in combined stages 2 and 3/4 sleep (slow wave sleep). It was considered justified to combine stages 2 and 3/4 sleep as the previous sleep study had shown these states to be similar in terms of their effect upon the MLR and 40Hz response. Recording during REM sleep was not included since the first sleep study had demonstrated that the MLR contributed to response morphology during REM and this experiment was interested in recognition of the BAEP without introducing an
added variable. The stimuli used were clicks (100μsec. duration) and tone pips (2 cycles rise/fall time and 1 cycle plateau) delivered at frequencies centered at 500 and 4000Hz. Stimuli were delivered at repetition rates of 10 and 40Hz. With the 10Hz rate, either 20 or 30 msec. of post-stimulus time was averaged in keeping with established literature concerning tonal BAEP recording (Kodera et al., 1977; Davis et al., 1985; Hyde et al., 1987). When using the 40Hz stimulation rate, 100 msec. of post-stimulus time was averaged. At the beginning of the experiment, subjective thresholds were measured to all three stimuli at both 10 and 40Hz repetition rates. The initial intensity of the stimuli was maintained at 45dBSL until subjects were asleep. Objective threshold estimates were then made by lowering the stimulus intensity until the clear wave V component could not be seen in two out of three separate repetitions at a given intensity. Objective threshold was then taken as the lowest intensity at which a response was recorded consistently with an accuracy of 5dB.
Sleep was continuously monitored throughout the night and scored according to the criteria set down by Rechtschaffen and Kales (1968). As in the previous experiment, all EEG, EOG and EMG activity was written out on a Nihon-Koden EEG machine and all evoked potentials were stored on floppy disks on the Apple IIe micro-computer for more detailed off-line analysis.
8.3 RESULTS.
In order to make these data easy to follow, the results of this experiment will be divided into two sections. First, the normative aspects of tone pip brainstem responses (measurements of component latencies, amplitudes, inter-peak latencies and latency - intensity functions) will be presented and then discussed. Subsequently, the threshold data (incorporating the same twenty subjects from the normative work and the four subjects tested during all-night sleep) will be presented and then these data will be discussed. A final discussion/summary at the
end of the chapter will draw together the important findings of this experiment and assess the implications and limitations of this work.
In all the following traces, positivity at the vertex is represented by an upwards deflection according to the convention of Jewett and Williston (1971).
8.31 Normative aspects of BAEP recording to click and tone pip stimuli.
These results relate to the twenty subjects studied in the first experiment. The responses will be described in terms of morphology, the latency and amplitude of the components and the inter-peak latencies for each of the click, 4000Hz, 1000Hz and 500Hz tone pip stimuli. Subsequently, the Latency - Intensity curves for the four stimuli will be presented as this is important in evaluating the frequency specificity of the tone pip stimuli.
Examining first the characteristics of the click response. Although the click evoked BAEP has been well described in the past, it is necessary to establish the nature of this response as a baseline against which the tone pip BAEPs can be compared. Figure 8.1 presents a characteristic trace representing the typical morphology of the BAEP generated to click stimuli at 70dBSL recorded over a 10msec. time sweep. This trace shows five distinct peaks (Jewetts waves I-V) superimposed onto an underlying positive trend.
Table 8.1 shows the means and standard deviations of latency and amplitude for all subjects at the combined intensities of 65 and 70dBSL. These intensities were combined to compensate for the discrepancy in intensity brought about by the experimenter not knowing the subjects' precise subjective threshold in advance of testing and to allow all the subjects to be included into the averages. Amplitude measurements were calculated as the voltage difference from each peak to its following trough. Standard deviations for all components are shown in brackets.
Figure 8.1 A characteristic click evoked BAEP recorded in one representative subject at 70dB SL.
Table 8.1
| Wave | Mean Latency (msec.) | Mean Amplitude (nV) |
|------|---------------------|---------------------|
| I | 1.7 (±0.10) | 220 (±132) |
| II | 2.8 (±0.11) | 309 (±87) |
| III | 3.8 (±0.14) | 466 (±154) |
| IV | 5.1 (±0.15) | 480 (±156) |
| V | 5.88 (±0.17) | 324 (±237) |
Table 8.1 Mean latencies and amplitudes of the component peaks of the click evoked BAEP at the combined intensities of 65 and 70dBSL.
It is clear from this table that amplitude is a far more variable measurement than latency and also that the later components of the response have higher standard deviations than the earlier peaks. Figure 8.2 shows the morphology of the click evoked BAEP with decreasing stimulus intensity in one representative subject. These responses demonstrate the characteristic decrease in component amplitude and increase in latency which has been well documented by previous workers (Picton et al., 1974). Most noticeable is the disappearance of waves I-IV at stimulus intensities approaching threshold with only the persistence of wave V. Again this phenomenon is well documented but serves to illustrate that wave V is the only reliable component of the BAEP when assessing hearing thresholds.
Measurements of inter-peak latency (IPL) are important in the assessment of the speed of conduction of impulses from the cochlea through the ascending auditory pathway. Table 8.2 presents the mean IPLs (and standard deviations) for the click evoked BAEP for the twenty subjects investigated in this experiment down to an intensity of 45dBSL which was the lowest intensity at which waves I and III were reliably recorded.
The subject numbers (n) within each average are shown in brackets by each intensity.
Figure 8.2 Changes in the morphology of the BAEP with decreasing stimulus intensity in one representative subject using click stimulation.
Table 8.2
| Intensity (dBSL) | IPL (msec.) |
|------------------|-------------|
| | I-V | III | III-V |
| 80-75 (n=20) | 4.10 (±0.16)| 2.19 (±0.14)| 1.91 (±0.16)|
| 70-65 (n=20) | 4.18 (±0.16)| 2.10 (±0.12)| 2.08 (±0.16)|
| 60-55 (n=20) | 3.96 (±0.24)| 2.24 (±0.27)| 1.72 (±0.29)|
| 50-45 (n=20) | 3.68 (±0.26)| 1.73 (±0.26)| 1.95 (±0.29)|
Table 8.2 Inter-peak latencies for the click BAEP (waves I, III and V).
Now that the BAEP characteristics have been described for the click stimulus, attention will now be focussed upon the tone-pip evoked responses and comparisons made between these responses and those obtained to clicks.
Figure 8.3 shows five examples of the BAEP recorded to a 4000Hz tone pip at 70dBLSL. The time sweep used for 4000Hz tone pip recording was 20msec. These traces are typical of those recorded in all subjects at high stimulus intensities and serve to give the reader some idea of the normal variability which can be expected when recording this response.
The top two traces show evidence of waves I-III of the BAEP though this was not a universal finding. 7 of the 20 subjects (35%) did not exhibit these early components of the BAEP. The lower traces in fig. 8.3 present these natural variants. By far the most prominent component of the 4000Hz tone pip BAEP is wave V and the negative wave following it (the SN10, Davis et al., 1985).
Table 8.3 gives the means and standard deviations for both latency and amplitude for all subjects at 65 and 70dBLSL.
Figure 8.3 Characteristic morphology of the BAEP generated to 4000Hz tone pips recorded at 70dB SPL. Five natural variants are shown demonstrating the variability of the response.
Table 8.3
| Wave | Mean Latency (msec.) | Mean Amplitude (nV) |
|------|---------------------|---------------------|
| I | 2.42 (±0.14) | 230 (±82) |
| II | 3.60 (±0.10) | 94 (±52) |
| III | 4.84 (±0.17) | 112 (±20) |
| V | 6.45 (±0.24) | 377 (±125) |
| SN10 | 9.80 (±1.1) | |
Table 8.3 Mean latencies and amplitudes of the component peaks of the 4000Hz tone pip evoked BAEP at the combined intensities of 65 and 70dBLS.
Figure 8.4 shows the effect of reducing stimulus intensity upon the morphology of the 4000Hz tone pip BAEP. At the highest stimulus intensity, waves I, II, III and V have been labelled but it is clear that the only response component clearly visible at lower stimulus intensities is a single positive deflection (wave V) and the following SN10 negativity. Measurements of inter-peak latency are only possible at the higher intensities using the 4000Hz stimulus. All the components of the response except the large positive SN10 wave become undetectable at intensities lower than 55dBSL. Table 8.4 presents the IPLs for the higher stimulus intensities using the 4000Hz tone pips. The numbers in brackets (n) after each stimulus intensity denote the numbers of subjects within each average.
Table 8.4
| Intensity (dBSL) | IPL (msec.) |
|------------------|-------------|
| | I-V | I-III | III-V |
| 70-65 (n=13) | 3.03 (±0.20)| 2.42 (±0.16)| 1.61 (±0.21)|
| 60-55 (n=8) | 4.18 (±0.42)| 2.05 (±0.23)| 2.13 (±0.38)|
| 50-45 (n=2) | 3.72 (±0.33)| | |
Table 8.4 Inter-peak latencies for the 4000Hz tone pip BAEP.
Figure 8.4 Changes in the morphology of the BAEP with decreasing stimulus intensity in one representative subject using 4000Hz tone pip stimulation.
The remaining two stimuli used in this experiment were tone pips of 1000Hz and 500Hz. Figure 8.5 presents three typical responses to 1000Hz tone pips at 70dBSL (the top three traces in this figure). The lower two traces on this figure illustrate the range of normal morphologies which can be encountered depending upon the particular experimental circumstances. All 1000Hz tone pip responses were recorded over a 20msec. time sweep. The fourth trace was recorded from a subject who was asleep and the response shows a clear wave V with very low levels of background noise. The bottom trace illustrates the absolute requirement for adequate subject relaxation and how the response morphology is obliterated if myogenic contamination is allowed to become prevalent. This subject was clearly not sufficiently relaxed and it must be stressed that this trace was rejected. Recording was suspended until the subject had become more comfortable and the 70dBSL response was repeated with a satisfactory outcome. Returning to the typical 1000Hz tone pip responses shown in the top three traces of fig. 8.5. Firstly, it should be noted that the occurrence of waves I, II, III or IV is not apparent in most subjects. Only 2/20 (10%) of subjects demonstrated these earlier components. The interpeak latencies for these two subjects at 70dBSL were: I-V = 4.2 (±0.44); I-III = 2.40 (±0.18) and III-V = 1.81 (±0.41). The lack of earlier components in the majority of subjects clearly was not merely a consequence of inadequate relaxation because even the sleeping subject (shown in the fourth trace) shows no evidence of waves other than the broad wave V-SN10 configuration. Table 8.5 presents the mean latencies and amplitude of the wave V and SN10 components of the 1000Hz tone pip BAEP at 65 and 70dBSL for all subjects. Standard deviations are in brackets.
Table 8.5
| Wave | Mean Latency (msec.) | Mean Amplitude (nV) |
|------|----------------------|---------------------|
| V | 7.57 (±0.58) | 618 (±220) |
| SN10 | 10.7 (±0.47) | |
Table 8.5 Mean latencies and amplitudes of the component peaks of the 1000Hz tone pip evoked BAEP at the combined intensities of 65 and 70dBSL.
Figure 8.5 Examples of the characteristic morphologies of the BAEP recorded to 1000Hz tone pips at a stimulus intensity of 70dB SL. The bottom two traces illustrate the effects of sleep and excessive myogenic activity respectively.
Figure 8.6 shows the effect of reducing stimulus intensity on the morphology of the 1000Hz BAEP response. Most noticeable is the low amplitude of this response at low intensities and this again emphasises the need to pay particular attention in ensuring adequate subject relaxation when recording tone pip brainstem responses.
Figure 8.7 presents five typical variants of the BAEP as generated to 500Hz tone pip stimuli at 70dBSL and a time sweep of 30msec. No earlier components of the BAEP are visible and the wave V - SN10 configuration is the sole indicator of an evoked response. Also of interest is the occurrence of the Frequency Following Response (FFR) in some subjects. This phenomenon was described by Moushegian et al. (1973) and is described in the introductory chapter of this thesis. The FFR is of little use in the determination of objective hearing thresholds (Sohmer et al., 1977) but is often recorded incidentally when using low frequency stimuli at high intensities. Table 8.6 shows the mean latencies and amplitudes (plus standard deviations) for the wave V and SN10 components of the 500Hz tone pip BAEP at 65 and 70dBSL in all subjects.
Table 8.6
| Wave | Mean Latency (msec.) | Mean Amplitude (nV) |
|------|----------------------|---------------------|
| V | 9.4 (±0.8) | 617 (±115) |
| SN10 | 15.8 (±1.1) | |
Table 8.6 Mean latencies and amplitudes of the component peaks of the 500Hz tone pip evoked BAEP at the combined intensities of 65 and 70dBSL.
Table 8.6 shows that the mean latency of wave V has quite large standard deviations. This is due to the very broad nature of the wave V peak and also the difficulty in locating its apex in the presence of a FFR. Once again, amplitude measurements are less reliable and are of less
Figure 8.6 Changes in the morphology of the BAEP with decreasing stimulus intensity in one representative subject using 1000Hz tone pip stimulation.
Figure 8.7 Five natural variants of the BAEP recorded using 500Hz tone pips at 70dB SL. The Frequency Following Response (FFR) seen particularly in the middle three traces makes the precise location of wave V difficult.
use in characterising these responses. Figure 8.8 shows the relationship of the 500Hz tone pip BAEP with lowering stimulus intensity. At intensities approaching threshold, the 500Hz responses are hardest to detect due to their very low amplitude and once again the importance of adequate subject relaxation is emphasised.
Section 8.31 has described the morphology, latencies and amplitudes of the click evoked BAEP and compared this to the BAEP as it is generated to tone pips of 500Hz, 1000Hz and 4000Hz. The normal variability of these responses has been described and also the ways in which components of these responses vary with stimulus intensity. The main conclusion from this is that the wave V component of the click evoked BAEP and the wave V - SN10 configuration of the tone pip responses provides the clearest indicator wave at high intensity and the only indicator wave at low stimulus intensities with which to determine hearing thresholds. The following section will therefore examine more closely the Latency - Intensity relationship of wave V for all the stimuli. Subsequently, the characteristics of the BAEP generated to tone pips will be discussed.
8.32 Latency - Intensity curves for click and tone pip stimuli.
Latency - Intensity (L-I) curves give important information about the frequency specificity of stimuli. Therefore, before the effectiveness of the tone pip BAEPs in assessing hearing thresholds can be evaluated, it is first necessary to find out whether these stimuli are frequency specific or whether they are exciting a far larger portion of the cochlear partition than is desirable. Table 8.7 presents the latency - Intensity relationships for wave V for each of the four stimuli used in this experiment. Figure 8.9 represents this information graphically with adjacent intensities (70 with 65dBSL, 60 with 55dBSL etc.) combined in order to simplify the figure. Examination of these latency - intensity (L-I) curves reveals the following information. Firstly, it can be seen that at any given stimulus intensity, the latency of wave V is smallest with the click stimulus and increases with decreasing stimulus frequency. Secondly,
Figure 8.8 Changes in the morphology of the BAEP with decreasing stimulus intensity in one representative subject using 500Hz tone pip stimulation.
| Intensity (dBSL) | Mean latency (msec.) | S.D. (±) |
|-----------------|----------------------|----------|
| 67.5 | 5.88 | 0.17 |
| 57.5 | 5.9 | 0.18 |
| 47.5 | 6.43 | 0.75 |
| 37.5 | 6.77 | 0.48 |
| 27.5 | 7.29 | 1.08 |
| 17.5 | 8.15 | 1.1 |
| 7.5 | 8.21 | 0.29 |
| -2.5 | 8.68 | 0.26 |
| Intensity (dBSL) | Mean latency (msec.) | S.D. (±) |
|-----------------|----------------------|----------|
| 67.5 | 6.45 | 0.24 |
| 57.5 | 6.82 | 0.53 |
| 47.5 | 6.82 | 0.22 |
| 37.5 | 7.13 | 0.39 |
| 27.5 | 7.61 | 0.42 |
| 17.5 | 8.92 | 0.82 |
| 7.5 | 9.18 | 0.86 |
| -2.5 | 9.39 | 0.51 |
| Intensity (dBSL) | Mean latency (msec.) | S.D. (±) |
|-----------------|----------------------|----------|
| 67.5 | 7.57 | 0.58 |
| 57.5 | 7.83 | 0.59 |
| 47.5 | 8.82 | 0.48 |
| 37.5 | 9.85 | 0.95 |
| 27.5 | 10.75 | 0.99 |
| 17.5 | 11.77 | 0.71 |
| 7.5 | 12.6 | 0.46 |
| Intensity (dBSL) | Mean latency (msec.) | S.D. (±) |
|-----------------|----------------------|----------|
| 67.5 | 9.37 | 0.76 |
| 57.5 | 10.1 | 0.86 |
| 47.5 | 11.3 | 1.25 |
| 37.5 | 12.29 | 1.43 |
| 27.5 | 14.1 | 1.72 |
| 17.5 | 14.4 | 1.2 |
Table 8.7 Mean latencies (and standard deviations) for combined, adjacent intensities (dBSL) for click, 4000Hz, 1000Hz and 500Hz stimuli (see text for details).
Latency (msec.)
Intensity (dBSL)
- Click
- 4000Hz
- 1000Hz
- 500Hz
Figure 8.9 Latency-Intensity functions with standard deviations for all stimuli.
it is apparent that the gradient of these lines increases as the frequency of the stimulus falls. Using a single line of best fit for each frequency, the mean gradients of these lines are Click = 40μsec./dB; 4000Hz = 50μsec./dB; 1000Hz = 84μsec./dB and 500Hz = 100μsec./dB. Looking more closely at these functions, it could be argued that particularly the click and 4000Hz curves are better modelled by two lines as the rate of latency increase per unit intensity appears smaller at higher stimulus intensities (> 40dBSL) than at lower intensities for these stimuli. Recalculating these gradients but this time applying two lines of best fit, the click stimulus has a gradient of 19μsec./dB at intensities greater than 40dB and a gradient of 48μsec./dB below that intensity. Similarly, the 4000Hz L-I function has a gradient of 27μsec./dB (> 35dBSL) and 69μsec./dBSL below that value.
8.4 DISCUSSION.
8.4.1 Latency and morphology differences in response components of the BAEP with different stimuli.
The aim of this experiment was to compare differences in the latency and morphology of tonally evoked brainstem responses in comparison to click BAEPs. Referring to section 8.3.1, it is clear that click and tonal stimuli generate BAEPs with very different component latencies, amplitudes and morphology.
For ease of comparison, figure 8.10 shows one typical response at 70dBSL for each of the four stimuli used in this experiment. Table 8.8 combines the mean latencies and amplitudes of the component peaks for all stimuli at the combined intensities of 65 and 70dBSL in order that they might be compared more easily.
Figure 8.10 Typical responses for click and 4000Hz, 1000Hz and 500Hz tone pip stimuli at 70dB SL.
i) **Click**
| Wave | Mean Latency (msec.) | Mean Amplitude (nV) |
|------|---------------------|---------------------|
| I | 1.7 (±0.10) | 220 (±132) |
| II | 2.8 (±0.11) | 309 (±87) |
| III | 3.8 (±0.14) | 466 (±154) |
| IV | 5.1 (±0.15) | 480 (±156) |
| V | 5.88 (±0.17) | 324 (±237) |
ii) **4000Hz tone pip stimuli**
| Wave | Mean Latency (msec.) | Mean Amplitude (nV) |
|------|---------------------|---------------------|
| I | 2.42 (±0.14) | 230 (±82) |
| II | 3.60 (±0.10) | 94 (±52) |
| III | 4.84 (±0.17) | 112 (±20) |
| V | 6.45 (±0.24) | 377 (±125) |
| SN10 | 9.80 (±1.1) | |
iii) **1000Hz tone pip stimuli.**
| Wave | Mean Latency (msec.) | Mean Amplitude (nV) |
|------|---------------------|---------------------|
| V | 7.57 (±0.58) | 618 (±220) |
| SN10 | 10.7 (±0.47) | |
iv) **500Hz tone pip stimuli.**
| Wave | Mean Latency (msec.) | Mean Amplitude (nV) |
|------|---------------------|---------------------|
| V | 9.4 (±0.8) | 617 (±115) |
| SN10 | 15.8 (±1.1) | |
Table 8.8 Summary of the mean latencies and amplitudes of the component peak of the BAEP as recorded to clicks and tone pips of 4000Hz, 1000Hz and 500Hz.
In summary, amplitude measurements of all components are highly variable and show a great deal of overlap between responses using different stimuli. For statistical significance, amplitude differences between different stimuli would have to be separated by greater than 2.5 standard deviations which is not the case in this experiment. Inspection of the threshold estimates in a typical subject (figs 8.2, 8.4, 8.6 and 8.8) show that the amplitude of the tone
pip responses at low intensities are small and this is especially true of the lower frequency tone pips (1000Hz and 500Hz). With respect to latency and morphology, the click response demonstrates five clear peaks at high stimulus intensity and is easily viewed over a 10 msec epoch. Lowering intensity causes attenuation of the earlier peaks but wave V persists down to intensities at or approaching threshold (Fig. 8.2). The component peaks of the 4000Hz tone pip BAEP are of longer latency than the click response but the latency variability of the individual peaks are similar to those found with the click evoked BAEP with the later wave V component and the SN10 having the largest variability. The earlier waves are less reliable than with the click BAEP and even the responses at high stimulus intensities only consist of four waves (wave IV not being identifiable) in comparison to the five waves seen with click stimuli at high intensity. The recognition of wave V and the following SN10 negativity is essential in the detection of responses near threshold (fig. 8.4) and due to the smaller amplitude of the 4000Hz tone pip response, subject relaxation is very important.
1000Hz tone pip responses are of longer duration than both the click and 4000Hz responses. In addition, the latency variability of the wave V-SN10 configuration (standard deviation ±0.58) is greater than either for click or 4000Hz stimuli which is due to the broadening of the response peaks which makes precise measurement of these components less accurate. Earlier waves are completely absent from the response and at low stimulus intensities (fig. 8.6) and the wave V - SN10 configuration is small which means a very relaxed or ideally, sleeping subject is required. The 500Hz tone pip response have wave V - SN10 components which are of longer latency than those recorded to any other stimuli tested in this experiment. Recording these responses requires most care on behalf of the experimenter in order for clear responses to be obtained. This often means repeating equivocal responses which tend to occur more with 1000Hz and 500Hz stimuli especially at low intensities of stimulation (fig.8.8).
Section 8.32 examined the latency-intensity curves for click and tone pip stimuli. The aim of this work was to assess the frequency specificity of the different stimuli. Figure 8.9 shows
that wave V latency is inversely related to both intensity and frequency. Secondly, there is little difference between the curves for the click and 4000Hz tone pip stimuli at any intensity. The 1000Hz and 500Hz tone pip latency-intensity curves have steeper gradients (than click or 4000Hz tone pips) which means that the magnitude of the latency difference between these stimuli and the click and 4000Hz tone pip stimuli is greatest at low stimulus intensities. The difference between the latency-intensity curves for the 1000Hz and 500Hz stimuli is greater than 2.5 standard deviations from the click and 4000Hz tone pip curves at intensities less than 40dBSL which suggests that this difference is statistically significant. The reason for the greatest latency differences existing at lower stimulus intensities is probably because the low frequency tone pips (500 and 1000Hz) are less able to activate more basal regions of the cochlea. In other words, the frequency specificity of tone pip stimuli varies as a function of intensity with louder tones causing a greater spread of excitation along the basilar membrane (and hence across frequencies) because of the greater energy that they possess (Davis and Hirsh, 1976; Stapells and Picton, 1981; Stapells et al., 1985). Stapells and Picton (1981) reported an increase of around 1 msec. in wave V latency with a 500Hz tone pip in comparison with a 2000Hz pip at 120dBSPL, whereas they found a 3 msec. latency difference between these two stimuli when the intensity was reduced to 70dBSPL. This implies that as intensity is reduced, extraneous frequencies present within the tone pip stimulus gradually become sub-threshold and hence the latency of wave V increases more steeply. This latency difference reflects the increased time required for the lower frequency stimulus to reach the apical region of the basilar membrane, the locus of maximal response for these stimuli (Békésy, 1943). The results reported in this experiment are consistent with these findings and therefore would suggest that frequency specificity of the tonal stimuli increases as intensity falls.
The latency changes in wave V with tonal stimuli presented in the results section and discussed above have important implications for the practical procedures necessary to record tonal BAEPs. In order to properly visualise wave V at intensities approaching audiometric threshold it is clearly necessary to use longer sweep times. The mean latency ranges for the four stimuli used in this experiment were: Click 5.88 msec. at 70-65dBSL to 8.68 msec. at 0-
5dBSL; 4000Hz 6.45 msec. at 65dBSL to 9.17 msec. at 5dBSL; 1000Hz 7.36 msec. at 70dBSL to 12.6 msec. at 10dBSL and 500Hz 9.24 msec. at 70dBSL to 14.4 msec. at 20dBSL. This demonstrates that in order to be able to detect wave V down to audiological threshold using tone pip stimuli, sweep times of 20 or 30 msec. are required in order that wave V and the following SN10 negativity are adequately visualised.
The characteristic morphology of the BAEP as recorded to a click stimulus is well established (Sohmer and Feinmesser 1967; Jewett and Williston, 1971; Picton et al., 1974). However, this experiment and other previous work has shown that the waveform of the BAEP is different when tone pip stimuli are used and the only reliable component of the response is Jewett's wave V. especially at stimulus intensities near audiometric threshold (Suzuki et al., 1977; Kodera et al., 1977; Bauch et al., 1980; Hyde et al., 1987; Riko et al., 1988). The morphology of wave V also changes when tone pip stimuli are used with a decrease in the sharpness and broadening of the wave most apparent with low frequency and low intensity stimuli. Allied to this broadening of wave V, the latency of this component becomes less easy to pin-point accurately and response detection relies far more heavily on the recognition of a general low frequency deflection rather than a discrete peak.
Accompanying the changes in response morphology are changes in the frequency composition of these potentials. It is clear that low frequency stimuli generate responses which rely far more on the detection of low frequency activity for their recognition. This, therefore, raises the question of the most appropriate high pass filter setting in order to see these responses. An evaluation of the commonly used recording filters for BAEP recording is presented in Chapter 4. When click stimulation is used, the value for the high pass filter is commonly set at 30-100Hz (Jewett and Williston, 1971; Picton et al., 1974). However, in tonal BAEP recording, many authors have advocated the use of a filter set at around 10Hz in order that the low frequency activity necessary for response recognition can be seen (Davis, 1876; Suzuki et al., 1977; Kodera et al., 1977; Stapells and Picton, 1981; Davis et al., 1985). In this experiment, a low cut filter of 10Hz was chosen for this reason.
Having now described the characteristics of the BAEP recorded to tone pips, attention will now be focussed upon the use of these responses in the assessment of hearing thresholds. This section will combine two experiments, the first in twenty adult subjects who were relaxed but not necessarily sleeping and the second in four subjects during all-night natural sleep.
8.5 RESULTS.
Comparison of subjective and evoked response thresholds to click and tone pip stimuli using existing BAEP methodology and the 40Hz protocol.
8.51 Conventional BAEP techniques.
The objective thresholds of the twenty subjects used in the experiment described above were then measured. The results were expressed as the difference between the subjects' subjective threshold (S) and the objective threshold (O) as suggested by the evoked responses (the criteria for defining objective threshold was described in the methods section 8.2). A minus sign denotes the objective threshold was greater the subjective threshold. Table 8.9 gives the threshold means, standard deviations and ranges for these twenty subjects. The raw subjective and objective threshold data for the twenty subjects tested in this experiment is provided in table 8.10.
| Stimulus | Mean S-O Threshold difference dBSL(S.D.) | Range (dB) |
|--------------|------------------------------------------|------------|
| Click | -6.0 (±4.8) | -15 to 0 |
| 4000Hz pip | -9.11 (±10.0) | -30 to 5 |
| 1000Hz pip | -19.3 (±10.7) | -35 to -5 |
| 500Hz pip | -25.8 (±7.1) | -35 to -15 |
Table 8.9 BAEP audiometric threshold estimation using click and tone pip stimuli.
| Subjective | Objective | Difference | Subjective | Objective | Difference |
|------------|-----------|------------|------------|-----------|------------|
| 0 | 5 | -5 | 20 | 20 | 0 |
| 0 | 5 | -5 | 20 | 20 | 0 |
| -5 | 5 | -10 | 15 | 30 | -15 |
| -5 | 5 | 0 | 15 | 20 | -5 |
| 0 | 10 | -10 | 20 | 15 | 5 |
| -5 | -5 | 0 | 20 | 25 | -5 |
| -5 | 0 | -5 | 20 | 25 | -5 |
| 5 | 20 | -15 | 20 | 15 | 5 |
| -5 | 0 | -5 | 15 | 20 | -5 |
| 0 | 0 | 0 | 20 | 50 | -30 |
| -5 | 10 | -15 | 15 | 20 | -5 |
| -5 | 5 | -10 | 20 | 30 | -10 |
| 0 | 5 | -5 | 20 | 35 | -15 |
| -5 | 0 | -5 | 20 | 40 | -20 |
| 0 | 5 | -5 | 25 | 30 | -5 |
| 0 | 10 | -10 | 20 | 50 | -30 |
| 0 | 0 | 0 | 25 | 30 | -5 |
| -10 | 0 | -10 | 15 | 15 | 0 |
| 0 | 0 | 0 | 25 | 25 | 0 |
| -5 | 0 | -5 | 15 | 20 | -10 |
| Subjective | Objective | Difference | Subjective | Objective | Difference |
|------------|-----------|------------|------------|-----------|------------|
| 20 | 40 | -20 | 20 | 50 | -30 |
| 20 | 40 | -20 | 20 | 40 | -20 |
| 15 | 25 | -10 | 15 | 30 | -15 |
| 10 | 20 | -10 | 15 | 30 | -15 |
| 25 | 35 | -10 | 30 | 50 | -20 |
| 15 | 30 | -15 | 15 | 30 | -15 |
| 20 | 40 | -20 | 15 | 50 | -35 |
| 20 | 40 | -20 | 35 | 60 | -25 |
| 10 | 35 | -25 | 10 | 40 | -30 |
| 15 | 50 | -35 | 15 | 45 | -30 |
| 20 | 45 | -25 | 25 | 60 | -35 |
| 15 | 50 | -35 | 15 | 50 | -35 |
| 25 | 50 | -25 | 25 | 50 | -25 |
| 20 | 40 | -20 | 25 | 50 | -25 |
| 25 | 50 | -25 | 25 | 40 | -15 |
| 25 | 60 | -35 | 25 | 35 | -30 |
| 15 | 40 | -25 | 15 | 45 | -30 |
| 20 | 30 | -10 | 20 | 55 | -35 |
| 25 | 30 | -5 | 35 | 60 | -25 |
| 15 | 40 | -25 | 15 | 40 | -25 |
Table 8.10 Individual subjective thresholds, objective threshold and threshold differences for all subjects using click, 4000Hz, 1000Hz and 500Hz stimuli.
Histograms were plotted showing the difference between the lowest intensity at which an evoked response could be detected and subjective threshold. Figures 8.11a, b, c, and d present these data. The results of this experiment show that hearing thresholds determined to tone pip BAEPs produced a wider discrepancy between subjective and objective threshold than those obtained to the click stimuli.
8.52 Results of thresholds estimations using the 40Hz protocol.
The all-night sleep study performed in four subjects revealed that the detectability of the BAEP to tone pip stimulation was affected by the choice of analysis time (30 or 100 msec.) and repetition rate (10 or 40Hz). Threshold determinations made using the click stimulus were the same with either protocol. Table 8.11 presents threshold estimates for the four subjects tested using 10Hz (30 msec.) and 40Hz (100 msec.) procedures.
| Stimulus | Click | 4000Hz | 500Hz |
|----------|-------|--------|-------|
| Rep. rate: | 10Hz | 40Hz | 10Hz | 40Hz | 10Hz | 40Hz |
| Subject 1 | -5 | -5 | 0 | -10 | -20 | -15 |
| Subject 2 | -5 | -5 | -5 | -5 | -10 | -5 |
| Subject 3 | -5 | -5 | -10 | -5 | -25 | -20 |
| Subject 4 | -5 | -5 | -10 | -15 | -25 | -10 |
| Mean | -5.0 | -5.0 | -6.3 | -8.75 | -20.0 | -12.5 |
Table 8.11 Subjective-objective threshold differences in non-REM sleep (dB) for the four experimental subjects.
Figure 8.11 Histograms presenting the subjective-objective threshold differences for all subjects and all stimuli using the BAEP.
Figures 8.12-8.15 show the comparative morphologies of the tone pip brainstem threshold estimates as generated by both procedures to the 500Hz stimulus. Figures 8.16-8.19 present the responses generated to the 4000Hz stimulus using the 10Hz and 40Hz methods. Table 8.12 presents the data for the three subjects who took part in both experiments, showing an 8.3dB reduction in threshold estimation using the 40Hz procedure for the 500Hz tone pip stimulus in comparison to the 10Hz BAEP technique either awake or asleep. The click and 4000Hz stimuli demonstrate no clear differences.
8.6 DISCUSSION.
In the twenty subjects tested in the first experiment, it was found that the click stimulus gave the most accurate assessment of threshold both in terms of the absolute difference between subjective and objective threshold and the lowest variability. The data also showed that in a population of normal subjects, the lower the stimulus frequency, the greater the difference between subjective and objective threshold. Whilst the frequency specific responses were not as accurate (in terms of the absolute threshold value) as those recorded to the click stimuli (-6.0dB±4.75), at 4000Hz and 1000Hz mean threshold estimates of -9.11dB (±10.0) and -19.3 (±10.7) respectively would imply that these tone pip responses have some value provided that further work can corroborate these findings and also similar results can be obtained in clinical populations. The mean objective threshold estimate recorded using the 500Hz pip was found to be the furthest away from subjective threshold in this study -25.8dB (±7.1). This result is not unexpected considering the difficulties which arise when stimulating the apical cochlea. However, with all measurements of threshold it is the consistency (i.e. low data variability) of the response which is more important than the absolute threshold value. The comparatively small standard deviation (i.e. low variability) reported at this frequency would suggest that even at 500Hz, some valid inferences can be drawn concerning hearing thresholds using tonal BAEPs at this frequency.
Figure 8.12 10Hz (30msec.) and 40Hz (100msec.) BAEPs in one subject using 500Hz tone pip stimulation.
Figure 8.13 10Hz (30msec.) and 40Hz (100msec.) BAEPs in one subject using 500Hz tone pip stimulation.
Figure 8.14 10Hz (30msec.) and 40Hz (100msec.) BAEPs in one subject using 500Hz tone pip stimulation.
Figure 8.15 10Hz (30msec.) and 40Hz (100msec.) BAEPs in one subject using 500Hz tone pip stimulation.
Figure 8.16 10Hz (30msec.) and 40Hz (100msec.) BAEPs in one subject using 4000Hz tone pip stimulation.
Figure 8.17 10Hz (30msec.) and 40Hz (100msec.) BAEPs in one subject using 4000Hz tone pip stimulation.
Figure 8.18 10Hz (30msec.) and 40Hz (100msec.) BAEPs in one subject using 4000Hz tone pip stimulation.
Figure 8.19 10Hz (30msec.) and 40Hz (100msec.) BAEPs in one subject using 4000Hz tone pip stimulation.
Subjective-objective
Threshold difference (dBSL)
500Hz tone pip
| Subject | 10Hz relaxed | 10Hz Asleep | 40Hz Asleep |
|---------|--------------|-------------|-------------|
| 1 | -15 | -10 | -5 |
| 2 | -15 | -25 | -10 |
| 3 | -25 | -20 | -15 |
| Mean | -18.3 | -18.3 | -10 |
4000Hz tone pip
| Subject | 10Hz relaxed | 10Hz Asleep | 40Hz Asleep |
|---------|--------------|-------------|-------------|
| 1 | -15 | -5 | -5 |
| 2 | -5 | -10 | -15 |
| 3 | -20 | 0 | -5 |
| Mean | -13.3 | -5 | -8.3 |
Click
| Subject | 10Hz relaxed | 10Hz Asleep | 40Hz Asleep |
|---------|--------------|-------------|-------------|
| 1 | -10 | -5 | -5 |
| 2 | -5 | -5 | -5 |
| 3 | -5 | -5 | -5 |
| Mean | -6.6 | -5 | -5 |
Table 8.12 Combined subjective-objective threshold differences for three subjects who took part in both experiments.
The reason for this poorer detectability of the tone pip responses compared with the click is primarily due to the less clearly defined response morphologies recorded with these stimuli. In addition, there is a less favourable signal to noise ratio encountered with tonal stimulation because the excitation of localised (frequency specific) regions of the basilar membrane activates a smaller population of neurons. Hence, these responses are smaller than when a click stimulus is used. Thus, at low stimulus intensities, the amplitude of the background activity has a greater influence over response detection, a point which emphasises the need for subject relaxation. The disruption of signal morphology in the presence of increased levels of background activity applies to all stimuli (click or tone pip), but is more evident in tone pip response recording than when a broad, non-frequency specific stimulus is used. This study suggested that audiometric threshold estimation gets progressively less accurate as the frequency of the stimulus decreases. Again this reflects the diametrically opposed aims of maximal amplitude and frequency specificity. The rise-times of the tone pip stimuli used in this experiment were 4 msec. for the 500Hz stimulus, 2 msec. at 1000Hz and 0.5 msec. for the 4000Hz stimulus respectively. The click stimulus' total duration was 0.1 msec. The necessary increase in ramp-time to ensure the removal of unwanted acoustic transients and high frequency contaminants serves to progressively decrease the degree of neural synchronisation of cochlear nerve fibres, hence resulting in the production of a smaller response.
Relating these findings to existing experimental literature, the results of this study are in broad agreement with other data. Table 8.13 compares the data presented here with previous research (Kodera et al., 1977; Davis et al., 1985). Kodera and colleagues found a similar correlation between subjective and objective thresholds to the data presented in this study at 1000Hz but a higher degree of accuracy for the 500Hz stimulus. The reduced variability of Kodera's data in comparison with this experiment may be explained in part by the small normative subject sample size (n=10). Davis et al. (1985) presents a large body of clinical data recorded from neonates and infants recorded in sedated sleep. Davis claims that the wave V-SN10 component of the BAEP can normally be recorded down to 10dBnHL to 4000, 2000,
| Stimuli: | Click | 4000Hz | 2000Hz | 1000Hz | 500Hz |
|----------|-------|--------|--------|--------|-------|
| **This Expt.** | -6.0 (±4.8) | -9.1 (±10.0) | --- | -19.3 (±10.7) | -25.8 (±7.1) |
| n=20 | | | | | |
| **Kodera et al.** | --- | --- | -16.5 (±3.2) | -16.5 (±3.9) | -15.5 (±3.5) |
| (1977) | | | | | |
| n=10 | | | | | |
| **Davis et al.** | --- | 10dBnHL | 10dBnHL | 10dBnHL | 10dBnHL |
| (1985) | | | | | |
| n=? | | | | | |
| S.D.=? | | | | | |
Table 8.13 Threshold data from this experiment compared to similar experiments by Kodera et al. (1977) and Davis et al. (1985). See text for details.
1000 and 500Hz stimuli in the majority of cases. The most noticeable methodological difference between the experimental procedures of Davis (1985) and Kodera (1977) and those used in this study is the use of sedation. Sedatives are used to induce sleep and thereby reduce the level of movement artefacts and myogenic activity present in recording. Sedation also helps to ensure a consistent state of relaxation throughout the experimental procedure in which subjects are sleeping continuously and are not prone to fluctuations in background activity. The use of sedation in BAEP recording is based on experiments which have shown that the response is not significantly altered by level of arousal (Amedeo and Shagass, 1973). Davis' data relates to threshold assessments made in children in whom sedation is essential. Kodera et al. (1977) recorded from sedated adult subjects. It was not possible to use sedatives in this experiment, principally due to ethical considerations and lack of qualified medical support necessary for the administration of drugs in research work. In addition, sedating adults in routine clinical practice is unnecessary because the slow vertex response and the 40Hz response are available for frequency specific objective testing.
In summary, the tone pip BAEP thresholds recorded in this experiment show results which are in broad agreement with other workers. The widest discrepancy between subjective and objective threshold is seen particularly with the 500Hz stimulus because the response at low stimulus intensities is of low amplitude and therefore hard to detect. The problem of low response amplitude with low frequency stimuli was re-examined using the 40Hz protocol in sleeping subjects.
These data show that there is little difference in threshold estimation using either 10Hz or 40Hz repetition rates with the click stimuli or the 4000Hz tone pips. However, with the 500Hz tones there is a consistent 5, 10 and even 15dB SL lower threshold estimate when the 40/sec. repetition rate and 100 msec. analysis time are used in comparison to the more established 10/second procedure. This would appear to indicate that this procedure may be clinically superior for audiometric threshold determinations at this test frequency. This difference was exhibited in all four experimental subjects and reduced the mean threshold
estimate by 8dBSL in comparison with those obtained using the 10/sec. method. Examination of the 500Hz responses (Figs 8.12-8.15) reveals that the shorter analysis time and 10Hz stimulus repetition rate makes visualisation of the response less certain at low stimulus intensities. The possible reasons for the superiority of the 40Hz BAEP at this stimulus frequency are firstly, the 40Hz procedure (using a 100 msec. analysis time) generates a succession of four BAEPs within each sweep. This means that the experimenter is being given four chances to detect the presence of a response. The second advantage of the 40Hz procedure is the 'compression' of the response when viewed over 100 msec. making detection of the wave V- SN10 complex easier than when only 30 msec. of post-stimulus activity is recorded. These advantages appear to only apply to the 40Hz procedure when low frequency stimuli are used. With click or 4000Hz stimuli, the larger amplitude and higher frequency of the response makes detection at low stimulus intensities equally easy with either 10/sec. or 40/sec. methods. Therefore the 40Hz procedure as described in this chapter is indicated to be of comparable accuracy (though not superior) to the 10Hz technique at high stimulus frequencies.
8.61 Tone pip BAEP recording in the clinical setting and the detection of auditory pathology.
This experiment has examined the BAEP as it is recorded to click and tone pip stimuli in normal subjects. It is now necessary to consider how this information might be used to assist in the clinical diagnosis of auditory losses at different frequencies.
Firstly, it is important to understand that the clinical assessment of hearing capabilities either by subjective pure tone audiometry or objective BAEP measurement is based on the assumption that actual cochlea deficits will be manifested in one or both of these tests. It is true to say that changes in the BAEP from the normal and changes in the pure tone audiogram represent two aspects of the overall pathology, but to imply a causal link or direct
dependency of subjective and objective measurements is to over simplify two complex phenomena linking neurophysiological and perceptual processes (Hyde, 1985). A further problem is encountered when trying to relate normative data to responses obtained from patients in whom some auditory pathology is suspected. In normal ears, the tonotopic organisation of VIIIth nerve fibres from high frequencies at the basal turn to low frequencies at the apex, is well understood (Béksey, 1943). However, in pathological states, it is suggested that this fine tuning of auditory neurons is "blunted" and therefore the localisation of frequency specific stimuli upon the basilar membrane is altered (Gorga and Worthington, 1983). Having acknowledged these areas of uncertainty, the data collected in this experiment has indicated that frequency specific BAEPs can be obtained in normal subjects and the limits to which this can be applied to the clinical setting will now be examined.
Examination of the latency-intensity curves for click stimuli can provide information about three different types of hearing loss. Flat losses affecting a broad range of frequencies, steep hearing losses affecting high frequencies and also conductive losses reflecting the disruption of sound impulses through the middle ear with cochlea function intact. Considering flat hearing losses first, Hyde (1985) summarised the data of current authors (Galambos and Hecox, 1978; Yamada et al., 1979; Picton et al., 1981) concerning L - I functions in these patients. Figure 8.20a presents these data which also includes curves showing the effects of varying degrees of conductive losses. The solid lines (flat sensorineural losses) show that as the magnitude of the loss increases, there is an increase in the gradient of the L - I function with 60 and 80dB losses showing a deviation from the normal curve even at the highest stimulus intensities. In contrast, conductive losses of varying degree give rise to L - I curves which are elevated by the same amount at any given intensity, the level of this elevation depending on the severity of the hearing loss. A steep high frequency hearing loss has a different effect on the L- I function (wave V) generated to click stimuli (fig.8.20b). Evidence suggests that the magnitude of the difference between the normal and high frequency deficient cochlea is largest at high stimulus intensities and that this difference is reduced as stimulus intensity is lowered (Don and Eggermont, 1978). This is thought to be
Figure 8.20a A model demonstrating the effect of flat hearing losses on the latency-intensity function for wave V (click stimuli). Dotted curves (left to right) normal ears and ears with 20, 40 and 60dB of flat conductive hearing loss. Solid curves (left to right) 20, 40, 60 and 80dB of flat cochlear hearing loss. BAEP thresholds starred. After Hyde (1985).
Figure 8.20b A model showing the effects of a high frequency hearing loss on the click latency-intensity curve for wave V. Upper dotted curve: constant latency increase associated with a precipitous high frequency loss. Solid curve: another form of loss which demonstrates a basal shift in cochlear excitation with increasing intensity. Heavy broken curve: possible effect of a moderate high frequency loss. After Hyde (1985).
due to lower intensity stimuli shifting the spread of stimulus energy to lower (unaffected) frequency regions of the basilar membrane. All the possibilities discussed above have been simplified and it should be stressed that data are often very hard to interpret.
Turning now to more frequency specific stimuli. This experiment has looked at the use of unmasked tone pips in generating BAEPs. More complex procedures now exist in which clicks and tones are embedded in masking noise in an attempt to restrict extraneous frequencies. These alternative procedures will be examined separately after the tone pip BAEP data obtained in this experiment has been discussed with respect to its usefulness in the clinical setting. With unmasked tone pip stimuli the most important question is the frequency specificity of the stimulus or more precisely, the place specificity of these stimuli upon the basilar membrane. Looking again at the latency - intensity curves (Fig. 8.9) it is apparent that smaller latency differences exist between the four stimuli at high intensity than at lower intensities. This is consistent with a higher degree of stimulus overlap (spread energy) at high intensity which reduces as the intensity decreases (Stapells et al., 1985). Figure 8.9 also shows that the click and the 4000Hz stimuli give rise to very similar L - I functions and that these differ from the 1000Hz curve which is also steeper (84μsec./dB compared with 40μsec./dB for the click) and displaced upwards on the graph. Similarly, the 500Hz curve gives the longest wave V latencies for any given stimulus intensity and has the steepest gradient (100μsec./dB). Stapells et al. (1985) demonstrated a latency - intensity function gradient for 1000Hz (2-1-2 msec.) stimulus of around 84μsec./dB which compares well with the estimate of this value in this experiment. This problem of energy spread at high intensity is not a major factor for determining thresholds in normal subjects because threshold values are sufficiently low to ensure that the stimulus is localised. In the clinical setting there is, however, a major difficulty because high intensity stimuli are necessary in order to elicit responses in defective cochleas and this may result in 'spectral splatter' between test frequencies. In order to confirm this, further experimentation is necessary in patients with known hearing losses in order to see if their auditory profile can be simulated using tone pip BAEPs.
8.62 Other methods of obtaining frequency specific BAEPs.
The preceding discussion has examined the use of unmasked clicks and tone pips in obtaining objective audiograms. Although tone pips show frequency specificity in normal subjects at low stimulus intensities, it is likely that the higher levels of stimulus presentation necessary to determine thresholds in ears with sensorineural hearing losses will cause significant energy spread away from their nominal frequency. This has been the rationale behind techniques which have embedded stimuli (clicks and tones) within masking noise in order to try and diminish the contributions of extraneous cochlear regions to the BAEP at a given frequency. Clicks delivered with notched noise is one such technique which presents masking noise in which one band of frequencies has been attenuated in conjunction with a standard click stimulus (Eggermont and Odenthal, 1974; Pratt and Bleich, 1982; Pratt et al., 1984; Stapells, 1984; van Zanten and Brocaar, 1984). According to these authors, this produces a stimulus with a frequency centered around the frequency of the notch whilst other extraneous frequencies contained within the click are attenuated. Results using this technique have been equivocal with some researchers (Pratt and Bleich, 1982) demonstrating an increase in wave V latency suggestive of frequency specificity with the notched noise paradigm in comparison with clicks presented alone. However, this increase in wave V latency was reported as constant regardless of the frequency of the notch. In contrast, van Zanten and Brocaar (1984) and Stapells (1984) have both reported around a 4 msec. increase in wave V latency as the frequency of the notch was decreased from 4000Hz to 500Hz. Methodological differences have been suggested for this apparent discrepancy. In particular, the level (intensity) of masking, the choice of the width of the notch and the most suitable level at which the high pass filter is set. Visual inspection of the data presented in this experiment using unmasked tone pips revealed that the morphology of the tonal BAEP using the 500Hz stimulus is mainly composed of lower frequency waves which would be attenuated by a high pass filter of 100Hz as used by Pratt and Bleich (1982). The complexity of this technique, the length of time needed to record responses and the small amplitudes of responses means that this technique offers little clinical promise to date.
Derived band responses attempt to produce frequency specific BAEPs through the digital subtraction of successive responses to clicks recorded in conjunction with high pass noise with sequentially decreasing cut-off frequencies (Teas et al., 1962). Results have shown that the latency of wave V remains unchanged (in comparison with an unmasked click) with masking in excess of 400Hz but shows a systematic increase in latency (around 4 msec.) as the masking frequency is reduced down to 500Hz (Don and Eggermont, 1978; Parker and Thornton, 1978; Thümmler et al., 1981). This technique assumes that the masking will remove the cochlear response from the masked regions and leave unmasked regions unaffected and has been shown to be successful in modelling hearing losses in patient population (Don et al., 1979). The major problem with subtraction techniques is that the signal to noise ratio of responses derived in this way is reduced (noise increasing by a factor of around 1.4 per subtraction) and therefore the amplitude of the background EEG must be very low in order for these derived responses to be adequately visualised. Secondly, high levels of masking noise can induce temporary threshold shifts (Stapells, 1984). Lastly, the increased recording time necessary for the off-line response processing makes this procedure lengthy in the context of clinical recording. Derived responses have also been obtained using clicks in conjunction with tones (Berlin and Shearer, 1981; Pantev and Pantev, 1982). The rationale behind this technique is that the pure tones would activate frequency specific regions of the basilar membrane and therefore prevent their responding to the clicks. The derived response at a given frequency is then obtained by subtracting the combined click and tone response from the response obtained to the click alone. Similar problems exist with this procedure as with the derived technique described above (i.e. increases in response noise) and results to date remain equivocal.
The use of tone pips delivered alone has been discussed previously. However, other techniques have been developed which combine tone pip stimulation with masking noise. The advantage of using tone pips in notched noise rather than using clicks is that a lower level of masking is required in masking extraneous frequencies outside the desired notch with tones. Notched noise has been shown to have different effects on wave V latency with tones.
of low and high frequency (Stapells, 1985). The latency of wave V to tones centred at 2000Hz and 4000Hz was found to be unchanged when presented with and without notched noise though amplitude was reduced in the former case. This is due to the reduced contribution of lower frequency activity with masking which removes the broad component upon which wave V is superimposed. Notched noise significantly increases wave V latency (in comparison with tones delivered alone) when 1000Hz and 500Hz tone pips are used. This is due to the delay induced for the stimulus to reach the apical cochlea and also the loss of higher frequency components of the BAEP which produces a broader wave V complex. This technique has proved successful in modelling hearing losses in patient populations (Picton et al., 1979) and results are also encouraging in children (Alberti et al., 1983; Stockard et al., 1983). Tones presented with high pass noise have also been used to generate BAEPs to low frequency tones with some success (Kileny, 1981; Jacobsen, 1983) though this technique is unsuitable for higher frequencies as there is an unacceptable spread of stimulus energy to lower frequency regions.
In summary, complex procedures using clicks and tones presented with masking have allowed the possibility of improved frequency specificity for the BAEP. Their complexity and the time required for their implementation has unfortunately limited their usage at present.
Of the techniques discussed above, the prevailing view currently is that tones presented with notched noise (20dBSPL) below the peak equivalent of the tone using a stimulus repetition rate of 40Hz and a filter bandpass of 20-2000Hz is optimally suited to recording tone pip BAEPs (Stapells et al., 1985). This response would contain both BAEP and MLR components in waking subjects which would increase response amplitude. However, during sleep, the contribution of the MLR would be markedly reduced (Kavanagh and Domico, 1986; Chapter 7 of this thesis).
8.7 CONCLUSIONS.
This experiment has attempted to further establish normative data for tone pip BAEPs within our Clinical Neurophysiology Unit at Aston University, it has shown that click and tone pip evoked BAEPs differ in terms of their morphology, the latency of components and most significantly, their accuracy in the assessment of objective, audiometric threshold. The morphology of the click BAEP is well established but tone pip responses possess fewer component peaks even at high stimulus intensities with the 1000Hz and 500Hz tone pip responses only possessing the broad wave V-SN10 peak in the majority of subjects. Latency of the response components is inversely related to stimulus frequency which necessitates the use of longer sweep times when viewing tone pip responses. Amplitude was found to be highly variable for all stimuli. The latency-intensity curves suggested that the 500Hz and 1000Hz tone pips were frequency specific at lower stimulus intensities (<40dBLSL) and with respect to threshold assessments, the only reliable response component at low stimulus intensities was wave V. Threshold estimations were made for click and tone pip stimuli using conventional BAEP methodology and a 40Hz BAEP protocol. Conventional techniques demonstrated that the smallest differences between subjective and objective threshold were found with click stimuli. Tone pip threshold estimations were most accurate with the 4000Hz stimuli and least accurate with the 500Hz stimuli. The 40Hz BAEP protocol examined click, 4000Hz and 500Hz stimuli and compared threshold estimation using conventional techniques with those obtained using a 40Hz repetition rate and 100msec. time sweep during all-night sleep. Both procedures demonstrated similar threshold estimations for the click and 4000Hz stimuli, but the 40Hz BAEP protocol gave more accurate objective responses at 500Hz than the conventional technique. Although this is an interesting result, it is a preliminary finding and requires confirmation in a larger subject population.
9.1 WHAT WERE THE AIMS OF THIS RESEARCH?
This thesis has examined the middle latency and 40Hz auditory evoked potentials. The characteristics of these responses have remained unclear over the three decades since their initial discovery and therefore their clinical utility has been undervalued in comparison with the BAEP and SVR. The aim of this research has thus been to consolidate our basic understanding of MLR and 40Hz and from this basis, suggest how they might be incorporated more widely into audiological electro-diagnosis. The area in which objective audiometry is most lacking is in the accurate frequency specific assessment of auditory threshold recordable at all levels of arousal. This requirement is most marked in the assessment of children and infants where sleep is usually a pre-requisite for testing. This project was undertaken to see if MLR and 40Hz could satisfy this clinical deficiency. As a result of the sleep study (chapter 7), the recording of tone pip BAEPs became the central area of interest owing to the discovery that the MLR was markedly attenuated in sleep and consequently of limited use in the measurement of hearing thresholds in sleeping subjects.
9.2 SUMMARY OF EXPERIMENTAL RESULTS.
The following two sections (9.2 and 9.3) will first summarise the main findings of this thesis and then compare the effectiveness of the various tests.
9.21 Comparing the SVR and 40Hz response in waking adults.
The first experimental chapter (6) was designed to assess the audiometric utility of the 40Hz response in comparison with the more clinically established slow vertex response (SVR). The findings of the study demonstrated that these tests measured audiometric threshold with an equal degree of reliability in alert, waking subjects. However, the data also showed a higher level of variability in both sets of responses than has previously been reported by other authors.
In searching for possible reasons to explain these findings, it was suggested that the choice of an unmotivated student population as subjects did not facilitate experimental compliance. Following on from this observation it was suggested that sitting and alert protocol perhaps was not optimal for recording the 40Hz response. Therefore, some further subjects were tested lying down in a state of relaxed wakefulness. This was found to reduce the subjective - objective threshold difference and improve the signal to noise ratio. This change in procedure made threshold estimations using the 40Hz response and SVR more alike though further work is indicated in order to test this hypothesis more fully.
The main finding from this experiment was that the SVR and 40Hz response may be used interchangeably in the majority of subjects. This implies that if one of these test yields an equivocal or inconclusive result, the other test may be considered as an alternative. Considering the established nature of the SVR and its high level of success in assessing adult hearing capabilities, it is suggested that this test be favoured initially and the 40Hz used (with confidence) in the small number of cases in which the SVR is unsuitable.
9.22 The effects of sleep and sleep stage on the MLR and 40Hz response.
The most significant finding to emerge from this research was the demonstration of clear changes in the MLR during sleep. All-night sleep recording using wide bandpass filters
showed that responses were different (in terms of morphology, latency and amplitude) in all stages of sleep compared to those recorded in relaxed wakefulness. The most marked changes were observed in slow wave sleep, where the later Nb component of the MLR was often seen to greatly reduce in amplitude or even disappear altogether. This had the effect of merging the Pa and Pb components into one broad positivity of intermediate latency in slow wave sleep (SWS). Middle latency responses recorded in REM sleep resembled more those recorded in wakefulness although of reduced amplitude.
These reported changes have serious consequences for the generation of the 40Hz response during sleep. In wakefulness, it is the inherent (40Hz) periodicity of the MLR which is responsible for producing the super-imposition of successive response averages in the 40Hz procedure. This research would therefore suggest that the 40Hz stimulus repetition rate is no longer suitable for generating a steady-state response during sleep, given that this periodicity is lost. The 40Hz response recorded in sleep consists predominantly of brainstem activity with components later than 20 msec. not contributing to waveform morphology.
The use of a 0.3 to 3000Hz filter bandpass was critical in the detection of these changes in the MLR and 40Hz response found during sleep. Narrow filter settings (such as those which have prevailed in much of the original MLR research) have a profound effect upon the morphology of the MLR. Limitations in the FFT software made it impossible to prove conclusively that the MLR is distorted by narrowing the filter bandpass, though comparison with previous literature would suggest that this is the case (Ozdamar and Kraus, 1983; Kavanagh and Domico, 1986). These results would have serious implications for the generation of the 40Hz response which does not appear to be 'steady-state' during slow wave sleep but rather a succession of brainstem components occurring every 25 msec. with middle latency activity attenuated to a minimum.
Although these findings have shown the precise nature of the MLR and 40Hz responses recorded in sleep, they are not necessarily recommendations for the optimum clinical strategy for recording these responses. Since the aim of clinical recording is response
detection at stimulus intensities near audiometric threshold, it has been argued that by removing low frequency activity the detectability of the MLR and 40Hz could be improved (Musiek et al., 1984; Suzuki et al., 1984; Kraus et al., 1987; McGee et al., 1988). This work confirms the variability present in the MLR during sleep but was unable to confirm the improved detectability of these responses using narrow bandpass filters without FFT filter manipulations. The 40Hz response imposes its own low frequency filter by virtue of the high stimulus repetition rate attenuating lower frequencies which means that highpass filter distortions have little influence over these potentials. Regardless of the filter bandpass chosen, the true physiological nature of the MLR and 40Hz response in sleep should not be forgotten: namely the MLR is changed significantly in sleep and the 40Hz response is a series of BAEPs with very little middle latency activity contributing to the response.
The conclusion that the only reliable components apparent in sleeping subjects were the BAEP with very little middle latency activity, led on to an examination of the possible audiometric utility of the BAEP as generated to tone pip stimuli. Chapter 8 sought to first investigate the characteristics of tone pip BAEPs (their morphology, latency, amplitude and frequency specificity) and then assess frequency specific threshold assessments made with the BAEP: using established recording parameters and also a 40Hz BAEP procedure in sleeping subjects which arose out of the sleep experiment.
9.23 The characteristics of the tone pip BAEP and its role in frequency specific threshold assessment in relaxed wakefulness and in slow wave sleep.
The first part of chapter 8 described the characteristics of the tone pip BAEP (4000Hz, 1000Hz and 500Hz) and compared them to the click BAEP used as a control. Taking each of the tone pips in turn, at high stimulus intensities, the 4000Hz tone pip response resembled the click response (but did not possess wave IV), the component peaks of the response were longer than with the click and amplitude was equally variable with both
stimuli. The latency-intensity curves for click and 4000Hz stimuli were very similar over all stimulus intensities which suggests that the frequency specificity of these stimuli was similar. Using conventional BAEP techniques the mean subjective-objective threshold difference for the click stimulus in relaxed (awake) subjects was 6.0 (±4.8) and for the 4000Hz tone pip stimulus 9.11 (±10.0). This suggests that the 4000Hz tone pip offers no advantage over the click in this capacity. During all-night slow wave sleep, the click once again proved superior in the measurement of hearing thresholds at both 10Hz stimulus repetition rate (click =5dBSL difference, 4000Hz =6.3dBSL difference) and the 40Hz procedure (click=5dBSL difference, 4000HZ =8.75dBSL difference). The 1000Hz tone pip stimuli possessed only a broad wave V-SN10 complex even at high stimulus intensities and this component was of a longer latency than both the click and the 4000Hz response components. The latency-intensity curve for the 1000Hz tone pip had a steeper gradient than the higher frequency stimuli and the latency of the wave V-SN10 configuration was more than 2.5 standard deviations from the click and 4000Hz tone pip stimuli at intensities less than 40dBSL. This suggests that the 1000Hz tones were more frequency specific than the 4000Hz tone pips. Threshold measurements with the 1000Hz stimuli were wider than with the 4000Hz stimuli (1000Hz =19.3±7.1) using conventional BAEP methodology.
The wave V-SN10 component of the 500Hz tone pip responses was longer than for any other stimulus tested at the same intensity. At low intensities, the amplitude of this response was small and hard to define. The latency-intensity curve for the 500Hz tone pip stimuli was steepest of the four stimuli used and showed the greatest difference from the click stimulus particularly at low stimulus intensities. The threshold estimation using conventional BAEP techniques was 25.8dBSL (±7.1) but this was vastly improved using the 40Hz protocol during all-night sleep recording. The threshold difference for the 10Hz (conventional) protocol during sleep was 20dBSL compared with 12.5dBSL using the 40Hz procedure. Thus it appears that sleep induces around 5dBSL improvement in evoked response accuracy and the 40Hz protocol a further 7.5dBSL in comparison to conventional methods in relaxed (awake) subjects. It appears that this method of data acquisition was preferable to existing techniques as it allowed for a succession of
brainstem responses to be seen instead of just a single response. This seemed to be a considerable aid to visual response recognition at 500Hz especially with low levels of stimulus intensity. Further work is needed to corroborate this finding.
9.3 INTERCOMPARISON OF EXPERIMENTAL DATA.
One of the benefits of performing a series of experiments upon a fairly constant subject group, is that certain aspects of these data can be compared across experiments. In this way the SVR, the 40Hz response (both awake and sleeping) and the BAEP can be compared and their effectiveness judged in obtaining good assessments of audiometric threshold. In table 9.1 group mean data is compared using 500Hz and 4000Hz tone pip stimulation and click stimuli. The procedures compared are the SVR and waking 40Hz response (chapter 6), the tone pip BAEP recorded to stimuli delivered at 10Hz repetition rate in both waking and sleeping subjects and the tone pip BAEP generated to the 40Hz procedure during sleep.
Table 9.1 Mean Subjective -Objective threshold differences for the various audiometric procedures used in this thesis.
| Procedure | SVR (alert) \(n=21\) | 40Hz response (awake) \(n=21\) | 10Hz BAEP (relaxed) \(n=20\) | 10Hz BAEP (asleep) \(n=4\) | 40Hz response (asleep) \(n=4\) |
|----------------------------|-----------------------|---------------------------------|-------------------------------|----------------------------|--------------------------------|
| 500Hz tone pip | 11.2 (\( \pm 8.4 \)) | 14.8 (\( \pm 9.8 \)) | 25.8 (\( \pm 7.1 \)) | 20 | 12.5 |
| 4000Hz tone pip | 11.7 (\( \pm 11.0 \))| 13.1 (\( \pm 7.2 \)) | 9.11 (\( \pm 10.0 \)) | 6.3 | 8.75 |
| Click | --- | --- | 6.0 (\( \pm 4.8 \)) | 5.0 | 5.0 |
This table shows a generally good correlation to audiometric threshold for all tests with click stimuli and using 4000Hz tone pips. The most interesting finding is the improvement in 500Hz threshold estimation using the 40Hz BAEP procedure in sleeping subjects described in chapter 8 both over the 10Hz protocol and also the 40Hz response recorded
in waking subjects (chapter 6). The question now arises as to the clinical implications of the research.
Discussing ERA recording in waking subjects first. Considering the results presented in chapter 6, it would appear that the optimal test for the majority of waking adult subjects is the SVR. This long established procedure has proved to be reliable in most cases and provides accurate frequency specific information concerning hearing thresholds. This research and the findings of other workers has indicated that there are however a number of clinical (and normal) cases in which the SVR is unreliable. Such cases include drowsy subjects and those possessing large levels of alpha activity. In these instances, it would appear that the 40Hz response may be used with equal confidence thus providing the clinician with an alternative method of determining hearing thresholds at a range of frequencies. The 40Hz response is optimally recorded in subjects who are lying down comfortably in order to reduce myogenic artefacts to a minimum. This procedure is contrasted to those favoured for the SVR and therefore, if this response is proving inconclusive during an audiological investigation, the clinician is required to interrupt the recording procedure and instruct the subject to lie down before proceeding with 40Hz audiometry.
If, as described above, a patient is lying down in a very relaxed state, it is quite likely that drowsiness and even light sleep will ensue. How then will sleep effect the recording of middle latency and 40Hz responses? This question applies equally to audiometry in children and neonates in whom vertex response audiometry is inappropriate. Chapter 7 has conclusively shown that the MLR and 40Hz responses are not unchanged by level of arousal and all that is being recorded in the latter case is a series of brainstem evoked potentials. The possible exception to this is REM sleep when the later components of the MLR may again be seen. The transition into sleep does not however mean that recording using the 40Hz method must cease. Chapter 8 has indicated that the 40Hz BAEP may have a clinical advantage in facilitating detection of frequency specific responses near hearing threshold using lower stimulus frequencies (500Hz) which up until now have proved the most difficult to test using existing techniques. This work has shown that it is
incorrect to term the 40Hz response a steady-state potential in sleep and that this phenomena only occurs in waking subjects.
In the research environment, the length of time an experimental procedure demands is not a crucial factor. However, in the interests of efficiency in the clinical setting, maximum information concerning auditory integrity must be obtained in a relatively short period of time. A compromise must therefore be reached between the desire for a detailed clinical profile and the necessary speed of data acquisition. In the light of the results presented in this thesis, the following clinical strategies are suggested in order to obtain frequency specific audiological information.
In adult testing, the SVR is the test of choice providing the clearest, most precise profile of hearing thresholds at different frequencies. Multi-frequency, bilateral testing is possible using the SVR in around two hours in cooperative, waking and alert patients. Should slow vertex potentials prove inaccurate, then the patient may be lain down, told to completely relax or sleep if possible and tested using the 40Hz procedure. The 40Hz response will represent a super-imposition of combined BAEP and MLR activity in waking subjects but a succession of BAEPs in patients that have drifted into sleep. In either case, the 40Hz procedure is able to provide frequency specific information concerning hearing capabilities in suitably relaxed subjects.
In children and neonatal ERA, the key audiological questions are firstly, is the patient deaf? secondly, if so, to what extent? and thirdly, is the hearing loss manifest throughout the entire frequency range or are some 'windows of hearing' preserved? In the great majority of patients, these questions must be answered in sleeping or sedated states. Therefore, the first test of choice for assessing basic audiological functioning is the click evoked BAEP. This test has been shown to be very accurate in reflecting general cochlear functioning. Frequency specificity is also possible using the tonal BAEP but experimental procedures must be adapted in order to visualise the responses. These modifications include viewing 20 or 30 msec. of post-stimulus time instead of the more commonly used 10 msec. for click recording and ensuring the systems bandwidth is wide enough to
include the lower frequency activity prevalent in tonal response recording. Once again, the 40Hz protocol may be an advantage when attempting to assess low frequency hearing capabilities. By viewing 100 msec. of post-stimulus time and stimulating at 40/sec. this research has suggested that it is easier to detect the four BAEPs which are subsequently generated, particularly at low stimulus intensities.
Using frequency specific stimuli in the manner described above, it is suggested that bilateral testing at 500Hz taken in conjunction with the click evoked responses (giving information in the >2000Hz range) could provide an improved clinical profile of hearing capabilities.
9.4 LIMITATIONS OF THIS DATA AND SUGGESTIONS FOR FUTURE WORK.
What cautionary factors must be considered when interpreting the results of these experiments? The most significant limitation was the inevitably small sample sizes in the sleep studies considering the nature of the experiments. These investigations required a total of 150 hours of data acquisition time for the fourteen subjects tested. Constraints of time meant that testing a greater number of people was not feasible. Therefore, in order to strengthen the conclusions drawn from this thesis it is intended to further this research and increase the subject database. In the other experiments (6 and 8), it was possible to use larger subject numbers ($n \geq 20$) as the procedures were not as time consuming (around 2.5 - 3.0 hours/subject). The fact that only four subjects were tested using the 40Hz BAEP protocol means that necessarily this data must be viewed with reservations. As a preliminary study, this work indicated that threshold assessments at 500Hz may be improved using this technique but further work is required in order to confirm or reject this result.
In the light of experimental findings, it would be desirable to conduct future normative work on a broader subject population than simply members of the student body. Members of
the general public (both normally hearing and clinical referrals) tend to have a higher degree of incentive to comply with the experimental requirements of evoked response audiometry. This incentive might be financial or simply borne out of a higher level of compliance within a laboratory environment. Student subjects are a non-representative group of the public in general and without such incentives, tend to become bored and uncooperative more easily.
In addition to strengthening the normative subject database, the next logical step in this area of research is to test the accuracy of frequency specific audiometric assessment using tonal brainstem responses and the 40Hz BAEP procedure in a clinical population of known aetiology. Adult subjects with established hearing losses could be examined in order to test the usefulness of these techniques in comparison with the more established methods (SVR). The development of techniques tested in normal subjects must be validated in clinical populations because of the different properties of defective neurons in sensorineurally impaired cochleas (Gorga and Worthington, 1983). Furthermore, it is important to realise that high stimulus intensities are required when testing deaf ears and this means that frequency specificity of tone pip stimuli may be reduced as indicated by the latency-intensity curves shown in chapter 8. Secondly, sedated children could be assessed using tone pip BAEPs in order to validate the accuracy of these responses in children with no history of auditory abnormality and also those in whom hearing difficulties are suspected. However, this would be more problematic in a child population since no subjective baseline is available with which to compare objective responses. Chapter 8 also described alternative techniques for obtaining frequency specific stimuli involving the use of complex stimuli combining masking noise with the stimulus. It would be interesting in future work to explore the use of these techniques both in terms of their accuracy in measuring hearing thresholds and also their clinical feasibility (ie the time required to record responses).
This thesis also reported changes in the MLR during sleep. These changes appeared to be most noticeable in stage 2 and combined stage 3 and 4 sleep. The loss of the later components of the MLR resulted in what appeared to be a change in the frequency
composition of the response which had not been reported previously because of the use of narrow bandpass filters. It was the initial intention to use FFT procedures in order to confirm the changes in the frequency composition of the MLR during sleep. However, software limitations made this impossible and therefore, future work will seek to rectify these problems in order that frequency analyses can take place. The FFT can also provide additional methods of analysing the 40Hz steady-state response (as recorded in waking subjects). Phase measurements and in particular phase coherence can provide important information about the 40Hz response and may be a superior method of analysing these responses than relying on visual inspection alone (Jerger et al., 1986; Stapells et al., 1988).
The effects of various anaesthetics upon the components of the middle latency response were discussed in chapter 7. It would be interesting to study the morphology of the MLR in sedated patients and to relate response morphology to level of arousal and depth of anaesthesia. Any selective effects of different anaesthetics could also be studied continuing a currently developing area of research into the MLR (Duncan et al., 1979; Rabe et al., 1980; Cohen et al., 1982; Dubois et al., 1982; Thornton et al., 1983, 1984, 1985, 1987; Prosser and Arslan, 1985; Schmitt and Chraemmer-Jorgensen, 1986). The work of Thornton and colleagues in particular may warrant re-examination in view of the findings presented in this thesis and the reports of other workers (Kavanagh and Domico, 1986). Thornton has reported the presence of later peaks within the MLR under anaesthesia with various inhalation agents (see above references). However, the bandpass consistently chosen for this research by these authors is 25-3600Hz. In the light of the work laid out in this thesis, the choice of a 25Hz highpass filter may be masking physiological changes in the MLR brought about by sleep and sedation. If this were the case, then the reported existence of later components within the MLR may be the result of non-physiological distortions masking the 10Hz component of this response which this thesis suggests is prominent during non-REM sleep. Further work is therefore indicated in order to confirm or refute these findings.
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APPENDICES.
APPENDIX 1
Chapter 7: RAW DATA
The following data presents the individual values of latency and amplitude for wave V and all measurable components of the MLR during wakefulness, stage 2, stage 3/4 sleep and REM sleep using click, 500Hz and 4000Hz stimuli. In all the tables, LAT denotes latency (msec.) and AMP denotes amplitude (nV). Amplitude measurements for the 40Hz response are also included. The values for standard deviation were rounded off to 2 significant figures in all calculations.
| | Click 5Hz LAT | AWAKE | Na LAT | Pa LAT | AMP Na-Pa LAT | Nb LAT | AMP Pa-Nb LAT | Pb |
|-----|---------------|-------|--------|--------|--------------|--------|--------------|----|
| JW | 7.2 | 19.6 | 81.2 | 33.6 | -896 | 40.4 | 266 | 49.6 |
| TP | 6.4 | 18.4 | 77.0 | 28.8 | -173.0 | 42.8 | 1.30 | 58.4 |
| JG | 6.8 | 16.4 | 63.0 | 33.6 | -1000 | 46 | 322 | 62 |
| ND | 7.2 | 20.4 | 63.0 | 32.8 | -686 | 43.6 | 196 | 53.2 |
| HB | 8.8 | 20.8 | 43.4 | 31.2 | -686 | 43.6 | 378 | 58 |
| MR | 8.8 | 21.2 | 82.6 | 32.4 | -784 | 47.6 | 756 | 60 |
| DT | 6.8 | 18.4 | 1000 | 31.6 | -99.4 | 42.8 | 448 | 54.8 |
| PF | 6.8 | 23.2 | 67.2 | 32.8 | -1240 | 45.2 | 548 | 58.4 |
| AE | 6.8 | 19.2 | 79.8 | 28.8 | -546 | 38.4 | 644 | 51.2 |
| AH | 6.8 | 18.4 | 98.0 | 28.8 | -938 | 41.6 | 626 | 55.6 |
| Mean| 7.24 | 19.6 | 755.2 | 31.44 | -950 | 45.2 | 461.2 | 56.12 |
| Std. Dev.| 0.8089499 | 1.797764 | 161.92393 | 1.8693314 | 320.96106 | 2.5543951 | 286.01986 | 3.7525458 |
Individual latency and amplitude measurements for click stimuli in waking subjects.
| AMP Nb-Pb | LAT | AMP Pb-NC | LAT | PC | LAT | AMP Nb-PC |
|-----------|-----|-----------|-----|-----|-----|-----------|
| -350 | | | | | | |
| -1300 | | | | | | |
| -952 | | | | | | |
| -350 | 67.2| 44.8 | | | | |
| -462 | 69.2| 89.9 | B4.4| -116.0 |
| -550 | | | | | | |
| 378 | 7.0 | 93.9 | | | | |
| -322 | | | | | | |
| -1630 | | | | | | |
| -840 | 68.8| 760.66667 | 84.4| -116.0 |
| -714.4 | 1.1775681 | 221.75261 | 0 | 0 | |
Individual latency and amplitude measurements for click stimuli in waking subjects cont.
| Subject | N | Stage 2 sleep | AMPY | Na | p8 | AMP Na - Pa |
|---------|----|---------------|------|----|----|--------------|
| Click 5Hz | LAT | LAT | LAT | LAT | LAT | LAT |
| JW | 8.4 | 17.6 | 46.2 | 39.6 | -9.94 |
| TP | 6.4 | 20 | 11.2 | 31.2 | -19.40 |
| JG | | | | | | |
| MD | 8.4 | 24.4 | 28.6 | 40 | -8.12 |
| MB | 6.8 | 21.2 | 420 | | |
| MR | 6.4 | 20.8 | 50.4 | 35.6 | -9.52 |
| DT | 7.2 | 21.2 | 140 | 31.6 | -10.00 |
| PF | 6.8 | 22.4 | 51.9 | 33.2 | -8.28 |
| AE | 6.4 | 20.4 | 1160 | 30.4 | -10.00 |
| AH | 7.2 | 22 | 1520 | 42 | -17.00 |
| Mean | 7.1111111 | 21.111111 | 566.88889 | 35.45 | -1159.25 |
| St. Dev.| 0.7489911 | 1.7463896 | 444.57431 | 4.2470578 | 393.88696 |
Individual latency and amplitude measurements for click stimuli in subjects in stage 2 sleep.
| Nb | LAT | AMP Pa-Nb | Pb | LAT | AMP Nb-Pb |
|----|-----|-----------|----|-----|-----------|
| 54.4 | 7.42 | | | | |
| 54 | 14.10| | | | |
| 42.4 | 16.8 | | | | |
| 42.8 | 40.6 | 57.2 | -700 | | |
| 48.4 | 68.15| 57.2 | -700 | | |
| 5.8034473 | 4.6742780 | 0 | | | |
Individual latency and amplitude measurements for click stimuli in subjects in stage 2 sleep cont.
| Click StHz | V | LAT | Stage 3/4 | Na | Pa | Nb | Pb |
|------------|-----|-----|-----------|----|----|----|----|
| | | | | AMP V-Nb | LAT | AMP Na-Pa | LAT |
| JW | 9.6 | | | 23.6 | 560 | 38.4 | -51.8 |
| TP | 6.4 | | | 21.6 | 700 | 37.6 | -1800 |
| JC | 7.2 | | | 16.4 | 406 | 32.4 | -938 |
| MD | 6.8 | | | 23.6 | 420 | 38.4 | -658 |
| MB | 6.8 | | | 22.4 | 588 | 33.2 | -92.6 |
| MR | 8 | | | 23.6 | 154 | 41.6 | -854 |
| DT | | | | | | | |
| PF | 6.8 | | | 24.4 | 546 | 40.8 | -82.6 |
| AE | 6.4 | | | 20.8 | 364 | 41.2 | -2110 |
| AH | 7.25| | | 22.05| 467.25 | 37.95 | -1066.25 |
| Mean | 1.0087121 | 2.4119494 | 157.45138 | 3.2768125 | 532.91504 | 0 | 0 |
Individual latency and amplitude measurements for click stimuli in subjects in stage 3/4 sleep.
| Click Size | LAT | Na | AMP v - Na | LAT | AMP Na - Pa |
|------------|------|------|------------|------|--------------|
| JW | 8.4 | 19.2 | 196 | 34.8 | -1230 |
| TP | 6.4 | 20.4 | 168 | 30.8 | -1700 |
| JD | | | | | |
| MD | | | | | |
| MB | 7.2 | 21.6 | 784 | 34.8 | -644 |
| MR | | | | | |
| DT | | | | | |
| PF | 6.8 | 22.4 | 672 | 32.4 | -1 |
| AE | 6.8 | 21.2 | 952 | 30.8 | -658 |
| AH | 6.4 | 18.4 | 1330 | 42 | -1660 |
| Hebn | 7 | 20.533333 | 683.666667 | 34.266667 | -982.1667 |
| St. Dev. | 0.6831301 | 1.3792107 | 408.99946 | 3.8273867 | 608.04233 |
Individual latency and amplitude measurements for click stimuli in subjects in REM sleep.
| Nb | LAT | AMP Pa--Nb | LAT | Pb | AMP Nb--Pb |
|----|-----|------------|-----|----|------------|
| | | | | | |
| 43.2 | | 71.4 | | 58 | -88.2 |
| 46 | 112 | 60.4 | | -43.4 | |
| 46 | 672 | | | | |
| 41.6 | 43.4 | 58.4 | | 144.0 | |
| 57.6 | 70 | 72.8 | | -56.0 | |
| 46.89 | 40.4 | 62.4 | | -82.9 | |
| 5.6193950 | 270.39441 | 6.0728906 | 388.75314 | |
Individual latency and amplitude measurements for click stimuli in subjects in REM sleep cont.
| Pb LAT | AMP Nb-Pb LAT | NC | AMP Pb-Nc LAT | Nb |
|--------|---------------|----|---------------|----|
| 62.4 | -1050 | | | 42 |
| 63.6 | -1120 | | | 46.8 |
| 64.4 | -798 | | | 48 |
| 55.6 | -574 | | | 46.8 |
| 56.8 | -994 | | | 392 |
| 64.4 | -1030 | | | 44 |
| 59.2 | -490 | 71.2 | 308 | 47.6 |
| 61.6 | -518 | | | 50.4 |
| 54 | -322 | | | 43.6 |
| 60.17778 | -766.2222 | 71.2 | 308 | 45.911111 |
| 3.6907626 | 278.95749 | 0 | 0 | 2.5141574 |
Individual latency and amplitude measurements for 500Hz stimuli in waking subjects cont.
| Subject | Age (y) | 500Hz 5Hz LAT | Stage 2 sleep Na LAT | Stage 2 sleep AMPy-Na LAT | Pa | AMP Na-Pa |
|---------|--------|---------------|----------------------|---------------------------|----|------------|
| JW | 14.4 | | | | | |
| TP | 10.8 | | | | | |
| JG | 10.8 | | | | | |
| MD | 9.6 | | | | | |
| MB | 10.4 | | | | | |
| MR | 9.6 | | | | | |
| DT | 11.6 | | | | | |
| PF | 11.2 | | | | | |
| AE | 11.2 | | | | | |
| AH | 10 | | | | | |
| Mean | 10.96 | | | | | |
| St. Dev.| 1.3169662 | | | | | |
Individual latency and amplitude measurements for 500Hz stimuli in subjects in stage 2 sleep.
| Nb | LAT | AMP Pa - Nb | Pb | LAT | AMP Nb - Pb |
|----|-----|-------------|----|-----|-------------|
| | | | | | |
| 55.2 | 180.0 | | | | |
| 50 | 0 | 59.2 | | | -406 |
| 46.8 | 2.0 | 56 | | | -350 |
| 50.666667 | 6.06.66667 | 57.6 | | | -378 |
| 3.4615347 | 8.4385359 | 1.6 | | | 28 |
Individual latency and amplitude measurements for 500Hz stimuli in subjects in stage 2 sleep cont.
| | 500Hz 5Hz | LAT | Na | AMP y - Ns | Pa | AMP Na - Pa |
|---|-----------|-----|----|------------|----|-------------|
| JW' | 14 | | | | | |
| TP | 9.2 | | | | | |
| UC | 10.8 | 28 | 700| 36.4 | 40 | -1900 |
| MD | 11.6 | | | | | |
| MB | 10.4 | 24.8| 84 | | | |
| MR | 11.6 | 24.8| -2.40| 47.6 | | -2340 |
| DT | 12.4 | 29.6| 15.4| 49.2 | | -924 |
| PF | 10.8 | 27.2| 32.2| | | |
| AE | 11.2 | 24.8| 25.2| | | |
| AH | 10.4 | 25.6| 42.0| 45.2 | | -1510 |
| Mean | 11.24 | 26.15| 27.8| 42.866667 | | -1303.667 |
| St. Dev. | 1.2322337 | 1.7769356 | 270.81174 | 4.7552109 | 669.25572 |
Individual latency and amplitude measurements for 500Hz stimuli in subjects in stage 3/4 sleep.
| | W 500Hz 5Hz LAT | Stage REM Na LAT | ANP Y-Na LAT | Pa ANP Na-Pa |
|---|-----------------|------------------|--------------|-------------|
| JW | 14.4 | 30.4 | 42 | 40.4 |
| TP | 9.5 | 23.6 | 67.2 | 34.8 |
| JG | | | | -1680 |
| HD | | | | -1450 |
| MB | 10.4 | 24.8 | 47.6 | 52.6 |
| HR | | | | -238 |
| DT | 11.6 | 28.4 | 99.4 | 36 |
| PF | | | | -448 |
| AE | 10.8 | 24.4 | 124.0 | 32.4 |
| AH | 10 | 25.6 | 64.4 | 42 |
| Mean | 11.13333 | 26.2 | 67.8 | 36.366667 |
| St. Dev. | 1.5902481 | 2.4083189 | 379.07607 | 3.6631802 |
Individual latency and amplitude measurements for 500Hz stimuli in subjects in REM sleep.
| Nb | LAT | Amp Pa - Nb | Pb | LAT | Amp Nb - Pb |
|----|-----|-------------|----|-----|-------------|
| | | | | | |
| 47.2 | 168 | | | | |
| 42.8 | 266 | 58.8 | -490 | | |
| 43.6 | 490 | | | | |
| 44.533333 | 3.08 | 58.8 | -490 | | |
| 1.9135933 | 134.76894 | 0 | 0 | | |
Individual latency and amplitude measurements for 500Hz stimuli in subjects in REM sleep cont.
| | 4kHz 5Hz | V | LAT | Na | AWAKE | AMP Na - Pa |
|---|----------|------|-----|-----|-------|-------------|
| 1 | JW | | | | | |
| 2 | TP | | | | | |
| 3 | JG | | | | | |
| 4 | HD | | | | | |
| 5 | MB | | | | | |
| 6 | HR | | | | | |
| 7 | DT | | | | | |
| 8 | PF | | | | | |
| 9 | AE | | | | | |
| 10| AH | | | | | |
| Mean | | | | | | |
| St. Dev. | | | | | | |
Individual latency and amplitude measurements for 4000Hz stimuli in waking subjects.
| Nb | IAT | AMP Pa-Nb | Pb | AMP Nb-Pb | Nc | AMP Pb-Nc |
|----|-----|-----------|----|-----------|----|-----------|
| 38.4 | 420 | 53.2 | -266 | 71.2 | 42 |
| 39.2 | 1030 | 55.6 | -1120 | | |
| 42.8 | 308 | 54 | -252 | | |
| 40.8 | 616 | 53.6 | -448 | | |
| 43.6 | 826 | 54 | -686 | | |
| 41.2 | 630 | 52.8 | -336 | | |
| 40.4 | 224 | 51.6 | -252 | | |
| 42.8 | 28 | 56.4 | -462 | | |
| 42 | 518 | 53.6 | -616 | | |
| 41.2,44444 | 522.5 | 53.866667 | -523.25 | 71.2 | 42 |
| 1,6378245 | 306.11068 | 1.3466007 | 268.19571 | 0 | 0 |
Individual latency and amplitude measurements for 4000Hz stimuli in waking subjects cont.
| | 4kHz 5Hz | LAT | Na | LAT | AMP Na - Nb | LAT | AMP Na - Pa | Nb |
|-------|----------|-----|----|-----|-------------|-----|-------------|----|
| JW | 8 | | 19.6 | 3.78 | -5.88 | | | |
| TP | 6.8 | | 22 | -22.4 | -11.70 | | | |
| JG | 7.2 | | 20 | 50.4 | 3.36 | | | |
| ND | 8.8 | | | | | | | |
| NB | 8 | | | | | | | |
| HR | 6.8 | | 20.4 | 28.0 | 35.6 | | | |
| DT | 7.6 | | 22.8 | 39.2 | 40.4 | | | |
| PF | 7.2 | | 23.2 | 25.2 | 37.2 | | | |
| AE | 7.2 | | 20.8 | 43.4 | 33.2 | | | |
| AH | 6.8 | | 19.6 | 52.0 | 42 | | | |
| Nebn | 7.44 | | 20.933333 | 283.33333 | 36.711111 | -11.593333 | 48.4 | 1190 |
| St. Dev. | 0.6248200 | | 1.3063945 | 230.72254 | 3.1336271 | 665.06073 | 0 | 0 |
Individual latency and amplitude measurements for 4000Hz stimuli in subjects in stage 2 sleep.
| | 4kHz 5Hz | LAT | Na | ΔTP - Ns | Pa | ΔMP Na - Pa |
|--------|----------|-----|----|----------|----|-------------|
| JW | | 12 | | 21.2 | 518| 33.2 |
| TP | | 6.8 | | 22.4 | -98| 30.8 |
| JG | | 7.2 | | 23.2 | 574| 39.2 |
| MD | | 7.6 | | 22 | 392| 32.4 |
| MB | | 8 | | | | |
| MR | | 8.4 | | 2.4 | 350| 44.8 |
| DI | | 7.2 | | 21.2 | 504| 33.6 |
| PF | | 7.2 | | 19.4 | 280| 33.2 |
| AE | | 6.8 | | | | |
| AH | | 8 | | | | |
| Mean | | 8 | | 21.771429| 360| 35.314286 |
| St. Dev| | 1.6 | | 1.6679451| 210.02857| 4.5642801|
Individual latency and amplitude measurements for 4000Hz stimuli in subjects in stage 3/4 sleep.
| Nb | AMP Pa - Nb | Pb | AMP Nb - Pb |
|----|-------------|----|--------------|
| LAT | LAT | | |
49.2 -2.8
44.5 -42.0 59.6 -84.0
46.85 -22.4 59.6 -84.0
2.35 19.6 0 0
Individual latency and amplitude measurements for 4000Hz stimuli in subjects in stage 3/4 sleep cont.
| Subject | 4kHz 5Hz | Latency (ms) | Stage REM1 | Pa |
|---------|----------|--------------|------------|----|
| JW | 8.3 | 18 | 196 | 28.8 |
| TP | 6.8 | 20.4 | 308 | 29.6 |
| IG | | | | |
| MO | 8 | 24.4 | 490 | 37.2 |
| MB | 8 | 21.2 | 57.4 | 29.6 |
| MR | | | | |
| DT | 8 | 22.8 | 406 | 28.8 |
| PF | 7.2 | 22 | 63.0 | 32 |
| AE | 7.2 | 19.6 | 78.4 | 31.2 |
| AH | 6.8 | 19.2 | 57.4 | 28.8 |
| Mean | 7.5 | 20.95 | 495.25 | 30.75|
| St Dev | 0.6635250| 1.9487175 | 175.550338 | 2.6790857 |
Individual latency and amplitude measurements for 4000Hz stimuli in subjects in REM sleep.
| Nb | LHT | AMP Pb-Nb | LAT | AMP Nb-Pb | LAT | AMP Pb-Nc | LAT |
|----|-----|-----------|-----|-----------|-----|-----------|-----|
| 41.6 | 728 | | | | | | |
| 46 | 280 | | | | | | |
| 48 | 266 | | | | | | |
| 43.6 | 350 | 54.9 | -25.2 | 76.4 | 23.8 |
| 44.4 | 238 | 59.6 | -43.4 | 76.4 | 23.8 |
| 42.4 | 70 | 5.4 | -35.0 | 65.2 | 19.6 |
| 44.4 | 324 | 56.133333 | -345.3333 | 70.8 | 21.7 |
| 2.0057061 | 185.64482 | 2.4725649 | 74.374428 | 5.6 | 21 |
Individual latency and amplitude measurements for 4000Hz stimuli in subjects in REM sleep cont.
Significant t-test values
1. Click stimulus
Na component
| | Latency | Amplitude |
|----------------|---------|-----------|
| | t | Sig. | t | Sig. |
| Wake-S3/4 | 3.97 | 0.0054 | 2.95 | 0.02 |
| S2-S3/4 | 3.54 | 0.0122 | - | - |
Pa component
| | | |
|----------------|---------|-----------|
| Wake-S2 | 2.72 | 0.0296 |
| Wake-S3/4 | 3.89 | 0.006 |
Significant t-test values
2. 500Hz stimulus
Na component
| | Latency | Amplitude |
|----------------|---------|-----------|
| | t | Sig. | t | Sig. |
| Wake-S2 | 3.99 | 0.005 | 3.37 | 0.01 |
| Wake-S3/4 | 3.01 | 0.023 | 3.51 | 0.01 |
Pa component
| | | |
|----------------|---------|-----------|
| Wake-S2 | 3.92 | 0.004 |
| Wake-S3/4 | 2.82 | 0.04 |
Significant t-test values
3. 4000Hz stimulus
Pa component
| | Latency | |
|----------------|---------|---------|
| | t | Sig. |
| Wake-S2 | 6.02 | 0.0005 |
| Wake-S3/4 | 2.71 | 0.03 |
Significant values of Students t-test and level of significance for latency and amplitude of the Na and Pa components of the 5Hz MLR comparing different states of arousal for all stimuli.
Amplitude of the 40Hz response at different levels of arousal using click stimuli. Each value is the average of the four component peaks of the response. (uV)
| CI | W | S2 | S3/4 | REM |
|----|-----|-----|------|-----|
| 1 | TP | 1.775 | 1.7 | 1.25 |
| 2 | AE | 1.875 | 1.1 | 1.03 | 1.08 |
| 3 | JG | 1.525 | | | |
| 4 | MD | .95 | .65 | .6 | .75 |
| 5 | MB | 1.45 | .85 | .85 | .525 |
| 6 | MR | 1.775 | .9 | | |
| 7 | PF | 1.725 | .7 | 1.3 | 1.15 |
| 8 | DT | 1.875 | .9 | 9.25 | |
| 9 | AH | 1.525 | .6 | .6 | 1.3 |
| 10 | JW | | .35 | .325 | |
Amplitude of the 40Hz response at different levels of arousal using 500Hz stimuli. Each value is the average of the four component peaks of the response. (uV)
| 500Hz | W 500Hz | S2 500Hz | S3/4 500Hz | REM 500Hz |
|-------|---------|----------|------------|-----------|
| JW | 1.025 | | | .35 |
| MR | 1.475 | .975 | | |
| JG | .1 | .35 | | |
| MD | .725 | .4 | .375 | .325 |
| PF | 1.425 | .65 | .425 | |
| TP | 1.175 | 1.575 | 1.05 | 1.25 |
| MB | 1.125 | .5 | .425 | .475 |
| DT | 1.225 | .725 | .425 | |
| AH | .825 | .925 | .55 | .775 |
| AE | .725 | .525 | .3 | .525 |
Amplitude of the 40Hz response at different levels of arousal using 4000Hz stimuli. Each value is the average of the four component peaks of the response. (uV)
| 4kHz | W 4kHz | S2 4kHz | S3/4 4kHz | REM 4kHz |
|------|--------|---------|-----------|----------|
| JW | 1.025 | .4 | .2 | .625 |
| TP | 1.375 | .85 | .75 | .9 |
| JG | .85 | .725 | .5 | |
| MD | .75 | .7 | .625 | .575 |
| MB | .95 | .5 | | .35 |
| MR | .7 | .525 | | |
| PF | .1 | .775 | .725 | .75 |
| DT | 1.05 | .7 | .625 | .675 |
| AE | 1.475 | .7 | .575 | .75 |
| AH | .875 | 1.125 | .85 | .825 |
APPENDIX 2
SUPPORTING PUBLICATIONS..
1. JONES, L.A. and BAXTER, R.J. (1988) Changes in the auditory middle latency responses during all-night sleep recording. Br. J. Audiol. 22: 279-285.
2. BAXTER, R.J. and JONES, L.A. (1988) Changes in the auditory middle latency responses during all-night sleep recording. Electroenceph. Clin. Neurophysiol. 69 (4): 74P.
3. BAXTER, R.J. and JONES, L.A. (1988) The effect of sleep stage on the morphology and threshold determination of the auditory middle latency responses. 19th Int. Congr. Audiol. Jerusalem, Israel. (Int. Soc. Audiol.). Unpublished abstract.
Changes in the auditory middle latency responses during all-night sleep recording
Lesley A. Jones and Richard J. Baxter
Clinical Neurophysiology Unit, Department of Vision Sciences, Aston University, Aston Triangle, Birmingham B4 7ET
(Received 25 January 1988, and in revised form 15 April 1988)
CHANGES IN THE AUDITORY MIDDLE LATENCY RESPONSES DURING ALL-NIGHT SLEEP RECORDING.
RICHARD J. BAXTER AND LESLEY A. JONFS
CLINICAL NEUROPHYSIOLOGY UNIT, DEPARTMENT OF VISION SCIENCES,
ASTON UNIVERSITY, BIRMINGHAM, ENGLAND B4 7ET.
THE EFFECT OF SLEEP STAGE ON MORPHOLOGY AND THRESHOLD DETERMINATION OF THE AUDITORY MIDDLE LATENCY RESPONSES.
RICHARD L. BAXTER AND LESLEY A. JONES.
CLINICAL NEUROPHYSIOLOGY UNIT, DEPARTMENT OF VISION SCIENCES, ASTON UNIVERSITY, BIRMINGHAM, ENGLAND B4 7ET.
|
Contractor's Claims under the FIDIC International Civil Engineering Contract
Christopher R Seppala
The FIDIC international civil engineering contract (the 'FIDIC Conditions') has enjoyed wide currency in recent years due, in part, to the boom in international construction in the oil producing countries, which began in the 1970s. According to one source, the FIDIC Conditions govern close to 30% of the civil engineering contracts in the Middle East and most of the projects financed by the World Bank. While those letting out construction projects (herein and in the FIDIC Conditions called 'Employer(s)') frequently modify their terms in practice, the FIDIC Conditions probably remain the most widely-used standard form of contract conditions in international construction.
Though described as 'international', the FIDIC Conditions derive from, and remain closely modelled on, a form of conditions of contract used for civil engineering work in England: the Conditions of Contract of the English Institution of Civil Engineers (the 'ICE Conditions'). Thus, the FIDIC Conditions incorporate, among other things, the traditional English contract system under which important administrative and quasi-judicial powers are conferred on the person supervising execution of the works on the employer's behalf, the engineer (herein and in the FIDIC Conditions called the 'engineer'). While this system was exported from the United Kingdom, in the 19th century, to countries of the former British empire (Canada, Australia, South Africa, etc) and adopted in the United States, it remains fundamentally different from construction contract practices on the continent of Europe, and elsewhere.
A contractor may assert two basic types of claims against the employer. He may claim additional compensation or an extension of time by virtue of a clause in the FIDIC Conditions. Alternatively, the contractor may claim additional compensation based upon a provision of the applicable municipal law, e.g. a claim relating to a breach of contract for which the contract terms provide no remedy or a claim relating to a tort such as fraud or negligence. This article will address only the first type of claim, that is, one based on a clause of the FIDIC Conditions, and will not discuss the second type of claim, based purely in law, the nature and availability of which may vary with the municipal law applicable.
As a general rule, during the performance of the works, it will be in the contractor's interest to claim under a clause (or clauses) of the FIDIC Conditions whenever this is feasible. A valid claim based on a particular clause is more likely to be entitled to interim payment and is, as well, readily susceptible to evaluation by the engineer. On the other hand, a claim based not on the FIDIC Conditions, but purely in law, not only may not be entitled to interim payment but, arguably, if FIDIC's own position is accepted, may be beyond the engineer's power to settle. FIDIC states that:
'The Engineer's task is to interpret the Contract as written and not to determine the legal rights of either party.'
which suggests that, as a claim based in law could not be settled by the engineer, it might only be settled by, and in the event of, an international arbitration in relation to the contract concerned.
Three of the major claim areas under the FIDIC Conditions are the following:
- unforeseen conditions and obstructions (clause 12);
- variations or changes in the works (clauses 51 and 52); and
- delays (clause 44 and others).
The discussion under 'The Contractor's Major Claims' below will concentrate primarily on these three types of claims. Brief reference will nevertheless be made to the other types of claims available to the Contractor under the FIDIC Conditions (see under 'Other Claims', below), to the procedure for the notification of claims (clause 52(5)) and to the settlement of disputes (clause 67) (see under 'Claim Notification Procedure and Disputes').
Before considering the major claim areas, however, it is necessary to say a few words about the special role of the engineer under the FIDIC Conditions.
Role of the engineer
When an employer plans the execution of a civil engineering project to be let out for international competitive bidding, he will ordinarily wish to appoint a consulting engineer to advise him and to act on his behalf. The employer will ordinarily then enter into an agreement with such engineer (herein the 'Engineer') pursuant to which the engineer will agree, among other things, to prepare initial studies and a feasibility report and, assuming the employer decides to proceed with the project, to prepare the tender and contract documents and drawings. The engineer will often further agree that, once the construction contract is signed, he will supervise the execution of the works by the contractor.
Although the employer's agreement with the engineer will refer generally to the construction contract to be entered into between the employer and the contractor, the engineer will not be a party to the construction contract. However, when the FIDIC Conditions are incorporated into the construction contract which is signed, the effect of their terms is to confer a distinct function on the engineer: he becomes the administrator of the contract and, for this purpose, is accorded important powers and duties which extend beyond his agency relationship with the employer. The powers and duties which the FIDIC Conditions confer include, among others, the following: to certify the value of work for purposes of interim and final payment to the contractor; to order 'variations' in the works or 'suspensions' in the execution of the works to decide the contractor's claims for additional monies or for extensions of time; and, finally, to decide disputes or differences, if any, between the contractor and the employer or the engineer subject, however, to the right of the employer or the contractor, if dissatisfied with the engineer's decision, to refer the matter to international arbitration.
In performing these various administrative duties, the engineer is regarded as having a dual role. On the one hand, he is considered as acting as the agent of the employer in supervising construction and in ensuring that the contractor executes the works properly in accordance with the terms of the construction contract. On the other hand, in performing certain other administrative functions and, in particular, in deciding the contractor's claims for additional payment or extensions of time and in settling disputes under the contract, the engineer is not expected to act only in the employer's interest. Instead, he is regarded as having an implied duty to act with complete independence, that is, to apply the contract impartially, honestly and with professional integrity towards both parties to the contract.
While, in considering the contractor's claims, the engineer is entitled to receive representations from either party, he is not entitled to accept instructions as to the position he should adopt. If the employer gives such instructions, he may be in breach of contract; if the engineer accepts them, he would, at least under English law, be guilty of 'misconduct' as would be an arbitrator who failed to act impartially. Even if a contractor's claim, or a dispute, calls into question the conduct of the employer, or of the engineer himself (eg an alleged error in the engineer's design), the engineer is required, under English law at least, to decide it independently and without bias.
Many question whether it is realistic to expect a person in the engineer's position to perform his administrative functions with the required independence, especially when a claim may put in dispute the engineer's own conduct or that of the employer who has hired, pays and may replace him. Nevertheless, there can be no doubt that the efficient functioning of the procedures for the settlement of contractors' claims under the FIDIC Conditions hinges largely on the faithful fulfilment of the engineer's impartial role. As one engineer has written:
'The efficiency of the system written into the FIDIC Contract for settling all claims and solving all disputes relies heavily on the one hand upon strict compliance by the Contractor with the proper drill for making claims combined with, on the other hand, strict compliance by the Engineer, in an impartial way, with the proper drill for settling claims' (emphasis added).
As all claims of the contractor must be submitted to the engineer (and as all communications from the employer to the contractor are expected to pass through the engineer), the engineer is, for most practical purposes, the highest adjudicator of rights and claims under the contract.
The ultimate recourse against a decision made by the engineer is international arbitration. Under the current edition of the FIDIC Conditions, the contractor can commence arbitration before completion of the works. However, he will refrain normally from doing so in practice in order to avoid jeopardising his relations with the employer (while the employer is still making regular, if insufficient, payments) and placing his bonds and retention monies, if any, at risk. Moreover, if the contractor has one claim he wishes to arbitrate, he will usually have others, and if he has others, he will ordinarily prefer to assert them all together in a single proceeding, after approval by the engineer of the contractor's final account. Consequently, arbitration will usually only be commenced, in practice, after the works have been completed.
For these reasons, among others, when a project is let out on the basis of the FIDIC Conditions, the identity of the person chosen to act as the engineer is critical to an evaluation of the risks of the project by the contractor and, in particular, the likelihood, or not, that his claims will be evaluated fairly and settled promptly.
The contractor's major claims
(A) Unforeseen conditions or obstructions (clause 12)
A major risk in any construction project is that the contractor may encounter unforeseen conditions or obstructions during the course of construction which cause an increase in his costs. For example, ground conditions may be substantially harder or softer than anticipated, permafrost or subsurface water may be discovered where none was foreseen, or good foundation rock...
may be found only at a substantially lower depth than had been expected.
In the invitation for tenders, the employer will usually provide prospective tenderers with information as to the site and its surroundings. During the tender period, the contractor will ordinarily have carried out a site inspection and performed other investigations for purposes of preparing his tender. Nevertheless, despite the good faith efforts of the parties, it is quite likely, in any major project, that the contractor will encounter some unanticipated conditions which increase his costs, possibly substantially.
Who should be made to bear these additional costs?
The traditional rule of law, in the common law countries at least, has been that regardless of the difficulties he may encounter, the contractor must carry out the works at the agreed price. Subject to some qualification (as discussed below), this basic principle is maintained in the FIDIC Conditions. Under them, the contractor is generally responsible for completing the works, as designed, for the contract price. If unforeseen events occur during construction which cause increased costs or delays, or both, these are ordinarily presumed to have been included in his tender price.
In the United Kingdom and the USA, however, strict adherence to this principle has not been felt to be in the long-run interests of employers. If the entire risk of unforeseeable events were placed on contractors, then, in order to stay in business, contractors would be expected to establish a reserve in their bids for each and every contingency which might arise, leading inevitably to higher bid prices. Employers would then, in turn, have to pay these higher bid prices, as contract prices, whether the contingencies reserved against materialised or not. This practice, it was felt, would be more costly for employers in the long run than if employers undertook themselves to bear the risk of unforeseeable events and, thus, only paid for them if, and to the extent that, they should actually arise. Accordingly, as an exception to the above principle, contracts in the United Kingdom and the USA often make the employer bear the risk of specified unforeseeable events.
The FIDIC Conditions give effect to this exception in Clause 12 by providing that, if certain defined contingencies arise which cause the contractor increased costs, the contractor shall be entitled to claim compensation therefor from the employer. Clause 12 provides in relevant part, as follows:
"If, however, during the execution of the Works the Contractor shall encounter physical conditions, other than climatic conditions on the Site, or artificial obstructions, which conditions or obstructions could, in his opinion, not have been reasonably foreseen by an experienced contractor, the Contractor shall forthwith give written notice thereof to the Engineer's Representative and if, in the opinion of the Engineer, such conditions or artificial obstructions could not have been reasonably foreseen by an experienced contractor, then the Engineer shall certify and the Employer shall pay the additional cost to which the Contractor shall have been put by reason of such conditions, including the proper and reasonable cost (a) of complying with any instruction which the Engineer may issue to the Contractor in connection therewith, and (b) of any proper and reasonable measures approved by the Engineer which the Contractor may take in the absence of specific instructions from the Engineer, as a result of such conditions or obstructions being encountered."
The policy to relieve the contractor of financial responsibility for certain unforeseeable risks is manifested in other clauses of the FIDIC Conditions.
To recover under Clause 12, the contractor must demonstrate three things, namely, that
(a) he has encountered physical conditions or artificial obstructions;
(b) these could not have been reasonably foreseen by an experienced contractor; and
(c) they have caused him additional cost.
This clause also requires the contractor to give immediate written notice to the engineer's representative. While it is always prudent to give prompt notice of claims, under English law, at least, a failure to do so under this clause would not necessarily bar the claim.
Each of the three above conditions will now be examined.
(a) 'Physical conditions' or 'artificial obstructions'
The second edition of the FIDIC Conditions referred simply to 'physical conditions or artificial obstructions', whereas the third (current) edition refers to 'physical conditions, other than climatic conditions on the site, or artificial obstructions'. Thus, under the current edition, the contractor is denied the right to claim for extra costs due to climatic conditions on the site which he could not reasonably have foreseen.
The term 'physical conditions' is so broad that it cannot be defined with precision. In British practice, at least, it is acknowledged to include such matters as unexpected ground conditions, geological faults and changes in water tables. The term 'artificial obstructions' appears, again according to British practice, to refer to non-natural events which hinder or stop the contractor's work. Examples are underground sewers and man-holes, foundations and other man-made structures.
The question often arises in practice whether these two terms are restricted to truly physical (that is, materially existing) objects or occurrences, or may extend to other phenomena, such as, to take some varied examples, port congestion, shortages of raw materials, interference with access to the site due to the presence of another contractor, changes in laws or regulations which interfere with the contractor's work, and economic phenomena, such as inflation.
When interpreting a virtually identical clause in the English ICE Conditions, British authorities are generally unwilling to extend these terms in this way. However, British interpretations of such a clause in an English domestic form of contract should not be dispositive as regards the FIDIC Conditions as, in domestic construction, the principal unforeseeable risks result ordinarily from soil and other conditions at the site (the examples referred to above cited by British authorities) whereas, in international construction, the range of unforeseeable risks is wider (eg includes political and economic conditions internationally, in the country of construction as well as in the contractor's own country). As clause 12 is evidently designed to relieve the contractor of unforeseeable risks and as its terms do not expressly exclude risks attributable to intangible phenomena, which risks are especially wide ranging and significant in international construction, it is open to argument that the clause extends to them as well.
Consequently, until such time as the terms 'physical conditions' and 'artificial obstructions' are defined or replaced by more precise and restrictive wording, contractors can be expected to continue
to claim under this clause, based upon an expansive reading of these terms.
(b) Not reasonably foreseeable by an experienced contractor
Assuming that there are such 'physical conditions' or 'artificial obstructions' as defined above, when are they (1) not reasonably foreseeable (2) by an experienced contractor?
(1) Foreseeability
The foreseeability of a particular event will be determined by reference to the following points:
(i) The data on hydrological and subsurface conditions, if any, made available by the employer in the tender documents.
(ii) The information discovered as the result of what the contractor is deemed to have done during the tender period under clause 11, second sentence, which provides, as follows:
'The Contractor shall also be deemed to have inspected and examined the Site and its surroundings and information available in connection therewith and to have satisfied himself, so far as is practicable, before submitting his Tender, as to the form and nature thereof, including the subsurface conditions, the hydrological and climatic conditions, the extent and nature of work and materials necessary for the completion of the Works, the means of access to the Site and the accommodation he may require and, in general, shall be deemed to have obtained all necessary information, subject as above mentioned, as to risks, contingencies and all other circumstances which may influence or affect his Tender.'
The scope of this investigation is determined by the words 'so far as is practicable'. Thus, if the time allowed for the preparation of tenders is short, an extensive investigation will be less 'practicable' than if adequate time has been allowed therefor. Similarly, a contractor is not required to incur substantial costs in preparing to tender for a project which he, naturally, has no assurance of being awarded. This, too, would not be 'practicable'. Thus, the circumstances of the invitation to tender will be important in determining the extent of the information which the contractor is expected to have discovered under clause 11, second sentence.
(iii) The nature and extent of the works required by the contract. For example, where it is planned to build a pier out into a lake during seasonal low water level periods and, due to conditions off the site, the water levels fail to fall in accordance with published historical data in the tender documents, the change in water levels may, in that context, be an unforeseeable physical condition, but this would not necessarily be the case if the pier were to be built by a method of construction the implementation of which is not affected by the fluctuation of water levels.
(iv) General civil engineering knowledge (see (2) below).
It results from the foregoing that, in order to prove that a 'physical condition' or an 'artificial obstruction' was unforeseeable within the meaning of clause 12, the contractor must demonstrate that none of the four points mentioned above would, at the time he submitted his bid, have reasonably indicated to an experienced contractor the 'condition' or 'obstruction' effectively encountered.
(2) Experienced contractor
The requirement of foreseeability is determined not by what the above data or information (i), (ii) and (iii) would have revealed to a layman, but by what it would have revealed to an 'experienced contractor', that is, an experienced civil engineering works contractor. Thus, the fact that some 'condition' or 'obstruction' may have escaped the notice of the employer would not entitle the contractor to claim it an experienced contractor could reasonably have foreseen it.
(c) Additional cost
The 'physical condition' or 'artificial obstruction' must cause the contractor 'additional cost'. 'Cost' is defined to include overheads, whether on or off the site.
Any 'instruction' issued by the engineer under clause 12, para (a) (see quotation of Clause 12 above), may provide the contractor with an additional basis for a claim, independent from clause 12. For example, an 'instruction', if given in writing, may also constitute in particular circumstances a suspension order under clause 40(1) or a variation order under clause 51 or entitle the contractor to an extension of time under clause 44. If it constitutes a variation order, then the contractor would be entitled to profit on the extra work. Therefore, whenever any 'instruction' is or may have been given under clause 12(a), the contractor should consider claiming on the basis of these clauses, among others, as well as clause 12.
The fact that the engineer may deny that conditions or obstructions claimed could not have been foreseen under clause 12, or may deny that any 'instruction' he has given entitles the contractor to compensation or time under clauses 12, 40(1), 51 and 44, among others, is, in the last resort, legally irrelevant as generally all of the engineer's decisions may be opened up, revised and reviewed in international arbitration. The award of the arbitrators, who, unlike the engineer, must ordinarily decide in law, will be conclusive on these questions.
(B) Variations (clauses 51 and 52)
After the signature of a construction contract, circumstances may occur which make it necessary or advisable for changes to be made in the scope or nature of the work as defined in the contract. For example: the original design or specifications may prove inadequate; the employer's initial programme or budget for the project may change; natural events, or wholly unforeseen conditions, may occur which make changes in the scope or nature of the works necessary. For these reasons, among others, it may be desirable to modify the works as defined in the contract documents.
How is such a change to be effected? The works have been defined in the contract which the parties have signed. Consequently, a change therein could ordinarily only be effected by mutual agreement of the parties. But the contractor may be unwilling to provide his consent or to do so at an acceptable price. As he would be executing the main contract works and have possession of the site, the contractor would have certain bargaining advantages in such a situation.
To obviate the need for renegotiation with the contractor each time a change becomes necessary and the difficulties this might entail, construction contracts in the United Kingdom and the USA ordinarily contain a provision which authorises the employer, or more often his agent, an engineer or architect, to change the works during the course of construction.
(a) Engineer's power to change the works
In common with Anglo-American practice, the engineer, acting in effect as the employer's agent, is authorised by
clause 51 of the FIDIC Conditions to change, or 'vary', the works (not the contract); the contractor must comply with the engineer's instructions in this respect, as in other matters concerning the works.
Under the FIDIC Conditions, the engineer's powers to change the works are extremely wide. Clause 51(1) provides, as follows:
'The Engineer shall make any variation of the form, quality or quantity of the Works or any part thereof that may, in his opinion, be necessary and for that purpose, or if for any other reason it shall, in his opinion be desirable, he shall have power to order the Contractor to do, and the Contractor shall do any of the following:
(a) increase or decrease the quantity of any work included in the Contract,
(b) omit any such work,
(c) change the character or quality or kind of any such work,
(d) change the levels, lines, position and dimensions of any part of the Works, and
(e) execute additional work of any kind necessary for the completion of the Works
and no such variation shall in any way vitiate or invalidate the Contract, but the value, if any, of all such variations shall be taken into account in ascertaining the amount of the Contract Price.'
However, the engineer's powers are not unlimited. While, in the case of a contract to build a hotel, for example, the engineer may have the power to order the contractor to add a garage or parking lot, he would not, under English law, have power under clause 51 to order him to build a second hotel. The engineer's power to order extras is held, by implication, to be limited by the type and value of the main contract works, and additional work ordered, if any, beyond these limits, will not be governed by the terms of the contract.
The power to issue variations is also limited in time. If extra work is ordered after the contract work is completed (eg during the Period of Maintenance, which is normally one year after completion), this, too, may be outside the contract.
(b) Two types of variations
From the contractor's point of view, the FIDIC Conditions contemplate two types of variation orders in relation to extra or additional work:
Type 1: the engineer orders the contractor to do work, involving a variation in fact, which the engineer acknowledges to involve a variation; and
Type 2: the engineer orders the contractor to do work, involving a variation in fact, which the engineer does not acknowledge to involve a variation.
Clauses 51 and 52 purport by their terms to deal only with the first type of change (type 1). They are drafted on the assumption that the engineer will — unfailingly — recognise and order a variation in respect of the works whenever it is required. They do not contemplate that he could order extra or additional work and yet not acknowledge it to involve a variation entitling the contractor to additional payment.
But, for reasons which will be explained below, the engineer's interpretation of whether or not an instruction he has given constitutes a variation order is not final and binding on the contractor. Consequently, there is, in effect, a second type of variation order, that is, an order by the engineer to do work, involving a variation in fact, which the engineer does not acknowledge to involve a variation (type 2).
While a type 2 variation is more relevant to the subject of contractors' claims, the discussion below will begin with type 1 as it is the only one dealt with overtly in clauses 51 and 52 and as the elements of a type 2 variation are basically the same as for type 1.
(1) Variation acknowledged by the engineer
(i) Requirement of an order in writing
Clause 51(2) requires that the engineer order any variation in writing. It provides:
'No such variations shall be made by the Contractor without an order in writing of the Engineer.'
As a consequence, a written order from the engineer is ordinarily a condition precedent to payment for extra work as a variation.
However, Clause 51 does not require the written order to be in any particular form. A signed drawing of the engineer, or the minutes of a meeting at which he participated and which he signs, may suffice. The order may also initially be given 'verbally', that is, orally, by the engineer, if it is confirmed in writing by the engineer, either before or after the carrying out of the order, eg by the engineer's interim certificate authorising payment for varied work.
But the engineer's oral order does not have to be confirmed in writing by the engineer himself in every case. If, within seven days of the oral order, the contractor confirms it in writing to the engineer and such confirmation is not contradicted in writing within 14 days by the engineer, then the oral order is deemed to be an order in writing of the engineer. Thus, a letter from the contractor to the engineer may, in appropriate circumstances, be sufficient to satisfy the requirement of an order in writing.
(ii) Valuation
Clause 52 establishes the general principle that extra work is to be valued on the basis of the rates and prices in the bill of quantities, if any, attached to the contract to the extent that the same are, in the opinion of the engineer, applicable. If the contract does not contain applicable rates and prices, then this clause provides that, failing agreement thereon between the engineer and the contractor, the engineer must fix the rates and prices to be applied to extra work.
The rates and prices used will ordinarily include profit. For this reason, it is advantageous for the contractor to claim under clauses 51 and 52 as compared to clauses which award only 'cost' and hence may be interpreted to exclude profit, eg, clause 12.
Extra work ordered by the engineer may, if it prevents the contractor from completing the works by the completion date, also entitle the contractor to claim an extension of time as well as financial compensation for being obliged to work longer on the site than originally foreseen by the contract.
(2) Variation not acknowledged by the engineer
Clause 67 ('Settlement of Disputes'), which provides for the settlement of disputes ultimately by international arbitration, provides that, in the event of arbitration:
'The said arbitrator/s shall have full power to open up, revise and review any decision, opinion, direction, certificate or valuation of the Engineer.'
It follows from this provision that where, during the course of the works, the engineer orders the contractor in writing to do certain work but, at the same time, refuses to acknowledge that his order constitutes a variation, the engineer's opinion or decision in this respect (like his other decisions, opinions, etc) is subject to being opened up, revised and reviewed in
arbitration. By clause 67, the arbitrators are made the ultimate interpreters of the contract and, in their award, will finally determine whether or not the engineer's order was a variation order (or will, at the employer's request, determine that a variation order interpreted as such by the engineer was in fact not a variation order). If the arbitrators determine that, upon a true construction of the contract, the work ordered by the engineer fell outside the contract and thus constituted a variation in fact, the contractor will be entitled to payment for the work upon the same basis as if the engineer had originally acknowledged it to be a variation under clause 51.
Where the contractor requests a written variation order, but the engineer refuses to issue one, and extra work is in fact involved, there may be a question whether the contractor can claim in arbitration under clause 51, as there will exist no order in writing from the engineer. Under English law, where there is a broad arbitration clause (as in the case of clause 67 of the FIDIC Conditions), arbitrators can, in such circumstances, award payment despite the absence of a written order.\(^{51}\)
In practice, if the arbitrators determine that the work concerned fell outside the contract, there will often be a letter or other written communication from the engineer, or a document signed by the engineer, or an uncontradicted written confirmation by the contractor of an oral order of the engineer, which is susceptible to interpretation as the necessary written order.
Nevertheless, whenever there is a dispute with the engineer during the execution of the works about whether an instruction constitutes a variation order, it is essential for the contractor to notify the engineer (or the engineer's representative) promptly of his intention to claim as well as to identify, at least in general terms, the additional work alleged to have been done.\(^{52}\) Failure to give such prompt written notice may bar the claim.
A practical difficulty with a claim for a variation not acknowledged by the engineer is that the value of the claim, together with all other claims in dispute, may be insufficient to justify the expense and time of going to arbitration to have the engineer's views rectified. This difficulty inheres to all claims not accepted by the engineer and underlines, again, the importance for a contract based on the FIDIC Conditions to be administered by an engineer who is truly independent and able and willing to render fair decisions.
(C) Delays (clause 44 and others)
In the United Kingdom and the U.S.A., a contractor is ordinarily required to complete a construction contract within a fixed period of time, after the expiration of which he will become liable to the employer for liquidated damages for delay. Similarly, the FIDIC Conditions\(^{53}\) provide that the works must be completed within the time period stated in the contract. After this period, the contractor becomes liable for liquidated damages for each day or part of a day of delay.\(^{54}\)
Nevertheless, it is commonplace, perhaps especially in international construction, for events to occur which disturb or disrupt the contractor's work and prevent him from completing the works by the date fixed in the contract.\(^{55}\) These events may be caused by the employer (eg delay in giving possession of the site), or someone for whose acts he is responsible (eg delay of the engineer in issuing drawings), by the contractor, or someone for whose acts he is responsible (eg a subcontractor or supplier), or by matters or persons for which or whom neither party is responsible (eg weather conditions, natural events or war).
Where events occur to disrupt the contractor's progress and to delay completion which are not caused by the contractor or someone for whose acts he is responsible, the contractor may be entitled to two types of relief: (a) an extension of the completion date, postponing the date as from which the contractor may be held liable for liquidated damages, and/or (b) compensation for the additional costs he may incur owing to the disruption of his programme and/or the additional time he will have to work on the site.
Engineer shall determine the amount of such extension and shall notify the Employer and the Contractor accordingly. Provided that the Engineer is not bound to take into account any extra or additional work or other special circumstances unless the Contractor has within twenty-eight days after such work has been commenced, or such circumstances have arisen, or as soon thereafter as is practicable, submitted to the Engineer's Representative full and detailed particulars of any extension of time to which he may consider himself entitled in order that such submission may be investigated at the time.\(^{56}\)
As can be seen from this clause, in the absence of a decision by the engineer granting an extension of time, the contractor must ordinarily, in order to claim such an extension:
(1) demonstrate that one of the circumstances described in clause 44 has occurred; and
(2) within 28 days, generally from the occurrence of such circumstances, give 'full and detailed particulars of the extension requested to the engineer's representative.
The circumstances justifying an extension include variations of the works ('extra or additional work'), any cause of delay referred to in the FIDIC Conditions (eg under clause 42(1), the failure of the employer to give prompt possession of the site), exceptional adverse climatic conditions, and any other 'special circumstances' of any kind whatsoever, other than any that occur through default of the contractor, which fairly entitle the contractor to an extension. Special circumstances would certainly include acts of the employer and others such as, in certain cases, the engineer, for whose acts he is responsible.\(^{57}\) They should also generally include matters for which neither party is responsible.
While the contractor should ordinarily give 'full and detailed particulars' of any extension of time he claims to the engineer's representative within 28 days, this is not an absolute requirement. The engineer has discretion to grant a time extension even if the contractor has failed to request it.
In making his decision on an extension of time claim, the engineer is, of course, bound to act fairly as between the parties. However, as with other decisions of the engineer, such decision can, at the request of either party, be opened up, revised and reviewed in arbitration pursuant to clause 67.
(b) Compensation for the extension of time
The fact that a contractor may be entitled to an extension of time under clause 44 does not necessarily mean that he may claim compensation for additional costs, if any, incurred, for example, for a disruption of his programme or for being obliged to work longer on the site. Clause 44 does not deal with compensation; it deals only with 'time'. Nor does any other clause of the FIDIC Conditions deal, in a comprehensive manner, with the question of compensation for delays in completion.
However, certain clauses provide that the contractor may recover extra payment for delays in specific situations: clause 6(4) (delays by the engineer in furnishing drawings); clause 40(1) (suspension of work by the engineer); and clause 42(1) (delay by the employer in giving possession of the site). Moreover, other clauses provide that the contractor is entitled to be compensated for extra work, eg work resulting from adverse physical conditions or artificial obstructions under clause 12, or from a variation order under clause 51. Upon the basis of clauses entitling the contractor to compensation for extra work, the contractor may fairly contend that if such work delayed completion, the cost attributable thereto should be compensated to the contractor.\(^{88}\)
Even in the absence of a contract clause providing, directly or indirectly, that the contractor is entitled to extra payment for a particular type of delay, the contractor may, nevertheless, be able to recover upon the basis of the relevant principles of the municipal law which governs the contract. Under almost all legal systems, the principles of law which govern contractual liability entitle a party to recover compensation for a delay in his performance caused by the other party or by someone for whose acts the other party is responsible.
It is much less clear to what extent the contractor can recover compensation for delays caused by matters or parties for which neither the employer nor the contractor is responsible, directly or indirectly. This will be determined by reference to the precise terms of the particular contract, the municipal law applicable and the facts of each case.
Any claim based on principles of municipal law may, however, for the reasons indicated earlier (see the introductory section of this article, above), arguably be beyond the engineer's power to pay or settle and, therefore, may not be resoluble except in international arbitration.
Other claims
As has been indicated above, the FIDIC Conditions contain more than 30 clauses under which the contractor may be entitled to an additional payment or an extension of time for completion of the works. While it is not feasible to examine them all here, the relevant clauses may be very briefly indicated: 5(2) (cost of ambiguities in contract documents); 6(4) (cost of delays in issuance of engineer's drawings or orders); 12 (cost of unforeseen physical conditions or artificial obstructions); 17 (expense of errors in position of works); 18 (value of boreholes ordered); 20(1) (cost of 'excepted risks'); 22(2) (third party damage); 26(5) (fees required by law); 27 (expense of disposal of fossils); 30(2) (cost of strengthening highways and bridges); 30(3) (indemnity for third party claims for damage or injury to highways and bridges); 31 (cost of providing opportunities for other contractors); 36(2) (cost of samples); 36(4) (cost of tests); 38(2) (expense of uncovering the works); 40(1) (cost of suspensions); 42(1) (cost of failure of employer to give possession of the site); 44 (extensions of time for completion); 47(3) (bonus for early completion); 49(3) (cost of repairs not attributable to contractor's work); 50 (cost of searching for defects for which contractor not liable); 51 (variations); 52(2)(a) (valuation of variations); 52(3) (variations exceeding 10 per cent); 63(2) (valuation at date of forfeiture); 65(1) and (2) (indemnity against 'special risks'); 65(4) (increased costs arising from 'special risks'); 65(5) (payment if contract terminated); 66 (payment in event of frustration); 69(3) (payment on default of the employer); 70(1) (increase or decrease of costs); 70(2) (changes in costs due to subsequent legislation); and 71 (losses due to currency restrictions).
Claim notification procedure and disputes
(A) Claim notices
In addition to any notice of claim which the contractor may be obliged to give by virtue of an individual contract clause, he must also, under clause 52(5), send to the engineer's representative a monthly account 'giving particulars, as full and detailed as possible, of all claims to which he may consider himself entitled. If he fails to do so, he risks seeing his claim barred. Clause 52(5) specifies, as a general rule, that:
'No final or interim claim for payment . . . will be considered which has not been included in such particulars.'
The prompt notification of claims serves several objectives. It allows the engineer to investigate the facts of a claim and its financial consequences while the evidence is still fresh and available. It allows the employer prompt notice of possible adjustments to the contract price. Finally, it allows potential dispute situations to be resolved quickly.
Any claim the contractor may have against the employer should be made to the engineer by the end of the Period o Maintenance, which is ordinarily a period of one year after completion of the works. If any claim has not been notified to the engineer by the date for the giving of the Maintenance Certificate, which occurs at the end of the Period of Maintenance, then it will ordinarily be time-barred under clause 62(2), which provides:
'The Employer shall not be liable to the Contractor for any matter or thing arising out of or in connection with the Contract or the execution of the Works, unless the Contractor shall have made a claim in writing in respect thereof before the giving of the Maintenance Certificate under this Clause.'
The only claims that may be notified after the giving of the Maintenance Certificate would appear to be claims which, as a practical matter, could not be asserted until after that date,\(^{89}\) eg claims arising out of the preparation of the statement of final account which the contractor is required to submit to the engineer following issuance of the Maintenance Certificate.\(^{90}\) They may also include indemnification obligations of the employer, eg, if the employer has agreed to indemnify the contractor for local income taxes, his indemnification obligation will only be determined after the contractor has been finally assessed by the local tax authorities, which may be several years after completion and maintenance of the works.
(B) Disputes
If the contractor disagrees with the engineer's disposition of a claim, then the contractor may consider that there exists a 'dispute' with the employer or the engineer. In this event, the procedure laid down under clause 67 becomes applicable.\(^{91}\) Very briefly, under this procedure, the contractor is
obliged to re-submit the matter to the engineer for a decision and, if the contractor is dissatisfied with such decision (or the engineer fails to render a decision within 90 days), the contractor may then refer the matter to arbitration. The FIDIC Conditions provide for arbitration in accordance with the Rules of Conciliation and Arbitration of the International Chamber of Commerce.
As the wording of clause 67 is particularly abstruse, any contractor proposing to invoke its provisions would be well advised to do so only after seeking expert legal advice.
Conclusion
If the contractor is to be successful in recovering on his claims, he must know the FIDIC Conditions and his claim rights thereunder. He must also establish appropriate procedures within his own organisation to ensure that claim situations are promptly identified when they arise, that the necessary notices and documents are addressed to the engineer in the appropriate form and within the required time limits, and that all the other appropriate measures are taken to secure and advance his rights. These measures require, among other things, the organisation of a staff experienced in claim procedures and the constitution of files in which relevant correspondence, documents and financial data are properly classified and maintained. The importance of conserving proper records (correspondence, site reports, minutes of site meetings, drawings, etc...) cannot be emphasised too strongly, as a prudent contractor should always be preparing for the eventuality that he may have to arbitrate a claim, and his chances of succeeding in such an endeavour will depend, to a very high degree, upon his ability to produce, when required, the records necessary to support it.
Knowledge of his rights under the FIDIC Conditions, and the institution of internal procedures within his own organisation such as these, are essential if the contractor is to recover the complements to the contract price to which he is entitled.
Footnotes
1 A French language version of this article appeared in 1985 Journal de Droit des Affaires Internationales/International Business Law Journal 171 (FEDUCI, Paris). The name of this journal has now been changed to Revue de Droit des Affaires Internationales International Business Law Journal.
2 The exact title is Conditions of Contract (International) for Works of Civil Engineering Construction with Forms of Tender and Agreement (3rd Edn, March 1977). Several organisations have approved this document, including the Federation Internationale des Ingenieurs-Conseils (FIDIC) and various organisations of contractors. The commentaries on the FIDIC Conditions include FIDIC Notes on Documents for Civil Engineering Contracts (FIDIC, Lausanne 1977) (the FIDIC Notes) and the following unofficial commentaries:
- I N Duncan Wallace, The International Civil Engineering Contract (Sweet & Maxwell, London 1974 and Supp 1980) (Duncan Wallace)
- Givn P Jones, A New Approach to the International Civil Engineering Contract (The Construction Press Ltd, Lancaster 1979) (Jones)
- John G Sauver and C Arthur Gillon, The FIDIC Conditions: Direct of Contractual Relationships and Responsibilities (Thomas Tellers Ltd, London, 2nd Edn, 1985)
3 Andre Braband, Le Contrat International de Construction 164 (Brussels 1981) (translation from French).
4 For example, the standard General Conditions for Contracts of Civil Engineering Works of the Republic of Iraq Ministry of Planning Legal Department, which has been widely used by Iraqi state entities, is derived, with numerous modifications, from the FIDIC Conditions, second edition.
5 The current edition of the FIDIC Conditions, namely the third edition dated March 1977, is based closely on the fourth (1955) and fifth (1973) editions of the ICE Conditions. Commentaries on the ICE Conditions are therefore instructive in the interpretation of the FIDIC Conditions. The current edition of the FIDIC Conditions is in the course of revision and it is anticipated that a new, fourth, edition will be issued soon, possibly in 1987.
6 See Role of the Engineer, infra.
7 It is unfortunate that commentaries on individual clauses in the FIDIC Notes, while useful, are too succinct to be of great assistance. Moreover, these commentaries are preceded by the following statement:
The Notes which follow... must not be taken as representing in any way an interpretation of the text of these Clauses (FIDIC Notes, supra note 2, at 17), which raises the question of what weight can be given to them at any. While the FIDIC Notes were drawn up by FIDIC, unlike the FIDIC Conditions, there have apparently not been approved by any organisations of contractors.
8 For a list of the employer's claims under the FIDIC Conditions, see Jones, supra note 2, at 192-93.
9 See clause 52(5). Compare the payments provision, clause 60, of the English ICE Conditions (5th Edn) which, as regards claims, contemplates payment of amounts 'for which provision is made under the contract' only (clause 60(1)(d)). The comparable provision in the FIDIC Conditions is less explicit. See the notes on Clause 60 in Part II of the FIDIC Conditions.
10 FIDIC Notes, supra note 2, at 16.
11 See clause 67. The wording of clause 67 is broad enough to encompass the settlement thereunder of a claim based in law whether by the engineer or by arbitrators. In the author's view, FIDIC takes too narrow a view of the engineer's role. The engineer should be entitled to seek legal advice and, on the basis of such advice, settle claims based in law. If it is considered desirable that, to the extent possible, all claims in relation to the contract concerned be settled at the level of the engineer instead of by international arbitration, then surely it is consistent with that objective that he should also be empowered, after taking legal advice, to settle claims in law.
12 See FIDIC, International Model Form of Agreement between Client and Consulting Engineer and International General Rules of Agreement between Client and Consulting Engineer for Design and Supervision of Construction of Works (FIDIC, Lausanne 3rd Edn, 1979) ('IGRA Contract').
13 Clause 60
14 Clause 51
15 Clause 40
16 The relevant clauses are referred to in 'The Contractor's Major Claims and Other Claims' of this article.
17 Clause 67.
18 This refers to the common law doctrine of 'implied terms' which has been imprinted into the international contract. For a discussion (in French) of this doctrine in relation to the FIDIC Conditions, see however, in a civil law country, see Braband, supra note 3, at 157-59.
19 ICE Conditions of Contract Standing Joint Committee, Guidance Note 2A: Functions of the Engineer under the ICE Conditions or Contract (1977) ('Guidance Note 2A'). While this note was issued in relation to the English ICE Conditions, the same principle may be regarded as applicable to the FIDIC Conditions. The FIDIC Notes themselves state that "...so far as his duties are discretionary he not limited by his role as agent, the engineer will act fairly between employer and contractor and interpret the contract in a completely unbiased manner" (FIDIC notes, supra note 2, at 7.
20 Guidance Note 2A, supra note 19.
21 The fact that the engineer may be no more than an employee of the government or public authority which is acting as the employer under the contract (as is often the case under international law, eg in Iraq or Nigeria) does not under English law, change this principle. Just as the contractor has accepted the engineer as a "judge" so must the local authorities who employ(s) him and he must not allow himself to be influenced by the fact that he is also the servant of the authorities. J B Whelde, Municipal Engineers, Law and Administration 34 (C R Bowles Ltd, London 1964). FIDIC adopts the same point of view. See FIDIC Notes, supra note 2, at 7. However, the Subcommittee on the FIDIC Conditions of Committee T (International Construction Contracts) of the Section on Business Law, International Bar Association, among others, has criticised the use of a member of the employer's own staff as the engineer. See 11 Int'l Bus Law 211 (1983).
22 Clause 1(c). It has been stated to be a 'somewhat naive fiction' to believe that, irrespective of the master placed before the engineer, he will act in an objective, fair and unbiased manner. See Myers, Finality of Decisions of Design Professionals Where the Contract Provides the Decisions Will Be Final, 2 ICLR 319, 327 (1985).
23 Jones, supra note 2, at 183.
24 FIDIC Notes, supra note 2, at 15.
25 Clause 67.
26 The previous edition of the FIDIC Conditions, the second edition, had prohibited arbitration before completion, with certain exceptions. See clause 67 of such edition.
27 Assuming, as will usually be the case in practice.
that the heads are of the first demand type. See clause 10.
28 See clause 60 in Part II of the FIDIC Conditions.
29 Clause 62 in Part II of the FIDIC Conditions contemplates that after the issue of the Maintenance Certificate, the contractor submit a statement of final account to the engineer for his verification in order to determine the final amount which in the engineer's opinion is finally due under the contract and the balance, if any, due from the employer to the contractor or vice versa. The final account will ordinarily reflect the engineer's final view on the contractor's claims.
30 Duncan Wallace, supra note 2, at 11.
31 Clause 8
32 This basic rule is also retained in the FIDIC Conditions, clause 12, first sentence.
33 This is the case, for example, in the English ICE Conditions and in US federal procurement contracts. See Justin Sweet, Legal Aspects of Architecture, Engineering and the Construction Process 658-59 (West Publishing, St Paul, Minn., 3rd Edn., 1983).
34 See, eg., clauses 10 (the contractor may claim from the employer to the works occasioned by excepted risks) and 65 (the employer may claim for damage to the works, as well as for specified losses, attributable to special risks.) The contractor may also claim for an extension of time for unforeseeable risks under clause 44.
35 Duncan Wallace, supra note 2, at 42. The contractor is nevertheless required, under clause 52(5), to send to the engineer's representative once in every month an account giving particulars of his claims which would include a claim under clause 12. See Claim Notification Procedure and Disputes', infra.
36 According to the FIDIC Notes, climatic conditions have been excluded because "it is always difficult to assess whether such conditions could or could not have been foreseen by an experienced contractor". FIDIC notes, supra note 2, at 20.
37 C K Haswell and D S de Silva, Civil Engineering Contracts — Practice and Procedure 176-77 (Butterworth & Co Ltd, London 1982).
38 Id.; see also Duncan Wallace, supra note 2, at 42-43.
39 Max W Abrahamson, Engineering Law and the ICE Contracts 65 (Applied Science Publishers Ltd, London, 4th Edn., 1979); see also Duncan Wallace, supra note 2, at 42.
40 Where the physical condition or 'artificial obstruction' causes damage to the works itself, arguably, the contractor's claim should be based on clause 20, not clause 10, as clause 20 is specifically concerned with damages to the works attributable to excepted risks, including 'any such operation of the forces of nature as an experienced contractor could not foresee, or reasonably make provision for or insure against'. See Abrahamson, supra note 39, at 65.
41 See Jack Cuthberton & Robert Akenhead, Site Investigation and The Law 17-27 and 97-98 (Thomas Telford Ltd, London 1984).
42 Clause 11, first sentence.
43 What constitutes adequate time will necessarily vary with the nature and extent of each project. In general, eight to ten weeks' time for a substantial international project would appear insufficient. However, four to six months' time may be adequate for such project. For one English engineer's view concerning the time that is adequate for the preparation of tenders, see A C Twort, Civil Engineering: Supervision and Management 27 (Edward Arnold, London, 2nd Edn., 1972).
44 If such 'condition' or 'obstruction' should have been foreseen by the engineer (ie, in the institution or tender documents), but was not, this may help the contractor to establish that the 'condition' or 'obstruction' at issue could not have been reasonably foreseen by an experienced contractor.
45 Clause 11(4)
46 Clause 52
47 Clause 67. See also under 'The contractor's major claims', sub-section (B) — Variations (clauses 51 and 52). Sub-paragraph (b)(2) — Variation Not Acknowledged by the Engineer' infra.
48 The arbitrators must decide in law unless the parties agree to give them powers or amiables compromisés. See The Rules of Conciliation and Arbitration of the International Chamber of Commerce, Article 15(4), whose application is provided for by clause 67.
49 See, eg, clause 12
50 Duncan Wallace, supra note 2, at 506. Sweet, supra note 33, at 346.
51 See clause 15
52 See note 18 supra for a perspective on the doctrine of implied terms under the common law by a lawyer with a civil law training.
53 Hudson v Building and Engineering Contracts 549 (Super Ct Australia, Landmark 4th Edn. 1972, 1st Supp. 1979) ('Hudson').
54 Id. at 551. Consequently, unless the contractor refuses to execute such work, or unless the contractor and the employer fail to agree on the price therefor, an amendment to the construction contract or a new contract would have to be concluded between the parties.
55 It is necessary to specify in relation to extra or additional work, as a variation order may also 'decrease the quality of work or omit work. See clause 51.
56 Nor is such determination final and binding upon the employer. See 'The contractor's major claims', sub-section (B) — Variations, sub-paragraph (b)(2) — Variation Not Acknowledged by the engineer' infra.
Consequently, the fact that the engineer may have ordered certain work to be done as a variation will not bind the employer if, upon a true construction of the contract, it was included in the original scope of the work.
57 Whatever the proper legal qualification (variation or not) of an instruction of the engineer may be, during the execution of the works the contractor must strictly comply with such instruction, unless it is legally or physically impossible. See clause 13.
58 Clause 51(2)
59 Id.
60 Clause 44 expressly refers to 'extra or additional work of any kind' as a ground which may justify an extension of time. See 'The contractor's major claims', sub-section (C) — Delays (clause 44 and Others)', infra.
61 Hudson s, supra note 53, at 541.
62 See the discussion of the notice requirements prescribed by Clause 52(5) in 'Claim Notification Procedure and Disputes', infra.
63 Clause 45
64 Clause 47
65 Delays may often occur which are not on the critical path of construction activity and therefore do not delay completion. While these may, of course, also disrupt the contractor's work programme and justify a claim, discussion here will be limited to claims for events which delay the final completion date.
66 An extension of time for execution of work may be advantageous, not only for the contractor, but also for the employer. If the delay was due to an act of the employer or of a party for whom the employer is responsible, the employer's right to claim liquidated damages for delays on the basis of clause 47 may, under English law, disappear if the extension of time for execution of work had not been granted to the contractor. It is this consideration, in fact, rather than reluctance for the contractor which, under English practice, caused inclusion of a contractual provision empowering the engineer to grant an extension of time for execution of work. See Hudson s, supra note 53, at 524.
67 Though the engineer is expected to act independently under clause 44, in practice, he may be reluctant to admit that he has himself been a source of delay in the execution of the works (eg, by delaying the issue of drawings or orders; see clause 64(4)), as this may have unfavourable financial repercussions for him.
68 Delays may cause the contractor to suffer a wide variety of damages, eg, the non-utilisation or under-utilisation of equipment and labour, losses in productivity and increased costs due to inflation, etc. To the amount of each such category of damage, the contractor would ordinarily be entitled to add a percentage for site and head office overhead.
69 Clause 67(5)
70 See clause 60 in Part II of the FIDIC Conditions.
71 If the contractor disagrees with a decision of the engineer's representative, rather than with the engineer, he must refer the matter to the engineer who must then confirm, reject, or modify such decision. See clause 23(3)(b). If the contractor disagrees with a decision of the engineer, this would ordinarily constitute a 'dispute' which he may then refer back to the engineer for a decision under clause 67.
72 With respect to clause 67, see the commentary in the French language on the partial award rendered under the auspices of the International Chamber of Commerce in Case No 3790, 1985 Journal du Droit International 910, reprinted in I ICLR 372 (1984) (English language version).
|
abc's of Transformers & Coils
BY EDWARD J. BUKSTEIN
abc's
of
TRANSFORMERS
and
COILS
By
Edward Bukstein
A Revision of
UNDERSTANDING TRANSFORMERS AND COILS
By
Edward Bukstein
HOWARD W. SAMS & CO., INC.
THE BOBBS-MERRILL CO., INC.
INDIANAPOLIS • KANSAS CITY • NEW YORK
SECOND EDITION
FIRST PRINTING—1968
Copyright©1962 and 1968 by Howard W. Sams and Co., Inc., Indianapolis, Indiana 46206. Printed in the United States of America.
All rights reserved. Reproduction or use, without express permission, of editorial or pictorial content, in any manner, is prohibited. No patent liability is assumed with respect to the use of the information contained herein.
Library of Congress Catalog Card Number: 68-16846
Transformers and coils are basic components used in practically all electronic apparatus. A knowledge of their characteristics and behavior is therefore a prerequisite to a clear understanding of electronic circuitry. Although there is nothing mysterious about the electrical behavior of transformers and coils, there are many incorrect notions about them, even among experienced technicians.
The purpose of this book is to present the basic concepts in terms that even the beginning student of electronics can easily comprehend. Important mathematical relationships and formulas are presented in the text, but not as a substitute for adequate verbal explanation.
This revised edition of "Understanding Transformers and Coils" has been updated to reflect new developments in core materials and manufacturing techniques. It also contains new sections on toroidal and ferrite-bead inductors, and an added chapter on magnetic core memory and logic.
The author expresses acknowledgement and gratitude to the many manufacturers who supplied illustrative material for this book.
Ed Bukstein
CONTENTS
CHAPTER 1
INDUCTANCE ......................................................... 7
Definition — History — Classification — Unit of Measurement — Factors Determining Inductance
CHAPTER 2
THEORY ............................................................... 12
Energy Storage — Counter EMF — Time Constant — Parallel and Series Inductors — Inductive Reactance — Phase Relationships — Impedance — Losses and Q
CHAPTER 3
CONSTRUCTION ..................................................... 28
Low-Frequency Inductors — Core Saturation — High-Frequency Inductors — Distributed Capacitance — Shielding — Variable Inductors — Toroidal Inductors — Ferrite-bead Inductors
CHAPTER 4
APPLICATIONS ...................................................... 39
Power-Supply Filter Choke — Frequency-Selective Filters — Telemetry — Phase-Controlled Rectifiers — Peaking Coils — High-Voltage Supply — TV Applications — Magnetic Amplifiers
CHAPTER 5
TRANSFORMERS .................................................. 52
Turns Ratio—Voltage Ratio—Current Ratio—Impedance Matching—
A-F Transformers—R-F and I-F Transformers—Power Transformers—
Isolation Transformers—Autotransformers—Flyback Transformers
CHAPTER 6
TESTING INDUCTORS AND TRANSFORMERS .................. 72
Ohmmeter Tests—Voltmeter Tests—Resonance Method—Inductance
Bridge—Owen Bridge
CHAPTER 7
MAGNETIC CORE MEMORY AND LOGIC ..................... 87
Core Switching—The Shift Register—Core Logic—Core Transistor
Logic
GLOSSARY ....................................................... 93
INDEX ........................................................... 95
Chapter 1
INDUCTANCE
Although the inductor is one of the simplest of components as far as physical construction is concerned, its electrical behavior and properties may not be entirely obvious to the beginning student of electronics. Even among experienced technicians there may be some mystery as to how (1) a few turns of copper wire can have a current-limiting impedance of thousands of ohms, (2) voltage can appear across an inductor after it has been disconnected from the source, and (3) the voltage across the inductor can be greater than the source voltage. It is the purpose of this book to examine the construction, characteristics, and applications of inductors and transformers, and to show that the “mysterious” properties of these components are easily understood consequences of a few basic principles.
In its basic form, the inductor is simply a coil of wire. The turns may be wound on a core of magnetic material to increase the inductance, or they may be wound on a nonmagnetic coil form that serves no purpose except to provide mechanical support for the windings. If the coil has only a few turns, heavy-gauge wire can be used so that the turns will be self-supporting.
DEFINITION
Inductance is defined as that property of a component or circuit that opposes changes of electron flow. It is this opposition to changing electron flow that retards the build-up and decay of current through an inductor, causes the current to lag the applied voltage, and accounts for the fact that the impedance of the inductor is greater than its d-c resistance.
The inductor opposes changes of current because such changes alter the intensity of the magnetic field. The changing field, in turn, cuts across the turns and induces a voltage of such polarity that it opposes the change that produced it. A sudden increase of current, for example, will generate a counter emf that opposes the supply voltage and therefore opposes the increase in current.
**HISTORY**
Inductance is an electromagnetic phenomenon. For this reason, the history of inductance is not entirely distinguishable from the history of electromagnetism. Although many experimenters have contributed to our understanding of electromagnetism in general and inductance in particular, three names stand out: Oersted, Faraday, and Henry.
Hans Christian Oersted, a Danish professor of physics, discovered that a magnetic force is produced by a current-carrying conductor. By observing the deflection of a compass needle, he proved that a circular magnetic field is established around the conductor.
In a sense, Professor Oersted and Michael Faraday crossed the same bridge, only in opposite directions. Oersted discovered that an electric current produces a magnetic field; Faraday discovered that magnetism can produce an electric current. Faraday, an English physicist, experimented with two coils of wire and discovered that current could be produced in one of the coils by either starting or stopping the current in the other coil.
Joseph Henry has been referred to as America’s Faraday. Faraday is credited with the discovery of mutual inductance, and Henry, with the discovery of self-inductance. In addition to his other experiments, Henry studied the spark discharge from a Leyden jar (an early form of the capacitor) and discovered that
the discharge was oscillatory rather than unidirectional. He laid the foundation for the development of radiocommunication by demonstrating that the discharge current through one wire could induce current in another wire at a distance.
**CLASSIFICATION**
Inductors can be classified in many ways: according to core material (air or iron), frequency (audio or radio), or application (power-supply filter, horizontal-linearity control, peaking coil, etc.). Classification can also be based on the method of winding: single-layer, multi-layer, pancake, and pie sections.
The terms *air core* and *iron core* are employed in a very general sense. An “air-core” inductor, for example, employs a non-magnetic core (not necessarily air; a tube or rod of ceramic or plastic may be used). Similarly, an “iron-core” coil may employ a magnetic material other than iron.
**UNIT OF MEASUREMENT**
The unit of measurement of inductance is the henry (in honor of Joseph Henry). A henry (h) is defined as the amount of inductance across which one volt will be induced when the current in it changes at a rate of one ampere per second. Expressed in another way, one henry is the amount of inductance that will have a reactance of 6280 ohms at a frequency of 1000 Hz*.
The millihenry (mh) and microhenry (\(\mu\)h) are subdivisions of the basic unit and are equal to a thousandth and a millionth of a henry respectively. An inductance of 5 henrys is therefore equivalent to 5000 millihenrys or 5,000,000 microhenrys. Inductors commonly employed in electronic circuits range in value from the large “heavyweight” filter choke (typically 5 to 30 henrys) to the small peaking coils used in tv receivers (about 50 to 500 microhenrys).
*Hz (hertz) = cycles per second.*
Fig. 1-1. The iron-core coil has more inductance than the air-core coil.
FACTORS DETERMINING INDUCTANCE
What factors determine the inductance of a coil? What are the physical differences between a 5-henry and a 5-microhenry inductor? Inductance is determined primarily by the number of turns and the type of core material, and to a lesser extent by the diameter and spacing of the turns.
The effect of core material on inductance is illustrated in Fig. 1-1. The two coils shown are assumed to have the same number, size, and spacing of turns. As indicated, the coil with the iron core has a greater inductance than the one with an air core. In this example the permeability of the iron core is 400 (the coil with this core has 400 times as much inductance as the otherwise equivalent air-core coil).
Fig. 1-2 illustrates the relationship between inductance and the number of turns. The two coils shown are assumed to have identical cores and differ only with respect to the number of turns. For closely spaced turns, the inductance varies approximately with the square of the number of turns. The inductor with twice as many turns therefore has four times as much inductance.
In Fig. 1-3 the coils are assumed to be identical in every respect except for the spacing of the turns. As shown, the one with closely spaced turns has greater inductance.
Chapter 2
THEORY
The characteristics of the inductor can be understood in terms of two basic concepts:
1. A magnetic field is established around a current-carrying conductor.
The magnetic lines of force encircle the conductor as shown in Fig. 2-1, and the direction of these lines can be determined by means of the left-hand rule: If the conductor is held in the left hand with the thumb pointing in the direction of electron flow, the fingers will be wrapped around the conductor in the same direction as the magnetic lines of force. If the conductor is wound in the form of a coil as shown in Fig. 2-2, the magnetic fields of the individual turns will combine to form a composite magnetic field. The composite field is such that one end of the coil is a north pole and the other end a south pole (like the field of a bar magnet).
magnet). The direction of the magnetic field can be determined by means of another left-hand rule: If the coil is held in the left hand so that the fingers point in the direction of electron flow, the thumb points to the end of the coil that is a north pole.
2. Voltage is induced in a conductor being cut by a magnetic field.
In Fig. 2-3, the turns of the coil are cut by the lines of force of the approaching magnet. As a result, voltage is induced in the coil, as indicated by deflection of the meter pointer. If the magnet is now withdrawn from the coil, the turns will again be cut by the magnetic field, and voltage again induced in the coil.
Fig. 2-3. Voltage is induced in coil cut by magnetic lines of force.
This voltage, however, is of opposite polarity to that induced when the magnet was moved into the coil. Voltage is induced in the coil only when there is relative motion of the field with respect to the coil. The effect is the same whether the magnet is moved and the coil is stationary, or the coil is moved and the magnet is stationary. If both the magnet and the coil are stationary, the turns are not cut by the magnetic field and no voltage is induced in the coil.
The bar magnet in Fig. 2-3 can be replaced by a current-carrying coil (Fig. 2-4). As before, motion of either coil with
**Fig. 2-4.** Coil L1 replaces bar magnet of Fig. 2-3.
respect to the other will cause deflection of the meter. The need for mechanical motion can be eliminated by energizing coil L1 with alternating current rather than direct current. This produces an alternating magnetic field that cuts the turns of coil L2. Since the field itself is in motion (alternately expanding and contracting) mechanical motion of the coils is unnecessary. The reader may recognize this as the principle of transformer action.
**ENERGY STORAGE**
It is well known among technicians that a capacitor can store electrical energy. That an inductor can also store energy is less well known and perhaps less obvious. In the inductor, energy is stored in the magnetic field established by the current. This is illustrated in Fig. 2-5A. If the switch is now opened as in Fig. 2-5B, the magnetic field will collapse and energy will be returned to the circuit. The collapsing field cuts across the turns and induces voltage in the coil. This voltage, the counter emf, produces a spark across the gap. The magnitude of the counter emf is determined by the intensity of the magnetic field, the rate at which it collapses, and the number of turns cut by the collapsing field. Because of the rapid collapse of the field in Fig. 2-5B, the voltage returned to the circuit is greater than the supply voltage. This technique of increasing voltage is employed in various electronic devices. The high voltage required to ionize a fluorescent lamp, for example, is the counter emf induced in the inductor (ballast) when the starter switch opens and allows the field to collapse. A similar technique, using the inductor as an autotransformer, is employed in the high-voltage circuit of the TV receiver. Automotive ignition systems employ the same principle. When the breaker points open, the collapsing field in the spark coil produces the high voltage for the spark-plug gap.
Fig. 2-5. Energy stored in magnetic field is returned to circuit when field collapses.
The amount of energy stored in the magnetic field of an inductor is specified in joules (a joule is equal to one watt-second):
\[ W = \frac{I^2 L}{2} \]
where,
- \( W \) is the stored energy in joules,
- \( I \) is the current in amperes,
- \( L \) is the inductance in henrys.
**COUNTER EMF**
When the current in an inductor changes, the magnetic field changes accordingly and cuts across the turns of the coil. In accordance with Lenz’s law, the voltage induced in the coil by the changing magnetic field is of such polarity that it opposes the change of current. A decrease of current in the inductor, for example, produces a counter emf that attempts to increase the current. Conversely, an increase of current in the coil produces a counter emf that tends to limit the current. In a sense, the coil can be regarded as a current-regulator that attempts to maintain the current at a constant value.
**TIME CONSTANT**
Although counter emf attempts to prevent changes of current, it does not entirely succeed in doing this. It does, however, increase the length of time required for the current to change. This *time constant* of the inductor is determined by both the inductance and the resistance of the inductor. In Fig. 2-6A, the inductance is one henry and the resistance (including that of the coil) is 1000 ohms. With a 6-volt supply as shown, the final value of current will be:
\[ I = \frac{E}{R} = \frac{6}{1000} = 6 \text{ ma} \]
When the switch in this circuit is closed, however, the current cannot instantly rise to 6 ma. The buildup of current (Fig. 2-6B) is gradual rather than sudden because the increasing current produces an expanding magnetic field. The expanding field, in turn, induces a counter emf of opposite polarity with respect to the 6-volt supply. This opposing voltage effectively reduces the supply voltage and therefore limits the rate at which the current increases. As indicated in Fig. 2-6B, the current reaches its final value (approximately) after five time constants.
Numerically, the time constant is equal to the inductance divided by the resistance. The time constant of the circuit in Fig. 2-6A is therefore:
\[ T = \frac{L}{R} = \frac{1}{1000} = 1 \text{ millisecond} \]
SELF-INDUCTANCE AND MUTUAL INDUCTANCE
When the current in a coil changes in value, voltage is induced in this coil (self-inductance) as well as in any other nearby coil (mutual inductance). Two coils possess mutual inductance when the flux of each cuts the turns of the other. The value of mutual inductance therefore depends on the magnetic "closeness" of the coils. This closeness is referred to as the coefficient of coupling and is represented by the letter $K$. If all flux lines of each coil link the turns of the other coil, the coils are said to be completely coupled and the coefficient of coupling is specified as $K = 1$. Since total coupling can exist only if the coils occupy the same space at the same time, practical values of $K$ are always less than unity.
The mutual inductance of two coils depends on their individual inductances and on the degree of coupling. Mathematically, mutual inductance is expressed by the formula:
$$M = K \sqrt{L_1 L_2}$$
where,
- $M$ is the mutual inductance in henrys,
- $K$ is the coefficient of coupling,
- $L_1$ and $L_2$ are the individual inductances of the two coils in henrys.
PARALLEL AND SERIES INDUCTORS
Coils connected in parallel have a total inductance less than the value of the smallest inductor. In this respect coils are similar to resistors in parallel, and a similar formula is employed. Assuming there is no coupling between the coils, the total inductance is:
$$L_t = \frac{1}{\frac{1}{L_1} + \frac{1}{L_2} + \frac{1}{L_3} + \ldots}$$
In practice, coils are rarely connected in parallel to obtain a smaller value of inductance. Cost, size, and weight considerations make it preferable to use a single inductor of the required value.
Coils connected in series are directly additive (if there is no coupling). Four henrys in series with three henrys will therefore produce a total of seven henrys. If the coils are magnetically coupled, however, the total inductance may be either more or less than the sum of the individual inductances—depending on whether the coils are connected aiding or opposing. If the coils are aiding, the total inductance is:
\[ L_t = L_1 + L_2 + 2M \]
If the coils are opposing, the total inductance is:
\[ L_t = L_1 + L_2 - 2M \]
where,
- \( L_1 \) and \( L_2 \) are the individual inductances in henrys,
- \( M \) is the mutual inductance (also in henrys) and is equal to \( K \sqrt{L_1 L_2} \).
**INDUCTIVE REACTANCE**
Because inductance opposes changes of current, such changes lag the corresponding changes of supply voltage. If the d-c input to an inductive circuit is suddenly changed in value, the current will not reach its new value until a finite length of time after the applied voltage has reached *its* new value. The same is true for an a-c input voltage. In the case of a sine-wave input, for example, the current waveform will also be a sine wave but will lag the voltage sine wave. Each change of current lags the corresponding change of voltage. This is illustrated in Fig. 2-7; also shown is the waveform of the counter emf. Each time the current waveform reaches a peak (either positive or negative), for an instant
the current is neither increasing nor decreasing—that is, the rate of change of the current is zero. Since the current is not changing, the counter emf at this instant is zero. It is for this reason that the counter emf waveform in Fig. 2-7 passes through zero at those instants when the current waveform is at its peak value. The rate of change of current is most rapid when the current changes direction (passes through zero). At these instants, the counter emf is maximum.
As indicated in Fig. 2-7, the counter emf is $180^\circ$ out of phase with the applied voltage. Since the counter emf “bucks” the applied voltage, current is limited to a smaller value than can be accounted for by the resistance of the coil. To the voltage source, the inductance therefore presents a high opposition to current.
This apparent resistance of the coil is known as the *inductive reactance*.
Inductive reactance is specified in ohms and is symbolized by $X_L$. Because the counter emf is larger if either the inductance or the rate of change of current is increased, the value of the inductive reactance depends on both the inductance of the coil and the frequency of the applied voltage. Numerically, inductive reactance is equal to:
$$X_L = 2\pi fL$$
where,
- $X_L$ is the inductive reactance in ohms,
- $f$ is the frequency in hertz,
- $L$ is the inductance in henrys,
- $\pi$ is a constant equal to 3.14.
A 1-henry inductance at a frequency of 1000 Hz will therefore have a reactance of:
$$X_L = 2\pi fL$$
$$= 2 \times 3.14 \times 1000 \times 1$$
$$= 6280 \text{ ohms}$$
The factor $2\pi f$ is sometimes referred to as the *angular velocity* and is represented by a single symbol $\omega$ (Greek letter *omega*). The formula for inductive reactance can therefore be written:
$$X_L = \omega L$$
**PHASE RELATIONSHIPS**
In a purely inductive circuit (one with no resistance) as in Fig. 2-8A, the current lags the applied voltage by $90^\circ$. This is illustrated in Fig. 2-8B. Pure inductance can exist only in theory, however; any practical inductor will exhibit some resistance. For this reason, the actual angle by which the current lags will be less than the theoretical maximum of $90^\circ$ (although the theoretical limit can be approached to within a small fraction of a degree). The phase angle between voltage and current is often represented by a vector diagram as in Fig. 2-8C. Because vectors are assumed to rotate counterclockwise, Fig. 2-8C indicates that current lags voltage.
Since a purely inductive circuit has a phase angle of $90^\circ$ and a purely resistive circuit has a phase angle of $0^\circ$ (current in phase with voltage), a circuit containing both inductance and resistance will have a phase angle between $0^\circ$ and $90^\circ$. An increase of resistance, either of the coil itself or any resistance connected in series with it, will therefore decrease the phase.
angle. For any given values of $R$ and $X_L$, the phase angle ($\theta$) can be determined from the relationship:
$$\tan \theta = \frac{X_L}{R}$$
**Example:** By what angle does current lag applied voltage in a circuit having 3000 ohms of inductive reactance in series with 1000 ohms of resistance?
**Solution:**
$$\tan \theta = \frac{X_L}{R} = \frac{3000}{1000} = 3$$
Since the ratio of $X_L$ to $R$ expresses the tangent of the phase angle, the numerical value of this ratio must be looked up in a table of tangents. Reference to such a table indicates that a tangent of 3 corresponds to an angle of approximately 72°.
If the resistance of a circuit (Fig. 2-9A) is made equal to the inductive reactance, the tangent of the phase angle will be 1. Reference to a table of tangents indicates that the phase angle is 45°, as illustrated in Fig. 2-9B. Note that the 45° angle is between current and *applied* voltage, not the voltage across the inductor. The voltage across the inductive component ($E_L$) is always 90° out of phase with the current, as shown in Fig. 2-9C.
Fig. 2-10 illustrates the relationship of the voltages in a circuit containing both inductance and resistance. Here the voltage drop across the resistor ($E_R$) is assumed to be 30 volts, and the voltage across the inductor ($E_L$) is assumed to be 40 volts. The applied voltage, however, is *not* 70 volts; voltages $E_R$ and $E_L$ are not directly additive because they are out of phase. These are alternating voltages, and the voltage across $R$ is not 30 volts at the same instant the voltage across $L$ is 40 volts. Since the voltage across $R$ is in phase with the current, and the voltage across $L$ leads the current by 90°, $E_R$ and $E_L$ are 90° out of phase with
each other. For this reason these two voltages must be added vectorially (a useful form for adding quantities at right angles to each other):
\[
E_{\text{applied}} = \sqrt{E_R^2 + E_L^2}
\]
\[
= \sqrt{30^2 + 40^2}
\]
\[
= \sqrt{900 + 1600}
\]
\[
= \sqrt{2500}
\]
\[
= 50 \text{ volts}
\]
This can be compared to driving an automobile 30 miles north and then 40 miles east. At the end of the trip, the automobile is 50 miles (not 70) from its starting point.
Fig. 2-10. Voltage relationships in circuit containing inductance and resistance.
IMPEDANCE
As shown in the preceding section, $E_R$ and $E_L$ must be added vectorially because they are out of phase. Likewise, the values of resistance and inductive reactance must be added vectorially to determine the total impedance of the circuit. A resistance of 80 ohms in series with a reactance of 60 ohms, for example, will not have an impedance of 140 ohms. Impedance $Z$ is equal to the vector sum of $R$ and $X_L$:
$$Z = \sqrt{R^2 + X_L^2}$$
$$= \sqrt{80^2 + 60^2}$$
$$= \sqrt{6400 + 3600}$$
$$= \sqrt{10,000}$$
$$= 100 \text{ ohms}$$
If the inductance and resistance are connected in parallel rather than in series, the total impedance will be smaller than either $R$ or $X_L$ (similar to resistors in parallel). As shown in Fig. 2-11, the input voltage is applied across both $R$ and $X_L$ in parallel (the coil resistance is assumed to be so much smaller than the reactance that it can be disregarded). The inductor draws 4 ma of current (100 volts divided by 25K), and the resistor draws 3 ma (100 volts divided by 33.3K). The total current supplied by the source is equal to the sum of these two branch currents. The currents, however, must be added vectorially because they are 90° out of phase with each other. The total current therefore is:
\[
I_t = \sqrt{3^2 + 4^2} \\
= \sqrt{9 + 16} \\
= \sqrt{25} \\
= 5 \text{ ma}
\]
Since the 100-volt source supplies 5 ma of current, the total impedance \(Z_t\) of the circuit is 20,000 ohms:
\[
Z_t = \frac{E}{I} = \frac{100}{5 \text{ ma}} = 20K
\]
**LOSSES AND Q**
Pure inductance is only a theoretical concept; it can never be realized in practice. A practical inductor has resistance in addition to its inductance — the resistance of the wire with which it is wound. Current in the coil will therefore produce a power \((I^2R)\) loss in the resistance of the conductor. For this reason a low-resistance coil is preferable for most applications, and the suitability of a given inductor for use in a particular circuit will depend on the resistance of the coil as well as the inductance. Two coils, for example, may have the same inductance but different resistances. The coil having the lesser resistance is of higher *quality*, or Q. This quality can be expressed as a numerical rating equal to the ratio of the inductive reactance to the resistance:
\[
Q = \frac{X_L}{R}
\]
*Example:* A coil in a certain circuit has 3000 ohms of reactance. If the resistance of the coil is 50 ohms, what is the value of Q?
*Solution:*
\[
Q = \frac{X_L}{R} = \frac{3000}{50} = 60
\]
\(Q\) is a particularly important factor in communication equipment operated in crowded frequency bands. The selectivity of a receiver, for example, is determined by the $Q$ of the coils in its tuning (tank) circuits.
The $Q$ of a coil is also affected by the well-known skin effect. At high frequencies, current tends to circulate on the surface of a conductor rather than through the interior. This reduces the effective cross-sectional area of the conductor, and the high-frequency resistance of the coil is therefore greater than the value that would be indicated by an ohmmeter.
Litz wire is often utilized for coils designed for use in high-frequency circuits. It is a conductor in which each strand is separately insulated. The combined surface area of these strands is greater than that of a single conductor of corresponding gauge (equivalent to the combined cross-sectional area of all the strands). Another means of compensating for skin effect is the use of hollow tubing instead of a solid conductor. Hollow tubing provides more surface area because it has two surfaces.
Another form of loss that has the same effect as increased coil resistance is loading. Assume that a second coil is placed near the first one for the purpose of coupling a signal. The additional coil is now the secondary of a transformer. If a load is connected across it, resistance will be reflected into the primary and will lower the $Q$ of this coil.
Still another type of loss occurs in iron-core coils because the core behaves like a shorted single-turn secondary. As a result, the changing magnetic field produced by the coil induces eddy currents in the core material. An additional core loss, hysteresis, occurs at high frequencies because the core cannot reverse its magnetization as fast as the high-frequency current through the coil reverses polarity.
Chapter 3
CONSTRUCTION
The construction of an inductor is determined largely by the frequency range in which it is to operate. In general, low-frequency inductors have many turns and employ a laminated iron core. High-frequency inductors have fewer turns and employ either an air core, powdered-iron, or ferrite. The stray capacitance between the turns and between the layers of turns is an important factor in high-frequency coils, and special winding configurations may be employed to minimize this capacitance.
Current and voltage considerations also determine the constructional features of an inductor. The gauge of the wire, for example, is selected in accordance with the amount of current the coil must carry. Receiver coils, which normally carry only a few milliamperes of current, are therefore wound from fine wire. Transmitter coils, however, often carry much greater currents and are wound from heavier wire or copper tubing.
The spacing between turns, the insulation of the wire, and the insulation between layers of turns must be adequate to prevent voltage breakdown and arcing. An inductor designed for use in high-voltage circuits will therefore have heavier insulation than one designed for low-voltage applications.
LOW-FREQUENCY INDUCTORS
Inductors designed for low-frequency applications are generally large both in inductance and in physical dimensions. Such inductors include filter reactors and audio-frequency chokes. Large inductances are required to produce an appreciable amount of reactance at the relatively low frequencies of operation. These inductors therefore have many turns of wire on an iron core. (The "iron" core is frequently silicon steel to reduce core losses.)
Since core materials possessing suitable magnetic properties are electrically conductive, eddy currents are induced in the core as it is cut by the changing magnetic field of the coil. These currents produce power ($I^2R$) losses which must ultimately be made up by the source. To minimize such losses, the core is composed of many thin slices, or laminations, which are varnished to electrically insulate them from each other. As a result, the eddy currents are confined and cannot circulate from one lamination to another. A higher-resistance pathway is therefore presented to the eddy currents, the magnitude of which is consequently reduced. The result is decreased power losses in the core.
The technique of reducing eddy-current losses by dividing the core into smaller segments accounts for the powdered-iron core in some inductors designed for higher frequencies. The magnetic powder is mixed with an insulating binder material so that each magnetic particle is electrically insulated from all others. Widely circulating eddy currents are therefore prevented, and core losses are correspondingly smaller. The magnetic powder and insulating binder substance are molded (usually rod shaped) to fit into the coil. This rod of core material, known as a slug, is normally mounted so that it can be moved into or out of the coil, usually by a screw. This permits the inductance to be varied. Resonant circuits are often tuned this way, and the technique is known as permeability tuning.
CORE SATURATION
In many applications, the inductor carries a pulsating direct current (with a superimposed a-c component). An example is an inductor connected as a load in the plate circuit of an amplifier tube. The d-c component tends to saturate the core, which reduces the inductance because the magnetic field in a saturated core tends to remain nearly constant. Since the constant field does not cut the turns of the inductor, it can no longer produce a counter emf. Core saturation can be prevented by using a capacitor to block the d-c component and allowing only the a-c component to pass through the coil. A shunt pathway, often a resistor, carries the d-c component. Fig. 3-1 illustrates this technique for preventing core saturation in an a-f choke. The same method may be used to prevent core saturation in transformer-coupled audio amplifiers.
Another technique, commonly employed in power-supply filter chokes, is to leave a small air gap in the magnetic pathway of the core. Since air does not saturate, the magnetic flux is limited to a less-than-saturation value.
HIGH-FREQUENCY INDUCTORS
High-frequency inductors such as r-f chokes and tank coils are generally more critical than low-frequency types with respect to core losses and stray capacitance. Laminated iron cores are not used in r-f components because (1) the core losses would be excessive at these high frequencies, and (2) less inductance is required than in low-frequency circuits. High-frequency inductors therefore employ either air cores, powdered-iron slugs, or ferrite cores. Ferrites are high-permeability ceramic materials made of metallic oxides such as iron, nickel, manganese, and zinc. Because of the high resistivity of ferrites, eddy-current losses are relatively small.
Coil forms for r-f applications must be made of "low-leakage" materials. Some substances which are good insulators in low-frequency circuits are poor insulators in high-frequency circuits. Low-loss materials commonly employed for r-f coil forms include mica-Bakelite, polystyrene, phenolics, and ceramics. Although paper-tube coil forms are still very popular, there is a strong trend toward the use of plastic forms. The plastic coil form is superior for high-frequency applications, and is easier to manufacture. Staple-on or riveted terminals are required with paper forms; with plastic forms, the terminals are simply embedded in and protrude from the plastic.
The coil may be "packaged" for mechanical and environmental protection. Depending on the application, a coating of lacquer or Durez (a thermosetting plastic) may provide sufficient protection. For high-reliability applications, molded or capsulated inductors are used. The molded type is similar in appearance to an ordinary resistor. In fact, some types have color stripes like resistors to indicate the value of inductance in microhenrys.
Capsulation is accomplished by placing the coil in a case, then pouring in potting compound. Coil leads are allowed to extend outward through the potting compound. When hermetic sealing is required, a completely closed case is used, and the coil leads are brought out through feed-through terminals in the case.
The pot-core inductor has its core both inside and outside the coil. The coil winding is placed in a cup-shaped piece of core material (powdered-iron or ferrite). Another cup is placed, inverted, on top of the first cup. In addition, a fixed or movable rod of core material extends into the coil. The coil is thus completely surrounded by core material. Pot-core construction produces a highly efficient path for the magnetic flux.
DISTRIBUTED CAPACITANCE
As stated earlier, pure inductance is a theoretical concept that cannot be realized in practice. A practical inductor always has a component of resistance. It also has some capacitance — between turns, between layers of turns, between the turns and the shield (if a shield is used), and between the turns and the chassis or other nearby components. This capacitance is known collectively as the distributed capacitance. In low-frequency circuits, the effect of this distributed capacitance is negligible. At higher frequencies, however, the capacitive reactance becomes comparable in value to the inductive reactance. At the frequency at which these two reactances are equal, the inductor becomes a resonant tank. Although this self-resonance is advantageous in some applications, it is more often regarded as an undesirable effect of the distributed capacitance of the coil.
At frequencies above self-resonance, the capacitive reactance is smaller than the inductive reactance and tends to short out the coil for r-f signals. R-f chokes are used to "keep out" high-frequency signals. The distributed capacitance, however, allows the r-f signal to bypass the coil and therefore defeats the purpose of the choke. At the frequency of self-resonance and the odd multiples thereof (3f, 5f, 7f, etc.), the coil behaves like a parallel-resonant (high-impedance) circuit. At even multiples (2f, 4f, 6f, etc.), the coil behaves like a series-resonant (low-impedance) circuit.
The single-layer coil has the least distributed capacitance, but it also provides the least amount of inductance for a given volume. Multi-layer coils are therefore required to produce adequate inductance for most applications. The distributed capacitance, however, is relatively large because of the capacitance between adjacent layers of the coil.
Special winding configurations help minimize the distributed capacitance of multi-layer coils. This is illustrated in Fig. 3-2. In Fig. 3-2A, the second layer of turns is wound back toward the starting point of the first layer. The last turn of the coil is
Fig. 3-2. Winding configurations.
therefore adjacent to the first turn, and the capacitance between these turns bypasses the entire coil. This bypassing effect can be minimized by bank winding as shown in Fig. 3-2B. Here, the first and last turns are more separated than the others, and the bypassing effect is reduced accordingly. Another method of reducing distributed capacitance is to use more layers, with fewer turns on each. Here again, as shown in Fig. 3-2C, the separation of the first and last turns is relatively large.
(A) Pie-wound.
(B) Slug-tuned.
(Courtesy Stancor Electronics, Inc.)
Fig. 3-3. Various types of coils.
The universal method of winding is used extensively and is a compromise between the low capacitance of the single-layer coil and the higher inductance of the multi-layer coil. This method of winding employs a zig-zag motion so that adjacent layers are not parallel. Because adjacent turns, layer to layer, are not parallel, distributed capacitance is relatively small. This type of winding is illustrated in Fig. 3-3A. Further reduction of distributed capacitance is achieved by winding the coil in sections called "pies." This splits the capacitance into series elements, reducing total capacitance.
The use of a ferrite core also helps reduce distributed capacitance. Because of the extremely high permeability of the ferrite core, fewer turns are needed to produce a given amount of inductance. The physical size as well as the distributed capacitance of the coil are therefore reduced.
**SHIELDING**
Because a magnetic field is established by current in a coil, and because this field will induce voltage in any conductor it cuts, undesirable coupling effects may occur. Magnetic coupling between the coils of a receiver, for example, will produce feedback from one stage to another and may cause the receiver to oscillate. Such undesirable coupling can be eliminated by shielding each coil with a metal container that encloses the coil and therefore confines the magnetic field. Shield cans are generally made of aluminum, but copper or brass may be used. As the magnetic field of the coil cuts across the shield, it induces eddy currents in the shield material. These currents establish a “counter” magnetic field that cancels the portion of the inductor field that would otherwise escape.
Eddy currents induced in a shield represent a power loss which must ultimately be made up by the signal source. This loss can be reduced by the use of a shield large enough that it does not fit the coil too closely. Another factor favoring an increased coil-to-shield spacing is the reduction of capacitance between the turns and shield (which is normally grounded).
**VARIABLE INDUCTORS**
Some applications, such as bandswitching, tuning, phase shifting, and telemetering, require the use of variable rather than fixed inductors. Several types of variable inductors are illustrated in Fig. 3-4. In Fig. 3-4A, the inductance is changed simply by switching to one of several taps on the coil. Another method (Fig. 3-4B) employs a movable core; the farther it is moved into
the coil, the more magnetic material is placed in the pathway of the lines of force. The number of lines therefore increases, and the inductance increases accordingly. The slug-tuned inductor is representative of this method.
(A) Tap switching.
(B) Slug-tuned.
(C) Saturable reactor.
Variable-pitch windings are used to produce a more linear variation as the slug is moved into the coil. If the turns of the coil are evenly spaced, the inductance will vary most rapidly as the core first enters the coil. The inductance will increase more slowly as the slug progresses inward. With variable-pitch winding (turns spaced at one end and crowded at the other), nearly linear variation can be achieved.
In Fig. 3-4C, the inductance can be varied by changing the degree of core saturation. An increase of direct current through one of the coils increases the extent to which the core is saturated. As the core becomes more saturated, the inductance of the second coil decreases. This type of variable inductor, the saturable reactor, is frequently employed in industrial-control circuits and in magnetic amplifiers.
TOROIDAL INDUCTORS
The toroid, shown in Fig. 3-5, is a highly efficient shape for an inductor. The doughnut-shaped core provides a continuous magnetic path, and most of the flux is confined to the volume enclosed by the winding. This type of inductor has the advantage of providing a large inductance for a given physical size. The coil in Fig. 3-5 has only a few turns, but many more may be used (depending on the intended frequency of operation). In addition to providing large inductance in small physical size, the toroidal inductor has the further advantage of being relatively immune to stray magnetic fields. A disadvantage is its higher cost because of the greater difficulty of winding a coil on a core of this shape.
The cores of toroidal inductors can be manufactured in several ways. One method utilizes a long, narrow strip of magnetic steel. The strip is then rolled (like a reel of recording tape) to produce a ring-shaped core. Another method is to stamp out washer-shaped pieces of steel, and then stack these "washers" to the desired thickness of the core. For either type of construction, the core often is coated with epoxy before the coil is wound. This protects the wire from sharp edges. Powdered-iron or ferrite cores also are used for high-frequency toroidal inductors.
Litz wire is frequently used to minimize skin-effect losses in toroidal inductors designed for radio frequencies up to about 1 MHz. At higher frequencies, so few turns are required that large-diameter solid wire can be used.
To cushion the coil and to protect the core from winding pressures that may alter its magnetic properties, the toroid core may
be coated with silicone rubber. For environmental protection, the toroidal inductor may be either molded in Bakelite or encapsulated in epoxy. A metal case may be employed when hermetic sealing is required. Both molding and encapsulating are expensive procedures. When cost is a primary factor and environmental protection is secondary, the toroid may simply be mounted on a plastic coil form or attached to a piece of fiberboard.
**FERRITE-BEAD INDUCTORS**
Typically, an inductor consists of a coil wound on a magnetic core. The greater the permeability of the core material, the fewer the turns required to achieve a given value of inductance. The development of high-permeability ferrites has made possible an inductor of *inverted* construction: a magnetic core surrounding a wire. As shown in Fig. 3-6, a ferrite “bead” is strung on a wire
**Fig. 3-6. Ferrite-bead inductor.**
to produce the equivalent of a radio-frequency choke. Even though the “winding” is simply a straight piece of wire perhaps an inch long, this choke may have an impedance of several hundred ohms in the megahertz frequency range.
For increased inductance, the ferrite bead may have several holes through it and the wire may be threaded back and forth several times. Also, several beads can be strung in series on the same wire.
The ferrite-bead inductor, sometimes referred to as an inductance multiplier, has several advantages over the conventional radio-frequency choke. It is simple to manufacture, it introduces very little stray capacitance, and it has almost no d-c resistance. This bead type of inductor has found application in noise-suppression, anti-parasitic, and decoupling circuits.
Chapter 4
APPLICATIONS
Like the resistor and capacitor, the inductor is a basic component of electronic circuitry. It is therefore used in practically all types of electronic apparatus. Because its reactance increases as the frequency increases, the inductor can be used to attenuate high frequencies without appreciably reducing the amplitude of low frequencies or direct current. Or, with a different circuit configuration, it can be made to favor the high frequencies. With a capacitor, the inductor is used in tuning, bandpass, and band-rejection circuits.
POWER-SUPPLY FILTER CHOKE
The ability of the inductor to oppose changes of current accounts for its usefulness as a power-supply filter component. As indicated in Fig. 4-1, the filter choke is connected in series with...
the rectifier and voltage source (transformer secondary). During the portion of the a-c input cycle when the rectifier current is increasing, the counter emf of the choke is positive on the cathode side. This prevents the current from increasing as much as it would, were it not for the counter emf. During the portion of the a-c input cycle when the rectifier current is decreasing, the counter emf of the choke is negative on the cathode side. This keeps the current from decreasing as much as it would if the choke were not in the circuit. Because the choke attempts to maintain a more nearly constant current, the voltage drop across the bleeder (and also across the load) tends to remain more constant. The output voltage does not rise as high as it would without a filter choke, nor does it drop as low. The variation of output voltage (ripple) is therefore held to a small value. The filter capacitor (dotted line in Fig. 4-1) further reduces ripple by holding the output voltage more constant. Additional chokes and capacitors may be added to Fig. 4-1 for improved filtering. Although a half-wave circuit is shown, the above comments also apply to a full-wave circuit.
The filter choke is wound onto a soft-iron core, with typical values of inductance ranging from 5 to 30 henrys. In electromagnetic speakers, the field coil serves also as a filter choke. Current in a filter choke tends to saturate the core and therefore to reduce the inductance. Some chokes have a small air gap in the iron core to reduce saturation effects. A choke designed to maintain a practical minimum (critical) value of inductance at maximum current is termed a swinging choke.
FREQUENCY-SELECTIVE FILTERS
Frequency-selective filters can be classified as (1) low-pass, (2) high-pass, (3) bandpass, and (4) band-rejection. A low-pass filter (Fig. 4-2A) is one which will attenuate high frequencies, but will allow low frequencies to pass practically undiminished in amplitude. High frequencies are attenuated because they encounter a high reactance in the series inductor. In addition, the
high frequencies tend to be bypassed through the low reactance of the shunt capacitors. For low frequencies, the series reactance \((X_L)\) is small and the shunt reactance \((X_C)\) is large. The cutoff frequency (dividing point between high and low frequencies) is determined by the values of \(L\) and \(C\). The filter of a power supply is actually a low-pass filter.
A high-pass filter is illustrated in Fig. 4-2B. Low frequencies are attenuated in it because they encounter a high reactance \((X_C)\) in the series component and are bypassed through the low reactance \((X_L)\) of the shunt components.
The bandpass filter in Fig. 4-2C employs resonant circuits \((X_L = X_C)\). It will pass a narrow band of frequencies and attenuate those above and below this band. The series-resonant circuit offers low impedance to the frequency at which the inductive reactance is equal to the capacitive reactance (and to a narrow band of frequencies centered around this resonance point). In addition, the parallel-resonant circuits offer high impedance to this band. Frequencies outside the passband encounter high
impedance in the series components and are bypassed through the low impedance of the shunt tanks.
The band-rejection filter shown in Fig. 4-2D will attenuate frequencies within a narrow band and pass those above and below it. Here, a parallel-resonant circuit is the series component of the filter, and the shunt pathways are series-resonant circuits. Frequencies at and near resonance are attenuated because they encounter a high impedance in the series component of the filter (parallel tank) and are bypassed through the low impedance of the shunt pathways (series-resonant circuits). This band-rejection (also known as a band-stop or band-exclusion) filter can be employed as a wave trap in a receiver, to attenuate an interfering signal.
The circuits illustrated in Fig. 4-2 are classified as $pi$ filters because the configuration of the components resembles the Greek letter $\pi$. Other configurations sometimes used are shown in Fig. 4-3; they are known as T and L filters because of their resemblance to these letters.
**TELEMETRY**
Telemetry is employed for remote measurement of pressure, temperature, acceleration, fluid flow rate, and other physical variables. Such systems are used extensively for remote instrumentation in aircraft, missile, and satellite experiments.
For a given value of capacitance in an oscillator tank circuit, the frequency of oscillation is determined by the value of inductAn application utilizing this frequency-determining characteristic is illustrated in Fig. 4-4. Here, a movable-core inductor is used in the tank circuit of the subcarrier oscillator of a telemetering system.
**Fig. 4-4. Inductance-controlled subcarrier oscillator.**
In Fig. 4-4 the movable core of the inductor is positioned by a mechanical linkage from the bellows. Since the bellows expands or contracts in accordance with the pressure changes to which it is exposed, the frequency of the subcarrier oscillator represents the pressure. The subcarrier output is fed to a mixer along with other subcarrier frequencies representing temperature, speed, flow rate, etc. These subcarriers then modulate the main carrier of an f-m transmitter. At the ground station, an f-m receiver picks up this transmission. The subcarrier frequencies are then separated and measured to provide indications of pressure, temperature, speed, etc.
PHASE-CONTROLLED RECTIFIER
In phase-controlled rectifiers, thyatrons instead of diodes are used as the rectifying elements. The advantage of this arrangement is that the rectified output to a load can be controlled simply by shifting the phase of the thyatron grid voltage. A half-wave, phase-controlled rectifier is shown in Fig. 4-5, but the circuit can be extended for full-wave operation by the use of two thyatrons fed from a center-tapped secondary winding.
The relative values of inductance and resistance in the phase-shifting bridge determine the angle by which grid voltage lags plate voltage. If this angle is small, say $30^\circ$, the positive alternation of grid voltage will occur slightly after the start of the positive alternation of plate voltage. The thyatron therefore fires (ionizes) early in the cycle as shown in Fig. 4-6A. Assume now that the phase-shifting bridge is adjusted to make grid voltage lag plate voltage by a larger angle, say $150^\circ$. The positive alternation of grid voltage now occurs near the end of the positive alternation of plate voltage. As indicated in Fig. 4-6B, the thyatron now fires late in each cycle.
A comparison of Figs. 4-6A and B indicates that the average current through the load becomes smaller as the phase angle of
the grid voltage is increased. The load is a resistor in Fig. 4-5, but in actual practice it might be the armature of a d-c motor, for example. The speed of this motor could then be controlled simply by varying the resistance in the phase-shifting bridge. This technique of motor control is used extensively in industry. By eliminating the need for pulley or gear changes, it permits smooth, stepless control of motor speed.
Fig. 4-6. Phase of grid voltage determines firing time of thyatron.
A fixed inductor and variable resistor are shown in the phase-shifting bridge in Fig. 4-5. An alternative is to use a fixed resistor with a variable inductor, an arrangement frequently employed where automatic control of motor speed is required. The inductor in such circuits is a saturable reactor (see Fig. 3-4), the d-c coil
of which is connected to the plate circuit of a tube. The bias of this tube therefore determines the degree of core saturation of the reactor. Since the degree of saturation determines the value of inductance, the reactor functions as a variable inductor in the phase-shifting bridge. According to the signal applied to the grid of the tube that controls the reactor, the thyatron can be made to fire earlier or later in the cycle. If the motor speed is to be held constant, the control signal can be obtained from a small d-c generator coupled to the motor shaft. This is now a closed-loop control system: the thyatron controls the motor, the motor drives the d-c generator, the generator supplies bias for the control tube, the control tube determines the saturation of the reactor, and the reactor determines the phase angle of the thyatron grid voltage. A change of motor speed therefore shifts the phase of the thyatron grid voltage, bringing the motor back to its correct speed. Controls of this type are used to regulate the motor speed against power-line variations and changes of mechanical load on the motor shaft.
PEAKING COILS
The high-frequency response of an amplifier stage is degraded by stray capacitance in the plate circuit. As indicated in Fig. 4-7, this stray capacitance shunts the plate load resistor. Since the
**Fig. 4-7. Peaking coil extends high-frequency response.**
reactance of the stray capacitance decreases as the frequency increases, the load impedance into which the tube works becomes smaller at higher frequencies. For this reason the high-frequency gain of the circuit drops off sharply.
The effect of stray capacitance can be counteracted by including an inductor in the plate circuit (Fig. 4-7) or in the grid circuit of the following stage. In either case, it becomes part of the plate load impedance. Since the reactance of this peaking coil increases as the frequency increases, the load impedance of the tube does not decrease at the higher frequencies. As a result, amplifier gain does not drop off until a much higher frequency is reached. In this manner an amplifier, the gain of which does not extend appreciably beyond the audio range, can be compensated for response up to several megahertz. High-frequency compensation of this type is commonly employed in oscilloscope amplifiers, radar receivers, and TV sets.
HIGH-VOLTAGE SUPPLY
The counter emf of an inductor can be used as a source of high voltage for the operation of high-voltage, low-current devices such as the Geiger counter. An inductive kickback supply for a portable Geiger counter is illustrated in Fig. 4-8. Capacitor C1 charges through resistor R1 until the voltage across it is sufficient to ionize the neon lamp. Capacitor C1 then discharges through the ionized gas until the remaining voltage is no longer adequate to maintain the ionization. The neon lamp now deionizes and the capacitor recharges. This repeated charge and discharge produces a sawtooth waveform across C1. In the differentiator circuit each cycle of sawtooth is converted to a negative pulse. As each pulse drives the 1U5 below cutoff, the magnetic field of the inductor collapses. The resulting counter emf charges capacitor C2 through the diode section of the 1U5, and the charge is then transferred through R2 to C3. The voltage across C3 (the output of the supply) is applied to the Geiger tube. Because of the rapid collapse of the magnetic field each time the 1U5 is driven below
cutoff, the counter emf is large in magnitude. For this reason the output voltage of the supply is considerably greater than the voltage of the B battery.
**TV APPLICATIONS**
Inductors employed in TV receivers include power-supply filter chokes, tank inductances, peaking coils, deflection yokes, focus coils, and width and linearity controls.
The focus coil is mounted on the neck of the picture tube so that it surrounds the electron beam. Direct current is passed through it to establish a magnetic field. Since the electrons in the beam tend to repel each other, the beam tends to spread as it approaches the screen. If this scattering effect is not counteracted, the scanning spot on the screen will be large and the picture will lack fine detail. The magnetic field of the focus coil “squeezes” the electron beam to a smaller cross-section area. When the current in this coil is properly adjusted, the electron paths converge toward the screen to produce a small, sharply defined scanning spot.
The deflection yoke contains both horizontal- and vertical-deflection coils arranged so that their magnetic fields are at right
angles to each other. Sawtooth currents are passed through these coils to produce magnetic fields that increase linearly with time. One of the fields deflects the electron beam horizontally and the other deflects it vertically. Since the horizontal sawtooth is much higher in frequency (15,750 Hz) than the vertical sawtooth (60 Hz), the beam sweeps across the screen many times during each of its vertical excursions. As a result, the scanning spot traces many vertically displaced horizontal lines.
As shown in Fig. 4-9, the width control is connected across a portion of the secondary of the horizontal-output transformer.
**Fig. 4-9. Deflection, width, and linearity coils.**
This secondary supplies deflection current to the horizontal coils in the yoke. Because it shunts a portion of the secondary winding, the width coil limits the magnitude of the signal coupled to the yoke. The deflection signal (and the width of the picture)
can therefore be controlled by varying the inductance of the width coil.
Boosted B voltage for the plate of the horizontal-output tube is produced by charging the boost capacitor through the damper diode. The source voltage of this charge is the B supply in series with the voltage in the output-transformer secondary. The boost capacitor therefore charges to the sum of these two voltages. A ripple component appears in the boosted voltage, at the frequency of the horizontal sawtooth. This ripple is shifted in phase by the inductance of the linearity control, and the amount of shift is determined by the amount of inductance. By proper adjustment of this control, the plate voltage of the output tube can be made to vary during the sawtooth cycle to improve the linearity of the sawtooth current needed for beam deflection.
MAGNETIC AMPLIFIERS
The inductance of a saturable reactor decreases with an increase in core saturation. This characteristic is utilized in magnetic amplifiers. In the two typical circuits shown in Fig. 4-10, a few milliamperes (or even microamperes) of current through the control winding can control amperes of current through the load. A small increase in control current, for example, will increase the core saturation. As a result, the inductance of the load coil will decrease. Since there is now less reactance in series with the load, the load current increases accordingly.
The load coil of the reactor is center-tapped, and the diodes are connected so that current through the two halves is in a direction that aids the control current. Since the load current helps to saturate the core, these circuits are referred to as self-saturating magnetic amplifiers. The load in Fig. 4-10 is shown as a resistor, but in practice it may be a relay, solenoid, motor, furnace heating element, etc. Alternating current flows through the load in Fig. 4-10A. The one in Fig. 4-10B, which provides both control and rectification, is used for controlling current through a d-c load.
Special core materials have been developed for use in magnetic amplifiers. Typically, they are such that the core suddenly saturates when current exceeds a critical value. This can be compared to the sudden "firing" of a thyratron. An additional bias winding is often included on the reactor. The magnitude of the bias current determines whether the reactor "fires" early or late during the a-c supply cycle.
Like vacuum-tube and transistor amplifiers, magnetic amplifiers can be connected in cascade for increased gain. The load in Fig. 4-10B, for example, may be the control coil of a second stage of the same type. Likewise, the control coil of a third stage can be connected as the load of the second stage.
Chapter 5
TRANSFORMERS
When the magnetic field of an inductor changes, the lines of force cut across the turns and induce a voltage (counter emf) in the coil. Furthermore, the changing field also will induce a voltage in any other nearby coil. This is the principle of transformer action. A transformer consists of two or more coils on the same core, or at least close enough so that the flux lines of one coil will cut the turns of the other.
TURNS RATIO
The transformer coil to which the input voltage is applied is designated the primary winding. Current through it establishes a magnetic field that induces voltage in the other coil (secondary winding). Because the magnitude of the induced voltage depends on the number of turns on the secondary as compared with the number on the primary, the turns ratio is an important characteristic of the transformer. It is defined as the ratio of the number of primary to the number of secondary turns:
\[
\text{turns ratio} = \frac{N_P}{N_S}
\]
where,
\(N_P\) is the number of turns on the primary,
\(N_S\) is the number of turns on the secondary.
If the secondary has more turns than the primary, the transformer has a step-up ratio. A turns ratio of 1:3, for example, inicates that the secondary has three times as many turns as the primary. A step-down transformer has fewer turns on the secondary than on the primary. A turns ratio of 20:1 therefore indicates that the secondary has one turn for every twenty on the primary.
In general, step-up transformers are used to increase voltage, and step-down transformers to decrease it. Transformers with 1:1 ratios are sometimes employed when it is desired to retain the same amount of voltage but to isolate one circuit from another.
**VOLTAGE RATIO**
Because the voltage induced in the secondary of a transformer may be either larger or smaller than the voltage applied to the primary, the transformer can be regarded as a voltage-changing device. A transformer for operating a neon sign, for example, produces thousands of volts output by stepping up the power-line voltage (115 vac). By contrast, a filament transformer steps down the line voltage to 2.5, 5, or 6.3 volts, or any other value required by the heaters of the tubes.
Since the magnitude of the voltage induced in a coil depends on the number of turns being cut by the magnetic field, a secondary winding with many turns will have more voltage induced in it than a secondary with fewer turns. If, for example, the magnetic field induces a tenth of a volt in each turn of the secondary, a 2000-turn secondary will have 200 volts induced in it, and a 3000-turn secondary will have 300 volts induced. Mathematically, the voltage ratio (primary to secondary) is equal to the turns ratio:
\[
\frac{E_p}{E_s} = \frac{N_p}{N_s}
\]
where,
\(N_p\) and \(N_s\) are the number of turns of the primary and secondary,
\(E_p\) and \(E_s\) are the voltages of the primary and secondary respectively.
In the example shown in Fig. 5-1, the voltage induced in the secondary can be determined as follows:
\[
\frac{E_p}{E_s} = \frac{N_p}{N_s}
\]
\[
\frac{115}{E_s} = \frac{500}{1500}
\]
\[
E_s = \frac{115 \times 1500}{500} = 345 \text{ volts}
\]
As indicated in the calculation above, the secondary voltage is three times as great as the primary voltage because the secondary has three times as many turns as the primary. In practice, the secondary voltage is somewhat less than the calculated value. If a load is connected across the secondary, the resulting current will produce an IR drop in the resistance of the secondary winding. For this reason, the secondary voltage decreases when a load is connected. In a well-designed transformer, however, this decrease is negligible. The transformer designer can anticipate and compensate for the decrease by slightly increasing the number of secondary turns.
A step-down transformer is shown in Fig. 5-2. Here the secondary has only one-fourth as many turns as the primary. Secondary
voltage is therefore equal to one-fourth the primary voltage:
\[
\frac{E_P}{E_S} = \frac{N_P}{N_S}
\]
\[
\frac{50}{E_S} = \frac{1000}{250}
\]
\[
E_S = \frac{50 \times 250}{1000} = 12.5 \text{ volts}
\]
**CURRENT RATIO**
Although a transformer can increase voltage, it does not provide “something for nothing.” The voltage increase is accompanied by a current decrease. The current drawn from the secondary wind-
*(A) Step-down.*
*(B) Step-up.*
**Fig. 5-3. Current ratios.**
ing is determined by the load connected to it, but the primary current will be greater than the secondary current in the same ratio that the secondary voltage is greater than the primary voltage. If, for example, the secondary voltage is four times as great as the primary voltage, the primary current will be four times as great as the secondary current. A transformer that has a step-up voltage ratio therefore has a step-down current ratio.
In the example shown in Fig. 5-3A, the secondary voltage is three times as great as the primary voltage. If a load connected to the secondary draws 20 milliamperes of current, the primary current will be 60 milliamperes. In Fig. 5-3B the secondary voltage is one-fourth the primary voltage. If the load connected to the secondary draws 200 milliamperes, the primary current will be one-fourth this value, or 50 milliamperes.
Mathematically, the current ratio is related to the turns ratio as follows:
\[
\frac{I_P}{I_S} = \frac{N_S}{N_P}
\]
where,
\(N_P\) and \(N_S\) are the number of turns of the primary and secondary,
\(I_P\) and \(I_S\) are the currents of the primary and secondary.
In practice, the primary current is slightly greater than the calculated value because the primary draws additional current to make up for core losses. For this reason, the output power of the secondary (\(E_S\) times \(I_S\)) is always less than the input power to the primary (\(E_P\) times \(I_P\)). The ratio of output power to input power is the efficiency of the transformer and is generally expressed as a percentage:
\[
\% \text{ efficiency} = \frac{\text{power out}}{\text{power in}} \times 100 = \frac{E_S \times I_S}{E_P \times I_P} \times 100
\]
For iron-core transformers, the efficiency often exceeds 90%.
**IMPEDANCE MATCHING**
Because it can make one value of impedance appear to be another value, the transformer is useful as an impedance-matching device. This impedance-changing characteristic of the transformer is illustrated in Fig. 5-4. In Fig. 5-4A, a 100-volt source is connected to “something” inside the box.
Since this "something" draws 2 milliamperes of current from the 100-volt source, its impedance is 50,000 ohms:
\[ Z = \frac{E}{I} = \frac{100}{.002} = 50,000 \text{ ohms} \]
Fig. 5-4B shows that this 50,000-ohm "something" is actually a 5:1 step-down transformer with a 2000-ohm impedance connected across its secondary. Since the secondary output is 20 volts, the 2K load draws 10 milliamperes of current. Furthermore, since the turns ratio is 5:1, the primary current is one-fifth the secondary current, or 2 milliamperes. The 100-volt source therefore "sees" an apparent impedance of 50,000 ohms rather than the actual impedance of 2000 ohms. The apparent impedance is usually referred to as reflected impedance. In other words, 2000 ohms in the secondary is reflected as 50,000 ohms in the primary.
Numerically the impedance ratio is equal to the square of the turns ratio. In the above example, the turns ratio is 5 and the impedance ratio is therefore 25 (50,000 ohms to 2000 ohms). Expressed as a formula, this relationship is:
\[
\frac{Z_P}{Z_S} = \left(\frac{N_P}{N_S}\right)^2
\]
where,
\(N_P\) and \(N_S\) are the number of turns of the primary and secondary,
\(Z_P\) and \(Z_S\) are the impedances in the primary and secondary.
**Example:** What value of impedance is reflected into the primary of a 9:1 step-down transformer with a 10-ohm load across the secondary?
**Solution:**
\[
\frac{Z_P}{Z_S} = \left(\frac{N_P}{N_S}\right)^2
\]
\[
\frac{Z_P}{10} = \left(\frac{9}{1}\right)^2
\]
\[
\frac{Z_P}{10} = 81
\]
\[
Z_P = 10 \times 81 = 810 \text{ ohms}
\]
A typical use of an impedance-matching transformer is shown in Fig. 5-5. The transformer is used to match the low impedance of the speaker to the higher impedance of the output tube. Since the turns ratio is 40, the impedance ratio is \(40^2\), or 1600. The 4-ohm voice coil therefore reflects an impedance of 6400 ohms into the primary, a reasonable load impedance for the output tube.
**A-F TRANSFORMERS**
Audio-frequency (a-f) transformers are used for interstage coupling and for coupling microphones to amplifiers, and amplifiers to speakers. Both step-up and step-down ratios are employed, the former for increasing the signal level and the latter for impedance-matching applications. These transformers have laminated cores of iron or steel. Silicon steel is preferred, to reduce core losses at the higher audio frequencies.
Audio-frequency transformers are physically large except for the miniaturized types designed for transistor circuits. In vacuum-tube amplifiers, interstage transformers often have a step-up ratio (typically 1:3) to increase the signal voltage. In transistor amplifiers, however, step-down transformers are frequently employed to match the low input impedance of the transistor to the higher output impedance of the preceding stage.
Ideally, the a-f transformer should have a flat response throughout the audio range. In practice, however, the response tends to fall off at the low and high ends of the audio spectrum. Low-frequency response drops because the inductive reactance is small at these frequencies, and the amplifier therefore works into a smaller load impedance. This can be corrected by increasing the number of primary turns to increase the reactance. The distributed capacitance, however, also will increase, and high-frequency signals will be bypassed through this capacitance. Improved low-frequency response is therefore obtained at the expense of high-frequency response.
A better way of increasing primary inductance is to use core material of higher permeability. A number of nickel-iron alloys
are available, some with permeabilities approaching 1,000,000. Higher primary inductance can therefore be obtained with fewer turns and consequently with less distributed capacitance. The self-resonance of the transformer windings can sometimes be utilized to improve the high-frequency response.
**Fig. 5-6. Push-pull transformers.**
Push-pull transformers have a center tap on either the primary or secondary. An input push-pull transformer, shown in Fig. 5-6, has a center-tapped secondary to feed the two grids $180^\circ$ out of phase with each other. The output push-pull transformer has a center-tapped primary winding. Each tube draws current through half of this primary. Although the tubes draw current in opposite directions through their respective halves, the current through one half increases when the current through the other half decreases. An additive effect is therefore produced to provide an increase of output as compared to a single-ended stage. The output push-pull transformer in Fig. 5-6 has a step-down ratio to match the low impedance of the speaker voice coil.
Fig. 5-7 shows several styles of transformer construction and packaging. Open-frame construction is illustrated in Fig. 5-7A, cast epoxy resin protects the transformer in Fig. 5-7B from extremes of temperature and humidity, and hermetic sealing is illustrated in Fig. 5-7C.
R-F AND I-F TRANSFORMERS
Laminations of nickel-iron alloy such as those used in a-f transformers are not suitable for r-f or i-f transformers. At these higher frequencies, eddy-current losses would be intolerably high. The nickel-iron alloy, however, can be produced in the form of fine particles, and coated with an insulating material and binder. It can then be molded into a rod-shaped core to fit inside the coil. This core of powdered iron has relatively little eddy-current loss; the insulating material between the particles produces the effect of a high-resistance core. The core may be threaded so that it can be turned into or out of the coil. This method of varying inductance is commonly employed in i-f transformers.
Intermediate-frequency transformers for communications receivers (as distinguished from home entertainment receivers) use temperature-stable ferrites rather than powdered iron. Used with temperature-compensating capacitors, ferrite-core coils assure stability of tuning. Ferrites are combinations of metallic oxides such as iron, nickel, manganese and zinc, pressed into the desired shape. Because ferrites have high electrical resistivity, eddy-current losses are low. It is therefore unnecessary to powder the ferrite core.
At frequencies above about 50 MHz, magnetic cores introduce considerable losses. Unless high-grade core materials are used, the $Q$ of the coil may be less than that of an air-core coil. At these frequencies, magnetic cores should be used only for fine adjustment of frequency rather than for wide-range variation. Non-ferrous core materials such as copper or brass permit adjustment of inductance without introducing magnetic losses (although they do produce eddy-current losses).
Skin-effect losses and distributed capacitance become significant at radio frequencies. These effects can be minimized by the use of Litz wire, hollow tubing, and special winding configurations as described in Chapter 3. Radio-frequency transformers are usually shielded, as indicated in Fig. 5-8, to reduce undesirable coupling and feedback effects.
Radio-frequency transformers are used for interstage coupling and for coupling a signal to or from an antenna. One or both windings of the transformer may be shunted by a tuning capacitor. This combination of inductance and capacitance constitutes a resonant tank which tunes the circuit to a narrow band of frequencies.
The front end of a radio receiver in Fig. 5-9 shows some typical uses of r-f transformers. T1 couples the signal from the antenna to the grid of the r-f amplifier. The secondary of this transformer is tuned by one section of the tuning capacitor and its trimmer. This tank selects the desired signal from among the many signals in the antenna circuit.
Transformer T2 couples the r-f signal from the plate of the amplifier to the grid of the converter. Again, the secondary is resonated by the tuning capacitor for improved selectivity. T3 is the oscillator transformer. The cathode and first two grids of the converter tube function as a triode oscillator, the second grid operating as the triode plate. Oscillator "plate" current through one winding of T3 induces a voltage in the other (control-grid) winding. As a result of this feedback, the circuit oscillates and the electron stream in the converter is modulated at the frequency of oscillation. The grid tank of the oscillator is tuned by another section of the same variable capacitor that tunes the r-f and converter stages. The oscillator frequency therefore changes as the receiver is tuned from one station to another. A trimmer and padder in the oscillator tank are adjusted to make the local oscillator "track" with respect to the tuning of the r-f and converter stages. When these tracking adjustments are correct, the oscillator frequency will always differ by a fixed amount from the signal frequency being received. This fixed-frequency difference is the intermediate frequency (i-f) to which transformer T4 is tuned.
Intermediate-frequency transformers are similar to r-f transformers but are designed to operate at a fixed, or intermediate,
frequency equal to the difference between the r-f signal and local-oscillator frequency. In broadcast-band receivers, the intermediate frequency is commonly 455 kHz. In other types of equipment (f-m, tv, and radar, for example), the intermediate frequency may range from 10 to 60 MHz. As indicated in Fig. 5-9, both the primary and secondary of the i-f transformer are tuned—either by trimmer capacitors as shown, or by movable slugs in the coils.
A modulated radio signal contains sideband frequencies as well as the carrier. Even after this signal has been converted to an intermediate frequency by the action of the local oscillator, it still includes sidebands above and below the intermediate frequency. The response of the i-f stages must therefore be sufficiently wide to include these sideband frequencies. In communication receivers, intelligibility is the primary requirement and a narrow response is adequate (and also desirable, to permit the receiver to separate the desired station from other stations operating on nearby carrier frequencies). In broadcast receivers, tone quality is important. The response must therefore be wide enough to include the sidebands corresponding to the high audio frequencies. In tv receivers the i-f response must be wider to accommodate the sidebands corresponding to the fine detail of the picture. This requires a bandpass approximately 4 MHz wide. By contrast, the entire standard radio broadcast band is approximately 1 MHz wide.
The bandpass of an i-f amplifier can be widened by (1) connecting loading resistors across the tanks to lower the $Q$, (2) stagger tuning the i-f stages, or (3) increasing the primary-to-secondary coupling of the i-f transformers. Stagger tuning is accomplished by tuning successive i-f stages to slightly different frequencies, allowing the amplifier to respond to a wider band.
The effect of increased coupling in i-f transformers is illustrated in Fig. 5-10. If the primary and secondary are loosely coupled, the selectivity curve will be as shown by curve A. If the primary and secondary are brought closer together (tighter coupling),
Fig. 5-9. Front end of radio receiver.
C1, C2, AND C3 ARE GANGED
the selectivity curve widens and the response increases as shown by curve B. At critical coupling, the amplitude of this curve is maximum. If the coupling is increased beyond the critical value (overcoupled), the selectivity curve becomes wider but develops a double hump (curve C). Although some i-f transformers are constructed to permit variation of the primary-to-secondary coupling, these are exceptions. More often, the degree of coupling is determined by the designer, and the transformer built accordingly.
The $Q$ of the tank coils also determines the width of the bandpass response. In general, communications receivers employ high-$Q$ coils for narrow response, and broadcast receivers employ tanks of lower $Q$ for wider response.
**Fig. 5-10. Effect of coupling on bandpass response.**
**POWER TRANSFORMERS**
The power transformer is a voltage-changing device which supplies the operating potentials in radio receivers and other types of equipment. Typically, the transformer has a high-voltage secondary (200 to 400 volts), the output of which is rectified to supply the B voltage for the plates and screen grids. In addition, the transformer has one or more low-voltage secondaries to energize the heaters of the tubes. In some types of equipment, separate transformers are employed for the B supply and for the heater voltages. More often, however, a single transformer with multiple secondaries is employed. A typical receiver-type power transformer is illustrated in Fig. 5-11. The high-voltage secondary
steps up the 115 volts alternating current from the line to 350 volts on each side of the center tap (700 volts total). The center tap is provided for use with a full-wave rectifier. A 5-volt secondary supplies heater power for the rectifier tube, and a 6.3-volt winding supplies heater power for the other tubes. Heater windings are sometimes center-tapped to simulate a tap on the heater. This is useful for reducing hum. Several taps may be provided near one end of the primary winding (for use in localities where the line voltage is unusually high or low). Since switching to a different tap on the primary is equivalent to changing the turns ratio, this technique compensates for abnormal line voltage.
The gauge of the wire used for the various transformer windings is selected on the basis of expected current drain. Heater windings, for example, are wound with heavier gauge wire than the high-voltage secondary. Total heater current of the tubes in a receiver is generally several amperes. In contrast, total plate and screen currents rarely exceed a few hundred milliamperes. Transformer wire is enamel-insulated. This insulation and the insulation between the layers and between the windings and the core must be adequate to prevent arcing. The high-voltage secondary is most critical with respect to insulation requirements because the potential between opposite ends of this winding is generally 500 to 1000 volts. This is one reason for the use of separate plate and heater transformers in high-voltage equipment such as large radio transmitters.
Most of the magnetic flux produced in the transformer is confined to the iron core. Some flux, however, is established in the air around the transformer, and this flux will induce "hum" voltage in nearby wires and other components. For this reason, the transformer is usually encased in a metallic shield. In addition, an electrostatic shield is sometimes employed between the primary and secondary windings to prevent r-f and noise voltages from entering through the power lines.
Power-transformer characteristics are specified according to the voltage and current ratings of the windings. A typical rating, for example, would be 375-0-375 volts at 150 ma, 5 volts at 2 amps, and 6.3 volts at 6 amps. This indicates that the high-voltage secondary is center-tapped and produces 375 volts in each half. This voltage is specified at the rated value of current drain (150 ma). If the current drain is less than the rated value, the secondary voltage will be somewhat higher because of the reduced IR drop in the winding. The above ratings also indicate that the transformer has two heater windings with 5- and 6.3-volt outputs (at 2 and 6 amperes, respectively).
The efficiency of a transformer is limited largely by its core losses. Research by transformer and steel manufacturers has led to the development of improved core materials and therefore to more efficient transformers.
A principal source of core loss (explained briefly in Chapter 2) is hysteresis. This type of loss occurs because the core retains some of its magnetic flux after the current that produced it has been reduced to zero. As a result, each alternation of input power must overcome the magnetic flux of opposite polarity left from the preceding alternation. The expenditure of power to accomplish this is the hysteresis loss of the core. The greater the residual magnetism in the core, the greater the power required to overcome it when the current reverses. Hysteresis loss also increases with an increase of frequency (at higher frequencies, the magnetic flux of the core must be reversed more times per second).
Another form of core loss occurs because the core material is electrically conductive. Current is therefore induced in the core by the alternating magnetic field. The input power expended in inducing these *eddy-currents* is wasted because it does not produce any useful output from the transformer. Eddy-current loss can be reduced by the use of laminated core material of low conductivity. A laminated core consists of thin slices of core material insulated from each other to increase resistance to eddy-currents. Both hysteresis and eddy-current losses manifest themselves as heat in the core.
The “iron” core of a transformer is usually silicon steel. About three or four percent of silicon is added to the steel to increase its resistivity, reducing eddy-current losses. The core material is further improved by grain orientation. Grain orientation, accomplished by cold-rolling and heat treating, aligns the crystals of steel in the direction in which they can most easily be magnetized. The resulting steel therefore has a *preferred* or easy direction of magnetization; a characteristic called *anisotropy*. The reduced hysteresis losses in grain-oriented steel have led to increased use of 400-Hz transformers in military and airborne equipment. The advantage of 400-Hz operation over the usual 60-Hz operation is the significant saving in size and weight. All other things being equal, a 400-Hz transformer requires much less iron than the 60-Hz type. Before the development of grain-oriented steel, increased hysteresis loss at 400 Hz voided the advantage of lower weight. Now, even 800-Hz operation seems attractive.
C-core construction best utilizes the advantage of grain-oriented core material. The grain-oriented steel is produced in a long, narrow strip. This ribbon of core material is then rolled up (like a reel of recording tape) to produce a circular- or oval-shaped core. The core is then cut in half to produce two C-shaped pieces. After the prewound coils are placed on the core, the two halves are fitted together again. The advantage of this tape-wound core is that its “easy” direction of magnetization is the same as the direction of the lines of force established when the transformer is in operation.
ISOLATION TRANSFORMERS
In addition to its other purposes, the transformer functions as an isolation device. There are no direct wire connections between the primary and secondary; these circuits are coupled only through the magnetic field of the transformer. This feature of isolation is essential, for example, in an amplifier where the plate voltage of one stage must be blocked from the following grid. The transformer couples the a-c component (signal) but blocks the d-c level.
Transformers designed to serve no other purpose but isolation usually have a one-to-one ratio (sometimes slightly higher to make up for losses). These transformers are rated in watts to indicate the magnitude of the load that can safely be connected to the secondary. Service technicians frequently employ such transformers while working on a-c/d-c receivers. The transformer isolates the chassis from the power line, reducing the possibility of accidental shock.
AUTOTRANSFORMERS
The autotransformer is an exception to the rule that there is no direct metallic connection between primary and secondary. In the autotransformer, the same turns are used for both windings.
(A) Step-down. (B) Step-up.
Fig. 5-12. Autotransformers.
If all of the turns are used as the primary, as in Fig. 5-12A, the autotransformer has a step-down ratio. A step-up autotransformer is shown in Fig. 5-12B. Here, the turns below the tap serve as the primary, and the entire winding is used as the secondary. The autotransformer is sometimes constructed with several fixed taps or a movable tap to permit variation of the secondary voltage.
FLYBACK TRANSFORMER
The flyback transformer employed in TV receivers utilizes autotransformer action. As indicated in Fig. 4-9, the portion of the winding between the tap and B supply serves as the primary. This primary is connected into the plate circuit of the horizontal-output tube. The entire winding functions as the secondary and is connected to the high-voltage rectifier tube. Because the horizontal-output tube is excited by a sawtooth input, the primary current alternately builds up and decreases. The decrease causes the magnetic field of the primary winding to collapse. This collapsing field cuts across the entire winding, inducing thousands of volts. Additional windings on the flyback transformer supply heater power to the rectifier tube and couple the sawtooth to the horizontal-deflection coils.
Chapter 6
TESTING INDUCTORS AND TRANSFORMERS
Inductors and transformers are employed extensively in electronic equipment. A simple radio receiver, for example, has an antenna coil, an oscillator coil, two i-f transformers, an audio-output transformer, a power transformer, and a filter choke (which may be the field coil of the speaker). More elaborate receivers, such as those used in communications work, include more r-f and i-f stages and therefore require a greater number of transformers. Television receivers use an even larger number of these components. Industrial apparatus, telemetering equipment, radar, navigational devices, and other electronic instruments also employ many inductors and transformers.
In general, inductors and transformers do not become defective as often as other components such as tubes and capacitors. When a defect does occur, it is usually an open (broken wire) or a short (insulation breakdown). A coil may open because of excessive current or because chemical action (corrosion) has eaten away the copper wire. Other causes are thermal expansion of the coil form, or mechanical damage caused by careless handling. Often, the break occurs at the solder terminal. In this event the coil can be easily repaired by cleaning the tip of the wire and resoldering it to the terminal. Open coils can be easily located by checking for continuity with an ohmmeter. Shorted coils are more difficult to locate because only a few of the turns (or even a single
turn) may be shorted. An ohmmeter will not reveal this defect because the short does not change the total resistance of the coil appreciably.
**OHMMETER TESTS**
The ohmmeter, used as a continuity checker, is useful for locating open coils. Depending on the associated circuitry, it may be necessary to disconnect one end of the coil from the circuit before making the measurement. A burned-out secondary winding in an audio-output transformer, for example, will still show a continuity reading because it is shunted by the voice coil of the speaker. Likewise, an open heater winding of a power transformer will show a continuity reading unless the tubes and pilot light are removed or one end of the winding is disconnected.
Manufacturer’s schematics and service manuals frequently indicate the resistance of coils and transformer windings. When such information is available, the actual ohmmeter readings should be compared with these values. Even when such values are not available, an experienced technician will know the approximate ohmic values of various types of inductors and transformers. The windings of an i-f transformer, for example, generally range from 5 to 20 ohms, a power-supply filter choke is typically 150 to 1500 ohms, and a power-transformer primary is usually about 10 ohms.
When an open coil is located, some thought should be given to the probable cause of this defect. An open caused by excessive current, for example, is distinguishable from an open caused by corrosion or mechanical damage. A power transformer or filter choke that has been burned open by excessive current can be identified by the characteristic odor of overheated insulation.
If a burned-out coil is replaced without adequate consideration of the probable cause, the new coil may burn out for the same reason as the original. An open filter choke or power transformer, for example, should not be replaced until the rectifier and filter capacitors have been checked for defects. Possible shorts in other
circuits connected to the B supply should also be taken into consideration.
In addition to checking the resistance of coils and transformer windings, the ohmmeter is also useful for checking leakage and shorts. A primary-to-secondary short in an interstage transformer, for example, allows the B voltage from one stage to reach the grid circuit of the following stage. A primary-to-core short in an interstage transformer causes the B voltage to be grounded through the core. This short increases the current drain from the B supply, and may damage the filter choke, rectifier, or power transformer. Winding-to-winding shorts in a transformer are located by connecting the two ohmmeter leads to the two windings. The ohmmeter should show an extremely high reading — corresponding to the resistance of the insulating material in the transformer. In a good transformer, this insulation resistance is many kilomogohms. If the transformer has more than two windings, similar tests should be made between all pairs of windings: primary to secondary 1, primary to secondary 2, secondary 1 to secondary 2, etc. In addition, each winding should be checked for possible shorts to the core. If one of the transformer leads is connected to ground (chassis), this lead should be disconnected before the transformer is checked for winding-to-core shorts. All ohmmeter tests should, of course, be made with the power off.
Shorts between adjacent turns or adjacent layers are often difficult to detect with an ohmmeter because they produce only a small change in the total resistance of the winding. This does not imply that the short is not important if it involves only a few turns. Even a single shorted turn will prevent normal operation of the circuit and can cause excessive current. A shorted turn in the secondary of a power transformer, for example, can burn out the primary winding. Since a heavy current circulates through the shorted turn, and since this power must come from the primary circuit, primary current rises far above its normal value. Similarly, a short in the B+ circuit will often burn out the primary winding of the transformer.
Turn-to-turn or layer-to-layer shorts can sometimes be identified by the method illustrated in Fig. 6-1. All secondary leads are disconnected, and a light bulb is wired in series with the primary. If the transformer is not defective, only a small magnetizing current will circulate in the primary circuit — not enough to light the bulb (Fig. 6-1A). If the transformer has shorted turns, however, the primary current will be high enough to light the lamp as shown in Fig. 6-1B.
Fig. 6-1. Testing for shorted turns.
Defective inductors and transformers often can be located with voltage checks. A power transformer, for example, can be tested simply by measuring the voltage across each winding. The voltage outputs of the two sections of a center-tapped secondary should be measured separately and compared. These voltages should be equal, or almost equal within manufacturing tolerances.
**Fig. 6-2. Voltage test reveals defective coupling transformer.**
Unbalance in the two halves may indicate shorted turns, particularly if the transformer has been running hotter than normal. Voltage measurement is also useful for checking a-f, r-f, and i-f transformers. The voltmeter used must be able to respond to these signal frequencies, or an appropriate probe must be used to convert the signal to a d-c potential.
A voltmeter check for revealing a defective coupling transformer is illustrated in Fig. 6-2. Assuming the B supply voltage has been measured and found to be reasonable in value, the voltmeter is now connected to the plate side of the transformer primary. At this point, the voltmeter shows no reading. The transformer primary is therefore assumed to be either open, or grounded through a short to the core. If the transformer appears to be overheating, this would lend credibility to the assumption that it is shorted. If the transformer is “cold,” it can be assumed to be open. In either case, the results obtained by the ohmmeter will verify the assumption.
A technique for measuring the value of an unknown inductance is illustrated in Fig. 6-3. The inductor and a variable resistor are connected in series across an a-c input. This input may be obtained from an audio generator or from the power line (avoid excessive current, which might overheat the inductor or resistor). The variable resistor is now adjusted until the voltage across it is equal to the voltage across the unknown inductor. The Function switch of the voltmeter should, of course, be set to alternating current. Two meters are shown in Fig. 6-3, but only one is required. A single meter is, in fact, preferable because of possible differences in the calibration and accuracy of two separate meters. The meter is connected first across the inductor and then across the resistor which is adjusted to make these voltages equal. If desired, an oscilloscope can be used instead of the meter, and the variable resistor adjusted until the scope pattern across it is equal in height to the pattern obtained across the inductor. When this balance is established, the value of the resistor is equal to the impedance of the inductor. The power is now turned off and the resistor (left at the same setting) is measured with an ohmmeter. The resistance of the inductor is also measured with the ohmmeter, and the unknown inductance can now be determined from:
\[ L = \frac{\sqrt{R^2 - r^2}}{2\pi f} \]
where,
- \( L \) is the inductance in henrys,
- \( R \) is the measured value of the variable resistor in ohms,
- \( r \) is the measured value of the coil resistance in ohms,
- \( f \) is the frequency of the a-c input in hertz,
- \( \pi \) is a constant equal to 3.14.
**Examples:** The variable resistor in Fig. 6-3 is adjusted for a condition of balance as described before. This variable is now measured and found to be 2100 ohms. The resistance of the coil when also measured is found to be 150 ohms. If the frequency of the a-c input is 60 Hz, what is the value of the unknown inductance?
**Solution:**
\[
L = \frac{\sqrt{R^2 - r^2}}{2\pi f}
\]
\[
= \frac{\sqrt{2100^2 - 150^2}}{6.28 \times 60}
\]
\[
= 5.5 \text{ henrys}
\]
Although this method does not yield laboratory accuracy, it is adequate for most applications and offers the advantages of being quick and convenient to use. In addition, it requires no special equipment such as an inductance bridge.
**RESONANCE METHOD**
Fig. 6-4 illustrates a technique in which the unknown inductance is resonated with a known capacitance. The inductor and capacitor are connected as a parallel-resonant tank, and this tank is connected through a variable resistor to a signal generator. In general, an a-f generator is preferable to an r-f generator, to minimize the effects of stray and distributed capacitance. An a-c voltmeter (or an oscilloscope) is connected across the tank as shown.
**Fig. 6-4. Resonance method of determining value of unknown inductor.**
The variable resistor and the signal generator are now adjusted so that the voltmeter pointer will swing sharply upscale as the generator is tuned through the frequency to which the tank is resonant (the generator frequency that produces maximum deflection of the voltmeter). The unknown inductance can now be determined from:
\[
L = \frac{0.0253}{f^2C}
\]
where,
- \(L\) is the inductance in henrys,
- \(f\) is the resonant frequency in kilohertz,
- \(C\) is the tank capacitance in microfarads.
**Example:** Maximum deflection of the voltmeter in Fig. 6-4 occurs when the generator is set to 8 kHz. If the tank capacitance is .01 microfarad, what is the value of the unknown inductance?
**Solution:**
\[
L = \frac{0.0253}{f^2C} = \frac{0.0253}{8^2 \times 0.01} = \frac{0.0253}{0.64} = 0.0395 \text{ henry}
\]
**INDUCTANCE BRIDGE**
When high-accuracy measurement of an unknown inductance is required, an inductance bridge must be used. This is a laboratory-type instrument capable of much greater accuracy than can be attained using the techniques illustrated in Figs. 6-3 and 6-4.
**Fig. 6-5. Basic inductance bridge.**
In the bridge circuit, the unknown inductance is compared against a known value of inductance called the *standard*. This standard inductance is variable, as shown in the basic inductance bridge of Fig. 6-5.
An a-c signal from the generator is applied to opposite terminals of the bridge. The frequency of this signal is commonly 60, 400, or 1000 Hz. A null detector, usually a headset or meter, is connected across the other terminals of the bridge circuit. The standard inductor \((L_S)\) is now adjusted to balance the unknown inductor \((L_X)\), and the standard resistor \((R_S)\) is adjusted to balance the resistance \((R_X)\) of the unknown inductor. When this balance has been established, the audio tone of the generator can no longer be heard in the headset. If a meter is used instead of the headset, the null or balance will be indicated by a zero reading of the meter. This occurs because the two terminals to which the null detector is connected are at the same potential when the bridge
is balanced. The inductance and resistance of the unknown can now be determined from:
\[
L_X = \frac{L_S R_A}{R_B}
\]
\[
R_X = \frac{R_S R_A}{R_B}
\]
Note that the standard and unknown inductors need not be equal in value when the bridge is balanced, but that the ratio of the unknown to the standard inductance be equal to the ratio of \(R_A\) to \(R_B\). For this reason, a switch may be provided in the instrument to select one of several different resistors for use as \(R_A\) (or \(R_B\)). Its setting determines the range of inductance that can be measured. One switch position, for example, may permit measurement in the microhenry range, another for the millihenry range, and still another position for the measurement of inductors of many henrys.
Calibrated dials generally are attached to variable standards \(L_S\) and \(R_S\). When the bridge is balanced, these dials indicate the values of the unknowns, \(L_X\) and \(R_X\). In most commercially available bridges, the variable standards are called decades. A resistance decade, for example, consists of a switch and several fixed resistors. According to the setting of the switch, these fixed resistors can be connected in various combinations to produce different totals. Typically, six decades are used, and the resistance values are selected so that the total resistance can be changed in steps of 1 ohm, 10 ohms, 100 ohms, 1K, 10K, and 100K. A panel arrangement for a six-decade resistance standard is shown in Fig. 6-6. With the switches set as shown, the total resistance is 374,205 ohms. Although each decade has eleven switch positions (including 0), only four resistors per decade are required. The one-ohm-per-step decade, for example, would have four resistors of 1, 2, 3, and 4 ohms. When the switch is set to the 5 position, the 2- and 3-ohm resistors are connected in series; in the 7 position, the 3- and 4-ohm resistors are in series; in the 9 position, the 2-, 3-, and 4-ohm resistors are in series; etc. SimiFig. 6-6. Six-decade resistance standard.
R TOTAL
374,205 OHMS
larly, the standard inductor \((L_s)\) consists of fixed inductors and appropriate switching arrangements.
A headset is shown as the null detector in Fig. 6-5, but a meter is often used instead. To permit more accurate bridge balance, a high-gain amplifier is used with the null detector. As a result, even a slight unbalance of the bridge will produce an observable indication on the null meter. The bridge can therefore be adjusted to near-perfect balance. Null amplifiers are sometimes designed to have a logarithmic response. This prevents the null meter from being driven off scale when the bridge is considerably off balance, but still provides high gain for small signals as the bridge is brought close to perfect balance. By the use of RC networks or LC tanks, the null amplifier is tuned to the frequency of the generator used to excite the bridge. The a-c input is applied to the bridge, and the bridge output to the null amplifier, through shielded leads to minimize direct pickup from the generator to the amplifier.
**OWEN BRIDGE**
Because low-tolerance inductance standards are expensive and difficult to manufacture, many inductance-measuring instruments employ a bridge that does not require a standard inductor. The Maxwell bridge, and also the Hay bridge, employ a capacitor as the standard. In the Owen bridge, shown in Fig. 6-7, the unknown inductor is balanced by a resistance decade (which can be more easily manufactured to a closer tolerance). A leading voltage (because of the lagging current) appears across the unknown inductor in one side of the bridge. Because of the capacitance in the other side of the bridge, a leading voltage is produced across the standard resistor. For this reason, the resistance in one side of the bridge can be used to balance the inductance in the other side. The resistance of the unknown inductor determines the phase angle of the leading voltage across this inductor. A variable capacitance determines the phase angle in the other side of the bridge.
and therefore balances the resistance of the inductor. The switch dials of the standard resistance decades indicate the value of the unknown inductance. The switch dials of the capacitor decades indicate the conductance (G) of the unknown. The resistance of the unknown inductor can be easily determined by:
\[ R_x = \frac{1}{G} \]
The circuit diagram of an incremental inductance bridge is shown in Fig. 6-8. Switch SW1 selects the range of the bridge, to permit measurements up to 1111.1 henrys. Switch SW2 connects the resistor decades in either series or parallel with the capacitor decades (depending on the Q of the unknown inductor, sharper null balance may be achieved with either the series or parallel arrangement of the standards). Switch SW3 permits connection of an external vtvm to indicate the voltage across the unknown inductor. When this switch is released, the vtvm is disconnected to prevent its input capacitance from unbalancing the
bridge. Since the value of an iron-core inductor may vary according to the d-c current through it, it may be desirable to measure the inductance at a particular value of current. A bridge that permits such measurement is known as an incremental inductance bridge. The instrument illustrated in Fig. 6-8 permits this type of measurement by means of SW4. Through this switch, an external d-c source can be connected in series with the input transformer from the a-c generator. Capacitor C7 blocks the d-c component from the output transformer that feeds into an external null-detector amplifier.
Another incremental inductance bridge is shown in Fig. 6-9. It has full-scale ranges from 111 microhenrys to 1111 henrys, and
can be balanced to a precision of 0.1 per cent for an inductance as low as 0.1 microhenry. Full-scale conductance ranges are from 111 micromhos to 1111 mhos. The digits of the switch dials are visible through windows in the front panel, providing in-line digital readout of inductance and conductance.
Fig. 6-9. Type 1632-A inductance bridge.
Chapter 7
MAGNETIC CORE MEMORY AND LOGIC
In digital counters and computers, information is represented and manipulated in binary numbers. The binary number system employs only two symbols (0 and 1) as compared to the familiar decimal system with its ten symbols: 0, 1, 2, 3, 4, 5, 6, 7, 8 and 9. Typical binary numbers therefore look like this: 110100001 and 1000010111.
The ones and zeros of the binary system can be represented by transistors that are either conducting or nonconducting, by holes or no-holes at specified locations in a punched card, or by flux in either of two directions on a strip of magnetic tape.
Ferrite cores often are used to represent the ones and zeros of binary notation. A ring-shaped core (toroid) of magnetic material may be magnetized in either of two directions: clockwise or counterclockwise. One of these directions of magnetization can represent a binary one, and the other direction can represent a zero. The digits (bits) of a binary number can thus be represented by a group of magnetic cores, some magnetized in one direction and some in the other.
As shown in Fig. 7-1, the direction of magnetization of a core depends on the direction of electron flow in the wires passing through it. Actually, current is allowed to circulate for only a few millionths of a second; this is sufficient to magnetize the core. The core then retains its magnetism in the same direction until
current of opposite polarity in the wires reverses the magnetic flux. This ability of the core to magnetize quickly and to retain its
(A) Core magnetized in "1" direction. (B) Core magnetized in "0" direction.
Fig. 7-1. Magnetic cores.
magnetism indefinitely accounts for the use of thousands of cores in computer memories. The ferrite materials for this application are selected for their ability to retain magnetism and to reverse rapidly.
CORE SWITCHING
In addition to "remembering" binary data, ferrite cores are also useful for shifting data and for performing logical operations in the computer. A basic core arrangement is shown in Fig. 7-2.
If a pulse of current is passed through the "in" coil, the core will magnetize in the direction representing binary one. This process
is referred to as *setting the core* or *writing a one*. If, at some later time, a pulse of current is passed through the “shift” coil, the core will magnetize in the direction representing binary *zero*. This process is referred to as *clearing*, *reading* or *resetting* the core. Note that the “in” coil is used to put a *one* into the core, and the “shift” coil is used to clear the core to *zero*.
The “sense” coil produces output when the “shift” pulse reverses the magnetic flux of the core. This output is the voltage induced in the sense coil when it is cut by the reversing magnetic field. Note that an output may or may not appear in the sense coil at the time the shift pulse is applied. This depends on the previous state (one or zero) of the core. If the core was already magnetized in the zero direction, the shift pulse would produce no reversal of magnetic flux. Under these conditions, the sense coil would not be cut by lines of force and would produce no output voltage. The shift operation can therefore be regarded as an interrogation of the core to determine whether it contains a one or a zero (in one case voltage will be induced in the sense coil, in the other case it will not).
**THE SHIFT REGISTER**
Fig. 7-3 shows a number of cores connected to form a *shift register*. Assume that the first core has previously received an input pulse and is therefore magnetized in the *one* direction. If a shift pulse is now applied, all cores will be switched to the *zero* state (if they were not already in that state). As the first core switches from one to zero, voltage is induced in its sense coil. The voltage charges a capacitor through a diode. After the shift pulse is completed, the capacitor discharges through the input coil of the second core. The second core therefore magnetizes in the *one* direction. The binary *one* has thus been shifted from the first core to the second. If another shift pulse is now applied, the *one* will move from the second core to the third. The diode connected in the output circuit of each core prevents the capacitor from discharging back through the sense winding of the same core. Discharge of the capacitor must therefore occur through the input coil of the following core. Shift registers are useful for moving a long string of ones and zeros into or out of various computer circuits.
**CORE LOGIC**
Magnetic cores also are used to perform *logical* operations in computers and related equipment. Fig. 7-4 shows a core with two input coils labeled A and B. The core can therefore be set to the one state by applying a pulse to either coil A or coil B or both. This corresponds to the logical operation “A OR B”.
If current of opposite polarity is passed through coil B, it will cancel the effect of the current through coil A. Coil A is therefore inhibited and cannot write a *one* into the core. The only way to
set this core is to apply a pulse to A but not to B. This corresponds to the logical operation "A AND NOT B", a basic and important operation in computer logic circuits.
In Fig. 7-5, the core has three input coils. A continuous inhibiting current is passed through coil C. Both A and B must therefore be pulsed in order to overcome the inhibiting current and set the core to one. This corresponds to the logical operation "A AND B".
**CORE TRANSISTOR LOGIC**
For improved flexibility and reliability, a transistor may be employed in conjunction with the core. As indicated in Fig. 7-6,
the transistor receives its input from the sense winding. When a shift pulse switches the core from the one to the zero state, the sense winding provides output voltage to "turn on" the transistor.
The transistor now conducts, and its current charges the capacitor. When the magnetic field of the core has finished reversing, no more voltage is induced in the sense coil. At this time, the transistor turns off and the capacitor is free to discharge through the input coil of the next core. The capacitance and inductance provide sufficient time delay to assure that the shift pulse will be finished before the capacitor attempts to set the following core. This delay is necessary because a core cannot be set to the one state at the same time the shift pulse is clearing it to the zero state.
High-speed switching of the core is desirable because it permits a greater amount of information to be processed in a given length of time. The switching action of a magnetic core can be speeded up by employing a transistor in a regenerative feedback arrangement. A circuit of this type is shown in Fig. 7-7. Assume
**Fig. 7-7. Core-transistor logic.**
that a shift pulse is applied, and the core begins to switch from one to zero. Voltage is now induced in the sense coil, and the transistor conducts. Transistor current circulates through the feedback winding and aids the shift coil in switching the core to zero. As a result of this additional current through the feedback winding, the core reverses its magnetism very rapidly. As shown in Fig. 7-7, an undelayed output is available for the shift windings of other cores, and a delayed output is available for the inhibit or input coils.
GLOSSARY
air-core inductor — A coil wound of heavy-gauge, self-supporting wire, or one wound on ceramic, plastic, or other nonmagnetic material.
autotransformer — A transformer consisting of a single winding with a tap. If the a-c input is applied across the entire winding and the output is taken between the tap and one end of the coil, the transformer has a step-down ratio. If the a-c input is applied between the tap and one end and the output is taken across the entire winding, the transformer has a step-up ratio.
back emf — Also known as counter emf. Voltage induced in a coil by a change of current through it. The back emf is of such polarity that it opposes the current change that produced it.
bandpass filter — A network that passes a narrow band of frequencies and attenuates frequencies above and below this band.
band-rejection filter — Also known as a band-stop filter. A network that greatly attenuates frequencies within a narrow band and passes frequencies above and below this band. This type of filter is useful for attenuating an interfering signal.
coefficient of coupling — A numerical value, between 0 and 1, expressing the magnetic “closeness” of two coils. If the coils are completely coupled, all of the magnetic lines of each coil are linked with the turns of the other coil, and the coefficient of coupling is 1. If no coupling exists, none of the lines of force of either coil link with the turns of the other coil, and the coefficient of coupling is 0.
core saturation — In an iron-core component, the condition whereby the core is completely magnetized. A further increase of current will therefore produce no appreciable increase of magnetic flux. Since the flux can no longer increase, no counter emf is produced and the inductance of the coil is greatly reduced.
distributed capacitance — The self-capacitance of a coil, consisting primarily of the capacitance between adjacent turns and layers. Because of its distributed capacitance, the inductor becomes a resonant tank circuit at the frequency at which the capacitive reactance is equal to the inductive reactance.
eddy currents — Currents induced in the magnetic core of an inductor or transformer as the core is cut by the magnetic flux of the coil. These currents produce heating of the core and represent a power loss.
henry — The unit of measurement of inductance, named in honor of Joseph Henry. Subdivisions of this unit are the millihenry and microhenry, equal to a thousandth and a millionth of a henry respectively.
high-pass filter — A network that favors the passage of high frequencies and attenuates the lows.
hysteresis loss — Loss that occurs in magnetic core components because the core is unable to change its magnetism as rapidly as the changes in current.
impedance — The opposition to alternating current of a circuit or component. The impedance of an inductor is the vector sum of its reactance and resistance.
impedance-matching transformer — A transformer used to couple circuits or components of different impedance — for example, the plate circuit of an amplifier tube to the low impedance of a speaker coil.
inductance — The property of a component or circuit that opposes changes of current.
inductive reactance — The opposition which an inductance offers to a changing current. It is specified in ohms and is represented by $X_L$. Numerically, $X_L = 2\pi fL$.
Litz wire — A type of stranded wire sometimes used to reduce skin effect in coils. The strands are separately insulated. Their total surface area is greater than the surface area of a solid conductor of equivalent cross-sectional area.
low-pass filter — A network that favors the passage of low frequencies and attenuates the highs.
magnetic amplifier — A type of amplifier utilizing the properties of a saturable-core reactor. The reactor is connected in series with a load and the a-c supply. Current through the load can therefore be controlled by varying the saturation of the core.
mutual inductance — A property existing when two coils are magnetically coupled (a change of flux of one coil induces a voltage in the other coil). Mutual inductance is specified in henrys, millihenrys, or microhenrys.
powdered-iron core — A magnetic core consisting of finely powdered magnetic material mixed with an insulating binder. Since each magnetic particle is electrically insulated from the others, eddy-current losses are reduced. The core material is pressed into shape to fit inside the coil. This slug of core material may be movable to permit variation of the inductance.
$Q$ — A numerical rating specifying the quality of a coil in terms of the ratio of its reactance to its resistance.
saturable reactor — An iron-core inductor, the reactance of which can be controlled by varying the degree of core saturation. This is accomplished by varying the d-c current through another coil on the same core.
skin effect — The tendency of high-frequency current to flow on the surface rather than through the interior of a conductor. Since this effectively reduces the cross-sectional area of the conductor, its a-c resistance is greater than its d-c resistance.
slug-tuned coil — A variable inductor employing a movable core, usually of powdered iron.
step-down transformer — A transformer having more primary than secondary turns. Voltage induced in the secondary is therefore less than the voltage applied to the primary.
step-up transformer — A transformer having more secondary than primary turns. Voltage induced in the secondary is therefore greater than the voltage applied to the primary.
swinging choke — A power-supply filter choke so designed that its inductance will not decrease (because of core saturation) below a critical value, even at maximum current.
turns ratio — Ratio of the number of primary turns to the number of secondary turns of a transformer.
INDEX
A
A-f transformer, 58-60
Air core, 9
Amplifier, magnetic, 50-51
Angle, phase, 22-23
Angular velocity, 21
Anisotropy, 69
Autotransformer, 70-71
B
Back winding, 32-33
Bandpass
filter, 41
i-f transformer, 64
Band rejection filter, 41-42
Bank winding, 33-34
Bridges, inductance, 79-86
C
Capacitance, distributed, 32-35
Capsulated inductor, 31
Choke
power supply, 39-40
swinging, 40
Classification, inductors, 9
Closed-loop system, 46
Coefficient of coupling, 18
Coil forms, high frequency, 31
Coil, peaking, 46-47
Core
ferrite, 87-88
logic, 90-92
saturation, 29-30
switching, 88-89
Counter emf, 16, 20
Coupling, coefficient of, 18
Current ratio, 55-56
D
Defects, 72
Deflection yoke, 48-49
Distributed capacitance, 32-35
E
Eddy currents, 27, 29, 69
Emf, counter-, 16, 20
Energy storage, 14-16
F
Faraday, Michael, 8
Ferrite
-bead, 38
cores, 87-89
Filter
choke, 39-40
frequency selective, 40-42
Flyback transformer, 71
Focus coil, 48
Force, magnetic lines of, 12-13
Formulas
current ratio, 56
impedance, 25
impedance ratio, 58
inductance, 78, 79
inductive reactance, 21
mutual inductance, 18
parallel inductors, 18
phase angle, 23
Q, of coil, 26
series inductors, 19
stored energy, 16
time constant, 17
turns ratio, 52
voltage ratio, 53
Frequency-selective filter, 40-41
H
Hay bridge, 83
Henry, 9
Henry, Joseph, 8-9
High-frequency inductor, construction of, 30-31
High-pass filter, 41
High-voltage supply, 47-48
History, inductance, 8-9
Hysteresis loss, 27, 68
I
I-f transformers, 61-66
Ignition system, automotive, 15
Impedance, 25-26
matching, 56-58
Inductance
bridges, 79-86
factors determining, 10-11
multiplier, 38
mutual-, 18
self-, 18
Inductive reactance, 19-21
Inductors
basic concepts, 12-14
classification of, 9
construction
high frequency, 30-31
low frequency, 28-29
definition of, 7-8
ferrite-bead, 38
parallel, 18-19
toroidal, 37-38
variable, 35-36
Iron core, 9
construction of, 29-30
Isolation transformer, 70
J
Joules, 16
L
Laminations, in core, 29
Lenz's law, 16
L filter, 42
Linearity coil, 49
Litz wire, 27
Loading, of coil, 27
Logic, core, 90-92
Losses, in inductor, 26-27
Low frequency inductor, construction of, 28-29
Low-pass filter, 41
M
Magnetic amplifier, 50-51
Magnetic lines of force, 12-13
Matching, impedance, 56-58
Maxwell bridge, 83
Microhenry, 9
Millihenry, 9
Molded inductor, 31
Mutual inductance, 18
O
Oersted, Hans Christian, 8
Ohmmeter tests, 73-75
Owen bridge, 83-84
P
Parallel inductors, 18-19
Peaking coil, 46-47
Permeability
core, 10
tuning, 29
Phase angle, 22-23
Phase-controlled rectifier, 44-46
Phase relationships, inductive circuit, 21-24
Pie winding, 33-34
Pi filter, 42
Pot core, 31
Powdered-iron core, 29
Power supply filter choke, 39-40
Power transformer, 66-69
Push-pull transformer, 60
Q
Q factor, 26-27
R
Reactance, inductive, 19-21
Rectifier, phase controlled, 44-46
Reflected impedance, 57
Register, shift, 89
Resonance, testing by, 78-79
R-f transformer, 61-66
S
Saturable reactor, 36
Saturation, core, 29-30
Self inductance, 18
Shielding, 35
Shift register, 89
Skin effect, 27
Slug, coil, 29
Step-down transformer, 53, 54
Step-up transformer, 52-53, 54
Storage, energy, 14-16
Swinging choke, 40
Switching, core, 88-89
T
Telemetry, 42-43
Testing coils and transformers, 73-86
T filter, 42
Thyratron, 44-46
Time constant, 16-17
Toroidal inductor, 37-38
Transformer, 52-71
Tuning, permeability, 29
Turns ratio, transformer, 52-53
U
Universal winding, 34
V
Variable inductor, 35-36
Voltage, induced in conductor, 13
ratio, transformer, 53-55
Voltmeter tests, 76-78
W
Width coil, 49
Windings, coil, 32-34
|
Motor Vehicle Air Pollution Control: The Remaining Issues
Michael P. Walsh
Follow this and additional works at: https://scholar.law.colorado.edu/air-quality-protection-in-west
Part of the Administrative Law Commons, Atmospheric Sciences Commons, Automotive Engineering Commons, Climate Commons, Environmental Health and Protection Commons, Environmental Law Commons, Environmental Policy Commons, Natural Resources Law Commons, Natural Resources Management and Policy Commons, Science and Technology Law Commons, and the Transportation Law Commons
Citation Information
Walsh, Michael P., "Motor Vehicle Air Pollution Control: The Remaining Issues" (1989). Air Quality Protection in the West (November 27-28).
https://scholar.law.colorado.edu/air-quality-protection-in-west/9
Reproduced with permission of the Getches-Wilkinson Center for Natural Resources, Energy, and the Environment (formerly the Natural Resources Law Center) at the University of Colorado Law School.
Michael P. Walsh, *Motor Vehicle Air Pollution Control: The Remaining Issues*, in *AIR QUALITY PROTECTION IN THE WEST* (Natural Res. Law Ctr., Univ. of Colo. Sch. of Law 1989).
Reproduced with permission of the Getches-Wilkinson Center for Natural Resources, Energy, and the Environment (formerly the Natural Resources Law Center) at the University of Colorado Law School.
Motor Vehicle Air Pollution Control
The Remaining Issues
Michael P. Walsh
Consultant
AIR QUALITY PROTECTION IN THE WEST
2800 North Dinwiddie Street
Arlington, Virginia 22207
November 27-28, 1989
I. Introduction
A. Summary
In spite of over 20 years of control, vehicle related air pollution remains a serious problem in the US and around the world. Fortunately, a variety of additional measures appear promising and appear to be on the horizon if current legislative efforts come to a fruitful conclusion. However, continued growth in the number and use of vehicles in the US and in other corners of the world remains a long term problem.
B. General References
Authored by Michael P. Walsh unless otherwise noted
"Options For Reducing Particulate Emissions From Diesel Motor Vehicles In The Denver Metropolitan Area", A Report to the Denver Metropolitan Air Quality Commission, January 5, 1987
"The I/M Success Story: Where Do We Go from Here?", Society of Automotive Engineers Paper No. 870623, Warrendale, PA, 1987.
Carhart, Bruce S. and Michael P. Walsh, "Potential Contributions to Ambient Concentrations of Air Toxics by Mobile Sources," Presented to the 80th Annual Meeting of APCA, New York, New York, June 24, 1987.
"Energy and Environmental Issues Related To Transportation", A Report To The World Resources Institute, October 1987.
"Global Trends in Motor Vehicles and Their Use Implications for Climate Modification." A Report Prepared for the World Resources Institute, Dec. 12, 1988.
"Global Trends in Motor Vehicle Pollution Control - A 1988 Perspective." SAE Technical Paper Series, 890581, Feb. 27-Mar. 3, 1989.
"Worldwide Developments in Motor Vehicle Diesel Particulate Control." SAE Technical Paper Series 890168 Feb. 27-Mar. 3, 1989.
II. Background
Motor vehicles have been and remain the dominant pollution source in the US, emitting significant quantities of carbon monoxide, hydrocarbons, nitrogen oxides, fine particles and lead. In an effort to minimize the motor vehicle pollution problem, emission rates from cars in the US have been limited by legislation since the 1968 model year. Frustrated with the rate of progress in controlling pollution in light of the increasing evidence of adverse effects which were occurring, Congress decided during the late 1980's to accelerate the pace of control. Because evidence was growing that vehicles were
substantially exceeding their "lenient" standards in-use, Congress also decided to pay special attention to the compliance program.
In December of 1970, when the Clean Air Act was amended by Congress, it took particular notice of the significant role of the automobile in the nation's effort to reduce ambient pollution levels by requiring a 90% reduction in emissions from the level previously prescribed in emissions standards for 1970 (for CO and HC) and 1971 (for NOx) models. It was clearly the Congress' intent to aid the cause of clean air by mandating levels of automotive emissions that would significantly diminish the role of the automobile from the pollution picture. In 1977, the Act was "fine tuned" by Congress, delaying and slightly relaxing the auto standards, imposing similar requirements on trucks, and specifically mandating in use directed vehicle inspection and maintenance programs in the areas with the most severe air pollution problems.
III. The Evolution of the US Motor Vehicle Program
A. Emissions Standards
With passage of the Clean Air Act Amendments in 1970, the Congress knowingly imposed standards which could not then be achieved. To comply with the law, auto manufacturers were required to develop and commercialize technologies which existed only in research laboratories or on prototypes. The adoption of these "technology forcing" emissions standards for carbon monoxide, hydrocarbons and nitrogen oxides was complemented by a comprehensive regulatory structure for assuring compliance with these standards. Congress also charged EPA with responsibility to determine how vehicles were to be tested to assure compliance with standards. Standards adopted to date for automobiles (converted to 1975 FTP equivalents) are listed below:
| Model Year | Hydro-Carbons | Carbon Monoxide | Nitrogen Oxides |
|------------|---------------|-----------------|-----------------|
| Pre-1968 | 8.2 | 90.0 | 3.4 |
| 1968-1971 | 4.1 (50) | 34.0 (62) | none |
| 1972-1974 | 3.0 (63) | 28.0 (69) | 3.1 (9) |
| 1975-1976 | 1.5 (82) | 15.0 (83) | 3.1 (9) |
| 1977-1979 | 1.5 (82) | 15.0 (83) | 2.0 (41) |
| 1980 | 0.41(96) | 7.0 (92) | 2.0 (41) |
| 1981+ | 0.41(96) | 3.4 (96) | 1.0 (76) |
( ) percent reduction from uncontrolled levels
* not standards but approximate levels prior to adoption of standards.
All automobile standards in Table 1 have been expressed in terms of the 1975 Federal Emissions Test Procedure, which has been in effect since the 1975 Model Year.
While specific numbers were not spelled out in the law, the Clean Air Act also authorized EPA to set standards for all other categories of motor vehicles.
The technology necessary to meet the standards has been developed sufficiently that all 1983 and later model gasoline fueled cars have been "certified" to the most stringent levels. Without exception, all new gasoline automobiles sold in the US today and since the 1980 Model Year are equipped with catalytic converters and require the use of lead free fuel.
B. Compliance Program
In addition to the standards themselves, EPA has completed implementation of the full set of enforcement tools which Congress provided to assure compliance with those standards -- most notably, Certification, Assembly Line Testing, Recall and Warranty. When viewed in the aggregate, these compliance tools were intended to address in a comprehensive fashion the problem of controlling emissions from "properly maintained" in-use cars. They assure that attention is paid to vehicle design before mass production begins, place constraints on quality assurance on the assembly line and through the combination of recall and warranty impose a discipline on manufacturers to be concerned about emissions from in-use cars.
IV. Where Do We Stand Today
A. Current Air Quality
During 1988, over 100 areas of the country exceeded healthy levels for ozone. For carbon monoxide, 44 areas exceeded healthy levels. While there was a slight decline in the unhealthy CO areas, the ozone problem was much worse. According to EPA estimates, over 130 million Americans live in these unhealthy areas, more than half the country.
B. The Continuing Importance Of Transportation
During 1987, transportation sources were responsible for 40 percent of nationwide lead emissions, 70 percent of the CO, 34 percent of the volatile organic compounds (HC), 45 percent of the NOx, and 18 percent of the particulate. In some cities, the mobile source contribution is even higher. Even these contributions don't include the impact of "running losses", gasoline vapors emitted from the vehicle while it is driving. Accounting for these emissions, the vehicle contribution rises significantly. Including running losses, the overall contribution of transportation to total nationwide emissions is as illustrated in Figures 1. Compared to other individual source categories, Figures 2 and 3 show that transportation is clearly dominant.
Growth in vehicle miles travelled (as illustrated in Figure 4, vehicle miles travelled in the US is growing at approximately 25 billion miles per year.), poor control during the second half of an
automobile's life and less stringent controls on other mobile sources are offsetting the overall gains from the automobile standards. Without additional vehicle control, therefore, it is just a question of time until motor vehicle emissions begin to increase again.
The speed with which future increases will occur and the steepness of the increase depends in large part on future growth rates in vehicle miles travelled as illustrated in Figures 5, 6 and 7 for NOx, HC and CO. Since VMT growth is currently increasing more rapidly than over the past few years, greater vehicle control per mile driven will be needed to offset these increases.
V. These Pollutants Cause Adverse Effects
Vehicle emissions cause or contribute to adverse health effects in many individuals, in addition to harming terrestrial and aquatic ecosystems, causing crop damage, and impairing visibility. Some of these effects will be described below.
A. Carbon Monoxide
Over 90 percent of the carbon monoxide emitted in cities generally comes from motor vehicles. (During the Winter, wood burning stoves are an important additional source in some areas.) Because the affinity of hemoglobin in the blood is 200 times greater for carbon monoxide than for oxygen, carbon monoxide hinders oxygen transport from blood into tissues. Therefore, more blood must be pumped to deliver the same amount of oxygen. Numerous studies in humans and animals have now demonstrated that those individuals with weak hearts are placed under additional strain by the presence of excess CO in the blood. For example, in a recent assessment conducted under the auspices of the Health Effects Institute and summarized at that group's 1988 annual meeting, it was concluded that "low levels of COHb produce significant effects on cardiac function during exercise in subjects with coronary artery disease." Another recent study of tunnel workers in New York City found that "exposure to vehicular exhaust, more specifically to CO, in combination with underlying heart disease or other cardiovascular risk factors could be responsible for a very large number of preventable deaths."
B. Tropospheric Ozone
The most widespread air pollution problem in areas with temperate climates is ozone, one of the photochemical oxidants which results from the reaction of nitrogen oxides and hydrocarbons in the presence of sunlight. Many individuals exposed to ozone suffer eye irritation, cough and chest discomfort, headaches, upper respiratory illness, increased asthma attacks, and reduced pulmonary function.
Further, studies presented at the 1988 US/Dutch Symposium on ozone indicate that healthy young children suffer adverse effects from exposure to ozone at levels below the current air quality standard.
Numerous studies have also demonstrated that photochemical pollutants inflict damage on forest ecosystems and seriously impact the growth of certain crops. Finally, tropospheric ozone is a greenhouse gas. Ozone absorbs infrared radiation and increased ozone concentrations in the troposphere will contribute to climate modification.
C. Oxides of Nitrogen
In addition to their role in causing ozone, NOx emissions from vehicles and other sources produce a variety of adverse health and environmental effects.
Exposure to nitrogen dioxide (NO₂) emissions is linked with increased susceptibility to respiratory infection, increased airway resistance in asthmatics, and decreased pulmonary function. Short term exposures to NO₂ have resulted in a wide ranging group of respiratory problems in school children (cough, runny nose and sore throat are among the most common) as well as increased sensitivity to urban dust and pollen by asthmatics.
Oxides of nitrogen have also been shown to affect vegetation adversely. Some scientists believe that NOx is a significant contributor to the dying forests throughout central Europe. This adverse effect is even more pronounced when nitrogen dioxide and sulfur dioxide occur simultaneously.
Acid deposition results from the chemical transformation and transport of sulfur dioxide and nitrogen oxides. Recent evidence indicates that the role of NOx may be of increasing significance with regard to this problem. Several acid deposition control plans have therefore targeted reductions in NOx emissions in addition to substantial reductions in sulfur dioxide. Furthermore, the ten participating countries at the 1985 International Conference of Ministers on Acid Rain committed to "take measures to decrease effectively the total annual emissions of nitrogen oxides from stationary and mobile sources as soon as possible". One result has been the recent NOx protocol freezing emissions at 1987 levels by 1994; several European countries have additionally committed to a 30 percent reduction.
D. Toxic Emissions
Toxic emissions from mobile sources are a serious problem. While substantial improvements in certain toxics have resulted as a by-product of the overall motor vehicle pollution control program - lower exhaust benzene and polynuclear aromatics (PNA's) from catalysts, lower diesel organics from particulate controls, mobile sources remain a substantial contributor to the overall health risks associated with air toxics. A variety of studies have found that in individual metropolitan areas, mobile sources are one of the most important and possibly the most important source category in terms of contributions to health risks associated with air toxics. For example, according to the US EPA, mobile sources may be responsible
for between 629 and 1874 cancer cases per year. Potentially significant toxics from mobile sources will be reviewed below.
1. Diesel Particulate
Uncontrolled diesels emit approximately 30 to 70 times more particulate than gasoline-fueled engines equipped with catalytic converters and burning unleaded fuel. Virtually all of these particles are small and respirable (less than 2.5 microns) and consist of a solid carbonaceous core on which a myriad of compounds adsorb. These include:
* unburned hydrocarbons
* oxygenated hydrocarbons
* polynuclear aromatic hydrocarbons
* inorganic species such as sulfur dioxide, nitrogen dioxide and sulfuric acid.
These emissions may cause cancer and exacerbate mortality and morbidity from respiratory disease. As noted in "the Harvard project" "most of the toxic trace metals, organics, or acidic materials emitted from automobiles or fossil fuel combustion are highly concentrated in the fine particle fraction". Recently, health experts in Germany concluded that occupational exposures to diesel particulate reflect a cancer risk in the workplace. Also in 1988, the Swedish National Institute of Environmental Medicine noted:
"One occupational group with exposure to diesel exhaust is forklift truck drivers, and a considerable number of studies of such truck drivers have been carried out...nine of these showed a statistically significant association between exposure to diesel exhaust and lung cancer. Several of the studies which did not produce any statistically significant results showed a tendency to increased incidence of lung cancer. As a whole, these studies suggest that there is an excess risk of lung cancer among such truck drivers in the order of 30 to 50%."
2. Aldehydes
Formaldehyde and other aldehydes are emitted in the exhaust of both gasoline- and diesel-fueled vehicles. Formaldehyde is of particular interest both due to its photochemical reactivity in ozone formation and suspected carcinogenicity. Formaldehyde can also be a short-term respiratory and skin irritant, especially for sensitive individuals. Aldehyde exhaust emissions from motor vehicles correlate reasonable well with exhaust hydrocarbon (HC) emissions, and diesel vehicles generally produce aldehydes at a greater percentage rate of total HC emissions than gasoline vehicles. Formaldehyde can also be generated by photochemical reactions involving other organic emissions.
3. Benzene
Benzene is present in both exhaust and evaporative emissions. Several epidemiology studies on workers have identified benzene as a carcinogen causing leukemia in humans. Mobile sources (including refueling emissions) dominate the benzene emission inventory in most countries. For example, according to the US EPA, roughly 70.2% of the total benzene emissions come from vehicles. Of the mobile source contribution, 70% comes from exhaust and 14% from evaporative emissions.
4. Non-Diesel Organics
Gasoline-fueled vehicles emit far less particulate than their diesel counterparts. However, the mutagenicity of the gasoline soluble organic fraction (SOF) per mass of particulate collected, is greater than diesel SOF. Because gasoline fueled vehicles accumulate so much travel, the overall impact from gasoline particulate might be significant. It should be noted that the emissions factors and unit risk estimates for gasoline particulate are far more uncertain than those for diesel fueled vehicles.
5. Asbestos
Asbestos is used in brake linings, clutch facings and automatic transmissions. About 22 percent of the total asbestos used in the US in 1984 was used in motor vehicles. Health impacts of asbestos exposure have been known for some time, including cancer, asbestosis, and mesothelioma.
6. Metals
Toxicological impacts of metals, especially heavy metals, have been studied for some time. In addition, many are now being analyzed for their carcinogenic potential, including several for which unit risk values have been published. EPA has identified mobile sources as a significant contributor to nationwide metals inventories including 1.4% of beryllium and 8.0% of nickel. The California Air Resources Board is also analyzing these metals as mobile source pollutants, as well as arsenic, manganese and cadmium. Because of a relatively high unit risk value, emissions of chromium may also be a concern although the health risk tends to be associated with hexavalent chromium which doesn't appear to be prevalent in mobile source emissions.
7. Conclusions Regarding Toxics
Unregulated mobile source emissions represent a potentially significant source of toxic compounds. Fortunately, control of exhaust and evaporative hydrocarbons generally lowers toxic emissions as well; catalytic converters tend to selectively eliminate a greater proportion of the more biologically active compounds and therefore are very beneficial for toxic control. However, metallic additives are not desirable because of potential toxic effects and in some
cases carcinogenicity. Further, while alcohol fuel blends are of some benefit for exhaust emissions, they may actually increase aldehydes. Neat methanol has the potential to substantially lower toxic emissions from diesel and gasoline fueled vehicles.
E. Motor Vehicles and Global Warming
A major environmental concern which has emerged during the last few years is the emergence of global warming or the greenhouse effect as a major international concern. Pollutants associated with motor vehicle use (e.g., CO, CH, NO, etc.) can increase global warming by changing the chemistry in the atmosphere in ways that either allow more of the sun's hot rays to reach the surface of the planet or reduce the ability of these rays to escape. These "greenhouse gases" have been shown to be accumulating in recent years. Also the release of chlorofluorocarbons used in vehicle air conditioning equipment can destroy the protective ozone shield.
Motor vehicles already play a significant role in climate modification and have the potential to play an even greater role in the future. This conclusion would be true even if vehicles were only responsible for their HC and NOx emissions which cause high and globally increasing levels of ozone near the Earth's surface (tropospheric ozone). However, vehicles are also responsible for other important greenhouse gases including carbon monoxide (CO), carbon dioxide (CO2), and chlorofluorocarbons (CFC-11, CFC-12). On a global level, each of these gases has been increasing.
1. The Role of Carbon Monoxide
Carbon monoxide emissions may be very important for climate modification. For example, hydroxyl radicals (OH) which scavenge many anthropogenic and natural trace gases from the atmosphere, are themselves removed by carbon monoxide. As summarized by Ramanathan in a recent Science article,
"The highly reactive OH is the primary sink for many tropospheric gases and pollutants including O, CH, CO, and NO. Hence, increases in CH, such as those during the last century [135% increase] could have caused a substantial (20 to 40%) reduction in OH, which in turn, could cause an increase in tropospheric O by as much as 20%. Since CH oxidation leads to the formation of H2O, an increase in CH, an important greenhouse gas, can lead to an increase in H2O in the stratosphere. Likewise, an increase in the CO concentration can tie up more OH in the oxidation of CO. Thus, through chemical reactions, an increase in either a radiatively active gas such as CH or even a radiatively inactive gas such as CO2 can increase the concentration of several important greenhouse gases."
The role of CO is especially significant in view of the evidence that global CO levels are now also increasing. As noted by Khalil and Rasmussen,
"the average tropospheric concentration of CO is increasing at between 0.8% and 1.4% per year, depending on the method used to estimate the trend, and the 90% confidence limits of the various estimates range between 0.5% and 2.0% per year."
2. Motor Vehicles and CFCs
Chlorofluorocarbons are the most radiatively active gases, now contributing about 15 to 20 percent of the total global warming effect. About 30 percent of European production of CFCs and 40 percent of the United States' is devoted to refrigeration and air conditioning. Mobile air conditioning accounted for 56,500 metric tons of CFCs -- 28 percent of the CFCs used for air conditioning and refrigeration in the United States, or about 13 percent of total production. In contrast, home refrigerators accounted for only 3,800 metric tons. Thus, approximately one of every eight pounds of CFCs manufactured in the US is used, and eventually emitted, by motor vehicles. (CFCs also are used as a blowing agent in the production of seating and other foamed products but this is a considerably smaller vehicular use.)
3. Motor Vehicles and Carbon Dioxide
Carbon dioxide is the other major greenhouse gas. A single tank of gasoline produces between 300 and 400 pounds of CO when burned. Motor vehicles emit almost 15 percent of the world's total CO emissions today. This quantity is directly related to the quantity of energy demanded by motor vehicles. As vehicle fuel use grows, it is likely that CO emissions will increase in the future.
4. Impact On Tropospheric Ozone
It is important to note that global warming may have a significant impact on local ozone air pollution episodes. As recently pointed out,
"the increase in ultraviolet B radiation resulting from even a moderate loss in the total ozone column can be expected to result in a significant increase in peak ground based ozone levels...these high peaks will occur earlier in the day and closer to the populous urban areas in comparison to current experience, resulting in a significant, though quantitatively unspecified, increase in the number of people exposed to these high peaks."
F. Conclusions
Motor vehicle emissions, therefore, can be seen as a major source not only of adverse health and other environmental effects from ground level pollution but also a significant and growing contributor to climate modification. In addition, tropospheric pollution and climate modification have been found to be directly linked by a variety of mechanisms related to motor vehicle emissions. To deal with these problems in a coordinated fashion requires the simultaneous minimization of carbon monoxide, carbon dioxide, hydrocarbons, nitrogen oxides and chlorofluorocarbons.
VI. Potential Strategies For Additional Control
Figures 8, 9 and 10 illustrate the potential emission reduction benefits which could occur in the future from a variety of alternative strategies which have been suggested.
A. Oxides of Nitrogen
Tightening the auto standard from the current 1.0 gram per mile to 0.4 (the current California standard) by 1993 and requiring the standard to be met for 100,000 miles starting in the 1995 Model Year, will reduce emissions by about 35%. Enhanced I/M will add another 10% reduction and adoption of the so called Stage 2 standard, 0.2 grams per mile, by the year 2000 would add another 10%, thereby increasing the overall reduction to 55%.
B. Hydrocarbons
Not surprisingly, adoption of onboard HC refueling controls (OBD) and 9.0 RVP gasoline would help substantially; adoption of 9.0 lb. RVP would lower HC from cars by 23% and onboard refueling HC controls by another 10 percent. Tightening the standard from the current 0.41 gram per mile to 0.25 by 1993 and requiring the standard to be met for 100,000 miles starting in the 1995 Model Year, will reduce emissions by about the same as onboard, 10%. Enhanced I/M will add another 10% reduction and adoption of the so called Stage 2 standard, 0.125 grams per mile, by the year 2000, will increase the reduction by another 5% for a total of 58%.
C. Carbon Monoxide
Adoption of 9.0 RVP gasoline would lower CO from cars by 20%. Extending the useful life to 100,000 miles starting in the 1995 Model Year will reduce emissions by another 15%. Enhanced I/M will add another 20% reduction and adoption of the so called Stage 2 standard, 1.7 grams per mile by the year 2000 will increase the reduction to 58%.
D. Conclusions Regarding Vehicles
1) Without further controls, emissions from cars will bottom
out during the next decade and start to increase shortly thereafter; by 2010, auto emissions will be generally as high or higher than at present.
2) Even this assessment may understate the seriousness of the problem as it doesn't account for driving under conditions of lower temperatures or higher speeds beyond those encountered during the official EPA test procedure. Further, it doesn't account for the increased congestion which will inevitably occur in many cities as a result of the increased growth in vehicle miles travelled which is occurring.
3) Further tightening of exhaust standards, extending the useful life to reflect actual real world lifetimes, less volatile gasoline, onboard hydrocarbon refueling control and enhanced I/M would each bring about significant reductions from the base case which would otherwise occur and implemented together could cut existing auto pollution levels in half.
VII. Carbon Dioxide Standards
A. The Importance Of Motor Vehicles
1. Overall Historical Trends
Since 1950, the average annual growth rate for cars worldwide has been 5.9 percent; for trucks and buses, it has been only slightly less, 5.6 percent per year. Most recently the trends have remained quite high but commercial vehicles have actually been growing more rapidly than cars. For example, since 1970, annual car growth has averaged 4.7 percent per year while truck and bus registrations averaged 5.1 percent per year. Overall, as a result of this growth, the total worldwide vehicle population in 1985 was 500 million, with cars just slightly under 400 million.
2. The Current Fleet
Europe and North America each have slightly more than a third of the world's car population, with the remainder divided between Asia, South America, Oceania and Africa, in that order. With regard to trucks and buses, North America has about 40 percent followed closely by Asia and then Europe.
It is important to emphasize the dominant role of North America as a potential vehicle market. While the percentage growth in vehicle production is quite high in other countries and to a lesser extent the percentage growth in vehicle registrations is also quite high, the "highly industrialized" US market is so large as to dominate the world and it is likely to continue to do so for the foreseeable future. The significance of this is that to a large extent, vehicle characteristics in the US will have a significant impact on vehicle characteristics in other areas. For example, it seems likely that
increased stringency of emissions or fuel economy requirements in the United States would lead to similar improvements in other vehicle markets, especially those where vehicle production is increasing with an eye toward export to the highly industrialized markets. The converse is, of course, also true - weak requirements in the US likely means weak controls in the developing areas.
Beyond new vehicles, it also appears that much of the vehicle population growth in some rapidly industrializing, developing countries comes from imports of used vehicles from highly industrialized areas. In this way also, therefore, fundamental designs which are either high or low in emissions or fuel consumption are perpetuated and can increase or decrease overall emissions and fuel consumption in these rapidly industrializing countries.
B. Fuel Consumption and CO Emissions
1. The Fuel Consumption Experience
Auto fuel economy in the US rose during the 1970's but has remained fairly flat since the early 1980's. It is important to note that during the 1970's when emissions standards were substantially tightened, average miles per gallon improved substantially. (This observation is also true even if fuel economy improvements due to vehicle weight reductions are not included.) However, during the 1980's when vehicle emission standards have generally stabilized, fuel economy gains have been minimal. Further, without the stimulus of regulatory requirements or market incentives due to higher fuel prices, manufacturers quickly reverted to historical patterns of competing on the basis of horsepower and acceleration rather than fuel economy or emissions. The lesson seems to be that, just as with emissions, stringent regulation is the surest path to the desired goal.
On a worldwide basis at present very little if any fuel efficiency improvement is occurring. The governmental push of the late 1970's and early 1980's has stalled and market competition now appears to be focused primarily on performance improvements rather than fuel economy gains. The significance of this for global CO is that motor vehicle CO emissions will skyrocket over the next forty to fifty years. Modest improvements on the scale of 1 percent per year would barely reduce this growth and certainly not reverse it.
2. Carbon dioxide
Overall, the transport sector uses approximately 56 quads of energy each year. The consumption varies considerably between regions of the world, with the US far and away the largest consumer, using over 35% of the world's transport energy. Transport consumes almost one-third of the total energy consumed in the world, again highly variable by region.
Because of this high overall energy consumption, it is not surprising
that motor vehicles emit over 1100 Tg of carbon, approximately 25 percent of the world's output; in the US, transport is responsible for almost 30 percent of the total CO emissions. The US accounts for more than one third of the global transport budget, emitting almost as much CO from the transport sector as Eastern Europe, Asia, China, Africa, Latin America and the Middle East combined. In fact, the CO emissions in the US from the transport sector alone exceed total CO emissions from all sources in all of Latin America, or all of Africa and most individual countries of eastern Europe.
C. Linkage Between CO and Conventional Pollutants
Experience gained during the 1970's and 1980's in the US suggests that the dual goals of low emissions (CO, HC and NOx) and improved energy efficiency (and therefore lower CO) are not only compatible but mutually reinforcing as illustrated in Figure 11.
In spite of this historical record, some argue that it would be a mistake to tighten tailpipe standards for conventional pollutants such as CO, HC and NOx, because such standards will lead to increased fuel consumption (and therefore carbon dioxide and global warming). To investigate this issue, a data set of 1989 model year cars was obtained from EPA. The test car list data includes test measurements of HC, CO, NOx and CO for 891 1989 model cars including nearly all combinations of engine, transmission and test weights for most car models.
Data from these vehicles were analyzed by carrying out a linear regression with the CO emissions in grams per mile as the dependent variable and NOx, HC or CO emissions in grams per mile as the independent variable.
The resulting regression equations are as follows:
\[
\begin{align*}
\text{CO} &= 23.9 \times \text{NOx} + 371.12 \\
\text{CO2} &= 638.3 \times \text{HC} + 270.3 \\
\text{CO2} &= 26.1 \times \text{CO} + 337.45
\end{align*}
\]
The equations suggest that, in fact, carbon dioxide emissions will tend to go down as NOx, HC or CO are reduced. This result tends to support the observation that more stringent emissions standards tends to encourage the more advanced air fuel and spark management systems with the result that overall fuel economy also tends to improve.
VIII. COLD TEMPERATURE CO
The current EPA test procedure was designed to test emissions during a trip to work in Los Angeles during a temperature regime of high photo-oxidant production. However, for CO, other factors become important. Cold engine choking to assure starting increases both CO and HC emissions; at colder temperatures, this is even more
important. Heavily congested traffic leads to lower speeds and greater stop and go conditions, leading to higher engine out CO and HC emissions and slower catalyst light off. As a result, the overall CO reductions under the conditions of most concern are substantially less than the 90 percent intended. EPA presented an analysis at its CO workshop last year which indicated that the CO problem in many areas may not improve in the future because emissions are not adequately controlled under CO specific conditions.
In 1970, Congress intended a 90 per cent reduction throughout the range of operating conditions reflective of serious air pollution problems. To carry out this intent, EPA should issue regulations which specifically mandate a 90 percent reduction from 1970 vehicles throughout a temperature range of 20 to 80 degrees F. These cold temperature CO requirements should apply equally to all gasoline vehicles i.e., the same percentage reduction should be required from 20 degrees F to 80 degrees F as is required under normal EPA test conditions.
Beyond CO increases, it should be noted that rich A/F excursions typical of cold temperature operation can also increase benzene, H S, and other unregulated emissions.
IX. Stringent US Controls Benefit The World
By taking advantage of light duty vehicle emission control advances which have occurred, and by fostering developments in heavy duty controls, more stringent vehicle standards, of course, are primarily addressed at improving the US environment; however, they will also enable many other countries to also improve and since many environmental problems transcend national boundaries, they should help to improve our global environment.
Because of the tremendous worldwide growth in vehicles, the proportion of the world experiencing serious environmental problems from motor vehicle emissions continues to increase. Just as in highly industrialized areas of the world, many rapidly industrializing areas are now starting to note unhealthy air quality levels. Cities such as Sao Paulo, Seoul, Mexico City, Singapore, Hong Kong, Manila, Bangkok, Taipei and Beijing are each starting to experience unacceptable air quality or are projecting that they will in the relatively near future.
Fortunately, in large measure due to the US motor vehicle control program, technologies have been developed which have made it possible to dramatically lower emissions from cars and increasingly countries around the world have been taking advantage of them. For example, most of Western Europe is on the verge of adopting similar controls while some countries such as Austria, Switzerland and Sweden already have. The Netherlands and the Federal Republic of Germany have adopted innovative economic incentive approaches to encourage purchase of low pollution vehicles. Canada has implemented US standards and Mexico will start to introduce them in 1991. Other
rapidly industrializing, developing countries such as Brazil, Taiwan and South Korea have also adopted stringent emissions regulations.
Continuing progress in developing lower polluting vehicles in the US, therefore has the potential to significantly improve the environment in many other parts of the world in addition to the US. One side benefit for the US is that since more and more of the serious environmental challenges which we are starting to address transcend US national boundaries (e.g., long range transport problems, global warming, etc.), improvements in other countries will also tend to improve our environment.
X. Conclusions
It has been twelve years since the Clean Air Act has been amended. It seems reasonable to conclude that the provisions adopted now will shape the national air pollution control effort for the remainder of this century. Improving the existing program is necessary not only to fine tune the various elements to address previously existing problems, but also to deal with a number of new and serious problems. Technological and programmatic solutions exist to address these problems but they will not be implemented and the air will not be made clean and healthy unless this Congress mandates very specific standards and steps.
1987 NATIONWIDE EMISSIONS FROM TRANSPORTATION
Oxides of Nitrogen
Transportation (43 %)
Other (56 9%)
Volatile Organic Compounds
Transportation (30 6%)
Other (69 4%)
Carbon Monoxide
Transportation (68 3%)
Doesn't include "Running Losses"
Source: EPA
FIGURE 1
Trends In Light Duty Vehicle Emissions
Actual In Use HC Emissions
Total Auto Hydrocarbon Emissions
Calendar Year
- 3% VMT Growth
- 2% Future Growth
- 4% Future Growth
SOURCES OF NATIONWIDE EMISSIONS
NITROGEN OXIDES 1985
PERCENT CONTRIBUTION
SOURCE CATEGORY
- Fuel Combustion
- Industrial Process
- Solid Waste Disposal
- Miscellaneous Area
- Transportation
- Additional Area
SOURCES OF NATIONWIDE EMISSIONS
VOC's 1985
- Fuel Combustion
- Industrial Process
- Solid Waste Disposal
- Transportation
- Miscellaneous Area
- Additional Area
PERCENT CONTRIBUTION
SOURCE CATEGORY
Vehicle Miles Travelled Per Year
In The United States Alone
Vehicle Miles Traveled (Trillion)
- Passenger Cars
- Single Unit Trucks
- Truck Trailers
- Total
1940 1950 1960 1970 1980 1990
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 2
Trends In Light Duty Vehicle Emissions
Actual In Use NOx Emissions
Auto NOx Emissions
Calendar Year
- 3% VMT Growth
- 2% Fut. Gr.
- 4% Fut. Gr.
1970 1980 1988 1990 2000 2010
Trends In Light Duty Vehicle Emissions
Actual In Use CO Emissions
Auto CO Emissions
Calendar Year
- 3% VMT Growth
- 2% Fut. Gr.
- 4% Fut. Gr.
1970 1980 1988 1990 2000 2010
Future Alternative Emissions Scenarios
Nitrogen Oxides
NOx Emissions
Year
1989 1990 1995 2000 2005 2010
Base + 9.0 RVP ◦ 9.0 RVP +OBD △ +0.4+Full Life × +Enhanced I/M ▽ 0.2
Trends In Light Duty Vehicle Emissions
Auto CO Emissions
Calendar Year
- Base + 9.0 RVP
- OBD
- FL
- I/M
- 1.7
Trends In Light Duty Vehicle Emissions
Total Auto HC Emissions
Calendar Year
- Base
- 9.0 RVP
- OBD
- 0.25&FL
- I/M
- 0.125
|
Large optical nonlinearity enhancement under electronic strong coupling
Journal Article
Author(s):
Wang, Kuidong; Seidel, Marcus; Nagarajan, Kalaivanan; Chervy, Thibault; Genet, Cyriaque; Ebbesen, Thomas
Publication date:
2021
Permanent link:
https://doi.org/10.3929/ethz-b-000474721
Rights / license:
Creative Commons Attribution 4.0 International
Originally published in:
Nature Communications 12(1), https://doi.org/10.1038/s41467-021-21739-7
Large optical nonlinearity enhancement under electronic strong coupling
Kuidong Wang\textsuperscript{1}, Marcus Seidel\textsuperscript{1}, Kalaivanan Nagarajan\textsuperscript{1}, Thibault Chervy\textsuperscript{2}, Cyriaque Genet\textsuperscript{1}\& Thomas Ebbesen\textsuperscript{1}
Nonlinear optical responses provide a powerful way to understand the microscopic interactions between laser fields and matter. They are critical for plenty of applications, such as in lasers, integrated photonic circuits, biosensing and medical tools. However, most materials exhibit weak optical nonlinearities or long response times when they interact with intense optical fields. Here, we strongly couple the exciton of cyanine dye J-aggregates to an optical mode of a Fabry-Perot (FP) cavity, and achieve an enhancement of the complex nonlinear refractive index by two orders of magnitude compared with that of the uncoupled condition. Moreover, the coupled system shows an ultrafast response of ~120 fs that we extract from optical cross-correlation measurements. The ultrafast and large enhancement of the optical nonlinear coefficients in this work paves the way for exploring strong coupling effects on various third-order nonlinear optical phenomena and for technological applications.
\textsuperscript{1}ISIS & icFRC, University of Strasbourg and CNRS, 8 allée Gaspard Monge, Strasbourg, France. \textsuperscript{2}Institute of Quantum Electronics, ETH Zürich, Zürich, Switzerland. \textsuperscript{✉}email: firstname.lastname@example.org; email@example.com
Third-order optical nonlinear effects are intrinsic characteristics of a material. Because many significant optical nonlinear phenomena, such as four wave mixing, optical modulation, self-focusing and stimulated Raman scattering, are caused by the third-order optical nonlinear susceptibility\(^1\), they have been explored extensively in various materials ranging from metals\(^2\), semiconductors\(^3–5\), 2D materials\(^6,7\), topological insulators\(^8\) to organic materials\(^9–13\). An ideal nonlinear optical material should possess large refractive index change at low optical power. In addition, a short response time is also crucial for photonics and optoelectronics applications\(^7,14\). Usually, the third-order optical nonlinear responses of a material can be described by two parameters, the nonlinear refractive index \(n_2\) and nonlinear absorption coefficient \(\beta\). These nonlinear coefficients are related to the change in refractive index \(\Delta n\) and the modification in attenuation coefficient \(\Delta \alpha\) of the material by \(n_2 = \Delta n/I\) and \(\beta = \Delta \alpha/I\) when two-photon absorption dominates the nonlinear absorption processes, where \(I\) is the peak intensity of the optical beam\(^1\). Therefore, one of the central aims in nonlinear optics is to search for or design materials with large \(n_2\) or \(\beta\). However, standard materials usually show weak nonlinear optical responses even under illumination with strong optical fields. Such limitations therefore call for alternative strategies in order to improve the nonlinear responses of existing materials.
One such strategy is to exploit the effects of light-matter strong coupling on materials’ optical responses. This can be achieved by coupling an excitonic transition and a resonant optical mode of a cavity and when the energy exchange between them is faster than the timescales associated with all dissipative and incoherent processes, two new exciton-polaritonic states are generated, separated in energy by the so-called Rabi splitting (Fig. 1a). Theory shows that such polaritonic states are generated even in the dark due to coupling with vacuum fluctuations of the cavity mode. It has been seen in the past years that the mere presence of such polaritonic states in the coupled system lead to new material properties. For instance, strongly coupled organic molecules could enhance the conductivity\(^15,16\), the rate of energy transfer\(^17\) of molecules, and furthermore, modify the work function\(^18\) and chemical reactions of molecules\(^19,20\). Besides, recent studies also showed that second-harmonic generation and third harmonic generation could be enhanced in the presence of polaritonic states\(^21–24\). However, the measurements in these works did not characterize the intrinsic nonlinear optical parameters such as \(n_2\) and \(\beta\), which are necessary to evaluate the true potential of strong coupling for all nonlinear optical processes.
In this article, we applied Z-scan technique\(^25\) to characterize the nonlinear refractive index and nonlinear absorption coefficient of J-aggregate cyanine molecules that are placed either inside a Fabry-Perot (FP) cavity in electronic strong coupling (ESC) condition or outside of it (decoupled situation). As we show below, the formation of the hybrid light-matter states under ESC conditions gives rise to an enhancement of both \(n_2\) and \(\beta\) values larger than two orders of magnitude. Simulations and modeling show that the large improvement of the optical nonlinear coefficients results not only from the increase of the intracavity electric field at the polaritonic wavelengths, but also,
**Fig. 1** Light-matter strong coupling with organic semiconductors and linear responses of the samples. **a** Schematic energy diagram of the strong coupling between a molecular exciton transition and a cavity resonance. **b** Chemical structure of the J-aggregating cyanine monomer used in this work that eventually aggregate in the J-form. (See Methods). **c** Linear refractive index (red curve) and extinction coefficient (blue curve) of the bare J-aggregate molecular film calculated by transfer-matrix method. **d** Linear absorption spectra of the bare J-aggregate molecular film (no cavity - black curve) and of the molecular film under strong coupling (inside the FP cavity - red curve) at normal incidence.
and most remarkably, from an enhancement of the polaritonic dispersion third-order susceptibility itself. In addition, a pulse-width limited ultrafast response (~120 fs) of the coupled system is observed by means of optical pump-probe measurements. This result demonstrates how ESC can also meet the essential requirements for ultrafast optical modulation and data processing.
**Results**
**Linear optical measurements.** Our strongly coupled system (ESC cavity) was realized by placing J-aggregates of cyanine molecules dispersed in a polyvinyl alcohol (PVA) polymer inside a planar silver FP cavity. This type of molecule is selected essentially because of its narrow absorption linewidth\(^{26}\) (63 meV in our study) and its large nonlinear optical response\(^{11}\). The structure of the molecular monomer is shown in Fig. 1b and all details regarding samples’ preparation are given in Methods part. As a reference, we use a sample where the same organic material is spin coated on one mirror only, with therefore no possibility of strong coupling. From the linear absorption spectrum (1-T-R) of the bare molecular film, where the center wavelength of the exciton appears at 590 nm (Fig. 1d), we estimate the linear refractive index and extinction coefficient by transfer-matrix method\(^{27}\), as indicated in Fig. 1c. The molecular film exhibits a sharp peak in extinction coefficient, which corresponds to a distortion in the linear refractive index of PVA polymer according to Kramers-Krönig relation. Inside the cavity, when the absorption of the molecules is resonant with the optical mode of the cavity, the coupled system as expected, yields two exciton-polaritonic states (noted as \(|P+\rangle\) and \(|P-\rangle\) ) at wavelengths of 552 nm and 636 nm, with a Rabi splitting energy of 297 meV. The experimental and simulated spectra can be seen in Fig. 1d and Supplementary Fig. 1.
**Nonlinear optical measurements.** We investigated the open- and closed-aperture Z-scan measurements in visible range to characterize the nonlinear optical response of the ESC cavity and non-ESC sample. The details of the setup can be found in Supplementary Note 2. The open- and closed-aperture Z-scan traces were recorded for different peak intensities and confirm the nonlinear nature of the optical response of the samples near the focus of the beam. As illustrated in Supplementary Note 3, the difference between the peak and the valley of the normalized transmittance \((\Delta T_{p-v})\) increases nearly linearly with the peak intensity for both the ESC cavity and non-ESC sample at the representative wavelength (640 nm). This indicates that the optical response in Z-scan measurements is caused by a third-order optical nonlinear process\(^{25}\). It should be noted here that the molecules are more easily damaged at wavelengths near resonance inside the cavity than when placed outside the cavity. Therefore, lower peak intensities were applied for the Z-scan measurements in the ESC cavity compared with that in the non-cavity sample. The Z-scan traces are directly related to the nonlinear refractive index and the nonlinear absorption coefficient. The values of \(\beta\) can be retrieved from the profiles of open-aperture Z-scan with a saturation model that described in Methods part, whereas when analyzing \(n_2\) from the closed-aperture Z-scan traces, the nonlinear absorption should also take into account because the energy variations near the center of the transmitted beam stem from both \(n_2\) induced extra phase front distortion of the beam and the absorption change of the sample near the focus\(^{25}\). The transmissive Z-scan traces of the molecules inside and outside the cavities for both the open and closed apertures under the irradiance of 625 nm light are displayed in Fig. 2a, b, respectively. The parameters used for the laser, the measured saturable intensity of the J-aggregate molecular film and the Z-scan traces of the open- and closed-aperture measurements at the different wavelengths are presented in Supplementary Notes 4 and 5, respectively.
This leads us to compare, between the ESC and non-ESC cases, the nonlinear coefficients, \(n_2\) and \(\beta\), over the full visible range, and in this way to define the enhancement factors of both coefficients as \(\eta_{n_2} = (n_2)_{ESC}/(n_2)_{nonESC}\) and \(\eta_\beta = (\beta)_{ESC}/(\beta)_{nonESC}\), where \((\ldots)_{ESC}\) and \((\ldots)_{nonESC}\) represent the absolute values of the nonlinear coefficients of the molecules inside and outside the ESC cavities, respectively, under the same illumination wavelength. As can be clearly seen with a log scale in Fig. 2c, d, both \(n_2\) and \(\beta\) are strongly enhanced under ESC compared to the non-ESC sample, with a trend that remarkably follows the linear absorption spectrum of the coupled system inside the ESC cavity. In particular, \(\eta_{n_2}\) and \(\eta_\beta\) reach the maximum values of 120 and 163 near the wavelength of the lower polaritonic state, 625 nm. These two-orders-of-magnitude enhancements result in the values of \(-6.76 \times 10^{-10} \text{ cm}^2/\text{W}\) and \(-1.25 \times 10^{-5} \text{ cm/W}\) for \(n_2\) and \(\beta\), respectively, which are more than one order of magnitude larger than those of engineered plasmonic metamaterials\(^{28}\), and higher than those at recently reported for J-aggregate cyanine molecules\(^{11}\), and that of the nonlinear indium tin oxide in the epsilon-near-zero region\(^{4}\). In contrast, enhancement factors <1 are measured in between the two polaritonic peaks, i.e., at the middle of Rabi splitting at 590 nm where only dark collective polaritonic states exist that cannot couple with the incident light. A reduction of the nonlinear coefficients also arises in the spectral regions far from the polaritonic peaks where most of the incident light at this wavelength is reflected by the front silver film (see Supplementary Fig. 1). Besides, the measured values of \(\beta\) for both the strongly coupled and uncoupled systems have different signs depending on the optical wavelength. The negative and positive values of \(\beta\) indicate saturable absorption and reverse saturable absorption, respectively\(^{11}\), as detailed in Supplementary Note 5.
In order to discriminate and understand the influence of pure cavity resonance on such nonlinear enhancements shown above, we carried out wavelength-dependent Z-scan measurements on a pure PVA film, either placed inside and outside the cavities (uncoupled system). Due to the dispersive nature of the cavity-induced nonlinear response, the thickness of the PVA film was precisely selected to be the same as that of the molecule-doped PVA film inside the ESC cavity. The linear absorption spectrum shows that the resonant wavelength of this cavity appears at 590 nm, as shown in Fig. 3a. By comparing the nonlinear coefficients of the PVA cavity and the non-cavity sample, the dispersive enhancement of \(n_2\) and \(\beta\) is measured and given in Fig. 3c. Here, \(\eta_{n_2}\) and \(\eta_\beta\) possess maximum values of 4.9 and 6.2 at the resonant wavelength (590 nm) for the uncoupled system, values that are much smaller than those measured for the strongly coupled system. This indicates that the cavity effect just plays a minor role in the large optical nonlinear enhancements near the polaritonic wavelengths under strong coupling condition. In addition, the optical nonlinear response of the excitonic resonance also needs to be explored because the exciton effect can potentially enhance the nonlinear response of some organic materials\(^{29}\). For this purpose, we investigated Z-scan measurements on a cavity-exciton weak-coupling (WC) system that does not support polaritons. To meet the requirement of the WC condition, the concentration of the cyanine molecules was reduced to a range where the coupling strength is smaller than the homogeneous decay rates of the cavity and the excitonic resonances\(^{30}\). A small dip in the cavity resonance in linear absorption spectrum can be seen in Fig. 3b. In our experiment, the Z-scan measurements were performed at multiple wavelengths in order to precisely probe the
Fig. 2 Nonlinear responses of the coupled and uncoupled systems. Open-aperture Z-scan traces of the J-aggregate cyanine molecules inside (open black circles) and outside (open gray squares) the FP cavities at 625-nm optical illumination. The focal intensity for the non-ESC sample and ESC cavity are 54.5 and 2.73 GW/cm², respectively. The fitting curves in both (a and b) are obtained with a saturation model that is discussed in Methods part. c,d Are enhancement factors of the retrieved $n_2$ (blue circles) and $\beta$ (red circles) for various wavelengths. The black curves in (c and d) are the calculated enhancement factor of the absolute values of third-order susceptibility from a simplified nonlinear Lorentz model discussed below. The error bars of each point are calculated from at least three sets of repeated data.
The temporal response of the molecules under strong coupling was also explored with a degenerate pump-probe measurement at 640 nm. Here, the amplitude of the transmitted probe light is modulated by illuminating a pump beam, with the pulse width of both beams measured to be 59 fs. The result displayed in Fig. 5 shows an ~120-fs (full width half maximum) peak at time zero, followed by a weak signal with an exponential decay over tens of picoseconds. The zero-delay peak originates in the optical Kerr effect and has a duration proportional to the convolution of the temporal envelope of the probe pulse and the temporal response function of the pump-induced dynamic process in the coupled system. The duration of this Kerr nonlinearity can be even smaller when the pulse width of the pump and probe pulses reduces, indicating it is an upper limit of the intrinsic response time of the strongly coupled system. The temporal response of the slow picosecond component is related to the lifetime of the cyanine molecules and its modulation amplitude is much smaller than that of the Kerr type zero-delay peak. The femtosecond time response of the coupled system here is shorter than that of optical nonlinear semiconductors, and is thus ideal for ultrafast optical switching applications.
As indicated by the results presented above, we attribute the large enhancement values of the nonlinear optical coefficients under strong coupling mainly to the enhancement of the electric...
**Fig. 3 Linear and nonlinear responses of the PVA cavity and weak-coupling system.** Linear absorption spectrum of (a) PVA cavity and (b) WC cavity. c, d Are enhancement factors of $n_2$ (red circles) and $\beta$ (blue squares) for PVA and WC cavities, respectively, at several representative wavelengths.
**Fig. 4 Nonlinear coefficients of PVA film with and without molecule doping.** Absolute values of (a) nonlinear absorption coefficient and (b) nonlinear refractive index of the PVA film with (blue squares and red circles) and without molecules (black triangles), respectively. The gray solid curves represent the linear absorption spectrum of the molecules.
field intensity inside the cavity and to the polariton-assisted dispersive third-order susceptibility.
To see this, we first compare the electric field intensity distributions inside the cavity under ESC ($I_{\text{ESC}}$) and outside the cavity -the non-ESC sample ($I_{\text{nonESC}}$) - along the optical $z$ axis. This leads us defining an enhancement factor for the electric field intensity as $\eta_I = I_{\text{ESC}} / I_{\text{nonESC}}$. According to the mean field approximation presented in \cite{34, 35}, one can evaluate the enhancement factor of the third-order susceptibility ($\chi^{(3)}$) of the molecules as
$$\eta_{\chi^3} = f \frac{\langle |E_{\text{ESC}}|^2 \rangle_V \langle E_{\text{ESC}}^2 \rangle_V}{\langle |E_{\text{nonESC}}|^2 \rangle_V \langle E_{\text{nonESC}}^2 \rangle_V}$$ \hspace{1cm} (1)
where $E_{\text{ESC}}$ and $E_{\text{nonESC}}$ are the electric field distribution within the molecular layer inside and outside the cavities, respectively, and $<...>_V$ denotes an average of the field intensities taken inside the film over a given volume enclosing a volume fraction $f$ of molecules. Since our molecular film is homogeneous (and composed of only one type of optically active molecules) we fix $f = 1$. Assuming $\langle |E_0|^2 \rangle_V \langle E_0^2 \rangle_V \sim I_\delta^2$ ($\delta = \text{ESC, non ESC}$), the enhancement factor of $\chi^{(3)}$ is directly related to the enhancement factor for the electric field intensity with $\eta_{\chi^3} = \eta_I^2$. This assumption is reasonable because the complex dielectric constant is dominated by its real part, especially for wavelengths near to the wavelengths of the polaritonic states. The field intensity enhancement factor can be directly evaluated from the simulations shown in Fig. 6 \cite{36}. For our experimental conditions, the comparison between the results of Fig. 6a, b gives a maximal intensity enhancement $\eta_I$ distribution along $z$ axis at the lower polariton wavelength. Consider the electric field intensity at 636 nm, the beam size at focal point is much larger than the thickness of the film, thereby the transverse electric field can be regarded as unchanged throughout the pumped unit volume. For the longitudinal electric field intensity, the $I_{\text{ESC}}$ near the middle of the film is $\sim 6$, which is much larger than the values of 1 at the two edges, i.e., $\eta_I$ at the central part of the molecular volume dominates the enhancement of nonlinear susceptibility. Therefore, when taking into account the $I_{\text{nonESC}}$ value at 636 nm (1.5), $\eta_I$ is calculated to be $\sim 4$ at the lower polaritonic wavelength and hence the corresponding $\eta_{\chi^3}$ is $\sim 16$. Furthermore, from the optical Kerr effect by a single beam, intensity-dependent complex nonlinear refractive index $\tilde{n}_2$ can be described by \cite{1, 37}
$$\tilde{n}_2 = \frac{3}{4n_0 n'_0 \varepsilon_0 c} \chi^{(3)}$$ \hspace{1cm} (2)
where $\tilde{n}_2 = n_2 + i n''_2 = n_2 + i \frac{c}{2\omega} \beta$, here $n_0$ and $n'_0$ are the complex and the real part of the linear refractive index, respectively. $n''_2$ is the imaginary part of the nonlinear refractive index, $\varepsilon_0$ and $c$ are the permittivity and the light velocity in vacuum. This indicates that $\tilde{n}_2$ can be enhanced with the same magnitude as $\chi^{(3)}$ when the electric field intensity is boosted under strong coupling condition. Accordingly, as evaluated above, the enhancement factors of $n_2$ and $\beta$ are 16 at the lower polaritonic wavelength. In addition, the enhancement of the electric field intensity at the wavelength of lower polariton is obviously larger than that at the upper polaritonic wavelength, which is consistent with the enhancement spectra of both $n_2$ and $\beta$ in Fig. 2c, d, a trend that confirms that $\eta_I$ contributes to the
**Fig. 5 Ultrafast response of the coupled system.** Normalized ultrafast transmittance of the ESC system under a 640 nm optical illumination. The gray area shows the pulse intensity profile (in arbitrary unit).
**Fig. 6 Electric field intensity of the samples.** a,b Electric field intensity spectra of molecules outside (a) and inside (b) the FP cavities along $z$ axis.
enhancement of nonlinear coefficients. But remarkably, these 16-times enhancement values remain smaller than the two-orders-of-magnitude enhancement on nonlinear coefficients measured experimentally (Fig. 2c, d). This difference points toward other causes for the observed optical nonlinear enhancement under strong coupling.
As already stressed above, the data gathered in Fig. 2c, d reveal the signatures of clear resonance enhancements when the frequencies are close to the upper (UP) and lower (LP) polaritonic state energies. In addition, the results in Figs. 3 and 4 exclude (i) that exciton and cavity effects provide the main contribution to such resonance enhancements, and (ii) that weak-coupling conditions could be sufficient in reaching such nonlinear enhancements values. Taken together, these data clearly show that the polaritonic states are responsible for these enhancements. From this, it is then possible to follow a simple nonlinear Lorentzian model for the nonlinear third-order susceptibility involving the two polaritonic states and an excitonic state in the strongly coupled system. This model allows us to write\(^{38}\)
\[
\chi_{\text{ESC}}^{(3)}(\omega) = \sum_{k=\text{UP,LP,ex}} \left( \frac{\omega_k^2}{\omega_k^2 - \omega^2 - i\gamma_k \omega} \right) \tilde{\chi}_k^{(3)}
\]
where \( \omega_k \) and \( \gamma_k \) correspond to the frequency and linewidth of upper polariton (\( k = \text{UP} \)), lower polariton (\( k = \text{LP} \)) and exciton (\( k = \text{ex} \)), respectively. \( \omega \) is the frequency of the pump beam and \( \tilde{\chi}_k^{(3)} \) is the static third-order susceptibilities associated with each excited states involved. Before analyze the dispersive \( \chi_{\text{ESC}}^{(3)} \) of the strongly coupled system, we should first estimate the value of \( \tilde{\chi}_{\text{ex}}^{(3)} \) of the excitonic state from the uncoupled system. For the uncoupled system, only the excitonic resonance contributes to the dispersive nonlinear susceptibility. Since the experimental values of the real and imaginary parts of the third-order nonlinear susceptibility can be estimated from the Z-scan results above based on Eq. (2), \( \tilde{\chi}_{\text{ex}}^{(3)} \) is obtained to be \( (-0.528 - 2.091i) \times 10^{-17} \text{m}^2/\text{V}^2 \) by best fitting \( \chi_{\text{NonESC}}^{(3)} \) as presented in Fig. 7a, b. Then, using the measured values of \( \omega_{\text{UP}} \) (2.25 eV), \( \gamma_{\text{UP}} \) (0.201 eV), \( \omega_{\text{LP}} \) (1.95 eV) and \( \gamma_{\text{LP}} \) (0.141 eV) from the linear absorption spectrum of the coupled system (Fig. 1d), and fitting the best \( \chi_k^{(3)} \) values with \( \tilde{\chi}_{\text{UP}}^{(3)} = (0.747 - 0.842i) \times 10^{-17} \text{m}^2/\text{V}^2 \) and \( \tilde{\chi}_{\text{LP}}^{(3)} = -(2.562 + 3.615i) \times 10^{-17} \text{m}^2/\text{V}^2 \), the dispersive nonlinear susceptibility of the coupled system can be well fitted, as illustrated in Fig. 7c, d. Furthermore, comparing the calculated dispersive nonlinear susceptibility of the strongly coupled and uncoupled systems, the enhancement of \( |\chi^{(3)}| \) directly yields the spectral dispersive features observed in enhancement of the nonlinear coefficients, as presented with black solid curves in Fig. 2c, d. This indicates that the polariton-induced dispersive \( \chi_{\text{ESC}}^{(3)} \) also
**Fig. 7 Experimental and fitted nonlinear susceptibilities of the coupled and uncoupled systems.** Experimental and fitted (black curves) absolute values of the third-order susceptibility of the uncoupled (**a**, **b**) and strongly coupled (**c**, **d**) systems. The blue circles in (**a**, **c**) and red circles in (**b**, **d**) represent the imaginary and real parts of the nonlinear susceptibility. The black curves are obtained with the nonlinear Lorentz model given by Eq. (3), and the error bars of each point are calculated from at least three sets of repeated data.
contributes to the enhancement of the nonlinear optical coefficients. The details of the model can be found in Supplementary Note 6. A microscopic description of the underlying mechanisms is beyond the scope of this work. But we can speculate that, beside the resonance enhancement effect of the dispersive nature of the polaritonic states, the rather high values for the static third-order susceptibilities could be related to the large transition moments associated with the delocalized nature of the polaritonic states, in a similar way as in our previous work on polaritonic states-driven enhanced second-harmonic generation\textsuperscript{21}.
**Discussion**
Since both the large electric field intensity inside the cavity at the polaritonic wavelengths and the energy dispersion of $\chi_{ESC}^{(3)}$ at the upper and lower polaritons contribute to the significant increase in the optical nonlinear coefficients, the enhancement factor of $n_2$ and $\beta$ can be improved if $(\eta_I)_{UP,LP}$ and $(\chi_{ESC}^{(3)})_{UP,LP}$ are further increased. From the calculations, the $(\eta_I)_{UP,LP}$ and $(\chi_{ESC}^{(3)})_{UP,LP}$ are very sensitive to the quality factor (QF) of the cavity, i.e., strongly increasing with QF. Considering the fact that the QF of the FP cavity is only 12 at 590 nm resonance in our experiments, there is much room to further enhance $(\eta_I)_{UP,LP}$ and $(\chi_{ESC}^{(3)})_{UP,LP}$. For instance, distributed Bragg reflectors\textsuperscript{39,40}, which are usually used in polariton condensation studies, and various nanostructures\textsuperscript{30} provide possible candidates for high QF cavities. The study of the third-order optical nonlinearity enhancement by exciton-polaritons in this work opens the gates to explore the effect of strong coupling on a series of third-order optical nonlinear phenomena, such as wave mixing, optical modulation and stimulated Raman scattering. In addition, the femtosecond intrinsic response time of the coupled system makes it possible to realize ultrafast optical switching for future applications.
In summary, we have performed Z-scan measurements on J-aggregate cyanine molecules inside a FP cavity in the ESC regime, and measured an enhancement by two orders of magnitude on both the nonlinear refractive index $n_2$ and nonlinear absorption coefficient $\beta$ at the lower polaritonic state compared with measurements done outside the cavity. These large nonlinear enhancements are ascribed to both the increase of the electric field intensity inside the cavity and the polaritonic dispersion of the third-order susceptibility. In addition, we also demonstrated an ultrafast response of ~120 fs of the coupled system using cross-correlation measurements. Such ultrafast, large optical nonlinearities in the strongly coupled system presented here offer an efficient way to realize high speed active photonic and optoelectronic devices.
**Methods**
**Sample preparation.** Three groups of samples were prepared for our experiments. The first group on strong-coupling measurements includes two samples. The first sample with molecules enclosed in an optical cavity (ESC sample) that can be strongly coupled to the cavity mode, and the second one without cavity (non-ESC sample), hence only uncoupled molecules exist. For the ESC sample, a 30 nm silver film was sputtered on the quartz window, and an ~146 nm polymer layer (PVA), doped with J-aggregate cyanine molecules TDBC [5,6-Dichloro-2-[5,6-dichloro-1-ethyl-3-(4-sulfobutyl)-benzimidazol-2-ylidene]-propenyl]-1-ethyl-3-(4-sulphobutyl)-benzimidazolium hydroxide, inner salt, sodium salt, Few Chemicals), was spin coated on top of the silver film. Then, another 30 nm silver film was sputtered on top of the polymer to form a FP cavity. The thickness of the polymer film was carefully selected so as to have the cavity resonance and the molecular absorption peak overlapping. For the non-ESC sample, the thickness of the bottom silver film and TDBC-PVA layer are the same with those of the ESC sample, but without the addition of the top silver film (no cavity formed). The TDBC-PVA solution was made by mixing equal amount of 0.5 wt% TDBC water solution and 5 wt% PVA water solution (molar weight 205000, Sigma-Aldrich). The second group on WC experiments also includes two samples. The PVA film doped with a lower concentration of TDBC (made by the mixed solution of equal amount of 0.05 wt% TDBC water solution and 5 wt% PVA water solution), was placed inside and outside the FP cavities to form the weakly coupled and the non-cavity samples. The third group of samples related to non-coupled measurements were made by PVA film without TDBC doping: one sample with a PVA film inside the FP cavity, and the other without the cavity. The thickness of the Ag film and polymer film for the second and third groups of samples are identical to those for the samples in the first group, and the substrates for all the samples are 1 mm thick quartz windows.
**Estimation of optical nonlinear coefficients from Z-scan measurements.** The extraction of the nonlinear absorption coefficient $\beta$ and nonlinear refractive index $n_2$ is only based here on the open- and closed-aperture transmissive Z-scan traces because the normalized changes in the reflective Z-scan are much smaller than that in the transmitted one for most of the cases, as displayed in Supplementary Fig. 4. In the case of the open aperture, the energy variations within the whole beam profile of the transmitted light were measured. Therefore, modifications in the transmittance only relate to the nonlinear absorption of the sample, being strongest at the focus and smallest far from it. A positive (negative) peak in the normalized transmittance near the focus corresponds to a negative (positive) value of $\beta$, which indicates reverse saturable absorption (saturable absorption). In the closed-aperture case, only the energy near the center of the transmitted beam is detected. Thus, variations in transmission are associated to both the nonlinear absorption and nonlinear-refraction induced self-focusing and defocusing. A valley-peak signal in closed-aperture Z-scan indicates a positive nonlinear refractive index and a peak-valley profile corresponds to a negative value of $n_2$.
Assuming a circular profile to the incident beam, the normalized transmittance in the Z-scan measurements can be expressed by
$$T = \frac{(1 - \alpha L)/(1 - \alpha_0 L)}{}$$
where $\alpha$ and $\alpha_0$ are the total and linear absorption coefficients, respectively. $L$ is the sample thickness. The linear absorption coefficient $\alpha_0$ at different wavelengths can be determined via $\alpha_0 = 4\pi n_0 \kappa/\lambda$ when the linear refractive index ($n_0$) and the extinction coefficient ($\kappa$) are obtained from the measured absorption spectra.
Considering that both the saturation absorption and two-photon absorption contribute to the absorption response in Z-scan measurements, we have\textsuperscript{41,42}
$$\alpha(I) = \frac{\alpha_0}{1 + I_s/I_e} + \beta I_e$$
where $I_e$ and $I_s$ are excitation intensity and saturable intensity, respectively. $I_e$ is related to the optical intensity at the focus $I_p$, the Rayleigh length $z_0$ of the beam and the sample position $z$ by $I_e(z) = I_p/(1 + z^2/z_0^2)$. According to the expressions above, the normalized transmittance for open aperture can be given by
$$T_{OA} = \left[1 - \frac{\alpha_0 I_e L}{I_e + I_p/(1 + z^2/z_0^2)} - \frac{\beta I_e L}{1 + z^2/z_0^2}\right]/(1 - \alpha_0 L)$$
For closed-aperture Z-scan\textsuperscript{25},
$$T_{CA} = \left(1 - \frac{4\Delta \Phi z/z_0}{(z^2/z_0^2 + 9)(z^2/z_0^2 + 1)}\right)$$
where $\Delta \Phi = 2\pi n_2 I_e L_{\text{eff}}/\lambda$, $L_{\text{eff}}$ is the effective length, which is associated with the linear absorption coefficient $\alpha_0$ by $L_{\text{eff}} = \frac{1-\kappa^{-n_0 l}}{\alpha_0}$. Therefore, the nonlinear coefficients $n_2$ and $\beta$ can be obtained by fitting the experimental Z-scan data with the equations above.
**Data availability**
The data that support the findings of this study are available from the corresponding authors upon reasonable request.
Received: 9 June 2020; Accepted: 5 February 2021; Published online: 05 March 2021
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**Acknowledgements**
We acknowledge support of the International Center for Frontier Research in Chemistry (icFRC, Strasbourg), the ANR Equipe Union (ANR-10-EQPX-52-01), the Labex NIE Projects (ANR-11-LABX-0058 NIE), CSC (ANR-10- LABX-0026 CSC), and USIAS (Grant No. ANR- 10-IDEX-0002-02) within the Investissement d’Avenir program ANR-10-IDEX-0002-02, the ERC (project no 788482 MOLUSC), PlasHybrid (ANR-18-CE30-0014-02) and QuantEra project RoutTe. M.S. acknowledges support from the Marie Skłodowska-Curie actions of the European Commission (project 753228, PlanN).
**Author contributions**
K.W. and T.W.E. conceived the idea; K.W. and K.N. prepared the samples; K.W. conducted all the optical measurements and the corresponding data analysis with the help of M.S.; M.S., T.C., C.G. and K.W. performed the numerical simulations; All authors contributed to discussing and commenting the paper. C.G. and T.W.E. supervised the project.
**Competing interests**
The authors declare no competing interests.
**Additional information**
Supplementary information The online version contains supplementary material available at https://doi.org/10.1038/s41467-021-21739-7.
Correspondence and requests for materials should be addressed to C.G. or T.E.
Peer review information *Nature Communications* thanks Eric Van Stryland and the other, anonymous, reviewer(s) for their contribution to the peer review of this work.
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© The Author(s) 2021
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Analysis of Fiber Reinforced Plastic Bolted Flange Joints
by
Ali KHAZRAIYANVAFADAR
THESIS PRESENTED TO ÉCOLE DE TECHNOLOGIE SUPÉRIEURE IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY PH.D.
MONTREAL, JULY 22, 2019
ÉCOLE DE TECHNOLOGIE SUPÉRIEURE
UNIVERSITÉ DU QUÉBEC
Ali Khazraiyanvafadar, 2019
This Creative Commons license allows readers to download this work and share it with others as long as the author is credited. The content of this work can’t be modified in any way or used commercially.
BOARD OF EXAMINERS
THIS THESIS HAS BEEN EVALUATED
BY THE FOLLOWING BOARD OF EXAMINERS
Mr. Abdel-Hakim Bouzid, Thesis Supervisor
Département de génie mécanique at École de technologie supérieure
Mr. Anh Dung Ngô, Thesis Co-supervisor
Département de génie mécanique at École de technologie supérieure
Mrs. Wahid Maref, President of the Board of Examiners
Département de génie de la construction at École de technologie supérieure
Mr. Guilbault, Raynald, Member of the jury
Département de génie mécanique at École de technologie supérieure
Mr. Pierre Mertiny, External Evaluator
Département de génie mécanique at University of Alberta
THIS THESIS WAS PRESENTED AND DEFENDED
IN THE PRESENCE OF A BOARD OF EXAMINERS AND PUBLIC
ON JUNE 26, 2019
AT ÉCOLE DE TECHNOLOGIE SUPÉRIEURE
“The Moving Finger writes; and, having writ,
Moves on: nor all thy Piety nor Wit
Shall lure it back to cancel half a Line,
Nor all thy Tears wash out a Word of it.”
........................................................................................................... Omar Khayyam
ACKNOWLEDGMENT
At first and foremost, I owe my gratitude to all those people who have made this dissertation possible and because of whom my graduate experience has been one that I will cherish forever.
My deepest gratitude is to my advisor Dr. Abdel-Hakim Bouzid and my co-advisor Dr. Anh Dung Ngô. I have been fortunate to have advisors who gave me the freedom to explore on my own and at the same time the guidance to be on the right path. I am grateful for their patience, guidance, inspiration and continuous support throughout my Ph.D. studies.
I would like to express my appreciation to my parents, Maryam and Ahmad for their outstanding support, care, encouragement and guidance throughout my life and specifically during my Ph.D.
With immense pleasure, I would like to express my gratitude to my wife Golnaz and my brothers Amir and Mo for their help and support.
I also thank my colleagues and friends, in Static and Dynamic Sealing Laboratory for their help and friendship – Mehdi Kazeminia, Amir Hasrak, Ali Oweimer, Rahul Palaniappan, Linbo Zhu, and Mohammad Esouilem.
My special thanks to all the technicians of the Department of Mechanical Engineering of ÉTS, in particular, Serge Plamondon and Michel Drouin for their collaboration and technical support.
DEDICATION
To those who devote their lives to the cause of “peace” “equality” and “freedom”
Analyse de raccords de brides boulons plastiques renforcés de fibres
Ali KHAZRAIYAN VAFADAR
RÉSUMÉ
Les composites en plastique renforcé de fibres (FRP) sont largement utilisés dans les domaines des appareils et tuyauterie sous pression. Les assemblages à brides boulonnées en FRP ont connu un développement spectaculaire dans le domaine du transport des fluides dans les systèmes de tuyauterie. Malgré l'utilisation accrue des composites de FRP dans les assemblages à brides boulonnées et la bonne connaissance de ces structures et du comportement de leurs matériaux, la procédure utilisée pour leur conception reste celle adoptée pour les brides métalliques. Cependant, les résultats sont souvent biaisés puisque celle-ci ne prend pas en considération le comportement anisotrope des brides en composites. Par conséquent, il est nécessaire de développer une approche réaliste pour procéder à une évaluation précise de la redistribution des charges dans l'assemblage afin de prédire l'intégrité des brides boulonnés en FRP.
Cette thèse présente deux modèles analytiques de brides, un sans collerette et un avec collerette. Ces modèles sont supportés par des modèles numériques par éléments finis et des essais expérimentaux. L'étude traite l'intégrité structurelle et l'étanchéité des assemblages à brides boulonnés en FRP sur la base de l'anisotropie, ainsi qu'une analyse de la flexibilité de tous les éléments de joint, à savoir le joint, les boulons et les brides. Dans les modèles analytiques des brides avec et sans collerette, la bride en composites est subdivisée en trois parties principales, à savoir: l'anneau ou la plaque annulaire, la collerette et la coque cylindrique. L'étude expérimentale, laquelle repose une approche fiable pour évaluer le modèle analytique proposé, a été réalisée sur un banc d'essai (banc d'éclatement de joints HOBT). Le banc d'essai a été modifié pour accommoder les brides NPS 3 en FRP conçu conformément à la section X du code l'ASME. Des modèles numériques 3D avec des éléments à coque anisotrope et des éléments solides ont été réalisés pour comparer et vérifier les résultats obtenus par les approches analytiques et expérimentales.
Malgré l'analyse mathématique rigoureuse et la complexité des brides composite stratifié, la comparaison des résultats a prouvé que les modèles analytiques proposés des brides en FRP avec et sans le moyeu sont efficaces, précis et fiables pour prédire la distribution des contraintes longitudinales et tangentielles dans la bride ainsi que le déplacement radial de la bride. De plus, les résultats ont montré que le modèle FE développé pour les brides en FRP avec et sans moyeu peut reproduire parfaitement le comportement des assemblages à brides boulonnés en FRP.
Mots-clef: Plastique renforcé de fibres (FRP), assemblages à brides boulonnées, Composites, Anisotropie, Assemblage avec joint plat
Analysis of fiber reinforced plastic bolted flange joints
Ali KHAZRAIYAN VAFADAR
ABSTRACT
Fiber Reinforced Plastic (FRP) composites are extensively used in the areas of pressure vessels and piping and FRP bolted flange joints have experienced a spectacular development to provide continuity for the flow of fluid through piping systems. In spite of the increased use of FRP composites in bolted flange joints and the good knowledge of these structures and their material behavior the procedure used for their design is still that of metallic flanges. There is a major concern to appropriately address the anisotropic behavior of composite materials in a flange design. Therefore, it is necessary to make a precise evaluation of the bolt and gasket loads in order to be able to predict the integrity of FRP bolted flange joints.
This thesis presents two analytical model cases; one with the flange hub and the other one without the flange hub. These models are supported by numerical finite element modeling and experimental test data. The study treats FRP bolted flange joints integrity and leak tightness based on the anisotropy and flexibility analysis of all joint elements including the gasket, bolts, and flanges. In the analytical models for the flange with and without the hub, the composite flanges are subdivided into three major categories, namely: ring flange, hub, and shell. The experimental study was carried out on a well-equipped test bench, used for Hot Blow out test of PTFE gaskets. The rig was modified to accommodate an NPS 3 FRP bolted flange joint designed according to ASME BPV Code Section X. Furthermore, three different numerical models based on 3D anisotropic layered shell and solid element models were conducted to compare and verify the results obtained from analytical and experimental approaches.
In spite of the rigorous mathematical analysis and complexity of the laminate composite flange, comparing the results proved that the proposed analytical models for FRP flanges with and without the hub, are efficient, accurate and reliable in predicting the longitudinal and tangential stress distributions on the flange surface and radial displacement of the flange. Moreover, the results demonstrated that the FE model which is developed for FRP flanges with and without the hub can depict the true behavior of FRP bolted flange joints.
Keywords: Fiber Reinforced Plastic (FRP), Bolted Flange Joints, Composites, Anisotropy, Full face gasket
# TABLE OF CONTENTS
**INTRODUCTION** ...........................................................................................................1
**CHAPTER 1 LITERATURE REVIEW** ........................................................................7
1.1 Introduction ............................................................................................................7
1.2 Fiber reinforced plastic (FRP) ................................................................................7
1.2.1 Material Systems (fibers and resins) ..........................................................8
1.2.2 General Fabrication Techniques ..................................................................10
1.3 Bolted Flanged Joints .............................................................................................12
1.3.1 Fiber reinforced plastic bolted flange joints ..............................................14
1.3.2 Design codes and standards for FRP bolted flange joints .......................15
126.96.36.199 PS 15-69 .................................................................................................15
188.8.131.52 ASME Boiler and Pressure Vessel Code Section X ............................16
1.4 Analytical studies ...................................................................................................19
1.4.1 Classical lamination theory ..........................................................................21
1.5 Numerical Finite Element studies .........................................................................24
1.6 Experimental studies ..............................................................................................29
1.7 Conclusion .............................................................................................................32
1.8 Research project objectives ..................................................................................34
**CHAPTER 2 ANALYTICAL MODELING OF FRP BOLTED FLANGE JOINT** ........37
2.1 Introduction ............................................................................................................37
2.2 Analytical model ....................................................................................................38
2.3 Theoretical analysis for FRP bolted flange joints without the hub .....................40
2.3.1 Analytical model of the shell (Cylinder theory) .......................................41
2.3.2 Analytical model of the flange ring (ring theory) .....................................47
2.4 Theoretical analysis of FRP bolted flange joints with the hub .............................58
2.4.1 Analytical model of the hub ........................................................................58
2.5 Axial compatibility: ...............................................................................................63
2.6 Stress calculation ..................................................................................................69
2.6.1 Hub laminate: .............................................................................................70
2.6.2 Shell laminate ...............................................................................................71
**CHAPTER 3 NUMERICAL (FINITE ELEMENT) MODELING** ................................75
3.1 Introduction ............................................................................................................75
3.2 Applied loading .....................................................................................................76
3.2.1 Pretension load on bolts .............................................................................76
3.2.2 Internal pressure ..........................................................................................79
3.3 Modeling of the gasket ..........................................................................................80
3.4 Boundary conditions ............................................................................................82
3.5 3D solid finite element models ............................................................................83
3.5.1 Finite element model for the flange with NPS 12 class 150 ....................84
184.108.40.206 Geometry of the flange ................................................................. 85
220.127.116.11 Lamina properties ........................................................................ 89
18.104.22.168 Meshing and contacts................................................................. 95
3.5.2 Finite element model for the flange with NPS 3 class 150 ............... 97
22.214.171.124 Geometry of the flange ................................................................. 97
126.96.36.199 Mesh of flange and contacts ...................................................... 99
3.5.3 Finite shell element model ANSYS Composite PrepPost (ACP) .......... 99
188.8.131.52 Lamina properties ........................................................................ 102
184.108.40.206 Flange laminates ........................................................................ 102
220.127.116.11 Geometry of the flange ................................................................. 105
18.104.22.168 Meshing and contacts.................................................................. 106
CHAPTER 4 EXPERIMENTAL SET-UP ......................................................... 109
4.1 Introduction ........................................................................................... 109
4.2 Bolted flanged rig .................................................................................. 109
4.2.1 Bolt load measurement .................................................................... 111
4.2.2 Displacement and rotation measurements ....................................... 112
4.2.3 The data acquisition system ............................................................. 113
4.3 FRP flange set-up .................................................................................. 113
4.4 Test procedure ....................................................................................... 115
CHAPTER 5 RESULTS AND DISCUSSION .................................................. 117
5.1 Introduction ........................................................................................... 117
5.2 Results for the NPS 3 FRP flange .......................................................... 117
5.2.1 Flange stresses ................................................................................ 118
5.2.2 Radial displacement ....................................................................... 124
5.2.3 Gasket contact stress ...................................................................... 125
5.3 Results for the NPS 12 flange without the hub ..................................... 127
5.3.1 Flange stresses ................................................................................ 127
5.3.2 Radial displacement ....................................................................... 132
5.4 Results for the NPS 12 flange with the hub .......................................... 133
5.4.1 Flange stresses ................................................................................ 133
5.4.2 Radial displacement ....................................................................... 139
CONCLUSIONS .......................................................................................... 141
RECOMMENDATIONS ............................................................................... 145
APPENDIX A Analytical program for frp bolted flange joint ....................... 147
APPENDIX B LabVIEW program ................................................................ 155
BIBLIOGRAPHY .......................................................................................... 159
| Table | Description | Page |
|-------|-----------------------------------------------------------------------------|------|
| 1-1 | FRP joint standard, PS 15-69 | 16 |
| 1-2 | Flange and nozzle dimensions, ASME Boiler and Pressure Vessel Code Section X | 18 |
| 3-1 | Material properties of the bolts | 77 |
| 3-2 | Bolt stress and bolt force for the NPS 3 and 12 FRP bolted flange joint | 78 |
| 3-3 | Inside pressure and wall pressure for NPS 3 and 12 FRP flange | 80 |
| 3-4 | Geometry of the gasket for the flange with NPS 3 and 12 | 82 |
| 3-5 | Dimensions of the NPS 12 flange with the hub | 87 |
| 3-6 | Dimensions of the NPS 12 flange without the hub | 88 |
| 3-7 | Mechanical, physical and elastic properties of the laminates | 90 |
| 3-8 | Geometry of the NPS 3 flange (ZCL Composite Co.) | 98 |
| Figure | Description | Page |
|--------|------------------------------------------------------------------------------|------|
| 1-1 | Contact molding process (Black et al. 1995) | 10 |
| 1-2 | Filament winding process (Estrada 1997) | 11 |
| 1-3 | FRP Flanged Joints (Estrada 1997) | 12 |
| 1-4 | Conventional Metallic Flanged Joints (Estrada 1997) | 13 |
| 1-5 | Exact model and flange geometry and loading (Estrada, 1997) | 20 |
| 1-6 | Modeling stub flange (Estrada, 1997) | 21 |
| 1-7 | Laminate geometry for the tapered laminated shell (Estrada, 1997) | 21 |
| 1-8 | Loading situation defined in AD-Merkblatt N1 (Kurz et al. 2012) | 22 |
| 1-9 | Floating type bolted flange connection with GRP flange (Kurz et al. 2012) | 22 |
| 1-10 | Pipe and ring used in the analytical model (Sun, L. 1995) | 24 |
| 1-11 | Axisymmetric finite element model (Estrada 1997) | 25 |
| 1-12 | Three-dimensional finite element model (Estrada 1997) | 25 |
| 1-13 | Distribution of radial displacement (Estrada 1997) | 26 |
| 1-14 | Distribution of axial moments (Estrada 1997) | 26 |
| 1-15 | Results of the FE simulation (elastic equivalent stress) with highly loaded areas (dark) in the loose flange (left) and collar (right) (Kurz and Roos 2012) | 27 |
| 1-16 | FE model of a bolted flange connection with loose flanges and collars (Kurz and Roos 2012) | 27 |
| 1-17 | 15-degree section of the flange in the FE model (Sun 1995) | 28 |
| 1-18 | Flange front face radial stress, Operating (Sun 1995) | 28 |
| 1-19 | Flange back face tangential stress, Operating (Sun 1995) | 29 |
| Figure | Description | Page |
|--------|------------------------------------------------------------------------------|------|
| 1-20 | Test rig for experimental investigations on bolted flange connections DN50 (without displacement transducers) (Kurz and Roos 2012) | 30 |
| 1-21 | The displacements due to the rotation of the loose flange (Kurz and Roos 2012) | 30 |
| 1-22 | Comparison of nominal stresses from FE simulation, AD-Merkblatt N1 (Kurz and Roos 2012) | 31 |
| 1-23 | Dimensions of test vessel (Sun 1995) | 32 |
| 1-24 | Test Set-Up (Sun 1995) | 32 |
| 1-25 | Crack in the flange face between the bolts and inside the bolt hole (Dynaflow 2011) | 33 |
| 1-26 | Crack at hub neck of the flange (Dynaflow 2011) | 33 |
| 2-1 | Cross-section of FRP flange in (a) initial tightening phase, (b) pressurization phase | 39 |
| 2-2 | Analytical model of the FRP flange without the hub (a) bolt-up (b) pressurization | 41 |
| 2-3 | Analytical model of the shell (a) bolt-up and (b) pressurization | 42 |
| 2-4 | Shell element model | 43 |
| 2-5 | Analytical model of the ring (a) bolt-up and (b) pressurization | 47 |
| 2-6 | Analytical model for the FRP flange with the hub (a) bolt-up (b) pressurization | 59 |
| 2-7 | Analytical model of the hub (a) bolt-up and (b) pressurization | 60 |
| 2-8 | Axial compatibility of the joint a) hand tightening b) initial pre-tightening (Bolt-up), c) pressurization | 64 |
| 3-1 | Axial bolt load with special coordinate system | 79 |
| 3-2 | Inside pressure $p_o$ and wall pressure $p_w$ at pressurization phase | 80 |
| 3-3 | Gasket compression tests | 81 |
| 3-4 | Boundary condition for the static model | 83 |
| 3-5 | Symmetry surfaces of static model | 84 |
| Figure | Description | Page |
|--------|------------------------------------------------------------------------------|------|
| 3-6 | Finite element model for the NPS 12 FRP flange without the hub | 85 |
| 3-7 | Finite element model for the NPS 12 FRP flange with the hub | 86 |
| 3-8 | Geometry of the NPS 12 flange with the hub | 87 |
| 3-9 | Geometry of FRP flange with the hub modeled in Catia | 87 |
| 3-10 | Geometry of the NPS 12 flange without the hub | 88 |
| 3-11 | Geometry of FRP flange without the hub modeled in Catia | 88 |
| 3-12 | General laminate for the shell | 91 |
| 3-13 | General laminate for the ring of the NPS 12 flange without the hub | 92 |
| 3-14 | General laminate for the hub | 93 |
| 3-15 | General laminate for the ring of the NPS 12 flange with the hub | 94 |
| 3-16 | FE mesh model for NPS 12 flange | 95 |
| 3-17 | Finite element model of the isotropic NPS 3 FRP flange | 96 |
| 3-18 | Geometry of the NPS 3 flange with the hub | 98 |
| 3-19 | Geometry of the NPS 3 FRP bolted flange joint in (a) ANSYS and (b) Catia | 99 |
| 3-20 | FE Mesh model for the NPS 3 FRP bolted flanged joint | 100 |
| 3-21 | Structure of the numerical model in ANSYS Composite PrepPost (ACP) | 101 |
| 3-22 | Finite element model for NPS 3 FRP bolted flange joint in ANSYS ACP | 101 |
| 3-23 | General laminate for the shell | 103 |
| 3-24 | General laminate for the ring | 103 |
| 3-25 | General laminate for the hub | 104 |
| 3-26 | FRP flange laminate in ANSYS ACP | 104 |
| 3-27 | Geometry of the flange in ANSYS ACP | 105 |
| 3-28 | Geometry of the flange in ANSYS geometry | 105 |
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 3-29 | Geometry of the bolts and gasket | 106 |
| 3-30 | FE mesh model for the flange | 106 |
| 3-31 | FE model mesh for bolts and gasket | 107 |
| 3-32 | Final FE mesh model for the FRP bolted flange joint | 107 |
| 4-1 | General configuration of HOBT test rig | 110 |
| 4-2 | Typical cross section of HOBT fixture (Bouzid, 2015) | 111 |
| 4-3 | HOBT bolt load measurement system and the bolt-rod assembly | 112 |
| 4-4 | HOBT displacement measurement system | 113 |
| 4-6 | Strain gauges attached on FRP flange | 114 |
| 4-7 | 45° strain rosette aligned with the x-y axes | 115 |
| 4-8 | Torque sequence (SPEARS, 2014) | 116 |
| 5-1 | Longitudinal stress distribution at the outside flange surface during bolt-up | 118 |
| 5-2 | Longitudinal stress distribution at the inside flange surface during bolt-up | 119 |
| 5-3 | Tangential stress distribution at the outside flange surface during bolt-up | 120 |
| 5-4 | Tangential stress distribution at the inside flange surface during bolt-up | 120 |
| 5-5 | Longitudinal stress distribution at the outside flange surface during pressurization | 121 |
| 5-6 | Longitudinal stress distribution at the inside flange surface during pressurization | 122 |
| 5-7 | Tangential stress distribution at the outside flange surface during pressurization | 122 |
| 5-8 | Tangential stress distribution at the inside flange surface during pressurization | 123 |
| 5-9 | Radial displacement of the flange during bolt-up | 124 |
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 5-10 | Radial displacement of the flange during pressurization | 125 |
| 5-11 | Distribution of the gasket contact stress as a function of a gasket width | 126 |
| 5-12 | Longitudinal stress distribution at the outside flange surface during bolt-up| 127 |
| 5-13 | Longitudinal stress distribution at the inside flange surface during bolt-up| 128 |
| 5-14 | Tangential stress distribution at the outside flange surface during bolt-up | 129 |
| 5-15 | Tangential stress distribution at the inside flange surface during bolt-up | 129 |
| 5-16 | Longitudinal stress distribution at the outside flange surface during pressurization | 130 |
| 5-17 | Longitudinal stress distribution at the inside flange surface during pressurization | 131 |
| 5-18 | Tangential stress distribution at the outside flange surface during pressurization | 131 |
| 5-19 | Tangential stress distribution at the inside flange surface during pressurization | 132 |
| 5-20 | Radial displacement of the flange during bolt-up and pressurization | 133 |
| 5-21 | Longitudinal stress distribution at the outside flange surface during bolt-up| 135 |
| 5-22 | Longitudinal stress distribution at the inside flange surface during bolt-up| 135 |
| 5-23 | Tangential stress distribution at the outside flange surface during bolt-up | 136 |
| 5-24 | Tangential stress distribution at the inside flange surface during bolt-up | 136 |
| 5-25 | Longitudinal stress distribution at the outside flange surface during pressurization | 137 |
| Figure 5-26 | Longitudinal stress distribution at the inside flange surface during pressurization | 137 |
|------------|----------------------------------------------------------------------------------|-----|
| Figure 5-27 | Tangential stress distribution at the outside flange surface during pressurization | 138 |
| Figure 5-28 | Tangential stress distribution at the inside flange surface during pressurization | 139 |
| Figure 5-29 | Radial displacement of the flange during bolt-up and pressurization | 140 |
| Abbreviation | Description |
|--------------|-------------|
| 1D | One dimensions |
| 2D | Two dimensions |
| 3D | Three dimensions |
| ACP (Pre) | ANSYS Composite PrepPost |
| ACP (Post) | ANSYS Composite PostProcessor |
| Al | Aluminium |
| ANSI | American National Standard Institute |
| ASME | American Society of Mechanical Engineers |
| B | Bore |
| Ca | Calcium |
| DIN | Deutsches Institut Fuer Normung |
| EPDM | Ethylene Propylene Diene Terpolymer |
| f | Flange |
| Fe | Iron |
| FEM | Finite Element Model |
| FRP | Fiber Reinforced Plastic |
| GRFP | Glass Reinforced Fiber Plastic |
| HOBT | Hot Blowout Test |
| LVDT | Linear Variable Differential Transformer |
| Mg | Magnesium |
| NPS | Nominal Pipe Size |
| Abbreviation | Description |
|--------------|------------------------------|
| O | Oxygen |
| PVP | Pressure Vessel and Piping |
| PTFE | Polytetrafluoroethylene |
| Si | Silicium |
| Ss | Stainless Steel |
| UV | Ultra-violet |
LIST OF SYMBOLS AND UNITS OF MEASUREMENTS
ν Poisson ratio
β_h Hub constant [mm]
β_s Shell constant [mm]
ε Strain [%]
σ_l Longitudinal Stress [MPa]
σ_{h,l,i}^n Longitudinal stress in the inside hub surface [MPa]
σ_{h,l,o}^n Longitudinal stress in the outside hub surface [MPa]
σ_{h,t,i}^n Tangential stress in the inside hub surface [MPa]
σ_{h,t,o}^n Tangential stress in the outside hub surface [MPa]
σ_{s,l,i}^n Longitudinal stress in the inside shell surface [MPa]
σ_{s,l,o}^n Longitudinal stress in the outside shell surface [MPa]
σ_{s,t,i}^n Tangential stress in the inside shell surface [MPa]
σ_{s,t,o}^n Tangential stress in the outside shell surface [MPa]
σ_r Radial stress [MPa]
σ_t Tangential stress [MPa]
σ_t^f Tensile stress [MPa]
σ_c^r Compressive yield strength [MPa]
σ_{xy} Stress in the xy direction [MPa]
ρ Density [kg/m³]
θ Flange rotation [rad]
ψ_p^n Rotation of the plate [rad]
ψ_h^n Rotation of the hub [rad]
| Symbol | Description |
|--------|-------------|
| $\psi_s^n$ | Rotation of the shell [rad] |
| $a$ | Constant according to the gasket [MPa] |
| $A_b$ | Bolt area [mm$^2$] |
| $A_g$ | Full gasket contact area [mm$^2$] |
| $A_p$ | Pressure area [mm$^2$] |
| $A_{h,n}$ | In-plane laminate modulus for the hub [MPA.mm] |
| $A_{p,n}$ | In-plane laminate modulus for the ring [MPA.mm] |
| $A_{s,n}$ | In-plane laminate modulus for the shell [MPA.mm] |
| $A_s$ | Section cut area of the shell [mm$^2$] |
| $b$ | Effective gasket seating width [mm] |
| $B_{h,n}$ | Coupling laminate modulus for the hub [MPA.mm$^2$] |
| $B_{p,n}$ | Coupling laminate modulus for the ring [MPA.mm$^2$] |
| $B_{s,n}$ | Coupling laminate modulus for the shell [MPA.mm$^2$] |
| $D_{h,n}$ | Flexural laminate modulus for the hub [MPA.mm$^3$] |
| $D_{p,n}$ | Flexural laminate modulus for the ring [MPA.mm$^3$] |
| $D_{s,n}$ | Flexural laminate modulus for the shell [MPA.mm$^3$] |
| $d_b$ | Diameter of the bolt [mm] |
| $E$ | Young Modulus [MPa] |
| $F_{b}^n$ | Bolt force [N] |
| $F_G^n$ | Gasket force [N] |
| $G$ | Effective gasket diameter [mm] |
| $G_b$ | Loading intercept on a tightness curve [MPa] |
| $G_s$ | Unloading intercept on a tightness curve [MPa] |
| Symbol | Description | Unit |
|--------|--------------------------------------------------|---------------|
| $K_b$ | Bolt uniaxial stiffness | N/m |
| $K_g$ | Gasket uniaxial stiffness | N/m |
| $m$ | Gasket factor | / |
| $M_{i}^{n}$ | Discontinuity moment in the initial phase | N |
| $M_{h}^{n}$ | Discontinuity moment in the hub | N |
| $M_{s}^{n}$ | Discontinuity moment in the shell | N |
| $M_r$ | Moment resulting from r | N.mm |
| $M_\Theta$ | Moment resulting from $\Theta$ | N.mm |
| $N$ | Number of bolts | / |
| $N_r$ | Stress resultant in the radial direction | N |
| $N_\Theta$ | Stress resultant in direction $\Theta$ | N |
| $N_{h,i}^{n}$ | Hub longitudinal force | N |
| $N_{h,t}^{n}$ | Hub Tangential force | N |
| $N_{s,i}^{n}$ | Shell longitudinal force | N |
| $N_{s,t}^{n}$ | Shell tangential force | N |
| $Q_h^{n}$ | Shear force in the hub | N |
| $Q_s^{n}$ | Shear force in the shell | N |
| $Q_{rx}$ | Shear force in the plane rx | N |
| $P_w$ | Longitudinal stress on the wall | MPa |
| $p_o$ | Internal pressure | MPa |
| $P_1$ | Hub to cylinder discontinuity force | N/m |
| $P_2$ | Flange to hub discontinuity force | N/m |
| Symbol | Description | Unit |
|--------|--------------------------------------------------|--------|
| r | Radius considered | mm |
| $r_b$ | Bolt circle | mm |
| $r_i$ | Inside radius of the flange | mm |
| $r_o$ | Outside radius of the ring | mm |
| $S_b$ | Allowable bolt stress at design temperature | MPa |
| $S_{ya}$ | Theoretical gasket seating stress | MPa |
| $S_{m0}$ | Minimum operating gasket stress | MPa |
| $S_{m1}$ | Gasket operating stress | MPa |
| $S_{m2}$ | Gasket seating stress | MPa |
| $T_f$ | Melting temperature | °C |
| $t_h$ | Hub thickness | mm |
| $t_r$ | Ring thickness | mm |
| $t_s$ | Shell thickness | mm |
| $T_{p\text{min}}$ | Minimum tightness | / |
| U | Strain energy | J |
| $u^f$ | Ring radial displacement | mm |
| $u^n$ | Radial displacement in the initial phase | mm |
| $u_h^n$ | Hub radial displacement | mm |
| $u_s^n$ | Shell radial displacement | mm |
| V | Work done by force | J |
| $w$ | Axial displacement | mm |
| $w^f$ | Flange axial displacement | mm |
| $W_m$ | Design bolt load | N |
| Symbol | Description |
|--------|-------------|
| $W_{m1}$ | Operating design bolt load [N] |
| $W_{m2}$ | Seating design bolt load [N] |
| $y$ | Gasket design seating stress [MPa] |
**Superscript**
- $i$: Refers to an initial tightening of the bolt condition
- $f$: Refers to final condition (pressurization)
- $n$: Refers to the time $n$
**Mass**
- mg: Milligram
- kg: Kilogram
**Angel**
- Deg: Degree
- Rad: Radian
**Length/Displacement**
- m: Meter
- mm: Millimeters
- cm: Centimeter
- $\mu s$: Micro strain
- in: Inches
**Temperature**
- C: Centigrade
- F: Fahrenheit
| Time | Unit |
|--------------|----------|
| S | Second |
| H | Hours |
| Pressure/stress | Unit |
|-----------------|--------------------|
| MPa | Mega Pascal |
| GPa | Giga Pascal |
| Psi | Pounds per Square Inches |
Fiber reinforced plastic composites have recently experienced a spectacular development in the areas of pressure vessels and piping. They are used in applications ranging from water and gas services to aeronautical and petrochemical industries. Their special properties have let these composites to take precedence over traditional materials in terms of weight, chemical resistance, resistance to fatigue, low maintenance cost, and even aesthetics. Because of the ability to resist in a corrosive environment, they are extensively used in chemical and petrochemical process plants. Only some type of metallic alloys such as nickel (Ni) molybdenum (Mo) chromium (Cr) alloys can successfully survive in these conditions.
Fluid handling and transportation require safe bolted flange assemblies and pressurized equipment. Indeed, the main purpose of a bolted flange joint is to ensure the containment fluid and thus protect the immediate environment against contamination from leakage of harmful fluids or fluid escapes that are nauseating, toxic, and dangerous. In the first case, the loss of such a harmless fluid primarily results in a reduction in the efficiency of the installation, although such joint failure may present hazards such as leakage of steam under pressure. In the second case, the leak does not only represent a decline in the performance of the pressure vessel but also it is dangerous for the environment and humans (Bouzid et al. 2007). Therefore, a proper choice of materials in bolted flange joints for a particular process is an important responsibility of the user and the designer, in terms of compliance with laws, regulations, and standards of calculation. In addition, it is important to note that the performance of bolted flange joints depends on the interaction of the various components of the system and satisfactory performance of joints can only be expected if all the system components work together in harmony.
Despite the increased use of FRP composites in pressurized tanks and piping plants, limited information is available on the mechanical analysis of certain components, especially in bolted flange joints. Even though the ASME BPV Code Section X (American Society of Mechanical
Engineers), ASME RTP-1 as well as other standards such as standard D4024, the British Standard BS 7159 have developed rules for the design, manufacturing techniques and inspection of pressure vessels made of fiber-reinforced plastic, the theories that are used in the analysis of composite flanges are more or less modified versions of the theories used for metallic flanges. But the mechanical behavior of composite materials is different from metallic materials, because of their anisotropy and their inhomogeneity, so that the results obtained in using these design codes cannot explain the significant behavior of composite flanges.
To investigate the behavior of fiber reinforced plastic bolted flange joints, some research has already been done as shown in Sun's thesis (1995), which is focused on the behavior of FRP flanges by proposing an analytical and numerical study. But it turns out that the analytical results are not in good agreement with the results obtained from the numerical model because of some assumptions that make some errors in the analytical model. Blach et al. (1990) use the laminate theory to propose a method for a stress analysis of fiber reinforced plastic flanged connections with full face gaskets. They used a few assumptions to simplify their proposed method. Although they used rigorous mathematical analysis to describe all the complexity of the laminate materials, their method does not satisfy all the physical constraints associated with such composites. Kurz and Roos (2012), studied the mechanical behavior of floating type bolted flanged connections with glass reinforced plastic flanges, analytically and experimentally. In their study, they divided the flange into two small angular portions and considered as a beam clamped at one end subjected to bending. Thus, the design leads to virtual radial stress which only represents the usage level of the flange. The analytical model that Estrada and Parsons (1997) suggested in their study to describe the circumferential stresses and rotation shows good agreement with the results obtained from finite element simulation and experimentation. Campbell (1990) proposed a new technique to fabricate FRP flange that is the adoption of the one-piece integral flange. His design was based on the metal flange counterpart given by ASME B16.5. Black et al. (1995) suggested a simple design method for FRP flanges with full face gaskets but according to Bouzid (2011) bolts and gasket flexibility as well as the elastic interaction between them are neglected. It is worth noting that in designing
FRP flanges, the impact of temperature on the stress redistribution is not explained like with metal flanges (Nechache and Bouzid 2007).
An overview of all researches done on FRP bolted flanged joints, shows that most of the proposed analytical models are based on metallic flange design. While, to have an accurate stress analysis in all part of FRP flange joints, it is necessary to choose a reliable method of design which describes the anisotropic behavior of FRP materials. Moreover, according to Czerwinski J (2012), very few papers deal with leak rate measurements in FRP bolted flange joints.
The elements that influence the behavior of flanges and especially composite flanges in the operating conditions are countless, so it becomes necessary to study comprehensively FRP bolted flange joints to address specific issues related to these elements. This work aims both to study the actual behavior of FRP bolted flange joints and also to evaluate their performance compared with metal flanges in order to provide the possibility of using composite flanges as an alternative to metallic bolted joints with the same geometry. In order to study of FRP bolted flange joints comprehensively, a combination of analytical, experimental and numerical investigation techniques is used.
The content of this thesis is organized into five chapters. All chapters have been written and presented in a constructive manner for ease of understanding of the reader. The first chapter is dedicated to the literature review and extensive and qualitative reviews of different types of bolted flange joints with particular focus on FRP bolted flange joints. This chapter also presents the properties and the anisotropic character of composite materials and exposes the peculiarity of the study of composite vessels in the domain of bolted flange joints.
Chapter 2 outlines the analytical approaches of FRP bolted flange joints. In this chapter, two analytical models were developed to treat FRP bolted joint structural integrity and leak tightness based on anisotropic behavior and taking into account the flexibility analysis of all joint elements including the gasket, bolts, and flanges. Since the analytical study is the essence
of this research, a detailed explanation of the theories and equations for each part of the flange with the highest accuracy is vital. In the analytical models (one for the flange with the hub and one for the flange without the hub), the composite flanges are subdivided into three major categories, namely: ring flange, hub and shell, and the procedure for each part of the flange is described in detail.
The numerical study of FRP bolted flange joints is elaborated in the third chapter. The presented numerical models of FRP bolted flange joints in this chapter are an attempt to develop and validate the analytical model. The finite element analysis makes it possible to obtain an approximate solution of a physical problem by providing algebraic stiffness equations to solve the problem. This chapter describes the procedure of three different finite element models; a flange with the hub and without the hub and a multilayer shell model using ANSYS Composite PrepPost. Fiber reinforced plastic bolted flange joints of two sizes; NPS 3 class 150 and NPS 12 class 150 flanges are treated. To create and analyzed the finite element models, the program ANSYS® Mechanical 16.02 and the ANSYS Composite PrepPost (ACP) 16.2 were used. The geometry of flanges as well as laminate properties and the stacking sequence of the laminate used in the composite flange are presented in this chapter.
It was considered necessary to set up a test rig to investigate the real behavior of FRP bolted flange joints and use experimental results to verify and characterize the presented analytical and numerical models in the second and third chapter. Thus, the fourth chapter is dedicated to describe the operational mechanisms of the Hot Blow Out Test Bench (HOBT) and the experimental procedure involved in this characterization study. FRP flange and test rig in this study were developed for the purpose of measuring the parameters related to the analytical and numerical models of this research work.
Chapter five is devoted to present the results obtained from the analytical, numerical and experimental analysis of FRP bolted flange joints. In this chapter, discussion and comparison of the results shown in graphs and tables are performed.
Finally, this thesis concludes with a broad conclusion highlighting the main results of the work conducted on FRP bolted flange joints. Furthermore, a few recommendations are suggested for the future works in this research area.
CHAPTER 1
LITERATURE REVIEW
1.1 Introduction
Most of the research conducted on composite bolted flanged joints, especially fiber reinforced plastic flanges, focuses on transferring the knowledge from metallic flange designs to composite flange designs. Since FRP flanges do not behave like isotropic materials (Estrada, 1997), (Hoa, 1991) designers have to rely on criteria based primarily on anisotropic designs and also other methods of analysis. In this chapter, some of the recent research work is reviewed which is one of the sources of instigation of this study objective. To present an extensive review of existing scientific articles and dissertations, this chapter is divided into four subsections:
1- FRP flanges, standards and design codes,
2- Analytical studies,
3- Numerical (Finite Element) studies and,
4- Experimental studies.
The next part presents a general introduction of FRP bolted flange joints as well as composite materials and the codes and standards of these materials. But before going deeper into these rules, especially those of ASME BPV Code Section X it is necessary to understand the different aspects of FRP bolted flange joints. Then, the existing analytical studies of FRP bolted flange joints are elaborated. The third part of this chapter presents the numerical finite element models used to simulate the behavior of FRP flanges. The fourth part discusses the experimental investigations and test procedures as well as the experimental results.
1.2 Fiber reinforced plastic (FRP)
Fiber reinforced plastics are composites made by reinforcing a resin with fibers. Using the Fiber reinforced plastic composite in the pressure vessels need special attention to the
fabrication techniques, design and testing of these structures. Pressure vessels which are made from metallic materials that are normally isotropic and ductile. These vessels are designed by using well-established allowable stresses based on measured tensile and ductility properties (ASME BPV Code Section X). In the form of composite like fiber reinforced plastic, a designer can take advantage of the propitious properties of these materials. In FRP, the strength and stiffness of the composite are provided by the fibers and the resin used as a binder to provide other favorable properties such as corrosion resistance, impact resistance and compressive strength. The anisotropic behavior of FRP material makes this composite separate from isotropic materials like metals. In an anisotropic material, the mechanical properties in each direction are different and it depends on the direction of the fibers. Higher-strength and stiffness to weight ratios is another advantage of FRP composites that make them dominant compared to other materials such as steel. (Blach et al. 1987).
Composites have replaced many traditional materials and provided users with longer-lasting equipment. These products created a history of successful field experience of long-term use of composites under specific conditions. Fiber reinforced plastics laminates may have a modulus of elasticity as low as 6894.76 MPa (1.0 x $10^6$ psi), compared with that of ferrous materials which may be of the order of 20,6842.71 MPa (30 x $10^6$ psi) (ASME BPV Code Section X). This low modulus characteristic requires careful consideration of vessel profile in order to minimize bending and avoid buckling.
### 1.2.1 Material Systems (fibers and resins)
Thermoplastic resins are capable of being repeatedly softened and hardened by an increase and decrease of temperature. This change upon heating is mainly a physical rather than a chemical feature (Gendre, L. 2011).
Because of the lower creep resistance and thermal stability, thermoplastic resins are not used as composite flanges. In general, thermoplastic polymers have higher strains to failure than
thermoset polymers, which may provide better resistance to matrix micro-cracking in a composite laminate. Popular types of thermoplastic resins include:
- Polyvinyl chloride (PVC);
- Chlorinated polyvinyl chloride (CPVC);
- Polybutylene (PB);
- Polyethylene (PE);
- Polyvinylidene chloride (PVDC);
- Polyvinylidene fluoride (PVDF);
Thermoset plastics, do not flow under the application of heat and pressure. However, when exposed to heat or chemical environments, change into practically infusible and insoluble materials. Thermoset resins are more commonly used with FRP products and exhibit less creep and stress relaxation than thermoplastic polymers. They show superior thermal stability. In the ASME BPV Code, Section X, thermoset resins include:
- Polyesters;
- Epoxies;
- Vinyl esters;
- Phenolics;
- Furan;
In the (ASME BPV Code, Section X), reinforcements embedded in a resin matrix are a combination of fibers such as:
- Glass (Type A, E, S, C);
- Carbon;
- Graphite;
- Aramid;
Glass fibers are used in most composite materials as reinforcement in many fields such as constructions, transport, optics, and sports. The reasons for these diverse applications are the
excellent properties they offer such as tensile strength that is twice as strong as steel, thermal insulation, dimensional stability, and low moisture absorption. Polyester and vinyl ester are corrosion resistance resins that are used in a wide range of pressure vessels such as tanks, pipes, ducting, chemical plant equipment because of these properties. In addition, a relatively low cost of glass fibers, making it competitive with other fibers.
1.2.2 General Fabrication Techniques
There are several methods or manufacturing process for FRP flange production such as contact molding or hand lay-up, injection molding, filament winding, compression molding, resin transfer molding and centrifugal casting (Rosato et al. 1964). The following methods are mostly used in FRP flange production:
Figure 1-1 Contact molding process (Black et al. 1995)
1- **Contact Molding:**
In this method, cylindrical sections, heads, and attachments are fabricated by applying reinforcement fibers and resin to a mandrel or mold. System cure is either at room temperature or elevated temperature using a catalyst-promoter system. The contact molding process is depicted in figure 1.1. As shown in the figure each ply is applied one by one, paying attention to ensuring that the recommended orientation is respected and that no air bubbles seep into the resin. The resin is applied with a brush or a gun between each ply.
1- **Filament Winding**
In this process, continuous filaments of fiber wetted with the specified resin are wound in a systematic manner under controlled tension and cured on a mandrel or other supporting structure. The filament winding process is shown in figure 1.2. Heads and fittings fabricated by contact-molding methods may be attached with suitable adhesive resins and secondary reinforcement with the cutting of filaments as required. Heads are
integrally wound and the only openings allowed are those centered on the axis of rotation and are wound into the vessel during fabrication.
1.3 Bolted Flanged Joints
In order to connect piping systems and pressure vessels containing fluids or gas under pressure, the most reliable way is to use bolted flanged joints. Flanges are used as an alternative to welding or threading different pipelines components and pressure vessels. In addition, bolted flange joints that are the alternative to welding because they can be easily assembled, disassembled, then reassembled when needed for shipping, inspection, maintenance, and replacement (Derenne et al. 2000).
Figure 1-3 FRP Flanged Joints (Estrada 1997)
Due to the leakage in the large-bore threaded pipe and also threading pipe is not reliable and economical, flanged connections are favored over threaded connections. For these reasons, flanges are important components of any piping system. There are two types of the metallic bolted flanged joint shown in Figure. 1.3; integral flange and loose flange.
Figure. 1.4 depicts two varieties of the integral flange geometry. As shown in this figure, raised face flanges are used for the applications at high pressure while flat face flanges are used for low pressures applications. Flat-faced flanges are typically used with full face gaskets and ring gaskets for the flanges with and without the hub respectively.
Figure 1-4 Conventional Metallic Flanged Joints (Estrada 1997)
Due to the greater contact area in the flanges with full face gaskets, they need greater load applied by the bolts to make them sealed. Therefore, to maintain the flanges sealed the gasket should deform plastically to close all the porosities on the flange face. The flange contact occurs inside the bolt circle of the raised face flanges and flat face flanges with ring gaskets. As a result, relatively higher flange rotation occurs when the joint is bolted leading to high bending stresses at the hub-to-cylinder junction.
1.3.1 Fiber reinforced plastic bolted flange joints
There are commonly two types of flange known as FRP bolted joints:
1- Stub flanges;
2- Flat face flanges with full face gaskets;
There are two general fabrication procedures used in the production of contact molded fiber reinforced plastic flanges; the first method is two-piece construction that the flange is laid-up directly onto a piece of pipe or a cylindrical pressure vessel shell. The second one is one-piece construction that the continuous axial glass fibers wetted with resin, made a continuous form of the shell and hub into layers of the flange. It is necessary to mention that the one-piece integral flange eliminates all the problems associated with the bond of the two-piece construction and this method has been used successfully in industry application for almost two decades [Sun et al. 1995].
FRP bolted joints present more difficulties in design and operation than their metallic counterparts. This is because their material properties are more complex and the bolting requirements are different. Although the bolt holes in metallic flanges make a slight material discontinuity problem, drilling the bolt holes in FRP composite flanges can be significant, particularly in filament wound joints. In the composite flanges that are made with the hand lay-up manufacturing technique, this problem is solved by incorporating the holes in the flange during the manufacturing process. The field of application of these vessels varies since they are used in most industrial domains, in particular in the
petrochemical and nuclear industries. It is worth noting that because of their anisotropic behavior, the study of composite flanges is much more complex than for metal flanges.
1.3.2 Design codes and standards for FRP bolted flange joints
There are two standards for fiber reinforced plastic flange joints:
22.214.171.124 PS 15-69
The first FRP flange standard from the national bureau of standards voluntary product standard, PS 15-69, appeared in 1969. This standard presents the minimum values of the flange thickness as well as the specifications for bolting system of FRP flanges including all metal washers, nut and bolt heads. In general, PS 15-69 covers some type of FRP flanges such as contact molded flanges and gives guidelines to keep their use in the safe zone with the butt-strap joint recommended as the standard pressure vessel connections. In addition to this standard, ASTM added the specifications for the fabrication techniques (Filament winding and contact molding) of FRP flanges. However, this standard doesn’t cover flange design and only covers the specifications that are based on FRP flange performance. Technically, this standard becomes an updated version of the PS 15-69 standard. But there is a difference between these two standards in being proof tested and is listed in table 1.1. The performance requires to the leakage test for sealing of FRP flange with the 1.5 times higher pressure of the design pressure and test with four times higher pressure of the design pressure period of the one-minute period for rupture strength. On the other hand, the composite material of contact molded flange should be able to resist about two times of recommended bolt torque by the manufacturer, and other flange construction should be able to resist 1.5 times bolt torque without visible signs of damage.
This standard gives no specification for the gasket and bolting system, instead, it suggests to follow the manufacturer's recommendation. It also mentions that flanges fabricated with different techniques and different manufacturers with identical classification can not be interchangeable because the pressure vessels and piping systems need to get standardized.
Table 1-1 FRP joint standard, PS 15-69
| Nominal Pipe Size (I.D.) | Wall Thickness | Flange Diameter (O.D.) | Flange Thickness | Bolt Circle Diameter | Bolt Hole Diameter | Number of Bolts |
|--------------------------|---------------|------------------------|------------------|----------------------|--------------------|----------------|
| 2 | 1/8 | 63/8 | 1/4 | 5 | 7/16 | 4 |
| 3 | 1/8 | 73/8 | 1/4 | 6 | 7/16 | 4 |
| 4 | 1/8 | 83/8 | 1/4 | 7 | 7/16 | 4 |
| 6 | 1/8 | 103/8 | 1/4 | 9 | 7/16 | 8 |
| 8 | 1/8 | 123/8 | 1/4 | 11 | 7/16 | 8 |
| 10 | 1/8 | 143/8 | 3/8 | 13 | 7/16 | 12 |
| 11 | 1/8 | 153/8 | 3/8 | 15 | 7/16 | |
| 12 | 1/8 | 163/8 | 3/8 | 15 | 7/16 | 12 |
| 14 | 1/8 | 183/8 | 3/8 | 17 | 7/16 | 12 |
| 16 | 1/8 | 203/8 | 1/2 | 19 | 7/16 | 16 |
| 18 | 1/8 | 223/8 | 1/2 | 21 | 7/16 | 16 |
| 20 | 1/8 | 243/8 | 1/2 | 23 | 7/16 | 20 |
| 24 | 3/16 | 283/8 | 1/2 | 27 | 7/16 | 20 |
| 30 | 3/16 | 343/8 | 1/2 | 33 | 7/16 | 28 |
| 36 | 3/16 | 403/8 | 1/2 | 39 | 7/16 | 32 |
| 42 | 1/4 | 463/8 | 5/8 | 45 | 7/16 | 36 |
| 48 | 1/4 | 543/8 | 5/8 | 52 | 9/16 | 44 |
| 54 | 1/4 | 603/8 | 5/8 | 58 | 9/16 | 44 |
| 60 | 1/4 | 663/8 | 5/8 | 64 | 9/16 | 52 |
### 126.96.36.199 ASME Boiler and Pressure Vessel Code Section X
ASME code section X covers the design rules for FRP pressure vessels and piping systems. In this standard, the pressure vessels are qualified by two class designs:
1. **Class I design** – this method qualifies the design through the destructive test of a prototype.
2. **Class II design** – this method qualifies the design through acceptance testing by non-destructive methods and mandatory design rules.
Class II flange design rules are based on the same mandatory rules as their metallic counterparts. These rules are standard rated flanges and flange design calculations. Standard rated flange design is based on ANSI flanges as the PS 15-69 standard. Not only, the ASME Section X code design calculation of FRP flanges is similar to that of metallic flanges known as Taylor Forge method but it assumes FRP materials to be isotropic as in steel. The only
difference in design is the allowable stresses which incorporate a higher safety factor. According to the code, the flange design stresses vary depending on the type of stress. Therefore, designing the flange based on hoop strength against internal pressure, the range of design stress may vary from 11.03 MPa (1,600 psi) to 21.37 MPa (3,100 psi). In addition, the design stress for inter-plies shear strength may be as low as 0.69 MPa and also the intermittent loads’ design stress may reach as high as 24.13 MPa (100 psi). Nevertheless, flange design stresses over 24.13 MPa (3,500 psi) are rare. In order to design FRP flanges using these methods, an additional stress check namely the radial stress at the bolt circle is used. Class II design recommended that the maximum pressure for vessels are limited to 0.52 MPa (75 psi) and the maximum inside diameter is limited to 243.84 cm (96 inches).
The relevant ASME BPV code section X comprises the design rules for fiber reinforced bolted flange joints. The flange and nozzle dimensions in ASME BPV code section X are listed in table 1.2. According to this standard, there are several modulus values in the mechanical properties of FRP material such as hoop tensile modulus, axial tensile modulus, and an axial compressive modulus. It is exceedingly important that the flange designer while designing the flanges in particular FRP flanges takes this into account the anisotropic properties of composite material. Hence, understand the anisotropic behavior of FRP materials would be a proper assumption for a designer. No additional calculations are required when a flange is selected from this standard.
In some applications of FRP vessels where special joints can be utilized such as downhole tubing, high pressures about hundreds of MPa can be attained. Design pressure is the permissible pressure in the vessel which is the maximum applicable pressure at the laminate of the vessel. In piping systems and pressure vessels of FRP materials, the temperature range is much smaller compared to metallic vessels and piping such as carbon and stainless steels and copper-nickel. Also, the design temperature is less than the interior laminate wall temperature expected under operating conditions for the part considered and is less than $10^\circ$C, or $1.667^\circ$C below the glass transition temperature of the resin, whichever is lower.
| | | | | | | | | | | | | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 14 | 21 | 18½ | 1¼ | 2¼ | 1 | 12 | 6 | 3½ | 1½ | 1½ | ¾ | 1½ | ¾ | (1) | (1) | 19½ |
| 16 | 23½ | 21½ | 1¼ | 2¼ | 1 | 16 | 1 | 3½ | 1¼ | 1½ | ¾ | 1½ | ¾ | (1) | (1) | 19½ |
| 18 | 25 | 22½ | 1¼ | 2¼ | 1¼ | 16 | 1 | 3½ | 1¼ | 1½ | ¾ | 1½ | ¾ | (1) | (1) | 19½ |
| 20 | 27½ | 25 | 1¼ | 2¼ | 1¼ | 20 | 1½ | 3½ | 1½ | 1½ | ¾ | 1½ | ¾ | (1) | (1) | 19½ |
| 24 | 32 | 29½ | 1¼ | 3 | 1¼ | 20 | 1¼ | 3½ | 1½ | 1½ | ¾ | 1½ | ¾ | (1) | (1) | 19½ |
| 30 | 38½ | 36 | 1¼ | 3 | 1¼ | 28 | 1½ | 3½ | 2½ | 2½ | ¾ | 2½ | ¾ | (1) | (1) | 19½ |
| 36 | 46 | 42½ | 1¼ | 3½ | 1¼ | 32 | 2 | 3½ | 2½ | 2½ | ¾ | 2½ | ¾ | (1) | (1) | 19½ |
| 42 | 53 | 49½ | 1¼ | 3½ | 1¼ | 36 | 2½ | 3½ | 2½ | 2½ | ¾ | (1) | (1) | (1) | 19½ |
| 48 | 59½ | 56 | 1¼ | 3½ | 1¼ | 44 | 2½ | 3½ | 3½ | ¾ | (1) | (1) | (1) | (1) | 19½ |
1.4 Analytical studies
The analysis of FRP flanges is very complicated and the general solution always goes through a cumbersome computer program. Because of the anisotropic behavior of composite bolted flanges, there is a general use of simplifying assumptions that can sometimes affect the accuracy of the results obtained from the developed model.
Estrada (1997) proposed a model that includes four distinct axisymmetric structural components that are analyzed separately. The exact model and flange geometry and loading is depicted in figure 1.5. He modifies the model for the composite component to account for orthotropic material properties using classical lamination theory. Figure 1.6 illustrates the body diagram of the model, flange geometry and loading. This is the simplest way to analyze this structure because of the complication of the boundary conditions. He performed the analyses on a modified stub flanged joint which is shown in figure 1.7.
This GFRP (Glass Fiber Reinforced Plastic) joint is a modified version of a typical GFRP joint, the stub flanged joint developed by Estrada et al (1997) to address some problems particular to GFRP joint geometries currently in use. The pipe and the hub are filament wound and form an integral unit. The backing ring is metallic and is used to connect the joint to other members. He analyzed the flange in two parts: the stub and the pipe-hub. He modeled the stub as an isotropic annular plate with an inner ring stiffener and the pipe-hub as two separate orthotropic axisymmetric shells.
**Stub:**
The stub is analyzed as two distinct linear elastic isotropic components: a ring stiffener and an annular plate. The ring is modeled as a reinforcing ring subjected to an axial moment. In order to reduce the number of unknown parameters, they used the assumption that the ring stiffener thickness is half of the annular plate thickness.
Figure 1-5 Exact model and flange geometry and loading (Estrada, 1997)
**Pipe-hub:**
The pipe-hub is modeled analytically by dividing into two structural sections which were analyzed separately. These two sections are analyzed using shell theory and the shell with variable thickness theory. The solutions for the two sections were obtained from classical laminated shell theory in terms of parameters that depend on the end conditions for each section. They modeled the cylindrical shell as an axisymmetric laminated shell and the tapered hub as an axisymmetric laminated cylindrical shell of variable thickness. Also, they reduced the strain-displacement relations, kinematic assumptions, equilibrium equations and constitutive law to a single equation.
1.4.1 Classical lamination theory
The theory of mechanics of composite materials is based on the lamination theory which is the main theory used for the composite materials. In the microscopic scale, a composite is defined as a complex system consisting of matrix and fibers combined to make a monolithic compound. But the definition of composite material in this theory is a material system with enhanced material properties that is made from a combination of chemically distinct materials on the macro-scale bonded together by a distinct interface. This theory mainly used to analyze the composite system which is made in layers and each layer consisting of parallel fibers embedded in a matrix. In order to fabricate a laminate, laminae are stacked in a specified sequence of orientation and this sequence of orientation can allow the designer to meet the demanding mechanical properties of the composite. Lamination theory can be summarized as the development of equations that relate generalized strains to generalized forces through the constitutive law. According to ASTM Standard Specification D5421, the material properties in composites are simplified by the assumption that the properties of fiber and matrix can be combined into an effective transversely isotropic material layer.
Some of the assumptions to simplify the calculations that are stated in this theory:
1. The laminas in a laminate are perfectly bonded together.
2. Each layer is of linear varying thickness. Each lamina has an equal thickness at the large end ($g_1 = n t_1$) and at the small end ($g_0 = n t_0$) and varies linearly along the axial direction.
3. Each lamina acts as a homogeneous transversely isotropic linear elastic system.
Kurz and Roos (2012), conducted an analytical and experimental evaluation of the mechanical behavior of floating type bolted flanged connections with glass reinforced plastic flanges that are depicted in figure 1.8. They modeled the bolted flange connection according to AD-Merkblatt N1, shown in figure 1.9. The design is based on bending of a beam clamped at one end. Thus, the design leads to virtual radial stress which only represents the usage level of the flange. Their model describes analytically the circumferential stresses and the rotation and shows a good agreement with the results of the FE simulation and the experimental investigations.
Blach and Hoa (1987), conducted a study on full-face FRP flanged joints. They proposed two design methods which can be used safely for these flanges. The first one is based on the Taylor Forge method (Anonymous, 1979). and the second one is based on the method of composite materials. They conducted a 3D finite element analysis on FRP flanges with full-faced gasket and tried to correlate data obtained from experimental tests. The results obtained from the metallic design methods and the FE modeling of FRP flanges seem to have a good agreement with the experimental results. In their study, some problems of FRP bolted flange joints are discussed, such as a certain amount of convex distortion (pullback) that can be caused in hand lay-up flanges due to uneven curing of the resin. If the distortion is straightened by bolt load alone, there would be excessive stress at the junction of the flange and cylinder.
Blach and Sun (1990), proposed a method for analyzing the stresses of fiber reinforced plastic flanged connections with full face gaskets based on classical laminates theory, shear deformation laminate theory and shell theory for the different components of the flange. This method is simplified by using a few assumptions and is based on rigorous mathematical analysis. Also, this method could not satisfy all of the physical constraints due to the complexity of the laminate problem. They claim that the analytical developed method is much more accurate than that obtained by using any of the greatly simplified customary design method based on metallic flanges. Unfortunately, the proposed method is not suitable for flange designers because the solution requires the use of infinite series expansion.
Sun, L. (1995) proposed two methods of stress analysis based on shear deformation laminated theory and classical lamination theory for the full-faced FRP bolted flange joints. In the first method which is based on the classical lamination theory, the transverse shear deformation is neglected. In the second method, the classical lamination theory is applied to the shell but the ring is modeled by using a formulation that accounts for transverse shear deformation. The method appears to represent an improvement over the approach that Waters et al. (1937) used in the derivation of the Taylor forge method, accounting for FRP material properties. As shown in figure 1. 10, in his analytical model, the flange is separated into two parts. The final solution is obtained by applying the boundary conditions and continuity conditions. Due to the poor
mesh elements used in the numerical finite element model, the results obtained from the finite element model and analytical model are not in good agreement.
Figure 1-10 Pipe and ring used in analytical model (Sun, L. 1995)
1.5 Numerical Finite Element studies
Estrada et al. (1997) used a finite element method to validate analytical developed models. Also, it is used to study the leakage behavior and to validate the ASME code formulation for other gasket materials and joint configurations. The analysis was carried out using two and three-dimension axisymmetric finite elements with an orthotropic material model. To perform the analysis, they used a commercial finite element package (ABAQUS). In their analyses, they showed that axisymmetric modeling can be used to analyze critical designs however the analysis did not capture the stress concentration. Figures 1.10 and 1.11 show the three-dimensional and axisymmetric finite element models that were developed in this study.
Because of using the option that allowed pressure to penetrate the space where contact was lost, it was possible to measure more accurately the leakage in the axisymmetric case than in the three-dimensional case. Finally, they claimed that the results from finite element analysis were in an excellent agreement with the analytical results as shown in figure 1.13 and 1.14.
Figure 1-13 Distribution of radial displacement (Estrada 1997)
Figure 1-14 Distribution of axial moments (Estrada 1997)
Kurz and Roos (2012) conducted a simulation using the finite element method to investigate the stresses and strains of an FRP flange. They developed a linear-elastic finite element model for FRP bolted flange joints. In this study, the material behavior was assumed to be linear elastic with an isotropic Young’s modulus of 11 GPa. According to this numerical study, the elastic equivalent stresses were shown for the initial tightening in a segment of the loose flange and the collar (figure 1.14). Under the washer, the material was compressed, resulting in a complex, multi-axial stress state. The FE model of a bolted flange connection with loose flanges and collars are depicted in figure 1.15.
Figure 1-15 Results of the FE simulation (elastic equivalent stress) with highly loaded areas (dark) in the loose flange (left) and collar (right) (Kurz and Roos 2012)
Figure 1-16 FE model of a bolted flange connection with loose flanges and collars (Kurz and Roos 2012)
Blach and Sun (1995) compared the analytical results, with the finite element results of an FRP flanged connection, using 3-D anisotropic layered solid elements. Figure 1.17 depicts 15-degree section of the flange in the FE model. With the ANSYS software, they modeled the composite flange as layered elements. In the FE model, axial symmetry is used to model a 15-degree section of the flange (Figure 1.16). They observed that the results from the finite element method are very close to those of an analytical method. However, issues were reused with many assumptions made in each calculation. They concluded that the two proposed methods are not reliable due to the lack of sufficient experimental verification.
1.6 Experimental studies
Kurz and Roos (2012) conducted an analytical and experimental evaluation of the mechanical behavior of floating type bolted flanged connections with glass reinforced plastic flanges. In order to analyze the deformation behavior due to creep-relaxation, they developed an instrumented test rig (Figure 1.19) which enabled the reproducing of the real behavior of an FRP bolted flanged joints. During the experimental investigation, the bolt force, the flange rotation, the strains at selected locations of the flange surface, the internal pressure and the temperature were monitored continuously. The test rig was completely vacuum-sealed to measure the leakage tightness of the bolted flange connection using helium mass spectrometry.
They also tested various gaskets made of rubber (EPDM) and PTFE of the bolted flange connection that was made of glass-fiber reinforced plastic flanges in compliance with DIN EN 13555. The results of an analytical design concept showed good agreement with the experiment results and the finite element simulation.
Figure 1-20 Test rig for experimental investigations on bolted flange connections DN50 (without displacement transducers) (Kurz and Roos 2012)
Following the design concept, the material reduction factors that lead to higher allowable bolt forces, can be neglected and therefore that accompanied by increased tightness and operational reliability of the plants.
Finally, they compared the displacements due to the rotation of the loose flange as illustrated in figure 1.20 and showed an excellent agreement between all methods
Figure 1-21 The displacements due to rotation of the loose flange (Kurz and Roos 2012)
Sun and Blach (1995) conducted an experimental investigation on FRP bolted flange joints with full-faced gasket. They attempted to demonstrate the effect of flange thickness on the mechanical properties of FRP flanges. Having different thicknesses at its ends, FRP flange was made of glass material and woven roving and was impregnated with the same resin. The polymer matrix is a vinyl ester. The vessel had a veil liner as a corrosive barrier. They used two kinds of 3 mm thick full-faced gasket. One was made of compressed asbestos and the other was made of synthetic rubber. The test parameters were:
- Pressure (kPa) = 0, 138, 276, 414;
- Bolt load (MPa) = 50, 100, 150;
- Temperature = Room temperature.
They conducted several tests at both the bolt-up and operating conditions on a FRP flange joint.
In order to obtain a smaller flange width, they machined the flange after each test to reduce its outside diameter. They also discussed two analytical models for FRP flange based on Taylor Forge method but no quantitative comparisons were made. In addition, the authors proposed the use of finite element analysis for FRP flanges.
1.7 Conclusion
Over the last decades, a substantial research effort has been dedicated to the study of FRP bolted flange joints and characterization of composite flange behavior in different conditions. In general, a bolted flange joint is designed to connect pressure vessels and equipment without leakage (Nechache and Bouzid 2007). Sealing problems are encountered during operation of process equipment containing fluids when flanges are the convenient method of connection for reasons of fabrication, transportation, assembly, inspection, production and so on. In general, acceptable FRP bolted flange joint design must ensure that:
1. The stress levels in the flange joint are below the strength of the composite material.
2. The residual gasket load is sufficient to maintain the joint leak-tight.
The goals in bolted flanged joints are to keep a certain level of tightness and maintain reliability over a long period of time, especially at severe operating conditions such as elevated temperature and fluctuating pressure or when containing corrosive fluids.
FRP materials are increasingly used by the industry because they provide strong resistance to chemical attack and have interesting mechanical properties. They have relatively long-life expectancy; cause less environmental concerns and offer low installation and maintenance costs. These qualities make FRP an attractive material for pressure vessels and piping components. The proper flange geometry should be designed to safely transfer the bolt loads to the gasket without overstressing the flange material. This problem should adequately be addressed to composite joints because of anisotropy behavior of composite materials which is depending on the materials from which FRP bolted flange joint is fabricated.
Although the analysis of metal flanges has made enormous progress, the analysis of composite bolted flange joints remains uncomplete and its progress has been slow especially in the analytical domain. It is intuitively recognized that there is a problem of standardization in the manufacturing progress of FRP flanges so that an analytical tool can help improve structural integrity and pressure rating. In addition, the complex behavior of composites requires more efforts made by the authors on the analysis of composite flanges.
Although a lot of emphases is put towards studying the material parameters and geometric involved, a complete comprehensive model is not in sight. For example, Sun's thesis (1995), which is focused on the behavior of FRP flanges by proposing an analytical and numerical study, but the results of the analytical part are not reliable due to some errors in his analytical model. In addition, the numerical part can be much better developed and accurate, since the available software allows handling of the problem better than two decades ago. According to the presented literature on FRP bolted flanged joints, it appears that most of the proposed analytical models are based on the metallic design. Any reliable flange design should encompass the anisotropic behavior of FRP materials to determine the load distribution in any part of the flange accurately.
1.8 Research project objectives
The state of the art presented shows that the amount of research and articles on FRP bolted flange joints based on the anisotropic behavior of the composite flange is rare. Particularly, the number of studies FRP bolted flange joint analytically, numerically and experimentally is very limited. Moreover, the design calculations of composite bolted flanged joints are not adequately covered in the literature. As mentioned earlier, the material properties used in the FRP flange design calculations in ASME BPV Code Section X are those used for steel and the calculations are totally based on those for metallic joints (Taylor Forge method). In their current form, the design calculation procedures based on metallic methodology are not adequate. Some adjustments are required to account for anisotropy, flexibility, rotational limits, bearing stresses of FRP flanges and etc. This study aims to investigate these issues and propose an integrated methodology to analyze theoretically, numerically and experimentally the stresses of FRP bolted flange joints subjected to the real operating condition of initial tightening and pressurization. Therefore, the main objective of this research work is:
- To develop an analytical solution to evaluate stresses and strains in FRP bolted flanged joints considering anisotropic material behavior for FRP flange without the hub.
- Incorporate the hub in a new proposed analytical model to evaluate stresses and strains of FRP hubbed flanges.
Implement a flexibility analysis in the model to account for the elastic interaction between the different bolted joint components. The current design method considers the flange to be rigid and therefore the force in the bolt do not change with the application of pressure.
Develop different finite element models using the program ANSYS® Mechanical and ANSYS Composite PrepPost (ACP), for comparison with the analytical results and conduct validation of separate components (flange ring, hub, shell).
Conduct experimental testing to validate the analytical and numerical models and compare the parameters such as bolt load, flange rotation, stresses and strains at different locations.
CHAPTER 2
ANALYTICAL MODELING OF FRP BOLTED FLANGE JOINT
2.1 Introduction
In spite of the increased use of FRP composites in bolted flange joints and the good knowledge of these structures and their material behavior, the procedure used for their design is based on that of metallic flanges without any consideration of anisotropy. There is a major concern to appropriately address the anisotropic behavior of composite materials in a flange design. As indicated previously, it is necessary to make a precise evaluation of the load redistribution in order to be able to predict the structural integrity and leak tightness of FRP bolted flange joints.
This chapter concentrates mainly on the development of an analytical model for the fiber reinforced plastic bolted flanged joints derived from lamination theory for composite materials, taking into account the anisotropic behavior of FRP bolted flanged joints. In order to use the lamination theory in the analysis of FRP flanges especially flanges with the hub, it is necessary to derive some equations from the basic principles.
In general, composite flanges are subdivided into three major categories, namely: ring flange, hub, and cylinder. This chapter presents an analytical model to treat FRP bolted joints integrity and tightness based on anisotropy and flexibility analysis of all joint elements including the gasket, bolts and flanges and we describe the procedure for each part of the flange in detail.
The objective of this analytical study is to obtain the equations of the radial displacements and the rotations of the flange as well as the equations giving the radial, longitudinal and hoop stresses at the inside and outside surface of the flange.
2.2 Analytical model
FRP full-faced flanges with gasket having a prolonged surface from the inner edge up to the outer side of the flange, are usually characterized by rigid behavior. The wide surface of the joint requires high stress on the bolts so that this type of flange is mostly used in low pressure applications. In addition, in the full-faced flange joints soft gaskets which do not require a large clamping pressure to ensure tightness are used.
In developing the analytical model of FRP bolted flange joints, one of the objectives was that the model follows the ASME code design philosophy, bearing always in mind two important factors that are leakage tightness and structural integrity.
This part presents a theoretical approach based on a model that takes into account the flexibility of the gasket, bolts, and flanges as well as the elastic interaction between the different components of the assembly.
The analytical model of the bolted joint consists of two phases related to the operating conditions:
- Initial phase or phase i: in this first stage, the bolt-up of the flange is conducted resulting in the initial tightening of the flange. The tightening force compresses the two parts of the flange as well as the gasket and is characterized by a presumably uniform distribution of the contact pressure. Figure 2.1 (a) shows the flange in the initial phase.
- Final phase or phase f: As illustrated in figure 2.1 (b), a pressure is applied on the inside of the vessel or pipe and consequently the flange; The inside pressure also creates a hydrostatic end effect which is represented by an axial stress acting on the flat surfaces at the end of the cylindrical shell.
To simplify the analytical model of FRP bolted flange joint the following assumptions are made:
• The tightening torque during phase i is applied to the N bolts of the flange equally and simultaneously.
• The tightening force resulting from the force on the N bolts is considered to act on a circle of constant radius of the flange known as the bolt circle radius. This assumption makes it possible to consider the flange as an axisymmetric case that simplifies the analysis.
• A plane of symmetry is considered at the median plane of the joint as shown in figure 2.1 this simplifies the model to study one flange rather than the pair of flanges.
Figure 2-1 Cross-section of FRP flange in (a) initial tightening phase, (b) pressurization phase
2.3 Theoretical analysis for FRP bolted flange joints without the hub
In order to study FRP bolted flange joints analytically, first, we started to model FRP flange without the hub. FRP bolted flange joint is provided with a gasket that spreads on all its entire flat faces. For this type of flange with a full-face gasket, the centroid of a circular sector of unit width is considered to be the equilibrium pivot of the bolted joint. The model is thus considered symmetrical. The applied loads on each flange depend on the initial load on the bolts, the internal pressure and the reaction of the gasket.
Due to the pre-tightening of the bolts, the gasket is considered to be compressed uniformly in the circumferential direction and the flanges rotate slightly around the gasket reaction diameter. When applying pressure from inside, the two flanges tend to separate from each other and results in the unloading of the gasket as well as an additional increase in the rotation of the flanges. However, in reality, the rotation may appear in both radial and tangential directions depending on the bolt spacing and the applied pressure. It is worth noting that the behavior of such assembly under the operating conditions, depends on many parameters (Bouzid 1994).
This model consists of three essential mechanical elements, flange, bolts, and gasket. Each element is represented by simple elastic spring of linear stiffness $k_g$, linear stiffness $k_b$, and rotational stiffness $k_f$ for the gasket, bolts, and flange respectively. The solution of the flange is obtained from classical lamination theory. Basic knowledge of lamination theory for composite materials can be found in Ashton (1969) and R.M. Jones (1980).
In order to study FRP bolted flange joint analytically, a flange without the hub is divided into two distinct parts which are linked together through the edge loads to satisfy equilibrium. Figure 2.2 (a) shows the flange in phase i or bolt-up and figure 2.2 (b) shows the flange in phase f or pressurization. Point 1 in the figure is considered as the junction point between the ring and shell.
2.3.1 Analytical model of the shell (Cylinder theory)
The cylinder part of the FRP flange is modeled as an axisymmetric laminated shell which is subjected to internal pressure $p_0$ and edge loads $p_w$. The shell is considered as a long cylinder of semi-infinite length i.e. the length is greater than $\pi/b$. The thin shell theory will apply for cases with a thickness-to-radius ratio less than or equal to 0.1. At the finite end, the shell is...
subjected to the discontinuity shear force $Q$ and edge moment $M$. The long thin cylinder equations for the displacements, rotation, bending moments, and shearing forces in terms of conditions at any locations $x$ are given by the theory of beams on elastic foundation. The analytical models of the shell in two phases of bolt-up and pressurization are shown in figure 2.3.
As illustrated in figure 2.3:
$Q_1^i$ and $Q_1^f$ are the shear forces at the junction of the ring and the shell;
$M_1^i$ and $M_1^f$ are the bending moment at the junction of the ring and the shell;
$p_o$ is a pressure on the inside surface of the shell;
$p_w$ is the effect of hydrostatic end pressure on the top surface of the shell;
$N_x$ is the hydrostatic end force;
Due to the axial symmetry that applies to the shell and its loading forces, none of the variables depends on the angle $\theta$. Consequently, all the partial derivatives with respect to $\theta$ in the equilibrium equations are equal to zero.
As shown in figure 2.4 the equilibrium equations for the shell in $x\theta$ coordinate system can be derived as:
$$N_x = cste \quad (2.1)$$
$$\frac{dN_{x\theta}}{dx} + \frac{1}{r} \frac{dM_{x\theta}}{dx} = 0 \quad (2.2)$$
$$\frac{d^2M_S}{dx^2} - \frac{N_\theta}{r} = -p_o \quad (2.3)$$
Figure 2-4 Shell element model
The relation between the forces and moments resultant and the strains in a thin laminate in \(xy\) coordinate system is:
\[
\begin{bmatrix}
N_x \\
N_y \\
N_{xy} \\
M_x \\
M_y \\
M_{xy}
\end{bmatrix} =
\begin{bmatrix}
A_{s,11} & A_{s,12} & A_{s,16} & B_{s,11} & B_{s,12} & B_{s,16} \\
A_{s,12} & A_{s,22} & A_{s,26} & B_{s,12} & B_{s,22} & B_{s,26} \\
A_{s,16} & A_{s,26} & A_{s,66} & B_{s,16} & B_{s,26} & B_{s,66} \\
B_{s,11} & B_{s,12} & B_{s,16} & D_{s,11} & D_{s,12} & D_{s,16} \\
B_{s,12} & B_{s,22} & B_{s,26} & D_{s,12} & D_{s,22} & D_{s,26} \\
B_{s,16} & B_{s,26} & B_{s,66} & D_{s,16} & D_{s,26} & D_{s,66}
\end{bmatrix}
\begin{bmatrix}
\varepsilon^0_x \\
\varepsilon^0_y \\
\gamma^0_{xy} \\
\kappa_x \\
\kappa_y \\
\kappa_{xy}
\end{bmatrix}
\]
(2.4)
where: \(A_{ij}, B_i\) and \(D_{ij}\) are the stiffness coefficients and can be defined as follows:
\[
A_{s,ij} = \sum_{k=1}^{N} (Q_{ij})_k (z_k - z_{k-1})
\]
(2.5)
\[
B_{s,ij} = \frac{1}{2} \sum_{k=1}^{N} (Q_{ij})_k (z_k^2 - z_{k-1}^2)
\]
(2.6)
\[
D_{s,ij} = \frac{1}{3} \sum_{k=1}^{N} (Q_{ij})_k (z_k^3 - z_{k-1}^3)
\]
(2.7)
According to the symmetrical laminate shell:
\[
A_{p,16} = A_{p,26} = 0
\]
\[
A_{s,16} = 0
\]
\[
A_{s,26} = 0
\]
\[
[B] = 0,
\]
The stress resultants are further related to shell displacement:
\[
N_x = cste = A_{s,11} \frac{dw^0}{dx} - A_{s,12} \frac{u}{r}
\]
(2.8)
\[ N_\theta = A_{s,12} \frac{dw^0}{dx} - A_{s,22} \frac{u}{r} \]
(2.9)
\[ M_x = -D_{s,11} \frac{d^2 u}{dx^2} \]
(2.10)
\[ M_\theta = -D_{s,12} \frac{d^2 u}{dx^2} = -\frac{D_{s,12}}{D_{s,11}} M_r \]
(2.11)
\[ M_{x\theta} = -\frac{D_{s,16}}{D_{s,11}} M_r \]
(2.12)
Combining Eqs. (2.8) and (2.9), it is possible to express \( N_\theta \) as a function of:
\[ N_\theta = \frac{u}{r} \left( A_{s,22} - \frac{A_{s,12}^2}{A_{s,11}} \right) + \frac{A_{s,12}}{A_{s,11}} N_x \]
(2.13)
From Eqs. (2.10) and (2.13) the following is obtained:
\[ D_{s,11} \frac{d^4 u}{dx^4} + \frac{u}{r^2} \left( A_{s,22} - \frac{A_{s,12}^2}{A_{s,11}} \right) + \frac{A_{s,12}}{A_{s,11}} \frac{N_x}{r} = p_o \]
(2.14)
The radial displacement of the shell after integration is given by:
\[ u = C_1 e^{\beta_s x} \cos(\beta_s x) + C_2 e^{\beta_s x} \sin(\beta_s x) + C_3 e^{-\beta_s x} \cos(\beta_s x) + C_4 e^{-\beta_s x} \sin(\beta_s x) \]
(2.15)
where
\[ \beta_s = \left[ \frac{A_{s,22} A_{s,11} - A_{s,12}^2}{4 r_s^2 D_{s,11} A_{s,11}} \right]^{1/4} \]
(2.16)
The general solution after simplification of Eq. (2.15) is:
\[ u = e^{\beta_s x} [C_1 \cos(\beta_s x) + C_2 \sin(\beta_s x)] + e^{-\beta_s x} [C_3 \cos(\beta_s x) + C_4 \sin(\beta_s x)] \]
(2.17)
The integral constants \( C_1, C_2, C_3 \) and \( C_4 \) will be determined from the boundary conditions. Since the cylinder is considered as a long and infinite shell, the displacement of the shell is zero when \( x \) tends to infinity.
\[ \lim_{x \to +\infty} u = 0 \]
(2.18)
And therefore:
\[ \lim_{x \to +\infty} \frac{du}{dx} = \lim_{x \to +\infty} \Theta = 0 \]
(2.19)
This will result in:
\( C_1 = 0 \) and \( C_2 = 0 \).
Substituting \( C_1 \) and \( C_2 \) in the Eq. (2.17), we get:
\[ u = e^{-\beta_s x} [C_3 \cos(\beta_s x) + C_4 \sin(\beta_s x)] \]
(2.20)
The constants \( C_3 \) and \( C_4 \) are determined from the compatibility and boundary conditions: At \( x = 0 \), then, \( M = M_j^n \) and \( Q = Q_j^n \).
Therefore, the displacement including the effect of pressure and rotation is given by:
\[ u = \frac{1}{2\beta_s^2 D_{s,11}} e^{-\beta_s x} [Q_1^n \cos(\beta_s x) + \beta_s M_1^n (\cos(\beta_s x) - \sin(\beta_s x))] + \frac{A_{s,11} - \frac{1}{2} A_{s,12}}{4\beta_s^2 A_{s,11} D_{s,11}} p_o \]
(2.21)
\[ \psi = \frac{du}{dx} = \frac{1}{2\beta_s^2 D_{s,11}} e^{-\beta_s x} \left[ Q_1^u (\cos(\beta_s x) - \sin(\beta_s x)) + 2\beta_s M_1^u (\cos(\beta_s x)) \right] \tag{2.22} \]
### 2.3.2 Analytical model of the flange ring (ring theory)
For the analytical analysis of FRP flanges, a number of theories were developed by Black (1994) and Sun (1995) but the theory based on the Kirchhoff-Love hypothesis can better characterize their behavior. In this theory, the transverse shear deformation is neglected and after deformation, the straight lines normal to the middle surface remain straight and undergo no thickness stretching.
As shown in this figure:
- \( F_B^t \) and \( F_B^f \) are the tightening force that applied through the bolts;
- \( F_G^t \) and \( F_G^f \) are the forces resulting from compressing the gasket;
- \( Q_1^t \) and \( Q_1^f \) are the shear forces at the junction of the ring and the shell;
$M_1^t$ and $M_1^{tf}$ are the bending moment at the junction of the ring and the shell;
$p_o$ is a pressure on the inside surface of the ring;
$N_x$ is the membrane force due to hydrostatic end effect;
The ring part of the composite flange is considered to be a circular ring subjected to a moment in the tangential direction and ring loads in the radial and axial directions on its free inner edge and balanced by simple support on its outer edge. The analytical model of the ring subjected to bolt-up and pressurization is shown in Figure 2.5. The ring part of the composite flange is considered to be a circular ring subjected to a moment in the tangential direction and ring loads in the radial and axial directions on its free inner edge and balanced by simple support on its outer edge. Therefore, the theory of a thick-walled cylinder must be used to obtain the radial displacement of the ring.
According to the theory of thin plates, the transverse displacement $w$ of the ring in the x-direction subjected to a concentrated force can be expressed as follows:
$$w(r) = \frac{Fr^2}{8\pi D_{p,11}} \left( \ln \left( \frac{r}{r_o} \right) - 1 \right) - C_2 \ln \left( \frac{r}{r_o} \right) - \frac{C_1 r^2}{4} + C_3$$
(2.23)
The rotation about a tangential axis of the ring is obtained from the derivation with respect to $r$ of $w$:
$$\psi(r) = \frac{dw}{dr} = \frac{Fr}{8\pi D_{p,11}} \left( 2 \ln \left( \frac{r}{r_o} \right) - 1 \right) - \frac{C_2}{r} - \frac{C_1 r}{2}$$
(2.24)
where $F$ is the force applied to the ring. The constants $C_1$, $C_2$ and $C_3$ are determined from the following boundary conditions:
at $r = r_l$, \quad w = 0
(2.25)
at \( r = r_i \), \quad M_r = M_1^n - \frac{t_f}{2} Q_1^n \tag{2.26}
at \( r = r_o \), \quad M_r = 0 \tag{2.27}
where n is equal to i for the bolt-up and f for the pressurization.
\[
M_r = D_{p,11} \frac{d^2 w}{dr^2} + \frac{D_{p,12}}{r} \frac{dw}{dr} \tag{2.28}
\]
Then the constants are obtained as follows:
\[
C_1 = -\frac{1}{4\pi D_{p,11}(r_o^2 - r_i^2)(D_{p,11} + D_{p,12})} \left[ (D_{p,12} - D_{p,11})(r_o^2 - r_i^2)F + 2(D_{p,12} + D_{p,11})r_i^2 \log \left( \frac{r_i}{r_o} \right) - 8\pi r_i^2 D_{p,11} \left( M_1^n - \frac{t_f}{2} Q_1^n \right) \right] \tag{2.29}
\]
\[
C_2 = \frac{r_o^2 r_i^2}{4\pi D_{p,11}(r_o^2 - r_i^2)(D_{p,11} - D_{p,12})} \left[ 4\pi D_{p,11} \left( M_1^n - \frac{t_f}{2} Q_1^n \right) - (D_{p,12} + D_{p,11}) \log \left( \frac{r_i}{r_o} \right) F \right] \tag{2.30}
\]
\[
C_3 = \frac{-r_i^2}{16\pi D_{p,11}(r_o^2 - r_i^2)(D_{p,11}^2 - D_{p,12}^2)} \left[ (D_{p,12}^2 - 3D_{p,11}^2 + 2D_{p,12}D_{p,11})(r_o^2 - r_i^2)F - 8\pi r_i^2 (D_{p,11}^2 - D_{p,12}D_{p,11}) \left( M_1^n - \frac{t_f}{2} Q_1^n \right) - 2r_o^2 (D_{p,12}^2 - D_{p,11}^2) \log \left( \frac{r_i}{r_o} \right) F - 4r_o^2 (D_{p,12}^2 + D_{p,11}^2 + 2D_{p,12}D_{p,11}) \log^2 \left( \frac{r_i}{r_o} \right) F - 16\pi r_o^2 (D_{p,11}^2 - D_{p,12}D_{p,11}) \log \left( \frac{r_i}{r_o} \right) \left( M_1^n - \frac{t_f}{2} Q_1^n \right) \right] \tag{2.31}
\]
Therefore, substituting for the constant C’s Eq. (2.24) becomes:
\[
\psi(r) = \frac{dw}{dr} = \frac{rF}{8\pi D_{p,11}} \left( 2 \log \left( \frac{r}{r_o} \right) - 1 \right) + \frac{r}{8\pi D_{p,11}(r_o^2 - r_i^2)(D_{p,11} + D_{p,12})} \left( (r_o^2 - r_i^2)(D_{p,12} - D_{p,11})F + 2r_i^2 (D_{p,12} + D_{p,11}) \log \left( \frac{r_i}{r_o} \right) F - 8\pi r_i^2 D_{p,11} \left( M_1^n - \frac{t_f}{2} Q_1^n \right) \right) +
\frac{r_o^2 r_i^2}{4\pi r D_{p,11}(r_o^2 - r_i^2)(D_{p,11} - D_{p,12})} \left( (D_{p,12} + D_{p,11}) \log \left( \frac{r_i}{r_o} \right) F - 4\pi D_{p,11} \left( M_1^n - \frac{t_f}{2} Q_1^n \right) \right) \tag{2.32}
\]
In order to obtain the displacement of the flange ring $u$ in the radial direction, the theory of thick-walled cylinder subjected to radial pressure is used. The displacement of the ring in different directions (r, $\Theta$, and x) according to the classical theory of axisymmetric bending plate are given as follows:
$$u^f(r,x) = u_0^f(r) + x\psi(r) \quad (2.33)$$
$$v^f(r,x) = 0 \quad (2.34)$$
$$w^f(r,x) = w_0^f(r) \quad (2.35)$$
where $u^f, v^f$ and $w^f$ are the ring displacement in the r, $\theta$ and x respectively. The subscript 0 refers to the midplane displacement of the ring.
The strain-displacement relationships in a cylindrical coordinate are as follows:
$$\varepsilon_r = \frac{\partial u}{\partial r} \quad (2.36)$$
$$\varepsilon_\theta = \frac{1}{r} \frac{\partial v}{\partial \theta} + \frac{u}{r} \quad (2.37)$$
$$\varepsilon_x = \frac{\partial w}{\partial x} \quad (2.38)$$
$$\varepsilon_{rx} = \frac{1}{2} \left( \frac{\partial u}{\partial x} + \frac{\partial w}{\partial r} \right) \quad (2.39)$$
$$\varepsilon_{\theta x} = \frac{1}{2} \left( \frac{\partial v}{\partial x} + \frac{1}{r} \frac{\partial w}{\partial \theta} \right) \quad (2.40)$$
$$\varepsilon_{r\theta} = \frac{1}{2} \left( \frac{1}{r} \frac{\partial u}{\partial \theta} + \frac{\partial v}{\partial r} - \frac{v}{r} \right) \quad (2.41)$$
The definition of the linear strain tensor is:
$$\varepsilon_{ij} = \frac{1}{2} \left( u_{i,j} + u_{j,i} \right) \quad (2.42)$$
According to the strain-displacement relation in a cylindrical coordinate system, the strains for these deformations are:
\[
\varepsilon_r = \frac{du_0^f}{dr} + x \frac{d\psi}{dr}
\]
(2.43)
\[
\varepsilon_\theta = \frac{u_0^f}{r} + x \frac{\psi}{r}
\]
(2.44)
\[
\varepsilon_x = 0
\]
(2.45)
\[
\varepsilon_{rx} = \frac{1}{2} \left( \psi + \frac{dw_0^f}{dr} \right)
\]
(2.46)
\[
\varepsilon_{\theta x} = 0
\]
(2.47)
\[
\varepsilon_{r\theta} = 0
\]
(2.48)
The principle of minimum total energy is used, in order to derive the governing equilibrium equations of the classic laminate plate theory. The strain energy for the circular plate is obtained from:
\[
U = \frac{1}{2} \int_0^{2\pi} \int_{r_i}^{r_0} \int_{-\frac{t}{2}}^{\frac{t}{2}} (\sigma_r \varepsilon_r + \sigma_\theta \varepsilon_\theta + \sigma_x \varepsilon_x + 2 \sigma_{r\theta} \varepsilon_{r\theta} + 2 \sigma_{rx} \varepsilon_{rx} + 2 \sigma_{\theta x} \varepsilon_{\theta x}) dx \, rdr \, d\theta
\]
(2.49)
By integrating the above equation in respect to $\theta$ and considering only non-zero terms of this equation, the strain energy within the plate becomes:
\[
U = \pi \int_{r_i}^{r_0} \left[ \frac{du_0^f}{dr} \int_{-\frac{t}{2}}^{\frac{t}{2}} \sigma_r \, dx + \frac{d\psi}{dr} \int_{-\frac{t}{2}}^{\frac{t}{2}} \sigma_x \, dx + \frac{u_0^f}{r} \int_{-\frac{t}{2}}^{\frac{t}{2}} \sigma_\theta \, dx + \frac{\psi}{r} \int_{-\frac{t}{2}}^{\frac{t}{2}} \sigma_\theta \, dx + \psi \int_{-\frac{t}{2}}^{\frac{t}{2}} \sigma_{rx} \, dx + \frac{dw_0^f}{dr} \int_{-\frac{t}{2}}^{\frac{t}{2}} \sigma_{rx} \, dx \right] rdr
\]
(2.50)
Then, the in-plane force resultants are obtained:
\[ N_r = \int_{-\frac{t}{2}}^{\frac{t}{2}} \sigma_r \, dx \] \hspace{1cm} (2.51)
\[ N_\theta = \int_{-\frac{t}{2}}^{\frac{t}{2}} \sigma_\theta \, dx \] \hspace{1cm} (2.52)
The shear forces are:
\[ Q_{rx} = \int_{-\frac{t}{2}}^{\frac{t}{2}} \sigma_{rx} \, dx \] \hspace{1cm} (2.53)
And the moments are:
\[ M_r = \int_{-\frac{t}{2}}^{\frac{t}{2}} \sigma_r x \, dx \] \hspace{1cm} (2.54)
\[ M_\theta = \int_{-\frac{t}{2}}^{\frac{t}{2}} \sigma_\theta x \, dx \] \hspace{1cm} (2.55)
By substituting for the stresses in Eq. (2.50), the strain energy in terms of loads is obtained:
\[ U = \pi \int_{r_1}^{r_0} u_0^f \left( \frac{d}{dr} N_r r + N_\theta \right) dr + \pi \int_{r_1}^{r_0} \Psi \left( \frac{d}{dr} M_r r + M_\theta \right) dr + \pi \int_{r_1}^{r_0} \Psi Q_{rx} r dr + \pi \int_{r_1}^{r_0} \frac{d}{dr} w_0^f Q_{rx} r dr \] \hspace{1cm} (2.56)
The work done on the ring by the different loads is given as:
\[ V = (p_o t 2\pi r_i) u_A^f + (F_G 2\pi r_G) w_G^f + (-F_B 2\pi r_B) w_B^f + (-M_A 2\pi r_i) \Psi_A^f \] \hspace{1cm} (2.57)
The work-energy theorem states that the net work done by the forces is equal to the change in its kinetic energy or the energy stored in the form of deformation in the system. Therefore:
\[ U = V \]
(2.58)
This may be written as:
\[
\pi \int_{r_1}^{r_0} u_0^f \left( \frac{d}{dr} N_r r + N_\theta \right) dr + \pi \int_{r_1}^{r_0} \psi \left( \frac{d}{dr} M_r r + M_\theta \right) dr + \pi \int_{r_1}^{r_0} \psi Q_{rx} r dr + \\
\pi \int_{r_1}^{r_0} \frac{d}{dr} w_0^f Q_{rx} r dr = (p_o t \pi r_i) \times u_A^f + (F_G 2 \pi r_G) \times w_G^f + (-F_B 2 \pi r_B) \times w_B^f + (-M_A \pi r_i) \times \psi_A^f
\]
(2.59)
The equations of equilibrium are then obtained:
\[
\delta u_0^f : \quad N_\theta - \frac{d(rN_r)}{dr} = 0
\]
(2.60)
\[
\delta \psi : \quad M_\theta + rQ_{rx} - \frac{d}{dr}(rM_r) = 0
\]
(2.61)
\[
\delta w_0^f : \quad \frac{d}{dr}(rQ_{rx}) = 0
\]
(2.62)
With the following boundary conditions:
At \( r = r_i \):
\[
rN_r = r_i(-p_o t + Q)
\]
(2.63)
\[
rM_r = r_i(M + \frac{Qt}{2})
\]
(2.64)
\[
rQ_{rx} = -r_i F
\]
(2.65)
At \( r = r_0 \):
\[
N_r = 0
\]
(2.66)
\[
M_r = 0
\]
(2.67)
\[
w_0^f = 0
\]
(2.68)
By considering Hooke’s law, we get:
\[
\varepsilon_r = \frac{1}{E_r} (\sigma_r - v_r \sigma_\theta) \tag{2.69}
\]
\[
\varepsilon_\theta = \frac{1}{E_\theta} (\sigma_\theta - v_\theta \sigma_r) \tag{2.70}
\]
\[
\varepsilon_{rx} = \frac{1}{2G_{rx}} \sigma_{rx} \tag{2.71}
\]
where \(E_r\) and \(E_\theta\) are Young's modulus in the radial and tangential directions; \(v_r\) and \(v_\theta\) are the Poisson coefficients \((E_r v_\theta = E_\theta v_r)\); \(G_{rx}\) is the shear modulus in the plane r-x.
There as the stresses are obtained by:
\[
\sigma_r = Q_{rr} \varepsilon_r + Q_{r\theta} \varepsilon_\theta \tag{2.72}
\]
\[
\sigma_\theta = Q_{r\theta} \varepsilon_r + Q_{\theta\theta} \varepsilon_\theta \tag{2.73}
\]
\[
\sigma_{rx} = Q_{rx} \varepsilon_{rx} \tag{2.74}
\]
where the elastic coefficients \(Q\)'s are:
\[
Q_{rr} = \frac{E_r}{1-v_r v_\theta} \tag{2.75}
\]
\[
Q_{r\theta} = \frac{E_r v_\theta}{1-v_r v_\theta} \tag{2.76}
\]
\[
Q_{\theta\theta} = \frac{E_\theta}{1-v_r v_\theta} \tag{2.77}
\]
\[
Q_{rx} = 2G_{rx} \tag{2.78}
\]
Therefore, the plate forces and moments of Eqs. (2.51) to (2.55) can be expressed in terms of displacement and rotation:
\[ N_r = \int_{-\frac{t}{2}}^{\frac{t}{2}} \left[ Q_{rr} \left( \frac{du_0^f}{dr} + x \frac{d\psi}{dr} \right) + Q_{r\theta} \left( \frac{u_0^f}{r} + x \frac{\psi}{r} \right) \right] dx \tag{2.79} \]
\[ N_\theta = \int_{-\frac{t}{2}}^{\frac{t}{2}} \left[ Q_{r\theta} \left( \frac{du_0^f}{dr} + x \frac{d\psi}{dr} \right) + Q_{\theta\theta} \left( \frac{u_0^f}{r} + x \frac{\psi}{r} \right) \right] dx \tag{2.80} \]
\[ M_r = \int_{-\frac{t}{2}}^{\frac{t}{2}} \left[ Q_{rr} \left( \frac{du_0^f}{dr} + x \frac{d\psi}{dr} \right) + Q_{r\theta} \left( \frac{u_0^f}{r} + x \frac{\psi}{r} \right) \right] x \, dx \tag{2.81} \]
\[ M_\theta = \int_{-\frac{t}{2}}^{\frac{t}{2}} \left[ Q_{r\theta} \left( \frac{du_0^f}{dr} + x \frac{d\psi}{dr} \right) + Q_{\theta\theta} \left( \frac{u_0^f}{r} + x \frac{\psi}{r} \right) \right] x \, dx \tag{2.82} \]
\[ Q_{rx} = \int_{-\frac{t}{2}}^{\frac{t}{2}} \left[ \frac{Q_{rx}}{2} \left( \psi + \frac{dw_0^f}{dr} \right) \right] dx \tag{2.83} \]
Then, these equations can be simplified to:
\[ N_r = \frac{du_0^f}{dr} A_{p,11} + \frac{d\psi}{dr} B_{p,11} + \frac{u_0^f}{r} A_{p,12} + \frac{\psi}{r} B_{p,12} \tag{2.84} \]
\[ N_\theta = \frac{du_0^f}{dr} A_{p,12} + \frac{d\psi}{dr} B_{p,12} + \frac{u_0^f}{r} A_{p,22} + \frac{\psi}{r} B_{p,22} \tag{2.85} \]
\[ M_r = \frac{du_0^f}{dr} B_{p,11} + \frac{d\psi}{dr} D_{p,11} + \frac{u_0^f}{r} B_{p,12} + \frac{\psi}{r} D_{p,12} \tag{2.86} \]
\[ M_\theta = \frac{du_0^f}{dr} B_{p,12} + \frac{d\psi}{dr} D_{p,12} + \frac{u_0^f}{r} B_{p,22} + \frac{\psi}{r} D_{p,22} \tag{2.87} \]
\[ Q_{rx} = \frac{1}{2} \left( \psi + \frac{dw_0^f}{dr} \right) A_{p,16} \tag{2.88} \]
where the stiffness coefficients for the ring are:
\[ (A_{p,11}, A_{p,12}, A_{p,22}) = \int_{-\frac{t}{2}}^{\frac{t}{2}} (Q_{rr}, Q_{r\theta}, Q_{\theta\theta}) \, dx \tag{2.89} \]
\[ (B_{p,11}, B_{p,12}, B_{p,22}) = \int_{-\frac{t}{2}}^{\frac{t}{2}} (Q_{rr}, Q_{r\theta}, Q_{\theta\theta}) \, x \, dx \tag{2.90} \]
\[
(D_{p,11}, D_{p,12}, D_{p,22}) = \int_{-\frac{t}{2}}^{\frac{t}{2}} (Q_{rr}, Q_{r\theta}, Q_{\theta\theta}) x^2 dx \tag{2.91}
\]
\[A_{p,16} = \int_{-\frac{t}{2}}^{\frac{t}{2}} (Q_{rx}) dx \tag{2.92}\]
When the material properties are symmetrical with respect to the plate mid-plane then:
\[B_{p,11} = B_{p,12} = B_{p,22} = 0 \tag{2.93}\]
The forces and moments (2.84) to (2.88) can be simplified to:
\[N_r = \frac{du_0^f}{dr} A_{rr} + \frac{u_0^f}{r} A_{r\theta} \tag{2.94}\]
\[N_\theta = \frac{du_0^f}{dr} A_{p,11} + \frac{u_0^f}{r} A_{p,12} \tag{2.95}\]
\[M_r = \frac{d\psi}{dr} D_{p,12} + \frac{\psi}{r} D_{p,12} \tag{2.96}\]
\[M_\theta = \frac{d\psi}{dr} D_{p,12} + \frac{\psi}{r} D_{p,11} \tag{2.97}\]
\[Q_{rx} = \frac{1}{2} \left( \psi + \frac{dw_0^f}{dr} \right) A_{p,16} \tag{2.98}\]
Now, the equilibrium Eqs. (2.60), (2.61) and (2.62) can be rearranged as follows:
\[\delta u_0^f : r^2 \frac{d^2 u_0^f}{dr^2} + r \frac{du_0^f}{dr} - \frac{A_{p,22}}{A_{p,11}} u_0^f = 0 \tag{2.99}\]
With the following boundary condition:
At \(r = r_i, \ rQ_{rx} = -r_i F \tag{2.100}\)
Then
\[ r \frac{d^2 \psi}{dr^2} + \frac{d\psi}{dr} - \frac{D_{p,22}\psi}{D_{p,11}r} = -\frac{r_1 F}{D_{p,11}} \]
(2.101)
Hence, equation (2.99) becomes:
\[ u_0^f = \frac{(p_0 t - Q)(r_0)^{m_2-1}}{4(A_{p,12} + \sqrt{A_{p,22}A_{p,11}})\Delta} r^{m_1} + \frac{(-p_0 t + Q)(r_0)^{m_1-1}}{4(A_{p,12} - \sqrt{A_{p,22}A_{p,11}})\Delta} r^{m_2} \]
(2.102)
where:
\[ m_1 = \sqrt{\frac{A_{p,22}}{A_{p,11}}} \]
\[ m_2 = -m_1 \]
\[ \Delta = (2r_o)^{m_1-1}(2r_1)^{m_2-1} - (2r_o)^{m_2-1}(2r_1)^{m_1-1} \]
(2.103)
In the case of equivalent elastic properties of the ring in the radial and tangential directions, we get:
\[ A_{p,22} = A_{p,11} \]
\[ m_1 = -m_2 = 1 \]
\[ \Delta = \frac{r_o^2 - r_1^2}{2r_o^2 r_1^2} \]
Therefore, the radial displacement of the ring is given by:
\[ u_0^f(r) = \frac{(p_0 t - Q)r_o^2}{(A_{p,12} + A_{p,11})(r_o^2 - r_1^2)} \times r + \frac{(-p_0 t + Q)r_o^2 r_1^2}{4(A_{p,12} - A_{p,11})(r_o^2 - r_1^2)} \times \frac{1}{r} \]
(2.104)
2.4 Theoretical analysis of FRP bolted flange joints with the hub
The analytical model of FRP bolted flange joint with the hub is illustrated in figure 2.6. In order to study FRP flange bolted flange joint analytically, a flange with the hub is divided into three distinct parts which are connected to one another. Figure 2.6 (a) shows the flange in phase $n=i$ or bolt-up and figure 2.6 (b) shows the flange in phase $n=f$ or pressurization. Point 1 in the figure is considered as the junction point between the ring and the shell and point 2 is considered as the junction point between hub and shell. It is important to note that the analytical approach for the ring and the shell of the FRP flange with the hub is the same as the model elaborated in section 2.3. Therefore, in this part, the analytical model of only the hub is developed and elaborated in detail based on the beam on elastic foundation theory applied to short thin cylinders. Nevertheless, for reiteration, the theories used for the shell and ring are the theory of the beams on an elastic foundation for long cylinders and the theory of thin plate under bending respectively.
As mentioned earlier, For FRP flanges with a full-face gasket the centroid of a circular sector of the unit width is considered to be in equilibrium in all directions. To simplify the analysis considerably, the thickness of the hub is assumed to be small compared to the radius, then the mid-surface line of the hub remains almost parallel to that for the shell. It is also fair to assume that the model is considered symmetrical. It is intuitively recognized that the applied loads on each flange depend on the initial load on the bolts, the internal pressure and the reaction of the gasket.
2.4.1 Analytical model of the hub
The analytical model of the hub can be simplified by a thin cylinder subjected to an axisymmetric loading. Figure 2.7 depicts the analytical model of the hub at bolt-up and pressurization.
Figure 2-6 Analytical model for the FRP flange with the hub (a) bolt-up (b) pressurization
In this model, the length of the hub is considered short less than $\pi/\beta$ and the thickness of the hub to its radius is less than 0.1 such that thin cylinder theory can be used. At the top and bottom surface of the hub, it is subjected to the discontinuity shear force $Q$ and moment $M$ in addition to the hydrostatic end force $N_x$.
As shown in figure 2.6:
- $Q_1^i$ and $Q_1^f$ are the shear forces at the junction of the ring and the shell;
- $M_1^i$ and $M_1^f$ are the bending moment at the junction of the ring and the shell;
- $p_o$ is a pressure on the inside surface of the shell;
- $N_x$ is the membrane force produced by the hydrostatic end force;
Similar to the shell analysis, due to the axial symmetry of the hub, none of the variables depends on the angle $\theta$ and consequently, all the partial derivatives with respect to $\theta$ are equal to zero.
The equilibrium equations of the hub can be derived as:
\[ N_x = \text{cste} \] \hspace{1cm} (2.105)
\[ \frac{dN_{x\theta}}{dx} + \frac{1}{r} \frac{dM_{x\theta}}{dx} = 0 \] \hspace{1cm} (2.106)
\[ \frac{d^2M_x}{dx^2} - \frac{N_\theta}{r} = -p_o \] \hspace{1cm} (2.107)
The relation between the stress resultants and strains are:
\[
\begin{pmatrix}
N_x \\
N_y \\
N_{xy} \\
M_x \\
M_y \\
M_{xy}
\end{pmatrix}
=
\begin{bmatrix}
A_{h,11} & A_{h,12} & A_{h,16} & B_{h,11} & B_{h,12} & B_{h,16} \\
A_{h,12} & A_{h,22} & A_{h,26} & B_{h,12} & B_{h,22} & B_{h,26} \\
A_{h,16} & A_{h,26} & A_{h,66} & B_{h,16} & B_{h,26} & B_{h,66} \\
B_{h,11} & B_{h,12} & B_{h,16} & D_{h,11} & D_{h,12} & D_{h,16} \\
B_{h,12} & B_{h,22} & B_{h,26} & D_{h,12} & D_{h,22} & D_{h,26} \\
B_{h,16} & B_{h,26} & B_{h,66} & D_{h,16} & D_{h,26} & D_{h,66}
\end{bmatrix}
\begin{pmatrix}
\varepsilon_x^0 \\
\varepsilon_y^0 \\
\gamma_{xy}^0 \\
k_x \\
k_y \\
k_{xy}
\end{pmatrix}
\] \hspace{1cm} (2.108)
where:
\( A_{ij}, B_i \) and \( D_{ij} \) are the stiffness coefficients and can be defined as follows:
\[ A_{h,ij} = \sum_{k=1}^{N} \left( Q_{ij} \right)_k (z_k - z_{k-1}) \] \hspace{1cm} (2.109)
\[ B_{h,ij} = \frac{1}{2} \sum_{k=1}^{N} \left( Q_{ij} \right)_k (z_k^2 - z_{k-1}^2) \] \hspace{1cm} (2.110)
\[ D_{h,ij} = \frac{1}{3} \sum_{k=1}^{N} \left( Q_{ij} \right)_k (z_k^3 - z_{k-1}^3) \] \hspace{1cm} (2.111)
According to the symmetrical laminate shell:
\[ A_{p,16} = A_{p,26} = 0 \]
\[ A_{h,16} = 0 \]
\[ A_{h,26} = 0 \]
\[ [B] = 0, \]
The forces and moments resultant are further related to the shell displacement:
\[
N_x = cste = A_{h,11} \frac{dw^0}{dx} - A_{h,12} \frac{u}{r}
\]
(2.112)
\[
N_\theta = A_{h,12} \frac{dw^0}{dx} - A_{h,22} \frac{u}{r}
\]
(2.113)
\[
M_x = -D_{h,11} \frac{d^2 u}{dx^2}
\]
(2.114)
\[
M_\theta = -D_{h,12} \frac{d^2 u}{dx^2} = -\frac{D_{h,12}}{D_{h,11}} M_r
\]
(2.115)
\[
M_{x\theta} = -\frac{D_{h,16}}{D_{h,11}} M_r
\]
(2.116)
It is possible to obtain \( N_\theta \) in term of \( N_x \) such that: as:
\[
N_\theta = \frac{u}{r} \left( A_{h,22} - \frac{A_{h,12}^2}{A_{h,11}} \right) + \frac{A_{h,12}}{A_{h,11}} N_x
\]
(2.117)
From equations (2.114) and (2.117) the following is obtained:
\[
D_{h,11} \frac{d^4 u}{dx^4} + \frac{u}{r^2} \left( A_{h,22} - \frac{A_{h,12}^2}{A_{h,11}} \right) + \frac{A_{h,12}}{A_{h,11}} \frac{N_x}{r} = p_o
\]
(2.118)
The radial displacement of the shell after integration is:
\[ u = C_1 e^{\beta_h x} \cos(\beta_h x) + C_2 e^{\beta_h x} \sin(\beta_h x) + C_3 e^{-\beta_h x} \cos(\beta_h x) + C_4 e^{-\beta_h x} \sin(\beta_h x) \quad (2.119) \]
The general solution after simplification of the equation is:
\[ u = e^{\beta_h x} [C_1 \cos(\beta_h x) + C_2 \sin(\beta_h x)] + e^{-\beta_h x} [C_3 \cos(\beta_h x) + C_4 \sin(\beta_h x)] \quad (2.120) \]
The rotation \( \Theta \), Moment M and shear forces Q are given as follows:
\[ \Theta = \frac{du}{dx} \quad (2.121) \]
\[ M_x = -D_{11} \frac{d^2 u}{dx^2} \quad (2.122) \]
\[ Q = \frac{dM_x}{dx} = -D_{11} \frac{d^2 w}{dx^2} \quad (2.123) \]
The integral constants \( C_1, C_2, C_3 \) and \( C_4 \) will be determined from the boundary conditions.
At \( x = 0 \), then \( M_x = M^n_i \) and \( Q = Q^n_f \)
At \( x = l_h \), then \( M_x = M^n_j \) and \( Q = Q^n_j \)
### 2.5 Axial compatibility:
The equations for compatibility requiring continuity of the rotation and radial displacement can be used with the equations of equilibrium to form a system of equations with nine unknowns for the pressurization state. The final bolt load \( F_B^f \) for the operating condition can be obtained from the geometric compatibility consideration in the axial direction that is the relation to the nut axial displacement that is equal during initial bolt-up and pressurization. Before applying the internal pressure, the bolt initial force \( F_B^i \), which is the required bolt load to satisfy both the requirements of seating and operating conditions, should be previously
defined and therefore is known. Consequently, our system of equations will be reduced by one unknown.
Figure 2.8 illustrates the compatibility of displacement based on the axial distance traveled by the nut during the tightening process. It is to be noted that this distance is the sum of the displacement of the flange due to the rotation, the elongation of the bolt and the compression of the gasket all in the axial direction.
The nut axial displacement corresponding to the actual number of turns necessary to achieve the required preload remains unchanged between the initial pre-tightening state (i) and during the final pressurization state (f). As a matter of fact, this axial displacement does not change from the initial state or bolt-up to any other state including pressure, temperature, bending and creep loading. As shown in figure 2.8 the sum of the axial displacement of all parts of the bolted flange joints is involved. At the junction of the three parts of the flange, the
displacements and rotations must be equal, based on the requirement of continuity. Therefore, the compatibility equations are as follows:
The radial displacements and rotations of the ring are equal to the radial displacements and rotations of the hub at point 1:
Initial pre-tightening state (i)
\[
\psi_{1,p}^i = \psi_{1,h}^i \\
u_{1,p}^i = u_{1,h}^i
\]
Final pressurization state (f)
\[
\psi_{1,p}^f = \psi_{1,h}^f \\
u_{1,p}^f = u_{1,h}^f
\]
The radial displacements and rotations of the hub are equal to the radial displacements and rotations of the shell at point 2.
Initial pre-tightening state (i)
\[
\psi_{2,h}^i = \psi_{2,s}^i \\
u_{2,h}^i = u_{2,s}^i
\]
Final pressurization state (f)
\[
\psi_{2,h}^f = \psi_{2,s}^f \\
u_{2,h}^f = u_{2,s}^f
\]
Considering the axial equilibrium
Initial pre-tightening state (i)
\[ F_B^i = F_G^i \]
(2.132)
Final pressurization state (f)
\[ F_B^f = F_G^f + p_o A_p \]
(2.133)
And according to the axial compatibility
\[ \sum_{i=1}^{m} w_i^i = \sum_{i=1}^{m} w_i^f \]
(2.134)
or
\[ w_B^i + w_G^i + w_P^i = w_B^f + w_G^f + w_P^f \]
(2.135)
Substituting the displacements and rotations into (2.135), the following is obtained:
\[ \frac{F_B^i}{K_B} + \frac{F_G^i}{K_G} + 2(r_B - r_G) \psi_{1,p}^i = \frac{F_B^f}{K_B} + \frac{F_G^f}{K_G} + 2(r_B - r_G) \psi_{1,p}^f \]
(2.136)
Substituting equations (2.133) and (2.134) gives:
\[ F_B^f \left( \frac{1}{K_B} + \frac{1}{K_G} \right) = \left( \frac{1}{K_B} + \frac{1}{K_G} \right) F_B^i + 2(r_B - r_G)(\psi_{1,p}^i - \psi_{1,p}^f) + \frac{A_p}{K_G} p_o \]
(2.137)
After assembling the above equations, a system of 9 unknowns is obtained and it is possible to set these equations in a matrix form to solve for the unknowns.
\[ [U] = [C] \backslash [V] \]
(2.138)
where \([C]\) is a square matrix and \([V]\) is a vector. The matrix \([U]\) is a vector the elements of which are the unknowns and are the edges forces and moments, the radial displacements and the rotations of each junction.
The coefficients matrixes are defined as follows:
\[
[C] = \begin{bmatrix}
-B_{11} & B_{12} & G_{11} & G_{12} & -1 & 0 & 0 & 0 & 0 \\
2\rho_h^4 D_{h,11} & 2\rho_h^4 D_{h,11} & 2\rho_h^4 D_{h,11} & 2\rho_h^4 D_{h,11} & 0 & -1 & 0 & 0 & 0 \\
-B_{12} & B_{22} & G_{12} & G_{22} & 0 & 0 & -1 & 0 & 0 \\
2\rho_h^4 D_{h,11} & 2\rho_h^4 D_{h,11} & 2\rho_h^4 D_{h,11} & 2\rho_h^4 D_{h,11} & 0 & 0 & 0 & -1 & 0 \\
-G_{11} & G_{12} & B_{11} & B_{12} & 0 & 0 & 0 & -1 & 0 \\
G_{12} & -G_{22} & -B_{12} & -B_{22} & 0 & 0 & 0 & 0 & -1 \\
2\rho_h^4 D_{h,11} & 2\rho_h^4 D_{h,11} & 2\rho_h^4 D_{h,11} & 2\rho_h^4 D_{h,11} & 0 & 0 & 0 & 0 & 0 \\
\frac{1}{2\rho_s^4 D_{s,11}} & \frac{1}{2\rho_s^4 D_{s,11}} & 0 & 0 & -1 & 0 & 0 & 0 & 0 \\
-1 & -1 & 0 & 0 & 0 & -1 & 0 & 0 & 0 \\
0 & 0 & -(L_{21} - L_{22}) & 0 & 0 & 0 & -1 & \frac{t_f}{2} & 0 \\
0 & 0 & \frac{t_f}{2} L_{26} & -L_{26} & 0 & 0 & 0 & -1 & \frac{r_B - r_G}{2\pi r_m} L_{27} \\
0 & 0 & 0 & 0 & 0 & 0 & 0 & 2(r_B - r_G) & \frac{1}{\kappa_B} + \frac{1}{\kappa_G}
\end{bmatrix}
\]
(2.139)
\[
[V] = \begin{bmatrix}
-\frac{A_{h,11} - \frac{1}{2} A_{h,12}}{4\rho_h^4 A_{h,11} D_{h,11}} p_o \\
0 \\
-\frac{A_{h,11} - \frac{1}{2} A_{h,12}}{4\rho_h^4 A_{h,11} D_{h,11}} p_o \\
0 \\
-\frac{A_{s,11} - \frac{1}{2} A_{s,12}}{4\rho_s^4 A_{s,11} D_{s,11}} p_o \\
0 \\
-(L_1 - L_2) t_f p_o \\
-(r_G - r_f)(r_G^2 + r_f^2) \frac{p_o}{4\pi m} L_{27} \\
\left(\frac{1}{\kappa_S} + \frac{1}{\kappa_G}\right) F_B^f + 2(r_B - r_G) \psi_f l + \frac{A_p}{\kappa_G} p_o
\end{bmatrix}
\]
(2.140)
To simplify the derivations the following coefficients are defined:
\[
L_{21} = \frac{-r_I^2}{(r_o^2 - r_I^2)(A_{p,12} + A_{p,11})}
\] (2.141)
\[
L_{22} = \frac{-r_I r_o^2}{(r_o^2 - r_I^2)(A_{p,12} - A_{p,11})}
\] (2.142)
\[
L_{23} = \frac{r_I - 2r_I \log\left(\frac{r_I}{r_o}\right)}{8\pi D_{p,11}}
\] (2.143)
\[
L_{24} = -\frac{(r_o^2 r_I + r_I^3)(D_{p,12} - D_{p,11}) + 2r_I^3 \log\left(\frac{r_I}{r_o}\right)(D_{p,11} + D_{p,12})}{8\pi D_{p,11}(r_o^2 - r_I^2)(D_{p,11} + D_{p,12})}
\] (2.144)
\[
L_{25} = \frac{-r_o^2 r_I \log\left(\frac{r_I}{r_o}\right)(D_{p,11} + D_{p,12})}{4D_{p,11}\pi(r_o^2 - r_I^2)(D_{p,11} - D_{p,12})}
\] (2.145)
\[
L_{26} = L_{21} + L_{22}
\] (2.146)
\[
L_{27} = L_{23} + L_{24} + L_{25}
\] (2.147)
To obtain the final bolt force \( F_B^f \) which depends on the flange parameters as well as the inside pressure, first the unknown vector \([U^I]\) has to be solved for the initial bolt-up condition with a known initial bolt force \( F_B^i \). The solution gives, in particular, the rotation of the flange in the initial tightening condition that used in the last row in \([U^f]\) of the final condition to solve for the bolt force \( F_B^f \).
\[ [U^i] = \begin{bmatrix} Q_2^i \\ M_2^i \\ Q_1^i \\ M_1^i \\ u_2^i \\ \psi_2^i \\ u_1^i \\ \psi_1^i \\ F_B^i \end{bmatrix} \tag{2.148} \]
\[ [U^f] = \begin{bmatrix} Q_2^f \\ M_2^f \\ Q_1^f \\ M_1^f \\ u_2^f \\ \psi_2^f \\ u_1^f \\ \psi_1^f \\ F_B^f \end{bmatrix} \tag{2.149} \]
### 2.6 Stress calculation
To calculate the stresses and displacements for either the flange with the hub or without the hub, the solution of the two vectors \( [U^i] \) and \( [U^f] \) is conducted one after the other. The case of the flange without the hub could be treated as one with the hub having the same materials and thickness as the shell. In fact, these results make it possible to calculate the following parameters in the initial n=i and final n=f phases of the bolted flange joint:
- \( u^n(x) \) Radial displacement
- \( \psi^n(x) \) Rotation
- \( M^n(x) \) Bending moment
- \( Q^n(x) \) Shearing force
- \( N_l^n(x) \) Longitudinal force
- \( N_t^n(x) \) Tangential force
$\sigma_{l,l}^n$ Longitudinal stress inside surface of the flange
$\sigma_{t,l}^n$ Tangential stress inside surface of the flange
$\sigma_{l,o}^n$ Longitudinal stress outside the surface of the flange
$\sigma_{t,o}^n$ Tangential stress outside the surface of the flange
### 2.6.1 Hub laminate:
Equations (2.150) to (2.153) below are used to calculate the displacement and stresses in the hub:
$$F_{11}(\beta_h x) = \frac{1}{2} [\cosh(\beta_h x) \sin(\beta_h x) - \sinh(\beta_h x) \cos(\beta_h x)] \quad (2.150)$$
$$F_{12}(\beta_h x) = \sin(\beta_h x) \sinh(\beta_h x) \quad (2.151)$$
$$F_{13}(\beta_h x) = \frac{1}{2} [\cosh(\beta_h x) \sin(\beta_h x) + \sinh(\beta_h x) \cos(\beta_h x)] \quad (2.152)$$
$$F_{14}(\beta_h x) = \cosh(\beta_h x) \cos(\beta_h x) \quad (2.153)$$
Substituting the above equations, the lamina displacement, rotation, moment and shear, and membranes forces in the hub can be determined from the following relations:
$$u_h^n(x) = \frac{Q_1^n}{2\beta_h D_{h,11}} F_{11}(\beta_h x) + \frac{M_1^n}{2\beta_h^2 D_{h,11}} F_{12}(\beta_h x) + \frac{\psi_1^n}{\beta_h} F_{13}(\beta_h x) + u_1^n F_{14}(\beta_h x) \quad (2.154)$$
$$\psi_h^n(x) = \beta_h \left[ \frac{Q_1^n}{2\beta_h^2 D_{h,11}} F_{12}(\beta_h x) + \frac{M_1^n}{\beta_h^2 D_{h,11}} F_{13}(\beta_h x) + \frac{\psi_1^n}{\beta_h} F_{14}(\beta_h x) - 2u_1^n F_{11}(\beta_h x) \right] \quad (2.155)$$
$$M_h^n(x) = 2\beta_h^2 D_{h,11} \left[ \frac{Q_2^n}{2\beta_h^3 D_{h,11}} F_{13}(\beta_h x) + \frac{M_1^n}{2\beta_h^2 D_{h,11}} F_{14}(\beta_h x) - \frac{\psi_1^n}{\beta_h} F_{11}(\beta_h x) - u_1^n F_{12}(\beta_h x) \right] \quad (2.156)$$
\[ Q_h^n(x) = 2\beta_h^3 D_{h,11} \left[ \frac{Q_1^n}{2\beta_h^3 D_{h,11}} F_{14}(\beta_h x) - \frac{M_1^n}{\beta_h^2 D_{h,11}} F_{11}(\beta_h x) - \frac{\psi_1^n}{\beta_h} F_{12}(\beta_h x) - 2u_1^n F_{13}(\beta_h x) \right] \tag{2.157} \]
\[ N_{h,l}^i(x) = 0 \quad \text{and} \quad N_{h,l}^f(x) = \frac{p_0 r_h}{2} \tag{2.158} \]
\[ N_{h,t}^n(x) = \left[ \frac{u_h^n(x)}{r_h} + \frac{\left( A_{h,11} \frac{A_{h,12}}{2} \right) p_0}{4\beta_h^4 A_{h,11} D_{h,11} r_h} \right] \left( A_{h,12} - \frac{A_{h,22}^2}{A_{h,11}} \right) + \frac{A_{h,12}}{A_{h,11}} N_{h,t}^n(x) \tag{2.159} \]
The longitudinal and tangential stresses at the inside and outside surface of the hub are given by:
\[ \sigma_{h,l,i}^n(x) = \frac{N_{h,l}^n(x)}{t_h} + \frac{6M_h^n(x)}{t_h^2} \tag{2.160} \]
\[ \sigma_{h,l,o}^n(x) = \frac{N_{h,l}^n(x)}{t_h} - \frac{6M_h^n(x)}{t_h^2} \tag{2.161} \]
\[ \sigma_{h,t,i}^n(x) = \frac{N_{h,t}^n(x)}{t_h} + \frac{6D_{h,12} M_h^n(x)}{D_{h,11} t_h^2} \tag{2.162} \]
\[ \sigma_{h,t,o}^n = \frac{N_{h,t}^n(x)}{t_h} - \frac{6D_{h,12} M_h^n(x)}{D_{h,11} t_h^2} \tag{2.163} \]
### 2.6.2 Shell laminate
Equations (2.164) to (2.167) must be used to calculate the displacement and stresses in the shell:
\[ f_1(\beta_s x) = e^{-\beta_s x} [\cos(\beta_s x)] \tag{2.164} \]
\[ f_2(\beta_s x) = e^{-\beta_s x} [\cos(\beta_s x) - \sin(\beta_s x)] \tag{2.165} \]
\[ f_3(\beta_s x) = e^{-\beta_s x} [\cos(\beta_s x) + \sin(\beta_s x)] \]
(2.166)
\[ f_4(\beta_s x) = e^{-\beta_s x} [\sin(\beta_s x)] \]
(2.167)
Substituting the above equations, the lamina displacement, rotation, moment and shear and membranes forces in the shell can be determined from the following relations:
\[ u_s^n(x) = \frac{Q_2^n}{2\beta_s^3 D_{s,11}} f_1(\beta_s x) + \frac{M_2^n}{2\beta_s^2 D_{s,11}} f_2(\beta_s x) \]
(2.168)
\[ \psi_s^n(x) = \beta_s \left[ -\frac{Q_2^n}{2\beta_s^3 D_{s,11}} f_3(\beta_s x) - \frac{M_2^n}{\beta_s^2 D_{h,11}} f_1(\beta_s x) \right] \]
(2.169)
\[ M_s^n(x) = 2\beta_s^2 D_{s,11} \left[ \frac{Q_2^n}{2\beta_s^3 D_{s,11}} f_4(\beta_s x) + \frac{M_2^n}{2\beta_s^2 D_{s,11}} f_3(\beta_s x) \right] \]
(2.170)
\[ Q_s^n(x) = 2\beta_s^3 D_{s,11} \left[ \frac{Q_2^n}{2\beta_s^3 D_{s,11}} f_2(\beta_s x) - \frac{M_2^n}{\beta_s^2 D_{s,11}} f_4(\beta_s x) \right] \]
(2.171)
\[ N_{s,l}^i(x) = 0 \quad \text{and} \quad N_{s,l}^f(x) = \frac{p_0 r_s}{2} \]
(2.172)
\[ N_{s,t}^n(x) = \left[ \frac{u_s^n(x)}{r_s} + \frac{(A_{s,11} - A_{s,12}) p_0}{4\beta_s^4 A_{s,11} D_{s,11} r_s} \right] \left( A_{s,22} - \frac{A_{s,12}^2}{A_{s,11}} \right) + \frac{A_{s,12}}{A_{s,11}} N_{s,t}^n(x) \]
(2.173)
The longitudinal and tangential stresses at the inside and outside surface of the shell are given by:
\[ \sigma_{s,l,i}^n(x) = \frac{N_{s,l}^n(x)}{t_s} + \frac{6M_{s}^n(x)}{t_s^2} \]
(2.174)
\[ \sigma_{s,l,o}^n(x) = \frac{N_{s,l}^n(x)}{t_s} - \frac{6M_{s}^n(x)}{t_s^2} \]
(2.175)
\[ \sigma_{S,t,l}^n(x) = \frac{N_{S,t}^n(x)}{t_S} + \frac{6D_{S,12}}{D_{S,11}} \frac{M_t^n(x)}{t_S^2} \] \hspace{1cm} (2.176)
\[ \sigma_{S,t,o}^n(x) = \frac{N_{S,t}^n(x)}{t_S} - \frac{6D_{S,12}}{D_{S,11}} \frac{M_S^n(x)}{t_S^2} \] \hspace{1cm} (2.177)
CHAPTER 3
NUMERICAL (FINITE ELEMENT) MODELING
3.1 Introduction
To investigate the behavior of complicated structure like FRP flanges which is difficult to analyze all elements analytically one of the best techniques is the finite element model. FEM is a useful way to provide an acceptable prediction of the behavior of a complex structure. To get the highest accuracy, it requires creating a model with the fine meshing system by means of various elements, that reflects perfectly specifications of the system including the material properties, structures, and the assembly.
The presented numerical models for FRP bolted flange joints in this chapter are an attempt to validate the analytical model. Besides this, finite element analysis cannot duplicate experimental testing exactly, therefore, the experimental tests have been conducted on FRP bolted joints to validate the results obtained from experimental, analytical and numerical methods. In addition, to validate the analytical model, finite element analysis gives us an indication of the overall behavior and performance of FRP bolted joint.
This chapter describes the numerical procedure of the 3 different models of Fiber reinforced plastic flanges for two sizes of the flange with NPS 3 class 150 and NPS 12 class 150. To create and analyzed the finite element models, the program ANSYS® Mechanical 16.02 and ANSYS Composite PrepPost (ACP) 16.2 were used.
The three finite element models considered in this chapter are:
1- Finite element model for the flange without the hub;
2- Finite element model for the flange with the hub;
3- Finite element model with ANSYS Composite PrepPost (ACP).
Each finite element model of the bolted joint consists of two phases:
- Initial tightening phase: the first stage is at the flange bolt-up following the initial tightening of the flange. The tightening force compresses the two parts of the flange as well as the gasket and it is represented by a uniform and horizontal distribution of the contact pressure.
- Pressurization phase: A pressure is applied on the inside surface of the flange; the inside pressure also creates a pressure on the flat surfaces at the end of the shell of the flange.
### 3.2 Applied loading
The loading consists of the hydrostatic end load, internal lateral pressure, and initial bolt forces. The initial gasket seating is provided by the pre-load in the bolts and is referred to as the seating condition. In this case, the gasket deforms filling the irregularities on the flange face in order to make a full contact over its entire surface. The bolt load change during pressurization can be obtained from the compatibility of displacement. In order to study the short-term behavior of FRP bolted joints, the bolt load is assumed to remain constant as in practice, by retightening the bolts, they maintain the required load to prevent leakage. It is worth noting that in the real case, creep and relaxation can happen in the flange and gasket. This issue of load relaxation is complex to consider because of the creep of the resin and woven roving of the composite material, the data of which are not available. In all models, the tightening forces are applied at the same time and they are identical. Therefore, this hypothesis allows us to consider the bolted flange joint model as axisymmetric, and just 1/4 and 1/12 can be modeled for the flange with NPS 3 and NPS 12 respectively.
#### 3.2.1 Pretension load on bolts
In the FE model, the bolt force is applied as the pre-tension load and then the position is locked in the subsequent stage. The material properties of the bolts are given in table 3.1.
Table 3-1 Material properties of the bolts
| Properties | Value | Unit |
|-----------------------------|-------|--------|
| Young Modulus | 210 | GPa |
| Poisson's ratio | 0.3 | |
| Tensile yield strength | 250 | MPa |
| Tensile ultimate strength | 460 | MPa |
| Density | 7,850 | kg/m³ |
To get the proper sealing in the bolted flange joints assembly the following conditions must be met:
- Sufficient compression force must be applied to fill the porosities on the face of the flanges.
- A minimum compression force must be maintained on the joint during the operating condition to ensure the proper sealing of the joint.
In order to determine the required compressive force to satisfy the above conditions, the following equations are used:
\[
W_{m2} = \pi bGy
\]
(3.1)
\[
W_{m1} = \frac{\pi}{4} G^2 p_0 + 2b\pi Gmp_0
\]
(3.2)
where \( W_{m2} \) and \( W_{m1} \) are the initial tightening bolt force and the operating bolt force respectively.
The minimum bolt force required to seal the bolted flange joint (\( W_m \)) is the maximum force between \( W_{m2} \) and \( W_{m1} \).
The pretension load on the bolts is determined from:
\[ S_b = \frac{F_b}{A_b} \] \hspace{1cm} (3.3)
\[ A_b = \pi r_v^2 \] \hspace{1cm} (3.4)
where \( S_b \) is the tightening stress of the bolt, \( F_b \) is the bolt force and \( A_b \) is the bolt stress area.
According to the ASME BPV Code, Sections X, it is possible to calculate the bolt stress area as follow:
\[ A_b = \pi \left[ \left( \frac{d_2}{2} + \frac{d_3}{2} \right) / 2 \right]^2 \] \hspace{1cm} (3.5)
\[ d_3 = d_v - 1.2268pt \]
\[ d_2 = d_v - 0.6495pt \]
Then
\[ A_b = \pi \left[ \frac{2d_v - 1.8763pt}{4} \right]^2 \] \hspace{1cm} (3.6)
Table 3-2 Bolt stress and bolt force for the NPS 3 and 12 FRP bolted flange joint
| Flange size | \( A_b \) (mm\(^2\)) | \( F_b \) (N) |
|-------------|----------------------|---------------|
| NPS 3 | 197.84 | 14580 |
| NPS 12 | 388.15 | 10000 |
In ANSYS® Mechanical the torque load is applied through the pre-existing command called “bolt pretension”. To apply the axial bolt load as shown in figure 3.1, a special coordinate system is created at the center of the bolt. Then the bolt load is applied in two steps. In the first step, the pre-tightening bolt force is applied then it is locked to maintain the torque load for the subsequent steps.
3.2.2 Internal pressure
When the pre-tightening bolt force is applied to each bolt on the flange, the pressurization phase has begun. The pressure that is applied on the internal surface of the flanges with NPS 3 and 12 is 1.034 MPa (150 Psi) and 0.345 MPa (50 Psi). As shown in figure 3.2 the inside pressure creates a pressure on the top surface of the shell in the flanges. This stress that applies to the end of the flange is equal for both flanges and given by:
\[ p_w = \frac{p_o A_p}{A_S} \]
(3.7)
\[ A_p = \pi r_i^2 \]
(3.8)
\[ A_S = \pi (r_i + t_s)^2 - A_p \]
(3.9)
Then
\[ p_w = \frac{p_o r_i^2}{(2r_i + t_s)t_s} \]
(3.10)
where $p_o$ is the inside pressure, $r_f$ is the flange inside radius, $t_s$ is the thickness of the shell, $A_p$ is the inside surface area of the flange and $A_S$ is the cross-section area of the shell. The applied pressure in the flanges with NPS 3 and 12 are listed in table 3.3.
Figure 3-2 Inside pressure $p_o$ and wall pressure $p_w$ at pressurization phase
Table 3-3 Inside pressure and wall pressure for NPS 3 and 12 FRP flange
| Flange size | $p_o$ (MPa) | $p_w$ (MPa) |
|-----------------------------|-------------|-------------|
| NPS 3 | 1.034 | 2.86 |
| NPS 12 with the hub | 1.034 | 4.27 |
| NPS 12 without the hub | 0.345 | 1.5 |
### 3.3 Modeling of the gasket
One of the key factors in successful bolted joint simulation is the modeling of the gasket material. The gasket compression, especially in full-face flanges, has a strong influence on the flange rotation and leakage performance. In full-face flanges, the gasket is compressed...
unevenly and in order to resist the fluid inside pressure, the bolts must be tight enough. In this model, the gasket deforms plastically under the flange surfaces, ensuring full contact over its entire area. The mechanical behavior of the gasket is represented by nonlinear loading and unloading curves obtained from load-displacement tests. Figure 3.3 depicted test data of a Teflon gasket that is used in this study. The geometry of the gasket for NPS 3 and 12 flanges are listed in table 3.4.
**Figure 3-3 Gasket compression tests**
Four critical steps are likely to occur during gasket compression from the initial tightening to pressurization. In composite flanges using the full-face width, the compression stresses of the joint are zero at the holes of bolts. As depicted in figure 2.8, flange bolt-up is conducted first by hand followed by tightening with a torque ranch where the gasket compression is achieved by a non-uniform distribution of the contact pressure. The flange joint is gradually pressurized and in general, a more pronounce trapezoidal distribution takes place. In this phase, the flange rotates while the inside region of the compressed gasket unloads. Therefore, the contact pressure follows a trapezoidal distribution with a minimum contact pressure at the inner radius.
of the gasket and maximum contact pressure at the outer radius of the gasket. Usually, too much rotation will cause the loosening of the contact pressure at the bolt holes, in which case leakage will occur at this location.
Table 3-4 Geometry of the gasket for the flange with NPS 3 and 12
| Flange size | Inside diameter | Outside diameter | Thickness | Number of holes | Hole diameter | Hole circle |
|-------------|----------------|------------------|-----------|-----------------|--------------|------------|
| NPS 12 | 304.8 | 482.6 | 3 | 12 | 25.4 | 431.8 |
| NPS 3 | 76.2 | 190.5 | 1.59 | 4 | 19.05 | 152.4 |
In order to simplify the numerical model, the gasket contact pressure distributions are considered to be triangular.
### 3.4 Boundary conditions
Because of the axisymmetry, the boundary conditions applied to the finite element models are the symmetry conditions to the nodes that belong to both sides of the two axial planes of the flange triangular portion and to those that are in the plane that passes through the middle of the gasket thickness. As depicted in figure 3.4 the axial displacement in the middle of the gasket and the bolt is zero. The nodes of the flange symmetrical plane are free to move in the radial direction while their rotation about any radius is fixed.
Since the flange is symmetrical in nature, the cyclic symmetry is applied at two sides of the cut section as shown in figure 3.5. The axial displacement at the plane that passes through the gasket mid-thickness and cuts the bolts in two parts is constrained; the flange face is expected to compress the gasket over the full face once the bolt load is applied. It is worth noting that the shell length should be long enough to eliminate the edge effects at top. This simplified
model limits the CPU requirements and makes the calculations faster. A standard friction model was used to control sliding at the bolt-flange and gasket-flange interfaces. The coefficient of static friction of 0.7 for rough surface and 0.15 for a smoother surface.
### 3.5 3D solid finite element models
The numerical Finite element analysis was conducted on 3 different models to compare the results obtained with the developed analytical FRP bolted flange model. The axisymmetric model assembly is made of three parts; the flange, the gasket ring, and the bolt. In the case of an assembly with an identical flange pair, because of symmetry with respect to a plane that passes through the gasket thickness, only one flange including half of the gasket thickness is modeled. To model the flange and bolts, 3D 8-node brick solid element (Solid185) was used. These elements are defined by three degrees of freedom per nodes and support plasticity, large deflection and high strain capabilities. In addition, the contact pairs which consist of contact elements (CONTACT174) and target segment elements (TARGE170) were defined the
interface between the flange, gasket, and bolts. The volume elements were used to model the existing space between the flange and the bolt. The flanged connection is assumed to be sufficiently far from the end enclosures of the vessel, such that the longitudinal and bending is limited only to its small adjacent portion of the vessel compared to the overall length. In order to conduct a direct comparison between the results obtained from the analytical model and numerical model, the two working conditions, initial pre-tightening (bolt-up) and pressurization, are analyzed.
### 3.5.1 Finite element model for the flange with NPS 12 class 150
Two different finite element models of the NPS 12 class 150 and 50 of FRP bolted flanged joint were developed under the software ANSYS® Mechanical 16.02. As shown in figures 3.6 and 3.7, the first model is the flange without the hub and the second one is the flange with the hub. A linear static finite element analysis was performed with these two models. The 3D model includes three parts; the flange, the gasket, and the bolt. In the case of an assembly with an identical flange pair, because of symmetry with respect to a plane that passes through the mid gasket thickness, only one flange including half of the gasket thickness is modeled.
188.8.131.52 Geometry of the flange
Figure 3.8 and 3.10 illustrate the geometric features of the NPS 12 flanges with the hub and without the hub, that are valid for the class 150 and 50 respectively. The flange dimensions (table 3.5) were obtained from the ASME code section X. The thicknesses of the ring, hub, and shell are not definitive in the finite element model, depending on the arrangement of the laminate in each part of the FRP bolted flange joint. The arrangement of the laminate in the flange is elaborated in 184.108.40.206.
The flanged connection is assumed to be sufficiently far from the end enclosures of the vessel, such that the shear and bending loads are limited only to the small adjacent portion of the shell and do not influence the hub. FRP flanges with and without the hub are designed based on the geometry mentioned above and are drawn in Catia software. The generated models are then transferred directly to ANSYS. Figure 3.9 and 3.11 show the designed flanges with Catia for the NPS 12 FRP flanges.
According to the geometry of the flange (table 3.5 and 3.6), the thickness of the ring is equal to FT which is 47.62 mm and 30 mm for the NPS 12 flange with the hub class 150 and the NPS 12 flange without the hub respectively.
Figure 3-8 Geometry of the NPS 12 flange with the hub
Table 3-5 Dimensions of the NPS 12 flange with the hub
| Unit | Inside dia., D | Outside dia., A | Bolt circle, B | Bolt hole dia., C | Dia. spot facing | Bolts size dia. | No. of bolts | Flange and nozzle thickness, 1.034 MPa, 150 Psi |
|------|----------------|-----------------|----------------|-------------------|-----------------|----------------|-------------|-----------------------------------------------|
| mm | 304.8 | 482.6 | 431.8 | 25.4 | 57.1 | 22.2 | 12 | FT 47.6 NT 16.9 |
| in | 12 | 19 | 17 | 1 | 2 ¼ | ¾ | 12 | 1 ¾ ¾ |
Figure 3-9 Geometry of FRP flange with the hub modeled in Catia
Figure 3-10 Geometry of the NPS 12 flange without the hub
Table 3-6 Dimensions of the NPS 12 flange without the hub
| Unit | Inside dia., D | Outside dia., A | Bolt circle, B | Bolt hole dia., C | Dia. spot facing | Bolts size dia. | No. of bolts | Flange and nozzle thickness, |
|------|----------------|-----------------|----------------|-------------------|-----------------|-----------------|-------------|----------------------------|
| | | | | | | | | 0.345 MPa, 50 Psi |
| mm | 300 | 480 | 425 | 19 | 57.1 | 16 | 12 | FT |
| In | 11.8 | 18.9 | 16.7 | 0.75 | 2.2 | 0.6 | 12 | NT |
Figure 3-11 Geometry of FRP flange without the hub modeled in Catia
220.127.116.11 Lamina properties
FRP flanges that are used in this study are made out of laminates of E-glass fibers as a reinforcement and vinyl-ester as a resin. There are two types of laminates for this composite:
1. Chopped strand mat: This laminate is fabricated by mixing the fibers randomly with the resin. The volume of the fiber in this laminate is 35% and the thickness of this ply is 1 mm.
2. Woven roving: Continuous filaments of fiber wetted with the specified resin applied are wound in a systematic manner under controlled tension and cured on a mandrel or other supporting structure. This laminate is fabricated by interlacing the wetted fibers in a resin, passing in one direction with other fibers at a 90-degree angle to them. The volume of the fiber in this laminate is about 60% and the thickness of this ply is 0.9 mm.
The elastic, mechanical and physical properties of mat and woven roving plies are given by Hoa (1991) listed in Table 3.7.
In order to compare the analytical and numerical results of FRP bolted flange joints, the flange is divided into three major parts (ring, hub, and shell) and subsequently, each part has a different thickness and arrangement of plies but they are all composed of a mat and woven roving laminates. It is worth noting that in reality, FRP flange laminates are hand layered-up with midplane symmetry as shown in figure 3.12.
Table 3-7 Mechanical, physical and elastic properties of the laminates
| Properties | M (Chopped strand Mat) | R (Woven roving) | C (C-Glass veil) | Unit |
|-----------------------------------|-------------------------|------------------|------------------|------|
| Fiber volume | 30-35 | 50-60 | 10 | % |
| Density | 1.38 | 1.71 | 1.25 | g/cm³|
| Thickness | 0.97 | 0.99 | 0.61 | mm |
| Young's modulus (X direction) | 7929 | 18791 | 4888 | MPa |
| Young's modulus (Y direction) | 7929 | 18791 | 4888 | MPa |
| Shear modulus | 2985 | 2654 | 1827 | MPa |
| Poisson's ratio | 0.34 | 0.15 | 0.34 | |
| Tensile yield strength (X direction) | 121 | 84 | 73 | MPa |
| Tensile yield strength (Y direction) | 121 | 84 | 73 | MPa |
| Compressive yield strength (X direction) | 95 | 66 | 42 | MPa |
| Compressive yield strength (Y direction) | 95 | 66 | 42 | MPa |
| Shear strength | 61 | 56 | 27 | MPa |
As mentioned previously, FRP flange is composed of three parts, ring, hub and shell, and due to different thickness, each part has a different arrangement of plies. There are two types of plies, mat and woven roving and the layer stacking sequence is symmetric for each part of the flange. The material and physical properties of the mat and the woven roving laminate are given in table 3.7. As mentioned before the thickness of the mat and woven roving layers is 0.9 mm and 1 mm respectively. In all FE models, the inner layer of the flange is installed against corrosion and because of its very small thickness, this layer is neglected in the numerical FE model.
Figure 3-12 General laminate for the shell
Figure 3.12 illustrates the general laminates of the shell. The laminate of the shell consists of 18 layers and the thickness of the shell is 17.1 mm.
For FRP flanges modeled in this study, the following assumptions are made:
- Chopped strand mat and woven roving fabrics that are used in laminates are considered macroscopically homogeneous, elastically linear and orthotropic.
• In all interfaces and junctions, it is assumed that there is perfect adhesion and bonding between layers.
• The fibers are assumed to be evenly distributed and perfectly aligned in the woven roving layers with good adhesion in the fiber-matrix interface.
General laminate and the layer stacking sequence for the hub and ring of the NPS 12 flange with the hub are depicted in figures 3.14 and 3.15. The number of laminas in the hub is 44 and in the ring is 50 with a total thickness of the hub and the ring is 41.8 mm and 47.5 mm respectively.
Figure 3-13 General laminate for the ring of the NPS 12 flange without the hub
| Layer | Description | Thickness |
|-------|----------------------|-----------|
| 1 | Mat | 44 |
| 2 | Woven roving | 43 |
| 3 | Mat | 42 |
| 4 | Woven roving | 41 |
| 5 | Mat | 40 |
| 6 | Woven roving | 39 |
| 7 | Mat | 38 |
| 8 | Woven roving | 37 |
| 9 | Mat | 36 |
| 10 | Woven roving | 35 |
| 11 | Mat | 34 |
| 12 | Woven roving | 33 |
| 13 | Mat | 32 |
| 14 | Woven roving | 31 |
| 15 | Mat | 30 |
| 16 | Woven roving | 29 |
| 17 | Mat | 28 |
| 18 | Woven roving | 27 |
| 19 | Mat | 26 |
| 20 | Woven roving | 25 |
| 21 | Mat | 24 |
| 22 | Woven roving | 23 |
| 23 | Woven roving | 22 |
| 24 | Mat | 21 |
| 25 | Woven roving | 20 |
| 26 | Mat | 19 |
| 27 | Woven roving | 18 |
| 28 | Mat | 17 |
| 29 | Woven roving | 16 |
| 30 | Mat | 15 |
| 31 | Woven roving | 14 |
| 32 | Mat | 13 |
| 33 | Woven roving | 12 |
| 34 | Mat | 11 |
| 35 | Woven roving | 10 |
| 36 | Mat | 9 |
| 37 | Woven roving | 8 |
| 38 | Mat | 7 |
| 39 | Woven roving | 6 |
| 40 | Mat | 5 |
| 41 | Woven roving | 4 |
| 42 | Mat | 3 |
| 43 | Woven roving | 2 |
| 44 | Mat | 1 |
Figure 3-14 General laminate for the hub
| Layer | Material | Thickness |
|-------|----------------|-----------|
| 1 | Woven roving | 49 |
| 2 | Mat | 48 |
| 3 | Woven roving | 47 |
| 4 | Mat | 46 |
| 5 | Woven roving | 45 |
| 6 | Mat | 44 |
| 7 | Woven roving | 43 |
| 8 | Mat | 42 |
| 9 | Woven roving | 41 |
| 10 | Mat | 40 |
| 11 | Woven roving | 39 |
| 12 | Mat | 38 |
| 13 | Woven roving | 37 |
| 14 | Mat | 36 |
| 15 | Woven roving | 35 |
| 16 | Mat | 34 |
| 17 | Woven roving | 33 |
| 18 | Mat | 32 |
| 19 | Woven roving | 31 |
| 20 | Mat | 30 |
| 21 | Woven roving | 29 |
| 22 | Mat | 28 |
| 23 | Woven roving | 27 |
| 24 | Mat | 26 |
| 25 | Woven roving | 25 |
| 26 | Mat | 24 |
| 27 | Woven roving | 23 |
| 28 | Mat | 22 |
| 29 | Woven roving | 21 |
| 30 | Mat | 20 |
| 31 | Woven roving | 19 |
| 32 | Mat | 18 |
| 33 | Woven roving | 17 |
| 34 | Mat | 16 |
| 35 | Woven roving | 15 |
| 36 | Mat | 14 |
| 37 | Woven roving | 13 |
| 38 | Mat | 12 |
| 39 | Woven roving | 11 |
| 40 | Mat | 10 |
| 41 | Woven roving | 9 |
| 42 | Mat | 8 |
| 43 | Woven roving | 7 |
| 44 | Mat | 6 |
| 45 | Woven roving | 5 |
| 46 | Mat | 4 |
| 47 | Woven roving | 3 |
| 48 | Mat | 2 |
| 49 | Woven roving | 1 |
Figure 3-15 General laminate for the ring of the NPS 12 flange with the hub
18.104.22.168 Meshing and contacts
In ANSYS® Mechanical, all parts of the flange are modeled using Solid185 element which is a 3D 8-node element and exhibits quadratic displacement behavior that has three degrees of freedom per node. This type of element supports plasticity, hyper-elasticity, and large deflection. Figure 3.16 shows the mesh of the model for the NPS 12 flange without the hub.
The mesh of the gasket is made with SOLID186 elements which are 3D 20-node similar elements to SOLID185. This element exhibits quadratic displacement behavior and has three degrees of freedom per node.
One of the fundamental building blocks of a good simulation to reproduce the real behavior of the bolted flange joint is employing the correct element of the contact surface in the FE model. In this model, the contact between the bolt and flange ring is to be simulated with a frictional surface having a coefficient of friction of 0.15. As to the other contact between the ring and
gasket a coefficient of friction of 0.7 is used due to the surface roughness. The contact element used in the model is CONTACT174 having eight nodes and used in conjunction 3D target interface surface elements. The element TARGE170 is employed in this case and is associated with CONTACT174 elements.
As mentioned before in section 3.2.1 the bolt load is applied through the command “pretension”. In the numerical model, the element PRETS179 is involved in the application of bolt load pretension. This type of element can be used in a 2D or 3D model and has one degree of freedom that can be defined in a direction specified by the pretension force.
In the second step, the pressure on the inside surface of the flange was applied while the bolt pretention varies as a result of the flexibility of the bolted joint. During the pressurization phase, the pretension bolt load is locked to maintain the torque load on the bolts. The SURF154 elements used to simulate the hydrostatic end effect and they are defined by 8 nodes and are specific to surface in 3D FE models.
Figure 3-17 Finite element model of the isotropic NPS 3 FRP flange
3.5.2 Finite element model for the flange with NPS 3 class 150
Two different finite element models were developed to study the behavior of the NPS 3 class 150 FRP flange joint under the software ANSYS® Mechanical.
The two FE models considered in the study are:
1- FE model with an isotropic behavior:
In this model, the material behavior of FRP flange is assumed to be linear elastic with an equivalent isotropic elastic modulus equal to 13927 MPa. The corresponding linear elastic finite element model of the isotropic FRP flange is depicted in Figure. 3.17.
2- FE model with an anisotropic behavior:
This model was developed to introduce the real anisotropic behavior of FRP flange. This model is basically the same as the previous model. According to the manufacturer drawings the material properties of the composite are listed below:
$E_L = 13445$ MPa
$E_T = 14686$ MPa.
$v_L = v_T = 0.28$
$G_{LT} = 25442$ MPa.
where $E_L$ and $E_T$ are the young’s moduli in longitudinal and tangential directions, $v_L$ and $v_T$ are the Poisson’s ratio in longitudinal and tangential directions, $G_{LT}$ is the shear moduli in L-T plane.
22.214.171.124 Geometry of the flange
Figure 3.18 and Table 3.8 illustrates the geometry and dimensions of the NPS 3 FRP flange with the hub. As mentioned earlier, the flanged connection is assumed to be sufficiently far from the end enclosures of the vessel, such that the longitudinal and bending has a local effect.
Table 3-8 Geometry of the NPS 3 flange (ZCL Composite Co.)
| Unit | Inside dia., D | Outside dia., A | Bolt circle, B | Bolt hole dia. | Dia. spot facing | Bolts size dia. | No. of bolts | Flange and nozzle thickness, 1.034 MPa, 150 Psi |
|------|----------------|-----------------|----------------|----------------|------------------|----------------|-------------|-----------------------------------------------|
| | | | | | | | | FT | Hub TH. | Hub HT. | NT |
| mm | 76.2 | 190.5 | 152.4 | 19.05 | 36.58 | 15.87 | 4 | 20.65 | 15.42 | 54.33 | 6.35 |
| in | 3 | 7.5 | 6 | 0.75 | 1.44 | 0.625 | 4 | 0.813 | 0.607 | 2.139 | 0.250 |
The flange dimensions that are listed in Table 3.8 were obtained from ZCL Dualam Inc. composite flange manufacturing company.
Figure 3-18 Geometry of the NPS 3 flange with the hub
Similar to the FE model of NPS 12 FRP flange, the geometry of the NPS 3 flange is designed in Catia and transferred to ANSYS using IGES file format. Figure 3.19 depicts the designed NPS 3 FRP flange in Catia and ANSYS workbench.
126.96.36.199 Mesh of flange and contacts
The FE mesh model of the NPS 3 FRP bolted flanged joint is shown in figure 3.20. The elements used in these models are the same as those used in 188.8.131.52. The flange is modeled using Solid185 elements and the gasket is modelled using Solid186 elements. The contact elements used between flange ring and bolt head and gasket are CONTA174 associated with TARGE170 elements. The element PRETS179 and SURF154 are used to apply the bolt load pretension and hydrostatic end effect.
3.5.3 Finite shell element model ANSYS Composite PrepPost (ACP)
This model is composed of layered composites represented by shell elements. In this model, the mesh is generated using ANSYS Workbench while the composite layup with fiber orientation and material details were defined in ANSYS Composite PrepPost (ACP). ANSYS Composite PrepPost is an add-on module dedicated to the modeling of layered composite structures and provides all necessary functionalities for the analysis of layered composite
structures. In order to build a solid model out of shell elements in ACP, the extrusion method was used.
In this model, it is necessary to divide the bolted flange joint into two parts. The first part is the flange made from composite material and the rest is the group of parts like the bolts and gasket that are made from none-composite materials. The flange is defined in ANSYS ACP which is linked to the other parts in ANSYS Workbench. In ANSYS ACP, first, the composite fabrics including materials and the thickness of the layers as well as the assembly and element orientation of laminate are defined. Then, the ply sequence for the groups of elements in the composite is defined. Figure 3.21 shows the structure of the numerical model in ANSYS Composite PrepPost (ACP).
As shown in figure 3.21, in part B or ACP (Pre), the geometry of the flange, as well as the material properties of the laminas and the laminate arrangement and orientation of the flange, are defined. The non-composite parts such as bolts and gasket are modeled in parts D (Geometry) and E (Mechanical model). Then, by connecting parts B and E, the final model is
generated in part F (Static structural). Finite element model for NPS 3 FRP bolted flange joint in ANSYS ACP is illustrated as an example in figure 3.22.
Figure 3-21 Structure of the numerical model in ANSYS Composite PrepPost (ACP)
Figure 3-22 Finite element model for NPS 3 FRP bolted flange joint in ANSYS ACP
184.108.40.206 Lamina properties
There are three types of laminas used in this composite. The elastic, mechanical and physical properties of M for Chopped strand Mat, R for Woven roving and C for C-Glass veil are listed in table 3.7. The properties of Chopped strand Mat and Woven roving laminas are explained in details in 220.127.116.11.
The third material used in FRP flange composite is C-Glass veil which consists of fibers to reinforce plies and are resistant to corrosion. Thus, because of the high corrosion resistance, this type of ply is installed on the inside or outside surface of the composite flange that is in contact with the corrosive environment to protect the composite flange from chemical damages. The thickness of this ply is very small and has a very low proportion of fibers that is about 10% of carbon. According to Conlinsk, P. (2008), C-Glass veil is followed by two or three layers of chopped strand mat ply to increase the corrosion resistance of the flange.
18.104.22.168 Flange laminates
The sequence of the layers used in the construction of the NPS 3 FRP flange laminate according to the company (ZCL Dualam Inc.) is as follows:
Flange face sequence: CMM/2(MRMRM)/3(MRM);
Hub sequence: CMM/MRMM/3(MRM);
Shell sequence: CMM/MRMM.
where \( C = \) C-Glass veil, \( M = \) Chopped strand mat, and \( R = \) Woven roving
It is worth noting that each layer has different material properties in three directions, therefore, the final result is a flange with anisotropy and multilayered composite behavior. The general laminate layouts of all parts of the NPS 3 FRP flange are shown in figures 3.23 to 3.25. The number of plies in the ring is 22 with a thickness of 20.65 mm, the number of plies in the hub is 16 with a thickness of 15.42 mm and the number of plies in the shell is 7 with a thickness of 6.34 mm. Figure 3.25 illustrates FRP flange laminate as modeled in ANSYS ACP.
Figure 3-23 General laminate for the shell
Figure 3-24 General laminate for the ring
Figure 3-25 General laminate for the hub
Figure 3-26 FRP flange laminate in ANSYS ACP
22.214.171.124 Geometry of the flange
The geometry of the NPS 3 FRP flange is the same as that given in 126.96.36.199. In this model, ANSYS Composite PrepPost (ACP) is used to define layered composites represented by shell elements. The extrusion method is used to build a solid model out of shell elements in ACP environment. Figure 3.27 shows the geometry of the flange model in ANSYS ACP.
As shown in figure 3.28 the model of FRP flange begins with the shell model and after transferring the model to ANSYS ACP, the laminate is modeled according to the sequence of the layers and their thickness. The geometry of bolts and gasket is then added as shown in figure 3.29. As mentioned earlier the non-composite parts of FRP bolted flange joint are modeled separately.
Figure 3-27 Geometry of the flange in ANSYS ACP
Figure 3-28 Geometry of the flange in ANSYS geometry
188.8.131.52 Meshing and contacts
The complete FE mesh of the NPS 3 FRP bolted flanged joint is shown in figures 3.30. The elements used in this model are the same as those used in 184.108.40.206. The flange is modeled with ANSYS Composite PrepPost (ACP) using a different type of element layers. Solid185 elements are used for the flange and Solid186 elements are used for the gasket. Contact elements of the type CONTACT174 associated with TARGET170 elements are employed to model the various contact surfaces between flange ring and bolt head and gasket. The element PRETS179 and SURF154 are used to apply bolt load pretension and hydrostatic end effect.
Figure 3-29 Geometry of the bolts and gasket
Figure 3-30 FE mesh model for the flange
Figure 3-31 FE model mesh for bolts and gasket
Figure 3-32 Final FE mesh model for the FRP bolted flange joint
CHAPTER 4
EXPERIMENTAL SET-UP
4.1 Introduction
The relevant experimental tests used to carry out on real fiber reinforced plastic bolted flanged assemblies designed according to ASME BPV Code Section X as is described in this section. An experimental investigation conducted on a well-equipped test rig is a reliable approach to evaluate the proposed numerical and analytical model for the NPS 3 FRP bolted flange joint. The detailed explanation of the intricate mechanisms of the test bench used in the study of the bolted flange joint behavior with high-level instrumentation is vital.
The primary purpose of the designed experimental test stand was to measure the real behavior of the composite bolted flange joint. The existing Hot Blow Out Test Bench (HOBT) was adapted and equipped with accurate measurement devices such as strain gauges, LVDTs, thermocouples, and pressure transducers to measure the different parameters of FRP flange. This chapter elaborates the operational mechanisms of the HOBT rig and test procedure involved in this study.
4.2 Bolted flanged rig
The HOBT test rig shown in figure 4.1, was used throughout the experimental investigation. This test rig is made of ANSI B16.5 NPS 3 Class 150 FRP full-face flanges used with a 1/16 Teflon gasket. The HOBT rig was initially designed and built for the Static and Dynamic Sealing Laboratory to perform hot blowout tests of Teflon gaskets used in with a metallic raised face bolted flange joint configuration. This test rig was modified to accommodate for the analysis of FRP bolted flange joint with full-faced gasket. As depicted in figure 4.1, the general configuration of this test rig is composed of 8 parts to carry out the stress analysis validation of FRP bolted flange joint. These parts are as follows:
A. Proportional integral derivative (PID) controller;
B. Data acquisition system;
C. FRP flange with a cap;
D. Strain gauges attached to the flange surface;
E. Thermocouples;
F. Bolt load measurement system;
G. Pressurization system;
H. Control panel of the pressurization system and leak detection.
Figure 4-1 General configuration of HOBT test rig
The bottom flange of the rig is bolted to a solid shaft core that is welded to a supporting base in the form of a pedestal. As shown in fig 4.2 a 2000-Watt cartridge heater is inserted into the metal core to heat up the entire fixture from the inside surface to the outside surface of the flange. There are four thermocouples on the HOBT test rig one of which is connected to a
proportional integral derivative (PID) controller which continuously monitors and controls the temperature. In order to measure the temperature lag between the flange and bolts, one thermocouple is installed one of the bolts. Another thermocouple is installed in the flange to measure the flange temperature at the vicinity of the gasket. There is also a removable insulation cover to reduce heat loss to the outside boundary and provides a uniform thermal distribution to the flange. The test rig includes the flanges made of FRP flanges. The pressurization system of the test rig is designed to apply internal gas pressure of up to 3.447 MPa (500 psi). The test rig is designed in such a way that the gasket load can easily be deduced from the measured bolt load.
### 4.2.1 Bolt load measurement
The bolt load measurement system known as the extensometer is shown in figure 4.3. In order to tighten and seal the lower and upper mounting flanges, four UNB 5 / 8-18 (in) ASTM A193 bolts are used. The measurement of the load through the elongation of each bolt is achieved by
the extensometer which is connected to the ceramic tube and rod. As shown in the figure, the ceramic rod is attached to the steel rod that is inserted into the drilled hole at the center of the bolt. The ceramic rods are connected to a full-bridged strain gauged beam that picks up bolt stretch through a bending mechanism. The reason for using the ceramic rods to measure the bolt load and displacements is to perform the tests at high temperatures. By applying bolt torque, the relative movement between the bolt and the steel rod inside the bolt are picked up by the ceramic rod and tube that put the beam under bending to transmit the deformation to the strain gauges and thereby obtain the bolt force.
### 4.2.2 Displacement and rotation measurements
The measurement of the gasket displacement is achieved at two diametrically opposite position using the extensometers that have been described previously. As shown in figure 4.4 there are two ball bearings which are used to transmit the axial compression from the metallic screws to the ceramic rods.
4.2.3 The data acquisition system
The bolt load, axial displacement of the gasket, temperature, strains and time are measured and recorded through Agilent 34970a data acquisition system, National Instrument and PID controller that are connected to the computer under the LabVIEW program. Therefore, a special LabView program was developed to control and monitor the experiment parameters and record data from the various sensors. Appendix B describes the exposed panel of the LabVIEW to control the HOBT test rig and monitor data.
4.3 FRP flange set-up
To evaluate the stresses three $45^\circ$ strain rosettes were loaded to the outside surface of the FRP flange near the critical position of the hub to shell junction. A close view of the strain gauges bonded to the FRP flange is shown in figure 4.6. As shown in this figure, the three strain
rosettes SG1, SG2 and SG3 are used to evaluate the longitudinal and tangential stress for comparison with the analytical and numerical models.
Figure 4.7 depicted the $45^\circ$ strain rosette aligned with the x-y axes. In order to convert the longitudinal strain from each strain gage into strain expressed in the x-y coordinates, the following equation is used:
$$\varepsilon_x = \varepsilon_a$$ \hspace{1cm} (4.1)
$$\varepsilon_y = \varepsilon_c$$ \hspace{1cm} (4.2)
$$\varepsilon_{xy} = \varepsilon_b - \frac{\varepsilon_a + \varepsilon_c}{2}$$ \hspace{1cm} (4.3)
4.4 Test procedure
The test procedure starts by introducing the dimension of FRP flange and gasket in the LabVIEW program along with the test conditions. A 1/16 Teflon full-face gasket is first placed on the top of the bottom flange, then the top flange is mounted on the gasket and is positioned to make sure that the two contact screws are in line with the extensometers to measure displacement. Afterward, the bolts are hand tightened. This point is considered as the zero references for bolt load and gasket displacement.
After mounting and verifying the gasket and flange position, the next step is to apply the desired compressive load by tightening the nuts with a torque wrench. An initial bolt load of 3270 lb was applied gradually on each instrumented bolt based on the guidelines provided in the ASME code section X and the manufacturer recommendation. The detailed calculation of bolt load is explained in 2.1.11. Equation 4.4 gives the total bolt load according to the recommended torque for the NPS 3 in. FRP flange.
\[ T = K \times P \times D \]
(4.4)
where: $T =$ tightening torque (in-lbs), $K =$ dynamic coefficient of friction, $P =$ total bolt load / number of bolts (lbf), $D =$ nominal bolt diameter (in).
A special tightening procedure based on the criss-cross pattern was used to apply the required bolt load. The bolt torque sequence order followed is 1, 2, 3, 4 as illustrated in Figure 4.8. After applying the bolts loads, a gas pressure equal to 1.034 MPa (150 psi) is applied to the inside of FRP bolted flange joint through a regulator valve which is controlled by the LabView program.
All the measuring parameters such as the bolt force, the strains at selected locations of the flange hub surface, the temperature and internal pressure are continuously monitored through the data acquisition system and the LabView program. The room temperature is held constant around t 22° C during the test. It is worth noting that all measuring sensors were calibrated at this temperature.
Figure 4-7 Torque sequence (SPEARS, 2014)
CHAPTER 5
RESULTS AND DISCUSSION
5.1 Introduction
In order to validate the analytical model developed for FRP bolted flange joints, the stress distribution at the outside and inside surface of the flange as well as its radial displacements are compared to the results obtained from the experimental rig and the numerical finite element model. A MATLAB program was used to code the analytical model equations that were developed in chapter 2. This program and all data used in the analytical study are available in Appendix A.
This chapter is dedicated to present by the results obtained from the analytical model, the numerical finite element model and the experiments under the two operating conditions of bolt-up (pre-tightening) and pressurization (operating). It treats the three different types of flanges namely the NPS 3 FRP flange class 150, the NPS 12 FRP flange class 50 without the hub and the NPS 12 FRP flange class 150 with the hub. In addition, a comprehensive analysis, a comparison and a discussion of the results are provided.
5.2 Results for the NPS 3 FRP flange
In this part, the experimental and analytical results of the NPS 3 FRP flange are presented and compared to the numerical results obtained with the three FE models of FRP flange joints with three different approaches; isotropy, anisotropy and shell element anisotropy composite using ANSYS ACP. The analytical results were obtained using the MATLAB program as indicated previously. It should be noted that the experimental results are limited to the stresses related to the outside surface of the flange as the stresses at the internal surfaces could not be measured due to the difficulty in getting the wires out of the flange when the latter was pressurized.
5.2.1 Flange stresses
In figures 5-1 to 5-4, the longitudinal and tangential stress distributions at bolt-up are shown. Each graph shows five curves; three curves obtained from the different FE models and two other curves representing the experimental and analytical results. As mentioned before, the stresses at the internal surfaces could not be measured during the experimental testing however these stresses are shown in figures 5-2 and 5-4 for the other methods. A similar trend of the distribution of stress along the hub and cylinder between the FE models, analytical model and the experimental result is observed. The anisotropic FE model results are very close to the analytical results and experimental data.
Figure 5-1 Longitudinal stress distribution at the outside flange surface during bolt-up
The graphs indicate that the results of the stress distribution at the outside surface of the flange obtained from the analytical model, experimental test and the anisotropic model are in good agreement with each other. Due to the stress concentration at the hub to flange ring junction, there is a significant difference with the average around 46% between ACP model and
analytical model. As anticipated like metallic bolted joints at bolt-up, the stresses in the cylindrical part of the FRP bolted joints far away from the hub and ring junction due to the lack of the inside pressure are nil.
The longitudinal and tangential stress distribution at 1.345 MPa inside pressure are shown in figures 5-5 to 5-9. In this case, the distributions of the longitudinal and tangential stresses at the outside surface of the flange during operation (figures 5-5 and 5-7) show a good agreement between the FE model, the analytical model, and the experimental data. A similar trend of the distribution of longitudinal and tangential stresses at the inside surface of the flange between the FE models are observed as indicated in figures 5-6 and 5-8. The graphs show that the FE anisotropic material model is more representative and the results are closer to the experimental data, as the difference observed between the two is less than 6%.
Figure 5-2 Longitudinal stress distribution at the inside flange surface during bolt-up
Figure 5-3 Tangential stress distribution at the outside flange surface during bolt-up
Figure 5-4 Tangential stress distribution at the inside flange surface during bolt-up
In spite of the fact that the anisotropic and ACP model are in better agreement with the analytical and experimental result compared to isotropic model due to the high-stress concentration at the hub and flange ring junction, it is difficult to make a judgment at this location and such a study is out of the scope of this work. In addition, the difference observed at the ring and hub junction is related to the laminate junctions that realistically cannot be duplicated either by the analytical model or by the ANSYS ACP PrepPost model. It can be noted that in the ACP model, the connection between the hub laminate and ring laminate is difficult to model exactly like the real FRP flange. Consequently, some discrepancies are observed between the results obtained from the ACP model and the other FE models. In fact, the ACP model of the composite flange is not precise as the difficulty to define the exact number of layers used for each flange part, the angle of the fibers in composite and the exact material properties in the different directions of the composite. It is worth noting that because the FRP flange manufacturing processes are hand made and not automated and the manufacturing technique varies from one composite flange size to the other, it is difficult to have defined the exact material properties in the various directions of the flange.
Figure 5-5 Longitudinal stress distribution at the outside flange surface during pressurization
Figure 5-6 Longitudinal stress distribution at the inside flange surface during pressurization
Figure 5-7 Tangential stress distribution at the outside flange surface during pressurization
Although in the cylindrical part of the flange, the tangential stress at the inner surface show around 15% difference at the hub to flange ring junction. The difference is even smaller far away from the junction as shown by the stress distribution at the inside and outside surfaces of the flange during pressurization. In general, the graphs show the importance of including material anisotropy in FE models of composite flanges. Comparing the tangential and longitudinal stresses obtained from ACP and other models based on anisotropy the difference is small as compared to the model with isotropic material behavior. Increasing the size of the flange will also lead to a larger result difference. Nevertheless, the importance of including material anisotropy to predict the stresses and strains in composite flanges is acknowledged.
The results obtained from different finite element models and the experimental test data points to the fact the analytical model is reliable and the methodology used to predict the stresses and strains in bolted flange joint is robust.
5.2.2 Radial displacement
The radial displacement at the inside radius of the flange for bolt-up and at 1.345 MPa internal pressure is illustrated in figures 5-9 and 5-10. Each graph has four curves; three curves obtained from the three different FE models and one curve is obtained from the proposed analytical model. These figures show that the radial displacements all models follow a similar trend during bolt-up and pressurization. Furthermore, the anisotropic FE model and analytical model are in a good agreement, in particular, in the cylindrical part of the flange. Although the trend is the same, the ACP model tends to underestimate the displacements.
Figure 5-9 Radial displacement of the flange during bolt-up
The highest difference is around 40% located at shell side when isotropic material properties of the flange are considered. Once again, the anisotropy of composite materials is important to estimate the radial displacement of the FRP flange. The anisotropic analytical developed model based on the laminated composite theory is justified.
5.2.3 Gasket contact stress
In figure 5-11 the distribution of the gasket contact stress for the three different FE models are shown. In this graph, the gasket contact stress distribution is depicted as a function of the normalized gasket width. As anticipated and like in metallic flange joints, the maximum contact stress occurs at the gasket outside diameter and is caused by flange rotation that produces a higher flange axial displacement at the outer edge of the gasket. In general, the distribution of contact stress depends on two factors; the rotation of the flange and the nonlinear behavior of the gasket.
The graphs in figure 5-11 indicate that the critical stress occurs at the vicinity of the bolt and it would appear that the gasket stress distribution has a similar trend for all three FE models. However, in comparison with the metallic bolted flange joints (Black, 1994), the contact stresses in the gasket at the bolt location are much higher than those between bolts. This is expected since there is higher flexibility with FRP materials like other composite materials as compared to steel and other ferrous materials.
5.3 Results for the NPS 12 flange without the hub
In this part, the analytical results are presented and compared to the numerical results obtained from the FE modeling of the NPS 12 FRP bolted flange joint with multilayered composites. Each graph gives compares the analytical to the numerical results. The analytical results are obtained through the MATLAB program for the NPS 12 FRP bolted flange joint the theory of which is detailed in chapter 2.
5.3.1 Flange stresses
Longitudinal and tangential stress distribution at the outside and inside surfaces of the flange for the two conditions of bolt-up and pressurization are illustrated in figures 5-12 to 5-20. From these figures, it can be stated that analytical results are consistently close to the numerical results.
Figure 5-12 Longitudinal stress distribution at the outside flange surface during bolt-up
Figure 5-13 Longitudinal stress distribution at the inside flange surface during bolt-up
As shown in the figures 5-12 to 5-16, during bolt-up, the stress distribution in the shell far from the flange ring is not significant.
As can be observed in figures 5-18 and 5-19 there is some slight difference around 14% in the stresses at the junction of the ring and shell. Although in the FE multi-layered composite model the junction of the ring and shell laminates are not adequately bonded together to ensure continuity there is a slight difference in longitudinal and tangential stress distributions between the analytical and numerical models. The stresses near the junction dramatically increased by 43% but the general behavior as a result of discontinuity is picked up by both models. Although the tendency is similar, the FE model lacks accuracy due to the ring and shell laminate bounding discrepancy.
Figure 5-14 Tangential stress distribution at the outside flange surface during bolt-up
Figure 5-15 Tangential stress distribution at the inside flange surface during bolt-up
In general, the graphs show a good agreement between the results of the analytical model and numerical model; this supports the robustness and accuracy of the proposed analytical model. In fact, the analytical approach and the FE model show the stress increase at the junction of the ring and the shell where the maximum stress concentration exists. Furthermore, a thorough investigation of the distribution of stresses in the specific laminate lay-up of the bolted flange joint with the hub will be conducted and presented in section 5.4.
Figure 5-16 Longitudinal stress distribution at the outside flang surface during pressurization
Figure 5-17 Longitudinal stress distribution at the inside flange surface during pressurization
Figure 5-18 Tangential stress distribution at the outside flange surface during pressurization
Figure 5-19 Tangential stress distribution at the inside flange surface during pressurization
5.3.2 Radial displacement
The radial displacement of the flange during bolt-up and pressurization are depicted in Figure 5-20. The comparison between the results obtained from the analytical and FE models show a good agreement at all locations along the shell axial length of FRP flange. The difference observed between the analytical and numerical models is less than 9% and 5% during bolt-up and pressurization respectively. Obviously, the good agreement between the two models confirms the accuracy of the analytical approach of FRP bolted flange joint.
5.4 Results for the NPS 12 flange with the hub
In this section, the results for the NPS 12 class 150 FRP bolted flange joints with the hub are presented. Comparisons of the longitudinal and tangential flange stresses and radial displacement obtained from the analytical and FE models are conducted with special focus on the hub region. FRP flange with the hub requires a more elaborate model that includes the three parts; shell, hub, and ring. The analytical results obtained from the MATLAB program for a bolted flange joint with the hub is available in Appendix A.
5.4.1 Flange stresses
The longitudinal and tangential stress distributions at the inside and outside surface of the flange at bolt-up are illustrated in Figures 5-21 to 5-24. These figures show clearly that the
analytical and FE distributions at the inside and outside flange surfaces during bolt-up have the same tendency. In this case, the distributions of the longitudinal and tangential stresses are in a good agreement and the results are in concordance, with a difference of less than 4%. As anticipated during bolt-up, due to the lack of the pressure inside of FRP bolted flange joints, the stresses in the shell far away from the hub and shell junction are nil.
Figures 5-25 to 5-28 present the longitudinal and tangential stress distributions after the application of internal pressure of 1.345 MPa. A similar stress distribution trend along the hub and cylinder length is observed in both the analytical and FE models. However, the FE numerical results show higher stress values at the outside flange surface near the junctions of the hub and the shell and the hub and ring flange (see figure 5-25 and 5-26). In comparing the analytical and numerical results near the junctions of the hub and the ring, the difference observed between the two is around 22% and 18% for the longitudinal stress distribution at the outside and inside flange surface respectively. Such differences are anticipated because these junctions are smoother and the laminates are not interconnected in the FE models. Moreover, the presence of the high local stresses in the composite flanges affects considerably the stress distribution particularly at the outside surface of the hub and shell. Since the material properties vary through the thickness of the composite flanges, there is an even distribution of stresses. Although in the junction of hub and ring, the longitudinal stress at inner and outer surfaces show around 20% maximum difference, the distributions very consistent (figures 5-25 and 5-26).
Figure 5-21 Longitudinal stress distribution at the outside flange surface during bolt-up
Figure 5-22 Longitudinal stress distribution at the inside flange surface during bolt-up
Figure 5-23 Tangential stress distribution at the outside flange surface during bolt-up
Figure 5-24 Tangential stress distribution at the inside flange surface during bolt-up
Figure 5-25 Longitudinal stress distribution at the outside flang surface during pressurization
Figure 5-26 Longitudinal stress distribution at the inside flange surface during pressurization
Figures 5-27 and 5-28 show a relatively good agreement between the analytical and FE models during pressurization with a difference of less than 4% except in the junctions. Nevertheless, while the results of the tangential stresses at the inner and outer flange surface are shown to have the same trend, those at the hub show a slight discrepancy that is acceptable in the design since some simplifications were made at the junctions. Indeed as expected, at the junction of the hub and the shell where the maximum stress concentration exists, the stresses at this location increased drastically by around 92%. This phenomenon also occurs near the hub to the flange ring junction. It is to be noted that considering the small tapered portion of the hub that is not considered in the analytical model, the results would be affected. Nonetheless, the difference is not significant and is acceptable for design purposes.
Figure 5-27 Tangential stress distribution at the outside flange surface during pressurization
Figure 5-28 Tangential stress distribution at the inside flange surface during pressurization
5.4.2 Radial displacement
The radial displacement results obtained from numerical and analytical models of FRP bolted flange joint with the hub at bolt-up and pressurization are compared in figure 5-29. As shown in the figures, there has not a similar trend but are in good agreement with each other. The difference observed between the analytical and numerical results is less than 3% and 5% during bolt-up and pressurization respectively.
From these figures, the radial displacement of the shell is shown to be much higher than the flange ring and hub because these two structures are much stiffer.
Figure 5-29 Radial displacement of the flange during bolt-up and pressurization
CONCLUSIONS
The ability of FRP materials to resist in harsh and chemical environments and their comparatively high corrosion resistance has made them the best choice in pressure vessels and piping applications related to chemical, water, gas services, nuclear and petrochemical industries. A comprehensive study of the literature on FRP bolted flange joints was carried out. According to the literature, the current procedure used for the design of FRP flanges is a major concern because of their inappropriateness to address the anisotropic behavior of composite materials.
The main objective of this work was to address this need and develop an accurate analytical model to evaluate the stresses and strains of FRP bolted flange joints taking into consideration the anisotropy of the flange material.
In order to achieve the main objective of this study, a methodology for the analytical, numerical and experimental study was developed. The study is prominent in dealing with the behavior of FRP bolted flange assembly subjected to internal pressure. To allow verification of results, experimental and FE methods were used as complementary methods to validate the robustness of the developed analytical model.
The composite flange was divided into three structures, namely the shell, the hub, and the flange ring or plate. The developed analytical model of FRP flange is based on the theory of composite thin cylinders, the theory of thin plates subjected to transverse loading, and the short cylinder theory adapted for composite materials.
The proposed model was then validated by comparison with the results obtained from experimentation and finite element modeling. The novelty of this analytical model is to treat the integrity and tightness of FRP bolted joint taking into account the anisotropy material behavior and the flexibility of all joint elements including the gasket, bolts, and flanges.
The analytical approach has been developed for FRP bolted flange joints with and without the hub and is based on classical lamination theory for composites and the elastic interaction between all bolted joint assembly components. The developed analytical model presented in chapter 2 includes the flexibility of all parts of the bolted flange joint in both axial and radial direction. The complex design and geometry of FRP flanges make it difficult to develop general analytical studies for this kind of flange. Despite the complexity and rigorous mathematical analysis of the composite flanges, the developed analytical model successfully and accurately reproduced the real behavior of FRP bolted flange joints during bolt-up (or initial tightening) and pressurization (operating) conditions.
Experimentation and numerical finite element modeling are the two-method used for validation of the proposed analytical model. The experimental tests were conducted on a well-equipped test bench that uses a NPS 3 class 150 FRP flange with a hub. Three different FE models for three different type of FRP flanges were modeled; an NPS 3 class 150 with a hub and an NPS 12 class 150 with and without the hub. The stress analysis and comparison are focused on the radial displacement and the tangential and longitudinal stresses at the inside and outside of the flange surfaces. The FE models were developed based on isotropy and anisotropy behavior of FRP materials and anisotropy shell element model using ANSYS PrepPost (ACP).
The stresses obtained from strain measurements in the hub and those from FEM considering anisotropy are reasonably well predicted by the analytical model. The maximum differences observed between the analytical model and experimental measurement and FE numerical models are as follows. In the case of NPS 3 class 150 FRP flange with a hub:
- Tangential stress 19%;
- Longitudinal stress 14%;
- Radial displacement 6%.
In the case of NPS 12 FRP flange without the hub:
- Tangential stress 13%;
- Longitudinal stress 9%;
Radial displacement 5%.
In the case of NPS 12 FRP flange with the hub:
Tangential stress 17%;
Longitudinal stress 12%;
Radial displacement 5%.
In addition, the work points to the fact that the reliability and accuracy of the FE model of FRP bolted flange joints strongly depends on the consideration of the anisotropy behavior of the flange FRP material. The study shows that isotropy material properties underestimate stresses by around 35%. From the results obtained by both numerical FE model and experimental investigation, the proposed analytical model for FRP flanges with and without the hub has proved to be efficient, accurate and reliable in predicting the longitudinal and tangential stress distribution on the flange surface and radial displacement of the flange. Furthermore, it can be deduced that the FE model which is developed for FRP flanges with and without the hub can explain with acceptable accuracy the stress distribution of FRP bolted flange joints even at the hub part of the flange as well as the junction of the ring and the hub where the maximum stress concentration exists.
The results of this investigation have led to this conclusion that the approach presented in this study provides a formulation consistent with the ASME BPV Code Section X standard, allowing an accurate, reliable and thorough design and evaluation of FRP bolted flange joints. However, additional experimental tests on FRP materials with different properties in the two longitudinal and tangential directions and larger diameter FRP flanges are required to confirm these findings.
RECOMMENDATIONS
Additional experimental tests on larger diameter FRP flanges and other FRP materials with different properties in the two longitudinal and tangential directions could be conducted to further support and validate the accuracy and robustness of the analytical and numerical models for different FRP flange size.
The behavior of FRP materials is affected by the harsh environment and by temperature and humidity. Therefore, future work can be directed towards an investigation of FRP bolted flange joints when exposed to elevated temperature and high humidity. That study involves the use of a combination of experimental, analytical and numerical methods to analyze bolted flange joints made of composite materials from integrity and leak tightness standpoints.
Another major concern of FRP bolted flange joints is their long-term creep-relaxation behavior. The analytical model presented in this thesis could be extended to incorporate load relaxation caused by the creep of the composite flange. The investigation could also include the influence of thermal ratcheting caused by temperature thermal cycling of the composite flange on the bolt load drop.
And finally, experimental studies on the leak rates of FRP bolted flange joints at the ambient and high temperature used with different gasket materials would be valuable work in the future. The current study could be extended to a wider range of application that includes polymeric flange joints and in particular those flanges made out of PVC and HDPE since these are increasingly used in domestic gas and water services.
APPENDIX A
ANALYTICAL PROGRAM FOR FRP BOLTED FLANGE JOINT
%-----------------------------------------------%
% ANALYTICAL PROGRAM FOR FRP BOLTED FLANGE JOINTS %
% Flange NPS 3 %
% Flange NPS 12 with the hub %
% Flange NPS 12 without the hub %
%-----------------------------------------------%
clc;
clear;
% Notations
% h: hub
% s: shell
% p: ring/plate
%-----------------------------------------------%
% Flange NPS 12 with the hub %
%-----------------------------------------------%
r_go = 241.3; % Outside gasket radius mm
r_gi = 152.4; % Inside gasket radius mm
d = 22.7; % bolt diameter
d_h = 25.4; % bolt hole diameter
p_t = 2; % number of thread per mm
l_h = 190.5; % hub length _mm_
l_s = 300; % effective length of the shell _mm_
r_i = 152.4; % flange/shell inner radius _mm_
r_o = 241.3; % outer radius of the flange _mm_
r_b = 215.9; % bolt circle radius _mm_
t_f = 47.625; % thickness of the flange _mm_
t_h = 41.8; % equivalent thickness of the hub _mm_
t_s = 17.1; % thickness of the shell _mm_ (c)
r_h = r_i+t_h/2; % hub mean radius mm_
r_s = r_i+t_s/2; % inner radius of shell mm
t_g = 3; % thickness of the gasket _mm
E_g = 55; % compression modulus of gasket MPa
l_b = 0.5*t_1.125*d+2*t_f+t_g; % initial bolt length _mm_
P = 1.034; % internal pressure MPa
nu_f = 0.2; % Poisson's ratio of flange
E_b = 21000; % Young's modulus of bolts MPa
S_b = 175.00; % bolt stress MPa
n = 12; % Number of bolts
nu_s = 0.3; % Poisson's ratio of shell
nu_h = 0.3; % Poisson's ratio of joint element
%---------------------------------------------------------------%
% Flange NPS 12 without the hub
%---------------------------------------------------------------%
r_go = 495.3/2; % Outside gasket radius mm
r_gi = 300/2; % Outside gasket radius mm
d = 16; % bolt diameter
d_h = 19; % bolt hole diameter
p_t = 2; % number of thread per mm
l_h = 114.3; % hub length mm
l_s = 147.6; % effective length of the shell mm
r_i = 300/2; % flange/shell inner radius mm
r_o = 495.3/2; % outer radius of the flange mm
r_b = 425/2; % bolt circle radius mm
t_f = 38.1; % thickness of the flange mm
t_h = 27; % equivalent thickness of the hub mm
t_s = 17; % thickness of the shell mm (c)
r_h = r_i+t_h/2; % hub mean radius mm
r_s = r_i+t_s/2; % inner radius of shell mm
t_g = 3; % thickness of the gasket mm
E_g = 55; % compression modulus of gasket MPa
l_b = 0.5*1.125*d+2*t_f+t_g; % initial bolt length mm
p = 0.3450; % internal pressure MPa
nu_f = 0.2; % Poisson's ratio of flange
E_B = 210000; % Young's modulus of bolts MPa
S_b = 175.00; % bolt stress MPa
n = 12; % Number of bolts
nu_s = 0.3; % Poisson's ratio of shell
nu_h = 0.3; % Poisson's ratio of joint element
%---------------------------------------------------------------%
% Flange NPS 3
%---------------------------------------------------------------%
r_go = 7.5/2*25.4; % Outside gasket radius mm
r_gi = 3/2*25.4; % Inside gasket radius mm
d = 0.625*25.4; % bolt diameter mm
d_h = 0.75*25.4; % bolt hole diameter mm
p_t = 11*25.4; % number of thread per mm
l_h = 2.139*25.4; % hub length mm
l_s = 7.048*25.4; % effective length of the shell mm
r_i = 3/2*25.4; % flange/shell inner radius mm
r_o = 7.5/2*25.4; % outer radius of the flange mm
r_b = 6/2*25.4; % bolt circle radius mm
t_f = 0.813*25.4; % thickness of the flange mm
t_h = 0.607*25.4; % equivalent thickness of the hub mm
t_s = 0.25*25.4; % thickness of the shell mm
r_h = r_i+t_h/2; % hub mean radius mm
r_s = r_i+t_s/2; % inner radius of shell mm
t_g = 0.125*25.4; % thickness of the gasket mm
E_g = 55; % compression modulus of gasket MPa
l_b = 0.5*1.125*d+2*t_f+t_g; % initial bolt length mm
p = 1.034; % internal pressure MPa
nu_f = 0.2; % Poisson's ratio of flange
E_b = 210000; % Young's modulus of bolts MPa
S_b = 175; % bolt stress MPa
n = 4; % Number of bolts
nu_s = 0.3; % Poisson's ratio of shell
nu_h = 0.3; % Poisson's ratio of shell
% -----------------------------------------------
%Laminate Data for NPS 3
% As=[21.5, 21.5, 3.38]*1000;
% Bs=[0, 0, 0];
% Ds=[5190, 5190, 825.3]*1000;
%
% Ah=[21.5, 21.5, 3.38]*1000;
% Bh=[0, 0, 0];
% Dh=[5190, 5190, 825.3]*1000;
%
% As=Ah;
% Ds=Dh;
%
% Ap=[39.7, 39.7, 6.09]*1000;
% Bp=[0, 0, 0];
% Dp=[29484, 29484, 4615]*1000;
%-----------------------------------------------
A_b = n*pi*(d-0.9382/p_t)^2/4; % Bolt stress area mm^2
A_br = n*pi*(d-1.22687/p_t)^2/4; % Bolt root area mm^2
F_b = S_b*A_br; % bolt force _N_
F_g = F_b; % gasket force _N_
r_g = 2/3*(r_gi^2+r_go^2+r_gi*r_go)/(r_gi+r_go); % effective gasket radius _mm_
r_g=r_gi+2/3*(r_go-r_gi)/2;
A_p = pi*r_g^2;
K_b = A_b*E_b/l_b; % bolt uniaxial stiffness _N/mm_
A_g = pi*(r_go^2-r_gi^2); % gasket are mm^2
K_g = A_g*E_g/t_g; % gasket uniaxial stiffness _N/m_
%Shell laminate
beta_s = ((As(2)*As(1)-(As(3))^2)/(4*r_s^2*Ds(1)*As(1)))^(1/4);
D_s = Ds(1);
%Hub laminate
beta_h = ((Ah(2)*Ah(1)-(Ah(3))^2)/(4*r_h^2*Dh(1)*Ah(1)))^(1/4);
D_h = Dh(1);
B11=(sinh(2*beta_h*l_h)-sin(2*beta_h*l_h))/(2*((sinh(beta_h*l_h))^2-(sin(beta_h*l_h))^2));
B12=(cosh(2*beta_h*l_h)-cos(2*beta_h*l_h))/(2*((sinh(beta_h*l_h))^2-(sin(beta_h*l_h))^2));
B22=(sinh(2*beta_h*l_h)+sin(2*beta_h*l_h))/((sinh(beta_h*l_h))^2-(sin(beta_h*l_h))^2);
G11 = - (cosh(beta_h*l_h) * sin(beta_h*l_h) -
sinh(beta_h*l_h) * cos(beta_h*l_h)) / ((sinh(beta_h*l_h))^2 -
(sin(beta_h*l_h))^2);
G12 = -2 * sinh(beta_h*l_h) * sin(beta_h*l_h) / ((sinh(beta_h*l_h))^2 -
(sin(beta_h*l_h))^2);
G22 = 2 * (cosh(beta_h*l_h) * sin(beta_h*l_h) + sinh(beta_h*l_h) * cos(beta_h*l_h)) /
((sinh(beta_h*l_h))^2 - (sin(beta_h*l_h))^2);
C_5 = 2;
C_6 = 0;
C_7 = 0;
C_8 = 0;
K = r_o / r_i;
D0 = 2 * (r_o - r_i) / log(K);
D0 = D0 - (d_h / (pi * 2 * r_b / n) * (D0 - 2 * d / log((2 * r_b + d) / (2 * r_b - d))));
r_m = D0 / 2;
% Plate theory
L2 = (r_i * r_o^2) / ((r_o^2 - r_i^2) * (Ap(3) - Ap(1)));
L1 = (r_i^3) / ((r_o^2 - r_i^2) * (Ap(3) + Ap(1)));
L23 = (r_i - 2 * r_i * log(r_i / r_o)) / (8 * Dp(1) * pi);
L24 = r_i * ((r_o^2 - r_i^2) * (Dp(3) - Dp(1)) + 2 * r_i^2 * log(r_i / r_o) * (Dp(1) + Dp(3))) /
(8 * Dp(1) * pi * (r_o^2 - r_i^2) * (Dp(1) + Dp(3)));
L25 = r_o^2 * r_i * log(r_i / r_o) * (Dp(1) + Dp(3)) /
(4 * Dp(1) * pi * (r_o^2 - r_i^2) * (Dp(1) - Dp(3)));
L20 = r_i^3 / ((r_o^2 - r_i^2) * (Dp(1) + Dp(3)));
L22 = r_o^2 * r_i / ((r_o^2 - r_i^2) * (Dp(1) - Dp(3)));
L26 = L20 + L22;
L27 = L23 + L24 + L25;
C_9 = 1 / K_b + 1 / K_g;
C_10 = A_p / K_g;
D = [
B11 / (2 * beta_h^3 * D_h), B12 / (2 * beta_h^2 * D_h), G11 / (2 * beta_h^3 * D_h), G12 / (2 * beta_h^2 * D_h), -1, 0, 0, 0, 0 ...
;
B12 / (2 * beta_h^2 * D_h), B22 / (2 * beta_h * D_h), G12 / (2 * beta_h^2 * D_h), G22 / (2 * beta_h * D_h), 0, -1, 0, 0, 0 ...
;
G11 / (2 * beta_h^3 * D_h), G12 / (2 * beta_h^2 * D_h), B11 / (2 * beta_h^3 * D_h), B12 / (2 * beta_h^2 * D_h), 0, 0, -1, 0, 0 ...
;
G12 / (2 * beta_h^2 * D_h), -G22 / (2 * beta_h * D_h), -B12 / (2 * beta_h^2 * D_h), -B22 / (2 * beta_h * D_h), 0, 0, 0, -1, 0 ...
;
1 / (2 * beta_s^3 * D_s), 1 / (2 * beta_s^2 * D_s), 0, 0, -1, 0, 0, 0, 0 ...
;
-1 / (2 * beta_s^2 * D_s), -1 / (beta_s * D_s), 0, 0, 0, -1, 0, 0, 0 ...
;
0, 0, -(L1 - L2), 0, 0, 0, -1, t_f / 2, 0 ...
;
0, 0, t_f / 2 * L26, -L26, 0, 0, 0, -1, (r_b - r_g) / (2 * pi * r_m) * L27 ...
;
0, 0, 0, 0, 0, 0, C_5 * (r_b - r_g), C_9];
U = zeros(9,9);
D(9,:) = 0;
U(9) = P_b;
D(9,9) = 1;
Coefficient_Matrix = [D];
Results = Coefficient_Matrix \ U;
% -----------------------------------------------
P_1(1) = Results(1);
M_1(1) = Results(2);
P_2(1) = Results(3);
M_2(1) = Results(4);
u_h1(1) = Results(5);
theta_h1(1) = Results(6);
u_h2(1) = Results(7);
thetaf(1) = Results(8);
Fb_b(1) = Results(9);
% -----------------------------------------------
D(9,8) = C_5 * (r_b - r_g);
D(9,9) = C_9;
U = [- (Ah(1) - Ah(3)/2) / (4*beta_h^4*Ah(1)*Dh(1)) * p ; 0 ...
- (Ah(1) - Ah(3)/2) / (4*beta_h^4*Ah(1)*Dh(1)) * p ; 0 ...
- (As(1) - As(3)/2) / (4*beta_s^4*As(1)*Ds(1)) * p ; 0 ;
-(L1-L2)*t_f*p ;
(r_g-r_i)*(r_g^2+r_i^2)*p/(4*r_m)*L27 ...
; C_9*F_b + 2*(r_b-r_g)*thetaf(1) + C_10*p - (C_8)];
Coefficient_Matrix = [D];
Results = Coefficient_Matrix \ U;
% -----------------------------------------------
P_1(2) = Results(1);
M_1(2) = Results(2);
P_2(2) = Results(3);
M_2(2) = Results(4);
u_h1(2) = Results(5);
theta_h1(2) = Results(6);
u_h2(2) = Results(7);
thetaf(2) = Results(8);
Fb_b(2) = Results(9);
k=50;
% -----------------------------------------------
% Stress Calculation in the hub part
% -----------------------------------------------
Slih=zeros(k,2); % Longitudinal stress at the inside surface of the hub [MPa]
Sloh=zeros(k,2); % Longitudinal stress at the outside surface of the hub [MPa]
Stih=zeros(k,2); % Tangential stress at the inside surface of the hub [MPa]
Stoh=zeros(k,2); % Tangential stress at the outside surface of the hub [MPa]
xh=zeros(k,1);
u_h2sp=zeros(2,1);
u_h=zeros(k,2) % Radial displacement [mm]
theta_h=zeros(k,2) % Rotation
Mh=zeros(k,2) % Moments [N.mm]
Oh=zeros(k,2) % Shear forces [N]
Nxh=zeros(k,2)
Nth=zeros(k,2)
for j=1:1:2
u_h2sp(j)=u_h2(j)-(Ah(1)-Ah(3)/2)/(4*beta_h^4*Ah(1)*Dh(1))*p*(j-1);
i=0;
for x = 0:1:h/(k-1):l_h
i=i+1;
xhi(i)=x;
F11= (cosh(beta_h*x) * sin(beta_h*x) - sinh(beta_h*x) * cos(beta_h*x))/2;
F12= sin(beta_h*x) * sinh(beta_h*x);
F13= (cosh(beta_h*x) * sin(beta_h*x) + sinh(beta_h*x) * cos(beta_h*x))/2;
F14= cosh(beta_h*x) * cos(beta_h*x);
u_h(i,j)=P_2(j)/(2*beta_h^3*Dh(1))*F11+ M_2(j)/(2*beta_h^2*Dh(1))*F12+
thetah(j)/beta_h*F13+u_h2sp(j)*F14;
% u_h(i,j)=(P_2(j)/(beta_h^3*Dh(1))*F11+ M_2(j)/(beta_h^2*Dh(1))*F12+
2*thetah(j)/beta_h*F13+2*u_h2sp(j)*F14);
theta_h(i,j)=beta_h*(P_2(j)/(2*beta_h^3*Dh(1))*F12+
2*M_2(j))/(2*beta_h^2*Dh(1))*F13+thetah(j)/beta_h*F14-2*u_h2sp(j)*F11);
Mh(i,j)=2*beta_h^2*Dh(1)*(P_2(j)/(2*beta_h^3*Dh(1))*F13+M_2(j)/(2*beta_h^2*Dh(1))*F14-thetah(j)/beta_h*F11-u_h2sp(j)*F12);
Qhi,j)=2*beta_h^3*Dh(1)*(P_2(j)/(2*beta_h^3*Dh(1))*F14-
2*M_2(j))/(2*beta_h^2*Dh(1))*F11-thetah(j)/beta_h*F12-2*u_h2sp(j)*F13);
Nxh(i,j)=p*(j-1)*r_h/2;
Nth(i,j)=(u_h(i,j)+(Ah(1)-Ah(3)/2)/(4*beta_h^4*Ah(1)*Dh(1))*p*(j-1))/r_h(Ah(2)-(Ah(3))^2/Ah(1))+(Ah(3)/Ah(1)*Nxh(i,j));
Slih(i,j) = Nxh(i,j)/t_h+6*Mh(i,j)/(t_h^2);
Sloh(i,j) = Nxh(i,j)/t_h-6*Mh(i,j)/(t_h^2);
Stih(i,j) = Nth(i,j)/t_h+6*Dh(3)/Dh(1)*Mh(i,j)/(t_h^2);
Stoh(i,j) = Nth(i,j)/t_h-6*Dh(3)/Dh(1)*Mh(i,j)/(t_h^2);
end
end
% -----------------------------------------------%
% Stress Calculation in the shell part
% -----------------------------------------------%
Slis=zeros(k,2); % Longitudinal stress at inside surface of the shell [MPa]
Slos=zeros(k,2); % Longitudinal stress at outside surface of the shell [MPa]
Stis=zeros(k,2); % Tangential stress at inside surface of the shell [MPa]
Stos=zeros(k,2); % Tangential stress at outside surface of the shell [MPa]
xs=zeros(k,1);
u_s=zeros(k,2) % Radial displacement [mm]
theta_s=zeros(k,2) % Rotation
Ms=zeros(k,2) % Moments [N.mm]
Qs=zeros(k,2) % Shear forces [N]
Nx_s=zeros(k,2)
Nts=zeros(k,2)
Rs = r_i+t_s/2;
for j=1:1:2
i=0;
for x = 0:l_s/(k-1):l_s
i=i+1;
xs(i)=x;
f1= exp(-beta_s*x) * cos(beta_s*x);
f2= exp(-beta_s*x) * (cos(beta_s*x)-sin(beta_s*x));
f3= exp(-beta_s*x) * (cos(beta_s*x)+sin(beta_s*x));
f4= exp(-beta_s*x) * sin(beta_s*x);
u_s(i,j)= P_l(j)/(2*beta_s^3*Ds(1))*f1+ M_l(j)/(2*beta_s^2*Ds(1))*f2;
% u_s(i,j)=(P_l(j)/(beta_s^3*Ds(1))*f1+ M_l(j)/(beta_s^2*Ds(1))*f2);
theta_s(i,j)= beta_s*(-P_l(j)/(2*beta_s^3*Ds(1))*f3-2*M_l(j)/(2*beta_s^2*Ds(1))*f1);
Ms(i,j)=2*beta_s^2*Ds(1)*(P_l(j)/(2*beta_s^3*Ds(1))*f4+M_l(j)/(2*beta_s^2*Ds(1)))*f3);
Qs(i,j)=2*beta_s^3*Ds(1)*(P_l(j)/(2*beta_s^3*Ds(1))*f2-2*M_l(j)/(2*beta_s^2*Ds(1))*f4);
Nx_s(i,j)=p*(j-1)*r_s/2;
Nts(i,j)=(u_s(i,j)+(As(1)-As(3))/2)/(4*beta_s^4*As(1)*Ds(1))*p*(j-1))/r_s*(As(2)-(As(3))^2/As(1))+As(3)/As(1)*Nx_s(i,j);
Slis(i,j) = Nx_s(i,j)/t_s+6*Ms(i,j)/t_s^2;
Slos(i,j) = Nx_s(i,j)/t_s-6*Ms(i,j)/t_s^2;
Stis(i,j) = Nts(i,j)/t_s+6*Ds(3)/Ds(1)*Ms(i,j)/t_s^2;
Stos(i,j) = Nts(i,j)/t_s-6*Ds(3)/Ds(1)*Ms(i,j)/t_s^2;
end
end
% ---------------------------------
% Stress Calculation in the Flange
% ---------------------------------
xx=[xh xs+l_h];
i=1;
Sli{i,:}=[Slih{i,:} Slis{i,:}];
Slo{i,:}=[Sloh{i,:} Slos{i,:}];
Sti{i,:}=[Stih{i,:} Stis{i,:}];
Sto{i,:}=[Stoh{i,:} Stos{i,:}];
figure(1);
plot(xx,Sli(1,:), 'b*-',xx,Slo(1,:), 'r-^',xx,Sti(1,:),'m--o',xx,Sto(1,:),'k-.s')
legend ('longitudinal inside','longitudinal outside','tangential inside','tangential outside','Location','SouthEast')
set(findobj(gca,'type','line'),'MarkerSize',5)
grid on
title('Variation of stresses with length (Bolt-up)')
xlabel('axial position from ring, mm')
ylabel('Stress, MPa')
i=2;
Sli{i,:}=[Slih{i,:} Slis{i,:}];
Slo{i,:}=[Sloh{i,:} Slos{i,:}];
Sti{i,:}=[Stih{i,:} Stis{i,:}];
Sto{i,:}=[Stoh{i,:} Stos{i,:}];
figure(2);
plot(xx,Sli(2,:), 'b*-',xx,Slo(2,:), 'r-^',xx,Sti(2,:),'m--o',xx,Sto(2,:),'k-.s')
legend ('longitudinal inside','longitudinal outside','tangential inside','tangential outside','Location','SouthEast')
set(findobj(gca,'type','line'),'MarkerSize',5)
grid on
title('Variation of stresses with length (Pressurization)')
xlabel('axial position from ring, mm')
ylabel('Stress, MPa')
u=[uh us];
figure(3);
plot(xx,u(1,:), 'b*-',xx,u(2,:),'r-^')
legend ('bolt up','Pressurization','Location','SouthEast')
set(findobj(gca,'type','line'),'MarkerSize',5)
grid on
title('Variation of displacement')
xlabel('axial position from ring, mm')
ylabel('Displacement, mm')
APPENDIX B
LabVIEW program
Figure B-1 LabView graphical interface
Figure B-2 LabView graphical interface
Figure B-3 LabView graphical interface
Figure 5-4 LabView graphical interface
Figure 5-5 LabView graphical interface
Figure 5-6 LabView graphical interface
Figure 5-7 VI hierarchy of the developed program
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|
14 April 1944
SUBJECT: Transmittal of Missing Air Crew Report.
TO: Commanding Officer, 451st Bombardment Group (H) APO 520, US Army.
1. Transmitted herewith Missing Air Crew Report of Crew #451-3-23, assigned to this Squadron, reported missing in action as of 12 April 1944 on mission over Zagreb, Yugoslavia.
| RANK | NAME | ASN |
|--------|--------------------|---------|
| 2nd Lt | BERGMANN, RAY W. | O-684247|
| 2nd Lt | CURTMAN, KEITH (WAI)| O-693009|
| 2nd Lt | BLACKMAN, KENT G. | O-694315|
| Flt O | BUCHER, GEORGE H. | T-143700|
| S/Lt | Hirsch, Charles A. | 3243514 |
| S/Sgt | Lindsay, Elmer T. | 14248710|
| S/Sgt | Cameron, Maurice R.| 11110693|
| S/Sgt | Douglas, John R. | 18020016|
| Sgt | Mackey, Ronald R. | 35843501|
| Sgt | Gordon, Marvin H. | 15377276|
2. Subject personnel are battle casualties as defined by paragraph 2, Section II, Circular 10, NATUSA, date, 24 January 1944.
3. Battle casualty Report forwarded your headquarters 13 April 1944.
For the Squadron Commander:
[Signature]
1st Lt., Air Corps,
Adjutant.
1 incl:
Incl 1 - MSG Sgt, LT WARD, 2 Crew
14 Apr 44 w/2 incl (Joint)
U.S. CONFIDENTIAL Equals British CONFIDENTIAL
360.33 Let Ind. C-FM/ars
HQ 461st Bomb Up (H), A.F.O.C. #520, U.S. Army 24 April 1944.
TO: Commanding General, 49th Wing, A.F.O. #520, U.S. Army.
Battle Casualty report forwarded your headquarters 15 April 1944.
For the Commanding Officer:
C. E. Campbell Jr.,
WDP, USA,
Ass't. Adjutant.
1 Incl:
MAC Rpt., Lt. Bergmann & Crew.
14 Apr 44 w/2 Inols (quad).
360.33 2nd Ind. C-FM-10
HEADQUARTERS 49TH BOMB WING (H), APO 520, 26 April 1944.
TO: Commanding General, Fifteenth Air Force, APO 520, U.S. Army.
1 Incl: n/e
AG 360.33 3rd Ind. GF-hm/gow
HQ, FIFTEENTH AIR FORCE, APO 520, 30 April 1944.
TO: Sg, AFORUSA, APO 524. Attn: Casualty Branch, AGD.
1. Personnel included in attached MAC Report were processed on consolidated HCR No.1-57, dated 20 April 1944, which was forwarded to the 30th MHU 20 April 1944.
For the Commanding General:
Harold B. Healy,
Major, AG,
Assistant AG.
1 Incl:
Incl 1 (dup).
| Name | Status | Contact Information |
|-----------------------|--------|----------------------------------------------------------|
| 2nd Lt. Ray E. Bowers | POW | Mrs. Margaret Bowers, (Mother) Route Number Three, Box 350, Grants Pass, Oregon. |
| 2nd Lt. Keith Gurrans | POW | Mrs. Ray E. Gurrans, (Mother) 900 North A Drive, Arkansas City, Kansas. |
| 2nd Lt. Kent S. Kinloch | POW | Mr. Charles L. Kinloch, (Father) Post Office Box 174, Robinson, Illinois. |
| Flight Officer George R. Roegge | POW | Mrs. Marie A. Roegge, (Mother) Bettendorf, Iowa. |
| 2/Lt. Charles A. Hirsch | POW | Mrs. Sally Hirsch, (Mother) Smoker Road, Hempstead, Long Island, New York. |
| Sgt. James T. Rhodes | POW | Mrs. Joelle N. Rhodes, (wife) Route Number Two, Gander, North Carolina. |
| 2/Lt. Maurice R. Sasseran | POW | Mrs. Rita Cameron, (wife) 68 Reservoir, North Attleboro, Massachusetts. |
| 2/Lt. John R. Douglas | POW | Mrs. John A. Douglas, (Father) Route Number One, Chelsea, Oklahoma. |
| Sgt. Ronald R. Mackay | POW | Mr. and Mrs. Noble Mackay, (Parents) Box 197, Lebanon, Indiana. |
| Sgt. Marvin H. Gortin | POW | Mrs. Marjorie Gordon, (wife) Bristolville, Ohio. |
| DATE: 4/12/44 1200 | U.S.A. 116 | ME 1375 |
|-------------------|------------|---------|
| PLACES: near Kiseljak | 2nd.Lt. CHEFFAN, Keith | 0-691009 |
| 30 km SW. Sarajevo | 2nd.Lt. BLACKMAN, Kent G. | 0-691315 |
| TYPE: Liberator | 2nd.Lt. BORRE, George A. | 0-723700 |
| 725 (HB) 451 Group | 2nd.Lt. BERGHAN, Roy William | 0-642447 captured |
| BAZE: Nanduria | S/Sgt. HIRSCH, Charles A. | 1242941 |
| TARGET: Air Force Command South East | S/Sgt. GARRISON, Maurice A. | 11110493 |
| | S/Sgt. DOUGLAS, John R. | 18320016 |
| | Sgt. MACKIE, RENEE Ronald R. | 35548911 |
| | Sgt. SIMMONS, Elmer T. | 11149710 |
| | Sgt. GORDON, Marvin R. | 13577276 |
| NAME | RANK | SERIAL NUMBER | CAPT'ED | WOUNDED | DEAD | PLACE OF INTERROGATION |
|---------------|------------|---------------|---------|---------|------|------------------------|
| CHAPMAN | 2nd Lt. | 0-693008 | captured | | | Bataan Death March |
| BLACKMAN | 2nd Lt. | 0-684215 | captured | | | same |
| BORGE | 2nd Lt. | 0-137000 | captured | | | same |
| BURSHAM | 2nd Lt. | 0-684547 | captured | | | same |
| HIRSCH | 1st Sgt. | 33428814 | captured | | | Bataan Death March |
| GAZZANO | 1st Sgt. | 11110893 | captured | | | same |
| DOUGLAS | 1st Sgt. | 18030016 | captured | | | same |
| MACKAY | Sgt. | 35548891 | captured | | | same |
| HUMPHREY | Sgt. | 14149710 | captured | | | same |
| GORDON | Sgt. | 1537276 | captured | | | same |
**REMARKS:**
Bataan Death March, 25 November 1944, v. 2.
CONFIDENTIAL
SCALE 1:500,000
Approximate position last sighted
41-2410
HVAR
KORCULA
CONFIDENTIAL
By: NARA NARA Date: 1973
Name of crew member: BORGE, George R.
Rank: 2/0
Serial number: 3-38760
Position: Crew (Bomber) 2nd Lt. (Fighter) Bombardier.
Did he bail out? Yes
Where? Near Sarajevo, Yugo.
If not, why not?
Last contact or conversation just prior to or at time of loss of plane:
Uninjured and in good shape
Was he injured? No
Where was he when last seen? He was in prison camp (Stalag 7A) April 29, 1945, and in good shape at time of liberation from said camp.
Any hearsay information: No
It is in agreement with the temperament of the men that he would have been one of the ones who left the camp after liberation, to make his way on his own against the advice and orders of ranking officers in charge. However, I have no evidence to this affect.
Source:
Any explanation of his fate based in part or wholly on supposition:
The above information is entirely supposition. I knew the man well and do not think it at all unlikely.
Total number of missions of above crew member: One
Dates and destinations if possible: April 12, 1944; destination, somewhere in Yugoslavia, near Sarajevo.
Name of crew member: BIRCH, Charles A.
Rank: S/Air
Serial number: 2568024
Position: Crew (Bomber) Flight Engineer (righter): Upper Turret.
Did he bail out? Yes
Where? Near Sarajevo, Yugo.
If not, why not?
Last contact or conversation just prior to or at time of loss of plane:
In good shape; uninjured.
Was he injured? No
Where was he when last seen? Moosburg Germany, prison camp stalag 7A, at time of liberation, 29 April, 1945.
Any hearsay information: No
Source:
Any explanation of his fate based in part or wholly on supposition:
No. He was in good shape at the time of our liberation. I did not see him after this time.
Total number of missions of above crew member: One
Dates and destinations if possible: 12 April, 1944; destination, somewhere in Yugo, near Belgrad and Sarajevo.
1. Your name: Keith Curfman
Rank: 2nd Lt.
Serial No.: 0-693009
2. Organization: 400Bg Op Commander Eaton
Rank: Col
Sqn CO Davis
Rank: Maj
(full name)
(full name)
3. What year: 1944
month: April
day: 12
did you go down?
4. What was the mission: Bombing
target: Merhalling yds. Near Belgrade, Yugoslavia
time: 12:40
altitude: 18,000
route scheduled: Direct from Foggia
route flown: Same
5. Where were you when you left formation? Approximately 30 min in Yugo.
6. Did you bail out? Yes
7. Did other members of crew bail out? Yes, all of them
8. Tell all you know about when, where, how each person in your aircraft for whom no individual questionnaire is attached bailed out. A crew list is attached. Please give facts. If you don't know, say: "No Knowledge". All members bailed out. All were uninjured and in good mental shape. Used bomb bays and rear escape hatch. No one injured going out.
9. Where did your aircraft strike the ground? No knowledge
10. What members of your crew were in the aircraft when it struck the ground? (Should cross check with 8 above and individual questionnaires) None
11. Where were they in aircraft?
12. What was their condition?
13. When, where, and in what condition did you last see any members not already described above?
14. Please give any similar information on personnel of any other crew of which you have knowledge. Indicate source of information. I saw all members of the crew at different times in prison camps Stalag Luft 3, and Stalag 7a. They were all uninjured and in good shape with the exception of Page who was our waist gunner. He had been operated on for appendicitis just before our removal from Stalag Luft 3 to Moosburg. I never saw him after that.
(Any additional information may be written on the back)
Name of crew member: BOEGE, George R.
Rank: W/0
Serial number: T-35700
Position: Crew (Bomber) Aircraft (fighter): Bombardier.
Did he bail out? Yes
Where? NEAR SARAJEVO, YUGOSLAVIA
If not, why not?
Last contact or conversation just prior to or at time of loss of plane: N/A
Was he injured? No
Where was he when last seen? ITALY 7-A. MESSERBERG, APRIL 1945.
Any hearsay information: (PLEASE SIR I DON'T KNOW WHAT IS WRONG. OUR BOMBARDIER AND UPPER TURRET GUNNER WAS IN THE PRISON CAMP WITH ME UNTIL JAN. 25, 1944. I PERSONAL SAW BOTH OF THEM IN APRIL 1945. BOTH WERE RECAPTURED ON APRIL 29, 1945 AT STALAG VII A. I WAS THERE & SAW THEM.)
Source:
Any explanation of his fate based in part or wholly on supposition: None
IT'S FOR SURE I KNOW HE IS IN THE STATES AND ALIVE!
Total number of missions of above crew member: 146
Dates and destinations if possible: 1944-1945
Name of crew member: HIRSCH, Charles A.
Rank: S/Sgt.
Serial number: 38429514
Position: Crew (Bomber) **X** Upper Turret.
Did he bail out? Yes
Where? NEAR SARAJEVO, YUGOSLAVIA
If not, why not? L
Last contact or conversation just prior to or at time of loss of plane: NONE
Was he injured? NO
Where was he when last seen? STABAO T-F, MESSERG GERMANY APRIL 1945
Any hearsay information: NONE
Source:
Any explanation of his fate based in part or wholly on supposition: NONE
AS FAR AS I KNOW HE IS IN THE STATES, YOUR OBLIGENT.
Total number of missions of above crew member: ONE
Dates and destinations if possible:
1. Your name: John R Douglas
Rank: 5/Star
Serial No.: 18020016
2. Organization: 451 Gp Commander
Rank: Sqn CO Davis
Rank: MAT
(full name)
3. What year: 1944
month: April
day: 12
did you go down?
Sec. no.:
(full name)
4. What was the mission, target, altitude, route scheduled,
(full name)
5. Where were you when you left formation? I Don't Know!
6. Did you bail out? Yes.
7. Did other members of crew bail out? Yes.
8. Tell all you know about when, where, how each person in your aircraft for whom no individual questionnaire is attached bailed out. A crew list is attached. Please give facts. If you don't know, say: "No Knowledge". I DON'T KNOW. I WAS LUCKY OUR TAIL GUNNER WENT OUT FIRST AND I FOLLOWED.
9. Where did your aircraft strike the ground? I Don't Know.
10. What members of your crew were in the aircraft when it struck the ground? (Should cross check with 8 above and individual questionnaires) NONE. WE ALL DIED.
11. Where were they in aircraft?
12. What was their condition?
13. When, where, and in what condition did you last see any members not already described above? I SAW ALL 10 CREW MEMBERS AT 500 FT. IN APRIL 1944. THE WAS DRUNK! HE DIDN'T KNOW.
14. Please give any similar information on personnel of any other crew of which you have knowledge. Indicate source of information.
(Any additional information may be written on the back.)
6-3862, AF
Name of crew member: BOEGE, George R.
Rank: WO
Serial number: T-123700
Position: Crew (Bomber) Bombardier.
Did he bail out? Yes
Where? Near Sarajevo, Yugoslavia
If not, why not?
Last contact or conversation just prior to or at time of loss of plane:
Boege was sixth to bail out the bomb bay, following Hirsch.
Was he injured? No
Where was he when last seen? In prison camp at Stalag VII A, Moosburg, Ger.
Any hearsay information:
My latest information is that Boege is discharged and married living in Davenport, Iowa.
Source: Friends of San Antonio District P.O.
Any explanation of his fate based in part or wholly on supposition:
Total number of missions of above crew member: One
Dates and destinations if possible:
Name of crew member: BIRCH, Charles A.
Rank: 5/Air
Serial number: 32438614
Position: Crew (Bomber) Navigator/Observer Upper Turret.
Did he bail out? Yes
Where? Near Sarajevo, Yugoslavia
If not, why not?
Last contact or conversation just prior to or at time of loss of plane:
I pulled off his flak vest. He was trying to leave the plane.
Was he injured? No
Where was he when last seen? In prison camp at Stalag VII A, Moosburg.
Any hearsay information: None
Source:
Any explanation of his fate based in part or wholly on supposition: None
Total number of missions of above crew member: Five
Dates and destinations if possible:
1. Your name: Kent Gordon Blackman Rank: 1st Lt. Serial No.: 0-698345
2. Organization: 457th BG Commander: Edson (P) Rank: Col. Sqn CO: Davis (P) Rank: Major
3. What year: 1944, month: April, day: 12, did you go down?
4. What was the mission: Bombing, target: Ligny, Vosges, target time: 12:45 (Z), altitude: 21,000 feet, route scheduled: Same as scheduled
5. Where were you when you left formation? About one half hour before I.P.
6. Did you bail out? Yes
7. Did other members of crew bail out? Yes
8. Tell all you know about when, where, how each person in your aircraft for whom no individual questionnaire is attached bailed out. A crew list is attached. Please give facts. If you don't know, say: "No Knowledge".
All crew members bailed out safely and in usual emergency order. Nose compartment crew each bailed out the same way because of a faulty nose wheel escape hatch.
9. Where did your aircraft strike the ground? No Knowledge
10. What members of your crew were in the aircraft when it struck the ground? (Should cross check with # above and individual questionnaires) None
11. Where were they in aircraft?
12. What was their condition?
13. When, where, and in what condition did you last see any members not already described above?
14. Please give any similar information on personnel of any other crew of which you have knowledge. Indicate source of information. None
(Any additional information may be written on the back)
8-24-62, AF
Name of crew member: BOSSE, George R.
Rank: N/A
Serial number: 74890
Position: Crew (Bomber) 2nd Flight (Fighter): Bombardier.
Did he bail out? Yes
Where? Near Sajro
If not, why not?
Last contact or conversation just prior to or at time of loss of plane: Called crew gave order to bailout
Was he injured? No
Where was he when last seen? At location of prison camp
Any hearsay information:
Source:
Any explanation of his fate based in part or wholly on supposition: Supposed him to be still in captivity
Total number of missions of above crew member: One
Dates and destinations if possible: Tokyo, April 12, '45
Name of crew member: SIRGACH, Charles A.
Rank: 2/Lt.
Serial number: 47-10384
Position: Crew (Bomber) or Pilot (Fighter): Upper Turret.
Did he bail out? Yes
Where? Near Jagreb
If not, why not?
Last contact or conversation just prior to or at time of loss of plane: 200000
Was he injured? No
Where was he when last seen? At briefing camp
Any hearsay information:
Source:
Any explanation of his fate based in part or wholly on supposition: Singapore
Total number of missions of above crew member: 44+
Dates and destinations if possible: Japan April 12 44
6-3961, AF
1. Your name: Longley, Ray W. Rank: 1st Lt. Serial No.: 0-484247
2. Organization: 45th Gp Commander, Col. Smith. Rank: Col. Sqn CO Davis. Rank: Lt. Col.
3. What year: 44 month: April day: 12 did you go down? Yes
4. What was the mission: Target, target time: 1200 altitude: 20,000 route scheduled: 5th Course route flown: 1st Course
5. Where were you when you left formation: 20 min short of target
6. Did you bail out? Yes
7. Did other members of crew bail out? Yes
8. Tell all you know about when, where, how each person in your aircraft for whom no individual questionnaire is attached bailed out. A crew list is attached. Please give facts. If you don't know, say: "No Knowledge". They bailed out success fully, landed near the 14th Bomb Group then later landed up in 33rd Camp.
9. Where did your aircraft strike the ground? I believe it flew up first, I don't know what caused the explosion to occur.
10. What members of your crew were in the aircraft when it struck the ground? (Should cross check with 8 above and individual questionnaires) None
11. Where were they in aircraft?
12. What was their condition?
13. When, where, and in what condition did you last see any members not already described above? Shortly after 1200 hrs, second in fair shape.
14. Please give any similar information on personnel of any other crew of which you have knowledge. Indicate source of information. 2nd Gp Lt. Smith, Sgt. 1st Lt. of 1-45th Gp came up with me shortly after their ship shot down at 1200. To our knowledge, all others present.
(Any additional information may be written on the back)
6-3862, AF
Meldung über den Abschuss eines US-amerikanischen Flugzeuges
Abschuss und Zeit: 12.4.44, 12.00
Abschussort: B. Kieseljar
Flugzeugtyp: Liberator
Meldende Dienststelle: Lw. Kdo. Südost
Besatzung:
| Name und Vorname: | Dienstgrad | Erk.-Nr.: | Verbleib: |
|-------------------|------------|-----------|-----------|
| GURGAN Keith | 2/Lt. 0-693009 | gef. Stalag-Luft 3 |
| BLACKMAN Kent G. | 2/Lt. 0-694315 | gef. Stalag-Luft 3 |
| ROYER George V. | 2/Lt. 0-123700 | gef. dito |
| BERGMAN Roy William | 2/Lt. 0-684247 | gef. dito |
| HERSCH Charles A. | S/Sgt. 32429514 | gef. Stalag-Luft 4 |
| CAMERON Maurice A. | S/Sgt. 11110693 | gef. Stalag-Luft 4 |
| DOUGLAS John R. | S/Sgt. 18020016 | gef. dito |
| MACKBY Ronald R. | Sgt. 35548591 | gef. dito |
| REEDS Elmer T. | Sgt. 14149710 | gef. dito |
| GORDON Marvin H. | Sgt. 15377276 | gef. dito |
Bemerkungen:
DULAG-LUFT, den 25.11.44, v.S.
S 5837/44 Heidelberg Gutelei.org Druckerei GmbH. V. 44
|
Memorandum
To: Mayor and City Council
From: Roger Krieger
Date: May 10, 2023
Re: Dalton Creek Plat Approval – File LP 2021-2
Final approval of the first phase of the Dalton Creek Subdivision submitted by Two Old Boys LLC is before the Council for approval pursuant to DPMC 17.28.040(C)(5), which provides “the City Council shall determine whether conditions imposed when the preliminary plat was approved have been met or bonded and the requirements of state law and this title have been satisfied by the subdivider. And, if the City Council determines that the above conditions have been met and have approved the plat, the mayor shall thereupon cause the original drawing to be sign and transmitted to the County Treasurer’s office”.
Attached for your information is the application packet, final plat drawings, SEPA Determination and staff report, along with a copy of the original Findings of Fact and conditions by the Commission. This information was previously provided in February, 2022, as a status report to you after completion of the appeal period from the previous Planning Commission adoption of the preliminary plat.
This plat and improvements for Phase 1 have received all the engineering approvals and inspection and testing procedures required by the City during the project development work which has spanned over the past few months since the preliminary plat approval. This plat is complete in form, dedications, restrictions and signature blocks for approval. In addition, all as-built drawings have been received, fees collected and a warranty bond posted for the period of one year by the Contractor as required within the ordinance.
A specific motion of the Council is required to: 1) approve the Dalton Creek Phase 1 Final Plat, that is located in a portion of the SE ¼ of the NW ¼ of Section 11, Township 28 North, Range 42 East, W.M., City of Deer Park, Spokane County, Washington, 2) to accept all easements, dedications, restrictions and rights-of-way as shown, and 3) to accept all improvements completed within the subdivision for continued maintenance by the City of Deer Park.
FINAL PLAT DALTON CREEK ADDITION PHASE 1, LP2021-2
A PORTION OF THE SE ¼ OF THE NW ¼ OF SECTION 11,
TOWNSHIP 28 NORTH, RANGE 42 EAST, T.M.
STEWART COUNTY, GEORGIA
NOVEMBER 2022
SECTION 11, TOWN, RANGE
TOWNSHIP 28, RANGE 42, T.M.
TYPICAL LOT SETBACK DETAIL
| Lot 17 | Street frontage 35'-0" - common lot (20) |
|--------|------------------------------------------|
| Lot 18 | Street frontage 35'-0" - common lot (20) |
| Lot 19 | Street frontage 35'-0" - common lot (20) |
BASE
Lot 17: 35'-0" - common lot (20)
Lot 18: 35'-0" - common lot (20)
Lot 19: 35'-0" - common lot (20)
SECTION INDEX
SUSPENDED CERTIFICATE
IN THE STATE OF GEORGIA, COUNTY OF STEWART, BE IT KNOWN that I, the undersigned, do hereby certify that the above plat is a true and correct plat of the subdivision described in the attached description. The plat is prepared in accordance with the requirements of the Georgia Land Surveying Act and the rules and regulations promulgated thereunder by the Board of Registration of Land Surveyors of the State of Georgia. The plat is approved by the Board of Registration of Land Surveyors of the State of Georgia and is hereby certified to be a true and correct plat of the subdivision described in the attached description.
Dated: August 12, 2022
ANNIE L. PHILLIPS
PUBLIC NOTARY
STATE OF GEORGIA
COUNTY OF STEWART
My commission expires: April 16, 2023
RECORDING OF THIS PLAT IS NOT REQUIRED BY LAW. SHEET 1 OF 3
INTERNATIONAL SURVEY GROUP
P.O. Box 154, Hinesville, Georgia 31310
(912) 351-4111
FINAL PLAT DALTON CREEK PHASE 1
Section 11, Town, Range, T.M.
RECORDING OF THIS PLAT IS NOT REQUIRED BY LAW. SHEET 1 OF 3
FINAL PLAT DALTON CREEK ADDITION PHASE 1, LP2021-2
A PORTION OF THE SE 1/4, NE 1/4 OF SECTION 14,
TOWNSHIP 28 NORTH, RANGE 48 EAST, W.M.,
SPokane County, Washington, November 2022
PARCEL 28111.0035
FUTURE PHASE
PARCEL 28111.0035
SOUTH COLVILLE ROAD
60' RIGHT OF WAY
DALTON CREEK ADDITION PHASE 1 LINE TABLE
| Lot | Block | Area (Acres) | Area (Sq. Ft.) |
|-----|-------|--------------|----------------|
| | | | |
DALTON CREEK ADDITION PHASE 1 CORNER TABLE
| Corner | Description | Coordinates |
|--------|-------------|-------------|
| | | |
LEGEND
- Right of Way
- Street
- Building
- Parking
- Landscaping
- Tree Planting
- Other
SCALE: 1" = 100'
FINAL PLAT DALTON CREEK PHASE 1
Owner Name: The Old West, LLC
Address: 1234 Main St., Spokane, WA 99201
Phone: (509) 555-1234
Email: email@example.com
Surveyor: John Smith, PLS
Date: November 20, 2022
Scale: 1" = 100'
Drawing Number: 28111-0035
Sheet 2 of 3
Copyright © 2022 by The Old West, LLC. All rights reserved.
City of Deer Park, Washington
Official Zoning Map
- Residential 2A (R-2A)
- Residential 2B (R-2B)
- Residential 3A (R-3A)
- Residential 3B (R-3B)
- Manufactured Home Subdivision (MHS)
- Manufactured Home Park (MHP)
- Multi-Family (MF)
- Central Commercial (CC)
- Diversified Commercial (CD)
- Mixed Use (MU)
- Cemetery (CEM)
- Business Park (BP)
- Light Industrial (LI)
- Public/Quasi-Public (P/Q/P)
Urban Growth Boundary
Municipal Boundary
1 - Runway Protection Zone
2 - Inner Safety Zone
3 - Inner Turning Zone
4 - Outer Safety Zone
5 - Sideline Safety Zone
6 - Traffic Pattern Zone
Map Projection: WA State Plane North, NAD 83-HARN
Map Produced: July 2018
Town Net Coverage by Land Use: Residential TA & 2A-N, Commercial Hospital [H], Commercial General Neighborhood [CN], Commercial Recreational [CR], Commercial Recreation [CR]
As Amended by Ordinance No. 1999-23
Date of Adoption: September 15, 1999.
As Amended by Ordinance No. 2004-018
Date of Adoption: April 16, 2004.
As Amended by Ordinance No. 2005-019
Date of Adoption: June 1, 2005.
As Amended by Ordinance No. 2007-051
Date of Adoption: August 1, 2007.
As Amended by Ordinance No. 1
Date of Adoption: April 16, 2008.
As Amended by Ordinance No. 2008-050
Date of Adoption: April 16, 2008.
As Amended by Ordinance No. 2008-061
Date of Adoption: July 16, 2008.
As Amended by Ordinance No. 2009-040
Date of Adoption: August 5, 2009.
As Amended by Ordinance No. 2010-038
Date of Adoption: May 5, 2010.
As Amended by Ordinance No. 2011-072
Date of Adoption: October 11, 2011.
As Amended by Ordinance No. 2012-037
Date of Adoption: September 13, 2012.
As Amended by Ordinance No. 2017-074
Date of Adoption: December 12, 2017.
Contact Simonsen on file with CityMeasure
Northwest County
CITY OF DEER PARK
DEER PARK MUNICIPAL CODE CHAPTER 17.28
APPLICATION FOR
PRELIMINARY LONG SUBDIVISION
Date Received: 13 Aug 2021 File Number: LP 2021-2
Date Accepted: 6/23/21 By: Sh
Total Fees: $1,985 Receipt Number: TR 42990
A. GENERAL INFORMATION
Name of Applicant: Two Old Boys LLC % Mecanna Engineering
Mailing Address: 9401 E. Appleway, Spokane Valley, WA 99006
Phone: 509-954-6604 Fax:
If the applicant is not the property owner, include written authorization from the
owner for the applicant to serve as the owner’s representative.
Name of Legal Owner: Two Old Boys LLC
Mailing Address: 702E. Big Meadows Rd., Chantilly, WA 99003
Phone: 509-489-6100 Fax:
Site Area of Proposed Project (Acres or Square Feet): 34.39 ACRES
Area of Adjacent Lands Owned or Controlled: 28112-4099 (3.2AC) 9096 (1.903) 9094 (15AC) 9012 (5AC)
Assessor’s Parcel Numbers of Proposed Project: 28112-0099, 28111-0095, 28111-0093
Assessor’s Parcels of Adjacent Lands Owned or Controlled: 28112-4099, 9096, 9094 &’ 9012
Street Address of Proposed Project: UNASSIGNED ADDRESS
Comprehensive Plan Designation: MULTI-FAMILY RESIDENTIAL & SINGLE FAMILY RESIDENTIAL R2A
Existing Zoning: PARCEL 28111-0097 (MU) 28111-0095 (R2A) &’ 28111-0093 (R2A)
Proposed Zoning: NO CHANGE IN ZONING
Existing Use of Property: Single Family ___; Manufactured Home ___;
Duplex ___; Multifamily ___; Commercial ___; Industrial ___;
Other (Describe) OPEN LAND
Proposed Use of Property: Single Family X; Manufactured Home ___;
Duplex ___; Multifamily ___; Commercial ___; Industrial ___;
Other (Describe)
List Previous City Actions Involving This Property: UNKNOWN
B. LEGAL INFORMATION
Location of Proposed Project: EAST OF SOUTH COLVILLE ROAD TO CITY LIMITS
Section: 11 Township: 28N Range: 42E
Name of Public Street(s) Providing Access: S. Colville Road
Width of Property Fronting on Public Street(s): 658'
Legal Description (attach legal description stamped by Licensed Surveyor and include legal description for entire area to be subdivided on the preliminary long plat):
SEE ATTACHED:
If you do not hold title to the property, what is your interest in it? YES, OWNER
Explain why you feel the proposed project is warranted: THE LACK OF HOUSING IN THE AREA, AND PROVIDE A SAFE LIVING ENVIRONMENT, AND GREAT PLACE TO LIVE.
What impact will the proposed subdivision have on adjacent properties? THIS PROJECT WILL BE A GREAT FIT FOR THE LOCAL AREA, WITH ITS LAYOUT AND AESTHETICS.
What measures do you propose to mitigate the project’s impacts on surrounding land uses? THIS PROJECT WILL BE BUILT IN ACCORDANCE WITH THE CITY OF DEER PARK STANDARDS AND ZONING CODES TO MITIGATE THE PROJECT’S IMPACTS.
C. PRELIMINARY LONG PLAT GENERAL INFORMATION
Number of Lots: 46 lots 86 lots Gross Area: 34.39 ACRES
Average Lot Size: 8,011 SF 8,591 SF Net Density*: 5.4 LPA (R2A) 3.4 LPA (R2A)
Smallest Lot Size: 7,025 SF 10,000 SF Minimum Frontage: 50' (R2A) 60' (R2A)
* Net Density is lots per acre excluding public street area.
Proposed Source of Water: Public System X; Private System ____
Other (Describe) _______________________________________________________
Proposed Means of Sewage Disposal: Public System X; Septic Tank and Drainfield ____
Other (Describe) _______________________________________________________
Utility Companies Providing Service to This Project:
Electricity: Austin Phone: CenturyLink
Natural Gas: Austin Other: __________________
Do you (or the legal owner) have any plans for future additions, expansions, or other further activity related to this proposal? Yes X; No ___; If “Yes”, Explain: _____________________________
D. PRELIMINARY LONG PLAT IMPROVEMENT INFORMATION
Proposed Street Improvements:
| Area (Sq. Ft.) | Right-of-Way Width (Feet) | Roadway Width (Feet) |
|----------------|---------------------------|----------------------|
| Private Driveway | _______ | _______ |
| Private Street | _______ | _______ |
| Public Street | 214,013 SQFT 46' | 38' |
Describe Type of Surface for Each of the Above: 2" S. COLVILLE RD 60' ROW, ROADWAY 40' 4" HMA (ASDOT) 2" ON-SITE STREETS 46' ROW, ROADWAY 38' 3" HMA CL Y2 PG 64-2-8
Estimated Time Period Expected for Complete Development of the Subdivision: PHASE I SPRING 2022 TO FALL 2022 PHASE II & III UNKNOWN
Is phasing of the finalization of the long plat proposed? Yes: X; No: _____. If “Yes”, show phasing on the preliminary long plat map.
Is dedication of land for public use contemplated (parks, etc.)? Yes: ___; No: X. If "Yes", describe:
E. SURVEYOR VERIFICATION
I, the undersigned, a Licensed Land Surveyor, have completed the information requested. The legal description and preliminary plat have been prepared by me, or under my supervision, in accordance with the requirements of the City of Deer Park Zoning and Subdivision regulations and the laws of the State of Washington.
Signature: ___________________________ Date: 08-09-21
Name (Print): Todd J. Emerson
Address: 67010 N. TAMARAC LANE
NINE MILE FALLS, WA 99026
Phone: 509-710-3200 Registration No.: PLS 38037
F. APPLICANT/PROPERTY OWNER AUTHORIZATION
I, the undersigned, swear or affirm, under penalty of perjury, that the above responses are made truthfully and to the best of my knowledge. I further swear or affirm that I am the owner of record of the area proposed for the long subdivision identified herein or, if not the owner, attached herewith is written permission from the owner authorizing my actions on his/her behalf.
Signature: ___________________________ Date: 6/17/2021
Name (Print): WILLIAM M BATES
Address: 702 E BIG MEADOWS
CHATTANOOGA, WA 99025
Phone: 509-991-5163
State of Washington )
SS
County of Spokane )
Signed and sworn or affirmed before me on this 17th day of June, 2021, by William M. Bates
Notary Public in and for the State of Washington
Residing at: Spokane
My Appointment Expires: 8/12/22
Too Old Boys Legal Description:
The North Half of the Southwest Quarter of the Northeast Quarter AND the South Half of the Northwest Quarter of the Southeast Quarter of the Northeast Quarter AND that portion of the Northeast Quarter of the Southeast Quarter of the Northwest Quarter lying East of Colville (Dalton) Road.
All in Section 11, Township 28 North, Range 42 East of the Willamette Meridian in Spokane County, Washington.
Subject to and Together with any existing easements, covenants, conditions, rights, reservations, restrictions, or encumbrances of record or in view.
PRELIMINARY PLAT
TOO OLD BOYS
IN SECTION 11, T28N R42E, WM
DEER PARK, WA
SITE DATA TABLE
| PARCEL NUMBER | 38110007 |
|---------------|----------|
| SITE ADDRESS | 6101-6109 FOSTER ST, DEER PARK, WA 98526 |
| OWNER | TOO OLD BOYS LLC |
| AGENCY | DEER PARK CITY OF |
| PROJECT | RESIDENTIAL DEVELOPMENT |
| ENGINEER | HILLMAN ENGINEERS |
| OFFICIALS | DEER PARK CITY OF |
PROJECT CONTACTS
OWNER: TOO OLD BOYS LLC
CONTACT: TODD J. EMERSON
PHONE: (206) 701-2320
EMAIL: firstname.lastname@example.org
LEGAL DESCRIPTION
The lots and parcels shown on this plat are subject to the provisions of the City of Deer Park, Washington, and the State of Washington. The plat is for the purpose of subdividing the property described above into individual lots and parcels.
SURVEYOR'S CERTIFICATION
I, Todd J. Emerson, PLS #3007, hereby certify that the foregoing plat was prepared by me or under my direction in conformance with the Surveying and Recording Act at the request of the City of Deer Park.
Preliminary Plat
EMERSON SURVEYING
TODD J. EMERSON, PLS #3007
DEER PARK, WA 98526
(206) 701-2320
Typical Lot Setback Detail
All setbacks are measured from the centerline of the street or the edge of the lot.
FINDINGS OF FACT, CONCLUSIONS OF LAW, AND DETERMINATION
CITY OF DEER PARK
TWO OLD BOYS LLC SUBDIVISION PLAT
APPLICATION NO. LP 2021-2
In regards to the findings requirements of Chapter 17.28 of the Deer Park Municipal Code, the Infrastructure Concurrency management regulations of Chapter 17.28 of the Deer Park Municipal Code, and the consistency determinations required in Chapter 19.04 of the Deer Park Municipal Code, the Planning Commission of the City of Deer Park hereby finds and concludes the following with respect to Preliminary Long Plat Application No. LP 2021-2:
1. Application LP 2021-2 was submitted on August 13, 2021, for a subdivision of a portion of land identified as a Replat the N1/2 of the SE1/4 of the NE1/4, and the S1/2 of the NW1/4 of the SE1/4 of the NE1/4 and that portion of the NE1/4 of the SE1/4 of the NW1/4 Lying East of Colville (Dalton) Road, all in Sec. 2, T28N, R42E, W.M., and more particularly identified as Spokane County Tax Parcels 28112.0097, 28111.0095 & 28111.0093. The existing parcel size is approximately 35.14 acres and the proposed subdivision would, (1) create 40 lots of higher density two family residential development, a net density of approximately 5 lots to the acre, with lot size ranging from 8,076 square feet to 11,207 square feet. (2) create 85 lots of low density single family residential development, a net density of approximately 4.5 lots to the acre, with lot size ranging from 10,008 square feet to 11,801 square feet.
2. The proposed development is in conformance with the adopted Comprehensive Plan (including Parks and Recreation Element of the plan) and is identified as Single and Two Family Residential land use and was further specified within the State Environmental Policy Act review checklist. The proposed preliminary plat and uses of the property are in compliance with the land use designation, policies and densities in the comprehensive plan.
3. The proposed development is in conformance with the City’s adopted Zoning Regulations in terms of density and intensity, and other pertinent zoning requirements in that the Multi-family Residential zoning classification proposed parcels have lot areas at or exceeding the minimum required in the MF zone and the Residential 2A zoning classification proposed parcels have lot areas at or exceeding the minimum required in the Residential 2A zone which both allow for single family housing. And as conditioned herein, all proposed parcels will have public street frontage in accordance with the Subdivision and Zoning Titles of Deer Park Municipal Code.
4. The proposed development is located in an undeveloped area that has single family residential land use allowed within the boundaries of the parcels of the subdivision and public notification boundaries. Additional lands to the South are currently undeveloped and are located within jurisdiction of Spokane County and outside the
Urban Growth Boundary of the City and therefore regulated by the County. Lands to the North of the site are currently undeveloped lands with the City of Deer Park and lands to the West are partially developed Residential lands and available for future development.
5. The proposed development is bordered on the West by S. Colville Avenue, and will be the only access route to the development. Full width Frontage improvements to S. Colville Avenue shall be completed with Phase 1 from the current extension of improvements on S. Colville Avenue to the Southern boundary of lots fronting S. Colville Avenue and Southern City Limits line. Full width improvements shall mean improvements as shown on the proposed Preliminary Plat dated 10/18/2021 from Emerson Surveying and titled Colville Road (Collector Street) Roadway Section and shall provide a minimum of 40 feet of traveled width, curbing/gutter and sidewalks along both sides of the street, water and wastewater utility extensions, storm water collection and disposal and street lighting.
6. Recognizing the conditions required herein and the City of Deer Park development standards, appropriate provisions have been made to ensure the public health, safety and general welfare, and therefore, the public use and interest will be served by the proposed Two Old Boys LLC Subdivision Plat, Phases 1, 2, 3 & 4.
7. A threshold determination and environmental review pursuant to RCW 43.21C, the State Environmental Policy Act, was completed and a Mitigated Determination of Nonsignificance (MDNS) was issued on May 17, 2021.
8. The Deer Park Planning Commission held a duly noticed public hearing on the proposed subdivision on January 10, 2022, and closed the hearing and public comment period at the end of the hearing.
9. The subdivision proposal is generally consistent with RCW 58.17, promoting the public health, safety and general welfare in accordance with standards established by the state and the City of Deer Park. The City has considered the provision of adequate public facilities as cited in RCW 58.17.110(2). More specifically:
a. Public rights-of-way
b. Potable water
c. Sanitary wastewater disposal
d. Storm water drainage
e. Parks and recreation facilities
f. Play grounds
g. Schools and playgrounds
h. Pedestrian walkways and sidewalks
**DECISION**
Based upon the above noted Findings of Fact and Conclusions, the Planning Commission for the City of Deer Park does hereby determine the following:
Preliminary Long Plat Application Number LP 2021-2 (Two Old Boys LLC Subdivision) is hereby **approved subject to compliance with the following conditions noted below.** Unless otherwise noted, the applicant and/or sponsor, prior to final approval Phase 1
through 4, shall accomplish the conditions of approval. This decision is final unless appealed in writing, consistent with adopted appeal procedures.
The following conditions shall be binding on the “Applicant”, which shall include owner or owners of the property, heirs, assigns and successors:
1. The residential construction and future development of this property shall comply with the Multi-family and Single Family Residential 2A Zoning District. Additionally, if or where easements are provided that are used for pedestrian sidewalks, the minimum setback distance from any back of sidewalk to proposed front of any portion of the buildings or garages where vehicles may be parked shall be 25 feet, to provide clear parking areas for vehicles to not block the public sidewalks.
2. The Final Plat in all 4 phases, shall be designed substantially in conformance with the Preliminary Plat Map of record as identified as Emerson Surveying – Preliminary plat, dated October 18, 2021, and other materials submitted with the application. No increase of density or number of lots shall occur without an application for alteration, completed and approved.
3. The Community Service Director, Planning Director or designee shall review the proposed final plat map and other documents to ensure compliance with the completed findings of fact, conclusions, and conditions of approval.
4. All existing or required easements for access, utilities or other purposes shall be designated and their purpose noted and shown on the face of the final plat map. Written approval of the proposed utility easements by the appropriate utility provider shall be submitted with the final plat map. The Developer is responsible for all necessary utility adjustments, relocations, or improvements as required for completion of the project.
5. The final plat map must contain Street names and addresses as designated by the Planning Department.
6. The final plat maps for phase 1 & 3 adjacent to S. Forest Street, shall have the following notes on the face of the final plat map.
a. No single family parcels shall be permitted access driveways along any lot frontage of S. Colville Avenue or S. Forest Street.
7. All material used for roadway construction or improvements shall comply with the materials specifications and compaction requirements of the WSDOT manual entitled STANDARD SPECIFICATIONS FOR ROAD, BRIDGE, AND MUNICIPAL CONSTRUCTION (latest edition).
8. The Development shall require erosion and runoff control measures during construction to inhibit erosion and prevent silt and other materials from being
carried off-site. Further, an approved Construction Stormwater General Permit pursuant to Department of Ecology regulations shall be provided to the City prior to work commencing on the project. The erosion/sedimentation control measures shall be consistent with the current Spokane Regional Stormwater Manual.
a. The erosion and runoff control measures shall be approved by the City’s Consultant Engineer and must be in place prior to any clearing, grading or construction.
b. A temporary erosion and sedimentation control (TESC) plan prepared by a Washington State Licensed Engineer shall be prepared and clearly depicted on the construction drawings and shall be maintained during all phases of construction and shall comply with the manufacturer’s specifications for installation.
c. All erosion and runoff measures shall be removed from the site when the site is stabilized and it has been determined by the design engineer that they are no longer necessary.
d. Measures must be taken to avoid the deposition of dirt and mud from unpaved surfaces on paved surfaces. If tracking or spills occur on paved surfaces, measures must be taken immediately to clean the site.
e. Dust emissions during construction and excavation projects must be controlled. This may require the use of water sprays, tarps, sprinklers or suspension of work during certain weather conditions.
9. As part of construction drawings for the overall development and in order to mitigate potential impacts to ground water the developer shall prepare a site-specific geotechnical report identifying in-situ soil conditions, soil transmissivity, subsurface flow paths and related parameters used to demonstrate that downstream properties will not be impacted by increased flow impacts resulting from the construction of proposed improvement on the subject site. Further, prior to final approval of construction documents for the overall development, the Developer shall submit a final stormwater drainage report prepared by a Washington State licensed engineer for review and approval. The report shall address the water quantity, quality and conveyance systems to the detail required by the Consultant City Engineer and in compliance with the Stormwater Management Manual for Eastern Washington and the Spokane Regional Stormwater Manual. The stormwater report and drainage plans shall be approved by the City prior to construction of improvements and Final Plat approval.
Further, specific attention shall be noted within the report for the existing drainage way(s) traversing the parcel form the North to South of the parcel and drainage onto property within Spokane County. Final review and approval of the drainage plans shall be received prior to submittal of the drainage report and plans to the City and shall further require at the proposed Phases 1, 2 and 3 of the plat, a surety posted for 100% of the estimated construction and inspection costs, prior to approval of the Final Plat of each phase. Specific third-party inspection and testing services shall be procured for any storm water disposal systems proposed onto Spokane County controlled lands by the subdivision’s development sponsor.
and the submittal and approval of a certification package as defined in the Spokane County Standards for Road and Sewer Construction shall be provided prior to final plat approval.
If stormwater management plans include use of Tract’s within the plat, place the following note on the final plat:
Tract(s) as shown on the final plat and part of the drainage conveyance system for the plat contain stormwater drainage systems designed to control runoff originating from streets and other impervious areas within the development. The Drainage Plan for this development was prepared and authorized by Two Old Boys LLC, a copy of which is on file with the City of Deer Park. It shall be the responsibility of the owners of the Tracts as identified on the Final Plat and their successors to hereafter maintain the stormwater drainage system in the originally designed condition by the formation of and ownership by a Subdivision Homeowners’ Association with covenant provisions pertaining to ownership, maintenance and operation of the storm water facilities and tracts in a form approved by the Community Services Director containing a provision identifying the City as a third party beneficiary of the stormwater related provisions.
If stormwater management plans include use of curb side swales within the plat and located behind or between the sidewalk that is adjacent to the curb, place the following note on the plat:
Swales as provided and shown on the easements within the final plat and are part of the drainage conveyance system for the plat contain stormwater systems designed to control runoff originating from streets and other impervious areas within the development. The Drainage Plan for this development was prepared and authorized by Two Old Boys LLC, a copy of which is on file with the City of Deer Park. It shall be the responsibility of the owners of the Lots containing drainage swales within border easements as identified on the Final Plat and their successors to hereafter maintain the stormwater drainage system in the originally designed condition which includes planted grass and irrigation systems at time of building permit issuance and final issuance of occupancy certificates for the individual permitted parcels.
10. Prior to any construction activity on S. Colville Avenue, or any construction activities on the subject property, a professional engineer, licensed in the State of Washington, shall submit:
a. A final road and drainage plan for approval by the City of Deer Park and utility providers servicing the area for development. Further, S. Colville Avenue street improvements shall be designed to Collector Street classification within the City system, whereas the remaining streets within the development shall be designed to Local Access classifications.
b. A wastewater system design shall be provided and constructed to provide service to each lot in this development and shall be connected to the
existing sanitary sewer system in a manner consistent with adopted city standards. Easements for the collection system to tie into (construction and permanent maintenance) the improvements within the Habitat for Humanity development to the West of S. Colville Avenue shall be provided with plans submittals for approval.
c. A water system design shall be provided and constructed to provide service to each lot in this development and shall be connected to the current termination on S. Colville Avenue and extend to the Southern right of way line of proposed L Street.
Three (3) complete sets of construction documents and specifications for each phase shall be provided to the City and all utility providers for review. Said plans shall show all proposed improvements including roadway grades and contours, street signage (stop, names and no parking), stormwater systems, sanitary sewer, domestic water and fire protection, power, electrical distribution and ornamental street light specifications and layout, natural gas and telecommunication systems and comply with standards adopted by the City of Deer Park.
11. Prior to any construction activity on a city street or within the proposed development, a traffic control plan including potential road closed / detour plan for SR 395, shall be submitted to WSDOT and the City for approval prior to work within the public right-of-way.
12. During construction, the applicant shall comply with the WSDOT manual and City of Deer Park regulations pertaining to construction inspections, including but not limited to:
a. Proper construction inspection of all public utility installation of water, wastewater and storm water.
b. Proper construction inspection of all public street improvements, including the compaction of utility trenches and road subgrade, testing of compaction and gradation of base course, and pavement by a qualified licensed testing agency.
c. Prior to placement of any surfacing material on the roadway, it will be the responsibility of the applicant/contractor to provide density test reports certified by a licensed testing agency. All material used for fill shall comply with the materials specifications and compaction requirements of the soils reports.
13. Prior to any construction activity the developer shall provide a construction calendar that addresses all phases of the proposed work. The City shall maintain services of their engineering consultant for full time construction observation for all phases of the construction project, and these service fees shall be deposited to the City by the Developer prior to work commencing, at the fees negotiated between the Consultant Engineer and the City. The applicant shall deposit with the City prior to construction the total amount of dollars as negotiated based on
the proposed construction calendar plus 15% contingency, and any refunds / charges incurred will be settled prior to approval of the final plat for each phase.
14. Prior to any development work commencing, the Developer shall contact the City to schedule a pre-construction meeting for entities involved with the construction project.
15. As-built plans for all improvements, prepared to City standards shall be submitted to the City prior to final plat approval. In addition, stormwater disposal facilities Operation and Maintenance manuals shall be provided to the City for all facilities developed to control and dispose of water from the public way, and shall be the responsibility of the Plat applicant to provide to homeowner associations or other owners of the Tracts of land proposed for stormwater detention and disposal.
16. A final plat, meeting all requirements of this title shall be submitted to the Community Services Director for approval pursuant to 17.28.030(G) for Phase 1 of the development. Phase 2 through 4 development approval phases shall be based on the completion date of subsequent phases for the overall development.
17. Pursuant to 17.28.040(C), all fees associated with the final plat approval for each phase shall be paid to and/or reimbursed to the City prior to the City processing the final plat approval. These fees shall include, but may not be limited to all fees and costs incurred by the City as a result of the utilization of non-City employee service providers, including engineering fees, legal fees, and any other fees that are incurred by the City to process, consider, examine, evaluate, approve, and uphold the activities of the applicant associated with the application and public improvements constructed pursuant thereto. These fees shall be paid and/or reimbursed to the City in full prior to final approval of each phase of the subdivision. In addition, all final plat fees specifically established on a per lot basis pursuant to City Resolution, all traffic mitigation fees established by the City pursuant to Chapter 10.28 DPMC, and water rights transfer fees established by the City pursuant to Chapter 13.12 DPMC shall be paid prior to final plat approval of each phase of the subdivision.
18. All lots shall be graded to drain in accordance with the building code. In addition, a note shall be placed on the face of the final plat stating:
Property owners within this plat shall be held responsible for keeping open and maintaining the surface path of natural or man made drainage flow over and across their respective properties. There may exist properties located uphill and adjacent to and within this subdivision which periodically discharge stormwater runoff onto individual lots within this plat. Stormwater runoff from nearby uphill properties should be expected, and during snow melt periods or wet seasons the lots may be subjected to higher amounts of stormwater runoff than what is normally observed or anticipated. Because stormwater runoff from adjacent properties has
discharged onto this plat prior to development, stormwater runoff will likely continue to do so after the development.
19. Mailbox cluster locations (NBU’s) shall be incorporated into lot development plans and within easements provided on the lots but behind the back of sidewalks for the locations identified with potential conflict. NBU’s locations shall have prior concurrence by the Postal Service Manager for Deer Park, prior to submittal of engineering construction documents for review.
20. A current title insurance policy certificate (dated not more than 30 days prior to the recording date of the final plat) issued by a title company shall be provided, confirming that title of the land is the proposed final plat is vested in the name(s) of the owner(s) who appear on the certificate.
21. A spill prevention and pollution control plan shall be provided to the City of Deer Park prior to any construction activity on the site.
22. Construction activities including the transportation of equipment and materials to the site shall comply with noise ordinance provisions of the City, including working days and holidays. Grading activities shall be performed, where feasible, in a manner which utilizes natural noise barriers adjacent to existing residential areas. Construction equipment shall have adequate mufflers, exhaust systems and spark arrestors, and excavation sites shall be watered on a regular basis and comply with Spokane Regional Clean Air requirements.
23. Building permits may be granted before all improvements are completed if all of the following conditions are met:
a. No use or occupancy of residences is permitted.
b. The access roadway is provided with a minimum 6” gravel base course, so placed as to permit an additional 2” of gravel top course to protect the structural integrity of the road base.
c. The developer assumes all responsibility for damage to improvements during any building phase.
24. The proposed Neighborhood Park area at approximately 1.3 acres is being set aside in an interior area of the proposed development and is being built with the development of Phase 2 and accessed from proposed K and L Streets. A park plan shall be provided with submittal of final engineering documents for Phase 2 that provides play areas and features, water and wastewater service line for a restroom, sidewalks around the perimeter of the areas and along street frontages and a full irrigation system approved by the Parks Maintenance division of the City. The park shall be deeded to the City in fee for natural open space and park purposes in perpetuity and be completed for continued operations and maintenance by the City in conjunction with final platting of Phase 2 of the development.
25. All house plans shall be subject to approval by the Planning Commission or designee and shall be based on current adopted city codes at the time of the building permit application and compliment the neighborhood’s current setting.
26. Timing of improvements and completion of Phases shall be in compliance with the Subdivision ordinance of the City. Extensions for completion of phases may be considered by the Planning Commission, but all phases shall be completed within 10 years or additional application and SEPA reviews shall be required and materials amended to ordinance provisions of the time.
27. The developer shall obtain comprehensive liability insurance, naming the City as additionally insured, for off-site damage to adjoin properties which might result during construction activities, including water flow, earth movements or dust caused by the development activities.
Adopted this 24th day of January 2022
Planning Commission Chair Person
ATTEST:
Planning Director
City of Deer Park
Findings of Fact, Conclusions of Law, and Determination
Regarding Two Old Boys LLC Long Plat Applications No. LP-2021-2
MITIGATED DETERMINATION OF NONSIGNIFICANCE (MDNS)
Description of Proposal: McCanna Engineering – Two Old Boys LLC Subdivision LP 2021-2, a subdivision of 34.38 acres into 117 Single Family residential building lots for the purpose of constructing residential buildings per the existing zoning classification of the parcel and including utility infrastructure and off site street improvements.
Proponent: Too Old Boys LLC, attn: Bowie McCanna, Project Engineer, McCanna Engineering, 9401 E. Appleway Blvd, Spokane Valley, WA 99206.
Location of proposal, including street address, if any: The site of this Subdivision is on Tax Parcel numbers 28112.0097, 28111.0095 & 28111.0093, with additional construction work on adjacent parcels 28112.9098, 28111.9096, 28111.9094, and 28112.0094, and that portion of S. Colville Avenue Lying West and North of the proposed subdivision, within a portion of Section 11, Township 28N, Range 42E, W.M. Spokane County, and more generally described as located in the Southerly portion of the City Limits of Deer Park adjacent to S. Colville Avenue and North of the BNSF Railroad line, within the City Limits of Deer Park.
Lead Agency: City of Deer Park
Threshold Determination: The lead agency for this proposal has determined that with the mitigation measures identified herein, this proposal would not have a probable and unavoidable significant adverse impact on the environment. An environmental impact statement (EIS) is not required under RCW 43.21C.030(2)(c). This decision was made after review of a completed environmental checklist and other information on file with the lead agency. This information is available to the public on request. However, we have identified impacts by the proposed project that requires mitigation. In addition to the requirement that the development must comply with all City of Deer Park zoning and development regulations, the following conditions of approval of the permit decision apply:
(B)(1) Earth: In order to mitigate for potential earth impacts, the Applicant shall implement Best Management Practices per Department of Ecology for Stormwater Pollution Prevention Controls and to prevent erosion during and after construction. Refer to the Stormwater Manual for Eastern Washington. In addition, placement of excess fill materials for disposal outside the project limits and outside the City Boundary of the City of Deer Park, shall require permitting from Spokane County and shall be provided with submittal of future engineering documents for the project.
(B)(2) Air: In order to mitigate air impacts, the Applicant shall implement dust control measures to reduce fugitive dust emissions during construction both on and off site. A Construction Plan and approval shall be acquired from Spokane Regional Clean Air Agency prior to work commencing.
(B)(3)(b) Ground Water: In order to mitigate for potential impacts to ground water the Applicant shall prepare a final storm water drainage report to accompany final drainage designs for the onsite and offsite basins identified within the initial checklist and drainage analysis and to demonstrate that downstream properties will not be impacted by increased flow impacts resulting from the construction of proposed improvement on the subject site. In addition, any and all approvals by Spokane County for location of storm water systems within the County shall be provided with submittal of future drainage engineering documents. Further, all new drywells and other injection wells must be registered with the Underground Injection Control program (UIC) at the Department of Ecology prior to use and discharge from the well(s) must comply with the ground water quality requirements (non-endangerment standard) at the top of the ground water table.
(B)(14)(16) Transportation / Utilities: In order to mitigate for roadway and utility extensions to be dedicated to City in the future both on site and the off site improvements to S. Colville Avenue, a Professional Engineer (P.E.) licensed in the State of Washington, shall submit road, utility and storm drainage construction plans and a drainage report that conform to the current version of the City of Deer Park Standards, the 2010 and later versions of the Spokane County Road Standards, the 2008 Spokane Regional Stormwater Manual, and all applicable federal, state, and local regulations and laws that are in effect at the time of the plan submittal or at the time of the development permit applications. The final road, utility and storm drainage plans and drainage report shall receive the City Consultant Engineer’s acceptance prior to release of any associated Grading, Building or Right-of-way Permit.
XX This MDNS is issued under WAC 197-11-340(2) and WAC 197-11-350; the lead agency will not act on this proposal for fourteen (14) days from the date below. Written comments must be submitted by June 3, 2021.
Responsible Official:
Name: Timothy Verzal
Position/Title: Mayor – City of Deer Park
Phone: (509) 276-8802
Address: 316 East Crawford, P.O. Box F, Deer Park, WA. 99006-0228
Date Issued: 5/17/2021 Signature: Timothy Verzal
To Appeal a Decision – An agency or person may appeal the City’s procedural compliance with WAC Chapter 197-11 (SEPA) for issuance of this MDNS. Appeal of the final MDNS must be made to the Hearing Examiner within 14 days of the date the MDNS is final. The MDNS is final when the City issues the land use permit in the form of subdivision approval.
TO: Deer Park Planning Commission
RE: Two Old Boys LLC - LP 2021-2
TYPE: Planning Commission Approval
PREPARED BY: Roger Krieger
DATED: January 4, 2022
LOCATION: Approximately 1100 S. Colville Avenue
GENERAL INFORMATION
Applicant: Two Old Boys LLC, Attn: Bo McCanna, Project Engineer, McCanna Engineering, Spokane Valley, WA.
Status of Applicant: Owner – Agent of applicant
Parcel Owner: Two Old Boys LLC
Requested Action/Purpose: Approval of Long Plat 2021-2, a Replat the N1/2 of the SE1/4 of the NE1/4, and the S1/2 of the NW1/4 of the SE1/4 of the NE1/4 and that portion of the NE1/4 of the SE1/4 of the NW1/4 Lying East of Colville (Dalton) Road, all in Sec. 2, T28N, R42E, W.M., and more particularly identified as Spokane County Tax Parcels 28112.0097, 28111.0095 & 28111.0093.
Size: 35.14 Acres.
Physical Characteristics: Land is sloping from NE to SW, with potential drainage way and surface water runoff across the parcel and to be collected and routed through the parcel with drainage facilities and easements to parcels owned by the LLC and located within Spokane County.
Development Characteristics: (1) Subdivision into 40 lots of higher density two family residential development, a net density of approximately 5 lots to the acre, with lot size ranging from 8,076 square feet to 11,207 square feet. (2) Subdivision into 85 lots of low density single family residential development, a net density of approximately 4.5 lots to the acre, with lot size ranging from 10,008 square feet to 11,801 square feet. All lots sized to accommodate single and two family residential dwellings as stated in the State Environmental Review Checklist and permitted within the zoning classifications of the parcel.
Transportation: The proposed subdivision will be accessed from construction of an interior roadway system accessed from S. Colville Avenue and in the future could extend to a Southern Extension of S. Weber Avenue. Overall distribution of traffic is expected to be 15% East using Crawford Avenue, 5% North on US 395, all traffic going South from the site on US 395 is expected to use East H Street and S. Main Street, and all intersections continue to function at a high level of service from traffic generated by the project.
Parking: Residential zoning requirements include two off street parking spaces per unit. In addition, traffic mitigation fees to be collected at final plat submission for the plat. The City Street would be limited parking with restrictions during the overnight hours.
Existing Zoning: Residential 2A – Eastern parcels 28111.0093 and .0095. Multifamily Residential – Western parcel 28112.0097.
Surrounding Use/Zoning:
- North: Developed land, Multi-family and Residential zoned R3A.
- West: Developed land, residential R3A zoned..
- South: Undeveloped land, within Spokane County.
- East: Undeveloped land, zoned Public.
Comprehensive Plan Designations: Single Family and Multi-Family Residential.
Environmental Documentation: A Mitigated Determination of Nonsignificance for the project was issued May 17, 2021, by the City. Specific mitigation measures were identified within the decision and additional comments received from Washington State Department of Ecology were noted, no other comments were received from review agencies. Mitigation measures are identified within conditions recommended below for approval.
**ANALYSIS**
The original final application submittals for subdivision were received on August 13, 2021, which included the preliminary application for subdivision along with a Project-State Environmental Policy Act Checklist. Prior to the submittal date and from approximately 2011, staff review comments and responses and/or changes to the plat have been completed as well as completion of a Mitigated Determination of Non-Significance. A result of the reviews and additional discussions with the applicants provided for the re-submittal of all documents for acceptance by the City on August 23,
2021. The SEPA review determination and draft MDNS was submitted to the applicant for concurrence with approval received from the applicant on May 17, 2021 to proceed. The MDNS was published on May 17, 2021, and upon completion of response time, a notice for adoption of the draft MDNS was completed June 3, 2021, starting an appeal time period, and request for subdivision documents to proceed to hearing stages. On October 25, 2021, a Determination of Completeness issued, scheduling the hearing date as December 13, 2021. Unfortunately, the notification periods as required by City Ordinance were not met and notifications not distributed which required a rescheduling of the hearing until January 10, 2022. All required notifications to adjacent parcel owners, sign posting and publication in the newspaper of record have been completed as required by ordinance.
The parcel of land is located East of S. Forest Avenue at the Southern end of the City Limits of Deer Park, in portions of Section 11, T.28N., R.42E., Willamette Meridian, Spokane County, and as noted above carries the zoning classification of Residential 2A, allowing single family residential structures on a minimum lot size of 10,000 square feet, and Multi-family which can be used for two family residential structures on a minimum lot size of 6,000 square feet.
The subject parcel has no improvements to the site other than S. Colville Avenue in its current condition of 22 feet of paved width. Improvements planned including those off site include: Roadway construction to match existing S. Colville Avenue, which provides 40 feet of driving surface, curbs, drainage and sidewalks from the current end of the improved street across the frontage of this subdivision, walkways on both sides of the street. Water line extension and crossings from the current terminus of the water main on S. Colville Avenue to the Southern proposed entry road to the subdivision. Wastewater extension across and through lands owned by the Habitat for Humanity Development located to the West of S. Colville Avenue. Utility extensions as required for providers in the area of power, natural gas and communications. In addition, conceptual Offsite Drainage and Stormwater Management Plans have been prepared in response to drainage issues identified by Staff in development meetings. Recognizing the conditions as recommended below and the City of Deer Park development standards, appropriate provisions have been identified to ensure the public health, safety and general welfare, and therefore the public use and interest will be served by the proposed preliminary plat.
A threshold determination and environmental review pursuant to RCW 43.21C, the State Environmental Policy Act, and Chapter 16.04 of the Municipal Code, was completed and a Mitigated Determination of Non-Significance (MDNS) was issued on May 17, 2021.
If conditions are adopted as noted below, the proposed Preliminary Plat would be in compliance with Chapter 17.28 and Chapter 16 of the Deer Park Municipal Code.
DENSITY: The Zoning Code of the City allows for residential use (single family dwellings) as permitted within the R2A Zone of the City, which allows for lot size of 10,000 square feet, with a minimum of 50 feet of lot frontage along a City Street, except for cul-de-sacs where the frontage is normally measured at the front setback line. The
proposed development is in conformance with the low density residential designation of the Land Use Elements and with current zoning standards of the City. Further, the Zoning Code of the City on the Western most parcels allows for multi-family residential use (including duplex dwellings under provisions of the R3A Zone of the City), Which allows for lot size of 6,000 square feet, with a minimum of 50 feet of lot frontage along a City Street. Additionally, access restrictions to existing City street system, fencing location and rear or secondary street frontage yard requirements for lots fronting any portion of S. Colville Avenue are required to eliminate direct access from the rear or sides of the parcel and will be listed a plat restrictions on the face of the plat.
STREET / SIDEWALK DEVELOPMENTS: The roadway providing access to the site does not have any current pedestrian facilities, but will be added across the frontage of the parcel of S. Colville Avenue on both sides of the street, concurrent with the first phase of development completed with the plat. The discussion of numbers and placement of sidewalks is specified in section 17.28.050(B)(10) of the Subdivision ordinance. The section requires sidewalks to be placed on both sides of the roadways for the subdivision and at a minimum width of 5 feet. However, the section also allows reduction of the sidewalk width from 5 feet to 3 feet, if clear passing spaces are provided at 200 foot intervals. The street rights of way within the plat will be provided with sidewalks of 5 feet in width on both sides, and also be provided with sidewalks along the existing frontage of S. Colville Avenue concurrent with the phasing plans proposed.
Roadway sections are noted on the plat as specified in section 17.28.050(B)(10) of the subdivision ordinance. The streets within the plat are designated as local access street with right of way widths of 46 feet, and pavement width of 38 feet. S. Colville Avenue will receive improvements along the frontage of the development in Phase 1 and each of the proposed roadway sections are shown on plans sheets 1.
OPEN SPACE / PARKS: A proposed Neighborhood Park area at approximately 1.3 acres is being set aside in an interior area of the proposed development and is being built with the development of Phase 2 and accessed from proposed K and L Streets, and is within the areas identified within the parks plan for green space and development. A park plan is to be provided with submittal of initial engineering documents for Phase 2 that provides play areas and features, restroom and sidewalks around the perimeter of the areas and along street frontages. The park will be completed and dedicated to the City for continued operations and maintenance in conjunction with final platting of Phase 2 of the development.
POSTAL DELIVERY: The U.S. Postal Service will now only provide mail to residential areas with Neighborhood Box Units (NBU’s). The NBU is a cluster of mailboxes strategically located to serve several home sites. The mailbox clusters must be situated in close proximity to the dwelling units served and they require design approval by both municipal and postal authorities and fit behind the walkways on the City street system.
COMMISSION PROCESS: The Planning Commission through development of “findings of facts, recommendation and conclusions” has the authority to rule on the
above and grant a platting variance to the issues raised through the hearing process. Conditions for consideration are:
- The granting of a platting variance will not be detrimental to the public safety, or welfare, or injurious to adjacent property.
- The tract to be subdivided is of such unusual size and shape or topographical conditions that the strict application of this title will result in undue and substantial hardship to the owner of the property.
With discussion of the proposed subdivision along with any platting variances that may be raised as noted above, the public hearing process and requirements are met.
Notice of public hearing on the matter were mailed to adjacent parcel owners, signs were installed identifying the land use action and notification in the newspaper of record was completed prior to stated deadlines for notification to the public. In addition, comments were solicited from Fire District #4, Avista Utilities, Qwest, and the Comcast cable TV system. To date only comments on the storm water plans for the subdivision from Spokane County, either through the individual utility mailings or SEPA process have been received.
The purpose and scope of the public hearing is for the Commission to inquire into the public use and interest proposed to be served by the establishment of the subdivision and dedication, determine if provisions are made for, but not limited to, the public health, safety, and general welfare, for open spaces, drainage ways, streets, alleys, and other public ways, water supplies, sanitary wastes, parks, playgrounds, sites of schools and playgrounds, and shall consider all other relevant facts, including sidewalks, bikeways, and other planning features that assure safe walking and riding conditions for students who walk or ride a bicycle to and from school, and determine whether the public interest will be served by the subdivision and dedication.
**RECOMMENDATION**
Development of Findings of Facts with conditions noted following in support of the request, Commission approval and recommendation to the City Council for adoption at the next meeting of the Commission.
1. All lots shall be graded so that the graded pad areas drain directly to their own street frontage at a 2 percent minimum grade and/or to non-erosive drainage devices on the parcel.
2. Mailbox cluster locations (NBU’s) shall be incorporated into lot development grading plans and within easements provided on the lots but behind the back of sidewalks.
3. Storm water drainage facilities shall comply with the Spokane Regional Stormwater manual for the impervious surfaces created, and requirements of Spokane County as it relates to flow of water off-site and onto adjacent parcels within Spokane County.
4. A wastewater system design shall be constructed to provide service to each lot in this development and shall be connected to the existing sanitary sewer.
system located within the Habitat for Humanity owned lands located Westerly of the development site.
5. A water system design shall be constructed to provide service to each lot in this development and shall be connected to the existing water utility mains located North of the boundary of the proposed subdivision. Further extension of water mains within the development and to the Eastern boundary of the future phase shall be completed during the subsequent phase and for the future connection of City water to the East of the proposed subdivision.
6. Construction activities including the transportation of equipment and materials to the site shall comply with noise ordinance provisions of the City, including working days and holidays. Grading activities shall be performed, where feasible, in a manner which utilizes natural noise barriers adjacent to existing residential areas. Construction equipment shall have adequate mufflers, exhaust systems and spark arrestors, and excavation sites shall be watered on a regular basis and comply with Spokane Regional Clean Air requirements.
7. In order to mitigate for potential earth impacts, the Applicant shall implement Best Management Practices per Department of Ecology for Stormwater Pollution Prevention Controls and to prevent erosion during and after construction. Refer to the Stormwater Manual for Eastern Washington.
8. In order to mitigate air impacts, the Applicant shall implement dust control measures to reduce fugitive dust emissions during construction both on and off site. A Construction Plan and approval shall be acquired from Spokane Regional Clean Air Agency prior to work commencing.
9. In order to mitigate for potential impacts to ground water the Applicant shall prepare a site-specific geotechnical report identifying in-situ soil conditions, soil transmissivity, subsurface flow paths and related parameters to use used to demonstrate that downstream properties will not be impacted by increased flow impacts resulting from the construction of proposed improvement on the subject site. Additionally, the report shall identify drywell outflow rates, the infiltration rates, the quantity of fines, drywell compatibility in the swale locations and potential subsurface flow impacts on the proposed homes. Further, all new drywells and other injection wells must be registered with the Underground Injection Control program (UIC) at the Department of Ecology prior to use and discharge from the well(s) must comply with the ground water quality requirements (non-endangerment standard) at the top of the ground water table.
10. In order to mitigate for potential impacts to the water and wastewater system of the City, the developer shall submit plans and profiles of the proposed water and existing sanitary sewer improvements prepared by a registered civil engineer to the City for review and approval.
11. In order to mitigate for roadway and utility extensions to be dedicated to City in the future, a Professional Engineer (P.E.) licensed in the State of Washington, shall submit road, utility and storm drainage construction plans and a drainage report that conform to the current version of the City of Deer Park Standards, the 2010 and later versions of the Spokane County Road Standards, the 2008 Spokane Regional Stormwater Manual and updates, and
all applicable federal, state, and local regulations and laws that are in effect at the time of the plan submittal or at the time of the development permit applications.
The final road, utility and storm drainage plans and drainage report shall receive the City Consultant Engineer’s acceptance prior to release of any associated Grading, Building or Right-of-way Permit. Roadway improvements for existing and adjacent streets systems to include S. Colville Avenue shall be provided with curbing and drainage improvements to the existing roadway with pedestrian walkways per plan. Offsite improvements to be sequenced with Phase 1 of the development.
12. All City incurred engineering review fees and construction observation costs, and construction costs for streets, utility mains, storm drain systems, utilities and ornamental street light costs for installation shall be provided by the developer at his expense.
13. In order to mitigate and provide for parks and open spaces, the Neighborhood Park space or open space area shall be deeded to the City in fee for natural open space and park purposes in perpetuity, and shall encompass the areas in approximate detail to the Preliminary Plat – Future Park area. All water and wastewater service shall be provided to the tract of land, and shall be provided with improvements noted, including restroom, pathway, play structures, green space with permanent irrigation systems and other features as otherwise advised by a licensed landscape architect and soils engineer and as approved and accepted by the City Maintenance Supervisor.
14. All fees pertaining to subdivisions required by the Municipal Code to be paid prior to approval of the final plat map by the City Council, and shall be based on the fees which are in effect at such respective times.
15. The developer shall provide all necessary on-site easements for public and private utility systems.
16. Development on the parcels shall be in compliance with provisions of the Multi-family (MF and R3A) and Residential 2A requirements of the zoning code. Additionally, if or where easements are provided that might be used for pedestrian sidewalks, the minimum setback distance from any back of sidewalk to proposed front of building shall be 25 feet, to provide clear parking areas for vehicles to not block the sidewalks. Further, specific plat restrictions will be noted on the plat stating no access to the rear or side of any lots fronting S. Colville Avenue and setbacks for fencing or structures shall comply with rear or side yard setback requirements listed within section 18.23.050 Yards and 18.94 Clear View Triangle and Fencing.
17. All house plans shall be subject to approval by the Planning Commission or designee and shall utilize wood, stone, brick and other natural materials to compliment the neighborhood’s current setting.
18. Timing of improvements and completion of Phases shall be in compliance with the Subdivision ordinance of the City. Extensions for completion of phases may be considered by the Planning Commission, but all phases shall
be completed within 10 years or additional application and SEPA reviews shall be required and materials amended to ordinance provisions of the time.
19. The developer shall obtain comprehensive liability insurance, naming the City as additionally insured, for any off-site damage to adjoining properties which might result during construction activities, including water flow, earth movements or dust caused by the development activities.
**ATTACHMENTS**
1. Two Old Boys Addition Subdivision application 2021-2.
2. Public Hearing Notice, Vicinity Map & Preliminary Plat Map of Two Old Boys Addition.
3. City of Deer Park Zoning Map.
4. City of Deer Park Comprehensive Plan Map – Park Needs.
5. Mitigated Determination of Nonsignificance
|
The Bendectin Litigation: A Case Study in the Life Cycle of Mass Torts
Joseph Sanders
Follow this and additional works at: https://repository.uchastings.edu/hastings_law_journal
Part of the Law Commons
Recommended Citation
Joseph Sanders, The Bendectin Litigation: A Case Study in the Life Cycle of Mass Torts, 43 Hastings L.J. 301 (1992).
Available at: https://repository.uchastings.edu/hastings_law_journal/vol43/iss2/2
This Article is brought to you for free and open access by the Law Journals at UC Hastings Scholarship Repository. It has been accepted for inclusion in Hastings Law Journal by an authorized editor of UC Hastings Scholarship Repository. For more information, please contact email@example.com.
The Bendectin Litigation: A Case Study in the Life Cycle of Mass Torts
by
JOSEPH SANDERS*
Table of Contents
I. Introduction .................................................. 303
II. Case Congregations ........................................... 305
A. Beyond the Individual Case ............................. 305
B. Case Congregations and Mass Torts .................... 307
C. A Note on Case Studies ................................. 310
III. Bendectin Background ...................................... 311
A. The Firm ............................................... 311
B. The Drug .............................................. 312
(1) Thalidomide ....................................... 313
(2) MER/29 ............................................. 315
(3) Bendectin .......................................... 317
IV. The Science ................................................ 321
A. Background ............................................ 321
(1) In Vitro Studies ................................... 322
(2) In Vivo Studies .................................... 322
(3) Epidemiological Studies ........................... 326
a. The Primacy of Epidemiology? .................... 328
b. Causal Inference ................................ 329
B. The Bendectin Studies ................................ 331
* Professor of Law, University of Houston Law Center; B.A. 1966; J.D. 1969; Ph.D. 1974, Northwestern University. This Article is a revised version of a paper originally given at the Law and Society Meetings in Berkeley, California in June 1990. The research for the Article was supported by the University of Houston Environmental Liability Law Program. The Article would not have been possible without the assistance of the following University of Houston law students who work for the Environmental Law Liability Program: Michael Brown, Bill Robbins, Michael Rose, Lisa Salzman, and especially Terry Salem and Randall Terrell. The Environmental Law Liability Program is indebted to Marion Merrell Dow for its willingness to provide transcripts and other materials from the Bendectin cases. Herbert Kritzer and Michael Rustad also provided valuable materials. I wish to thank W. Glenn Forrester, Marc Galanter, Richard Lempert, Barry Nace, Al Schretter, the student editors of the Hastings Law Journal, and especially Michael Green for helpful comments on earlier drafts.
[301]
| Section | Page |
|------------------------------------------------------------------------|------|
| (1) In Vitro Studies | 331 |
| (2) In Vivo Studies | 333 |
| (3) Epidemiological Studies | 339 |
| a. Background | 339 |
| b. The Evolution of Bendectin's Epidemiological Research | 341 |
| c. The Increase in Statistical Sophistication and Power | 342 |
| d. The End of Research | 345 |
| (4) The Life Cycle of the Bendectin Science | 347 |
| V. The Law | 348 |
| A. Mobilization | 349 |
| (1) The "First Plaintiff" Problem | 349 |
| (2) Merrell's Preventive Efforts | 354 |
| B. The Caseload and Trial Load | 359 |
| C. Rationing Law | 362 |
| (1) Procedural Rationing | 362 |
| (2) Substantive Rationing | 372 |
| a. Trial Court Opinions | 372 |
| b. Appellate Court Opinions | 375 |
| (i) Oxendine | 379 |
| (ii) Richardson | 380 |
| (iii) Brock | 382 |
| (iv) Ealy | 383 |
| c. A Defense Bias? | 384 |
| VI. The Larger Context | 386 |
| A. Substantive Rationing and the Judge-Jury Relationship | 386 |
| B. Substantive Rationing in the School Desegregation Cases | 390 |
| VII. Conclusion: Case Congregations and the Interaction of Macro and Micro Processes | 391 |
| VIII. Appendices | 394 |
One precedent creates another. They soon accumulate and constitute law. What yesterday was fact, today is doctrine.
Junius
I. Introduction
In an important recent article on prodefendant developments in products liability during the late 1980s, James Henderson and Theodore Eisenberg discuss areas of products liability law in which, during the early 1980s, new plaintiff breakthroughs had seemed imminent.\(^2\) One of these areas involved "[t]he imposition of liability on manufacturers of prescription drugs and other toxic substances based solely on epidemiological evidence of causal links between those products and plaintiffs' injuries . . . ."\(^3\) Among the products believed most likely to lead to such a breakthrough was the drug Bendectin, a widely prescribed morning sickness remedy alleged to cause birth defects in the children of mothers who had taken it. Given the sympathetic early reaction of several courts to plaintiffs' presentation of epidemiological proof of causation,\(^4\) the expectation that Bendectin cases would produce the next breakthrough for plaintiffs was more than reasonable.\(^5\) Yet, as Henderson and Eisenberg note, by the end of the decade early plaintiff victories were replaced by general defeat, "now mak[ing] it unlikely that Bendectin-related claims have a promising future."\(^6\)
What occurred in the intervening years to lead to this altered assessment? This Article addresses the question through an in-depth examination of the legal and scientific history of Bendectin. While Henderson and Eisenberg use the Bendectin litigation as an example of general trends in products liability law, the cases can be understood at a micro level as well. The failure of the Bendectin cases to usher in a new era of causal proof based solely on statistical data is due as much to factors specific to the drug as it is to large-scale changes in tort law. The Bendectin cases are not simply a random group of otherwise independent
---
1. Dedication to the English Nation, The Letters of Junius [1769-1771], reprinted in Familiar Quotations 1001 (John Bartlett ed., 13th ed. 1955).
2. James A. Henderson, Jr. & Theodore Eisenberg, The Quiet Revolution in Products Liability: An Empirical Study of Legal Change, 37 UCLA L. Rev. 479 (1990).
3. Id. at 486.
4. See, e.g., Oxendine v. Merrell Dow Pharmaceuticals, 506 A.2d 1100, 1107-14 (D.C. 1986) (testimony of expert witness that drug used during pregnancy caused child's birth defects sufficient to carry case to jury where testimony was based on four different types of scientific studies).
5. Henderson & Eisenberg, supra note 2, at 491.
6. Id.
products liability cases that happen to involve the same drug. Rather, they are a collection of cases that, over time, have interacted in varied ways. Robert Emerson\textsuperscript{7} and, more recently, Marc Galanter\textsuperscript{8} have discussed the nature of these interactions. Like other mass torts, the cases concerned with Bendectin are usefully thought of as a unit—the Bendectin Cases. This “congregation” of cases, to use Galanter’s term,\textsuperscript{9} has a beginning, a middle, and apparently a rapidly approaching end.
The topic of this Article is the life cycle of the Bendectin Cases. In Part II, I review Emerson’s and Galanter’s thoughts as to how the existence of a congregation affects the way individual cases are processed and resolved. Part III provides some background on Bendectin and its manufacturer, Merrell Dow. The Bendectin litigation, like that of most mass torts, revolves around a body of scientific evidence employed to demonstrate that the product does or does not cause the harm alleged. Part IV surveys the science on Bendectin, examining it from a congregation perspective as well. In Part V the attention turns to the law and legal process surrounding Bendectin. I examine plaintiff and defense efforts to mobilize resources and fight for position in the early stages of the congregation. After presenting an overview of the Bendectin litigation’s life cycle, this Part concludes by discussing how the judiciary procedurally and substantively rations adjudicatory resources to large congregations such as the Bendectin Cases.
The Article concludes with some general thoughts about the relationship between judicial rationing and case congregations and the ways in which case studies such as this one help us understand the larger trends in tort law uncovered by Henderson and Eisenberg. In the Bendectin Cases, the judiciary has played a much more active role in rationing its resources than anticipated by Galanter. I discuss the factors that compel the judiciary in this direction when it is confronted with congregations of mass tort cases. Efficiency, stability, and consistency become relatively more important as a congregation matures, and the judiciary becomes more willing to intervene in the fact-finding process to achieve these goals. Case congregation analysis also helps explain the trend in products liability cases observed by Henderson and Eisenberg. The micro processes that create incentives for procedural and substantive rationing cumulatively create a macro effect of greater judicial willing-
\textsuperscript{7} See Robert M. Emerson, Holistic Effects in Social Control Decision-Making, 17 LAW & SOC’Y REV. 425 (1983).
\textsuperscript{8} See Marc Galanter, Case Congregations and Their Careers, 24 LAW & SOC’Y REV. 371 (1990) [hereinafter Galanter, Case Congregations].
\textsuperscript{9} Id. at 371.
ness to intervene in the trial process, and this in turn tends to generate prodefendant outcomes.\textsuperscript{10}
\section*{II. Case Congregations}
In a common-law system the individual case is usually the primary unit of analysis. In keeping with the doctrine of stare decisis, lawyers strive to differentiate the present case from adverse precedents and align it with favorable ones. The tendency is to view each prior case as standing on its own—a unique combination of law and fact. Likewise, the disposition of each current case is thought to be governed by the idiosyncratic combination of lawyers, jurors, and judges who develop and decide it.
Even when cases are aggregated, it is most frequently according to legal principle or doctrine. Cases are viewed as links in a chain of conceptual development, as pieces in the precedent puzzle. From this perspective, the individual case remains the basic unit of analysis. The case is put into a larger picture as a brick is put into a wall; one discrete entity is combined with others to construct a larger edifice. Because the case is the law's basic unit of analysis and because each case is factually and procedurally distinct, we are easily led to adopt this narrow perspective.
More often than we might suppose, however, the study of the legal process will benefit from a different perspective. As Emerson has observed, this is most surely true of those circumstances in which the parties themselves do not "examine and dispose of cases as discrete units, treating each on its own merits independently of the properties and organizational implications of other cases."\textsuperscript{11}
\subsection*{A. Beyond the Individual Case}
Emerson describes three "holistic" frameworks that shape the way legal actors approach each individual case.\textsuperscript{12} First, there are "case streams," against which individual cases often are assessed by reference to what is "normal" for the stream.\textsuperscript{13} Those who must routinely process similar cases develop typification procedures that help them to channel normal cases into the proper stream and allow them to devote extra attention to abnormal cases.\textsuperscript{14}
\begin{itemize}
\item[10.] See Henderson & Eisenberg, \textit{supra} note 2, at 491.
\item[11.] Emerson, \textit{supra} note 7, at 425.
\item[12.] \textit{Id.} at 427.
\item[13.] \textit{Id.} at 426.
\item[14.] See generally Richard Lempert \& Joseph Sanders, \textit{An Invitation to Law and Social Science} 43-58 (1986) (explaining components of typification process); H. Lau-
\end{itemize}
Second, there are "caseloads." Legal actors are influenced by the number of cases they are required to process. When, as frequently occurs, caseloads overwhelm resources, decisions must be made regarding the time and energy to devote to each case. The focus is not on the individual case, but on the actor's responsibility for an entire caseload. Caseload effects are most apparent when cases that admittedly deserve attention are nevertheless given little or none because other cases are considered more serious.
When legal actors on both sides of a case face like caseloads and case streams, as in the criminal courts, they may well move beyond a process of comparison, into active horse-trading of case outcomes. Emerson gives as an example a typical multiple case bargaining session between prosecutor and defense attorney (reported by Feeley):
After they have discussed a few, the prosecutor might say rhetorically, "Jesus, I've already given you three nolles today, do you want me to go out of business?"... Conversely, the prosecutor might hear a defense attorney plead, "You've put me through the wringer this morning; give me a break on this one!"
Third, Emerson notes the holistic effects of sequence and precedent. Cases that are recognized as "first cases" will be treated differently from later ones. For example, the first offense a teacher encounters in a school year may be treated more harshly than later infractions because the teacher wants to "set a precedent" by making an example of the offender. In this situation the first case is the most important, but this will not always be true. For instance, the legal actors might simply be unaware that a case is first or that the sequence of cases to come will prove important. At some point, however, the parties may recognize
15. Emerson, supra note 7, at 426.
16. Id.
17. Id. at 445 (quoting Malcolm Feeley, The Process Is the Punishment: Handling Cases in a Lower Criminal Court 192-93 (1979)).
18. Id. at 427 (citing Gerald Levy, Ghetto School: Class Warfare in an Elementary School (1970)).
19. There are situations where only one party may view a case as part of a congregation. A defendant searching for the best case to take up on appeal may view a group of cases as a congregation, while each plaintiff sees its case in isolation. This broader perspective allows the defendant to "play for rules" in the appellate process (that is, to obtain a favorable appellate opinion, allowing the party to win future cases). This is one of the advantages Galanter attributes to parties who repeatedly litigate an issue. Marc Galanter, Why the "Haves" Come Out
they are involved in a sequence of cases and that earlier trial verdicts and settlements have important consequences for those coming later.\textsuperscript{20}
Each of these case aggregations reflects Emerson's basic point that since the work of legal actors sometimes focuses on a larger whole, the individual case is not always the most appropriate unit of analysis.\textsuperscript{21} In most of the examples discussed by Emerson, each aggregation's individual cases are related to each other only because of the organizational structure of the legal system. They are connected procedurally and structurally, but are factually discrete. In some situations, the connection goes beyond procedure and organization to substance. When this occurs, substance and legal organization interact, creating even stronger relationships among cases.
B. Case Congregations and Mass Torts
One area in which substantive interrelationships occur involves the mass tort. "Mass tort" is a slippery phrase. Here I mean injury to multiple parties allegedly caused by a single product or event. One frequent type of mass tort involves an event such as an airplane crash.\textsuperscript{22} Perhaps less frequent in number, but often involving many more actual and potential plaintiffs are mass torts involving toxic substances or defective products. These product-caused mass torts include injuries resulting from exposure to substances such as asbestos and Agent Orange,\textsuperscript{23} as well as injuries caused by products such as the Ford Pinto, Firestone 500 tires, or the Dalkon Shield.\textsuperscript{24} A third group of product-related mass tort
\textit{Ahead: Speculations on the Limits of Legal Change}, 9 \textsc{Law \& Soc'y Rev}. 95, 98-103 (1974) [hereinafter Galanter, \textit{Limits of Legal Change}].
\textsuperscript{20} A failure to recognize early on that a case or set of cases is the first in a large congregation can prove expensive for defendants if they settle the early cases for substantial sums or if they lose at trial; jury verdicts and settlement values of first cases are likely to become the baseline from which all future bargaining begins. This occurred with respect to the asbestos cases. \textit{See} Francis McGovern, \textit{Toward a Functional Approach for Managing Complex Litigation}, 53 U. \textsc{Chi. L. Rev}. 440, 488 (1986). Past judgments are also playing a role in the Dalkon Shield bankruptcy proceedings. Under the Dalkon Shield Claimants' Trust Plan, claimants who elect Option III and show that the Shield caused their injury will be offered settlement amounts based on historic settlement values. 4 \textsc{Toxics L. Rep. (BNA)} No. 36, at 1034 (Feb. 14, 1990). For a general discussion of this and other ways of establishing the monetary value of cases in mass tort situations see \textsc{Mark Peterson, New Tools for Reducing Civil Litigation Expenses} (1983).
\textsuperscript{21} Emerson, \textit{supra} note 7, at 454.
\textsuperscript{22} Roger H. Transrud, \textit{Joinder Alternatives in Mass Tort Litigation}, 70 \textsc{Cornell L. Rev}. 779, 780-81 (1985) [hereinafter Transrud, \textit{Joinder Alternatives}].
\textsuperscript{23} \textit{Id.}
\textsuperscript{24} \textit{See generally} Sandra Kinghorn, Corporate Harm—A Structural Analysis of the Criminogenic Elements of the Corporation (1984) (unpublished Ph.D. dissertation, University of Michigan) (reviewing the history of each of these mass torts).
cases arises from exposure to drugs such as Thalidomide, DES, and Bendectin.\textsuperscript{25} While there are many differences between these various types of mass torts,\textsuperscript{26} all are characterized by the fact that their component cases share a single underlying type of harm; further, all the parties to the litigation recognize this fact.
A mass tort is a physical event, but it is also a social construct. The cases are quickly recognized as a group by the parties, the courts, and frequently by the public at large. The term “asbestos cases” or “Dalkon Shield cases” comes to have meaning outside the courthouse as well as within it. Not only are the cases arising from a mass tort connected substantively and procedurally, they have this important additional property: ultimately they share a common legal fate.\textsuperscript{27}
In this respect, mass tort cases are an example of what Galanter calls a case congregation; that is, “a group of cases that . . . share common features, that are shaped by a common history, that are subject to shared contingencies, and that lean into a common future.”\textsuperscript{28} The central observation about case congregations is that they have \textit{careers}; that over time, the volume and nature of cases change in an orderly fashion according to particular qualities of the congregation.\textsuperscript{29}
Galanter discusses several general factors that influence case careers. First, there is the volume of underlying activity that gives rise to certain types of cases. For example, the number of selective service cases filed in the federal courts mirrored the progress of the Viet Nam War. As the War ended so did the “draft” cases.\textsuperscript{30}
Second, there are several ways in which the legal system itself influences the career of a case congregation, at both an individual and a more holistic level. At the individual case level, early cases can generate \textit{mobilization} efforts by potential claimants and \textit{preventive measures} by potential defendants that ultimately alter the volume and the outcome of further suits (sometimes by altering the level of the underlying activity).\textsuperscript{31} Thus, as Galanter points out, confronted with the ruling in
\begin{itemize}
\item \textsuperscript{25} Trangsrud, \textit{Joinder Alternatives}, supra note 22, at 780-81.
\item \textsuperscript{26} For example, toxic tort claims usually seek compensation for chronic injuries and diseases, whereas product claims usually seek recompense for traumatic injuries.
\item \textsuperscript{27} This does not mean, of course, that every case in the congregation has the same outcome. The outcome of an individual case is influenced by, among other factors, where it occurs in the life-cycle and whether it is swept into procedural rationing devices such as class actions.
\item \textsuperscript{28} Galanter, \textit{Case Congregations}, supra note 8, at 372.
\item \textsuperscript{29} \textit{Id.} at 373.
\item \textsuperscript{30} \textit{Id.} at 374 fig. 1.
\item \textsuperscript{31} \textit{Id.} at 379-84.
\end{itemize}
Tarasoff v. Regents of the University of California, that under certain circumstances therapists have a duty to protect third parties from violence at the hands of their patients, therapists have responded by "giving more warnings, initiating more involuntary hospitalizations and taking more notes."
On a more holistic level, the cases begin to interact with and affect each other. When cases become known as a collection, parties begin to share information and to coordinate efforts. These coordination networks are qualitatively different from the mobilization and prevention activities discussed above because they specifically involve intercase activities. Occasionally, coordination becomes institutionalized. For example, information on school desegregation efforts was shared among several special organizations, including the NAACP, the Legal Defense Fund, the Lawyer's Committee for Civil Rights Under Law, and the Harvard Center for Law and Education.
Coordination networks represent one way in which parties may respond to a case congregation. Courts also respond to groups of cases. A fundamental holistic response of the courts is rationing. The most extreme type of rationing is exemplified by worker's compensation statutes, which attempt to close the courts to most work-related injury claims. Less dramatic rationing efforts involve class actions, special masters, and similar devices.
A third holistic effect is depletion. As the easy cases are resolved, a smaller and smaller group of cases, in which it becomes increasingly difficult for plaintiffs to prevail, is left behind. Depletion is most obvious in disasters such as airplane crashes, in which there is a known finite number of victims; but it occurs in other situations as well, especially
32. 13 Cal. 3d 177, 529 P.2d 553, 118 Cal. Rptr. 129 (1974) (depublished), vacated and modified, 17 Cal. 3d 425, 551 P.2d 334, 135 Cal. Rptr. 14 (1976).
33. Galanter, Case Congregations, supra note 8, at 380. See Daniel Givelber et al., Tarasoff, Myth and Reality: An Empirical Study of Private Law in Action, 1984 Wis. L. Rev. 443, 472-83.
34. Marc Galanter, Lawyers' Litigation Networks, (unpublished paper presented to the Conference on the Frontiers of Research on Litigation, University of Wisconsin, Madison, September 20, 1985) [hereinafter Galanter, Litigation Networks].
35. Galanter, Case Congregations, supra note 8, at 387.
36. Mark Chesler et al., Social Science in Court: Mobilizing Experts in the School Desegregation Cases 17-18, n.16 (1988).
37. Galanter, Case Congregations, supra note 8, at 385.
38. See, e.g., Peter Schuck, The Role of Judges in Settling Complex Cases: The Agent Orange Example, 53 U. Chi. L. Rev. 337, 347-48 (1986).
39. Galanter, Case Congregations, supra note 8, at 388.
where defendants begin to take preventive measures to thwart future claims.\textsuperscript{40}
Finally, there are what Galanter calls \textit{outcome-stabilization} effects.\textsuperscript{41} Liability determinations and damage awards become more predictable as more and more cases are tried. In the area of mass torts, perhaps the most developed theory of outcome stabilization is Francis McGovern's "cyclical theory of mass torts."\textsuperscript{42} According to McGovern:
In the early stages of the cycle, defendants tend to win more cases than plaintiffs because of strategic and informational superiority. If the litigation has any merit, however, plaintiffs will eventually develop successful information and strategies and win an extremely high percentage of the cases tried. Next, the plaintiffs will bring cases for trial that stretch the envelope of viable plaintiffs too far, and defendants will create more effective counterstrategies, resulting in a reduced percentage of plaintiff victories. Eventually, after full aggregation and dissemination of information, crystallization of the law, and thorough development of strategies, there will be a rough equilibrium of trial results. Remaining variations will then be due to jury demographics, attorney caliber, and random events during trials. Although perhaps it is counter-intuitive, settlements will also reflect this equilibrium: the average settlement amount will be virtually identical to the average jury verdict. The variance, however, will be substantially different. Settlements for similarly situated plaintiffs will be extremely similar; verdicts will vary in accordance with idiosyncracies of the trial process.\textsuperscript{43}
As this theory suggests, the careers of some case congregations resemble a life cycle. Early on there are a few immature cases. Slowly, a mature and substantial body of litigation develops and a period of relative stability ensues. Finally, there is a period of decline, as depletion and rationing cause the cases to move out of the legal system. This Article examines the life cycle of a particular case congregation: the Bendectin Cases.
C. A Note on Case Studies
Because this Article explores hypotheses about the careers of case populations through a detailed examination of one particular congregation of mass tort cases, some initial observations about such an enterprise are in order. From one perspective, the case study is an inherently weak form of hypothesis testing. Many unique features of the Bendectin Cases have influenced the way the congregation has developed. It is difficult to
\textsuperscript{40} \textit{Id.}
\textsuperscript{41} \textit{Id.} at 389.
\textsuperscript{42} \textit{See} McGovern, \textit{supra} note 20, at 482.
\textsuperscript{43} \textit{Id.} (footnotes omitted).
disentangle these idiosyncratic features from the underlying processes. Thus, the analysis of a single congregation of cases, no matter how detailed, cannot alone support acceptance or rejection of general hypotheses about case careers.
From another perspective, however, the case study is a particularly useful methodology for examining the careers of case congregations. It forces us to remain close to the evidence, and more importantly, it allows us to adopt the perspective the parties had as they worked toward an understanding of what they had on their hands.\textsuperscript{44} Case congregations are “cultural categories created by an act of labeling.”\textsuperscript{45} Unlike the first disciplinary problem of the school year, in which scenario the teacher knows a priori that this is the first of a relatively well defined population of cases, some first mass tort cases arise while yet unlabeled. The process by which the contours of a congregation of cases are defined is crucial to the ultimate development of the congregation. This definitional work cannot be studied easily from a more general point of view. The case study approach offers the opportunity to observe the micro processes through which macro changes in litigation rates occur.\textsuperscript{46}
III. Bendectin Background
A. The Firm\textsuperscript{47}
The William S. Merrell Company, based in Cincinnati, Ohio, was one of the oldest “ethical” (prescription) pharmaceutical companies in the United States. In 1938 it was acquired as a wholly-owned subsidiary by Vick Chemical, a recently formed Delaware Corporation. Vick’s product line was aimed at the symptomatic relief of the common cold (Vicks Vapo-rub). Fearing a cure for the cold was at hand, it acquired William S. Merrell for its prescription drug line. Bendectin was developed during the time William S. Merrell was a subsidiary of Vicks. In 1960 the Vick Chemical Company changed its name to Richardson-Merrell, Inc. (Vick had been founded by the Richardson family). A few
\textsuperscript{44}. See generally Barney G. Glaser & Anselm L. Strauss, \textit{The Discovery of Grounded Theory: Strategies for Qualitative Research} (1967) (arguing for theories “grounded” in the details of particular events).
\textsuperscript{45}. Galanter, \textit{Case Congregations}, supra note 8, at 373.
\textsuperscript{46}. Joseph Sanders, \textit{The Interplay of Micro and Macro Processes in the Longitudinal Study of the Courts: Beyond the Durkheimian Tradition}, 24 \textit{LAW \& SOC’Y REV.} 241, 248-54 (1990).
\textsuperscript{47}. This history comes from personal correspondence from W. Glenn Forrester, attorney for Marion Merrell Dow, to Joseph Sanders, (Aug. 23, 1990) (on file with author) and from Carol Loomis, \textit{Richardson-Merrell Unswallows a Pill}, \textit{FORTUNE}, Jan. 12, 1981, at 54-56.
years later, the William S. Merrell Company was merged into Richardson-Merrell and ceased to exist as a separate entity.
In 1981 a new company, Richardson-Vicks, became an independent, publicly held corporation. It received all of Richardson-Merrell's business and assets except its ethical pharmaceutical business. Richardson-Vicks kept such products as Clearasil, NyQuil, Lavoris, and Oil of Olay. All shares of what remained of Richardson-Merrell, including Bendectin, were sold to Dow Chemical Company for $260 million. Dow was apparently the high bidder among a number of potential buyers, including G.D. Searle. At this time, Richardson-Merrell's name was changed to Merrell Dow Pharmaceuticals. In a sense, the 1981 transaction undid Vick's 1938 acquisition of Merrell, as it once again separated the prescription and non-prescription parts of the company. One result of these transactions was to spin off the parts of Richardson-Merrell that were least threatened by litigation, and sell the rest to Dow.
Dow Chemical became the parent of a subsidiary with outstanding claims involving a number of products, including Bendectin, Thalidomide, MER/29, DES, and the DPT vaccine. It was Bendectin that presented the most serious threat to the new Merrell Dow. Paul Oreffice, Dow Chemical's chief executive, said the Bendectin suits were a "sobering negative," but were adjusted for in Dow's bid.48 (At the time, Dow itself was embroiled in major products liability litigation involving Agent Orange.)
Most recently, in 1989 Merrell Dow merged with Marion Laboratories and became a wholly-owned subsidiary of Marion. Marion's name was changed to Marion Merrell Dow. Currently, Dow Chemical owns almost 67% of Marion Merrell Dow's stock.
The checkered corporate history of Merrell has created several different named defendants in the Bendectin litigation. For simplicity, I refer to the defendant as Merrell, the one word that has always been a part of the corporate name of Bendectin's manufacturer.
B. The Drug
Bendectin and the Bendectin litigation must be understood in light of two other drugs with which the Merrell Corporation was associated during the time Bendectin was being developed and sold: Thalidomide and MER/29. The obvious harm caused by these two drugs set the stage for allegations that Bendectin, too, was a product that never should have been marketed.
48. Loomis, supra note 47, at 55.
(1) Thalidomide
Thalidomide was first synthesized in West Germany in 1953 by Ciba. Because the drug had no pharmacologic effect on laboratory animals, the company discarded it.\textsuperscript{49} Another West German firm, Chemie Grünenthal, then began to explore its uses. Because the drug's molecular structure suggested it might be useful as a sedative, Grünenthal experimented with it as an anticonvulsive for epileptics. The drug failed to prevent convulsions, but did work as a hypnotic, providing a deep, natural sleep without a hangover. In 1960 the drug was given the trade name Contergan and became the favorite sleeping pill in West Germany, available over the counter to anyone. The drug was combined with other ingredients, including aspirin, to form compounds for colds, coughs, flu, headaches, and asthma. In liquid form it was widely used to sedate children. And as an antiemetic it was used for nausea during pregnancy.\textsuperscript{50}
Thalidomide was marketed around the world, and was usually sold without prescription. Merrell's Canadian branch sold the drug as Kevadon. Merrell obtained rights to market it in the United States under the same trade name and applied for FDA approval in September 1960. Shortly thereafter, the first reports of trouble began to surface in Germany; patients complained of tingling hands, atrophy of the thumb, and other forms of peripheral neuropathy. As a consequence, the drug was made available only by prescription.\textsuperscript{51} In the summer of 1961 German doctors first observed that an increasing number of babies were being born with arm and leg deformities.\textsuperscript{52} The full extent of the disaster began to unfold. Ultimately, Thalidomide proved to be one of the most potent human teratogens ever found.\textsuperscript{53}
In the United States, large-scale disaster was narrowly averted. The Food Drug and Cosmetic Act of 1938\textsuperscript{54} required the seller of a new drug
\begin{itemize}
\item[49.] Max Sherman & Steven Strauss, \textit{Thalidomide: A Twenty-Five Year Perspective}, 41 \textit{Food Drug Cosm. L.J.} 458, 459 (1986).
\item[50.] \textit{Id.} at 460.
\item[51.] \textit{Id.}
\item[52.] \textit{Id.;} Helen B. Taussig, \textit{A Study of the German Outbreak of Phocomelia}, 1180 \textit{JAMA} 1106 (1962).
\item[53.] Sherman & Strauss, \textit{supra} note 49, at 461. A teratogen is "[a] substance that produces abnormalities in the embryo or fetus by disturbing maternal homeostasis or by acting directly on the fetus in utero." \textit{A Dictionary of Epidemiology} (John M. Last ed., 2d ed 1988)). Sometimes the term is used in a narrower sense to describe substances that produce a disruption during gestation that results in malformation of the fetus. Jennie Kline & Zena Stein, \textit{Circumstances of Exposure and Reproductive Consequences, in Epidemiology and Health Risk Assessment} 256, 262 (Leon Gordis ed., 1988).
\item[54.] 21 U.S.C. §§ 301-392 (1938).
\end{itemize}
to present convincing scientific evidence of the drug's safety.\textsuperscript{55} Merrell presented the existing data and was allowed to begin clinical investigation, but not widespread sale of Thalidomide. Approval might quickly have followed had it not been for the tenacity of Dr. Frances Kelsey, a physician and pharmacologist at the FDA who took notice of the earlier German reports of adverse neuropathic effects. She also noted that the drug was prescribed for morning sickness; from her earlier work with quinine on a malaria project in World War II, she was acutely aware of the pharmacological differences between fetuses and adults.\textsuperscript{56} She therefore requested more information from Merrell and withheld FDA approval.\textsuperscript{57}
Circumstances and the FDA saved Merrell from disaster, but just barely.\textsuperscript{58} Moreover, Merrell did not come away with completely clean hands. While awaiting FDA approval, Merrell had distributed the drug for investigational use. The company engaged in what might charitably be called extremely lax behavior. While Thalidomide was still under review by the FDA, 2,500,000 tablets were distributed and given to nearly 20,000 individuals, including 624 pregnant women.\textsuperscript{59} Ultimately, at least ten American babies were born with defects attributed to Thalidomide.\textsuperscript{60}
\textsuperscript{55} \textit{Id.} § 355.
\textsuperscript{56} Sherman & Strauss, \textit{supra} note 49, at 461.
\textsuperscript{57} \textit{Id.} Ironically, the FDA's primary concern was that Thalidomide might cause peripheral neuropathy in adults, not birth defects in infants. One of the most active human teratogens known had produced no teratogenic effects in mice, rats, or hamsters. \textit{Id.} Teratogenic effects of Thalidomide are observable in monkeys and rabbits, but finding an appropriate animal model is not always an easy task. \textit{See id.} at 464.
\textsuperscript{58} Richard E. McFadyen, \textit{Thalidomide in America: A Brush with Tragedy}, 11 \textit{CLIO MEDICA} 79 (1976). Sherman and Strauss note that even today a product like Thalidomide might slip through the FDA's safety net. \textit{Sherman & Strauss, supra} note 49, at 464-65. If a suitable animal model could not be found to indicate the potential for fetal injury, tests on human subjects would not uncover the danger because current regulatory policy excludes women in the first trimester of pregnancy from randomized trials of new drugs. They conclude that "[u]nder current FDA policy the only way to prevent another thalidomide disaster is to forbid pregnant women from taking any but the most essential medications—a mode of prevention well known and readily applicable before the 1962 regulations were instituted." \textit{Id.} at 465.
\textsuperscript{59} \textit{McFadyen, supra} note 58, at 86.
\textsuperscript{60} Today, the exact way in which Thalidomide affects humans is still not entirely clear. \textit{Sherman & Strauss, supra} note 49, at 462. Moreover, the birth defects associated with the drug are largely indistinguishable from birth defects arising from other causes. \textit{Id.; Janet McCredie, Mechanism of the Teratogenic Effect of Thalidomide}, 2 \textit{MED. HYPOTHESES} 63, 63 (1976). The conclusion that Thalidomide causes these defects rests on the clinical evidence showing an overwhelmingly greater likelihood of defects among children of women who ingested the product in the early weeks after conception. The best estimates of what now is largely an unknowable figure is that if Thalidomide is taken between 35 and 50 days after menstruation, the risk of malformation is over 50%. W. Lenz, \textit{Malformations Caused by Drugs in Pregnancy}, 112 \textit{AM. J. DISEASES CHILDREN} 99, 105 (1966); \textit{Sherman & Strauss, supra} note 49, at 462.
Merrell reached settlements with victims in the United States and Canada ranging from $100,000 to $999,000.\textsuperscript{61}
(2) MER/29
The second drug that is important to the Bendectin story is MER/29. Merrell designed MER/29 to reduce the level of cholesterol in the bloodstream. Between 1956 and 1959, tests were conducted on animals (rats, dogs, and monkeys) and humans to explore its therapeutic and toxicologic effects. In June 1959 Merrell applied to the FDA for permission to market the drug. The application was approved in April 1960, and Merrell subsequently promoted MER/29 as the first drug to lower cholesterol safely. In fact, the drug was anything but safe. In December 1961, when the drug had been used by approximately 400,000 individuals, Merrell mailed a letter approved by the FDA to all practicing physicians. This so-called "Dear Doctor" letter warned for the first time that MER/29's potential side effects included cataracts, baldness, and severe dermatitis. In April 1962 Merrell voluntarily withdrew the drug from the market. The withdrawal followed an FDA inspection of Merrell's records that revealed the FDA had received incorrect animal data from the firm. The following month, the FDA suspended the new drug application for MER/29 based upon the clinical experience showing its danger to humans.\textsuperscript{62}
The following year Merrell, its parent Richardson-Merrell, and three of Merrell's scientists were indicted under the federal False Writing Statute\textsuperscript{63} for withholding data from the FDA.\textsuperscript{64} For example: the FDA had not been told that two laboratory dogs had developed cataracts, even though this fact was noted on their autopsy sheets;\textsuperscript{65} results of tests on monkeys had been altered; and falsified data had been presented to the FDA.\textsuperscript{66} The defendants, including Dr. Evert van Maanen, Merrell's director of biological sciences, entered nolo contendere pleas. The firms
\begin{itemize}
\item[61.] Gina B. Kolata, \textit{How Safe is Bendectin?}, 210 SCIENCE 518, 519 (1980). At least one case, McCarrick v. Richardson Merrell, went to trial in Los Angeles. 15 Jury Verdict Weekly No. 38, at 43-44 (Sept. 17, 1971); 14 AM. TRIAL LAW ASS'N NEWSL. 410 (1971). In 1984, over twenty years after they had begun, Merrell settled the last of the Thalidomide cases. Francis J. Flaherty, \textit{Last Thalidomide Suits Settle to End Legal Era}, NAT'L L.J., July 30, 1984, at 30.
\item[62.] Paul Rheingold, \textit{The MER/29 Story—An Instance of Successful Mass Disaster Litigation}, 56 CAL. L. REV. 116, 117-120 (1968) [hereinafter Rheingold, \textit{The MER/29 Story}].
\item[63.] 18 U.S.C. § 1001 (1963).
\item[64.] Rheingold, \textit{The MER/29 Story}, supra note 62, at 120-21.
\item[65.] \textit{Id.} at 119.
\item[66.] \textit{Id.}; John Braithwaite, \textit{Corporate Crime in the Pharmaceutical Industry} 60-62 (1984).
\end{itemize}
(Merrell and Richardson-Merrell) were fined a statutory maximum of $80,000, and the scientists received suspended sentences.\textsuperscript{67}
In part, the defendants' pleas may have been an attempt to limit the use of the criminal trial record in civil suits. Nonetheless, the first civil suits were filed in 1961 and filings continued throughout the decade, peaking in 1964. While MER/29 gave rise to many suits, each alleged injury was relatively minor in comparison to those allegedly caused by Thalidomide and Bendectin. According to one estimate, at least 5000 people were harmed by MER/29, and over 1500 suits eventually were filed.\textsuperscript{68} Merrell won most of the early cases, in 1964 and 1965, but plaintiffs prevailed in several subsequent cases in 1966 and 1967.\textsuperscript{69} These plaintiff victories increased the value of untried cases—it is estimated that Merrell ultimately paid over $200 million in damages.\textsuperscript{70}
The MER/29 episode gained widespread publicity. Numerous books and articles were written about both the product and the company that developed it. None was complimentary, and many vilified Merrell.\textsuperscript{71} The company became one of the principal bad guys in an industry of bad guys.
Merrell's experience with these two earlier drugs set the stage for the Bendectin episode. While the litigation surrounding Thalidomide and MER/29 is not legally relevant to the Bendectin litigation, it did make Merrell a likely target for litigation. To employ a criminal law metaphor, Merrell had one prior and on another occasion had been found lurking around the scene of a crime. The MER/29 episode in particular raised questions concerning Merrell's testing program.\textsuperscript{72} When hints of trouble emerged concerning Bendectin, many in the plaintiff's bar must have concluded that, with respect to this firm, where there was smoke there must be fire.
\textsuperscript{67} Rheingold, \textit{supra} note 62, at 121.
\textsuperscript{68} \textit{Id.}
\textsuperscript{69} \textit{Id.}
\textsuperscript{70} See Kolata, \textit{supra} note 61, at 519.
\textsuperscript{71} E.g., Ralph A. Fine, \textit{The Great Drug Deception: The Shocking Story of MER/29 and the Folks Who Gave You Thalidomide} (1972); John Fuller, \textit{200,000,000 Guinea Pigs} (1972); Philip Knightley et al., \textit{Suffer the Children: The Story of Thalidomide} (1979); Milton Silverman, \textit{The Drugging of the Americas} (1976); Sanford Ungar, \textit{Get Away With What You Can, in In the Name of Profit} (Robert Hellbronnner ed., 1973).
\textsuperscript{72} Braithwaite, \textit{supra} note 66, at 60-65.
(3) Bendectin
In 1953 Dr. Raymond Charles Pogge, director of medical research at Merrell, came up with the idea of using pyridoxine (Vitamin B-6) to create an antinausea medicine to combat morning sickness among pregnant women.\textsuperscript{73} After preliminary discussions with others at Merrell, including Dr. Margaret Higgins Morson and D.B. Bowles, Dr. Pogge proposed a drug made up of three ingredients, each of which had been marketed separately: dicyclomine hydrochloride (an antispasmodic); doxylamine succinate (an antihistamine acting as an antinauseant); and pyridoxine hydrochloride.\textsuperscript{74} The new drug was named Bendectin. Prior to the Bendectin formulation, each ingredient had been prescribed singly, and each alone had no recorded adverse effect on humans.
Bendectin was first marketed in 1956.\textsuperscript{75} In the United States, it was available only by prescription.\textsuperscript{76} In 1976, the drug was reformulated to eliminate the first ingredient, dicyclomine hydrochloride, because it was found not to add anything to the efficacy of the formulation.\textsuperscript{77} The possibility that Bendectin might be a teratogen apparently was first brought to
\textsuperscript{73} The information regarding Bendectin's creation is taken from the testimony of Dr. Pogge, Trial Transcript at 1513-1532, Richardson v. Richardson-Merrell, 649 F. Supp. 799 (D.D.C. 1986) (No. 83-3505) (deposition testimony of Dr. Pogge), \textit{aff'd}, 857 F.2d 823 (D.C. Cir. 1988), \textit{cert denied}, 110 S. Ct 218 (1989), and from the court's opinion in Lynch v. Merrell Nat. Lab., 830 F.2d 1190, 1191 (1st Cir. 1987).
\textsuperscript{74} Dicyclomine hydrochloride had been marketed under the name Bentyl. Doxylamine succinate had been marketed under the name Decapryn. It is still marketed (though not by Merrell) as Unisom, an over-the-counter sleeping aid. \textit{In re Richardson-Merrell, Inc. "Bendectin" Prods. Liab. Litig.}, 624 F. Supp. 1212, 1230 (S.D. Ohio 1985), \textit{aff'd sub nom. In re Bendectin Litig.}, 857 F.2d 290 (6th Cir. 1988), \textit{cert denied}, 488 U.S. 1006 (1989). Pyridoxine is Vitamin B6.
\textsuperscript{75} Milan Korcok, \textit{The Bendectin Debate}, 123 CAN. MED. ASS'N J. 922, 923 (1980).
\textsuperscript{76} \textit{Id}. Bendectin is also known by the trade names Debendox, Lenotan, and Merbental, and is available in many other countries. \textit{Id}. In both Canada and Britain the drug was available over the counter, although usually dispensed by prescription. \textit{Id}.
\textsuperscript{77} U.S. DEPT' HEALTH, EDUC. & WELFARE, ADVISORY COMM., THE BENDECTIN PEER GROUP REPORT (1975). This finding was based primarily on two studies. The first was a four-way comparison of dicyclomine and doxylamine singly and in combination, versus a placebo in 716 patients. The main effect of dicyclomine alone was greater than the placebo, but not statistically significant. The effect of dicyclomine in the presence of doxylamine showed similar results—a marginal but not statistically significant increase in efficacy when compared to doxylamine alone.
The second study was a double-blind eight-way comparison of all three ingredients and their combinations with a placebo in 2300 patients. While the study demonstrated the efficacy of three ingredient Bendectin when compared to the placebo, it failed to demonstrate any dicyclomine contribution. Doxylamine again was the major component, demonstrating a significant effect on every response variable including physician assessments of patient nausea, patient self-reports of nausea, eating habits, and daily activities. The study also demonstrated for the first time in double-blind experimental conditions that pyridoxine did have a significant effect on maternal self-reports of nausea when compared with all combinations lacking this
public attention in 1969. Dr. Donald Paterson, a physician in British Columbia filed a drug evaluation report ("DER") with the Canadian Food and Drug Directorate and wrote a letter to the editor of the *Canadian Medical Association Journal* questioning Bendectin's safety.\(^{78}\) The same year, Merrell forwarded to the FDA physician reports of limb reductions associated with the use of Bendectin, and physician letters questioning the drug's safety appeared in the *British Medical Journal*.\(^{79}\)
Questions concerning the safety of Bendectin and whether it, like Thalidomide, was a teratogen continued to accumulate; by the mid-1970s, the FDA had on file over ninety physician reports noting defects among children whose mothers had taken Bendectin.\(^{80}\) By the end of the decade, personal injury suits had been filed, the first going to trial in January 1980.\(^{81}\) In 1980, following a number of reports in the popular press that Bendectin was unsafe\(^{82}\) and under pressure from Congress to investigate the drug,\(^{83}\) the FDA conducted a two-day hearing as to its teratogenic effect. The FDA's conclusion, based on the report of its Fertility and Maternal Health Drug Advisory Committee, was that "available data do not demonstrate an association between birth defects and
---
**drug. Pyridoxine also had a marginally significant effect on physician evaluations of nausea ($p=.08$). See also Korcok, supra note 75, at 923.**
78. Thomas H. Bleakley & J. Douglas Peters, *Bendectin, Trial*, May 1980, at 56, 58.
79. Id.
80. Id. Several DERs were published simultaneously in 1978. See Dian Donnai & R. Harris, *Unusual Fetal Malformations After Antiemetics in Early Pregnancy*, 1 BRIT. MED. J. 691 (1978); Kathleen Frith, *Fetal Malformation After Debendox Treatment in Early Pregnancy*, 1 BRIT. MED. J. 925 (1978); S. Mellor, *Fetal Malformation After Debendox Treatment in Early Pregnancy*, 1 BRIT. MED. J. 1055 (1978); C.J.G. Menzies, *Fetal Malformation After Debendox Treatment in Early Pregnancy*, 1 BRIT. MED. J. 925 (1978); Richard W. Smithells & Sheila Sheppard, *Fetal Malformation After Debendox Treatment in Early Pregnancy*, 1 BRIT. MED. J. 1055-56 (1978). But see J.F. Corey & N.M. Newman, *Debendox and Limb Reduction Deformities*, 1 MED. J. AUSTL. 417 (1981) (DER published several years later concluding Debendox had no adverse effects).
81. See Mekdeci v. Merrell Nat'l Lab., 711 F.2d 1510, 1516 (11th Cir. 1983). *Mekdeci* was originally filed in June 1977, well before any other cases. The plaintiff's mother had actively sought a reason for her son's defect and, on the basis of her own research, determined that it was caused by Bendectin. *Id.* *Mekdeci* is discussed in detail infra notes 204-22 and accompanying text.
82. Mark Dowie & Carolyn Marshall, *The Bendectin Cover-Up*, MOTHER JONES, Nov. 1980, at 42; *New Thalidomide-Type Scandal—Experts Reveal... COMMON DRUG CAUSING DEFORMED BABIES*, NAT'L ENQUIRER, Oct. 9, 1979.
83. See, for example, a letter from California Representative Don Edwards to Jere Goyan, FDA commissioner, expressing his "strongest concern over the FDA's inaction regarding the drug Bendectin." The congressman concluded, "I believe that . . . the substantial amount of new evidence linking Bendectin to fetal malformations mandate [sic] the immediate removal of this harmful drug from the marketplace." Letter from Representative Edwards to FDA Commissioner Jere Goyan (May 7, 1980) (on file in the offices of the Environmental Law Liability Program, University of Houston Law Center).
Bendectin, . . . but [the drug] should be used only when conservative treatment fails."84 The drug was allowed to remain on the market. Nevertheless, in response to the increasing number of lawsuits and the decline in sales caused by negative publicity, Merrell voluntarily withdrew Bendectin from the market in 1983.85 The litigation has continued to the present. Thus far, over 2100 Bendectin claims have been made against Merrell. This figure includes almost 1700 suits brought by children who suffer from a wide variety of birth defects,86 allegedly because their
84. DEP'T HEALTH & HUMAN SVCS. NEWS, Oct. 7, 1980. In response to the question, "[d]o the animal and human data reviewed by you and presented to you support the conclusion that Bendectin is associated with an increased risk for human birth defects?" the Advisory Committee answered: "No, the data presented to date do not demonstrate an association of increased risk for human birth defects with the use of Bendectin. The committee notices with concern two studies that suggest an association between Bendectin and certain anomalies. Therefore, a residual uncertainty regarding a possible relationship does exist." FDA, UNEDITED ANSWERS TO QUESTIONS SUBMITTED TO THE FERTILITY AND MATERNAL HEALTH ADVISORY COMMITTEE (Sept. 15, 1980).
85. For a brief history of the circumstances leading up to the drug's withdrawal, from one critical of this result, see David Williams, How Nader Campaign Killed a Beneficial Drug, HUM. EVENTS, January 14, 1984, at 10-11. At the time, the withdrawal met with widespread criticism. An editorial in the Wall Street Journal concluded:
[T]here's something terribly askew with a legal system that cannot distinguish between a thalidomide and a Bendectin. Let us hope that the withdrawal of Bendectin is not a harbinger of other products being driven from the market by legal costs, even when the weight of medical evidence suggests they haven't been at fault.
WALL ST. J., June 15, 1983, at 34. Bendectin's fate has influenced the development of case law in the products liability area. For example, the California Supreme Court cited the withdrawal of Bendectin as one reason why it should reject a design defect analysis in prescription drug cases, declaring instead that all prescription drugs are unavoidably unsafe products as described in comment k of section 402A of the Second Restatement of Torts. Brown v. Superior Ct., 44 Cal. 3d 1049, 1064, 751 P.2d 470, 479, 245 Cal. Rptr. 412, 421 (1988). The court commented:
The possibility that the cost of insurance and of defending against lawsuits will diminish the availability and increase the price of pharmaceuticals is far from theoretical . . . . For example, according to defendant E.R. Squibb & Sons, Inc., Bendectin, the only antinauseant drug available for pregnant women, was withdrawn from sale in 1983 because the cost of insurance almost equalled the entire income from sale of the drug. Before it was withdrawn, the price of Bendectin increased by over 300 percent.
Id. at 1064, 751 P.2d at 479, 245 Cal. Rptr. at 421 (citations omitted).
86. Over 800 claims were disposed of at a single common issues trial in Ohio in 1985 (the Common Issues Trial). The jury in the Common Issues Trial was asked to consider whether Bendectin causes eight different categories of birth defects:
1. Musculoskeletal Defects: Defects in the muscles, bones and cartilage of a child, including limb defects.
2. Central Nervous System Defects: Defects in the brain, spinal cord and nerves.
3. Heart Defects: Defects in the heart and circulatory system.
4. Head Defects: Defects in the head and face.
5. Respiratory Defects: Defects in the larynx, trachea, bronchi, and lungs.
6. Gastrointestinal Defects: Defects in the esophagus, stomach, and intestines.
mothers used the drug during pregnancy.\textsuperscript{87} Because every state presumably has childhood disability provisions in its statute of limitations,\textsuperscript{88} new suits may be brought into the next century.\textsuperscript{89}
\begin{enumerate}
\item Genitourinary Defects: Defects in the reproductive organs, kidneys, ureters, urethra, and bladder.
\item Death: Includes spontaneous abortions, stillbirths, and neonatal deaths resulting from life-threatening birth defects.
\end{enumerate}
\textit{In re} Richardson-Merrell, Inc., “Bendectin” Prods. Liab. Litig., 624 F. Supp. 1212, 1267, app. D (S.D. Ohio 1985), \textit{aff’d sub nom. In re Bendectin Litig.}, 857 F.2d 290 (6th Cir. 1988), \textit{cert. denied}, 488 U.S. 1006 (1989). A report to plaintiffs’ counsel by the lead counsel committee in June 1984 reported the following breakdown of types of injuries represented in the \textit{Common Issues Trial}:
| Injury Type | Number |
|--------------------------------------------------|--------|
| Unilateral Limb Defects Involving the Arm | 71 |
| Unilateral Limb Defects Involving the Leg | 21 |
| Bilateral Limb Defects Involving the Arm | 17 |
| Bilateral Limb Defects Involving the Leg | 25 |
| Quadrilateral Limb Defects | 18 |
| Musculoskeletal Defects | 13 |
| Central Nervous System Defects | 35 |
| Congenital Heart Defects | 35 |
| Cleft Lip/Cleft Palate | 17 |
| Ear and Eye Deformities | 28 |
| Facial Deformities | 3 |
| Respiratory Defects | 7 |
| Gastrointestinal Defects | 13 |
| Genitourinary Defects | 14 |
| Deaths | 7 |
Materials Prepared by Plaintiff’s Lead Counsel Committee for January Meeting with all Plaintiffs’ Counsel with respect to Common Issues of Liability Trial § 8 (June 11, 1984) (on file in the offices of the Environmental Liability Law Program, University of Houston Law Center).
As the report indicates, although claims have been based upon many types of injuries, the majority involved musculoskeletal defects—specifically limb reductions. As I discuss below, this tendency is much more pronounced when only those individual cases that have gone to trial are examined. \textit{See infra} notes 318-20 and accompanying text.
\textsuperscript{87} Letter from Alfred Schretter, attorney for Merrell-Dow, to Sanford Gaines (August 9, 1989) (on file in the offices of the Environmental Law Liability Program, University of Houston Law Center). For nearly identical figures as to the child-plaintiff cases see U.S. GEN. ACCT. OFF., PRODUCT LIABILITY: EXTENT OF “LITIGATION EXPLOSION” IN FEDERAL COURTS QUESTIONED 35 (January 1988) [hereinafter GAO, “LITIGATION EXPLOSION” QUESTIONED].
\textsuperscript{88} \textit{E.g.}, TEX. CIV. PRACT. & REM. CODE. ANN. § 16.001 (West 1986 & Supp. 1991).
\textsuperscript{89} Because of these disability provisions, the Bendectin Cases have a “long tail”: a long period between the time when a product is distributed in the market and the time after which a suit may not be brought. Some have argued that the long tails of many products liability claims have led to an unravelling of insurance markets. \textit{E.g.}, George L. Priest, \textit{The Current Insurance Crisis and Modern Tort Law}, 96 YALE L.J. 1521, 1582-90 (1987). Insurance companies have responded to long-tailed risks by being less willing to write “occurrence” policies covering all injuries that occur during a time period. Instead, they have turned to “claims-made” policies that cover only claims made while the policy is in effect. This, in turn, has led the attorneys general of several states to sue a number of insurance companies. \textit{See} Joseph Sanders & Craig Joyce, “Off to the Races”: The 1980s Tort Crisis and the Law Reform Process, 27 Hous. L. Rev. 207, 215 n. 33 (1990).
With this background in place, the next two Parts of this Article examine the science and the law surrounding the Bendectin litigation. In each Part, the primary objective is to take a "life cycle" perspective. Neither the science nor the law is analyzed as a collection of autonomous studies or cases, but rather as part of a larger, interactive whole. As shall become clear, both the science and the law have been fundamentally altered by their interaction with each other.
IV. The Science
Science is discussed first because it was, in a sense, a leading indicator of what was to happen in the Bendectin trials. To know the science was, to some extent, to be able to predict what would come. On the other hand, the law, especially as reflected in appellate opinions, was a lagging indicator—a reflection of what already had occurred.
A. Background
Bendectin was already in the marketplace when Merrell experienced problems with Thalidomide and later with MER/29. In part because Bendectin was comprised of existing drugs, the compound had not undergone substantial testing when introduced.\textsuperscript{90} At that time, FDA standards did not require testing for teratogenicity, and Merrell did not test Bendectin for teratogenicity until after the Thalidomide disaster in 1961.\textsuperscript{91} Indeed, the Thalidomide disaster acted as an important catalyst for reformation of the Food and Drug Act.\textsuperscript{92}
In the aftermath of that disaster, Merrell began investigating the safety of Bendectin. As is typical, early research involved \textit{in vitro} and \textit{in vivo} studies. Later, when questions arose regarding Bendectin's safety,\textsuperscript{93} new \textit{in vivo} studies were undertaken, and researchers conducted a series of epidemiological studies assessing Bendectin's effect on human fetuses. Because the relative probative value of various types of data became a determining factor in the Bendectin cases, the next sections provide an overview of each type of research: \textit{in vitro}, \textit{in vivo}, and epidemiological.\textsuperscript{94}
\textsuperscript{90} Trial transcript at 20-21, Mekdeci v. Merrell Nat'l Lab., No. 77-255 (M.D. Fla. Jan. 30, 1980) (testimony of Dr. Pogge).
\textsuperscript{91} \textit{Id.} at 42.
\textsuperscript{92} \textit{Id.} at 56-57; Sherman & Strauss, \textit{supra} note 49, at 463-64.
\textsuperscript{93} See \textit{supra} notes 78-83 and accompanying text.
\textsuperscript{94} In addition to using these three types of studies, toxicologists also draw inferences regarding a drug's effects from its structure. If the molecular structure of a suspect compound is similar to that of a known teratogen, there is some reason to suspect that the compound will have similar effects. C.T.G. King et al., \textit{Antihistamines and Teratogenicity in the Rat}, 147 J. PHARMACOLOGY & EXPERIMENTAL THERAPEUTICS 391-98 (1965); Michael Green, Expert
Following this, I discuss the scientific findings and how they changed as the Bendectin litigation matured.
(1) In Vitro Studies
In vitro studies expose single cells, organs, or even whole embryos maintained in a culture to some substance and examine the biochemical events.\textsuperscript{95} Organ cultures of embryonic limb buds are the most frequent subjects of in vitro studies testing for teratogenicity.\textsuperscript{96} Experiments indicate that embryonic mouse limbs developing in a culture exhibit pathological responses to several teratogens similar to those developing in vivo.\textsuperscript{97} An important advantage of in vitro studies is cost.\textsuperscript{98} There also is an as yet unrealized longer term advantage: by using animal and human cell cultures, in vitro studies allow direct comparisons across species of the effects of cell and organ exposure to drugs. Ultimately, such comparisons may enable us to make better cross-species extrapolations of in vivo study results.\textsuperscript{99} There are, however, many aspects of teratogenicity that cannot be investigated through in vitro studies, and extrapolation to live animals, not to mention humans, is difficult at best.
(2) In Vivo Studies
In vivo studies examine the effects of a drug on various animal species thought to be similar to humans in their response to certain drugs.\textsuperscript{100} Different protocols are employed depending on the type(s) of injuries for
\textsuperscript{95} Stuart Freeman et al., \textit{Post-Implantation Embryo Culture for Studies of Teratogenesis}, in \textit{BIOCHEMICAL TOXICOLOGY: A PRACTICAL APPROACH} 83, 102 (K. Snell & B. Mullock eds., 1987).
\textsuperscript{96} Jeanne Manson et al., \textit{Teratology Test Methods for Laboratory Animals}, in \textit{PRINCIPLES AND METHODS OF TOXICOLOGY} 141, 159 (A. Wallace Hayes ed., 1982).
\textsuperscript{97} \textit{Id.}
\textsuperscript{98} One article, which discusses the procedures of in vitro tests for teratogens using rat embryo cell cultures, estimates that one technician can test between 250 and 300 compounds per year. O.P. Flint, \textit{An In Vitro Test for Teratogens Using Cultures of Rat Embryo Cells}, in \textit{IN VITRO METHODS IN TOXICOLOGY} 339, 356 (C.K. Atterwill & C.E. Steele eds., 1987).
\textsuperscript{99} G.B. Leslie & P. Johnson, \textit{Introduction to IN VITRO METHODS IN TOXICOLOGY}, supra note 98, at 1, 3. See infra notes 106-23 and accompanying text for a discussion of the problems that currently attend extrapolation from in vivo animal testing results to humans.
\textsuperscript{100} Robert E. Menzer, \textit{Selection of Animal Models for Data Interpretation}, in \textit{TOXIC SUBSTANCES AND HUMAN RISK: PRINCIPLES OF DATA INTERPRETATION} 133 (R. Tardiff & J. Rodricks eds., 1987) [hereinafter \textit{TOXIC SUBSTANCES AND HUMAN RISK}].
which one is testing. Today the protocols for teratogenic effects testing are fairly well standardized\textsuperscript{101} and call for tests on at least two species at two dose levels.\textsuperscript{102} For each species a minimum N consists of two test groups and one control group, each containing twenty rodents or ten rabbits. Because of the nonnormal distribution of teratological events, nonparametric tests are often employed, with the litter, not the fetus, as the unit of analysis.\textsuperscript{103} The percentage of fetuses affected within a litter is the basic estimate of statistical effect.\textsuperscript{104} By the mid-1970s, around the time Bendectin's safety came into question, approximately 2000 chemicals (mostly drugs) had been tested for teratogenic effects. Of those tested, approximately one third had shown some teratogenic effect.\textsuperscript{105}
Perhaps the central issue with respect to \textit{in vivo} teratology studies is the degree to which the results can be extrapolated from animals to humans.\textsuperscript{106} Because many substances produce an adverse effect in only a small percentage of organisms when ingested at a rate similar to that encountered in the environment or prescribed by a physician, it takes a large number of animal subjects to detect a given substance's effects with any reliability. Smaller samples would generate an unacceptably large number of false negatives (failure to detect an effect when it exists). Thus, animals are generally administered high doses of the drug in hopes of maximizing the incidence of effects.\textsuperscript{107} If there is a positive result,
\begin{footnotesize}
\begin{enumerate}
\item See, e.g., Ian Nisbet & Nathan Karch, Chemical Hazards to Human Reproduction 74 (1983); Manson et al., \textit{supra} note 96, at 141-84, 156-57. Advisory Committee on Protocols for Safety Evaluation: Panel on Reproduction, U. S. Food & Drug Admin., Report on Reproduction Studies in Safety Evaluation of Food Additives and Pesticides Residues, 16 Toxicology & Applied Pharmacology 264 (1970).
\item Testing for teratogenicity requires that drugs be administered during the critical period encompassing organogenesis, the time when cells and tissues migrate and associate to form organ rudiments. It is during this period that the fetus is most vulnerable to structural defects. Manson et al., \textit{supra} note 96, at 143. In humans, organogenesis occurs from the third to the eighth week of fetal development. In rodents, it occurs earlier and lasts for fewer days. \textit{Id}. For example, organogenesis occurs between days 6 and 15 for rats and between days 6 and 18 for rabbits. Organization for Economic Cooperation & Dev., OECD Short Term and Long Term Toxicology Groups (1979).
\item Typical tests are the Mann-Whitney $U$-test for two groups and the Kruskal-Wallis test for comparisons among more than two groups. Manson et al., \textit{supra} note 96, at 156. For a general discussion of appropriate statistical analyses for toxicological studies see Shayne C. Gad & Carrol S. Weil, Statistics for Toxicologists, in Principles and Methods of Toxicology, \textit{supra} note 96, at 273.
\item Manson et al., \textit{supra} note 96, at 179.
\item James L. Schardein, Drugs as Teratogens 5 (1976).
\item World Health Org., Principles and Methods for Evaluating the Toxicity of Chemicals: Part 1, at 35-41 (1978).
\item While dose-response effects are generally important in determining the toxicity of drugs, this relationship is quite complex in the case of teratogenic effects. For example, high dose rates may increase fetal death and resorption and thus decrease the number of observed
\end{enumerate}
\end{footnotesize}
toxicologists must then extrapolate a predicted incidence at a more realistic lower rate. Unfortunately, there is no single agreed upon extrapolation model for dose-rate effects, and competing models generate widely differing predictions at low response rates.\textsuperscript{108} Extrapolation is particularly difficult in the case of teratogenic effects.\textsuperscript{109}
Once a dose rate extrapolation has been made, a second extrapolation is necessary to adjust across species.\textsuperscript{110} Again, unfortunately, there is no uniformly accepted formula for the adjustment. Two common formulas respectively compare either the body weight or the surface area of the animal with the corresponding human measurement.\textsuperscript{111} The use of these different scaling factors can lead to widely divergent estimates of effects on humans.\textsuperscript{112}
Finally, it is important to emphasize the different role animal studies play when they are used to regulate risk versus when they are used to
\textsuperscript{108} Howard Latin, \textit{Good Science, Bad Regulation, and Toxic Risk Assessment}, 5 YALE J. ON REG. 89, 98 (1988). For example, carcinogenic effects often are measured on a dose scale that defines a base dose rate as the dose necessary to produce cancer in 50% of a sample of test animals. David S. Salsburg, \textit{Statistics and Toxicology: An Overview, in Scientific Considerations in Monitoring and Evaluating Toxicological Research} 123, 127-29 (Edward J. Gralla ed., 1981) [hereinafter \textit{Scientific Considerations}]. Several statistical models, including log-normal, log-logistic, and single-hit models are used to extrapolate to lower dose rate effects. All of the extrapolation models produce similar estimates when the dose rate is relatively close to 50%, but they produce widely divergent results at low doses. For instance, at a dose that is 1/1000 of the 50% dose, the single-hit model gives an estimated response rate 200 times greater than the log-normal model. OSHA Generic Cancer Policy, 45 Fed. Reg. 5001, 5184-5185 (1980).
\textsuperscript{109} Hogan and Hoel note that when compared to carcinogenic or mutagenic effects, teratogenic effects are “perhaps the most difficult to address in terms of species extrapolation and quantitative risk assessment.” Michael D. Hogan & David G. Hoel, \textit{Extrapolation to Man, in Principles and Methods of Toxicology}, \textit{supra} note 96, at 711, 724. The biologic mechanisms underlying teratogenic responses are poorly understood, partly because the basic unit of the experiment is not really one organism, but two—the mother and her offspring. \textit{Id}. This greatly increases the difficulty of extrapolating from high to low dose rates.
\textsuperscript{110} James P. Leape, \textit{Quantitative Risk Assessment in Regulation of Environmental Carcinogens}, 4 HARV. ENVTL. L. REV. 86, 98-99 (1980). Implicit in these formulas is an assumption that animals and humans respond similarly to the substance.
\textsuperscript{111} For example, the National Academy of Sciences estimated the incidence of cancer in humans exposed to Saccharin using different formulas to extrapolate from animal data. A body-weight scale predicted 210 cases per million people exposed. A surface-area scale predicted 1200 cases. A third formula using a total lifetime dose conversion scale predicted 5200 cases per million. \textit{Id}. In general, comparisons between cancer risk estimates based on extrapolations from animal data and actual human epidemiological data indicate that estimates have been accurate for only half the substances examined. See Jack L. Landau & W. Hugh O’Riordan, \textit{Of Mice and Men: The Admissibility of Animal Studies to Prove Causation in Toxic Tort Litigation}, 25 IDAHO L. REV. 521, 547-548 (1988-89).
prove causation in a tort case. When testing a new drug, the critical question is whether there might be a teratogenic effect in humans even though no effect is detected in test animals.\textsuperscript{112} (Recall that Thalidomide did not produce effects in rats or hamsters.)\textsuperscript{113} When we move from the laboratory to the courtroom, however, the question changes subtly. In the courtroom the crucial issue becomes whether a known effect in a test animal is probative of causation in humans. On the first question, a 1980 FDA report indicated that of thirty-eight compounds known to produce human birth defects, all but one have produced a positive result in at least one animal species and 80% are positive in more than one species.\textsuperscript{114} Thus, the Thalidomide experience notwithstanding, negative \textit{in vivo} tests on two species are relatively strong evidence that a drug will be safe for humans.
As to the second question, the answer appears to be that the relationship is weaker and somewhat dependent on the species used to prove causation.\textsuperscript{115} According to the FDA study, of 165 compounds for which no human teratologic effects had been reported only 28% appeared negative in all animal species tested, and 50% appeared negative in multiple species.\textsuperscript{116} On the other hand, over 41% of the compounds appeared to be positive in more than one animal species.\textsuperscript{117} In a species-by-species analysis, the FDA found that a negative response to substances for which human teratologic effects have not been reported was observed only 35% of the time in mice and hamsters, 50% in rats, 70% in rabbits, and 80% in monkeys.\textsuperscript{118} Compounding the problem of what to make of positive
\textsuperscript{112}. Because there are no commonly accepted models for extrapolation, one technique is to employ some arbitrary safety factor when scaling up to humans. Hogan & Hoel, \textit{supra} note 109, at 711-12. For example, one technique for establishing safe doses for humans is to find the maximum dose level that may be administered without causing an observed effect in animals and then multiply this by a safety factor of 100 to determine a "safe level" for humans. \textit{Id.}; Landau & O'Riordan, \textit{supra} note 111, at 536. There appears to be no theoretical basis for choosing a factor of 100. Landau & O'Riordan, \textit{supra} note 111, at 536 n.66.
\textsuperscript{113}. \textit{See supra} note 57.
\textsuperscript{114}. Nisbet & Karch, \textit{supra} note 101, at 98 (citing 45 Fed. Reg. 69, 823). The FDA reports that known or suspected human teratogens produced positive teratologic responses 85% of the time in mice, 80% in rats, 60% in rabbits, 45% in hamsters, and only 30% in monkeys. \textit{Id.}
\textsuperscript{115}. \textit{Id.} at 105.
\textsuperscript{116}. \textit{Id.} (citing 45 Fed. Reg. 69, 823)
\textsuperscript{117}. \textit{Id.}
\textsuperscript{118}. \textit{Id.} For similar results, see Edward J. Calabrese, \textit{Principles of Animal Extrapolation} 237-38 (1983); Gary P. Carlson, \textit{Factors Modifying Toxicity}, in \textit{Toxic Substances and Human Risk}, \textit{supra} note 100, at 47, 49. These results are subject to an important qualification. It is impossible to be certain that any of the compounds that appear not to be teratogenic or carcinogenic in humans are, in fact, completely without teratogenic or carcinogenic effect. Leape, \textit{supra} note 110, at 92. A relatively rare human effect may not have
animal findings is, again, the problem of dosage. At sufficiently high dose levels most, perhaps all, substances are teratogenic in some animals.\textsuperscript{119} If the question is whether a finding that a substance is teratogenic in mice constitutes strong evidence it is teratogenic in humans, the answer is no.\textsuperscript{120}
These limitations on our ability to extrapolate from animal research to humans create what Weinberg has called “trans-scientific” uncertainty: uncertainty concerning an issue that can be put in scientific terms but for which scientific proof is unavailable.\textsuperscript{121} As Brennan notes, “we accept that animal carcinogens are human carcinogens as a matter of policy; this proposition cannot be proven given our present understanding of carcinogenesis.”\textsuperscript{122} A similar statement could be made about \textit{in vivo} studies showing teratogenesis.\textsuperscript{123}
(3) Epidemiological Studies
A third type of scientific research involves epidemiological studies of human subjects.\textsuperscript{124} Epidemiological studies compare the incidence of birth defects among those exposed and those not exposed to a drug. There are two general ways of making such comparisons: cohort studies and case-control studies. Cohort studies compare the incidence of de-
\textsuperscript{119} Bernard A. Schwetz, \textit{Monitoring Problems in Teratology}, in \textit{SCIENTIFIC CONSIDERATIONS}, \textit{supra} note 108, at 180. As one author notes: “Most teratologists accept the principle that any agent can be shown to be teratogenic in an animal providing enough is given at the right time. For instance, both sodium chloride and sucrose have been shown to produce animal teratogenicity.” Thomas H. Shepard, \textit{Human Teratogenicity}, 33 \textit{ADVANCES IN PEDIATRICS} 225, 227 (1986).
\textsuperscript{120} Nevertheless, rodents are particularly attractive candidates for \textit{in vivo} testing, in part because of their relatively low cost and ease of handling. Bernard L. Oser, \textit{The Rat as a Model for Human Toxicological Evaluation}, 8 \textit{J. TOXICOLOGY & ENVTL. HEALTH} 521, 522 (1981).
\textsuperscript{121} Alvin Weinberg, \textit{Science and Trans-Science}, 10 \textit{MINERVA} 209 (1972).
\textsuperscript{122} Troyen Brennan, \textit{Helping Courts With Toxic Torts: Some Proposals Regarding Alternative Methods for Presenting and Assessing Scientific Evidence in Common Law Courts}, 51 \textit{U. PITTS. L. REV.} 1, 23 (1989).
\textsuperscript{123} One commentator notes that there is often a period between the time when animal studies indicate a substance may be dangerous and the time when epidemiological studies indicate whether it is, in fact, dangerous to humans. Wendy E. Wagner, Note, \textit{Trans-Science in Torts}, 96 \textit{YALE L.J.} 428, 432-34 (1986). She proposes that during the interim period liability standards be revised so as to facilitate plaintiff recovery. \textit{Id.} at 442-49.
\textsuperscript{124} Still another source of information about a drug’s effects are the previously mentioned DERs filed by physicians when they observe some adverse effect associated with the drug. Though DERs are helpful in bringing potential problems to the attention of the manufacturer and regulators, their usefulness as a source of systematic data on the effects of a drug is severely limited by their anecdotal nature.
fects in groups of persons exposed to the drug to the incidence in groups of persons not exposed.\textsuperscript{125} Case-control studies match a group of persons who have the defect in question ("cases") against another group that does not have it ("controls"). The two groups then are compared with regard to the frequency of exposure to the drug.\textsuperscript{126} Epidemiological studies typically measure risk by using the concepts of \textit{relative risk},\textsuperscript{127} \textit{odds ratio},\textsuperscript{128} and \textit{attributable risk}.\textsuperscript{129}
Epidemiological studies also vary in the way they collect their data—prospectively or retrospectively. All case-control studies are re-
\textsuperscript{125}. Leon Gordis, \textit{Estimating Risk and Inferring Causality in Epidemiology, in Epidemiology and Health Risk Assessment}, supra note 53, at 51, 52.
\textsuperscript{126}. \textit{Id.}; Michael Dore, \textit{A Commentary on the Use of Epidemiological Evidence in Demonstrating Cause-In-Fact}, 7 HARV. ENVTL. L. REV. 429, 432 & n.22 (1983).
\textsuperscript{127}. The relative risk is the risk of defect in exposed individuals divided by the risk of defect in those not exposed. Gordis, \textit{supra} note 125, at 52. For example, imagine that 20% of mothers in a particular area ingested Bendectin during pregnancy. If we drew a sample and found that of 1000 children whose mothers were exposed to Bendectin, 60 have a defect, while of 4000 children whose mothers were not exposed to Bendectin, 160 have a defect, the relative risk associated with Bendectin ingestion would be \((a/(a + b)) / (c/(c + d)) = (60/(60 + 940)) / (160/(160 + 3840)) = .06/.04 = 1.5\).
\textsuperscript{128}. The odds ratio is the cross-product in a \(2 \times 2\) table. In a cohort study examining exposed and unexposed individuals, it equals the ratio of the odds of injury if the person was exposed, to the odds of injury if the person was not exposed. \textit{Id.}
\begin{center}
\textbf{Odds Ratio in a Cohort Study}
\end{center}
| Injured | Not Injured |
|---------|-------------|
| Exposed | a | b |
| Not Exposed | c | d |
\[\frac{a}{b} = \frac{ad}{bc}\]
\textit{Id.} at 53 fig. 5-1. For example, using the data from the preceding note, the odds ratio would be \(\frac{ad}{bc} = \frac{(60 \times 3840)}{(940 \times 160)} = 1.53\).
In a case-control study comparing a group of cases (people with the injury) to a group of controls (people without the injury), the odds ratio is the ratio of the odds that the cases were exposed to the odds that the controls were exposed. \textit{Id.} at 52.
\begin{center}
\textbf{Odds Ratio in a Case-Control Study}
\end{center}
| CASES | CONTROLS |
|-------|----------|
| (Injury) | (No Injury) |
| History of Exposure | a | b |
| No History of Exposure | c | d |
\[\frac{a}{c} = \frac{ad}{bc}\]
\textit{See id.} at 53 fig. 5-2. Note that cohort and case-control studies differ in how they are conducted, but not in how the odds ratio is computed.
With case-control studies we know the risks of exposure, but we usually do not know the risk of injury. The odds ratio is a good approximation of relative risk when, with respect to their history of exposure, both the cases and the controls are representative of the population from which they are drawn, and when the disease or defect is rare in the population. \textit{Id.} at 52, 54 fig. 5-3; see HAROLD KAHN, \textit{AN INTRODUCTION TO EPIDEMIOLOGIC METHODS} 46 (1983).
\textsuperscript{129}. Attributable risk is an assessment of the differences in the risks of exposed and unexposed populations. It is calculated by subtracting the level of risk of the unexposed population (the background risk) from the level of risk of the exposed population. Gordis, \textit{supra} note 125, at 53-54. Thus, if the background risk of contracting cancer is 25% while the risk for those who spend a lifetime employed at a commercial nuclear reactor is 28%, the attributable risk of working at the site is 3%.
rospective; indeed, the term "retrospective study" is sometimes used as a synonym for case-control study. Similarly, the term "prospective study" is sometimes used as a synonym for cohort study, even though some cohort studies do collect data retrospectively.\textsuperscript{130} An important limitation of all studies using retrospectively collected data is that the data may be affected by recall bias.\textsuperscript{131} Mothers who have children with birth defects, for example, are likely to search their pasts carefully, trying to find the cause of their child's injury. Consequently, they are more likely to recall the drugs ingested during pregnancy than are mothers of healthy children. The dangers of bias presumably increase with the passage of time. Researchers employ a number of strategies in an attempt to overcome these dangers.\textsuperscript{132}
a. The Primacy of Epidemiology?
Because epidemiological studies are done on human subjects, they are sometimes thought to be the preferred evidence of environmental risk.\textsuperscript{133} As Erdreich notes, at least in situations where the proposed effect of a drug does not have a long latency period, "descriptive epidemiologic data . . . will settle the uncertainty associated with even the best animal data."\textsuperscript{134} Occasionally, epidemiological evidence has been said to trump all other types of information. Thus, Judge Weinstein, in his opinion granting summary judgment against opt-out plaintiffs in the \textit{Agent Orange Case}, said the epidemiological studies "are the only useful studies having any bearing on causation. All the other data supplied by the parties rests on surmise and inapposite extrapolations from animal studies and industrial accidents."\textsuperscript{135}
\textsuperscript{130}. \textsc{Kahn}, supra note 128, at 39-40.
\textsuperscript{131}. Recall bias is but one of many sources of potential bias in epidemiological research. For a useful discussion, see David L. Sackett, \textit{Bias in Analytic Research}, 32 \textsc{J. Chronic Diseases} 51, 56 (1979).
\textsuperscript{132}. In one study of Bendectin, for example, the researchers conducted an in-depth interview with each mother and in most cases corroborated the interview results with exposure information in the mother's obstetric record. Sally Zierler & Kenneth Rothman, \textit{Congenital Heart Disease in Relation to Maternal Use of Bendectin and Other Drugs in Early Pregnancy}, 313 \textsc{New Eng. J. Med.} 347, 347-48 (1985).
\textsuperscript{133}. Michael L. Dourson & Jerry F. Stara, \textit{Regulatory History and Experimental Support of Uncertainty (Safety) Factors}, 3 \textsc{Reg. Toxicology \& Pharmacology} 224, 234 (1983).
\textsuperscript{134}. Linda Erdreich, \textit{Combining Animal and Human Data: Resolving Conflicts, Summarizing the Evidence}, in \textsc{Epidemiology and Health Risk Assessment}, supra note 53, at 197, 198.
\textsuperscript{135}. \textit{In re Agent Orange Prod. Liab. Litig.}, 611 F. Supp. 1223, 1231 (E.D.N.Y. 1985), \textit{aff'd}, 818 F.2d 187 (2d Cir. 1987), \textit{cert. denied sub nom. Lombardi v. Dow Chem. Co.}, 487 U.S. 1234 (1988).
On the other hand, epidemiological studies do have limitations. Not infrequently, they contain methodological or data collection shortcomings that undermine their findings. Thus, some experts would disagree with Judge Weinstein's conclusion that he could disregard *in vivo* studies and other types of evidence that contradict epidemiological findings.\(^{136}\) Moreover, when epidemiological findings are inconsistent or unclear, the animal studies take on greater importance. Even if an epidemiological study indicates that there is a correlation between a product and a defect, the question remains whether the product caused the problem.
b. Causal Inference
Because we often may not understand the mechanisms by which a drug causes human injury, epidemiological correlation alone does not constitute proof of causation. Epidemiologists have developed a set of additional criteria to assist in determining whether an injury is the result of exposure to a particular product.\(^{137}\)
The first criterion is temporal order. Cause precedes effect. If the effect came before the cause, there can be no causal relationship. Ambiguity as to causal order undermines the ability to make causal arguments.
Second, there is the strength of association. The stronger the statistical association (usually measured by relative risk or the odds ratio) and the greater the level of statistical significance (usually measured by a chi square test) the more willing epidemiologists are to attribute a causal relationship.\(^{138}\)
\(^{136}\). See Erdreich, *supra* note 134, at 198; cf. Peter Schuck, *Agent Orange on Trial: Mass Toxic Disasters in the Courts* 279 (1986); Bert Black & David Lilienfeld, *Epidemiological Proof in Toxic Tort Litigation*, 52 FORDHAM L. REV. 732, 776 (1984); Dore, *supra* note 126, at 436; Kristine L. Hall & Ellen K. Silbergeld, *Reappraising Epidemiology: A Response to Mr. Dore*, 7 HARV. ENVTL. L. REV. 441, 448 (1983); Richard E. Hoffman, *The Use of Epidemiologic Data in the Courts*, 120 AM. J. EPIDEMIOLOGY 190, 192 (1984).
\(^{137}\). Mervyn Susser, *Epidemiology, Health and Society: Selected Papers* 69-80 (1987); Erdreich, *supra* note 134, at 203; Thomas H. Shepard, *Human Teratogenicity*, 33 ADVANCES PEDIATR. 225, 230-34 (1986).
\(^{138}\). Herein lies the complex question of when it is appropriate to reject the null hypothesis that there is no relationship between the treatment and the effect. For a general statistical discussion of calculating relative risks, chi squares, and confidence intervals see Kahn, *supra* note 128, at 3-10. The literature on the role statistical evidence and statistical significance should play in legal assessments of liability is voluminous. Among the more interesting articles are: Bert Black, *A Unified Theory of Scientific Evidence*, 50 FORDHAM L. REV. 595 (1988); Black & Lilienfeld, *supra* note 136; Harold Ginzberg, *Use and Misuse of Epidemiologic Data in the Courtroom: Defining the Limits of Inferential and Particularistic Evidence in Mass Tort Litigation*, 12 AM. J. L. & MED. 423 (1986); Steve Gold, *Causation in Toxic Torts: Burdens of Proof, Standards of Persuasion, and Statistical Evidence*, 96 YALE L.J. 376 (1986); Ora Fred Harris, Jr., *Toxic Tort Litigation and the Causation Element: Is There Any Hope of*
The third criterion is the specificity of the relationship. There can be specificity in the causes and in the effects. Perfect specificity is achieved when a cause is a necessary and sufficient condition for one sole effect. If exposure to a certain product leads to a "signature disease," as is the case with asbestosis, causal inferences are easier. But as causes come to have multiple results and as effects come to have multiple sources, causal arguments become indeterminate. Not infrequently, causal hypotheses have been attacked because a cause has multiple effects.\textsuperscript{139} Almost all epidemiologists agree, however, that while lack of specificity in the effects of a cause may make a causal relationship indeterminate, it does not disprove the existence of such a relationship.\textsuperscript{140} Similarly, while specificity in the causes of a given effect strengthens the plausibility of a causal relationship the absence of specificity alone does not refute the existence of a causal relationship.\textsuperscript{141}
Fourth, there is consistency on replication. Multiple replications, especially when they use a variety of methods and are done in a variety of circumstances, support causal arguments by diminishing the probability that results are spurious or the product of methodological flaws. Whenever it is impossible to implement an experimental design fully, unmeasured confounding factors threaten the accuracy of the results.\textsuperscript{142}
Finally, there is the coherence of the evidence. A finding is more likely to support a causal interpretation when it fits within a known body of facts or an existing theoretical framework. One type of coherence is biological plausibility; that is, an understanding of the mechanisms through which a cause may lead to an effect. Another type of coherence that increases the plausibility of a causal relationship is a finding of a dose-response relationship; that is the higher the dose, the greater the response.\textsuperscript{143}
\textit{Reconciliation?}, 40 Sw. L.J. 909 (1986); David Kaye, \textit{Is Proof of Statistical Significance Relevant?}, 61 Wash. L. Rev. 1333 (1986); David Kaye, \textit{Statistical Significance and the Burden of Persuasion}, \textit{Law & Contemp. Probs.}, Autumn 1983, at 13; Richard Lempert, \textit{Statistics in the Courtroom: Building on Rubinfeld}, 85 Colum. L. Rev. 1098 (1985).
\textsuperscript{139} The best known example of this type of argument involves the correlation between cigarette smoking and disease, because smoking does not cause a specific ailment.
\textsuperscript{140} Sussler, \textit{supra} note 137, at 79.
\textsuperscript{141} Sussler notes that as knowledge accumulates specificity may be improved because we come to a clearer understanding of the differences between previously undifferentiated causes or effects. \textit{Id.} at 87. For example, as we come to appreciate the differences in the types of asbestos fibers we may be able to make more specific statements about the relationship of these fibers to certain diseases. Moreover, as specificity improves, so may strength of association. Here as elsewhere, the criteria for making causal inferences overlap.
\textsuperscript{142} See Thomas D. Cook & Donald T. Campbell, \textit{Quasi-Experimentation: Design & Analysis for Field Settings} 37-94 (1979).
\textsuperscript{143} Manson et al., \textit{supra} note 96, at 150. The lack of a linear dose-response relationship
The history of the Bendectin litigation has been marked by questions concerning the relative probative value of each type of evidence and the causal inferences that can be drawn from statistical correlations.
B. The Bendectin Studies
Against this background, the next sections present the Bendectin research. The purpose here is not to determine whether Bendectin is a teratogen; rather, it is to examine the flow of science over the life cycle of the Bendectin litigation. In mass tort cases, the importance of the science cannot be overemphasized. Without *in vitro*, *in vivo* and epidemiological findings, and experts prepared to present them, the plaintiff has no case. In order to understand the litigation, something first must be known about the science. Further, there are two other issues suggested by the idea of a congregation of cases. First, the science, like the law, of a case congregation develops and matures; the science also experiences a life cycle.\textsuperscript{144} We should expect that the science will be relatively poorly developed in the early stages of litigation, but that over time the mobilization efforts of the parties will produce a richer body of scientific evidence.
This leads to the second point: We should anticipate that the science itself is influenced by the legal process. As the congregation of cases grows and matures, it creates its own gravity field, attracting and distorting the science that comes near it.\textsuperscript{145} In turn the science affects the law. Ultimately, science and law interact in complex ways to produce unique patterns of development in various case congregations. In the following three sections, I show how the science developed in the Bendectin Cases.
(1) *In Vitro* Studies
While probably all Bendectin cases have contained some testimony on *in vitro* research, the number of studies on point is limited. In a recent letter published in the *Journal of the American Medical Association*, Dr.
\textsuperscript{144} See Michael Green, \textit{The Paradox of Statutes of Limitations in Toxic Substances Litigation}, 76 CAL. L. REV. 965, 975 (1988) (arguing that knowledge of the dangerousness of toxic substances generally improves with time).
\textsuperscript{145} In this regard, Sackett notes that research may be susceptible to what he calls the "hot stuff bias": "When a topic is hot, neither investigators nor editors may be able to resist the temptation to publish additional results, no matter how preliminary or shaky. . . ." Sackett, \textit{supra} note 131, at 61. For a period of time in the 1980s, Bendectin was hot stuff. \textit{See infra} text accompanying notes 198-99.
Stuart Newman cites six *in vitro* studies that examine Bendectin or its antihistamine component, two of which were published in 1989.\textsuperscript{146}
Compared to *in vivo* or epidemiological research, *in vitro* studies are the least accessible to the lay person. Summarizing the findings is difficult. One study that is damaging with respect to Bendectin's safety is by Budroe, Shaddock, and Casciano, who conclude that Doxylamine may be a weak DNA-damaging agent.\textsuperscript{147} Hassell and Horigan report that Bendectin inhibits limb bud mesenchyme cell differentiation.\textsuperscript{148} Dr. Newman interprets the other studies as indicating doxylamine also curtails the formation of embryonic cartilage.\textsuperscript{149} The authors of these studies, however, apparently do not conclude that their research indicates that Bendectin or doxylamine is teratogenic.\textsuperscript{150} Cumulatively, the evidence suggests that Bendectin's antihistamine component may have some adverse effects on embryonic cell development, but there is relatively little research, and the findings are not clear cut.
This circumstance is not surprising since the purpose of most of these studies is not to prove or disprove that Bendectin causes specific types of developmental defects in animals or children. Instead, most appear to have a different purpose: to study a group of known teratogens alongside a group of known nonteratogens and determine whether the
\textsuperscript{146} Stewart A. Newman, \textit{Bendectin—Birth Defects Controversy}, 264 JAMA 569, 569 (1990) (letter to the editor). As the journal editor noted, Dr. Newman has provided expert advice and testimony (for plaintiffs) in Bendectin cases. For a listing of the *in vitro* studies, see Appendix B.
\textsuperscript{147} John D. Budroe et al., \textit{A Study of the Potential Genotoxicity of Methapyrilene and Related Antihistamines using the Hepatocyte/DNA Repair Assay}, 135 MUTATION RES. 131, 136-37 (1984).
\textsuperscript{148} John R. Hassell & Elizabeth A. Horigan, \textit{Chondrogenesis: A Model Developmental System for Measuring Teratogenic Potential of Compounds}, 2 TERATOGENESIS, CARCINOGENESIS, AND MUTAGENESIS 325, 331 (1982). Using a unit of measure called the "teratogenic potential," they found Bendectin inhibited cell differentiation at a dose of .05 mg/ml. This dose was approximately 1.5 orders of magnitude smaller than the amount of caffeine necessary to produce a similar effect (2.3 mg/ml). On the other hand, the Bendectin dose was 3.5 orders of magnitude larger than the amount of vitamin A required to produce a similar effect (.000013 mg/ml). \textit{Id.} at 330. Hassell and Horigan do not express an opinion in the article as to whether Bendectin is dangerous to humans when taken at normal therapeutic doses.
\textsuperscript{149} Newman, \textit{supra} note 146, at 569.
\textsuperscript{150} See, e.g., M. Guntakatta et al., \textit{Development of a Mouse Embryo Limb Bud Cell Culture System for the Estimation of Chemical Teratogenic Potential}, 4 TERATOGENESIS, CARCINOGENESIS, AND MUTAGENESIS 349, 362 (1984) ("responses observed for each of these chemicals . . . were statistically insignificant"); J.Y. Renault et al., \textit{Limb Bud Cell Culture for In Vitro Teratogen Screening: Validation of an Improved Assessment Method Using 51 Compounds}, 9 TERATOGENESIS, CARCINOGENESIS, AND MUTAGENESIS 83, 88-89 (1989) ("[i]n contrast with . . . patterns of specific inhibitory activity [produced by two known teratogens], treatment with Doxylamine (succinate), a known nonteratogen, resulted in a concomitant inhibition of proliferation and differentiation . . . signifying nonspecific toxicity").
procedure used in the study is in fact able to differentiate the two groups of drugs. If a procedure is able to distinguish known teratogens from known nonteratogens then it will be a better predictor as to whether a new compound will in fact be teratogenic in humans. To return to the distinction developed earlier between studies used to regulate risk versus studies used to prove causation in a tort case, the primary goal of most of these *in vitro* studies appears to have been the development of techniques that will be most helpful in regulating risk.
Perhaps this is why, in comparison to the *in vivo* and epidemiological research discussed below, relatively little Bendectin-specific *in vitro* research has occurred. As a consequence, the *in vitro* data is second best evidence when used in the courtroom to demonstrate that Bendectin is a teratogen.
(2) *In Vivo* Studies
In the aftermath of the Thalidomide disaster, the first *in vivo* tests of Bendectin were conducted by Merrell employees in 1963, using rabbits and rats. The principal investigator, Dr. Robert Staples, concluded that the study did not reveal teratogenicity. However, he noted some malformations in rabbits given the highest doses, and therefore recommended further research be conducted at higher dose rates. In 1966 and 1967 further tests were done on the individual components of Bendectin by two other Merrell employees, Drs. James Newberne and John Gibson. These results were published in 1968. Since that time there have been surprisingly few published *in vivo* studies designed to explore the teratogenic effect of Bendectin or its constituent ingredients. Table 1
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151. See supra notes 112-20 and accompanying text.
152. Hagan v. Richardson-Merrell, Inc., 697 F. Supp. 334, 338 (N.D. Ill. 1988). Merrell did not immediately follow up on this recommendation, nor did it submit the findings to the FDA until three years later. This type of behavior on Merrell's part helped fuel speculation by plaintiffs that if they only dug deeply enough, they would find a cover-up. Id.
153. See John P. Gibson et al., Teratology and Reproduction Studies with an Antinauseant, 13 TOXICOLOGY & APPLIED PHARMACOLOGY 439, 441 (1968).
154. Table 1 is found in appendix A. For a listing of the *in vivo* studies, see Appendix C.
presents a summary of the published studies, plus two unpublished ones, in chronological order.
The table is useful for indicating the development of the literature. The first thing to note is the erratic nature of the research—bursts of activity separated by several years during which no research occurred. In fact, the pattern reflects the regulatory purpose of most *in vivo* studies and, later, the demands of the Bendectin litigation. The early 1967 research represents Merrell's response to Thalidomide. It was followed by a long period of quiet. The mid-1970s work reflects the impact of the epidemiological effectiveness study that found two ingredient Bendectin to be as effective as the three ingredient version. Subsequently, Merrell conducted *in vivo* studies to test the safety of the new formulation on animals. The final and largest wave of studies, from the early 1980s to date, reflects the need for new evidence regarding the drug's safety, driven largely by the interest in and demand for information resulting from the Bendectin litigation.
The table is somewhat misleading as an indicator of the total volume of animal research. Gibson's 1968 study reported on six separate experiments that had examined the effects of doxylamine succinate, dicyclomine hydrochloride, and three ingredient Bendectin on rats and rabbits. Because these all were done in the same laboratory by Merrell employees, however, they are inherently suspect. Studies 3 and 4 were also done in Merrell's laboratories. They were designed to examine the
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155. With regard to the number of mothers in experimental and control groups (column 3), it should be noted that the total number of fetuses examined may be much larger depending on the species. For example, in the rat study by Tyl et al., the 116 experimental animals and 53 controls produced a total of 2007 fetuses. Rochelle W. Tyl et al., *Developmental Toxicity Evaluation of Bendectin in CD Rats*, 37 TERATOLOGY 539, 546 (1988). Recall from the earlier discussion that the preferred analysis focuses on the percentage of fetuses within litters that have a defect. *See supra* text accompanying notes 103-104. The relatively greater cost of rabbit and monkey studies is in part a function of the smaller litter sizes of these species.
156. Several additional unpublished studies should be mentioned as well. Merrell conducted a number of studies, most, but not all of which are summarized in Gibson's 1968 article. *See* Gibson, *supra* note 153, at 440. In addition, there are studies by Roll & Matthiaschk (1981), Roll (1982) (testing Bendectin on rats), and McClure (1982) (a small monkey study showing no effect). Tyl et al. *supra* note 155, at 540. Table 1 does not include these studies.
157. *See supra* note 77 and accompanying text.
158. In all these experiments the authors interpreted the results as indicating no effect, although there does appear to be both a higher incidence of contracted tendons in rabbits receiving high doses of Bendectin and a higher incidence of focal hematomas in rats receiving high doses of dicyclomine hydrochloride. Additionally, no statistical analyses are presented for any of this study's findings. Plaintiff's experts have challenged the way those who conducted the study coded certain animals and have claimed that if the data had been coded correctly, these studies would indicate that Bendectin causes birth defects.
teratogenic effects of the two ingredient Bendectin formulation. In addition, studies 6, 7, 9, and 10 were all conducted in a single laboratory at the University of California, Davis by Hendrickx and colleagues. Papers 6 and 7 are, in fact, only abstracts of work in progress that is fully reported in 9 and 10. If Hendrickx's studies are counted as one piece of research, there turn out to be only six separate research projects in the published literature, and one of these (study 5, involving chicken eggs) is only marginally an *in vivo* study.
Several of the studies report some relationship between the drug and a teratogenic effect,\textsuperscript{159} although the authors are generally cautious about attributing causation.\textsuperscript{160} The research on monkeys concludes that two ingredient Bendectin causes heart defects.\textsuperscript{161} One rabbit study (study 8) concludes that doxylamine succinate causes limb and skeletal defects.\textsuperscript{162} The rat studies find, at most, minor teratogenic effects.\textsuperscript{163} Several studies
\textsuperscript{159.} See infra app. A, tbl.1, col. 5.
\textsuperscript{160.} See infra app. A, tbl. 1, col. 9. Their caution is explained by a variety of factors: the relationship is not statistically significant; the defect is one frequently found in the particular strain of animal used; the effect is produced because of the drug's maternal toxicity; or there are other, fortuitous explanations for the result.
\textsuperscript{161.} The first epidemiological study to show a teratogenic effect in humans also involved heart defects. See infra note 183. The defects exhibited by the monkeys (ventricular septal defects) apparently are temporary. Bendectin causes a delay in the closure of the ventricular septa, but it closes spontaneously by full term. The defect is not detectable in newborn monkeys. A.G. Hendrickx et al., Evaluation of Bendectin Embryotoxicity in Non-Human Primates: Double-Blind Study in Term Cynomolgus Monkeys, 32 TERATOLOGY 191, 194 (1985).
\textsuperscript{162.} Because the most seriously injured plaintiffs have suffered limb defects, the rabbit studies are particularly relevant to the Bendectin litigation. Dr. McBride, the researcher who found these defects, has been a central expert witness for plaintiffs in these cases. He has also been at the center of considerable controversy, including serious charges of misconduct surrounding research on a different drug, scopolamine. See Andrew Skolnick, Key Witness Against Morning Sickness Drug Faces Scientific Fraud Charges, 26 JAMA 1468, 1468 (1990).
\textsuperscript{163.} While the Tyl study did show a dose-related skeletal defect (reduced number of ossified caudal vertebral centra), on the basis of an analysis of covariance ("ANCOVA"), the authors concluded that this and other fetal defects are best understood as the consequence of reduced fetal body weight. Tyl, supra note 154, at 550-51. In general, the authors interpret the defects detected in this study as the byproduct of maternal and developmental toxicity resulting from the very high doses of Bendectin given to the experimental rats. The lowest dose rate in the study (200 mg/kg/day) is approximately 300 to 600 times the therapeutic dose taken by pregnant women. The highest dose rate was 800mg/kg/day. At this rate, Bendectin caused profound maternal toxicity.
Tyl also reports that Roll and Matthiassch conducted an experiment in 1981 finding teratogenic effects (diaphragmatic hernia) in rats; but that Roll was unable to replicate the results in the same laboratory. Id. at 540.
Gibson's 1975 study indicates a relationship between Bendectin and dilated kidney pelvis and subcutaneous hematomas. Both are said to be common to the strain of rat used in the study, and the latter defects generally disappear within a few days in newborn rats. John Gibson, Teratology Study With A New Antinauseant Formulation in Rabbits 3 (1975) (unpublished study, on file with author).
find that high dose rates of Bendectin do produce maternal toxicity, and this in turn injures the fetus.\textsuperscript{164}
One would expect that as the Bendectin litigation matured, so too should the quality of the \textit{in vivo} evidence have improved, allowing the parties and the courts to reach a consensus regarding the drug's teratogenicity. And there is some evidence that the quality of the research did improve over time. Early studies rarely utilized any statistical analysis of experimental results, while later ones employed some rather sophisticated analytic tools.\textsuperscript{165} Additionally, the sample sizes of the studies have grown, and dose rates have been increased.\textsuperscript{166} Both of these methodological changes increase a study's ability to detect minor defects. On the other hand, the limited number of \textit{in vivo} studies, which employed a variety of test animals and tested a variety of component drugs, makes it difficult to draw any conclusions as to whether Bendectin has a specific teratogenic effect on humans.
How to account for the relatively limited number of \textit{in vivo} studies, as well as their relatively late appearance? The small number of studies cannot be explained by a direct depletion effect. While Bendectin is no longer available as a prescription drug, it remains available for laboratory studies. Indeed, the most recent research occurred subsequent to Merrell's withdrawal of Bendectin from the market. Nevertheless, the volume of published work is thin. Why?
In part, the answer is found in the relationship of this research to all Bendectin research and to the ongoing litigation surrounding the product. While \textit{in vivo} studies in general are cheaper to conduct than epidemiological studies, with respect to a particular drug the relative advantage is lessened. Large scale epidemiological studies can be used to investigate a wide variety of drugs simultaneously. Most of the epidemiological research on Bendectin, for instance, uses data sets collected for more general purposes. Animal studies, by contrast, must focus on the drug in question. Consequently, there has been less interest in mobilizing the resources necessary to conduct Bendectin-specific \textit{in vivo} experiments.
This has proven especially true since Bendectin was removed from the market. Further study of the drug is of limited interest to people who are not in some way involved with Bendectin as a legal, as well as scien-
\textsuperscript{164} See Tyl et al., supra note 155, at 550.
\textsuperscript{165} See id.
\textsuperscript{166} Tyl's 1988 rat study involved over 2000 fetuses, some of whose mothers had been exposed to Bendectin at levels nearly three orders of magnitude greater than human therapeutic doses.
tific, issue. In other words, Merrell's decision to remove Bendectin from the market did lessen demand for animal research. This fact is reflected in the sponsorship of the published studies that do exist. Five separate research projects are listed in Table 1 (Gibson, Khera, McBride, Hendrickx, and Tyl). The first (Gibson) was sponsored and conducted by Merrell. The second (Khera) was done to explore the teratogenicity of pyridoxine; it did not directly involve Bendectin. The third (McBride) was independent. Hendrickx's work began independently, but the research reported in the second 1985 article was funded by Merrell.\textsuperscript{167} Tyl's study, the largest and most sophisticated \textit{in vivo} study to date, was undertaken by the National Toxicology Program at the specific request of the FDA's Bureau of Drugs.\textsuperscript{168} Given the fact that Merrell was, by far, more interested in such research than any other entity, its decision to drop Bendectin naturally led to a decrease in animal studies of the drug's teratogenicity.
If those not involved in the litigation had little interest in new research, neither did the parties themselves have strong incentives to conduct new studies. Once litigation began, Merrell's incentive to continue its own research was substantially diminished. New studies done by Merrell scientists in Merrell laboratories were, from the company's point of view, a lose-lose proposition. If they showed an effect, the studies would be used against the company in subsequent litigation. If they failed to show an effect, their persuasiveness would be seriously limited by the fact that Merrell had conducted them. Any slight technical flaw in the design or execution of the experiment would be exploited by plaintiffs to undermine Merrell's findings.\textsuperscript{169} A similar analysis would apply to research funded by Merrell, especially if it was conducted by someone who had previously testified on the firm's behalf.\textsuperscript{170}
\textsuperscript{167} Hendrickx, \textit{supra} note 161, at 194.
\textsuperscript{168} Tyl, \textit{supra} note 155, at 540.
\textsuperscript{169} Typically, this has happened with earlier Merrell animal studies. \textit{See In Re Bendectin Litig.}, 857 F.2d 290, 318 (6th Cir. 1988), \textit{cert. denied sub nom. Hoffman v. Merrell Dow Pharmaceuticals}, 488 U.S. 1006 (1989). In more recent trials, Merrell has relied much less on its own animal or epidemiological studies, in part because it then does not have to defend them. For example, in \textit{Hagaman v. Merrell Dow Pharmaceuticals}, No. 84-2202-5, 1987 U.S. Dist. LEXIS 6124 (D. Kan. Jun. 26, 1987), Merrell moved to exclude the videotape deposition of Isalene Smock, whose testimony cast doubt on an early Merrell epidemiological study. The court granted the motion, stating: "In their brief, plaintiffs indicate that this deposition will be offered because defendant relies heavily upon the Bunde-Bowles study. Defendant has indicated that it does not intend to rely upon the study at trial. Accordingly, the court cannot find any relevance in showing the videotape to the jury." \textit{Id.} at *28.
\textsuperscript{170} The most noteworthy example of this problem in the Bendectin Cases arose with respect to the epidemiological research done by Professor Richard Smithells for Merrell. Plaintiffs were able to obtain a letter from Professor Smithells to Dr. Mark Hoekenga, an
In this respect it is interesting to note that while the Hendrickx study, which was funded by Merrell, did involve some risk of an adverse finding, from the firm's perspective it had the benefit that it was conducted by a non-Merrell employee who had previously concluded Bendectin causes heart defects in monkeys. Merrell thus could hope to make effective use of a negative finding in court. Even so, the researchers used a double-blind design so as to minimize the potential that the study might appear biased.\textsuperscript{171} Even this strategy, however, did not shield Merrell from the suggestion that because they funded the study its results were suspect.\textsuperscript{172}
\textsuperscript{171} Hendrickx, \textit{supra} note 161, at 191.
\textsuperscript{172} The first Hendricks study had found that when fetuses from three species were sacrificed after approximately two-thirds of their gestation period, those whose mothers had taken Bendectin were more likely than those whose mothers had not to exhibit interventricular septal defect (the membrane separating the two sides of the heart, the septum, is not completely closed). The second study, funded by Merrell, replicated the first study on one species but did not sacrifice the fetuses until normal term. By then there was no apparent effect of Bendectin exposure; apparently the membrane spontaneously closes by term. \textit{Id.} at 194.
The following exchange took place between plaintiff's lawyer and plaintiff's expert, Adrian Gross, with respect to the Hendrickx studies:
Q: All right. Let's talk about who pays for some of these things, then, Doctor. Let's look at the Hendrickx study.
A: The first one was done under the sponsorship of the government with a grant from the NIH.
Q: And the second one?
A: That was paid for by Merrell.
Q: Let me show you what's been marked as Exhibit 231. Have you seen this before?
A: I think I have.
Q: Can you tell us what—whose letterhead it's on?
A: Merrell Research Center.
Q: Turn to the second page of that.
A: Yes, I have it.
Q: Is there a reference there to the Hendrickx study?
A: Yes.
Q: Hendrickx monkey study?
A: Right.
Q: The category is what?
A: Defense.
It is not only the existence of litigation that alters the incentives to conduct *in vivo* research; so too does the existence of a large body of epidemiological data diminish the market for animal research. Inevitably, the direct evidence on human effects provided by the epidemiological evidence diminishes the demand for *in vivo* studies insofar as they are designed to answer the question of whether a drug causes harm to humans. Although there is considerable disagreement about the proper role of *in vivo* studies in answering that question, many would agree they are less probative than epidemiological evidence. As the following discussion shows, the Bendectin litigation and epidemiology eventually interacted in a way that seriously undermined the worth of animal studies. Increasingly, courts simply refused to rely on or even to admit *in vivo* evidence. Considering the declining demand for *in vivo* research, it is not surprising that the supply has been limited.
(3) Epidemiological Studies
The epidemiological evidence stands at the center of the Bendectin cases. As noted earlier, a number of judges and scientists have argued that a coherent body of epidemiological evidence trumps other information.\(^{173}\)
a. Background
I have found and examined thirty-nine published epidemiological studies that discuss Bendectin.\(^{174}\) Table 2\(^{175}\) summarizes these studies.\(^{176}\)
---
Q: Defense. How much in thousands—
A: How much money?
Q: Is it listed there? Would you read that?
A: 200 and—excuse me. Let me get my eye helper here. 248.5.
Q: In thousands?
A: Yes.
Q: That's just phase one, though, isn't it, Doctor?
A: I'm sorry.
Q: That's just phase one of the study, isn't it?
A: Yes. Phase two was—
Q: What about phase two?
A: $60,000.
Q: So over $300,000 for defense?
A: Yes, that's true.
Trial Transcript at 54-55, Havner v. Merrell Dow, Pharmaceuticals, Inc., 41 Prod. Safety & Liab. Rep. (BNA) No. 19, at 1134 (D. Tex. Oct. 11, 1991).
173. See supra notes 133-36 and accompanying text.
174. These studies were found by reading Bendectin trial transcripts and exhibits, searching for articles on Bendectin in MEDLINE, a CD/ROM index to medical publications and periodicals, and collecting the references cited in each discovered article.
175. Table 2 is found in appendix A.
In this section, I briefly discuss the epidemiological findings on Bendectin and then examine how the research changed over time.
What do these studies show concerning the teratogenic effects of Bendectin? Needless to say, much of the litigation in this and other drug cases centers on varying interpretations of the epidemiological findings.\textsuperscript{177} However, as with the \textit{in vivo} studies, two summary facts are worth reporting: (1) the authors' conclusions about the drug; and (2) whether the study contains any objective indication that Bendectin has adverse effects.
In no study did the authors clearly conclude that Bendectin does have teratogenic effects. In six studies, the authors report at least one significant correlation between Bendectin and some adverse effect and conclude that while their findings alone are insufficient to support an attribution of causation, one may exist.\textsuperscript{178} In the remaining thirty-three studies, the authors either draw no conclusion or conclude that there is no statistical relationship.
Apart from the author's own conclusions, a second measure of Bendectin's effect is the odds ratio or the relative risk reported in the study.\textsuperscript{179} For each study, I have attempted to extract the "most important" odds ratio or relative risk.\textsuperscript{180} Either by using the statistic reported
\textsuperscript{176} Three known studies have been excluded from Table 2. One, M.M. Adams & J. Mulinaro, \textit{A Case-Control Study of Bendectin and Ventricular Special Defects (Abstract)}, 31 \textsc{Teratology} 61A (1985), is a brief abstract, and lacks sufficient information to be coded. The authors report that they found three ingredient Bendectin to be correlated with a nonsignificant increased incidence of birth defects, but that the two ingredient version was significantly related to a decrease in defects. No explanation is offered for this seemingly contradictory finding. Another study, Robert L. Brent, \textit{Bendectin and Interventricular Septal Defects}, 32 \textsc{Teratology} 317 (1985), does report some data comparing Bendectin sales over time with the number of reported ventricular septal defects. However, this publication is primarily an editorial discussing Hendrickx's monkey studies. A third study, Leslie L. Robinson et al., \textit{Maternal Drug Use and Risk of Childhood Nonlymphoblastic Leukemia Among Offspring}, 63 \textsc{Cancer} 1904 (1989), is excluded because it does not concern birth defects. It does report a relative risk of 1.75 associated with the use of Bendectin or other morning sickness medication ($P = 0.06$), and also indicates a significant elevation in risk associated with increased duration of usage. \textit{Id.} at 1906.
\textsuperscript{177} In a later paper, I will discuss the ways in which attorneys and experts for both Merrell and plaintiffs interpreted the data.
\textsuperscript{178} The six studies are numbered 16, 23, 25, 26, 29, and 33 in Table 2. (A list relating the number to a particular database appears in Appendix E.) Eskenazi and Bracken come closest to saying Bendectin is a teratogen. They conclude that "these data suggest that the material use of Bendectin is strongly associated with the occurrence of pyloric stenosis in the infant. Whether this is a direct causal relationship is unclear." Brenda Eskenazi & Michael Bracken, \textit{Bendectin (Debendox) as a Risk Factor for Pyloric Stenosis}, 144 \textsc{Am. J. Obstetrics & Gynecology} 919, 924 (1982).
\textsuperscript{179} For a description of these two measurements, see \textit{supra} notes 127-28.
\textsuperscript{180} "Most important" is a slippery term. Where the study reports a significant correlaor by calculating an odds ratio based on the raw data published, it was possible to extract one or both measures in twenty-six of the thirty-nine studies. In general, odds ratios and relative risks are not strictly comparable—either with each other or across studies. But one crude type of comparison that can be made is whether the statistic is greater or less than 1. An odds ratio or relative risk greater than one indicates that children whose mothers took Bendectin are more likely to have suffered a defect than those whose mothers did not. An odds ratio or relative risk of less than one indicates the opposite. If Bendectin truly has no effect, given a large number of equally valid studies, half should produce statistics greater than one and half should result in measures of less than one.\textsuperscript{181} With regard to the twenty-six studies for which I was able to extract a value, in thirteen the most important measure is greater than one and in twelve it is less than one. One study reports a relative risk of exactly one.\textsuperscript{182}
b. The Evolution of Bendectin's Epidemiological Research
While the aggregate findings of the studies are critical to the ultimate disposition of the Bendectin Cases as a group, the key point for this analysis is that the studies, like the case law, evolved over time. In the early years, the epidemiological research tended to parallel the \textit{in vivo} research. A number of investigations were conducted in the early 1960s, partly in response to the Thalidomide disaster. Then the epidemiological research virtually ceased for a number of years. In the late 1970s, a
\textsuperscript{181} William L. Hays, \textit{Statistics for Psychologists} 192-204 (1963).
\textsuperscript{182} Very similar conclusions were drawn by Sheffield and Batagol in their review of the data. They present either odds ratios or relative risks for a total of 22 case-control and cohort studies. Of these, 11 had ratios below one and 11 had ratios above one. Leslie J. Sheffield & Ron Batagol, \textit{The Creation of Therapeutic Orphans—Or, What Have We Learnt From the Debendox Fiasco?}, 143 \textit{Med. J. Austl.} 143, 144 (1985).
Meta-analysis offers a more sophisticated and rigorous method of combining the findings of many studies. \textit{See generally Frederic M. Wolf, Meta-Analysis: Quantitative Methods for Research Synthesis} (1986). I am aware of only one published meta-analysis of the Bendectin studies. \textit{See Thomas R. Einarson et al., A Method for Meta-Analysis of Epidemiological Studies}, 22 \textit{Drug Intelligence & Clinical Pharmacy} 813 (1988). Einarson et al. included 17 studies in a meta-analysis examining whether first-trimester Bendectin ingestion caused any birth defect. The overall odds ratio was calculated to be 1.01, $X^2 = 0.05$, $p = .815$. They also conducted separate meta-analyses for cohort and case control studies. For cohort studies ($N = 12$) the ratio was 0.95, $X^2 = 0.66$, $p = .418$. For case control studies ($N = 5$) the ratio was 1.27, $X^2 = 2.71$, $p = 0.10$. \textit{Id.} at 820. The authors conclude that these meta-analyses confirm previous subjective analyses that Bendectin is not associated with human teratogenic outcomes. \textit{Id.} at 822.
number of new studies were published, although it is important to note that most of them did not target Bendectin specifically. Rather, they reported the results of broad epidemiological studies of drugs taken during pregnancy, including Bendectin and its constituent ingredients.
A turning point in the epidemiological research occurred in 1979 with the publication of the first article suggesting an association of Bendectin with birth defects.\textsuperscript{183} The study was important for several reasons: It was published in one of the leading American journals on epidemiology; the analysis was relatively sophisticated; and the senior author, Kenneth Rothman, was a professor in the Department of Epidemiology in the Harvard School of Public Health. With the publication of the Rothman study, Bendectin, like Thalidomide and MER/29 before it, became epidemiologically suspect.
To demonstrate the importance of the Rothman study, I have coded the thirty-nine studies as either pre- or post-1979; the results are contained in Table 3.\textsuperscript{184} As the table indicates, prior to 1979 most of the studies focused on teratogenicity in general, not Bendectin in particular. The Rothman finding, plus the emerging litigation concerning Bendectin, generated study after study of this particular drug. With this increased focus came an increase in the sophistication and the power of the studies.
c. The Increase in Statistical Sophistication and Power
Table 4\textsuperscript{185} indicates that studies rarely reported more than a basic Chi-square statistic prior to 1980, but uniformly began to report more after that date. Most importantly, they began to report confidence intervals for estimates and started to control for other factors through the use of multiple regression techniques, most frequently logistic regression.\textsuperscript{186}
As time passed, the \textit{power} of individual studies also increased. The power of a study is its ability to detect a difference of some given magnitude.
Epidemiological studies, like all statistical analyses, are vulnerable to two types of errors. Type I errors occur if we reject the null hypothesis when in fact it is true. In terms of this discussion, we would conclude Bendectin causes birth defects when in fact it does not. Scientists, being conservative, generally try to minimize Type I errors; that is, they de-
\textsuperscript{183} See Kenneth Rothman et al., \textit{Exogenous Hormones and Other Drug Exposures of Children with Congenital Heart Disease}, 109 AM. J. EPIDEMIOLOGY 433, 435 (1979).
\textsuperscript{184} Table 3 is found in appendix A.
\textsuperscript{185} Table 4 is found in appendix A.
\textsuperscript{186} See generally John Aldrich & Forrest Nelson, \textit{Linear Probability, Logit and Probit Models} (1984).
cline to find a causal relationship unless it is unlikely that the observed results occurred by chance.
Traditionally and typically, the null hypothesis will not be rejected unless the probability that a result occurred by chance is less than one in twenty, or sometimes less than one in one-hundred. The Greek letter Alpha is by custom used to designate this criterion. In other words, if the probability of a result occurring by chance must be less than one in twenty, Alpha must be less than .05.
Type II errors occur if we fail to reject the null hypothesis when in fact it is false. In terms of this discussion, we would conclude that Bendectin does not have a teratogenic effect when in fact it does. Science has traditionally been less concerned with this type of error. Nevertheless, we would like to minimize the probability of this error (by custom designated as Beta) as well. From the plaintiff's point of view, reducing Type II errors is at least as important as reducing Type I errors. The probability that we will reject the null hypothesis when some specific alternative hypothesis is true is called the power of the test, and is equal to 1 minus Beta.
Given some level of Alpha, Beta is a function of several factors, one of the most important being the sample size of treatment and control groups. Ceteris paribus, the larger the sample the lower the Beta value. It is thus worth investigating whether sample sizes increased substantially before or after the Rothman study. However, in examining relative sample size it is necessary to distinguish between cohort and case-control studies. Because the power of a given test is contingent upon the sample size of both the treatment and control groups, case-control studies can achieve low Betas with much smaller samples than can cohort studies. This is the case because birth defects are relatively rare in the population. Thus, cohort studies exploring rare events require a large number of total cases in order to obtain a significant number of individuals who have experienced an injury. Case-control studies begin with a large number of injuries, and thus need far fewer cases.
For example, assume that some birth defect occurs in 1 out of 1000 cases among children who were not exposed to Bendectin, and that 50% of all prospective mothers take Bendectin during their pregnancy. If we set Alpha at .05, in order to be able to detect a relative risk of 2.0 among the children of Bendectin takers 90% of the time (Beta = .10) we would need an N of 177 in a case-control study, but we would need an N of 31,444 in a cohort study. If we wished to detect a relative risk of 1.2 90% of the time, the case-control N would have to be 2535, while the
Cohort study N would be an enormous 576,732 cases.\textsuperscript{187} Consequently, in examining sample sizes before and after 1979, it is important to distinguish between cohort and case-control studies. Within the Bendectin epidemiological research, was there an increase in Ns in either type of study or a shift from cohort to case-control studies?
The answer is that, while sample sizes did not change, the types of studies did. There has been a trend toward relatively more case-control studies after 1979 (38% before, 48% after). Moreover, the nature of the case-control studies has changed substantially. I have coded each case-control study for the nature of the cases, that is the type of defect they represented. Early studies adopted a shotgun approach, in which the cases were any type of birth defect. Three of the five case-control studies conducted before 1979 were of this type. After 1979, however, the case-control studies tended to test for specific types of birth defects. Of the ten post-Rothman case-control studies, seven tested whether Bendectin caused one or more specific defects.\textsuperscript{188} Two looked for congenital heart defects—the type of defect correlated with Bendectin in the Rothman study.\textsuperscript{189} One looked for pyloric stenosis.\textsuperscript{190} Four studies examined the
\textsuperscript{187} On the other hand, if a phenomenon occurs frequently in the population, the relative advantage of case-control studies is essentially eliminated. If a defect occurs in one out of ten cases in the population, using the same assumptions as in the text, we would still need an N of 177 to detect a two-fold increase in relative risk 90% of the time in a case-control study. On the other hand, to have the same probability of detecting this effect in a cohort study we would need an N of only 266, not 31,433. \textit{KAHN}, \textit{supra} note 128, at 54.
\textsuperscript{188} The seven are: Jose Cordero et al., \textit{Is Bendectin a Teratogen?}, 245 JAMA 2307 (1981); Diana Elbourne et al., \textit{Debendox Revisited}, 92 BRIT. J. OBSTETRICS & GYNAECOLOGY 780 (1985); J.S. Vivian Golding & J.A. Baldwin, \textit{Maternal Anti-nauseants and Clefts of Lip and Palate}, 1983 \textit{HUMAN TOXICOLOGY} 63; Janet McCredie et al., \textit{Doxylamine/dicyclomine/pyridoxine and Congenital Limb Defects}, 140 MED. J. AUSTL. 525 (1984); Allen Mitchell et al., \textit{Birth Defects Related to Bendectin Use in Pregnancy: I. Oral Clefts and Cardiac Defects}, 245 JAMA 2311 (1981) [hereinafter Mitchell et al., \textit{Bendectin I}]; Allen Mitchell et al., \textit{Birth Defects in Relation to Bendectin Use in Pregnancy: II. Pyloric Stenosis}, 147 AM. J. OBSTETRICS & GYNECOLOGY 737 (1983) [hereinafter Mitchell et al., \textit{Bendectin II}]; Sally Zierler & Kenneth Rothman, \textit{Congenital Heart Disease in Relation to Maternal Use of Bendectin and Other Drugs in Early Pregnancy}, 313 NEW ENG. J. MED. 347 (1985).
The most recent case control study, David J. Erickson, \textit{Risk Factors for Birth Defects: Data From the Atlanta Birth Defects Case-Control Study}, 43 TERATOLOGY 41, 43-44 (1991), does not report data for specific defects and, therefore, was not counted among the seven that report on specific defects. It should be noted, however, that the author of the study offers to send cross-tabulations reporting the relationship of Bendectin to 92 types of birth defects to anyone who requests the information. \textit{Id}. at 41.
\textsuperscript{189} See Mitchell et al., \textit{Bendectin I}, \textit{supra} note 188; Zierler & Rothman, \textit{supra} note 188.
\textsuperscript{190} This study, by Mitchell et al., failed to replicate the results of the study by Eskenazi et al., in which the authors found a significant correlation between Bendectin and pyloric stenosis. \textit{See} Mitchell et al., \textit{Bendectin II}, \textit{supra} note 188, at 741 (comparing the two studies).
effect of Bendectin use on oral clefts,\textsuperscript{191} and two looked for limb defects.\textsuperscript{192}
This trend toward focused case-control studies makes sense. Known teratogens tend to produce certain types of defects.\textsuperscript{193} Thus, if Bendectin were a teratogen, it would be unlikely to produce a similar increase in all types of defects. Moreover, these focused studies also allowed for relatively powerful analyses. With case sample sizes ranging from the 90s to over 300\textsuperscript{194} they were unlikely to miss an effect if exposure created a relative risk of 2 or greater.\textsuperscript{195}
In sum, from the mid-1970s to the mid-1980s the quantity and quality of the epidemiological evidence on Bendectin improved dramatically. The research focused on the drug and used increasingly sophisticated methods to control for confounding factors. Specifically, it used a combination of increased sample size, a shift to case-control studies, and a focus on particular types of defects to greatly increase the power of the research. During this period, the probability of making either Type I or Type II errors was significantly reduced.
d. The End of Research
Suddenly, in 1985 with nearly three dozen studies in print, epidemiological research on Bendectin came to a virtual halt.\textsuperscript{196} As noted earlier, \textit{in vivo} research experienced a similar, contemporaneous decline.\textsuperscript{197} Figure 1 shows the number of \textit{in vivo} and epidemiological studies published each year from the early 1960s to the present.
\textsuperscript{191} See Cordero et al., \textit{supra} note 188; Elbourne et al., \textit{supra} note 188; Golding & Baldwin, \textit{supra} note 188; Mitchell et al., \textit{Bendectin I}, \textit{supra} note 188.
\textsuperscript{192} See Cordero et al., \textit{supra} note 188; McCredie et al., \textit{supra} note 188.
\textsuperscript{193} Robert Brent, \textit{Methods of Evaluating the Alleged Teratogenicity of Environmental Agents}, in \textit{TREATGEN UPDATE: ENVIRONMENTALLY INDUCED BIRTH DEFECT RISKS} 199, 200-01 (John Sever & Robert Brent, eds. 1986); Shepard, \textit{supra} note 119, at 223.
\textsuperscript{194} The number of cases—as distinguished from the number of controls—ranged from a low of 93 in Elbourne et al., \textit{supra} note 188, at 780, to a high of 325 in Mitchell et al., \textit{Bendectin I}, \textit{supra} note 188, at 737. The number of controls was usually larger than the number of cases, sometimes substantially so. For example, there were over 3000 controls in the first study by Mitchell et al. \textit{Id}.
\textsuperscript{195} The advantage case-control studies have in detecting rare effects is offset, however, by the fact that these studies must match cases and controls based on some criteria. Inevitably there is a question whether the matching failed to control for some confounding factor that explains observed differences between the groups.
\textsuperscript{196} As far as I know, there is only one post-1985 epidemiologic study (Erickson) specifically focused on Bendectin. That study includes Bendectin among 105 exposure-risk factor variables that have been thought to cause birth defects. Aggregating across all defects, the odds ratio associated with Bendectin is 0.87. Erickson, \textit{supra} note 188, at 46.
\textsuperscript{197} See infra app. A, tbl. 1.
The figure illustrates two phenomena. First, and most important, it clearly shows that the science was driven by the law. The study of Bendectin became a hot topic and substantial resources were mobilized to study it. This mobilization can be understood at several levels. Because Bendectin was a hot topic, articles on the subject were relatively likely to find their way into print.\textsuperscript{198} Careerist concerns may have caused academics to select topics that would lead to publication in prestigious journals. Moreover, the federal government, through the FDA, encouraged research by offering grants to fund the study of Bendectin's effects. Finally, the Bendectin litigation itself generated research, as parties encouraged and even funded work on Bendectin.\textsuperscript{199} Legal needs gave shape and direction to the epidemiological study of teratogenic effects. The volume and sophistication of studies focusing specifically on Bendectin was, in large part, the result of the litigation.
\textsuperscript{198} See Sackett, \textit{supra} note 131, at 51.
\textsuperscript{199} Plaintiffs' expert witnesses conducted a number of reanalyses of both the \textit{in vivo} and epidemiological evidence. See, e.g., Trial Transcript at 965-86, \textit{In re Richardson-Merrell, Inc. "Bendectin" Prods. Liab. Litig.}, 624 F. Supp. 1212 (S.D. Ohio 1985) (MDL No. 486) (testimony of Dr. Swann), \textit{aff'd sub nom. In re Bendectin Litig.}, 857 F.2d 290 (6th Cir. 1988), \textit{cert denied}, 488 U.S. 1006 (1989). It does not appear, however, that any of this work was ever published in a refereed journal.
Second, Figure 1 demonstrates the relatively sudden cessation of studies in the mid-1980s. Galanter's hypotheses about holistic effects can be extended to explain the decline of scientific investigations as well as case congregations. Because Bendectin was removed from the market in 1983, and because its sales had plummeted in the preceding year or two, there eventually were no new data bases to exploit. By withdrawing the product from the market Merrell created an epidemiological depletion effect as well as the intended case depletion effect.
It would be a mistake, however, to attribute the decline of Bendectin studies entirely to depletion effects. Two other factors were also at work. The scientific community seems to have reached something close to a consensus concerning the drug. While no study can remove all residual uncertainty regarding Bendectin's safety, if the drug is a teratogen, it is a relatively mild one (having effects too subtle to be measured reliably with existing techniques). As a result, many felt that Bendectin had been overstudied. There arose the desire to ration Bendectin studies and save limited resources to study other drugs. As Lewis Holmes notes in an influential essay:
While we can always wish for more and better studies, two issues must be borne in mind. First, well-designed and extensive epidemiologic studies are expensive. Where will the funds to support these studies come from in this period of limited funding? Second, in view of the extensive data cited above on Bendectin and the limited data available on many other commonly used drugs one can argue that well-designed studies of other drugs would be of greater value to the public at this time.\footnote{200}
(4) \textit{The Life Cycle of the Bendectin Science}
The preceding analysis of the research regarding Bendectin demonstrates that the science has followed a life cycle of its own. There was a substantial mobilization of resources devoted to the study of Bendectin, much of it apparently in response to the litigation and concomitant political pressure. The quantity and quality of epidemiological research increased dramatically in the 1980s, to the point where people like Holmes concluded that we knew more about the teratogenic potential of this drug.
\footnote{200}{Lewis B. Holmes, \textit{Teratogen Update: Bendectin}, 27 \textsc{Teratology} 277, 280-81 (1983). Holmes, however, cannot be called a completely disinterested observer. In January 1983 Merrell Research Center provided Dr. Holmes with a grant of $147,318 to fund proposed research on "The Use of Major and Minor Malformations to Evaluate the Putative Teratogenic Effects of Bendectin." Letter from J.W. Newberne, Vice President, Drug Safety Assessment at Merrell Research Center, to Ronald W. Lamont-Havers, Deputy to the General Director for Research Policy and Administration, Massachusetts General Hospital (Jan. 27, 1983) (on file with the Houston Environmental Law Liability Program).}
than nearly any other. The extent of the epidemiological literature stands in contrast to the paucity of *in vivo* studies. In part, this may be understood as a consequence of the fact that there were few if any basic science questions to be answered through the study of Bendectin, and as a legal resource the *in vivo* studies were of increasingly little value in the face of a mounting body of epidemiological evidence. In a sense, epidemiology drove out animal studies.
Finally, in the mid-1980s came the end of new epidemiological studies as well.\footnote{201} The combination of depletion effects and an emerging scientific consensus that if Bendectin has any teratogenic effects they are virtually undetectable by existing methods together led to the cessation of research. The leading indicator, published scientific articles, had stabilized at an essentially prodefendant conclusion. But while the science was winding down, the law was just getting into full swing. It is to the development of the law in this congregation of cases that this Article now turns.
\section*{V. The Law}
In this Part, I focus upon the legal aspects of the Bendectin congregation. The first section examines the early stages of the life cycle, describing plaintiffs' efforts to mobilize resources and the problems the "first plaintiff" faces in a mass tort case. It also examines the defendant's efforts to avoid early adverse precedents that would facilitate other plaintiffs' efforts in future cases. Finally, it notes the importance of the battle in the early cases to establish the "going rate" for injuries.
The second section examines the flow of Bendectin filings and trials over time. As we shall see, the number of filings grew through 1985, but then collapsed in the aftermath of a defense victory in the \textit{Common Issues Trial} in Ohio.\footnote{202} The number of trials, however, continued to grow over the next two years, but then quickly began to diminish, and today most litigation seems to be behind us. A depletion effect has in fact occurred. As Galanter notes, however, depletion is not simply a product of the underlying rate of injury. It is also a product of the legal experience of a congregation of cases in court.\footnote{203}
\begin{footnotesize}
\begin{enumerate}
\item Only one animal study and two epidemiological studies were published after 1985. \textit{See infra} app. A, tbls. 1, 2.
\item \textit{In re} Richardson-Merrell, Inc. "Bendectin" Prods. Liab. Litig., 624 F. Supp. 1212 (S.D. Ohio 1985), \textit{aff'd sub nom. In re} Bendectin Litig., 857 F.2d 290 (6th Cir. 1988), \textit{cert. denied}, 488 U.S. 1006 (1989).
\item Galanter, \textit{Case Congregations}, \textit{supra} note 8, at 388.
\end{enumerate}
\end{footnotesize}
The third section examines this experience. It turns away from the behavior of the parties and concentrates on the behavior of the judiciary. Of primary interest is the judiciary's efforts to ration legal resources. In the Bendectin Cases, the judiciary's efforts have followed a two-part process: first, the use of traditional consolidation devices; and second, the willingness to make and act upon independent determinations regarding the scientific evidence. As we shall see, in attempting to ration resources, the courts are confronted with a dilemma: how are they to maximize judicial efficiency without unduly subverting the interest of individual plaintiffs in a full and fair trial of their lawsuits? Before addressing this thorny problem, I turn to the early stages of Bendectin's legal life cycle.
A. Mobilization
When parties begin litigation concerning a new product, they start without scientific or legal resources. The first task is to begin to mobilize these resources. This difficult task falls disproportionately on the "first plaintiff" who must connect an injury with a product, find a lawyer who will represent her and then amass sufficient scientific evidence to prove the product causes the injury in question.
(1) The "First Plaintiff" Problem
David Mekdeci, like many plaintiffs to follow, was born with a limb defect; his consists of malformed and missing fingers and a missing pectoral muscle.\(^{204}\) From the beginning, David and his parents faced many aspects of the first plaintiff problem. No lawyer came knocking on the Mekdeci's door asking to take their case. Instead, David's mother, Elizabeth Mekdeci, made extensive efforts to discover possible causes of his defects. After several years of talking to medical experts and reading documents and government studies, she became convinced that one of the drugs she had taken during pregnancy had caused David's injury. Ultimately, she contacted Melvin Belli, a famous San Francisco plaintiff's personal injury lawyer, and persuaded him to take the case. He also referred the Mekdecis to Florida counsel. As the case developed, based on the time of ingestion and other evidence, the Mekdecis and their lawyers focused most of their attention on Bendectin.\(^{205}\) A complaint naming Merrell as defendant was filed on behalf of David and his parents in
\(^{204}\) This defect is commonly called Poland's Syndrome although plaintiffs' experts have disagreed with this diagnosis.
\(^{205}\) Mekdeci v. Merrell Nat'l Lab., 711 F.2d 1510, 1516 (11th Cir. 1983). Shortly before the trial began, Mr. Belli informed the other counsel that he would not personally appear, and left the local attorneys to try the lawsuit. *Id.* at 1516.
June 1977. In January 1980, approximately five years after David's birth, *Mekdeci v. Merrell Nat'l Lab.* went to trial in United States District Court in Orlando, Florida.
The trial lasted two months, and after three days of deliberation, the jury reported itself to be "hopelessly deadlocked."206 After receiving further instructions from the court, it returned a verdict awarding the "plaintiff" $20,000, the amount the parties had stipulated to as the parent's medical expenses. The jury wrote "nothing" as the amount of compensatory damages due David individually.207 The plaintiffs sought a new trial on the damages question only, but the trial judge declared the jury's award to be a compromise verdict and ordered a new trial.208 The jury's uncertainty, reflected in the apparent compromise verdict, also reflects another aspect of the first plaintiff problem: the difficulty of amassing sufficient scientific evidence to prove the case.
Compared to plaintiffs, defendants generally have a substantial early advantage. Their financial resources are much greater. They can hire counsel who are experienced in the defense of defective pharmaceuticals against personal injury claims and who are well connected to governmental agencies. They have ready access to nearly all the safety data concerning their product. All these advantages inured to Merrell's benefit in the *Mekdeci* case. The company committed unlimited resources to Bendectin's defense, hiring Lawrence E. Walsh and the firm of Davis Polk & Wardwell as defense counsel. Moreover, after its experiences with Thalidomide and MER/29, Merrell probably had as much experience as any firm in defending prescription drugs in court.
Notwithstanding these advantages, defendants may be confronted with some first case problems similar to those of the first plaintiff. The defendant, too, must confront the relative lack of evidence and the considerable uncertainty that permeates such early litigation. The defendant's legal staff most likely is not yet organized to mount a defense of the particular product. And if the firm is insured, the case might be turned over to the insurer's counsel who may lack the familiarity with pharma-
---
206. *Id.* at 1515.
207. *Id.* at 1514.
208. The Eleventh Circuit Court of Appeals held that the trial court had not abused its discretion in ordering a new trial. *Id.* at 1515. Comments by jurors after the case seem to support this position. The London Times quoted two of the *Mekdeci* jurors as to their feelings about Judge Hoffman's new trial order. One juror, Grover Ashcraft, said "I resent him (Hoffman) saying that we didn't know what we were doing. He's giving us a black eye." Davin Light, *US Judge Orders Debendox Retrial*, *THE SUNDAY TIMES* (London), May 18, 1980, at 8. But another juror, Cora Newtz, agreed with the order. She did not believe the evidence against Bendectin was sufficient: "All my daughters took Bendectin all the time they were pregnant, and all their children are perfect." *Id.*
ceutical defense and ease of access to the safety data that the defendant presumably enjoys. In sum, like plaintiffs, defendants do not begin with any particular expertise in litigating the product's safety. Indeed, in the earliest stages of mass tort litigation, the defendants may not even appreciate that they have something out of the ordinary on their hands. The first suit is not necessarily like the teacher's first occasion for sanctioning a wayward student at the beginning of the school year. The parties may not know that this is the first of a large congregation of cases. Bendectin had been on the market for nearly twenty years when litigation began, and at the time of the *Mekdeci* suit it had been nearly a decade since the Thalidomide disaster. It might well not have been immediately obvious to Merrell, upon the initial filing of the *Mekdeci* case, that this was the first of a series of cases.
In the case of Bendectin, however, Merrell's appreciation that it faced a potential tidal wave of litigation must have come very early on. It recently had experienced the Thalidomide and MER/29 episodes and must have known it was a suspect firm in the eyes of many, especially the plaintiffs' personal injury bar. Perhaps the first clear signal that *Mekdeci* would be the first of many was the hiring of Melvin Belli. Mr. Belli's stock-in-trade is widespread publicity. Even before *Mekdeci* came to trial, he was searching out additional potential clients.\(^{209}\) By the time of the trial, the stakes were known to be high. Like the plaintiffs, however, the defendant was hampered by a relative lack of hard evidence on the teratogenicity of Bendectin.
The trial court's ruling that the first *Mekdeci* verdict was the result of compromise led to a new trial in the Winter of 1981. This time, the result was a jury verdict for the defendant. The plaintiffs appealed, claiming, in part, that they had been afforded inadequate representation by their counsel. The Mekdeci's attorneys had repeatedly attempted to withdraw, apparently for a combination of reasons, including their belief that the case was not strong on the facts, their lack of financial resources, and the difficulty of working with Mrs. Mekdeci.\(^{210}\)
As this history suggests, part of the Mekdecis' problem was that their counsel were poorly prepared and underfinanced. The local attorneys were relatively inexperienced in this type of litigation and knew little about Bendectin. The solution to the Medkecis' first plaintiff problems would have been to invest resources in discovery and experts in order to develop the case.\(^{211}\) But the Mekdecis' counsel were always
\(^{209}\) See infra note 217.
\(^{210}\) *Mekdeci*, 711 F.2d at 1516-19.
\(^{211}\) Because of the inevitable costs of discovery and expert witnesses, substantial rebadly undercapitalized. Indeed, funds became so tight that much of the second trial was tried on the record of the first trial, without the benefit of live expert witnesses. Only a last minute infusion of $25,000 from Mr. Belli kept the second trial going.\textsuperscript{212}
The Mekdecis repeatedly stated to the trial judge that in spite of these difficulties, they wanted the second trial to go forward with existing counsel. On appeal, however, they argued that the trial court had erred by refusing to grant requests for continuance. Nevertheless, the Fifth Circuit Court of Appeals affirmed the judgment below, leaving the Mekdecis with the cold comfort that if they felt they had been inadequately represented, their remedy was a malpractice suit against their attorneys, not a new Bendectin trial.\textsuperscript{213}
Counsels' desire to withdraw from the \textit{Mekdeci} case was not motivated entirely by funding problems and the difficulty of working with Mrs. Mekdeci. They were also drawn by the prospect of "better" claims,\textsuperscript{214} especially claims where the specific causation question\textsuperscript{215}
\textsuperscript{212} \textit{Mekdeci}, 711 F.2d at 1519. The inability of an initial set of plaintiffs' attorneys to fund mass tort litigation has occurred in other cases. In the Agent Orange litigation, the original team of plaintiffs' counsel ran out of funds, and after brief negotiations, a new set of lawyers took control of the plaintiff steering committee by investing $250,000 each in litigation expenses. In total, the second set of attorneys put up almost $1.5 million. John C. Coffee, Jr., \textit{The Regulation of Entrepreneurial Litigation: Balancing Fairness and Efficiency in the Large Class Action}, 54 U. CHI. L. REV. 877, 901 (1987).
\textsuperscript{213} \textit{Mekdeci}, 711 F.2d at 1523.
\textsuperscript{214} By looking for a "better" case than \textit{Mekdeci}, the lawyers were behaving like "repeat players," thinking of this particular case as only one of many. \textit{See} Galanter, \textit{Limits of Legal Change}, supra note 19, at 100. In hindsight, their judgment that this was not the best case to try first appears to have been correct.
\textsuperscript{215} The cause-in-fact question in many such mass tort situations can be divided into two parts, general and specific causation. General causation addresses the question of whether the substance is capable of causing any injury. Specific causation addresses the question of whether a particular plaintiff's injury was caused by exposure to the drug or product. A substantial number of Bendectin plaintiffs have lost on the specific causation issue because they have been unable to show that the mother took Bendectin during the critical period of fetal development.
There is, however, a more fundamental specific causation question in the Bendectin cases. If the relative risk of a Bendectin-induced birth defect is shown to be less than 2, then a plaintiff presenting no other causal evidence than the ingestion of Bendectin could be said to have failed to show by a preponderance of the evidence that Bendectin caused the specific birth defect. The specific causation problems posed by toxic tort and mass tort cases have produced a large literature on how the courts ought to deal with this question. \textit{See} Richard Delgado, \textit{Beyond Sindell: Relaxation of Cause-In-Fact Rules for Indeterminate Plaintiffs}, 70 CAL. L. REV. 881 (1982); Harris, \textit{supra} note 138, at 909; Glen O. Robinson, \textit{Probabilistic Causation}
would be less troublesome—apparently Mrs. Mekdeci had taken a large number of drugs during pregnancy.\textsuperscript{216} The lawyers were also drawn to the prospect of more claims and the possibility that they could mobilize a large number of Bendectin cases.\textsuperscript{217} In this vein, the appellate court in \textit{Mekdeci} noted:
In a statement that perhaps shed more light than intended on the attorneys' motivations in the Mekdeci case, [plaintiff's attorney Allen] Eaton recounted numerous problems in the Mekdeci lawsuit and said, "that being the case, we have a group of people—a group of attorneys who have agreed that, in order to start afresh and develop the issues
\textit{and Compensation for Tortious Risk}, 14 J. LEGAL STUD. 779 (1985); David Rosenberg, \textit{The Causal Connection in Mass Exposure Cases: A 'Public Law' Vision of the Tort System}," 97 HARV. L. REV. 849 (1984); Christopher H. Schroeder, \textit{Corrective Justice and Liability for Increasing Risk}, 37 UCLA L. REV. 439 (1990); Kenneth W. Simons, \textit{Corrective Justice and Liability for Risk-Creation: A Comment}, 38 UCLA L. REV. 113 (1990); Ernest J. Weinrib, \textit{Causation and Wrongdoing}, 63 CHI.-KENT L. REV. 407 (1987). Because courts have usually found for Merrell on the general causation question, except for the "time of ingestion" cases, the specific cause issue is not well developed in these cases.
216. Belli was quoted by the London \textit{Sunday Times} as saying, "Our client is too demanding and too hard to work with. Her's wasn't that good a case, and we want to get on with the 200 other Debendox cases we are preparing." Edward Burke, \textit{The Brawl Over Bendectin}, NAT'L L.J., Apr. 6, 1981, at 1, 12.
217. An advertisement placed in the \textit{San Francisco Chronicle} by Melvin Belli in January and February 1980 reads:
\begin{center}
BENDECTIN \\
TAKEN \\
For Morning Sickness \\
Causing Malformed Children \\
We have a number of these cases and we are trying one now in Federal Court, Florida. We need your help for epidemiological and statistical purposes. If you have any information, please call or write: \\
Melvin M. Belli, Belli Building \\
San Francisco, CA. 94111 (415) 981-1849
\end{center}
\textit{Id.} at 1. The same article in the \textit{National Law Journal} quotes Douglas Peters, a lawyer retained by Mrs. Mekdeci to represent her against her previous lawyers, as saying:
Here you had a bunch of lawyers sensing a very big case and sitting down and dividing up the pie before there was any pie to divide. Then after trumpeting the case and gathering in excess of 100 other Bendectin cases, things began to go wrong and everybody scrambled to cut their losses.
\textit{Id.} at 12.
The rush to mobilize clients is a recurring feature of many mass tort cases. Similar efforts have been noted in the Agent Orange, Bhopal, Dalkon Shield, and asbestos litigation. \textit{Coffee, supra} note 212, at 886. As Coffee notes, in each of these situations the normal relationship between client and attorney is reversed. The attorney is no longer the agent of the client. The mass tort plaintiff, even more than the ordinary tort plaintiff, confronts substantial "agency costs" that make it very difficult to control plaintiffs' counsel. \textit{Id.} at 885; John C. Coffee, Jr., \textit{Rethinking the Class Action: A Policy Primer on Reform}, 62 IND. L.J. 624, 628 (1980). As \textit{Mekdeci} suggests, this problem is especially acute in the early stages of a mass tort when counsel have particularly strong incentives to behave opportunistically, pursuing their own agendas rather than that of the client.
properly, that the Koller case in our opinion represents perhaps the cleanest case of all the cases and the clearest one. We have a nurse here who ingested Bendectin, and only Bendectin. She ingested it during the critical period. And little Anne Koller has no arms and she has only a left leg which has a club foot on it. We figure this was a clear case in order to litigate the issues properly.\textsuperscript{218}
As the preceding discussion indicates, when a potential mass tort arises, plaintiffs' lawyers quickly organize. Plaintiff litigation networks have played an increasingly important role in mass tort cases.\textsuperscript{219} Rheingold notes there have been networks in the following areas: Swine Flu; Dalkon Shield; Agent Orange; MER/29; Birth Control Pills; Asbestos; DES; Ford Transmission; and of course, Bendectin.\textsuperscript{220} Moreover, there is a substantial benefit to being a leader of the litigation network; an advantage that apparently was recognized by counsel for the Mekdecis.\textsuperscript{221} As Rheingold notes, "A mere 5% of the recovery in the thousands of cases filed, and to be filed, dance like sugar plums in the heads of lead counsel-to-be."\textsuperscript{222} The Mekdeci case, then, was plagued not only by a lack of prior mobilization, but also by concurrent efforts to mobilize other cases.
Following Mekdeci, the next case did not go to trial until three years later, in the spring of 1983.\textsuperscript{223} Then there was a twenty-one month hiatus before the \textit{Common Issues Trial}, about which I shall say more below. Over that period of time, lawyers representing plaintiffs made progress toward mobilizing resources and coordinating activities, driven in large part by the coordination of discovery imposed by the federal judiciary under the Multi-District Litigation Act.\textsuperscript{224}
\textbf{(2) Merrell's Preventive Efforts}
After Mekdeci, only one additional case came to trial on its own without being either swept into the unified multidistrict discovery in
\textsuperscript{218}. Mekdeci v. Merrell Nat'l Lab., 711 F.2d 1510, 1518 (11th Cir. 1983) (quoting Koller v. Richardson-Merrell, Inc., No. 80-1258 (D.D.C. Jan 25, 1983)). The Mekdecis' counsel asked the Mekdecis to agree to a continuance of their case so that \textit{Koller} could go to trial first. The Mekdecis refused. Letter from Michael Green to Joseph Sanders (Jan. 5, 1991) (on file with author); Michael D. Green, Bendectin: A Case Study in Mass Toxic Substances Litigation 60 (Oct. 29, 1990) (unpublished manuscript, on file with author).
\textsuperscript{219}. See Rheingold, \textit{The MER/29 Story}, supra note 62, at 123; see generally Paul D. Rheingold, \textit{The Development of Litigation Groups}, 6 AM. J. TRIAL ADVOC. 1 (1982) [hereinafter Rheingold, \textit{Litigation Groups}].
\textsuperscript{220}. Rheingold, \textit{Litigation Groups}, supra note 219, at 14.
\textsuperscript{221}. See the court's comments in \textit{Mekdeci}, 711 F.2d at 1516.
\textsuperscript{222}. Rheingold, \textit{Litigation Groups}, supra note 219, at 3.
\textsuperscript{223}. Oxendine v. Merrell Dow Pharmaceuticals, 506 A.2d 1100 (D.C. App. 1986).
\textsuperscript{224}. 28 U.S.C.A. § 1407 (West Supp. 1991).
Ohio or delayed while the Ohio case proceeded. The one other case, *Oxendine v. Merrell Dow Pharmaceuticals*, went to trial in May 1983. The one month *Oxendine* trial resulted in a plaintiff's verdict for $750,000. The trial judge granted judgment n.o.v. (or judgment notwithstanding the verdict) in favor of Merrell, finding the verdict to be against the great weight of the evidence. The District of Columbia Court of Appeals reversed, saying this was an abuse of discretion, and reinstated the verdict. On remand, Merrell filed a motion for a new trial on the ground that one of the plaintiff's experts, Dr. Done, had testified falsely at trial. After an evidentiary hearing, the trial judge granted the motion in February 1988. In August 1989 the District of Columbia Court of Appeals again reversed, ruling that the trial judge erred in granting a new trial and reinstated the original verdict. Defendant's petition for a writ of certiorari was denied in 1990, presumably drawing the case to a close seven years after it was tried. Currently, *Oxendine*
225. 506 A.2d 1100 (D.C. App. 1986).
226. *Id.* at 113. As the comments of one of the Mekdecis' lawyers indicate, see supra text accompanying note 218, in the early years of litigation many plaintiffs' lawyers looked to *Koller* as the best test case, in part because, unlike *Mekdeci*, *Koller* presented no uncertainty as to whether some other drug taken during pregnancy could have caused the injury. But as previously noted, *Mekdeci* was tried first. And in the meantime, *Oxendine* arose quickly. It was filed and resolved within a matter of months. *Koller*, on the other hand, became completely bogged down after the trial judge removed plaintiff's counsel because of allegations (later retracted) by plaintiff's counsel's secretary that the plaintiff had lied in stating she had taken Bendectin, and because counsel had shared with the press several DERs the judge had ruled were inadmissible at trial. *Koller v. Richardson-Merrell Inc.*, 737 F.2d 1038 (D.C. Cir. 1984), vacated, 472 U.S. 424 (1985). Subsequent appeals of the actions took several years, ending in the United States Supreme Court. See id. By the time the issue was resolved, the Bendectin Cases had matured and *Koller* was but a footnote. For a description of these events see David Lauter, *Plaintiffs' Firm Removed From Bendectin Lawsuit*, NAT'L L.J., Jan. 24, 1984, at 4; David Lauter, *Bendectin Trial Disintegrates: Allegations of Misconduct Mar 'Perfect Case,'* NAT'L L.J., Feb. 21, 1983, at 1. In August 1990 the United States Court of Appeals for the District of Columbia affirmed a dismissal of the Kollers' case against Merrell. *Koller v. Richardson-Merrell, Inc.*, 5 Toxics L. Rep. (BNA) No. 16, at 528 (D.C. Cir. Sept. 19, 1990), *cert denied*, 111 S. Ct. 1391 (1991).
227. *Oxendine*, 506 A.2d at 1114.
228. The original trial judge had recused himself subsequent to the reversal of his judgment n.o.v. On remand, a new judge granted the motion for a new trial. *Oxendine v. Merrell Dow Pharmaceuticals*, 563 A.2d 330, 332 (D.C. 1989), *cert. denied*, 110 S. Ct. 1121 (1990).
229. *Id.*
230. As of midsummer 1991, however, the plaintiff had still not been able to collect on the judgment. The District of Columbia Court of Appeals recently held that the trial court may not enter an enforceable and appealable "final judgment" on the compensatory damages claim while the question of punitive damages still remains to be tried. *Merrell Dow Pharmaceuticals, Inc. v. Oxendine*, 593 A.2d 1023, 1023 (D.C. 1991).
is one of only three verdicts against Merrell that has not been overturned by a trial or appellate court.\textsuperscript{231}
Merrell's relentless efforts to overturn the \textit{Oxendine} verdict were driven in part by its desire to avoid an adverse judgment. But the efforts also reflect the fact that \textit{Oxendine} does not stand alone, but rather as one of the Bendectin cases. The stakes in these appeals reach far beyond \textit{Oxendine} itself. Merrell is a "repeat player" playing for rules and outcomes in future cases.\textsuperscript{232} \textit{Oxendine} blemishes a near-perfect record of defense outcomes. It singlehandedly serves as an incentive for plaintiffs to continue to litigate while acting as an important barrier to Merrell's efforts to obtain summary judgment, directed verdict, or judgment n.o.v. based on collateral estoppel-type arguments in future cases.\textsuperscript{233} Even if
\textsuperscript{231} The second is Raynor v. Richardson Merrell, No. 83-3506, 1987 WL 8518, at *1 (D.D.C. Mar. 5, 1987). In \textit{Raynor}, a jury returned a verdict of $300,000 against Merrell in May 1987. As of November 1991, Merrell's post-trial motions for judgment n.o.v. and a new trial were still pending before the trial judge. Letter from Glenn Forrester to Joseph Sanders (Oct. 19, 1990) (on file with author); Telephone Interview with Barry Nace, Plaintiffs' Attorney in \textit{Raynor} (Dec. 9, 1991). Given the D.C. Circuit's opinions in \textit{Richardson v. Richardson-Merrell, Inc.}, 857 F.2d 823 (D.C. Cir. 1988) (discussed infra notes 331-39), and Ealy v. Richardson-Merrell, Inc., 897 F.2d 1159 (D.C. Cir.), \textit{cert. denied}, 111 S. Ct. 370 (1990), it is difficult to imagine that, absent new evidence as to the teratogenicity of Bendectin, the \textit{Raynor} verdict can survive an appeal. (\textit{Ealy} is discussed \textit{infra} notes 343-45 and accompanying text.)
The third surviving plaintiffs' verdict is Havner v. Merrell Dow Pharmaceuticals, Inc. 41 Prod. Safety & Liab. Rep. (BNA) No. 19, at 1134 (D. Tex. Oct. 11, 1991). In September 1991 a jury in Corpus Christi, Texas returned a verdict for $3.75 million in compensatory and $30 million in punitive damages. Merrell has announced its intention to appeal. \textit{Id}. As yet, there is no appellate opinion in the case. \textit{Id}.
In addition to these three cases, there is a plaintiff's verdict in Blum v. Merrell Dow Pharmaceuticals, Inc., 560 A.2d 212 (1989), that was overturned by a middle level appellate court in Pennsylvania on the ground that the verdict was returned by an 11 person jury in violation of the Pennsylvania constitution. \textit{Id}. The Pennsylvania Supreme Court has granted an appeal, 590 A.2d 755 (1991), but as yet, there is no opinion.
\textsuperscript{232} See Galanter, \textit{supra} note 19, at 99-100.
\textsuperscript{233} Collateral estoppel (or issue preclusion) prevents a party from relitigating in a subsequent action one or more issues that have already been adjudicated. For collateral estoppel to apply, an issue practically identical to the issue in the current action must have been fully and fairly litigated in the original action, it must have been actually decided, and it must have been necessary to the outcome of the litigation. 5 \textsc{Charles A. Wright \& Arthur R. Miller}, \textsc{Federal Practice \& Procedure} § 1225 (2d ed. 1990). All of these criteria are typically met with respect to the general causation issue in the Bendectin cases.
Traditionally, mutuality had to exist for collateral estoppel to apply; that is, both parties had to be bound by the prior decision. However, mutuality is no longer always necessary. In Parklane Hosiery Co. v. Shore, 439 U.S. 322 (1979), the Supreme Court gave qualified approval to offensive, nonmutual estoppel. \textit{Id}. at 322. Offensive collateral estoppel is used by plaintiffs who attempt to prevent a defendant from denying liability. In at least two cases, \textit{In re Bendectin Products Liab. Litig.}, 749 F.2d 300, 305 (6th Cir. 1984), and \textit{Raynor v. Richardson-Merrell, Inc.}, 643 F. Supp. 238 (D.D.C. 1986), Bendectin plaintiffs have attempted to use offensive collateral estoppel (or summary judgment under a collateral estoppel-like analysis) based on \textit{Oxendine}. In each case the court refused, noting in \textit{Raynor} that using offensive
most cases are successfully defended, an occasional plaintiff success will encourage other suits. Even a high batting average may spell doom for the defendant. The General Counsel for one pharmaceutical company is quoted as saying:
Even if we win almost every case against us, the few verdicts we lose engender more suits, and make all the other suits more expensive and more difficult to settle . . . . There has to come a point with a particular product, even a good product, where you say, that's enough, and you get out of the market.\(^{234}\)
As the quote suggests, because *Oxendine* offers some hope for future plaintiff victories, it also influences the settlement value of other cases.\(^{235}\) It is clearly in the interest of the defendant to suppress settlement value as much as possible. This is especially true in dealing with a congregation of cases. Evidence from the MER/29\(^{236}\) and asbestos cases\(^{237}\) suggests that as a congregation matures, the settlement value can steadily increase unless the defendant is uniformly successful. Rheingold reports that for a "typical MER/29 case" settlements rose from approximately $25,000 in the early period, to $75,000 in the mid-period, to $125,700 near the end.\(^{238}\) Adverse verdicts played an important role in this increase. Merrell won most of the early cases in 1964 and 1965, but plain-
collateral estoppel would be particularly unfair to the defendant when there were inconsistent jury verdicts outstanding. *Raynor*, 643 F. Supp. at 246.
Merrell, of course, has tried to invoke defensive collateral estoppel in numerous cases. *Parklane*, however, says that collateral estoppel is inappropriate when there is "a series of cases with inconsistent judgments." *Parklane*, 439 U.S. at 330. On the basis of this language, Judge Rubin rejected Merrell's invocation of collateral estoppel in the Michigan Consolidated Trial partly because of the *Oxendine* verdict. *In re Bendectin Products, No. 85-0996, 1986 WL 20466, at *3 (E.D. Mich. May 2, 1986).
Even if *Oxendine* did not exist, Merrell's use of defensive collateral estoppel would still face formidable barriers, as most courts would probably conclude that the plaintiff had not been given a full and fair chance to litigate the issue. *See In re Bendectin Products Liab. Litig.*, 732 F. Supp. 744, 746 (E.D. Mich. 1990). Still, Merrell's chances of obtaining summary judgment based on arguments that echo collateral estoppel would be better were it not for *Oxendine*. *See Lynch v. Merrell-Nat'l Lab.*, 830 F.2d 1190, 1193 (1st Cir. 1987) (defendant not allowed to invoke defensive collateral estoppel where plaintiffs in multidistrict litigation had been allowed to withdraw without forfeiting any rights after discovery and before trial).
\(^{234}\) Tamir Lewin, *Pharmaceutical Companies Are Hardest Hit*, N.Y. TIMES, Mar. 10, 1985, § 3, at 1, quoted in Galanter, *supra* note 8, at 381.
\(^{235}\) The *Oxendine* verdict must have influenced Merrell's settlement offer in the consolidated multidistrict action in Ohio, discussed *infra* notes 255-300 and accompanying text.
\(^{236}\) See Rheingold, *supra* note 62, at 137.
\(^{237}\) See Paul Brodeur, *Outrageous Misconduct: The Asbestos Industry on Trial* 265 (1985).
\(^{238}\) He defines a "typical case" as involving a man under 60 with no earnings loss, only slight medical expenses, and strong medical proof of cataracts and hair and skin change. Rheingold, *The MER/29 Story*, *supra* note 62, at 137.
tiffs won several in 1966 and 1967.\textsuperscript{239} It seems apparent that these victories increased the value of untried cases.\textsuperscript{240}
There is a final reason Merrell continues to fight the \textit{Oxendine} verdict. They may have come to believe, based on the outcome of more recent cases, that a new trial based on the evidence available at the beginning of the 1990s would result in a judgment for the defense. This circumstance reflects how \textit{Oxendine}, like \textit{Mekdeci}, presented Merrell with a “first case” problem. Inevitably, if mass tort cases are tried while science is still developing, early cases will be tried on different, less well developed facts than later ones. Nearly as inevitably, this will benefit one party or the other. In the Bendectin cases, the plaintiffs appear to have had the early advantage. By using every available means to obtain a new trial in \textit{Oxendine}, the defendant has sought to erase this advantage.
\textsuperscript{239} As of 1967, 11 cases had gone to trial. \textit{Id.} at 133. A Westlaw search in Spring 1990, using MER/29 as the search criterion, failed to discover any additional trials that resulted in appellate opinions. The most recent case for which there is an appellate opinion is Martinez-Ferrer v. Richardson-Merrell, Inc., 105 Cal. App. 3d 316, 164 Cal. Rptr. 591 (1980). Not surprisingly, the appeal concerned the statute of limitations. \textit{Id.} at 318, 164 Cal. Rptr. at 591.
\textsuperscript{240} Punitive damages also played a role in the settlement value of the MER/29 cases. Because compensatory damages tended to be relatively small and because of Merrell’s failure to disclose information to the FDA, the litigation efforts were driven by the desire to obtain punitive damages. While the plaintiffs were awarded punitives in only three cases (all three of which were reduced or overturned on appeal), these awards drove up the settlement value of other cases. Rheingold, \textit{The MER/29 Story}, \textit{supra} note 62, at 138. Rheingold cites two other factors as having influenced the size of MER/29 settlements. First, the earliest cases that went to trial or were settled were those in rural areas and smaller states where the expected value of cases was lower. \textit{Id.} at 132. Second, there were differences in the quality of plaintiffs’ counsel. Early in the litigation 33 attorneys representing MER/29 plaintiffs formed the MER/29 Group, whose purpose it was to disseminate information about ongoing litigation, to hire expert consultants and to conduct joint preparation of cases, primarily through a shared discovery effort. Eventually 288 attorneys and firms joined the Group. Among the packages of materials distributed by the Group were transcripts of previous trials, key documents that had been discovered from Merrell files, depositions, and a “trial package” with suggested examination questions and examples of motions and briefs used in earlier trials. \textit{Id.} at 123-24. According to Rheingold, attorneys who were not members of the Group made worse settlements than attorneys who had the advantages of the Group’s resources. \textit{Id.} at 138. It is worth noting that this effect carries over to the litigated cases; plaintiffs who lost earlier cases were disproportionately represented by attorneys who were not members of the MER/29 Group.
The MER/29 settlement experience supports McGovern’s “cyclical theory,” \textit{see supra} note 42, at least in its early stages. Plaintiffs’ counsel slowly developed information and strategies that eventually allowed them to win most litigated cases. Coincidentally, this point was reached at approximately the same time that Merrell’s insurance was exhausted. This caused Merrell to take over its own defense and actively seek settlement of all pending cases. \textit{Id.} at 140. The number of cases rather quickly declined as depletion effects, accelerated by the statute of limitations, exhausted the number of potential cases. As we shall see, the Bendectin cases had a different fate.
B. The Caseload and Trial Load
*Mekdeci* and *Oxendine* marked the beginning of over a decade of litigation concerning Bendectin. For a while, they appeared to be just the beginning. Filings rose dramatically in the early 1980s, but then collapsed. After the Common Issues Trial. Table 5\(^{241}\) presents the Bendectin-related case filings in state and federal courts from 1977 to 1988.\(^{242}\)
Bendectin trials have followed a pattern similar to case filings. Through December 1991 there had been approximately thirty trials, including two German cases, one Italian case, and several consolidated trials—by far the most important being the *Common Issues Trial* in the Southern District of Ohio which consolidated 818 cases, some involving multiple plaintiffs.\(^{243}\) All but a handful of the cases have been tried in the federal courts, most removed there by the defendant under diversity jurisdiction. Table 6\(^{244}\) reports on trials by year.\(^{245}\)
There were two trials in 1985, eight in 1986, and eleven in 1987; then the number of trials collapsed. While a few cases are still pending, the stock of active potential cases is disappearing, due, in part, to Merrell's aggressive efforts to bring litigation to a close.\(^{246}\)
---
\(^{241}\) Table 5 is found in Appendix A.
\(^{242}\) GAO, "LITIGATION EXPLOSION" QUESTIONED, *supra* note 87, at 35. In the table, any case originally filed in state court, but removed to federal court is counted twice. Between 1977 and 1986 there were 261 such cases. If the double counting is eliminated, there were 1648 filings between 1977 and 1986. Merrell reports that as of mid-1989 there were a total of 1696 child plaintiff cases. *See supra* text accompanying note 86. Between 1974 and 1986 the Bendectin cases constituted approximately 1.7% of the total products liability filings in the federal courts. Marc Galanter, *The Life and Times of the Big Six: The Federal Courts Since the Good Old Days*, 1988 Wis. L. Rev. 921, 941 [hereinafter Galanter, *Life and Times of the Big Six*]. See TERRY DUNGWORTH, *PRODUCT LIABILITY AND THE BUSINESS SECTOR: LITIGATION TRENDS IN FEDERAL COURTS* 41 (1988). By way of comparison, the enormous Asbestos congregation comprised approximately 6.4% of all civil filings in federal courts in 1990. 19 Prod. Safety & Liab. Rep. (BNA) No. 11, at 287 (Mar. 15, 1991).
\(^{243}\) The 30 trial figure includes a trial in Corpus Christi, Texas in September 1991 (Havner v. Merrell-Dow Pharmaceuticals, 41 Prod. Safety & Liab. Rep. (BNA) No. 19, at 1134 (D. Tex. Oct. 11, 1991)).
\(^{244}\) Table 6 is found in Appendix A.
\(^{245}\) The table reports every trial, including retrials of the same case, such as occurred in *Mekdeci*. Because some cases are counted twice, and because some trials are consolidated trials of a number of individual cases, the number does not accurately reflect the number of cases that have actually gone to trial.
\(^{246}\) For instance, one of the most important recently-outstanding cases was a multi-plaintiff case in Michigan before Judge Rubin (who had presided over the Ohio *Common Issues Trial*). In October 1989 Merrell filed a motion for summary judgment on the causation question and also filed case-specific motions based on statute of limitations, lack of ingestion, or timing of ingestion defenses in approximately 20 cases. Merrell also moved for discovery sanctions because over half the plaintiffs had failed to respond to discovery requests. While many of these motions were granted, Judge Rubin denied Merrell's motion for a summary judgment
The key events in Bendectin's trial history are not difficult to spot. The partial success in *Mekdeci* and the plaintiff's verdict in *Oxendine* were followed by a dramatic rise in filings over the next several years. Due to the common discovery procedures discussed below, however, there were no further trials until 1985. The next trial after *Oxendine*, the *Common Issues Trial* in Winter 1985 in the Southern District of Ohio, was the single most important trial in the Bendectin litigation. The case ultimately involved over 800 plaintiffs, and resulted in a defense verdict on the question of whether Bendectin was a teratogen. As a consequence of this verdict, new filings collapsed. However, the number of trials, functioning as a lagging indicator of events, continued to rise for two years before trials also began to decline in frequency. The relationship of filings and trials through the 1980s is presented in Figure 2.
**Figure 2**
*Total Filings and Trials, by Year*
![Graph showing total filings and trials by year]
In January 1990, Merrell moved for reconsideration of the motion and a hearing was held in March 1990. At that time, Judge Rubin proposed a mini-trial to ascertain whether the testimony proffered by plaintiffs in opposition to the summary judgment motion would be admissible. Transcript of Proceedings at 22-23, *In Re* Bendectin Litig., No. 85-0996, 1986 WL 20465 (E.D. Mich. May 2, 1986) (Hearing on Motion). One possible interpretation of the judge's statements at the hearing is that he was likely to hold the animal studies inadmissible. *See id.* at 3. Within a few weeks of the hearing the remaining plaintiffs agreed to dismiss their cases without prejudice. They have three years to refile. Letter from W. Glenn Forrester, attorney for Marion Merrell Dow, Inc., to Joseph Sanders (Oct. 18, 1990) (on file with author).
The full extent to which trials can be viewed as lagging indicators in the Bendectin cases is further demonstrated in Figure 3. It presents the number of *in vivo* and epidemiological studies published and the number of trials begun in different time periods from 1962 to 1991. For the period covered in this figure, 94% (47/50) of all *in vivo* and epidemiological studies were published before 80% (24/30) of the trials had begun.
**Figure 3**
*Bendectin Scientific Articles and Trials, by Years*
Importantly, in the Bendectin Cases the declining number of filings and trials has not been primarily a result of the exhaustion of potential claims. A number of leading plaintiffs’ attorneys, including Barry Nace and Thomas Bleakley, took their cases out of the *Common Issues Trial* and were prepared to proceed separately.\(^{247}\) In addition, there are many potential plaintiffs who have not entered the fray. Estimates made at the time of the *Common Issues Trial* were that the total number of Bendectin
\(^{247}\) In fact, most of the subsequent Bendectin litigation involved these cases. For these cases, the impact of the outcome in the *Common Issues Trial* was indirect. As I shall discuss below, the defense verdict in the *Common Issues Trial* was an important factor in the judicial willingness to direct verdicts and enter judgment n.o.v. in later cases. *See infra* text accompanying note 309-10.
filings ultimately would be in the 15,000 range. These estimates were based on relatively conservative estimates as to what percentage of potential plaintiffs (children with birth defects whose mothers had taken Bendectin during a critical period of their pregnancy) would in fact raise claims.\textsuperscript{248} The fact that far fewer cases have been filed is a consequence of the lack of plaintiff success in the cases that have been tried. Fundamentally, the process has been one of judicial rationing of access to the courts, beginning with the discovery and trial in Ohio.
C. Rationing Law
In the Bendectin Cases, the rationing process has occurred in two stages: first, through the use of traditional procedural techniques to conserve judicial resources; second, through increasingly aggressive judicial management of cases. In the following sections, I discuss these strategies in turn.
(1) Procedural Rationing
Faced with the stunning volume of cases presented by mass torts and the time it would take to try each case separately, commentators have suggested various ways to expedite proceedings through the increased use of mass discovery and mass trials.\textsuperscript{249} Several devices, including the Multi-District Litigation Act,\textsuperscript{250} class actions under Rule 23 of the Federal Rules of Civil Procedure ("Rule 23"),\textsuperscript{251} and consolidation of cases for trial under Rule 42 of the Federal Rules of Civil Procedure ("Rule 42") have been used in the Bendectin Cases. All of these propos-
\textsuperscript{248} Report of the Guardian Ad Litem at 6, \textit{In re "Bendectin" prods. Liab. Litig.}, 102 F.R.D. 239 (S.D. Ohio 1984).
\textsuperscript{249} See Linda S. Mullenix, \textit{Class Resolution of the Mass-Tort Case: A Proposed Federal Procedure Act}, 64 TEX. L. REV. 1039 (1986); David Rosenberg, \textit{Class Actions for Mass Torts: Doing Individual Justice by Collective Means}, 62 IND. L.J. 561 (1987); Rosenberg, \textit{supra} note 215, at 849; Thomas D. Rowe, Jr. & Kenneth D. Sibley, \textit{Beyond Diversity: Federal Multiparty, Multiforum Jurisdiction}, 135 U. PA. L. REV. 7 (1986); Georgene M. Vairo, \textit{Multi-Tort Cases: Cause for More Darkness on the Subject, or a New Role for Federal Common Law?}, 54 FORDHAM L. REV. 167 (1985); but see Roger Transgrud, \textit{Mass Trials in Mass Tort Cases: A Dissent}, 1989 U. ILL. L. REV. 69 [hereinafter Transgrud, \textit{Mass Trials}].
\textsuperscript{250} 28 U.S.C. § 1407 (1976); see David F. Herr, \textit{Multidistrict Litigation: Handling Cases Before the Judicial Panel on Multidistrict Litigation} (1979). For an analysis of the statute's impact on plaintiffs and defendants see Susan Olson, \textit{Federal Multidistrict Litigation: Its Impact on Litigants}, 13 JUST. SYS. J. 341 (1988-89). In 1989 the MDL Panel reported that since its inception in 1968 it had centralized 17,093 civil actions for pre-trial proceedings. \textit{ANNUAL REPORT OF THE DIRECTOR OF THE ADMIN. OFFICE OF THE U.S. COURTS, REPORTS OF THE PROCEEDINGS OF THE JUDICIAL CONFERENCE OF THE UNITED STATES} 6-7 (1989).
\textsuperscript{251} See Mullenix, \textit{supra} note 249, at 1045-46.
als and devices are justified by their proponents on the basis of the inefficiency and costs involved in single plaintiff litigation.\textsuperscript{252} Whether or not there in fact are large savings to be gained by using these devices is, to some extent, an open question.\textsuperscript{253} What is clear is that these devices can save a substantial amount of judicial time, and that judges will explore various procedural devices that allow them to avoid spending months and even years litigating a group of mass tort cases one at a time.\textsuperscript{254} For example, Judge Rubin, the trial judge in the \textit{Common Issues Trial}, calculated that the trial of all 1100 then existing Bendectin cases would take 182 judge years.\textsuperscript{255} Trying even 5% of the cases would consume over nine judge years. It is not surprising, therefore, that the judiciary, especially at the trial court level, searches for ways to ration judicial resources. The Bendectin Cases reflect this phenomenon.
Because the \textit{Common Issues Trial} so aptly demonstrates coordination and rationing in mass torts, it is worth discussing in some depth. The trial was the direct result of the consolidation of cases under Rule 42 and the transfer of cases to Ohio under the Multi-District Litigation Act ("Act" or "MDL statute").
The Act is a fundamental tool in the federal judiciary's efforts to force coordination on parties. As a byproduct, it facilitates the mobilization of plaintiffs' groups. The MDL statute was enacted in 1968. It calls for the creation of a seven member Judicial Panel on Multi-District Litigation ("Panel"). The members are United States District Court or
\textsuperscript{252}. It has been said that mass tort cases lead to an exponential growth in transaction costs as the number of parties increases. Richard Epstein, \textit{The Legal and Insurance Dynamics of Mass Tort Litigation}, 13 J. LEGAL STUD. 475, 477 (1984). Whether this is in fact true for all mass torts is debatable. It is distinct from the question whether savings can be realized by consolidating individual cases into larger groupings by way of common discovery or class actions.
\textsuperscript{253}. For an argument that the savings are not always as large as advertised, see Trangsrud, \textit{Mass Trials}, supra note 249, at 79. For an effort to set forth a method for assessing the effects of mass procedures, see Mark A. Peterson & Molly Selvin, \textit{Resolution of Mass Torts: Toward a Framework for Evaluation of Aggregative Procedures} (1988).
\textsuperscript{254}. Judge Parker's efforts in the Eastern District of Texas to use collateral estoppel and class actions to manage the very large asbestos caseload in that district serve as an example. See Jenkins v. Raymark Indus., 782 F.2d 468, 469 (5th Cir. 1986) (class action); Hardy v. Johns-Manville Sales Corp., 681 F.2d 334, 338 (5th Cir. 1982) (collateral estoppel). For a discussion by a commentator who has been intimately involved with managing mass tort cases, see McGovern, \textit{supra} note 20, at 442.
\textsuperscript{255}. \textit{In re Richardson-Merrell, Inc. "Bendectin" Prods. Litig.}, 624 F. Supp. 1212, 1221 n.6. (S.D. Ohio 1985). Judge Rubin's calculation was based on his estimate that the average trial would take 38 days. This figure in turn was based on the average time it had taken to try the four cases (other than the \textit{Common Issues Trial}) that had been tried at the time Rubin wrote his opinion. \textit{Id.} at 1221 n.5.
Court of Appeals judges, no two from the same district. The Panel maintains a permanent staff in Washington and meets monthly. It monitors district court cases that appear to be likely candidates for consolidation. Claims may be consolidated by motion of the Panel itself or by approved motion of a party to a claim. The Panel may issue a consolidation order over the objections of all parties.\textsuperscript{256} For the Panel to take action, four of the seven members must concur. Civil actions may be consolidated when: (1) they involve one or more common questions of fact, (2) they are pending in different districts, (3) the transfer will be for the convenience of parties and witnesses, and (4) the transfer promotes the just and efficient conduct of the actions.\textsuperscript{257} Factors to be considered in determining whether consolidation would promote just and efficient conduct of the actions include whether it will prevent duplication of discovery and pretrial conferences and whether it will economize judicial efforts.\textsuperscript{258}
As of July 1984, the Panel had used the MDL statute to transfer seventy-eight air disaster cases and seventeen other mass disaster cases.\textsuperscript{259} It had also transferred nine mass product defect cases, including those involving Bendectin.\textsuperscript{260} The Act, on its face, provides for the consolidation of \textit{pre}trial proceedings only. At the end of these proceedings cases "shall be remanded by the panel . . . to the district from which [they] were transferred" for trial.\textsuperscript{261} Notwithstanding this language, both courts and commentators have asserted that transferee courts may conduct a common trial in cases consolidated under the Act.\textsuperscript{262}
Even as \textit{Mekdeci} was being tried, the landslide of lawsuits was beginning. In early 1982 the Panel began to assign cases to the Southern District of Ohio. It selected Judge Carl A. Rubin to conduct the consolidated pretrial discovery.\textsuperscript{263} In May, a central component of the coordi-
\textsuperscript{256}. \textit{In re Asbestos & Asbestos Insulation Materials Prods. Liab. Litig.}, 431 F. Supp. 906, 910 (J.P.M.L. 1977).
\textsuperscript{257}. 28 U.S.C. § 1407(a) (1991).
\textsuperscript{258}. See Wilson W. Herndon & Ernest R. Higginbotham, \textit{Complex Multidistrict Litigation—An Overview of 28 U.S.C. Sec. 1407}, 31 \textit{Baylor L. Rev.} 33, 41, 45 (1979); Transrud, \textit{Joinder Alternatives}, supra note 22, at 803; Note, \textit{The Judicial Panel and the Conduct of Multidistrict Litigation}, 87 \textit{Harv. L. Rev.} 1001 (1974).
\textsuperscript{259}. Transrud, \textit{Joinder Alternatives}, supra note 22, at 803-04 nn.138-39.
\textsuperscript{260}. \textit{Id.} at 803-04 n.139. Other products involved in transfer orders include an aortic heart valve, multipiece rims, an antibiotic called Cleocin, the Swine Flu vaccine, the Dalkon Shield, plastic insulation, and helicopter engines. \textit{Id.}
\textsuperscript{261}. 28 U.S.C. § 1407(a) (1991).
\textsuperscript{262}. Transrud, \textit{Joinder Alternatives}, supra note 22, at 803-04 n.139; Richard A. Chesley & Kathleen Woods Kolodgy, Note, \textit{Mass Exposure Torts: An Efficient Solution to a Complex Problem}, 54 \textit{U. Cin. L. Rev.} 467, 523-26 (1985).
\textsuperscript{263}. \textit{In re Richardson-Merrell, Inc. "Bendectin" Prods. Liab. Litig.}, 533 F. Supp. 489, 490 (J.P.M.L. 1982).
nation objective was realized with the appointment by Judge Rubin of five attorneys who would act as lead counsel and coordinate plaintiffs' discovery efforts.\textsuperscript{264}
Within the context of the Act, another word for coordination is centralization. In ordinary tort litigation, unaffected by multidistrict consolidation, the very fact that lawsuits are scattered throughout the land is simultaneously one of the main weaknesses and strengths of private litigation. It is a weakness because coordination is difficult, and because some plaintiffs will not have the resources to pursue their claims.\textsuperscript{265} On the other hand, this diversity is a strength. If it spreads plaintiffs thin, it does the same to the defendants, who must fight on many fronts. Moreover, it spreads the risk. Prosecuting 800 single plaintiff cases instead of one 800 plaintiff case is a type of insurance for plaintiffs as a group. One large case places all of the plaintiffs' eggs in one basket.\textsuperscript{266}
In November 1983 Judge Rubin took a large step toward centralization. Proceeding under Rule 42, the judge consolidated all cases that had been filed in Ohio for a common issues trial. Rule 42 is a particularly potent weapon for forcing consolidation because plaintiffs do not have a right to opt out of a common trial as they do under the MDL statute.\textsuperscript{267} Judge Rubin set a date of March 1, 1985 for all those who did not bring their action in Ohio to choose whether to opt in or opt out of the \textit{Common Issues Trial}.\textsuperscript{268} And on June 11, 1984 a jury was empaneled.\textsuperscript{269}
\textsuperscript{264}. See \textit{In re Richardson-Merrell, Inc. "Bendectin" Prods. Liab. Litig.}, 624 F. Supp. 1212, 1216 (S.D. Ohio 1985), aff'd sub nom. \textit{In re Bendectin Litig.}, 857 F.2d 290, 295 (6th Cir. 1988), cert. denied, 488 U.S. 1006 (1989).
\textsuperscript{265}. The contingent fee can relieve the individual plaintiff of the burden of direct litigation expenses, but the system will operate only when the expected value of a case warrants the costs that must be incurred in pursuing it. For the plaintiff with a less serious injury, such as a minor cleft, it may be impossible to find an attorney willing to pursue the claim if that plaintiff alone has to bear the entire cost of developing the case. Consolidation of discovery proceedings under the Act makes it possible for many plaintiffs to pursue claims that they otherwise could not afford.
\textsuperscript{266}. In August 1982 Judge Rubin removed the foreign eggs. He ruled that claims by British plaintiffs were barred under the doctrine of forum non conveniens. \textit{In re Richardson-Merrell, Inc.}, 545 F. Supp. 1130, 1133-36 (S.D. Ohio 1982) (where United Kingdom was alternative forum and prospect of numerous additional actions on behalf of foreign plaintiffs was likely absent dismissal, action was dismissed on forum non-conveniens ground). British plaintiffs had survived an earlier motion by defendant to dismiss on forum non conveniens grounds. \textit{See Alexander v. Richardson-Merrell Inc.}, 541 F. Supp. 93, 98-99 (S.D.N.Y. 1982). Now, however, no foreign national would be able to pursue a Bendectin case in Federal court.
\textsuperscript{267}. FED. R. CIV. P. 42(b). \textit{See Transsrud, Mass Trials}, supra note 249, at 72.
\textsuperscript{268}. \textit{See In re Richardson-Merrell, Inc. "Bendectin" Prods. Liab. Litig.}, 624 F. Supp. 1212, 1216 (S.D. Ohio 1985).
\textsuperscript{269}. \textit{Id.}
One week later, however, with an eye toward settlement, Judge Rubin issued an order certifying the plaintiffs as a class under Rule 23.\textsuperscript{270} Merrell made a settlement offer of $120 million and the jury was dismissed.\textsuperscript{271} Taking into consideration potential future suits, Judge Rubin divided the settlement class into two subclasses, those who had already filed suit by June 18, 1984 and those who had not.\textsuperscript{272} The class was a “non-opt-out” class. No individual plaintiff would be permitted to opt out and continue private settlement negotiations or proceed to trial.\textsuperscript{273} Every injured child and parent of a stillborn child exposed to Bendectin would be bound by the settlement agreement.\textsuperscript{274}
Judge Rubin’s action did not meet with universal acceptance. Many attorneys, including two members of the five-person lead counsel committee, opposed the settlement and therefore objected to the formation of the class.\textsuperscript{275} After failing to obtain a reversal of the class certification order on direct appeal,\textsuperscript{276} they sought a writ of mandamus from the Sixth Circuit to vacate the order establishing the class. The court recognized that mandamus is an extreme remedy, but nevertheless granted the writ.\textsuperscript{277} This ended any hope of settlement.
\textsuperscript{270} In re “Bendectin” Prods. Liab. Litig., 102 F.R.D. 239, 242 (S.D. Ohio 1984). Rubin found that the class met the four criteria of commonality, typicality, numerosity, and adequacy of representation required by Rule 23. \textit{Id.} at 241. For the argument that Rule 23 should be used this way in mass tort cases, see Note, \textit{Class Certification in Mass Accident Cases under Rule 23(b)(I)}, 96 HARV. L. REV. 1143 (1983).
\textsuperscript{271} In re Bendectin Prods. Liab. Litig., 749 F.2d 300, 306 (6th Cir. 1984). At the time of the settlement offer, pending before Judge Rubin were 253 cases filed in the Southern District of Ohio and 315 transferred by the Panel (in addition roughly 149 actions were pending in state courts). \textit{Id.} Had the settlement been consummated and distributed pro rata among the existing plaintiffs under Rubin’s jurisdiction, the per case settlement would have been slightly in excess of $200,000.
\textsuperscript{272} In re “Bendectin” Prods. Liab. Litig., 102 F.R.D. at 242.
\textsuperscript{273} In re Bendectin Prods. Liab. Litig., 749 F.2d at 302. In addition, the certification order purported to stay all state court discovery proceedings. \textit{Id.} at 304.
\textsuperscript{274} These extreme measures reflect the frustration judges feel in trying to work out a settlement in mass tort cases. Some have argued that Judge Weinstein’s summary judgment for defendants in the Agent Orange opt-out opinion reflects similar frustration and was motivated in substantial part by his desire to protect the perceived reasonableness of the settlement agreement between the defendants and the plaintiffs who did not opt out of the class action. See Green, supra note 94, at 65.
\textsuperscript{275} See Bendectin Pact Creating Furor, NAT’L L.J., July 30, 1984, at 1, 31-33.
\textsuperscript{276} See Schreier v. Merrell Dow Pharmaceuticals, 745 F.2d 58 (6th Cir. 1984).
\textsuperscript{277} In re “Bendectin” Products Liab. Litig., 749 F.2d at 303, 307. The court found that Judge Rubin had failed to establish any grounds for certification under either Rule 23(b)(1)(A) (requiring a showing that separate actions would create a risk of inconsistent or varying adjudications) or Rule 23(b)(1)(B) (requiring a showing that there is a risk that a limited fund may exist from which judgments can be satisfied). \textit{Id.} at 305-06.
Actions taken in the early years of a mass tort have the secondary consequence of encouraging or discouraging the filing of new cases. With a product such as Bendectin, for which over thirty million prescriptions had been filled world-wide, it is extraordinarily difficult to estimate the number of potential cases.\textsuperscript{278} Indeed, in the \textit{Common Issues Trial}, Judge Rubin solicited the assistance of several experts in order to obtain a reasonable estimate of the number of cases he could ultimately anticipate. The experts found it difficult to make a firm estimate, in part because there was no effective statute of limitations bar to future suits.\textsuperscript{279} The experts' best guess was that future filings would be in the range of 5700 to 16,800 claims.\textsuperscript{280} Thus, a settlement with only the existing plaintiffs seemed particularly risky for Merrell. In the asbestos, Dalkon Shield, and DES cases, initial settlements and jury verdicts set the going
\textsuperscript{278}. Attempts to estimate the number of potential plaintiffs who would meet the two criteria of a birth defect and a mother who ingested Bendectin during pregnancy have produced very large numbers. Judge Rubin noted in the \textit{Common Issues} opinion that if 30 million pregnant women had taken the drug and the birth defect rate is between 2% and 5% of all births, then by chance (i.e., by causes other than Bendectin), there would be between 600,000 and 1,500,000 potential claimants. \textit{In re Richardson-Merrell, Inc. "Bendectin" Prods. Liab. Litig.}, 624 F. Supp. 1212, 1229 (S.D. Ohio 1985).
\textsuperscript{279}. For a discussion of why this is so, see \textit{supra} notes 88-89 and accompanying text.
\textsuperscript{280}. The experts estimated that there were between 115,000 and 168,000 potential claimants and that 5% to 10% would actually raise claims, creating a range of 5750 to 16,800. \textit{See Transcript of Proceedings}, at 88-90 (Oct. 31, 1984). \textit{In re Richardson-Merrell, Inc. "Bendectin" Prods. Liab. Litig.}, 624 F. Supp. 1212 (S.D. Ohio 1985) (MDL No. 486). Among the factors involved in a calculation are estimates of the number of injuries and estimates of the number of injured people who will advance claims. The percentage advancing claims is influenced by public knowledge that there is a potential claim, which in turn is influenced by the steps courts and others take in advertising the right to claim.
In the Dalkon Shield case, for instance, the bankruptcy court made significant efforts to publicize the right to claim. A survey of almost 1000 individuals conducted in 1984 asked whether they had heard of a variety of products (including the Dalkon Shield, Bendectin, asbestos, DES, and super-absorbency tampons), and if so whether they thought the product was hazardous to health. Of those surveyed, 80% thought asbestos was hazardous; 43% thought the Dalkon Shield was. Only 10% or so thought Bendectin was a health hazard, approximately 10% thought it was not a hazard, and 80% either had never heard of Bendectin or did not know if it was hazardous. Herbert M. Kritzer, \textit{Public Notification Campaigns in Mass Litigation: The Dalkon Shield Case}, 13 JUST. SYS. J. 220, 231 (1988-89). Clearly, in 1984 public awareness of Bendectin was relatively low.
After the \textit{Common Issues Trial}, plaintiffs' lead counsel requested reimbursement for out-of-pocket discovery expenses, which tallied $750,000. Judge Rubin charged two thirds of the costs to the Southern District cases, but also had to set a price for counsel in future cases who might wish to acquire the materials. He set a fee of $600, by estimating that there would be 400 future cases where counsel would use the materials. To date, however, there have not been nearly that many cases, presumably in part because the outcome of the \textit{Common Issues Trial} had a chilling effect on future litigation. \textit{See infra} app. A., tbl. 5. Had the outcome been different, there is reason to suspect the expert's estimates would, if anything, have been too low and the number of claims would have run in the thousands, if not tens of thousands.
rate for later cases. It usually does not avail the defendant to argue that it never would have offered so much in earlier cases had it known there would be so many later ones. Nor are existing plaintiffs in any position to offer reliable indemnity against future claims or even unsettled existing claims.\textsuperscript{281} By forming a non-opt-out class, and establishing a subclass of future suits, for whom some percentage of the $120 million settlement offer would be earmarked, Judge Rubin's proposed settlement insured Merrell against the risk that by settling, it would encourage even more new plaintiffs, who would tend to begin negotiations from the basis of the earlier settlement.\textsuperscript{282}
The Sixth Circuit's issuance of the writ of mandamus reflects the constant tension that exists in mass tort cases between the desire to provide individualized justice and the desire to reach for aggregate resolutions. Apparently, the Sixth Circuit felt that this settlement plan leaned too far in favor of efficient, aggregate solutions. The consequence of the Sixth Circuit's decision was that Judge Rubin resumed preparations for a common issues trial on the question of general causation. A second jury was empaneled in February 1985,\textsuperscript{283} and a new opt-in deadline was set.\textsuperscript{284} A total of 818 cases were consolidated: 557 cases originally filed in the Southern District of Ohio, and 261 opt-in cases.\textsuperscript{285} Judge Rubin took the unusual step of trifurcating the case. First, he would try the issue of general causation: does Bendectin cause any defects? He then would try liability issues and, finally, damages issues.\textsuperscript{286} This strategy
\begin{itemize}
\item \textsuperscript{281} Transgrud, \textit{Joinder Alternatives}, supra note 22, at 835.
\item \textsuperscript{282} Frank Woodside III, chief defense counsel in the \textit{Common Issues} case noted:
One thing that we have attempted to obtain in settling the cases the way we have settled them is to achieve a degree of finality so that the litigation does not pend for 20 years. Because you involve children, you have litigation that can go on for a long time because you really don't have a statute of limitations.
\textit{Bendectin Pact Creating Furor}, supra note 275, at 31.
\item \textsuperscript{283} \textit{In re Richardson-Merrell, Inc. "Bendectin" Prods. Liab. Litig.}, 624 F. Supp. 1212, 1217 (S.D. Ohio 1985).
\item \textsuperscript{284} \textit{In re Richardson-Merrell, Inc.}, 582 F. Supp. 890, 891 (J.P.M.L. 1984).
\item \textsuperscript{285} \textit{In re Richardson-Merrell, Inc. "Bendectin" Prods. Liab. Litig.}, 624 F. Supp. at 1216 n.1. Judge Rubin reports in his later opinion, upholding the jury verdict in this case, that there were an additional 368 cases assigned by the panel that did not opt in or were otherwise disposed of. In total, then, he had jurisdiction over 1186 cases. \textit{Id.}
\item \textsuperscript{286} The exact nature of the trifurcation and the forum in which each issue would be tried was not clear when the trial began. Apparently the parties never fully considered how to resolve the difficult question of specific causation that might arise if the jury were to find a significant correlation between Bendectin and some birth defect, but a relative risk of injury less than two. In this situation, based on the bare statistical evidence, no plaintiff would be able to show by a preponderance of the evidence that his or her defect had been caused by Bendectin. \textit{See supra} note 215.
In the event that the jury was to find for the plaintiffs on the causal and liability questions,
\end{itemize}
had the potential for greatly streamlining the case, for if the defendants won on the general causation issue there would be no need to continue the trial.
Moreover, the strategy had the effect of preventing the plaintiffs from trying their entire cause of action at one time, thus denying them the opportunity that exists in unitary trials to bolster a weak case on liability or causation with a strong case on damages.\textsuperscript{287} The only witnesses permitted to testify at the trial were experts on the chemical composition, toxicology, and epidemiology of Bendectin (ten experts on behalf of the plaintiffs and nine on behalf of the defendants).\textsuperscript{288} Testimony and evidence pertaining to individual plaintiffs was not permitted.\textsuperscript{289} Indeed, Judge Rubin would not even allow individual malformed plaintiffs in the courtroom during the trial, on the theory that to do so would inevitably bring the question of damages into the trial as the jury observed the plaintiffs' serious injuries.\textsuperscript{290}
Judge Rubin proposed a second innovation for this trial. Because of concerns that the complexity of the scientific evidence might be too difficult for the average juror to understand he offered to use either a "blue ribbon jury" (persons having the most formal education available in the jury panel) or a "blue-blue ribbon jury" (persons knowledgeable in the field). The offer was rejected by plaintiffs, and the case was tried to a jury from the regular jury pool.\textsuperscript{291}
\textsuperscript{287} It is partly on this ground that Transsrud objects to the practice of splitting mass trials:
[Trifurcation of issues] is not fair because it robs the jury of its traditional flexibility in tort cases to balance uncertainties in the plaintiff's case on liability against strengths in the plaintiff's case on damages. Trifurcation of issues also inevitably leads to the sterile trial of technical issues related to causation divorced from the fact of the plaintiff's injury and a full account of the defendant's role in the tragedy.
Transsrud, \textit{Joinder Alternatives}, supra note 22, at 80. Some would disagree with this analysis and argue that all trials should be bifurcated so that the damage question does not contaminate the logically prior liability and causation questions. Recall that the first \textit{Mekdeci} jury verdict was overturned precisely because it appeared to be a compromise verdict.
\textsuperscript{288} \textit{In re Richardson-Merrell, Inc. "Bendectin" Prods. Liab. Litig.}, 624 F. Supp. at 1218.
\textsuperscript{289} \textit{Id.} at 1228.
\textsuperscript{290} \textit{Id.} at 1222-24. On similar grounds, Judge Rubin restricted pretrial discovery to Bendectin and at trial excluded all evidence concerning Thalidomide and MER/29. While Merrell's history with these drugs might go to the issue of liability, it did not go to the question of whether Bendectin caused birth defects. \textit{Id.} at 1236, 1241, 1249.
\textsuperscript{291} \textit{Id.} at 1217.
Perhaps because of the trifurcation of the trial, the jury returned a verdict for the defendants.\textsuperscript{292} In a lengthy opinion Judge Rubin denied plaintiffs' motion for judgment n.o.v. or a new trial.\textsuperscript{293} The Sixth Circuit ultimately upheld the verdict over objections that Judge Rubin abused his discretion in, among other things, trifurcating the trial,\textsuperscript{294} excluding the plaintiffs from the courtroom, and excluding references to Thalidomide and MER/29.\textsuperscript{295} In April 1985, in light of the jury verdict and Judge Rubin's declaration that he had completed his duty, the Panel remanded the claims of eighty-three plaintiffs who had not opted into the \textit{Common Issues Trial}.\textsuperscript{296}
At a theoretical level, the verdict in the \textit{Common Issues} case is just another jury verdict, binding on the parties to the case but of no particu-
\textsuperscript{292} In a laboratory experiment, using a toxic tort trial stimulus, Horowitz and Bordens found that juries hearing a unitary trial were significantly more likely to find for the plaintiff (85%) than were juries that heard bifurcated trials (68%). Irwin A. Horowitz & Kenneth S. Bordens, \textit{An Experimental Investigation of Procedural Issues in Complex Tort Trials}, 14 \textit{Law & Hum. Behav}. 269, 277-78 (1990). This tendency was strongest when the bifurcated trial juries heard the general causation testimony first. If these juries did find for the plaintiff, however, their compensatory damages awards were significantly larger. \textit{Id}.
\textsuperscript{293} \textit{See In re Richardson-Merrell, Inc., "Bendectin" Prods. Litig}, 624 F. Supp. at 1249.
\textsuperscript{294} The plaintiffs may have been somewhat prejudiced by the fact that one of the lead counsel had suggested a bifurcated proceeding early in the case. \textit{Id} at 1249.
\textsuperscript{295} \textit{In re Bendectin Litig}, 857 F.2d 290, 314-17, 321-25 (6th Cir. 1988). The appellate process was delayed by litigation concerning whether Judge Rubin had jurisdiction over claims by two foreign nationals who had originally filed in Ohio state court. These plaintiffs alleged that Merrell had violated the Food, Drug and Cosmetic Act, and that this violation constituted a "rebuttable presumption of negligence." Merrell argued that removal to federal court was proper under 28 U.S.C. § 1441 because the allegation raised a federal question. The trial court agreed, but was reversed in Thompson v. Merrell Dow Pharmaceuticals, 766 F.2d 1005, 1006 (6th Cir. 1985). The Sixth Circuit's decision was affirmed by the Supreme Court in a 5-4 opinion. Merrell Dow Pharmaceuticals v. Thompson, 478 U.S. 804, 817 (1986).
This ruling ultimately affected all Ohio resident plaintiffs. Merrell was a Delaware corporation, but had its principal place of business in Ohio. Therefore it was, for purposes of diversity jurisdiction, a citizen of both states. 28 U.S.C. § 1332(c) (1988). On the basis of the Supreme Court's \textit{Thompson} decision, Judge Rubin proceeded to remand all cases brought by Ohio residents in Ohio state court that had been removed to his court under 28 U.S.C. § 1441 on the ground that they, too, had stated causes of action based on violations of the FDCA. \textit{Bendectin Litig}, 857 F.2d at 297. For the same reason, he also dismissed without prejudice all claims brought by Ohio plaintiffs who had originally filed in Ohio federal court. \textit{Id}.
On appeal, however, the Sixth Circuit held that only those Ohio plaintiffs (13 cases) who had not attempted to establish federal question jurisdiction through a cause of action based on the violation of the FDCA were entitled to have their claims dismissed without prejudice. \textit{Id} at 297-98. The remainder, who had claimed federal question jurisdiction under 28 U.S.C. § 1331, were properly in federal court and, therefore, bound by the \textit{Common Issues} verdict. \textit{Id}.
\textsuperscript{296} \textit{In re Richardson-Merrell, Inc.}, 606 F. Supp. 715, 716 (J.P.M.L. 1985). The court denied remand of six actions and vacated an order to transfer six new cases to Judge Rubin's court. \textit{Id}.
lar precedential consequence for other parties, not even those plaintiffs who were part of the common pretrial proceedings and then opted out. This theoretical level perceives each case as an isolated event, legally uncontaminated by other suits, and it completely misses the importance of the *Common Issues Trial*. The verdict produced a complete reversal of fortunes for the parties. The claims of over 800 plaintiffs had been dealt a death blow, and remaining plaintiffs now faced what amounted to an adverse finding of fact—subsequent trial and appellate judges referred to the *Common Issues Trial*'s outcome when discussing whether the plaintiffs could prove that Bendectin causes birth defects.\textsuperscript{297}
The defendant enjoyed an equally profound reversal of fortunes. From an offer of $120 million to settle the case, it now moved to stay Judge Rubin's dismissal and remand order. The defendant hoped to sweep the board clean by using the *Common Issues Trial* to prevent future plaintiffs from arguing that Bendectin was a teratogen.\textsuperscript{298} The defense had gone on the offensive.
Nevertheless, trial of the Bendectin Cases had barely begun.\textsuperscript{299} Many of the most seriously injured plaintiffs had opted out of the *Common Issues Trial*.\textsuperscript{300} The existence of *Oxendine* made it unlikely that the defendant would succeed with any collateral estoppel arguments and also
\textsuperscript{297} \textit{E.g.}, Hull v. Merrell-Dow Pharmaceuticals, 700 F. Supp. 28, 29 n.1 (S.D. Fla. 1988).
\textsuperscript{298} \textit{In re Richardson-Merrell, Inc. "Bendectin" Prods. Liab. Litig.}, slip op. (S.D. Ohio Jan. 6, 1986) (LEXIS, Genfed Library, Dist file).
\textsuperscript{299} See infra app. A, tbl. 6.
\textsuperscript{300} Class actions are, in part, a public good. Benefits accrue to members of the group (all plaintiffs) regardless of their individual efforts. Olson notes that in such situations, because those with the most at stake will invest the most in the common good, there is a tendency for the "exploitation" of the great by the small." \textsc{Mancur Olson}, \textit{The Logic of Collective Action: Public Goods and the Theory of Groups} 29 (1968). Members with greater stakes in the outcome (the great) will make larger investments (in, for instance, pretrial discovery) than those with smaller stakes (the small). Those with smaller claims are able to free ride on the investment of those with larger claims.
This exploitation may occur even if there is no bargaining among plaintiffs. Bargaining may exacerbate this problem. To the degree there are limited assets to be shared, the plaintiffs will compete for shares of the defendant's assets. Here, the large stakes plaintiffs almost certainly will be in a minority, and may well be subjected to efforts by the majority to squeeze the range of recoveries. There will be pressure to hold down the maximum recoveries to raise the minimum recoveries. \textsc{Coffee}, \textit{supra} note 212, at 916.
As a consequence of these processes, it is not surprising that many of the opt outs in mass tort cases are the large stakes players. These include plaintiffs who have the more serious injuries and who have claims that are large enough to justify separate prosecution. They also include plaintiffs' attorneys representing a number of clients who, aggregating across all of their claims, have a large enough pool of claims to justify trying individual cases. Such a division apparently occurred in the Bendectin Cases. As this discussion indicates, mass tort cases present substantial issues of distributive justice. For a set of proposals as to how to manage mass tort cases so as to minimize distributional problems, see \textit{id.} at 918-30.
indicated that plaintiffs might well succeed in a unitary trial. The judiciary, however, was not to remain passive. As the Bendectin Cases matured, a new type of rationing was about to begin.
(2) Substantive Rationing
Throughout the life cycle of a congregation of cases the judiciary responds to the experts and their evidence. Trial judges are the most closely involved. The majority of their responses occur at the micro level of evidentiary and procedural rulings, permitting or prohibiting various initiatives by the parties.\textsuperscript{301} Usually, however, the trial judge also must make larger decisions concerning who to permit to testify, what evidence and instructions to give the jury, whether the case ultimately should go to the jury, and if it does, whether the verdict should stand. These more macro judgments are especially likely to be appealed. In the process of justifying or rejecting what has been done below, appellate opinions shape the future direction of a congregation of cases. Like all judicial, and other, decisions within the congregation, appellate opinions are not isolated, atomistic events. They, too, exhibit stages of development and are best understood within the context of the collection of cases. In this section I briefly discuss the trial court opinions and then turn to an analysis of the Bendectin appellate opinions. Here, we examine a different type of rationing, not through the use of procedures to streamline but through the use of substantive decisions to dispose of cases on their merits. As the congregation matures, the courts move from procedural to substantive rationing.\textsuperscript{302}
a. Trial Court Opinions
Using both Westlaw and Lexis searches, I have uncovered a total of fifty-eight trial court opinions concerning Bendectin, almost all of which
\textsuperscript{301} I hope to explore these micro decisions in a subsequent paper through an analysis of Bendectin transcripts.
\textsuperscript{302} This shift suggests an interesting question: Under what circumstances will courts employ substantive rationing? We might hypothesize that courts will resort to substantive rationing only when procedural rationing has failed to achieve the desired result.
For example, in the mass torts that are precipitated by a single cataclysmic event such as an airplane crash, multidistrict discovery and the consolidation of cases for trial are sufficient to assure reasonably prompt and consistent outcomes within the congregation of cases. In such a scenario, substantive rationing is unnecessary even for the occasional case that escapes the procedural net.
If this hypothesis is correct, we should expect substantive rationing in relatively few instances. In the final section of this Article, I elaborate on the circumstances in which we should anticipate substantive rationing.
are from federal district courts.\textsuperscript{303} Table 7\textsuperscript{304} summarizes the district court opinions.\textsuperscript{305}
In the table, I have coded the subject matter of each opinion (column 4) and designated it substantive or nonsubstantive (column 5). The key to the codes is found at the bottom of the table.\textsuperscript{306} Nonsubstantive opinions involve: discovery motions; motions to bifurcate or trifurcate a trial; questions of federal jurisdiction, statute of limitations, and forum non conveniens; and decisions concerning inclusion or exclusion from the multidistrict proceedings. Substantive opinions involve: questions concerning the admissibility of evidence; motions for summary judgment, directed verdict, or judgment n.o.v.; motions to exclude physicians or pharmacists as defendants; and findings concerning the merits of the plaintiff's case.
Drawn on the basis of information from Table 7, Figure 4 presents two indicators that illustrate how the Bendectin litigation matured over time. For each year between 1982 and 1990 it indicates the percentage of trial court opinions dealing with substantive issues and the percentage of opinions that were "final" in the sense that, unless overturned on appeal, the case was to end with that decision. In the early years of litigation, nonsubstantive issues tend to dominate case congregations. In the Bendectin cases, a substantial number of procedural issues arose because of the consolidation of cases in the \textit{Common Issues Trial}. Additionally, several courts faced venue issues raised by claims of foreign nationals. Presumably, the foreigners and their attorneys preferred to litigate in American courts because they assumed their damage recoveries would be larger here than abroad. After some earlier opinions allowing them a cause of action, the foreign claimants eventually were barred under the doctrine of forum non conveniens.\textsuperscript{307} Finally, there was the recurring
\textsuperscript{303} The opinions are from thirty-six different cases and multidistrict rulings of the Joint Panel on Multi-District Litigation (labeled MDL-JPML). Note that two of the cases are consolidated actions (labeled MDL-Ohio and MDL-Michigan).
\textsuperscript{304} Table 7 is found in Appendix A.
\textsuperscript{305} Not every Bendectin opinion is included in Table 7. Memorandum opinions, denials or grants of certiorari, and the like are excluded. They are listed in appendices H-I. The table does not include opinions that are neither published nor reported on Westlaw or Lexis.
\textsuperscript{306} Note that, in the case of summary judgments, directed verdicts, and judgments n.o.v. (codes 4, 5, and 6), where possible I have given the basis of the motion as well. For example, in the fifth case, \textit{Koller}, the motion for a summary judgment was based on a claim that the plaintiff could not show general causation.
\textsuperscript{307} A key opinion is Judge Rubin's decision that foreign nationals would be barred from the multidistrict litigation, but that, in return, Merrell would have to consent to being sued in Great Britain. \textit{In re Richardson-Merrell, Inc.}, 545 F. Supp. 1130, 1135 (S.D. Ohio 1982). Judge Rubin was particularly concerned that allowing foreign nationals to litigate in Ohio would flood the courts with litigants:
issue of federal jurisdiction. Merrell occasionally asked to have a court rule that the joinder of a local physician or pharmacy was done fraudulently solely in order to defeat diversity jurisdiction.\textsuperscript{308}
In more recent years an increasing percentage of opinions have dealt with the cases on their merits.\textsuperscript{309} This progression from nonsubstantive
\textsuperscript{308} Defendant argues that to allow these foreign plaintiffs access to American courts on the bare nexus that a product was developed and tested in this country, when it was manufactured and sold abroad by a foreign corporation, would flood this country with cases in which its own interest is minimal and the United Kingdom's great. We find this argument highly persuasive from both a practical and theoretical viewpoint.
\textit{Id.} at 1135.
Judge Rubin's concern over the potential flood of litigants reflects the federal judiciary's ongoing interest in managing mass tort caseloads as efficiently as possible. Here, of course, efficiency is measured from the federal judiciary's perspective. From the point of view of plaintiffs, American attorneys, and Merrell, it would have been more efficient to try all cases in Ohio.
\textsuperscript{309} \textit{E.g.,} McFeggan v. Merrell-Dow Pharmaceuticals, 1987 WL 9332, at *1 (N.D. Ill. Apr. 7, 1987); Shelhamer v. Merrell Dow Pharmaceuticals, 1987 WL 10702, at *1 (E.D. Pa. May 11, 1987).
309. 1986 appears to be a slight aberration in this trend. In part, this may be understood as a reaction to the conclusion of the \textit{Common Issues Trial}. Cases that had been transferred to
to substantive opinions is a key element of the maturation of the congregation of Bendectin cases. By 1987, most nonsubstantive legal questions had been resolved, and cases were being decided on the merits. The fact that fewer and fewer cases addressed procedural questions\(^{310}\) also signifies that relatively few new cases were entering the stream and that depletion was underway. Figure 4 indicates that as the percentage of substantive opinions rises in a case congregation, so too does the percentage of final dispositions.
Finally, an examination of the last three or four years of trial court opinions indicates that Merrell's motions for summary judgement, directed verdict, and judgment n.o.v. have increasingly been granted. This trend is, in large part, a response to appellate court opinions concerning Bendectin. It is to those appellate opinions that we now turn.
b. Appellate Court Opinions
I have found a total of thirty-six appellate opinions concerning Bendectin. This figure includes both published opinions and unpublished opinions available on the legal databases. The thirty-six opinions represent twenty-eight cases. Table 8\(^{311}\) lists the opinions in chronological order.\(^{312}\) As one would expect, the volume of appellate opinions has lagged behind the trial opinions, peaking in 1988.
Most of these opinions did not follow a trial on the merits below, and those that did tend to have come relatively later in the series, again indicating the maturation of the Bendectin congregation.\(^{313}\) The early nontrial cases involved one of two issues: jurisdictional questions, or the inclusion of defendants other than Merrell. The jurisdictional questions usually involved foreign national plaintiffs hoping to find an American forum. As noted earlier, all eventually were excluded on forum non conveniens grounds. The non-Merrell defendant cases involved pharmacists or treating physicians against whom there was no specific claim except that they were in the chain of distribution.
The nontrial opinions of the last two or three years have been much more likely to involve substantive questions. They address questions
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\(^{310}\) From 1988 to the present, only two opinions have not involved motions for summary judgment, directed verdict, or judgment n.o.v.
\(^{311}\) Table 8 is found in Appendix A.
\(^{312}\) Again, memorandum opinions and the like have been excluded from the table.
\(^{313}\) See infra app. A, tbl. 8, col. 3.
such as whether the plaintiffs have shown specific causation, whether they have shown by a preponderance of the evidence that Bendectin causes defects, and whether they have presented a qualified expert on the causation issue. Since 1987, all but three of the opinions have been final dispositions, yet another sign of the maturation and impending old age of the Bendectin congregation.
Most of the nontrial opinions are relatively short and deal only with the specific issue under review. The opinions that followed full trials are substantially longer and often review the evidence presented at trial. These opinions reveal more fully the appellate courts' reactions to the body of fact and law that has developed as the congregation of cases has matured. There are nine such opinions. Table 9 presents information about these nine cases. One notable feature of these cases is that all except the Common Issues Trial involved a limb defect injury. While there are epidemiological studies that have found significant correlations between Bendectin and congenital heart defects, pyloric stenosis, and oral clefts, there appears to be no published epidemiological study that has found a statistically significant correlation between Bendectin ingestion and limb defects. Nevertheless, these cases have gone farthest through the appellate process, presumably because they involve the most serious injuries and the largest potential damage awards. Physically, psychologically, and perhaps financially, these tend to be the most devastating injuries for the child and his or her parents. For a contingency fee lawyer, they are the cases most worth pursuing, the cases whose expected value justifies the high costs involved in pursuing recovery.
314. A common example involved plaintiffs with limb deformities who could not show that Bendectin caused their particular injuries because the mother did not ingest the product during the critical period when limb buds were forming.
315. One of these three opinions, Merrell Dow Pharmaceuticals v. Oxendine, 593 A.2d 1023 (D.C. 1991), is not final in the sense that the appellate court has refused to allow the plaintiff to collect compensatory damages until her punitive damages claim has been settled. Id. at 1030.
316. Most trials that have gone to verdict have produced at least one appellate opinion. As far as I can determine, only three of the American trials have not led to an appeal, each having ended in a defense judgment, by either jury verdict, directed verdict, or judgment n.o.v.
317. Table 9 is found in Appendix A.
318. See infra app. A, tbl. 9, at col. 2.
319. There is something especially horrific about a visible limb reduction defect that in some ways sets it apart from other defects. The financial burden created by such defects varies depending on the seriousness of the injury. For seriously deformed children the cost of care can be quite high. For those less seriously injured, however, the out of pocket financial cost may be less than it is for some other injuries, such has heart defects.
320. See Coffee, supra note 212, at 881.
The more recent trials, those that occurred in 1987-1988, resulted in plaintiffs' verdicts. As noted earlier, however, as of this writing only the Oxendine verdict has survived the entire appellate process.\textsuperscript{321} In several cases, the trial judge directed the verdict or entered judgment n.o.v. Most remarkably, in recent cases appellate courts have reversed jury verdicts on which the trial judge has entered judgment. Over time, the appellate courts have taken a very aggressive posture toward the Bendectin Cases.\textsuperscript{322} The following discussion examines this trend within the context of a case congregation analysis.
All Bendectin cases pose the same general causation issue. Viewing the litigation from the congregation perspective, one would expect that over time the courts would come to a more complete understanding of the facts of the cases. A question to be asked about case congregations is whether, at some point, courts are prepared to act on that understanding and make substantive determinations in individual cases based upon knowledge drawn from the congregation as a whole. With respect to Bendectin, the answer is yes.
\textsuperscript{321} See supra note 230 and accompanying text.
\textsuperscript{322} This assertion, especially as it refers to substantive rationing, applies most clearly to appellate opinions following jury verdicts. When ruling on summary judgment motions, appellate courts have exhibited much greater reluctance to cut off plaintiffs' claims based merely on the courts' understanding of the Bendectin science. For example, in DeLuca v. Merrell Dow Pharmaceuticals, Inc., 911 F.2d 941 (3d Cir. 1990), a scientifically sophisticated opinion, the court reversed a summary judgment in favor of Merrell that was based on the trial court's conclusion that the evidence offered by plaintiff's only expert was inadmissible under Federal Rule of Evidence 703 because it was not reasonably relied on by experts in the relevant field. The appellate court objected to the sketchy record upon which this ruling was based:
Following Merrell Dow's lead, the district court did not point to specific deficiencies in the data utilized by Dr. Done and while it cited Rule 703, it made no record-supported, factual finding that Dr. Done had relied upon data experts in the field would have considered unreliable . . . . In only two brief sentences of its opinion did the district court address Dr. Done's statistical analysis of the available epidemiological evidence . . . .
. . . . [I]ts cursory ruling that Done's testimony was inadequate under Rule 703 does not comply with the standard set forth in Japanese [Electronics] Products Litigation [723 F.2d 238 (3d Cir. 1983)], as it was not predicated upon a record-supported, factual finding that Done relied upon identified data not regarded as reliable by experts in the field.
Id. at 944, 953.
Nonetheless, the court noted in conclusion:
[Elven if Dr. Done's epidemiological analysis is found to be admissible, the DeLucas are entitled to get to trial only if the district court is satisfied that this analysis together with any other evidence relevant to the causation issue would permit a jury finding that Amy's birth defects were, when measured against the appropriate burden of proof, caused by her mother's exposure to Bendectin.
Id. at 959.
I have analyzed the way each appellate opinion approaches the evidence on Bendectin. In Table 9 each opinion is coded as exhibiting a legalistic, scientific, or legal-scientific approach to the pharmacological and epidemiological evidence presented at trial. An opinion is coded legalistic if it: (1) reviews the jury verdict and trial judge determinations using a set of legal formulas concerning admissible evidence, the burden of proof, judicial discretion, and the allocation of tasks between judge and jury; and (2) does not look behind the statements of qualified experts to assess the merits of the experts' opinions. An opinion is coded scientific when a court adopts an aggressive, proactive posture toward the evidence and the experts who presented it. These scientific opinions exhibit, to varying degrees, three characteristics: (1) the court places weights on the various types of evidence (in vitro, in vivo, or epidemiological); (2) the court examines and makes a substantive assessment of the evidence upon which an expert or set of experts have based their opinions; and (3) as a part of this assessment the court emphasizes formal scientific criteria of probative value, especially peer review and publication in refereed journals.
As the Bendectin congregation has worked its way through the legal system, opinions have become more scientific, and the courts have
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323. There is a deeper sense in which an opinion can be "scientific." There is a fundamental difference between the process of explanation engaged in by scientists and the process of attribution. See H.L.A. HART & TONY HONORE, CAUSATION IN THE LAW 68-83 (2d ed. 1985). As Hamilton notes, the search for a causal explanation involves an inquiry into the cause of an unexpected or puzzling effect. The outcome is a causal inference, and the key processing rule is a covariation principle. The process of attribution, on the other hand, involves a determination as to whether some effect can be assigned to a cause such that the cause is liable for sanctions. The outcome is a responsibility judgment and the key processing rule is whether someone "could have done otherwise." V. Lee Hamilton, Intuitive Psychologist or Intuitive Lawyer? Alternative Models of the Attribution Process, 39 J. PERSONALITY & SOC. PSYCHOL. 767, 768 (1980). The opinions I have coded "scientific" are not fully scientific in this deeper sense. They still are about the business of attributing responsibility and they sometimes blur the explanation-attribution distinction. It is fair to say, however, that the opinions I have coded "scientific" are in fact more scientific in the explanation sense than are most appellate opinions. Scientists, presumably, will feel comfortable with these opinions. Within the legal community, however, they seem to create a sense of unease.
324. More specifically, appellate opinions have become more scientific when they involve a jury verdict for the plaintiff. In cases where the jury found for the defense, the courts have issued relatively legalistic opinions rejecting a number of plaintiffs arguments as to reversible error at trial. One such case is Wilson v. Merrell Dow Pharmaceuticals, 893 F.2d 1149 (10th Cir. 1990). Even in Wilson, however, the court's position was not purely legalistic. In responding to the plaintiff's contention that the trial court erred in denying their motion for judgment n.o.v. or a new trial, the court said:
Merrell Dow presented expert testimony, which was not contradicted by the Wilsons' experts, that of the approximately forty epidemiological studies of Bendectin, none has shown a statistically significant association between ingestion of the drug
shown less willingness to leave factual determinations to the jury.\textsuperscript{325} Finally, with the development of a body of cases assessing the merits of the evidence, at least one appellate court (and two trial courts ruling on summary judgment motions)\textsuperscript{326} have reverted to a legalistic analysis, but a legalistic analysis with a twist. In these cases, the courts did not review or assess the evidence. They simply accepted the earlier appellate assessment of the evidence as a matter of law. I have coded these opinions legal-scientific. The following passages demonstrate each of the three types of opinion.
(i) \textit{Oxendine}
The clearest example of a legalistic appellate opinion is \textit{Oxendine}.\textsuperscript{327} The court in \textit{Oxendine} reversed the trial judge, who had granted judgment n.o.v. and ordered a new trial on the ground that the jury's verdict for the plaintiff was against the great weight of the evidence. The appellate court relied heavily on \textit{Ferebee v. Chevron Chemical Co.},\textsuperscript{328} a case involving the question whether paraquat exposure causes pulmonary fibrosis. It favorably quoted the following passage from that opinion:
Judges, both trial and appellate, have no special competence to resolve the complex and refractory causal issues raised by the attempt to link low level exposure to toxic chemicals with human disease. On questions such as these, which stand at the frontier of current medical and epidemiological inquiry, if experts are willing to testify that such a link exists, it is for the jury to decide whether to credit such testimony.\textsuperscript{329}
\textsuperscript{325} Randall Terrell originally drew this pattern to my attention, and I am strongly indebted to his insight.
\textsuperscript{326} The two are Daubert v. Merrell Dow Pharmaceuticals, 727 F. Supp. 570 (S.D. Cal. 1989), and Turpin v. Merrell Dow Pharmaceuticals, 736 F. Supp. 737 (E.D. Ky. 1990). Still, trial courts have not uniformly accepted the lead of \textit{Richardson, Brock,} and \textit{Ealy} by finding as a matter of law that Bendectin is not a teratogen. See, e.g., Barton v. Richardson-Merrell, Inc., No. C85-0028J, 1990 U.S. Dist. LEXIS 8010, at *2 (D. Utah May 31, 1990) (directed verdict affirmed, though court emphasized importance of jury trials in Bendectin cases because of complex factual causation questions).
\textsuperscript{327} Oxendine v. Merrell-Dow Pharmaceuticals, 518 A.2d 1100 (D.C. 1986).
\textsuperscript{328} 736 F.2d 1529 (D.C. Cir. 1984).
\textsuperscript{329} \textit{Id.} at 1534, quoted in \textit{Oxendine}, 506 A.2d at 1104.
The *Oxendine* court concluded its review of the trial with the following observation:
Although the trial in this case was long and the evidence complex, the issue before the jury was a straightforward one: did Bendectin cause appellant's birth defects? Expert witnesses testified at length on both sides of that issue. Not surprisingly, their testimony revealed a disagreement as to how the epidemiological and other data should be interpreted. "The case was thus a classic battle of the experts, a battle in which the jury must decide the victor."330
The *Oxendine* opinion, standing as it does at the beginning of the Bendectin congregation, is a clear example of a legalistic opinion. As the congregation matured, more scientific opinions began to emerge.
(ii) *Richardson*
If the *Common Issues Trial* is the most important trial in the Bendectin Cases, the most important appellate opinion is *Richardson v. Richardson-Merrell*.331 Unlike *Oxendine*, in *Richardson* the court affirmed a trial court's grant of judgment n.o.v.332 As in all the opinions coded "scientific," the *Richardson* court exhibited an unwillingness to accept expert opinion without examining its scientific underpinnings:333
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330. *Oxendine*, 506 A.2d at 1110 (quoting *Ferebee*, 736 F.2d at 1535).
331. 857 F.2d 823 (D.C. Cir. 1988).
332. Judge Jackson granted judgment n.o.v. on the basis of Merrell's epidemiological evidence. He concluded, "the literature on Bendectin, individually and in the aggregate, fails to demonstrate Bendectin's teratogenicity to a scientifically acceptable degree of accuracy." *Richardson v. Richardson-Merrell*, 649 F. Supp. 799, 802 (D. Mass. 1986).
333. An early appellate opinion to take a scientific approach to the data is *Lynch v. Merrell-Nat'l Lab.*, 830 F.2d 1190 (1st Cir. 1987). Although *Lynch* did not follow a trial—the trial judge had granted Merrell's motion for summary judgment—it did contain a lengthy discussion of the data. Typical of the opinion was the court's discussion of the proffered testimony of Dr. Shanna Swan:
The plaintiffs also offered the opinion evidence of Shanna Helen Swan, a holder of a 1963 doctorate in statistics from the University of California at Berkeley. Swan had served from 1969 to 1975 as senior biostatistician in a Kaiser Health contraceptive drug study; been associate professor of mathematics at California State University, Sonoma, from 1974 to 1979; directed between 1979 and 1981 the training program in biostatistics and epidemiology at the School of Public Health of the University of California, Berkeley; and, while remaining in this school, has been since 1981 the chief of the Methodology and Analysis Unit, Epidemiology and Statistics, Department of Health Services of the State of California.
Swan's opinion as to causation was based upon her reanalysis of data collected between 1970 and 1978 by the Metropolitan Atlanta Congenital Defects Program. This data had been previously analyzed by four members of the Center for Disease Control . . . . [T]he researchers found "weak" but not causal relationship between the use of Bendectin and amniotic bands and concluded that the study "excluded" a risk of limb reduction from the use of Bendectin.
Swan testified in the multi-district litigation in Cincinnati, and the district court here took note of her testimony as it was excerpted by the defendant . . . . ComparThe question whether Bendectin causes limb reduction defects is scientific in nature, and it is to the scientific community that the law must look for the answer. For this reason, expert witnesses are indispensable in a case such as this. But that is not to say that the court's hands are inexorably tied, or that it must accept uncritically any sort of opinion espoused by an expert merely because his credentials render him qualified to testify . . . .
Next, the court distinguished among various types of evidence. *In vitro* and *in vivo* evidence was relegated to no more than a secondary role when compared to epidemiological studies:
These three types of studies then—chemical, *in vitro*, and *in vivo*—cannot furnish a sufficient foundation for a conclusion that Bendectin caused the birth defects at issue in this case. Studies of this kind, singly or in combination, are not capable of proving causation in human beings in the face of the overwhelming body of contradictory epidemiological evidence. Perhaps mindful of this, the last type of evidence considered by Dr. Done consisted of the epidemiological studies. When such studies are available and relevant, and particularly when they are numerous and span a significant period of time, they assume a very important role in determinations of questions of causation.
Third, the court judged the probative value of evidence, in part by the rules science would use to make such a judgment—whether the results have been published in a refereed journal and whether they have been subjected to peer review: "Only by recalculating the data was Dr. Done able to obtain what he deems a statistically significant result. Moreover, the studies rejected by Dr. Done had been published in peer-reviewed scientific journals, while Dr. Done has neither published his recalculation nor offered them for peer review."
Informing the court's approach to the evidence was its own recognition that *Richardson* did not stand alone, but rather was part of a congregation of cases. On this basis, the court rejected its own previous analysis in *Ferebee* of the proper posture of courts to conflicting scientific evidence:
---
334. *Richardson*, 857 F.2d at 829.
335. *Id.* at 830.
336. *Id.* at 831.
The Richardsons, however, direct attention to our decision in Ferebee v. Chevron Chemical Co. . . . We think reliance thereon is misplaced here. . . . Ferebee stands for the proposition that courts should be very reluctant to alter a jury's verdict when the causation issue is novel and "stand[s] at the frontier of current medical and epidemiological inquiry." If experts are willing to testify to causation in such situations and their methodology is sound, the jury's verdict should not be disturbed.
The case before us, however, is not like Ferebee. Indeed, we are at the other end of the spectrum, a great distance from the "frontier of current medical and epidemiological inquiry." And far from a paucity of scientific information on the oft-asserted claim of causal relationship of Bendectin and birth defects, the drug has been extensively studied and a wealth of published epidemiological data has been amassed, none of which has concluded that the drug is teratogenic. Uniquely to this case, the law now has the benefit of twenty years of scientific study, and the published results must be given their just due.\textsuperscript{337}
In spite of this language, Richardson might be thought of as an early scientific opinion. The court was not fully confident of its separate analysis of the evidence. It presented a significant excerpt from the testimony of Dr. Done, one of the plaintiffs' key experts, designed to demonstrate that even if the court were to accept plaintiffs' expert testimony at face value, the plaintiffs' experts themselves were unable to conclude that Bendectin more likely than not causes birth defects:
Dr. Done himself conceded the import of this literature when he agreed on cross-examination that "in connection with the animal studies . . . because so many substances are teratogenic in animals, before you can make a conclusion that a substance is teratogenic in humans, you must look to the human data." Dr. Done also acknowledged the necessity of a statistically significant association between the drug and its effect in human populations . . .
Dr. Done further admitted that no one who has published work on Bendectin has concluded that there is a statistically significant association between Bendectin and limb reduction defects of the type at issue in this case.\textsuperscript{338}
Based on this analysis of Dr. Done's testimony the court of appeals concluded that his opinion concerning the teratogenicity of Bendectin lacked an adequate foundation and was therefore inadmissible.\textsuperscript{339}
(iii) Brock
The court in Brock v. Merrell-Dow Pharmaceuticals\textsuperscript{340} exhibited no such uncertainty about the reallocation of tasks between judge and jury:
\textsuperscript{337.} \textit{Id.} at 831-32 (footnotes omitted) (emphasis in original).
\textsuperscript{338.} \textit{Id.} at 830-31.
\textsuperscript{339.} \textit{Id.} at 831-32.
\textsuperscript{340.} 874 F.2d 307 (5th Cir.), \textit{modified}, 884 F.2d 166 (5th Cir. 1989).
This case is one of a series of many cases filed against Merrell-Dow by parents of children with birth defects allegedly caused by the ingestion of Bendectin during pregnancy. Academic commentators have dubbed this case and others like it "mass toxic torts." This represents a growing realization among academics, lawyers, and judges that cases such as this present special problems and challenges to traditional ideas regarding the role of the jury as a decision maker.
...
Under the traditional approach to scientific evidence, courts would not peer beneath the reasoning of medical experts to question their reasoning. Confronted, as we now are, with difficult medical questions, courts must critically evaluate the reasoning process by which the experts connect data to their conclusions in order for courts to consistently and rationally resolve the disputes before them.\textsuperscript{341}
As in \textit{Richardson}, the court was particularly concerned with the fact that \textit{Brock} was one of a long string of cases. The \textit{Brock} court, however, added a further justification for a scientific approach to the data. It argued that courts should be more willing to intervene because inconsistent jury verdicts are particularly undesirable in situations where the same facts are tried over and over:
Moreover, in mass torts the same issue is often presented over and over to juries in different cases, and the juries often split both ways on the issue. The effect of this is to create a state of uncertainty among manufacturers contemplating the research and development of new, and potentially lifesaving drugs. Appellate courts, if they take the lead in resolving those questions upon which juries will go both ways, can reduce some of the uncertainty which can tend to produce a sub-optimal amount of new drug development.\textsuperscript{342}
(iv) \textit{Ealy}
Once a body of cases assessing the merits of the evidence has developed, courts may adopt a legalistic analysis that no longer reviews evidence, but accepts earlier appellate assessments of the evidence. The quotation from Junius at the beginning of this essay captures the essence of this phenomenon: "What yesterday was fact, today is doctrine."\textsuperscript{343} \textit{Ealy v. Richardson-Merrell},\textsuperscript{344} is a case in this tradition. In \textit{Ealy}, as in \textit{Brock}, the appellate court took the particularly aggressive step of reversing a trial court judgment entered on a plaintiff's verdict. Unlike \textit{Brock}, however, the \textit{Ealy} court justified this action not by directly attacking the
\textsuperscript{341}. \textit{Id.} at 309-10 (citations omitted).
\textsuperscript{342}. \textit{Id.} at 310.
\textsuperscript{343}. \textit{DEDICATION TO THE ENGLISH NATION}, supra note 1, reprinted in \textit{FAMILIAR QUOTATIONS} at 1001.
\textsuperscript{344}. 897 F.2d 1159 (D.C. Cir.), \textit{cert. denied}, 111 S. Ct. 370 (1990).
plaintiff’s experts or their evidence but by legalistically arguing that it was following the earlier Richardson opinion:
We find that this case is squarely within the binding rule articulated in Richardson: an expert opinion that Bendectin is a human teratogen which caused the plaintiff’s birth defects is without scientific foundation under Federal Rule of Evidence 703 in the face of “a wealth of published epidemiological data” to the contrary. Accordingly such expert opinion is inadmissible. Because we discern no material difference between the evidence presented in Richardson and that presented in this case, we reverse the trial court’s denial of the motion for judgment n.o.v.
. . . .
Because Richardson provides a binding legal precedent governing the admissibility of expert opinion on the ability of Bendectin to cause human birth defects, the Ealys can only avoid that decision by showing that the record here is materially different from that in Richardson. We find no such difference.345
Although the language of the opinion appears to hold out the potential that the plaintiffs might present new or additional data to avoid the precedential effect of Richardson, as a practical matter this is impossible. No in vitro or in vivo study will overcome the body of existing epidemiological evidence. And since Bendectin has not been on the market since 1983, there appear to be no significant data sets remaining that could cast new light on its teratogenic effects. As a matter of law, Bendectin does not cause birth defects.
c. A Defense Bias?
These Bendectin opinions followed in the wake of and were clearly influenced by Judge Weinstein’s similarly “scientific” finding for the defense in the Agent Orange opt-out opinion.346 The Brock case divided the Fifth Circuit along apparently political lines.347 In light of these two circumstances, a natural question is whether what I have called substan-
345. Id. at 1160-62. Daubert v. Merrell Dow Pharmaceuticals, Inc., No. 90-55397, 1991 WL269803 (9th Cir. 1991), was decided too late to be discussed in this article. Daubert is a legal-scientific opinion affirming a summary judgment for the defendant based on the plaintiffs’ inability to show Bendectin caused the plaintiffs’ defects.
346. In re “Agent Orange” Prod. Liab. Litig., 611 F. Supp. 1223 (E.D.N.Y. 1985), aff’d, 811 F.2d 187 (2d Cir. 1987), cert. denied, 487 U.S. 1234 (1988).
347. When the Fifth Circuit ruled en banc against granting a rehearing of the case, the eight judges who voted against a rehearing had been appointed by Presidents Nixon and Reagan, while five of the six judges who dissented had been appointed by President Carter. The other dissenter, Judge Higginbotham, wrote separately, indicating that he would go even farther than the majority in crafting a rule for the judicial scrutiny of expert testimony. John Endicott, Toxic Tort Litigation in the Fifth Circuit: Rulings on the Admissibility of Expert Testimony, 5 Toxics L. Rep. (BNA) No. 10, at 349 (Aug. 8, 1990).
tive rationing is part of a general drift within the federal judiciary toward a more conservative, prodefendant position.\textsuperscript{348} Such a trend may of course play a role in these opinions, but there is reason to believe that the use of substantive rationing is more than a partisan phenomenon. Within the Bendectin Cases, not all the judges issuing scientific or legal-scientific opinions are known conservatives or Republican appointees. The \textit{Ealy} opinion, for example, was authored by Judge Mikva, who at one time was a liberal Democratic congressman from Illinois.
More to the point, perhaps, is the question whether similar decisions will be issued, but favoring plaintiffs rather than defendants. There are reasons to think that such an outcome is unlikely.\textsuperscript{349} From the plaintiffs' point of view, the Bendectin Cases are an example of an unsuccessful mass tort congregation. The plaintiffs have routinely met with defeat, but because of the large number of separate actions the litigation has continued for several years. "Successful" mass tort cases will usually have a different career. In such cases it is frequently the case that by the time the courts have come to a conclusion as to the proper substantive outcome of the congregation, the defendant has been overwhelmed by the litigation. Bankruptcy is a different form of legal rationing—one that supersedes both procedural and substantive judicial rationing. Nevertheless, if substantive rationing is the product of the forces described in this Article, we should expect that on occasion it may be used to the plaintiffs' advantage.
In this regard it is worth noting a recent effort on the part of two federal district court judges from Ohio and Texas to consolidate all asbestos cases. Among other actions taken, the Ohio judge issued an order setting a hearing date for September 1990 in Cleveland to allow the parties to nearly 60,000 outstanding asbestos claims to address the proposed
\textsuperscript{348}. See generally Henderson & Eisenberg, supra note 2.
\textsuperscript{349}. One example, perhaps, is Beshada v. Johns-Manville Prods. Corp., 90 N.J. 191, 447 A.2d 539 (1982), in which the New Jersey Supreme Court ruled that the defendant could not raise a state-of-the-art defense in an asbestos products liability case. The New Jersey court was quickly forced to retreat from this position. See Feldman v. Lederle Lab., 97 N.J. 429, 479 A.2d 374 (1984). In distinguishing \textit{Beshada}, the court in \textit{Feldman} stated that, "[t]he rationale of \textit{Beshada} is not applicable to this case. We do not overrule \textit{Beshada}, but restrict \textit{Beshada} to the circumstances giving rise to its holding." \textit{Id.} at 455, 479 A.2d at 388. One possible interpretation of this statement is that \textit{Beshada} came after a substantial amount of asbestos litigation in which the defendants had tried and failed to make a state-of-the-art defense. By denying the defendants this line of defense in asbestos cases, the court was engaged in substantive rationing. Such rationing was inappropriate in cases such as \textit{Feldman} that raised a relatively new factual question: whether defendants could have known that large doses of tetracycline could discolor the teeth of infants and young children. I wish to thank Michael Green for pointing out the relevance of \textit{Beshada} to the argument in the text.
certification of a class in the United States District Court for the Eastern District of Texas, which would enable the court to:
Declare and apply federal common law that establishes as a matter of law that asbestos-containing insulation products capable of producing dust on use, application, or removal are inherently dangerous in accordance with the governmental ban and the findings of all federal agencies that have addressed the question; and that such products were marketed without an adequate warning and were therefore, defective and unreasonably dangerous.\(^{350}\)
The order, issued after a meeting in August 1990 at the Federal Judicial Center, was reviewed and approved by eight other federal judges, including Judge Weinstein who is overseeing the *Manville Personal Injury Settlement Trust*.\(^{351}\) This effort would have settled all but the specific causation and damages questions in almost all asbestos litigation. This is additional evidence that the pressures created by a congregation of cases, and not party bias, are the primary forces moving courts toward substantive rationing.
**VI. The Larger Context**
Thus far, the argument has focused on the specifics of the Bendectin Cases. In the previous section I discussed a particularly interesting judicial reaction to a case congregation: substantive rationing. In this last section I move beyond the Bendectin Cases to discuss more general circumstances that produce this type of judicial behavior. I conclude with some thoughts on how the judicial response to case congregations may, in turn, affect all tort law.
**A. Substantive Rationing and the Judge-Jury Relationship**
Substantive rationing as evidenced in the Bendectin Cases, and perhaps soon to be seen in the asbestos cases, is the ultimate form of what Galanter calls an *outcome stabilization* effect.\(^{352}\) The effect, however, occurs in a way unanticipated by either Galanter's congregation theory or McGovern's cyclical theory of mass torts.\(^{353}\) In their models something like market forces operate over time to bring stability to the caseload and to case outcomes. The uniform outcome imposed through the use of substantive rationing is different.\(^{354}\) In large part, this type of outcome stabilization seems to be a reaction to the jury trial as an institution.
\(^{350}\) *In re National Asbestos Litigation*, No. 1:90 CV 11,000 (N.D. Ohio Aug. 10, 1990) (consolidation order), quoted in 5 Toxics L. Rep. (BNA) No. 11, at 360-61 (Aug. 15, 1990).
\(^{351}\) *Id.* at 361.
\(^{352}\) Galanter, *Case Congregations*, supra note 8, at 389-90.
\(^{353}\) See McGovern, *supra* note 20, at 482.
\(^{354}\) In Calabresi's terms, it is more like specific deterrence—you cannot bring this type of
Substantive rationing, especially in tort law, reflects distrust of juries and the desire to have clear rules governing the legal consequences of certain facts. It shrinks, as much as possible, the grey area of tort encompassed by the phrase "a mixed question of law and fact." The effort is the judicial equivalent of negligence per se rules, but in the Bendectin Cases the rule is one of no negligence per se. The Bendectin appellate judges who have thus restricted the jury's role are heirs to Holmes' view of the jury and the judge-jury relationship.\textsuperscript{355} In an 1899 article Holmes commented:
I confess that in my experience I have not found juries specially inspired for the discovery of truth. I have not noticed that they could see further into things or from a saner judgment than a sensible and well trained judge. I have not found them freer from prejudice than an ordinary judge would be . . . . I do not believe that the jury have any historic or a priori right to decide any standard of conduct.\textsuperscript{356}
And in \textit{The Common Law}, he expressed his hope regarding the ultimate allocation of duties between judge and jury:
When a case arises in which the standard of conduct, pure and simple, is submitted to the jury, the explanation is plain. It is that the court, not entertaining any clear views of public policy applicable to the matter, derives the rule to be applied from daily experience, as it has been agreed that the great body of the law of tort has been derived. But the court further feels that it is not itself possessed of sufficient practical experience to lay down the rule intelligently. It conceives that twelve men taken from the practical part of the community can aid its judgment. Therefore it aids its conscience by taking the opinion of the jury.
But supposing a state of facts often repeated in practice, is it to be imagined that the court is to go on leaving the standard to the jury forever?\textsuperscript{357}
The answer for Holmes was no. In the well known case of \textit{Baltimore & Ohio Railroad v. Goodman}\textsuperscript{358} he had an opportunity to turn his thoughts into law in the context of a railroad crossing case:
When a man goes upon a railroad track he knows that he goes to a place where he will be killed if a train comes upon him before he is clear of the track . . . . In such circumstances it seems to us that if a driver cannot be sure otherwise whether a train is dangerously near he must stop and get out of his vehicle . . . . It is true . . . that the question
\textsuperscript{355} The following discussion is based upon materials in GEORGE CHRISTIE, CASES AND MATERIALS ON THE LAW OF TORTS 158-64 (1983).
\textsuperscript{356} Oliver Wendell Holmes, Jr., \textit{Law in Science and Science in Law}, 12 HARV. L. REV. 443, 459 (1899).
\textsuperscript{357} OLIVER WENDELL HOLMES, JR., \textit{THE COMMON LAW} 123 (1881).
\textsuperscript{358} 275 U.S. 66 (1927).
of due care very generally is left to the jury. But we are dealing with a standard of conduct, and when the standard is clear it should be laid down once for all by the Courts.\textsuperscript{359}
As students of tort law know, Holmes' effort to ration substantive law failed. The "once for all" rule of stop, look, and listen lasted less than a decade, dismantled by Benjamin Cardozo in \textit{Pokora v. Wabash Railway Co}.\textsuperscript{360} In a roughly similar case on the facts, Justice Cardozo declared that
Standards of prudent conduct are declared at times by courts, but they are taken from the facts of life. To get out of a vehicle and reconnoitre is an uncommon precaution, as everyday experience informs us. Besides being uncommon, it is very likely to be futile, and sometimes even dangerous. If the driver leaves his vehicle when he nears a cut or curve, he will learn nothing by getting out about the perils that lurk beyond. By the time he regains his seat and sets his car in motion, the hidden train may be upon him.
...
Illustrations such as these bear witness to the need for caution in framing standards of behavior that amount to rules of law. The need is the more urgent when there is no background of experience out of which the standards have emerged\textsuperscript{361}
Needless to say, Holmes and Cardozo were speaking of standards of care, while the Bendectin judges are speaking of the causal question. The Holmes-Cardozo exchange deals with a relatively more normative question, while the Bendectin courts are dealing with a relatively more objective one. They share, however, a concern with which facts can give rise to liability. Like Holmes, the judges in \textit{Richardson}, \textit{Brock}, and \textit{Ealy} concluded that on certain given facts there is no room left within which the jury may operate. \textit{Pokora}, however, stands as a warning that in a common-law system facts constantly challenge rules. If Holmes had somehow hoped that eventually each fact situation would have its own pigeonhole and that eventually judges, having considered each, would determine whether it was a "liability" hole or a "nonliability" hole, \textit{Pokora} suggests that there are too many pigeonholes to make this a practicable enterprise for all of the law of torts.
The debate about the acceptability of jury verdicts and the judiciary's obligation to intervene continues. Most frequently, it has been debated in situations where the primary evidence of liability is based on laboratory research and epidemiological studies. Charles Nesson, for example, has argued that Judge Weinstein may have erred in taking the
\textsuperscript{359} \textit{Id.} at 69-70 (citations omitted).
\textsuperscript{360} 292 U.S. 98 (1934).
\textsuperscript{361} \textit{Id.} at 104.
Agent Orange opt out case from the jury solely on the basis of adverse epidemiological evidence.\textsuperscript{362} Others have disagreed with this conclusion and have argued that judicial intervention is essential to control verdicts that appear to depart from “rational efforts to reconstruct reality.”\textsuperscript{363}
From a wider perspective the dispute is not about juries per se, but about discretionary fact finding by judge or jury. When judges sit as fact finders they too can arrive at outcomes that depart from rational efforts to reconstruct reality. Note, however, that Holmes couched his thoughts in terms of a learning process. The judge should determine the standard of care, or perhaps find the facts, when nearly identical situations have been confronted repeatedly. According to Holmes, the pressure to ration law in this way is especially strong when the court finds “the jury oscillating to and fro, and will see the necessity of making up its mind for itself.”\textsuperscript{364} The threat of inconsistent outcomes is always a cost of allowing any case to go to the jury. As Nesson notes, “[t]he force of this consideration depends on one’s assessment of the system’s capacity to rationalize inconsistent verdicts in terms of credibility of witnesses, ability of lawyers, variations among juries, and similar considerations.”\textsuperscript{365} Such rationalizations may prove to be most difficult where congregations of cases present the same factual question. Inconsistent verdicts by one-shot juries lacking the benefit of the learning process that a congregation of cases provides may seem offensive to a judiciary that, as a collective entity, has tried the same question many times. Therefore, we are especially likely to observe substantive rationing as a congregation matures.\textsuperscript{366} This is all the more true when the central factual question is
\textsuperscript{362}. Charles Nesson, \textit{Agent Orange Meets the Blue Bus: Factfinding at the Frontier of Knowledge}, 66 B.U. L. Rev. 521, 526, 537-58 (1986) [hereinafter Nesson, \textit{Factfinding at the Frontier}]. In part, Nesson’s concern arises from his distinction between verdicts based on “a determination of what actually happened” and verdicts that are only “statements about the evidence.” Charles Nesson, \textit{The Evidence or the Event? On Judicial Proof and the Acceptability of Verdicts}, 98 Harv. L. Rev. 1357, 1361 (1985). Under this view, outcomes based solely on epidemiological studies are statements about the evidence and ought not overcome jury verdicts that may be based on a determination of what actually happened.
\textsuperscript{363}. Ronald J. Allen, \textit{Rationality, Mythology, and the ‘Acceptability of Verdicts’ Thesis}, 66 B.U. L. Rev. 541, 562 (1986).
\textsuperscript{364}. Holmes, \textit{supra} note 357, at 123.
\textsuperscript{365}. Nesson, \textit{Factfinding at the Frontier}, \textit{supra} note 362, at 537. See, e.g., Dempsey v. Addison Crane Co., 247 F. Supp. 584 (D.D.C. 1965). In \textit{Dempsey}, two plaintiffs injured in the same crane accident had their nonjury cases tried separately and experienced opposite outcomes. In an attempt to explain this outcome, the court was happy to be able to report that “the evidence in the two actions was not the same.” \textit{See id.} at 589. In Bendectin cases tried since 1985, however, the evidence on the question of general causation has been basically the same.
\textsuperscript{366}. Concern with inconsistent jury verdicts is part of the reason the trial court in Lynch v. Merrell-Nat’l Lab., 646 F. Supp. 856, 862 (D. Mass. 1986), \textit{aff’d}, 830 F.2d 1190 (1st Cir.
one of general causation, and therefore, by definition, the identical issue is posed time after time. Substantive rationing of law is a response to being repeatedly presented with the same fact pattern and having to determine whether the correct outcome is liability or nonliability. As the following discussion illustrates, this phenomenon is not restricted to the law of torts.
B. Substantive Rationing in the School Desegregation Cases
In the several cases leading up to *Brown v. Board of Education*,\(^{367}\) the Supreme Court ruled in favor of the plaintiffs in large part on the basis of a factual determination that the separate schools being run by the state were not equal.\(^{368}\) In the four cases comprising *Brown*, the plaintiffs presented social science testimony designed to prove that separate schools caused psychological harm to black children.\(^{369}\) Chief Justice Warren responded to this evidence with the following statement: "Whatever may have been the extent of psychological knowledge at the time of *Plessy v. Ferguson*, this finding [that state mandated segregation has a tendency to retard the educational and mental development of black children] is amply supported by modern authority."\(^{370}\)
Defendant school boards, however, continued to attack this factual assertion, arguing that separate may not be worse, educationally or psychologically. In this congregation of cases, as in the Bendectin Cases, the challenge soon fell on deaf ears. Appellate courts refused to hear experts on the issue, rejecting the testimony as a factual attack on *Brown*.\(^{371}\) One expert for a school district made the following comment in the face of this substantive rationing by the courts:
The legal doctrine is cast in concrete, and that's been one of my frustrations. It's as though the evidence is really immaterial . . . . I remember in one case I was talking with the judge from the witness box, and questioning some of the testimony in *Brown*. He asked me, "Are
\(^{367}\) 347 U.S. 483 (1954).
\(^{368}\) See Sweatt v. Painter, 339 U.S. 629, 633-34 (1950); McLaurin v. Oklahoma State Regents, 339 U.S. 637, 640-41 (1950); Missouri ex rel. Gaines v. Canada, 305 U.S. 337, 351-52 (1938).
\(^{369}\) Richard Kluger, *Simple Justice: The History of Brown v. Board of Education and Black America's Struggle for Equality* 315-45, 480-507, 700-47 (1976).
\(^{370}\) *Brown*, 347 U.S. at 494.
\(^{371}\) See, e.g., Jackson Mun. Sch. Dist. v. Evers, 357 F.2d 653, 655 (5th Cir. 1966); Stell v. Savannah-Chatham County Bd. Educ., 318 F.2d 425, 427 (5th Cir. 1963), cert. denied sub nom. Gibson v. Harris, 376 U.S. 908 (1964).
you questioning the facts of Brown?" And I said "Yes," and he said, "Well, that's not admissible for you to be doing that."372
Again, of course, the parallel should not be overdrawn. Ultimately, in the school desegregation cases courts simply did not care whether segregated schools psychologically harmed or benefitted minority students. Presumably, in the Bendectin Cases the courts still care whether the drug causes birth defects. But in both situations, the rationing response of the courts must be understood, in part, as a natural consequence of the fact that they were adjudicating cases that came relatively late in a congregation of similar cases. In the school desegregation cases and in the Bendectin Cases, substantive rationing is the ultimate rationing weapon.
VII. Conclusion: Case Congregations and the Interaction of Macro and Micro Processes
This Article began by noting Henderson and Eisenberg's assertion that all of products liability law is changing in a prodefendant direction and that the Bendectin opinions are an example of this process.373 Their data indicate that the single most important component in increased defense success in products liability cases is an increased ability to win on pretrial motion, a type of judicial rationing.374 Henderson and Eisenberg explicitly leave for a later article their thoughts as to why this "quiet revolution" is occurring.375 Implicit in their discussion, however, is the argument that large scale, macro changes are occurring within the law of torts, causing the judiciary to adopt a more prodefendant position.
This Article's micro level analysis, which attempts to explain case outcomes in terms of the internal dynamics of the Bendectin Cases as a congregation, can be viewed as a rival hypothesis to the thesis that the change in the courts' attitude toward Bendectin suits is to be understood as part of a larger judicial retreat from proplaintiff positions. From this perspective, the future research agenda should include efforts to determine whether what we have observed in the Bendectin Cases is merely a cohort effect (a difference to be found between all products liability cases decided in 1985 and all such cases decided in 1990), as opposed to a history effect (evidencing the maturation of the Bendectin congregation). In this sense, macro and micro explanations may be seen as rival hypotheses for the findings.
372. Chesler et al., supra note 36, at 430.
373. Henderson & Eisenberg, supra note 2, at 491.
374. Id. at 531, 548.
375. Id. at 482.
There is, however, another more useful perspective, one that integrates rather than divides. Macro research on large scale patterns of change that excludes an analysis of the micro processes that generate those patterns often leads to incomplete, disembodied theories of legal change.\textsuperscript{376} Theories of micro processes enrich our theories of larger processes by placing them within the context of individual human action.\textsuperscript{377}
From this latter perspective, the present Article suggests that the large-scale change reported by Henderson and Eisenberg can be understood, at least in part, as a product of the growth of mass torts and the micro processes generated within individual congregations of cases. That mass torts have changed the law is now beyond doubt. As noted earlier, they have raised a new set of causal conundrums and forced us to engage in a new round of theorizing about the causal question.\textsuperscript{378} They have raised new issues with respect to damages.\textsuperscript{379} By causing growth in some parts of the tort caseload, they have helped precipitate another round of legislative "tort reform."\textsuperscript{380} They have reinvigorated the search for alternatives to the traditional tort system.\textsuperscript{381} This Article suggests that they may also have influenced the judiciary's approach to tort law by creating incentives for both procedural and substantive rationing.\textsuperscript{382}
The Bendectin Cases alone would not have such an effect, but mass torts in general have become the primary growth area of tort law, constituting an increasingly larger part of the total caseload.\textsuperscript{383} Their importance in terms of the judicial time they consume is even greater than is suggested by their percentage of the overall caseload. Each mass tort is a
\textsuperscript{376}. Sanders, \textit{supra} note 46, at 241.
\textsuperscript{377}. James Coleman, \textit{Foundations of Social Theory} 18-23 (1990).
\textsuperscript{378}. See Rosenberg, \textit{supra} note 215, at 855-59.
\textsuperscript{379}. Mark Peterson et al., \textit{Punitive Damages: Empirical Findings} 5-31 (1987).
\textsuperscript{380}. Sanders & Joyce, \textit{supra} note 89, at 212.
\textsuperscript{381}. See Stephen Sugarman, \textit{Doing Away With Personal Injury Law} (1989) (surveying contemporary attempts to reform tort law and advancing several new proposals).
\textsuperscript{382}. The Fifth Circuit, home of \textit{Brock}, has perhaps been most aggressive in applying substantive rationing to cases that are not part of a congregation. \textit{See, e.g.}, Christophersen v. Allied Signal Corp., 902 F.2d 362 (5th Cir. 1990), aff'd en banc, 939 F.2d 1106 (5th Cir. 1991). In \textit{Christophersen}, the Fifth Circuit affirmed the district court's grant of summary judgment for the defendant against a claim that the plaintiff had not been adequately warned of the cancer causing potential of chemicals and other materials used in the manufacture of nickel-cadmium batteries. The district court had granted summary judgment after reviewing the qualifications of plaintiff's sole expert witness and the factual basis of that expert's opinion on causation. \textit{Id.} at 364.
\textsuperscript{383}. Galanter, \textit{Life and Times of the Big Six}, \textit{supra} note 242, at 937; Deborah Hensler, \textit{Trends in Tort Litigation: Findings from the Institute for Civil Justice's Research}, 48 Ohio St. L.J. 479, 480-83, 495-96 (1987).
congregation, subject to similar pressures to ration legal resources.\textsuperscript{384} Moreover, there are types of cases rarely thought of as mass torts that exhibit some, or even most, of the features of mass torts. Specifically, many products liability design defect cases, another growth area of tort law,\textsuperscript{385} present the courts with the same problems: repetitive trial of similar facts; substantial consumption of time; and the likelihood of inconsistent jury verdicts.\textsuperscript{386} These problems are part of the congregational effects that caused "scientific" opinions like \textit{Richardson}, \textit{Brock}, and \textit{Ealy} to be written. In the Bendectin Cases, the problems have driven the judiciary to play an even more active role in rationing law than suggested by Galanter's congregation theory. Outcome stabilization has come not through the market forces of litigation but through the central planning of the federal judiciary.
In sum, this Article confirms the insights of Emerson and Galanter, that the analysis of litigation from a perspective other than that of the individual, atomized case offers us a new and better understanding of case processing and case outcomes. The Bendectin congregation does exhibit many of the features hypothesized by Galanter, and thereby demonstrates the value of this line of analysis. But it holds out the potential to do even more. The analysis of this and other congregations may provide a new window into the way in which, over time, individual decisions of lawyers and judges create fundamental shifts in the common law.
\textsuperscript{384}. The mass inoculation cases (DTP, Polio, and Swine Flu) provide one example. In these cases, courts became increasingly reluctant to allow cases to go to the jury. \textit{E.g.}, Johnson v. American Cyanamid Co., 239 Kan. 279, 718 P.2d 1318 (1986) (trial court erred in submitting issue of polio vaccine manufacturer's liability to jury). Ultimately, legislative rationing occurred in the form of the National Childhood Vaccine Injury Act of 1986, 42 U.S.C. §§ 300aa-1 to -34 (1988).
\textsuperscript{385}. Design defect cases appear to have risen over time as a percentage of all products liability cases. \textit{Compare} 3 INTERAGENCY TASK FORCE ON PRODUCT LIABILITY, U.S. DEP'T OF COMMERCE, PRODUCT LIABILITY: FINAL REPORT OF THE LEGAL STUDY 84-85 (1977) (reporting that 39% of all products liability cases were design defect cases) \textit{with} ALLIANCE OF AM. INSURERS, A STUDY OF LARGE PRODUCT LIABILITY CLAIMS CLOSED IN 1985 (1985) (finding that defective design was the applicable theory in 75% of the cases).
\textsuperscript{386}. Products liability warning defect cases can also result in the repetitive trial of similar facts, with the attendant potential for inconsistent verdicts. In fact, some of the most important mass tort case congregations, such as asbestos and the polio vaccine, are litigated as warning defect cases. For a critique of this approach, see James A. Henderson & Aaron Twerski, \textit{Doctrinal Collapse in Products Liability: The Empty Shell of Failure to Warn}, 65 N.Y.U. L. REV. 265 (1990). With respect to these and other warning cases, Henderson and Twerski "urge that judges engage more aggressively in both lawmaking and law-applying." \textit{Id.} at 326.
## Appendix A
### Tables
#### Table 1
**Bendectin Animal Studies**
| Author | Year (1) | Animal | Exp/Con N (3) | Drug (4) | Effect? (5) | Defect Type (6) | Dose (7) | Dose Resp (8) | Auth Conc. (9) |
|----------|----------|------------|---------------|----------|-------------|-----------------|----------|----------------|----------------|
| 1. Gibson| 1968 | Rabbits | 36/13 | Do | No | — | (100) | No | No |
| | | Rabbits | 22/10 | Di | No | — | (100) | No | No |
| | | Rabbits | 38/14 | B3 | Yes | Other<sup>a</sup> | 6 | Yes | No |
| | | Rats | 88/39 | Do | No | — | (100) | No | No |
| | | Rats | 90/30 | Di | Yes | Other<sup>b</sup> | 10 | No | No |
| | | Rats | 36/24 | B3 | No | — | (30) | No | No |
| 2. Khera | 1975 | Rats | 22/10 | Py | No | — | (80) | No | No |
| 3. Gibson| 1975 | Rats | 45/15 | B2 | Yes | Other<sup>c</sup> | 15 | No | No |
| 4. Gibson| 1975 | Rabbits | 45/15 | B2 | No | — | (150) | No | No |
| 5. McBride| 1981 | Chicken Eggs | 252/96 | Di | Yes | Other<sup>d</sup> | — | Yes | Yes |
| 6. Hendrickx (8)| 1982 | Monkeys | 12/0 | B2 | Yes | Heart | 7 | ? | Maybe |
| 7. Hendrickx (9)| 1983 | Monkeys | 20/0 | B2 | Yes | Heart | 7 | ? | Maybe |
| 8. McBride| 1984 | Rabbits | 48/8 | Do | Yes | Limb, Skeletal Heart | 20 | Yes | Yes |
| 9. Hendrickx (11)| 1985a | Monkeys | 74/12 | B2 | Yes | — | 7 | No | Yes |
| 10. Hendrickx (12)| 1985b | Monkeys | 69/21 | B2 | No | — | (13) | No | No |
| 11. Tyl | 1988 | Rats | 116/53 | B2 | Yes | Skeletal Death | 200 | Yes | No |
**Information Reported (by column number):**
(1) Year in which the research was published.
(2) Animals studied: white rats, rabbits, chicken eggs, or monkeys.
(3) Number of mothers in the experimental and control groups.
(4) Drug tested:
- Di = dicyclomine hydrochloride
- Do = doxylamine succinate
- Py = pyridoxine hydrochloride
- B2 = two ingredient Bendectin (doxylamine succinate and pyridoxine hydrochloride)
- B3 = three ingredient Bendectin.
(5) Did the use of the drug appear to be related to some teratogenic effect?
(6) Type of effect: heart, limb, skeletal, death, other (see below).
(7) Minimum dose at which effect was observed. Dosages are expressed in mg/kg/day except in study 3. Where there was no observed effect this column reports (in parentheses) the maximum dose rate in the experiment. For purposes of comparison, the therapeutic dose for pregnant women was 2 to 4 tablets a day, each tablet containing 10mg of each ingredient. The dose for a woman weighing 60kg (132 lbs.) taking 4 tablets per day is .67mg/kg/day per Bendectin ingredient. Unlike the rest of the studies, Study 5—the 1981 McBride Study—involved injecting dicyclomine hydrochloride (or a saline solution for the controls) into Leghorn chicken eggs.
(8) Was there a dose-response relationship?
(9) Author’s conclusion as to whether the drug tested has teratogenic effects?
**Other Effects (Column 6):**
- a. Contracted tendons.
- b. Focal hematomas.
- c. Kidney pelvic dilation, subcutaneous hematomas.
- d. Gastroschisis, deformed foot, micromelia, encephaly.
## Table 2
**Bendectin Epidemiological Studies**
| First Author | Year | Type of Study* | Focus on Bendectin | Level of Stat. Anal.† | Author's conclus. | Data Base‡ |
|--------------|------|----------------|--------------------|-----------------------|------------------|------------|
| 1. Le Vann | 1963 | Cohort | No | 1 | No | 24 |
| 2. Bunde | 1963 | Cohort | Yes | 1 | No | 9 |
| 3. Warneke | 1963 | Other | Yes | 1 | No | 27 |
| 4. GPRG | 1963 | Cohort | No | 2 | No | 10 |
| 5. Klees | 1964 | Other | Yes | 1 | No | 28 |
| 6. Farrar | 1964 | Case | No | 2 | No | 23 |
| 7. Yerushalmy| 1965 | Cohort | No | 2 | No | 6 |
| 8. Banister | 1970 | Other | No | 1 | No | 25 |
| 9. Nelson | 1971 | Case | No | 2 | No | 11 |
| 10. Milkovitch| 1976 | Cohort | No | 3 | No | 6 |
| 11. Newman | 1977 | Cohort | No | 1 | No | 20 |
| 12. Shafaro | 1977 | Cohort | Yes | 5 | No | 1 |
| 13. Greenberg| 1977 | Case | No | 1 | No | 15 |
| 14. Smith | 1977 | Case | No | 1 | No | 25 |
| 15. Smithells | 1978 | Cohort | Yes | 1 | No | 17 |
| 16. Rothman | 1979 | Case | No | 3 | Maybe | 4 |
| 17. Michaelis| 1980 | Cohort | Yes | 4 | No | 26 |
| 18. Harron | 1980 | Other | Yes | 1 | No | 12 |
| 19. Jick | 1981 | Cohort | No | 3 | No | 7 |
| 20. Fleming | 1981 | Cohort | Yes | 3 | No | 13 |
| 21. Clarke | 1981 | Case | Yes | 3 | No | 16 |
| 22. Correy | 1981 | Cohort | Yes | 1 | No | 20 |
| 23. Cordero | 1981 | Case | Yes | 4 | Maybe | 8 |
| 24. Mitchell | 1981 | Case | Yes | 3 | No | 3 |
| 25. Gibson | 1981 | Cohort | Yes | 5 | Maybe | 22 |
| 26. Eskenazi | 1982 | Case | Yes | 5 | Maybe | 5 |
| 27. David | 1982 | Other | Yes | 1 | No | 19 |
| 28. Morelock | 1982 | Cohort | Yes | 4 | No | 2 |
| 29. Golding | 1983 | Case | Yes | 4 | Maybe | 14 |
| 30. Aselton | 1983 | Cohort | Yes | 4 | No | 7 |
| 31. Michaelis| 1983 | Cohort | No | 3 | No | 26 |
| 32. Mitchell | 1983 | Case | Yes | 4 | No | 3 |
| 33. Aselton | 1984 | Cohort | Yes | 3 | Maybe | 7 |
| 34. McCredie | 1984 | Case | Yes | 3 | No | 21 |
| 35. Zierler | 1985 | Case | Yes | 4 | No | 4 |
| 36. Elbourne | 1985 | Case | Yes | 4 | No | 18 |
| 37. Aselton | 1985 | Cohort | No | 3 | No | 7 |
| 38. Shitono | 1989 | Cohort | Yes | 3 | No | 1 |
| 39. Erickson | 1991 | Case | No | 4 | No | 8 |
*a.* Type of Study (Column 2):
- Case = Case-Control study
- Cohort = Cohort study
- Other = A study that is neither of the above.
*b.* Levels of Statistical Analysis (Column 4):
- 1 = None
- 2 = Chi-square only
- 3 = Chi square and confidence interval
- 4 = Chi-square, confidence interval and something additional but no regression analysis.
- 5 = 3 or 4 plus a multiple regression analysis to control for co-variants.
*c.* For an explanation of databases, see *infra* app. E.
Table 3
Whether or Not Studies Focus on Bendectin by Whether They Are Published Before 1980 or Later
| Does the Study Focus on Bendectin? | Published Before 1980 | Published 1980 or Later |
|-----------------------------------|-----------------------|-------------------------|
| No | 11 (69%) | 4 (17%) |
| Yes | 5 (31%) | 19 (83%) |
| Total | 16 (100%) | 23 (100%) |
$X^2 = 10.52, \ df = 1, \ p < .01, \ N = 39$
Table 4
Whether or Not Studies Report More Than a Chi-Square by Whether They Are Published Before 1980 or Later
| Does the Study Report More Than a Chi-Square? | Published Before 1980 | Published 1980 or Later |
|-----------------------------------------------|-----------------------|-------------------------|
| No | 13 (81%) | 3 (13%) |
| Yes | 3 (19%) | 20 (87%) |
| Total | 16 (100%) | 23 (100%) |
$X^2 = 18.14, \ df = 1, \ p < .001, \ N = 39.$
Table 5
Bendectin Related Cases Filed in State and Federal Courts, 1977-1988
| Year | State Courts | Federal Courts |
|------------|--------------|----------------|
| 1977-79 | 1 | 1 |
| 1980 | 15 | 22 |
| 1981 | 32 | 50 |
| 1982 | 43 | 73 |
| 1983 | 40 | 171 |
| 1984 | 151 | 420 |
| 1985 | 212 | 594 |
| 1986 | 44 | 40 |
| 1987-1988 | 20 | 23 |
Table 6
Bendectin Trials, 1980-1991
| Year | Number of Trials |
|------|------------------|
| 1980 | 1 |
| 1981 | 1 |
| 1982 | 0 |
| 1983 | 1 |
| 1984 | 0 |
| 1985 | 2 |
| 1986 | 8 |
| 1987 | 11 |
| 1988 | 3 |
| 1989 | 0 |
| 1990 | 2 |
| 1991 | 1 |
| Total| 30 |
## Table 7
### Trial Court Cases on Bendectin
| Name | Year Pub? | Verdict | Issue | Jury | Proc or Sub? | If motion, mover? | Winner | Final Disposition | Type |
|---------------|-----------|---------|-------|------|--------------|-------------------|--------|-------------------|------------|
| Alexander | 1982 | Yes | No | 1, 0<sup>a</sup> | P | Both | P | N | Several |
| MDL (JPML) | 1982 | Yes | No | 14 | P | — | — | N | Several |
| Lake | 1982 | Yes | No | 1 | P | D | P | N | ? |
| MDL (Ohio) | 1982 | Yes | No | 1<sup>b</sup> | P | D | D | Y | Several |
| Koller | 1983 | No | No | 4(10)| S | D | P | N | Limb |
| MDL (Ohio) | 1983 | Yes | No | 0<sup>c</sup> | P | P | P | N | Several |
| MDL (JPML) | 1984 | Yes | No | 14 | P | D | P | N | Several |
| MDL (Ohio) | 1984 | Yes | No | 0<sup>d</sup> | P | D | D | N | Several |
| MDL (JPML) | 1984 | Yes | No | 14 | P | D | P | N | Several |
| MDL (JPML) | 1985 | Yes | No | 14 | P | — | — | N | Several |
| MDL (Ohio) | 1985 | Yes | Yes(D)| 6 | S | P | D | Y | Several |
| MDL (Ohio) | 1985 | No | No | 0<sup>e</sup> | P | — | — | N | Several |
| Ramirez | 1985 | No | No | 0<sup>f</sup> | P | P | D | N | Limb |
| MDL (Ohio) | 1986 | No | No | 14 | P | D | P | N | Limb |
| Ramierz | 1986 | Yes | No | 7 | S | D | D | Y | Limb |
| MDL (Mich) | 1986 | No | No | 13 | S | D | P | N | Several |
| Heath | 1986 | Yes | No | 0<sup>g</sup> | S | D | D | Y | Several |
| Hagaman | 1986 | No | No | 12 | P | D | P | N | ? |
| Lanzilotti | 1986 | No | Hung | 5(9 & 10) | S | D | P | N | Limb,blind|
| Raynor | 1986 | Yes | No | 15<sup>b</sup> | S | Both | D | N | Limb |
| Will | 1986 | No | Yes(D)| 6 | S | P | D | Y | Limb |
| Ramirez | 1986 | Yes | No | 4(10)| S | D | P | N | Limb |
| Lynch | 1986 | Yes | No | 13,10| S | D | D | Y | Congenital|
| Richardson | 1986 | Yes | Yes(P)| 6 | S | D | D | Y | Limb |
| Bohrer | 1987 | Yes | No | 0 | P | D | P | N | ? |
| Whelan | 1987 | Yes | No | 0<sup>h</sup> | S | D | D | N | ? |
| Raynor | 1987 | No | No | 0<sup>i</sup> | P | D | D | N | Limb |
| Rosen | 1987 | Yes | Yes(D)| 0<sup>j</sup> | P | P | P | N | Heart |
| McFeggan | 1987 | No | No | 2<sup>k</sup> | P | P | P | N | ? |
| Coyle | 1987 | Yes | No | 7 | S | D | D | Y | Limb |
| Engel | 1987 | No | No | 8 | S | D | D | Y | Intestine |
| Shelhamer | 1987 | No | No | 2<sup>m</sup> | P | P | P | N | ? |
| Hagaman | 1987 | No | No | 0<sup>n</sup> | Pe&S | D | Both | N | ? |
| Rosen | 1987 | Yes | Yes(D)| 6 | S | P | D | Y | Heart |
| Ealy | 1987 | No | No | 0<sup>o</sup> | P | D | P | N | ? |
| Rosen | 1987 | No | Yes(D)| 6<sup>p</sup> | S | P | D | Y | Heart |
| Ealy | 1987 | No | Yes(P)| 6 | S | D | P | Y | Limb |
| Hagaman | 1987 | No | No | 4<sup>q</sup> | S | D | P | N | ? |
| Monahan | 1987 | No | No | 4 | S | D | D | Y | Limb |
| St. Amand | 1988 | Yes | No | 0<sup>r</sup> | P | D | D | N | Multiple |
| Hagaman | 1988 | No | No | 12 | P | D | P | N | ? |
| Bernhardt | 1988 | Yes | No | 4(9) | S | D | D | Y | Limb |
| Ealy | 1988 | Yes | No | 0 | P | D | — | Y | Limb |
| Vines | 1988 | No | No | 4<sup>s</sup> | S | D | D | Y | Limb |
| Hagen | 1988 | Yes | No | 4 | S | D | Both<sup>t</sup> | N | Limb |
| Vines | 1988 | No | No | 4<sup>u</sup> | S | P | D | Y | Limb |
| Hull | 1988 | Yes | No | 4(9 & 10) | S | D | D | Y | Limb |
| Daubert | 1989 | Yes | No | 4(10)| S | D | P | N | Limb |
| Ambrosini | 1989 | No | No | 4(10)| S | D | D | Y | Limb |
| Cudarian | 1989 | Yes | No | 4(9) | S | D | D | Y | Spinal |
| Daubert | 1989 | Yes | No | 4(10)<sup>v</sup> | S | D | D | Y | Limb |
| MDL (Mich) | 1990 | Yes | No | 4(10 & 13) | S | D | P | N | Multiple |
| Turpin | 1990 | Yes | No | 4(10 & 11) | S | D | D | Y | Limb |
| Longmore | 1990 | Yes | No | 4(10) | S | D | P | N | Limb |
Table 7 (Continued)
| | | | | | | | |
|---|---|---|---|---|---|---|---|
| 55. Barton | 1990 | No | Hung | 5(10) | S | D | Y | Limb |
| 56. DeLuca | 1990 | No | No | 4(10 & 11) | S | D | D | Y | Limb |
| 57. Whelan | 1990 | No | No | 4(11) | S | D | D | Y | ? |
| 58. Lee | 1991 | Yes | No | 4(11) | S | D | D | Y | Limb |
Issues (Column 4):
(0) = Other
(1) = Forum non conveniens
(2) = Personal jurisdiction
(3) = Complaint fails to state a cause of action (Note—this might be one of several causes of action.)
(4) = Summary Judgment
(5) = Directed Verdict
(6) = JNOV/New Trial
(7) = Dismissal of pharmacist or physician defendant
(8) = Statute of Limitations
(9) = Specific causation—timing of ingestion
(10) = Failure to prove general causation by a preponderance of the evidence
(11) = Failure to present any qualified expert at trial on the general causation question, summary judgment (this is case 22,30)
(12) = Motion for bifurcation, trifurcation
(13) = Collateral Estoppel
(14) = Transfer of cases in and out of consolidated litigation
(15) = Multiple
NOTE: Codes written like 4(10) indicate the type of ruling and the reason why that ruling was made; thus, in the example, a summary judgment was granted or denied based on an argument that the plaintiffs had failed to prove general causation.
Particularities of Posture (Column 4 superscript annotations):
a. Request to transfer Ohio location of Merrell.
b. Declares U.S. courts forum non conveniens for British claimants and others who survived a similar motion in Alexander (I).
c. Discovery allowed from Merrell companies abroad.
d. Class certification.
e. Lead counsel asking for money for discovery materials.
f. Plaintiffs move to return to state court because Defendant's petition for removal was tardy.
g. Suit by military personnel against government barred.
h. Plaintiff moves for offensive collateral estoppel on causation question/loses; Defendant pharmacy moves to dismiss/ wins; Defendant Merrell moves for summary judgment on punitive damages and fraud count/wins.
i. Defense motion to allow statistical evidence in only if it is statistically significant (.05%) granted.
j. Quashed deposition.
k. Motion by Plaintiff to examine notes of a juror after verdict for Defendant.
l. Plaintiff's motion to remand to state court granted. Defendant claims Plaintiff added pharmacies to destroy complete diversity, and Defendant argues this was done without hope of recovery against them.
m. Mother's derivate action time barred.
n. Defendant makes 8 pretrial motions: (1) Exclusion of Thalidomide—denied with caution; (2) inadmissibility of early Jinks' epidemiology studies later repudiated by Jinks in print in JAMA—denied with caution; (3) warning on UNISOM (which has doxylamine) not to be used by pregnant women—denied; (4) admissibility of published epidemiological studies—denied in advance of testimony showing their relevance and probativeness; (5) exclusion of other Bendectin related birth defects—denied; (6) exclusion of DERs and In vitro studies—sustained as to DERs not rat studies; (7) exclusion of deposition on Burde-Bower—sustained as it isn't used by Defendant; and (8) exclusion of evidence on the cessation of bendectin production—sustained.
o. Objection to way jury was selected.
p. Motion to reconsider denial of new trial. Court now allows Plaintiff to photocopy jury notes and examine them further.
q. Motion by Defendant for summary judgment on punitive damages and fraud claim.
r. Defense motion to discover mother's medical records—sustained.
s. No evidence mother ever took Bendectin—25 years before filing suit.
t. Defendant asks for summary judgment—sustained as to punitive damages, but not as to causation.
u. Motion to reconsider summary judgment rejected.
v. This opinion granted defendant a summary judgment in Daubert and Schuller v. Merrell Dow.
### Table 8
**Appellate Cases on Bendectin**
| Name | Year (1) | Trial Below (2) | Issue (3) | Appellant (4) | Winner on Appeal (5) | Final Disposition at This Level (6) |
|---------------|----------|-----------------|-----------|----------------|-----------------------|-------------------------------------|
| Mekdeci | 1983 | Yes | — | P | D | No |
| Albertson | 1983 | No | 3 | P | P | No |
| Dowling | 1984 | No | 1 | P | D | Yes |
| Koller | 1984 | No | 9 | D | P | No |
| MDL (Ohio) | 1984 | No | 9 | — | — | No |
| Koller | 1985 | No | 9 | D | D | No |
| L. Thompson | 1985 | No | 2 | P | P | No |
| Watson | 1985 | No | 1 | P | D | Yes |
| Oxendine | 1986 | Yes | — | D | P | Yes |
| L. Thompson | 1986 | No | 1 & 2 | P | D | Yes |
| Dralle | 1986 | No | 3 | P | P | No |
| Chambers | 1986 | No | 1 | P | D | Yes |
| Makripodis | 1987 | No | 4 | P | D | No |
| Urland | 1987 | No | 5 | P | D | Yes |
| Lynch | 1987 | No | 7 | P | D | Yes |
| Chambers | 1988 | No | 1 | P | D | Yes |
| Coyle | 1988 | No | 4 | P | D | Yes |
| Dralle | 1988 | No | 3 | P | D | No |
| Martin | 1988 | No | 6 | P | D | Yes |
| MDL (Ohio) | 1988 | Yes | — | P | D | Yes |
| Richardson | 1988 | Yes | — | P | D | Yes |
| J. Thompson | 1988 | No | 8 | P | D | Yes |
| Brock | 1989 | Yes | — | D | D | Yes |
| Coggrove | 1989 | Yes | — | P | D | Yes |
| Blum | 1989 | Yes | — | D | D | No |
| Oxendine | 1989 | No | 7 & 8 | D | P | Yes |
| Vines | 1989 | No | 6 | P | D | Yes |
| Wilson | 1990 | Yes | — | P | D | Yes |
| Bernhardt | 1990 | No | 6 | P | D | Yes |
| Ealy | 1990 | Yes | — | D | D | Yes |
| Herring | 1990 | No | 9 | P | D | Yes |
| Obiago | 1990 | No | 6 & 8 | P | D | Yes |
| DeLuca | 1990 | No | 8 | P | P | No |
| Coyle | 1991 | No | 4 | P | D | Yes |
| Ambrosini | 1991 | No | 7 & 8 | P | D | Yes |
| Oxendine | 1991 | Yes | 9 | D | D | No |
**Issue on Appeal (Column 4):**
(1) = Forum non conveniens
(2) = Federal jurisdiction
(3) = Complaint fails to state a cause of action. *(Note—this might be one of several causes of action.)*
(4) = Dismissal of pharmacist or physician defendant
(5) = Statute of Limitations
(6) = Specific causation—timing of ingestion
(7) = Failure to prove general causation by a preponderance of the evidence
(8) = Failure to present any qualified expert at trial on the general causation question, summary judgment (this is case 22,30)
(9) = Other
Table 9
Appellate Cases Reviewing a Jury Verdict Below
(Numbers in parentheses are the number of the case in Table 8)
| Year (1) | Type of Injury (2) | Jury Verdict (3) | Trial Judge (4) | App. Ct. Holding (5) | App. Ct. Orientation (6) |
|----------|-------------------|------------------|-----------------|----------------------|-------------------------|
| 1. (1) | Limb Defect | Plaintiff | New Trial | Affirm | Legalistic |
| 2. (9) | Limb Defect | Plaintiff | JNOV | Reversed & Remanded (verdict reinstated) | Legalistic |
| 3. (20) | Various | Defense (general causation) | Entered Judgment on Verdict | Affirmed | Legalistic |
| 4. (21) | Limb Defect | Plaintiff | JNOV | Affirmed | Scientific |
| 5. (23) | Limb Defect | Plaintiff | Entered Judgment on Verdict | Reversed & Rendered | Scientific |
| 6. (24) | Limb Defect | Defense | Entered Judgment on Verdict | Affirmed | Legalistic |
| 7. (25) | Limb Defect | Plaintiff | Entered Judgment on Verdict | Reversed | Legalistic (11 jurors) |
| 8. (28) | Limb Defect | Defense | Entered Judgment on Verdict | Affirmed | Legalistic |
| 9. (30) | Limb Defect | Plaintiff | Entered Judgment on Verdict | Reversed Remanded ordering a JNOV | Legal/Scientific |
* = After MDL
Appendix B
In Vitro Studies Bibliography
J.D. Budroe et al., *A Study of the Potential Genotoxicity of Methapyrilene and Related Antihistamines Using the Hepatocyte/DNA Repair Assay*, 135 MUTATION RES. 131 (1984).
M. Guntakatta et al., *Development of a Mouse Embryo Limb Bud Cell Culture System for the Estimation of Chemical Teratogenic Potential*, 4 TERATOGENESIS, CARCINOGENESIS, & MUTAGENESIS 349 (1984).
J.R. Hassell & E.A. Horigan, *Chondrogenesis: A Model Developmental System for Measuring Teratogenic Potential of Compounds*, 2 TERATATOGENESIS, CARCINOGENESIS, & MUTAGENESIS 325 (1982).
S. A. Newman, *Lineage and Pattern in the Developing Vertebrate Limb*, 4 TRENDS GENETICS 329 (1989).
J.Y. Renault et al., *Limb Bud Cell Culture for In Vitro Teratogen Screening: Validation of an Improved Assessment Method Using 51 Compounds*, 9 TERATOGENESIS, CARCINOGENESIS, & MUTAGENESIS 83 (1989).
L.G. Roberts et al., *Embryo-Maternal Distribution of Basic Compounds in the CD-1 Mouse: Doxylamine and Nicotine*, 97 TOXICOLOGY & APPLIED PHARMACOLOGY 134.
Appendix C
In Vivo Studies Bibliography
(Numbers in parentheses at the end of each citation refer to the order of the studies in Table 1)
J.P. Gibson et al., Teratology and Reproduction Studies with an Antinauseant, 13 TERATOLOGY & APPLIED PHARMACOLOGY 439 (1968). (1)
John Gibson, Teratology Study with a New Antinauseant Formulation in Rabbits, Project Report T-75-12 (4), Dep't of Pathology and Toxicology, Merrell-Nat'l Lab. Div. of Richardson-Merrell, Inc. Cincinnati, Ohio. (1975) (unpublished study) (on file with author). (4)
John Gibson, Teratology Study With a New Antinauseant Formulation in Rats, Project Report T-75-13, Dep't of Pathology and Toxicology, Merrell-Nat'l Lab. Div. of Richardson-Merrell, Inc. Cincinnati, Ohio. (1975) (unpublished study) (on file with author). (3)
A.G. Hendrickx et al., Evaluation of Bendectin Embryotoxicity in Non-human Primates: Double-Blind Study in Cynomolgus Monkeys, 32 TERATOLOGY 191 (1985). (10)
A.G. Hendrickx et al., Evaluation of Bendectin Embryotoxicity in Non-human Primates: Ventricular Septal Defects in Prenatal Macaques and Baboon, 32 TERATOLOGY 179 (1985). (9)
A.G. Hendrickx et al., Embryotoxicity Studies on Bendectin in Cynomolgus Monkeys (Macaca Fascicularis) (Abstract), 25 TERATOLOGY 47 (1982). (6)
A.G. Hendrickx et al., Cardiac Embryotoxicity Studies on Bendectin in Macaques (Abstract), 27 TERATOLOGY 49 (1983). (7)
K.S. Khera, Teratogenicity Study in Rats Given High Doses of Pyridoxine (Vitamin B6) During Organogenesis, 31 EXPERENTIA 469 (1975). (2)
W.G. McBride, The Effects of Dicyclomine Hydroxochloride on the Development of the Chick Embryo, 9 IRCS MED. SCI. 471. (1981), Merrell & Co. Studies (1971). (5)
W.G. McBride, Teratogenic Effect of Doxylamine Succinate in New Zealand White Rabbits, 12 IRCS MED. SCI. 536 (1984). (8)
R.W. Tyl et al., Developmental Toxicity Evaluation of Bendectin in CD Rats, 37 TERATOLOGY 539 (1988). (11)
Appendix D
Epidemiological Studies Bibliography
(Numbers in parentheses at the end of each citation refer to the order of the studies in Table 2)
Pamela Aselton & Hershel Jick, *Additional Follow-Up of Congenital Limb Disorders in Relation to Bendectin Use*, 250 JAMA 33 (1983). (30)
Pamela Aselton et al., *Pyloric Stenosis and Maternal Bendectin Exposure*, 120 AM. J. EPIDEMIOLOGY 251 (1984). (33)
Pamela Aselton et al., *First-Trimester Drug Use and Congenital Disorders*, 65 OBSTETRICS & GYNECOLOGY 451 (1985). (37)
Philip Banister, *Congenital Malformations: Preliminary Report of an Investigation of Reduction Deformities of the Limbs, Triggered by a Pilot Surveillance System*, 103 CAN. MED. ASS'N J. 4466 (1970). (8)
Carl Bunde & D.M. Bowles, *A Technique for Controlled Survey of Case Records*, 5 CURRENT THERAPEUTIC RES. 245 (1963). (2)
Michael Clarke & David Clayton, *Safety of Debendox*, LANCET, March 21, 1981, at 659. (21)
Jose Cordero et al., *Is Bendectin a Teratogen?*, 245 JAMA 2307 (1981). (23)
J.F. Correy & N.M. Newman, *Debendox and Limb Reduction Deformities*, 1981 MED. J. AUSTL. 417 (1981). (22)
T.J. David, *Debendox Does Not Cause the Poland Anomaly*, 57 ARCH. DIS. CHILD 479 (1982). (27)
Diana Elbourne et al., *Debendox Revisited*, 92 BRIT. J. OBSTETRICS & GYNAECOLOGY 780 (1985). (36)
David J. Erickson, *Risk Factors for Birth Defects: Data from the Atlanta Birth Defects Case-Control Study*, 43 TERATOLOGY 41 (1991). (39)
Brenda Eskenazi & Michael Bracken, *Bendectin (Debendox) As a Risk Factor for Pyloric Stenosis*, 144 AM. J. OBSTETRICS & GYNECOLOGY 919 (1982). (26)
J.F. Farrar & I.J. Mackie, *A Survey of Possible Causes of Congenital Malformation*, 2 MED. J. AUSTL. 793 (1964). (6)
D.M. Fleming et al., *Debendox in Early Pregnancy and Fetal Malformation*, 283 BRIT. MED. J. 99 (1981). (20)
General Practitioner Research Group, *General Practitioner Clinical Trials: Drugs in Pregnancy Survey*, 191 PRACTITIONER 775 (1963). (4)
G.T. Gibson et al., *Congenital Anomalies in Relation to the Use of Doxylamine/Dicyclomine and Other Antenatal Factors: An Ongoing Prospective Study*, 1981 *Med. J. Austl.* 410 (1981). (25)
J.S. Golding et al., *Maternal Anti-Nauseants and Clefts of Lip and Palate*, 1983 *Hum. Toxicology* 63 (1983). (29)
G. Greenberg et al., *Maternal Drug Histories and Congenital Abnormalities*, 1977 *Brit. Med. J.* 853 (1977). (13)
D.W.G. Harron et al., *Debendox and Congenital Malformations in Northern Ireland*, 281 *Brit. Med. J.* 1379 (1980). (18)
Hershel Jick et al., *First-Trimester Drug Use and Congenital Disorders*, 246 *JAMA* 343 (1981). (19)
E. Klee, *Early Pregnancy Toxicosis Treated with Lenotan*, 44 *Med. Welt* 204 (1964). (5)
L.J. le Vann, *Congenital Abnormalities in Children Born in Alberta During 1961: A Survey and a Hypothesis*, 89 *Can. Med. Ass'n J.* 120 (1963). (1)
Janet McCredie et al., *Doxylamine/Dicyclomine/Pyridoxine and Congenital Limb Defects*, 140 *Med. J. Austl.* 525 (1984). (34)
J. Michaelis et al., *Teratogene Effekte von Lenotan? (Does Lenotan Have Teratogenic Effects?)*, 23 *Dtsh. Arzt.* 1527 (1980). (17)
J. H. Michaelis et al., *Prospective Study of Suspected Associations Between Certain Drugs Administered During Early Pregnancy and Congenital Malformations*, 27 *Teratology* 57 (1983). (31)
Lucille Milkovich & Bea van den Berg, *An Evaluation of the Teratogenicity of Certain Antinauseant Drugs*, 125 *Am. J. Obstetrics & Gynecology* 244 (1976). (10)
Allen Mitchell et al., *Birth Defects Related to Bendectin Use in Pregnancy: I. Oral Clefts and Cardiac Defects*, 245 *JAMA* 2311 (1981). (24)
Allen Mitchell et al., *Birth Defects in Relation to Bendectin Use in Pregnancy: II. Pyloric Stenosis*, 147 *Am. J. Obstetrics & Gynecology* 737 (1983). (32)
Suzette Morelock et al., *Bendectin and Fetal Development: A Study at Boston City Hospital*, 142 *Am. J. Obstetrics & Gynecology* 209 (1982). (28)
Matilda Nelson & John Forfar, *Associations Between Drugs Administered During Pregnancy and Congenital Abnormalities of the Fetus*, 1971 *Brit. Med. J.* 523 (1971). (9)
N.M. Newman et al., *A Survey of Congenital Abnormalities and Drugs in a Private Practice*, 17 Austl. N.Z. J. Obstetrics & Gynecology 156 (1977). (11)
Kenneth Rothman et al., *Exogenous Hormones and Other Drug Exposures of Children with Congenital Heart Disease*, 109 Am. J. Epidemiology 433 (1979). (16)
Samuel Shapiro et al., *Antenatal Exposure to Doxylamine Succinate and Dicyclomine Hydrochloride (Bendectin) in Relation to Congenital Malformations, Perinatal Mortality Rate, Birth Weight, and Intelligence Quotient Score*, 128 Am. J. Obstetrics & Gynecology 480 (1977). (12)
Patricia Shiono & Mark Klebanoff, *Bendectin and Human Congenital Malformations*, 40 Teratology 151 (1989); Erratum 41 Teratology 250 (1990). (38)
S.O. Smith et al., *An Epidemiological Study of Congenital Reductions and Deformities of the Limbs*, 31 Brit. J. Preventive & Soc. Med. 39 (1977). (14)
Richard Smithells & Sheila Sheppard, *Teratogenicity Testing in Humans: A Method Demonstrating Safety of Bendectin*, 17 Teratology 31 (1978). (15)
G. Warneke, *Die Behandlung des Schwangerschaftsverbrechens mit Lenotan (The Treatment of Vomiting in Pregnancy with Lenotan)*, 17 Med. Mschr. 691 (1963). (3)
J. Yerushalmy & Lucille Milkovich, *Evaluation of the Teratogenic Effect of Meclizine in Man*, 93 Am. J. Obstetrics & Gynecology 553 (1965). (7)
Sally Zierler & Kenneth Rothman, *Congenital Heart Disease in Relation to Maternal Use of Bendectin and Other Drugs in Early Pregnancy*, 313 New Eng. J. Med. 347 (1985). (35)
Appendix E
Data Base List
The number preceding each data base corresponds with the number appearing in Column 6 of Table 2. The numbers in parentheses at the end of each data base reference refer to the number of the study using this database as it appears in Table 2. For example, data base number 1 was used by studies 12 (Shapiro) and 38 (Shiono).
United States
1. Collaborative Perinatal Project, 50,282 child pairs from 12 hospitals throughout the United States. (12), (38)
2. Boston City Hospital, 3222 eligible mothers. February 1977 through October 1979. (28)
3. Boston University School of Medicine and Harvard Medical School case control study. Drawn from 22 participating centers in 3 regions: (1) Boston (initiated in March 1976); (2) Pennsylvania (March 1977); and (3) Toronto (January 1979). 1565 malformed infants. (24), (32)
4. Harvard School of Health, Department of Epidemiology. Subjects chosen from all residents of Massachusetts born alive with severe congenital heart disease and with controls randomly selected from all available birth certificates filed with the Massachusetts Division of Health Statistics. (16) (between 1973 and 1985), (35) (between April 1, 1980 and March 31, 1983).
5. John B. Pierce Foundation Laboratory and the Departments of Epidemiology and Public Health and Obstetrics and Gynecology, Yale University School of Medicine. (Mothers of infants from 5 urban hospitals in central Connecticut—between November 18, 1974 and November 17, 1976). (26)
6. Northern California Kaiser Permanent Birth Defects Study (Patients from Kaiser Health Plan—also called Child Health and Developmental Studies (CHDS), 1974 to 1977. (7), (10)
7. Group Health Cooperative of Puget Sound (GHC-PS) (subjects were patients in Seattle). Data put on computer files by the Commission on Professional and Hospital Activities-Professional Activity Study (CPHA-PAS) in Michigan. (19), (30), (33), (37)
8. Metropolitan Atlanta Congenital Defects Program (MACDP) survey of birth defects “since 1967” from hospitals within the 5 central counties of the metropolitan Atlanta area. (23), (39)
9. Merrell Department of Medical Research. 18 groups (21 physicians) from California, Colorado, Illinois, Ohio, Pennsylvania, Ontario, and Quebec. (2)
**United Kingdom**
10. General Practitioners Research Group, patients of physician members in U.K. (4)
11. University of Edinburgh Department on Child Life and Health, Edinburgh Scotland. (9)
12. *The Annual Report of the Registrar General (Northern Ireland)*, 1966-1973, and *Health and Personal Social Services Statistics, for Northern Ireland*, 1974-1976. (18)
13. Birmingham Research Unit of the Royal College of General Practitioners, Birmingham. 22,977 women (14,684 in Scotland and 8293 in England), 620 of whom were Debendox exposed. (20)
14. *The Oxford Record Linkage Study*. Infants delivered between 1965 and 1974 to women in Oxfordshire and West Berkshire. (29)
15. The Office of Population Consensus & Surveys (OPCS) pilot study (London). (13)
16. University of Leicestershire. 40,000 perinatal births in Leicestershire. (21)
17. University of Leeds. Scan of RX records from Leeds and Liverpool. (15)
18. *Cardiff Births Survey (CBS)*, (Cardiff and Aberdeen), 86,283 births between 1965 and 1979. (36)
19. Reported cases of Poland Anomaly in Britain between 1890 and 1977. (27)
**Australia**
20. University of Tasmania, Department of Obstetrics and Gynaecology. All deliveries in Tasmania. (11) (from 1953 to 1975), (22) (from 1975 to 1980).
21. Infants born alive in New South Wales or the Australian Capital Territory between 1970 and 1981. (34)
22. Queen Victoria Research Foundation. Patients attending Queen Victoria Hospitals in Adelaide, Australia “since 1975.” (25)
23. Sutherland District Hospital, Carinbaugh, Australia. Eleven mothers whose babies were abnormal and were born in September and October, 1961 and 98 similarly situated mothers with normal babies. (6)
Canada
24. University of Alberta. 33,874 births in Alberta in 1961. (1)
25. Pilot Surveillance System-Department of National Health and Welfare, Ottawa Ontario, Births in 4 Canadian Provinces (New Brunswick, Alberta, Manitoba, and British Columbia) were surveyed. (8), (14)
Germany
26. DFG Study, 21 hospitals in West Germany. (17), (31)
27. 94 women with emesis gravidarum (nausea in pregnancy). (3)
Not Certain
28. Klee's Study, 30 cases of hypermises gravidum. (5)
Appendix F
District Court Opinions
(Numbers in parentheses at the end of each citation refer to the order of the cases in Table 7)
Alexander v. Richardson-Merrell, Inc., 541 F. Supp. 93 (S.D.N.Y. 1982). (1)
Ambrosini v. Richardson-Merrell, Inc., No. 84-3483, 1989 U.S. Dist. LEXIS 8036 (D.D.C. July 12, 1989). (49)
Barton v. Richardson-Merrell, Inc., No. C85-0028J, 1990 U.S. Dist. LEXIS 8010 (D. Utah, May 31, 1990). (55)
Bernhardt v. Richardson-Merrell, Inc., 723 F. Supp. 1188 (N.D. Miss. 1988), aff'd, 892 F.2d 440 (5th Cir. 1990). (42)
Bohrer v. Merrell Dow Pharmaceuticals, Inc. 122 F.R.D. 217 (D.N.D. 1987). (25)
Cadarian v. Merrell Dow Pharmaceuticals, Inc., 745 F. Supp. 409 (E.D. Mich. 1989). (50)
Coyle v. Richardson-Merrell, Inc., 15 Phila. 389 (Common Pleas Ct. of Phila., 1987). (30)
Daubert v. Merrell Dow Pharmaceuticals, Inc., 711 F. Supp. 546 (S.D. Cal. 1989). (48)
Daubert v. Merrell Dow Pharmaceuticals, Inc., 727 F. Supp. 570 (S.D. Cal. 1989). (51)
DeLuca v. Merrell Dow Pharmaceuticals, 131 F.R.D. 71 (D.N.J., rev'd, 911 F.2d 941 (3d Cir. 1990). (56)
Ealy v. Richardson-Merrell, Inc., No. 83-3504, 1987 WL 15512 (D.D.C. 1987). (35)
Ealy v. Richardson-Merrell, Inc., No. 83-3504, 1987 WL 18743 (D.D.C. Oct. 1, 1987), rev'd, 897 F.2d 1159 (D.C. Cir.), cert. denied, 111 S. Ct. 370 (1990). (37)
Ealy v. Richardson-Merrell, Inc., No. 83-3504, 1988 WL 64933 (D.D.C. June 13, 1988). (43)
Engel v. Merrell Dow Pharmaceuticals, Inc., No. CIV-83-1189E, 1987 WL 4769 (W.D.N.Y. Apr. 20, 1987). (31)
Hagaman v. Merrell Dow Pharmaceuticals, Inc., No. 84-2202-S, slip op. (D. Kan. July 1, 1986) (LEXIS, Genfed library, Dist file). (18)
Hagaman v. Merrell Dow Pharmaceuticals, Inc., No. 84-2202-S, 1987 U.S. Dist. LEXIS 6124 (D. Kan. June 26, 1987). (33)
Hagaman v. Merrell Dow Pharmaceuticals, Inc., No. 84-2202-S, 1987 U.S. Dist. LEXIS 12184 (D. Kan. Dec. 2, 1987). (38)
Hagaman v. Merrell Dow Pharmaceuticals, Inc., No. 84-2202-S, 1988 U.S. Dist. LEXIS 4233 (D. Kan. Apr. 8, 1988). (41)
Hagen v. Richardson-Merrell, Inc., 697 F. Supp. 334 (N.D. Ill. 1988). (45)
Heath v. United States, 633 F. Supp. 1340 (E.D. Cal. 1986). (17)
Hull v. Merrell Dow Pharmaceuticals, Inc., 700 F. Supp. 28 (S.D. Fla. 1988). (47)
*In re* Richardson-Merrell, Inc. (MDL #486), 533 F. Supp. 489 (J.P.M.L. 1982). (2)
*In re* Richardson-Merrell, Inc. (MDL #486), 545 F. Supp. 1130 (S.D. Ohio 1982), *aff'd sub nom.* Dowling v. Richardson-Merrell, Inc., 727 F.2d 608 (6th Cir. 1984). (4)
*In re* Richardson-Merrell, Inc. (MDL #486), 97 F.R.D. 481 (S.D. Ohio 1983). (6)
*In re* Richardson-Merrell, Inc. (MDL #486), 582 F. Supp. 890 (J.P.M.L. 1984). (7)
*In re* "Bendectin" Prods. Liab. Litig. (MDL #486), 102 F.R.D. 239 (S.D. Ohio 1984). (8)
*In re* Richardson-Merrell, Inc. (MDL #486), 588 F. Supp. 1448 (J.P.M.L. 1984). (9)
*In re* Richardson-Merrell, Inc. (MDL #486), 606 F. Supp. 715 (J.P.M.L. 1985). (10)
*In re* Richardson-Merrell, Inc. (MDL #486), 624 F. Supp. 1212 (S.D. Ohio 1985), *aff'd sub nom.* *In re* Bendectin Litig., 857 F.2d 290 (6th Cir. 1988), *cert denied*, 488 U.S. 1006 (1989). (11)
*In re* Richardson-Merrell, Inc. (MDL #486), slip op. (S.D. Ohio Oct. 17, 1985) (LEXIS, Genfed library, Dist file). (12)
*In re* Richardson-Merrell, Inc. (MDL #486), slip op. (S.D. Ohio Jan. 6, 1986) (LEXIS, Genfed library, Dist file). (14)
*In re* Bendectin Cases, No. 85-0996, 1986 WL 20466 (E.D. Mich. May 2, 1986). (16)
*In re* Bendectin Prods. Liab. Litig., 732 F. Supp. 744 (E.D. Mich. 1990). (52)
Koller v. Richardson-Merrell, Inc., No. 80-1258, slip op. (D.D.C. Jan. 25, 1983) (LEXIS, Genfed library, Dist file). (5)
Lake v. Richardson-Merrell, Inc., 538 F. Supp. 262 (N.D. Ohio 1982). (3)
Lanzilotti v. Merrell Dow Pharmaceuticals, Inc., No. 82-0183, 1986 WL 7832 (E.D. Pa. July 10, 1986). (19)
Lee v. Richardson-Merrell, Inc., No. 84-2228GB, 1991 WL 166316 (W.D. Tenn. 1991). (58)
Longmore v. Merrell Dow Pharmaceuticals, Inc., 737 F. Supp. 1117 (D. Idaho 1990). (54)
Lynch v. Merrell-Nat'l Lab., 646 F. Supp. 856 (D. Mass. 1986). (23)
McFeggan v. Merrell Pharmaceuticals, Inc., 1987 U.S. Dist. LEXIS 2784 (N.D. Ill. April 7, 1987). (29)
Monahan v. Merrell-Nat'l Lab., No. 83-3108-WD, 1987 WL 90269 (D. Mass. Dec. 18, 1987).
Ramirez v. Richardson-Merrell, Inc., No. 85-1504, slip op. (E.D. Pa. Nov. 27, 1985 (LEXIS, Genfed library, Dist file). (13)
Ramirez v. Richardson-Merrell, Inc., 628 F. Supp. 85 (E.D. Pa. 1986). (15)
Ramirez v. Richardson-Merrell, Inc., No. 85-1504, slip op. 1986 WL 9724 (E.D. Pa. Sept. 4, 1986). (22)
Raynor v. Richardson-Merrell, Inc., 643 F. Supp. 238 (D.D.C. 1986). (20)
Raynor v. Richardson-Merrell, Inc., No. 83-3506, 1987 WL 8518 (D.D.C. Mar. 5, 1987). (27)
Richardson v. Richardson-Merrell, Inc., 649 F. Supp. 799 (D.D.C. 1986). (24)
Rosen v. Richardson-Merrell, Inc., No. 82-0513, 1987 U.S. Dist. LEXIS 2236 (E.D. Pa. Mar. 27, 1987). (28)
Rosen v. Richardson-Merrell, Inc., No. 82-0513, 1987 U.S. Dist. LEXIS 6585 (E.D. Pa. July 22, 1987). (34)
Rosen v. Richardson-Merrell, Inc., No. 82-0513, 1987 U.S. Dist. LEXIS 7440 (E.D. Pa. Aug. 18, 1987). (36)
Daubert v. Merrell Dow Pharmaceuticals, Inc., 727 F. Supp. 570 (S.D. Cal. 1989). (50b)
St. Amand v. Merrell Dow Pharmaceuticals, Inc., 140 Misc. 2d 278, 530 N.Y.S.2d 428 (N.Y. Sup. Ct. 1988). (40)
Shelhamer v. Merrell Dow Pharmaceuticals, Inc., No. 87-0782, 1987 U.S. Dist. LEXIS 3808 (E.D. Pa. May 11, 1987). (32)
Turpin v. Merrell Dow Pharmaceuticals, Inc., 736 F. Supp. 737 (E.D. Ky. 1990). (53)
Vines v. Richardson-Merrell, Inc., No. 86-3228 (RCL), 1988 WL 93454 (D.D.C. Aug. 24, 1988), aff'd, 1989 WL 105491 (D.C. Cir. Aug. 31, 1989). (44)
Vines v. Richardson-Merrell, Inc., No. 86-3228 (RCL), 1988 WL 112174 (D.D.C. Oct. 13, 1988). (46)
Whelan v. Merrell Dow Pharmaceuticals, Inc., 117 F.R.D. 299 (D.D.C. 1987). (26)
Whelan v. Merrell Dow Pharmaceuticals, Inc., 1990 WL 130654 (D.D.C. Aug. 30, 1990). (57)
Will v. Richardson-Merrell, Inc., 647 F. Supp. 544 (S.D. Ga. 1986). (21)
Appendix G
Appellate Court Cases
(Numbers in parentheses at the end of each citation refer to the order of the cases in Table 8)
Albertson v. Richardson-Merrell, Inc., 441 So.2d 1146 (Fla. Dist. Ct. App. 1983). (2)
Ambrosini v. Labarraque, No. 90-7146, 90-7148, 1991 WL 101512 (D.C. Cir. May 31, 1991). (35)
Bernhardt v. Richardson-Merrell, Inc., 892 F.2d 440 (5th Cir. 1990). (29)
Blum v. Merrell Dow Pharmaceuticals, Inc., 385 Pa. Super. 151, 560 A.2d 212 (1989), appeal granted, 590 A.2d 753 (Pa. 1991). (25)
Brock v. Merrell Dow Pharmaceuticals, Inc., 874 F.2d 307 (5th Cir. 1989), modified, 884 F.2d 166 (5th Cir. 1989), cert. denied, 110 S. Ct. 1511 (1990). (23a)
Brock v. Merrell Dow Pharmaceuticals, Inc., 884 F.2d 166 (5th Cir. 1989). (23b)
Brock v. Merrell Dow Pharmaceuticals, Inc., 884 F.2d 167 (5th Cir. 1989). (23c)
Chambers v. Merrell Dow Pharmaceuticals, Inc., No. C-850888, slip op. 1986 WL 14901 (Ohio App. Dec. 24, 1986), aff'd, 35 Ohio St. 3d 123, 519 N.E.2d 370 (1988). (12)
Chambers v. Merrell Dow Pharmaceuticals, Inc., 35 Ohio St. 3d 123, 519 N.E.2d 370 (1988). (16)
Coyle v. Richardson-Merrell, Inc., 372 Pa. Super. 118, 538 A.2d 1379 (1988). (17)
Coyle v. Richardson-Merrell, Inc., 584 A.2d 1383 (Pa. 1991). (34)
Cosgrove v. Merrell Dow Pharmaceuticals, Inc., 117 Idaho 470, 788 P.2d 1293 (1989). (24)
DeLuca v. Merrell Dow Pharmaceuticals, Inc., 911 F.2d 941 (3d Cir. 1990). (33)
Dowling v. Richardson-Merrell, Inc., 727 F.2d 608 (6th Cir. 1984). (3)
Dralle v. Ruder, 148 Ill. App. 3d 961, 500 N.E.2d 514 (1986), rev'd, 124 Ill. 2d 61, 529 N.E.2d 209 (1988). (11)
Dralle v. Ruder, 124 Ill. 2d 61, 529 N.E.2d 209 (1988). (18)
Ealy v. Richardson-Merrell, Inc., 897 F.2d 1159 (D.C. Cir. 1990), cert. denied, 111 S. Ct. 370 (1990). (30)
Herring v. Merrell Dow Pharmaceuticals, Inc., 896 F.2d 1383 (D.C. Cir. 1990). (31)
*In re Bendectin Prods. Liab. Litig.*, 749 F.2d 300 (6th Cir. 1984). (5)
*In re Bendectin Litig.*, 857 F.2d 290 (6th Cir. 1988), *cert. denied sub nom.* Hoffman v. Merrell Dow Pharmaceuticals, Inc., 488 U.S. 1006 (1989). (20)
Koller v. Richardson-Merrell, Inc., 737 F.2d 1038 (D.C. Cir. 1984), *vacated*, Richardson-Merrell, Inc. v. Koller, 472 U.S. 424 (1985). (4)
Richardson-Merrell, Inc. v. Koller, 472 U.S. 424 (1985). (6)
Lynch v. Merrell-Nat'l Lab., 830 F.2d 1190 (1st Cir. 1987). (15)
Makripodis v. Merrell Dow Pharmaceuticals Inc., 361 Pa. Super. 589, 523 A.2d 374 (1987). (13)
Martin v. Merrell Dow Pharmaceuticals, Inc., 851 F.2d 703 (3d Cir. 1988). (19)
Mekdeci v. Merrell Nat'l Lab., 711 F.2d 1510 (11th Cir. 1983). (1)
Merrell Dow Pharmaceuticals v. Oxendine, 593 A.2d 1023 (D.C. App. 1991). (36)
Obiago v. Merrell-Nat'l Lab., 560 So. 2d 625 (La. Ct. App. 1990). (32)
Oxendine v. Merrell Dow Pharmaceuticals Inc., 506 A.2d 1100 (D.C. App. 1986). (9)
Oxendine v. Merrell Dow Pharmaceuticals, Inc., 563 A.2d 330 (D.C. App. 1989), *cert. denied*, 110 S. Ct. 1121 (1990). (26)
Richardson v. Richardson-Merrell, Inc., 857 F.2d 823 (D.C. Cir. 1988), *cert. denied*, 110 S. Ct. 218 (1989). (21)
Thompson v. Merrell Dow Pharmaceuticals, Inc., 229 N.J. Super. 230, 551 A.2d 177 (N.J. Super. Ct. App. Div. 1988). (22)
Thompson v. Merrell Dow Pharmaceuticals, Inc., 766 F.2d 1005 (6th Cir. 1985), *aff'd*, 478 U.S. 804 (1986). (7)
Merrell Dow Pharmaceuticals, Inc. v. Thompson, 478 U.S. 804 (1986). (10)
Urland v. Merrell Dow Pharmaceuticals, Inc., 822 F.2d 1268 (3d Cir. 1987). (14)
Vines v. Richardson-Merrell, Inc., No. 88-7264, 1989 WL 105491 (D.C. Cir. Aug. 31, 1989). (27)
Watson v. Merrell Dow Pharmaceuticals, Inc., 769 F.2d 354 (6th Cir. 1985). (8)
Wilson v. Merrell Dow Pharmaceuticals, Inc., 893 F.2d 1149 (10th Cir. 1990). (28)
Appendix H
Memorandum Opinions
(not included in data analysis)
Bordick v. Richardson-Merrell, Inc., 853 F.2d 916 (3d Cir. 1988) (table disposition, aff'd).
Brock v. Merrell Dow Pharmaceuticals, Inc., 886 F.2d 1314 (5th Cir. 1989) (table disposition, reh'g en banc denied).
Coyle v. Richardson-Merrell, Inc., 520 Pa. 588, 551 A.2d 215 (1988) (table disposition, appeal granted).
Dralle v. Ruder, 505 N.E.2d 352 (Ill. 1987) (table disposition, appeal allowed).
Koller v. Richardson-Merrell, Inc., 469 U.S. 915 (1984) (cert. granted).
Koller v. Richardson-Merrell, Inc., 474 U.S. 808 (1985) (motion of respondents to retax costs denied).
Obiago v. Merrell-Nat'l Lab., No. 90-C-1056, (La. June 29, 1990) (writ denied).
Oxendine v. Merrell Dow Pharmaceuticals, Inc., 110 S. Ct. 1121 (1990) (cert. denied).
Schreier v. Merrell Dow Pharmaceuticals, Inc., 745 F.2d 58 (6th Cir. 1984) (table disposition, appeal dismissed).
Thompson v. Merrell Dow Pharmaceuticals, Inc., 474 U.S. 1004 (1985) (cert. granted).
Appendix I
Unpublished Opinions
(not included in data analysis)
Summary Judgments Granted to Merrell Dow
Diaz v. Merrell Dow Pharmaceuticals, Inc., No. L-082085 (N.J. Super. Ct. Law Div. April 28, 1989).
Hagle, (November 1989) (summary judgment for defendant on merits).
Lee v. Richardson-Merrell, Inc., No. 84-2228 GB (W.D. Tenn. Jan. 30, 1991).
Monohan v. Merrell Dow Pharmaceuticals, Inc., No. 83-3108-WD (D. Mass. Dec. 18, 1987) (court relied on Lynch v. Merrell Nat'l Lab.).
Summary Judgments Denied Merrell Dow
DePyper v. Navarro, No. 83-303-467NM (Civ. Ct. Wayne Co., Mich. Mar. 10, 1990), rev'd, No. 116390 (Mich. Ct. App. June 21, 1991).
Mangels v. Richardson-Merrell, Inc., No. R-83-3272 (D. Md. Aug. 17, 1987).
Plaintiff Verdicts (Jury or Judge)
Blum v. Merrell Dow Pharmaceuticals, Inc., No. 1027 (Pa. Ct. C.P. May 12, 1988) (unpublished opinion).
Defendant Verdicts (Jury or Judge)
Bityk v. Richardson-Merrell, Inc., No. C-302-225 (Cal. Super. Ct., Los Angeles County 1987).
Buell, (June 1988) (judgment for defendant on merits).
Butterweck, (Jan. 1986) (W. Germany, judgment for defendant on merits).
Cordova v. Philips-Roxane Laboratories, Inc., No. 432656 (Cal. Super. Ct., Santa Clara County 1985) (appeal withdrawn).
Francione, (March 1990) (Italy, judgment for defendant on merits).
Hill v. Merrell Dow Pharmaceuticals, Inc., No. C83-74TB (W.D. Wash. 1988) (appeal withdrawn) (also known as Washington Consolidated).
Kottwitz, (W. Germany, Jan. 1986) (judgment for defendants on merits).
Maryland Consolidated (Johnson, Kelley, Mangels), (Md. federal court, mistrial, cases dismissed by plaintiffs June 10, 1988).
Rudell v. Merrell Dow Pharmaceuticals, Inc., No. 85-0115-CV-W-5 (W.D. Mo. Dec. 16, 1987).
Wiles, (Cal. federal court, Nov. 11, 1987) (defense verdict by judge).
Wilson v. Richardson-Merrell, Inc., No. 85-C-540-E (N.D. Okla. Dec. 14, 1987).
|
Construction: Beginner’s Guide to Power Supplies
On Test: the Yaesu FT736R VHF/UHF Multiband Multimode Transceiver
Out of Africa – The Story of A22KZ in Botswana
6 Straight and Level
All the latest news, comments and developments on the amateur radio scene
12 DX Diary
Don Field G3XTT with this month's DX news
14 Fox-Hunting
Kevin Fox with a stirring tale about the sort of DFing nightmares are made of... cows, students and sinister rituals. Beware, gentle reader!
17 Angus McKenzie Tests
G3OSS looks at the Yaesu FT736R multiband multimode transceiver and the Hokushin HS727VME and HSWX1 dual-band antennas
26 Out of Africa
At last, an exclusive account of the A22KZ 50MHz operation from Botswana, by David Saul himself
28 Coming Next Month
What's in store for you
29 Morse Report
Tony Smith G4FAI takes his bimonthly look at the world of dots and dashes
32 Short Wave Listener
Trevor Morgan continues his hitchhiker's guide to receivers and takes a long, hard look at those amateur bands
34 Power Supplies for Beginners
John and Steven Goodier with a beginner's guide to PSUs and a circuit for a complete 12V 1A power supply
39 Datasheet
Ian Poole looks at speech processors
42 Figure It Out
Tony Smith again, cutting a dash with maths for the non-mathemagician
44 Name, Rank or Serial Number
An intriguing tale from John Feeley G4MRB that will add a whole new dimension to catching DX
46 50MHz
Ken Ellis with all the latest developments on 6m
48 On the Beam
Things are looking up this month, as Glen Ross investigates the microwaves
50 Second-hand
Hugh Allison looks at hum (mains, not bugs)
52 Project Book
Martyn Williams with the final part of his component code series
53 Free Classified Ads
The market for buying and selling
SERVICES
25 Subscription Order Form
38 Radio and Electronics World Subscription Order Form
49 Back Issues Order Form
55 Free Classified Ad Form
58 Newsagents Order Form
58 Advertisers Index
58 Advertising Rates and Information
RAYCOM MOVE
Ray Withers Communications, the well-known dealers in amateur radio equipment, have made some changes to their outfit.
Firstly, as you will see from Ray's advert in our own unrivalled publication, the company name has been shortened to Raycom. Secondly, Raycom has moved to new and luxurious offices. Situated at International House, 963 Wolverhampton Road, Oldbury, West Midlands B69 4RJ, the company is now easily accessible and very central.
Raycom are official Sony dealers, also retailing Uniden, Yaesu and Icom goods (to name but a few). They also stock Butternut aerials, as reviewed by Angus McKenzie recently. Well worth a visit if you're in the West Midlands.
MONEY BACK
Owners of high quality, but now unused equipment that is gathering dust on storage shelves can realise valuable revenue by selling through Carston Electronics.
Carston has established a unique brokerage scheme that offers sellers a rapid means of 'liquidising' the large sums of money that can be tied up in redundant items such as instrumentation, test equipment, computer peripherals, etc.
In particular, the company is interested in hearing from owners of recent models from brand-name manufacturers. Many companies purchase specialist equipment to fulfil the needs of a project and, when this is completed, place the equipment in storage.
Carston has developed this capability in response to a growing requirement for companies to utilise their capital in the most efficient manner. The company also provides a proven source of fully calibrated and guaranteed equipment.
For further information, contact: Carston Electronics Ltd, 2-6 Queens Road, Teddington, Middlesex TW11 0LR. Tel: 01-943 4477.
SOLDER OFF
Ceka now offers a new antistatic desoldering pump with variable spring action suction.
The suction power is varied simply by unthreading the pump's nozzle and turning the spring to either the 'soft' or 'strong' suction position. The suction is strong, muffled and recoilless.
The desoldering pump, number 6103, is made from black antistatic nylon glass plastic. When it reloads, it clears solder through a heat-resistant non-stick carbon fibre tip. It is supplied in individual wallets, with full instructions for use and maintenance, and costs £11.00.
For further information contact: Ceka Works Limited, Pwllheli, Gwynedd, North Wales LL53 5LH. Tel: (0758) 612254.
PCB CONNECTORS
A new modular BLA/SLA connector system for printed circuit boards made its debut in the UK on the Klippon Stand at the All Electronics Show.
Designed for various process control systems, the range is available in a single row format from 2 to 24 poles and in a double row format with up to 48 poles. The modules can be built into blocks, can be easily terminated and are designed to be vibration proof.
The connectors are manufactured in PBTP, have an operational temperature range of 120 degrees centigrade and an 8A current rating.
For further details, contact: Klippon Electricals, Power Station Road, Sheerness, Kent ME12 3AB. Tel: (0795) 580999.
STC Electronic Services has introduced the new MK SafeGuard RCB adaptor plug to complement its MK Sentry-socket range.
Designed to provide immediate mobile earth fault protection by simple insertion into a standard 13A socket, the adaptor features sleeved pins, double pole isolation and a patented safety shutter on live and neutral.
As an added safety facility, the SafeGuard will trip off if it is removed from the socket or if the power supply is cut. More importantly, it will not automatically restore power to equipment (ie, dangerous tools) following an interruption until the reset button is manually operated.
The adaptor operates with a 30mA trip current, is fitted with a test button to ensure satisfactory function and features a mechanical indicator for maximum safety. If necessary, two units may be fitted into a twin 13A socket outlet.
For further information, contact: The Tool Group, STC Electronic Services, Edinburgh Way, Harlow, Essex CM20 2DF. Tel: (0279) 626777.
Instrumex has now introduced the Grundig FG80 PAL/SECAM colour pattern generator for multi-standard testing in both eastern and western formats.
It can be used in broadcasting, where standard converters are increasingly important, or for video equipment production testing. A useful feature is its output to an external oscilloscope.
The comprehensive set of video test patterns includes a special moving test pattern to verify still frame, slow motion and time lapse operations when checking video recorders.
The FG80 can fully test stereo and dual tone functions, as well as the continental video program service (VPS) signal. Four station frequencies can be programmed into memory for rapid recall. The instrument has a logical, uncluttered front panel.
The FG80 operates over a full RF range of 30 to 870MHz. Its RF output is 40mV EMF (synchronised pulse) into 75Ω.
Further information can be obtained from: Instrumex, Dorcan House, Meadfield Road, Langley, Berks SL3 8AL. Tel: (0753) 44878.
The K613 is a fully-protected dimmer/controller kit which handles mains voltages of up to 5A. It is now available from ECW Sales.
The dimmer is a high-Q device that adjusts the power supplied to a load with minimum hysteresis. This makes it suitable for dimming lights, adjusting ac motor speed and the output of heating elements and many others.
The K613 assembles into a compact chassis unit that can be incorporated easily into an enclosure. It is fully suppressed and has a triac output, protected against inductive voltage loads.
For dedicated lighting control, ECW Sales can also supply dimmers that replace conventional wall switches with potentiometer or touch control.
The K613 is offered at a mail order price of £14.33, including VAT and posting/package.
For further information, please contact: Electronic and Computer Workshop Ltd, Unit 1, Cromwell Centre, Stepfield, Witham, Essex CM8 3TH. Tel: (0376) 517413.
STC Instrument Services has introduced the Voltech EL100 and EL300 units, which offer a convenient and flexible means of loading dc power supplies and batteries.
These 3U-high modules provide a precise constant current load to the power source for the purpose of assessing the electrical performance of the source. Extremely versatile, the EL100 loads powersources up to 100W, 20A whilst the EL300 is rated at 300W, 60A. In addition, each unit has two current ranges enabling accurate setting of low current levels. Both units operate from below 3V to 110V dc—hence covering a very wide selection of applications.
Other features include an easy-to-read green LED display, push-button selectable operating modes with LED indication on the front panel, a current monitor output, which allows interfacing with an oscilloscope or external logger, and remote control facilities.
Totally self-contained, the units incorporate a variable speed dc fan which matches the cooling rate to the power demand—ensuring a long bearing life and high reliability as well as extremely quiet operation.
The units are very compact and are suitable for standalone bench use or for rack-mounting within Euroracks to form a flexible multi-load test station.
More details are available from: STC Instrument Services, Dewar House, Central Road, Harlow, Essex CM20 2TA. Tel: (0279) 641641.
Rikadenki Mitsui Electronics (UK) has franchised STC Instrument Services to carry the ROX Series of Y-T chart recorders. The agreement initially covers the 1, 2 and 3-pen ranges (types R01, R02 and R03) plus the 4 and 6-pen ranges (R64 and R66).
The instruments have been developed from the highly successful R20 Series of Rikadenki flat-bed instruments.
Contact: STC Instrument Services, Dewar House, Central Road, Harlow, Essex CM20 2TA. Tel: (0279) 641641.
EGA TO WATCH
Panasonic has introduced a new 14in colour display monitor, available from Hero Electronics. The monitor is compatible with IBM PCs or IBM PC compatibles using enhanced graphics adaptors (EGAs).
The monitor has two modes. Mode 1 gives a horizontal sync frequency of 15.7kHz, a 16 colour display and a resolution of $640 \times 200$ dots. Mode 2 gives a horizontal frequency of 21.8kHz, 64 colours and a resolution of $640 \times 350$ dots.
The monitor is housed in an attractive case. A tilt and swivel stand is an optional extra.
For more information contact: Hero Electronics Limited, Dunstable Street, Ampthill, Bedfordshire MK45 2JS. Tel: (0525) 405015.
SWITCHING OPTIONS
Wavecom's latest SPY-8 RF coaxial switch, available from Anglia Microwaves Ltd, is ideal for designing custom switch matrices in ATE and other microwave equipment. It can be used at frequencies of up to 18GHz and has internal 50 ohm terminations at all open positions.
Manufactured to MIL standards, the switch has a guaranteed lifetime of one million cycles per position, without intermittent contact and without insertion loss rising more than 0.1dB.
Options include TTL logic, BCD decoding, isolated indicator circuits and one of four standard actuation modes: latching, latching-reset, normally-open or normally-failsafe to position '1'.
Wavecom quotes a VSWR performance of 1-2.1 at 3GHz, and 1-5.1 at 18GHz with insertion losses of 0.2dB and 0.55dB respectively, while isolation figures are 80 and 60dB.
Further information from Anglia Microwaves Ltd, Radford Business Centre, Radford Way, Billericay, Essex CM12 0BZ. Tel: (0277) 630000.
GREENWELD CREDIT CARD
Greenweld is now offering an in-store credit card which enables customers to order goods by phone for dispatch the same day. The system offers a choice of an option account or a budget account.
Full details and an application form will be sent on request by contacting: Greenweld, 443J Millbrook Road, Southampton SO1 0HX. Tel: (0703) 772501/783740.
CRYSTALS, FILTERS AND OSCILLATORS
Cirkit Distribution has been appointed a UK distributor for Uniden Corporation of Japan, one of the few manufacturers in the world that grows its own crystals so that quality can be controlled right from the raw material stage.
Special frequencies and tolerances can be accommodated from 1.0MHz up to 130MHz in a variety of can sizes and mounting styles. Minimum order quantity is 1,000 per batch. Standard frequencies are held in stock.
Crystal filters are available in 2, 4, 6 and 8-pole configurations in a variety of centre frequencies and bandwidths.
For further information, contact: Cirkit Distribution Ltd, Park Lane, Broxbourne, Hertfordshire EN10 7NQ. Tel: (0992) 444111.
BAND THREE, TWO, ONE!
Band III radio was finally inaugurated on March 1st, in the exotic surroundings of the Roof Gardens in Kensington. Dedicated reporters from this magazine, manfully suffering the champagne and canapés, managed to ask a National Mobile Radio executive a few pertinent questions.
Band III, as you will know, is the frequency band around 200MHz vacated by television when it moved on to new allocations. Effectively, the band has now been divided into three - one for present use, one for future expansion and the last being reserved for new technology.
NMR Ltd have been awarded licences to operate 20 channels in the London region and 19 in both the Birmingham and Manchester regions. It is hoped to cover the country within 18 months, though 'the odd farmer in Auchtermuchty' will probably never be able to take part - you have been warned!
Three million pounds has been pumped into the development and the combined talents of National Radiofone, Storno, BT and Motorola have been utilised to bring the project to fruition.
Repeater systems are 'on the cards'. Calls will be free, with a standing charge of approximately £20 per mobile per month, and potential users can be 'up and running' within three days of asking for the system. Inter-region operating is possible. Both voice and data communications will be available and transmissions will be protected.
Only one shadow appears on this glittering scene - the threat that TV may ask the DTI to re-allocate these frequencies for its own use. Watch this space for future developments...
LINES AND TIGERS
Tiger Antenna Magazine, published quarterly by Ant Products, contains news and comment for radio amateurs, construction projects, pieces of theory and a regular computer program.
An annual subscription is £3.20, post paid.
For further information contact: Tiger Antenna Magazine, Foundry Works, Old Great North Road, Ferrybridge, West Yorkshire WF11 8NN. Tel: (0977) 85274.
Barry's birthday
Barry College of Further Education Radio Society is celebrating its 21st birthday and continues its commemorative series of demonstrations and lectures with a video presentation on May 19th, 'JARL DXpedition to China'.
The club meets on Thursday evenings from 7.30pm onwards at the college annexe along the Barry to Bonvilston Road (A4226), a few hundred yards from the site of Barry Zoo, now the Welsh Hawking Centre. Contact Dr Kevin Johnston GW4BCB, Barry College, Colcot Road, Barry, South Glamorgan CF6 8YJ.
Gordon's donation
Remember Roy (Straight & Level, March 1988)? He's the intrepid ex-Scout leader who was going to free-fall in tandem with one of his former Scouts.
At the time of writing, the event was set to take place on April 2nd or, if it was wet that day, April 9th.
What's more, Gordon Crowhurst, the well-known key maker, made and donated a special Morse key so that Roy could send a 21st birthday greeting to his former troop. Well done, Gordon. If you're making a record attempt, it's nice to know you can rely on the equipment.
Key technique
Ever fancied attending a master class, the sort where a virtuoso cajoles extra piquancy from a student's rendition? Perhaps not. If you turn up at Kevin Fox's, you'll at least be sure of the right key; then it's just a question of rhythm and tempo.
Class A licence holders will have a chance to improve their CW technique under the expert guidance of local Sheffield HF operators. Class B holders need not be put off; they can practise identifying by phone.
If you're interested, contact Kevin Fox G4MDQ, on air between 1730 and 1900, Monday to Friday.
Neater repeater
Reading and District ARC are holding two meetings, both in the 'White Horse' pub, Emmer Green, Reading.
On Tuesday, May 10th, David Bryant will speak on satellite reception and on Tuesday, May 24th, Gary Shippton G4CRJ will attempt to avoid hesitation, deviation and mostly, repetition, when he talks, for more than just a minute, all being well, on the 23cm TV repeater GB3HV. All are welcome, and further details are available from the club's honorary secretary, Mike Anthony G4THN, tel: Reading (0734) 774042.
MARS mart
Midland Amateur Radio Society has a rally at Drayton Manor on May 8th, followed by a junk sale and natter night. Surely there's no connection. For more details, phone (021) 357 1924.
Convenience listening
Now that packet soups have dissolved into the background, the latest stir is being created by packet radio. Find out about the UK network at the Verulam Amateur Radio Club on Tuesday, May 24th. Mr M Dennison G3XDV will be giving the talk at 8pm, but please turn up at 7.30pm at the RAF Association Headquarters, New Kent Road, off Marlborough Road, St Albans.
The club is also holding an activity evening on Tuesday, May 10th. Visitors are welcome at all meetings and further information is available from Hilary G4JKS, tel: St Albans 59318.
Edgware is it?
Lost in the landscape or the bandscape? Put your trust in a satellite; you can find out how on May 12th when P Machin will be giving a talk entitled 'Navigation by Satellite' at Edgware and District Radio Society, Watling Community Centre, 145 Orange Hill Road, Burnt Oak, Edgware.
You might like to retrace your steps on May 20th and 26th, when there will be a straight key evening and an NFD briefing/construction contest respectively. Contact Ian Cope G4IUZ, tel: Hatfield 65707.
Waves and ovations
Dorking and District Radio Society could be divided into nodes and antinodes when Tony G4XYC poses the question, 'SWR, does it matter?' It takes place on Tuesday, May 10th at 8.00pm. Further details are available from G4XYC himself, who can also be contacted on Leatherhead 375976. Why not turn up and give him a standing ovation?
Soft soap
There are days when one wishes for instant mechanical know-how, and today's one of them. Wimbledon and District ARS are having a talk on May 13th, the subject being 'Allard Motor Cars'. Well, we knew they weren't all soft...
They are continuing an eventful month with a construction contest for the G3PGA Trophy. Hope no-one makes one of them 'ard motor cars!
All club meetings are held on the second and last Fridays of each month at 7.30pm in St Andrews Church Hall, Herbert Road, Wimbledon SW19. To find out more about the club, contact David Love G4RBQ on (07373) 51559.
Back in time
The Binstead ARS on the Isle of Wight meet every Monday at 7.30pm. This month, on the first Monday, a talk will be given by Douglas G3KPO on vintage radio and TV. Another club looking at yesteryear!
The club meets at Dubbers Godshill, IOW, and to find out more about club events you should contact R Griffiths G01SB.
Fast on the draw
Blackwood and District ARS is holding a construction competition, pardners, so strap those ol' solderin' irons in them thar holsters, and prepare for the shoot-out at the OK corral - sorry, Oakdale College, actually. Yee hah!
Those soldering irons will really be smouldering, as the entrants try to put together the Maplin Live Wire Detector Kit in the shortest possible time. Entrants are invited to bring friends for moral or vocal support – the more the merrier (and noisier).
Every entrant will get a copy of the construction details when his or her entry form is received, so hopefully they will all know what they’re doing. Constructors can keep the finished product so that visitors can admire it. Oh well – you could always pretend that it was meant to be a scale model of Spaghetti Junction.
Prizes will be awarded for the fastest constructor overall, the fastest beginner and the fastest club constructors. Unfortunately, each entrant will receive a certificate stating their final position, but you can always Tipp-Ex out the ‘Highly Unrecommended’ and forge a ‘First’.
To get into the competition send £4 to Terry John GW4XCU at 9 Yew Tree Grove, Woodfieldside, Blackwood, Gwent. Phone Terry on (0495) 222573 for details, and prepare for a showdown!
All the nice girls
Yo, ho, ho and an annual mobile rally at HMS Mercury, near Petersfield in Hampshire. We like the RNARS, they called us a ‘fine magazine’. And they’re a fine body of men – we’d send them a pin-up photo of the Ed, but we’d like to stay friends…
Anyway, back to the Mercury Rally, which will make an excellent family day out and will take place on June 12th. There will be trade stands and stalls.
The harmonics will be entertained with rides and amusements, exhibitions and demonstrations – there’s even a touch of the Robin Hoods with an exhibition of DIY archery.
As if this wasn’t enough, there will be vintage steam machines and fire engines, radio controlled model power boats, trains and racing cars. Refreshments will be available and talk-in will be on both 2 metres and 70cm. Too good to miss, this.
Viking trip
May 5th brings the North Wakefield Club out into the open, busy lot that they are. The club’s first meeting is a talk by PC Workman. A cautionary tale, perhaps, with an arresting ending?
The club goes on the air on May 12th with G4NOK, and then on May 19th comes a real treat. The club is going by coach to the Jorvik Viking Centre in York. A good trip, by Odin, and for a paltry £5. Sounds worth horning in on.
The last meeting for the month is on May 26th and is the club’s regular monthly meeting. The club meets every Thursday at 8pm in the White Horse Public House, Fall Lane, East Ardsley. To find out more about the club contact Steve G4RCH on Leeds 536633.
Highland fling
Aviemore, the jewel of the Cairngorms, is hosting a promotional day for Raynet in Scotland.
May 1st brings this series of talks from the Freedom Inn in the Aviemore Centre. Anyone who is interested can attend.
The theme is ‘Emergency – Which Service’ and the first talk will be by the Highland Region Emergency Planning Officer. After lunch there will be talks by members about fire and mountain rescue, then there will be an open forum on Raynet.
As this Sunday precedes a Bank Holiday, why not make a long weekend of it. There is plenty to keep the family amused – skating, pony trekking, go-karting, curling…yes, our sleuths have checked the centre out and it’s very nice, thank you.
For further details, contact Eric Garrington GM3RFA QTHR or on Fort William 3833.
WDRG
The West Devon Repeater Group has appointed a new secretary, Trevor G3ZYY. He tells us that the group is still alive and kicking, and that anyone wanting to join should contact him (QTHR).
Membership only costs £3 per year, for which you get an attractive membership certificate, fact sheet, newsletter and welcoming letter. Sounds too good to miss!
Electrifying!
The Bournemouth and District RAIBC Group will be operating their annual special event station from the Southern Electricity Museum, Bargates, Christchurch on May 14th/15th this year. Wonder if they’ll talk about current affairs?
The museum, previously known as the Wedgewood Electrical Collection with the callsign GB2WEC, will now have the new call GB75SEM for this year’s event. The station will be active on HF, VHF and UHF.
Visitors are welcome, and the museum will be open between 10am and 4pm. Talk-in will be available on VHF.
A special colour QSL card will be sent to all contacts via the RSGB Bureau or direct on receipt of an SAE to Bob G6DUN, 40 Fairmile Road, Christchurch, BH23 2LL.
Milligan, Gilligan
Over the sea, now, to Ireland, where the Mid-Ulster Radio Club is flourishing. Their annual Parkanaur radio rally will be held on Sunday, May 15th at the Silverwood Hotel, Lurgan, County Armagh. Being an easy-going crowd, the club’s rally doesn’t start till twelve noon, but it’s bound to be a quality affair.
The entrance fee is £1 and there will be trade stands, a bring-and-buy stall, RSGB bookstall, QSL bureau and much more. Talk-in will be on S22 FM.
Not only this, but the proceeds will go to the Stanley Eakins Memorial Fund, so the club is hoping for a good turnout. Attend your rally – keep those Irish eyes smiling!
The Mid-Ulster ARC meets on the second Sunday of each month (except in July and August) at 3pm in the Guide Hall, Castle Hill, Gilford, County Down. There is usually a radio-related talk and everyone is welcome.
To find out more about the club contact Sam White G1IBIW on (07622) 22855.
Club secretaries please note:
When you send details of events for inclusion in this section remember to state the venue, date and time.
Also a contact address or phone number is useful
Typewritten information is preferred
A FIND TO TREASURE
Britain’s best selling magazine for the metal detecting enthusiast!
Don’t miss the May issue at your newsagents
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Includes FAX-1 demodulator, mains power unit, Epson compatible printer, paper, ribbon and all connecting cables. Nothing more to buy. Just connects to receiver loudspeaker output.
Hundreds of FAX-1s already in use world wide by professional and amateur weather forecasters, yachtsmen, aviators and enthusiasts. British designed and manufacturered.
ICS Electronics Ltd
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Telephone: 024 365 590. Facsimile: 024 365 575
12 months parts and labour warranty, Price includes VAT at 15%
There was some excellent propagation on the HF bands during March, even including some openings to the Pacific on 10 metres with strong signals from F00AQ, KH2D, KG6DX and others. Unfortunately, these conditions didn't prevail during the WPX contest and a solar storm on the Saturday really put paid to any decent openings to the west on the higher bands, although stations from the Far East were absolutely pounding in on 20 metres.
Along with other members of the Chiltern DX Club, I was operating GB4CDX in the contest and we had quite a struggle, despite having an excellent antenna system including a 3-element 40-metre beam and a set of slopers for 80. However, there were many interesting prefixes for the Amateur Radio prefixes award. For example, we worked TXUA, FY91S, TW6A, FJ0A, T07TSE, YM2KC, 9X1BE, etc.
During the BARTG Spring RTTY Contest, held over the previous weekend, I was able to make a brief appearance on RTTY. I was surprised at the level of activity, with some stations running serial numbers in excess of 400 by the end of the contest. I noted the following DX (not all worked by me, unfortunately!): 3C1MB, HD5G, ZC4JA, TG9VT, J39BS, HC8GR, AL7BB, 4U1UN and YS1TG.
Outside the contests, S0RASD continued to be very active, as were the various stations associated with the Canadian/Russian Trans-Polar Ski-Trek (particularly VO1SA/UA0, CI8C and CI8CW). Amir 4X6TT turned up as promised from various Pacific Islands. The KH1 DXpedition appeared just before the end of the month, with excellent signals on 20 metres and workable, although weaker, ones on 15 metres.
My apologies for giving some erroneous information concerning this DXpedition in the March issue. Previous operations from KH1 have been from Canton Island, but this time the operation was from the Baker and Howland Islands, which will count as a new one for the Islands on the Air Award.
Abu Ali
The A15 callsign used by the recent German DXpedition to Abu Ali led to some raised eyebrows. However, *Qrz DX* has since shed some light on this by way of a letter from Dieter DK9KD.
Dieter's letter reads as follows: 'In the past, all kinds of calls were used. We tried to find a way to give this island a callsign like, for example, Spratly. After discussing the matter with DARIC (the German national society) we came up with the as yet unissued called A1.'
We, the EUDXF, have been given the right by the owner of the island to issue a licence and, in future, we will supply a licence to everyone who likes it, even if he is not going to use it from the island. It will be valid for 5 years and will cost $50. The blocks A14, A15 and A16 will be used. The captain who is responsible for the island and the lighthouse agreed to this solution. The licence will be in such a form that it can be shown in any shack and we hope to use the money from the sale to further DXpeditions all over the world.'
Abu Ali, incidentally, is one of a group of rocks in the entrance to the Red Sea off Djibouti and isn't even shown in most atlases. Its significance is that a lighthouse sits on it and this is jointly administered by several nations with an interest in the area.
DX news
So let's move on to what is in store. Looking quite some way ahead, the 6-metre DX Society is mounting a DXpedition to Saba Island in the Caribbean from 7-14th July. The callsign will be PJ6M. Although they will be paying particular attention to exploring 6m multi-hop paths to the UK and Europe, they will also be active on the 80 to 10 metre HF bands. K2MUD will be handling the QSLs.
The following are a couple to look forward to from the Pacific. NZ1Q was due to be active at NZ1Q/KH7 until 3rd May, CW only, 26kHz from the bottom of the various bands. Although KH6JEB/KH7 has operated from Kure Island several times in recent years, this has been almost exclusively on SSB so NZ1Q is likely to find himself very popular. NY6M and KH2F will sign NY6M/AH0 from Saipan from 27-30th May, on 160-10.
DJ5GR is currently active as TU4GR and will be at the Ivory Coast until mid-August. He is mainly active on CW. QSLs will be dealt with on his return to Germany. Rudi was once of the last amateurs to operate from Yemen, signing 4W9GR in the mid-'70s.
Gerben PA0GAM, who has recently been very active from the Sudan, was due to visit several rare countries in Africa and Asia between 6th April and 6th June. These will include 9X, A5 and 9N. I can't imagine Gerben getting permission to operate from Bhutan, but he was hoping it would give him the opportunity to find out what the latest situation is regarding amateur radio in that remote kingdom.
Gerry 5X5GK is reported to have been forcibly expelled from Uganda, which is unfortunate both for him and for the amateur radio community. Gerry has been the only station regularly active from Uganda in recent years. N5RM/PJ2 should be active from 24th-31st May, including during the CQ WPX CW contest when he will sign PJ0R. SX1RAAG will be active from Greece during the whole of May and June, operated by the Greek national radio club (the RAAG).
WAB enthusiasts should look out for G5LP and others who were due to activate the islands of Sark (30th April-4th May), Herm (5th May) and Alderney (6th May). The callsign was expected to be GUBING and I would suggest checking the usual WAB frequencies (particularly 3760kHz).
*DX News Sheet* recently carried a reminder from G3AEZ that propagation forecasts are broadcast by Radio Australia on Mondays to Saturdays at 0425, 0827, 1627 and 2027. Reception in the UK is particularly good on 7205kHz from 1600 GMT. The morning transmissions are made on 9655, 15395 and 17715kHz.
Contests
The main contesting event of May is the CQ WPX CW contest on the last full weekend of the month (in other words 28/29th May this year). See the March *DX Diary* column for the rules, which are the same as for SSB.
The Russian CQ-M Contest is another interesting one to look out for this month. This is on 14/15th May, lasting for 24 hours starting at 2100 GMT on the Saturday. This is for both CW and SSB and is always an excellent opportunity to work rare Russian oblasts, as well as countries like JT (one year I worked three Mongolian stations on 20 metres within an hour of the contest starting).
Looking ahead, the All Asia Phone Contest takes place on 18/19th June. This is a full-blown 48-hour affair and the contest exchange is RS plus your age. YL operators are allowed to send OO! If propagation is favourable, this can be a very enjoyable and rewarding contest with lots of interesting Asian DX to be worked.
This month I have included...
the UK results from the 1987 CQ WPX SSB Contest. The number of entries was disappointingly low compared with other European countries. I hope more UK stations decided to have a go this year. Congratulations are due especially to GW4BLE, whose 14MHz score was world 7th, and to G4VGO, who came world 4th on 1.8MHz operating as GB8DX. G4JVG also put in a very respectable all-band score of 1,130,220 points, operating as OH0/G4JVG from the Aland Islands.
Operating techniques
I have said quite a lot in the past about the best operating techniques for DX chasing. There is no doubt that the most successful DXers are those who spend much more time listening than transmitting and, if they hear a DX station, make a point of figuring out his operating technique before making their first call. It's probably fair to say that the majority of US and Japanese amateurs put these techniques into practice and operate in a well-disciplined way.
However, I continue to be appalled by the operating behaviour of most European DXers. Of course, we all get carried away in the excitement of a pile-up from time to time and occasionally make the mistake of selecting the wrong VFO when the DX station is operating split frequency. Nowadays, though, it seems to be common practice for most Europeans to call and call regardless of whether the DX station is already in QSO or is listening for a particular station or group of stations.
Then there are the 'policemen', who insist on being 'helpful' by sitting on the DX station's frequency in order to tell others to QSY off the channel. Often they make far more QRM than the stations they are trying to move. If all this were not enough, there are others who cause deliberate QRM out of sheer bloody-mindedness, sometimes playing music on the DX station's frequency or putting out a continuous carrier.
If you chase DX at all, I'm sure you could add several more examples of the way in which this aspect of the hobby seems to have deteriorated in recent years. I'm sure there has always been an element of this kind of behaviour, but perhaps matters have got worse due to the rapid increase in the number of DXers. I imagine much of the bad behaviour is due to sheer frustration at not being able to get through the pile-up. Even a major DXpedition, which might make 20,000 contacts or more, can't completely satisfy the demand, and the lone operator in a remote corner of Africa or wherever finds it even harder to please everybody.
The advent of new single band DXCC awards can only make matters worse. DXers will not be satisfied with 100 countries per band for their 5-band DXCC, but will want to press on and work every new one they can. What's more, they will also be wanting the QSL cards in order to send them off for the various awards.
I don't see any immediate respite from this kind of pressure. Perhaps things will improve when we get full access to the 18 and 24MHz bands but, if anything, it may be worse because DXers will now want to work a rare station on nine rather than six bands, making it even harder to satisfy everybody.
Pretty depressing? Well, maybe. On the other hand, many of us still find DXing the most rewarding aspect of amateur radio, gaining a real sense of achievement when something unusual finds its way into the log. Although the going can get rough at times it isn't always so, particularly for good listeners who latch on to the DX before anyone else realises it's around. If you listen on the HF bands on a weekday you might sometimes be forgiven for thinking that HF amateur radio is dead - the DX is booming in calling CQ and there is not a DXer to be heard.
No magic remedy, then. If the going gets too rough, call it a day and look around for someone else to call. There will always be another time. And in your own operating, try to set an example to others, even if it means taking a back seat occasionally. Do remember, as well, that life on CW is still generally much more civilised than on SSB and DX stations are beginning to realise that as well.
Books
If you want to read more about DX operating techniques, there are several books worth taking a look at. All are American, but available in the UK. One which has received good reviews recently, and which I am currently in the middle of reading, is DX Power, Effective Techniques for Radio Amateurs by Eugene Tilton K5RSG, published by TAB Books in conjunction with the ARRL.
TAB also publish Secrets of Ham Radio DXing by Dave Ingram K4TWJ.
Finally, The Complete DXer by W9KNI, published by Idiom Press, is also a good read. This one is principally aimed at CW DXing, but many of the techniques described are equally applicable to DXing on SSB.
Awards
This month I have concentrated on a series of Canadian awards issued by the Ontario DX Association.
The Canadian Provincial Capitals Certificate is an attractive award for which you need to work a station in each of the ten provincial capital cities of Canada: Edmonton (Alberta), Victoria (British Columbia), Fredericton (New Brunswick), St John's (Newfoundland), Halifax (Nova Scotia), Winnipeg (Manitoba), Toronto (Ontario), Quebec City (Quebec), Charlottetown (Prince Edward Island) and Regina (Saskatchewan).
Send certified log data (signed by one executive of your local radio club or two fellow amateurs) to Ron Nickle VE3SF, Awards Manager, 286 Burnett Avenue, Willowdale, Ontario, Canada M2N 1W1. There is a charge of $2 or 10 IRCs.
Another Canadian award to go for is the Trans-Canada Award. For this one work five stations in each of the 8 Canadian call areas for a total of 40 contacts, plus five stations in Newfoundland or Labrador (VO1 or VO2), plus one VE0 Maritime Mobile station. Of the VE8 contacts, at least one must be with the Yukon (VE8 or VY1) and one with an offshore island of the North-West Territories. The total number of contacts required is 46. The method of application and charge are exactly the same as for the capitals award described above.
Finally, the St Lawrence Seaway Award requires contacts with ten stations along the route of the St Lawrence, including at least one in each of the following areas: Thunder Bay, Greater Toronto, Greater Montreal and Greater Quebec City. The remaining six may be from any municipality located along the route. Again, charges and method of application are as for the previous two awards.
Incidentally, you may see in award details that applications require a GCR list. The term GCR gained acceptance as a standard for awards chasing due to the efforts of K6BX in the 1960s and '70s. GCR stands for General Certification Rule. When applying for an award the applicant is expected to provide a list of the contacts or QSLs required for the award. The GCR is a separate area on the application which contains a statement such as: 'The information and/or QSLs required for this award have been checked and are certified as being correct by the following amateurs'.
Almost all award sponsors require two (dated) signatures. Some require the signature of a club official. Others will specify an official of an IARU associated club or of the national society. The safest way when applying for awards for which QSL cards are required is to have the application certified by your national HF awards manager who, in the UK, is GW4BKG. That's the lot for this month. Happy DXing.
UK Scores in 1987 CQ WPX SSB Contest
| Category | Station | Score |
|-------------------|-----------|-----------|
| All-band | GM4GPN | 301,924 |
| All-band | GM4WEN | 177,000 |
| 21MHz | G3VOF | 42,288 |
| 14MHz | GW4BLE | 3,229,446 |
| 14MHz | GB6AR (op: G4XKR) | 401,580 |
| 1.8MHz | GB8DX (op: G4VGO) | 64,256 |
| 1.8MHz | G3XWZ | 3,182 |
| Multi-single | GB8AU | 3,080,525 |
| Multi-single | GB8PX | 261,392 |
| Multi-single | G4CVK | 85,782 |
Funny how things change isn't it? I mean, when I was but a callow youth we always called it the 'coffee bar'. Nowadays, it's almost universally 'the caff'. Well, coffee bar was good enough in my day and it'll do today as well. At least I know what I mean, even if nobody else does. Ah! Those halcyon days of youth, sitting in the coffee bar drinking ice cold bottled Coke or espresso coffee (frothy coffee, we called it) and the Beatles belting out *Love Me Do* on the juke box. Happy days, indeed.
Anyway, me and Old Cyril were sitting in the coffee bar plotting. We'd completed all the events in the club's programme and had about three weeks to run before the start of the next one. 'Wot abah't a two metre ess ess bee contest?' said Old Cyril, looking at me hopefully. I swivelled my eyes from side to side in consternation, then snatched a quick glance behind me.
'Shush!' I urged him frantically, again sweeping the room with my eyes. I reminded him that we'd had so many two metre SSB contests recently that the club members had sworn to lynch the next person to suggest another.
'Junk sale?'
'Last month, Cyril.'
'Home-brew competition?'
'Remember the last one?' I asked him.
Old Cyril's eyes glazed over as he time-warped back three months to the club's last home-brew competition. We had acquired a new club member who was as keen as mustard, but unfortunately knew next to nothing about the bizarre world of amateur radio. He appeared faithfully, week after week, always dressed in the same clothes. Black three piece suit, white shirt and black tie.
He came up to me a few weeks before the home-brew competition and asked me what home-brew was all about. I explained to him that it referred to anything you made yourself.
On the night of the judging, among the various bits of electronic plumbing carefully displayed around the room was a long box-like shape covered with a white cloth and supported at each end by two chairs. The judges, including some very high up bod from the RSGB, were meandering around the room, picking up gadgets, passing a few comments then moving on to the next piece. Finally, they arrived at the shrouded box between the chairs. They stopped, wrinkled their brows then looked around the room for an explanation. Mr 'Black-suit', who'd been watching things closely, calmly walked over to his creation, took hold of a corner of the white cover and, with a nice theatrical gesture, swept it off to reveal... a beautifully polished and gleaming pine coffin, complete with sculptured brass handles.
I had forgotten to mention the word 'radio' when I explained what home-brew was all about. Still, he did win first prize; I think it was the brass handles which finally swung things his way.
'Natter nite?' suggested Old Cyril, returning to the present.
'Nope!' I vetoed.
'Fox-hunt. That's it! We 'aven't 'ad one o' them fer yonks.'
'Fox-hunt?' I queried, puzzled.
'Yeh. That's wot we'll do, we'll 'av a fox-hunt,' said Old Cyril, gleefully.
I'd never heard of a radio fox-hunt before. Visions of woofing dogs, scarlet coats and horses whizzed through my mind. I had remained curiously ignorant about amateur radio fox-hunting. I told Old Cyril that I had no idea about what happened on a fox-hunt, or how to organise one. Then I realised that I had made yet another blunder. Old Cyril grinned delightedly, leaned his elbows on the table, pushed his half full coffee mug away from him and began to light his evil smelling pipe. I recognised all the signs of an impending monologue and leaned back in my chair, resigned to an ear bashing.
As Old Cyril struggled with his pipe I cast a casual glance around the coffee bar. Seated at a table immediately to my right were four people, three men and a girl. They were students, judging by their avant garde dress and plethora of 'ban everything' patches. Their eyes roamed aimlessly around the room, one of the men was whistling tunelessly through his teeth. But it was very apparent that they were listening very carefully to everything we said.
'Yoo really don' know wot a fox-hunt is?' asked Old Cyril incredulously. Then, without waiting for me to answer, he launched into a description. 'Right! Well, first you choose a fox. That's somebody everybody else has to find. 'e takes off to a secret location armed wiv a transmitter, then, every two or three minutes, he'll transmit on a certain frequency for a fixed time.'
Old Cyril whipped the pipe out of his mouth, narrowed his eyes and stared intently at me, checking that I was following his explanation. I nodded to reassure him and he re-inserted his pipe and continued.
'Everybody leaps into their cars and sets off to find the fox by direction fixing on the fox's radio broadcasts. Yoo 'av to mek a speshul directionamal aerial so's yoo can null out unwanted signals, jus' leaving the one which points to the fox.'
Old Cyril had lost me by this time. I recapped on the highlights, then asked for more details. 'This, er, this directionamal - er, directional aerial baffles me, Cyril. What's it made of?'
Old Cyril smiled secretly at me, gave me a huge conspiratorial wink then tapped the side of his nose with the stem of his pipe.
'Ah! Now that's where success or failure lies,' he said, with a knowing smirk. 'There are stacks of different designs, most of them top secret.' He made a verbal detour to explain the principles of directional aerials, and gradually the fog began to clear away.
'So, You take three bearings on the fox from different locations, plot them on a map and the fox will be where the lines intersect!' I concluded, triumphantly.
'Yes, you've got it,' came the chorus from the students' table. I threw them my world famous withering look.
'Right then! We'll do it,' I stated, with authority.
Just as we got up to leave, one of the students stopped us cold with: 'You should be ashamed of yourselves, using high tech equipment to hunt down and slaughter an innocent animal. I've got some friends who know how to deal with people like you.'
Well! Old Cyril looked at me, and I at him. Our flabbers had never been so gasted. We synchronised Gallic shrugs, nodded our heads sadly and left the coffee bar. How I wish I had paid more attention to the long haired chappie; his pronouncement was to have dire consequences for all of us later on.
Having taken so long to find an amateur radio club, now that I belonged to one I was determined to enter fully into the spirit of things, and so I joined the club's committee. I put forward the suggestion for the fox-hunt at the very next meeting. To my surprise it was warmly received, so I didn't need the roller skates or the back door held open by Old Cyril after all. However, there was a proviso demanded by the club members. Old Cyril had to be the fox.
I was puzzled by this until a fellow committee member explained all to me
over a double brandy (my favourite drink, should we ever meet) at the committee meeting held to plan the fox-hunt. He related several apocryphal sounding tales of Old Cyril's DFing, finally ending with: 'And then there was the time he DFed the fox's position before the fox had even made his first transmission!'
'Aw, c'mon. You're winding me up,' I complained.
'Nope. S'true!'
'How?'
'Well, the crafty old bugger syphoned all the petrol out of the fox's car, then returned just the one gallon. Having noted the direction the fox set off in, Old Cyril carefully plotted the car's range on a map. Of course, it was quite a simple job to check all the likely areas. Old Cyril simply sat on the side of the road awaiting the arrival of the fox. He was just lighting his pipe as the fox rolled to a halt a few inches away from him.'
Well! I mean, how can you fail to be impressed by such animal cunning? We quickly concluded our committee meeting, supped up and left the pub.
Now, I can only concentrate on one thing at a time, but I concentrate and get involved one hundred per cent. Some people call it going over the top, or at least that's what the club members said as I drew up in my car on the evening of the fox-hunt.
I leaned against the bonnet of my car, flicking an imaginary speck of dust off my scarlet, tailed hunting coat, casually slapping my white blanccoed jodhpurs with my riding crop and inspecting the shine on my knee length patent leather riding boots. 'Cor! Give us a toot on yer 'unting 'orn, John Peel,' said one of the older club members.
I nonchalantly lifted the heavy brass hunting horn to my lips and blew into it. A sound like an old cabbage being swallowed by a waste disposal unit pierced the peaceful calm and silence of the warm summer evening. The club members stared aghast as I donned my hard black riding hat. 'Well, it is supposed to be a fox-hunt,' I explained to all the mouths hanging open as I walked around my car.
We had arranged for all club members to travel in pairs. For some strange reason I couldn't get anybody to travel with me. I gave another hearty blast on the hunting horn. Two cows in an adjacent field came galloping over, eyes shining bright and huge smiles on their bovine faces. On reaching the fence, their heads flipped from side to side, looking for the bull.
Eventually, there were three luckless bodies left without transport. 'Never mind, chaps, you can come with me,' I beamed at them. Sobbing deeply, they got into the car and with me in the back, hanging out of the window and tooting merrily on the hunting horn, we set off in pursuit of the fox.
We drove up to a small hill and I leaped into action with the dipole and the AGC-less two metre receiver. I waved the dipole around, listened intently to the receiver, then waved the dipole some more. Of course, I was getting about two million nulls. Picking one at random (I wonder where Random is?), I plotted its bearing on the only map I had; a Mercator projection of the whole world! The track of the bearing dissected the North Pole, then dog-legged across Eastern Siberia.
On looking down the hill to try and align the new map hastily thrust into my hands by my assistants, I noticed quite a crowd had gathered. I never connected the press reports of a scarlet coated satanist waving deer's antlers above his head whilst performing black magic rites with my DFing antics!
Back to the car, and off for the second bearing. We travelled slowly down a country lane, with me hanging out of the car window, dipole in one hand, hunting horn in the other. I blew an occasional toot on the hunting horn, yelling 'Tally-ho!' for added authenticity. Pretty soon a dog appeared behind the car and began trotting after us. Then, from a hole in the hedgerow, another dog appeared. Then another - and another. By the time we had travelled two miles we had collected a pack of about forty dogs, all loping along behind the car.
I was enjoying myself enormously by this time. I tooted on the hunting horn and the dogs woofed in unison. Toot - woof. Toot - woof. It went on for miles. Again we pulled up at the side of the road for a second bearing on the fox. The dogs milled around the car as I busied myself with rig and aerial.
Presently, I heard a sound like distant thunder approaching. I ignored it for a while, but it grew louder and louder.
'Stop mucking about with those coconut shells,' I commanded my assistants. However, I suddenly saw a score of huge horses leaping over a hawthorn hedge, with scarlet coated portly gentlemen in the driving seats. Spotting the car and the dogs, the leading horseman hastily reined in his horse and cantered up to us.
'I say, old chap, which way to the fox?' enquired a bristling moustache seated on a giant bay horse.
I delicately moved out of range of his waistcoat buttons which appeared to be fighting a losing battle to contain his straining stomach. 'Don't know yet, old bean,' I replied. 'I've still got one more bearing to take before I pinpoint his position, then we'll have the blighter!'
'You mean you can pinpoint the fox by waving those two metal pipes around?'
said the moustache, enormously impressed.
'Is there any other way?' I riposted, nonchalantly.
All the scarlet coats, horses and dogs went into a huddle. I could overhear an excited buzz of conversation ripple around them. The horses seemed very impressed.
'OK, We have the blighter! Crossroads - Armageddon Road and Slaughterhouse Lane,' I said, plotting the bearing on the map.
'But this is absolutely fantastic, old boy,' said the moustache.
'Hardly sporting though, Archibald, don't you know?' answered one of the moustache's lieutenants, looking at me down the length of his nose. I shrugged my shoulders. The moustache gave a long toot on his hunting horn, and I replied in kind, on mine.
'Tally-ho!' he said.
'Right on!' said I.
The horses, dogs, gentlemen and clouds of dust all disappeared up the road. We ambled back to the car, in no hurry now that we'd located the fox's position, but I kept the receiver on, to reassure us we were going in the right direction. Suddenly, the calm, slightly bored voice announcing a callsign and that he was the fox, turned into a panic induced shriek. Muffled bangs and crashes followed by muttered swearing filled the air waves. Then - silence.
Worried about the shouting and the sounds of a desperate struggle which had come over my receiver, I urged our driver to put his foot down and we melted the tarmac in our haste to get to the fox. I knew that we weren't too far away; before the fox's signal had vanished he had three oranges and two cherries on the bargraph LED display.
We arrived at the brow of a hill which overlooked the crossroads and coasted to a stop. I held the hunting horn three inches away from my lips, frozen into immobility. We each stared with horrified eyes at the debacle confronting us at the foot of the hill. A scene of pure lunacy was being enacted before our very eyes. Army surplussed combat jackets filled with student types were running around the scarlet coated gentlemen on the horses, screaming and shouting abuse at them. They were waving home-made banners, twisting football rattles and generally making as much noise as possible. The horses were bucking and kicking, whilst the portly gentlemen were swiping indiscriminately at each side of their horses with horse whips.
We drove up to the fringe of the mêlée. Getting out of the car, I heard four student types yelling, 'We've got it! We've got the fox!'
I saw them humping a large sack with something inside kicking and struggling furiously. To my horror, I recognised the four students holding the sack - they were the four people who had sat on my right in the coffee bar. On seeing me, they dropped the sack, which emitted a deep groan as it hit the ground and rolled over a few times. Another group of students rushed up to the sack and began spraying it with deodorants and various perfumes from an atomizer.
The four students who'd been carrying the sack marched up to me.
'That's 'im. He's the one that organised it all,' said one of the students. A deathly silence greeted this announcement. The students stopped abusing the horsemen and vice versa. They walked over to me and formed a circle around me. I hoisted my hands into the air, in the international signal of 'I surrender'.
'Look chaps, I'll give you a last chance to surrender,' I stuttered, nervously. The horsy types, intrigued, cantered over to join the circle.
'I told you you'd regret using high tech methods for fox-hunting,' said the leader of the hunt saboteurs, pointing her finger to a row of parked cars. I followed her pointing finger and saw six club members standing at the sides of their cars, holding various parts of their amateur radio equipment, staring disconsolately at smashed dials and hacked wires. My heart hit my boots.
I walked over to the still violently struggling sack, reached down and unfastened the string securing it. Out flopped a furious Old Cyril, which produced a gasp of amazement from the student types. I began an explanation of the terrible mistake they had made. Old Cyril, smelling like the perfumery department of Boots, added the odd four letter word at various stages.
'I say, old boy. Could do with a drinky-boos, what?' said the bristling moustache. One of the students produced a six-pack of lager and passed one to the bristling moustache. The temperature lowered somewhat and the hunt saboteurs and horsemen both drifted off into small groups, discussing tactics and yarning about past hunts.
I was left with the six angry amateurs. One produced a shotgun from the boot of his car and, without a word, passed it to Old Cyril. Old Cyril walked over to me, his eyes glowing with satanic intention. He pushed his grinning face into mine. I took several steps backwards - the smell of the perfume was overpowering. Old Cyril pushed past me and walked up to my car. He then quite calmly, and grinning broadly, proceeded to blast the front nearside tyre of my car with the shotgun. This produced a loud cheer from the six rigrless amateurs. Pumping the shotgun, Old Cyril methodically worked his way around my car, blasting the other tyres. Then, without a word to me, they returned to their cars and left.
I stood staring down at my mortally wounded car, a big lump in my throat. I put the hunting horn to my lips for a final toot. As the echoes of the hunting horn were slowly dissipating, a reddish brown shape with a long bushy tail crawled out from beneath my car, slunk over to the discarded sack and rolled itself around on top of it. With a backwards grin at me, the vixen loped off into the gathering darkness. I could have sworn I heard it chuckling in the distance.
It makes a lot of sense for manufacturers to incorporate modular construction to allow one rig to cover up to four bands not covered by HF transceivers in general.
This brand new rig from Yaesu is normally supplied with 144 and 430MHz modules, each giving up to a nominal 25W output, but you can add 10W modules for 50 and 1296MHz bands, the latter being covered from 1240 up to 1300MHz. The FT736 provides LSB, USB, narrow or normal FM and CW, a 600Hz Rx filter being available as an optional extra. The rig also includes facilities for data input and output, as well as all the normal external computer control functions for use with packet, AMTOR and RTTY terminals.
The FT736 resembles both the earlier FT726, which it completely outclasses, and the FT767 HF transceiver, available with plug-in VHF and UHF modules. The FT767 gave a very unsatisfactory performance with the plug-in modules when I reviewed it a year ago, the main problem being the very high synthesizer noise. Let me assure readers straight away that Yaesu appear to have learned their lesson, for the synthesizer in the FT736 is the best Yaesu one yet, outclassing both HF and VHF Yaesu synthesizers so far encountered.
They have taken a long time to issue this rig, but it is quite clear that the delay has been well worthwhile. They have not only corrected many of the problems in the earlier rigs, but they have introduced some extremely useful and impressive ergonomic features. However, before launching into the rig's facilities and a description of its various functions, we had better have a look at the alternatives available. These need to be thought about in great depth before a rig such as this is contemplated.
All the eggs in one basket again
There are three completely different approaches that can be adopted when deciding what to purchase for multimode operation on two or more VHF/UHF bands. The first approach is to lay out a lot of money on the best and most suitable HF transceiver that you can possibly afford, adding transverters to it for each band.
SSB Products are increasing their range of transverters and very shortly they should be introducing their 28/430MHz model, which could run alongside the 28/144MHz one which I reviewed a year or so ago. They do not as yet make a 50MHz one, but RN Electronics should be producing a 28MHz IF version of their successful 144/50MHz one which I reviewed last Christmas. BNOS also promise to introduce some transverters soon.
If you are fortunate enough to be able to find 50 or 144MHz muTek transverters in good condition second-hand, you will be very lucky indeed, for they offer a superb performance but are no longer made (see Radcom's news pages, March 1988). Under the right circumstances, with careful attention to attenuator settings on the HF rig, the use of external transverters still offers the best possible overall performance, with superb system noise figures and RF input intercept points, so necessary for successful contest and DX operating.
The second alternative is to select the best multimode monoband rig for each band that is required. The new Icom 575, 275 and 475 models will, presumably, have a 1275 model added eventually for 23cm. The standard of performance of all these rigs is generally good (and somewhat better than the competition so far, other than dedicated transverters), but the cost of having two or more monoband rigs is becoming prohibitive compared with the significantly lower cost of a multiband rig. Incidentally, the Icom IC575 includes 28 as well as 50MHz, but you only get 10W PEP for your money!
The third alternative is to purchase a rig such as the new FT736, the Trio TS780, a second-hand Yaesu FT726 or the Yaesu FT767 set-up, which I did not recommend. The FT736 under review is quite clearly the best multiband VHF/UHF rig available; its release will almost certainly result in second-hand prices of the older models beginning to fall. The biggest problem, though, is that you have all your eggs in one basket and, if you are as keen as I am and have the four band modules incorporated, you will be QRT on all bands if your rig has to go for a service. It is therefore even more important for you to investigate the efficiency of after sales service given by the dealer of your choice.
Tuning methods
You can access a frequency on the FT736 in several different ways. You can select the required band first, then the mode and tune up and down the band either with the normal VFO tuning knob or in selectable steps. A separate click step rotary can be selected to tune up and down in channels. The main VFO rotates in 10Hz or 100Hz steps at approximately 10 or 100kHz per rev; the click step rotary can be selected to vary...
in 5, 10, 12.5, 15, 20, 25, 30 or 50kHz steps for FM and 2.5 or 5kHz steps on CW/SSB. Once the step size has been selected for a mode on one of the bands, a non-volatile memory retains the selection.
Note that you can select a different stepping rate for different bands; the rates for SSB/CW and FM can be set separately. Selector buttons choose either the main VFO or the click steps. Above the main VFO knob are two more buttons labelled 'up' and 'down'. You can use these for stepping, with the step rate appropriate to the chosen VFO or click step knob. As with the microphone's up and down buttons, you can also use the rig's up and down buttons for starting or stopping a scan.
You can enter a required frequency directly from the comprehensive keypad on the right-hand side of the front panel. There is provision for altering just one digit of a frequency with this keypad. The keypad is also used for accessing dozens of different functions, including memory selection, programmable search start and stop frequencies and various repeater and dual VFO functions.
**Memory and repeater functions**
There are 100 basic memories, which can retain frequency, mode and repeater information. In addition, there are separate memories for many different sets of duplex frequencies and specialised split VFO channels. Each band module retains its own information in conjunction with the main microprocessors in the rig, thus allowing different step and repeater shift data to be stored in non-volatile memories for each band.
The version sold in the UK is the 736R/C1. This also incorporates an automatic repeater shift on each band, which puts the shift in completely automatically when you are on a repeater frequency but takes it out again when you shift to a simplex one. Simplex or repeater shift can, of course, be overruled on a specific frequency.
There are two call buttons, which allow immediate access to a preselected call frequency. Whereas call 1 accesses just one stored frequency, known as a global call frequency, the call 2 button accesses a different call frequency on each band. You can select either of two VFOs known as A or B, but there is much more to it than this. Each of these VFOs has different stored frequencies and modes on each of the bands, so you could always use VFO A for SSB and B for FM, for example.
If you select 'satellite' operation, two more frequencies are stored as if there were two more VFOs, the receive and transmit frequencies being memorised independently. A series of satellite memories can also be accessed. You could choose to alter either receive or transmit duplex frequencies whilst transmitting, but there is a facility, which I believe is unique, for altering the two satellite frequencies at the same time, with one going upwards whilst the other is going down in frequency!
The FT736 can be programmed to go into the priority mode, which allows a required channel to be scanned very briefly whilst you are listening to another frequency.
**VFO to memory and memory to VFO**
A check button allows you to select any required memory and see what frequency is stored in it without affecting normal operation. In this way, you can set a memory up that you know you will want to use shortly or, alternatively, a channel that you will want to store something on. You can at any time store a VFO frequency or frequencies into a memory. The rig also allows you to switch a memorised frequency to the VFO for manipulation, whilst also storing the previous VFO frequency into the memory. This can turn out to be an excellent way to completely louse up a memorised frequency, so one does have to be rather careful!
For a short while I was baffled that there was no apparent direct memory to VFO facility; it only took a minute or two, however, to realise that there is a perfectly good memory to VFO function. One must simply press the VFO/memory switch over and, following this, immediately depress the VFO to memory button. This worked without any trouble, although I would have preferred a single button to do the job.
Once you have selected a memory, you
can select the next one with a frequency stored in it by using the click rotary or up and down buttons.
I found memory access very simple and band change ergonomics excellent.
**Narrower FM channeling**
An extremely important new feature should be very popular for use on busy bands. Among the mode buttons are two for selecting normal FM or FM narrow. The normal FM IF filter has around 12kHz bandwidth. This in itself gives quite good selectivity, better than all previous Yaesu rigs checked, but if you press FM narrow an 8kHz filter is switched in, giving superb FM selectivity for 12.5kHz channeling.
The buttons not only change the Rx filters, though, they also change the deviation limiting threshold on Tx between just under 5kHz and just over 2.5kHz. This is undoubtedly a step in the right direction, although the considerable amount of research work that I have carried out for the RSGB's VHF Committee has shown that, for amateur radio purposes, it is not really necessary to reduce deviation to less than around 3 to 3.5kHz peak in order to obtain reasonable adjacent channel clearance.
The FM filters are of good quality and have quite steep sides, so an average FM transmission peaking at 5kHz deviation will sound distorted on peaks in the narrow position. However, if the transmitting station turns the deviation down somewhat, there is very little loss in system performance with the FT736 switched to narrow. The improvement in selectivity is phenomenal, however, and a strong station operating 12.5kHz off channel should not cause annoying interference unless the station is over deviating. I hope that other manufacturers will follow Yaesu's example here.
**Front panel controls**
Split concentric rotaries are provided for carrier level/mic gain, audio tone control and squelch (all modes) and Rx audio and RF gains. The mic gain is operative on all modes, which I think is a very great advantage. The RF carrier level also operates on all modes and can be used to reduce the output power or PEP by up to 30dB. Thus, when set fully anti-clockwise, I was able to peak just 25mW quite predictably on SSB, for example. Although I like the idea of an audio tone control, I did note that there was not enough HF output when the control was fully clockwise and reproduction was far too woofy when it was anti-clockwise. I tend to prefer control with a centre indent, which cuts HF one way and LF the other way.
A switch selects three speeds of AGC. I found this a great advantage for SSB, where the medium speed was ideal when many stations were in a net with fairly short overs, but I liked going to slow AGC for longer overs. There was no way to turn AGC off, however, which is a pity.
A five-position satellite switch has to be set to 'off' for normal use, with the remaining four positions being provided for satellite or other duplex operations.
The 'Rx' position enables the Rx frequency to be selected in the normal way, whilst the 'Tx' position allows one to vary the Tx frequency. In these two positions, the displayed frequency is the relevant one, actual duplex operation being possible once the PTT is pushed in. It is possible to alter just the Rx or Tx frequencies individually, but if you select the next position, 'normal', then both Rx and Tx frequencies can be varied in tandem.
With the final position, 'reverse', the received frequency goes in the opposite direction to the transmitted one, which can really tie you in the most dreadful knots if you are not concentrating very hard!
In the satellite mode, FM can be used as well as CW or SSB and separate modes can be chosen for Rx and Tx. There seemed to be almost no desensing at all when I used this facility for FM for 2m/70cm duplex, even when the transmitting and receiving aerials were fairly close to each other.
Mini rotaries are provided to adjust vox gain, anti-vox, vox delay and CW keying speed (optional board available to work with an external paddle). A rotary switches the meter to read Rx FM centre zero or S-meter, Tx power output or ALC. In duplex operation, the meter can be switched to read the received signal, if required, by selecting special switched positions.
A large push-button provides 13.8V dc on the centre of the co-ax socket of the
Yaesu FT736 Laboratory Measurements
**Receiver Measurements**
- **SSB 12dB sinad sensitivity**
- 144MHz: $-125.5\text{dBm (0.12\mu V)}$
- 432MHz: $-127\text{dBm (0.1\mu V)}$
- **FM normal 12dB sinad**
- 144MHz: $-123.5\text{dBm (0.15\mu V)}$
- 432MHz: $-124.5\text{dBm (0.13\mu V)}$
- **FM normal 12dB sinad, offset 1.5KHz tuning for best**
- 144MHz: $-124.5\text{dBm (0.13\mu V)}$
- 432MHz: $-125.5\text{dBm (0.12\mu V)}$
- **RF input intercept point, 100kHz spacing**
- 144MHz: $-8\text{dBm}$
- 432MHz: $-12.5\text{dBm}$
- **Reciprocal mixing performance, offset carrier level/SSB noise floor 144MHz**
- 5kHz: $81\text{dB ratio}$
- 10kHz: $90$
- 20kHz: $97$
- 50kHz: $109$
- 100kHz: $116$
- **S-meter**
- S1: $-113\text{dBm}$
- S3: $-110$
- S5: $-107$
- S7: $-101$
- S9: $-93$
- S9 + 20: $-74$
- S9 + 40: $-54$
- S9 + 60: $-35$
- **SSB selectivity bandwidth:**
- 3dB: $1.9\text{kHz}$
- 6dB: $2.4$
- 40dB: $3.2$
- 60dB: $4.2$
- 70dB: $4.2$
- 80dB: $4.2$
- **FM selectivity normal filter ±12.5KHz**
- $+11/+16.5\text{dB}$
- **normal filter ±25KHz**
- $+75.5/+76.5\text{dB}$
- **narrow filter ±12.5KHz**
- $+24.5/+26\text{dB}$
- **narrow filter ±25KHz**
- $+77/+77\text{dB}$
- **FM capture ratio normal filter**
- $4.1\text{dB}$
- **narrow filter**
- $4.3\text{dB}$
- **SSB product detector distortion (static test)**
- FM distortion higher deviations between 3 and 5kHz
- 1% THD
- 2.5 to 3%, lower deviations 1 to 1.5%
- **Maximum audio output for 10% THD**
- 8 ohms: $2.1\text{W}$
- 4 ohms: $3.5\text{W}$
- **Received frequency accuracy after warm up (SSB)**
- 144MHz: average 20Hz
- 432MHz: average 70Hz
- **Typical drift over 1 hour from switch on**
- around 50Hz
**Transmitter Measurements**
- **Power output FM 144MHz**
- 430 to 439MHz: 26 to 25W across band
- 23 to 20W
- **Typical SSB two-tone PEP 144MHz**
- 432MHz: 24W max
- 20W typically
- **Variable power range ref full power**
- 0 to $-30\text{dB (typically 25W to 25W)}$
- **SSB carrier rejection**
- $-51\text{dB}$
- **Alternate SSB rejection 1kHz audio**
- typically 60dB
- **FM max deviation normal filter 1kHz audio**
- $4.7\text{kHz}$
- **normal filter 600Hz audio**
- $5\text{kHz}$
- **narrow filter 1kHz audio**
- $2.7\text{kHz}$
- **Transmitted frequency accuracy after warm up**
- 144MHz: 10Hz (high)
- 435MHz: 20Hz (low)
- **Tx response FM ref 1kHz**
- 100Hz: $-16\text{dB}$
- 350Hz: $-3\text{dB}$
- 2.6kHz: $-3\text{dB}$
- 3.2kHz: $-10\text{dB}$
- 4kHz: $-15\text{dB (all ref 750\mu s de-emphasis)}$
- **Size (WxHxD with projections)**
- $368 \times 129 \times 286$
- **Weight**
- $9\text{kg}$
selected module for masthead pre-amp operation. On Tx, the voltage is instantly withdrawn to disable the masthead pre-amp.
There is one serious snag, however. Judging by the review sample, this entire facility can only be activated if a special jumper plug supplied is pushed home inside the appropriate module. However, getting at the module to do this is a lengthy and very tiresome job and, since we had very little time to carry out this review, we could not check the operation. I am most surprised that the factory did not despatch the equipment with the jumper plugs in position for each of the modules. If there is any chance that you will require the masthead facility, you should insist on the dealer doing the job for you.
It would have been so much better if, as in an alternative rig reviewed recently, the masthead drive facility was on a back panel switch.
Incidentally, from my personal experience, I can strongly recommend SSB Products' mastheads for use with this rig, as they have a very fine performance. Take care not to put 13V onto a co-ax lead directly connected to a dummy load or to an antenna system which puts a dc short circuit across the line.
In addition to mains on/off and Tx/Rx buttons, there are also switches for Tx processor on/off; noise blanker on/off; dial lock; notch filter enable, VFO A or B; split VFO for Rx and Tx in either direction, VFO dial or rotary click steps separate for SSB/CW and FM; CW keyer on/off; 1750Hz auto toneburst on/off; scanner pause on/off and light dim.
**Microprocessor operation**
To the right of the VFO are all the buttons used to interface with the microprocessors in the rig. Many of the buttons have second functions. The mode buttons (LSB, USB, FM narrow, FM normal, CW narrow and CW normal) have second functions, giving plus or minus repeater shifts or simplex, plus various enabling functions for tone squelch and Yaesu's AQS system, etc.
Two buttons are provided for QSYing up and down in 1MHz jumps and a split concentric rotary provides notch filter tuning and IF shift, the latter having a centre indent. A rotary is provided for adjustment of CW sidetone level. Three large buttons are used for switching to Tx with continuous toneburst, for selecting the second function of various buttons and for commencing an 'enter' process, eg, a required VFO frequency.
Matrix pad functions include VFO select, memory recall, step rate, memory check, T set, VFO and memory switch round, memory write from VFO, programmed search clarifier on/off, speech enable (speech frequency readout board type FVS-1 is an optional extra), call 1 and call 2, frequency band, reverse repeater and priority channel. Second functions include numbers 1 to 9 and 0, *, 'hash', code and offset. Additional buttons control various AQS functions.
The front panel display gives frequency with 100Hz resolution, selected memory channel in reserve and all the normal status indications. The S-meter is by the side of the frequency display. The front panel microphone socket has eight pins wired to the normal Yaesu configuration, which is different to Icom and Kenwood. There is also a quarter-inch headphone jack by its side. The rig has a carrying handle on the right cheek and is fitted with four feet underneath, extender feet being provided if you want to use them to raise the front. The loudspeaker is mounted on the top of the cabinet.
Shoot the reviewer!
This rig has the fascinating facility of automatically selecting repeater shift just between 145.6 and 145.8MHz. My wife, Fiona, and I spent a good hour trying to get this function to work, but it would only go into repeater shift under manual control. I telephoned the official Yaesu importers and applied many checks to the rig whilst on the phone to them. They went away and tried their own showroom model and eventually phoned me back to suggest that the set, which had been loaned to me by a very kind and helpful reader, was actually a faulty one. It was suggested that perhaps Yaesu had introduced some strange modifications.
We looked all the way through the manual to no avail. It was when we were writing this review and had reached the part about the top panel loudspeaker that I asked Fiona what on earth the two tiny rubber bungs were near the front. She didn't think there was anything down there but, on closer examination with a torch, there was a suspicion of two tiny microswitches a good half-inch down.
Closer perusal of the handbook found section 2.2 'top panel switches'. The first one was boring, its job being to reset the microprocessor, but the second switch produced considerable hilarity, for it was provided to switch off the automatic repeater shift function. Fiona eventually found a tiny screwdriver and, after much fiddling, managed to slide the switch over, whereupon the auto repeater function worked perfectly and all was forgiven. I don't feel too much of an idiot, though, and I await SMC's reaction when they too discover this secret switch!
The rear panel
The rig can be used either on 240V ac mains (as normally connected, but other mains voltages are available) or 13.8V dc. The ac socket is a standard IEC mains type. The output of the mains PSU feeds out of the rig and back in again to the dc socket, a separate dc power lead being an optional extra. The wiring of the IEC socket is perhaps a little bit 'open to the wind' internally, so do be careful if you have the lid off and are poking around with the mains connected.
Somewhat surprisingly, each module only has the antenna socket connection for the outside world, N type sockets being fitted to the UHF and microwave modules whilst S0239s are provided for the 6m and 2m ones. A five pin 'standby' socket provides solid-state switching pins for separate connection to external linear. It is most unfortunate that these pins were not independent short on Tx open or Rx relay connections, so interfacing will be very awkward for most makes of linear. Another multipin socket is provided as a CAT interface, with serial in and out, squelch on/off and 13.8V being available.
A separate data three contact micro jack is used for computer controlling. A 3.5mm jack socket is fitted for connection to an external speaker and a three-pole quarter inch jack is for a straight or paddle key connection. External PTT can be connected to a phono-type socket. Two large heatsinks occupy most of the space on the back panel.
I have to make the comment that I am very disappointed that no further interfacing is provided, so there is no input for external ALC, no convenient recorder feeds and none of the switching facilities that are fitted to models like the FT767.
Ergonomics
Although this rig has a great complexity of buttons, they are very sensibly laid out and easy to use. It should not take you too long to get the rig working in most of its modes, but some of the more specialised ones do require you to tuck your head into the instruction book for a while!
I very much liked the operational convenience of having the separate VFO knob and rotary click step control. The VFO runs very smoothly and is heavily knurled, a large finger hole also being fitted with a bearing which allows you to turn the VFO with your finger very rapidly. It is an excellent idea to have switches to select VFO or click steps for each step and the choice of steps is excellent. The up and down buttons above the VFO seem a little superfluous, however, unless you want to commence scanning; most users would probably use the up/down keys on the mic anyway.
I must praise the automatic repeater shift facility very highly. This operates on the 144MHz band only; it would have been very convenient if it could have been user programmable onto the 432MHz band as well, but perhaps this is too much to ask!
Memories were very easy to access and I soon got used to pressing two buttons to gain the memory to VFO function. The latter I feel is a must for any rig of this type these days.
I did not try the AQS system controls but I cannot help but feel that very few people are likely to be interested in using them because of the ludicrous lack of standardisation between all the manufacturers. It seems very childish for the Japanese manufacturers to each go their own way on this. They have done the same for years over the microphone socket pin connections, a constant irritation both to the trade and to amateurs who like fiddling around with mics.
I very much appreciated the facility for decreasing transmitted power by up to 30dB and the carrier level control had quite a smooth action on this. I also liked being able to alter the mic gain for FM as well as SSB. I do not understand why this gain is fixed for FM on so many other rigs, as some users almost eat a microphone.
whilst others get well back and need much more mic gain.
I think that it is right to put the VOX controls on the front panel for a similar reason, although I do not like VOX on FM. Having three speeds of AGC is a great advantage and accessing the duplex mode with a rotary switch is commendable. I do prefer rotary switches to cyclic button pushing; perhaps Yaesu are now getting more consumer reaction against cyclic operating buttons. Manufacturers will only learn what people like and dislike if users let them know directly. I find that, in practice, it is no good letting shops know, as they often cannot be bothered to pass on the comments, especially if they are very busy at the time.
The notch filter was very poor indeed, the notch depth being less than 10dB, but I hope this was due to maladjustment rather than a design fault. The noise blanker seemed to be satisfactory.
I was very surprised that various interfacing possibilities were omitted on the actual modules themselves, for this was the obvious place to put external linear control, ALC input (completely omitted on the 736) and a switch to enable a masthead pre-amp on Rx. It would also be handy to have an easily available counter-sunk preset on the module's rear panel to set the maximum output power at a lower level than the factory set one. This would stop fiddlers at portable sites from whipping up the drive to a linear which may only require 10W PEP, for example.
**Subjective trials**
I was impressed by the rig's sensitivity on 70cm SSB and FM but the performance on 2m was not quite so good, although better than some of the competition. The selectivity was outstandingly good on all modes and I did not experience any RF input intermodulation problems until I put the masthead pre-amp on 2m by external control. Transmitted and receive quality were both reasonably good, but some amateurs may find the microphone somewhat coloured in the mid-frequency region. FM reception was excellent and the tonal quality good, but I felt that SSB sounded a little muffled, although the actual bandwidth was ideal as far as the IF filter is concerned.
It seemed that there was too much audio cut at HF. There did not seem to be quite enough audio power available on the internal speaker and, in making a careful comparison of transient distortion on the 736 against my Kenwood TS940S/muTek on SSB, there seemed to be a slight roughness on peaks on the Yaesu which was not noticeable on the Kenwood. This would not be of concern to many, but was noticed by several friends of mine in my shack during the '73.
The rig worked well on CW, although the optional narrow CW filter was not supplied on this sample as the friend who loaned it to me is not particularly interested in that mode. Unfortunately, it was not fitted with speech frequency readout, so I could not try this either, and, whilst he was interested in the 6m and 23cm modules, they had not yet arrived at the retailers.
**Brief circuit description**
The main rig has intermediate frequencies of 13.69MHz and 455kHz. Each module contains its own mixer, fed with the output from its own synthesizer and, whereas the two VHF modules both mix down directly to 13.69MHz, the 70cm UHF module has an extra IF of 47.43MHz. The 23cm module also has an extra intermediate frequency, at 133.91MHz. GaAsFET front ends are provided for the UHF and microwave units, whereas the VHF ones use conventional devices.
The synthesizer on each module takes its frequency standard from the temperature compensated crystal oscillator in the main rig, this being a very stable one. The RF circuits and PA blocks are all separate for each module. Digital information is provided from the rig's main microprocessor to processors within each module to give the required information for appropriate frequency synthesis.
Much of the internal construction is in the form of vertically mounted printed circuit boards, many of the interconnections being on plugs and sockets. There is quite a lot of room around for experts to put in their favourite modifications, but I would not advise anyone to fiddle about inside unless they really do know what they are doing! Although the instruction book is reasonably clear, far better than the majority of Kenwood ones, for example, I still feel that amateurs are not given enough information about the circuitry and I am sure that many users of equipment do like to read for themselves all about the principles of circuit design, etc. I remember that most rig manuals of 20 years ago were very much better than they are today.
**Laboratory tests**
*Complete receiver with 144MHz module*
The front end sensitivity on 144MHz measured well, although not quite as well as that of a first class transverter. The front end intercept point, although measuring quite satisfactorily, was actually about 10dB inferior to the performance of muTek front ends; I remain baffled as to why Japanese designers don't seem to be able to get their front ends right.
To put it into perspective, though, the FT736 intermodulation performance is much better than many older rigs and you are not likely to have any intermodulation problems unless you are using a masthead preamplifier and have some very strong competition around.
I have to admit to being very surprised to find that Yaesu's synthesizer design is better than they have achieved before - measurements produced some excellent figures for a VHF rig. You can often tell by just listening to a carrier that synthesizer noise is good. Harmonic distortion and noise actually measured at very low levels. Reciprocal mixing performance is important on 144MHz, and it was in this area that I criticised the FT767 144MHz module so strongly.
The FM sensitivity did not quite come up to expectation, despite being checked several times on different frequencies, but I noted that it was actually around 1dB better if I retuned the oscillator to 1.5kHz off channel. Since the synthesizers were obviously very accurate and SSB frequency accuracy was superb, I have to assume that the discriminator was very slightly out of adjustment.
The selectivity on SSB was outstandingly good and, in order to get sensible and accurate measurements, I had to use the low noise muTek oscillator. Since the rig only gave frequency to 100Hz resolution, what more can I say other than that the filter is virtually a brick wall at around 4.2KHz bandwidth. The −60, −70 and −80dB bandwidths all measured between 4.2 and 4.3kHz.
When I tuned across GB3VHF (I receive it at about 30dB above the level required for S9), the signal suddenly vanished outside the passband. Clean but strong signals seemed to knife out when I tuned away from them and the measurements confirm the excellent subjective impressions. FM narrow and wide filters were both superb, with about the best compromise that I have yet noted on an NBFM rig.
We noted a 20dB difference between S1 and S9, the S1 indication being at approximately 24dB above the receiver noise floor. The plus 20, 40 and 60dB points were all remarkably accurate to within a dB or two. On FM, the S-meter had only 14dB range between S1 and 9 and, whilst this is not the worst on FM, it is not particularly good, readings above S9 being ridiculous.
Although the harmonic distortion, including noise, on SSB was only 1%, two-tone intermodulation well within the filter passband was fairly poor. Third order products at around 3.2% were noted on static tones, considerably higher distortion being seen on medium AGC. This was more apparent on fast than on slow AGC, perhaps showing up the reason for transient distortion heard in the subjective tests. However, the distortion was considered a lot better than on the earlier FT726, and Icom rigs do not seem to measure any better anyway, although Kenwood ones do.
FM distortion with the wide filter was a little high at between 2.5 and 3% at higher deviations. Lower ones were very much cleaner, however, again pointing perhaps to incorrect discriminator adjustment. The maximum audio power output was slightly limited into both 8 and 4 ohms and I would have liked a lot more in a mains rig.
After we had measured the FM received response, we understood the reason for a slight plumminess audible on most FM stations; the LF response
was extended flat to well below 200Hz and even 100Hz was only just over 5dB down. If you contrast this with 3kHz at nearly 7dB down, the roll-off continuing very steeply above this, you will see that the response is not ideal, the plot being taken with the treble control flat out (Plot 1). The ideal response should be flat from around 350Hz to 3kHz with 12 or even 18dB per octave cut outside these limits.
FM capture ratio measured well and quieting was also excellent, especially with the narrow FM filter which, incidentally, gave a marginally better sinad sensitivity than the wider filter did.
Finally, I must commend the incredibly accurate main crystal reference frequency, as the SSB received frequency error was a mere 20Hz after a few minutes warm up, the rig maintaining this minute error for well over an hour without noticeable drift. I would consider an HF rig to be good with this accuracy, but for a VHF one it is incredible.
432MHz module front end
The 432MHz sensitivity was some 1.5dB better than that of the 144MHz module, first class in fact, just 0.1µV emf/2 being required for 12dB sinad. FM was also very good, but again not quite as good as should have been obtained because the same discriminator problem arose.
The RF intermodulation distortion performance again measured quite well, and there is not normally the problem on 432MHz that there is on 144MHz. Reciprocal mixing seemed satisfactory, but no actual measurements were taken because of insufficient time.
The frequency accuracy was superb, an error of just under 70Hz being noted after warm up, this remaining stable for a long time. The front end gain was very similar to that of the 144MHz module and the S9 reading was within 1dB.
Tx tests
The complete transmitter section including the 144MHz module
On the 144MHz band the FM and CW output powers were around 25W output, with just a very slight rise noted at the very bottom end of the band. On SSB, we could not get more than 24W PEP on two tones if they were of equal level. When the carrier control was set to minimum the power was reduced to only 25mW, a very useful facility.
RF harmonics were at very low levels. The second harmonic, for example, was at −67dB. Although we tried long and hard to find spurii or transmitted images, none were noted on the spectrum analyser, the noise floor being typically at −80dB. I think this is quite remarkable.
The SSB carrier balance had been quite well set, the carrier being typically at a level of −51dB ref full output. The alternate sideband breakthrough at 1kHz was at −60dB, which is very good indeed.
Coming to the two-tone tests of the PA block, I have to express once again my dissatisfaction with modern PA block design. Third order products at −20dB are just not good enough (see Plot 2), nor is the fact that the high order products do not drop below −60dB until they go a long way out. Although results are cleaner at lower output levels (Plot 3), they do not drop rapidly enough. Contrast all these results with the SSB Products transverter, which I reviewed so favourably last year.
It is not just Yaesu who are fitting PAs that are not really good enough, for I seem to be criticising almost all Japanese PAs these days. It is high time Japanese manufacturers did something about it. Perhaps it is the lack of use of discrete component circuitry which is the problem. Whatever, I do feel it should be given top priority, especially as a rig which is so good in almost every other way is highly likely to be used with good valve linears for contest operation.
The AF/RF transmitted response plot (Plot 4), taken from mic input at low level to carrier output at a maximum of 2W carrier, is thus well below any ALC action. You can see how very steep the filter skirts are, although the top of the passband has a strange step in it which causes the top octave of speech frequencies within the passband to be transmitted at around half the power given to the lower register below 1kHz. I do not know the reason for this, but it will not help DX readability.
The peak FM deviation on the normal filter was very accurately set for 25kHz channelling. The maximum possible deviation also fell very rapidly at the HF end to prevent excessive transmitted bandwidth. At 3kHz the maximum possible deviation was just at 2.5kHz, 6dB down on the maximum at lower frequencies. With the narrow filter selected, the maximum possible deviation was reduced to only 2.7kHz at 1kHz audio frequency. I consider that this deviation is too low for an amateur radio service, although about right for a commercial one.
The actual limiting came in at just above 2.3kHz, incidentally, again on the low side. Reverting to the wider deviation performance, the signal-to-noise ratio was typically around 40dB, this being mainly background hiss. Distortion was below 1.7% for deviations below 3kHz, but above this distortion rose to around 6%. The transmitted response at lower levels was almost ideal, virtually what I recommend for Rx, in actual fact! The response was very well attenuated outside the range 300Hz to 3kHz. The toneburst frequency was accurate and its deviation just about right.
We noted the transmitted frequency error to be only 60Hz high immediately after switch on and, after some minutes, the error was only 10Hz – quite astonishing accuracy.
The 432MHz module
FM power tests on this module showed that the output was varying between 23W at the bottom end of the band up to just 20W at 439MHz on FM. As with 144MHz, we could not get quite as much power out with two-tones on SSB, a maximum of around 20W PEP being available. What was very odd in the two-tone plots was that the LSB and USB products were grossly dissimilar. Note in particular the third order of −20dB and −38dB on the 20W PEP plot. There was clearly some cancellation going on, but there is also a pointer to bad circuit layout, possibly even within the PA block itself, which might be outside Yaesu’s direct control.
Note, again, that the high order products do not drop as they should do (Plot 5), although the performance is better at lower levels (Plot 6).
Deviations on FM and SSB performance were noted to be virtually identical on 432MHz, so full tests were not repeated. However, we checked for frequency accuracy and 435MHz FM was only 20Hz low, an SSB carrier being just 70Hz low. The two measurements were taken at around an hour apart, showing how little drift there was.
Conclusions
There is much that is impressive about this new rig and it deserves to be a better seller still than its predecessor, the FT726. I must particularly praise the receiver section, which is among the finest VHF/UHF designs to have come out of Japan. The transmitter section was also satisfactory, apart from the SSB intermodulation performance which I feel is not good enough for contest working if the rig is to be used with a big linear. Perhaps I am being too niggly here, for I have no doubt that its 13.8V dc facility will encourage its use by many portable contest stations who will find the CW narrow filter, IF passband tuning and its many other facilities suitable for contest working.
Although I am told the rig is officially priced at £1,450 including VAT, telephone enquiries showed that it can be bought for at least £100 less if you shop around. Sometimes this may be in the form of an inflated trade-in price on an old rig, whilst at other times, if you have enough cheek and very crisp notes in your hand, you might get it from your friendly local retailer. However, don’t try too hard for discount if you want absolutely tip-top after sales service.
In conclusion, I recommend this rig highly. I think it is very good value for money, considering its facilities and the available options. The speech option will be a boon for blind amateurs. I would particularly like to thank most warmly my friend for so very kindly loaning me this rig immediately after purchasing it and, of course, Fiona, for helping with all the measurements and the word processing.
Some back copies of Angus McKenzie’s reviews are available. For details contact us at the address on page 3
It is only in recent years that dual-band antennas have been made available to the amateur on the 144 and 432MHz bands, with the exception of a few discones and log aperiodic types. The earliest dual-band mobile antenna that I know of is the Trio-Kenwood MA4000. When I tested this it performed excellently until I absent-mindedly put 100W into it; the feed coil in the base promptly blew up. I learned my lesson and I was very careful with the second sample loaned to me.
I reviewed this antenna in comparison with two other dual-band mobile antennas in the July '87 issue of *Amateur Radio*.
Hokushin, distributed by Lowe Electronics, have now introduced two new higher gain models: a mobile, type HS727VME, and the HSWX1, which is referred to in the instructions somewhat amusingly as a 'grand plane' version. The latter is intended for roof mounting and is supplied with various types of bracket for ease of installation.
**The Hokushin HS727VME**
This mobile dual-bander is supplied with a PL259 plug recessed into the base which screws directly into an SO239 type mag mount or gutter mount socket. It seems that the thread is of the more unusual Japanese metric type rather than the ubiquitous, and older, European type thread, although it did screw onto a normal gutter mount quite adequately.
The antenna is marginally over 1.5m long from the base to the tip. It includes a matching network in the base and two large two-turn coils approximately one third and two thirds of the way up the antenna, a short joining section being provided in the centre.
The antenna is effectively a matched 3/4 wave on 144MHz and three 5/8 waves in series on 432MHz, giving considerable gain over a normal 1/4 wave vertical on both bands. As I do not have an antenna measurement range, I can only quote the subjective difference in practice between this antenna and my own MA4000, which I have used for some years.
Tests conducted outside my front door were misleading, as differences were varying from none at all up to a whole S point. These were all influenced by the angle of radiation, reflections from local buildings and even my own antenna masts, so it is better to give the subjective impression of a difference of nearly an S point in general use on the open road.
Ken G3MSW uses a very similar antenna to the one under review and regularly drives from Essex right across to the M25, near the A1, and agrees that an improvement of nearly an S point over the more usual dual collinear is a fair estimate. 70cm repeaters that are very marginal over the simpler antenna are fairly weak, but quite usable with the triple % on 433MHz FM.
I used the antenna on a long journey from North London to Ipswich and there was definitely an extension of my range on both bands. Furthermore, I was able to hold a QSO with a fixed station for much longer than I would have normally expected. In the past few years I have frequently travelled to the Braintree area, so I do know the terrain fairly well.
Both Ken and I were a little concerned about the greater than average length of this antenna. When screwed into an elderly gutter mount, in good condition, on the left side of the car, the tip of the antenna brushed several trees. This was less of a problem when used with a mag mount in the centre of the roof.
**A strange problem**
When Fiona and I first measured the SWR of the antenna mounted in this way, we obtained figures that were unexpectedly poor on the 432MHz band, although the 144MHz figures were good. I was very surprised at this and wondered if some moisture had got into the lead. So, all of the tests were repeated with a brand new spare lead which we happened to have. Readings were almost identical, so at this point I screwed on a very high quality Bird 50 ohm dummy load to the gutter mount socket end. I was astonished to see a 1.4:1 SWR on the old lead and just over 1.3:1 on the brand new one. Initially, I did not know what to do but, after a hunt, I found a superb quality 934MHz mag mount complete with an SO239 socket.
I can remember remarking at the time of the original review of the 934MHz equipment that the mag mount socket was not really appropriate for such a high frequency.
Upon closer examination, however, I found the construction of the socket of a very high standard and, when the mag mount and lead was tested in the same way, with the dummy load screwed onto it, I was delighted to find virtually no reflected power at all. The SWR tests were then repeated with this mag mount.
This introduces a subject which is very important: SO239 socket quality with respect to use at UHF. I cannot understand how any professional engineer could ever call the PL259/SO239 pair a 'UHF plug and socket' for, believe it or not, that is the alternative designation for them.
I have never had any problems with an N socket, but time after time PL259s on 145MHz (let alone 432MHz) have caused me difficulties. It took years of grumbling by various equipment reviewers, including myself, to wean the Japanese off SO239 sockets on 432MHz mobile gear. However much I enquired, I could not find one single make of mag mount with an N type socket on it, nor could I find any dual-band antenna available as an option with an N plug on its base, so there is still a long way to go!
In the meantime, if you are considering a gutter mount, make absolutely sure that the lead supplied with it, including the SO239 socket, is rated for proper use on UHF.
**A superb SWR**
On the 144MHz band the SWR measured 1.1:1 below 1.5MHz, rising to a mere 1.2:1 at 145.8MHz. This is an excellent performance which should not stress any rig or linear. On the 432MHz band there was almost no reverse power noted in the bottom part of the band; even at 434MHz it was no worse than 1.1:1. SWR gradually increased to a maximum of just 1.4:1 at the 440MHz band edge. This is a commendable performance once again.
The antenna is rated as taking the full output of a linear up to 125W, which is ideal.
**The Hokushin HSWX1**
The specification of the base station version is very similar to that of the mobile one previously described, apart from the power rating which is increased to 200W FM.
The antenna is a vertical white stick, again just over 1.5m in length, but this time with three horizontal radials protruding from the base.
An SO239 socket is built into the base, around which is a cylindrical metallic shroud, several centimetres long, which acts as a weather-proofing and mounting section. Various clamps and brackets are supplied for use with this section. A coaxial cable and plug feeds through this cylinder and is screwed into the base of the antenna.
Alan Goddard G3NQR installed the antenna at around 10m above ground level, well clear of any metallic obstacles on the roof, using Pope H100 cable through to the shack. Despite the fact that the SWR was, frankly, rather poor on the 432MHz band (averaging around 1.6:1), results were excellent in practice and SWR was quite good on 144MHz.
Alan has had an assortment of vertically polarised antennas on the roof over the years, but was totally convinced that the Hokushin white stick (my name for it, as I am a blind operator!) was far better than any previous antenna that he had used on 432MHz for FM.
We were both surprised that he could access as many repeaters as I could on the band, some of them at considerable
distances, as his QTH is not particularly good geographically. He certainly sounded much stronger to me than before on both 2m and 70cm FM.
I well remember the first time we tried the antenna out. We were working duplex on 2m/70cm. Fiona arrived in the shack with a cup of coffee for me, our bearded collie, Ceilidh, in tow. At the same time, Alan's XYL, Lucy, arrived in his shack with Sam, his West Highland White puppy. Ceilidh began to bark and Sam replied, whilst Alan and I sat back and listened to this remarkable canine exchange which they kept up for some minutes.
Incidentally, both dogs do have licences - but these are somewhat less expensive than amateur ones! The extremely strong signals between us over a 16km path were clearly responsible for the superb duplex system quality, which the dogs obviously appreciated.
Conclusions
I recommend the mobile Hokushin very highly. It seems that the base station antenna is also an excellent performer, although you may have an SWR problem on 432MHz.
It is quite plausible that the review sample might have been a poor one for SWR, so I would be interested to hear readers' experiences if they purchase it. The mobile type, HS727VME, costs £37.42 including VAT, whilst the base station version, HSWX1, costs £59.62.
Many thanks to Lowe Electronics for the loan of the review samples, and to Alan and Fiona for helping with the review.
The Hokushin HS-VK5 vertical 5 band HF antenna was reviewed in the March issue.
In December, I returned to the UK after two years of teaching and amateur radio activity in Maun, Botswana. On picking up a copy of *Amateur Radio* I was surprised to see just how much interest there had been in my 50MHz activity from Botswana. So I would like to add my own account of amateur radio in A2-land.
**The country**
Botswana is a large country, its area almost three times greater than that of Britain. The population, however, is little more than one million, and most people live in the eastern part of the country. The capital, Gaborone, has a rapidly expanding population and is located in the south-eastern corner of the country, close to the border with South Africa. Much of Botswana is covered by the Kalahari Desert, a vast area of dry savannah which is still largely untouched by man.
The northern areas of the country contain some of the greatest concentrations of elephants and other game remaining in Africa. In the northwest is the Okovango Delta—a unique aquatic wilderness, which has recently been the subject of a BBC TV series. Close to the Okovango is the village of Maun, the administrative centre of this particular region of Botswana. I was posted here in September 1985 to teach science at Maun secondary school.
There are very few radio amateurs in Botswana. Most, like myself, are expatriates on short term contracts, and at any time there may only be about a dozen A2 calls active. I had applied for a reciprocal licence before leaving Britain, and was issued with the callsign A22KZ on arrival in Botswana.
I was very fortunate initially, as I was able to buy an FT101ZD from A22AA, who was about to leave the country. I also obtained a 14AVQ ground plane for 40/20/15/10 metres and needed only to find a suitable mast on which to perch it. The answer was growing on the opposite bank of the Thamalakane river, about a mile downstream from the school. My long suffering house-mate helped fell a choice bamboo which, after trimming, was still nearly 15 metres long.
**A malevolent hippo?**
Getting it back to the QTH was tricky: a malevolent hippo dissuaded us from simply floating it across the river and carrying it, so it was loaded precariously on the back of our pick-up and taken the long way back. A bamboo that long bends a lot but, with a system of pulleys and a group of school students, we were able to get it vertical again with the 14AVQ on top. With 8 radials, 12 guys and an 80m dipole to boot, it stayed up—much to our amazement, until the eve of my departure.
With this HF set-up, powered by the village 240 volt mains, I was able to maintain reliable twice weekly skeds with G3TKN in Portsmouth for two years. We generally used 15m and occasionally had to QSY to 20m, but we found that at 1600Z we could almost guarantee good communications between Portsmouth and Maun.
My nearest amateur neighbour was Charlie A22CL (VE6ASL). He lives in Etsha, a small and remote village some 200km to the north-west of Maun. Charlie ran his station from 12V batteries, trickle charged by a solar panel. We kept nightly skeds on 80m and often he would have urgent messages regarding the non-arrival of supply trucks, which frequently broke down on the sandy road between Maun and Etsha. Every two weeks or so, Charlie would make the journey into Maun and we would have an eyeball QSO over a Lion (Lion lager, that is).
**50MHz operation**
The 50MHz story dates back to March 1987. On Sunday mornings I would generally listen to the 'Amateur Radio Mirror' bulletin, broadcast by the Johannesburg branch of the South African Radio League. Excellently presented, it is transmitted simultaneously on 80, 40, 20 and 2 metres. Sometimes I would call in on 40m with a reception report and on one such occasion was heard by Hal Lund ZS6WB, in Pretoria. Hal is a very keen VHFer and is responsible for stirring up much of the VHF interest in South Africa. The October 50MHz transequatorial propagation (TEP) tests were on the horizon; Hal suggested that I was ideally situated to take part and offered to send me the necessary equipment.
The first 50MHz operation from A2 took place in July 1987, when ZS6BCR and ZS4TX paid a flying visit to Maun one weekend. With ZS6BCR at the controls, they flew from Pretoria with a plane full of 6m, 2m and HF equipment. We managed to unload the aircraft without customs noticing and minutes later, back at the school, ZS6BCR made the first 2m EME contact from A2, with W5UN. The remainder of their visit was devoted to 6m meteor scatter contacts to ZS.
In September I set up my 50MHz station, with 80 watts from an IC551D and a 4-element yagi on a 9m baby bamboo, rotated manually. Directed south, I was able to copy meteor bursts from the Pretoria beacons and make a few MS contacts with South Africa. But beaming north I heard nothing – until October 2nd.
At 1527Z on October 2nd, 1987, the silence was broken by the Malta beacon, 9H1SIX, on 50.085MHz. I started calling on 50.110, both CW and SSB, and also on 28.885 SSB. At 1545Z, Costas SV1DH (SZ2DH) in Athens returned my call on 10m. We immediately QSYed to 6m and had a fine sideband QSO, conditions being better there than on 10m. I gave him 5 and 5; he returned 5 and 3. We signed off, but the Malta beacon remained audible until 1900Z.
Throughout this period I had been in contact on 80m with ZS6WB and others who, some 700km further south, had not heard anything on 6m.
On October 5th the Cyprus beacon, 5B4CY, became audible and SZ2DH and I exchanged 5 and 7 each way. Three days later, on October 8th, the band again opened and I had an SSB contact with 9H1BT. On this occasion my signals were heard by G3JVL, but unfortunately the band closed quickly and I was unaware at the time of this brief opening to the UK.
For the next four weeks, trans-equatorial propagation on 50MHz occurred daily, almost without exception. I had numerous contacts with SZ2DH, and with 9H1BT, 9H1FL and 9H1CG on Malta, with signal reports as high as 5 and 9 + 30dB. We observed on some occasions loss of propagation, followed by its reappearance an hour later with severe distortion, characteristic of evening TEP.
Geographically, however, the effects of TEP are limited. Maun is located in latitude 20°S, and other stations in the same latitude were having similar experiences.
To the west, ZS3E in Outjo had many QSOs into Europe and, to the east, Z21FT in Bulawayo was receiving signals but unfortunately was unable to transmit on 50MHz from Zimbabwe. Further south in South Africa, however, openings to Europe were very brief when they did occur and many stations were frustrated at being unable to join in the fun. Similarly, in the northern hemisphere, propagation was limited to areas in the Mediterranean latitudes.
A2 – G on 50MHz
The highlight of the TEP season occurred on October 22nd when TEP, combined with sporadic-E over Europe, presented a path from Botswana to the UK.
I first heard Eric G2ADR at 1545Z, returning my CQ on CW. Describing the event afterwards in a letter, Eric said that the excitement was almost too much for his ancient heart. It was certainly too much for the fuse in my power line, which inexplicably went high resistance at the critical moment. That fault took several precious minutes to track down, and bemused visitors in the shack at the time didn’t quite understand the cause of my panic!
Eventually, with the rig now in pieces on the bench, I was able to complete QSOs with G4HBA, G2ADR, GM4DGT, G1AWP, G4GAI and G3CCH. Signal strengths were no more than S2 and the band was quite noisy with QRM from non-amateur stations. An attempt to work GM4DGT on SSB at 1715 narrowly failed because he was suddenly swamped by a strong FM signal.
The path to the UK closed down soon after 1715Z, at which time I was able to compare notes with SZ2DH and 9H1CG. Propagation to Europe finally ceased altogether at 1825Z.
After this date, TEP openings started to be less frequent and were shorter in duration. On November 10th I heard the CT0OWW beacon for the first time, but was unable to complete a crossband QSO with EA4CCGN. During the third week of November the 9H1SIX and 5B4CY beacons were audible for short periods on most evenings. On November 20th at 1925Z I heard 9H1SIX for the last time, appearing briefly out of the noise and uttering its final dots and dashes. That was the end of TEP in Botswana, and two weeks later I was to dismantle the station.
Above: David Saul’s QSL cards
QRT
Pulling the plugs for the last time and dropping the antennas down is a sad occasion. I have since spoken to other amateurs who have had similar experiences after operating abroad.
I knew that when the bamboo mast crashed to the ground, A22KZ would have gone irrevocably QRT. The event obviously deserved a bit of ceremony. A violent thunderstorm late at night is not the best time to handle masts and aerials, but after a few beers I and a couple of colleagues decided otherwise. Groping around in the wet and dark, I cut all the guys and then set about sawing through the base of the bamboo. Then, while I played the Last Post on the mouth organ, the remainder of the crew tried to push the mast over. A solitary guyline up there in the darkness, or perhaps Divine intervention, we shall never know; but the mast refused to fall. Maybe A22KZ was destined to remain on the air? Eventually, however, with more manpower brought to bear, 14AVQ and all came down out of the night sky—and I was going home.
NEXT MONTH
all the regulars...
DX Diary
On the Beam
Secondhand
SWL
Straight and Level
Your letters and features covering the whole of Amateur Radio
RECEIVER SPECIAL
Hugh Allison has been out and about to discover what is available on the second-hand market for less than £50
POWER SUPPLIES PART 2
Don't miss the final instalment of J and S Goodier's beginner's guide
BATTERY TESTER
This useful tool from B B Walters fits the bill for most batteries used in amateur hand-helds
DON'T MISS THE JUNE ISSUE
On sale 26th MAY
Tony Smith G4FAI takes his bimonthly look at the world of dots and dashes
Dr Gary Bold ZL1AN and Barry Kirkwood ZL1BN alternate in writing a monthly column, The Morseman, in Break-in, the journal of NZARTS. In the September 1987 issue Gary discusses some interesting aspects of learning Morse by computer. He refers to an innovative computerised teaching system described by WA9VRU in QST, May 1977, which combines two 'beautiful, simple and obvious ideas'. One was the introduction of characters in postponed discrimination order; the other was that the computer should adapt to the human.
Postponed discrimination order means the longest characters are introduced first, as opposed to the more usual start with E, I, T, etc. The idea is to reinforce the need to listen to the whole character before deciding what it is. Plain text gives the learner little chance to practise the more uncommon letters. With postponed discrimination, by the time E is reached the Qs, Zs, Xs, etc, will have been heard so often that they will not cause the usual confusion.
Gary says that WA9VRU's is the only adaptive code teaching system he has seen and he would like to know of others, if they exist. 'Adaptive' here means adjusting the teaching to match the learning ability of the student. Gary's version, much worked over, is a program called 'Teach' which sends an audible character at about 12wpm and waits for a response. If you know what it is, you press the appropriate key on the keyboard. If you don't know, and do nothing, the program waits a reasonable time, prints the letter on the screen and sends it again.
Average response
If the wrong key is pressed, the character is sent again without comment. The program starts with Qs and goes on to Ys, introducing more as the learner begins to recognise the characters correctly. It continuously averages past response times and waits for a response for twice as long as this average.
It keeps track of the student's error rate on each character and the average error over all characters in use. All these error rates have to be acceptably low before a new character is introduced. Characters are sent with a non-uniform random probability, so that characters which a student finds difficult (determined from the student's response rate) are sent with a higher probability than those recognised more easily. At the end of a session the program provides information on how the student is progressing.
Barry Kirkwood is a psychologist who is setting up a psychology project for third-year students at Auckland University. They will scientifically investigate the effectiveness of adaptive Morse code teaching software. This is thought to be the first such investigation, but if readers know of any others, please tell me and I will pass the information on.
Now you have passed the test
'The passing of the CW test equips one with but a simple survival kit - just enough to survive a simple CW contact... I firmly believe that this hard-won skill should be developed and extended to whatever limits the individual wishes to set', says Ron Wilson G4NZU in his booklet The Test and After. This booklet takes over where many of the 'teach yourself Morse' books finish.
He offers guidance on preparing for and taking the test, then goes on to discuss in some detail what happens when you finally get on the air. It is useful for anyone nervous about using CW for the first time as it contains some good advice; for example, it explains how it is better to forget about speed and to concentrate on developing exactness of rhythm, the hallmark of good CW.
Ron says that abbreviations can be learnt as easily as anything else - but you have to remember to use them. Originally written for members of his Morse class, the booklet costs £1.50 post paid, available from Ron Wilson, Greythorn Drive, West Bridgford, Nottingham NG2 7GG.
QRP convention
The fourth Yeovil QRP Convention will be held on Sunday, May 8th. This is always a good Morse day for dedicated QRPerS or for those who want to find out more about low power operating. Both 1930s style and modern QRP rigs will be demonstrated with the call GB2LOW. There will be component stands, a homebrew equipment display, nice refreshments and a natter area.
Rob Micklewright G3MYM, always worth listening to, will be talking about 80 metre propagation and I am going to be guest speaker, talking about my favourite subject, the origins of Morse. Further information from Dave Bailey G1MMN, 46 Goldcroft, Yeovil BA21 4DH. Tel: Yeovil 79804.
Straight key evening
Edgware and District Radio Society's annual straight key evening will be held on Friday May 20th, around 3.550MHz. This event is becoming increasingly popular, with participation spreading across the UK and into Europe.
It is a pleasant evening on the hand key, working at your own pace in a friendly atmosphere. Call CG SKE and look out for GB2SKE, the Edgware Society's own special event station. Afterwards, write to John Bluff G3SJE, 52 Winchester Road, Kenton HA3 9PE, with your views, comments, and nominations for the best 'fist' heard.
Gloomy outlook?
Everything seems fine just now, but I still feel that within ten years there will be considerable concern about the future of amateur Morse. I hope I am wrong. I have previously mentioned in this column (Amateur Radio, May 1987) the proposed official abolition of Morse from the maritime bands in the 1990s. This could lead to the eventual abolition of the amateur Morse test.
There is not enough space in this column to go into what happened when the Morse test was abolished in Spain a few years ago, but the spring 1987 issue of Morsum Magnificat has the original articles which prompted my concern. The annual subscription for MM (4 issues) is £6, but if you just want the spring issue you can get it from me, QTHR, for £1.50.
| UTC | Main frequency | Reserve frequency (if QRM is bad) |
|-------|----------------|----------------------------------|
| 0700-0800 | 3.508 | 3.515 |
| 0800-0900 | 14.080 | 14.094 |
| 0900-1000 | 3.508 | 3.514 |
| 1000-1100 | 14.080 | 14.094 |
| 1100-1200 | 3.508 | 3.514 |
| 1200-1300 | 14.080 | 14.094 |
The IC-4GE is the first in a line of new handportables to be announced from ICOM. The small compact style provides easy operating and rugged durability. Other models for 2mtrs and 23cm will be released later this year.
A full 6 watts of RF power is available when using the IC-4GE with the option IC-BP7 nicad pack. The IC-4GE is equipped with a total of 20 memory channels. Each memory can independently memorise frequency, offset direction and frequency.
All circuits are designed using low power dissipation techniques to create a special power save circuit in the transceiver. The power saver circuit functions if no signal is received or no switch operation is performed for more than 30 seconds. In addition, the power saver circuit can be turned off for packet communications.
Two different scans, programmed scan and memory scan are provided and in addition memory skip channels can be programmed to skip selected memory channels during memory scanning operating. The squelch monitor function allows you to monitor weak signals without having to adjust the squelch control. The high impact case is splash resistant by the inclusion of rubber gaskets. The IC-4GE is supplied with a IC-BP3 nicad battery pack, flexible antenna, AC wall charger, belt clip and wrist strap. It is compatible with many of the existing accessories for ICOM’s IC-2/4 and IC-02/04 series of handportables.
Also available for the IC-4GE is a large range of optional accessories including a variety of rechargeable nicad power packs, dry cell battery pack, desk charger, headset and boom mics and new slimline speaker mics. For more information on the IC-4GE or any other ICOM handportable contact your local ICOM dealer or ICOM (UK) LTD.
Icom (UK) Ltd.
Dept AR, Sea Street, Herne Bay, Kent CT6 8LD. Tel: 0227 363859. 24 Hour.
IC-575, 28/50MHz Dual band multimode.
The ICOM IC-575 base station has been developed to meet the demand for advanced communications for the recently acquired 6m band. Similar in appearance to the IC-275/475 2m and 70cm base stations, the beauty of this new transceiver from ICOM is that it gives you the best of both worlds, 6 & 10m in one compact unit. The IC-575 covers 28-30Mhz and 50-54Mhz.
Operating modes are SSB, CW, AM & FM. Power output is 10 watts (AM 4 watts) with a front panel control to reduce output for QRP operations. A pass band tuning circuit narrows the I.F. passband width, eliminating signal in the passband. A built-in notch filter eliminates beat signals with sharp attenuation characteristics.
Some PLL systems have difficulty meeting the lockup time demands placed on them by new data communications. This is why ICOM developed the DDS (Direct Digital Synthesizer) method. With a lockup time of just 5 msec the DDS method allows the IC-575 to handle data communications such as packet or AMTOR. 99 programmable memories can store frequency, mode, offset frequency and direction. A total of four scanning functions for easy access to a wide range of frequencies, memory scan, programmed scan, selected mode memory scan and lock out scan. The IC-575 has an internal A.C. power supply, but can also be used on 13.8v DC for mobile or portable operation.
Optional accessories available are the UT36 voice synthesizer, the IC-FL83 CW narrow filter, SM7 external loudspeaker, HP2 communication headphones and SM8/SM10 desk microphones. Other transceivers available in this range are: IC-275E 2m multimode 25w, IC-275H 2m multimode 100w, IC-475E 70cm multimode 25w, IC-475H 70cm multimode 75w.
IC-505, 50Mhz Transceiver
The IC-505 is a 6mtr BAND SSB, CW, FM (Optional) transceiver. It can be used as a portable or like other transceivers of this type as a base station unit. When used with an external 13.8v power supply the 505 gives 10 watts RF output, 3 watts or 0.5 watts on low power is available when using internal batteries. Other features include 5 memories with memory scan, program band scan, dual VFO’s with split operation.
The easy-to-read LCD readout includes frequency, memory scan and call modes. Full metering of battery condition signal strength and power output is provided. When fitted with the optional EX248 FM unit the IC-505 offers 50Mhz operation at an affordable price.
Helpline: Telephone us free-of-charge on 0800 521145, Mon-Fri 09.00-13.00 and 14.00-17.30. This service is strictly for obtaining information about or ordering Icom equipment. We regret this cannot be used by dealers or for repair enquiries and parts orders, thank you.
Datapost: Despatch on same day whenever possible.
Access & Barclaycard: Telephone orders taken by our mail order dept, instant credit & interest-free H.P.
As I mentioned in last month's column, an AM transmission consists of a carrier wave and two sidebands which are produced by the modulation of the carrier wave. The total bandwidth used by an AM signal is unacceptable when you consider the total coverage of the frequencies allocated to amateurs. It would take very few AM signals to completely swamp, say, 40m, so the accepted form of transmission on the amateur bands is single sideband. This uses less bandwidth and results in more power being available from the transmitter.
Although the usual receiver is inadequate for resolving such transmissions, there is a way to hear sideband signals using a second receiver. The technique is called zero beating.
Taking your main receiver, you tune it to an amateur signal which sounds distorted. Then you tune the other receiver to around 450kHz lower. With the volume of the second receiver backed off, you should be able to hear the whistle produced by the second receiver as you tune it through the signal of the main one. A little adjustment of the distance between the receivers and you can resolve the sideband signal! It's a bit hit and miss, but it does work.
The real answer, of course, is to get a receiver with a built-in oscillator that does this automatically - a beat frequency oscillator. There are many receivers on the market that have this facility. They start at under £100 new; less if you buy second-hand.
It has become standard practice for all transmissions below 10MHz to be on the lower sideband and transmissions above 10MHz to be on the upper sideband. This rule is not mandatory so you can still hear stations working the wrong end. AM transmissions can still be heard on 160m.
The areas of coverage of the amateur bands are controlled by international agreement, although individual countries have ultimate control over what can or cannot be used by their amateurs, so there are a few differences in the band coverage. However, there are few differences in band usage and, for the most part, all countries have similar rules which have to be observed.
On the other hand, the band areas where different modes can be used are not strictly controlled and many would like this to be resolved. It is easy to see why.
**Slow-scan**
Let us take SSTV, for instance, which is becoming very popular since the advent of the home computer. The generally accepted area on 20m is around 14230 and SSTV exponents usually stick to this. However, some operators still transmit SSB or even CW on the frequency, quite within their rights, but hardly in the spirit of amateur radio. The same applies to the QRP frequencies which are often overloaded with stations operating high power.
The 'old hairy' (old hairy what? - Ed) about contests being held in selected bands has never been resolved. Maybe it is time the powers that be took a long look at this side of regulation. Of course, in an ideal world, all operators would stick to the rules, even if they were not mandatory, and there would be less hassle all round.
OK, so having got your sidebands sorted out, and being ready to log all those wonderful exotic stations, where do you look for them?
**160 metres** (or Top Band) can provide some good long-distance listening via multiple skip. The signals are bounced back to earth off the atmospheric E-layer, then bounced back again and so on. Unfortunately, this substantially attenuates the signal and is usually only possible during the hours of darkness. The best times to listen are late at night and early morning, when stations are on opposite sides of the darkness belt.
A very useful aid to determining when it's best to listen for DX is the DX Edge, a device which calculates the best areas to listen for at a given time.
The problem with Top Band is that it is shared with maritime and other 'official' stations which can be very powerful, making it difficult to copy weak amateur stations.
**80 metres** is generally regarded as the chat band. There are literally hundreds of regular local nets operating virtually all day, every day. Most special event stations spend at least part of their operating time on 80.
Although 80m has many of the same problems as Top Band, greater distances are possible, even during daylight hours. There are also commercial and official stations using this band and it is not unusual to be listening to a perfectly clear QSO one minute, only to have it obliterated by a heavy RTTY signal the next.
One of the variants of band allocations is worth noting in that American stations can use the area from 3.8 to 4.0MHz, so it is worth listening around there late in the evening.
**40 metres** can be a DXer's delight. Only 100kHz wide, it nevertheless attracts many DX operators and, despite being crowded for most of the time, can produce some worthwhile loggings. Although some countries allow amateurs to use up to 7.3MHz, this puts them right amongst the 'heavy mob' of the broadcasting fraternity transmitting from Europe, so it is hard to hear the much weaker hams.
**30 metres** is another band that has to be shared with commercials and others. Like 40, it is a very small allocation, from 10.1 to 10.15MHz. Only Morse and RTTY are officially allowed on this band in the UK, but occasional sideband signals are heard. The area around 10.103 to 10.110 can be very fruitful.
**20 metres** is the 'bread and butter' band. Stations from all over the world can be worked here most of the day. Essentially a daytime band, the darkness line can almost be drawn, logging the stations as the conditions rise and fall. Australian and Asian traffic comes in during the early morning, followed by the Middle East and Africa until lunchtime when the Americans start to appear.
Although the band does drop significantly during the winter months, daylight still give some excellent listening and, once summer comes, the band can be alive almost 24 hours a day.
**18 metres** is a new band which is capable of excellent long-distance communications. However, amateurs are slow in taking this band seriously and it is not as well used as it could be. It is worth a listen, as some good DX can be heard.
**15 metres** is another excellent DX band during the day. At periods of low sunspot activity (more about this later), it can go almost completely dead; however, things are currently on the upward trend and stations are beginning to use the band again.
**12 metres** is also new. It could produce the goods when conditions are right. Sunspot levels make a big impact at these frequencies and it remains to be seen whether the band will be used as successfully as the other HF bands.
**10 metres** is the oddball of the HF bands. It is badly affected by sunspot levels, becoming virtually unusable for any distance during the low period, but it is perfectly usable (though not often) for short distance contacts. It is essentially a daytime DX band capable of excellent results during sunspot highs. Even low power communication can take place over dramatic distances.
It is affected by many of the propagation effects that trouble VHF and a high on 2m can also mean similar conditions on 10m. A two or even three-element beam is perfectly feasible for this band, and converted 27MHz equipment has made this the 'poor man's DX band'.
So, what about those sunspots? One solar phenomenon is the appearance of the so-called sunspots at the sun's surface. These are dark areas which last anything from a few days to a few weeks. Sunspots occur at intervals of anything from eight to fifteen years, but we usually refer to it as an eleven-year cycle.
During periods of high sunspot activity, propagation of radio signals is enhanced by their effects on the ionised layers above the earth. The low end of cycle 21 was reached in 1987 and we are presently experiencing a gradual rise in conditions which should reach a peak around 1995. Radio wise, there's a lot of DXing ahead!
The wanderer
The usual thing for new listeners is to wander around a particular band, listening to anything that comes up. The novelty soon wears off and it all gets very boring.
If you are lucky enough to watch a seasoned DXer or award hunter, you soon pick up tips on how it's done. Most of these experienced chaps have prepared themselves before the current session and have details of any proposed expeditions to areas not regularly heard, any special event stations likely to be on the air and notes about interesting stations other listeners have heard recently.
Tuning a band is done slowly and deliberately. Be ready for any slight sound - it might be a new station for the log. Experienced listeners often use many aids, such as filters, but the most important is a good pair of headphones. They don't have to be expensive; just comfortable.
Before you rush out to find some, let's have a look at the entries submitted by some of our regular contributors. This month has been the busiest ever for the award hunters among our readers, with the regulars being hassled by some newcomers whom we welcome.
With the upper frequencies now showing signs of life, it is no surprise to see some single band claims coming in. The latest continental awards have created a lot of interest among new listeners, just as intended.
Heading this month's list is Trevor Newstead ILA 098, of Morecambe, who claims a bronze certificate for 15m only. He lists AA4, AB5, A22, CE3, HP1, HZ1, PP7, TK5, VP2, VP8, VK3, YC9, ZY5, SB4, 8P9, 9Y4 and a Chilean special 3G8TAX. Trevor also gained second place in the G-SSB section of the 1987 RSGB SWL contest, during which many of his loggings were made. Congratulations!
Peter Barnes ILA 341 of Blackpool claimed bronze and silver certificates and included 4S7, 5H3, AJ9, KP4, KT5, TI2, VS6, YB7 and ZY4 in his super lists.
Ernie Beckett ILA 261 used his new HF125 and end-fed antenna to get into the act with a claim for the bronze award, listing AB2, HH7, T77, VK6, VK3, 6W7, 8P9 and J28.
David Davidson ILA 320 of Ayrshire claimed his silver award and mentioned AA4, A71, DU7, FY7, HC8, HH2, HK1, J88, VQ9, XQ5, 4S7, 5W3, 8P9 and 9U5 amongst some of the less usual ones. David used the FRG7 and a GSRV.
David Tanswell G6LAU likes doing things a bit differently and still manages to get more prefixes on RTTY than many get on sideband! This time the claim was for 20m only, making it the first 20m all RTTY bronze award. Well done David. Prefixes like 4N7, 5H3, BV0, D44, H18, KL7, P43, S79 and ZP5 are good catches at any time, but on RTTY they've got to be that little bit special.
Darrell Jacobs, now back in the UK, has only a temporary 10ft wire rigged up in his bedroom. However, he has still been pulling them in and offered 5L2, TU2, 5Z4, Z21, TZ0, 7P8, 9J2, KH0, NP4, 9Y4, V34, HC8 and ZD8 towards his bronze for 15m only. Aspecial delight was to log PS7KZ on 21.228 flying at 29,000 feet over Brazil. He was calling and working US stations when Darrell logged him.
As I stated earlier, the new continental awards got a few newcomers off the ground. Rosemary Whyte ILA 301 took over the station from husband Martyn to get in her first claims for North and South America. This upset Martyn so much, he got his own back by logging furiously until he was able to claim his gold prefix award. Not to be outdone, Rosemary countered with claims for the bronze and silver. Martyn, now feeling decidedly miffed, got in again with a couple more continents. Rosemary led with another continental, then a right cross...no, hang on a minute! Anyway, things are hotting up in Edinburgh and I'm watching for smoke from that direction.
Meanwhile, down in the quiet valley near Pontypridd, Susan Powell ILA 321 has been keeping the broadcast bands under observation. She has now claimed her broadcast award with some very nice loggings including R Discovery (Dominica), KTWR (Guam), SLBC (Sri Lanka), R Atlantica (Peru), HH1 (Honduras), R Mundial (Venezuela), FEBA (Seychelles), SWABC (Namibia) and RRI (Jakarta).
Hedley Falkinder ILA 150 of Malton has claimed the first of his continents with help from Soviet amateurs. Hedley is still using the Racal RA17A to good effect!
Brian Pearson ILA 180 also got into the Russians for his claim and managed to dig out 48 oblasts into the bargain (these are the equivalent of our districts and there are over 200).
Ian Baxter ILA 322 of Blackburn used his FRG7700 to log more than the 100 stations necessary for his European continental. While mentioning this, contrary to the original rules, claims will be accepted from your own continent but must not include your own country.
David Glover ILA 339 (G1VJP) claimed the Broadcast Monitor Award and also had one for his loggings of jamboree stations from the 1987 JOTA. David uses one of the Matsui receivers and says it's excellent value (even more so, now that it's been reduced to £99.99). David is a member of many of the broadcast station monitor clubs and currently spends most of his time with them.
While looking for a bit of missing information, I discovered that from January 1st to March 4th I received and replied to 215 letters, not including the award claims, so if you have to wait a day or so for a reply, you know why.
Nice to hear from Mike Ribton of Gillingham again. Hi Mike! A good piece of information for users of the Matsui 4099 (also known as the Sangean 803, TMR 7062 etc) might help to improve reception. Connect a length of wire to the earth side of a mini jack plug and insert it into the external aerial socket. This acts as a counterpoise for the whip. Just to prove it works, Mike put in a claim for the bronze prefix award including AAS, AL7, CM7, KP4, KZ8, XI2 and YC8.
Stan Porter, out there in Malawi (7Q 001/ILA 062), has now settled nicely into his new QTH and has used his recently acquired certificates to decorate the new shack. Pity he's got to buy real wallpaper for the rest of the house! He's been listening in to the RNARS net on 15m with WA1HMW as net controller. He says they just can't win down there with crops failing, first from drought and then from floods. Even his 4x4 vehicle can't get about! He's hoping to make it to the UK again this year so we may get to have that chat soon. Meanwhile, he's plodding away at the premier prefix award with over 1700 in the log so far!
One final point: it's just come to my notice that I, and many others, have been led astray for a long time. The problem lies in the coded greetings used on CW, in particular, the code 55. Now, I have always been led to believe this meant 'best of luck' (in the callbook as 'best success'). Well, apparently, during the 1930s, youngsters who were members of the Hitler Youth movement used to sign off HH, meaning 'Heil Hitler'. Realising they were giving the game away, they changed to 55. Apparently, some German stations still regard 55 as an insult! So, if you want to keep on the good side of German contacts, don't sign 55!
Well, that's about it for this month. Next time round, we'll be going further into the realms of amateur band listening and also taking a look at the broadcast side of the hobby. Meanwhile, have a good month and, remember, there's plenty out there to hear, it's just a matter of a little patience and some spare time at the right moment. Good listening!
If you are the type that likes to experiment with radio and electronics, then sooner or later you will need a power supply. I don't mean one that's big enough to start a car, but a simple low-current regulated supply suitable for powering the average VHF/UHF converter or even a low-power transmitter. The design and construction of power supplies has changed tremendously over the years and, as far as most amateurs are concerned (unless you are a constructor of large linear amplifiers), the days of high-voltage, high-current designs have gone. With the introduction of semiconductors, power supplies started to get smaller and smaller as the supply voltage needed for such circuits became less and less.
We have now reached the stage where there is a fully protected PSU on a single integrated circuit. The design of such power supplies is reasonably simple and there are many standard circuits to go by. They have a low component count and excellent performance. If you are a keen constructor, you probably know all about voltage regulators, such as the 7805, 7812 and the LM317, but if you are relatively new to radio and electronics, they might be a bit of a mystery.
The idea of these articles is to introduce the beginner to the most common types of regulator and to show how simple and easy it is to build a fully working, high-performance power supply unit. Various modifications to the standard circuits will be shown and help will be given on how to wire transformers and choose components. A little bit of power supply theory is also dealt with.
Right from the start
Power supply circuits are designed to convert the standard line voltage (usually 240V ac in the UK) down to an isolated dc supply suitable for connecting to a piece of equipment. A basic power supply circuit consists of little more than a transformer, rectifier and smoothing capacitor. Figure 1a shows a block diagram of a typical supply unit. If we take one component at a time, it will give us a chance to discover its job and how it fits into the supply unit.
Box 1 is the transformer and, as its name suggests, its job is to transform the mains voltage down to a usable level. A transformer has two separate halves, one called the primary and the other called the secondary. The mains voltage is applied to the primary side of the transformer and the voltage for the power supply is then taken off the secondary. The value of the secondary voltage depends on the ratio of the number of turns on the secondary side of the transformer and the number of turns on the primary side of the transformer.
In most cases, the secondary voltage will be much less than the primary voltage—for example, 240V ac on the primary side and only 15V ac on the secondary side, though this need not always happen. A transformer can be made to work in the opposite way; for example, high-power linear amplifiers often use supply lines of many thousands of volts, provided by a transformer which has stepped up the mains supply to about 500 or 800V. This voltage is subsequently rectified, then doubled up by a special circuit.
The secondary voltage of the transformer is still ac, so the next job is to convert this into a dc form. This is done by using a rectifier, the second box in Figure 1a. Alternating current has two halves, one is positive and the other is negative. In the case of the British mains, the alternating current moves through this 'positive/negative' cycle fifty times a second. The rectifier does something very simple; it 'chops' half of the ac voltage away, thus leaving either a positive or negative supply. The rectifier circuit can be made from one, two or four diodes, or a special element called a bridge rectifier; more about these later.
Box 3 is the final section of our simple power supply. Its job is to smooth the output from the rectifiers. It uses an electrolytic capacitor. Raw dc voltage, supplied from the rectifiers, charges the capacitor. The capacitor then acts like a reservoir; in fact, it is sometimes known as the reservoir capacitor.
When a piece of equipment is connected to the supply, voltage constantly drains from the smoothing capacitor. Therefore, between pulses of voltage from the rectifier, the voltage across the capacitor slowly falls. This fall in voltage leaves a small ripple on the dc voltage level. Ripple will affect any equipment connected to the power supply. To reduce the amount of ripple, we make the value of the smoothing capacitor as large as possible. In power supply units designed to provide 20 or 30A, the value of the smoothing capacitors can be as large as 100,000μF (0.1F). In our low-current designs, the value of the smoothing capacitors will be about 1000 to 4000μF.
We can now move on and look at some practical circuits. Figures 1b to 1d show three simple supply circuits. As can be seen, each consists of a transformer, rectifier and smoothing capacitor.
**Rectifiers**
Figure 1b illustrates half-wave rectification, perhaps the least common type of rectification. Nevertheless, it does have the advantage of using only one rectifier diode and it needs no centre tap on the transformer. The main disadvantage is that it produces a lot of ripple so the output needs considerable smoothing.
Figure 1c uses a type of rectification known as full-wave rectification. The transformer has a centre tap which makes up the negative side of the supply and two diodes supply the raw dc voltage to the smoothing capacitor. This type of supply requires less smoothing, but it does need a transformer with a centre tap.
Figure 1d shows the most common of all rectifier circuits; it uses a type of rectifier known as a bridge rectifier. As can be seen, the diodes are arranged in a bridge configuration with the ac from the transformer entering at one side and raw dc leaving at the other. Again, it uses full-wave rectification and the transformer would increase by 1.5V when off load.
It is also important to make sure that your transformer can safely supply the maximum amount of current you expect to draw from your supply. There is no point in choosing a 200mA transformer when you expect the PSU to supply 1A or more. If you start to ask your transformer to supply more current than it was designed for, then there will be a considerable voltage drop across the secondary and the transformer will overheat.
As will be seen later, most transformers have two secondary coils which can be wired in a number of different ways to provide different currents and voltages.
---
**Table 1**
| Type | Output Voltage | Output Current | Input Voltage | Ripple Rejection |
|--------|----------------|----------------|---------------|------------------|
| 78L05 | +5V | 100mA | 7 – 30V | 62dB |
| 78L12 | +12V | 100mA | 14.5 – 35V | 54dB |
| 78L15 | +15V | 100mA | 17.5 – 35V | 51dB |
| 78M05 | +5V | 500mA | 7 – 25V | 80dB |
| 78M12 | +12V | 500mA | 14.5 – 30V | 80dB |
| 78M15 | +15V | 500mA | 17.5 – 30V | 70dB |
| 7805 | +5V | 1A | 7 – 25V | 78dB |
| 7812 | +12V | 1A | 14.5 – 30V | 71dB |
| 7815 | +15V | 1A | 14.5 – 30V | 70dB |
| 78S05 | +5V | 2A | 8 – 35V | 54dB |
| 78S09 | +9V | 2A | 12 – 35V | 47dB |
| 78S12 | +12V | 2A | 15 – 35V | 47dB |
| 78S15 | +15V | 2A | 18 – 35V | 46dB |
Output voltages are ±4%
needs no centre tap.
The examples given in Figures 1b to 1d are for positive output lines only. If you were to reverse the diodes, then the output would be negative.
**Smoothing capacitors**
The two most important facts to know about smoothing capacitors are their working voltage and value. The working voltage must be greater than the off load output voltage of the power supply. The value of the capacitor should be about 1500 to 2000µF per amp, so for a small 1A power supply, a value of about 2000µF should be fine.
**Winding experiment**
If you have suitable components and a tagboard, then perhaps you would like to have a go at building the circuit shown in Figure 1d. This would be a good chance to prove to yourself how easy it is to build a very simple power supply. It would also give you a chance to experiment with the different windings found on some transformers.
Figure 2 shows the layout of our simple power supply. For this circuit, none of the components are critical. Start by soldering into place the components onto the tagboard. The bridge rectifier is made up of four 1N4001 diodes, but almost any rectifier diodes will do. The value of C1 can be anything from about 220 to 2200µF, but take note to be careful about the working voltage mentioned earlier.
Next, wire the transformer. Almost any mains transformer will do, but have a look at any writing on the secondary side to get some idea of the output voltage. If you are using the type of transformer shown in Figure 2, then wire as shown.
A word of warning here. *Never forget that the mains supply voltage can kill.* After I have wired up the primary side of the transformer I always cover the terminals with insulating tape to stop any chance of an electric shock.
If you take a look at Figure 3a and Figure 3b, you will see that it is possible to wire up some transformers to provide double the output voltage or double the output current. Figure 3a shows the secondary windings wired in series. In this configuration, the output voltage is doubled but the current rating of the transformer stays the same.
Figure 3b shows the secondary windings wired in parallel. Here, the output voltage remains the same but the transformer now provides double the current.
It is important to note that on some transformers the primary side is made up of two 120V windings. These must be connected together for safe 240V operation.
**Calculating the output**
If you take a look back at Figure 1d, you will see that it is possible to calculate the output voltage across C1. For example, if the transformer secondary is 30V, the expected output across the smoothing capacitor is $30V \times 1.41 = 42.3V$. Remember, this voltage is the full load voltage, so that when the load is removed, the output voltage will rise by a small amount, dependent on the regulation factor of the transformer.
The combination of transformer, rectifier and capacitor is the basis of most types of power supply. The transformer could be rated at 16.5V, 40A. The bridge would then be rated at about 35A and the smoothing capacitors would have a value of about 60,000µF. Add the extra electronics to get a very nice 13.8V, 30A power supply unit. The extra components are the ones that do all the work in a power supply. In most cases they are responsible for voltage regulation, overvoltage and undervoltage protection and short circuit protection. All we have looked at so far is the conversion part of a PSU. What we need to do now is to take the smoothed dc voltage and turn it into a safe and useful output, suitable for powering all types of equipment.
**Voltage regulators**
Many circuits require an almost constant output voltage, irrespective of the amount of current being taken from the supply. This job is done by a voltage regulator and, over the years, a number of useful components have appeared on the market, making this job very simple indeed.
Take, for example, a transmitter and receiver with a common oscillator and an unregulated power supply. The receiver current consumption is fairly low, so the oscillator and received frequency are relatively stable. As soon as the transmitter is keyed, the current consumption will increase considerably and, because the power supply is not stabilised, the output voltage will drop. This drop in output voltage will cause the oscillator to shift its frequency, making the transmitted signal very unstable. If the transmitter is being used on CW, as the transmitter is keyed on and off an effect known as 'chirp' will result. The solution to this problem is very simple—use a stabilised power supply.
Figure 4 shows a block diagram of a complete stabilised power supply. As you can see, three extra boxes have been added to our original design. The
regulator is the component which controls the output voltage and in most cases this will have a fixed value, eg, 5V, 12V, etc. Overvoltage and undervoltage detectors are usually optional and will be looked at in more detail later. The most common series of voltage regulators you are likely to come across is the 78xx series (xx stands for two other digits which equal the output voltage, eg, the 7805 outputs 5V). The regulators in this series are positive regulators. Negative regulators belong to the 79xx series.
Both 78 and 79 series regulators (dropping the xx) have three legs: input, output and common. They incorporate features such as current limiting and thermal protection and they are also protected against short circuits. They are fixed voltage regulators, usually having 5, 12 or 15V as their output voltage. Output currents are commonly 100mA, 500mA, 1A, 2A and 5A. Table 1 shows a list of useful specifications for the 78xx series; a much more detailed list can be found on page 401 of the current Maplin Electronics catalogue.
These regulators also provide considerable ripple rejection; in most cases this can be as much as 70dB or better. This means that a ripple of 1V on the input can be reduced right the way down to 1mV or below.
**A complete PSU**
Figure 5 shows a complete 12V 1A PSU. Notice how few components it contains. The voltage regulator used is a type 7812, but the following circuits are valid for all the other voltage ratings in the 78 series. When using this type of regulator, we must make sure that the unregulated supply on the input of the IC is at least 3V greater than the desired output.
The circuit in Figure 5 uses a transformer that has two secondary windings of 15V wired in parallel (look back at Figure 3b and you will see that this doubles up the current but keeps the output voltage of the transformer the same); if each winding is rated at 600mA, the total current rating will be 1200mA or 1.2A. It is now possible to work out a value for the unregulated supply. We are using a bridge rectifier to turn the ac into dc and looking back at Figure 1d shows that
\[ V_{dc} = 1.41 \times V_{ac} \]
The secondary of the transformer is rated at 15V, so
\[ V_{dc} = 1.41 \times 15V = 21.15V \text{ approx.} \]
If you look down Table 1, you will see that the input range of a 7812 is between 14.5 and 30V, so an unregulated supply of 21V will be safe to connect to its input.
To stop them from breaking into oscillation, all 78 series voltage regulators need a capacitor between input and zero volts and a capacitor between output and zero volts. In Figure 5 these capacitors are C2 and C3. The value of both capacitors varies from circuit to circuit and there seem to be no rules for choosing them. I must admit that, in the past, I have put in whichever capacitors have been available and have never had any problems. If you keep the value of C2 between 270nF and about 1µF, and the value of C3 between 1µF and 100µF, then all should work well.
**More voltage**
All 78 series regulators have a terminal called common, usually connected to zero volts (Figure 5). If a low-value resistor is connected between common and zero volts then the output voltage of the regulator will increase. This is a very useful feature and it means that a fixed-voltage device can be modified to...
provide a number of different output voltages. All you have to remember is to keep the unregulated supply at least 3V above the wanted output.
Figures 6a and 6b show two methods of increasing the output voltage of a 7812. This configuration holds true for all the positive regulators in the 78 range. If you look at Figure 6a, you will see that a number of resistors have been added to the circuit. R1 provides a small bias current which will help to prevent any voltage drop when drawing higher currents. R2 and R3 vary the quiescent current in the common terminal of the regulator. This in turn will increase the output voltage. As an example, if we replace R2 with a wire link and make R3 a 470R variable resistor then the output voltage of a 7812 will be completely variable from 12 to about 20V.
A different method of increasing the output voltage is shown in Figure 6b. In this circuit, R1 still remains but it now has a value of 4k\(\Omega\). The two other resistors have now been replaced with a zener diode. The output voltage is now equal to the zener voltage plus the regulator voltage. If the zener voltage is 4.3V and the voltage regulator is a 7805 then the output voltage would be about 9.3V – similar to the standard PP3 battery. All this holds true for voltage regulators in the 78 range, but you must keep an eye on the unregulated supply voltage as well as the rectifier and transformer current ratings.
**Layout**
So far we have had a look at a number of different circuits and modifications which enable us to get a variety of output voltages from standard designs. We will now move on and describe the construction of a very versatile low-current power supply board which you could include in many of your projects. To make the board as complete as possible, we included the rectifier and smoothing capacitors on the main PCB. We also made the board versatile enough to include all the modifications to the standard circuits.
The layout of the board is shown in Figure 7b. We opted to use four individual diodes, not a bridge rectifier block, to make up the rectifier. The reason for this is that when you start to get up to currents of about 3A, the standard bridge rectifier starts to increase in size, making it difficult to design a suitable PCB layout to fit all types. The spacing for the diodes on the board is quite wide so you should find that a number of different types, ranging from 1A up to about 5A, should fit.
There is enough room for three smoothing capacitors. Looking through the various component catalogues, I was surprised to find that the largest single-ended electrolytic capacitor sold by Maplin Electronics was only 1000\(\mu\)F at 35V working voltage, STC Electronic Services sell 2200\(\mu\)F rated at 40V and 1000\(\mu\)F rated at both 50 and 63V. There is enough room on the board for three of these, making a total value of about 6600\(\mu\)F depending on the type used. Alternatively, you can replace the single-ended type with one axial electrolytic; values in this range go right up to 4700\(\mu\)F, at 50V. The only problem with this type of capacitor is the size. A 4700\(\mu\)F, 50V electrolytic has a length of about 50mm and a diameter of 25mm. If you plan to use this type then it would be a good idea to increase the length of the PCB to accommodate it.
The rest of the layout is pretty straightforward. C2 can either be a polyester or metallised polyester film capacitor but, to be honest, any type within the range of 270nF to 1\(\mu\)F will do. C3 can either be a tantalum bead or sub-miniature electrolytic capacitor and, again, the value of this can be between 1\(\mu\)F and 100\(\mu\)F. In the next article we will describe the construction of the board, before discussing R1, R2, R3 and VR1.
Don’t miss the second part of this article in the June issue!
Speech processing is an integral part of radio communication today. Even though many people do not like the degradation in speech quality brought about by some processors, its value in terms of utilisation of power and signal gain have been proved time and again. In fact, it is possible under some circumstances to achieve gains of up to 8dB by simply using a good RF speech processor.
**AF or RF**
Speech processors can come in many forms and they can use different methods to process the speech. Some use AF clipping, where the audio is clipped at audio frequencies. Others use RF clipping, where a single sideband signal is clipped. This has the advantage that the distortion products caused by the clipping stage fall outside the passband of the signal and the resultant audio is much cleaner. In addition to clipping, most processors will use some form of frequency tailoring. This all adds to the 'punch' of the signal.
**Useful facility**
Another facility which can be used in processors is audio gain control. Sometimes they are referred to as compressors and sometimes they are referred to by the name VOGAD, which stands for Voice Operated Gain Adjusting Device. This can be used on its own to maintain the level of modulation and take out variations in the levels of speech. Alternatively, it can be used with a clipper to maintain the level of clipping. This is very useful as it enables a known level of clipping to be used regardless of any variations in the speaker's voice level.
Although audio gain controls can be made up fairly easily using discrete components, there are a few integrated circuits on the market which can be used. One such device is the SL6270, one of the Plessey range of communications integrated circuits. It superseded the SL622, which was used very successfully in many transmitters including the G3ZVC transceiver design.
**Basic data**
The SL6270 comes in both TO8 can and 8-pin dual in-line packages, although the DIL package appears to be more common. It operates from a supply voltage which can lie between 4.5 and 10 volts. This is very convenient when building it into a system, as it is quite possible that a supply of this order will already exist. Finally, it has an overall gain which is typically around 52dB.
**Internal structure**
The internal structure of the device is given in Figure 2. From this it can be seen that it has two inputs. This is because they are intended for differential use, i.e., the microphone leads are connected to the two inputs and not to one input and ground. Fortunately, it is possible to use it in a single ended mode because this is often more convenient. This is done by connecting the microphone to one input and then connecting the other input to ground via a capacitor. The disadvantage of this is that the differential input impedance of around 300 ohms falls to about 180 ohms.
A basic circuit using the device is shown in Figure 3. Here $R_1$ and $C_1$ set the AGC characteristic. The attack time is controlled by the value of $C_1$, whilst both components affect the decay rate. Then, $C_2$ provides the coupling between the two amplifier stages in the device. The value of the capacitor and an internal 680 ohm resistor govern the low frequency response. However, the tolerance on the internal resistor is quite large and this should be taken into account when making any calculations. The overall gain of the chip is defined by an internal 10k resistor. By placing a capacitor across this, i.e., between pins 7 and 8, the high frequency response can be limited – but, again, beware of the large tolerances spread on the value of the resistor.
**Typical output**
The output from the device is typically 90mV rms, although this can vary from 55mV up to 140mV. Even so, it is not really enough to drive a pair of back to back diodes into limiting. It is far better to add a further amplifier stage, possibly using a 741. If this is done, it can also be used to limit the frequency response. This is better than using the SL6270, because the components around the 741 will be more clearly defined and so the frequency...
response will be more predictable.
**In use**
The IC performs very well, and it is a very useful device. However, there are a few points which may enable any would-be experimenters to get the best out of it.
The first is associated with the low input impedance, particularly when it is used in its single ended mode. This is far too low for the majority of microphones in amateur use and, therefore, some form of impedance transformation is required. This is probably best done by using a simple buffer amplifier such as an emitter or source follower. One circuit which has been used quite successfully is shown in Figure 4. It consists of a simple FET source follower.
**Match the input**
In this circuit, the input impedance is governed by the bias resistor, $R_2$, and the value of this can be chosen to match the required input impedance. It is also possible to include an RF filter at this stage. This prevents any RF which is picked up on the microphone lead from entering the circuit and causing distortion or even oscillation. The component values have been chosen to operate with impedances between about 100k and 600 ohms.
If problems are encountered even with the filter included, it is possible to add a further stage of filtering. However, it is also worth checking that RF is not getting in by any other means. Further precautions should include placing the filter as close to the input connector as possible, ensuring the case is RF tight, placing filters in supply leads and so forth.
**Problems**
Another point worth considering is the gain of the IC. This can become a problem if a high output microphone is used. During speech pauses the gain can rise to an extent where the background noise rises to an unacceptable level. If this happens, the gain of the IC can be reduced by simply placing a resistor across pins 7 and 8.
Normally, the gain is controlled by the two internal resistors and is equal to 10k/680 ohms, so by reducing the value of the 10k resistor it can be seen by what proportion the gain can be reduced.
---
**Final comments**
As the SL6270 is very versatile and easy to use, it has found its way into many speech processor and transmitter designs. At around £3 each, one of these devices may not be as cheap as something like a 741 but it still offers excellent value. In fact, it would probably still work out much cheaper to use a '6270 than build an equivalent circuit from discrete components. On top of this, there is also the enormous amount of time saved in constructing and debugging the circuit, because only a few extra components are used and fewer mistakes are likely to be made.
**Better processors**
Essentially, these ICs enable much better speech processors to be made with only a few extra components and at a little extra cost. Because of this, they are worth considering if any speech processor designs are being contemplated.
---
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Mathematics are not to everyone's taste, although every radio amateur has to dip into them to some extent simply to pass the RAE. There are some whiz-kids who do everything by maths, and some who write magazine articles which lose most of their readers the moment they reach a formula which appears to be written in Greek, followed by columns of calculations.
There is no doubt that for those with an aptitude for the subject everything becomes that much easier and, for anyone taking up radio or electronics professionally a good knowledge of mathematics is a necessity.
Many radio amateurs today, however, are involved in the pursuit of a practical hobby, and have no great wish to become involved in too much juggling with figures. Nevertheless, even when working on a practical basis, simple calculations can help save hours of experimentation. They need not be too complicated, and a few are discussed here to illustrate the point. A simple approach has been adopted, and all calculations can be made with a pocket calculator. Mathematicians reaching this point are invited to turn the page and proceed to the next article!
**Dipole antenna lengths**
The formula to calculate the length of a half-wave wire dipole for HF is usually given as
\[
L = \frac{468}{f}
\]
where \( L = \) length of antenna in feet, and \( f = \) frequency required in MHz.
Without knowing the precise location of the antenna, its height, the presence of nearby objects, trees, buildings etc, it is impossible to provide an accurate formula, and the factor of 468 can only be an approximation. Consequently, the newly erected antenna may well not be resonant at the desired frequency, and subsequent adjustments usually consist of arbitrary alterations until the correct length is found.
A simple reversal of the original formula saves all this. First, the (unwanted) resonant frequency of the antenna is identified by noting the receiver frequency when the lowest SWR is obtained during transmission.
Assume that an 80 metre dipole is required to resonate at 3.650MHz. The usual formula
\[
L = \frac{468}{3.650}
\]
gives a length of 128.22 feet, but when erected the antenna is found to resonate at 3.564MHz.
If the length is equal to the factor divided by the frequency, then the factor is equal to the length multiplied by the frequency. It has been established that the antenna has a frequency of 3.564MHz, and with this information a new factor can be calculated:
\[
\text{Factor} = \text{length} \times \text{frequency}
\]
\[
= 128.22 \times 3.564
\]
\[
= 457
\]
The new factor is tailor-made for the particular location, and can now be used to calculate the correct length for the frequency required:
\[
L = \frac{457}{3.650} = 125.2 \text{ feet}
\]
**Coaxial wavelengths**
A half-wavelength, or multiple thereof, is a useful length for coaxial feeders. For any given frequency, the impedance at one end is repeated at the other end. At VHF particularly, the length of feeder between a transmitter and an SWR bridge should be such as to ensure that the bridge indicates the condition at the transmitter output terminal. At all frequencies, it is helpful to have a feeder in multiples of a half-wavelength when experimenting with single band antennas, to ensure that the feeder itself does not act as a transformer and give misleading results to antenna adjustments.
All measurements of feeder lines refer to the electrical length of the line, taking into account the velocity factor of the cable used, as follows:
\[
L = \frac{492V}{F}
\]
where \( L = \) length of cable in feet
\( V = \) velocity factor of the cable,
and
\( F = \) frequency in MHz
*Example:* A half-wavelength of coaxial cable with a velocity factor of 0.66, at 144.5MHz
\[
= \frac{492 \times 0.66}{144.5} = 2.25 \text{ feet}
\]
The formula for a full wavelength uses a factor of 984, and for a quarter wavelength, often used as an impedance transformer, 246.
**SWR calibration**
An SWR meter can be calibrated using the formula:
\[
\frac{F+R}{F-R}
\]
where \( F = \) full-scale deflection of the meter,
and \( R = \) meter deflection to the point to be calibrated.
This enables existing meter scale markings to be modified and used quite easily. If, for example, a scale is marked in tenths of FSD, each point represents 10 and FSD is 100, thus for a mid-scale reading:
\[
\frac{100+50}{100-50} = \text{an SWR of 3:1}
\]
and calculations can be made for other SWR calibrations in like manner.
**Voltage dividers**
Experimenters often find a need to apply one or more voltages to different parts of a circuit. A common way to do this is with a voltage divider: a simple resistor network from the positive to negative line of a power supply. This provides various voltages at the junction(s) of the resistors, as illustrated.
The formula to obtain the values of the resistors is based on Ohm's law, ie:
\[
R1 = \frac{E-E1}{I1+I2} \quad \text{and} \quad R2 = \frac{E1}{I2}
\]
where \( E = \) the voltage supply applied to the circuit
\( E1 = \) the load voltage required from the divider
\( I1 = \) the load current required in amps
\( I2 = 10\% \) (approx) of the load current
*Example:* A circuit is supplied with 12
volts. A section of the circuit requires a supply of 6 volts at 10mA.
\[ R_1 = \frac{12 - 6}{.01 + .001} = 545 \text{ ohms} \]
\[ R_2 = \frac{6}{.001} = 6000 \text{ ohms} \]
Finally, the wattage (W) of the resistors is determined by \( W = EI \):
\[ R_1 = 6 \times .011 = .066W \]
\[ R_2 = 6 \times .001 = .006W \]
In this instance, \( \frac{1}{2}W \) or smaller resistors will suffice in both cases.
**Dummy loads**
A non-inductive (ie, not wire-wound) resistor provides a good substitute for an antenna for testing a transmitter without radiating a signal. It must, however, present a resistance value matching the output impedance of the transmitter, and be capable of dissipating the full output power.
With low power (QRP), this presents little problem. A 1 watt transmitter is easily served by a 47 or 56 ohm, 1 watt, carbon resistor.
An application of a formula learned for the RAE:
\[
R = \frac{1}{\frac{1}{R_1} + \frac{1}{R_2} + \frac{1}{R_3}} \quad \text{etc}
\]
shows that several resistors connected in parallel will provide a dummy load capable of carrying more power, for example:
\[ 3 \times 150 \text{ ohm, 1W resistors} = \]
\[
\frac{1}{\frac{1}{150} + \frac{1}{150} + \frac{1}{150}} = 1 \times \frac{150}{3} = 50 \text{ ohms}
\]
As the power route is now divided three ways, and as each resistor can carry 1W, the total dissipation will be 3W. Various permutations are possible using 1 or 2W resistors, eg \( 11 \times 560 \text{ ohm}, 2W \) resistors would provide 51 ohms at 22W. The ratings of the resistors are for continuous dissipation. Keyed or speech transmissions are not radiating with a continuous duty cycle however, and the rating of a dummy load calculated as shown can probably be doubled, subject to an occasional check that it does not become too hot to touch when in use.
With powers above QRP level, dummy loads need to be carefully constructed and cased. Details are outside the scope of the present article, but examples can be found in many amateur radio reference books etc.
**Many more**
There are many more examples, gradually becoming more complicated, but there is no need to think that because maths can be difficult, that it is always difficult – this is not so. The simple calculations illustrated here show that maths can, and should, be used to assist the practical constructor to whatever extent he, or she, is capable of using it.
**Velocity factor of coaxial cables:**
This depends on the insulating material used for the cable. Popular types with solid polythene dielectric, such as UR43, 57, 67, 76 etc, have a velocity factor of 0.66
Those with a helical membrane, foam, or PTFE dielectric have factors ranging from 0.70 to 0.96 and should be checked against data tables found in various handbooks or other works of reference.
It was Kevin Fox G4MDQ who pointed it out to me.
'Isn't it strange,' he said, 'how few rigs have names?' He went on to say how those that do seem to be Western rather than Japanese - the KW Atlanta, the TenTec Argosy, the Micron and large numbers of QRP rigs, for example.
It struck me how strange this was, when you consider that cars from that part of the world are marketed in the West using names - many of which seem odd to us. The Sunny and the Cherry are not the usual macho names associated with cars in our culture. Range Rover or Spitfire sound better to the British ear. Japanese cars still sell well, though, so why are rigs not saddled with names as well? Why are we not boasting about our new Yaesu Peach or Trio Moonshine?
Having some contacts in Japan, I set out to ask this question. In the search, I stumbled across the answer to one of the great mysteries of amateur radio. Why is it that some rigs are better performers than others of the same model?
The significance given to numbers in the Orient is greater than in the West. The patterns in which they lie are important and are seen as holding the fortune or luck of the things to which they are attached. Sadly, the success of a rig will sometimes force a number onto the Japanese staff which, although logical from the Western point of view, is laden with ill-luck in their eyes.
As an example of this, let us consider the triumph of the FT101 and the failure of its two successors the FT One and the FT102. In the West the number one has a special meaning: first and best. In the Orient, one is a number that gains its strength from its place in the pattern of numbers. Thus 101 can be written in the form $1 \times 0 \times 1$.
This pattern accords with the static Yin line in the classic form of oriental fortune telling. A Yin line often has desirable connotations, since words meaning accord, gracefulness and the like are derived from it. This pattern of numbers holds great fortune, and the rig itself is a great success. What then of the FT One? The pattern here is another classic in the fortune telling system: $0 \times 1 \times 0$.
This is the static Yang line, and means the exact opposite of the Yin line. Thus, when casting the luck of the One, the engineers would have been aware that the fortune of the rig was exactly the opposite of the 101!
This is a hard idea for Westerners to grasp, so let me put it another way. If you...
consider a one to represent a pillar or support, it is easy to understand that a bridge supported at both ends:
is stronger than a bridge with a single support in the centre:
Having had this unfortunate number forced onto them by Western sales staff, is it any wonder that the development staff could not find it in their hearts to spend a great deal of time on the One?
The FT102 also logically follows in the Western number system from the 101, but again the number signifies ill luck. Two in the oriental system is the number of the bird meaning 'Luck which flies away'. So the bridge starts strong:
but rapidly becomes weak as the luck flies away:
The experimental three valve final was dumped onto this number to get it out of the laboratory and into a field trial. Since the patient was going to die anyway, it wouldn't hurt to try a new treatment!
The numbers of value in the oriental system are 8, 3 and 9. The number of luck or good fortune is 8, while in common with Western mystics 3 and 9 (3 times 3) are numbers of worth and strength. One, as I have explained, is an important number which takes its meaning from its combination with other numbers.
Place is an important aspect of the fortune telling system, the order of luck favouring the centre, then the number to the left of centre and then the right. Thus luck favours number combinations such as 830, 930, 2300 (the 00 counts as 0), and of course 290.
Perhaps, then, we should not wonder that the runaway success of the FT290, and its fellow 690 and 490 rigs, was due to the development team being free to pick a number with good luck attached and to build a rig to match the success the number would bring. The new version of the FT290 still retains this magic number, being the Mark II, and not changing to the less lucky FT291!
Even in the best of rigs, one can find 'Friday afternoon' examples which perform in a disappointing manner.
Many years ago, when Douglas made Vespa motorscooters in this country, they boasted that any bike with a zero at the end of its serial number was subject to extra checks. A single zero warranted a special visual inspection, a double zero a full mechanical inspection, three zeros a complete performance test and 4 zeros, it was claimed, were destruction tested!
This number magic can apply to rigs as well. Remembering the numbers of strength (3, 8, 9), and the combination 1—any number—1, we must look at the serial number in the oriental manner from right to left. The number fifth from the left holds the fate of the sequence and the second number from the left gives it a value, ie much luck (or ill-luck) or little.
The numbers at the extreme left and right, it is said, hold the past and future luck of the equipment. Thus, a sequence 390083 with the 9 in fifth place supported by the 8 in second place should bode well and, as the history numbers at each end are both 3, they should indicate a trouble-free life for the equipment.
An example from life concerns one of my rigs with the number 311023. This has never misbehaved (as indicated by the history numbers) but has never been able to pick out the DX, perhaps due to the poor luck of the numbers in fifth and second places!
This system only applies, of course, to hand-built rigs, where the human factor can unconsciously affect the fortune as it is built. Computer-built rigs are more robust in this area, and it is then the luck of the robot which must be considered. This is often shown on the inspection slips enclosed with the rig as initials (the human inspector) and a number indicating the robot line. Divination can then proceed as above.
Times and dates too, carry importance. Certain number sequences are of great cultural significance. With this in mind, I have been careful that this piece is written at one of these meaningful points in the year:
John Feeley, 11.55GMT 1.4.88.
The period under review has not produced any spectacular results; nevertheless conditions have been interesting and the upward trend has continued with some interesting crossband QSOs taking place with DX stations. I am starting the column with some of the DXpeditions planned for the summer season this year.
I am indebted to Harry Schools KA3B for permission to reprint the following information from issue number 7 of his *International 6 Metre Digest*, March 1988.
**DXpedition to St Pierre (FP)**
'I had reported in the February issue of the digest that I had been making tentative plans to operate from the islands of St Pierre and Miquelon during the June VHF contest. So far, things are looking good. My vacation schedule has been approved by my immediate superior at work. The dates I have requested are June 7th to June 14th, which coincide with the VHF contest on 11th/12th.
'The location from which I am planning to operate, the Hotel Robert, is available on these dates. Readers who are familiar with the hotel will know that it has been host to many DXpeditions in the past, especially on the HF bands. The hotel's manager has been enthusiastic about amateur operations and has allowed a New England ham, Ralph Hirsch K1RH, to establish a permanent station on the top floor of the hotel.
'The station consists of a minibeam for 6, 10, 15 and 20 metres, a Butternut vertical for 40, 80 and 160 metres and a 5RV for utility work. Also in place is a MFJ 1500 watt tuner with SWR and power meters, an antenna switch and rotator plus 115/230V ac and 12V dc at 35 amps. All you need to do is bring your rig and you can be on the air within 10 minutes of arrival (anyone interested?). I spoke with Ralph on the telephone and enquired about whether there was room on the roof for additional antennas. He tells me that there is ample space for mounting a 5-element 6-metre beam. I shall therefore bring one along, plus rotator, and leave it there for future expeditions.
'I have applied for a special callsign, FPOSIX, although I am sure I shall be required to sign as FP/KA3B. My operation will concentrate on 6 metres, although I will probably operate on HF as well. The 6 metre operation will run about 100 watts. QSL/SAE's please!
'I have written to Harry about crossband working using 28.885 and his answer will be printed next month in this column.'
**DX briefs from KA3B**
Phillip Delcroix TR8DX is reported as operational on 6 metres with 40 watts output and a 4-element beam. He is active in the evenings and at weekends. Others interested in operating on the band are TR8CA and TR8JLD.
**Falkland Islands (VP8):** Bob VP8BKK will shortly be operating on 6 with a Swan 250.
**Nicaragua (YN):** YN3CC is now operational on 6 with a Yaesu FT620B and a 5-element yagi, which were donated by the Six Metre International Radio Club (SMIRK).
**Zambia:** Bill 9J2WS will be active on 6 from Zambia until the end of 1989, before returning home to Sierra Leone as 9L1WS.
**El Salvador (YS):** In addition to YS1ECB, Marco Diaz YS10D is reported to be active on 6. His address is Box 464, San Salvador, El Salvador.
**Martinique (FM):** Three operators are reported as active on 6 from this small island in the Caribbean (Grid FK94). They are FM3AG, FM3BY and FM3CS. Note that the French Guiana beacon FY7THF on 50.038, which is received in the UK when conditions are favourable, is a good pointer for this area.
**Peru (OA):** From Ray Clark comes word that OA8ABT is active on 6 with 50 watts output. He is using stacked, 5-element yagis.
**Ceuta and Mella (EA):** From this area comes word that EA9ID9 will be starting out on 6 soon.
**Other DX news**
A Gibraltarrian DXpedition is planned to take place between May 31st and June 14th. A letter from G4VXE gave details of the forthcoming 6 metre DXpedition. Tim says that callsigns have not yet been finalised, but will probably be ZB2/G4VXE, etc., rather than full ZB2 callsigns. Operation will begin on May 31st and end on June 14th. The period was chosen for best sporadic-E propagation to the UK.
Operating frequencies will be 50.165 and 50.200, with monitoring on 28.885. See Figure 1 for details of reception of the Gibraltar Beacon in the Scilly Isles by G5KW during May and June 1981. As will be seen from the graph, the band was open for 70MHz operation on May 31st and June 1st. This was when many of us made QSOs on 4 metres. The propagation mode has not been established but we believe it to be enhanced sporadic-E.
John G3UUT writes to say that he has received a letter from Jimmy Bruzon ZB2BL. Jimmy is the keeper of the beacon ZB2VHF which, as reported earlier, was damaged by rats. He says that he is hoping to get the beacon Poperational again soon, as he has ordered the spares necessary to mend it. This is good news, as the beacon was a valuable guide for the conditions to the south of us.
I had a telephone call last week from Jimmy in California, saying that his plans for his annual DXpedition this year are not confirmed yet. He believes that he may go to Belize; I hope to give more
information on this next month. Jimmy is probably the world's greatest operator of 6 metre DXpeditions and produces a very fine souvenir QSL card, giving full details of equipment and local colour.
**Ascension Island beacons**
In a news handout from the UK 6 Metre Group, we read that Mike Barry ZD8MB/G4MAB obtained licences for two beacons in the autumn of 1987: ZD8 HF on 2829kHz, with 50 watts output power, and ZD8 VHF on 50032.5kHz, having 50W output power. The necessary permits were issued by the Governor of Ascension Island. The antennas will be a 5-element yagi and a vertical, both available for 6 metre operation; for 10 metres a vertical will be used.
The same keyer is used for both transmitters, but the appropriate callsign for each beacon is sent, followed by the Ascension Island call, locator II2TB. The keying is synchronous throughout except for the callsign differences, permitting arrival timing comparisons.
Several organisations have provided hardware. Yaesu donated the components, South Midland Communications gave random antenna electronics and the keyer PCB is from G4FRE. The beacon was designed, built and tested by G3JVL; funding is by donations from interested members of the UK 6 Metre Group. The 10 metre beacon has been funded by ZD8MB, G4JCC, G3SED and G3JVL.
**UK 6 Metre Group AGM**
This will be held at the RSGB VHF Convention at Sandown Park on May 2nd. The convention opens at 11.30am and non members are cordially invited to attend but may not vote.
**Aurora during March**
The magnetic storm on February 21st, which was followed by an intensive aurora on February 21st and 22nd suggested that similar conditions would probably return 27 days later. We were not disappointed! During the first two weeks of March there were several auroral openings, but these were not much in evidence from my QTH in the south-east. Stations further north and in Scotland, however, had some major openings – particularly towards the end of the month. With the solar flux at 132, an A index of 22 on March 29th and stormy geomagnetic conditions forecast as this column is being typed, no doubt more auroral contacts will have taken place by the time this is published.
Mike Barry ZD8MB has already been having some good crossband and direct 6 metre QSOs – although, isolated as he is, all QSOs can be considered DX! He is regularly in QSO with Costas SZ2DH and the 9H1 gang, and in crossband contact with OZ2BQ/EA7, EA4CGN, TR8DX and CT1WW. The highlight of the season so far was a crossband QSO on March 25th between EA4CGN on 10 metres and LU7DX on 50.105MHz just before the aurora started up in the UK. Enhanced conditions have been encountered in the past before an aurora.
In the March issue the captions were omitted from the graphs of the solar flux and sunspot data supplied by Geoffrey Roberts. An updated version has therefore been included this month. As mentioned earlier, the upward trend continues.
As we move through the summer sporadic-E season to the autumn F2 DX season, next month I shall be including a reprint of the propagation study I made, in the Scilly Isles, of the North Atlantic path with times and details of contacts made. Until next month, 73 and good DX on 6. Ken Ellis G5KW, 18 Joyes Road, Folkestone, Kent CT18 6NX. Tel: (0303) 53267.
It has been some time since we had a serious look at what is happening on the higher microwave bands. Perhaps the most interesting occurrence is that a number of people are now running private beacon systems on the bands from 10GHz upwards. There are several reasons why beacon facilities are useful. The obvious one is to find out what conditions are over a particular path, a service provided by the official beacon network.
A secondary function is providing a tune-up facility for tweaking up newly-built equipment. Here, the official network is not very helpful if you are located some distance away. The problem is that the gear could be off frequency and as deaf as a post, so you would need to get close to the beacon site to make a start on the lining up job. Because the official beacons are few and far between, this could involve a lot of travelling.
**A good idea**
The private beacon network which is springing up around the country helps to cut down on your travelling by putting signals into areas which are not well served by the official network. So, how do they operate?
As you know, an RSGB type beacon has to go through a thorough DTT examination before being granted a licence. This is largely because the unit is going to be installed on a remote site and will be left to run unattended.
There is, however, nothing to stop anyone transmitting a constant carrier with tone or other modulation from home, provided that the callsigns are transmitted at the stated intervals. This is, after all, exactly the way you run a normal QSO.
**Objections**
Some people have said that efforts should be concentrated on providing more official beacons. The reason given is that because the private ones are not running continually and because the aerial may be pointing in different directions at various times, depending on the user's requirements, it is not possible to use them to keep a check on propagation. This argument misses the whole point of the private beacon system, which is to provide signals and help to get gear up and running when requested.
**Advantages**
In one sense, the private beacon has a great advantage over the official ones as the operator will be available to respond to your requests via a two metre talkback link. This effectively gives you a duplex QSO, with you on 10GHz and the beacon operator on 144MHz. Any adjustments you make can be immediately reported back to you, making the tweaking progress a lot easier. Many of the home beacons also have full 10GHz transceive operation available, so a final test can be made using full duplex telephone style contacts – the ultimate in luxury.
**Get 'em up**
As starters you could try the following to get a signal up on the band. In the Glasgow area, try Mark GM4ISM for 10GHz FM and possibly 24GHz FM. In Geordie land, try John G3NWU who can help with 10 and 24GHz FM. In the Midlands you can call me for a signal on 10 FM, 10 SSB or 24GHz FM. For the area south of Birmingham, contact Dave G0DJA who also has 10 and 24 FM available. In the Wolverhampton area the man to get is Glynn G8SWZ, who can also manage 10 and 24 FM.
Moving to the Bristol area, you could ask Roy G3FXL who can manage signals on most bands above 1.3GHz including 10GHz ATV. In the Swindon area you could contact Tim G3KEU for 10 FM, SSB and ATV. In the Sheffield area you could try Peter G3PHO.
If you live in the South Wales area then Doug GW3ATM, located near Chepstow, would be pleased to help on 10 FM. In the Hitchin area, Harold G3UYM is available for 10GHz FM and, in Reading, you could ask Ian G8KOW for 10GHz FM and SSB and also 24GHz WBFM. Most, but not all, of these operators have a mast-mounted system but they can all get a signal on the band for you with little trouble.
**Contacting them**
All of them are QTHR and phone numbers are available via directory enquiries. Please bear in mind that you cannot expect a signal at the drop of a hat. Contact the people concerned well in advance to arrange a suitable time to do your tests. All these people are very helpful and very experienced microwave operators – just the sort you need to hold your hand when you are getting started.
This is by no means a full listing and I would be very pleased to hear from anyone else who is prepared to put up signals.
**Proper ones**
Just to round off the information, the official beacons – working upwards in frequency – are, on 10.1GHz, GB3IOW on the Isle of Wight; on 10.12 GB3ALD on Alderney; on 10.368 we have GB3SCX at Bournemouth, GB3MHX at Ipswich, GB3CEM at Birmingham and GB3AZA at Scarborough. All the preceding beacons are high stability types for SSB use but can also be received as carriers on wideband FM receivers. The FM beacons with nominal 300kHz deviation are all on 10.4GHz. These are GB3GBY at Grimsby, GB3MLE at Emley Moor, north of Sheffield, GB3XGH located at Chester and GB3LEX which is located between Leicester and Loughborough.
**More units coming**
There is also news of a new 10.4 FM unit to be installed at Blackhill near Glasgow (NGR reference NS 828 647) as soon as all the paperwork is approved. Further news of this one is obtainable from GM4ISM. It is hoped that GB3OHM will have made an appearance from the Birmingham area by the time you read this. Information on this one is from G6KOA. On 21.4GHz you will find GB3ALD and GB3IOW putting out signals.
These beacons are all fairly reliable, but they do have to be taken out of service for short periods for running repairs and so on. If you want to check the latest status try contacting the RSGB Databox on (0707) 52242 using normal Prestel 1200/75 baud rates. Lots more interesting information for the VHF man is also available from the same source.
**Cumulative results**
Last year's 10GHz cumulatives were well supported in spite of the terrible weather conditions. Any time you want rain, just take a dish aerial up onto a local hill – it rarely fails. The score is the best results from three of the available contest days and the winner was G4EFT with 2554 points from 38 contacts, with a best DX of 219km.
Second was G8KQW with 2522 points from 35 contacts, the best DX being 163km. The greatest number of contacts was 42, scored by G4EML. On SSB the winner was G8KQW with 1329 points from 16 contacts, the best DX being 153km. This is actually less than he achieved on
wideband FM but, of course, there are a lot less stations around on SSB even though the number is increasing rapidly.
Activity
As well as the cumulative contests on 10 and 24, there is now a well established idea of using the first Sunday in the month as an activity day. This has promoted a lot of interest and each month sees more people joining in. The Midlands, South Yorkshire and the Lancashire area are particularly busy.
There is now a well established South Wales microwave group doing a lot of operating from their site at Hay on Wye. In North Wales there have been reports of contacts into Eire and Scotland, where the Glasgow group are getting very well organised. There is also a very active group in the Hull area, although high spots are not easy to find around there.
Expeditions
News is coming in of a planned trip to Gd-land by G8KQW, possibly in August. He will be taking 10 and 24GHz FM and also 200 milliwatts of 10GHz SSB with him. This may not sound much to a two metre operator, but bear in mind that the average 10 SSB system runs about a third of a milliwatt output and his system is really QRO.
Around the same time we can expect an expedition to the south-west corner of Scotland, possibly with both 10 and 24GHz being carried. Several operators are planning trips up Snowdon; in fact it is getting to the point where a rota system will have to be brought in for this site to stop local QRM from becoming a problem.
Summer holidays
July and August are possibilities for an expedition to the south-east of Scotland, from where long distance sea paths into the north of England and East Anglia are being attempted.
The Belfast Group will be out on most contest days looking for paths into Scotland and North Wales. A new interest in microwaves is appearing on Anglesey and the north-west coast of Wales, plus there is a very active Glasgow group, so the limited success of last year should improve.
Mobile
Mad though it may sound when you consider that microwaves are a line-of-sight game, a fair amount of work has gone into mobile operating. This is usually achieved using Alford slot aerials mounted on the roof of the car. This type of aerial is intended to give good all round coverage and does an excellent job.
However, when doing mobile tests rather than looking for random mobile contacts (What, on 10GHz! - Ed), both cars are following the same route and much better results can be obtained by using the extra gain of a small horn aerial. These are usually mounted inside the rear window of the leading car and inside the windscreen of the following one.
Using this layout G8OIT and I have managed contacts of up to three miles when, obviously, the cars are not in visual range. Even better results were obtained on the M62 where visual distances in some areas are greater. I have also done some tests on 24GHz FM mobile with G0EDT. So far, they have only provided contacts of less than a mile, although we are sure that this could be easily extended.
Using SSB mobile on 10GHz has provided some problems due to Doppler shift as the relative speed of the cars has changed. Using the throttle as an RIT control has to be experienced to be believed!
Close-down
Next month we move back to the lower end of the spectrum and perhaps also get an update on the awards that have been issued. If you want information on these, or just want to comment generally, then the QTH is 81 Ringwood Highway, Coventry; or you could use Prestel on 203616941. Good hunting.
The subject of mains hum is an old favourite from the postbag. It can be a real pain, though it can normally be separated out into three main sources. The easiest of the lot to deal with is heater cathode shorts in valve sets. Hum all the time has got to be limited to the audio stages (this is the most likely cause), the rectifier or the detector, assuming it's coming from the heaters. Heater cathode shorts down the RF/IF/mixer stages normally only show up when you tune in a strong signal.
In my experience the indirectly heated series heater valves, for example PL, U types etc, are the worst for this problem, though 6.3V'E' series strung in series can play up. The way to check is to heat the valve up (ie put the correct volts up the heater pins) out of the set and AVO the resistance between cathode and heater. Although there should be no conduction, in an audio or rectifier valve you should disregard anything 10kohms or above. You will gather from this that I don't like using the valve tester. I get a belt off it every time I play with the damned thing!
The old trick of listening to your local oscillator (or, in more advanced receivers, conversion crystal oscillators, etc) is very worthwhile when you are only getting the hum when a signal is tuned in. Any trace of 50Hz and I'd be wopping in a new oscillator bottle. Another good trick, for 6.3 or 12 volt parallel connected heaters only, is to disconnect the heater transformer winding and run the heaters off an external dc supply. If the hum is gone, the heater circuit is your chief suspect.
A bodge way out of heater induced mains hum is the so-called 'hum-dinger' circuit. It is very, very important that you do not try this technique on series connected heaters; you must only do it with parallel connected ones, isolated from chassis heaters. Figure 1 is self-explanatory.
**The HT supplies**
We are now talking either valve or solid-state equipment, with HT either meaning your hundreds of volts in the valve box or only the 12 volts or what-have-you in your semiconductor wonder-box. If you have a 'scope handy, it's well worth a nose round the 'main' rail, with the 'scope on ac coupling, to see if you have any 'modulation' on it, be it 50 or 100Hz, dependent upon half or full wave rectifying.
On a 12 volt(ish) system I begin to worry when confronted with more than roughly half a volt's worth of wiggle. Your 300 volt valve heap can probably take 5 to 10 volts of ripple. First move, if confronted with yards of the stuff, is to wop an electrolytic of roughly the same value and voltage as that already fitted straight across the rail. Remember to be careful and to discharge the substitute after use.
**Induction hum**
If you have been adding new mains transformers and the like, the radiated magnetic field round it can be upsetting other gubbins within the set. Try rotating it through 90° and see if the hum disappears. Another favourite complaint is the mounting screws of the mains transformer not making good contact to the chassis. Try loosening them off and re-tightening.
One final mains transformer related hum problem can be loose laminations. Not loose enough to physically rattle (this is annoying; cure it with liberal 'coatings' of high temperature lacquer), but loose enough to impair the efficiency of the transformer. Think about it - if the laminations are loose, the magnetic circuit is inefficient. Your 'lost' power, which goes as an increase in the external magnetic field (ie the inefficiency), can induce mains hum into other nearby inductors, principally audio-inter-stage transformers or the 'L' bit of audio filters. Try a clamp on the lams if you suspect this. AG clamp and some scrap wood can sometimes suffice.
Magnetic radiation from transformers can be the cause of 'judder' on the picture of a CRT screen, be it computer, TV, monitor, scope or whatever. I tend to extend the mains transformer leads (well insulated) so that I can run the set from it, but with the transformer physically located well away from the set. With monitors, as often as not, the whole thing runs on 12 volts or thereabouts so it can also be worthwhile running it up from an external supply. If the transformer is the problem, a mu-metal screen can sometimes effect a good cure.
**Yaesu FT720**
These FM machines come in three variants. The FT720RV is a 10 watt, two metre FM box, the FT720RU is 10 watts on seventy and the FT720RVH is 25 watts on two. The most unusual feature is that the transceiver can be split in half; the control gubbins separates away from the 'RF deck'. It is thus possible to mount the little control box under the smallest dash in a car and put the rest of the set in the boot or under the seat. Control cables come in two or four metre lengths.
There is also a special combiner box so that you can have one control unit and separate two and seventy RF decks. A point to watch with this family is their extreme sensitivity to VSWR. There is a built-in safety feature whereby any mismatch trips out the transmitter. This is really sensitive - in my view a bit over sensitive. Even a watt 'back' will trip out the ten watt version, so a well matched aerial is essential.
Performance-wise the quoted figures are 0.32uV for 20dB quieting on two and 0.5uV for the UHF variant. In practice, they all seem to be exactly this, which is reasonable considering the slightly dated design. The Tx side always gives a bit more than stated, typically 12 watts out for the 10 watters, 27 to 30 out of the 25 watt.
Price-wise, the two metre versions go for £125 for the low power one to about another twenty quid(ish) for the higher one. Last year I only saw two UHF ones sell, one at £135 and the other at £155, so I can offer no definitive price. They are not bad machines.
**Repairing Spectrums**
My comment in the second-hand computer special recently about dead Spectrums that will only produce multi-coloured flashing squares seems to have touched a very raw nerve indeed. Most of
the correspondence about this ruefully agrees with my comment that you should never unplug or plug in any accessory to a running Spectrum; that's how those concerned blew theirs up.
For starters, I think it's only fair to point out that there are several firms about who will repair a dead Spectrum for a fixed price of £15 to £20. The repair isn't a lot of fun, but is relatively inexpensive so this might be worth considering. If all goes against you, you are in for about a tenner's worth of bits.
Assuming you are a sadist, though, open him up and look, with an AVO, at the block of eight memory chips in the bottom left-hand corner. These should have +12, −5 and +5 on them, on pins 8, 1 and 9 respectively. Bet they haven't. Now cut the supply rails to that area (ie cut the tracks) and see if the +12, −5 and +5 comes up. Bet it doesn't.
The inverter's a gonner. This features a ZTX650 transistor, an etsy bitsy thing that is a lion in sheep's clothing. This tiny, insignificant transistor has the ability to shake two amps or two and a half watts maximum dissipation.
It also has a gain of 100 min, 300 max, so don't wop in a BC108. The correct transistor is essential and they are cheap (£5 for £1.50), so it's not worth playing games. Well, would I lie to you?
So now we have a running inverter. The real bad news is that the memory block has to come out, which is soldered in, plus it's double-sided, plated through-holes. Eight sixteen-pin ICs. Yuck. That's one hundred and twenty-eight goes with the solder sucker and solder wick. Super fun! Folklore has it that when a 4116 has not got its full complement of all rails across it, it will die permanently. My experience of this is that it isn't true.
In a normal dead Spectrum, six out of the eight chips are normally OK. The problem is that you've got to get them all out to check them (rails run under the chips so you cannot keep cutting tracks). The easiest way is to cut all the legs off on the top of the board, then unsolder each leg one at a time until the area is clear. This obviously makes re-use of the memory chips a no-no. Still, 4116s are under a quid a go, so eight new ones aren't going to cost the earth. Incidentally, you weren't going to solder the new chips in, were you? For the extra eighty pence or so it will cost you for a set of IC sockets, I'd advise you to fit them.
I, however, am extremely tight when it comes to parting with money on electronics. I'd rather waste an hour carefully sucking out all the old memory chips so that they come out whole. It's then a case of plugging them one at a time into a socket fed with +5, −5, +12 on the appropriate pins whilst watching the current meters on the power supplies. Any dead 'uns obviously get binned; it's worth remembering that one of them ought to be a short, 'cos that's what took out the inverter.
Unfortunately, the above PSU tests will not find 'dynamically dead' ICs, ie ones that are taking the right sort of current but don't work. Nearly all Spectrums in my experience die with one IC going a dc short and another going dynamically. So in go the seven dc good ones, plus one new one. It might work. If not, replace each chip in turn with a known good one. Sure you could have seven dynamically dead ones, but I've never met this. A 4116 is a 16,384 bit random access read/write memory organised as 16,384 × 1 words. Since the Z80 is an eight-bit machine, it needs all eight bits to 'live'. As a rough guide, we are talking only µA on the −5V rail and 45mA on the +12.
**A common misconception**
Quite a common letter in the postbag is the one from the person who wishes to add a BFO (beat frequency oscillator) to a short wave radio to allow him/her to listen to SSB and CW. What makes me laugh, because I thought the same myself mega years ago, is that the correspondent goes on to say something like, 'The set covers 1.8 to 4.5MHz and I need a BFO to cover that'. Wrong. It needs to tune only across the IF of the set. That's normally 455kHz, maybe 465 or 475, but in your average grotty MW/LW/short wave domestic box it's around there. I'm being rude; your one isn't grotty, of course not.
If we are talking of only listening up to 10MHz or so, then all the transmissions you are going to bump into are likely to be lower sideband. Above 10MHz, most are upper. A lot of sets don't make 10MHz so you don't even have to tune the BFO. You can set it and forget it.
A BFO can be built for nothing out of an old transistor radio. All the bits are there, in the IF strip. Figure 2 shows the nominal last IF of an average Japanese radio. Copy the circuit diagram of your set, then reconfigure it like the example in Figure 3. If it doesn't oscillate then reverse the collector and +ve connections to the coil.
455kHz IF coils are yellow, mixer to first IF, white is interstage IF and black (ie natural ferrite colour) is the last IF/detector. For this circuit you can use any of them. Should you require a tunable BFO then add a variable across the 'hidden' one in the IF coil, ie from the unused pin to earth. If you are really tight, the variable capacitor in the set could be used with, say, a 10pF in series, or a small variable could be used.
Should you find frequency drift a problem, normally noticeable with a circuit like this only when the battery is getting low, then a 5.6V zener (plus series limiting resistor, of course) should effect a cure.
You will note that there is no coupling into the set shown. With most transistor radios, merely having the BFO near it will give you enough injection. Should more be required, a couple of pF from the BFO collector to the set's detector should do the trick.
This month we come to the last part of the series on various coding systems and we concentrate on valves. There are still far more of these in use than is perhaps realised, particularly amongst the growing band of old equipment restorers, so information on the coding systems used will be very helpful.
**American codings**
These are still readily available and, in fact, are probably the sort you will run into most frequently.
The point about this system of coding is that, although the code does not appear to be much help in determining what sort of valve you are looking at, you can glean a lot of useful information once you know what to look for. Let us take as an example type number 6V6GT – this is not an exotic callsign, as some may think.
**Detective work**
The first figure of this code tells us that this valve has a six volt heater. Other numbers you may come up against are 1 (.5), 25, 35, 50 and even as high as 117, all indicating heater volts. The next bit is the ‘V’ and this conveys no information at all.
The next figure can generally be taken to indicate how many of the base pins are connected and, allowing for the fact that the heater will have two connections, this indicates that there are actually five electrodes in the valve. A fair guess will come up with heater, cathode, grid, screen and anode and this is exactly what we have. The valve is, in fact, a power output tetrode.
**Go faster?**
So what about the GT bit – is there anything to be gleaned from this? Yes, there is. The ‘G’ tells us that the enclosing envelope is made of glass and the ‘T’ shows that it is of tubular construction rather than the more usual pear shape.
Instead of the ‘G’ you may find an ‘M’ marking; this indicates that the valve is in a metal container. Another marking you may find could be something like 6SK7, the ‘S’ indicating single-ended construction. The 6K7 is a small signal RF pentode with the control grid connected to a cap on the top of the valve. The 6SK7 is exactly the same valve type, but with the control grid connection brought out to one of the pins on the base.
**JAN codes**
Another American coding you may come across is ‘JAN’. These codes were used by the armed forces and are, in effect, stock numbers from which no useful information can be obtained, unless, of course, you have a stock list.
One final point on the American coding system, the 12K7 is exactly the same as the 6K7 except for the heater volts; the same applies to all the other type numbers.
One oddball you may come up against is something that was used in car radios to reduce current drain on the battery. This is a rectifier with a filament rated at zero volts, thus having a 0 as its first code letter. Perhaps you might care to work out how you can get a heater to run on zero volts?
**British types**
In Britain all manufacturers used an in-house system of type numbers and most tell little or nothing about the valve you are looking at. In the early days, say pre-1939, valve numbering was very simple and a frequency changer with a four volt heater was simply marked FC4. A pentode with ‘straight’ transfer characteristics and a thirteen volt heater was marked SP13 and so on; all very straightforward.
Of the post-war types only those of Mullard manufacture (just about the largest maker, as it happens) actually have a useful coding. The most likely codes you will find are ones like EF39, EL34 and similar markings.
**Making sense**
The final 39, 34 or whatever is simply a series number and gives no information, but the letters between the two sets of figures indicate exactly what type of valve it is. See Table 1.
| A | Diode |
|---|-------|
| B | Diodes |
| C | Triode |
| F | Pentode |
| H | Heptode |
| L | Tetrode |
| M | Magic eye |
| Z | Rectifier |
*Table 1 Valve types*
From this it can be deduced that an EBC33 would have a six volt heater and would contain two diodes and a triode in the same envelope. The magic eye may take some explaining. This was a valve with a fluorescent screen mounted at the top. The valve was fixed in the radio cabinet in such a way that you could see the screen, on which was displayed a dark shadow. The size of this shadow varied with the strength of the incoming signal, providing a signal strength indication which was used in much the same way as a modern S meter.
Next month, Martyn Williams starts a new Project Book series.
3CX800 welcome. Calum GM0EWX QTHR.
- SEM Tranzmatch, 80-10m. John G4UBB. Tel: 01-686 7684
- MuTek, SLN145 SB, pre-amp for FT290 Mk1. Fair price paid. Not working unit considered. Tel: (0277) 823146 evenings.
- Trio trntrwv, 140-230, MML 144-100S linear, reasonable price paid. Terry G4OXD, Hitchin. Tel: (0462) 35248 after 6pm.
- Mel type L662 miniaturised comm Rx. J Ball, 17 Theadene Rd, Wallington, Surrey SM6 0TD. Tel: 01-647 9502
- Yaesu freq counter, YC801 to match 101E, must be in good working condx, for which I will pay fair price. Anyone one might be considered at a knock-down price. Please check the shack and help me out. Tel: (07622) 24855 anytime.
- Drake T-AXC and/or KW107 ATU. GM3BKC QTHR. Tel: Falkirk 23533
- KW type 103, combined SWR/RF power meter or type 107 or similar. Must be pwo and sensible price. Bill G0DVW QTHR. Tel: Guildford (0463) 893411
- Mains transformer for NEC CG110E transceiver, or would buy non-worker for spares. A Swainsbury. Tel: 01-460 4134
- Realistic 10-30 hand-held scanner must be in good condition (or thereabouts). Money waiting. Tel: Rik (061) 436 7224
- I have a Yaesu FRG7 and need a manual, has anyody got one, I will pay the postage. I Thomas Street, North Ormsby, Middlesbrough, Cleveland TS3 6JE. Tel: (0642) 230911
- R109 Rx, prefer unmodified your price plus carriage paid. Peter. Tel: (0642) 456327 10am-4pm, or (0805) 543966
- Icom IC402 70cms SSB must be vgc. Cash waiting. Tel: (0926) 498388
- Bird 43 thruline wattmeter inserts. Please ring giving power handling and freq available or similar compatible inserts. Mike B0QJH, 12 Ranmore Ave, Croydon, Surrey CR0 5QA. Tel: 01-654 4444
- Sommerkamp TS700 DX, FT707, FT101, with or without 11 metre conversion. Also general coverage receiver up to £175. I have unused, boxed. Pioneer 50 watt stereo (RPH 4120) valve, £150. Will exchange for any of above, cash adjustment either way or sell for best offer. Please write with details, guaranteed reply any location. Mr N Treece, 126 Bembridge Drive, Alveston, Derent DE5 0UR.
- Trio TR700 Tx/2m Rx/Tx up to £55 plus post, Icom IC240 FM 2m Rx/Tx up to £50, Trio TL120 linear amp, tel: Jim (0202) 518828
- Old telephones, radio books, mags. Radio Times, RAF T1083 transmitter, R1082 Rx, details please. D Byrns G3KPO, 52 West Hill Road, Ryde, IOW PO33 1LN. Tel: Ryde 6790.
- HF transmitter, receiver, FT7, 101, 200, FT77, anything considered up to £200 plus Realistic DX 302, 0 to 30MHz receiver. Also open to offers on receiver. Tel: (0332) 372696, ask for Ian
- Complete HF station required. Must be general coverage on receive (no 'Yaesu equipment please) and have an A1 condition. Buyer will collect. Tel: (0533) 774505
- WW2 German ex-service equipment, parts, literature, for museum purpose – any condition acceptable. Also wanted: WSII W565, W566, T-1190, AD67, 52ER7, 4Q, 5G, RG37, H25 modules, suitcase radio. Will collect, cash or swap. WHY? Rag. Tel: contact 0225 4444. Venables 5, DK-284, Hvide, Denmark. Tel: 010-452 801875
- KW2000B Tx/Rx, must be in good condx, but no objection to repairs on electronics. Would p/e for unused Pye, SSB130, HF Tx/Rx. Cash adjust, also require Command Tx, Command PSU/mod, any items for this installation. Need T1154/R1155 plus cabling and other associated items. Jones type plugs, sockets. Anyone got a BC348 RF Oymonator? Good price given. John, 18 Oaky Balks, Alnwick, Northumberland NE68 2QE. Tel: (0665) 602487
- I will swap a Delta 1 collinear p/pack for 934MHz hand-set, must be in good condition. Andreas Prapapas, 190 From Field, Brighton BN2 2YD. Tel: Brighton 68883
- External VFO for FT102 with at least 2MHz drop. Urgent. Converter for Cobra 148 GTL DX for 45 metre band. State price. Please write or call. Dave Cummins, 23 Mahan Crescent, Blackrock, Co Cork, Eire. Tel: (021) 358396
- Need substitute for 2N6258 used in dc/ac inverter. Any ideas welcome, costs gladly refunded. Mark Tel: 0303 200068
- Headphones for B40 Rx, same as used or issued if poss, or any ex-gvt that would be suitable. Also PSU for HRO Rx. J Edwards, 15 Folly Row, Kingston St Michael, Chippenham, Wilts SN14 6JD
- Have Admiralty Handbook of Wireless Telegraphy, 1938, vols 1 and 2. Measurements in Radio Engineering, 1935, Radio Engineering, 1937. Radio Engineers' Handbook, all by Terence. All boxes as new. Tektronix 465B instruction manual, new. Want Edystone 750, also BC453, in good condition. W E Stedman, 133B Lynton Road, Bermondsey, London SE1 5QX
- Buy or borrow mags relating to AM/FM 10GHz system (published 1986). Subaaz, 4 Southway, Burgess Hill, West Sussex RH15 9ST. Tel: (0446) 2974
- Pye Olympic FM radiotelephone, also manual and extender boards. PF70 pocket phone, code E1. Tel: 01-856 4123, evenings
- Wanted, dead or alive Samurai S16 bits and pieces, part work, design or condition unknown, all accepted, anything whatsoever to do with the S16 machine. Ring now for an instant offer on your items. Serial keyboard for above, any serial keyboard will do, condition not important but must be in working order. 70cm Westminster, must be FM and working, will accept any condition of rig but must be complete & board intact. Would prefer data unit, but no fuse unit is for Packet only, so single channel unit OK, also any 70cm Tx/Rx considered. Xerox 820 computer or similar, any disc-based MS-DOS or CPM machine, condition not important, what have you? Wanted for Packet mailbox 1 level 3 node, Pye A200 E band amp, again condition not important but required in working condition, must work or be modified. FM Westminster, as above, anything considered. WHY? Would swap my TS700G, ST5MC or TNC220 for anything above. Ring and surprise me. Simon GM4PCM. Tel: (0505) 29363
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24v ni-cad battery contains twenty XD type cells, used condition, some cells may be faulty .................................................. £12.00
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Ex Vulcan bomber hitch and roll assembly, contains gears, shafts, bearings etc ........................................... £15.00
Range and bearing marker unit, contains bevel gears, servos, shafts etc .................. £15.00
Radar drive unit, contains 2 ex 24v motors, gears, components etc .......................... £15.00
Eddystone type 770R VHF receiver, 19-155 MHz .......................................................... £120.00
Type R210 receiver 2-15 MHz, complete with plug and headphones .......................... £55.00
ITT UHF TX-RX base station ......................... £40.00
ITT 149 MHz VHF transmitter ...................... £40.00
Collins R390A receiver, poor condition .......................................................... £150.00
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**JAYCEE ELECTRONICS LTD**
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## ADVERTISERS INDEX
- Aerial Techniques ........................................... 49
- J Bull .................................................................. 59
- SRW Communications ............................................ 16
- PM Components .................................................. 4,5
- Computer Appreciation .......................................... 45
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- RN Electronics ................................................... 43
- ICOM .................................................................. 30,31
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- Number One Systems ............................................. 41
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**ALINCO DUAL BANDER**
- 2m/70cm
- 25 Watts output
- Full duplex operation
- 21 Memories
- 2 Call channels
- Priority channel
- Dual VFO’s
- 12.5 & 25kHz steps
- Memory Scan
- Programme Scan
- Memory Skip
**ALD-24E**
£449 inc vat
This transceiver could transform your operating habits! It contains completely separate 2m and 70cms transceivers, permitting full duplex operation. To the un-initiated, this means you can transmit on 2m whilst receiving on 70cms, or vice versa. The built-in duplexer means a single antenna socket with a full 25 watts output on both bands. Measuring only 5.5”x2”x6.5” it is the ideal mobile rig. Its comprehensive memory and scanning facilities provide rapid access to both simplex and repeater channels on 2m & 70cms. Using the dual VFO’s you can instantly switch between 2m & 70cm and the single knob tuning provides simple and quick frequency selection. The large LCD readout incorporates an S-meter and is back lighted. If you are looking for a completely self contained 2m & 70cm station, then look no further. At this price it has to be a bargain. For further details of this amazing transceiver, send today for the full colour brochure.
---
**OUR FAMOUS FREQUENCY MANUALS!**
**UK LISTENERS CONFIDENTIAL FREQUENCY LIST 5th EDITION**
This publication has now sold well over 3500 copies since it was advertised only a few months ago. Now the recent updated version is selling even better. No self respecting listener would be without a copy. If you enjoy exploring the short wave bands then this publication will add to your enjoyment. It covers the hf spectrum from 2 to 30 mhz and gives details of transmissions outside the amateur bands. Specially designed for the UK and European listener it sets out in a very easy way a comprehensive list of hundreds of interesting transmissions that will keep you occupied for days on end! Only a fraction of the cost of other similar publications it contains details of Civil, Military, Embassy, Press and News agencies. Many listings have time schedules included together with comprehensive RTTY details. It tells you the frequencies used by civil and military aircraft whilst flying the Atlantic, when and where to pick up the press bulletins, long distance marine traffic etc and much more. Send today for your copy of this worthwhile publication.
**NEW 1988 EDITION £6.95 p&p 90p**
**4th EDITION VHF-UHF AIRBAND FREQUENCY LIST**
This frequency manual is without doubt the most comprehensive list of VHF/UHF aircraft listings available in the UK. Of vital importance to the airband enthusiast or indeed any keen VHF/UHF listener it sets out in a very easy to follow manner full details of a whole host of stations. Every known UK airfield frequencies, etc. Included are Civil, RAF, USAF, MOD, Naval fields on both VHF and UHF bands. There are also air to air frequencies, the Red Arrows frequency, and much more! Send today for your copy and find out just how much you have been missing!
£5.95 p&p 90p
**THE COMPLETE UHF-VHF FREQUENCY GUIDE 26-2000 mHz**
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£5.95 p&p 75p
**HF OCEANIC AIRBAND COMMUNICATIONS 1988 EDITION.**
Prepared in response to many requests for more information about the air traffic on the hf bands this little guide sets out to explain to the beginner how the hf band works in relation to air traffic. It contains full details of the world aircraft frequency bands in the range 2 to 23 mHz together with control frequencies and those commonly used by the various services. Included are many VOLMET frequencies, the Search and Rescue frequencies used by RAF helicopters and Nimrods, the HF RT network, London Company frequencies, European control centres etc. An ideal companion for the hf airband listener. Send today for your copy.
£3.50 p&p 70p
---
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|
4th Grade
Packet 3
May 4, 2020
That night, Pinocchio, instead of going to bed at ten o'clock, waited until midnight, and instead of making eight baskets, he made sixteen.
After that he went to bed and fell asleep. As he slept, he dreamed of his Fairy, beautiful, smiling, and happy, who kissed him and said to him, "Bravo, Pinocchio! In reward for your kind heart, I forgive you for all your old mischief. Boys who love and take good care of their parents when they are old and sick, deserve praise even though they may not be held up as models of obedience and good behavior. Keep on doing so well, and you will be happy."
At that very moment, Pinocchio awoke and opened wide his eyes.
What was his surprise and his joy when, on looking himself over, he saw that he was no longer a Marionette, but that he had become a real live boy! He looked all about him and instead of the usual walls of straw, he found himself in a beautifully furnished little room, the prettiest he had ever seen. In a twinkling, he jumped down from his bed to look on the chair standing near. There, he found a new suit, a new hat, and a pair of shoes.
As soon as he was dressed, he put his hands in his pockets and pulled out a little leather purse on which were written the following words:
The Fairy with Azure Hair returns fifty pennies to her dear Pinocchio with many thanks for his kind heart.
The Marionette opened the purse to find the money, and behold—there were fifty gold coins!
Pinocchio ran to the mirror. He hardly recognized himself. The bright face of a tall boy looked at him with wide-awake blue eyes, dark brown hair and happy, smiling lips.
Surrounded by so much splendor, the Marionette hardly knew what he was doing. He rubbed his eyes two or three times, wondering if he were still asleep or awake and decided he must be awake.
"And where is Father?" he cried suddenly. He ran into the next room, and there stood Geppetto, grown years younger overnight, spick and span in his new clothes and gay as a lark in the morning. He was once more Mastro Geppetto, the wood carver, hard at work on a lovely picture frame, decorating it with flowers and leaves, and heads of animals.
"Father, Father, what has happened? Tell me if you can," cried Pinocchio, as he ran and jumped on his Father’s neck.
"This sudden change in our house is all your doing, my dear Pinocchio," answered Geppetto.
"What have I to do with it?"
"Just this. When bad boys become good and kind, they have the power of making their homes gay and new with happiness."
"I wonder where the old Pinocchio of wood has hidden himself?"
"There he is," answered Geppetto. And he pointed to a large Marionette leaning against a chair, head turned to one side, arms hanging limp, and legs twisted under him.
After a long, long look, Pinocchio said to himself with great content:
"How ridiculous I was as a Marionette! And how happy I am, now that I have become a real boy!"
Excerpt from *The Adventures of Pinocchio* by C. Collodi, [Pseudonym of Carlo Lorenzini]. Translated from the Italian by Carol Della Chiesa.
Photograph of wooden doll of Pinocchio (Image: 331633091), copyright © Dado Photos/Shutterstock. Used by permission.
1. Which of the following quotations describes the setting of the story?
A “There, he found a new suit, a new hat, and a pair of shoes.” (paragraph 4)
B “In a twinkling, he jumped down from his bed to look on the chair standing near.” (paragraph 4)
C “The Marionette opened the purse to find the money, and behold—there were fifty gold coins!” (paragraph 7)
D “The bright face of a tall boy looked at him with wide-awake blue eyes, dark brown hair and happy, smiling lips.” (paragraph 8)
2. Which quotation from the story shows why Pinocchio was happy?
A “... Pinocchio, instead of going to bed at ten o’clock, waited until midnight. . . .” (paragraph 1)
B “... he saw that he was no longer a Marionette. . . .” (paragraph 4)
C “... he found a new suit, a new hat, and a pair of shoes.” (paragraph 4)
D “... he put his hands in his pockets and pulled out a little leather purse. . . .” (paragraph 5)
3. Read the sentence from paragraph 18.
"How ridiculous I was as a Marionette!"
Which of the following words means the same as ridiculous as it is used in the sentence?
A boring
B complete
C different
D silly
4. Which quotation from the story describes how Pinocchio’s behavior affected the household in the story?
A "Father, Father, what has happened? Tell me if you can. . . ." (paragraph 11)
B "This sudden change in our house is all your doing, my dear Pinocchio. . . ." (paragraph 12)
C "I wonder where the old Pinocchio of wood has hidden himself?" (paragraph 15)
D "And how happy I am, now that I have become a real boy!" (paragraph 18)
5. Which paragraph does the picture help the reader understand?
A paragraph 3
B paragraph 14
C paragraph 16
D paragraph 18
6. Choose three statements that should be included in a summary of the story.
A Pinocchio lived with his father.
B Pinocchio was a marionette.
C Pinocchio was changed to a boy.
D Pinocchio’s father was an old man.
E Pinocchio learned to make good choices.
F Pinocchio found gold coins in his purse.
G Pinocchio saw the wooden boy leaning against a chair.
7. Read the sentence from paragraph 4.
He looked all about him and instead of the usual walls of straw, he found himself in a beautifully furnished little room, the prettiest he had ever seen.
What does the word **furnished** mean as it is used in the sentence?
- A available
- B circled
- C cleaned
- D decorated
8. How would *The Adventures of Pinocchio* be different if it were written as a play?
- A It would have directions that tell the father what to do while Pinocchio is asleep.
- B It would have directions that tell what the Marionette does as he falls on the floor.
- C It would have directions that tell the Fairy what to say about Pinocchio as he is dreaming.
- D It would have directions that tell what Pinocchio does when he wakes and realizes he has changed.
9. Read the summary of *The Adventures of Pinocchio*.
Pinocchio is rewarded and forgiven for his past behavior because of his kind heart. He is given new clothes, a leather purse with money, and a real body to replace his wooden body.
Choose the detail that best completes the summary.
A) Pinocchio and his father decide to decorate a picture frame together.
B) Pinocchio and his father are able to enjoy a home filled with happiness.
C) Pinocchio and his father find the old Pinocchio leaning against a chair.
D) Pinocchio and his father realize how happy Pinocchio was as a wooden boy.
10. Read the sentence from paragraph 10.
He ran into the next room, and there stood Geppetto, grown years younger overnight, spick and span in his new clothes and gay as a lark in the morning.
Which word would best replace spick and span as it is used in the sentence?
A) alive
B) kind
C) neat
D) slim
11. What is a theme of the story?
A When people act with kindness, they are rewarded.
B In order to get what you want, all you have to do is ask.
C Dreams come true no matter what a person does.
D Things come easily to those who wait.
Directions: Write sentences with the 4th grade spelling words. Use correct capitalization, spelling, punctuation, and subject/verb agreement.
| against | agree | airport | alarm | alive |
|---------|-------|---------|-------|-------|
| all right | alley | alphabet | although | always |
| angriest | angry | animal | answer | asleep |
| attack | aunt | banana | battle | beautiful |
| beauty | become | beggar | believe | belong |
| between | blanket | blood | bottle | bought |
| bounce | breath | bridge | broke | broken |
| brought | bubble | building | built | busy |
| button | buying | calf | camera | cardboard |
| caring | carrying | catch | center | certain |
| chance | charge | cheer | chicken | chief |
| choice | choose | chore | chose | circle |
| cities | clothing | coast | coin | comb |
| common | copy | corner | cottage | cotton |
| couch | cough | couldn't | couple | cousin |
| cover | crayon | crime | crooked | crow |
| crowd | crumb | curl | dairy | damage |
| danger | dawn | deaf | dear | death |
| decide | degree | deliver | didn't | dirty |
| disappear | dislike | divide | double | downstairs |
| drain | drawer | earlier | earn | earth |
| easier | eighty | either | electric | engine |
| enough | evening | except | faint | false |
| famous | fear | feather | felt | fever |
| few | fifth | fifty | final | follow |
| forever | forgive | forty | fourth | fright |
| fruit | gain | garden | gasoline | gather |
| gentle | giant | glance | gold | grandfather |
| grandmother | groceries | grown | guard | handsome |
| happiest | he'll | he's | health | heard |
| hiking | holiday | honey | honor | hospital |
| hour | however | howl | hundred | hungry |
|------------|---------|----------|---------|---------|
| hurry | husband | important| interest| invite |
| jacket | jaw | judge | juice | kindness|
| kitchen | kneel | knight | libraries| library |
| listen | lonely | loyal | machine | mailbox |
| meant | medal | middle | mirror | mistake |
| moment | monkey | movement | neighbor| neither|
| nickel | ninety | ninth | no one | nobody |
| o'clock | obeyed | odd | office | often |
| paper | parent | paste | path | peaceful|
| pencil | perfect | picture | planet | playground|
| pleasing | police | powerful | proper | public |
| question | quiet | quilt | quit | quite |
| railroad | reach | ready | reason | remember|
| return | ridge | roast | roof | rough |
| round | ruler | safe | sauce | scrap |
| search | season | self | seventh | seventy |
| sharp | she'll | she's | shout | sidewalk|
| sigh | sign | simple | since | sink |
| sixth | sixty | sleeve | smooth | sneeze |
| soften | spare | special | squirrel| steal |
| steel | strange | studied | studying| style |
| suppose | tennis | thirty | thumb | tool |
| towel | tube | tuna | twenty | twice |
| uncle | understand | useful | useless | village |
| visit | wait | weather | weight | whenever|
| whether | wife | wonder | wood | world |
| worried | wrist | worse | wouldn't| written |
| yourself | zebra | zero | zipper | zoo |
1. Margo's school has 18 classrooms. Each classroom has 24 desks.
How many desks are there in all?
A. 42
B. 108
C. 432
D. 648
2. Baily made 100 cookies for a bake sale. She has 8 plates and will place an equal number of whole cookies on each plate.
How many whole cookies will be left over?
_________ whole cookies
3. What number in standard form is equal to \((4 \times 1000) + (8 \times 100) + (9 \times 1)\)?
A. 489
B. 4089
C. 4809
D. 4890
4. Ella scored 256 reading points in September and 378 points in October. Her goal is to score 1,000 points by the end of December.
How many more points must Ella score to reach her goal?
A. 744 points
B. 634 points
C. 622 points
D. 366 points
5. Which expression is equivalent to 3,856?
A. \(38,000 + 50 + 6\)
B. \(3,000 + 800 + 5 + 6\)
C. \(3 \times 1,000 + 8 \times 10 + 5 \times 1\)
D. \(3 \times 1,000 + 8 \times 100 + 5 \times 10 + 6 \times 1\)
6. In her vegetable garden, Virginia planted 8 rows of green beans, with 42 plants in each row. She also planted 12 rows of sweet corn, with 33 plants in each row.
How many more sweet corn plants than green bean plants are there in Virginia's garden?
_________ more sweet corn plants
7. Every month, Shannon puts the same amount of her allowance money in the bank. During the past seven months, she has put a total of $91 in the bank.
How much money has Shannon been putting in the bank each month?
A. $12
B. $13
C. $14
D. $15
8. Mason runs 10 laps around the ball field. This is 2 times the number of laps his friend Isabella runs.
How many laps does Isabella run?
_________ laps
9. Mia sells 60 candy bars for a fundraiser at school. This is 5 times as many candy bars as her friend Charlotte sells.
Which equation can be used to find out how many candy bars (x) Charlotte sells?
A. \(5 \times 60 = x\)
B. \(5 = x \div 60\)
C. \(5 \times x = 60\)
D. \(x = 5 \div 60\)
10. Choose the scenario best represented by using \(= 8 \times 4\) or \(= 4 \times 8\).
A. Cherie picked 8 pints of blueberries on Monday and 4 pints of blueberries on Tuesday. How many pints of blueberries did she pick altogether?
B. Antoine earns $8.00 an hour. If he works for 4 hours, how much will he earn altogether?
C. Raquel wrote an 8-paragraph report for school. Pierre wrote a report that was 4 paragraphs more than Raquel's. How many paragraphs was Pierre's report?
D. Francois read 8 books last month. Celine read 4 books. How many more books did Francois read than Celine?
11. Which statement represents "96 is 6 times as many as 16"?
A. \(96 = 16 \div 6\)
B. \(96 - 6 = 16\)
C. \(96 \times 6 = 16\)
D. \(96 = 6 \times 16\)
12. Select a number from each dropdown menu to answer the questions below.
Look at the number 5,837.
Part A
In which of the following numbers does the 8 represent ten times the 8 in 5,837?
Choose...
Part B
In which of the following numbers does the 3 represent 10 times the 3 in 5,837?
Choose...
13. Which two numbers below have a 6 that is 10 times larger than the 6 in 49,568?
- 16,956
- 28,006
- 35,692
- 36,910
- 45,689
- 61,380
14. The city council budgets $2,895 per year to take care of each playground in the city. If there are four city playgrounds, what is the total amount budgeted per year for all of the playgrounds?
A. $723
B. $2,899
C. $8,685
D. $11,580
15. Jeremy is rounding the number 6,795.
6,795 rounded to the nearest hundred is Choose...
6,795 rounded to the nearest ten is Choose...
16. The 4th graders at Hill Top Elementary School were having a canned food drive for their local food bank. Randal's class collected 1,704 cans of food. Tim's class collected 1,493 cans of food.
How many more cans of food did Randal's class collect than Tim's class?
A. 101 cans
B. 111 cans
C. 201 cans
D. 211 cans
17. There are 1,243 students in attendance at Maplewood Elementary on Thursday. There are 379 students in fourth grade. All fourth grade students go on a field trip on Thursday afternoon.
How many students are left at Maplewood Elementary on Thursday afternoon?
18. James correctly rounded 5,962 to the nearest thousand. What was his answer?
A. 5,000
B. 5,900
C. 5,960
D. 6,000
19. James drove his bike 16 miles. This is 4 times as many miles as Ben drove.
How many miles did Ben drive his bike?
__________ miles
20. Which two statements represent the equation?
\[35 = 7 \times 5\]
- 5 is 42 times as many as 7
- 7 times as many as 5 is 35
- 7 times as many as 35 is 5
- 35 is 5 times as many as 7
- 35 times as many as 7 is 5
21. Divide.
\[2,642 \div 8 = \text{_________ Remainder: __________}\]
1. Which of these lists four factors of 12?
A. 2, 3, 4, 6
B. 4, 5, 7, 8
C. 4, 6, 9, 12
D. 24, 36, 48, 60
2. This picture shows that 2 and 5 are factors of 10.
Which picture shows factors of 42?
A.
B.
C.
D.
3. James writes a number pattern following the rule "add 3 and multiply by 2."
If the first number in James' number pattern is 1, what is the 4th number in his pattern?
A. 8
B. 22
C. 50
D. 106
4. Callie created a number pattern starting at the number 34. She used the rule "subtract 3." Callie's first four numbers are written below.
\[ 34, 31, 28, 25, \_, \_, \_, \_ \]
Which statement is true about the following numbers in Callie's pattern?
A. The 5th number in this pattern will be an odd number.
B. The 6th number in this pattern will be an even number.
C. The 7th number in this pattern will be an odd number.
D. The 8th number in this pattern will be an odd number.
5. Which rule BEST describes the relationship between \( X \) and \( Y \) in the table below?
| \( X \) | \( Y \) |
|--------|--------|
| 33 | 11 |
| 18 | 6 |
| 3 | 1 |
| 30 | 10 |
A. divide \( X \) by 3
B. subtract 12 from \( X \)
C. multiply \( X \) by 3
D. add 22 to \( X \)
6. Which three sets of numbers are factor pairs for the number 36?
- 2 and 34
- 3 and 12
- 4 and 9
- 5 and 15
- 6 and 6
- 8 and 7
7. Which number is an even number that is a multiple of 3 and less than 20?
A. 24
B. 18
C. 15
D. 9
8. Ryan created a number pattern that starts with the number 3 and follows the rule "multiply by 2 then add 4."
The first five numbers in Ryan's pattern are 3, 10, 24, 52, 108.
Which of the following statements will be true for the next five numbers in Ryan's pattern? (Choose A or B)
A. All of the numbers will be prime.
B. All the numbers will continue to increase.
9. Students in a sewing class want to make a rectangular quilt using square pieces of cloth. If they use 24 pieces of cloth, they can sew the four designs shown below.
\[3 \times 8 = 24\]
\[4 \times 6 = 24\]
\[2 \times 12 = 24\]
\[1 \times 24 = 24\]
Which number of cloth pieces will give the students only one rectangular design for the quilt?
A. 39
B. 42
C. 45
D. 47
10. Mr. Lopez wrote these numbers on the board.
\[14, 18, 22, 26\]
Which tells why this pattern follows the rule of +4?
A. The first number contains a four.
B. All the numbers are multiples of four.
C. Each number is four more than the number before.
D. Each number is four times more than the number before.
11. Which set of expressions shows the factors of a prime number?
A.
\[
\begin{align*}
1 & \times 11 \\
1 & \times 16 \\
2 & \times 8 \\
4 & \times 4
\end{align*}
\]
B.
\[
\begin{align*}
1 & \times 20 \\
2 & \times 10 \\
4 & \times 5
\end{align*}
\]
C.
\[
\begin{align*}
1 & \times 24 \\
2 & \times 12 \\
3 & \times 8 \\
4 & \times 6
\end{align*}
\]
12. Twelve squares can be arranged into three different rectangles, as shown below.
\[ 6 \times 2 = 12 \quad 3 \times 4 = 12 \quad 12 \times 1 = 12 \]
Which number of squares can be arranged into only one kind of rectangle?
A. 9
B. 10
C. 13
D. 15
13. Each number below is a factor of Miguel’s number.
\[ 2 \quad 3 \quad 6 \quad 9 \]
Which number could be Miguel’s number?
A. 36
B. 27
C. 24
D. 12
14. Ezra wants to count the number of rocks in his collection. He has seven rocks in each row. Which numbers will he say as he counts by seven?
A. 7, 13, 20
B. 12, 18, 24
C. 27, 36, 45
D. 21, 28, 35
1. Which three of the following figures have both of these characteristics?
- Two or more sets of parallel lines
- Two or more right angles
2. Which two choices show a drawing of a letter that has more than one line of symmetry?
3. Mark each figure as a line, a line segment, or a ray.
| | ← | → | ↑ | ↘ |
|-------|----|----|----|----|
| Ray | | | | |
| Line Segment | | | | |
| Line | | | | |
4. Which letter has more than one line of symmetry?
A. C
B. F
C. L
D. O
5. Which two of the following figures show a line of symmetry?
6. Select the two figures below that have only one line of symmetry?
- [ ]
- [ ]
- [ ]
- [ ]
- [ ]
7. Find the lines of symmetry of the letters in the first column of the chart below. Mark each letter according to the lines of symmetry it has.
| | One line of Symmetry | More than one line of symmetry | No lines of symmetry |
|---|----------------------|--------------------------------|----------------------|
| H | | | |
| C | | | |
| R | | | |
| Y | | | |
| O | | | |
8. Select an answer from each dropdown menu to make the following sentence true.
In the trapezoid WXYZ shown above, side WZ is parallel to [Choose...].
9. Look at the figure below.
Which is a true characteristic of this figure?
A. The figure has 3 obtuse angles.
B. The figure has exactly 2 acute angles.
C. The figure contains 2 sets of parallel line segments.
D. The figure has a pair of perpendicular line segments.
10. Which figure appears to have two pairs of parallel sides?
A.
B.
C.
D.
11. Which set of lines are perpendicular?
A.
B.
C.
D.
12. Select the correct definition for each angle.
| | Acute angle | Obtuse angle | Right angle |
|----------------|-------------|--------------|------------|
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
13. Classify each of the angles labeled in the figure above as acute, obtuse, or right angles.
Click on the letter of the angle on the right and drag it to the correct label.
- Angle A
- Angle B
- Angle C
- Angle D
Acute
Obtuse
Right
14. Drag each shape on the left to a characteristic of that shape on the right.
- Has one set of parallel lines
- Has one $90^\circ$ angle
- Has three sets of parallel lines
1) Complete the table by converting cups, pints, quarts & gallons.
HINT) 2 cups = 1 pint (pt) 2 pints = 1 quart (qt) 4 quarts = 1 gallon (gal)
| | 1/8 gal | 1/4 gal | 1/2 gal | | |
|-------|---------|---------|---------|--------|--------|
| | | | 2 quarts| | |
| 1 pint| | | | 8 pints| |
| | 4 cups | | | 16 cups| 32 cups|
2) Convert the following liquid measurements.
1) 30 pints = [ ] cup(s)
2) 17 pints = [ ] cup(s)
3) 3 gal = [ ] quart(s)
4) 16 quarts = [ ] pint(s)
5) 26 pints = [ ] quart(s)
6) 21 quarts = [ ] cup(s)
7) 102 cups = [ ] pint(s)
8) 32 quarts = [ ] gal.
9) 56 pint = [ ] gal
10) 68 cups = [ ] quart(s)
11) 72 quarts = [ ] gal
12) 3 gal = [ ] cup(s)
13) 32 pint = [ ] gal
14) 6 quart = [ ] cup(s)
15) 12 quart = [ ] gal
16) 26 pint = [ ] gal
17) 24 cups = [ ] gal
18) 20 pint = [ ] gal
Metric Units of Length
100 centimeters or 100 cm. = 1 meter or 1 m. 1,000 m. = 1 kilometer or 1 km.
Find the measurement of each item to the nearest meter to finish the sentence.
1. I am about ___________ m. tall.
2. The door in my house is about ___________ m. tall.
3. The living room wall is about ___________ m. wide.
Find the equivalent measurement.
4. 100 cm. = ______ m.
5. 1,000 m. = ______ km.
6. 500 cm. = ______ m.
7. 7,000 m. = ______ km.
8. 1,000 cm. = ______ m.
9. 10,000 m. = ______ km.
10. 100,000 m. = ______ km.
11. 20 km. = ______ m.
12. 40 km. = ______ m.
13. 65 km. = ______ m.
Find the equivalent metric and U.S. Customary units of length for each of the following.
14. 4 in. = about ______ cm.
15. 8 cm. = about ______ in.
16. 6 in. = about ______ cm.
17. 23 cm. = about ______ in.
18. 1 ft. = about ______ cm.
19. 28 cm. = about ______ in.
20. 1 yd. = about ______ cm. or close to ______ m.
1. There are 100 crayons in each large box, 10 in each small box, and a few single crayons. How many crayons are shown in all?
A. 54
B. 234
C. 324
D. 900
2. Which number is the greatest?
A. 9,734
B. 9,743
C. 9,347
D. 9,473
3. What is 145.7 written in word form?
A. One hundred forty-five and seven tenths
B. One hundred forty-five and seventy tenths
C. One hundred forty-five and seven hundredths
D. One hundred forty-five and seventy thousandths
4. The following number is in expanded form.
\[ 5,000,000 + 90,000 + 600 \]
What is the number in standard form?
A. 5,980,000
B. 5,090,600
C. 5,980,600
D. 5,900,600
5. What number is 400 + 40 + 9 in standard form?
A. 449
B. 4,049
C. 40,049
D. 400,049
6. What is the word name for 9,303?
A. nine thousand, thirty-three
B. nine thousand, three hundred thirty
C. nine thousand, three hundred three
D. nine thousand, three hundred thirty-three
7. Frankie’s Burger Hut served 3,347 burgers on Wednesday and 3,098 burgers on Thursday.
Write <, >, or = to complete the expression below.
\[ 3,347 \_\_ 3,098 \]
8. Zachary wrote the number 8,408,380 in words as shown below.
Eight million, four hundred sixty thousand, three hundred eighty
Which of the following explains Zachary’s mistake?
A. The number has seven digits.
B. He forgot the zeroes in the number.
C. The ones and tens places have been switched.
D. He switched the thousands and ten thousands places.
9. The number of people who attended a concert is shown below.
\[ 100,000 + 5,000 + 500 + 20 + 5 \]
Which shows this number written in standard form?
A. 155,205
B. 152,055
10. Myra bowled four games. Her bowling scores for the four games were 112, 108, 116, and 121.
A. 108 > 116
B. 112 = 121
C. 116 > 112
D. 121 < 108
11. There are one hundred thirty-four thousand, six hundred eighteen pet owners in one city. Which shows the number of pet owners written in standard form?
A. 130,618
B. 134,618
C. 134,680
D. 143,681
12. The height of Mount Everest is close to 29,028 feet. Which shows 29,028 written in words? Mark your answer.
A. Twenty-nine thousand, two hundred eight
B. Twenty-nine hundred twenty eight
C. Twenty-nine thousand, twenty eight
D. Twenty-nine thousand, eighty two
13. Which of the following is the same as 20 tens?
A. 2 ones
B. 2 tens
C. 20 ones
D. 2 hundreds
14. Barry wrote three numbers using the numerals on the cards shown. He used each numeral only once in each of the three numbers.
Which shows the three largest numbers he could make? Mark your answer.
A. 9,532
9,523
9,325
B. 2,559
2,595
2,593
C. 9,532
9,523
9,352
D. 3,562
5,253
3,528
15. The prices of several houses being sold in Marc's neighborhood are listed below.
$67,900 $78,612 $65,120 $73,908
Which list shows the house prices in order from least to greatest?
A. $67,900 $65,120 $73,908 $78,612
B. $78,612 $73,908 $67,900 $65,120
C. $65,120 $67,900 $73,908 $78,612
D. $65,120 $73,908 $74,612 $67,900
16. The Eiffel Tower has 1665 steps. How is 1665 written in words?
A. One thousand, six hundred sixty-five
B. One thousand, six hundred fifty-six
C. Five thousand, six hundred sixty-one
D. Ten thousand, six hundred sixty-five
17. Mammoth Cave National Park had 2,071,844 visitors in one year. Which of the following shows this number written in expanded form?
A. \(200,000 + 70,000 + 1,000 + 800 + 40 + 4\)
B. \(2,000,000 + 70,000 + 1,000 + 800 + 40 + 4\)
C. \(20,000,000 + 70,000 + 1,000 + 800 + 40 + 4\)
D. \(2,000,000,000 + 7,000,000 + 10,000 + 6,000 + 40 + 4\)
18. The population of a town is 40,235. Which shows 40,235 written in words? Mark your answer.
A. Four thousand, two hundred thirty-five
B. Forty thousand, two hundred thirty-five
C. Forty thousand, three hundred twenty-five
D. Fifty-three thousand, two hundred four
19. The number of books in Jane's collection is greater than 880 and less than 1,000. Which of the following could be the number of books in Jane's collection?
A. 819
B. 880
C. 935
D. 1,012
20. Tammy is using the calculator pictured.
Which digit is in the ten thousands place in the number 204,621?
A. 6
B. 4
C. 1
D. 0
21. The distance between London and New York City is about 3,741 miles. What is 3,741 written in expanded form?
A. \(30,000 + 700 + 40 + 10\)
B. \(3,000 + 700 + 40 + 1\)
C. \(3,000 + 700 + 41\)
D. \(300 + 700 + 40 + 10\)
22. A company earned $20,540,005 in one year. Which shows 20,540,005 written in expanded form?
A. \(20,000,000 + 50,000 + 4,000 + 50\)
B. \(20,000,000 + 5,000 + 4,000 + 5\)
C. \(20,000,000 + 500,000 + 40,000 + 5\)
D. \(20,000,000 + 500,000 + 40,000 + 500\)
23. The area of Lake Ontario is 7340 square miles. Which shows this number written in expanded form?
A. \(7,000 + 300 + 40\)
B. \(7,000 + 300 + 4\)
C. \(7,000 + 30 + 4\)
D. \(7,000 + 340\)
24. The Earth takes 365.26 days to make one trip around the Sun. Which shows the number 365.26 written in words?
A. Three hundred sixty-five and twenty-six hundredths
B. Three hundred sixty-five and twenty-six thousandths
C. Three thousand, sixty-five and twenty-six hundredths
D. Thirty-six thousand, five hundred twenty-six
25. The total number of guests at a hotel during one year was 406,970. How is this number written in word form?
A. Nine hundred seventy thousand, four hundred six
B. Four hundred sixty thousand, nine hundred seven
C. Four hundred six thousand, nine hundred seventy
D. Four hundred six thousand, nine hundred seventeen
26. Click on all the numbers you want to select.
The weights of several boxcars of a train are listed below. Which weights have a digit in the thousands place that has a value ten times the value of the digit in the hundreds place?
A. 5
B. 6
C. 7
D. 8
27. Ramone bought a mountain bike for $186.75. Which digit is in the tenths place in the number 186.75?
A. 5
B. 6
C. 7
D. 8
28. A student wrote a number on the board. The student used the digit 4 two times in the problem. One of the digits of 4 is placed so that it represents ten times the other digit of 4. Which could be the student's number?
A. 41,453
B. 43,541
C. 44,135
D. 45,134
29. Chris and Erin are collecting bottle caps. So far, Chris has collected 3,498 bottle caps, and Erin has collected 3,802.
Which statement is true?
A. 3,498 > 3,802
B. 3,802 = 3,498
C. 3,498 < 3,802
D. 3,802 < 3,498
30. The average distance from the Earth to the moon is about 385,000 kilometers. What is the place value of the 5 in the number 385,000?
A. Tens
B. Hundreds
C. Thousands
D. Ten thousands
31. The table below shows the numbers of different flavors of drinks sold by a grocery store in one day.
| Flavors | Number |
|-------------|--------|
| Orange | |
| Lemon | |
| Strawberry | |
| Grape | |
Which list shows the number of drinks sold in order from least to greatest?
A. 201, 85, 98, 189
B. 98, 85, 189, 201
C. 201, 189, 98, 85
D. 85, 98, 189, 201
32. The number of pencils bought from a pencil machine in each of 4 months is shown in the table.
| Month | Number of Pencils |
|---------|-------------------|
| January | 988 |
| February| 1,056 |
| March | 1,354 |
| April | 1,167 |
Which shows the months in order from the least number of pencils bought to the greatest number of pencils bought? Mark your answer.
A. March, February, April, January
B. January, February, March, April
C. January, February, April, March
D. March, April, February, January
33. Jerry used base-ten blocks to represent numbers. The values for each block are listed below.
\[
\begin{array}{cccc}
1000 & 100 & 10 & 1 \\
\end{array}
\]
Which shows 2018 written using base-ten blocks?
A. \[ \begin{array}{c} \text{1000} \\ \text{100} \\ \text{10} \\ \text{1} \end{array} \]
B. \[ \begin{array}{c} \text{1000} \\ \text{100} \\ \text{10} \\ \text{1} \end{array} \]
C. \[ \begin{array}{c} \text{1000} \\ \text{100} \\ \text{10} \\ \text{1} \end{array} \]
D. \[ \begin{array}{c} \text{1000} \\ \text{100} \\ \text{10} \\ \text{1} \end{array} \]
34. The 3 in 139 is how many times bigger than the 3 in 53?
A. 3 times
B. 10 times
C. 30 times
D. 100 times
35. In which number is the digit in the tens place the greatest?
A. 436
B. 317
C. 273
D. 159
36. What number is in the thousands place in 573,485?
A. 3
B. 4
C. 5
D. 7
37. Which number has a 4 in the tens place?
A. 3854
B. 4385
C. 5843
D. 8455
38. What is the place value of the 5 in the number 3948,25?
A. Tens
B. Tenths
C. Hundreds
D. Hundredths
39. There are 1054 houses in Macy's town. What is the value of the digit 4 in the number 1054?
A. 4
B. 40
C. 400
D. 4000
40. One postal code for Round Rock, Texas, is 78664. Which number in 78664 is in the thousands place? Mark your answer.
A. 8
B. 7
C. 6
D. 4
41. Bernice made the following model to represent a number.
What number does Bernice's model represent?
A. 1235
B. 1325
C. 3125
D. 5231
42. A bookstore sold 123,680 books last year. What digit is in the ten thousands place in 123,680?
A. 1
B. 2
C. 3
D. 8
43. The total number of hotdogs sold during a baseball tournament was 120,983. What digit is in the hundred thousands place in 120,983?
A. 1
B. 2
C. 3
D. 6
44. A company sold 4569 video games in one day. Which digit is in the hundreds place in the number 4569?
A. 9
B. 6
C. 5
D. 4
45. In the year 2000, the population of the city of Richmond was 986,512. What digit is in the thousands place in 986,512?
A. 5
B. 6
C. 8
D. 9
46. The workers on a farm gathered 6528 eggs in one day. Which digit is in the tens place in the number 6528?
A. 2
B. 5
C. 6
D. 8
47. Julia has 473 stickers in her sticker book. How many tens of stickers does Julia have?
A. 7
B. 40
C. 47
D. 70
48. In which of the following numbers does the digit 3 have a value of 300?
A. 3601
B. 6382
C. 7253
D. 9835
49. There are 8992 history books in a library. What is the place value of the digit 8 in the number 8992?
A. Thousands
B. Hundreds
C. Eights
D. Ones
50. The value of the 6 in the number 4,631 is how many times larger than the value of the 6 in the number 4637?
A. 2 times
B. 6 times
C. 10 times
D. 100 times
51. Which statement is true about the digit 8 in the whole numbers 1,825 and 8,367?
A. The 8 in 8,367 represents 1 times the 8 in 1,825.
B. The 8 in 8,367 represents 10 times the 8 in 1,825.
C. The 8 in 8,367 represents 100 times the 8 in 1,825.
D. The 8 in 8,367 represents 1000 times the 8 in 1,825.
52. The table shows the number of books a school library has for different subjects.
| Subject | Biology | English | Geography | Math |
|---------|---------|---------|-----------|------|
| Number of Books | 1,982 | 2,076 | 2,027 | 2,074 |
Which list shows the subjects in order from the greatest number of books in the library to the least number of books? Mark your answer.
A. English, Geography, Math, Biology
B. Math, English, Biology, Geography
C. English, Math, Biology, Geography
D. Geography, Biology, Math, English
1. Select the two shapes below which have $\frac{1}{3}$ shaded.
2. Ben ate $\frac{4}{6}$ of his pizza. Which fraction is greater than $\frac{4}{6}$?
A. $\frac{1}{6}$
B. $\frac{2}{6}$
C. $\frac{3}{6}$
D. $\frac{5}{6}$
3. Keyanna shaded the following model to represent $\frac{2}{6}$.
4. Which number line shows Point X correctly plotted at $\frac{1}{6}$?
A.
B.
C.
D.
5. Melinda placed some pictures on the number line shown. Which picture is placed at $\frac{1}{4}$?
A.
B.
C.
D.
6. Which two fractions below would be located at the same point on this number line?
7. Bryan weighed apples on a scale. Point W on the number line shows the mass in kilograms of the apples.
Which fraction of a kilogram is closest to point W? Mark your answer.
A. $\frac{1}{4}$
B. $\frac{1}{3}$
C. $\frac{1}{2}$
D. $\frac{2}{3}$
8. This model is shaded to show 1 whole.
The picture below models a number sentence with fractions.
$\frac{6}{8} + \frac{5}{8} = ?$
Which shows the sum of the fractions modeled in the picture?
A. $\frac{6}{8}$
B. $\frac{5}{8}$
C. $\frac{3}{8}$
D. $\frac{2}{8}$
9. $\frac{1}{16}$ of Wanda's shoes are too small.
Which fraction is equal to the amount of Wanda's shoes that are too small?
A. $\frac{1}{3}$
B. $\frac{2}{13}$
C. $\frac{2}{13}$
D. $\frac{3}{14}$
10. Rose drank $\frac{4}{8}$ of her water. Eli drank the same amount of water as Rose.
Which fraction shows how much Eli drank?
A. $\frac{1}{4}$ of his water
B. $\frac{1}{2}$ of his water
C. $\frac{3}{4}$ of his water
D. $\frac{4}{4}$ of his water
11. Which two fractions are equivalent? Check the 2 boxes that are equivalent.
12. Which point on the number line is located at $\frac{1}{2}$?
A. J
B. K
C. L
D. M
13. Molly plotted the fraction $\frac{6}{10}$ on a number line. Which of the following shows $\frac{6}{10}$ correctly plotted on a number line?
A.
B.
C.
D.
14. Point K on the number line below shows the number of yards of fabric Leonard used to make some curtains.
Which number best names point $K$?
A. $17\frac{1}{3}$
B. $16\frac{1}{2}$
C. $16\frac{2}{5}$
D. $16\frac{1}{3}$
15. Which fraction names the location of the point on the number line below?
$\frac{1}{2}$
A. $\frac{1}{1}$
B. $\frac{1}{2}$
C. $\frac{1}{3}$
D. $\frac{1}{4}$
16. Use these fraction bars to answer this question.
Which number sentence is true?
A. $\frac{1}{4} < \frac{1}{7}$
B. $\frac{1}{5} > \frac{1}{4}$
C. $\frac{1}{6} > \frac{1}{5}$
D. $\frac{1}{7} < \frac{1}{6}$
17. In which figure is less than $\frac{1}{2}$ shaded?
A.
B.
C.
D.
18. Which fraction is equal to $\frac{1}{3}$?
A. $\frac{1}{6}$
B. $\frac{2}{6}$
C. $\frac{4}{8}$
D. $\frac{6}{10}$
19. Drag the points labeled on the number line above and listed below on the left to the fraction each point represents.
- A
- B
- C
$\frac{1}{2}$, $\frac{1}{6}$, $\frac{4}{5}$, $\frac{7}{8}$
20. Seth is making a cake for lunch. The amounts of flour, water, sugar, and chocolate chips he needs for the cake are shown below.
| Ingredient | Amount Needed (in cups) |
|----------------|-------------------------|
| Flour | $\frac{1}{3}$ |
| Water | $\frac{1}{2}$ |
| Sugar | $\frac{1}{4}$ |
| Chocolate chips| $\frac{1}{8}$ |
Which number line shows how much water Seth needs, in cups?
A.
B.
C.
D.
21. These two rectangles are divided into equally-sized squares. Each is shaded to model a fraction.
What is the sum of the fractions shown by the models?
A. $\frac{1}{8}$
B. $\frac{5}{16}$
C. $\frac{11}{16}$
D. $\frac{5}{8}$
22. Which number line shows $\frac{1}{3}$ located at the correct interval?
A. 
B. 
C. 
D. 
23. Point Q is marked on the number line below.
Which of the following fractions is located at Point Q?
A. $\frac{1}{2}$
B. $\frac{2}{5}$
C. $\frac{3}{5}$
D. $\frac{4}{5}$
24. Jalen painted half of the hexagonal patio as shown in the figure.
Wanda painted half of the unshaded part.
What fraction of the patio did Wanda paint?
A. $\frac{1}{6}$
B. $\frac{1}{3}$
C. $\frac{1}{2}$
D. $\frac{2}{3}$
25. Nicholas bought a cake and cut it into 6 equal slices. Nicholas ate 1 slice of the cake. What fraction of the cake did Nicholas eat?
A. $\frac{1}{6}$
B. $\frac{5}{6}$
C. $\frac{6}{1}$
D. $\frac{6}{5}$
Reading TEST SMASH!
4th Grade
SYSTEMATIC DAILY
Reading Test Prep
to Build Confidence and Stamina
Teaching in the Fast Lane
©TeachingInTheFastLaneLLC
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©TeachingInTheFastLaneLLC
| Section | Page |
|-------------------------------|------|
| To the Teacher | 4 |
| Standards by Genre | 7 |
| I Can Statements | 8 |
| Test Smash Passages and Questions | 17 |
| Recording Sheets | 38 |
| Answer Keys | 49 |
| Data Sheet | 60 |
TO THE TEACHER
Thank you for purchasing this resource. It was created with fourth grade classes in mind. I needed a way to prep my students for the Texas STAAR test with just a few weeks remaining.
This high impact resource covers each of the readiness standards for fourth grade reading in the state of Texas along with important and widely tested supporting standards. The standards covered in this resource also overlap nicely with standards from Common Core. The standards covered can be found on pages 7-9.
This resource is set up by genre. Each day a passage from a selected genre is displayed along with questions that go along with the passage.
HOW TO USE THIS RESOURCE
This resource can be used in a variety of ways to help students build their confidence and practice important skills ahead of a reading standardized test.
There are two main formats in which you can present this resource to students:
Option 1: Project the passage and questions. Students can answer the questions in their notebooks or on the recording sheet.
Option 2: Copy a page for each student so that they are able to mark up the passage in order to answer the questions.
In addition to how you present this resource to your students there are also several ways in which you can use it within your ELA block.
As a Warm-Up
This resource is the perfect way to start your ELA block. Upon entering your classroom students can immediately get to work on reading the passage and answering the questions either independently, in partners, or as a team. After giving enough time to complete, read through the passage and answer the questions together modeling the annotation and test taking strategies you would like your students to use.
As a Cooperative Learning Activity
These passages and questions are perfect for completing through cooperative learning strategies such as Sage & Scribe or Find Someone Who. After students have completed their questions, read through the passage and answer the questions together modeling the annotation and test taking strategies your would like your students to use.
- Sage & Scribe
- Students are partnered and read the passage together alternating paragraphs or verses. Partner A (the scribe) is seated with a writing utensil and partner B (the sage) stands behind them. Partner B reads the question and tells the scribe what to write explaining their thinking and backing it with text evidence. Partner A writes, coaches their partner, and praises them. After each question partners trade positions and roles.
- Find Someone Who
- Each student has a copy of the passage and questions. Independently students read the passage. When everyone has read the passage students stand up, put their hands in the air, and pair up with a partner. They greet their partner, trade recording sheets, and choose a question to answer then trade papers again. After thanking their partners students repeat the process with a new partner until all their questions are answered. I challenge my students to work with as many partners as possible and answer as many different questions as possible.
HOW TO USE THIS RESOURCE
As a Home-School Connection
Are parents asking you what you are doing to prepare their students for the test or what they can do to help their students. Use these passages and questions to occasionally send home so that students can read and complete the passages with their families. After giving to students to complete at home take some time in class to read through the passage and answer the questions together modeling the annotation and test taking strategies you would like your students to use.
Small Group Re-teaching
These passages and questions are perfect for completing in a small group setting with you guiding your students through the process of annotating data, reading the questions, and finding text evidence to support their responses.
Whole Group Lesson
Prior to the big test students need to become familiar with testing passages as a genre and completing these passages and questions is a great way to get them used to thinking critically. Use this resource as a way to model how students can successfully annotate the passage and answer the questions based on text evidence. I would recommend using this strategy for the first day or two of practice to get students used to the process.
TRACKING THE DATA
On page 30 I have included a checklist of standards for each student to check off or color in the standards they answered correctly each day. The standards that are not covered each day are greyed out.
USING THE DATA
I have found that having students track their own data is not only helpful, but empowering. By having the responsibility of holding their own data students are able to take ownership of their learning, set goals for growth, and celebrate their successes. This keeps student engagement high throughout the process of prepping for the test. This data can also be used to build your small groups for re-teaching by standard.
## Standards by Genre
| All Genres | TEKS | Common Core |
|-------------------------------------------------|--------|----------------------|
| Context Clues | 4.3B | RF.4.4, RI.4.4 |
| Making Connections | 4.6E & 4.7A | RL.4.7 |
| Inferences | 4.6F | RL.4.1, RI.4.1 |
| Details and Key Ideas | 4.6G | RI.4.2 |
| Retell, Paraphrase, or Summarize | 4.7D | RL.4.3, RI.4.3 |
### Fiction
| Fiction | TEKS | Common Core |
|-------------------------------------------------|--------|----------------------|
| Plot Elements | 4.8C | |
| Characters | 4.8B | RL.4.3 |
| Point of View | 4.10E | RL4.6 |
### Informational
| Informational | TEKS | Common Core |
|-------------------------------------------------|--------|----------------------|
| Structures of Text | 4.9D(ii)| RI.4.7 |
| Organizational Patterns of Text | 4.9D(iii) | RI.4.5 |
| Imagery & Figurative Language | 4.10D | |
### Poetry
| Poetry | TEKS | Common Core |
|-------------------------------------------------|--------|----------------------|
| Figurative Language | 4.9B | |
| Sound Devices | 4.10D | |
| Structure of Poetry | 4.10B | RL.4.5 |
I Can Statements
I can statements are a great way for students to take ownership of their learning.
Ideas for using I Can Statements:
• Create a display within your classroom using the statements as posters to remind students of what they can do.
• Create mini-posters for student notebooks by copying multiple I Can Statement posters onto a page.
• Use I Can Statements in your small group area to help prompt students as to how to answer a question.
• Use I Can Statements to sort questions from a released test by standard.
• To complete a sort print and cut apart the questions from a released test. Have students use the I Can Statements to determine which standard the question is asking about. Encourage students to share why they chose a particular statement for each question. This helps students to become more familiar with the format of a standardized test.
• Use the final I Can Statement, “I can SMASH the test,” to write a note to each student on test day to encourage them.
I can use context within and beyond a sentence to determine the meaning of a word.
I can make connections to personal experiences and other texts and describe them.
I can retell, paraphrase, or summarize text I read.
I can make inferences and support them with text evidence.
I can evaluate details I read to determine key ideas.
I can analyze plot elements of fictional texts.
I can explain character interactions and the changes they undergo.
I can identify and understand the use of literary devices including point of view.
I can explain figurative language such as simile, metaphor, and personification.
I can explain how the text structure of poetry contributes to the author’s purpose.
I can describe how the author uses sound devices to achieve a purpose.
I can recognize characteristics and structures of informational text.
I can recognize organizational patterns of informational text.
I can describe how the use of imagery achieves a purpose.
I can smash the test!
I can smash the test!
Test Smash Passages and Questions
During World War I on October 3, 1918 almost two hundred men were trapped on the side of a hill without any food or water. Their own army did not know they were there and had begun firing on them and they became surrounded by enemy troops. Several men tried to carry messages to their army, but all were caught. Major Whittlesey had the idea to send a message by pigeon instead. The first two pigeons did not make it, but the third did.
**Cher Ami**
Cher Ami was a homing pigeon. This means she was trained to fly back to a certain location when released. She was donated to the United States Army from Great Britain and trained by American pigeoners to work in France during World War I. Cher Ami was a Blue Check Pigeon, and while she is a hen, the National Museum of American History and other places still list her as male. She can still be seen at the Smithsonian Institution in Washington, D.C.
**Homing Pigeons**
Homing pigeons are known for their ability to fly long distances to find their way home. They have been known to fly more than 1,000 miles back to their home. They fly about fifty miles per hour over long distances, but have reached speeds of up to ninety miles per hour. Homing pigeons are fascinating birds. This makes homing pigeons a good way to send messages. During WWI homing pigeons were used by troops to send messages across enemy lines by attaching small canisters to their legs to hold slips of paper.
**Cher Ami Saves the Day**
Cher Ami was sent off with her message and quickly came under fire from German forces. She was shot down, but was able to fly again. She flew the twenty-five miles back to the American Army. Once there the men on the hillside were able to be saved. Cher Ami had been badly injured and needed surgery to save her life.
Cher Ami is now known as a hero of WWI and was awarded the Croix de Guerre Medal for her work.
Which detail from the text suggests that the men on the hillside were thankful for Cher Ami?
Context Clues
Which words could you use to determine the meaning of came under fire?
Imagery & Figurative Language
What words does the author use in paragraph one to paint a picture of the troops?
Making Connections
What connections can you make to the passage?
Making Inferences
Why is Cher Ami known as a hero of WWI?
Retelling, Paraphrasing, & Summarizing
How could you summarize this text?
Organizational Patterns of Text
How does the author organize the information in paragraph 1?
Structures of Informational Text
Which section of the text tells the reader how fast homing pigeons can fly?
Jamal and his family had been away from home for a long time. When they left home his parents had told him they were going to visit his grandparents in Dallas, but after arriving there it became clear to Jamal that this wasn't a regular visit.
For one thing his family had packed way more into their van than they usually would for a short trip. His mother had seemed bothered by something as she continued to hustle back and forth from their home to the car bringing more and more items with her each time. Jamal had only packed a small suitcase himself, but then thought about bringing a few toys and books just in case.
When he went into his room he found his mom taking all of the clothes out of his closet and putting them in bags. She saw him and said, "I just want you to have options. We don't know what the weather is going to be like." Jamal grew suspicious as he watched his mom run around the house, but didn't ask questions.
The drive to Dallas was unremarkable. There seemed to be many more cars on the road than usual, and they were all going in the same direction as Jamal's family. He asked his dad what was going on, but he didn't seem to hear him. Jamal knew his parents must be worried about something, but he couldn't tell quite what.
Once they reached Dallas and were greeted by his grandparents his own parents seemed to relax a bit. It was late, and while Jamal had spent all day in the car he was still tired. After going to bed he could hear his parents talking to his grandparents about a big storm.
Finally Jamal realized what the hurry was to get out of town. There was a large hurricane headed straight for the Texas coast. Jamal knew storms made his parents nervous, and that must be why they came to Dallas.
The hurricane came and went. The town Jamal's family live in took a direct hit making them glad they didn't stay. Power lines were knocked down and trees uprooted, but they heard from their neighbors that their own house was alright. Still Jamal's parents decided to stay in Dallas until the community was cleaned up and power was restored.
Now, after almost a month Jamal and his family were packing up the van again, but this time to head home. Jamal couldn't wait to see his friends again. The trip home was much quicker than when they evacuated. When they pulled onto their street a smile broke out across the faces of Jamal and his parents. It felt so good to finally be home.
What detail from the last paragraph supports the idea that Jamal is happy to be home?
Context Clues
What does the word unremarkable mean?
Plot Elements
What can the reader tell about Jamal based on the first paragraph?
Making Connections
What connections can you make to Jamal based on the story?
Making Inferences
How do you think Jamal’s family felt at the end of the text?
Retelling, Paraphrasing, & Summarizing
How would you paraphrase paragraph 4 of the story?
Characters
What does the dialogue between Jamal and his mom in paragraph 3 tell you about his mom?
Point of View
What point of view does the narrator tell Jamal’s story from?
The clouds no more are flocking
After the flushing sun;
Bees end their long droning,
The bat's hunt is begun;
And the tired wind that went flittering
Up and down the hill
Lies like a shadow still,
Like a shadow still.
Who is it that's calling
Out of the deepening dark,
Calling, calling, calling?--
No!—yet hark!
The sleepy wind wakes, carrying
Up and down the hill
A voice how small and still,
How sweet and still!
Who is it that answers
Out of a quiet cloud—
"Stay, oh stay! I come, I come!"
Cried at last aloud?
My voice, my heart went answering
Up and down the hill—
Mine so strange and still,
Mine grave and still.
-John Frederick Freeman
What is the main message of the poem?
Context Clues
In the text, what does the word grave mean?
Figurative Language
What is an example of personification from the first stanza?
Making Connections
What connections can you make to the poem?
Making Inferences
What can the reader conclude from the action in the first stanza?
Retelling, Paraphrasing, & Summarizing
What is the poem mostly about?
Sound Devices
What is the rhyme scheme of the first stanza of this poem?
Structures of Poetry
The structure of the poem helps the reader to know that it is what type of poetry?
The USS Lexington is an Essex Class aircraft carrier built for the United States Navy. She was commissioned in 1943 and went on to set more records than any other ship in her class. The USS Lexington continued to be active in the Navy until 1991 when it was decommissioned as the oldest working carrier.
The USS Lexington was being built, under the original name USS Cabot, during World War II in Massachusetts' Fore River Shipyard. This shipyard built the best ships at the time. When they learned that the original aircraft carrier named USS Lexington, CV-2 had been sunk the new aircraft carrier's name was changed to USS Lexington to honor the tradition.
After completion, the USS Lexington was taken on several trial runs or cruises before traveling to Pearl Harbor where they joined the Fifth Fleet of the US Navy which made up the main force stationed in the Pacific. The USS Lexington went on to take part in almost every major operation in the Pacific during World War II. The aircraft carrier and her planes were instrumental in destroying Japanese planes time and time again.
The Japanese tried to boost morale within their ranks by continually reporting that the USS Lexington had been sunk, but she and her crew continued to return to the fight. The Japanese nicknamed her, "The Blue Ghost," due to her ability to continue to fight and sail silently as a shark.
After World War II the USS Lexington was taken out of service from 1947 to 1955 when she rejoined the Seventh Fleet based in San Diego, California. She did not return to direct combat, but she did offer support during further operations.
The USS Lexington was officially decommissioned in 1991 and Corpus Christi, Texas was chosen as her permanent home. Today you can visit the ship which is home to a museum.
What key idea do the details in paragraph 3 support?
Context Clues
In the last paragraph, what does the word decommissioned mean?
Imagery & Figurative Language
What is an example of simile used in the passage?
Making Connections
What connections can you make to the passage?
Making Inferences
Why do you think the Japanese claimed to have sunk the USS Lexington to boost morale?
Retelling, Paraphrasing, & Summarizing
How could you summarize this text?
Organizational Patterns of Text
What cause and effect relationship is shown by the author in paragraph 2?
Structures of Informational Text
What is the most likely reason the author included a photograph with the text?
Lindsey had wanted a dog for as long as she could remember. She had spent the last year doing everything that she could to prove to her parents that she was responsible enough and finally they had agreed.
Lindsey did her research. She knew she wanted to adopt a dog from the city shelter. She also knew she wanted a larger dog. She went to the library and checked out a book on dog training. She poured through the book reading all about basic commands like sit and stay, but what she really wanted was to teach a dog to shake.
Saturday came and Lindsey went with her dad to the animal shelter. The whole way there Lindsey could not stop talking about all the things she was going to teach their new dog, but Lindsey’s dad reminded her that you don’t always get exactly what you want in life. Still Lindsey kept going on and on, especially about how she was going to teach her dog to shake.
When they arrived at the shelter Lindsey jumped out of the car and ran for the door with her dad trailing behind. Inside they were greeted by a volunteer and given basic information before being shown back to the dog kennels.
Lindsey slowly walked down the long row of kennels carefully examining each of the dogs inside. When she got about halfway down the aisle she spotted a large brown dog laying patiently. It was love at first sight. Lindsey knew that this was her dog. She and her father went to find the volunteer to get the dog out to play with.
Returning to the kennel with the volunteer Lindsey got a surprise. When the dog stood up she noticed it only had three legs! At first Lindsey was concerned, but as soon as she got a sloppy kiss on the cheek she was back in love. Lindsey and her dad completed the adoption and were on their way. On the way home they decided to name the dog Choc short for chocolate, the color of his fur.
When they got home Lindsey excitedly introduced Choc to her younger brother and her mom. She also decided to see what Choc already knew. She stood in front of him and firmly said, “Sit.” Choc immediately sat, his tail wagging. “Good boy!” replied Lindsey. Next she gave the command for lay and he did! She followed up with stay and walked across the room from him. Choc stayed until he was called.
Lindsey was so impressed, but was still holding out hope that he would shake. She approached Choc again and greeted him with, “Sit.” He plopped down and waited expectantly. “Now shake,” she said holding out her hand. Choc stood up and Lindsey sighed, but then he started shaking his whole body. Lindsey laughed. It wasn’t the kind of shake she imagined, but it was a different kind of trick!
Which detail from the last paragraph supports the idea that Lindsey was disappointed?
Context Clues
What does the word poured mean in this story?
Plot Elements
How is Lindsey’s main problem solved in the story?
Making Connections
What is a connection you share with this story?
Making Inferences
How can the reader tell that “A Different Trick” is realistic fiction?
Retelling, Paraphrasing, & Summarizing
Retell the story in three sentences or less.
Characters
What do Lindsey’s actions before going to the shelter suggest?
Point of View
Who is the narrator of this story?
The Star
A white star born in the evening glow
Looked to the round green world below,
And saw a pool in a wooded place
That held like a jewel her mirrored face.
She said to the pool: "Oh, wondrous deep,
I love you, I give you my light to keep.
Oh, more profound than the moving sea
That never has shown myself to me!
Oh, fathomless as the sky is far,
Hold forever your tremulous star!"
But out of the woods as night grew cool
A brown pig came to the little pool;
It grunted and splashed and waded in
And the deepest place but reached its chin.
The water gurgled with tender glee
And the mud churned up in it turbidly.
The star grew pale and hid her face
In a bit of floating cloud like lace.
-Sara Teasdale
What detail supports the idea that the star is embarrassed?
Context Clues
In the text, what does the word churned mean?
Figurative Language
What is an example of personification from the third stanza?
Making Connections
What connections can you make to the pig in the poem?
Making Inferences
How does the star feel when the pig enters the pond?
Retelling, Paraphrasing, & Summarizing
What is the poem mostly about?
Sound Devices
What is the rhyme scheme of this poem?
Structures of Poetry
Why did the poet include a couplet between the first and third stanza?
The oldest Spanish mission in San Antonio was built in 1718 and was named the San Antonio de Valero. It is known more commonly as the Alamo.
**Birth of the Alamo**
Spanish colonists in Texas built the Alamo right along the San Antonio River, the mission was home to Catholic priests and friars, Native Americans, and Spanish soldiers.
The Alamo was built as a stop between missions that were already built in East Texas and Mexico. Missionaries and soldiers used the Alamo as a place to stop and rest while traveling long distances. The Alamo was also used as a place for the Spanish to try and convert Native Americans to the Catholic religion.
Around the Alamo grew a village known as San Fernando de Bexar which is what we now know as San Antonio.
Mission San Antonio de Valero continued its mission of converting Native Americans to the Catholic faith for seventy-five years until 1793. After that, the mission was abandoned. Later in the 1800s Spanish soldiers used the mission as a military fort.
**The Battle of the Alamo**
While the Texas Revolution was just getting started a group of Texan volunteer fighters captured the Alamo that was being used as a military fort by the Mexican army. Soon other Texas soldiers joined them, making the Alamo an important military position.
Led by James Bowie and William B. Travis the Texans attempted to defend the Alamo in a thirteen day battle. The small number of Texans were no match for the Mexican army, and nearly all were killed in a bloody battle. The battle took place more than 100 years after the Alamo was first built.
**The Alamo Today**
You can still visit the Alamo today in the heart of San Antonio. In fact, more than 2.5 million people come to visit every year. The Alamo is cared for by the National Park Service along with the other four missions found in San Antonio. If you find yourself in San Antonio, the Alamo is a must see!
Test Smash Day 7
Details and Key Ideas
According to the text, what was the original main goal for building the Alamo?
Context Clues
In paragraph 3, what does the word convert mean?
Imagery & Figurative Language
In the section, “Battle of the Alamo,” what is an example of alliteration used to provide the reader with a mental image?
Making Connections
What connections can you make to the passage?
Making Inferences
Which sentence from the text best supports the idea that the Texans were defeated at the Alamo?
Retelling, Paraphrasing, & Summarizing
How could you summarize this text?
Organizational Patterns of Text
What cause and effect relationship is shown in the section, “Battle of the Alamo?”
Structures of Informational Text
What is the most likely reason the author included bolded text in the passage?
Annie had always loved how noisy Chicago was on a summer afternoon. The sound of cars driving by, the L hurtling past, and neighbors talking on the sidewalk brought her joy. Every year Annie could not wait until summer when her mom would load up their car and the family would make the long trip to the city to stay with her maternal aunt.
Annie was a remarkable young girl who worked hard in school, but liked to play hard when on vacation. She liked to help others, and had even rescued kittens that were stuck in a drain once.
Annie walked over to the window that looked out over the park. She admired the sun shining down in rays illuminating her world. She couldn’t wait for her friend Jeff to get there so that they could go enjoy the park together.
Then she saw Jeff in the distance. At first she didn’t recognize him. Jeff must have grown six inches since last summer! He was carrying something too, and it wasn’t the usual kickball that Annie knew him with. As Jeff got closer Annie noticed his smile and she smiled back.
When Jeff finally made his way to her front stoop Annie jumped up to give him a hug, but instead of hugging her back he asked, “What’s your Wi-Fi password?” Annie was shocked! She hadn’t seen him in almost a year and all he wanted was a Wi-Fi password?
Annie looked back at Jeff and said, “We won’t need Wi-Fi in the park, let’s go!” Jeff smirked and headed into the house where he plopped down on the couch. Annie’s jaw almost hit the floor. “Don’t you want to go to the park? It is such a nice day and I have been waiting all year to play kickball with you again,” Annie stammered. “Not really, I’d rather play a game,” he replied.
Annie couldn’t believe her ears. Is this really what she had been waiting for? Annie wasn’t much for online games when the weather was so nice, she thought they were better saved for when it was too cold to go outside.
Disappointed, Annie gave Jeff the Wi-Fi password, grabbed the kickball from the hall closet, and headed out the door. She murmured to herself, “I guess it’s time to meet some new friends.”
What detail from the text supports the idea that Annie thinks there is a time to play video games?
Context Clues
What does the word smirked mean in this story?
Plot Elements
Why is Annie disappointed when Jeff wants the Wi-Fi password?
Making Connections
What is a connection you share with this story?
Making Inferences
Why does Annie think it is time to make new friends at the end of the story?
Retelling, Paraphrasing, & Summarizing
How could you summarize Annie’s problem from the story?
Characters
Why is Annie looking forward to seeing Jeff?
Point of View
Who is the narrator of this story?
Summer
Winter is cold-hearted
Spring is yea and nay,
Autumn is a weather-cock
Blow every way:
Summer days for me
When every leaf is on its tree
When Robin’s not a beggar,
And Jenny Wren’s a bride,
And larks hang singing, singing, singing,
Over the wheat-fields wide,
And anchored lilies ride,
And the pendulum spider
Swings from side to side,
And blue-black beetles transact business,
And gnats fly in a host,
And furry caterpillars hasten
That no time be lost,
And moths grow fat and thrive,
And ladybirds arrive.
-Christina Georgina Rossetti
What detail supports the idea that the author does not care for winter?
Context Clues
What words from the second stanza help to determine the meaning of pendulum?
Figurative Language
What is an example of alliteration from the last stanza?
Making Connections
What connections can you make to the author of the poem?
Making Inferences
Why is the “Robin not a beggar” as said in the second stanza?
Retelling, Paraphrasing, & Summarizing
Paraphrase the last stanza of the poem in one sentence.
Sound Devices
Why does the poet repeat the word “singing” in the second stanza?
Structures of Poetry
How many stanzas are included in the poem?
How many lines are included in the poem?
Mae Jemison was born on October 17, 1956 in Alabama. At the time she was born the south was still segregated, meaning that there were different schools and other public places for black people and white people. Jemison’s family wanted their children to have the best opportunities, so they moved north to Chicago.
Jemison loved to learn and spent all of her extra time reading about science, and especially space. She went on to study chemical engineering at Stanford University and then attended medical school at Cornell University. While she was a student she traveled the world helping those less fortunate than herself, such as refugees.
After finishing medical school she worked as a doctor in southern California and for the Peace Corps in Africa. While she was there she also taught others about the medical field and how to perform research. She enjoyed her work as a doctor, but her childhood love of space continued. After returning to the United States she set her sights on becoming an astronaut.
Jemison applied and was accepted into NASA’s astronaut training program. This was right before The Challenger disaster, which slowed the process and required her to reapply. She did, and was chosen as the first African-American woman to undergo astronaut training. She trained for over a year, and earned the title of science mission specialist. She was a star within the program. This job put her in charge of performing scientific experiments on board the space shuttle.
On September 12, 1992 Jemison and six other astronauts were launched in the space shuttle Endeavour, and she became the first African-American woman in space. Their mission was eight days long, and she performed numerous experiments.
Mae Jemison has received many awards including having a school in Detroit named after her. She has also continued to volunteer her time for the betterment of all people through medical research and fundraising as well as through teaching.
What details from the text support the idea that Mae Jemison is well educated?
Context Clues
In the second paragraph, what does the word fortunate mean?
Imagery & Figurative Language
What is an example of metaphor used in paragraph 4 of the passage?
Making Connections
What connections can you make to the passage?
Making Inferences
Based on the descriptions of Jemison in the text, what can the reader conclude about how she feels towards people?
Retelling, Paraphrasing, & Summarizing
How could you summarize paragraph 3 of this text?
Organizational Patterns of Text
How did the author organize the passage?
Structures of Informational Text
What is the most likely reason the author included a photograph with the text?
Test Smash Recording Sheets
Context Clues
Imagery & Figurative Language
Making Connections
Making Inferences
Retelling, Paraphrasing, & Summarizing
Organizational Patterns of Text
Structures of Informational Text
Plot Elements
Context Clues
Making Connections
Making Inferences
Retelling, Paraphrasing, & Summarizing
Characters
Point of View
Context Clues
Figurative Language
Making Connections
Making Inferences
Retelling, Paraphrasing, & Summarizing
Sound Devices
Structures of Poetry
Context Clues
Imagery & Figurative Language
Making Connections
Making Inferences
Retelling, Paraphrasing, & Summarizing
Organizational Patterns of Text
Structures of Informational Text
Context Clues
Plot Elements
Making Connections
Making Inferences
Retelling, Paraphrasing, & Summarizing
Characters
Point of View
Context Clues
Figurative Language
Making Connections
Making Inferences
Refelling, Paraphrasing, & Summarizing
Sound Devices
Structures of Poetry
Context Clues
Imagery & Figurative Language
Making Connections
Making Inferences
Retelling, Paraphrasing, & Summarizing
Organizational Patterns of Text
Structures of Informational Text
Plot Elements
Context Clues
Making Connections
Making Inferences
Retelling, Paraphrasing, & Summarizing
Characters
Point of View
Context Clues
Figurative Language
Making Connections
Making Inferences
Retelling, Paraphrasing, & Summarizing
Sound Devices
Structures of Poetry
Context Clues
Imagery & Figurative Language
Making Connections
Making Inferences
Retelling, Paraphrasing, & Summarizing
Organizational Patterns of Text
Structures of Informational Text
Test Smash Suggested Answer Keys
All answers provided are suggested answers. I would encourage you to discuss students’ answers and require them to back up their responses with evidence from the text as answers will vary.
Once there the men on the hillside were able to be saved.
or
Cher Ami is now known as a hero of WWI and was awarded the Croix de Guerre Medal for her work.
Context Clues
shot at
Imagery & Figurative Language
trapped, surrounded, firing on them, caught
Making Connections
Answers will vary, but may include a connection to a time an animal helped them or a war story they have read.
Making Inferences
For carrying a message that saved the lives of American soldiers.
Retelling, Paraphrasing, & Summarizing
Almost two hundred men were trapped on a hillside until a homing pigeon named Cher Ami carried a message to their army that was able to save them.
Organizational Patterns of Text
Chronologically
Structures of Informational Text
Section 3
"Homing Pigeons"
...a smile broke out across the faces of Jamal and his parents.
Context Clues
boring
normal
nothing extra
Plot Elements
Jamal misses his home.
Making Connections
Answers will vary, but may include connections to a time of feeling homesick or not being told the whole truth.
Making Inferences
Relieved to be back at home.
Retelling, Paraphrasing, & Summarizing
The drive to Dallas seemed to be busier and take longer than usual, but his parents wouldn't tell him why.
Characters
His mom isn't telling him the whole truth about why they are visiting his grandparents. His mom doesn't want Jamal to worry.
Point of View
Third person omniscient because the narrator knows how the characters are feeling.
The author is lonely at night.
Context Clues
sad
Figurative Language
tired wind
Making Connections
Answers will vary, but many include a connection to being awake at night or an animal mentioned.
Making Inferences
The sun is setting and nocturnal animals are beginning to come out.
Retelling, Paraphrasing, & Summarizing
The sun has set and night is taking over. Night time sounds make it seem that there is a voice calling out, but when you answer there is no one there.
Sound Devices
ABABACCC
Structures of Poetry
Lyrical because of the rhyme scheme and equally split stanzas.
The USS Lexington was an important part of the US Navy’s fleet during WWII.
Context Clues
Taken out of service, retired
Imagery & Figurative Language
sail silently as a shark
Making Connections
Answers will vary, but may include a connection to a ship or boat.
Making Inferences
To boost their morale.
Retelling, Paraphrasing, & Summarizing
The USS Lexington, an American aircraft carrier was built in Massachusetts and went on to play an important role in the Pacific Ocean during WWII. After being repaired the carrier supported other missions until 1991 when it was retired and docked in Corpus Christi, TX.
Organizational Patterns of Text
The original Lexington was sunk, so they renamed this ship USS Lexington to carry on tradition.
Structures of Informational Text
To help the reader visualize the USS Lexington.
Lindsey sighed
Context Clues
read quickly and entirely
Plot Elements
When her dog, Choc, shows her a different kind of shake.
Making Connections
Answers will vary, but may include a connection involving a pet or doing something differently than expected.
Making Inferences
The action in the story could happen in real life.
Retelling, Paraphrasing, & Summarizing
Lindsey and her family adopt a dog named Choc. Lindsey tries to teach Choc a trick, but is surprised when Choc shows her a different trick.
Characters
Lindsey wants to be a responsible dog owner by knowing how to train her dog.
Point of View
An outside viewer
The star grew pale and hid her face
Context Clues
mixed up
Figurative Language
The star grew pale and hid her face
Making Connections
Answers will vary, but may include connections to stars or a time of embarrassment.
Making Inferences
It is sad it can no longer see its reflection.
Refelling, Paraphrasing, & Summarizing
A star staring at its own reflection in a pond.
Sound Devices
AABBCCDDEEFFGHHBB
Structures of Poetry
To emphasize the excitement the star has in viewing itself.
To provide a stop between the missions in East Texas and Mexico.
Context Clues
to change
Imagery & Figurative Language
bloody battle
Making Connections
Answers will vary, but may include a connection to visiting the Alamo, another historical sight, or the Texas Revolution.
Making Inferences
The small number of Texans were no match for the Mexican army, and nearly all were killed.
Retelling, Paraphrasing, & Summarizing
The Alamo, the oldest mission in San Antonio, was built as a stop between East Texas and Mexico, but also served to house soldiers and convert Native Americans to the Catholic faith. Later the mission was home to a battle during the Texas Revolution in which the Texans were defeated. You can still visit the Alamo today.
Organizational Patterns of Text
Texans captured the Alamo, so the Mexican army defeated them taking it back.
Structures of Informational Text
To clearly show the reader what each section will be about.
Annie wasn’t much for online games when the weather was so nice, she thought they were better saved for when it was too cold to go outside.
Context Clues
smiled slyly
slightly smiled
Plot Elements
She wants to go play at the park, not play a game inside.
Making Connections
Answers will vary, but may include connections to wanting to do one thing while a friend wants to do something else.
Making Inferences
She and Jeff no longer like doing the same things.
Retelling, Paraphrasing, & Summarizing
Annie is excited to go to the park to play with Jeff, but when he arrives he is more interested in playing a game online.
Characters
She hasn’t seen him since last summer when they went to the park together.
Point of View
An outsider, third person
Winter is too cold, spring has a lot of changes, and autumn is too windy.
Context Clues
swings from side to side
Figurative Language
blue-black beetles
Making Connections
Answers will vary, but may include connections to a favorite season.
Making Inferences
In summer Robins are able to find their own food and not have to beg for scraps from people.
Retelling, Paraphrasing, & Summarizing
All the life that comes out during the summer.
Sound Devices
To emphasize that the lark continues to sing for a long time.
Structures of Poetry
3 stanzas
19 lines
She went on to study chemical engineering at Stanford University and then attended medical school at Cornell University.
Context Clues
well-off
favored
mean?
Imagery & Figurative Language
She was a star within the program.
Making Connections
Answers will vary, but may include a connection to space, an accomplishment, or a career for the future.
Making Inferences
Jemison cares deeply about people and taking care of them.
Retelling, Paraphrasing, & Summarizing
Jemison traveled the world taking care of people and helping them learn how to research, but she still thought about becoming an astronaut.
Organizational Patterns of Text
Chronologically
Structures of Informational Text
To help the reader visualize what an astronaut would wear.
Test Smash Data Sheet
| Day | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 0 |
|-----|---|---|---|---|---|---|---|---|---|---|
| | | | | | | | | | | |
**All Genres**
- Context Clues
- Making Connections
- Making Inferences
- Details and Key Ideas
- Retelling, Paraphrasing, & Summarizing
**Fiction**
- Plot Elements
- Characters
- Point of View
**Informational Text**
- Structures of Informational Text
- Organizational Patterns of Text
- Imagery & Figurative Language
**Poetry**
- Figurative Language
- Sound Devices
- Structures of Poetry
Physical state refers to whether a substance is a solid, liquid, or gas.
We generally classify matter as a solid, liquid, or gas.
Solids have a definite shape and size.
Liquids take the shape of their containers.
Gases expand to take the shape of their containers.
Try it! Complete the table using examples from the term bank.
| Solid | Liquid | Gas |
|-------------|------------|------------|
| | | |
| | | |
| | | |
Term Bank
honey sugar cube alcohol
oxygen flour state
plastic cube helium dish soap
carbon dioxide
Mass refers to the amount of matter in an object.
Mass is measured using a pan balance or triple beam balance.
Mass is measured in grams, milligrams, and kilograms.
Remember that mass and volume are different. Volume refers to how much space matter takes up. Two balls with the same volume can have different masses. A plastic ball filled with air has less mass than a solid metal ball with the same volume.
Try it! Objects are represented by letters A, B, C, and D. Put the objects in order from least to greatest mass. All amounts are shown in grams.
Answer
Objects in order from least to greatest mass: ___, ___, ___, ___
Solubility refers to whether or not matter dissolves in water.
Dissolving occurs when matter mixed with water gets smaller until it is evenly spread throughout the mixture.
When dissolving, matter does NOT change physical state. Dissolving is NOT the same process as melting.
A substance that is soluble dissolves in water.
A substance that is insoluble does not dissolve in water.
Try it! Complete the table using examples from the term bank.
| Solubility of ________________ in Water |
|----------------------------------------|
| Insoluble in Water | Soluble in Water |
|---------------------|------------------|
| | |
| | |
| | |
| | |
Term Bank
- baking soda
- vegetable oil
- glass lens
- drink mix
- lemon juice
- honey
- feather
- sand
- substances
Relative density refers to whether an object sinks or floats in water.
We can classify matter as more dense or less dense than water.
A substance that floats in water is **less dense** than water.
A substance that sinks in water is **more dense** than water.
Try it! Complete the table using examples from the term bank.
| Relative Density of ____________________ in Water |
|---------------------------------------------|
| Less Dense than Water | More Dense than Water |
|------------------------|-----------------------|
| | |
| | |
| | |
| | |
**Term Bank**
- wood chip
- vegetable oil
- sand
- soap bubble
- aluminum washer
- plastic ball
- syrup
- brass key
- substances
2020 The Science Penguin
SLOW CHANGES TO EARTH'S SURFACE
SCAVENGER HUNT
Find as many items on the list as you can.
☐ 1. deposition of sediments in a new place
☐ 2. a cracked rock that has been weathered
☐ 3. a pile of sediments
☐ 4. a small channel from runoff
☐ 5. a sedimentary rock that allows sediments to be easily scraped off of it
☐ 6. evidence of weathering
☐ 7. exposed tree roots above the ground
☐ 8. a sidewalk crack
☐ 9. mud
☐ 10. a drainage pipe
☐ 11. a sloped hill
☐ 12. evidence of ice wedging
GENERAL SCIENCE
SCAVENGER HUNT
Find as many items on the list as you can.
☐ 1. Water that is in the form of a solid, liquid, or gas
☐ 2. A natural resource
☐ 3. Matter that is solid and sinks in water
☐ 4. Matter that floats in water and is not magnetic
☐ 5. A shadow that is 10 to 20 centimeters long
☐ 6. A mixture of two or more substances
☐ 7. An example of mechanical energy
☐ 8. An animal interacting with its environment
☐ 9. Plant roots
☐ 10. Soil that supports a healthy plant
☐ 11. An organism in the adult stage of its life cycle
☐ 12. A cracked rock
|
REGISTRATION AND TUITION
2024-2025 School Year
Children will be accepted for enrollment pending a review of records including but not limited to academic, behavior, and financial; admissions testing; and interview with the administration. First priority will be given to children currently enrolled in Our Lady of the Lake School or who have siblings currently enrolled. Second priority will be given to registered parishioners of Our Lady of the Lake Parish who do not currently have children in the school. Third priority will be given to the general public. After March 1, 2024, all applications will be considered on a first-come, first-serve basis as third priority.
The Our Lady of the Lake School philosophy states “that each child is a special person – a child of God. Through our religious education program, we bring the student into contact with the whole message of Christ in a living school community of faith, which leads naturally to service of others. In partnership with parents and guardians, we strive to complement and supplement the work of parents in fostering the Christian growth of the child at the various levels of development. We provide a program of study which makes the best use of the child’s time and talents. We endeavor to instill in each child, a love of learning and an appreciation of culture. We try to lead the child to realize the dynamic force of his/her life for good in the world by helping him/her to understand the intrinsic value and dignity of every human person.”
The following tuition/admission policy, which is based on our Catholic philosophy of education, will be effective for the 2024-2025 school year. It is understood that all families registering children at Our Lady of the Lake School agree to abide by the contents of the latest edition of the Our Lady of the Lake School Family Handbook and all policies of the school and parish. It is further understood that all families registering children at Our Lady of the Lake School agree to meet the financial obligations according to the policy set forth below and in the handbook.
Tuition and Registration Fee
$6,165.00 per child
$150.00 PER CHILD REGISTRATION FEE
PLEASE NOTE: The school reserves the right to refuse admission or readmission, to suspend or to expel any student who does not cooperate with the policies established in the Our Lady of the Lake Family Handbook. Policies in this handbook apply to after school hours as well. If any student refuses to follow these policies, then he or she places his or her privilege to attend this school in jeopardy. If any parent refuses to support or follow these policies, the parent places his or her child/children’s privilege of attending this school in jeopardy.
The education of your child is a partnership between you and your school. If in the opinion of the administration the partnership is irretrievably broken the school reserves the right to require you to withdraw your child.
GENERAL INFORMATION FOR ALL FAMILIES APPLYING TO OUR LADY OF THE LAKE SCHOOL 2024-2025 SCHOOL YEAR
It is most important that all families wishing to enroll at Our Lady of the Lake School begin by reviewing this Admission and Tuition Policy, completing and submitting the Registration Application with the $150.00 registration fee as soon as possible. Our Lady of the Lake Parish must have an accurate enrollment number in order to arrange staffing for the 2024-2025 school year. Staffing decisions depend heavily upon actual enrollment numbers.
It is also most important that families, who wish to be considered for additional scholarship money from the diocese or the parish, submit their application no later than March 15, 2024.
Implementation of the Admission and Tuition Policy
The implementation of this policy will be the responsibility of the pastor and the principal.
Admission to Kindergarten
All students entering kindergarten are required to participate in the kindergarten screening process. Testing dates and screening dates will be announced annually. It will be the responsibility of the families to present the students for the testing and screening according to the schedule established annually by Our Lady of the Lake School.
Kindergarten Enrollment
- Kindergarten is a full day program.
- All families who wish to enroll a kindergarten student for the 2024-2025 school year will receive additional information regarding kindergarten screening. Information regarding kindergarten screening will be sent home in the early spring.
- The Ohio Department of Education recommends that all kindergarten students be five (5) years old before August 1. Euclid City Schools requires kindergarten students to be five (5) years old before August 1. The Office of Catholic Education of the Diocese of Cleveland recommends that the Catholic elementary schools follow the policies of the public school district in which they reside for kindergarten entrance age.
- Kindergarten students do wear uniforms.
- Kindergarten students eat lunch at school.
Financial Obligations
All families are required to meet all financial obligations to any and all educational institutions before enrollment in Our Lady of the Lake School can be finalized.
Tuition Payment Method
Our Lady of the Lake School uses a third party tuition collection company (FACTS). All families are required to have tuition payments electronically withdrawn from bank accounts designated by them. Payments will be electronically withdrawn from family designated accounts and deposited electronically into the Our Lady of the Lake account. Families have a choice of a two month, four month, ten-month or twelve-month payment plan for the 2024-2025 academic year. Payments made using FACTS for the 2024-2025 academic year begin June 2024. Families currently enrolled in FACTS will automatically be re-enrolled unless the school office is notified.
Families may pay tuition in full by August 23. If payment in full is made by August 23, families need not establish accounts for electronic withdrawal, and they will receive a $100.00 per family tuition discount (only
applies to students in grades kindergarten through eight). Strict adherence to the August 23 deadline will be observed.
Families who have received the EdChoice or Cleveland Scholarships are not required to pay tuition electronically. Families receiving the Scholarships are required to come to the school during school hours to endorse tuition checks issued by the Ohio Department of Education by the deadline established by Our Lady of the Lake School (unless families have signed the Scholarship Check waiver). Failure to endorse checks in the school office will result in the families being required to pay the balance of the tuition owed in full. The EdChoice and Cleveland Scholarships cover the cost of tuition. There is no balance due for the 2024-2025 school year.
Families who have received the Jon Peterson Scholarship are expected to pay the difference of tuition not covered by the Jon Peterson Scholarship. The balance is due to the school office by November 1, 2024.
**Statement of Non-Discrimination**
Our Lady of the Lake School admits students of all races, nationalities or ethnic origins to all rights, privileges, programs, and activities. Our Lady of the Lake welcomes students of all faiths.
**Race and Ethnic Origins**
By law parents/guardians have the option to designate the race/ethnic category. Please use the following as a guide to designate if you wish to exercise this option. This information can be added to the Registration Application. Our Lady of the Lake School does not require this information for enrollment purposes or any other purposes. If you do not wish to include this information on the Registration Application, please leave that section on the registration application form blank.
| Race/Ethnic Origin | Description |
|-------------------------------------|-----------------------------------------------------------------------------|
| White/Non-Hispanic | Persons having origins in any of original peoples of Europe, North Africa, or the Middle East |
| Black/Non-Hispanic | Persons having origins in any of the black racial groups in Africa |
| Hispanic | Person of Mexican, Puerto Rican, Cuban, Central or South America, or other Spanish Culture or origin, regardless of race |
| Asian/Pacific Islanders | Persons having origins in any of the original peoples of the Far East, Southeast Asia, The Pacific Islands, or the Indian subcontinent. This area includes for example, China, India, Japan, Korea, the Philippine Islands, and Samoa |
| American Indian/Alaskan Native | Persons having origins in any of the original peoples of North America, and who maintain cultural identification through tribal affiliation or community recognition |
| Multi-racial | Persons having origins in two or more of the above options |
**Service Projects**
Our Lady of the Lake School relies heavily on families to perform service projects for the benefit of the overall school program. While deductions from individual tuition plans cannot be made, service projects performed for the benefit of the school help to keep tuition down and provide an enhanced school experience for all students.
**Hot Lunch Program**
Our Lady of the Lake School provides a hot lunch program through the Nutrition Services department of the Office of Catholic Education of the Diocese of Cleveland. Students must order and pay a month in advance for their lunches. Menus and ordering information are provided monthly by Nutrition Services. Students are welcome to bring their lunches from home as well. Students may order hot lunches only on the days they choose and bring lunches when they do not wish to order the items offered. There are some days during the school year that hot lunches are not served at all. On those days all students need to bring a lunch and a drink. Hot lunches are not provided for students who forget to order a lunch or bring their lunch. Cereal and milk will be provided for students who do not have a lunch. Milk does not need to be pre-ordered and is usually for sale on all days that the hot lunch program is conducted. Federal subsidy is available for all families who
meet federal requirements. Information regarding free or reduced lunch will be issued to families on the first day of school.
**EdChoice Scholarship**
The EdChoice Scholarship is available to those students who have been attending or are scheduled to attend public schools listed by the Ohio Department of Education as schools in the program. Students who have been attending schools such as Our Lady of the Lake, which is not in the program, are not eligible. For more information please contact the Ohio Department of Education or visit their website online, www.ode.state.oh.us. Our Lady of the Lake School accepts the EdChoice, Cleveland, and Jon Peterson Scholarships.
**EdChoice Expansion Scholarship**
Does your child meet both of the following criteria?
- Student is eligible to enter kindergarten through the eighth grade for the upcoming school year; and family household income is at or below 450 percent of the Federal Poverty Guidelines
- All students are eligible to apply based on the families’ income.
If “YES” Your Child is Eligible TO APPLY for the Income-Based Scholarship. Income Verification is Required to Apply for the Expansion Scholarship.
**Cleveland Scholarship**
The Cleveland Scholarship is available to those students who reside in the city of Cleveland. For more information, please contact the Ohio Department of Education or visit their website at www.ode.state.oh.us.
**Students Not Returning to Our Lady of the Lake School for the 2024-2025 School Year**
If your family is not planning to return to Our Lady of the Lake School for the 2024-2025 school year, please notify the office at 216-481-6824. The school office will forward a release of records form to you for completion and signature. This does not apply to graduating 8th grade students. The high school applications completed and signed in January act as a release of records.
**Completing the Registration Application Process and Eligibility**
Enrollment will be considered complete when:
- completed all forms
- paid the $150.00 per child registration fee
- provided all required records/documents and completed all processes.
Additionally, enrolling families must be current with all amounts due the school, unless arrangements have been made with the Pastor. All families not meeting established deadlines may forfeit their opportunity to enroll or to re-enroll their child(ren).
*The administration of Our Lady of the Lake School reserves the right to determine eligibility of all applicants. Our Lady of the Lake School admits students of all races, nationalities or ethnic origins to all rights, privileges, programs, and activities. Our Lady of the Lake welcomes students of all faiths.*
**Due Dates**
March 1, 2024 Open registration begins
March 15, 2024 FACTS Grant and Aid Form (if applicable) due
August 23, 2024 Full Tuition Payments for $100 per family discount (K-8 students only)
|
Boys will be Boys
When I hear people say that only female cats need to have surgery to sterilize them, it makes me crazy! Spay and neuter of ALL cats is the best and most basic thing that we can do for them. Male cats may not produce kittens, but they suffer from not being neutered.
A kind lady named Jane called when Oscar showed up at her door with his face distorted and swollen and one eye closed. Oscar loved humans, but as an intact male was working his way through Sutter Creek fighting and begging for food.
A-PAL took Oscar in and sent him to Dr. Alison Pillsbury at Acorn Hills Animal Center where it was discovered that he had a large abscess on his cheek. The abscess was drained and cleaned and Oscar was neutered. Oscar had been named for the Muppets character, Oscar the Grouch.
Oscar is anything but a grouch. This cat has the sweet round face of a beautiful tabby cat and is now up for adoption. This sweet boy deserved better from humans than being left to roam the streets and his story is all too common. We regularly get calls from people that stray cats are fighting with their cats. Most often the culprit is an intact male cat.
Acorn Hills Animal Center recently put on three low cost cat spay and neuter days with A-PAL and we were happy to see so many cat owners having their male cats neutered. One pair of beautiful long haired orange and white cats broke our hearts. Examination revealed that one of these boys had several abscesses on his neck. Owners told us that these beautiful cats had begun spraying in their home, so had been kicked outside. They also had been best friend brothers and now hated each other.
All of this would have been avoided if these two male cats had simply been neutered. Male cats do not need to mark their territory and spray if they are neutered. They also will not usually fight with other cats if they are neutered. Best of all, after about 30 days male cats when neutered will stop these spraying and fighting behaviors.
Feral cats reproducing continues to be one of our greatest challenges. Feeding stray and feral cats may be fun, but it is actually creating a greater problem if nothing else is done. Amador County is the only place I know of that has a FREE feral cat spay/neuter program. Residents are able to make an appointment with one of our amazing local veterinarians and A-PAL pays for these cats to be spay/neutered, ear tipped and rabies vaccinated and returned. These cats will live healthier, longer lives and the suffering from overpopulation will stop.
If you know of someone who is feeding which increases breeding, please encourage them to take advantage of A-PAL’s feral cat spay/neuter program which is detailed at pawspartners.org.
Our cat population had been steadily going down for 20 years, but with the pandemic, it has nearly doubled in the last three years. We need everyone to participate to create a humane Amador County.
A-PAL Humane Society is a 501(c)(3) non-profit organization founded in 1977 to promote the humane treatment of animals in Amador County and to provide services to Amador County residents and animals. A-PAL works in partnership with our Amador County Animal Shelter. For more info, see pawspartners.org or call 209-223-0410.
BOARD OF DIRECTORS
Susan Manning, President
Margaret Blair, Vice President
Joan Martin, Treasurer
Lisa Peterson, Secretary
April Hancock
Wendy Robles
Nicole Todd
EXECUTIVE DIRECTOR
Cooper Steeley
MISSION STATEMENT
To ensure the humane treatment of animals in the communities we serve.
GOALS
• To end euthanasia of homeless dogs and cats in Amador County
• To increase public awareness and acceptance of responsibility for animal welfare
• To place homeless animals in good homes through aggressive adoption and foster care programs
• To raise funds to finance spay/neuter programs in Amador County
• To end inhumane treatment of animals in Amador County
• To support legislation encouraging humane treatment of animals
Some ways you can help us help the animals of Amador County...
• Be sure that your pets are spayed/neutered and don’t be a contributor to pet overpopulation
• Join A-PAL’s Save the Kittens Team
• Volunteer as a foster family and care for kittens
• Adopt an A-PAL dog or kitten and give it a loving and lifelong home
• Remember A-PAL Humane Society in your will and life insurance policies
• Donate funds to A-PAL
A-PAL’s accomplishments are the result of a group effort and would not be possible without our many animal-loving partners. Thank you!
Lucky Clover
Clover came to A-PAL as a large kitten with a broken jaw. She was sweet, but weak and had an infection in her gums which just would not go away. Most of her teeth were removed and soon she will be ready to go to her forever home.
Follow us on Facebook for updates!
Meet Mister Dooley
It’s come to drastic measures and I had to hire a ghost writer to help me get adopted and find my furever home. You see, I don’t have access to computer out here, and to be honest, even if I did, it’s really difficult to type with my paws.
So, my frens (aka friends), I’m gonna tell YOU why I am the bestest doggo ever. But first I want to give you some details about me – consider this my “profile” like, you know, if they had doggie “tinder”.
They call Mister Dooley or Triple D. I’m a sweet boy and I’m about 1.5 years old. I currently reside at Twin Cedar K9 and my foster mom, Auntie Margaret Blair, takes good care of me. She has trained me - I know my basic commands, and, I will admit, I’m a bit of a goofball. I’m a big lover and will always lean in to you while I’m sitting. And to be honest frens, I’m darn good looking and quite handsome. And all I want is a home and a family - and I deserve it! Cause I’m the bestest boy ever!
I would love a home with other doggo’s but NO cats! I like cats a LOT but for all the wrong reasons, so I won’t be a good fit for a house with cats. Ok, let’s be honest here, cats are tasty!
I love my auntie Margé, and I like hanging out here, but I know there is a perfect family out there for me!
Saturday and Sundays are my favorite days cuz that’s when all the people show up out here at Twin Cedar and do training. I get to play with all the dogs, and I’m not one to be politically incorrect, I like all the dogs - big, small, smelly, playful and there are some good looking “chicks” that come out to train. And I really like to show off how smart I am!
Are YOU my forever family? If so, please contact Margé Blair at (209) 223-3194 or email@example.com
MORE DATES TO SAVE
GIVING TUESDAY
WHEN AMDAOR GIVES MORE
IS ON
NOVEMBER 28th
SANTA PAWS
WILL BE HERE ON
DECEMBER 2nd
STAY CONNECTED & FOLLOW US ON:
@APalHumaneSociety @apalhumanesociety
WELCOME
CREEKSIDE SHOPS
ANTIQUE COLLECTIVE
22 Main Street Sutter Creek, CA 95685
P.O. Box 304 (209) 267-5520
Open 10-5
7 Days a Week
TWIN CEDAR K9
Quality dog training since 1991
Margaret Blair
Certified Master Trainer
(209) 223-3194
firstname.lastname@example.org
www.twincedark9.com
THANK YOU...to all of our donors & supporters
JEFF HOLMAN AUTO PROGRAM
Vucovich, Bill
RUSTY FUND DONORS
Sare, Mavis
Skrbec, Emelita & Karol
Hall, Tim
Spiess, Carol
SPECIAL NEEDS ANIMALS
FOR DRAGO Lacey, Linda
FOR DRAGO Fisher, Julie
FOR DRAGO Myers, Shari
FOR DRAGO Martinelli, Nancy
SPECIAL THANKS TO Barbara Brown for her contributions to A-PAL
donors continued next page
SUSTAINING AND MONTHLY DONORS
Alexander, Barbara
Barss, Carolyn
Baskin, Cathy
Brown, Barbara
Capitanich, Haley
Enyeart, Robert
Fong, Joan
Garfinkle, Michele
Garrett, Phyllis
Harris, Arthur & Janet
Kares, Laura
Keel, Garth
Kerby, Katherine
King, Gregory
Laird, Larry
Parrish, Bud
Scheeper, Sheryl
Soracco, Sandi
Silva, Carlos & Anna Marie
Williams, Loni
DONATIONS
Acorn Hills Animal Center
Aloha Products LLC
Annalo, Lori
Anooshian, Joseph & Janet
Antonen, Sharon
Anzini, Lori
ARAG
Bailey, Kenneth
Balston, Robin
Bayha, Stephanie
Bergman, Lee A
Birmingham, Jim & Joan
Blackbaud Giving Fund
Bott, Victor & Mary
Brand, Valerie
Bray, Jan Bernedo
Campbell, Joan
Chadwick Brett
Chapman, Nancy
Church, Hope & Rachel Luxemberg
Cooper, Rochelle
Costa, Virginia & Frank
Coudsy, Catherine
Cozzolino, Barbara
Creating Healthier Communities
Culver, Allan & Margot
Dana, April
Daneri, James & Cheryl
Davis, Gary & Janet Caccia
Desedare, Linda
Donahue, Denise
Dunn, Richard & Doris Carrillo
Estey, Tracy
Farmer, Katie
Ferrucci, Teresa
Floyd, Richard
Fogg, Pamela & Dan
Friel, Sally
Frison, David & Nellie
Gibson, Ellen
Goff, William & Noreen
Grady, Deborah
Gray, Debra
Grosz, Joan & Doyle
Grunigen, Carla
Guardanapo, Robert & Jeanette
Gunter, Gerald
Hall, Tim
Harmon, Kitty
Harrison, Lesley
Heimeyer, L
Henner, Gloria & Michael
Heussner, Lisa
Hoffman, William
Hollabaugh, James & Sherilyn
Jones, Harold & Christine
Kammerer, Cora
Krisman, Deena
Lancaster, Jeff
Landberg, Janeth
Larson, Helen
Legnard, Nancy
Liedl, Mary
Linke, John & Diane
Madden, Frances
Martin, Joan
Martz-Mort, Marie
Matulich, Linda
Medford, I.E., & Judy
Miles, Richard & Michelle Roland
Moore, Sondra
Moore, Susan
Moreno, Stephanie
Patterson, Robert & Janice
Perlee, Trisha
Perotti, Lucy
Peterson, Todd & Lisa
Phillips, Robert & Jane
Reber, Anne-Marie
Reynolds, William Scott
Rhein, Elizabeth
Rianda, Linda
Rocco, Sharon
Sanderson, D
Sare, Mavis
Sawyer, Ronald & Carla
Scharnow, Eileen & Timothy
Schmidt, Michael & Kathy
Schmidt, Susan
Sharp, Pamela
Sierra Service League
Silver, Andrew
Skrbec, Emelita & Karol
Smallfield, Beverly
Smith, Lovell
Spiess, Carol
Spitzer, M.E.
Stacey, Ray
Starr Shevey LLC
Stevenson, Jan
Sweet, Krista
Tarr, Rachel & Peter
Taylor, Dave & May Anne
Terhune, Ardyce
Tessaro, Margaret
Turnbas, Stephen & Elizabeth
Tzouros, Patricia Ann
Valente, Angela
Watson, Anita
Weyrauch III, Henry Martin
Williams, Janet & Earl
Wilson, Sara
Windmiller, Dan
LOVING TRIBUTES
In Memory of Roberta Patrick from Browley, Roger & Kathleen
In Memory of Patty Ziegler from Barss, Carolyn
In Memory of Kitty Bliss Haspel from Silver, Paul & Katherine
In Memory of Kitty Bliss Haspel from Nieland, Nancy
In Memory of Kitty Bliss Haspel from Silver, Nathaniel
In Memory of Kitty Bliss Haspel from Schornstein, Jr, Richard
In Memory of Carol Joyce Bellotti from McGinley, Casey
IN MEMORY OF OUR FURRY FRIENDS
Tammy Gallerio's dog "Casey" from Francisco, Jacquelyn
"Randi" from Ohm, Kylie
Colleen Begovich's "Sabrina" from Barss, Carolyn
"Tiger" from Todd, Michael & Nicole
"Simba" from Fox, Annette
Dorothy Buchman's "Baby" from Crawford, Donna
A-PAL depends on your support to fund our programs!
Donation Levels:
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A-PAL Humane Society is a 501(c)(3) non-profit organization supported solely by donations. 100% of donations are used for the benefit of animals in Amador County. A-PAL’s Tax ID is 94-2462789. You may also donate online at www.pawspartners.org
Some really confident cats do well in strange places, but most do not. One thing I learned from Jeff Holman is that cats need to be “grounded” to their new homes before they are released outdoors. I have to admit that I was pleasantly surprised after A-PAL Humane Society’s first year of placing barn cats to discover that over 95% of new owners said that their barn cats were still with them and thriving. Jeff leaves the cats at their new homes in cages for several weeks before they are considered grounded and released.
Our Executive Director, Cooper Steely, called me to ask what to do with a big orange cat that had been rescued from a field in Sutter Creek by Carol Olson and Joan Martin. Carol had seen this cat acting strangely just rolling and she went to the Paws Partners Center in Jackson where she had begun to volunteer and gathered gloves and a crate and Joan Martin for assistance.
What they discovered was a cat that was totally unaware of their presence and clearly in need of help. This cat stared ahead and did not even seem to know he was being lifted into a crate and he was unable to stand. Long haired and orange, he put up no protest and he was matted and dirty. Cooper was asked to call Acorn Hills Animal Center to see if they would accept this big orange cat who clearly needed the care of a veterinarian.
Animals are always a little bit of mystery because they cannot tell us what is wrong, but this cat was more so because we had no owner history. We wondered if he had been dumped or if he was lost. The mystery was that he was so disabled that he could not possibly have gone far in this condition. We also learned that he was neutered and microchipped and as he improved under the care of Dr. Alison Pillsbury and her staff, she showed that he was sweet, so we knew someone had loved him.
The microchip showed no registry, so the mystery continued for this poor, big orange cat. Initially, he was unable to stand or to eat and was so wobbly that he had to have his head held to be able to take in food. His weight was just over 10lbs and you could feel every rib on his sunken backbone.
After a week we received a call that this cat, who was simply being called Big Orange Cat, was ready to come back to A-PAL and go to foster. As I was picking up another cat, Dr. Alison showed this cat to me explaining that he was now able to stand and eat although unsteady. We agreed that he would go to A-PAL after the weekend and Acorn Hills would work on getting his mats out for us. I told Dr. Alison that I would try to find this cat’s owner. I remembered a post and hoped this would be that cat, snapping a few photos of him before I left.
I went to Amador Animals and Pets Facebook page where I had seen the post and began paging through. After about 30 minutes I found the post. The photos seemed similar, but I could not be sure. First I sent the photo to the person who made the post on the string where she had reported her beloved lost cat and then I realized she might not see it, so I sent her a message asking her to call me. To my surprise, Shaylee Hubbs called me immediately and seemed certain that this was her cat, Nacho. Her post was made in early January and I was calling more than a month later. Could this even be possible?
I explained to her that Nacho was at Acorn Hills Animal Center and asked her to call them. I called Acorn Hills too because we were all in disbelief that we may have located Big Orange Cat’s owner. Shaylee told me that she took her two cats that lived with her in Davis to stay with her parents in Sutter Creek over Christmas break. These cats enjoyed ranch life and were allowed outside and one came back, but Nacho did not.
This cat had weighed 17lbs and dropped 7lbs. during his 5 miles of travel from Quartz Mountain Road to Pine Gulch Road in Sutter Creek. He had endured relentless rain, hail, flooding and extreme cold. The fact that he had gone so far and had escaped predators and extreme weather was a testament to how much he was loved and how determined he was to get home. His family matched his chip number on his paperwork with his chip reading confirming this was indeed their cat Nacho. Shaylee told me many times how grateful they were that he had been found and that all of the family was crying happy tears.
I learned three things from this miracle recovery of Big Orange Cat. First, I would never let a cat outside in a place that may be strange to them. This cat was so loved and well cared for that he miraculously survived. Second is to always double check that your microchip registry actually is recorded. It is possible to think you have successfully recorded your microchip and I encourage everyone to double check. And last, social media can work magic. A big shout out to the Amador Animals and Pets Facebook page and Lori Crisp for getting this Big Orange Cat home. Shaylee posted and this made it possible for her beloved cat to be matched to her and to be returned to the best place for his continued recovery…home.
Like A-PAL on Facebook for “PAWESOME” Updates
Look Inside...
Boys will be Boys ............ 1
2022 Impact Report .......... 2
Lucky Clover .................. 2
Meet Mister Dooley ......... 3
Barn Cat Buddies ............ 3
Save the Dates ............... 4
Donor Thank You ............ 4-5
Tributes & Memorials ...... 6
Donation Form ............... 6
Orange Cat’s Long Journey .. 7
Paws & Claws 80’s Bash ..... 8
Hi! I’m Dooley and I’m the bestest boy! I’d love to go home with you! See my blog on page 3.
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Our Lady of Mt. Carmel Church
120 Prospect Street, Nutley, New Jersey 07110
January 8, 2023
Rev. Paciano A. Barbieto, S.T.L.
Pastor
Rev. Dennis E. Reiff
Pastor Emeritus
Deacon Aldo Antola
Retired Deacon
Sr. Mary Rose Conforto, MPF
Director of Religious Education
Andres Cardona
Director of Music Ministry
Amanda Andrade
Parish Administrative Assistant
Mass Schedule
Monday-Friday: 8:00 a.m.
Saturday Morning: 8:00 a.m.
Saturday, 5:00 p.m.
Sunday: 7:30 a.m., 9:15 a.m., 10:45 a.m. & 12:15 p.m.
Filipino Mass ~ Third Sunday of the month: 5:00 p.m.
Holy Days: As Announced
Sacrament of Reconciliation
Weekdays after the 8:00 a.m. Mass
Saturday: 2:00 p.m.
Devotions
Our Lady of Mt. Carmel Novena: Wednesday following the 8:00 a.m. Mass
First Friday Adoration: following the 8:00 a.m. Mass
Mission Statement
Our mission as a holy parish is to communicate and to celebrate the life and spirit of Jesus by our words and actions in order to build a dynamic, loving, caring and outreaching community of faith.
Rectory Hours
Monday-Friday: 9:00 a.m. to 4:00 p.m. during
The rectory is closed between 12:30 p.m. - 1:30 p.m.
Rectory Phone Numbers
(973) 667-2580
(973) 661-1623
Fax: (973) 667-0648
Emails
email@example.com
firstname.lastname@example.org
Website
www.olmc-nutley.org
Marriages
Please schedule at least ONE YEAR in advance of your wedding. Pre-Cana and other instruction sessions are required.
Sacraments of Healing
Please notify the parish office if someone is ill at home.
Baptisms
We request parents attend a Baptism Instruction Session before the birth of their child. The Sacrament of Baptism is usually celebrated the third Sunday of each month, except during Lent (when we will not celebrate the sacrament until Easter). All Baptisms are scheduled in person at the rectory.
Parish Membership
All are welcome to join our Parish Family. Parish policy requires registration to participate in Baptism, Marriage and Religion Classes. Please notify the office when a change of address or move occurs.
Mass Intentions
Saturday January 7
8:00 a.m. Abelardo and Socorro Sison
5:00 p.m. Stella Ciba
Sunday January 8
7:30 a.m. Paul Wolf
9:15 a.m. Bill Parker
10:45 a.m. Ed Palomo
12:15 p.m. Beverly Gall
Monday January 9
8:00 a.m. Anthony Testa
Tuesday January 10
8:00 a.m. Elizabeth Ng
Wednesday January 11
8:00 a.m. Julia Quiles
Thursday January 12
8:00 a.m. Dennis Bronner Jr.
Friday January 13
8:00 a.m. Benito Libunao
Saturday January 14
8:00 a.m. Living and Deceased Members of the Cucinello and Mazza Families
5:00 p.m. Frank Rocco Santo
Sunday January 15
7:30 a.m. Josephine Wolf
9:15 a.m. Aries Nano
10:45 a.m. Betty Fusaro
12:15 p.m. James and Lina Rizzi
Prayers for Health Reasons
Delfina Alessio, Frank Alvarenga, Ariel Andrade, Caren Angrisano, Melissa Benimeo, George Berkovich, Dorothy Bogacz, Charles Brunquell, Jesse Bruno, Eleanor Brush, Erlinda Cajigas, Rose Marie Candiloro, Rudolfo Clavecilla, Ronald Cozzarelli, Marion Dellanno, Ana Marie de Vera, Donald Di Benedetto, Joshua Di Costanzo, Richard Dinzes, Veronica Duff, Melanie Entena, Domenick Falduto, Anna Marie Ferrante, Connie Garcia, Robert Griffin, Patricia Holevas, Justin, Carol Kaufman, Robert Krupinski, Lucille Victoria Magalong, Rodrigo Magalong, Peter Maioriello, Rita Mata, Cynthia McDevitt, Melanie McGowan, Eve McKay, Madeline Micael, Lawrence Miller, Carmela Moeller, Frances Nawolski, Karen Ann Niles, Jack Nitz, Raffaela Notari, Karen P., Robert Palmer, Maria A. Penaranda, Evelyn Perry, Rosalie Petracca, Vincent Petracco, Anthony Petrillo, Simplicia Ramirez, Richard Reidy, Albert Reyes, Jocelyn Reyes, Marie Rispoli, Jaxson Rivera, Robert D. Roberto, Roberto N. Roberto, Anne Rotonda, Joanne Sacchetti, Josephine Senek, Damaso (Jun) Serrano, Susan, Margaret Strawn, John Tiseo, Mariana Toledo, James Tressito, Margarita Ufret, Diana Vaicels, Mary Ann Vialu, Gina Villaggio, Eileen Wohlert, Dominick Zungri, Romona Zungri
Mass Intentions
Masses are available for the 2023 year. Also, come to the rectory to: Make an offering in honor or in memory of a loved one for The Sanctuary Light, Bread and Wine or Church Flowers.
If you need to visit or call the rectory on Mondays and it is not an emergency, we would sincerely appreciate your consideration and assistance in delaying your visit or call until after 11:30 a.m. Thank You!
Baptism Information
If you are expectant parents, please arrange to attend our Baptismal Instruction Program before the birth of your child. Baptismal Instruction and Baptisms must be scheduled in person, at the rectory. The next Baptism is January 15. Please visit our website to read guidelines for Godparents and for a complete Baptismal Schedule.
The Sanctuary Light honoring the Eucharistic Presence of Our Lord in the Tabernacle is lit in Honor and Memory of Dan Spera
The Bread and Wine offering this week is in Honor and Memory of People of the Parish
Christmas Collection: $14,650
Epiphany Prayer
That I May Find You There
Lord of all nations,
I asked how you will know me.
You answered that you will know the ones
who have fed you
When they have fed the least of your people.
Send me out to the most famished land
That I may find you there
And give of my portion to eat.
You answered that you will know the ones
who have given you water
When they have given water to the least of
your people.
Send me out to the driest land
That I may find you there
And give of my portion to drink.
You answered that you will know the ones
who have clothed you
When they have clothed the least of your
people.
Send me to where the elements have made
too large a claim
That I may find you there
And share with you my cloak.
You told me I will know you in the sick:
Send me among the most plagued.
You told me I will know you in the prisoner:
Send me into the midst of the darkest cell,
Into the slave master’s marketplace,
For I seek you with all my heart.
As you were revealed in your glory to all
nations
Through the miracle of the Epiphany
May you so be revealed through all ages
In the faces of your people:
In their joy and in their struggle
In their dignity and in their vulnerability.
And when I find you in these,
Let them ask who is this Lord who has
sent me,
So that they may find you in me as well.
Amen
Source: https://www.crs.org/resource-center/epiphany-god-all
Religious Education
A complete Calendar of Classes is available on our website at:
www.olmc-nutley.org/religious-education
Come Sing With Us!
We are looking for members to join both Adult and Youth Choir! If you or your child enjoys singing, please contact Andres at 347-678-6702. Adult choir practice is each Wednesday night 7:30 p.m. (singing at the 12:15 Mass) and Youth choir practice is each Thursday night 7:00 p.m. (singing at the 10:45 Mass).
You Are Not Alone (YANA)
The Parish Bereavement Support Group meets the second Wednesday of the month from 7:30 - 9:00 p.m. in the Parish Hall. Meetings are postponed until further notice. In the meantime, St. Mary’s Church in Nutley has a group that meets Wednesday evenings in Monsignor Walsh Hall from 5:30 – 7:00 p.m. Please contact Taji at email@example.com if you are interested.
Communion for the Homebound
Upon request, Communion will be brought to any parishioner confined to the home. Please contact Denise at 973-542-0191. Reminder: those who are seriously ill, or weak from the burden of years, should request the Anointing of the Sick ~ to schedule: please contact the Rectory.
OLMC Website
Visit our website www.olmc-nutley.org to read updated information, check out the latest bulletin, get Religious Education news, Mass schedules, find out more information about our various organizations events, and much more. Pay us a visit!
Join Us...
Knights of Columbus
The group meets the first and third Tuesday of the month at 8:00 p.m. Meetings are held September through June. To join: email Ken at firstname.lastname@example.org or call the Rectory.
OLMC Rosary Society
The group meets the first Thursday of the month at 1:00 p.m. Our meetings will resume at a later date. For more information call Denise (973) 542-0191. New members welcome!
Women’s Auxiliary
The group meets the second Monday of the month at 1:00 p.m. Our next meeting will be January 9. For more information call Linda, (973) 661-0090 or email at email@example.com. New members welcome!
Accountability With Heartfelt Thanks
Catholic Charities received $979.00 as a result of your generosity to our Donation Bin(s) in our parish parking lot from June 1, 2022 to November 30, 2022. These funds combined with monies from other parishes in a similar program throughout the Archdiocese enabled Catholic Charities to show the compassion of Christ through 79,566 mental health services provided to 3,768 people (FY 21/22). Thank you for being our partner and enabling us to bring Christ’s love to the most vulnerable in our society.
Prayer for the Baptism of the Lord
Almighty ever-living God, who, when Christ had been baptized in the River Jordan and as the Holy Spirit descended upon him, solemnly declared him your beloved Son, grant that your children by adoption, reborn of water and the Holy Spirit, may always be well pleasing to you. Through our Lord Jesus Christ, your Son, who lives and reigns with you in the unity of the Holy Spirit, one God, for ever and ever. Amen
Food Pantry
Many people only donate to food pantries at holiday times. We sincerely appreciate your generosity throughout the year. Donations to our Food Pantry may include non-perishable foods: such as soups, sauces, pasta, rice, cereals, dry milk, canned foods, as well as toiletries.
Please check expiration dates before donating food. Please drop off food donations in one of the church vestibules. Please refrain from leaving donations on the porch of the rectory.
Parish Membership … Why is it Important?
In order for the parish to keep accurate records, please notify the parish office of any changes in your address or phone number. In order for us to testify to your ability for sponsorship in Baptism, Confirmation or witness to a Catholic marriage, it is necessary to be a registered member of this parish. To register, fill out the form below and place in the collection basket.
Quick Parish Registration Request
Our welcome mat is always out. If you enjoy worshipping at Our Lady of Mount Carmel Church, make us your official Parish by taking a few moments to register. You may also download a registration form on our website. All information is confidential.
I wish to register as a Parishioner of OLMC.
Name: _______________________________________
Address: _____________________________________
City/Town: ____________________________________
Telephone: ____________________________________
☐ New Registration ☐ Change of Address
Stewardship
We have an obligation to share with others that which God has given us. Share your time and talents. Everyone can become involved in the life of our Parish by becoming an Altar Server, Catechist, Choir Member, Lector or Usher. By taking an active role in the liturgical life, and service of the Parish, you can have a wonderful experience. Please complete the below form, and drop it in the collection basket or call the rectory.
Ministry Sign Up Form
Name: _______________________________________
Address: _____________________________________
Town/Zip: ____________________________________
Phone: _______________________________________
I am interested in the following Ministry(ies):
☐ Altar Server
☐ Catechist
☐ Lector
☐ Choir
☐ Other _____________
Epiphany
Epiphany, also Theophany, Denha, Little Christmas, or Three Kings’ Day, is a Christian feast day that celebrates the revelation of God incarnate as Jesus Christ. In Western Christianity, the feast commemorates principally (but not solely) the visit of the Magi to the Christ Child, and thus Jesus’ physical manifestation to the Gentiles. Moreover, the feast of the Epiphany, in some Western Christian denominations, also initiates the liturgical season of Epiphanytide. Eastern Christians, on the other hand, commemorate the baptism of Jesus in the Jordan River, seen as his manifestation to the world as the Son of God. Qasr el Yahud in the West Bank, and Al-Maghtas in Jordan, on the east bank, is considered to be the original site of the baptism of Jesus and the ministry of John the Baptist. The traditional date for the feast is January 6. Eastern Churches following the Julian calendar observe the feast on what for most countries is January 19 because of the 13-day difference today between that calendar and the generally used Gregorian calendar. In many Western Christian Churches, the eve of the feast is celebrated as Twelfth Night. The Monday after Epiphany is known as Plough Monday.
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Hydrography and circulation near the crest of the East Pacific Rise between 9° and 10°N
A.M. Thurnherr a,*, J.R. Ledwell b, J.W. Lavelle c, L.S. Mullineaux d
a Division of Ocean and Climate Physics, Lamont-Doherty Earth Observatory, Palisades, NY 10964-8000, United States
b Department of Applied Ocean Physics and Engineering, Woods Hole Oceanographic Institution, Woods Hole, MA 02543, United States
c NOAA/Pacific Marine Environmental Laboratory, Seattle, WA 98115, United States
d Department of Biology, Woods Hole Oceanographic Institution, Woods Hole, MA 02543, United States
ARTICLE INFO
Article history:
Received 25 May 2010
Received in revised form 12 December 2010
Accepted 25 January 2011
Available online 3 March 2011
Keywords:
Deep circulation
Hydrography
East Pacific Rise
Mid-ocean ridge
ABSTRACT
Topography has a strong effect on the physical oceanography over the flanks and crests of the global mid-ocean ridge system. Here, we present an analysis of the hydrography and circulation near the crest of the East Pacific Rise (EPR) between 9° and 10°N, which coincides with an integrated study site (ISS) of the RIDGE2000 program. The analysis is based primarily on survey and mooring data collected during the LADDER project, which aimed to investigate oceanographic and topographic influences on larval retention and dispersal in hydrothermal vent communities. Results indicate that the yearly averaged regional mean circulation is characterized by a westward drift of 0.5–1 cm s⁻¹ across the EPR axis and by north- and southward flows along the western and eastern upper ridge flanks, respectively. The westward drift is part of a basin-scale zonal flow that extends across most of the Pacific ocean near 10°N, whereas the meridional currents near the ridge crest are a topographic effect. In spite of considerable mesoscale variability, which dominates the regional circulation and dispersal on weekly to monthly time scales, quasi-synoptic surveys carried out during the mooring deployment and recovery cruises indicate sub-inertial circulations that are qualitatively similar to the yearly averaged flow but associated with significantly stronger velocities. Weekly averaged mooring data indicate that the anticyclonically sheared along-flank flows are associated with core speeds as high as 10 cm s⁻¹ and extend ≈10 km off axis and 200 m above the ridge-crest topography. Near the northern limit of the study region, the Lamont Seamount Chain rises from the western ridge flank and restricts along-EPR flow to five narrow passages, where peak velocities in excess of 20 cm s⁻¹ were observed. Outside the region of the ridge-crest boundary currents the density field over the EPR near 10°N is characterized by isopycnals dipping into the ridge flanks. Directly above the EPR axis the ridge-crest boundary currents give rise to an isopycnal dome. During times of strong westward cross-EPR flow isopycnal uplift over the eastern flank causes the cross-ridge density field below the doming isopycnals to be asymmetric, with higher densities over the eastern than over the western flank. The data collected during the LADDER project indicate that dispersal of hydrothermal products from the EPR ISS on long time scales is predominantly to the west, whereas mesoscale variability dominates dispersal on weekly to monthly time scales, which are particularly important in the context of larval dispersal.
© 2011 Elsevier Ltd. All rights reserved.
1. Introduction
Despite significant advances in measurement technology and numerical modeling, regional circulation patterns in many parts of the deep ocean remain largely unknown. This is particularly true near mid-ocean ridges, where topography affects the oceanic velocity field across a wide range of scales. Some topographic effects, such as kinematic steering and blocking, affect the circulation directly. Other topographically mediated processes, such as internal waves and hydraulic transitions, result in spatially inhomogeneous diapycnal mixing, which in turn sets up horizontal density gradients that drive secondary flows. Topographic rectification of oscillatory flows constitutes yet another mechanism affecting the oceanic circulation near topography.
The physical oceanography in the vicinity of topography is important in a variety of contexts. Topographic blocking by ridges separating deep ocean basins, for example, controls the hydrographic properties of the densest bottom waters in the downstream basins and, thus, sets the stratifications in large parts of the deep ocean. On a global scale, closing the overturning circulation requires the production of dense water at high latitudes to be balanced by buoyancy gain elsewhere. Observational evidence collected during...
the last few decades indicates that, except near the sea surface, diapycnal buoyancy fluxes are elevated primarily near topography, in particular over the rough flanks of mid-ocean ridges (Polzin et al., 1997; Kunze et al., 2006). On regional scales, circulation and mixing near the crests of mid-ocean ridges largely control the initial dispersal of materials released at hydrothermal sources (e.g. German et al., 1998; Thomson et al., 2003; Jackson et al., 2010; Walter et al., 2010), including the larvae of chemosynthetic organisms, many of which are endemic to hydrothermal vent fields.
Given the distribution of hydrothermal sources along the crests of the global mid-ocean ridge system and the finite life span of invertebrate larvae there are many open questions related to how the populations of the chemosynthetic communities associated with hydrothermal vent fields can be maintained, how sites destroyed, for example, by volcanic eruptions can be re-populated, and how newly established sites can be colonized. In order to address these questions a project called LADDER (LArval Dispersal along the Deep East-Pacific Rise) was carried out to investigate oceanographic and topographic influences on larval retention and dispersal in hydrothermal vent communities on the crest of the EPR between 9° and 10°N (Mullineaux et al., 2008). Typical for fast-spreading ridges, the EPR crest in this region hosts numerous hydrothermal sources (e.g. Baker et al., 1994), which is one of the reasons that it has been designated by the US RIDGE2000 program as an Integrated Study Site (ISS) with a “bullseye” centered at 9°50′N.
Before the LADDER project was carried out, little had been known about the regional circulation near the EPR crest between 9° and 10°N. During a survey of hydrothermal plumes over the ridge crest Baker et al. (1994) found zonally asymmetric distributions of hydrothermal particle- and temperature anomalies, indicating preferentially westward cross-ridge flow in November/December 1991. Westward large-scale mean flow near the EPR crest depth (∼2500 m) in this region is consistent with the deep helium distribution in the tropical North Pacific (Lupton, 1998) and with the circulation analysis of Reid (1997) (who uses the helium data as a constraint). In addition to those indirect inferences there are also current-meter records from a few mooring deployments on the EPR crest at 9°50′N. One example is the ∼5-month record, obtained 170 m above the seabed, that was used by Marsh et al. (2001) to assess the dispersal potential of a particular hydrothermal organism. The corresponding time series of sub-inertial velocities is characterized by periodic reversals of the along-ridge flow and sustained episodes of both east- and westward across-ridge flow. The zonal record mean is 0.3 cm s⁻¹ to the west, consistent with the indirect inferences of westward large-scale mean flow across the EPR crest in this region. The corresponding meridional record-mean flow is 0.8 cm s⁻¹ to the south. In their analysis of data from two zonal hydrographic sections across the EPR, including one at 9°30′N, Thompson and Johnson (1996) found an ∼700–900 m thick layer where the deep isotherms and isopycnals dip downward into the ridge flanks. If the flow in this layer, which Thompson and Johnson (1996) attribute to a combination of enhanced diapycnal mixing and geothermal heating on the ridge flank, is geostrophically balanced, and if the meridional velocities vanish above the layer of dipping isotherms and isopycnals, the hydrographic data imply a southward boundary current along the western ridge flank with a mean velocity of a few mm s⁻¹.
The primary goal of the present study consists of an analysis of the regional circulation near the EPR crest between 9° and 10°N, based on observations collected during the LADDER project augmented with publicly available historical data (Section 2). Following a description of the large-scale context of the physical oceanography near the ridge crest (Section 3) pertinent aspects of the LADDER observations are presented in Section 4. Analysis of the LADDER results includes a detailed description of the density field over the EPR crest and upper flanks (Section 4.1), yearly averaged mean velocities recorded by instruments deployed on the LADDER mooring array (Section 4.2), weekly averaged velocities observed during a 1-month tracer-release experiment (Section 4.3), as well as details of the circulation observed near the Lamont Seamount Chain rising above the upper western EPR flank near 10°N (Section 4.4). Synthesis of the main results (Section 5) is followed by a discussion in Section 6.
2. Methods
2.1. Instruments and data
Work carried out in the context of the LADDER project includes larval sampling using pumps and sediment traps (Mullineaux et al., in preparation), an SF₆ tracer-release experiment (Jackson et al., 2010), a one-year deployment of a mooring array, three quasi-synoptic regional surveys carried out with Conductivity–Temperature–Depth (CTD) and Lowered Acoustic Doppler Current Profiler (LADCP) instruments, as well as numerical experiments with 2- and 3-dimensional regional circulation models (McGillicuddy et al., 2010; Lavelle et al., 2010).
During the first LADDER cruise (LADDER-1; October 30–November 15, 2006) seven physical oceanography moorings were deployed in a cross-shaped configuration extending ∼35 km from the array center on the EPR crest at 9°30′N—see Fig. 4 for mooring locations and station names. The center of the mooring array coincided with the release location of SF₆ in the LADDER tracer-dispersion experiment (Jackson et al., 2010). The three axial moorings (NA, CA and SA) and the two moorings farthest from the ridge axis (EF and WF) were each equipped with three Aanderaa RCM-11 current meters. The uppermost instruments recorded the velocities near 2450 m in the core of the hydrothermal plumes observed in this region (Baker et al., 1996; Jackson et al., 2010). The lowermost instruments on the three axial moorings were located 6 m above the seabed, near the rim depth of the shallow axial trough running along the EPR crest in this region (Fornari et al., 1998). Each axial mooring additionally had an instrument placed 24 m above the seabed. The lower two instruments on the EF and WF moorings were installed near the EPR crest depth (nominally 2550 m) and ∼60 m above the seabed. All current meters were programmed to sample the velocity field every 20 min. With the exception of the EF mooring, where the deepest instrument flooded during deployment, all current meters returned full year-long records without any indications for instrument problems.
Two additional moorings equipped with McLane Moored Profilers (MMPs) were deployed on the western ridge flank ∼10 and 25 km off axis (W1 and W3 in Fig. 4). At W1, velocity profiles were recorded every 7 h between 2300 and 2775 m (∼10 m.a.b. = meters above the bottom). Since this MMP was ballasted light, the downcasts took about twice as long to execute (∼60 min) than the upcasts (∼30 min). Inspection of the raw magnetometer data from the W1 MMP indicates that a compass problem (non-linear magnetometer response) developed after 176 days (603 good profiles). At W3, velocity profiles were recorded every 8:50 h between 2255 and 3025 m (∼10 m.a.b.). This MMP, too, was ballasted light, resulting in longer downcast- (∼80 min, initially) than upcast-times (∼50 min). After the first 2 months of deployment the downcast-times started increasing significantly as the instrument began struggling against buoyancy and after a further 2 months the termination depths of the downcasts became progressively shallower. Toward the end of the deployment the typical maximum depth of the W3 MMP profiles had decreased to ∼2800 m.
During LADDER-1, a survey of the regional hydrography and velocity field was carried out with an SBE 911 CTD mounted on a frame together with a rosette and one or two Teledyne RDI Workhorse 300 kHz ADCPs. The CTD was equipped with sensors for pressure, temperature and conductivity. Temperature and conductivity were measured with two thermistors and two conductivity cells, respectively. The ADCPs were programmed to collect single-ping velocity “ensembles” in beam coordinates. The bin length was set to 8 m, the blanking distance to 0 m and data from the first bin were excluded from processing. In order to minimize the effects of previous-ping interference from the seabed, alternating ping intervals of 1.5 and 2 s were used. During the LADDER-1 survey, 36 full-depth profiles were collected on 15 stations in a cross-shaped pattern coinciding with the mooring array but with higher spatial resolution, in particular along the EPR crest and on the eastern ridge flank—for station locations, see Fig. 5. In order to be able to account for high-frequency variability, most of the LADDER-1 CTD/LADCP stations were occupied two or three times at different phases of the semi-diurnal tide, which accounts for 55–72% of the velocity variance on time scales shorter than 5 days in this region. (The inertial period at this latitude is ≈ 3 days.) The good agreement of vertical velocity shear of ensemble-averaged LADCP profiles collected on the ridge flanks during LADDER-1 with corresponding geostrophic estimates (Fig. 12) implies that tidal influence in the ensemble averages is significantly reduced compared to individual LADCP profiles.
The second LADDER cruise (LADDER-2; December 12, 2006–January 3, 2007) was primarily dedicated to sampling the tracer released during LADDER-1. CTD/LADCP data were collected with instruments identical to those used during LADDER-1 at all 100 tracer-sampling stations shown in Fig. 1 of Jackson et al. (2010). However, since tidal variability dominates instantaneous velocity samples in this region, and since only a few of the LADDER-2 stations were occupied multiple times (and without regard to the tidal phase) only a small subset of the LADDER-2 survey data is used here. During the third LADDER cruise (LADDER-3; November 15–December 1, 2007) the mooring array was recovered and an additional CTD/LADCP survey was carried out, again with identical instruments. About a third of the 50 LADDER-3 CTD/LADCP profiles were collected on stations occupied during LADDER-1 while most of the remainder were used to sample the velocity field and hydrography near the Lamont Seamount Chain rising above the western flank of the EPR near 10°N (for details, see Section 4.4).
In addition to the data collected during LADDER, this study makes use of hydrographic and helium isotope measurements obtained during World Ocean Circulation Experiment (WOCE) hydrographic sections (in particular the zonal P04 section along 9°30′N) in the tropical north Pacific. Furthermore, the trajectory of a METOCEAN PROVOR float, which was deployed in May 2006 on the EPR crest at 9°50′N, is also used. The float was programmed to drift at its maximum rated pressure (2000 dbar, corresponding to a depth of ≈ 1980 m) and to surface every 30 days for 18 h for data telemetry and position fixes. The float carried out 29 complete drift cycles before failing to re-surface.
### 2.2. Data processing
The velocities from the Aanderaa current meters were corrected for magnetic declination. Processing of MMP velocities is significantly more complex and potentially involves corrections for heading errors, as well as for velocity bias and scale of the FSI acoustic travel-time current meters (Toole, 2001). In order to determine heading corrections, post-cruise spin tests were carried out. In the case of the W1 instrument the post-cruise test indicates sizeable heading-dependent compass errors (15° max., 9° rms) while the errors of the W3 compass were significantly smaller (< 1.5° rms). Since the W1 compass errors detected during the post-cruise spin test are likely related to the non-linear magnetometer response that developed while the instrument was in the water (Section 2.1), no compass correction was applied and only the initial portion of the W1 velocity record was used. In order to correct for velocity bias, the *in situ* method of Toole (2001) was applied. It was found that this calibration procedure has a strong effect on the velocities, changing the direction of the record-averaged mean flow recorded by the W1 instrument by up to 20° and reducing the corresponding mean velocity magnitude in the core of the along-flank boundary current (see Section 4.3) from 4.1 to 2.4 cm s⁻¹. In terms of flow direction, the calibrated velocities are clearly superior to the uncalibrated ones as indicated, for example, by histograms of the angle of flow incidence relative to the instrument (not shown). Since no laboratory calibrations of the FSI current meters were carried out the accuracy of the velocity scaling could not be verified, but comparisons of weekly averaged velocities recorded on the W3 and WF moorings (e.g. Fig. 7) suggest that MMP scale errors are small.
During each CTD/LADCP survey the salinity calibration of the CTD was monitored with water samples analyzed on a Guildline Autosal salinometer. The accuracy of the salinity data determined from the Autosal measurements is ≤ 10⁻³ for LADDER-1 and -2, and ≤ 2 × 10⁻³ for LADDER-3. The *rms* salinity scatter on deep isopycnals during LADDER-1 is ≈ 10⁻³, as is the cruise-to-cruise salinity uncertainty between LADDER-1 and -2 (Jackson et al., 2010). Near the EPR crest, a salinity bias of 10⁻³ corresponds to a potential-density error of < 10⁻² kg m⁻³. The temperature accuracy is estimated from the mean differences between the two CTD temperature sensors; the corresponding values for the LADDER-1, -2 and -3 surveys are ≈ 5 × 10⁻⁴, 10⁻³, and 1.5 × 10⁻³ °C, respectively. Near the EPR crest, a temperature bias of 10⁻³ °C corresponds to a potential-density error of ≈ 10⁻⁴ kg m⁻³. The manufacturer-specified nominal accuracy of the CTD pressure sensor is ≈ 1 dbar.
The LADCP data collected during the three LADDER cruises were processed dozens of times with different programs and velocity-referencing constraints in the context of an investigation of LADCP velocity errors (Thurnherr, 2010). Based on comparisons with nearby current-meter measurements the *rms* errors associated with the individual velocity components of the LADDER LADCP data, processed with the LDEO software (Version IX_5) and constrained by navigational data, shipboard-ADCP and bottom-tracking, are < 3 cm s⁻¹ near the seabed and < 4 cm s⁻¹ throughout the water column. Only the data from the downward-looking ADCP are used for the LADDER-3 LADCP profiles because of inconsistencies between the ADCP data from the two heads used during that cruise (Thurnherr, 2010).
### 3. Large-scale context
The study region of the LADDER project was centered on the crest of the EPR near 9°30′N. Hydrographic and tracer data were collected in 1989 along 9°30′N during a trans-Pacific cruise both known as the EPIC trans-pacific section at 10°N (Thompson and Johnson, 1996) and as WOCE P04. On the basin scale, the distribution of terrigenic helium along 9°30′N is dominated by a plume with a core depth between 2000 and 2500 m (Fig. 1, shading and light contours). The highest helium concentrations are found near the EPR crest at 104°15′W. Meridional WOCE cross-sections of the plume at 110°W (P18), 135°W (P17), 150°W
(P16), 179°E (P14), 165°E (P13) and 137°E (P09) all show a helium core meridionally centered at $10 \pm 5°N$, i.e. the plume extends almost exactly zonally westward over more than 13,000 km. Overall, the helium distribution in the deep tropical north Pacific is consistent with a source on the EPR crest and predominantly westward mean flow (Lupton, 1998). As the plume is advected to the west its core is progressively found on lighter isopycnals (dark contours in Fig. 1). This effect can be caused both by vertical shear in the mean zonal flow and by vertical gradients in the eddy-diffusive helium fluxes along the dispersal path of the plume.
The track of a float that was deployed in May 2006 over the EPR crest at 9°50′N and that drifted for 900 days near 2000 m shows predominantly westward advection, although about a third of the individual drift cycles were associated with eastward displacements (Fig. 2). During its voyage, the float carried out three anticyclonic loops, each lasting several months and associated with meridional displacements of $\approx 100$ km, although the net meridional displacement over the float’s entire life time was only 30 km. The net zonal displacement was 640 km, which corresponds to a mean westward velocity with a speed of 0.8 cm s$^{-1}$. Thus, both the helium and float data indicate mean westward flow across the EPR crest near 9°30′N. It is noted that the high $\delta^{3}$He observed in the Guatemala basin east of the EPR crest (Fig. 1) does not require an additional source or eastward mean flow as eddy-diffusive effects, e.g. associated with the oceanic mesoscale, can cause dispersion of passive tracers against a sufficiently weak mean flow (e.g. Speer et al., 2003).
4. LADDER observations
4.1. Ridge-crest hydrography
Typical for hydrographic sections across mid-ocean ridges, the deep isopycnals observed during WOCE P04 dip downward into both flanks of the EPR (Fig. 1). This effect is sometimes attributed to elevated levels of diapycnal mixing over the sloping and topographically rough ridge flanks, possibly in combination with geothermal heating (e.g. Thompson and Johnson, 1996; Thurnherr and Speer, 2003). Zooming in on the EPR reveals that the hydrography near the crest is complex and associated with horizontal scales that are too small to be resolved by the WOCE station spacing (Fig. 3). The isopycnal surfaces dome upward over the ridge crest both in the WOCE P04 data and in a cross-ridge section along 9°30′N occupied during LADDER-1. During LADDER-1 this doming extended at least up to 2200 m, whereas the corresponding vertical extent is difficult...
to estimate from the WOCE data because the station spacing (≈ 37 km over the crest) is larger than the width of the isopycnal dome (20–30 km in the LADDER-1 data). Beyond the doming region the isopycnals at and below crest depth dip downward into the western ridge flank in both the WOCE and LADDER-1 data. Over the eastern ridge flank the isopycnals in the WOCE data dip downward into the topography east of station 191 (i.e. outside the LADDER-1 sampling region). The LADDER-1 data, on the other hand, show the isopycnals below crest depth rising toward the west between the eastern edge of the sampling region and the ridge crest. As a result, the density stratification below crest depth on the western EPR flank close to the ridge axis was significantly weaker than the stratification on the eastern flank. This is apparent from the fact that the two deepest LADDER-1 density contours in Fig. 3 do not appear on the western flank at all. Farther down on the ridge flanks, i.e. outside the LADDER sampling region, the situation is reversed with significantly weaker stratification east of the EPR crest than in the west (WOCE-derived density contours in Figs. 1 and 3).
4.2. Yearly averaged mean flow
Record-averaged velocities from the LADDER mooring array are shown in Fig. 4. The corresponding current-meter locations and MMP record depths are marked with bullets and diamonds in Fig. 3. Table 1 lists additional instrument details of the records nominally collected at 2450 m, which corresponds to the core depth of the neutrally buoyant hydrothermal plumes observed in this region (Baker et al., 1994; Jackson et al., 2010), as well as the corresponding record means with standard-error estimates derived using the method of Flierl and McWilliams (1978). As this method yields conservative estimates we consider the yearly averages marginally significant, as long as the standard-error estimates are only slightly (1–2 mm s⁻¹) larger than the corresponding means. Except for the current meters on the northern axial mooring at 9°50′N (NA) all instruments recorded mean zonal flow to the west, with record-averaged zonal speeds ranging from 0.3 to 0.7 cm s⁻¹. The meridional velocities recorded directly on the EPR axis as well as over the eastern flank indicate mean southward flow during LADDER. Over the western ridge flank, on the other hand, the record-averaged currents at W1 and WF were to the north while weak southward mean flow was recorded at W3 throughout the entire depth range where velocities were sampled during the full deployment period (≈ 2300–2800 m; Section 2.1). Comparing the record-averaged velocities at plume level to the corresponding standard errors (Table 1) indicates that the westward zonal velocities are all marginally statistically significant, whereas the apparent eastward flow at NA is not. The only plume-level meridional velocities that are (marginally) statistically significant are those at NA, EF and WF.
Data from the axial moorings (NA, CA and SA) all show slightly higher record-averaged speeds 20 m.a.b. than at plume level (Fig. 4), indicating bottom intensification of the low-frequency flow above the EPR crest. At 6 m.a.b., the mean velocities are ≈ 50% weaker than the corresponding velocities recorded 20 m.a.b., consistent with the effects of a turbulent bottom-boundary layer. Furthermore, the deepest velocities are associated with approximately southward directions (not shown), which likely reflects topographic steering by the shallow axial trough running along the EPR crest in this region (Fornari et al., 1998).
The largest record-averaged velocities of 2.4(± 1.0) cm s⁻¹ were observed between 2730 and 2750 m (60–80 m.a.b.) by the MMP deployed at W1 (Fig. 4). Between the upper cycling limit of this profiler (2300 m) and the velocity maximum the record-averaged speed increases monotonically with depth. Inspection of multibeam bathymetry near the W1 mooring location indicates that the flow direction in the velocity core (≈ 320° true) is parallel to the topographic contours upstream of the mooring (not shown). The maximum velocity variance associated with the sub-inertial flow at this location is oriented in the same direction, whereas the semi-diurnal tidal variance, which dominates the super-inertial variability, is oriented approximately perpendicularly along 70° true
Fig. 4. Record-averaged current-meter velocities from the LADDER mooring array; the 6-month W1 record is approximately half as long as all the others (Table 1). White, gray, and black arrows show velocities at plume level ($\approx 2450$ m), crest level (20 m.a.b. on axis, $\approx 2550$ m over the ridge flanks) and 60 m.a.b. (2745 m at W1, 2930 m at WF), respectively. The depths of the velocity records are indicated with bullets and diamonds in Fig. 3.
Table 1
Instrument details and record-average velocities near 2450 m obtained on the LADDER mooring array; velocity components that are considered (marginally) significantly different from zero are shown in bold.
| id | Location | Rec. length (days) | Depth (m) | Instr. | Zonal velocity (cm s$^{-1}$) | Meridional velocity (cm s$^{-1}$) |
|----|-------------------|--------------------|-----------|--------|-----------------------------|----------------------------------|
| NA | 9 50.0'N, 104 17.4'W | 388 | 2430 | RCM-11 | 0.5(±0.9) | −0.6(±0.6) |
| CA | 9 29.9'N, 104 14.5'W | 381 | 2440 | RCM-11 | −0.5(±0.6) | −0.4(±0.7) |
| SA | 9 09.0'N, 104 12.5'W | 366 | 2440 | RCM-11 | −0.6(±0.7) | −0.6(±0.9) |
| EF | 9 33.1'N, 103 52.3'W | 392 | 2460 | RCM-11 | −0.6(±0.6) | −0.5(±0.4) |
| WF | 9 26.6'N, 104 32.3'W | 384 | 2480 | RCM-11 | −0.3(±0.4) | 0.4(±0.4) |
| W1 | 9 29.8'N, 104 19.8'W | 176 | 2450 | MMP | −0.7(±0.9) | 0.4(±0.9) |
| W3 | 9 28.2'N, 104 29.0'W | 333 | 2450 | MMP | −0.5(±0.4) | −0.1(±0.6) |
(not shown). Therefore, 320° true is taken as the local along-flank direction at the W1 mooring site. (The mean along-flank velocity profile shown in Fig. 4 of McGillicuddy et al. (2010) is also oriented along 320° true.)
4.3. Circulation during the tracer-release experiment
Between mid-November 2006 and the beginning of January 2007 a tracer-dispersion experiment was carried out in the LADDER study region (Jackson et al., 2010). The LADCP data from the tracer-release cruise (LADDER-1; October 30–November 15) reveal a coherent mean circulation characterized by a broad westward drift of several cm s$^{-1}$ across the EPR and predominantly southward flow of similar magnitude along the eastern ridge flank at and below the core depth of the regional hydrothermal plumes (Fig. 5). On the western ridge flank at 2000 m, i.e. 500–600 m above the EPR crest, the meridional component of the LADDER-1 LADCP velocities was consistently to the north (left panel). At plume level (right panel), northward flow over the western ridge flank was restricted to the first station west of the ridge crest (W1). A cross-ridge section of velocity constructed from the LADDER-1 profiles at 9°30′N indicates that the westward flow across the EPR crest generally increased upward and extended all the way to the sea surface (Fig. 6). The meridional velocities, on the other hand, were more variable with the comparatively strong along-flank flows restricted to the steep (rise/run $\approx 0.03$) inner flanks of the EPR (roughly between stations W2 and E2).
On November 12, 2006, shortly before the end of the LADDER-1 cruise, 3 kg of SF$_6$ was injected a few meters above the seabed on the EPR crest at 9°30′N (Jackson et al., 2010). Approximately a
Fig. 5. LADCP-derived velocities observed during LADDER-1. Each arrow represents an average over a 100 m-thick layer using the data from all profiles collected at a particular station. Except for the northern- and southernmost locations, each station was occupied two or three times at different phases of the semi-diurnal tide. Left panel: Flow at 2000 m. Right panel: Flow at 2450 m near the core depth of the regional hydrothermal plumes.
Fig. 6. Temporally averaged LADCP-velocity sections and potential-density contours across the EPR observed during LADDER-1. Each station, labeled above the figure panels, was occupied two or three times at different phases of the semi-diurnal tide. The potential-density contours are also shown in Fig. 3. Red/blue colors indicate positive/negative velocity components; unshaded regions indicate speeds < 2 cm s\(^{-1}\), which is the approximate magnitude of the ensemble-average velocity uncertainties at each station. Left panel: Zonal velocities. Right panel: Meridional velocities.
month after the tracer release the distribution of SF\(_6\) was sampled during the 3-week-long LADDER-2 cruise (December 15–January 3). In the first four weeks after tracer injection the sub-inertial flow at the tracer-release location in the center of the mooring array (CA) at 2450 m gradually turned clockwise from approximately northwestward while first increasing and then decreasing in strength (Fig. 7, left panel). A similar evolution of the plume-level sub-inertial velocities was observed 10 km off axis over the western
flank at 9°30′N (W1), as well as on-axis at 9°50′N (NA) and at 9°10′N (SA). Clockwise turning of the sub-inertial currents at 2450 m was also observed at 9°30′N 30–35 km off axis on the western flank (W3 and WF) although the velocities there were significantly weaker and generally dominated by the westward zonal component. The plume-level velocities recorded on the eastern ridge flank 35 km off axis (EF), on the other hand, exhibited neither the consistent clockwise turning nor the velocity maximum between November 26 and December 2. During the following three weeks (December 10–December 30), which coincide approximately with the tracer-sampling cruise (LADDER-2), the regional flow field at 2450 m was markedly different with predominantly southward flow recorded over the entire mooring array and comparatively small temporal variability (Fig. 7, right panel).
Weekly averaged along- and cross-flank velocity profiles observed by the W1 MMP during the tracer-release experiment indicate consistently northward along-flank flow during the first 4 weeks, followed by 3 weeks of consistently southward flow (Fig. 8). During all 7 weeks the northward component of the along-flank flow generally increased with increasing depth between 2400 and 2700 m. In contrast to the along-flank velocities, the weekly averaged cross-flank velocities at W1 during the tracer-release experiment were characterized by comparatively small temporal variability and little vertical structure.
As part of the LADDER project, a high-resolution numerical circulation model was constructed to simulate the regional velocity field during the tracer-release experiment (Lavelle et al., 2010). While the model forcing was derived from velocity measurements at CA alone, the model has significant skill in simulating the flow in the entire study region, as is apparent from a comparison of our Fig. 8 with Fig. 13 of Lavelle et al. (2010), and by the generally good agreement between the simulated and observed tracer distributions (Lavelle et al., 2010). Therefore, the model can be used to put the LADDER measurements into context. For example, the model simulation indicates that the observed differences in vertical structure of the northward along-flank flow at W1 between weeks 1/2 and 3/4 (Fig. 8) primarily reflect a broadening of the along-flank flow during the first half of the tracer experiment (Fig. 12 of Lavelle et al., 2010), rather than a fundamental change in flow structure as suggested by the observations alone.
4.4. Flow across the Lamont Seamount Chain
The topography near the northern end of the EPR segment that constitutes the LADDER study region is dominated by the Lamont Seamount Chain, which rises above the western ridge flank (Fig. 9). With individual peaks reaching depths as shallow as 1650 m the seamounts extend nearly 1000 m above the EPR crest. Due to their close spacing the Lamont Seamounts restrict meridional flow near 10°N above the western flank of the EPR below ≈ 2000 m to five narrow (≈ 2–5 km) passages with sill depths between 2500 and 2800 m (P1–P5).
The flow across passage P1 between the EPR crest and the easternmost of the Lamont seamounts was sampled with LADCPs during each of the three LADDER cruises (Fig. 10). Below ≈ 2000 m, which coincides with the peak depth of the easternmost seamount, all three velocity profiles obtained during LADDER-1 and -3 are characterized by a 100–200 m thick layer of southward flow near the seabed underlying a layer of variable but weak flow above. (The arrows in Fig. 9 show the velocities at 2450 m, i.e. above the layer of southward flow.) This contrasts with the situation encountered during the tracer-sampling cruise (LADDER-2) when three velocity profiles collected in passage P1 all show consistently southward flow below 2000 m, with the velocities decreasing from a maximum of ≈ 10 cm s⁻¹ between 2300 and 2500 m to zero near the seabed. Results from the regional circulation model indicate weak and variable mean flow below 2000 m across P1 during LADDER-1 and strong southward flow during LADDER-2 (red curve in Fig. 17B of Lavelle et al., 2010, where “Period 1” corresponds to LADDER-1 and “Period 3” to
LADDER-2), further increasing our confidence in the model simulation.
During LADDER-3 the velocities in the remaining deep passages between the seamounts (P2–P5) were also sampled with a LADCP system (Figs. 9 and 11). Below 2000 m the observed flow across the seamount chain was predominantly to the north (northeast across P4) with mean velocities between 0.7 cm s\(^{-1}\) (P1) and 6.0 cm s\(^{-1}\) (P4). In the passages P2–P4 the north/eastward flow across the seamount chain observed during LADDER-3 was bottom intensified and associated with peak speeds between \( \approx 10 \) and 25 cm s\(^{-1}\). The velocity profiles collected in the passages between the seamounts during LADDER-3 are associated with large temporal variability (Figs. 10(right) and 11). Of particular interest are the four velocity profiles from passage P4, which are similar above 1500 m or so but cluster into two groups characterized by velocity differences of \( \approx 10 \) cm s\(^{-1}\) below that depth (Fig. 11). The LADDER current-meter data indicate that the temporal variability in the semi-diurnal band accounts for between 55% and 72% of the variance on time scales shorter than 5 days in this region (not shown). Therefore, it seems reasonable to hypothesize that the temporal variability observed during LADDER-3 in the passages between the seamounts was also dominated by the M\(_2\) tide. This hypothesis is consistent with the timing of the P4 profiles, as the M\(_2\) phase differences between the similar profiles (\(29 \pm 2^\circ\)) are considerably smaller than the corresponding phase differences between the dissimilar profiles (\(81 \pm 29^\circ\)). Even more striking in this respect are the LADCP data collected in the P1 passage during LADDER-3 (Fig. 10(right)): While both meridional velocity profiles show the same thin layer of southward flow near the seabed, they resemble mirror images of each other above that layer. As the second profile was taken 2.4 semi-diurnal tidal periods after...
the first one (155° $M_2$ phase difference), the velocity differences are most likely dominated by the local internal $M_2$ tide, which appears similar to a standing wave with an amplitude of $\approx 10 \text{ cm s}^{-1}$. Fortuitously, two of the repeat profiles collected in passage P1 during LADDER-2 (Fig. 10(middle)) are also characterized by an $M_2$ phase difference of 155°, but the velocity differences are both qualitatively and quantitatively very different from those observed during LADDER-3. From this we infer that the internal tide in this region is associated with significant temporal variability.
5. Synthesis of observations
The sub-inertial circulation near the EPR crest between 9° and 10°N observed during LADDER-1 was characterized by westward flow of several cm s$^{-1}$ across the ridge axis and similarly strong, narrow northward- and southward-flowing “ridge-crest boundary currents” along the western and eastern flanks, respectively. While these along-flank flows extended only a few hundred meters above the crest depth, the westward currents spanned the entire water column. The yearly averaged velocities from the LADDER mooring array show qualitatively similar patterns at and below the depth of the regional hydrothermal plumes (the velocities at higher levels were not sampled by the moored instruments), although the yearly averaged speeds are significantly smaller than those observed during LADDER-1. Additionally, the LADDER-3 LADCP data are also characterized by mean westward flow between the EPR crest and the sea surface, and by northward flow along the western EPR flank close to the crest (not shown), but sampling on the eastern flank was insufficient to determine the direction and strength of the flow there. The thin, bottom-intensified layer of southward flow observed in the saddle between the EPR crest and the easternmost of the Lamont seamounts both during LADDER-1 and -3 adds support to the inference that the circulation during those two surveys was similar. In contrast, the regional circulation during LADDER-2 was neither characterized by westward cross-ridge flow, nor by anticyclonically sheared ridge-crest boundary currents but, rather, by mean southward flow across the entire LADDER current-meter array.
Away from the Lamont Seamount Chain the horizontal density gradients near the EPR crest observed during LADDER were dominated by the cross-ridge component. Centered directly over the crest there was a layer of anomalously high density extending 10–15 km off axis over both flanks and a few hundred meters above the topography. If a layer-of-no-meridional-motion is assumed farther up in the water column the horizontal density gradients associated with the isopycnal dome over the EPR crest is consistent with anticyclonically sheared meridional flows over the upper ridge flanks. Additionally, the regions of the steepest isopycnal slopes associated with the doming coincide with the cores of the along-flank boundary currents observed during LADDER-1, suggesting that the isopycnal doming is the hydrographic expression of the ridge-crest boundary currents. This inference is consistent with the agreement between the geostrophic vertical shear in the boundary-current cores and the corresponding vertical shear of the mean LADCP-derived along-flank flows observed during LADDER-1 (Fig. 12).
6. Discussion
The basin-scale helium distribution in the tropical North Pacific and the float trajectory shown in Fig. 2 indicate that the westward year-long zonal flow recorded by the moored instruments of the LADDER array is part of the large-scale circulation, which is characterized by westward mean flow near 10°N extending across most of the tropical North Pacific. Whether the westward cross-ridge velocities observed during the LADDER-1 and -3 surveys are related to that large-scale circulation or whether they reflect mesoscale processes is not clear from our analysis. The cross-ridge asymmetry of the density field below the isopycnal dome observed during LADDER-1 is likely related to the westward sub-inertial flow across the EPR crest at that time. It is commonly observed in stratified flows that isopycnals shoal upstream of topographic obstacles (e.g. Kinder and Bryden, 1990). Whether a particular isopycnal is lifted sufficiently to clear the obstacle or whether the obstacle blocks flow on that isopycnal depends on whether the approaching flow has sufficient kinetic energy to provide the potential-energy increase required for the uplift. For uniformly stratified, steady, rotating flow across a Gaussian ridge, uplift is possible when $N\Delta h/u \gtrsim 1.5$, where $N$ and $u$ are the upstream buoyancy frequency and velocity, respectively, and $\Delta h$ is the required vertical uplift (Pierrehumbert and Wyman, 1985). Using representative values from LADDER-1 ($u \approx 2–3$ cm s$^{-1}$, $N \approx 4 \times 10^{-4}$ s$^{-1}$) $\Delta h \approx 100$ m, which is consistent with the isopycnal uplift observed over the eastern EPR flank during LADDER-1 (Figs. 3 and 6). Regardless of what causes the isopycnal uplift over the eastern ridge flank, the corresponding cross-flank density gradients are expected to be geostrophically balanced by vertical shear in the along-flank flow, which provides a plausible explanation for the observation that the eastern-flank southward ridge-crest boundary current observed during LADDER-1 was stronger and broader than the corresponding northward flow along the western flank.
While a detailed analysis of the dynamics of the ridge-crest boundary currents, which extend no more than 20 km off the EPR axis and 100–200 m above the ridge-crest depth, is beyond the scope of our paper, we note that the inviscid, linear, hydrostatic, 2-layer, Boussinesq model of temporally variable flow across an infinitely long ridge of Allen and Thomson (1993) does not predict any mean crest-parallel currents. On the other hand, ridge-crest boundary currents that are qualitatively and quantitatively very similar to the LADDER observations are reproduced by the 2-D numerical model of McGillicuddy et al. (2010) and by the 3-D model of Lavelle et al. (2010), both of which include friction, mixing and non-linear terms in the equations of motion. Since the low-frequency forcing in the model of McGillicuddy et al. (2010) is nearly zero, we conclude that the ridge-crest boundary currents result from topographic rectification of temporally varying forcing, and that their dynamics depend on friction, mixing and/or advection of momentum.
The LADDER observations and model simulations of anticyclonically sheared along-flank boundary currents near the EPR crest are remarkably similar to observations from the Juan de Fuca Ridge near 45°N (Cannon et al., 1991; Cannon and Pashinski, 1997; Helfrich et al., 1998). In that region, too, there are anticyclonically sheared boundary currents associated with mean speeds of several cm s$^{-1}$ a few km from the ridge crest and limited to off-axial distances of less than 25 km (Cannon and Pashinski, 1997). While the claim of Helfrich et al. (1998) that the along-ridge flows are strongest at the depth of the regional neutrally buoyant hydrothermal plumes is apparently inconsistent with the LADDER observations and model results it is noted that the current meters used by Helfrich et al. (1998) neither sampled the velocities over the ridge flanks below crest level (where the velocities in the boundary currents on the EPR are largest) nor laterally bracketed the velocity maxima on the ridge flanks (their Fig. 2). This implies that the locations of the along-flank velocity maxima are not well constrained by the data of Helfrich et al. (1998).
Near the northern end of the EPR segment studied here the Lamont Seamount Chain topographically constrains the velocity field, in particular the northward boundary current flowing along the western ridge flank. As a result, the largest instantaneous velocities (up to 25 cm s$^{-1}$) were observed in the narrow passages between the seamounts. Whereas the LADDER instantaneous velocity measurements everywhere else are dominated by high-frequency (primarily tidal) variability, the data suggest that the direction of flow through the deep passages between the Lamont Seamounts varies on longer time scales and may be related to the regional mesoscale circulation. In addition to large mean velocities and significant vertical shear, the flow in the seamount passages is also characterized by high-vertical-mode internal tides with amplitudes on the order of 10 cm s$^{-1}$. Both these observations suggest that diapycnal mixing in the seamount passages may be elevated.
The weekly averaged current-meter data presented in Section 4.3 indicate a high degree of coherence of the sub-inertial circulation above the EPR during the LADDER tracer-release experiment across most of the study region. Notably, however, the flow recorded only
≈ 35 km off axis over the eastern ridge flank shows little coherence with the velocities recorded by the remaining instruments. This suggests that the circulation transition between LADDER-1 and -2 and, hence, the southward flow observed during LADDER-2, is not simply caused by the passage of a mesoscale eddy, as this would be expected to affect all current-meter records. Inspection of all weekly averaged velocity maps indicates that the sub-inertial circulation is highly variable and, at least some of the time, associated with significant inhomogeneities over small horizontal scales. This implies that dispersal trajectories derived from single-point current-meter records in this region are unlikely to be accurate, as they implicitly assume that the velocity field is horizontally homogeneous over the region of dispersion (> 150 km along axis and > 50 km off axis in case of the calculations of Marsh et al., 2001).
The WOCE P04 hydrographic section occupied in 1989 indicates that, away from the immediate vicinity of the EPR axis, the isopycnals dip downward into the topography over the ridge flanks, which extend more than 2800 km west and 800 km east of the ridge crest. Isopycnals and isotherms dipping downward over ridge flanks are commonly observed in hydrographic sections crossing mid-ocean ridges (e.g. Thompson and Johnson, 1996; Thurnherr and Speer, 2003). While it is tempting to ascribe these observations to the effects of bottom-enhanced diapycnal mixing over the ridge flanks, possibly in conjunction with geothermal heating, the vertical scales of the observed layers where the isopycnals dip into the ridge flanks are too large to be consistent with diffusive boundary layers, such as the ones described by Wunsch (1970) and Phillips (1970), which are associated with vertical scales of no more than a few 10 s of meter (Thurnherr and Speer, 2003). In order to reproduce the observed vertical scale of the layer of dipping isotherms over the western flank of the EPR with a numerical model, Thompson and Johnson (1996) had to postulate that water parcels remain within the region of enhanced ridge-flank mixing for 30 years, which is clearly inconsistent with the sub-inertial circulation observed during LADDER. The observation that the deep isopycnals during WOCE P04 sloped downward toward the east not just over the western flank of the EPR but also over the relatively flat abyssal plain between 200° and 230°E (Fig. 1) implies that the processes causing the thick layers of dipping isopycnals and isotherms over the flanks of mid-ocean ridges are not yet fully understood.
Acknowledgments
Co-funding of the LADDER project by the biological and physical oceanography divisions of the National Science Foundation under Grants OCE-0425361 and OCE-0424953 is gratefully acknowledged, as is support of J.W. Lavelle by NOAA's Pacific Marine Environmental Laboratory and by the NOAA Vents Program. In addition to the co-authors of this study and the very capable and helpful officers and crew of the R/V Atlantis II, collection and calibration of the LADDER PO data involved several students (A. Guan, F. Terenzi, A. Kohli, X. Liang, J. Stewart), two post-doctoral researchers (A. Ruiz Angulo, R. Jackson), as well as a mooring group from WHOI (S. Worrollow, B. Hogue, P. Fraser). Without the excellent data collected during the WOCE P04 cruise in 1989 it would not have been possible to put the LADDER data into a wider context. M. Visbeck donated the neutrally buoyant float deployed on the EPR crest in 2006.
References
Allen, S.E., Thomson, R.E., 1993. Bottom-trapped subinertial motions over mid-ocean ridges in a stratified rotating fluid. J. Phys. Oceanogr. 23, 566–581.
Baker, E.T., Chen, Y.L., Morgan, J.P., 1996. The relationship between near-axis hydrothermal cooling and the spreading rate of mid-ocean ridges. Earth Planet. Sci. Lett. 142, 137–147.
Baker, E.T., Feely, R.A., Mottl, M.J., Sansone, F.T., Wheat, C.G., Resing, J.A., 1994. Hydrothermal plumes along the East Pacific Rise, 8°40′N to 11°50′N: plume distribution and relationship to the apparent magmatic budget. Earth Planet. Sci. Lett. 128, 1–17.
Cannon, G.A., Pashinski, D.J., Lemon, M.R., 1991. Mid-depth flow near hydrothermal venting sites on the southern Juan de Fuca Ridge. J. Geophys. Res. 96, 12815–12831.
Cannon, G.A., Pashinski, D.J., 1997. Variations in mean currents affecting hydrothermal plumes on the Juan de Fuca Ridge. J. Geophys. Res. 102, 24965–24976.
Clarke, W.B., Feely, R.A., Craig, H., 1996. Excess $^{3}He$ in the sea: evidence for terrestrial primordial helium. Earth Planet. Sci. Lett. 142, 213–220.
Flierl, G.R., McWilliams, J.C., 1978. On the sampling requirements for measuring moments of eddy variability. J. Mar. Res. 35, 797–820.
Fornari, D.J., Haymon, R.M., Perfitt, M.R., Gregg, T.K.P., Edwards, M.H., 1998. Axial summit trough of the East Pacific Rise 9°–10 N: geological characteristics and evolution of the axial zone on fast spreading mid-ocean ridges. J. Geophys. Res. 103, 9827–9855.
German, C.R., Richards, K.J., Rudnicki, M.D., Lam, M.M., Charlou, J.L. The FLAME Scientific Party, 1998. Topographic control of a dispersing hydrothermal plume. Earth Planet. Sci. Lett. 156, 267–273.
Helfrich, K.R., Johnson, C.A., Cannon, G.A., Harrington, S.A., Pashinski, D.J., 1998. Mean hydrographic and velocity sections near Pipe Organ vent at Juan de Fuca Ridge. J. Geophys. Res. Lett. 25, 1737–1740.
Jackson, P.R., Ledwell, J.R., Thurnherr, A.M., 2010. Dispersion of a tracer on the East Pacific Rise (9° N to 10° N), including the influence of hydrothermal plumes. Deep-Sea Res. I 57, 37–52.
Kinder, T.H., Bryden, H.L., 1990. Aspiration of deep waters through straits. In: Pratt, L.J. (Ed.), The Physical Oceanography of Sea Straits. Kluwer Academy, Norwell, MA, pp. 295–319.
Kunze, E., Firing, E., Hunmann, J.M., Chereskin, T.K., Thurnherr, A.M., 2006. Global abyssal mixing inferred from lowered ADCP shear and CTD strain profiles. J. Phys. Oceanogr. 36, 1553–1576.
Lavelle, J.W., Mullineaux, L.S., Thurnherr, A.M., Ledwell, J.R., McGillivuddy, D.J., 2010. Deep ocean circulation and transport where the East Pacific Rise at 9–10 N meets the Lamont Seamount chain. J. Geophys. Res. Oceans 115, C12073. doi:10.1029/2010JC006426.
Lupton, J., 1998. Hydrothermal helium plumes in the Pacific Ocean. J. Geophys. Res. 103, 15853–15868.
Macdonald, K.C., Fox, P.J., Miller, S., Carbotte, S., Elsen, M.H., Fornari, M., Perram, J.L., Pockalny, R., Scheirer, D., Tighe, S., Welland, C., Wilson, D., 1992. The East Pacific Rise and its flanks 8–8° N: History of segmentation, propagation and spreading direction based on SeaMARC II and Sea Beam studies. Marine Geophysical Researches 14, 299–344.
Marsh, A.C., Munnecke, L.S., Young, C.M., Manahan, D.T., 2001. Larval dispersal potential of the tubeworm Riftia pachyptila at deep-sea hydrothermal vents. Nature 411, 77–80.
McGillicuddy, D.J., Lavelle, J.W., Thurnherr, A.M., Kosyniev, V.K., Mullineaux, L.S., 2010. Larval dispersion along an axially symmetric mid-ocean ridge. Deep-Sea Res. I 57 (7), 880–892.
Mullineaux, L.S., et al. Deep-Sea Res, in preparation.
Mullineaux, L.S., Thurnherr, A.M., Ledwell, J.R., McGillicuddy, D.J., Lavelle, J.W., 2008. Larval dispersal on the deep East Pacific Rise. <http://www.whoi.edu/projects/LADDER>.
Phillips, O.M., 1970. On flows induced by diffusion in a stably stratified fluid. Deep-Sea Res. 17, 435–443.
Pierrehumbert, R.T., Wyman, B., 1985. Upstream effects of mesoscale mountains. J. Atmos. Sci. 42, 977–1003.
Polzin, K.L., Toole, J.M., Ledwell, J.R., Schmitt, R.W., 1997. Spatial variability of turbulent mixing in the abyssal ocean. Science 276, 93–96.
Reid, J.L., 1997. On the total geostrophic circulation of the Pacific Ocean: flow patterns, tracers, and transports. Prog. Oceanogr. 39, 263–352.
Speer, K.G., Maltrud, M.E., Thurnherr, A.M., 2003. A global view of dispersion above the mid-ocean ridge. In: Halbach, P.E., Tunnicliffe, V., Hein, J.R. (Eds.), Energy and Mass Transfer in Marine Hydrothermal Systems. Number 89 in Dahlem Workshop Reports. Dahlem University Press, Berlin, pp. 287–302.
Thompson, R.E., Johnson, G.C., 1996. Abyssal currents generated by diffusion and geothermal heating over rises. Deep-Sea Res. 43, 193–211.
Thomson, R.E., Mihaly, S.F., Rabinovich, A.B., McDuff, R.E., Veirs, S.R., Stahr, F.R., 2003. Constrained circulation at endeavour ridge facilitates colonization by vent larvae. Nature 424, 545–549.
Thurnherr, A.M., Speer, K.G., 2003. Boundary mixing and topographic blocking on the Mid-Atlantic Ridge in the South Atlantic. J. Phys. Oceanogr. 33, 848–862.
Thurnherr, A.M., 2010. A practical assessment of uncertainties in full-depth velocity profiles obtained with Teledyne/RDI Workhorse Acoustic Doppler Current Profiler. J. Atmos Oceanic Technol. 27, 1215–1227.
Toole, J.M., McLane, L., 2000. Moored profiler data reduction and processing procedures. WHOI Technical Report (Nov. 2000 version).
Walter, M., Mertens, C., Stöber, U., German, C.R., Voegler, D., Sültenfuß, J., Rhein, M., Melchert, B., Baker, E.T., 2010. Rapid dispersal of a hydrothermal plume by turbulent mixing. Deep-Sea Res. I 57, 931–945.
Wunsch, C., 1970. On oceanic boundary mixing. Deep-Sea Res. 17, 293–301.
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August 1986 Number 8
Volume 28 ISSN 0133-5944
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The mix they couldn’t fix
It’s interesting to speculate on just where precisely the recording engineer’s responsibilities finish these days. Most engineers and studio owners would no doubt say with the satisfactory completion of the master tape and therein lies the rub. Just what precisely is a satisfactory master tape? Is it simply the take that the producer is happiest with, or does the recording engineer have a responsibility beyond that? The master may be the definitive statement as far as the session is concerned but that doesn’t always mean that it will transfer satisfactorily to tape, disc or CD.
In the early days of recording, recording engineers were all too familiar with the problems of tape to disc transfer: they had to be for in many cases it would be they who cut the acetates for the artists, publisher and record companies. With the coming of the compact cassette the need for recording engineers to be adept at disc cutting has all but disappeared. In many ways this is a great pity because a year or so working in a disc cutting suite would almost certainly teach a novice engineer more about good and bad recordings than any other form of training. In the course of a few weeks, the average disc cutting engineer is exposed to an unbelievable variety of master tapes and in a short period of time will quickly develop an intuitive feel for what types of recordings transfer well and which cause problems.
Nowadays the role of the disc cutting engineer has been extended. In the early days with few independent recording studios the major record company studios worked closely with the disc cutting engineer. In a lot of cases all that was required was a straight ‘one to one’ transfer—a precise (or as near as possible) duplication of the original master tape on disc. Then with the coming of the multitrack machine and the ‘fix it in the mix’ syndrome things started to change and the typical cutting room moved into the area of audio sweetening or post-production.
Now I’m not a firm believer in the idea that thousands of engineers across the world are forever saying they will fix it in the mix. There are occasions, however, when things end up on the multitrack that shouldn’t have. Things also finish up on the master tape that shouldn’t have and there is many a disc cutting engineer who will tell you tales of desperate producers trying to salvage something usable from a particularly fraught mixing session. This is life. What is not so funny are the master tapes that on the surface may seem okay but for a whole host of reasons won’t necessarily transfer well (or even at all) to vinyl without at least some compromise either in level or frequency response or stereo integrity.
Phase is and always will be a problem simply because of the electro-geometric relationship of the cutting process and now with the proliferation of keyboard instruments the thought of what a random 20 Hz out of phase signal could do to the geometry of the groove is enough to make the average disc cutter’s toes curl. The same applies to high levels of extended high frequencies. They may sound great on the monitors but they will inevitably cause problems later on at the disc cutting and/or manufacturing stage.
With perhaps eight or nine synths all chained together the chances of finding something out of phase could be quite high. Especially if the equipment has been connected together with just any likely looking lead that appeared to work. Even small amounts of out of phase signals can diffuse the stereo image and the accumulative effects through equalisers, op-amps, azimuth settings, replay amplifiers and crossovers will undoubtedly take their toll on the sound in the control room and the final replay of the disc. Keeping the phase as coherent as possible right from the start would seem the best form of defence.
Perhaps there is even a reasonable case for fitting a post EQ ‘phase trim’ pot on each input channel during recording and remix to ensure that the sound stays as coherent as possible then at lease any subsequent degradation and likely problems for the disc cutting engineer would tend to have; overall, a far less dramatic effect and the mix they couldn’t fix may well, for some producers, become a thing of the past.
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Mick turned down the title. So we'll take it, for the HC 6 Headphone Console. From the outside, it looks like a straight-forward, powerful headphone distribution amplifier. But in addition to the main stereo inputs, the HC 6 provides a separate mono balanced/unbalanced input for each of the six amplifiers. So whenever a signal is plugged in, the main stereo signal is automatically disconnected from only that amplifier, allowing the remaining stages to be fed either from the master stereo inputs or another separate input. It means a myriad of applications for the HC 6, operating as a standard distribution amplifier, as six separate amplifiers, or any combination of both. And the suggested list price is just $349.
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Lyrec TR 533
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Technology where it counts – and only where it counts – is Lyrec policy. We have gone to great length to ensure that high technology and "bells and whistles" are kept out of designs unless really required. Microprocessors, for arguments sake, are only used where they are at their advantage. Uncomplicated and easily understood solutions to design problems are always preferred as long as performance remains uncompromised. Readily available and well proven components keep production and end user maintenance costs down.
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Technology where it counts
The DS:4-8 is a 16-Bit linear sampler/sequencer with 8-voice, 8-channel plus MIDI outputs. The sampling frequency is 44.1kHz and the sampling time is 12 seconds. A double memory model is available with 24 seconds capability.
The host computer is the APPLE II and existing DS:3 owners will already have the computer and peripherals required. Large capacity disk drives are available ensuring excellent sound storage facilities.
Software controlled digital delay programs allow the full 16-bit quality of the DS:4 to be used in the studio in addition to the very powerful sampler/sequencer facilities.
The DS:4-8 is expandable. Software updates and new programs will ensure continuous development and progression and, well, like the DS:3, demonstrate Greengate's commitment to a policy of non-obsolescence. We do not believe in the concepts of 'Last year's model'.
SMASHING WINDOWS!
DIGITAL SAMPLING & DELAY UNITS
BDE SERIES
The BEL BDE Series lets you set up, sequence and edit up to 99 windows. BDE3200 gives you 32 seconds @ 15kHz bandwidth. BDE2400 gives you 24 seconds @ 18kHz bandwidth. Delay times may be doubled at reduced bandwidth.
- Reverse Play
- Samples can be stored to disk
- MIDI keyboard compatible
- Manual/auto deglitch
- Options: twin floppy disk drive, Remote control
29 Guildford Street, Luton, Beds. LU1 2NQ.
Tel. Luton (0582) 452495.
Studio Equipment Distribution
Who wants a stereo digital reverb with Midi for under £400?
The MIDIVERB from Alesis
At £395 including VAT, you may not believe it, but the MIDIVERB is a top-class device. So good, it will impress even the most difficult A&R man. So quiet, it will put the average mixing console to shame. So powerful, that you will wonder why people even consider anything else!
The flexibility is remarkable — 63 programmes in full stereo, everything from plates to massive halls, decay time from 0.2 secs to 20 secs, and nine gated and four reverse room programmes, so clear, they will astound you.
Easily interfaced with most mixing desks, instruments and home recording studios, the MIDIVERB can be used stereo in/stereo out or mono in/stereo out. The reverb programmes in the MIDIVERB can be changed rapidly either manually on the unit, or from another MIDI device through any of 16 selectable MIDI channels.
New Digital Reverb Design
All this has been made possible by a new design approach, borrowed from the most recent trends in computer hardware: RISC Architecture (Reduced Instruction Set Computer). RISC designs provide the programmer with a very small set of possible instructions that execute very quickly as opposed to more complex machines that offer more apparent power but operate slowly. RISC machines are simpler and less expensive and even though at first glance seem to have limited power, they often out-perform their bulkier counterparts.
The MIDIVERB uses an extremely specialised instruction set that runs at 3 million instructions per second, much faster than most systems on the market today.
Contact Sound Technology for your nearest dealer, or send £1 for a demonstration cassette.
Specifications
- Frequency response: 20Hz to 10kHz
- Dynamic range: 80dB Typical
- Programmes: 63, Preset
- Inputs: Stereo & Mono, Phono Jack, 50 Ohms
- Outputs: Stereo, Phono Jack, 600 Ohms
- Controls: Increment Prog/Midi, Decrement Prog/Midi, Midi channel select, By-pass, Mix (on rear)
- Midi Connections: Midi In, Midi Through
Sound Technology Limited,
6, Letchworth Business Centre,
Avenue One, Letchworth,
Hertfordshire SG6 2HR.
Telephone: 0462 675675
Telex: 826967
DOES YOUR LIMITER MASSACRE YOUR SOUND?
Most limiters are far from perfect...literally chopping up your sound. The new Aphex Dominator™ is the perfect solution.
Unlike dumb, over-threshold devices, the Dominator is an intelligent 3-band limiter with a proprietary circuit which varies the threshold for limiting. The result is an absolute peak ceiling while maintaining a transparent sound. Selectable crossover frequencies, plus high and low frequency drive controls allow creative flexibility.
You can run hotter levels to maximize signal-to-noise levels without fear of overloading your recording or transfer mediums.
The Dominator is ideal for any situation where clipping is a problem, such as digital audio, disc mastering, video post production and film. Stop massacering your sound. Ask your audio professional for a free trial of the Aphex Dominator. Once you've heard it, you'll never be satisfied with your old limiters.
- Provides Absolute Peak Ceiling.
- Total transparency below processing threshold.
- Increased loudness
- Freedom from spectral gain intermodulation
- Minimal loss of transient feel
- High density capability
- Flexible—easy to use
- Multiple applications
- Made in U.S.A.
Aphex Systems Ltd.
13340 Saticoy Street • North Hollywood, Ca 91605 • (818) 765-2212 • TWX: 910-321-5762
Dominator is a trademark of Aphex Systems Ltd.
SAJE DEALS THE WINNING HAND!
ODYSSEY
MEMORY
UN II
UN II
RACKY
AUX
SAJE AUDIO CONSOLES
“Leaders of the Pack”
3 Rue Verte 95100 Argenteuil France. Telephone: (1) 220.127.116.11 Telex: 699672F SAJE.
TV and recording consultancy
Audio Facilities Ltd is a company set up to provide a professional service for the television and recording industries. To this purpose they have recruited a team of technicians whose experience encompasses all areas of audio production and post-production.
Services provided include consultancy, provision of all types of audio equipment, planning, design and installation work in all areas of professional audio and operational staff from one boom operator to a team of operators experienced in digital audio for television.
Audio Facilities, Limehouse Studios, Canary Wharf, West India Docks, London E14 9SJ. Tel: 01-987 2090.
K-Tek purchases M&A
K-Tek has recently purchased the entire rights to the M&A series 4 mixing console and has moved the business to the company's Surbiton, Surrey, UK base. All series 4 components will remain available with modules now being available in kit form. With the series 4 it is possible to build a mixer up to 70 modules with 4 aux sends as standard but with user modifications allowing an increase to 6, and up to 16 output groups.
The series 4 system has been in production for five years and there are currently around 200 such mixers in use in the UK and a further number in other countries.
K-Tek, PO Box 172A, Surbiton. Surrey KT6 6HN, UK. Tel: 01-399 3990.
Teac DASH in
Teac has joined Sony, Studer and Matsushita on the DASH standards committee by announcing a commitment to producing DASH format digital recorders within two years. Tim Frost of Harman UK (Teac's UK distributor) explains that one of the reasons for the decision to go with DASH was that it offers a distinct format advantage for 4-, 8- and 16-channel machines allowing for ¼ in 8-track and 16-track possibilities later this decade. Parameters covered by the DASH format are tape speed, tape width, sampling frequency, track formation, number of channels and writing format. Manufacturers are free in all other design respects to produce their own facilities and performance characteristics.
Teac feels that by 1987/8 the principle of digital multitrack will be well accepted by the recording industry and it should be possible to produce somewhat more attractively priced systems by then.
Pop Music Recording Diploma
Salford College of Technology in Manchester launches a new higher diploma in popular music recording, commencing September. Courses in this area have been offered since 1982; they are now streamlined to appeal to the musician whose orientation is towards popular/jazz idioms within a recording studio context, studio projects are an integral feature throughout. For more information and application forms contact Mrs B Cohen, PMR Course, Salford College of Technology, Peru Street, Salford M3 6EQ.
IBC Brighton
To cope with the increased number of exhibitors at this year's IBC the exhibition has expanded into three separate sites—the Metropolitan Conference Centre, the Brighton Centre and the Grand Hotel. The three sites will be linked by the outside display of OB vehicles along the sea front. The exhibition floor space has increased from 11,000 to 13,500 m² and even that has proved insufficient to house all the possible space applications.
Literature Received
- European edition of the Instrument Society of America's 1986 Publications and Training Aids Catalogue, available in Europe through American Technical Publishers Ltd, 68a Wilbury Way, Hitchin, Herts SG4 0TP, UK. Contents include references and training materials, instrument technician training programme, standards and recommended practices, directories, periodicals, reprints, other ISA services.
- The latest electronic components product guide is available from Argosy Components Ltd. Products include those by Neutrik, Radiall, Cambridge Connectors, Spectraship and other wiring and PCB accessories. For further information contact Mike Purnell, director, Argosy Components Ltd, PO Box 137, Beaconsfield, Bucks, HP9 1RJ. Tel: (09496) 3491.
- Microlease Electronic Equipment Rental has produced a new '86/87 hire catalogue of over 1200 items of test and measurement, computer and development systems and audio and video equipment. From video cameras to microphones, mixing desks, loudspeakers, equalisers, amplifiers and mobile communications equipment to Marconi 2955 Radio Test Set. Copies available from Sandie Petrie, Microlease plc, Forbes House, Whitefriars Estate, Tudor Road, Harrow, Middx. Tel: 01-427 8822.
- Alpha Omega Instruments has published an A to Z of Instruments and Accessories. They are a new company specialising in lower cost instruments and accessories via this free direct mail order catalogue detailing some 80 items. For copies write to Unit 5, Linstock Trading Estate, Linstock Way, Wigan Road, Atherton, Lancs M29 0QA, tel: (0942) 873 448.
- Semiconductor Supplies International has brought out a new data guide and product price list with active and passive components through mechanical components such as plugs, sockets and switches to complete computer systems.
- From FWO Bauch Ltd the EMT Courier Special Issue One—20 pages of 25 years of reverberation, looking at the development of artificial reverberation.
AES London meeting
BBC Radio—Digital Control Vehicle Systems, is the subject of the next AES London meeting on 8 July 1986. The speakers will be John McErlean, Brian Binding and Sean Meehan of the BBC Radio Capital Projects Department. Design and constructional details will be covered including some novel techniques involved in the provision of high specification OB vehicles. These will be specifically related to the systems and the mixing consoles used in both the recent Stereo Control Vehicles and the Digital Control Vehicle.
The lecture starts at 7pm at the IEE, Savoy Place, London WC2, tea at 6.30 pm. If you wish to join AES you can apply at one of the meetings or write to The Secretariat, AES (British Section), Lent Rise Road, Burnham, Slough SL1 7NY. Tel: (06286) 63725.
Plug makers take note
A significant change has been made to the British Standard for 13 A plugs which now specifies insulating sleeving on the line and neutral pins. This has been done to prevent the risk of electric shock to users caused by physical contact with the pins during insertion or removal of plugs. Details of the new requirements, including additional tests, have been published as an amendment (AM 5052) to BS 1363 13A Fused plugs and switched and unswitched socket-outlets.
Since the amended standard is likely to become mandatory under new government regulations now being considered, some manufacturers may need to modify their plug designs.
John, These people stock everything and ship out in an hour. Phone 01-482-1692 or collect a catalogue from their trade counter. Better get an account opened NOW!
Thanks, Adrian
In brief
The magnetic tape division of Agfa-Gevaert Inc, Teterboro, New Jersey has donated a $1,000 scholarship to The Society of Professional Audio Recording Studios (SPARS) to be awarded to a promising young student who demonstrates potential in the recording field and has challenged other SPARS advisory associated members to match this gift... Due to the name Digitech being a registered trade mark of J Hornby-Skewes in the UK, the DOD Electronics range of rack-mount processors previously marketed under the Digitech name will in future be known as DOD Effects within the UK... 3M's Magnetic Media Division and the Mitsubishi Pro Audio Group have recently announced approval of the new Scotch 275 digital audio mastering tape for use in Mitsubishi 32- and 2-channel digital tape recorders...
Odyssey, Paris is the first French recording studio specialising in music computer systems. Built on the LEDE principle, Odyssey is equipped with SAJE ULN Mark II automated console, Sony PCM 3324 and 701 digital recorders, Otari 2- and 4-track, Tascam 8- and 16-track and MCI JH-24 24-track recorders among its tape recorder complement. Tel: (1) 47 50 95 64...
Phil Ramone has been using the new Dolby SR spectrum recording or mastering work for Touchstone Films production Ruthless People at Power Station, NY subsequent to attending demonstrations of the system at MGM screening room, also in New York...
Modern Circuit Industries—Amek's manufacturing facility has expanded its facilities with a BICC-VERO computer numerical controlled 3-head drill... BPI reports that the first quarter of 1986 was fairly flat for the UK record industry with the value of sales (deliveries to trade) increasing only by 3.4% over that of the same period last year; the number of singles shipped to retailers experienced a sharp fall; sales of LPs also fell while sales of cassettes continue to increase, although at a lower rate. The best results, proportionately were in the CD sector where sales this quarter were just over double those for last year. Overall value of recorded music deliveries in this first quarter was £71.9 m, compared with £69.5 m in January to March 1985...
Prime Leasing and Finance Ltd recently announced a 33% increase in its level of investment. With 60% of the company's business coming from the recording industry and a further 35% from the broadcasting industry this is seen to represent rapid expansion within the industry and greater investment in more sophisticated and expensive equipment. In the company's recently published annual report it was stated that the basic business emphasis is gradually switching from leasing to hire purchase.
Contracts
- Audio Kinetics has installed over 100 MasterMix computer assisted mixing systems worldwide. Recent UK contracts have included Alan Parson's studio with Amek Angela, Saunders and Gordon's Amek 2500, The Tape Gallery's Amek 2500 and Tyne Tapes (MCI JH600). Japanese installations have included Pioneer Laser Disc with a Calrec console, Sunrise Studio's Neve V48 and Sound Atelier's Soundcraft TS24.
- Amek has completed several recent contracts including two Amek BC2 consoles to the BBC; 51-input Angela to Alan Parsons' studio—other Angelas have gone to Peter Hooke of New Order, Steve Lillywhite, the new Planetarium in Paris, and Craig Huxley of the Enterprise Studios in Los Angeles; U2 have hired an M2500 for two months while working on their new album in Dublin; and AVM Recording in Madras has purchased a number of BC2 consoles as well as the very first Classic console.
- Eastlake Audio has recently completed a record and music to film facility at Sound and Vision OY, Helsinki which features a Harrison Raven with MasterMix and Otari multitrack and mastering recorders. PWL's second studio—The Bunker; Eastlake is now preparing to construct another studio and isolation room at the PWL complex in South London.
Other current Eastlake projects include a 48 track mobile facility for touring sound operator Lil Service SA in Barcelona.
- Soundcraft TS24 mixing consoles have recently been installed at TVi, London, and Lansdowne Studios in Dublin. Stirling Audio supplied TVi's 32-channel desk with MasterMix automation for their new post-production suite. Lansdowne's update follows destruction of the facility by fire earlier this year—the original desk was a Soundcraft Series 3B.
- Kelsey Acoustic has supplied 150 GPO316 patchfields to Elliott Brothers as part of the worldwide refurbishment of British Forces sound and vision studios.
- Acesonic International has been appointed Otari distributor for the Republic of China/Taiwan. Frank LJ Wang of Acesonic visited the Matsumoto factory for a week of technical training with Haruo Taguchi, manager of the customer service section. Acesonic International Co Ltd, SF1, 147 Lung Chiang Road, Taipei, Taiwan, ROC. Tel: (02) 71688 96.
- Gerr Electro Acoustics of Toronto has supplied a Sound Workshop Series 34 mixing console to Bryan Adams and songwriting partner Jim Vallance for their private studio in Vancouver; the equipment choice was made on the recommendation of Bob Clearmountain.
- London's Swaynany studio has recently installed a Sony PCM-3324 digital multitrack machine, 24-channels of Dolby SR, EAR valve equalisers and valve limiters and four Yamaha SPX 90s.
- Recent Studer contracts supplied by FWO Bauch have included a 900 series mixing console to the Royal Northern College of Music fitted with A series modules and reverse action faders; a 24-track 2 in A800 to Central Television; A800s to Master Rock studios and PWL studios in London, Jeff Wayne Music, Hertfordshire, Howard Jones, Redwood Studios, Westland Studios, Parkgate Studios and Windmill Lane Studios. Studer 960 series compact mixing consoles have been ordered by NBC London, Voice of America London, EMI Records, Ash International and Regentport. Hollywood Studios has placed an order for the Harrison MR4 mixing console.
- DDA has received an order from Abbey Road Studios for an 8/8/2 D Series console with Theatre input modules. The console is being supplied in a 16-input frame and will be used in the film transfer room. A 16/8 Theatre/Matrix D Series console has been ordered by the Royal Shakespeare Company for the new theatre in Stratford-upon-Avon.
- Audio & Design Calrec has recently supplied Pioneer Laservision studios in Tokyo with a 48-channel UA 8000 console complete with MasterMix automation.
Stolen Property
- On the night of April 23, several items were stolen from EGE Sound Studio, Germany. Those with serial numbers were: Roland SRV2000 (SN:552787), Eventide H949 (SN:1723), Onkyo P3060 (SN:21050813), JVC HR2200 video (SN:156L 1221) and Sony PCM701 (SN:12736114). Other items included Yamaha REV7, UREI 1136 compressor, Lexicon PCM41 and various hi-fi equipment. EGE Sound Studio GmbH, Kohlplate, D-7953 Bad Schussenreid, West Germany. Tel: 0 75 83/27 68.
- Stolen in California from Danny Wallen, a special custom case containing 10 new Neumann TLM 170 Jubilee microphones. The serial numbers are 23/100, 24/100, 62/100, 63/100, 74/100, 75/100, 76/100, 77/100, 80/100 and 81/100. Any information as to the whereabouts of any of these microphones should be given to Jerry Graham, eastern sales manager, Gotham Audio, 1790 Broadway, New York, NY 10019-1412. Tel: (212) 765-3410.
Contracts
- Marquee Electronics has delivered three Adams-Smith chase synchroniser systems to Town House Studios. Additional units have been supplied to Eel Pie Recording, Eden Studios, Central TV in Nottingham and Birmingham and Barclays Bank Video. Other new users include Mullard Laserdisc, Marcus Music, Park Gate Studios, BBC TV music studio, Huddersfield Polytechnic, Southern Films and Air TV facilities, Camden Lock.
- Sound Associates installed the sound system at the first European IMAX film festival at the National Museum of Photography, Film and Television in Bradford earlier this year. The IMAX film system generates large screen pictures on to a screen many times the size of a conventional cinema screen, effectively filling the viewer's field of vision. The accompanying sound quality was required to give wide frequency range, no distortion and very high sound levels. IMAX has sound on a separate 6-track 35 mm film running in sync with the special 70 mm picture, giving tracks for rear left and right, and screen left, centre, right and top. Electro-Voice speakers were used for the screen left centre and right: DL15W loaded 606D bass cabinets and HP9040 horns with DH1 drivers. The sub-woofer system comprises four Electro-Voice 3512 cabinets with DL18W drivers operating only high signal levels at frequencies below 100 Hz.
- The Mitsubishi Pro-Audio Group has announced sales of X-850 PD format digital multitrack machines to two London-based studios—Battery, a four studio complex; and Konk where the machine will be installed in a machine room allowing it to be patched between the existing room and the second room currently under construction.
Ambience: A property ascribed to studios that have just had an expensive rebuild (but do not sound any better) in order to justify higher rates.
Ambience mic: (1) A spare mic at the back of the studio that accidentally gets recorded on a spare track that saves an otherwise turgid mix. (2) A non-directional mic (qv).
Assign: The traditional means of distinguishing between say the tape store and the artists' powder room.
Backing track: Anything useful you can salvage from the first six weeks/months of recording.
Bi-directional: American for AC/DC.
Bounce: A primary characteristic of receptionists. Measured in handfuls.
Compressor: A processing device that gives a track more feel by increasing noise and distortion to 1960s levels.
Concert pitch: Wembley Arena, etc.
Cue: A wooden rod used for hitting balls.
Dead sound: The result of doing 37 takes to get the track note perfect.
Echo: The sound of £10,000 of digital ICs crammed into a little black box.
Engineer: Someone who wanted to drive a train when he grew up.
Fader: A control for reducing noise at the expense of increasing distortion, or vice versa.
Figure-of-eight: An exotic form of balanced line.
Headroom: A property of some larger control rooms where the distance between the top of the engineer's head and the bottom of the bass trap has a positive value.
Hertz: What happens to the engineer's ears when the fuses in the monitor amps fail to fail.
kHz: The sound of the producer contemplating tomorrow's session.
Leader: The biggest member of the band.
LED: Heavy metal.
Line input: Nostril.
Maintenance engineer: A studio employee who's never there when anything goes wrong with the equipment.
Microphone: A device that makes loudspeakers scream when pointed at them.
Mixing: Trying to convert a dead sound (qv) into a hit record.
Non-directional: A mic that picks up everything happening in the studio except the instrument in front of it.
Omnidirectional: Likes and dislikes that's warm and wet (or bi-directional).
Overdue: The practice of getting more mileage out of backing tracks by using the same tracks for a number of songs, such as a succession of singles. Particularly popular with Reggae producers who have great difficulty in getting all the rhythm section capable of playing at the same time.
PA: Pain in the neck.
Pad: Place to which an engineer returns occasionally to change his socks.
Panning: The critical response to the end product of vast amounts of time and money spent in a studio.
Panpot: A device that converts mono recordings to stereo.
Pre-emphasis: Increasing the noise level to counteract the effects of noise reduction.
Presence: If your studio has one of these, keep quiet about it. Most clients are paranoid enough without having ghosts to worry about.
Producer: (1) Someone who sits next to the engineer and makes unhelpful comments at awkward moments. (2) Person who takes all the credit for the engineer's hard work.
Reverberation: £5,000 worth of digital ICs in a black box.
Reverb: Addiction time. The time it takes to get a studio to pay £13,000 for £5,000 of ICs in a black box.
Route: The heavily worn path between the studio and the nearest pub.
Selsync: A marketing man's explanation for why semi-pro multitracks have one head for recording and playback.
Stagebox: A small upturned wooden box used as a prop by superstars who try to get more feeling in their playing by reliving their early days playing in pubs.
Submixing: Mixing one track at a time so the computer can learn what to do.
Synchroniser: A device used to link two machines for 46-track tape phasing.
Synthesiser: An unmusical instrument.
Unbalanced line: Where the producer takes more than half.
Unidirectional: The type of mic that rotates towards the floor during an otherwise perfect take.
WDR Neve DSP now in use
The first Neve digital mixing console to be installed outside the UK has been delivered and commissioned for the WDR broadcast network in West Germany. The console is installed as part of an installation within a new concert hall being built as part of a new DM 300 million cultural centre in Cologne which is due to be opened in September. The console facilities include 56 faders, 48 mic/line analogue inputs, 16 line analogue inputs, 32 analogue outputs, 32 digital inputs and outputs for multitrack use. The system also benefits from the inclusion of remote stage input boxes with fibre-optic transmission to the console.
The console was delivered and commissioned on time and was officially launched at a digital seminar held in Cologne in April.
Agencies
- FM Acoustics of Switzerland has reached an agreement with Professional Audio Ltd of London under which Professional Audio will distribute the complete range of FM Acoustics professional products in the UK. They will carry stock, parts, service products and supervise installations etc.
- Theatre Sound & Lighting (Services) Ltd (TSL) have been appointed sole and exclusive UK distributors for the Clear-Com Intercom Systems. TSL are headed by directors Matthew Griffiths and Peter Maciuk. New addition is Zounie Falli as sales administrator who previously handled the Clear-Com business for TBA. TSL, Queen's Theatre, 51 Shaftesbury Avenue, London W1V 8BA. Tel: 01-439 2441.
- Rhino Distribution has been appointed distributor for American Audio Logic processors including MT74 quad noise gate, X324 crossover and MT66 stereo compressor/limiter featuring dbx noise reduction. Rhino also distributes DOD rack mounting signal processors and instrument effects pedals. Rhino Distribution, Equipment Division, Burnham Road, Dartford, Kent DA1 5BN. Tel: (0322) 74003.
- Kelsey Acoustics are now supplying NEK bulk microphone/instrument and multicore cables. Kelsey Acoustics Ltd, 28 Powis Terrace, London W11 1JH. Tel: 01-727 1046.
- Adams-Smith has appointed Professional Equipment srl of Milan as Italian distributor for the System 2600. Professional Equipment srl, Viale Famagosta 37, Milano 20142, Italy. Tel: 02-81 78 39. Telex: 843-312239.
- Recently established UK audio equipment sales company Professional Audio has been appointed sole UK distributor for FM Acoustics. Professional Audio Ltd, Professional Audio House, 53 Corsica Street, London N5 1JT. Tel: 01-226 1226. Telex: 24282.
Address changes
- Italian distributor Audio International SRL, has moved to Via Santa Maria, 100, 20090 San Maurizio al Lambro, Milan. Tel: (02) 25 390 121.
- Theatre Projects has changed address to Theatre Projects Services Ltd, 8-34 Blundell Street, London N7 9BW. Tel: 01-609 2121. Telex: 885659.
- Amek and TAC now have facsimile machines in operation. The numbers are: Amek 061-834 0593; TAC 0602 785112.
- Alangrove Builders has moved to Mountbatten House, Victoria Street, Windsor, Berks SL4 1HE. Tel: (0753) 857181.
- Elliott Brothers (Audio Systems) Ltd has moved and is now located at Osney Mead, Oxford OX2 0ER, UK. Tel: (0865) 249259.
- TracSystems has moved to the Archway area of London and has doubled its floor area. The new address is Belgravia Works, G08/157 Marlborough Road, London N19 4NF, UK. Tel: 01-281 4955.
People
- Simaen Skolfield has joined the Amek sales team and brings 15 years experience as a Grammy award winning recording engineer who has worked in many and varied facilities. Simaen will be responsible for introducing London facilities to APC and assisting any customers who visit London. He may be contacted at 218 Bowes Road, London N11 2JH. Tel: 01-361 8552.
- Amek has also promoted Henry Goodman from shipping manager to sales co-ordinator; Richard Hollingworth has taken over as shipping manager and Selwyn Hotz has joined Amek and TAC as financial controller.
- Otari Corporation has appointed three new regional sales managers: James Goodman, previously with Eventide, for Northern States; Emil Handke, formerly with Valley Audio as general manager for Southern States and Bill Ford, previously with Cramer Video, for Western States.
- Mark Calice, formerly in charge of Otari Corporation’s MTR series technical support has become technical training manager for a newly created training department. Details of Otari dealer/user training seminars may be obtained by calling (415) 592-8311.
- Two new IBC corresponding members have taken up invitations to the position, succeeding TJ Murphy and P Mainwaring who have now retired. K O’Connell is director of engineering at Radio Telefis Eireann and NL Lane is director of engineering at the Broadcasting Corporation of New Zealand. The role of corresponding members is to represent the IBC around the world and lend their support to the IBC UK committees in the organisation of the convention and their liaison with broadcasting and allied industries.
- Soundcraft has promoted Adrian Curtis, formerly senior engineer in Soundcraft technical services, to senior sales engineer to Soundcraft Electronics. His main area of responsibility will be technical sales support to international and direct UK customers.
- Norman Crocker, managing director of Tannoy Ltd, has been elected chairman of the Association of Sound and Communications Engineers.
- David Hopkins, managing director of Delta Sound (PA) Ltd, has been elected vice-chairman.
- AMS has appointed John Gluck to sales department taking over sales co-ordination of the company’s established range of products.
- Focusrite Ltd has appointed Mike Bowers as sales manager. Formerly sales and marketing manager for Noblelight Ltd, he will be responsible for the ‘new’ range of professional sound control modules for the recording, broadcasting and film industries worldwide.
- The BPI has appointed Rob Dickins to succeed Maurice Oberstein as the next chairman. Chairman and managing director of WEA Records UK, Dickins has been an active member of the BPI council since 1983.
- Virgin Group has appointed Nick Alexander managing director of SynthAxe Ltd. Previously managing director of Virgin’s computer game company he continues with this responsibility including new technology developments and has assumed responsibility for SynthAxe as Bill Aitken, who headed the development of SynthAxe, has rejoined Solid State Logic Ltd.
- Phil Neighbour has joined Court Acoustics Sales Ltd as sales manager, responsible for the sales of RCF products in the UK and for distribution of Court equipment worldwide.
- Trident Audio Developments has announced Wayne Freeman’s appointment as the new president of Trident USA Inc. Mr Freeman previously with Soundcraft Inc in the USA has had many years experience in the pro audio industry particularly in the field of recording consoles.
- David McVittie has joined Elliott Bros (Audio Systems) Ltd as sales manager. He will be responsible for sales to the broadcast sector freeing Bruce Elliott to concentrate on the theatre area. David McVittie was previously International Sales manager with Audio Design Calrec.
Low-cost digital audio comes of age.
The Sony PCM series has now been available for several years. In this time recording and broadcast organisations, government, educational and industrial establishments, as well as individual users have all acknowledged the unique value of these units, and made them a new standard. It is the superlative quality of Sony PCM digital, coupled with extremely low cost that has brought about this professional acceptance of the range. This is borne out by the number of new ancillary products from other manufacturers, that have further increased the flexibility and versatility of the range. Examples of these products are the 'CLUE' logging and editing system from HHB, as well as various interfaces which allow digital communication with the PCM 1610.
Sony has acknowledged that this acceptance by professional users necessitates a change of policy towards these products. Accordingly they have upgraded them from the domestic catalogue, and, realising the need for professional support and all that that entails, have appointed HHB as specialist dealers to represent them in the pro-audio market.
We are proud to announce this appointment, and happy to assure our customers of continued availability of the PCM range. The re-instatement of the PCM production line has been very largely due to pressure from end-users, who are after all the motivating force in the audio world. So if you are involved with audio recording and are still unfamiliar with Sony digital, then you owe it to yourself to call HHB – the No. 1 name in Digital Audio.
HHB HIRE & SALES, UNIT F, NEW CRESCENT WORKS, NICOLL ROAD, LONDON NW10 9AX TELEPHONE: 01-961 3295 TELEX: 923393.
The list of credits on a modern album sleeve is growing all the time; along with performers and songwriters it is quite common to see the producer, engineer, session musicians, recording studio and mastering suite included and now a new title has joined the list—that of programmer.
So who is this person hiding behind the vague title and what exactly does he do to deserve getting his name on the sleeve? In reality, he probably hasn't programmed anything at all but is only the user of other people's software and the traditionalist in the computer world would only credit him as an operator or worse as a machine tender.
Whatever we decide to call him, he's the person who understands the world of sequencers, FM and analogue/digital keyboards, expanders, drum machines, MIDI-controlled effects and the various boxes which keep them all in sync with the tape machines. A good programmer combines many of the tasks of both the engineer and producer with the creative qualities of the writer and performer. Those of us who have worked with computer controlled equipment for any length of time appreciate all that a good programmer does.
The shortage of experienced music programmers is partly the result of the speed at which technology is progressing: even the traditional tea boy, tape op, engineer, producer route has changed in recent years. Another contributory factor is the wide range of skills which must be acquired including the ability to read and write music, and perfect pitch is a distinct advantage. Entering musical notation from a manuscript soon brings back sight reading but when the producer sings a bass line—even assuming that you know what he means—in can you immediately enter the correct pitch and note values in to the step time sequencer? When the keyboard player wants his timing auto-corrected, can you confidently choose between a demi-semi-quaver and a 16th triplet and won't he be pleased if you get it wrong?
One benefit of computer production is speed but if one particular piece has to be played several times in order to practise auto-correction, or if it takes an hour to work out that funky bass line in step time, or if your programmer's on the phone to the Royal College of Music because he doesn't know his andante from his pizzicato, then perhaps it's time to think again.
Programming original sounds into keyboards, particularly the FM kind, can be extremely time consuming and it is probably a job well worth doing away from the studio. However, it is still often necessary, even with a comprehensive sound library, to edit, re-edit and re-edit a session. Again this is where a good programmer will save time, money and frayed tempers, by translating a request for 'more zing' into carriers, modulators and frequencies, or by providing more decay without losing the fundamental sound.
Computer drums are often a controversial subject. Can they sound natural? Should they sound natural? Can they replace the real thing, or should they be regarded as an instrument in their own right? Whatever personal views are, the programmer should be able to provide what each individual producer wants and this ability to create original and interesting patterns and breaks to suit all types of music must be allied to a knowledge of the drummers' limitations, both real and machine. If attempting to simulate a live kit, it should be remembered that a drummer only has two hands—an obvious point but a common mistake. An easy way to spot the machine is listening to the hi-hat tapping continuously eight to the bar, throughout breaks, rolls and entire albums. At the same time it is worth remembering that although the machine can play with many hands and keeps perfect time, if a producer brings in a Scottish country dance band or wants to record the National Anthem, then a quick phone call to the Musicians' Union is perhaps a good idea.
Ever since the music programmer appeared on the scene, the job has grown in importance. At the beginning of 1984, we took the Commodore 64, which was being discarded by our accounts department and put it in the studio to control the growing number of keyboards (see Studio Sound March 1986). Then we were trying to save tape tracks but on a recent production the multitrack contained only two vocal tracks and a sync code, whilst the desk had a further 22 channels of 'live' sound from the assorted keyboards, samplers, drums and effects. The only people involved in the production were a singer/songwriter and the programmer.
With the increasing range of MIDI effects, today's programmer can often find himself with a separate sequencer purely for effects and keyboard patch changes, and now that some desks are reading MIDI and SMPTE for routing and switching, the chain seems to be almost complete. The tape machine is at present the only area free from the programmer's attentions but for how long? As the trend towards digital recording gathers speed and hard disk-based systems and even RAM storage become commonplace, it should not be too long before someone decides to process the digital information in the recorder before playback, rather than using external processors involving further D/A and A/D conversion. Imagine a multitrack recorder with an effects unit built into each channel. Now give it user-definable memories with MIDI control and the chain is well and truly complete.
It's interesting to note how experience is helping the music programmer overcome some of the problems of various systems. Let's return to the problem of auto-correction. No one would think of experimenting with a master tape instead of working on a copy and similarly most sequencers will copy a keyboard part in seconds which the programmer can then use for practice.
A common problem with sequencers is that while attempting to overdub a sequence with another part which starts on the first beat of the first bar, the first note never records. Programmers have now discovered how to use a separate track to re-record the first note late and auto-correct it back to the first beat. Systems using FSK code for tape sync can be extremely frustrating when the tape must be started at the beginning of the track each time and why is it that the last chorus always needs 20 takes?
The trick is to run a monitor mix on to tape at the same time as the sync code and use this instead of running the computer each time. Most people would leave a guard track next to the sync code but if the monitor mix is recorded about 20 dB down it will not interfere with the code and can be used as the guard track as well. Any increased noise doesn't matter as the track will not appear on the master. If tape tracks are of a premium, then the monitor mix can be erased later and used as the final track.
Sequencers have even been used to provide a form of level automation. Many keyboards have voice output as a programmable parameter and by copying the same voice several times but with different output levels and using MIDI to switch between voices, the keyboards will mix themselves.
So what sort of person are we looking for in the guise of an ideal music programmer? He is obviously a child prodigy electronics wizard who studied classical piano at the Royal College of Music but gave it all up to become the drummer with a funk band before opting for a career as a successful recording engineer/producer. No wonder he gets his name on the album sleeve! In fact the day must surely be approaching when the expanding list of credits begins to decrease once again, until the only names remaining are those of the artiste and programmer.
And who will get top billing? □
Roger Jackson, West Coast Music, Luib, Isle of Skye.
First Class Sound... ANYWHERE!
Britannia Row offers you a total Audio Hire service from a complete customised 24 track recording package through the range of our extensive analogue and digital recorders to any individual studio effect you may require.
The equipment is cased and delivered by our professional and efficient staff to anywhere in the UK or overseas.
Our technical engineers will fully install the equipment and leave you assured of a smooth recording session with 24 hour back-up guaranteed ... Call now for an immediate quotation.
COMPLETE SERVICE AUDIO HIRE
35 BRITANNIA ROW, LONDON N1 8QH
TEL: DAY 01-226 3377 NIGHT 01-231901 BLACK 281
TELEX: 268279 BRITRO G
Syco and Fairlight
As sole UK distributor for the Fairlight Computer Video Instrument System Syco Video is aware that units are being offered on direct import from Europe and possibly America. As sole UK and Irish distributor Syco points out that it is unable to offer service support and software updates for these units. They also point out that these units are not necessarily calibrated and tested for British power supply and although not necessarily hazardous, the software stability of the unit is likely to be affected. If in doubt, contact Syco Video on 01-724 2451.
Music video payments issue
The BPI council decided to seek payment for music videos which had until now been supplied free, or virtually free to television programmers; and to advise BPI member companies to cease to supply free music videos after May 31 1986 unless constructive negotiations were in hand. Negotiations were opened with the BBC and ITV companies and a proposal from the BPI on the principle of payment was put at meeting with ITCA companies, Channel 4 and the BBC during May.
After the initial meetings BPI legal adviser Patrick Isherwood reported that further meetings had been arranged with the BBC. The BPI council has reiterated its decision on video payments and will strongly advise members (accounting for about 95% of the UK record releases) to stand by the deadline decision.
Oral History Society opposes tape levy
The Oral History Society has opposed the government's intention to introduce a levy on blank audio tape. The society makes use of tape recorded interviews with older people to produce articles, pamphlets, books and exhibitions based on living memory. The society sees no reason why it should pay copyright to owners of recorded music and has no wish to take on the additional administrative burden which claiming exemption would involve. The society states 'The Government's proposal to impose a levy on blank tape is a totally inadequate response to the problems of copyright in a period of technological change. As they stand the proposals are unfair and are likely to prove costly and unworkable.'
Contracts
- TracSystems has recently received large orders for their in-cassette duplication systems: from Hany Mehanna Studio, Cairo, Egypt for a six slave 5,000 cassette/day system; a 20 slave system to Jack Carney of TDC Dublin via Sound Control Belfast to meet a current 30,000 cassette/month requirement; and to Richard Garrido SCV in Paris.
- Millbank Electronics has supplied amplifiers from their PAC System range for the National Garden Festival, Stoke-on-Trent, Staffordshire, UK. This six month festival takes place on 180 acres of reclaimed land featuring arenas, displays, 80 theme gardens, artificial lakes and theatres. The sound installation was by Animated Projection Ltd of Widnes, Cheshire and is divided into 12 separate zones.
- Different Fur Recording of San Francisco, has taken delivery of a Sony PCM 3324 multitrack. This system is owned by Windham Hill Records but will be housed at the studio and will be available to studio clients.
- Unique Recording, New York has installed two Sony PCM 3324 multitracks for 24 and 48 digital recording. Also the Fairlight 11X has been updated to a 111.
IOA at Salford University
The Applied Acoustics department at Salford University opened their new laboratory during the recent IOA conference. Opened by Dr Per Bruel of Bruel and Kjaer it comprises a transmission suite enabling measurement of new glazing systems or lightweight partitions to be measured and an anechoic chamber allows for testing of hearing protectors.
IOA's 4 day conference was attended by over 100 delegates and topics discussed included the latest findings of research in underwater acoustics, environmental noise and building acoustics. Three special lectures were given.
Professor Heinrich Kuttruff from Aachen University talked about the design of auditoria; Professor Elfyn Richards from the Institute of Sound and Vibration Research, Southampton University talked on an engineer's approach to the study of noise; and Dr Peter Thorne of the Institute of Oceanographic Science, Taunton on underwater sediment transport studies.
Salford's Applied Acoustics Department is the second largest university based acoustics group in the UK and the only one which runs a distinctive undergraduate course in electroacoustics.
Awards for Philips scientists
International recognition was recently accorded to Philips research scientists in the form of the Rank Prize Funds Awards. Dr P Kramer, senior managing director of Philips Research, Mr G Bouwhuis, senior scientist at the Philips Research Laboratories and Dr K Compaan, now retired received recognition for a basic invention in the early seventies which has led to the LaserVision optical disc, the CD and the disc for storage of digital data, along with the corresponding electronic systems.
At the end of the sixties, scientists at Philips Research Laboratories embarked on a study intending to record image and sound signals on a disc in such a way that the information could be read without contact using laser light. The three award winners invented a technique for doing this and thus development got underway.
People
- Former Neve area sales manager Tom Belshaw has moved to Britannia Row Equipment where he is now manager of the sales department, working on the company's expansion in the UK and Europe.
- 3M has announced that Christopher Hobbs is now general marketing manager for Magnetic A/V products. He has been with the company for 14 years in marketing and sales, and key account executive for Scotch household products, sales manager for Scotch consumer products, sales and marketing manager for Scotch audio tape and most recently as general marketing manager for home video and household products.
- Soundtracs has appointed Simon Phillips to their technical sales team. Simon was previously with ITA and prior to that Turnkey.
Forthcoming events
August 1 to 3 British Music Fair, Olympia 2, London, UK.
September 19 to 23 International Broadcasting Convention, Brighton, UK.
October 28 Sound Broadcasting Equipment Show, Albany Hotel, Birmingham, UK.
November 6 to 9 Institute of Acoustics 2nd Annual Conference: Reproduced Sound, Hydro Hotel, Windermere, UK.
November 12 to 16 81st AES Convention, Los Angeles, USA.
November 19 to 22 14th Tonmeistertagung Munchen 86, Deutsche Museum, Munich, West Germany.
Auto line-up.
This cunning attempt to grab your attention is to let you know about the long-awaited arrival of the Otari MTR20 Series of master recorders at ITA.
The MTR20's unique automatic alignment system employs its own microcomputer to faithfully reproduce a set of line-up parameters that have been determined by the engineer. In other words, YOU decide exactly how the machine is to be lined-up, and the MTR20 remembers for evermore, faithfully reproducing YOUR procedure every time.
Auto line-up is just one of the features of this most advanced recorder. A massive cast deck-plate, PWM-controlled reel motors, 14" reel capacity, rapid interchangeability between formats; transformerless electronics; serial control; the list goes on.
And of course, things for which Otari recorders are already renowned; utter reliability and ease of maintenance, for example.
The MTR20 is now available for demonstration in your studio; don't delay in making your booking.
ITA was first with Otari 13 years ago, and we are proud to be first with the MTR20 in 1986. Our commitment to the world's best range of professional recorders has never wavered in between. There are many exciting new Otari products on the way – we'll be there first too.
INDUSTRIAL TAPE APPLICATIONS
PROFESSIONAL PRODUCTS DIVISION
1 Felgate Mews, Studland St, London W6 9JT Tel: 01-748 9009 Telex: 21879
Our consoles have always been quiet.
Have we been too quiet about our consoles?
Perhaps we have. Thanks to the success of STUDER recorders, we're often thought of as strictly a tape recorder company. But, STUDER has also been making audio consoles for over 16 years, and hundreds of our 169/269 compact mixers are now at work in broadcast and video production facilities all around the world. Recently, with the introduction of the Series 900, STUDER has become a major supplier of studio production consoles.
So we're not keeping quiet about this any longer.
**Name your frame.** Series 900 frame sizes from 12 to 50-plus inputs are available for any application, from remote recording and OB vans to sophisticated broadcast production and multi-track recording. Within these frame sizes, we configure the console to fit your requirements. The secret is our wide array of module options.
**Mix and Match Your Modules.** The 900 is a true system console offering custom configurability at standard prices. Choose from 10 different metering modules, 3 multi-track monitor options (including separate monitor EQ), mono or stereo faders, audio subgroups, automation compatible VCA groups, video switcher interfaces, subgroup reassignment modules, up to 3 solo systems, multi-function test generator, input selectors, limiters, compressors, patchbays with bantam or ¼" systems, and up to 10 auxiliary busses.
Basic input modules feature 3 or 4 band EQ, microphone/line inputs, 5 pre/post-lade auxiliary sends, and channel overload indicators. Options include transformerless mic pre amps on a subcard, separate transformerless TAPE input for remix, stereo input modules, stereo EQ, internal stereo XY/MS active matrix, stereo blend control, dual line inputs, variable HP and LP filters, user defined panel switches, and the list goes on.
**Listen to the quiet.** The entire 900 console frame design is consistent with the advanced module design. A completely independent signal reference ground system assures preservation of individual circuit CMRR figures. The result is overall noise performance compatible with digital recording.
**As time goes by.** All 900 consoles adhere to strict STUDER standards for precision and reliability. The frame is built on a rigid channel and brace structure, and each module uses pin-and-socket Eurocard connectors.
Frame connectors are mounted on longitudinal master boards with solid support from horizontal and vertical frame members. All components, switches and pots are commercial/industrial grade from the best US and European manufacturers. In sum, a 900 is built to last as long as a STUDER recorder.
For quality, flexibility, and the reliability, it ranks among the world's finest, and you may find the pricing surprisingly competitive.
For more information on STUDER consoles please contact:
STUDER INTERNATIONAL AG
CH-8105 Regensdorf Telephone (01) 840 29 60
STUDER REVOX AMERICA INC Nashville Telephone (615) 254 5651
STUDER REVOX S A R L Paris Telephone 533 5858
STUDER REVOX CANADA LTD Toronto Telephone (416) 423-2831
F.W.O. Bauch Limited
49 Theobald Street, Boreham Wood, Hertfordshire WD6 4RZ
Telephone 01-953 0091, Telex 27502 Fax 01-2075970
www.americanradiohistory.com
Daturr shielded racks
Daturr Ltd is able to supply specialised 19 in equipment racks designed to offer full protection against EMI/RFI interference. Manufactured by Daturr's parent company Knurr AG of Munich and fabricated from steel, the complete enclosure consists of a welded rack shielded by a cabinet of detachable panels. The special design allows access to the enclosed equipment without impairing the RF shielding, even when panels are removed for maintenance and special panels are available to cover gaps left between individual pieces of equipment.
The RF shielded rack is available in both fixed and mobile versions and can readily be used with various accessories included for use with the standard steel rack.
Daturr Ltd, Albany Park, Camberley, Surrey GU15 2PL, UK. Tel: 0276 681212.
OpTex Amsync audio system
OpTex has developed a compact, crystal controlled stereo recording system for use with either the Sony TC-D5 portable cassette recorder or the Sony WMD 6 C Professional Walkman. The package includes the modified cassette recorder and APS-I resolver. The system retains full stereo capability without resorting to one direction only running.
Crystal control is applied as a sub-audio signal and subsequently filtered out by the APS-I during transfer. An additional timecode head can be fitted but this prevents turning of the cassette.
While the TC-D5 provides facilities for powering mics and can be used for recording two separate tracks rather than stereo, the manufacturers suggest using the WM-D6 C in combination with an SQN mixer providing powering, microphone mixing, PPM level control and Dolby C all in a package similar in size to a 4 Ah battery pack.
Optical & Textile Ltd, 22-26 Victoria Road, New Barnet, Herts EN4 9PF. Tel: 01-441 2199. Telex: 8955869.
Soundtracs FM mixer
Soundtracs has announced the FM series 19 in rack-mounting mixer which will be available for fixed installations or fitted in a flight case. The steel and aluminium mainframe which is 15 U high can hold up to 14 (1 unit wide) modules. Current 1 unit wide modules include Mono Input; Mono Input with Remote Start; Stereo Input with Remote Start; Monitor Input; Group Output (8-track monitoring); and Monitor Output. Three other modules are available; the 2 unit wide PA Rec Master; the Monitor Master; and a 4 unit wide Group Output with 4-track monitoring.
With the modular system a number of configurations are possible including a 8/4/8/2 recording/PA mixer with mono and stereo inputs, an 8/1/0 monitor mixer and a 12/2 PA or 12/2 broadcast version with mono and/or stereo inputs. An external 3 U high power supply is also available.
Soundout Laboratories Ltd, 91 Ewell Road, Surbiton, Surrey KT6 6AH, UK. Tel: 01-399 3392.
USA: MCI-Intertek Inc, 745 109th Street, Arlington, TX 76011. Tel: (817) 640-6447.
Mitsubishi video interface
The Mitsubishi Pro Audio Group has introduced an interface which will allow communications to the recently introduced IDF (Intelligent Digital Fader) from a CMX editing system or other similar video editing system, providing software for the support of external audio-follow-video devices. The interface will contain protocol information allowing total real-time automation control of fader level and mute commands by an edit system. The IDF system offers 16 groups in four levels of operation and the architecture provides for further interfaces with other automation devices. Each fader is a self contained computer system that provides \( \frac{1}{2} \) frame accurate muting and 0.25 dB fader resolution.
Mitsubishi Pro Audio Group, 225 Parkside Drive, San Fernando, CA 91340, USA. Tel: (818) 898-2341.
UK: Mitsubishi Pro Audio Group, Unit 1, Fairway Drive, Greenford, Middx UB6 8PW. Tel: 01-578 0957.
PatchPrints
The Patch Bay Designation Company is offering a custom labelling service for audio and video patchbays, control panels, racks, consoles, rear illuminated button switches and all field designated areas. The thin plastic PatchPrints are washable and designed not to shrink, stretch or fade. Options include black lettering on a white background or white on black and colour coding.
Correct specification is important and special layout sheets are available from the company.
The Patch Bay Designation Company, PO Box 6278, Glendale, CA 91205, USA. Tel: (818) 241-5585.
Portasol soldering iron
The Portasol soldering iron is a gas powered, lightweight, variable temperature iron available with either a 2.4 mm, 3.2 mm (supplied as standard) or 4.8 mm tip. The iron is simply filled with standard butane gas lighter fuel; the cap has an in-built ignition system and the working temperature is easily controlled in a range equivalent to a standard 10 to 60 W electric iron. In addition to its portability, an obvious asset is the reduced risk of damage to electrically sensitive components.
JEM Marketing, 180 Princes Avenue, Palmers Green, London N13 6HL, UK. Tel: 01-889 1415.
A sound choice all round...
Court Acoustics now offer you a range of graphic equalisers, each ruggedly designed for professional life. The GE30 and GE60 mono and stereo 30-band third-octave graphics; ISO centres from 25Hz to 20kHz. The GE1515 stereo half-octave equaliser, with 15 bands from 25Hz to 16kHz, or the GE1515X with additional built-in 12dB/octave 2- or 3-way variable crossover.
Other facilities include 10dB boost and cut with centre detents. Electronically balanced inputs and outputs – XLR and 1/4 in jack – with optional transformer balancing. The relays giving hard-wired bypass in power-off. Top and bottom sliders offer low-pass and high-pass filter characteristics respectively – at 18dB/octave.
Our special 'Uniloop' design makes our graphics unique. The fact that even with all the faders at maximum or minimum, you'll get a largely flat response.
Court Acoustics, 29 Beethoven Street, London W10 Tel 01-960 8178
**Toa KY condenser mic**
Aimed at a variety of on-stage and studio applications the Toa KY condenser mic is a modular design featuring a newly developed thin, gold vapourised diaphragm. A YMM musical instrument mic capsule is supplied as standard but optional YMV and YFV capsules for male and female tenor voices are available.
The mic includes a built-in voltage regulator and can be used with external voltages between 9 to 52 V. Other features include a red LED to indicate live status, lockable On/Off switch, removable windshield and a grey matt finish to reduce glare under stage lighting.
**UK:** Toa Electronics Ltd., Tallon Road, Hutton Industrial Estate, Brentwood, Essex CM13 1TG, UK. Tel: 0277 233882.
**USA:** Toa Electronics Inc, 480 Carlton Court, San Francisco, CA 94080. Tel: (415) 588-2538.
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**MS-Audiotron MCA-Multimix**
Described by the Finnish manufacturer as a unique computer-controlled audio system for theatre, musical and similar applications, the MCA system is part of the Multimix audio console. The system is based on a Rockwell FORTH microcomputer with a 3.5 in disk drive. Communication is via a CRT terminal and the MCA system also supports an optional printer. Modifications to the basic Multimix console include replacement GC8 computer-controlled grouping modules on all mic or line channels requiring MCA control and an LCS level control module fed from the group output.
Software is used to control (via a serial interface) tape machines under direct command of the MCA system. Commands available are start and stop the tape on cue and autolocate. Four relay start outputs (without autolocate) are available for tape machines without serial interface.
The complete system is designed to handle input channel routing, output matrix switching with level control and speaker matrix switching and tape machine control. Subroutings for fade in and/or fade out and multichannel panning are a feature of the software. Panning can be carried out either manually or alternatively the channel sequence, mixing and panning velocities can be saved in the situation memory. In order to facilitate the setting up of theatre sound effects the MCA system can be controlled via a portable terminal either on stage or from the auditorium.
**MS-Audiotron, Laitilantie 10, 00420 Helsinki 42, Finland. Tel: 90-566 4644.**
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**In brief**
**TMK Instruments** has released details of the CLM1 and CLM2 digital cable length meters. In addition to measuring general lengths of at least 2-core or core and screen cable, the new meters can be used to measure a full reel and monitor the amount used over a period of time. Both instruments have three ranges (2 m, 200 m and 2 km) and are claimed to be accurate to within 1%. The CLM1 is for use with most general purpose cables (capacitance range: 85-275 pF/m) and the CLM2 for lower capacitance cables (<40-100 pF/m). Free accessories include test leads, test prods, battery, instruction manual and carrying case. Harris Electronics (London) Ltd, 138 Grays Inn Road, London WC1N 8AX, UK. Tel: 01-837 7777.
**Switchcraft Inc** has introduced a new range of black non-insulative QG connectors with gold contacts. The range is available in 3-pin A and D series connectors.
**Ampex** is providing an extra 4 min of tape on its 672 series professional audio C-30, C-45, C-60 and C-90 cassettes. This is primarily to cater for the spoken word recording market’s requirements.
**Agfa-Gevaert Inc** has announced the availability of PEM 469 in 5,000 ft lengths. The new 2 in version is wound on 14 in spools.
**Yale Audio** has introduced C-1 and C-2 self-adhesive vinyl labels for professional users. The C-1 sheet which is available in either black, red or white contains various positional markers for labelling knobs, switches, pushbuttons, etc. The sheet includes a variety of graphic switch positions, arrows and ‘pointing fingers’. C-2 is for use in identifying cables and includes various symbols, numbers and commonly used letters. Yale Audio of Florida Corp, PO Box 2661, Tampa, FL 33601, USA.
**Audio Precision** has just released new optional plug-in filters for its System One to allow the individual measurement of second or third harmonic distortion. Commonly used fundamental frequencies (1 kHz, 400 Hz and 315 Hz) are available to order and the new filters can be custom made for any frequency in the audio range. Also new is the wow and flutter option. In addition to NAB, IEC (DIN) and JIS weighted and unweighted measurements the new option has a scrape flutter bandwidth extended to 5 kHz. New routing switcher modules now permit multitrack tape machines, analogue or digital to be connected to System One.
**Levell Electronics’ HM208** digital storage oscilloscope is now available. The instrument can be used as a dual 20 MHz real time oscilloscope or as a digital storage oscilloscope with digitising rate up to 20 MHz. Maximum sensitivity is 1 mV/cm.
**Sound Technology** has introduced **Audio Test Software** for use with the 1500A or 1510A audio test system and IBM compatible computer. The menu driven software measures 2-channel AC volts, azimuth, 2nd, 3rd and THD, frequency response, flat and weighted noise, maximum operating level and channel separation. In addition to the graphic and general test module there is a tape test module which performs an automatic pass/fail testing sequence for 2- or 3-head tape recorders.
IT MAKES TAPE MORE FLEXIBLE
Otari would like to draw your attention to a remarkable new recorder: The MX70. The MX70's microprocessor-controlled tape transport, closed-loop tension control and real-time tape counters give you instant, accurate tape control. And that gives you more time to do a better job.
The MX70 is designed for ease of use with machine controllers and synchronisers, meeting a variety of standards, including SMPTE. This makes it as valuable in video post-production and broadcast studios as it is in audio recording.
Features like these, and many others, make the MX70 one of the most flexible tools any growing studio could wish for.
But there's one area where Otari's MX70 really does offer the kind of flexibility that no other machine can match. In formats.
The MX70's option list lets you choose between 1" 8-track and 1" 16-track formats. Convert to ½" 8-track. Or even switch between all three options on the same machine.
But while the MX70 sets new standards for flexibility, the men at Otari have stuck rigidly to tradition.
They haven't budged an inch on quality.
JBL 6215 amplifier
JBL Professional has introduced a new power amplifier designed to fit into a single 19 in rack space. The 6215 has a rated output of 35 W into 8 Ω, 45 W into 4 Ω or 90 W into 8 Ω, mono bridged mode and is recommended for use where power requirements are minimal such as driving headphones or small speakers in confined studio or broadcast applications.
The amplifier is housed in a heavy gauge, rugged steel chassis and features fully complementary devices in all pre-driver, driver and output stages. Reduced audible distortion is claimed by using a low transient intermodulation design (pre-driver stage local feedback) with minimal overall negative feedback required to set the overall circuit operating points.
Inputs are standard ¼ in TRS, XL connectors or barrier strip, output terminations feature 5-way binding posts. Individually stepped gain controls allow precise setting of input sensitivity.
JBL Professional, 8500 Balboa Boulevard, Northridge, CA 91329, USA. Tel: (818) 893-8411.
UK: Harman (Audio) UK Ltd, Mill Street, Slough SL2 5DD. Tel: (0753) 76911.
Nexo PCLine speaker systems
French manufacturer Nexo has released a new range of small loudspeaker enclosures. Initially three models will be available—the PC115, an 8 Ω four unit enclosure suitable for use with 250 to 450 W amplifiers; the PC212, a 4 Ω, five unit enclosure for use with 500 to 700 W amplifiers and the PCSub, a sub woofer system using a single 18 in drive unit and suitable for 500 to 700 W amplifiers. Wedge versions of the PC115 and PC212 are due to be released in the near future.
All the loudspeakers feature five rigging points and with the exception of the sub woofer have provision for stands and brackets.
According to the manufacturer new computer optimised bass loading allows volume reduction and increased low frequency extension. Overall frequency response (+3 dB) for the PC115 is 55 Hz to 17 kHz; for the PC212, 50 Hz to 17 kHz and for the sub woofer 40 to 100 Hz. nominal peak SPL specifications are 130, 133 and 130 dB SPL/1 m respectively.
Nexo Distribution, 153, Allée des Erables, ZAC de Paris Nord II, BP 50107, F-95950 ROISSY, Charles-de-Gaulle, Cedex, France.
Adams-Smith controller
Adams-Smith recently announced the availability of the new 2600 CC compact controller. The new controller can operate five tape synchroniser modules and a timecode generator to control and synchronise up to five audio or video recorders. Fully automated previewing, recording and replay can be implemented using only the system in and out points with all offsets, pre- and post-rolls and durations calculated automatically. Other traditional editing functions such as auto cueing, looping, stopping, recording, etc. are also provided.
The new controller also includes eight non-volatile function keys enabling the user to store often used routines; 100-position, 12-digit, non-volatile scratch pad memory; timecode/ft and frames conversion; drop/non-drop frame conversion; ATR varispeed and optional — frame accurate audio punch in/punch out and/or aux equipment turn on or turn off.
The 2600 CC, which is small and light enough to be held in one hand, can be connected up to 500 ft (150 m) from the System 2600 chassis and is compatible with other System 2600 modules.
Adams-Smith, 34 Tower Street, Hudson, MA 01749, USA. Tel: (617) 562-3801.
UK: Adams Smith UK Ltd, Barnwell House, Room 9, Barnwell Drive, Cambridge CB5 8UJ. Tel: 0223 215 366.
Ibanez SDR1000 reverb
Ibanez has introduced the SDR1000 stereo digital reverb. Using high speed parallel digital processing the two channels can either be programmed independently using different modes or set for identical reverb characteristics. A choice of 30 preset programs or 70 user-definable presets are provided. Eight overall characteristics: Hall, Room, Plate, Gate, Reverse, Dual Delay, Dual Reverb and Auto Panning provide the basis from which all the presets are derived.
Front panel facilities include 4-band EQ, 12 edit modes and three MIDI parameters, and in-built software allows direct comparison of new sounds against sounds already in the memory.
Input and output levels are quoted at −20, +4 dBV, impedance 47 kΩ (input), 600 Ω (output). The unit is 16-bit linear (26 kHz sampling) providing a 90 dB dynamic range and a frequency range (on effects) from 20 Hz to 10 kHz. Total harmonic distortion is claimed to be less than 0.03%.
UK: C Summerfield Ltd, Dukesway, Team Valley, Gateshead, Tyne & Wear NE11 OUR. UK. Tel: 091 482 2228.
USA: Hoshino (USA) Inc, 1726 Winchester Road, PO Box 886, Bensalem, PA 19020. Tel: (215) 638-8670.
Rush outboard EQ
Designed in response to requests from users of computer-controlled consoles who desire the smoother sound usually associated with older desks which have inductors and shelving type circuitry Rush Electronics has announced its new outboard equaliser. The unit features high and low frequency shelving controls each with five switchable frequencies, two mid frequency presence controls each with 10 switchable frequencies and high and low pass filters, 18 dB/octave at five switchable frequencies. Gain is adjustable between −10 and +10 dB and each module has polarity, equaliser in/out and filter in/out switches.
Up to eight individual modules and power supply can be mounted in a 10½ in (265.9 mm) Eurocard frame and either transformer or active balanced inputs and outputs can be specified.
The module is also available with a mic input using a 23 position gain switch (−80 to −20 dB mic/−10 to +20 dB line) in 5 dB steps. On line input a trim control is also provided for fine adjustment. Also available is a single chip microprocessor system which can recall all control settings and has up to 20 memories. An onboard battery backup retains memory information when the power is switched off.
Rush Electronics Ltd, 29 Alexandra Road, London N8 0PL, UK. Tel: 01-889 2200.
The finest touring consoles never stand still.
Many of the world's top artists regard Soundcraft touring consoles as outstanding. However, that hasn't made us complacent. We've made a few enhancements to the Series Four, derived from listening to the people who use it.
And based on the world's most successful live sound desk, the 800B, we've developed an exceptional new touring console – the Series 8000.
Both possess the advanced ergonomics, operational simplicity and reliability you've grown to expect.
Series Four and Series 8000. Classic technology, created for music.
For further information, contact us today.
Soundcraft
PERFORMANCE SERIES
Soundcraft Electronics Ltd, Unit 2, Borehamwood Inc Park, Rowley Lane, Borehamwood, Herts WD6 5PZ, England. Tel: 01 2075060 Fax: 01 21998 (SCRAFT@). Fax: 01 2070194
Soundcraft USA (1)313-453-4591 Soundcraft Canada (514) 685-1610 Soundcraft Japan (03) 341-6201.
Greengate DS:3 and DS:4
Greengate recently announced major additions to its Apple-based sampling sequencer package.
A MIDI card and updated software allows the DS:3 sampler to be controlled from the Greengate keyboard or to interface with other MIDI devices.
The MEG-1 board is an add-on memory card which fits inside the system's Apple computer to give vastly extended memory facilities. MEG-1 samples at up to 85 kHz and gives a maximum 148 s sample at around 3 kHz response. The whole sample can be visually edited and dumped to disk even if up to nine disks are required—an alternative is to use the new Apple High Capacity disk drive.
In the Performer mode MEG-1 can hold 32 sounds for full-time monophonic playing or 4-note polyphonic playing of the first 2 s of the sample. Sounds for a live performance can be loaded into the MEG-1 from disk and pulled down virtually instantaneously.
SYN 1 is a software disk for the DS:3 which allows the system to synthesise its own sounds from scratch, or combine and edit sampled sounds. Two sampled or synthesised waveforms may be put through an 'in-betweening' process which transforms one into the other during the course of a note. Sound envelopes can be edited or reversed. All sounds are audible during editing.
The GDX 7 software allows the DS:3 to be used as an editing and library system for the Yamaha DX-7. The display lists all DX-7 parameters and allows you to edit sounds using the computer's keyboard and to play sounds from the Apple keyboard for TX-7 and TX-816 FM module editing.
Envelope generators can be copied and voices initialised instantly, and it is possible to enter upper and lower case names into the DX-7. Banks of sounds can be re-arranged and it is possible to save 29 x 32 sounds (total 928) on to a single Apple disk.
Soon to be released is Greengate's DS:4, a 16-bit, 8- or 16-voice, 12 or 24 s sampler with MIDI, 'intelligent' SMPTE, optional waveform creation and digital delay software.
Greengate Productions, Unit D, Happy Valley Industrial Park, Primrose Hill, Kings Langley, Herts WD4 8HZ, UK. Tel: 09277 69149.
USA: Greengate Productions, 2041 Pioneer Court, Suite 15, San Mateo, CA 94403. Tel: (415) 345-3064.
360 Systems MIDI Bass
360 Systems is now shipping the MIDI Bass, a monophonic bass sample-playing unit with interchangeable EPROMs.
Thumb/Slap, Fretless, Gibson, Fender, Synth and many other bass sounds are available and the unit is supplied with picked, slapped, upright and MiniMoog bass sounds. Programmable split point and velocity sensitivity are featured.
360 Systems, 18730 Oxnard Street, Tarzana, CA 91356, USA. Tel: (213) 342-3127.
UK: Rod Argent's Keyboards, 20 Denmark Street, London WC2H 8NA. Tel: 01-379 6690.
C-Lab Supertrack
Supertrack is a 16-channel polyphonic MIDI recording system for the Commodore 64 micro and the C-Lab, Steinberg, Jellinghaus, Korg, Yamaha or other interface.
The 16 tracks are assignable to any MIDI channel and are labelled with channel number, on/off status, velocity level, transpose value, quantise value and loop length. Tempo can be altered as the patterns play, tracks can loop around any portion of their total length independently. Maximum pattern length is 256 quarter-notes in any time signature. Sixty-three patterns can be held before disk dumping and used to create 8,500 note compositions comprising up to 255 patterns.
Playing can be auto-corrected for timing or mixed with step time entry and patterns can be repeated in different keys or with different tracks muted. Any of the 16 tracks of a pattern can be edited using a display of every MIDI event including note, velocity and patch change information.
Completed tracks can be transposed, delayed for echo effects, doubled or halved in speed, copied or 'ghosted' to experiment with new velocity or transpose values, merged or 'punched in' for overdubbing and saved to disk. MIDI or clock pulse drum machines and sequencers can be synchronised depending on the interface used and the package is SMPTE-compatible using a Roland SPX-80 or similar unit.
C-Lab, PO Box 710446, 2000 Hamburg 71, West Germany.
UK: Sound Technology, 6 Letchworth Business Centre, Avenue One, Letchworth, Herts SG6 2HR. Tel: 0462 675675.
Beetle accessories
The Beetle PR-7 is an editing device laid out to resemble the front panel of a Yamaha DX-7 synthesiser. It allows the user to edit sounds on Yamaha's TX-7 or TX-816 FM modules without a DX-7 and has a slot for a ROM or RAM sound cartridge. Beetle's QR-1 is a 'RAM Disc' which replaces the Yamaha DX and RX, Casio CZ and Roland TR series cartridges.
Beetle Inc, 117E Colorado Boulevard #8250, Pasadena, CA 91105 USA.
AMEK
APC 1000
ASSIGNABLE PRODUCTION CONSOLE
With Reset, Recall, 64 Busses, Keyboard Control and the GML Moving Fader System, AMEK APC 1000 ASSIGNABLE PRODUCTION CONSOLE offers the recording industry its first viable alternative in years.
The Next Revolution in Console Technology is here
Head Office and Sales:
AMEK SYSTEMS AND CONTROLS LTD,
Islington Mill, James St,
Salford M3 5HW, England
tel: 061/834 6747
telex: 668127 AMEK G
In the USA:
AMEK CONSOLES INC,
10815 Burbank Blvd,
North Hollywood, Ca 91601
tel: (818) 508 9788
telex: 662526 AMEK USA.
www.americanradiohistory.com
WE’VE GOT THE BEST OF 24 TRACK WRAPPED UP FOR YOU.
When you’re going 24 track, choosing the right equipment is vital, because you’ll be working with it for the next few years.
So we put ourselves in your position. And brought together the best in 24 track.
The result is the UK’s only professional 24 track centre.
Here, for the first time, you can get your hands on and discuss a unique range of equipment – all under one roof.
We’ve consoles like the Trident Series 75, the Soundcraft TS24 and, for the first time in a UK show-room, the new automated Amek Angela.
Together with multitracks and mastering recorders from Otari and Soundcraft – and the latest in synchronisers.
Our advice is free, our back-up comprehensive.
So come and test the best in 24 track for yourself. We’ll help you get it well wrapped up.
Stirling
AUDIO SYSTEMS LTD
THE FIRST STUDIO SYSTEM CENTRE
1 Canfield Place, London NW6 3BT Tel: 01-625 4515 Telex 946240 CWEASY G Ref No. I90 I4280
DIGITAL MASTERING
TAPE ONE
Tape One studios rose to fame when they became the first facility capable of processing digital recordings fully digital. Janet Angus talks to co-owner Bill Foster about their rooms, equipment, and philosophy and his thoughts on digital and the future.
Tape One has been in the disc cutting business since 1975 and was therefore well placed to take what at the time, was a very radical, or at least risky step. As early as 1983 co-owners Bill Foster and Barry Ainsworth came to the conclusion that the future of recording was going to be very heavily digitally orientated and they decided to order two digital consoles from Neve. The first took one year to arrive; the other took two. The first to arrive was nicknamed Attila because it looks just like a cash register! Not a conventional multitrack mixing console as such, as it only has two channels but it is capable of providing EQ and level correction in the digital domain. This meant that if you brought in your 1610 digital master cassette it was no longer necessary to go through the previously unavoidable DA and A/D conversion when mastering.
Bill: "The effect of an all-digital chain is to give greater separation left and right. Look at something like Return of the Jedi, which was done at Abbey Road/Anvil. We got it here to cut and as an experiment we bypassed the analogue desk completely. The difference was astounding. That was one of the things that prompted us to go for all this."
Having already acquired the first Sony 1610 in 1982, they met with a certain amount of resistance from Neve in early 1983 when they put to them the idea of developing a small digital console. "They wanted to make big music consoles, not silly little two channel things like that."
Attila now has its home in Digit One situated in the basement of the Windmill Street premises. The room was formerly a jingles studio with voiceover booth, then it was used for cassette mastering and is now about to undergo the Tom Hidley studio treatment to bring it in line with the other two digital rooms in the building.
Attila is fed from Sony 1610/1630s, has EQ, limiter/compressor and gain control and gives a 1610/1630 compatible signal out. As a lot of CD work is on the 1610/1630 format this made more sense than converting a digital recording to analogue and back again.
Another radical step was the arrival of a Philips PQ subcode editor around the same time as the Attila, making Tape One the first facility to offer PQ editing outside a CD manufacturing plant. This is installed in Digit Two. Other equipment in Digit One and Two includes Sony DAE 1100 editor and PCM 701.
The new Digit Two and Cutting Room One are located on the top floor; although it is not ideal having the rooms split in this fashion it was preferable to moving somewhere different. Bill: "We were restricted for space and our hands were tied, apart from moving. It would be mad to go though because at least 60% of our clients—the record companies—have WI addresses. And anyway, to move would be too great an upheaval."
A couple of flights of stairs, however, is no hardship. The only real handicaps were restricted room space and possibly, ceiling height. Cutting Room One was opened January 2 1986. A Tom Hidley '30 Hz Room' ("we would have liked the 20 Hz version but there just wasn't enough room"), it is roughly 14 x 10 ft. with finishes in light oak and white and blue fabrics. At the moment with the Neve console, Tape One have an advantage over the competition.
"Neve were very bold really. It was a hell of a step to design a digital console from the ground up and the result really is a remarkable piece of equipment. The market in DSP is going to be post-production for the next few years until there are enough digital multitracks in the field. But for post-production—having recorded your master at any studio of your choice—you now have your stereo in digital. Once you reach this stage I don't like to put it back into analogue until the last possible moment; too many DA and A/D conversions degrade the sound. Nowhere in the chain here does it go into analogue!"
The Neve has 48 kHz sampling and there are two custom built sampling rate converters (44.1 kHz to 48 kHz to 44.1 kHz) for 1610/Neve. The Neumann VMS80 cutting lathe is controlled from the desk and has all metering and indicators remotied to the desk position. The Neve has a programmable 40-event memory. EQ, compressor, limiter, lathe settings and level may all be stored on a 3 1/2 floppy disk and each album stored on a separate disk.
The monitoring section of the console can input analogue or digital sources (two of each). Copy tape output can be pre- or post-EQ. There are a couple of analogue insertion points...
The Dolby XP Series
Professional Cost-effective
The Dolby XP Series contains up to 24 channels of Dolby A-type noise reduction in 12\(\frac{3}{4}\)” of rack space, including power supply. The XP Series utilizes an on-board, integrated noise reduction circuit instead of the interchangeable Cat. No. 22 modules used in the SP Series, providing the same A-type noise reduction at a price over 20% lower.
Each XP noise reduction channel consists of a plug-in Cat. No. 331 module which contains the Dolby A-type noise reduction circuitry, precision input and output amplifiers with low distortion, controls, and an accurate LED calibration display. The separate, regulated PS3 power supply, designed for rack mounting directly above the noise reduction unit chassis, contains fan cooling and electronically-controlled output protection.
The XP Series includes “uncal” controls, permitting convenient resetting of Dolby level for playback of and punch-in on tapes from studios with different Dolby level standards. The user can select the option of “hard-wired” or electronically-buffered bypass of individual channels or all channels simultaneously. The XP offers discrete FET switching for reliable, noise-free routing of audio signals. For convenience of wiring and for stability, a new detachable multi-channel connector plate is used, with tie bar for the cable form.
Dolby noise reduction is a mainstay of professional multi-track recording in studios throughout the world for music, film, broadcast, television, and videotape production. Over 90,000 channels are now in use world-wide. The benefits of Dolby A-type — improved signal-to-noise ratio, lower distortion, and reduced cross-talk and print-through — are achieved with a minimum of signal processing and with resultant high signal integrity.
Dolby Laboratories Inc., 100 Paterno Avenue, San Francisco CA 94103. Telephone (415) 538 0200 Telex 34109
346 Clapham Road, London SW9 9AP. Telephone (01) 720-1111, Telex 919109
“Dolby” and the double-D symbol are trademarks of Dolby Laboratories Licensing Corporation L85 300
being the first to take in a DSP and now with their new digital disc mastering console Tape One has gained a wealth of experience. From a practical point of view Bill finds the digital EQ much more precise than the conventional analogue. Rather than sweep EQ, the Neve has selectable spot frequencies which are fairly close. It has variable Q and high and low pass filters.
"For EQ in the digital domain—the same rules apply as in analogue. But it is unlike analogue EQ in that there you are changing a pot against a painted number and depending on the manufacturer having screwed the pot on in the right place to make it accurate—or not."
"But digital EQ has one huge advantage over analogue EQ because it is only a string of numbers. If you were foolish enough to want to put in for example 6.7 dB of boost at 8.3 kHz, you add that to the left hand channel and exactly the same on the right hand channel so you don't introduce any phase error. In analogue it is always slightly different. There is no ringing from the EQs or any other nasty side effects and that exact EQ can be instantly recalled."
"With limiting, because you are processing a digital signal as it passes through, problems such as overshoot are eliminated."
"If you are cutting a vinyl disc, obviously ultimately it is going to be analogue. We feel we would prefer a digital signal to stay that way for as long as possible, ie the front end of the disc cutting amp."
Bill feels that audio post-production facilities will all go digital quite quickly, although at the moment there is not really room for every cutting room in England to have a DSP. During a recent interview at the CBS pressing plant it was suggested that a lot of pressing problems are being created by the misuse of digital recording equipment. Although Bill agrees that this might well be the case he feels that it is a problem for the producer rather than the cutting room. By the time it reaches cutting those sort of problems should have been eliminated.
"Obviously I don't mean that we would just ignore it if it was there. For example we can do different versions for vinyl or CD to change the dynamic range but we are set by the maximum levels of the vinyl noise. Yes digital does allow you to do things which vinyl doesn't necessarily like."
The monitors in Cutting Room One are a Tom Hidley design and feature Kinoshita horns with TAD bass drivers set in concrete. They are driven by an FM Acoustics 800 series amp. Nearfield monitors are Yamaha NS10s and they are novelly mounted slung across either end of the console angled in to the engineering position.
All the cabling on the top floor was designed by Rod Duggan of TotalSystems. In the cutting room there are insertion points for three machine positions: standard analogue in/out, parallel remote for the A80-type machine, serial remote RS422 for the 820 and D820 when they eventually get one (the Neve remote control system is serial), and remote for the 5850 DAs—1610-type U-matics, there are three video cables: left, right and clock for 1610; and an AES/EBU interface in both directions—the latter runs the Mitsubishi X-80 coupled to a custom built box which converts the Mitsubishi signal to AES/EBU enabling us to plug straight into the Neve without going into analogue.
Other equipment in here includes a Yamaha REV 7.
"It's a very competent little unit and you can use it to add a bit of echo or if a producer wants anything specific we can hire it in."
Tape recorders include Studer A80, A820 (will be two) for analogue copies, A710 cassette recorder, Sony 701 and C9 (seven of which are in the building). There are currently two channels of Dolby A although Tape One has ordered a pair of Dolby SRs because they anticipate SR tapes coming in from the States in the near future. Plans to add the Studer D820 to this tape machine complement have been abandoned for the time being. Originally marked down for the first UK available machine, Tape One have relinquished their option. "As DASH 2-track appeared so late we are unsure how fast it is going to be accepted. We felt it would be better if the first machines went to the hire companies. We still have an option but we will bide our time. There is not much point in us having the only machine. Had DASH appeared in 1984 it would have had more impact on the market than it is going to now."
Digit Two is again a Hidley room. Used for CD pre-mastering the room has not been designed to do complete remix work, although it can accept analogue sources. It is generally utilised for working on masters or production masters which are EQ'd and ready to roll.
The console is a DDA S series 4-channel with very basic facilities. Any really heavy EQ requirements will go into Digit One. Digital metering, again by TotalSystems, gives a readout of 1610/1630, level, error correction, peak hold and overmodulation.
The monitors are Studer 2706s, driven by an HIT amplifier. They apparently tried out various monitors in this room and eventually came across the Studers which turned out to suit the room perfectly.
Just arrived was another UK first: the bu102 from Harmonia Mundi for use in CD pre-mastering. Future updates to this will include the addition of EQ.
The procedure in Digit Two goes like this: transfer to tape master; check CD record level; check emphasis status, transfer from F1 and digitally (with the Harmonia Mundi), adjust the programme time correction if it is wrong.
Ordered in 1983, the PQ editor arrived in May 1984, the same time as the first Neve DSP. This facility is advantageous for a number of reasons. If the CD plant is busy and they have a backlog you may well have to wait two weeks for them to be able to fit your CD in for PQ editing. If you are able to supply the tape master with PQ already on it, it is ready to go straight into production, thus saving an unnecessary wait.
"With PQ code, there is often an artistic point to put the track change and it is not necessarily where the white coated engineer at the CD plant would think. We felt that this was a decision that engineers and producers would like to take part in.
Technically it is not possible to overlap between tracks on a CD—what does the player do when you select your tracks? It cuts off and picks up at specific points, you cannot have a crossfade. If it is a complex album we can spend quite some time on this aspect."
The Sony CD mastering system comprises a range of independent, yet fully compatible products to give you total financial control during your integration into the world of digital sound. Just clip the coupon and we will send you a copy of 'CD Masters' that will tell you how to build, from a simple digital recording system to a complete CD Master post production suite.
**CD MASTER GUARANTEE**
Sony Pro-Audio guarantee that all compact disc manufacturers accept the Sony format, and more tape duplicating plants and cutting centres are equipped with Sony equipment than that of any other manufacturer.
**Sony Pro-Audio**
Sony Broadcast Ltd.
Belgrave House
Basing View, Basingstoke
Hampshire RG21 2LA
United Kingdom
Telephone (0256) 55 0 11
International + 44 256 55 0.11
Telex 85 84 24
Fax G2/G3 (0256) 4745 85
Marketing Services,
Sony Broadcast Ltd.,
Belgrave House,
Basing View, Basingstoke,
Hampshire RG21 2LA
Telephone (0256) 55011
Please send me my copy of Sony 'CD Masters' to:
Name ____________________________
Position ___________________________
Company __________________________
Address ___________________________
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Tel _____________________________
SS/8/86
"The Sony PQ editor gives you a print out as does this Philips one we have, but the advantage of the Philips is that it also allows you to type in track listings and technical information. You can put remarks at the end for the CD plant. For example, if there is any clicking or hiss you can tell them where it is. Otherwise you may have the thing sent back to you unnecessarily. They are particularly 'unusual' about this in Japan—any little hiss or click and it's straight back. This way you can tell the mastering engineer at the plant and save everybody a lot of trouble. There was an example once of a Japanese plant sending a CD master back because it had some noise on it which turned out to be the musicians picking up their instruments. So it saves time and money if you can tell them things like that at the start. Other common things include it sounding like the beginning is chopped off, you can tell them in advance."
The final process is digital verification of the tape with the Sony DTA 2000.
"This room was designed for critical monitoring. In here we are listening for audio defects such as image shifting, or granular distortion on some of the earlier digital recording at lower levels. We can also use the room for straight editing. Being intended for working with digital recording the noise level of these rooms is critical and all machinery which may possibly be housed elsewhere is. The machine room is located in between Digit Two and Cutting Room One. Powered in two halves it contains the DSP computer, two Sony 1610s, 5850 DA, Sony tape analyser, Editor and Philips PQ editor, three Sony BVU200 U-matics for Digit Two (considered more robust for CD mastering than the more usual 5850 DAs). Bill: "The third can be assigned to the disc cutting room if they need it." Also housed in here are the analogue input/outputs and sampling rate converters for the Neve.
It is relatively recently that digital work has really taken off outside the world of classical music recording. Although digital recording ultimately comes into its own in that type of recording it nevertheless has a pretty strong case in all types of music recording. For evidence of this you only need to look at the amount and type of work going through Tape One every day.
Classical music accounts for only 40% of CDs now. Classical music will generally either be recorded by the majors (eg EMI) where they have their own mastering suite or Decca where they have their own digital system) and it will probably go to either digital multitrack or straight to stereo. They don't usually want to re-EQ because they do that when they are recording. The level of post-production required in classical music with regard to EQ is fairly minimal. Classical engineers coming to Tape One will generally want to simply make copies, get rid of pre-emphasis or correct traffic noise.
Bill: "Digital multitrack will make a difference with pop. You only have to listen to something like Tina Turner's Private Dancer. That is probably the best pop CD to come out of this country. On tracks like I can't stand the Rain, where the beginning of the track is really quiet, you really notice the difference; it is very apparent. Some of it was analogue I think but it has been very carefully laid. Icehouse is another one—the clarity on an all-digital album is unbeatable.
"I think digital is very valid in pop. Mixing to digital is perhaps the key, or the first copy from the analogue mix. The problem in post-production is that you go into so many generations. The normal procedure is that you get a master mix or even a collection of master mixes done at various studios which probably have to be copied onto a production master. It is impractical to send that to both the cutting room and the cassette plant—the cutting room might be in London and the cassette plant in Leicester. So you copy the production master for cassette. Then the CD plant will need a dub...
"For purely economic reasons, if a copy tape is sent to England from America they will have that re-copied for Europe. Coming into England, EEC taxes have to be paid. Once within the EEC it can be distributed throughout Europe without the tax being levied again. If the production master is digital, all those copies can be done in the digital domain without degradation. You still have multiple digital generations, but I think that it is accepted that the losses in the digital domain are undetectable.
"When you get producers with digital recordings coming in they want to keep it digital. While you are cutting the lacquers a copy for CD can be made without going back into analogue. You can simultaneously make a separate copy for CD without the EQ for the disc."
Cutting Room One may also be used for compiling CDs. A recent example of this was Bryan Ferry's Street Life. We transferred it from Mitsubishi X-80, EQ'd and made it up. We did the lacquers, cassette master and a 74-minute CD (the longest pop CD ever?) all in digital, all done in here and all in one hit. That is an example of this digital audio post-production set-up working perfectly.
The standard of tapes arriving at the cutting/CD pre-mastering facility has, Bill feels, improved quite a lot in the last three years—indirectly because of digital.
"A lot of pop balance engineers are a bit respectful of digital and are therefore taking more care over things they might hitherto have neglected. They are having to be a lot more disciplined. With analogue you can usually sort it out in the mix, digital, if you go over the top you've had it, you glitched it and you've lost it.
"There is a growing awareness of digital and some of the early problems (such as undermodulation giving much increased noise floor, bad edits, varying emphasis status), have now gone away. Most engineers are much more aware of the discipline required in digital.
"A lot of the engineers who grew up in the 70s got used to not having to worry about the equipment. It's like driving a car at 70 mph—you can forget that one wrong move and you are dead because the machinery these days is so sophisticated you can do 70 and hardly notice it. When I got my first car, it did 70 but you really knew about it; it rattled and shook and the tappets were flying up through the bonnet. The same thing happened with the early days of recording when you had those consoles with the big knobs. Now we have digital technology and it's back to the goggles and flying hat!"
It's 4am, you are suffering from an incurable bout of inspiration, the studio is vacant, even the overworked tape-op has sneaked home. Just one more run through before the 8.30am presentation, the final mix-down. The reassuring glow from the CM4400 memory indicator was all it took to trigger the enthusiasm, and you know that the onboard computer will take over the workload speeding up your creativity.
The CM4400 features:
- Up to 44 inputs, 24 track monitor.
- Internal computer allowing 30 different mixes to be pre-programmed.
- Pre-programmed triggerable routing patches.
- RS232 interface for personal computer to display track sheet.
- Using CMS2: Automated muting using SMPTE time base,
- 8 events controller & video synchronisation.
THE CM4400 BY
affordable quality
SOUNDTRACS LTD
91 Ewell Road, Surbiton, Surrey KT6 6AH
Tel: 01-399 3392 Fax: 01-399 6821
Telex: 8951073/SNDOUT/G
U.K. Distributor
Don Larking
audio sales
Luton: 29 Guildford Street, Luton, Beds
Telephone: Luton (0582) 450066
Telex: 825488 DONLAR
www.americanradiohistory.com
Have we ever really been aware of how closely interconnected equipment relationships were in the typical recording studio signal chain? Improvements in one area stimulated updates and gradual improvements in other areas. Equally (although less obviously) deficiencies in some areas were covered up by shortcomings either in specific areas or in general performance levels accumulative throughout the signal chain. These observations really hit home when a piece of equipment is introduced into the signal chain that is either quite different in concept or of a completely new generation of development. The items of equipment in question that can upset the internal balance of a signal chain are medium sized high definition monitors, high performance microphones and almost any variety of digital recording.
One of the initially upsetting things when there has been an upgrade in the signal chain is that the equaliser sounds different. Now, of course, the equaliser is still performing the same action but we may perceive the sound differently as the results are not masked in the same way. For reasons such as this the equaliser has become an area of heavy interest again and there has been quite a considerable amount of activity from manufacturers with new ideas and approaches over the last year or so.
Some of the first to respond to this interest were the mixing console manufacturers. With consoles normally being chosen for their sound and the EQ contributing heavily towards this, the logical step for some manufacturers has been to offer EQ options. In the case of SSL there are now three equaliser options which mainly differ in the area of low frequency section. The standard equaliser 82E02 has brown knob caps on the LF section. There is now a new standard EQ, the 82E242 which has replaced the 82E02 for future consoles and this is recognised by black knob caps on the LF section. A further option is the 82E132 'valve-type' EQ which has orange LF knob caps. Both 82E242 and the 82E132 are available to existing or new clients at extra cost.
Sony and Quad-Eight have chosen a different path by making their equaliser sections removable in addition to other critical areas of the console. The Sony MX-P3000 is the top of the range multitrack console and there is a choice of five plug-in equalisers. The Quad-Eight Westar and Superstar consoles have a similar approach to design, both offer a wide selection of plug-in equalisers. Currently available are EQ modules with 4-band frequency selectable, 4-band fully parametric and 10-band graphic facilities with more units to follow.
Amek has a lot of devotees of the standard in-console equalisers and recently introduced the RMO1 rack mount signal processing system. The PM01 module for this system is a full 4-band parametric unit that is identical to those used in the M1000 and M2500 consoles with fully variable Q, frequency and amplitude on each band.
The power of a popular equaliser is clearly demonstrated by the development of the Neve V series console. This is based upon the 51 series console that had a quite persistent reputation for being a 'good equaliser' lasting beyond several new series of dedicated multitrack consoles.
While on the topic of equalisers for mixing consoles, a small US company by the name of Troisi edc has recently shown a number of modular equalisers such as the FLTR 510 dual parametric filter, the EQ 517 and 518 parametric equalisers which form part of a modular rack system; a retrofit equaliser for the original MCI 600 series consoles and most interesting the DQ 520. This is based upon the EQ 518 parametric but with the addition of a dynamics feature that allows the introduction of the equalisation at a user predetermined level. The equaliser section is a 2-band design and the threshold is adjustable from -40 to +20 dB. The dynamic control is designed for a smooth transition across the threshold. Further there is a direction switch that selects whether the EQ is active below or above the threshold level. The dynamics can also be triggered internally or by a broadband external source.
In the area of more traditional equalisers, JBL has introduced a new range of graphic equalisers in the form of the 5547 and the 5549. The 5547 is a 30-band 1/2-octave equaliser with front panel input and output level controls.
The bands are between 25 Hz to 20 kHz ±12 dB. The 5549 is a room equaliser with the same number of bands but with a cut-only range of −15 dB.
Rane products have become widely available in Europe over the last year and these are interesting due to the company's widely publicised views on constant Q equalisation ('Constant Q' Studio Sound October 1985 by Terry Pennington of Rane). In practical terms Rane advocates design of equalisers that have a minimum of effect on adjacent equalisation bands with the Q remaining a constant with independent of the gain setting. Traditionally this approach has been avoided due to the likelihood of large amounts of ripple but Rane takes a different design stance as demonstrated in the article. There have been three recent additions to the Rane range, these being the GE30 which is a 30-band 1/2-octave graphic with +12 dB/−15 dB in the cut/boost mode or it can be switched to a cut-only mode where the range is −18 dB; and the ME30 and ME15 microGraphic equalisers which are 30-band 1/6-octave and 2-channel 15-band 2/3-octave respectively in single U formats.
French manufacturer Société Nouvelle Etelac markets products under the brand name of Amix. Two new graphic equalisers were recently introduced in the form of the EMH 127 1/2-octave 27-band single channel and the ESH 211 stereo 11-band. The 211 uses octave spacing at mid/high frequencies with 1/2-octave spacing at the lower frequencies.
In the area of specialised units there are a number of new models that deserve mention. Although designed mainly for room tuning the Meyer Sound Labs CP/10 is a high quality 5-band 2-channel fully parametric equaliser. Each band may be switched in/out independently. Meyer claims that the complementary phase circuitry creates minimum phase distortion even at extreme situations while maintaining a dynamic range of greater than 110 dB. The unit is a rack mount 2U design.
Although not so new, the Massenburg parametric equaliser has recently become available in the UK and is beginning to find a lot of interest once possible users can come to terms with a hefty price tag. This is a rack mount system which we understand from the UK distributor is being acquired by producers and engineers rather than facilities, which probably explains the appeal of the unit.
While in the area of the esoteric, we should mention the products of the UK company Esoteric Audio Research. EAR introduced two new valve (tube) equalisers about a year ago. The 822Q is a general programme equaliser and features four low, continuously variable frequencies, five high boost and three high cut frequencies. The 823MQ provides +8 dB/−16 dB range at switched frequencies between 200 Hz and 5 kHz together with a mid frequency cut at 7 kHz. Both are 19 in rack mount units and have been designed to operate for at least 10,000 hours before valve replacement is necessary.
The West German company EMS/Rehberg has introduced the Filterbank B1. This is a free standing unit with eight bands of cut-only from 250 Hz to 8 kHz with high and low pass filters. The amount of attenuation available is very high with the high and low pass filters having 40 dB/octave attenuation and the equaliser bands having 50 dB/octave. Applications suggested are in removal of problem noise from audio such as hum, unwanted tones etc.
Automated equalisation is another area that is receiving more interest. Aside from automated EQ systems appearing on consoles from SSL, Trident, Harrison and possible automation on the Neve and Amek, there are a number of other products. The Neumann ame 591 equaliser system is based around a central control panel and with W 591 modules which show the equaliser status for that particular channel designed to be fitted into a console channel strip. The control unit allows manipulation of three frequency bands together with high and low pass filters. The automated aspect allows 64 channels to be run, stored and reproduced and these settings may be stored on data cassette. There is also possibility of master/slave operation, A/B comparison for each channel with EQ changes being made in real time.
The Stage Accompany PPE2400 programmable 2-channel 4-band programmable parametric equaliser is now up and running. This is a rack mount device that will soon form part of a larger digitally controlled system. The EQ allows digital control of all variable functions with a memory capable of recalling up to 64 different settings. There are a number of optional interfaces for computers and other data buses.
New disc cutting equipment and the changing role of the disc mastering facility
While it would be fair to say that recording studios are almost spoilt for choice when it comes to updating their facilities, the same cannot be said for the disc mastering community.
Inevitably this stems from the fact that as the sale of discs declines, the amount of technical innovation falls accordingly.
Disc cutting engineers tend to be caught in the middle. It is not the hardware as such that has traditionally been the limiting factor but the raw materials and subsequent processing. In fact, in many ways the Achilles heel of the whole operation is the lacquer. At the moment things seem on a relatively even keel, although recently there have been a number of major scares that have rocked the industry.
A year or so ago, one major lacquer manufacturer couldn't deliver and with essentially only four suppliers of lacquers for the entire world record industry the results were touch and go for a while for many mastering facilities. Earlier cutting engineers had already become somewhat jittery when there was the threat of problems with the supply of aluminium blanks. Put in the context of a recording studio, deciding to update a cutting system would be similar to deciding whether or not to go digital, if for example the quality of recording tape couldn't be guaranteed.
Of course one way round the problem would be to do without tape or in the case of the cutting room dispense with the lacquer. In what will perhaps be the very last major innovation in disc cutting that is exactly what researchers at the German company Teldec did.
Available as the VMS 82 from Georg Neumann, the Teldec/Neumann DMM (Direct Metal Mastering) cutting system uses copper coated steel blanks: the diamond cutting stylus being used to cut a groove directly into the copper master. The process first appeared in 1981 and to date there are 25 DMM systems in use in various parts of the world including the UK, Austria, East and West Germany, France, Spain, the USSR, Czechoslovakia, Finland, Sweden, America and Australia.
It may be reasonable to speculate that given the eventual decline in record pressing—particularly as a mass market medium—the production of conventional lacquers may well cease leaving only the DMM process as the only means to (un) conventional record pressing. Speculation on how soon this will happen varies, at the moment seven to 10 years maximum appears to be the average expectation.
Given the fact that there is still a demand for vinyl discs the short term prospects for disc cutting look quite healthy and there is a surprisingly buoyant market at the moment for second hand equipment. Tony Batchelor of TAM, a disc cutting facility and specialist disc cutting equipment supplier in North London, reports healthy sales of second hand lathes and ancillary equipment. It would appear that while some of the larger cutting facilities may be reducing the total number of lathes they operate, enterprising studios seeing the chance to offer custom acetates for DJs or special mixes for discs, are picking up a reasonable lathe at a realistic price. Even though this may only be a temporary reprieve for the equipment it is nevertheless an interesting phenomenon—a bit like elephants returning to their spiritual homeland before they die.
Before this update turns into an obituary it must be said that the industry, although realistic about its long term future, is still nevertheless continuing to improve standards in some areas. Neve for example is currently producing second generation digital mastering consoles alongside its analogue (9022 ADN) disc mastering equivalent. The new digital systems, DTCT (digital tape console) and DDM (digital disc mastering) are applications of the company's DSP technology specifically for CD and disc mastering.
Processing of the signal takes place purely within the digital domain and the consoles provide dynamic control, delay facilities and EQ accurate to within 0.5 dB/channel. Should further lacquers be required at a future date, or if a track is being used on a compilation, console settings can be memorised against timecode ensuring accurate repeatable results the second time around.
The crossover between pure vinyl mastering and CD preparation is becoming increasingly blurred. Certainly the emphasis on new products is moving towards digital and products such as the Neve digital console, the Sony K-1105 digital 8-channel mixing system and the Harmonia Mundi Acoustica bw102, probably indicate the way things will continue to develop at least for the time being.
Essentially the bw102 is a digital processor and at first glance would appear to have little to do with analogue disc cutting but in fact the bw102 can be supplied with a preview delay module and a high performance digital to analogue converter, thereby allowing analogue discs to be made from virtually any conventional digital source. A rack mounted unit, the bw102 provides a useful crossover point for disc cutting studios moving towards the digital domain.
A number of facilities have already taken the plunge and committed themselves to CD mastering but the area is so new that even those involved in it are currently trying to agree on what they should call themselves. At the moment the favourite appears to be pre-mastering engineer and/or facility which basically covers the tape mastering process for CD (roughly the CD equivalent of the conventional disc cutting facility) avoiding the obvious confusion with mastering as in disc cutting, mastering as in tape duplication and mastering as applied to CD manufacturing ie resist master disc preparation.
Interestingly not all improvements in the disc cutting world are spin-offs from the development of digital techniques. According to TAM there is a growing interest in the old Ortofon 661 cutterhead. The 'black' head as opposed to the much more recent 821 'green' head is finding a new lease of life cutting material where a heavily modulated programme with a persistent bass line is required at above average cutting levels. Repairs and modifications are carried out by TAM and the company even keeps a spare head which can be loaned to customers while work is carried out. Esoteric Audio Research (EAR), who has done a considerable amount of work in the UK on valve-based disc cutting equipment, provides yet another alternative to the conventional equipment list. In addition to cutting system modifications EAR also provides specialist valve programme equalisers including a mid EQ unit, the 823MQ.
Despite the publicity surrounding digital, vinyl records still have a high consumer profile and although digital replay systems may ultimately kill off the black disc for the time being at least there would still seem to be plenty of life left in analogue. □
Neumann VMS 82 cutting system for direct metal mastering
THIS IS NOT THE END OF THE GUITAR...
The electric guitar hasn’t changed much since the 50’s. Music has.
Synthesizers and digital technology have revolutionized popular music with the result that guitarists have to some extent been left behind. Quite a few have taken to the keyboard synthesizer only to sound like every other guitarist turned synth player.
Guitar synthesizers have been around for a while but they have been shunned by guitarists because they are basically keyboard synthesizers you can plug a guitar into.
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STEPP'S unique open architecture and active performance software (APS) allows parameters to be routed to 'real time' controls such as the wang bar, frets or strum area.
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In short it's the most expressive guitar ever developed. And with MIDI-IN you can use a sequencer to record and playback your last solo or play bass while playing rhythm and drums. All on one guitar.
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The man warily entered the back room—isolated as it was from the rest of the house. A youngish face belied his appearance. A small walkie-talkie was held firmly in his hand to communicate with the two lookouts outside. The dirty greys and browns of the old building revealed much about their location. The young man had a pleasant face; unlike his compatriots. The girl moved through the doorway to join him. She showed surprise, for the room was not in the least like the rest of the house—no tatty furniture and filthy walls here. The room was painted matte black, with heavy blackout curtains at all the windows; a reddish light glowed from the equipment in the centre of the room. Prominent amongst the units was a cassette deck, like the altar of this temple of ageing consumer electronic equipment.
"Where did you get that?" the girl gasped. "I've kept it here all along," he replied. "But the police..." was all she could say. Suddenly another man had joined them; he was very well dressed, from silk tie to leather brief case.
"I need this copied for one of my clients and I need it tonight."
He reached into his brief case and withdrew a copy of Mick Jagger's latest album.
The girl wheeled and exclaimed, "Where did you get that?"
The fashionable gentleman eyed her briefly and then ignoring her, spoke to the man with the youngish face: "He's turned 50 you know—Jagger I mean."
The young face continued to flick switches and began to load a cassette.
"This is an unprotected recorder?"
"Absolutely," stated the equipment owner to his client. The rainbow hued CD was placed on to a tray in a compact disc player and the whole assembly rammed home. The recorder was started and then the disc played and the whole room was filled with the rousing melodies that only an artist like Mick Jagger can create.
That was a shame really because the harried warning from the lookouts was drowned out by the cacophony of the music. The young faced man saw a reflection in the corner of his eye. It was the glint of cold steel. He reached into his pocket for the Beretta 93S. He had 20 good reasons in 9 mm why the police would not win here without experiencing some pain. The girl screamed as the wooden baton struck her lover at the base of the neck. He collapsed. Minutes later he began to see, hear and feel again. The room was swaying a bit but he could see the client and his girl trussed up in handcuffs. The last thing he saw before he lapsed into unconsciousness again was the legend Record Police on the overalls of the SWAT team member smashing his beloved Revox to dust with a sledgehammer.
One can assume that this scenario is hopefully not a rock and roll road show version of '1984 plus five.' And yet in Great Britain the government has announced a major revision of the copyright laws that would include a 10% tax on blank audio tapes as part of a sweeping away of old laws protecting copyright owners from the threats of 'electronic infringement.' The White Paper from the Department of Trade and Industry is intended to protect copyrights, patent and trademarks from 'advances of technology.' The blank tape tariff would make cassettes playing more than 35 min and could raise as much as £6 million ($9 million) per year. These funds would be used to reimburse copyright owners and artists for losses due to copying, according to department of Trade and Industry spokespersons.
The carrot that would accompany this particular anti-copying stick in the UK is the unlimited audio copying of broadcasts and pre-recorded materials—as long as the ultimate usage was private. Blank video tapes would remain exempt from any presumptive duties and copying television programming would remain fair game. Copying pre-recorded video material would remain illegal.
In the US, the record industry has been offered a solution to its problem of illegal copying. A major label insider commented recently on the US Senate hearings concerning illegal audio taping. "To hear the US record industry tell the story, illegal copying makes acid rain look a bromo-seltzer in a pond. The supposed losses from copying are rumoured to run into billions of dollars. But while the industry complains of copying, it is suffering from shortages in compact discs. At the same time, the record industry has relinquished half of the classical market or better to European labels. Better the record industry relaxes a little about the losses from illegal copying and puts some energies into building CD plants in the US and supporting classical music production."
Whatever your leanings towards record company complaints happen to be, the US Senate has had enough belief in the hue and cry to hold hearings on a bill (S 1739) imposing a surcharge on blank audio tape and on home recording equipment. At these hearings, the well respected CBS Technology Center with the encouragement of the Recording Industry Association of America (RIAA), has offered up a way to prevent copying by placing a copy code of an 'inaudible notch' in recorded material. A companion chip would be built into all recorders to scan for the coding. If the coding was present, the recorder would cease to record for 25 s at a time leaving another 20 s or so of unaffected recording. The coding system with its notch in the frequency spectrum would be used on CDs, cassettes and LP records. Of course there would be another class of recording made available at a higher price that could be copied because these premium releases would be notchless. Recorder manufacturers would be required to include the chip or pay a substantial royalty fee on products manufactured without the chip.
The recorder chip would be very inexpensive to install in mass production. According to a scientist at the CBS Technology Center as quoted in Broadcasting Magazine: "The decoder chip is expected to cost less than $1 when mass quantities are produced and equipment manufacturers are free to develop a compatible integrated circuit that can perform the same functions more efficiently or at lower cost. In any event, CBS has pledged to licence both the encoder and the decoder that it has developed on a royalty-free basis for all hardware and software applications."
Several US senators thought the idea an excellent alternative to imposing fees on blank tapes and machines. One US senator was quoted as saying that he was intrigued by the prospect that "technology might be able to solve the problem that it has helped to create".
For once, this columnist is left without words. Or at least without words for 25 s at a time.
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Now, about dynamic MIDI. With this pioneering Lexicon development, you can vary any PCM 70 parameter through a MIDI keyboard while you're actually playing. Just imagine being able to vary the wet-dry mix, for example, through finger pressure on the keys. Or by your choice of other controls, like the modulation wheel. Or even by a computer.
There's more. The Lexicon PCM 70 digital effects processor is also a full-fledged digital reverb, with a complete selection of Lexicon reverb programs. And the price? Shockingly reasonable.
You'll want our detailed PCM 70 brochure. At your Lexicon dealer, or contact us. Lexicon Inc., 60 Turner Street, Waltham, MA 02154, USA. (617) 891-6790. Telex: 923468. Lexicon International, PO. Box 122, 8105 Regensdorf, Switzerland. Telex: 59222.
Come to the future.
Music business is the operative term when applied to Greece as live performance is inextricably linked with the recording industry. Whereas in Europe and the USA studio performers who only occasionally—if ever—perform in public are not unusual, in Greece recording artists are obliged to play concerts if they want to stay in the public eye and ear. This means frequent night club engagements and concert tours all over Greece with just a brief respite between the end of the summer and the start of the autumn season.
The mainstay of the Greek music scene is folk—or popular—music and it would be very rare not to find a bouzouki amongst the instrumentation! But though the traditions are observed, performers are not impervious to outside influences. Jazz and rock music have slowly been making inroads and there is a hardcore of dedicated musicians determined to break the lock that popular music has had on the music scene.
As the Greek public is oriented towards live performance it is not essential to have a recording contract to be a star—rare but not impossible. When not touring most artists concentrate their activities in what are familiarly known as 'bouzouki clubs'. These are essentially large nightclubs but with a difference: in Greece it is not unusual to have five or six national stars on the same billing! The general enthusiasm is very high and the atmosphere is quite electric and it is these appearances which promote record sales. It only needs one mention that 'this is my latest record' and the shops will be taken by storm the following day. Airplay on the radio and television does play its part, of course, but forsaking the stage for three months would be tantamount to commercial suicide.
The need for performers to develop such a strong stage presence can be a disadvantage in the recording studio. Records tend to be made very quickly without much experimentation or involved production. The resulting records are not poor by any means but many could benefit from the advantages of modern recording techniques. Things are changing now, however, the movement being spearheaded by Sierra.
Located in what was once a large cinema on one of the main roads leading out of Athens, the studio is away from the centre of the city in an area that houses offices, shops and other distractions. The original cinema foyer has been preserved and doubles as the main office area and waiting room/lounge. At present the studio has no in-house catering but the local restaurant is just a telephone call away—on a private line.
Sierra Recordings is run by three go-ahead young men—two brothers, Elias and Mike Achladiotis, and close family friend, Christos Zorbas. Their close-knit way of working tends to earn them the general nickname of 'the brothers'.
"We all started playing music when we were teenagers—maybe even before that—and in common with a lot of aspiring musicians the world over, wanted to make records. Studios were either very rudimentary or very expensive so we decided the best thing would be to get one of the new Teac 3340 4-track recorders and a simple console—an Alice—and record ourselves. This way we could take our time and experiment without having to worry about the studio clock.
"After a fairly short time we were getting pretty good results and we even had a couple of songs released as 45s. We had a lot to learn, however, both about recording and music, and we hit upon the idea of all of us going to the Berklee College of Music in Boston. There we could pursue our proper instruments as well as taking classes in the recording programme, thus getting a proper grounding which would stand us in good stead for opening a studio."
For the record, Elias plays drums, Mike is a guitarist and Christos plays keyboards. There is also quite a bit of instrument doubling.
Mike: "Berklee was a very good experience for us from many points of view. We all got a good education musically and an introduction to the finer points of recording.
However, I think the big plus was being in America and having the opportunity to meet and play with so many other musicians, as well as being able to visit working studios and get a real idea of what the music business was all about. We wanted to go back to Greece armed with the knowledge that we could operate a modern recording studio and our time in Boston provided us with that."
Sierra Recordings got off to a rather dramatic start. The original owner wanted an up-to-date studio with no expense spared and it seems the acoustics were designed by Tom Hidley and built by Westlake Audio. The evening before the studio was to open its doors, someone forgot that the fumes from the carpet glue were highly inflammable, lit a cigarette and the studio became a flaming success! All that was worth saving was the premises and some of the equipment in the control room. The brand new Neve desk had some burns but still performed perfectly. Armed with loans from their respective families, the brothers went to work to rebuild the studio.
"The previous owner had just lost interest in the whole thing so we were able to make a good deal for the premises and the equipment that was worth taking over. Of course, the console was given a full overhaul by the Neve engineers who made it just like the day it was made."
Tom Hidley was called back and the studio rebuilt by Eastlake Audio—together with strict fire precautions.
The main studio—Studio A—is built where the auditorium used to be with the control room wall roughly falling where the screen would previously have been. The studio floor is 2000 ft² and includes a large isolation room, a vocal booth and 'open' drum cage. The first impression one gets on entering the studio is of space, aided and abetted by the very high ceiling. Though not quite a small concert hall in feel, the studio atmosphere can be changed from fairly intimate to quite live by use of floor to ceiling drapes positioned at various key points around the room. There is a fair amount of trapping of course but just
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Sierra, continued
for owing to the large space available "... and rock groups like it as it gives them room to move around as if they were on a big stage!"
The microphone complement includes Neumann U87, U67 and U89, Telefunken stereo microphones (used a lot for orchestral sessions), AKG 414 and 451, Sennheiser MD441, Electro-Voice RE20, Beyer M88 and others. Distribution to the control room is via large XLR panels which parallel up all the microphone lines going to the control room, as well as foldback feeds and tie lines.
Access to the control room is either from the studio or from the main corridor that runs around the outside wall of the studio and connects with doors at each side of the control room. In comparison with the studio the room is fairly small. We really could have done with a bit more depth but it would have meant modifying the basic structure which would have been very expensive."
Centrepiece is the Neve 8078 console fitted with 40 inputs to 24 groups and 32-track monitor section. The desk is also equipped with Necam automation. "We find that the visual aspect of the Necam system makes it very easy to use. You can see at a glance where you are and updating just happens naturally. We like it a lot."
The bulk of the recording is done with a Studer A800 Mk 3 24-track machine but there is also an A80 16-track recorder for the enthusiasts. The two machines can also be locked up for 38-track working if required. Mastering is on Studer A80 and B67 recorders with two Revox PR99s for general duties. All recorders including the multitracks have Dolby.
Monitoring is the Eastlake 3-way system with TAD drivers for the bass and mid frequencies. Secondary speakers include JBL 4311s, Auratones and the in-built elliptical speakers in the console. Power is provided by Bryston amplifiers.
The design is fairly typical of Eastlake with a wood panelled monitor bridge and side walls with bark facing together with some rough marble tiles next to the outside edge of the speakers. All the tape machines are softfitted at the rear of the room keeping the floor area clear of obstruction. The floor is carpeted with a parquet area underneath and behind the console. There are heavy drapes that can be pulled in front of the control room window to minimise front to back reflections during mixdown.
Though there is rack space in the soffits, the majority of the outboard gear is housed in low profile wooden racks to the left of the console. Equipment includes Lexicon Super Prime Time and model 93 delay line, Publison Pitch Transposer, dbx and UREI compressors plus Audio & Design Compex compressors/gates, Valley People rack with Kepexes and Gain Brains, UREI graphic and parametric equalisers and Orban de-essers. Aural excitement is courtesy of Aphex with reverberation effects from three EMT 140 plates (two matched for stereo) and a Lexicon 224X. In order to keep everything handy the machine remotes are built into...
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Sierra, continued
Studio A looking into Control Room
either for mixdowns or tracklaying—so we found the most convenient thing to do was duplicate the effects equipment for the two rooms. That way people could work in either and feel at home. Though there are slight differences in sound and atmosphere, we find that people adjust very quickly and we have had no problems in this area."
Adjoining Control Room B at 90° is the studio, with a floor area of 740 ft². The room is large enough for most rhythm sections and has a very lively sound, which makes it popular with rock and rollers. The main décor—and treatment—is wood panelling matching that in the control room and parquet floor with strategically placed trapping behind the walls and in the ceiling. The Steinway grand piano, for instance, is usually left in a corner that opens into the trapping. There are two booths with sliding glass doors to one side of the studio, with a window between the two in the communicating wall. One booth is for overdubs and vocals and is very dry and the other, larger, booth is used for drums and general isolation work. It is also possible to alter the acoustics. Two of the walls are faced with sliding glass panels with traps behind. It is also good for expanding thin-sounding electric guitars without making a dive for the first DDL that comes to hand.
The entrance to the studio is via the control room with the twin sliding glass doors forming an extension of the control room window. When space is really at a premium, the area between the two doors forms a vocal booth.
Studio B houses a Steinway grand and would be suitable for chamber music, string quartets, solo piano, etc.
On average Sierra is booked 700 to 750 hours per month and has even exceeded 1,000 hours on several occasions. In practical terms this means that both studios are working around the clock.
Sierra is slowly expanding its clientele internationally with artists such as Nana Mouskouri, Demis Roussos, Vangelis, producer Vic Coppersmith and lyricist Gary Osborne.
"The biggest demand at the moment is that we install a video facility. We certainly have the room and we are thinking about it very seriously—it is the next logical step. However, video is a lot more expensive than audio and we would not want to put in anything that wasn't less than professional. I think we will see things a lot more clearly as to future expansion towards the end of '86." Terry Nelson
Sierra Recordings, Sound Recording SA, 99 Messogion Street, GR-115 Athens, Greece. Tel: 6926019/6927097.
Sirocco Studios, Kilmarnock
Sirocco Studio's two man band Musician, musical director and producer as well as engineer he is the presence and much of the inspiration which is giving the Kilmarnock recording unit a growing reputation.
The link up with Hungarian pop star Klari Katona, a girl with a big international reputation but seeking an entry to the British market, has all the potential Sirocco needs. Unfortunately, Klari has disappeared back to Budapest in a cloud of influenza and Clark can already see the dream fading, the contract falling apart but he works on with the same meticulous precision.
Although Sirocco goes back only eight years, for 29-year-old Clark, it really all began when he took up piano playing when he was three. With 26 years of music behind him, "That's what gives me my ear," he claims.
In the early '70s, he transferred his musical allegiance and became another of the thousands of boys with a guitar. He took his music more seriously than most as far as practice and proficiency were concerned but lacked drive and direction. He threw over the idea of a university education and a career in law for his music (no accolades of parental approval here) but considered himself lucky to be playing one gig a month.
He was 'drifting'. Drifting in Kilmarnock is as scintillating as a conversion with a Trappist monk. It lasted six months.
Then he was drafted into the family building firm—"a soul destroying experience"—which
By-pass Spaghetti Junction
The MG1212 Recorder/Mixer – the complete recording system from Akai – offers unparalleled flexibility for all your recording needs. So compact, it’s as much at home in your front room, when you’re putting songs together or trying out an arrangement, as it is in the studio, when you’re working on masters.
Whatever your application, the Akai MG1212 Recorder/Mixer’s got the edge over the competition. If you were limited by 8-track before, now look at this: the MG1212 has 12 audio tracks plus a special sync track – ideal for synchronising your MIDI sequencer to tape for overdubs with a small instrument set-up. If you hated the hassle of wiring between machine and mixer – finding enough leads that worked every time you wanted to put down an idea – the MG1212 has the answer to that too: it’s a combined mixer and recorder, and both sections of the MG1212 have the flexibility, versatility and professional quality you expect from a company like Akai. At a price you can afford.
The mixer section features XLR inputs, insert points, LED bargraph metering, and a full 3-band sweep EQ. A centralised routing matrix deals simply and quickly with the task of getting the right sounds to the right tracks.
Akai’s unique ½” cassette system is at the heart of a recorder section that’s crammed with the features you need: an autolocator with pinpoint accuracy; dbx noise reduction; and much more. It’s as simple to use as a home video recorder.
And talking of video, the MG1212 has all the facilities you need for synchronising a video recorder with SMPTE time code.
What you won’t find is a load of gimmicks that slow you down. The Akai MG1212 is designed to get top-quality results. Quickly. Easily. The way you want.
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www.americanradiohistory.com
taught him what work was all about and gave him an invaluable insight into business and its organisation.
By 1976 the music scene was showing signs of improvement. An amalgamation of Kilmarnock groups brought some of the best musicians together including Clark and his other half, as far as Sirocco is concerned, sax player and telecommunications engineer, Spike Bain.
Six musicians and two roadies, they travelled Scotland in a couple of builder’s vans. Their band and their music were not the height of fashion—punk was in. By comparison, they considered themselves “to a degree more sophisticated” for “we played in tune”.
It was a desire to have something permanent to show for their effort—transforming the ephemeral into the concrete—that brought them into recording. There were no suitable facilities in Glasgow so in 1978 they took over two first floor rooms in Glencairn Square, Kilmarnock.
Formerly part of a red sandstone, residential establishment, this was a building in decline. Their neighbours were a French polisher, a plumber and a knitting machine operator. The access alley still runs by the open kitchen door of the Chinese take-away which operates from the ground floor.
The previous occupants had already installed carpet and curtain insulation which was a “wee bit makeshift” but with the thick sandstone walls already proving effective, it’s a makeshift pattern they have expanded rather than replaced over the years. Performers sometimes fail to appreciate the natural feedback but recording does not appear to suffer.
They installed their ‘live concert’ mixing unit and with two 2-track Sony tape recorders they could overdub voices. With a Bank of Scotland loan Sirocco Studios were in business.
“Credibility has always been a problem for someone like me,” says Clark Sorley, getting people to “take it seriously.”
“Why Kilmarnock?” he was and still is asked. “Why not Kilmarlock?” is and was his reply.
If some did not take them seriously, the bands in and around Glasgow certainly did. At £4.50 an hour, they were queuing for recording time. Many were punk groups placing more strain on the studio’s equipment than on recording expertise. A number of their customers were destined for greater things, however, and are remembered with a mixture of fondness and pride—Simple Minds, Aztec Camera and Kissing the Pink.
It was all business, however, and by the end of the year they had moved on to 8-track recording and had redesigned the layout. It was a DIY operation. Experience in the building trade and in electronics was proving advantageous.
Two years later they were using 16 tracks and their own music making was bowing out to the pressure of the part-time work load at Sirocco. In the meantime, Clark Sorley had built his last wall, laid his last brick.
Pleading letters to recording and radio companies struck pay dirt. Radio Clyde were, by chance, looking to expand their technical team and Clark found a berth with that successful and innovative commercial station.
At the time, 1979, Andy Park was in charge. Programming was varied and expansive. In the next year and a half, Clark was covering everything from run of the mill station productions to outside broadcasts, from pop music to jazz and symphonies.
Then he went freelance, juggling his time between Sirocco and various outside commitments. Spike continued to work at the studio part-time. Both still found they were recording other people more and playing themselves less than they would have liked. It was a pattern which was destined to continue into 1985 and which nourished the continued expansion at Glencairn Square.
There is still a steady procession of hopefuls gracing Sirocco’s portals. Hope, like all else, is subject to inflation but today’s Sirocco price is still one of the cheapest around.
Still with the striving spirit in mind, there are four, rough and ready rehearsal rooms across the yard with three 2-track recorders (Revox, Bias and Teac) available. A second studio currently awaits completion.
The tradesmen have moved out and a lounge, office and kitchen have taken their place. A new pre-production unit has been introduced by agreement with a freelance audio technician seeking a base. He provides the electronics while Sirocco provide the space.
In November, they purchased a new 24-track Amek Angela mixing desk and an MC1 JH 114 multitrack recorder, secondhand from Mobile One. The recorder is not without teething problems. It has a propensity for chewing tape and the autolocate warning lights flash on and off in hysterical abandon, from time to time. Not a situation which will be allowed to continue. The Rebis effects rack with a Yamaha RE7-7 digital reverb, MXR and RDS digital delay lines, an MXR graphic equaliser plus Audio & Design compressor limiters and an Aphex Aural Extender may not be in the same league as many of the larger studios, but it competently meets customers’ requirements.
“Total Cheaters!” claims Clark Sorley of some of the effects at their disposal but concedes that generally, “as technology does advance, the musicians are improving.” Everything links up to Tannoy SRM 15S monitors, Yamaha NS10s and Auratones.
In studio one, a battery of microphones (Calrec, Shure, AKG, Beyer, Neumann, Sennheiser and Electro-Voice) overcome the problems of insulation and a variety of musical sounds—everything from accordion dance bands and fiddle music to folk guitar, pop and jazz.
Central piece to the casual visitor is the Scheidmayer grand piano, a legacy of days at Radio Clyde, but Clark and Spike are just as likely to be putting sounds together with the two synthesisers (DX7 and guitar), electric guitar and bass, the Roland drum machine or the QX7 digital sequencer.
It all attracts a ready market of musicians and record companies to Kilmarnock. Lismore Records which recently bought record production rights for the Channel 4 Down Home fiddle music series, used Sirocco equipment for editing. Folk artist Alistair MacDonald with his own Corban label is another customer as is Gus MacDonald’s Klub Records. Klub produces about three pop LPs per year and Clark Sorley nurses an old dream that here might lie an outlet for his own music.
Both men still cling to their musical roots. Spike Bain has recently taken up the saxophone again, preferring the arpeggios à la John Coltrane to the electronic tailoring of other men’s music. With a regular job behind him, he can afford to be cavalier, however. “Making money,” he said, “is more like playing at Monopoly than life.” It is Clark Sorley who has burned his bridges.
In many ways then, Sirocco is at another crossroads. The company must leave their Glencairn Square premises this year. Attempts to obtain a Kilmarnock local authority Business unit have run into red tape supplied by bureaucrats who, as Sorley sees it, cling to an outmoded manufacturing past. A service industry is within their compass but a service industry based on music is an idea which they are taking time to accommodate.
Spike is all for moving out: “West of Scotland culture is a pint of beer,” he explains. He sees no real future for himself there.
“Why not Kilmarnock?” Clark Sorley asks. Kilmarnock itself appears to be coming up with the answer.
The Scottish Development Agency is considering initiating a central Glasgow recording complex. Clark Sorley is in on the early consultancy discussions. If it goes ahead, perhaps Sirocco’s future will need a move to the city.
Bill Melville
Sirocco Studios, 1 Glencairn Square, Kilmarnock, Ayrshire KA1 4AQ, UK.
Tel: 0563 36377.
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We think the Soundtracs CM4400 with the CMS2 SMPTE Automation and Soundcraft SCM762 24 track machine represents unbeatable value.
The Soundtracs CM4400 with CMS2 gives you automated routing, channel and group muting, pre-programming of effects, sends and returns, programmable record drop in via events recorder, control of eight external devices and 30 different mixing combinations all under SMPTE timecode control.
The Soundcraft SCM762 Mk III recorder comes complete with remote control, varispeed, zero locate and cycle functions. It will run at 15 or 30 ips and is widely used by many professionals in master recording and video post-production work.
Package consists of:
- Soundtracs CM4400 – 32 input mixing console.
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- Soundcraft SCM762 Mk III 24 track recorder.
- Commodore PC and disk drive.
- Video monitor.
- Set of interconnecting cables.
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audio sales
29 Guildford Street, Luton, Beds. LU1 2NQ Telephone Luton (0582) 450066 Telex 825488 DONLAR
Hidden in the Yorkshire Wolds on the north western side of Hull lies Fairview Studio. A wooden sign pointing down a lane is the only indication that the end house of the terrace is in fact a studio, or rather part of a studio. This line of houses marks the end of suburban Hull and Fairview is an apt name as beyond the studio lies mile after mile of rolling countryside.
At first sight it seems a strange location for a studio but over the last 10 years Fairview has drawn customers from all over Britain and at the time of writing a rock band from Croydon was completing the end of a week's block booking.
The studio began like many rural studios - a hobby that outgrew itself as Keith Herd soon saw the potential of a small studio catering for local needs. Keith actually began to run Fairview professionally in 1973 although he had operated a studio of some description for the previous 10 years. In the beginning it consisted of a Farfisa with a 'lean-to' as the control room and access gained via the window!
Keith's new 8-track studio got a welcome shot in the arm in its first year when in 1973, David Bowie's group the Spiders From Mars booked in to try out new singers after Mr Bowie went his own way. The studio's success continued with less glamorous bread and butter work in the form of albums for local club bands; at one stage Fairview was producing two of these albums every week!
Things have progressed since then and Fairview is now a well established 24-track studio with a large cassette winding and duplicating operation. Cassette duplication takes place in the house whilst the studio occupies a converted barn at the bottom of the garden. The majority of people using the studio are rock bands although the place is rather expensive for most local bands needing demos. A recent visitor was Sister Of Mercy's Andy Eldritch doing work for his own label Merciful Release. The studio often handles work for the larger independent labels such as Red Rhino and Powerstation records as well as occasional work for larger labels who don't want to go to the expense of taking a new band to London.
Keith's technical ability is obvious; his consoles have always been custom made and he looks after the maintenance and repair of Fairview as well as a number of other local studios. The existing desk is a 24/24 with 7-band EQ on all input channels, 5 aux sends, 5 effects returns and full patchbay facilities. An eyecatcher the desk isn't - effective it is.
The studio has an air of professionalism without the trimmings found in central studios. The room available has been used practically rather than attempting to recreate a New York studio in Hull. No bar or pool table in Yorkshire for poor overworked musicians, although they are able to relax in an adequately equipped reception area with coffee machine, TV and video. This is no criticism, an exclusive studio would find very little work in this part of the country.
The converted barn which houses the studio is divided into four areas; the largest is the control room and the others studios which give a variety of sound qualities. All the areas are divided by large sliding glass doors which give excellent visual contact and of course provide good separation when they are closed.
The 16×12×12 ft control room is impressive. Keith designed and built it from a picture of one Eastlake's designs and it has been done well. The room is sensibly organised for work with modern rock bands, with a good view of the two main studios through the control room window. The desk, Soundcraft SCM 762-24B tape machine and auxiliary equipment are on a raised platform at the rear of the room leaving seating space for up to 10 people in front of the console. This area may also be used for DI-ing the studio's selection of synths. Inquisitive band members are free to congregate in the control room without getting in the engineer's way, although there is enough space left behind the desk for one or two 'helpers' to take part in the mixdown. Variable lighting and air-conditioning make the control room a comfortable place to work.
When the control room was rebuilt in its present position in 1982, the original Tannoy Gold monitors were replaced with JBL 4350s which were mounted above the control room window and bi-amped with two Monogram 260 W power amps. In addition Yamaha NS 10s have been mounted at either end of the desk.
The studio's engineers, John and Roy, are both very pleased with the acoustics of the control room although John mentioned that the JBLs could be a little overpowering at mixdown. Relatively high volume monitoring of a rock band's material can often hide errors in the mix which miraculously appear when played back at home on the band's own stereo deck: to avoid this problem John often uses the NS 10s to get a more realistic balance on the mix, whilst using the JBLs for referencing.
The outboard gear is arranged on the right of the desk along the wall. In this position the engineer can trim the majority of the equipment from his chair giving him constant balance from the monitors.
Both engineers have found that the desk is very flexible as far as routing is concerned, with any track from the machine capable of being sent to any input channel; if equalisation isn't needed the monitor channels can also be used as returns. The fixed frequency EQ on every channel is perhaps a little limiting when compared to the cut or boost available on modern mass produced desks. Having said this, the results achieved compare very favourably with the quality produced by a sophisticated
Keith Herd at his custom made console
Cassette copying at Fairview
off the shelf model.
In the central recording area, which measures 13x8x13 ft, the relatively high ceiling of the original barn has been retained. This, along with 'Eastlake-type' stone walls, provide an extremely short reverberation time giving good separation and an uncoloured sound even with distant miking.
The second main recording area is larger than the first although the ceiling has been lowered by 2 ft and the cavity filled with hessian wool; carpet has been laid to make the room less reflective so that it can be used as the drum area. With the walls left hard and reflective a controlled live sound can be obtained from the kit.
To complete the studio a third area has been prepared as a live separation booth. Irregularly shaped to avoid parallel reflections and with a hardwood floor, reflective walls and hard ceiling, Keith has found it ideal for brass instruments or for any other sounds which are enhanced by ambience.
Fairview's mics are studio standards: Neumann, AKG, Beyer and Shure. The range of effects and signal processing equipment is comprehensive including, AMS RMX 16, AKG BX20 and Yamaha SPX90 reverb, an Aphex Aural Exciter (Type B), Marshall Time Modulator and Drawmer Multi-Tracker. An AMS DMX 15.80S is available with a 6½ s loop edit facility plus keyboard interface for sampling. Stereo mastering is handled by an Otari 5050B and Revox A77.
The studio is well booked, yet this is only half of Fairview's business; the cassette winding and duplicating is growing rapidly and the studio has international distribution of blank cassettes and copies. Some 25% of the copying is educational or instructive providing a lucrative second string to Fairview's bow. The studio is using Technics M216 tape machines although they are in the process of re-equipping with Denon DR-M22 stereo decks.
Fairview is a practical place. Its purpose is to produce a high quality, professional recording at a reasonable price; whether it's copying computer instruction tapes for Rank Xerox or creating an album for an independent label.
The studio continues to expand. Keith has recently added a studio manager to the staff, joining the two present freelance engineers who work in the studio and the cassette winder who prepares tapes to any required length for distribution.
Despite its position Fairview is a busy place. Keith is content to watch his business grow together with his reputation.
Tony Draper
Fairview Studios, Great Gutter Lane, Willerby, Hull, North Humberside, UK.
Tel: (0482) 653116.
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CD pressing capacity
PolyGram's CD factory in Hannover, West Germany, still has the largest capacity in the world—it should churn out 50 million this year. And it's still nowhere near enough.
Head of production at Hannover, Dieter Soine, says he is always looking for new ways of pressing more discs faster. But you can forget about the continuous strip process, at least for the time being. Several companies are trying to press and punch from plastics strip but no one has yet seen a sample of saleable quality.
PolyGram is looking for other ways to speed production. The presses at Hannover work on the injection-plus-compression principle. So far this has limited cycle time. At first it was 35 s per disc. Now it is down to around 22 s. The Japanese use injection-only presses and are down to 18 s and less. PolyGram won't yet switch to injection because the mould parts, which hold the stampers, cost 10 times as much in an injection press; 10,000 DM instead 1,000 DM per set. PolyGram is now pushing compress-inject cycle time to 18 s, which looks like being the bottom limit. Stamper life is already down to 1,000 cycles.
The other bottlenecks are in metallisation and QC. The clear polycarbonate disc has to be coated with aluminium after pressing. So far this has been done by placing the disc in a vacuum chamber and sputtering it with metal. The chambers hold 700 discs at a time. It takes 15 minutes to pump the vacuum and another 10 minutes to create aluminium dust by bombarding a metal sheet with argon ions. Hannover is now installing machines which work on a conveyor system. The discs go in one end, pass through a series of pressure bulkheads into the vacuum chamber, where they hit a cloud of metal dust, and from there pass through another string of bulkheads out into atmosphere again.
Even after four years of mass production, PolyGram's plant still has a reject rate of around 15%; a fraction of a percent reject at every one of 60 production steps. The polycarbonate material can't be recycled, it has to be sold for scrap. So far QC has been all down to Mark One Eyeball, visual inspection by trained girls. Now a 2 s laser scan does the same job. Pressing prices are around 7.5 DM per disc, including jewel box and printed insert and the minimum initial run is 3,000 discs.
The cleverest move is to get the factory running seven days a week. In Germany it is against the law to work a factory over the weekend. PolyGram did a deal with the government. The company employs only unemployed people on Saturdays and Sundays.
Talking of unemployment and despite Philips denials, the Blackburn videodisc pressing plant is now pressing CDs on an experimental basis. There weren't enough orders for Laservision, so it was the obvious thing to do. Blackburn has now made CDs of saleable quality but it's not yet decided whether the factory will press CDs for sale.
Less hiss more coverage
Here we go again. From those wonderful people who gave us the EVR video system which wouldn't record, SQ quadrophonics with its magical effects in mono and stereo, and the CX compatible disc noise reduction system which was so incompatible engineers wouldn't use it—we now have FMX from CBS.
CBS claims FMX will quadruple the area of FM stereo coverage. It reduces hiss by compassion and yes, of course, it's compatible. Or so CBS says.
No doubt you will be hearing a lot more about FMX over the next few months before—like EVR, SQ and CX—it disappears. The whole thing looks like being a re-run of the CX debacle, and for that matter, the CBS anti-copying spoiler system. CBS UK knows nothing about FMX and cares even less. 'Try New York', they say. Telexes to NY are ignored.
Having now seen the publicity claims for FMX I can understand why they would prefer some journalists didn't see them. They look as if they've come from the same word processor which was previously programmed to puff SQ, CX and the spoiler.
Although hi-fi manufacturers are now excited about FMX, and some already promise to sell FMX receivers, I have to warn CBS that both the BBC and IBA have doubts about its compatibility.
No one has any plans yet even to stage broadcast tests.
The same system is used all round the world to transmit FM stereo on the VHF wavebands. The sum signal, a simple mix of left and right channels, is transmitted on the main RF carrier frequency. This gives mono reception on mono receivers. The stereo information for stereo receivers is carried piggy-back on the sum signal, as a high frequency AM sub-carrier. The sub carrier signal is the difference between left and right channels of stereo. A stereo receiver mixes the difference signal with the sum signal to give separate left and right channels.
The snag with this conventional system is that the high frequency sub-carrier is at low level and more difficult to receive than the main signal. Its usefulness falls off with distance much faster than the mono sum. For clear stereo the received signal must be around 14 times stronger than for mono. If it is not, the listener must either put up with hissy stereo or switch to mono.
With FMX, CBS compresses the difference signal before transmission. The compressor slope is oddly shaped, with 2:1 gradient, a spike and dip. An FMX receiver expands the signal in mirror image. Doubtless this causes hiss but even CBS admits it would normally destroy all chance of good reception for people with conventional receivers. So FMX uses two sub-carriers in quadrature; one is of conventional type and the other of new compressed type.
In theory an ordinary receiver ignores the extra phase-shifted carrier while a new FMX receiver will latch on to it. CBS claims baldly that FMX "will not affect existing FM broadcasting methods and present consumer receivers".
Both the BBC and IBA have already told me that they have grave doubts on this claim. They worry about multipath. When broadcast signals are reflected off a building or hill, there is inevitably a phase shift which will confuse receivers into picking up the wrong sub-carrier. "It may work in East Anglia, where there are no hills," says the BBC, "but we would want to check it on the Wenvoe transmitter, where the signals are bounced around the Welsh valleys." Perhaps significantly, the CBS tests were run in Connecticut, where the terrain is pretty flat and there are no city skyscrapers.
As Dolby Labs found out when they tested Dolby FM 10 years ago (encoded signal and modified time constant) there are some pretty odd receivers in use out there. If even a couple of listeners complain on a small test, that will translate into vociferous hordes when the system is widely adopted in unfavourable conditions. Hasn't CBS learnt anything from SQ and CX?
Even if they wanted to, neither the BBC nor IBA can change their transmission standards without permission from the Department of Trade and Industry. The DTI will only authorise a change after extensive on-air tests have proved near-perfect compatibility.
Commercial radio stations, which would of course jump at the chance of extending their stereo coverage area, cannot go it alone because the IBA owns and controls their transmitters. There is also a good chance that if the local stations, like Capital in London, extended their range with FMX, the DTI would respond by demanding a cut in transmitter power to maintain the status quo.
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JVC DIGITAL AUDIO MASTERING SYSTEM
The core of the JVC editing system is the type VP-900 digital audio processor which interfaces with a professional VHS or U-matic video recorder to provide up to two hours of digitally recorded audio. The unit unfortunately is restricted to the NTSC video standard requiring an NTSC-type recorder and an NTSC television monitor to monitor visually data from tape.
The stereo audio is coded into a 16-bit linear code with the sampling frequency switchable between 44.1 kHz and 44.056 kHz, the latter is essential when working with composite syncs where the audio is associated with video systems.
Whilst I do not have details of the coding system used, the data rate of 3.087 Mbit/s or 3.084 Mbit/s which depends on the sampling frequency in use, is quite low. Data is recorded in blocks and parity, in addition to some form of cyclic redundancy check, is used to protect the audio data as well as recording a JVC form of timecode.
Further data is recorded, such as flags to identify the sampling frequency and the use of pre-emphasis and all data is corrected for errors.
Pre-emphasis may be set to 50 µs plus 15 µs giving a 3 dB boost at 3.183 kHz, standard for many broadcast systems but with the 15 µs time constant rolling off the boost at 10.61 kHz to lead to a maximum boost of about 8.6 dB at the upper frequency limit of the system around 20 kHz. Alternatively pre-emphasis may be switched out giving a flat frequency response at all signal levels.
The second part of the JVC editing system is the AE-900V editor which uses the JVC TC-900V timecode generator if it is needed to synchronise with video systems. The system as such does not use SMPTE timecode but a bi-parity (BP) timecode which ties up with the signal data format on tape.
The timecode generator has several functions for use with SMPTE timecode but not drop frame code which it does not handle. Firstly it can generate SMPTE and BP timecode for dubbing from external systems to the JVC system or recording on the JVC system in sync with external SMPTE codes.
Secondly it can accept an external SMPTE code and output both SMPTE and BP timecode for dubbing between JVC system tapes or for adding SMPTE code to existing JVC system recordings.
The editor itself is a two part system comprising the electronics and a separate keyboard which connects to the electronics by two multi-way cables fitted with locking connectors.
In addition to this a remote control unit is available for the digital audio processor. A further item not included in the review is a synchroniser which requires the use of a source of video sync pulses such as a camera or picture generator. The unit converts the incoming EBU timecode into the BP timecode and locks the digital audio VCR to the incoming timecode capable of handling both NTSC and PAL video systems.
Offsets may be entered into the unit and placed in memory with the ability to increment or decrement the offsets with displays showing the EBU timecode from the picture source, and the SMPTE timecode from the audio source. In addition the current difference in time is displayed in frames.
The FC-900 is a bi-directional interface allowing the transfer of audio between the JVC system and the Sony format as used in the 1600/1610 units.
The VP-900 digital audio processor, the AE-900V digital audio editor and the TC-900V timecode unit complete with the remote control unit for the processor; two VCRs—BR-6800U professional VHS recorder and a CR-8250U 'U' format machine plus an NTSC video monitor were provided for this review. The three sections of electronics are 17 in wide, such that they will fit into a standard 19 in rack with all the connections at the rear. Signal connections are via multi-way locking connectors and BNC sockets with power supplied via IEC connectors next to which are re-settable circuit breakers.
To the front of the audio processor and the editor removable panels reveal electronics on good quality horizontal circuit boards, these have clear component identifications. The power supplies are to the right behind the control panels and the editor's only control is the power on/off switch.
Digital audio processor
The electronics of the audio processor is contained on six large printed circuit boards all of which have user controls and/or LED indicators. The top board which is the playback board has four toggle switches, the first sets the detector level for the incoming signal from the video cassette recorder. This switch is set for minimum activity of the CRC (cyclic redundancy check) error indicator on the same board.
Next, the address switch allows the address display to be either held or set to zero when the VCR is stopped. One of the other switches selects the 44.1/44.056 kHz sampling frequency. The function of this switch, however, depends upon the setting of the sampling frequency auto/manual switch which has rather complicated functions that I will avoid going into. As a result of the switch's possible automatic overrides all except the detector level switch have associated LEDs.
Further LEDs are illuminated when the output is unmuted (ie normal playback data is present), when a...
TWO DEFINITIONS OF THE PERFECT ECLIPSE
A SOLAR ECLIPSE
A natural phenomenon occurring when the moon passes between the earth and the sun, resulting in total darkness. This unique event is the result of a complex chain of events culminating in the perfect alignment of their orbital trajectories.
It's cause was for centuries beyond the comprehension of man, who's imagination and superstition associated it with the supernatural and religious ritual. Magicians and alchemists made the most of the awesome spectacle to assert control over their bewildered followers, until astronomers were able to disprove the mystical theories by offering a scientific explanation.
THE ECLIPSE EDITOR
A technological phenomenon in the form of an Intelligent Audio Edit Controller which puts rival products in the shade. Having a capacity to control a large number of events, firing complex user-programmable sequences in perfect alignment from a single Q-key, The Eclipse is capable of supporting 32 machines.
Many of The Eclipse's unique functions were beyond the wildest imagination of Audio engineers until Audio Kinetics applied their advanced research technology to create an electronic edit controller which will, when interfaced with Q-LOCK Synchronisers, add a little magic to modern post production facilities.
syndrome error has been detected and when an uncorrectable error has been found, in which case the previous data is held.
Following down, the record board has a single momentary pushbutton switch for initialising the section when composite external syncs are used. A LED next to the switch identified as Compo is normally illuminated in this mode with automatic initialisation but the switch will re-initialise the unit. Four further LEDs are illuminated for various error conditions including parity errors in data and address errors.
The control and metering board has switches to set the unit to one of five possible modes, the modes of interest being the normal recording mode, the editing mode and the digital dubbing mode. Further switches select pre-emphasis ON/OFF and select the source of sync between external composite (black burst), internal or an external 44.1 kHz source.
The A/D (analogue/digital) board has two user controls in the form of multi-turn potentiometers for setting the offset in the A/D converters for the two channels. These controls are set whilst using the video monitor and are adjusted such that the least significant 3/4 bits are exercised.
So far the boards have very few internal switches or adjustments. Not so on the two remaining boards, each of which have about 10 adjustments for each audio channel, it is not known what these adjustments do. In addition each channel has a toggle switch on each board for setting the gain to a fixed level or allowing front panel potentiometers to set levels.
To the right of the front panel is the illuminated power on/off button; ¼ in stereo headphone jack and a detented monitoring level potentiometer—the remainder of the features are hidden behind a black translucent panel.
Twin vertical bar displays are used for the level indicators which work in 2 dB steps down to −30 dB with an extra step at −15 dB and then have −40 dB and −60 dB indications. At and below −15 dB the indications are green, the remainder yellow and a red Over at the top of the displays is used to indicate overload.
The −15 dB indication corresponds to the reference level of −4 dBm and a special reference level display may be switched in for accurate alignment of this level. This secondary display has a range of ±0.3 dB in 0.1 dB steps.
Three modes of operation of the main level display may be selected so that it may operate as a peak level meter, hold peak indications for 2 s or may hold peaks until the reset button is pressed. The latter modes also hold the Over indicators.
‘Secret’ displays illuminate showing the mode of operation set on the control and metering printed circuit board; they show if pre/de-emphasis is on and warn of internal error conditions.
To the bottom of the panel is a 4-digit time display showing min and s. In the replay mode this follows the timecode from tape but in the record mode it may be reset or held as needed.
**Inputs and outputs**
The two pairs of audio inputs and outputs at XLR connectors on the rear panel are balanced with a switch allowing the outputs to be internally unbalanced if desired.
The input impedance was 19.9 kΩ constant with frequency up to 20 kHz with the output impedance of 22.7 Ω also constant with frequency—both are sensible impedances. Table 1 shows the input and output levels for 100% modulation at 1 kHz in the fixed gain and variable gain modes. It also shows that the balance between the two channels is very accurate—the overall gain at fixed gain is within better than 0.1 dB. Furthermore Fig 1 shows that the common mode rejection of both channels is extremely good.
Turning to the stereo headphone jack, this had a source impedance of 47 Ω with the level control working in approximately 1 dB steps. As is shown in Table 2, however, the balance between the channels left something to be desired whilst the voltage levels were sensible for most types of headphone.
Whilst the multi-way remote and interface connections are probably of little user interest, the BNC video and sync connections are. Strangely the video out and the sync out connections had a source impedance of approximately 600 Ω as opposed to the normal (and specified) 75 Ω.
The composite video output had a black level of +0.7 V, sync tip at +0.11 V and peak white at +2.03 V at two separately buffered connections. The VCR sync output at three lines supplied negative going sync pulses from +0.6 V to −6.9 V again at separately buffered outputs.
The VCR play input was accurately terminated with 75 Ω (the external sync input is a switchable 75 Ω termination).
**Metering**
The metering which follows pre-emphasis (when used) consists of two parts: the normal level display and the reference level display. The latter, intended for precise alignment of levels, has its 0 dB indication corresponding to −15 dB on the main display which in turn normally corresponds to +4 dBm. The latter was found to be within 0.01 dB for both channels with the 0.1 dB increments over the ±0.3 dB range of the display also within 0.01 dB. These figures applied up to 10 kHz above which minor errors appeared but these had little significance for alignment purposes.
Checking the accuracy of the main metering steps showed it to be within 0.1 dB from 0 dB to −28 dB with an error of only 0.2 dB at the −30 dB indication. The final lower indications were less accurate with a reading of −40 dB being −40.75 dB and −60 dB being −63 dB—such errors are of no consequence.
Both metering systems were true peak responding devices with rise time of the main metering and the Over indication extremely fast, so that they fully responded to a single cycle at 10 kHz. The fall time of the main display was...
Connectors by NEUTRIK
DISTRIBUTION NATIONWIDE
Sole Agent U.K.
Eardley Electronics Ltd.
Telephone: 01-221 0606/01-727 0711 Telex: 23894 Telefax: 01-727 9556
FFD Noriyuki Time-Code FFD
● Generates & reads standard SMPTE/EBU Time-Code.
● Jam-sync capability.
● Runs on own 9v battery.
● Very low power consumption.
RCA Connectors for input and output. A multipin connector is also provided for single cable operation.
Contact our sales desk for further information on NORIYUKI time-code products.
FFD FUTURE FILM DEVELOPMENTS
P.O. Box 3DG, 114 Wardour Street, London W1A 3DG, England.
Telephone: 01-434 3344 & 01-437 1892. Telex: 21624 ALOFFD G.
Cables: Allotrope-London W1.
AUDIO JACKFIELDS & JACK SOCKETS
Mosses & Mitchell are the largest manufacturer of Audio Jacks and Jackfields in the UK. We are approved suppliers to the BBC, British Telecom, Pye Telecommunications and many other major telecommunication companies throughout the world. We manufacture a complete range of Audio Jacks & Jackfields and offer a design and manufacturing service geared to meet your specific requirements. For further information and technical data on our products contact:
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Telephone: Farnham 721236 (STD 0252)
Telex: 850020
385 ms—giving good readability, with the 2 s peak hold lasting for 1.56 s and the hold mode offering a permanent hold of true peaks.
**Frequency response and noise**
The overall frequency response from 10 Hz to 20 kHz without pre-emphasis is shown in Fig 2 to be within +0.2/−0.4 dB reference 1 kHz. The four curves show the response to be the same at maximum modulation and at three steps at 1 dB increments below maximum modulation. When using the headphone monitor output the response was as shown in Fig 3 where there is a possibly significant high frequency roll-off.
As the same anti-aliasing filters are used at both sampling frequencies the high frequency limits are the same giving a −1 dB point at 20.37/20.26 kHz for the two channels, falling to −3 dB at 20.56/20.54 kHz and −50 dB at 21.83/21.83 kHz.
Noise in the outputs was measured with and without de-emphasis in the unmuted condition with no signal input as shown in Table 3. The cause of the slight noise variations between channels is not known as the outputs were completely free from any power line artefacts or sampling frequency products. It may be that dither is incorporated making these small differences.
Often more interesting in digital systems is the noise in the presence of a signal caused by quantising errors. Fig 4 shows the total harmonic distortion (THD) and noise in dB on the vertical axis versus frequency on the horizontal axis for 10 dB level steps referred to −5 dB below maximum modulation. As expected THD and noise decreases at high frequencies because the harmonics are outside the passband of the internal filters.
Reference to Fig 5 again shows THD and noise on the vertical axis with signal level reference full modulation on the horizontal axis. THD and noise are plotted whilst the signal level at 1 kHz was reduced from full modulation to −100 dB in 0.1 dB steps. Whilst there is a slight peculiarity around −10 dB the THD and noise increases linearly with reduced signal level until the noise floor is reached around −90 dB.
**Distortion**
Whilst Figs 4 and 5 show the overall pattern of harmonic distortion the performance was investigated in more detail. Individual second and third harmonics plus THD and noise over the band <10 Hz to 80 kHz were measured for both channels at 1 kHz at 10 dB increments below full modulation.
Table 4 shows a good consistency between channels with both channels offering good performance. Similar comments apply to intermodulation distortion to both the SMPTE method and the CCIF twin tone method. SMPTE-type intermodulation distortion was less than 0.03% at levels above 20 dB below full modulation; CCIF intermodulation distortion was better than 0.03% at levels above −30 dB. Square wave reproduction showed the usual ringing associated with sharp filters as shown in Fig 6 for a 1 kHz square wave.
**Other matters**
Crosstalk between the two channels was at a very low level and almost constant with frequency as shown in Fig 7 confirming the lack of power line frequencies in the outputs.
The phase difference between the channels was less than 1° over the range 20 Hz to 20 kHz with zero timing difference between the channels maintaining monophonic compatibility. Furthermore any timing jitter was
minimal. As with many video-based systems, however, some jitter did occur at the frame rate of 60 Hz, leading to sidebands at ±60 Hz about a recorded tone but at only −80 dB relative to the tone.
During practical use no audible effects of tape dropout were noted with the CRC light blinking at intervals but the hold light (indicating uncorrectable errors) remaining extinguished. It was therefore decided to corrupt intentionally the replayed video by inserting bursts of noise to see how much data could be lost before trouble occurred. In the unlikely event that every video line was corrupted the processor was quite sensitive to data errors with the CRC coping with up to 140 ns of corruption before the hold mode was entered and the processor muting with errors in excess of 440 ns.
Such conditions are only likely to be met with a very poor VCR and corrupting once in every 10 video lines showed that up to four sequential lines could be lost before the unit muted. Decreasing the corruption rate to once in every 100 lines showed that extensive data corruption could occur even before the hold mode was entered.
**Remote control unit**
This small free standing box duplicates the level indicator on the processor together with its peak hold functions but not the reference level facility. The address counter is also duplicated together with its reset and start/stop pushbuttons.
An added facility is a 4-digit display which may be preset to any address in minutes and seconds by using four pushbuttons below the display, each button incrementing one digit. This display is then used in conjunction with a search button as a simple autolocator.
The remaining buttons are tape movement buttons duplicating those on the VCR including the record function and a Load button which sets the
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**TABLE 3**
| Measurement method | Noise reference maximum modulation |
|--------------------|-------------------------------------|
| 22 Hz to 22 kHz RMS | De-emphasis out: −92.5/−93.5 dB |
| A-weighted RMS | De-emphasis in: −94.5/−96.1 dB |
| CCIR-weighted RMS | −96.0/−97.0 dB |
| CCIR-weighted quasi-peak | −87.5/−88.5 dB |
| CCIR/ARM ref 2 kHz | −83.5/−84.0 dB |
| | −94.5/−95.2 dB |
**TABLE 4**
| Level | Second harmonic | Third harmonic | Total |
|-------|-----------------|----------------|-------|
| 0 dB | 0.015<0.01% | 0.014±0.013% | 0.021±0.015% |
| −10 dB| 0.015±0.011% | <0.01<0.01% | 0.021±0.017% |
| −20 dB| <0.01<0.01% | <0.01<0.01% | 0.028±0.030% |
| −30 dB| 0.013<0.01% | 0.013<0.01% | 0.087±0.091% |
| −40 dB| <0.01<0.01% | 0.009±0.01% | 0.277±0.22% |
| −50 dB| 0.22±0.20% | 0.50±0.45% | 0.977±1.000% |
| −60 dB| <0.10<0.40% | 1.3±2.8% | 2.880±2.880% |
| −70 dB| <0.30<0.30% | 3.00±3.00% | 9.770±9.770% |
| −80 dB| 4.47±1.00% | 12.6±8.9% | 39.80±39.80% |
---
**FIG 6 JVC VP-900**
1 kHz SQUARE WAVE
**FIG. 7**
JVC VP-900
CROSSTALK BETWEEN CHANNELS
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current tape address into the autolocator display.
**Editing system**
The main frame of the editing system has a similar configuration to that of the digital audio processor with the electronics contained on six horizontal printed circuit boards which plug into a mother board. Several of the boards have LED indicators of unknown functions with only the user controls on the main processor board.
This contains a master reset button and an auto/manual toggle switch in addition to two 8-way DIL switches. One of these is used to set the baud rate of the RS-232 interface, details of which were not available. The second DIL switch, not all sections of which are used, performs three user functions: the editing mode may be set to assembly or insert editing, the timecode mode may be set to SMPTE or BP and the pre-roll time may be set to 10 s or to 30 s.
To the rear of the electronics unit are the video inputs from the two VCRs with a feed from the editor to the audio processor, all these at BNC sockets. The remaining connectors are locking multiway types feeding the processor, the remote control of the VCRs and the control section of the editor. The latter is a table top-mounted unit about 17 in wide by 12 in deep with a sloping front panel. Depending upon the setting of the DIL switch in the electronics unit the editor may be used for assembly editing or for insert editing. In either case the function of the control section is to identify the edit points, rehearse the editing without recording and once satisfied with the edit to record the edit. In the insert editing mode, however, the rehearsal functions are limited.
This involves two VCRs (the Original and the Master) so the very clear LED display at the top of the control section is divided into two almost identical sections to display data for the original and the master VCRs.
The top row of digits in each display shows the current tape time in min, sec and frames; the frame display relates to either TV frames when the BP timecode is used or SMPTE frames when the SMPTE timecode facility is used.
Below the current time display the sec display is normally used to identify edit points in min, s and frames plus three further digits which are identified as W×2 where the latter is related to the sampling data word. The final digital display is a single digit which indicates which one of four possible cross-fade times is selected. The range is from 0 to 40 ms in 10 ms steps selected by sequentially pressing a button on the control panel, a 45° splice at 15 in/s being equivalent to 16.66 ms.
Below the information display a transverse row of LEDs is used in the edit location mode. This display has seven LEDs at about 1.5 in intervals dimly illuminated in the edit location mode with intervening LEDs forming a horizontal bar display with one of the intervening LEDs illuminated.
The length of this display corresponds to a 6 digital audio store with 6 LEDs at 1 s intervals and the intervening LEDs showing the current position within the store when illuminated.
The display is used for edit point location for which purposes there are actually two 6 s digital stores for inserting two edit points, both stores reproducing very good quality audio. In order to locate an edit point the master or original are replayed using the master/original selection buttons together with the usual tape movement controls on the panel. The Set Up button is then pressed followed by the EDP (edit point) button at the approximate edit point. The editing store then grabs 6 s of audio which includes 2 s of audio before the EDP button was pressed and 4 s after it was pressed the tape stops.
From here the accurate location of the desired edit point involves replaying the stored audio in one of two modes using a large diameter knob which was rather stiff in operation. Selection of the Replay mode replays the stored audio continuously at a variable speed forward or backwards as set by the large knob. Alternatively selecting the Search mode allows the equivalent of moving the tape very slowly with one rotation of the large knob equivalent to about 0.4 s of tape time. In either mode the horizontal LED display shows the current position within the store and once the desired edit point has been found the EDP button is again pressed.
At this stage it is possible to audition the edit point in one of two modes. Pressing one button replays the stored audio and mutes at the edit point whilst pressing another button replays the stored audio and remains muted until the edit point. This system allows drop-in or drop-out point to be monitored.
If it is then desired to trim the edit point, this may be done by again pressing the Search or Replay button and using the rotary control with the edit timecode being shown in the display. Alternatively the edit point may be trimmed in 2 ms intervals (corresponding to 0.03 in of tape at 15 in/s) by using the ← or the → buttons.
The same procedure is used for the original and master tapes in the assembly edit mode after which there are several ways of rehearsing the edit.
Using the audio stores the edit may be replayed over a short period in mono, or alternatively pressing a Check button rehearses the edit using the original and master tapes as sources in stereo reproduction but without performing the edit. Once satisfied pressing the Edit button automatically performs the edit.
A further feature is the inclusion of a digital fader which allows fading in or out of the original at any time. After a little practice the editor was very easy to use and the facilities for rehearsing edits were excellent. The insert editing mode is useful for replacing sections of a recording such as clicks or badly played notes. The first operation in this mode is to find the desired insert and exit points on the master tape and to note their timecodes—easily done in the assembly editing mode. Next the start of the required insert on the original tape is found in the insert editing mode and entered as in the assembly mode. After this simultaneously pressing the Stop and EDP buttons allows the timecode of the insert and exit points on the master tape to be entered, the latter with the reduced resolution of 1 frame (33.33 ms). From this point the edit may be auditioned using the Check button and subsequently performed using the Edit button. This form of editing relies on the tempo of the original being the same as that of the master, thus running the risk of timing errors if long inserts are made.
The remaining facilities include the insertion of edit points from a known timecode, searching for edit points or going to an edit point and erasing play. These functions are initiated by holding down the stop button whilst pressing the EDP, Search or Play buttons.
Finally there is the facility to assign the fader to the left or right channels whilst maintaining unity gain in the other channel by pressing the Stop button together with the ← or → keys; this could be useful for correcting stereo balance or other effects.
**Summary**
All the units were very well made and easy to use once set up. The initial setting up, however, is complicated by the large number of controls on the video cassette recorders none of which are needed during operation.
The VP-900 digital audio processor is an excellent recording system in its own right which can work with the common NTSC-type video cassette recorders. As the unit uses a powerful error correction system, normal tape dropout is fully corrected without any interpolation.
During tests no uncorrected errors were heard or seen and intentionally corrupting the replayed video to produce hold errors had no significant audible effect before the machine muted at excessive error rates.
The AE-900V digital editing system was a delight to use, its rehearsal possibilities offering an untold advantage over the normal manual editing of tape. The accuracy of edit points was far better than is possible by conventional methods with the added advantage of being able to fade in/out whilst editing.
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**Manufacturer's Specification**
**Equaliser section**
Configuration: (27) ½-octave state variable derived filters on ISO centres from 40 Hz to 16 kHz.
Centre frequency accuracy: ±3% maximum.
Filter type: constant Q, state variable derived (no inducive or gyrators).
Sliders: 45 mm full-throw, positive centre detent (grounded).
Range: boost 12 dB, +2/-1 dB, cut 15 dB, +2/-1 dB.
Signal/noise ratios: ref +4 dBm, unweighted, 20 kHz bandwidths sliders centred, unity gain −90 dB, sliders centred, maximum gain −85 dB, sliders maximum, unity gain −70 dB, sliders maximum, maximum gain −64 dB.
Frequency response: 31.5 Hz to 27 kHz, −0/−3 dB.
Total harmonic distortion + noise: less than 0.002%, 22 Hz to 20 kHz with +4 dBm output.
IM distortion: less than 0.02%, 60 Hz × 7 kHz, 4:1.
Maximum gain: +6dB (+3/−0 dB) with sliders centred.
Input impedance: 20 kΩ.
Output impedance: 50 Ω.
Maximum input level: +22 dBm (9.7 VRMS) level control below −10, +19 dBm (7.0 VRMS) level control at unity gain, +14 dBm (+4.0 VRMS) level control maximum.
Maximum output level 600 Ω: +20 dBm (7.8 VRMS) level control maximum, +18 dBm (6.2 VRMS) level control unity gain.
Subsonic filter: fixed at 31.5 Hz, 18 dB/octave.
Ultrasonic filter: fixed at 27 kHz, 18 dB/octave.
Overload indicator: red LED, lights at 4 dB below clipping.
Signal present indicator: green LED, lights above −20 dBm input RFI input filters.
Bypass switch: passive hard-wire type, red LED indicates bypass on/off.
Output relay: turn on/off transient control.
Analyser section
Display range: ±1 dB or ±3 dB ‘green window’, selectable.
Measurement level range: 70 dB to 120 dB SPL calibrated.
Cuts: spectrum or normal flat from 40 Hz to 16 kHz, ±0 dB, linear −3 dB attenuation between 400 Hz and 1.6 kHz.
Display attack time: peak instantaneous.
Frequency accuracy: ±3% maximum.
Analogue filters: ANSI S1.10-1980.
Pink noise: pseudo-random NMOS digitally synthesised, 23-bit word length, 1 min repetition rate. Output level adjustable, −10 dBm.
Response: 16 Hz to 20 kHz, ±1 dB, equal factor 4.0.
Microphones: two directional back-electret condenser type, powered by front panel jack (not phantom power), sensitivity −65 dB; frequency response 10 Hz to 16 kHz; maximum SPL: 140 dB.
Dimensions: (w/h/d) 19×3.5×8.5 in.
Weight: 11 lb net.
Manufacturer: Rane Corporation, 6510 216th SW Mountlake Terrace, WA 98043, USA.
UK: Music Lab Sales, 72/74 Eversholt Street, London NW1 1BY.
**Manufacturer’s comment**
Mr Ford is correct in his findings that the peak overload LED does not indicate first-stage overload, this is something that we were late in recognising but have now taken steps to correct in all existing and future products. We would like to point out that the RE 27’s unbalanced output stage is also floating, which makes it compatible with all balanced input stages.
The Rane RE 27 and RE 14 are constant Q graphic equalisers using state variable derived filters and mounted into 2U steel 19 in rack mounting cases. The RE 27 is a 27-section single-channel \( \frac{1}{3} \)-octave equaliser and the RE 14 a 2-channel 14-section \( \frac{1}{3} \)-octave equaliser. The specifications only vary slightly in the noise performance.
Most of the RE 27's charcoal front panel is occupied by 27 vertical slider controls giving +12/-15 dB range to the 27 equalisers centred on ISO standard centre frequencies from 40 Hz to 16 kHz. Each equaliser has a rather weak detent at 0 dB gain with calibrations at 3 dB increments. Above each equaliser control are red, green and yellow LEDs identified as '+', '0' and '-''. These operate such that the equaliser may be used as an analyser.
To the left of the front panel is the power on/off rocker switch which operates on the secondary of the mains transformer, the primary being permanently connected to the line cord via a fuse located within the unit. At the top of the panel an uncalibrated potentiometer controls the overall gain of the unit following the electronically balanced input stage. Near this input level control a green LED is illuminated when signals in excess of -20 dBm are present. A second red LED is illuminated when signal level reaches -4 dB below clipping at the input to the equalisers or output from the equalisers—this does not protect the balanced input stage or the final output stage.
Below the level pot are two locking pushbuttons, one with a red warning LED bypassing the equaliser by hard wiring the input to the output and the second energising an internal source of pink noise.
To the right of the front panel are an unbalanced \( \frac{1}{4} \) in microphone input jack socket and the real-time analyser (RTA) controls consisting of a potentiometer and two locking pushbutton switches. The analyser section is normally fed from the equaliser output but inserting the microphone jack feeds the analyser from the microphone input which is non-standard and designed for use only with the electret microphone supplied with the unit. If this microphone is used the calibrations around the RTA level control represent SPLs from 70 dB to 120 dB in 10 dB increments.
The analyser works in conjunction with the '+', '0' and '-' LEDs above the individual equaliser controls with one of the pushbutton switches selecting a \( \pm 1 \) dB or \( \pm 3 \) dB window. If the signal exceeds the window level the red '+' LED is illuminated, if it is below the yellow '-' LED is illuminated and if the signal level is within the window the green '0' LED is illuminated.
It follows that the equaliser may be used to define or measure spectra or frequency responses in conjunction with the internal pink noise generator using either the supplied microphone or any other type of input.
The final front panel control is the Normal/House curve switch which affects the frequency response of the analyser section which is flat in the normal position. In the House position the response between 400 Hz and 1.6 kHz is modified—the manufacturer claims "This reduction in midrange results in a warmer more desirable sound at lower sound pressure levels."
At the rear of the unit the audio input, audio output and pink noise output are at \( \frac{1}{4} \) in jack sockets with the outputs being unbalanced except in the bypass mode when the output is directly connected to the input terminals which may be fed from a balanced or unbalanced source.
Within the unit printed circuit boards extend the width of the chassis at the top and bottom and across the front. The latter supports all the slider controls and the filters and level detectors are on the other two boards. The only pre-set controls are single potentiometers for each filter, setting the level.
Across the left side of the unit the...
power supply and input/output circuits are on a vertically mounted board with a similar board to the right having the random noise generator and microphone input circuits.
The only hand wiring is the connections to the power transformer; the printed circuit board interconnects with sockets and pin connectors making the unit very tidy. Whilst there are no component identifications the user's manual includes layout diagrams and circuits in addition to other user information.
The unit is well finished internally and externally with clear off-white panel markings and the chassis is painted inside and out.
**Inputs and outputs**
The electronically balanced audio input could accept a maximum of 9.58 VRMS (+21.8 dBm) into a load impedance constant with gain at 22 kΩ with the common mode rejection remaining at 80 dB within the audio pass band.
The gain to the unbalanced audio output with the equalisers set to their flat positions was a maximum of 6.7 dB with the output source impedance being 47 Ω. Measuring the maximum output capability showed it to vary widely with the gain set by the equaliser level control, this control affecting the input and output stages.
At maximum gain the output could deliver 9.51 VRMS (+21.8 dB.V) falling to 7.26 VRMS (+19.4 dB.V) at unity overall gain and thence to 1.05 VRMS (+2.6 dB.V) at low overall gains.
The microphone input to the real-time analyser section is dedicated to the microphone supplied; the input has +2.19 VDC powering and the input impedance is 2.07 kΩ. The sensitivity for '0' indication with the window set to ±1 dB was −72 dBm at maximum gain increasing to −25 dBm at minimum gain with the calibrations of the RTA level control being rather rough and ready as shown in Table 1.
Pink noise at the unbalanced output could drive a maximum of +2 dBm over the bandwidth 22 Hz to 22 kHz from a very low source impedance. A constant bandwidth analysis of the pink noise as shown in Fig 1 reveals that the frequency distribution of the pink noise is within ±0.5 dB from 20 Hz to 20 kHz.
The signal present indicator illuminated at −21 dBm input with the overload indicator becoming illuminated 3.5 dB below clipping, the latter giving a visible indication with clipping conditions exceeding 300 μs.
Whilst the peak indicator shows overloading conditions at the feed to and from the equaliser sections, it does not operate with input overloads and will not necessarily indicate overload at the output stage.
**Frequency response**
The overall frequency response with the equalisers in their flat positions is shown in Fig 2 to be within +0/−1 dB from 40 Hz to 12.6 kHz falling to −3 dB at 32 Hz and 22 kHz and then rolling off to provide a sensible restriction on the bandwidth.
The performance of all the 27 equalisers at their maximum cut and boost is shown in Fig 3 where the centre frequencies are accurate but the alignment of the gain leaves something to be desired, particularly in the case of the 630 Hz stage. It was also noted that the three highest frequency sections had an available cut in excess of the specified −15 dB.
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**TABLE 1**
| RTA level setting | 70 | 80 | 90 | 100 | 110 | 120 |
|-------------------|----|----|----|-----|-----|-----|
| Input level (dBm) | −72| −64| −51.5| −45| −37| −25|
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**FIG.1**
RANE RE 27
SPECTRUM ANALYSIS OF PINK NOISE
**FIG.2**
RANE RE 27
FREQUENCY RESPONSE FLAT
**FIG.3**
RANE RE27
EQUALISERS
**FIG.4**
RANE RE27
40Hz, 1kHz AND 10kHz
EQUALISERS
AT MAX +6dB AND FLAT
The D 112: The new bass microphone from AKG will take some punishment, deliver the new sound, and is a regular show-piece.
The result of technical wizardry and engineering experience, a new type of dynamic transducer finally enables extremely punchy and powerful bass sounds to be reproduced with utmost accuracy. An incredibly high sound level capability (a theoretical 168 dB!) ensures distortion-free reproduction of the bass, guitars, and bass drum as well as wind instruments. A special presence lift at 4 kHz creates that extra sparkle and punch that will make any bass instrument clearly distinguishable within the mix.
The new transducer, the strong protective basket, and the rugged die-cast housing are the results of intensive R & D. The superb sound is the result of the most advanced technology.
Fig 4 shows the performance of the 40 Hz, 1 kHz and 10 kHz equalisers at their maximum settings and at the ±6 dB settings, the control law being good and the shape remaining constant with gain.
Within the analyser section the frequency response was flat within the readability of the display in the normal mode with the 'House' mode introducing a boost in sensitivity commencing at 100 Hz, rising to 3 dB between 400 Hz and 1.5 kHz and then falling to zero at 6 kHz.
A typical frequency response of the 1/3-octave filters is shown in Fig 5 for the 1 kHz filter. This curve just falls within the outer limits for the ANSI standard class II response.
Noise and distortion
Noise in the output was completely free from power line hum or other constant tones with the output noise depending upon the setting of the gain control and the equalisers. With all equalisers set for unity gain the gain control influenced noise as shown in Table 2.
The use of the equalisers to cut or boost, increased the output noise but not to any alarming degree. Table 3 shows the effect of fully cutting or boosting the mid-band equalisers from 315 Hz to 2 kHz with the nominal range being +12 dB to −15 dB.
Referring these noise levels to the maximum output capability shows that the noise performance is good under any likely conditions of operation. Operation of the pink noise source did not show any audible crosstalk into the equaliser section but operation of the analyser section produced very slight clicks as the level LEDs became illuminated.
The operation of the equaliser controls and the level control were completely silent and switching the unit on/off did not produce any unwarranted clicks.
Second and third harmonic distortion was measured under a variety of conditions of gain and equalisation, and was always to a high standard. The worst case shown in Fig 6 was at +20 dBm output at maximum gain, the use of the equalisers having little effect upon the harmonic distortion which was related to output level rather than other conditions.
Intermodulation distortion to the CCIF twin tone method exhibited similar characteristics with the second order products (F2.F1) being always at a very low level—less than 0.01%. The worst case for the third order products was at high frequencies and high levels as shown in Fig 7 for +20 dBm equivalent peak output.
Other matters
Testing the analyser in comparison with a Bruel & Kjaer type 4165 measuring microphone in conjunction with a Bruel & Kjaer 2606 measuring amplifier and a 1/3-octave filter set showed remarkably good results.
The Rane unit was first used to equalise the room using the ±1 dB sensitivity range with the input sensitivity set to 70 dB SPL. The Rane microphone was then replaced with the Bruel & Kjaer microphone and the room measured with the Bruel & Kjaer equipment. The resulting sound pressure level indicated at 70 dB with the Rane equipment measured 69 dB SPL with the B & K equipment, the two systems agreeing to within ±1 dB over the 27 1/3-octave bands. The Rane microphone, however, was sensitive to hum pickup and unless the microphone stand was grounded, erroneous results could occur at low frequencies.
Summary
The Rane RE 27 is an unusual combination of a 1/3-octave, constant Q, graphic equaliser and a real-time analyser with limited abilities. This combination, however, has all the facilities needed for obtaining a flat room response or equalising a room to the internal 'House' curve, using the internal pink noise source if required.
All sections of the unit offered a very good performance but the accuracy of alignment of the equalisers could be improved. However this has no effect upon the measurement capabilities which were remarkably accurate for a simple device.
EVERYTHING YOU EXPECT FROM JAPANESE CASSETTES... except the price
By importing top quality Japanese Tape and assembling the cassettes in the UK using the finest C zeros available we can now offer you everything you’d expect from Japanese cassettes... except the price.
Available in custom lengths, retail packaged and also in pancakes for duplicators.
Telephone P.M.D. for full details on 01-627 3760 or 0789 68579 or complete the coupon below to obtain sample cassettes.
To Pangbourne Musical Distributors Ltd., PO Box 19, Stratford-on-Avon, Warwickshire CV37 6SA. Please supply details and sample cassette.
NAME ........................................ POSITION ........................................ TEL NO .......................
ADDRESS ..................................................................................................................................
PMD ... NUMBER ONE IN MAGNETIC MEDIA
The QuPlay QPI is a programmable drop-in and drop-out control unit that plugs directly into the tape machine using tach pulses as its reference. There are, at present, some 200 units in studios around the world with a quarter of these being in Britain. The system I examined was in use at producer Colin Thurston's studio in London where it is used in conjunction with an Otari MTR90 mk II.
The unit measures $17 \times 11 \times 15$ cm and is small enough to sit neatly on most consoles with little problem. The controls are divided into two areas consisting of a remote section providing normal transport facilities, and the programming section with five pushbuttons and three status LEDs. The unit can be programmed with the tape machine running at normal speed, half speed or in edit mode depending upon the degree of accuracy required but whichever method is used the procedure is the same. Firstly the QPI must be primed to receive commands by pressing the Prog button which will light the green Program Enabled LED. With the transport running the In button is pressed at the drop-in point and the Out button at the drop-out point. The Program Enabled LED will extinguish and one now has a programmed drop-in or window. The accuracy of this window can be checked by the orange Window Cue LED which illuminates for the duration of the drop-in. Once satisfied with the positioning of the window the QPI should be 'record armed' and this is achieved by simultaneously pressing both Arm buttons lighting the red Record Armed LED. The tape machine is run back either normally or by using Loc, which will put the machine into rewind and apply the brakes at the In point parking the tape a few seconds before the drop-in. The track or tracks to record on are selected on the tape machine, Play is pressed and the drop-in is carried out automatically. When the QPI drops out it also disarms itself, so to repeat the same drop-in the unit must be re-armed. However, there is a switch at the rear of the control box that allows 'continuous arming' and this can be useful if one is anticipating a number of passes over the same section or putting the tape machine into cycle mode but remember to switch back to Normal for a playback. The unit does not interfere with the operation of any existing remote or autolocator as it connects to an independent socket, so if preferred these can be used to perform transport functions, although the QPI's remote will work in exactly the same way as the tape machine.
Once a program has been entered it will remain intact until another program is entered or changes are made to the existing program. A window may be shortened or lengthened by pressing Prog leaving the In point untouched and selecting an earlier or later Out point. If at any time one wants to disarm the QPI either before or during the window by pressing Arm the unit will immediately disarm and drop the machine out of record without effecting the program.
It is possible to create an Inverse Window by programming the unit in reverse. For example, if you enter an In point at two minutes and an Out point...
at one minute, then wind back to zero and Continuously Arm the unit, by pressing Play it will go into record from zero to 1 min, drop out until 2 min and then go back to record until stopped.
There is also the facility to program the unit by using a standard press-to-make footswitch which plugs into a standard ¼ in jack socket on the rear panel. In Program Enabled mode the first press of the switch creates the In point, the second the Out. This is particularly useful for anyone working single-handed and by arming the unit directly after enabling the program it is possible to do live drop-ins and program the memory whilst having the freedom to play a keyboard or guitar. The footswitch can also be patched through to the studio on a mic line allowing the artist to do his own drop-ins. The QPI is supplied with a 5 m cable joining it to the tape machine. If required longer cables can be provided so that the control box can be taken into the studio area or another room making it possible to have full control over the tape machine outside the control room.
When not in Program Enabled mode the footswitch has another function which is to shift the window to a different tape position. For example if there is a window of 30 s starting at 1 min into the track, by spooling the tape to 2 min and pressing the footswitch one now has a drop-in programmed to start at 2 min and end at 2 min 30 s. This opens up some interesting possibilities with strict tempo tracks where there are a number of identical sections.
The spot erase capability depends on the speed at which the tape machine will drop in and out. To test this I decided to select a double bass drum beat and lose the second. The MTR 90 was put into edit and rocked over the second beat marking the In and Out points on the QPI. The window length was approximately 300 ms. Both QPI and the Otari had no problems in dealing with it but it is worth checking that the tape machine will respond to a quick window as the effect can be to drop-in correctly but ignore coming out!
Apart from the record functions, there is also a triggering facility. Next to the footswitch socket is the Trigger Output jack socket and above this is a switch that toggles between M (Momentary) and C (Continuous). Momentary causes a brief contact closure at both the start and end of the window, and Continuous gives an uninterrupted closure for the duration of the window. The trigger output can be used to activate all manner of drum machines, sequencers, effect units, etc, starting and stopping them at the beginning and end of the window. The beauty of this system is that one can trigger an effect and drop it in and out all by the press of one button, and by using the footswitch a number of fixed length sections can be dealt with quickly easily.
The QPI does not interface successfully with all tape machines, so it is advisable to check that it is compatible with your machine before taking it any further. Generally speaking, it works well with modern Japanese machines like Otari, Tascam and Fostex. By the nature of the system working from tach pulses, it is essential that tape machines are well maintained and free from any clock or tape slippage. At present, QPI is customised to fit the client’s machine but a series II model should be available soon which will incorporate internal dip switches and plug in leads making it simple to swap tape machines.
If you own a machine which will interface with the QPI and don’t already have any programmable drop-in device, then this unit could be of interest to you. It is not expensive.
Colin Thurston is impressed with this unit and uses it exclusively to do all his drop-ins. I asked him if using it slowed the session down: “I prefer accuracy to speed and QuPlay rules out any human error, so at the end of the session there’s no time wasted by mistakes. I’ve never seen anything like it before and I will use it all the time.” □
Superior Sound Control
Utilising the most advanced Microchip technology, HARRISON have been able to introduce the GP-SERIES Graphic Equalisers which not only have superior audio performance characteristics but which also outperform existing models. The GP-SERIES are precision designed with response and facilities to match the requirements of today’s sophisticated sound systems.
Precision Model Range
The GP215 is a 7 x 15 band 3rd octave instrument or a 11 x 19” rack mount unit
The GP180 offers real precision 30 band 1/3rd octave control plus a three band Notch Filter in a one rack package. Last but not least the GP240 combines two channels to cover the full 6th and octave 30 band 1/3rd octave frequencies from 20Hz to 20kHz.
Plus Extra Features
Each model is more than a precision Graphic Equaliser – it also includes extra features that are essential to today’s application. These include variable low and high pass filters, e.g. Range Switches, On/Off Switches, Peak LED’s and Auto Reset. Variable Channel Levels are all provided. Electronic balanced Inputs and Outputs with sockets for balanced and unbalanced are other features, and built-in Pink Noise generators are included, as well as silent modes and a full-scale bypass cut-out and much more.
Security Cover Included
At no extra cost each model comes with a tinted Perspex Security Cover which protects the controls largely while your control settings once the GP-Series have been set up to give you the sound you want.
Notch Filters
The GP150 Model also includes a 1 band 1/3rd octave sweeping Notch Filter set to 1kHz. A really fast effective means of getting up to a full 10dB of system gain from your sound system.
This is the sort of last annoying feedback can be “notched out” and you can get more sound level without sacrificing quality.
Contact your nearest dealer or Harrison direct for a detailed information brochure.
HARRISON INFORMATION TECHNOLOGY LTD., UNIT 3 BUTTON END, HARSTON, CAMBRIDGE CB2 5NX. 0223 871711. TELEX 81687
The first 2 editions of ONE TO ONE (as shown) proved to be extremely well received by readers and advertisers alike.
ONE TO ONE seems to have filled a gap in a market hungry for information.
News and commentary are the mainstay of the magazine keeping the professional in the many areas of mastering, pressing and duplicating up-to-date on developments and techniques throughout the world. In addition to this there are articles covering the use of equipment, profiles, overviews on the international industry plus the interface between producers and the record industry as a whole and much more.
Circulated to over 70 countries and published by the same world renowned team who produce STUDIO SOUND magazine, the third edition of ONE TO ONE will be published in October.
To coincide with the Los Angeles AES (12th to 16th November) and the Japanese International Broadcast Equipment Exhibition (19th to 21st November) ONE TO ONE will be available free of charge during these two important events.
To ensure that your message is seen contact Carl Anthony Snape, Editor; Phil Guy, Commercial Manager or Adrian Tippin, Advertisement Sales by the final dates to be included in this important new magazine.
COPY DEADLINES
Editorial copy date: 20th August latest.
Advertising copy date: 8th September.
Further information on advertising rates are available from
ONE TO ONE, Link House Magazines Ltd., Link House, Dingwall Avenue, Croydon CR9 2TA, U.K. Tel: 01-686 2599. Telex: 947709. Fax: 760 0973.
Dynamic Range Control at its best.
Symetrix
SOUND TECHNOLOGY LTD
6 Letchworth Business Centre
Avenue One, Letchworth
Herts SG6 2HR
Telephone: 04626 75675
525 Dual Gated Compressor/Limiter
Simultaneous compress/limit and expand/gate.
CL150 Fast RMS™ Compressor/Limiter
A highly cost-effective single channel automatic gain controller.
501 Peak-RMS Compressor/Limiter
Simultaneous peak and RMS detection. An indispensable tool for PA.
522 Compressor/Limiter/Expander/Gate/Ducker
Versatile multi-function processing for studio, stage, or production.
511 Noise Reduction System
Removes noise from any source, pre-recorded or live, mono or stereo.
Symetrix products are sold and supported world-wide. When you specify Symetrix you specify quality, performance, and reliability.
YOU CAN PAY LESS FOR A REVERB THAN THE RMX 16 BUT IT WON'T BE HALF AS GOOD
We would be the first to admit that the RMX 16 is not the only digital reverb on the market which benefits from AMS know-how. When our unit has been continually updated to maintain it as the world's number one digital device, a level of flattering imitation is inevitable.
But nothing comes half as close to the sound quality, features, ease of use and updatability of the RMX 16. And at a price which represents such a modest proportion of your studio spend. Remember, choosing AMS means never doing things by halves.
For full details on the RMX 16 contact us today.
AMS Industries plc, AMS Industries Park, Burnley, Lancs. BB11 5ES. England.
Tel: (0282) 57011 Telex: 63108 AMS-G.
Harris Sound Inc. (Los Angeles)
For nationwide sales, rental or service. Tel: (800) 233 1580
RMX-16
AMS
SOUND + WITH + VISION
Advanced Music Systems.
The Queen's Award for Export Achievement to Edacackle Ltd.
In July 1985 Edacackle Ltd. became AMS Industries plc.
Breathing Heavy?
Tired of signal processors that pump and breathe? Looking for something that's kind to your ears? Then, look to the Leveller from USAudio!
The Leveller is a new breed of signal processor whose capabilities begin where those of ordinary limiters and compressors end. Linear Integration Detection is the heart of the Leveller's control section and it enables the unit to understand loudness as perceived by the human ear. This remarkable circuitry maintains sonically correct musical relationships, while processing the wide spectrum of sounds from musical instruments and voice, to mixed program material. The processed signal exits the device tree from "pumping" and "breathing".
The Leveller is a sophisticated device, yet it remains easy to operate, with a minimum of front panel controls. Its intelligent circuitry handles the signal just as if your ears were calling the shots.
Once you've heard the Leveller handle your signal, you'll breathe more easily. See your USAudio dealer today for a demonstration.
VALLEY PEOPLE INTERNATIONAL
C/O Gotham AG Regensdorf 5w Switzerland
Telex 69222 gotham ch. Tel: 0041 1 840 0144
Stirling
AUDIO SYSTEMS LTD
I Canfield Place London NW6 3BT ☎ 01 625 4515
Telex 946240 CWEASY G Ref No. 990 14280
MCA/MULTIMIX, a modular audio console with computer control
MULTIMIX audio console
- True modularity to really meet your requirements in special applications.
- A family of some 20 different input, routing, fader or rotary pot, metering and output modules.
- Special modules for control room and headphone monitoring, test signals, talkback, remote control etc.
- Heavy duty steel chassis
- Transformer balanced inputs and outputs.
- Wide range meter modules, 60 dB display.
MCA processing unit
- Computer controlled routing, matrix mix processing and multichannel panning.
- Assignable digital fader and meter to set and control matrix crosspoint levels.
- A single floppy disk stores up to 600 sound effect cues (scenes).
- Controls the tape transport and locator functions of up to four tape recorders.
- Pocket terminal for remote control and sound effect evaluation in the audience area.
- System operation by a single cue entry push button.
MCA MULTIMIX
"Custom design" your console for special applications such as theatres, musical productions, planetariums, fiction venues and all applications requiring a "non-standard" console with computer control.
Subscribe. Now.
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AND BROADCAST ENGINEERING
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STUDIO SOUND gives you the hard facts, techniques and opinions which cannot be matched by any other publication in the field.
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The Definitive Gate
The Rebis RA701 has been developed for the new breed of studios where perfection is the only standard. It combines the very best of digital and analogue technology to meet that standard.
- Fixed or tracking four stage envelope lets you create envelopes as well as modifying them.
- High resolution filters for frequency conscious gating or programme equalisation.
- Trigger mask up to four seconds can be used to remove offbeats or change accent levels.
- Envelope delay up to two seconds gives slapback and repeat effects.
- Velocity sensitive MIDI output drives synths and drum machines without the need for special pads or interfaces.
- Merge input allows units to be chained to give a single MIDI output.
- 90dB attenuation range, stereo and duck facilities, external key input and 5 volt trigger outputs.
Give yourself the creative edge—get the full facts today!
Rebis Audio Ltd. Kinver Street, Stourbridge West Midlands DY8 5AB. ENGLAND.
Telephone: (0384) 71865. Telex: 335494.
Australia: John Barry Group; Artorman S.W. 02-439 6955. Austria: Baue Sound; Hainberg 02235 89 298. Belgium: S.E.D.; Bruxelles 322 701-4. Canada: Henri Electronics Inc.; Ontario 721-1951. Denmark: Kimvox A/S; Lyngby 02-1876 17. Finland: Studiore; Espoo 514 33. France: Lazure Electronique; Paris 87865 10. High Fidelity Services; Paris 285 140. Germany: Thun & Mahr Audio; Leverkusen 2113 7806-0. Hong Kong & China: Audio Consultants Co. Ltd.; Kowloon 17175251. Italy: Startek; Bologna 32 1063. Jamaica: Audioloft Systems Ltd.; Kingston 926-2569. Japan: Hibino Electro Sound Inc.; Tokyo 442-1161. Netherlands: Special Audio Products B.V.; Amsterdam 140035. New Zealand: Master Broadcast Systems Ltd.; Glenfield 444-3583. Saudi Arabia: Farid Halwany & Sons; Dammam 8570848. South Africa: Tru-F Electronics; Johannesburg 786 7177. Spain: Singleton Productions; Barcelona 237 7060. Sweden: Iai & Ton; Gothenburg 803630. Switzerland: E.M.M. Studio; Basel 061 54 20 45. U.S.A.; Rebis U.S.; Atlanta; Georgia 404 633 6626.
STAGING EUROPE
EQUIPMENT & SERVICES
DIRECTORY 1986
From the publishing house which gives you the world renown Studio Sound and the highly respected Broadcast Systems Engineering magazines comes our latest publishing first – STAGING EUROPE.
STAGING EUROPE 1986 covers all aspects of staging a live performance, whether this be theatre, a classical concert, ballet or rock gig.
Over 3,500 European companies are featured divided into seven main sections:
The Manufacturers section includes chapters on Amplifiers to Portable Stages, Hydraulics to Microphones, Lighting Effects through to Makeup & Wigs.
The Hire section provides a comprehensive listing of Companies throughout Europe, and includes all aspects of production equipment as well as Portable Stages, Properties, Furniture & Armouries and Light & Lazer Shows.
The Service section ranges from Wardrobe & Costume, Designers & Consultants, Set Construction and Catering.
The Venues section is a unique compilation of major venues in Europe listed alphabetically and divided by country.
European Sources is a unique guide to where equipment can be obtained in any country.
The Address Index includes the full address details of all the companies featured in the directory, each with telephone/telex numbers as well as key contact names.
STAGING EUROPE 1986 brings together these important sections for the first time in one directory ensuring it is the most comprehensive information source available.
Professional Publications Group, Link House Magazines Ltd, Dingwall Avenue, Croydon CR9 2TA, United Kingdom.
Please send me copies of Staging Europe Directory 1986.
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£16.50 World Airmail Includes Postage and Packing
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Please return the completed order form enclosing full remittance (including delivery) or giving your credit card number to Professional Publications Group, Link House Magazines Ltd, Dingwall Avenue, Croydon, CR9 2TA, United Kingdom.
Please allow 28 days delivery in Britain, extra overseas depending on country and delivery method.
Advertisements for this section must be pre-paid. The rate is 55p per word, minimum £13.75. Box Nos. £3.50 extra. Semi-display rates on application. Copy and remittance for advertisements in OCTOBER issue must reach these offices by 12th AUGUST addressed to: The Advertisement Manager, Studio Sound, Link House, Dingwall Avenue, Croydon CR9 2TA. Cheques made payable to Link House Publications (Croydon) Ltd. Note: Advertisers' copy must be clearly printed in block capitals or typewritten.
Replies to Box Nos. should be addressed to the Advertisement Manager, Studio Sound, Link House, Dingwall Avenue, Croydon CR9 2TA, and the Box No., quoted, typed outside of the envelope. The district after Box No. indicates its locality. SEX DISCRIMINATION ACT 1975: No job advertisement which indicates or can reasonably be understood as indicating an intention to discriminate on grounds of sex (e.g. by inviting applications only from males or only from females) may be accepted, unless (1) the job is for the purpose of a private householder or (2) it is in a business employing less than six persons or (3) it is otherwise excepted from the requirements of the Sex Discrimination Act. A statement must be made at the time the advertisement is placed saying which of the exceptions in the Act is considered to apply.
The attention of advertisers is drawn to "The Business Advertisements (Disclosure) Order 1977", which requires that, from 1st January 1978, all advertisements by persons who seek to sell goods in the course of business must make that fact clear. From the above date consumers therefore should know whether an advertisement relates to a sale by a trader or a private seller.
**SERVICES**
THE COMPLETE SERVICE. Disc cutting, pressings, duplicated cassettes and blanks. Bin Masters. Location Recording. Free Brochure. Tam Studio, 13a Hamilton Way, London N3 1AN. Tel: 01-346 0033. (X)
LOCKWOOD, TANNOY, etc., new and used equipment always available and wanted. Lockwood Audio Sales 01-866 0671. (X)
TORQUAY, DEVON, ONE INCH eight-track high speed cassette duplication. Radio Jingle's musical director Ed Welch, South Western Studios, Castle Chambers, Union Street. 0803 28288. (J)
QUALITY HIGH-SPEED and real-time audio and video cassette copying and processing. Any quantity. While you wait. 24-hour, 7-days-a-week service. Central London W2. GWBB Audiovision. Tel: 01-723 1583/1590. (X)
WHO SAYS YOU DON'T NOTICE THESE SMALL ADS! For as little as £13.75 + VAT you too could be getting your service message across. For more details contact Adrian Tippin at STUDIO SOUND. Tel: 01-686 2599.
**HEAD TECHNOLOGY**
"High Expectations Set High Standards"
PRECISION RELAPPING OF RECORDING HEADS
- Upto-date Technology
- 30 Years Experience
- Express Service
- Very Competitive Prices
HEAD TECHNOLOGY
Magnetic House
11 Britannia Way
Stanwell
Staines
Middx
TW19 7HJ
Tel: Ashford (07842) 56046
**CASSETTE DUPLICATORS**
SALES SERVICE MAINTENANCE
High speed cassette duplicators throughout the United Kingdom and export
GRAFF WOLLENSAK SONY
Sound Cassette Services Ltd.
P.O. Box 10, Shepton Mallet
0480 67237
LONDON SERVICING FACILITIES
**TAPE & FILM HEADS**
WE MAKE WE STOCK
WE RE-PROFILE
BRANCH & APPLEBY LTD
STONEFIELD WAY, RUISLIP
MIDDLESEX HA4 0YL
01-864 1577
**CASSETTE DUPLICATING:**
GAUSS Loop-Bin / TELEX In-Cassette
High Quality Blanks / Label Printing
OPEN REEL DUPLICATING
(ANY SPEED - ALSO TO BROADCAST SPEC.)
SPEECH RECORDING
(VOICE-OVERS; LANGUAGES; AUDIO-VISUALS)
SPEECH-PLUS RECORDINGS LTD.
UNIT 32, NO. 19, PAGES WALK, LONDON SE1 4SB. TEL: 01-231 0961
**Check It Out...**
DIRECT FROM OUR MODERN U.K. PRESSING PLANT
- CUTTING • PRESSING
- TEST PRESSING
- LABELS • SLEEVES
- CASSETTES
- ARTWORK
- COMPETITIVE PRICES
MARKET LEADERS
SRT
01-446 3218
FOR ALL YOUR RECORDING NEEDS
AMPEX AUDIO AND VIDEO TAPE MAIN DISTRIBUTORS
Spoils, boxes, blades, splicing and leader tape. Blank precision wound cassettes C1-120, labels, library cases and cards, C-Zeros, pancake, etc. Broadcast Cartridges.
12 Britannia Road
Sale, Cheshire M33 2AA
Tel: 061-905 1127
FOR QUALITY, PRICE AND SERVICE
**REAL RECORDINGS**
THE CASSETTE DUPLICATING SPECIALISTS
Real time & high speed duplication
Blank cassettes wound to length
TEL: 061-881 2402
100 C-60 cassettes beautifully copied in stereo from £59.50 (plus VAT)
We can copy from 100 to 5,000 high quality cassettes on our high speed loop-bin system, load them precisely into top-class shells. Price includes library case and all production work from your ¼ in edited master. Any length C-5 to C-90. Ring for price sheet.
STUDIO REPUBLIC
47 High Street, Pinner 01-868 5555 01-866 5555
**SERVICES**
**HIGH QUALITY CASSETTE DUPLICATION AND SPECIALISED LENGTH BLANK CASSETTES**
ICM C-O's
Leeholme Audio AGFA/BASF TAPES
Leeholme Audio Services Ltd. 360-4 Leabridge Road, Leyton, London, E10 Telephone 01-568 4748
**ANALOGUE/DIGITAL TAPE**
At Playback we sell BLANK TAPE (& DISKS)
In fact we stock everything from Analogue TDK tape through to digital AMPEX 467. In VIDE we stock all formats - down to 8mm.
Our FLOPPYS work in SSSLs and UNN drum machines.
We are very pleased with the companies we keep.
TDK • SONY • MAXELL
AGFA • AMPLEX • FUJI • BASF
Playback
15 Percy Street
London W1P 1FD
Tel: 01-637 8392
**051-430-9001**
HIGH SPEED DUPLICATION
MASTERING, DUBBING, EDITING
INLAY CARD & SIDE LABEL DESIGN & PRINTING
THE COMPLETE SERVICE
AMPEX & BASF DISTRIBUTORS
STUDIO ACCESSORIES
RAINHILL TAPE SPECIALISTS
31 Eccleston Street
Prescot, Merseyside L34 5QA
**SPEEDY REVOX SERVICE**
Plus TEAC/TASCAM, FOSTEX, UHER, most Mixers
Amplifiers, Effects, Priority Bookings taken.
Collection/Delivery arranged
A personal service by experienced engineers.
34 Danbury Street, London N1 8JU
Telephone 01-359 9342/3030
RAPER & WAYMAN
**REAL TIME CASSETTE COPYING**
All work carried out on Nakamichi machines to the highest standard. Normal or chrome tape available.
We also supply blank cassettes cut to length.
450-7s and BASF chrome tape available.
GATEWAY CASSETTE SERVICES
1 Gauden Road, London SW4 6LR
TEL: 01-627 4758
**ACCURATE SOUND LIMITED**
Quality Cassette Duplication, High Speed ILoop Bini and Real Time,
Overwrapping, Export Length Blank Cassette, Labels and Inlays
Tel Leicester 0533 82209
QUENIBOROUGH Ltd. Est MELTON ROAD
QUENIBOROUGH, LEICESTER LE7 8FP
**Let Saki expertise relap your tape heads in London**
Factory-approved laboratory and training guarantees finish to original performance specification
ALL MAKES RELAPPED
Tapetek, 44A Brighton Road, London N16 8EG
Tel: 0254 5203 or 0836 215900 (mobile)
Replacement Saki heads from:
Tape Marketing, 13 Elm Road
Faringdon, Oxon SN7 7EJ 0367 20262
**AA Tape Winders**
03744-65010
For rapid supply of exact length
Audio Cassette + Tape Duplicating
**THE SOUND & VISION WORKSHOP LIMITED**
SERVICE FOR ALL MULTITRACK RECORDERS
SPARES • REBUILDS • PROFESSIONAL AUDIO
ELECTRONICS • SALES • EQUIPMENT
153A Victoria Street,
St Albans, Herts. AL1 3TA
Tel: (0727) 58977 24hr.
**REAL TIME CASSETTE DUPLICATION**
Onto exact length Ferric / Chrome tape.
CUSTOM WOUND BLANK CASSETTES
ICM C-O's
BASF Tape
TEL: Cardiff (0222) 790040
Backyard Recording Studios Ltd.
60 Orchard Park St. Melkons Cardiff.
**TAPE DUPLICATION**
CASSETTE: * H-speed * Real-time * Quality shells *
* Quality tape * Short runs welcomed *
OPEN REEL: * Real-time * Double-time * Broadcast spec *
* Rapid copy service for ILR network *
* Post production *
APRS Member
GRIFFITHS HANSEN (RECORDINGS) LTD.
Park Mews, Parkhall Road, London SE21 8EX
Contact: Tony O'Leary Tel: 01-761 0055
**DATAGENK**
CUSTOM LENGTH BLANK CASSETTES
MIXING, MASTERING, EDITING
LABEL PRINTING • SHRINKWRAPPING
READING 0734-302600
**WEST 5 Tapes Ltd.**
Rapid supply of high quality blank bulk cassettes C1-C120
Example C60 316
5-screw C-Zero — no minimum or maximum order
Phone Dave West 01-502 2447
West 5 Tapes Ltd., Unit 34, Oakwood Hill
Industrial Estate, Loughton. Essex
**FOR SALE—PRIVATE**
**TANNYO ARDENS IN EXCELLENT CONDITION. £475 or exchange for Little Reds or similar size monitors. Telephone Brighton (0273) 676 905.**
**NEVE CONSOLE 80 series, currently 28/8/24, 4 Neve comp/limiters, current format £22,000, to be upgraded shortly. Also 36/8/24 with 24 record/remix submixer, £28,000. Also Neve 24/8/16, £10,000. Could also be upgraded with 24 record/remix submixer for extra £5,000. Telephone 01-521 2040.**
**T.A.C. MATCHLESS 26/24/8/2 in line desk. 192 hole J/Field, 8 AVX busses, 2 mute groups. One year old, perfect condition. £8,700 o.n.o. OTARI 7308 1" eight track, very reliable, £1,950 o.n.o. Telephone 061-236 7530.**
**PPG 16 BIT COMPUTER MUSIC SYSTEM for sale (private seller): WaveTerm B, WAVE 2.3 V6, EVU (2.3 Midi-Expander). Capable of sound sampling, sequencing, analog and digital sounds and much more! New '86 Software, complete new sound-library. Only 1 year home/studio used, as good as new. £9,800 — Wolfgang Muermann, Schoeneberger Str. 102, 2 Hamburg 73, W. Germany. Telephone Hamburg (040) 672 20 30—CALL W. GERMANY!**
**NAGRA SNN MINIATURE PORTABLE TAPE RECORDER. Privately owned, excellent condition. Recent complete service. Microphone and remote control included £620. Telephone 0621 891883.**
**SOUNDCRAFT SCM SERIES 762 2" 24-track recorder with full remote; 30 months home use only, well maintained, condition as new. Offers around £9,500 + VAT. Telephone Mark: 027984 2278 (Herts).**
FOR SALE—TRADE
QUAD 405 £165 each, BOSE 802 £300 each, Technics SL1200 MK2 Turntable system (new) £199, HHSS500D £300 each, Gauss 4583A (new) £180 each, Gauss 4581 (new) £150, Gauss H1502 £90 each, Gauss HF4000 £180 each, Martin 215 Bass "split" with two Gauss 4583A's £400 each, plus lots of other cabinets, speakers, sleeves, wedges, horns, lenses, pepper-pots, chip-cutters, fruitcases etc. Add VAT please, and call Dave on 0628 72359.
TEAC 244/34/38 discounts and HP and leasing. Erriks VCD, Brighouse 722121 (Bob) (X)
SURPLUS mono & stereo amplifiers, speakers, turntables etc; bought & sold at reasonable prices. Midland Radio Supplies, Maypole Lane, Birmingham B14 4PE. Tel: 021-430 7817. (J)
BELDEN MULTICORE CABLES—19pair 50M £285 each, 19pair 36M £205 each, 19pair 14M £80, 15pair 50M £145 each, Lectrilex pair 30M £130, 15M £65. Martin multicore drum in flightcase £185. All prices exclude VAT. Tel: 0628 72359.
MICROPHONES FOR SALE, AKG D224F £100 each, AKG CK8 (new) £95 each, AKG CK5 £40, AKG CK9 (new) £115, BSS AR116 DI with phantom power £50 each. Please add 15% VAT. 0628 72359.
SOUNDCRAFT 24-TRACK TAPE MACHINE with full autolocate and 16-track headblock £10,500 plus VAT. Wollensack high speed cassette copier £400 plus VAT. Telephone 01-359 0477.
STUDER C37. Good working order £800. Telephone (0242) 43243.
AMEK ANGELA 28 x 24 WITH PATCHWAY AS NEW PERFECT ORDER £11,500. 01-671 3731. TANNOY SUPER REDS IN CUSTOM CABS (LOCKWOOD) ELECTRONIC CROSSOVER £600. LEXICON 224 £2,900. 01-671 3731.
USED STUDIO EQUIPMENT FOR SALE? Advertise it now in STUDIO SOUND CLASSIFIEDS for as little as £1.75 + VAT. For more details call Adrian Tippin at STUDIO SOUND. Tel: 01-686 2599.
DISC CUTTING EQUIPMENT and systems bought, sold, installed and manufactured (under licence from ORTOFON). TAM/ENGLAND, 13a Hamilton Way, London N3 1AN. Telephone 01-346 0033. (X)
AHB SR28 (28/6/2) with flightcase £1100, RSD 20/8 Monitor with flightcase £895, Klark Teknik DN701 (new) £1250, DN34 £350, Roland SRF55 £300, RE201 £150, Pro Audio PA27 £150 each, Rebis RA301 £200, AKG BX5 reverb £300, Dynachord DR578 £300, A&DR F760R-XS £795, BSS MCS300 4-way stereo crossover £695, Revox PR991-HS (new) £395, Teac 3X cassette £180, Rebis rack amp/PU with 2 delays, modulator, compressor, + 11 blanks and rack module £415. All prices exclude VAT. Tel: 0628 72359.
MS AUDIO
THE BIG NOISE
in new & second hand recording equipment
MICROPHONES • STANDS • HEADPHONES
AKG, BEYER, SENNHEISER
MONITORS
TANNOY, UREI, VISONIK, JBL
EFFECTS
YAMAHA, IBANEZ, DRAWMER, MXR, BEL ACES
AMPLIFIERS
ACES, QUAD, RAUCH, UREI, STUDIO MASTER
MIXING CONSOLES
ACES, ALLEN & HEATH, STUDIO MASTER & more
TAPE RECORDERS
ACES, TASCAM, REVOX
TAPES AMPLEX
CALL STEVE OR NICK AT
UTOPIA STUDIOS. 01-586 3434
24-TRACK STUDIO AND
EQUIPMENT
FOR SALE
JACKSON MUSIC GROUP
The Studios, Rickmansworth,
Hertfordshire, England WD3 2XD
APRS Member
TEL: 0923 772351
TELEX: 262284 REF 1728G
THE HHB SILLY SUMMER SALE
Sony CCDV8 Video 8 Camcorder, ex demo, £795
Sony CCDM8 Handycam Video 8 Camera, ex demo, £595
Sony Compact 75 Hi-Fi System, £375
Sony C35P Condenser Mic, £119
Sony EBP 9LC D50 Power Supply, £35
Sony ECM929T Stereo Electret Condenser Mic, £35
Sony EVC8 Portable Video 8 VCR, £395
Sony EVS300 Video 8/PCM VCR, £350
Sony EVS300 Video 8/PCM VCR, £550
Sony ECMV100 Digital Processor for EVA300, £139
Sony SLC9P Printer VCR, £195
Sony PCM1610 (Secondhand) Digital Audio processor, £11,000
Sennheiser MD421 Mics, £99
Gauss 3588 Coaxial Loudspeakers, £275
Electrospace Spanner Stereo Panner, £425
Clue (Computer, Logging Unit + Editor), ex demo, £1,195
12" Green Screen VDU, £59
BSS FDS320 Crossover, £275
BSS AR116 ex demo DI Boxes, £39
Lexicon PCM60 Digital Reverb £1,095
Allen & Heath System 8, 1616 Mk II Mixer, £1,275
Allen & Heath CMC168 Mixer, £1,325
All prices exclude VAT
HHB Hire & Sales, Unit F, New Crescent Works
Nicoll Road, London NW10 9AX
Telephone: 01-961 3295 Telex No: 923393
**FOR SALE—TRADE**
**DYNAMIC DUOS**
- 2" MT24 HS 24 track with autolocator ML24 24 in line console
- ACES PACKAGE DEAL £13,700 + VAT
- 2" MT24 standard 24 track with autolocator ML24 24 in-line console
- ACES PACKAGE DEAL £12,475 + VAT
- 2" MT16 A-HS 16 track with autolocator B1816 mixing console
- ACES PACKAGE DEAL £8,350 + VAT
- SML 1216 16" 16 track with Aces B1816 console (6 aux. 5 band Eq. 2 sweeps)
- ACES PACKAGE DEAL £3,950 + VAT
Prices include all cable and installation & 3 month warranty of all gear and studio equipment. Part exchange welcome.
**TEL**
*PHONE NOW FOR QUOTES ON OTHER PACKAGES*
**MS AUDIO**
---
**ANANAS**
NEVE Mixing Console, 16/8/16, many integrated features e.g. Neve compressors/limiters, complete remote and switching unit for 16-track with vari-speed counter and many more specials.
Contact: Tel: Germany 0661/21296 - 21271 Mr Herold
---
**USED NEVE CONSOLES FROM DON LARKING AUDIO SALES**
- NEVE 8108 32-input mixing console with NECAM II £57,000
- NEVE 8068 £50,000
- NEVE 8048 with NECAM II £50,000
Call us now on (0582) 450066 for more information
Don Larking audio sales
Luton: 29 Guildford Street, Luton, Beds.
Telephone: Luton (0582) 450066. Telex: 825488 DONLARG
---
**STUDIO FOR SALE**
WEST CORNWALL. Becoming available on owners retirement. Local record company, label, in-house cassettes production, spacious 8tr studios. Quiet in-grounds and separate modern accommodation, suit two families (or let one). Ample room for other biz. All in top condition. Good access and parking. Town 2m, sea ½m.
Ring 0736 731246.
---
**SITUATIONS VACANT**
**The Wool Hall**
Recording Studios REQUIRE
CHIEF MAINTENANCE ENGINEER
Must have at least 3 years experience of servicing both digital and analogue equipment. Enthusiasm and an ability to liaise with clients is essential.
Salary negotiable
CONTACT PETE DOLAN AT:
CASTLE CORNER, BECKINGTON
NEAR BATH, SOMERSET BA3 6TA
TELEPHONE: (0373) 830731
---
**SITUATIONS VACANT**
Inner London Education Authority
LEARNING RESOURCES BRANCH
Television & Publishing Centre, Thackeray Road, SW8
STUDIO SOUND ASSISTANT
Salary scale £8,238-£9,327 plus £1,494 London Weighting Allowance.
A Studio Sound Assistant is required to work at the above Centre which is equipped to colour broadcasting standards.
Duties include general studio work, rigging, boom operation etc., and sound recordist duties on location with both film and video recording crews.
Experience or knowledge of sound techniques is required.
This post is suitable for job share.
Application forms and further details from Personnel Services Division (PER/PS 4a), Room 366, The County Hall, London SE1 7PB.
The closing date for completed application forms is 29 August 1986.
Applicants should be aware of and committed to the Authority's Equal Opportunities Policy.
ILEA IS AN EQUAL OPPORTUNITIES EMPLOYER
---
**CLASSIFIEDS**
SITUATIONS VACANT
SCHOOL OF TELEVISION AND BROADCASTING
RAVENSBOURNE COLLEGE
OF DESIGN AND COMMUNICATION
A challenging opportunity now exists to join the experienced team responsible for teaching a new B.TEC course offered by the College at Higher National Diploma Level in Television Programme Operations.
SENIOR LECTURER: SOUND RECORDING
up to £15,738 p.a. inc.
You will take a major role both in the teaching of audio theory to operator students and in the organisation and implementation of training programmes in audio recording for broadcast television, sound radio, and A.V. applications.
An understanding of the relevant technology, the ability to demonstrate production creativity in the design and manipulation of aural images and an awareness of the contribution of sound to visual programme-making are essentials. Particular importance attaches to evidence of enthusiasm and ability in the field of music recording. Experience of broadcast practice would be valuable but equal consideration will also be given to those candidates with experience in the recording industry or non-broadcast field.
Previous teaching experience would be an advantage but is not essential but an interest in guiding the work of motivated students must be demonstrated.
Application forms and further details obtainable from the Assistant Registrar, Ravensbourne College of Design and Communication, Walden Road, Chislehurst, Kent BR7 5SN.
SITUATIONS WANTED
FREELANCE SOUND ENGINEER/PRODUCER, with twenty years studio experience working with many top acts etc., seeks new direction challenge. Reply to box no. 936.
STUDIO DESIGNERS AND CONSULTANTS
TIME DELAY SPECTROMETRY
Discover why your studio sounds the way it does...or should
MUNRO ASSOCIATES, 01-480 7121
KENNETH SHEARER AND ASSOCIATES
Consultants in acoustics and noise control
Over 30 years' experience in the custom design of all kinds of recording and TV studios, mixing, dubbing and viewing suites - new and conversions, down to 25 Hz.
Tel: 0442 54821
CLASSIFIED ADVERTISEMENTS ORDER FORM
Please use this coupon for all your sales and wants.
Rates: 55p per word. Min £13.75. Box Nos. £3.50 extra
PLEASE PRINT IN BLOCK CAPITALS
To: STUDIO SOUND, please publish the above advertisement for ....... insertions under the heading ........................................ Cheque/P.O. to be made payable to LINK HOUSE PUBLICATIONS LTD, LINK HOUSE, DINGWALL AVENUE, CROYDON CR9 2TA.
Is a Box No. required Yes/No. If no, please include remittance to cover name and address and/or tel. no.
Name ........................................ Address ........................................
## NEW EQUIPMENT
| Equipment | Price |
|---------------------------------|--------|
| Tascam MS16 16-track inc Autoboiater, dbx console | £7,750 |
| Lyrec TRS524 24-track inc Racks | £22,500 |
| TACorpion 8 track on demo | POA |
| TAC Master 8 track | POA |
| Tascam ATR-60 2 Track Professional | from £4,375 |
| Tascam 48 OB | £3,295 |
| Soundcraft Series 24.8 | £5,000 |
| Fostex B-16 | £2,695 |
| Fostex 450 | £1,475 |
| Fostex 450 Mixer | £2,695 |
| Tascam 38 | £1,795 |
| Tascam 32 | £1,795 |
| Tascam M-520 20:8:16 | £2,695 |
| Tascam M-312 12:4:2 + 8TK | £1,395 |
| AHB System 8 16:8 | £2,200 |
| AHB System 8 16:8 | £1,495 |
| AHB MC 24 | £2,495 |
| AHB CM 32 | £3,250 |
| Seck 1882 | £3,950 |
| Tascam M216 (16:4:2) | £725 |
| Tascam M216 (8:4:2) | £525 |
| RSD Studiomaster Series II 16:8:2 | £2,080 |
| RSD Studiomaster Series II 16:16:2 on demo | £2,575 |
| RSD Studiomaster 16:8:2 | £1,795 |
| RSD Studiomaster 16:16:2 | £1,425 |
| Ram M10 | £495 |
| Ram Model 18 | £1,640 |
| Tascam ATR60 ½" Prof. 15/30 ips | £4,400 |
| Tascam ATR60 ½" Prof. Centre Time Code | £3,500 |
| Fostex M-20 16:8 Stereo + Time Code | £795 |
| Tascam M106:6 | £345 |
| Tascam 38 NB | £1,595 |
| Tascam 22:8 | £3,655 |
| Revox B-77 Mk II | £840 |
| Revox B-77 Mk II | £1,180 |
| Tascam 34B | £2,169 |
| Tascam 388 NB, Remote Control | £2,169 |
| Alesis 16:8:2 loads in stock | £345 |
| Yamaha SPX-90 — loads in stock | £520 |
| Lexicon PCM 70 in stock | £1,650 |
| Yamaha DX7 Midi Controlling Keyboard (if purchased with PCM-70 or SPX-90) | £1,195 |
| Tascam 58 OB — New ex-demo | £3,950 |
| Tascam 44 OB — New | £1,595 |
| Tascam 44 OB — Ex-exhibition | £2,100 |
| Tascam 42 NB — Ex-exhibition | £1,595 |
## SECOND-HAND BARGAINS & EX-DEMO EQUIPMENT
| Equipment | Price |
|---------------------------------|--------|
| Soundcraft SCM 762 Mk II 16 Track 2" inc Autoboiater | £4,500 |
| Allen & Heath Xicon A 32:24 inc Patchbay & Producers Desk | offers around £6,000 |
| MCI 16:8 MK II 16:8 Autoboiater | offers around £6,000 |
| Teac 3440 — Two parallel | from £395 |
| Cassette Duplicator Package, Comprising: Open DPA 16:8, DCP 16:8, T-1000, Approx 3 years old, very little used | £4,500 |
| JBL 4435 Studio Monitors in showroom pair | £2,950 |
| AMS Neve 8008 170mm — 370mm | £695 |
| Klark Teknik DN34 (x2) with stereo links in immaculate cond | £695 |
| Bel BD-80 (4 Secs) Refrigerator etc. — 'Mint' | £595 |
| Neumann U47, U67, U87, U97, U100, etc. inc PSU — 'Mint' | £800 |
| Neumann SM69 Valve Mic. Original Dual Polarity PSU | £1,100 |
| Cradley Windmills | £1,100 |
| Lot of Second Hand Neumann Mics U47, U87, SM69 all FET's | POA |
| Bel 8 Chan Noise Reduction Unit | £295 |
| Quad Eight CP16 16 Channel Reverb/verb - good condition | £495 |
| Studer A8000 or A817 — new | £300 |
| JBL 5234A X-over with Cards | £450 |
| Tascam 38 — 2 years old, perfect | £1,125 |
| AHB System 8 16:8 — second hand — 'Mint' | £1,295 |
| Seck 18 8:2 — good condition | £695 |
| RSD Studiomaster 16:8:2 — 2nd model | £395 |
| Teac M24 — MB20 Metrebridge — second hand | £395 |
| Marsh Room MR-2 | £295 |
| AKG BX 100 — 2nd reduced | £395 |
| Promark MX-3 — Mint — 2 available | each £295 |
| Yamaha MT1X — in stock — new | £430 |
| Tascam 58 OB — 3 available | each £295 |
| Tascam 58 with 8 channels — dbx in console. As new | £3,950 |
| UREI 809 Equaliser — Ex-Demo | pair £595 |
| Ram Model Custom 42:2 P & 6 out 24TK Monitor | £2,300 |
| TAC Matchless 20:16 inc patchbay — perfect condition | POA |
## NEW PACKAGE DEALS
| Package | Price |
|---------------------------------|--------|
| Tascam MS-16 inc DBX Autoboiater, stand with Tascam M320 console | £10,400 |
| Tascam ATR60-8 inc. DBX inc. stand with Tascam M312 console | £5,180 |
| Fostex B-16 with 16:8:2 Console | £5,255 |
| Fostex B-16 with AHB 16:16 Synchro Console | £5,000 |
| Fostex B-16 with Ram RM18 Console | £4,840 |
| Fostex B-16 with Soundcraft 16:8:16 Console | £5,025 |
| Fostex B-16 with 18:8:2 Console | £4,925 |
| Tascam 38 with Tascam 312 Console | £3,120 |
| Tascam 38 with RSD 16:8:2 Console | £3,075 |
| Tascam 38 with RSD 16:8:2 Console | £2,845 |
| Fostex Model 80 with Ram RM15 Console | £2,034 |
| Fostex Model 80 with Ram RM15 Console | £1,995 |
| Fostex Model 80 with Model 450 Console | £1,956 |
| Special Introductory Offer Two Fostex B-16 Recorders, One Synchronous Technologies SMPL synchroniser, One Fostex Model 80 Mixer, One 30 Track Recorder, Four Cables | £7,850 |
Loads more equipment in stock — we have gear coming in all the time.
## STUDIO HOUSE
Please note: the prices above do not include VAT
High Wycombe, Bucks. All major credit cards accepted.
Stockport SK6 1AA
Tel: 06532 4244. London NW8 Tel: 01-586 3167
Normal opening hours are 9.30 am to 6.00 pm Monday to Friday. 10.00 am to 2.00 pm Saturdays
If you intend to call at either of our premises, we recommend you make an appointment first.
---
Studio Sound is available without charge to qualified readers: these are directors, managers, executives and key personnel actively engaged in sound recording in any part of the world. The Publisher reserves the right to refuse applications considered inappropriate or restrict the number of free copies sent to any one company or organisation. Non-qualifying readers may buy Studio Sound at an annual subscription of £19.00. All enquiries to: Subscription Department, Link House, 4 Wellington Road, High Wycombe, Bucks. HP10 1YD. Tel: 01-760 0054. Published by the proprietors of Link House Magazines Limited, Link House, Dingwall Avenue, Croydon CR9 2TA and printed by Lawrence Allen Ltd., Gloucester Street, Weston-super-Mare, Avon BS23 1TB.
Some people are fighting a rearguard action to save analog recording systems. They talk about cost and convenience. About the sonic characteristics of analog. Its trouble free use. They even say that it’s a good idea to record on analog and mix down on digital. They’ll say anything, in fact, to avoid the inevitable conclusion that digital is the way the industry is going. The ostrich and his reaction to danger is far sighted by comparison.
We at Hilton Sound lead the field in the new era of digital recording. We were the first with the Mitsubishi X850 that has been such a revelation to the industry. If you’ve ever witnessed the X850’s ability to decode a mangled tape and reconstruct missing passages, you’ll know why the new PD format dashes the hopes of all its rivals.
Mitsubishi philosophy is to design a system not just to do this year’s job, but to be capable of handling the demands of the year 2000 and beyond. Can anybody else say that? Watch this space for Mitsubishi’s X86 which will do for 2-track recorders what the X850 did for multitrack.
Hilton Sound, the first for Mitsubishi.
DMM
A New Sparkle for the Gramophone Record
Direct Metal Mastering: Precision cutting in copper. Improved record quality through a new cutting process and the short step from original master to finished record. Developed by TELDEC and engineered by NEUMANN.
NEUMANN technology assisted in the completion of the stereo master tape: Proven NEUMANN microphones finely balanced and equalised on a sophisticated NEUMANN mixing console.
The NEUMANN tape-to-disc transfer system has 4 components:
the tape playback console with preview channel;
the control desk for setting level and equalisation;
the amplifier rack to drive the cutterhead; and the cutting lathe with cutterhead and copper-coated stainless steel matrix. The diamond stylus cuts a copper span out of the blank leaving the stereo groove; a process refined over decades to today's maturity.
The pressing stampers are directly formed from the copper master, two of these press the record sides into the black compound.
The short step to the finished record has its advantages: Quality is improved due to the eliminated copying steps, and disturbing surface noises are dramatically reduced.
A gramophone record for optimal listening enjoyment can be released for marketing. It bears the "DMM" quality symbol. NEUMANN technology made a major contribution.
|
This Was Radio
A Personal Memoir by Joseph Julian
Introduction by Harold Clurman
This Was Radio
A Personal Memoir
by Joseph Julian
Introduction by Harold Clurman
The Thirties and Forties were the Golden Era of Radio, when Burns and Allen, Jack Benny, Fibber McGee and Molly, and Bob Hope softened the hard times of the Depression with their wit and rib-ticklers; when daytime "soaps" such as Our Gal Sunday, Stella Dallas, and John's Other Wife dealt bravely and poignantly with the seemingly endless ramifications of domestic crisis; when Evil and Crime succumbed inevitably to the labors of such as the Shadow ("The weed of crime bears bitter fruit. Crime does not pay! The Shadow knows!") and Mr. District Attorney; when Frank Sinatra hosted the weekly Hit Parade and Jack Armstrong was the All-American Boy.
Joe Julian broke into radio in the early days of that medium's Golden Era, and his career as radio actor includes virtually every major show from the Thirties onward. Here he records, with charm and wit, his dec-
(Continued on back flap)
(Continued from front flap)
ades behind the mike, from his stint in the chorus of *The March of Time* to his job as a sound-effects man, from his broadcasts for Norman Corwin from London under the blitz to his work in postwar Japan broadcasting back impressions of that still mysterious country in 1945 and 1946.
By the Fifties, Julian was one of the busiest and most sought-after actors around, and his memoir relates how, almost overnight, his career was virtually snuffed out by a witch-hunting Senator named Joe McCarthy; and how, after a painful and exhausting trial, he slowly made his way back to acceptability. Today, his career is blooming as brightly as ever.
Through Julian's experiences the reader relives an era which seems so near and yet, in many ways, so far from the world today. His book appears at a time when radio—of the kind that marked the Thirties and Forties—is making a rather extraordinary comeback, when old programs are being replayed and radio dramas revived and recast.
"The radio listener saw nothing: he had to use his imagination," the late Fred Allen once noted. "Television has taken that away from him." It is very possible that the resurgence of radio stems in great part from people's desire to reassert their intelligence and use their imaginations. As Julian's book so eloquently proves, radio, for all its trivia, was enormously influential and, quite often, very good indeed.
A RICHARD SEAVER BOOK
THE VIKING PRESS
Publishers of The Viking Portable Library and Viking Compass paperbacks
625 Madison Avenue, New York, N.Y. 10022
Printed in U.S.A.
ABOUT THE AUTHOR: Joseph Julian’s radio career spans well over three decades, during which he has performed in a rather staggering ten thousand broadcasts, from soaps to serious drama, from straight reporting to guest appearances. He has also written a number of radio and television plays including his highly acclaimed Hiroshima Diary, as well as several stage plays, the first of which, Double Feature, was produced at the Wharf Theater in Provincetown, Massachusetts. Shortly afterward, a hurricane blew the theater into the ocean. “I have always considered that a form of divine criticism,” says Julian. His other plays include A Man around the House, The Gimmick, and Ups and Downs and Evens.
A RICHARD SEAVER BOOK
THE VIKING PRESS, 625 MADISON AVENUE, NEW YORK 10022
SBN 670-70299-4
Joseph Julian
This Was Radio
A Personal Memoir
Introduction by Harold Clurman
A Richard Seaver Book • The Viking Press • New York
Copyright © 1975 by Joseph Julian
Introduction Copyright © 1975 by Harold Clurman
All rights reserved
A Richard Seaver Book · The Viking Press
First published in 1975 by The Viking Press, Inc.
625 Madison Avenue, New York, N.Y. 10022
Published simultaneously in Canada by
The Macmillan Company of Canada Limited
Library of Congress Cataloging in Publication Data
Julian, Joseph.
This was radio: a personal memoir.
“A Richard Seaver book.”
1. Julian, Joseph. 2. Radio broadcasting—History.
PN1991.4.J84A37 791.44'028'0924 [B] 74-4805
ISBN 0-670-70299-4
Printed in U.S.A.
ACKNOWLEDGMENT
The New York Times: “A Plea For Better Radio Acting” by Joseph Julian.
Copyright 1944, Copyright © renewed 1972 by The New York Times
Company. Reprinted by permission.
This Was Radio
"Portrait of the Author as a Daring Young Man Performing from Memory—1944."
(See Chapter 7.) Sketched at rehearsal by Staats Cottsworth on page of radio script.
To Lisl, who shared these years
In the Beginning Was the Wink...
Contents
Introduction by Harold Clurman xi
1. The Beginning 1
2. Siberia 18
3. Return to New York 28
4. The "Variety" Storm 44
5. "Michael West" and After 65
6. Corwin 71
7. If Memory Serves . . . 113
8. Welcome Honorable Enemy 127
9. Hiroshima 147
10. Return to New York 154
11. The Eclipse 168
12. The Trial 187
13. Easy Money 203
14. Foot-in-Mouth Disease 208
15. Fan Mail 227
16. Whither Withered Radio? 231
Introduction by Harold Clurman
In *This Was Radio*, Joe Julian accomplishes a triple task. First, there is a great deal of information about one of the most influential of the media, one which we have all used, enjoyed, and learned from and about which most of us know very little. Second, Julian’s book describes the atmosphere and moral landscape of the times during which radio came into being and flourished. *This Was Radio* is not only a personal but a social history. Third, all that the author tells us issues from a source that is not only truthful but pure. Radio and the people who contributed to its functioning come alive here: they are given a human face. And, what is more, the book is often very funny!
Because Julian writes from his own experience—without theory or doctrine—we find something symbolic and moving in his efforts to find a mode of expression. He is the universal actor struggling against all hazards and discouragement to find a place to practice his would-be profession. In doing this, we become sensible of a basic human need: man’s desire at all times to manifest
his inner self in a recognizably useful way. Julian strove with never-diminished determination to work at the job his nature clamored that he undertake. What makes this part of his story touching is that it is related not merely to the career of a single individual but to the contest all of us in one fashion or another must inevitably engage in. The cliché “hope springs eternal” is not just a sentimental wish, but a spur to action which is here made flesh.
When he “got going” and became successful as a radio actor, Julian took it seriously as a craft, and, even more, tried to extend it to the status of an art. In other words, he tried to enhance radio’s effectiveness and relevance. In doing so, he not only became part of radio’s most respected programs—in his association with Norman Corwin’s famous play and documentary broadcasts—but as a result became involved in splendidly perilous adventures of world-wide reporting, which led him to England during the blitz and to devastated Japan immediately after the armistice. What he describes—without the boredom of statistical notation or routine observation—is not only vivid but memorably gripping. We cannot toss off the impression we receive from this account as so much “daily news.” The simple directness of Julian’s writing makes us feel we were there beside him, seeing what he saw and did and identifying with the sights he witnessed.
Julian was one of Joseph McCarthy’s many victims, and throughout the book the episodes dealing with our local Cold War Inquisition of the 1950s are not only convincing on a personal level but heartbreaking, shamefully real on a national scale. How could we allow so much folly and injustice to occur among us? Reading these episodes, one feels that we failed to fulfill our responsibilities. Yet Julian, though bruised and sometimes appalled by all he has lived through, was not fatally scarred by these events. He never became bitter; his indignation is always softened by a feeling that virtue will in the last count somehow prove stronger than evil. This belief permeates and sets the tone of his whole book. Thus he is able in the midst of horror and viciousness to recognize and relish the comic. What he has seen and endured, however painful at times, has never debased his essential goodness. Another man with so close a view of our own men at war might have turned sour. Julian’s instincts are healthy; his attitudes always remain uncontaminated by egotism or vindictiveness. For this reason we believe in him: all his true stories ring really true; he tells it “straight—like it was.” The purity of his naïveté (to use his own phrase) is the mark of the book’s good faith, verity, and value.
1. The Beginning
Nineteen thirty-two was not a thriving time for our cultural institutions. President Hoover was telling us prosperity was just around the corner, but that corner still seemed very far away. Large numbers of our population were drawing sustenance from breadlines; engineers and college professors were selling apples on street corners; and the theater was rapidly dwindling to a luxury for the rich, with thousands of actors out of work and hundreds clamoring for every role.
I was one of those thousands, fresh out of Baltimore, bent on carving out a theater career for myself, depression or no depression. A man named Cliff Self helped determine the route my theatrical career would take.
Cliff was an old-time Shakespearian actor, then in his late sixties. He had a thin, waxed mustache which he constantly twirled, and he walked tall. In his young years he had probably been a dashing leading man. Cliff built a nice little business out of a natural talent for gossip. He had developed a considerable reputation among actors for
knowing what was going on in the theater. He used to hang around Broadway and Forty-fifth Street with other unemployed sons and daughters of Thespis, where he passed along casting tips and trafficked in general theater tittle-tattle.
When I arrived green in New York, certain only of future greatness, I hadn’t the slightest idea where to begin; whom to see; how to go about making the rounds; or even where the rounds were. I knew, of course, that Times Square was the heart of the theater district, so I decided I would mosey about that area until I came across what looked like some actor types; I’d sidle up to them, eavesdrop on their conversation, and, hopefully, glean some idea about where to present myself to a casting director. That’s how I met Cliff Self. He was hard to miss as an actor type.
With the Broadway and Forty-fifth Street set growing steadily larger, one day The Cliff Self Information Clearing Center asked himself the classic question: “Why not sell it instead of giving it away?” He rented a narrow, dingy room on the top floor of the Gaiety Theater building at the southwest corner of Broadway and Forty-sixth Street, stocked it with about twenty second-hand wooden chairs, an old desk, and an antique typewriter. Three large loose-leaf notebooks were his inventory. Every morning he would type into each notebook identical items of casting information—which producers were casting, what types they were looking for, where and when the interviews were being held, and other pertinent information. Many entries were culled from the theater section of the morning papers; others were gossip and tips from actors
who had already investigated casting situations and returned to give Cliff a report.
Cliff charged twenty-five cents for a peek at one of the notebooks. That was his sole source of revenue, but word got around, and soon there were enough purchasers of peeks filing in and out to provide him a modest living. The place became a haven where unemployed actors rested from their weary rounds, read the trades—Variety, Zits, Billboard—and socialized and commiserated with one another. Huddling together was desperately needed to ease the pains of loneliness and self-doubt that acutely afflict idle performers. A painter can paint, a writer write, a composer compose when he wishes, and the muse is right. But actors, who, contrary to popular belief, have very fragile egos and are most vulnerable to rejection, are entirely dependent on others for the opportunity to practice their craft.
One of the prestigious radio programs of the day was The March of Time. It dramatized important news events of the week, and occasionally required extras for ad libs and crowd noises. At such auspicious times the producers would phone Cliff to send over six or seven unemployed actors, who would be paid five dollars each for their services. Cliff took no commission but dispensed this five-dollar bounty to his favorites. When the call came, he’d try to avoid hurting the feelings of the others present by signaling the chosen with an unobtrusive nod or wink, or a flick of his finger.
It was about two years after I started coming to Cliff’s that I got my first wink. It was a great boost for my morale. The most exciting thing that had happened to me so far
that year was being stranded at Sunbury, Pennsylvania, with a stock company that went broke after a few weeks and left the actors to get back to New York as best they could. Without enough for train fare, I obviously had a problem.
"Got any brilliant ideas, Smitty?" I asked George Livingstone Smith, our stage manager—a handsome, derring-do, Errol Flynn sort of fellow.
"We could always settle down in Sunbury," he said.
Sunbury is a town on the Susquehanna River, about fifty miles above Harrisburg. As we strolled along its banks, cursing our producer who had skipped town to avoid creditors, still wondering how we'd get back to New York on the five dollars and forty-five cents we had between us, Smitty had his illumination. Why not go back in a canoe? There was a number of old rowboats, flatboats, and canoes rotting away along the shore. Maybe we could buy one for a couple of bucks and fix it up. The trip would only take a few days and we'd have ourselves an adventure!
It sounded good to me. The Susquehanna emptied into the Chesapeake Bay at Baltimore, where my family lived. We could stop off there, then go on to New York. "The only thing is," I told Smitty, "I've never been in a canoe." He assured me that there was nothing to it, that he had many times shot the rapids in the rough rivers of northern Maine, and that the Susquehanna was a peaceful, lazy river like the Hudson or Mississippi.
We browsed among the wrecks until we found a canoe that must have belonged to Hiawatha. But since it didn't collapse under our test kicking, we went to the police station, told the desk sergeant of our plans, and asked him
where we could find the owner. "Go on and steal it, boys," he said. "No one buys them things around here."
My clever friend cut up some canvas sandbags from backstage at the theater, to make patches. We bought some glue, and a can of paint, and lo, we had a vessel!
It was a miracle that we survived those next four days. My radio career almost never happened. The Susquehanna was not quiet and lazy. It's one of the most treacherous rivers in the country, full of hidden rocks, broken dams, and rapids. And as we hit our first white water, Smitty shouted above its roar, "Hey, Joe, I have a confession to make. This is the first time I've been in a canoe, too!"
We became experts the hard way: tipping over, losing a paddle, getting stuck on a bar of quicksand (I, idiotically, got out and tried to push us off, sinking to my nostrils before I was able to climb back in). Later, we were almost drawn over Holtwood Dam—a huge, electric power dam that spanned the river. My shipmate's ingenuity was responsible for that. Every four or five hours we had to beach the canoe to empty water that had seeped through the patches. At one place, Smitty was inspired by an old mattress lying on a dump. He pulled the cover off, cut some branches from a tree with his knife, lashed them together with a piece of rope, draped the mattress cover over this framework, and we had a sail. When I gathered the ends in my hands, stretched out my arms, holding the main pole between my knees, the wind caught us and zipped us gloriously over the bounding main. It was a thrill such as the person who invented the sailboat must have known—harnessing the elements to your purpose!
But it took us down river so fast that before we knew it we were only a few hundred yards from Holtwood Dam—a sheer 200-foot drop. We frantically killed the sail and paddled with all our might toward a little side reservoir, separated from the river by a stone wall. It had an iron ladder and railing running to the top. I lunged out and hooked it in the crook of my arm, just in time. If I had missed, we would have gone crashing over the dam.
Two men at a nearby powerhouse saw us and came running. They spun some wheels that opened a gate and pulled us into the reservoir, panting and exhausted. They took us and our canoe on a little electric train to the lower end of the river—state law requiring them to offer this service.
At night we slept in river town flophouses—for thirty-five cents a bedbug-ridden bed. We tried, with no luck, to catch our dinner by improvising a fishing line with a piece of rope and an open safety pin. We begged for food at farmhouse doors that were usually slammed—fearfully—in our faces. Where was all this famous country hospitality?
We really became disenchanted with our odyssey when the weather turned cold and violent. Cloudbursts filled the canoe with rain as fast as we could bail it out. We shivered and sneezed and were thoroughly miserable. That’s when we decided enough was too much, and, in the full fury of an electrical storm, pulled ashore at Havre de Grace, Maryland, where we sold the canoe for three dollars to a local sucker and decided to hop a freight train the rest of the way home.
We found a “hobo jungle” just outside of town, where a couple of hospitable “bos” invited us to dry out around
their fire and share a tin of hot canned soup. I never experienced the brotherhood of man more intensely. The "bos" told us that freight trains stopped there for a few minutes to take on water from a nearby tank. We socialized for a couple of hours until one arrived, then hopped into an empty car, with my one surviving, waterlogged suitcase. But as the train started up, we were shocked to see it going the wrong direction—north! Back up river from where we had so painfully come! As the engine picked up steam, Smitty jumped out and landed on his feet. I threw my suitcase out, then hesitated. The longer I hesitated, the more dangerous it became. I finally jumped—pragmatically, not bravely—and landed on my face in the cinders of the roadbed. I was a bloody mess.
Hours later we boarded a freight going south. As it got underway, we found we were sharing someone else's accommodation. A lot of people rode the freights in those depression years, sometimes entire families—the only transportation many could afford.
Our boxcar companion was a short, wiry character, who could have written a "How-To" book on the subject of freight-train-hopping. When he learned how I had damaged my face, he told me what I "shoulda done."
"Never take anything with ya ya can't strap on your back," he said. "So's you'll always have both hands free to hold on. And always have goggles to keep the cinders from the engine outa your eyes. An' if ya have to jump off, first start your legs movin' in the air, so's when ya land the momentum will keep ya runnin' on your feet. An' most important, before ya get in a car always look ta see if there's a woman there. If there is, run like hell! Don't go anywheres near her, otherwise the railroad dicks will grab ya under
the Mann Act for transportin' a woman across state lines for immoral purposes. Even if ya never seen her before in your life."
About thirty miles from Baltimore, the freight train pulled into a siding and stopped.
We hitchhiked our last lap. Overall, it was the most frightening stretch of the trip. The man who picked us up was a genial, loquacious fellow. Though not quite sloshed, he was unsteady enough at the wheel to keep us gasping. The strain was unbearable until finally I fell back on pure faith. It got us home.
Back in New York friends smiled indulgently when I recounted my river adventure. I wouldn't have believed me myself.
I went back to making the rounds, and the daily visits to Cliff Self's tip factory.
That year, the closest I had come to a job on Broadway was selling shoes, part time, at Ansonia's on Forty-second Street. I earned barely enough to exist and frequently was hungry. When I was down to my last few pennies, I would go into a bakery and buy some leftover rolls. Several times a week I ate at Bernarr MacFadden's Health Food Restaurant. The famous physical culturist had opened a place off Times Square where you could buy a five-course meal for twelve cents. Each course was a whole-grain variation, which MacFadden insisted had all the required nutrients. My parents were dead, and although my adoptive family was fairly well off, I hated the idea of going back to Baltimore to live off them, face their "I told you so"s, and shoehorn myself into the family hat-store business for which I had neither appetite nor aptitude. But most of all,
I dreaded the prospect of abandoning my acting career before I had a fair chance to prove myself. So, when Cliff Self winked that day and I was convinced he wasn’t winking at the actor next to me, I was more than elated. Radio drama was just beginning to come into its own. I had already knocked on a few doors but they wouldn’t open. A relatively small group of actors seemed to be doing all the work: Everett Sloane, Dwight Weist, Vincent Price, Paul Stewart, Orson Welles, Kenny Delmar, Jeanette Nolan, Raymond Johnson, Ed Jerome, Agnes Moorhead, Clayton Collyer, Bill Adams, Richard Widmark, Carl Frank, Arlene Francis, among them. I learned later the reasons for the exclusivity, and why it was so difficult to break into this hallowed circle.
*The March of Time* used the same actors almost every week. It was like a stock company, whose members were the aristocrats of this relatively new profession of radio acting. They were extremely versatile, the nature of the show requiring of performers a wide variety of accents and characterizations and a talent for impersonation. Names in the news had to be counterfeited, and occasionally an outsider would be brought in. Franklin Roosevelt was president then. Bill Adams did a perfect imitation of him, which meant that he worked almost every show, since Roosevelt’s name figured in the news almost every week. Art Carney, an excellent mimic, and Gilbert Mack also did the voice of FDR, and of many others. In fact, they were all so good many listeners believed they were listening to the real person.
Once, after playing Hirosi Saito, the Japanese ambassador to the United States, actor Guy Repp was summoned to the studio telephone. It was the Japanese consulate
wanting to know why the Ambassador hadn’t notified them he was in town. Repp explained he was only an actor impersonating Saito, but the caller was not to be put off. He insisted he was very familiar with the ambassador’s voice and invited Repp to a diplomatic dinner the next evening.
Another time, Gilbert Mack’s wife was at home listening to his voice coming over the radio as Franklin Roosevelt delivering his ringing Inaugural in which he said: “The only thing we have to fear is fear itself,” when a man, who frequently stopped by to sell her fresh eggs, rang the doorbell. She hurriedly let him in, saying, “Shhh, I’m listening to my husband!” The man gave her a peculiar look and left—never to return.
Probably the strongest impression the listening population has retained of *The March of Time* is not that of the performers or of the content of the program but the frame—the stentorian billboarding of the opening and closing lines by announcer Westbrook Van Voorhis. I can still see him standing at the mike, legs apart, finger in ear (to hear himself better), launching those four words, “the march of time!” into space with the force of a howitzer. I’m sure they’re still out there reverberating somewhere. That sound was too strong to have dissipated in a mere forty years.
My excitement was great as I reported that first day for rehearsals at the old CBS Studio A on the twenty-second floor of 485 Madison Avenue. Not only my first radio experience, but five bucks and working for one of the most important network programs! I knew I was just a crowd noise, but emotionally I was high. I had made it! My voice over a network, the length and breadth of the land! “Heard by millions!” I kept repeating to myself, “Heard by millions!” And when the director assigned specific lines to the extras so they would sound like a real crowd instead of a phony hubba-hubba babble, and gave me “Hey look, the guy’s bleedin’!” my cup ranneth over. After rehearsal I phoned Baltimore and alerted the family to listen for that line. But, alas, no one was able to distinguish it from the rest of the crowd sounds even though, to stand out, I had hunched a few feet closer to the mike than I had been ordered to.
My performance on *The March of Time* did not catapult me to immediate fame and fortune. But Cliff Self liked me well enough to give me the wink every few weeks. Together with my part-time job at Ansonia’s Shoe Store, I managed to keep my head above water.
It was frustrating to watch the regulars on *The March of Time* doing colorful, interesting roles while I was confined to a crowd noise. Envy gnawed at my heart, and a green voice kept whispering, “You could do it better, you could do it better!”
The next bit of good fortune that pushed my career along was the WPA—the Works Progress Administration—a federal program launched by Roosevelt’s New Deal to create work for the unemployed masses, to provide a job for whoever needed one. Under the program, the famous Federal Theater Project was launched. Every actor who qualified as a professional was employed in some theater-connected capacity for twenty-three dollars a week. My Sunbury stock company experience qualified me (at least some good came from it). This was my first hint of what it meant to be independently wealthy. Twenty-three dollars was a lot of money in those days. I was assigned to travel
around Manhattan organizing dramatic groups at churches and YMCAs. A few months later I was sent to WNYC, New York City’s radio station, where I performed in sketches about keeping our streets clean, and occasionally spun records, filling in for veteran announcer, Tommy Cowan, who was probably radio’s first disk jockey—at least for classical music. Tommy conducted the Masterwork Hour, and broke me in one day before he went to lunch. He handed me a pile of records and said, “Just announce them by reading the labels.” I don’t think any audience, before or since, has ever heard the names of the great foreign artists, composers, and conductors mangled so monstrously.
After a few months at WNYC I got my first Broadway acting job—a small role in Elmer Rice’s Judgment Day, a highly effective courtroom drama based on the burning of the Reichstag by the Nazis. Rice was a distinguished, socially aware, American playwright. I knew him to be especially active on the side of the underdog. So I wrote him an underdoggy letter, bitterly complaining of the Broadway system. I reminded him how difficult it was for a young actor to get a job on Broadway, because Broadway producers only wanted actors with Broadway experience, and how can you get Broadway experience if no one will give you a job on Broadway without it?
He responded with a note inviting me to read for him. It was a hushed scene between two nervous guards conspiring against their government. I think my real nervousness played a big part in winning that audition.
We opened December 13, 1934, at the Belasco Theater, and for six months I earned twenty-five dollars a
week, the Actors Equity minimum at that time. But the money, though desperately needed, was secondary. More important I had made it to Broadway! Forever after I shall have had Broadway experience! The thrill of being in a hit, of playing to Broadway audiences, the applause, the notable backstage visitors, was all very heady stuff. I remember being introduced to, among others, Gertrude Stein and Alice B. Toklas as they came back to visit one of the cast, Fania Marinoff. Fania, with her husband, Carl Van Vechten, was part of Miss Stein’s Paris “family.” Miss Stein was wearing a drab peasant-cloth coat that touched the floor. Much wider at the bottom than at the top, she left me with the impression of a gliding pyramid.
I had been granted a leave from the Federal Theater Project to do the play, so when it closed I went back to WNYC and skits about keeping the streets clean. But I did learn something of microphone technique there at New York City’s own station, which helped me win an audition that was to be a big boost toward big-time radio.
In the mid-thirties WLW, Cincinnati, was the most powerful single radio station in the United States. Owned and operated by Powel Crosley, Jr., President of the Crosley Radio Corporation and owner of the Cincinnati Reds, WLW’s 500,000 watts nearly blanketed the country. Apparently the government allowed that much power to one station as an experiment. In case of war or other emergency it could quickly take over and address the entire nation without arranging a complex hookup of smaller stations. Over the years WLW became known as “The Cradle of the Stars.” Many of the biggest names in the entertainment world had their grounding there—Doris Day, Andy Williams, Red Barber, Durward Kirby, Rod Serling, Frank Lovejoy, Rosemary Clooney, among others.
Serving WLW’s large audience required extensive programming and a large staff. One day in nineteen hundred and thirty-five Mr. Crosley just decided to clean house. He sent his general manager, Don Becker, to New York to interview and audition talent. Two weeks later he had signed up, for a year’s work in Cincinnati, a full new complement of actors, announcers, writers, and directors. The reason for such a drastic shakeup, I suppose, was the station’s rapid growth and the consequent need for more professional talent.
Becker had rented a large hotel suite and invited all who wished to apply for an audition and interview.
I chose for my audition my scene from Elmer Rice’s Judgment Day, which I had played night after night for six months—material with which I was most secure. I think that’s what gave me the edge.
My salary was to be fifty dollars a week, plus a few dollars extra for any sponsored program I worked on. I was on a four-week probationary period, after which the station could fire me if it didn’t like my work.
In all, the new employees at WLW numbered about thirty. As we were being shown the facilities of the station, I struck up a conversation with one of the group, a writer-director called Thomas Ashwell. I was particularly impressed by his good looks, his quiet, assured manner, and easy charm. He told me he had recently worked at a radio station on the West Coast and that he intended to rise very rapidly here at WLW. He said he planned to do it by closely observing the way most employees related to the
boss, Powel Crosley, Jr. If they were bootlickers and told him only what he wanted to hear, he would speak his mind. If they were forthright in their dealings with him, he would be a bootlicker. Either way, he said, by distinguishing himself from the others he would get ahead. It struck me as pretty cynical.
The numerous studios at WLW were of various sizes, to accommodate all kinds of productions. The larger ones were used mostly for musical shows with big orchestras and casts and heavy sound effect setups. The medium-sized studios were for smaller productions—dramas, recitals, interviews, and the like—and the smallest studios were mostly for news broadcasts and lectures. These last were the only studios without a piano and an organ. In those days, recorded music was rarely used. Orchestras and organists were "live." They set the mood and heightened emotional effects. Since music is the most direct of all the arts, it was of the greatest aid to an actor in quickly summoning a desired emotion.
And bars of music were the stagehands of radio, helping shift the scenery with a few suggestive notes. This music was often written and conducted by some of America's leading and most talented composers, such as Aaron Copland, Morton Gould, Bernard Hermann, and George Kleinsinger.
Among the dramatic shows on the air at WLW at the time of our arrival were: *The Life of Mary Sothern*, a typical daily soap opera; *Tea Leaves and Jade*, a lovely late-evening show that dramatized exquisite little fables and stories of the ancient Orient. Backed by low, exotic organ music, it used only actors with the most cultivated speech. *Famous Jury Trials* was a well-researched show that
reenacted actual court trials. These had large casts, since both the prosecution and the defense usually offered a long string of witnesses.
Although on a weekly salary, the staff actors had no fixed hours of work. But we were always on call for any director who might want us for a show, or to audition for one. During my first few weeks I happened to get very few calls, either for auditions or direct casting.
Back to Thomas Ashwell. After his first few weeks, he concluded that most of the staff were bootlickers, so he walked into Crosley’s office one day and told him that the majority of his programs stank. Crosley reacted by making Ashwell program manager.
Naturally a new program manager had to make a few changes. One of them was to fire some staff actors. I was among the chosen. Stunned, I stormed into Ashwell’s office, angry and indignant. He was firm (an important quality for a man determined to get ahead). He said the record showed that I was one of the actors least in demand by the directors; hence I was not earning my salary. I told him I hadn’t been there long enough for him to make such a judgment. He was charmingly pitiless.
I rushed in to see Don Becker, the station’s general manager, for whom I had auditioned in New York. He was sympathetic, but felt that since Ashwell had just been appointed it would be wrong for him to countermand his order. I was furious. Where was justice? I had not even used up my four-week trial period. It wasn’t that the directors didn’t like my work, I told him, they just didn’t know it. I hadn’t been called to audition for the right roles. It was also a big financial slap in my face. I had spent the
dregs of my bank account to attire myself presentably for my career at the station.
Becker began to relent. He said he'd see if something could be arranged. The next day he told me they were short an assistant sound-effects man, and asked if I would be interested in staying on in that capacity? Adding injury to injury, he told me the job paid only thirty-five dollars a week—a fifteen-dollar reduction. There was a short, sharp battle between my dignity and my need. I became a sound-effects man.
2. Siberia
Like music, sound effects played a major role in radio drama. They not only enhanced a play, but could set the scene. A few seconds of chirping crickets before the actors spoke bespoke a bucolic setting. Traffic noises immediately transported the listener to an urban locale. A mournful blast of a ship’s horn, and he was down on the waterfront.
I had never actually worked sound effects before. I had observed a few things during my limited experience on *The March of Time*: the echo effect you can get by speaking across an empty water glass—the way Orson Welles did when, as “The Shadow,” he spoke those immortal words, “Who knows what evil lurks in the hearts of men? The Shadow knows!” I knew that for horses’ hooves you clomped half coconut shells on a tray of dirt or gravel; for gunshots you shot off blanks, or hit a leather cushion with a switch; for footsteps you walked on a board or slab of concrete. But there was, I soon realized, much more to it. Aside from having to learn all the tricks in the bookmanual and recorded—good sound men were also, of necessity, performers. Just as actors emotionally identified with their roles, so a sound man had to empathize and interpret. For a fist fight he was both men, busily smacking a fist into his palm, synchronizing the blows to the actors' grunts as they said, "Take that! And that! And that!" He had to feel along in a situation that culminated in a shooting, in order to time the shot perfectly. And he had to "die" with the victim in order to fall to the floor with the proper thud at the right moment. Footsteps, too, have their emotional context. Those of a woman walking off in a huff have a different sound and rhythm than they do if she is strolling or nervously pacing a hospital corridor awaiting the outcome of her lover's operation. A good sound-effects "performer" did not deliver these sounds mechanically. He often literally put on a woman's shoes and played the role. When it was a horse, he became the horse, slapping his chest for a gallop, changing rhythm for a canter, using the coconut shells for a slow trot, or pawing the ground—and throwing in an occasional whinny or snort for good measure.
I was usually the second man on sound effects, assisting with simple things when more than two hands were needed. But it was amazing the number of effects one good man could handle alone. Say the scene was about survivors on a life raft in the ocean during a storm. The sound-effects man would preset some recorded effects on the turntables, and, on a cue from the director, would twist a dial to bring up the sound of the roaring ocean, while the other hand would pull a lever on a crazy contraption that rubbed small pieces of dry leather together until they squeaked like the ropes binding the raft's logs. The first
hand would now paddle in a water tank, giving a close-up sound picture of smaller waves lapping the raft. A quick twist of the control knob on another turntable and an airplane was flying overhead (would it see them and radio for help?). A vigorous shake of a large balloon full of birdshot produced a remarkably realistic effect of crashing thunder, which might be instantly followed by the sound of a man falling overboard—the splash made by the suction of a toilet plunger in the water tank.
The gyrations of a sound man coordinating such multiple effects at the peak of his efficiency and style was something to behold. It was, ladies and gentlemen, pure art.
It took me some time to develop a dexterity with even the easiest effects, like opening and closing doors. They were either too loud or too soft, maybe because, during my first weeks in “Siberia,” I was still burning with resentment. It was intensely embarrassing for me to have to show my face as a sound man in the studio with my ex-fellow actors. Scar tissue hadn’t yet formed over my humiliation. But I decided that if I wanted to hang on to even this job, I had damn well better stop being so churlish. So I drew on my acting talent to play the part of a sound man at peace with himself.
Actually, I became quite intrigued with the technology of sound effects, and with the imagination and infinite resourcefulness of the men who made them. At that time, increasing numbers of effects were being recorded for sound libraries, but the limitless variety of scripts constantly brought new challenges. And if there be a Valhalla where the souls of departed sound men gather to regale each
other with their heroic earthly accomplishments, surely they will tell and retell of the time when a script of *Lights Out* (a late-night horror show originating in Chicago) called for the sound of a man being turned inside out. Due to insufficient demand, no such sound had ever been recorded. Thus it had to be created. After much experimentation, the masterpiece was achieved. It was a two-man job. One, very slowly, quarter-inch by quarter-inch, peeled a tight-fitting rubber glove from his hand, close to the microphone, while the other man slowly crunched a strawberry box for the sound of breaking bones.
The sound-effects department at WLW was headed by a true master of the art, Don Wingate. His virtuosity was clearly apparent in the way he handled emergencies. I remember the time, for instance, when, on his way to rehearsal carrying a stack of recordings of rifle shots, marching men, and the rat-a-tat-tat of machine-gun fire, the wheel of his motorcycle hit a rock and Don crashed. He wasn’t injured, but the recordings were smashed beyond redemption. What to do? A lesser man would have committed suicide. These effects were vital to the show, which was slated to go on the air within a few hours. That was just about the time Wingate needed to round up an entire regiment of his buddies in the National Guard. They mobilized at the studio, replete with heavy boots and rifles, and after a brief rehearsal went on the air, marching about on cue, and since they had no blanks, shooting real bullets into the studio walls. They did little or no real damage because the padded, sound-absorbing walls were already porous. Now they were slightly more porous. Wingate hadn’t been able to scrounge a machine gun from the National Guard, but that didn’t daunt him. He got his rat-atat-tat effect by grabbing a short length of pipe and running it sharply across the studio radiator. For that evening alone, in my opinion, Don Wingate deserves an honored place in the Sound Men’s Hall of Fame.
My first solo sound assignment was helping Red Barber, the sports announcer, perpetrate an innocuous fraud on the fans. One afternoon I was ordered to report to a small studio with a turntable and two effects—a recording of a crowd cheering and a bat smacking a baseball. When I arrived, Barber was sitting in front of a ticker-tape machine. It was ticking away, but no printouts were happening. It seemed to be marking time. Barber explained that the Cincinnati Reds’ baseball game was about to start and he would be broadcasting a play-by-play description. Until I got the hang of it I should just watch him, and he would signal me when to bring in the effects.
I tested the crowd cheers and batted-ball effect, so that the control-room engineer could set his levels, then waited for the game to begin. The bat-clouting-a-ball effect was achieved without a ball. Only a bat and a leather-covered judge’s gavel were used. No, I didn’t strike the gavel with the bat. Holding the bat lightly by the neck, I smote it smartly with the gavel. The sound required was a violent contact of leather and wood, so it didn’t matter which did what to which. This was the more practical way.
Waiting for the game to start, I tried to fathom why these effects would be needed in reporting a game over a news ticker in a tiny radio studio. Only when we went on the air did I understand that I was a co-conspirator in a plot to make listeners believe they were hearing a game brought to them directly from the stadium by an eyewitness reporter. As the ticker started spewing tape, Barber began
transposing cryptic facts of plays that had already happened into colorful descriptions of these plays as they were happening. He did it with such conviction he almost had me believing I was at the ball park. He would embellish the factual information from the tape with vivid accounts of a player’s behavior—gestures and actions that were sheer invention. For instance, the tape might read: THE COUNT WAS THREE AND TWO. THOMAS HIT A SINGLE TO CENTER. Barber would turn that into: “Three and two on Thomas now. He seems a little nervous, walks away from the plate, rubs his hands in the dirt . . . hefts his bat . . . coming back now . . . hunches over the plate . . . the pitcher wipes the sweat from his face with his sleeve . . . spits . . . winds up and here’s the pitch!” Then he’d cue me to thwack my baseball bat with the gavel and turn up the crowd cheers. His enthusiasm and excitement would rise above the noise. “It’s a good one! It’s a good one!” he would shout. “A straight line drive to center field! There’s the throw over to first . . . and the man is safe!” If it were a double or a triple, he’d yell even louder, signaling me for more decibels from the crowd. After a few innings I caught on, and naturally put the thwacks and cheers in the right places without being told. On a home run, I’d goose up the crowd as loud as I could and Red would give it full throttle, screaming his description of the ball soaring over the left-field fence many moments after it had already been there. A great sleight-of-mouth artist, Red Barber. But I trust Saint Peter won’t hold him (and me) accountable at the gate of the Great Ball Park in the Sky.
After a few months in sound effects, I was surprised one day to be told to report for a dramatic audition. It seems
they needed an Italian accent and none of the staff actors, at least none free at that time, could do it. I won the audition and played the role.
Several weeks later something similar happened. A director needed an eccentric voice, which he couldn’t get from the available actors. Someone told him I did trick voices. He auditioned me and I did the show.
Shortly after that came a bigger surprise. I got a call from Thomas Ashwell, asking if I would have a drink with him that evening. I couldn’t imagine what was up. Since he had fired me, our relationship had been quite formal, and, although I felt no real enmity toward him, we were never drawn to after-work socializing. My initial surprise became even greater when we met at a nearby bar; Ashwell told me he had a date later that evening, adding that his date had a girl friend. Would I care to come along? He assured me he would pay the tab.
I had a mixed reaction. Why me? Didn’t he have any closer friends? I had an intuitive feeling I shouldn’t go. I sensed something sinister. But, he was my boss; my livelihood depended on his good will; I also had a special curiosity about this man who had confided to me his curious plan for getting ahead. In a way I welcomed the opportunity to know him better. And, there was always the chance a blind date might turn out better than I dreaded. I agreed.
The girls were pretty but young—fifteen or sixteen—dangerously young. Ashwell had met them that afternoon on a streetcar, he said. They were working-class girls—spirited little sparrow types. We met them at the appointed place, a fairly sleazy no-cover night club on the wrong side of town, where they served good beer and bad strip-tease dancers. For several hours we watched and
drank and made small talk. The girls giggled a lot, perhaps because their conversation was so limited, and I was sufficiently inhibited by their age to behave myself. Ashwell, too, was a model of rectitude. Apparently my intuition of evil had been all wrong. Not once did I see him even hold his girl’s hand. He seemed perfectly content to enjoy the show and the girls’ company. Along about midnight they said they had to get up early for work and thanked us for a good time. Ashwell hailed a cab, took their phone numbers, pressed a few dollars in their hands for fare, and we said good night. It was probably the most uneventful date I have ever had.
Ashwell suggested that we walk home. As we sauntered through a wooded park area back to “our” side of town, he opened up a bit. He thanked me for coming along. His wife and family were still out on the West Coast, and he said he was very lonely in Cincinnati. He even confided that his real name wasn’t Ashwell. He used it, he said, to avoid being tracked down by some creditors he had left behind in San Francisco. Nothing serious, he added. He intended to repay them, but it would be an embarrassment if they located him here. I assured him I would tell no one.
As we were about to part company he suddenly said: “I want you back on the acting staff.” Zing! The scab came off the wound. “Why?” I asked, in the tone of why-the-hell-did-you-fire-me-in-the-first-place?
He fumbled for an answer, said he was aware that I had been requested by directors, that my work had changed, and I would be more valuable as an actor. “How could my work have changed?” I demanded, “when I had previously done almost no work at all?” He didn’t reply. I
asked if my original fifty-dollar-a-week salary would be restored. He said no. "Okay, I quit!" came out without my thinking. "Okay, you get your salary back," he said just as quickly. He smiled. We shook hands and said good night.
The laws of compensation work in strange ways. The wrong of my demotion was redressed on the scales of justice. There had to be some connection between the way I was fired and the mysterious force that nudged the brain of the bookkeeper to correct, erroneously, my salary, not back to its original fifty dollars a week, but up to sixty-five dollars. I did not call the mistake to their attention. I figured that extra fifteen dollars compensated not only for my days of reduced salary, but for the mental anguish and humiliation I had suffered.
Without doubt, WLW was the best training ground in the country for radio actors. Its heavy programming made demands that were often challenges. Frequently miscast, I was nevertheless kept busy in a large variety of roles I never would have had the chance to play anywhere else. Occasionally they even had me read the news, which I invested with great feeling, emotionally involving myself with all the day's tragic events, until one day I was instructed to save my passion for my acting, and reminded that news reports are supposed to be dispassionate and objective.
After a year at the station I felt I had learned as much as I could there, and built up a big enough bag of experience to sling it over my shoulder and return to New York. Ashwell offered to renew my contract, but I felt my time was up. A number of directors I had worked for at WLW had
already quit and were now directing shows in New York. I figured they would make good initial contacts.
(Organ music in)
And thus, at the age of twenty-six, young Joe Julian left WLW, grateful for all he had learned, and with his heart full of compassion for the listening population of Cincinnati, which had to suffer what must have been the most exploitive of all station breaks anywhere in the world. Every fifteen minutes all day long, an announcer would say, "This is WLW, the Nation's Station, Crosley Radios and Shelvador Refrigerators, Cincinnati."
It was a tribute to the tolerance of listeners that the station was never firebombed.
3. Return to New York
New York did not exactly welcome me with open arms. My contacts from Cincinnati were delighted to see me and would keep me in mind. The competition from other actors trying to break into the big time was terrific, but I assiduously made the rounds every day, which meant hounding the casting departments of the networks, advertising agencies, and production houses that produced radio programs.
Auditions were frequently held for new roles, but the casting departments mainly called the "charmed-circle" actors to compete with one another. There were leftover parts, however, and as more and more dramatic shows went on the air, unknowns and near-unknowns did get their chance. We somehow had to wangle an audition or an interview with the casting people. This was done mostly by sheer, obnoxious persistence—bombarding them with letters, visits, and phone calls. Others used the ambush technique, grabbing directors (sometimes literally) as they came out of the studios when their shows
went off the air. The third-floor lounge at NBC in Rockefeller Center was a favorite ambush point. One actor might suddenly step from behind a pillar. "Oh, hello, Mr. Vincent," he'd say, feigning surprise at seeing the director, but thus hoping to register in his consciousness. Others were more blunt. "Anything for me in your next show, Mr. Brown?" "It's been a long time since I worked for you, Mr. Andrews." "You told me to keep in touch with you, Mr. Ricca." Smart directors sneaked out the back way.
I, too, lost no opportunity, exploited every contact that might lead to a job or an audition. And, as the money I had saved ran low, I became as obnoxiously persistent as the best (or worst) of them.
Finally, after about six months, one director who had known me at WLW, and whom I had badgered unmercifully, called me for a running part on *The Life of Mary Sothern*, a serial that had just moved from Cincinnati to New York, and simultaneously I was called for a one-time part on the popular *Myrt and Marge* serial for the very day I was to begin. The air times of these shows were fifteen minutes apart—but rehearsal calls overlapped. It never occurred to me to turn down the second job. I had struggled too hard for a breakthrough. The gods were rewarding me for my perseverance; they would be displeased if I refused any part of their sudden bounty. I decided to do what busy actors frequently did when they had a time conflict. They'd hire an actor to stand in for them at a rehearsal, while they ran to another studio for a performance of a show that had been previously rehearsed, then back again to do the first show. If the directors were amenable, it worked out fine for everyone, including the stand-ins, who not only got five or ten dollars but an opportunity to demonstrate their talent to directors who might not know their work.
My stand-in arrangement was approved. But then I suddenly realized how far apart the studios were. *Myrt and Marge* was on the twenty-first floor of the CBS building, at Madison Avenue and Fifty-second Street, and went on the air at 2 P.M. *The Life of Mary Sothern* was on the seventh floor at Broadway and Forty-sixth Street and went on the air at 2:15. I was only in the first part of the first show and the middle section of the second—about nine and a half minutes to get from one place to the other. Could I make it? I tried it out. Even by running part of the way, I arrived exhausted, over three minutes late, and in no condition to do a broadcast.
What to do? I had already accepted both jobs. An ambulance! I plucked a number from the Yellow Pages and asked how much. The man said twelve dollars. When he learned I was not an invalid he said it would be fifteen. Why the difference? "For the risk," he said. "It's against the law to carry a non-invalid."
I arranged to have him waiting at CBS. I tipped the elevator operators in both buildings to have cars waiting for me. I finished my part on *Myrt and Marge*, slipped out of the studio and rushed to the waiting elevator—which wasn't waiting. The operator had forgotten. I almost broke my thumb pressing the "down" button. When the elevator finally came, over two precious minutes had been lost.
The ambulance was out front. To casual onlookers, it must have seemed strange to see a man racing to an ambulance rather than being carried to it. I told the driver to get going.
"Lay down," he said. "Ya gotta lay down." I stretched
out on the white slab. "Listen," he said, "crosstown traffic is pretty bad. I could get stuck even with my siren. I think we're better off going up Madison, across Fifty-seventh and down Seventh Avenue. It's longer, but the streets are wider and we'll make better time. How about it?"
"Okay, okay, just get moving!" I said.
He started off, the siren winding up to a howl, then a scream. I couldn't resist half-sitting up to watch the cars in front of us jam on their brakes or pull to one side. For a brief moment I forgot my urgency as I absorbed some of the siren's power. It was all for me! It activated some residue of childhood megalomania.
"Lay down!" the driver yelled. "Ya wanna get me arrested?"
My panic returned. Every few seconds I'd pick up my head to check our progress. "Faster, faster!" I kept urging. "Stay down!" he kept answering. We swung around into Fifty-seventh Street at 2:13. The traffic was lighter there and at 2:14 we turned down Seventh Avenue. At which point the siren broke.
"Look," the driver said, "I can stop and fix it, but it will take a few minutes. Or I can take a chance on going through without it. What should I do?"
"Take a chance!" I shouted. We still had four minutes to make it. The traffic was heavier now, but he pushed ahead, going through red lights. There was a near miss at every crossing.
We finally pulled up in front of Loew's State Theater building, at Broadway and Forty-sixth Street—where the WHN Studios were located—with only two minutes to spare. Again, it must have perplexed the crowd to see a
man leap from an ambulance bed and run like a bat out of hell into the lobby, where this time the elevator was waiting. It took me express to the seventh floor. I ran down the hall and dashed through the studio door. In unison, the director and the entire cast let out a huge, silent groan of relief. They were on the air. Someone shoved a script into my hand. I took one gulp of breath—and spoke.
I received twenty-three dollars for the *Myrt and Marge* job. The ambulance was fifteen. Five for the stand-in. Add a buck a piece for the elevator operators. One dollar profit. Add the wear and tear, and it came out a loss. But it really was a net gain; it taught me never to try anything like that again.
Gradually I began getting more auditions—and winning a few now and then. I picked up isolated jobs on shows like *Flash Gordon; Inner Sanctum; Joyce Jordan, Girl Interne;* and *Renfrew of the Mounted.*
Waiting in the studio for a *Renfrew* rehearsal to start, I got into a conversation with a tall, distinguished-looking gentleman named Brad Barker. In the middle of an animated discussion of the philosophical implications of Kant and Hegel, he suddenly excused himself, walked over to a large cardboard cylinder mounted on a metal frame, put his mouth to one end, and emitted the blood-curdling howl of a timber wolf, which was the opening signature of *Renfrew of the Mounted,* a weekly series of half-hour stories of Canada’s legendary Royal Canadian Mounted Police—sagas of manhunts and battles between the good guys and bad guys in the Canadian wilderness.
Barker (what’s in a name?) was one of a small group of specialists who made a good living doing animal sounds,
baby noises, and screams—which were always in demand.
The animal imitators could come up with just about anything asked of them, from the chirp of a pregnant canary (any age) to the roar of a distempered rhinoceros.
Donald Bain, one of the best, would be meowing and barking and spitting, as both characters of a cat and dog fight. You risked getting drenched if you stood too close. Some actors once played a dirty trick on him. They accompanied him to the Automat, where he regularly had lunch, then one telephoned from the outside and had him paged. Pretending to be the director of a radio show, he told Bain that he needed someone in a hurry who could do a good cat and dog fight, and that he had been recommended. Would he be willing to do a short audition over the phone? Whereupon Bain furiously snarled and meowed and spat and barked into the receiver, while everyone in the restaurant roared at the antics of this seemingly demented little man.
The baby criers were usually women, who carried a small pillow around with them, into which they gurgled, whined and bawled. Sometimes they would also lisp the words of a young child.
The screamers? You might think anyone can scream? Not so. 'Tis an art. There are all kinds of screams: some that are short and eerie, others that are long and shrill. And screams you might hear in a Gothic tale, of the victim before the kill. Some screamers were better than others, but they all saved the throats of the actors for whom they doubled, enabling them to continue the performance without hoarseness.
The most powerful casting director at that time was Frances von Bernhardi, who worked for Frank and Anne
Hummert, an incredibly successful husband-and-wife team that dominated the field of radio drama. Former journalists, they pioneered the format of the daily series and suffused them with the same low common denominator—sentimentality—that characterized the publications of their former employer, William Randolph Hearst. And, like Hearst, they grimly dominated their empire. When they’d suddenly appear to watch a dress rehearsal of a show, the atmosphere in the studio immediately chilled. All chattering ceased. Actors would twist their faces into rubbery grimaces while silently moving their lips, to demonstrate how diligently they were studying their roles. There was something darkly foreboding about the Hummerts. Their stiff presence always evoked a sense of insecurity. And with good reason. They had a reputation for firing actors who incurred their slightest displeasure. And authors. When Mrs. Hummert once told a writer that she wanted “God” on every page of a script, and his answer was “Who will we get to play Him?” he was fired on the spot. And when you were fired from one of their shows it was a catastrophe. It meant being banned from all their nine or ten others that might be on the air at any given time.
I once barely skirted such a fate. It was a wintry morning, I had overslept and arrived for a nine o’clock dress rehearsal not a few—but twenty—minutes late. This was a day of double jeopardy, because, in addition to the Hummerts being present, Martha Atwell was the show’s director. Miss Atwell was a tight-lipped spinster who was an absolute fanatic on punctuality.
As I entered the studio the entire cast and orchestra were in position, waiting. They glanced at me, then averted their eyes, not wanting to witness the bloodletting.
The atmosphere was thick with tension. I looked up at the control room, where the engineer and three stony faces scowled down at me as they awaited my explanation. I gulped, took a folded piece of paper from my pocket, and without a word went into the control room and handed it to Miss Atwell. Then I returned to the studio, where I looked up to watch her face. When she had finished reading the note, she shot me a look, then handed it to the Hummerts, who glanced at it—and burst out laughing. Miss Atwell joined in and the danger was over. The note I had scribbled on my way to the studio read:
Dear Miss Atwell,
Please excuse Mister Julian for being late. On accounta the snow storm I had a hard time gettin’ him a cab.
Yours very truly,
The Doorman at his Building.
I was not only glad to have escaped their wrath, but to learn that a sense of humor was still alive behind their dour exteriors.
These are a few of the five-days-a-week serial dramas Frank and Anne Hummert produced:
Amanda of Honeymoon Hill
Backstage Wife
David Harum
Evelyn Winters
Front Page Farrell
John’s Other Wife
Just Plain Bill
Lora Lawton
Lorenzo Jones
Mrs. Wiggs of the Cabbage Patch
Nona from Nowhere
Orphans of Divorce
Our Gal Sunday
Real Stories from Real Life
The Romance of Helen Trent
Second Husband
Skippy
Stella Dallas
The Stolen Husband
Young Widder Brown
In addition to these daytime "soaps," they had a number of prime-time evening shows such as Manhattan Merry-Go-Round; Mr. Chameleon; Mr. Keen, Tracer of Lost Persons; Hearthstone of the Death Squad.
The Hummerts themselves usually dreamed up a show's original concept, building it around a folksy or easily identifiable character. They employed a large stable of writers. One group worked exclusively at developing story lines and plots. When approved by the Hummerts, the scripts were passed along to the dialogue writers. There were many do's and don't's. For instance, all characters had to be constantly identified by name:
JOHN: Why, hello, Henry!
HENRY: Hello, John.
JOHN: Haven't seen you in a long time, Henry.
HENRY: Yes, that's true, John.
JOHN: How about joining me for a drink, Henry?
HENRY: Why, I'd like to, John.
Unnatural? Yes, but they felt it was essential to know who was talking to whom at all times. They must have thought their listeners were pretty stupid not to be able to tell from the dialogue itself.
Plot lines were often altered by a performer's real-life situation. Some contracts provided they be written out of the show for a few weeks in order to rehearse a Broadway play. The writers would then invent a reason for the character's disappearance. Perhaps he would be sent on a journey abroad, or to a rest home, or, perhaps, to jail. The same when an actor took sick. And, if he suddenly quit or was fired, there were always easy ways of killing him off—a heart attack, an auto accident, a murder. But this was generally done only with supporting characters who were expendable. If one of the leads left the show, he was usually replaced by another performer. Over the years, in long-running serials like *The Goldbergs; Jack Armstrong, the All-American Boy*; etc., many actors played the same part.
Long pauses could never be indicated in a script. "Dead air" was anathema, the theory being that during even a five-second silence, a hundred thousand listeners might be just tuning in. Hearing nothing, they'd turn to another station, losing all those customers for the sponsor's product.
To snag new listeners, and for those who may have missed a chapter, each episode of a serial had to be preceded by a short recapitulation of the plot:
**ANNOUNCER:** Yesterday, we left Alice in her living room, alone with John Hennesy, her sister Gwendolyn's husband. John had just confided that he had always been in love with Alice, and had made a terrible mistake in marrying Gwendolyn. Gwendolyn, who had left the house moments before, suddenly remembered she had forgotten some books she wanted to return to the library. As she reentered the living room, John had just put his arm around Alice's waist. Gwendolyn froze as she heard John say:
**JOHN:** Darling, I love you more than anything in this world!
This would be followed by a music sting (Sharp chord), the organ music would fade, and the announcer would come in with the first commercial. Generally there was an opening, middle, and closing commercial—a terrible price that listeners didn’t seem to mind paying for their addiction to “soaps.”
Frank and Anne Hummert closely supervised every show, at all stages. Their entire operation was highly systematized, and scripts were turned out with the efficiency of an assembly line.
The Hummerts’ casting director, Frances von Bernhardi, a rather severe career lady, seemed cut from the same cloth as her employers. Perhaps that’s a little unfair. I did sense an underlying warmth. She may have acquired some of the characteristics of this Victorian couple after years of close association. In any case, with all those parts to fill in all those shows, she wielded a lot of power. Actors were careful not to offend her. She was totally devoted to her work and differed from most casting directors in that she not only arranged auditions but kept close tab on the general deportment of performers. Too much clowning or lateness to rehearsal could lead to reprimands. An item in the paper linking an actor to some scandal might well result in the actor being replaced. All talent and other employees, as well as the material on their shows, had to adhere to the Hummerts’ rigid moral code, and woe unto the transgressors. But despite all the above, the Hummerts were loyal to their actors. Whenever possible they kept the same ones working on all their shows.
I managed to get a toe in the door of the Hummert empire by winning small roles in a couple of their programs: Chaplain Jim, which dealt with the spiritual problems of
GIs in Army camps, and *Front Page Farrell*, the dashing exploits of a super reporter (played by Richard Widmark).
By the late thirties network programming had pretty well standardized its form. Its main categories—drama, comedy, and music—were served up in quarter-, half-, and one-hour slices of time.
Most of the dramas were, of course, the daytime “soaps”—so called because they were listened to mostly by women while doing their washing and cleaning, who were thus presumably vulnerable to sales pitches by the soap company sponsors. The essential ingredients of these shows were nicely contained in James Thurber’s definition of a soap opera:
A kind of sandwich, whose recipe is simple enough, although it took years to compound. Between thick slices of advertising spread twelve minutes of dialogue, add predicament, villainy, and female suffering in equal measure, throw in a dash of nobility, sprinkle with tears, season with organ music, cover with a rich announcer sauce, and serve five times a week.
In the evenings dramas were always on the menu, but the emphasis was on comedy and music.
Most of the important comedians sprang full-blown from vaudeville—especially those whose speciality was essentially non-visual, such as the joke tellers: Lou Holtz, with his ethnic stories of “Sam Lapidus”; George Jessel and his “Hello, Mamma?” phone routine; Jack Pearl’s Baron Munchhausen. They and other vaudevillians such as Eddie Cantor, Jack Benny, Bob Hope, Bob Burns, Burns and Allen, Jimmy Durante, Abbott and Costello, and Ed Wynn, often carried their visual gimmicks with them into the radio studio via publicity photographs. The jokes were
funnier if listeners retained the image of, say, Joe Penner’s baggy pants, or of Eddie Cantor rolling his “banjo eyes”, or of Ed Wynn’s mugging and goofy hats.
The weekly audiences for these comedians jumped abruptly from a few thousand in vaudeville to multi-millions in radio. Their catch phrases, such as Jack Pearl’s “Vas you dere, Sharlie?” Penner’s “Wanna buy a duck?” and Jimmy Durante’s “Goodnight, Mrs. Calabash, wherever you are” were heard so often they became part of the culture.
But these comics paid a price for their new popularity. In vaudeville, a comedy routine lasted for years; in radio, it was consumed in a night. The strain of building a new show every week took its toll, and there were many breakdowns and retirements and comebacks among the nation’s top funny men.
Laughter is lifeblood to a comedian, and many found it difficult telling jokes to a microphone that wouldn’t laugh. The first stage show ever broadcast featured Ed Wynn in *The Perfect Fool*, over station WJZ, February 19, 1922. He was appalled at the silence after he told his first, time-tested jokes. He asked the announcer to quickly round up anyone he could find around the studio. A short while later he regained his confidence as an audience of maintenance men, telephone operators, electricians, and cleaning women giggled and howled at his silly sallies and facial expressions. Studio audiences became a must for comedy shows.
There was also a kind of humor indigenous to radio. Mock insults and feuds between two leading comedians would boost each other’s ratings, and sometimes could be kept running for months, such as the one between Jack
Benny and Fred Allen, in which Allen kept finding new ways to describe Benny’s stinginess. One evening a sketch had Benny being held up by a thief who snarled, “Money or your life!” The long, long period of dead air that followed became hilarious, and was topped by Benny finally saying petulantly, “I’m thinking it over.” This just couldn’t be as funny in any other medium. And there was Allen’s classic retort to an insult by Benny: “If I had my writers here you wouldn’t talk to me like that and get away with it!”
Speaking of comedy, probably the most unique comedy performance in radio history occurred in 1937 when, during a newspaper strike, the mayor of New York City, Fiorello H. La Guardia, took to the air to read funny papers to the children. The kids “didn’t wanna know from nothin’” about wages and working conditions—they missed their funnies! La Guardia, mayor of all the people, understood what that deprivation meant, and every evening, for as long as the strike lasted, he would act out all the parts in his high squeaky voice and slight lisp, gesticulating dramatically as he described the pictures and read the ballooned dialogue of the comic strips that regularly appeared in the New York papers. It was something to hear—and behold. Fiorello La Guardia, or “The Little Flower” as he was affectionately known, was a mayor who cared.
But music was also very much in—or on—the air during the thirties, catering to all appetites.
*The National Barn Dance* was a Saturday night fling for millions of farm folk and lovers of country music. Some of the popular big band leaders were Paul Whiteman, Fred
Waring and his Pennsylvanians, and Ben Bernie (The Old Maestro—"Yowsah, yowsah, yowsah . . ."), and some of the top variety shows were Your Hit Parade, Show Boat, and Kraft Music Hall.
Outstanding female vocalists of the period were Dinah Shore, Jessica Dragonette, Ruth Etting and outsized Kate Smith (whose singing signature, "When the Moon Comes Over the Mountain," brought one of radio's sunniest personalities into our living rooms.
Among the popular male singers there was a handful of strong, lyric voices like those of James Melton, Morton Downey, and Arthur Tracy ("The Street Singer"). And then there were the crooners—Bing Crosby and Whispering Jack Smith, who probably started it all. Or was Rudy Vallee to blame?
Crooning can probably be best described as the opposite of Ethel Merman. It was a style of singing romantic ballads that tried for maximum effect with least expenditure of energy; the microphone became a prosthetic device giving artificial power to those without enough of their own. The invention of the microphone bred a large race of mike-dependent singers whose natural voices would never have reached the balcony of a vaudeville house in those days when a singer needed not only a pleasing tone but a healthy pair of lungs.
Even today in television, while the voices of singers are electronically boosted, the microphone itself is a barrier between the artist and his audience. We have the technology to send a man to the moon, but apparently science has not yet found a way to engineer a song without the silly spectacle of the singer half hiding his face as he holds a metal cone to his mouth and throws a slack wire
around, stepping over it like a cowboy doing a rope act, while he deludes himself and his listeners that the big sound he is making is all his own.
Those with deeper hungers were rewarded occasionally with arias from the thrilling voices of Lawrence Tibbett, Lily Pons, Rosa Ponselle, and other opera stars. On Saturday afternoons entire operas were broadcast live from the Metropolitan Opera House. And there were regular live concerts by the NBC Symphony—one of the finest in the land—from Studio 8-H in the RCA building.
Whenever I was rehearsing a show on the same floor, I would run out at every opportunity and sneak into 8-H to watch Arturo Toscanini rehearsing his concert. It was a show in itself. His men worshipped him, but the Maestro was very temperamental. He demanded perfection of his musicians, and when he didn’t get it he exploded. One day he had such a violent reaction to a note wrongly played that he threw a valuable gold watch onto the floor and smashed it. The next day, during a break, a messenger delivered a package to him from David Sarnoff, the president of RCA. He opened it and found two one-dollar Ingersoll watches—with a card reading: “For rehearsals only.”
4. The "Variety" Storm
Although I began winning more radio auditions, my heart was still in the theater. I continued to make the rounds of Broadway producers, took classes in improvisation and body movement, and wormed myself close enough to the famous Group Theater to land a small role in one of its last and most beautiful productions, William Saroyan's *My Heart's in the Highlands*. It ran for six months and rekindled my yearning to make the theater my way of life. Continuity of stage work was rare for any actor, but I redoubled my efforts and did come up with a part in another Broadway play, *Walk Into My Parlor*. It ran three weeks.
Most theater people sneered at radio actors. The very term became one of opprobrium. It was too easy just walking up to a mike and reading from a piece of paper. I myself was prone to the same prejudice, thinking of it as fractional acting, a nice way to make a living while waiting for the big break in the theater.
For the very busy actor it was more than a living. Money was to be made. Without sweat. Real money. The last
Klondike of the profession, B.C. (Before Commercials). Actors who had running parts in several daily "soaps" might make up to $1500 a week—more than many well-known stage and screen personalities made. These could work in only one production at a time, but a versatile radio performer could and often did play a half dozen parts in a single day. A lead on a daytime serial could be contracted for from $1200 to $2500 a week. In addition, many worked the nighttime dramas. So some radio actors were making $50,000, $75,000, even six-figure salaries in an era when the average yearly wage was around $3,000, and taxes were much lower than they are today.
As I became more and more one of the "in" group, I began to understand why it was an "in" group: radio acting was not as easy as it looked. Many excellent actors were incapable of developing the necessary technique. It was largely a technique of indicating emotions, or playing "results"—anathema to serious actors who cannot perform until they have assimilated the truths and depths of a role. There is no time for that in radio. A typical half-hour program had to be put on with only three or four hours of rehearsal. Performers had to produce quickly. The good ones developed a facility—a bag of tricks which enabled them to give effective performances. But it was all partial: partial emotion, partial characterization, partial truth. They leaned heavily on the listeners to complete their acting for them. And the bag of tricks was acquired at a cost. In my opinion, the busier actors became in radio, the more they degenerated as creative artists. It was typical that so many radio actors, after winning auditions for roles in stage plays by impressing with facile first readings, had to be fired during rehearsals because they were incapable of going
any further, adding new dimensions to their roles. In fact, they usually got worse under the pressure of having to deliver with their entire being.
I observed this creative decay not only in others but in myself, and it disturbed me. I pondered the question for some time, then shaped my thoughts into an article and mailed it to *Variety*, the weekly bible of show business. To my surprise it appeared in full the following week, January 15, 1941.
**AN ACTOR ANALYZES RADIO ACTING**
*Sees Broadcast Drama As A Director’s Medium*
*By Joseph Julian*
Radio dramas, which are poured out into the ether in unending profusion, have soaked up a large part of the unemployment slack among the Actors Equity Association members. They’ve created work which has enabled many actors to carry on in the face of a more or less permanent Broadway job famine, and provided many of them (especially bit and supporting players) with steady incomes and a security the theater has never offered. But aside from the financial and psychological values of a more constant employment, what has been the effect of radio on the actor as a creative artist?
Much has been written and said of the growth of radio, of its development as an art form, of the ever-increasing number of adult programs. It has made great strides. It is persistently enticing the best talents from the other entertainment fields—actors, directors, and authors. But while to directors and authors it is a fascinating new medium to explore, experiment with, and study, to actors it presents a direct challenge to their artistic integrity.
**NOT ACTOR’S MEDIUM**
If a survey could be made of all actors working in radio who came from the theater or film lots, and if some kind of test were
possible to gauge their "then and now" abilities, it would undoubtedly show most of them to have been better actors then than now.
There are many reasons for this, but they all boil down to the fact that radio is essentially a director's, not an actor's, medium. An actor grows and develops best working where he is afforded the best opportunity for a full performance—in other words, on the stage, with motion pictures second and radio dragging up the rear.
The stage, with its physical production limitations, necessarily relies most on performers. Films call for little hunks of acting at a time, with the cutting room polishing off the performance. And the motion picture camera with its broader scope largely usurps the function of the actor by subjective treatment of a story. For instance, it can give a value and significance to m'lady's dropped handkerchief by isolating it (the hanky) with a closeup. Or, when the furious waters of the river drag our hero's canoe closer and closer to the onrushing falls, it adds suspense by cutting in with a shot of the jagged rocks below. All of which amounts to the director talking to the audience instead of the actor.
**THE BRUTAL MIKE**
The radio microphone, from the creative actor's point of view, is even more brutal. It must achieve its effect entirely with sound. Sound is only one dimension of a performance, and an actor in a radio drama cannot possibly translate into sound all the active, silent nuances, bits of business, gesture, pauses, without becoming aware of what he is doing, thereby working consciously for an "effect" or a "result," which always spells bad acting.
Most of the better actors are conscious, I think, of a lack of inner satisfaction after doing a radio job. They miss that sense of fulfillment so vital and nourishing to any artist, and it usually shakes their confidence in themselves, undermining the talent they have. Others hold the general low level of writing, production and insufficient rehearsal time responsible. While
these are contributing factors, there are causes more basic. It's true that an actor can do more with a well-written script than a badly-written one. And it's true that in spite of the remarkable progress radio writing has made; in spite of the "Corwins" and the "Arch Obolers," corn still runs rampant on the airwaves. But we can look forward to better and better scripts. We can look forward to adequately rehearsed programs. Actors may even memorize their lines instead of reading them. Freed from the necessity of keeping eyes glued to a script, they'll better adjust to their fellow actors. Perhaps they will work their own sound effects to give them a better feel of situation and circumstance (opening and closing their own doors when supposedly entering a room, etc.). We can even look forward to technical improvements—mobile microphones that will follow the actor (as in film making), allowing him freedom to move and behave more naturally than the present stationary mikes, which confine his movements to a narrow "live" beam, and inhibit all his naturally felt gestures. In a love scene, for example, if he could cross to his fair one, take her hand gently in his own, look longingly and deeply into her eyes before saying "Darling I'd go to hell and back for you," it would certainly come over the air with a greater ring of truth than if he would say, as he now must, to a cold, unresponsive microphone, with script in hand, one eye running down the page to find the next line, the other glancing at the director for cues and to see if he should speak faster or slower (so the program shouldn't run a second under or over time), and generating all of his inspiration from his own mental images of the girl and the situation. Even these images are at best blurred ones. Because the high degree of concentration necessary for an actor to keep a clear, strong image in his mind is not possible under such conditions.
ARTISTIC STAGNATION
However, even though all these improvements come about, radio acting would still induce artistic stagnation and disintegration in the creative performer because of limitations inherent in the medium itself. Take the "fade-out" and the "fade-in," for example. These are the stagehands of radio. They're the devices that shift the scenes. In the theater, during scene changes, the actor has several minutes at least to inwardly prepare himself for the next scene. In making a motion picture, he has hours—sometimes days. But in a radio drama he may be expected to "fade-out" from one set of circumstances and "fade-in" to another with different emotional adjustments to different people in an entirely different environment, all within two or three seconds. Even the most brilliant actor can't recondition his emotions in such a short space of time.
So what happens? He does the next best thing. Even though he doesn't feel the reality of the lines, he continues. He "indicates" the truth of a scene instead of experiencing and playing it. He can't wait until it comes to him. Dead air is anathema—there must always be sound or new listeners will tune in another station. Constant repetition of this "indicating" or "tricking it" is habit-forming, and it becomes increasingly difficult for the actor to approach his roles any other way. Also, if he works on many different programs, or does a lot of doubling of parts where he has to use different voice registers to get the proper balance with other performers, he develops a bag of voice tricks, which he dishes out to suit script requirements like Western Union with its ready-made telegrams for Mothers' Day.
This requires an efficiency, it's true. Successful radio actors have highly developed techniques. But their performances are, as a rule, only fractionally honest interpretations, by which is meant they have little reality for the performer himself. It's not his fault. Radio constantly demands of him a sacrifice of truth for effect. The listening audience's imagination meets him more than half way. It fills in all the details of a sketchy surface characterization. It requires from him only a partial truth. And any medium that doesn't stimulate him to greater truth, that doesn't encourage a greater creativeness in his work, must necessarily turn a creative actor from growth to retrogression.
My pleasure at seeing my full-page article in *Variety* was mitigated to some degree by a feeling that I was not really entitled to this forum, that I had not yet earned, through accomplishment or experience, the right to address the entire entertainment world.
During the next few days there was much buzzing about the piece among actors with whom I worked in the studios. Many liked it, or said they did; others had points of disagreement. I noted subtle changes in the way most of them related to me. There was an ambivalence—on one hand, a respect for the authority suddenly conferred upon me by *Variety*, and on the other hand an underlying hostility toward the maverick, the befouler of his own nest who had demeaned their profession.
But nothing prepared me for what happened the following Wednesday. I bought a copy of *Variety* at a newsstand, thinking, perhaps, to see a short letter to the editor commenting on my views. (*Organ music in low.*). I leafed casually through the general news, flipped to the motion-picture pages, glancing at different items, until I came to the radio section (*Organ music sting.*). Three full pages of responses, with a bold, boxed, banner headline: RADIO ACTING VERSUS ALL ACTING—SOME REACTIONS TO JOSEPH JULIAN’S PREVIOUS ARTICLE. Agape, I saw column after column of answers from my peers and some of the biggest names in the business. I don’t believe *Variety* had ever before or has since devoted so much space to one man’s opinion. My name in almost every caption: “THINKS JULIAN SHOULD BE PSYCHOANALYZED”—“AGREES WITH JULIAN, BUT—” “THINKS JULIAN HAS STIMULATED HEALTHY DISCUSSION”—“JULIAN’S ATTITUDE SEEN AS DEFEATISM”—“ACTRESS EXPRESSES SURPRISE AT JULIAN
HOLDING SUCH VIEWS”—“JOE JULIAN’S DARING A SURPRISE”—and many more.
I later learned that this spontaneous outpouring from professionals across the land was aided and abetted by Variety’s shrewd editor, Robert Landry. He had smelled a hot controversy and shot off telegrams to notables, not only of radio but of the theater and film world as well, inviting their comments. Many responded:
I THRIVE ON RADIO’S BAD CONDITIONS
by Bing Crosby
Hollywood, Jan 21
We have been running the Kraft Music Hall for five years under the radio principles outlined by Mr. Julian, to wit, quick readings, short rehearsals and sketchy suggestions of characters, and I’m awfully sorry to say, Julian, old man, that we haven’t lost an actor yet through stagnation. . . .
WHAT PRICE THEAT-AHH
by John Daly
Chicago, Jan 21
Well, wax my mustache and crack my whip, if I haven’t just read an article from the very old school. I had, until this very moment, been under the obviously wrong impression that those among our profession who “LIVE THE THEAT-AHH” were becoming extinct like the fur-collared coats for actors. As one former spear-carrier to another, I apologize, Mr. Julian, for my opinions. Surely I have been a traitor to the THEAT-AHH, to assume that such a vulgar thing as making money could be as important as one’s art. And to think that I have actually tried at times, mind you, to get additional work, when had I but read your article, Mr. Julian, I would surely have realized that I could not really “live” more than one character at a time.
Funny, the ideas I did have. I had imagined radio acting as a pretty important and more than that, a damned lucrative field
of work. I have tried in various assignments to interpret the characters honestly and without too much overacting. I had a vague idea that, inasmuch as the audience couldn't see the actors, that possibly the voice might be realized. I confess that I hadn't given a thought to how my artistic ability was being cramped. I guess I just thought myself lucky to have the assignment.
And that horrid thing, the microphone. What a perfectly ducky idea to have a microphone to follow you around. Just imagine being able to snort and bellow from a squatting position, or better still to make love with benefit of davenport. Certainly it would be much more realistic. I shudder to think of how I once played an old prospector, without first finding myself a cave to live in, and then having the mike installed there.
When I think how I've let them "Stagnate my Art" for the sake of a few bucks, I get mad. Who do they think they are? Who knows but what the soul of a Booth or Barrymore lies beneath this rugged chest of mine. And to think I have been sacrificing this great talent to satisfy a lot of vultures who thought they could buy me with filthy money.
I apologize, Mr. Julian, I apologize.
GET THE SCRIPT AHEAD OF TIME AND STUDY
by Irene Rich
Hollywood, Jan 31, 1941
When Mr. Julian said radio drama may lead the actor to artistic stagnation he obviously spoke without knowledge of his subject or the experience to back up what he said. The actor who faces the danger of stagnation in radio is only that actor who lacks the imagination to create his own characters. Radio should not stifle the good actor. It should give him an even greater stimulus to development of his creative faculties. Because in radio we actors must not only create the characters but we must stick to that characterization and maintain it throughout the entire play with no other instrument than the voice.
And that, believe me, is a real test of an actor's imagination and creative powers.
I also take issue with Mr. Julian on what he terms quick reading and short rehearsals. The actor who hasn't the foresight to obtain his script in advance, study it as he would a play script or a scenario, and see himself in relation to the other characters, is not in danger of stagnation. He is already stagnated.
JOE JULIAN'S DARING A SURPRISE
(One established Broadway actress expressed almost complete agreement with Joseph Julian's views. Explaining that she is anxious to get firmly into radio, she asked that her name be withheld.—Ed.)
Of course he's right that all an actor can do in radio is to give a surface impression of a part, rather than the full-dimensional characterization possible on the stage. However, I didn't realize the successful radio actors felt that way about it. I just thought I wasn't very good at radio, that my inability to give an immediate performance was limiting my viewpoint. It's comforting to know that one of the best radio actors is dissatisfied with the medium.
DISAGREES WITH JULIAN BUT THINKS HE HAS STIMULATED HEALTHY DISCUSSION
A leading radio actor and director was inclined to pooh-pooh Julian's views in Variety, but preferred not to have his name used. In general his attitude was "A radio actor is just selling soap. All that stuff about artistic integrity is the bunk.
"Julian sounds as if he's trying to apply the Stanislavsky method to radio, which would be absurd. If he really believes seriously what he says in that article he must be guilty of outrageous overacting on the air. And I don't believe that's so. I know Joe Julian. He's a good actor."
JULIAN TELLS STORY THAT IS OLD STUFF
By H. Lester Tremayne
Mr. Julian’s article is not new, unusual nor different. It sums up rather disconnectedly the constant griping which I have heard every day of my life in radio for the last ten years. For every fault relative to radio acting there is a comparable fault in stage or picture work. There is also an opposite or constructive angle to each of Mr. Julian’s list of radio faults.
Radio is a new medium which has its own peculiarities and technique. Any actor who goes into radio seriously should expect to make the adjustments necessary to a business which in its very mechanics is completely different from any acting form heretofore. If he is not able to make these adjustments, if he feels his artistic integrity will be jeopardized, he should certainly take his integrity, which no doubt is of the hothouse variety, where conditions will promote its growth.
JULIAN’S ATTITUDE SEEN AS DEFEATISM
By Katharine Seymour
As a writer who listens to radio drama professionally and critically, I can say in all honesty that I am constantly amazed at the excellent performances of radio actors—performances which rarely betray the brief rehearsal periods of which Mr. Julian complains. Perhaps he is overly self critical and modest. After all, capable artists of integrity in any field are rarely satisfied with their own performances.
As a general criticism, it seems to me that the tone of Mr. Julian’s article is strictly defeatist, and it is this very attitude which has helped retard the growth of radio as an entertainment form. Writers, like actors, are irked at times by the limitations of the medium. We, too, would like to indicate significant bits of business instead of depending entirely upon dialogue or sound effects. But most of us feel that it’s futile to brood over radio’s limitations. Instead, we face the challenge of the medium and find satisfaction when we succeed in creating a mood through the only props at our disposal, sound effects and music.
RADIO IS BRUTAL BUT A CHALLENGE
by Janet Logan
Chicago, Jan 21, 1941
So radio ruins actors—well, perhaps it does—some of them. But radio gives opportunities and offers challenges which no sincere actor can question. The very limitations of radio provide a test. Without makeup—without scenery—without the inspiration of a visible audience, the player must develop a living, breathing human being.
Dials can be twisted so easily that the drama wherein the acting consists of a few "mike tricks" would soon be in Limbo. The public's not stupid nor too easily fooled.
SYMPATHIZES, BUT PICTURE TOO BLACK
By Hugh Studebaker
Chicago, Jan 21, 1941
While I'm inclined to sympathize with Julian's viewpoint, I can not agree that the picture is quite so black. This is due, perhaps to the mellowness—or resignation, induced by fourteen years spent in our puzzling and catch-as-catch-can art form. We've come a long way, developing our little bag of tricks, which is so necessary to bring to life several characters daily. And now we have come to the days of the Corwins and the Obolers. And we find, strangely, that out of the ruck something good has been emerging which I sincerely believe will ultimately bring satisfaction to the groping heart of the actor. Considering the extent to which experimentation in the baby field of radio acting has been limited by the necessary priority of the commercial, I can't help thinking that a great deal has been achieved. Whether we shall ever capture the high moments of elation for which we love the theater, so long as it
remains necessary to watch the director, listen for sound, and hope to God our pages aren’t mixed, I don’t profess to know. At least it’s a challenge!
A RADIO PERFORMANCE REQUIRES INTELLECTUAL TOTALITARIANISM
By Albert N. Williams
Casting Director, NBC, New York
Yes, Joe Julian is right when he states that radio is the director’s medium rather than the actor’s. He is as right as a musician might be in proposing that symphonic is a conductor’s medium rather than an instrumentalist’s. To most radio actors, and the following remark holds true for radio writers, directors, in fact, most people connected with the industry, radio still appears to be merely a broadcast version of theater.
Radio is no more theater than theater is Greek Festive dance—they are successive derivatives of each other. While it can never be denied that the ideal training ground for an actor is the legitimate stage, the actor, once trained, must, like the novice pilot, resort to different maneuvers when on the air. . . .
Radio, in itself, is not an art. The sound of voice is not an art. The sound of music is not an art. The sound of a streetcar is not an art. Radio is only an electrical means of transmission of sound from a studio into the homes of the listeners. The art lies in the nearness to reality of the total sound, as mixed inside a control room. Most artistic effort is based on the assumption that all mental instruments can act simultaneously toward a perception of truth. Only one of these instruments is employed in listening to radio—the ear. Therefore, all adventures before the microphone must be submissive to the entire. Radio, more than any other of the arts, requires of its citizens an intellectual totalitarianism. Any coloration requires that that factor serve as a north star for the others. In the theater it is the simulation of living people. In films it is the God-sense of being able to oversee all. In radio, since sound can only be real in so far as it has meaning, the words themselves rather than the vibrancy of their delivery will be valid.
It is that nature of radio which must be understood, and which understanding will do away with much artistic unhappiness. When actors understand the microphone, they will no longer resent it, and it will not appear brutal to them. True, sound is one-dimensional, but good performances can also be one-dimensional.
Radio is the art form of intimacy. Into people's homes, not a theater, is the ultimate direction of a show. Would one increase credibility in a living room with gestures, stage waits, smiles, handkerchief gymnastics?
As for the emotional jerkiness resulting from radio's rapid scene changes, we sometime expect our musicians to dive from a ponderous adagio into a delicate scherzo in the course of one beat. . . . Radio will always demand a sacrifice of truth for effect. Effect is the basis of all emotional and intellectual impact, and only by proving that it exerts those impacts does radio justify itself as a cultural factor of modern life.
It all boils down to the fact that while radio is a challenge for actors, it actually demands very little acting in the Broadway sense of the word. It demands careful and studied interpretation of the words of the script in order that the meaning of the words may be etched on the listener's mind. . . . The shut-in, the invalid, the isolated person wants human communication rather than the thrilling dissonance of pent-up artistic ecstasies. For actors to resent radio is unnecessary, and creates a temperamental disaffection which has unfortunate results. They will not resent it when they understand more clearly the nature of their medium.
DIRECTOR COMMENTS
By George Zachary
(Director of the Andre Kostelanetz program and the Campbell Playhouse)
It's perfectly true the radio actor lacks the opportunity for development he would have in the theater, but his whole performance has a different purpose and perspective. . . . I know of no radio actors whose performances improve perceptibly with rehearsal. If a regular radio actor doesn't get a characterization right with the first reading, there's no use trying to change him, I know I'm in a hole, but I generally expect a bad first reading from a stage actor, and it doesn't worry me. I know he has to grow in the part and it will be much better in performance. But radio actors are vastly superior to stage actors in radio-acting technique. Radio has developed the most versatile group of actors ever known to the entertainment field! . . . Julian speaks of the impossibility of an actor making mood transitions in a few seconds. Joe himself makes those transitions, but both Joe and the listener need help. That's where music can be important. A few notes of the proper atmospheric music will bring both the actor and listener into a totally different mood in two or three seconds. In some ways that can give added emphasis to a scene. In general, I think Julian's opinions are thoughtful and sound.
NO NEED FOR ACTOR "FRUSTRATION"
By Erick Barnouw
Dear Joe Julian:
The artistic frustration of most radio actors I wouldn't want to deny, but I feel you're wrong to blame it on your medium.
You bewail the "cold unresponsive microphone." Does a novelist get peeved at his typewriter for not chuckling at his jokes? It just happens that novelists and radio actors don't have the privilege of witnessing the artistic experiences they provide their audiences. This is part of the nature of these and
many other arts, and simply offers an extra challenge to the imagination. In these fields the artist has to be more, not less, of an artist.
You feel frustrated because you can't do gestures and "bits of business." You feel this makes radio acting "incomplete." But one of the most gratifying of arts, cartooning, is exciting precisely because of its incompleteness. The less it tells and shows, the more it merely suggests, the better we like it. A window-dummy is more "complete," but hardly provides artist or audience with more gratification. Radio acting also works in suggestion, not demonstration, some actors prefer it for this.
You bemoan having to act by the clock. Every art has mechanical strictures, and the real artist not only accepts but often welcomes them. For centuries poets have kept busy at sonnets, with just fourteen lines and a torturing rhyme-scheme, when they could just as well write loose odes. Working within imposed limits is part of the gratification of any art. What's wrong with fourteen minutes?
You feel it's hard to keep your imagination clear in the presence of mikes, scripts, clocks and directors behind aquarium windows. Is a painter distracted by his easels and his bottles? You seem to miss real tables, chairs, doors and other literal paraphernalia. Does a poet have to sit in the woods to write about birds? It isn't just high-hat to compare radio acting with painting, poetry, novel-writing. These all bank heavily on the imagination of both artist and audience, and are challenging and gratifying for that reason.
Then why do radio actors feel frustrated? Because, as you say, writers give you chiefly drivel to act—which they do because producers buy chiefly drivel—which they do because audiences seem to cling to drivel—which they do because they've been conditioned, by film, magazines and radio, to drivel. That vicious circle, in spite of occasional exciting flurries of better writing, makes for progressive deterioration. In a time of precarious profits that's also true of shoes, and shirts and mayonnaise. That's what frustrates you, not your medium. Incidentally, I often hear your excellent acting.
RADIO TOUGH ON NEWCOMERS
San Francisco, Jan 21
Joseph Julian’s dictum, as expressed in last week’s Variety, that the nature of radio leads actors down the road to artistic stagnation, draws a divvy here. Some agree with the New Yorker’s contention while others concede the point that ether drama is largely a director’s medium. Representative comments follow:
Phil Stearns (seventeen years experience as actor, director, producer on radio, stage, screen): “Julian is about half right, although the medium hasn’t even been scratched as yet. I don’t agree with him on characterization—a good actor can take a good script and build a character that will be remembered. Orson Welles has proven that. Julian is right when he says radio actors tend to drift into artistic stagnation, but it is not the fault of radio acting. A microphone performer who takes his work seriously can make himself stand out on the air just as in the theater.”
Helen Morgan (stage, radio writing background): “Julian is partly right; not only in acting, but in writing and producing, radio is always under the gun, which accounts for a lot of the sloppy drama on the air. When it becomes financially possible to give players sufficient rehearsal time, radio acting will improve. But someday there must be more of a closed-door in radio acting. Today, anybody who can read writing is considered capable of acting on the air—it’s still too much like a great big amateur show. When they start limiting radio drama to people with real microphone ability, things will improve. Radio has been made too easy.”
Zella Layne (Dr. Kate serial): “It’s a matter of becoming a topflight reader more than anything else. The script writer has the best chance. A radio actor hasn’t much chance to do anything but do a good job of reading at sight.”
Jeanne Bate (NBC actress): “In most radio shows today
you're not acting—you're helping to sell a product. Furthermore, in daytime shows you're playing to people who are doing something else while they're listening and wouldn't know a characterization if they heard one because they aren't paying enough attention. That is reserved for the big programs at night."
Jack Kirkwood (with a lifetime in the theater behind him): "Yeah—hard work and experience—in the theatre. This bird Joseph Julian knows what he is talking about. Radio hasn't developed ten real actors in its history—all the good ones came from the stage. Radio is worse than the picture business for new actors; all a guy can do is just what the director tells him. That's been my squawk for years. There isn't a chance for a newcomer to start in radio and get anywhere. Joseph knows his oats."
I was overwhelmed by this extraordinary burst of publicity, and fearful it would spell the end of my burgeoning livelihood. After all, if radio did such horrible things to actors, why would I want to work in such a corroding medium? Why should directors even bother to call me?
I went to the Variety office and confided my fears to editor Landry, who assured me I couldn't buy publicity like that for $50,000, and predicted I would soon be busier than ever. The following week he published more letters in reaction to my piece—some pro, some con—from Gene Autry, Conrad Nagel, Chester Lauck of Lum and Abner, and many more. But since practically none addressed itself to my main point, I decided an answer to the answers was in order. I wrote a "clarifying" piece for the next issue.
JOE JULIAN IN GENTLE REPLY TO HIS CRITICS
New York, Jan 29, '41
Editor, Variety
I seemed to have opened Pandora's box—or something. While most of the reactions to my *Variety* article entirely disregarded my basic premise, I found them interesting because they illuminate the general confusion that exists on the entire subject of radio acting—in fact, all acting.
However, the general tone of the replies tend to give an impression that I wrote the article in a white heat of anger or disgust with radio, as such. One of the comments even referred to my "daring" in risking the resentment of agency executives and directors by openly stating my views. I would like to clear up any such misconception. In the first place, the radio industry provides me with quite a decent living, and anyone who doesn't have a healthy respect for his means of livelihood is either an idiot or a professional iconoclast. About risking the resentment of directors, I didn't think in those terms. I assumed, I suppose, they would accept it as intended, not as destructive criticism, but an attempt at a purely objective analysis and comparison of the creative possibilities of actors in radio in relation to the other entertainment fields.
I recognize the validity of radio itself as a wonderful new art form, but not radio acting. Acting is the art form, not radio acting or stage acting or film acting. The actor's approach to his part is the same in all three mediums. His tools are basically the same. He uses his emotions, personal experience, his powers of concentration, imagination, observation, his voice and his body. Even in radio he uses his body. He unconsciously twists, turns, and gestures within the confines of the mike "beam," because his main function is to create out of his material the greatest possible reality for himself, not his audience. If he believes what he is acting, the audience believes. And this is true of acting in any medium. But in radio there are more mechanical strictures and distractions to prevent his building
this reality for himself, than in other acting fields. Therefore in radio he has less opportunity to use his creative energies. One of my knuckle rappers considers this a healthy challenge. True, the lack of real contact with his fellow performers stimulates the radio actor's imagination to a certain extent. He must dig deeper down into himself for the emotions that would flow more naturally from proper adjustment to his co-actors. But this virtue, I believe, is more than offset by developing in the actor a tendency toward an introverted kind of acting that can become artistically as unhealthy as can an introverted way of living.
And the distractions of holding scripts, finding the next line, watching directors for cues, etc. Are these healthy challenges? Do they make an actor sharpen his powers of concentration? Then why not sharpen them sharper by bringing even more distractions into the studio? Maybe a little man could be hired to run around the studio distracting the actors—making funny faces at them while they're on the air.
Erik Barnouw makes the point that "for centuries poets have kept busy at sonnets with just fourteen lines and a torturing rhyme-scheme, when they could just as well write loose odes. Working within imposed limits is part of the gratification of any art."
The poets who turned to sonnets didn't impose these restrictions on themselves for the gratification they got out of overcoming handicaps. In all progressive art, form is derived from content. One doesn't arbitrarily select a form then fill it in with stuff. The stuff determines the form it needs. The poets wrote sonnets because to them it was the best way of expressing a particular poetic concept.
But the radio actor doesn't select radio acting because it's a better method of expression for him than the stage. Usually it's because it gives him a much better living.
I'm strongly tempted to argue other points made by your correspondents. I feel much good can come of a pro and con discussion of the subject, even if it only makes for a greater awareness in actors of the tools of their trade (a long step towards
using them better), but I am a little afraid that prolonging the argument might lay my motives open to question. You know—actor—publicity, etc.??? So—I better gather up all my split infinitives and dangling participles and run along. I’m late for rehearsal.
Joseph Julian.
For months the articles were the subject of discussion and argument around the studios, ad agencies, and cocktail parties, with enough support for my thesis for my name to acquire some prestige as a serious, thoughtful actor.
I was especially pleased to get a call from Montgomery Clift, a rising young actor whose work I greatly admired, and with whom I had, in some way, felt a kinship. We met at Colbee’s Restaurant, a hangout for radio people in the old CBS Building at 485 Madison Avenue, where he told me he had wanted to meet me because I had exactly expressed his own feelings about the whole radio acting phenomenon.
I began getting calls for jobs from directors I had never met. Landry’s prophecy was fulfilled. Ironically, after writing on the deleterious effect of radio on creative actors, I became busier than ever.
5. "Michael West" and After
Sometime in mid-1941 I ran into Larry Menkin, who had been my roommate at WLW, and later became one of radio's most prolific writers—Famous Jury Trials, Mollé Mystery Theater, Harlem Detective, and hundreds more. He was now freelancing in New York. He informed me that my friend Thomas Ashwell was no longer at WLW. On the strength of his job there as program manager, he had talked himself into becoming general manager of WXYZ in Detroit. Another step up the ladder. I wondered if he was using the same system.
My own progress was greatly aided in 1941 by a Greenwich Village neighbor, Julian Funt, who was writing a soap opera that had been on the air for five years called Big Sister. For some reason I brought out the big brother in him. He always showed a warm interest in my activities and welfare, and we became friends.
He had a habit of closely questioning people about themselves and mutual acquaintances. But as I got to know him better, I realized that it was out of a healthy
human concern, and that an appetite for the intimate details of peoples' lives was part of a good writer's basic equipment. In fact, I began to envy his energetic curiosity and tried to cultivate more of it in myself as I realized its application to my own profession.
I was also not unaware of his writer's interest in me as a character—which, perhaps, I was (am?). In any case, when I met Funt, I had not yet found my center of gravity; my feet were planted firmly in the sky, and I collected folk songs—attributes of a role he wrote into the story line of *Big Sister*. It came out as Michael West, rootless, embittered young wanderer who sang folk songs and accompanied himself on the guitar. In the program, Michael falls under the influence of Big Sister, who eases his pain and restores his faith in people. Since I had inspired the character, a little neighborly nepotism seemed in order. Funt got me an audition and, I suspect, used his influence to help me get the part.
The role had such a successful listener response that after several months the sponsor, Lever Brothers, decided to do a spinoff and give Michael West his own show. Now that Michael was to be the lead, it was decided—and this was typical of sponsor madness—that general auditions should be held for the role. I was invited to compete. Perhaps, now that it was a starring role, with a contract and more money involved, they wanted to be sure they couldn't do better. Whatever their reasons, I again won the part. They called the show *Bright Horizon, the Story of Michael West*. In a way, it was a complete reversal of the normal daytime formula. It had a hero instead of the usual heroine, and a woman announcer instead of a man. And, for good measure, a Miss Ora Nichols worked the sound
effects—the only woman on CBS who handled sound.
The new show got off to a good start. In those days, considerable newspaper and magazine space was devoted to radio, and radio reviews were as widespread as are those of plays and films today. This was Hobe Morrison’s Variety coverage:
**Bright Horizon**
**Serial**
With Joseph Julian, Alice Frost, Santos Ortega, Sid Slon, Chester Stratton, Marjorie Anderson, John Gart.
15 Mins.
Lever Bros.
Mon–Fri., 11:30 A.M.
(Young & Rubicam)
Lever Bros. appears to have a lively bet in this show, based on the Michael West character formerly part of the Big Sister series. Format of the show is a change from standard serials, while the West character is unusual and meaty. Because the story is obviously going to get a completely new slant so as to steer it away from the Big Sister plot, it’s difficult to predict how good the yarn may be, but on the basis of Monday’s (25) debut, Bright Horizon has definite prospects.
Full title of the program is Bright Horizon, the Story of Michael West. Takes the form of a first-person narrative by the hero, a soft-hearted idealistic guy beneath the surface of hard-bitten disillusionment. Narrative fades quickly into dramatization, but cuts back for brief first-person narration to afford scene changes. Most of the initial episode was flashback to familiarize the listeners with the story’s characters, situation and background. It was neatly telescoped, however, thereby quickly preparing to cut loose from its Big Sister source and embark on a story line of its own. Characters, all but Michael, apparently slated to fade from future scripts, are sharp, particularly the hero. Dialogue is good.
Production, direction and performance on the opener were
excellent. Pacing and mood were nicely handled. Joseph Julian had the proper blend of bitterness and romantic softness as the hero, while Alice Frost was expressive and authoritative as Ruth Wayne, the title part of Big Sister, and set to fade from Horizon pronto. Santos Ortega, Sidney Slon and Chester Stratton were also convincing in supporting roles. John Gart’s organ bridges and cues were notably helpful.
Balancing the presence of a man as the central character, Marjorie Anderson, instead of a male announcer, reads the intros and commercials. It’s a welcome variation, besides which she handles the blurbs rather persuasively. Product on the regular 11:30 A.M. show is Swan Soap, while on the 2 P.M. repeat to the coast it’s Lipton’s tea.
Hobe.
Having my first lead in a radio series upped me considerably in my own esteem. But Bobby Gibson and his busy little manager tried to swipe some of my glory. Since I couldn’t sing, the producers hired this . . . this baritone, to be my singing voice when the occasion demanded. Naturally, to him the singing was more important than the acting; therefore, Michael West was played by Bobby Gibson the singer, not Joe Julian the actor. Every day the busy little manager would grab all the fan mail and answer requests for a photograph of Michael West by sending an autographed picture of his client.
The papers had some fun with it, too. Ben Kaplan, in his nationally syndicated column, “For the Love of Mike,” wrote:
When Michael sings, a teardrop springs
From optics feminine.
When he emotes, each maiden notes
The melody within;
But in their bliss the hearers miss
A most important fact:
Two not alike play role of "Mike,"
One sings and one does act.
The problem of who was really Michael West was resolved six months later: we were both fired, and replaced by Richard Kollmar, who could both sing and act.
It hurt. I tried to console myself that I was let go to save a salary, but I didn't believe myself. Actors don't accept reasons like that. They convince themselves they gave a terrible performance, that they lost whatever talent they had, that there is no hope and they will never work again. As I said, actors do not generally have strong egos. Mine shrank to nothing. I sulked, unable to bring myself to face other actors, or look for work. Having been to Olympus, how could I go back to making the rounds?
My misery was mitigated when one day I got a call for a running part on *The O'Neills*, a daily serial about a poor Irish family. But that didn't last long. After a few months I wound up in "jail," an innocent victim of the melodramatic plot line—typical of *The O'Neills*—and a major reason it failed in its attempt to become the Irish counterpart of *The Goldbergs*, an enormously successful family story, which had been running since 1929, that is, for twelve years. But the Goldbergs couldn't be duplicated because there was no duplicate for Gertrude Berg, who wrote it and played the leading role of Molly. Gertrude was one of radio's jewels. A middle-aged housewife who had never written in her life, she decided she didn't have enough to do, with only a husband and growing children to take care of. She therefore conceived the idea for a serial about a poor Jewish family in New York, wrote a few episodes, and sent them to NBC. They bought it. And bought her as writer and star. It was not melodramatic, nor was it a typical soap opera of suffering virtue and *Sturm und Drang*, but rather a cozy comedy of small human foibles that nearly everyone could identify with. Gertrude Berg created one of the most famous characters in the history of radio—a Jewish mama who was not smothering or abrasive, but warm, sensitive, and amusing. With no professional background, she wrote and played with a perfect ear for the nuances of Jewish speech and character. Her "Yoo hoo! Is anybody?" as she called to her upstairs neighbor was but one of hundreds. And you didn't have to be Jewish to love Gertrude. With an audience of millions, she probably did more, five times a week for over two decades, to combat anti-Semitism than any individual in history.
At one time, after about eight or nine years, NBC decided *The Goldbergs* had been on the air long enough, and announced its cancellation. Outraged listeners howled their protest in a storm of letters. NBC bowed to *vox populi*.
Much of the nostalgia for old-time radio relates to the fun of being horrified by *Inner Sanctum*, *Lights Out*, and *The Shadow*. Or laughing, without guilt, at the ethnic humor of *Moran and Mack* (*The Two Black Crows*) and *Amos ’n’ Andy*; or crying along with the soap-opera queens; or giving your mind over to the wild science-fiction tales of *Dimension X* and *Two Thousand Plus*.
There were also interesting realistic dramas. Shows such as the *Lux Radio Theater*, directed and hosted by Cecil B. DeMille, featured movie stars in radio adaptations of famous motion pictures. *Cavalcade of America* presented weekly dramatizations of American history. Sponsored by Du Pont, the series paid $150 per script, for which they could get good authors such as the poet Norman Rosten and the playwright-to-be, Arthur Miller.
But some of us fondly remember radio for its richer cultural nourishment—for its achievements on the level of art. And there were quite a few. Many, if not most, were created by Norman Corwin.
There were early experimental programs like *The Columbia Workshop* and *Studio One*, where a few imaginative writers and directors like Irving Reis, William Robson, Marc Blitzstein, Earle McGill, and Charles Martin tried out new techniques with sometimes interesting results. But no one stretched radio’s horizons as did Norman Corwin.
A newspaperman for the first ten years of his professional career, Corwin went to work for CBS in 1938 and quickly grasped the fundamentals of this new medium. Without any real apprenticeship or theater background, he began to write, produce, and direct radio shows. The technology of radio excited him, and he immediately began to explore its possibilities. He had an intuitive understanding of how to deal with performers (fragile creatures that we are), a love of words, a poetic thrust, an orderly mind, a scientific curiosity, a social conscience, a delightful sense of humor, and a soaring imagination—all reflected in his plays.
He pioneered new techniques in mixing sound effects and developed original production devices, while writing an astonishing number and variety of comedies and dramas that ranged from his charming fantasy *My Client Curley*—the story of a little boy who owned a caterpillar that could dance only to the tune of “Yes Sir, That’s My Baby”—to *On a Note of Triumph*, his eloquent and powerful punctuation to the climax of World War II; from *Mary and the Fairy*, a whimsical satire about a lonely lady stuffing her empty life with the dreams society thrusts upon her, to “We Hold These Truths,” a moving, poetic documentation of the evolution of the Bill of Rights.
Many of Corwin's works had considerable social impact. "We Hold These Truths," for instance, planted its statement in the ears of more people than any other single dramatic performance in history.
It was a special hour program, written at the request of the Office of Facts and Figures in Washington, to celebrate the 150th Anniversary of the Bill of Rights. Produced in Hollywood, on December 15, 1941, portions of it originated in New York and Washington. Bernard Hermann composed a special score for the dramatic sequences, conducting a symphony orchestra in the Hollywood studio, while Leopold Stokowski led the New York Philharmonic Orchestra from New York in the national anthem. The program was carried over all four major networks in prime time, and concluded with an address to the nation by Franklin D. Roosevelt. The Crossley reports (the main rating poll of the time) estimated the number of listeners at over sixty million! And what a cast: Lionel Barrymore, Edward Arnold, Walter Brennan, Bob Burns, Walter Huston, Marjorie Main, Edward G. Robinson, James Stewart, Rudy Vallee, Orson Welles and . . . the President of the United States.
Corwin stimulated a number of other fine American writers to write for the medium. Archibald MacLeish developed *The Fall of the City*, a long, dramatic allegory about Hitler and man's lust to be enslaved. With Corwin's encouragement, Maxwell Anderson and Stephen Vincent Benét came up with several poetic dramas. Millard Lampell wrote a touching elegy for Abraham Lincoln, called *The Lonesome Train*. All of these were directed and given a special radio life by Corwin. But, with the exception of
the Lincoln funeral story, where music and the mournful train whistle played an important part, they would have been as effective read in a book or presented on a stage—as would have countless other presentations adapted from poems, dramas, short stories and novels.
But Corwin was pure radio. A word and sound man; a music and effects man, who conceived in those terms—abundantly. As Clifton Fadiman wrote:
Corwin is so much the technician that he conducts public experiments with his medium, coaxes it to perform tricks, plays with it, treats it with the eager curiosity of a boy with his first chemical set. What is important about him, beyond his mastery of his medium, is that he has something to say, and a heart and a mind with which to say it. His masterpiece, “We Hold These Truths,” provides irrefutable evidence of his ability to manipulate actors, words, machines, and ether waves, so that the combination expresses clear, lofty, and inspiring thought.*
Carl Van Doren wrote that, “Corwin was to radio what Marlowe was to the Elizabethan stage.” But in terms of sheer prolificacy, I know of no peer on his level of achievement. In 1941 he committed himself to the colossal task of writing, producing, and directing for twenty-six consecutive weeks a special CBS series, *Twenty-six by Corwin*, which won him an American Writer’s Congress Award. In a foreword to the published version, he wrote:
Each of these plays was written against a deadline, and most of them within a week’s time. A schedule of this sort is dangerous and should be tried only once in the lifetime of a conscientious radiowright. I gave up all but a few distractions and placed a
* From the Introduction to *More by Corwin: 16 Radio Dramas by Norman Corwin*. New York. Henry Holt & Co., 1944.
strict limit on working hours: never more than twenty-four in a day.
He also wrote production notes for these plays which provide an insight into his creative process: the hard work, the careful casting, the long experimentation to achieve precise effects.
The first of the twenty-six was "The Odyssey of Runyon Jones," a fantasy about a little boy's search for his dog, Pootzy, who had died and been sent to Curgatory. On the way, he encountered Father Time, Mother Nature, her assistant Blossom, a Giant, and many other fantasy characters. Here are some of Corwin's notes on that production:
CASTING:
Without a sensitive and versatile Runyon, you might as well all go home. He should be between nine and twelve, and sound earnest, purposeful, persistent. Don't, under any circumstances, employ a Runyon who sounds fresh or oversmart or whining. So many radio kids sound that way, although as a class they are better than the horrible Hollywood junior brigade.
Father Time must, of course, be old to be credible. The character should justify the "crackpot" comment which is made later by the Chairman of the Board of Curgatory.
Mother Nature is a busy but not overbearing executive type: the efficient controller of all things natural; the kindly helper; the disciplinarian. M.N.'s assistant, Blossom, is a silly child.
The Giant is a stock giant. Arthur Vinton played him with humor and vitality, deepening an already deep voice, and rolling his speech in a wondrous way.
ACTING:
Everybody whom Runyon meets in his travels treats him as an adult, never as a child. Nobody wastes sympathy, except perhaps the Superintendent, who is aware of the boy's unusual attachment to his dog. Father Time is too daft to care much; Mother Nature is accustomed to all kinds of strange petitions; the Giant has worries of his own; the personnel of Curgatory is polite but firm, always addressing the boy as "Jones." None of the characters should be travestied.
**SOUND:**
The only problem is that of the background for the Father Time sequence. I found that the best effect was achieved by slowing down a recording of a cuckoo clock. At normal speed this effect was a pleasant "ding," followed by a cheerful "cuckoo," but I reduced it to a speed so low that the ding became a tremendous and deep-chested "BONG," and the optimistic chirrup of the cuckoo became a lugubrious two-note wail of a melancholy whistling buoy. This succeeded somehow in creating an effect of great space, of mysterious gyrations, of the weird inner workings of the solar system.
**REHEARSAL ROUTINE:**
The chief production worries are the blending of sound, music, and speech in the Time Sequence and the interview between the Giant and Runyon. The former can best be accomplished by using a separate microphone for each element, being careful not to allow the background of sound to override speech. This scene will be soupy unless one works hard to maintain clear perspectives.
In the Giant scene, complete isolation is necessary if Runyon is to sound small and the Giant big. I placed Runyon in a dead booth * and reduced the level of his microphone on the control board, while the Giant had the whole studio to himself, and an echo chamber to boot.
* A dead booth is a booth made of portable walls, which is set up within a studio to isolate an actor from sound or music. In effect, it serves as a studio-within-a-studio. A microphone placed within a booth is easily controlled by the engineer, so that the voice of the actor is not drowned out by heavy sound effects or music coming from the studio proper. The principle of the booth is an important one in production, and is almost indispensable in the handling of complicated setups.
Corwin published these production notes for the guidance of directors of future productions, of which I am sure there have been very few—for the simple reason that, outside of the networks, not many stations have the staff, talent, or facilities for such productions. And if Corwin was thinking of the glorious future, well, the glorious future has arrived, and good radio drama is in the middle of a long death. The small but rich body of radio literature, which he brought so lovingly to life, lies languishing in a few libraries and second-hand book shops, under the titles *Thirteen By Corwin* and *More By Corwin*—a great shame and deprivation for the present generation!
The publicity surrounding the *Variety* articles had brought me to Corwin’s attention. It was the beginning of the most rewarding relationship of my career. He began casting me in bit parts in some of his “Twenty-six” series—including “The Odyssey of Runyon Jones.” The final scene of that play was, for me, one of radio’s wonderful moments. The bureaucrats of Curgatory had finally granted Jones permission to see his dog. We hear the ponderous footsteps of a guard (me) echoing down a long marble corridor, contrasting with the tiny, rapid steps of the boy. The suspense is heightened by continuing the footsteps an inordinate length of time. Finally they stop. The guard says, “Here we are. He’s right inside that door.” Runyon, barely able to control his voice, says, “He’s right inside there?” “Yes,” says the guard, “just open the door and walk right in.” There is a pause. “What’s the matter?” asks the guard. There is another silence, and the little boy asks, plaintively, “Do I look all right?” “Oh, yes, Mr. Jones,” the guard replies. We hear the sound of a doorknob turning and the beginning of a door opening—then a dissolve into music.
I landed my first lead in a Corwin play in the summer of 1942, a segment of his monumental *This Is War* series, entitled, “To the Young.” A large percentage of his work now dealt with World War II and its issues, and *This Is War* was an umbrella title for a number of special hour programs carried simultaneously over all the networks. Some segments were written by various authors, but all were produced and directed by Corwin. This is how *Variety* reviewed “To the Young.”
*This Is War* No. 11
*With Joseph Julian*
Saturday, 7 P.M.
All Networks
Other chapters have been more cohesively knit as to framework, but “To the Young” proved as dynamic a document as anything that has preceded it on this series. It presented the case against the Nazi foe not through virulent name-calling, but through citations from factual data showing the depths of degradation into which Nazi child education and cultural life has sunk. It preached unity and faith in our allies by relating the heroic exploits of the British, Russians, and the Chinese. It piled into our own sixth column with a singeing scorn, quoting their undermining cant and at one point categorizing them with the crack, “There’s a crackpot market for anything that’s anti-sensible and anti-decent.”
Joseph Julian . . . was posed as a young member of our armed forces who meets a Cockney flier, a Russian guerilla, a German soldier who, once a member of his country’s underground movement had, when the opportunity offered, deserted to the Soviet side, and a young, college-bred woman
from the Chinese auxiliary forces. He learns in his travels that the "cranks and some editors" at home have been lying to him about the Reds, that there is a method to their stirring up of anti-British sentiment and that the accent is not only on youth but on victory.
Johnny Green's was a competent bit of scoring.
Odec.
In those days, such strongly political programs did not bring down the wrath of the FCC on the networks, or a clamor for equal time by "responsible opposing views," as it would today, because on the war issue there was no real gap either between the major political parties or between government and the people.
By this time most Americans had committed their hearts and muscle to the war against Hitler, and sentiment was growing for the United States to open a second front in Europe to relieve the pressure on England, whose cities were being blasted day and night.
There was scarcely a factory in Detroit that was not turning out something for England. And in California the air was so heavy with war planes being tested near aircraft factories, and causing such unrelenting noise, that Hollywood studios had to rewrite scripts to eliminate outdoor shooting locations. With the exception of fringe groups, Americans supported decisions to send these massive supplies, because intuitively they understood that the war was pro-humanity and that Britain was fighting our battle, too.
Landing the lead in "To The Young" was a fateful bit of casting for me. My performance of a soldier going off to war would be directly responsible for plunking me down in the midst of a real war only two weeks later.
In the middle of July, 1942, I received a call from Paul
White, head of CBS News. Would I be interested in flying to London within the next few days to play the lead in a special six-week series called *An American in England* that Norman Corwin was doing from the BBC, a series that was to be shortwaved back to America? Apparently Corwin, who was already in London, had intended to use Burgess Meredith as the star, but there had been some last-minute trouble getting the army to release him. Remembering my *To the Young* performance, Corwin cabled CBS to fly me over.
Would I be interested? I practically flew over to CBS to sign the contract. It didn’t even occur to me to bargain over my fee; the paper they pushed at me stated: “We will pay you the sum of Two Hundred and Fifty Dollars per program on which you render your services.” Out of that I had to pay my own living expenses. For starring in an important, international Corwin series to be heard throughout the British Isles and America, the salary had to be an all-time low. I’ve always been a soft-nosed businessman; the hot, tumbling visions of a trip to England at war must have softened my brain, too. I signed.
CBS expeditiously arranged my passport and papers, and three days later I was on a train speeding toward the Canadian border. In my pocket was a sealed envelope of instructions, not to be opened until I arrived in Montreal. All I was told was that I would be flying the Atlantic in one of the bombers being ferried from American factories to the Royal Air Force in England; and the time and place of the departures were highly secret.
As the train ploughed through the night, my thoughts and feelings came fast and furious: I had never flown the
Atlantic before—in fact, very few other people had. I had never been to England, and here I was on my way to an England that was being blasted into rubble. War—till then an abstraction—was about to become a reality. And, professionally, new horizons were opening for me: soon I would be performing in most living rooms of the United States and the British Isles. Before I had left New York, there had already been considerable publicity about Corwin having selected me for this choice assignment.
I played games to calm myself. An actor’s self-hypnosis. “I’m going on a weekend pleasure trip; I’ll be back Sunday night.” The pitch blackness outside the train window was suddenly shattered by a concentration of thousands of lights: a defense plant night shift, working full blast. Reality. This was no weekend pleasure trip. I was on my way to a close-up of history and horror.
Jottings from my journal:
July 23, 1942: Montreal! A busy, bustling city. Oldness and war in the air. A mélange of accents and uniforms. I’ve become a foreigner. Streets dense with RAF fliers snapping salutes at passing superiors. Opened my sealed orders. There was a phone number to call and identify myself as 537. Male voice told me to wait there. Within fifteen minutes a limousine picked me up and drove me to the airport, where I was fitted with an oxygen mask, parachute, and shown a film about what to do if the pilot has to “ditch” in the ocean. It brought out the coward in me! Can such things happen? We’re to leave at 9:30 in the morning.
July 24, 1942: Flight cancelled. Bad weather. Prospect of another day of nail-gnawing too much. Saw movie tonight: *This Above All*, about the bombing of London. Shocked into realization I’m on my way to all that. Hope we’re not cancelled tomorrow. Corwin must be terribly worried. This is Friday, the
series starts Monday! And I haven’t rehearsed, or even seen the script!
July 25: We’ve been in the air ten minutes. Can’t take my nose from the window. Five other passengers dozing or reading. Amazed at their relaxation. Only at takeoff was there a surge of feeling. Spontaneously, everyone looked at everyone, grinned, and gave “thumbs up.” Maybe they’re at ease because this is only the overland part of the flight. Must be climbing, I’m getting cold. Just had a shock. Three corks shot up at me from thermos bottles. [There was no pressurization in those days.] We’ve hit a rain and hail storm. Everyone is nervously fingering the straps of his parachute. They all yell, “Sit down!” as a young Frenchman stands up to stretch and touches the defroster pipe that runs along the ceiling. Seems “icing up” is feared most by pilots on this run.
Just landed at Gander, Newfoundland airport, biggest in the world. Carved smack out of the wilderness. A wilderness of lakes kept apart by crazy strips of land for hundreds of miles. Three administrations here. Royal Canadian Air Force, American Air Force, and the British Ferry Command. Anti-aircraft guns bristling everywhere. Terrific traffic. In the two hours we waited, fifteen planes took off for the British Isles. Could mean a staggering number of deliveries over a period of time. We’re all given warm, fleece, flying suits and boots. They tell us it’s extremely cold over the North Atlantic. We take off at 6:15 P.M. and at 6:30 we’re leaving the coast. At last over the ocean. Everybody takes off his parachute. I’m astounded. I ask why? A Royal Air Force officer tells me, “If we go down over the drink, old boy, it’s not going to do you a bloody bit of good.” They all laughed when I told them I felt better with it on, and that I hoped there would be no occasion for me to have the last laugh.
There’s courage in everyone’s eye. Mine, too, much to my surprise. Maybe in a tight little group like this, exposed to danger,
everybody's courage gets all mixed up and you draw what you need from the common lot. The second pilot just assigned us our rubber life boats and "Mae Wests"—"just in case." We all laughed and jerked "thumbs up."
Into the night. I play games again. I'm Lindbergh crossing the Atlantic in *The Spirit of St. Louis*. Looking out of my small window at the shining heavenly bodies in the moonlit vastness, I feel a point-in-space loneliness that he and all the first ocean flyers must have known—a sense of danger, diluted by an exalting awareness of the infinite. It's hard to sustain a mystical experience with the plane rattling as if it's coming apart and the roar of four propeller engines in your ears. And these bucket seats aren't designed for comfort. Maybe if I stretch out on the floor I can catch some sleep. My thick flying suit and parachute should soften it a little. . . . I tried and failed. Even heavier vibration there.
We're flying against the night, and like two trains passing we're suddenly in the clear of another day.
A few more hours and the rocky isles of southern Ireland miraculously appear. Flight engineer calls out, "Another hour and a half till we put down in Scotland." I'm Lindbergh again, joyously sighting land!
Even flying at 10,000 feet over Ireland you understand why an Irishman can't speak of his county without rhapsodizing. Never have I seen such a lush green panorama.
Had a sudden sick feeling that we were fast descending to an emergency landing on a farm. Not until we touched down did I realize it was Presswick Airport in Scotland. Amazingly camouflaged! Terraced to look like the surrounding farm acres. Buildings and hangers all nestled under the foliage of clusters of trees or in haystacks. Planes landing and taking off every few minutes. The smell of war is getting stronger. As we climbed out of the belly of our Liberator, a small electric baggage truck,
manned—rather womanned—by three overall-clad, grimy-faced young girls, drove up. They started slinging the heavy suitcases around like longshoremen. My first contact with the British people at war.
The flight took only twenty-three hours!
Went into the airport restaurant and blithely ordered ham and eggs. The waitress laughed. She thought my casualness part of my little joke. It suddenly hit me. Food is severely rationed here. I laughed with the waitress, pretending I had intended the joke. But when she asked if I’d take tea or coffee and I said tea, and from force of habit added, “with lemon, please,” she really got sore. “Look ’ere mister,” she said, “we ain’t seen a lemon for three years. So don’t go gettin’ funny about it!”
The half crowns, shillings, pennies and ha’pennies I had been given confused me, and while trying to figure which coins would cover my check, I apologized to the cashier for holding up the line. I told her, “I’m sorry, I’m not used to English money.” She sizzled and sharply replied, “In Scotland, sir-r-r, we dunnae call it English money, we say Br-r-r-ritish money!”
A special little two-seater had been sent up to fly me down to London. I was more frightened on that short trip than during the ocean crossing. The pilot seemed to be playing his own game of how close can he come to the tree tops. I think he missed one by a sixteenth of an inch.
July 26: Arrived London. Exhausted. Called Corwin to reassure him I’d be at rehearsal tomorrow. He was enormously relieved. Driven to Savoy Hotel. Strange—creeping along without headlights through totally blacked-out city. Flopped in bed. Slept for fifteen hours solid.
Monday, July 27: Learned I had slept through two alerts. Took cab to BBC Studios. Saw many ruins on the way. Everything still has an air of unreality. Maybe because I came so quickly from untouched America. I feel as if I’m the only real character moving through some monumental fiction.
Broadcast House—my destination. A little, round building at the end of Regent Street. This couldn’t be the headquarters of the renowned BBC? Looked more like a pill box on the Maginot line. Ah, but wait. Enter and you go down, down, down till you come to the studios, large and small, snugly secure as an air-raid shelter, safe from all but a direct hit.
Happily greeted by Corwin and Ed Murrow, chief of CBS European Bureau, who is acting as producer of the series.
This is the first such expedition in radio history—a live dramatic series originating abroad, to promote good will between two countries by sending back the story of how the common people of Britain are bearing up under three years of war. The program is costly and risky, and CBS is showing great courage in undertaking it.
A lot of controlled excitement in the air. Corwin spent a lot of time on the phone with New York, testing sound effects. Since this is a pioneering project, there is no other way of knowing how certain effects will survive the shortwave crackle.
I was given my script to study. I am to play Norman Corwin, who is the real “American in England”—the program being about his first impressions of England at war.
The sixty-two piece Royal Air Force Orchestra was rehearsing an original score, composed by a sensitive, curly-haired smiling young man stalking about the studio, named Benjamin Britten. A CBS secretary told me she had trouble mailing him his fee. It was returned because he’d been forced out of his furnished room for not being able to pay his rent. [Just recalled I borrowed a book from him—thirty-two years ago! Must remember to return it sometime.]
While we were putting the show together, there was an air raid. A long alert. Around midnight, still no all-clear. The show was to go on at 4 A.M., so it could be heard at 10 P.M. in New York. We were given orders to move the entire production to a
BBC emergency studio. More than a hundred of us were involved—musicians, actors, technicians. [Some contrast with the one- or two-man talk shows typical of today's radio programming.] We all piled into cars and cabs, and somehow made our way through the blackout to the barnlike BBC studios at Maida Vale on the outskirts of London. These were the latest emergency studios, improvised after a couple of others had been bombed out.
Rehearsals honed the show to a sharp edge of readiness as 4 A.M. approached.
The opening words of the show were: "Hello? . . . Hello? What's the matter with this line?" I, the American of the title, presumably in New York making a reservation for my flight to London, was having difficulty with the phone connection. Corwin deliberately used this as an ear-catching device, on the theory that nothing rivets an audience's attention like something gone wrong. Great tension. Most of America listening—everyone in the radio world. Friends tuned in—to find out if I had landed safely.
Finally went on the air. Everything clicked. Everybody happy. Mutual congratulations. A studio full of exhausted satisfaction.
A good night's sleep. Phoned Corwin to find out if there were reports from America. There were, indeed! He and Ed Murrow had taken a little walk after the broadcast. Murrow had not wanted to tell him in front of the British, but he had learned that when the CBS engineers in New York heard me say the opening words, "Hello? . . . Hello? . . . What's the matter with this line?" they thought the simulated disconnection was real—that something had actually gone wrong. So, they pulled their plugs, and put on a stand-by orchestra. America never heard that broadcast. The ear-catching device was too real. We were dismayed. But it gave Corwin an extra week to write the second script, and me some time to explore this bustling em-battled city.
July 29: Beautiful moonlit night. Long walk in the deserted streets. Moonglow on roofs of blacked-out buildings give them an eerie quality. London is like a gigantic ghost town—an abandoned city. Five minutes after return to hotel, gunfire! My first. Going downstairs!
Sirens sounded. An alert. Firing was the “ack-ack.” There were many people in the lobby, in their pajamas and robes, waiting for the all-clear. As I returned to my room some of the flaming flack from the anti-aircraft shells was floating past my window. For the first time, I have a personal sense of danger here.
My phone just rang. A polite, male voice: “Would you mind drawing your curtains properly, please?” About a three-inch sliver of light was showing.
Heard explosions I was sure were bombs. The hotel shook. My heart was pounding. Learned they were ordinary anti-aircraft guns, but located close by. There had been a long lull in the saturation bombing that had devastated so much of the city, and people were fearful something new was about to happen.
July 30: 2 A.M.: Sat on the stone steps of Trafalgar Square, arms around my knees, looking up. Another moonlit night that cancels the blackout. Barrage balloons hanging in the sky. Can’t understand their function. Do they carry nets to snare enemy planes? Seems to me bombers needn’t come that low, and if they do they’re spaced far enough apart to go through easily. I asked a young Canadian soldier what he thought they were good for. “Why, don’t you know?” he said. “They hold the island up.” Siren screamed an alert. Huge flashes in the sky synchronize with the boom of anti-aircraft guns. A young Tommy explains that a few Nazi planes come over every night about this time. They’ve dropped their bombs on the Midland factories, and on their way home, fly over London, just to start the alerts, wake the people up—keep them from getting their proper sleep. Which, I suppose, can be translated into a military value.
Corwin asked me to do a little research for him by accompanying a typical English working-class woman on her daily marketing. Mrs. Bave, a cleaning woman, took some pride in the fact that her neighborhood was mostly made up of cleaning women. "A lot of them even clean at the Ministry," she boasted. Her boy had left to be inducted that morning. When I asked her how she felt about it, she said, "I believe in patriotism and all that, but when 'e's your own boy . . . I believe in patriotism, but—" I noticed a plot of about twenty small vegetable gardens in the courtyard of her apartment house. I asked Mrs. Bave if she raised some of her own vegetables there. "We started to," she said, "but my 'usband, 'e wants to plant seeds one day and see them up the next. Besides, 'e's so busy at the factory 'e doesn't 'ave the time. So we gave our allotment to someone who would make better use of it."
We walked a few "turnings" to the grocers—like an average neighborhood grocery in America—except you feel they don't sell things, they apportion them. Much time is taken up discussing how many ration coupons should be cut from which book, etc. Each customer usually shops for several people, and so carries several ration books. A wrinkled old woman, with a shawl over her head, held up her own dirty paper bag for her allowance of two eggs. She had brought it to save the grocer's paper. The grocer addressed them all, "We only got fifty-three eggs this week—some bad ones." Everyone reacted to this. Much worried chatter. "I hope that includes my five"; "I didn't get my three last week"; etc.
GROCER: Boy gone, Mrs. Bave?
MRS. BAVE: Yes.
GROCER: Expect 'e'll be 'appier, 'e will.
MRS. BAVE: Yes.
August 12: Been here over two weeks now. Beginning to penetrate the shell of strangeness and see the English character, traditionally at its best in adversity. Their stiff upper lipism is frequently mocked, but there is something so real and rocklike at its core that nine months of daily blitz couldn't shatter it, and
you can’t imagine anything that would. The first attacks sent them reeling, but they recovered their national manners and counterattacked with a barrage of courage, wit, and contempt that wrecked Hitler’s plan for systematically softening them up. He could have softened them more by leaving them alone. I have heard many stories of their behavior during air raids that could only be told of Englishmen. For example: A man in charge of a Civil Defense Depot told me how, in the middle of a bad one, he was at his desk answering requests for ambulances on the phone, when a thousand-pound bomb exploded nearby. It blew in the walls of his office and his desk collapsed on his lap. He and his young secretary were stunned—then looked at each other. She broke the silence. “Would you like a cup of tea, sir?” she asked. And she wasn’t trying to be funny. She climbed over the rubble and in a few minutes returned with a pot of hot tea. He hadn’t the slightest idea where she got it.
A popular expression when a bomb explodes close by is: “Quiet, beast!” out of the corner of the mouth. Women make dresses from the silk of parachutes the Nazis use to float down land mines (so they don’t dig deep holes in the ground before exploding)—a good symbol of how Hitler’s plans keep backfiring. The English even make the ruins fight back. They turn some of them into water reservoirs for fire fighters, using the rubble to construct them. They’re marked by signs: “Sumps for Pumps.”
An Englishman in the Savoy lobby told me: “I wish I had some way of telling America this, because one day they’re going to get it, sure as hell. They don’t know a damn thing about blast. They think it’s just the explosion that does the damage. Blast! I’ve seen things you couldn’t believe caused by blast. I was out in one of the raids and I heard a terrific screaming in what was left of one apartment building. Right in the middle of a room half-blown away was a girl in her late twenties—stark naked except for one stocking and one shoe—screaming her lungs out. ‘What’s the matter with you?’ I said. ‘Isn’t it terrible?’ she
said, and screamed again. 'Stop it now, stop it,' I said. It was getting on my nerves, that screaming, more than the bombing, and I slapped her twice across the face. 'You ought to be ashamed of yourself sitting around naked in a raid,' I said. She started crying. 'I wasn't naked,' she said, and took me into her bedroom. 'Look!' She pointed to what was left of the walls. The force of the blast had pulled off all her clothes, including a heavy coat, and projected every piece of them into the plaster of the walls and ceiling. I can tell you plenty of stories about blast. You're going to lose a lot of people in New York before you learn about blast. Little things about not only lying down, but keeping off your stomach by folding your hands underneath you. And keeping your mouth open—and putting a handkerchief or a piece of rubber between your teeth or you'll have them smashed. Many things. Blast is mysterious and dangerous."
An American flying instructor, as we went out to watch the sky during an alert: "One thing the Germans have on the British. They use their searchlights effectively. You fly over the Ruhr industrial area and it's like daylight. They have a hell of a concentration of lights, and you just can't get out of it. We've lost a lot over there. But here over London, or anywhere here—they shoot a couple of beams at 'em, but it don't do a damn bit of good."
A blimpish Englishman overheard in the Savoy Bar: ". . . so I said to this American, 'Tell me, frankly, what is your impression of English women?' And he said, 'In America we bury our dead.'" His friend: "That reminds me of the story about the American soldier who was arrested here after a raid for raping a dead woman in a bombed-out building. The judge asked him why he committed such a disgusting crime. 'Plenty of girls around Piccadilly Circus, if that's the sort of thing you want, why must you rape a dead woman in a bombed-out building?' 'Dead?' the soldier exclaimed, 'I thought she was just English!'" They both laughed as only upper-class Englishmen
can, and the first one said, "And they say we English cawn't tell jokes on ourselves!"
I auditioned English actors for Corwin. Quite a number were used in the series. My debut as a casting director. No job for me. I empathize too much. Felt terrible when I had to reject an actor. Especially well-known ones whom I had seen do fine work in films, but who couldn't adjust to microphone technique.
After the first week's mishap, the shows all went well. Reports from America were enthusiastic. *Variety* and other media reviews were raves. Here is Landry's comment in *Variety*, dated August 5, 1942:
**An American in England**
*With Joseph Julian*
30 Minutes.
Monday, 10 P.M.
WABC-CBS, New York
Norman Corwin's series after a complete failure the week before had a practically complete success Monday night (3) when the reception was remarkably satisfactory. Moreover, he actually succeeded at one point in deliberately burlesquing short-wave on shortwave transmission, mingling sound effects and assorted blended tidbits of English music and getting the whole thing through to American radio listeners. . . .
While some might consider fewer "yeas" and "huhhs" necessary to round out the typical American, on the whole Corwin took his imaginary Yank across the Atlantic on a clipper and through to London in a style that was poignant, believable, and rich in clear mental pictures. It should add up to a net contribution to British-American understanding.
Himself a first visitor to England it is likely that Corwin has come remarkably close to epitomizing the mixed sentiments
and impressions of the average American who finds the tight little island a bit strange but likeable. The script was dotted with interesting sidelights, just the sort of detail tourists always are interested in and struck by. The kind of food you can’t get, the kind of delays you face, the patience needed to contract for a taxicab, compared to which Washington cab service is a model of alacrity. By adding up the details, wholly without melodrama, a panorama of war came through. The waste and heartache and the bravery and horror became clearer.
Musically the program had a 50 piece RAF symphony orchestra. That was unnecessary as a small unit would have sufficed and shortwave transmission is not the ideal medium for big orchestras. Joseph Julian, who followed Corwin to England to enact the narrator role, proved an excellent choice, his versatile reading being from both the brain and heart. Contrived wholly in the first person present tense, the script was masterful in achieving an even, unjerky unfoldment. Various English voices were brought in and out, some just for action and color, one or two to talk about the war. The soliloquizing was especially adroit in allowing the tourist to first mention and then have enacted the typical American misconceptions of English character, the silly ass lord, the variety hall cockney singer. Amusing, too, was Corwin’s use of the quaint conceit which appeals to Americans, namely that the BBC would remain impeccably itself if announcing one evening on the 11 P.M. newscast that the world had come to an end but the Government was, for the moment, withholding comment.
Corwin continues to discharge difficult tasks of rare tact, feeling and imagination with great artistry.
John K. Hutchens, writing in the New York Sunday Times on August 16, 1942:
... An American in England finds Mr. Corwin once more writing with a poet’s vision, a good reporter’s clarity and a technician’s precise knowledge of his craft—three attributes that have made him preeminent in radio literature. Now he is part story-teller, part travel writer, looking at a friendly, foreign
land with inquiring gaze and understanding heart, speaking through a narrator who is presumably any young American visiting England for the first time and bringing with him certain preconceived notions but a willingness to learn. The narrator, Joseph Julian, tells the tale in prose, but frequently the effect is of poetry; for even when he is in a more or less realistic vein, Mr. Corwin writes in phrases that lift the heart . . . Everything is done in little touches, but the cumulative effect is profoundly stirring. . . . Mr. Corwin honors the good, average, unspectacular people by writing of them quietly, warmly, personally, with the intimacy and detail of a good travel letter that catches not only the moment but the vast implications behind it. This is a distinguished program by an artist, major work in a minor key.
Each weekly show had a different title and theme. "London by Clipper" described Corwin's flight over and his first impressions of embattled London. "London to Dover" was the second of the series, and dealt with his various small encounters with the people of those communities. "Women at War" was about just that. It conveyed how much of Britain's resistance was due to her effective use of woman power in factories and wherever a job was left open by a man who had joined the Armed Forces. Other titles were "The Anglo-American Angle," which stressed our common interests, and "Cromer"—which is the name of a town. The first page of the Cromer script looked like this:
STUDIO ANNOUNCER: Cromer is a town on the east coast of England, and this is a program about it. The program has to do with bombs and a postmaster and a rescue squad and an old church and a Spitfire and several other matters, and it takes a half hour.
MUSIC: Quiet introductory theme, sustaining behind:
NARRATOR: A town is like a person. It has a character, a complexion, and a name. It has a set of habits. It's hardworking or lazy, rich or poor, handsome or ugly. Some towns never amount to much; some get sick and die; some grow big and powerful and lead their race.
But all towns, be they so great they call themselves metropolises or so small you'd miss them if you winked while driving through—all towns have this in common; they are mortal. They know seasons and the way of winds, each taking its share of sun and moon and standing up to storm. And they are mortal also in the respect of violence and death. For war may come to any and to all of them.
Troy was a town.
So was Jericho.
Lidice was a town.
Likewise Our Lady the Queen of the Angels of Porciuncula, later to be known as Los Angeles.
And Cromer was a town and is a town, and you'll find it on a map of the east coast of England, in the ancient division of the country called East Anglia, facing the North Sea—facing Germany.
And then listeners were introduced to the residents of Cromer, Corwin's thoughts about them, and their thoughts about themselves.
The *American in England* series, although highly praised, did not break any rating records in the United States. It was aired opposite Bob Hope. What was more, he didn't have to buck transatlantic static.
The British radio people were enormously impressed with Corwin, not only for his warm appreciation of their country's war effort, but because his sharp, clean writing and production techniques were a revelation to "Old Aunty," as the government-run, somewhat stodgy BBC was sometimes referred to by Britons.
But there was nothing stodgy about its wartime function of alleviating the despair of millions, secretly huddled around clandestine receiving sets in the Axis-subjugated countries of Europe. Around the clock, and in dozens of languages, it poured out messages of hope and news that could be relied upon. The BBC became a shining monument of truth, to allies and enemies alike.
Val Gielgud, the brother of Sir John, and the then head of the BBC Dramatic division, invited me to star in a radio version of the American play, *They Knew What They Wanted*, by Sidney Howard. I had plenty of time for it since Corwin’s shows were a week apart, and I was only needed for two days of rehearsal. My co-star was the lovely Constance Cummings, a fine American actress who had married the British playwright Ben Levy. It was a gratifying engagement—for a reason I shall explain later.
It has been said that an actor is a sculptor in snow. Throughout the six weeks of the *An American in England* series, I tried to think of myself as a sculptor in better relations between Britain and America. Each Monday at 4 A.M., as I approached the microphone in the bombproof, subterranean studio of the BBC, I had no thought of playing a part, of getting inside a character, of doing an acting job. Just before the “on the air” sign lit up, I’d have a quick little talk with myself that went something like this:
Well, Julian, about 10,000,000 Americans are listening, go ahead now, talk to them. Tell them what you’ve seen with your own eyes. Tell your country what it’s like under the Nazi guns. Help them understand the British people and the urgency of the war. Tell them what it’s like—but borrow Corwin’s words to do it.
Came the downbeat for the sixty-two musicians—a cue to me—and I “borrowed” Corwin’s words.
Identifying with his words came easily. Although he dramatized his experiences and observations, we were both “Americans in England.” For the most part, we went to the same places, and saw similar things to which we reacted in pretty much the same way. His scripts were largely documentation of my own impressions. I have never had an acting job where the author’s frame of reference so closely coincided with my own. In fact, one of my own experiences almost wound up as a scene in one of the shows.
Strolling around blacked-out Piccadilly Circus one evening, I struck up a conversation with a young black American GI, and what he told me so touched and pained me that when I left him I hurried back to the hotel and wrote down our dialogue, almost verbatim:
J.J.: You American?
GI: Yeah.
J.J.: So am I. Where you from?
GI: Pittsburgh. Where you from?
J.J.: New York.
GI: I worked there at the Savoy in Harlem for a while.
J.J.: I was up there just before I left.
GI: (brightening) Yeah? Whose band was playin’?
J.J.: I forget.
GI: They sent me first to Oklahoma an’ then back to Fort Dix. I gotta gal out in Brooklyn I went to see one night. I was a sergeant an’ they busted me for it.
J.J.: Why?
GI: AWOL. See, she had a kid from me an’ I wanted to see both of ’em before I came over here. Didn’t know if I’d ever come
back again so, I wanted to see 'em. I made out an allotment to her.
J.J.: That's tough, being busted for that.
GI: I don't blame 'em. Gotta have rules in an army. I'm a corporal now.
J.J.: How do you like it here?
GI: All right—'cept not many colored boys over here. Ya get lonesome sometimes.
J.J.: How do the English treat you?
GI: Oh, hell, they treat ya fine. It's in the camp and around we get all the trouble and riots.
J.J.: You mean with American soldiers?
GI: Yeah. We had three officers resign last week. They didn't want nuthin' ta do with us.
J.J.: White officers?
GI: Yeah. Lotta them white boys still look at us like we ain't nuthin'—just ta shine their shoes. They walk away from me when I walk down the street. They go out when I come into a pub for a drink. They change their seats when I sit down in a movie. . . . [At that precise moment, two drunken American sailors staggered up to us. One of them plopped his arm on the corporal's shoulder and said, "Hey, Darkie, we're broke. Could you let us have some change?" Without a second's hesitation the corporal reached in his pocket, took out a half crown, and dropped it in the white sailor's hand. There was a pause, then he continued]: I have a friend came over here in 1936 with a band an' married an English girl. I was talkin' to them one day. He went across the street to get a paper, I stayed talkin' to his wife. Three white American soldiers came by, seen me talkin' to a white girl, an' they ripped her furpiece off an' tore it to pieces.
J.J.: Do you go into any of the American Service clubs here? Red Cross, and so forth?
GI: I just keep by myself. I don't go lookin' for trouble no more. But sometimes when I drive a truck down from Birmingham where I'm stationed, I have to stay in London overnight, so I
got to a British soldier club an' they put me up. At the American clubs when they do give you a bed they make ya feel they don' wanna.
J.J.: How do most Negro soldiers feel about the war?
GI: I think we feel it don' matter much what happens. We just know we have ta fight so we fight.
J.J.: But you feel much more comfortable in the company of English soldiers?
GI: Sure, man. They drink with ya, they talk with ya. There ain't no difference with them. I'd like to stay here after the war. 'Cept the United States is still your home, an' ya have a feelin' ya wanna get back to your home no matter how bad things are there.
J.J.: Well, I hope it will work out. That's one thing this war is supposed to be about. So long, soldier, I have to run along.
GI: Take it easy. An' if ya ever get up around Sheldon, Birmingham—that's where I'm stationed—stop in an' have some chow with us.
J.J.: Thanks, I will.
I phoned Corwin in his room, told him of the dialogue I had just recorded. I said that I believed it important enough to incorporate in his next script. He immediately came down to the Savoy lobby, read it, and agreed with me that it simply and eloquently expressed the feelings of the average Negro with the American Expeditionary Forces in England, and should be reported to the people back home; he said however that Ed Murrow would have to approve it.
I had, of course, known of Edward R. Murrow as a famous and courageous radio correspondent who had flown dangerous missions with the Air Force over Germany and was constantly putting his life on the line to bring CBS listeners accurate and vivid pictures of the
landscape of war. Every evening, along with millions of other Americans, I had ritually tuned in and thrilled to his cryptic opening line, "This is London," followed by the news in measured words and aggressively mellow tones that plowed, undaunted, through the hostile shortwave atmospherics. It was not only his voice that hooked listeners. There was something special about this man, and people sensed it. I believe they basically responded to his great honesty and integrity. And his deceptively subdued manner concealed an enormous capacity for moral indignation—as I personally discovered on this, and a future occasion.
The next morning Corwin and I met in Murrow's office. I showed him my dialogue with the corporal. His eyes gleamed, he banged a fist in his palm, and said, "Let's do it! Let's raise a little hell back home!" I was greatly pleased at the prospect of contributing something extra to the series. As he poured us each a whiskey I had my first long look at this interesting man, with the inevitable cigarette dangling from his lips. I think my strongest impression was that of superbly controlled tension. In repose, his face had a brooding, Lincolnesque sadness that would quickly dissolve in the sudden flash of his warm smile.
Although Murrow was a man of action and a fighter for what he believed in, I sensed an undertow of pessimism dragging at his spirit. As chief of CBS's European Bureau, he lived war day and night. When I asked him what he did to unwind, he gave me a rather surprising answer. "I go back to the Greeks," he said. "Right now I'm rereading Socrates and Plato. I always find something there to hang on to."
It struck me as strange that in the midst of the carnage and despite his commitment to the defeat of the Nazis, Murrow felt the need to search out support for his own personal faith. He showed me a snapshot of his small son. "To take him fishing is more important than anything else," he said.
The next day he told us that he had had second thoughts about using my scene. He decided that this would be the wrong moment to "raise a little hell back home," that a unified home front was more urgent at this time than stressing a divisive issue. Deferentially, I disagreed, and advanced a rather abstract argument about the military value of truth. But it was his honest conviction, and he was firm. He suggested I work the material up into an article for publication. "But don't wait until you get home," he said, "or you probably won't. Write it now while you have your full load of anger." I followed his advice. (A few months after I returned it was published in *The Nation*, under the title, "Jim Crow Goes Abroad.")*
The incident stimulated an urge to write something of my own for radio, and I began to make more notes on my experiences, intending to make something of them—I didn't know quite what—when I got back.
While jotting in my notebook on the beach at Dover, I felt a sudden, heavy hand on my shoulder. I wheeled around and looked up into the face of a policeman, who politely demanded to know what the hell I was doing there, sketching the beach defenses. I showed him my papers and assured him I was with CBS radio and was
* December 5, 1942.
only writing my impression of Dover’s famous white cliffs. “You better not do it around ’ere,” he said. “You’re libel to hear a loud suckin’ noise and find yourself in the clink.”
Dover was strictly off-limits to all but the armed forces and the native population, most of whom stubbornly refused to leave, and those with special permission. I had told Murrow of my desire to visit England’s most famous front-line town, and he had arranged it with the Ministry.
This incredible little community on the English Channel was only twenty-one miles from the enemy. On a clear day, with field glasses, you could see farmers working the land in France. This proximity, and the fact that it was one of Britain’s most important naval bases, meant that Dover saw more continuous military action than any other theater of World War II. Hardly a day passed without air raids, shelling, dog fights, ack-ack, convoy battles, motor torpedo boat attacks, or exploding mines. The waterfront bristled with barbed wire and anti-aircraft guns. The unhealthiest-looking seashore I ever saw.
The strongest impression of my day in Dover was of the quiet heroism of the residents.
The white chalk hills held, probably, the safest air-raid shelters in the world. A honeycomb of spacious, well-stocked tunnels, some more than three miles long, could accommodate the entire Dover population of 20,000. Those who were bombed out used them for homes, but most residents wouldn’t go into them during alerts. After living for three years in a constant state of alert, they developed a kind of therapeutic fatalism. I asked a Dover butcher if it wasn’t foolish having such splendid shelters and not using them. He answered: “Good Lord, man, do you know we have sometimes ten or twelve alerts in one day. Do you
know what that would mean if we went to the shelters each time? We wouldn’t get a bloody thing done. We must carry on our work under fire just as our soldiers do. They don’t leave their gun positions when they’re attacked.”
I also talked to the postmaster of a demolished sub-station along the beach. An old man of eighty-one, he had gathered a few boards and built a little shed in the middle of the ruins where he continued his postal services. I asked why he didn’t continue his work from the safer main post office up toward the center of town. He shook his head vigorously:
POSTMASTER: No sir! See those five or six houses up the beach?
J.J.: Yes.
POSTMASTER: That was a solid row once—of about fifteen.
J.J.: Bombs?
POSTMASTER: Those empty spaces were shell hits. Well sir, several old women live in those houses. They’re between seventy-five and one hundred years old. One old gentleman is one hundred and two. They live on pensions. We’ve tried a hundred times to get them to move, but they just won’t budge. Now, they’re too old to walk up the hill to the main office. Somebody’s got to stay down here with a place they can come to every week to get their pension checks, and to give them their cup of hot chocolate.
When I asked some Doverites why they hadn’t evacuated when the government asked them to, some answers were:
MAN: I’ve been dive-bombed, high-bombed, machine-gunned, and our house was brought down around us by a shell, but we’re sticking it until we win, and then my wife and I are going on a jolly good holiday.
WOMAN: This shelling isn’t nice but we can stick it.
OLD WOMAN: I like this town. I won’t move away for no one. And I want to tell Mr. Hitler that if he steps on the bulldog’s tail—it’ll bite him.
Many Americans mistake British imperturbability for coldness. They say they’re without real emotions. I confess to having been a bit shocked at first by what seemed their almost morbid custom of understatement. For instance, this snatch of conversation I had with a young Tommy:
TOMMY: My aunt had a very nasty experience the other night.
J.J.: What happened?
TOMMY: Jerry was over and dropped one on her house.
J.J.: A direct hit?
TOMMY: Yes.
J.J.: Was she badly hurt?
TOMMY: Blown to bits.
Almost like a grotesque vaudeville sketch. As was the seeming indifference of the Dover Air Raid Warden as he told me: “Yes, I was standin’ ’ere talkin’ to Joe, an’ came a crump and a smack an’ old Joe’s head was blown clean off an’ landed right at my feet.”
Speaking of vaudeville, my doubts about the British were resolved when I went in to see a show at the Hippodrome, Dover’s gallant little front-line theater that had carried on since the war began, come hell, Hitler, or high water.
As I entered, a strip-tease artist was doing her stuff. She had removed all her clothes and was coyly holding a loose black cloth in front of her, as she sang in a squeaky voice and with exaggerated naïveté:
Only a rose in my hair—
No pretty gown to see.
But you don’t seem to care.
What do you see in me?
But I was fascinated more by the audience. Not a hoot, not a whistle, not a “Take it off!”—not a sound out of that packed house of English Tommies and Tars. It was like a church. At that point I was almost convinced English blood is diluted with ice water. Then, teasingly, the lady stepped down three steps into the audience. Slowly, deliberately, she took the rose from her hair and held it out to a soldier in the front row. Closer and closer she came—silence. Then a wee small voice in the back said, “Grab it!” The entire front row of men jumped from their seats and lunged at her, but, being an artist, she stepped nimbly aside and ran back to the safety of the stage. The legendary English “reserve” had finally succumbed to the impetus of that one tiny voice. My faith in the English was renewed.
I stayed overnight in a tavern on the edge of a cliff overlooking the English Channel, run by a Mrs. Moore and her twelve-year-old daughter, June. The Battle of Britain had mainly been fought in the air directly above them. Mrs. Moore described some of what they lived through.
“British pilots over the Continent, trying so desperately to get back home, would so strain their engines that they’d overheat and explode and fall all around our place. Many who just pancaked in crashed and died.”
She told me that the Nazis never bombed the tavern because it was a good landmark for their raiders. Little June became such an expert on the different types of aircraft that the Ministry of Defense would frequently telephone her and ask her to identify Nazi planes that crossed the Channel. She knew every plane the enemy had and could even tell them apart from the sound of their motors.
That evening I stood outside with June, on the highest point of the highest cliff, and for the first time saw Nazi guns in action as the quick, sharp flashes of their anti-aircraft fire stabbed the black night on the French side of the Channel. June was talking plane talk, trying to make me understand the meaning of wing measurement in relation to bomb load and how the displacement of the fuselage in certain kinds of craft was important in relation to... Suddenly she interrupted herself, looked at her watch, and let out a little cry.
"Oh, you must excuse me," she said. "I do have to run. I'm late for the cinema. Errol Flynn is playing tonight in Captain Blood!" And she ran off to the real excitement in her life.
I left England on September 14, 1942, steeped in impressions, and with the deep conviction that under that British reserve were other great reserves, of physical and psychic strength, which would see these people through to victory.
Flying home in a Pan American Clipper ship (the first transatlantic passenger service) was much more comfortable than the way I had come, cramped in the crude belly of a Liberator bomber. Most people don't know how luxurious those early flying boats were. Taking off and landing on water, they had many of the accommodations of today's flying hotels—double-decked, a cocktail lounge, and full-length beds that folded out if one wished to sleep. The flight took twenty-seven hours and was most pleasant—except for one constant irritant—the man in the seat next to me. Gray-haired, around fifty, he loved to talk. Especially did he love to tell jokes, and his supply was inexhaustible. He was a compulsive entertainer, totally insensitive to my hollow responses. My head was swirling with images of what I had seen and done in London, but he went on and on, even when I closed my eyes and pretended to fall asleep. There were moments when I wanted to scream, "Goddammit, please, sir! Let me alone with my private thoughts!" But I just couldn't bring myself to say that to the man. After all, it was Al Jolson.
A soft bump and a long swish: we had landed in Flushing Bay, at LaGuardia Airport. Back to beautiful, unbombed New York. Reporters and photographers clustered around, and flashbulbs popped as we disembarked. Not only for Al Jolson, who had been entertaining American troops all over the British Isles; everyone on that plane was newsworthy, for flying the ocean in those days gave one automatic celebrity status. In fact, so few had done it that those who had were considered members of an elite, unorganized organization called The Short Snorters. The membership card was a dollar bill signed by one's fellow passengers. Why the title? When two members met anywhere in the world, at either's request, they were supposed to have a short snort (a quick drink) together. For a long time afterward I kept hoping I would run into the peripatetic Eleanor Roosevelt, so I could flash my dollar bill at her.
The day after my return, William Paley, president of CBS, invited me to his office to give him my personal impression of things in war-torn London. The latent reporter
in me urged him to send me to Africa and other fronts with the newly invented portable "wire" recorder to record interviews with American soldiers. He promised to think about it.
The success of the *American in England* series, and the attendant publicity, greatly increased my prestige. It brought an invitation to read a poem at Carnegie Hall about artists who had died fighting Fascism (which was to get me in great trouble years later) and it also brought me a lot of work, which I sorely needed. For thanks to my great head for business, my London adventure had actually ended up costing me money.
In those days—1942 and 1943—the airwaves were saturated with dramas, and I began getting calls for most of them. Soon I was averaging twenty to twenty-five shows a month. To give you an idea of their variety, here's a list from my records of a typical month in 1943:
*Joyce Jordon, Girl Interne*
*Inner Sanctum*
*Grantland Rice Sport Stories*
*Mr. District Attorney*
*Out of the Shadows*
*Broadway Matinee*
*Bulldog Drummond*
*Community Chest drama*
*Labor for Victory*
*The Thin Man*
*Famous Jury Trials*
*Superman*
*Reader's Digest*
*Front Page Farrell*
*True Story*
*Chaplain Jim*
*Gangbusters*
Counterspy
Believe It or Not
New World a Comin’
Words at War
Men of the Sea
Stella Dallas
This Changing World
Charlie Chan
The Goldbergs
The Deerslayer
The March of Time
There were also a number of programs on the air that purported to be non-fiction: *My True Story, True Life Stories, Aunt Jenny’s Real Life Stories*, etc. They weren’t. But they dealt with basic emotions and happy endings, and so were among the most popular shows on the air.
The *Radio Reader’s Digest*, a prime-time evening hour, was an exception. Each week it did relatively authentic dramatizations of real-life stories from the *Reader’s Digest*. One evening, however, there was a side plot no one bargained for. The scene was a hospital operating room. To feature the effect of the patient’s heart beating, the director had the sound effects man press a stethoscope against the actor’s heart, while holding the listening end very close to the microphone. The “thump, thump, thump” was most effective when integrated into the dialogue and story.
As the show signed off the air, the telephones at NBC began to ring. There were twenty-one calls, from twenty-one doctors, all over the United States, all urging the actor whose heartbeat was broadcast to rush immediately to a hospital. All twenty-one doctors had detected a malfunctioning heart. The actor heeded their advice. An electrocardiogram confirmed his condition; quite possibly his life had been saved by the twenty-one alert professionals. He was lucky they were tuned in. But then, with an audience of millions, there's always bound to be a doctor in the house.
One day in 1943, as I was leaving a CBS studio at 485 Madison Avenue after doing a show, who should be waiting for me in the lobby but Tom Ashwell.
What had happened to the big job at WXYZ in Detroit? He explained that his creditors from the West Coast had finally caught up with him, and their continual harassment had made it impossible for him to continue. But he had big plans and a number of offers in New York, including one to develop and produce a soap opera. For the moment, however, he was slightly strapped, and could I let him have ten dollars?
He asked for it without seeming to beg or demean himself, oblivious to the wrenching he had given my life eight years before. Within five minutes he had practically convinced me that losing his job as program manager of WXYZ had been another fast step up the ladder of success. Well, he had once said he would make it by being different. I gave him the ten bucks and wished him well.
After his return from England late in 1942, Norman Corwin had continued to concern himself almost exclusively with the war, and he continued to cast me in most of his shows. One, *El Capitan and the Corporal*, I fondly remember because of a special effect achieved during rehearsal. I played a soldier who falls in love with a girl on the train carrying him to war. The romance became urgent
because he didn’t know when, if ever, he would return. Katherine Locke (who later became Mrs. Corwin) played the girl. There was one scene that depended largely on sound effects—when the train had a short stop at a station and the soldier and the girl got out and somehow drifted away from the right track. There was much frantic running up and down stairs to different platform levels, calling out each other’s name, as the train was about to leave. Two sound men—one with high heels—running in place on a concrete slab—didn’t paint the precise sound picture Corwin wanted. We were in the basement studio of the CBS annex on 53rd Street, and just outside the door were stairs leading to the upper floors. Corwin decided to make them work for us. He placed low microphones on the steps, and others on several floor landings. This is how the scene played: I was narrating the story at a standing microphone in the studio. When I came to this scene I was given a hand mike by a little man, who (as I continued to read) guided me by the elbow out the studio door to the foot of the stairs. There, I gave him back the hand mike, which left me free to run up the stairs, calling out to Katherine who was on an upper level. She called out to me as she ran down the stairs. We both ran up and down several times, adlibbing, “Where are you?” “Here I am!” “Where’s the train?” etc. The strategically placed mikes picked up our voices and authentic footsteps in proper perspective and made the action vividly clear to listeners. As the story returned to narration, I was again given the small hand mike, and as I spoke, reading from the script, was carefully led back into the studio, where I switched over again to the standing microphone. A lot of trouble for an effect that
only lasted a few minutes? No question; but that's one of the reasons Corwin had no peer in radio.
He also had few in the fine low art of punning. A man of words, he loved to play with them, and occasionally got off a really good one. Once, during a rehearsal, I asked to be excused to go to the men's room. "Of course," Corwin said. "I always insist that my actors mind their pees and cues."
A double-barreled masterpiece.
Although I was kept busy on a great variety of dramas, a restlessness set in. The strong meat of my adventures in England made Nick Carter, Master Detective seem mightily irrelevant. The problems of Our Gal Sunday (Can a coal miner's daughter find happiness married to England's richest lord?) reminded me of the real problems of the London population facing instant extinction from the devastating buzz-bomb attacks Hitler had just launched. My memories of the heroic people of Dover wouldn't quiet down, and the notes I made of my day there kept bothering me to organize them into some kind of statement. Finally I did. I wrote and narrated a half hour documentary called Dover Diary. The American Broadcasting Company produced it over their Blue Radio Network on July 10, 1943.
Radio was an especially congenial medium for documentaries. Its flexibility allowed for rapid transitions and quick statements. Time could be telescoped by a montage of sounds; cold statistics conveyed by an actor projecting his voice dispassionately with equal emphasis on all syllables. Figures could be "billboarded" or underlined by putting an exclamation mark in the voice—the vocal equivalent of printing.
A great many documentaries were produced during radio's vigorous years, mostly by the networks, in non-commercial hours, set aside under federal law for public-service programming. During the war years, the Office of War Information (OWI) also produced a great many which were beamed abroad as propaganda.
7. If Memory Serves...
Since I was now earning my living entirely from radio, I decided I owed it my best efforts. Instead of complaining about how it spoiled good actors I tried to bring to it an additional dimension.
From time to time I had experimented with learning my lines, wherever possible within radio's short rehearsal periods. During my stay in London I had been invited by the BBC to co-star with Constance Cummings in a two-hour radio version of Sidney Howard's play, *They Knew What They Wanted*. I was delighted to discover in Miss Cummings a kindred spirit who also had an aversion to acting from a script. With the understanding and encouragement of Val Gielgud, our director, we both memorized our roles. We related to each other as on a movie set or a stage. We moved about the studio with complete freedom to accommodate our impulses. When an exit was called for, we walked away. When we were supposed to touch, we touched. And the sound of a lover's kiss was not produced by a sound effects man sucking on the back of his hand. The engineers set up an overhead boom microphone
that followed us around, instead of a stationary one like those in general use.
It was a most interesting experiment, and seemed to confirm my theory that if an actor were freed from his script and could better contact fellow actors on a visual as well as an oral level, it would stimulate truer emotion, enrich his performance, and give him more release as an artist. It did for me.
I found it fairly easy to do if the roles were not too long; and, except for the leads, most weren’t. They generally amounted to a paragraph or two. I discovered three or four hours of rehearsal were enough for almost any actor to stuff that many lines in his head—if he applied himself. And so I began to memorize regularly as a working method. For short rehearsal periods, I developed a compromise technique of learning as much as I could, and marking places in the script where I was unsure, so my eye could quickly find it.
I was considered a bit of a nut by my peers. Why go to all that trouble when it really wasn’t required; when it was so simple to read from the script? And the time between cues could be spent knitting or reading the paper—if you turned the pages quietly enough not to be picked up by the mike. But these were my fervent years, and I was determined to make my contribution to art and progress. I wrote another article setting forth my views. It was published in the Sunday New York Times on August 20, 1944:
A PLEA FOR BETTER RADIO ACTING
By Joseph Julian
Why is a radio actor? You almost never hear “He is a theater actor.” True, they say “He is a movie actor,” but they mean
"He works in the movies." But when they say "He is a radio actor" they don't always mean he works in radio. There is frequently an insinuated note of opprobrium in the term. Radio actors are not taken seriously as artists. This, I believe, is largely due to the fact that radio actors don't take themselves seriously as artists. Nor does the industry.
Radio writers have made tremendous strides. They're constantly experimenting with new techniques and have evolved many original, interesting ways of presenting their ideas. Directors, too, have pushed back their horizon and made room for a greater play of imagination. But radio acting seems to just keep meretriciously and phlegmatically rolling along.
Although radio offers more creative scope to the writer and director than to the actor, who is more inhibited by its mechanics, there is plenty of room for improvement between the present general level of radio acting and the limitations inherent in the medium itself. But this improvement will be effected only when actors, directors, and engineers cooperatively toss out some of their fixed notions of studio production.
Directors and engineers must develop a larger understanding of an actor's approach to his work. They should try harder to understand the creative acting process—not only the objective results. And they should do everything technically possible to facilitate this process by helping the actor create, in the studio, the greatest possible reality for himself of the scene he is playing.
**THE SETTING**
For example, I have discovered most actors deeply hunger for "contact" with their fellow performers at a microphone. Very often an engineer or director, in order to get a better voice balance, will have them play, let's say, an intimate love scene on separate mikes six feet apart. Even though it might achieve a better physical voice balance, the inner emotional balance of the performers suffers, and the inner honesty of a scene is more important.
Although not practical in every dramatic show, especially
those with many quick changes of scene, they could in most cases prepare for the actor at least an indication of a *mise en scène*. If the setting is the family dinner table, a mike should be put on a table with the actors sitting around it. If it’s a hospital bed, let the actor lie down and bring a mike to him. Let him use actual hand properties whenever possible, etc. A few directors work this way, but unfortunately to most it’s superfluous nonsense and a waste of time. Actors, however, and listeners, know the difference.
Now, what can the actors themselves do to help their profession grow up?
There are two fundamental ways any artist can look at his profession. He can either try to raise its standards by constantly striving to improve his own work, or he can merely aim at supplying a market. Radio has mostly market suppliers. Of course there are actors on the stage, and screen, too, to whom acting is primarily a business, but there is also a vanguard of serious-minded artists who work at their art. There are professionals in the theater who, even while working in Broadway shows, band together in their free time to discuss and study how better to use the tools of their craft.
**WORDS VS. EMOTION**
But as far as I know there is not and never has been a comparable group among radio actors. There are a few exceptions, but most radio actors, year after year, gallop from studio to studio, “leaning” on their scripts and shooting at nothing higher than a “good-enough-for-radio” performance. And while they develop a highly specialized facility for quick work, their performances are usually “indications” of something, rather than “something” itself.
Most roles in radio dramas are small ones. Generally they wouldn’t add up to more than a few solid paragraphs. Surely these parts could be memorized in a few hours. Even actors with larger roles could work out a compromise technique of memorizing as much as possible. Memory is not as noncooperative as most of us believe. It only needs exercise to function well and with a little training can do amazing things.
UP FROM THE WISECRACK
Radio actors are people, too, and if they really identify themselves emotionally with the character they're playing they'll find their memories can do a pretty reliable job with the dialogue. I know a few actors who have experimented along these lines, and found themselves giving performances more satisfactory, both to themselves and to listeners, than they ever dreamed possible. There should be more experiments of this sort. Radio actors should free themselves from their bondage to scripts, and with the cooperation of directors and engineers learn to make their basic adjustment to the dramatic objectives of the story instead of to a microphone.
This, I believe, is the direction we must move in if our profession is to be rescued from its present status at the short end of a wisecrack.
There were letters to the editor on this one, too—mostly from actors—but nothing as explosive as from the Variety article of three years before. One actor vented his regard for my theories and talent in a long poem about his career in the theater and where do I get off to teach him anything.
... I read in the paper on Sunday
How most radio acting stinks,
Written by a person
Whose actin' is wors'n
Even he or anyone thinks.
Oh I've taken parts as I've found 'em.
Just like Joe Julian;
But the more that I see of the others
The less I'll settle for him.
It would help him to do some thinkin'
Before memorizing a radio show,
And be warned that a lot
Think he’s not very hot
And won’t learn about actin’ from Joe.
As a proselytizer I think I was a total failure. I doubt if I made one real convert. Looking back, I can see that my crusading zeal blinded me somewhat to the disturbing effect my memorizing had on many actors with whom I worked. They resented it for several reasons. It implied a criticism of their work. It had a smart alec “Look ma no hands” aspect. And there was the matter of cues. I always made a point of trying to give exact cues. But memorizing per se has risks, and actors were frequently fearful of getting wrong or sloppy cues from me that would spoil their performance. I was aware of this and conscientiously tried always to give the cue that was in the script.
One evening, I failed. I was working *The Quentin Reynolds Show* on NBC, a program that dramatized the exploits of that renowned war correspondent. After rehearsing all afternoon, we had an hour’s break before airtime, during which Reynolds invited me for a drink. (I had known him from the Savoy Bar in London, where we used to sit with RAF fighter pilots as they exchanged accounts of the day’s dog fights, illustrating them with a graceful ballet of hands.) I had already learned the lines for my scene that evening, but because of the few drinks, I decided I had better not risk doing it from memory. So, when we later went on the air, I conscientiously read every single word from the script—and fluffed all over the place.
On another occasion my memorizing scared the hell out of Frederic March. It was a big Norman Corwin production over CBS entitled *Untitled* (yes, that’s right), and I
had a long, block speech as a soldier returned from war describing the horrors that had happened to his buddy. We rehearsed for a couple of days, which gave me time to fully learn the speech. I felt secure enough at airtime to go to the mike without the script in my hands. I usually held it at my side, or behind me to resort to in an emergency. This was the first time I dared "go it alone." March's mouth dropped open as I placed my script on my chair, and walked empty-handed to the microphone. I looked up to the glass control booth, where Corwin stood masterminding the elements of the show. A slow wave of his hand signaled the orchestra to segue to soft introductory music; a finger jabbed at the sound man started the footsteps; a nod of his head to me and I began.
It went well. Not only didn't I fluff, it was one of the really full moments I experienced in radio acting.
After the show, March told me how nervous I had made him. He had seized my script and with his finger traced each word as I spoke, ready to thrust it to me if I "went up." He remarked, as others frequently had, about my phenomenal memory. There was nothing phenomenal about it. I had had two full days to learn a one-page speech. In the early days of stock companies, actors learned full-length plays in less than a week.
However, I do have a theory about memory in relation to actors. I believe that if you serve it properly it will serve you. This applies to learning roles in all media. Actors can best learn lines by not trying too hard. The intention of the lines is more important. After reading through the script one or more times, the actor should first learn why the character he is playing says what he says. What is he trying to achieve? What is his intention, his action? Actions speak louder than words, and they're easier to memorize. And once he is clear about his action, the words, which have been quivering on the periphery of memory since the first reading of the script, are much more likely to jump into full consciousness voluntarily. Actors who have the most trouble memorizing are primarily those who learn the words first. These actors are lost if their memory suddenly fails. But the actor who is clear about his intention is always able to substitute another appropriate word or phrase to keep the scene alive and moving. If this smacks of Stanislavsky—so be it!
Almost a year and a half after its production, my Dover Diary brought me an offer to go to the other side of the world.
In December, 1944, Robert Saudek, Public Service director for the American Broadcasting Company, informed me that he had had an inquiry from an official of the Red Cross, who had heard and remembered my documentary and thought perhaps I might be the person they were seeking.
The war in Europe had ended, and the world's full attention was now on the Far East, where the army was fighting its way up through the Philippines toward Japan. The Red Cross public relations department had a man with them reporting Red Cross activities. His recordings were played over a group of U.S. radio stations known as the Associated Network, but apparently they were on the dull side. My job would be to take over and somehow liven up the program. I suggested making it a straight reporting job, not hard news—but of the human side of the GI experience, with unobtrusive plugs slipped in for the Red Cross.
They agreed. I would have carte blanche to travel with and live off the army and report on whatever interested me. A special arrangement was made for the American Broadcasting Company's Blue Radio Network to carry whichever of my stories appealed to them, on their Sunday News Roundup.
The only running role I had at that time was in the serial *Lorenzo Jones and His Wife Belle*. Organizing my affairs for my departure, I asked the Hummerts if they would, instead of replacing me, write the character out until I returned. Patriotically they agreed to do so.
Since I would officially be a Red Cross employee, I had to go the Washington headquarters for a physical examination and to fill out an application form.
The capital was full of amateur bureaucrats in those hectic days, and things often took a long time to go through "the works." I went back to New York and accepted radio acting jobs for the next five months, until word finally came that my application had been approved. I was to report immediately to Washington, where I would be given my embarkation orders.
Arriving in Washington, I was told that, although all my other papers were in order, my correspondent's accreditation had not yet come through and I would have to wait until it did. The wait lasted a few more months and stretched my patience to the breaking point.
I went back to New York several times to do a radio show, but since I was now in uniform and on the Red Cross payroll, I felt I owed them this time, even though I had been engaged only as an overseas radio correspondent. I offered my services to their publicity department.
They had me visit Red Cross installations and write up for their press releases stories about their activities in Washington hospitals, which at that time were crowded with war casualties. I vividly recall two of these occasions, to which I reacted strongly: one, with horror, as I went through a ward of hopeless basket cases, looking into the despairing eyes of these mute and totally helpless fragments of human beings; and later, in the recreation room, with hope—as I watched an audience of about fifty lesser paraplegics, mobile in wheelchairs, listening raptly to a concert by the Russian-born cellist, Piatagorsky. Most were ordinary GIs who had never attended a classical concert in their lives. You could feel the music strengthening them.
Although I managed to keep busy, the delay was terribly abrasive. I had already had my anti-malaria shots and was raring to go.
Then a funny thing happened on my way to the Philippines. The war ended. After all that waiting, General MacArthur pulled this fast one on me. On August 13, 1945, I had gone up to Baltimore on a visit. The next morning I was waiting on a busy corner for the return bus to Washington when news of the Japanese surrender hit the streets.
V-J Day! The end of World War II! I never saw such happiness! Pure, spontaneous, uninhibited joy. Delirious, screaming, shrieking, laughing, crying: people dancing in the streets. Strangers hugging each other; people piling over automobiles, moving and stationary. A cacophony of yelling, horn blowing, beating on dishpans, and the sirens of fire engines. Soldiers and sailors grabbed girls and
kissed them; soldiers and sailors kissed one another—girls kissed soldiers and sailors: it was love, not war. After giving myself to it to the point of exhaustion, I jotted down these snatches of remarks overheard:
AN ENGLISH SOLDIER: Never have I seen people exuding such good will, not even on Christmas.
A YOUNG GIRL: I don’t mind being kissed by someone my own nationality. But this Frenchman grabbed me and kissed me till I was ready to sock him before he let go.
AMERICAN SOLDIER: This is a happy day for me, all right. Just came back from four years in the South Pacific.
ANOTHER SOLDIER: Look at these people, they’re insane. I lost two brothers in this war. I don’t feel much like celebrating. Do you know where there’s a church that’s open. I want to pray.
Instead of going to the Philippines, I was asked to go directly to Japan with the occupying troops, as soon as my accreditation papers cleared MacArthur’s press office—which took another month, and even then only after the Red Cross pulled some strings. MacArthur didn’t want any more correspondents with him. He didn’t like them. They made fun of his profile.
If I had been afraid flying to England in a bomber, it was as nothing compared to my cowardice in crossing the Pacific. This time too it was a bomber, but one that hadn’t been converted, thus much more uncomfortable. I was the only passenger. The flight was divided into three large chunks of fear. The first, somewhere in the black night between Seattle and Guam, occurred when one of the three-man crew burst out of the cockpit with huge beads of sweat on his forehead. Pushing me aside, he began to pull up the floor boards of the fuselage. I asked what was the
matter. He didn’t answer, but crawled down into the little compartment he had uncovered, and sniffed. “What’s the matter?” I repeated, already terrified by his behavior. “Fire!” he said. “A red light on the dashboard has flashed fire!” I trembled so hard for the next half hour, as he sniffed out every inch of that plane, it’s a wonder I didn’t shatter my bones. I was worried; my life didn’t flash before me the way it was supposed to. I had a few painful thoughts of my family, but it was mostly sheer tension and terror. I remember saying over and over to myself, “This is it, this is it,” and speculating on the precise moment I would die when I became part of a flaming crash into the ocean. Finally, after several conferences, the crew decided the plane was not on fire, that a short circuit in the fire-reporting rheostat had caused the light to flash on. The pilot cut the wires so he wouldn’t be faced with that blinking red light for the rest of the trip. Deliverance!
The next horror occurred hours later. The navigator told me to hang on to something and not be afraid. He wanted to experiment in determining his position by radar. He went back to the cockpit and the plane began a series of twists and turns, dips and steep pullouts that had me banging around from one end of the fuselage to the other. I grabbed some pipes running along the interior, but I wasn’t prepared for these sudden, crazy maneuvers and lost my grip. “Don’t be afraid,” he said. Hah! Tell it to your subconscious. I ended up with new knots in my stomach, and a body of black and blue.
My third attack of fear came several hours out of Guam toward Tokyo, when I was honored by a visit from the pilot, a tall, slow-talking Texan.
“Listen,” he said, “we’re going to stop off in Iwo Jima.
If you're asked any questions, you don't know anything, okay?"
"Okay," I said, "but why: Aren't we supposed to fly direct to Tokyo?"
"Well," he drawled, "we just wanna pick up some cigarettes." He said he had radioed the airport that he had an emergency, and they had granted him permission to land. "We'll be going in on three engines," he said. "But don't be afraid."
"C-c-can you do that?" I asked, trying hard not to be afraid.
"Don't worry," he said. "I know my ship, I could even bring this baby in on two. We'll just be riding at a little different angle and have a heavier yaw."
With my nose to the window and my heart in my mouth, I watched him feather one propeller. The plane tilted heavily to one side. I fervently hoped his life was as precious to him as mine was to me. A crowd of soldiers, a crash car, and a fire engine were waiting as we touched down. The pilot modestly accepted congratulations for bringing the crippled plane down safely. He thoughtfully stroked his chin and made suggestions as to what could have happened. And as a team of mechanics pored over the conked-out engine he suggested we all have some chow. My God, I thought, what some people won't do for a cigarette.
After eating, I tagged along as the crew sauntered over to the PX, where they bought, not a pack or two of cigarettes, or even a carton or two. No. They bought as many cartons as they could hold in their arms and balance with their chins. Each carried away at least fifty cartons! What heavy smokers, I thought.
As we returned to the plane the mechanics were revving the motors. They simply hadn’t been able to find what was wrong. They said everything was now working fine.
Back in the air, winging again toward Tokyo, I learned a lesson in Armed Forces’ economics. I learned that not all the huge profits of war are made by armaments manufacturers and other giant corporations of the military-industrial complex. There’s also room for the little fellow who does not have a lobbyist in Washington, or is not even particularly astute. He just has to be able to recognize an opportunity when it bangs on his door.
Take cigarettes, for instance. Cigarettes could buy anything in Japan. They were like legal tender, and the going price was thirty dollars a carton. At PXs, GIs were allowed to buy only two cartons a week for two dollars each. But on Iwo Jima they could buy as many as they wished for two dollars each. Iwo Jima was mostly a barren rock with no local populace willing to trade their goods and treasures for cigarettes, hence no need for the army to ration them. A made-to-order situation for these airmen. They had a very nice little thing going. Little? As I calculated, I realized it ran into big money: three of the airmen bought about fifty cartons each—150 cartons at two dollars apiece—at a cost of $300. In Japan, they would sell them for thirty dollars a carton, netting $4200. On one trip!
And they made three scheduled flights to Iwo Jima weekly. That was more than $50,000 a month. In six months they could clear over $300,000! God bless the law of supply and demand!
8. Welcome Honorable Enemy
My six months in Japan were a very different experience from my stay in England. In England I had been in the midst of war, of bombing; here, although the war was now over, the devastation of the cities was far greater than London. Another surprise was our reception: our deadly enemies, the great "yellow hordes" we had been taught for years to fear and hate, had suddenly become our gracious hosts. The moment American troops set foot on their home soil, the Japanese attacked with a barrage of politeness, deference, and eager cooperation for which we were totally unprepared. It was strange and confusing; surely some resistance was to be expected of a nation that produced 100,000 kamikaze suicide pilots and had fought to the death for every inch of territory they held in the South Pacific. But during my entire stay there was not one reported act of violence to an American soldier. I never even encountered smoldering resentment.
The answer lay in the relationship of the Japanese to their emperor—and in General MacArthur's understanding
of that relationship. There were great pressures to indict Hirohito as a war criminal, but MacArthur wisely decided—to the chagrin of liberals in the United States—to retain him as head of the nation, thereby unquestionably saving many thousands of lives. The people’s profound reverence for their emperor became MacArthur’s most effective tool in administering the occupation. Hirohito told his people to treat the Americans as guests, and they did. Japan was, undoubtedly, the most docile conquered country in history.
The Tokyo I arrived in in 1945 was not the bustling metropolis it is today. It was a city that gave you a feeling it almost wasn’t there: miles of rubble, improvised shacks, and a small number of concrete buildings that had resisted the fire bombs rained down by our B-29s. The only vehicular traffic was army trucks and jeeps such as the one in which I was driven from Atsugi Airfield to the Dai Iti Hotel in the center of Tokyo where I was to stay, and a few rickshaws, pulled along by trotting humans. A dimly lighted street car, crammed with Japanese, rumbled by. Here and there policemen appeared, swinging lighted paper lanterns. Women in brightly colored kimonos, some with babies on their backs, were foraging in the rubble. Clusters of men, women, and children were sleeping on sidewalks, huddled around little fires. The weather was damp and penetrating, but many were barefooted and coatless.
The Dai Iti was a Western-style hotel, built expressly to house athletes at the Olympic Games which were to have taken place in Japan in 1940, but were canceled because of the war. As I registered, the desk sergeant asked my simulated rank. (I was wearing an officer’s uniform without insignia.) He must have liked me because when I told him I didn’t know, he said, “Only majors and colonels are supposed to be billeted here, so I’ll put you down as a colonel.” From then on, whenever asked that question, I always replied, “Colonel.” In my travels throughout Japan, it got me the best accommodations the army could offer—food, transportation, chauffeurs, etc. I was forever grateful to the Dai Iti desk sergeant for granting me my on-the-spot commission.
My first meal in Japan was in the Dai Iti dining room. In vivid contrast to the shambles just outside, it had a lovely, luxurious ambience—flowers on every table, and overhead, flying free between the ledges of the high ceiling, were finches, canaries, parakeets, and other small, exotic songbirds. I was seated at a large round table with four “real” American colonels. It was a good, stateside meal, but unforgettable for the introductory remarks of our waitress. This lovely, virginal, kimonoed, Japanese lass, pencil poised to take our order, bowed, smiled, and said, “American officers full of shit.” There was a moment’s stunned silence at the table, which she quickly filled: “Bullshit kiss my ass! What you have, prease?” Five very perplexed Americans looked at one another until we recognized the heavy humor of some GI kitchen-worker who had doubtless put her up to it, telling the girl, who obviously spoke little or no English, that it meant “good evening, it’s a pleasure to serve you,” or words to that effect.
Talk I overheard in the dining room and lobby indicated the business of the occupation. The hotel was teeming with military and civilian architects of Japan’s future: a couple of majors discussing a survey of Japan’s lumber resources; a woman member of a labor advisory commission telling a public relations officer how difficult it was to appraise the Japanese labor situation because of inflation; the recording secretary of the Allied Commission for governing Japan, explaining his job of keeping minutes of meetings and providing member nations with translated copies; a couple of legal minds tossing fine points of international law at each other in connection with the war criminal trials; a colonel from counterintelligence relating how his men had discovered a huge cache of diamonds in a Japanese attic; an elderly gentleman president of some waterworks in America, who had been sent to rectify flaws in the Japanese water system; an officer of the British Commonwealth Occupation Force discussing Japanese art with a French naval commander; a group of Russian Army officers talking in Russian about whatever Russian Army officers talk about in Russian.
Before retiring that night, I stepped outside for a stroll. I walked toward the only other building left standing in the immediate environment, Shinbashi Railroad Station. It was scorched, dirty, dimly lit, and unheated. As I entered, several hundred of Tokyo’s dispossessed were settling down for the night on the cold floor. Their homes wiped out, they had no other place to go. Young and old, women in ragged, filthy kimonos, with sleeping babies on their backs, drooped their heads as they tried to doze in a kneeling position.
There was a sudden loud shriek. A woman appeared to be beating her small son with a stick as he lay, motionless, on the cold stone floor. Then I saw she was whacking the floor. I found a Japanese policeman and asked if he couldn’t get the child to a hospital. He said all hospitals were so crowded only the police chief had the authority to
do that. But he spoke a few words to the woman who told him her baby was not sick, just cold, that she was beating the floor so he wouldn’t go to sleep and freeze. An old man crawled from his corner, peeled off one of his dirt-caked rags and placed it over the shivering boy.
I found a candy bar in my pocket and put it in the mother’s hand. She rubbed my foot in gratitude. A number of people rose, and bowed deeply from the waist. This was to happen to me several times in Japan. Apparently when a foreigner shows a kindness to a native, even uninvolved witnesses thank him on behalf of the entire Japanese race.
The sun has a profound significance for the Japanese. Their Emperor is supposed to be a direct descendent of Amaterasu Omikami, the Sun Goddess, and the symbol of their flag is a round, blazing sun. As I left the station I found myself hoping the sun would return some of this devotion by shining the next day and shed a little warmth on some of these innocent victims of the war.
The following morning I checked in at Red Cross headquarters, then made my way through acres of ruins, toward Radio Tokyo, from which I was to broadcast my stories back to the United States. On my way down one of the meaningless streets, two small boys were playing baseball. A short distance away, hundreds of ragged human beings were milling about. Approaching, I saw it was an army garbage dump—practically a mess hall for these hungry people.
As I walked along parts of the ruins seemed to come alive—people were scrounging for bits of wood, metal, whatever building materials they could find. I was in the middle of a strange housing project. A scrawny little man,
wearing army trousers and stripped to the waist, was shoveling debris away from a piece of wall. His wife, carrying an infant on her back, was dragging up several sheets of rusty tin that would be the roof of their new home. There were many homesteaders in this rubble wilderness, carving out patchwork hovels of their own. Several had planted gardens, and fresh vegetables were pushing their way up through the rubbish and broken masonry, as though Mother Nature were thumbing her nose at the efforts of Old Man Mars to wipe her out.
Radio Tokyo was the Radio City (village) of Japan: a medium-sized, six-story, modern building. Every inch of it smelled of fish. Every employee was either eating fish or had one stashed in his lunch box.
There were signs at all entrances: OFF LIMITS FOR ALL ALLIED MILITARY PERSONNEL NOT ON OFFICIAL BUSINESS. But there was plenty of official business, army khaki swarming all over the place.
I explored their facilities with great curiosity. Most of the radio equipment was as modern as ours, although rundown. There were sixteen studios, all modern with a single exception: one was designed like a Japanese living room, with Tatami mats on the floor and a small, low round table. The performer would take his shoes off before entering, and broadcast while kneeling on a cushion. This was the studio from which the famous American renegade known as Tokyo Rose had used her sexy voice to try and demoralize and seduce GIs into deserting. Now it was being used by an American actor, Hans Conried, for a humorous chatter program he called Tokyo Mose, broadcast over the Armed Forces Network, which shared these facilities. Armed Forces Radio also rebroadcast many popular
programs from home, such as *Information, Please!* *Edgar Bergen and Charlie McCarthy*, *Suspense*, The Detroit Symphony, and an occasional Norman Corwin show.
American radio stations had some strange-looking gadgets in their sound-effects closets, but some of Radio Tokyo's effects were among the most inventive I've ever seen. Cricket noises were made by rubbing the backs of two small seashells together. Rain was achieved by gently shaking from side to side two large, round fans to which about thirty small dried beans were attached, each by a two-inch length of string. For the putt-putt of a motor boat, the sound-effects man clamped his hand on and off the end of a hollow piece of bamboo. There were several resonant gongs, which play an important part in all Oriental drama, and an enormous seashell with a mouthpiece attached, which, when blown into, produced an unearthly sound used for God knows what.
The head engineer, Kazuichi Fuigi, informed me that throughout the Japanese Isles, aside from 150,000-watt Radio Tokyo, there were eight 10,000-watt stations, twenty-five 500-watt, and fifty smaller ones. The bombings had knocked out line communications between many of them, but they carried network programs via shortwave. There were an estimated 7,000,000 home radio sets in use at that time.
A set owner paid a government tax of one yen per month—a little over six cents, at the then current rates.
All programs began at six in the morning, and all stations signed off at ten-thirty at night.
The Allied authorities had revised Radio Tokyo's program schedules to include round-table discussions, audience participation shows, and especially encouraged listeners to break through their traditional submission to authority by writing letters to the station expressing their own opinions and desires. The reticent Japanese had responded en masse: thousands of letters had poured in. I glanced through some of them, which had been translated—often literally—for the occupying authorities.
Please play light music and story ending in a joke. We live in cold dwelling, so if we can hear interesting drolleries on cold winter night—we hoping to distract our minds by radio.
We like to hear about reconstruction—especially Hiroshima. I think radio is organ of education as well as amusement.
Thank you. My father likes to hear "The Story of Dutiful Child of Snow with Moon."
Your program used to impregnate Japanese minds with American ideas. I don't know how much salary you radio people are receiving, but these hypocritical broadcasts only irritate the people. Let Americans take care of their own propaganda. Are you endeavoring to trample the utterly exhausted people until they become a fourth-rate nation? Do you attempt to make second Philippines out of Japan?
I desire to have radio plays suitable for farmers. I think jokes are most suitable to distract one's mind. Also old story.
Day by day it is getting cold. I like to hear music of friendly Japan and United States please.
I like answer for following questions: What is composition of humans and animals? Water colors? Why snow has certain formation? Why leaves fall from trees? Why can see your breath only in the morning? Why United States people taller than us?
I desire solos on Japanese instrument. Its beautiful sounds in quiet cold long evening makes us forget we are struggling for living.
I would like to hear reading of works by famous poets. Also love songs for girls.
For those of us who farm in countryside, western music makes us dizzy and dull. We sincerely hope you will broadcast more Japanese music.
I would like to hear dramatized biographies of famous chemists.
Please teach to us something make us cheerful. National song.
We like to be like GI but don’t have enough politeness. Rather, what we have is false. Please have radio program to develop our real social politeness.
In these days with shortages of food, why are so many factories on arable land that should be allotted for rice fields? The factories and smaller cities should be removed to the mountains.
We have begun aiming at highly civilized level necessary for the moral nation. New leaders of Japan should not be same persons as those who acclaim the militarism.
I appeal to the authorities for immediate removal of licensed prostitution. It should be immediately abolished for the elevation of women’s position.
How about evening with samisen? I think that would be suitable on cold nights.
When I was middle-school boy, I hated most the course in morals—because the Emperor was unreasonably revered as living God. Feeling it was not right, I was always in great mental agony and seized with great fear. But today I am in a rebellious mood, thanks to Supreme Command of Allied Powers who arranged that we can freely criticize the Emperor System.
The movies of our country should be made by more civilized hands with much poetic spirit, instead of pursuing American nation.
The letters seemed to focus on two major points: the compulsion to escape into old stories, sweet songs, and bright jokes that would distract them from their misery, and a tentative acceptance of their new freedom to criticize their leaders without fear of the notorious Thought Police.
But even though the letters showed that, behind all the agreeable smiles and bows, the Japanese had all the hungers, fears, hopes, and confused emotions of a scrutable westerner, their preoccupation with "face" made it difficult for the occupation forces to establish a working relationship with the population. For one thing, the Japanese would generally answer questions affirmatively, say yes when they really meant no. But it wasn't lying as we know it. It was a ritual politeness—even with each other—to say what they thought you wanted to hear, communicating the truth behind the words in subtle, nonverbal ways endemic to their culture, and difficult if not impossible for foreigners to understand.
Roaming around the country, I found so much that was strange and difficult to understand that, in the three minutes allotted me for each of my five weekly broadcasts, I decided simply to describe what I saw and experienced; rather than attempt any heavy interpretations or analyses, I made up my mind to create a picture of the life of this unique occupation through a mosaic of vignettes.
Norman Corwin had given me the address of a Japanese friend to look up. After driving my jeep through miles of devastation, I arrived at a small, unpretentious Japanese home in the suburbs of Tokyo. I was greeted at the door by Yoichi Hiroaka, the world-famous xylophonist. He had
lived in the United States for twelve years and had been a featured soloist with the New York Philharmonic, the NBC Symphony under Toscanini, and other prominent orchestras.
A small, ebullient man of about forty, with bright gleaming eyes behind heavy double-lensed glasses, he invited me to take off my shoes and come in. He introduced me to his pretty American-born wife, and, as my hands warmed around the cup of hot tea she set in front of me, Hiroaka told me his story.
Before the war he had been doing very well in the United States. His musicianship was lauded and appreciated by the country’s foremost critics. Then came Pearl Harbor. Immediately, all his concert dates were cancelled and he was barred from all network radio programs. The problem of making a living for his wife and baby became acute. His fellow musicians took up a collection for him, but it didn’t last long.
“There was absolutely no way for me to support my family in America,” he said. “The government had begun to round up all Japanese—even the American-born—and put them in an internment camp. I reluctantly chose to return to Japan on an exchange ship.”
I asked him about life under the B-29s, and he said, “How we lived through that hell I’ll never know. This is our third house. We were bombed out of the other two. And the noise those incendiaries made—like a steady torrent of rain. And they were loaded with some devilish stuff that prevented you from being able to extinguish the fires. Since I arrived from the United States, I’ve lost thirty-five pounds, from 140 to 105.”
I asked what effect the war had on music in Japan. “I’ll
tell you this,” he said. “The sound those whistling fire bombs made was in the key of G. Whenever my wife strikes a G-note on our piano, we still jump out of our skins.”
Bouncing along in my jeep back toward the hotel, suddenly I saw in the glare of my headlights a young, kimonoed girl. She was standing in the middle of the road, frantically waving her arms. I jammed on the brakes, and she ran over to me, screaming and pointing to a U.S. Army weapons carrier parked in the shadows on the side of the road. I caught a glimpse of several GIs quickly ducking behind it.
“Get in!” I shouted to her, pointing over my shoulder to the back seat. “Quick!”
She climbed in, pounded me on the back and yelled “Friendo! Friendo!”
I gathered the GIs were still holding the girl’s friend, whom she wanted me to rescue too. But I wasn’t about to tangle with a nest of horny rapists on a lonely highway in the middle of the night. That’s for the movies. I stepped on the gas and cut away at full speed.
But my passenger continued hysterical, crying and jabbering in a Japanese interspersed with an occasional “Friendo, friendo!” as she continued pounding me on the back. Unfortunately I couldn’t make her understand I was not John Wayne, or convince her how lucky she was I had been able to rescue her. My heroism was based on an instant calculation that my jeep could travel faster than a weapons carrier.
I was wrong. Just as I began to relax, I became aware of two large, hostile headlights reflected in my rear view mirror. I stepped on the gas. The distance between us didn’t change. I pushed down on the accelerator as hard as I dared on that rubble-strewn road—we were already leaping along semi-airborne—but the headlights grew larger. It became painfully clear that I couldn’t outrace them, so I slammed on the brakes and came to a screeching stop. Beside the road was a sparsely-wooded area with a thick underbrush. The girl was still sobbing as I pulled her out of the jeep and pushed her toward the woods. She misunderstood my motives and again began to panic. I pointed to the rapidly approaching truck, then to the woods, and pantomimed for her to run like hell. She finally caught on and scurried into the brush.
I climbed back in the jeep just as the big weapons carrier swung around in front of me to cut off my escape and stopped. For a long moment no one made a move. I heard muffled sobs—evidently emanating from the “friend.” I sat stiffly, waiting for them to come at me. My heart was pounding. “At last,” I thought, “you’re going to experience the horror of war . . . at the hands of your own countrymen!” But the soldiers were cautious. After all, I might be a high officer. You never know who’s driving a jeep. One of the men finally got out and ambled over, squinting to get a better look at me. I was wearing an officer’s cap and uniform, but when he came close enough to see I was without insignia—a lousy civilian—he made a disgusted face and signaled the others. Five or six glowering, Texas-tall GIs moved in on me.
“What the fuck’s the idea highjackin’ our girl?” the first one said.
“Where is she?” another demanded.
“Look,” I said, “the girl was scared to death . . .”
"What the fuck's it to you?"
"Where the fuck is she?"
"She was hysterical," I said. "She could have died of heart failure. There are plenty of girls around the Ginza, why do you want to pick on a . . ."
"What the fuck's it your business?"
"Where is she?"
"She musta beat it inta the woods."
"C'mon, let's fan out."
"All right you—get the fuck outa here!"
I did. As this splendid unit of brave American soldiers fanned out in the tall underbrush to flush out their quarry—one desperately frightened little Japanese girl.
While every army has its share of monsters, there were relatively few such incidents during the occupation. Japanese women, trained to believe their highest mission in life was to serve, flatter and entertain men, charmed most GIs into their best behavior.
And, while the majority of American males may be chauvinist pigs at heart, their patronizing politeness to women actually gave a big nudge to the meager women's liberation movement in Japan. This may sound like Women's Lib in reverse, but the smiles of Japanese women had a little extra charge when for the first time in their lives they experienced the seductive pleasure of a man holding a door open for them, or giving them a seat on a crowded trolley. It was new and ego-strengthening—and a severe shock to the Japanese male, accustomed to his God-given right of preceding his woman through a door, and, if there's only one empty seat on the trolley, occupying it himself, leaving her to stand—frequently with an infant on her back.
During the war, the women's movement in Japan took a big step forward, as hundreds of thousands of women went to work in factories, taking over men's occupations. But the male power structure was very deeply rooted in the culture, and the vast majority of women had no revolutionary passion to overthrow it. Even when they sympathized with the notion of equality and democracy, their reactions were often bizarre, as I was soon to see.
One day I ran into an actor I had known in New York, Al Lipton, who was now a private in the occupying army producing radio shows for the Armed Forces Network. Al was also a passionate believer in democracy for everyone, including women, and did a little missionary work on behalf of the cause whenever he could. In the course of his proselytizing, he voiced his views one day to a Japanese gentleman named Mr. Cho. He told Mr. Cho how strongly he felt that the remaining remnants of feudalism should be abolished in Japan.
Mr. Cho, who happened to be president of a Japanese press association, thought it would be a fine idea if Private Lipton would speak at the next meeting of his organization, whose members would be most eager to hear a GI's impressions of Japan. Al accepted the invitation on the spot.
A few days later Al spoke for an hour and a half at the press-association meeting, explaining why he felt the defeat of Japanese militarism was actually a victory for the Japanese people. He spoke of the need to reorganize the country along democratic lines, and especially stressed the importance of having women assert their rights and play a meaningful role in civic and social life. "Women have too long been considered inferior," he said, "mere chattel."
He pointed to the struggles and ultimate victories of American suffragettes, and finished his speech by urging the women of Japan to take full advantage of their new opportunity to vote, as their first major battle in a campaign to shed the chains of their ancient feudal bondage and recover their rights and dignity as human beings.
The speech made an extraordinary impression. Afterward the audience gathered around, shook Al’s hands, applauded, and bowed in double time.
As a result of that talk, Private Lipton was later the guest of honor at a special dinner. The food served was the best that could be bought on the black market: rice wrapped in smoked and raw fish, clam broth, broiled sparrows, sukiyaki, and pear preserves. Wine, beer, and hot sake were served with every course.
After dinner, Lipton was approached by a middle-aged Japanese lady wearing a beautiful, crested silk kimono. She explained, in her slight English, how much she liked what he had said, especially about freedom for women. As a token of her appreciation she would like to make him a little present. She left the room and returned shortly with a beautiful young Japanese girl. Pressing her gently toward Lipton, she said, bowing, “Presento—for you—to keep.” She had just bought the girl from her father for a couple of thousand yen, to show her appreciation of his speech on freedom for Japanese women.
Lipton blinked five or six times, then realized his plight. It would be terrible manners to refuse the gift—a downright insult, in fact. He tried to change the subject, but his admirers just smiled. He took his wallet from his pocket and pointed to a photograph. “Wifeoo-babee—Columbus, Ohio,” he said. But they kept on smiling, noting that, indeed, his wife was very pretty. Only when he told them he lived in a barracks and had no place to keep such a "presento" did they reluctantly withdraw the gift. The barracks' problem was a practical consideration, and therefore no "face" was lost.
"I can see it's going to take a long time to educate Japanese women about freedom," said Private Lipton. "Either that, or I made a lousy speech."
The Japanese are probably the world's greatest present-givers. But it's not always an expression of total generosity. One day not long after Al Lipton's speech, a young Japanese acquaintance rushed up to me, gave me that one, one-two bow, elaborately apologized for disturbing me, and thrust a small wooden box into my hand. I opened it and found, wrapped in heavy cotton, a delicately carved ivory figure: a netsuke, with inlaid metal and semi-precious stones.
"What's this?" I asked.
"Presento," he said, with a big grin. "Presento from my father. He want you have this for Christmas."
"But I've never met your father," I protested.
"All same, he want you have nice Christmas," he replied.
I handed it back to him and said that he should tell his father I was very moved, but that I had done nothing to deserve such a valuable gift.
"Oh, it is all right," said the young man. "You keep. My father would like American cigarette."
How profoundly the American occupation changed the bases of relationships between men and women in Japan
is a question for sociologists to sort out; but it did a great deal to break up the totalitarian structure of Japan’s social, economic, and political life.
One of the first things Hirohito did was to democratize himself. He launched a campaign to divest himself of his divinity. He put on a beat-up old felt hat and made a lot of public appearances. American correspondents helped the new image along by calling him “Charlie.”
In the past people had had to draw their curtains when the Emperor’s procession passed through the streets. It was a crime to look “down” upon him. One day I traveled with Hirohito as he visited a project for bombed-out victims. He spoke a few words to a couple of women, who were so overcome they burst into tears.
Under MacArthur’s prodding, the formation of free labor unions was energetically encouraged. Even Hirohito’s palace guards began presenting demands. Organizations all over the country undertook to “democratize” themselves, including the Sumo Wrestlers Federation.
The rickshaw men of Tokyo reacted collectively when the American authorities posted traffic signs: SPEED—30 MILES PER HOUR. They descended on MacArthur’s headquarters to protest they couldn’t run that fast.
The unions also came up with some original strike techniques. The streetcar workers, in order to hit at their bosses without inconveniencing the public, let the public ride free. When this didn’t work, they collected the fares, took out their wage increase, and turned in what was left to the company.
The telephone workers reinforced their demands by cutting off all calls to and from the executives of the company. On all public calls the operator would say, “This
company is unfair to us they do not pay us living wage number please?"
But perhaps the most innovative and cathartic of all was the "shriek" strike. When the railroad workers were demanding more money, at a certain, exact time every day, all over the country every employee—blue and white collar alike—would stop whatever he was doing and shriek for about three minutes at the top of his lungs, the idea being to call public attention to their situation, and make the employer lose face.
Sometimes "democracy" got a little out of hand. I met a professor named Hatano, who told me that, during one of his lectures at Tokyo University, a student rose and started to leave. When asked where he was going, he said, "Home." Hatano told him to wait until the lecture was over. "No, sir," he replied. "I exercise my democratic privilege to do what I please."
Hatano introduced me to a number of interesting people, who provided good material for my broadcasts. One was a Frenchman named Jean-Pierre Hochcorne, who had lived in Japan for fifteen years. Prior to the war he had been an employee of the French Consulate; when the war broke out he was interned. He had a particularly brutal guard whose pastime was jamming bamboo splinters under his fingernails and trying to beat him into confessing he was a spy. His cell was on the ground floor and its window faced the street. His wife brought him food, handing it through the bars, but he was not permitted to speak to her. So they developed a way of communicating by barking like dogs. Three rapid barks meant one thing, one short and one long meant something else, and so forth. When the guard threatened punishment, Monsieur
Hochcorne convinced him the prison rules only forbade speaking, not barking.
Professor Hatano came to visit me one day in my hotel room as I was about to leave for dinner. He brought along a friend, whom he introduced as Japan’s most famous mystery writer, Edagowa Rampo. Stare at the name for a moment. It’s the Japanese way of pronouncing Edgar Allan Poe.
I asked him if readers didn’t confuse him with the real Edgar Allan Poe, who was also published there. “Oh, no,” Hatano replied. “Ours is much more famous.”
After some broad hinting, the reason for their visit became clear. They were hungry. Food was scarce in Tokyo.
I told them to wait in my room while I went down to dinner. I stuffed most of it, and a large second helping of chicken, under my Eisenhower jacket and brought it back up to them.
Edagowa Rampo was so grateful he came to visit me again, to present me with several rare, old, gruesome Japanese prints, which he said he collected against his will. Then he asked if I would do him another little favor when I got back to the States. Would I mail him all the Agatha Christie mysteries published in America during the war?
It set me to wondering just how he became such a famous mystery writer. But no . . . I shall give him the benefit of the doubt.
Still I kept wondering how Agatha Christie would be pronounced in Japanese.
9. Hiroshima
I felt I had to do a broadcast on Hiroshima. The atomic bomb had fallen only eight weeks before and the city was still off-limits to most army personnel. Through the Red Cross, however, I wangled a permit. It was the most awesome experience of my life. Hiroshima was still one big, quivering, raw wound.
As I drove my jeep uncertainly through the rubble, I was approached by a small man on a bicycle, who introduced himself as the Reverend Kioshi Tanimoto, pastor of Hiroshima’s Central Methodist Church. He offered to show me around. But first he had heard that a sick parishioner of his was living somewhere in the ruins and he was bringing him a piece of dried fish, would I care to come along? We searched for half an hour until we found a weak old man and his son—all that was left of a family of nine—living in a small lean-to improvised from the wreckage. They gratefully accepted the fish and bowed their heads to the ground. I gave each a cigarette, which he smoked ecstatically. Then a dismayed expression came over their faces as they looked about the miserable hovel for a gift for
me. It's a Japanese custom for the host to give his visitor a present. But here there was nothing. Suddenly the son's face brightened. From behind a pile of charred wood, he pulled out a rusty old American saxophone, stepped outside where he could straighten up, and there in the midst of all that atomic devastation, played, for my pleasure, "My Blue Heaven" and "I'll Buy That Dream." Whenever I remember those soulful notes floating among the ruins of Hiroshima, I'm still shaken.
Tanimoto took me to Hiroshima's Red Cross hospital—one of the few buildings left standing—where Dr. Fumio Shigeto, the assistant director, showed us around.
It was badly seared, and the windows were almost glassless. The white plaster walls of the rooms were pock-marked with holes from flying glass. In one room blood was spattered all over the walls and ceiling; the blast had blown the window into the face of a patient and severed an artery.
Dr. Shigeto told me that twenty-one of the hospital's nurses were killed, and of the thousands who managed to reach the hospital that first day, over 700 had died. Many who couldn't quite make it were found dead on the grounds outside.
On the hospital's outer wall, a horizontal series of red splotches abruptly turned into a downward smear just short of the entrance—mutely telling the story of a bloody hand groping toward help until it could no more.
Most of the in-patients had suffered fractures and internal injuries when their houses fell on them. Thousands died from blood disease. Dr. Shigeto told me that many of them might have been saved by transfusions, but the
blood of practically everyone in Hiroshima had been affected to some degree, so there was no healthy blood available for transfusions.
We went to a room where a long line of out-patients was being treated. One woman’s arms were gnarled strips of purple flesh. Her nine-year-old daughter was almost bald. Many people had lost all their hair after the explosion, but eyebrows, strangely, had not been affected.
One man had severe burns on the back of his neck. Although there was a concrete wall between him and the explosion, the intense rays had bounced off a building in back of him and struck him from behind. A nurse was treating these patients with zinc ointment. She turned, and I saw that half of her face was burned away.
Dr. Shigeto told me that he was the first person in Japan to realize what had happened. “The papers simply called it a new type of bomb,” he said, “but when I unpacked some negative film for an X-ray machine and found it had completely degenerated, I knew immediately it had been destroyed by the gamma rays of an atomic bomb.”
A number of American doctors had visited the hospital to study chemical reactions of victims and the possibilities of treatment.
“I hope they’ll never have to make use of their knowledge,” Dr. Shigeto said grimly.
When I told Dick Day, Tokyo head of Red Cross Public Relations, that I planned to do a series of broadcasts on Hiroshima, he advised against it. “No one wants to hear about Hiroshima any more,” he said. “It’s old stuff.”
But I felt that so far most, if not all the reporting had been of numbers: how many tens of thousands killed; the
damage at various distances from the center of the explosion, etc. Statistics for the military manuals and history books. After what I had witnessed and what Tanimoto had told me of his and others' experiences, it seemed much more important that the story of Hiroshima be told and remembered in terms of human agony.
I spread my material over three of my three-minute broadcasts, but I couldn't begin to encapsulate my feelings, or the suffering of the people of Hiroshima, in this meager air time. Nevertheless, I described as best I could the old man, the son and the saxophone; Dr. Shigeto and the Red Cross Hospital. And more.
On February 16, 1946, I broadcast my story of the Reverend Kioshi Tanimoto's nightmare day:
JOSEPH JULIAN
ASSOCIATED NETWORK BROADCAST
WAR CORRESPONDENT
GHQ PRO
JANUARY 16, 1946
This is Joseph Julian, your Red Cross correspondent speaking from Tokyo.
The Reverend Kioshi Tanimoto, American-educated pastor of Hiroshima's Central Methodist church, invited me to his home for a cup of tea. His church had been leveled by the atom bomb and he now rents a house on the outskirts of the ruins. In one of the rooms he has improvised an altar and conducts services every morning for about twenty surviving members of his congregation.
He poured the tea and said grace beginning with "Oh Lord we thank thee for being alive." Never was a prayer said less ritually or with more honest fervor.
And as we squatted there on the straw matted floor sipping our "ocha" he told me his story of that day. He was visiting
friends just outside the city, he said. "About twelve noon, I heard a terrific roar, and the house I was in began to shake. I thought it was an ordinary air raid, until I went outside. It was dark as night—fires were everywhere and thousands of people were pouring across bridges from Hiroshima. It was like the end of the world. I didn't know what happened, but I knew it was something catastrophic. My first thought was for my wife and baby girl who were in our house on the other side of town. I tried to get across several bridges, but the fires were too hot. I ran four miles along the river that circles the city proper. Then I swam across. There were at least a thousand people lying on the beach. It was difficult to walk without stepping on them. I met a friend who told me my wife and child had been buried in the collapse of our house, but had dug their way to safety. Most of those wounded lying on the beach kept asking for water. I found a broken dish and scooped water from the river and gave hundreds of them a little swallow each. River water is bad but I hoped it would help them psychologically. Almost all of them thanked me and bowed before they drank the water—even though they were dying. I worked with them for several hours, doing what I could. Then the tide came in and washed many of them into the river. I pulled five dead bodies out of an old row boat and rescued about twenty people. Some would hold up their arms to be pulled into the boat, but their burns were so raw when I grabbed them, they couldn't stand the pain and jerked away—to drown."
The heroic little pastor went on to describe the equally terrifying experiences of his friends, then interrupted himself, saying he was sorry but he had to keep an appointment with a Buddhist priest and a Hiroshima businessman. They were to meet at a designated spot in the ruins to discuss raising money to build a monument.
"What kind of a monument?" I asked.
"It will serve several purposes," he replied. "There are bones of entire families in the ruins, with no one to bury them. We are going to collect them into a common grave at the foot of the monument. It will comfort the spirit of the dead. And, according to the Emperor, the bomb on Hiroshima helped end the war. Therefore, most of the people here feel their suffering was not in vain. This will be a monument to their sacrifice."
I asked him what the inscription would be.
"We have not yet decided on the exact wording," he answered, "but it will certainly contain our prayer for eternal peace."
This is Joseph Julian in Tokyo. I return you now to the Associated Network.
My broadcasts from a small studio in Radio Tokyo were beamed to San Francisco, where I was recorded for later airing over the Associated Network and the American Broadcasting Company's Sunday News Roundup. But as I signed off these Hiroshima spots, I received calls on the two-way radio from operators at island outposts all over the South Pacific. They had tuned in and felt bound to tell me immediately how deeply the Hiroshima stories had moved them.
For the next few months I continued to send back little pieces of the mosaic:
The hissing sound some Americans find so offensive in Japanese speech is really a form of politeness. By sucking in air through their teeth they demonstrate they are not forcing their own breath on you.
Japanese farmers are extremely skillful. Americans are constantly amazed at the weird agricultural goings-on, such as fresh vegetables pushing up through snow fields, and oranges growing in the dead of winter.
When a Japanese woman goes shopping she knows what to do with baby—bundle it on her back, leaving her hands free to examine merchandise and do her share of shoving at a bargain counter. The GIs call them the "two-headed women."
Probably the world's most unique firefighting equipment is housed in Minami Temple, in Osaka. It consists of about 200 huge bamboo fans. Whenever a fire breaks out anywhere in the vicinity, parishioners flock to the temple, where, together with priests, they each grab a fan, climb to the roof, disperse themselves along the perimeter, and fan like mad to keep flying sparks away.
But the Hiroshima experience had dampened my enthusiasm for these low-keyed vignettes. Besides, I had been in Japan about five months now and was about ready to head home.
I returned to the United States on an LST troopship. If I'm ever asked to play the role of a sardine I'll have an in-depth understanding of the part. I've never been in such tight proximity to so many human beings over such a long period of time. I was told there were five thousand GIs and officers jammed on that ship. I was billeted with the officers, who had slightly more Lebensraum than the GIs; still, about twenty of us were stacked in four-tier bunks in a very small area. And even though it was a homecoming and spirits and forebearance were unusually high, my first few days on the cramped eleven-day journey were pretty oppressive. Then I made a wonderful discovery. I found a tiny, unused room on the top forward deck. It contained some cleaning materials and a desk and chair and it was unlocked. It became a sanctuary where I could be alone whenever I wished. But more important, that desk inspired me to write a play. I called it Presento and it was based on the situation of my friend, Al Lipton, and his unexpected "gift." By the end of the voyage I had finished the first act. It took me three years to write the rest. Confinement seems to be good for writer's block.
10. Return to New York
Back in New York I merged my three Hiroshima radio spots into an article and offered it to an agent for marketing. *Déjà vu.*
"Hiroshima's old stuff," she said. "No one wants to hear about that any more."
No one except millions of people. A few months later John Hersey's book *Hiroshima* was published. He explored the city after I was there, and had put together a book of six first-person narratives—six individuals describing their personal experience of the bomb. It created a sensation.
The *New York Herald Tribune* published this "old stuff" in its entirety; the *New Yorker* gave over a whole issue to the book, and the American Broadcasting Company decided to do a straight reading of Hersey's *Hiroshima* as a special one-hour program over its network.
Six radio actors were called to do the reading, one for each of the six stories. Coincidentally I was one of the six
chosen. Even more incredible, the story I was assigned to read was that of the Reverend Kioshi Tanimoto.
I didn’t resent having to read Hersey’s report of Tanimoto’s experience. His book, of course, presented it in much greater detail than I had been able to. I welcomed any opportunity available to render Hiroshima human, to counteract its being compressed into a paragraph of cold statistics. Today’s bombs are a thousand times more powerful: the horror of Hiroshima multiplied a thousand times. After having seen with my own eyes what that one “tiny” bomb had done, I knew the full meaning of the expression, “the end of the world.” It used to be an empty cliché; it isn’t any more.
I put together a half-hour radio documentary of my experiences that I couldn’t deal with fully in my short broadcasts from Tokyo. I peddled it to an organization called The United World Federalists, and it was presented over WJZ and its affiliates on March 13, 1947. The introductory pages went like this:
VOICE: These are the words of Socrates: “When you are asked your country, never reply, ‘I am an Athenian,’ or ‘I am a Corinthian,’ but—‘I am a citizen of the universe!’ ”
ANNOUNCER: This is the World Security Workshop, presented by the American Broadcasting Company and United World Federalists, to help Americans understand the way ahead to lasting peace, and to offer evidence that all peoples can, in truth, become citizens of the universe.
SOUND: (Establish busy street: traffic, passers-by, etc. Hold under:)
JULIAN: Pardon me, could you tell me how to get to Shinbashi Railroad Station?
JAPANESE: Wakareemasen...?
JULIAN: Oh...uh...Shinbashi...uh...tayeeshabawa...uh...doko deska?
JAPANESE: Ah so deska! Ima wakaramashta. Mingeedessheedayreedes-matsoongoo sakedess.
JULIAN: Okay, thank you...uh...aringato!
SOUND: (Hold street pattern, then fade under)
ANNOUNCER: This is Roger Krupp. Tonight, as the eighteenth in its series of original scripts, the World Security Workshop departs from its usual form to present a special program, "Welcome, Honorable Enemy!" The voice you just heard asking the direction of Tokyo's Shinbashi Railroad Station, is that of Joseph Julian, who is well known to radio as an actor. Mr. Julian recently returned from a tour of Japan, where he was sent as a special correspondent. The impressions he gathered, the appraisal he made of the postwar Japanese, and the opinions he formed about our responsibilities to this conquered people, were so interesting to us of the World Security Workshop that we felt our audience should hear them. The atomic age has conferred a larger citizenship upon all of us. Whether we like it or not, we are now world citizens. World security can be achieved only if we become good world citizens, and that means enlarging our understanding of the problems of every country in the world. One of the vital problems that today faces us in the United States is how to insure the transformation of a once potent aggressor into a peace-loving member of the family of nations. As a report on conditions there, with which our occupation forces must cope in achieving this objective, Joseph Julian has written, "Welcome, Honorable Enemy!"
I developed an original format that allowed me to hang the show on an interview. The announcer asked me questions, I gave a short reply, then we'd fade into a dramatization that would illustrate my point. There was no music, just a large cast and many sound-effects.
John Crosby, then radio critic of the New York Herald
Tribune, wrote a column reviewing the radio reading of Hersey's Hiroshima and, again a coincidence, in the same column, my own documentary, "Welcome, Honorable Enemy!" I quote it at length because it shows the high level of criticism that obtained in those heydays and nights of radio, and because it also has a number of pregnant things to say about the techniques of radio.
Radio in Review
By John Crosby
There was a story in the early days of broadcasting, probably apocryphal, about a sound-effects man who was seriously frustrated in his attempts to reproduce the sound of clashing swords. He tried rolling a barrel full of tin cans, he experimented vainly with the sound of splashing water, but neither these nor a dozen other devices sounded at all right. Finally, in desperation, he tried clashing two swords together. It worked fine.
Writers in trying to convey information in plain news or in documentary broadcasts have pursued somewhat the same course: that is, they will go to preposterous lengths to avoid simply telling the information. With great and frequently mis-spent ingenuity, they have employed drama, massed choirs, street noises, crowd noises, symphony orchestras, and sometimes, when absolutely necessary, the sound of the human voice.
Of course it would be foolish to carry the analogy too far. Much of this experiment in the art of sound, if such a phrase is permissible, has been strikingly effective in putting across an idea, or, in some cases, just a plain news story. Still, in looking back upon a great many documentary broadcasts of one sort or another, the most effective one I ever heard was the broadcast of John Hersey's Hiroshima over the American Broadcasting Company. At the insistence of Hersey, who resisted all attempts to have the story dramatized, Hiroshima was simply read. The only concession to broadcasting technique was the
employment of different voices for the various parts of the story devoted to the six different characters.
This method transmitted to the listener not only the highly dramatic story but also the keen intelligence that went into its writing. The listener was left with the impression of a gifted mind assembling the fragments of one of the most significant stories of our time. If the screams of the dying or the crackle of flames had been allowed to intrude, the broadcast would have descended to the level of all the broadcasts which have ever used these sounds, including a great many whodunits.
Recently, the American Broadcasting Company presented another highly effective, but somewhat different documentary called, "Welcome, Honorable Enemy!" on its series of public service broadcasts called *World Security Workshop*. "Welcome, Honorable Enemy!" presented impressions of occupied Japan of Joseph Julian, a radio actor who formerly broadcast for the Red Cross in Japan.
The technique, I should say, was about halfway between the *Hiroshima* reading and the traditional method. Julian used a good deal of straight drama, but he also used far more than the normal amount of plain exposition. The exposition took the form of a conversation between Julian and his announcer, Roger Krupp. Somehow, the two men sounded as relaxed as if they were discussing Japan over an after-dinner cup of coffee and at the same time the talk had the coherence of a well-written script.
Julian explained why the Japanese did all that hissing, how illogical the Japanese are about their emperor, and what a shriek strike is. Along with each small anecdote he interpolated his own serious interpretation. By avoiding both clichés and pretension, the two men succeeded in sounding intelligent, one of the most difficult things in the world to do over the air.
The trick, I guess, is to match the technique to the message. To employ an ear-catching device when you are attempting to engage the intelligence is a serious mistake in anatomy. It is
not sounds that stir men's minds, but ideas, and the sounds employed to put the ideas across ought to be on the same intellectual level as the ideas.
Radio dramas were still in full flower when I returned from Japan in March, 1946, although the upstart, television, was beginning to nibble at radio's space on the entertainment pages.
Before I left for Japan, television was still very crude. On June 30, 1944, actress Leslie Woods and I had played the leads in a short, two-character play, *The Favor*. It was the first drama ever televised by CBS. Their single camera was stationary. Thus only one set could be used, and no close-ups were possible. Mobile television cameras had not yet been developed. Worthington Minor, a Broadway stage director, was in charge of the production. After the telecast he had invited us to his apartment to view the first, televised professional boxing match. There were only about three hundred video sets in New York at the time, and the reception was so fuzzy, the only way we could distinguish the two fighters was by the light and dark colors of their trunks.
Now, almost two years later, television had improved, but it still couldn't begin to compete with radio and its cornucopia of programming and high-salaried entertainers. Americans were still laughing at the jokes of The Great Gildersleeve, Edgar Bergen, Jack Benny, Jack Haley, Eddie Cantor, Amos 'n' Andy, Abbott and Costello, Bob Burns, Henny Youngman, Bob Hope, and Burns and Allen. They were dancing to the big band jazz of Harry James, Duke Ellington, Tommy Dorsey, and Sammy Kaye; they were being beguiled by the close harmony of the
Andrews Sisters and the sweet sounds of Sinatra, Crosby, Lena Horne, Rudy Vallee, and Kate Smith. They were being spoon-fed their dinnertime news by such big-name commentators as Gabriel Heatter, Elmer Davis, Lowell Thomas, and Fulton Lewis, Junior. And on Sunday evenings millions would drop everything to listen to the urgent trivia of Walter Winchell, famous columnist for the Hearst newspapers, who achieved one of the highest-rated programs in radio history. Winchell made everything he said urgent by his energy and rapid-fire delivery. Throughout his broadcast he wore a hat pushed back on his head—the trademark of a working reporter—and he maintained an excitement that began with his opening: "Good evening, Mr. and Mrs. North and South America and all the ships at sea—let's go to press!" An item about a Hollywood starlet being seen with "so and so" would be given the same feverish tone as if he were reporting a declaration of war. Occasionally he had legitimate news scoops, but his hot flashes were largely gossip about political and show business personalities, with periodic plugs for his friend J. Edgar Hoover, and digs at "Commies" and "pin-kos" as the Cold War grew hotter.
He was an open advocate of "tooting your own horn"—which he did loud and often—and frequently bragged about his power to make or break entertainers and to destroy his enemies.
Anyone who commands so many millions of listeners is powerful enough to influence the news as well as report it—which Winchell often did by the sheer force of his biases. Occasionally he seemed to do it deliberately, by using his vast audience to manipulate the stock market. He'd hint that a certain stock was due for a rise. Enough
listeners would rush to buy it the next day to create the rise that he had predicted. Once he mentioned the prospects of a seventy-five cent oil stock—the next morning it was quickly run up several dollars. He was never charged with using this power for his own aggrandizement. Rather it seemed more an ego thing—a childish attempt to prove to himself (or to someone from his nursery days) how really powerful he had become. "Hey, look at me! I can make the stock market go up or down!" The Securities and Exchange Commission finally cracked down and spoiled his fun.
At times Winchell wielded his power on the side of the angels. This Lower East Side boy and former vaudeville hoofer founded, and raised millions of dollars for The Damon Runyon Cancer Fund.
Nineteen forty-six was also the year Norman Corwin won the Wendell Willkie-Freedom House One World Award for promoting the concept of Global Unity. On June 15 he left to collect his prize—a trip around the world, to report on what people of other countries were thinking, hoping, and planning, now that the war had ended. I had the utterly irrational feeling that I should have been taken along. After all we had been a successful combination in England, hadn't we? But my labored logic did not prevail and this time Corwin took with him only a CBS engineer—a practical companion who knew how to operate one of those new-fangled wire recorders.
Things were rather slow for me during the summer and autumn of 1946. It took a little while to let people know I was back in town and available, although I did pick up
odd jobs on *The Thin Man*, *Philo Vance*, *Mr. District Attorney*, *Inner Sanctum*, *Ellery Queen*, *Casey*, *Crime Photographer*, *Bulldog Drummond*, *The Second Mrs. Burton*, and *Mr. Keen, Tracer of Lost Persons*. I informed the Hummerts I had returned, and they kept their promise to have my role written back into *Lorenzo Jones and His Wife Belle*. However, story lines were written well in advance, and I had to wait several months before being called.
Meanwhile, I worked on the play I had begun on the ship and volunteered some spare time to the Stage Door Canteen, a recreational facility for servicemen that had been set up in Times Square by the American Theater Wing (an organization that had mobilized the entertainment world behind the war effort). It had established Canteens throughout the country, but New York City’s was the most glamorous. It was staffed by actors and actresses—bit players and stars—who volunteered as hosts and hostesses, waiters and waitresses. They even did the dirty work in the kitchen. Although I never put it on my resumé, I’m fond of bragging that I once worked with the great stage actor, Alfred Lunt. I washed. He dried.
Fulfilling myself in the theater was still my ultimate goal. But prospects were bleak, and radio work was an extremely painless way of surviving while awaiting that big break on Broadway.
I began calling myself Joe instead of Joseph Julian in the credits, on the theory that scripts frequently had characters named Joe (especially stories about servicemen) and casting directors would just naturally think of me. I can’t prove it, but from then on it seemed as though I played a lot of guys named Joe.
I was happy to be back with *Lorenzo Jones and His*
Wife Belle: This was one of the most delightful radio shows on the air—a jewel among the soaps, and my role ran for six years, on an average of three times a week. It was written by Theodore and Mathilde Ferro, a husband and wife team. Highly literate, it had great charm and humor. Lorenzo, brilliantly played by Karl Swenson, was a would-be inventor; I played Sandy, his admiring neighbor. Lorenzo would invent things that were almost ridiculous, but not quite. Such as the three-spout teapot, for strong, weak and medium tea. And an anti-speeding device hooked up to the radio in his car. When going over the speed limit, a tough voice would come through the loudspeaker, snarling, “Take it easy, bud!”
The show was eventually destroyed by its producers. It was the one soap opera the Hummerts didn’t fabricate in their factory, nor had they insisted the writers conform to their formula. Perhaps it was their way of “atoning” for the others. Or, maybe they were just very fond of it themselves. In any case, after about ten years, when the rating slipped, they decided to broaden the base of its appeal. All the charm and distinction went out of it as they introduced their favorite ingredients—melodramatic plot lines, a murder mystery, and an Englishman for snob appeal. Alas.
I also picked up another running part in Big Sister, playing a role completely different from the Michael West I had originated six years before. Generally, a couple of years was considered time enough for an actor to be “forgotten” and reintroduced into the same show as a fresh character.
In 1947 I won the starring role in a new weekly show on NBC—Call the Police—that replaced Amos ’n’ Andy for the summer. In it I played a police commissioner of a different stripe—a college graduate grounded in modern anti-crime methods.
The police had long been maligned in air dramas as being stupid, uneducated, and cruel, and this was an attempt to put them in a better light.
A feature of the series was an award of $100 to a "Police-man of the Week" who had performed an outstanding service beyond the call of duty.
The show had a little side dividend. The National Police Magazine published on its cover a picture of me presenting a check to a police officer. I always kept that issue in the glove compartment of my car. It got me out of two speeding tickets.
Apropos the police—one evening I picked up a copy of the New York Mirror and got a chill. The entire front page of the tabloid was a close-up photograph of a man's swollen and bloodied face. The caption said that he had resisted arrest on a murder charge. He had been beaten so badly identification was nearly impossible, but there was something about the crinkly corners of his swollen eyes that made me turn to the story on the inside page. It was Tom Ashwell.
He had been arrested by Florida police for murdering two young girls. From their photographs they looked like the working class girls, the "spirited little sparrow types," with whom we had double-dated. He had represented himself as a movie talent scout and was presumably driving the girls to a nearby town to have pictures made. He turned off on a side road to the woods, where he stopped, tied each girl to a tree, and, after raping them, bashed their heads in with a hammer.
Ashwell was tried and convicted, and several months later he was executed in the electric chair by the State of Florida. I thought back fifteen years, remembering his cold-blooded plan for success. Cold-blooded, yes. Success, no.
The reverberations of that horror stayed with me a long time. I usually try to distill something positive out of the shocks of my life. I don’t know what I got out of that, except, perhaps, a little more respect for my intuition.
In early 1948 I won an audition for one of the two leads in another crime show, *Hearthstone of the Death Squad*, a weekly, prime-time evening series on CBS. The job lasted five years. It was, undoubtedly, one of the worst shows on the air, yet had one of the highest ratings. I’m too patriotic to draw conclusions. Hearthstone, played by English actor Alfred Shirley, was a New York cop; I was Sam, his assistant. No one ever raised the question of why a New York cop would have a broad English accent. But if they had, the answer would have been that the producers, Frank and Anne Hummert, had a theory about snob appeal. Most of their other programs also contained at least one character who was upper class, such as *Our Gal Sunday (Organ music)*: Can a miner’s daughter find happiness with England’s richest Lord?
Between the Hummerts’ “snobs” and radio’s occasional productions of Shakespeare and other classics, there was a fairly active demand for good English speech, and there were enough English actors living in New York to supply it.
One, Harry Cliff-Cooper, who had played the voice of God in a biblical drama, was out of town when the show
was repeated. He was replaced by Jay Jostyn (star of *Mr. District Attorney*), an actor with a distinctly American flavor to his speech. When a fellow actor sympathized with Cliff-Cooper for having lost the role, he replied with typical British fortitude, "Well, in this business we must take the bad with the good." And then added, quite sincerely, "But, dear boy, one does rather think of God as an Englishman, doesn’t one?"
I acquired another regular weekly show, the radio version of Rex Stout’s Nero Wolfe stories, first heard over ABC in 1943. For four years I played Archie, the famous fat orchid fancier’s tough assistant. Santos Ortega, one of radio’s busiest actors, played Nero Wolfe in a very fine, fat voice. The producer was the fabulous Himan Brown. Why fabulous? Ask anyone who knows him.
Hi was one of radio’s pioneer producers, and had made a million dollars by the time he was twenty-four. When still little more than a kid, he zeroed in on what the average listener liked, and originated such radio shows as, *Marie, the Little French Princess* (one of the first soap operas); *Green Valley, U.S.A.*; *The Thin Man*; *The Gumps* (written by Irwin Shaw); *Joyce Jordan, Girl Interne*; *Hilda Hope, M.D.*; *Little Italy*; *Inner Sanctum*; *Grand Central Station*; *City Desk*; *The Affairs of Peter Salem*; *Flash Gordon*; *Bulldog Drummond*; *Dick Tracy*; and *Terry and the Pirates*, to mention only a few.
These were all ongoing shows, and Hi was always up to his ears in authors and actors, each daytime serial requiring five scripts, and evening shows a complete new story, every week.
The Frank and Anne Hummert factory may have turned
out a larger number of shows, but Hi Brown was a one-man operation. He produced, cast, and directed all of his shows himself. He never even had an office. He’d make his phone calls from home, or use a phone at one of the studios. He had shrewd understanding of script values and an outsize charm that seduced performers to work for him for less than they would for anyone else. But he also gave them a continuity of work on his other shows, made less demands on their time, and created a more pleasant working atmosphere. It was fun working for him.
He usually hired only the best actors, who could deliver quickly, thus saving on rehearsal pay and studio costs. On most half-hour shows he’d have only an hour and a half of rehearsal. Other directors used up to four hours.
During the first read-through for timing, Hi would sit with stopwatch in one hand, pencil in the other, slashing out lines if the script were long. And it was long more often than short (it being easier to cut than to pad). When the actors finished he’d give them the cuts to write into their scripts. There would be some rehearsal of sound effects, and usually barely enough time left over for one run-through of the complete show on mike, just before going on the air.
Most of his directions were of a technical nature. He rarely gave “performance” notes. He expected his actors to know their craft. That’s why he hired them. And, in the vast majority of the cases, his system worked well.
Hi Brown was radio’s champion corner cutter. I think it was programmed into his genes. And that was one major reason for his success. All those corners added up, and he was usually able to sell a program at a lower price than his competitors.
11. The Eclipse
Nineteen forty-eight and nineteen forty-nine were probably the busiest years of my radio acting career. To the end of the decade I was happily hopping from one show to another, hiring a stand-in to rehearse for me here while I did a show there, frequently turning jobs down for lack of time. Between my regular, running roles, I worked on the myriad shows, a few of which I take from the yellowed pages of my old account book:
Casey, Crime Photographer
The Falcon
The Shadow
Believe It or Not
Front Page Dramas
School of the Air
Counterspy
Boston Blackie
Inner Sanctum
Mysterious Traveler
Nora Drake
Greatest Story Ever Told
General Electric Theatre
Mr. Chameleon
Mr. Keen
Wendy Warren and the News
Up for Parole
Road of Life
Two Thousand Plus
Backstage Wife
David Amity
Voice of America drama
Front Page Farrell
Joyce Jordan, Girl Interne
Café Istanbul
Against the Storm
Aunt Jenny’s True Life Stories
Hilltop House
Gasoline Alley
Frank Merriwell
Hobby Lobby
Superman
Young Doctor Malone
Broadway is My Beat
Second Mrs. Burton
Portia Faces Life
When a Girl Marries
Perry Mason
We, the Living
The Goldbergs
Gene Autry Show
Hollywood Love Story
The Ramparts We Watch
Time Bomb
My curve of activity and income rose steadily through 1947, ’48 and ’49. Then, in 1950, it turned down and rapidly declined until, in 1953, I earned a mere $1630.
How was it possible for such a busy actor to lose his
marketability so quickly? The answer was: a U.S. Senator, Joe McCarthy. Exploiting the Cold War between the United States and Russia, McCarthy smeared, with a wide red brush, everyone who stood in his way, including President Eisenhower and the United States Army. Any political liberal, or anyone vaguely to the left of right, might suddenly be labeled a Communist or a fellow traveler by the Senator. Left became a dirty word. A joke of the time: "I have no left foot. Only a right foot number two." But it was not very funny.
The Watergate hearings were a tea party compared to the uproar on the televised hearings of the Senate Sub-Committee on Un-American Activities, presided over by Joe McCarthy. His brutal brow-beating of witnesses and dramatic denunciations of individuals created a climate of fear throughout the country. The mighty trembled, and did nothing, as McCarthy laid waste reputations, careers, and lives. Playing on the fear of war with Russia, McCarthy assumed a heroic posture as he "exposed" more and more "subversives" at home. The forces of ignorance and Fascism rallied to him and became his main support.
The Senate subcommittee generated outside pressure groups, and blacklisting organizations developed all over the country.
After intimidating Hollywood into firing and not hiring some of its most creative talents, the witch hunters turned their blacklisting passion to radio and television. These media were even more vulnerable. Products and profits were more directly associated with individual performers, and a threat of boycott quickly scared sponsors into dropping those who had a finger pointed at them, whether the
accusations were true or not. They reasoned, "Why risk the loss of customers when there are plenty of 'safe' actors around?"
Actors are notoriously generous in donating their time and talent to causes. When asked, they find it difficult to say no. Frequently they agree to perform at functions without probing deeply into the sponsorship. Many lost their livelihood for that reason alone. Also, Russia had been our ally during the war, and there were still many Russian-American friendship organizations. Prior to the Cold War, it had been possible to talk to professional colleagues who were Communists, or Communist sympathizers, although you might have disagreed with their politics. But the number of actual revolutionaries was small, and the threat of their subverting the broadcast industry nil.
The atmosphere around the studios became heavy with fear, suspicion, and hate. Some board members of our own union, The American Federation of Television and Radio Artists, helped form a pressure group, Aware, Inc., to force the banning of all Communists and sympathizers (by their definition) from the airwaves. At union meetings they openly advocated blacklisting and split the union wide open. Those who voted against it were carefully noted, and things happened to them. Like being fired. Or not being hired.
There was a close liaison between Aware, Inc. and the House Committee on Un-American Activities in Washington, and Lawrence Johnson, the owner of several supermarkets in Syracuse, New York. The first two supplied the names; Johnson was the enforcer. Johnson's clout stemmed from the fact that he owned six supermarkets on
whose shelves stood the majority of products advertised on radio and TV. When he was fed a name to do a job on, he’d shoot off a telegram to the sponsor asking: DO YOU WANT STALIN’S LITTLE CREATURES CRAWLING ALL OVER YOUR PRODUCTS?, coupled with a threat to remove said product from the shelves of all six of his stores if the sponsor didn’t fire the tainted actor. That was a powerful persuader, pardner. The “Grocer from Syracuse,” as he became known, would follow up with personal visits to Madison Avenue, to persuade the advertising agencies to do his bidding. He usually got results. The actor never knew what had hit him.
I was appalled as more and more of my friends faded from the scene. I wasn’t worried for myself. Whatever sympathy I had for the poor and downtrodden in Russia, I had very early been opposed to the brutal dictatorship of Stalin and I had always been forthright in my opinion that the light that went into the bottom of the Russian revolution was no longer shed from the top. Why would anyone blacklist me?
I was naïve. On June 22, 1950, I was shocked out of my complacency by the publication of Red Channels: The Report of Communist Influence in Radio and Television, a paperbound volume listing 151 actors, directors, producers, writers, announcers, musicians, and commentators, and their associations with organizations accused of furthering the Communist cause. My name was among them.
The cover of the book had a huge, bloody, red hand clutching a microphone, and despite an attempt at a legal disclaimer by burying in the fine print of the introduction—"In screening personnel, every safeguard must be
used to protect innocents and genuine liberals from being unjustly labeled"—the implication was clear that everyone in that book was subversive and should be kept off the air.
Vincent Hartnett, a former production assistant on the radio show, *Gangbusters*, claimed credit for conceiving, compiling, and writing the introduction to the book, but it was given instant status by Ed Sullivan, the influential columnist of the New York *Daily News*, who wrote:
With television going into its third big year, come this Fall, the entire industry is becoming increasingly aware of the necessity to plug all Commie propaganda loopholes.
Network and station heads, with a tremendous financial stake, want no part of Commies or pinkos.
Sponsors, sensitive in the extreme to blacklisting, want no part of Commies or their sympathizers.
Advertising agencies, held responsible by sponsors for correct exercise of discretion in programming, want no controversy of any kind.
For that reason, *Red Channels*’ listing of performers, who, innocently or maliciously, are affiliated with Commie-front organizations, will be a reference book in preparing any program.
So it came to pass. Copies of *Red Channels* were sent to all radio and television stations, advertising agencies, and casting directors. Now, at last, there was an “authoritative” blacklist that could be kept handy in a desk drawer. And it wreaked havoc on the lives of those listed.
My listing was minuscule compared to most of the others in the book, some of which amounted to forty-one entries. This is the way my name appeared, connecting me with two allegedly subversive organizations, and the sources of this information:
JOE JULIAN
Actor—Radio.
Artists’ Front to Win the War
National Council of the Arts, Sciences and Professions.
Reported as:
Speaker. Meeting 10/16/42. House Un-Am. Act. Com., Appendix 9, p. 575.
Attended meeting to abolish House Un-American Activities Committee, Hotel Commodore, NYC, 1/9/49 NY Journal-American 12/30/48.50
The facts: When I returned from London in 1942 I was invited to read in Carnegie Hall a poem about artists who died fighting Fascism. The meeting, organized by a committee called Artists’ Front to Win the War, was to further sentiment for the opening of a second front in Europe, which was being called for by President Roosevelt and most U.S. military leaders. A second front was also advocated by a number of prominent anti-Communists, such as author Louis Bromfield, Lord Beaverbrook, and Dorothy Thompson. Some of the speakers were Orson Welles, Charlie Chaplin, Mary Margaret McBride—a wide spectrum of political coloration. The list of sponsors read like a Who’s Who of the American Theater.
This was my one and only connection with that committee, which eight years later was termed subversive by some small California committee of state legislators.
My other “crime” was having attended a public rally on January 9, 1949 at the Hotel Commodore in New York, called by the National Committee of Arts, Sciences and Professions, to abolish the House Un-American Activities Committee. This widely-advertised rally featured Burt
Lancaster as the main speaker. I indeed attended, since I was personally sympathetic to the purpose of the meeting, namely, to protest censorship and the disgraceful conduct of the Chairman of the House Un-American Activities Committee, Parnell Thomas, who was later sent to prison.
Nevertheless, those two citations in *Red Channels* cost me my livelihood for over three years.
This was an ugly period in American life and in mine, and I find it difficult to write about. My urge is to skip over it. Others, better qualified, have documented the history and scope of blacklisting in the broadcast industry. But I do feel a responsibility as a victim to record some of what I went through. A whole new generation hardly knows that such a thing ever happened. But the fact is it could easily happen again if we relax our vigilance in defending our freedoms. Control of broadcasting is one of the first major objectives of those who would take them away.
My initial reaction to the publication of *Red Channels* was anger and indignation—not panic or fear of economic loss. At that time I had no concept of what was to follow. I was furious at being misrepresented, at being labeled a subversive. And so, when I heard that a number of "listees" were meeting in the office of Attorney Arthur Garfield Hays to plan legal action, I made it my business to be there.
Hays, a wrinkled, leathery man in his eighties, was a famous civil libertarian, who, along with Clarence Darrow, had been one of the defense lawyers in the renowned Scopes "Monkey Trial."
There were eight or nine performers at the meeting, and the majority urged Hays to represent them in a mass libel suit. He told them he was outraged by the book and offerred to represent everyone individually on a contingency basis, but not as a group—and only if they could convince him that they had in fact been libeled.
Only four actors agreed to that: Ralph Bell, Pert Kelton, Selena Royal, and me, confirming Hays' feeling (as he later told me) that the others wanted the group action in order to use us to mask their membership or former membership in the Communist Party.
I had a couple of private meetings with Hays, during which he questioned me closely, especially about my political beliefs. Convinced that I had been libeled, in December 1950 he filed suit on my behalf against the American Business Consultants, publishers of *Red Channels*, for $150,000 in damages. It was four years before the case reached the courtroom—four wretched years of declining work, income, and morale.
Things didn't happen abruptly: everyone in the book wasn't fired the day after publication. Except in a few prominent cases, those who were contracted were kept on until their contracts expired. As for the work-a-day actor, he gradually began getting fewer calls. Not many producers and directors were sympathetic to blacklisting, but as the heat was increasingly poured on by the "Grocer from Syracuse," his confederates within the union, and others, *Red Channels* became more and more, as Ed Sullivan predicted, "a reference book in preparing any programs."
There were a few courageous employers—even sponsors, who bucked the tide, but the vast majority eventually succumbed to the pressures. A number of directors told me in confidence, "I want to use you, Joe, but it would cost me my job."
Most weren’t that frank. They made excuses, or avoided speaking to me altogether. And that was the insidious part—the victims rarely knew for sure why they were no longer called. And that sparked the old syndrome: “It was my fault. I’ve been giving lousy performances. I’ve lost my talent, etc.” If the odds were ninety-nine to one that it was because of *Red Channels*, actors would dwell on the one percent possibility that it was their own fault. The blacklist played hell with our fragile egos. Actors need to act. The loss of function was worse than loss of income. It led to a terrible erosion of faith in ourselves, both as artists and as productive members of society.
I spent a great deal of my time just hanging around the studio lobbies racking my brains for a way to earn money. My bank account was dwindling fast. I still had one regular evening show each week, *Hearthstone of the Death Squad*, for which I was paid $125, but it wasn’t nearly enough to meet my obligations. The show had been on several years, and I had been promised a twenty-five dollar raise, which seemed to have been forgotten. I decided to call on the producer’s business manager. He greeted me politely, asked me to sit down, and before I could explain my mission, opened his middle desk drawer, and took out a copy of *Red Channels*.
“Mr. Julian, I see your name listed in this book,” he said, his raised eyebrows inviting an explanation. His strategy was clear. He knew why I was there. Actors usually came to discuss money matters, and he was cutting the ground from under me.
He listened attentively while I explained at length why I should not have been listed. Then I reminded him of the promised raise. He slipped the book back in the drawer. I
don’t recall his exact words, but the raise was refused. And loud and clear between the lines I heard, “Now get the hell out of here and be glad you still have a job!”
I didn’t much longer. Some months later that show went off the air. Now I was really in the straits of dire. I seriously thought of going back to selling shoes on Forty-second Street. Every day I pored over want ads, stupidly hoping to find a good job for which no experience was necessary. I wanted to fight out of the situation with all my strength, but I no longer knew how, or in what direction to move. I felt helpless.
I asked myself who was the most influential person I knew in broadcasting? I remembered that the president of CBS, William Paley, had sent for me when I returned from London. I figured I couldn’t do better than going to the top. I wrote him a letter:
Dear Mr. Paley,
Since I’ve been in radio I have worked on literally thousands of CBS broadcasts. You may remember me as the “American” in your American in England series during the war.
At the present time I am barred from working on CBS radio or television shows by virtue of my listing in Red Channels. This I have learned from several sources. I am sure you are unaware of the injustice being done me.
The subversion implied by the listing of my name in Red Channels is grossly libelous and I have entered a libel suit against the publishers for $150,000 damages. I have never been a member of any organization listed as subversive by the Attorney General, and have signed the CBS oath to that effect. Politically, I am and always have been equally opposed to totalitarianism of the left or the right, and any form of government that devalues the basic rights of the individual.
I am writing to you, Mr. Paley, because I am being deprived
of my livelihood. I realize you are too busy to deal with all the cases of individual actors who are caught in the squeeze of this monstrous problem of our times, but I would be grateful if you would advise me what further steps I can take in order to resume working for CBS.
Sincerely,
Joseph Julian
I received a brief reply. Paley stated he had turned my letter over to Dan O'Shea, a CBS Vice President, and suggested I contact him.
O'Shea, a former Hollywood executive, was Chief Security Officer at CBS and had developed a rigorous screening system. I had heard that a number of blacklist victims had gone to him, confessed their sins, and received absolution—and help in restoring their careers.
I went to see Mr. O'Shea. Having nothing to confess, I explained my listing in Red Channels and how desperate my work situation was.
A large, avuncular man, he seemed to listen sympathetically as he moved about his well-appointed office smoking a large cigar. When I finished he told me that he believed everything I had said, but asked why I had only stressed what I had not done. What active steps had I ever taken to fight Communism? he wanted to know. I told him I was not a political activist, that most of my contribution was in argumentation. He said that that wasn’t enough. In order to help me, he would have to have more to go on. He suggested I could do myself a lot of good by attending some American Legion rallies or joining General Lucius Clay’s Crusade for Freedom. And he strongly implied that things would be much better for me if I dropped my lawsuit.
Shortly after that, the Crusade for Freedom had a rally in Times Square. I volunteered to make a pitch over a loudspeaker for cash contributions to further the work of the Crusade in broadcasting to people behind the Iron Curtain.
I felt queasy doing it, and after three or four minutes stopped. My conscience would not allow me to go on, in view of my aversion to the hard-core sponsorship of the Crusade. The extreme right was just as unpalatable to me as the extreme left.
Technically, I had taken a step toward clearance. But I couldn’t bring myself to follow through on O’Shea’s suggestions. And at this point it was unthinkable that I drop my lawsuit. So I continued to be unemployed.
My only real hope now was vindication in court. But it had been two years since I filed suit! I wrote a letter to Arthur Garfield Hays, asking whether my case couldn’t be speeded up because of economic hardship:
... things have reached the desperate stage with me. I am heavily in debt. I have cashed in my insurance policy to pay my rent and grocery bills. I can no longer earn a living in my profession. By the way, a former CBS director told me yesterday that he would be glad to testify when my case comes to trial, that he wanted me for a part and was ordered not to call me because my name is in the book. I have accumulated quite a list of people who have given me such information. . . .
But Hays could do nothing. The court calendars were hopelessly clogged.
During this period I often fought off frightening fantasies of pushing certain pro-blacklisting union officials under a subway train. I was shocked to find myself speculating on how many broken lives it might redeem, and
whether I could ever really bring myself to do such a thing. It was one of those questions pacifists tortured one another with: "Could you personally kill Hitler if you knew it would save millions of lives?"
During those desperate years of unemployment and frustration for so many talented people—a number of whom committed suicide—I fortunately managed to survive by discovering a market for my talent that the "Grocer from Syracuse" didn't seem to know or care about: narrating industrial, institutional, and training films. Most of it was sixteen-millimeter material that had no general public exposure, and therefore was not subject to the same blacklisting pressures. It was painful, but I swallowed whatever pride I had accumulated and went from company to company soliciting auditions. Occasionally I landed a job. I soon discovered that most of these filmmakers had been using pontificating radio announcers as narrators, and were delighted to find their films enhanced by the feeling of simple truth that a narrator with an acting background could bring to his reading. These jobs just barely kept my nostrils above water.
Ironically, during this period when radio stations and advertising agencies wouldn't hire me because of my "subversive" associations, one of these film companies (MPO Films) engaged me to act the on-camera role of a five-star general in a secret film being made only for the eyes of a special U.S. congressional committee, about how our Strategic Air Command would function in case of an enemy attack. We shot the film in the super-secret headquarters control room of the Strategic Air Command, deep in the bowels of the earth at Omaha, Nebraska, where
guards were posted every fifty yards and permission to enter was given only to those who had been thoroughly investigated and approved by the FBI. That, I suppose, is as eloquent a comment as can be made on the blacklisting insanity that prevailed in the name of national defense.
During the shooting of this film, I went to the men's room one day, wearing my general's uniform. Standing next to me was an Air Force colonel (a real one). He did a double-take as he noticed my five stars, and became utterly uncoordinated. Torn between lifting his occupied right hand in a salute or withdrawing and zipping up first, he made several false starts in both directions before saluting. It was a disaster. I returned his salute. I didn't dare risk his wrath by telling him who I really was.
Early in 1954 Hays informed me that my case was on the calendar. He said we had a few more weeks to prepare, and instructed me to line up witnesses who would testify they didn't employ me only because my name was in Red Channels.
Although I had faced juries in hundreds of radio dramas, this was my first real-life courtroom adventure, and my eagerness was tinged with apprehension. I had been told New York State libel laws were notoriously complex; that both damages and malice had to be proven; that findings for the plaintiff were rare; that libel is one lawsuit where the plaintiff is on the defensive all the time, and that the defendants will raise whatever extraneous issues they can to further blacken the character and credibility of the plaintiff: me.
Too, the mere prospect of appearing in court can make one feel a smidgen of culpability. Since there are no absolutes in this world, how can we be sure we are ever completely innocent? The very prospect of being judged evokes a Kafkaesque echo of infantile or prenatal or prehistoric guilt. But I banished most of these negative feelings with a determination to fight as hard as I could; energetically I began my search for witnesses.
But they weren’t to be had for the asking. Nor for the pleading, arguing, or cajoling. By now blacklists had proliferated, and merely being seen in the company of a *Red Channels* listee was enough to land you on somebody’s list. The intimidation of the industry was so thorough that even those who had promised to testify changed their minds. The starch went out of even the brave ones. I couldn’t really blame them. They, too, had families to support. But without evidence or testimony that I had been deprived of work by my listing in *Red Channels*, I had no case. It was terribly disheartening. For the previous four years the promise of legal salvation had kept me going. It had been my only hope. And now that was dimming.
Still, I daily haunted the hangouts of radio actors, writers, and directors—the third floor lobby at NBC and Colbee’s Restaurant in the old CBS building—searching out every crumb of support.
There was plenty of moral support, but nothing to support my morale; much sympathy but not a single commitment. No one dared stick his neck out.
But persistence finally paid off. Someone did dare. He was having a quick noontime bolster at Colbee’s bar as I approached and said, “Ed, I’m suing *Red Channels* for libel. Will you be a witness for me?” Without the slightest hesitation, without asking a single question, without speculating for a fraction of a second about how an appearance on my behalf might compromise his position at CBS, he replied, "Tell me when and where, Joe." That's the kind of a man Edward R. Murrow was.
It gave my spirit an enormous lift. I knew that just his presence in court on my behalf would count heavily. He also promised to bring along another character witness, Charles Collingwood, the well-known CBS foreign correspondent, whom I had met in London. Things were looking up. I was beginning to regain confidence.
I had a two-hour "trailer" of the trial, at a pre-trial examination called by the defendants, mainly as a fishing expedition. The biggest fish they caught was an acknowledgment by me that I had at home a few ancient Theatre Arts Monthly magazines, which were alleged to have been published by some Communist front organization.
They also used the occasion (off the record) to try to convince me to drop my suit. I refused. They strongly implied that they would see I got work, and cited a well-known Broadway and Hollywood actor, listed in Red Channels, who had threatened to sue but was persuaded to talk it over. He dropped the suit and found himself again in demand.
I couldn't do it. The momentum was too great. Ed Murrow and the angels were on my side, and I was going to win. Besides I had a growing awareness of the larger importance of my suit. Other victims had a stake in my fight. A solid verdict would be a smashing blow to the entire structure of blacklisting. I vigorously went after more witnesses.
I remembered that Marjorie Morrow, an agent and a dear lady, told me she had submitted me a number of times to the Philip Morris Playhouse, always with the
same "Can't-use-him-he's-in-Red Channels" response. Asked if she would so testify in court, she said no, she was already in trouble just for having submitted my name. I told her I could subpoena and force her to testify under oath. Almost in tears, she asked me not to. Hers was a small agency, and it would ruin her. "Promise me you won't," she begged. I promised.
But it gave me another idea. The director of the Philip Morris Playhouse, Charles Martin, was a bright, erratic, liberal, temperamental young writer-director, who had made it to the top in radio by using a little properly channeled imagination. I wondered if he might be just courageous or neurotic enough to agree to testify where others wouldn't. It was worth a try.
I phoned Hays. First I told him how I had threatened Marge Morrow with a subpoena and why we couldn't go through with it. He said he rarely forced a witness to court anyway, because he liked to be sure of what they were going to say.
I told him about Martin and suggested we call on him. I figured it would be easier for Hays to get an appointment than for me, and that a man famous for swaying juries would be much more apt to persuade Martin to testify.
We met in Martin's apartment a few days later, where for an hour he warded off our pleas, even though he had strong feelings against the blacklist. He also had a high-salaried job and didn't want to lose it.
I argued that his employer wouldn't hold him responsible if he were "forced" to appear and tell the truth under oath. And I impressed him with the fact that Ed Murrow was going to be a witness for me.
Hays too stressed the Murrow name, playing on Martin's
ego and idealism. You could see Martin growing larger and sitting straighter as Hays eloquently wove a hero's mantle around him. He told him this was a great opportunity to bust the blacklisting business wide open; that he, Charles Martin, could help turn the tide the way Murrow's famous broadcast documenting Joe McCarthy's villainy helped to generally turn the country away from McCarthyism. Martin succumbed. Not weakly, but embracing the cause wholeheartedly. Now I had my first and only witness to support a claim of damages.
Character witnesses were easier to acquire. In addition to Murrow and Collingwood, Robert Saudek, producer of the Ford Foundation's *Omnibus* program—the man who a decade earlier had produced my "Dover Diary"—and writer Morton Wishengrad agreed to testify.*
Finally, I was notified by Mr. Hays that my case would be called for trial on February 26, 1954.
*Wishengrad, who died a number of years ago, was in my opinion the only writer other than Corwin who created a body of radio literature that deserves a perennial life. And many of the little stories he wrote have been and are still being repeated on NBC's Sunday *Eternal Light* program. Written with biblical simplicity, and sponsored by the Jewish Theological Seminary, they were not religious in the narrow sense. And although he drew on his vast knowledge of ancient Jewish lore, his stories, informed by his own sweet humor and fineness of spirit, had an ecumenical appeal.*
12. The Trial
As we entered the courtroom that first day Hays was optimistic. Truth was on our side, we now had some good witnesses and good evidence—and we were to plead before Justice Abraham Geller, who had a reputation as a fair-minded liberal.
But there was an immediate setback: as the jury selection began, the attorneys for the defendants produced a list of some 200 organizations, and asked the judge for permission to disqualify any juror who ever had the remotest connection with any of them. Judge Geller asked to see the list. After studying it a few moments he said, "I see you have here the American Civil Liberties Union. Why, I myself used to be a dues-paying member of that organization."
Whereupon Ed Wallace, the chief defense lawyer, said, "Therefore, your Honor, we ask you to disqualify yourself from sitting on this case."
And Judge Geller complied.
I was shocked, even though Hays explained to me that it
was customary in a civil suit for a judge to disqualify himself if either party requests it.
It was three months before the case was called again, this time before Judge Irving Saypol. I have no knowledge of how the assignment was made. I have no evidence that it was more than a coincidence. But it was mighty strange that, among other things, Saypol just happened to have been the U.S. Attorney who prosecuted Julius and Ethel Rosenberg and helped send them to the electric chair.
At our first appearance in his court, on May 17, 1954, Judge Saypol said, "Mr. Hays, before we proceed, I would like to remind you that you and I have had many disagreements in the past. I would also like to inform you that Mr. Wallace, counsel for the defendants, used to be my executive assistant. In view of that I would like to know if your client would feel uneasy if I tried this case?"
Ah! Now our side had a break. We conferred a fast two seconds, then Hays said, "Yes, your Honor, we would like you to disqualify yourself."
Saypol said he would give his answer after lunch, and declared a recess.
When the court reconvened he said he had thought it over and had decided that he would be remiss in his duty if he stepped down. He ordered the case to proceed.
It was incredible. Not only his flouting custom, but the way he had set it up, asking us, and then...
I asked Hays if we had no legal recourse. He said the best strategy was not to make an issue of it. That would put the burden on Saypol to bend over backward to be fair. But it didn't work that way. I'm no expert in the fine points of legal contention, but I know hostility when I feel it. And it was there throughout the five days we presented
our case. Perhaps some of it was the ingrained aggressiveness of the prosecutor Saypol had once been and to which he frequently reverted as he leaned over and hammered questions at my witnesses from the bench. The transcript of the trial shows the judge asking my witnesses almost as many questions as the defense counsel did. Most of the time he gave the impression he was developing the defendants' case for them.
His attitude toward Hays, who behaved with meticulous decorum, was reflected in this little colloquy when he denied one of his objections:
HAYS: Then your Honor denies me the right to state the reasons for my objections?
SAYPOL: No. It is immaterial.
HAYS: I want to state my reasons.
SAYPOL: I don't need them. If I want I will ask for them.
HAYS: I understand that, but I want to make it perfectly clear on the record that your Honor denies me the right to state the reasons for my objection.
SAYPOL: I believe you have adequately stated them.
Spoken, it sounded even more arrogant. And that was the general tone of the proceedings.
I was sworn as the first witness in my own behalf. Hays had put me at ease by assuring me that the best witness was a truthful one, and that I had no reason to be anything but.
He led me through my early background, with questions calculated to elicit answers that would touch the jurors' emotions, such as the fact that my mother had died when I was an infant and my father when I was twelve; that I lived with an aunt and uncle for a time, then in an orphanage; that I later boarded in a home for working boys, sold
newspapers, worked in a candy store and a shoe factory; became interested in amateur theatricals; started professionally as an extra for a dollar a night with a stock company that came to town.
Hays was so sympathetic when he dwelt on my orphanhood that it embarrassed me. And, in stressing how I had overcome my deprived childhood and gone on to professional achievements, he must have harvested more sympathy from the jury. "Get 'em emotionally from the start," seemed the strategy of this famous trial lawyer.
He traced my career up to and a few years beyond the publication of *Red Channels* when my income fell to almost nothing. I produced verifying tax records showing that during the first four months of the then current year, 1954, my income was $309.
The defense tried to establish on cross-examination that my lack of employment was the result of television's impact on radio, and that I was essentially a radio actor. Over a period of several years I had compiled a list of directors who had told me of specific occasions when they had wanted me for both radio and television shows, but had not been permitted to hire me because I was in *Red Channels*. His Honor would not permit me to testify to what these directors had told me.
But the real rub came when my other important witnesses were blocked from contributing crucial testimony by defense objections that were upheld by the judge.
For instance, Davidson Taylor, director of public affairs for NBC, was only allowed to testify to my reputation as an actor. He was not allowed to give his opinion about my reputation for loyalty or veracity—which to my non-legalistic mind seemed highly relevant in a case of libel.
Charles Collingwood was not allowed to answer Hays’ question about my reputation as a man of loyalty, integrity, and as a good citizen. Nor was Ed Murrow. And when Hays asked Murrow, “Are you familiar with the customs of the television and radio business in connection with the employment of actors, so that you can tell me whether or not there is a custom in the business that men whose names are listed in Red Channels should not be employed?” Murrow was not permitted to respond because he himself did not specifically have to do with the hiring of actors, even though he was at that time a CBS vice-president and fully aware of the company’s policy.
Charles Martin was probably my most valuable witness. He rose to the occasion splendidly. He acted it up a bit, shrugging and making shocked grimaces to the jury as the judge or defense lawyer restricted his testimony. But he persisted in his central statement that he was not permitted to hire any actor listed in Red Channels.
An excerpt of his direct examination by Hays:
HAYS: Mr. Martin, what is your business or profession?
MARTIN: I am a producer and director and writer occasionally of radio, television and motion pictures.
HAYS: And how long have you been in that business or profession?
MARTIN: Well, I have functioned in this capacity for more than sixteen years.
HAYS: Do you, in connection with your work, pick out persons as artists or actors?
MARTIN: I have sole jurisdiction, I would say, as to who works for our shows other than whatever blocks are put on me by the people above me. But the client has placed me in charge of casting. I think every director and producer does his own casting, largely, in this industry.
HAYS: Can you tell us some of the shows you are producing today?
MARTIN: Well, the Philip Morris Playhouse, radio-television. I have written for The March of Time, Criminal Court, I have done several films for MGM, Universal, I have done innumerable radio shows, the Tallulah Bankhead Show, which I wrote and directed, the Gertrude Lawrence Show.
SAYPOL: They can be counted, can’t they? You say innumerable. I’m sure somebody can count them.
MARTIN: Forgive me, your Honor.
SAYPOL: You don’t want to say how many?
MARTIN: I don’t know how many, actually. But I have done a great many shows.
HAYS: Do you remember when the book Red Channels was published?
MARTIN: I don’t remember when it was published. I remember when it was given to me.
HAYS: And about when was that?
MARTIN: A copy of Red Channels was given to me in the year 1950, I would say, when I returned from Hollywood, after having done some films, and had returned to radio.
HAYS: Did you ever refuse to give Joe Julian a job as an actor on any of your shows for the sole reason that his name appeared in Red Channels?
WALLACE: Objection.
SAYPOL: I will allow it.
MARTIN: I did refuse to give Mr. Julian employment on our shows because his name was in Red Channels.
HAYS: Did you regard Joe Julian as a competent, able actor?
MARTIN: Well, it’s my opinion that he is a very brilliant actor.
HAYS: And what were the circumstances under which you refused to give him a job at the time you mentioned? Do you know which show it was?
MARTIN: It was the Playhouse, the Philip Morris Playhouse on TV.
HAYS: And at what salary? What salary did that part carry?
McGrody (defense): Objection, if your Honor pleases. This, again would be specifically on special damages.
Saypol: I will hear it. You may answer.
Martin: Well, there was a $500 part open.
Hays: $500 for what, for one performance?
Martin: For one performance, of course.
Hays: And was this a continuous job that he would get if you employed him? I mean would it be week after week?
Martin: I have a nucleus, more or less, like a stock company, and the good, non-name players, as we refer to them in the trade, we put into the stock company, who work more or less every week or every other week. So that this saves us, the director, a lot of trouble in going all over town and continually auditioning new actors; whereas if we get good, sturdy, reliable actors we continually use them in different roles because of their variety of talents.
Hays: And this would have been a job that would have given Joe Julian $500 a week for about how many weeks?
Wallace: Objection.
Saypol: Sustained.
Hays: Was there more than one occasion on which you refused to give Joe Julian a job because his name was in Red Channels.
McGrody: Same objection, if your Honor please.
Saypol: Sustained.
Hays: Now, did you have work for Joe Julian for a long period of time?
Wallace: Objection.
Saypol: He may answer specifically, not in a general way.
Martin: I had several jobs for him.
Saypol: You have or you have had?
Martin: I have had.
Hays: And you refused to hire him on all these jobs because his name was in Red Channels?
Wallace: Objection.
Saypol: He may answer subject to a motion to strike out.
Martin: I was instructedMcGrody: Objection.
Saypol: Well now, do I understand that this non-hiring was on the basis of your own conclusion, your own judgment, or because somebody else told you to?
Martin: Somebody else told me to.
Saypol: I see. We will strike out all the testimony, then. You don’t know anything about it.
Wallace: I move to strike out all the testimony that has been given.
Saypol: Strike it out. I thought this man was the man who made the decision.
Hays: He just didn’t hire him. And he was the man charged with...
Saypol: It’s hearsay. The man decided that this plaintiff was either a Communist or a dupe or an innocent on the basis either of what somebody else told him or on the basis of his construction of Red Channels.
Hays: I didn’t ask him about that, your Honor. I asked him whether that was the reason he wouldn’t hire him.
Saypol: No, he says somebody else told him not to. That’s hearsay. I can’t allow that. Somebody may not have liked the color of Julian’s tie and told him it was because his name was in Red Channels.
That kind of ruling against Martin’s testimony was typical. Here Martin, in a hiring position and intimately acquainted with blacklisting procedure, swore under oath that he didn’t employ me only because my name was in that book, yet this was rejected as hearsay. Even if someone else told him to do it, Martin himself blacklisted me, and it seemed to me his testimony to that effect should have been permitted.
Saypol also helped the defense by using my own witnesses against me when he asked Murrow, Collingwood, and the others: “Can you say, as a matter of knowledge,
that as a direct and well-connected result of the publication of his name in this book, *Red Channels*, he has been avoided and shunned by former friends and acquaintances?" They could hardly have answered affirmatively, not knowing who my friends and acquaintances were.
Their negative answers implied, or were intended to imply, that therefore my reputation had suffered no damage. Indeed, the judge cited the presence of these distinguished men themselves in court on my behalf to buttress that inference.
Martin, in answering that question, said that he had not shunned me, but thought I had a red label. "I maintain that everybody in that book has a label attached to him," he said, "and that we—our clients—we are not interested in using the people who are in the book."
There were many moments of dramatic conflict—especially on re-cross-examination of Martin, when, like the prosecutor he had been, the Judge bore down heavily on Martin's testimony that everyone in *Red Channels* had a red label on him. In fact, during the entire presentation of my case most of the testimony favorable to me, including that of other witnesses on my behalf, was ruled inadmissible.
Each day I came to court more worried and depressed. Yet I had a gut feeling we were getting through to the jury, in spite of all the legalistic walls that were thrown up. They looked like an alert and sympathetic bunch of men and women, and I cast my hopes entirely with them on the fifth day of the trial, when our last witness stepped down and Hays said: "Plaintiff rests your Honor."
The Court recessed until the next day.
In the morning, lawyers for both sides made motions;
argued relevancy of rulings in previous cases, etc. The session ended with the defendants renewing an earlier motion to dismiss my suit at this point without going into their defense. Again Saypol promised a fateful answer after lunch.
When we reconvened he gave his decision. It took about half an hour. He read aloud parts of the Introduction to *Red Channels*, bits of testimony, and quoted lawbook cases which guided his conclusion. I listened hard, hard, trying to follow all the convolutions of his reasoning. I strained to perceive a glimpse of my fate behind his words. But the longer he spoke the less I understood. It all fudged in my mind. . . .
. . . question arises which belongs to a class in which perplexing laws are not infrequently in reverse ratio to *Werner versus Nelson*, but the pertinent qualifying and controlling language pages six and seven where there’s red smoke there’s Communist fire nevertheless the favorable presumption the law permits to be inferred by eliciting from witnesses *Mencher versus Chesley* objections bound by the weight of mitigating evidence as in the case of. . . .
That’s how it sounded—until he came to the final sentence, which was stunningly clear:
Therefore Defendants’ motion to dismiss at the close of plaintiff’s case is granted.
It was all over. I was numb with disbelief. He wouldn’t even let it go to the jury!
He gave as his reason that we had not presented a *prima-facie* case—no central question of fact for the jury to decide. This in spite of Martin’s testimony that he had
refused to employ me solely because my name was in that book with a bloody red hand clutching a microphone on its cover, and evidence that my income plunged drastically upon publication of *Red Channels*.
A sinking feeling of hopelessness set in, then a rising outrage. Hays put his arm around my shoulder and said, "Joe, always remember. Sometimes you win, but you never lose if your cause is just." I've tried to hang on to that thought.
If it seems arrogant for an actor to judge a judge, to question decisions of a man presumably learned in law, who carefully wrapped his rulings in precedent, let me say that, as the Devil can cite Scripture to his purpose, so a judge can, either consciously or otherwise, select only those previous rulings that support his inclination. And even they usually have some variation of circumstance.
After reading through a transcript of the trial twenty years later, Saypol's inclination was obvious. Even with the perspective of time, here in the court of my own head I still overrule his decision and find him guilty of having blatantly denied me justice.
*The New York Times* published a long Sunday article entitled "Case Dismissed," about Saypol's neglect of the moral issues in relation to the libel laws. *Variety* and *I. F. Stone's Weekly* ran similar pieces. My case became a minor *cause célèbre*.
Attorney Louis Nizer, who later, in a better political climate, won a similar libel suit for radio commentator John Henry Falk, told me that he felt that Hays had mishandled my case; that he was really too old and no longer sharp enough on legal points.
Ed Murrow and Charles Collingwood, and Robert Saudek of the Ford Foundation, also told me they felt frustrated at not being able to contribute more to my cause because Hays didn’t ask them the right questions when they were on the witness stand. Be that as it may, the sincerity and humanity of Arthur Garfield Hays were his greatest assets, and if Saypol had permitted my case to go to the jury, there isn’t the slightest doubt in my mind that I would have won their verdict.
The judge dismissed the twelve men and women with instructions that they not talk about the case. They filed past me, some with tears in their eyes, signaling their sympathy by their expressions or with a simple shake of the head.
But more specific evidence of how I would have fared had the jury been allowed to decide came to my attention several months later. An actor friend was in Macy’s at Christmas time, watching a man demonstrate a new toy. They got into a conversation and my friend mentioned he was in the theater. The demonstrator asked if he happened to know an actor named Joe Julian. When told he did, the man confided that he was one of the jurors on my case. “Julian sure got a raw deal,” he said. “Everyone on the jury was for him.”
After the trial, Hays invited my wife and me to his magnificent Sands Point estate for a weekend of rest, swimming, and games of chess far into the night. It seemed to refresh him, and dilute the despair I brought with me from the courtroom. A prime slice of nature can go a long way toward putting problems into proper perspective. I wondered if his invitation was a consolation prize awarded all his clients who lost in court.
Yet in a very practical sense I didn’t lose by my legal action. It actually cleared me for work in many areas where I had been blacklisted, because not only did the defendants make no real effort to further smear my name, but their main defense had been that I was one of those referred to in the small-print disclaimer in *Red Channels*’ foreword, which stated that there might also be some “innocents” listed.
The ad agencies that began to call me again seemed glad to have even this negative sanction of my employability. With so many skilled radio actors on blacklists, it had become difficult to cast shows.
On the whole, I believe the broadcasting industry had wanted me to win my case. The agencies were opposed to blacklisting, although they rigidly practiced it. It was simple economics: they preferred losing good actors to good accounts. It was a rare sponsor that didn’t succumb to the threat of boycott by the pressure groups. The agencies were caught in the middle. But if the networks had shown some backbone, blacklisting would not have succeeded as it did.
Blacklisting also became a profession—a money-making proposition. The publishers of *Red Channels* worked both sides of the street. They urged the firing of actors in the book, and at the same time offered “investigative services.” For a fee, they reported to employers on the background of present or prospective employees. Five dollars was their minimum for a single, positive report. If it were negative, and the individual had a long history of associations with various organizations, the charge could be as high as a thousand dollars. The CBS network commissioned one study of program talent. Other clients were
General Motors, Du Pont, F. W. Woolworth, Metropolitan Life Insurance, R. J. Reynolds Tobacco, and Bendix Aviation.
Vincent Hartnett, who compiled and wrote the introduction to *Red Channels*, opened a commercial shop of his own. He acknowledged having received three hundred dollars for a report on playwright Arthur Miller, and two hundred dollars each in eight other instances. In 1955, just one client, Borden, the dairy-products company, is reported to have paid him ten thousand dollars.
Hartnett attended every day of my court proceedings as a spectator. Whenever I glanced at him he was busy scribbling notes. As soon as Saypol dismissed the jury, he came over and handed me his card, saying, "Joe, I want you to know you're all right with me. If you want to be helped, give me a call."
My thoughts were murderous.
He said he was getting out another book, an enlarged book, and that my name was also in that—but for other things.
It took a great effort to keep from punching him in the face. "What other things?" I seethed.
"Marching in the May Day Parade," he said.
That was all I needed. At a moment like that, with Saypol's judgment still ringing in my ears. I made a clenched fist. "I've never been in a May Day Parade in my life!" I shouted.
He patted his briefcase. "I have proof," he said. "In here."
He backed away as reporters crowded around. "I'll show Joe," he said. "Not you fellows."
I followed him to a side room, where he opened his case
and dumped a large pile of assorted snapshots on a conference table.
He sorted through them, then plucked out a small one showing a section of a parade. He tapped his finger triumphantly on a marching man in the middle of a crowd, a man about my size, about my weight, holding high a placard. You couldn’t tell if his face resembled mine. The placard hid it. That should tell you something about Vincent Hartnett.
His apartment was said to be filled from top to bottom with cross-indexed files on actors, and huge piles of back-issue magazines and newspapers of all political colors, from which he industriously culled items that connected actors, in even the remotest way, to any organization with the slightest liberal tinge. In effect, this burrowing little fanatic, and a few others like him, decided which performers America could hear on their radio sets and which it couldn’t. They were the powers to whom agencies would submit cast lists for a check on their political cleanliness. Apparently this was more discreet and convenient than to develop their own research apparatus, and worth the fees paid.
Has a note of bitterness crept into the account of my blacklisted years and the trial? After twenty years I should have been able to submerge it, and sift from the experience one of my golden philosophical nuggets, such as, “The innocent also get clobbered in this life.” But philosophy isn’t always adequate. And so to a generation that has not experienced the nightmare of that “blacklisting” period, when fear and hysteria enveloped the country, I simply want to say: Beware; it could happen again.
The biggest impetus for my "clearance" came from William Fitelson, a theatrical lawyer and executive producer of the *Theater Guild—U.S. Steel Hour* television series.
For a couple of years Fitelson had been intrigued with my play about the gift of the Japanese girl, and had tried to persuade U.S. Steel and its advertising agency, Batten, Barton, Durstine and Osborn, to produce it. But Steel would have none of anyone in *Red Channels*. After the trial, Fitelson tried again. This time I was invited to lunch at the Yale Club and grilled (no pun intended) by some agency officials, including their chief security officer, Jack Wren, a mysterious figure who seemed to be involved in many clearance situations.
They questioned me closely about my political thinking. Would I ransack my memory for any early activities or associations that might embarrass them if they put my play on the air? They had to be triply sure it would in no way contribute to the violent overthrow of our government. A few days later I was notified that Clifford F. Hood, the president of the United States Steel Corporation, had personally decided that the company would gamble on me.
*Presento* went on the air on December 16, 1954. There was no fallout. It was a critical and popular success. And the government was still intact.
That show broke the ice for me. Even though I didn’t appear in it, the large credit as author that flashed on the screen gave notice to the industry. It said, in effect, that if I were safe enough to work for U.S. Steel, I should be safe enough for anyone.
The very next day I began getting calls for radio acting jobs.
13. Easy Money
But I had a lot of catching up to do. The jobs didn’t come as thick and fast as before the “eclipse.” Also, by the early fifties, television had finally come of age and was giving network radio a real run for the sponsors’ money. Nonetheless, radio continued to command the lion’s share of audiences. In 1954, 53,000,000 American homes had radios—and most had two or three; more than 130,000,000 sets were in use in the mid-fifties. And in spite of television’s rapid growth, NBC launched a lavish ninety-minute weekly variety radio program. It was built around Tallulah Bankhead as hostess and Meredith Wilson as musical director. Each week it featured the biggest stars in show business.
Many movie stars were picking up quick, easy money guest starring on radio programs. It took little of their time; there was no costume or makeup problem; and it kept their names alive between films. On the whole, they weren’t good—especially those who were stars more through personality and topography than talent. They
knew nothing of microphone technique and did little more than read the words, with varying degrees of intelligence. The supporting casts of radio actors acted rings around them.
I once played opposite Veronica Lake in a Broadway theater that had been converted to radio use. As legitimate theater declined, a number of these houses were taken over, and radio shows were put on before live audiences. *The Theater Guild on the Air* was one. These productions generated extra excitement for the actors. They gave us a feeling of being back in the theater. We usually dressed—tux and evening gowns—and the live audience reaction gave listeners at home a sense of participating in an important theatrical event.
On this show with Miss Lake the engineer had a problem. Hers was such a weak, wispy voice that he couldn’t get us in proper balance. So he gave her a separate microphone across the stage from me, where he could mechanically raise her voice level to mine. Which was fine for the listeners at home. In the studio, her voice was still small, and now so far from me I had to strain to hear my cues. Especially since they had her facing front so the audience could see her famous peek-a-boo hairdo. Hardly the way to play an intimate love scene with a lady!
And there was Myrna Loy. An actress of great dignity and charm, who had won a special place in the Hollywood firmament and in my young, tender, movie-going heart. For years I had been intrigued by the mysterious emanations of this lovely lady—always with that slight enigmatic smile that suggested she knew more than she was telling. She was so thin, though. I really used to worry about her health.
And then one day, there she was, in studio 3G at NBC, life-size, and playing a scene with me! It was a deep, corny thrill.
But if she had had to win that role in a competitive audition with radio actresses, she wouldn’t have been there. Her voice, isolated from her other attributes, was dull and flat. She was selling her name, not her art. Still, big film names did attract listeners no matter how they sounded. When shows were live, it was a little like their making a personal appearance—except you were only hearing them. And you drew on your memory of how they looked.
Marlene Dietrich, on the other hand, had something more to sell than her name. She had a famous, throaty, sexy voice, and was a true professional in whatever medium she sold her commodities.
Her career included several radio series. One was an Advice to the Lovelorn program, where she personally wrote the answers to letters she read on the air. Another was a series of romantic dramas called Time for Love. And there was Café Istanbul—a weekly spy format that took audiences into the casbah and other mysterious places. It was a program well calculated to exploit her exotic accent and strong voice-presence.
Working with her occasionally on Café Istanbul, I got a glimpse behind the public image of Marlene Dietrich—a woman of strength, warmth, and intelligence, yet so spontaneous that when, during a rehearsal, she overheard one of the actors express doubt that the rest of her body was as youthful as her famous legs, she ripped open her blouse to prove him wrong.
She concerned herself with every aspect of a production. Especially casting. After the show had been on the air a
while and she became familiar with the pool of available radio actors, she had definite ideas about who should be cast in which part.
One week she told Murray Burnett, the writer-director, that she wanted a certain actor for the male lead. When told he was out of town, she insisted he be tracked down. When informed he had had a nervous breakdown and was in an institution upstate, she insisted he be gotten out. Burnett phoned the authorities and urged them to release him for the one day. He argued that it would be therapeutic for the actor to know he was still wanted professionally. It was a convincing argument and they agreed. Burnett drove up in his car, picked him up, and took full responsibility for returning him the next day.
There was a slight problem—solved by the miracle of newly-developed magnetic tape. The actor was one of radio's best, but he was under such heavy sedation that his reflexes were slowed and it seemed forever before he picked up his cues. But since this show was taped it was possible, with a little sensitive surgery, to snip out the long pauses and restore the pace of a good performance.
Most of the high-powered Hollywood stars of the period acted in radio, and at one time or another, I worked with James Stewart, Henry Fonda, Edward G. Robinson, Claude Raines, Rudy Vallee, Barbara Stanwyck, Walter Huston, Tyrone Power, Boris Karloff, Tallulah Bankhead, and Frank Sinatra.
From October 6, 1953, to March 30, 1954, Sinatra did a weekly half-hour private-eye show on NBC called Rocky Fortune.
From time to time I had been told that, from a certain angle, I resembled Sinatra. I told him that once. I said,
"Frank, a lot of people tell me I look like you. Do a lot of people tell you you look like me?" He said no.
We rehearsed one morning, then broke for lunch, to report back in an hour for further rehearsal and recording. Sinatra didn't return; even his manager was baffled. We waited several hours. Finally he phoned—wouldn't say from where—and told his manager to pay the actors and let them go. This was during a period he seemed to be having problems with himself.
14. Foot-in-Mouth Disease
As technologies developed, many radio shows were recorded for later broadcast—first on wax, then on glass disks, then on acetate, then on wire, and then tape. But radio was at its best "live." The "aliveness"—the knowledge that something could always go wrong—greatly heightened the appeal. Awareness that "this is it"—millions listening, no retakes, no redress of error, no second chance—created a tension, an extra edge of excitement in performers that communicated to listeners.
It also gave some performers and announcers such a bad case of nerves that they lost control of their speech. The often hilarious consequences were known as bloopers. Bloopers collections from both radio and TV are gathered as assiduously today as vases from the Ming Dynasty, and are traded between collectors throughout the country.
Of course, they are much funnier to hear than read, but here are a few that I've collected through the years. Probably the most famous was the time radio announcer Harry Von Zell, covering the inauguration of President Herbert Hoover over a nationwide network, announced:
Ladies and gentlemen, I now give you the President of the United States, Hoobert Heever. Er . . . Heevert Hoober—I mean Hovert Haber!
Since then, all announcers who introduce the Chief Executive are required to merely announce: "Ladies and gentlemen, the President of the United States."
Then there was the sportscaster who said:
"Sports fans! Stay stewed for the Stupor Bowl."
And the announcer who introduced Bennet Cerf as "a well-known author and lecherer."
And the actor playing a doctor, who said in a low, tense voice:
"Nurse, a hypodeemic nurdle, please."
And the nervous juvenile who, when his girl friend's mother answered the doorbell, blurted out:
"I've c-called to come on your daughter."
And announcers who said:
Girls, when you have to get up early to prepare his breakfast, do you wake up feeling lustless—I mean, listless?
This portion of the Name of the Gum starring Robert Stick—er Stack—is brought to you by Wrigley's Chewing Game.
Marshall Dillon preserves law and odor tonight on Gunsmoke.
This portion of I Dream of Jeannie is brought to you by Vick's Navel Spray.
We now switch you to the sixteenth tee, where we show you in slow motion Arnold Palmer, U.S. Opium Champion.
And the forecast for tomorrow is mostly Sunday.
Don’t be a litterbird. Join Ladybug Johnson and help clean up America.
Jackie Kennedy returned today from her African visit bringing with her a whale’s tool * for a souvenir.
Copywriters make their own bloopers, without the excuse of “microphone nerves.” But they must have had alibis for writing copy like:
And so ends another garden tip program. Tune in next week, when Mrs. Van Buren’s topic will be “My Potted Friends.”
Try this remarkably effective cough syrup. We guarantee you’ll never get any better.
At Johnson’s Laundry, we don’t tear your clothes by machine, we do it carefully by hand.
See Lassie in three parts after this message from the Anti-Vivisection League.
And some that looked all right on the page, but conveyed a different thought when spoken fluently by the announcer. A classic example of this genre:
Why not give your wife a gorgeous Gruen for Christmas?
The remarkable thing about written bloopers is that they got by so many people. Every syllable of commercial copy had to be approved by the sponsor, the legal department of the radio station, the advertising agency, the production department, the artistic department, etc. By the time it reached the studio, it was too sacrosanct to tamper with, and the announcer had to read it with a straight face. Very often he couldn’t and “broke up.” Audiences, too, get a kick out of hearing an announcer giggle his way through a
* Presumably, the announcer meant “tooth.”
commercial, even though they don’t always understand the reason for it. They know something is wrong behind the scenes and enjoy being even partly privy to it.
Many excellent performers, completely at ease on a stage, were terrified of a microphone. Luther Adler, one of the theater’s finest, shook so badly on his first radio assignment that he read aloud from his script the words: “Low—nervous—” the directions preceding his dialogue.
Frequently an actor’s trembling hand rattled the pages so close to the microphone that it came over sounding like a hurricane or a building collapsing, to the detriment of the scene and the chagrin of the control room engineer. (Another bête noir of the engineer was the belly growl—a sure laugh, especially if it happened on the air during a pause.)
Occasionally a hand was unsteady for a different reason. Although most announcers tried their best to sound inhuman (sonorous unction and flawless diction were the criteria), if you stuck them they bled and if they drank too much they got smashed, even as you and I—even a famous announcer whom I shall not identify, because why should I slur the good man’s name? Anyway, he arrived in the studio so drunk his knees gave way as he began to introduce a program on the air and he collapsed to the floor. The cast rushed to lift him, but his two hundred pounds were too much. The situation was saved by an actor who had the presence of mind to grab the standing microphone and bring it down to the famous announcer, who bestirred himself from his prone position to lean on an elbow, and, squinting closely at his script, managed at least to finish the introduction—if not with perfect diction, at least flufflessly.
At the opposite end of the jitters spectrum was the most unflappable performer I have ever known: Jean Paul King, one of radio's top announcers in the late thirties and early forties. (I sometimes equate announcers with performers because they were often more than abstract voices that read the commercials and introduced and signed off the show. As regular guests in listeners' homes, they became familiar personalities. On many comedy shows they played foil for the star, and a number of them went on to become celebrities in their own right, such as Milton Cross, Durward Kirby, Jimmy Wallington, Ben Grauer, Bert Parks, etc.—each with his own distinctive trade mark of speech and personality.)
If one word were to describe Jean Paul King, it would be "smooth." Everything about him—his skin, his face, his hair, his speech, his manner—was smooth. Nothing fazed him while he was working. He was a marvelously efficient, nerveless announcing machine. With little or no study, he could pick up his script and read off a long commercial, written in impossibly stilted language and full of references to tongue-twisting, newly discovered "secret ingredients," wave hello to a friend who had just entered the studio, and finish without missing a beat.
Although awed by such perfect coordination of mind, body, and commercial, I used to find myself wishing he would make a mistake. Fluff, slur a word, or drop his pages. I like my heroes flawed. I felt a little like Toscanini the time he went to Jascha Heifetz's dressing room after a concert and begged him to play for him just one false note before he died.
One evening, during the famous reporter Floyd Gibbons' show *Headline Hunters* on NBC, something evil
made me saunter up to the mike where King had just begun a long commercial about how a certain shampoo kills "Pitarosporimovali," a bacteria that causes a form of dandruff. I took a half dollar from my pocket and flipped it in front of his face. He glanced up, reached in his own pocket, pulled out another half dollar, pointed to himself then to me (signaling "I'll match you"), flipped the coin, caught it, slapped it on his forearm as I did with mine, won my half dollar, reached across the mike to collect, and finished the commercial without once violating the script, his style, rhythm, or aplomb. As I said—smooth.
Another example of professional savoir-faire was when the well-known announcer Norman Brokenshire was doing a show that, due to a timing error, finished five minutes too soon. Dead air being the cardinal sin of radio, Brokenshire saved the situation by announcing, "Ladies and gentlemen, we bring you the sounds of New York City!" He pulled open the studio window, thrust out the microphone, and held it there for the full five minutes.
Which reminds me of another lovely example of resourcefulness—this time an author's. For a time, the daily serial *The Road of Life* was heard over two major networks until the sponsor decided to eliminate NBC and play it only on CBS. The final day on both, the announcer's tag line read: Starting tomorrow, *The Road of Life* will be heard only over CBS.
This didn't sit well with NBC. It was bad enough losing the show, but a free plug for the rival network was rubbing it in. So they ordered it eliminated.
But the writer, Charles Gussman, a shrewd and determined fellow, rewrote the last scene as a phone conversation between Dr. Brent, the leading character, and a patient who was asking for an appointment. Brent responded by saying that he was moving the next day and could be reached only in care of Doctor C. B. Hess. On paper this was nothing NBC could object to. But spoken by actor Don MacLaughlin, who de-emphasized the word "doctor" and stressed the rest, it was exactly what Gussman wanted it to say. Sneaky, sneaky.
In the same department is the one about W. C. Fields, who, on a prime-time evening show, vexed his sponsor by continually adlibbing a reference to his nephew, Chester (Fields). The sponsor was a rival cigarette company.
Things often went wrong in radio. Remember lovable old Uncle Don, host of a children's show? He is alleged to have concluded a broadcast and sighed, "Well, that'll hold the little bastards," unaware that the engineer was a moment late in flicking a switch, thus permitting those immortal words to be heard from sea to shining sea.
There are those who deny this actually happened, and those who swear they heard it. But true or not, it could have happened. Goofs were to be expected in a medium that poured out shows in such abundance. They could be anything from suddenly discovering your pages were mixed up, having to run quickly to the other side of the mike, and read over another actor's shoulder, to what happened to a director named Jim Jewell, putting on an episode of *Jack Armstrong, the All American Boy*. He threw a cue so hard he smashed his fist through the glass panel separating him from the actors.
Or, in a scene where you're supposed to pull a gun and say, "I'm going to put a bullet through your heart," and the sound-effects man's gun jams, and he keeps trying and
clicks and clicks it until you brilliantly adlib, "No! On second thought it will give me greater pleasure to choke you with my bare hands!"—and then the gun goes off.
The revolver jammed once during a performance of *The Shadow*. The director, Chick Vincent, was so upset he ran from the control room and shouted into the mike, "Bang! Bang!" It just seemed the right thing to do. The show fell apart as the cast dissolved in laughter.
Once during a broadcast before an audience from the New Amsterdam Roof (a converted Broadway theater) an actor with failing eyesight, in order not to lose his place, marked his script with colored pencils—one color for his dialogue, another for his cues. As the show went on the air, the amber stage lights were turned on the performers, washing out all the colored markings. The poor actor fluffed and panicked, and the scene went out the window.
Then there was the time when Broadway star Helen Menken, who was used to freedom of movement on the stage, flung her arm out in such an emphatic gesture that the back of her hand caught the actress next to her full in the face, causing her to yelp with pain and drop her pages.
Apropos adlibbing, Norman Rose, an actor-narrator noted for the deep, cello-toned resonance of his voice, once played Joseph in a dramatization of the biblical story of Joseph and his brothers. It was on a program called *The Eternal Light* (still on the air over NBC). Joseph was thrown into a deep pit by his brothers. The director instructed Norman to adlib for them to take him out. On the air, when the cue came, he spontaneously yelled, "Jesus Christ, get me out of here!" The story took place, of course, several centuries before Christ's birth and, to make
matters worse, the show was sponsored by the Jewish Theological Seminary.
Constantly expecting the unexpected created tensions that often found release in horseplay and practical jokes. Engineers were frequently given a hard time by a performer who looked up at the glass-enclosed control room and silently mouthed words as though he were talking to him. The puzzled engineer, not hearing any sound, checked all his wires, plugs, and controls, thinking something was wrong with his equipment. If such tomfoolery occurred just before going on the air, he would be really frantic. That was mean.
Another mean one (confined usually to rehearsals) was to saunter up to the mike with a cigarette lighter and casually set a top corner of an announcer's page on fire. This had the effect of speeding his tempo.
One morning I was doing a recording of *Boston Blackie* ("Enemy to those who make him an enemy; friend to those who have no friends!"). The title role was played by Richard Kollmar, who, with his wife, Dorothy Kilgallen, were the Dorothy and Dick of WOR's early morning "breakfast" talk show of the same name.
Halfway through the first reading, I found my dialogue difficult to understand. I asked the director, Jeanne Harrison, who was in the control room, if she could clarify it for me. She brusquely told me to go on with the reading. I tried, but it was impossible. I'd acted in some awful scripts in my time, but this was absolute nonsense. The words bogged down in hopeless *non sequiturs*. I began to laugh. Larry Haines, the actor playing the scene with me, tried hard to suppress his titters. Miss Harrison turned nasty. I had never seen her that way before.
"You're not here to criticize the script!" she snapped. "You're here to play it!"
I tried again, but there was just no way of phrasing those words. She kept at me. I felt a rage rising.
"You're supposed to be an actor, aren't you? Well, then act!" she blustered, her voice coming over the talkback, blaring and raucous.
"This stuff is unplayable!" I exploded.
"Do as you're told!" she shouted.
"Nobody can play this crap!" I yelled.
"That's what you're being paid for!" she screamed. "If you can't do it, I'll get someone who can!"
"Go ahead, goddammit!" I said, in full fury. "I don't have to take this kind of abuse from you!" I slammed my script down on the floor, grabbed my hat and coat, and started out.
At this point the entire cast burst out laughing. Jeanne came out of the control room, embraced me and confessed it was all a setup. Those "impossible" pages of the script had been deliberately inserted to provoke my reaction. They had recorded my frustration and the entire explosive scene between us—to play next morning on Dorothy and Dick.
My frayed feelings were calmed by an extra fee.
Probably the best-known practical joke was the one Orson Welles pulled on Charles Martin—the same Charles Martin who testified at my trial. Martin directed an episode of the Philip Morris Playhouse; Welles narrated.
Tensely waiting for Martin's cue to speak, as the hand of the studio clock approached air time, Welles suddenly dropped his script and the pages scattered over the floor. None of the other actors moved to help him recover them.
Martin himself frantically ran from the control room, got down on his hands and knees, desperately scooped up all the pages, hurriedly collated and thrust them up to Welles, just as the red ON THE AIR sign flashed. Welles calmly shoved them aside, pulled the real script from his pocket, and began his narration on time.
Incidentally, if an actor on the Philip Morris Playhouse was seen smoking a rival brand of cigarette, it could cost him his job. The same on other shows sponsored by tobacco companies, such as The Camel Caravan, The Old Gold Show, and The Lucky Strike Hit Parade. In the studio, you dared flash only a pack of the sponsor’s cigarettes. This situation was frequently met by throwing away the original contents and refilling the pack with your own favorite brand.
A similar prank was pulled on orchestra leader Richard Himber by his musicians and production staff, who conspired to set the studio clock five minutes ahead. When ON THE AIR flashed and the director gave the cue to bring in the music, Himber was the only one who didn’t know they weren’t really on the air. When his musicians deliberately played sour notes, he writhed in agony. He glared and grimaced and made threatening gestures with his baton, but the musicians kept missing cues and making musical clinkers until Himber’s torture became unbearable. Then they all stopped playing and laughed.
There was a lot of fun and lighthearted camaraderie among the “in” radio people of those days—much of it, I believe, because most busy actors didn’t take themselves too seriously. Once they developed a technique they could
rely on, they often felt free during a performance to read a book, or newspaper, or play gin rummy until their cue came up.
And certain programs were fun to do. Like a Corwin show, or *The Goldbergs*. Gertrude Berg liked to set up a little *mise en scène*, and have her actors work their own sound effects, whenever possible, such as knocking on and opening and closing doors. If it were a dinner scene, she’d have us sitting around a table, rattling our own cups and saucers. It improved our timing and gave us a feeling of full-dimensional acting.
I also enjoyed working the big nighttime variety shows with the famous comedians: Fred Allen, Milton Berle, Ed Gardner of *Duffy’s Tavern*, Robert Q. Lewis, etc. They usually did sketches manufactured each week by a stable of high-powered (and high-priced) writers, whose talent was measured mostly by the size of their cross-indexed files. Their brains were full of jokes. Mention any subject and they’d instantly produce a stream of relevant gags. They were masters of the old switcheroo; take an old one and give it a new twist. Craftsmen of the topper and the topper of the topper. Many have gone on to glory elsewhere—Neil Simon, Abe Burrows, and yes, Herman Wouk. These shows were nearly always done before large studio audiences, whose laughter improved the actors and made the job fun, and you even got paid for it.
Funniest fun for me was *The Fred Allen Show*. Allen was more than a comedian, he was a rare wit, and wrote much of his material himself. He had a variety of guests, but the most famous feature of his show was *Allen’s Alley*—sketches performed by a little stock company of
characters with wonderful names like "Senator Claghorn," "Pansy Nussbaum," "Titus Moody," "Socrates Mulligan," "Falstaff Openshaw," and a Chinese detective, "One Long Pan."
One of the favorite targets of Allen's sharp satire was the network officials themselves, with whom he was constantly at war over their efforts to tone down his material. They couldn't bleep out what they didn't like because shows were live in those days. Their only recourse was to cut him off the air at the first hint of objectionable material—which they did a number of times.
Another network practice that infuriated Allen was cutting the show off the air at precisely the last second of allotted time. Comedy shows were hard to time accurately because of the unpredictability of the studio audience's laughter and would occasionally run over a number of seconds. Finally, on one show Allen channeled his anger into the following dialogue between himself and his wife, Portland, who was a regular on the program:
PORTLAND: Why were you cut off last Sunday?
ALLEN: Who knows? The main thing in radio is to come out on time. If people laugh, the program is longer. The thing to do is to get a nice dull half hour. Nobody will laugh or applaud. Then you'll always be right on time, and all of the little emaciated radio executives can dance around their desks in inter-office abandon.
PORTLAND: Radio sure is funny.
ALLEN: All except the comedy programs. Our program has been cut off so many times the last page of the script is a Band-Aid.
PORTLAND: What does the network do with all the time it saves cutting off the ends of programs?
ALLEN: Well, there is a big executive here at the network. He is the vice-president in charge of "Ah! Ah! You're running too long!" He sits in a little glass closet with his mother-of-pearl gong. When your program runs overtime he thumps his gong with a marshmallow he has tied to the end of a xylophone stick. Bong! You're off the air. Then he marks down how much time he's saved.
PORTLAND: What does he do with all this time?
ALLEN: He adds it all up—ten seconds here, twenty seconds there—and when he has saved up enough seconds, minutes, and hours to make two weeks, the network lets the vice-president use the two weeks of your time for his vacation.
Halfway through this sketch was cut off the air.
I was on Allen’s show once as a guest star. You see, I have an odd little talent that intrigues people (not all), and every once in a while I was invited to demonstrate it on a show. Actually, it is quite an accomplishment. Unbelievable. Absolutely incredible. Fabulous. I am able to produce a musical tone by clasping my two palms together and slowly pulling them apart. By controlling the sound with other hand muscles, I can squeeze out musical compositions. Many find this hilarious, others revolting. True, I have never quite been able to refine it to the point of touching people aesthetically, but the tunes are recognizable—even some classical pieces—and the effect quite startling. You really have to hear it to know what I’m talking about.
Anyhow, I was invited to “play my hands” on Fred Allen’s program. That evening was one of my fondest radio memories. I thought I had heard every possible joke about my hands, but Allen sprang a few new ones. “What kind of
music are you going to palm off on us tonight?” he asked. “Handel?” and after I played “Swanee River”: “If you put mittens on, would that be like muting a trombone?”
Although the sound itself was just this side of vulgar, amplification and (blush) artistry made it funny. The studio audience howled.
However, like every great artist, I wasn’t completely satisfied with my work. I felt I could have squeezed out a purer tone if my hands hadn’t perspired. Now, in those days, because of the time difference, we had to come back at midnight to do a repeat show for the West Coast. During the interval I went out and bought myself some talcum powder in order to keep my “instrument” dry. As I was being introduced on the air, I took the can from my pocket and dusted my hands. Allen, right across the mike from me, hadn’t seen this on the first show, and I had neglected to warn him. He broke up. He guffawed so loudly into the mike—which was wide open for my tiny little squeak—that he knocked us off the air. I can’t explain that technically, but I swear it happened.
After my guest appearance, I received an interesting fan letter:
10 Mountnoel Ave.,
Toronto, Ont.
Canada.
Mr. Hand Musicmaker
Dear Sir,
I heard you on Fred Allen’s show tonight and thought I would like to tell you that I have a habit of doing the same thing for which you were on Fred’s program for.
I acquired it as a nervous habit also and up to this time it has
been looked upon with disapproving eyes by my parents. At the time of your act though a change has come into their stare and it is now of a sort of reverence.
It struck me so funny that I couldn’t help writing you this note.
Hoping that I can make music like you I will close.
Yours respectfully,
D.E.
It pleased me to have contributed to the serenity of his home life, but it was saddening to learn I was no longer unique.
Leonard Lyons, the syndicated columnist for the New York Post, once had me demonstrate my extraordinary talent for the famous impresario, Sol Hurok. Hurok was greatly amused, but for some reason never asked how to get in touch with me.
Another time Lyons introduced me to the great pianist Artur Rubinstein and told him of my musical gift. Rubinstein asked me to play something for him. I squeaked out a bit of “The Hall of the Mountain King” from Grieg’s Peer Gynt. He was delighted. “Ach,” he said, with elaborate gestures, “that is wonderful! You are so full of music it comes out your fingers!” and then added, “I still need a piano.”
My thirty years of radio activity pretty well spanned the spectrum—from the foolishness with my hands to playing Hamlet. Somewhere along the line, I touched nearly all bases—including sound-effects man, announcer, newscaster, disk jockey, writer, and foreign correspondent.
Throughout it all, I stubbornly clung to the notion that
this was not really my career, only a temporary way of making a living until I connected with the right role and made it big in the theater, or Hollywood.
How long is temporary? Lord, how fooled we mortals be. I don’t know at what point I stopped thinking of radio as marking time; perhaps I never did—even after 20,000 broadcasts. But the fact is that during those thirty years a full-fledged career budded and blossomed, for which I’m enormously grateful. It was a privilege to have been there during the salad days of radio—to have participated in the dynamic growth of this potent medium and art form that rewarded me with adventures, that deepened and enriched my life.
Would the theater have sent me to opposite ends of the earth to report the condition of man under the ultimate stress of war? Hardly.
Would the theater have allowed me to play Hamlet? Methinks nay.
Or leading man to such glamorous stars of my childhood as Marlene Dietrich, Fay Wray, Myrna Loy, Joan Crawford, Nancy Carrol, Veronica Lake, Helen Hayes—to name-drop only a little? Unlikely. Although not strictly a character type I’m just off center enough not to be thought of as a romantic lead. But in radio I was assigned them constantly.
In this regard, radio was a boon to many frustrated actors whose physical qualities didn’t quite match their leading-man souls. Six foot tall and symmetrical didn’t matter. Of course, they couldn’t be too misshapen, either, because then it had to do with the actor’s image of himself. If he couldn’t believe, the audience wouldn’t. And so, actually, most of radio’s leading men and women looked the part.
Although in many cases the audience imagined them more handsome than they were.
What a wondrous thing was that imagination. How real it made a radio drama—especially a soap opera, where five days a week, year in and year out, millions of women listened as they did their housework, deeply identifying with the characters in all their joys and suffering—mostly suffering.
In the theater, or at the movies, or when we read a novel, we know it’s not real, but we suspend our disbelief. In radio it was astonishing how many listeners had no disbelief to suspend.
Once, on *The Life of Mary Sothern*, the character I was playing got married. I received numerous wedding presents in the mail, including baby clothes and a bassinet.
When on *The O’Neills* I played the role of a man being tried for a murder he did not commit, and it was very sad because he had no money to hire a good lawyer, several listeners were so moved that they mailed in money to start a defense fund.
I’ve often wondered if people had to be a little cracked to believe so profoundly in the reality of those soap operas. I’m still not sure of the answer.
We all have an innate will to believe. Our capacity to do so has been eroded by the exploiters of our innocence, but I suspect there are those who have hung on to the purity of their naïveté and believe everything they see, read, or hear. Orson Welles’ famous *War of the Worlds* broadcast is a good example of the credulity out there in radio land, not only because the nation panicked when told the Martians had invaded. In this age of enlightened science, the most
sophisticated can keep a corner of his mind open to that possibility. What interested me was that even after the country was told that it was only a radio show, for weeks people drove by to get a tourist's thrill out of staring at the spot in New Jersey where the Martians were supposed to have landed.
Cracked? I prefer to think of them as pure in heart.
15. Fan Mail
Fan mail played a large part in the lives of radio performers.
Most fan mail was received by those who played running parts. We didn’t hear our applause, but we read it. And it strengthened us. Often radio actors had the funny feeling they were just sending words out into a cosmic vacuum. Letters received from “out there” confirmed our function.
Fan letters to radio stars differed from most movie fan mail. The intimacy of the medium seemed to invite more intimate letters. And though most were complimentary, there was no typical fan. They came in all fabrics. Some were flirtatious:
... I have an idea you are about twenty-two, someone who likes tweeds and smokes a pipe. Maybe you have blond, wavy hair with blue eyes or maybe you don’t but that’s what I want to find out. Would you please send me a picture?
Your’s truly till next Monday at 8:30.
... I listen to *Big Sister* religiously. However, I don't know whether I have a crush on "Ken Morgan" or Joe Julian—or both. Probably it is the composite man, at that. I'm sure it was your voice I heard on one of *Aunt Jenny's Real Life Stories*, in which you played the husband, "John," and I was taken with you then, too, so maybe it is Joe Julian after all. A photograph will soon set me straight, because if it doesn't compare favorably with the picture I have in my mind of "Ken Morgan," I shall go back to being faithful to the latter, and no more questions asked about the real man—he can go hang.
**Some needed to tell their problems:**
I first became interested in these daytime serials some months ago when I found myself living alone with my baby, and practically housebound taking care of him. He is now ten months old and naturally I am still more or less confined to my home looking after him so that dialing in the daytime shows has become at least a habit, if not actually part of my existence...
**They were all ages:**
... I am listening to you now and drawing all over the paper at the same time. You were wonderful on the *Inner Sanctum*, but why do you have to be a murderer?
... My girlfriend Margaret Smith and me have listened to you on *Nero Wolfe* and we want your photograph. I hope the program will still be on when we go back to school and that mother will let me stay up to hear it.
Anyway here is five cents for the picture. We are buying defense stamps but will send more if you want it.
**Some were critical:**
Dear Archie:
This letter is an appeal to you to save my respect for *Nero Wolfe*. Have you ever heard him express pleasure in any way
except by a heavy throated laugh? He’s so nonchalant in working with his orchids and discussing good food and solving all those mysteries that I cannot imagine him spending so much energy in bringing forth that awful laugh. As his assistant, can’t you do something about it? Best wishes for success in this matter.
Some were angry:
... We Catholics of Salt Lake City take strong exception to the remarks of Joseph Julian in *An American Back Home* over KSL, in which he says the Nazi cause won out in the revolt of the religious people of Spain against the liberal government which was repudiated by the people. The people are happy now they have a liberal dictatorship. Everybody in Spain knows what started the revolt—the murder of 17,000 priests, the burning of 16,000 churches, hundreds of convents destroyed and nuns raped and holy men killed who had never done anybody any wrong and who had never turned a hungry person from their gates. I defy smart aleck correspondents like Joseph Julian who know nothing about God and who largely get their information sitting around hotel lobbies to disprove these figures! ...
Some were consoling:
... Am I correct in recognizing in the *David Harum* story, the creator of the original Michael West?
We were disappointed when someone else took your place, because we felt that no one else would ever be quite suitable in a role that you had created and incidentally, we no longer listen to this story ...
And some were deeply grateful:
... I listened to your delightful *American in England* program every week. They are so very human and lifelike. You see, I am an Englishwoman, born, raised, and married in England. I came to this country as a bride in 1918. My good husband is an American and he was a soldier in the last World War.
Now my fine and dear son is somewhere in this war. He is a lieutenant and twenty-three and a law graduate of the University of Minnesota. We haven't heard from him in over two months, so we are sad and longing to hear that he is safe and still well. . . .
My family back home lost all by bombs, but they did not kick any. They showed such a fine spirit.
Please carry on with your programs.
Many of us answered our own fan mail, which often led to long-term pen relationships, usually with shut-ins, for whom these contacts were golden treasures.
16. Whither Withered Radio?
What was radio? It was, actually, a rather silly-looking spectacle: a group of unglamorous people sitting or strolling around a large room, holding sheets of paper in their hands, mumbling to themselves; going up to a microphone, delivering their lines, sitting down, lighting a cigarette. A grown man jumps up and down in a sandbox creating the sound of running footsteps, or slaps his chest for horses' hoofbeats, or slowly crushes the cellophane wrapper from a pack of cigarettes to indicate a forest fire, while behind a glass panel, a man with a worried look on his face and a stop watch in his hand makes "stretch" or "faster" signs for the performers, who then change pace according to the purchased piece of time rather than the dictates of artistic imperative.
But, miraculously, all this nonsense came out the other end fused in a concord of sounds that gripped, entertained, and enthralled millions of Americans every day. Radio drama was the tranquilizer, the emotional pain-killing drug of the time. The profound depths of its influence on
the national psyche will never be known, but the ubiquitous murder mysteries, the simplistic action dramas, and the moist soap operas at least made life more bearable for the isolated, the lonely, and the frustrated, who, by identifying with the characters, daily achieved some degree of catharsis—which, I submit, is a proper function of art.
The audience experience was unique in another important way. Television and film audiences are essentially passive. They watch and wait for something to be “done” to them. Theater audiences, too, mainly relate passively to happenings on stage—in spite of the “liveness” and the three-cornered current that flows among ourselves, the actors, and other members of the audience. But radio is “Theater in the Mind,” and the audience must earn its reward. It must always expend energy, reaching out to embellish, to supply what is not there. It is a private, personal medium, best listened to at home with no distractions to the exercise of imagination.
No other art form ever engaged the imagination more intensely. Even bad radio shows were better than their equivalent in other media, the listener’s imagination providing more reality than could be shown on a screen or stage. This creative expenditure of energy made the listeners collaborators in the truest sense. They designed the costumes and created the scenery. They visualized nuances of locale and performance that the writer didn’t write and the actor couldn’t convey. This, I believe, accounts for the great nostalgia—for the glowing affection with which those of you who are old enough remember your favorite radio programs. Because they were, largely, your own creations.
So why did it die? If radio was so wonderful, why did it
dwindle down to music and news, disk jockies and phoned-in questions to experts who know everything about everything?
As television developed, the big advertising budgets were shifted into this new, exciting, visual medium, with its fantastic selling potential. You could make viewers drool for products by showing them! Radio became a step-child. Especially radio drama.
But something funny happened on the way to the poor-house. The radio networks, in changing their format, discovered they could make as much money without hiring actors, producers, writers, directors and musicians to put on dramas. The one-man shows saved them a bundle. And they sold even more commercials. The talk shows squeeze them in almost between syllables—which can’t be done on a structured dramatic program.
And so, like it or not, for over a decade the public has been deprived of an art form that flourishes in every other major country in the world.
But hark! I hear a crackle of static! And isn’t that Orson Welles’ voice, laughing maniacally as The Shadow? And that burst of machine-gun fire and the screaming siren? Why that’s the old Gangbusters signature! And there’s the Inner Sanctum door squeaking open? And wasn’t that Molly telling Fibber, “Tain’t funny, McGee”?
Do I really hear this or am I hallucinating?
No, it’s for real. The corpse is stirring. Someone bought up recordings of these oldies and gave them a ride over 500 FM stations around the country.
Discovery! Wow, this stuff’s great! The kids love it! They’ve never known anything like it! And for the old
folks—nostalgia! The whole country's on a nostalgia kick!
Well, that's only a fad, it will soon pass. Ah but no! Commercial nostrils are quivering. And here is Hi Brown with an idea whose time has come—again.
For years Brown had been working to bring back radio drama, pitching low-budget packages at the networks and getting regular turn downs. Now was the time, if ever. By finding more corners to cut, such as winning concessions from the actors' union, lining up writers for $300 a script with instructions to keep the casts small, he was able to offer the networks a low cost, modern version of Inner Sanctum, squeaking door and all, with E. G. Marshall as host.
CBS, sniffing out this wind from the past, decided to gamble. They made a deal for an hour network show every day for a year.
The response to this show—the CBS Mystery Theatre—was enormous. It gave major impetus to the upswing now in the making.* Love stories, soap operas, and westerns are being planned. Rod Serling began hosting the Hollywood Radio Mystery Theater, produced on the West Coast and syndicated across the country. The FM Stations (the Off-Broadway of radio) are already carrying a number of new programs such as the National Lampoon Radio Hour, with sketches more daringly satirical than anything in the past, and heard on over 100 stations. An all-black soap opera is in production.
How far this revival will go I don't know. Certainly our
*The first ratings showed that this program, in the New York area alone, is garnering the largest total audience—approximately a quarter million listeners per one quarter hour—virtually twice the audience of the second place station, and equal to the combined totals of its two closest competitors.
passion for radio will never again be such that movie houses interrupt their films, as they used to do, to bring their audiences the latest chapter of *Amos and Andy* over the public-address system. Radio will never regain its pre-television eminence. But to realize even its potential, it must go beyond the "oldies" and old concepts. It can't get stuck in nostalgia. It must deal with conflicts that reflect the life and problems of today.
But who will write the scripts? There are still a few radio writers around, but they're mostly too old and set in their thinking. Fresh young minds and talents are needed to speak for now. But where are they? With practically no radio drama around for more than a decade, where could they have developed a writing technique?
They must start from scratch. Trial and error. As in the beginning. And the industry must nurture them. Experimental programs are needed where they can get a start, and perhaps, incubate some quality shows above the "pulp" level. Minority tastes must also be catered to. If radio drama is to have a continuing place in broadcasting, the whole body must be revived. So let's also hear it for shows with some cultural protein. Let's hear it for the art houses of the "Theater in the Mind." Maybe there's another Norman Corwin out there somewhere. Let's shout him a word of encouragement. Or how about the original? Maybe, if we shout loud enough we can entice him back, convince the network moguls to commission him some new work—or ask them to revive some old Corwin.
What about the performing talent? Where are today's microphone-trained actors? We needn't worry. Supply will catch up with the demand. They'll come out of the woodwork if the need is there, including the specialists, the
screamers, animal imitators, and baby criers. Those with the knack will just need a little time to develop.
If you're wondering what happened to that great pool of marvelously skilled performers of the past, some have died, some retired, some managed to cross the bridge to films, television and the stage, and the rest are out a'whorin' in commercials. Many became rich using their microphone training to do radio and voice-over (off-camera) commercials. And since their income now depends on how well they sell products, they rightfully take more pride in their accomplishments as salesmen than as actors. Well, there have always been periods in history when art put itself in the service of commerce. And if there are still any foolish idealists among us who feel that actors should nourish the human spirit more directly than by selling Mrs. Jones a product that waxes her floors better, or Mr. Jones a bottle of something that improves his breath—if there are those who suffer guilt for seeking a livelihood in Daemon's territory, let them find comfort in numbers. Let them take consolation from the knowledge that many of our major artists are doing commercials these days—including Orson Welles, Henry Fonda, Robert Morley, Marcel Marceau, and even Sir Laurence Oliver. And if all these great stars do it, it really can't be wrong, can it?
But what about the lack of opportunity to express myself creatively? Isn't it frustrating? Yes, it is. But it's also frustrating not to be able to pay the rent. (A classic conflict that I hereby escalate to a mystery.)
Anyhow, there are occasional opportunities for actors to fulfill themselves in commercials. Why just the other day I
created one of the most original characters of my career: I played the voice of a streptococcus infection. I was lurking in Mrs. Simpson’s wash, until G-Man Concentrated Super Suds in the Blue Box came in and arrested me.
The revival of radio will once again give many performers an opportunity to function, at least partially, as artists, and at the same time, earn a good living.
For the public the rewards will be greater. Listeners will reclaim an art form that was important and dear to them. Small, portable sets have desocialized the medium and made it even more intimate. You can now hear your favorite radio program on your pillow, or under the covers, or in the bathroom—and innumerable other places where there’s just the “two of you.” May you live happily ever after.
(Sneak in organ music)
And now, as we leave the air, this is Joe Julian saying I’ve enjoyed spinning off these memories of my “thirty years before the mike.” I hope they have given you some pleasure and an inkling of what it was like behind the scenes in radio’s golden age. (Pause) I also hope they have whetted your appetite for radio’s rejuvenation. But it’s true that revival will be sparked only when the moguls are convinced it will pay off; when they hear the sound of money ringing in their ears.
(Sound-effect: coins jingling)
There are signs this is beginning to happen. The moguls are becoming increasingly aware of the vast portion of our
population with ears at the ready. There are signs that soon we will no longer be deprived of an art form that flourishes in every other major country in the world.
(Music up briefly—fade and hold under)
Trying to analyze the reasons for the broad, universal appeal of radio drama I found it expressed best by a little seven-year-old boy who, during a recent survey on preferences of children, was asked which he liked better, plays on the radio or plays on television.
"On the radio," he said.
"Why?" he was asked.
He thought for a moment, then replied, "Because I can see the pictures better."
|
Bible Lessons
"Holding as in a glass the glory of the Lord, we are CHANGED . . ." II Cor. 3:18
ADULTS -- YOUNG PEOPLE
Volume 21, No. 4
Oct., Nov., Dec.
1989
Faith Pub. House
Guthrie, Okla.
73044
| Date | Title | Page |
|--------|----------------------------------------------------------------------|------|
| Oct. 1 | Consolation in Suffering and Tribulation | 1 |
| 8 | Comfort and Mercy to All | 8 |
| 15 | Ministration of the New Testament in the Spirit | 9 |
| 22 | The Manifestation of the Truth | 13 |
| 29 | Aspects of the Hope of the Righteous | 17 |
| Nov. 5 | The Ministry of Reconciliation | 21 |
| 12 | Approaching Ourselves as the Ministers of God | 25 |
| 19 | Perfecting Holiness in the Fear of God | 34 |
| 26 | Being Poor in this World, but Rich in Christ | 38 |
| Dec. 3 | The Blessing of Giving | 42 |
| 10 | The Right Kind of Warfare and Strife | 45 |
| 17 | Warnings Against False Teachers | 49 |
| 24 | "When I am Weak, then am I Strong" | 53 |
| 31 | Examining and Proving Ourselves to be in the Faith | 57 |
Publishing the Bible truths in the interest of Jesus Christ and His Church
Edited by Leslie C. Busbee and Wayne Murphey
Subscription Price-50¢ a copy for quarter of year, or $2.00 per year, issued quarterly.
Second class postage paid at Guthrie, Oklahoma
Published Quarterly By:
FAITH PUBLISHING HOUSE
920 W. Mansur Ave.
Guthrie, Oklahoma 73044
Postmaster: Please send address corrections to above address.
Theme for Fourth Quarter, 1989
Our Bible lesson studies for this quarter will be the second epistle of Paul the apostle to the Corinthians. In the 14 lessons in this series of studies we will be able to cover a number of precious subjects. This was Paul’s second letter to these brethren, a sequence to the first letter and the effect for good that it had upon them. The comfort and mercy of God, the true ministry of the New Testament and Christ’s ministers, the hope we have in Him, the purity and standard of holiness that is ours to follow, the blessing of giving and being poor for Christ, the spiritual warfare that we are in, warnings against false preachers, being strong in our weakness, and examining ourselves in the true faith are all wonderfully expounded by the anointed heart and pen of the beloved Apostle Paul. We sincerely trust that this series of lessons will prove to be a wonderful blessing to everyone as much as we have enjoyed preparing them.
—Bro. Leslie Busbee
October 1, 1989
CONSOLATION IN SUFFERING AND TRIBULATION
II Corinthians 1:3 Blessed be God, even the Father of our Lord Jesus Christ, the Father of mercies, and the God of all comfort;
4 Who comforteth us in all our tribulation, that we may be able to comfort them which are in any trouble, by the comfort wherewith we ourselves are comforted of God.
5 For as the sufferings of Christ abound in us, so our consolation also aboundeth by Christ.
6 And whether we be afflicted, it is for your consolation and salvation, which is effectual in the enduring of the same sufferings which we also suffer: or whether we be comforted, it is for your consolation and salvation.
7 And our hope of you is stedfast, knowing, that as ye are partakers of the sufferings, so shall ye be also of the consolation.
8 For we would not, brethren, have you ignorant of our trouble which came to us in Asia, that we were pressed out of measure, above strength, insomuch that we despaired even of life:
9 But we had the sentence of death in ourselves, that we
should not trust in ourselves, but in God which raiseth the dead:
10 Who delivered us from so great a death, and doth deliver: in whom we trust that he will yet deliver us;
11 Ye also helping together by prayer for us, that for the gift bestowed upon us by the means of many persons thanks may be given by many on our behalf.
12 For our rejoicing is this, the testimony of our conscience, that in simplicity and godly sincerity, not with fleshly wisdom, but by the grace of God, we have had our conversation in the world, and more abundantly to you-ward.
18 But as God is true, our word toward you was not yea and nay.
19 For the Son of God, Jesus Christ, who was preached among you by us, even by me and Silvanus and Timotheus, was not yea and nay, but in him was yea.
20 For all the promises of God in him are yea, and in him Amen, unto the glory of God by us.
21 Now he which establisheth us with you in Christ, and hath anointed us, is God;
22 Who hath also sealed us, and given the earnest of the Spirit in our hearts.
24 Not for that we have dominion over your faith, but are helpers of your joy: for by faith ye stand.
Memory Verse: Blessed be God, even the Father of our Lord Jesus Christ, the Father of mercies, and the God of all comfort. II Corinthians 1:3.
Central Thought: The sufferings that we bear as followers of Christ are balanced by the comfort and consolation that Christ abundantly fills the heart with.
Word Definitions: Tribulation: Any trouble or distress that we meet in the Christian life. Comfort and consolation: Both of these words are generally from the same Greek word which means solace or encouragement. Simplicity: Singleness (as Jesus said, “If therefore thine eye be single,” Matthew 6:22), sincerity without pretence or self-seeking; also generous and giving abundantly. Godly sincerity: Clearness and purity of God. Yea: Yes, positive. Yea means faith and believing, counting God faithful and true. Nay: No, negative. This is unbelief, doubts, darkness and despair. “Dominion over your faith”: No man can rule or dominate another man’s faith. Every man must stand on his own personal faith and trust in God.
LESSON BACKGROUND
"It is a general opinion among learned men that this second epistle to the Corinthians was written about a year after the first epistle. That the first epistle has produced powerful effects among the Corinthians is evident from what the apostle mentions in this. Titus had met him in Macedonia, and told him of the reformation produced by the epistle; that the Church had put out from among them the evil, and that the epistle had overwhelmed them with great distress; had led them to a close examination of their conduct and state; and had filled them with respect and affection for the Apostle Paul. Hearing this, Paul wrote this second epistle to comfort and to commend them." —Adam Clarke. Paul is rejoicing in the comfort and consolation that he was finding in Christ in view of all of the tribulations that he and the saints were going through. He was finding that the sentence of death that he constantly lived under only helped to prove the power of God in his life. The true faith of these Corinthian brethren and their love for Christ and for Paul was the greatest joy to his heart and the richest fruit that he had hoped to see fulfilled in their lives. —Leslie C. Busbee
QUESTIONS:
1. What was the gracious title that Paul attributed to God in our lesson?
2. What is God’s purpose in comforting us?
3. By what means are we going to be able to comfort others?
4. As the sufferings of Christ abound in us, what also abounds?
5. How does the consolation of the Lord help to offset the tribulations?
6. Why did God allow Paul to have the sentence of death in himself?
7. In the sentence of death, what did Paul learn to trust in?
8. In what way did the Corinthian brethren help Paul in the things that he suffered?
9. What was Paul’s rejoicing in all of his tribulations?
10. What would be the result of a mixture of positive and negative preaching?
11. What effect does a totally positive gospel have upon a soul?
12. Instead of having dominion over their faith, what did Paul seek to be to them?
ADULTS' AND YOUNG PEOPLE'S COMMENTS
Today we need a positive gospel. A gospel that does not bring a clear and definite experience of faith and victory in the heart and life is a detriment and a hindrance. Raising questions with no answers is an uncertain sound that will cause no one to prepare for the battle of a Christian. One who seeks the Lord with all of his heart and who takes up his cross to follow the Lord must be backed and supported by strong consolation and assurance from the Lord and His Word. Viewing God as the Father of mercies and the God of all comfort helps to give positive and definite assurance in our hearts to hold fast to our faith in him. What we suffer as a Christian will be made up for by what we enjoy in Him. This consolation that Christ bestows upon the suffering heart is the sweetest reward for the tribulations that we suffer for His sake. Great sufferings and loss for the Lord will be counterbalanced by great joys and victory in the presence of the Lord in our hearts. Many times the children of the Lord literally carry upon them the threat and sentence of death. In another place Paul said that we are killed all the day long and are accounted as sheep for the slaughter. (Romans 8:36). The child of God (in one way or another) finds himself constantly in danger of his life. This is also true for all human beings, but more so for those who are followers of Christ. But this sentence of death only magnifies the miracle of the life of God that is manifested in us. Our trust is in God who raiseth the dead. This gives a decisiveness to our faith, and we are able to go forth each day for the Master with hope and trust for ultimate victory.
—Leslie C. Busbee
FOOD FOR THOUGHT
It is a hard concept to understand, especially when in the midst of sorrow, but good things can come by passing through trials. It is only natural that trials cause us to seek more fervently a close relationship with God, and this is the right approach to take.
It is foolish to look for ways to suffer in an attempt to get blessings, but neither should we always try to protect ourselves from having to endure those things that may be brought against us.
A story is told of a missionary in Africa on furlough who bought a sundial that it might help African village people to tell the time of day. He set it up in the midst of the village, but his people were so filled with admiration and wonder that
straightway they built a roof over it to protect it from sun and rain.
These villagers inadvertently and unwisely ruined the purpose of what the sundial was for since they did not understand its workings. Likewise, it is possible to distance ourselves from trouble and completely annul the purpose God had in letting it take place. Rather than seeking direction from God in their lives, some people let problems come between them and Him. We will not be so prone to do this if we realize the consolation God has for His people in the midst of trials.
A relationship with God brings comfort, for God is a merciful God. Abraham Lincoln once told a friend, "I have not suffered by the South, but I have suffered with the South." This is how God views our trials. He suffers with us. When God is viewed in this manner it brings great consolation to a troubled heart.
—Wayne Murphey
October 8, 1989
COMFORT AND MERCY TO ALL
II Corinthians 2:1 But I determined this with myself, that I would not come again to you in heaviness.
2 For if I make you sorry, who is he then that maketh me glad, but the same which is made sorry by me?
3 And I wrote this same unto you, lest, when I came, I should have sorrow from them of whom I ought to rejoice; having confidence in you all, that my joy is the joy of you all.
4 For out of much affliction and anguish of heart I wrote unto you with many tears; not that ye should be grieved, but that ye might know the love which I have more abundantly unto you.
5 But if any have caused grief, he hath not grieved me, but in part: that I may not overcharge you all.
6 Sufficient to such a man is this punishment, which was inflicted of many.
7 So that contrariwise ye ought rather to forgive him, and comfort him, lest perhaps such a one should be swallowed up with overmuch sorrow.
8 Wherefore I beseech you that ye would confirm your love toward him.
9 For to this end also did I write, that I might know the proof of you, whether ye be obedient in all things.
10 To whom ye forgive any thing, I forgive also: for if I
forgave any thing, to whom I forgave it, for your sakes forgave I it in the person of Christ;
11 Lest Satan should get an advantage of us: for we are not ignorant of his devices.
14 Now thanks be unto God, which always causeth us to triumph in Christ, and maketh manifest the savour of his knowledge by us in every place.
15 For we are unto God a sweet savour of Christ, in them that are saved, and in them that perish:
16 To the one we are the savour of death unto death; and to the other the savour of life unto life. And who is sufficient for these things?
17 For we are not as many, which corrupt the word of God: but as of sincerity, but as of God, in the sight of God speak we in Christ.
Memory Verse: Now thanks be unto God, which always causeth us to triumph in Christ, and maketh manifest the savour of his knowledge by us in every place.
II Corinthians 2:14.
Central Thought: There is forgiveness for the sinner, and more graces for the faithful in the great provision of grace and blessing that is found in the fulness of Christ.
Word Definitions: Heaviness: Sorrow. Sorry: Sad. “Savour of his knowledge”: The odor or fragrance of Christ. “The savour of death unto death, or of life unto life”: The gospel is preached to all in its purity and assurance. To those who hear, believe, and obey it brings life to the soul, but to those who refuse and turn away it becomes the means of death, spiritual and eventually eternal if they do not turn from their evil ways. “Corrupt the word of God”: To adulterate, add to or take from the sacred meaning of the Scriptures.
LESSON BACKGROUND
In his first epistle to the Corinthians, Paul had laid the truth down to them. He had spoken plainly and pointedly to them concerning various issues and problems that existed among them. His tender heart was rent with sorrow to have to say some of the things that he said in his first letter. No real loving parent enjoys having to scold or censure his child. He will do it when he sees it is vital for the welfare of the child, but he does not enjoy it. Many times it hurts the parent as much as the child to have to chastise and discipline. But great
joy comes when the fruits of the discipline come forth. Paul saw the fruits of his ministry coming forth. He seeks now to commend the dear ones there in Corinth, and to encourage them. He seeks to bring assurance of God's forgiveness to that erring one who had repented of his wrong and was seeking mercy and comfort. He did not want that one driven to despair and swallowed up with sorrow. That is why he urges them to confirm their love to him. He forgave him and he wants them to forgive, also. He knew that Satan would get an advantage over that soul if forgiveness, comfort, and assurance was not heaped at the door of his heart. The triumph in Christ really meant much to Paul in seeing what the Lord had accomplished with the brethren at Corinth. —Leslie C. Busbee
**QUESTIONS:**
1. What was the only reason why Paul had made the brethren at Corinth sorry?
2. What was he wanting to come from this sorrow?
3. What was to be Paul’s greatest joy concerning the brethren?
4. What did he want them to know in regard to how he felt about them?
5. Why did Paul allow himself to be grieved only in part?
6. How should we treat one who has sinned and has repented of their sin?
7. What can be the effect on someone who has sinned and is seeking pardon when he finds no mercy, love, or forgiveness at the hands of the Church?
8. What are some of the things that Satan can suggest to a discouraged soul at this point?
9. What are we unto God as we proclaim the truth of the gospel to souls?
10. How are we a savour of life unto life to the saved?
11. How are we a savour of death unto death to those who refuse to heed the gospel?
12. What are the serious consequences of corrupting the Word of God?
**ADULTS’ AND YOUNG PEOPLE’S COMMENTS**
In all of the work of preaching, reproving, disciplining, and proclaiming the truth of the eternal Word of God that comes to us in the gospel, there is a vital ingredient without which the whole business will be an utter failure. This ingradient is very easy to be short of, and that is love—warm, fervent, and affectionate love to one and all. This is the number one ingredient. In all of Paul’s dealings with these brethren, the fervent love and affection he had for them was manifested clearly. They had no doubt of his love and godly sincerity toward them. To the erring soul was given reproof and warning mixed with love and sympathy. When such a one repented, comfort and faith was promoted to be instilled in his heart and mind. He must be aware, not only of the magnitude of his sin, but also of the magnitude of Christ’s forgiveness and good will. And, he must not only know that Christ forgives him, but he must also be assured of the mercy, forgiveness, and good will of the Church from which he had been excommunicated. This expression of love and mercy must be clear and confirmed to him, otherwise the Devil is ever present to put thoughts of discouragement and despair into the mind. This is Satan’s greatest tool. This is his prime device. He can implant seeds of doubt, fear and despair into the heart so easily, and too many times he has succeeded in turning those away that could have been won if the love of God would have been gotten across to them. Let us diligently seek to manifest the Word of Christ as it really is so that hearts can be drawn and won to come to the Lord for mercy, pardon and salvation.
—Leslie C. Busbee
FOOD FOR THOUGHT
In Adam Clarke’s commentary it brings out the thought that the “triumph in Christ” Paul speaks of is a comparison to the triumphal parades given Roman conquerors when they returned from a great victory. Adam Clarke relates that the parade, among other things, consisted of victims of the enemy who were to be sacrificed. During this time, all the temples were opened and every altar smoked with offerings and incense. To some this celebration meant great rejoicing. The smell, or savour, of the incense was very exciting and invoked a thrill in the hearts of the victorious people. But it also meant death to those who were conquered.
The Apostle Paul was used by God in proclaiming God’s counsel and he felt as the Roman conqueror. A great victory had been won and he was enjoying the triumph of it. However, Paul stressed in the first of our lesson the tenderness of his heart in God using him. His approach toward the people was one of mercy and comfort. How prone man is to conquer
through fear and judgment. God knows that comfort will be needed when the Word is used. Great havoc can be wrought when it is not handled that way.
It is important to notice that his triumphing was in Christ. It was not something that Paul had attempted on his own, but he was motivated by Christ, he preached Christ only, and then he could depend on Christ to give the grace that was needed to make everyone victorious. —Wayne Murphey
October 15, 1989
MINISTRATION OF THE NEW TESTAMENT IN THE SPIRIT
II Corinthians 3:2 Ye are our epistle written in our hearts, known and read of all men:
3 Forasmuch as ye are manifestly declared to be the epistle of Christ ministered by us, written not with ink, but with the Spirit of the living God; not in tables of stone, but in fleshly tables of the heart.
4 And such trust have we through Christ to God-ward:
5 Not that we are sufficient of ourselves to think any thing as of ourselves; but our sufficiency is of God;
6 Who also hath made us able ministers of the new testament; not of the letter, but of the spirit: for the letter killeth, but the spirit giveth life.
7 But if the ministration of death, written and engraven in stones, was glorious, so that the children of Israel could not stedfastly behold the face of Moses for the glory of his countenance; which glory was to be done away:
8 How shall not the ministration of the spirit be rather glorious?
12 Seeing then that we have such hope, we use great plainness of speech:
13 And not as Moses, which put a veil over his face, that the children of Israel could not stedfastly look to the end of that which is abolished:
14 But their minds were blinded: for until this day remaineth the same veil untaken away in the reading of the old testament; which veil is done away in Christ.
15 But even unto this day, when Moses is read, the veil is upon their heart.
16 Nevertheless when it shall turn to the Lord, the veil shall be taken away.
17 Now the Lord is that Spirit: and where the Spirit of the Lord is, there is liberty.
18 But we all, with open face beholding as in a glass the glory of the Lord, are changed into the same image from glory to glory, even as by the Spirit of the Lord.
Memory Verse: . . . Our sufficiency is of God; Who also hath made us able ministers of the new testament; not of the letter, but of the spirit: for the letter killeth, but the spirit giveth life. II Corinthians 3:5, 6.
Central Thought: In the New Testament of Jesus Christ, the laws of God are ministered by the anointing and inspiration of the Holy Spirit, written upon the tender hearts of humble and submissive souls who are able to look steadfastly upon the glory of the Lord, and are changed from the glory of the flesh to the image of Christ.
Word Definitions: "Our epistle written in our hearts": The Greek text says "written in your hearts." The epistle Paul wrote to them was not only read and heard, but it was received and inscribed upon the tablet of their warmest inmost affections. "Fleshy tables of the heart": The word "fleshy" or, fleshly, refers to tenderness and pliability, an attitude of submissiveness and willingness to lovingly obey. Sufficiency: Ability: "Ministration of death": The handing down from God of His laws to Moses on Mt. Sinai, engraved upon tables of stone. It is labeled the ministration of death because the effect that it had upon hearts was to magnify and increase the sin and, in consequence, to bring condemnation and spiritual death. "Ministration of the spirit": This is the law of Christ administered to the heart by the Holy Spirit, enabling man to fulfill it with joy and victory. "Where the Spirit of the Lord is, there is liberty": Liberty here is defined as access and freedom to partake of. Through the Holy Spirit we have an entrance into the realities of the Almighty God. "With open face beholding as in a glass": Unveiled by pride and the flesh we can behold as in a mirror the reflected glory and beauty of Christ. "Changed from glory to glory": Changed from the glory of the law system to the spiritual glory of the Spirit of God.
LESSON BACKGROUND
In chapter 2 Paul had expressed his joy and rejoicing for the good effect that his epistle had produced in the lives of the
saints at Corinth. They had openheartedly received his counsel and admonitions and were greatly benefited therefrom. In our lesson today Paul views his epistle being written in their hearts by the Spirit of God, making them living epistles of Christ known and read of all men. He calls this operation of the Word of God from his ministry to them as the ministration of the Spirit, and compares it to the giving of the law of God to Moses on Sinai. He is specifically speaking of when Moses was come down from the mountain on that second occasion and brought with him the tables of stone which God had given to him to replace the ones that he had broken to pieces after coming down from the mountain the first time upon seeing the idolatry of Israel around the golden calf which they had made. He called this the ministration of death, speaking of its glory in that Moses shone in his countenance the glory of the Lord so brightly that the people could not look steadfastly upon him. This was the ministration of death, and it was glorious. He points us now to the glory of the ministration of the Spirit in Christ, which ministration, he says, would exceed in glory the other. The veil that Moses put on to cover the brilliant glow of his countenance was for the sake of the people. Therefore, Paul rightly concluded that the real veil was upon their hearts, a blindness to spiritual things that yet hung over their hearts unto that day. Exodus 34:33-35 tells us that while Moses was speaking to the people he put on a veil, but when he went in before the Lord, he took the veil off. Paul drew a parallel to this by saying that when people turn to the Lord, the veil will be taken away from their hearts. The Lord here he refers to, is the Spirit of the Lord which opens up and gives us access to the great riches of the knowledge of Christ. In the New Testament we can, with open face and without a veil on our hearts, behold the beauty and glory of Christ and, by beholding, we can be transformed to the same likeness of holiness, faith, love and righteousness.
—Leslie C. Busbee
QUESTIONS:
1. Where did Paul joyfully find his epistle to be written?
2. Where does God want His laws written?
3. What kind of heart can the Spirit of God write upon?
4. How does the letter without the Spirit kill?
5. What is the difference in the law of God written on tables of stone and the law written upon the tender heart of a child of God?
6. How was the giving of the law of Moses a glorious thing?
7. What was done so that the children of Israel could look upon Moses?
8. Where did Paul say that the veil really was?
9. What are some of the elements and influences that constitute a veil upon the heart?
10. How can this veil upon the heart be taken away?
11. What kind of liberty does the Spirit of God give to us?
12. What happens to the heart that with open face beholds the glory of the beauty of Christ Jesus?
ADULTS’ AND YOUNG PEOPLE’S COMMENTS
It was a glorious sight to see Moses coming down from the mountain after being in communion with God for forty days and nights. His skin shone with a glorious light so brightly that the children of Israel and the elders could not look steadily upon him. In order for Moses to converse with the people he had to cover his face with a veil. This was a glory that accompanied the giving of the first covenant, the law on Mt. Sinai. This glory was done away with. It soon faded from view. After a lapse of time the glory faded from Moses and his countenance became so that people could commune with him. The giving of the law upon tables of stone did not accomplish the real purpose of God, because there was a veil upon the heart of man. To have the law written on a tablet of stone did not quicken the soul to enable it to perform the holy standard of God’s law. Man was unable to perform the will of God, thus the glory of that law was for condemnation and death. Some people today are still trying to live up to written laws and creeds. As the poet Whittier said, “But yet my human hands are weak to hold your iron creeds, Against the words ye bid me speak my heart within me pleads.” Many preachers today preach with a law spirit. Their attitude is: “You do this, and God will bless you.” But oh, there is a better way. The letter kills because it affords of itself no strength or inspiration to perform. The current of the rebellious heart is too strong to be withstood by a mere doctrine or creed. There must be the work of the Holy Spirit written upon the very tables of the heart. We are saved without the law, but as we behold the glory of the risen Christ, we are inspired and strengthened to live, to perform, to do, and to be all that His precious will is calling us to.
—Leslie C. Busbee
FOOD FOR THOUGHT
It is so important to have the indwelling Spirit of God if we are to receive the blessings outlined in the New Testament. It is the law spirit of the Old Testament that has blinded the eyes of many people.
The following parable was addressed to an assembly of Jews by a Mr. Moritz. "A poor Jew wanted very much to be rich; he therefore put a bandage on his eyes, that he might pray to Mazal (or Fortune), and went everywhere through the streets, looking up to heaven, and crying, 'O Mazel, Mazel, make me rich!' At length Mazal threw down a great bag full of precious treasure, which fell right before him. The poor man did not take off the bandage, but ran on, and stumbled over the treasure. Neither did he turn back to see what it was, but went on still crying, 'O Mazel, Mazel, make me rich!' Mazal seeing her gift neglected, took it up again into heaven, and the Jew remained a beggar as before." The Jews who were present requested an explanation of the parable, which he gave them by referring to Isaiah 9:6 and the 2nd Psalm. A deep silence followed. At last, some young men asked, "And will the bandage always be on our eyes?" He told them to pray that the Spirit of God might take it away. Five of these young men received salvation that evening.
If we want to be able to live acceptably before God, understand His deep mysteries, enjoy the liberty of spirit that is in Christ, and enjoy the full benefit of the riches God has willed to all men through Christ, we must forsake a legalistic approach to God as a means of salvation and drink deeply of His Spirit.
—Wayne Murphey
October 22, 1989
THE MANIFESTATION OF THE TRUTH
II Corinthians 4:1 Therefore seeing we have this ministry, as we have received mercy, we faint not;
2 But have renounced the hidden things of dishonesty, not walking in craftiness, nor handling the word of God deceitfully; but by manifestation of the truth commending ourselves to every man's conscience in the sight of God.
3 But if our gospel be hid, it is hid to them that are lost:
4 In whom the god of this world hath blinded the minds of them which believe not, lest the light of the glorious gospel of Christ, who is the image of God, should shine unto them.
5 For we preach not ourselves, but Christ Jesus the Lord; and ourselves your servants for Jesus' sake.
6 For God, who commanded the light to shine out of darkness, hath shined in our hearts, to give the light of the knowledge of the glory of God in the face of Jesus Christ.
7 But we have this treasure in earthen vessels, that the excellency of the power may be of God, and not of us.
8 We are troubled on every side, yet not distressed; we are perplexed, but not in despair;
9 Persecuted, but not forsaken; cast down, but not destroyed;
10 Always bearing about in the body the dying of the Lord Jesus, that the life also of Jesus might be made manifest in our body.
11 For we which live are alway delivered unto death for Jesus' sake, that the life also of Jesus might be made manifest in our mortal flesh.
12 So then death worketh in us, but life in you.
13 We having the same spirit of faith, according as it is written, I believed, and therefore have I spoken; we also believe, and therefore speak;
14 Knowing that he which raised up the Lord Jesus shall raise up us also by Jesus, and shall present us with you.
15 For all things are for your sakes, that the abundant grace might through the thanksgiving of many redound to the glory of God.
Memory Verse: But we have this treasure in earthen vessels, that the excellency of the power may be of God, and not of us. II Corinthians 4:7.
Central Thought: The truth is manifested to men by Christ being seen in and through the lives of holy men and women by their meekness and bearing the sufferings of Christ with courage and steadfast faith.
Word Definitions: "If our gospel be hid, it is hid to them that are lost": The word "hid" in this sentence means in the Greek text, "having been veiled." Paul had just spoken in the previous chapter about the veil being on the heart. "The god of this world": Satan, the Devil. "Always bearing about in the body the dying of the Lord Jesus": Living constantly under the threat and possibility of death.
LESSON BACKGROUND
Having emphasized in the previous chapter of the blessed ministry of the Spirit that he had seen working in his life, and recognizing it as the New Testament ministry of Christ, Paul speaks of its manifestation in the true saints. Knowing that many promote their cause, and merchandise by trickery, flattery and fraud, he senses that this holy and sacred office of preaching and promoting the gospel must never be done in that way. Those who preach the gospel must blend with their preaching a life of righteousness and holiness, which will convince hearts and persuade those who have an open mind for the truth. He also recognized the fact that not everyone would give heed to the gospel. Only those who open their hearts to the light of Christ will be affected by it. The gospel is not to be projected in an undermining manner. It is straight out and open, plain and simple. “The fruit of the righteous is a tree of life; and he that winneth souls is wise.” Proverbs 11:30. The fruit that is seen in such times as Paul mentions in our lesson is the advertisement of the gospel. In trouble, in perplexity, while being persecuted, and in times of being cast down—in all of these times—the child of God remains undistressed, nor in despair, not forsaken nor destroyed. The death that is working in their lives is producing spiritual life in others. The spirit of faith and trust in God prevails over all the opposing powers of Satan and men. Their confidence foresees the great day of reward in the resurrection, and the fleeting things of this present world have no bearing on their purpose and decision for Christ.
—Leslie C. Busbee
QUESTIONS:
1. Where is seen the most convincing proof of the truth of the gospel?
2. Why cannot a person be tricked into believing the gospel of Christ?
3. What is the usual cause for a person to reject the Lord Jesus?
4. What does a blinded mind do to the light of God?
5. Is it possible for a person to preach himself and not the Lord Jesus?
6. How does a true minister feel about himself in his ministry?
7. Who is it that really commands the light to shine out of darkness?
8. Is it possible for a soul to see and appreciate the light if he or she does not sense their state of darkness?
9. In what way can we let the excellency of the power be attributed to God and not to us?
10. What part does tribulation and suffering play in manifesting the truth to others?
11. How can the life of Jesus be truly manifested in our mortal flesh?
12. With what strength can a person let death work in them?
13. What is the assurance that we have as we endure the cross for Christ?
ADULTS’ AND YOUNG PEOPLE’S COMMENTS
The ministry of the gospel of Christ is void of human promotion or self-glorification. One does not need to stoop to carnal ways of high pressure, trickery and dishonest means in order to advance the knowledge of Christ. These kinds of activities are clear indications of the desire for fleshly gain and prominence. Many so-called Christian churches of today are filled with programs and drives and activities bent on adding new members to their number. At the bottom of this active and energetic system is the desire for more financial and social prestige. This is not so with the true ministers of the holy gospel of God. To glorify God and to be a blessing to needy lost and dying souls is the desire of the anointed minister of God. His soul is full of rest as he labors in the ministry, for he knows that it is not his efforts that will avail, but it is the working of the Spirit of God in him. If we are to be the true ministers of God, we must keep this kind of attitude. We are but earthen vessels. Any good done or accomplished is not our doing, but the working of the Spirit of God. God allows us to suffer many things in our mortal bodies to help keep us weak and inferior in ourselves so that it can be plainly known that it is not in our strength that the labor is being done. It is a constant fight of faith to keep one moving on for God. The way gets hard and narrow, but we faint not, knowing that there is a great reward coming for the faithful. Let death and sufferings be our lot, for we know that in the resurrection there will be a full reward. All things work together for our good and we press on to the goal, praising God for the blessings that witness His divine presence in our lives.
—Leslie C. Busbee
FOOD FOR THOUGHT
"But have renounced the hidden things of dishonesty, not walking in craftiness, nor handling the word of God deceitfully; but by manifestation of the truth commending ourselves to every man's conscience in the sight of God." II Cor. 4:2.
"How is it that a certain member of your church who is an ignorant man, is so successful in the villages as a preacher, when I cannot command a congregation?" This is the question one clergyman, well versed in the Bible, asked a certain pastor. "Well," came the answer, "the reason is this: the member of my congregation that you refer to is touched with the power of the gospel, and speaks from heart to heart; that is the secret of his success." By having the gospel within our hearts is the only way that the Gospel will be effectively manifested to the world.
The first part of the verse above speaks of things that will hinder the manifestation of the truth. No matter how bright our profession, if we are dishonest in our dealings our lives will not carry much weight on others' estimation, and how often it has been proven that if we use the Word of God deceitfully with a crafty motive for personal gain, our influence is greatly hampered.
When it speaks of "commending ourselves to every man's conscience" it does not infer that we should conduct ourselves according to how every man thinks we should. We would be mixed up individuals indeed if we endeavored to do that. It does mean that we should so live that all people can recognize the truth being in us.
—Wayne Murphey
October 29, 1989
ASPECTS OF THE HOPE OF THE RIGHTEOUS
II Corinthians 4:16 For which cause we faint not; but though our outward man perish, yet the inward man is renewed day by day.
17 For our light affliction, which is but for a moment, worketh for us a far more exceeding and eternal weight of glory;
18 While we look not at the things which are seen, but at the things which are not seen: for the things which are seen are temporal; but the things which are not seen are eternal.
5:1 For we know that if our earthly house of this tabernacle were dissolved, we have a building of God, an house not made with hands, eternal in the heavens.
2 For in this we groan, earnestly desiring to be clothed upon with our house which is from heaven:
3 If so be that being clothed we shall not be found naked.
4 For we that are in this tabernacle do groan, being burdened: not for that we would be unclothed, but clothed upon, that mortality might be swallowed up of life.
5 Now he that hath wrought us for the selfsame thing is God, who also hath given unto us the earnest of the Spirit.
6 Therefore we are always confident, knowing that, whilst we are at home in the body, we are absent from the Lord:
7 (For we walk by faith, not by sight:)
8 We are confident, I say, and willing rather to be absent from the body, and to be present with the Lord.
9 Wherefore we labour, that, whether present or absent, we may be accepted of him.
10 For we must all appear before the judgment seat of Christ; that every one may receive the things done in his body, according to that he hath done, whether it be good or bad.
Memory Verse: For we know that if our earthly house of this tabernacle were dissolved, we have a building of God, an house not made with hands, eternal in the heavens.
II Corinthians 5:1.
Central Thought: We are willing to suffer all the adversities that attend the ministry of the gospel because our hope is bright of a rich and a full reward in glory when this mortal life is swallowed up in immortality.
Word Definitions: "Outward man perish": Our mortal part utterly rots, decays, is ruined or wasted. "Far more exceeding weight of glory": The Greek text renders this phrase thus, "an exceeding on an exceeding heaviness of glory." Tabernacle: Tent. Groan: To sigh, or grieve, being in difficulty and straits. Naked: Without the garments of immortality. "Earnest of the Spirit": The Holy Spirit working in our lives is likened unto the part of the purchase money or property given in advance as security for the rest of the payment. By us allowing the Holy Spirit to lead, inspire, and rule our lives it becomes the pledge for the eternal fulfillment of our inheritance in Christ.
LESSON BACKGROUND
In our previous lesson Paul spoke about facing death constantly in the Christian life and the service of the Lord. He stated that the reason this could be endured was for the hope
of being resurrected by the Lord Jesus with those who had received His ministry. Our lesson today contains his expressions of what this hope meant to him. He counted the things that he suffered as a Christian as light affliction, and that it was working something far better for him in glory. The perishing of his outward man did not affect the constant renewing of his inner man. He was not looking at the material realm of life, but rather was fixing his spirit's adoring gaze to the treasures in heaven that would never pass away. His earthly house he likened unto a tabernacle, or tent. A tent is not a permanent dwelling. It is but a temporary thing soon to be folded up and discarded when the real dwelling is ready to be moved into. There are many inconveniences in living in a tent, especially if it is in a climate where rain and snow and wind are prevalent. There are many things to be suffered and endured while living in this mortal shell, hence the groaning and the yearning for that better house.
—Leslie C. Busbee
QUESTIONS:
1. What are the things that cause the outward man to perish?
2. What are the things that help keep the inward man renewed?
3. What helps to make our affliction "light?"
4. What happens when we begin to look at the things that are seen and consider their worth and value more than the eternal, unseen things?
5. How can we keep from looking too much at the things that are seen?
6. What kind of structure is our physical body likened unto?
7. What are some of the things that cause us to groan while in this tabernacle?
8. Where did this hope come from and with what assurance is it certain to us?
9. What will be the state of the person who will have to move out of this tent and have no house waiting for him to move into for eternity?
10. While we are at home in the body, where are we with the Lord?
11. What do we strive to be, whether present or absent?
ADULTS' AND YOUNG PEOPLE'S COMMENTS
Jesus taught His disciples in Luke 16:9 to "make to yourselves friends of (or with) the mammon of unrighteousness
(material riches); that, when ye fail, they may receive you into everlasting habitations.” This expression is parallel with the teachings of Paul in our lesson today. We are going to be put out of this earthly house we are in right now. We need to make provision for ourselves of another dwelling to move into when we have to leave our present dwelling. We want to be sure of this, so sure and steadfast that our future home will swallow up in glory all of the sorrows and sufferings that we have had here. Only by receiving the salvation of Christ and being led by His Spirit can we have this kind of hope. By bearing about in our bodies the dying of the Lord Jesus and bearing the cross for Him this house eternal is made more sure and precious. We do not want to be found naked. There are many people who think that they have hope in Christ who are not preparing for this house from heaven. When death comes they will be ushered by its cold hand out into the outer darkness of eternity where it is desolate and homeless. There will be no shelter or a place of habitation for them. They have lived only for this present life, having their good times while the faithful have suffered. There will be no friends in eternity to welcome them into eternal habitations. They will be found naked, oh, terrible thought! This is the serious cast to our lesson today! We need to have a dwelling for us over there. We need another body to inhabit after this body is gone. Let us prepare for the house of our eternity.
—Leslie C. Busbee
FOOD FOR THOUGHT
What a glorious revelation will come to us, as we sweep through the portals of glory! There are not words in the English language to describe the beauties awaiting those who belong to the Lord. As the outward man perishes day by day and the strength grows weaker, the hope grows brighter for a life that is beyond this veil of tears. This old house of clay, the earthly tabernacle, will go back to dust and the soul, or the inward man, will be taken to be with the Lord. Over there, “we have a building, a house not made with hands, eternal in the heavens.” What a glorious hope we have within us! The Apostle Paul tells us, “absent from the body, and . . . present with the Lord.” Oh, what could be greater than to see the Lover of our soul face to face. We will be safe and secure from all the power of the enemy. What more could we desire? Heaven is beyond our comprehension, yet it is real, very real and it will be all that the soul longs for or ever could desire. Nothing there will be imperfect, but will be peace, peace, and
more peace. Oh, my soul magnifies the Lord when I think about these glorious things. No wonder the Apostle Paul looked back over the persecutions, imprisonments, tumults in this life and said, "For our light affliction, which is but for a moment, worketh for us a far more exceeding and eternal weight of glory." "It will matter but little at last, what we have passed through, when the shades of the evening as sunset we view." When we get a glimpse of heaven's glory, then the burdens and trials of this life will fade away and all the beauties and grandeur of heaven will envelop us.
When we die, we await the judgment in the presence of the Lord, in paradise or in Abraham's bosom. Luke 16:25; 23:42, 43. The unjust or wicked are "reserved in everlasting chains under darkness unto the judgment of the great day." (Jude 6). Knowing what awaits the wicked and the "terror of the Lord, we persuade men" to turn unto the Lord while they have time and the right use of their minds. Surely, one needs to know that "today is the day of salvation." It is time to seek the Lord and be ready to meet Him in peace.
—Marie Miles
(Written in 1975.)
November 5, 1989
THE MINISTRY OF RECONCILIATION
II Corinthians 5:11 Knowing therefore the terror of the Lord, we persuade men; but we are made manifest unto God; and I trust also are made manifest in your consciences.
12 For we commend not ourselves again unto you, but give you occasion to glory on our behalf, that ye may have somewhat to answer them which glory in appearance, and not in heart.
13 For whether we be beside ourselves, it is to God: or whether we be sober, it is for your cause.
14 For the love of Christ constraineth us: because we thus judge, that if one died for all, then were all dead:
15 And that he died for all, that they which live should not henceforth live unto themselves, but unto him which died for them, and rose again.
16 Wherefore henceforth know we no man after the flesh: yea, though we have known Christ after the flesh, yet now henceforth know we him no more.
17 Therefore if any man be in Christ, he is a new creature:
old things are passed away; behold, all things are become new.
18 And all things are of God, who hath reconciled us to himself by Jesus Christ, and hath given to us the ministry of reconciliation;
19 To wit, that God was in Christ, reconciling the world unto himself, not imputing their trespasses unto them; and hath committed unto us the word of reconciliation.
20 Now then we are ambassadors for Christ, as though God did beseech you by us: we pray you in Christ’s stead, be ye reconciled to God.
21 For he hath made him to be sin for us, who knew no sin; that we might be made the righteousness of God in him.
Memory Verse: . . . God was in Christ, reconciling the world unto himself, not imputing their trespasses unto them; and hath committed unto us the word of reconciliation.
II Corinthians 5:19.
Central Thought: God sent His Son, Jesus, and was in Him, to atone for man’s sins and bring about a reconciliation between God and man, and the ministry which Christ imparts to us is one of bringing the lost back to the fellowship of God.
Word Definitions: “Beside ourselves”: To be astounded or astonished beyond measure. The Greek expression is “to be put out of wits, to be amazed.” This can be for joy or because of sorrow. Sober: To be of a sound mind in full control of thought and feeling. “The love of Christ constraineth us”: We are moved, compelled, controlled and motivated by knowing and understanding the love that Christ manifested for us in giving Himself for all. “Know we no man after the flesh”: We look upon every man as a precious soul Christ died to save. We will have no relationship with any one that is fleshly or sinful in God’s sight. Only in the Spirit and according to purity and holiness will we relate to anyone. Reconcile and reconciliation: Bringing God and man back into fellowship and harmony again. On God’s part there is mercy, atonement and forgiveness; on man’s part there is godly sorrow, repentance, faith and obedience. Ambassador: A representative, one who goes in the place of another.
LESSON BACKGROUND
Our previous lesson ended with Paul’s statement that all shall appear before the judgment seat of Christ to give an account of ourselves to God. Because of this there is a sincere
burden in the heart of the saint to help people to prepare for that great day. While Paul seeks to persuade men, he realizes that he is before God all of the time. Also, he is being made manifest before men, even to the ones to whom he is addressing this epistle. His life was before God and to God, and it was before men and for the cause of men. The love of Christ caused him to seek to live in this manner, not to the flesh or to men, but unto Him who gave His life on Calvary. He knew Christ no more as a man, but as the eternal Son of God in the heavens. He knew that if any man could get in Christ, he would be changed from his old habits of lust, greed, pride and sin unto the new life of faith, love, hope and patience. Here was reconciliation between God and man, a perfect cure and solution from the problem of sin that had defiled the human race.
—Leslie C. Busbee
QUESTIONS:
1. What does knowing the terror of the Lord cause us to want to do?
2. Who did Paul desire to be made manifest to?
3. Why did Paul not commend himself to them?
4. What are some of the things in the Christian life that might make a man be beside himself?
5. Because Christ died for all, who should we that are alive in Him live to?
6. How will we treat people if we know them only in a fleshly sense?
7. How did men treat Christ who knew Him only in a fleshly sense and never perceived His spiritual values?
8. Because of this, is there any way that a man can be truly in Christ, and not be born again?
9. What was God’s attitude toward a lost world when He came down to this world in Christ?
10. What is the plea of the gospel toward the wandering, lost souls of men?
ADULTS’ AND YOUNG PEOPLE’S COMMENTS
“Be ye reconciled to God”! This is the earnest plea of the Holy Spirit working in and through His ministry and Church to the fallen race of men. God has sent His Son, and accompanied His Son to come down to this cold, dark world to bear man’s sin and transgressions. He does not impute their sins against them any more. He has a new life to give to one and all. There is power in the blood of Christ and the Spirit of
our God to make a new creature out of everyone. Man must sense and recognize his lost and undone condition, and be sorry deep within his heart that he has strayed from the fold of God. He must turn his heart towards the Lord in genuine repentance and humility, and be willing to submit to God and obediently follow Him all the way. God and man can meet once more on these terms. Here is where they can be reconciled. Man who has wandered in his own ways far from the loving heavenly Father’s embrace returns unto Jesus, the Shepherd and Bishop of his soul. Oh, what a wonderful blessing this is! What a great message we have to share with the souls of men! A new creature in Christ! All things are made new and all things are of God. Old things of the flesh, the world, and selfish gratification pass out of our lives. We do not seek for their treasures any more. We have found a richer treasure, one that fadeth not away. No more are we in despair and sorrow of heart. Comfort and hope spring up in our hearts. We are no more a barren desert void of life and beauty and rest. The Rose of Sharon, the Lily of the Valley now grows abundantly within us. We are reconciled to God, one with Him and His people in love and faithfulness forevermore.
—Leslie C. Busbee
FOOD FOR THOUGHT
There are some who feel that since man has been given the ministry of reconciliation, it gives men the power to absolve other men’s sins. When we consider closely the meaning Paul had we understand that the ministry of reconciliation is the message of the Gospel. II Corinthians 5:19 tells us what the message is. God was in Christ while He was on this earth and He forgave men of their sins, which means all was clear between God and repentant man. Since Christ is now at the Father’s right hand it is up to us to tell others what He can do. We are ambassadors for Christ. We do not fill His role but we are spokesmen for God, beseeching people to find His forgiveness.
There is no greater One that we can bring people to than God. He can do far more for a person than anyone else. After Mark Twain had made a triumphant tour through Europe, where he was honored by great universities and kings, his daughter said: “Daddy, I guess pretty soon you will know everybody except God.” If we should be acquainted with all the important people of our time and yet fail to seek God and His forgiveness, we will be in great distress on the day of judgment. No one will be able to stand to aid us then.
An account recorded in the Scriptures tells of an infirm man who laid a long time at the pool of Bethesda. He was unable to get into the water when it was troubled to receive his healing. When Jesus asked the man about this, the reply was, "Sir, I have no man, when the water is troubled to put me into the pool." John 5:7. Likewise there are many in the world today who have no one to help them into the forgiving fountain of Christ's blood. We have quite a ministry of reconciliation to fulfill.
—Wayne Murphey
November 12, 1989
APPROVING OURSELVES AS THE MINISTERS OF GOD
II Corinthians 6:1 We then, as workers together with him, beseech you also that ye receive not the grace of God in vain.
2 (For he saith, I have heard thee in a time accepted, and in the day of salvation have I succoured thee: behold, now is the accepted time; behold, now is the day of salvation.)
3 Giving no offence in any thing, that the ministry be not blamed:
4 But in all things approving ourselves as the ministers of God, in much patience, in afflictions, in necessities, in distresses,
5 In stripes, in imprisonments, in tumults, in labours, in watchings, in fastings;
6 By pureness, by knowledge, by longsuffering, by kindness, by the Holy Ghost, by love unfeigned,
7 By the word of truth, by the power of God, by the armour of righteousness on the right hand and on the left,
8 By honour and dishonour, by evil report and good report: as deceivers, and yet true;
9 As unknown, and yet well known; as dying, and, behold, we live; as chastened, and not killed;
10 As sorrowful, yet alway rejoicing; as poor, yet making many rich; as having nothing, and yet possessing all things.
11 O ye Corinthians, our mouth is open unto you, our heart is enlarged.
12 Ye are not straitened in us, but ye are straitened in your own bowels.
13 Now for a recompence in the same, (I speak as unto my children,) be ye also enlarged.
Memory Verse: (For he saith, I have heard thee in a time accepted, and in the day of salvation have I succoured thee: behold, now is the accepted time; behold, now is the day of salvation.) II Corinthians 6:2.
Central Thought: In every situation of life, by every holy means that God has supplied in Christ, we must seek to approve ourselves as the ministers of God, being defamed and rejected by men, and yet blessed and enriched by the Lord Jesus.
Word Definitions: "Receive not the grace of God in vain": Do not fail to make the proper use of the grace given to us, not giving any cause for the work of God to suffer reproach. Succour: Help. Necessities: Needs, close places. "In tumults": In the midst of confusion and disorder. "Love unfeigned": Sincere love without pretence or hypocrisy. "Ye are not straitened in us, but ye are straitened in your own bowels.": We are not cramping you or pressing you. You are cramped and pressured in your own mind and feelings. Do not fear or doubt the love we have for you.
LESSON BACKGROUND
After Paul’s most sublime and eloquent appraisal of the reconciliation of God and man to one another and the ministry of that reconciliation that he most joyfully bore within his heart, he now urges that diligence be exerted on the part of everyone to approve themselves as the ministers of such a vocation. He quotes from Isaiah 49:8 rejoicing that the accepted time of God’s reconciliation with man is now, and that today is the day of salvation. No offence must be given but the offence of the cross. We are to prove our divine calling as the ministers of God in things and by things. In the various close and difficult places of life we are to employ all the graces and blessings that God has supplied in Christ to show forth the preciousness of Christ. There will be honor and dishonor, good report and evil report to surmount. We will be called deceivers, so let us be sure that we are true. We will be small and unknown by the praise of the world, but let us remember that we in Christ are well-known to God. Dying, chastened, sorrowful, poor and having nothing, yet will we live, rejoice, make many rich (in faith) and we will possess all things (in Christ).
—Leslie C. Busbee
QUESTIONS:
1. Is it possible to receive the grace of God and fail to use it properly?
2. What effect does an unfaithful minister have upon souls?
3. In what special conditions of life does the faithfulness of a minister really shine?
4. What are the things that must be seen when a servant of God is faced with these difficult times?
5. Where will the honor bestowed come from?
6. Where will the dishonor come from?
7. How can we be unknown, and yet well-known?
8. How can we be sorrowful, and yet always rejoicing?
9. How can we be poor, and yet make many rich?
10. How can we have nothing, and yet possess all things?
11. Is it possible for us to be straitened and cramped in our own minds when in God and Christ we could be free and happy as a bird?
ADULTS’ AND YOUNG PEOPLE’S COMMENTS
It behooves every child of God to take heed to his conduct and manner of life. Many, many souls have been driven away and discouraged from finding the real life of Christ because of a misrepresentation of the truth by some careless person who professed to be a follower of the Lord. People are watching us, weighing our actions as well as our words. In times of adversity and stress the sweet Spirit of Christ shows up very plainly. If we murmur and complain in our times of adversity, people will take note of that. If we will be honest in the face of loss to ourselves, people will mark that. We preach more loudly by what we do than by what we say. When we can be joyful in provoking times of stress and disappointment, it will be a great witness for the Lord. It is a careful walk that we make before men. At the best we can do, there will still be those who will condemn and criticize us. We must take those things quietly and meekly, too. We will not be popular in a worldly sense according to the praise of men. We will rather be scorned and looked down upon. One lowly saint was reproached by a proud relative at a funeral for riding in their car. It was very evident, and the action of this proud relative was terrible. The saint took it meekly, and later the Lord allowed this proud relative’s car to crash in a most unusual way. God will fight for us, and we will not need to lift a hand or voice in our defense. It is most certain that we will not be rich in material things, although God will be faithful to supply
our needs. The Lord said to one of His ministers who was praying to have more money to give, "I have better things for you to give than money!" Let us set our goals heavenward and prove to the Lord and others that we are genuine children of the most High God.
—Leslie C. Busbee
FOOD FOR THOUGHT
One minister used to give his final charge to candidates before their ordination in these impressive words, "Tomorrow I shall say to you, wilt thou, wilt thou, wilt thou? But there will come a day to you when Another will say to you, 'hast thou, hast thou, hast thou?'"
It is a sobering thought to think that someday we will give an account of our ministry. Therefore it is well to constantly take account of our works and to see if they are being profitable and edifying. We should make sure that we are a credit to our calling when it comes to patience, pureness, kindness and love. Our attitude must be a proper one in times of affliction, distress and labor.
In many ways the success of a minister's labours can be measured according to how big his heart is. First our heart must be big enough to take in God. He is the very foundation and inspiration for all of our works. Next our hearts must be big enough to take in other people. If the Apostle Paul's heart had not been enlarged enough to take in all the saints at Corinth he would have had a limited effect upon them.
In our lesson the Apostle Paul charges the people that their hearts also should be enlarged. So this matter extends to everyone, not just preachers. To enlarge means to make larger than normal. People in their natural state, only have a heart big enough for themselves and maybe a few close friends and relatives. But let God in your heart and as He begins working, you will find ample room for others.
—Wayne Murphey
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The Story of the Spring by the Side of the Road
A stranger made his way down a road leading into a wide, expansive, fertile valley. It was late in August, hot, sultry and dusty. The stranger was worn with the journey and was hungry and thirsty. He wondered where he might find a well or spring; a place to rest and be refreshed.
As he made his way down the road he saw a sign nailed to a tree. On this sign was an arrow, pointing to a path that led back from the road. Beneath the arrow were the words, "To the spring," evidently written by some trembling hand.
These were very welcome words; "To the spring." So the stranger wended his way down the path to where he found a great gushing spring pouring forth from beneath huge jagged rocks. All around about this wonderful spring were mammoth oak trees growing in their luxuriance. Beneath the spring was a pool of water made by the falling of the stream. There were cups by the side of the spring. The underbrush had all been cleared away. Near the spring a rustic seat had been built.
The stranger drank freely from the spring and was refreshed. He took off his coat and his linen and bathed his face, hands and arms in the pool below the spring and was refreshed again. This done he sat down on the rustic seat to rest. From there he beheld what at first he had not seen, a basket of ripe, beautiful apples, hanging to a limb of a tree just over the spring.
On the basket was a sign, evidently written by the same trembling hand that had made the one by the side of the road. The sign read, "Stranger, these apples are yours. Help yourself." He took a couple of fine juicy ones and ate them. O, they were so good. Glancing up he read the sign again, "Stranger, these apples are yours. Help yourself," so he filled his pockets and took a couple more to eat.
As the stranger sat there rested and refreshed he found himself wondering what in the world this could mean. All this comfort and no one there to collect any money. What could it mean!
The birds were singing their evening songs. All the air held a solemn stillness. The golden threads of sunlight poured down through the leaves of the trees. What could it all mean?
It finally dawned on him that there must be someone nearby whose love for humanity and whose unselfish devotion had led them to arrange the wonderful setting of the spring and asked no returns except the sweet satisfaction of having
arranged a place where weary travelers might be directed so they could lay down their burdens and be refreshed.
His curiosity was deeply aroused. He wanted to meet persons with such a vision and with such a passion for service and to inquire why all this comfort. He looked for some path which might lead to the explanation. He discovered the path, leading out of the forest trees, and followed it up thru the farm-yard gate, thru the garden gate, up the garden path past the old-fashioned flowers, pinks and holyhocks, to a little old house on the edge of the orchard. After knocking, an old man with a benign face came to the door. "Good evening, stranger, good evening. Come in. Come right in."
"Neighbor, I have called to ask about the story of the spring. Can you tell me the story of the spring down by the side of the road?"
"Oh, it's the story of the spring you are after, is it?" The old man said as he laughed the deep laugh that came from the depths of his great generous soul. "The story of the spring. Excuse me please, stranger, and I will call Mother. She loves to tell the story of the spring."
Having called the old mother, she came in, sat down, and folded over her gingham apron to cover up the spots. "The story of the spring is it, stranger, you are asking for the story of the spring?"
Brushing away a tear and swallowing a lump that came in her throat, for it was a tender story she was to tell, she proceeded.
"It was this way, stranger, Fifty years ago Father and I were sweethearts together. Frequently we would take long walks in the moonlight after the day's work was done. On these walks we would dream of how we would invest our lives for others. Sometimes we would think how interesting it would be to give the world a song it might go singing down life's weary way. Sometimes we would wonder if the time would ever come when we could give the world a book that might cheer, instruct, encourage and gladden humanity with all its burdens, heartaches and struggles. And sometimes we would dream of a possible time when we might have piles of gold with which we might help the ambitious, relieve the distressed and render such blessed service as we observed humanity so much needed.
"All these thoughts seemed but vain dreams for we were poor young people, shut away from educational advantages, necessary to so ambitious a dream, so we decided that if we were never to be permitted to give the world a song, or a book or never to have the piles of gold, we would do the next greatest thing, make a home that might be a help and an
inspiration in making other homes great and worthwhile. After all, great homes count as the nation's greatest asset.
"The years were repining and so we were married.
"The immediate question was, 'Where was the home to be located?' Father at once began to look about for a strategic location for such a home. He found this wide, expansive, fertile valley. Here we knew that we would be finally surrounded with many homes, the setting of our dream.
"So Father filed on this claim as a homestead. The evening he came home with the papers we came to this spot and kneeled down upon the sod and dedicated this quarter to be God's acre for service. We soon cut away the timber with which to build our house. We added an extra room as our guest chamber. Father proceeded to clear the farm and put out the orchard.
"We would listen for the settlers driving in with their ox wagons. At the sound of the rumbling of these wagons Father or I would go down to the valley road and ask the settlers to come in for the night. Father helped them locate their homesteads, then rally the neighbors to help roll up their log cabins. Loving service was the word, the passion of our hearts. Many a young family found the Saviour about our family altar.
"So, stranger, for fifty years now, Father and I have lived for the people of the valley. We have shared with them all our joys. We have been by their sides as they have needed our help. We have loved their children and sought to inspire them to become useful and great for their country. Our little brood has come up and mingles with the children of the valley. We have seen swarms of these blessed young lives come up thru these beautiful years.
"So for fifty years now, stranger, Father and I have lived for the people of the valley and have beautifully realized our dream. But one day I was coming in from the garden and found Father sitting by the fireplace crying. I said, 'What in the world are you crying for, Dad?'
"When I saw you down in the garden this morning, Mother, with your face so pale, your hair so white, your shoulders so rounded by the burdens you have borne by my side these fifty years and when I saw you come up the garden path so trembly and faltering like, I could not keep the tears back and found myself saying, 'Never again, never again, never again will Mother and I have the strength to go out and steady the aged down thru the valley of the shadow. Never again will Mother and I have the strength to smooth the pillows of the dying thru the long, weary nights. Never again will we be able to load the flour, hams and potatoes into the wagon or sleigh and take relief to the poor and the suffering.'
I am not crying, Mother, because we are getting old. Heaven never beckoned with a sweeter call than now, but it was such a joy to go out by your side, Mother, and minister to the people of the valley that my heart is hungry to go right on and on with this blessed work. So when I saw you this morning, Mother, looking so frail I realized how nearly our race was run. It is from heart hunger that I am crying, Mother.'
"So," she said, "I sat down and cried by his side and we talked it all over. Finally I said, 'Father, let's do one more fine service for humanity before the touch of time shall palsy our hands utterly. Let's do what we have been thinking of doing so many years. Rest good Father, and sharpen your ax and take plenty of time and cut away the underbrush from about the spring. Build a rustic seat. Cut a path thru to the road. God will hand the boughs of our apple trees full of apples every year. I'll take my old trembly hands and, as best I can, fix up the signs and then we will render this last expression of our love to God and our fellow travelers down life's rugged way.'
"The old man arose and began to pull on his boots. 'Capital, Mother, capital,' he said. He immediately went out to sharpen his ax. He came in and said, 'Have dinner early today, Mother.' After dinner he swung his ax over his shoulder and I used to see him in his palmy days and start off down to the spring with the zest of a war horse, having sniffed the smoke of the battle. With many times his usual strength he swung into cutting away the underbrush. The path to the road was soon completed. The rustic seat was soon built. I did my best with the signs.
"When all was done, while the caroling birds accompanied us with their evening symphony, we dedicated the spring to God and humanity, asking no return except the sweet satisfaction that we had rendered one more service to our fellow man and made it possible for him to turn aside from this dusty weary way, find a place of quiet, find refreshment and rest and a place to lay down his burden and in sweet meditations catch the spirit of the valley."
Little did those old people realize that this stranger was none less than the great American poet, Sam Foss. When he heard this story he went out and wrote that poem that you love and I love and that has gone around the world, entitled, "The House by the Side of the Road and Being a Friend of Man."
"THE HOUSE BY THE SIDE OF THE ROAD"
There are hermits souls that live withdrawn,
In the peace of their self-content:
There are souls like stars, that dwell apart,
In a fellowless firmament;
There are pioneer souls that blaze their paths,
Where highways never ran—
But let me live by the side of the road
And be a friend to man.
Let me live in a house by the side of the road
Where the race of men go by—
The men who are good and the men who are bad.
As good and as bad as I.
I would not sit in the scorner's seat,
Or hurl the cynic's ban—
Let me live in the house by the side of the road
And be a friend to man.
I see from the house by the side of the road,
By the side of the highway of life,
The men who press with ardor of hope,
The men who are faint with the strife.
But I turn not away from their smiles nor their tears,
Both parts of an infinite plan—
Let me live in the house by the side of the road
And be a friend to man.
I know there are brook-gladdened meadows ahead,
And mountains of wearisome height;
That the road passes on through the long afternoon.
And stretches away to the night.
And still I rejoice when the travelers rejoice
And weep with the strangers that moan,
As I live in my house by the side of the road
And be a friend to man. —Sam Walter Foss
PERFECTING HOLINESS IN THE FEAR OF GOD
II Corinthians 6:14 Be ye not unequally yoked together with unbelievers: for what fellowship hath righteousness with unrighteousness? and what communion hath light with darkness?
15 And what concord hath Christ with Belial? or what part hath he that believeth with an infidel?
16 And what agreement hath the temple of God with idols? for ye are the temple of the living God; as God hath said, I will dwell in them, and walk in them; and I will be their God, and they shall be my people.
17 Wherefore come out from among them, and be ye separate, saith the Lord, and touch not the unclean thing; and I will receive you,
18 And will be a Father unto you, and ye shall be my sons and daughters, saith the Lord Almighty.
7:1 Having therefore these promises, dearly beloved, let us cleanse ourselves from all filthiness of the flesh and spirit, perfecting holiness in the fear of God.
4 Great is my boldness of speech toward you, great is my glorying of you: I am filled with comfort, I am exceeding joyful in all our tribulation.
5 For, when we were come into Macedonia, our flesh had no rest, but we were troubled on every side; without were fightings, within were fears.
6 Nevertheless God, that comforteth those that are cast down, comforted us by the coming of Titus;
7 And not by his coming only, but by the consolation wherewith he was comforted in you, when he told us your earnest desire, your mourning, your fervent mind toward me; so that I rejoiced the more.
8 For though I made you sorry with a letter, I do not repent, though I did repent: for I perceive that the same epistle hath made you sorry, though it were but for a season.
9 Now I rejoice, not that ye were made sorry, but that ye sorrowed to repentance: for ye were made sorry after a godly manner, that ye might receive damage by us in nothing.
10 For godly sorrow worketh repentance to salvation not to be repented of: but the sorrow of the world worketh death.
11 For behold this selfsame thing, that ye sorrowed after a godly sort, what carefulness it wrought in you, yea, what clearing of yourselves, yea, what indignation, yea, what fear,
yea, what vehement desire, yea, what zeal; yea, what revenge! In all things ye have approved yourselves to be clear in this matter.
Memory Verse: Having therefore these promises, dearly beloved, let us cleanse ourselves from all filthiness of the flesh and spirit, perfecting holiness in the fear of God.
II Corinthians 7:1.
Central Thought: God commands us to separate ourselves from being in agreement with the sin and error of this present evil world, and be holy and pure as His sons and daughters.
Word Definitions: Concord: To be in accordance or harmony. Filthiness: Soil, stain, defilement, immorality. "Fervent mind": Zeal and warm affection. "Godly sorrow": Sorrow according to God, regret and grief for grieving God. Indignation: Sore grief and displeasure against sin and wrong. Revenge: Holy retribution and punishment, judgment.
LESSON BACKGROUND
Paul, in our previous lesson had dwelt on the thought of approving ourselves as the ministers of God. He had expressed his sincere love for them, having an enlarged heart to bear them in his thoughts and concern. In our lesson today he enters into another very important topic of instruction, and that is of us being separate from the evil influences in the world around us. We are in the world, but not of the world. We can live among people, eat and drink with them, work side-by-side with them in the temporal affairs, share the common blessings of life, and do many things that they do as human beings, but when it comes to what we fellowship, condone and agree with, there is a strict and clear cut line that has to be drawn. Paul expressed it in another place like this, "Have no fellowship with the unfruitful works of darkness, but rather reprove them. (Ephesians 5:11). We do not know what all that the brethren in the Church at Corinth were being involved with, but it is possible that they were mixed up with things that were not edifying to their souls. There are many influences in the world today that we as Christians cannot partake of, that we must in honor of Christ stay away from. The apostle is not wanting to put the brethren in a strait jacket, but he knew that these influences can stain the soul and involve the person in a way that is not good. In his first epistle to them he had made them sorry, but rejoiced that their sorrow was a godly sorrow and that it worked repentance to
salvation and victory. In their repentance they had fully approved themselves to be clear in those things wherein Paul had instructed them.
—Leslie C. Busbee
QUESTIONS:
1. Why is there danger and spiritual detriment in the fellowship of evil?
2. Can we be friendly, kind, cordial and gracious to people without fellowshipping their evil?
3. What is the real temple of God?
4. What does God want us to do about the sinful influences in the world?
5. What has God promised to do if we will come clean for the truth?
6. We are sanctified by the Holy Spirit. Is there a cleansing that we must carry out in separating ourselves from the evils of the world?
7. Why was Paul so full of comfort concerning the brethren at Corinth?
8. What effect did his letter have on them?
9. What had Titus told Paul that had brought him so much comfort?
10. What effect did their godly sorrow have upon their lives?
ADULTS’ AND YOUNG PEOPLE’S COMMENTS
Being the children of God and the objects of His great love and affection, we owe to Him everything, and He is justly worthy of all of our love, devotion, trust, allegiance and service. We join ourselves to Him, and He is all we need. But, there are always other influences in the world that are constantly reaching out their hand to us for sympathy, support and fellowship. We must be careful of what we get ourselves involved with. Now and then we get a telephone call soliciting the purchase of a worldly concert ticket to help promote some community function to solve some problem or need. We answer that we are willing to do what we can to help in solving our community’s problems, but that we are not interested in attending the concert or buying tickets for it. There is a line to be drawn. God can help us know where it is to be drawn. The Spirit of the Lord can help us to know of these things. He is faithful to reprove us if we get into something that He is not pleased with. One brother told about how that after he was saved, he was invited to go with a party to a ball game. He consented to go, but while in the midst of
the game he became very sensitive to the evil around him. One man near him was cursing, another was waving a beer bottle. He felt the Lord reprove him for being there. Another young man went to a gathering of young people at a home. He was told that it was to be an effort to better their study of foreign language. As the evening progressed he saw that it was not a good place for a Christian to be. He became so troubled that it began to even affect the activities and those in attendance. Finally he requested that he be allowed to leave. He said that he believed they all were glad to see him go. A true child of God just cannot be in harmony with the spirit of the world. Christ shed His blood and sent His Holy Spirit to cleanse us, but unless we separate ourselves from the evils of the world, we will not be fully clean.
—Leslie C. Busbee
FOOD FOR THOUGHT
Holiness is a wonderful virtue of the saint of God. Think of the fame of Christ that spread throughout Israel. He was a man different from any other. The only one who had even approached this popularity had been John the Baptist. Christ, through His holiness made an impact upon the world that time has been unable to erase.
In following Christ, we also may create an impact upon those around us. Through our holiness, individuals will be able to mark our lives as something above the ordinary. This is that city set on a hill that cannot be hid—the New Jerusalem of which Christ is the head.
Not only will holiness claim the attention of strangers, but our lives will be equipped to stand the scrutiny of our family and close acquaintances. It has been said that if you want to know what kind of Christian you are, go ask your family. The holiness of God as set forth by Christ should so infiltrate our lives that the closest friend or companion can have perfect confidence in us.
I recall the story of a preacher who discovered some young boys skipping school. Upon inquiry the boys informed the preacher that they were "lying for a dog." The one who told the biggest lie would receive a little puppy. After the preacher admonished the boys for telling lies, one of the children inquired of the preacher if he had ever lied. With sanctimonious air, the preacher replied with a "No-o." One of the little boys scoffed and said, "What a whopper—give the preacher the pup."
We should live such an example in holiness, modesty, truthfulness and integrity that those whom we are unaware
are observing us, will have a good report of our general conduct.
—Wayne Murphey
November 26, 1989
BEING POOR IN THIS WORLD, BUT RICH IN CHRIST
II Corinthians 8:1 Moreover, brethren, we do you to wit of the grace of God bestowed on the churches of Macedonia;
2 How that in a great trial of affliction the abundance of their joy and their deep poverty abounded unto the riches of their liberality.
3 For to their power, I bear record, yea, and beyond their power they were willing of themselves;
4 Praying us with much intreaty that we would receive the gift, and take upon us the fellowship of the ministering to the saints.
5 And this they did, not as we hoped, but first gave their own selves to the Lord, and unto us by the will of God.
7 Therefore, as ye abound in every thing, in faith, and utterance, and knowledge, and in all diligence, and in your love to us, see that ye abound in this grace also.
8 I speak not by commandment, but by occasion of the forwardness of others, and to prove the sincerity of your love.
9 For ye know the grace of our Lord Jesus Christ, that, though he was rich, yet for your sakes he became poor, that ye through his poverty might be rich.
10 And herein I give my advice: for this is expedient for you, who have begun before, not only to do, but also to be forward a year ago.
11 Now therefore perform the doing of it; that as there was a readiness to will, so there may be a performance also out of that which ye have.
12 For if there be first a willing mind, it is accepted according to that a man hath, and not according to that he hath not.
13 For I mean not that other men be eased, and ye burdened:
14 But by an equality, that now at this time your abundance also may be a supply for their want: that there may be equality:
15 As it is written, He that had gathered much had nothing over; and he that had gathered little had no lack.
Memory Verse: For ye know the grace of our Lord Jesus Christ, that, though he was rich, yet for your sakes he became poor, that ye through his poverty might be rich.
II Corinthians 8:9.
Central Thought: Spiritual life thrives in the generosity and sacrifices of those who are poor and needy, who rather than choose riches give of themselves to the Lord and to ministering for the welfare of others.
Word Definitions: "To their power... and beyond their power they were willing of themselves": As they were able and beyond their ability (depriving themselves of the necessities of life) they gave of their own accord.
LESSON BACKGROUND
Paul, in our lesson today, is pointing the brethren at Corinth to two examples of spiritual riches in the midst of earthly poverty. He mentioned the Macedonian brethren, and how that the grace of God was so great on them in their giving. They had great trials of affliction, and very deep poverty, but it all abounded to their joy and the riches of their generosity. They wanted Paul to have the gift that they had so sacrificially provided for him. An offering from the poor given from a heart of love is one of the most precious gifts ever given to a minister. It touches their heart so deeply. It warms them with a love that transcends all else. Paul knew that these people were poor, very poor. And yet they gave and gave some more. Oh, what a bond this brings between the servant of God and those to whom he ministers the gospel! He wanted these Corinthian brethren to be blessed in this way, also. Not that he was desiring their means, but he wanted them to know the joy and blessing of giving. He referred them also to the Lord Jesus Christ. Oh, what a splendid example our dear Saviour is of this! Though He was rich and powerful as the Son of God, yet He humbled Himself to become the poorest of the poor. He willingly offered Himself to die in our stead. He was homeless, penniless, and destitute of every human necessity. He did this for our sakes, so that we could be made rich in salvation and the fulness of grace.
—Leslie C. Busbee
QUESTIONS:
1. Under what circumstances had the Macedonian brethren given to help Paul?
2. What had their great joy and deep poverty abounded unto?
3. To what extent had they been willing to give?
4. Who did they give themselves to first?
5. In what way was Jesus rich?
6. In what way did He become poor?
7. How can we be made rich?
8. What kind of riches is Paul speaking of here?
9. How can we all help one another to make things come out equal?
10. Would there be enough provision in the world for everyone if there was equality?
11. Why is there not equality in this world?
12. Is there equality in the Church of God?
ADULTS’ AND YOUNG PEOPLE’S COMMENTS
One of the greatest temptations to humankind is to be rich. To the carnal mind, riches mean money, wealth, earthly possessions and security. But these are not the true riches that we should seek after. Earthly riches have a way of dominating the mind and soul to where one becomes insensitive to God and the true riches. Jesus Himself declared that it is easier for a camel to go through the eye of a needle than for a rich man to enter into the kingdom of heaven. The true riches of faith, love, patience, meekness, wisdom, kindness and peace are the most worthy objects of our desires. There is great joy in being poor in this world and knowing the realities of being rich in the favor and fellowship of God. Many people work hard to be rich. They make it the goal of their lives to be wealthy. It fills their waking hours and many times their sleeping hours. The thirst for earthly wealth is an all-consuming thirst. It makes a person cold and selfish. Very few people can survive prosperity in material things. There is something about material wealth that causes one to put their trust in it. It is a deceitful thing that preys on the heart of man. Oh, how we need to heed the truth that only Christ has the true riches! He gave up everything to come down to the cold, dark world to become the poorest of the poor. The wealth of the world had no attraction for Him. He had a better home to look forward to. He was not impressed by the things Satan sought to entice Him with. He had a joy set before Him that helped Him to overcome all of the sufferings of the cross. Oh, if more people could but see the blessing of giving and self-denial! What a change would be in our society! Only Christ can make us truly rich.
—Leslie C. Busbee
FOOD FOR THOUGHT
Paul said "to live is Christ." Christ was the center of his life. Just so, He should be the center of our lives. Every plan and purpose should be derived from Christ. Jesus stood before the Father with the attitude of, "Then said I, Lo, I come to do thy will, O God." Psa. 40:7, 8. "I delight to do Thy will." Jesus did the will of the Father here on earth until He said on the cross, "It is finished." First, Jesus gave Himself to do the will of the Father and then He gave Himself to ministering to those about Him, and finally gave His life. First, we must give ourselves to Jesus and then He prompts our giving and ministering to the saints. "Inasmuch as ye have done it unto one of the least of these my brethren, ye have done it unto me." Matt. 25:40. Christ is the one who prompts our giving, therefore we have a real fellowship with Christ. We abound in the grace of giving as well as in the other graces. Giving is good for saints, as it checks any tendency to selfishness and it keeps the heart tender. Blessings come from giving, therefore we fellowship Christ, who was rich, yet for our sakes became poor that we might have everlasting life. This brought joy to our Saviour, "for the joy that was set before him endured the cross . . . and is set down at the right hand of God." Heb. 12:2. He had joy in seeing us saved from sin and therefore was willing to endure the cross. We fellowship our Lord in giving because we love to see the joy in those that are given to.
—Marie Miles
(Written in 1975.)
II Corinthians 9:1 For as touching the ministering to the saints, it is superfluous for me to write to you:
2 For I know the forwardness of your mind, for which I boast of you to them of Macedonia, that Achaia was ready a year ago; and your zeal hath provoked very many.
3 Yet have I sent the brethren, lest our boasting of you should be in vain in this behalf; that, as I said, ye may be ready:
4 Lest haply if they of Macedonia come with me, and find you unprepared, we (that we say not, ye) should be ashamed in this same confident boasting.
5 Therefore I thought it necessary to exhort the brethren, that they would go before unto you, and make up beforehand your bounty, whereof ye had notice before, that the same might be ready, as a matter of bounty, and not as of covetousness.
6 But this I say, He which soweth sparingly shall reap also sparingly; and he which soweth bountifully shall reap also bountifully.
7 Every man according as he purposeth in his heart, so let him give; not grudgingly, or of necessity: for God loveth a cheerful giver.
8 And God is able to make all grace abound toward you; that ye, always having all sufficiency in all things, may abound to every good work:
9 (As it is written, He hath dispersed abroad; he hath given to the poor: his righteousness remaineth for ever.
10 Now he that ministereth seed to the sower both minister bread for your food, and multiply your seed sown, and increase the fruits of your righteousness;
11 Being enriched in every thing to all bountifulness, which causeth through us thanksgiving to God.
12 For the administration of this service not only supplieth the want of the saints, but is abundant also by many thanksgivings unto God;
13 Whiles by the experiment of this ministration they glorify God for your professed subjection unto the gospel of Christ, and for your liberal distribution unto them, and unto all men;
14 And by their prayer for you, which long after you for the exceeding grace of God in you.
15 Thanks be unto God for his unspeakable gift.
Memory Verse: Every man according as he purposeth in his heart, so let him give; not grudgingly, or of necessity: for God loveth a cheerful giver. II Corinthians 9:7.
Central Thought: God wants us to give of ourselves and our means freely, sacrificially, and cheerfully to help support the work of the Lord and to help those who are in need.
Word Definitions: Superfluous: Not needful.
LESSON BACKGROUND
In our lesson today we have some very good pointed truths concerning the blessing of giving to the gospel of Jesus Christ. God has always accomplished His designs for man, making use of the freewill offerings that come from what man has been blessed to have. When God began to unveil to Moses His plans for the tabernacle, He instructed him to take offerings of every man that giveth willingly with his heart, of the gold, silver, brass, and all of the other things that would be necessary for the building of the tabernacle. When David made public his plans to have the great temple built, the people offered and gave willingly the things that were needed for the service of the house of the Lord. In the New Testament Church we still have this principle. God surely sees that it is good for us to give. When we offer of ourselves and what we have to the Lord with a cheerful and yielded heart to the Lord, the sacrifice thereof is a sweet smelling savour to Him. No one prospers by holding back on God. No one gets ahead by closing their fists on their money. “Give, and it shall be given unto you,” said Jesus in Luke 6:38. As our lesson plainly states, we are not to give because we have to, or just because it is a necessity, but we should give because we want to give, and be cheerful while we are doing it from the heart. God loves a cheerful giver. There is a rich reward for the faithful and cheerful giver. The attitude of the giver who gives in the spirit that God is pleased with, will help him to be in a condition where God can and will pour out the fulness of His grace upon him. Giving is the basic principle of life and success. No one gets very far in the Christian race who does not learn and know the joy of giving. God’s unspeakable gift, the gift of His Son is the greatest gift of all, and the giving of ourselves and of our substance is the just and proper thing for us to do.
—Leslie C. Busbee
QUESTIONS:
1. Why is giving such an important phase of the Christian life?
2. What will one’s blessings be if they give sparingly?
3. What is the attitude in giving that God loves?
4. What is the great reward of giving?
5. What will God’s abundant grace enable us to do?
6. What kind of righteousness will be to the man who disperses abroad and gives to the poor?
7. Will a person who gives consistently and sacrificially ever really miss the things that he gives for the Lord?
8. What will the bountifulness that God bestows cause to spring up in the heart?
9. Will this thanksgiving be in the giver’s heart alone?
10. What are the good and perfect gifts and the one unspeakable gift of God?
ADULTS’ AND YOUNG PEOPLE’S COMMENTS
One of the most important functions of the Christian life is that of giving. We must give of ourselves, of our time, of our means, of our strength, and every other phase of our lives. One who does not give does not prosper in the Lord. Selfishness and greed are foreign to the Spirit of God. No man can have these dispositions in the heart and have fellowship with God. The Christian life is to give, give, give, and give some more. God’s nature is to give. Think of the blessings that He bestows daily upon humanity. The sunlight from the sky, the rain from heaven, the air we breathe, the beauties of nature, food, and many more things are the tokens of the love of our beneficent heavenly Father. He gives because He loves to give. He gives bountifully and richly all things for us to enjoy. If we are His sons and daughters, we will have the same kind of desire and pleasure to give. We must first give ourselves to the Lord, then everything we have is His. It really belongs to Him anyway, but He wants to receive it from our hand of faith and love. It is more than just merely giving a tithe. There are times when a tenth will not satisfy the craving of love and desire to give that He puts in our hearts. Oh, the spiritual poverty that there is in the world on account of people not knowing the blessing of giving to the Lord and others. As we give freely and cheerfully, God sees to it that our needs are supplied and that His abundant grace will be constantly in our hearts. Let us be diligent to give freely and sacrificially as never before. Learn the great joy of giving and
your Christian experience will grow and prosper by leaps and bounds.
—Leslie C. Busbee
FOOD FOR THOUGHT
A beggar at the end of the day heard the cry, “The king comes!” Expecting a princely gift from the king, the beggar was astounded when he extended his cup only to have the king stop his great white charger and ask, “What gift have you for the king?” Is this our perspective of giving; that God is the giver and we are always on the receiving end?
“The Golden Ladder of Giving” by Maimonides, a Jewish scholar of the twelfth century, included the following steps which lead from the lowest rung of giving to the most perfect. (1) To give reluctantly, the give of the hand, but not of the heart. (2) To give cheerfully, but not in proportion to the need. (3) To give cheerfully, and proportionately, but not until solicited. (4) To give cheerfully, proportionately and unsolicited, but to put the gift into the poor man’s hand. (5) To give in such a way that the distressed may know their benefactor, without being known to him. (6) To know the objects of our bounty, but remain unknown to them. (7) To give so that the benefactor may not know those whom he has relieved, and they shall not know him.
—Wayne Murphey
December 10, 1989
THE RIGHT KIND OF WARFARE AND STRIFE
II Corinthians 10:1 Now I Paul myself beseech you by the meekness and gentleness of Christ, who in presence am base among you, but being absent am bold toward you:
2 But I beseech you, that I may not be bold when I am present with that confidence, wherewith I think to be bold against some, which think of us as if we walked according to the flesh.
3 For though we walk in the flesh, we do not war after the flesh:
4 (For the weapons of our warfare are not carnal, but mighty through God to the pulling down of strongholds;)
5 Casting down imaginations, and every high thing that exalteth itself against the knowledge of God, and bringing into captivity every thought to the obedience of Christ;
6 And having in a readiness to revenge all disobedience, when your obedience is fulfilled.
7 Do ye look on things after the outward appearance? If any man trust to himself that he is Christ’s, let him of himself think this again, that, as he is Christ’s, even so are we Christ’s.
12 For we dare not make ourselves of the number, or compare ourselves with some that commend themselves: but they measuring themselves by themselves, and comparing themselves among themselves, are not wise.
13 But we will not boast of things without our measure, but according to the measure of the rule which God hath distributed to us, a measure to reach even unto you.
14 For we stretch not ourselves beyond our measure, as though we reached not unto you: for we are come as far as to you also in preaching the gospel of Christ:
15 Not boasting of things without our measure, that is, of other men’s labours; but having hope, when your faith is increased, that we shall be enlarged by you according to our rule abundantly,
16 To preach the gospel in the regions beyond you, and not to boast in another man’s line of things made ready to our hand.
17 But he that glorieth, let him glory in the Lord.
18 For not he that commendeth himself is approved, but whom the Lord commendeth.
Memory Verse: (For the weapons of our warfare are not carnal, but mighty through God to the pulling down of strongholds;) II Corinthians 10:4.
Central Thought: We are not in a literal combat with carnal men using carnal weapons, but we are in a spiritual conflict, daily bringing into captivity every part of our being to the will of God, and we are striving to fulfill all that God is calling us to, that He might be glorified.
Word Definitions: Imaginations: Reasonings, opinions, ideas, beliefs, things that the carnal mind has proposed to be truth. The gospel attacked all superstitions, myths and theories that men in darkness had devised in their idolatrous worship.
LESSON BACKGROUND
Paul was meek and gentle when he was among the brethren, but in his letters he exercised more boldness. He did it this way because he did not want to have some thinking
that he was walking after the flesh. This is a very important thought. Real Christian warfare is accomplished by the workings of the Spirit of God through meek and lowly saints of God. Our weapons are faith, love, righteousness, hope and the gospel of Christ. Only by these weapons can we pull down strongholds and bring every heart and mind into the captivity of the grace of God. It seemed that some tried to take an advantage of Paul because he was so meek and gentle, but he assured them that he could be bold in Christ, also. He states in our lesson that he disapproved of those who measured themselves by themselves, that is, looking on one another for the evaluation of their own spiritual life. There is a tendency for us to do this. We hear someone testify and expound what God has done for them, and the enemy tries to make us feel inferior or dissatisfied with our own spiritual accomplishments. He would even get souls who are unaware to try to imitate and be like someone else, but we must all remember that God deals with us as individuals, and we are to walk according to the rule of faith that He has personally joined unto us. If we will keep our individual places in Christ and commit our brother or sister to Him, we will find that God will be near us to make our experience and labors prosperous and successful.
—Leslie C. Busbee
QUESTIONS:
1. How did Paul treat the brethren when he was in their midst?
2. Why was he bolder in his letters than he was in their presence?
3. What kind of warfare did Paul fight in?
4. What kind of imaginations does the gospel tear down?
5. What high thing exalts itself against the knowledge of God?
6. What does bringing every thought into captivity to the obedience of Christ involve?
7. When can we be ready to deal with sin and disobedience?
8. Why is it unwise to compare ourselves with others and measure ourselves by ourselves?
9. What happens if we overstretch ourselves and go beyond what the Spirit of God is working in us?
10. If self motivates and approves our labors, who is glorified?
ADULTS’ AND YOUNG PEOPLE’S COMMENTS
The service of the gospel and Christian warfare are two very important things to the child of God. Knowing how to
deal with others and how to present the gospel message is very, very important. When we are dealing with souls and in the presence of the unsaved we need to be very loving, gentle, and meek. Some in their zeal think that they need to pressure and talk people into getting saved and lining up with the truth, but there is something here that we had better be careful about. If we pressure people and get them to heed our efforts, the Spirit of God may not have as much to do with that as we might think. The people could be responding to us instead of the Lord. And when that is true the results will not be what they should be. Our labors and our warfare in the Christian life must be kept strictly under Holy Spirit rule and inspiration. It is possible that we might be fighting a carnal fight even if we do not have a gun or a sword in hand. We might be fighting a carnal fight with our words. We may be able to persuade and pressure people, but if the Sword of the Spirit is not in the fray, the strongholds and imaginations will not come down. We want people won to the Lord and not to us. When they are won to us, there will be a tendency to measure and compare with one another. This goes on in many religious circles today. Many preachers literally rule their "offspring," domineering them into things that they have devised. Not all religious activity is of God. Show me a man who is not meek and gentle in his ministry and I will show you a man who is ruling over people in an unjust, unauthorized manner. Faith, love, kindness, patience, peace, purity and divine wisdom are the weapons and tools that really get the work done for the Lord.
—Leslie C. Busbee
FOOD FOR THOUGHT
Sometimes young converts are troubled about not being able to testify like some older saint. But as the lesson tells us, we are not to measure ourselves by ourselves nor compare ourself with others. We are to testify like the Lord shows us, and just be ourself. The older saint has gone through many trials and has had a lot of schooling in the things of the Lord. They have a deeper depth than the young convert. So don't try to be like them. The young convert will be able to testify to more grace in his life as he continues to live for God. As the young convert continues to exercise himself, the Lord will add to his service for Him. We should desire to labor for the Lord, yet we must not go beyond our ability that the Lord gives us. We are not to "stretch beyond our measure." One elder minister said that every young minister should teach a class of little children and learn how to teach before trying to teach adults.
I don’t know if that rule would hold always, but there is something in it. If you can’t feel an anointing, or get over a truth in teaching children, how can you teach adults? Teaching is one of the qualifications of a minister, “apt to teach.” I Tim. 3:2. I don’t believe that the Lord calls a person to take the pulpit to teach others just as soon as they are saved. The qualifications of a minister are that they are “not a novice, lest being lifted up with pride he fall into condemnation of the devil” I Tim. 3:6. A novice is one, “newly come to the faith.” What a young convert has to say can be said while he is standing at his seat. We then will not be going “beyond our measure.”
Zeal without knowledge will get us into trouble, yet we must be busy for the Lord and move as the Lord leads.
—Marie Miles
(Written in 1975.)
December 17, 1989
WARNINGS AGAINST FALSE TEACHERS
II Corinthians 11:1 Would to God ye could bear with me a little in my folly: and indeed bear with me.
2 For I am jealous over you with godly jealousy: for I have espoused you to one husband, that I may present you as a chaste virgin to Christ.
3 But I fear, lest by any means, as the serpent beguiled Eve through his subtilty, so your minds should be corrupted from the simplicity that is in Christ.
4 For if he that cometh preacheth another Jesus, whom we have not preached, or if ye receive another spirit, which ye have not received, or another gospel, which ye have not accepted, ye might well bear with him.
12 But what I do, that I will do, that I may cut occasion from them which desire occasion; that wherein they glory, they may be found even as we.
13 For such are false apostles, deceitful workers, transforming themselves into the apostles of Christ.
14 And no marvel; for Satan himself is transformed into an angel of light.
15 Therefore it is no great thing if his ministers also be transformed as the ministers of righteousness; whose end shall be according to their works.
23 Are they ministers of Christ? (I speak as a fool) I am
more; in labours more abundant, in stripes above measure, in prisons more frequent, in deaths oft.
24 Of the Jews five times received I forty stripes save one.
25 Thrice was I beaten with rods, once was I stoned, thrice I suffered shipwreck, a night and a day I have been in the deep;
26 In journeyings often, in perils of waters, in perils of robbers, in perils by mine own countrymen, in perils by the heathen, in perils in the city, in perils in the wilderness, in perils in the sea, in perils among false brethren;
27 In weariness and painfulness, in watchings often, in hunger and thirst, in fastings often, in cold and nakedness.
28 Beside those things that are without, that which cometh upon me daily, the care of all the churches.
29 Who is weak, and I am not weak? who is offended, and I burn not?
30 If I must needs glory, I will glory of the things which concern mine infirmities.
Memory Verse: For I am jealous over you with godly jealousy: for I have espoused you to one husband, that I may present you as a chaste virgin to Christ. II Corinthians 11:2.
Central Thought: Satan has many agents and workers who pose as the ministers of Christ, ever seeking to win people to them, preaching false doctrine, and making it treacherous and difficult for the faithful servants of God to labor for souls.
Word Definitions: "Bear with me a little in my folly": Paul thought it needful to defend his ministry, speaking much of himself, his sufferings, his revelations and his success. He knew that some would think it unwise and vain. "Ye might well bear with him": The word "him" here is an added word by the translators. Some have felt that the word "me" would have been more appropriate here, as he had already in verse 1 asked them to bear with him.
LESSON BACKGROUND
There seems very surely to have been a false teacher trying to influence the brethren at Corinth, working against Paul. Paul had preached Christ to them, and they had believed. He had counseled them by letter and they had received that. Someone was now coming among them preaching another Jesus, presenting Christ in another spirit, and holding forth another gospel, all which was foreign and different. In Paul's
preaching he had espoused them to Christ, and had held a standard of holiness that pleased the Saviour. Paul did not seek to draw people to himself. But the false teacher, as it is with every false prophet, had sought to draw people away from the teachings of Paul unto himself, using the name of Jesus as a ruse or bait to attract them. Perhaps he was more eloquent than Paul, or a little more persuasive with his words. Paul was seeking to defend his ministry, reminding them of the things that God had worked in His life. This is why he made the list of the things that he had suffered and gone through with. It has happened more times than one that a minister has labored to win souls and build up a work for God, and then another spirit comes in and steals the hearts of the people. Now we know that there is but one real Jesus, and only one true Spirit of the Lord, and only one pure and true gospel. But when two different men preach from the same Bible two different gospels, then we know something is wrong. God help us today and safeguard us from false teachers and their destructive work.
—Leslie C. Busbee
QUESTIONS:
1. Is there a jealousy that is justified and right?
2. In the preaching of the gospel, who are we to seek to draw people to?
3. What was Paul afraid of concerning the Church at Corinth?
4. Is it possible for a man to preach the wrong Jesus?
5. Just where is this “other Jesus” formed?
6. What do false apostles transform themselves into?
7. How does Satan make himself appear?
8. What to you is the worst peril that Paul had to meet along life’s journey?
9. What weighed down on Paul on top of all the other things from without?
10. What did Paul glory in?
ADULTS’ AND YOUNG PEOPLE’S COMMENTS
“A chaste virgin to Christ.” Oh, what weighty words are these! The Holy Spirit of God accompanies the gospel to woo and win our hearts from the ways of sin and the world, to find a new life in Jesus Christ, our Lord and Master. We hear how He so loved us when we were all so undone. It comes to us personally and individually. It charms us so to realize how much He cared for our souls to take our place and die for us on Calvary. The love of Christ bears down upon us, and we finally fall at His feet and repent of our sins. As our faith
takes hold of His precious promises, the peace of God's forgiving love floods our hearts with the greatest joy that we have ever known. We know that He has delivered us from sin. Our hearts are changed from the old to the new. We are new creatures in Christ Jesus. Oh, how our hearts are filled with love and worship to Him! We are lost in the love of Jesus, just carried away by the grace and power that we feel in our hearts from day to day. We love everybody. Oh, what a wonderful experience to have in this life! How sweet is our walk with Jesus! We see the wonderful hope that He is giving us, and we want to see His sweet face some blessed day. We seek to please Him. We want to be pure as He is pure. We are a chaste, pure virgin to Christ. We are united to Him in one sweet holy Spirit of love, holiness and power. This world and all of its folly attracts us no more. We have found the pearl of great price! This is an experience that is so precious in the sight of God, but we must be on our guard. Jesus warned us about false prophets who come to us in sheep's clothing, but inwardly they are ravening wolves. Their effect will be to corrupt us from the chaste singleness of heart that we have to the Lord, to them and their ideas. Oh, it has happened many times to many people. Let us be on our guard, and seek to maintain a constant life for Jesus above all things.—Leslie C. Busbee
FOOD FOR THOUGHT
Christ can be presented in many different ways. It is amazing how that sometimes He can be presented in such a way that His character is hardly recognizable. It is of utmost importance that we have an ongoing, personal relationship with Him so that if we have occasion to come into the influence of a false prophet, we can recognize it.
Paul insinuated, by comparison, that this false prophet at Corinth was very subtle. He was adding to what Paul had told them about Christ, and making the way of holiness more complicated. Judas, who was the brother of Jesus, exhorted in his epistle, "that ye should earnestly contend for the faith that was once delivered unto the saints." Jude 3. This is a good admonition. We need to go all the way back to the fountainhead. Jude was written in approximately A.D. 75, and already there had been many things to complicate and draw away from the simple salvation Christ taught. How much more it has been done in nearly 2,000 years! Man's concoctions have thrown many impurities into this gospel stream. When a false doctrine or theory is a trouble to you, there is more surety and comfort for your soul, if rather than approaching the theory
and trying to sort out the impurities, you simply turn your attention to the simplicity of Christ. There are times that false spirits are hard to put your finger on, for Paul said that Satan himself is transformed into an angel of light, but the plan of salvation is easily understood by even the simple.
—Wayne Murphey
December 24, 1989
“WHEN I AM WEAK, THEN AM I STRONG”
II Corinthians 12:1 It is not expedient for me doubtless to glory. I will come to visions and revelations of the Lord.
2 I knew a man in Christ above fourteen years ago, (whether in the body, I cannot tell; or whether out of the body, I cannot tell: God knoweth;) such an one caught up to the third heaven.
3 And I knew such a man, (whether in the body or out of the body, I cannot tell: God knoweth;)
4 How that he was caught up into paradise, and heard unspeakable words, which it is not lawful for a man to utter.
5 Of such an one will I glory: yet of myself I will not glory, but in mine infirmities.
6 For though I would desire to glory, I shall not be a fool; for I will say the truth: but now I forbear, lest any man should think of me above that which he seeth me to be, or that he heareth of me.
7 And lest I should be exalted above measure through the abundance of the revelations, there was given to me a thorn in the flesh, the messenger of Satan to buffet me, lest I should be exalted above measure.
8 For this thing I besought the Lord thrice, that it might depart from me.
9 And he said unto me, My grace is sufficient for thee: for my strength is made perfect in weakness. Most gladly therefore will I rather glory in my infirmities, that the power of Christ may rest upon me.
10 Therefore I take pleasure in infirmities, in reproaches, in necessities, in persecutions, in distresses for Christ’s sake: for when I am weak, then am I strong.
11 I am become a fool in glorying; ye have compelled me: for I ought to have been commended of you: for in nothing am I behind the very chiefest apostles, though I be nothing.
12 Truly the signs of an apostle were wrought among you in all patience, in signs, and wonders, and mighty deeds.
15 And I will very gladly spend and be spent for you; though the more abundantly I love you, the less I be loved.
Memory Verse: And he said unto me, My grace is sufficient for thee: for my strength is made perfect in weakness. Most gladly therefore will I rather glory in my infirmities, that the power of Christ may rest upon me. II Corinthians 12:9.
Central Thought: There are things that God will allow to come upon us in life that He will not take away in answer to our prayers, but will rather use those things to try and to keep us humble, and give us His all-sufficient grace to make us strong and triumphant in our weakness.
Word Definitions: Infirmities: Weaknesses, inabilities, limitations, difficulties. Reproaches: Insults or injuries. Necessities: Times of constraint and being forced into unpleasant situations. Distresses: Close and difficult situations, calamities.
LESSON BACKGROUND
In our previous lesson we saw where Paul was defending his ministry in the face of false teachers who were seeking to prey on those to whom he had preached. He continues his defense now by telling how that the Lord Jesus dealt with him in outstanding visions and revelations, balancing them out with special and unusual trials and heavy infirmities. The one he is speaking of as being caught up to the third heaven and into paradise was himself. Just when he was caught up to these heights of glory we cannot accurately tell. Some have thought it might have been when he was taken up for dead after being stoned as related in Acts 14:9. Whenever it was, Paul was granted the special privilege of being taken up into the presence of the Lord where things were spoken that are not permitted to be uttered here on earth. It seemed that God saw fit to bless Paul in a very outstanding way with visions and revelations of His glory. But, to counter-balance these wonderful blessings in order to help keep him humble, God saw fit to allow Paul to suffer unusual difficulties which are listed in our lesson. Paul called it all a thorn in the flesh. There has been a lot of speculation as to what this thorn in the flesh was. Some think it might have been his poor vision. I am more inclined to count it as the things mentioned here all together, making up a great heavy load of physical difficulties that plagued him wherever he went. It is not strange nor out of reason that Paul sought God’s mercy to escape these things. However, the answer of Christ to him is our main lesson today.
He got an answer, but it was different from what he had hoped. That same grace will be ours today as we face the thorns that we find in our flesh, for we are in the same fight that he was in. God still works to counter-balance our lives. As Frances Ridley Havergal said in her poem of the compensating springs and the balance wheels of life, "The hand that takes the crown must ache with many a cross." This is true in our day. May the Lord help us to see the depths of the meaning of the expression, "When I am weak, then am I strong."
—Leslie C. Busbee
QUESTIONS:
1. Why did Paul not want to glory in the fact that he had been caught up to heaven?
2. Is there any danger of us speaking too much about the revelations and special blessings of the Lord?
3. Why did the Lord give Paul a thorn in the flesh?
4. What was his first reaction to this thorn in the flesh?
5. What did the Lord say to him?
6. How did Paul take the counsel of the Lord concerning this unanswered petition?
7. Can you give an illustration of how the Lord’s strength is revealed in the weakness of humanity?
8. What were some of the things Paul found that he could take pleasure in?
9. When a man is weak in himself, can he expect the help of God in his life?
ADULTS’ AND YOUNG PEOPLE’S COMMENTS
The infirmities that Paul faced and suffered every day in his life were a special blessing from the Lord. They helped to make manifest the power of Christ in his life. When Christ uses weak things to confound the mighty, the weak vessel takes no credit. In every Christian, sooner or later, there will be this special working by God. God will allow some difficulty to come your way. It will test your courage and decision over and over. It will root out the tendency to be slothful and overly self-confident. To press against this thorn in the flesh will be the most difficult thing you have ever done. Sometimes it will seem that you are going to falter and not be able to make it, but press onward and hold steady. That physical problem, that vexing situation, that unusual difficulty has a very special mission in your life. It will help you to witness the power of Christ more clearly and more closely in your heart.
Look for unusual and special blessings when you enter these times of dire need and temptation, and when heaven opens its windows and pours out its blessings in a special way, do not be surprised if it will be accompanied by some unusual trials of faith. As Ecclesiastes 7:14 says, "In the day of prosperity be joyful, but in the day of adversity consider: God also hath set the one over against the other, to the end that man should find nothing after him." God sets the day of adversity over against (or to balance out) the day of prosperity. It helps keep us humble and to remember that we are absolutely nothing in ourselves. If you haven't already, you will need this lesson someday. The time will come when you will know what it means to be truly strong when you are weak.
—Leslie C. Busbee
FOOD FOR THOUGHT
Do you ever get tired of having to go through some kind of trouble? So did the Apostle Paul. In fact he became so weary that it almost became a contention with him and God. But God let him know that although the problems would continue, His grace would be sufficient. With God as our helper we can bear all things and keep a good, wholesome attitude. We can continue to work for God and actually gladly be spent for Him. We don't have to complain as we go through life.
There is an Aesop fable which tells of a heavily laden wagon, pulled by a yoke of oxen over a dusty road. Each time the wheels turned on their axles they set up a tremendous creaking. Driven almost frantic by the ear-piercing noise, the driver cried, "Wagon, why do you make all this clamor and complaint, when they who are drawing all the weight are silent?" If God is willing to do the pulling for us in problems, surely we can bear a little weight without complaining.
If God is doing the work for us in the hard places it is easy to understand the point that is made in the verse, "When I am weak, then am I strong." It is all contingent on the One to whom we are hooked to. When the hard times come then we can feel the Lord starting to pull. We can feel a divine power working in our lives.
—Wayne Murphey
EXAMINING AND PROVING OURSELVES TO BE IN THE FAITH
II Corinthians 13:1 This is the third time I am coming to you. In the mouth of two or three witnesses shall every word be established.
2 I told you before, and foretell you, as if I were present, the second time; and being absent now I write to them which heretofore have sinned, and to all other, that, if I come again, I will not spare:
3 Since ye seek a proof of Christ speaking in me, which to you-ward is not weak, but is mighty in you.
4 For though he was crucified through weakness, yet he liveth by the power of God. For we also are weak in him, but we shall live with him by the power of God toward you.
5 Examine yourselves, whether ye be in the faith; prove your own selves. Know ye not your own selves, how that Jesus Christ is in you, except ye be reprobates?
6 But I trust that ye shall know that we are not reprobates.
7 Now I pray to God that ye do no evil; not that we should appear approved, but that ye should do that which is honest, though we be as reprobates.
8 For we can do nothing against the truth, but for the truth.
9 For we are glad, when we are weak, and ye are strong: and this also we wish, even your perfection.
10 Therefore I write these things being absent, lest being present I should use sharpness, according to the power which the Lord hath given me to edification, and not to destruction.
11 Finally, brethren, farewell. Be perfect, be of good comfort, be of one mind, live in peace; and the God of love and peace shall be with you.
12 Greet one another with an holy kiss.
13 All the saints salute you.
14 The grace of the Lord Jesus Christ, and the love of God, and the communion of the Holy Ghost, be with you all. Amen.
Memory Verse: Examine yourselves, whether ye be in the faith; prove your own selves. Know ye not your own selves, how that Jesus Christ is in you, except ye be reprobates? II Corinthians 13:5.
Central Thought: We should be very attentive to the reality and genuineness of our faith, examining it constantly
that it be kept in right order, fulfilling every requirement and meeting every responsibility that Christ in love has handed down to us.
**Word Definition:** *Reprobate*: Unapproved, rejected, worthless, counterfeit.
**LESSON BACKGROUND**
Paul is bringing his second epistle to a close. He calls it his third time to come to them. He came the first time when he visited there and the work for the Lord was started. His second time to come to them was in his first epistle which proved to be such a great blessing to them. He may have counted each visit a witness. He tells them that if he comes again he will not spare. They were seeking a proof of Christ in him, and he was proving to them that Christ was mightily working in him. He explained that though Christ was crucified through weakness, yet He lived by the power of God, and that Paul was weak (in the flesh) in Christ, but would live with them by the power of God toward them. Instead of making such a stiff requirement that Paul prove himself, he tells them that they need to turn the searchlight on their own lives, examining themselves whether they be in the faith or not. He warned them about the possibility of being reprobates, and the chance they had of being cast away at the last. He wanted them to be assured that he himself was not a reprobate. All through this we see that loving and tender concern that he had for their state. So convinced was he of this thing that he declared that nothing could be done against the truth, but for the truth. The truth will stand by itself. It needs no one to support it. As the poet William Cullen Bryant said, “Truth crushed to earth will rise again, The eternal years of God are hers; But error, wounded, writhes in pain, and dies among her worshipers.” Paul expressed himself boldly but with desire that his authority would not be for their destruction, but for their edification. Then he closed with loving words of comfort and courage, admonishing them to greet one another with an holy kiss, praying that the grace of Christ, the love of the Father, and the communion of the Holy Spirit would be with them all.
—Leslie C. Busbee
**QUESTIONS:**
1. Who is to examine who in this matter of who is in the faith?
2. How can we know that we are in the faith for sure?
3. What must we have in our hearts and minds that will correspond with the weakness of Christ?
4. Can we be in the true faith without sharing Christ’s weakness?
5. Make a list from the previous studies in this series and from the Word of God in general, of the things that are vital to be in the faith.
6. Can we really do anything against the truth and prevail against it?
7. What were the final things that Paul lovingly entreated them to do as he closed his epistle?
8. Why was Paul glad to be weak?
9. In what way did Paul want to use his power and authority?
10. What three things did he pray to be with them all?
ADULT’S AND YOUNG PEOPLE’S COMMENTS
“Examine yourselves,” our lesson tells us. It didn’t say for us to examine someone else, but this often is the case, and we fail to examine ourself. Not only are we to examine ourself, but we are to prove ourself. Watch how you act in times of trouble or distress. How do you act when others talk about you or cast your name out as evil? Jesus spoke to the Pharisees and told them that they were careful to pay tithes of mint, etc., but they had omitted the “weightier matters of the law,” which were “judgment, mercy and faith.” (Matthew 23:23). They were careful to pick mint and be sure that they gave the tenth sprig, but they were not careful to “judge righteous judgment.” (John 7:24). Some say that the Bible says, “By their fruits ye shall know them.” This is true, but many do not judge “righteous judgment” when they inspect another person. We need to be careful about being fruit inspectors. We need to see that we have mercy and faith. We need to do as our lesson says for us to do—“examine ourselves.” Many judge from appearance, and that is not righteous judgment. We can know if we are the Lord’s. His Spirit bears witness with our spirit that we have passed from death to life. (Read Romans 8:14-17). If Christ dwells in us, we are not reprobates, but have the power of Christ working within us. We can’t mix the worldly spirit with the Spirit of Christ. We must reject worldliness and cling to the true Spirit of Christ to be acceptable in the sight of the Lord. We can’t mix truth with error. We are under the influence of the spirit of Satan or the Spirit of the Lord. Praise God, we can know if we are the Lord’s, and if we
measure our lives to the Word of God, we belong to Him!
—Sis. Marie Miles, December, 1975
FOOD FOR THOUGHT
When an airplane ticket is purchased in advance, it is a good idea to confirm the ticket before you go to take the flight. Things can happen that make an airline ticket void. How disappointing to attempt to board the plane only to find out you have been “bumped” from that flight. How much more important it is to confirm our salvation. This needs to be done frequently and is accomplished by examining ourselves. I Cor. 1:8 tells about the words and life of Christ which shall “confirm you unto the end, that ye may be blameless in the day of our Lord Jesus Christ.” As we read the Word of God and apply it to ourselves, we can have an assurance that all is well. Disappointment is hardly the appropriate word to use when describing what it would be like to stand before God on the day of judgment and find out our experience is not up-to-date. Eternally devastating might convey more the proper feeling.
One way to know if we will be reprobates at the close of our life is to see if we are of any use to God in this life. Those whom Satan is the master of lead a very unproductive life. Their time and talents are wasted. There are some who have a Christian profession, but because Christ is not the motivation for their actions their experience is a counterfeit. But these things do not have to be, for God has something better. We can maintain a vibrant experience with God in which He gives daily assurance that all is well.
—Wayne Murphey
MARY SLESSOR OF CALABAR
From early girlhood Mary Slessor of Scotland had dreamed of being a missionary to Africa. During her early life she helped her widowed mother support the family, but while toiling in the mills, she planned for the day when she would carry the Gospel to the lost in West Africa.
The time came when she exchanged the cold grey skies of her native land for the warm tropical breezes of Africa and she began to learn of the awful conditions of the heathen—their sin and ignorance, their superstition and degradation.
She knew the Gospel was the only power on earth to turn them from their degrading practices—and she made up her mind to do all in her power to help them.
There was one custom that grieved her—and that was against twins born in the home. Twins were not allowed to live, but were stuffed into containers and thrown into the bush to be eaten by wild beasts. The mother was also driven into the wilds and left to starve or to be eaten by wild animals because her body was supposed to be inhabited by evil spirits.
**Devotion To Christ**
Purity was unknown among them in those days and only the love of God in her heart could cause a girl, who had been brought up as had Mary Slessor, to live under such conditions.
But Mary did it for Jesus’ sake and for the sake of the souls He had died to redeem, and so great was her devotion to Christ and to the people that she soon won the hearts of all and became almost supreme among them.
Her fame spread from tribe to tribe and from chief to chief, and far back into the jungles, and they sent her invitation after invitation to come and bring them the Gospel.
The life dream of Mary Slessor seemed to be realized when she at last landed among the people of a very needy tribe.
There she began in the same tender way giving them the Gospel and sacrificing her every comfort for their welfare. She won the hearts of these people and gained such power over them that they soon learned not to resist her wishes.
Many times when war seemed inevitable between tribes, and their wild passions ran high, she would throw her life into the situation and the trouble would be averted.
She did not attempt to save herself, but even when chiefs were heavily drinking and very dangerous, she did not hesitate to appeal to them in the interest of the people, and she nearly always won.
The tribe where she worked was especially cruel and was constantly fighting among themselves and with other tribes. They had practiced every horrible custom imaginable. Every man carried a defense day and night.
There are no words that can describe the depths to which these people had fallen in their social and moral customs. From the standpoint of men, they were beyond hope. But Mary Slessor did not depend upon human resources.
“I am not ashamed of the gospel of Christ: for it is the power of God unto salvation to every one that believeth: to the Jew first, and also to the Greek.” Romans 1:16.
She knew the Gospel was the power of God—and the only power in the universe that could change the hearts of these people. It did change thousands of them from the cruel and benighted people that they were into new creations in Christ.
"Therefore if any man be in Christ, he is a new creature, old things are passed away; behold, all things are become new." 2 Cor. 5:17
In fact, Mary Slessor had not been long among this tribe until she began to see changes for the good among them. Many of them accepted the Gospel and became wonderful Christians, upright, moral, clean citizens of their community, and thousands of others, moved by their example, left off their evil practices.
Mary Slessor’s chief reliance was prayer. She said she did not believe there was anything that prayer could not do. She had resorted to it on a thousand occasions, and it had never failed.
Yielded, In Every Fiber Of Her Being
She was powerful in prayer because she was yielded to God in every fiber of her being. Prayer had many times restrained drunken chiefs from their cruel purposes and kept them from those evil practices that they had long followed. It had done away with the wicked practice of twin and wife destruction.
She knew, in a way that only a few have known, that prayer is the greatest power that God has put into the hands of His people for service!
She often said that prayer is harder than work, but that it lies in the way of every advance in God’s kingdom.
"I have no idea how or why God carried me over so many hard places and made these people subject to me, except it was in answer to the prayers of those in the homeland for me. It is all beyond my comprehension. The only way I can explain it is that I have been prayed for more than most."
That We May Learn The Meaning Of Sacrifice And Service
To Mary Slessor, Christ was real and even more real than any person. She said, "When I am out in the bush, I have no one to talk to but Him, and so I just talk to Him."
Yes, she talked to Him and He listened to her, because there was nothing in her life that she had not given up for Him.
She knew that He had given up all for her and why should she not give all to Him, such a wonderful and dear Saviour and Friend?
Thread Of Her Being
She had heard from childhood God's call to go, and she had obeyed with every thread of her being. There was nothing that she kept back from Him, and how small do the meager sacrifices of the average one of us seem when compared to those she made for Christ!
We are of the opinion that God gives us such characters as Mary Slessor that we may learn the meaning of sacrifice and service. There was no sacrifice that she was not willing to make for the Lord Jesus Christ who had saved her from the power of sin, and made her a member of His heavenly kingdom.
Instant In Service
There was no service too menial for her to perform. Her labor for those around her was incessant. She had rescued one of the twins sacrificed in the bush, brought it to her home, and cared for it as tenderly as she would have cared for her own child.
She had in her home a number of these rescued children and she served and trained them as carefully as she would have cared for her own. She did as much manual labor as any man, always seeing the necessity of leading the natives in work, for without, they were always in favor of putting the work off until 'tomorrow' and we know tomorrow never comes. —Sel.
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BE IT RESOLVED BY THE ZONING COMMISSION OF PALM BEACH COUNTY, FLORIDA, in regular session assembled this the 1st day of September A.D. 1966, that the following modification is hereby adopted as an Amendment to Zoning Resolution #3 pursuant to the authority vested in said Commission by Chapter 57-1691, Special Laws of Florida 1957, and Chapter 59-1686, Special Laws of Florida 1959:
Under SECTION 2 - DEFINITIONS delete the following definitions as written:
ADVERTISING SIGNS, ACCESSORY
ADVERTISING SIGNS, PRINCIPAL USE
ADVERTISING SIGNS, OUTDOOR
and insert the following in proper alphabetical order:
SIGNS AND OUTDOOR DISPLAYS
For the purpose of this resolution, all sign definitions and terms shall be as outlined in Chapter XXIII of the Palm Beach County Building Code.
Delete SECTION 4-B-9 as written and substitute the following:
9. Signs and Outdoor Displays meeting the regulations as set forth in Section 15.
Delete SECTION 8-B-5 as written and substitute the following:
5. Signs and Outdoor Displays meeting the regulations as set forth in Section 15.
Delete SECTION 14-6 - Sign Regulations as written and substitute the following:
6. Signs and Outdoor Displays (See Section 15 of this resolution)
Renumber present SECTIONS 15, 16, 17, 18, 19, 20 and 21 as SECTIONS 16, 17, 18, 19, 20, 21, and 22.
ADD NEW SECTION 15 - SIGNS AND OUTDOOR DISPLAYS
A. REGULATIONS APPLICABLE TO BILLBOARDS
1. Locations
No billboard shall be erected:
(a) Upon any property zoned as a Residential District except as approved under Section 15-B-3.
(b) Within TWO HUNDRED FEET (200') of a residence, church, or school except in a Commercial or Industrial Zone.
(c) Within TWENTY-FIVE FEET (25') of any ultimate right-of-way in a Residential, Commercial, or Industrial Zoning District or FIFTEEN FEET (15') in an A-1 Agricultural District.
(d) Within TWENTY-FIVE FEET (25') of the ultimate right-of-way lines, on any corner lot, except that such signs may be erected on roofs of buildings in accordance with Section 15-B-9 of this Resolution governing roof signs.
2. Maintenance
It shall be the duty of every person maintaining any billboard within the unincorporated areas to keep the property within TWENTY FEET (20') of such billboards free of trash and debris; to cut the weeds and brush around said billboards and to paint or cover by shrubbery or lattice work, the frame of any signs visible from any street.
B. REGULATIONS AS TO OTHER SIGNS
1. Flat or Wall Signs
No flat or wall sign shall be erected at a distance of more than TWELVE INCHES (12") beyond the face of any building, marquee being considered as a part of a building. The outside edge of wall signs on marquees shall be no closer than the ultimate right-of-way line.
2. Fixed Projecting Signs
The outer edge of any fixed projecting sign shall not extend closer than the ultimate right-of-way.
3. Real Estate Signs
Real estate signs shall be permitted only for the purpose of advertising the land or building for rent or for sale unless otherwise approved by the
SECTION 15-B-3 (Continued)
Zoning Commission, and shall relate only to the premises upon which the sign is located. Only one double faced real estate sign, visible from one street front shall be permitted on each parcel of land located within any residential district. Such sign shall not exceed the number of square feet of sign area if located within the distances of a residence in such residential districts as hereinafter specified, to wit:
| MAXIMUM SIGN AREA | WITHIN DISTANCE OF RESIDENCE |
|-------------------|-------------------------------|
| 6 sq. ft. | 50 ft. |
| 12 sq. ft. | 100 ft. |
Subdivision development signs in a County Approved Subdivision shall be permitted to exceed the above sizes where the location of such signs is more than TWO HUNDRED FEET (200') from any residence and approval shall be on a temporary one (1) year basis.
4. Point of Purchase Signs
Not more than three (3) point of purchase signs shall be permitted for each street front at each place of business or premises. These signs may be any combination of the following types: Marquee, Projecting, Pylon, Roof or Detached. A temporary real estate sign may be added to those enumerated in this subsection.
(a) Provisions:
(1) Detached Signs - The total maximum area of a detached sign or signs shall be SIXTY SQUARE FEET for a business with a street frontage of SIXTY FEET (60') or less in length. One additional square foot of sign area will be allowed for each additional foot of street frontage over SIXTY FEET (60') up to a maximum of SIX HUNDRED FEET (600').
On business property with SIXTY FEET (60') or less of street frontage, there shall be a minimum SIX FOOT (6') setback from the interior side lot lines except pole signs with a minimum clearance of NINE FEET (9') between the bottom of the sign and the established grade which may be allowed at, but not overhanging, the interior side lot lines. On business property with a street frontage between SIXTY FEET (60') and ONE HUNDRED FEET (100') there shall
be a minimum setback from the interior side property lines equal to 10% of the street frontage. On business property with a street frontage of over ONE HUNDRED FEET (100'), there shall be a minimum setback from the interior side property lines equal to 20% of the street frontage, with a maximum setback of FIFTY FEET (50') required.
(2) Projecting Sign - No size limitation except as set forth in Section 2303.4 - Projecting Signs - of the county building code.
(3) Marquee Sign - No size limitation except as set forth in Section 15-B-11 of this resolution and Section 2303.5 of the county building code.
(4) Pylon Sign - No size limitation except as set forth in Section 15-B-6 of this resolution.
(5) Roof Sign - No size limitation except as otherwise provided in Section 15-B-9 of this resolution.
5. **Pole or Ground Signs**
(a) No supporting member or any part of a pole or ground sign utilized as a Point of Purchase Sign shall be erected nearer the street than the ultimate right-of-way.
(b) No pole or ground sign shall be erected to a height exceeding THIRTY-FIVE FEET (35') above the ground or street level except as otherwise provided in Section 15-D-2. Lighting reflectors may project beyond the face of the sign.
(c) One pole or ground sign may be located within TWENTY-FIVE FEET (25') of a property corner at a street intersection where not otherwise prohibited by County Code. No part of any pole or ground sign so located shall project over the public right-of-way; such sign shall not exceed THREE FEET (3') in height unless there is at least a NINE FOOT (9') clearance from the ground. The total permissible diameter of sign poles within TWENTY-FIVE FEET (25') of an intersection property corner shall be TWELVE INCHES (12").
6. **Pylon Sign**
(a) All pylon signs shall meet the requirements of projecting signs as to maximum projection from the wall, minimum height above sidewalk and horizontal clearance from the public right-of-way.
SECTION 15-B-6 (Continued)
(b) Maximum height of pylon signs will be limited to TWENTY-FOUR FEET (24') above the roof level and THIRTY-FIVE FEET (35') above ground level except as otherwise provided in Section 15-D-2.
7. Entrance Gates
(a) All entrance gates shall be located a minimum of FIVE FEET (5') from any ultimate road right-of-way line.
(b) All Entrance Gates shall be a maximum height of THREE FEET (3') within a distance of FIVE FEET (5') to FIFTEEN FEET (15') from the ultimate right-of-way. A continuous fence of no more than THREE FEET (3') in height may be used in conjunction with said entrance gate provided no traffic hazard is created. The maximum height of the Entrance Gate shall be EIGHT FEET (8') from ground level at a distance of FIFTEEN FEET (15') or more from the ultimate right-of-way line.
(c) Lettering - The maximum allowable size of any lettering shall be TWENTY-FOUR INCHES (24") in height, and shall only identify the county approved subdivision or community.
8. Home Occupation Name Plates
All Home Occupation Name Plates shall be located in the vicinity of the main entrance at or behind the building setback line. The maximum size shall be ONE FOOT (1') square.
9. Roof Signs
Roof signs shall not extend over public property and shall be limited to a maximum height of TWENTY-FOUR FEET (24') above the roof level, or THIRTY-FIVE FEET (35') above ground level, except as provided in Section 15-D-2.
10. Conditional Use Signs
Conditional Use Signs for churches, including church bulletins, clubs, and schools, may not exceed EIGHTEEN SQUARE FEET in gross area. Other signs authorized under conditional use may not exceed TWENTY-FOUR SQUARE FEET in gross area, meet a minimum side setback of TWENTY-FIVE FEET (25') from the interior lot line and may be illuminated but not flash.
A day nursery may have a non-illuminated sign not exceeding SIX SQUARE FEET in gross area at the building setback line.
SECTION 15-B (Continued)
11. **Marquee Signs**
All marquee signs shall be hung so as to be at least EIGHT FEET (8') at its lowest level above the sidewalk or ground level or both. A marquee sign shall not extend over the ultimate right-of-way line.
C. **CERTAIN SIGNS OR ADVERTISING STRUCTURES PROHIBITED**
From and after the effective date of this Amendment, it shall be unlawful for any person to erect or use within the unincorporated areas of Palm Beach County:
1. Any swinging projecting sign.
2. Any anipe sign.
3. Any banner over any street or sidewalk or within any County playground or park without permission from the County Commission.
4. Any sign erected, relocated or maintained so as to prevent free ingress to or egress from any door, window, or fire escape.
5. Any sign attached to a standpipe or fire escape.
6. Any sign, portable or fixed, placed or erected on or over any part of the ultimate road right-of-way other than directional signs erected by authorized County or State Officials.
7. Temporary political signs erected within FIVE FEET (5') of any public right-of-way.
8. Any unauthorized sign on County property.
9. Any sign which, in its design, lighting, animation, or embellishment of any nature, simulates the appearance of any state or local traffic sign or lighting.
10. Any illuminated sign of such intensity that the observer becomes temporarily blinded.
11. Any sign with copy, or lighting of such nature as to interfere with, mislead, or confuse traffic.
12. Any sign which exhibits thereon any lewd, lascivious, indecent or immoral material.
SECTION 15-C (Continued)
13. Any sign attached to trees, utility poles or any other unapproved supporting structure.
D. GENERAL
1. **Height Above Sidewalks, Etc.**
No portion of any sign projecting over a private sidewalk in said unincorporated areas shall be less than NINE FEET (9') above the grade of said sidewalk. Any sign projecting over private property and located where motor trucks may be required to pass beneath them, shall be erected and maintained at a height not less than FOURTEEN FEET (14'). No portion of any sign shall project over public property.
2. **Height Above 35 Feet**
For any signs over 35 feet in height, measured from established grade of property to top of sign structure, there shall be a minimum setback from overall all property lines of 110% of the height.
Attest:
Viola McCarthy
Clerk
---
W.R. Moore
Chairman
Willie F. Koch
As and constituting the Zoning Commission of Palm Beach County, Florida
|
COLUMBIA COLLEGE
RABI SCHOLARS PROGRAM
6TH ANNUAL
SCIENCE RESEARCH SYMPOSIUM
23, SEPTEMBER 2011
PRESENTATION ABSTRACTS
CONTENTS
Ilya Belopolski .......................... Open questions in multi-messenger gravitational wave astronomy
Rohan Bhandari ......................... Observation of the Interlayer State in Graphene on Ir(111)
Nathan Booth ........................... Electron transport in bilayer graphene
Alice Chang ............................ Single-Molecule Conductance through Direct Au-C Contacts
Vadim Chanyshev ....................... The St. Petersburg Paradox
Rena Chen .............................. Optimized synthesis by chemical vapor deposition of atomic layer hexagonal boron nitride
Woo Chang Chung ...................... Characterization of the Charge Density Wave Phase in NbSe2
Kevin Guo ............................... Virus Classification with Hierarchical motif clustering
Jonathan Huggins ..................... The Structured Explicit Duration Infinite Hidden Markov Model
Raina Jain .............................. The Effect of Bioglass Particle Size on Cell Response
Joon Ho Kang ........................... Proteolytic machine studied at single-molecule level with Total Internal Reflection Microscope/electromagnetic tweezer
Pin-Joe Ko .............................. Quantification of tip proteins in *S. pombe* using confocal fluorescence microscopy
Nilay Kumar ............................ Baryons and baryonic matter in the 't Hooft model under the heavy quark limit
Alexis Kurmis .......................... Development of Enantioselective Reductive Coupling Reactions
Andre Lazar ............................ Modeling Integrin Clustering as Diffusion to a Sink
Dan Margulies ......................... A Tight Binding Model for Molecular Conductance and Transmission
James Nugent ........................... Compactification on Calabi Yau Manifolds
Julia Oktawiec ......................... Synthesis of a Organoboron Compound and Possible Novel Ligand
Darpan Patel ........................... Iron-Dependent, Non-Apoptotic Cancer Cell Death Requires NADPH Oxidase (NOX) Enzyme Activity
Milesh Patel ............................ Barriers to Optimal Nutrition for Very Low Birthweight Infants: A Quality Improvement Study on Parenteral Amino Acid Administration
Jenny Shao ............................. Investigating the Role of Actin Polymerization State in Synaptic Plasticity
Katharina Shaw ......................... Synthesis of Resveratrol-Derived Analogues: Phosphorylated Isopaucifloral F, Phosphorylated Paucifloral F, and Yuccaone A
Hyoun Ju Sohn ......................... Crystal formation of Dibenzotetrathienocoronenes (DBTTC) on graphite in ambient scanning tunneling microscopy (STM) using platinum-iridium tips
Tyler St. Denis ......................... Enhancement of Antimicrobial Photodynamic Therapy by Potassium Thiocyanate/Selenocyanate Salts
Scott Zhang ............................ Diffuse high-energy neutrino spectra from high and low-luminosity gamma-ray bursts
Open questions in multi-messenger gravitational wave astronomy
Gravitational wave astronomy promises to forever alter our view of the universe by enabling us to observe astrophysical phenomena that are not directly associated with the emission of light. However, although the existence of gravitational waves was first predicted nearly one hundred years ago, they have not yet been directly detected. The Laser Interferometer Gravitational Wave Observatory (LIGO) is a network of phenomenally high-precision optical interferometers that detects minute distortions of space-time due to incident gravitational radiation of cosmic origin. By 2014, the second generation of LIGO interferometers, Advanced LIGO, will be operational and will incorporate upgrades that allow it to detect displacements of its long-arm optics as small as $10^{-21}$ meters, several orders of magnitude smaller than the diameter of a proton. The effective sensitivity of Advanced LIGO will be further improved by comparing gravitational wave data with astronomical observations from conventional light telescopes through so-called multi-messenger searches. Since many transient gravitational wave emissions coincide closely with E&M bursts, direct observation of the associated E&M signal can provide precise knowledge of the event time, the source location, and the source distance. This information allows gravitational wave searches to be more robust to detector glitches, reduces the computational power required for analysis, and yields more interesting physics by allowing estimates of the gravitational wave energy emitted at the source. As higher sensitivities are achieved through Advanced LIGO and as conventional light telescopes become ever-more precise, this multi-messenger approach offers us powerful observational tools to investigate fundamental problems in cosmology and astrophysics.
Here we survey the open questions in multi-messenger gravitational wave astronomy and evaluate the state of current research for several of the most provocative fields of investigation, as follows: (1) Are there regimes in which Einstein’s theory of general relativity is violated? We consider, in particular, strong-field regimes such as those which characterize the imploding core of supernovae, the structure of rapidly-rotating neutron stars, and the final stages of the merger of two compact bodies. We also consider cosmological length scales, where a failure of general relativity might allow for the existence of the dark energy which appears to dominate the universe and drive its expansion. (2) Is the speed of propagation of gravitational waves less than, equal to, or greater than the speed of light? If gravitational waves propagate more slowly than light, could they be associated with a massive graviton and could these gravitons account for dark matter in the universe? Lastly, (3) do quark stars exist? How easily will Advanced LIGO be able to set upper limits on the quadrupole deformations of the pulsars which currently serve as possible quark star candidates? When will non-detection confront theoretical models of exotic matter? By evaluating current research on these fundamental problems, we hope to define directions for future work in the field.
Rohan Bhandari: Physics, CC’13
Observation of the Interlayer State in Graphene on Ir(111)
By analyzing and understanding the image states of graphene, one can gain insight into its electronic properties. An image state refers to an electron that has been excited outside of the surface of the metal, and its resulting electric field. Graphene is of particular interest, because it exhibits very curious electronic properties: its electrons are able to travel relatively far distances before colliding with other electrons. Also, these electrons behave as Dirac particles, essentially acting as particles in an accelerator, while
actually traveling relatively slowly and residing in a metal. From a better understanding of these properties, it is hoped that Graphene can be applied towards nanoelectronics and superconductors, among other fields.
The image states were probed through 2 Photon Photoemission of graphene that was grown on Iridium (111) by chemical deposition. This procedure uses a high frequency (on the order of a femtosecond) laser to bombard the graphene surface with photons, which can doubly excite the electrons. The resulting electron energies are measured and the original electron energy can then be inferred.
The collected data was then analyzed and fit with a Voigt curve, which is a convolution between a Gaussian and Lorentzian curve. By fitting the Fermi cutoff with a Fermi function, it was found that the experimental resolution was 40 meV. This resolution corresponds to the width of the Gaussian curve in the convolution, which is fixed. The analysis showed the existence of an interlayer state between the graphene and Iridium, which had been previously obscured due to resonance from the other image states.
Nathan Booth: Physics, CC’14
Electron transport in bilayer graphene
Graphene, which has attracted great interest in the scientific community and in the media in the past several years, is a two-dimensional substance consisting of a single atomic layer of carbon. Recent research has suggested that few-layer graphene also has properties worthy of exploration. The research discussed here explores electron transport in such substances—specifically, bilayer graphene. The samples used in these experiments were developed by exfoliating high-quality graphite pieces and pressing them down onto silicon chips. From there, areas of bilayer graphene were located on the chip and patterns for Hall bars were etched using electron beam lithography, and contacts were formed to match the pattern by evaporating gold onto the sample. Finally, the graphene was suspended in an electrolyte. We then did Hall measurements across the sample to measure its conductivity as temperature changed. We experimented with mixing lithium and other metals into the electrolyte and then cooling the system down to low temperatures to gauge how the Kondo effect changes the conductivity of the substance as the metal intercalates between the layers. This course of research may eventually lead to observation of superconductivity in graphene. So far the results have been promising and high conductivities have been seen, especially with samples that have lithium intercalated, but the research is ongoing and conclusive results remain to be seen.
Alice Chang: Chemistry, CC’13
Single-Molecule Conductance through Direct Au-C Contacts
The phenomenon of single-molecule conductance has potential applications to building molecular-scale electronics. In a few generations, the composition of electronic devices is expected to be controlled on the atomic scale; the ultimate miniaturization would use components that are single molecules. Molecular conductance junctions are nanoscale structures in which single molecules conduct electrical current between two electrodes. In such junctions, the contacts between the molecule and the electrodes determine current-voltage characteristics. One class of molecular conductors consists of compounds synthesized by attaching two linker groups to a conjugated molecular core. Strained rings in the linker
group can directly bind to the two gold electrodes used to measure conductance, allowing efficient charge transport across the molecular junction. Conductance through the linkers and core can be optimized by directing charge transport through a delocalized $\pi$-electron system, since conductance through $\sigma$-bonds alone is typically weak. The goal of this project is to explore $\pi$-conductance phenomena through simple strained single-molecule conductors that form direct Au-C contacts. Toward this goal, encouraged by DFT-predicted structures, we synthesized 1,4-dicyclobutenebenzene and 1,4-dicyclopentenebenzene in high purity (>99%) and submitted samples for STM-based break-junction conductance measurements. For both compounds, conductance measurements were on the order of $10^5 \times G_0$, where $G_0$ is the quantum of conductance through two gold electrodes in direct contact. Although the conductance is low compared to the conductances reported in the literature for molecules with known heteroatom linker groups (the conductance measured for 1,4-diaminobenzene, for example, is on the order of $10^2 \times G_0$), it is higher than expected considering that the electrodes form direct Au-C contacts with the strained-ring linkers. Such linkers have advantages over known linkers, such as improved stability and low toxicity, that would be crucial to applying single-molecule conductors to nanoscale electronics.
In order to further investigate properties of direct Au-C contacts, we plan to synthesize other strained molecules with novel linkers. Another extension of this project will be to measure the conductance of a family of straight-chain alkanes with the same strained linkers. The conductance $G$ decays as $G \approx e^{\beta N}$, where $\beta$ is the decay constant and $N$ the number of methylene groups on the backbone; by measuring the conductances of linker-terminated alkanes with $N = 4, 6, 8,$ or 10 methylene groups, we can compare the effectiveness of our novel strained-ring linkers to that of linkers discussed in the literature.
Vadim Chanyshev: Mathematics, CC’13
The St. Petersburg Paradox
The St. Petersburg Paradox is a relatively well-known problem in game theory, which is famous for having no numerical solution. The problem describes a lottery game that is played by flipping a coin as many times as needed until it results in tails. Every time the coin is flipped, however, the payoff is doubled. The paradox of the problem is that the expected payoff is impossible to calculate. However, that does not mean that the game is not playable in practice. Working on this problem in the past I have found a way to estimate the expected payoff at certain confidence level, which is useful for finding the average loss the lottery can expect to have with each game it allows its customers to play.
This summer I have found a formula to calculate exactly what the chance is that the payoffs (the money it pays to its players after each round, for an unlimited number of rounds), which are a random variable, cross a diagonal boundary that represents the lottery’s growing revenue. The complexity of this problem is that there is no way to calculate this exactly without making millions of calculations, which by hand would take an indefinite amount of time. The formula that I created in Excel, however, generates all the possible combinations of outcomes for any number of rounds and then calculates the probabilities of these outcomes occurring. With those values it is possible to calculate the probability that a boundary with any slope and intercept is crossed at any point. The formula itself is infinite in length and takes up an indefinite number of cells because no finite number of operations in an Excel spreadsheet can calculate an infinite number of probabilities that correspond to an infinite number of combinations. However, this is not an issue, because the formula not only generates new combinations for each round but also expands itself to
fit the required number of calculations for the task that it is given, which means that it is only limited by the speed of the processor in a computing machine.
Boundary crossing problems are well known, however, they have never been applied to the St. Petersburg Paradox in particular. The formula is extremely useful because it can easily be altered to make calculations for relevant sequences since there is nothing exceptional about the St. Petersburg Paradox other than an infinite expectation of outcomes. Finally the formula gives the exact risk a lottery experiences when letting the public play the game, which has never been calculated before. For example if a lottery has $10,000, collects $10 per game, it could use the formula to find out the probability that it will be bankrupt after 5000 games played. It can also find out other relevant information such as the probabilities that other boundaries (determined by the initial amount the lottery has and the price it collects) are crossed to know how its risk of going bankrupt will be affected by changing the price of the game or the initial amount of money it has in its savings. The formula I have developed, therefore, produces a business model for any lottery willing to install this or a game that has a similar structure.
Rena Chen: Astrophysics, CC’14
Optimized synthesis by chemical vapor deposition of atomic layer hexagonal boron nitride
Hexagonal boron nitride ($h$-BN) is a two dimensional material complementary to graphene that can be used to engineer devices with unusual electrical and optical properties such as high mobility electron transistors and far ultraviolet light emitting diodes. Recently, atomic layers of graphene with $h$-BN have been grown using chemical vapor deposition (CVD). CVD also produces high quality $h$-BN films that are thin, uniform, and continuous. Although $h$-BN films of two atomic layers have been demonstrated using CVD, we endeavor to produce monolayer $h$-BN. We used CVD to synthesize $h$-BN on copper and nickel substrate with ammonia borane as the precursor. The $h$-BN was characterized by Raman spectroscopy, atomic force microscopy, and transmission electron microscopy. Scalable synthesis of monolayer $h$-BN films using CVD, which can produce $h$-BN in large quantities at low costs, has the potential to galvanize further research in graphene electronics and the production of optoelectronic devices in industry.
Woo Chang Chung: Mathematics, Physics, CC’13
Characterization of the Charge Density Wave Phase in NbSe2
Metals often undergo a phase transition to a new electronic state when they are cooled down to a low temperature; superconductivity is a well-known example of such transition. Another interesting example of an electronic phase transition occurring in low dimensional metals is the charge density wave (CDW). A CDW is a coupled periodic modulation of conduction electron density and atom positions in the lattice. For some low dimensional metals, the CDW state is more energetically favorable at low temperature than the metallic state. However, the true reason for the existence of the CDW state is not known for many materials. Most experimental measurements of the CDW we have thus far are from momentum space, which is the Fourier transform of real space. The goal of this experiment is to better understand how the CDW forms in the real space from the metallic state as the temperature of the material is lowered. The material of choice is two-dimensional metal NbSe2, which is the most well studied CDW material so far, but one in which the reason for the CDW transition is still debated. Our scanning tunneling microscopy
(STM) data confirmed that CDW persists around crystal defects beyond the transition temperature (33.7 K). A part of the characterization of the CDW was to determine the relationship between the phase of the CDW near defects and the bias voltage applied to the sample crystal (= energy levels of the crystal). A set of tunneling spectroscopy maps with bias voltage ranging from -1.4V to 1.4V in intervals (or frames) of 0.05V was obtained. For each frame, CDW components were selected using 2D-FFT filtering. Then an autocorrelation analysis was performed between each frame and the CDW at bias = 1.4V, which was chosen as the reference. The autocorrelation analysis showed the variation of the CDW phase with applied bias giving us information on the effect of the CDW on the various energy bands of NbSe$_2$.
Kevin Guo: Mathematics, CC’15
**Virus Classification with Hierarchical motif clustering**
Molecular biologists will classify viruses based on its shape, form, and other phenotypical features. Relying solely on phenotype will capture large differences between viruses, but often will fail to capture any genetic nuances between the same family and strain. Using machine learning techniques, we seek to learn protein subsequences from a virus’s genome that are strong classifiers of its host: plant, invertebrate, or vertebrate.
Our data consist of 146 virus sequences along with their designated hosts. This method uses a boosting algorithm modeled on an alternating decision tree (ADT). For each round of boosting, the algorithm searches for the weak rule that minimizes an exponential loss function on the dataset, which is strongly correlated with the accuracy of the classifier. After finding the weak rule, the algorithm attaches it to the ADT and continues to the next round of boosting. Each decision node of the ADT has two output nodes, with an associated $+$ and $-$$. When a virus’s protein sequence is run through the ADT, if it passes the threshold of a decision node, $+$ is added to its score; otherwise, $-$ is subtracted, with each virus’s final score determining its classification based on our boosting model. More specifically, we first search for the top N protein subsequences (kmers) of length k whose exact matches classify the train set with the least exponential loss. We then convert each subsequence into a Position Specific Scoring Matrix (PSSM) smoothed by a machine epsilon. The PSSMs are clustered using Hierarchical Motif Clustering based on their "similarity", which is determined by a weighted, symmetric form of the Kullback-Leibler Divergence. The final step searches over N-1 PSSMs to find the PSSM, decision/output node, and threshold combination with the least exponential loss, compares it to the kmer with the least exponential loss, and choosing the lesser of the two to add to the ADT as the new weak rule.
Our method when tested with k=8 N=10 achieves a test accuracy of 92% when averaged across 5 rounds of cross validation. Unsurprisingly, the top 10 kmers were more than enough to seed the initial PSSMs. Greater values of N mostly decreased the test accuracy, although some upward spikes resulted. However, this was expected, since a greater number of seed kmers would lead to more variability. Previous techniques of classification involving machine learning did not use the probability distribution methods of the PSSM. Instead, it was necessary to specify a mismatch neighborhood m for each kmer with thresholds being a kmer match within m amino acids. The mismatch neighborhood attempts to capture the high rate of mutation in viruses, so that a mutation of one amino acid will not be discounted in the decision node. The mismatch method for (k,m)=(8,0) yields very poor test accuracy (84%); however, when m=1,2 test accuracy improves dramatically to 95%. A confidence interval concerning the test accuracy reveals there is
no statistical difference in test accuracy between our Hierarchical Motif Clustering method and the previous mismatch neighborhood technique. It is necessary to generate a mismatch neighborhood array for each value of $m$; when considering the number of candidate kmers, for large data sets, this step could take weeks. Hierarchical Motif Clustering only requires that we preprocess one array for $m=0$, while effectively capturing the mismatch neighborhood within its probability distribution. In addition, PSSMs often outperform individual kmers in terms of boosting loss even when the initial seed kmers are generated by $m=1$ or $m=2$. This indicates PSSMs are stronger at differentiating subtle differences in genetic data during later rounds of boosting than single kmers.
In further work, we will use different values of $(k,m)$ to seed our Hierarchical Motif Clustering. The mismatch neighborhood method for larger values of $k$ naturally requires larger values of $m$ for decent accuracy. Although using $m=0$ to seed our model may no longer be accurate, we hope that Hierarchical Motif Clustering will significantly reduce the size of the mismatch neighborhood to be generated to get high test classification accuracy.
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Jonathan Huggins: Computer Science, CC'12
The Structured Explicit Duration Infinite Hidden Markov Model
My research was in the area of statistical machine learning. I developed a novel statistical model, which I call the structured explicit duration infinite hidden Markov model (SED-iHMM). The SED-iHMM can be used to model data generated from a process evolving over time. For example, it could be used to model human speech or changes in the stock market. Usually, statical models have a fixed number of parameters that are adjusted to fit the data. My model is "non-parametric" (and is thus referred to as "infinite") because the number of parameters is automatically determined based on the data. Thus, if the data is simple, the SED-iHMM will have only a few parameters, whereas if the data is complex, the SED-iHMM will have many more parameters. In particular, for the SED-iHMM, there are an infinite number of "states" that the model transitions between. Because the model is trained on a finite amount of data, however, in practice the model only makes use of a finite number of states. The model only knows about its current state when it decides whether to transition to a new state, and, if so, which state to transition into. Each state has its own probability distribution of output values--these distributions are used to account for the observed data.
Many existing models can be described as special cases of the SED-iHMM. I focused my experimentation on a particular case of the SED-iHMM, which I call the explicit duration infinite hidden Markov model (ED-iHMM) and which had not previously been described. The ED-iHMM was able to successfully fit a range of datasets and produced equivalent, and in some cases superior, results to those of a related non-parametric model, the HDP-HMM. On a theoretical level, it places many other versions of the hidden Markov model in a more general conceptual framework. I expect that the SED-iHMM will be a useful tool because it is a flexible framework that allows for countless specializations capable of meeting practitioners' modeling needs.
The Effect of Bioglass Particle Size on Cell Response
With increasing life expectancy, a greater percentage of the population suffers from diseases that cause bone destruction. To replace defective bone, titanium implants are most commonly used, but they cause scarring and have a limited lifetime of about 15 years. In contrast, Bioglass (45SiO$_2$-24.5CaO-24.5Na$_2$O-6P$_2$O$_5$) appears more promising with superior biocompatibility. Currently, the majority of Bioglass implants are used in dental applications in the form of powder. Past research has shown an influence of particle size in the growth of bone in vivo, but no study has been conducted to understand and explain these findings with in vitro experiments. The goal of this study was to examine the effect of Bioglass particle size on cell behavior, both morphologically and quantitatively.
To examine the effect of Bioglass particle size on cell behavior, at first trials were conducted to establish an appropriate experimental procedure. Various types of adhesive substances (silicone, agarose, nail polish, cyanoacrylate, and epoxy) were tested for cell toxicity. Results from the trial experiments showed that silicone was the best material to use as an adhesive between the Bioglass particles and coverslip substrate, since it was neither toxic to cells nor bioactive.
The Bioglass powder was commercially produced with particle size ranging from 90 to 710 µm. The mixture of particles was further sieved into four size categories for a more precise assessment. Using silicone, Bioglass particles of various sizes were scattered on cover slips for biological experimentation with MC3T3 precursor osteoblasts. After the samples were sterilized, these cells were seeded and grown on particles of various sizes for multiple time-points. At appropriate times, the samples were removed and fixed with formaldehyde. Then, all samples underwent immunofluorescence staining for their nuclei, actin cytoskeleton, and vinculin (focal adhesion protein).
By means of fluorescence microscopy, the samples were imaged and the morphology of the cells was recorded to compare cell proliferation qualitatively as well as quantitatively with respective to Bioglass particle size. The nuclei of cells on Bioglass particles were imaged at a low magnification and counted manually. Morphologically, the cell shape appeared healthy in the majority of samples at all time-points. Cells on the smallest particle size, however, appeared rounded in shape, indicating a lack of compatibility with the surrounding environment. This observation was further confirmed by the quantitative analysis of cell growth. On the smallest particle size, over 3 days, cell numbers quickly dropped down to zero. Other trends in cell growth were also evident, with two of the larger size particle size showing a clear enhancement of cell proliferation. It appears that the concentration of dissolution products in culture medium, which depends on the surface area (hence also the size) of particles, reached a threshold toxic value for the finest powder, leading to complete cell death after one day. The larger size powder, however, appeared to promote cell growth. Further experiments are needed to establish the optimum particle size as a function of the ratio of particle surface area to culture medium volume.
Joon Ho Kang: Biophysics, CC’12
Proteolytic machine studied at single-molecule level with Total Internal Reflection Microscope/electromagnetic tweezer
All cells employ ATP-fueled protease to regulate protein activity. In the Clp XP protease, Clp X recognizes particular protein sequences, unfolds and then translocates these molecules into the central pore of Clip P for degradation. In this study, we use evanescent nanometry/Electromagnetic tweezers to observe translocation activity of Clp X and degradation of Clp P. The distant-dependent intensity decay of evanescent wave was calibrated using Atomic Force Microscope. Vertical motions of a fluorescent bead were then converted into displacement by measured evanescent wave transfer function. This experiment reveals the fast, combinational unfolding and translocation activity of Clp XP under low force regime (<80pN) with the translocation size of 11-15nm. This study anticipates other AAA+ (ΔATP associated with a various cellular activities) protease to share similar features with Clp XP.
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Pin-Joe Ko: Biology, CC’14
Quantification of tip proteins in *S. pombe* using confocal fluorescence microscopy
In many unicellular and multicellular organisms, cell polarity is crucial to differentiation, proliferation and the morphology. In the fission yeast *Schizosaccharomyces pombe*, cell polarity is maintained by protein clusters at the tips of microtubule bundles that carry these proteins to the long ends of the rod-shaped cell. However, while these tip proteins have been identified and are well-studied, not much is known concerning how the proteins gather on the microtubule tips. Furthermore, these proteins have never been individually quantified. In this project, we used high-resolution, confocal fluorescence microscopy to visualize and quantify natively tagged proteins at the microtubule tips. Different *S. pombe* strains were created that would fluoresce each specific protein. In order to obtain a count of proteins on each tip, we imaged the cells and compared relative fluorescence at protein clusters with a previously quantified control protein. Preliminary results indicate that dozens to hundreds of proteins can exist on a single microtubule tip. Furthermore, we found a large spread in the numbers of proteins among individual tips. In addition, we found that microtubule length does not correlate with protein quantity. These results imply a high tolerance for variation in protein numbers, which raises the question of whether the stoichiometric relationships between different proteins play a bigger role than the absolute quantities of the proteins.
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Nilay Kumar: Physics, CC’15
Baryons and baryonic matter in the 't Hooft model under the heavy quark limit
Studying the nuclei of atoms from a purely theoretical standpoint using the quantum field theory of the strong interaction, quantum chromodynamics (QCD), is generally intractable due to the long range strength of the strong force. Additionally, the well-known Monte Carlo numerical methods of lattice QCD suffer from numerical instabilities and thus cannot be used to study finite density nuclear matter. Consequently, it is useful to study limiting cases of QCD in which calculations becomes tractable in order to gain some intuition into nuclear matter. The 't Hooft model, studied in this work, considers QCD in 2 spacetime dimensions in an artificial world where the number of quark colors, Nc is large. Unfortunately, even this problem is intractable except using a recently developed numerical technique discussed below.
Thus we consider the regime in which the mass of the quarks, $M_Q$, is large, as it allows us greater theoretical control.
First, we consider a baryon - in this artificial world, baryons consist of $N_c$ quarks in a color-singlet interacting with each other through color-Coulomb interactions. In this regime of QCD, baryons can be described using a mean-field approximation. We used a variational approach to determine the baryon mass in terms of $M_Q$, $N_c$ and the strong coupling constant. The mean-field approach used for the single baryon is assumed to hold for the multiple baryon sector of our model as well. It is shown that, at low densities, all leading-order interactions are repulsive, and an expression is determined for the energy per baryon.
We previously conducted a study of baryons and baryonic matter in the full 4 spacetime dimensions – one may ask the relevance of our 2 dimensional calculation. In fact, due to recent orbifold-inspired computational techniques, the 2 dimensional problem can be solved numerically. We hope that checking the results obtained here against numerical calculations will validate our (and previously, Witten's) assumption that the mean-field approximation does indeed hold in the many-baryon sector of both the 2 and 4 dimensional problems.
Alexis Kurmis: Chemistry, CC’13
**Development of Enantioselective Reductive Coupling Reactions**
Two key goals of modern organic synthesis are the synthesis of new C-C bonds from readily available starting materials and the formation of these bonds in an enantioselective manner. Advancements in these areas enable advancements in everything from materials chemistry to the development of new pharmaceutical agents. The vast majority of reactions currently used rely upon organometallic reagents, which require extra steps to synthesize and which can limit compatibility with many functional groups.
The goal of this summer was to optimize a reductive coupling reaction, which would eliminate the need for organometallics. All reaction parameters were investigated, including catalyst, temperature, solvent, substrates, reducing agent, and ligand. Both reactivity and enantioselectivity need to be high for a reaction to be considered successful. By the end of the summer, there were no conditions that met both these requirements, but some promising results were obtained.
With more development, this method could become an alternative to traditional reactions, where the use of organometallic reagents limits substrate scope. With a larger substrate scope, this reaction will be extremely useful in the synthesis of larger molecules.
Andre Lazar: Biology, CC’12
**Modeling Integrin Clustering as Diffusion to a Sink**
Cell motility is a vital cell function that depends on a cross-linked cytoskeletal actin network that involves numerous protein systems that coordinate signal and force transduction throughout the cell. Integrins are intermembrane proteins that link the extracellular matrix to the cytoskeleton through the formation of focal adhesions, diverse protein complexes that dynamically assemble and disassemble. Modeling focal adhesion growth and decay is therefore important in understanding cell motility at the molecular level. We examine the growth cycles of integrin clustering in focal adhesions and model their movement as
diffusion to a sink on the cell membrane. We show that early integrin clustering can be modeled as diffusion to a sink and that later stage clustering is accelerated due to myosin activity.
Dan Margulies: Chemical Physics, CC’13
A Tight Binding Model for Molecular Conductance and Transmission
Trends in computer technology show exponential growth in the number of components per integrated circuit. For this trend to continue, components must reach the molecular scale. Conventional electronics deals with current across macroscopic components. Molecular electronics studies the same principles in single molecules. Quantum mechanical models for electron dynamics guide and explain conductance experiments. Green’s functions provide the theoretical framework for studying electron transport at these scales. Tight binding simplifies the calculations involved by considering only discrete sites, reframing electron transport as a matrix equation. Thus, any molecular junction can be described by a finite matrix.
I developed a computer program using NumPy (numerical python) to calculate the transmission of incident electrons through molecular junctions at a range of energies. Molecules were considered as Hamiltonian matrices, built using only nearest neighbor coupling and on-site energies. The molecules modeled included benzene, ethene, 1,3,5-hexatriene, and the conjugated infinitely long chain limit.
Transmission maxima are found to correlate with the energies of molecular orbitals, calculated using the same tight-binding model. Intuitively, this suggests that the molecular orbitals serve as conducting channels for incident electrons. This tight-binding model suggests that such a simple model is sufficient to derive useful qualitative predictions. Future research should expand the model to better explain the differences between transmission minima, of which there are several types.
James Nugent: Computer Science-Mathematics, CC’13
Compactification on Calabi Yau Manifolds
Superstring theory predicts six additional spatial dimensions in addition to the three dimensions of space and one of time we are familiar with. Assuming string theory is correct, the extra dimensions provide a means of unifying the four known fundamental interactions of physics, the Strong Nuclear, Weak Nuclear, Electromagnetism, and Gravitation. However, since we do not interact with these dimensions in our macroscopic life, a theoretical approach is necessary to explain why we do not see them. The most standard approach is to compactify them, or make them very small. While there are many shapes that these compactified dimensions could take, the primary candidate is a class of manifolds called a Calabi Yau manifold.
With the help of Dr. David Kagan of Columbia University, we are developing computational techniques to analyze fourteen such Calabi Yau Manifolds that are reasonable candidates for compactified space. These fourteen manifolds are chosen because they allow for a direct, hands-on set of examples for studying the physics of giving fundamental particles a large mass. Using Mathematica, algorithms for modelling the geometry of these Calabi Yaus were developed using Meijer G functions and Hypergeometric functions. They were then revised to maximize both accuracy and processing time. Graphs and data tables of the Meijer G functions were generated and refined to ensure accuracy. The Meijer G data was then used to generate data about the potentials whose minima indicate the possible compactifications of six-dimensional
space. These general algorithms could then be used to explore some of the physics involved in introducing large masses for the parameter field controlling certain geometrical aspects of the Calabi-Yau.
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Julia Oktawiec: Chemistry, CC’13
**Synthesis of a Organoboron Compound and Possible Novel Ligand**
Since their discovery by Trofimenko, tris(pyrazolyl)hydroborato (“Tp”) ligands and their derivatives have proven to be extremely versatile, capable of being adapted in various ways and used in various inorganic systems. Tp and related scorpionate ligands generally consist of a psuedo-tetrahedral boron atom, bonded to a hydrogen atom and three heterocycles that subsequently bind in a Lewis-base fashion (L₂X) to a metal atom. A variety of heterocycles have been used, some incorporating bulky substituents coupled to the heterocycles, and the boron atom may also be substituted. The versatility and tunability of scorpionate ligands have made them ubiquitous in inorganic chemistry, and have proven to be very useful, for example, as catalysts for organic transformations and polymerizations and as models for metalloenzymes, among other uses. In this project, a neutral borane ligand, B(Mim\textsuperscript{Me})\textsubscript{3}, analogous to the anionic tris(2-mercapto-1-R-imidazolyl)hydroborato ligand, HB(Mim\textsuperscript{R})\textsubscript{3} or (Tm\textsuperscript{R}), has been targeted. The synthesis of the precursor compound, Me\textsubscript{3}PB(Mim\textsuperscript{Me})\textsubscript{3} has been accomplished by treatment of trimethylphosphine-borane with three equivalents of 2-mercapto-1-methylimidazole (Hmim\textsuperscript{Me}). The product was characterized by homo and heteronuclear NMR spectroscopies, which provided evidence for the formation of Me\textsubscript{3}PB(Mim\textsuperscript{Me})\textsubscript{3}. Several reactions have been performed to use Me\textsubscript{3}PB(Mim\textsuperscript{Me})\textsubscript{3} as a precursor for a B(Mim\textsuperscript{Me})\textsubscript{3} ligand, which we expect to bind as a tetradentate ligand (L\textsubscript{2}Z) to form complexes known as boratranes. Unfortunately, to date, no structurally characterized metal complexes with a B(Mim\textsuperscript{Me})\textsubscript{3} ligand have been obtained, but evidence for their formation has been observed.
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Darpan Patel: Biology, CC’14
**Iron-Dependent, Non-Apoptotic Cancer Cell Death Requires NADPH Oxidase (NOX) Enzyme Activity**
Treatment of cancer cells \textit{in vitro} with the small molecule erastin induces non-apoptotic, iron-dependent cell death. Notably, this process involves increased production of reactive oxygen species (ROS). The NADPH oxidase (NOX) family of enzymes, a key source of intracellular ROS, was analyzed to gain insights into the mechanism of action of erastin. A two-pronged approach was used to determine the necessity of NOX activity for erastin-induced death: (1) NOX inhibitor profiling of erastin versus other anti-cancer drugs, and (2) silencing of NOX-related genes using RNA interference (RNAi). Cancer cells were rescued from erastin-induced death by small molecules 2-acetylphenothiazine (2-APT) and GKT137831, both of which are selective inhibitors of the NOX1 isoform. Silencing of NOX1 gene expression protected cells from erastin-induced death, while silencing of the other NOX isoforms (2-5) did not yield appreciable rescue. This is consistent with the small molecule data, and together they suggest NOX1 might be responsible for increased ROS generation seen in erastin-induced death. A better understanding of NOX-dependent, non-apoptotic form of cell death could aid deployment of new small molecule drugs, such as erastin, to circumvent issues with acquired cancer cell resistance to apoptosis.
Milesh Patel: Biochemistry, CC’12
Barriers to Optimal Nutrition for Very Low Birthweight Infants: A Quality Improvement Study on Parenteral Amino Acid Administration
Advances in perinatal and neonatal care have increased the survival of preterm infants. However, improving the long-term outcomes of these surviving infants remains a challenge. Compared to normal fetuses of the same gestational age, the postnatal growth of premature infants is restricted. The discrepancy between extrauterine and intrauterine growth at the same gestational age has been attributed to protein and energy deficits. This is particularly important because poor neurological outcomes and pulmonary morbidity have been associated with delayed postnatal growth.
In response to these new findings, the Neonatal Intensive Care Unit at Children’s Hospital Boston has updated its guidelines for administering parenteral nutrition (PN). A retrospective chart review revealed that these guidelines were not being met, with less than a third adherent on day 2. In most cases no barrier could be identified. This study is a prospective patient-oriented quality improvement project that incorporates the practitioner’s perspective. For each patient admitted to the NICU, we monitored IV fluid and PN orders for adherence each day for 3 days. If an order was not adherent, we asked the prescriber to choose from a list of potential reasons, or to provide another reason. We also monitored each patient’s BUN level for toxicity.
The major barrier on day 1 was receiving starter PN off-hours. We found that some practitioners were not aware of the availability or indication for starter PN. In addition, there were misconceptions about PN administration in general. We looked specifically to make changes to our process to improve our outcome. Because we found that the indication for starter PN in the CHAMPS software is obtuse, we can change the process by which starter PN is ordered, making it easier and more intuitive. In addition, we can modify practitioner training to specifically address misconceptions about PN administration. Knowledge deficits and logistical problems can be addressed directly in the context of an ongoing quality improvement project, leading to improvements in adherence, and ultimately nutrition-related outcomes for these patients.
Jenny Shao: Biochemistry, CC’13
Investigating the Role of Actin Polymerization State in Synaptic Plasticity
A critical component of the cytoskeleton and ubiquitous in eukaryotes, actin has been implicated in several important functions in learning and memory. This long-term endeavor strives to identify the relationship between the actin polymerization state—the dynamic equilibrium between g-actin and f-actin—and the local synaptic strength, which thereby sheds light on actin’s function in the broader phenomenon of learning. To accomplish these aims, it is necessary to first develop visualization system that provides an accurate, dynamic, and high-resolution representation of the polymerization state: we utilized a variation of Forster Resonance Energy Transfer (FRET), namely energy-migration FRET (emFRET or homoFRET). Since a single fluorophore is used in emFRET, the method eliminates potential noise from fluorophore crosstalk and combinatorial issues that are often observed in regular FRET. Since quantitative analyses demonstrated that mStrawberry had the optimal optical properties, most importantly low levels of Rayleigh Scattering, it was selected to visualize actin dynamics in tissue. Molecular cloning was then utilized to generate an mStrawberry-Actin vector. Specifically, after obtaining pmStrawberry and pActinGFP vectors from Clontech, the region corresponding to the fluorophore (mStrawberry) was amplified via PCR, the inserts and vector were purified, and the inserts were ligated into the actin backbone. Restriction enzyme digestion and gel electrophoresis analyses subsequently indicated that the cloning and ligation processes were successful. Bacterial transformation and Maxipreps were then used to harvest the newly generated DNA (Actin-mStrawberry). To confirm the efficacy of the Actin-mStrawberry plasmid, the DNA was transfected into HEK cells; robust expression levels that were detected after 24 hours indicated that the newly constructed plasmid did indeed contain mStrawberry and actin in the correct sequence. Furthermore, DNA sequencing also returned a 100% match between the expected and actual plasmid sequence. This construct, once injected into either culture or mouse, gives rise to a precise and high-resolution representation of actin dynamics. By shedding light on the role of actin in learning and memory, this study also informs us on possible mechanisms of several pathological conditions, such as Alzheimer’s and Huntington’s diseases, in which clear distortions in learning and memory are observed.
Katharina Shaw: Chemistry, CC’13
Synthesis of Resveratrol-Derived Analogues: Phosphorylated Isopaucifloral F, Phosphorylated Paucifloral F, and Yuccaone A
For the past decade, resveratrol – a ubiquitous, polyphenolic phytoalexin found in grape skins and red wine – has captivated the attention of the scientific community. In addition to its potent antifungal, anti-aging, and neuroprotective properties, resveratrol has been cited as responsible for the “French paradox” – a concept formulated by epidemiologists to describe the low incidence of coronary heart disease in French people despite their high intakes of cholesterol and saturated fats.\(^1\) However, while much attention continues to be devoted to resveratrol, its analogues have been largely disregarded in spite of their vast clinical potential. The difficulties posed by their synthesis, coupled with the inability to isolate sufficient quantities from natural sources, have rendered many such oligomers unattainable. Thus, for this project, the controlled and potentially scalable synthesis of three such oligomers was undertaken – namely, that of phosphorylated Paucifloral F, phosphorylated Isopaucifloral F, and Yuccaone A. Previous attempts to biomimetically access such members of the resveratrol family have proven unsuccessful – even in those cases where the desired resveratrol derivative was obtained, an array of non-natural products were generated.\(^2\) As a result, the synthetic approach utilized here rejected a biomimetic pathway in favor of reagent-guided functionalization of a unique core molecule that possessed multiple sites of similar reactivity. Using a three-aryl ring precursor as the core building block, both phosphorylated Paucifloral F and Isopaucifloral F could be generated in relatively high yield. Careful manipulation of the same triaryl precursor remains underway for the synthesis of Yuccaone A. In light of resveratrol’s promising array of biochemical behaviors, the controlled syntheses of oligomers such as these may be key to tapping the full clinical potential of this family of natural products.
Crystal formation of Dibenzotetrathieno-coronenes (DBTTC) on graphite in ambient scanning tunneling microscopy (STM) using platinum-iridium tips
We investigate the use of graphene surfaces to assemble organic molecules into crystals. The morphology of such crystals is important in applications such as solar cells. We choose the Dibenzotetrathieno-coronenes molecule since it has optical response and has a pi backbone that can interact with the graphene surface. Crystals were formed by drop-casting from a solution of DBTTC in high vacuum and the morphology of the films was studied using scanning tunneling microscopy (STM). Initial STM analysis was done on graphite and graphene using platinum-iridium tips to find optimal conditions, ranging bias (-1.0~ 1.0V) and setpoint (500pA~2nA). The size of the scan was reduced from 100nm to as low as 5nm while generally maintaining scan rates of 5~10Hz for graphite and 2~5Hz for graphene. The DBTTC sample that was aimed to deposit a 10~15nm film on graphite were seen to form aligned stalk-like structures on the substrate with roughly 10nm heights for alignments with 250nm widths. In the sparser regions, hook-shaped 50 x 50nm stalks captured the crystal forming process that involves growing uniformly flat layers of DBTTC between the converging stalks as the deposition progressed. A difference in periodicity is also observed between a graphite surface and a thin DBTTC surface (single to few layers thick) on graphite. Future experiments will focus on the study of a single atomic layer of DBTTC on graphite and graphene.
Tyler St. Denis: Biochemistry, CC’15
Enhancement of Antimicrobial Photodynamic Therapy by Potassium Thiocyanate/Selenocyanate Salts
The emergence of antibiotic-resistant pathogens has initiated global searches for new antimicrobial modalities. Photodynamic therapy (PDT) is a novel antimicrobial technique consisting of visible-light, a light sensitive dye, and oxygen, which together yield reactive oxygen species (ROS). ROS reactivity is diffusion rate controlled and is thus limited to the cellular envelope of bacteria. In efforts to potentiate bactericidal activity of PDT, this report sought to create less reactive, but longer-lived radical species, capable of deeply penetrating bacteria. Comparing a control PDT regimen to PDT with the pseudohalide salts thiocyanate (SCN⁻) or selenocyanate (SeCN⁻), PDT-mediated killing of the Gram-negative *Escherichia coli* and the Gram-positive *Staphylococcus aureus* was potentiated by 1-4 log₁₀ with the addition of SCN⁻/SeCN⁻. This is presumed to be the result of the formation of SCN⁻/SeCN⁻ radicals, likely due to reactivity of SCN⁻/SeCN⁻ with the hydroxyl radical (OH⁻). Pseudohalide radical formation was confirmed by theoretical redox potential studies and comparison of the bactericidal effect of a chemical OH⁻ generator (Fenton’s reagent) with or without SCN⁻/SeCN⁻. Interestingly, potentiation of PDT was not additive and at high concentrations, SCN⁻ and SeCN⁻ reduced PDT killing, presumably due to the formation of insoluble methylene blue-pseudohalide salt products.
Scott Zhang: Astrophysics, CC’14
**Diffuse high-energy neutrino spectra from high and low-luminosity gamma-ray bursts**
The fully operating IceCube neutrino observatory, designed to detect TeV-scale high energy neutrinos, opens up a new window for high energy astrophysics. Gamma Ray Bursts (GRBs), with their extreme energetics, are one of the most plausible sources of diffuse high energy neutrinos detectable by IceCube. While some, high-luminosity (HL) GRBs are individually much brighter than many other, low-luminosity (LL) GRBs, the latter subclass may play a major role in contributing to the diffuse high-energy neutrino background, due to their much higher abundance, as well as their somewhat different emission process. Further, LL-GRBs may be the key in understanding choked GRBs, an important subclass of GRBs with no observable gamma-ray emission. It is important to compare the contribution of diffuse high energy neutrinos by both high-luminosity (HL) and low-luminosity (LL) GRBs. Using the gamma ray data of GRBs collected by the Swift satellite, assuming the neutrino spectrum for individual GRB derived by Guetta et al. and the rate of HL and LL GRB per year estimated by Liang et al., I calculated the total diffuse neutrino spectrum by both HL and LL-GRBs. My result is consistent with the neutrino spectrum 90% CL upper limit implied by cosmic ray observation (Ahlers et. al. 2011) except for the neutrino energy range $6e6 \sim 7e7$ GeV, but it suggests that HL GRBs typically produce 1~2 orders of magnitude more neutrino than LL GRBs, contrary to the claim of some authors that the neutrino spectrum by HL and LL-GRBs are comparable. This may be because the emission mechanism in LL-GRBs differ from the Guetta et al. emission model due to, e.g., the larger abundance of baryons in the jet.
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